FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009

I. Person Reporting (last name. firsl, middle initial) BENNETT, MARK W.
4. "Fill (Article III judges indicate active or senior slams: magiswatejudges indicate full or parl-timc) U.S. District Court Judge

R~por, Required by tke Ethics

in Government Act of 1978

2. Courl or Organization USDC,"Northern District of Iowa

5a. Rep~,rt T)p~ Icheck appropriate type) [] Nommalion, [] lnilial Date [] Annual [] Final

3. Date of Report 7/I 9/2010

6. Reporling Period 01/01/2009 Io 12/31/2009

5b. [] Amended Report 7. Charal~rs or Office Address 313 United States Courthouse 320 Sixth Snee~ Sioux City, IA 51101 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance ,,,,ith applicable laws and regulations. Revle~,ing Officer I)a~e

IMPORTANT NOTES: The instructions accompanying this form must be followed~ Complete alt parts, checking the NONE box for each part ~,here you have no reportable information. Sign on lax/page.

I. POSITIONS. ~x,,o~g individual only; see pp. 9-13 of filing i .....

NONE (No reportablepositions.) POSITION
I.

NAME OF ORGANIZATION/ENTITY

3.

.-

II.
[~]

/-~.l.Jl~l~ IL, l1 IL~IN/~o (R~t*r~ing indi,~dual onl); see pp. 1,1-16 of filing ins,ructions.)

NONE (No reportable agreemenls.)

DATE PARTIES AND TERMS

I.

Bennett, Mark W.

FINANCIAL DISCLOSURE REPORT Page 2 of 15

~ .....t P .... R~.p,,rtio~ aE~-~E-rr. MARK W.

m,e or R~port 7,19/2010

IlL NON-INVESTMENT INCOME. tRep..i.~i.ai,,id.o~..,.

A. Fliers Non-Investment Income NONE (No reportable non-investment income.) DATE SOURCE AND TYPI~ INCOME (yours. not sl~uses) 54.000.00 $3.600.00

I. 2009 2. 2009 3. 4.

Aspen Publishing Drake University Law School

B. Spouses Non-Investment Income - tf ~.ou ~,~ married during an.r porlivn of the rep,,r~ing ).ear. ,omplete this
(Dolhvr amoun! not required e~cept for honoraria ) NONE (No reportable non-investment income.) DATE 1. 2. 3. 4. SOURCE AND TYPE

IV. REIMBURSEMENTS ...... ~o~,a,Zo,, ~odg~.~.~,~a. ,~,~,~ .....

~-~ NONE (No reDortable reimbursements) SOURCE 1. American Conference Institute A~pen Institute DATES 1/21.09-1123/09 LOCATION New York, NY PURPOSE EPLI Confemece ITEMS PAID OR PROVIDF~D airfare, lodging, meals

2.

1/29/09-2/I.,10

New York. NY

Seminar on International Human Ri,~hts National Conference on EEO Law Employment Law Institute DILl Employrnent Law Seminar Upper Mid~,est

aifate, lodging, meals

3.

American Bar Association

4,2/09-45/09

Orlando, FL

mileage, lodging, meals

4. 5.

Pennsylvania Bar Institute DRI

4;15,09~/17/09 4/29/09-5!209

Philadephia. PA Orlando. FL

airfare, lodging, meals airfare, lodging, meals

6.

Minnesota CLE

5/27/09-5/28/09

St. Paul, MN

airfare, lodging, meals

FINANCIAL DISCLOSURE REPORT

~ ....

IP ...... Itllrmrting

Dateof IleportL

Page 3 of 15

~E~Elr, ~,IARK W.
Employmen! Law lnstih~tc

7/19/2010

7.

Associa,on of American Law Schools [ou,a Detiense (_ounbel Assoc.

6i9/09-6/I Z09

Lung Beach. CA

AALS Midwinter Meeting

airfare, ludging, meals

8.

9!17/09-9118/09

Des Moines, IA

Iowa Defense Counsel Meeting Ga~es Public Service Law Program Theee Slate Federal Bar Conference Filth Biennial Ohio Fcdearl Bench.,B ar Conference 2009 Fall Seminar 2009 Annual eke Program IACDL Seminar Federal Practice Seminar Co-Teaching law class

airfare, lodging, meals

9.

