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Judicial Watch • William O Bertelsman Financial Disclosure Report for 2009

William O Bertelsman Financial Disclosure Report for 2009

William O Bertelsman Financial Disclosure Report for 2009

Page 1: William O Bertelsman Financial Disclosure Report for 2009

Category:Financial Disclosure

Number of Pages:17

Date Created:November 11, 2013

Date Uploaded to the Library:November 23, 2013

Tags:bertelsman, William O Bertelsman, education, Global, program, SAVINGS, william, 2009, INVESTMENTS, TRUSTS, dividend, Financial Disclosure, ICE, CIA, financial, income, Judge


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1/2olo  FOR CALENDAR YEAR 2009 u~.c. a??. ~om~:: Ptr~ou Reporting (l~ frame, lir~ midd]~ inlt~l) Court OrganL~tion Date Report  
Bertelsman, William  KY-ED  05/11/2010  

IMPORTANT NOTES: T~e ~naruc~ns ~ccompanying th~* form rnu# foilawe* Complete all pa~ts, c.hecldng NONE box for each part e~e you ave r~portable information. Sign la~ page. 	Ovt~er 529 Trust Plarm #1-#9 through Kentucky Education S~vings Plan mad Michigan Education Program NO~ (No reportable agreements 
Bertelsman, William 

llI. NON-INVESTMENT INCOME. ~,a~,,~,ro~~ Filer% Non-~vatment ~come 
NO~ (~o reportable non-i~es~ent ~ncome.) 

DA~ SO~CE T~E Spouses Non-Investment Income -lf you were marritd d~ring any po~on the reporting year, omplete thi~ seaion. 
[Dollar amount not rsquir~d except for honorari~J NONE (No reportable non-investment income.} DATE. SOURCE AND TYPE 
IV. REIMBURSEMENTS -~on,~. to~.~oo~ ,~t,n~,,~ 
~lnchde$ ~ose ~o~ ~denf c~en; s~e pp. 2~2 filing i~~o~) 
NO~ (No re~rtable reimbursements.) 
SO~CE LOCATION P~OSE 
D,~ ora,,~. 05/1 l/2D10 
~CO~ 

~ou~,nott~ute~)  
~EMS P~D PROVIDED 

FINANCIAL DISCLOSURE ~PORT ~.~n~ NO~ (No report~le gifts.) 
$O~CE DESC~TION 

NO~ (No report~le li~ilities.) 

VII. INVESTMENTS TRUSTS 
NO~ repor~le income, ~se~, tr~actions.) D~cfipti~ of~ (~lud~ a~) r~g ~i~  
Ph~ ~" aR~ eanh ~mpt ~or d~el~  ~o~~e (e.g.,div.,  Valu~ ~de  V~u*  Ty~ (e.~,~y, sell, Value mml~ ~d*  I~nfi~ b~er/~ller  Vic~ ~a~ Gove~:nt R~o  Divi~nd  Dreyfus Municipal Bond Fund  Interest  Rndectaed  5118/09  Dreyfus intenncdiam ~nici~l B~d Fund  h~mst  Rc~med  5/18/09  ~Idline (f~ly Gold Fund)  None  
[,egg Mason Europe Fund (stook)  Dividend  U.S. Bmk, Fort Thomas,  Interest  Droflus Short Intermedidate Muniolpal Bead Fund  lnt:mst  Rdeemcd  5/18109 10. If.  Dupree, Kentucky- Short/M* Fund Dupree, Kentucky Tax Free Fund Two Undeveloped Lots Charlott* Co., Florida Fifth Third Bark (A0oount)  Interest Interest None Interest  Buy (addl) Buy (addl)  5118/09 5/18109 Value-Ksses$~d ~$25,000  
12. "13.  FitLh Third Bank. Fort Thomas, (Common Sham) Victory Established Value Fund  Dividend Dividend  
14.  Dreyfus Growth Inoome Fund  Dividend  
15.  Bank ofKentuolcy (Aoonunt)  Interest  
16.  Proct~r Getable Common stock  Dividend  
17.  Victory Small Company Fund  Dividend  

