Richard E Dorr Financial Disclosure Report for 2009

8/3/2019 Richard E Dorr Financial Disclosure Report for 2009

1/17

A n l o I FINANCIAL DISCLOSURE REPORT R ~ p o r t R e q u i r e d b y t h e P _ . t h i c sin Government Act of 1978g e v . t / 2 0 1 0 ] F O R C A L E N D A R Y E A R 2 00 9 ( 5 u . s . c , a p p . , ~ 1 o 1 . 1 1 I )!i Person Reporting (last name, firsL m iddle initial) 2. Court or Organization 3. Date of ReportDon-, Richard E. US Dis~ct Court Western District of Me 5/ I 1 /2010

"4. Title (Ar:icle 11 1 ju dges indicate active or senior stares; 5a. Report Type (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or part-time) [] N ominadono D ate 1101 / 2 009Active US District Court [] Initial [] Annual [] Final to, ,. 1 2 /31 /2 0 0 9

5b. [] Amended Report7. Chambers or Office Addr~s 8. On the basis of the information coatalned in this Report and an},modifications pertaining thereto, it is, in my opinion, in compliance222 John Q. Hammons Parkway with applicable law~ and regulations.Suite 3100Springfield. Me 65806 Reviewing Oificer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea~ Complete all parts,checking the NONE box for each part where you have no reportable informatiom Sign on last page.

I . P O S I T I O N S . t R e ~ o . ~ , x i . ~ i .~ z , ~ o , t ~ ; s , e ~ , . ~ - ~ J of fillng tn.~tructlans.)~ NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

---I I . A G R E E M E N T S . m e ~ o r t i , ~ individ.ul only? see pp, 14-16 of filing in.rubens.) ~ 2-"

NONE (No reportable agreementsO~ PARTIES A~ ,T~RMS ~

I.


2/17

FINANCIAL DISCLOSURE REPORT I ~ ~ . , . o r P .....a ~ p o ~ o ~ o . ~ o f ~ oo~ .Page 2 of 17] Doff, Richard E.

5/11,2010

I II . N O N - I N V E S T M E N T I N C O M E . ~Repo.i, ,~ individual and.,pouse; ~p~ I7-24 of filing i~tructian.~)A. Fliers Non-Investment Income

N O N E (No rep ortable no n-investmenl income .)~ SOURCE A~ T~E NCOMg(you~, not spouses)

1 .2.

3.4.

B . S p o u s e s N o n - l n v e s tm e n t I n c o m e - tf y,,u w e,e married d uring any portion of lhe repo rting j,ear, complete this section.(l)t~llor omount n~t required except for lumoraria.)

[~ NONE (No repo rtable non-investment income ,)D A T E SOURCE AND TYPE

I.2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, ntcrtai ..... t.(Includes those to spouse and dt, pemlent children: see pp, 2J-27 trilling i~tn~ctions.)

NONE (No reportable reimbursements.)~ ~ LOCATION PURPOSE ITEMS PAID OR PRQVIDED

I.2.3.4.5.


3/17

P a g e F INA NCI A L 3 o f 1 7 DI S CLO S U RE ~P O RT ~ ~o ~ , m ~h ~ a E.

~ N O N E ~ro reportable g~s.)~ DESCRIPTION

1 ,2.3.4.5.

~ N O N E ( N o reportable liabilities.)C R E D I T O R DESCR~TION VA LUE CODE

I.2.3.4.5.


4/17

F I NA N C I A L D I S C L O S U R E R E P O R T r~ . . . . f P ~ ,o n R e p o , ~ in ~ 0 ~ , o o r R e p o r tP a g e 4 o f 1 7 D o f f , R i c h a r d E . 5 / 1 1 / 2 0 1 0VII . INVE STME N TS and TRU STS - z .... o , ~ . t . o , , . . . . .., i o n s a n c o n a . , a , o , , o ~ . v .. . .. . . ~ . ~ . , ~ i ~ a . .; . , r ~ ~ - ~ o o ~ n . x . i . .~ , ~ . ~ o . . ~ )

~ NO~ ~Vo reportable income, assets, or tra~actio~.)A. B, C, "~.

Desc~p~ion of Asse~ [ Income du6ng Gross value at end T~nsacfions during r~ing ~fiod< i ~ , , ~ ~ . ~ ~ . ._ yS~.~.~{~ ........o~ ,5~.~y3g)~_ .................

I ~ ~ ~ ~ ~ ~ ] ~ ~ ~ - ~ . . . . . . . . . . . .~j ....Place "(X)" af ler cach asset A .... t] "]y~{e.g., V alue V alue T~(c.g., l Dat, ~ Value I Gain ] Idcnliryofr (A-fl)] or int) ~ OP) [ Code 3 redemption) (J-P) ~ (A-H) t (if private

l ~ I(QW) I. i ~ , ramacl ion)

I. Commerce Bank Account A Int./Div. ~ T

2. Signature Bank CD (X) A Int ./Div. J T3. ~3ROKEP~.GE ACCOUNT # I Edward

Jones4. -OReilly Automotive (ORLY) Common None N TStock5. -Su nAmerica Life Ins Polaris Variable None K TAnnuity6. -|lanford Lifc Director Variablc Annuity None K T

