AO I0 Rev. 1/2011 FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010 Report Re quired b)’ the Ethics in Government Act ofl978 (5 U.S.C. app..~.~ 101-111) I. Person R eporting (last nam e, first, middle initial) WERLEIN, JR., EWING 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) DISTRICT JUDGE - SENIOR STATUS 7. Cham bers or Office Address 515 RUSK AVENUE, ROOM 11521 HOUSTON, TX 77002-2605 2. Court or Organization USDC/SO. DIST. TEXAS 3. Date of Report 07/25/2011 5a . Report Type (check appropriate type) ] Nomination, Date [] Initial [] Annual [] Final 5 b . [ ] Am ended Report 8. On the b asis of the inform ation contained in this Rep ort and any modifications pertaining thereto, it is, in my opinion, in com pliance with applicable laws and regulations. Reviewin g Of ficer Date 6. Reporting Period I/1/2010 to 12/31/2010 IMPOR TANT NO TES: The instructions accompanying this form must be followetL Complete all parts, checking the NONE box for ea ch part where you have no reportable information. Sign on last page. I . PO SITION S. m ,porang indivldual onty; see pp. 9-13 of fillng instructions.) D (No reportable positions.) ONE POSITION 1. Director & Chairperson 2. Director 3. As Chairperson of TMH Board, director ex officio w/vote of following: 4. As Chairman of TMH Board, director ex officio w/o vote of following: 5. Executor 6. Trustee NAME OF ORGANIZATION/ENTITY The Methodist Hospital, Houston, Texas TMH Medical Office Bldgs Condominium Assoc. Medvest Ho ldings, Inc.; Methodist Health Centers; Methodist International; (cont’d in Note (1) in Part VIII) Diagnostic Center Hospital Corp. of Texas; Medvest Inc. (cont’d in Note (2) in Part VIII) Estate No. 1 Trust No. 2 I I. A G RE E M E N T S. me~,ora, g individual only; see p p . 14-16 of filing instructions. } [~] NONE (No reportable agreements.) DATE PARTIES AND TERMS Werlein, JR., Ewin_q
Transcript
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
in Government Act ofl978(5 U.S .C. app. .~.~ 101-111)
I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r st , m i d d l e i n i t i a l)
WERLE IN, JR., EWING
4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or part- t ime)
DIST R ICT JUDGE - SENIOR ST AT US
7 . C h a m b e r s o r O f f i c e A d d r e s s
515 R USK AVENUE, R OOM 11521HOUSTON, TX 77002-2605
2. Court or Organization
USDC/SO. DIST. TEXAS
3. Date of R e p o r t
07/25/2011
5a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e type)
] N o m i n a t i o n , D a t e
[] Initial [] Annual [] Final
5 b . [ ] A m e n d e d R e p o r t
8. O n t h e b a s i s o f t h e in f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , i n c o m p l i a n c e
w i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .
R e v i e w i n g O f f i c e r D a t e
6 . R e p o r t i n g P e r i o d
I/1/2010
to
12/31/2010
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 NONE box for ea ch part where you h ave no re portable informat ion. S ign on last page.
I . P O S I T I O N S . m , p o r a n g i n d i v l d u a l o n t y ; s e e p p . 9 - 1 3 of fillng instructions.)
D (No reportable positions.)ONE
POSITION
1. Direc to r & Cha i rpe rs on
2. Direc to r
3. A s C h a i r p e r s o n o f T M H B o a r d , d i r e c t o r e x o f f i c i o w / v o t e o f f o l l o w i n g :
4. As C h a i r m an o f TM H B oa r d , d i r e c t o r e x o f f i c io w /o vo t e o f f o l l ow ing :
5. E xecu t o r
6. Trustee
NAME OF ORGANIZATION/ENTITY
The Method i s t Hosp i t a l , Hous ton , Texas
T M H M e d i c a l O f fi c e B l d g s C o n d o m i n i u m A s s o c .
Medves t Ho ld ings , Inc . ; Me thod i s t Hea l th Cen te r s ; Me thod i s t In t e rna t iona l ;
( con t ’ d in Note (1 ) in Pa r t VIII)
Diagnos t i c Cen te r Hosp i t a l Corp . o f Texas ; Medve s t Inc . (con t ’ d in Note (2 ) in
Part VIII)
Esta te No. 1
Trust No. 2
I I . A G R E E M E N T S . m e ~ , o r a , g i n d iv i du a l only; see p p . 1 4 - 1 6 of filing i n s t r u c t i o n s . }
[~] NONE (No reportable agreements.)
D A T E PARTIES AND TERMS
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
V I I . INVESTMENTS and TRUSTS - i .... e , va lue , transac t ions ( Inc ludes those o f spouse and dependen t ch ildren¢ seepp . 34-60 o f f i llng ins truc t ions . )
[ ~ ] NONE income, assets , or transact ions . )N o reportable
D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g
(in c lu d in g tru s t a s s e ts ) r e p o r t in g p e rio d
, (t) (2)
Place "(X)" after each asset i A m o u n t T y p ~ ( e . g . ,
e x e m p t f r o m p r i o r d i s c l o s u r e ~ C ode I d iv. , ren t ,¯ (A - I t ) or in t . )
1. Italliburton com. A Dividend
2. H a l l ib u rt on c om . A Dividend
3. BP PLC, ADR A Dividend
4. E xxon M ob i l c om . D Dividend
5. Anadarko Petroleum Corp. com. A Dividend
6. WaI-Mart Stores com. A Dividend
7. Exxon-Mobil com. B Dividend
8. Johnson & J o hn so n , com. D Dividend
9. C o n o c o Phillips, com. C Dividend
10 . Texas C ap i t a l B ank s h a r e s , c om . None
l 1. HCP Inc. , com. f/k/a HealthCare P r o p . A Dividend
12 . CNL Lif es ty le Props Inc. units A Dividend
13 . Hines REIT, units A Dividend
1 4 . AT&T, com. C Dividend
15 . Bri s to l -Mye rs Squ ibb, com . A Dividend
16 . Berkshire Hathaway CL B com. (Ika Brlngtr A Dividend
North Santa Fe)
17. Cisco Systems, com. None
Gr os s v a l u e a t e nd
o f r e p o r t i n g p e r i o d
(i) (2)
V a l u e V a l u e
C o d e 2 M e t h od
( J -P ) C o d e 3
(Q.~F)
L T
~ T
K T
N T
K T
J T
L T
M T
L T
M T
J T
K V
K V
K T
J T
K T
J T
Tr a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
(I) (2) (3) (4) (5 )
T y p e (e.g., Date V a l u e Gain I d e n t i t y o f
buy, s e l l , m m ! d d / y y C o d e 2 C o d e I buye r / s e l l e r
r e d e m p t i o n ) ( J -P ) ( A - H) ( i f p r i v a t e
t r a n s a c t i o n )
See note (3 ) in Pa r tVIII
See note (3 ) in Pa r tVIII
I . In come Ga i n Codes : A $1.000 or less B =$1,001 - $2,500 C = $2.501 - $5,000 D -$5.0OI - $15,000
(Sc c Columns B I a nd D4 ) F -$50.001 - $ I 0O.000 G =$100,001 - $1.000.000 I I I =$ 1.000,001 - $5,000.000 112 =More than $5.000,000
2. Va lu e Co d es J =$15.000 o r k’s s K -$15.001 - $50.000 L =$50.001 - $100.000 M =$10~.001 - $250.000
(See Co lumns CI and D3 ) N =$250.0~1 - $500,000 O - $ _ ’ 3 0 0 . 0 0 1 - $ 1 , 0 0 0 . 0 0 0 p I - $ 1. 00 0. 0~ I - $5 .0 00 .0 00 P 2 $ 5. 00 0.0 01 * $ 25 ,0 00 .0 ~)
P3 =$25.000.001 - $50.000,000 P4 =Mo re tha n $50.090,000
3. V a l ue Me t hod Code s Q Appr a i s a l R ~os t (Rea l Es t a t e Only ) S :Asscssnlent T =Cash Marke t
(See Coh.nn C2 ) U B o o k V a l u e V =Olhc r W =Est imated
E :$15,001- $50,000
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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 o , v a t u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instruction~.)
