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Judicial Watch • Brock D. Hornby – 2012

Brock D. Hornby – 2012

Brock D. Hornby – 2012

Page 1: Brock D. Hornby – 2012

Category:Federal Judges

Number of Pages:25

Date Created:January 3, 2014

Date Uploaded to the Library:May 22, 2014

Tags:Brock D Hornby, acorn, bonds, Estimated, Estate, 2012, Gross, trust, Market, assets, INVESTMENTS, transactions, Codes, dividend, reporting, Federal Judge, income, Judge


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Rev. 112013 
FOR CALENDAR YEAR 2012 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Hornby, D.Brock Court Organization District Maine Date Report 04/30/2013 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) District Judge (senior status)  Sa. Report Type (check appropriate type) Nomination Date Initial [{] Annual Sb. Amended Report Final Reporting Period 01/01/20 /31/20 Chambers Office Address 
United States District Court 
156 Federal Street 
Portland, 0410 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. POSITI0NS. (Reporting individual only; see pp. 9-13 filing instructions.)  NONE (No reportable positions.)  
POSITION  NAME ORGANIZATION/ENTITY Council Member  The American Law Institute  

Member, Committee Science, Technology and the Law The National Academies 
Power-of-Attorney 
Co-Trustee 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 

PARTIES AND TERMS 

04/30/2013 
III. NON-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income [{] NONE (No reportable non-investment income.)  
SOURCE AND TYPE  (yours, not spouse's) Spouse'S Non-Investment Income you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) SOURCE AND TYPE 2012 	self-employed management consulting, software development and rental property 

IV, REIMBURSEMENTS -transportation, lodging,food, entertainment. (Includes those spouse and dependent children; see pp. 25-27 qffi!ing instructions.) NONE (No reportable reimbursements.)  
SOURCE  DATES  LOCATION  PURPOSE  ITEMS PAID PROVIDED  The National Academies New York State Bar Association  03/25-27/20 03/27-28/20  Washington, Toronto, Ontario, Canada  Summit  

CEELI Institute 6/3-11/2012 Tunis, Tunisia Trainer, Building Judicial paid travel, lodging and meal expenses Integrity Program 
The American Law Institute 10/17-20/2012 New York, 	Council Meeting paid travel, lodging and meal expenses 	
CEELI Institute 12/11-16112 Prague, Czech Republic Gathering Central paid travel, lodging and meal expenses Eastern European Judicial Exchange Network 

04/30/20 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) 
[{] NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 

04/30/20 
VII. INVESTMENTS and TRUSTS --income, value, transactions (1nc111des those spo11se and dependent children; see pp. 34-60 filing instmctions.J NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
reporting period  ofreporting period  

(!) 
(2) (I) (2) (4) (5) 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity Code 

buy, sell, mm/dd/yy Code Code buyer/seller (A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private (Q-W) transaction) 
div., rent, Code Method 
Jncome Gain Codes: =$1,000 less =$1 ,001 -$2,500 =$2.501 -$5,000 =$5,001 -$1 5.000 =$15,001 -$50,000 (See Columns and D4) =$50,001 -$100,000 =$100.001 -$1.000.000 =$1 .000.001 -$5,000.000 =More than $5,000.000 Value Codes =$15,000 less K=$15,001 -$50,000 =$50.001 -$100.000 100.00 -$250.000 

(See Columns and 03) =$250.001 -$500.000 0=$500,001-$1.000.000 =$1,000.001 -$5.000.000 1'2 =$5,000.001 -$25,000.000 =$25.000.001 -$50.000.000 =More than $50.000.000 
Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market (Sec Column C2) =Other =Book Value =Estimated 

04/30/2013 

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing ins1r11ctions.J NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trnst assets)  reporting period reporting period  

(I) (2) (I) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

18. Portland Airport bonds  Interest  Buy (add'!)  08/03/12  
19. Puerto Rico Public Buildings Auth'y bond  Interest  
20. Commonwealth Puerto Rico bonds  Interest  Redeemed (part)  05/03 /12  
21.  Buy (add'!)  05107112  
22. Univ. Maine System bonds  Interest  Buy (add'!)  09120112  
23. Puerto Rico Elec. Power Auth'y bonds  Interest  
24. Puerto Rico Aqueduct Sewer Auth'y bonds  Interest  
25. Lewiston, public improvement bond  Interest  
26. Windham, gen'! purpose bond  Interest  
27. Gov't Facilities Auth'y bond  Interest  
28. RBC Wealth Mgt money mkt acct  Interest  
29. Rowe Price Mutual Int'! Stock Funds  Dividend  
30. The MP63 Fund, Inc. (mutual fund)  Dividend  Sold  01126112  
31. Brokerage Acct Rowe Price  
32. -Cash Management Account  Interest  
33. -com stk General Electric Co.  Dividend  
34. -ADR Diageo PLC new  Dividend Income Gain Codes: =$1.000 less =$1,00 -$2.500 =$2.501 -$5,000 =$5,001 -$1 5,000  E=$1 5,00l -$50,000  
(See Columns and 04) 450.001 -$1 00.000 =$1 00.001 -$1 .000.000  111 =$1 .000.001 -$5,000.000  112 =More than $5.000.000 Value Codes =$15,000 less  K=$1 5.001 -$50.000 =$50.001 -$1 00.000 =$100,00 -$250.000  
(See Columns and 03) =$250.00 -$500.000 =$500,001 -$1 .000.000 =$1 .000.001 -$5,000.000 =$5,000,001 -$25.000.000  
1'3 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