Gales Public Service Law Program

10/4!09-10/7.09

Seattle. WA

mileage, lodging, meals

IO. Idaho Bar Association

10/8!09-10111109

Sun Valley, II)

airfare, lodging, meals

I I.

Ohio State Bar Association

10/21/09-10/23,09

Columbus. O|I

a~rfare, lodging, meals

12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22.

NELA American Bar Associauon IACDL Iowa Slate Bar Association Drake Law School

10123~09-10i25/09 I 1/4/09-1 I/7/09 11q2..09-I 1/12:09 12/18;09-12/18/09 Spring Semesler

Boston, MA Washinglon, DC Des Moines, IA Des Moines, IA Des Moines, IA

aiclhre, lodging, meals airfare, lodging, meals mileage mileage mileage, ludging, meals

FINANCIAL DISCLOSURE REPORT Page 4 of ! 5

BENNETT, MARK V.

7/19,2010

[N

NONE (No reportable SOURCE DESCRIPTION VA[_UE

I. 2. 3. 4. 5.

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

3.
4.

5.

Name of P~rson Reporting

I.);ue of Rep.rl

PageFINANCIAI-5 of 15 DISCLOSURE REIORT

NONE (No reportable income, as.etx, or tran.sactions.) A. B C. D

<11
Pl~ce "(X)" afi~ each as~e~ ~xcmpt from prior di~losu~

(2) d]v., rent. or Inl)

Il! C~e 2
(J-P)

(2) Meth~
Code 3

~1~
buy. sell, rdcmpl~o~)

(21

~ (3) Code 2
~]-P)

14~ C(~c I
(A-HI

(51
buyer/seller (ffprivatc

C~ I
(A-H~

mmid~~

I.
2.

(IRA/Schwab)
Aim Global Health Care (Y)

None
None

3. 4. 5. 6.
7.

COlvl Fx:us Fund (Y) Columbia Selecl Opportunity Fund (Y) Columbia Value & Restructering Y) ttarding l.oevner Emerging (YI
Rainier Small/Mid Cap Equity" Portfolio (Y)

None None None None

None

8. 9. I 0. I I.
12.

Schwab Money Market Fund (Y) Non-IRA (Fidelity Account) ANTX Berkshire Ilathaway
FB R Focus Fund

None

None None
None

J J
J

T T
T

Buy
Buy

04,27/09
08:03/09

J
J

3. 14. 15. 16. 17.

Fideli~ E~T~erging Markets

None

Buy (addl) Sold

1/04;09 O4113/09 08/03/09 I 1/18.091 04/I 3/09 J J J J D C

First Eagle Global Class C

Dividend

Buy Buy (addl)

Franklin Income Class C

Dividend

Sold

P] =$25 0~).0(}I - $50,000,0~J

P4 =Morc ~ban $50.O00.FRYJ

FINANCIAl. DISCLOSURE REPORT

N ..... fP ..... Reporting

I)ate,,f Report

Page 6 of 15
Vii. INVESTMENTS and TRUSTS -i .........
~ A (including I~Sl a~cts~ Place "(X~" after each as~t exempt ~om prior di~losure B ~ing period IAmount " ly~ leg. Code I ~ di~.. rc~l.
{A-H} ~ or mr]

~E~,-NETr, ~,~RK W.
.t ......... .,.,., a...~.ao,.,.,~ .z~p.,..,. ..u a,po.~o., ~,u ........
C of rcpomng p~r~ Valu~ ~odc 2
(J-PI

7,,IW20~0
pp. 3~-60of filint, in3truction~

NONE (No reportable income, assets, or tran.vaLtion.~.) I)

Value Me0~
Code 3

lvpe e g . bu~. sell.

redcmpllo:H

I I)a~e [ Value :ola~;dt~vy [ C~tc 2

l (j.p)

Gain C~le I
, IAHI

Idemity of buyer/seller
Ofp~vate

18 19. 20. 21.

