Download - Lee Yeakel III Earl Financial Disclosure Report for 2010

8/3/2019 Lee Yeakel III Earl Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

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

1. Person Reporting (last name, f irst, middle initial)Yeakel I I I , Ear l L.

4. Ti t le (Art ic le 111 judges indicate ac t ive or senior s ta tus;magistrate judges indicate full- or part- time)U. S . Di s t ri c t J ud g e - A c t i ve

7. Chambers or Of f ice AddressUnited States Courthouse200 West 8 th StreetAus t i n , T ex as 7 8 7 0 1

2. Cour t o r Organiza tionDist r ic t Cour t , W .D. Texas

3. Date of Report06/01/201

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5 b . [] A m e n d e d R e p o r t8. On the bas is o f the in formation conta ined in this Repor t and anymodif icat ions per taining thereto, i t i s , in my opinion, in comp liancewith applicable laws and regu la t ions .

Rev iewing Of f ice r Date

6. Repor ting Per iod01/01/2010

to12/31/2010

[ M P O R T A N T N O T E S : The ins truc tions accom panying this form mu st be followed. Com ple te all par ts ,checking the NONE b ox for each part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . ( R e r o m n g i n a i v i a . a l o n l y ; s e e W . 9 - 1 S of filing instructions.)~~ N O N E (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY1 . T r u s t e e T h e o d o r e R o o s e v e l t As s o c i a t io n2. T r u s t e e & Ch a i r m a n A us t i n R o t a r y C l ub F o un d a t i o n3. M e m b e r U n i v e r s i ty o f T e x a s L o n g h o r n Fo u n d a t i o n Ad v i s o r y Co u n c i l

4. M e m b e r T e x a s Co m m i s s i o n o n U n i f o r m S t a te L a w s5. M e m b e r N a t i o n a l Co n f e r e n c e o f Co m m i s s i o n e r s o n U n i f o r m S t a t e L a w s

6. M e m b e r B o ar d o f A d v i so r s , A us t i n L awy er s C h ap t e r , T h e F ed er a l i s t S o c i e ty

7. E x e c u t i v e Co m m i t t e e Me m b e r R o b e r t W . Ca l v e r t Ch a p t e r , Am e r i c a n I n n s o f Co u r t

8. Pr e s i d e n t Au s t i n I n t e l le c t u a l P r o p e r t y Ch a p t e r , Am e r i c a n I n n s o f Co u r t

I I . A G R E E M E N T S . ( R e p o r a n g ind iv idua l only; seepp . 14-16 o f f i ling ins t ruct ions . )~] N O N E (No reportable agreements. )

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


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FINANCIAL DISCLOSURE REPORTPage 2 of 16 Ia m e o f P e r s o n R e p o r t i n gYeak e l I l l , E a r l L . D a t e o f R e p o r t06/01/2011

II I . N O N - I N V E S T M E N T I N C O M E . t R e p o r ~ . g i n d i v i d u a l a n d s p o u s e ; see p p . 1 7 - 2 4 off!ling instructions.)A. Filers Non-Investm ent Incom e

2.3.4.

NONE ( No reportable non-investment income.)DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s t 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 a m o u n t not required except for honoraria . )~-~ (No reportable income.)O N E non-investment

1. 20102. 20103.4.

D A T E S O U R C E A N D T Y P EE mploy ees R e t i r ement Sy s tem of T ex as - R e t i r ementN itsche & Ferg uso n In s . Ag en cy In c . - Co mm iss io n Sa les

I V . R E I M B U R S E M E N T S --transportation, Iodglng, food, entertainment.( I n c l u d e s t h o s e t o s p o u s e a n d d e p e h d e n t c h i ld r e n ; s e e p p . 2 5 - 2 7 o f f il in g i n s t r u c t i o n s . )

D (NO reportable reimbursements.)O N ESOURCE DATES LOCATION P U R P O S E ITEMS PAID OR PROVIDED

1 . Pract ising Law Inst i tute J a n u a r y 1 0 - 1 3 , 2 0 1 0 S a n F ra n c i s c o , C a l i f o rn i a P LI P ro gra m- Pa te nt T ra ns po rta tio n, M ea ls , & Lo dg in gR e i s s u e & R e e x a m i n a t io nStrategies

2. N at io n a l Co n feren ce o fCommiss ione rs on Uni fo rmState LawsJ a n u a r y 2 7 - 3 1 , 2 0 1 0 O r l a n d o , F l o r i d a Com mi t t ee on S ty le T ranspor t a t i on , Mea l s , & L odging

3. W il l i am S. Ses s io n s F e b r u a r y 1 8 - 1 9 , 2 0 1 0 S a n A n t o n i o , T e x a sA m e r ic a n I n n o f C o u r t Meet ing of Inn Mea!s & Lo d g in g

4. P rac tis in g L aw In stitu te M arch 1 1- 12, 20 10 Chicag o , I l l in o i s P LI P ro gra m- Pa te nt T ra ns po rta tio n, M ea ls , & Lo dg in gR e i s s u e & R e e x a m i n a t io nStrategies


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FINANCIAL DISCLOSURE REPOR TPage 3 of 16

N a m e o f P e r s o n R e p o r t i n gY e a ke l I I I, Ea r l L .

D a t e o f R e p o r t06/01/2011

T h o m so n R e u te rs Ma rch 1 4 -1 6 , 20 1 0 S an J o se , C a l i f o r n iaN at i o n a l C o n f e r en ce o fC o m mi ss i o n e r s o n Un i f o rmS t a t e L aws

P a te nt D is pu te s P ro g ra m T r an sp o rt at io n , M e al s, & Lo d gi ngApr i l 2 1 -2 5 , 2 0 10 Chicago , I l lino is

C o n t i n u i n g L e g a l E d u c a t i o nin Co lo rad o , In c .

