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Judicial Watch • William O Bertelsman Financial Disclosure Report for 2010

William O Bertelsman Financial Disclosure Report for 2010

William O Bertelsman Financial Disclosure Report for 2010

Page 1: William O Bertelsman Financial Disclosure Report for 2010

Category:Financial Disclosure

Number of Pages:12

Date Created:November 11, 2013

Date Uploaded to the Library:November 23, 2013

Tags:bertelsman, William O Bertelsman, Kentucky, education, Michigan, program, SAVINGS, william, 2010, transactions, dividend, IRS, Financial Disclosure, ICE, CIA, income, Judge


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Government Act 1978
FOR CALENDAR YEAR 2010 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Court Organization Date Report 
05/11/2011
Bertelsman, William 	KY-ED Title (Article Ill judges indicate active senior status; 5a. Report Type (check appropriate type) Reporting Period 
magistrate judges indicate full- part-time) Nomination, Date 01/01/2010 
U.S. District Judge (Senior) Initial Annual Final 12/31/2010 
5b. Amended Report Chambers Office Address the basis the information contained this Report and any 
modifications pertaining thereto, is, opinion, compliance West Fifth Street, Rm. 505 

with applicable laws and regulations. Box 1012 
Covington, 41012-1012 

Reviewing Officer 	Date 
IMPORTANT NOTES: The instructions accompanying this form must followe~L Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Repo~i.g individual only; seepp. 9-13 f!ling instructions.) NONE (No reportable positions.) 
POSITION 	NAME ORGANIZATION/ENTITY 	
Adjunct Teacher (part-time)(one class)(non-compensated) Salmon Chase College Law, Northern Kentucky University, Highland 
Heights, 	
Owner 529 Trust Plans #1-#9 through Kentucky Education Savings Plan and Michigan Education Program 

II. AGREEMENTS. (Reporti.g individual only; seepp. 14-16 filing instructions.) NONE (No reportable agreements.) 
DATE 	PARTIES AND TERMS 

Bertelsman, William 

Name Person Reporting Date Report
IlL NON-INVESTMENT INCOME. ~Xepo.ing individual and spouse; seepp. 17-24 filing instructions.) Filers Non-Investment Income  (No reportable income.)NONE non-investment  
DATE  SOURCE AND TYPE  INCOME  
(yours, not spouses) Spouses Non-Investment Income -lf 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.)  
DATE  SOURCE AND TYPE  
IV. REIMBURSEMENTS --tra.sportatlo., lodging, food, entertainment.  
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.)  
NONE (No reportable reimbursements.)  
SOURCE  DATES   LOCATION  PURPOSE  ITEMS PAID PROVIDED GIFTS. (lncludes those spouse and dependent children; see pp. 28-31of f!ling instructions.)  
NONE (No reportable gifts.)  
SOURCE  DESCRIPTION  VALUE  
VI. LIABILITIES. anc~des those spouse and dependent children; see pp. 32-33 f!ling instructions.)  
NONE (No reportable liabilities.)  
CREDITOR  DESCRIPTION  VALUE CODE  

Name Person Reporting 	Date Report

05/11/2011 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; seepp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
B.C. 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
(1) (2) (1) (2) (1) ..... (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gab3 Identity exempt from prior disclosure Code ..... Code .... Method :buy, ~elti mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemptioa) (J-P) (A-H) (if private (Q-W) transaction) 	Victory Gradison Government Reserve Dividend Goldline (formerly Dreyfus Gold Fund) None 
 Legg Mason Europe Fund (stock) Dividend 	U.S. Bank, Fort Thomas, Interest 	Dupree, Kentucky- Short/Med. Fund Interest 
 Dupree, Kentucky Tax Free Fund Interest 	
Two Undeveloped Lots Charlotte Co., None Sold 01/I0/10 Value-Assessed Florida $25,000 	
Fifth Third Bank (Account) Interest 	
Fifth Third Bank, Fort Thomas, Dividend 
(Common Shares) 

