ron clark financial disclosure report for 2010

8/3/2019 Ron Clark Financial Disclosure Report for 2010

1/14

FINANCIAL DISCLOSURE REPO RTFOR CALENDAR Y EAR 2010Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor ting ( las t name, f ir s t , middle init ial)Cla rk , Ron

4. Ti t le (Art ic le I11 judges ind ica te ac t ive o r sen io r s ta tus;magistrate judges indicate full- or part-time)A c t i v e

7. C hamber s or O f f ic e Addr es s3 0 0 W i l low # 2 2 1B e a u m o n t , T X 7 7 7 0 1

2. Court o r Organ iza t ionDist r ic t Cour t , E .D. Texas

5a . Report Type (check appropria te type )] Nomina t ion , Date[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in com pliancew i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

R e v i e w i n g O f f ic e r D a t e

3. Date of Repor t05/13/201 l

6. Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. 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 . (Reporting indi~idual only; seepp . 9-13 of f i l lng instrt tctions.)~ NONE(No reportable positions.)POSITION

1 . Adm i n i s tr a t o r / co - t rus t e e o f E s t a t e # 1 Esta te # 12. O w n er 529 A cct 1 5 29 A cct 13. O w n er 5 29 A cc t 2 5 29 A cc t 24.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . R e , o r t i. g i n a i v i a . a l o n t y ; s ~ o p . 1 4 - 1 6 of fitlng instructions.)~] N O N E (No reportable agreements.)

D A T EI . 1997 S t a t e o f T e xa s Re t i r e m e n t P l a n , n o c o n t r o l

PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 14

N a m e o f P e r so n R e p o r t i n gClark, Ron

Date of Repor t05/13/2011

III. N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestment Income

~ (No reportable non-investment income.)ONEDATE SOURCE AND TYPE

2.3.4.

I N C O M 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 - l n v e s tm e n t I n c o m e - If you were married during anyportion of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)

N O N E (No reportable non-investment income.)

1 . 2 0 1 02 . 2 0 1 03.

4.

DATE SOURCE AND TYPES e l f e m p l o y e d d r a m a c o m p e t i t o n j u d g eSa la ry , Lamar Unive rs i ty

I V . R E I M B U R S E M E N T S --transportation, Iodglng, food, entertai .... t.(Includes those to spouse and dependent children," see pp. 25 -27 of filing instructions.)

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

S t a t e B a r o f T e x a s ( A t t y C L E M a y 1 4 , 2 0 1 0 Hous ton , T XP r o g r a m ) C L E S p e a k e r - F e d e r a lCour t P rac t i ce M i l a g e a n d l u n c h

2. B a y l o r U n i v e r s i t y S c h o o l o f J u n e 4 - 5 , 2 0 1 0 W a c o , T e x a s J u d g e , L a w S c h o o l M o c k T r a v e l , m e a l s , a n d h o t e lLa w T r ia l compe t i t i on3.4.5.


3/14



Date of Report05/13/201 I

V . G I F T S . a . c t u d e s t h o s e t o s p o u s e u n d dependent children; see p p . 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

SOURCE1 .2.

3.4.5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o : s p o u s e und dependent children; see pp. 32-33 o:filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.4.

5.

VALUE CODE


4/14



Date of Repor t05/I 3/2011

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 , ~ a t u e , t r a n s a c ti o n s a n e t ~ d ~ s t h o s e o r s , o u s e u n d d ~ , e n ~ n t n h i t~ r e n ; s ~ e p , . 3 4 - 6 0 of filing instructions.)D 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 Income during(including 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

(1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code l d i v . , r e n t ,( A - H ) or i n t . )

1. USAA Mutual Fund USEXX A Interest2. USAA Mutual Fund USSPX A Dividend3. Vanguard VMM XX Money Marke t A Dividend4. Vanguard W indsor II Fund C Dividend5. Vanguard Mid-cap Index Fund A Dividend6. Vanguard M utual Funds IRA 1 C Dividend7. -Health Care Fund

Gross value at endo f r e p o r t i n g p e r i o d(1) (2)

Va lue ValueC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

J TK TK TM TK TM T

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 )G a i n Ident i ty of

Code I buyer / se l l e r(A -H ) (if private

transaction)

