Marc T Treadwell Financial Disclosure Report for Treadwell , Marc T

8/3/2019 Marc T Treadwell Financial Disclosure Report for Treadwell , Marc T

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AO IORev . 1 /2011

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010

Report Re quired by the Ethics

in Government A ct of 1978

(5 U.S .C. app. ,~ ,~ 101-111)

I . Person Reporting (last name, f irst, middle initial)

T R E A D W E L L , M A R C T .

4. Tit le (Art ic le I I I judge~ ind icate ac t ive or senior s ta tus;magistrate judges indicate full- or pard-time)

U. S . DI S T R I C T J UDGE - AC T I VE

7 . C h a m b e r s o r Off ice Address

P . O . B O X 6 5M A CO N , G A 3 1 20 2

2. Court or Organization

UNITED STATES DISTRICT COURT, MIDDLED IST RICT O F GE O RGIA

5a. Report Type (check appropriate type)

] N o m i n a t i o n , D a t e

[] Initial [] Annual [] Final

5 b . [] A m e n d e d R e p o r ~

8. On the bas is o f the in formation conta ined in th is Repor t and any

modif icat ions per taining thereto, i t i s , in my opinion, in com pliancewith applicable laws and regu la t ions .

3. Date of R e p o r t

06/20/201 I

6. Repor ting Per iod

01 / 01 / 2010

to

12/31/2010

Reviewing Of f ice r Date

I M P O R T A N T N O T E S : T h e instructions accompanying this form must be followe~L Complete all parts,

checking the NONE box for each part where you have no reportable informat ion. Sign on last pag~

I. P O S I T I O N S . c R e p o ~ i .u i n d i v id u a l o n l y ; s e e p p . 9 - 1 3 of filing instructions.)

D NONE (No reportablepositions.)

POSITION

1. Vi ce P r es i d en t

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

Ad am s , J o r d an & T r ead wel l , P . C . ( I l l /2010 - 6 /25 /2010)

I I . A G R E E M E N T S . ~ R e p o m . g individual only; see pp. 14-16 of f i l ing instructions.)

~ (N o repor ta b le a greem en ts .)ONE

D A T E PARTIES AND TERMS

1.7/31/2010 A d a m s, Jo rd a n & T re a d w ell, P .C . - A g re e m en t to re c e iv e o n e te rm in a tio n p a y m en t o n o r be fo re 9130/2010, a n d a fin a l

payment on or before 1213112010.

2.7 /31/2010 A d a m s, Jo rd a n & T re a d w ell, P .C . - A g re e m en t by th e C o rp o ra tio n to m ake th e a p p ro p ria te c o n tr ibu tio n fo r 2010 to th e

repor t ing person’s 401K ret i rement account .



F I N A N C I A L D IS C L O S U R E R E P O R T

o f 14

N a m e o f P e r s o n R e p o r t i n g

T R E A D \ V E L L , M A R C T .

D a t e o f R e p o r t

06/20/201 I

I II . N O N - I N V E S T M E N T I N C O M E . (Reporffngindi,,idualandspouse;seepp. 17-24 of filing instructlonsO

A. Filer’s Non-Investm ent Income

~-~ (No reportable income.)O NE non-investment

DATE S O U R C E A N D T Y P E INCOME( y o u r s , n o t s p o u s e ’ s )

I. 2010 Ad am s , J o rd an & Tread wel l , P .C . - Sa la ry an d t e rmin a t io n p ay m en ts $167,000.00

2.2010 Mercer Law Sch o o l - Sa la ry $2,000.00

3.

4.

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - If .van were married during a ny portion of the reporting year, complete this section.

(Dol l ar amount not required ¢ vcept for hon oraria . )

D N ON E (No reportable non-investment income.)

DATE SOURCE AND TYPE

1.2010 Se lf-em p lo y ed la n d sc ap e a rc h itec t (d /b/a W T D e sig n s)

2.

3.

4.

1 V . R E I M B U R S E M E N T S - transportation, lodging, food, e n t e r t a i n m e n t .

( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f il i n g i n s tr u c t i o n s .)

N O N E ( N o reportable reimbursements.)

SOURCE DATES LOCATION

1.

2.

3.

4.

5.

PURPOSE ITEM S PAID OR PROV IDED




P a g e 3 o f 1 4

~lame of Person Report ing


Date of Report

06/20/2011

V . G I F T S . a n c l u d e s t h o se t o s ~ o u s e u n d d e p e n d e n , chi ldren; see pp. 2 8 - 3 1 of filing instructions.)

N O N E (No reportable g~s . )

SO UR CE D ESCR IP TIO N

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c lu d e s th o s e o / ~ p o ~ e ~ n d dependent children; see p p . 3 2 - 3 3 of filing instruction&)

D N O N E (No re por tabl e l iabi l i t i e s .)

CREDITOR DESCRIPTION

1. Trust #2

2.

3.

4.

5.

Mortgage o n ren t a l p rope r ty # 1 , F r ipp I s l and , SC (P a r t VI I , li ne 4)

V A L U E C O D E

M




o f 14

N a m e o f P e m o n R e p o r t in g


Date of Report

06/20/2011

VII. I N V E S T M E N T S a n d T R U S T S - i .co=. , value, t . .=o, io .~ a .c l .d .~ tho.e o /s~.o . .e ~.d depe,a, , t children: see pp. 3 4 - 6 0 of filing instructions.)

~ (No reportable income, assets, orO NE transactions.)

A. B. C. D.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period o f r e p o r t i n g p e r i o d

! ( ,> ( 2 ) (I) (2) (I) (2) (3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t !Amount T y p e ( e . g ., Value Value T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

exempt from prior disclosure I C o d e I d i v . , r e n t , Code 2 M e th o d buy, sell, m m / d d ~ y Code 2 Code I buyer/seller

(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

A J T

A J T

A K T

E N W

K T

K T

K T

K T

1. Ban k o f Amer ica Acco un t (X ) Interest

2. W ell s Farg o Acco un t (X ) Interest

3. SunT rus t A c c ount (X) Interest

4. Rental Prop erty #1, Fripp Island, SC Rent

5. Nor thw est e rn Mutua l - Who le L i fe po l i cy # 1 A Divid en d



8. Nor thw est e rn Mutua l - Who le L i fe po l i cy # 4 A D iv idend

9. Bro kerag e #1

1 0 . -Cash /Money A c c ount s B Interest

I 1 . -Po wersh ares VRDO Tax Free Fun d A Interest

1 2 . B r o k e r a g e # 2

1 3 . -Cash /Money A c c ount s E Interest

1 4 . - A m e r i c a n E x p r e s s C o m p a n y ( c o m m o n ) A Divid en d

1 5 . - A m e r i p r is e F i n a n c i a l I n c ( c o m m o n ) A Divid en d

1 6 . -Br i s to l -My ers Sq uibbCo (co mmo n ) A Divid en d

1 7 . - G e n e r a l E l e c tr i c ( c o m m o n ) A D iv idend

N T

M T

K T

K T

J T

K T

J T

I . Income Gain Codes: A =$1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5.001 - $15.000

(Se e C o lum n s BI a n d D 4 ) F = $50,001 - $100,000 G = $100,001 . $1.000,000 Ill =$1.000.001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J = $15.000 ~ less K = $15,001 - $50.000 L = $50.001 - $100.00~ M =$10~.001 - $250.000

(Se e C o lum n s C I a n d D 3) N =$250.001 - $500.000 O =$500.001 - $1,000.000 PI =$1,000.001 - $5.000.000 P2 =$5.000,001 - $25,000.000

P3 =$25.000.001 - $50,0~L000 P4 = More than $50.000.000

3. Valu e M elhod Codes Q = Appraisal R =Cost tRcal Es tale Only) S =Asscssnumt T - ’ = C a z h M a r k O

(See Column C2) U = B ook V alu e V =O~hcr W = Es t imated

E =$15.091 - $50.000




o f 14

S a m e o f Person Repor ting


Date of R e p o r t

06/20/2011

VII. INVESTM ENTS and TRUSTS - i.co .... . a l . e , t r a n s a c t i o n s ( I n c l u d e s t h o s e of spouse a n d dependent children; s e e p p . 3 4 - 6 0 of filing instructionx.)

D (No reportable assets, orO NE income, transactions.)

A. B. C. D.

Description of Assets Incom e during Gross valu e at end Transactions during reporting period

(including trust assets) reporting period o f r e p o r t i n g p e r i o d

O) (2 ) O) (2) O) (2) (3) (4)

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e (e.g . , Value Value T y p e (e.g . , D a t e Value Gain I d e n t i t y o f

exempt from prior disclosure C ode I d i v , , r e n t , Code 2 M e t ho d buy, sell, mm/dd/yy Code 2 Code I buyer/seller

I (A-I I ) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

1 8 . - H o m e D e p o t I n c ( c o m m o n )

1 9 . - J o h n so n a n d J o h n so n ( c o m m o n )

20 . -Kimber ly C la rk (co mmo n )

21 . - Z i m m e r H o l d i n g s l n c ( c o m m o n )

22 . Bro kerag e #3

23 . -Cash (X)

24 . -A T &T Inc (c ommon)

25 . - C o c a - C o la C o ( c o m m o n )

26 . -W al -Mar t Sto res In c (co mmo n )

27 .

