Christopher C Conner Financial Disclosure Report for 2010

8/3/2019 Christopher C Conner Financial Disclosure Report for 2010

1/14

A O 1 0Rev. 1/2011FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Re quired by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person R epor t ing ( las t name, f i r s t , middle ini t i a l )Conner, Chris topher C.

4. Title (Article 111 j u d g e s indicate act ive or senior status;magistrate judges indicate full- or part-t ime)U.S. Dis tr ic t Judge - A ct ive

7. Cham bers or Off ice A d d r e s sP.O. Box 847Han isburg , PA 17108-0847

2. Court or Organizat ionMidd le Di s t r i c t Pe nns y lva n ia

3. Date of Report05 /11 /2 01

5a.Repor t Type (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in format ion contained in this Report and anymodif i cat ions per ta ining thereto, i t i s , in my o pinion, in com pl iancewith appl icable laws and regulat ions.

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

6 . R e p o r t i n g P e r i o d0 1 / 0 1 / 2 0 1 0

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL 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 . m e p o r in g i n d i v id u a l o n l y ; s e e p S , . 9 - 1 3 of filing instructions.)D NONE(No reportable positions .)i. Custodian2. Trus tee3.4.5.

POSITION N A M E O F O R G A N I Z A T IO N / EN T I T YF ide l i ty Adv is or 529 Col lege S av ings P lans # I and # 2

T r u s t ee Acco u n t # I

I I . A G R E E M E N T S . ~R~porti.~ individual only; see pp. 14-16 of )71ing instructions.)~-] N O N E (No reportable agreements.)

DATE P A R T I ES A N D T E R M S


2/14

FINANCIAL DISCLOSURE REPO RTPage 2 o f 14

N a m e o f P e r s o n R e p o ~ t in gConner , Chr i s t opher C.

I II . 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 fillng instructions.)A. Filers N o n - I n v e s t me n t I n co me

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

2.

3.

4.

Date of Repor t05 /11 /2 011

I N C O M E( you r s , no t s pou s e s )

B . S p o u s e s N o n - l n v e st m e n t I n c o m e - I f you were m arried during any portion of the reporting year, complete this section.(Dollar amount 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 TYPET he Pe n ns y lva n ia S ta t e Un ive rs i ty - t e a c h ing s a l a ryS el f - em ployed h ea r ing and app ea l s o f f i c e r

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

N O N E (No reportable reimburseme nts.)SOURCE DATES LOCATION

I.2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


3/14

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 4

N a m e o f P e r s o n R e p o r t in gConner , Chr i s t opher C.

Date of Report05/11/2011

V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1.2.3.4.5.

VALUE

V L 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 l s p o u s e a n d d e p e n d e n t children; see pp. 3 2 - 3 3 of filing instructions)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.4.5.

VALUE CODE


4/14


Name of Person Report ingConner , Chr i s toph er C .

Date of Report05/I 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 -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)D NONE (No reportable income, assets, or transactions.)A. B. C.

D e sc r ip tio n o f A s se ts [n c o m e d u r in g G r o s s v a l u e a t e n d( in c lud ing t rus t a s se t s ) r epo~t ing pe r iod of r epo r t i ng pe r i od

(1 ) (2 ) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., Va lu e V alu eexempt from prior disclosure C o d e 1 d iv ., re n t , C o d e 2 M e th o d

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

O)Type (e.g.,buy, sell ,

redemption)

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)Date V a l u e Gain

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

( 5 )Identity of

buyer / se l le r(if private

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

1 . Me t ro B a nk c a sh a c c o u n t s ( Y)2. P N C B a n k , N A c a s h ac c o u n t s A I n t e r e s t J T3. Pennsylvania State Em ploy ees Credit Unioncash acco unt (Y)4. D o w C h e m ica l C o m p a n y co m m o n s to ck ( Y5. PNM Resources Inc . com m on s tock (Y)

7.8.9.

