financial disclosure report rort required by the ......135. 07/01/203, i i i i i i page 6of14...

POSIDON NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

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Report Required by the Ethics FINANCIAL DISCLOSURE REPORT °' AO JO in Government Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 US.C. app. §§ 101-111)

1. Person Reporting (last name, first, middle initial)

MARSH, MALCOLM F.

2. Court or Organization

U.S. DISTRICT COURT, OREGON

3. Date or Report

04/28/2010

4. Title (Article ill judges indicate active or senior status; magistrate judges indicate full- 01' part-time)

U.S. DIST. JUDGE, SR. STATUS

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial 0 Annual

5b. D Amended Report

D Final

6. Reporting Period

01/01/2009 to

12'31/2009

7, Chambers or Office Address

1000 S. W. THIRD AVENUE SUITE 1507 PORTLAND, OR 97204

8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, In my opinion, in compliance with applicable laws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must befollowed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. (Reporting indiJ!idual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

I. Pioneer Trust Banlc

2.

(_ ) a3.

4. o:··.: en

. .... , ....

-< 0

5. : :.-·} r::

--'1;- ·-... r.1 '1

-!? 0 n Pl U1

...0

JI. AGREEMENTS, (Reporting in</ividual only; see pp. 14-16 of filing instructions.)

[ZJ NONE (No reportable agreements.)

l.

2.

3.

Marsh, Malcolm F.

SOURCE Ai""JD TYPE

SOURCE AND IDE

SOURCE DATES LOCATION PURPOSE

INCOME

ITEMS PAID OR PROVIDED

2.

FINANCIAL DISCLOSURE REPORT

of14

Name of Person Reporting

MARSH, MALCOLM F.

Date of Report

04/28/2010

ill. NON-INVESTMENT JN COME. (Reporting individual and •P'"'"; see PP· 11-24 of filing instructions.)

A. Filer's Non-Investment Income

[ZJ NONE (No reportable non-investment income.)

(yours, not spouse's)

l.

3.

4.

B. Spouse's Non-Investment Income - Jf;you were married during an;y portit>n of the reporting ;yeaT, complete this section.

(Dollar amount not required except for hortoraria.)

[ZJ NONE (No reportable non-investment income.)

I.

2.

3.

4.

JV• REIMBURSEMENTS - transportation, lodging, food, entertainment.

(Includes those to spouse and dependel'// children; see pp. 25-27 of .fti;ng instructions.)

[Z] NONE (No reportable reimbursements.)

I.

2.

3.

4.

5.

DESCRIPTION

CREDITOR DESCRIPTION

YALUE

VALUE


of14

Date of Report Name of Person Reporting

MARSH, MALCOLM F. 04/28/2010

V• G JFTS. (Includes those to spouse anddependent children; see pp. 28-31 of filing instructions.)

[ZJ NONE (No reportable gifts.)

SOURCE

1.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

[ZJ NONE (No reportable liabilities.)

CODE

1.

2.

3.

4.

5.

I I

I (5)

I I l

A B c

·"1

(I)

D.

l. SMITH BARNEY FINANCIAL MANAGEMENT ACCOUNT

2. West. Asset Muni. Money Mkt Fund A Interest J T

3. MUNICIPAL BONDS

4. Lane C ounty Ore Sch Dist 4J, Due 7/112018 A Interest Sold I 1/04/09 K 20,000-MM, 10,000 SMITWR

5. Forest Grove Ore Rev Rfdg &: Campus, Due 51112036

A Interest J T J

6. Oregon St Bd Bk Rev Ore Eco Comm Dev Dept, 01/01/2025,

A Interest J T

7. Umatilla Co. Ore. Hosp., 12-01-2030 A Interest K T

8. Salem-Keizer Ore. S.D., 6-1-09, orig. maturity 06/0112013

9. Ore St. Health HSF Ecll & Cultural, 11-15-2032

A

A

Interest

Interest K T

Matw:ed 06/01/09 J 10,000

10. Portland OR Housing Auth Rev Rfdg-Pooled Ol/01/2027

A Interest Matured 01102109 J 10,000

I!. Clack Cnty Ore Sch Dist (Lk Osw), 06/0112026

12. OHSU Rev Ser A MSF MBIA, 07/01/2032

A

A

Interest

Interest

K

K

T

T

13. Ore. St. Dept. Adrnin Svcs, due 05/0112028 A Interest J T

14. Washington & Clackamas Cnty SD#23, Due 0611512020

A Interest Sold 06/19/09 K 20,000

15. OR St Vets Welfare, Ser. B, Due 10/01/2042 A Interest K T

16. OR St Bd Higher Ed G/O, Due 08/01/2028 B Interest L T

17. Portland City OR Ltd/Tax Conv. Ctr, Ser. A, Due 06/01/2030

A Interest K T


of14


MARSH, MALCOLM F.

