james l graham financial disclosure report for 2009

8/3/2019 James L Graham Financial Disclosure Report for 2009

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no to [ FINANCIAL DISCLOSURE REPOR T R e p o r t R e q u i r e d b y t h e t h i c s i n Go v e r n me n t A c t o f 1978R e v . 1 / 2 0 1 0 [ FOR CALENq)AR YEAR 2009 ( 5 U . S . C . o p p . , ~ 7 t O t - h i )I. P ~ r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i t i a l ) 2. Court or O rgan |za t ion 3 . D a t e o f R e p o r t06/2 IG ra ha m , Ja m es L . U .S . D istrict C o u r t, S D /O H 06/21/201 0

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a l e a c t i v e o r s e n i o r s ~ a r u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a te b p e ) 6. Report ing P e r i o dr r m g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t im e ) [ ] N o m i n a t i o n , D a t e 01/01/2009U.$.Di s t r i c t Judge-Sen i o r [] Initial [] A .... I [] Final to12/31/20095 b . [ ] A m e n d e d R e p o r ~

7 . C h a m b e ~ o r O f f i c e A d d r e s s 8 . O n the basis of the Information contained In this Report and anym o d i f i c a t i o n s pertaining thereto, i t i s , i n m y o p i n i o n , i n compliance16 9 J os ep h P . K e innery U.S . C H with app licable laws and regula t ionr,.85 M& rcon i Bou leva rdC o l u m b u s , O h i o 4 3 2 1 5 R e v ie ~ v in g O f f i c e r D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea~ Complete all parts,ch eck ing th e NO NE b ox for ea ch p a r t wh ere y ou h a ve n o rep or ta b le in form a t ion . S ig n on la s t p a g e .

I . P O S I T I O N S . C R c r o .l n ~ i o d ~ . i d u a t o .6 : ~ ~ . ~-U of f!ling instructions.)N O N E (No reportablepositions.)

P O S I T I O N N A M E O F ORGANIZATION/ENTITY1 .

1 I . A G R E E M E N T S . (Repor t~ng ind lv id ual o , I )7 se, pp. 14 -16 o f f i l ing ins t ruct ion&)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


2/13

N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r t, FINANCIALpa g~ 2 of 13 D I S C L O S U R E R E P O R T I 0 6 1 2 1 G r a h a m , J am e s L .06/21/2010

III . NO N-INVESTMENT INCO M E. ~o,~,~ ~,~,~o,~.~,. ~7-.,4 o~ instructions,)A. Filers N o n - I n v e st m e n t I n c o m eN O N E ( N o r e p o r t a b le n o n - i n v e s tm e n t i n c o m e . )

D A T E SOURCE AND TYPE C L N _ _ C _ Q _ j M _ ~(yours , not spouses)I.

2.3.4.

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 - t / k ,o . ~ r ~ m a r r i e d d u r i n g a n y p o r t i o n o f t h e r e p o r t l n g j, ~ a r , c o m p l e t ~ thi.~ section.(Dol lar amount no t required except for honoraria. )

N O N E ( N o r e p o r t ab l e n o n - i n v e st m e n t i n c o m e . )SOURCE AND TYPE

1 .2.3.4.

IV. REIMBURSEMENTS -,~.~o~o,,,(ln~h,des those to .~pou.~e and dependent children: see pp. 25-27 ~ffil ing insllTtctions.)

[] N O N E ( ]g o r e p o r t a b l e r e i m b u r s e m e n t s . )SOURCE ~ L O C A T I O N PURPOSE ]T EM , $ P A I D O R P R O V I D E D

I.2.3.4.5.


3/13

FINANCIAL DISCLOSURE REPORT! ~ a = ~ a r P e ....

R e p o r t i n g D a , e o f R e p o r tPage 3 of 13 0 6 1 2 1 G r a h am , J a m ~ L . 06.~1/2010

~ N O N E O V o repor table g~s.)~ DESCRIPTION

I.2.3.4.5.

