russel h holland financial disclosure report for 2010
TRANSCRIPT
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8/3/2019 Russel H Holland Financial Disclosure Report for 2010
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I A O 10Rev. 1/2011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10 Report Required by the Ethicsin Government A ct ofl978(5 U .S.C. app. ~sq.~ 101-111)1. Person Report ing (last nam e, l i rst , middle ini t ia l )H O L L A N D , H . R u s s e l
4. Title (Ar tic le I I I judges ind ica te active o r sen ior s ta tus ;magist rate judges indicate fu l l - or p ar t - t ime)
D i s ~ c t J u d g e ( S e n i o r )
7. Cham ber s o r Off i ce Ad d r essU n i ted S ta tes Dis t r i c t Co ur t22 2 W est 7 th Aven ue - U n i t 5 4A n c h o r a g e , A l a s ka 9 9 5 1 3
2. Court o r O r g a n i z a t i o nDistric t of Alaska
I 3. D a t e o f R e p o r t06/10/201 I
5a . Repor t Type (check appropr ia te q .pe)] Nominat ion. D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in for raa tion conta ined in th is R epor t and anymodif ica tions per ta in ing the re to , it is , in my opin ion , in compliancewith appl icable l aws and regulat ions .
6. Repor ting Per iod01/01/2010
to12/31/2010
R e v ie w in g O f f i c er Date
I M P O R T A N T N O T E S : The instructions accompanying this form must be followe,! Complete all parts,checking the NONE box for each pa rt where you have no reportable information. Sign on last page.
I . P O S I T I O N S . (Rep o rt i ng i nd i v i d u a l o nly; seep p . 9 -13 o f f i li ng i nst ru c ti o ns . )[~] N O N E ( N o reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
2.3.
4.5.
I I . A G R E E M E N T S . m e ~ , o r t i , g individual only; seepp. 14-16 of filing instructions.)~] N O N E (No reportable agreements.)
DATE PARTIES AND TERMS
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I I I . N O N - I N V E S T M E N T I N C O M E . (Reporling individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investm ent Income~] (No reportable income.)ONE non- inves tmen t
DATE SOURCE AND TYPE
D a t e o f R e p o r t06/10/201 I
INCOM E( y o ur s , n o t sp o use s )
B , S p o u s e s N o n - ! n v e s tm e n t I n c o m e - l f ) .ou were ma rried during any portion of the reporting year, complete this section.(Dollar a mount not required except for honoraria.)
N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE
1.
2.
3.
4.
I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment(Includes those to spouse and dependent children," see pp. 25-27 offiling instmtctions.)~ (No reportable reimbursements.)ONE
2.3.4.5.
SOURCE DATES LOCATION PURPOSE ITEM S PAID OR PROV IDED
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FINANCIAL DISCLOSURE REPORTP a g e 3 o f I 0
Name o f Per so n R ep o r t in gH O L L A N D , H . R u s s el
Date of Repor t06/ I 0 /2011
V . G I F T S . (tncludcs those to spouse and depcndent children: see pp. 28-31of filing instructions.)N O N E (No reportable g~s . )
SOURCEI.2.3.4.5.
DESCRIPTION V A L U E
V I . L I A B I L I T I E S . a n d u d e s ,h o s e o l s p o , s e a , d d e p , , d , , , children; see pp. 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilit ies .)
CREDITOR DESCRIPTIONI.2.3.
4.5.
VALUECODE
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D a t e o f R e p o r t06/10/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transact ions (Includes those of spouse and dependent chi ldren: see pp. 34-60 of f i l ing instruct ions.)N O N E (No reportable income, assets, or transactions.)
A. B. C.Description of Assets Income during Gross va lue a t end( inc luding t rust assets) reporting period of report ing per iod
(1) (2) O) (2)Place "(X )" after each asset Am ount Type (e.g., V a lu e V a lu e
exempt f rom prior disc losure C o d e I div., rent, C ode 2 Method(A-H) o r i n t . ) (J-P) C ode 3( Q - W )
(1 )Type (e.g.,buy , s e l l ,
r e d e m p t i o n )
T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
(2) (3) (4)D a t e Value Gain
m m /d d/y y C od e 2 C ode I(J -P) (A-H)
( 5 )Idemity of
b u y e r / s e l l e r( i f p r i v a t e
t r a n s a c t i o n )
