robert w pratt financial disclosure report for 2010

8/3/2019 Robert W Pratt Financial Disclosure Report for 2010

1/18

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0Report Required by the Ethics

in Governmen t Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r st , m i d d l e i n i t i a l)P R A T T , R O B E R T W .

4. Ti t le (Ar t ic le I I1 judges indicate act ive or s e n i o r s t a t u s ;magistrate judges indicate full- or part-t ime)

U S D I S T R I C T C O U R T J U D G E - A C T I V E

7 . C hamber s o r O f f i ce A d d r e s sU S C O U R T H O U S E1 2 3 E . W A L N U T S T R E E TDES MO1N ES, IA 50309

2 . C o u r t o r O r g a n i z a ti o nU S D I S T R I C T C O U R T - S O I O W A

3. Date of R e p o r t05/11/2011

5a. Repor t Type (check ap propr ia te type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a in e d i n t h i s R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n , i n c o m p l i a n c e

w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Reviewing Officer Date

6. Report ing P e r i o d01/01/2010

to12/31/2010

IMPORTANT NOTES: The instruct ions accompa nying this form m ust be followed. Com plete al l parts,checking the NONE box for each part where you h ave no repo rtable information. Sign on last page.

I . P O S I T I O N S . ~ p o . i n ~ individual only; see pp. 9-1 3 of f il ing instructions.)~] ~o reportable positions.)ONE

POSITION NAME OF ORGANIZATION/ENTITY

2.3.

4.5.

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~ (No reportable agreem ents . )O N E

DATE P A R T I ES A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 o f 18

N a m e o f P e r s o n R e p o r t i n gPRATT, ROBERT W.

Date of Report05/11/2011

I l L N O N - I N V E S T M E N T I N C O M E . ( R e p o s i n g i n d i v i d u o t o n d s p o u s e ; s e e p s . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investment Incom e

[] (No reportab le incom e.)O N E non-investmentDATE SOURCE AND TYPE

2.

3.

4.

I N C O M E(yours , not spou se s )

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - lf you were married dur ing anyportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.

3.

4.

I V . R E I M B U R S E M E N T S - tr.nspor~.tion, lodging, food, e n t e r t a i n m e n ~(Includes those to spouse and dependent children," see pp. 25-2 7 of f!ling instructions.)~ NONE(No reportable reimbursements.)

SOURCE DATES LOCATION1 . A M E R I C A N C O N F E R E N C E 2 / 2 4 /1 0 - 2 /2 6 / 10 N E W Y O R K , N YI N S T I T U T E2. C A R L T O N F I E L D S L A W 5/12/10 - 5 /14/10 S T P E T E R S B U R G , FLF IRM

PURPOSESPEAKINGE N G A G E M E N TS P E A K E R A TN A T I O N A L F E D E R A LS E N T E N C I N GG U I D E L I N E S S E M I N A R

ITEM S PAID OR PROVIDEDT R A N S P O R T A T I O N , L O D G I N G A N DM E A L ST R A N S P O R T A T I O N , L O D G I N G A N DM E A L S

4. P R A C T I C IN G L A W 1 0/ 27 /1 0 - 1 0/ 29 /1 0 N E W Y O R K , N Y S P E A K I N G T R A N S P O R T A T I O N , L O D G I N G A N DI N S T I T U T E E N G A G E M E N T M E A L S

3. A M E R I C A N 6/17/10 - 6/18/10 W A S H I N G T O N , D C S P E A K E R A T A N N U A L T R A N S P O R T A T I O N , L O D G I N G A N DC O N S T I T U T I O N A L C O N V E N T IO N M E A L SS O C I E T Y


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FINANCIAL DISCLOSURE REPORTPage 3 of 18

Name of Person ReportingP R A T T , R O B E R T W .

Date of R e p o r t05/11/2011


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FINANCIAL DISCLOSURE REPORTP a g e 4 o f 1 8

Name of Person ReportingP R A T T , R O B E R T W .

Date of Repor t05/11/2011

V . G I F T S . a n c l u d e s t h o ~ e t o s p o u s e u n d dependent children; see pp . 2 8 - 3 1 of filing instructions.)NO NE (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

V A L U E

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o S s p o u s e a n d dependent children; see pp. 3 2 - 3 3 of f!ling instructions)N O N E (No rep ortable liabilities.)

C R E D I T O R DE S CR IPT ION1 .2.3.

4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t i n gP R A T T , R O B E R T W .


V I I. I N V E S T M E N T S a n d T R U S T S -i .... e , value, t ......lons (Includes those of spouse an d depend ent chi ldren; see pp. 34-60 of f i l ing instruct ions .)NONE (No reportable income, assets, or transactions.)

A. : B. C.D e s c r i p t i o n o f A s s e t s Income during G r o s s v a l u e a t e n d T r a n s a c t o n s d u r i n g r e p o r t i n g p e r i o d

Place "(X)" after each a s s e texem pt from prior disclosure(5 )

A m o u n t T y p e ( e . g .. Va l ue Val u e Type (e.g., D a t e Value Gain Identity ofCode 1 div., rent, Code 2 Method buy, se l l , m m /d d!y y C ode 2 Code 1 buyer/seller(A-H) o r i n t . ) (J-Pi Code 3 redemption) (J-P) (A-H) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n ,

1 . B A N K E R S T R U S T C O M P A N Y A Interes t K T

3.4.5.6.7.8.9.

1 0 .1 1 .1 2 .

1 3 .

1 4 .15 .

1 7 .

