Daniel J Breen Financial Disclosure Report for 2010

8/3/2019 Daniel J Breen Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. lOl-lll)

1. Person Repor ting ( las t name, f ir s t , middle init ial)B R E E N , J . D A N I E L

4. Tit le (Art ic le 1 I I j u d g e s i ndica te act ive or senior s t a tus ;magis t ra te judges indicate fu l l - or par t - t ime)

U . S . D I S T R I C T J U D G E / A C T I V E

7 . C ha m be r s o r O f f ic e Ad d r e s s4 4 4 U N IT E D S T A T E S C O U R T H O U S E1 1 1 S O U T H H I G H L A N D A V E N U EJACKSON, T N 38301

2. Court or OrganizationW E S T E R N D I S T R I C T O F T E N N E S S E E

3. Date of Repor t04/25/2011

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Repo rt and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in com pliancewith appl i cable l aws and regula t ions .

6. Report ing Pe riod01/01/2010

to12/31/2010

Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,checking the NON E box for each part where you have n o reportable information. ~qlgn on last page.

I . P O S I T I O N S . ( R e p o r t in g i n d i v id u a l o n l y ; s e e p S . 9 - 1 3 of filing instructions.)~ N O N E (No reportable positions.)

P O S I T I O N1 . E x e c u t iv e C o m m i t te e2. Board of Di rec tors Fed era l Jud g es A sso c ia t io n3. T rus t ee Trust #1

4.5.

N A M E O F O R G A N I Z A T I O N / E N T IT YN a t i o n a l Co n fe r e n c e o f F e d e ra l T r i a l Ju d g e s

I I . A G R E E M E N T S . ( R ~ p o r t i n g individual only; seepp. 14-16 of filing instructions.)~ N O N E ( N o reportable agreements.)

D A T E PART1ES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 13

N a m e o f P e r s o n R e p o r t in gBREEN, J. DANIEL

D a t e o f R e p o r t04/25/2011

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

~] (No reportable income.)O N E non-investmentD A T E S O U R C E A N D T Y P E

2.3.4.

I N C O M E( 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 - If you were m arried during any portion of the reporting year, comp lete this section.(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

1.2.3.4.

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 and depend ent children; see pp. 25-27 offiling instructions.)~] NONE(No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED1 . A m e r i c a n B a r A s s o c i a t io n 2 /4 /2010-2 /7/2010 Orlando , FL N a t i o n a l C o n f e r e n c e o f t r a v e l , l o d g i n g a n d m e a l sFed era l Tr ia l Jud g es2. Fe d e ra ! Ju d g es A ss o c ia tio n 5/2 2/2 0 10 -5 /2 4 /2 0 1 0 W ash in g to n , D C M eetin g t r a v e l, l o d g i n g a n d m e a l s3. A m e ric an B ar A ss oc ia ti on 9 /2 2/1 0- 9/2 6/2 01 0 C h i c a g o M eet ing t r a v e l , l o d g i n g a n d m e a l s4.5.


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N a m e o f P e r s o n R e p o r ti n gBREEN, J. DANIEL

D a t e o f R e p o r t04/25/2011

V . G I F T S . a n c l u d e s those to spouse and dependen t children; see pp. 28-31 of fillng instructions.)N O N E ( N o reportable g ifts.)

SOURCE DESCRIPTION1 .2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n a u d e s t h o s e o l s p o u s e und dependent children; see pp. 32-33 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.

