mark w bennett financial disclosure report for 2010

8/3/2019 Mark W Bennett Financial Disclosure Report for 2010

1/15

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethicsin Governmen t Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor t ing ( las t name , f i r s t , middle ini t ia l )B E NNE T T , M AR K W .

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

U.S. Dis t r ic t Cour t Judge

7. Chambers or Off ice Address313 Uni ted S ta te s Cour thouse320 Sixth StreetSioux City , IA 51101

2. Court or Organizat ionUSDC /Nor the rn Dis t r ic t o f Iowa

3. Date of R e p o r t5/12/2011

5a. Repor t Type (check appropr iate type)] Nomination, D a t eI D Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

Reviewing Officer Date

6. Reporting Period01/01/2010

to12/31/2010

IMPORTANT NOTES: The instruct ions accompa nying this form m ust be followed. Com plete al l parts,checking the NONE box for each part where you h ave no repo rtable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)~] (No reportable positions.)ONE

POSITION NAME OF ORGANIZATION/ENTITY

2.3.

4.5.

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

DATE PARTIES AND TERM S


2/15

FINANCIAL DISCLOSURE REPORTPage 2 of 15

N a m e o f P e r so n R e p o r t i n gBENNETT, MARK W.

Date of Report5/12/2011

I l L N O N - IN V E S T M E N T I N C O M E . (geporting individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-lnvestment Income

D (No reportable income.)ONE non-investmentDATE SOURCE AND TYPE I N C O ME(yours, not spouses)

1 . 2010 A sp en P ub lish in g $4 ,200.002 . 201 0 Drake Univers i ty Law School $3,700.003.4.

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 - i f you were m arried during anyportion of the reporting year, com plete this section.(Dollar amount not required except for honoraria.)~ NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE1 .2.3.4.

I V . R E I M B U R S E M E N T S - tr.nsportation, lodging, food, e n t e r t a i n m e n t(Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.)

D (No reportable reimbursements.)O NESOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1 . EP L I 1 /24 /10-1 /26/10 New York , NY 15 th Annua l EPLI a ir fa re , lodging, mea lsConference2. In te rn atio na l Asso c. o f 2/1 4/1 0-2/1 6/1 0 Nap les, FL IAD C 201 0 M id year a i f a re , l o d g in g , m e a l sD efense C ou n se l M ee ting3. A lask a B ar Asso cia tio n 4 /27 /1 0-5 /1 /1 0 A n cho rag e , AK Alask a Bar C o nv en tio n a ir fa re , lodging, mea ls4. P ac ific C oast L a bo r & 5/1 2/1 0-5 /1 4 /1 0 Seattle , WA 4 3 rd An n u a l P a c i f i c C o a s t a i r f a re , l o d g i n g , m e a l sE m p l o y m e n t B a r Labor & Employment LawCo n f .5. Marcus Evans Summits 5/16/10-5 /18/10 Miami , FL Employment Law Semina r airfare, lodging, meals


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FINANCIAL DISCLOSURE REPORTP ag e 3 o f 1 5

N a m e o f P e r s o n R e p o r t in gBENNETT, M ARK W.


6. M inn eso ta Sta te Bar 5 /23/1 0-5 /25 /1 0 St. Paul, MN Upper Midwest a ir fa re , lodging, mea lsEmp lo ymen t Law In s ti tu te7. Io w a S ta te Ba r 6 /4 /1 0-6 /5/1 0 O k oboji, IA L aw yers C hau tauqua m i l e a g e , l o d g i n g , m e a l s8. Iowa Sta te Ba r 7 /1 0/1 0 O k oboji, IA S u m m e r S e m i n a r m i l e a g e , m e a l s9. ALJ Association 9112/10-9/13/10 Des Moines, IA ALJ CLE m i l e a g e , l o d g i n g , m e a l s

1 0 . Massachusetts CLE, Inc./ 9/15/10-9/17/10 Boston, MA MCLA./ABOTA Trial a ir fa re , lodging, mea lsABOTA Advocacy Program1 1 . N L R B 9/23/10-9/24/10 C h icag o , IL N LR B C o n feren ce a ir fa re , lodging, mea ls1 2 . AC I 9/29/10-9/30/10 N e w Y o r k , N Y Mass Tort Products a ir fa re , lodging, mea lsL iabi l i ty Co nference1 3 . Baldwin/Mobile Bar 1 2/2/1 0-12/5 /1 0 M obile , AL Baldw in /M o bile C ou nty a ir fa re , lodging, mea lsBench Bar Program1 4 . Io w a S ta te Ba r 1 2/16 /1 0-1 2/17 /1 0 D esM o in es , IA F ed era l P rac tice Se m in a r m i l e a g e . ! o d g in g , m e a l s

