8/3/2019 Charles B Kornmann Financial Disclosure Report for 2010

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AO 10Rev. 1/2008 .[ FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0 Report Required by the Ethic~in Government Act of 1978(5 U.S.C. ~p. ~ ~O~-t~OI . Person R~ porting ( last name , f irs t , n fiddle in itial)K o m m a n n , C h a r l e s B .

4, Tit le (Artic le IR judge~ indicate ac tive or g~fior s ta tus ;magis t~am judges indicate full- or part- t ime)Se n~ or s t a nx s

7 . Cham bers or Of f ice Ad d r es s1 0 2 4 t h A v e n u e S E , S u i t e 4 0 8A b e r d e e n , S D 5 7 4 0 1

2 . C o u r t o r O rg a n iz a t io nDi s t r i c t o f Sou t h Dak ot a

Report Type (r. .he~k appropriate type)] Nomination, Date

8.On the I ms i~ o f the in f o rmat io n eo n ta in ed in th is R ep o r t an d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it is , i n m y o p i n i o a , in o m p l i a n e ~w i t h a p p l i c a b l e la w = a n d r e g u l a t io n s .

3 . D a te o f R , p o r t02/23/2011

6. Reporting Per iod01/01/2010to12/31/2010

R e v ie w in g O f f i ce r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe& Complete ail parts,checking the NONE box for each part where you have no reporfable information. ~ign on last page.

NONE (No reportable positions.)P O S I T I O l X ! N A M E O F O R G A N I Z A T I O N / EN T I T y

I. Gen era l partner ~ Komman~ a paztnership2.3.4.5.

N O N E ( N o reportable agreements.)

1.1-1-97 Art ic les o f Parmersh ip , K o m m a n n2.3.

PARTIES AND TERM ~7 : 5

8/3/2019 Charles B Kornmann Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTPage 2 o f 8N a m e o f P e rs o n R e p o r t in gK o r n m a n n , C h a r le s B .

Dtte of Report02/23/2011

llI. NON-INVESTMENT INCOME. ~Ro,o,t~g ~d~d,~t~,d~po,,,~; ~p~ 17-24 of ~g~o~o~)A. Filers Non-lnves~ent Income

~ NONE ~o r~o~able non-inv~ent income.)DAT~ SO~CE ~ ~ INCOME( y o u r s , n o t s p o u s e s)

B. Spous e s Non - lnv e s tmen t Income - l f you were mart~d during any portion of the reportlng y~r, complete this(Dol lar amount not required except for hono raria.)

[] N O N E ( N o reportable non-investment income.)

2.3.4.

DATE SOURCE AND TYPE

I V . R E I M B U R S E M E N T S - ~,~,,po,~ao~ l~dg~n,,foo~ enlerlainmen~(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

[~ NONE (No reportable reimbursements.)

2.3.4.5.

SOURCE A ] D _ A . T . . F ~ LOCATION PURPOSE ITEM S PAID OR PRQV IDED

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FINANCIAL DISCLOSURE REPORTPa g e 3 o f 8N a m e o f P e r so n R e p o r t i n gKornm ann , Ch ar l e ~ B .

D a t e o f R e p o r t02/23/2011

[] N O N E ( N o reportable gifts.)

1 . R o n a l d a n d S h a r o n R i v e t t f i s h in g t r i p t o S i t k a , A l a s k a , fo r s e l l a n d s p o u s e , l o d g i n g a n d f o o d i n d .2 . M ~ c h a e l a n d B a r b a r a E v a n s ~r ip to vaca t ion home ren ted by the Evans in S eot s da le , AZ3.4.5.

$1,500.00$1,200.00

V I . L I A B I L I T I E S . a , ~ t u , ~ ,n o ~ o f ~ , o a ~ , , , ,d , ~ , ,~ t c ~ u a , ~ , , s ,, ~ ~ 2 - 3 ~ of filing instructtottt)[-~ NONE (No reportable liabilities.)

1.2.3.4.5.

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FINANCIAL DISCLOSURE REPORTPage 4 of 8N a m e o f P e rs o n R e p o r t i n gK o r n m a n n , Ch a r l e ~ B .