Conseco Life Insuran ce Co. - f lexiblepremium l if e ins po lRENTAL PROPERTY, Mec ha nicsb urg, PA(2004 , $302 ,250)FIDELITY ADVISOR 529 COLLEGESAVINGS PLAN #1- FA 529 Diversi f ied International Portfo l ioClass A

- FA 529 Mid Cap Por t fo l i o Clas s A

A I n t e r e s t J TE Rent N R

None J T

None J TSold 10/05/10(part)

1 2 .13. - FA 529 Sm al l Cap Por t fo l io Class A None J T

S o l d 10/05/10 J(part)

1 4 .15. - FA 529 Money Marke t Por t fo l io Cla ss A None J T

Sold 10 /05/10 J(part)Bu y 10/05/10 J

1 6 . - FA 529 High Income Portfolio Class A None J T B u y 10/05/10 J1 7 . - FA 529 Intermediate Bond Portfolio ClassA None J T Bu y 10/05/10 J

I . Income Gain (odes: A = $1 ,000 or less B = $1 .001 - $2.500 C ~$2,501 - $5.000 D = $ 5.001 - $1 5,000( See Coh mms BI and D4) F = $50,001 - $ 100,000 G = $1 00.001 - $1 ,000,000 HI =$1 ,000,001 - $5,000,000 H2 =More than $ 5,000,0002. Value Codes J = $ 1 5 . 0 0 0 o r l e s s K ~ $15,001 - $ 50,000 L =$50.001 - $ 100,000 M =$100,001 - $250,000(See Colunms CI and D3) N =$250,001 - $500,000 O =$500.001 - $1 ,000,000 PI = $1 ,000,001 - $ 5,000,000 P2 =$ 5,000,001 - $25,000,000P3 =$ 25.000,001 . $50,000.000 P4 =More than $50,000,0003. Value Method Codex Q =A ppra i sa l R =Cosl (Real Estate Only) S =A ssessmen t T =Cash M ar ket(Scc Column (2) U =Book Value V =Other W =E st ima ted

E = $ 1 5 , 0 01 - $ 5 0 ,0 0 0


5/14


Name of Person Report ingConner , Chr i s t opher C.

Date of Report05 /11 /2 011

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 derendeut children; see pp. 34-60 of filing instructions.)

1 8 .

1 9 .

20 .

21 .

22 .

23 .

24 .

25 .

26 .

27 .28 .

29.

30.

31 .

32.

33.

34.

N O N E (No reportable income, assets, or transactions.)

D q 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(in c lu d in g tru s t asse ts ) re p o r tin g p er io d

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

exempt from prior disclosure Code t div. , ren t ,( A - H ) or in t . )

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

(l) (2)V al u e V al u e

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

( Q - W )

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

r e d e m p t i o n )


(2) (3) (4)D a t e V al u e Gain

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

( 5 )Identity of

buyer / se l le r(if private

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

FIDELITY ADVISOR 529 COLLEGESAVINGS PLAN #2- FA 529 Diversi f ied Intemationa l Portfo l io None T

- FA 529 Mid Ca p Portfo l io None TSold(part) I0/05/10

- FA 529 Sm all Cap Portfo l io None K TSold(pan) 10/05/10

- FA 529 Dividend Growth Por t fo l io Cla ss NoneA- FA 529 High Incom e Por tfol io Class A None

JJ

Sold 10/05/10(part)T Bu y 10 /05/10T Bu y 10 /05/10

JJ

J

- F A 529 Intermediate Bond Portfolio CIass NoneAMERRILL L Y N C H I R R A # 1 ( R o ll e d o v erto Schwab IRA #1)-FIA Card Services money market account( formerly ML Bank)- Conoc0Phi l li p s com mo n s to ck

A I n t e r e s tN o n e

T Bu y 10 /05/10

Closed 07/15/10 Rol l -over to Line 116

- Deere Com pany com mo n s to ck A DividendSold 02/05/10 J

- Lord AbbettValueOpportunities Fund NoneClass F

S o l d 02/02/10

I . Income Gain (odes: A = $1 .000 or less B =$ 1 .001 - $2,500 C = $2,501 - $5,000(See Columns B I and I)4) F =$50,001 - $ 1 00,000 G =$ 100,001 - $ 1 .000,000 H I =$ 1,000,001 - $5,000,000

