Stephen M McNamee Financial Disclosure Report for 2010

8/3/2019 Stephen M McNamee Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR Y EAR 2010Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

I. Person Reperting ( last name, f irst , middle initia l)M C N A M E E , S T E P H E N M .

4. Tit le (Art icle i l i judges indica te act ive or sen ior sta tus;magis t rate judges indicate ful l - or pa r t - time)U . S .D IS T R I C T J U DG E S E N I O R S T A T U S - A C T I V E

7. C ha mbe rs o r O ff ic e Addre s sS AND R A D AY O C O NNO R U S C O U R T S401 W W A S H I N GT ON S T , S P C 60P HO E NIX , AZ 850 0 3-21 58

2. Court or OrganizationU .S . D IS T R IC T C O U R T O F A Z

5a . Report Type (check appropria te type)

] Nominat ion, Date[] Initial [] Annual [] Final5b. [] Amended Report8. On t h e b a s i s o f t h e i n fo rm a t i o n co n t a i n e d i n t h i s Re p o r t a n d a n ymodif ica t ions perta in ing there to , i t i s , in my opin ion , in compliancewith appl icab le l aws and r egula t ions .

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

3. Date of R e p o r t08/ 12/ 20

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

01/01/2010to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form mast be followe~L Complete all parts,checking the NONE bo x for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ( R e p o r t in g i n d i v l d u u l o n & ; s ~ e p p . 9 - 1 3 of filing instructions.)D N O b l E (No reportablepositions.)POSITION

1 . B O A R D M E M B E RNAME OF ORGANIZATION/ENTITY

U N I V E R S I T Y O F C IN C I N N A T I A L U M N I A S S O C I A T I O N2. MEMBER. UN I VE RS I T Y OF A R I Z ON A COL L E GE OF L A W B OA R D OF VIS I T ORS3. MEMBER. UN I VE RS I T Y OF A RI Z ON A L A W COL L E GE A S S OCI A T I ON4.5.

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~-] N O N E ( N o reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 o f 12

Name of Person Report ingMCNAMEE, STEPHEN M.

Date of Report08/12/2011

I I I. N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)A. Filers No n -I n v e s tme n t I n c o meD NO~qE (No reportable non-investment income.)

DATE SOURCE AND TYPE INCOME(yours , not spouses )I. 2010 S T A T E O F A R I Z ON A , 2 0 0 9 IN C O M E T A X R E F U N D $4,900.002.3.4.

B . S p o u s e s N o n - ln v e s tm e n t In c o m e - if you were m arried during any portion of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)D NONE (No reportable non-investment income.)1 . 20102 . 2 0 1 03 . 2 0 1 04.

DATE SOURCE AND TYPES T L U K E S H E A L T H I N IT I A T I V E - S A L A R YH E A L T H C A R E E X C E L - B O A R D M E M B E R

H C E Q U A L I T Y Q UE S T - B O A R D M E M B E R

I V . R E I M B U R S E M E N T S - transportation, lodging, food, en ter ta lnmenL(Includes those to spouse and depen dent children; see pp. 25 -27 o filling instructions.)

NONE (No reportable reimbursements.)SOURCE DATES LOCATION

1 .2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDE


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Ia me o f Pe rs on R e por t ingFINANCIAL DISCLOSURE REPORTI MCNAMEE, STEPHEN n.

Page 3 of 12

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

S OURCE DESCRIPTION1 .2.3.4.5.

D a te o f R e por t08/12/2011

VA LUE

V I . L I A B I L I T I E S . a n e t u d e s , h o s e o Z s p o u s e und dependent children; see pp. 32-33 of filing instructions;)[] N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.4.5.

VALUE CODE


4/12


Name of Person ReportingMCNAMEE, STEPHEN M.

Date of Report08/I 2/201 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 u ~ . e , t r a n s a c t i o n s a n n . d e s a , o s e o S s p o . s e . .d d e p e n d e n t c h i i d . e . ; s e e r p . ~ 4 - 6 0 o S ~ i ln g instructions.)D NONE (No reportable income, assets, or transactions.)A. B. C.