7. -Great Southern Bank (GSBC) Comm Stk B Dividend L T Buy 0 1 / 0 9 / 0 9 J

8. Buy 07/14/09 J

Buy 10 / 14 / 09 J

10 . -Guaranty Fed Bancsharcs Ine (GFED) J TCornm StkI. USAA Investment Mgmt Co. IRA D Dividend M T

,12. -USAA GNM A Trust B1 3 . -US AA ltigh-Yicld Opportunities Fund B

1 4 . -USAA Income Fund A i " 5 . -USAA Income Stk Fund A1 6 . -USAA S & P 5 00 Index Fund Member AS h a r e s1 7 . -USAA Shor t -Term Bond Fund B

I. Income Gain Codes: A =$1 .000 of les~ B -$1.00l - ~2.500 C =$2.501 -$5.000 D ~ $ 5 . 0 0 1 . $ 1 f ;. O 0 0 E -$15 .001 - ~ 5 0 . 0 0 ~( S e e C o l u m n s B I t=nd D4 ) F -$50.001 . $ 100.000 G -$ 100 .001 - $ t . O O O . O 0 0 H I = $ 1 . 0 O O . O 0 1 - $ 5 . o 0 0 . 0 0 0 H 2 = M o r e t h a n $ $ . 0 0 0 .0 0 0( S e e C o l t u ~ l rl $ C l a n d D . ~ ) N =$ 250 . 001 - $ 5 C ~ , ~ 0 O = $ 5 0 0 .0 0 1 - $ l .O O O . 0 0 0 PI =$1.000.00l - $5 .1~)0.000 P 2 ~ $ 5 . 0 0 0 . 0 0 1 - $ 2 5 . 0 0 0 . 0 ( K }P . ~ - $ 2 5 . 0 0 0 .0 0 1 - $ 5 0 . 0 O O . 0 0 0 P4 -More than $50.000.00 03. Vahm Method Codes Q = A p p r a i : .. a l g =Cosl (Real EsLaI~ Only) $ = A s s e S S l ] ~ .c n l l = C a s h M a r k et{See Colu.rna C2) U =Book Value V = = O t h er W =Estimated


5/17

F IN A N C I A L D I S C L O S U R E R E P O R T I N ....f P e r ~ o n R e p o r t i n g 1 D a , e o f R e p o r tPage 5 of 17I Doff, mehard . ]

5 / I 1 , 2 1 1 1 0

VII . INVE STM EN TS and TRUSTS - ~ .... e, value, t .....act ion , (lnclud :s those of spo . . . . . . d dependent children; see pp. 34-60 of ~limA, in%tructions.)NO~ ~o reportable income, ~sets, or transactions.)

A. B. C. D.D~ r cNp t ion o f Ass~ Income duNng Gross value at end Transac tion~ du ring ~po~ ing(including tm~t ~scL~ ) ~o~ing pcri~ of rcpo~iag

exempt ~mm prior disclosure Code 1 ] div., re in. C~e 2 M ethod buy, sell, mm/d~[ CM~ 2 [ Code I ~ buyer/seller

18 . SpringHcld Trust Co. CONDUIT IRA E Dividend O T

1 9 . -CASI I EQUIVALENTS20. - -Federated Prime Obligations21. F I X E D I N C O M E F u N r ; S . . . .22. --Fed Total Return Bond (formerly Sets BD Sold 04 / 07 / 09 KFD Instl S V ) (part)

23. Buy 0 9 /1 6 /0 9 J

2 4. --Pimco Foreign Bond-Unhedgcd (formerly Sold 04 /07109 JFDS FGN BD UNIt ADM) (part)2 5 . Buy 09/16/09 J

2 6 . --V anguard Inflation Protected (formerly B u y 04/07109 KSecurities FD)27 . B u y 09/16/09 J28. --VGD GNMA (formerly Fund #536) Sold 04/07/09 K A

(part)29 . Buy 0 9/I 6/0 9 J30. ":EQ61TY M"UTUA~- FUNDS

31. --VGD Dcv Mkt Index (formcrly Star Fd B uy 04107 /09 KDcv Mkt Stk Index #227Buy 09/16/09 J I"

33. --Vanguard 500 Index (formerly VGD IN D Sold 04/07/09 J500 - INST 094) (part)34. B u y 09/I 6/09 J

L Income Gain Codes: A - $ I . N ) 0 o r I e . s .~ B -$1.001 - $2.500 C =$~.~50 I-~.1~00 D = $ 5 , ~ I - $ 1 5 ,~ E =$15,~ I - $~0,000

P3 =$25.~,0DI - $SO.~O,000 P4 ~M~re th~n $50.~,~02. Val~ Mc~ C~ Q ~App~i~l R ~ost {Real ~t Only) S -A~:~nt T -Cash M anet


6/17

F I NA N C I A L D I S C L O S U R E R E P O R T N .... fP ..... Report ing D a ~eo f R epo r tP a g e 6 o f L 7 D o r r , R i ch a r d E . 5 / I 1 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . ~ , ~ o , t . . . . . . r i o . , a . a , , , , , ~ . o , , o I . ~ p o . ~ , a . , ~ o ~ o . , ~ . , ~ . ,a , . ;

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 l~ri,~i(including trust assets) reporting period of reporting period