V I . L IA B I L IT I E S . t t , c tudo, ,sos, o:s~ o . .. . . a dependent ch i ldr,n; see p p . 3 2 - 3 3 of f i I in# ins tructions ,)[ ~ ] N O N E (No re por tab l e l iabi l i t i es .)

C R EDITO R DESC R IPTIO N VALUE ~OD E1 . F a rm C redi t o f Mid A m er ica F LC A Mo~gage on Fa~ land~ by Pa~ne~hip-ltem 3-Pa~ VII L2.3.4.5.


4/13

FINANCIAL DISCLOSURE REPORT , ~ = ~ . e o r P e r s o . R e p o ~ n ~Page 4 of 13 06 !21Graham, J a m e s L . 0 6 / 2 1 / 2 0 1 0

V I I. IN V E S T M E N T S a n d T R U S T S - i.,..,~ ,,=/.o, ~..,~=ao .~ ana.d~ t~ o~ o/ ~ . ...... d dependent chi ldren; ace p p . 3 & 6 0 of f i l ing ins t ruct ion~)~ NO NE (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 t s I n c o m e d u r i n g Gross value at end T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d(including wast assets) r e p o t 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

111 (2) (I) (2) O) (2) 13) 141 (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 . , V a t u e Value T y p e ( e . g ., D a t e Value Gain Iden ti~ o f

e x e m p t f r o m p r i o r d i s c lo s u r e Code ! 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 od e 2 C od e I buyer/seller( A - I t ) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt io 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 )

1 . Apt B l d gs- G ahanna , oH (Fr ankl in Co) - Se e E Rent O RPart VIII2. Partnership-Farm Land-Franklin Co. Ohio D Rent O Q3. Hunt ing lon Na t iona l Ba nk-C h eck ing & A Interest J T

Savings Ac c ounts4. G o l d & S i l v e r C o i n s None K T Sold 1 2 / 0 4 1 0 9 J D(part)5. E verg reen Mun i Money Ma rke t F und B Div idend L T6. G a h a n n a J e f l e r so n L S D - 4 . 7 5% d u e 1 2 / 0 1 / 2 1 B Interest Redeemed 06/01/09 K7. Ohio St Ser A-5% due 06/15/09 C Interest Matured 06/I 5/09 L8. Oh io S T C om m on S ch oo ls - 5% Due C Interest M a t u r e d 06/15f09 K06/15/099. Oh io S t B ldg A uth A dul t C on" - 5 .25% Due B Interest K T

1 0 . Ohio S t Bldg At Adult - 5.5% Due 10,01/09 [ D Interest M a t u r e d 10/01/09 M C1 i. C la rk C oun ty Oh io Bo nd-3 .75Vo-Due B Interest M a t u r e d 12/01/09 J12/01/091 2 . S ou th -W es te rn C i ty S ch -4 .75%-Due A Interest Ma tured 12/01/09 J1 2 / 0 1 I 0 91 3 . Ohio St Infras tructu re - 5.75% Due 02/01/14 B Interest K T1 4 . O h i o S T R e v M a j o r A Interest Ma tured 06/15109 Lln | ras tructure-5.00%- Due 06/15/101 5 . Wayne Count) , Otl -Due12/01110-4% C Interest L T

1 6 . Ohio St Site Dev - 3 .4% Due 05/01/11 C Interest L T1 7 . Oh io S t Hw y C a p Im p S 4 % due 0 5/0 1 / ! I A Interest K T

2. Valu~ C~ J =$15.0~ or I~s K =$1 5. 001 - $50 . 0~ L =$50.~1 - $100.0~ M =$1~.~t - $~0,~P3 ~25.~.~1 - I50,000.~ P4 =More ~an $50.~,0~


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FLNANCIAL DISCLOSURE REPORT ! N a m e o f P e r s o n R e p o ~ t in g [ Date of R e p o r tP a g e 5 o f 1 3 0 6 21 Gra h a m , J a m es Lo]

