thomas a varlan financial disclosure report for 2010

8/3/2019 Thomas A Varlan Financial Disclosure Report for 2010

1/16

AO 10Rev. 1/2011FINANCIAL DISCLOSURE REPO RT

FOR CALENDAR YEAR 2010Report Required b) the Eth ics

in Government A ct ofl978(5 U.S.C. app . . ~ I01-111)

I . P e r s o n Repo rting (last name, first , middle init ial)V ar l an , Th omas A .

4. Title (Article II! judges ind ic a te ac t ive or senior stares;ma gi s t r a t e judge s i ndica t e fu l l - or pa r t - t ime )U. S. District Judge - Active

7 . C h a m b e r s o r O f f i ce A d d r e s sU. S. Dist r ict Court800 Market St ree tKnoxvi l l e , " IN 37902

2. Court or O r g a n i z a t i o nU.S. District Court, E. Tenn.

3. Date of R e p o r t05/12/2011

5a. Report Type (check appropriate type)] N o m in a tio n , D a te[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliancew i t h a p p l i c a b le l a w s a n d r e g u l a t io n s .

Re~dcwing Officer Date

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followet Complete all parts,checking the NONE bo x for each part where you have no reportable informat ion. Sign on last page.

I . P O S I T I O N S . ( r ~ o ~ n g indiv idual only; see pp. 9-13 of f i l lng inMructlon&)~] (No reportable posi t ions.)O N E

POSITION NAME OF ORGANIZATION/ENTITYI. Ad vi so ry B o a rd Universi ty of Tennessee, Dep ar tmen t of Pol i t ical Science

2. Director B e a rd e n Hi g h S c h o o l Fo u n d a t io n

3. Successor T rustee Alexander Varlan Revocable Living Trust

4. M e m be r Judicial Conference of the Uni ted States

5. Associa te Board Universi ty of Tennessee, Col lege of Arts and Sciences

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of fillng instructions.)~ (No repor t a ble a greem e nt s . )ONE

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPOR TPage 2 of 8

N a m e o f P e r s o n R e p o r t in gVar|an, Thomas A.

D a t e o f R e p o r t05/12/201 I

I II . N O N - I N V E S T M E N T I N C O M E . ( R ,p o ,~ , g i , dlvid,,I,,d spo,se: seep p. IZ-2 of~li, gA. Filers Non-Investment Income

~] NONE non-investment income.)N o repor t a bleDATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours , not spouses)

B . S p o u s e s N o n - I n v e s t m e n t In c o m e - i f y o u were ma rried during any port ion of the report ing year, complete this sec t ion.(Dollar amount not required except for honoraria.)

N O N E ( N o 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, enter ta inment .(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

N ON E (No reportable reimbursements.)SOURCE D A T E S LOCATION

1.

2.3.4.5.

P U R PO SE ITEM S PAID OR PROV IDED


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FINANCIAL DISCLOSURE REPORTPage 3 of 8

Name of Pe rson Report ing\ a r i a n , T h o m a s A .

Date of Report0 5 / 1 : 2 / : 2 0 1 1

V . G I F T S . a , c l , ~ e s , h o s , , o s p o u s e u , d d e ~ . d , ,, c h i ld , ~ . ; s ~ e p p . 2 S - 3 1 of filing instructions~)N O N E ( N o reportable g~s. )

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l , ,~ e ~ ~ h o ~ o / s p o ~ s e o n d d ~ , e n ~ n , children; see p p . 3 2 - 3 J of filing in~tructlon&)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5.