04/30/2 013 

VII. INVESTMENTS and --income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofreporting period  

(2) 
(I) (2) (I) 
(3) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  

transaction) 
35. -com stk Avon Products *See Sec. VIII. note  Dividend  
36. -com stk First Service Corp.  None  
37. -Barclays Bank PLC iPath Index Fund  None  
38. -com stk Newell Rubbermaid  Dividend  Donated  
39. -Vanguard Group Mutual Funds  
40. ---Balanced Index fka Asset Allocation  Dividend  
41. ---Value Index Fund  Dividend  
42. ---Inflation Protected Security Inv  Dividend  
43. ---Strategic Equity Fund  Dividend  
44. ---Tax Mgt Int'! Fund  Dividend  
45. -Alpine Funds  
46. ---Dynamic Dividend  Dividend  
47. ---International Real Estate  Dividend  
48. ---Alpine Found. Fund  Dividend  
49. -Bridgeway Ultra-Small Company Mkt Fund  Dividend  
50. -Matthews Asian Funds  
51. ---Asia Growth Investor  None Income Gain Codes: =$1 .000 less =$1,001 -$2.500 42,501 -$5.000 45.001 -$15.000  
(See Columns and 04) =$50.001 -$1 00.000 =$I 00.00 -$1 .000.000 =$1 .000,00 -$5.000.000 =More than $5.000.000 Value Codes =$1 5.000 less =$15 ,00 -$50.000 =$50.00 -$100.000 =$100.001 -$250.000  
(See Columns and D3) =$250.00 -$500.000 =$500.00 -$1 ,000.000 =$1 ,000,00 -$5,000.000 =$5.000.00 -$25,000.000  
1'3 =$25.000.00 -$50.000.000  1'4 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated =$1 5.001 -$50,000 

04/30/2013

VII. INVESTMENTS and TRUSTS --income, va111e, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofreporting period  

(I) 
(2) 
(2) {I) (2) 
(4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mmlddlyy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

52. ---India  Dividend  
53. -The Fairholme Fund  None  
54. *See Sec. VIII. note  
55. -com stk H.J. Heinz Co.  Dividend  
56. -com stk Illinois Tool Works  Dividend  
57. IRA Brokerage Acct Rowe Price  
58. -Cash Management Acct  Interest  
59. -com stk Intel Corp.  Dividend  
60. -com stk Starbucks Corp.  Dividend  
61. -com stk Popular, Inc.  None  
62. -Washington REIT  Dividend  
63. -com stk Pioneer Natural Resources  Dividend  Sold (part)  04/30/12  
64. -ETF Shares MSC! Japan  Dividend -mutual Fairholme Fund  None  
66. -Blackrock Int'! Bond Portfolio  Dividend  
67. -American Campus Communities REIT  Dividend  
68. -com stk Grupo Televisa  Dividend Income Gain Codes: =$1 .000 less =$1,001 -$2,500 =$2,501 -$5.000 =$5,001 -$1 5,000 415,001 -$50,000  
(See Columns and 04) =$50.001 -$100,000 =$100,001 -$1 .000.000  Ill .000.001 -$5,000,000 =More than $5,000,000 Value Codes =$1 5.000 less =$15,001 -$50.000 =$50.001 -$1 00,000 =$!00,001 -$250.000  
(See Columns and 03) =$250.00 -$500.000 =$500,001 -$1 .000.000 41.000.001 -$5,000.000 =$5,000,00 -$25,000.000 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

04/30/2013 
VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.; NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period ofreporting period 
(I) 
(2) (I) (3) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

69. -Turkish Investment Fund  Dividend  
70. -Prudent Bear Fund  None  
71. -com stk Peabody Energy Corp.  Dividend  
72. -com stk Patriot Coal Corp. (Y)  
73. -Alpine Total Dynamic Div. Fund  Interest  
74. -T. Rowe Price Emerging Europe Fund  Dividend  
75. -Matthews Korea Fund  Dividend  
76. -com stk Amazon.com  None  Sold (part)  04130112  
77. -Wisdom Tree Large Cap Div Fund  Dividend  
78. -Facebook Inc.  None  Buy  07/05/12  
79.  Buy (add'!)  07/27/12  
80. IRA Brokerage Acct Rowe Price  
81. -Cash Management Acct  Interest  
82. -com stk DWS World Income Fund fkaDWS Europe Equity Fund  None  Sold  02/01/12  
83. -com stk Powershares QQQ  Dividend  
84. -com stk Immunogen Inc.  None  
85. -U.S. Global Investors Eastern Europe (mutual)  Dividend Income Gain Codes: =$1.000 less =$1 ,001 -$2.500 =$2.501 -$5,000 =$5,001 -$15.000  E=$1 5,001  $50,000  
(See Columns and 04) =$50.001 -$100.000 =$100.00 -$1,000.000 =$1 .000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$1 5.000 less =$1 5,001 -$50,000 =$50.001 -$1 00.000 =$100,001 -$250,000  
(Sec Columns and 03) =$250.00 -$500.000 =$500,00 -$1 .000.000 =$1 ,000.001 -$5,000,000 =$5.000,001 -$25,000.000 =$25.000.001 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

04/30/20 
VII. INVESTMENTS and -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets) reporting period  

Place "(X)" after each asset 

Value Value Type (e.g., Date Value Gain Identity exempt from prior disclosure Code 
Code Method buy, sell, mm/dd/yy Code Code buyer/seller (A-H) (J-P) Code redemption) (J-P) (A-H) (if private 