[] (No reportable asse ts , orONE incom e, tra nsa ctions .)
A. B. C.
D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g Gr o s s v a l u e a t e nd
(in c lu d in g tru s t a s s e ts ) r e p o r t in g p e rio d o f r e p o r t i n g p e r i o d
(i) (2) (~) (2)
Place "(X)" after each asset I A m o u n t Type (e.g., V a l u e V a l u e
e x e m p t f r o m p r i o r d i s c l o s u r e [ Code I d iv ., r e n t , C o d e 2 M e t h od
(A -H ) or in t . ) ( J -P ) C o d e 3
~( Q - W )
1 8 . C om ca s t C o r p . C l a ss A A Dividend J T
19 . Dean Fo~ds Co., com. None J T
20. Go o d y e a r , c o m . No n e J T
21 . Hew lett Packard, com. A Div idend J T
22 . IntelCorp.,com. B Dividend K T
23. IBM , com . A Dividend L T
24. JP Morgan Chase, com. A Dividend K T
25 . LSI Corp., com. None J T
26. P ep s i co , l n c . ,c o m . A Dividend K T
27 . Ta r ge t C o r p . ,c om . A Dividend K T
28 . T re e ho u s e F o o d s , c o m . None J T
29 . Zimmer H o l d i n g s , l n c . ,c o m . None J T
3 0. MUTUAL FUNDS:
3 1. Fidelity MM Fund A Dividend J T
3 2. Fide l i ty Low Price Stock C Dividend O T
33. Fide l i ty C o n t r a f u n d B Dividend N T
3 4 . Fide l i ty Mid-Cap Stock B Dividend N T
Tr a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
(I) (2) (3) {4) (5 )
T y p e ( e . g . , D a t e Value Gain I d e n t i t y o f
buy , s e ll, m m /dd /yy Code 2 Co de I buye r/se lle r
r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e
t r a n s a c t i o n )
I . In come Ga i n Codcs : A =$1.000 or l ess B -$1,001 - $2,500 C = $2.501 - $5,0~0 D =$5,001 - $15,000
(See Co lumns BI and D4) F =$50,001 - $10~,000 G =$100.091 - $1.000.000 i l l =$1.0~.0~1 - $5.0~.000 112 =More than $5.000,000
2. Value Codes J =$15.0~0 or less K $15.0OI - $50.0~1 L =$50.0~1 - ,$10~,0~ M =$109.001 - $250.000
(See Co lumns CI and D3 ) N =$250 ,0 01 - $500 .0 00 O = ’$50’9 .001 - $1,0~0,000 PI =$1.000.001 - $5.000.000 P2 =$5.0~.001 - $25,000.000
P3 = $25,0~0,001 - $50.0~0.0~0 P4 =M ore than $50.0~0.0~0
3. Value Method Codes Q =Appra i sa l R =Cost ~Rcal Esta te Only) S =Asscssmc’nt T ~a.s h Marke t
IScc Co lumn C2) U =Book V a l ue V =Other W -Es t ima l ed
E =$1 5 , 001 - $ 50 ,0 0 0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S - i ,, co , ,, ,. v a l ,, o , t ransaaions~tndudes thoseofspou~ean, tdepenaentch i laren:seepp. 3 4 - 60 o f f ! l in g i n s t ru c t i on s . )
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 o m e d u r i n g
( i n c l ud i ng t r u s t a s s e t s ) r e po r t i n g p e r i o d
(i) (2)
Place "(X)" after each asset I A m o u n t Type (e.g.,
e x e m p t f r o m p r i o r d i s c l o s u r e ’ C o d e I d iv. , ren t ,(A - I t ) o r i n t . )
G r o s s v a l u e a t e nd
o f r e p o r t i n g p e r i o d
O) (2)
V a l u e V a l u e
C o d e 2 M e t h od
( J -P ) C o d e 3
(1)
T y p e ( e . g . ,
buy, sell ,
r e d e m p t i o n )
Tr a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
( 2 ) ( 3 ) ( 4 ) (5)
D a t e Value Gain I d e n t i ~ y o f
m m / d d / y ’ y Code 2 Code I buyer/seller
( J - P ) (A-H) ( i f p r i v a t e
t r a n s a c t i o n )
35 . American Century Inter Term Tax-Free A I n t e r e s t K
Bond
36. L oo m is Sa y le s Bond Fu nd Re ta il B Dividend K
T
T
37 . Thomburg Internat’l Value A Dividend K
38. O a k m a r k F u n d A Dividend K
39 . C l ip p e r F u n d A Dividend K
T
T
T
Bu y 01/06/10
(add’ l )
Bu y 01/04/10
(add’ l )
J
J
40 . F M I L a r g e C a p F u n d A D i v i d e n d K T
41 . Harbor lnternat’l Fund Investor Class None S o l d 06/28/10 K
42 . Harbo r C ap i t a lApp r e c i a t i on F u n d None K
43 . O a k m a r k G l o b a l S e l e c t F u n d C l a s s 1 A Div id e n d K
44 . P i m c o H i g h Y i e l d Fu n d C l a s s D A D i v i d e n d J
T
T
T
Bu y 01/04/10
( add’ l )
Bu y 01/04/10
(add’ l )
J
J
45 . Touchstone Sands Capital Select None K
46 . Vanguard Prime MM Fund A Dividend M
T
T
Bu y 01/06/10 J( add’ l )
47 . JP Morgan High Yield Bond Fu nd B Dividend K T
4 8. P im c o E m er gi ng L oc a l Bo nd F u nd B Dividend K T
49 . Pimco Unconstrained Bond Fund Class D A Dividend K T
50. SSG A E m e r g i ng M a r k e t s F und
51.
N o n e Bu y 01/04/10 J
(add’l)
S o l d 06/28/10 K
I . In come Ga i n Codes : A =$1.000 or l ess B =$1,001 - $2.500 C =$2,501 - $5,000
(See Co lumns B I and D4) F =$50.001 - $1 00,009 G =$100.00 1 - $ 1.000.000 I I 1 =$ 1.000,091 - $5.0~).000
2. Value Codes J $15.0~O or less K =$15.001 - $50.00~ L =$50.001 - $1 00.0~
1S~¢ Col umns C l a nd D3) N $250.0OI - $500.000 O =$500.001 - $1.0~.000 PI =$1.0~L001 - $5.000.000
P3 =$25.000.001 - $50.000.0~ P4 =More than $50.009.000
3. V a l ue Me t hod Code s Q =Appra i sa l R ~S’ost |Real Esta te Only) S =Asse s smen t
(S~e Column C2) U = B ~ k V a l u e V =Olher W =Es t i ma t e d
=$5.001 - $15,000
12 =More than $5.000.000
M =$100.001 - $250.000
P 2 = $ 5 . 0 0 0 . 0 0 1 - $25.000.00~
=Ca sh Ma rkc !