10. 
Victory Established Value Fund Dividend Dreyfus Growth Income Fund Dividend 

12. 	
Bank Kentucky (Account) Interest 

13. 	
Procter Gamble Common stock Dividend 

14. 	
Victory Small Company Fund Dividend 

15. 	
BankAmerica Corp. (common stock) Dividend 

16. 	
Bank Kentucky (Account) Interest 

17. 	
United States Savings Bonds (I) Interest =$1,001 $2,500 =$2,501 $5,000 =$5,001- $15,000 =$15,001- $50,0001. Income Gain Codes: =$I,000 or!es 
(See Columns and D4) =$50,001 $100,000 =$1o0100i- $t,oooi0o0 ....Hi ~$i,oo0 00i $5,00o,ooo =More than $5;0001000 =$15,001 $50,000 =$50;001 -$100,000 M=$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 Codes =$15,000 less
 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(See Column C2) =Book Value =Other =Estimated 

05/I 1/2011
Bertelsman, William
VII. INVESTMENTS and TRUSTS -i,come, value, transactions (Includes those spouse and depe,dent children; see pp. 34-60 filing instructions.) 
NONE (No reportable income, assets, transactions.) B.C. 
Description Assets Income during Gross value end Transact ons during reporting period (including trust assets) reporting period reporting period 
(1) 	(2) (1) (2) (1) (2) (3) (4) (5) Value Gain Identity
Place "(X)" after each asset 	Amount Type (e.g., Value Value .... Type {e.g., Date Code mm/dd/yy buyer/seller
exempt from prior disclosure div., rent, Code Method buy, seIl, Code Code (A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) 
transaction) 
18. 	
Sherwin Williams Dividend 

19. 	
DWS Dreman High Return Fund Dividend 

20. 	
Kroger Co. Dividend 

21. 	
Harlan County, Health Care Facs Laurel Interest Project 

22. 	
J.M. Smucker Co. Dividend 

23. 	
Comcast Corp. Class Dividend Sold 01/01/10 

24. Education Savings Plan 529 Trust Interest 

25. Education Savings Plan 529 Trust Interest 

26. 	
Michigan Education Savings Program Interest 

27. 	
Michigan Education Savings Program Interest 

28. Education Savings Plan 529 Trust Interest 

29. 	
Michigan Education Savings Program Interest 

30. Education Savings Plan 529 Trust Interest 

31. 	
Michigan Education Savings Program Interest 

32. Education Savings Plan 529 Trust Interest 

33. 	
Michigan Education Savings Program Interest 

34. PLC Dividend Sold 06/01/10 =$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 thar~ $5,000,000
 Income Gain Codes: =$1;000 tess =$1,001 $2,500 =$2,501 $5,000
 Value Codes =$15,000 less ~$!5,061 $50,000 =$50,00t $100,000 =$I00,00t $250,000 
(See Columns and D3) =$250,001 $51)0;000 =$500,001 $1,000,000 =$1,000;00i $5i000,000 =$5,000,001 $25,000,000 Value Method Codes =$25,000,001 $50,000,000 =Appraisal =Cost (Real Estate Only) =More than $50,000,000 =Assessment -Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Bertelsman, William 	05/11/2011
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; seepp. 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 
(1) (2) (1) (2) (1) ..... (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gai~ Identity exempt from prior diselosure Code div., rent, Code Method buy, sell, mmidd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private (Q-W) transaction) 
35. 
Chevron-Texaco Corp. Dividend 

36. 
Duke Energy Dividend 

37. 
Clorox Co. Dividend 

38. 
Conoco Phillips Dividend 

39. 
Exxon Mobil Corp. Dividend 

40. 
General Mills, Inc. Dividend 

41. 
Pepsico, Inc. Dividend 

42. 
Procter Gamble Co. Dividend 

43. 
Southern Co. Dividend 

44. 
Sunoco, Inc. Dividend 

45. 
Wisconsin Energy Corp. Dividend 

46. 
Yum Brands, Inc. Dividend 

47. 
U.S. Savings Bonds (H) Interest 

48. 
Michigan Education Savings Program Interest 

49. 
Michigan Education Savings Program Interest 

50. 
Michigan Education Savings Program Interest 

51. Clay County, Justice Center Bond Interest =$15,001 $50,000 (See Columns and D4) =$50,001 $100,000 =$100,001 $1,000,000 =$1,000,001 $5,000,000 ore than $5i000~000 in~6~d Gai~::C0desi =$1,000 !ess =$1,001 $2,500 =$2,501 $5,000 =$5,001 $15,000 Value Codes =$15,000 less =$15,001 $50,000 =$50,001 $100,000 =$100,001 $250,000 
(See Columns and D3) =$250,001 $500,000 O=$500,001 $1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 $25,000~000 Value Methc4, C~les =$25,000,001 $50,000,000 =Appraisal =Cost (Real Estate Only) =More than $50,000,000 =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Bertelsman, William 	05/I 1/2011
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 
(including trust assets) reporting period reporting period  
(1) (2) (1) (2) (I) (2) (3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e,g., Date Value Gain IdentiLy exempt from prior disclosure Code div., rent, Code Method buy, sell, mtrgdd!yy Code Code buyer/seller 
(A-H) int,) (J-P) Code redemption) (J-P) (A-H) (if private (Q-W) transaction) 
52. 	
Kentucky State Property Bldgs Revenue Interest Bond 

