william o bertelsman financial disclosure report for 2009

8/3/2019 William O Bertelsman Financial Disclosure Report for 2009

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~. 1/2olo F O R C A L E N D A R Y E A R 2 0 0 9 0 u ~ . c . a ? ? . ~ ~ o m ~ : :1. P t r ~ o u R e p o r t i n g ( l ~ f ra m e , li r ~ m i d d ] ~ inl t~l ) :L C o u r t o r O r g a n L ~ t io n & D a t e o f R e p o rtB erte lsm an , W illiam O , K Y -E D 05/11/2010

I M P O R T A N T N O T E S : T ~ e ~ n a r u c~ n s ~ c c o m p a n y in g t h ~ * form rnu# be foilawe* Complete all pa~ts,c .hecldng ~e NON E box for each part wh e~e you h a ve no r~portable informat ion. Sign on la~ page.

2. O v t ~ e r 52 9 T rus t P l a rm #1-#9 th rough K e n tuc ky Educ a t ion S~ v in gs P l a n ma d M ic h iganEduc a t ion Progra m

, :

~ NO~ (No reportable agreements

I.


2/17

FINANCIAL DISCLOSURE REPORT ~.. a~.,~o. R,po~,g D ,~ ora,,~.P a g e 2 o f 1 7 B e r t e l s m a n , W i l l| .m O . 0 5 / 1 l /2 D 1 0

llI. NON-INVESTMENT INCOME. ~,a~,,~,ro~-~ Filer% Non-~vatment ~ c o m eN O ~ (~o reportable non-i~es~ent ~ncome.)

DA~ SO~CE ~ T~E ~CO~~o u~ , n o t t ~u t e ~ ) 1 .2.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - l f y o u w e r e m a r r i td d ~ r i n g a n y p o ~ o n o f t h e r e p o r t in g y e a r , o m p l e t e t h i ~ s e a i o n .[Dol lar amount not rsquir~d except for honorari~J.~ N O N E ( N o re p o r ta b le n o n - in v e s tm e n t i n c o m e . }

D A T E . SOURCE AND TYPE1 .2.

3.4.

I V. R E I M B U R S E M E N T S - ~ o n , ~ . t o ~ . ~ o o ~ ,~ t , n ~ , ,~~lnchde$ ~ose ~ ~o~ ~d ~denf c~en; s~ e pp. 2~2 7 o filing i~~o~)

N O ~ (No re~rtable reimbursements.)SO~CE ~ L O C A T I O N P~OSE ~EMS P~D OR PROVIDED

1 .2.3.4,5.


3/17

FINANCIAL DISCLOSURE ~PORT ~ ~.~n~ o.o ~ m / 2 o ~ oa g e 3 o f 1 7

~ NO~ (No report~le gifts.)$O~CE DESC~TION

I .2 .

3 .

4 .

N O ~ (No report~le li~ilities.)

1 .2 .3.4.5 .


4/17

VII. INVESTMENTS an d TRUSTS -NO~ ~o repor~le income, ~se~, or tr~actions.)

A. B. C. D .D~cfipti~ of~ ~e(~lud~ ~ a~) r~ p~ of r~g ~i~Ph~ ~" aR~ eanh ~t ~o~ Y~ (e .g . , V a l u ~ V ~ u * Ty~ (e.~, ~ V a l u e ~ I ~ nf i ~ o f~mpt ~m ~or d~el~ ~e 1 div., ~ ~ d e 2 ~ ~y, sell, mml~ ~ d * 2 ~e I b ~ er / ~ l l e r

I I. Vic~ ~a~ Gove~:nt R~o A D i v i ~ n d J T2. Dreyfus Municipal Bond Fund A Interest Rndectaed 5118 /09 K A3. D r e y f u s i n te n n c d i a m ~ n i c i~ l B ~ d F u n d C h ~ m s t Rc~med 5 / 1 8 / 0 9 L A4. ~Idline (f~ly ~ Gold Fund) None L T

[ , eg g M as o n E u r o pe F u nd ( s to o k ) A Div id end l T6. U.S. Bmk, Fo r t Thomas, KY A Interest ff T7. Dr o f lu s S h o r t In te r m ed id a te M u nio lpa l A lnt:mst R d e e m c d 5 / 1 8 1 0 9 L AB e a d F u n d8 . Du pr ee , Kentu ck y - S h o r t/ M *& F u nd A Interest M T B u y 5 1 1 8 / 0 9 L(addl )9. Du pr ee , Kentu ck y - Tax F r ee F u nd B Interest N T B u y 5 / 1 8 1 0 9 L(addl )