1 5 . Drake Unive r s i ty School o f Spr ing Semeste r Des Moines, IA Co-Teaching law c lass m i l e a g e , l o d g i n g , m e a l sLa w1 6 .1 7 .1 8 .1 9 .20 .21 .22 .


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FINANCIAL DISCLOSURE REPORTPage 4 o f 15

N a m e o f P e r so n R e p o r t i n gBENNEIT, M ARK W .


V . G I F T S . a n c l u ~ e s t h o s e t o s p . . .. . . d d ep end ent children; see p p . 2 8 - 3 1 of f!ling instructions.)N O N E ( N o reportable gif ts . )

SOURCE1 .2.3.4.5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n c l . d e s t h o s e o l s p o u s e a n d dependent chi ldren; see pp. 3 2 - 3 3 of filing instructions.)N O N E ( N o reportable l iabil i t ies . )

CREDITOR DESCRIPTION1 .2.3.

4.5.

VALUE CODE


5/15

FINANCIAL DISCLOSURE REPORTP a ge 5 o f 1 5 Ia m e o f P e r s o n R e p o r t i n gB E N N ET T , M A R K W . Date of Report$/12/201 l

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, transaetions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)N O N E (No reportable income, assets, or transactions.)

Desc r ip t ion o f Asse t s( inc lud ing t rus t a s se t s )

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

I n c o m e d u r i n gr epo r t ing pe r iod

( 1 ) (2 )A m o u n t Type (e.g..C o d e 1 div . , ren t ,

( A - H ) or in t . )

G r o s s v a l u e a t e n d Transac t ions dur ing r epo r t ing pe r iodo f r e p o r t i n g p e r i o d

(1) (2) (1) (2) (3~ (4) (5)Value Va lue T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fC o d e 2 M e t h o d buy , se l l , i mr rddd/yy C o d e 2 C o d e 1 buyer/seller

(J-P) (A=H) ( i f p r iva tet r ansac t ion )

1 . Non-IRA (Fidelity)2. ANTX N o n e J3. Berksh ire Hathaway None J4. FBR Focus Fund5. First Eagle Global Class C A

N o n eDiv idend

JJ

T

TBu y 12/20/10 J( add l )

6. H arding Loevner Em erging M kts None J Bu y 10/ l /10 J7. Invesco Intl. Small Co. None J8. Permanent Por t fo l io A D i v i d e n d J Bu y 10/01/t0 J

Bu y 12/20/10 J( add l )

1 0 . Pimco Total Return Class C A Dividend Sold 12/14/10 J D

1 1 . Surebeam Corp . None J1 2 . Vangu ard Index FDS

1 3 . WasatchUltra Gr owthA Dividend

None

JJ

TT

Bu y 12/20/10 J( add l )Bu y 12/15/10 J

1 4 .

1 5 . Ro!lover IRA (Fidelity)

1 6 . Direxion Daily Emerging M arkts Bull N o n e J Bu y 10/06/10 J

1 7 . Fide l i ty C ash Rese rves A Div idend I Bu y 0 U 2 9 1 1 0 J

: 1 : I nCome G ain c0 des :(See Co lu mns BI and 1 )4 )

2 . Va lu e Codes(See Co lu mns CI and D3)

3.Value Method Codes(See Co lu mn C2 )

A =$1;000 or less=$50,001 - $100,000=$15.000 or less

N -$250,001 - $500,000P3 =$25,000,001 - $50,000,000Q =AppraisalU = Book Va lu e

B =$1,001 -$2,500G =$I00,001- $I,000,000K - $15,0 0 1 - $50 ,0 0 0O=$500,001- $1,000,000R =Cost(Real Estate Only)V = Oth er

C =$2,501 - $5,000 D =$5,001 - $15,000HI =$1;000,001 - $5;000~000 H2 --More than $5,000,000L =$50,001 - $100;000 M =$100,001 - $250~000P I =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P4 :More than $50,000,000S =Assessment T =Cash Mar keiW =Estimated

E =$15,001- $50,000


6/15



D a t e o f R e p o r t5/12/2011

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 f!ling instructions.)N O N E (No reportable income, assets, or transactions.)

