Robert W Pratt Financial Disclosure Report for 2009

8/3/2019 Robert W Pratt Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/robert-w-pratt-financial-disclosure-report-for-2009 1/16

A O W .

I

FINANCIAL DISCLOSURE REPORT¯ in Govermnent Act ofi978~,. ; / 2o~0 FOR CALENDAR YEAR 2009

i. Person Reporting (las[ nam e, first, middle initial) 2. Court or Organ ization 3. Date of R eport

PRATT, ROBERT W. US DISTRICq" COURT - SO IOWA 04/27j2010

4. Title (Arliclc Ill judges indicate ac tive or senior status; 5a. R eport T ype (check appropriate type) 6. R eporting P eriodmagistrate judges indicate full- or part-time)

[] Nomination, Dale 01/01/2~19

US DISTRICT COURT JIJDGE-ACYI’IVE [] initial [] Annual [] Final to

12./31/2009

5b. [] Amended Report

7. Chambers or Office Address 8. On the basis of the information contained in this Report and anymoditications per taining thereto, i t is , in my opinion, in comp llaace

US COURTHOUSE with applicable laws and regulations.

123 E. WALNUT STREET

DES MO|NES, |A 50309Reviewing O~cer Date

I M P O R T A N T N O T E S : The instractions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable inJbrmation. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of filing instructions.)

~ N O N E (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

1.

z~g,JlCkl~l~,mJl~t~ Jl. ~, (Rqorting i~dividt~l o,tO; see ~p. 14-16 4filing ins~uctio,,s.)

NON E (No reportable agreemen;s.)

DATE PAR~F~S AND TERMS



FINANCIAL DISCLOSURE REPOR T , N a m e o f P e r s o n R t p o r t i n g D a l e o f R e p o r t

Page 2 of 1 6 pl~’i’°l" , ROBERT W . 0 4 / 2 7 / 2 0 1 1 0

lIl. ~,~,~, ,,~ ~o,~,,~,~,~ ~,.~1~-~,~ vr_,al~w r.t,~z INCOME. ( R e p o r t i n g i n d i v i d u a l a n d s T o u s e ; s e e p p . 1 7 - 2 4 o f f i l in g i n s t r u c t i o n s . )

A. Filer’s No n-Investment Income

NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE INCOME

(yours nol spouse’s)

I.

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - ~ f y o u were married during any port ion of the reporting yea~, complete t l~i~ section.

( D o l l a r a m o t m t n o t r e q u i r e d " . ~ r c e p l fo r h o n o r a r i a . )

~ NONE (No reportable non-investment income.)

~ SOURCE ~D TYPE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S --transportation, lodging, food. entt, rtai .... 1.

17ncl udes those t o ~ ’ p o u s e a n d dependent c h i l d r e n ; se e p p 2 5 - 2 7 o f ] H i n g i t~ truc~ ior~ s’ . )

~ NONE (No reportable reimbursements.)

.,SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

¯ !. University of Chicago l,aw January 2009 Chicago, IL Speaking engagement Transportation, Lodging and MealsSchool

2. Carlton Fields Law Firm 5 /29 /09-5 /22, t09 Tampa, FL Speaker at Natioaal Federal Transporlation, Lodging and lvieals

Sentencing GuidelinesSeminar

3. Amer/caa Constitution 7 / 1 4 1 0 9 W ashington. DC Speaker at Annual "rransportation, Lodging and MealsSociety Convention

4.

5.



FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n Repor ting Date of Report

Page 3 of 16 P R , ~ ° r T , R O B E R T W . 0 4 / 2 7 / 2 0 1 0

:_~ NONE (No reportable gifts.)

SOURCE DES CRIPTION

1 .

3.

4.

5.

V I . L I A B I L I T I E S . ! ~ , ,c ~ , ,~ . ~ ,ho,, o /.,’p ....... ~ dependent children; ~ee p p . 3 2 - 3 3 of filing instruction.~.)

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

3.

4.

5.



FINANCIAL DISCLOSURE REPOR T N a m e o f P e r s o n R e p o r t i r ~ g D a t e o f R e p o r ~

Page 4 o f 1 6 P~,rr, rto~ER’r w . 0 4 / 2 7 / 2 o 1 0

VII. INVESTMENTS and TRU STS .. i ......... . , t , ~ t ....... aions (lnclude.sth,se of sp ...... h a l & p e n d e n t children; s e e p p . 3 4 - 6 0 of filing instn, ctions.)

~ N O N E (No reportable income, assets, or transactions.)

