william o bertelsman financial disclosure report for 2010

8/3/2019 William O Bertelsman Financial Disclosure Report for 2010

1/12

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n Report ing (las t nam e, fi rs t , middle ini t ial)Ber te lsman, Wil l iam O.

4. Ti t l e (Ar t i cle I l l judges indica te act ive or senior s t a tus ;magistrate judges indicate full- or part-time)

U.S . Dis t r ic t Judge ( Sen io r )

7 . Ch amb ers or Off i ce A d d r e s s3 5 Wes t F i f th S t r ee t , Rm. 5 0 5P. O . Box 10 12Coving ton , KY 410 12-10 12

2. Court or Organizat ionK Y - E D

3 . Date o f Report05/11/2011

5a. Repor t Type (check appropr ia te type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b . [] Amended Report8. On the bas i s of the informat ion con ta ined in thi s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icab le laws and regulat ions.

Reviewing Off icer 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 followe~L Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ( R e p o ~ i . g individual only; seepp. 9-1 3 of f!l ing instruct ions.)D (No reportable positions.)O N E

POSITION NAME OF ORGANIZATION/ENTITY1 . Adjunc t Teacher ( par t - t ime) ( one c las s ) ( non -compensated ) Salmon P. Chase Co l lege o f Law, Nor ther n Ken tucky Univer s i ty , High landHeigh ts , KY2. O w n e r 5 29 Tr us t Plans #1-#9 th r ough Ke n tucky Educat ion Savings Plan and M ich iganEduca t ion Program3.4.5.

I I . A G R E E M E N T S . ( R e p o r t i . g individual only; seepp. 14-16 of filing instructions.)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


2/12

FINANCIAL DISCLOSURE REPORTP a g e 2 o f 1 2

N a m e o f P e r s o n R e p o r t i n gBerte l sman, W i l li am O.

D a t e o f R e p o r t05/11/2011

IlL N O N - I N V E S T M E N T I N C O M E . ~ X e p o . i n g individual and spouse; seepp. 17-24 of filing instructions.)A. Fi lers Non-Inves tm ent Incom e

~ (N o reportable incom e.)O N E non-investmentDATE SOURCE AND TYPE

2.

3.

4.

INCOM E( 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 - lf you were married during any p ort ion of the reporting year, com plete this section.(Dollar am ount 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 - - tra.sportatlo., lodging, food, e n t e r t a i n m e n t .(Includes those to spouse and dependent children; see pp. 25-2 7 of filing instructions.)

N O N E ( N o reportable reimbursements.)SOURCE D A T E S LOCATION

1 .2.3.4.5.

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 i n gBer t e l sman , W i l li am O .

D a t e o f R e p o r t05/11/2011

V . G I F T S . (lncludes those to spouse and dependent children; see pp. 28-3 1of f!ling instructions.)N O N E (No reportable gifts .)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c ~ d e s those of spouse and dependent children; see pp. 32-33 of f!ling instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5.

VALUE CODE


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FINANCIAL DISCLOSURE REPORTPage 4 o f 12

N a m e o f P e r s o n R e p o r t in gBer te l sman , W i l li am O.

Date o f Report05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a lu e , 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( i n c l u d i n g t r u s t a s s e t s )Place "(X)" after each asset

exempt from prior disclosure

I. Vic to r y Gr ad ison Gover nmen t Reser ve2. Gold l ine ( f o r mer ly Dr eyf us Gold Fund) 3. Legg Mason Eur ope Fun d ( s tock )4. U.S . Bank , For t Thomas , KY

! 5 . Dupree , Kentucky- Sh or t /Med. F und Dupr ee , Ken tucky - Tax Fr ee Fund

7. Two U ndeveloped Lo ts in Char lo t te Co . ,F lo r ida

B. C. D.Income dur ing 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 n s d u r i n g r e p o r t in g p e r i o dre po rt in g p er io d o f re po rt in g p erio d

