Brock D Hornby Financial Disclosure Report for 2010

8/3/2019 Brock D Hornby Financial Disclosure Report for 2010

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AO 10Rev. 1/2011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Governm ent Act of 1978(5 U.S. C. app..so 101-111)

I. Person R eporting (last name, first, middle initial)

Hom by, D. Brock

4. Title (Article III judges indicate active or senior status;

magistrate judges indicate full- or pall-time)

2. Court or Organization

District of M aine

5a. Report Type (check appropriate ~pe)

] Nomination, D a t eDis~ct Judge (senior status)

7. Chamber~ or Office Address

United States District Court156 Federal StreetPortland, ME 04101

[] Initial [] Annual [] Final

fib. [] Amended Re[soil

8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

Reviewing Officer Date

3. Date of Report

04/25/2011

6, Reporting Period

01/01/2010to

12/31/2010

I M P O R TA N T N O T E S :The instructions accompanying this form must be followe ,t Complete all parts,checking the NONE box for ea ch part where.l ,ou have no reportable information. Sign on last page.

I . P O S I T I O N S .(Report ing individual only; see pp . 9-13 of f i l ing instruct ions.)

~] N O N E ( N oreportable positions.)

POSITION

I. Counci l Member

2. M em ber, C om mittee on Science , Techno logy and the Law The N ational A cadem ies

3.

4.

5.

N A M E O F O R G A N I ZAT I O N / E N T I T Y

The Am erican Law Inst i tute

I I . A G R E E M E N T S .a e p o r t i n g i n d i v id u u l o n l y ; s e e p p . 1 4 - 1 6of filing instructions.)

[~] N O N E (N oreportable agreements.)

DA TE PA R TIES A N D TER M S


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FINANCIAL DISCLOSURE REPORT

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Hornby, D. Brock

D a t eo f Report

04/25/2011

I II . N O N - I N V E S T M E N T I N C O M E .(R,po,lngindividualandspouse; seepp. 17-24o f f i r i n g i n s t ruc t ions . )

A. Filers Non-Investm ent Income

~ (No reportable income.)O N E non-investment

DATE S O U R C E A N D T Y P E

2.

3.

4.

I N C O M E(yours, not spouses)

B . S p o u s e sN o n - ln v e s tm e n t I n c o m e- ~ / ) ouwere married during an),portion of the reporting)ear, complete this sectlo,~.(Dollar amount not required except for honoraria.)

[~] N O N E(No reportable non-investment income.)

1.2010

DATE SO U R C E A N D TYPE

Hornby Zeller Associates (management consultants to state govts in human services areas) (See SeAddendum to Sect ion l i t(B))

I 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 ~

(Includes those to spouse a nd depend ent children; see pp. 2 5-27 of fi l ing instructions.)

[-"] N O N E(No reportable reimbursements.)

SOURCE DATES

I. A merican A ssn fo r the 02/23-25/2010Advancem ent of Science

PURPOSE

Participate in"Neuroscience in theCour t room" program

L O C AT I O N

Halifax, Nova Scotia,Canada

ITEMS PAID OR PROVIDED

paid t ravel , lodging and m eal expen

2. Osgoode Hal l Law School04/29-30/2010 T oron to , O ntario , C an ad aClass Action Symposium paid t ravel , lodging and m eal expen(Toronto)

3. The Nat ional Academies 05/I 6-18/2010 W ashington, DC CSTL Commit tee Meet ingpaid t ravel , lodging and m eal expen

4. The Nat ional Academies 10/24-26/2010 Washington, DC CSTL Commit tee Meet ingpaid t ravel , lodging and m eal expen

5.


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FINANCIAL DISCLOSURE REPORTPage 3 of 13

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

Hornby, D. Brock

D a t eo f Report

0 4 1 2 5 / 2 0 1 1

V. G I F T S .a n c t u d e sthose to spouse and dependent children; seepp. 28-31 of filing instructions.)

N O N E ( N oreportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S .a n c l ~ d e ~those of spouse and dependent children; see pp. 32-33o f f i l i n g instructions0

N O N E ( N oreportable liabilities.)

CREDITOR DESCRIPTION

1.

2.

3.

4.

5.

VALUECODE


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Hornby, D. Brock

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

04/25/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e ,value, transactions (Includes thoseof spo use and dependent c h i l d r e n ;see pp.3 4 - 6 0of filing i n s t r uc t i ons . )

D NONE (No reportable incom e, assets, ortransactions.)

3.

4.

5.