Fu~dX Aggressive Up,wader Fund

Dividend

Closed Sold

(ll/I lq)9 04"13/09 0~.13/09 04.20/09 04/I 3/09 ] J 1 I.18;09

J J J J A J C C

Hartford Capital Appreciation CL C Invesco Intl. Small Co. A

None Dividend No~e A Dividend Nooe A Dividend None J J J T T T J T

Sold Buy Sold 13try

22. JDS Uniphase 23. 24. 25. 26. 27. 28. 29. 30 3 I. 32 33. 34. Pirnco Total Return C!ass C Surebeam Corp. Va~aguard Index FDS WasatchUItra Growth Miscellaneous Holdings lo,,va College Savings Account self-- no control Iowa College Savings Account.. conlrol CKG ACCT; Fidelity, t3ostoo MA Wells Fargo Checking Account 10~,z(Nebraska State Bank Checking
.A.CCOLIn|

Buy Sold

04..20.,09 04/13/09

J J A

None ] no A A A None Interest Interest Interest None None

K J J" J J N J

T T T T T W T

J J

REINSURANCE AGREEMT; I st Colony Life Ins. Co. Bclcour Pension Invest V|

FINANCIAL DISCLOSURE REPORT

IN ......

fP ..... Rrpor6ng

I)~lte of R~porl

V1 I. ! NV ESTM E NTS and T r U STS - i ......... ~,,. , ...... .,io,.,- (Inctudes ,how q.,~ ...... d dependent c~itd ....... pp. 34-60 ,(]iting instruaion~)
NONE (No reportable income, assets, or transactions.) A.
~cnp~ton of A>sets (including t~st asselM Place "( X F ~fier each ~sset exempt ~om prier disclosure Income during ~ning pent~ II~ ~ (2J i I Amoum ~ y~ (e g., div. rent. ~ Code I

a
(I) Vnlue C~e 2

C
(;ross value at end of repoOing penod 12} V~lue Metht~ ~ Q-W)

O.
Tr~nsacl~t,ns during re~mtng ~rit~ (t~ (2} (3} ~ (4J lypele g. Date Vzlue (;zin buy.. sell. m~;dd~yy C~e ~ Code I ~ ~ {5) Identity of _ 9 buyer/seller. transaction)

35.

LMTD PTRSHIP; Riverl?ont Assn; Des Moincs. ~MTD PTRSHIP-Shezrson Senior Income Fund [.MTD PTRSHIP-Shearson Coas~ Savings

N~ne

.I

36.

None

37. 38.

None

LMTD PTRSflIP-CaDle Real Eslate

None

39. 40. 41. 42.

43.

RESIDENTIAL LOT; Sioux City, IA IRA. Fidelity, A itn International Small Company (Y) Barclays Global Investors Funds

None

Non~

Buy
Sold

0WI 1/09
I 0/22/09

J
J J C

44. 45.

Baron Partners Fund

None None J T

Sold

05119/09

Berkshire Halhaway Inc DEL CL B

13uy {addl) Duy (addl) Buy (addl) Sold (part.I Sold (part1 Sold (part) Sold

03/I 7/09 114108/09 f14Q7/09

J J J

46. 47.

48. 49.

1~.,0~/19 "~ "

J J

D ([7 I

12;02/09 12/28/09

50.

~ 51.

12,28/09

Ipa~)

FINANCIAL DISCLOSURE REPORT Page 8 of 1 5

s ....frer+o, aeo,,.i.~ u~Err, MARK W.

O.,,.ofnep+., 7!19/2010

NONE ~Vo reportable income, assets, or transactions.) A. [)cscription of Assels Place "(X)" aft ..... h as~I exempt from prm{ di~losure B Incnme during !A,~unt ~ type leg.. ~ (t~de I d~., rent. ormtl I1 {A-H) C (;ross value D "-

Vah,e CMe 2 (J-Pl

Value Meth~ C(~c3

I).~ l e g. bu). sell. redemphun)

[ Dale Value ~ (ia,n ~mm/dg~v) C(~c 2 Cnde I . i (JP) : (A-Ill

Jdcnt,ly of buyer:seller (tfpr~vale

52. 53. 54. 55. 56. 57. 58. 59. 60. 6 I. 62. 63. 64 65. 66 67. 68.