Date of R e p o r t02/23/2011

VII. INVESTMENTS and TRUSTS -V~ N O N E ( N o reportable income, assets, or transactions.)

Descr ipt ion of A~ets( inc luding t rus t assets)Place ~(X)" after each assetexempt from prior disc losure

In co m e d u r in g

A m o u n t Type (e .g . ,Code 1 d iv , n m t ,( A - H ) o r

Gross va lue a t ~d of~ p o r t i n g p e r i o d

Va lu e [ ValueC o d e 2 [ M e t ho d0-r) [ C o d ~ 3

Transac t ions dur ing repor t ing per iodO)T y ~ ( e - S . ,

b u y , s e l l ,redempt ion)Date ]V~lue [ Gain I Iden t i ty o fI c, 2I

tr, m~actio

1. C o m m o n s t o c k , R e d R i bb o n , I n c . None J WA Int . /Div . J W

3. 1 / 3 o w n e r s h i p , h o u s e , T y n d a l l S D B Rent Sold Aug I J A Michael Bambas4. farm land, Hamlin County, SD E Rent O W5. 4 3 . 8 4 % i n t e r e s t , p a r t n e r , K o m m a n n

6. 43.84% interest, pa~ner, K o r n m a n nE Distribution 0 WE D i s t n ~ b u t i o n 0 W

7. S D R e t i re m e n t S y s t e m , m o n t h ly b e n e f i t ~

8. I n t e r e s t i n B l ac k Hi l l s Eag l e 1 l m r t ne r s h i p

9. B r a n d y w i n e F u n d s h a r e s

10 . M u t u a l B e a c o n F u n d C L Z s h a r e s1 I. M u t u a l G l o b a l D i s b u r s e m e n t F u n d S h a r e s

12. M u t u a l E a r o p e u n F u n d s h a re s

~ ~ . C e n t e n n i a l , I R A t r u s t

D D i s m b u t i o nA In t e re s t

N o n eB D i v i d e n dB D i v i d e n dD D i v i d e n dA In t . /Div .

L W

J U

L TS o l d 12-15 MS o l d 12-15 M ES o l d 12-15 M E

R e d e e m e d 11-18 J A14 . Centen l Money Ma rke t Trus t , IRA A I n t J D i v . 1 L e d e e m e d 11-18 J A15 . C e n t e n n i a l M o n e y M a r k e t T r u s t ( W a c ho v iS e e n r i t i e s )

1 6 . Omkmark Select Shar~s -

A In t . /Div .A D i v i d e n d

Redeemed 1 I - 1 8 J A

17. M a s t e r s S e l e c t E q u i t y F u n d S h a r e s None L T

I . hw , ome Gai n Codes :( S ~ C o h a n n s B I a n d D4 )2 . V a l u e C o d e s( S e C o lu m r t s C I a n d D 3 )3.V a lue Me th od C ode s

(S~ Column

A --$1,0O0 or lessF =$50,0Ol - $100,000N = $ 250,0Ol - $ 50of l00P3 =$ 25,0O0.001 - $50,000,000Q = A ppra i s a lU ~ B o o k V ~ I ~

B~$1.0O] - $2,50OG --$10O,0Ol - $1,000,00OK=$15,001 - $50,000O=$500,001 - $1,0O0,0O0R ~ C o s t (Re a l Es ta te Only )

C =$2,501 - $5,00oHI ~$1,0O0.0OI - $5,0O0,0O0L ,*$50,0Ol - $10O.000P1 =$1,0O0,0Ol - $5.0O0,00OP 4 = M o r n t h a nW ~Estimated

D = $ 5 , 0 O I - $ 1 5 , 0 0 0H 2 = M o ~ t h a n $ 5 , 0 0 0 , 0 O 0M = $ I 0 0 , 0 0 1 - $ 2 5 0 , 0 O 0P 2 = $ . ~ , 0 O 0 , 0 O I - $ 2 5 , 0 0 0 , 0 0 0T = C a s h M a r k e t

E =$15,001

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FINANCIAL DISCLOSURE REPORTPa g e 5 o f 8Name of Person ReportingK o r n m a n n , C h a r le s B .