Descrip tion of A ssets Incom e during Gross va lue a t end(includ ing tru st a ssets) reporting period of reporting period

{I) (2) (1) (2)Place "(X)" after each asset A m o u n t T y p e ( e . g . , Va lue Va lueexempt f rom pr ior di sclosure Code 1 d i v . , r e n t ) Co d e 2 Method

T r a n sa 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

( l) (2) (3)T y p e ( e . g ., D a t e Valueb u y , se l l , m m / d d /y y C o d e 2

redemption) (J-P)A - H ) o r i n t . ) ( J - P )

1 . IR A, U S B ANK, P HO E NIX , AZ - C D A Inte res t J2. IR A, U S B ANK, P HO E NIX , AZ - C D A Inte res t J3. M E R R ILL L Y NC H- IR A # 1 :4. - F IA CA R D S VCS A Di v i d e n d J5. - C D M O R G AN S T ANL E Y A Inte res t J6. - A M E R I C A N C A P I T A L W O R L D BO N D A Di v i d e n d JFUND CL F7. - A M E R I C A N H I GH I N C O M E T R U S T C L A Di v i d e n d JF8. - IS HAR E S IB O X X C O R P B O ND F U ND A Di v i d e n d J9. - IS H A R E S B A R C L A Y S A G E N C Y B O N D A D i v i d e n d JFUNDI0 . M E R R IL L L Y NC H- IR A #2:1 1 . - F I A C A R D S E R V IC E S A Dividend J1 2 . - C U R R N C E Y S H A R E S J A P A N E S E A Inte res t1 3 . - V ANG U AR D P AC IF IC E T F A Dividend1 4 . - W IS DO M T R E E INT L C O M M A Dividend1 5 . - W IS D O M T R E E INT L C O N N- C Y A Di v i d e n d1 6 . - W IS D OM T R E E INT L H/ C A Di v i d e n d1 7 . - W I S DO M T R E E I N T L E N E R G Y A Di v i d e n d

C o d e 3( Q - W )

TT

TTTTTT

TS o l d 01/04/10S o l d 01/04/10S o ld 01/2 7 /10S o ld 02 /2 3 /10S o l d 02/23/10Bu y 01/27/10( a d d l )

JJ

JJ

JJ

(4) ( 5 )Gain Identity of

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

t r a n sa c t i o n )

AAAA

A

I. In co m e Ga in (o d e s: A =$1 ,000 o r le ss B = $1,001 - $2,500 C =$2.501 - $5,000(S ee C ol um ns B 1 and D4) F =$50.001 - $100,000 G =$1 00 ,00 1 - $1,00 0,0 00 H 1 =$1,00 0,0 01 - $5,000 ,0 002. Va lue Code s J =$15.000 or less K =$15,001 - $50.000 L =$50,001 - $100,000(S ee Co lu mn sC I a nd D3 ) N =$ 25 0,001 -$5 00 ,000 O=$500,001 - $1,000,000 PI =$1,000.001 -$5,000,000

P3 =$25,000.001 = $50,000,000 P4 ~More than $50,000,0003 . Val ue Met hod C odes Q =Appr a i s a l R =Co s t ( Re a l Es t a t e Only) S =As s e s s me nt( S e e C o l u m n C 2 ) U =Book Va lue V =Oth e r W =Es t ima te d

D =$5,001 - $15,000H2 =M or e th a n $5,000 ,000M =$100,001 - $250,000P2 =$5.000,001 - $25,000,000T = C a s h M a r k e t

E =$15,001 - $50,000


5/12



Date of Report08/12/201 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 , transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)~ NONE(No reportable income, assets, or t ransact ions.)A. B. C.