(1) (2) (1) (2) (1) ..... (2) (3)Amount T y p e ( e . g ., Value Value T y p e ( e . g ., D a t e ValueCode t di ..... Code 2 . . . . M e th o d :buy, ~el t i m m / d d / y y C o d e 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemptioa) ( J - P )

(Q-W)

A Dividend J TN o n e L T

A Dividend J TA Interes t J TC Interes t M T

B Interes t N TN o n e Sold 01/ I0 /10 J

8. Fif th Thi r d Bank ( Accoun t ) A Interes t K T9. F i f th Th i rd B ank, F or t Th omas , KY A Dividend J T( C o m m o n S h a r e s )1 0 . Vic to r y Es tab l i shed Value Fund B Dividend K T1 l. Dr eyf us Gr owth & Income Fund A Dividend J T1 2 . Bank o f Ken tucky ( Accoun t ) B Interes t L T1 3 . P r o c te r & G a m b l e - C o m m o n s t o c k B Dividend L T1 4 . Vic to r y Smal l Com pany Fund A Dividend K T1 5 . B a n k A m e r i c a C o r p . ( c o m m o n s t o ck ) A Dividend J T1 6 . B ank of Kentucky (A ccount ) B Interes t M T

1 7 . Uni ted S ta tes Savings Bonds ( I ) B Interes t L T

( 4 ) ( 5 )G a b 3 Identity of

C ode I b uy er/se lle r(A-H) ( i f p r i v a t e

transaction)

A N o V a l u e - A s se s s e d @$25,000

Gain Codes: A =$ I , 0 0 0 or!ess. In co me(S ee C o lumn s B I an d D 4) F =$50,001 - $100,0002. Va lue C o d es J =$15,000 or less

(S ee C o lumn s C I an d D 3) N =$250,001 - $500,000P3 =$25,000,001 - $50,000,0003. Value Method Codes Q = Appr a i sa l

(S ee C o lumn C 2 ) U =Book Value

B =$1,001 - $2,500 C =$2,501 - $5,000o = $ 1 o 0 1 0 0 i - $ t ,o o o i 0 o 0 . . . .H i ~ $ i , o o 0 0 0 i : $ 5 , 0 0 o , o o oK =$15,001 ~ $50,000 L =$50;001 -$100,000O =$500,001 - $1,000,000 PI =$1;000,001, $5,000,000

P4 =More than $50,000,000R =Cost (Real Estate Only) S =AssessmentV =Othe r W =Es t ima ted

D =$5,001- $15,000H2 =More than $5;0001000M=$1 00;001 - $2 50,000P2 :$5,000,001- $25;000,000T =C ash Mark e t

E =$15,001- $50,000


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N a m e of Person Repor t ingB e r t e l s m a n , W i l l i a m O .

D at e o f R e p o r t05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ,come, value, transactions (Includes those of spouse a nd depe,dent chi ldren; see pp. 34-60 of fi l ing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during Gross value at end Transact ons during reporting period

(including trust assets) reporting period of reporting period(1) ( 2 ) (1) (2) (1) (2) (3) (4) ( 5 )

Place "(X)" after each asset A m o u n t Type (e.g., Value Value .... T y p e { e . g ., D a t e Va l ue Gain Identity ofexempt from prior disclosure C o d e I div., rent, Code 2 Method buy, seIl , mm/dd/yy Code 2 C o d e l buyer/seller(A-H) o ~ i n t. ) ( J - P ) C o d e 3 redemption) (J-P) (A -H) ( i f p r i v a t e

(Q-W) transaction)

1 8 . S h e r w i n W i l li a m s A Dividend J T1 9 . D W S D r e m a n H i g h R e t u r n F u n d A Dividend J T

20 . K r o g e r C o . A Dividend J T21 . Har lan Coun ty , KY Heal th Car e Facs Laur e l A Interes t J TPr o jec t22 . J .M. Smucker Co . A Dividend J T23 . Comcas t Cor p . Class A A D iv ide n d So ld 01/01/10 J A

