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I. Per~o~ Reporting (last name, first, mi,ldl initial) Clark, Ron 4. Title (Article Ill judg~ indicate active or ~nior stalusmagi.~trale judgt~ indicate full- or part-llme) Active
lg. Oa the basil of the Inlormatloa contained in this Report and any modifications pertaining thereto, It It, In m:y opinion, In compliance with applicable laws and regulations. Reviewing Ofl~cer Dale
IMPORTANT NOTES: The instructlan~ accompanying this form must be followe,! Complete all parts,
checking the NONE box for each part where you have no reporlable information. Sign on last page.
~-1
1.
Clark, Ron
C~ar~, Ron
o.~/0~/201 o
INCOME
(yours, nol S~OUSeS) $26,000.00
B. Spouses Non-I nvestment I ncome - tf you ~e marrled durlng an), portion of the reporting.Fear, complete thll section.
(Dollar amoebae not r~qoitvd exc~pt fi~r honoraria.)
~]
I. 2009 2.2009 3. 4.
1"--"]
LOCATION
NewYork, NY
PURPOSE.
CLE Speaker - Patent Law Program
1.
N.Y. Inlelleclual Property Law Assoc. (Arty CLE program) Foundation for Research on Economics & .Environment (CLE program) Slate Bar of Texas (Afly CLE program) Minnesota CLE
2.
Gallatin Gateway. NT
3.
San Antonio, TX
CLE Speaker Municipal Law Program CLE Speaker- Patent Law Program
4.
Minneapolis, MN
5.
Clark. ~o,,
0.s.,06~010
[~
I. 2. 3.
4.
5.
DESCRIPTION
VALI.JE ~ODE
I. 2, 3. 4. 5.
USAA Mutual Fund USEXX USAA Mutual Fund USSPX Vanguard VMMXX Money Market Vanguard Windsor I1 Fund Vangtmrd Mid-cap Index Fund
K K K M K
6. 7.
8, 9.
Dividend
"~ Buy
Buy Buy
01/08109
03/18/09 11t02/09
J
J J
I0.
II. 12. 13, 14. 15. 16.
-Explorer Fund
-500 Index Fund Vanguard Mutual fund IRA 2 - Mid-cap Index Fund Vanguard Mutual fund IRA 3 - 500 Index Fund Vanguard Mutual Fund IRA 4 - 500 Index Fund AIncrican Mut. Fund IRA New Perspective Fund Van~,mard Variable Annuity B A A A B Dividend Dividend Dividend Dividend None Dividend J J J M K L T T T T T T buy 02/28/09
oars, 7.
t)5/0~;20~o
[]
US. Saving~ Bond UGTMA Account I (XOM com. stk) HBW Plaza Ltd. Compass Bank Accounts AVIGN com. stk X AT&T com, stk X AVIATcom. stkX ADP. com. stk X CVX com. stk X KO com. stk X A A A A A A D A
Noae Dividend Distribution Interest None Dividend Dividend Dividend Dividend Dividend
J K M L M K J L K K
28.
29. 30. 31. 32. 33. 34.
B
B A A B A C
Dividend "
Dividend Dividend Dividend Dividend Dividend Dividend
L
L J K K K L
T
T T T T T T
[ n.mc,~.r,., r.~,~
I
Oate of r.~,~
NONE (No reportable income, ~sets, or transactions.) A. ~fipfien of Ax~s (i~luding Place "(X)" after ~ch as~t exempt from prior di~losu~ B. Inco~ ~ng C, Grogs value at ~nd D. T~t~ns ~ng r~ing ~fiod
Value C~ 2 (J-P)
i
I
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
PFEcom. stk X SLBcorn, stk X American Mutual Fund, New Perspective Fund X American Mutual Fund Small Cap World X Dreyfus S&P 500 Index Fund X BA.C Cap. TR XII preferred X Nuveen Arizona Prem. lnc. Muni. Bad. Fund X Dreyfus AMT-Frce Mun. Bnd Fund X Dreyfus Mum Bnd. Fund X Maxicopa C|y AZ bon;d X Salt River Prj AZ bonds X McCallister Acadctnic VLG bonds X PinaaCty AZ bond X C0conino &Yavapai Cos AZ bonds X U.ofAZ Cop Brd bond X Prtscotl Vly AZ Mun. bondX Mesa AZ Ulil Sys bonds X
A A C A B B A D C A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest In~:rest Interest Interesl Interest Interest Interest lntere~l
K K M K M J J M L J K K J J J J J
=More
Dtte or Report
0~/ow20~o
Id~tiW of buyer,~l~
~ H~lth Facs Au~ ~d X UBS - RMA Money Mkt X Benficiary IRA X -AT&T com. stk X -BP corn. stkX
59.