06/21/2010

V I 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 , ,, , ,~ t . e , t . ..~ao.~ a .c~.a . . ,~o~. o. .o . , . ~a dependent c h i l d r e n ; s e e p p . 3 4 4 0 of fi~ng instraetio,tx)N O N E ( N o r e p o r t a b l e i n c o m e , ~ s e t s , o r t r a n s a c t i o n s . )

A. B. C. D.D e a d , l io n o f A s ~ In,me dur iog Gross ~alBe at ~d Tran~6o~ d~fiBg repo~iBg ~[iod( inc l ~ ing t~ t a~se~) r~o~ing pefi~ of re~ing period0) " (~) (~) (~) 0) ~ (~) (3) (4)Place "(X)" a~er each ~t A m o u n t T~ (e.g., V alu e Value T ~ ( e .g . , ~ D a t e Value Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i ~ l o s u r e C ~ e I d i v . , r e n k C o d e 2 M e lh o d buy, sell, m*~td~)~ C o d e 2 C o d e 1 b~ertsellcr( A - H ) o r i n t . ) ( J - P ) C o d e 3 r~empt ion) . ( J - P ) ( A - H ) ( i f p r i v a t e

1 8 . Cinc inna t i W ate r SYS- 5.00%- D ue 12/01/20 C Inter~t M T1 9 . O hio St W TR D EV Auth - 5 .25 % D ue C Interest L T06/01/1120 . Tol ed o O H C AP I MPR D - 4% D ue B Interest K T

12/01/182 1 . Capi ta l O n e B ond - D ue 09/24/09- 3 .5% B Interest Matur e d 0 9 . , o _ 4 / 0 9 K22 . W e ste r n Asse t Manag e d Mun s Fd -Fonne r l y C Interest S o l d 0 3 1 0 4 . , 0 9 L CM a n a g e d M u n y P o r t.23 . Ba nk o f Amer i ca -6 .204 %-Ser i es D P FD B Interest K T24 . Eve rgr e e n Muni M one y M ar ke t Fund A Dividend .I T25 . Eaton Vanc e O t i Tax Exe mpt Mutua l Fund A Interest K T26 . Cl ar k Coun ty O h io B ond - 3 .75 ,o- D ue B Interest Re d e e me d 12/01/09 L12/01/0927 . CD - G E Mo ne y B k- 3 .5 % d ue 09! 25 /09 B Interest Matur e d 09/25/09 L28 . A s t rop ower , Inc . None J T29. " B a l l a r d Pow e r Sys te ms , I nc . None J T30 . C a p s tone Turbine C orp None J T31 . Electrosource, Inc. None J T

~ 2 . E nergy C onvers ion Dev ice None S o l d 08/17/09 J

33 . Pl ug Pow e r , Inc . None J T3 4 . Powershares QQQ ETF-Scries l-Fon~erly A Dividend Sold 08/17/09 JNASDAQ I00 Mulua l Fund

t . In co rr~ G a in C o des: A =$1 .0 00 ~ less B -$1 .00 1 - $2 .500 C -$2 . 501 - $5. 000 D ~$5.00 1 - $1 5.000 E =$1 5.00 1 - $50 .00 0( S e e C o l m n n s B I a n d D 4 ) } -$50.001 - $100,0(~) G =$100.001 - $1 .000. t ,~0 I|l =$1.000.00| . $5. 000 . 000 112 -Marc than $5,000.0002 . V a l , e C o d e s J =$15.000 or less K =$1S.O01 - $50.000 L -$50.001 . $lt~,000 M =$ 1 00 . 0O I -(S ee C ob,r un s C I ~ FR I D 3) N -$2 50 ,0 01 - $5P ~0 .00 0 O ---$500.001 - $ 1,00D.000 P l = S 1 .0 0 0, O 0 1 - $ 5. .0 0 0. 00 0 P 2 =$ .~ .O 0 0 ,0 0 t - $ 2 5, 00 0 ,0 0 013 =$25.000.00 t - $50.000.000 P4 =h.lo~,e than3 . V~ ]u e M e t h o d C o d c ~ Q - Ap p r a~ s M R =Co s t t R c~ I F s ta l e O n l y ) $ =A$~ssment T --~Co.sh Markel( S e e C o l u m n C 2 ) U ~l: : look Va lue V ,~3~her W =Es~imatc~t


6/13

Iame of Person Repor t ing]

Date of ReportFINANCIALDISCLOSURE REPORT[ 0 6 / 2 1 G r a h a m , J a m e s L .