E $15.001 - $50.000
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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 , o , ~ a l o , ~ ~tnctudes those o[spouse a n d dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)
D (No reportable assets, orONE income, transactions.)
D e s c r i p t io n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d
( i n c l u d i n g t r u s t a s s e t s )
P l a c e " ( X ) " a f t e r e ac h a s s e t
exemp t f rom p r io r d i s c lo su re
I n c o m e d u r in g G r o s s v a l u e a t e n d
r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d
(t ) ( 2 ) (i) (2)
A m o u n t T y p e ( e . g ., Value Value
C o d e 1 d i v . , r e n t , C o d e 2 M e th o d
( A - H ) o r i n t . ) ( J - P ) C o d e 3
( Q - W )
(1)
T y p e ( e . g . ,
buy, sell,
r e d e m p t i o n )
(2) (3) (4) (5 )
D a t e Value Gain I d e n t i t y o f
m m/ddh/y Code 2 Code I buyer/seller
( J - P ) (A-H) ( i f p r i v a t e
t r a n s a c t i o n )
52. Pr ime Fund-Cap i t a l Res e rve s MM A Dividend Clo se d 07/01/10 J
53. Nuveen Mun . Mkt . Oppor . Fund A Dividend J T
54 . Inves tco Spec ia l Va lue CI A A Div i d e nd K T Bu y 06/28/10 K
55. B a n k D e p o s i t S w e e p P r o g r a m A In te rest J T Bu y 01/27/10 J
56. BONDS an d U.S. TREASURY NOTES:
57. Frisco, TX AMBAC bonds A Interes t R ed ee m ed 01/25/10 K
58. Hal i fax Hosp . Med. Ct r . F la . A In te rest R ed ee m ed 04 /01/10 J
59 . Lower Colo . Riv . Auth . Tex. A In te rest J T
60 . Montgo me ry Co. Pa . Hgh r . Ed . A In te rest J T
61. Texas S t . Dep t . HSG & CM TY Affa i r s A In te rest Re de em ed 06/01/10 J
62. M er i d e n C onn . G I 0 B ond s A In te rest K T
63 . Mission TX Co ns. Indpt. Sch. Dis t . A In te rest J T
64 . Austin ISD Tex. U/T Ref. Ser . A A In te rest K T
65. New Jerse y St. Transn. TR FD Auth. Sys. A In te rest R e d e e m e d 11/23/10 JSer A
66 . Univ Tex Perm Univ FD RFDG Ser . B B In te rest K T
67 . Pea r l and TX Ind p t Sch Dis t Se r A U/T B/ A In te rest K T
ED D
68. ACCOUNTS IN FINANCIAL INST:
I . In come Ga i n Codes : A = $ 1 , 0 00 or l e s s B =$1,001 - $2.500 C = $2,501 - $5.000 D =$5.001 - $15.000
(Se e Columns B I a nd D4 ) F =$50.001 - $ 100.000 G = $100.001 - $ 1.000.000 I I I = $ 1 .0 00 .0 01 - $ 5. 0 0 0 .0 00 1 1 2 = M o re th an $ 5. 0 00 .0 00
2. Value Codes J =$ 1 5 . 0 0 0 o t l e s s K =$15.001 - $50.00~ L =$ 50.001 - $ 100.0~) M - $ 100.001 - $250.000
(See Co lumns CI and D3 ) N =$250.001 - $500,000 O =$500.001 - $1.000,000 P l = $1 .0 00 .0 01 - $ 5.0 00 .0 00 P 2 =$ 5,0 00 .0 01 - $2 5. 00 0.0 00
P3 =I25.009.001 - $50.000.0~0 P4 =Mo re than $50.0~0.000
3 . Va l u e Me thod Cod~ Q =Appra i sa l R =Cost (Real Esla te Only) S =Asscssm~n! T =Cash Marke t
{See Co lumn C2) LI =Book Value V =Olhe r W = Estim ate d
E -$15.091 - $50.0~)
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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 , , ’a l u e , t r a n s ~ c , io n s a n c l u d e s t h o s e o / sp o u s e ~ n 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 filing i n s t r u c t i o n ~ )
---] NONE income, assets , or transact ions . )N o reportable
A. B. C. D.
D e s c r i p t i o n o f A s s e t s In c o m e d u r in g G r o s s v a lu e a t e n d T r a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
( i n c l ud i ng t r u s t a s s e t s ) r e p or t in g p erio d o f r e po rt in g p er io d
(I) (2) (I) (2) (I) (2) (3) (4) (5 )
Place "(X)" after each asset i A m o u n t T y p e ( e . g . , V a l u e V a l u e T y p e ( e . g . , Date V a l u e Gain I d e n t i t y o f
e x e m p t f r o m prior d isc losure i Code 1 div., r e n t , Co d e 2 M e t h od b u y , s e l l , m m / d d ! y y C o d e 2 C o d e I b u y e r / s e l l e r
I(A -H ) int .) ( J -P ) C o d e 3 r e d e m p t i o n ) (J -P ) ( A - H) ( i f p r i v a t eo r
](Q.~,~ t r a n s a c t i o n )
69 . Merrill Lynch Cash]Money Accts A In te rest Clo se d 08/10/10 L
70. Norlhem Trust Bank, Houston, check, acct. A Interest K T
7 1 . B ank o f Am e r i c a , H ous t on , " lX (Accounts) B Interest O T
72 . K e y B a n k USA CD B Interest Redeemed 04/20/10 L
73. Comerica Bank, Hous ton (accts) A Interest L T
74. Texas Capital Bank, Houston (acct) A Interest Closed 06/14/10 J
75 . REAL ESTATE:
76 .Condo-Larimer Co., CO
77 . Working In te re s t -Cabo t U. , Andrews Co.,T X
78. Royal t y In t er es t , Ecto r C o . , T X
79 . Royalty Interest, Wh eeler Co.,TX
80. Royalty Interest, M artin Co.,TX
81. Royalty Interest, Glasscock C ounty, TX
82. Fractional int. in rea l property , Kerr County,T X
83. RETIREMENT& IRA ACCOUNTS:
84. IRA Acct: John Hanco ck Ind . Re t .Annu i ty
85. IRA Acct: CGM Focus Fund
E
D
A
A
A
R e n t N W
Roya l t y K W
Roya l t y J W
Roya l t y J W
Roya l t y J W
N o n e J W
R e n t L W
N one K V
No n e L T
See Note-Part VIII
I . l n c o m e G a i n C o d c s : A $ l .009 o r l e s s B=$1,091-$2,500 C $2.501-$5.0~0 D=$5.001-$15.000
(See Co lumns B I and D4) F =$50.001 - $ 109 ,0~0 G =$10~.001 - $1.000.000 I I I =$1.000.001 - $5.000.000 112 =More Ihan $5.000.000
2. Value Cod~z J =$15.000 or l ess K = $ I 5 . 0 0 1 - $ 5 0 . 0 ~ 1 L =$ 50.0~ I - $ I 0~.0~ M = $ 1 0 0 . 0 0 1 - $ 2 5 0 . 0~ 3 0
(See Co lumns CI and D3 ) N =$250.001 - $500.0~0 O =$500.001 - $1.0~.000 P I = $ 1. 0( K I. 0~ I - $5 .0 ( ~. 09 0 P 2 = $ 5. 00 0 .0 0 1 - $2 5. 0~ 0. 00 0
P3 =$25,000.001 - $50.00~.0~ P4 =Mo re than $50,000.000
3. V a l ue Me t hod Code s Q =Appra i sa l R ~os t (Rea l Es l a l c Only ) S = A s s c s s m ~ .m t T G a s h M a r k e t
( se e Co lumn C2I U =l :k~k Value V =Othe r W =Est imated
E =$15,001 - $50.0~0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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. 214-60 of filing instructions.)