Date of R e l m r t02/23/2011

N O N E ( N o reportable income, assets, or transactions.)

Descrip t ion of A sse ts( including t rust asse ts)Place "(X)" ~ter each assetexempt from prior disc losure

I n co me d in in grepot t ing period(D I (2)A m o u n t [ T y p eCode I [ d iv . , r en t ,(A-H)J orint)

Gross value at end of0) (~)V alue V a l u eCode 2 M e t h o d0-P) Code 3

T r a n s a c t io n a d u r i n g t x - ~ p o r t i n g p e r i o d .

~ r s n s ~ c t ~ o n )

18. T h e l n v e s m a e n t C o m p a n y o f A m e r i c a s ha r e s A D i v i d e n d S o l d 12-15 K E19 . N F J Div idend In t e res t K o m m a n n ) A D i v i d e n d S o l d 12-15 J20 . V a n g u a r d 5 0 0 I n d e x F u n d K ornmani B D i v i d e n d Ln )21 . Vanguard GNMA Fund ~Kornmann)i B D i v i d e n d K

TT

22 . Vanguard PEIT Fund ~ommann) C D i v i d e n d K T23 . Due on notes from~ members to~ A In t e re s t~ Kommann24 . R u s s e l l F u n d s A D i v i d e n d25. Eaton Vance Tax Managed BuyWdte Me, F i A Dividend

Kornmann)2 6 . F o r e i g n c o n d o i n v e s t m e n t Komma Nonen n )27 . E a t o n V a n c e T a x M a n a g e d B u y W r i t e l~ m d A D i v i d e n dS B I28 . E a t o n V a n c e T a x G l o b a l B u y W r i te F u n d ( A D i v i d e n dK o m a n a n n )29 . Cohen & Steers Die. Majors Fund, Inc.~ A D i v i d e n d~ Kornmarm30 . B l a c k r o c k E n h a n c e d D i v i d K o r n m a A D i v i d e n d31 . E v e r g r e e n G l b l O p p t y F o m m a n n i C D i v i d e n d32 , Ft . Spe Fin & Fi n l Opp t y , K o m m B D i v i d e n dann

N TM a t u r e d 7-6 J

Buy 12-17 NS o l d 12-15

M W

S o l d 12-15K TK T B u y 12-20

Sold 12-15

T r a n ~ f e ~ e d( to l ine 38)K T

K

33 . A n d e r s o n R e t i r e m e n t L L C ]Korn N o n e L T3 4 . H e a l t h c a r e P l u s F e d e r a l C r e d i t U n i o n C I n te r es t K T

1 . I ncome Gai n Codes : A - $ 1,000 or k ~ s B =$1,001 - $2,_500 C =$2,501 - $5,000( S e e C o l m n n ~ B I a ~ d D 4 ) F ~50,~ 1 - $ I ~,~ G =$ ] ~,~ I - $1 ,~,~ H l = $ I ,~,~ 1 - $ 5,~,~2. V~ue C~ J ~15,~ or ~ K =$15,~1 - ~0,~ L =~0,~I - $1 ~,~P3 =$~,~,~1 - $~,~,~ P4 =M~ ~ $50,~,~3. Val~ M~od ~ Q =Ap~i~ R ~t ~ ~m ~ly) S ~t(~ C~mn ~) U =~k V~ V ~ W =~

=$5,001 - $15,000=More than $5,000,000~ $ 1 0 0 . 0 0 ~ -= $ 5,000,00~ .= ~ a s h Ma rk e t

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

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FINANCIAL DISCLOSURE REPORTPage 6 o f 8 Kornmann , Charles B.Date of Report

0 2 / 2 3 / 2 0 1 1

V II. INVESTM ENTS an d TRUSTS - ~.,,, ~a.o, ~ a . a ~ ~ o f ~ , o ~ d,~.~, c~,~; ,. w ~ - ~ o f ~ g ~ , ~ . a ~ , ~ )[] N O N E ( N o reportable income, assets, or transactions.)