C om m itte e o n Sty le T ra nsp orta tio n, M eals , & L od gin g

Ju n e 2-4 , 201 0 W estm in is ter, C olo rad o

8. Sta te Bar o f Texas July 29-30, 2010 San An to n io , Texas

N a t io n a l C o n f e r e n c e o fCo mmiss io n ers o n Un i fo rmState Laws

8 th Annua l Roc k yMo un ta in In te l lec tua lPrope r t y & T ec h nologyInstitute6 th An n ua l Ad van cedPa ten t Li t ig a t io n Co urse

Tran sp o r ta t io n , Meal s, & Lo d g in g

T r a n s p o r t a t i o n , Me a l s, & L o d g i n g

S e p t e m b e r 8 - 1 2 , 2 0 1 0 C h i c a g o , I l li n o i s

1 0 . N a t i o n a l C o n f e r e n c e o f N o vem ber 1 8-20 , W ash in gto n , D.C .Co mmiss io n ers o n Un i fo rm 2 0 10State Laws

C om m itte e o n Sty le T ra nsp orta tio n, M eals , & L od gin g

C om m itte e to R ev ise T ra nsp orta tio n, Me als , & Lo dg in gN CCUSL Draf t in g P ro ces s


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FINANCIAL DISCLOSURE REPORTP a g e 4 o f 1 6

Name of Person Re port ingY e a k e l I I I , E a r l L .

Date of Repor t06/01/2011

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 I . L I A B I L I T I E S . a n c l n d e s t h o s e o l s p o n s e a n d dependent children; see p p . 3 2 - 3 3 of f!ling instructions.)[~ N O N E (No reportable liabilities.)

C R E D I T O R1 . Prosperi ty Bank2.3.4.5.

Lin e o f Cred i tDESCRIPTION V A L U E C O D E

K


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FINANCIAL DISCLOSURE REPORTPage 5 of 16

N a m e o f P e r s o n Repor tingYeak e l I I 1 , E ar l L .

D a t e o f R e p o r t06/01/2011

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 e o m e , v , i , e , ~ u , ~ u c t i o , ~ (Includes those of s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)[] (No reportable income, assets, orO N E transactions.)

1 . S C H W C o m m o n S t o c k (s e e n o t e ) A Div idend J T2. C V X C o m m o n S t oc k B Div idend K T3, C C o m m o n S to c k N o n e J T4. DE L L C o m m o n Sto c k N o n e K T5. X O M C o m m o n S t o ck A Div idend K T6. F C o m m o n Sto c k N o n e J T7. J P M C o m m o n S t o ck A Div idend K T8. M S F T C o m m o n S t oc k A Div idend J T9. Rog e rs Comm unic a t i ons , Inc . C la ss B A Div idend J TC o m m o n S to c k

1 0 . R o y a l D u t c h S h e ll P L C C o m m o n S t o c k B Div idend K T1 1 . L U V C o m m o n S to c k A Div idend L T

1 2 . SP N D.O B C o m m on Sto c k N on e J T1 3 . D I S C o m m o n S t o ck A Div idend J T1 4. . F id e l ity Blue Chip Gro w th Mutua l Fun d None K T1 5 . F ide l it y Ch ina R eg ion Mutua l F und A Div idend J T1 6 . Fidel i ty New Mil lennium Mutual Fund A Div idend K T1 7 . Fidel i ty Munic ipal Money Market Mutual A Interest J TFun d

1. Incom e Gain Codes: A = $1 ,000 o r le ss( S ee Co lu mns B 1 and D 4 ) F =$50.001 - $100.000

2. Valu e Codes J =$15.000 or less(See Columns CI and D3) N =$250.001 - $500.000

P3 =$25,000.001 - $50.000.0003. V alue Method C odes Q =A ppraisal(g e e C o lum n C 2 ) U = B ook Valu e

B -$ 1 .0 0 1 - $ 2 .5 0 0 C = $ 2 .5 0 1 - $ 5 .0 ~0 D = $ 5 . 0 0 | - $ 1 5 . 0 0 0( i = $ 1 0 0 . 0 O l o $ 1 , 0 0 0 . 0 0 0 H I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 00 0 H 2 = M o r e lh a n $ 5 . 0 ~ 0 . 00 0K = $ 1 5 . 0 0 I - $ 5 0 . 0 0 0 L =$ 5 0 .0 0 1 - $ 1 0 0 .0 0 0 M =$ 1 0 0 .0 0 1 - $ 25 0 ,0 0 00 = $ 5 0 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0 m = $ ~ . 0 0 0 . 0 0 1 - $ 5 , 0 0 0 ,~ 0 p 2 = $ 5 . 0 0 0 , 0 0 1 - $ 2 5 , o o 0 ,0 0 0

P4 =More than $50.000.000R =Cost (Real Es tate Only) S =Assessment T =C a s h M a rk e tV = O ther W = Es t imated

E =$|5,001 - $50.~0


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N a m e o f P e r s o n R e p o r t in gYeakel Ili, Earl L.

D a t e o f R e p o r t06/01/2011

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 a t u e , t r a n s a c t i o n s (Includes those of spouse and dependent chi ldren; s e e p p . 34-60 of f!l ing instructions.)~ (No reportable assets, orONE income, transactions.)