(1 ) (2) (3)Type (e.g., D a t e Va lueb u y , s e l l , m m / d d / y y C o d e 2

r e d e m p t i o n ) (J-P)

8. -Windsor 11 Fund

9. - E x p l o r e r F u n d

1 0 . - 5 0 0 IndexFundI 1 . Vanguard M utual fund IRA 2 - Mid-capIndex Fund1 2 . Vanguard M utual fund IRA 3 - 500 IndexFund1 3 . Vanguard M utual Fund IRA 4 - 500 IndexFund1 4 . American M ut. Fund IRA New PerspectiveFund1 5 . Vanguard Variable Annuity1 6 . XOM corn. stock1 7 . U.S. Savings B ond

A Dividend K TA Dividend TA Dividend K TB Dividend M T

None K TC Dividend M T

None J T

I . Inc ome Gain C odes : A =$1,000 or less B = $ 1 ,001 - $ 2 ,500 C = 52.5 01 - $5 ,000 D =$5,001 - 515,000(Se e Co lumn s B I and D4) F = $ 5 0 . 0 0 1 - $ 1 0 0 .0 0 0 G =$ 100,001 - $1 ,000,000 H 1 =$1 ,000,001 - $5,000,000 H2 =M or e than $5 ,000,0002. V alue C o d es J = $1 5.000 or less K = $15 ,001 - $ 50,000 L = 550,001 - $1 00,000 M =$ 100,001 - $250,000( S ee C olu mns C I and D3) N =$250.001 - 5500.000 O =$ 50 0.00 1 - 51 ,000,000 P I = 51 ,0 00,0 01 - $ 5,00 0,00 0 P 2 = $5,000,001 - $ 25,000,000

P3 =$25,000,001 - $50,000.000 P4 =More than $50,000,0003. Valu e M ethod C odes Q =Appraisal R =C os t ( R eal Es ta t e O nly ) S =As s es s ment T = Ca sh M a rke t(Se e Co lumn C2 ) U =B ook Valu e V = O t h e r W = Es l imatc d

E :$15.001 - $50,000


5/14


Name of Person Repor tingClark, Ron

Date of Report0 5/ 1 3 / 2 0 1 1

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

A. B. C.Descrip tion of A ssets In co m e during Gross va lue a t end(including trust assets) rep orting perio d of repo rting period

(1 ) (2) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., V alue V alueexempt f rom pr ior d isc losu re C o d e 1 div., rent, Code 2 Method

( A - H ) o r i n t . ) (J-P) Code 3(Q-W)

Type (e.g.,b u y , s e l l ,

r e d e m p t i o n )


(2) (3) (4)Date Va l ue Gain

m m /d d /y y C o d e 2 C o d e l( J - P ) (A-H)

(5 )Identity of

b u y e r / s e l l e r(if private

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

18 . UGT MA A ccount 1 (XO M com. s tk)19 .

Dividend S o l d 09/13/10 J( p a N )S o l d 12/15110 J

CB

2 0 . HB W Plaza Ltd. G Distribution J U21 . Compass B ank Accounts A I n t e r e s t L2 2. 5 29 A c ct 1 - A m e r ic a n F un d s ( X ) A Dividend23 . -New Perspective Fund (X) Buy 03/05/10 J2 4. - N ew P er sp e ct iv e Fu n d ( X )25 . -N ew P e rs pec t ive Fund (X)26 . -N ew P e rs pec t ive Fund (X)

2 7 . - N ew P er sp e ct iv e Fu n d ( X )2 8 . - N ew P er sp e ct iv e F un d (X )29 . -N e w W o rld Fu nd (X )

Bu y 04/05/1 0(ad d l )Bu y 05/05/1 0(ad d l )Bu y 06/03/1 0(ad d l )Bu y 07 /06/1 0(ad d l )Bu y 08/05/1 0(ad d l )Bu y 03/05/1 0

J

J

J

J

JJ

30 . - N e w W o r l d F u n d ( X )31 . -N e w W o rld Fu nd (X )32 . - N e w W o r l d F u n d ( X )33 . - N e w W o r l d F u n d ( X )34 . - N e w W o r l d F u n d ( X )

Bu y 04/05/I 0 J(ad d l )Bu y 05/05/1 0 J(add l )Bu y 06/03/1 0 J(ad d l )Bu y 07 /06/1 0 J