24 . Ky Educat ion Savings Plan 5 29 Tr us t #1 B Interes t K T25 . Ky Educat ion Savings Plan 5 29 Tr us t #2 B Interes t J T26 . M i c h i g a n E d u c a t i o n S a v i n g s P r o g ra m # 2 B Interes t L T27 . M i c h i g a n E d u c a t io n S a v i n g s P r o g r a m # 3 B Interes t K T28 . Ky Educat ion Savings Plan 5 29 Tr us t #4 B Interes t K T29 . M i c h i g a n E d u c a t i o n S a v i n g s P r o g ra m # 4 B Interes t L T30 . Ky Educat ion Savings Plan 5 29 Tr us t #5 B Interes t K T31 . M i c h i g a n E d u c a t i o n S a v i n g s P r o g ra m # 5 B Interes t M T32 . Ky Educat ion Savings Plan 5 29 Tr us t #6 B Interes t K T33 . M i c h i g a n E d u c a t i o n S a v i n g s P r o g ra m # 6 B Interes t M T34 . B P PLC C D iv ide n d So ld 06/01/10 K A

1 . I nc om e Gai n Codes : A =$1;000 0r tess B =$1,00 1 - $2 ,500 C =$ 2,501 - $5,000 D =$5,001 - $15,000(S ee C o lumn s BI an d D 4) F =$50 ,001 - $100,000 G =$100,001 - $1,000,000 H 1 = $1 ,0 00 ,0 01 - $ 5 ,0 00 ,0 0 0 H 2 = Mo re t ha r~ $ 5, 00 0, 00 0

2. Value Codes J =$15,000 or less K. ~$!5,061 - $50,000 L =$50,00t - $100,000 M =$I00,00t - $2 50,000(S ee C o lumn s C I an d D 3) N =$250,001 - $51)0;000 O =$500,001 - $1,000,000 P 1 = $1 ,0 0 0; 00 i - $ 5i 00 0, 00 0 P 2 = $5 ,0 00 ,0 01 - $ 25 ,0 00 ,0 00

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q = Appr a i sa l R =C ost (R ea l E state On ly) S =A ssessm en t T - C a s h M a r k e t(S ee C o lum n C 2) U =Bo ok V alue V =Othe r W =Estimated

E =$15,001 - $50,000


6/12


N a m e o f P e r s o n R e p o r t in gBer te l sman , W i l li am O.

D a t e o f R e p o r t05/11/2011

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, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

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 r i n g( i nc luding t rus t a s s e t s ) r e por t i ng pe r iod

(1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,exempt from prior diselosure C o d e 1 div. , r en t ,( A - H ) or i nt . ) C o d e 3 r e d e m p t i o n )

( Q - W )

35. Chevron-Texaco Corp. B Dividend L T

36. Duke E n e r g y A Dividend J T

37. Clorox Co. B Dividend L T

38. Conoco Phillips A Dividend J T

39. Exxon Mobil C o r p . B Dividend J T40. Genera l M i l ls , Inc. A Dividend K T41. Pepsico, Inc. C Dividend M T42. Procter & Gamble Co. E Dividend O T

43. Southern Co. C Dividend L T

44. Sunoco, Inc. A Dividend K T

45. Wiscons in Ener gy Cor p . B Dividend L T46. Yum Brands, Inc. B Dividend L T

47. U.S. Savings Bonds (H) B Interest K T

48. Michigan Educa t ion Sav ings Program #7 C Interest M T49. M ichigan Education Savings Program #8 C Interest M T

50. Michigan Educa t ion Sav ings Program #9 C Interest M T51. Clay County , KY Justice Center Bond B Interest K T

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 n s d u r i n g r e p o r t i n g p e r i o dof repor t ing pe r iod

(1) (2) (1) ..... (2) (3) (4) (5 )Value Value T y p e ( e . g ., D a t e Value G a i ~ Identity ofC o d e 2 M e t h o d buy , se l l , " mmidd /yy C o d e 2 C o d e 1 buyer/seller( J - P ) (J-P) ( A - H ) ( i f p r iva te

t r a ns a c t ion)