(I) (2) (2) (3) (4) (5) 

transaction) 
86. -Vanguard REIT Vipers  Dividend  
87. -com stk Coca Cola  Dividend  
88. -Vanguard Strategic Equity Fund  Dividend  
89. -com stk Cisco Systems Inc.  Dividend  
90. -Value Line Fund Inc.  None  
91. -Prudent Bear Fund  None  
92. -Fidelity Nordic Countries Fund  Dividend  
93. Shares MSC! Japan  Dividend  
94. -T. Rowe Price Africa Middle East Fund  Dividend  
95. shares SP Global Infrastructure Index Fund  Dividend  
96. -Vanguard FTSE All-World ex-US ETF  Dividend  
97. -Janus Triton Fund  Dividend  Buy  09/04/  
98. -Parnassus Equity Income Fund  Dividend  Buy  09104112  
99. Pension Plan Acct. TIAA-CREF  None  
100. Pension Plan Acct. TIAA-CREF  None  
IOI. 401K Plan CMC Interactive LLC  
102. -First Eagle Over Fund  Dividend  Buy (add'!)  02115112 Jncomc Gain Codes: =$1.000 less =$1,001 -$2.500 =$2.501 -$5,000 =$5.001 -$15.000 =$15.001 -$50,000 (See Columns and D4) =$50.001 -$100,000 =$100,001 -$1.000.000 =$1.000,001 -$5,000,000 =More than $5.000.000 Value Codes =$15.000 less =$15,001 -$50,000 =$50.001 -$100.000 =$100.001 -$250.000 
(Sec Columns and D3) =$250,001 -$500.000 0=$500,001-$1.000.000 =$1.000.001 -$5,000.000 =$5.000.001 -$25,000.000 
1'3 =$25.000,001 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market (Sec Column C2) V=Other =Book Value =Estimated 

04/30/2013 
VII. INVESTMENTS and TRUSTS --income, value, transactions r1nc111des those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofreporting period  

(I) (2) (I) (I) (2) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  

transaction) 
103.  -Am. Fds Growth Fund (RGAEX)  Dividend  Sold  08/08/12  
104.  -Perkins Mid-Cap Value Inv (JMCVX)  Dividend  
105.  -Royce Total Return Fund  Dividend  
106.  -Oakmark Equity Income Fund  Dividend  Buy (add'!)  02/15/12  
107.  -Selected American Fund  Dividend  Sold  02/14/12  
108.  -Columbia Acorn Fund  Dividend  Buy (add'!)  02/15/12  
109.  -Pimco Total Return Fund  Dividend  -Schwab Int'] Index Fund  Dividend  Sold  02/14/12  
111  -Principal Investors High Yield Fund  Dividend  -Landus Growth Investors  Dividend  Buy  08/09/12 13.  voting nonvoting com stk Mandel Investment Corp. (X)  Dividend  
114.  1/2 unit ltd. partnership int. Falls Development Assoc.,  ltd. real estate partnership purchased 12/30/85; total 16,489.50 installments completed 2/1 0/90  None  ltd. partnership int. Miraculous, LLC, ltd.  real estate partnership purchased /02 $50,000  Distribution  Minnesota Life:endowment life  Dividend Income Gain Codes: =$1. 000 less =$1 ,001 -$2.500 =$2.5 -$5.000 =$5 ,001 -$15.000 =$15. 001 -$5 0.000  
(See Columns and 04) =$5 0.001 -$1 00.000 =$1 00. 001 -$1, 000. 000 =$1. 000. 001 -$5. 000.000  ll2 =More than $5. 000.000 Value Codes =$15, 000or lcss  K=$15. 00I -$50.000 =$50,00I -$1 00.000 =$1 00. 001 -$25 0.000  
(See Columns and 03) =$25 0,00 -$5 00.000 =$5 00,00 -$1. 000. 000 =$1. 000. 001 -$5, 000.000 =$5.000. 001 -$25. 000.000 =$25. 000. 001 -$5 0.000.000 =More than 000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value  V=Othcr =Estimated  

04/30/20 
VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets Income during Gross value end Transactions during reporting period (including tmst assets) reporting period ofreporting period 
(2) (I) (2) (I) (2) (3) (4) (5) 
Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code Iexempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller (A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private (Q-W) transaction) 
120.  
121.  Family Member (power atty)  
122.  -AllianceBernstein Global Bond Fund Cl.  Dividend  
123.  -AllianceBernstein Global High Income Fund Inc.  Dividend  
124.  -Alpine Ultra Short Tax Opt. Income Fund Investor Cl.  Dividend  Sold  08/08/12  
125.  -Bank America Subord. InterNotes  Interest  Redeemed  06/15/12  
126.  -Calamos Convert. Opportunities Income Fund  Dividend  
127.  -Calamos Global Dynamic Income Fund  Dividend  
128.  -Calamos Strategic Total Return Fund  Dividend  
129.  -Cohen Steers Closed End Opportunity Fund Inc.  Dividend  
130.  -Cornerstone Strategic Value Fund Inc.  Dividend  Sold  08/08/12  -Cross Timbers Royalty Trust  Dividend  
132.  -Virtus Total Return Fund fka DCA Total Return Fund  Dividend  
133.  -Delaware River Port Auth'y PANJ Terminal Bonds  Interest  Redeemed  04/26/12  
134.  -Eaton Vance Ltd Duration Income Fund  Dividend  
135.  -Eaton Vance Tax Advantaged Div. Income Fund  Dividend  
136.  -Essex Cty Improve. Auth. Bonds  Interest  Sold  12/06/12 Income Gain Codes: 41.000 less =$1,001 -$2.500 =$2,501 -$5.000  D=$5,001 -$15,000 =$1 5.001 -$50,000  
(Sec Columns and D4) =$50.001 -$100.000 =$1 00,001 -$1 .000.000 =$1 ,000,00 -$5.000,000 =More than $5,000.000 Value Codes =$1 5,000 less =$15.001 -$50.000 =$50,00 -$100.000 =$100,001 -$250.000  
(See Columns and 03) =$250.00 -$500.000 =$500,00 -$1.000.000 =$1 ,000,001 -$5,000.000 =$5,000.00 -$25,000.000 =$25.000.00 -$50.000,000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