Page 6 of 13 0 6 / 2 1 1 2 o ~ 0V I I . E N V E S T M E N T S a n d T R U S T S - i .co~.e, ~, , ...... rio,, (Includes those orso . . . .. . d depen den t ch i l dr en; s ee pp . 3 4- 60 o f f i l ing in s t ~uc t ion$ .)

N O N E ( N o r e p o r t a b l e i n c o m e , a sse ts , o r t r a 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 Income d~ng Gross value at end T~nmcfions during re , f l ing peri~{ including ~st ~sets) repofl~g period of r~on ing p e r i~0~ ~2~ O} (2) O) (2) (3) (4~ (5 )Pla~ "(X)" after each as~t A m ~nt T~e (e.g., Value V alu e T y p e ( e .g . , D a te Valee Gain ldenti~ ofex~pl from prior disclosure C ~ e I div., ~nt, C o d e 2 M et h o d b u y . s e l l, mm/d~.~ C~ 2 Code I b u y e r ! s e l l e r( A - H ) o r in t . ) ( J - P ) C~ 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 ) ~ aa~ t l on)

35 , R ed Ha t , Inc . None Sold 08/17/09 J36 . Geeknet, Inc.-name changed from None J TS ouree fo rge37 . Da i mle rChry s le rN A It ldg- 6 .1% Du e C Interest M atu red 07/1 5/09 i K

07/I 5/0938 . H SB C Financ e Car p - 5 .7% D ue 07/15 /09 C Interest Ma tured 07/15/09 K3 9 . Oenl M oto rs A ccep t C a rp - 5A Due B Interest Ma tured 09/15/0909/15,0940 . F ord Moto r C redit C o - 5% Due 0 9 /21 /0 9 B Interest Ma tured 09/21/094l. Fannie Mae-4%-due 07/23/15 B Interest Re d e e me d !04/20:0942 . C D G M A C B K M i d v a le U T - 5 % D u e C Interest M a t u r e d 04/09109 L04/09/0943 . CD B MW B K of Nor th Ame r ic a- 5 .35 % B Interest Ma tured 07/16/09 KDue 07/06/0944 . CD C ap i ta l O ne - 4 .15 %d ue 07/2J /09 B Interest Ma tured 09/24,09 K45. C D W a s h ing ton Mutua l BK -4 .3 55~-Due C Interest Ma tured 12/11/09 L12/I ] /0946. CD Ac ad ia D e d SB - 4 .3%- D ue 12 /14 /0 9 B Interest Ma tured 12/14/09 K47. C D B a nk I t a p oa l im BM-5%-Due 0 5/14 /15 B Interest Re d e e me d 05/14/09 K48 . Bank of America Bd-6.204& -Due 09/15/11 B Interest K T49 . W a ch ov ia Money M a rke t Fund A D ivid e nd Cl ose d 06/30/09 J5 0 . CD-Pacif ic Cap Bk-4.25 Ya due 03/]4/11 B Interest K T5 1 . CD-Wachovia Bk-4.55% due 09/12/I I B Interest K T

{ S e e C o l m n n s C I ~ n d D J ) N =$250.~1 - $~.~0 O =$500.~1 - $ I,~,~ Pl ~$1.0~,~1 - S5,~.~ P2 ~5.~0.~1 - $25,~0,~

~ Column C2) U ~B~k Vah~ V ~h~ W


7/13

I~.me of Person Reporting Date of ReportPageFINANCIAL7 of 1 3 D IS C L O S U R E R E P O R T I 0 6 / 2 1 G r a h a m , James L. 0 6 / 2 1 / 2 0 1 0V I I. IN V E S T M E N T S a n d T R U S T S - i . c o , .~ , , ,~ t ~ , ~ . . . . . . , io . s a n c t ~ d e s , h o s o o / ~ p o ~ , a n d ~ p e ~ d ~ n ~