---] NONE income, assets , or transact ions . )N o reportable
A. B. D.
D e s c r ip t io n o f A s se t s In c o m e d u r in g T r a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
( i n c l ud i ng t r u s t a s s e t s ) r e po r t i n g p~ r i od
(1) (2)
Place "(X)" after each asset i A m o u n t T y p e ( e . g . ,
e x e m p t f r o m p r i o r d i s c l o s u r e ! Code I d i v . , r e n t ,
. ( A - H) o r i n t . )
86.
87. t h r o u g h 1 3 3 a r e unde r t h e d i s c r e t i on a r y
88. man ag emen t o f a r eg i s t e r ed i n v e s t men t
m a n a g e r .
89. - -P f i ze r Inc . , com .
90 . - - A lt r iaG r oup , c om .
91 . - -Schwab MM Funds
92 . - -Comcas t Corp . New CI. A
93 . - -Consol . Energy , com .
94 . - - Leu cad i aN a t l Co r p . ,co m .
95 . - - M e r c u r y G en l C o r p . ,c om .
96 . - -NVR Inc . , com .
97 . - - K ey E ne r gy Se r v . ,c om .
98 . - -RLI Corp. , com.
99 . - -Berk sh i r e Ha thawayCL B
1 0 0 . - -Cin ta s Corp . , com .
1 0 1 . - -Amer . Eagle Out f i t t e r s New, com.
Gr os s v a l u e a t e nd
o f r e p o r t i n g p e r i o d
O) (2)
V a l u e V a l u e
C o d e 2 M e t h od
( J -P ) C o d e 3
( Q - W )
(i)
Ty~ (e.g. ,
buy, sell ,
r e d e m p t i o n )
(2) (3) (4) (5 )
D a t e Value Gain I d e n t i t y o f
m m / d d ~ y Code 2 Co de I buye r/se lle r
( J - P ) (A-H) ( i f p r i v a t e
t r a n s a c t i o n )
IRA ROLLOVER ACCOUNT: Al l en t r i e st h a t f o l low f r om L ine s 8 9
Int./Div. PI
So l d 08/26/10
So l d 08/26/10 K
1 0 2. - - H om e Depo t , c om .
1. In co m e Ga in Cod es: A =$1.000 o r Ics s B =$1,001 - $2.500 C = $2,501 - $5.000 D =$5,b01 - $15.000
(See Co lumns BI and D4) F = $50.001 - $100.000 G = $100.001 - $1.000.000 III = $1.000,001 - $5.000.000 112 =More than $5,000,000
2. Value COdes J =$15.000 or l ess K =$15.001 - $50.000 L =$50.001 - $100.000 M =$100.001 - $250.000
ISce Co lumns CI and D3 ) N =$250.001 - $500.000 O = $500.001 - $1.000.000 PI =$1.000,001 - $5.000.000 P2 =$5.000.001 - $25.000.000
P3 =$25,000.001 - $50,000,000 P4 =More than $50.009.000
3. V a l ue Me t hod Code s Q =Appra i sa l R =Cost (Rca l Es ta l e Only ) S =Asscssm~mt T -~ash Marke t
ISce Co lumn C2) U =Book V a l ue V =O~hcr W = Estim ate d
E =$15.001 - $50,000
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
Page 10 of 20 Ia m e o f P e r s o n R e p o r t i n g
W E R L E I N , J R . , E \V I N G
Date of R e p o r t
07/25/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m , , v a t u . , ~ a . ~ a . io . $ a . c lu d e s t h o s e . / se o ~ s e a n d d e e e n d e n t children; seepl~ 34-60 .filling instructions;)
N O N E (No reportable income, assets, or transactions.)
A. B. C. D.
D e s c r i p t i o n o f A s s e t s In c o m e d ur in g G ro s s v a lu e a t e n d T r a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
( inc luding t rus t a s s e ’~) re p or tin g p er io d o f r e po rtin g p er io d
[ (I)(2 ) (I) (2) (I) (2) (3) (4) (5 )
Place "(X)" after each asset ! A m o u n t T y p e ( e . g . , V a lu e V a lu e T y p e (e .g ., D a t e V a l u e G a i n I d e n t i t y o f
e x e m p t f r o m p r i o r d i s c lo s u r e I Code I d iv ., r e n t , C o d e 2 M e t h od bu y , s e ll , m rrd d d !y y C o d e 2 C o d e I buye r / s e l l e r
i (A-H) o r i n t . ) (J -P ) C o d e 3 r e d e m p t i o n ) (J -P ) ( A - H) ( i f p r i v a t e
] ( Q - W ) t r a n s a c t i o n )
103 . --Tyco ln t ’ l L td . , com .
104 . - -Tower Gro up Inc . , com
1 0 5 . - - C o l em an C ab l e I n c ., c om .
1 0 6. - -J oh n s on & Joh n s on , c om .
107 . - -Kra f t Foods Inc . , com .
1 0 8. - - Sh e rw in W i l l i am s C o . , c om .
109 . - -Anna ly Cap . Mgm t REIT
110. - -Repub l ic Srvcs , com.
I I 1. - -Bos ton P r iv . F in l Hldg , com .
1 1 2. - - H o r s eh e ad H ldg C o r p . , c om .
113. - - Il l i no i s Too l ~Vorks , com .
114. --Kohls Corp. , com .
I 15. - -Mic roso f t , com.
116. - -Myr Group , com .
117. - -Or ion Mar ine Grou p, com .
118. - -S t ryke r Corp . , com .
1 1 9 . -- Sy novu s F i n a nc i a l , c om .
Sold 11110/10 K D
So ld 03 /08/10 K C( p a a )
I. In com e Ga in Cod es : A = $I.000 o r le ss B -$1,001 - $2.500 C -$2.501 - $5,0~0 D =$5.001 - $15.000
(Se e Columns B I a nd D4 ) F =$50.001 - $ 100.000 G =$100.001 - $1,000.000 I 1 1 = $ 1 . 0 0 0 , 0 0 1 - $ 5 . 0 0 0 . 0 0 0 112 ~ More than $5.000.000
2. Value Codes J $15.000 or less K = $ 1 5 . 1 ~ ) 1 - $ 5 0 . 0 ~ 0 L =$50.001 - $100.0’00 M -$100.001 - $250.000
(See Co lumns CI and D3 ) N -$250.001 - $50(I.0’00 O =$500.001 - $1.000.0’00 PI =$1.000.001 - $5.0(10.000 P2 255.000.001 - $25.000.000
P3 $25.000.001 - $50.000.000 P4 =Mo re than $50.000.000
3 . V a l u e I ~ . | ¢ lh o ~ J C o d e s Q -Appraisal R ~os l (Rea l Es t a t e On ly ) S =Assc s smen l T -~?ash Markcl
(See Co lumn C2) U -Book Va l u e V = Olher W =Es tim a ted
E =$15.001 - $50.000
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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 . , ~ o t u e , , r a . so . i o ,~ a n ~ i u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 34-60 of filing instructions.)