28 . Bro kerag e #4

29 . -Cash /Money A c c ount s (Y)

30. Bro kerag e #5

31 . -A mazon . c orn (c ommon)

32. - C T R I P .c o m I n t lL t d ( c o m m o n )

33. - D e l l l n c ( c o m m o n )

34. - E a r th l i n k l n c ( c o m m o n )

A D iv idend J T

A D iv idend K T

B D iv idend K T

A D iv idend J T

A I n t e r e s t K T

A Divid en d Sold 05/17/10 J B

A Divid en d Sold 05/17/10 K C

B D iv idend Sold 05/17/10 J D

Donated

(part)

A Interest L T

N o n e S o ld 03/05/10

N o n e S o ld 03/05/10

N o n e S o ld 06/05/10

N o n e S o ld 03/05/10

J

J

J

J

B

A

1. Incom e Gain Codes : A = $1,000 o r less B = $1,001 - $2.500 C $2.5 01 - $5 ,0~0 D =$5,001 . $15.000

(S¢ c C o lum n s BI a n d D 4 ) F = $50.001 - $100,009 G = $100,001 - $1.0~0.000 111 =$1.090.001 - $5.000.000 112 =More than $5.000.0~0

2. Vah .~ Cod~ J =$15,000 Ix less K =$15.COI - $50.0(~ L =$50.001 - $10~.000 M -$10~.001 - $250.000

(Se c C o lum n s C I a n d D 3) N -$250.001 - $500.000 O = $500.001 - $1.000.000 P I = $ 1. 00 0. 00 1 - $5 .0 00 .0 ~ 0 P 2 = $ 5. 00 ). 00 1 - $2 5. 00 0. 00 9

P3 = $25.000.001 - $50.000,000 P4 =More Ihan $50.00~.090

3. V alu e M ethod Codes Q =Appraisal R =Cost (Real Es tatc Only) S = A s s c ss m L " n t T =Cash Markcl

(See Column C2) U = B ook V alu e V = O l h ¢ ’ r W =Estimated

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




o f 14 Iame of Person Re port ing

T R E A D \ V E LL , M A R C T .

Date of R e p o r t

06/20/2011

V I I . INVESTMENTS a n d T R U S T S - i .c o m . . . .a t u e . t r a , , ~ a c t i o , ~ , ~ tn c ludes those o / spoa se a n d dependent children; see pp. 34-60 of fi l ing 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 I n c o m e d u r in g

( 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

i (I) ( 2 )

P l a c e " ( X ) " a f t e r e a c h a s s e t i A m o u nt T y p e (e . g .,

e x e m p t f r o m p r i o r d i s c lo s u r e i Code I d i v . , r e n t ,i (A -H) o r i n t . )

G r o s s v a l u e a t e n d

o f r e p o r l i n g p e r i o d

(0 (2)Value Value

C o d e 2 M e th o d

( J - P ) C o d e 3

O)T y p e (e.g . ,

buy, sell,

~lemption)

T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d

(2) (3) (4) (5 )

D a t e Value Gain Iden t@ o f

mm/dd!yy Code 2 C ode I buye r/se ller

( J - P ) (A-H) ( i f p r i v a t e

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

35 . - E x p e d i a I n c (c o m m o n ) None Sold 03/05110 J

36 . -G o o g le In c (c o m m o n ) N o n e Sold 03/05110 J A

37. IRA #1 A Divid en d M T

38 .

39 .

40 .

41 .

-Cash /Money A c c ount s

- I sha re s D ow Jones US B as i c M a te r ia l s

Sec to r In d ex Fd

- I sha re s D ow Jones US Consumer Goods

Sec to r In d ex Fd

So ld 02/05/10 J A

Bu y 02/17/10 J(ad d ’ l )

So ld 00/22/10 J A

42 . - I sh ares Do w J o n es US Co n sumer Serv icesSec to r In d ex Fd

43 .

Bu y 02/17110 J

So ld 00/22/10 J

44 . - I sh ares Do w J o n es US F in an c ia l Sec to rIndex Fd

45 . - I sh ares Do w J o n es US En erg y Sec to r In d exFd

46 . - l sh ares Do w J o n es US H ea l th care Sec to rIndex Fd

47 .

48 . - l shares Dow Jones US Real Es ta te Index Fd

49 .

50 . - I sh ares FTSE X in h ua H K Ch in a 25 In d ex

Fd

51 .

So ld

So ld

Bu y

So ld

Bu y(ad d ’ l )

So ld

So ld

04/22110 J B

04/22110 J A

02/17/10 J

04/22110 J A

02/17/10 J

04/22/10 J

01/28/10 J

Sold 02/04/10 J

I . Income Gain Codes: A =$1.00~ or less B -$1,001 - $2.500 C =$2,501 - $5,000 D -$5,001 - $15,0~0

(Se e C o lum n s BI a n d D 4 ) F = $50.001 - $109,000 G = $100.001 - $1.0~0.000 111 =$1.0~0,001 . $5.000.000 112 = More than $5.000,000

2. Value Codes J =SI5 ,000 o r I¢~ K =$15.001 . $50.000 L = $ 5 0 . 0 Q I - $ 1 0 O . 0 0 Q M =$10~.001 . $250.000

ISe e C o lum n s C I a n d D 3) N = $250.001 - $500.000 O =$500.001 - $1.000.000 P I = $ 1. 00 0. 00 1 - $5 .0 00 .0 00 P 2 = $5 .0 00 .0 01 - $ 25 .0 00 .0 00

P3 =$ 25.~0.001 - $50.000.000 P4 =More Ihan $50.000.000

3. V alu e M ethod Codes Q =Appraisal R :=Cost (Real Es tate Only) S = A s s es s men t T =Cash Market

(See Column C2) U -13~ok Value V = O w h e r W E s t i m a t ed

E =$15,001- $50.0~0



F I N A N C IA L D I S C L O S U R E R E P O R T

P a g e 7 o f 14

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



06/20/2011

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; seepp~ 34-60 offillng instructions.)


52 .

53 .

54 .

55 .

56 .

57 .

58 .

59 .

60 .

61 .

62 .

63 .

64 .

65 .

66 .

67 .

68 .

A . B . C. D .D e s c rip t io n o f A ss e ts I n c o m e d u rin g G ro s s v a lu e a t e n d T ra n s a c tio n s d u rin g re p o rt in g p e r io d

(including trust asse t s) report ing per iod o f r e p o r t i n g p e r i o d

I (I) (2) (1) (2) (l) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t T y p e ( e . g . , V a lu e V a lu e T y p e ( e . g . , Date V a l u e Gain Iden t i ty o f

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I di v . , r en t , C o d e 2 M e th o d bu y , se l l , m m / d d . ~ y C o d e 2 C o d e I buyer ! se l l er

! (AdD or int . ) ( J -P ) C o d e 3 r e d e m p t i o n ) (J-P ) (A -H ) ( i f p r iva te

i( Q - W ) t r ansac t i on)

- I sha re s MSCI E A FE Index Fd

- I sh a r es MS C I E mer g i n g Mk t s I n d ex F d

-Ishares S&P Latin America 40 Index Fd

- Ishares S&P M idcap 400 Growth

- I sha re s S&P M idc ap 400 /B ar ra Va lue Index

Fd

-Ishares S&P Smallcap 600 Value Index Fd

-Ishares S&P 500 Grow th Index Fd

- l sh ares S&P 5 00 Value In d ex Fd

-Ishares Trust Dow Jon es US TechnologySector Index Fd

-Ishares Trust Dow Jones US IndustrialSector Index Fd

-P imc o Unc ons t ra ined B ond Fund C I P

-Pow ersha re s QQQ T r Uni ts Se r I

So ld 02/05/10

Sold 02/05/I 0

So ld 02/05/10

Bu y 02/17/10

(ad d ’ l )

Sold 04/22/10

Bu y 02/17/10(ad d ’ l )

Sold 04/22/10

Bu y 02/17/10

Sold 04/22/10

Sold 04/22/10

Bu y 02/17/10

(ad d ’ l )

So ld 04/22/10

So ld 04/22/10

Bu y 02/17/10

(ad d ’ l )

So ld 04/22/10

So ld 04/23/10

So ld 04/22/10

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

A

A

A

A

A

A

B

A

A

B

I. Income Gain Codes :

(Se e C o lum n s BI a n d D 4 )

2. Valu e C o d e s

( S e e Columns CI a n d D3 )

3. Valu e M e t h o d Codes

(See Column C2J

A =$1.000 or less

F = $ 5 0 , 0 0 1 - $ 1 0 0 . 0 0 0

J : $ 1 5 . 0 0 0 or l e s s

N -$250.001 - $500.0~

P 3 =$25.000.001 - $50.090.000

Q = A p p r a i s a l

U -Bo o k Va lue

B =$1.001 - $2.500

G =$100.001 - $1.000.000

K =SI S.001 - $50.000

0 = $ 5 0 0 . 0 0 1 - $1.000.000

R =Cost (Re al l : ,s talc Only)

V =O~her

C =$2.501 - $ 5 , 0 0 0

III =$1.000.001 - $5.000.000

L =$50.001 - $100.000

P I =$1.000.001 . $5 ,000.~

P4 =More than $50.000.000

S =Assessment

W = Es t imated

D =$5.0~1 - $15,000

112 =More than $5.000.000

M =$100.001 - $250.000

P2 -$5.000,001 - $25.000,000

T = ~ h M a r k e t

E =$15,001 - $50,000




o f 1 4



D a t e o f R e p o r l

06/20/201 I

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 o , v a lu e , . a n s a c ti o ~ a n a u d ~ t h o s e o / s p o u s e ~ d d e p e n d e n t c h i l d r e n ; see p p . 3 4 - 6 0 of filing instructions.)


