[{ NONE (No reportable positions.)

Transcription

1 Bennett. Mark W. OO Rev. /20l FINNCIL DISCLOSURE REPOR FOR CLENDR YER 2010 Report Required by the Ethics in Government ct of 1978 (5 U.S.C. app ) 1. Person Reporting (last name, first, middle initial) 2. Court or Organization 3. BENNE, MR W. USDC/Northern District oflowa 5/12/ itle (rticle III judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Court udge Sa. Report ype (check appropriate type) D Nomination, D Initial Date [{ nnual D Final Sb. D mended Report 6. Reporting Period 01/01/2010 to 12/31/ Chambers or Offce ddress 313 United States Courthouse 320 Sixth Street Sioux City, I On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Offcer Date IMPORN NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I. POSII 0 NS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable positions.) POSIION NME OF ORGNIZION/ENIY I II. GREEMENS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PRIES ND ERMS I

2 FINNCIL DISCLOSURE REPOR Page 2of15 BENNE, MR W. 5/12/2011 III. N 0 N-INVES MEN IN CO ME. (Reporting individual and spouse; see pp of filing instructions.). Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE ND YPE INCOME (yours, not spouse's) I spen Publishing $4, Drake University Law School $3, B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) [{ NONE (No reportable non-investment income.) SOURCE ND YPE I IV. REIMBURSEMENS - transportation, lodging, food, entertainment. (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DES LOCION PURPOSE IEMS PID OR PROVIDED I. EPLI I /24/I 0-1/26/I0 New York, NY 15th nnual EPLI Conference airfare, lodging, meals 2. International ssoc. of 2/14/10-2/16/IO Naples, FL Defense Counsel!DC 20 I 0 Midyear Meeting aifare, lodging, meals 3. laska Bar ssociation 4/27/ nchorage, laska Bar Convention airfare, lodging, meals 4. Pacific Coast Labor & 5/12/10-5/14/10 Seattle, W 43rd nnual Pacific Coast airfare, lodging, meals Employment Bar Labor & Employment Law Conf. 5. Marcus Evans Summits 5/16/10-5/18/10 Miami, FL Employment Law Seminar airfare, lodging, meals

3 FINNCIL DISCLOSURE REPOR Page 3of15 BENNE, MR W. 5/12/ Minnesota State Bar 5123/I 0-5/25/10 St. Paul, MN Upper Midwest airfare, lodging, meals Employment Law Institute 7. Iowa State Bar 6/4/10-6/5/10 Okoboji, I Lawyer's Chautauqua mileage, lodging, meals 8. Iowa State Bar 7/10/10 Okoboji, I Summer Seminar _ m i _ Ie_ -' ag "- e -'-, _ m e a _ Is 9. L ssociation 9/12/10-9/13/10 Des Moines, I L CLE mileage, lodging, meals IO. Massachusetts CLE, Inc./ 9/15/10-9/17/I 0 Boston, M MCL./BO rial airfare, lodging, meals BO dvocacy Program 11. NLRB 9/23/I 0-9/24/I 0 Chicago, IL NLRB Conference airfare, lodging, meals 12. C! 9/29/I 0-9/30/10 New York, NY Mass ort Products airfare, lodging, meals Liability Conference 13. Baldwin/Mobile Bar 12/2/10-12/5/10 Mobile, L Baldwin/Mobile County airfare, lodging, meals Bench Bar Program 14. Iowa State Bar 12/16/10-12/17/10 Des Moines, I Federal Practice Seminar mileage. lodging, meals 15. Drake University School of Spring Semester Des Moines, I Co-eaching law class mileage, lodging, meals Law

4 FINNCIL DISCLOSURE REPOR Page 4of15 BENNE, MR W. 5/12/2011 V. GIFS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifs.) SOURCE DESCRIPION VLUE I VI. LIBILIIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDIOR DESCRIPION VLUE CODE I

5 FINNCIL DISCLOSURE REPOR Page 5of15 BENNE, MR W. 5112/2011 VII. INVESMENS and R us S - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.). B. C. D. Description of ssets Income during Gross value at end ransactions during reporting period (including trst assets) reporting period ofreporting period (2) (I) (l) (2) (!) (2) (3) (4) (5) Place "(X)" after each asset mount ype (e.g., Value Value ype (e.g., Date Value Gain Identity of exempt from prior disclosure Code 1 div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (-H) or int.) (-P) Code 3 redemption) (-P) (-H) (if private (Q-W) transaction} I. Non-IR (Fidelity) 2. NX 3. Berkshire Hathaway 4. FBR Focus Fund 12/20/10 5. First Eagle Global Class C 6. Harding Loevner Emerging Mkts 10/1/10 7. Invesco Intl. Small Co. 8. Permanent Portfolio 10/01/ /20/IO IO. Pimco otal Retu Class C 12/14/IO D 11. Surebeam Corp. 12. Vanguard Index FDS 13. WasatchUltra Growth 12/20/10 12/15/ Rollover IR (Fidelity) 16. Direxion Daily Emerging Markts Bull 10/06/ Fidelity Cash Reserves l. Income Gain Codes: =$l,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 - $50,000 (See Columns Bl and D4) F 450,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000, Value Codes 415,000 or less =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (Sec Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$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, Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =Book Value V =Other W =Estimated