1 0 . Two Undeveloped Lots in Charlot t* Co. , N o n e J T N o V a l u e - K s s e s $ ~ dFlorida ~ $ 2 5 , 0 0 0If . Fifth Third Bark (A0oount) A Interest K T1 2 . FitLh Third Bank. Fort Thomas, KY A Di v i den d J T( C o m m o n S h a m )

" 1 3 . V i c t o ry Es t abl ished V al ue Fun d G A Di v i den d K T1 4 . Dr ey f u s Gr o w th & Ino o m e F u nd A Di v i den d J T1 5 . Bank ofKentuolcy (Aoonunt) C Interest L T

1 6 . Proc t~ r & G e ta b le - C ommon s toc k A Di v i den d L T1 7 . Vic to r y S m al l Co m pany F u nd A Div id end K T


5/17

F I N A N C I A L fa m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tD I S C L O S U R E R E P O R T] Bertelsman , Wi l l iam O .

0 5 1 1 1 n O l Oa g e 5 o f 1 7V I I. IN V E S T M E N T S a n d T R U S T S - ~,~, . , ,~ , , ~ ,~.~/~ o.~t~

N O N E ( N o re p o r ta b le i n c o m e , a s se t s , o r t ra n sa c t io n s .)A. B. C . D.D e s c r i p t io n o f A s s e t s I n c o m e d u z ~ n g G r o s s v a l u e a t e n d T r a n s a c t i o m d u r i n g r ~ p o r t i n g p e r i o d( inc luding tmg ~s~ts) r e /x a t i n g p er i o d o f r e po rt i n g p er i o d

(I) C2) (1) (2) 0)P l a c e " ( X ) " a f t e r e a c h a s s e t A m ou nt T y p e ( ~ .g ., V alu~ V alue T y p e ( e . g . , D a t e V alue Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e Code l d i v . , r e n t , C o d e 2 M e th o d buy, sell, m m /d d/ y y C o d e 2 Code I buyer/seller( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r~sact lon)1 8 . N C R C orp . (c ommon s toc k) N o n e S o l d 6/3/09 J A1 9 . Pom~oy IT Solution~ Rcs. (Common s tock N o n e S o l d 6 / 3 1 0 9 J A

2 0 . BankAmori~a Corp. (common slo~k) A D i v i d e n d J T2 1 . B a n k of K e n tuoky (Ac c oun t ) C Interest M T2 2 . Uni ted S ta te s S av ing s B o nd s ( I ) B Interest L T2 3 . Conegra Foods, Inc. A Di v i den d S o l d 6/3/09 J A24. S h ~ i n W i ll ia m ~ A D i v i d e n d K T S o l d 6/3/09 K D2 5 . Tyco International Ltd. A D i v i d e n d S o l d 6/3/09 J A

2 6 . D W S D r ~ m a n H i g h R ~ t u m F u n d B Di v i den d J T2 7 . R u s s e l l Co u nty , KY H o s p i ta l A Interest R e d e e m e d 6/I/09 J A2 8 . American Express Co. A Di v i dzn d S o l d 6/3/09 J A2 9 . Kroger Co. A Di v i den d J T3 0 . H m - l a n County , K Y Heal t h Car ~ F a ~ s L a u r e l A I n t e ~ s t J TPmjec t

3 1 . Ea s t e rn K Y O n iv . Rc vs . Sy$ (D u~ 2 / I 109) A Interest R e d e e m e d 6 / 1 1 1 0 9 J A3 2 . Bar bo nr v il l e , KY E DK Bld g R ~v ( Unio n A Interest R e d e e m e d 1 0 1 1 / 0 9 J ACollege)3 3 . J . M . S m u c k ~ C o . A Di v i den d J T34. Com cas t Corp . Class A A Dividend l T


6/17

I.~e~ P e r s o n Report ingINANCIAL DISCLOSURER E P O R T Ia g e 6 o f 1 7 ounno~oV II. INV EST M ENT S an d T RU ST S -i~e~me~al~e~tra~cti~m~cl~de~t~f~u~eanddePende~c~e~;$~epp.~4~f~g~m~)

NO NE (N o repor table income, asse ts , or t ransact ions . )A. B. [ C. D.D t ~ c r l p t i o n o f A s s c t a I n c o m e d u r in g ! G r o s s w l u c m r id T~n.sac t ions during rrpor~g p~aod( i n c l u d i n g t x u s t ~ s s ~ ) r ~ p o r t i n g p e r i o d [ o f r e p o S i n g p e r i o d