I. C M S E n e rg y2. N ords txom, Inc .
AA
D i v i d e n dD i v i d e n d
J
LT
3. R o w a n C o m p a n ie s4. M S L i q u id A s s e t F u n d ( f o r m e r ly M S D W( Ind ividual L iqu id . . . .)5. Talkee tn a , Alaska , Lo t6. Ch i t in a , Alaska , Lo t7. Fi rs t Na t io n a l Ban k Alaska8. B a n k o f A m e r i ca - C a s h R e s e r v e s D a i l y9. Bank o f Amer ica / Por t land , Oregon1 0 . Peps i coII. F rankI in Value M ark I I Var iab le Annu i ty1 2 . F ir s t Nat ional Bank Alaska / Savings1 3 . M e r r il l L y n c h ( f o rm e r l y B o f A I n v e s tm e n tC a s h A / C )1 4 . Y u m B r a n d s ( f o r m e r l y T r i- G l o b a lRes tauran t )1 5 . F rankl in Income F und
A D i v i d e n d J TA D i v i d e n d K T
N o n e L WN o n e J W
A Interest L TA Interest M e r g e d(wi th l in e 1 3)A Interest J TA D i v i d e n d J TA Dividend K TA Interest K TA D i v i d e n d J TA Divid en d J TC D i v i d e n d L T
08/15 /10 A see Note, Part Vlll
see Note , Par t Vl l l
1 6 . Cisc o Sys tems , I n c .1 7 . Pf i ze r
AA
D i v i d e n dDiv id en d
JJ
TT
I. In co m e G a in C o d e s :( S e e C o lum n s B I a n d D 4)
2.Value Codes(See Co lumns CI and D3)
3. Va lue M e tho d C o d e s(See Co lumn C2)
A =$1.000 or lessF =$50.001 - $100,000J =$15,000 or lessN =$25 0.001 - $5 00 ,000P3 $25,000.001 - $50.000.000Q =Appr a i s a lU = Bo o k Va lue
B -$ 1 . 0 0 1 - $2 .5 00G =$100,001 -K =$15 .001 - $5 0 ,000O $5 00 .001 - $1 ,000 .0~ 0R =Cost (Real Esla le Only)V - O I h c r
C = $ 2 , 5 0 1 - $ 5 , 0 0 0H I = $ 1 . 0 0 0 ,0 0 1 -L = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0PI =$|,0~0,001 - $5,0~0,000P 4 = M o r e t h a nS = A s s e s s m e n tW = E s l im a t e d
D = $5,001 - $15,000H2 =More than $5,000,000M =$100,001 - $250,000P 2 = $ 5,0~0.001 - $25,000T : C a s h M a r k e t
E =$15 .001 - $5 0 ,000
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D a l e o f R e p o r t0 6 / I 0 / 2 0 1 1
V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transact ions (Includes those of spouse and dependent chi ldren; see pp. 34-60 of f i l ing instruct ions.)--] N O N E ( N o reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d
( 1 ) ( 2 )P l a c e " ( X ) " a f t e r e ac h a s s e t A m o u n t T y p e ( e . g . ,e x e m p t f ro m p r io r d i s c l o s u r e C ode I d i v . , r e n t ,( A - H ) o r i n t . )
G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d( 1 ) ( 2 )
V a l u e V a l u eC o d e 2 M e t b . o d
(J-P) C o d e 2 ,( Q - W )
(0T y p e ( e . g .,b u y , s e l l,r e d e m p t io n )
T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
(2) (3) (4)D a t e Value G a i nm m / d d / y y C o d e 2 C ode I
( J - P ) (A-H)
( 5 )I d e n t i t y o fbuyer/seller( i f p r i v a t e
t r a n s a c t i o n )
1 8 . Hewle t t Pac kard A D i v i d e n d J T1 9 . B o e in g C o .
20 . N o r t h r im B a n kA D i v i d e n d JA D i v i d e n d K
T
21 .22 .23 .24 .25 .26 .27 .28 .29 .
A g i l e n t T e c h n o l o g i e sCaterp i l l a r , I n c .M etL i fe
A D i v i d e n d JA D i v i d e n d KA D i v i d e n d J
T
T
T
Trus t #1 [L ines 25 th rough 53, inc lus ive] :- - M S B a n k ( f o r m e r ly M S D W A c t iv e A s s e t sM o n ey Tr us t)- -Caterp i l lar F inance Service (bond)* * * * Q C O--Caterp i l lar F inance Service (bond)* * * * L C 2- -Gabel l i G lobal Gold Reserves ( fo rmer lyG a b e l l i G l o b a l )- - W e s t e rn B a n k P u e r t o R i c o C D
B Interest MA InterestA Interest KC Dividend KA Interest
Ma tu red 11 /15 /10 J
Bu y 0 5 1 1 8 1 1 0 J( add l )M a t u r e d 02/08/l 0 J
see Note , Par t Vl l l
A
Asee No te , Par t V I I I
3 0 . - - N e w S o u t h F e d e r a l S a v i n g s B a n k C D31. --CocaCola Co.
A InterestA Dividend K T
Matured 02/08/10 J A
32 . - -Google , Inc .
33 . - -Google , Inc .34 . --Intel Corp.
N o n e
N o n e KDividend J
TT
So ld 0 1 /2 2 /10
Bu y 03/26/10
K
K
E
see No te , Par t V I I I
I. In co m e G a in C o d e s :(S e e C o lun m s B I a n d
2.Value Codes(S c Co lumns CI and D3)
3. Va lue M e tho d C o d e s(See Co lumn C2)
A =$ 1,000 or lessF =$50,001 - $ 100,000J =$15,000 or lessN =$25 0,001 - $5 00 ,000P3 -$25.000,001 - $ 5 0 . 0 0 0 . 0 0 0Q =Appr a i s a lU = Bo o k Va lue
B=$1,001 - $2,500G =$100 .001 - $1 ,000 ,000K = $ 1 5 , 0 0 1 - $ 5 0 . 1 3 0 0O =$500,001 - $1R =Cost (Real Esla te Only)V - O t h e r
C =$2,501 - $5,000H I =$ 1,000.001 - $ 5.000,000L =$50,001 - $ 100.000P I =$ 1.000,001 - $5.000,000P4 =More Ihan $50.000,000S =AssessmentW = E s t im a te d
D =$5.001 - $ | 5.000H2 =More than $5.0~0.000M =$100,001 - $250.000P 2 =$5 ,000 .001 - $25 .000 .000T = C a s h M a rk c t
E =$1 5 .0~ | -$5 0 ,000
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V I I . I N V E S T M E N T S a n d T R U S T S - inco,.e, , ,olue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s Income during( i n c l u d i n g m as t a s s e t s ) r e p o r t i n g p e r i o d(t) (2)
Place "(X)" after each asset A m o u n t Type (e.g.,exempl from pr ior disc losure Code I d i v . , r e n t ,( A - H ) o r i n t . )
G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)
V a lu e V a lu eC o d e 2 M e th o d(J-P) C o d e 3
( Q - W )
T y p e ( e . g .,b u y , s e l l,r e d e m p t io n )
T r a n s a c t io n s d u r in g r e p o r ti n g p e r i o d(2) (3) (4) ( 5 )