Place "(X)~ al~er each as~t ~.mount | Type (e.g., Value | Value Type (e.g . , Date Value Gain ldcmi~y ofCode I [ div., rent, Code 2 | Method buy, sell, mm/dd/yy Code 2 Code I buyer/sellerxempt frompriordisclosure [ I (J-P) i (A-H) I (if private(A-H) or int.) (I-P) / Code 3 redemption)..................................................... I ~_-y) ................. ~ . . . . . .~ . . ~ . . . t ~ o ~ o ! ~ . o _ , _ . . . . .35 . --DFA US Micro Cap Sold 04107109 J(part)36. Sold 09 /16 109 J

37. - - DFA U S Sml Cap Sold 04/07/09 J( p a r t )38. Sold 09/16/09( p a r t )39. -- D FA U S Sml Cap V al Sold 04/07109 J(p~)40 . Sold 09/16/09 J(pan)41. -- DFA Large Cap Val Sold 04107 109 J(part)42. Sold 09 / 16 / 09 J

43. --D FA lntl Val (formerly PTF) Bu y 04/07/09: K44. Sold 09/16/09 J A(part)45 . -- DFA Intl Smcap Val Bu y 04/07t09 J46 . Sold 09 / 16t09 J(part)

!47. -- DFA [nil Sml CO (formerly Ptfl) Buy 04107109

48. Sold 09 / 16 / 09 J( p a n )49. -- DFA EM~RG MKTS VAL Buy 04107 109 J

5 0 . Sold 09/I 6/09 J(part)5 I. Buy 12 / 14 / 09 J

I. Income Gain Codes:

3. Value Me~od C~ Q =Appmi~ R "~t (R~I ES~IC Only) S -As~ss~nt "r ~ll Markd


7/17

N a m e o l P e r $ o n R e p o r t i n g Da te o1 " Re portF I N A N C I A L D I S C L O S U R E REPORT[ Dorr, Richard E.a g e 7 of 17 ~ / 1 ~ / 2 0 1 o

VII. INVESTM ENTS and TRUSTS - i ......... ~ , t ........Ctions (It, eludes ~hose of xp ...... d dtpend e~t ch ildren; seepp . 3~-60 o f f i l ing in,~ruction.~)~ N O ~ (No reportable income, a~sets, or transactions.)

..... ~. " ...... .... ~. " [ " ~ ..............D ~ cription of A ssets Incom~ d~ ing Gross value at end T~nsactions dufng r~oning ~riodreining period of reposing period /- Il~e "(X)" after ~ch asset Amount / T~ [e.g.exemptfiompriordiselosure Cod~l [/div..rent, buy, sell, mm/d~ Code2 Codel ~ buyer/seller[ (A-H) / or int.) ~demption)....................................................

5 2 . --DFA EMERG MKTS Sold 04/07/09 J

5 3. Sold 09/I ~09 J(paa)54. Buy 1~14/09 J

55 . - -DFA E mcrg Mkts Small Cap B uy 04/07/09 J56. Sold 09/16/09 J(part)57. --Pimco C ommodity Real Return (formerly Sold ( 2 , 4 / 0 7 / 0 9 JS D S PA C I N VT MG T S R ) (part)58 . B uy 09/I 6/09 J

59 . B uy 12/17/09 J60. -- N orthern Global Real Estate (formerly Buy 04/07/09FDS Global PiE IX)61. B uy 09/16/0962. -- V anguard Growth Index (formerly FDS Sold 04/07/09 JGRW ID X Si~.mal) (part)63. B uy 09/16/09 J64. -- Federated High Yield Bond Buy 04/07/09i J65. B uy 09116/09 .166. --Vanguard Short-Term lnv Grade Bu y 0 4 1 0 7 1 0 9 K67, Bu y 09/I 6/09 J68. -- V anguard Int-Tcrm lay Grade Bu y 04/07/09 K

" 1 . I n c o m e G = = i r t C o d e s : A - $ 1 . 0 O 0 o r h . ~ s I I = $ I o 0 0 1 - $ 2 . 5 0 0 (2 -12,501 - $$.000 D -$5,001 - $15,000 E - $ I $ , L ~ 0 1 - - $ 5 0 , 0 0 0(See ColumrLs I] I and D4) F -$50,(~01 - $100,000 O "$100,001 - $1,000,000 I11 "$1,0~.0O I - $5,000 ,(~0 H2 =More tt~n $5,000.000~ . . g c e C o h l r a rt $ C I a n d D 3 ) N ~$250,001 - $500.000 O = $ 5 0 0 , 1 K I I o $ 1 , 0 0 0 ,0 0 0 PI =$1,000.001 . $5.000,000 P2 -$5,000,001 - $25,000,000P 3 = $ 2 J , 0 0 0 .0 0 1 o $ 5 0 . 0 0 0 .0 0 0 P 4 = M n r ~ t ha n $ 5 0 , 0 0 0 . 0 0 03. Value Method Codes Q = Appraiml R "Cost (Real Eskate Only) S =Assessment T ~.Cash Market


8/17

JNamef Person Repo r t lnRI

Date of Repor tFINANCIAL DISCLOSURE REPORTI Doff, R ichard E.