2. Value Codes J = $1 5.000 or less K = $15,001 - $ 50.000 L =$ 50,001 - $ 100,000( See Col u mnsCI and D3) N = $250,001 - $500,000 O =$500.001 - $1,000,000 PI $1.000,001 - $5,000,000

P3 =125.000.001 - $50,000.000 P4 =More than $50,000,0003. Value Method Codes Q ~Appraisal R = Cost (Real Estale Only) S =A ssessmen t(See Column (2) U =Book Value V =Other W =E st ima ted

D =$5,001 -$15,000H2 =More than $ 5,000,000M=$1 0 0 ,O0 1 - $2 5 0 ,0 00P2 =$5,000,001- $25,000,000T =Cash M ar kct

E =$ 1 5 , 001- $ 50 , 000


6/14




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 , value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

3 5.3 6.3 7 .3 8.3 9.40 .41 .42 .43 .

44 .45 .4 6.47 .

148.49 .50 .51 .

A. B. C. D.Description of Assets Income dur ing Gross value at end Transactions during reporting period(including trust assets) reporting period of reporting period

(1 ) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X )" after each asset A m ount Type (e.g., Valu e Valu e Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, m m/dd/yy Code 2 Code 1 buyer/sel ler(A-H) o r i n t . ) (J-P) Code 3 redemption) 0-P) (A-H) (if private

( Q - W ) transaction)

- Mara thon Oi l Corpora t i on comm on s to ck NoneSold 01/05/10 K

- Murphy Oil Corpora t i on comm on s to ck NoneSold 02/04/10 J

- Conso l ida ted Energy Inc com m on s tock NoneSold 01/29/10 K

- F id e l it y Ad v i s o r s In fl a t i on Pro t e c t ed B ond A DividendC l a s s 1

- Fidel i ty Advisors Strategic Incom e Fund Dividend

Sold 02/03/10 K

Sold 02/05/10 K(par t )Sold 06/21/10 K

- Temp leton Global Bond Fund DividendSold 02/25/10 L

Bu y 02/26/10 K(addl)Bu y 03/10 /10 K(addl)So ld 04/09/1 0 J(part)Sold 07/15/10 M R ol l - ove r t o L ine 1 1 7

1. Income Gain Codes: A =$ 1 ,000 or less B =$ 1,001 - $ 2.500 C = $2.501 - $5,000 D =$5,001 - $1 5,000( See Co lu mn s B I a nd D4) F =$ 50 ,001 - $1 00,00 0 G =$ 10 0,0 01 - $ 1,0 00 ,00 0 H 1 = $1 ,00 0,0 01 - $ 5,0 00,0 00 H2 =More than $ 5,000,000

2. Valu e Codes J = $1 5.000 or less K :$15,1 )01 - $50.000 L =$50,001 - $ 1 00,000 M =$ 1 00,001 - $250,000(See Columns C I and D3) N =$ 250,0(I I - $500,000 O = $500.001 - $ 1 .000,000 P I =$ 1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 P 2 = $ 5, 00 0, 00 1 - $ 25 ,0 00 ,0 00

P3 ~$25.000,001 - $50,000.000 P4 =More than $50,000,0003. Value Method Codes Q =Appra i s al R :Cost (Real Eslatc Only) S =A ssessmen t T =Cash Market{See Colum n C2) U = Book Valu e V O t h e r W =E st ima ted

E =$15,001 - $50,000


7/14


Name of Person Report ingConner , Chr i s t opher C.