Dat e Value ! Gain I d e n t i t y o fm m / d d / y y Code 2 Code I b u y e r / s e t l e r
(J-p) i (A-H) (ifprivate~ t r a n s a c t i o n )
35 . - J o h n s o n & J o h n s o n B D i v i d e n d3 6 . - M i c r o s o f t . C o r p . A D i v i d e n d
K T Bu y( add l ) 07/29/10 J
37 . - -M c K es so n C o rp . A Dividend K T38 . - - 3M C o m p a n y A D i v i d e n d K T39 . - M o n s a n t o C o . A D i v i d e n d K T Bu y 07/23/1 0( add l )40 . - N o v a r t is A G A D R A Divid en d J T Bu y 07 /23/10(add l )41 . - P r o c to r & G a m b l e A D iv id e n d So ld 05 /06 /1 042 . - P r o c to r & G a m b l e A Divid en d K Bu y 11/12/1043 . - - E a t o n V a n c e / M u n i . B o n d B Interest Sold 09/21 /1 0
J
J
K
K
K
A
Csee Note , Par t Vl l l
44 . - - E x e l o n C o r p . A D iv id en d So ld 05 /0 1 /1 045 . - - E x e l o n C o r p . A D i v i d e n d J Bu y 11/12/1046 . - - G r e e n H a v e n C o m o d i t y N o n e J T Bu y 01 /20 /1 047 . - - S p id e r G o l d ( G L D ) N o n e K T Bu y 01/19/1048 . - -U n i ted S ta tes Oi l (Oi l ) N o n e K T Bu y 01 /1 3/1 049 . - - U n i t V a n K a m p e n , C o h e n ; S t e e rs C o n . A D i v i d e n d ,I T Bu y 12/20/10C a l l I n c o m e50 . - - M a r k e t V e c to r s G o l d m i n e r s ( G D X ) N o n e J T Bu y 04 /20 /1 05 1 . - - A q u i la T a x F r e e O r e g o n B o n d A Interest K T Bu y 07/29/1 0
JJJ
KKJ
JK
As e e N o t e , P a r t V l l l
I. In co m e G ain C o d es: A = $1,000 o r less B = $1,001 - $2 ,500 C = $2 ,501 - $5 ,00 0 D =$5.001 - $15.000( See Co lu nms B I and 15 ) 4 ) F =$50,001 - $100.000 G =$ 10 0.0 01 - $ 1,0 00 .0 00 H I = $1 .0 00 .0 01 - $ 5. 00 0.0 00 H2 =More than $5.000.000
2. V alue C o d es J = $ 15,00 0 or less K =$15 .001 - $5 0 ,000 L -$ 50 ,00 1 - $ 10 0.00 0 M =$ 100,001 - $2 50,00 0( s e e C o l u m n s C I a n d D 3 ) N =$25 0.001 - $5 00 ,000 O =$500,001 - $1 ,000.000 PI =$1.000.001 - $5.000.000 P 2 =$5 .000 .001 - $25 ,000 .000
P 3 =$25 ,000 ,001 - $5 0 .000 .000 P 4 =M or e t h an $5 0 .000 .0003 . Va lue M e tho d C o d e s Q :A p p ra i s a l R - C o s t (Re a l E s ta te O n ly ) S :Asses~.menl T - C a . h M a r k c l(S e e C o lum n C 2 ) U = Bo o k Va lue V = O the r W = E s t im a ted
E : $ I 5 . 001 - S S O . O 0 0
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D a t e o f R e p o r t06/10/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - income, ,,atue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d
0) (2)Place " (X) " a f ter each asset Amount Type (e.g. ,
exempt from prior disclosure Code I div., rent,(A-H) or int.)
G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)
Value Va lueC o d e 2 M e t h o d( J - P ) C o d e 3
( Q - W )
T y p e ( e . g .,b u y , s e l l,r e d e m p t io n )
T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
(2) (3) (4)D a t e Value Gain
m m /d d/y y C od e 2 C o d e I(J-P) (A-H)
I d e n t i ty o fbuyer/seller( i f p r i v a t e
~ansaction)
52 . - M a x i m I n t e g r a t e d P r o d u c ts A Divid en d J T5 3 . - G a b l l i D i v . & I n c o m e A Divid en d K T
Bu y
Bu y
IM/15/10 J
01 / 27 / 1 0 J
54 .
55 .56 .57 .
C o m c a s t C o r p . A Divid en d J TOn e Po in t , f /k /a Po r t l an d Teac hers Cr .U n io n- savingsColumbia Conver t ib le Sec . , f /k /a Nat ionsConver t ib le (Y)M et Li fe - who le l if e
A Interest J T
Interest J Tsee No te , Par t V I I I
58 . M e t L i f e - w h o l e l i fe A Interest J T59 . A m e r i c o F i n a n c i a l L i fe - w h o l e l i f e A Interest L T60 . A m e r i ca n G e n e r a l - w h o l e l i fe A Interest K T61 . A m e r i c a n G e n e r a l - w h o l e l if e A Interest K T62 . C a n a d a L i f e - w h o l e l i f e A Interest J T63 . M O N Y - w h o l e l if e A Interest J T
65 .66 .
67 .68 .
M assac huse t t s Mutua l - f l ex ib le re ti remen tannui tyW e l l s F a r g o & C o .Nat io n wid e An n ui ty [fo rmer ly AIGAnnui ty]M L Perso n a l Ad viso r* ( fo rmer ly Bo fAM a n a g e d P o r t f o l io )M L Perso n a l Ad viso r Mul t i -Asse t Sec to rETF Por t f o l io
D D i v i d e n d
A Divid en dC Divid en d
A Divid en dB Divid en d
LJ
M
TTT
So ldT B uy
02/26/1003/05 /10
LL
A see Note, Part VIII
I. In co m e G ain C o d es: A = $1,000 o r less B = $1,001 - $2 ,500 C = $2 ,501 - $5 ,00 0 D =$5,001 - $15,000( See Co lu mns B I and D4 ) F = $ 50 .0 0 1 - $ 1 0 0 .0 ~ G =$100.001 - S 1,000.009 H I =$1.00~.001 - $5,000,0(~ H 2 = M o re tha n $ 5 .0 0 0 .0 0 0
2. Value Codes J -$15,000 or less K $ 1 5,0 0 1 - $ 50 ,D 0 0 L =$5 0 ,001 - $100 ,000 M =$100,001 - $250,000(S e e C o lum n s C I a n d D 3 ) N =$25 0.001 - $5 00 ,000 O =$500,091 - $1,00O.000 P I =$ 1. 00 0, 00 1 - $ 5, 09 0, 00 0 P 2 = $5 ,0 ~. 0~ 1 - $2 5. 09 0, 00 0
P 3 =$25 ,000 ,001 - $5 0 .000 .000 P 4 =M or e t h an $5 0 .000 .0003 . Va lue M e tho d C o d e s Q =Appr a i s a l R =Cost (Real Esla le Only) S =Asscssmcnl T = C a s h M a rk e t(See Co lumn C2) U = Bo o k Va lue V =O~hcr W = E s t im a te d
E =$15 .001 - $5 0 ,000
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V I I . I N V E S T M E N T S a n d T R U S T S - incom e , va l ue , t ransac t ions ( I nc l ude s t hose of spouse and de pe n de nt ch i l dren; se e pp . 34- 60 of f i l ing ins t ruc t ions . )N O N E (No reportable income, assets, or transactions.)