L in~6~d Gai~::C0desi A =$ 1,000 or !ess(S ee C o lumn s B I an d D 4) F =$50,001 - $100,000

2. Value Codes . I =$15,000 or less(S ee C o lumn s C I an d D 3) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. V a lue Me thc4 , C ~le s Q =Appraisal(S ee C o lumn C 2 ) U =Book Value

B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000G =$ 100 ,00 1 ~ $1,0 00 ,00 0 H I =$ 1,0 00 ,0 01 - $5 ,0 00 ,0 00 H2 =M ore than $5i000~000K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000O =$ 50 0,0 01 - $ 1,0 00 ,0 00 P l = $1, 00 0, 00 1 -$ 5, 00 0, 00 0 p2 =$5,000,001 - $25,000~000

P4 =More than $50,000,000R =Cost (Real Estate Only) S =Assessment T =C ash Mark e tV =Othe r W =Estimated


7/12


N a m e o f P e r s o n R e p o r t in gB e r t e l s m a n , W i l l i a m O .

Date o f Report05/I 1/2011

V I I . IN V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i nc luding t rus t a s s e t s )

Place "(X)" after each assetexempt from prior disclosure

Income dur ingr e p o r t i n g p e r i o d

(1) (2)A m o u n t T y p e ( e . g .,C o d e 1 d i v . , r e n t ,

( A - H ) or i nt , )

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) (I) (2) (3) (4)Value Value T y p e ( e , g ., D a t e Value Gain I d e n t iL y o fC o d e 2 M e t h o d buy, sell, m t r g d d ! y y C o d e 2 C o d e 1 buyer/seller( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

52 . Kentucky S ta te Pr oper ty & Bldgs RevenueBond Interes tT

53 . E - T r a d e A c c o u n t A Interes t J

54 . Ky. S ta te Tur np ike Bond 3 .6 % due 7 /1 /13 A Interes t J

55 : Automa t ic Data Pr ocess ing , Inc . A D i v i d e n d K56 . Johnson & Johnson A Dividend K

TTT * c o m b i n e d

57 . T-Rowe Pr ice Equi ty Index 5 0 0 A Dividend58 . Temple ton For e ign Fund C1 A A Interes t59 . Amer ican Funds Gr owth Fund o f Amer ica A Dividend60 . Ky. S ta te Pr oper ty & Bldg . Com mn. Bond A Interes t6 I. Jessamine C o . , KY Schoo l 2 /1 / I 1 3 .125% A Interes t

K

J

K

T

T

T

S o l d

Sold

07/01/10 L A

10/05/10 K A62 . Peabody Ener gy Gr oup A Interes t K T63 . KY In ter loca l Schoo l ( due 3 /1 /11) B Interes t K T64 . Edmonson Co . , KY Schoo l Dis t .Bldg .Rev. A Interes t R e d e e m e d65 . M i d d l e s b o r o , K Y S c h o o l B l d g . R e v . d u e B Interes t K T8/1/1166 . Har t Co . , KY P ubl ic Pr oper ty due 4 /1 /13 B Interes t K T

67 . Bowling Gr een , KY Independen t ( due B Interes t K T5/ I /13)68 . Wester n Union Co . A Dividend K T

10/01/10 K A

1 . l nC~ m Gai~ Codes : A m S 1 ;000 or less B =$1,001 - $2,500(See Columns BI and 134) F =$50,001 - $100,000 G =$100,001 - $1,000,0002. Value Codes J =$15,000 or less K =$15,001 - $50,000

(See Col um ns CI and D3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000P3 =$25.000,001 - $50.000,0003. Value Method Codes Q = Appr a i sa l R =Cost (Real Estate Only)

(S ee C o lumn C 2 ) U =Bo o k V a lue V =Othcr

C =$2,501 - $5,000H 1 = $ 1 , 0 0 0 ; 0 0 i - $ 5 1 0 0 0 ~ 0 0 0L =$50,001 - $100;000PI =$1,000,001 - $5,000~000P4 =More than $50;000,000S =AssessmentW =Estimated

D =$5,001 - $15,000H2 =More than $5,000;000M =$100,001 - $250;000P2 =$5i000;001 - $25,000,000T =C ash Mark e t

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


8/12


N a m e o f P e r s o n R e p o r t i n gB e r t e l s m a n , W i l l ia m O .