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

( i nc l udi ng t r us t asse t s) ~- - pon ing pe r iod

i (I) (2)Place "(X)" after each asset i 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 i s c l o s u r e :~ Code I di v . , r en t ,i ( A - H ) or i n t . )


o f r e p o r t i n g p e r i o d

(I) (2)

V a lu e V a lu e

C o d e 2 M e t h o d

( J - P ) C o d e 3

(i )Ty]~ (e.g.,

buy, sell,

r e d e m p t i o n )

T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d

(2) (3) (4) (5 )

D a t e Value Gain I d e n t i t y o f

m r n / d d ? y y Code 2 Code I buye r/se ller

( J - P ) (A-H) ( i f p r i v a t e


69. - D i a m o n d s T r u s t S e r ie s 1

70. - S P D R D o w J o n e s In d u s A v E T F T r u s t

B u y 02/17/10 J

( a d d ’ l )

S o ld 04/22/10 J

71.

72.

73.

74.

-SPDR S P Emergin g Asia Pacific

-SPDR S P Emer ging Europe

-SPDR S&P M idcap 400 ETF Trust

So ld 02/05/10 J

So ld 02/05/10 J A

Bu y 02/17/10 J(ad d ’ l )

So ld 04/22/I 0 J B

75. -S tandard&PoorsDepRcpt

76. - V a n K a m p e n B d F d I n c

77. I R A #2

78 . -Cash

A lnt./Div.

So ld 02/04/10 J

So ld 04/22/10 J A

79.

80 .

’81.

82 .

8 3 .

8 4 .

85 .

-Capital Income Builder Fd CI B

-Cap it a l World Grow th & Income Fd CI B

-Wash ington Mutual Fund CI B

4 0 1 ( k ) R e t i r e m e n t P l a n

-American Funds - Grow th Fund ofAmerica-R2

B D i v i d e n d

S o l d

S o l d

Bu y

(ad d ’ l )

Bu y

(ad d ’ l )

Bu y

(ad d ’ l )

05/17/10

05/17/10

06/30/I 0

09/10/10

12/30/10

J

J

J

I . Income Gain Codes: A =$1,000 or less B -$1,001 - $2.500 C =52,501 - $5.0~0

(See Co lum ns B I and 1)4 ) F =$50.001 - $ 100,000 G =$ 100.001 - $ 1,000.000 I I I ~$1,000,001 - $5,000,000

2. Va lu e Cod~ J =515.000 ~ less K = 515.001 - 550.000 L = 550.001 - 5100.000

(Se e C o lum n s C I a n d D 3) N -$250.1)01 -

P3 = $25.000.001 - $50.0~1.000 P 4 = M ore than $50.00~ .000

3. V alu e M ethod Codes Q =Appraisal R =Cost (Real Es tate Only) S = A s s ~ s sm e r ~ t

lSce Cohlmn C2) O = B ook V alu e V =O lh e r W =Estimated

D =$5.0~ I - $15

112 =More than $5.000.000

M =$100.001 - $250.0~0

P2 =$5.000.001 - $ 2 5 , 0 0 0 . 0 0 ~

T = C ~ h M a r k c l

E =$15,001 - $50.000




o f 14




06/20/201 I

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, tran~actlons (Includt’s those of spouse and dependent children; seepp. 34-60 of filing instructionx)



( in c lu d in g tru s t a ss e ts ) re p o rt in g p e rio d

i (i) (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 i s c l o s u r e ] Code I di v . , r en t ,i ( A - H ) or i n t . )


o f r , . - V o r t i n g p e r i o d

(I) (2)Value Value

C o d e 2 M e t h o d

( J - P ) C o d e 3

86. - A m e r i c a n F u n d s - I n v e s tm e n t C o m p a n y o fA m e r i c a - R 2

87 .

88 . -Amer ican Fun d s - Fun d amen ta l In ves to rs -

89 .

90 . 529 Col lege Sav ings Plan #I

91 . -B lac k roc k 100% E qu i ty Por t

92 . 5 29 Co l leg e Savin g s P lan #2

93 . -B lac k ruc k 100% E qu i ty Por t

94 . T rus t# 1

95 . -Fede ra t ed T ax -F ree O b l igs Fd MM k t Ins t lC1#15 FFS

96 . - B P P L C S p o n s A D R ( c o m m o n )

97 . - E x x o n M o b i l C o r p ( C o m m o n )

98. - P r a x a i r In c ( C o m m o n )

99 . -Gen era l Elec t r i c Co (Co mmo n )

1 0 0 . - H o m e D e p o t l n c ( Co m m o n )

1 0 1 . - C o c a - C o la C o ( C o m m o n )

1 0 2 . - C o l g a t e P a lm o l i v e C o ( C o m m o n )

None

None K

E Int./Div. O

T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d

(i ) (2) (3) (4) ( 5 )

Type (e.g., Date V a l u e Gain Iden t i ty o f

buy, se l l , m m / dc b’ ~t C o de 2 C o d e I buyer ! se l l er

r e d e m p t i o n ) ( J -P ) ( A - H ) ( i f p r iva te

t r ansac t i on)

Bu y 09/10/10 J(ad d ’ l )

Bu y 1 2 / 3 0 / 1 0 J(ad d ’ l )

Bu y 09/30/10 J

(ad d ’ l )

Bu y 12/30/10 J(ad d ’ l )

S o l d 08/03/10 J

S o ld 05/07/10 K(part)

Buy 05/07/10 K

I . Income Gain Codes: A = $ 1 . 0 O O o r l es s B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5.001 - $15,000

(See Columns BI and 1)4) F = $50~001 - $100,000 G = $100.001 - $1,000.000 tt I = $1,000.001 - $5.000,000 112 = More than $5.000.000

2. Value Codes J =$15.0~0 or le~ K =$15.001 - $50.000 L =$50.001 - $10O.000 M =$10~.001 - $250.000

(See Co lu mm CI and D3) N = $250.001 - $500.000 O =$500.001 - $1,000.000 P I = $1,000.001 - $5.000,000 P 2 :$5.000.001 - $25.000.000

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 0 0 . 0 ~ O P4 =More than $50.000.000

3. Value Method COd~ Q =Appraisal R =Cost {Real Es tate Only) S = A s s es s men t T =Cash Markcl

{Sc¢ Column C2) U B o o k V a l u e V =O~her W = Es t imated

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




o f 14

N a m e o f Person Report ing


Date of Report

06/20/2011

[ ~ ] NONE(N o re por tabl e income , a sse ts , or t ransact ions .)

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 io n s d u r i n g r e p o r t in g p e r i o d

( including n u s t a s s e t s )

P l a c e " C A ) " a f t e r e a c h a s s e t

e x e m p t f r o m p r i o r d i s c lo s u r e

I n c o m e d u r in g

r e p o r t i n g p e r i o d

(t) (2)

A m o u nt T y p e ( e . g . ,C o d e I d i v . , r e n t ,( A - H ) o r i n t . )


o f r e p o r t l n g p e r i o d

(i) (2)

Value Value


( J - P ) C o d e 3

(])T y p e ( e . g . ,

buy, se l l ,


(2) (3) (4) ( 5 )

D a t e V a lu e G a i n I d e n t i t y o f

m m / d d/ y y C o de 2 C o d e I b u y e r / s e l l e r

( J - P ) ( A - H ) ( i f p r i v a t e


1 0 3 . - K im b e r l y C l a r k C o r p ( C o m m o n )

104 . -Br i s to l My ers Sq uibb Co (Co mm o n )

1 0 5 . - Jo h n s o n & Johnson ( C o m m o n )

1 0 6 . - A m e r i c a n E x p r e s s C o ( C o m m o n )

1 0 7 . - B a n k o f A m e r i c a C o r p ( C o m m o n )

1 0 8 . - JP M o r g a n C h a s e & C o ( C o m m o n )

1 0 9 . - C h a rl e s S c h w a b C o r p ( C o m m o n )

1 1 0. - W e l l s F a rg o & C o N e w ( C o m m o n )

I 11. -Hew k e t t -Pack a rd Co (Comm on)

112. - In te l Co rD (Co mmo n )

1 1 3 . - M i c r o s o f t C o r D ( C o m m o n )

114. - V e r iz o n C o m m u n i c a ti o n s ( C o m m o n )

115 . Fro n t i e r Co mmun ica t io n s Co rp (Co mmo n )

116.