(ad d l )Bu y 08/05/10 J(ad d l )

1. Inc ome Gain C odes :( S ee C olu mns B I and D4 )

2.Valu e C odes( S ee C olu mns C I and D3)

3. Valu e M ethod C odes(Se e Co lun m C2 )

A = $ 1 ,0 0 0 o r le s sF ~$5 0,001- $100,000J =$15,000 orlessN = $25 0.001- $5 00,000P3 =$25,000,001 - $50.000,000Q=Appr ai s a lU =B ook Valu e

B =$1 ,001 - $2 ,5 00G~$100,001- $1,000,000K =$1 5 ,001- $5 0 ,000O=$500.001 -$1,000,000R =C os t ( R eal Es ta t e O nly )V = O t h e r

C =$2,501 - $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 =As s es s mentW =Es t imated

D =$5 ,001 - $15 ,000H2 =M or e than $5 ,000,000M = $ ! 0 0 ,O0 1 - $ 2 50 ,0 0 0P2 =$5,000,001- $25,000.000T C a s h M a r k c l

E = $ 1 5 ,0 0 1 - $ 50 ,0 0 0


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FINANCIAL DISCLOSURE REPO RTPage 6 of 14

N a m e of Person Re p o r t i n gClark, Ron

Date of Report05/13/2011

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 fillng instructions.)~-~ N O N E ( N o reportable income, assets, or transactions.)

A. B. C.D e 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

(in c lu d in g tm s t a s s e t s ) r e p o r t in g p e r io d o f r e p o rt in g p e r io d(l ) ( 2 ) (t) (2)

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu eexempt from prior disclosure C o d e 1 div., rent, C o d e 2 M e th o d( A - H ) o r in t . ) ( J- P ) C o d e 3

( Q - W )

(1)T y p e ( e . g . ,b u y , s e l l ,

r e d e m p t i o n )


(2) (3) (4)D a t e V a l u e G a i nm m / d d / y y C o d e 2 C o d e 1

( J - P ) (A-H)

(5 )Identity of



3 5. - Ca p it al W r l d G r w t h & I n co m e ( X ) B uy 03/05/10 J36. -Capital Wrld Grw th & Income (X)37 . -Capital Wrld Grw th & Income (X)38 . -Capital Wrld Grw th & Income (X)3 9. - Ca p it al W r l d G r w t h & I nc om e (X )40 . -Capital Wrld Grw th & Income (X)41 . 529 Acct 2 American Funds (X) A Dividend J T

B u y 0 4/0 5 /10(ad d l )Bu y 05/05/1 0(ad d l )B u y 06/03/1 0(ad d l )B u y 07 /06/1 0

( a d d I )B u y 08/05/1 0(ad d l )

J

J

J

J

J

42 . -New Perspective Fund (X) Bu y 03/05/10 J43. -New Perspective Fund (X)

44. -New Perspective Fund (X)45 . -New Perspective Fund (X)46 . -New Perspective Fund (X)47 . -New Perspective Fund (X)48 . -New World Fund (X)

B u y 04/05/10( a d d l )B u y 05/05/10( a d d l )Buy 06/03/10

( a d d l )B u y 07/06/10( a d d l )B u y 08/05/10

( a d d l )B u y 03/05/10

J

J

J

J

J

J

49 . - N e w W o r l d F u n d ( X )50 . - N e w W o r l d F u n d ( X )5 1. - N ew Wo rld F un d ( X)

B u y 04/05/10 J(ad d l )B u y 05/05/10 J

(ad d l )Bu y 06/03/10 J(ad d l )

1 . I n co m e G a i n Co d es :( S ee C olu mns B I and D4 )

2.Valu e C odes( S ee C olu mns C I and D3)

3. Valu e M ethod C odes(Scc Column C2)

A=$ 1,000 or lessF=$50,001 - $ 100,000J =$15,000 or lessN =$250,001 - $500,000P3 -$25,000,001 - $50,000.000Q=AppraisalU =B ook Valu e

B=$1,001 - $2 ,5 00G=$ 100.00 ! - $1 ,000,000K=$15 ,001 - $5 0 ,000O=$500,001 - $ 1,000,000R =C os t ( R eal Es ta t e O nly )V - O t h e r