Description of Assets Income dur ing Gross va lue a t end(includ in g trust asse ts) repo rting period of repo rting period

(l ) (2 ) (1) (2)Place "(X)" after each asset A m oun t Type (e.g., Va lue Va lueexempt f rom pr ior di sclosure Co d e I div.. rent, C ode 2 Method

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

(1 )Type (e.g.,

buy, se l l ,redempt ion)


(2) (3) (4)Date Value G a i n

mm/dd/yy C o d e 2 Code l(J-P) ( A - H )

Identity ofb uy e r / se l l e r(if private


1 8 . S o l d 02/23/10 J A1 9 . - W IS D O M T R E E INT L T E C A Di v i d e n d S o l d 02/23/10[ J A20 .21 .22 .23 .24 .25 .

-CURRENCY SH ARES AUSTRALIAN A I n t e r e s t

- W I S D O M T R E E I N T L F I A D i v i d e n d

T B u y 02/23/10( a d d l )Sold 04/05/I 0(part)B u y 05/19/10( a d d l )B u y 09/29/10( a d d l )B u y 01/27/10( a d d l )Sold 02/23/10

J

J

J

J

J

J26 .27.28 .29 .30 .31 .32 .33 .34 .

-VANGUARD EMERGING MARKETS A DividendMKTS

- V A N G U A R D S M A L L C A P

- V A N G U A R D S M A L L C A P G R O W T H

- P O W E R S H A R E S E X C H A N G E P T H

- P O W E R S H A R E S E X C H A N G E P X I

- P OW E R S H A R E S E X C H A N G E P S L

A Dividend

A Dividend

A DividendA Dividend

A Dividend

JJ

J

T Bu y 02/23/10( a d d l )Sold 04/05/10(part)

T Bu y 02/23/10(addl )Sold 04/05/10( p a r t )

T Bu y 02/23/10(addl)Sold 04/05/I 0(part)

T Buy 08/09/I 0(addl)

T Buy 08/09/10(addl)

T Buy 08/09/10(addl)

JJJ

J

JJJ

J

J

I. In co m e Ga in C o d e s: A =$1,000 o r le ss B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(S ee C ol um ns B 1 and IM) 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 =M o re th an $5 .0 00 ,0 002. Va lue Code s J =$15,000 or less K =$15,001 - $50.000 L =$50,001 - $ 100,000 M =$100,001 - $250,000(S ee Co lu mn s C I a nd D3 ) N =$2 50,001 - $5 00,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 o $25,000,000

P3 =$25,000,001 - $50,000,000 P4 -M or e th a n $50 ,000 ,0003 . Val ue Met hod C odes Q =A ppra i sa l R =C o st (R ea l E sta te On ly) S =A sse ssm en t T C a s h M a r k e t( S e e C o l u m n C 2 ) U =Book Va lue V =Oth e r W =Es t ima te d

E =$15,001- $50,000


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FINANCIAL DISCLOSURE REPORTPage 6 of 12

Name of Person ReportingM C N A M E E , S T E P H EN M .

Date of Report08/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o n ,e , v a 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 Income during Gross value at end Transactions during reporting period(including trust assets) r e p o r t in g p e r i o d of report ing period

(1) (2) (l) (2) ( 1 ) (2) (3)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 pe ( e . g . , Value Value T y p e ( e . g ., D a t e Valueexempt from prior disclosure Code I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d d / y y C o d e 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemption) ( J - P )( Q - W )

(4) (5 )Gain Ident i ty of

Code 1 buyer/sel ler(A H ) (if private

transaction)

35 .36 .37 .38 .39 .40 .41 .42 .43 .44 .45 .46 .47 .48 .49 .50 .51.