Page 8 of 17 5 / ~ l n 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - . c o , , , ., v a t . ~ , t . . .. . . . t ~ o . s ( l n c l u d e . ~ t h o s e of spou.se and de pendent childrent s e e p p . 3 4 - 6 0 of f i l ing in,ructions.)[~ NONE (No reportable income, assets, or transactions.)[............... ~. " ....................fi: ....... ...... c: ...............................~: ................I Description elAssets Income during l G ross value at end Transac tions during reporting period(inc luding tru st assets) reporting period of reporting p e r i o d

Amount I Type(e.g., " Value Value Type(e.g., Date I Value I Gain Idcntityoflace "(X)" a l l . . . . . h a s s e t ("i--I ....... i;/) ....... iI . . . . (li "(~)" i~ ......... (2i "! i~) " (4) (5 )

exempt from prior disclosure Code 1 I div,, rent, C ode 2 Method buy, sell, mmtdd!yy Code 2 Cc, dc I buyerls~ller( A - H ) or intO (J-P) C o d e ( Q . W ) 3redemption}

II (JP)(A -H I t r a r ~ a c t i o n } ( i f p r i v a t e

69. B u y 09/16/09 J70 . Ozark National Ordinary Life ins. Policy A /nt./Div. J T

7t. Revocable Trust #1 B Dividend M T72. - Cash Equivalents

73. -- Federated Prime Obligations

74. - Fixed Income Funds

75. -- Federated Total Return Bond (formerly Sold 04 / 09 / 09Scrs BD FD INV SV) (part)76. Sold 0 5 / 1 9 1 0 9

( p a r t ):77. Sold 06 109 /09(par078. Sold 0 8 1 1 1 / 0 9( p a r t )79. Buy 09116109

80 . Buy : 10!02/09 J81 , --Federated H igh Yield Bond Buy 04/08109 J82. Sold 05/I 9/09(P~)8 3. Sold 06 109 /09

(part)8 4. Buy 091161098 5 . Buy 10102109

I. Income Gain Ct~dc~: A -$ I .lYJ0 or less B -$1 .001 $2 .500 C ~$~501 - $~ .~0 D =$ 5 .~1 - $ 15 .~0 E = 5 1 5 . ~ 1 . $ 5 0 .~(~ Colunms [J I and D4 ) F = $50 .001 - $ 1 00,~0 G -S l ~ . ~ I - $ I , ~0 . ~0 I l I =$1 . 0~ .~ I - 1 5 . 0 0 0 ,0~ 112 - More fl~an $5.0~.0002 . Value C~cs J -$ I$ ,~0 or les~ K " 1 1 5 , ~ 1 - $ 5 0 . 0 0 0 L = $ 5 0 , ~ 1 - $ 1 O 0 , ~ M = $ 1 ~ . ~ 1 - $ 2 5 0 , ~0(See C~lunms C I aM D ] ) N - 1250 . ~ 1 - $ 500 . ~0 O =$ 5~ .~ I - $ 1 , 000 .0~ P 1 =11 .~0 ,001 - $5 .~.000 P2 =$5 ,0~ . 0 0 1 - $2 5 .~0 ,~0$. Value Mc~ ~ Q = Appm[~l R ~ost (Real ~1 Only) S = Assc~mgmt T ~ash M arket


9/17

F I NA N C I A L D I S C L O S U R E R E P O R T N a m e o f P e r s o n R e p o r ti n g DateofReportP a g e 9 o f 1 7 D o r r , R i c h a r d E. 5 / I 1 / 2 0 l 0V I I . I N V E S T M E N T S a n d T R U S T S --i ......... lu, tr ..... tiot~ (Include,~ those of ,~p ...... d dependent children; see pp. 34-~0 of filing instruaion~)

NONE ~o reportable income, assets, or trm~actions.)A. B. C. D.~scfiption of Assets Inc ome du ring G ross value at end T~nsac tions during reporting period

(including t~t assets) re~ming ~ri~ of rcponlng ~rit~

(A-H)~or in~} (J-P) Code3 ~emption,

~ I_(J,-P) . ?~)..(ifprivale

{Q-~ ~nnsn~don)

8 6. Fcdcrat~ UI~-ShoR Bond Buy ~/08109 J

8 7 . Sold 05/19/09 J A(part)8 8 . Sold 06/09/09 J A

(part)8 9 . B uy 09/I 6/09 .1

90 . -- Pimco Foreign 13ond-Unhcdgcd (formerly Sold 0 4 1 0 9 / 0 9 JFDS FGN BD UNH AD) (part)91 . Sold 0 5 / 1 9 / 0 9 J(part)92 . Sold 06/09/09(part)9 3 . Sold 09/I 6/09 J A94 . Buy 10102 / 09 J

95 . -- Vanguard GNM A (formerly Fund #536 Sold 04/09/09 J AA D M S I t) (part)9 6 . Sold 05/19t09 J A(part)

9 7 . Sold 06/09/09 J A(part)98 . Bu y 09/I 6/09 J99 . B u y 10102 / 09 J1 0 0 . -- Vanguard Inflation Protected (formerly B u y 04/08/09 JSecurities FD)1 0 1 . Sold 0 5 / 1 9 1 0 9 J A1 0 2 .