A. B, C.Description of Assets Income dur ing Gross value at end(including trust assets) reporting period of reporting period

O) (2) (1) (2) (1 ) (2) O)Place "(X)" after each asset Amo u n t Type (e.g., V a l u e V a l u e T y p e [ , e .g . , Date V a l u e

exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell , mm/dd/yy C O d e 9(A-H) o r i n t . ) (J-P) Code 3 redempt ion) (J-P)(Q-W)

Transac t ions :dur ing r epo r t ing pe r iod

(4 ) (5 )Gain ..... Identi ty of

Code I. buyer/seller(A-H) (if private

transaction)

1 8 .

1 9 .

20 .21 .22 .23 .24 .25 .26 .27 .28 .29 .30 .

31 .

32 .33 .

34 .

Fide l i ty Globa l Comm odi ty Stock Fund None Bu y 01/11/10Sold 03/30/10(part)Sold 08/06/I 0(part)Sold 10/05/10

J

J

J

J

Fidelity Real Estate Incom e A Div idend J Bu y 01/11/I0 J

First Eagle G lobal Class C None K

S o ld 03 /30/1 0( p a r t )S o ld 06/23 /1 0(part)Bu y 01/08/10

J

JK

Goldm an Sachs Satel l i te Port A Dividend

Sold 03/30/10(part)S o ld 07/21/1 0(part)Buy 1 1/16/10( add l )Bu y 03/01/10

J

J

J

J

Ishares TR S&P 500/Grow th Index Fund A Dividend

S o ld 03 /30/1 0(part)Bu y 10/19/10( add l )Bu y 04/05/10

J

JJ

Sold 09/08/10 J(part)Sold 12/31/10 J(part)

AAD

AB

AB

A

B

B

1. In co m e Gain C odes: A =$1,000 or less B =$1,001 - $2 ,500 C =$2,501 - $5,000 D =$5.001 - $15,000(See Co lu mns BI and D4 ) F =$50,001 - $100,000 G = $1 00 ,0 01 - $ i i0 00,0 00 H 1 =$ t,0 00 ,0 01 - $ 5,0 00 ,0 00 H2 =More than $5,000,000

2. V alue Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100;000 M =$100,00 ! - $250,000(See Co lu mns C I and D3) N =$250.001 - $500,000 O =$500,001 - $ t ,000,000 P I = $1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 P 2 = $ 5, 00 0, 00 1 - $2 5, 00 0, 00 0

P3 =$25,000,001 - $50,000,000 P4 =More than $50~000~0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T = Cash M ark e t(See Co lu mn C2 ) U = Book Va lu e V - O t h er W =Estimated

E =$15,001 - $50,000


7/15


N a m e o f P e r s o n R e p o r t in gB E N N ET T , M A R K W .

D a t e o f R e p o r t5/12/2011

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 f!ling instructions.)~-~ N O N E (No reportable income, assets, or transactions.)

Desc r ip t ion o f Asse t s i n c o m e d u r i n g( inc lud ing t rus t a s se t s ) r epo r t ing pe r iod

exempt from prior disclosure Code t div., rent,( A - H ) o r i n t . )

(5 )V a l u e ~a lu e Type (e.g., Date V al ue Gain Identi ty of

Code 2 M e th od ... . b uy , s el l, m m / i : l d / y y Code 2 Code 1 buyer/sel!er:( J ~ P ) C o d e 3 redemption) I ( J = P ) :(A-H) (if private

(Q-W) transaction)

35 .

36 .

37 .38 .

39 .4 0.4 1.42 .

4 3 ~

4 4.4 5.46 .

47.4 8.

Iva Wor ldwide Fund None

Leuthold Glob al fund Retail Class A Div idendMetz ler Payden Euro Emerg ing Market s None

New Century Alter Strategies

Oakmark Equi ty & Income

A Dividend

None

JJ

T Bu y 01/08/10 KSold 03/30/10 J A(part)Sold 07/29/10 J B( p a r t )Buy 10/19/10 J(addl)

T Buy 01/11/10 J

T Bu y 10/06/10 JSold 03/30/10 J A( p a r t )

T Buy 01/08/10 J

Sold 10/07/10 J D( p a a )Buy 01/l 1/10 J

Sold 03/30/10 J A( p a r t )Buy 04/05/10 J( add l )Sold 11/02/10 J D( p a r t )Sold 12/31/10 J D

49 .50.51 .