Date of Report

04/2812010

VII INVESTMENTS and TRUSTS - income. vatue, transactions (lnc1ut1es those of spouse and t1ependen1 children: see PP· 34-60 offlling instrucnons.J

NOJ:\j'E (No reportable income, assets, or transactions.) D

Income during Gross value at end Transactions during reporting periodDescription of Assets

of reporting period ,--- reporting period (including trust assets)

(2)(!) Type{e.g., ValueAmountPlace "(X)" after each asset

Code I div., rent, Code2exempt from prior disclosure (A-H) I or int.) (J-P)

I

(2) Value

Method

Code3

(Q-W) _L

(I) Type(e.g.,

buy, sell,

redemption)

(2)Date

mm/dd/yy

(3)Value

Code2

(J-P)

(4) Gain

Code I

(A-H)

Identity of

buyer/seller(if private I

Itransaction)

l. Income Gain Codes: A =Sl,000 or less B =Sl,001 • $2,500 c =S2.501 - $5,000 D=SS,001 -$15,000 M,,,00,

(See Columns Bl and D4) F=SSO,OOl -$100,000 G =$100,001 - Sl,000,000 HI =lil,000,001-$5,000,000 H2 ore than $5,000,000

2. Value Codes 1 •S 15,000 orless K=Sl5,001-$50.000 L=U0,001 ·SI00.000 M =$100,001 -$250,000

(SeeColumns Cl and 03) N =$250,001 - SS00,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =S5,000,001 -s:zs,000.000

P3 s2s,ooo.001 • sso,000,000 P4 =More than $50,000,000

3. Value Method Codes Q •Appraisal R =Coot (Real Estate Only) S ""Assessment. T =Cash Mark..t (See Colwnn C2) U =Book Value V=Othcr W =Estimated I

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Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of14 04/28/2010MARSH, MALCOLM F.

VII. INVESTMENTS and TRUSTS - income, vatue, transactions <Includes those of spouse and dependent children; see PP· 3-1-60 of filing instructiotrs.J

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

A.

Description of Assets

(including trust assets)

!Place "(X)" after each asset exempt from prior disclosure

.

B. c. D.

Income during Gross value at end Transactions during reponing period .reporting period of reporting period

(!) {2) (I) (2) (I) (2) (3) {4) (5) Amount Type{e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code2 Code! buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

18. OR St Dept Transn Hwy User Tax Rev, Bk Entry Due 11115/2028

19. Ore St Dpt of Transportation, Lien A, Due llfl5/2028

B

A

Interest

Interest

K

J

T

T

20. Umatilla Co OR Hsp Fax Au Rev Cath, Due 5/1/2034

A Interest Sold 05112!09 K 20,000

! 21. Salem Ore Hosp Fae Auth Rev, Due 811512030

A Interest J T

22. Portland, OR Swr Sys Rev I st Lien Ser A. 6-15-2027

23. Ore. St. Dept of Transp Hwy User, Lien A, Due 1111512030

A

A

Interest

Interest

J

K

T

T

24. Ptld OR Swr Sys Rev Rfdg, 1st Lien-Ser A, Due 6-15-2033

A Interest J T

25. Clackamas Co OR Sch Dist #12, North Clack, Due 6-15-2030

A Interest J T

26. UST First TR Sp! 1679 Dow Target May 2008

A Interest Sold ll/14/09 J 15

27. Clackamas Cnty Ore Hosp Faes, Due 511/2021

A Interest J T Buy 01/05/09 J 10,000

28. State of OR, Board of Education, Due 811/2023

A Interest K T Buy 05/12/09 K 20,000

29. State of Oregon, Board of Education, Due 8/1/2027

A Interest J T Buy 06/01109 J 15,000

30. Jackson County Ore Sehl District, Due 6/15/2023

A Interest K T Buy 06119109 K 25,000

31.