M O R G A N S T A N L E Y D E A N W I T T E RM A R K E T A B L E S E C U R I T I E S :M O R G A N S T A N L E Y B A N K Interest M TM S E M E R G I N G M K T S D O M E S T I CD E B TM S E M E R G I N G M K T S D O M E S T I CD E B T D E B TM S E M E R G I N G M K T S D O M E S T I CD E B TM S E M E R G I N G M K T S D O M E S T I CD E B TO M A H A N E A R P T A U T H A R P T R E VREF-FACS 4 .000%A D D I S O N T X G E N L O B L I G R E F U N L T ET A X 4 . 00 0 %I O W A C I T Y I A C O M M S C H D I S T~FLA HFC FIN CORP SER F~FLA HFC FIN CORP SER F~IA ST UNIV SCI & TECH~P U E R T O R I C O E L E C P W R A U T H S E Rssl~C E N T R A L V A L L Y S C H D I S T Z E R OI L L S T C L G S V G S Z E R O

A D i v i d e n d K T B u y 01/08/10 J( add l )A D i v i d e n d Buy 04/15/10 J( add l )A D i v i d e n d B u y 07/15/10 J( add l )A D i v i d e n d B u y 10/15/10 J( add l )A Interes t R e d e e m e d 01/04/10 J

A Interes t S o l d 02/15/I 0 K

A Interes t R e d e e m e d 06/0 l /10 J

A Interest Sold 01/01 / 10 K(part)A Interest Redeemed 07/01 / I 0 KA Interest Redeemed 07/01/10 KA Interest Redeemed 07/01/10 KA Interest Redeemed 08/02/10 KA Interest Redeemed 08/02/10 J

B R O W N C N T Y W I S C G E N L O B L IGA R P T I M P T S E R - A 4 . 0 00 % Interest R e d e e m e d 11/01 / I 0 K

2. Vatue Codes J --$15~000 or less(See Co lumns C I and D3) N =$2!0,001 - $5001000P3 =$25,000;001" $50,000,0003. Value Method Codes Q =Ap p ra i sa l(See Co lumn C2) U =Book Va lue

B =$1 , 00 i 1 $ 2 , 5 0 0O = $ 1 o 0 ; 0 O l : - $ 1 ; o o o , o o oK =$15;001 - $50,000o = $ 5 o o , o o i - $ 1 , o o o , o o oR =Cost (Real Estate Only)V =O th er

C =$2,501 - $5,000HI =$t;000,001 - $5,000;000L =$50~001 - $ 100,000r l = $ i i 0 6 o ; 0 o l - $ 5 , o o o , o 0 oP4 =More than $50,000,000S =A ssessmen tW =Es t ima tcd

D =$5,001 - $15,000H2 =More than $5,000,000M =$ 100 , 001 - $250 ,000P2 =$ 5 , 000 , 00! - $25 , 0~ ,000T =Cash Mark e t

E =$15,001- $50,000


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N a m ~ o f P e r s o n R e p o r ti n gP R A T T , R O B E R T W .


V II. INVESTM ENTS an d TRUSTS - i .... e, value, t ......ions (Includes those of sp ..... nd de pendent chi ldren; seepp. 34-60 of f ! l lng instruct ions .)~-q (No reportable income, assets, orONE transaciions.)

A. B. C. D.D e s e r i o ti o n o f A s s e t s Income during Gross va lue a t end , . T r a n s a c t o n s d u r in g r e p o r t in g p e r i o d

Place "(X)" af iereaehasset Am oun t T y pe (e .g ., Value Val u e Type (e.g., Date Val u e Gain : Identity ofCode 2 M e t h o d buy, sell; . . . . . . . mm/dd/yy Code 2 Code 1 buyer/seller( J - P ) Code 3 redemption) O-P) (A-H) (if privme

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

1 8 .1 9 ,

20 .21 .22 .23 .24 .25 .26 .

27 .28 .29 .

PARIS TX GEN OBLIG~ AB L O O M I N G T O N I L G E N O B L I G R E F B K AQ U A L 4 . 0 00 %U N I V C O N N R E V S E R A Z E R O A

InterestInterestInterest

R e d e e m e d 03/02/I 0 KR e d e e m e d 12/01/10 K

W E S T C H E S T E R P A A R E A S C H D I S T A Interest K4 .000%ALTOON IA GO~ A Interest K

TT

W A U K E E I O W A C M N T Y S C H D I S T R E F AS E R - B 3 . 3 0 0%PR HWYS TRANS~ A

InterestInterest K

Redeemed 06/01/10 K

A R I Z O N A S T T R A N S N B R D H W Y R E VR E F S E R - A 4 . 0 0 0 %P A L M B E A C H C N T Y F L S C H B R D C T F SP A R T N R E V S E R - A 4 . 0 0 0 %O R E G O N S T D E P T A D M I N S V C SS A L E M O R E G O N R E F - C O P S - S E R CA U S T I N T X E L E C U T I L S Y S R E V4.000%S C H I L L E R P A R K I L L G O - C B E 4 . 0 0 0 %

AA

AAA

InterestInterest

InterestInterestInterest

KK

KKJ

TT

TTT

30 . F U L T O N P E O R I A & K N O X C O S I L L A InterestS C H D I S T Z E R O C P N31 . MADISON WISC SWR-A~ B Interest32 . T A C O M A P U B U T IL L IG H T & P W R ~ A Interest33 . S H A K O P E E I M P T B E 4 . 0 00 % A Interest34 . I N K S T E R M I G E N O B L I G ~ C Interest

LLJ

M

T

T

T

R e d e e m e d

T

08/02/10 K

( See C ol unms BI and I M) =F ~ $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 02. Value Codes J =$15,000 or less