6.

7.

8.

9.

1 0 .

II.

1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

A. B. C.Descr ip t ion of Asse ts I n c o m e d u r i n g Gross va lue a t end

(including trust assets) repor t ing per iod of repor t ing per iod

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

exempt from prior disclosure Code I d iv ., ren t, C od e 2 M e t h o d( A - H ) or int .) (J-P) C o d e 3

(Q-W)

Bank of America accounts A Interest L T

Ally Bank accounts B Interest L T

Em igrant Direct B Interest M T

PayPal Money Mkt A Interest J T

U.S. Sav ingsBonds None L T

Maine State Turnpike Authy bonds C Interest L T

Maine Health & Higher Edu. Facs. Auth. D Interest M Tbonds

Puerto Rico Public Finance Corp. bond B I n t e r e s t

Bangor ME bond A I n t e r e s t

Scarborough M E bond B I n t e r e s t

Maine M unicipal Bond Bank bond A I n t e r e s t

Portland ME Airport bond A I n t e r e s t

Puerto Rico Public Bldgs Authority bond A I n t e r e s t

Commonwealth of Puerto Rico bonds D I n t e r e s t

K

K

K

K

J

K

M

T

T

T

T

T

T

T

Transac t ions dur ing repor t ing p er iod

(I) (2) (3)Ty p < : ( e . g ., D a t e Valuebuy, sell, mm/dddyy Code 2

redemption) (J-P)

K

J

Redeemed 05/25/10(par t )

Redeemed 07/26/I 0(p~)

Bu y 05/25/10 K

Bu y 07/20/10 K

Bu y 09/22/10 J

Bu y 10/29/10 J

(4 ) (5 )Gain Identity of

Code I buyer/seller

(A-H) (if privatetransaction)

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

(S~e Columns B I and I)4 ) F =$50.001 - $ 100.000 G =$100.001 - $1,000.000 H 1 = $1,000,001 -$5 ,000 ,000 H2 =More Ihan

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M -$100,001 - $250,000

(See Columns CI andD 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 - $50.000.000 P4 =More Ihan $50,000,000

3. Value Method Codc~ Q =Appraisal R =C ost (R eal Estate Only) S =A ssessm ent T =Cash Markc!

(See Column C2) U =Book Value V =Other W =Estimated

E :$15.001 - $50,000


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Hornby,D. Brock

Bate of Report

04/25/201 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. c or ~ e , v o l ae ,transactions (Includes those of spouse and dependent children; sce pp. 34-60 of filing instructions.)

1 8 .

1 9 .

20 .

21 .

22 .

23 .

24 .

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

Descr ip t ion of Asse ts I n c o m e d u r i n 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) (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 l o s u r e Code I d iv. , r en t ,

( A - H ) or in t . )

Univ. of Maine System bond

Puerto Rico Elec. Pwr Auth. bond

Puer to Rico Aqueduct & Sewer A uth . bond

Lewis ton , ME publ ic improvem ent bond

RBC W eal th Mgt mon ey mkt acct

T. Rowe Price Mutual Funds

-International Stock

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 Value

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

( Q - W )

(l)

Type (e.g.,

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

Tr 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 )Date Value [ Gain Identityof

m m / d d ! y yCode 2 , Code l buyer/sellerJ-P) i t (A-H)

( i f pr iva te

t r ansac t ion)

25. Vanguard Group Mutual Funds

A Interest J

B Interest K

A Interest J

Bu y 02/01/10 K

A Interest K

A Interest J

Bu y 04/21/10 K

A Dividend K

26 . -Asset Allocation Fund A Dividend

27 . -Va lue lndex Fund A Dividend

28 . -Inflation Protected Security Inv A Dividend

29 . -Strategic Equity Fund A Dividend

30 . -Tax Mg t lntl Fund A Dividend

31 . The MP 63 Fund, Inc. (mutual fund) A Dividend

32 . Alpine Funds

33 . -Dynamic D ividend C Dividend

34 . -International Real Estate A Dividend

J

K

J

J

J

K

T

T

T

T

T

T

K

K

T

T

I. Incom e Gain C odes: A =$I,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,0OI - $15,000

(See Columns BI and D4) F =$50.001 - $100,000 G =$100.001 - $1,000.000 HI =$1,000,001 - $5.000.000 H2 =More than $5.000.000