[] NONE income, assets, or transactions.)N o reportable
A. B. C. D .D e s c r i p t io n o f A s s e t s I n c o m e d u r in g G r o s s value at end T r a n s a c t i o n s d u r i n g r e p o r l in g p e r i o d
( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d
(I ) ( 2 ) (I) (2) (I ) (2) (3) (4) (5 )
P l a c e " ( X ) " a f t e r e a c h a s s e t [ A m o u n t T y p e ( g . , Value V a l ue T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o f
e x e m p t f ro m p r i o r d i s c l o s u r e i Code I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d d / y y C o d e 2 C o d e 1 b u y e r / s e l l e r
[ (AdD o r i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ( J - P ) ( A -H ) ( i f p r i v a t e
! ( Q - W ) t r a n s a c t i o n )
120. - -Wel lpo in t , Inc . , com .
121 . - -Ph i l ip Mor r i s I n t l , com .
122 . - -Cab lev is ion Sys . , com .
123 . --Therm o F ish . Sc . , com .
1 2 4 . - - P r o c t e r & G am b le , c om .
1 2 5 . - - K r o g e r , c o m .
126. - -Nor the rn O&G, com .
127 . - -Ame r . River Banksh . , com .
128. - -L iber ty Med ia Corp. A, com .
129 . - -Direc t TV CI . A, com .
130. - -Fai r f ax Fin . H ldgs , com .
1 3 1 . - - M ad i s on Sq . G a r den , c om .
132 . - -Orch ids Pape r Prods . , com.
133 . --Uni tek Globa l Svcds , com .
1 3 4 . IRA ROLLOVER ACCT N O. 2. All entrie sIha t fo l low f r om l ines
1 3 5 . 139 th ru 216 a re unde r th e fu l l d i s c re t iona ry
m a n a g e m e n t o f
1 36 . a r eg i s t e r ed i n v e s tm en t ma n ag e r .
G Int./Div. P 1 T
Sold
(part )
03/26/10 K
Bu y 11/12/10 J( add’ l )
So ld 01/28/10 K
Bu y 01/25/10 K
Sp in o ff 02/09 /10 J( f r om l ine 122 )
Buy 10/28/10 K
Bu y 11/11/10 K
s p ino f f f romCablevis ion
I . In come Ga i n Codes : A =$1.000 o r les s B =$1.001 - $2.500 C = $2.501 - $5.000 D =$5.001 - $15,000
(See Co lumns BI and D4) F =$50.001 - $100.000 G =$100,001 - $1,000.000 III =$1.000.001 - $5,000.000 112 =More than $5.000.000
2. Va lu e Co d es J = $15.000 o r le s s K = $15.0OI - $50.000 L -$50.001 - $100.000 M =$100.001 - $250.0~0
ISec Co lumns CI and D3 ) N $250.001-$500.000 O-$500,001-$1.000.000 P 1 = $ 1. 00 0. 00 1 - $5 .0 00 .0 00 P 2 = $ 5. 00 0 ,0 0 1 - $2 5. 00 0 .0 0 0
P3 =$25.000.001 - $50.000.000 P4 =Mo re than $50.000.000
3. V a l ue l qc t hod Code s Q =Appra i sa l R = Co st tRe al Es la tc On ly } S = Ass es sm en t T =Cash Marke t
ISce Cohmm C2) U =Book Va lu e V =O~hcr W =Est imated
E = $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
V I I . 1 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 instructiong)
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 o m e d u r i n g
{ i n c l u d i n g t r u s t a s s e t s ) r e po r t i n g p e r i o d
(i) (2)
Place "(X)" after each asset i A m o u n t Type (e.g.,
e x e m p t f r o m p r i o r d i s c lo s u r eI Code I
d i v . , r e n t .
I ( A - H) or in t . )
G r o s s v a l u e a t e nd
o f r e p o r t i n g p e r i o d
(i) (2)V a lu e V a lu e
C o d e 2 M e t h od
( J -P ) C o d e 3
( Q - W )
(i )
T y p e ( e . g . ,
buy, sell ,
r e d e m p t i o n )
Tr a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
(2) (3) (4) (5 )
D a t e Value Gain I d e n t i t y o f
m m ! d d ~ y y Code 2 Code I bu ye r/s e lle r
( J - P ) (A-II) ( i f p r i v a t e
t r a n s a c t i o n )
1 3 7 . FEDERAL AGENCY BONDS, NOTES,
AND MORTGAGES in
138. IR A R OLLO VER ACCT NO . 2 :
1 3 9 . - -Fede ra l Na t l Mtg As soc Sub Note s due
02/11
1 4 0 . - -Fed . Na t ’ l Mtg As sn . Ca l l able Note s du e01/10
141 . - -U.S. Tr easury B i l l du e 12 /10
142 . - -U.S. Tr easury B i l l du e 12 /16 /10
1 4 3 .
144. - -U.S. Treasury Bill due 12/15/11
1 4 5 . CORPORATE BONDS/NOTES IN IRAROLLOVER ACCT #2:
146 . - -C i t ig r oup Inc . Senior Note s
147 . - -Targe t Corp . Notes
148 . - -Proc tor & Ga m ble Corp. Notes
149 . - -AT&T Notes
R ed ee m ed 01/19 /10 M
R e d e e m e d 12/16/10 M
Bu y 01/19/10’ M
R e d e e m e d 12/16/10 M
Bu y 12/28/10 L
Redeemed 06/28/10 M D
150. --Conoco Phillips Notes
151. --Am gen Inc. Notes
152. --H ewlett Packard Notes
153 . - -Medt r onic Inc . Notes
I. I nc ome G a i n Code s :
(See Co lumns BI and D4)
2. V a l ue Code s
(See Co lumns CI and D3 )
3.V a l ue Me t hod Code s
(See Co lumn C2)
=$1.000 or l ess
=$50.1)OI - $I00,000
= $ 1 5 . 0 ~ O o r I c ~ s
$250.001 - $500.000
P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $50,~00.000
Q =Appra i sa l
Book V a l ue
B =$1,001 - $2,500
K =$15,001 - $50.00~
O =$500.001 - $1.000,000
R =Cost tRcal Esta le Only)
V :Othe r
C =$2,501 - $5,000
L =$50,001 - $100.0~
PI =$1.000.001 - $5.000.000
P4 =Mo re than $50,00~,0~
W =Est imatcd
D =$5.001 - $15,000
1 1 2 = M o r e ~ h a n $ 5 . 0 0 0 .0 0 0
M :$100,001 - $250.000
P2 =$5.000.001 - $25,000,000
T =Ca sh Ma rke t
E =$15.001 - $ 5 0 . 0 0 0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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 l u e , ,~ a , ~ o , ~ i o ,~ a n e t u d e s ,h o s e o / s p o u s , a n d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )
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 o m e d u r i n g
(in c lu d in g tru s t a s s e t s ) r e p o r tin g p e r io d
[ (I) (2)
Place "(X)" after each asset ! A m o u n t T y p e ( e . g . ,
e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I div . , r e n t ,( A - H) or in t . )
1 5 4 . -- P r o c t e r & G am b l e N o t e s
155 . - -Wel l s Fargo M T Notes
156 . - -M o rg a n S t a n l e y No t e s
1 5 7. - - B ank o f Am e r i c a N o t e d ue 9 / I / 15
158. EQUITIES IN IRA ROLLOVER ACCT #2:
1 5 9 . - - Am e r i c a n E xp r e s s , c om .
160 . - -BP PLC, ADR
1 6 1 . - - C h ev ronTexa co , c om .
162 . - -KO, com .
163. - -Exxon Mobi l , com.
1 64 . - - G E, co m .