NONE (No reportable income, assets, or transactions.)A. B. C.Descr ip t ion o f Asse ts In c o m e du r in g G ro ss va lu e a t en d Transac t ions dur ing repor t ing per iod

(including tr t~st assets) repor t ing per iod o f r e p o r t i n g p e r i o d(I) (2) (I) (2) (I) (2) (3) (4} (5)Place "(XF a f te r eack asse t A m o u n t T y p e ( e , g . , V a l u e V a lu e Ty p e (e .g . , Date V a l u e Ga in Ident i ty of

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I div ., ren t, C ode 2 M e t h o d bu y . se ll, m m ld& iy y C ode 2 C o d e I buyer lse l le r(A-H) or in t . ) ( J-P) C o de 3 redem p tio n ) (J-P) {A-H) ( i f p r ivate{ Q - W ) t ransac t ion)

5 2 . C D-W a ch ov ia Bk-4 .75% due0 9! 12 /12 B Interest K T

53 . AIM Constellation Class A Mutual Fund A Div idend J T

~4. Note Receivable-Benevolent Landlord A I n t e r e s t K T

55 . Apt. Bldgs-Westerville, OIt ( .Franklin D Rent O R B u y 0 6 /2 6 /0 9Co,l-See Part VIII56 . ,"~hs Amazon Corn Inc. None B u y 0 7 / 2 3 / 0 9

57. S o ld 07/24,"09

5 8 . ~hs Applie Inc. None B uy 06/24/09 J

59 . Sol d 08117/09 J A: 60 . I A p p l e , Inc. None B u y 07/] 7t09 J

6 1 . S o ld 08 !1 7/09 J A

62 . ] Bank of America No ne B u y 0g/05/09 J

6 3 . Sold 08/12/09 J64.. 1 Chevron Corpomlion None B u y 06/26/09 J

6 5 . Sol d 1 0 8 ] 1 7 / 0 9 J A66 . i~ - - ~ , i Che vr on Cor por a t ion A D ivid e nd B u y 07/16/09 J

6 7 . Sold 0 8 / 1 7 1 0 9 J A68 . :, ]Cisco Sys Inc. Nonc B u y 08/07/09 J

I . Incom e Gai n C odes: ^ =51.00~ ~ less B =$1.0oi -$2,500 C ~2.501 - $5.~0 D =5~.~1 -SIS .~0 ~ -$15,~1 - $50.~2 . Value C~e~ J =$15,~ or I~ K =$1 5,~1 $50 .~ L =$50 .0 01 - $1 ~.~ M ~l~.~l - $250.~

( S ~ C u i r a s s C I a n d D 3 ) N -$250 .~1 - $5~,0~ O =$5~,~1 - $ I.~.0~3 . V a l u e M e t e d C ~ C S Q -Appraisal R ~o~t (Real ~ta~e O~I~) S =A s p i r a n t T =C~sh Mark~( ~ C o l ~ ) n n C 2 ) U -Btx+k Value V ~th~ W


8/13

FINANCIAL DISCLOSURE REPORT S a ~ e o t V ~ o ~ a e p o n i n g [ O ~ l , o m ~ p o .Pag e 8 o f 1 3 061 2 1 G r a ha m , J a m e s L .1

06/21/2010

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~, ~, t,~,~,io.~ a~.~z~,~o,~ o/~,o~, ~ ~, childr~N O N E ( N o r e p o r t a b l e i n c o m e , ~ s e t s , o r t r a n s a c t i o n s . )

