Name of Person Reporting. Collyer, Rosemary M. SOURCE AND TYPE SOURCE AND TYPE LOCATION

Transcription

1 Collyer_Rosemary_M

2 Page 2of14 Collyer, Rosemary M III. N 0N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income [2 NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I National Human Services Assembly - Vice President IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenl (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED 1. National Human Services Assembly Throughout 2008 Within U.S. Business travel Reimbursement travel (airline, lodging & meals) or business 2. Denison University Throughout 2008 To/from Granville Ohio Alumni affairs Reimbursement - for alumni business travel (airline, lodging & meals) 4.

3 Page 3of14 Cllllyer, Rosemary M. V, GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [l NONE {No reportable gifs.) SOURCE DESCRIPTION VALUE I VJ. LJABJLJTJES. (Includes those of spouse and dependent children; see pp of filing instructions.) [l NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 3.

4 Name or Person Reporting Date or Report Page 4of14 Collyer, Rosemary M. VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) A. B. c. Description of Assets Income during Gross value at end of (including trust assets) reporting period reporting period (I) (2) (I) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption) (2) (I) D. Transactions during reporting period (2) (3) (4) (5) Date Value Gain Identity of Month- Code2 Code I buyer/seller Day (J-P) (A-H) (if private I. BROKERAGE ACCOUNT #I 2. -BRKA - Common Class A None M T 3. -GE-Common B Dividend J T 4. -MSFT - Common A Dividend K T 5. -Balto MD Const Pub Imp Muni Bonds A Interest K T 6. -Schwab Cash Equivalent Accounts A Int./Div. K T 7. -DVY-ETF B Dividend K T 8. -T-Common B Dividend 7/17 K D 9. -DOO-ETF c Dividend K T 10. -DNL-ETF None 3/18 K 11. -Anne Arundel County, MD Muni Bonds B Interest K T Baltimore, MD Proj Muni Bonds B Interest K T Maryland State Muni Bonds B Interest L T 14. -C-Common None 1/30 K 15. -DTH-ETF c Dividend K T 16. -WB-Common A Dividend 4/ 11 K 17. -KMP - Common c Distribution K T I. Income Gain Codes: A =$1,000 or less B =S 1,00 I -$2,500 c =$2,501 - $5,000 D =$5,00t - $15,000 E =$15,001 -$50,000 (See Columns BI and D4) F =$50,001 SI00,000 G =St 00,00 I - $1,000,000 HI =Sl,000,001-$5,000,000 H2 =More than $5,000, Value Codes J =S 15,000 orless K =SlS,001 - SS0,000 L =$50,00 I - St 00,000 M =SI 00,00 I - $250,000 (See Columns Cl and DJ) N =$250,00 I -$500,000 0=$500,001-$1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 $25,000,000 (See Column C2) U =Book Value P3 =$25,000,00 I -$50,000, V=Other P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market W=Estimated

5 Page 5of14 Collyer, Rosemary M. VII. INVESTMENTS and TR u STS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (2) (I) (2) (3) (4) (5) (I) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code l buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private 18. -CLMT - Common None J T NFM - Closed End Fund B Dividend L T 9/18 L /14 J (add'l) /15 K (add'!) 22. -ACN - Common A Dividend K T 1/4 K WFC - Common B Dividend 4/11 K 24. 8/15 K B 25. -DNA - Common None 1/29 K 26. 7/21 L E 27. IRA#l E Int./Div. 0 T Schwab Cash Equivalent Accounts BRKB - Common Class B UST Inflation Index Notes 3.375% TIPS UST Inflation Index Notes 3.625% TIPS IYE-ETF 4/22 J c NUE - Common 5121 K D BWLD - Common 5119 K c I. Income Gain Codes: A =SI,000 or less B=Sl,001-$2,500 C =$2,50 I - $5,000 D =$5,00 I -S 15,000 (See Columns BI and 04) F =$50,001-SI00,000 G=SI00,001-$1,000,000 HI =$ 1,000,00 I - $5,000,000 H2 =More lhan $5,000, Value Codes J =$15,000 or less K =SIS,001 - SS0,000 L =$50,00 I - $I 00,000 M =$I 00,00 I - $250,000 (See Columns CI and DJ) N=$250,00 I $500,000 0=$500,001 -$1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 PJ =$25,000,001 - $50,000,000 P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S=Assessment T=Cash Market (See Column C2) U =Book Value V=Other W=Estimated E =$15,001 - S50,000