~.- : ......... ~ . C. ~ .................... D. ............D e s c r i p t io n o f ~ s s e ts ’ I n c o m e d u r i n g Gro~ value at end ~ T r a n s ~ c f io n s d u r i n g r e p o r t i n g ~ r i o d

( i n c l u d i n g t r u ~ l a s s e t s )~

r e p o r t i n g p e r i o d ~ f f r e p o r t i n g p e r i o d

~~5 ~~=) j - { i 5 ~ - ~ = ) . . . . . . . . . . . . {~ 7 <~ ~--~5~- ia~-~ i s > .......Place’(X)"aft ..... h a s ~ e t A m o u n t T y p e ( e . g . ,

[ ValueValue ] T y p e ( e . g . ,

[ Date [Value Gain [ ldendtyof Ie x e m p t f r o m p r i o r d i s c lo s n r e ~de 1

d i v . , r e n t , C o d e 2 i M e t h o d b u y , r o l l . m m ! d d /y y [ C o d e 2 buvedsellerI-H, o x i n t . ) ( J - P ) ~ Code3 r e d e m p t i o n ) ( J ’ P ) ~d.;~; ~ ,if pd,’,te

.

I. BANKERS TRUST COMPANY A Interest K T

2. MORGAN STANLEY DEAN wITrERMARKETABLE SECURITIES:

3. MORGAN STANLEY BANK A Intercst K T

4. MS EMERGING MKTS DOMESTIC C Dividend K T Bu y 01fl)7/09 JDEBT (add’l)

5. MSEMERGING IvlK’FS DOMESTIC A Dividend Bu y 04/15i09 JI)EBT (add’l)

6. MS EMERGING MKTS DOMESTIC A Dividend Bu y 07/15/09 JDEBT (add’l)

7, MS EMERGING MKTS DOMESTIC A Dividend Bu y 1 1 ) / 1 5 1 1 ) 9 JDEBT (add’l)

8. WINONA CN’FY MINN CAP IMPT PI,AN A Interest Sold 02/02i09 KSEP,-A 3.600%

9. WESTERN I )UBUQU E CO SD 3200 A lnteresl Sold ( } 3 / 1 9 1 1 1 9 K

t0 , WICltlTA KS GENL OB I,IG SER 769 A Interest Sold 03ii9!09 KLINLTI) TAX 4.000%

11 . S IOU X C IT Y IO WA G EN O BLIG U NLT D A Interest Sold 03119/(19 KTAX 3,500%

1 2 . WEST DES MOINES IOWA GEN OBLIG A Interesl Sold 03/!9/09 JSER-C 3.600q¢

1 3 . W EST DES MOINES GO 3251~ A Inleres! Sold 03/19/09 J

14 . CONNECTICUT ST H I,TIt E1)I. FACS A Interest Sold 07/0t/09 KA1JTII U IV IIA RTFORD SER-[=. 4.000

1 5 . NYC GO SER-A 30)) A Interest Sold 08103/119 K

1 6 . NEBRASKA INVT FIN AUTH SINGLE A Interest Sold 01/05109 JFAMILY tlSG REV SER I) 5150 (part)

17 . NEBRASKA INVT FIN AUTH SINGLE None Sold 09/I)1/09FAMILY }IS() REV SER I) 5150



N a m e o f P e r s o n R e p o r t in g ] D a t e o f R e p o r t

P a g e F IN A N C I A L 5 o f 1 6 D I S C L O S U R E R E P O R T~ ’ a A r r , R O B E R T W . ]

0 4 / 2 7 / 2 0 1 0

VII. INVESTMENTS and TRUSTS --inco . . . . . t . e , tra .... t~,~ (Includes those of sp ...... 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 ! l i n g i n s t ~ c t i o n s . )

~ (No reportable income, assets, or transactions.)ONE

D e s c r i p t i o n o f A s s e l s income during G r o s s v a l u e a t e n d T r a n z a c t i o n s d o t i n g r e p o r t i ~ g p e r i o d

( i n c lu d i n g I r u s t ~ % e t s ) re~rting period o f r e p o r t i n g [ ~ e r i o d

........................... ~ ..... ~) , (5 )(1) (2) (1) (2) (t) ~ .... }3~ ~41 ......

:: P l a c e " ( X ) " a f t e r e a c h a s s e t A m ou nt T y p e ( e . g ., V a h m : V a l u e T y p e ( e . g . . ~ Date Value ~ Gain I d e n t i t y o f: ’ m m ! d d / y yx 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 1 d i v . , r e n t , C o d e 2 ~ M e t h o d buy, sell. C o d e 2 ~ Code 1 h u y e c / s e ! l e r~ ( 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 [ p r i v a t e

’ [ ( Q -W ) :t r a n s a c t i o n )

18 . ~NSAS ST DEPT TRANSN IIWY REV A Interest Sold 09/01/09 KSER-A 4800

19 . BROWN CNTY WlSC GENL OBLIG A Interest Sold I1/02/09 KARPT IMP T SER-A 4.000%

2 ~ . IOWA ST UNIV SCIENCE TECtl REV A interest Sold ~ " /02/091 K

REF U~IL 415 ~ I2 1 . OM~IA NE ARPT AU TH A RPT REV A Interest J T

REF-FA~ 4.000%

~ 2 2 , ADDtSON TX G~NL OBUG REF UNLTE A Interest K TTAX 4.000%

2 3 . IOWA CITY tA COMM SCH DIST 3,’100 A Interesl J T

2 4 . FLA IJSG FIN CORP SERF 3400 A Interest K T

2 5 _ IA ST U NIV SCI & TECIt 3300 A Interest K T

2 6 . PUERTO RI( ,’O EI_EC PWR AU TH SER A Interest K TSS 3300

2 7 . CENTRAL VALL EY SCH DIST ZERO A Interest K T

2 8 . ILL ST CLG SV GS ZERO A Interest J T

2 9 . BROWN CNTY W ISC GENL OBLIG A Interest K TARPT [MPT SER-A 4.00(1%.