04/30/2013 
VII. INVESTMENTS and STS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
Income during Gross value end Transactions during reporting period 

(including trnst assets) reporting period reporting period 
(I) (2) (I) (2) (3) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

137.  -!st Tr. Strategic High Inc. Fund -became III 10/04/1  Dividend  Sold  05/16/12  
138.  -FL State Public Edu. Bonds  Interest  
139.  -Gen'! Elec. Cap. Corp. lnterNotes  Interest  
140.  -Gen'! Motors Acceptance Corp. SmartNotes  Interest  Redeemed  08/15/12  
141.  -Harris Cty Cultural Bonds  Interest  
142.  -Helios High Yield Fund  Dividend  
143.  -Hudson Cty Improve. Auth'y Bonds-Weehawken  Interest  
144.  -Hudson Cty Improve. Auth'y Bonds-Hudson Cty lease  Interest  Sold  12/06/12  
145.  -Inland Western Retail Real Estate Trust now Retail  None  Sold (part)  05104112  
146.  Properties America  
147.  -iShares iBoxx High Yield Corp. Bond Fund  Dividend  
148.  -iSharies iBoxx Invest. Grade Corp. Bond Fund  Dividend  
149.  -Invesco High Yield Invest. Fund Inc.  Dividend  Sold  05116112  
150.  -Invesco Van Kampen High Income Trust  Dividend  
151.  -JEA Elec. Sys. Rev. Elec. Bonds  Interest  
152.  -Lazard World Div. Income Fund Inc.  Dividend  Sold  08/08/12  
153.  -LMP Real Estate Income Fund Inc.  Dividend Income Gain Codes: =$1.000 less =$1,001 -$2.500 =$2.501 -$5,000 D=$5.00l -$15,000 E=$15.001 -$50,000 (See Columns and 04) =$50.001 -$100.000 =$100,001 -$1.000.000 41,000.001 -$5.000.000 112 =More than $5.000,000 Value Codes =$1 5,000 Jess =$1 5.001 -$50,000 =$50,001 -$100.000 =$100.001 -$250.000 

(Sec Columns and D3) =$250.00 -$500.000 =$500.001 -$1.000.000 =$1,000.001 -$5,000.000 =$5.000.001 -$25,000,000 =$25.000.00 -$50.000,000 =More than $50.000,000 
Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market (Sec Column C2) V=Othcr =Book Value =Estimated 

VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period ofreporting period 
(I) (2) (2) (4) (5) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) 
(A-H) (if private 
(Q-W) 	transaction) 
154.  -Neuberger Berman Real Estate Sec. Income Fund Inc.  Dividend  
155.  -New America High Income Fund Inc.  Dividend  
156.  -NJ Healthcare FACS Meridian Health Sys Bonds  Interest  Redeemed  01/1 1/12  
157.  -Nuveen Floating Rate Income Fund  Dividend  
158.  -Nuveen Floating Rate Income Opportunity Fund  Dividend  
159.  -Oppenheimer AMT-FREE Munis Fund Cl.  Dividend  
160.  -com stk Pace Oil Gas Ltd.  None  
161.  -Peace River/Manasota Reg! Wtr Bonds  Interest  
162.  -Pengrowth Enegry Corp. aka Pengrowth Energy Trust  Dividend  Sold  12/3 1/12  
163.  -Permian Basin Royalty Trust  Dividend  
164.  -Pimco Income Strategy Fund  Dividend  Sold  05/16/12  
165.  -Pimco Income Strategy Fund  Dividend  
166.  -com stk Provident Energy Ltd. (now Pembina Pipeline)  Dividend  
167.  -Prudential Financial Inc. lnterNotes  Interest  
168.  -Puerto Rico Aqueduct Sewer Bonds 2024 (grouped  Interest  
169.  -Puerto Rico Common. G/O RFDG Gen'! Purpose Bonds  Interest  Redeemed (part)  05/03112  
170.  -Puerto Rico Common. Hwys Streets Bonds  Interest Income Gain Codes: 1,000 less =$1,001 -$2,500 =$2,501 $5,000 =$5,001 -$15,000 E=$15,001 -$50,000 (Sec Columns and 04) =$50.001 -$100,000 4100.001 -$1.000.000 Ill =$1 ,000.001  $5,000,000 IJ2 =More than $5.000,000 Value Codes =$1 5.000 less =$1 5.001  $50.000 =$50.001 -$100.000 =$100,001 -$250,000 
(See Columns and D3) =$250,001  $500.000 =$500,001 -$1.000.000 =$1,000,001  $5,000.000 =$5,000.001 -$25,000,000 =$25,000,001 -$50.000,000 =More than $50.000.000 Value Method Codes =Cost (Real Estate Only) =Cash Market (Sec Column C2) =Appraisal =Assessment 
V=Othcr =Book Value =Estimated 