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 instructlon~)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross value at end Transactions during reporting period(including trust assets) reporting period of rep orting period

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

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell , m m/d d/yy Co de 2 C o d e 1 buyer/sel ler(A-H) o r i n t . ) (J-P) Code 3 r e d e m p t io n ) (J-P) (A -H) (if private(Q -W ) transac tion)

- ING Glob al Bond Fund Class A B Dividend

- ING Glob al Value Choice Fund Class I NoneSold 03/10/10 LB u y 01/20/10 KS o l d 06/21/10 K

- Frank lin Utilities Fund C Div id end B uy 01/27/10 K

- PPL Corpora t i on comm on s to ck A Dividend

- lN G G r ea te r Ch ina F u nd Clas s I

52 .53 .54 .55 .56 .57 .58 .59.60 .

61 .62 .63 .64 .65 .66 .67 .68 .

None

- ING Russia Fund Class I None

Bu y 01/29/10 K(addl)Bu y 02/01/10 K(addl)Bu y 02/05/10 J(addl)Bu y 02/26/10 K(addl)Bu y 03/10/10 K(addl)So l d 07/15/10 M R ol l - ove r t o L ine 1 2 0Bu y 02/10/10 KSold 07/15/10 K Rol l -over to Line 119Bu y 03/10/10 JSold 06/21 /10 JB u y 03/10/10 J

So l d 06/21/10 J

I. Inc om e Gain Codes: A = $1 .000 or less B =$ 1 .001 - $2.500 C = $2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and D4) 1 : = $ 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. Value Codes J = $15,000 or less K = $ 1 5.001 - $ 50.000 L =$50,001 - $ 1 00,000 M = $ 1 00,001 - $250,000(See Colunms C I and D3) N = $250.0111 - $500,000 O =$500.0111 - $1.000.000 P I =$ 1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 P 2 = $ 5, 00 0, 00 1 - $ 25 ,0 00 ,0 00

P 3 -$25.000,001 - $50.000.000 P 4 =More than $50,000,0003. Value Method Codes Q =Appra i s al R =Cost (Real Estate Only) S =A ssessmen t T =Cash M ar ket( See Col u mn C2) U = Book Vahlc V - Other W = E s t ima ted

E =$ 1 5.001- $ 50 , 000


8/14


N a m e o f P e r s o n R e p o r t i n gConner , Chris t opher C.


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 repo rtab le income, assets , o r t ransact ions. )

A. B. C.Description of Assets Incom e during Gross valu e at end

(including trust assets) reporting period of reporttng period(1) (2) (1) (2)

Place "(X )" after each asset A m ount T ype (e.g ., Value Valueexempt from prior disclosure C o d e l div., rent, Code 2 Method(A-H) o r i n t . ) ( J - P ) Code 3

(Q-W)

(1 )Type (e.g.,

buy , se l l ,r e d e m p t i o n )


( 2 ) ( 3 ) ( 4 ) (5)Date Value Gain Identi ty of

mm/dd/yy Code 2 Code 1 buyer/sel ler( J - P ) (A -H) (if private

transaction)

69 .70 .71 .72 .73 .74 .

M E R R I L L L Y N C H I R A # 2 ( R o l le d o v e r toSchwab IRA #2)- Ivy Glob al Natural Resourc es Fund, ClassB- Hender son International Oppo rtunit iesFund Class B- Van K amp en 940 Clo sed End Stra tegyCohen & Steers Master

A Dividend

S o ld 02/02 /1 0S o ld 06 /23/1 0Bu y 02/02/10

J

J

J

Sold 06/29/10 J(part)S o ld 06 /29/1 0 J Rol l -over to Line 138

75 .76 .77 .78 .79 .

B R O K E R A G E A C C O U N T # 1 ( C l os e d J u ly2010)- FIA Card Se rv ice s money marke t a ccount(formerly ML Bank)- Franklin High Yield Tax Free Incom eF u n d C l a s s C

A Interest

A Dividend

Clo sed 07/26 /1 0Bu y 01/06/10

JJ

Sold 04/26/I 0 J(part)Sold 07/12/10 J

AA

80 . TRUSTEE ACCOUNT #181 .82 .83.84 .85 .