3 0 . PARIS TX GEN OBL1G 4000 A Interest K "1"

3 1 . GI.,ENCOE ILL GENL OBI..IG BK QUA L A Interest Sold 0 5 / 2 2 1 0 9 KUNLTD "FAX 4.100%

3 2 , BLOOMINGTON IL GEN OBLIG REF BK A Interest K TQUAL 4.(100%

3 3 . UN1V CONN REV SER A ZERO A Interest J T

3 4 . O B I , I G W A S I I I N G T O N p R o M N T s C N T Y 4 . 0 0 0 % W l S C G E N LA lnlerest Sold 0 4 , / 1 4 / 0 9 K



FINANCIAL DISCLOSURE REPO RT Name o f Person Reporting DateogRepor [

Page 6 o f 16 PRATT, R O B E R T W . 04~7/2010

V II. INVESTM ENTS and TRUSTS --i ....... . ~ t . , , t r a n s a c t i o n s ( I n c h , d e s t h o s e o f s p o . . . . . . . d d e p e n d e n t c h i l d r e n ; a 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 . )

~ NONE (No reportable income, assets, or transactions.)

.................... /~i ................. :- ~. " .......C. ... . . . . ~ .............................bl ...............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 G r o s s v a l u e a l e l l d 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

(including trust asse,s) ii r e p o r t i n g p e r i c , d[

o f r e p o r t i n g p e r i c ~ d:i

"

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 .~ . . | Value V a l u e T , p e ( e . g ., Date I Vak.~e Gain ’ I d e n t i t y o l

........................................... ~ ] ....¯ __~ ¢o-~,~ .......................~ .. . . . .

i 3 5 , WEST CH ESTER PA AREA SCtl DIST A Interest K T4.0~%

’36, ALTOONA IA GO 3250 A Interest K T

3 7 . WAU KEE IQWA CMNTY SCt ! D!ST REF B Is;retest L TSER-B 3.300%

, I3 8 . BOYDEN HULl. IOWA CMNTY SCH A Interest Sold 08/03/09 K

L t)IST 4.3(10%

3 9 . PR HW YS TRANS 3400 A Interest K T

4 0 . ARIZONA STTRANSN BRD I tWY REV A Interest K TR EF SER-A 4.000%

4 1 . PALM BEACH CNTY FL SCH BRD C"I ’FS A Interest K TPARTN REV SER-A 4.000%

4 2 . OREGON ST DEIrF ADMIN SV CS A lntercst K TSALEM OREGON SER-C 4.000%

4 3 . AUST IN TX EI.EC UTIL SYS REV A Interest K T4.000%

4 4 ’ . SCHILLER PA RK ILL GO-C BE 4.000% A Interest J T

4 5 . FULTON F’EORIA & KNOX COS ILL A Interest " I. TSCII DtST ZERO CPN

4 ( ~ . MADISON WlSC SWR-A 3125 B Inlcrest L T

4 7 . TACOMA PUB UTIL LIGHT & PWR 3700 A lnteres~ J T

4 8 . SHAK OPEE IMPT BE 4.000% A Interest K T

4 9 . INKSTER M[ GEN OBL IG 40t)0 C Interest M T

5 0 . PASCO WA GEN OBL1G 3750’A Interest J T

F " 5 1 . W.DES MO1NES GO-C BE 4.000% A Interest J T



FINANCIAL DISCLOSURE REPO RT ~ e of Person Reporling!

Date of Report

Page 7 o f 1 6 PIL~,TT, R O B E R T W , 0 4 1 2 7 1 2 0 1 0

V I I . IN V E S T M E N T S a n d T R U S T S --i ......... h , ~ , transaca’ons (Include* those of spouse and dependent childrea; see pp. 34-60 of filing inslr~cgionx.)

N O N E (No reportable income, assets, or transactiot~.)