04/30/2013 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No repor.table income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period ofreporting period 
(I) (2) (2) (2) (3) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

171.  -Puerto Rico Sales Tax Fing Cofina Bonds Ser.  Interest  
172.  -Puerto Rico Sales Tax Fing Cofina Bonds 2010 Ser.  Interest  
173.  -Sabine Royalty Trust  Dividend  
174.  -San Juan Basin Royalty Trust  Dividend  
175.  -SPDR Barclays Capital High Yield Bond ETF  Dividend  
176.  -Texas State Tpke Auth'y Cent. Tpke Bonds  Interest  Redeemed  12/31112  
177.  -USA Loan Fund DST  Dividend  
178.  -Valero Energy Corp. New Notes  Interest  Sold  11/27/12  
179.  -Wells Fargo Advantage Multi Sector Income Fund  Dividend  
180.  -Western Asset Worldwide Income Fund Inc.  Dividend  
181.  -Zweig Total Return Fund Inc.  Dividend  
182.  -RBC Bank Account  Interest  
183.  -Clipper Fund Inc.  None  Sold  08/08/12  
184.  -DNP Select Income Fund Inc.  Dividend  Sold  05116112  
185.  -com stk NRG Energy Inc. New  Dividend  
186.  -SPDR SP Dividend ETF  Dividend  
187.  -com stk Goldcorp Inc.  Dividend Income Gain Codes: =$1 .000 less 1,00 -$2.500 =$2,501 -$5,000  D45.00l -$15.000  E=$1 5.001 -$50.000  
(See Columns and D4) =$50.001 -$1 00.000 =$100,00 -$1 .000.000 =$1 ,000,001 -$5,000.000  112 =More than $5,000.000 Value Codes =$1 5.000 less =$1 5,001 -$50.000 =$50.001 -$1 00,000 =$100.001 -$250,000  
(See Columns and D3) =$250.00 -$500.000 =$500,00 -$1 .000.000 =$1 ,000,001 -$5,000.000 =$5.000.001 -$25,000.000 =$25.000.00 -$50.000.000 =More than $50,000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

04/30/2013 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc111des those spo11se and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during rep011ing period (including trust assets) reporting period ofreporting period 
(I) 
(2) (I) (2) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

188.  -Credit Suisse Asset Mgt Income Fund Inc.  Dividend  
189.  -Blackrock Diversified Income Strategies Fund Inc.  Dividend  Sold  08/08/12  
190.  -Highland Credit Strategies Fund (now PYXIS)  Dividend  Sold  05/1 6/12  
191.  -Helios Strategic Income Fund Inc.  Dividend  
192.  -MFS Intermediate Income Trust  Dividend  Sold  05/16/12  
193.  -Pacholder High Yield Fund PHF  Dividend  
194.  -Putnam Master Intermediate Income Trust  Dividend  Sold  05/16/12  
195.  -NJ Econ. Dev'! Auth'y Motor Vehicle Bonds  None  Redeemed  07/12/12  
196.  -NJ Transp. Fund Rapid Transit Bond due 2020  Interest  Sold  12/06/  
197.  -NJ Transp. Fund Bonds  Interest  Buy (add'l)  06/19/12  
198.  Buy (add'!)  06/21 /12  
199.  Buy (add'l)  07/05/12  
200.  Buy (add'!)  08/09/  
201.  -Virgin Islands Pub. Fin. Auth'y Bonds  Interest  
202.  -NJ Econ. Dev. Auth'y Bonds  Interest  Buy (add'l)  02/25/  
203.  -NJ Educ. Auth'y Princeton Bond  Interest  
204.  -Puerto Rico Pub. Bldg. Auth'y Gov'! Fae. Revenue Bond  Interest Income Gain Codes: =$1 .000 less =$1.001 -$2.500 42.501 -$5.000 =$5.001 -$1 5.000 =$1 5.001 -$50.000  
(Sec Columns and 04) =$50,00 -$1 00,000  G=$100.00l 1.000.000 =$1 .000.001 -$5.000.000 =More than $5.000.000 Value Codes =$1 5.000 less  K=$1 5,00l -$50.000 =$50.00 -$I 00.000 =$1 00.001 -$250, 000  
(See Columns and 03) =$250.001 -$500.000 =$500,001 -$1 .000.000 =$1 .000,001 -$5.000.000 =$5.000.001 -$25.000.000  
1'3 =$25.000.001 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value  V=Othcr =Estimated  

04/30/2013 
VII. INVESTMENTS and --income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofreporting period  