3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 13 Ia m e o f P e r s o n R e p o r t in gB R E E N , J . D A N I E L Date of Report04/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m e , value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)D NONE (N o reportable income, assets, or transactions.)D e s c r i p t io n o f A s s e t s

( i n c l u d i n g t r u s t a s s e t s )Place "(X)" after each asset

exempt f rom pr ior d isc losure

Income dur ingr e po r t i ng pe r i od o f r e po r t i ng pe r i od(1 ) (2 ) (1) (2) (1 ) (2) (3)

A m o u n t T y p e ( e . g ., V alue V alue T y p e ( e : g .~ D ate , , V alueC o d e 1 d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l I ~ m m / d d /y y C o d e 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 : r e d e m p t i o n )( Q - W )

G a i n I d e n t i ty o fC o d e 1 : buyer/seller( A - H ) ( i f p r i v a t et ransaction)

1. Bancorp South A Interest K T2. I R A - F i d e l i ty M a g . B Dividend L T3. C M A A C C T . - M E R R I L L L Y N C H4. I d a h o P o w e r C o . C S ( n o w k n o w n a s A D i v i d e n dIdacorp , Inc . )5. P r o c t e r & G a m b l e C S A D i v i d e n d

JK

TT

6. C h i c a g o , I L B r d . E d . B o n d s A Interest So ld 06/03/10 J A7. A T & T C S A Dividend J T8. C o c a - C o l a C S A D i v i d e n d J T9. E.I . Dupont CS A D i v i d e n d J T

1 0 . J o h n s o n & J o h n s o n C S A Dividend J T1 1 . W a d d e l l & R e e d A c c t1 2 . W a d d e l l & R e e d S t r a t eg y P o r t A D i v i d e n d J T1 3 . W a d d e l l & R e e d B a l a n c e d P o r t A D i v i d e n d J T1 4 . W a d d e l l & R e e d B o n d P o r t A D i v i d e n d J T1 5 . W a d d e l l & R e e d C o r e E q u i t y A D i v i d e n d J T1 6 . W a d d e l l & R e e d G r o w t h P o r t A D i v i d e n d J T1 7 . I vy V 1P Mny Mkt A Interest So ld 12/10/10 K A

i : In~0~e Gain CodeSi A =Sl ,000 0 r l es s B =$1 ,001 - $2 ,500( S e e C o l u m n s B I a n d D 4 ) F =$50,001 - $100,000 G =$100~001 2 $1,000,000

2 . Value Codes J =$ t5 ,000 or l es s K =$15,001 - $50,000( See Columns C I and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003 . Value Meth od Codes Q = A p p r a i sa l R =Cos t ( R eal Es t a t e Only )( S e e C o l u m n C 2 ) U =Book Value V =Oth er

C ~ $2 ,501 : $5 i000 D =$5,001- $15,000H I = $ 1 0 0 0 0 0 1 - - $ 5 0 0 0 0 0 0 . . . . H2 --More than $5~000,000L =$50,001 : $100~000 M =$100,001 - $250,000p 1 =$i ;000~00 i ~ $5;000 000 P2 =$5,000,001 - $25;000,000P4 =M0r e th an $50 000 000s =As s eas m~ n[ : T =Cash MarketW =Es t imated

E =$15,001 - $50,000


5/13



Date of Report04/25/2011

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 m e , v , t u e , t r a n s a c t io n s ( I n c l u d e s those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e durin g G ro ss value a t en d Transactions during reporting period(in clud in g trus t a sse ts ) reporting period of repor t ing per iod

~1) (2)Place "(X)" af iereach asse t Amount Type (e.g. ,

exempt f rom pr ior d isc losure Code I div. , rent,(A-H) orint.)