0) (~) ! 0) C 2 )P l s c ~ . ( x ). ~ R o r a c h ~ s ~ t A m o u n t Type (tg., V a l u ~ Value r y p ~ ( . g . , D a ~ - Vtl~ Gain Idm tity of~ x e m p t f r o m p r i o r d l s c lo s u ~ C o d e ] a l l y , r a n % ~ d ~ 2 Mr~d buy, ~ll , mm/dd/yy C o d ~ 2 Code l b u y e r / s ~ l l e r( A - H ) or int) ~ P ) C o d e 3 r r d e m p t i o n ) (I-P)( A - H ) ( i f p r ~ w ~ -( Q - W )

3 5 . K y E d u c a t i o n S a v i n g s P l a n 5 2 9 T r u s t # l B I n t e r e s t K T3 6 . Ky E d u ca t io n S av ing s P lan 5 2 9 Tr u s t # 2 B In t~rs t J T3 7 . M ieh ig aa E d u ca t io n S av ing s P r o g r am # 2 B Ints~rst L T3 8 . M ic h iga n Educ a t ion Sa v in gs 1W ~ gra m #3 B la t~r rs t K T3 9 . Ky E d u o af io n S av ing s P lan 5 2 9 Tr u s t / / 4 B Jnter~st K T

4 0 . M ich ig an E d u caf io a S av ing s P r o d am # 4 B Interrst M T4 1 . K y ~ u c a f io n S a d n ~ P I = 5 2 9 T ~ t # 5 B ~te~st K T4 2 . M i 0 h ig m ~ u c a ti o n S a v ~ g s ~g~ #S B h ~ m s t M T4 3 . K y E d u c t io n S a v h g s P I ~ 5 2 9 T ~ t # 6 B h~st K T~. ~fi~hig~ ~u~afion Savings ~o~ #6 B ~st M T~ 5 . B P PLC C D i v i d e n d K T4 6 . ~*~n-Texa~ CoW. B ~idond L T~ 7 . ~k ~*r~ A ~vi~nd J T4 8 . Clomx Co. B Div id nd L T

4 9 . Conooo Phill i~ A Divided ff T~ 0 . ~on Mobil Co~. B D i v i ~ n d J T5 1 . G=e~I ~lh, h. A Divi~d K T


7/17

FINANCIAL DISCLOSURE REPORT n . . .. f P . ~ o . a , ~ , o ~ . g D,t, o r R e p o nP a g ~ 7 o f 1 7 s,~,~,,~, W i l l i a m O. 0 5 1 1 1 / 2 0 1 0

VII. IN V E S T M E N T S a nd T R U S T S -HO~ ~o reportable income, ~se~. or ~sactions.)

~ B. C . D.D~pfi~ of ~ ~c~ ~g O~0)Ph~ "~" ~ esch ~t ~ T ~ [ g . , V ~ u e V ~ l u ~ T~(g., ~ V~I~ O~ I~ n t i ~ o f

~*mpt from ~ d~]~ ~e 1 d l v . ,( A -~

5 2 . Pq~sioo, l n o . C Div id*n d M T

5 3 . P r o ~ t ~ r & G a m b l e C o . E Di v i den d N T5 4 . S o u t h e r n C o . C Di v i den d L T5 5 . Sunooo, Ino. A Di v i den d K T5 6 . Wisconsin Energy Corp+ B Di v i den d L T5 7 . Y ~ m B n md% I n ~. B Divided L T5 8 . U . S . S a v i n g s B o n d s ( H ) B Interest K T5 9 . M ~ c higa n Educ a t ion S a v i n g s P r o g r a m # 7 C I n t e r e s t M T

6 0 . M ich ig an E d u ca t io n S a v i n g s P r o g r a m # 8 C I n t e r e s t M T6 1 . M i~ higma Educ a t ion Swc in gs Progra m #9 C Interest M T6 2 . K mtuoky S t~ t~ T urn p ike Author ity B on d B Interest R e d e e m e d 7 1 1 / 0 9 K A6 3 . Krntuoky Sta t Propert) , & Bldgs. B Interest S o l d 7/30109 K ACo m m u nica t io n R ev enu e Bo nd