(See Co lumns Cl and D3) N =$250,001 - $500,000P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Ap p ra i s al

(See Co lumn C2) U =Book Va lue

B =$1 , 001 - $2 , 500G =$100,001- $1,000,000K=$15 , 001 - $50 , 000O-$500,001- $I , 000,000R =Cost(Rcal Estate Only)V =O th er

C =$2,501 - $5,000 D =$5,001 - $15,000 E =$I 5,001 - $50,000HI =$1 , 000 ;001=$5 ,000 , 000 H2 =M0re than $5;000~000 .....L =$50,001 . $100i000 M =$ i00 ;001 - $250 000PI = $1 , 000 , 001 - $5 , 000 ,000 P2 =$5,000,001- $25~000,000P4 =Mo re than $50,000,000S =A sscssmcn t T = C a s h M a r k e iW = E s t im a t ~


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N a m e o f P e r s o n R e p o r t in gP R A T T , R O B E R T W .

D a t e o f R e p o r t05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n co me , v a l u e , , ...... tions (Includes those of sp .... and dep enden t chi ldren; see pp. 34-60 o/f ! l ing ins t ruct ions . )N O N E (No reportable income, assets, or transactions.)

Description of Assets Income during(including trust assets) report ing period

~ l) (2 )Place "(X)" after each asset A mo u n t Typ e ( e . g . ,

exemp t from prior disclosure Code 1 d i v . , r e n t ,(A-H)

C. DGross value at end Transactions during report ing periodof reporting period(1) (2) (1) (2) (3) (4)

Va l ue Val u e Type (e.g., D a t e Value Gain Identity ofCode 2 Method b uy , s el l . .. .. m m / d d/ yy Code 2 Code I buyer/seller

o r i n t . ) ( J - P ) Code 3 redemption) (J-P) ( A = H ) ( i 1 ) r i v a t e(Q-W) transaction)

35 . PASCO WA GEN OBLIG~ A Interes t J T

36. W.DES MOINES GO-C BE 4.000% A Interes t J T

37 . O D E S S A T X H S G F IN C O R P Z E R O A Interest J TC O U P O N38 . IA ST UNIV SCI & TECH~ C Interest L T39 . M I N N H I G H E R E D U C F A C S A U T H ~ A Interest J T40 . A U R O R A C O L O S I N G L E F A M M T G A Interest J TR E V S E R A Z E R O41 . S C H I L L E R P A R K I L L G O - C B E 4 . 0 00 % B Interest L T42 . DOUGLAS CO COLO SCH DIST 1 ZERA A Interes t K T

43 . W A S H C T Y U T A H S C H D I ST ~ A Interest J T44 . WRIGHT ST UNIV~ A Interest J T45 . W A S H S T G E N O B L I G M O T O R V E H A Interest K TF U E L T A X Z E R O46 . L O U I S IA N N A S T G O G U L F O P P ~ A Interest J T4 7 . E -4 7 0 P U B H W Y A U T H C O L O Z E R O A Interest L T48 . ALASKA ST INTL AIRPORTS~ B Interes t K T

49 . M E T R O W A S H D C A I R PO R T A U T H A Interes t J T412 5

50 . MODESTO CA 1RRD1ST~ A Interes t K T

51 . W I L L C N T Y I L L S C H D I S T N O 1 2 2 A Interes t J TZ E R O

1. I ncome G ai h C 0d~: A = $ 1 ~ 0 0 0 O r I cs s B =$ 1,0 0 1 - $ 2 ,5 0 0(See Coh mm s BI and Dzl ) F =$ 50,001 - $ 100;000 G =$ 100,001 - $ 1 ,000,000

2. Value Codes J = $15 ,000 or less K = $15 ,00I - $50 ,000(See Co lumns CI and D3) N =$ 250,001 - $ 5 00,000 O =$ 500,001 - $ 1 ,000,000

P3 =$25,000,001 - $50,000.000 ,3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(See Co lumn C2) U =Book Va lue V =O th er

C =-$2;501 -$5,000 D =$5,001 - $15,000Hi ~ii000100i = $5~000i000 H2 gM0re than $5,000;000L =$50;001 ~ $100;000 M =$100;001 - $250,000P1 =$1;000,001 .- $5;000~000 p2 =$5,000;001 - $25,000~000P4 --More than $5010001600S =A ssessmen t T =Cash Mark e tW =Es t ima ted

E =$15,001 - $50,000


8/18


N a m e o f P e r s o n R e p o r t in gPRATT, ROBERT W.

D a t e o f R e p o r t05/11 /2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, t ...... t ions (Includes those of spouse and d ependent chi ldren; see pp . 34-60 of f i l lng instruct ions .)~ ] N O N E (No reportable incom e, asse ts, or t ransact ions.)

D e s c r i p t i O n

52 . F A Y E T T E C N T Y K Y S C H D I S T W A Interest J T53 . L A K E C N T Y I L L C M N T Y S C H D t S T N O A Interest L T[] ZERO54 . D E N V E R C O C O N V C T R H O T E L W A Interest K T55 . F L O R I D A S T B R D E D F L I N T L U N I V A Interest J T56 . W A L L A W A L L A W A S H W A T E R & C Interest M TWASTE~57 . V I R G IN I A H S G D E V C O M W L T H S E R A B Interest K T58 . A P O P K A F L A U T I L S Y S R E F I M P T ~ A Interest J T59 .

60 .61 .62 .

63 .