Name Person Reporting 	Date Report

FINANCIAL DISCLOSUREREPORT
05111nOlO Bertelsman, William 
VII. INVESTMENTS and TRUSTS -~,~,., ,~,, ~,~.~/~ o.~t~ 
NONE (No reportable income, assets, transactions.) 
Description Assets Income duz~ng Gross value end Transactiom during r~porting period(including tmg ~s~ts) re/xating period reporting period 
(I) C2) (1) (2) Place "(X)" after each asset Amount Type (~.g., Valu~ Value Type (e.g., Date Value Gain Identity ofexempt 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) tr~sactlon) 
18. NCR Corp. (common stock) 
None 	Sold 
6/3/09 
19. Pom~oy Solution~ Rcs. (Common stock 
None 	Sold 6/3109 
20. 
BankAmori~a Corp. (common slo~k) Dividend 
21. 
Bank Kentuoky (Account) Interest 
22. 
United States Savings Bonds (I) Interest 
23. 
Conegra Foods, Inc. Dividend 	Sold 6/3/09 
24. 
Sh~in William~ Dividend Sold 

6/3/09 
25. 
Tyco International Ltd. Dividend 	Sold 6/3/09 
26. 
DWS Dr~man High R~tum Fund Dividend 
27. 
Russell County, Hospital Interest 	Redeemed 6/I/09 
28. American Express Co. Dividznd 	Sold 6/3/09 
29. Kroger Co. Dividend 
30. Hm-lan County, Health Car~ Fa~s Laurel Inte~st
Pmject 
31. Eastern Oniv. Rcvs. Sy$ (Du~ 2/I109) Interest 	Redeemed 
6/11109 
32. Barbonrville, EDK Bldg R~v (Union Interest 	Redeemed 1011/09 ACollege) 
33. 
J.M. Smuck~ Co. 

34.
 Comcast Corp. Class Dividend Dividend 

I.~e
ounno~o 
VII. INVESTMENTS and TRUSTS -i~e~me~al~e~tra~cti~m~cl~de~t~f~u~eanddePende~c~e~;$~epp.~4~f~g~m~) 
NONE (No reportable income, assets, transactions.) Dt~crlption Asscta (including txust ~ss~) Income during r~porting period Gross wluc rid repoSing period T~n.sactions during rrpor~g p~aod  
Plsc~ .(x). ~Ror ach ~s~t ~xempt from prior dlsclosu~ Amount Code (A-H)  (~) 0)Type (tg., Valu~ ally, ran% ~d~ int) ~P)  C2) Value Mr~d Code  ryp~ (.g., buy, ~ll, rrdemption)  Da~mm/dd/yy  Vtl~ Gain Cod~ Code (I-P)(A-H)  Idmtity buyer/s~ller (if pr~w~ 
(Q-W)  
35. Education Savings Plan 529 Trust  Interest  
36. Education Savings Plan 529 Trust  Int~rst  
37.  Miehigaa Education Savings Program  Ints~rst  
38. Michigan Education Savings 1W~gram  lat~rrst  
39. Eduoafion Savings Plan 529 Trust//4  Jnter~st  
40. Michigan Educafioa Savings Prodam  Interrst  
41. ~ucafion Sadn~ PI= 529 T~t  ~te~st  
42. Mi0higm ~ucation Sav~gs ~g~  h~mst  
43. Eduction Savhgs PI~ 529 T~t  h~st  ~fi~hig~ ~u~afion Savings ~o~  ~st  
~5. PLC  Dividend  
46.  ~*~n-Texa~ CoW.  ~idond  
~7.  ~k ~*r~  ~vi~nd  
48.  Clomx Co.  Dividnd  
49.  Conooo Philli~  Divided  
~0.  ~on Mobil Co~.  Divi~nd  
51.  G=e~I ~lh, h.  Divi~d .... P.~o. a,~,o~.g D,t, orRepon
VII. INVESTMENTS and TRUSTS HO~ reportable income, ~se~. ~sactions.) D~pfi~ Ph~ "~" esch ~*mpt from d~]~ ~c~ [.g., dlv., (A-~ V~ue  V~lu~  T~ (.g., V~I~  I~nti~  
52.  Pq~sioo, lno.  Divid*nd  
53. Pro~t~r Gamble Co.  Dividend  
54.  Southern Co.  Dividend  
55.  Sunooo, Ino.  Dividend  
56.  Wisconsin Energy Corp+  Dividend  
57.  Y~m Bnmd% In~.  Divided  
58. U.S. Savings Bonds (H)  Interest  
59. M~chigan Education Savings Program  Interest  
60. Michigan Education Savings Program  Interest  
61. Mi~higma Education Swcings Program  Interest  
62. Kmtuoky St~t~ Turnpike Authority Bond  Interest  Redeemed  711/09  
63. Krntuoky Stat Propert), Bldgs. Communication Revenue Bond 64. Chy Connty. ffusfio* Center Bond  Interest Intorr~t  Sold  7/30109  
65. 66.  K*rtt~ky State Property Bldg~ Revrnu,Bond E-Trade Ac~oount  Interest Interest  
67. Ky. State Tumplke Bond 3.6%  Interest  
68. A~tomatio Data Prooessing, Ino.  Dividend  