C =$2,5 01 - $5 ,000H I =$1,000,001 - $5,000,000L =$50,001 - $ 100,000PI =$1 ,000,001 - $5 ,000,000P4 =More than $50,000,000S =As s es s mentW =Es t imated

D =$5,001 - $15,000H2 =M or e than $5 ,000,000M $ 1 0 0 ,0 0 1 - $ 2 50 ,0 0 0P2 =$5,000,001 - $25,000,000T = Ca sh M a rke t

E =$15 ,001 - $5 0 ,000


7/14


N a m e o f P e r s o n R e p o r t i n gClark, Ron


V I I . I N V E S T M E N T S a n d T R U S T S - i .e o m e , v a l u e , t r a n s a c t i o n s (Includes those of spouse and dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)[~] N O N E (No reportable income, assets, or transactions.)

A. B. C.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 G r o s s v a l u e a t e n d( i n c lu d i n g t r u s t a ss 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

(1) (2) ( 1 ) ( 2 )Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e

exempt from prior disclosure C o d e 1 d iv . , r e n t , C o d e 2 M e th o d( A - H ) or i n t . ) ( J - P ) C o d e 3( Q - W )

(1 )Type (e.g.,

b u y , s e l l ,r e d e m p t i o n )


(2) (3) (4)D a t e Value Gain

mm/dd/yy Code 2 Code 1O - P )

(5 )Identity of



5 2. - New W o r ld Fu nd (X )5 3. - New W o r ld Fu nd (X )5 4. - Ca p it al W r l d G r w t h & I n co m e ( X )

B uy(addl)B uy(addl)B uy

07 /06/1 008/05/1 003/05110

JJJ

55 . - C a p i ta l W r l d G r w t h & I n c o m e ( X )56 . - C a p i t a lW r l d G r w t h & I n c o m e ( X )57 . - C a p i t a lW r l d G r w t h & I n c o m e ( X )58 . - C a p i ta l W r l d G r w t h & I n c o m e ( X )59 . - C a p i t a lW r l d G r w t h & I n c o m e ( X )60 . A M G N com. stk

61 . A T& T co m, stk

None M

Dividend K

T

T

B u y(ad d l )B u y(ad d l )B u y(ad d l )B u y(ad d l )B uy(ad d l )So ld(par t )

04/05/I 0 J05/05/1 0 J06/03/1 0 J07 /06/1 0 J08/05/1 0 J03/02/1 0 M D

62 . A M A T c o m . s tk A Dividend J63. ADP. com . s tk B Dividend L64. CVXcom. stk A Dividend K65. KOcom. stk A Dividend K6 6 . E T N c o m . s tk B Dividend M67. EMR com. stk B Dividend L68. FDXcom. stk None Donated

1. Inc ome Gain C odes :( S ee C olu mns B I and 134 )2,Va lue Co d e s( S ee C olu mns C I and D31

3, Valu e M ethod C odes( S ee C olu mn C 21

A =$1,000 or lessF =$50,001 - $ 1 00,000J =$15,000 or lessN -$250.0(I I - $50(I ,00{)P 3 ~ $25 ,000.001 - $ 5 0 .000,000Q =AppraisalU =B ook Valu e

B =$1,001 - $2,500G =$ 100,001 - $1,000,000K =$15,001 - $50,000O =$500,001 - $1,000,000R =C os t ( R eal Es ta t e O nly )V = O t h e r

C =$2,501 - $5,000H 1 ~$1,000,001 - $5,000,000L =$50,001 - $ 100,000P I =$1,000,001 - $5,000,000P4 =M or e than $5 0 ,000,000S =As s es s mentW =Es t imated

=$5,001 - $15,000H2 =M or e than $5 ,000,000M =$100,001 - $25 0,000P2 =$5,000,001 - $25,000,000

=C as h M ar k et

E =$15 ,001 - $5 0 ,000


8/14


N a m e o f P e r so n R e p o r t i n gClark, R o n


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 l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction&)D N O N E (No reportable income, assets, or transactions.)