Description of Assets Incom e during(inc luding t rust assets) reporting period
(0 (2)Place "(X)" af ter ~ch asset A mo unt Ty pe (e.g.,
exempt f rom prior disc losure C ode I div., rent,(A-H) o r i n t . )
Gross va lue a t endof report ing per iodO) (2)
V a lu e V alueC ode 2 Method
(J-P) C ode 3( Q - W)
Type (e.g.,buy, se l l ,
redemption)
Transac t ions during report ing per iod(2) (3) (4)
D a t e Value Gainm m /d d/y y C od e 2 C o d e I
(J-P) (A-H)
( 5 )Identity of
buyer / se l le r(if private
transaction)
69 . A l a s k a C o m m u n i c a t io n s S y s t e m s A Divid en d7 0 . G e n e r a l C o m m u n i c a t io n s N o n e
J
JTT
71 . Fi rs t Na t io n a l Ban k Alaska B D i v i d e n d K72 . Ver igy N o n e J73 . B a n k o f A m e r i c a - F ra n k l i n O r e g o n T a x D Interest MFree74 . M S D W I s h ar e s C a n a d a l n de x A Divid en d J
T
T
T
75 . PIM CO A l l A sse t / A l l A u thor i t y B D i v i d e n d76 . Blackrock G lobal Al locat ion ( IRA accoun t ) A D i v i d e n d77 . C o l u m b i a C a s h R e s e r v e s D a i l y ( IR A A Interestac c o un t )78 . N o r t h r im B a n k ( C D s ) A Interest
K
J
J
K
TTTT Bu y 03/16/10 K N o r t h r i m B a n k
I. Inco m e G a in C e d es: A = $1 ,00~ or less B -$ 1,00 1 - $ 2 ,50 0 C = $2 .501 - $5 ,00 0 D = $5.0 01 - $15 ,000( See Columns 131 and D4 ) F = $ 5 0 . 1 X 1 1 - $ I 0 O . 0 0 0 G =$ 100.001 - $ 1,0~0.0~0 H I =$ 1,000,001 - $5.0~0.0~0 H 2 = M o r e th a n
2. Value Codc~ J $15 . 0~) or l ess K -$15.001 - $50.000 L = $50 ,001 - $ 100 ,000 M =$ 100 ,001 - $250 .000(See Co lumns CI and D3) N =$25 0.001 - $5 00 ,000 O =$500,001 - $1 ,000,000 PI =$1,000,001 - $5,000,000 P 2 =$5 ,000 ,001 - $25 ,000 .000
P 3 $25 .000 .001 -$5 0 .000 ,000 P 4 = M or e t h an $5 0 ,000 ,0003 . Va lue M e tho d C o d e s Q =Appr a i s a l R =Cosl (Real Esta te Only) S =Asscssmenl T = C a s h M a rk e t{Se e C o lum n C 2 ) U = Bo o k V alue V O t h e r W = E s l im a te d
E =$15 ,001 - $5 0 ,000
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N a m e o f P e r s o n R e p o r t in gH O L L A N D , H . R u s se l
Date of Repor t06/10/201 I
V III . ADDITIONAL INFORM ATION OR EXPLANATIONS.Par t VII , In . 8 : Th is cash accoun t w a s c losed and ro l led in to the M er r i l l Lynch accoun t l i s ted a t In . 13.Par t VI I , In . 13: There has been n o ac tual t rans fer ; nam e change to M er r i l l Lynch .Par t V I I , I n . 24 : TRU ST # I : New i t ems tha t have been ADD ED to the t rus t : I n s . 4 6 - 5 3 , in c lus ive .P a r t V l l , I n . 2 8 : F u l l n a m e : G a b e l l i G l o b a l G o l d & N a t u r a l R e s e r v e s ; v a l u e c o d e o f a d d l s h a r e s b o u g h t d u r i n g y e a r i s J ; g r o s s v a l u e o f a c c o u n t ( i n c lu d i n g a d d lshares ) i s K .Par t VII , In . 33: Refer en ce In . 33 and the p r eced ing en t ry on In . 32: i tem so ld and r epurchase d w i th in calendar year .Par t VI I , ln . 42 : Refer ence In . 42 and the p r eced ing en t ry on In . 41 : i t em so ld and r epurchased w i th in calendar year .Par t VI I , In . 45 : Refer en ce In . 45 and the p r eced ing en t ry on ln . 44 : it em so ld an d r epurchased w i th in calendar year .Par t VII , ln . 56 : Sold in 2009; over looked in pr ior yea r s r epor t : Sold 09/04/2009; V a l u e C o d e a t s al e " K " ; G a i n C o d e a t s a le " A " . .Par t VII , In . 67 : New nam e fo r accoun t : M L Per sonal Adviso r /M utual F und Adviso r ( fo rmer ly Bank o f Am er ica Man aged Por t fo l io ) .
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N ame of Pe r son Repor t i ngH O L L A N D , H . R u s s el
Date of Report0 6 1 1 0 1 2 0 1 1
IX. CERTIFICATION.1 c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s
a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .1 f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s id e e m p l o ) a n e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r te d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . 5 0 1 e t . s e q , 5 U . S .C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .
Signature: S/H. Russel HOLLAND
N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S IF I E S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4 )
Co m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t ive O f f i ce o f t h e U n i t e d S t a t e s Co u r t sSui te 2 -301O ne C o l um b us C i r c l e , N . E .W a s h i n g t o n , D .C . 2 0 5 4 4
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AO 10 ]Rev . 1 /2011FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 201 0Report Required by the Ethics
in Government Act o f 1978(5 U.S.C. app..sck" I01-111)
I . Person R eport ing ( las t name, f i rs t, middle ini t ial )HOLLAND, H. R usse l
4. Title (Article Ill judges indicate active or senior status;magistrate judges indicate full- or part-t ime)
District Judge (Senior)
7. Chamb ers or Office AddressUntied States Dis tr ict Cour t222 West 7th Aven ue - Unit 54Anchorage, Alaska 99513
2. Court or OrganizationDistrict of Alaska
3. Date of Report09/20/2011
5a. Repor t T)~e (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis of the informat ion contained in th is Repor t and anymodificafions pertaining thereto, it is, in my opinion, in compliancewith appl icable laws and regula t ions.
Reviewing Off icer Date
6. Reporting Per iodOI/OI/2010
Io12/31/2010
I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete all parts,checking the NO NE box for each part where you have no reportable information. Sign on last page.
I. P O S I T I O N S . c R . p o , ~ i n g i . d i v i d . a l o n l y ; s o , ~ , p . 9 - I 3 of filing instructions.)~] N O N E (No reportable positions.)
POSITION
2.
3.
4.
5.
NAME OF ORGANIZATION/ENTITY
I I . A G R E E M E N T S . (gepo.i.g individual only; see pp. 14-16 of f i l lng instructions.)[~] NONE (No reportable agreements.)
DATE PARTIES AND TERMS
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N a m e o f P e r s o n R e p o r t in gHOLLAND, H. Russel
D a t e o f R e p o r t09/20/2011
I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)A. Fliers Non-lnvestment Income~] (No reportable income.)ONE non- inves tmen t
DATE SOURCE AND TYPE
2.3.4.
INCOME( y o u r s , n o t s p o u s e s )
B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during an.v portion of the reportlng year, complete this section.(D ol lar amount no t requ i red excep t for honorar ia . )[~] N O N E ( N o repor tab le n on- i nv es tm en t i nc om e . )
DATE SOURCE AND TYPEI.2.
3.
4.
I V . R E I M B U R S E M E N T S -transportation, lodging, food, entertai .... t.( Includes those to spouse an d dependent chi ldren," see pp . 25-27 of f i l i ng ins t ruct i ons . )
~] (No reportable re imbursements. )ONE
2.
3.
4.
5.
SOURCE DATES LO CATIO N PURPOSE ITEMS PAID OR PROVIDED
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N a m e o f P e r s o n R e p o r t in gHOLLAND, H. Ru~sel
D a l e o f R e p o r t09/20/201 I
V . G I F T S . a n c l u d e s , h o s e , o s p o u s e a n d dependent children; see p p . 2 8 - 3 1 of filing instructions-)N O N E ( N o repor t ab l e g i f t s .)
SOURCE DESCRIPTION
I.2.
3.
4.
5.
VALUE
V I . L I A B I L I T I E S . a n c l a d e s t h o s e o l sp o u s e a n d d ep en d en t children; s e e p p . 3 2 - 3 3 of fillng instructions.)N O N E (No reportable l iabi l i t ies . )
CREDITOR DESCRIPTION
I.2.
3.
4.
5.
VALUECODE
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N a m e o f P e r s o n R e p o r t i n gHOLLAND, H. Russel
D a t e o f R e p o r t09/20/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , , h i . e , transactions (Includes ,hose of spouse and dependent children; seepp. 34-60 of filing instruc,ions.)N O N E (No reportable income, assets, or transactions.)
Descr ip t ion o f Asse t s I n c o me d u r i n g( in c lud in g trus t a sse ts ) rep o rtin g p er io d
(I) (2)Place "(X)" after each asset A mo un t T yp ~ (e .g .,
exempt from prior disclosure Code I div. , rent ,( A -H ) or in t . )
Gross value a t endo f r e p o r t i n g p e r i o d(i) (2)
V a lue Va lueC o d e 2 M e t h o d(J-P) C o d e 3
(Q-W)
( 1 )Type (e.g.,buy, se l l ,
r e d e mp t i o n )
Transact ions dur ing repor t ing per iod
(2) (3) (4 )D a t e V a lu e G a i n
mm/dd!yy Co d e 2 Code 1(J-P) (A-H)
( 5 )Ident i ty of
buyer / se l l e r( i f p r i v a t e
t r ansac t ion)