1 8 . W a d d e l l & R e e d H i g h I n c o m e P o r t A D i v i d e n d1 9 . W a d d e l l & R e e d S c i e n c e & T e c h P o r t A D i v i d e n d20 . W a d d e l l & R e e d S m a l l C a p G r o w t h P o r t A D i v i d e n d21 . Wad de l l & Reed T rg t . Fd . In t l . Growth P or t A D i v i d e n d22 . W a d d e l l & R e e d V a l u e P o r t A D i v i d e n d23 . W a d d e l l & R e e d G l o b a l N t r l . R e s . P o r t A D i v i d e n d24 . W a d d e l l & R e e d M i d C a p G w t h P o r t A D i v i d e n d25 . W a d d e l l & R e e d T a r g e t M i c ro c a p G w t h A D i v i d e n d26 . W a d d e l l & R e e d T a r g e t E n e r g y P o r t A D i v i d e n d27. IN G A cc t.2 8. 1 N G Am . F ds . G w th -In c . P o rt A D i v i d e n d29 . Fide l i ty C ont ra fund A D i v i d e n d30 . ING FM R SM D ive rs i fi ed M ideap A D i v i d e n d31 . I N G J P M o r g a n S m a l l C a p C o v e E q . P o r t A D i v i d e n d32 . 1NG A n. Fds . In t l Po r t A D i v i d e n d

33 . I R A A C C O U N T - M E R R I L L L Y N C H34 . A m e r i c a n C a p i t a l In c o m e A D i v i d e n d

( 1 ) ( 2 ) ~1) (2) (3)V a lue V a lue Type (e.g. , D a t e ValueC o d e 2 M e tho d buy~ sell~ ..... m m / d d / y y C o d e 2(J-P) Co de 3 redem p tio n) (J-P )

J

J

J

J

J

J

J

J

J

( Q - W )

T

T

T

T

T

T

T

T

T

J

J

J

J

J

T

T

T

T

T

So ld 06/03/10 J A

( 4 ) (5 )G a i n I d e n t i t y o f

C o d e 1 b u y e r / s e l l e r( A - H ) ( i f p r i v a t e

t r a n s a c t i o n )

t . Inc ome G ain Codc s : A =$1,000 ~r less .... ... B =$1 ,001 . $2 ,500( See Columns B 1 and D4) F =$50,001 - $100,000 O =$100,001 - $1,000,0002 . Va lue Co d es J =$15,000 or less K=$15~001 - $50~000( S e e C o l u m n s C I a n d D 3 ) N =$250~001 - $500,000 O =$500 ,00 i - $1 i000 ,000

P3 =$25,000,001 - $50,000,0003 . Value Meth od Codes Q = A p p r a i sa l R =Cos t ( R eal Es t a t e Only )( S e e C o l u m n C 2 ) U =Book Value V Olher

C =$2,501 - $5,000H 1 =$1,000,001 - $5;000,000L =$50;001 - S l00;000P1 --$t ,000,001 z $5;000 000P4 =More than $50,000;000S =As s es s mentW =Es t imated

D =$5,001 - $15,000H2 --More than $5,000,000M y$100,001 = $250,000P2 =$5,000,001 - $25,000,000T - - Cas h Mar k et

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 ti n gBREEN, J. DANIEL

D a t e o f R e p o r t04/25/2011

VI 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 sp .... and depend ent children; see pp. 34-60 of filing instructions.)~ (No reportable assets, orONE income, transactions.)

( i n c l u d i n g t r u s t a s s e t s ) reporting period of reporting period(1 ) (2 ) (1 ) (2 )

Place "(X)" after each asset A m o u ~ . t Type (e.g.,exempt from prior.disel0sur Code 1: d i v . . r e n t , C o d e 2

(A-H) o r in t .) ( J- P )

35 . A ll ian z N FJ In t l V alue Fun d A D iv id en d J36 . A m e r i c a n N e w P e r s p e c ti v e A D iv id en d J37 . A merican Fun d amen ta l In ves to rs A D iv id en d J38 . A m e r i c a n S h o r t T e r m B o n d A D iv id en d J39 . C o c a C o l a - C S A D iv id en d J40 . Blackro ck Lo w D ura t io n Bd . Fd . A D iv id en d K41 . Fide l i t y Advi s or New Ins igh t s Fd . A D iv id en d J42 . D u k e E n e r g y - C S A D iv id en d J43 . E x x o n M o b i l - C S A D iv id en d J44 . G e n e r a l E l e c t r i c - C S A D iv id en d J45 . H o m e D e p o t - C S A D iv id en d J46 . Ho useho ld In t l - CS A D iv id en d J47 . J o h n s o n & J o h n s o n - C S A D iv id en d J48 . J .P . M o r g a n C h a s e & C o . A D iv id en d J49 . M c D o n a l d s - C S A D iv id en d J