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 G r o s s v a l u e a r e n 0 Transactions during rei~rfing ~rind( i n c l u d i n g t r u s t a s s e t s ) r e p o C t i n g ~ r i o d o f r e p o r t i n g p e r i o d ~

P l a c e " ( X ) ’ a f t e r e a c h a s s e t ~ Amountcode i~T y p e ( c . g . , Value [ Value 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 n m p r i o r d i s c lo s u r e [ ~ div.,rem, Code2 M e t h o d buy sell m m / d d ~ y y ~ Code2 Code t ~ b u y e f f s e l l e r

( A - r t ) ~ o ~ i n ~ , ) ( J - V ) ~de3 ~ redemption) [ (J-P) ~(A-tl) ( i l p r i v a t e

............................................ ~ .................. ~( Q -W )

~ ~ ~ ....[ t r a n s a c t i o n )

5 2 . ODESSA TX H SG FIN CORP ZERO A Interest J TCOUPON

5 3 . tA ST UNIV SC1 & TECH 3500 C I n t e r e s ~ L T

5 4 . MINN HIGHER EDUC FACS AU T!t 3625 A !nteregt J T

5 5 . AU RORA COLe SINGI.E FAM MTG A Interest J TREV SER A ZERO

5 6 . SCItlLLER PA RK ILL GO-BE 4.000% B lnlerest L T

5 7 . DOUG1.AS CO COL O SC|I DIS"[’ 1 ZERO A Interest K T

5 8 . WA SH CTY U TAIt SClt DIST 4000 A Interest J T

5 9 . WRIGHT ST UN1V 3500 A Interest J T

6 0 . WA SH ST GEN OBLIG MOTOR VEIl A Interest K TFUEL TAX ZERO

6 1 . 1.OUISIANNA S’l" GO GULF OPP 4000 A Interest J T

6 2 . E-470 PUB HWY AU’I’t-] COLO ZERO A [merest i. . T

( ~ 3 . ALASKA ST INTL AIRPORTS 4(/00 B hlterest K "I

6 4 . METRO WASI1 DC AIRPORT AUTIt A Interest J T4 1 2 5

6 5 M OD ES TO C A I RR DI ST 40 00 A Interest K "1’

6 6 . W ILL C’NTY ILl.. SCH DIST NO 122 A Interest J TZERO

6 7 . FA’YETI’E CNTY KY SCH D1ST 3375 A Interest J T

6 8 , LAKE CNTY II.1. CMNTY SCH I)IST NO A Interest L T050 ZERC)



N a m e o r ’ P e r s o n R e p o r t i n gI

I ) n t c n f R c p t . . , r tFINANCIAL DISCLOSURE REPORT

PRATT, R O B E R T W ,age 8 o f 16

I

0 4 / 2 7 / 2 0 t 1 1

V I I I . I N V E S T M E N T S a n d T R U S T S -- ineo . . . . ".~.e, , ....... t i ons Clncludes those o f spouse and depen den t chi ldren ; s ee pp . 34-60 ~f f i l ing ins tn ,¢ t ioas .)

N O N E (No reportable income, assets, or transactions.)

~. ............... ; " ~. ~ ..... ~ ......................... O~ ........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 G r o s s v a l u e a t e n d T r a n s a c l i u n s d u 6 n g r e ~ ) r t in g p e r i o d

( i n c lu d i n ~ t ~ s ~ a s s e ~ s ) ~ e p n r f 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

P l a c e " I X ) " a £ e r e a c h a s s e ~ ~ : A m o u n l T y p e ( e . g . , Value Value T y p e ( e . g . , [ Date Value G a i n I d e n t i ty { f f

c x e m p ~ f r o m p r i o r d ~ s c l o s u r e ~ C 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 E . : : m m / d d i y y C~e 2 C o d e 1 b u y e r , % e l l e r] ~ A H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ? ( J - P ) I . A - H ) ( i f p r i v a t e

( Q -W ) ; t r a n s a c t i o n )

69. DENVER CO CONV ~R H OTEL 4000 A Interest K T

7 0 . FLORIDA ST BRD ED FL INTL UNIV A Interest J T3750

7I. W A LLA W A LLA W A S H W A T E R & C Interest M TWASTE 3625

7 2 . VIRGINIA H SG DEV COMWLTH SER A t3 lnterest K T4250

7 3 . APOPKA FLA UT1L SYS REF IMPT 4200 A Interest J T

7 4 . POWA Y CALIF UNI SCH DIST SPL TAX B I n t e r e s ’ , L T4 0 t ) 0

7 5 . OGLE & W INNEBAGO CNTYS SCH A Interest J T Bu y 12/17/09 JDIST ZERO

7 6 . RIVERSIDE CNTY PA.LM DESERT CA A Interest J TFIN AtJTtf 3900

7 7 . INDIANAPOLIS GAS UTIL D1ST SYS B Interest K T Bu y 02/06/09K3500

7 8 . DES MOINES STORM W ATER 421)0 B I n t e r e s t L T

7 9 . PUERTO RICO PUB IMPR ZERO A Interes: K "1" Bu y 12/17/09 K

8 0 . STATE UNIX,’ IOWA REC FACS 4000 A Interest K T

8 1 . ALA SKA ST IISG FIN CORP 4250 C Interest L T

8 2 . WINNEBAGO BOONE ETC CNTYS iLl . A Interest J T Buy !2/18/09ZERO

8 3 . OSCEOI.A CNTY FL SCII BOARD 3500 A Interest J T Bu y 08/10/09

8 4 . WAUKEE IOWA CMNTY SCH DIST A Interest I T Bu y 08/04/094 0 0 0

8 5 . MIAMI DADE CNTY FL EXPVCY AUTH A Interest J "I"TOLL SYS 4250



FINANCL&L DISCLOSURE REPORT N a = e o f P e r s o n R e l m r t i n g D a t e o f R e p o r t