1 8 . Fidel i ty US Govt Reserves Mutual Fund A Divid en d L1 9 . Vangua rd Pr ime M oney Mark e t Mutua l A Divid en d KFund20 . Prosperi ty Bank (CD) B Interest L21 . Prosperi ty Bank (CD) A Interest K22 . Prospe r i t y Bank (Ch ec k ing) A Interest J23 . W ells Fa rg o B a n k (C h ec kin g ) N o n e J24 . W e l l s F a r g o B a n k ( C h e c k i n g ) A Interest J25 . W e l l s F a r g o B a n k ( S a v i n g s ) B Interest L26 . Calamos Grow th & Inc ome - A (Mutua l A Divid en dF und)27 . Capi t a l Wor ld Grow th & Inc ome (Mutua l N o n eF und)28 . I S h a re s T R S & P S m a l l C a p 6 0 0 I n d e x N o n e(Mutual Fund)29 . T h ornb e rg Glob a l Oppor tun i t e s C la ss A A Divid en d(Mutual Fund)30 . Tho m berg In ves tmen t In c . Bui ld er A C Divid en d(T IBAX) (Mutua l F und)31 . Tho rn berg In ves tm en t In c . Bui ld er I A Divid en d K(TIBIX) (Mutual Fund)32 . Tho m berg In ves tmen t In c . Bui ld er I(TIB1X) (Mutual Fund)33. Tho rn berg In ves tm en t In c . Bui ld er I

( T I B I X )34 . Tho m berg In ves tmen t In c . Bui ld er I(TIBIX)

TTTTTTTT

So ld 11/15 /10(part)So ld 12/13/10!(part)

JJ

So ld 03/08110 LSold i 03/08/10 LSold 0 3/11 /10 KSo ld 03/08 /1 0 KSold 03/08/10 LBu y 0 3 / 1 1 / 1 0 JBu y 03/31/10 J

(addl)Bu y 0 4 /2 2 /10 J

(addl)Bu y i 09/16/10 J

(ad d l )

AA

AACAD

2. v~ co~ J =$~5,ooo~i~ ....(Se e C o lum n s C I a n d D3) N - - $ 2 5 0 00i~$500;000 0-- $ 5 0 0 00 ! - $ ! 00 0 ,00 0 ~ $ 5 ;00 0 ;0 0 0 p2 ~$5i000,001 - $25~000,000P 3 = $ 2 5 , o oo , o o ~ ~ $ 5 o : o o o ~ o o o :3. Value Melhod Codes -A ~a~a : R =Cost (Real Es tate Only) S :Assessmen~ T =Cash Market- pp(Se e C o lum n C 2 ) U =Book ValUe V~Other ..... w =Estimated

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


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N a m e o f P e r s o n R e p o r t in gYeakel III, Earl L.

D a t e o f R e p o r t06/01/2011

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 , v o l u e , t ra n s u c t i o n s a n c l u d e s t h o s e o / s p o u s e u n d depe ndent children; s ee p p . 3 4 - 6 0 of filing instructions.)--] NONE (No reportable income, assets, or transactions.)

P l a c e ~ a f t

35 . FPA Capita l (Mutual Fund) A Divid en d Sold 03/08/10 L A36 . DW S Dreman H ig h Re turn Equi ty Fun d A Div id en d So ld 03/08/10 K AClass A (Mutua l F und)37 . Am erican H ig h In co m e Tr (Mutua l Fun d ) A Divid en d J T Bu y 03 /1 1 /1 0 J38 . Am erican H ig h In co m e Tr (Mutua l Fun d ) Bu y 03/31/10 J(addl)39. Am erican H ig h In co m e Tr (Mutua l Fun d ) Bu y 04/22 /1 0 J(addl)4 0. Am erican H ig h In co m e Tr (Mutua l Fun d ) Bu y 09/!6 /10 J(addl)4 1. Fid e l i ty Ad vi so r St ra teg ic In co me Fu n d A Divid en d Bu y 03 /1 1 /1 0 J(Mutual Fund)4 2. Fid e l i ty Ad vi so r St ra teg ic In co me Fu n d Bu y 03/31/10 J(Mutual Fund) (addl)4 3. Fid e l i ty Ad vi so r St ra teg ic In co me Fu n d Bu y 04/22 /1 0 J(Mutual Fund) (addl)4 4. Fid e l i ty Ad vi so r St ra teg ic In co me Fu n d Bu y 09/16/10 J(Mutual Fund) (addl)4 5. Fid e lity A d v iso r Stra teg ic In co m e Fu n d So ld 11/03/10 J A(Mutual Fund)4 6. Fid e lity A d v iso r Sm all C ap Fu n d In stl. N o n e K T Bu y 03 /1 1 /1 0 J(Mutual Fund)4 7. Fid e l ity Ad vi so r Sm al l Cap Fun d In s t l . Bu y 03/31/10 J(Mutual Fund) (addl)4 8. Fid e l ity Ad vi so r Sm al l Cap Fun d In s t l . Bu y 04/22 /1 0 J(Mutual Fund) (ad d l )4 9. Fid e l ity Ad vi so r Sm al l Cap Fun d In s t l . Bu y 09/16/10 J(Mutual Fund) (addl)5 0. Fid e lity A d v iso r La tin A m erica (Mu tu a l No n e Bu y 03 /1 1 /1 0 J

F und)5 1. Fid e l ity Ad vi so r La t in Am er ica (Mutua l Sold 03/30/10 J AF und)

1 . Incom e G ain Codes : A = $1 .000 or less B = $ 1 .001 - $ 2 .5 00 C = $2.5 01 - $ 5 .000 D =$5.001 - $15.000(Se e C o lum n s Bl a n d D4) F =$50,001 - $100.000 O =$ 10 0.0 91 - $ 1.0 00 ,0 00 H 1 -- $1 .0 00 .0 01 - $ 5.0 00 .0 00 H2 =More than $5.000.000