1 1 7 . -Forum Funds - A b so lu te S t ra t eg i e s Fd Ins t l

CI

1 1 8 . -Manning & Napie r Funds - Wor ld O pptys

Set Cl A

1 1 9 . -O ppenhe imer Funds - D eve lop ing Mk t s

Ins t l Fd C1 Y

S p in o f f

[ ( fr o m l i n e 114 )

S o ld

07/08/10

07/21/10

J

J

1. Incom e Gain Codes : A = $1,000 o r less B = $1,001 - $2.500 C = $2.501 - $5,000 D =$5.001 - $15.000

(See Columns B1 and D4) F = $50,001 - $100,000 G = 5100.001 - $1.000.000 111 =$1.000.001 - $5.000.000 112 = More than $5.000.000

2. Value Codes J =$15.1)00 or less K = $15.001 - $50.000 L = $50.0OI - 5100.000 M = 5100.001 - $250.000

(ScColumns CI and D3) N = $250.001 - $500.000 O = $500,001 - $1.000.000 PI =$1.000.001 - $5.000.000 P2 =55.000.001 - 525,000.000

P3 = $25,000.001 - 550.000.000 P4 =More than $50.000.000

3. V alu e M ethod Codes Q =Appraisal R =~ost (Real F, s tale Only) S = A s s es s men t T =Cash Market

{,See Column C2) U =Book Value V =O th e r W = Es l imated

E =S 15.001 - $ 5 0 .0 0 0




o f 14

N a m e o f P e ~ o n R e p o r t in g


D a l e o f R e p o r t

06/20/201 I

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, e, ~ a n so a S o ~ a n c l ~ d e s , h o se o /s v o ,s e ~ n d dependent children; see p p . 3 4 - 6 0 of fillng instruction£)

NONE (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 I n c o m e d u r in g


O) (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 nt T y p e ( e . g . ,

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t ,

i (A -H) o r i n t . )

120. Trus t #2

12 I . -Fed era ted Tax-Free Obl ig s Fd MM kt In s t l

C1#15 FFS

1 2 2. o B p P L C S p o n s A D R ( C o m m o n )

1 2 3 .

1 2 4 . - E x x o n M o b i l C o r p ( C o m m o n )

125. -General E lec t r ic Co (Comm on)

1 2 6 . - H o m e D e p o t ln c ( C o m m o n )

127 . -Abbo t t Labs (Co m mo n )

1 2 8 . - JP M o r g a n C h a s e & C o ( C o m m o n )

1 2 9 . - In t e l C o r p ( C o m m o n )

1 3 0 . -O ppenhe imer Funds-D eve lop ing M k t s Ins t l

Fd CI Y

1 3 1 . -Note Rec . (Mor tgage on ren t a l p rop # 1 -Pa r t

VI, Ln 1) (Y)

132. Trus t #3

133 . -General E lec t r ic (Com mo n)

1 3 4 . - Jo h n s o n a n d J o h n s o n ( C o m m o n )

135 . -W aI-Mar t Sto res In c (Co mm o n ) (X )

1 3 6 .



(1) (2)Value V a lu e


(J-p) C o d e 3

( Q-w)

T y p e ( e . g .,

buy. sell,


T r a n s a c t io n s d u r i n g r e p o t a in g p e r i o d

(2) (3) (4) ( 5 )


mnv’dd~’y Code 2 Code I buye r/se ller

( J - P ) (A-H) ( i f p r i v a t e


D Int./Div. N T

D o n a t e d

(part)

S o ld 05/07/10 J D

B u y 05/07/10 J

D ona ted

(part)

B Int . /Div. K T

So ld 06/07/10 J

(part)

So ld 07/26/10 J(p an )

D

B

1. Incom e Gain Codes : A = $1.000 or less B = $1,001 - $2,500 C $2.501 - $5.000 D -$5,001 - $15,000

(ScColumns Bl and D4) F =$50.001 - $100,000 G =$100.001 - $1.000.000 I I I =$l .000.001 - $5.000.000 112 =More than $5.000.000

2. Valu e Codes J = $15.000 o r le ss K = $15.0OI - $50.000 L =$50.0OI - $100.000 M =$100.001 - $250.000

ISeColumns CI and D3) N = $250,001 - $500.000 O =$500.001 - $1.000,000 P I =$ 1. 00 0. 0O I - $5 .0 OO .0 00 P 2 =$ 5. 00 0. 0O I - $2 5, 00 0. 00 0

P3 =$25.000.001 - $50.000,000 P4 =More than $50.000.000

3. V alu e M ethod Codes Q =Appraisal R = Co st (R ca l E sta te O nly ) S = Asscssm tm t T =Cash Market

(See Column C2) U =Book Value V =O lh e r W E s l l m a t ed

E =$15.0~1 - $50,000




o f 14

N a m e o f P e r s o n R e p o r t in g

TREADWELL, MARC T.


06/20/201 I

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 , t r a n s a c t i o n s ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 -6 0 o f f i l i ng i n s t ru c t i o n s . )



(in c lu d in g tru s t a ss e ts ) re p o rt in g p e rio d

~, (t) (2)

Place "(X)" after each asset i A m o u n t T y p e ( e . g . ,

e x e m p t f r o m prior disclosure ’ Code I div., r ent ,

(A-II) o r i n t . )



(I) (2)

V a lu e V a lu e


( J - P ) C o d e 3

( Q - W )

(i)

T y p e ( e . g .,

buy, sell,



(2) (3) (4) (5 )

Dat e V a l u e Gain Iden t i ty o f

mm/ddP~ C o d e 2 C o d e 1 buyer / se l l er

( J -P ) ( A - H ) ( i f p r iva te

t r ansac t i on)

1 3 7 .

138. Trust #4 Int./Div. M

S o ld

(part)

12 / 02 / 10 J

139 . -Gen er a l E lec t r i c ( C o mm o n )

14 0 . -H o m e Dep o t I n c (C o mm o n )

14 1 . - Jo h n so n an d J o h n so n ( C o m mo n )

1 4 2 . - M F S G r o w t h A l l o c a t io n F u n d C I C

143 . Bac Cl irn Globa l E (MLG EZ)

144. -Fidel i ty Adv H ealth Care Fd CI A

145. -Fidel i ty Advisor Growth & Incom e Fd CI A

146. -Putnam Research Fd CI A (Y)

147. -Putnam Eu rope Equ ity Fund CI A

148. -Putnam Investors Fd CI A

N o n e B u y

S o l d

S o l d

S o l d

S o l d

S o l d

07/30/10

07/26/10

07/26/10

07/26/10

07/26/I 0

07/26/10

J

J

J

J

J

J

149. -W al-Ma rt Stores Inc (Comm on) (X) So ld

(part)

12/02/10 J

I . Income Gain Codes: A =$1.000 or less B $1,001 - $2.500 C = $2,501 - $5,000 D = $5.001 - $15,000

(Se e C o lum n s BI a n d D 4 ) F $50.001 - $100.000 G =$100.001 - $1.000.000 Itl =$1.000,001 - $5.000,000 112 =Morelhan $5.000.000

2. Value Cod,.-s l -$15.000 or less K = $15.001 - $50.000 L = $50.001 - $100.000 M = $100.001 - $250.000

(S¢ c C o lum n s C I a n d D 3) N -$250.0OI - $500.000 O -$500.0OI - $1.000.000 PI =$1.000.001 - $5.000,000 P 2 = $ 5 . 0 0 0 . 0 O I - $ 2 5 . 0 0 0 . 0 O O

P3 = $25.000.0OI - $50.000.000 P 4 = M ore than $50.000.000

3, V alu e M ethod Codes Q =Appraisal R C o s ! IRc a l E s ta te O n ly ) S =Assessment T ~ a . s h M a r k e t

(Se e C o lum n C 2 ) U B ook Valu e V =O~her W -E s t im a te d

E-$15,001 - $50.000




of 14



Date of R e p o r t

06/20/201 I

VIII . ADDITIONAL INFORM ATION OR EXP LANATIONS. (Indicate part of repor~)

VII . INVE ST ME NT S A ND T R UST S

Par t VI I , L ine 29 : T h i s a sse t w as i nadve r t an t l y omi t t ed f rom repor t i ng pe r son’ s Nom ina t ion R epor t da t ed 2/5 /2010.

Par t VI I , L ine 70 : O n 3 /3 /10 , "D iamon ds T rus t Se r i e s i " w as exc hanged fo r "SPD R D ow Jones Ind us A v E T F T rus t " , w hic h w as sub sequen t ly so ld on 4/22110.

P a r t V l l , L i n e s 7 3 & 7 4 : O n 1 / 2 9 / 1 0 , "Midc ap SPD R T r Se r i e s I " w as exc hanged fo r "SPD R S&P Midc ap 400 E FT T rus t " , w hic h w as susequen t ly a ll so ld on4 / 2 2 /I O .

Par t VII , L in e 90: Th e "5 29 Co l leg e Savin g s P lan # 1" was co m p le t ly l iqu id a ted d ur in g 2010 a f t e r i t ’ s o n ly as se t was so ld o n 8 /3/2010. Th us , th e va lue a t

12/3 I /I0 was $-0-.

Pa r t VI I , L ine s 135 , 136 , 137 & 149 : D ur ing 2010 , sha re s o f WaI -Mar t Inc c o mm on s toc k w ere t r ansfe r red f rom T rus t s # 1 and # 2 ( t ru s t s fo r t he b ene f it o f t he

r epor t ing p er son s : : , . . . .i t o Trus t s #3 an d P4 (t rus t s fo r th e ben ef i t o f th e rep o r t in g p erso n ’s~ . Th en , a p o r t io n o f th e sh ares were subseq uen t ly so ld byboth trusts.

Par t VI I , L ine 146: T his a sse t w as i nadve r t an t l y omi t t ed f rom repor t i ng pe r son’ s No mina t i on Repo r t da t ed 2/5 /2010.




o f 14

Name of Per son R epor ting


I X . C E R T I F IC A T I O N .

Date of Report

06/20/2011

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 l u d i n g i n f o r m a t i o n p e r t a in 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 ) i s

a 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 bl e s t a t u to r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e.

I f u r t h e r c e r ti f y t h a t e a rn 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 ts w h i c h h a v e b e e n r e p o r t ed a r e i nc o m p l i a n c e ~v i th t h e p ro v i s io n s o f 5 U . S . C . a p p . § 5 0 1 e t . se q . , 5 U . S. C . § 73 5 3 , a n d Ju d i c i a l C o n fe re n c e re g u la t i o n s .