VII. I~ES~ENTS TRUSTS -~.~,, ~,~a~ ~o~  
NO~ (No report~le income, ~sets, tr~sactiom.)  
D~fip~  ~m  Gm~ end  T~cfi~  
(Q-~  
69.  ~s~ Jo~s~  ~vi~nd  
70.  T-Ro~ ~e ~ui~ 500  Di~dend  
71. Templ~on Fo~i~ F~d  ~st Fun~ ~o~ Fund of~ea  ~vidend  
73. Ky. Sta~ ~p~ Bldg. C~n. B~d  ~mst  
74. Jess~e Co., Seh~l 2/1111 3.1~  ~te~st  
75. ~pfis* F~. ~e.  ~vidend  Sold  6~/09  
76.  Peabody ~gy ~oup  ~te~st In,local Seh~l (due 311111)  ~mst  
78. ~gh Ine~e T~t  ~st  Sold  ~13109  
79. ~son ~., School DisLBIdg.R~.  ~mst  
80. ~les~, School Bldg. Rev.  ~tem~t  
81.  Ha~Co., ~blie~  ~st  
82. Bow~g ~e~, ~nt (due  ~tem~t  
511113)  
83. Broa~dge F~meial Solufiom  ~vi~d  Sold  6~109  
84.  Covidien Ltd.  Dividend  Sold  6~9  
85.  W~stem Union Co.  Dividend  

r~a,., one.o, a,po~.g 	D~tt* R,port 

VII. INVESTMENTS and TRUSTS 
N0~ report~le income, ~se~, ~actions.) 

D~fipfi~ of~ ~c~e Gm~ v~ue end T~a~om ~fi~ 
P~ each ~o~ (e.g., Vflue Value Ty~ (e.g., Value Id:nti~ ~empt ~om ~or d~l~ ~v., ~d~ Me~ b~, ~IL mm/~ C~e buyer/~I]~r 
CQ~ 
86. 
PaYor Coal Co. ~vidcnd Sold 6~/09 