2. Value Codes I =$15,000 or less K = $15 .001 - $ 50 .000 L = $5 0.001 - $ 100.000 M = $ 100.001 - $ 25 0.000(Se e C o lum n s C I a n d D3) N =$250.001 - $500.000 O = $ 5 00.001 - $ 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 $50.000.000

3 . Valu e Method Codes Q =Appraisal R = C os t ( R ea l Es t a te O n ly ) S -A s s e s s m e n t T =C a s h M a rk e t(Se e C o lum n C 2 ) U = B ook Valu e V =Oth e r W = Es t imated

E =$15.001 - $50.000


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N a m e o f P e r s o n R e p o r t in gYeakel Ill, Earl L.

D a t e o f R e p o r t06/01/2011

VII. 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 , r o t. e , t r a n s a c t io n s a n c l a d e s t ho s e o / s p o u s e ~ n d d e p e n d e n t c h i ld r e n ; se e p p . 3 4 - 6 0 of filing instructions.)D NONE income, assets, or transactions.)N o reportable

52 . JP M o rg an L atin A m eric a Fu n d (M u tu a l N o n e Bu y 03/30/10 JF und)53 . JPMorgan L a t in Amer i c a F und (Mutua l Bu y 03/31/10 JF und) (ad d l )54 . JPMorgan L a t in Amer i c a F und (Mutua l Bu y 04/22 /1 0 JF und) (addl)55 . JPMorgan L a t in Amer i c a F und (Mutua l So ld 05/19/10 JF und)56 . JP M o rg an L atin A m eric a Fu n d (M u tu a l N o n e K T Bu y 06/14/10 JF und)57 . JPMorgan L a t in Amer i c a F und (Mutua l Bu y 0 6/18 /10 JF und) (addl)58 . JPMorgan L a t in Amer i c a F und (Mutua l Bu y 0 8 /18 /10 JFu nd) (ad d l)59 . JPMorgan L a t in Amer i c a F und (Mutua l Bu y 09/1 6 /1 0 JFund) (ad d l)60 . F ide li t y Adv i sor New Ins igh ts (Mutua l N o n e K T Bu y 0 3/11 /10 JF und)61 . F ide li t y Adv i sor New Ins igh ts (Mutua l Bu y 03/31/I0 JF und) (addl)62 . F ide li t y Adv i sor New Ins igh ts (Mutua l Bu y 04/22 /1 0 JF und) (addl)63 . F ide li t y Adv i sor New Ins igh ts (Mutua l Bu y 0 9/16/10 JF und) (addl)64 . Fide lity A dv iso r Mid C ap II In stl. (Mutual N o n e K T Bu y 03/11 /I0 JF und)65 . Fidel i ty Advisor Mid C ap II Inst l . (Mutual Bu y 03/31/10 JF und) (addl)66 . Fidel i ty Advisor Mid C ap II Inst l . (Mutual Bu y 0 4 /2 2 /10 JF und) (addl)67 . Fid e l i ty Ad vi so r F lo a t in g Ra te H ig h In co m e N o n e K T Bu y 12/22/10 K

(Mutual Fund)68 . Ivy High Inc ome (Mutua l F und) A Divid en d Bu y 03/11 /I0 J

A

2. Value Codes J =$15,000 or less K =$15,001 - $50.000(See Columns C I and D3) N =$250,001 - $500~000 O -$ 5 00,001 - $ 1 ,000,000

P3 =$25.000.001 - $50.000.0003. V alu e Method C odes Q =A ppraisal R -~: ;os t (Real Es tate Only)(Se e C o lum n C 2 ) U =Book Value V =Oth e r

C =$2.501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000H I = $ 1 , 0 0 0 0 0 1 - $ L 0 0 0 . 0 0 0 H2 --M0re than $5,000,0~0 .............L = $ ~ o o o ~ - $ 1 o o . o o oP l = $ t , o 0 o . o o l - $ 5 i o 0 o ; o 0 0 ~ ~ $ ~ i 0 o 0 1 ~ i $ ~ ; o o 0 ~ o 0 oP 4 = M o r e th a n $ 5 0 ; 0 0 0 ~ 0 0 0 :S =Assessment T = C a s h M a r ~ tw =Estimated


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N a m e o f P e r so n R e p o r t i n gYeakel III, Earl L.

D a t e o f R e p o r t06/01/2011

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 l u e , t ransact ions ( Includes those o f spouse and dependent ch i ldren; see pp . 34-60 of f!ling instructions.)D NONE income, assets , or transactions. )V o reportable

69.

70 .

71 .

72.

73 .

74 .

75 .

76 .

1 7 7 .

78 .

1 7 9 .

80 .

81 .

82 .

8 3 .

85 .