P O M W A Y C A L I F U N I S C H D I S T S P L B InterestO G L E & W I N N E B A G O C N T Y S S C H A InterestDIST ZERO

LJ

TT

R I V E R S I D E C N T Y P A L M D E S E R T C A A Interest J TFIN AUTH~I N D I A N A P O L I S G A S U T I L D I S T S Y S B Interest K TD E S M O I N E S S TO R M W A T E R ~ B Interest L T

6 4 . P U E R T O R I C O P U B I M P R Z E R O A Interest K T65 . S T A T E U N I V I O W A R E C F A C S ~ A Interest K T66 . A L A S K A S T H S G F I N C O R P W C Interest67 . A L A S K A S T H S G F I N C O R P ~ A Interest68 . ALASKA ST HSG FIN CORP~ A Interest

Sold 03/01/10(part )Sold 06/01/10(part)S o ld 12/01/10(part )

J

J

J

1 . Incom e G ain Codes: A = $1.000 o r less B = $1,001 - $2.500(See Columns B I and 12)4) F =$50.001 - $100.000 G =$100.001 - $1.000.000

2. V alue C odes J = $15.000 o r less K =$15.001 - $50,000(See Co lumns C I and D3) N =$250.001 - $ 500.000 O =$500.001 - $1.000,000

P3 =$25.000.001 - $50.000.0003. Value Method Codes Q =Ap p ra i s al R =Cost (Real Estate Only)( See C ol umn C 2) U =Book Va lue V =O th er

C =$2,501 - $5,000 D =$5.001 - $15.000H 1 =$1.000.001 - $5.000.000 H2 =M ore than $5,000.000L =$56.001 - $100,000 M =$100,001 - $250,000P I =$1.000.001 - $5.000.000 P2 =$5.000.001 - $25,000,000P4 Mor et han $50,000.000S =Assessmem T = C a s h M a r k oW =Est ima ted

E =$15,001 - $50,000


9/18


N a m e o f P e r s o n R e p o r ti n gP R A T T , R O B E R T W .

D a t e o f R e p o r t05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .... e , value, transactions (Includes those of sp ...... d depen dent chi ldren; see p p. 34-60 of f i l lng lnstruct lons .)N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e during Gro~s value at end

(including trust assets) report ing period of report ing period(1 ) (2 ) (1) (2) (1) (2) (3) (4) (5 )

Place "(X)" at ter each asset A m oun t Type (e.g.. Value ValUe Type (e:g., Date Value Gain Identi ty ofexem pt from prior disclosure Code 1 div., rent, Code 2 M ethod buy~ sell~ mmidd/yy Code 2 Code 1 buyer/seller(A-H) o r i n t . ) O-P) Code 3:: ~ e d e m i ~ t i o n ) (J-P) (A-H/ (if private

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

69 . W I N N E B A G O B O O N E E T C C N T Y S I L L A Interest J TZ E R OO S C E O L A C N T Y F L S C H B O A R D R A Interest J T0.

71 . W A U K E E I O W A C M N T Y S C H D IS T A Interest J T72 . M I A M I D A D E C N T Y F L E X P W Y A U T H A Interest J TTOLL SY~73 . U N I V N O R T H N I A S T U D E N T U N I O N B Interest K TS E R U N I 4 . 8 0 0 %74 . STATE UNIV IOWA UTIL SY~ A Interest K T75 . CLARK CNTY NEV GEN OBLI(~ B Interest K T76 . O H I O S T H O S P C L E V E C L 1 N I C ~ B Interest K T77 . W Y L I E C IT Y T E X C O M B T A X R E V R A Interest K T78 . D E S M O I N E S I O W A S T O R M W A T E R C Interest R e d e e m e d79 . A N K E N Y I A C O M M S C H D I S T ~ B Interest L T80 . S T C L A I R C N T Y I L L G E N O B L I G Z E R O A Interest K T81 . D E L T O N A F L A T R A N S C A P I M P ~ A Interest J T82 . COVINA C ALIF PUB FIN A Interest J TWASTEWATER~83 . C L A R K C N T Y N E V G E N O B L I G ~ A Interest K T84 . I N D I A N A P O L I S 1 N W A T E R W O R K S B Interest K T85 . W Y L I E C IT Y T E X C O M B T A X R E V ~ A Interest K T

i 11/01/10 L

i A ~ c ~ 6 ~ a i n C o d e s ~ : A :$1;000 6~ tess B --$1,001 ~ $91~00 c =$2 ,50] ~ $5;00 0 D = $ 5 ,001 - $15,000( S e e C o l U m n s B I a ~ d ~ ) F =$501001 ~ $ i00,000 G = $10010hi ~ $ ii0001000 Hi & $i~000~00i ~ ~i000~000 H2~oretha~$5~O00,O00

2. Va lue Codes J =$15,000 Or less K =$15,001 2 $50;000 L ~$50 ~ s$00000 ; M @ $100 00l - $250 000(See Co lu~s CI and D3) N =$250,001 - $500,000 O =$ 500,001 ~ $i~000,000 Pi =$! ,000,001 ~ $5~000~0~ ~ ~$5;000~001 ~ $25;000,000

P3 =$25,000,001 = $ 50;000,000 P4 ~M6~ than S50~o00~0003. Va lue Meth od Cod~ Q =Ap p ra i s al R =Cost (Real Estat~ Only) s =A ssessm~ ni ~: T ~Sh Market( S e e C o l u ~ C 2 ) U =Book Va lue V =O th er W =Es t ima ted

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 10 o f 18 Ia m e o f P e r s o n R e p o r t i n gP R A T T , R O B E R T W . D a t e o f R e p o r t05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S -i . . . . e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)--] N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom ~ during Gross value at end Transactions during report ing period(including trust assets) report ing period of report ing period