32. JTWROS PlJRCHASES ; these 3 assets are

now in the sole

33. name of the filer

34. Puerto Rico Electric Power, Due 71112019 A Interest L T Buy 08120/09 L 55,000

-l. Income Ga'n Codi:s: A =Sl,000 or Less B =S l,00I • $2,500 C =S2.SO! - $5,000 D =$5,001 • $15,000 E =SI 5,001 $50.000

(See Columns B 1 and 04) F-$50,001- $100,000 a =t100,001 -s1,ooo,ooo HI =$1,000,001 • $5,000,000 H2 =More dtan $5,000,000

1. Value Codei J =$15,000 or less K =$15,001 -$50,000 L =S.50,001 • $100,000 M =$100,001 - $250,000

(See ColullUJS CI and 03) N =$250,001 - $500,000 0 =$500,001 -$1,000,000 PI =S l,000,001 - $5,000,000 P2 =SS.000,001 • $25,000,000

PJ •S25,000,00! • $50,000,000 P4 =More than SS0,000,000

3. Value Methnd Codes Q •Appraisal R -Cost (Real Estate Only) S=A mcnl T =Cash Market

(See Colwnn C2) U =Book Value V=Otber W =Estimated

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07/01/203,

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of14

Date of Report Name of Person ReportingFINANCIAL DISCLOSURE REPORT 04/2812010MARSH, MALCOL\t F.

VII. INVESTMENTS and TRUSTS -income, value, transactions (Induus those of spouse and dependent children; see PP· 3-t-60 of filing 1nstructions.J


A. B. c. D.

Description ofAssets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period ofreporting period

(!) (2) (I) (2) (I) (2) (3) (4) (S) Place "(X)" after each asset Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) I (J-P) Code3 redemption) (J-P) (A-H) (if private

I (Q-W) transaction)

Oregon St. Dept Admin Services, Due A Interest J T Buy 11/04/09 J 10,000 l l/l/2026

36. Washing County Ore Rfdg, Due 7/1/2039 A Interest K T Buy I 1/04/09 K 35,000

37.

38. SMITH BARNEY FINANCIAL MANAGEMENT ACCOUNT

39. Citibank NA Bank Deposit Program A Interest J T

4-0. MUNICIPAL BONDS

41. Lane County Ore Sch Dist 41, Due 7/112018 A Interest Sold 11/04/09 J MFM & SM shares, JTWROS

42. Ore. St Hsg & Cmnty Svcs Dept, Due A Interest J T 1/1/2023

43. Forest Grove Ore RefRf dg & Campus, A Interest J T 05/01/2036

44. OR E St. Hlth HSF Edi & Cultural A In terest K T 11/15/2032

45. Ptld Or Hs g Auth Rev RFDG 01/01/2027 A Interest Matured 01/02109 J

46. W ash Cnty Ore Sch Dist (Forest Grove) A Interest Sold I1104109 K !5,000, JTWROS 06/15/2021

47. Clack Cnty Ore Sch Dist (Lk Osw). c interest Sold 02112/09 L 55 , 000 06/0112026

48. OHSU Rev Ser. A. MSF, MBIA, A Interest J T

49. Ore. St Veterans Welfare Service, Due A Interest K T 10/0112042

50. Washington/Clackamas Cnty S.D. 23 A Interest Sold 06/19/09 K 25.000 Tigard, Due 6/ I 5/2020

51. Bend OR full faith & credit obligs, due B Interest K T 12/1/2022

1. Jncome Gain Codes; A =11,000 0<less B =Sl,001 - $2,500 c=$2,501 - $5,000 D =$5,00 l - $15,000 E =$15,001 - $50,000

(See Colwnns B 1 and 04) F=S50,001 • $100,000 G =$100,001 -Sl,000,000 H! =Sl.000,001 • $5.000,000 H2 =More lhru> $5,000,000

2. Value Codes J =$15,000 or less K "'$15,001 -$50,000 L=$50,00l -$100,000 M =$100,001 • S250,000

(See Colwnns Cl and D3) N =$250,001 - $500,000 0 =$500,00l • $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,00l • $25,000,000

P3 =S25.000,001 - $50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R =Cosl (Real Estate Only) S -Assessment T =Casb Market

(Sec Column C2) U =Book Value V=Qthcr W =Estimated

J

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Page7 of14


MARSH, MALCOLM F.

Date of Report

04/28/2010

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those ofspouse and dependent children; see PP· 34--6() of filing instrudions.)


52.

53.

1 54.

55.

56.

57.

58.

59.

60.

6 1 .