1. CMS Energy2. Nordstrom, Inc.
A DividendA Dividend
JL
TT
3. R o w a n C o m p a n i es
4. MS Liqu id Asse t Fun d ( f o r mer ly MS DW(Individual Liquid .. . . )
5. Talkeetna, Alaska, Lot
6. Chitina, Alaska, Lot
7. Firs t National Bank Alaska
A DividendA Dividend
NoneNone
A I n t e r e s t
J
K
L
J
L
TTW
W
T
8. Bank of America - Cash Reserves Daily --SEE ALSO LINE #799. Bank of America / Portland, OregonI 0 . PepsicoI I. Franklin Value Mark 11 Variable Annuity
1 2 . First National Bank Alaska / Savings1 3 . M errill Lynch (formerly B of A InvestmentCash AJC)1 4 . Yum Brands (formerly Tri-Global
R e s t a u r a n t )1 5 . Franklin Income Fund
A I n t e r e s t J T Open
A I n t e r e s t J T
A Dividend J TA Dividend K TA I n t e r e s t K T
A Dividend J TA Dividend J TC Dividend L T
08/15/10 see Note, Part VIII
see Note, Part VIII
1 6 . Cisco Systems, Inc .1 7 . Pfizer
A DividendA Dividend
JJ
TT
I. Income Gain Codes:(See Columns B I and
2. Value Codes(See Columns C I and D3)
3. Value Mclhod Codc~| s e e Column C2)
A :$ 1.000 or lessF :$50,0~1 - $100.000J - $15.0~0 or lessN :$250.001 - $500,00~P3 =$25.000,0~1 - $50.0{)0.000Q =AppraisalU =Book Value
B -$1,001 - 52,500G-$100,001 - $1,000.000K -$15,001 - $50.000O = $ 5 0 0 , 0 0 1 - $ I
R = C o s t t R c a ] E s t a t c O n l y )V = O t h e r
C =$2,501 - $5,000H I =$1 .000,001 - $5.0~ ,000L $50.0OI - $100.000P I =$ 1.00~.001 - $ 5.000.0~OP4 =More than $50.0~.000S = As ~s : ,mc nlW =E st im ated
D.=$5,001 - $15,000112 =More than $5,000.00~M =$100.001 - $250,000P2 -$5.000.001 - $25,000,000T C a s h M a r k e t
E =$15.001 - $50.000
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V I I . I N V E S T M E N T S a n d T R U S T S -income, , a lu e , t ransac t ions ( Inc l u des t h ose o f spou se an d dependent ch i l dren; s ee pp . 34- 60 o f f i l ing ins t ru c t ions . )NONE (No reportable income, assets, or transactions.)
D e s c r i p t i o n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d
O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,exempt from prior disclosure C o d e I d i v . , r e n t ,( A - H ) o r i n t . )
G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(t) (2)Value Value
C o d e 2 M e th o d( J -P ) C o d e 3
( Q - W )
O)T y p e ( e . g .,
b u y , s e l l ,r e d e m p t i o n )
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(2) (3) (4)
D a t e Value Gainm m/d d/y y C od e 2 Code I
(J-P) ( A - H )
(5 )Identity of
buyer/seller(if private
t r a n s a c t i o n )
1 8 . Hewlett Packard A Dividend J T19. Boeing Co. A Div id en d J T
2 0 . N o r t h ri m B a n k A Dividend K T21 .22 .23 .24 .25 .26 .27 .28 .29 .
Agi len t Techno log iesCaterpillar , Inc.MetLife
A DividendA DividendA Dividend
J
K
J
TTT
Trust #1 [Lines 25 through 53, inclusive]:--MS Bank (formerly MSDW Active AssetsMoney T rust)- -Caterp i ll a r F inance S erv ice (bond)* * * * Q C O--Caterp i ll a r F inance S erv ice (bond)****LC2--Gabell i Global Gold Reserves (formerlyGabell i Global)- -Wes tem Bank Puer to Rico CD
B
A
A
CA
InterestInterestInterest
DividendInterest
M TMatured i 1/15/10 J
TT Buy 05/18/10 J(addl)
Matured 02/08/10 J
see Note, Part VIII
A
Asee Note, Pa rt VllI
30 . - -N e w S o ut h Fe d e ra l S a v in g s B a n k C D31. --CocaCola Co.
A
A
InterestDividend K
Matured 02/08/10 J A
32 . --Google, Inc.
33. --Google, Inc.34 . -- lntel Corp. A
None
NoneDividend
KJ
TT
Sold 01/22/10
Buy 03/26/10
K
K
E
see Note, Part VIII
I. Income Gain Codes:(Se e Columns BI a nd D4)
2.Value Codes(See Columns CI and D3)
3.Value Method Codes(S ee Colum n C2)
A=$I,000 or lessF=$50,001 - $10O,00~J=$1 5.0~ or l e s sN =$250,001 - $500,000P 3 =$25.00~,0~1 - $50.00~,000Q =AppraisalU =Book Value
B=$1,001 - $2,500G-$100,001 - $1,000.0~OK -$15.0~1 - $50.0000 -$500,001 - $1,0~0,0~0R =Cost (Real Estate Only)V -Othe r
C =$2,501 - $5,000H I =$1,00~,001 - $5L :$50,001 - $100,000Pl :$1,009.001 - $5,000,000P4 =More than $50,0~1,0~0S =AssessmcnlW =E st im ated
D = $5,001 - $15,000H2 =More than $5,000,000M -$100,001 - $250,000P2 =S5,000,001 - $25,000,000T =Cash Market
E =$15,001- $50,090
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N a m e o f P e r s o n R e p o r t i n gHOLLAND, H. Russel
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V I I . I N V E S T M E N T S a n d T R U S T S - i nco me , v a lu e , t ransac t i o ns ( Inc lu d e s t h o se o f sp o u se and d e p e nd e nt ch i ld re n; se e p p . 3 4-60 o f f i l ing i ns t ru c t i o n~ .)N O N E (No reportable income, assets, or transactions.)
D e s c r i p t i o n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d
0) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e (e . g . ,e x e m p t f ro m p r i o r d is c l o s u r e Code I d i v . , r e n t ,( A - H ) o r int.)
