susan j dlott financial disclosure report for 2010

8/3/2019 Susan J Dlott Financial Disclosure Report for 2010

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May 1,2011

Comm ittee on Financial DisclosureJudicial Conference of the United StatesOne C olumbus Circle, FIEW ashington, D.C. 20544Re: 2010 Financial Disclosure Report

Dear Comm ittee Members:Please note that the report that I am filing is for me alone

separate, and I do not have access to any of his financial information.our assets and tax returns

Enclosed you w ill find an original and three copies of my F inancial Disclosure Report forJanuary 1, 2010 through December 31, 2010.If the Com mittee needs any fu rther information, please do not hesitate to contact m e at~]

Sincerely,

c: George D. Reynolds, Esq.Enclosures


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" AOtORev . 1 /2011 FINANCIAL DISCLOSURE REPORTF O R C A L E N D A R Y E A R 2 0 1 0Report Required by the Ethics

in Government Act of 1978(5 U.S,C. app. ,~ 101-111)

I. Person Reporting (last name, first~ middle initial)DLOTT, SUSAN J .

4. Title (Article 111 j udges indicate active or senior status;magistrate judges indicate full- or part-time)US CHIEF DIST JUDGE-ACT IVE

7. Chamber~ or Office AddressUS COURT HOUSE2ND FLOOR ROOM 227CINCINNA TI OHIO 45202

2. Courl or OrganizationUS SOUTHERN DISTRICT OF OHIO

5a. Report Type ( che~k appropriate .type)

] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report

3. Dale of Report4/27/7011

6. Reporting Period01/01/2010to12/31/2010

8.On the basis of the information contained In this Report and anymodifications pertaining thereto, It Is, In my opinion, in compliancewith applicable laws and regulations.

Reviewing O fficer Date

I M P O R T A N T N O T E S : The instructions accompanying this farm must be followea~ Complete all parts,checking the NON E box for each parl ~,here you have no reportable information. Sign on last pag~

I . P O S I T I O N S . t R , p n r a , g i n d i v id u a l only," ,ee p p . 9 - 1 3 of1"aing instr.ctioni )[~ N O N E ( N o reportableposithgns.)POSITION

I . CO-PERSONAL REPKES ENTATIVE2.3.

4.

5.

NAME OF ORGANIZATION/ENTITYESTATE

I I . A G R E E M E N T S . tR o p o , t i~ # individunl only; sepp. 14-16 of Jdlng instructions.)[~ N O N E ( N o r e por ta b l e a g r e e m e n t s . .)

D A T E PARTIES AND TERMS


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FI]qANCIAL DISCLOSURE REPORTPage 2 of 13

N a m e o f Person ReportingDL OT T , SUSAN J .

Date o f Report4/27/2011

I II . N O N - IN V E S T M E N T I N C O M E . t n e p o , a n ~ individual andspouse; see p p . 1 7 - 2 4 o f f d l n g i n s r r u c ~ O n s , )A. Filers N on- lnvestmen | Income

~] N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE 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 - l n v e s lm e n t I n c o m e - ~lyoa were m arried during anj , port ion of the report ing year, com plete this ~aior~(Dollar amount not required e-rcept for honoraria.)

N O N E (No reportable non-investment income.)D A T _ _ _ ~ E SOURCE AND TYPE

I.2.3.4.

IV. REIMBURSEMENTS -(Includes those to spouse and dependent children; see pp. 2.L27 of filing imrructions.)

~ (No reportable re imbursements . )ONE

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 of 13

Name of Person ReportitagDLOTT, SUSAN J.

2.3.4.5.

NO NE ( N o reportable gifts.)SOURCE DESCRIPTION

4/27/2011

V A L U E

~] NONE (No reportable liabilities.)CREDITOR DESCRIPTION

1.2.3.4.

5.

VALUE CODE


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FllqANCIAL DISCLOSURE REPORTPage 4 of 13

Name of Person ReportingD L O T T , S U S A N J .