VALUE CODE


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F I NANCI AL DIS CL O S URE RE P O R TPage 4 of 8 ia m e o f P e r s o n Repor t ingV a r l a n , T h o m a s A . Date of Report05/12/2011

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) 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

I (I) ( 2 ) (I) ( 2 ) (I) (2) (3) (4) (5 )~ A m o u nt T y p ~ ( e . g ., V alue Value T y p e ( e . g ., D a t e Value Gain identity ofP l a c e " ( X ) " a f t e r e a c h a s s e t Iexempt from prior disclosure ! Code I d i v . , r e n t , Code 2 M e t h o d buy, sell, m m / d d ~ 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) ( i f p r i v a t ei ( Q - W ) t r a n s a c t i o n )

I. AmSouth Bank Accounts2. Coc a Co la Comm on Stoc k3. B B & T C o m m o n S t o ck4. U.S. Savings Bon d5. Tennessee s BEST Prepaid Tuit ion Accounts6. Strategic Por tfolio Service Advantage IRA-I7. - Fidel i ty Adv. Strategy Incom e8. - UMB Scout Stock9. - Fidel t iy Advisor New Insights

1 0 . - AM Century Equity Income1 1 . - Fidelity Advisors Float Rt

1 2 . - Franklin M utual Discovery1 3 . - American Century Divers ified Bond

1 4 . - American Century Heritage1 5 . - Franklin M utual Discovery1 6 . - American Century Equity Income1 7 . - Fidel i ty Advisors New Insights

B Interest K TB Dividend L TA Dividend J TA Interest J TA Interest J TE Dividend M TA Dividend J TA Dividend K TA Dividend K TA Dividend K TA Dividend K TA Dividend K TA Dividend K TA Dividend K TA Dividend J TA DividendA Dividend

M e r g e d 0 1 / 0 2 1 1 0 J A(with l ine 10)

Merged 01/02/10 J A(with l ine 9)

I. Incom e G ain Cod cs: A -$1,000 or Icss B =$1,001 - $2.500 C =52.501 o $5,000 D =$5,001 - $15,0~0( Se e C ol um n s B I a nd D4 ) F -$ 50 .0 01 - $ 10 0.0 00 G =$ 100.001 - $ 1.000.000 I I I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0 1 1 2 ~ M o r e I l l ,a n

2. Value Codes J =SI 5.0(~ or less K =$15.0O I - $50.000 L =550.001 - 510~ .000 M =$100.001 - $250.000ISce Columns CI and D3) N = $250.001 - 5 500.000 O =$ 50~ .001 - $ 1,0~ 0.000 P I = 5 1.0 00 .0 ~ 1 - 55 .0 00 ,0 00 P 2 = $ 5. 00 0. 00 1 - $2 5. 00 0. 00 ~

P3 -525.000.001 - $50.00~ .0~1 P4 = M ore Ihan $50.00~ .0003. Value l.lclhod Codes Q =Appraisal R =~ o st {R ea l E state On ly) S =Asscssm cn ! T -~?ash Markc~

(See Column C2) U = t3~k Value V =Other W =E s t imated

E =$15,001 - $50.000


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FINANCIAL DISCLOSURE REPORTP a g e 5 o f 8

N a m e o f P e r s o n R e p o r t i n gV a r l a n , T h o m a s A .

D a t e of Report05 /12/201 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 , transac tions t lncludes those of spouse and dep endent children; see pl~ 34-60 of fillng instructions.)NO NE ( No reportable income, assets, or transactions.)

A. B. D.Description of Assets Incom e during Transactions during reporling period(including trust asse~) reporting period

(t) (2 )i A m o u nt T y p e (e . g . ,Code I d i v . , r e n t ,(A-H) o r i n t . )

P l a c e " ( X ) " a f te r e a c h a s s e texempt from prior disclosure

G r o s s value a t e n do f r e p o r t i n g p e r i o d(i) (2)

Value ValueC o d e 2 M e t h o d

( J-P) C o d e 3( Q - W )

(t)T y p e ( e . g . ,b u y , s e l l ,

r e d e m p t i o n )

(2) (3) (4) ( 5 )D a t e Value G a i n I d e n t i t y o f

m m / d d/ y y C o d e 2 C o d e I b u y e r / s e l l e r(J-P ) (A -H ) (i f p r iva tet r a n s a c t i o n )

1 8 .1 9 .

20 .21 .22 .23 .24 .25 .26 .27 .28 .29 .30 .31 .32 .33 .34 .