Gross value at e n do f r e p o r t i n g p e r i o d(t) (2)Value Value
C o d e 2 M e th o d(J-P) C o d e 3
(i )T y p e ( e . g .,
b u y , s e l l ,r e d e m p t i o n )
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(2) (3) (4) (5 )
D a t e Value [ Gain Identity ofmm/dd/yy Code 2 I Code I buyer/seller
(J-P) (A-H) (ifprivateI t r a n s a c t i o n )
35. - J o hn so n & J o hn so n B Div id en d
36. -Microsoft Corp. A Div id en d
K TJ T
Buy(addl) 07/29/10 J
3 7. - -M cK es so n C or p. A Dividend K T38 . - 3 M C o m p a n y A Dividend K T39 . - -Monsan to Co . A Dividend K T Buy 07/23/10(addl)40 . --Novartis AG ADR A Dividend J T Buy 07/23/10(addl)41 . - -Procto r & Gamble A Dividend Sold 05/06 /1042 . - -Procto r & Gamble A Dividend K Buy 11/12/1043 . --Eaton Vance / Muni. Bond B Interest Sold 09/21/10
JJK
K
K
A
Csee Note, Part VIII
44 . - -Exe lon Corp . A Dividend Sold 05/01/1045 . - -Exe lon Corp . A Dividend J Buy 11/12/1046 . - -Green Haven Comodi ty None J T Buy 01/20/1047 . --Spider Gold (GLD) None K T Buy 01/19/1048 . --United StatesOil (Oil) None K T Buy 01/13/1049 . - -Uni t Van Kampen , Cohen ; S teers Con . A Dividend J T Buy 12/20/10Cal l Income50 . - -M arke t Vecto rs Go ld m in ers (GDX ) None J T Buy 04/20 /105 1 . - -A quil a T a x F re e O re g o n B o n d A Interest K T Buy 07/29/10
JJ
J
K
KJ
JK
A
see Note, Part VIII
I. Incom e Gain Codes: A = $1,000 or less B = $1,001 - $2,500 C = 52,501 - 55.000 D =$5,001 - 515,000(S ee Colum ns B I and D~) F = 550,001 - $100 .000 G = $100.001 - $1,000,000 H 1 =$1,000,~01 - $5.000.000 H2 =More than $5.000.000
2. Value Codes J =$15,0~0 or less K =$15,001 - 550.0~0 L =$50,001 - $100,000 M $100,0~1 - $250.000(See Columns CI and D3) N =$250.001 - $500,00~ O = $5 00 ,0 01 - $1,0 00 ,0 00 P I = $1 .0 00 .0 01 - $5 ,0 00 ,0 00 P2 =$5,000,001 - $25,000.000
P3 $25.009 .001 -$50,000.000 p4 = More than $50.000,0003. Value Method Codc~ Q =Appraisal R =Cost (Real Estal Only) S =Assessm ent T =Cash Market(Se c Column C2) U =Book Value V O t h e r W =E:,limatcd
E =515.0~1 - 5 5 0 . 0 0 0
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V I I . I N V E S T M E N T S a n d T R U S T S - incom e, va l u e , t ransac t ions ( Inc l u des t h ose o f spou se and depen dent ch i l dren; s ee pp . 34- 60 o f f i ling ins t ru c t ions . )N O N E (No reportable income, assets, or transactions.)
A. B. C. D.Description of Assets Income during Gross value at end Transactions during reporting period(including trust assets) ~poning per iod of reporting period
(I) (2) (1) (2) (I ) (2) (3) (4) (5 )Place "(X)" after each asset Am ount Type (e.g., Value Value Type (e.g., D a t e Value Gain Identity of
exempl from prior disclosure Code I div., renl, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller(A-H) orint.) (J-P) Code 3 redemption) ( J - P ) !. (A-H) (ifprivate(Q-W} i transaction)
52 . - -Maxim Integra ted Produc ts A Dividend J T Buy 04/15/10 J53 . - - G ab e l l i Div . & I ncom e A Div id en d K T Bu y 01/27/10 J
54 .55 .56 .57 .
Comcast Corp . A Dividend J TOne Point, f/k/a Portland Teachers Cr.Union- s a v i n g s A / CColumbia Co nvertible See., f/k/a NationsConvertible (Y)
I n t e r e s t J T
Met Life - whole life A Interest J Tsee Note, Part VIII
58 . Met Life - whole l i fe A Interest J T59 . Am erico Financia l L i fe- who le l i fe A Interest L T60 . American Genera l - who le l i fe A Interest K T61 . American Genera l - who le l i fe A Interest K T62 . Canada Li fe - who le l i fe A Interest .I T63 . MONY- whole l i fe A Interest J T64 . Massachusetts Mutual - f lexible retirement D Dividend Lannuity65 . Wells Fargo & Co. A Dividend J66 . Nationwide Annuity [formerly AIG C Dividend MAnnuity]67 . ML Personal Advisor* (formerly BofA A DividendManaged P or t fo l io)68 . ML Personal Adviso r Multi-Asset Sector B Dividend LETF Portfolio
TTT
SoldT B uy
02/26/1003/05/10
L
LA see Note, Pan Vlll
I. Incom e Gain C odes : A = $1,000 or less B = $1,001 - $2,500 C =$2,501 - $5,000 D =$5.0~1 - $15,00~( See Columns B I and D4) F =$50.001 - $ 100,000 G = $ 10 0,0 ~ I - $ 1 ,0 ~.0 00 H I -$ 1,0 ~.0 01 - $ 5.0 0~ .0 ~O [12 =More than $ 5.090.000
2. Value C odes J = $ 15,0~0 or less K =$15,001 - $50,000 L =$50,001 - $100.0OO M =$100.0~1 - $250,000(S ee Colum ns C I and D3) N =$250.001 - $509,000 O -$500,001 - $1,000,000 P I = $1,000.001 - $5,0(~.000 P2 =$5.1)00.0(11 - $25.000.000
P3 =$25,000,001 - $50.000,000 P4 -More Iha n $50.000.0~3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessm ent T =Cash Market(Se e Column C2) U =Book Value V =Other W =E st im ated
E =$15.0~1 -
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FINANCIAL DISCLOSURE REPORTPage 8 of !0 Ia m e o f P e r s o n R e p o r t in gHOLLAND, H. Russel D a t e o f R e p o r t09/20/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - incom e, va l u e , t ransac t ions ( Inc l u des t h ose o f spou se and depen dent ch i l dren; s ee pp . 34- 60 o f f i ling ins t ru c t ions . )NONE (No reportable income, assets, or transactions.)