Signa t u r e : S [ M ARC T . T READW E L L

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V ILAN D CR IMIN AL SAN CTION S (5 U.S.C . ap p . § 104)

Comm ittee on Financia l DisclosureAdministrative Office of the United States Courts

Suite 2-301

One Colum bus Circle , N.E.W ashington, D.C. 20544



,40 I0Rev. 1/2011 I FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 2010

Report Re quired by the Ethics

in Governmen t Act o f 1978

(5 U.S.C. app. f§ lOl-Ill)

I . Person Reporting (last name, f irst, middle initial)


4 . T i t l e ( A r t i c le I I I j u d g e ~ i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or part- time)

U. S . D I S T R I CT J UD GE - A CT I VE

7 . C h a m b e r s o r O f f ic e A d d r e s s

P . O . B OX 65

M A CO N , GA 31202

2 . C o ur t o r O r g a n i z a t i o n

UN I T E D S T A T E S D I S T R I CT CO UR T , M I D D L ED I S T R I C T O F G E O R G I A

5a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e D’pe)

] N o m i n a t i o n , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f ic a t i o n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , i n c o m p l i a n c e

w 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 i o n s .

3 . D a t e o f R e p o r t

9/I/201 I

6 . R e p o r t i n g P e r i o d

01/01/2010

to

12/31/2010

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

I M P O R T A N T N O T E S : The i n s t ruc ti ons accompany ing t h i s fo rm m us t b e followe,t Comp lete ali parts,

checking the NONE box for each part where you have no reportable informatiot~ Sign on last pag~

I . P O S I T I O N S . m , ro r ~ n g i n d i v id u a l o n l y ; ~ e e w . 9 - l S of fillng instruction~ )

D NONE (No reportable positions.)

POSITION

1. Vi c e P r es i d en t

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

Adam s, Jordan & Treadw ell , P.C. (1/1/2010 - 6/25/2010)

I I . A G R E E M E N T S . m e p o n i . g individual only; see pp. 14-16 of f iring instructions.)

D NON E (No repor table agreem ents . )

DATE_ PARTIES AND TERMS

1.7 /31/2010 A d a m s, Jo rd a n & Tre a d w ell, P .C . - A g re e m en t to re c e ive o n e te rm in a tio n p a ym en t o n o r be fo re 9 /30/2010, a n d a fin a lpaymen t on or before 12/31/2010.

2.7/31/2010 Adams, Jordan & TreadweII , P.C. - Agreement by the Corporat ion to make the appropr ia te cont r ibut ion for 2010 to the

r e p o r t in g p e r s o n ’ s 40 1 K r e t i r e m e n t a c c o un t .




Page 2 of 14




9/I/2011

I I I . N O N - IN V E S T M E N T I N C O M E . tRepo~i ,~ indivi ,uol ondspo,se: seepp. I Z-24

A. Flier’s Non-Investment Income

D NONE non-inves tment income . )N o reportable

D A T E SOURCE AND TYPE INCOME

(yours, not spouse’s)

1. 2010 A d ams , J o rd an & T read wel l , P .C. - Sa la ry an d t e rmin a t io n p aym en ts $167,000.00

2.2010 Mercer L aw Scho o l - Sa la ry $2,000.00

3.

4.

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

~ (No reportable income.)ONE non-inves tment

DATE

I. 2010

2.

3.

4.

SOURCE AND TYPE

Sel f - emp lo yed l an d scap e a rch i t ec t (d /b /a WT D es ig n s )

I V . R E I M B U R S E M E N T S -,ro.~ponoao., Iodging,~’ood, entertainment

(Includes those to spouse and dependent children: see pp. 25-27 of filing instructions.)

~ (No repor table re imbursem ents . )ONE

2.

3.

4.

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED




Page 3 of 14

N a m e o f P e r s o n Repor ting


Date of Report

9/I/2011

V . G I F T S . a n c l u d , ~ t h o s e , o s p o . s o and dependent children; s e e p p . 2 8 - 3 1 of filing instructions.)

N O N E ( N o reportable g~s.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T IE S . a , c l .d o s , h o s e o l s p o , , e , .d dependent children; see p p . 3 2 - 3 3 of filing instructions.)

~ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

1. Trus t #2

2.

3.

4.

5.

Mortga ge on ren ta l proper ty #1, Fr ipp Is land, SC (Par t Vl l , l ine 4)

VALUE CODE

M




Page 4 of 14




9/I/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 l u e , t ~ a . s o c t i o , ~ (Includ~ those of spouse a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)

D (No reportable assets, orONE income, transactions.)

De~er i p t i on of Asset s I n c o m e d u r i n g


i (~) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o un t T y pe ( e . g .,

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 d i v . ,( A - H ) o r i n t . )

I. Ban k o f A mer ica A cco un t (X) A Interest

2. Wells Farg o A cco u n t (X) A Interest

3. SunTrus t Accoun t (X) A Interest

4. Rental Property # I , Fripp Island, SC E Rent

5. Northwestern Mutual - Whole Life pol icy #1 A D ivid en d

6. Nor thwes t e rn M utua l - W hole L i fe po l i cy # 2 A D ivid en d

7. Nor lhwes t e rn M utua l - W hole L i fe po l i cy # 3 A D ivid en d

8. Nor thwes t em M u tua l - Whole L i fe po l i cy # 4 A D ivid en d

9. Broke rage # 1

1 0 . - Merr i l l L yn ch Cash Man ag emen t A cco un t B Interest

1 1 . - Po wershares VRD O T ax Free Fun d A Interest

1 2 . Bro kerag e #2

1 3 . - Merr i l l L yn ch Cash Man ag emen t A cco un t E Interest

1 4 . - A m e r ic a n E x p r e s s C o m p a n y ( c o m m o n ) A D ivid en d

1 5 . - A mer ip r i s e F in an c ia l In c (co mmo n ) A Dividend

1 6 . - Br i s to l - Myers Sq uibbCo (co mmo n ) A Dividend

1 7 . - G e n e r a l E le c t r ic ( c o m m o n ) A Dividend



0) (2)Value Value


( J - P ) C o d e 3

( Q - W )

J T

J T

K T

N W

K T

K T

K T

K T

N T

M T

K T

K T

J T

K T

J T


(I) (2) (3) (4) (5 )

T y p e (e.g . , D a t e Value Gain I d e n t i t y o f

buy, sell, mm!dd/yy Code 2 Code I buye r/se ller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e


I . I n c o m e G a i n C o d e s : A = $1.000 or less B = $1.001 - $2.500 C = $2.501 - $5,000 D = $5.001 - $15.000

(Se e Co lu m n s BI a n d D 4 ) F =$50,001 - $100,000 G =$100.001 - $1.000.000 I I I = $1 .0 OO .0 01 - $5 .0 00 .0 00 1 12 = Mo r e t ha n $5 .0 00 .0 00

2. Valu e Codc ~ J = $15.000 or Ic es K = $15.001 - $50.000 L =$50.001 o $10~,000 hi =$10~.001 - $250.000

(See Colurnr ts CI and D3) N = $ 2 5 0 . 0 0 1 - $ 5 0 1 1 . 0 0 0 O - $50 0.001 - $1.000 .000 P I -$ 1,0 00.0 01 - $5.0 00.0 00 P2 =$5.0~0.001 o $25.000.000

P3 =$25.00~.001 - $50.000.000 P4 =M ore than $50,000.000

3. Value Method Codes Q =Appraisal R =cost lRcal I .s ta le Only) S = As s es s men t T =Cash Markcl

(See Column C2) U = B ook V alue V =Other W = Es l imated

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



FINANCIAL DISCLOSURE REPOR T

Page 5 of 14

N a m e o f P e r ’ s o n R e p o r t in g



9/I/2011

V I I . IN 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: seeplx

34-60 of filing instructions.)

D (No reportable assets, orONE i ncome, transactions.)

D e s c r i p t io 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

( i nc l udi ng t r us t asse t s)

P l a c e " ( X ) " a f t e r e a c h a s s e t

exempt from prior disclosure

Income d u r in g G r o s s v a lu e a t e n d

r epor t i ng per i od o f r e p o r t i n g p e r i o d

(I) (2 ) (I) (2) (I) (2) (3) (4) (5 )

A m o u n t Type (e.g., V a l u e V a lu e T y p e ( e .g . , Dat e V a l u e Gain Iden t i ty o f

C o d e I di v . , r en t , C o d e 2 M e tho d b uy , se l l , m m ! d d ~ ’ y C o d e 2 C o d e I b u y e r f s e l l e r

( A - H ) or i n t . ) ( J - P ) C o d e 3 ~-d e m ptio n ) ( J -P ) ( A - H ) ( i f p r iva te

( Q - W ) t r ansac t i on)

1 8 . - H o m e D e p o t I n c ( c o m m o n ) A D ivid en d J T

19 . -Johnson and Johnson (common) A Dividend K T

20. -KJmb er ly C la rk ( commo n) B Dividend K T

21. -Zimmer H o l d i n g s I nc ( c o m m o n ) A Dividend J T

22. Brokerage #3

23. - Mo rg an Stan ley Smi th Barn ey B a n k A Interest K T

Deposi t Program (X)

24. -AT&T Inc ( c o m m o n ) A Dividend

25. -Coca-ColaCo ( c o m m o n ) A Dividend

26. -WaI-Marl Storeslnc ( com m on) B Dividend

27.