(D : (2) (1 ) (2 ) (1 ) (2) O) I (4)Place "(X)" after each asset A m o u n t Typ~ (e.g,, Value

exempt from prior disclosure Code 1 div., rent, Code 2(A-H) o r i i i t : ) . . . . ( J - P )

(5 )Value T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i t y o fM e t h o d b u y , s e l l , m m / d d / y y C o d e 2 C o d e 1 buyer/seller

C o d e 3 redemptionl ( J - P ) ( A -H ) ( i f p r i v a t e(Q -W) t r a n s a c t i o n )

86 . S T E R L I N G H E I G H T S M I C H T R A N S F D A Interest K T87 . N E V A D A S T A T E H I G H E R E D U C B B Interest K T88 . R E N O C I T Y N E V A D A G E N O B L I G B B Interest L T89 . K A N E C O O K & D U P A G E C N T Y S I L L A Interest K T90 . I O W A S T U N I V S C IE N C E & T E C H ~ A Interest J T91 . F L O R I D A S T D E P T E N V I R O N M E N T A L B Interest L TPROTN PRES~92 . C L A R K C N T Y N E V B O N D B K ~ B Interest L T93 . C L A R K C O N V V E G A S A R P T FA C ~ A Interest J T94 . A L A S K A S T 1 N T L A R P T S S Y S B A Interest J T

95 . A L A S K A M U N B N D B K S E R - I~ B Interest K T96 . T E N N E S S E E E N E R G Y A C Q U I S I T I O N B Interest K TCORP GAS REV~97 . UNIVERSITY WASH UNIV REv~ B Interest K T98 . C O L U M B U S O H I O S W R R E V B B Interest K T99 . I O W A S T U N I V A C A D E M I C B L D G ~ C Interest L T100. P U E R T O R I C O S A L E S T A X S U B - A ~ B Interest K T B uy101. B E N S O N A R I Z E X C I S E T A X & S T A Interest K T B uy

SHARED REV OBLIGS~1 0 2 . B E N S O N A R I Z E X C I S E T A X & S T A Interest K T Bu ySHARED REV OBLIGS~

02/09/1007/01/1007/01/10

KKK

( s e e c o i U n m S B I ~ h d I M ) . . . .. . .. .~010o] ~ .... : ~ ~g]~0))0i ~ $i1000 ;~00 I l l ~$1;000,00i : $5,000;00 0 H2--M0re than $5,000;0002. V a lue Codes J = $ 15 ,000 or less K =S] 5~001 ; $50;000 L =$50;00] - $100;000 M ~ $i00100! $250 , 00 0

(See Co lumns C I and D3) N = $ 2 5 0 ; 0 0 1 - $ 5 0 0 ; 0 0 0 O =$500 , 001 = $1 , 000 , 000 PI =$ I ;000 , 001 - $5 ;000 ,000 P2 =$51000;001 = $25 000 000P3 =$25,000,001 - $50;000,000 P4 =More than $50;000;0003. Va lue Meth od Codes Q =Ap p ra i s al : ..... R =Cost (Real Estate Only) S =A ssessmen t T =CaSh Mark e t

(See Co lumn C2) U =Book Va lue V ~ O th er W =Es t ima ted

E =$15,001 - $50,000


11/18


N a m e o f P e r s o n R e p o r t i n gPRATT, ROBERT W.

D a t e o f R e p o r t05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse an d dependent childre n; seepp. 34-60 of fillng instructions)~] N O N E ( N o reportable income, assets, or transactions.)

(including trust assets)

P ace "(X )" after each assetexempt from prior disclosure

(D (2 ) O) (2)Amount Type (e.g., V a l u e V a l u e Type (e.g., D a t e Value Gain I d e n t i t y o fC o d ~ 1 div.,rent, C o d e 2 M e t h o d b u y , s e l l, m r r d d d / y y C o d e 2 C o d e 1 buyer/seller(A-H~ ::: or int.) (J-P) C o d e 3 r e d e m p t i o n ) ( J -P~ ( A - H ) ( i f p r i v a t e( Q -W ) t r a n s a c t i o n )

A Interest K T Bu y 06 /29/10 KC Interest M T B uy 97/08/10 M

1 0 5 . S T A T E U N I V I O W A A T H L E T I C FA C S B Interest K T Bu y 10/14/10 KREV~106. M O R G A N S T A N L E Y D E A N W I T T E RI R A # I :1 0 7 . M O R G A N S T A N L E Y B A N K A Interest K T10 8 . A B S N O T E S O N S & P 5 0 0 I N D E X A Dividend Sold1 0 9 . M S E R M E R G I N G M K T S D O M E S T I C A Dividend J T B uyD E B T (addl)1 1 0 . B A N K O F A M E R I C A C O R P ~ A Dividend Sold111. CREDIT SUISSE GU~ A Dividend J T1 1 2 . D B C A P I T A L C U N F IN G X ~ A Dividend J T113. HSBC HOLDINGS P~ B Dividend Sold114. ING GROEP NV~ A Dividend Sold115. C O M M O D I T Y J U M P C P N B Y M S Z E R O A Interest SoldCP N1 1 6 . N A T I O N A L R U R A L U T I L I T I E S ~ A Interest K T117. STEELCASE INC~ A Interest J T118. FORD MOTOR CREDIT~ C Interest K TI 1 9 . N A T I O N A L R U R A L U T I L IT I E S C O O P B Interest K T