D e s c r ip t i o n o f A s s e ts In c o m e d u r in g(including trust assets) r e p o r t i n g p e r i o d(t ) (2 )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 . ,e x e m p t f r o m p r i o r d is c l o s u re C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

69 . H D c o m . s tk B Divid en d70 . L L Y c o m . s tk B Divid en d71 . MCD com. s tk B Divid en d72. P EP co rn stk B Divid en d7 3. P FE co m. s tk A Divid en d74 . S L B c o m . s tk A Div idend7 5 . A m e r i ca n M u tu a l F u n d , N e w P e rs p e ct iv e B Divid en dFund76 . A m e r i c an M u t u a l F u n d S m a l l C a p W o r l d A Div idend77 . D r e y f u s S & P 5 0 0 I n d e x F u n d X C Div idend

78 . B A C C a p . T R X I I p r e f e r r e d B Div idend7 9. N u v e e n A r i zo n a P r e m . I n c . M u n i . B n d . A Div idendFund8 0. Dreyfus AMT -Free Mun. Bnd Fund D Div idend8 1. Dreyfus Mun. Bnd. Fund C Div idend8 2. M a r i c o p a C t yA Z b o n d A Interest8 3. Sa l t Rive r P r j AZ bon ds A Interest84 . M c C a l l i st e r A c a d e m i c V L G b o n d s A Interest85 . P i m a C t y A Z b o n d A Interest

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)V alue V alue

C o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

K TK TK TL TK TL TM TK TM T

J TJ TM T

Transactions during report ing period(l ) (2) (3) (4)

Type (e.g., Date V a l u e G a i nb u y, s e ll, m m/dd/yy Code 2 ~ Code 1redempt ion) (J-P) (A-H)

So ld 03/02/10 K(part)

L

KKJ

T

T

T

Redeemed 07/01 / 10

D

(5 )Identity ofbuyer /seller(if privatetransaction)

I . Inc ome Gain C odes : A =$1,000 or less B =$1 .001 - $2 ,5 00 C = $2,5 01 - $5 ,000 D = $5 ,001 - $ 15 ,000( See Columns B I and D4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 G = $ 100,001 - $ 1,000,000 H 1 =$1 ,000,001 - $5,000,000 H2 =More than $ 5,000,0002. Valu e C odes J = $1 5,000 or less K = $15,001 - $50,000 L $50, 001-$100, 000 M =$100,~01 - $25 0,000( S ee C olu mns C I and D3) N =$250,001 - $500,000 O =$ 500 .00 1 . $ 1,00 0,00 0 P I = $1 ,00 0,00 1 - $ 5,0 00 ,0 00 P 2 = $5,000,001 - $ 25,000,000

P3 -$25,000,01) 1 - $50,000,000 P4 - M or c than $5 0 ,000,0003. Valu e M ethod C odes Q =Appraisal R =C os l ( R eal Es ta l e O nly ) S =As s c s s ment T = Ca sh M a rke t(Scc Co lumn C2 ) U =B ook Valu e V : O ther W =Es t imated

E =$15 ,001 - $5 0 ,000


9/14

FINANCIAL DISCLOSURE REPO RTPage 9 of 14



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 , v o l u e , 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.)

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 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(in c lu d in g tr u s t a s s e ts ) r e p o r tin g p e r io d o f r e p o r t i n g p e r i o d

(l) (2) ( 1 ) ( 2 ) (l ) (2) (3) (4) (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 l u e V a l u e T y p e ( e .g . , D a t e V a l u e G a i n I d e n t i t y o fe x e m p t f r o m prior disclosure C o d e 1 d i v . . r e n t . C o d e 2 M 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 b u y e r / s e l l e r( A - H ) o r i n t . ) (J-P) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) (if private( Q - W ) t ransaction)

86 . Coconino &Y avapai Cos AZ bonds87 . U.of AZ Cop Br d bond8 8 . Pr es co tt V ly AZ M u n . b o nd89 . Mesa AZ Util Sys bonds9 0. A Z H ea lt h Fa cs Au th b o nd91 . UBS- RMA M oney Mkt X92. IRA93 . -AT&Tcom. stk9 4. -B P com . s tk

95 . -CVX com. s tk96 . -XOM corn.stk9 7. -W RE cor n. s tk9 8. -W RI com . s t k99 . -Oppenheimer Champ Income fund1 0 0 . - N u v e e n E q u i t y P & G fund1 0 1 . - A B A p r e f e r re d s h a r e s