Boston Paaners FBR Focus Fund Fidelil3, Global Balanced A

None None Dividend

I~uy Sold

12;28~9 I hl 1/09 10/27/09 12..02/09

J J J J C

Buy Buy {addl)

FideliD Cash Reserves Fidelity Emerging Markets

A A

Dividend Dividend

.I

T Buy laddl) Sohi 114/02/09 12/2g/f19 03/I 7.09 05q9/09 12."29.09 (191009 0g.24,09 09,2g,09 05,18.09 05119/09 09/29/09 05.:20,09 J .I J J J J J J J J J J D D D C D

First Eagle Global Class C

Dividend

Buy {addtl Sold (patt! Buy {addl)

First Potomac RLTY FundX Aggressive Upgradcr Fund Ishares Inc. MSCI BRazil Index Fund IVA Worldwide Fund

A A A A

Dividend Dividend DiHdend Dividend K ]

Sold Sold Sold Buy Buy (addll Buy (addl)

JP Morgan Russia

None

Buy

FINANCIAL DISCLOSURE REPORT Page 9 of 15 ] BEIN]X~ETT, MARK W.

NONE (No reportable income, assets, or transactions.)

7,;19,~2010

Place "~X}" a~er each ~set exemp~ from prior di~losure

Amoun~ Code I (A-H)

Ty~ (cg. d~v . mn~, ~r inl)

Value C~3de 2 {I-PI

[ Vah~c ;~ Melht~ ~ Code 3

T)~ (e,~. buy. selk redemplionl

Date ~ Val.c Gain , mm,d&vv Code 2 " C{~c I ~ , O-P~ [~-H}

Identi~ of buver;sel~er iifpdva~e

70.

Sold Lord Abbeu D~velop Grow3h None

12/2809 12130/(19

J J

7 I.

Sold J

i72.
73. 74.

~,larket Veclors

None

Buy Buy [addl)

I 1/16;09

12.0 I,09 I 1/09"09

J J

[,.~atthe,~s China Fund

Dividend

Buy

75. 76.
77. 78.

Buy (addl) ~,lattheu,s Pacific Tiger Fund

1.4 etzler Payden A

12/29;09 09/14109
09/22109

J J
J

None
Dividend

Sold
Sold Buy (addl) Buy addl) Sold

D
C

Ne:urberger Berman Partners Trms~

None

()4,"08,09 05119z09

l J

79.

80 RI. ,qew Ccntuo" Alter S~ratcgics Oakmark Equity &lncome FD

11..()3/09 ~

D ,,

Dividend Dividend

J K

Buy

I 2~28/09 05/18/09 1/04/09

J J

82. 83.

Sold (parO Buy (addl)

J :

84

Pin3co Total Re~urn Class

Dividend

Buy

0%O8/09

85.

Buy (addl)

09/14.09

VII. INVESTMENTS and TRUSTS -i ........ i,..,, ......i,,..a...~.s.,,~,,~.4.w ...... ~..o.~ .... hita,,.:.,,,pv, s,.~o,/ui.x~ ........ ,~o.~
~ NONE (No reportable income, assets, or transactions.)

......... ~.
I including tr~: as~) Hace"(X)"a~erencb ~I exempl from prior d~sclosure

-"i

c
of re~mng period (I) [21 Value Value C~c 2 Melh~ ~.1 p~ Code3

D
(11 ~ 12) 1"3~ ~ 141 ly~[eg..~ Dale Value ~, Gain bu~. sell. ,m~ddyy ~ C~te 2 ~ C~e I rede~npuonl ~ II-P) (A-tt~ ~5) Idemityof buyertseller (if private j ~ [ ; I

rc~ing ~dod (I) ~ 1~) Amu~nt ~ Ty~eg.. Code I ~ di~. rent, : [.~-HI orml~

86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. 100. ProShares Ultra Short MSCI Emerging Mkt * See Notes Oppenheirner Gold & SPL Mincr~ds Perkins Discovery Quantitative Emerging Markets A A None Dividend None None Dividerad J T J J T T ProShares Ultra Sho~ Consume~ Se~ic~ Proghares Ultra Short FINES A None Dividend