Date of Report4/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i, ~ o , ~ e , ~. transactions (Includes those of spouse and dependent children; aee pp. ,$4-60 O/]dlng in.~tr~ctions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f A s s e ts Income during Gross value al end Transactions during reporting period(including trust assets) reporting period of reporting period(t) (2) (~) (?) O) (2) (3)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o un t T y p e ( e . g . , Value Value T y p e ( e . g ., Dale Value Gain Identity ofexempt from prior disclosure Code I div., rent, Code 2 M e th o d buy, sell, m r~ dd /y y C od e 2 C o d e I buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) (J-P) (A-H) (if private(Q.W) t r a n s a c t i o n )

3.4.5.

7.

9.1 0 .1 1 .1 2 .1 3 .1 4 .1 5 .1 6 .

BOND-GREEN OHIO INCOME TAX REbCOMM. LEAILNING CENTERBOND-BLUE ASH OH SERV GARAGE &FIREHOUSE 3% DUE 11/I /10TIME WARNER INC.BOND - KENTUCKY RURAL WATERFINANCING CORP 4.00%BOND - KENTUCKY ASSOC. OFCOUNTIES FINANCING 4.250%BOND - CINCINNA TI OHIO CITYSCHOO L DISTRICT 5%, DUE 12/1/15BOND - FAIRFIELD & UNION LOCALSCHOOL, 3.875%, DUE 12/1/12CASH held in custodian at Johnsonlnvenstmcnts ~CASH held in custodian at JohnsonInveslemen~ ~WomenS capital club partnership (2.5%onwership))BOND - OHIO STATE UNIV GENERALRECEIPT REV 5.00%BOND-LORAIN CO OH REV CATHHEAL THCA RE 5.2% DUE 9/1/10FIFTH TH IRD BANK CHECKINGACCTSBOND - PORTAGE COUNTY OH IOGENERAL OB LIGATION LTD 4 .00%BOND-LAKE OH L OCAL SCH DISTGEN O BLIG 5.35% DUE 12/01/1S HS CHE VR O N CORPSHS MICROSOFT CORF

DCA

B

DD

cCA

D

A

B

|nterestInterest

Distribution

InterestNone

InterestInterestNoneNoneNone

InterestInterestInterestNone

Interesl[Dividend

M

MNMMNJKM

JN

J

Matured

B u yBuy

Bu yMatured

Bu yMatured

l l/Ol/lO M

04/I 5/101 2 1 0 3 / ] 0

06f25110 05/21/10 i

0 9 / 1 7 / 1 0 !

1 2 / 0 1 1 1 0 ]

MN

MM

NM

C

A

I Income Gain C o d e s :(See Columns B I and2. Value C~dcs( S e e C o | u m o s C I a n d D 3

3 . V a h ; , e( S e e Colu~ C2 )

A =$ 1,000 or less-$50,001 - $100.000=$15.000 or less

N "$250,001 - $500,000P 3 = $ 2 5 . 0 ( 1 0 , 0 1 ) 1 -Q = Appr ai.~]U =Book Value

S =AssessmentW =Estimated

D =$5.001 - $15,000H2 = More thma $!000,000M =$100,001 . $250,000P2 = $ i 0 0 0 , 0 0 1 - $25.000,000T , ~sh M ar ke t

E = $ 1 5 , 0 0 1 - $50,000


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F IN A N C I A L D IS C L O S UR E R E P O R TPage 5 o f 13

N a m e of Felon ReportingDLOTT, SUSAN J.

Dale oI Report4127/2011

NONE (No reportable income, assets, or transactions.)A. B. C. D.Description of Assets Income during Gross value a! end Transactions during reporting period(including trust assets) reporting period o f r e p o r t i n g p e r i o d