6 FINNCIL DISCLOSURE REPOR Page 6of15 BENNE, MR W. 5/12/2011 VII. INVESMENS and R us S. B. c. D. Description of ssets Income during Gross value at end ransactions during reporting j:eriod (including trust assets) reporting period of reporting period (l) - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) (2) (!) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset mount ype(e.g., Value Value ype(e.g., Date Value Gain Identity of exempt from prior disclosure Code I div.,rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (-H) or int.) (-P) Code3 redemption) (-P) (-H) (if private (Q-W) transaction) 18. Fidelity Global Commodity Stock Fund 01/11/ /30/ /06/ D 22. Fidelity Real Estate Income 01/11/ /30/ B 25. First Eagle Global Class C 01/08/ /30/ /21/10 B /16/ Goldman Sachs Satellite Port 03/ /19/10 32.!shares R S&P 500/Growth Index Fund 04/05/ /08/IO B /31/10 B I. lncome Gain Codes: 41,000 or less B :$1,001 - $2,500 c :$2,501 $5,000 0 :$5,001 - $15,000 E :$15,001 -$50,000 (See Columns Bl and 04) F :$50,001 - $100,000 G :$100,001 -$1,000,000 HI :$1,000,001 -$5,000,000 H2 :More than $5,000, Value Codes :$ or less :$15,001 - $50,000 L :$50,001 -$100,000 M :$100,001 -$250,000 (Sec Columns C 1 and 03) N :$ $500,000 0 :$500,001. $1,000,000 Pl :$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, Value Method Codes Q :ppraisal R :Cost (Real Estate Only) S =ssessment :Cash Markel (Sec Column C2) U :Book Value V :Qther W =Estimated

7 FINNCIL DISCLOSURE REPOR Page 7of15 BENNE, MR W. 5/12/2011 VII. INVESMENS and RUSS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.). c. B. Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period of reporting period (!) (2) (!) (2) (2) Place "(X)" after each asset mount ype (e.g., Value Value ype (e.g., Date D. (3) (4) (5) dain exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, Code I buyer/seller (-H) or int.) (-P) Code3 redemption) (cp) (-H) (ifprivate (1) Value mm/dd/yy Code2 Identity of (Q-W) transaction) 35. Iva Worldwide Fund 01/08/ /30/ B Leuthold Global fund Retail Class Ol/11/10 (add'i) 40. Metzler Payden Euro Emerging Markets /30/ New Century lter Strategies 01/08/ D 44. Oakmark Equity & Income 01/ /05/ /02/10 D /31/10 D 49. Oakmark International Small Cap 01/08/ /30/ Permanent Portfolio l. I ncomc Gain Codes: =$1,000 or less B =$ $2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns BI and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001-$5,000,000 H2 =More than $5,000, Value Codes =$l 5,000 or less =$15,001 -$ L=$50,00l -$100,000 M =$100,001 - $250,000 (Sec Columns CI and 03) N =$250,001 -$500,000 0 =$500,00 I -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than $50,000, Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment. =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

8 FINNCIL DISCLOSURE REPOR Page 8of15 BENNE, MR W. 5/12/2011 VII. INVESMENS and R us S -. B. c. D. (1) income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period ofreporting riod (2) (1) (2) (!) (2) (3) (4) (5) Place "(X)" after each asset mount ype (e.g., Value Value ype(e.g., Date Value Gain Identity of exempt from prior disclosure Code I div.; rent, Code 2 Metod buy, sell, mm/dd/yy Code2 Code I buyer/seller (-H) or int.) (-P) Code3 redemption) <U (-H) (if private (Q-W) transaction) 52.. Rowe Price PERSNL Strategy Blanced 01/08/ /30/ Wasatch Long/Short Fund 01/14/ /30/ /08/10 D /07/10 B 58. Wasatch Ultra Growth 10/08/ Miscellaneous Holdings 61. Iowa College Savings ccount. no control 62. Iowa College Savings ccount no control 63. CG CC; Fidelity, Boston M Interest 64. Wells Fargo Checking ccount Interest 65. Iowa/Nebraska State Bank Checking Interest ccount 66. REINSURNCE GREEM;!st Colony N w Life Ins. Co. 67. Belcour Pension Invest VI 68. LMD PRSHIP; Riverfront ss'n; Des w Moines, l. Income Gain Codes: =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Co\urons B1 and 04) F =$50,001 - $ 100,000 G =$100,001-$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000, Value Codes =$15,000 or less =$15,001 -$50,000 L=$50,001-$100,000 M =$100,001 -$250,000 (Sec Columns Cl and 03) N =$250,001 - $500,000 0=$500,001 -$1,000,000 Pl =$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, Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