- Amer ic an Cen tury Her i tage- UMB Scout Stock- American Century Diversif ied Bond- Fideli ty Advisor Float Rt.- Fideli ty Advisors Strategy Income- Fideli ty Advisor Float R e.- Amer ic an Cen tury Her i tage- Amer ic an Cen tury Her i tage- American Century Diversif ied Bond- Putnam Absolute Return 100

A Dividend M erged 01 /02/10 J A(with l ine 13)A Dividend M e r g e d 0 1 / 0 2 / 1 0 J A(with l ine 8)A Dividend Merged 01/02/10 J A

(with l ine 13)A Dividend Merged 01/02/10 J A(with line I 1)A Dividend Merged 01/02/10 J A(with l ine 7)A Dividend M erged 01 /02/10 J A(with l ine I I)A Distribution M erged 01 /02/1 0 J A(with l ine 14)A Dividend M erged 01/02/10 J A(with l ine 14)A Dividend M erged 01 /02/1 0 J A(with l ine 13)A Dividend J T Buy 0 2/16/10 J

Strategic Advantage Service Por tfolio IRA-2 A Dividend J T- Franklin M utual Discovery A Dividend J T-UMB Scout Stock A Dividend J T- Fideli ty Advisors Strategy Income A Dividend J T- Am er ic an Cen tur y Equi ty Income A Dividend J T- Fidel i ty Advisors Float Rt. A Dividend J T- Fidel i ty Advisors New Insights A Dividend J T

I. Income Gain Codes: A =$1.000 or less B =$1.001 - $2.500 C =$2.501 - $5 .000 D =$5.0O I - $15.000(See Columr~s BI and 1)4) F =$50.001 - $100,000 G =$100.0O I - $1.000,000 I II =$1 .000.001 - $5.000.000 112 =More than $5.000.000

2. Value Codc~ l =515,000 o les~ K = $15 ,001 - 550.000 L =$50.001 - $100.000 M =5100.001 - $250.000(S eeCol u m nsCI and D3) N :$250.001 - $500.000 O $500.001 - $1.0~0.000 PI =51.000.001 - 55 .000.000 p2 =55.000.001 - $25.000~)

P3 =$25.000.001 - $50.000.000 P4 ~Mo re ihan 550.000.0003. Value Method Codes Q =Appraisal R -~:ost (Real l~tale Only) S =As s es s ment T =Cash MarketISee Column C2) U =Bc~k Value V =O~hct W =Es t imated

E = 5 1 5 . 1 ) 0 1 - $ 5 0 . 0 0 0


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F IN A N C I A L D I SC L O S U R E R E P O R TPage 6 of 8

N a m e o f P e r s o n R e p o r t i n gVarlan. Thomas A.

Date of R e p o r ~05/12/201 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 ,n e , v o t ,, e. ~ a . $ a c t lo ~ ( I n c l u d e s t h o s e ofspoase and dependent children; see plx 34-60 of filing instraction~)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during G ross value at end Transactions during reporting period

(including ~mst assets) reporting period ofrrponing periodi (I) (2) (I) (2) (I) (2) (3) (4) (5 )P l a c e " ( 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 ., V alue V alue T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fi Code I d i v . , r e n t , Code 2 M e t ho d buy, sell, m m / d d h y y Code 2 Code I buyer/se llerexempt from prior disclosure ] (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) ( i f p r i v a t eI ( Q - W ) t r a n s a c t i o n )

35 . - American Century Diversi f ied Bond A Dividend

36 . - American Cen tury Heri tage A Dividend

37 . - Putnam Absolute Ret 100 A Dividend

38 . Stra tegic Porlfo l io Service Advantage , SEP/ A DividendIR A39 . - I sh a re s Ru sse l l 30 0 0 I n d e x Fu n d A Dividend

40 . V arla n R evo ca ble L ivin g T rus t N o n e

41 .