Ivy High Income (Mutual Fund)



Buy 03/31110(ad d i )Bu y 0 4 /2 2 /10(addl)Sold l l / 0 3 / 1 0

J

J

J

F rank lin T emp le ton Gold & P rec ious Meta ls(Mutual Fund)Joh n Hanc oc k L a rge Cap E qu i t y (Mutua lF und)J o h n H an co ck L ar g e C ap E qu i t y ( M ut ua lF u n d )Joh n Hanc oc k L a rge Cap E qu i t y (Mutua lF und)Joh n Hanc oc k L a rge Cap E qu i t y (Mutua lF und)J o hn H an co ck Flo a t in g Ra te In co m e(Mutual Fund)J o hn H an co ck Flo a t in g Ra te In co m e(Mutual Fund)J o hn H an co ck Flo a t in g Ra te In co m e(Mutual Fund)J o hn H an co ck Flo a t in g Ra te In co m e(Mutual Fund)Eato n V an ce Flo a t in g Ra te Ad van tag e Fun d(Mutual Fund)Eato n V an ce Flo a t in g Ra te Ad van tag e Fun d(Mutual Fund)Eato n V an ce Flo a t in g Ra te Ad van tag e Fun d(Mutual Fund)New E c onom y F und (Mutua l F und)

A

A

Divid en dN o n e

Div idend

K

Divid en d K

~one

B u y 11/03/10 J

B u y 03/11/10 JB u y 04 /01/10 J

( ad d l )B u y 04 /22/10 J

( ad d l )S o ld 09/10/10 JB u y 03/11/I0 JB u y 04/01/10 J

( ad d l )B u y 04 /22/10 J

( ad d l )S o ld 05/27/10 J

B u y 05/27/10 J

B u y 09/16/10 J( ad d l )B u y 12/22/10 K( ad d l )Buy 03/ll/10 J

New E c onom y F und (Mutua l F und) Sold 03/31/10 J

A

A

A

1. Income G ain Codes :(See Columns BI and D4~

2.V a l u e C o d e sISee Columns C1 and D3)

3. Valu e Method Codes(Se e C o lum n C 2 t

A =$1.000 or lessF =$50 .0 0 t - $1 0 0 2 0 0J =$15.000 or lessN =$250.0OI - $ 5 0 0 . 0 0 0P3 =$25.000.001 - $50.000.000Q =AppraisalU = B ook Valu e

=$1.001 - $2.500=$100.001 - $1,000,000= $ 15 .001 - $ 5 0 .000=$500.001 - $1,000.000=Cosl (Real Es tate Only)= O ther

C =$2 .50 t - $5 ,0 0 0H1 =$1,000.001 - $5.000.000L = $ 5 0 . 0 9 1 - $ 1 0 0 , O 0 OPl =$1J)00.001 - $5.000.000P4 =More than $50.000.000S = As s es s men tW = Es t imatec

D =$5.001 - $15.000H2 =More than $5,000,000M =$100.901 - $250.000P2 =$5.000.001 - $25.000.000T =Cash Market

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


10/16


N a m e o f P e r s o n R e p o r t i n gYeakel I11, Earl L.

D a t e o f R e p o r t06/01/2011

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 u e , t ransact ions ( Include s thos e o f s pou s e and dep enden t ch ildren; s e e pp . 34-60 of f i ling ins t ruct ions . )~] NONE income, assets, or transactions.)N o reportable

86 . N e w W o r l d F u n d I n c . (M u t u a l F u n d ) A Di v i d en d K T B u y 03/11/i0 J

87 . N e w W o r l d F u n d I n c . (M u t u a l F u n d ) B u y 03/31/10 J(addl)88 . N e w W o r l d F u n d I n c . (M u t u a l F u n d ) B u y 04 /22/10 : J

( ad d l )89 . N e w W o r l d F u n d I n c . (M u t u a l F u n d ) B u y 09/16/10 J( ad d l )90 . S m a l l C a p W o r l d F u n d ( M u t u a l Fu n d ) A Di v i d en d K T B u y 03/11/10 J

91 . S m a l l C a p W o r l d F u n d ( M u t u a l Fu n d ) B u y 03/31/10 J( ad d l )92 . S m a l l C a p W o r l d F u n d ( M u t u a l Fu n d ) B u y 04/22/10 J

( a d d l )9 3 . S m a l l C a p W o r l d F u n d ( M u t u a l F u n d ) Bu y 0 9 / 1 6 / I 0 J

( a d d l )94 . T em p l e t o n G l o b a l B o n d F un d ( M ut ua l A Di v i d en d J T B u y 03/11/10 JF u n d )95 . T em p l e t o n G l o b a l B o n d F un d ( M ut ua l B u y 0 3/31 /1 0 JF u n d ) ( ad d l )96 . T em p l e t o n G l o b a l B o n d F un d ( M ut ua l B u y 04/22/10 JF u n d ) ( a d d l )97 . T em p l e t o n G l o b a l B o n d F un d ( M ut ua l B u y 09/16/10 JFu n d ) (a d d l )98 . B l ack r o ck E n er g y & R eso ur ces F un d N o n e B u y 03/11/I0 J( M ut ua l F un d )99. B l ack r o ck E n er g y & R eso ur ces F un d B u y 03/31/10 J( M ut ua l F un d ) ( ad d l )1 0 0 . B la c k ro c k E n e rg y & R e so u rc e s F u n d B u y 04/22/10 J

( M ut ua l F un d ) ( a d d l )101. B l ack r o ck E n er g y & R eso ur ces F un d S o l d 0:5/20/10 J( M ut ua l F un d )102. B l ack r o ck E n er g y & R eso ur ces F un d N o n e B u y 06/14/10 J( M ut ua l F un d )

1 : In c o m e G a i n C o d e s : ~$i 000 0r less B = $ 1 , 0 0 1 : $ 2 ; 5 0 0 C ~ $ 2~ 5 01 - $ 5 ,000 D = $ 5 , 0 0 1 - $ 1 5 ; 0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0( S e e C o l u m n s B 1 a n d O 4 ) F~$50~001-5100,000 ~ $ 1 . 0 0 0 , 0 0 0 H I - - $ 1 , 0 0 0 0 0 1 r $ 5 ~ 0 9 0 0 0 0 : : 1 - 1 2 = : M O r e th a n $ 5 , 0 9 0 , 0 0 0( S e e C o l u m n s C I a n d D 3 ) N = $ 2 5 0 ; 0 0 1 ~ $ 5 0 0 , 0 0 0 0 ~ $ 5 0 0 i 0 0 1 ~ $ 1 , 0 0 0 , 0 0 0 Pl =$1,000,001 i $5i000i~ P2 ~$5i~i60i $~i000~600 :: :

P 3 =$ 25 .000 .0~ 1 - $ 5 0 ,000 ,0003 . V a l u e M e t h o d C o d e s Q = A p p r a i sa l R - -Co s t ( R ea l E s t a t e O n ly )

( S e e C o l u m n C 2 ) U = B o o k V a l u e V - - O t h e r


11/16


N a m e o f P e r so n R e p o r t i n gYeakel III, Earl L.