- FIA Card Se rv ice s money marke t a ccount(formerly ML Bank)- Van K am pen Unit Trust 683 CSD ED StralCohen & Steers Mst

AB

I n t e r e s t

DividendClo sed 07/26 /1 0

Sold 06/23/10 L- Certi f icate of dep osit , Capita l One NA AMcLean I n t e r e s t

Sold 02/02110 J

I. Incom e Gain Codes: A = $1 .000 o r less B = $ 1 ,001 - $ 2.500 C = $2,501 - $5,000 D = $5,001 - $1 5,000(See Columns B I and 194) F = $50.001 - $1 00,000 G = $1 00,001 - $1 .000,000 H I = $ 1 ,000,001 - $ 5,000,000 H2 = More than $5,000,000

2. Valu e Codes J = $1 5.000 o r le ss K = $ 1 5,001 - $ 50,000 L =$50,001 - $ 100,000 M =$100,001 - $ 250,000(See Co lum ns 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

P 3 = $25,000,001 - $ 50,000,000 P 4 = Mere than $ 50,000,0003. Value Method Codes Q =A ppra isal R = Cost (Real Estate Only) S =A sscssmen t T =Cash M ar ket(S cc Co lumn C2 ) U =Book Val u e V -Other W = E st ima ted

E =$15,001- $50,000


9/14

FINANCIAL DISCLOSURE REPO RTPage 9 o f 14

N a m e o f P e r s o n R e p o r t i n gConner , Chris t opher C.

Date of Repor t05/11/2011

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 filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing Gross value at end Transactions during reporting period(including trust assets) reporting period of reporting period(1) (2) (l) (2) (l ) (2) (3) (4) (5)Place "(X )" after each asset A m ount Type (e.g., Value Value Type (e.g., D a t e Value G ain Identity ofexempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, m m/dd/yy Code 2 Code l buyer/sel ler(A-H) o r i n t . ) (J-P) Code 3 redemption) (J-P) (A -H) (if priv ate

(Q-W) transaction)

86 . - C e r t i f ica t e o f de pos i t , F i r s t Bus i ne ss Ba nk A In terest87 . Sold 02/02/10 J88 . - Certi f icate of dep osit , DN Midfirst Ba nk A I n t e r e s t89. Sold 02/03/10 J90 .91 .92 .

- Cert i f icat e of depo s i t , DN Ban k Ha poa l im A I n t e r e s tB M N YSold 01/26/10 K( p a r t )Sold 03/05/10 K

93.94 .95 .

- Franklin High Yield Tax Free Incom e B DividendFund Class ASold 0 3 / 0 8 / 1 0( p a r t )S o ld 0 7 / 1 9 / 1 0

LJL

96 .97.98 .99.100.

101 .102.

- Van K amp en 940 Clo sed End Stra tegyCohen & Steer s Ma s ter C Dividend B u y 01/26 /10B u y 02/03 /10(addl )B u y 03/05/10(addl )Sold 04/09/10( p a r t )Sold 04/13/10(part)

Sold 07/07/10(part)Sold 07/21/10

LJKJJ

JM

A

I. Inc om e G ain Codes: A = $1 ,000 or Ic ss B =$ 1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $1 5,000( See Columns B 1 and D4) F ~ $ 50.001 - $ 100.000 G =$ 100,001 - $ 1 ,000,000 H 1 =$1 ,000,001 - $5,000,000 H2 =More than $ 5,000,000

2. Value Codes J = $15,000 or less K =$1 5,001 - $50,000 L = $50,001 - $ 1 00,000 M = $1 00,001 - $250,000(See Columns C 1 and D3) N =$ 251).001 - $500,000 O =$ 500.001 - $1.000,000 PI =$1 ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P 3 = $25.000.001 - $ 50.000.000 P 4 =More than $50,000,0003. Value Method Codes Q :A ppra isal R :Cos! (Real Estate Only) S =A ssessmen t T =Cash Market( S e e Column C2) U =B(x~k Value V =Other W =E s t ima ted

E =$ 1 5 , 001- $ 50 , 000


10/14

FINANCIAL DISCLOSURE REPORTPa ge 10 o f 1 4

N a m e o f P e r s o n R e p o r t i n gConner , Christopher C.