165 . - - INTC, com .
166 . - - J .P . Morgan Chase , com .
167 . - - JNJ, com .
1 68. - - LLY, co m .
169. - -Merck , com .
Gr os s v a l u e a t e nd
o f r e p o r t i n g p e r i o d
(I) (2)
V a lu e V a lu e
Co d e 2 M e th o d
(J -P ) C o d e 3
(Q-w)
(i)
T y p ~ ( e . ~ .,
buy, sell ,
r e d e m p t i o n )
Tr a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
(2) (3) (4)
D a t e Value Gain Iden tity o f
m m ! dd~y Code 2 Cod e I bu ye r/s e lle r
( J - P ) (A-H) ( i f p r i v a t e
t r a n s a c t i o n )
B u y 08/18/10 M
Sold 06/03/10 K
So ld 01/28/101 K(part )
Bu y 10/15/10 K
( add’ l )
Sold 01/28/10 K
170. - -PEP, com.
I. Income Gain Codes: A = $1,000 o r less B =$1,001 - $2,500 C =$2,501 - $5.000 D =$5,001 - $15.000
(See Co lumns BI and D4) F =$50.001 - $10~.000 G =$100.001 . $1,000.000 |11 =$1.0~1,001 . $5.0~0.000 112 =More than $5.000.000
2. Value Cod¢~ J =$15.000 o r le ss K =$15,001 - $50.000 L =$50.001 - $109.00~ M =$100,001 - $250.000
(See Co lumns CI and D3 ) N =$250.001 - $500.000 O = $50 0.0 01 - $1 .0 00 .0 00 P I = $1.0 00 .0 01 - $5 .0 00 .0 00 P2 =$5.000.001 - $25.000.000
P3 =$25.000.001 - $50.090,000 P4 =Mo re than $50.000.000
3. V a l ue Me t hod Code s Q =Appra i sa l R =(’ost (Real Esta te Only) S =Asscssn~’nt T ~azh Marke t
(See Co lumn C2) U B o o k V a l u e V =Olher W -Es t ima t ed
E =$ 15.0 0 1 - $ 50 .0 0 0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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, ~ a l, ,e , t r a n s a c t i o n s ( I nc l u d e s t h o s e o f s p o u s e and dependent children; s e e p p . 3 4 - 6 0 of filing i n s t r u c t i o n ~ )
D NONE income, assets , or transact ions . )N o reportable
D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
( i n c l ud i ng t r u s t a s s e t s )
P l a c e " ( X ) " a f t e r e a c h a s s e t
exemp t f rom p r io r d i s c lo su re
171 . - - WM T , c om .
172. --Walgreen, com .
173 . - -Mc Graw-Hi l l , Inc . , com.
174. --M icrosoft Corp., com .
175. --Altria Group, com .
176. --Bank of America, com.
177. --Autom atic Data Proc., com .
178. --HSBC Hld g PLC, com.
179 . --Occidental Pete Corp. Cal., com.
180. --Caterpillar, Inc., com .
181. --Halliburton Co., com .
182. --Hom e Depot, Inc., com .
183. --Praxair Inc., com.
184. --Proctor & Gamb le., com .
185. --Target Corp., com.
186. --Transocean, com .
I n c o m e d u r i n g Gr o s s v a l u e a t e nd
re p or t in g p erio d o f r e po rt in g p er io d
(1) (2) (I) (2)
A m o u n t T y p e (e.g., V a l u e V a l u e
C o d e I d iv .. r e n t , C o d e 2 M e t h od
(A -H ) o r i n t . ) ( J -P ) C o d e 3
(Q-w)
T y p e (e .g . ,
buy, sell ,
r e d e m p t i o n )
(2) (3) (4) (5 )
D a t e Value Gain I d e n t i t y o f
mm!dd/yy Code 2 Co de I buyer/seller
( J - P ) (A-H) ( i f p r i v a t e
t r a n s a c t i o n )
Sold 01/28/10 J
( p a n )
S o l d 01/28/10 J A
1 87 . - - Un it e d Te ch n o l og i e s C o r p . , c om .
I. I nc ome G a i n Code s :
(5¢ Col umns B1 a nd D4 )
2. V a l ue Code s
(See Co lumr~ CI and D3 )
3 . V a l ue Me t hod Code s
(See Co lumn C2)
A =$1,000o r l e s s
F :$50,001- $100,000
J :$15,0(~or le s s
N =$250,001- $50~.000
P 3 =$25.000.001- $50.00~.000
Q=Appra i sa l
U =Book Va lu e
B=$1,001 - $2.500
G =$100,001 - $1.000.000
K -$15.0OI - $50,000
O=$50~.001 - $1.000.000
R =Cost (Real Esta te Only)
V
C =52,501 - $5,000
I I I = $ 1 . 0 0 0 . 0 0 1 - $5,000.000
L -$50.0~1 - $100.000
PI =$1.000.001 - $5,000,000
P4=More than $50,000.000
W =Est imated
D =$ 5,001. $15.000
112 =Morcthan $5.0(~.000
M=$100.0~)I -$250.0~0
P2 =$5.000,001 - $25,000.00~
T = C a s h M a r k c t
E =$ 15.0 ~1 - $ 50 .0 0 0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S - i .com., , ’at.e , ~a.s=.io.s (Includes those of spouse and dependent children; see pp. 34-60 0f filing instruction~)
N O N E (No reportable income, assets, or transactions.)
A. B. C. D .Desc r ip t ion o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
(in c lu d in g tru s t a s s e ts ) r e p o r tin g p e r io d o f r e p o r t i n g p e r i o d
i (i) ( 2 ) O) (2) (I ) (2) (3) (4) ( 5 )
Place "(x)" af ter each asset I A m o u n t T y p e ( e . g ., Value V a l ue T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o f
e x e m p t f ro m p r i o r d i s c l o s u r e i Code I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d c l ~ y C o d e 2 C o d e I b u y e r / s e l l e r
i (A-H) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) (A-tl) ( i f p r i v a t e
I( Q - W ) t r a n s a c t i o n )
188. - -C isco Sys tem s Inc . , com.
189. - -Medt r o nic Inc . , com .
190 . - -Microch ip Tech . , Inc . , com .
191 . - -Pa t r io t Coa l Corp. , com .
192 . - -Peabody Energ y Corp. , com .
193 . - -Texas Ins t r uments , com.
194 . - -Kra f t Foods Inc . , com .
195 . - -Abbot t Labs , com .
196 . --Rio TinIo PLC, com .
197 . - -Ente r gy Corp. New, com .
198. - -Exelon Corp . , com .
1 9 9 . - - Fom en t o E cnm co M ex . , c om .
200 . - -F r eepr t . McMo ran CPR & Gold , com.
2 0 1. - - G en l Dy nam i c s C o r p . , c om .
2 0 2. - - M cDona l d s , c om .
203 . - -Ph i l ip Mo r r i s I nI I, com .
204. - -To t a l SA., com .