D a t e o f R e p o r t05/11/2011

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, transactions (Includes those of spouse and dependent children; see pp. ~4-60 of filing instructions.)~ (No reportable assets, orO N E income, transactions.)

A. B. C. D.


O) (2 )A m ou nt T yp e ( e.g ..Code I d i v . , r e n t ~ Code 2(A-H) or int.)

( 2 )Value Value T y p e ( e . g . , D a t e Value

Method .... buy; Sell; m m / d d / y y C o d e 2C o d e 3 redemption) ( J - P )( Q - W )

( 2 ) O) (4) (~ )Gain I d e n t i . t y o fCode I buyer/sellei(A-H) . . . ( i f p r i v a t e

t r a n s a c t i o n )

69 . Spec t r a Ener gy A Dividend J T70 . J e f fe rson , Ky SD F in . Crp. due 11/11 B Interes t K T

71 . Kentucky S t . Pr op & Bldgs ( due 8 /1 /25 ) B Interes t L T72 . Highlands Ranch Met . Dis t . ( due 12 /1 /15 ) C Interes t L T Sold 05/10/10 K A(part)73 . Ky. S ta t e Turnpike A uth or i ty (due 7 /1/16) B Interes t L T74 . N e w Y o r k , N Y ( d u e 8 / 1 / 1 6 ) C Interes t L T75 . Hopkins M n. I ndpt . Sch ool (due 12/1/17 ) B Interes t L T76 . Ar izona Sch . Facs . Br & ( due 9 /1 /17) D Interes t M T

77 . Cal i f o r n ia S t . ( due 8 /1 /18) C Interes t M T78 . Oklahoma Dep t . Tr ans . Rev. ( due 9 /1 /18) D Interes t M T79 . Puer to Rico H sg . F in . Auth . ( due 12 /1 /18) C Interes t L T80 . Bowling Gr een , KY Pr o j . ( due 6 /1 /20 ) B Interes t L T81 . Blackr ock Global Al loca t ion Fund A Dividend M T82 . All iance Ber ns te in Bal . Weal th S t r a tegy B Dividend K T83 . J anus A dv i s e r F or ty F und CI A A Dividend So ld 07/20/10 J A

84 . E n d o w m e n t F u n d A Dividend M T85 . Ci t i zens B ank of N o. Ky (CD) A Interes t L T

1 . I n co m e G a i n C o d e s : A = $ 1 , 0 0 0 o r l e s s B = $ 1 ,0 0 1 = $ 2 ,5 00 C = $ 2 ,5 0 1 - $ 5 ,0 0 0( S e e C o l u n m s B I a n d D 4 ) F = $ 5 0 ,0 0 1 - $ 1 00 ,0 00 G = $1 0 0,0 0 1 ~ $ 1 ,0 0 0 ,0 0 0 H 1 = $1 ,0 00 ,00 1 - $5 ,0 00 ~ 0 0 0

2 . V a lu e C o d e s J = $ 1 5 ,0 0 0 o r le s s K =$ 1 5 ,0 0 1 - $ 5 0 ,0 0 0 L = $ 5 0 ,0 0 1 - $ 1 0 0 ,0 0 0( S e e C olu m ns C I a n d D 3) N =$ 2 5 0 ,0 0 1 - $ 5 0 0 ,0 0 0 O =$ 5 0 0 ,0 0 1 - $ 1 ,0 0 0 ,0 0 0 Pl =$1;000,001 - $5,000,000