A. lB.De~ rip tio n of A ssets In com e d vaing(including trus t a ,~-~) reporting period~ (2 )PI~..~ "(X)" after each asset Type (e.g~exempt from prior disclosure div., rent,, or int.) G n ~ s s v a l u e at e n d o f(t) I (2)alu e Valu~Code 2 M e t h o dO - P ) o ~ 3 T r a m a c t i o m d ur in g r ep o r t in g tg r io dType(e .g . , l ~e /V~l Gain I Iden t i t yo f

_35 . Healthcare Plus Federal Credit Union,~ A I n t e ~ s t~ Kornmann36 . B i a c k r o e k E n h a n c e d D i v i d . A D i v i d e n d S o l d 12-1537 . Twin Hom es , Aberdee n , SD A Rent N W~ 8 . Wells l~argo Advantage Global ~ Ko --D D i v i d e n dr n m a m a )

" 3 9 . W e l l s V a r ~ o M a n a g e d Account (IP~) D Dis t r ibu t io n40. Wells Fargo M~naged Accoun~IRA)~ C Dis t r ibu t io n4 1. W e l I ~ F a rg o M a n a g e d A c c o u n t ( IR A ~ F Distr ibut ion42. Well~ Fargo Cash Sweep~ (IRA) A I n te r es t

K T T r a m f e ~ r ~ d( f r o m l i n e 3 1 )N U R e d e e m e d( p a r t )L U R e d e e m e d( p m )

M e r g e d(with l ine 40)Closed

12-2012-2012-208-29

J

J

N a m e c h a n g e only

4 3 . W e l l s F a r g o C a s h S ~ e e p ( I R ~ i A I n te r es t Cl ose d 8 - 2 9 J

1 . I ncome Gai n Codes : A - $ I . ~ 0 o r l e s s B--$1,12OI - $2,500 C =$2,501 - $5,000 D =$5.001 - $15,000( S e e C o l u m m B I t n d D 4 ) F =$50,001 - $100,060 G = $ 1 0 0 , 0 0 1 - $ 1 ,00O,0O0 H I ~$1,0OO .001 - $5,000,0~1 H 2 -Mor e f l aa~2 . V a l ~ C o c k s J =$15,01~ or les~ K =$15,001 - $50,000 L --~50.001 - $100.00~ M =$100,001 -( S e e C o h m m ~ C I a n d D 3 ) N ~$250,601 - $500,000 O =$ 56 0,0 01 - $ 1,0 00 ,0 00 P I = $1 ,0 00 .0 01 - $ 5.0 00 ,0 00 P2- $ 5,1~ 6 ,001 -P3 ~ 25,000,00! - $ 50,000,000 P 4 ~ M o r e a u r a3 . Val u e Met hod Codes Q = Ap p ra i sa l R = 4 : o s t (R e a l Es t a t e On l y ) S =A sse ~ m ~ Ja t T -~ :~ d a M a rke t( S e e C o l ~ m C 2 ) U =Book Va! u c V ~ W = E. s~ ma t e d

E = $ 1 5 , ~ 1 - $ 5 0 , 1 3 0 0

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FINANCIAL DISCLOSURE R EPORTPage 7 o f 8N a m e o f P e g s o m R e p o r t in g

K o r n m a n n , C h a r le ~ B .