JJ

J

M

TTT Buy

Mer ged(with l ine 28)Merged(with l ine 28)

W

01/15/10 J0 1 /15 /10 J A01/15/10 J A

I. Income Gain Codes: A =$1.000 or less B =$1 ,001 - $2.500 C =$2..501 - $5 ,000 D =$5.001 - $15.000(See Co lumn s BI an d IM ) F -$50.001 - $100,000 G = $100.001 - $1 .000.000 It I =$1 ,000,001 - $5.000.000 112 =More Ihan $5.000,000

2. Value Codes J =$15.000 or less K =$15.001 - $50.1)00 L =$50.001 - $100,000 M =$100.001 - $250.000(See Co lumn s C l an d D3) N =$250.001 - $500.000 O = $500.001 - $1 .000.000 PI =$1 .000.001 - $5 ,000,000 P2 =$5.000.001 - $25.000.000

P3 =$25.000.001 - $5 0,00).000 P4 =More than $50.000,0003. Value Method Codes Q =Appraisal R =:Cost (Real Estate Only) S =As s es s ment T -~2ash Markc~

(See Co lmn n C2) U =Book Value V =O~her W =Es t imated

E = $1 5 , 0 0 1 - $5 0 .0 0 0


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F I NANCI AL DI SCL O S URE RE P O RTPage 7 of 8

N a m e o f P e r s o n R e p o r t in gVarlan, Thomas A.

D a t e o f R e p o r t05 /12/201 I

V III . A D D IT ION A L IN F OR M A T ION OR E XP L A N A T ION S .


8/16


Name of Person Report ingV a r l a n . T ho m a s A .

D a t e o f R e p o r t05/t2/2011

IX. CERTIFICATION ,! c e r t ify tha t a l l in fo rm a t ion g iv e n a b ov e ( includ ing in fo rma t ion pe r t a in ing to m y s pous e a nd m inor o r de pe n de n t c h i ld re n , i f a ny) i sa c c ura te , t rue , a nd c omple te to the b e s t o f m y k no~ le dge a nd b e l i e f , a nd tha t a ny in fo rma t ion no t re po r t e d wa s ~v i thhe ld b e c a us e i t me t a p p l ic a ble s t a tu to ryprov i s ions pe rm i t t ing no n-d i s c los ure .I fur ther cer t i fy tha t earned incom e f rom out s ide employment and hon or ar ia and the ac c ep tanc e o f g i f t s whic h have been r epo r ted ar e inc ompl ianc e wi th the p r ovis ions o f 5 U.S.C. app . 50 1 e t . s eq . , 5 U.S.C. 7353, and Jud icia l Conf er enc e r eg ula t ions .

Signature s/Thom as A. Varlan

N O T E : A N Y I N D IV I D 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 SI F IE S O R F A I LS T O F I L E T H I S R E P O R T M A Y B E S U B JE C T T O C I V I LAND CR IMINAL SAN CTION S ( 5 U.S.C. app . 10 4)

Com mit tee on F inanc ia l DisclosureAdm ini s tr a t ive O f f ice of the Uni t ed S ta t es Co ur tsSuite 2-301O ne Co lumbus Ci rcle , N.E.Washing ton , D.C. 20544


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I ~0 IORev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR Y EAR 2010 Report Req uired by the Ethicsin Government Act ofl978( 5 U . S . C . a p p . . ~ ; . ~ " 1 0 1 - 1 1 1 )I . P e r s o n R epor t ing ( la s t name , f i r s t, m i d d l e i n i t i a l )

V a r l a n , T ho m a s A .

4 . T i t l e ( A r t i c l e I I I ju d g e s i n d i c a t e a c t i v e o r s e n i o r s t a tus ;magi s t r a t e jud ges i nd i c at e f u l l- or par t - t ime)U . S. D i s t r i c t J u dg e - Ac t i v e

7. Chambers or Office AddressU. S. Distr ic t Court8 0 0 Ma rk e t S t r e e t , Su i t e 1 4 3K n o x v i l l e , TN 3 7 9 0 2

2. Cour t o r Organ iza t ionU . S . D i s t r i c t C o u r t , E . T e n n .

3 . D a t e o f R e p o r t08/17/201 I

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.Off the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancew i t h a p p l i c a bl e l a w s a n d r e g u l a t i o n s .