(I) (2) (1) 12) (1 ) (2) (3) (4) (5 )P l a c e " ( X )~ a f t e r e a c h a s s e ~ A m o u n t Type (e.g., Value Value T y p e ( e . g . , D a t e Value Gain Identity ofe x e m p t f r o m prior disclosure Code I d i v . , r e n t , Code 2 M e th o d buy, sell, mm/dd~ Code 2 Code I buyer/seller(A-It) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A -H) (if private( Q -W ) t r a n s a c t i o n )

i s . S H S ~ E P S l C O r N C1 9 . SHS JOHNSON FIXED INCOME FUND

~0. SHS BlIP BILLITON LTD ADR

2 1. C ON O CO PH IL LIP S22. BOND-CLEVELAND OH

WATERWORKS KEV I STMORT SERIESG 5.5% 2!)13

23. SHS PROCTER& GAMBLE CO

24. SHSCISCOSYSTEMS

25. SHARES EQUITABLE RESOURCES INC

26 . SHARES GENERAL ELECTRICCOMPANY

27. EXXON MOBIL CORPORATION

28. SItS JOHNSON & JOHNSON

29 . - SHARES NOVARTIS AG ADR3 0. L A K EW O O D O H IO G EN 5. 0% D UE

12/1/I 4 DATED 5/26/0531. GAHANNA OHIO GEN 5.0% DU E1 2 / 1 11 8 DA T E D 9 / I 1 0 532 . JACKSON OHIO LOCAL SCttOOL DIST

5.0% DUE 1211!16 DATED 4/211033 . MENTOROHIO GEN 5.0% DUE 12/1/15

D AT ED 1 0 1 1 1 05

B Dividend

D Dividend

A Dividend

C DividendC lnteresl

D Dividend

None

A DividendA DividendB Dividend

C DividendA DividendD I n t e r e s tD I n t e r e s tD I n t e r e s tC I n t e r e s t

TIN TJ T

L TL T

M

J

K

L

L

M

MM

M

TT

T

TT

T

T

T

T

Buy(addl)

Matured(part)

S o l d

04/0]/10 K

01/01/I0

10/19/10

K

B

I. lrtcome Gain ~odes A =$ 1.000 or ~esx B =$ I,OOt * $2,5~ C =$2,501 -(S ee Coleus BI a~ D4) F = $5 0,~1 $ 1 ~ ,(~ G =1 I~,001 - $1,0~,~ Itl =$1,~.001 - $5,~,0~ f t2 =M ole th in $5 ,~,~0[Set Colu~t CI and D3) N = $250,~1 - $5~,0~ O -$5~.~1 - $1,0~,~ PI =$1,~,~1 - $5,0~,~ P2 ~5,~,~1 - $25,~.0~P3 =I25,~.~ I $ 5 0 , ~ . ~0 P4 =More ~3. Value Metb~ C~ Q =Appraisal R ~o~l (Real Estate Only) S =~essm~t T = ~ s h M a n e t(S1 Col~n C2) U ~B~k V a lue V ~b~ W =Estima~d

E =$15 ,001


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F I fi / A N C I A L D I SC L O S UR E R E P O R TP age 6 o f 1 3

N a m e of Person Reporting Date o f ReportD L O T T , S U S A N J . 4/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o . .e , .o l ~ e , , .o . s .c ~ o n , a . d . ~ , s ,h o s e o ~ " s ~ , o ~ ~ . ~ a o , ~ n ~ e . I children; see p p . 3 4 - 6 0 of fdlng lngtrucdt}t~.)NONE (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 asset~) r e p o r t in g p e r i o d of reporting period

(I) (2) (I) (2) (I) (2) (3) (~) (5 )P l a c e " ( X )~ a f t e r e a c h a s s e t Amount T y p e ( e . g ., Value Value T y p e ( e . g ., D a t e V alue G ain Identity ofe x e m p t f ro m p r i o r d i s c lo s u r e Code l d i v . , r e n t , Code 2 M e th o d buy, sell, mm/dd/yy Code 2 Code I buyer/seller(A-H) o r i n t . ) ( I - P ) Code 3 ~ e d e m p t i o n ) UP) (A -H) (if private( Q - W ) transaction)34 .

35 .

36 .

37 ,38 .

39 .

40 .

41 .

42 .

43 .

44.

45 .

46 .

4 7 ~

48.

49 .

50.