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 ,. e , v u t 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.)

103.

104.

I05 .

106.

107.

108.

109.

lI0.

Ill.

112.

113.

114.

115.

116.

1 1 7 .

1 1 8 .1 1 9 .

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 G r o s s v a l u e 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 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)

P l a c e " ( X ) " a f t e r e a c h a s s e l A m o u n t T y p e ( e . g . , Value Valuee x e m p t fr o m p r i o r d is c l o s u r e C o d e 1 d i v .. r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

- Schwab One money marke t a ccount A Interest J T- Loom is Sayle s Bond Fund Cla ss R A D iv id e n d K T- IShares MSCI PAC EX Japan Pacif ic EX A Div idend K T

- Pimco Income Fund Class D- Pimco T ota l Re turn Fund Cla ss D

B Div idend K TD Div idend L T

- Scou t Inte rna t iona l common s tock A Div idend K T- Y a ck tm a n F o cu se d F u n d A Div idend K T- Jensen P or t fo lio Cla ss J A Div idend K T- Oakm ark Inte rna t iona l Fund Class I A Div idend K T- T Rowe P r ice Blue Ch ip Growth Fund N o n e K TC H A R L E S S C H W A B I R A # 1 ( r o l l- o v e rf rom Mer r i ll Lynch IRRA #1)- Char les Schwab money marke t account A Interest K T- Temple ton Globa l Bond Fund C Div idend L T

- PPL Corpora t ion common s tock A Div idend K T

Transactions during reporting period(l ) (2) (3)

Type (e.g., D a t e Valuebuy, sell, mm/dddyy Code 2

redemption) (J-P)

Op en 06/29/10 LBu y 07/16/10 KBu y 07/16/10 KSold 10 /13/10 J(part)Bu y 07/22/I 0 KBu y 07122/10 LSo ld 1 2/1 5/1 0: K(part)Bu y 07/22/10 KBu y 07/22/I 0 KBu y 12/15/10 JBu y 12/15/10 JBu y 12/15/10 K

Open 06/29/10 LBu y 07/15/10 M

S o ld 07/1 9/1 0 L(part)Bu y 07115/10 K

( 4 ) ( 5 )Gain Identity of

Code I buyer/sel ler(A -H) (if p riv ate

transaction)

c

I

R o l l - o v e r fr o m L in e 29R o l l - o v e r f ro m L in e 5

R o l l - o v e r fr o m L in e 6 4

I . I ncome G ain Codes : A =$1,000 or less B =$1 ,0 0 1 - $2 ,5 0 0 C =$2,501 - $5,000(See Columns B 1 and D4) F = $ 5 0 , 0 0 1 - $ 100 , 000 G =$ 100,001 - $1,000,000 H I =$1 ,000,001 - $5,000,0002. Value Codes J = $ 1 5,000 or less K =$1 5,001 - $50.000 L = $50,001 - $1 00,000( See Coh mms C I and D3) N =$250.001 - $500,000 O =$500,001 - $1 ,000,000 PI = $1 ,000,001 - $5,000,000

P 3 = $25.000,0tll - $50.000.000 P4 = More than $ 50,000,0003. Value Method Codes Q =A ppra i sa l R =Cost (Real Eslale Only) S =A ssessmen t{S ee Co lumn C2 ) U =Book Value V =Other W = E st ima ted

D =$ 5 ,0 0 1 - $1 5 ,0 00H2 =Mo~than $5,000.000M =$ 100 , 001- $ 250 , 000P2 =$5,000,001 -$25,000,000T =Cash Market

E =$15.001 - $50.000


11/14

FINANCIAL DISCLOSURE REPORTPagell ofl4

Name of Person ReportingConne r , Christopher C.