R e v i e w i n g O f f i c e r Date

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

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 NON E box for each part where.rou have no rep ortable information. S ign on last page.

I . P O S I T I O N S . ~ R , v o ,~ , z ~.divld.at o.ty; s , e v v . 9 . 1 ~ o m i . g instructions.)D NONE(No reportable positions.)POSITION NAME OF ORGANIZATION/ENTITY

I. Adv i so ry B o a rd U n i v e r s i ty o f T e n n e s s e e , D e p a r t m e n t o f P o l i ti c a l S c i e n c e2. D i re c t o r B e a r d e n H i g h S c h o o l F o u n d a t i o n3. Su c c e sso r Tru s t e e V a r l a n R e v o c a b l e L iv n g T r u s t

4. M e m b e r J u d i c i a l C o n f e r e n c e o f t h e U n i t e d S t a t e s5. A s s o c i a t e B o a r d U n i v e r s i ty o f T e n n e s s e e , C o l l e g e o f A r t s a n d S c i e n c e s

I I . A G R E E M E N T S . t~,po,i,g i.ai~ia.~t o.ty; s,, pp. 14-16 of firing instructions.)J-~ N O N E (No reportable agreements.)

DATE PARTIES AND TERM S


10/16


N a m e o f P e r s o n R e p o r t in gV a r l a n , T ho m a s A .

D a t e o f R e p o r t08/17/2011

I II . N O N - I N V E S T M E N T I N C O M E . t R e p o ~ n g individual and spouxe; see pp. 17-24 of filing instruction.~)A. Filers N o n - I n v e s tm e n t In c o m e

~ (No reportable income.)ONE non- inves tmentD A T E 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 any portion of the reporting )ear, complete th is section.(Dollar amoun t not required except for honorar ia . )

N O N E (No repor tab le non - inves tmen t income . )D A T E SOURCE AND TYPE

1 .2.3.4.

I V . R E I M B U R S E M E N T S -- transpo.a~o~, lodging, load, ente .a~nmen~( Inc ludes those to spouse and dependen t ch i ldren ; see pp . 2 5 -27 o f i l ling ins t ruc tions . )

[~ NONE (No reportable reimbursements.)

2 .3 .4.5.

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED


11/16


N a m e o f P e r s o n R e p o r t i n gV a r l a n , T ho m a s A .

D a t e o f R e p o r t08/17/201 I

V . G I F T S . a n c t ,, d e s t h o s e t o s p o ~ e , , n d d e ~ , e n d e n t children; see pp. 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1.

2.3.4.

5.

VALUE

V l . L I A B I L I T I E S . a n c l , , d ~ t h o s e o / s p o ~ e , , n d d e ~ , e n d e n t children; see p p . 3 2 - 3 3 of f i l ing instruct ions.)N O N E ( N o reportab le l iabil i t ies . )

CREDITOR DESCRIPTIONI.2.3.

4.5.

VALUECODE


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D a t e o f R e p o r t08/17/201 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 , v a l u e , t ~ a , ~ a . l o ~ (Includes those o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 of f i l ing instructions.)D (No reportable assets, orONE income, transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( 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~1 (i) (2)Place "(X)" after each asset I A m o u n t T y p e ( g . ,e x e m p t fr o m p r i o r d i s c l o s u r e ] Co de I d i v . , r e n t ,[ (A-H) o r i n t . )

I. A m S o u t h B a n k A c c o u n t s B I n t e r e s t2. C o c a C o l a C o m m o n S t o c k B D i v i de n d3. B B & T C o m m o n S t o c k A D i v i d e n d4. U . S . S a v i n g s B o n d A I n t e r e s t5. T e n n e s s e e s B E S T P r e p a i d T u i t i o n A c c o u n t s A I n t e r e s t6. S t r a t e g i c P o r t fo l i o S e r v i c e A d v a n t a g e I R A E D i v i d e n d-17. - F ide l i ty A dv. S t ra t e gy Income A D i v i d e n d8. - U M B S c o u t S t o c k A D i v i d e n d9. - F i de l t i y Adv i so r N e w I n s i g h t s A D i v i de n d