- P O W E R S H A R E S E X C H A N G E P Y Z- P O W E R S H A R E S E X C H A N G E P E Z- P OW E RS H A RE S DY N OI L A N D GA S

- P O W E R S H A R E S E T F T R D Y N A M I CS O FT W A R E P O R T- P O W E R S H A R E S E T F T R D Y N A M I CSEMICONDUCTOR- P O W E R S H A R E S E T F D Y N A M ICLEISUILE & EN T PORT FOLIO- P O W E R S H A R E S E T F T R D Y N A M I CM E D IA PORTFOLIO- P O W E R S H A R E S E T F T R D Y N A M I CNE T W O R KING P O R T F O L IO- P OW E R S H A R E S E T F D Y N A M I C F O ODAN D B E V E R AG E P O R T F O L IO

- P OW E R S H A R E S E T F D Y N A M I CB IO T E C H A ND G E NO- P OW E R S H A R E S E T F T R D Y N A M I CRET AIL PORTFOLIO- P OW E R S H A R E S E T F T R D Y N A M I CE N E R G Y E X P L

- W I S D OM T R E E I N T L B A S I C

A DividendA DividendA Dividend

A DividendA DividendA DividendA DividendA DividendA Dividend

A DividendA DividendA Dividend

A Dividend

J

J

J

JJ

JJJJ

J

J

J

T Bu y 08/09/10( a d d l )T Bu y 08/09/10( a d d l )T S o l d 06/07/10( p a r t )

Bu y 11/16/10( a d d l )T Bu y 08/09/10( a d d l )T Bu y 08/09/10( a d d l )T Bu y 08/09/10( a d d l )T Bu y 08/09/10( a d d q )T Bu y 08/09/10( a d d l )T S o ld 01/27 /10(par t)

Bu y 07/21/10( a d d l )Bu y 08/09/l 0( a d d l )

T Bu y 08/09/10( a d d l )T Bu y 08/09/10( a d d l )T Bu y 08/09/10( a d d l )

Buy I 1/16/10( a d d l )Bu y 01/27/10( a d d l )

J

JJ

JJJJJJJJJ

JJJ

J

J

I. Incom e Gai n C odes :(S ee C ol um ns BI and 134)

2.Val ue C odes( Se e Columns CI a nd D3)

3.Val ue Met hod C odes( S e e C o l u m n C 2 )

A =$ 1, 000 or l essF =$50,001 - $100.000J =$15,000 or lessN =$250,001 - $500,000P3 =$25,000.001 - $50,000,000Q =A ppra i sa lU =Book Va lue

B=$1,001.- $2,500G =$ i 00,001 - $ 1,000,000K= $15,001 - $50,000O =$500,001 - $ 1,000,000R =C ost (Rea l E s t a t e Onl y )V =Oth 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 ore t han $ 50, 000, 000S = A s s e s s m e n tW =Es t ima te d

D =$5,001 - $15,000H 2 =M ore t han $ 5 , 000, 000M =$ 100, 001 - $ 250, 000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$ 15 , 001 - $ 50, 000


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FINANCIAL DISCLOSURE REPORTPage 7 of 12



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 . , e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)NO bl E (No reportable income, assets, or transactions.)

A. B. C. D.Descrip tion o f A ssets Incom e during Gross va lue a t end Transact ions dur ing repor t ing per iod( includ ing tru st a sse ts) reporting period of repo rting period

(1) (2) (1 ) (2 ) (l ) (2) (3) (4) (5 )Place "(X)" after each asset A m ount Type (e.g., Value Va lue Type (e.g., D a t e Value Gain Identity of

exempt f rom pr ior di sclosure C o d e 1 div.. rent, C ode 2 M ethod buy, se l l , m m / dd/ y y Co d e 2 Code 1 buyer/sel ler(A-H) o r i n t . ) (J-P) C ode 3 redempt ion) ( J = P ) (A -H ) (if private(Q-W) t ransact ion)

52 .53 .54 .55 .56 .57 .58 .59 .60 .61 .62 .63 .64 .65 .66 .67 .68 .