(I) 
(2) (I) (2) (3) 
(5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

205.  -Gloucester Cty Improvement Auth'y Bond  Interest  
206.  -Calamos Global Dynamic Income Fund  Dividend  
207.  -Prudent Bear Federated Equity Funds  None  Sold  08/08/12  
208.  -RMR Real Estate Income Fund  Dividend  Sold  08/08/12  
209.  -Puerto Rico public improvement bonds  Interest  Buy  01/13/12  
210.  Interest  Buy (add'!)  05/04/12  
211.  -East Windsor Edu bond  Interest  Buy  02125112  
212.  -NJ Tpike Auth'y bonds  Interest  Buy  05/17/12  
213.  -Bloomfield Twp Edu  Interest  Buy  06/19/12  
214.  -N. Hudson Sewer Auth'y bond  Interest  Buy  08117/12  
215.  -Goldman Sachs Group bond  Interest  Buy  08/02/12  
216.  
217.  Member (co-trustee)  
218.  -Alpine Global Premier Properties Fund  Dividend  Sold  08/08112  
219.  -AllianceBernstein Global High Income Fund Inc.  Dividend  
220.  -Blackrock Senior High Income Fund  Dividend  Sold  05116112  -Credit Suisse Asset Mgt Fund **See Sec. VIII. note  Dividend 1ncome Gain Codes: =$1.000 less ,00 -$2.500 42.50 -$5.000 0=$5.001-$15.000 =$15.001 -$50.000 (Sec Columns and 04) =$50.001 -$100,000 =$100,001 -$1.000.000 Ill =$1,000.001 -$5.000,000 112 =More than $5,000.000 Value Codes =$15.000 less K=$15,00l -$50.000 =$50.001 
-$100.000 =$100.001 -$250,000 

(See Columns and 03) =$250,001 -$500.000 0=$500,001-$1.000.000 =$1.000,001 -$5,000,000 =$5.000.001 -$25,000.000 =$25.000,001 -$50,000,000 =More than $50.000.000 
Value Method Codes =Cost (Real Estate Only) =Assessment ""Cash Market =Appraisal 
(Sec Column C2) =Other =Book Value =Estimated 

04/30/20 
VII. INVESTMENTS and TRUSTS --income, va111e, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (2) (2) (I) (2) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

222.  -Virtus Total Return Fund flea DCA Total Return Fund  Dividend  
223.  -Detroit Mich Water Supply Sys Bonds  Interest  
224.  -DNP Select Income Fund Inc.  Dividend  Sold  05/16/12  
225.  -First Strategic High Income Fund  Dividend  Sold  05/16/12  
226.  -Fort Myers Improvement Bonds  Interest  
227.  -Helios Advantage Income Fund Inc.  Dividend  Sold  05/16/12  
228.  -Highland Credit Strategies Fund (now PYXIS)  Dividend  Sold  05/16/12  
229.  -Miami-Dade Cty Aviation Bonds  Interest  
230.  -RBC Bank Prime Fund RBC Reserve Class  Interest  -nonvoting stk Mandel Investment Corp.  Dividend  Distributed  06/12/12  
232.  -iShares iBoxx High Yield Corporate Bond Fund  Dividend  
233.  -Helios High Income Fund  Dividend  Sold  05/16/12  
234.  -Helios Strategic Income Fund  Dividend  
235.  -Helios Multi Sector High Income Fund  Dividend  Sold  05116112  
236.  -Invesco High Yield Investments Fund  Dividend  Sold  05/16/12  
237.  -Invesco Van Kampen Senior Income Trust  Dividend  Sold  08/08112  
238.  -MFS Intermediate Income Trust  Dividend  Sold  05/16112 Income Gain Codes: 1.000 less =$1,001 -$2.500 =$2,501 -$5.000  D=$5,00l -$1 5,000 =$15.001 -$50,000  
(See Cohunns and D4) =$50.001 -$100.000 =$100.001 -$1 .000.000 =$1 ,000.001 -$5,000.000 =More than $5.000.000 Value Codes =$1 5.000 less =$1 5.001 $50.000 =$50.001 -$1 00.000 =$100.001 -$250.000  
(See Columns and D3) =$250,001  $500.000  0=$500,00 -$1 .000,000 =$1 ,000,00  $5,000.000 =$5,000.00 -$25,000.000 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

04/30/2013 
VII. INVESTMENTS and TRUSTS --income, value, transactions r1ncllides those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during  reporting period  
(including trnst assets)  reporting period  ofreporting period  
(I)  (2)  (I)  (2)  {I)  (2)  (3)  (4)  (5)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
{A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

239.  -Neuberger Berman Real Estate Sec. Income Fund  Dividend  
240.  -Neuberger Berman High Yield Strategies Fund  Dividend  
241.  -Pimco Income Strategy Fund  Dividend  Sold  05116112  
242.  -com stk Pengrowth Energy Corp.  Dividend  Sold  12/3 1/12  
243.  -Putnam Master Intermediate Income Trust  Dividend  Sold  05/16/12  
244.  -SPDR Series Trust Barclays High Yield Bond ETF  Dividend  
245.  -Zweig Total Return Fund Inc.  Dividend  
246.  -NJ Tpike Auth'y bond  Interest  Buy  05/17/12  
247.  -Miami Revenue bond  Interest  Buy  05/22/12  
248.  -Univ. Maine Sys bond  Interest  Buy  05124112  
249.  -Cape Coral water sewer bond  Interest  Buy  05129112  
250.  -Mass. Port Auth'y bond  Interest  Buy  06/04/12  -MD Dep't ofTransp. bond  Interest  Buy  061041  
252.  -NJ State Transp. Auth'y bond  Interest  Buy  06/2 1/12  
253.  -Maine Health Higher Edu bond  None  Buy  08/09/  
254.  
255.  Member co-trustee) Income Gain Codes: =$1 .000 less =$1.001 -$2.500 =$2.501 -$5.000 =$5.001 -$15,000 =$15.001 -$50,000 (Sec Columns Ill and D4) =$50.001 -$100.000 =$100.001 -$1.000,000 =$1 ,000.001 -$5.0-00.000 =More than $5.000,000 
Value Codes =$15.000 less =$15,001 -$50.000 =$50.001 -$100.000 =$100.001 -$250.000 