103. W A S T A T E C E R T I F IC A T E S O FPARTICIPATION SER-B~104 . I O W A S T P R I S O N I N FR A S T R U C T U R EFUND OBLIG~

07/20/1012/31/1010/21/10

10/21/10

10/21/10

12131/10

KJJ

JJK

(See Co lunms B 1 and D4) F =$50i001 - $100,000 G =$100;001 - $1,000~000 H 1 =$ 1,000,001 - $5;000,0002. Va lue Codes J =$ ! 5~000 or less K -$15,001 - $50,000 L =$ 50,001 -$100,000

(See Colum ns C 1 and D3) N =$250,001 - $ 500,000 O -$500,001 - $ 1,000,000 P 1 =$ 1,000,001 - $5,000;000P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Va lue Meth od Codes Q =Ap p ra i s al R - Cos t (Rea l Es ta te O n ly ) S =A ssessmen t

(See Co lumn C2) U =Book Va lue V =O th er W =Es t ima ted

D = $5 , 001 - $15 , 000H2 =More than $5,000,000M= $I00 , 001 - $250 ,000P2 =$5,000,001- $25,000,000T =Cash Mark e t

E =$15,001- $50,000


12/18


N a m e o f P e r s o n R e p o r t i n gP R A T T , R O B E RT W .

D a t e o f R e p o r t05/11/2011

V I I. I N V E S T M E N T S a n d T R U S T S -i .... e, value, t ...... lons (Includes those of spouse an d depend ent chi ldren; seepp. 34-60 of ~l lng instruct ions .)N ON E ( N o reportable income, assets, or transactions.)

Description of Assets(including trust assets)

Place "~)" after each assetexemp t from prior disclosure

Incom e during G ross value at endrep orting p eriod o f rep orting p eriod

(11 (2) (l ) (2) (1 ) (2 ) (3) (4) (5 )A m o u n t Type (e.g,, Va l ue V a lue Typ~ (e.g., Date, , Value Gain l d e n t i , t y o fCode 1 div.. rent, Code 2 Method buy, se ll; . . . . .. mm /dd!yy: .: Code 2 C6 de I buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 redemption) ( J - P ) ( A = H ) (if private

( Q - W ) transaction)

120. C A P P R T E C T N O T E O N F X B A S K E TZ E R O121. PSEG POWER LLC~122. AMERICAN EXPRESSg123. DOW CHEMICAL CORPg124. D U A L P A R T I C I P A T I O N C O M M O D I T YZ E R O C P N125. SOUTHWEST AIRLINES COE126. 1NTL PAPER COg

127. PROLOGIS TRUST~128. S O U T H W E S T A IR L I N E S C O E

129. MOSAIC CO REG S~130. MORGAN STANLEY~131. GMACg132. A M E R I C A N I N T L G R O U P g133. CITIGROUP CAP XIXg134. W A C H O V I A C A P I T A L T R U ST X ~135. W E L L S F A R G O C A P I T A L X I I g136. M O R G A N S T A N L E Y B A N K S & P 5 0 0 C DZ E R O C O U P O N

A Interest K TA Interest - So ld

B Interest S o ldB Interest K TA Interest J TB Interest K TA Interest K TA Interest J TA Interest J T

B Interest K TA Interest K TB Interest K TA Interest J TA Interest J TA Interest J TA Interest J TA Interest L T

04/21/10 K08/12/10 L

: i: incoin6 Gain C0de~i A ~$1i~00 0r le~ B =$ 1,0 0 1 - $ 2 ,5 0 0(See Co lumns B I and D4) F = $ 50,001 - $ 100,000 G =$ 100 ,001 - $ 1 ,000,00 0

2. V alue Codes J = $15,000 or less K =$15,001 - $50,000(See Co lumns CI and D3) N =$250,001 - $500,000 0=$500,001-$1,000,000

P3 =$25,000i001 - $50,000,0003. Value Method Codes Q =Ap p ra i sa l R =Cost (Real Estate Only)(See Co lumn C2) U =Book Va lue V =O th er

C =$2,501- $5,000 D =$5,001- $15,000 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0H 1 = $ 1 0 0 0 0 0 1 = $ 5 0 0 0 ; 0 0 0 H 2 = M o r e t h a n $ 5 0 0 0 ~ 0 0 0L = $ 5 0 , 0 0 1 - $ 10 0 ~ 0 0 0 M ~ $ 1 0 0 i 0 0 1 ~ $ 2 5 0 i 0 0 0~ 1 = $ 1 , o o o , 0 O l - $ 5 ; 0 0 0 ; 0 0 0 . . . . . r ~ ~ ; o 0 o ; ~ 0 i ~ $ ~ i ~ 0P 4 = M o r e t ha n $ 5 0 ~ 0 0 0 ~ 0 0 0S = A s s e s s m e n t T = C a s h M a r k e tW = E s t im a t e d


13/18



D a t e o f R e p o r t05/11/2011

VII. INVESTMEN TS and T R U S T S - i n c o m e , value~ t ...... t ions (Includes those of spou se and dependent ch i ldren; see pp. 34-60 of f i l ing instructions .)D N O N E ( N o reportable income, assets, or transactions.)