Oakmark International Small Cap A Dividend

Perm anen t Portfolio None

Bu y 01/08/10S o ld 03 /30/1 0( p a r t )Bu y 11/16/10

JJJ

A

1. Income Gain Codes: A =$1,000 or less(See Colunms B 1 and I )4) F =$50,001 - $100,000

2. "Va |ue Codes J =$ | 5,1)00 or less(See Co lu mns C I and D3) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal(Sc Co lu mn C2 ) U = Book Va lu e

B=$1,001 - $2,500G =$100,001 - $1,000,000K=$15,001 - $50.000O =$500,001 - $ 1,000,000R =Cost (Real Estate Only)V = Olh er

C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000nl =$1,000,00t ~ $5,000i000 H2 ~M6re tha~ $5 000 000L = $ ~ o , o o ~ = $ ~ o o , o o o M ~ $ i O O i O 0 ~ - $ ~ s o ~ o o oPI =$1,000,00I - $5,000,000 P2 =$5 000 001 - $25;000i000P4 =Mo~e thafi $501000;000S = Assessmen t . T = Cash M ark e tW =Estimated


8/15


N a m e o f P e r so n R e p o r t i n gBENNETT, MARK W .


V I I. IN V E S T M E N T S a n d T R U S T S - i .... e , value, t ransact ions (Includes those of spouse and dependent chi ldren; see p p, 34-60 of f i ling instruct ions .)N O N E (No reportable income, assets, or transactions.)

Descr ip t ion of Asse ts( i n c l u d i n g t r u s t a s s e t s )

B. C. D.Income dur ing Gross value at end Transactions during reporting period

reporting period of repoSing period~ l) (2) (1) (2) (1 ) (2) (3) (4) (5 )

Place "(X ), after each asset Am ount T y p e ( e . g . , V alue V alue Type (,g,, Date Value Gain Identity ofexempt from prior disclosure Code 1 d i v . ~ r e n t , Code 2 Method buy; sell~ m m !d d /yy Co d e 2 Code 1 buyer/seller(A-H) or ira.) ( J - P ) Code 3 r e ~ ! ~ m P t i o n ) (~P) (A-H) ( i fp~vate

(Q-W) transaction)

52 . T. Rowe Pr ice PERSNL Stra tegy Blanced A Div idend J T Bu y 01/08/10 J53 . Sold 03/30/10 J( p a r t )54 . Wasa tch Long/Shor t Fund A Div idend J T Bu y 01/14 /10 J

A

55 . Sold 03/30/10(part)56 . Sold 10/08/10( p a r t )57 . Sold 12/07/10( p a r t )58 . Wasatch Ultra Growth N o n e J T Buy 1 0/08/1 0

JJJJ

ADB

59 .60 . Misce l laneous Hold ings61 . Iowa College Savings AccountW n o N o n e J Tco n t ro l62 . Iowa College Savings Account~ no None J Tcont ro l63 . CKG ACCT; Fideli ty, Boston MA A Interest J T

JJ

64 . W e l l s F a r g o C h e c k in g A c c o u n t A Interest J T65 . Iowa/Nebraska S ta te Bank Checking A Interest J TAccount66 . REINSURANC E AGREEMT; 1s t Colony None N WLife Ins . Co .67 . B elc ou r P en s io n In v est V I N o n e J T68 . LMTD P TRSHIP; Rive r f ron t Assn ; Des N o n e J WMoines,

1: Income Gain Codes:(See Colunans B I and D4)

2.Valu e Codes(See Co lu mns CI and D3)


A =$1~000 or less B =$1;001 ~ $2;500 C =$2,501 - $5,000 D =$5,001 - $15.000F =$50.001 - $100,000 G =$100~001 - $1,000,000 H 1 =$1~000,00 i 5 $5,000,000 H2 =M0re than $5~000,000

=$15,000 or less K =$15;001 -$50,000 L =$50i00i ~ $100~000 M =$100,001 +$250,000=$250,001 - $500,000 O = $5 00, 001 - $1 ,00 0,000 P 1 =$ 1,000; 001 . $ 5,000; 000 P2 --$5 000;001 ~ $25~000,000