87. 
Tem~ Co~. Dividend SMd 6~/09 

88. 
Spec~ En*~y Divi~nd 

89. 
Jcff~on, F~. C~. ~st Km~*~ ~op Bldgs (du~ 8/1~5) ~st 

91. 
Highlan~ R~ch Met. Dis~ (du~ 1~I11~) ~te~st 

92. 
Ky. Sm~ Tump~* Au~ofi~ (du~ 7/1/16) ~te~st 

93. 
N*w (due 8/1/16) ~st 

94. 
Hop~s ~dpL School (duo 1~1117) ~m~st 

95. 
~ona ~h. F~cs. B~. (du~ 9/111~ ~st California (due 8/1118) ~t~st 

97. 
Okl~oma ~pL TrY. Rev. (~e 911108) ~t*~st 

98. 
~e~o Rico Hsg. FM. Au~. (due 1~1/18) ~te~st 

99. 
Bowling ~oj. (du* 6/1~0) ~tc~st 

100. 	
Ivy ~set S~tegy Fund Dividend Buy 5/8109 (addO 

101. Divi~nd Sold 7~0/09 

102. 	
Blaa~k Global ~ocafion Fund Dividend Buy 1~09 (addo
 [ncom Codes: ,000 let* B---$ 1,001 $2,500 =~2,501 $5,000 ~::~,00 $1~,000 =$1~,001 $~0,000 (See Colttrnnt D4) =150,001 100.000 ~$100,0Ol $1,000,000 ,~O0,001 $~,000,000 ~Mor~ thsm
 Value Codes .$ 5,000 lest ~i$,001 150,000 ~$50,001 $100,000 
(Sess (~oIufnnt trod D3) =1250,001 $500,000 =1500,001 $1,000,000 ,-$1,000,~01. S5,000,000 ~-125,000,0~ f~0,0~0,000 -Morn than Vtloe Method Codm =Apprai~tl =Cott (P.etl Ertat~ Only) =A~e~tment  
(See Colunln f~2) =l$o~k V~]ae =.O~ef  

IDatr ReportName Pert, Reporting

05/I i/2010

NONE (No reportable income, assets, transactions.) De~eriptima Ar.s~t.s J_neome dming Gross value end (inclaaing trust ass~) repwting period reputing period (i) (2) Cl) Phee "(X)" a~cr ~ach ~ss~t Amount Type (e.g., Value Value exempt from prior di.wlomae Cod~ div., r~t, Code Me,hod CA-I-I) ira.) (I-P) Code (Q-VO  Type (e.g, buy, setl, redemption) Tramaetiorts during r~poaJag period Da~ Value Gain mm/dd~yy Cod~ Code (J-P) CA-H)  Identity b~ri~r/seller (if private  
103. 104.  Dividend Dividend  Buy (~dl) Sold  5/18/09 7/20109  
105.  IShares MSCI EAFE Index Fund  Dividend  Buy  1/22/09  
I06.  Dividend  Sold  7/20/09  
107. 108.  ISharea Barehys 1-3 Treas. Index Fund  Dividend Dividend  Sold~rt) Sold  5/1/09 7/20/09  
109.  Healthoare Seleot SPDR  Dividend  Sold  2/23/09  
110.  Seotor SPDR Consumers STPL  Dividend  Sold  3/10/09  
111.  Allianoe Bemstein BaL Wealth Strategy  Dividend  
112.  A!lianoe Bemstein Infl Growth  Dividend  Sold  7/20/09 13. 114.  Loomis Sayles Growth Fund  Dividend  Buy (addq) Sold  3/23/09 7/20/09  
115.  Loomis Sayle~ Value Fund  Dividend  Sold  7/20/09  
116.  Loomis Sayles Global h~ts  Dividend  Sold  7/20/09 Loomia Sayles Strategio Inc 18.  Dividend  Buy caddl) Sold  5/4/09 7/20/09  
119.  Blackcock Natl Div Municipal Fund  Dividend  Sold  7/20/09 .... .... R,por~ng 	~),~ ora~or~
VH. INVESTMENTS and TRUSTS ~,. .~,. ~o.. ~,~,.~ ~o., o~~ ..... NO~ re, oriOle i~come, ~se~, ~cfio~.) 
T~c~om mpo~ ~dod (~clu~ ~.~) m~p~ ofr~g~od "~" ~ach ~o~ (e.g., V~ue V~[u~ Ty~ [eg., Da~ V~u~ Oz~ Idmti~ (A-~ ~t) (I-P) rde~ion) (~-~ (A-~ (~pd~.~ 
D~fip~on ~om~ Oro~ 
120. 
~l~mm~ -Rog~ Tr. D~v Dividend 	Sold 7~0/09 