50 . Lo o mis Sayles S t ra teg ic In c . Fd . A D iv id en d J51 . M icros of t Corp . - CS A D iv id en d J

T r a n s a c t i o n s d u r i n g r e p o r t n g p e r i o d(1 ) (2) (3)

Va l u e ValUe Type (e.g. , D a t e ValueM e t h o d buy;se l l , m m / d d / y y Code 2C o d e 3 r e d e m p t i o n ) O - P )( Q - W )

T Bu y 06/ 03/ 10 J

T

T Bu y 06/ 03/ 10 JTTTT Bu y 10/25/10 J

TTTTTT

T

T

TT

( 4 ) ( 5 )Gain Identity of

Code 1 buyer/se l le rtransaction)

1 ln co ~e Ga in C0d e s :(Se e Co lumn s BI a n d D4 )

2 . Value Codes(Se e Co lumn s CI a n d D3)

3.Value Meth od Codes(Se e Co lumn C2)

F =$50,001 - $100 ,000 G =$100,001 - $1,000,000J =$15,000 or less K =$15,001 - $50,000N =$250,001 - $500,000 O =$500,001 - $1,000~000P3 =$25,000,001 - $50,000,000Q = A p p r a i sa l R =Cos t ( R eal Es t a t e Only )U =Book Value V =Oth er

C =$2 ,501 - $5 ,000 D =$5,001 - $15,000H I =$ i~ 00 0, 00 1 - $ 5, 00 0, 00 0 H 2 =M o re th an $ 5, 00 0, 00 0L =$50;001 - $ 100,000 M =$100,001 - $250,000P 1 =$1,000,001 - $5i000,000 P2 =$5,000,001 - $25,000,000P4 =More than $50,000,000S =As s es s ment T = Ca sh Ma rke tW =Es t imated

E =$15,00 t - $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 gBREEN, J . DANIEL

D a t e o f R e p o r t04/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during G ross va lue a t e n d Transactions during repo rtin g perio d( inc luding t rus t asse ts ) repo rtin g perio d of reporting period

( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" aider each asset A m o u n t Type (e.g. , Value Va l u e Type (e.g. , D a t e Value Gain Identity ofexempt f rom pr ior d isc losure Code 1 div. , rent, Code 2 M e f la o d buy, se l l , m m / d d / y y C o d e 2 C ode 1 buyer/se l le r(A-H) o r i n t . ) ( J - P ) Cod e 3 redem ption) ( J - P ) ( A - H) ( i f p r i v a t e

(Q-W) transaction)

52 . Fidelity Advisor M id-Cap Fd. A Dividend J T53 . Spectra En ergy Corp. CS A Dividend J T

54. W al-Mart Stores - CS A Dividend J T5 5 . P im co T ot a l Ret u rn Fd . A Dividend56 . Black roek Globa l Alloc. Fd. A Dividend J T57 . I R A - M E R R I L L L Y N C H58 . S a l l i e M a c B a n k - C D A I n t e r e s t J T59 . DN Southside Ba nk - CD A I n t e r e s t60. E K SP ORT STARS SPX A I n t e r e s t J T61. A ll ia n z NF J Int l Va lu e F d . A Dividend J T6 2. A m er ic a n Ne w P e rs p e ct iv e F d. A Dividend J T63 . American Fundam ental Investors A Dividend J T64. American Capital Income A Dividend65. Am eri ca n Sh or t Term Bond F d. A Dividend J T66. Blackrock Low Duration Bond Fd. A Dividend l T