A I n t e r e s t J TA Interest J TA I n t e r e s t J TA Interest J TA Interest J TA I n t e r e s t M TE Int./Div. O T

Sold 04/30/10 J A

1 0 2 . -USBPRI preferred shares

I . Inc ome Gain C odes : A =$1,000 or less B =$1 .001 - $2 ,5 00 C = $ 2,501 - $5 ,000 D = $5 ,001 - $15,000( S ee C olu mns B I and D4 ) F =$50,001 - $ 100,000 G =$ 100,001 - $1,000,000 H 1 =$1 ,000,001 - $5,000,000 H2 =M or e than $5 ,000,000

2. V alue C o d es J = $1 5,000 or less K = $15 ,001 - $ 50,000 L =$50,001 - $ 100,000 M -$100,001 o $250,000(See Columns C I and D3) N =$250,001 - $500,000 O =$500.001 - $1 ,000,000 P I = $ 1 ,000,001 - $5 ,000,000 P2 = $5,000,001 - $25,000,000

P3 =$25,000.001 - $50,000,000 P4 =M or e than $5 0 ,000,0003. Value Method C o d e s Q =Appraisal R ~C os t ( R eal Es ta t e O nly ) S =As s es s ment T = C a s h M a r k et(See Colunm (72) U =B ook Valu e V ~ O t h e r W =Estimated

E = $ 1 5 ,0 0 1 - $ 50 ,0 0 0


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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 i o n o f A s s e t s 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( inc luding t r us t a s s e t s )

In c o m e d u r in g G ro s s v a lu e a t e n dr e p o r t t 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

(1 ) (2 ) (1) (2) (l)Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Value Type (e.g.,exempt from prior disclosure Code l d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l ,( A - H ) or i n t . ) (J-P) C o d e 3 r e d e m p t i o n )

( Q - W )

(2) (3) (4)D a te V a lu e G a i n

m rn /d d/y y C od e 2 Code l( J- P ) ( A -H )

(5 )Identity of



1 0 3 . - E a t o n V a n c e E n . E q u i ty I n c F u n d1 0 4 . - J o h n H a n c o c k I n c S e c . F u n d1 0 5 . - L o r d A b b o t B o n d D e b . F u n d1 0 6 . - F r a n k l in H . I . F u n d C l a s s A ( Y )1 0 7 . - F r a n k l in U S G o v t S e e . A ( Y )1 0 8 . C O S T c o m . s tk1 0 9 . D U K c o m . s t k1 1 0 . E L N K c o r n . s tk1 1 1 . G P S c o m . s tk

1 1 2 . G E c o m . s t k1 1 3 . H U B B c o m . s tk114. IP1 1 5 . I T W . c o m . s tk1 1 6 .1 1 7 . JNJ co m. s tk1 1 8 . J P M c o m . s tk1 1 9 . L B Y c o r n . s t k

Bu y 07/13/10 K(ad d l )

AAB

A

AAAA

B

A

Dividend KDividendDividend KDividend K

Dividend JDividend KDividend JDividend

T

T

TT

T

Dividend K TDividend K T

None J T

Bu y 09/09/1 0 J(ad d l )Sold 03/02/1 0 JBu y 03/02/1 0 KBu y 03/02/1 0 K

Sold 03/02/1 0 J(par t)

B u y 09/09/10 J

S o l d 03/02/10 J(pa rt)S o l d 0 5 / 18 / 10 KS o l d 03/02/10 K(pa rt)B u y 03/02/10 KB u y 12/16/10 J

B

CC

I. Inc ome Gain C odes :(Se e Co lumn s B I a n d D 4 )

2. Valu e C odes( S ee C olu mns C I and D3)

3. Valu e M ethod C odes(Se e Co lumn C2 )

A =$1 ,000 or l es sF =$5 0,001- $100,000J =$15 .000 or l es sN = $25 0.001 . $5 00,000P3 =$25,000.001. $50.000,000Q=Appr ai s a lU ~B ook Valu e

B =$1 ,001- $2 ,5 00G=$100,001- $1,000,000K= $ 1 5 ,0 0 1 - $ 50 ,0 0 0O=$500,001- $1,000,000R =C os t ( R eal Es ta t e O nly )V = O t h e r