137. J P M O R G A G N S & P 5 0 0 E Q U I T Y C D A InterestZ E R O C O U P O N1 3 8 . C A P M A R K B A N K M I D V A L U E U T C D C Interest1 3 9 . W E L L S F A R G O B K Z E R O C P N A Interest

K T

TS o l d 08/12/10

140. 10NC3Y MS STEP UP~ A1 4 1. N A S D A Q O M X G R O U P B B1 4 2 . B P C A P I T A L M A R K E T S P L C ~ A143. 15NC1 MS STEP UP~ A1 4 4 . W E S T E R N A S S E T H I G H Y I E L D ( H Y I ) B

Interest J T Bu y 06 /11 /10 JInterest K T Bu y 08/19/10 KInterest K T B uy 08/19 /I 0 KInterest J T Bu y 09/22 /10 J

Dividend K T Bu y 10/29/10[ K145. TRANS-CANADA PIPELINES 6 .350%FIXED146. M O R G A N S T A N L E Y D E A N W I T T E RIRA #2:1 4 7 . M O R G A N S T A N L E Y B A N K

A Interest J T Bu y 11/08/I 0

A Interest K T148. A B B O T T L A B O R A T O R I E S A Dividend K T1 4 9 . A L T R I A G R O U P I N C A Dividend J T1 5 0 . A T & T I N C B Dividend K T15 1 . B O E I N G C O A Dividend K T152. C O C A C O L A C O A Dividend J T153. D W S D R E M A N V A L U E 1 N C E D G EFUND Dividend

i l n c 0 m e G a i n C o d e s : A =$1,000 or less(See Co lumns BI and D4) F =$50.001 [ $100,000

2. V alue Codes J = $15,000 or less(See Co lumns C 1 and D3) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Ap p ra i sa l

(See Co lumn C2) U =Book Va lue

B = $ 1 , 0 0 1 o $ 2 , 5 0 0 C = $ 2 , 5 0 1 - $ 5 , 0 0 0 D =$5,001- $15,000 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0~ ~$ 10 0,0 01 [ $ 1,0 00 ,0 00 H i ~ L 00 ~0 01 2 $ 5i 00 0i 00 0 H2 =More than $5,000~00 0K -- $ 1 5 , o o 1 = $ 5 o , o o o L = $ ~ 0 1 0 0 i : $ 1 0 0 , 0 0 0 M ~ $ 0 0 0 0 1 . $ 2 5 o i o o o . . . .O=$500,001-$1,000,000 PI --$1~000,001 - $5,000i000 1" 2=$5 ;000 ;001 - $25000000

P4 =More than $501000i000R =Cost (Real Estate Only) S --AsSeSsment T =Cash Mark e tV =O th er W =Es t ima ted


14/18



D a t e o f R e p o r t05/l 1/20l I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, t ...... tions (Includes those of spouse and d ependent childr en; seepp. 34-60 of filing instructions.)[ ~ N O N E (No reportable incom e, assets, or transactions.)

1 5 4 . G E N E R A L E L E C T R I C C O A Dividend J T155. ISHARES S&P 100 INDEX FD A D i v i d e n d J T156. PLUS ON TR FTSE/X1NHUA CHINA A Dividend J T1 5 7 . J O H N S O N & J O H N S O N A D i v i d e n d K T B u y( add l )1 5 8 . P H A R M A C E U T I C A L H O L D E R S T R A D i v i d e n d K T

08/19/10 J

1 5 9 . P R O C T O R & G A M B L E A Dividend J T1 6 0 . S P D R S & P M I D C A P 4 0 0 E T F T R U S T A Dividend L T161. AEGON NV~ A D i v i d e n d J T

162. PUBLIC STORAGE~ B D i v i d e n d K T

163. ROYAL BK SCOTLAND GP~ A D i v i d e n d J T164. ML PFD CAPITAL TRUST III~ A In terest ,1 T

1 6 5 . IN T E L C O R P A D i v i d e n d J T Bu y 08/16/10166. M O R G A N S T A N L E Y D E A N W I T T E RIR A # 3 :167. A L L I A N C E B E R N S T E IN S M A L L C A P

G R O W T H168. W A L G R E E N C O A

N o n eDiv idend

JJ

TT

Bu y(addl)Bu y

03/31/1005/06/10

J

J1 6 9 . M O R G A N S T A N L E Y B A N K A I n t e r e s t J T170. M O R G A N S T A N L E Y D E A N W I T T E RIRA #4:

1 .1 ..... G,in Codes: A = $1 ,000 or less : :: B =$L0 0] - $2 ;500( S e e C o l u m n s B I a n d I M ) F =$50100i- $1001000 G =$1001001- $i,000,000

2. V alue Codes J =$ 15,000 or less K =$15;001 - $50~000(See Columns C 1 and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,00i - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(Sec C o lum n C 2) U = Book V a lue V =O th er

C =$ 2,501 ~ $ 5,000 D = $ 5,001 - $ 15,000 E =$15.001 - $50.000H1 =$1,000;001 = $5;000~000 H2--M0i~ thah $5;000~000 1L =$50 O 0 ~ ~ 00 000 f i ; $ i00100i ~ ~2~0 006P1--$11oooioo~ ~ $~;ooo;oooP4 =More than $501000,0Q0S =A sscssmen t T - - Cash Mark e tW = Es t ima ted


15/18


N a m e o f P e r s o n R e p o r t in gP R A T T , R O B E R T W .

Da t e o f R e p o r t05/ I 1 /2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!llng instructions.)~] NONE(No reportable income, assets, or transactions.)