P3 =$25,000,001 - $50,000.000 P4 --M~re than $50;000,000 T = Cash M ark e t=Appraisal R =Cost (Real Estate Only) S = Assessmen t= Book Va tu e V = o t h e r w = Est ima ted

E =$15,001 - $50,000


9/15

FINANCIAL DISCLOSURE REPORTPage 9 of 15 Ia m e o f P e r s o n R e p o r t i n gB E N N E T T, M A R K W . Date of Report5/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)NONE (No reportable income, assets, or transactions.)

A. B. C.Description of Assets ::: : In c0 m ed ur i n g Gross value at end(including trust assets) reporting period of reporting period

(t ) (2) (1) (2) (1) (2) (3)Place "(X)" after each asset A n ~ o u n t : , :T y p e ( e . g . , V alue V alu e Type (e.g., D a t e Na lu e

exempt from p rior disclosure C o d e 1 d i v . , r e n t ~ Code 2 Method buy, sell , m m /d d/y y C od e 2(A-H) o r i n t . ) ( J - P ) Code 3 redemption) ( J - P )(Q-W)

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( 4 ) ( 5 )

Gain Identi ty ofCode 1 buyer/seller(A-H) ( i f p r i v a t et r a n s a c t i o n )

69 . LMTD PTR SHIP-Shea r son Sen ior Income N o n e J WFund70 . LM TD P TR SHIP -Shearso n C o ast S av ing s N on e J W71 . LM TD P TR SHIP -C aryle R eal Estate N on e J W72 . R ES ID EN TIA L L O T; Sio ux C ity , IA N o n e K W73 .74 . IRA Fidelity~75 . Amer ican Centu ry Mid Cap76 . Berksh ir e Ha thaway Inc DEL C L B77 . Boston Partners (Y)78 . Fide l i ty Globa l Ba lanced79 .

N o n eNone

None

J T Bu y

K T So l d(part)

Sold(part)Sold

10/15/1008/06/10

03/29/1012128/10

JJ

JJ

D

CD

80 . Fide l i ty Globa l Comm odi ty Stock Fund None J81 . Fide l i ty C ash Rese rves A Div idend J82 . F id elity Em erg in g M arke ts (X ) None83 . Fide l i ty Rea l Es ta te Income A Div idend J84 . Fir s t Eag le Globa l Cla ss C No n e K85 .

T Bu y 01/08/10T

Sold 03/29/10

T Bu y 01/08/10!T S o ld 03/08/1 0(part)

Bu y 11/09/10(addl)

JJJJ

D

C

1. Income Gain Codegi A =$1i000 or r.ess B $I~001 -$2,500( S e e o l u m n ~ B I a n d 1 ) 4 ) . . . . . . . .. . . . . . ..I:=$56;60i ~ $100,000 ....G ~ $ i 0 0 ; 0 0 i : $ I , 0 0 0 , 0 0 0

2 . Va lu e Codes J =$15,000 Or less K =$15,001 - $50,000(See Co lu mns CI and D3) N =$250,001 - $500,000 O =$500,001 ~$1,000,000

P3 =$25 ,000,001 - $50;000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(See Co lu mn C2 ) U = Book Va lu e V = O t h er

C =$2,50l - $5,000H 1 =$1,000,001 - $5;000;000L =$50,001 - $100,000P 1 =$ 1,000,001 - $5,000,000P4 =More than $50,000,000S = Assessmen tW =Estimated

D =$5,001 - $15,000H2 =More than $5,000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T = Cash M ark e t

E =$15,001 - $50,000


10/15

FINANCIAL DISCLOSURE REPORTP a ge 10 o f 1 5



V I I . I N V E S T M E N T S a n d T R U S T S - i.eome, v.~ue, transactions (Includes those of spouse and dependent children; see pp. 34-60 o_tfiling instruc,ions.)NONE (No reportable income, assets, or transactions.)

D e s c r i p t i o n . 0 f A s s e t s( inc lud ing ha /s t a s se t s )


B. C. D.Income during Gross value at end Transactions during repott ing period

reporting period of reporting period( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 }

Amount Type (e.g., Value V a l u e Type (e.g., Date Value Gain Identi ty ofCode 1 d i v . ~ r e n t , Code 2 Method buy, sell , mm/dd/yy C ode 2 C ode 1 buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 redemption) (J-P)(Q-W)

86 .87 .88 .