6 4 . Chy Connty. KY ffusfio* Center Bond A I n t o r r ~ t K T6 5 . K*r t t~k y S ta te P r o pe r ty & Bld g ~ R ev r nu , A Interest L TB o n d6 6 . E-Trade Ac~oount A Interest J T6 7 . Ky . S ta te Tu m plk e Bo nd 3 .6% A Interest J T68 . A ~to m at io Da ta P r o o es s ing , Ino . B Di v i den d K T


8/17

F IN A N C I A L D IS C L O S U R E R E P O R T r .... ne~o, ~.,~ V a t ,Pag e 8 of 1 7 ~*~m~, W i ll i~ O . 0 5 1 1 1 ~ 0 1 0VII. I~ES~ENTS ~d TRUSTS -~.~,, ~~,~a~ o~ ~ o ~

N O ~ (No report~le income, ~sets, or tr~sactiom.)A. B. C. D.D~fip~ o~ ~ ~m d~ G m ~ v ~ ~ e n d T~cfi~

(Q-~69 . ~s~ & Jo~s~ A ~vi~nd K T7 0 . T-Ro~ ~e ~ui~ ~ 500 A D i ~ d e n d K T7 1 . T e m p l ~ o n F o ~ i ~ F ~ d C I A A ~st J T~. ~n Fun~ ~o~ Fund of~ea A ~vidend K T7 3 . Ky. Sta~ ~p~ & Bldg. C~n. B~d A ~mst K T7 4 . Jess~e Co., KY Seh~l 2/1111 3.1~ A ~ t e ~ s t K T7 5 . ~pfis* F~. ~e. A ~vidend S o ld 6 ~ /0 9 J A

7 6 . Peabody ~gy ~oup A ~te~st K T~. K Y I n ,l o c a l S e h ~ l (d u e 3 1 1 1 1 1 ) A ~mst K T7 8 . ~ ~gh Ine~e T~t A ~st S o l d ~13109 J A7 9 . ~son ~., KY School DisLBIdg.R~. A ~mst K T8 0 . ~les~, KY School Bldg. Rev. A ~tem ~t K T8 1 . Ha~Co., KY ~blie~ A ~st K T8 2 . Bow~g ~e~, KY ~nt (due A ~ te m~ t K T5 1 1 1 1 3 )8 3 . B r o a ~ d g e F ~ m e i a l S o l u f i o m A ~vi~d S o l d 6 ~ 109 ff A8 4 . Covidien Ltd. A Div id end S o l d 6~9 J A

8 5 . W ~ ste m U n ion Co. A Div id end K T


9/17

FINANCIAL DISCLOSURE R E P O R T r ~ a , . , o n e . o , a , p o ~ . g I D~t t * o f R ,p o r tP a g e 9 o f 1 7 B e r t e ls m a n , W i ll l m n O .I

05111 / 2010

VII. INVESTMENTS and TRUSTS -N0~ ~o report~le income, ~se~, or ~actions.)

~ B. C. D.D~fipfi~ of~ ~c~e ~ G m ~ v ~ u e ~ e n d T~a~om ~g ~ ~fi~

P~ ~" ~r each ~t ~o~ T ~ (e .g . , Vflue V alue Ty~ (e.g ., ~m Value G~ Id:nti~ of~empt ~om ~or d~l~ ~e l ~v., ~ ~ d ~ 2 Me~ b~, ~IL mm/~ ~ 2 C~e l buyer/~I]~rCQ ~

8 6 . PaYor Coal Co. k ~vidcnd S o ld 6 ~ /0 9 J A8 7 . Tem~ Co~. A D iv id en d S M d 6 ~ / 0 9 J C8 8 . S p e c ~ E n * ~ y A D i v i ~ n d J T8 9 . J c ff ~ o n , K y S D F ~ . C ~ . A ~st K T~. K m ~ * ~ S L ~ o p & B l d g s ( d u ~ 8 / 1 ~ 5 ) A ~st L T9 1 . H i g h l a n ~ R ~ c h M e t . D i s~ ( d u ~ 1 ~ I 1 1 ~ ) A ~ t e ~ s t M T9 2 . K y . S m ~ T u m p ~ * A u ~ o f i ~ ( du ~ 7 / 1 / 1 6 ) A ~ t e ~ s t L T9 3 . N*w Y~ ~ (due 8/1/16) A ~st L T9 4 . H o p ~ s ~ . ~ d p L S c h o o l ( d u o 1 ~ 1 1 1 7 ) B ~m~st L T9 5 . ~ o n a ~ h . F ~ c s . B ~ . ( d u ~ 9 / 1 1 1 ~ A ~st M T~. California SL (due 8 /1118) A ~t~st M T9 7 . O k l ~ o m a ~ p L T r Y . R e v . ( ~ e 9 1 1 1 0 8 ) A ~ t * ~ s t M T9 8 . ~ e ~ o R i c o H s g . F M . A u ~ . ( d u e 1 ~ 1 / 1 8 ) A ~ t e ~ s t L T9 9 . Bowling ~, KY ~oj. (du* 6/1~0) A ~ t c ~ s t L T1 0 0 . I v y ~ s e t S ~ t e g y F u n d C I Y A Div id end B u y 5 / 8 1 0 9 J(addO1 0 1 . A D i v i ~ n d S o l d 7 ~ 0 / 0 9 K A1 0 2 . Blaa~k Global ~ocafion Fund A Div id end K T B u y 1~09 J(addo