67. Fidelity Advisor A Dividend J T68 . Eaton Vance Low Duration Fd. A Dividend

So ld 10/25/10 J A

R e d e e m e d 10/15/10

B u y 10/28/10

B uy 06/03/10

JJ

J

Bu y 06/03/10 JSo ld 06/ 03/ 10 J

A

A

S o l d 10/28/10 J A

L Incom e Gain C0deS} A =$1,000 o r less B = $1,001-$2,500(Se e Co lumn s BI a n d D4 ) F =$50,001 - $100,000 G =$100,001 - $1,000,000

2 . Value Codes J =$15,000 or less K =$15,001 - $50,000(Se e Co lun ms CI a n d D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003 . Value Meth od Codes Q = A p p r a i sa l R =Cos t ( R eal Es t a t e Only )(Se e Co lumn C2) U =Book Value V - O t h e r

C =$2,501 - $5,000 D =$5,001 - $15,000 E =$I 5,001 - $50,000H 1 = $ 1. 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 = M or e t it an $5 ,0 00 ~ 00 0L =$50,001 - $100,000 M =$100,001 - $250,000P 1 =$ 1,000,001 - $5,000,000 P2 =$5,000,001 - $25;000,000P4 =More than $50,000,000S -Asse s sme n t T = Ca sh Ma rke tW =Es t imated


8/13



Date of Report04/25/201 l

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; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A.D e s c r i p t i o n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s l

Place "(X)! after each assetexempt f rom pr ior d isc losure

B. C. D.Income during Gross value m end Transac t ions dur ing repor t ing per iod

repo rting period of reporting period( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 )

A m o u n t Type (e,g. , V a l ue Va l u e Type (e.g. , D a t e V a l u e ~ G a i n Identity ofC ode 1 div. , rent, Code 2 M ethod buy, se l l , m m / d d / y y C o d e 2 C o d e 1 buyer/se l le r(A-H) o r i n t . ) ( J - P ) Code 3 redemption) (J-P) (A-H) (if private

69 . Black rock Globa l Al loc . Fd . A D i v i d e n d K70 .71 . F r a n k l in I n c o m e F d . A D i v i d e n d72 . S a l li e M a e B a n k C D A Interest J73 . J o h n H a n c o c k B a l a n c e d A D i v i d e n d J74 . DN Souths ide Bank CD A Interest75 . A m . S h o r t T e r m B d . F d . A D i v i d e n d J76 . P r imco T ota l Re turn Fd. A D iv id en d77 . Black rock Low Dura t ion Bd. Fd . A D i v i d e n d J78 . Fide l i ty Advi s or N ew Ins igh t s Fd . A D i v i d e n d J79 . G o l d m a n S a c h s G r w t h F d . A D i v i d e n d J80 . E a t o n V a n c e L a r g e C a p V a l u e F d . A D i v i d e n d81 . Ha r t fo rd Ca p Appre c . Fd A D i v i d e n d82 . Loom is Say le s Globa l M kts Fd . A D i v i d e n d J83 . Loomis Say le s St rag . Inc . Fd . A D i v i d e n d K84 . Me rr i l l Lynch Mo ne y Ma rke t Fd . A Interest J85 . M err i l l Lynch Re t i rement Res e rves A Interest J

(Q-W)

T

TT

T

TT

T

T

T

T

Bu y 10/28/10 J

So ld 06/03/10 K A

Redeemed 06/03/10 J A

So ld 10/25/10 J A

Bu y 10/25/10

transaction)

So ld 10/28/10 J ASo ld 10/28/10 J ABuy 10/28 /10 J

1 . i nc ome Gain Codes : A =$1,000 or less B =$1;001 - $2,500 C =$2,501- $5~000 D =$5,001 - $I 5,000H 1 =$1,0001001 - $5,000,000See Columns BI and 134) F =$50,001 - $100,000 G =$100,00l - $1,0001000 H2 --M0re than $5,000,000