P age 9 o f 16 PIL~,TT, R O B E R T W . 0 4 / 2 7 / 2 0 1 0

VII. INVESTMENTS and TRUSTS -. i . . . . e , , ’ a l u e , t ....... t i o n s ( I n c l u d e s t h o s e of ~p . . . . . .. . . . d dependent children; see pp. 34~0 of filing instructio~.)

~ NONE (No reportable income, asset& or transactions.)

D e s c r ip t i o 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 v a l u e a t e n d T l a g s a c t io u s d u r i n g r e ~ o ~ i n g p e r i o d

(including trust asse,s) .......

r e p ~ r y i n g g ~ r i 2 d -

~ (it ] (2) ( 1 ) ( 2 ) (1) " ~) (3) [ ’{,i~ .... {.{) .............

~ount ] T y p e ( e . g . , Value V a l u e ~ T y p e ( e . ~ . , [ D a t e V a l u e ~ : G a i n I d e n t i t y o fl a c e " ( X y ’ a f t e r e a c h a ~ s e l

} C o d e 1 ~ "~

’ "e x e m p t l r o m p r i o r d i s c lo s u r e i d i v . . r e n t , C o d e 2 M e t h o d ~ b u y , s e l l , ~ n m /d d ! y y ] C o d e 2 C o d e 1 b u y e r i s e l l e ~[ (A-tit { oriel.) ( l - P ) C o d e 3 [ r e d e m p t i o n ) ( J - P } ( A - ~ [ } ( i f p r i v a t e

~ 1} ..... ( O - W ) ~ ~ ~ t r a n s a c t i o n )

8 6 . UNIVNORTItN IA STUDENT UNION B Interest K TSER UNI 4.800%

[ 8 7 . IEA FLA k ~ R & S W R S Y S REV 4 4 ~ A Interest Sold 03i06/09 K

8 8 . STATE UN1V IOWA UTIL SYS 4000 A Interest K T

8 9 . CLARK CNTY NEV GEN OBLIG 3500 B Interest K T Bu y 0 3 ! t 9 ! 0 9 K

9 0 . O1110 ST IIOSP Ct.EVE CLINIC 3750 B Interest K T Bu y 0 , ’ q / 1 2 / 0 9 K

9 1 . WYLIE CITY TEX COMB TAX REV 400( A Interesl K T

9 ~ . DES MOINES IOWA STORMW ATER C Interest M T4500 ~

o 3 . ANKENY [A COMM SCH DtST 4000 B Interest L T

9 4 . S’i" CLAIR CNTY ILL GEN OBLIG ZERO A tnteresl K T Bu y 12/18/09 K

9 5 . DELToNA ITLA T RANS CAP IMPT 4375 A Interest J T Bu y 0 3 / 2 ( } / 0 9 J

~-.~6.COVINA CALIF PUB FIN A Interest J T Bu y 08/03/09 JWASTEW ATER 3500

9 7 . CLARK CNTY NEV GEN OBI_IG 3500 A Interest K T Buy 03/19/09 K

9 8 . INDIANAf’OI .IS IN WA TER W ORKS B I n t e r e s ~ K q Bu y 08/03/09 K4 0 0 O

9 9 . WYLIE CITY TEX COMB TAX REV 4001 A Interest K T

1 0 0 . STERLING IIEIGIITS MICII TRANS FD A Interest K T4 0 0 t )

10I. NEVA DA STA TE IlIGIIER EDUC 3400 B Interest K TBu y 03/19./09 K

102. RENO CITY NEVA DA GEN OBI_.IG 4500 B lnteresl L T Bu y 0 7 t 0 1 1 0 9 L



N a m e o f P e r s u n R e p o r t in g D a t e o f R e p o r tFINANCIALDISCLOSURE REPORT

P P ~ T ° r , R O B E R T W .age 10 of 16

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 ....... t . e , t r a n s a c t io n s a n c l 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 l d r e n ; ~ , e p p . 3 4 - 6 0 o / f i li n g i a s t r t, c t i o n s .)

~ NONE (No reportable income, assets, or transaction.v.)