1. [ncom e ~ Codes: A =$ ] ,000 o r l e t* B---$ 1,001 - $2,500 C =~ 2 ,5 0 1 - $5 ,0 0 0 D ~ ::~ ,0 0 ! - $1 ~ ,0 0 0 E =$ 1 ~ ,0 0 1 - $ ~ 0 ,0 0 0(S e e C o l t t rn n t B I m d D 4) F =1 5 0 , 0 0 1 - $ 1 0 0 . 0 0 0 O ~$100 , 0O l - $1 , 000 , 000 H 1 =$ I ,~ O0 ,0 01 - $~ ,0 00 ,0 00 H 2 ~M or ~ th sm

2 . V a lu e Co d e s J .$ l 5 ,0 0 0 o r le s t K ~ i $ , 0 0 1 - 1 5 0 , 0 0 0 L ~ $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 M(Sess (~oIufnnt CI t rod D3) N =1 25 0,0 0 1 - $5 00 ,0 00 O =1 5 0 0,0 01 - $1 ,0 0 0,0 00 P l , - $ 1 , 0 0 0 , ~ 0 1 . S 5 , 0 0 0 , 0 0 0 P2

P3 ~ - 1 2 5 , 0 0 0 , 0 ~ 1 - f ~ 0 , 0 ~ 0 , 0 0 0 P 4 -Mo rn t h a n3 . V t l o e M e t h o d C o d m Q = A p p ra i ~ t l R = C o t t (P .e t l E r t a t ~ O n l y ) S = A ~ e ~ t m e n t T(See Colunln f~2) U =l $ o ~ k V ~ ] a e V = . O ~ e f W


10/17

Ia m e o f P e r t , o n R e p o r t i n g D a t r o f R e p o r tF I N A N C I A L D I S C L O S U R E R E P O R T I Bertelsman, William O. 05/I i/2010P a ge 1 0 o f" 1 7NO NE ( No repor table income, asse ts , or t ransact ions . )

A. B, C. D.D e ~ e r ip t im a o f A r . s ~ t . s J _ n e o m e d m in g G r o s s v a l u e a t e n d T r a m a e t io r t s d u r i n g r ~ p o a J a g p e r i o d(inclaa ing trust ass~) r e p w t i n g p e r i o d ef reputing period(i) (2) C l)P h e e " ( X ) " a ~ c r ~ a c h ~ s s ~ t A m ou nt T y p e ( e . g ., Va lue Va lue Type (e.g, D a~ Va lue Gain I d e n t i ty o f

e x e m p t f ro m p r i o r d i .w l o m a e C o d ~ l div., r~t, Code 2 M e,hod b u y , s e t l , m m / d d ~ y y C o d ~ 2 Code I b ~ r i ~ r / s e l l e rC A - I - I ) or i r a . ) ( I - P ) C od e 3 r e d e m p t i o n ) ( J - P ) C A - H ) ( i f p r i v a t e( Q - V O

1 0 3 . A Di v i den d J T B u y 5 / 18 / 09(~d l )104. A Di v i den d S o l d 7 / 2 0 1 0 9105. IShar es MSCI EAFE In dex Fun d A Di v i den d B u y 1/22/09I 0 6 . A D i v i d e n d S o l d 7 / 2 0 / 0 9

107. IShar ea B ar ehy s 1 - 3 y r T r eas . In dex F u n d A Di v i den d S o l d 5/1/09 J A~r t )1 0 8 . A Di v i den d S o l d 7/20/09 J A1 0 9 . Healthoare Seleot SPDR A Di v i den d S o l d 2/23/09 K A1 1 0 . S eo to r S P DR Co ns u m er s S TP L A Di v i den d S o l d 3/10/09 J A