P 3 = $ 2 5 ,0 0 0 ,0 0 1 - $ 5 0 ,0 0 0 ,0 0 0 P 4 = M o re th a n $ 5 0 ,0 0 0 ,0 0 03 . V a lu e M e th o d C o d e s Q = A p p ra isa l R = C o s t ( R e a l E s t a te O n l y ) S = A s s e s s m e n t

( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h e r W = E s t im a ted

D =$5,001 - $15,000 E =$15,001 - $50,000H2 =More than $5,000,000M =$100,001 -$250;000P2 =$5,000,001 - $25~000;000T = C a s h M a r k e t


9/12

FINANCIAL DISCLOSURE REPORTPage 9 o f 12

N a m e o f P e r s o n R e p o r t i n gBerte l sman, W i l li am O.

D a t e o f R e p o r t05/11/2011

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,, ...... tions (Includes those of spouse and dependent children; seepp. 34-60 of f lling instructions.)~ NONE income, assets, or transactions.)N o reportable

D e s c r i p t io n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )


I n c o m e d u r i n gr e por t i ng pe r iod

tl ) ( 2 ) ( 1 )A m o u n t Type (e.g., V a l u eC o d e 1 d i v . , r e n t C o d e 2( A - H ) o r i n t . ) ( J - P )

G r o s s v a l u e a t e n d Transactions during reporting periodo f r e p o r t i n g p e r i o d( 2 ) (1) (2) (3) (4) ( 5 )

Value T y p e ( e . g ., Date ~ Vali~ G~iin I d e n t i ty o fM e t h o d b u y , s e l l , m m ] d d / y y C o d e 2 C o d e 1 - buyer/sellerC o d e 3 r e d e m p t i o n ) ( J - P ) ( A ~ H ) " " (i f private(Q-W) t r a n s a c t i o n )

86 . Ci t i zens B ank of N o. Ky. (CD) A Interes t J T87 . Ci t i zens B ank of N o. Ky (CD) A Interes t K T

88 . Ci t i zens B ank of N o. Ky (CD) A Interes t K T89 . Merr i l l Lynch Money F und (Muni ) A Interes t K T90 . Men i l l Lynch Bank ( Regular ) A Interes t L T91 . I V Y G l o b a l N a t u r a l A Dividend K T92 . J anus F or ty F und CI C A Dividend L T93 . PI MCO Tota l R e tu rn F d C1 C B Dividend K T94 . Pr inc ipa l Inves to r s Secur i t i es C B Dividend K T

95 . Lexington-F aye t t e Urb an County Ky Ser A B Interes t K Tdue 2 /1 /1496 . China Mobi le Ltd Spon ADR A Dividend J T97 . C o c a C o l a C o . A Dividend J T98 . Exxon Mobi le Cor p . A Dividend J T99. 3M C o. A Dividend J T100. Alabam a S t . Cap Impt . Ser .D due 6 /1 /19 A Interes t K T101. Ky S t a t e P p t y & B l d g d u e 1 1 / 1 / 1 7 A Interes t K T102. Cit izens Bank A cc t . ( fo r 5 29 Plans ) A Interes t K T

Bu y 05/12/10 KBu y 11/10/10 K

Open 05/01/10 K

1. lncome Gain Codes: A =$1 ;000 or less B =$I ,001 - $2 ,500(See Columns B l and 1)4) F =$50,00 i ~ $ i 00 ,000 G =$100,001 - $1,000,000

2. Value Codes J =$15,000 or tess K =$15,001 - $50,000(S ee C o lumn s C I an d D 3) N =$250,001 - $500,000 O =$500,00 ! - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(S ee C o lumn C 2 ) U =Book Value V =Othe r

C =$2,501 , $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000Hi =$1,000;001 ~ $5,000~000 =More than $5;000;000

_ $100,000 M =$100~00 1 ~ $ 250,0 00=$50,001PI =$1~000,001 .- $5i000,000 P2 =$5,000,001 - $25~000 000P4 =More than $50i000,000S =Assessment T - - C a s h M a r k e tW =Estimated


10/12

FINANCIAL DISCLOSURE REPORTP a g e 1 0 o f 1 2

N a m e o f P e r s o n R e p o r t i n gBer te l sman , W i l li am O.