89 .90 .

9 t.92 .

93 .94 .95 .96 .97 .

98 .99 .

FMI Large Cap Fund

Goldm an Sachs Satel l i te Port

Harding Loevner Emerging M RKTSING Internationa l Real Estate

Invesco International Small Co. CL

IShares TR

None

None

NoneA Dividend

None

A Dividend

Bu y 03/31/10 JSold 10/05/10 J CBuy 1 0/04 /1 0 JSold 12/28/10 J D

T Bu y 08/09/10 JBu y 01/08/10 JS o ld 08/08/1 0 J B(part)Sold 12/14/10 J C

T Bu y 01/04 /10 JBu y 05 /07 /1 0 JBu y 05/21/10 J(addl)Bu y 06/14/10 J(addl)Sold 10/26/101 .1 B(part)Sold 1 0 /26 /1 0 J C

100. IVA Worldw ide Fund101. Marke t V ec tors Gulf State Index ETF102.

None KNone J

T Buy 03/30/10(addl)T Sold 08/05/I 0(part)

Sold 08/05/10(part)

J

J

J

AB

L i~0m e Gain Codes: : A =$1 ;000 o r le ss( See Col umns BI and I ) 4 ) F =$50,001 - $100,000

2. V alue Codes J =$15,000 or less(See Co lu mns C I and D3) N =$250,001 - $500,000

P3 =$25,000,001 - $50~000,0003. Value Method Codes Q =Appraisal(See Co lu mn C2 ) U = Book Va lu e

B=$1,001 - $2,500G =$100,001 - $1,000,000K=$15,001 - $50,000O =$500,001 - $ 1,000,000R =Cost (Real Estate Only)V = Oth er

C =$2,501 - $5,000H I =$1,000,001 - $5,000,000L =$50,001 - $100,000P 1 =$ 1,000,001 - $5,000,000P4 =More than $50,000,000S = Assessmen tW =Estimated

D =$5,00t - $15,000H2 =More than $5,000,000M =$ 100,001 - $250;000P2 =$5,000i001 - $25,000,000T = Cash M ark e t

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gBENNETT, MARK W .

D a t e o f R e p o r t5/12/2011

V II. INVESTMENTS and TRU STS -i .... value, transactions (Includes those of sp ...... d dependen t ch ildren; see pp . 34-60 of f i l ing ins truc tions .)N O N E (No reportable income, assets, or transactions..)

Descr ip t ion of Asse ts I n c o m e d u r i n g( inc lud ing t rus t a s se t s ) r epo r t ing pe r iod

(2 )Place "(X)" after each asset Amount Type (e.g. ,

exempt from prior disclosure Code I div . , ren t ,(A-H) or int ,)

G r o s s v a l u e a t e n d Transac t ions dur ing repor t ing per iodo f r e p o r t i n g p e r i o d

(1 ) (2 ) (1 ) (2) (3) (4) (5 )V a lu e V a lu e Type (e.g., Date Value Gain I d e n t i t y o f

C o d e . 2 M e t h o d buy, sell, m m / d d / ~ y Code2 Code I buyer /se l l e r(J -P) C o d e 3 redemptirn) (J-P) ( A - H ) ( i f pr iva te

( Q - W ) t r ansac t ion )

103.

1 04 . M a tthew s C hina F u n d N o n e105. Metz le r Payden Euro Emerging Marke ts N o n e106. New C entury Alte r S tra tegies N o n e107. Oakmark Equi ty & Income FD N o n e108.

JJ

JJ

109. Perma nent Portfol io None K

A DividendNone

110.

111.

112. P imco Tota l Re turn Class113 . Proshares U ltra Gold114.115.

Buy 1 0/06/1 0( add l )TT Bu y 10/06/10TT Bu y 03/29/10(add l )

Sold 12/14/10( p a r t )T Buy 04105/10

Bu y 09/02/10(addl)Buy I 1/09/10(addl)Sold 01/07/10

Bu y 01/08/101Sold 03/29/10( p a r t )Sold 03/29/10

J

J

JJ

J

J

J

JJ

D

D

BA

116.

117.

118.119.