Buy (addl) Buy iaddl) Buy laddl~ Sold (p~) 9old Buy (addll Sold ~ part) Buy (addl] Buy {addll Sold {part) Sold

09/22.09 11/I 6/09 I I/23,09 1224,09 05/08,09 05/08/09 05,13~09 05/14/09 08/12,09 08/26/09 09121 i09

J J J J J J J J J J J C C 13 E C

Sold Sold Buy [addl; Sold (pam

09/22/09 08/24/09 10/27/09 2128/09

J J J J

C C

101. T P, ov~.e Price 10Z

FINANCIAL DISCLOSURE REPORT Page I1 of 15 VII. INVESTMENTS and TRUSTS -i .......... ~ ...........
~ NONE (No reportable income, as.~ets, or A {

N .... fr ..... Reporling

Dateo[ I~eoort

u[~t~, MARK X~.

Z.IO/20m

transactions.) ~. C, of rcpomt)g Value C~)de 2 {I.P) Value Me~h~ (t~de3 Ty~ buy. sell, redemplionl D

{includmg tmsl ~sets) Place qXl" after each ~sel exen~pl from prior disclosure

~po~mg period Iyp [e g. dw., rent. orinL)

Amount Ct~e I
{A-HI

mmld~yy

Code 2 ] C~c I {I-PI ~ {A-H)

b~tyer/xeller
lifp~vale

103. UnitedSlS Na~ralGas 104. 105. 11)6 107. 108. 109. 1 I O. 1 I I. Vanguard Inflation I 12. 113. I 14. 115. 116. I 17. Wasatch 1st Source 118. Wasatch Itoisington US 119. IRA SmithBamey--] A Vangmard World FD Mega Cap A A Vanguard Index FDS Van Eck Emerging Markets

None None

Buy I3uy {addl) Sold

09t11/09 05/19/00 08/24109 04/08109 05/0509 ! 05/08,09 09729,09 09i21/09 04/02/09 04/27/09 05/14,09 12,;29/09 040g.09 09/21 ,09 12/29z09

J J J J J C

None

Bny Buy [addl) Buy laddll Ruy laddl) Sold (part)

J J J J J J J J J C E D C .

Dividend

Sold (part) Sold (pan) Sold (part} Buy laddl)

Dividend

Buy Sold

None Dividend

J 1

T T

Buy

tScu Columns CI and DJI

N =$250.001 - $51R).000

O =$500.001 - $

FINANCIAL DISCLOSURE IGEPORT Page 1 2 of 15

n ....

lP ..... Reporting

Date of Report

BENNETT, MARK W.

7:19/2010

VII. INVESTMENTS and TRUSTS - i ......... ,~ .......... tion, (In,l, de~ ,h ...... ~.[sp ........ d dependent ,hild ....... "pp..14-60 tfilinL, in.xtru,~ion.~)
NONE ~Vo r~7~ortable income, assets, or transactions.)

~ ~

Place "( x !" aficw each asset exempt lrom Wior disclosure

Amoun~ Type (e g . ] Code I . div.. rent. (A-H) orint.)

Value Code 2 (J-P)

Value Meth~ Code3 (Q-W ~

Type [e.g. buy. sell. redem~ont

Oa~e Value Gain ~:mm;d&yv ~ode 2 ~ Code I fJ Pl f.~ III ~ ]

Idenlity of huver.seller lifprivate

120.

Blackrock Energy& Resources

Dividend

Buy

11/12:0q

121.