6 2 .

63.

64.

65,

66.

67.

68.

A.

Description of Assets


Place "(X)" after each asset

exempt from prior disclosure

Deschutes Coty, OR, Hosp Faes, due 111/2022

OR St Bd Higher Ed G/O Ser. B Due 8/l/2028

Portland City OR Ltd. Tax Conv. Ctr Ser A, Due 6-1-2030

Umatilla Co. OR Hsp Fae Au Rev Cath Due 5/ li2034

OR St Dept Transn Hwy User, Due 11-15-2028

Ore St Dpt ofTransp., Lien A Due 11/15/2028

Ptld OR Swr Sys Rev First Lien, Due 6/15/2029

Ptld OR Swr Sys Rev lst Llen,Ser A,6/15/2027

Salem OR Hosp Fae Autb Rev, Due 8/15/2030

Oregon State Ser 87A BIE, Due 12/1/2026

Ore St Dep t of Transp Hwy User, Due 11/15/2030

Ptld OR Swr Sys Rev A Rfdg, due 6/15/2033

Clackamas Co OR Sch Dist #12 , North Clack, due 6--15-2030

UTS First Tr Spcl Situations 1679 Dow Target May 2008

Clackamas Cnty Ore Hosp Faes, Due 5/1/2021

Puerto Rico Hwys & Tmsptn Au, Due 7/l/2036

State of Ore, St. Bd of Education, Due 8/l/2031

I B.

Income during

reporting period

(l) Amount Code l (A-H)

B

B

B

A

B

B

B

A

B

B

A

A

A

A

B

A

A

(2) Type(e.g., div., rent,

or int)

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

c.

Gross value at end

ofreporting period

(1) Value Code 2

(J-P)

K

K

K

K

K

I

K

K

K

J

J

L

K

(2) Value

Method

Code 3

(Q-W)

T

T

T

T

T

T

T

T

T

T

T

T

T

T

(I) Type(e.g., buy, sell,

redemption)

Sold

Sold

Sold

Buy

Buy

Buy

D. Transactions during reporting period

II ! e mm/dd/yy

08/20/09

05/12/09

01105109

01105109

02112/09

05/12/09

(3) Value

Code 2 {J-P)

L

K

J

J

L

K

(4) Gain

Code I

(A-H)

(5) Identity of buyer/seller {ifprivate

transaction)

50,000, ITWROS

30,000

15

10,000

60,000

30,000

I

i

I

I

'

l. Income G1.ia. Codes: A =$j,000 or less B =$1,001. $2,500 C =$2,501 - S5,000 D =$5,001 -$15,000

(See Cohullll• Bl and D4) F=S50.00I • Sl00,000 G =$100,001 - S1,000,000 HI -SI,000.001-$5,000.000 H2 =More than $5,000.000

2. Value Codes 1 =$15,000 or less K =$15,001 • $50,000 L =$50.00I • $100,000 M =$100,00 I - $250.000 (See Calwnns C 1 and 03) N =$250.00 I • $500,000 0 =$500,001. Sl,000,000 Pl =$1,000,001 • $5,000.000 P2 =$5,000,001 • S25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R -Cost (Real Estate Only) S =Assessment T =Cash Market

(Set: Calu11m C2) U =Book Value V "Other W=Estimllted '""' ']

I i i

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1 69.

170. I

I

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(1)

Date of Report Name of Person ReportingFINANCIAL DISCLOSURE REPORT

of14 0412812010MARSH, MALCOLM F.

VII. INVESTMENTS and TRUSTS - income. •alue, transactions r1ndudes those of spouse and upendem children; see PP· 34-60 of filing instructions.;

D NO:t-.'"E (No reportable income, assets, or transactions.)

B. c.A. Gross value at end !Income during Description of Assets

reporting period of reporting period (including trust assets) (!) (2)(2)

Value ValueAmountPlace "(X)" after each asset Type(e.g., Code 1 Methoddiv., rent, Code2exempt from prior disclosure (A-H) Code3or int) (J-P)

i (Q-W)

(1) Type(e.g., buy, sell,

redemption)


(2) Date

mm/dd/yy

(3) Value

Code2

(J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller l(if private I

transaction)

Jackson County Ore. School District, Due I

6/15/2023!

A Interest K T Buy 06/19/09 K 30,000

71. Key Bank Private Bank A fnterest L T I

72. U.S. Bank Checking Acct A fnterest J T

73. U.S. Bank Money Market Acct

74.