Date of Report05/11/2011

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 o ~ a e , t ra n sa c t io n s ( In c lud es th o se o f sp o use a n d d ep en d en t ch i ld ren ; s ee p p . 34- 60 o f f i l in g in s t ruc t io n s . )N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e ts Income during( i n c l u d i n g t r u s t a s s e ts ) r e p o r t in 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 fr o m p r io r d i s c l o s u r e C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

120 . - F rank l in Ut i l i t ie s Fund

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(l) ( 2 )Value ValueC o d e 2 M e th o d

(J-P) C o d e 3( Q - W )

121 .N o n e

122. - Scout In te rna t iona l common s tock123. - ISha re s MSCI Em erg ing Marke ts Fund124.

125. - Sec to r SPDR F inanc ia l Se le c t Sha re s o fBeneficia l Interest

A Dividend KA Dividend K

TT

126. - Pimco T ota l Re turn Fund Cla ss D127.128.

A Dividend KD Dividend L

TT

- IShares Barclays TIPS Bond Fund129. - Yack t r aan Focused Fund130. - Gabe l l i Sma l l Cap Growth Fund C la ssA A A13 I . - Janus Resea r ch Fund Cla ss T

A Dividend L

A Dividend KN o n e J

A Dividend J

T

TTT

132. - TCW Se lec t Equi t ies Fund Cla ss N N o n e J1 3 3 . - Jensen Por t fo l io Cla ss J A Dividend K134. - Oakmark In te rna t iona l Fund C la ss I A Dividend K135. - T Rowe Pr ice Blue Ch ip Growth Fund N o n e K136. C H A R L E S S C H W A B I R A # 2 (R o l l -o v e rfrom Merril l Lynch IRA #2)

T

T

T

T

Transactions during reporting period( I ) ( 2 ) (3)

Type (e.g., D a t e Valuebu y, se ll, m m/dd/yy Code 2

redemption) (J-P)

Bu y 07/15/10 MSo ld 07/1 9/1 0 MBu y 07/19/10 KBu y 07/16 /10 K

Sold 10/I 3/10 J(part)Bu y 07/16 /10 KBu y 07/22/10 MSold 12 / 10/ 10 L(part)Bu y 07/20/10 L

Bu y 07/22 / I0 KBu y 11/09/10 JBu y 11/09/10 JBu y 11 / 15 / 10 JBu y 12/15/10 JBu y 12/15/10 JBu y 12/15/10 K

(4 ) (5)Gain Identity of

Code 1 buyer/seller(A -H) (if private

transaction)

A

Rol l -ove r f rom Line 62

I. Income Gain Codes: A =$ 1 ,000 or less B =$ 1 .001 - $2,500 C =$2,501 - $5,000 D -$5,001 - $15,000(See Columns I] I and D4) F = $50.001 - $ 1 00,000 G =$ 100,001 - $ 1 ,000.000 H I =$ 1,000,001 - $5,000,000 H2 =More than $5,000,0002. Value Codes J =$15.000 or less K =$1 5,001 - $50.000 L =$50,001 - $1 00,000 M -$ 1 00,001 - $250,000(See Colum ns CI and D31 N ~$250,001 - $500.000 O =$500.001 . $1 ,000,000 P I = $1 ,0 00 ,0 01 - $ 5 ,0 00 ,0 00 P 2 = $5 ,0 00 ,0 01 - $ 2 5, 00 0, 00 0

P3 =$25,000,001 - $50.000.000 P4 -Mo re than $50,000 ,0003. Value Method Codes Q = A p p r a i s a l R = Cost (Real Estate Only) S =Asscssmcn! T =Cash Markc l(See Column C21 U ~Book Value V ~ Other W :E s t ima ted

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


12/14

FINANCIAL DISCLOSURE REPORTP a g e 1 2 o f 1 4


Date of Report05/I 1/201 l

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 , value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No repo rtable income, assets, or transactions.)