UNION COUNTY OHIO 4 .5% DUE12/I /14 DAT ED 7/1/05UNIVERSITY OF cEqCINNA TI GEN4.0% DUE 6/1!12 DATED 311/05BOND - OH]O HOUSING FINANCYAG ENCY MORT REV ,3.95%,DUE 9/1/15OHIO STATE DEPT OF ADMINSERVICES COP, 5%, DUE 9/1/I 1PICKERINTONOHIO LOCAL SCHOOL,4.125A, DUE 12/I/16STATE OF OH IO INFRASTRUCTUREIMP, 4%, DUE 2/1/133M COMPANY SHARESCINCINNA TI F INANCIAL CORPSHARESD O M I N I O N R E S O U R C E S S H A R E S

E M E R SO N E L E C T R IC C O M P A N Y

THOILNBURG INTERNATIONALV AL U E F U NDCOMCAST CORP CLA SS A SPECIALR O C I tE H O L D I N G S L I M I T E D - A D R

SHS KELLOGG COMPANYBOND - STATE OF OHIO BLDG AUTHREV,5%, DU E 10/1/]7SHS US BANCORPO H I O M U N I E L E C T R I C G E N E R A T I O NA G E N C Y R E V C A L L A B L E 2 - 15 - 1 4

DI

InlereslC i InterestC IntereslD lnlerestC InlerestC lnleres!B DividendC DividendC DividendB DividendA DividendA DividendA DividendA DividendD InterestA DividendD Interest

MMM

ML

MLL

L

LL

Sold

Sold

0 4 1 0 6 1 ] 0

10119/10

A

A

I. Income Gum Cad~:s: A =$ 1.000 or less 1 3 - $ 1 , D O ] - $ 2 , 5 0 0 C =$2.501 - $5,000 D ~$5,001 - $15,0001 S C ol um ns B I I~ t I M) F = $ 50 ,0 01 - $1 00 ,0 00 G = $100,001 - $1,000,000 I11 =$1,000.001 - $5,000,000 112 =More than $5,000,0002. Value Codes J =$15,000 or less K =$ 15,001 . $50,000 L = $ 5 0 . 0 0 1 - 1 ; 1 0 0 , 0 0 0 M --$100.001 -$250,000(See Columns C ) a n d D 3 ) N -1;250,001 - $500,000 13 =$ 500,001 - 1;I.000,000 PI = $ 1 . O 0 0 , O O t - $5.000,000 P 2 ~ * ~ 5 , 0 0 0 ,0 0 1 - ~ 2 5 . 0 0 0 ,0 0 0P3 "$25,000.1~01 - 150,0~0,000 P ~More than $50~000,0003. V~lue M~thod Codes Q -Appraisal R ,-Cost tRial ~lat~ Only) S =Ass(ssmen! T - 4 ~ a . s b M a r k ( ~(Sec Column C2) U "Book V~lue V =O~her W = Estimated


8/14

F L ~ A N C I A L D IS C L O S UR E R E P O R TPage 7 o f 13


Date of Repor~,~/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o ~ , ~ , v o l .~ , t r o . ~ o c t i o .s a n a . ,~ $ r ~ o . , o f $ ~ , o . . = n , ~ * p e . d e . , children; ,~ee p p . 3 4 - 6 0 of fding instructions.}N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during G ross value at end Transactions during reporting period(including trust assets) reporting period o f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (1 ) (2) (3) (4) 1 5 )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 . , Value Value T y p e ( e , g . , D a t e Value Gain Identity o fe x e m p t f ro m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t , Code 2 M e th o d buy, sell, mm!dd/yy Code 2 Code 1 buyer/seller(A-H) o r i n t , ) ( J - P ) Code 3 r e d e m p t i o n ) (I-P) (A-H ) (if private( Q - W ) t r a n s a c t i o n )51. BECTON, DICKINSON AN D COMPANY5 2 . CHESAPEAKE ENERGYCORPORATION53 . SHS - REPUBLIC SVS INC