9 FINNCIL DISCLOSURE REPOR Page 9of15 BENNE, MR W. Oate of Report 5112/2011 VII. INVESMENS and RUSS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.). c. D. Description ofssets (including tnist assets) (3) (4) Value Gain Code 2 Code I (-P) (-H) (5) Identity of buyer/seller (if private transaction) 69. LMD PRSHIP-Shearson Senior Income Fund w 70. LMD PRSHIP-Shearson Coast Savings w 71. LMD PRSHIP-Caryle Real Estate w 72. RESIDENIL LO; Sioux City, I w IR Fidelity- 75. merican Century Mid Cap 10/15/ Berkshire Hathaway Inc DEL CL B 08/06/10 D 77. Boston Partners (Y) 78. Fidelity Global Balanced 03/29/10 c /28/ 0 D 80. Fidelity Global Commodity Stock Fund 01/08/O 81. Fidelity Cash Reserves 82. Fidelity Emerging Markets (X) 03/29/10 D 83. Fidelity Real Estate Income 01/08/ First Eagle Global Class C (par) 03/08/10 c /09/10 l. Income Gain Codes: =$l,ooo or less B =$ l,00l - $2,500 c =$2,50l - $5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns BI and D4) F =$50,00l - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000, Value Codes =$!5,000orless =$15,001 - $50,000 L =$50,001 -$100,000 M =$ l 00,00 I - $250,000 (See Columns Cl and D3) N =$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I - $25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000, Value Method Codes Q =ppraisal (Sec Column C2) U =Book Value R =Cost (Real Estate Only) V =Other S =ssessment W =Estimated =Cash Market

10 FINNCIL DISCLOSURE REPOR Page 10of15 BENNE, MR W. 5/12/2011 VII. INVESMENS and RUSS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) B. c. D. Incollle during Gross value at end ransactions during reporting period ofreporting period (2) (1) (2) (1) (5) ype (e,g., Value Value ype(e.g., Code 2 Method buy, sell, buyer/seller (-P) Code3 redemption) (if private (Q,W) tl'ansactfon) 86. FMI Large Cap Fund 03/31/ /05/10 c 88. Goldman Sachs Satellite Port 10/04/ /28/IO D 90. Harding Loevner Emerging MRS 08/09/ ING International Real Estate 01/08/ /08/10 B /14/10 c 94. Invesco International Small Co. CL 01/04/ IShares R 05/07/ /21/ /14/ /10 B /26/10 c 100. IV Worldwide Fund 03130/10 IOI. Market Vectors Gulf State Index EF /05/10 B l. Income Gain Codes: =$1,000 or less B=$1,001 - $2,500 C=$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl and D4) F=$50,001 -$100,000 G=$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2=More than $5,000, Value Codes =$15,000orless =$15,001 -$50,000 L=$50,001 -$100,000 M =$1 00,001 - $250,000 (See Columns CI and D3) N =$250,001 - $500,000 0=$500,001 - $1.000,000 P 1 =$1,000,00I -$5,000,000 P2=$5,000,001 -$25,000,000 P3 =$25,000,001 -$50,000,000 P4=More than $50,000, Value Meth od Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =Book Value V =Other W =Estimated

11 FINNCIL DISCLOSURE REPOR Page 11 of 15 BENNE, MR W. 5/12/2011 VII. INVESMENS and R us S - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.). B. c. Description of ssets Income during Gross value at end (including trust assets) reporting period of reporting period Place ''(X)"after each as.se. mount ype (e.g., Value Value (1) (2) (!) (2) (5) Identity ()f exempt from priordisc!osure Code I div., rent, Code2 Method buyer/seller (-H) or int.) Code3 (ifprivate (-P) (QcW) transaction} /06/10 (add'i) 104. Matthews China Fund Metzler Payden Euro Emerging Markets 1 10/06/O 106. New Century lter Strategies Oakmark Equity & Income FD 1 03/29/IO 1 (add'i) /14/10 1 D 109. Permanent Portfolio 04/05/10 IIO. 09/02/10 (add'i) /09/10 (add'l) 112. Pimco otal Return Class 01/07/I 0 1 D 113. Proshares Ultra Gold 01/08/IO /29/10 1 B /29/ Oppenheimer Gold & SPL Minerals 04/05/10 D 117. Robeco Boston Prtners 03/02/10 1 (add'i) /09/10 (add'i) /29/IO 1 (add'l) I. Income Gain Codes: =$I,000 or less B =$1,001 - $2,500 c 42,501 -$5,000 D =$5,001 -$15,000 E =$15,001 - $50,000 (See Columns Bl and 04) F =$50,001 - $100,000 G =$100,00 I - $1.000,000 HI =$1,000,001 - $5,000,000 H2 ='More than $5,000, Value Codes =$I 5,000 or less =$ $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (Sec Columns CI and 03) N =$250,00I - $500,000 0 =$500,00 I - $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,00 I - $25,000,000 P3 =$25,000,001 - $50.000,000 P4 =More than $50,000, Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =Book Value V =Other W =Estimated