53. 	
E-Trade Account Interest 

54. 	
Ky. State Turnpike Bond 3.6% due 7/1/13 Interest 

55: 	Automatic Data Processing, Inc. Dividend 	*combined
56. 	
Johnson Johnson Dividend 

57. 	
T-Rowe Price Equity Index 500 Dividend 

58. 	
Templeton Foreign Fund Interest 

59. 	
American Funds Growth Fund America Dividend 

60. 
Ky. State Property Bldg. Commn. Bond Interest Sold 07/01/10 Jessamine Co., School 2/1/I 3.125% Interest Sold 10/05/10 

62. 	
Peabody Energy Group Interest 

63. Interlocal School (due 3/1/11) Interest 

64. 	
Edmonson Co., School Dist.Bldg.Rev. Interest Redeemed 10/01/10 

65. 	
Middlesboro, School Bldg. Rev. due Interest 8/1/11 

66. 	
Hart Co., Public Property due 4/1/13 Interest 

67. 	
Bowling Green, Independent (due Interest 5/I/13) 

68. 	
Western Union Co. Dividend =$5,001 $15,000 =$15,001 $50,000 (See Columns and 134) =$50,001 $100,000 =$100,001 $1,000,000 =$1,000;00 $51000~000 =More than $5,000;000
 lnC~m Gai~ Codes: ;000 less =$1,001 $2,500 =$2,501 $5,000
 Value Codes =$15,000 less =$15,001 $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 =$5i000;001 $25,000,000 Value Method Codes =$25.000,001 $50.000,000 =Appraisal =Cost (Real Estate Only) =More than $50;000,000 =Assessment =Cash Market  
(See Column C2) =Book Value =Othcr =Estimated  

Bertelsman, William 05/11/2011
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see pp. ~4-60 filing instructions.)  (No reportableNONE  income,  assets,  transactions.)  
Place "(X)" after each asset exempt from prior disclosure Amount Code (A-H)  (2) Type (e.g.. div., rent~ int.)  Code Value  (2) Value Type (e.g., Method .... buy; Sell; Code redemption) (Q-W)  Date mm/dd/yy (2)  Value Code (J-P)  (4) Gain Code (A-H)  (~) Identi .ty buyer/sellei (if private transaction)  
69. Spectra Energy  Dividend  
70. Jefferson, Fin. Crp. due 11/11  Interest  
71. Kentucky St. Prop Bldgs (due 8/1/25)  Interest  
72. Highlands Ranch Met. Dist. (due 12/1/15) 73. Ky. State Turnpike Authority (due 7/1/16)  Interest Interest  Sold (part)  05/10/10  
74. New York, (due 8/1/16)  Interest  
75. Hopkins Mn. Indpt. School (due 12/1/17)  Interest  
76. Arizona Sch. Facs. Br (due 9/1/17)  Interest  
77. California St. (due 8/1/18)  Interest  
78. Oklahoma Dept. Trans. Rev. (due 9/1/18)  Interest  
79. Puerto Rico Hsg. Fin. Auth. (due 12/1/18)  Interest  
80. Bowling Green, Proj. (due 6/1/20)  Interest  
81.  Blackrock Global Allocation Fund  Dividend  
82. Alliance Bernstein Bal. Wealth Strategy  Dividend  
83. Janus Adviser Forty Fund  Dividend  Sold  07/20/10  
84.  Endowment Fund  Dividend  
85. Citizens Bank No. (CD)  Interest Income Gain Codes: (See Colunms and D4) Value Codes (See Columns and D3) =$1,000 less 50,001 $100,000 =$15,000 less =$250,001 $500,000 =$1,001 $2,500 =$100,001 1,000,000 =$15,001 $50,000 =$500,001 $1,000,000 =$2,501 $5,000 =$1,000,001 $5,000~000 =$50,001 $100,000 =$1;000,001 $5,000,000 =$5,001 $15,000 =More than $5,000,000 =$100,001 -$250;000 =$5,000,001 $25~000;000 =$15,001 $50,000 =$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  