1 1 1 . Allianoe Bemstein BaL Wealth Strategy A Di v i den d K T1 1 2 . A!lianoe Bemstein Inf l Growth A Di v i den d S o l d 7/20/09 J AI 1 3 . L o o m is S ay le s Gr o w th F u nd CI Y A Di v i den d B u y 3/23/09 J( a d d q )1 1 4 . S o l d 7/20/09 J B1 1 5 . L o o m is S ay le~ Va lu e F u nd CI Y A Di v i den d S o l d 7/20/09 J A1 1 6 . Loomi s Say l es G l obal h~ t s Fd CI Y A Di v i den d S o l d 7/20/09 J B

1 ] 7 . Loomia Sayles Strategio Inc F d CI Y A Di v i den d B u y 5/4/09c a d d l )I 18. S o l d 7 / 2 0 / 0 9

1 1 9 . Black co ck Na t l A Div M u n ic ipa l F u nd A D i v i d e n d S o l d 7/20/09 J A


11/17

F I N A N C I A L D I SC L O S UR E R E P O R T ~ . .. . rP .... R , p o r ~ n g ~ ) , ~ o r a ~ o r ~Pag~ 1 ] o f 17 Bertelsman, W | l[ la m O . 0 5 1 1 1 / 2 0 1 0

VH. INVESTM ENTS and TRUSTS - ~,. .~,. ~o.. ~,~, .~ ~o. , o~ ~ . . . . .NO~ ~0 re, oriOle i~come, ~se~, or ~cfio~.)

~ B. C. D.D~fip~on of ~ ~om~ ~ Oro~ v~ ~t ~d T~c~om ~ mpo~ ~dod(~clu~ ~.~) m~p~ ofr~g~odP~ "~" ~r ~ach ~t ~o~ T~ (e.g., V~ue V ~ [ u ~ Ty~ [eg., Da~ V ~ u ~ Oz~ Idmti~ of

(A-~ a ~t) ( I - P ) ~ 3 rde~ion) (~-~ (A -~ (~ p d ~ .~

1 2 0 . ~ l ~ m m ~ - R o g ~ T r . A D ~ v A D ividend So ld 7 ~ 0 /0 9 J B1 2 1 . ISh~ MSCI ~g~g ~ Fd A D ~ v ~ d ~ n d B uy(ad~l)1 2 2 . Sold 7 ~ 0 / 0 9 ] A1 2 3 . V a n ~ d S m a l l C ap A ~ v i d e n d Sold 7 ~ 0 / 0 9 J A1 2 4 . IS h a ~ s ~ S E X i ~ u a C h h a A Dividend Sold 1~09 J A1 2 5 . P o w ~ S h ~ G l o ba l A Dividend Sold 7 ~ 0 / 0 9 J A1 2 6 . S~RSerTr A ~ v i d e n d Sold 1~09 K A1 2 7 . ISha~s ~O~$ ~gh Yield ~ Bd Fund A Dividend Sold 5 ~ 1 / 0 9 J A1 2 8 . I Sh a~ s T R S ~ d P N a t l M u n B d F d A Dividend Sold 7 / 2 0 ~ 9 J A1 2 9 . Pow~Sh~ ~ T~ F~ A D i v i ~ n d B u y 1~09 J(addl)1 3 0 . Sold 7 ~ 0 / 0 9 J A1 3 1 . P 0 w ~ S h~ s G l oba l E x oh Traded F un d A ~vi~nd B u y 1~09 J(addl)1 3 2 . Sold 7 ~ / 0 9 J A1 3 3 . S~ztor SPDR U tili ties A Dividend S old ~ 1 8 1 0 9 J A1 3 4 . S ~ R G o l d T ~ s t A D ividend So ld 7 ~ 0 / 0 9 K A1 3 5 . Nuv~n High Yie ld Muni Bond F d CI A A Dividend Bu y 5/8 /09 J(addl)1 3 6 . Sold 7 ~ 0 /0 9 J A