A Interest L T

75. Pioneer Trust LR.A., TRANSFERRED TO MORGA.."f STANLEY SMITH

E Interest N T Open 01/31/09 N

76. BARNEY CGM IRA CUSTODIAN, SELF DIRECTED

77. NO DISTRIBUTION TAKEN IN 2009

178. =Citibank NA South Dakota Bank Dep A Interest J T

79. =COMMON STOCKS

80. -Accenture Ltd, Sold 03104109 J A 200

81. =Altria Group 229

82. Buy(add'!)

02/l l/09 J 471

83. Sold 03104109 J A -700

84. =Apple Inc. Sold 03/04/09 J A 50

85. =BP PLC Spons ADR Sold 03/04/09 K A 375

1. Income Gain Codes: A •Sl,000 or less B •Sl,001 • $2,500 c •$2,50l -$5,000 D =$5,001 - $!5,000 E =$15,001 • SS0,000

(See Columns Bl and D4) F =$50,00 I • $ l 00,000 G =$100,001 -SJ,OOO,OOO HI =$1,000,00l - $5,000,000 H2 =More than $5,000,000

2. Value Codes J •$15,000 or less K =$15,00l - $50,000 L =$50,001 • $100,000 M =SI00,001 - $250,000

(See Columns Cl aod D3) N =$250,00 i - $500,000 0 =$500,001 -Sl,000,000 P! -SJ,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001-$50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q Apprais.al R --Cost(Real Estate Only) S =Assessmenr T =Cash Market (Seo ColumnC2) U =Book Value V=01ber W=Estimated

I

189.

1 91.

I I I I I

!

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86. Berkshire Hathaway Inc CL B

87. =Cisco Sys Inc

88. =Citigroup Inc

Sold

Sold

Sold

03/04/09

03/04/09

03/04/09

K

K

J

A

A

A

12

1123

416

=Costco Wholesale Corp New Sold 03/04/09 J A 375

I

190 . -Exxon Mobil Corp

=Genentech Inc.

Sold

Sold

03/04/09

03/04/09

K

J

A

A

416

90

92. =General Electric Co Sold 03/04/09 J A 1227

93. Hewlett Packard Co 100

94. Buy(add'!)

02/11/09 J 225

95. Sold 03/04/09 J A -325

96. =Intel Corp

97. Buy (add'!)

02/11109 J

400

525

98. Sold 03/04/09 J A -925

99 .

=Johnson & Johnson Sold 03/04/09 J A 312

100. =Lowes Companies, Inc. Sold 03i04/09 J A 583

101. =Microsoft Corp Sold 03/04/09 J A 380

102. =Nike Inc CL B Sold 03/04/09 J A 170

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of14 04/28/2010MARSH, MALCOLM F.

VII. INVESTMENTS and TRUSTS - income, vatue, transactions (Inctw1es those of spouse and dependent children; see PP· 34-60 of filing instructions.)


c. D.A. B. Gross value at end Transactions during reporting period

(including trust assets) Income during Description ofAssets

of reporting period reporting period

(!) (2) (1) (2) (2) (3) (4) (5) Amount Type(e.g., Value Value.Place "(X)" after each asset Code l div., rent, Code2 Method (A-H) or int)

exempt from prior disclosure

(J-P) Code 3 (Q-W)

DateType(e.g., buy, sell, mm/dd/yy

redemption)

Value Gain Code 2 Code I

(J-P) (A-H)

Identity of

buyer/seller

(if private

transaction)

V =Other , (See Co!wnn C2) U=BookValue w =Estimated

1. lncome Gain Codes: A =$1 000 or less B=Sl,001-$2,500 c =52,-501 - S.5,00Q D -$5,001 -$15,000 E =$15,001 -$50,000

(See Colwnns BI and 04) F =$50,001 - $100,000 G =$100,001 -Sl,000,000 HI =$1,000.00l -S5,000,000 H2 =More than $5,000,000

2. Value Codes J =S 15,000 or less IC =$15,001 -SS0,000 L=S50,00l -$100,000 M =$100,001 -$250,000

(See ColwMs CJ and 03) N =$250,00 I - $500,000 0 =$500,00I - $1,000,000 Pl =$1,000,001-$5,000,000 P2=$5,000,001 • $25,000,000

P3 =$25,000,001 • $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q=Appraisa1 R =Cost (Real E.•ta!e Only) S =Assessment T =Cas Marl:el

I I ! 1 107.