2. Value C odes J $15,0O O or less K =$15,001 - $50,0OO L $50,001 - $10~,000 M -$100.001 - $250.000

(S ee Co lu mn s C I an d D 3) N :$ 250 .0 01 - $ 500 ,0 00 O =$500,0OI - $1,000.000 PI =$1,0OO,001 - $5,000.000 P2 =$5,090,0OI - $25.000.000

P3 -$25,000,001 - $50,000.000 P4 =More than $50.000.009

3. Value Method Codes Q =Appraisal R =C ost (Real Estate O~ly) S =Assessment T =Cash Market

(See Column C2) U =Book Value V =Other W =Estimated

E =$15.0OI - $50.000


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Hornby, D. Brock


04/25/2011

VII. INVESTMENTS and TRUSTS- i .... e .value,, ...... t ions (Includes those of spouse and d ependent children; see pp.34-60 of filing instruction~.)

D NONE income, or transactions.)N oreportable assets,A. B. C.

Description of Assets Income during Gross value ate n d

( i n c l u d i n gmast assets) repo rtin g perio d of reporting period

(I) (2) (i) (2)

Place "(X)" after each asset Amount Type (e.g., Value Value

exempt from prior disclosure Code I div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3

(Q-W)

35. -Dynamic Balance

36 . B rid ge way Fu nd s

37 . -Ultra-Small Company M kt Fund

38 . Matthews Asian Funds

39 . -Asia Pacific

40. -India

41. The Fairholme Fund* *

42. corn stk Avon Products

43. corn stk H.J. HeinzCo.

44. com stk Illinois Tool Works

45 . Brokerage Acct T. Rowe Price

46. -Cash Management Account

47 . -corn stk General Electric Co.

48. - tom s tk Diageo PLC new (ADR)

49 . -com stk Avon Products

50. -ETF I Shares MSCI Mexico

51 . -com stk First Service Corp.

A Dividend J T

A Dividend K T

A

A

C

A

A

A

Dividend K T

Dividend K T

Dividend L T

Dividend K T

Dividend K T

Dividend K T

A

A

A

A

A

I n t e r e s t J T

Dividend J T

Dividend J T

Dividend K T

Dividend J T

None K T


0) (2) (3)Type (e.g., Date Value

buy, sell , mnffdd/yyC o d e 2

r e d e m p t i o n ) (J-P)

buy m thly J

bu y mthly J

Bu y J

bu y mthly J

bu y mthly J

buy mthly J

Donated 09/27/10 J(pan)

(4 ) (5 )Gain Identity of

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

transaction)

I. Income Gain Codes:(See Columns B Iand D4)

2. Value Code~

(See Columns CIand D3)

3. Value Method Codes(See Column C2)

A =$1,000 or lessF =$50.001 - $100.0~J =$15.000 or lessN $250.001 - $50~,000P3 =$25.00~.0~1 - $50.00~.000Q =Appraisal

U =Book Value

B =$1.001 - $2,500

G ~$100.001 - $1,0~.090K =$15,001 - $50,0~O =$500,001 - $1,000.000

R =C osl (Real Estate OnlylV Olher

C =$2,501 - $5,000H 1= $ 1.000.001 - $ 5,000,000L =$50.001 - $ 100,000PI =$1.000.001 - $5,000.000P4 Morethan $50,000,000

S = A s~ssmcnlW =E~timalcd

D= $ 5.001 - $15,000H2 =More than $5,000,000M =$100,001 - $250,000P2 =$5.000.001 - $25.000.000

T-Cash Marke t

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPO RTPage 7 of 13


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04/25/2011

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 , .e , v a l a e , t r a n s a c t i o n s(tnctudes those of spouse and dependentchildren; s e e p p . 3 4 - 6 0of filing instructions.)

N O N E ( N oreportable income, assets, or transactions.)

Description of Assets Income during( inc lud ingtrust assets) reporting period

(I ) (2 )P l a c e"(X )" after each asset Amount Type (e.g.,

exempt from prior disclosure Code I div., rent,( A - H ) or int .)

Grossvalueat endof repor t ing per iod

O ) ( 2 )V alu e V alu e

C o d e 2 M e t h o d

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

(0Type (e.g.,


Transac t ions dur ing repor t ing per iod

( 2 ) (3) ( 4 )

D a t e Value Gainmnddd/yy Code2 Code 1

( J - P ) ( A - H )

(s )Identityof

buyer/seller(if private

transaction)

52 . -corn stk Sirius Satellite Radio None J

53 . -Barclays Bank PLC iPath Index Fund

54 . - -co rn st k N ewe ll Rubbe rma id A

None

Dividend

J T

T

55. IRA Brokerage Acct T. Rowe Price # I

56. -Cash Management Acct

57. -corn stk Intel Corp.