A. B. C. D .Description of As~ts I n c o m e d u r i n g Gr~s value at end T r~sa c t i ons du r i ng ~ i ng ~r i odIincluding t~st as~s) t ro t t i ng p ~iod of r~ing ~riod" 0) (2) (1) (2) O) - (~ (3~ (4) (s )Pla~ "(X)" after ~ch ass~ A m o u n t T ~ ( e .g . , Value Valu e T ~ ( e .g . , . Dale Value Gain l d e n t i ~ , o f

exempt from p rior discl~ure Code I die.. ~nt, C o d e 2 M e t h ~ b u y , ~ 1 1 , m~d~ C o d e 2 C ~ e I buyer/seller( A - H ) o r i n L ) ( J - P } Code 3 r~empt ion) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W } ~ction)

69 . S o l d 08/17/09 J7 0 . t ] C i t ig roup Inc . None B u y 08/07/09 J7 I. S o l d 08/17/09 J

72. ~Goldman SachsGroup None B u y 07/14 /~ J7 3 . S o l d 08/I 7/09 J A74. ~ Intel Co~ A D ivid e nd B u y 07/14/09 J7 5 . Sold 08/17/09 J B

76. ~Johnston & Johnson " None B u y 07/14/09 J7 7 . Sold 08/17/09 J A78. ........... I Kinder Morgan Energy Paane~ None Buy 07/31/09 JL P7 9 . S o l d 08/17/09 J8 0 . ] L inn Ene r gy L L C None B u y 07/31/09 J8 1 . ~[d 08/17/09 J8 2 . - ] N o k ia C o ~ None B u y 06/24/09 J83 . Sold 07/ 17/ ~

8 4 . ~ ] P P G Industries Inc. A D iv iden d B u y 06/17/09 K8 5 . S o l d 07/I 3/~ K A

P3 -$25,(~.~1 - $50,~.~ P-I =More lhan $50.~0.~3. Vah~ h~ct~sd C~cs Q=Ap~ai~l g ~os~ (goal ~ta:e O~yl S =A ~ sessm ~ t T ~h M~ket


9/13

FINANCIAL DISCLOSURE REPORT ] N a m e o f P e r s o n R e p o r t i n g D a t e o r R e p o r lIage 9 of 13 0 6 / 2 1 G r a h a m , J a m e s L . 0 6 / 2 1 / 2 0 1 0V I I . IN V E S T M E N T S a n d T R U S T S - uc . . . .. l ~ . tr an~ac t l ons ( Inc l udes r hone o f s pous e aml depen der d ch i l dr en; s ee p l x 3 4- 60 o f f i l i ng ins l r ucr ion~)

N O N E ( N o r e p o r t a b l e i n c o m e , a sse t s, o r t r a n sa c t i o n s . )A. B, C. D.

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 Gross value at end T r a n s ~ c t i o n ~ d u r i n g r e p o r t i n g p e r i o d(including trusl assets) r e p or t i n g p er i o d o f r e p or t in g p er io d(1) (2) (I) (2) (I ) (2) (31 (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s ~ t A m o u n t T y p e ( e .g . , Value V alu e T y p e ( e .g . , D a t e Value 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 I d i v . , r m , t , C o d e 2 M e th o d buy, sell, m m !d d ly y C o d e 2 C ode I buy er;seller( A - H I o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( . I -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 )

8 6 . P P G Induslries Inc. A D ividen d B u y 06/17,09 J87 . S o l d 08/17/09 J B

88. ~Palm Inc. None B u y 06/24/09 J8 9 . So]d 0 7 / 2 - 4 / 0 9 J

9 0 . -] Sandisk Corpo ration None B u y 07/16/09 J9 I. Sold 08/17/09 J9 2 . ] SFDR G old Trust ETF None B u y 06/17/09 J9 3 . Sold 08/17/09 J9 4 . ~ I Verizon Cotmnunicat ions A D ivid e nd B u y 0 6 1 1 5 / 0 9 K9 5 . S o l d 08/17/09 K A9 6 . . I Blackrock Glbl Allot A D ivid e nd K T B u y 1 1 / I 6 / 0 9 K97 . I Blackrock Glbl Alloc None J T B u y 1 2 1 2 2 / 0 9 J9 8 . I IVY Asset Stra tegy CI I A Dividend K T B u y ! 1 I / 1 6 / 0 9 K99 . [ IVY Asset Stra tegy C I 1 None J T B u y 12/14/09 J1 0 0 . ~ JPMorgan Chase & Co. None K T B u y 12/15/09 K1 0 1 . [Kind e r Mor gan Ene r gy None J T B u y 12/15/09 J1 0 2 . I Linn Energy LLC None K T B u y 12/15/09 K