( p a r t ) S l d 06/09/09 J A

I. lneocne Gairt Codes: A -$1,00 0 or le~s F I = $ 1 , 001 - $ 2 . 5~(M ColumBI and 04) F -$ 50 , 001 - $ 100 .~ G ~$ l~,~l - $1,~,000 I l l - $ 1 ,0 0 0 ,~1 - $ 5 . ~0 . ~0 ~ =More than $5.~.~0 IVal~ C~ J "$15,~ or I~) K(See Colu~s C] ~d D3) N ~ 2 5 0 , 0 0 1 - $ 5 ~ , ~ 0 ~$500.~1 - $1,000,000 PIValue Me~od ~s Q -Appraisal R =~ st (R~I Estate ~ly) S =As~ss~nl T ~ash M arket(~ ~1~ C2) O -B~k Value V


10/17

FINANCIAL DISCLOSURE REPORTP a g e 1 0 o f 1 7

VII. INVESTM ENTS and TRUSTS - ~.~o.,~ ~.~.~, ,.. .... tk , ns anclud~ those qwouse and dependent chi ldren; ~ee pp. 34-60 of fding instruct ionx)~ N O N E (No reportable income, assets, or transactions.)............. ~. .......... ~.- .... ~ ......... ~ ......................... ~. ..............~Hption of Ass~ Inc om~ du ring G ross valu~ at end Tran~clions during ~ing period

(including trust a~scLs) reposing p~iod ofrepoaingI Datelac"~)"aftr ~ch as~ Amoum[ T~e (g., ~ Value [ Value T~=(e.g.) Value Gain Id~ti~ ofC~e [ [ div.,rent, ~ C~e2 Method buy,~II, mmlddl~ [ C~e2 C~ Ixempt f rom pf i~r disclosuf~ buyerlscBer( A-H) or int.) ~ (J-P) C ode 3 redemption) [ (J-P) ~ ( A - H ) (ifpdv~te

~ .............................. I ................... ~ ..........~ ..............103. Sold 08111109 J A~a~)[ 04. Buy 09 /16 109 J

1 0 5 . Buy 1 0 1 0 2 / 0 9 J1 0 5 . Vanguard Sht-Tcrm Inv Grade Buy 0 4 / 0 8 1 0 9 J

0 7. Sold ! 05 / 19 / 09 J A(part)

0 8 . Sold 0 6 /0 9 /0 9 J A( p a r t )09 . Buy 0 9 / I 6 1 0 9 J

t 1 0 . Buy 10/02/09 J1 1 I , Vanguard Int-Tcrm lnv Grade Buy 04/08/09 J

1 2 . Sold 05 /I 9/09 J A(p~)13 . Sold 06/09/09 J A(part)1 4. Sold 09/I 6/09 J A(part)15 . B uy 10102109 J

16 . -Equity Mutual Funds

1 1 7 . - -DFA US M icro Cap Bu y 02113/09 JI 1 8 . S o I d 04/09109 J( p a r t )

I 1 9 . S o l d 05/I 9/09 J(pa~ )

I . ln c o m c G ~ i n C k ~ d e s : A =$1,000 or less B - lI .O01 - $ 2.500 C ~ $ 2 ~ . 01 - $5 ,000 D ~5 ,~1 - $1 5 . 0 0 02. Value C~ I -$15,0~ or less K =SI5.~1 - S50,~ L = S 5 0 . ~ 1 - S I~,~0 M =Sl ~,~ I - 1250.~[~c Colu~s C I and D3) N =$250,~1 - $5~.~0 O ~5 00 ,0 01 - $ l ,~0 ,0 ~ P 1 =$ 1 ,~ .~ I - $ 5.00 0.~0 P2 =$5 . 0~ . 0 0 1 - $2 5 ,0 0 0 ,~P 3 ~$ 25 .~0 , ~1 $ 50 , 000 , ~ P4 =More than3. Value Mc~ C~ Q ~App~i~l R ~st [R~I Es~ Only) S = A~s s mcnt T ~h M~rkct(S~ Column C2) U -B~k Value V ~ W


11/17

F I NA N C I A L D I S C L O S U R E R E P O R T I N a m e o fP e .... R e p o r t i n g D a t e o f R c p o r tPage l I of 17[ D o r r , Richard E. 5 / I I / 2 0 1 0

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 , , ,, , v , t ,, o , t r a n s a c t io n s ancludes those of sp ....... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 of fding instruction.K)~ N O ~ (No reportable income, assets, or transactions.)

...... ~. " ...... ~. " ..... ~ ...................... o. ..................Description of As~ Income during Gros~ value at end Transactions during rcpoaing ~od(including trust

Pla~ "(~" after ~ch asset Amour Ty~ (e.g., Value Value T~ (e.g., [ Date ] Value Gain Identity ofexempt from prior disclosure C~e I dJv., ren~ Code 2 Method buy, sell, [ mmld~ ] Code 2 C~e I buyerlseller{ A - H ) or int.) (J-P) Code 3 redemption) ] O-P) { A-H ) (if private

i20. Sold 0 6 /0 9 /0 9 J(pad)1 2 1 . Sold 0 9 /1 6 /0 9 J A{ p a n )1 2 2 . B uy I 0/0~09 J