(Sec Columns and D3) =$250.00 -$500.000 =$500,001 -$1.000.000 =$1,000.001 -$5,000,000 =$5.000.001 -$25,000.000 
1'3 =$25.000.00 -$50.000.000 =More than $50.000.000 
Value Method Codes =Cost (Real Estate Only) =Cash Market =Appraisal =Assessment 
(Sec Column C2) V=Othcr =Book Value =Estimated 

04/30/2013 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes t1tose spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) (2) (I) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

256.  -AAG Holding Co. Inc. debentures  Interest  Sold  07/1 3/12  
257.  -pfd ADR Aegon N.V.  Dividend  Sold  10/26112  
258.  -Alpine Total Dynamic Div. Fund  Dividend  
259.  -com stk warrants American Int'! Group Inc.  None  Sold  03/02/12  
260.  -pfd stk Apartment Investment Management Co.  Dividend  Sold  06115112  
261.  -com stk Ares Capital Corp.  Dividend  
262.  -ADR Banco Santander, S.A.  Dividend  
263.  -ADR Barclays Bank PLC  Dividend  
264.  -com stk Blackstone Group L.P.  Dividend  
265.  -Brandywine Realty Trust  Dividend  Sold  05103112  
266.  -BRT Realty Trust  None  Sold  05103112  
267.  -Calamos Convert. Opportunities Income Fund  Dividend  
268.  -CBRE Clarion Global Real Estate Income Fund  Dividend  
269.  -com stk Citizens Republic Bancorp Inc.  None  
270.  -Clipper Funds Inc.  Dividend  -com stk Coeur Alene Mines Corp.  None  
272.  -com stk Coming Inc.  Dividend Income Gain Codes: =$1.000 less =$1 ,001 -$2.500 =$2,501 -$5,000 =$5,001 -$15.000 =$15.001 -$50,000  
(See Columns and D4) =$50,001 -$1 00,000 =$1 00.00 -$1 ,000.000 =$1 ,000,001 -$5,000.000 =More than $5,000.000 Value Codes =$1 5,000 lcss =$1 5,001 -$50.000 =$50,00 I00.000 I00,00 -$250.000  
(Sec Columns and D3) =$250,001 -$500,000 =$500,001 -$1 .000.000 =$1,000,00 -$5,000,000 =$5.000,001 -$25,000.000 =$25,000.00 -$50,000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value  V=Othcr =Estimated  

04/30/2013 

VII. INVESTMENTS and TRUSTS --income, vatue, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  
(including trust assets)  reporting period  ofreporting period  

Transactions during reporting period 
(1) 
(2) (3) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

273.  -pfd stk Dillards Capital Trust  Interest  
274.  -Dodge Cox Int'! Stock Fund  Dividend  
275.  -com stk Donnelley Sons Co.  Dividend  
276.  -com stk Eastman Kodak  None  Sold  03/02/12  
277.  -Eaton Vance Ltd Duration Income Fund  Dividend  
278.  -com stk Exxon Mobil Corp.  Dividend  
279.  -Fidelity Municipal money mkt  Interest  
280.  -First Industrial Realty Trust Inc. PFD  Dividend  Sold  12/21/12  
281.  -com stk General Motors Co.  None  
282.  -pfd stk General Motors Co.  Dividend  
283.  -ADR Gerdau, S.A.  Dividend  
284.  -GMAC LLC Note  Interest  
285.  -Great At! Pac Tea Inc. Note  None  
286.  -Hodges Fund  None  
287.  -com stk Hudson Pacific Properties Inc.  Dividend  
288.  -Hussman Strategic Growth Fund  Dividend  
289.  -pfd stk ING Groep, N.V. PFD  Dividend Income Gain Codes: =$1.000 less =$1,00 -$2.500 =$2.501 -$5,000 =$5.001 -$15.000 =$15.001 -$50,000 (See Columns and D4) =$50.001 -$100.000 =$100,001 -$1,000,000 =$1,000,001 -$5.000.000 =More than $5,000.000 
Value Codes =$1 5.000 less =$1 5,001 -$50.000 =$50.00 -$I 00.000 =$100.001 -$250.000 

(See Columns and D3) =$250.00 -$500,000 =$500,001 -$1.000.000 =$1,000.001 -$5,000,000 =$5,000,001 -$25,000,000 
1'3 =$25.000.001 -$50.000.000 =More than $50.000.000 
Value Method Codes =Appraisal =Cost (Real Estate Only) ""Cash Market =Assessment 
(See Column C2) V=Othcr =Book Value =Estimated 
04/30/20 
VII. INVESTMENTS and TRUSTS -income, va111e, transactions r1nc111des those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofreporting period  