28. Brokerage #4

29 . -Merrill Lyn c h Cash Man ag emen t A c c o u n t A Interest . L T

Iv )

30 . Brokerage #5

31 . -Amazon.com ( c o m m o n ) None

32 . -CTRIP.com Intl Ltd ( c o m m o n ) None

33 . -Dell lnc ( c o m m o n ) None

34 . -Earthlink lnc ( c o m m o n ) None

So ld 05/17/10 J

So ld 05/17/10 K

So ld 05/17/10 J

Dona ted( p a a )

So ld 03/05/10 J

So ld 03/05/10 J

Sold 06/05/10 J

Sold 03/05/10 J

D

A

I . Income Gain Cedes: A =$1.000 or less B = $1,001 - $2,500 C = $2,501 - $5.000 D =$5,001 - $15,0~0

(Se e Co lu m n s BI a n d D 4 ) F =$50.001 * $ 100.00~ G =$I00.001 - $1.000.000 I 11 =$ 1. 00 0. 00 1 - $ 5. 00 0, 00 0 1 12 = M or e t ha n $5 ,0 00 .0 00

2. Value Cod,-s J = $15.000 or le~s K -$ I 5.001 - $50.000 L = $ 5 0 . 0 ~ I - $ 1 0 0 . 0 O O M =$ 100.001 - $250.1~0

ISe e Co lu m n s CI a n d D 3) N = $250.001 - $500.000 O :$500.001 - $1.000.0O0 PI -$1.000.001 - $5.00O.0Q O P2 = $5.000,001 - $25.0~0.000

P3 = $25.0~).001 - $50.0/30.090 P 4 = More than $50.000.000

3. Value Method Cod,’s Q =Appraisal R =(’osl (Real Estate Only) S = A s s ~ ss m ~ " n l T =Cash Markel

I See Column C2) U -Bo o k Va lu e V =O~her W = E s ~ i r n a te d

E = $15,001- $50,000




Page 15 of 1 4

N a m e o f P e r so n R e p o r t in g

TREADWELL, MARC T.


9/1/2011

V I I . IN V E S T M E N T S a n d T R U S T S - i n co ,n e , v, lu e . ~ u . ~ . c t~ o , ~ a n c l . d e s th o s e o / s p o . s e ~ n d dependent children; s e e p p . 3 4 - 6 0 of fi l ing inst ruct ions. )



( in c lu d in g tru s t a s se ts) re p o rt in g p e r io d

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

e x e m p t f r o m p r i o r d i s c l o s u r e ~ C o d e I d iv . , r en t ,

i (A-H) or i n t . )


of r epo r t ing pe r iod

O) (2)

V a lu e V a lu e

C o d e 2 M e tho d

( J - P ) C o ~ e 3

( Q - W )

(i)

T y p e ( e . g .,

buy, sell,


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

(2) (3) (4) (5 )


m m / d d / ~ i y Code 2 Code I buyer/seller

( J - P ) (A-H) ( i f p r i v a t e


35 . - E x p e d ia I n c ( c o m m o n ) No n e So ld 03/05110 J

36. -G o o g le ln c (c o m m o n ) N o n e S o ld 03/ 05 110 J A

37. IRA#1 A Dividend M T

38 . - Merr i l l L yn ch cash ho ld in g acco u n t

39 .

40 .

41 .

-Ishares Dow Jones US Basic MaterialsSector Index Fd

-Ishares Dow Jones US Consumer GoodsSector Index Fd

So ld 02/05/10

Bu y 02/17/10

(ad d ’ l )

So ld 04/22/10

J

J

J

42. -Ishares Dow Jones US Consum er ServicesSector Index Fd

43.

Bu y 02/17/10 J

So ld 04/22/10 J

44. -lshares Dow Jones US Financial SectorIndex Fd

45 . - I shares D o w J o n es US E n erg y Sec to r In d exFd

46 . -Ishares Dow Jones US H e a l t h c a r e S e c t o rIndex Fd

47 .

So ld 04/22/I 0

So ld 04/22/10

Bu y 02/17/10

So ld 04/22/10

J

J

J

J

B

A

A

48 . - I shares D o w J o n es US Rea l E s ta te In d ex Fd

49 .

B u y 02/17/10 J

( a d d ’ l )

Sold 04/22/10 J A

50. - I sh a r es FT S E X i n h u a H K Ch i n a 25 I n d exFd

51.

S o ld 01/28/10 J

S o ld 02/04110 J

I . Income Gain Codes: A =51.000 or less B =$1,001 - $2.500 C = 52,501 - $5,0~0 D = $5,001 - $15,000

(See Col umns B I and D4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 G =$ 100,001 - $ 1.000.000 1 1 1 = $ 1 , 0 0 0 . 0 ~ 1 - $ 5 . 0 0 0 . 0 0 0 1 1 2 = M o r e t h a r t $ 5 . 0 0 0 . 0 0 0

2. Valu e Codes J =515.000 or less K =$15.001 o 550.000 L = $50,001 - 5100.000 M = $100.001 - $250.000

1See Columns CI and D3) N = $250.001 - 5500.000 O = $500.001 - $1.000.000 P I = $1.000.001 - $5.000,000 P2 = $5.000,001 . $25,000.000

P 3 = $ 2 5 . 0 O O . 0 O I - $ 5 0 . 0 0 0 .0 0 0 P4 = More than 550.000.000

3. Value Mclhod Codes Q =Appraisal R .:Cost (Real Estale Only) S =Assessmumt T -~Cash Market

(Se e Colu m n C2) U -B o o k Valu e V =O~hcr W =Estimated

E =$15.001 - 550,000




Page 7 of 14




9/1/2011

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 , v a lu e , t ru , ~ a c t l o ~ a n c l ~ d e s t h o s e o f ~ p o ~ s e a n d dependent children; s e e p p . 3 4 - 6 0 of filing instructions,)


A. B. C. D.

Description of Assets Income du ring Gross value at end Transactions during reporling period

(including trust assets) r e p o rt i n g p er i o d o f re p o rt i n g p er i o d

(I) (2) (I) (2) (1 ) (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 ., Value Value T y p e ( e . g ., Dale Value Gain I d e n t i t y o f

exempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 M e t ho d buy, sell, m m /dd/yy Code 2 Code I buyer/seller

(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) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

52 . - I shares MSCI E A FE In d ex Fd So ld 02/05/10 J A

53. - I sh a r es M S CI E mer g i n g M k t s I n d ex Fd S o ld 02/05110 J A

54 . - Ishare s S& P L a tin A m er ic a 40 In d ex Fd So ld 02/05/10 J A

55 . - I shares S&P M id cap 40 0 Gro wth Bu y 02/17/10 J(ad d ’ l )

56 . So ld 04122/10 J

57 . - I shares S&P Mid cap 40 0 /Barra Value In d e :~ Bu y 02/17/10Fd (ad d ’ l )

58 . So ld 04/22/10

59 . - I shares S&P Smal l cap 60 0 Value In d ex Fd Bu y 02/17/10

60 . So ld 04/22/I 0

J

J

J

J

61. - I shares S&P 50 0 Gro wth In d ex Fd So ld 04/22/10

62 . - I shares S&P 50 0 Value In d ex Fd Bu y 02/17/10

(ad d ’ l )

63 . So ld 04/22/10

J

J

J A

65 .

66 .

67 .

68 .

- I shares T rus t D o w J o n es US T echn o lo g y

Sec to r In d ex Fd

- Ishares T rus t D o w J o n es US In d us t r i a lSec to r In d ex Fd

So ld 04/22/10

Bu y 02/17/10

(ad d ’ l )

So ld 04/22/10

J

J

J

- P imco Un co n s t ra in ed Bo n d Fun d CI P Sold 04/23/I0 J

-Powersha re s QQ Q Tr Uni t s Se r I S o ld 04/22/10 J

A

A

B

I. Income Gain Codes :

(Se e Co lu m n s BI a n d D 4 )

2. Value Codc~

(S¢c Co lumns CI and DJ )

3. Value Method Codes

ISce Column

$1.000 or less

=$50.001 - $100.000

=$15.000 o¢ Ices

=$250.001 - $500.000

P3 =$25.000.001 - $50.000.000

=Appraisal

- Book Value

B =$1,001 - $2.500

G =$100.001 - $1,000.000

K =$15.001 - $50.0~)

0 =$500.001 -

R =Cost (Rcal Estate Only)

V =O~her

C =$2,501 -

I I I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0

L *$50.0~1 - $10~.0~)

PI =$1,000.001 - $5.000.000

P4 = More than $50.000.000

S =Asscssmcnt

W =E s f im a tcd

D -$5.0OI - $15.000

112 =More than $5.000.000

M =$100.001 . $250.000

P2 =$5.0~0.001 - $25.000.000

T =Cash Markcl

E =$15,0~1 - $ 5 0 . 0 ~ O




Page 8 of 14




9/I/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 , v a l u , , t r a n s a c t io n s ~ t nc t ude s ,hose o f spoase a nd d e p e n d e n t ch i l d r e n ; s e e p p . 3 4 - 6 0 of f i l ing ins t ruc t ionx)




(1) (2)

Place "(X)" after each asset A m o u n t T y p e ( e . g . ,

e x e m p t f r o m prior disclosure [ C o d e I div., r ent ,(A-H) or i n t . )



(I) (2)

Value V a lu e


( J - P ) C o d e 3

( Q - W )

(1)

T y p e ( e . g .,

buy, sell,



(2) (3) (4) (5 )


m m/d d/yy Co de 2 Code I buye r/se ller

( J - P ) (A-H) ( i f p r i v a t e


69 . -D i amo n d s T r u s t S e r i e s I

70. -S P D R D o w J o n es I n d u s A v E T F T r u s t

B u y 02117/10 J

( ad d ’ l )

S o ld O4/22/10 J

71.