54. NESTLEA SPONSERED ADR55. SAFE~AY INCORPORATED56 . GOLDMAN SACHS GROUP INC57 . MANITOWOC COMPANYINC58 . MINDRAY MEDICAL INTL LTD59. PEPSICO INCORPORAT ED6 0. PETROLEO BRASILEIRO - SA6 I . POLO RALPH LAUREN CORP6 2. T A T A MO TO RS LT D- SPN S A DR6 3. GREATER CLEVELAND OHIOP,GIONAL TRANSPORTATIONAUTHORITY GNE6 4 . M A SO N O H IO G E N 4% D U E 1 2/ 02 1/ 206 5. NORTH OL MSTED OHIOGEN. 5.250%DUE 1211/206 6 . O H IO ST A T E H O US IN G FI N A N CEAGEN CY KEV 3.7% DUE 1211/16

A

A

A

BA

A

AA

AA

A

AD

DividendDividendDividend K

Dividend KDividendDividendDividend JDividend JDividend JDividend KDividend KDividend KInterest M

D Interest MD Interest M

C I n t e r e s t ] L

T

T

TTTTTTT

TTT

Sold

SoldB uy

SoldSoldSold

Matured(part)

01/05/1005/03II 004/07/I0I07/16/100 4 1 0 6 1 1 0

04/28/10

J

J

K

KL

K

09/01/10 J

AA

DD

A

3. Va]~ Me~d CMes Q = A p p ra m l R ~OSl (Real ~tat Ody) S =~essment T ~h M~k~


9/14


N a m e o f Person ReportingD L O T T , S U S A N J .

Date of Report4/27/201 I

A. B. C.Description of Asse~ Income dur ing Gross value at end( including trust assets) reporting period of reporting period(l) (2) (t) (2)

Place "(X)" af ter each asset Am o u n t Type (e.g., V alue V alueexempt from prior disclosure C o d e I div., rent, Code 2 Method( A - H) or int.) (J -P) Code 3( Q - W )

( 1 )T y p e ( e . g . ,buy, sell ,

redempt ion)

Transactions during reporting period(2) (3) (4) ( 5 )

Date Value Gain Identity ofmm/dd,ay7 Code 2 C o d e I buyer/seller

(J-P ) (A -H ) (if privatetransaction)

67. FPLGROUP INC A Dividend S o l d 05/03/10 L C68 . VA N G U A R D M O N E Y M A R K E T A DividendRESERVES6 9. V A NG UA RD M O NE Y M AR K ET NoneRESERVES70. Beaverueek Ohio c i t y s chool d i s t r i ct 4 .75% D I n t e r e s t M

Sold 1 I 1 2 6 / 1 0( p a n )Sold 11/29/10

LO

AA

7 1 .

72.73 ,

7 5 .1 7 6 .1 7 7.

78 .79 .

DUBLIN OHIO CITY SCHOOLD1STR/CT FAC. 4.0%KENTON CTY. KY SCHOOL DISTRICTFINAN CE 4.5%

D I n t e r e s t MD I n t e r e s t M

TT

KENTUCKY STATE PROP AND BLDG .COMMISSION 5.0% D I n t e r e s t MRI SING SUN I N. SCHOOL BLD G. CORP. D3.8% I n t e r e s t MW A L G R E E N COMPANY A Dividend LGA MES TOP CORPORATION None JV AL L E Y FORGE COMPOSITETECFENOLOGYV AL L E Y FORGE COMPOSITETECI -~OLOGYAPPLIED M ATERIALS, INC A

None

None

Dividend

B uy 01/14/10 J

Sold 01/14/10 K

80. NORFOLK SOUTHERN CORPORATION A Dividend81 . POTASH CORPORATION OF A DividendSASKATCHEWAN, INC82 . SH S - PEPSICO INCORPORATED A Dividend83. NOVARTIS A Dividend