(2) (I) (2) (3) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

290.  -ADR !tau Unibanco Holdings, S.A.  Dividend  Buy (add'l)  10/17/12  
291.  -com stk Lee Enterprises Inc.  None Sold  03102112  
292.  -Lexington Realty Trust  Dividend  
293.  -Mkt Vectors ETF Trust Mkt Vectors India Sm. Cap Index ETF  Dividend  
294.  -Market Vectors Vietnam ETF  Dividend  
295.  -com stk McCormick Schmicks Seafood Restaurants Inc.  None Sold  01104112  
296.  -com stk Merck Inc  Dividend  
297.  -com stk Morgan Stanley  Dividend  
298.  -pfd stk MPG Office Trust Inc.  None  Sold  03/02/12  
299.  -New Jersey State Tpk Auth. Revenue Bonds  Interest  
300.  -ADR Nokia Oyj  Dividend  -Nuveen Global Value Opportunities Fund  Dividend  
302.  -Nuveen Quality Preferred Income Fund  Dividend  
303.  -pfd stk PartnerRe Ltd. PFD  Dividend  
304.  -ADR Petroleo Brasileiro, S.A. Petrobras  Dividend  
305.  -Pimco High Income Fund  Dividend  
306.  -pfd stk Realty Income Corp.  Dividend  Sold  03/01/12 Income Gain Codes: ,000 less =$1,001 -$2.500 =$2.501 -$5,000  D=$5,001 -$1 5.000 =$15.001 -$50.000  
(See Columns and D4) =$50,001 -$100.000 100,00 -$1 .000,000 =$1 .000.001 -$5.000.000  fl2 =More than $5.000.000 Value Codes =$I 5,000 less  K=$1 5,00J -$50.000 =$50,00 -$I 00.000 =$100,001 -$250.000  
(See Columns and D3) =$250.00 -$500.000 =$500,00 -$1 .000.000 =$1 ,000.001 -$5,000.000 =$5.000.001 -$25.000.000 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  

04/30/2013 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Inctudes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end 

Transactions during reporting period 
(including trust assets) reporting period reporting period 
(2) (1) (2) (2) (3) (4) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

307.  -com stk Robert Halflnt'l Inc.  Dividend  
308.  -pfd stk Royal Bank Scotland Group PLC PFD  Dividend  
309.  -com stk Ruths Hospitality Group Inc  None  Sold  03/02112  
310.  -pfd stk Green Realty Corp. Ser.  Dividend  Sold  09/24/12  
311.  -pfd stk Green Realty Corp. Ser.  Dividend  Sold  07/13/12  
312.  -pfd stk Sterling Bancorp Trust PFD  Interest  -ADR Tata Motors Ltd.  Dividend  
314.  -pfd stk Taubman Centers Inc.  Dividend  Sold  09/04112  
315.  -Third Ave. Cap Value Fund Inc.  Dividend  
316.  -com stk Valley National Bancorp.  Dividend  
317.  -com stk Vishay Intertechnology Inc.  None  
318.  -pfd stk Vornado Realty Trust  Dividend  
319.  -ADS CTRIP.com Int'! Ltd.  None  Buy  03/08112  
320.  -com stk Freeport McMoran Copper Gold Inc.  Dividend  Buy  03/091  -pfd stk EPR Properties  None  Buy  10/09/12  
322.  -ADR Gold Fields Ltd.  None  Buy 0/09/12  
323.  Sold 102112 Income Gain Codes: ,000 less =$1 ,00 -$2,500 =$2,501 -$5.000 =$5.001 -$15.000 =$15.001 -$50,000  
(See Columns and D4) =$50.001 -$1 00.000 =$100,00 -$1 .000,000 =$1 .000,001 -$5.000.000 =More than $5.000.000 Value Codes 415,000 less  K=$1 5,00l -$50,000 =$50,001 -$1 00.000 =$100,001 -$250.000  
(See Columns and D3) =$250.00 -$500.000 =$500,00 -$1 ,000.000 =$1 .000.00 -$5,000.000 =$5.000.001 -$25,000,000 =$25.000.00 -$50,000.000 More than $50,000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

04/30/2013 
VII. INVESTMENTS and TRUSTS --income, vatue, transactions r1nctudes 11iose spouse and dependent children; see PP 34-60 filing instructions.; NONE (No reportable income, assets, transactions.) Description Assets Income during Gross value end Transactions during reporting period (including trnst assets) reporting period reporting period 
(I) (2) (I) (3) (4) 
(5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  

transaction) 
324.  -com stk Cisco Sys Inc.  Dividend  Buy  10/I 1/12  
325.  -ADR France Telecom  None  Buy  10/12/12  
326.  -com stk ATT Inc.  None  Buy  10/15/12  
327.  -Select Income REIT  None  Buy  10/I9/12  
328.  -com stk Equity Residential  None  Buy  10/22/12  
329.  Sold  11102112  
330.  -Whitestone REIT  Dividend  Buy  10/25/12  -com stk Microsoft Corp.  Dividend  Buy  10/26/12  
332.  -com stk CSX Corp.  Dividend  Buy 1/08/12 Income Gain Codes: =$1 ,000 less =$1 ,001 -$2.500 =$2,501 -$5,000 =$5,001 -$15.000 =$15.001 -$50,000  
(See Columns and 04) =$50.001 -$1 00.000 =$1 00.001 -$1 .000,000 =$1 .000,001 -$5,000,000 =More than $5.000.000 Value Codes =$1 5.000 less =$1 5,001 -$50.000 =$50,00I -$1 00.000 =$100.001 -$250.000  
(See Columns and 03) =$250.00 -$500.000 =$500,001 -$1 .000.000 =$1,000.001 -$5,000,000 =$5.000.001 -$25,000.000 =$25.000.00 -$50.000.000 =More than $50.000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
Hornby, D.Brock 
04/30/2013 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate part report.) Part VII. Investments and Trusts, Line combines into one entry the two entries found Lines and the 2011 Report. **Part VII. Investments and Trusts, Line 221: Error 2011 Report -asset not sold. 

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature: D.Brock Hornby 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 

Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544