Oppenhe imer Gold & SPL Mine ra ls None Sold 04/05/I 0 J

Rob eco Boston Pr tner s None K T Bu y 03/02/10(add l )Bu y 03/09/10(add l )Bu y 03/29/10(add l )

J

JJ

D

1. Incom e Gain Codes: A =$1,000 or less B :$1,001 - $2,500(See Co lu mns BI and D4 ) F =$50,00i - $100,000 G =$100,001 - $1,000,000

2. V a lu e Codes J = $15,000 or less K =$15,001 - $50,000( Se e C olu mn s C I a nd D3 ) N =$ 25 0,00 1 - $5 00,00 0 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50.000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(See Co lu mn C2 ) U = Book Va lu e V = Oth er

C =$2,501 - $5,000 D =$5,001 - $15,000H 1 = $ L 0 0 0 ~ 0 0 1 = $ 5 ; 0 0 0 ;0 0 0 H2 ~More than $5;000,000L =$50,00i r $100~000 M =$100~001 -$250;000P1 =$1,000100i ~ $5,000,000: P2 =$5;000,001 - $25,000,000P4 =More than $50,000~000S = Assessmen t T = Cash M ark e tW =Estimated

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 12 of 15


D a t e o f R e p o r t5/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr ip t ion of Asse ts In co m e d u r in g G ro s s v a lu e a t e n d T r a n s a c t o n s d u r i n g r e p o r t i n g p ~ r i o d( inc lud ing t rus t a s se t s )


Amou nt : Type (e .g. . V alue V alue Type (e.g., D a t e Value Gain Identity oCode 1 div..rent, Co d e2 Method buy. sell . mrn/dd/yy C ode 2 ~ C ode t . . . .. : : buyer/ se l ler(A-H) or int.) " ( J - P ) Code 3 redemption) (J-P) (A-H) (if privatetransaction)Q - W )

120. T. Row e Pr ice121. United STS Natural G as122 . Vanguard Index FDS123 . Vanguard Inf l a ti on124.

125.126 . Wasa tch 1 s t Source (Y)127 . Wasa tch H o i s ing ton US128 . Wasa tch Long /Shor t Fund (X )129 . Wasa tch Ul tra Grow th

A Dividend J T Buy 03/17/10 J(addl)

None Sold 03/29/10 J B

None Sold 01/21/10 J D

A Dividend J T Sold 03/08/10 J C(part)Sold 03/17/10 J C( p a r t )Sold 03/29/10 J C(part)

None Sold 03/29/10 J ANone Sold 10/07/10 J D

None J T Bu y 12/31/10 J130.

131. IRA Smith Bamey~132 . Blackrock Energy & Resources133 . Blackrock G loba l Al loca t i on Fund (X)134. Citibank NA South Dakota Bank DepositProgram (Y)135. Dreyfus Liquid Assets, Inc.136. First Eagle Globa l Fund

NoneNone

JJ

TT

None J T Redeemed(part)None K T

01/15 /10

I . Income Gain Codes: A =$1~000 Or less B =$1,001 : $21500 C =$2,501 - $5,000 D =$5,001 - $15,000( See Columns B l and D4) F =$50,001 - $100,000 G =$ 100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H2 =M6re than $5~000,000

2 . Va lu e Codes .1 =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 : $250~000(See Co lu mns C I and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000 P 1 =$ 1,000,001 - $5,000,000 P2 =$5,000,001 - $25~000~000

P3 =$25,000,001 - $50.000.000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S = Assessmen t T =Cash Mar ket

(Sec Co lu mn C2 ) U = Book Va lu e V = Oth er W =Estimated

E =$15,001 - $50,000


13/15

FINANCIAL DISCLOSURE REPORTPage 13 of 15 Ia m e o f P e r s o n R e p o r t in gB E N N E T T , M A R K W . D a t e o f R e p o r t5/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e , v a l u e , t r a n s a c t i o n s ( I n c l u d e s those of spouse an d dependen t chi ldren; see pp. 34-60 o f f i l i n g i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

A. B. C. DDescription of Assets Incom e during Gross va lue at end : Transactions during reporting period(including trust assets) reporting period of reporting period