58. -comstk Starbucks Corp.

59. -corn stk Popular, Inc.

6 0. - Was hin gt on R EIT

61 . -corn stk Pioneer Natural Resources

A I n t e r e s t

A Dividend

A Dividend

None

B Dividend

A Dividend

J

K

K

J

K

K

T

T

T

T

T

T

62 . -ETF I Shares MSCI Japan

63 . -mutual Fai rholme Fund

A Dividend

A Dividend

J

K

T

T

64. -Blackrocklntl Bond Portfolio A Dividend J

65 . -American Campus Communities REIT

66. -com stk Grupo Televisa

67 . -Turkish Investment Fund

A Dividend

None

A Dividend

K

K

K

T

T

T

68 . -Prudent Bear Fund None J

I. Incom e Gain C odes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000

(See Columns B I and D4) F -$50.0~1 - $ 100,000 G =$ 10 0.0 91 - $ 1,0 ~) .0 0O H 1 = $ 1.0 0~ .0 01 - $ 5,0 ~0 ,0 ~O2. Value C odes J = $15,000 or less K =$15.001 - $50,000 L =$50.001 - $ 100.000

(See Columns CI and D3) N =$250.001 - $500,0~ O =$50


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Hornby, D. Brock


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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-income,value, transactionsa n d . d e s t h o s eo f s p o . s eo ~ ddependent children; seepp. 34 -60 of filing instructiom.)

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

Description of Assets Income during(includingtrustassets) reporting period

(1) (2)

Place "(X)" after each asset AmountType (e.g.,exempt from prior disclosure Code I div., rent,

( A - H ) or int .)

Gross va lue a t endof repor t ing per iod

(I) (2)Value Value

C o d e 2 M e t h o d

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

Type (e.g.,



(2) (3) (4)Date Va l u e Gain

m m / d d / y y C od e 2 C od e I

(J-P) ( A - H )

(5 )Ident i ty of

buyer / se l le r( i f pr iva te

t ransac t ion)

69 . -corn stk Peabody Energy Corp A Dividend

70 . .-com stk Patriot Coal Corp, None

71 . -AIpineTotal Dynamic Div. Fund A I n t e r e s t

72 . -T. Rowe Price Emerging Europe A Dividend

7 3. - M at th ew s K or ea F un d A Dividend

K

J

J

J

J

T

T

T

T

T

74 . -com stk Amazon.corn None K T

75 . -W isdom Tree Large Cap Div A Dividend K

76 . IRA Brokerage Acct T. Rowe Price #2

77 . -Cash Management Acct A I n t e r e s t J

78 . -com stk DW S Europe Equity Fund A Dividend J

79 . -corn stk Powershares QQQ (frmrly NasdaqA Dividend KI 0 0 )

80. -corn stk Imm unogen Inc. None J

81. -U.S. Global Investors Eastern Europe None J

(mutual)

82. -Vanguard REIT Vipers A Dividend J

83. -com s tk Coca Cola A Dividend J

T Bu y

T

T

T

T

T

T

T

01/24/10

84. -Vanguard Strateg ic Equity A

85. -com stk M edtronic Inc. A

Dividend

Dividend

J

J

T

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

(S~e Columns BI and D4) F =$50.001 - $10O.0O0 G = $ 1 0 0 , 0 0 1l $ 1,000,0O0 H I = $1 0 00 "0 01 " $ 5. 0 0, 00 0 H 2 = Mo re th an $ 5. 00 0, 00 0

2. Value Codes J = $ 1 5 , 0 ( ~ O o r l e ss K -$ I 5,001 - $ 50,000 L =$ 50,001 - $ 100.000 M= $ I 0~.001 - $ 250,000

ISce Columns CI and D3) N =$250.001 - $500.000 O =$500,001 - $1,0~O,0~O PI -$1,000.001 -$5,000,000 P2 =$5,000,0OI - $25,000,000

P3 =$25.000.001 - $50.0(10.000 P4 =More than $50,00~.00~

3. Value Method Codes Q ~Appraisal R =C ost (Real Estate Only) S =As~ssment T =Cash Market

{See Column C2) U =Book Value V rOlhcr W =Estimated

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


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

Hornby, D. Brock


04/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S- income. ,,al,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.)

Descriptionof Asse ts I n c o m e d u r i n g

(including trust assets) repor t ing per iod

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

exempt from prior disclosure Code I div., rent,( A - H ) or int .)