Bu y
( add’ l )
01/28/10
Sold 01/28/10 J A
Sold 10/15/10 K C
Bu y 10/15/10
( add’ l )
So ld 01/28/10(part )
Bu y 06/03/10(add’ l )
J
J
J
B
Sold 01/28/10 K
Sold 01/28110 J
Bu y 06/03/10 J
( add’ l )
I . In come Ga i n Codes : A $1.000 or less B -$I,001 - $2.500 C =$2,501 . $5,00~ D =$5.001 - $15.0~0
(See Co lumns BI and D4) F =$50.001 - $100.000 G $100.001 - $1.000.000 I I I = $ 1 . 0 ~ O . O 0 1 . $ 5 . 0 0 0 . 0 < ) 0 112 =More than $5.000.000
2. Value Codc~ J =$15.000 or l ess K =$15.001 - $50.000 L $50.001 - $100.000 M =$100.001 - $250.000
(See Co lumns CI and D3 ) N =$250.001 - $500.000 O =$500.001 - $1.000.000 P I = $1 ,0 00 .0 01 - $ 5. 00 0. 00 0 P 2 -$ 5. 00 0. 00 1 - $2 5. 0~0 .0 00
P3 =$25.1~0.001 - $50.000.000 P4 =More than $50.000.090
3. Value I"dc thod Codes Q =Appra i sa l R =Cost (Real Esta te Only) S =Asse s smen t T =Ca sh Ma rkc~
(Sec Co lumn C2) U B o o k V a l u e V = O ~ h ~ ’ r W =Es t i ma t e d
E =$ 15.0 0 1- $ 50 .0 0 0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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 , , ’ a t u e , t r a , ~ c t i o . , a . c t .a e s t h o s , o / s p o . s e ~ . d dependent children; see p p . 3 4 - 6 0 of filing instructions.)
N O N E (No reportable income, assets, or transactions.)
A. B. C. D
Descr i p t ion o f Asse t s Incom e du ring Gro ss va lu e at en d Transactions during reporting period
(including Irust assets) r e p o r t i n g p ~ r i o d of repor t i ng per i od
! (I) (2) (I) (2) (I) (2) (3) (4) (5 )
P l a c e " ( X ) " a f t e r e a c h a s s e t ! A m o u n t T y p e ( e . g . , Va lu e Va lu e T y p e ( e . g . , D a t e Value Gain I d e n t i t y o f
exempt f rom pr i or d i sc l osure i Code I d i v . , r e n t , Code 2 M e th o d buy, sell , mrn/dd/yy Code 2 Code I buyer!seller
[ (A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e
[( Q - W ) t r a n s a c t i o n )
2 05. - - Bec t o n D i ck i n s o n , co m .
206. - - IBM, com . Bu y 01/28/10 K
2 0 7. - - N e s tl e Spon s o r e d ADR, c om . Bu y 01/28/10 J
2 0 8. - - Roch e H o l d i ng s L t d . Spon . ADR, c om . Bu y 01/28/10 K
209. Bu y 06/03/10 J( add’ l )
210. - -Frank l i n Resou rces , com. Bu y 10/15/10 J
211. - - In t u i t i ve Surg i ca l , com . Bu y 10/15/10 J
212 . - -Wal t Disney Co . , com . Bu y 10/15/10 J
2 1 3. - - A ir P r oduc t s & C h em s . , c om . Bu y 11/12/10 J
214. CASH ACCOUNTS IN IRA ROLLOVERACCT NO. 2:
215. - -Regions FDIC ( fka RF3 Money Fund)
216. - -Dreyfus Gov t Money ( fka DDG Money
Fund )
2 1 7. V an g u a r d P r i m e M M I R A R o l lo v e r A Dividend Sold 07/28/10 N
2 1 8. V angua r d Ad m i r a l T r s y M M I RA Ro l l ov e r A Div idend So ld 07/28/10 PI
219. IRA ROLLOVER NO. 3 ( th i s com bines the E Int./Div. PI Ttwo c lo s ed
220. Vangu ard MM IRA ro l lover acc t s a t l ines
217 and 218):
221. - -FIA Card Serv i ces c ash ac c t Open 07/30/10 PI
I . Inc ome G a i n Code s : A $1.000 or less B = $1,001 . $2,500 C =$2.501 . $5,000 D =55,001 - $15,000
( Se e C olu m ns B I a nd D4 ) F - $50 .001 - $ 100.0 00 G =$100,001 - $1,000.000 I ll = $1 .0 00 .0 ~1 - $ 5. 00 0. 09 0 1 12 = Mo r e th an $ 5. 00 0. 00 0
2. Value Codes J =515.000 or l ess K =515.COI - 550.000 L =$50.001 - $100.000 M =$100.001 - $250.000
(See Columr,.s CI and D3) N =$250,001 - $500.0~0 O =$500,001 - $1.000.(X~ PI =$1.000.001 - $5,(X~.000 P2 =$5.000.001 - $25.000.000
P3 =525.000.001 - $50.000.000 P4 =Mo re than $50.000,00<)
3 Va l u e Mc lhod Codes Q Appr a i s a l R =Cost tRcal [ :s ta te Only) S =Asse s smen t T-~Cash Market
( S e e C o h t m n C 2 ) U -Book Va l u e V - O l h ~ .~ W =Es t i ma t e d
E =$ 15,0 0 1 - $ 50 .0 ~0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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, transact ions (Includes those of spouse and dependent chi ldren; xeepp. 34-60 of fi ling ins truct ions .)
N O N E (No reportable income, assets, or transactions.)
A. B. C. D
Descr i p t ion o f Asse t s Income du r ing Gross va lue a t end Transactions during reporling period
(including trust assets) r e p o r t i n g p e r i o d of repor t i ng per i od
(I) (2) ( I ) ( 2 ) (I) ( 2 ) ( 3 ) ( 4 ) (5)
P l a c e " ( X ) " a f t e r e a c h a s s e t [ A m o u n t T y p e ( e . g . , Va lu e Va lu e T y p e ( e . g . , D a t e Value Gain I d e n t i t y o f
exemp t f rom p r io r d i s c lo su re [ Code I d i v . , r e n t , Code 2 M e th o d buy, sell , mm/dd~!y Code 2 Co de I buye r/se lle r
(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) (ifpfivate
[ ( Q - W ) t r a n s a c t i o n )
222 . - -BA RI N.A. RASP cash acc t
223.
2 2 4 . - - M L ca sh a c co u n t
2 2 5. - - P im co To t a l Re t u r n F und
226 . - -Vis ta Ban k , TX (CD)
227. - -F i r s t Bank , Puer to Ric o (CDs)
228.
2 2 9 . - - B ank o f Am e r i c a M M
230. - -Lord Abbot t Shor t Fun d
231. "~ ESTATE NO 1 :
2 32 . - - Exx o n M o b il , c o m .
233 . - -Ha l i f ax Hosp . Med. C t r . FL
234 . - -New York Ci ty G/O Ser . E
235 . --Br evard Co. FL Hl th Fac .
236 . - -New York St . Dorm A uth . Revs .
237. - -Abi lene ’IX ARPT-CTFS Obl ig .
238. - -Rea l Prope r ty , Har r i s County , TX
Int./Div.