Name Person Reporting 	Date Report 
VII. INVESTMENTS and TRUSTS -income, value,, ...... tions (Includes those spouse and dependent children; seepp. 34-60 flling 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 tl) (2) (1) (2) (1) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Vali~  G~iin 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) 
86. 	
Citizens Bank No. Ky. (CD) Interest 

87. 	
Citizens Bank No. (CD) Interest 

88. 	
Citizens Bank No. (CD) Interest 

89. 	
Merrill Lynch Money Fund (Muni) Interest 

90. 	
Menill Lynch Bank (Regular) Interest 

91. 	
IVY Global Natural Dividend 

92. 	
Janus Forty Fund Dividend 

93. 	
PIMCO Total Return Dividend 

94. 	
Principal Investors Securities Dividend 

95. 	
Lexington-Fayette Urban County Ser Interest due 2/1/14 

96. 	
China Mobile Ltd Spon ADR Dividend 

97. 	
Coca Cola Co. Dividend 

98. 	
Exxon Mobile Corp. Dividend 

99. Co. Dividend 

100. 	
Alabama St. Cap Impt. Ser.D due 6/1/19 Interest Buy 05/12/10 

101. 	
KyStatePptyBldgdue 11/1/17 Interest Buy 11/10/10 

102. 	
Citizens Bank Acct. (for 529 Plans) Interest Open 05/01/10 =$2,501 $5,000 =$5,001 $15,000 =$15,001 $50,000 (See Columns and 1)4) =$50,00 00,000 =$100,001 $1,000,000 =$1,000;001 $5,000~000 =More than $5;000;000
 lncome Gain Codes: =$1 ;000 less =$I,001 $2,500
 Value Codes =$15,000 tess =$15,001 $50,000 =$50,001 $100,000 =$100~001 $250,000 
(See Columns and D3) =$250,001 $500,000 =$500,00 $1,000,000 =$1~000,001 $5i000,000 =$5,000,001 $25~000 000 Value Method Codes =$25,000,001 $50,000,000 =Appraisal =Cost (Real Estate Only) =More than $50i000,000 =Assessment  T--Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Bertelsman, William 	05/11/2011
VII. INVESTMENTS and TRU 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 
(including trust assets) reporting period reporting period 
(1~ (2) (1) (2) ...... Place "(X)" after each asset Amount Type (e~g,~ Value Value exempt from prior disclosure Code div., rent~ Code Method 
(A=H) int.) (J-P) 	Code  (Q-W) 
103.
 Honolulu City Hawaii Cnt Waste due 7/1/19 Interest 

104.
 New York St. Dorm Auth. due 2/15/20 Interest 

105. St. Ppty Bldg due 8/1/20 Interest 

106.
 Utah State due 7/1/14 Interest 

107. 

108.
 Ivy Asset Strategy Fund Dividend 

(t) Type (e.g., 
buy, sell, redemption) 
Buy Buy Buy Buy Sold Buy 
Fransaetions during reporting period 
(2)(3)  (4~ .....  (5)  
Date  Value  Gain  Identity  
mm/dd!yy  Code  Cod~ ..... buyer/seller  
(J-P)  (A-H)  (ifprivate  
transaction)  

09/16/10 
10/06/10 06/30/10 03/04/10 10/13/10 07/31/10 
1:1 ncome Gain Codes! =$1,000 less =$1,001 $2,500 =$2~501 $5,000 =$5,001 $15,000 =$15,001 $50,000  
(See Colunms and D4) =$50,001 $100,000 =$100,001 $1,000,000 =$L000,00i -$5;000,000 =More than $5,000~000 Value Codes =$I 5,~00 less =$15,001 $50,000 =$50,001 $100,000 =$100;001 $250,000  
(See Columns and D3) =$250,001 $500,000 --$500,001 $1,000;000 =$! ~000,001 $5;0001000 =$5,000,001 $25,000,000 Value Method Codes =$25,000,001 $50,000,000 =Appraisal =Cost (Real Estate Only) =More than $50,000;000 =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Name Person Reporting Date Report
Bertelsman, William 05/11/2011
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate part report.) 
05/11/2011
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: S/William Bertelsman 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY 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



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