2. Vatue C~c~ J -$1 ~.~ ~r I~ K =$15.~t - $50.~ L =$50,~1 - $t00,~ M -$ t00,~l -

3. Vah~ Met~ C(~cs Q ~ A p ~ a i s a l R ~ost (Real ~tate Oal),) S =A~sment T-Cash M~k~


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FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tPage 1 0 of 13 o6/21 Graham, J a m e s L . 0 6 / 2 1 / 2 0 1 0

N O N E ( N o r e p o r t a b l e i n c o m e , a sse t s, o r t r a n sa c t i o n s . )A. B. C. D.

D c s c r i p t i o n o f A s s e t s Income during 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 d( i n c lu d in 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) (2 ) O) /21 (i ) (2) 131 141 (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 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 C o d e 1 d i v . , r e n t , C o d e 2 M et h o d buy, sell, r a m /d di y y C o d e 2 C o d e 1 b u y e r . ~ s e l l e r( A - I I ) 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 ~ iv a te

( Q - W ) t r a n : , : , a c t i o ~ i )

1 0 3 . . . . . . . . . . . I Loomis Saylcs W/W Is tl A D ivid e nd K T B u y 11/16/09 K1 0 4 . ~ Loomis Say es W/W Instl None J T B u y 12/11/09 J1 0 5 . ...........:::, :i:::::,: Pimco All AssetlAulh I B D ivid e nd K T B u y 11/17/09 K106. . : : : : , , . :]Deutsche Telekorn AG None B u y 08/07/09 K1 0 7 . None S o l d 08/17/09 K1 0 8 . ] H unt ingl on B anc shar e s None B u y 07/09/09 J1 0 9 . None S o l d 07/24/09 J110 . W e l l s Far go Mone y Mar ke t Ac c ount A Interest M T Op en 0 6 / 3 0 , 0 9 M111. i~ Allrla Group None K T B u y 12/23/09 K112. ~ American Electric Power None K T B u y 12/23/09 J1 1 3 . ] Cenovus Energy Inc. A Dividend J T B u y 07/31/09 J1 1 4 . "] Chevron Corp None K T B u y 12/23/09 K

~ .............C o c a - C o l a C o m p a n y None K T B u y 1 2 / 2 3 ] 0 9 KI 16 . : ] En ca na C o rp A Dividend K T B u y 07/31/09 K1 1 7 . "] General Mills Inc None K T B u y 12/23/09 K118, ~shs Intel Corp None K T B u y 12/23/09 K119. ,~.~ ]Ve r izon Cimmunic a t ions A Dividend K T B u y 12/23/09 K

2. Value Ct~ J -ilS,~ or Icu K =$1 5. 001 - $50 . 0~ L =$50.~1 - $100.~ M =$1~,~] - $~0.~(S~ Colttm~ CI and D~) N -$230,001 - $5~.0~ O ~5~.~1 - $1,0~.~ Pt =$1,000,001 - $5.~,~ P2 =$5.~.~1 - $25.~.1~

( ~ e C o l u m n C 2 1 U = B ~ k V a l u e V ~h~ W ~ti~led


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FINANCIAL DISCLOSURE REPOR T Name of Person Report ing Oa,e0tReportPage 1 1 of 13 0 6 / 2 1 G r a h a m , J a m e s L . 0 6 / 2 1 / 2 0 1 0