Gross va lue a t end

of repor l ing per iod

(1) (2)Value Va l u e

C o d e 2 M etho d(J-P ) C ode 3

( Q - W )

(1 )Type (e.g.,

buy, sell ,

r e d e m p t i o n )


(2) (3) (4)D a t e Value Gain

mm/dd/yy Code 2 Code I( J - P ) (A-H)

Ident i ty ofbuyer/seller

( i f pr iva teIxansaction)

86 . -adr Nokia Corp . A Dividend J

87 . -Developers Diversified Realty REIT A Dividend Jpreferred Class H

88 . -com stk Cisco Systems Inc. None J

89 . -adr Vodafone Group PLC A Dividend J

90 . -com stk N autilus Group Inc. None J

91 . -corn stk Developers Diversified RealtyA Dividend JREIT

92 . -Value Line Fund Inc . N o n e K

T

T

T

T

T

T

T

93 . -Prudent Bear Fund None K

94 . -Fidelity Nordic Countries Fund

95 . -I Shares MSCI Japan

96 . -T. Rowe Price Africa & M idd le East

A Dividend

A Dividend

None

J

J

J

T

T

T

97 .

98 .

99 .

-I shares TR S&P Global InfrastructureIndex Fund

-Vanguard FTSE Al l -World ex-US ETF

A Dividend

A Dividend

J

K

T

T Bu y 01/24/10 K

Pension Plan Acct. TIAA-CREF None M

100. Pension Plan Acct. TIAA-CREF None O

101. 401K Plan CM C Interactive LLC

102. -First Eagle Over A* C Dividend M

I. Income Gain Codes:(See Colunms BI andIM )

2. Value Codes(See Columns C I and D3)

3. Value Mcthod Codes(Scc Column C2)

A =$1,000 or lessF =$50,001 - $100.000J =$15,000 or lessN =5250.001 - $500,000

P3 $25,000,001 . $50,000,000Q =Appraisal

U =Book Value

B =$1.001 -5 2 , 5 0 0G =$100,001 - 51K =$15,001 - $50.0000 -5500,001 -

R =Cost(Rea lEsta te Only)V -Other

C =52,501 - $5,000H I =$1,000,001 -L =$50,0OI - 5100.000

PI =51,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW =Estimated

D =$ 5.001 -$15 ,000H2 =More than $5,000,000M =$100.001 - $250,000P2 =$5,000,001 - $25,000,000

T =Cash Market

E = $ 1 5 , 0 0 1- 550,000


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0 4 / 2 5 / 2 0 1 1

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 r ~ e , , . o l u e ,transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

N O N E ( N oreportable income, assets, or transactions.)

Descr ip t ion of A sse ts I n c o m e d u r i n 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

( 1 ) ( 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 C o d e I div., rent,( A - H ) or in t . )

Gross va lue a t end

of repor t ing per iod

( I ) ( 2 )Value Value

C o d e 2 M e th o d( J - P ) C o d e3

( Q - W )

(i )Ty p ~ ( e . g .,buy, se l l ,

r e d e m p t i o n )


(2) (3) (4)D a t e Value Gain

m m /d d/y y C od e 2Code I(J-P) (A-H)

Identi~ of

buyer/seller( i f pdvar t e

t r ansac t ion)

103. -Am. Fds Growth Fund R4 (RGA EX)*

104. -Perkins Mid-Cap Value Inv (JMCV X)*

A Dividend

A Dividend

K

J

T

T

105. -Royce Tota l Return* A Dividend K

106. -Oakmark Equi ty & Income J* B Dividend L

107. -Selected A merican A Dividend K

T

T

T

108. -Columbia Acorn Fund* A Dividend L T

109. -Pimco Tota l Return A Dividend J T

110. -Schwab Int l Index A Dividend K T

I I I . -Principal Investo rs High Yield II A Dividend J T

112. nonvot ing s tk Mandel Inves tment C orp .A Dividend N U

113. I/2 unit l id. partnership int . in F allsDevelopment Assoc. ,

114. l td. real estate partnership purchased12/30/85; total

115. of $16,489.50 pd in installmen ts completed2110/90

116. l td. partnership int . in Miraculou s, LLC, l td.