12 3. --DFA Intl Sml CO (formerly PTFL) Buy 0 0 1 3/0 9 J

124. Buy 04/08/09 J

1 2 5 . Sold 0 5 / 1 9 / 0 9 J(P~)126 . Sold 06109109 J( p a r t )127 . Sold 09 / 16 / 09 J A

(part)1 2 8 . B u y 1 0 / 0 2 / 0 9 J

1 2 9 . --D FA Intl S M C A P V al S old 01 /02 /09 J(part)1 3 0 . Buy 04/08/09 J1 3 1 . Sold 05 / 19 / 09 J(part)

~ 32. Sold 06/09/09 J(part)1 3 3 . Sold 09/16/09 J A(part)

1 3 4 . Buy 10/02109 J1 3 5 . - - D F A U S S M C A P V A L Buy 02/13/09 J1 3 6 . Sold 04/09/09 J( p a r t )

(See C~.lumns B I and l~l) F ~ ;50 , 001 - $ 100 .~ G ~ $ 1 ~ , ~ 1 - $ 1 , 0 ~ ,0 ~ I t I ~$ I . ~ , 0 0 1 - $ 5 ,~0 , 0 ~ 1 1 2 = M o re{Sc Col~ C I and D3 ) N ,-$2 S0.O01 - 15~,~0 O - $ 5 ~ , 0 0 1 - $ I . ~ .0 ~ P 1 - $ I ,~,~ I - $5 .~,~ V 2 "-$5,0~.001 -P3 ~$25.~,~1 - $50,~,~0 P4 =M ore than 550,0~,~0{ ~ c C o l u ~ C 2 ) U -B~k Vnhm V ~ W )E~timat~ It


12/17

F I N A N C I A L D I S C L O S U R E R E P O R T s .... r P e r , o n R . p o r t l . Z [Page 1 2 o f 1 7 Dart, Richard E.I

5/I 1/2010

V I I . INVESTMENTS and TRUSTS - ~o~., ,,.~.., tran,,a~ions (lnaude. those of ~p ...... ... d dependettt children: seepp. 34-60 of filing inatruNONE ~o reportable income. ~sets, or tramactions.)

A. B. C. D.D~ c~ption of Assels ln~m~ during Gross value al end T~n~actions du~ng re~ing(including tm~t ns~ets) reposing p~od of ~o~ing"d;~ . . . . ~ . . . . . . . . .. ~;--~-~ .........6; .... ~ -~ i -0~ . . . . . ~ ...... ~ . . . . . .. . . . . .Place (X}" atier ~ch asset Amount ~ T~ (e.g., Value [ Value "IVe (e.g., ~ D ate Vzlue Gain Identityofexempt from prior disclosure div., renk (J-P) [Code3 buy, sell, [mmtd~yy~ (J-l} (A-H) (ifpri~ateA-H, [ orint,) Code2 [Method redemption) .J ,Cod:2 ]C~el [ buyer/seller.............................................................. J ~~ .........................

1 3 7 . Sold 05/I 9/09 J( p a ~ )138. Sold 06/09/09 J( p a a )139. Sold 09/I 6109 ~ J A

( p a n )140. Bu y I O/OU09

1 41 . - -D FA L A R G E C A P VA L Buy 02/13/09 JI42. Sold 0 4 / 0 9 / 0 9 J(part)143. Sold 0 5 1 1 9 / 0 9 J A( p a r * )144 . S old 0 6/0 9 /0 9 .1 A( p a r t )1 4 5 . S o l d 0 8 / I ~ / o 9 J A( p a r t )146 . Sold 09116 /09 J A( p a r t )1 4 7 . Bu y 1 0 / 0 2 1 0 9 J148. --DFA US SML CAP Buy ]02/13/09 J149 . S old 0 4 /0 9 /0 9 J

(pan)150. Sold 05/I 9/09 J A(p~r015 I . Sold 0 6 /0 9 /0 9 J A

(part)1 5 2 . Sold 0 9 /1 6 /0 9 J A

(part)153. Buy 1 0 / 0 2 / 0 9 J

1. Income G a i n C o d e ~ : A = $ 1 , ( X ~ O o r I (s s I ~ - $ 1 , 0 0 1 - $ 2 . ~ 0 { ~ C "$2~01 - $5,000 D =SS,~I - S15,~ ~ =$ 15 , ~1 - $ 50 .0~2. Value C~ J =$15 .000 or less K ~ 15 , 001 - $ 50 , ~ L(Sc Coltunns C I and D3) N ,=$250 ,~ I - ~5~,0~ O ~0.001 $1,1~0,~ P 1 =$ I,~.~ 1 - $5,~,~0 P 2 ~5 , 000 , 001 - $ 2 5 , ~ , ~03, V~luc Mc~ ~ O =Appraisal K = C ~ t (Real Esmle Only)


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F IN A N C I A L D I S C L O S U R E R E P O R T ! N a m e o f P e r s o n R e p o r ti n g D a t e o f I l c p o r tP a g e 1 3 o f 1 7 oo~, Richard E. 5 / 1 1 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i , ,~ ,,, . ~,~,,,. , ....... ,ion~.u~ct,a~s ,l,o~e of sp ...... d dependent children; see pp. 34.60 of filing instructlon.r.)