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 . , ., , ,a l . e , t . . .. . ~ t ~ o . . , ~ I n c l u d ~ t h o s e oI",~o~ a n d d e l ~ e n a c n t e l ~ i ld r e n : s e e p , o . Z~-6O o a t i , g i , ~ t r ~ c t i o . s . )N O N E ( N o r e p o r t a b l e i n c o m e , a sse t s, o r t r a n sa c t i o n s . )

A. B. C. D.Description of Assvs Income during Gross value at end Tr~sactions during reporting period

( i r ~ c[ u di ~ g t r u ~ . t a sse t s ) reporting period of repo~ag period(i) (2) (I) (2) (I) - (2) (3) ~4) (5)

Place "(X)" after each asset Amount Type (e,g., Value Value Type (e.g., D a t e V a l u e Gain ]dentils, ofexempt from prior disclosure Code 1 div,, rent, Code 2 F. l e t ho d buy, sell, mrrdd~Uyy Code 2 Code 1 buyer/seller

(A-H) or int.) ( J -P ) Code 3 redemption) ( J -P ) ( A - H ) Iifprivat I ,Q- W ) traasaction)

1 2 0 . ] Wal-Mart S tores, Inc . None K T B u y 12/23/09 K12L ~W~steMa~agement ln. ~ o ~ e K T B ~ y 1 1 2 / 2 3 / 0 9 K1 2 2 . ~ H u n t i n g t o n B a n c h s a r e s - 8 . 5 0 % C o n v A Div idend K T B u y 07/09/09 K123 . Bk o f A m er ica C P N 5 .15% Due 0 9 /15/16 B Interest K T B u y 0 9 / 2 1 1 0 9 K124 . DP L Inc S r Notes 6 .875% Due 0 9 /0 1 / I I C Interest L T B u y 01/09/09 L125. Na t iona l C i ty C orp C P N 4 % D ue 0 2 /0 1 /11 B Interesl L T B u y 05/20/09 L126 . W e l l s Far go Mone y Mar ke t Fund A Interest J T O p e n 06/30/09 J


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FI NA N C I AL D I S C L O S U R E R E P O R T r~ame of Person Reporting D a t e o f R e p o r tPage 12 of 13 06/21Graham, James L. 0 6 / 2 1 / 2 0 1 0

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS.

Part VII, page I, l ine 1 : The date of purchase wa s April 2, 2002. The actual cost is $425,865oPart VII, page 1, l ine 2: The date of the appraisal was November 30, 2007 w ith an valuation date of D ecember 20, 2007.Part VII, page 1. l ine 55: The date of p urchase wa s 06,126/2009. The actual cost is $736,770.


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N a m e o f P e r so n R e p o r t i n g D a t e o f R e p o r t~ Z l N A N C I A L p a g e 1 3 o f 1 3 D I S C L O S U R E R E P O R T 06/21Graham, J a m e s L . 06/21/2010IX. CERTIFICATION.

I ce r t if y t ha t a l l i n f o rma t i on g i ven a bove ( i nc luding i n f o rm a t i on p e r t a i n i ng t o my sp ouse a n d mi no r o r dep enden t chi ldren , i f a ny) i sa ccu ra t e , t r ue , a nd comp le t e t o t he best o f my know ledge a nd be l ie f , a nd t ha t a ny i n f o rm a t i on no t r ep o r t ed w a s wi t hhe ld beca use i t me t a p p l i ca ble s t a t u t o ryp rov i s i ons p e rmi t t i ng non-di sc losu re .

l f u r t he r ce r ti f y t ha t ea rned i ncome f rom ou t s i de emp loym en t a nd hono ra r i a a nd t he a ccep t a nce o f g i f t s whi ch ha ve been rep o r t ed a re incomp l i a nce wi t h t he p rov i s i ons o f 5 U .S .C . a p p . 501 e t . seq., 5 U.S .C . 7353, a nd Judi c i a l Con f e rence regu la t i ons .

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 I F I E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

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

C o m m i t te 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 t iv e O f f i c e o f t h e U n i t e d S ta t e s C o u r t sS u i t e 2 -3 0 1O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C , 2 0 5 4 4

james l graham financial disclosure report for 2009

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