12/17

137. J-P M organ Intl Value Fund C1 A A D ividend S old 7/2 0 /0 9 J A1 38 . A b~1 ~n E q u i ty L o ng S h o r t F d CI A A D i v i ~ n d S o l d 7/20/09 J A1 39 . Jaam A d v is e r F o r t3, Fund CI A A Div i&:nd .l T140..TP ]Morgan Highbrldg e Stat M:k~ ~q~.utcal Fd A Di v i den d B u y 3/23/09 J(addD1 4 1 . S o l d 7/20/09 J A1 4 2 . T 0 u c h s t o n L a r g e C a p ~ F u n d C I A A Dividend Sold 7/6/09 J A143. Nav~n Ri t t cnhous Growth Fund A Dividend S o ld 5 /6/0 9 J A144. All i ancg Bem s te in M uni Inc Fund A Divld~ad Sold 7 /20 /09 J A145. Al l iance Bgm s t~ in Global Bond F und A Dividend Sold 7/20 /09 J B146 . Endowraen t Fund A Dividend M T147. Cil izens B ank of N o. Ky (CD) A Interest L T1 4 8 . CiliTens Ba nk of N o. Ky. (CD) A Interest J T1 4 9 . Citizens Bank of No. Ky (CD) A Interest K T1 5 0 . Citizens Bank ofN o. Ky (CD) A Interest K T1 5 1 . M~rrill Lynch Money Fund (Muni) A Interest K T1 5 2 . Merr i l l Lynch Bank (Regu la r ) A Interest L T153. Mrr il l Lynch Bank (PIA) A Interest C losed 7 1 1 1 0 9 J A


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Name of Person Reporting D a ~ e o f R e p o r tF I N A N C I A L D I S C L O S U R E R E P O R TP a g e 13 of 17 0 ~ / i l r Z O : 0VII. INVESTMENTS and TRUSTS -

NO NE (No repor table income , asse ts , or t rar~act ions . )A.D e s c r i p t io n o f A ~ s g t . s ] B. C, D.I n c o m d u r ~ g C , o s s v a h ~ ~ t ~ n d Trgrsacfiom during mpor~g p er iod

( i n c l u d i n g t r u . o . ~ s s c t s ) i mpc r t f i n g p~ i ad o[reporthg periodP l a c ~ " C X ) " a ~ r ~ a c h a ~ s e t A m o u n t T y p ~ ( e . g . , V a l ~ Valu~ T y p e ( e . g ., D a t V ~ l u Osin Idm tity of

~ x ~ m p t f r o m p r i o r d i s c lo s a r Code I div., ant. C o d e 2 M g t h od b u y , ~ 1 1 , m m /d d /y y ~ od ~ 2 C o d e 1 b u y ~ r / ~ e l l c r( A - H ) o r i r ~ ) ( l - P ) ~ 3 re.~mptlan) ( I - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s ~ c t l o n )

1 5 4 . LShar*s DJ US Talzoom. A Div id end B u y 1/26 /09 J1 5 5 . S o l d 2 1 2 3 / 0 9 J A1 5 6 . Ele me n t s Roge r~ Ag i l e . T r A D iv id en d B u y 3/16/09 J1 5 7 . S o l d 7/20/09 J B1 5 8 . pow~shar~s TR Dynamio A Dividend Buy 3/16/09 ~1 5 9 . S o l d 7/20/09 J A1 6 0 . M ar k e t V r c to r s E IF Tr A Div id end B u y M6/09 J

1 6 1 . Bu y 7 / 1 5 / 0 9 J( add l )1 6 2 . S o l d 7/20/09 J B1 6 3 . P r ~ S h a r ~ U l tr a Q Q Q A D i v i & nd Buy 3/4/09 J1 6 4 . Bu y 7/15/09 J(addl)1 6 5 . B uy 7 / I 6 / 0 9( ~ d D1 6 6 . S o l d 7 / 2 0 / 0 ~ J B1 6 7 . S P D R S P China A Divid:nd B uy 2 1 5 / 0 91 6 8 . B u y 3/4/09 J( a d d l )1 6 9 . S o l d 7 / 7 1 0 9 J C1 7 0 . IShsr~s RS 2000 Va lu A Div idend B uy 1/22 /09 J


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F IN A N C IA L D I SC L O S U R E R E P O R T ~., .av,~. ,R,~o~.g [ Date efReportP a g e 1 4 o f I 7 ~ . ~ e l ~ m . . . ~ , . o o . l 0 = . ~ a 0 , 0

V II. INV ESTME NTS an d TR U STS -H O ~ ~ o report~le in.me. ~se~, or ~actio~.)