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(1) Type (e.g.,

buy, sell,

Date of ReportName of Person ReportingFINA.l CIAL DISCLOSURE REPORT of14 04/28/2010MARSH, MALCOLM F.

VII. INVESTMENTS and TRUSTS -income, value, trattstzctions (Includes those ofspouse and dependent children; see PP• 34-60 offiling instruction$.)

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

A. c. D. Description ofAssets B.Income during Gross value at end Transactions during reporting periodII ofreporting periodreporting perto. . d(including trust assets)

I (2) (2) (5)(3) (4)(!) ValueI (2)(1), Amount

Code IPlace "(X)" after each asset Date Value GainValue Identity ofType (e.g.,

lI mm/dd/yy Code 2 CodeCode2 buyer/sellerMethod

Code3 (Q-W)

div., rent,exempt from prior disclosure

(J-P) {A-H) (ifprivateredemption)or int.) (J-P){A-H) transaction)

103. =Oracle Corp Sold 03/04/09 J A 400

104. =Pepsico Inc. Sold 03/04/09 J A 229

I 105. =pfizerlnc Sold 03/04/09 J A 479 I !06. Philip Morris Intl Inc. Sold 03/04/09 J A 229

=Procter & Gamble Co. Sold 03/04/09 J A 250

1 108. =Schlumberger Ltd 874

109. Sold(part)

02126/09 K A -374

llO. Sold 03/04/09 K A -500

111. =Stryker Corp Sold 03/04/09 J A 166

112. -United Technologies Corp 458

113. Sold(part)

02106109 J A -258

114. Sold 03/04/09 J A -200

115. =CORPORATEBONDS

ll6. =HSBC Fin Corp HSBC Fin lnternotes;MAT: 2/15/2015

Buy 08/10/09 J 15,000

117. =SBC Communications Inc. Mat:6/1512016

Buy 03/05/09 K 25,000

ll8. =Goldman Sachs Group Inc Mat:1/15/2017

Buy 09/02109 K 25,000

119. =General Elec Cap Corp; Mat: 2115/2017 Buy 09/02/09 K 25,000

1. lncome Gain Codes: A=$1,000 or less B =$1,00 l - $2,500 C =$2,50 I - $5,000 D=$5,001-Sl5,000 E =$15,001 - S50,000 (See Columns Bl and 04) F =$50,00 l - $100,000 G •$100,001 • $1,000,000 HI •S1,000,001 - $5,000,000 H2 =More lhan$5,000,000

2. Value Codes J =$15,000 or less IC =Sl5,00! - $50,000 L =$50,001 - $100,000 M =Sl00,001 -$250,000

(See Columns Cl and 03) N •$250,001 -$500,000 0 =$500,001 - sl.000,000 Pl -s1,ooo,001 - S5.ooo,ooo l'2 =$5,000,001 - $25,000.000

P3 =$25,000,00 l -$50,000,000 P4=More than $50,000,000

3. Value Melhod Codes Q =Appraisal R =Cos! (Real Eslatc Only) S =Assessment T =Cash Markel(See Column C2) U =Book Value V -<Jther W=Estimated

I I

I I I I

1121.

I

Walmart

Textron

Date of ReportName of Person Reporting FINANCIAL DISCLOSURE REPORT

of14 04/28/2010MARSH. MALCOLM F.

VII. INVESTMENTS and TRUSTS - income, value, transadwns (lnduaes those ofr;pouse and dependent children; see PP· 1<1-60 of filing instructions.)


A. B. c. D.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) I reponing period of reporting period I

I (I) (2) {l) (2)

I (1) (2) (3) (4) (5)

Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/ddlyy Code2 Code I buyer/sellerI(A-H) or int.) {J-P) Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