121. 	
ISh~ MSCI ~g~g D~v~d~nd Buy
(ad~l) 

122. 	
Sold 7~0/09 

123. 
Van~d Small Cap ~vidend 	Sold 7~0/09 

124. 
ISha~s ~SE Xi~ua Chha Dividend 	Sold 1~09 

125. 
Pow~Sh~ Global Dividend 	Sold 7~0/09 

126. 
S~RSerTr ~vidend Sold 1~09 

127. 
ISha~s ~O~$ ~gh Yield Fund Dividend 	Sold 5~1/09 

128. 
ISha~s Natl Mun Dividend 	Sold 7/20~9 

129. 	
Pow~Sh~ F~ Divi~nd Buy 1~09 
(addl) 

130. 	
Sold 7~0/09 

131. 	
P0w~Sh~s Global Exoh Traded Fund ~vi~nd Buy 1~09 
(addl) 

132. 	
Sold 7~/09 

133. 
S~ztor SPDR Utilities Dividend 	Sold ~18109 

134. 
S~R Gold T~st Dividend 	Sold 7~0/09 

135. 	
Nuv~n High Yield Muni Bond Dividend Buy 5/8/09 (addl) 

136. 	
Sold 7~0/09 

137.
 J-P Morgan Intl Value Fund 

138.
 Ab~1~n Equity Long Short 

139.
 Jaam Adviser Fort3, Fund 140..TP ]Morgan Highbrldg Stat M:k~ ~q~.utcal 

141. 

142.
 T0uchston Large Cap Fund 

143.
 Nav~n Rittcnhous Growth Fund 

144.
 Alliancg Bemstein Muni Inc Fund 

145.
 Alliance Bgmst~in Global Bond Fund 

146.
 Endowraent Fund 

147.
 Cilizens Bank No. (CD) 

148. 
CiliTens Bank No. Ky. (CD) 

149. 
Citizens Bank No. (CD) 

150. 
Citizens Bank ofNo. (CD) 

151. 
M~rrill Lynch Money Fund (Muni) 

152. 
Merrill Lynch Bank (Regular) 

153.
 Mrrill Lynch Bank (PIA) 
Dividend Divi~nd Divi:nd Dividend 
Dividend Dividend Divld~ad Dividend Dividend Interest Interest Interest Interest Interest Interest Interest 
Sold 7/20/09 Sold 7/20/09 
Buy 3/23/09 (addD Sold 7/20/09 Sold 7/6/09 Sold 5/6/09 Sold 7/20/09 Sold 7/20/09 
Closed 711109 
VII. INVESTMENTS and TRUSTS 
NONE (No reportable income, assets, trar~actions.) Description A~sgt.s Incom dur~g C,oss vah~ ~nd Trgrsacfiom during mpor~g period (inc luding tru.o. ~sscts) mpcrtfing p~iad o[reporthg period 
Plac~ "CX)" a~r ~ach a~set Amount Typ~ (e.g., Val~ Valu~ Type (e.g., Dat V~lu Osin Idmtity ~x~mpt from prior disclosar Code div., ant. Code Mgthod buy, ~11, mm/dd/yy ~od~ Code buy~r/~ellcr(A-H) ir~) (l-P) re.~mptlan) (I-P) (A-H) (if private (Q-W) trans~ctlon) 
154. 
LShar*s Talzoom. Dividend 	Buy 1/26/09 