NONE ~o reportable income, assets, or transactions.)D e s c r i p t i o n o f A s s e t s Incom~ daring Gro~ value at end Transactions during ~ing ~rlod{including trust ~ s c ~ ) repo~ing peri~ of ~o~ing

Plaee(X)a~er~chasset ~mount T~(e.g., Vatue ] Value Z~(e.g., I Date IWlue Gain I d e n t i ~ y o fexempt from prior disclosure c ~ e ~I div.,ren~ C~e2 I M ethod buy, sell, Imm/d~[C~de2 Codel buyerlseller[ ] (Q-W) ~5 4. - -D FA IN ~ V A LU E (formerly PT F) B uy 02/13109 J

1 5 5 . B uy ~ / 0 8 / 0 91 5 6 . Sold 05!19/09 J157, Sold 06!09/09 J(pan)158. Sold 08/I 1 /09 J A(pan)1 5 9 . Bu y 09/16109 J1 6 0 . Bu y 1 0 1 0 2 / 0 9 J

1 6 1 . DFA Emerging Mkt Value B uy 0 4 1 0 8 1 0 9 J1 6 2 . Sold 05119/09 J A(part)1 6 3 . Sold 06t20/09 J A( p a r t )1 6 4 . Sold 09/16/09 J A(part)

1 6 5 . B uy 10/02/09 J1 6 6 . B uy 12/14/09 J1 6 7 . DFA Emerging Mklx Bu y 0 4 1 0 8 1 0 9 J1 6 8 . Sold 05/19/09 J A(part)

1 6 9 . Sold 06/09/09 J A( p ~ )170. Sold 09/16/09 J A(part)

I. lrte,ome Gain Codes: A -$ I .~0 at less B -$1.001 - $2.500 C ~$2 .501 - $5 .000 D ~ $ 5 . t ~ 1 - $ 1 5 . O 0 0 E =$15.001 - i50,000(See Colunu~ B I and IM) F -$~0,001 - ~ 100.000 G =$ I00.001 - $1.000.00O I I I -$ 1.0 00 .0 01 - $ 5.0 00 ,0 00 H 2 =M arc th an2. Val w,.= Codes J = $ I ~ . 0 0 0 o r l e x = K ~$ I 5.001 - $50.000 L = $50.001 - $100.0O0 M -$ 100,001 - $250.000P 3 ~ : $ 2 5 . 0 0 0 , 0 0 1 - $ 5 0 . 0 0 ~ . 0 0 ~ } P4 ~More alan 550.000.000


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iNanef P e r s o n R e po r t in g D a te o fFINANCIAL DISCLOSURE REPORT[ Doer, Richard E.

Page 14 of 17 s /~2010

VII . INVESTM ENTS and TRUSTS - z,,o ...... z,, transactions (lnclud ex those of sp . . . . . . d d ependent ch ildren; nee pp . 34-60 o f f i l ing instructions.)D NONE 6Vo reportable inconte, assets, or trar~vactions.)

. . . . . . . . . . . . . . X . . . . . . . . . . . . . . . . . . . . . . i~ ................ " . . . . . . . . . . . . . . . ~ . - . . . . . . . . . . . . . . .Description of A ssets Income during Gross value at end Transactions during teix~ni~g period(inc luding tru st assets) reporting period of rcportir~ g periodPlacc "(X)" aft,r each asset Amount Type(e.g., Value ] Value Type(e.g., [ Date Value / Gain ] ldentityof

............................................. ........................171. Buy 12114 / 09 J

1 7 2 . --VGD Developed Mkt Index (formerly Star B uy 02113/09F D DE V M K T # 227)1 7 3 . B uy 04108/09174. Sold 0 5 / 1 9 1 0 9 J(part)1 7 5 . Sold 06109/09 J A(pan)176. S old 0 8 !1 1 /0 9 J A

(part)177. Buy 09116109 J

178 . Buy 10 / 0 2109

179. -- VGD 500 lnd-x (formerly IND 500-INST B u y 02113109#94)1 8 0 . , Sold 04109109( p a r t )1 8 1 . Sold ! 05 / 19 / 09

(part)1 8 2 . Sold 09 / 16 / 09

(part)183 . Buy 10102 / 09184 . -- Pimco Commodity Real Return (formerly Sold 04 / 09 / 09FD PC INV MGT COM) (part)1 8 5 . Sold 0 5 / 1 9 / 0 9( p a r t )186 . Sold 06 /09109( par t )187 . Sold 0 9 / I 6 /0 9

(part)

1. lacom Gain Codes: k -$1,0O0 or l~s a ~$ 1 , 001 . $ 2 , 5~ C -$2 ,501 - $5 ,0~ D ~$5~01 - ~ 15,000 E ~ $ 1 5 , ~ 1 - ~ 0 ~ 0(~ Columns B I and ~) F =$~0 . 0 0 1 - $1 00 .~ G -$1~,~1 - $1.~0,~ I l l ~1 ,000 ,~1 * $ 5 ,000 ,000 H2 =More ~an $5,~,~2. Value Codes J -$15 ,000 or I~s K ~1 5 . ~1 $ 5 0 ,~0 L "$50,001 - $1 ~,0O0 M =$100 .00l(See Columns CI a~ D 3) N = $ 2 5 0 . ~ 1 - $ 5 ~ . 0 ~ O =$ 500 .001 - $ l , ~ O , ~ PI =$ I,~,~1 - $5,~,~ 12 =g5 , 0~ .~ I - $ 25 .0~ , ~03, V~uc Me~ Codes Q ~Ap~I g ~ost (R~I Es~ le Only) S ~A~mt T ~ash Manet