D e s c r i p t i o n o f A s s e i s I n c o m e d t M n g G r o s s v ~ l u e a t e n d T r a n s a c t i o n s t l u ~ i n g r e p o r t i n g p e r i o d

(i~cluding trusl ...... ) , .S~y~r.ti~period o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e t ~ A m m n [ T y p e ( e . g . , Value Value T y p e ( e . g . , Date : Value 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 l o s u r e C o d e 1 [ d i v . , ~ e n t , C o d e 2 M e t h o d buy,~ell,[ m m ] d d l y y

C o d e 2 Code I b u y e r / s e l l e r

[A - H ~ [ or nt) J - P ) ] Code3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

i ( O -W ) ~ t r a n s a c t i o n )

1 0 3 . KANE COOK & DU PAGE CN~’S tt .L A lnmrest K T Bu y 03/20/09 K4~0

1 0 Z . IOWA ST U NIV SCIENCE & TECH 4~0 A [ n t c t e s ~ J T

1 0 5 . ELORIDA ST DEPT ENVIRONMENTAl. B Interest k T

PROTN PRES 5000

106. CLARK CNTY NEV I-~OND BK 5000 B Interest L T

107. CLARK CO NV VEGAS ARPT FAC 4750 A Interest J T Buy 03/19i09

108. ALA SKA ST INTL A RPTS SYS 5000 A Interest J T

ALASKA MUN BND BK SER-I 4500 B Interest K T Bu y 01/20/il9 K

1 1 0 . TENNESSEE ENERGY ACQUISITION B Interest K TCORP GAS REV 5000

1 1 1 . UNIVERSITY WASH UNIV REV 4500 g Interest K T

1 1 2 . COLUMBUS OHIO SWR REV 4500 B Interest L T

! 1 3 . IOWA SF U NIV ACA DEMIC BI.DG 4375 C Interest M T

1 1 4 . M ORGAN STANLEY DEAN W I’I’I’ERI IRA #1:l"

1 1 5 . M ORGAN STANI,.EY BANK A I n t e r e s t K T

1 1 6 . ABS NOTES ON S&P 500 INDEX A Interest K T Bu y 01/23/09 K

] 1 7 . MS EMERGING MKTS DOMESTIC A Dividend J "1"DEBT

1 1 8 . PLUS ON DOW JONES INDUSTRIALA Dividend Sold 05/20/09 JAV G

1 lt~. PI.US ON ISItARES EEM FUND A Dividend Sold 07/20/09 J



N a m e o f P e r s o n R e p o r t in g[

D a t e o f R e p o r tFINANC~L DISCLOSURE ~PORT

PRAYI, R O B E R T W .age 11 of 16

I0 4 / 2 7 , . , 2 0 m

V I I . I N V E S T M E N T S a n d T R U S T S -- ;rico,, .... ; , , e , transactions f inch, des those of sp . . . . . . d dependent cMldren; see pp. 34-60 of f i l ing instructions.)


D e s c r i p t i o n o f A s s e t s In,me during ; G r o s s v a l u e a t e n d T ra n s a c t io n s d u r i n g r e , ) f l in g p e r io d

( i n c l u d i n g m ~ s t a s s e t s ) ~ e p o r f 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

. ~ , . { 5 )

P l a c e " ( X ) " a f t e r e a c h a ~ * e t A m o u n t T y p e ( e . g . , V a ~ u c Value T y p e ( e . g . , [ Date ~ Valuu Gai~ I d e n t i t y o ~

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 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 l , [ m m i d d i y y C o d e 2 ~ C o d e 1 b u y e r ! s e l l e r. (A-H) orinl.) ( 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

1 2 0 . PI.US ON ISi tARES MSCI EA FE. INDEX A Dividend Sold 01/20/09 K

1 2 1 . PLUS ON S&P 500 INDEX A Dividend Sokl 01/20/09 K

1 2 2 . BANK OF AMERICA CORP 7250 A r)ividend J T

1 2 3 . CREDIT SU1SSE GU 7900 A Dividend J T

2 4 . DB CAPITAL FUNDING X 7350 A Dividend J T

1 2 5 . ftSBC tlOI.DINGS P1..C 8125 B D~vidend J T

2 6 . ING GROEP NV 7375 A Dividend J T

1 2 7 . AT&T CORP 6.000% A Interest Sold 03/16/09 K

1 2 8 . GMAC 5625 A Interest Sold 05/I8/(19 K

1 2 9 . COMMODITY JUMP CPN BY MS ZERO A Inleres! K TCPN

130. NATIONAL RU RAL UTILITIES 4250 A Interest K T Bu y ( 1 1 / 2 2 / 0 ’ 9 K

131. STF.ELCASE INC 6500 A Inlerest J T Bu y 0 6 ; 3 0 1 0 9 J

1 3 2 . FOR ) MOTOR CREDIT 5850 C lnlerest K T

1 3 3 . NATIONAL RU RAl. UTILITIES COOP B Interest K T Bu y 0 , 1 / 2 3 / 0 9 K4 5 5 0

1 3 4 . CAP PRTECT NOTL" ON FX BASKET A htlerest K T Bu y 06/23/09 KZERO

135. PSEG POWER L LC 6000B lnlerest K T Bu y 01/21/09 K

136. AMER1CAN EXPRESS 5875 C Interest 1 . T

I income GMn C{~lcs: A =St,000 or less B =$t,0tH - $2,50U C =$2,5n! - $5,(Kr0 D =$5,nljt - $15.0no E =$15 . 001