1 0 . - AM C e n t u ry E qu i t y I n c o m e A D i v i de n d1 1 . - F i de l i t y Adv i so r s F l o a t Rt A D i v i de n d1 2 . - F ra n k l i n Mu t u a l D i sc o v e ry A D i v i d e n d1 3 . - A m e r i c a n C e n t u r y D i v e r s if i e d B o n d A D i v i de n d1 4 . - A m e r i c a n C e n t u r y H e r i ta g e A D i v i d e n d1 5 . - F ra n k l i n Mu t u a l D i sc o v e ry A D i v i d e n d1 6 . - A m e r i c a n C e n t u r y E q u i t y In c o m e A D i v i d e n d1 7 . - F ide l i ty A dvis o rs Ne wlns igh t s A D i v i d e n d

G r o s s v a l u e a t e n do f r e p o r l i n g p e r i o d(i) (2)

V a l u e V a l u eC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )

K TL TJ TJ TJ T

M TJ T

K TK TK TK TK TK TK TJ T

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(I ) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fbuy, sel l , r n m / d d ~ , y C o d e 2 C o d e I buy e r/s e lle r

r e d e m p t i o n ) ( J - P ) (A -H) ( i f p r i v a t et r a n s a c t i o n )

JJ

M e r g e d 0 1 / 0 2 /1 0(wi th l ine I0)

M e r g e d 1 0 1 / 0 2 / 1 0(wi th l ine 9)

A

A

I . In c o m e G a in C o d e s : A -$ 1,00 0 o r le s s B = $ 1,001 - $ 2.5 00 C = $2,5 01 - $ 5 ,000 D = $ 5.001 - $ 15 .000( S e e C o l u m n s B I a n d D 4 ) F $ 5 0. 001 * $ 100. 00O G =$IO0.OOI - $1.000.000 I l l =$l .000.0OI - $5.000.000 112 =More than $5.000.000

2 . Va l u e Co d e s J = $ 15 . 000 o r l e s s K =$15.001 - $50.000 L = $5 0.001 - $ 100.000 M = $100.0O I - $ 25 0.0~ 1I S c c C o l u m n s C I a n d D 3 ) N $ 250. 001- $ 500. 000 O = $ 500. 001. $ 1. 000. 000 p I =$1.0OO.001 - $5.000,000 P2 =$5.0~O.0OI - $25.000.000

P3 =$25.000.0OI - $50.000.000 P4 =More than $50.000.0003 . V a l u e M e t h o d C O d e s Q :Ap p ra i s a l R ~C o s ! tR c a l E s ta t e O n ly) S = A s ~ s s m e ~ ! T =Ca s h M a rk e t(S e e Co h t mn C2 ) U =Bo o k Va l u e V :Olher W : E s l im a~c d

E = $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0


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D a t e o f R e p o r t08/17/201 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 , , ,. a lu m , ~ o ~ a c t l o ~ a n c i u d ~ t h o s ~ o / s p o u s e a n d d e p e n d e n t children; seepl~ 3 4 - 6 0 of f i l ing ins tructions)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D esc rip tio n o f Assets In co m e d urin g G ross va lue a l end Tr ansac t i ons d ur i ng r epor t i ng per i od

( i nc l ud i ng t r ust asse t s) r e p o rt i n g p e ri o d o f re p o rt i n g p er i o dl (1) (2) O) (2) (1 ) (2) (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t i A m o u n t T y p e ( e . g ., Value V a l u e T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i t y o fexempt f r om pr i or d i sc l osur e [ C o d e I d i v . , r e n t , Cod e 2 M e th o d buy, sel l , m m /d d/yy C od e 2 C o d e 1 buyer/sellerIA- H) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - P ) (A-|I) ( i f p r i v a t e! ( Q - W ) t r a n s a c t i o n )