C = $ 2 ,50 1 - $ 5 ,0 0 0H 1 =$1,000,001- $5,000,000L =$5 0,001 - $100,000PI =$1,000,001 -$5,000,000P4 =More than $50,000,000S =As s es s mentW~Est ima tcd

D =$5 ,001- $15 ,000H2 - M or e than $5 ,000,000M = $ 1 0 0 ,0 0 1 - $ 2 50 ,0 0 0P2 =$5,000,001 -$25,000,000T = Ca sh M a rkc t

E = $ 1 5 ,0 0 1 - $ 50 ,0 0 0


11/14




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 (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e durin g G ross va lue at en d

( in c lud in g trust asse ts ) rep orting p eriod of reporting period(l ) (2 ) O) (2)Place "(X)" after each asset A m o u m Type (e.g., V alue V a lu eexempt f rom pr ior d isc losu re Co d e l div., ren t, Co de 2 Meth od(A-H) o r i n t . ) (J-P) C o d e 3

( Q - W ~

Transactions during report ing period(1 ) (2) (3)

Type (e.g., D a t e Va l uebuy, se l l , m m / d d / y y Code 2

redempt ion) (J-P)

1 2 0 . P e t & R e s C o . : P E O c A Divid en d K T1 2 1 . P R U c o m . s t k A Divid en d K T Bu y! 22. Bu y(ad d l )1 2 3 . S E c o m . s t k A D iv id e n d So ld1 2 4 . S Y S c o m . s t k A D iv id e n d So ld1 2 5 . W G L H o l d i n g s In c c o m . s t k A Divid en d J T1 26. ISHAILES MSCI CDP Can Id x Fn d : EWC A Divid en d J T1 2 7 . L a z a r d E m e r g M k t : L Z O E X A Divid en d K T12 8 .

12 9 .

(4 ) (5 )Gain Identity ofCode 1 buyer / se l l e r(A -H ) (if private

transaction)

03/02/1005/1 8 /1 012/16/1003/02/10

J

J

J

L

BD

Bu y 03/02/I 0 JBu y 03/02/10 JBu y 09/09/1 0 J(ad d l )Bu y 12/16/10 J(ad d l )Bu y 03/02/10 KBu y 03/02/I 0 KBu y 03/02/10 K

Bu y 03/02/10 KBu y 03/02/I 0 KBu y 05/1 8 /1 0 J

13 0 . Mat . P ac . " f ig . fund: MA P T X A Divid en d K T1 3 1 . R o y c e 1 0 0 f u n d : U M B W X A Divid en d K T1 3 2 . S c o u t I t l f u n d B Divid en d L T1 3 3 . S E C T O R S P D R E n e r g y S e l e c t : X L E A Divid en d K T1 3 4 . S E C T O R S P D R T e c h S e l e c t : X L K B Divid en d K T1 3 5 . S P D R S & P D i v E T F : S D Y B Divid en d K T1 3 6 . V a n g u a r d S m a l l C a p V a l u e A Divid en d J T

I . Inc ome Gain o de s: A = $1 ,000 or less B = $1 ,001 - $2 ,500 C = $ 2,501 - $ 5,000 D =$5,001 - $15,000(Se e Co lumn sBI a n d D4) F =$ 50.001 - $100,000 G =$ 100,001 - $1 ,000,000 H 1 =$ 1 ,0 00 ,0 01 -$ 5, 00 0, 00 0 H 2 - Mo re th a n $ 5, 00 0, 00 02. V a lu e Co d es J = $ 15 ,000 or le ss K =$ 15 ,001 - $5 0 ,000 L $ 5 0 , 0 0 1 - $ 1 0 0 .0 0 0 M =$100,001 - $250,000( S ee C olu mns C I and D3) N =$ 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 =M or e than $5 0 ,000,0003. Valu e M c lhod C odes Q =Appraisal R ~C os l ( R eal Es ta l e O nly ) S =As s es s ment T =C as h M ar k et( S ee C olu mn C 2) U =B ook Valu e V = O t h e r W =Es t imated

E =$15 ,001- $5 0 ,000


12/14

FINANCIAL DISCLOSURE RE PORTPage 12 of 14

Name of Person ReportingClark, Ron


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 , ~ . ~ .e , transactions (lnctudes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.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 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 l u d i n 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(1) (2) (1) (2) (I) (2) (3)