6 Page 6of14 -Collyer, Rosemary M. VIL INVESTMENTS and TR u STS - income, value, transactions (Includes tho.ve of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (2) (I) (2) (4) (I) (3) (5) Place "(X)" after each asset Amount Type(e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private CXM - Common 36. -GS-Common 9/17 K FCX -Common 3/24 K D 38. -FCX -Call Option Jan Expired 1/18 J c 39. -IWF-ETF 40. -HAL -Common 5/23 L D 41. -STX-ADR 42. -IXN-ETF 43. 1/23 K Marsico Growth Fund (MGRIX) NL Y-Common 4121 K K /18 K (part) /22 K 49. -BA-Common 4/11 K 50. -CF-Common 8/22 K K I. Income Gain Codes: A =$ 1,000 or Jess B =$1,00 I - $2,500 C =$2,50 I -$5,000 D =$5,001 - $15,000 E =S 15,00 I - $50,000 (See Columns BI and 04) F =$50,00 I - $I 00,000 G =SI00,001 -Sl,000,000 HI =SJ,000,00 I - $5,000,000 H2 =More than $5,000, Value Co<s J =SIS,000 or less K =S 15,00 I - $50,000 L =$50,00 I - SI 00,000 M =$I 00,00 I - $250,000 (See Columns Cl and DJ) N =$250,00 I - $500,000 0 =$500,00 I - S 1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 PJ =$25,000,001 - $50,000,000 P4 =More ihan $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

7 Name or Person Reporting Date or Report Page 7of14 Collyer, Rosemary M. VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see pp of filing instructions.; A. B. c. Description of Assets Income during Gross value at end of (including!rust assets) reporting period reporting period ( l) (2) Place "(X)" after each asset Amount Type(e.g., Value Value Type(e.g., exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption) (1) (2) ( l) D. Transactions during reporting period (2) (3) (4) (5) Date Value Gain Identity of Month- Code 2 Code I buyer/seller Day (J-P) (A-H) (if private HAL -Common 10/3 J 7/24 K 54. -HES - Common 7/24 K MOS - Common 10/31 K 8/22 K /2 K 58. -NBR-Common 7124 K 59. -RIG-ADR 7/24 K UNP -Common 8/22 K 61. -ACI - Common 10/22 K K ACI -Call Option Dec /22 J 64. Closed 12/2 J c 65. -ACI -Call Option Dec /2 J 66. Redeemed 12/19 J c 67. -BWLD -Call Option May /1 J 68. Redeemed 5119 J c 1. Income Gain Codes: (See Columns BI and 04) 2. ValueCoes (SeeColumnsCI and DJ) A =S or less F =$50,00 I - $I 00,000 J =$15,000 or less N =$250,001 -$500,000 B =$1,00 I - S2,500 G =$100,001 -SI, K =S l5,00i S50,000 0 =$500,00I - $1,000,000 C =$2,501 -S5.000 HI =$1,000,001 -$5.000,000 L =$50,00I - SI 00,000 PI =s1,ooo,001 - ss D =$5,00 I -S 15,000 H2 =More th $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 E =$15,001 - $50,000 P3 =$25,000,001 - $50, P4 =More than $50, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Markel (SeeColumn C2) U =Book Value V=Other W =Estimated