1 8 . - A m e r i c a n C e n t u r y H e r i ta g e A D i v i d e n d M e r g e d 01/02/10 J A(wi th l ine 13)1 9 . - U M B S c o u t S t o c k A D i v i d e n d M e r g e d OI/02/ lO J A

(wi th l ine 8)20 . - A m e r i c a n C e n t u r y D i v e rs i f i e d B o n d A D i v i d e n d M e r g e d 01/02/10 J A

(wi th l ine 13)21 . - F i d e l i t y A d v i s o r F l o a t R t . A D i v i d e n d M e r g e d 0 1 /0 2 /I0 J A( w i t h l i n e I l )22 . - F i d e l i ty A d v i s o r s S t r a t e g y I n c o m e A D i v i d e n d M e r g e d 01/02/10 J A( w i t h l i n e 7 )23 . - F i d e l i t y A d v i s o r F l o a t R t . A D iv i d e n d M e r g e d 01/02/10 J A

(with l ine I I )24 . - A m e r i c a n C e n t u r y H e r i ta g e A D i s t r i b u t i o n M e r g e d 01/02/10 J A

(wi th l ine 14)25 . - A m e r i c a n C e n t u r y H e r i ta g e A D iv i d e n d M e r g e d 01/02/10 J A

(wi th l ine 14)26 . - A m e r i c a n C e n t u r y D i v e rs i f i e d B o n d A D iv i d e n d M e r g e d 01/02/10 J A(wi th l ine 13)27 . - P u t n a m A b s o l ut e R e t u r n 1 0 0 A D i v i d e n d J T B uy 02/16 /10 J

28 . S t r a t e g i c A d v a n t a g e S e r v i c e P o r t f o l i o I R A A D i v i d e n d-229 . - F ra nk l in Mutua l Dis cove ry A D i v i d e n d J30 . - U M B S c o u t S t o c k A Divide nd J31 . - F i d e l i t y A d v i s o r s S t r a te g y I n c o m e A D i v i d e n d J32 . - A m e r i c a n C e n t u r y E q ui t y I n c o m e A D i v i d e n d J33 . - F i d e l i t y A d v i s o r s F l o a t R t . A D i v i d e n d J34 . - F i d e l i t y A d v i s o r s N e w I n s i g h t s A D i v i d e n d J

I . ln c o m e Ga i n Co d e s : A = $ 1, 000 o r l e s s B = $ 1,001 - $ 2,5 00 C = $ 2.501 - $ 5 ,000 D 55, 001 - 515. 000( S e e C o l u m n s B I a n d D 4 ) F =$50,001 - $100,000 G =$100.001 - $1.000.000 1 1 1 = $ 1 . 0 0 0 , 0 ~ 1 - $ 5 . 0 ~ O . 0 0 0 112 =More lhan 55.000.000

2. V a l ue C o d~ J =515 .000 o r le ss K = $15 .001 - 5 50.0(~ ) L -$50.01 - $100.000 M = 510~).001 - $250.000(S c c Co l u mr t s CI a n d D 3 ) N =5250.001 - 5500.000 O = 5 5 00. 001 - $ 1 . 00~.000 PI 51.000.001 - $5.000,000 P2 =55.000.001 - $25.000.0~OP3 = $ 25 .000.001 - $5 0.000.0~ 0 P4 = M o re Ihan $5 0.00~ .0003 . Va l u e M e t h o d Co d e s Q = A p p r a i s a l R =Co s t (R e a l l ~ t a lc O n l y ) S =Asscssmcnl T =Cash [Slarkc l( S e e C o l u m n C 2 ) U =[ l o o k Va l u e V = O ~h er W = E s t im a ted

E =515,001 - $50,000


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N a m e o f P e r s o n R e p o r t i n gVarlan, Thomas A.