D a t e o f R e p o r t06/01/2011

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 ~ l u e , t r u n s u c t i o n s a n c l u d e s t h o s e o l s p o u s e u n d dependent children; s e e p p . 34-60 of filing ins truc tions . )[] NONE income , assets , or transactions. )N o reportable

1 0 3 . B l a c kr o c k E n e r g y & R e s o u r c e s F u n d B u y 06/18/10( M ut ua l F un d ) ( ad d l )1 0 4 . B l ack r o ck E n er g y & R eso ur ces F un d S o ld 07/20/10( M ut ua l F un d )1 0 5 . R S G l o b a l N a t u r al R e s o u r c e s F u n d ( M u t u a l N o n e K T B u y 07/20/10

F u n d )1 0 6 . R S G l o b a l N a t u r al R e s o u r c e s F u n d ( M u t u a l B u y 08/18/10F u n d ) (a d d l)1 0 7 . R S G l o b a l N a t u r al R e s o u r c e s F u n d ( M u t u a l B u y 09/16/10F u n d ) ( ad d l )108. B l aek r o ck G l o b a l A l l o ca t i o n F un d ( M ut ua l A D i v i d e n d B u y 03/I t/10F u n d )1 0 9 . B l ack r o ck G l o b a l A l l o ca t i o n F un d ( M ut ua l B u y 03/31/10F u n d ) ( ad d l )1 1 0 . B l ack r o ck G l o b a l A l l o ca t i o n F un d ( M ut ua l B u y 04 /22/10F u n d ) ( ad d l )111. B l ack r o ck G l o b a l A l l o ca t i o n F un d ( M ut ua l S o ld 08/09/10

F u n d )1 1 2 . D o d g e & C o x I n c o m e F u n d ( M u t u a l F u n d ) A Di v i d en d J T B u y 03/11/101 1 3 . D o d g e & C o x I n c o m e F u n d ( M u t u a l F u n d ) B u y 04 /01/10( ad d l )1 1 4 . D o d g e & C o x I n c o m e F u n d ( M u t u a l F u n d ) B u y 04 /22/10

( ad d l )1 1 5 . D o d g e & C o x I n c o m e F u n d ( M u t u a l F u n d ) B u y 09/16/10( ad d l )116. L o o mi s S ay l es I n ves t men t G r ad e B o n d F un d A Di v i d en d J T B u y 03/11/10( M ut ua l F un d )1 1 7 . L o o mi s S ay l es I n ves t men t G r ad e B o n d F un d B u y 03/31/10

( M ut ua l F un d ) ( ad d l )1 1 8 . L o o mi s S ay l es I n ves t men t G r ad e B o n d F un d B u y 04 /22/10

(M u tu a l F u n d ) (a d d l)1 1 9 . L o o mi s S ay l es I n ves t men t G r ad e B o n d F un d B u y 09/16/10(M u tu a l F u n d ) (a d d l)

J

J

JJJ

JJ

J

J

J

J

J

J

J

J

J

J

A

A

l . I n c o m e G a i n C o d e s :( Se Co lu mn s B 1 an d D 4 )

2 . V a l u e C o d e s( S e e C o l u m n s C I a n d D 3 )

3. Valu e Method Codes(Se e C o h lm n C 2 )

A = $ 1,000 o r le ss B = $ 1 .001 - $ 2 .5 00F =$~0.001 - $100,000 G =$100,001 - $1.000,000J =$15.000 or tess K =$15.001 - $50.000N =$250.001 - $500.000 O =$500.001 - $1.000.000P3 =$25.000.001 - $50.000.000Q = Appr a i s al R =Cost IR~al Es tate Only)U = B ook Valu e V = O ther

C =$2.501 - $5.000 D =$5.001 - $15.000H 1 = $ 1 , 0 0 0 1 00 1 - $ 5 , 0 0 0 , 0 0 0 H2 =More than $5.000.000L =$ 50.001 - $100.000 M = $ 100.001 - $ 250.000P 1 =$ 1. 00 0. 00 1 - $ 5. 00 0. 00 0 P 2 = $5 .0 00 .0 01 - $ 2 5. 00 0. 00 0P4 =More than $50.000:000S =A s s e s s m e m T -~ 2as h Mar ke tW =Estimated

E =$ 1 5 .001 - $ 5 0 .000


12/16


N a m e o f P e r s on R e p o r t i n gY e a ke l I I I , Ea r l L .

D a t e o f R e p o r t06/01/2011

V I I . I N V E S T M E N T S a nd T R U S T S - i n c o m e , v u t u e , ~ u n s a c t io . s a .d u d e s t h o s e o S s p o u s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of filing instructions.)D (No reportable assets, orO N E income, transactions.)