TTTT

1. Income Gain Codes: A =$1,000 or less B =$1,091 - $2,500 C =52,501 - $5,0~0 D =$5.001 - $15,000($e Columns B1 and D4) F =$50,001 - $100,000 O -5100,001 - 51,000,000 H I =5 1, 00 0, 00 1 - $ 5, 00 0. 00 0 1 !2 =M or e t ha n $ 5 .0 00 ,0 002 Value Codts ~ ~$15.0~ o~ le~s K( See C olurans CI and D3 ) N -5250.001 -P3 = $25,000,001 - $50,000.000 P4 =Mo~e r~im 550.000.0003 Value Method Codes Q -Apprai~l R =Cosl (Real Estate Only) S =Assessmer. T --Cash Market(See Column C2) U ~Book Val,x: V -O~het W =Estimated

=$15,001 - $50.000


10/14

FI!~ /ANCIAL DISCLOSURE R EPO RTPage 9 of ! 3


D a t e o f Reperl4/27/201 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 . c o , ~ e , ~ o t .o , t r .. ~ . c a o , ~ a ~ a ~ d e s ~ , o , o , ~ , o ~ s , . .d a e ~ , o . ~ e . , children; s e e p p . 3 4 - ~ 0 of filing instructions.)V-] NONE (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross value al end Transactions during reporting period(including trust assets) reporting period of reporting period(I) (21 (1) (2) (I) (2) (3) (4) (5 )P l a c e " ( X ) " a f t e r e ~ c h a s s e t A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g . , D a t e V alve G ain ldentily ofexempt from prior disclosure Code I d i v . , r e n t , Code 2 M e th o d buy, sell, mrrddd/yy Code 2 Code I buyer/seller(A-|I} or intO (J-P) Code 3 r e d e m p t i o n ) ( J - P ) (A -II) ( if private(q-w) transaction)

$4 . SHS - JOHNSON AND JOHN SON85. GS FINLSQ MMKT INSTL8 6 . A RCH E R D A ~N r lE L S M ID L A N D87 . BP PLC SPONS ADR8 8 . DPL INC89 . G S FINL SQ MMKT [NSTL90 . APPLE INC91. AMDOCS LTD92. HASBRO INC93 . I N D U ST R I A L SECTOR SPDR94 . ISHARES MSCI EAFE INDEX95. ISHARESTR MSCI EMERGING96 . KROGERCOMPANY COMMON97 . MEDTRONIC INC98 . NYSE EURONEXT99 . PETMEDEXPRESS INC100. SCHLUMBERGER LTD

A

AB

A

A

AB

A

A

A

B

AA

DividendNone

Dividend

DividendDividendDividend

NoneNone

DividendDividendDividendDividendDividendDividendDividendDividendDividend

K T

L TL TK T

KK

J

JKKK

TTTTTTTT

Bu y(addl)Sold

Sold

Sold(part)Bu y

( a d d l }

Sold

09/t 6/1006110/l 0

05/05/10

01/14/10

10/28110

01/29/10 !

LJ

J

LJ

K

A

A

I I n c o m e Ga in Codes :(See Co lumos B

2. V a l u e C o d e r( S e e C o l u m n s C 1 a n d D 31

] Value MetbodC~e~[ Se e Cd u m n C2 )

~ S I , O 0 ~ o r-$15,000 or le~s-$250,001 . $500,000

P3 -$25,00~,001 - $50.00~,000-Appraisal~Book V~lue

B = $ 1 , 0 9 1 -K = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0O ~$500,001 - $1,000,000R - - ~ C o ~ I ( R e n l E s ta te O ~ l y )

D ---$~,001 - $15,0~01t2 -Mor~ thanM =$10O,001 - $ 2 5 0 , 0 Q 0P2 =$5.000.001 - $25,0~,000T =C~E Mark~"

$ 5 0 , 0 0 1 )


11/14

FIlqANCIAL DISCLO SURE REP ORTPage ! 0 of 13

N a m e of Person ReportingD L O T T , S U S A N J .