FINANCIAL DISCLOSURE REPOR T N a m ~ o f P e r s o n R e p o r t in g [ D a t e a f R e p o r l

Iage 12 of 16 eRxvr, R ( ) B E R ’ IF W . ~ 4 i 2 7 / 2 0 1 0

VII. INVESTMENTS and TRUSTS -- i n e o . . . . . l.e, transactions (Includes those oy~p . . . . . . . d dependent children; .see pp. 34-60 of f i l ing instructio


D e s c r i p ti o n o f A ~ s e l 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 l i o n s d u r i n g r e p o r t i n g p e r i o d

(including t~st asse~s) r e p or t i n g p er i o d o f r e po r t i n g p er i o d

T el 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 r e. & . Value " . yp (e.g., ] Date Value , Gain l d e n t i ~ 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 ~ C u d e [ ~ d i v . , r e n t . C o d e 2 M e t h o d:

b u y , s e l L [ m m ] d d / y y C t ~ e 2 ~ C o d e ~ b u y e r / s e l l e r: (A-It) ~ or i~.) 0 - 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 )

137. DOW CH EMICAL CORP 7250 B Interesl K T

1 3 8 . DUALPART1CIPATION COMMODITY A I n t e r e s t J TZERO CPN

1 3 0 . SOUTHW EST A1RIANES CO 5250 B intelest K T Bu y 05/07j09 K

1 4 0 . IN’H_ PA PER CO 5250 A Interest K T Bu y 0 8 / 1 3 1 0 9 K

1 4 1 . PROLOGIS TRUST 5625 A Interest J T Bu y tl/24/09 1

1 4 2 . ,qOUTI’t’WEST AIRI..INES CO 5750 A Interest J T Bu y 09/’18/09 J

1 4 3 . MOSAIC CO REG S 7625 13 Interest K T Bu y 0 8 1 2 5 / 0 9 K

1 4 4 . MORGAN STANLEY 6000 A Interest J T

1 4 5 . GMAC 7375 B Interest .I T

1 4 6 . AMERICAN INTL GROUP 7700 A Interest J T

1 4 7 . CITIGROUP CAP XIX 7250 A I n t e r e s t J T

1 4 8 . WACHOVIA CAPITAL TRUST X 7850 A Interest J r

1 4 9 . ’¢,"ELL.S [;ARGO CAPITAL X II 7875 A Interest .I T

1 5 1 1 . FED FARM CR BK 4900 A l n t e r c . s l Sold 03/06/09 K

1 5 1 . MORGAN STANLEY BANK S&P 500 CD A Interest L TZERO COUPON

1 5 2 . JP MORGAN S& P 500 EQUITY CD ZER() A Inlercsl K TCOUPON

1 5 3 . CAPMARK BANK MIDVALE UT CD C lnteresl L T5050



FINANCIAL DISCLOSURE REPORT Name of P .... R e p o r t in g D a t e o l ’ R e p o r !

Page 13 of 1.6 PRATT, ROBERT W . 0 4 1 2 7 / 2 0 1 0

V I I . INVESTMENTS and T R U S T S - . i . . . . . . . . t u , , transacthms (Includes those of spo ..... nd d epende m childret ,: see pp..?4-60 o f J il ing instructions’.)

1~] NONE (No reportable income, assets3 or transactions.)

........... A~ ............ ~ ~ .........I ......~ ..... ~: ........................... .....

D e s c r i p t i o n o f A s s e t s ] a c o m e d u r i n g~

G r o s s v a l o e a ~ e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(including trust .... ts ): ~ep~r~!ngper.iod .. ] 0~p?rtingperiod

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u m ~ T y p e ( e . g . , Value , Value T y p e ( e . g . , ~ Date Value G a i n Idenoy of

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 1 d i v . , r e n t , ( M de 2 ~ M e t h o d buy, sell, ~ m m / d d c v y C o d e 2 C o d e I h u v e r ~ s e l l e r] (A-H) ~ o r i n t . ) ( J - P ) ~ C o d e 3 r e d e m N 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 )

154. WILLt,S FARGO BK ZERO CPN A Interest 3 T

155. MORGAN STANLE’¥" DEAN W1TTER

156. MORGAN STANLEY BANK A Interest J T

t57. ABBOTT LABORATORIES A Dividend K T B uy 05/2!/09 J

1 5 8 . ABBOTT LABORATORIES A Dividend Bu y 0 6 / ( ’ ; ’ 5 . . ’ 0 9

(add’l)

1 5 9 . ABBOTI" I.ABORATOR~ES A Dividend Bu y 08/12/09(add’i)

1 6 0 . AI.TRIA GROUP INC A Dividend J T Bu y 0 2 7 1 3 / 0 9

1 6 1 . A’I"&T INC B Dividend K T B ~ . ~ y 01/2&09(add’l)