- W I S D OM T R E E I N T L C O N SS o ld 02 /2 3/10 J A

A Dividend S o ld 02 /2 3/10 J AA Dividend Bu y 01/27/10 J( a d d l )

- W 1 S D O M T R E E INT L IND S E C

- V A N G U A R D M I D C A P V A LS o ld 02 /2 3/10 J A

A Dividend J T Bu y 01/04/10 J

- C U R R E N C Y S H A R E S C A N A D A A Int./Div. J T

Bu y 02/23/10(add l )S o l d 04/05/10(par t)Bu y 01/04/10

J

J

J

- S P D R IND E X S HS 1 R V A Dividend

B u y 02/ 23/ 10( a d d l )Sold 04/05/10(part )Sold 07/06/ l 0(part)B u y 11/16/10( a d d l )

T B u y 02/23/10

JJ

J

J

J

- S P D R I N D E X S H S I P D A Dividend T

Bu y 04/05/10( a d d l )S o l d 05/07/10(par t)Bu y 02/23/10

J

J

J

Bu y 04/05/10 J( a d d l )

A

AA

A

1. Incom e Gai n C odes :( Se e Columns BI a nd D4)

2.Val ue C odes( S e e C o l u m n s C I a n d D 3 )

3.Val ue Met hod C odes( S e e C o l u m n C 2 )

A =$ 1, 000 or l essF =$50.001 - $100,000J =$ 15 , 000 or l essN =$250,00I - $500,000P3 =$25,000,001 - $50,000,000Q =A ppra i sa lU =Book Va lue

B =$1,001- $2,500G =$100,001- $1,000,000K =$15,001 o $50,000O=$500,001 o $1,000,000R =Co s t ( Re a l Es t a t e Only)V =Oth e r

C=$2 ,501- $5 ,000HI =$1.000,001- $5.000,000L -$50,001 -$100,000PI =$1,000,001 - $5,000,000P4 =Mo re t han $ 50, 000,000S =As s e s s me ntW = E s t i m a t c d

D =$5,001- $15,000H 2 = M o ~ ~ a n $ 5 , 0 00 , 0 00M=$100 ,001- $250 ,000P2 =$5,000,001 -$25,000,000T = C a s h M a r k e t

E =$ 15 , 001 - $ 50, 000


8/12



Date of Repor t08/12/201 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 , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

69 .70 .71 .72 .73 .74 .75 .76 .77 .78 .79 .80 .81 .82 .83 .

A. B C. D.Description of Assets Income dur ing Gross va lue a t end Transact ions dur ing repor t ing per iod(includ ing tru st a ssets) reporting period of repo rting perio d

( 1 ) ( 2 ) (l) (2) (l ) (2) (3) (4) (5 )Place "(X)" after each asset A m oun t Type (e.g., Va lue Va lue Type (e .g., Date Value Gain Id entity o fexempt f rom pr ior di sclosure Code 1 div., rent, Co d e 2 Method buy , se ll, m m/dd /yy C ode 2 Code 1 buy e r / s e l l e r( A - H ) o r i n t . ) (J-P) C ode 3 redem ption ) (J-P) (A -H ) (if p rivate(Q-W ) transaction )

-SPDR INDEX SHS IPF A Dividend

-POWERSHARES EXCHANGE PTJ A-SPDR INDEX SHS IPN A-CURRENCY SH ARES JAPANEESE YEN A

-POWERSHARES EXCHANGE PRN A-CURRENCY SHARES B R A-POWERSHARES ETF DYNAMIC APHARM PORTFOL-CURRENCY SHARES SW EEDISH A

DividendDividend

Int./Div.

Dividend

Int./Div.DividendInt./Div.