D a t e e f R e p o r ~4/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - . . . . o , value, transactions ( Includes those of spouse and dependen~ children; see pp. 34-60 of f i l ing instructions.}N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f A s s e ts Income during G ross value at end Transactions during reporting period(including trust assels) reporting period of reporting period(1) (~) (l) (2) (0 (2) (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o un t T y p e ( e . g . , V alue V alue T y p e ( g . , D a t e Value Gain Identib, ofe x e m p t f r o m prior d i s c l o s u r e Code ] d i v . , r e n t , Code 2 M e th o d buy, sell, mm/dd!yy Code 2 Code I buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) (if private( Q - W ) transaction)

101. PORTFOLIO RECOVERY ASSOCIATE

1 0 2 . SUNCOR ENERGY INC103 . A T & T I N C.1 0 4 . FEDERATED MUNICIPAL CASH T RUSI

, 105. CONSTELLATION BRANDS INC CL A1 0 6 . VANG UARD SHORT TERMINVESTMENT GRADE FUND107. VANG UARD SHORT TERMINVESTMENT GRADE FUND1 0 8 . WORLDCOM, INC,109. SHS - CONOCOPHILLIPS1 1 0 . SHS - DOMINION RESOURCES1 1 1 . SHS - EMERSON ELECTRIC COMPANY112. MICROSOFT CORPORATIONl 13. NESTLE S A SPONSORED ADR1 1 4 . SHS - SAFEWAY INCORPORATED1 1 5 . PROCTER & GA MBLE COMPANY1 16 . T H O R. N BURG I N T ERN A T IO N A LVALUE FUND117. ,1OHNSON FIXED INCOME FUND

Norse

A Dividend K T

B Dividend K TA Interest

None K TE Dividend O TA Distribution

A DistributionA Dividend

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend J TA DividendA Dividend ,1 TA Dividend J T

A Distribution

Sold 06/10/10 K D

B uy 01/14/10 K

Sold 12/07/10 .1 B

Sold 04/06/10 J A

(See Columns BI and ~) F =$ 50,~1 - $1~,~0 G =$1~,~1 - $1.~.~ Itl =$1,~0,001 - $5,~,0~ 1t2 =M ~e than $5,0~.~2. Value C~s J =$15.~ ~ less K =~15 .~1 - $ 50,0~ L =$ 50,001 - ~100,~ M ~$100,001 - ~250,0~~e Columns CI and D3) N ~$250,~1 - $5~,~ O ~$~.001 - $1.0~.~0 PI =$ I.~.001 - $5,~,~ P2 =$5,~,~1 - $25,~,~

P3 -$ 2~,~,~1 - $ 50.0~.~10 P4 =More ~ $50,~,0~" 3 Value Meth~ C~es Q ~Appraisal R ~osl (Real f~tale Only) S =Assessmenl T =C~h Markel(See Col~ C2) U ~B~k Value V ~her W ~E~imated

E =$ 15,001


12/14

F IN A N C IA L D I SC L O S U R E R E P O R TPage 11 o f 13

N a m e o f P e r s o n R e p o r t in gDLOTT, SUSAN J .

Date of Report4 / 2 7 / 2 0 1 |

V I I. IN V E S T M E N T S a n d T R U S TS -NONE (No reportable income, assets, or transactions.)

A. .8. C.Description of Agse,s Income duri~,g Gross value at end( 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 f r e p o r t i n g p e r i o d

O) (~) (D (2)P l a c ~ " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g ,, Value Valueexempt from prior disclosure Code 1 div., rent. C.ode 2 Method( A - H ) o r i n t . ) ( J - P ) Code 3( Q - W )

T y p e ( e . g . ,buy. s~ll,

r e d e m p t i o n )

Tran~clions during reporting period

( 2 ) ( 3 ) ( 4 ) (5)Date Val~e Gain Ident i ty of

mm/dd/y~j Code 2 Code I buyer/seller( J - P ) ( A - H ) ( i f p r i v a t et r a n s n c t i o n )

B uy I

(Sc Columns ~1

(Se Coiu~ C2) U =B~k Value V ~her W =Estimated

I~ = $ 1 5 , 0 0 1 .


13/14


N a m e o f P e r s o n R e p o r t in gD L O T T , S U S A N 3 .