2 . Va lue Co d es J =$15,000 or less K =$15,001 - $50,000 L --$50,001 - $100;000 M =$100,001 - $250,000( See Columns C 1 and D3) N = $250,001 - $500,000 O =$500,001 - $1,000~ 000 PI =$1,000,001 , $5~000;000 P2 =$5,000,001 - $25,~,00,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003 . Value Meth od Codes Q = A p p r a i sa l R =Cos t ( R eal Es t a t e Only ) S =As s es s ment T = C a s h M a r k e t( S e e C o l u m n C 2 ) U =Book Value V =Oth er W =Es t imated

E =$15,001- $50,000


9/13


N a m e o f P e r so n R e p o r t i n gB R E E N , J . D A N I E L


V I I . I N V E S T M E N T S a n d TRU S TS - i n c o m e , v a t u e , transactions (lneludes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~-~ N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )Place "(X)" after each asset

exempt f rom pr ior d isc losure

Income dur ingr e p o r t i n g p e r i o d

( 1 ) (2 ~Amount T y p e ( e . g .,Code I d i v . , r e n t ,( A - H ) o r i n t . )

(1) (2) (1 ) (2) (3) (4) (5 )Va lue V alue Type (e.g ., Date Va l u e Gai~ Identlty of

Code 2 M ethod buy, se l l , m m /d d /yy , C o d e 2 Code t . " buyer /se l l e r(J-P) C o d e 3 redempt ion) ( J - P ) (A-H) (if pri~ate

(Q-W) transaction)

86 . P r o c t e r & G a m b l e C S A D iv id en d J87 . W a d d e l l & R e e d A d v i s o r s S m a l l C a p A D iv id en d J88 . W a d d e l l & R e e d A c c u m l a t iv e A D iv id en d J89 .90 .91 .92 .93 .94 .95 .96 .97 .98 .

W a d d e l l & R e e d C o r e I n v e s tm e n t A D iv id en d JW a d d e l l & R e e d A d v i s o rs C a s h M a n a g m e n t A D iv id en d JB a n C o r p S o u t h C D A Interes t JI vy V I P A s s e t S t r a t egy A D i v i d e n d K

I v y V I P B a l a n c e d F d . A D i v i d e n d J

I vy Ene r gy F d . A D i v i d e n d J

I v y G l o ba l N a t l Re s . F d . A D i v i d e n d K

I vy I n t l G r w t h F d . A D i v i d e n d J

I v y S c i N C T e c h F d . A D i v i d e n d J

T So ld 01/20/10 J A(par t )T So ld 01/20/ t0 J A(par t )T So ld 01/20/10 J A( p a r t )T S o ld 01 /20 /10 J A( p a r t )T S o ld 01 /20 /10 J A( p a n )T So ld 01 /20 /10 J A(part)

99 . T R U S T # 1 ( l i n e s 1 0 1 - 1 2 8 ) ( x )

1 0 0 . - M L Ba n k D e p o s i t P ro g ra m A In teres t

1 0 1 . - C D G E C a p i t a l F in a n c i a l A In teres t1 0 2 . - R B C A R N S P X A D i v i d e n d

T

R e d e e m e d 06/25/10 J ASo ld 07/27/10 K B

I. I nc ome Gain Codes :(Se e Co lumn s BI a n d D4 )

2.Value Codes(Se e Co lumn s CI a n d D3)


A = $ 0 0 0 0 i ie ~ B = $ 1 0 0 1 - $ 2 5 0 0F =$50 ,001 - $100 ,000 G =$100,001 - $1,000,000J =$15,000 or less K = $15,001 - $ 5 0 , 0 0 0