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., D a te V a lu eexempt from prior disclosure Code I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , mm/dd/yy C o d e 2

( A - H ) or i n t . ) (J-P) C o d e 3 r e d e m p t i o n ) ( J - P )( q -w )137. John H ancock Pat Prem II closed end trust A Dividend138. Nuveen M un V alue fund B Dividend139. Schwab M oney Market account A I n t e r e s t140. Aquila Gr oup Tax Free Trust of AZ X A I n t e r e s t141. Estate # l ,Wells Fargo Money M kt. Accoun( A Int./Div.142.

J T

So ld 03/02/l 0 JSold 12/16/10 K A

Sold 02/02/10 LClosed 08/17/10 J

(4 ) (5 )Gain Identity of

C o d e 1 buyer / se l l e r(A-H) ( i f p r i v a t e

transaction)

1 . In co m e G ain Co d es: A = $ 1 ,000 o r le ss B = $1 .001 - $ 2,500 C = $2.5 01 - $5,000 D = $5.001 - $1 5,000(See CoIumrts B I and D4) F = $ 50,001 - $100,000 G = $ 100,001 - $ 1 ,000,000 H 1 =$ 1,000,001 - $5,000,000 H2 =More than $ 5,000,0002. Valu e C odes J = $15,000 or less K = $15,001 - $ 50.000 L -$50,001 - $100,000 M =$ 100,001 - $250,000( S ee C olu mns C I and D3) N =$ 250.001 - $ 500,000 O =$ 500J)01 - $ 1,000,000 P 1 -$1 ,000,001 - $5 ,000,000 P 2 =$ 5 ,000,001 - $ 25 ,000,000P3 =$25.000,001 - $ 50.000.000 P4 - M or e than $ 5 0 ,000,0003. Valu e M elhod C odes Q =Appraisal R ~C os l ( R eal Es la l c O nly ) S =As s es s ment T = C a s h M a r k e t( S ee C olu mn C 2) U =B ook Valu e V - O t h e r W = E st im a t ed

E =$15,001- $50,000


13/14


N a m e o f P e r so n R e p o r t i n gClark, R o n


V I I I . A D D I T I O 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 . (lndicate part of report.)1 . S e e . I , li n e s 2 & 3 r e f e r t o 5 2 9 e d u c a t i o n a c c o u n t s e s t a b l i s h e d i n M a r c h 2 0 1 0 . S e e a l s o S e c t i o n V I I , li n e s 2 2 & 4 1 .2 . S e c ti o n V I I , l in e 1 8 - U G T M A A c c o u n t 1 w a s c l o s e d o n D e c e m b e r 1 7 , 2 0 1 0 a f t e r s a le o f r e m a i n i n g s t o c k o n D e c e m b e r 1 5 a n d d i s t r i b u ti o n o f p r o c e e d s .3 . Sec t ion V I I , L ines 10 6 & 10 7 . T hes e i t ems , no t ed w i th a " Y" w ere i nadve r t en t ly l e f t o f f l a s t yea rs repor t , w here t hey s hou ld have been rep or t ed w i th anno ta t i on" X" l ike i t ems 2 2 th rough 111 in l a s t yea rs repor t .4 . S e c t io n V I I , L in e 1 4 , W e l l s F a r g o M o n e y M a r k e t A c c o u n t w a s r e p o r t e d l a s t y e a r a t S e c t i o n V I I , L i n e 8 I . T h i s w a s l a s t a s s e t i n E s t a te # 1 , a n d t h e a c c o u n tw as c los ed a f t e r t he funds w ere d i s t r i bu t ed s o t he acco unt w i l l no t be repor t ed nex t yea r , and the e s t a t e w i l l have no a s s e t s .


14/14



Date o f Report05/13/2011

IX. CERTIFICATION.1 c e r t i f y th a t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n 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 ) isa c c u r a t e , tr 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 ta t u t o r y

p 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 .1 f u r t h e r c e r ti f y th 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 nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 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[ Ro n C l a rk

N O T E : A N Y I N D I V I DU A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S IF IE 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 EC T T O C I V ILA 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 04 )

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

ron clark financial disclosure report for 2010

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