N o n e K

I 17. real estate partnership purchased 2 /11/02B Distribution L R$50,000

118. Minnesota Life :endowment l i fe A Dividend J T

119. Homby Zeller Properties LLC N o n e N

I . Income Gain Codes: A =$1,000 or less B =$I,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000

(See Columns BI and D4) F =$50,001 - $100,0~0 G =$100,001 - $1,000,0(X) H I =$1,000,001 - $5,000,000 H2 =More Ihan $5,000.0~O

2. Value Codes J =$15,0~0or Icss K $15,001 - $50,000 L =$50,001 - $100,0~0 M =$100,001 - $250,000

(See Columns CI and D3) N = $250.001 - $500,000 O =$ 50 0,0 01 - $ 1,0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $ 5, 0(~ ). 00 0P2 =$5.000,001 - $25.000.000

P3 $25.000.001 - $50.000.000 P4 =Mon: than $50,0~0,00~

3. Value Method Codes Q =A ppraisal R -Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U =Book Value V =O lhcr W =Estim ated

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


11/13


Page 11 of 13


Hornby, D. Brock


04/25/2011

V I I. IN V E S T M E N T S a nd T R U S T S-inc~me~value~transacti~ns(~ncludesth~se~fsp~useanddependentchi~dren;seepp.34~6~f~inginstructi~n~-)

D NONE (N oreportable incom e, assets, or transa ctions.)A. B. C.

Description of Assets Income during Gross value at end(including trust assets) reporting period of reporting period

( 1 ) ( 2 ) ( I ) ( 2 )

Place "(X)" after each asset AmountType (e.g., Value Valueexempt from prior d isclosure Code I div., rent, Code 2 Method

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

Type (e.g.,



(2) (3) (4)Date Value Gain

m m / d d / y y Code2 C o d e I(J-P) ( A - H )

(5 )Ident i ty of

buyer / se l le r

( i f pr iva tet ransac t ion)

120. BACHZA , Inc.

121.

None J U

122. * amounts contributed automatically on

r e c u r r e n t

123. basis by employer and employee

124. ** See Part V III.

I. Incom e Gain C odes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5.091 - $15,000(See Columns B I and IM) F =$50,001 - $100,00~ G = $1 00,0 01 - $ 1,0 00.0 09 H I = $1 ,0 00,0D I - $ 5,00 0.0~ 0 H 2 = More than $ 5,0 00,00 0

2. Value Codes J =$15.0~O or less K =$15,001 - $50,000 L -$50.001 - $ 100,000 M =$ 100.001 - $250.000

(See Columns CI and D3) N =$250,001 - $500,000 O =$500.001 - $1,000,000 PI =$1,000,091 - $5,000.000 P2 -$5,000.001 - $25.000.01)0P3 =$25,000,001 - $50.000,000 P4 =More than $50,000.000

3. Value Method Codes Q =Appraisal R =C ost (Real Estate Only) S =Assessment T =Ca,.h Market(See Column C2) U =Book Value V =Other W =Estimated

E =$15.001 - $50.090


12/13



Hornby, D. Brock

Date of Report

04/25/201 I

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS.(ln,ticarepartofrepor~.)

Par t I l l (B) : ~-~,~_~ incom e der ives f rom salary and dis t r ibutions in the m anagem ent consul t ing f i rm of wh ich she i s a f i f ty percen

and em ployee (subchapter S corp


13/13


Name of Person Report ing

Hornby, D . Brock

Date of Report

04/25/2011

IX. CERTIFICATION.

I cer t i fy that a l l informat ion given above ( including informat ion per ta ining to my spouse and minor or dependent chi ldren, i f a

accurate , t rue , and complete to the bes t of m y kno~vledg e and bel ief , and that any inform at ion not repor ted ~vas w i thheld because i tprovis ions permit t ing non-disc losure .

1 fur ther ce rt i fy tha t ea rned incom e f rom outs ide em plo)anen t and ho norar ia and the accep tance of g i f t s which have been repor ted a re incomp l iance wi th the p rov i s ions o f 5 U .S .C . app . 501 e t . seq . , 5 U.S .C . 7353 , and Jud ic ia l Confe rence regu la t ions .

Signature: S/D. Brock H ornby

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 LY A N D W I L F U L LY FA L S IF I E S O R FA I L S TO F I L E T H IS R E P O RT M AY B E S UAND CRIMINA L SANC TIONS (5 U .S .C . app . 104 )

Co mm ittee on Financial DisclosureAdm inis tra t ive O ff ice of the U nited States C ourtsSuite 2-301On e Columbus C i rc le , N .E .Washing ton , D.C. 20544

Brock D Hornby Financial Disclosure Report for 2010

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