120. Lo o mis Say les St ra teg ic In co me Fun d N o n e J T Bu y 11/03/10 J(Mutual Fund)1 21 . P imco To ta l Re turn Fun d (Mutua l Fun d ) B Divid en d K T Bu y 03/09/10 K1 22 . P imco To ta l Re turn Fun d (Mutua l Fun d ) Bu y 0 3/11 /10( a d d l )1 23 . P imco To ta l Re turn Fun d (Mutua l Fun d ) Bu y 03/31/10(addl)1 24. P imco To ta l Re turn Fun d (Mutua l Fun d ) Bu y 0 4 /2 2 /10(addI)1 25 . P imco To ta l Re turn Fun d (Mutua l Fun d ) Bu y 09/16/10(addl)1 26 . P imco To ta l Re turn Fun d (Mutua l Fun d ) So ld 12/15/10(part)1 27 . Fa i rho lme Fun d s In c . (Mutua l Fun d ) A Divid en d K T Bu y 03/12/101 28 . Fa i rho lme Fun d s In c . (Mutua l Fun d ) Bu y 03/31/10(ad d l )1 29 . Fa i rho lme Fun d s In c . (Mutua l Fun d ) Bu y 0 4 /2 2 /10(addl)1 3 0 . Fa i rho lme Fun d s In c . (Mutua l Fun d ) Bu y 0 9/16/10(ad d l )131. T R o w e P r i c e E m e r g i n g E u r o p e N o n e Bu y 03/31/10Medi t e rranean F und-Mutua l F und1 3 2 . T R o w e P r i c e E m e r g i n g E u r o p e Bu y 0 4 /2 2 /10Medi t e rranean F und-Mutua l F und (ad d l )1 3 3 . T R o w e P r ice Em erg in g E u ro p e So ld 0 5 /0 5 /10Medi t e rranean F und-Mutua l F und

1 3 4 . T R o w e P r i c e E m e r g i n g E u r o p e N o n e K T Bu y 08/09/10Medi t e rranean F und-Mutua l F und1 3 5 . T R o w e P r i c e E m e r g i n g E u r o p e Bu y 0 9/16/10

Medi t e rranean F und-Mutua l F und (addl)136. ISh a re s Ba rc l ay s T rea s In f l a ti on P ro t ec t ed A Divid en d Bu y 06/08/10Sec s-Mutua l F und

J

J

J

J

J

J

J

J

J

J

J

J

J

J

L

A

A

2. Value Codes J =$i5 ,090 o~ iess L = $ 5 0 , 0 0 t - $ 1 0 0 . 0 0 0 : : M ~$100;~! ~ $250,000(See Co l . . . . . C1 and D3) N = $250,001 ~ $ 500,000 O ~ $ 5 0 6 1 0 0 i ~ $ i , ~ i ~ 0 . . .. Pi --$i i~b0,601 ~ $5i6b01000 P ~ L ~ S i 0 0 0 ; b 01 ~ $ 2 5 , 0 0 0 ~ 6 0 0

P 3 = $ 2 5 ~ 0 0 0 . 0 0 1 ~ $ 5 0 . 0 0 0 1 0 0 0 P ~ L M b ~ e t h ~ n $ 5 0 ;0 0 0 ; 0 003. vatue Method Codes Q = Appr a l s ai R ~o s t (Re a l E s ta te On ly ) S =AsseSSment T =Cash Market(Se e C o lum n C 2 ) V ~ 0 t h ~ W--E s t im a te d=Book Value ....

E =$15.001 - $50.000


13/16


Name of P e r s o n R e p o r t i n gYeak e l I l l , E a r l L .

D a t e o f R e p o r t06/01/2011

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 f!ling instructions.)D NONE income, assets, or transactions.)N o reportable

1 37 . ISh are s B arc la y s T re as In fla t io n P ro te c ted So ld 0 9/16/10 JSees-Mutua l F und (part)1 38 . ISh are s B arc la y s T re as In fla t io n P ro te c ted So ld 110/26/10 K

Sees-Mutua l F und (part)139. ISh a re s Ba rc l ay s T rea s In f l a ti on P ro t ec t ed So ld 11/10/10 K

Sees-Mutua l F und1 4 0 . ISh a re s Ba rcl ay s Aggr Bon d F und (Mutua l A Divid en d Bu y 10/26/10 KF und)1 4 1 . ISh are s B arc la y s A g g r B o n d Fu n d (M u tu a l So ld ! 1/16/10 K

F und) (part)! 4 2 . I Sh a r e s B a r c la y s A g g r B o n d F u n d ( M u t u a l Bu y 11/30/10 L

F und) (ad d l )143. ISh a re s Ba rcl ay s Aggr Bon d F und (Mutua l So ld : 12/08/10 LF und)144. L aza rd E merg ing M ark e t s Por t fo l io (Mutua l A Divid en d Bu y 07/13/I0 JF und)1 45 . Lazard Em erg in g Marke t s Po r t fo l io (Mutua l Bu y 0 8 /18 /10 J

F und) (addl)146. L aza rd E merg ing M ark e t s Por t fo l io (Mutua l Sold 09/03/I0 JF und)147. Invesc o Deve lop ing Mark e t s F und (Mutua l A Div idend K T Bu y 09/03/10 JF und)1 48 . In vesco Deve lo p in g Marke t s Fun d (Mutua l Bu y 0 9/16/10 JF und) (ad d i )149. Fi rs t Eag le Fun d o f Am er ica Clas s A A Div idend K T Bu y 09/09/10 J(Mutual Fund)1 50 . F i rs t Eag le Fun d o f A mer ica Clas s A Bu y 0 9/16/10 J