D a t e o f R e p o r t08/17/2011

V I I . IN V E S T M E N T S a n d T R U S T S - i ,.c o ,. e, va t ., ,, t r a .s ~ . i o . s a . a u d . s ,h o s ~ o / s p o t s . ~ . d d , p ~ . d e . t c h i U , ,. : s ~ e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. D.Descr ip t ion o f A sse ts Inc ome d ur i ng Tr ansac t i ons d ur i ng r epor t i ng per i od( i n c l u d i n g t r ust asse t s) r e p o r t i n g p e r i o d

(I) (2)A m o u n t T y p e ( e . g .,C o d e I d i v . , r e n t ,( A - H ) o r i n t . )P l a c e " C A ) " a f te r e a c h a s s e t

ex empt f rom p r io r d isc losu re

G r o s s v a l u e a t endo 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 tho d

( J - P ) C o d e 3( Q - W )

(i )T y p e ( e . g . ,b u y, s e l l ,

~:temption)

(2) (3) (4) (5 )D a l e V a l u ~ G a i n I d e n t i t y o fm m / d d / y y C o de 2 C o d e I b u y e r / s e l l e r

( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

35 . - American Century Diversified Bo nd

36 . - American Century Heritage

37 . - Putnam Absolute Ret IO0

38 . Strategic P o r t f o l i o S e r v i c e A d v a n t a g e, S E P /IRA39 . - I s h a r e s R u s s e l l 3 0 0 0 Index Fund40 . Varlan Revocable Living Trust(X) (See Part VIII)41 .

A DividendA Dividend

A DividendA DividendA Dividend

None

J

J

J

M

TT

T B uyMerged

(with line 28)Merged(with line 28)

W

01/15/10 J01/15/10 J A01/15/10 J A

1. In co m e G ain Co d es : A = $ 1.000 o r le s s B :$1.001 . $2.500 C =$2.501 - $5.000 D :$5.001 - $15.000( S e e C o l u m n s B I and D4) F = $ 50.001 - $ 100.000 G =$100.001 - $ 1.0~ 0 ,000 I ll = $1 .0 00 ,0 01 - $ 5.0 00 .0 0~ 1 12 =M o re l ha n $5 .0 00 .0 00

2. V a lue C o d cs J = $ 15 .000 o r Ic s s K -$15.001 - $50.00~ L $ 5 0 . 0 ~ 1 - $ 1 0 ~ . 0 0 0 M =$100.001 - $250.000( S e e C o l u m n s C I and D3) N = $250.001 . $ 500.000 O -$ 5 00.001 - $ 1 .0~ 0.000 PI = $ 1.000.001 - $ 5 .000.000 P2 = $5 .000.001 - $25,000.000

P3 =$25,00~.001 - $50.000.000 P 4 = Mo r e I h aa $ 5 0. 0~0.0003. V a lue M e tho d C o d e s Q = Ap p ra isa l R :Co s t (R e a l E s t a t e O n l y ) S :As s c s s m, " m T :C ash M ar ke t

( S e e C o l u m n C 2 ) U - B o o k V a l u e V = O l h . . . r W : ks t im aw c d

E =$15.001 - $50.000


15/16


, N a m e o f P e r s o n R e p o r t in gV a r l a n , T ho m a s A .

D a t e o f R e p o r t08/17/201 I

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS. (Indicate part of rcpor~)Part VII , Line 40 " ! 17 _~ :_" :~ ~-7 ~, I , ii_ i: "~


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D at e of Repor t08/17/201 I

IX . CERTIFICATION.I c e r t i f y th a t a l l in 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 ) is

a c c u r a t e , t r u e , a n d c o m p l e t e t o t h e be 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 tu 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 .I f u r t he r c e r t i f y t ha t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m 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 t s w h i c h ha v e b e e n r e p o r t e 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[ Thom as A. Va rlan

N O T E : A N Y I N D IV I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A I L S T O F I L 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 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 04 )

C o m m i tt e e o n F in a n c i a l D i s c lo s u r eA d m i n i s t r a ti v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.W a s h i n g t o n , D .C . 2 0 5 4 4

thomas a varlan financial disclosure report for 2010

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