~ B. C. D.D~p~ of~ ~ ~ G m ~ v ~ ~ t e n d T~o~ ~g ~ ~odO) ~) O) ~) O) (2 ) O) O) (~ )

1 7 1 . S o l d 5/7109 J A1 7 2 . J a n u s O v ~ r s e a s F d C 1 A A D i v i d e n d Buy 3 / 2 3 / 0 9 J

173. B u y 7/20/09 J( add l )1 7 4 . S o l d 7/27/09 J B

] 7 5 . Janu s F lex ib le Bd C1 A A D i v i d e n d B u y 5/4/09 J176. S o l d 7/20/09 J A177. D R Y D N S h T r m C o . B d Z A D i v i d e n d Buy 1/26/09 J

1 7 8 . S o l d 7/20/09 J A1 7 9 . P R I N P r e f e r r e d S ~ s A A D iv ide n d B u y 7/15/09 J1 8 0 . S o l d 7/20/09 J A

1 8 1 . A ll iance Bem s te in H ig h A Di v i den d B u y 5 1 4 / 0 9 J1 8 2 . S o l d 7/20/09 J A183. AIX4Intl G rowth A D iv id e n d B u y 6 1 1 / 0 9 J1 8 4 . S o l d 7/20/09 J A1 8 5 . W F U l t r a S ir M u n . I n e , I n v . A Di v i den d B u y 6 / 12 / 09 l1 8 6 . S o l d 7/20/09 J A1 8 7 . S P D R S P M e t a I ~ M i n in 8 A Di v i den d B u y 5/28/09


15/17

IMamf Person Rpor~ng D,~ o f R epo r ~FI~ANCIAL DISCLOSURE REPORT[ ~a,=~, wm~= o. ~ mo~0P a g e 15 o f 17N O ~ ~ o re~rtable income, ~se~, or tr~actions.)

& B . c. D.

~empt~m ~d~cl~ ~e ] ~v.,ren~ ~2 M e ~ o d 5~.~1l mm/~ ~ d e 2 C ~e ] b~er /seHer

1 8 8 . S o l d 7/6t09 J A1 8 9 . D B U S D o ] l ~ In d e x B u l l is h F u n d A ~vidend B uy 6 / 15 / 09 J

1 ~ . S o l d 7/15/09 J A1 9 1 . ~Y Global Na~l A ~ v [ d = n d K T B u y 7 ~ 1 ~ 9 K1~ I a n u ~ F o ~ F u n d C I C A ~ v i d ~ n d K T B u y 7 ~ 1 / 0 9 K1 9 3 . P ~ C O T o ~ R e m m F d C I C A Divi~d K T B uy 7 ~ i ~ 9 K1 9 4 . ~cipal ~v~n Sccu66~ C A ~vi~nd K T B u y 7~II09 K1 9 5 . ~x~gt~-Fay~e U~m ~un~ Ky S~ A A ~t~st K T B uy ~/09 K1 9 6 . ~ina MobiIe L~ Spon ~R A Div id end 1 T B uy 6 ~ /0 9 J1 9 7 . ~a ~la ~. A ~dCnd J T B u y 6~ J1 9 8 . ~oa Mobile Co~. A D { v i ~ n d J T B uy 6~/~ J1~. J o n s o n & J o h n s ~ A Div ld ~nd J T B u y ~0/09 J200. 3M Co. A ~vldend J T B uy 6 ~ / 0 9 J


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FINANCIAL DISCLOSURE REPORT Name of Person Report ing [ Date of ReportP a g e 1 6 o f 1 7 ] ~ r t ,. l~ m a n , W [ l l[ mO. [ 0 5 / ] 1 / 2 0 1 0

V III. A D D IT IO N A L IN F O R M A T I O N O R E X P L A N A T I O N S .


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F IN A N C IA L D I SC L O S U R E R E P O R TPag e 17 of 17

I X . C E R T IF I C A T I O N .I certify that all information giVen above (including information pertaining to my spouse and minor or dependent children, if any) is

accurate, true, and complete to the best of my knowledge and belief, and that any Information not reported wa~ withheld because it met applicable gtatutoryprovisiona permitting non-disclosure.I further certify that earned Income from outside employment and honoraria and the acceptance of gift~ which have been rel~orted are incompliance with the pravision~ ors U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulationa.

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G LY A N D W I LF U L L Y F A L S IF I E S O R F A I LS 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 IV I LAND CRIN~ [NAL SANCT IONS (5 U .S .C. app. 104)

FILING INSTRUCTIONSM a i l s ig ne d o r i g i na l a nd 3 a d d i t i o na l c o p i e s t o :

C o m m i t t e e o n F i na nc i a l D i s e l o s t t r eAd m i n i s tr a t iv e O f f ic 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 1O ne C o l u . m b u s C i r c le , N . E .W a s h i n g to n , D . C. 2 0 5 4 4

william o bertelsman financial disclosure report for 2009

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