12 FINNCIL DISCLOSURE REPOR Page 12of15 BENNE, MR W VII. INVESMENS and RUSS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.). Description of ssets (including trust assets) Place "(X)" after each asset B; Income during reporting period (2) ype(e,g., C. Gross value at end ofreporting period (1) (2) (I) Value ype(e.g,, exempt from prior disclosure Method buy, sell, Code 3 redemption) (Q-W) Rowe Price 03/17/ United SS Natural Gas B 122. Vanguard Index FDS D 123. Vanguard Inflation 03/08/10 c c /29/10 c 126. Wasatch 1 st Source (Y) 127. Wasatch Hoisington US Wasatch Long/Short Fund (X) D 129. Wasatch Ultra Growth 12/31/ IR Smith Barney Blackrock Energy & Resources 133. Blackrock Global llocation Fund (X) 134. Citibank N South Dakota Bank Deposit Program (Y) 135. Dreyfus Liquid ssets, Inc. Redeemed 01/15/ First Eagle Global Fund I. Income Gain Codes: =$1,000 or less B =$1,001 -$2,500 C =$2,50I - $5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns Bl and D4) F =$50,001- $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000, Value Codes =$15,000 or less =$15,001 -$50,000 L =$50,00I -$ 100,000 M =$ l 00,001 -$250,000 {Sec Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 PI =$1,000,00I -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 -$50.000,000 P4 =More than $50,000, Value Method Codes Q =ppraisal R =Cost {Real Estate Only) S =ssessment =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

13 FINNCIL DISCLOSURE REPOR Page 13of15 BENNE, MR W. 5/12/2011 VII. INVESMENS and RUSS - income, vatue, transactions (Includes those of spouse and dependent children; see PP of filing instructions.). Description of ssets (including trust assets) Place ''(X)" after each asset exempt from prior disc:;osure 8. Income during reporting period (1) (2) mount ype (e.g,, Code I div., rent, (-H) or int.) 137. First IN Realty rust 138. Franklin Income dvisor Class 139. Franklin Income Fund Class C Merged 03/22/10 (with line 138) 140. Hartford Capital ppreciation Fund 141.!shares S&P U.S. Preferred Stock 06/08/ !shares S&P I 00 Index Fund 06/08/ Ivy sset Strategy Fund 144. Ivy Global Natural Resources 145. Lexington Realty rust 146. MFS Emerging Markets Deb Fund 147. Oppenheimer Gold and Special Minderals ClassC 03/25/10 D 148. Permanent Portfolio 03/25/ empleton Global Bond Fund 150. Vanguard Emerging Markets EF I. Income Gain Codes: =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 -$50,000 (See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001-$5,000,000 H2 =More than $5,000, Value Codes =$15,000 or less =$15,001 -$ L =$50,001 -$100,000 M =$100,001 - $250,000 (Sec Columns C 1 and D3) N =$250,001 - $500,000 0 =$500, $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000 P3 =$25,000,001 - $50, P4 =More than $50,000, Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

14 FINNCIL DISCLOSURE REPOR Page 14of15 BENNE, MR W. 5/12/2011 VIII. DDIIONL INFORMION OR EXPLNIO S. (Indicate partofreport.) Boston Partners (line 77) is referred to as Robeco Boston Partners in the 20 I 0 report. Fidelity Emerging Markets (line 82)) was inadvertantly noted as completely sold in It was not completely sold until Wasatch 1st Source (line 126) was completely sold in Wasatch Long/Short Fund (line 128) should have been included as purchased in Blackrock Global llocation Fund (line 133) was purchased on December I, 2009, and inadvertantly left off the 2009 report. he Citibank N South Dakota Bank Deposit Program (line 134) was depleted in November of 2009.

15 FINNCIL DISCLOSURE REPOR Page 15of15 BENNE, MR W. 5/12/2011 IX. CERIFICION. 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 was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and udicial Conference regulations. Signature: s/ MR W. BENNE NOE: NY INDIVIDUL WHO NOWINGLY ND WILFULLY FLSIFIES OR FILS O FILE HIS REPOR MY BE SUBEC O CIVIL ND CRIMINL SNCIONS (5 U.S.C. app. 104) Committee on Financial Disclosure dministrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C