N = $250,001 $500,000 O= $500,00I - $1,000,000P3 =$25,000,001 - $50,000,000Q = A p p r a i s al R = C o s t ( R e a l E s t at e O n l y )U = B o o k V a l ue V = O t he r

c =$2 ,501 - $5 ; 000 0 =$5 ,00 t - $15 ,000 z =s t 5 ,001 - $50 ,000H 1 = $ 1 , 0 0 0 ,0 0 i ~ $ 5 ; 0 0 0 ,0 0 0 : H 2 = M ~ r e t h a h $ 5 0 0 0 0 0 0L =$50,001 - $100,000 M --$100i00l ~ $250i000P1 = $ 1 ,0 " 0 0 ,0 0 1 ~ $ 5 ,0 0 0 1 0 0 0 P 2 = s s i 0 0 0 ~ 0 0 i - $ 2 5 ~ 0 0 0 , 0 0 0P4 =More than $50,000,000S =As s es s mc nt T = C a s h M a r k e tW =Es t imated


10/13

FINANCIAL DISCLOSURE REPORTPage 10 o f 13

N a m e o f P e r s o n R e p o r t i n gB R E E N , J . D A N I E L


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 , value, 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.)

D e s c r i p t i o n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )Place "(X)" after each asset

exempt from prior disclosure

Income dur ing G r o s s v a l u e a t e n dr e p o r t i n g p er i o d o f r e p o r t i n g p er i o d

(l) (2) (1) (2) (i) (2) (3)A m o u n t T y p e ( e . g ., Value V alue T y p e ( e . g : , Date: ValueC o d e 1 d i v . , r e n t , C o d e 2 M e th od , ,. : b uy , se ll ~ .. : . .. .: m m id d /~ : C o de 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 r ~ d ~ m p t i 0 n ) ( J - P )(Q-W)

1 0 3 . M U T U A L F U N D S104. - Blackro ck Cap &In c . S t ra t A1 0 5 . C o lu m b i a A c o m F d . A1 0 6 . - E a t o n V a n c e L a r g e C a p A1 0 7 . - F i r s t E a g l e G l o b a l F d . A1 0 8 . - H a r tf o r d M i d C a p F C C L C A109. - Ivy As s e t S t ra t egy A110. - J anus For ty Fd A1 1 1 . J o h n H a n c o c k S t r a t e g ic l u c r e . A1 1 2 . - L o o m i s S a y l e s S t r a t e g i c A113. - Lord Abbe t t Na t iona l T / F B1 1 4 . - N u v e e n H i g h Y i e l d M u n i B d . F d . B1 1 5 . - N u v e e n T r d w i n d s V a l u e F d . AI 1 6 . O p p e n h e i m e r D e v e l o p i n g M k t s . F d . A117 . P imco Globa l M ul t i As s e t Fd . A118. - Prin c ip a l Hig h Y ie ld A1 1 9 . T e m p l e t o n G l o b a l B o n d F d . A

Transac t ions dat ing repor t ing per iod(4 ) (5 )

Gain Identity ofC ode 1 buyei-/seller(A-H) (if private

transaction)

D i v i d e n d So ld 07/ 27 / 10 J AD i v i d e n d J T Bu y 07 / 27 / 10 JD i v i d e n d K TD i v i d e n d K TD i v i d e n d So ld 07/ 27 / 10 J AD i v i d e n d K T So ld 07/ 27 / 10 K A( p a r t )D i v i d e n d K TD i v i d e n d K T Bu y 07/ 27 / 10 KD i v i d e n d So ld 07/ 27 / 10 K AD i v i d e n d K T So ld 07/ 27 / 10 K A(par t)D i v i d e n d K T So ld 07/27/10 J A(par t)D i v i d e n d J T So ld 07/27/10 J A( p a r t )D i v i d e n d J T Bu y 07/ 27 / 10 J

D i v i d e n d J T Bu y 07/ 27 / 10 JD iv id e n d S o ld 0 7/2 7/1 0 J AD i v i d e n d K T Bu y 07/ 27 / 10 K

1 . Inc ome G ain Codes : A =$1 ;000 or less( See Col t t r r ms BI and I M) F =$50,001 - $100,000