(Mutual Fund) (addl)151. Pruden t i a l Jenn i son E qu i ty Inc ome F un d A Divid en d J T Bu y 12/15/10 J(Mutual Fund)15 2 . Pr ime Money Mark e t F und (Mutua l F und) A Div idend J T Bu y 0 2 /16/10 K

(addl)15 3 . Pr ime Money M ark e t F und (Mutua l F und) So ld 03/09/10 K(part)

ABB

A

2. V alu e Code~ J = $ 15 ;000 o r le ss K = $ 15 ;001 ,$5 0,000 L = $ 50,001 - $ 100.000(Se e C o lum n s C I a n d D3) N ~$ 2~0,001 ~$ 5 00 000 0= $ 5 00,001 - $ LO 00.O 00 P1 =$1;000;001 -$5,000;000

p 3 ~ $ 2 5 ; 0 0 0 ;0 0 1 ~ $ 5 0 ; 0 0 0 ,0 0 0 P 4 = M0r e t han $ 5 0.000 0003. Value Method Codes Q- -Appr a i s a l R =Cost (Real Estate Only) S = A s s @ s s m e n t(Se e C o lum n C 2 ) U =B00k Value V =Oth e r W = Es t imated

H 2 = m 0 r e t h a n $ 5 , 0 0 0 , 0 00M=$100,001 - $250.000P~ : $ 5 1 o o o ~ 0 o l - $ 2 5 , 0 0 0 . 0 0 0T =C a s h M a rk e t


14/16


N a m e o f P e r s o n R e p o r t in gYeakel IIl, Earl L.

D a t e o f R e p o r t06/01/2011

VII. INVESTMENTS and T RUSTS - i ncome, value, ~ . . . . . t l o n s (Includes those of sp .... and dependent children; see pp. 34-60 of f!llng instructions.)[] NONE income, assets, or transactions.)N o reportable

1 5 4 . Brow nw ood T X ISD GO Bond (T ax E x empt l A InterestBond)1 55 . Fed era l Go v t Obl . Tax Mg d . Fun d # 63 6 A Div idend

Matured 02/16/10 K A

156. Fed era l H o me Lo an Mo rtg ag e Co rp . 2 .50% A .InterestNote1 57 . Fed era l H o me Lo an Ban k 3 .1 3 % N o te A Interest

K T

K ~ T K

158. F ede ra l Home L oan Mo r tgage Corp . 3 . 0 0 % A InterestNote1 59 . Fed era l Farm Cred i t Ban k 3 .45% N o te A Interest K

Matured 06/14/10 KBu y 07/07/10 K

A

1 6 0 . D e n t o n , T e x a s I S D - P S F ( T a x E x e m p t B o n d ) A Interest Matured 08/16/10 J A1 61 . In t ro g en Therap u t i c s In c .1 62 , Lyn as Co rp . Ltd .1 63 . Lubys In c .

N o n eN o n eN o n e

So ld 03/08/10 J A(part)So ld 0 7/06 /1 0 J ABu y 0 7 /0 6/10 J

1 64. Un i ted Sta tes Ser ies I Savin g s Bo n d s None J

F ~ $ ~ 0 i 0 0 i ~ $ 1 0 0 ; 0 0 0 ( i - - $ ~ 0 0 . 0 0 1 - $ 1 . 0 0 0 , 0 0 02. V alu e C odes J = $ 15 ,000 o r le ss K = $15 ,001 - $ 50 .000

(Se e C o lum n s C I a n d D3) N =$250,001 - $500.000 O -$ 5 00,001 - $ 1 ,000,000P3 =$25.000,001 - $50.000.0003 . Valu e Method Cedes Q =Appraisal R -Cos t ( R ea l Es t a t e O n ly )

(Se e C o lum n C 2 ) U = B ook Valu e V - Othe r

C = $ 2 , 5 0 1 - $ 5 , 0 0 0 D =$ 5 ,001 - $ 1 5 ,000 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0H 1 - - $ 1 . 0 0 0 ,0 0 1 ~ $ 5 , 0 0 0 , 0 0 0 H 2 - - M 0 r e t h a n $ 5 0 0 0 0 0 0L = $ 5 0,001 -$ 100,000 M ~$100,001 - $25 0i000P l : $ 1 , o o o ~ o o i ~ $ ~ i o 0 o ;o o 0 ~ ~ $ ~ ! o o o ; o o l . $ 2 ~ , o o 0 1 o o op4 =More than $50:000.000 .......S = A s s e s s m e n t T = C a s h M a r k e tW = Es t imated


15/16


N a m e o f P e r s o n R e p o r t in gY e a k e l I I I , E a r l L .


V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepartofrepor~)Par t V II , I t em 1 . Th i s i t em was l i s ted as SCH Co mm o n Sto ck o n p rev io us rep o r t s .


16/16


Name of Person Report ingY e a k e l I I I , E a r l L .


IX. CERTIFICATION.1 c e r t i f y t h a t a l l i n fo 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 , i f a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u to r y

p ro v i s io n s p e rmi t t i n g n o n - d i sc lo su re .I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . 5 0 1 e t . s e q . , 5 U . S .C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t io n s .

Signature: S/Earl L. Yeakel III

N O T E : A N Y I N D IV I D U A L W H O K N O W I N G L Y A N D W I L F UL L Y F A L S I FI E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I 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 )

C om m i tt e e on F i na nc i a l D i sc l o s u r eAd mini s t r a t ive O f f ice of the Uni ted S ta te s Cour t sSuite 2-301O ne C o l u m b u s C i rc l e , N .E .W a s h i ng ton , D . C . 2 0 5 4 4