Open 07/30/10 M
Closed 12/27/10 M
Open 07/30/10 J
Bu y 08/03/10 O
Bu y 08/04/10 K
Bu y 08/04/10 L
Bu y 08/16/10 L
( add’ l )
Open 08/09/10 N
Bu y 12/23/10 N
D is tr ibu te d 12/3 0/10 PI
Sold 12/17/10 N
R e d e e m e d 1 04/01/10 K
R e d e e m e d 08/02110 K
R e d e e m e d 1 1 1 0 5 1 1 0 K
Sold 1 2 1 1 7 1 1 0 J
Sold 12/17110 K
Sold 1 2 / 0 9 1 1 0 O
See Note -Pa r t VIII
I. I n c o m e G a i n C o d e s :
( S e e C o l u m n s B I a n d D 4 )
2. V a lue Code s
1 S e e C o l u m a s C I a n d D 3 )
3. Val u e Mcw h o d C o d e s
( S c c C o l u m n C 2 )
A =$1,000 or l ess
F=$50.091 - $109.000
J = S 1 . 5 . 0 0 0 o r l e s s
N =$250.001 - $500.0~}
P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $50,000.000
Q :Appraisal
U =Book Va lu e
B -$1,001 - $2.500
G =$ 1 0 0 . 0 0 1 - $ I,@0.000
K =$15.001 - $50.000
O =$50~.0OI - $1,000.000
R = 4 S o s l ( R c a l Est a t e On ly )
V -Other
C =$2.501 - $5,000
Ill =$1.000,001 - $5,000.000
L =$50.091 - $100.000
PI =$1,0~0.001 - $5,000,000
P4 =Mo re lhan $50.~30.000
S =Asse s smen t
W =Es t i ma t e d
D =$5,001 - $15,000
112 =More than $5,000.000
M =$100,001 - $250.000
P2 =$5.000,001 - $25.000,000
T :=C~h Markc~
E =$15.0{)1 - $ 5 0 . 0 0 0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
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 o t e , , u a n s o . l o ,~ ( l n c l u d ~ s t h o s e o f s p o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)
N O N E (No reportable income, assets, or transactions.)
D e s c r ip t io n o f A s se t s In c o m e d u r in g
(in c lu d in g tru s t a s s e ts ) r e p o r t in g p e rio d
] (~) (2)
Place "(X)" after each asset A m o u n t Type ( e .g_ ,
e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I div . , r e n t ,
i (A-H) or in t . )
G r o s s v a l u e a t e n d
o f r e p o r t i n g p e r i o d
(i) (2)
V a lu e V a lu e
C o d e 2 M e tho d
( J -P ) C o d e 3
(Q-w)
(1 )T y p e ( e . g . ,
I~uy, sel l ,
r e d e m p t i o n )
T r a n s a c t i o n s du r i n g r e po r t i n g p e r i o d
(2) (3) (4) (5 )
D a t e Value Gain I d e n t i t y o f
m m / d c l h / y Code 2 Co de I buyer/seller
( J - P ) (A-H) ( i f p r i v a t e
t r a n s a c t i o n )
239 . - -Rea l Prop er ty , Ker r County , TX
240. - -Fide l i ty MM
241. TRUSTNO. 2 :
242. - -Fidelity MM
243. - -Fide l i t y Low P r i ce S tock
244.
245.
2 46 . - - Yack t ma n Fu n d
247 . - -Spar tan Tota l Marke t I ndex Fund
248.
2 4 9 . - - Fi d e l i t y Sm a l l C ap D i s c ove r y F und
C Dividend O
Closed
T
Bu y
Bu y
(add’l)
Bu y
(add’l)
Bu y
Bu y
Bu y
(add’l)
Bu y
12/17/10
07/28/10 K
12/14/10 K
12/31/10 L
07/30/10 K
12/14110 K
12/31/10 K
12/31/10 K
1. In co m e Gain Co d es : A =$1.000 o r les s B =$1,001 - $2,500 C :$2.501 - $5,000 D -$5.001 - $15,000
(See Co lumns BI and D4) F =$50,001 - $109 .000 G =$100.001 - $1.000,000 I tl = $1 ,0 00 .0 01 - $5 .0 00 .0 00 1 12 =M o re th an $ 5, 00 0. 00 0
2. Value Codes J =$15.000 or l e s s K =$15.001 - $ 5 0 . 0 0 ~ L =$50.001 - $ 1 0 0 . 0 0 ~ M =$100.001 - $250.000
(Sc¢ColumnsClaodD3) N $250.001-$500.000 O = $50 0.00 1 - $1.0 00.0 00 P I = $1,0 00 .00 1 - $5.0 00 ,00 0 P 2 = $5.0 ’0 0,0 01 - $25,00 0.0 O O
P3 = $25,000.001 . $50.000,000 P4 =More than $50.000.090
3. Value M,:thod Codes Q =Appra i sa l R =Cost (Real Esta te Only) S =Asse s smen t T =Cash Marke t
(See Co lumn C2) U =Book Va lu e V -Olher W =Est imated
E =$ 15,0 0 1 - $ 50 .0 0 0
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
V 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 .
(1 ) Pa r t I POSITIONS, l ine 3 , a l s o th e fo l low ing s u bs id i a r ie s : The Me thod i s t Hosp i t a l Founda t ion ; The Me thod i s t Hosp i t a l , The Me thod i s t Hosp i t a l Res ea rchIn s t it u l e , TM H He a l t h C a r e Gro u p , a n d T M H M e d i c a l O f f i c e B u i l d i n g s C o n d o m i n i u m A s s o c i a ti o n
( 2 ) Pa r t I POSIT IONS, l i n e 4 , a ls o th e fo l l o win g s u bs id i a r i e s : Me tho d i s t W i l lo wbro o k Me d ic a l Of f i c e B ld g s Co n d o m in iu m As s o c i a t i o n ~ Me tho d i s t W i l lo wbro o kMe d ic a l Of f i c e B ld g s I I Co n d o m in iu m As s o c i a t i o n ; Sa n Ja c in to Me tho d i s t -Ale xa n d e r Co n d o m in iu m As s o c i a t i o n ; Sa n Ja c in to Me tho d i s t Ho s p i t a l ; SJMH
Condominium A s s o c i a t i o n ; T h e M e t h o d i s t H o s p i t a l Condominium A s s o c i a t io n ; T M H M e d i c a l O f f i c e B u i l d i n g s ; a n d M e t h o d i s ! W e s t H o u s t o n C o n d o m i n i u mA ssoc i a t i on .
( 3) Pa r t VII , page 4 , l i ne s 12 and 13: The yea r -en d va lue s o f CNL Li fe s ty l e P rop s . Inc . un i t s , and H ine s REIT, wh ich a re re a l e s t a t e REITS th a t a re no t publ i c lyt raded , a re de r ived f rom th e i s s ue rs ’ e s t ima te s o f va lue a t yea r end .
( 4 ) Pa r t VII, page 8 , l i ne 84 : The yea r -en d va lue o f IRA acco un t in John Ha ncoc k Ind . Re t i remen t Ann u i ty , wh ich i s no t publ i c ly t raded , was p rov ided by JohnHanc ock Li fe Ins . Co .
( 5 ) Pa r t VII , p a g e 17 , l i n e 23 I : ~ Es t a t e No . 1 wa s d i s t r ibu t e d t o th e Es t a t e ’ s be n e f i c i a r i e s by 12/30 /10 , a n d th e re fo re n o a s s e t s a r e s ho w n a t th e e n d o f 2010 . ¯
8/3/2019 Jr Ewing Werlein Financial Disclosure Report for 2010
I c e r ti f y t h a t a l l in f o r m a t i o n g i v e n a b o v e ( in 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 , if a n y ) i s
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 be 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 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 tu t o 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 .
! f u r t h 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 ts 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 ncom p l i a nc e w i t h t he p r ov i s i on s o f 5 U.S .C . app . § 501 e t . s eq . , 5 U.S .C . § 7353 , a nd Jud i c i a l C on f e r enc e r e gu l a t i on s .
Signature: S/EWING WER LEIN, JR.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND W ILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY B E SUBJECT TO CIVILAND CRIMINAL SAN CTIONS (5 U.S.C. app. § 104)
C o m m i tt e e o n F i n a n c i a l D i sc l o s u r eA d m i n i s t ra t i v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t s