8 Page 8of14 Collyer, Rosemary M. VII. INVESTMENTS and TRUSTS - 0 NONE (No reportable income, assets, or transactions.) income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period Place "(X)" after each asset Amount Type(e.g., Value Value exempt from prior disclosure Code I div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3 (I) (2) (I) (2) (I) (2) (3) (4) (5) Type(e.g., Date Value Gain Identity of buy, sell, Month- Code 2 Code I buyer/seller redemption) Day (J-P) (A-H) (if private CF - Call Option Nov /3 J 70. Expired 11/21 J c FCX - Call Option Mar08 75 i /23 J 72. Expired 3/22 J c HES - Call Option Nov /31 J 74. Expired 11/21 J c MOS - Call Option Nov /2 J 76. Expired 11/21 J c NL Y - Call Option Oct /10 J 78. Redeemed 10/18 J c (part) 79. Expired 10/18 J B (par) NLY - Call Option Nov /22 J 81. Expired J c NL Y - Call Option Dec /28 J 83. Closed J c 84. IRA#2 D Int./Div. M T Schwab Cash Equivalent Accounts I. Income Gain Codes: A =Sl,000 or less B =$ 1,00 I -$2,500 C =S2,501 $5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns BI and D4) F=$50,00 I - SI 00,000 G=SI00,001-$1,000,000 HI =$ 1,000,00 I - $5,000,000 H2 =More than $5,000, Value Code< J =S orless K=Sl5.00l -S50,000 L =S50.00l -SIOO,OOO M =SI00,001 -$250,000 (See Columns Cl and DJ) N =$250,00 I - $500,000 0 =$500,00 I -$ 1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -S25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Val u e V=Other W =Estimated

9 Page 9of14 Collyer, Rosemary M. VII. INVESTMENTS and TRUSTS - income, value, transactions (1nc1udes those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period Place "(X)" after each asset exempt from prior disclosure (I) (I) (2) (I) (2) (3) (5) (2) Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of Code I div., rent, Code2 Method buy, sell, Month- Code2 Code I buyer/seller (4) (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) {A-H) (if private 86. -UST Inflation Index Notes 3.375% 1/15/12 TIPS 87. -GNVC-Common 88. 3/18 K 89. (add'!) 8/15 K 90. 8/20 L 91. -TEVA-ADR 4/22 L E 92. -BCRX - Common 93. -ALKS - Common 8/18 K c PMTI -Common 6/3 J 95. -HLF - Common 96. -KONG-ADR 4/22 K 97. -CQP - Common ILE - Common 8/6 K ARNA -Common 3125 K CGM Focus Fund (CGMFX) 4/23 L XLF -ETF 8/12 K 102. (part) 9/19 K I. Income Gain Codes: A =$1,000 or less B =$1,00 I -$2,500 C =$2,50 I -$5,000 D =$5,00 I - S15,000 E =$15,001 - $50,000 (See Columns BI and 04) F =$50,001 -$100,000 G =$I 00,00 I -$1,000,000 HI =$1,000,001-$5,000,000 H2 =More than $5,000, Value Cod J =S 15,000 or less K=$15,00l -$50,000 L =$50,00 I - SI 00,000 M =SI 00,00 I - $250,000 (See Columns Cl and DJ) N =$250,00 I -$500,000 0=$500,001-Sl,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000 PJ =$25,000,001 -$50,000,000 P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

10 Page IO of 14 Collyer, Rosemary M. VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private IGD - Closed End Fund 12/17 K ADS - Common 1118 L /21 L B I CEG - Common 10/27 K /16 L D FCX - Common 614 L J EEM - ETF 4/22 K (add'!) 5113 K K ADS - Call Option Feb /18 J 114. Expired 2/15 J D ADS - Call Option Apr /20 J 116. Expired 4/18 J c ADS - Call Option Jun Redeemed 6/21 J c CEG - Call Option Apr /14 1 I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,50 I - $5,000 D=S5,00l -Sl5,000 E =Sl5,00l -S50,000 (See Columns BI and 04) F =$50,00 I - SI 00,000 G =$100,001 - $1,000,000 HI =$ 1,000,00 I - $5,000,000 H2 =More th $5,000, Value Codes J=$15,000 or less K=$15,00 I - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000 (See Columns CI and DJ) N =$250,00 I -$500,000 0=$500,00 I -$1,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000 PJ =$25,000,001 -$50,000,000 P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Other W=Estimated