(1) (2) (1 ) (2 ) (I~ (2) (3) (4) (5)Place ,(X )" after each asset Am ount Type (e.g., V alu e V alu e Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code 1 div.. rent. Co d e2 Method buy. sel l ; m roJdd/yy;: :~ode:2 1 Code 1 buyer/seller(A H) (if private" o r i n t . ) ( J - P ) Co d e 3 : redemption) (J:P) (A:H)(Q-W) transaction)

137 . F i r s t IND Rea l ty Trus t A Dividend J T138. F rankl in Income Advisor Class A Dividend J T1 3 9 . F r a n k l in I n c o m e F u n d C la s s C140. Har t fo rd Capi ta l Apprecia t ion Fund

A Div idend M erged 03 /22/1 0(with line 138)N o n e J T

141. Ishares S&P U.S . Pre fe r red S tock142. Ishares S&P 100 Index Fund

A D i v i d e n d J T Bu y 06/08/10( add l )A D i v i d e n d J T B u y 06/08/10

JJ

1 4 3. Ivy A sse t S tra tegy F u nd N on e K144 . Ivy Globa l Na tu ra l Resources None J145. Lexington Rea l ty Trust A D i v i d e n d J T1 4 6 . M F S E m e r g in g M a r k e t s D e b F u n d A D i v i d e n d J T147. Oppenhe im er Gold and Specia l Minde ra lsClass C148. Permanent Por t fol io

None S o ld 03/25/1 0None J T Bu y 03/25/10

JJ

149. Temple ton Globa l Bond Fund A Div idend J T1 5 0 . V a n g u a r d E m e r g in g M a r k e t s E T F A Div idend J T

1. Income Gain Codes:( See Col umns BI and IM)

2.Valu e Codes(See Co lu mns CI and D3)


A =$ L000 or l essF=$50,001 - $100,000J=$15,000 or lessN =$250,001 - $500,000P3=$25,000,001 - $50,000,000Q =AppraisalU = Book Va lu e

B =$1,001- $2,500G=$100,001- $1,000,000K= $15,0 0 1 - $50 ,0 0 0O=$500,001 -$1,000,000R = Cos t(R ea l Es ta te On ly)V = O l h er

C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000H I = $i ;0 00 ~0 0i Z $ 5, 00 0; 00 0 H 2 -- M0 re t ha n $5 ,0 00 ,0 00L =$50 001 ~ $100 000 M =$100 00!:" $250~000P1 =$1,000i00!- $5;000i000 P2 =$5~000~001 =$25 000 000P4 =More ihan $50,0001000S =Assessm ent T =C ash M ark etW =Estimated


14/15


N a m e o f P e r so n R e p o r t i n gBENNETT, MARK W.

D a t e o f R e p o r t5/12/2011

V I I I. A D D I T IO N A L I N F O R M A T I O N O R E X P L A N A T I O N S . a , ,a i c, ,, em t of report.)Boston Partners ( line 77) is referred to as Robeco Boston Partners in the 2010 report.F ide l i ty Emerg ing Marke ts ( l ine 82) ) was inadve r tan tly no ted a s com ple te ly so ld in 2009. I t was no t comple te ly so ld un t i l 2010 .Wasatch 1st Source ( l ine 126) was com ple te ly sold in 2009 .Wasa tch Long/Shor t Fund ( l ine 128) should have been inc luded as purchased in 2009 .Blackrock Globa l Al loca t ion Fund ( l ine 133 ) was pu rchased on Decem ber 1 , 2009, and inadve r tan t ly le f t o f f the 2009 r epor t .The Ci t ibank NA Sou th Dakota Bank D epos i t Program ( l ine 134) was dep le ted in November o f 2009.


15/15


Name of Person Repor t ingB E N N E T T , M A R K W .


IX. CERTIFICATION.I c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n 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 s

a c c u r a t e , tr u e , a n d c o m p le t e t o t h e b e s t o f m y k n o w le d g e a n d b e l i e f , a n d th a t a n y i n f o r m a t io n n o t r e p o r t e d w a s w i th h e ld b e c a u se i t m e t a p p l i c a b l e s t a tu to ryp r o v i s io n s p e r m i t t i n g n o n - d i s c lo su r e .I f u r t h e r c e r ti f y 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 ym 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 n

c o m p l i a n c e w i th th e p r o v i s io n s o f 5 U . S . C . a p p . 5 01 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/MARK W . BENNETT

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 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 . ap p . 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

mark w bennett financial disclosure report for 2010

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