2. V alue Co d es J =$15,000 or less( See Columns C I and D3) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003 . Value Meth od Codes Q = A p p r a i sa l( S e e C o l u m n C 2 ) U =Book Value

B =$1,00t - $2~500 C =$2;501 -$5,000 D = $5,001 -$!5,000= $ 1 o o , 0 o l ~ ~ 1 1 o 0 o , o o o H I = $ 1 , 0 0 0 ~ 0 0 i ~ ~ ; 0 o o ;o o o H 2 - - r ~ 0 ~ e o a a n S S , 0 0 0 , 0 o 0

K =$15,001 - $50~000 L =$50,001- $1001000 M =$100;001 - $250~000=$500,001 - $1,000,000 PI =$1~000,001 - $5i000,000 =$51000;00i-$25,000,000

P,1 =More ihan $50;000;000=Cos t ( R eal Es t a t e Only ) S = A s~e~sm en i T = C a s h M a r k e t=Other W =Es t imated

E =$15,001 - $50,000


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D a t e o f R e p o r t04/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of ~ling instructions.)D NONE(No rep ortable income, assets, or transactions.)

A, B .... : C. DDescription of Assets ...... : I n c o m e d u r i n g Gross va lue a t end Transac t ions d ur ing repor t ing per iod

( inc lud ing t rust a sse ts) r e p o r t i n g p e r i o d " of reporting period(I) (2) (1) (2) (1) (2) (3) (4)

Place "(X)" after each asset ~ m o u n t T y p e ( e . g . , Value V a l u e T y p e ( e . g .~ Date . . . . . V a l u e G a i nexempt f rom pr ior d isc losure Code l div., rent, Code 2 M e t h o d buy , s e l l , mm/dd/~ Code 2

( A - H ) or int.) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J~P )( Q - W )

(5 )Identity of

Code 1 buyer/se l le r(A-H) (if private

transaction)

120. - B a c A R n R o g r e r A D iv id e n d R e d e e m e d 09/07/10121 . Eksp o r t A RN G o ld Sp o t A D iv id en d J T Bu y 07/29/101 2 2 . S E K A R N R I C I G L E R A D iv id en d J T Bu y 08/27/10

JJ

J

A

1. Inco m e Gain Codes: A =$1,000 0 t iess B ~$1100i 2 $2,500 C =$2,501 - $5 ,000 D =$5 ,001 - $15,000(Se e Co lumn s B I a n d D4 ) F =$50,00J 2 ~ : ~ ~ 1 6 0 1 0 0 i 2 $ i i 0 0 0 i 0 0 0 H i = $ ii 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 a M 0r e t ha n $ 5, 00 0, 00 02 . Value Codes J = $15,000 o r le ss K =$15 ,001 - $50 ,000 L =$50~001 ~ $100,000 M =$100,001 - $250,000(Se e Co lumn s C I a n d D3) N =$250 ,001 - $500,000 O =$500,001 - $1,000,000 P I =$1;000;001 - $5;000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $501000,000 P4 =More than $50,0001000Q =Appr a i s a l R = Co s t (Re a l Es ta te On ly) S =As s es s mentU =Book Value V - - 01h er W =Es t imated


T = Ca sh Ma rke t

E =$15,001 - $50,000


12/13


N a m e o f P e r so n R e p o r t in gBREEN, J. DANIEL

Date of Repor t04/25/2011

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)


13/13


N a m e o f P e r so n R e p o r t i n gB R E E N , J . D A N I E L

Date o f Report04/25/201 !

IX. C ERTIFICATION.I 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 c l u 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 r e n , i f a n y ) isa 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 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 yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r th e r c e r t i fy 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 i o n s .

Signature: S/J. D A N I E L B R E E N

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 L Y A N D W I L F U L L Y F A L S I F IE 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 ILA 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 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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Daniel J Breen Financial Disclosure Report for 2010

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