11 Page 11 -on 4 Name or Person Reporting Coilyer, Rosemary M. Date or Report VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children; see PP J4-6o of filing instructions.> A. Description of Assets (including trust assets) B. c. D. Income during Gross value at end of Transactions during reporting period reporting period reporting period Place "(X)" after each asset exempt from prior disclosure (I) (2) Amount Code I Type(e.g., div., rent, (I) (I) (2) (3) (4) (5) Value Code 2 (2) Value Method (A-H) or int.) (J-P) Code3 Type(e.g., Date Value Gain Identity of buy, sell, Month - Code 2 Code l buyer/seller redemption) Day (J-P) (A-H) (if private 120. Closed 12/16 J EEM -Call Option Nov /28 J 122. Closed 11/10 J EEM -Call Option Dec /13 J 124. Closed 12/17 J A EEM - Call Option Dec /17 J 126. Closed 12/19 J A FCX - Call Option Jul /16 J 128. Expired 7/18 J c FCX - Call Option Dec /10 J 130. Redeemed 12/19 J B PMTI -Call Option May /16 J 132. Expired 5/19 J A XLF -Call Option Sep J 134. Redeemed 9119 J B 135. QUALIFIED RETIREMENT PLAN #2 A Int./Div. L T BRKB - Common Class B 613 K E I. Income Gain Codes: A =$1,000 or less B =S 1,00 I - S2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =$15,001 - $50,000 (See Columns BI and D4) F =$50,00 I - $I 00,000 G =$100,001 -Sl,000,000 HI =S 1,000,00 I - $5,000,000 H2=More than $5,000, Value Codes J =S or less K =$15,001 - $50,000 L =$50,00 I - SI 00,000 M =$I 00,00 I - $250,000 (See Columns Cl and 03) N =$250,00I - $500,000 0 =$500,001 - Sl.000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 PJ =$25,000,001 - $50,000,000 P4 =More than $50.000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S=Assessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

12 Page 12of14 Collyer, Rosemary M /2009. VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period Place "(X)" after each asset exempt from prior disclosure (I) Amount Code I (A-H) (2) (I) Type(e.g., Value div., rent, Code2 or int.) (J-P) (2) (!) Value Type(e.g., Method buy, sell, Code3 redemption) (2) (3) (4) Date Value Gain Month - Code 2 Code I Day (J-P) (A-H) (5) Identity of buyer/seller (ifprivate Schwab Cash Equivalent Accounts BAS - Common 4/24 K BCJlX - Common SPPI - Common 619 K MKL - Common 6/3 K COM Focus Fund (CGMFX) 6112 L 143. Merrill Lynch Account A Interest K T 144. Citibank Account A Interest J T 145. Trust #I See Part VIII ( d) I. Income Gain Codes: A =Sl,000 or less B =Sl,001 - $2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns Bl and 04) F =$50,00 I - $I 00,000 G =SI 00,00 I - SI,000,000 HI =SJ,000,001 -$5,000,000 H2 =More than S5,000, Value Codes J =S 15,000 or less K =$15,00 I - $50,000 L =$50,00 I - SI 00,000 M =SJ00,001 -$250,000 (See Columns Cl and DJ) N =$250,00 I -$500,000 0 =$500,00 I - $1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,00 I - $50,000,000 P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

13 Page 13of14 Collyer, Rosemary M. VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofreport.) Part I (a) Line I refers to a Trust that is unfunded and has no assets (this Trust is also listed in Part VII, Line 145). PART VII: (b) In the description of assets the abbreviation ADR refers to American Depositary Receipts (shares of foreign companies trading on U.S. exchanges); ETF refers to Exchange Traded Funds (index funds that trade as common stocks). (c) Lines 6, 28, 85 and 137 are aggregated Schwab cash equivalent accounts containing one or more of the following: Schwab Municipal Money Fund Value Advantage; Schwab Money Fund Value Advantage, Schwab One Cash Account, and/or Schwab Cash Reserves. They are aggregated here per the 2008 Filing Instructions. These account balances change frequently as a result of securities purchases or sales, cash transfers, and dividends or interest received. Reporting all deposits/withdrawals to/from these accounts is impractical; the income received and ending values are shown as required in the non-retirement plan account (line 6). (d) Line 145 refers to a Trust that is unfunded and has no assets (this Trust is also listed in Part I, Line!).

14 Page 14of14 Coliyer, Rosemary M. IX. CERTIFICATION. 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 Judicial Conference regulations. NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C