A. B. C. D.D e s c r ip tio n o f A s se ts In c o m e d u r in g G ro ss v a lu e a t e n d T ra n s ac tio n s d u r in g rep o r tin g p e r io d(in c lu d in g tru s t asse ts ) re p o r tin g p er 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 )Place "(X)" after each asset A m o u n t Typ~ (e.g., Valu e Va lu e Type (e.g., Date Value I Gain Identity of

exempt from prior disclosure C o d e l div. , ren t , C o d e 2 M eth o d b u y , se ll, mm/dd/yy Code 2 [ Code I buyer / se l le r( A - H ) or in 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 r a n s a c t i o n )

137 . - Ch ar le s S c h w ab m oney m ar ke t ac c ou nt A Interest J T O pe n

138. - Van Kam p en 9 4 0 Clos ed End S t ra tegy A D iv id en d B u yC ohe n & Ste e r s Ma s te r139. S o l d1 4 0 . - P i m c o I n c o m e F u n d C l a s s D A D i v i d e n d J T B u y

141. B u y( add l )14 2. - P im c o To ta l Re tu r n F u nd Clas s D A D iv id en d B u y143. So l d

06/29/1006/29/1007/21/1007/22/1012/10/1007/22/1012/10 /10

JJJ

JJJJ

Rol l -over from Line 74

I . Income Gain Codes: A =$ 1,000 or less B = $ 1 .001 - $2,500 C = $ 2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and D4) F =$50,001 - $ 1 00,000 G =$ 1 00,001 - $1 ,000,000 H I = $ 1 ,0 00 ,0 01 - $ 5 ,0 00 ,0 00 H 2 = M or e t ha n $ 5 ,0 00 ,0 00

2. Valu e Codes J = $1 5,000 or less K = $15.001 - $50.000 L =$50,001 - $ 100,000 M =$100,001 - $ 250,000(See ColumnsC I and D3) N ~$250,001 . $500,1)00 O =$500.001 - $1,000,000 P1 =$1 ,000,001 - $5,O00,000 P2 =$5,000,001 - $25.000,000

P3 -$25,000,1)1)I . $ 50.000.000 P4 =More than $50,000,0003. Value Mclhod Codes Q =Appra i s al R Cost ( Real Est a t e Onl y) S =A ssessmen t T =Cash Market(S ee Co lumn C2 ) U =13ook Value V O t h e r W = E st ima ted

E =$15,001 - $50,000


13/14

FINANCIAL DISCLOSURE REPORTPage 13 of 14

Name of Person ReportingC o n n e r , C h r i s t o p h e r C .

Date of Repor t05/I 1/2011

V II I. A D D I T IO N A L I N F O R M A T I ON O R E X P L A N A T I O N S . (lndicatepartof report.)


14/14

FINANCIAL DISCLOSURE REPORTP a g e 1 4 o f 1 4

Name of Person Repor t ingConner, Christopher C.


IX. CERTIFICATION .1 c e r t i f 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 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 , if a n y ) i s

a ccu ra t e , t r ue , a nd compl e t e t o t he b e s t o f my knowl e dge a nd b e l i e f , a nd t ha t a ny i n fo rma t i on no t r e po r t e d wa s wi t hhe l d b e ca use i t me t a pp l i ca b l e s t a t u t o ryp 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 he r c e r t if y t ha t e a r n e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d ho n o r a r i a a n d t he a c c e p t a n c e o f g i f ts wh i c h ha v e b e e n r e p o r t e d a r e i nco m p l i a n ce w i th th e p r o v i s io n s o f 5 U . S . C . a p p . 50 1 e t . s e q ., 5 U . S . C . 7 3 53, a n d J u d i c i a l C o n f e r e n ce r e g u l a t i o n s .

Signature: S/Christop her C. Conner

N O T E : A N Y I N D I VI 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 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 EC T T O C I VI 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 0 4 )

Com m i t t ee on F inanc i a l D i sc losu reAdminis t ra t ive Off ice of the Uni ted S ta tes Cour tsSui te 2-301On e C o l u m b u s C i r c l e , N .E .W ashing ton , D . C. 2 0 54 4

Documents

Christopher C Conner Financial Disclosure Report for 2010