J

J

J

JJ

Sold 05/07/10(pa r t )

Bu y 02/23/ i 0B u y 04/05/10( a d d l )Sold 05/07/10(part )Sold 06/16/10

T Bu y 06/07/10

T Bu y 06/16/I0Bu y 07/06/ i 0Sold 08/09/10

T Bu y 08/09/10T Bu y 08/09/10T B u y 08/26/10

B u y 09/29/10

S o l d 11/16/10

J

JJJJ

J

JJJJJJJ

J

A

AA

A

AMERRILL L~NCH-IRRA # 1 :

84 . - FIA CARDSVCE A Di v i de nd J85 . -CDFIRST NATL BK A I n t e r e s t J

I. Incom e Gai n C odes :( S e e C o l u m n s B I a n d D 4 )

2.Val ue C odes( S e e C o l u m n s C I a n d D 3 )

3. Val ue Met hod C odes( S e e C o l u m n C 2 )

A = $1 ,000 or l cssF =$50,001- $100,000J =$15,000 or l e s sN =$250,001 -$500,000P3 =$25 ,000,001 -$50.000,000Q =A ppra i sa lU =Book Va lue

B =$1,001- $2,500G =$100,001- $1,000,000K =$15,001- $50,000O=$500 ,001- $1 ,000 ,000R =Co s t ( Re a l Es t a t e Only)V =Oth e r

C =$2 ,501-$5 ,000HI =$1,000,001- $5,000,000L =$50,001- $100,000PI =$1,000,001- $5,000,000P4 =M ore t han $ 50, 000, 000S =As s cs s mcntW =Es t ima te d

D=$5,001-$15 ,000H2 =M or e th a o $5,000 ,000M=$100,001 -$250,000P2 =$5,000,001 -$25,000,000T = C a s h M a r k c t

E =$15,001- $50 ,000


9/12

FINANCIAL DISCLOSURE REPOR TPage 9 of 12


Date of Repor t08/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m e , v a l u e , t r a n s a c t i o n s (Inc ludes those o f s p o u s e and dependent children; see pp. 3 4 - 6 0 o f f i l i n g instructions.)D NONE(N o reportable income, a ssets, or t ransact ions.)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

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

8 6 .8 7 .8 8 .8 9 .90 .91 .92 .93.94.95.96.97 .9 8 .99.

- C D W A C H O VI A B A N K FSB- C D C O W L IT Z B K-EATON V A N C E F L OA T I N G-CD BLOOM FIELD STATE BANK-ISHARES IBOXX-ISHARES BARCLAYS AGENCY

-PIMCO FOREIGN BOND-SPDR GOLD TRUST

- C D A U R O R A B A N K

M E R R I LL LY N C H C M A B A N K IN GADVANTAGE A C C O U N TI BM C O M M O N S T O C KINTERNATIONAL RECTIFIERC O M N I O N S T O C KWELLS F AR G O B ANK, C KG AC C O U NTP H X , A ZFAIRFIELD ESTATES FLAGSTAFF

100 . M A RR 1OT CA N Y ON VI L LA S P H OE N I X101 . S T L UK .E S H E A L T H 403 ( B ) 7 :102 . - VA N GUA R D 5 00 IN DE X F D

G ro s s v a lu e a t e n d T r a n s a c t io n s d u r in g re p o r t in g p e r io do f r e p o r t i n g p e r i o d

(1) (2) (1 ) (2) (3) (4) (5 )Value Value T y p e ( e . g ., D a t e Value Gain Iden tity o fC o d e 2 M e th o d b u y , s e l l . m m /d d /y y C o d e 2 Code I b uy e r / se l l e r(J-P) C o d e 3 r e d e m p ti o n ) ( J- P ) ( A - H ) (if private

( Q -W ) t ransaction)

A I n t e r e s tA I n t e r e s t J TA Dividend J TA I n t e r e s t

A Dividend J TA Dividend J TA I n t e r e s t J T

None J TA I n t e r e s t

A I n t e r e s t J TA Dividend J T

None J TNone J TNon e J WNone J W

B D i v i d e n d M

Redeemed 02/16/10 J A



Participant 01/01/10 K

I . I ncome Ga in Cod e s : A = $1,000 o r le ss B = $1,001 - $2,500(S ee Column s B I and I )4) F =$50,001 - $100,000 . G =$100,001 - $1,000,000