1 6 2 . AT&T !NC A Dividend Bu y ( 1 6 / 0 5 / 0 9

(add’ I )

1 6 3 . BOEING CO A Dividend J T Bu y ( 1 2 / 0 2 / 0 9

(add’l)

1 6 4 - . BOEING CO A Dividend Bu y 02]10/09(add’l)

1 6 5 . (?()CA COLA CO A Dividend J T Bu y 0 8 / 1 3 A ) 9

t 6 o . DWS DREMAN VALUE iNC EDGE A Dividend J TFUND

1 6 7 . GENER~’XL ELECFRIC CO A Dividend J q f Bu y 01/20/09 J

(add’l)

1 6 8 . ISItAftE$S&PI00INDEX FD A Dividend J T

1 6 9 , PLUS ON TR I;’ I’SEiXINIIUA CttlNA A Dividend J T Bu y 08/17/’09 I

(addq)

1 7 0 . JOHNSON & JOHNSON A Dividend J T B u y ’ 01/20/09 J



FINANCIAL DISCLOSURE REPOR T It,’ .... f Person Reporting Date 0fRei~arl

Page 14 of 16

I Prb~’rT, ROBERT W.

VII. INVESTMENTS and TRUSTS --i ....... . . ~ . , , , t ...... i ons ( Includes those 4spo~e a nd de~ ndent chi ldren; s , e pp. 34-60 of f i l ing ins t r t te t i ons. )

~ NONE (No reportable income, assets, or transactions.)

........... ~T ............. ~. ........ c. " .... i~ ...............Description of Assets i IJicome during Gross value at gll0 Transaclions during reporting period

(including trust assets) ~ reporting period of reporting period

~ ~) ] (~) O) : (2) O)~

~ (~) - (s), ............Place" (X) " a fter each ass et ;Amoun: ] Type (c,g.~ Value

~Valu~ Type (c ,g . , ] Date ~ Value Gain Identi ty of

Code 1 : div., toni, Code 2 ~ Method buy, sell, :mm/dd/yy Code 2 Code 1 buyc~%ellerxempt f rom pr ior disc losure

~i (A-H) or int.) ( J-P) Code 3 redemption) ~ (J-P) (A -H ) (ifpr[wtte

............................... ~ ~( o - w ) , ~ , ~ , . ~ , ~ i , . . )

171. ?HARMACEUTICAL IlOLDERS TR A Div i dend K T Sold 10/27/09 J

( p a r t )

172. PHARMACEUTICAl_ HOLDERS TR None Sold l 1/ t 6 /09( p a r t )

173 . PROCI’OR & GAMBLEA Div i dend J T Bu y 0 1 / 2 2 / 0 9

J

(add’l)

174. PROCI’OR & GAMB1.E A l ) ividcnd B uy ~02/12/09 J

(add’l)

175. STANDARD & POORS MIDCAP 400 B Dividend L T

1 7 6 . 3M COMPANY A Dividend Sold 0 8 , / 1 2 / 0 9 J

1 7 7 . AEGON NV 7250 A Dividend J T

178, PUBLIC STORAGE 7000 B Dividend K T

1 7 ’ : ) . ROYAL BK SCOTLAND GP 7250 A Dividend ,1 T

1 8 0 . ML PFD CAP TRUST 111 7375 A Interest J T

1 8 1 . MORGAN STANLEY DEANWIT1ERl l L 4 . # 3 :

1 8 2 . ALLIANCE BERNSTEIN SMALL CAP None J TGROWTH



FINANCIAL DISCLOSURE REPO RT ~ o ~ , e o f P e r s o n Reporting Date

Page 15 of 16 p m ~ ’ r ’r , ~ O ~ E R 1 " W .

V I II . A D D I T IO N A L I N FO R M A T I O N O R E X P L A N A T I O N S .



FINANCIAL DISCLOSURE REPORT . ~ ’ . m e o f P e . . .. R e p o r t in g D a t e o f R e p o r t

Page 16 o f 16 P P ~ A ~ a ’, R O B E R T W . 0 4 / 2 7 / 2 0 1 0

IX. CERTIFICATION.

! certify that all information given above (including information pertaining to my spouse anti minor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicaNe statutoryprovisions perm itt ing non-disclosure.

1 further cert ify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S,C. § 7353, and Judicial Conference regulations.

Si

NOTE: ANY INDIVIDUA L W HO K NOWINGLY AND W ILFULI ,Y FALSIFIES OR FAILS TO FILE THIS REPORT MAY B E SUB.IECT TO CIVILAND CRIMINA L SANCT IONS (5 U.S,C. app. § 104)

FILING INSTRUCTIONS

Mail s igned original and 3 additional copies to:

Comm ittee on Financial DisclosureAdm inistrative Office of the U nited States CourtsSuite 2-301One Co lurnbus Circle, N.E,W ashington, D.C. 20544

Documents

Robert W Pratt Financial Disclosure Report for 2009