72.

73.

74.

-SPDR S P Emergin g Asia Pacific

-SPDR S P Emerging Eur ope

-SPDR S&P Mid cap 400 ETF Trust

So ld

So ld

Bu y

(ad d ’ l )

So ld

02/05/10

02/05/10

!02/17/10

: 04/22/10

J

J

J

J

75. - Stan d ard &Po o rs D ep Rcp t

76. - V a n K a m p e n B d F d l n c

77. IRA # 2

78 . - Smi th Barn ey Ban k D ep o s i t P ro g ram casha c c o u n t

79 . - Cap i t a l In co m e Bui ld er Fd CI B

80 . -C ap i t a l Wor ld Growth & Income Fd C I B

81 . -Washing ton M utua l Fund C I B

82 . 401(k) Retirement Plan

83 . - A m e r i c a n F u n d s - G r o w t h F u n d o f

A m e r i c a - R 2

84 .

85 .

Int./Div.

Dividend

So ld

So ld

O p en

Sold

Sold

B u y( ad d ’ l )

B u y

( ad d ’ l )

Bu y(ad d ’ l )

02/04/10

04/22/10

05/21/10

05/17/10

05/17/10

06/30/10

09/10/10

12/30/10

J

J

K

K

K

J

J

J

I . Income Gain Codes: A = $1,000 o r less B = $1,001 - $2.500 C = $2.501 - $5.000 D =$5.001 - $15.000

(See Columns B 1 and D4) F =$50,001 - $ 100,00~ G= $ 10 0. 00 1 - $ 1 .0 00 .0 00 I I I =$ 1. 00 0, 00 1 - $5 .0 00 .0 00 1 1 2 = M o r e t h u n $ 5 , 0 0 0 . ~ 0 0

2. Value Codcs J = $15,000 o r le ss K ~$15.001 - $50.000 L = $50,001 - $100.000 M :$100.001 . $250.000

(Se e Co lu ra ra CI a n d D 3) N :$250.001 - $5C~.000 O -$500,001 - $1.000.0~0 P I = $1 ,0 00 .0 01 - $ 5, 00 0, 00 0 P 2 =$ 5. 0( ~. 00 1 - $ 25 .0 00 ,0 00

P3 =$25,000.001 - $50.000,000 P4 =M ore lhan $50.000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Es tate Only) S = A s s ~ s s n lc - n l T =Cash Market

(See Column C2) U = B ook V alue V =Other W :Eslimalcd

E :$15,0~1 - $50.000




Page 9 of 14

N a m e o f P e r s o n Repor ting


Date of R e p o r t

9/1/2011


Description of Assets Income du ring

(including trust assets) r e p o r t i n g p e r i o d

i O) (2)

P l a c e " C A ’ ) " a f te r e a c h a s s e t i A m o u n t T y p e (e.g . ,

exempt from prior disclosure [ Code I d i v . , r e n t ,

i ( A - H ) o r i n t . )

Gross value at end


O) (2)

Valu e Valu e

Code 2 M e t ho d

( J - P ) Code 3

( O - w )

86 . - A mer ican Fun d s - In ves tmen t Co mp an y o fA m e r i c a - R 2

87 .

88 . - A mer ican Fun d s - Fun d amen ta l In ves to rs -

89 .

90 . 529Col lege Savings Plan #1

91 . -B lackrock 100% Equi ty Por t

92. 52 9 Co l leg e Savin g s P lan #2

93 . - Blackro ck 1 0 0 %E q ui ty Po r t

94 . Trust#1

95 . -Fede ra t ed Tax-Free Ob l igs Fd M M kt Ins t lC1#15 FFS

96 . - B P P L C S p o n s AD R ( c o m m o n )

97 . - E x x o n M o b i lC o r p ( C o m m o n )

98 . - P raxa i r the (Co mmo n )

99 . - Gen era l E lec t r i c Co (Co mmo n )

1 0 0 . - H o m e D e p o t I n e ( C o m m o n )

1 0 1 . - C o c a - C o la C o ( C o m m o n )

1 0 2 . - C o l g a te P a l m o l i v e C o ( C o m m o n )

No n e

None

E Int./Div.

Transactions during reporting period

(I) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

buy, sell, m m / d d ~ , , y Code 2 Code I buyer!seller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e


Bu y 0 9 1 1 0 / 1 0 J(ad d ’ l )

Buy 12130/10 J

(ad d ’ l )

Bu y 09/30/10 J

(ad d ’ l )Bu y 12/30/10 J

(ad d ’ l )

Sold 08/03/10 J

S o ld 05/07/10 K

(par l )

B u y 05/07110 K

I . Income Gain Codes: A = $1.000 or less B = $1,0Ol - $2,500 C $2,501 - $5.000 D =$5,001 - $15.000

(See Columns B I and D 4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 G =$100.001 - $ 1.000.000 1 1 1 = $ 1. 00 0 , 0 91 - $ 5 .0 0 0 .0 0 0 1 1 2 = M o re th a n $ 5 . 00 0 . 0 0 0

2. V a l u e C o d e ~ J =$15.0(~1 or less K = 115.(~)1 - $50,000 L =150,001 - $100.000 M = $100.001 . $250.0(~

(S¢c Co lu m n s CI a n d D 3) N = $ 2 5 0 . 1 )0 1 - $ 5 0 0 , 0 0 0 O = $5 00 ,00 1 - $ 1. 00 0. 00 0 P l = $1 .00 0. 001 - $ 5.0 00 .00 0 P2 =$ 5.000.001 - $25.000.~

P3 = $25.000.0OI - $50.0~0.000 P 4 = More than $50.000.0~0

3. Value Method Codes Q =Appraisal R =Cost (Real Es tate Only) S =Asscssmc’nt T = = C a s h M a r k e t

(See Column C2) U :Bo o k Va lu e V = O ~ h o " W :Estimated

E =$15.001 -$50,000




Page 10 of 14

N a m e o f P e r s o n R e p o r t in g

TREADWELL, MARC T.

D a t e o f R e p o r l

9/I/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, ralue, transactions (lnclude~ those of spouse and dependent children; see pp. 34-60 of filing instructions.)



( i nc l udi ng t r us t asse t s) r epor t i ng per i od

O) (2)

Place "(X)" after each asset 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 i s c l o s u r e C o d e I di v . , r en t ,

i (A-H) or i n t . )



(I) (2)

V a l u e V a l u e


( J - P ) C o d e 3

( Q - W )

(I)

T y p e ( e . g .,

buy, sell,



(2) (3) (4) (5 )

Dat e V a l u e Gain Iden t i ty o f

m m ! d d ~ ’ y C o d e 2 C o d e I b uy er / se l l er

( J -P ) ( A - H } ( i f p r iva te

t r ansac t i on)

103. -K i mb er l y Cla r k Co r p ( Co mm o n )

1 0 4 . -B r i s t o l M y er s S q u i b b Co ( Co mmo n )

1 0 5 . - J o hn s o n & J o hn s o n ( C o m m o n )

1 0 6 . - A m e r i c a n Ex p r e s s C o ( C o m m o n )

1 0 7 . - B a n k o f A m e r i c a C o r p ( C o m m o n )

108. - J P M o r g an Ch ase & Co ( Co mm o n )

1 0 9 . -Ch ar l e s S c h w ab Co r p ( Co mmo n )

1 1 0 . - W e l l s Fa r g o & C o N e w ( C o m m o n )

I l 1 . - H e w k e t t -P a c k a r d C o ( C o m m o n )

1 1 2 . - I n t e l C o rp ( C o m m o n )

1 1 3 . - M i c r o s o f t C o r p ( C o m m o n )

1 1 4 . -Ver i z o n Co mmu n i c a t i o n s ( Co mmo n )

1 1 5 . F r o n t i e r C o m m un i c a t i o n s C o r p ( C o m m o n )

1 1 6 .

Spinoff

(from line 114)

S o l d

07/08/10

07/21/I0

J

J

1 1 7 . -Fo r u m Fu n d s - A b so l u t e S t r a t eg i es Fd I n s l l

C1

1 1 8 . -M an n i n g & N a p i e r Fu n d s - W o r l d O p p t y s

Set CI A

1 1 9 . -O p p en h e i mer Fu n d s - D ev e l o p i n g M k t s

l n s t l F d C I Y

I . Income Gain Codes: A $1.000 or less B $1,0~1 - $2,500 C =$2,501 - $5,000 D =$5.001 - $15,000

(See Columns B I and D4) F =$50.001 - $100.000 G = $ 1 0 0 , 0 0 1 - $ 1 . 0 0 0 . D O 0 I I l =$ ] .000.001 - $5.000.000 112 =More lhan $5.000.000

2. Vah~ Codes J =$15,000 ot less K = $15.~01 - $50.000 L = $50.001 - $100.000 M =$10~.001 - $250.000

(S,ze Columns CI and D3) N $250.001 - $500.000 O =$500.001 - $1.000.000 P 1 = $1.000.001 - SL000.000 P2 =$5.000.001 " $25.000- ~0 0

P3 =$25.000.001 - $50.000.000 P4 =Mo re Ihan $50.000.0~0

3. Valu e M ethod Codes Q = Appraisa l R =Cost (Real Es tate Only) S = As s es s men t T =Cash Market

(See Coh ,nn C2 ) U = B o o k V a l u e V =Other W -Estimated

E =$15,0~1 - $50.000




Page 11 of 14

N a m e o f P e rs o n R e p o r t i n g



9/1/2011

V I l . 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 t . , , ~ a . ~ a c , io . ~ a . e lu d ~ , h o s . o / s p o u s , a n d d ~ p ~ . d e . t c h i ld r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)


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 nc l udi ng t r us t asse t s) r epor t i ng p~r i od of r epo r t ing pe r iod

(I) (2 ) (1) (2) (I) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t T y p e ( e . g . , V a lu e V a lu e T y p e ( e . g . , Dat e V a l u e Gain Iden t i ty o f

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e 1 d iv . , r en t , C o d e 2 M e tho d b u y , s e ll , m m / d d ~ , y C o d e 2 C o d e I b uy er / se l l er

( 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 ) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

120. Trust #2 D Int./Div. N

1 2 1 .