Date of Report4 1 2 7 1 2 0 1 1

VII1. ADDITIONAL INFORMATION OR EXPLANATIONS. ~,,d+~,, , ,~ , , , , ,PART VIILISTED STOCKS ARE COMMON SHARES UNLESS OTHERWISE NOTED.ALL W OMENS CLUB INVESTMENTS A RE REPORTED AT TH E AGG REGATE VA LUE. JUDGE DLOI~f OWNS 2 ,5%.LINES 8 AND 9 ARE CASH A CCOUNTS HELD IN INVESTMENT A CCOUNTS FOR FUTURE PURCHASES.LINES 3 A ND 108 ARE DISTRIBUTIONS OF SECURITIES LITIGAT ION SETTLEMENTS FROM INV ESTMENTS IIELD PRIOR TO TH IS YEARLINE 117 DIVIDENDS AND DISTRIBUTIONS WERE RECEIVED FROM JOHNSON FIXED INCOME FUND IN THE CURRENT YEAR. DIVIDENDSRECEIVED ARE REPORTED ON LINE 19, NOT ENOUGH ROOM TO REPORT BOTH H ERE.LINE 104 TH IS IS ADDITIONAL I? ,, TEREST RECEIVED DURING TH E CURRENT Y EAR FOR SECURITIES THAT W E R E S O L D O N T H E L A S T D A YOF THE PRIOR YEAR.LINE 107 IS A CAPITAL GAIN DISTRIBUTION FROM VANGUA RD SHORT TERM INVESTMENT GRADE FUND. THERE WERE ALSO DIVIDENDSFROM THESE HOLDINGS DURING T HE CURRENT YEAR REPORTED AT LINE 106. THERE WAS N OT ENOUGH ROOM TO REPORT BOTH HERE,LINE 85 SHARES OF GS FINL SQ MMK T INSTL WERE SOLD (AT LINE 89) AN D PURCHASED (AT LINE 85) DURING THE CURRENT YEA R.THERE WAS NOT ENOUGH ROOM TO REPORT BOTH ON LINE 89 .L I N E S 7 7 A N D 7 8 R E P O R T S A C T I V I T Y R EL A T ED T O VA L L E Y F O R GE S T O CK T HA T WA S B O U GHT AN D SOL D DURI NG T H E C URRENT P ER1 ODTHERE WAS NOT ENOUGH ROOM TO REPORT BOTH ON LINE 77 .PART I . POSITIONS JUDGE D LO"V I SERVES AS CO REPRESENT AT IVE O ~ !~ ,. : i~ i ~, . ?LIESTAT E - SHE HAS N O INTEREST IN THE TRUSTAND DOES NOT MAN AGE OR CONTROL TH E ASSETS OF THE TRUST - SO THERE IS NOTH ING REPORTED ON INVESTMENT TA B INACCORDANCE WITH DIRECTION FROM PRIOR YEARS.PART I11 B. SPOUSE HAS BEEN EXEMPTED FROM FILING REQUIREMENTS.


14/14

FI~IANCIAL DISCLOSURE REPORTPage 13 of 13

N a m e o f P e r s o n ReportingD L O T T , S U S A N J .

Date of Report4 / 2 7 1 2 0 1 1

IX. CERTIFICATION.! certify that all information given above ( including Information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my know ledge and belief , and that any information not reported was w ithheld because it met applicable statutory

provisions permitting non-disclosure.I further certify thai earned income from outside employment and honoraria and the acceptance of gilts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 el. seq. , 5 U.S,C. 7353, and Judicial Conference regulations.

Signal

N O T E : A N Y I N D I VID U A L W HO K N O WI N GL Y A N D WI L F U L L Y F A L S I FI E S O R F A L L S T O F I L E T l tl S R E PO R T M A Y B E S U B JE CT T O CI VI LAN D CRIMINAL SAN CTIONS (5 U.S .C . app. 104)

Committee on Financial DisclosureAdministrat ive Office of the United States CourtsSui te 2 -301One Columbus Circle, N.E.W ashington, D.C. 20544

susan j dlott financial disclosure report for 2010

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