Huy [addl~ A Interesl J T

12.0[:09

122. Cilibank NA Soulh Dakola Bank Deposit Prowam 123. Conslellation En~e~ G~ 124. Oiamon~ Trust

Interest Dividend

Sold

11119:09

Sold J T

11/12/09

125. Dreyfus kiquid Assels. Inc

Notre

Open Redeemed (pa~)

112,"09 Iq 2/09

t26. 127. Firsl Eagle Global Fund

Dividend

128. First IND Realty Trust 129. Franklin Income Advisor Class fX)
130. Franklin Income Fund Class C

A .a,
B

Dividend Dividend
Dividend

J J
J

T T
T

Buy

I 1,12/09

Buy (addl) Sold (parl)

03/I 9/09

31. 132. II~rlford Capital Appreciation Fund None J

l,"I 2/09 1!12s09 12~0 I,"09 I t/12~09

K K J K

Sold (part) Sold [part~

E C

133. 134. !lenderson European Focus Fund

None A Dividend

Snld

135.

ING Groep

Sold

I 1/12/09

136

INGRussian Fund

None

Buy

05/I8/09

.I

FINANCIAL DISCLOSURE REPORT

Page 13 of 15 VI I. INVESTMENTS and TRUSTS - i ..........
~ A

n ...... fl" ..... reporlin~

~EnnE~r, mArK W. i .......... ,io.s a,cl.ae.,,~.~o,,;~ ........ ,ac,,.~ .... ~,,~..,:~,,~.

" C ..... D.

NONE (No reportable income, assets, or transactions.) ~

Place "~X)" after each ~sel exempt flora prior di~losu~

A~um Ty~ (e g.. : Code I dw . ~nl, ~ (A-H) or rot)

Value C~dc 2 (J-P)

value Melh~l Code 3

T)~ [e.g.. bu). sell, ~dempt~on)

Dale Value ~ Gain , mrwd~[)~ Uode 2 (tmie I ~J- ) IA-tt)

Idennt) of buyer:seller (d pri~a~e

I ~?.

Sold

12/0 I.O9

138. lsharesS&PUS Preferred Stock

A A

Dividend Dividend

J K

T 2

Buy Buy

11/12/09 K

139. ]v~ As~I Strate~, Fund 140. 1~ Global Natural Resources 141. Lexington Realty Trust

I Itl2/09 I L12/09

None

Buy

Ntme

Buy

I 1/12/09

142. MFS Emerging Markets Deb Fund t43. National Bank of Greece

Dividend Dividend

Buy

I I,1209

A A

Sold J T

I 1/12,09

144 Op~nheimer Gold and S~cia[ Minderals Class C 145. Prvdenfial Financial Inc.

Dividend

A A

Interest Dividend J

Sold Buy

05.q8"09

.I

146.

Templeton Global Bond Fund

T T

I I/I 2109 11112/09 J

147.

Van~]ard Emerging Markets E~F

Dividend

Buy

148. Washington Mutua] Bank COD

P3 -$25.000.001 - $50,000.000

P~ =Morc than $50.000.000

FINANCIAL DISCLOSURE REPORT Page 14 of 15

[I

N ....

IP ..... Rer~rti.g

DIitl !1[ R~port [

] BENNETT, I~IARK W.

7/19/2010 ]

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

The IRA Schawb Acconnt (lines 2-8) mn out of money in January!Febru~Jry 2009 The account is no longer owned by the undersigned. Aim lnlernational Small Co (line 41 ) ,~as completely sold in 2008. ProsharesUltra Short MSCI (line 90), was completely suld in 2008. Franklin Income Advisor Class (line 129) was acquired in 2006 and was erroneously left off past reports. Washington Mutual Bank COD ~line 148) matured in 2007 and was erroneously included in the 2(,08 Financial Disclosure Reporl

FINANCIAL DISCLOSURE REPORT

Page 15 of 15 IX. CERTIFICATION.
I certify that all information given abo, e (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 thai any information not reported was ~,ithbcld becaus~ it met applicable statutory provisions permitting non-disclosure. " I further certify that earned income from outside employmenl and honoraria and the acceptance of gifts which have been reporlcd are in compliance nith the provisions of 5 U.S.C. app. 501 el. seq. 5 U.S.C. 7353, and .ludicial Conference regulations.

SiRnalure__

NOTE: AN~" 1NDI\IDUAL WHO KNOWINGLY AND \VILFULLY FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FII.ING INSTRUCTIONS Mail signed original and 3 additional copies to: Commitlee on Financial Disclosure Administrative Office ofthe United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544