D a t e o f R e p o r t05/11/2011

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, 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( i nc luding t rus t a s s e t s )


B. C. D.Incom e during Gross va lue al end Fransaetions during reporting period

reporting period of reporting period(1 ~ (2 ) (1) (2) ...... (t) (2)(3) (4~ ..... (5 )

Amount T y p e ( e ~ g , ~ Value : Va l ue Type (e.g., Date Va l ue Gain Identity ofC o d e l d i v . , r e n t ~ C o d e 2 Method buy, se l l , m m/dd!y y C od e 2 Cod ~ 1 . . . . . : : buyer / se l l e r(A=H) o r i n t . ) ( J - P ) C o d e 3 redemption) (J-P) (A -H) (ifprivate( Q - W ) transaction)

10 3 . Hono lulu Ci ty Hawai i Cn t Was te due 7 /1 /191 0 4 . N e w Y o r k S t . D o r m A u t h . d u e 2 / 1 5 /2 010 5 . Ky S t . Pp ty & Bldg d ue 8 /1 /20106. Utah Sta te due 7 /1/14107.10 8. Ivy Asse t S t r a tegy Fund CL C

C I n t e r e s t L T B uy

A I n t e r e s t K T B uy

B I n t e r e s t K T B uy

A I n t e r e s t K T B uySold

A Dividend M T B uy

0 9/16 /10 L10/06/10 K06/30/10 K0 3 /0 4/10 K10/13/10 K07/31/10 M

A

1:1 ncome Gain Codes! A =$1,000 or less B =$1,001 - $2,500(See Col unm s BI and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000

2. Value Codes .I =$I 5,~00 or less K =$15,001 - $50,000(S ee C o lumn s C I an d D 3) N =$250 ,001 - $ 500,000 O -- $500,001 - $1,000;000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q = Appr a i sa l R =C o s t (Rea l E s ta te On ly )(S ee C o lumn C 2 ) U =Bo o k V a lue V =Othe r

C =$2~501 - $5,000 D =$5,001 - $15,000H 1 =$L000,00i -$5;000,000 H2 =More than $5,000~000L =$50,001 - $100,000 M =$100;001 - $250,000PI =$! ~000,001 - $5;0001000 P2 =$5,000,001 - $25,000,000P4 =More than $50,000;000S =A ssessmen t T =C ash Mark e tW =Estimated

E =$15,001 - $50,000


11/12

FINANCIAL DISCLOSURE REPORTPage 11 of 12

Name of Person Report ingB e r t e l sm a n , W i l l ia m O .


VIII . ADDITIONAL INFORMATION OR EXPLAN ATIONS. (lndicate part of report.)


12/12

FINANCIAL DISCLOSURE REPOR TPage 12 o f 12 Iame of Person Repor t ingB e r t e l s m a n , W i l l ia m O .

IX. CERTIFICATION.


I c e r t if y t h a t a l l i n fo r m a t i o n g i v e n a b o v e ( i n c l u d in g i n f o r m a t i o n p e r t a i n in 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 sa 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 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 to 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 .

! f u r t h e r c e rt i fy t h a 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 h a v e b e e n r e p o r t e d a r e i ncompl iance wi th the prov is ions of 5 U.S.C. app. 501 e t . seq. , 5 U.S.C. 7353 , and Judic ia l Confe rence r egu la t ions .

Signature: S/William O. Berte lsma n

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 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 0 4 )

C o m m i t t e e o n F i n a n c i a l D is c l o s u r eAd min is t ra t ive Off ice o f the Uni ted S ta tes Cour t sSui te 2-301On e 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 44

william o bertelsman financial disclosure report for 2010

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