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FINANCIAL DISCLOSURE REPORT l r ~ . ~ . o r ~ . ~ r , o . R e | , o r t i .~ [ 0 a , c o r ~ , p o r tPage 15 of 17[ D a r t , ~ h a r d E . [

5 1 1 1 / 2 ~ 1 0

VII. INVESTM ENTS and T R U S T S - ~ ......... t.,, t ...... a o . ~ a , , ~ t . ~ a , o . . o / ~ p o ~ , . . a a ~ r . . a . . ~ ,hUdre.; S e p f l . 3 4 - 6 0 offilinA" in.~tr~ction~)N O N E (No reportable income, ~sets, or transactions.)...... X. ........... i .................. b~ ....... o . - . . . . . . .D ~ c r l p t i o n o f A s s e t s Incom~ during Gross value ~ end T~nsactions during repo~ng period

Pla~*(X)"a~er ezch asset Amount T~e(e.g.. ~ Value [ Value T~e(e.g., ~ DateII Value i Gain I d c n t i ~ o fexempt from prior dlsclosure lCdel [ div.,rent, I C o ~ = I M ~ , o ~ b ~ y . ~ t . I ~ a ~ ~ I C ~ Z C ~ t b ~ , / ~ r( A-H) or int.) (J-P) C ode 3 redemption) I (J-P) (A-H) ( ifpNvale( Q - W )...................................................... , ....... i ....... ~> ...........

i 88 . Buy 1 0 /0 2 /0 9 J

189 . B u y 12 / 14109 J

1 9 0 . -- N orthern Global Real F.stale (formerly Bu y 02/13/09 JFDS Global RcJ IDX)

1 9 I . Bu y 04/08/09 J1 9 2 . Sold 05 / I 9 /O9 J( p a r t )193 . SoLd 06 /09109 J A(part)194 . Sold 0811 I 1 09 J A

(part)1 9 5 . Buy 1 0 /0 2 /0 9 J

196 . -- Vanguard Growth Index (formerly FDS Sold 04109109 JGRW IDX Signal) (part)197 . Sold 05 / I 9 / 09 J A( p a r t )1 9 8 . Sold 06 109 /09 J A( p a r t )199 . Sold 09116109 J A(pa~}2 0 0 . Buy 1 0 /0 l , 0 9 J

i I. I r, e~rr~ G a i n C o d e s : A =t 1,0~x~ or l,:ss ....................B = $1 .001 - $2 .500 C =$ 2 .501 - $5 ,000~ 2. ValucC~c~ J - $15 ,~0or lcss K = $ 1 5 . 0 0 1 - ~ 5 0 . ~ L-$50,001-$1~.~ M=$100,001-$250,000(~Colun~ C I and D3) N ~$ 250 , 001 - gS~ ,~ O = $ ~ 0 . ~ 1 - $ 1 , ~ 0 . 0 ~ PI -$1 ,~0 ,~ I - $5 ,000 ,000~ 3. Value Me~ Codc~ ~ ~Appraisal R ~l (R~I Es~le Only} S ~Ass~s~t T ~sh M ar ket


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F I NA N C I A L D I S C L O S U R E R E P O R T N a m e o f P e r s o n R e p o r t i a g D a t e o f R e p o r tP a g e 1 6 o f 1 7 Dorr, Richard E. 5/11/2010V I II . A D D I T I O N A L IN F O R M A T I O N O R E X P L A N A T I O N S .


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F I NA N C I A L D I S C L O S U R E R E P O R T ~ .... f P e r s o n R e p o r t i n g D a t e o f R e p o r tP a g e 1 7 o f 1 7 D o f f , m c h a r , ~ E . 5 / l l~ O l O IX . C E R T I F IC A T I O N .

! cer t i fy tha t a l l in fo rmat io n g iven abo ve ( includ ing in fo rmat io n per ta in ing to my spo u se and m ino r o r depend ent chi ldren , i f any) i saccurate , t rue~ and co mplete to the best o f my kno wledge and be l i e f , and tha t any in fo rmat io n no t repo r ted was wi thheld because i t met appl icable s ta tuto ryprovi s ions permit t ing non-d i sc losure.

! further cert i fy that corned incom e from ou ts ide employm ent and h onorar ia an d the acceptance o f g i f t s which have been reported are incompliance wi th the provi s ions o f 5 U .S .C. app. 5 01 eL seq . , 5 U.S .C. 735 3, and J ud ic ia l Conference regu lat ions .

NO TE : ANY IND IV IDU A L W H O KNO W ING LY AND W ILFU LLY FAL~I I , IE S O R FALLS TO FILE T i ll s RE P O RT MAY BE SU BJE CT TO CIV ILA N D C R I MI N A L S A N C T I ON S (5 U . S . C . a pp . 1 0 4)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to:

Com mittee on Financia l DisclosureAdm inistrative Office of the U nited States C ourtsSu i t e 2 -301One Columbus Circle, N.E.W ashington , D .C . 2 05 44

Richard E Dorr Financial Disclosure Report for 2009

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