120. Hartford Finl Svcs Group SR NTS; Mat; Buy 12116/09 K 50,0003/15/2017

=Coca Cola Co Notes Reg; Mat: Buy 03/05/09 K 25,000 I

11/1512017

J 122. =Con Edison Notes, Mat: 12/01/2018 Buy 03/05/09 K 25,000

1 123. Sold 10/15/09 K B -25,000

124. Conocophillips BOS, Mat: 02/0112019 Buy 03/05/09 K 25,000

125. Sold 09/02/09 K B -25,000

126. =DuPont El De Nemou, Mat: 07115/2018 Buy 03105/09 K 25,000

127. Sold 09/02/09 K B -25,000

128. Stores Inc; Mat 2/1/2019 Buy 03/05(09 K 25,000

129. Inc; Mat: 10/01/2019 Buy 10115109 K 35,000

130. Bank of America Corp Sub lnternotes; Buy 12116/09 K 50,000Mat: 3115/2020

131. Dow chem Co. Medium term; Buy 10/15/09 K 35,000Mat:09/15/2020

132. =Ishares Barclays Treas Inflation Protected Buy 02/06/09 275Secs FD

133. Buy 0211109 100(add1)

134. Sold 10/15/09 K A -375

135. =GOVT & GSE BON'DS

136. Fed Home Loan Bank Cons; Mat: 5/18/2016

Buy 03/05/09 K 20,000

1. Jnco1nc Gain Codes: A=Sl,OOOorl..s B =S!.001 - $2,500 c =$2.501 - $5,000 D=S5,001-$15,000 E =$15,001- SS0,000

(Sec Colwnns B1 and 04) F=S50,00I - $100,000 G =SI00,001 - Sl,000,000 HI =Sl,000.001-$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$1 S,000 or less K=SlS,001-$50,000 L =550,001 - SlOO,oOO M =$ l 00,00 l • $250,000

(See Columns Cl and D3) N-S250,001 • $500,000 0 =$500,001 - s 1 ,000,000 Pl =$1,000,001 - S5.000.000 P2 =$5,000,001 • $25,000,000

P3=$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q=Appraisal R -Cost (Real Estate Only) S =Assessment T <ash Market

(See Column C2) U =Book Value V=Other w =Estimated

··-

I

i !

Fed.

Federal

of14

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT MARSH, MALCOLM F. 04/28/2010

VII. INVESTMENTS and TRUSTS - incvme, vafue, transactions (Incfudes tJ.ose of spouse and dependent children; see PP· 34-60 of filing instractions.)


A. Description of Assets


B. Income during

reporting period

c.Gross value at end of reporting period


Place "(X)" after each asset exempt from prior disclosure

(!) (2)

Amount Type (e.g., Code I

I div., ren(A-H} , or int)

(I) Value

Code2(J-P)

(2)Value

MethodCode 3

(Q-W)

(I) Type(e.g,

buy, sell, redemption)

(2) I

(3) Date Value

mmlddlyy Code2

(J-P)

(4)Gain

Code I (A-H}

(5)Identity of

buyer/seller (if private

transaction)

137. Fed Home Loan Bank Cons.; Mat: 12/16/2016

Buy 03/05/09 K 20,000

138. =Fed. Nae! Mtg Assn Debs; Mat: 5/11/2017

Buy 03/05/09 K 25,000

I 139. Nat'! Mtg Assn Debs; Mat:

611212017 Buy 03/05/09 K 25,000 !

140. Fann Credit Bank Cons BDS, Due OI/2912018

Buy 02/26/09 L 100,000

141. Sold 12116/09 M A -100,000

142. US Treasury Notes Ser W-2009, Mat: 02/2812009

Matured 02128109 L c 100,000

143.

144.

145.

Pioneer Trust Bank, Money Market A

Pioneer Trust Bank (See P. l, Positions) A

Interest

Interest K T

Closed

Open

06/17/09

06/23/09

K

K

1. Income Gain Codes: A =Sl,000 or less B =$1,001 -$2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E •SIS,001 - SS0,000 (SeeColunms Bl and 04) F -$50,00 l - $I 00,000 G=SI00,001-$1,000,000 HI -s1,ooo,001- $5,0oo,ooo H2 =More than $5,000,00()

2. Value Codes J=$15,000 or less K =$15,001 • $50.000 L -$50,00 I - $I 00,000 M =$100,001 - S250,000 (See ColwMs Cl and DJ) N =$250,001 - 5500,000 0=$500,001-$1,000,000 Pl =Sl,000,001 -55,000,000 P2 <'$5,000,001 • SZS,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Markel

(Seo Colwnn C2} U =Book Value V =Other W=Estimated

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

MARSH, MALCOLM F. of14 04/28/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (I11dict11epanofReio t)

Spouse died 7114/2009; survivorship rights moved to the filer

FINAJ. CIAL DISCLOSURE REPORT

of14


MARSH, MALCOLM F.

Date of Report

04/28/2010

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

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

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

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

financial disclosure report rort required by the ......135. 07/01/203, i i i i i i page 6of14...

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