2. Va lue C o d e s J = $15,000 o r le ss K =$15,001 - $50,000( S e e C o l u m n s C I a n d D 3 ) N =$250.001 - $500,000 O =$500,001 - $1,000,000

P3 -$25,000,O01 - $50,000,0003. Va lue Me th od Code s Q =A ppra i sa l R -Cos t ( Re a l Es t a t e Only)( S e e C o l u m n C 2 ) U =Book Va lue V -Other

C :$2,501 - $5,000 D =$5,001 - $15,000H I =$1,000,001 - $5,000,000 H2 =M or e th a n $5,000 ,000L =$50,001 - $100,000 M =$ 100,001 - $250,000PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P4 -M or e th a n $50 ,000 ,000S ~As s cs s me nt T = C a s h M a r k e tW =Es t ima te d

E = $15,001- $50 ,000


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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 - i n c o m e , v a ~ 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.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 Gr o ss va l ue a t e n d

( i n c l u d i n g t r u s t a s s e t s ) r e p os in g p er i o d o f r e p o rt in g p e r i o dO) (2) (t) (2)

Place "(X)" after each asset A m o u n t Type (e.g., Value Valueexempt from prior disclosure C o d e I d iv . , r e n t , C o d e 2 M e t h o d

( A - H ) or in t . ) (J-P) C o d e 3( Q - W )

(1 )Type (e.g.,buy, se l l ,

redempt ion)


(2) (3) (4)D a t e V a l u e G a i n

mm/dd/yy C o d e 2 C o d e 1(J-P) ( A - H )

(s )Identity of

b uy e r / se l l e r(if private


103. US BANK CHECKING ACCOUNT A I n t e r e s t J T

1. Incom e Gai n C odes : A =$1,000 or less B =$1,001 o $2,500( S e e C o l u m m B I a n d D 4 ) F =$50,001 - $100,000 G = $100,001 - $1,000,000

2. Va lu e C o d e s J = $15,000 o r le ss K =$15,001 - $50,000(S ee Co lu mn s C I a nd D3 ) N =$2 50,001 - $5 00,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Va lue Me th od Code s Q =A ppra i sa l R =Co s t ( Re a l Es t a t e Only)( S e e C o l u m n C 2 ) U =Book Va lue V =Oth 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 e s s me ntW =Es t ima le d

D =$5,001 - $15,000H2 =M or e th a n $5,000 ,000M =$ 100, 001 - $ 250, 000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$15,001 - $50.000


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N a m e o f P e r s o n R e p o r t in gM C N A M E E , S T E P H E N M .


VIII. ADI)ITIONAL INFORMATION OR EXPLANATIONS. (In,llcatepartof report.)P A R T VII L IN E S 1 0 1 & 1 0 2 - V E S T E D P A R T I C IP A N T 0 1 / 0 1 S T . LU K E S 4 0 3 ( B) P L A N W ! R E G U LA R M O N T H L Y C O N T R I BU T IO N S


12/12


N a m e o f P e r so n R e p o r t i n gM C N A M E E , S T E P It E N M .

D a te o f R e por t08/12/2011

IX . CERTIFICATION.1 c e r t if y t h a t a ll 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 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 , if a n y ) i sa c c u r a te , 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 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 ca b l e s t a t ut 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 fur ther cer t i fy that earned incom e from outs ide emp loymen t and hon orar ia and the acceptance o f g if t s wh ich have been reported are incom pl iance w ith the pr ovis ion s of 5 U.S.C. app. 501 et . seq. , 5 U.S.C. 7353, and Judic ial Conference r egulat ions.

Signatu re : S /STEPH EN M. M CNAMEE

N O T E : A N Y I N D I VI DU A L W H O K N O W I N G L Y A N D W I L F U LL Y F A L S I F IE S O R F A I 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 I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . 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

Stephen M McNamee Financial Disclosure Report for 2010

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