60. 61.
62.
63.
-USBPRI preferred shares X -Eaton Vance En. Equity loc Fund X -John Hancock Inc Se~. Fund X
-L~rd AbbolBond Deb. Fund X SYS com. stk X B Dividend L T
Dale of Report
05:o~/2010
69.
~vld~d
A A A A
A A
K K K J
J J
T T T T
T T
Sold (part)
09/01/09
SE com. stk X PEC) closed end trust X Energy Select Sector SPDRX
John Hancock Pat Pr~m I1 closed end trust X Nuveen MunValue fund X
A A A
A B
J K. J
J K
T T T
T T
81. 82.
83.
A B
B
lnt./Div. Int./Div.
lntdDiv.
L J
L
T T
T
84.
Dividend
Sold
08/13/09
85.
Dividend
Sold
I 1/18/0t~ L
Dtte of Report
PageFINANCIAL9 of 12 DISCLOSURE REPORT [ C1.~k,.o. VII. INVESTMENTS and TRUSTS -~. ~. ~o~ a~,-t.a~ ,~o.~ o/.~ ~ a~z~, ,.~iu~:
NONE (No reportable income, a~sets, or transaction.)
A. Dcmri~i~ of Assets (i~l~ing trust ~s~s) Place "(X)" aR~ ~ch ~t ex~pt ~m prior di~losure a. Income d~ng r~ing ~ O) Am~nt ] C~ I ~ (A-H) ! t2) T~ (e.g., div., ~n~ or inL) C. Gre~ waluc at end of ~ing ~ (I) t2) Value Value C~e 2 Met~ {J-P) Code 3 (~W) D, T~sacllons du~ng m~ing ~r~ {I) T~ (e.g., b~, ~11, ~cm~i~) (2) Dale Value ~d~ C~ 2 ] C~c
t!5/06~2olo
h*y~r/seller
Dividend
J J J J K K K
K J J J K K J J J M
B A A A A A A
A A A A A A A A A A
100. Alabama Pwr bonds X 101. Fed Home Loan Mtg Corp. coin. stk X 102. IBM com. stk X
Dzte of Report
05:0~i".010
tra~actiomO C. Groxs value at ~d of ~ing pefi~ (1) ~ (21 Value ~ Value Code 2 I Mclh~ : C~e3 (J-P) (~W) ~ D. T~n~ctio~ duri~ ~aing ~fi~ (I) T~ (e.g., b~, ~IL ~cmpti~) (2) i O) ~ (4) D~te - Va ue Gain m~d~ ~ tJ-P) [ (A-H) .I Sold Sold Sold Sold Sold Sold Sold Buy Redeemed 05/19/~ 05119/~ 05/19/09 05/19/09 05119109 05/19/09 O5/19/09 6/15/0q 12/23/09 J K J L K J K M M A ! A A A A A A A (5) Identi~ of buy~/scll~ (ifpri~ t~tion)
A. ~s~ption of A~ [i~luding t~st ~e~) Place ~(X) afl~ ~h ~t ~x~pt from pfi~ discl~u~
B. Inc~e during r~ing ~ (I) (2) ~ Amount T~e (e.g., .~ C~e I div., r~L orint.) i IA-H) j No~ None None None None None None None
,[ CMe 2 ~ C~e I
103. ~1 CoW. cam stk X 1~. Motorola Inc. com. stk X 10~. Ni0source Inc. (New) com. stk X 106. Nuveen AZ Prem Inc Mun fund X 107. Royal Bnk Scotland Pfd X 108. Blacl:rock Euro Fund X 109. Eaton Vance Grtr China Growth Fund X I10. Beal BankCDX I 1 I. 112.
(~ Uol~n C2)
U ~k VaI~
V ~h~
Date of Report
05i06/2010
! certify that all information given above (including information pertaining to my spouse and minor or dependent children. If any) Is accurate, true, and complete to the best of my knowledge and belief, and that any Information not reported was withheld because it met applicable statu1ory provision~ permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are In compliance with the provisions of 5 U,S.C. app. 501 et. seq, 5 U.S,C. 7353, and Judicial Conference regulatlomt.
Signature.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544