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

D a C e o f R e p o r t02/23/2011

V . G I F T SL in e 1 , R o n a l d a n d S h a r o n R i v a t ~ t , lo n g t i m e f ~ i e n d s f r o m A b e r d e e n , S D e n t e r ta i n e d r e p o r l in g p a r t y a n d s p o u s e t o g e t h e r w ~ t h f o u r o t he r c o u p l e s f r o m A b e r d e e n ,S D , a t t h e i r f is h i n g l o d g e i n A l a s k a f o r 3 d a y s . W e f l e w i n a p r i v a t e p l a n e w i t h th e o w n e r o f t h e p l a n e , M i c h a e l E v a n s , a n d h i s s p ~ n s e , B a r b a r a E v a n s , a l s o l o n gt i m e f r ie n d s f ~ o m A b e r d e e n , S D .L i n e 2 , M i c h a e l a n d B a r b a r a E v a n s , l o n g t i m e f r i e n d s f r o m A b e r d e e n , S D , i n v i t e d f r ie n d s t o s t a ) , w i t h th e m i n a h o m e t h e y h a d r e n t e d i n A r i z o n a f o r t h r e e d a y s t oo r i g i na l l y h os t t h e i r f a nx i l y m e m be rs . W e f l e w i n a p r i v a t e p l a ne ow ne d by t h e E v a ns w i t h t h re e o t h e r cou p l e s . Me a l cos t s ~ v e re sh a re d w i t h a l l conc , e rne d .V I I . I N V E S T M E N T S A N D T R U S T S ( C o n t d . )L i n e I , R e d R i b b o n , I n c . o w n s a n u n i m p r o v e d p a r c e l o f l a n d i n I n d i a n a . I t i s a S u b e h a p t ~ r S c o r p o r a t i o n a n d t h e i n c o m e a n d l o s s e s a r e p a s s e d t h r o u g h to t h es t o c k h o ld e r . T h e r e h a v e b e e n n o d i s t n b u t io n s a n d t h e l a n d c o n t i n u e s t o p r o d u c e n o i n c o m e .Line 4 , th i s land i s l eas ed on a ca s h ren t bas i s .L i n e 5 a n d I ~ e 6 , t h i s p a r m e x s h ~ p o w n s 2 a p a m n ~ n t h o u s e s . L i qu i d i n v e s t m e n t s o f t h e p a r t n e r s h ip a n d i n c o m e t h e re f r o m a r e r e p o r t e d i n P a r t V I I .L i n e 2 4 , R u s s e l l F u n d s o w n s a n d o p e r a t e s a l a r g e n u m b e r o f f u n d s i n i t s " f a m i l y .n T hey a r a a l l mutua l f un d s .L i ne 33 , t h i s i s a l h n i t e d pa x t oe r sh i p i n t e re s t , a v e ry sm a l l i n t e re s t a s a l i m i t e d pa ~ ne r ; , t h e pa r t ne r sh i p i s ope ra t i ng a n a ss i s t e d e a ~ l i v i ng f a c i l i W i n I n d i a n a .L i n e 3 4 , t h is i s m o n e y i n v e s t e d i n H e a l t hc a r a P l u s F e d e r a l C r e d i t U n i o n b y t h e r e p o r t i n g p a n y . S e e i n f o r m a t i o n a l s o a s t o L i n e 3 5 .L i n e 3 5 t h is i s m o n o i n v e s t e d i n H e a l t h c a r e P l u s F e d e r a l C r e d i t U n i o n b y K o m m a n n .L i ne 37, t h i s a sse t w a s consu ~ e t e d f i om scra t ch by r e por t i ng pa r t y i n 2009 a nd 2010 a nd i s a r e a l e s t a t e i nv e s t m e n t .L i n e 3 9 , b e c a u s e o f a g e o f r e p o r t i n g p a ~ , o n e p a r t i a l I R A w i t h d r a w a l w a s r e q u i r e d b y f e d e r a l l a w .L i n e 4 0 , b e c a u s e o f a g e o f s p o n s e , o n e p a r t i a l I R A w i t hd r a w a l g a s r ~ q u i r e d b y f e d e r a l l a w .

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FINANCIAL DISCLOSURE REPORTPage 8 o f 8IX. CERTIFICATION.

N a m e o f P e r s o n R e p o r t i n gKornmann, Charles B.

D a t e o f R e p o r t02/23/2011

! c e r t if y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n e i n d i n g i n f o r m a t i o n p e r t a i n 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 re n , i f a n y ) i ~a c c u r a t e , t ru 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 ie 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 hh e l d b e c a u s e i t m e t a p p l i c a bl e s t a t u to r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .I f u r t h e r c e r t i f 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 L ~ 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 ~ % C . a p p . 5 0 1 e L 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 i o n s .

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJEL-T TO CIVILA 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 . 10 4 )

F I LI N G I N S T R U C T I O N SM a i l s i g n e d o r i g i n a l a n d 3 a d d i ti o n a l c o p i e s t o :

C o m m i tt e e o n F i n a n c i a l D i s c lo s u r eA d m i n i s tr a t iv e O f f ic e o f t h e U n i te d S t a te s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4