1 2 2 .

1 2 3 .

-Federated Tax-Free Obligs Fd MMkt Inst l

C1#15 F F S

- BP PL C Sp o n s A DR (Co mm o n ) Dona ted

(part)

So ld 05/07/10

1 2 4 .

1 2 5 .

1 2 6 .

1 2 7 .

1 2 8 .

1 2 9 .

1 3 0 .

1 3 1 .

132. Trust #3

133. -Gen er a l E lec t r i c ( Co mm o n )

134 . - Jo h n so n an d J o h n so n ( Co mm o n )

135 . -W aI -M ar t S to r es I n c ( Co mm o n ) ( X )

1 3 6 .

- E x x o n M o b i l Co r p ( C o m m o n )

- Gen era l E lec t r i c Co (Co mmo n )

- H o m e D e p o t I n c ( C o m m o n )

- A bbo tt L abs (Co mmo n )

- JP M o r g a n C h a s e & C o ( C o m m o n )

- In te l Co rp (Co mm o n )

-Oppenhe imer Funds-Dev e lop ing M kt s Ins t lFd CI Y

- No te Rec . (Mo rtg ag e o n ren ta l p ro p #1 - Par t

VI, Ln 1) (Y)

B Int./Div.

Bu y 05/07/10

Dona ted

(part)

T

So ld 06/07/10 J

(part)

Sold 07/26/10 J(p an )

D

B

I. In com e Gain Code s: A -$1,000 or less B =$1,001 - $2.509 C -$2.501 - $5.000 D =$5.0~1 - $15,000

{ See Columns B I and D4 ) F -$50.001 - $ 100,000 G = $ 100.001 - $ 1,000.000 I I I = $ 1.000.001 - $5.000.000 1 1 2 = M o r e t h an $ 5 . 0 0 0 . 0 0 0

2. Value Codes J =$15,000 or less K =$15.001 - $50,000 L =$50.~OI - $ 1 0 0 . 0 0 0 M =$100.001 - $250.000

ISce Co lu m n s CI a n d D 3I N =$250.001 - $500.000 O =$ 500.001 - $ 1.000.00~ P I = $1,000,001 - $ 5,000.000 P 2 = $5 ,000.001 . $ 25 ,009 ,000

P3 =$25.000.001 - $50.000.0~0 P4 =Mo re than $50.000.090

3. Value M,:thod Codes Q -Appraisal R =Cost IRcal Estate Only) S =Assessment T =C~h M arke t

t .See Column C2) U = H ook V alue V =Otho" W =Estimated

E =$15,001-$50,000




Page 12 of 14


TREAD\VELL, MARC T.


9/I/201 I

V I 1 . 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 (Includes those o fsponse and dependent children; see p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t l o n ~ )


D e s c r i p t io 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

( i nc l udi ng t r us t asse t s)

P l a c e " ( X ) " a f t e r e a c h a s s e t

e x e m p t f r o m p r i o r d i s cl o s u r e

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

r e po rt in g I~ rio d o f re po rt in g p er io d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )

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 . , Dat e V a l u e Gain Iden t i ty o f

C o d e 1 d iv . , re n t , C o d e 2 M e th o d b u y, s e ll , m m / d d h / y C o d e 2 C o d e I b uy er / se l l er

( A - H ) or i n t . ) ( J - P ) C o d e 3 r e d e m p tio n ) (J-P ) (A -H ) ( i f p r iva te

( Q - W ) t r ansac t i on)

1 3 7 .

138 . T r u s t # 4 Int./Div. M T

Sold 12/02110 J(part)

1 3 9 . - G e n e r a l E l e c tr i c ( C o m m o n )

140. - H o m e D e p o t I n c ( C o m m o n )

1 41 . - J o hn so n an d J o hn so n (Co mmo n )

142. -MFS G row th Allocation Fund CI C

143. Bac Clim G lobal E (MLG EZ)

144. -Fidelity Adv Health Care Fd CI A

145. -Fidelity Advisor Gr owth & Income Fd CI A

146. -Putnam Research Fd CI A (Y)

147. -Putnam Europe Equ ity Fund CI A

148. -Putnam Invest ors Fd CI A

149. -Wal-Mart Stores Inc (Common) (X)

No n e Bu y 07/30/10

So ld 07/26/10

So ld 07/26/10

So ld 07/26/I 0

So ld 07/26/10

So ld 07126/10

So ld 12/02/10

(part)

J

J

J

J

J

J

J D

I . Income Gain Codes: A =$1.000 or less B = $1,001 - $2.500 C = $2,501 - $5,000 D =$5,0OI. $15,000

( S ee Co lumns B I and D4 ) F =$50.001 - $ 100,000 G =$ 100.001 - $1,000.000 I I I = $ 1,000,001 - $5.000,000 1 1 2 = M o r e t h an $ 5 . 0 0 0 .0 0 0

2. Value Codes J =S 15.0~O or less K =SI5,001 - $50.000 L =$50.0OI - $100.000 M =$100.001 - $250.000

{See Columrts CI 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 ore than $50.000.000

3. Value Mclhod Codes Q -Appraisal R ~os ! (R ea l Es ta te On ly) S =Asscssmcnl T =C~h M arke t

(See Column C2) U -Bo o k Va lu e V = OIhc r W -Estim a ted

E = $15,001- $50,000




Page 13 of 14

N a m e o f P e r s o n Report ing


Date of R e p o r t

9/I/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

VII . INVESTM ENTS AND TRUSTS

Par t VI I , L ine 29 : Thi s a sse t was i nadv e r t an t ly omi t t ed f rom repor t i ng pe r son’ s Nom ina t ion R epor t da t ed 2 /5/2010.

Pa r t Vl l , L ine 7 0: On 3 /3/10 , "Diamonds Tru s t Se r ie s 1" was exchang ed fo r "SPDR D ow Jones Ind us Av ETI= Trus t " , whi ch w as sub sequen t ly so ld on 4/22/10.

Par t VII , L in es 73 & 74 : On 1 /2 9 /1 0, "Mid cap SPD R T r Ser ies I" was exchan g ed fo r "SPD R S& P Mid cap 40 0 E FT T rus t " , wh ich wa s suseq uen t ly a l l so ld o n4/22/10.

Par t VII , L in e 90 : T he "52 9 Co l leg e Savin g s P lan #1 " w as co m p le t ly l iq uid a ted d ur in g 2 0 1 0 a ft e r i t ’s o n ly as se t was so ld o n8/3/2010. Thus, the value a t12/31/10 was $-0-.

Pa r t VI I , L ine s 135, 136, 137 & 149 : Dur ing 2010, sha re s o f Wal -M ar t Inc c omm on s tock w e re t r ansfe r red f rom Trus t s # 1 and # 2 ( t rus t s fo r t he b ene f i t o f t he

r e p o r t i n g p e r s o n ’ s ~ t o T r u s t s # 3 a n d # 4 ( t r u s t s f o r t h e b e n e f i t o f t h e r e p o r t in g p e r s o n ’ s . Then , a por t i on o f t he sha re s we re su b sequen t ly so ld b yboth trusts.

Par t VI I , L ine 146: This a sse t was i nadv e r t an t ly omi t t ed f rom repor t i ng pe r son’ s Nom ina t i on Repor t da t ed 2/5/2010.




Page 14 of 14

Name of Per son Repor ting


Date of Report

9/I/2011

IX . CERTIFICATION.

I c e r t i f y t h at 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 l u d i n g i n f o r m a t i o n p e r t a in 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 ) i sa c c u r a t e , t ru 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 fo 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 ld b e c a u s e i t m e t a p p l i c a b le s t a t u t o r yp r o v i s io n s p e r m i t t in g n o n - d i s c l o s u r e .

I f u r t h e r c e r t i 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 ~ v h i c h h a v e b e e n r e p o r t e d a r e i ncompl iance wi th the p rovis ions o f 5 U.S .C . app . § 501 e t . seq . , 5 U.S .C . § 7353, and Jud ic ia l Conference r egu la t ions .

Signatu re: S[ M ARC T. TREADWELL

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 IE S O R F A L L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C I V 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 0 4 )

C o m m i tt e e o n F in a n c i a l D i s c l o s u r e

A d m i n i s t ra t i v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t s

S u i t e 2 - 3 0 1

One Columbus Circle, N.E.

Washington, D.C. 20544

Marc T Treadwell Financial Disclosure Report for Treadwell , Marc T

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