Descr ip t ion of Assets Income during( i n c l u d i n g I n , s t a s s e t s ) r e p o r t i n g p e r i o d
(i) (2)Place "(X)" after each asset A moun t Type (e.g.,
exempt from prior disclosure Code I div. , rent ,( A -H ) or int . )
Gross value a t endo f r e p o r t i n g p e r i o dO) (2)
V a lue Va lueC o d e 2 Method(J-P) C o d e 3
( Q - W )
O)Type (e.g.,
buy , se l l ,r e d e mp t i o n )
T r a n s a c t i o n s during reporting period(2) (3) (4)
D a t e V a lu e G a i nmm/dd/yy Co d e 2 Code I
( J - P ) (A-H)I d e n t i t y o f
buyer / se l l e r( i f p r i v a t e
t r ansac t ion)
69. Alaska Communicat ions Systems70 . General Communications
71 . First National Bank Alaska72 . Verigy73 . Bank of America- Franklin Oregon TaxF r e e7 4. MSDW I shares Canada Index75 . PIMCO All Asset / All Authoriq76. B lackrock Globa l Al locat ion ( IRA account)77 . Columbia Cash Reserves Dai ly (IRAaccount)7 8. N or th d m B an k ( CD s)79 . M S Trust Bank -- SEE ALSO LINE #8
A DividendNone
B DividendNone
D l n l e r e s t
A DividendB DividendA DividendA I n t e r e s t
A I n t e r e s t
A I n t e r e s t
J T
J T
K T
J T
M T
J T
K T
J T
J T
K T Bu y
C l o s e d
03/I 6110
08115/10
K
J
Northrim Bank
A see Note, Part V III
I. I n c o m e G a i n Codes: A -$1,000 or less B =$1.001 - $2,500 C = $2.501 - $5,000 D = $5.0OI - $15,000(Se e Columns BI a nd D4) F = $50.001 - $ 100.000 G = $100.001 - $1.0~O.000 H I =$1.000.001 - $5.~0.000 H2 =More than $5.000.000
2. Value Codes J =$15.0OO or less K =$15,001 - $50.0~O L $50.001 - $100.000 M $1 00,001 - $250.000( See Co lum ns C I a nd D3) N = $250.0 01 - $ 5 0 0 , 0 0 0 O =$500.001 - $ 1.000.0OO P I =$ 1 .0 00 .0 01 - $5 .0 00 .0 00 P 2 =$ 5, 00 0. 00 1 - $2 5, 00 0, 00 0
P3 =$25,000.001 - $50.000.000 P4 -More Ihan $50,000.0003. Value Method Codes Q ~Appraisal R =Cost (Real Estate Only} S =Assessment T = C a s h M a r k e t( s e e Column C2) U =Book Value V =Other W =EslimalCd
E -$15.001 - $50.000
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FINANCIAL DISCLOSURE REPORTPage 9 of 10
N a m e o f P e r so n R e p o r t i n gH O LLA N D , H . Russe l
Date of R e p o r t09/20/2011
V III . ADDITIONAL INFORM ATION OR EXPLANATIONS.Part VII, In. 8: AMENDMENT
-AND-Part VII, In. 79: AMENDMENTBecause I misunderstood the informat ion tha t was provided to me w i th re spec t to l ine 8 of Pa r t VI I ofboth the 2009 and 2010repor t ing yea r s , I f a i led to proper ly c lose ou t the account r e f lec ted a t l ine 8 in the 2009 repor t . As re f lec ted in the am endedreport at lines 8 and 79, what has happened here is that the "MS Trust Bank" account was closed and the "Bank of AmericaCash Reserves Daily" account was opened by a transfer of funds from one account to the other account and at different banks.Par t VII , In . 13 : There has been n o ac tua l t r ansfe r; name change to Mer r i l l Lynch .Par t VII , In . 24: TR UST #1 : New i tems tha t have been ADDED to the t rus t : Ins . 46 - 53 , inc lus ive .Par t VII , In . 28: Ful l name: Gabel l i Global Gold & Natura l Reserves ; va lue code o fadd l shares bought dur ing year i s J ; g ross va lue o faccoun t ( inc lud ing add lshares) is K.Par t VII , In . 33: Reference In . 33 and the p reced ing en t ry on In . 32 : i t em so ld and repurchased wi thin ca l endar year .Par t VII , In . 42: Refe rence In . 42 and the preceding entry on In . 41 : i tem sold and repurchased wi th in ca lendar yea r .Par t VII , In . 45 : Reference In . 45 and the p reced ing en t ry on In . 44 : i t em so ld and repurchased wi thin ca l endar year .Part VII, In. 56: Sold in 2009; overlooked in prior years report : Sold 09/04/2009; Value Code at sale "K"; Gain Code at sale "A".Par t VII , In . 67 : New name for account : ML P ersona l Advisor /Mutua l Fund Advisor ( former ly Bank of Amer ica Managed Por t fo l io).
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Name of Person Report ingHOLLAND, H. Russel
Date of Report09/20/2011
IX. CERTIFICATION.I c e r t i fy t h a t a l l i n fo rm a t io n g i v e n a b o v e ( i n c l ud i n g i n fo rm a t i o n p e r t a in i n g t o m y s p o us e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s
accura te , t rue , and comple te to the bes t of my knowledge and be l ie f , and tha t any informa t ion not reported was ~ thhe ld because i t me t appl icab le s ta tutoryprovis ions pe rmi t t ing non-di sc losure .I fur t h e r c e rt i fy t h a t e a rne d i nc om e f rom o ut s i de e mpl oym e nt a nd h ono ra r i a a nd t h e a c c e p t a nc e o f g i f t s wh i c h h a ve b e e n re por t e d a re i nc om pl i a nc e wi t h t h e p rov i s i ons o f 5 U . S . C . a pp . 501 e t . se q , 5 U . S . C . 7 353, a nd Jud i c i a l Confe re nc e r e gul a t i ons .
Signature: S/H. Russel HOLLAND
N O T E : A N Y IN D IV ID U AL W H O K N O W IN G L Y A N D W IL FU LL Y FA L S IFIE S O R FA ILS T O FIL E T H IS R E P O R T M A Y B E S U B J E C T T O C IV ILAND CRIMINAL SANCT IONS (5 U.S.C. app . 104)
Committee on Financ ia l Disc losureAdm inis t ra t ive Off ice of the United Sta tes Cour tsSuite 2-301One Co lumbus Circ le , N.E.W a s h in g to n , D. C . 2054 4