155. 	
Sold 2123/09 

156. 
Elements Roger~ Agile. Dividend 	Buy 3/16/09 

157. 	
Sold 7/20/09 

158. 
pow~shar~s Dynamio Dividend 	Buy 3/16/09 

159. 	
Sold 7/20/09 

160. Market Vrctors EIF Dividend 	Buy M6/09 
161. 	
Buy 7/15/09 (addl) 

162. 	
Sold 7/20/09 

163. 
Pr~ Shar~ Ultra QQQ Divind 	Buy 3/4/09 

164. 	
Buy 7/15/09 (addl) 

165. 	
Buy 7/I 6/09 (~dD 

166. 	
Sold 7/20/0~ 

167. 
SPDR China Divid:nd Buy 215/09 

168. 	
Buy 3/4/09 (addl) 

169. 

170. 
IShsr~s 2000 Valu Dividend 	Buy 1/22/09 

Sold 7/7109 
VII. INVESTMENTS and TRUSTS  
HO~ report~le in.me. ~se~, ~actio~.)  
D~p~ of~  Gm~ end  T~o~ ~od  (2)  (~)  
171.  Sold  5/7109  
172. Janus Ov~rseas C1A  Dividend  Buy  3/23/09  
173.  Buy  7/20/09  
(addl)  
174.  Sold  7/27/09 75.  Janus Flexible  Dividend  Buy  5/4/09  
176.  Sold  7/20/09  
177.  DRYDN Trm Co.  Dividend  Buy  1/26/09  
178.  Sold  7/20/09  
179.  PRIN Preferred S~s  Dividend  Buy  7/15/09  
180.  Sold  7/20/09  
181.  Alliance Bemstein High  Dividend  Buy  514/09  
182.  Sold  7/20/09  
183.  AIX4Intl Growth  Dividend  Buy  611/09  
184.  Sold  7/20/09  
185. Ultra Sir Mun. Ine, Inv.  Dividend  Buy  6/12/09  
186.  Sold  7/20/09  
187.  SPDRSPMetaI~ Minin8  Dividend  Buy  5/28/09 Person Rpor~ng D,~ Repor~
FI~ANCIAL DISCLOSURE REPORT ~a,=~, wm~=

IMam mo~0

NO~ re~rtable income, ~se~, tr~actions.)  
~empt~m ~d~cl~  ~v.,ren~  Me~od  5~.~1l  mm/~  ~de  C~e  b~er/seHer  
188.  Sold  7/6t09  
189. Do]l~ Index Bullish Fund  ~vidend  Buy  6/15/09  Sold  7/15/09  
191. Global Na~l  ~v[d=nd  Buy  7~1~9  Ianu~ Fo~ Fund  ~vid~nd  Buy  7~1/09  
193.  P~CO To~ Remm  Divi~d  Buy i~9  
194.  ~cipal ~v~n Sccu66~  ~vi~nd  Buy  7~II09  
195.  ~x~gt~-Fay~e U~m ~un~  ~t~st  Buy  ~/09  
196.  ~ina MobiIe Spon  Dividend  Buy  6~/09  
197. ~la  ~dCnd  Buy  
198.  ~oa Mobile Co~.  D{vi~nd  Buy  6~/~  
1~.  Jonson Johns~  Divld~nd  Buy  ~0/09  
200. Co.  ~vldend  Buy  6~/09  

Name Person Reporting
VIII. ADDITIONAL INFORMATION EXPLANATIONS. 

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 wa~ withheld because met applicable gtatutory provisiona permitting non-disclosure. further certify that earned Income from outside employment and honoraria and the acceptance gift~ which have been rel~orted are compliance with the pravision~ ors U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulationa. 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIN~[NAL SANCTIONS U.S.C. app.  104) 
FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Diselosttre Administrative Office the United States Courts Suite 2-301 One Colu.mbus Circle, N.E. Washington, D.C. 20544