1 7 1 . M O R G A N S T A N L E Y B A N K A Interes t J T1 7 2 . I S H A R E S B A R C L A Y S S H O R T T R E A S A Dividend J T B uy 03/02/10 J173. I S H A R E S B A R C L A Y S S H O R T T R E A S174. I S H A R E S R U S S E L L I 0 0 0 G R I N D E X A Dividend

B uy 11/24/10 J( add l )B uy 03/02/10 J

175. I S H A R E S R U S S E L L 1 0 0 0 G R I N D E X176. I S H A R E S R U S S E L L 1 0 0 0 G R I N D E X177. I S H A R E S R U S S E L L 1 0 0 0 G R I N D E X178. I S H A R E S R U S S E L L 1 0 0 0 V A L U E I D X A Dividend

Bu y 07/15(addl)Bu y 07/28(addl)So ld 11/24/10( p a r t )B uy 03 /02 /10

JJJJ

1 7 9 . IS H A R E S R U S S E L L I 0 0 0 V A L U E I D X

1 8 0 . IS H A R E S R U S S E L L I 0 0 0 V A L U E I D X1 8 1 . S P D R B A R C L A Y S C A P I T A L H I G H Y I E A Dividend

Sold 07/28/10( p a r t )Sold 11/24/10( p a r t )Bu y 03/02/I 0

J

JJ

182. S P D R B A R C L A Y S C A P I T A L H I G H Y IE183. S P D R B A R C L A Y S C A P I T A L H I G H Y IE184. S P D R B A R C L A Y S C A P I T A L H I G H Y IE185. S P D R B A R C L A Y S C A P I T A L 1 N E R N A T A Dividend J T

Buy 05/17/10(addl)S o ld 0 6 /0 4 /1 0(part)S o ld 07/28/10( p a a )Buy 03/02/10

JJJJ

1 8 6 . S PD R B A R C L A Y S C A P I T A L I N E R N A T B u y 06/09/10( add l )

1 87 . S P D R B A R C L A Y S C A P IT A L IN E R N A T B u y 07/29/10( add l )

JJ

i i~om~ ~i~: ~des: A ~$1i000 or less B ~$1 001 ~ $2 500 C --$ 2 501 - $5~000 D = $ 5,001 - $ 15,000 E =$15,001 - $50,000(se e C olu mn ~ B la nd D4 ) F --$ 50 00 1- $i0 0;0 00 G ~$J00 00i : $1 000 000 Hi~$i 000 00i ~ $5 000 000 H2 ~More than $5 000,000

2. Value Codes J =$15,000 Or less K ~$]5,001 - $50~000 L ; = $ 5 0 ; 0 0 1 - - $ i 0 0 ~ 0 0 0 M =$100 001 - $250 ;000(S ee Co lu m ns CI an d D 3) N = $2 50 ,0 01 - $ 50 0,0 00 O--$500~001 ~ $ i !~00i 000 . . . . Pl ~$1i000;00i ~ $~60~i~60 :: ~ ~$5i000;001 ~ $25~000;000

P3 =$25,000,001- $50;000,000 P4 ~M0r~ ihan $50,000i0003. V alue M ethod C o des Q =A pp raisal R =Cost (Real Estate Only) S =A ~se ssme nt T =C ash Mar ket

(See Co lumn C2) U =Book Va lue V --O!he r W =Est ima ted


16/18


N a m e o f P e r s o n R e p o r t in gPRATT, ROBERT W .

D a t e o f R e p o r t05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income. value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)[] N O N E (No reportable income, assets, or transactions.)D e s c d p t i n n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" atter each assetexem pt from prior disclosure

B. C. D. "Income during G r o s s v a lu e m e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o dr e p o ~ t i n g p e ri o d o f r e p o rt i n g p e ri o d

(1) (2) (1) (2) (1 ) (2) (3) (4) (5 )A m ou nt T yp e (e,g ., Value Value Type(e.g., D a t e Value G a i n I d e n t i t y o fC o d e 1 d i v . , r e n t , C o d e 2 M e t h o d buy; sell, m m / d d / y y C o de 2 C o d e 1 buyer/seller( A - H ) o r i n t . ) ( J ~ P ) C o d e 3 redemption) O - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

1 8 8 . S PD R B A R . C L A Y S C A P I T A L I N E R N A T1 89. V A N G U A R D E U R O P E PA C IFIC D iv id en d J T

Sold o7/28/1o I J( p a r t )Bu y 03/02/101 J

190. V A N G U A R D E U R O P E P A C I F I C

191. V A N G U A R D E U R O P E P A C I F I C192. V A N G U A R D E U R O P E P A C I F I C



195. V A N G U A R D T O T A L B O N D M A R K E T A Dividend K

Buy 06/09/10I(addl)S o ld 0 7 /28/1 0 i(part)Sold 11/29/10(part)Buy 11/29/10( add l )B uy 11/30/10(addl)

T Bu y 03/02/10

J

J

J

JJ

K

196. V A N G U A R D T O T A L B O N D M A R K E T

i 9 7 . V A N G U A R D T O T A L B O N D M A R K E T198. V A N G U A R D T O T A L B O N D M A R K E T199.

B u y 06/09/10( add l )B u y 07/28/10( add l )B u y 11/24/10( add l )

J

JJ

200 .

201.~202.203.

I : l nc r~ Ga in c rd~Sl A ~$i;000 6~1~ : : : ~ =$i,06i ~ $2;500 C =$ 2 ,501 -$ 5,00 0 D =$ 5,0 0t-$ 15 ,0 00(See C0lumn~ Bi ~d ~)H l ~$i;000;00i ~ $5;000,000 H2 =M ore t~ an $5 ,000,000

2. Value Codes J =$15 ,000 or less K =$15 O~a ~ $50 000 L =$50,001 - $100~000 M =$100 , ~ 1 - - $250 ;000(See Co lumns CI and D3) N =$ 25 0 ;0 0 1- $ 5 0 0 ,0 00 O ~$500,001 ~ $1i000 000 P I = $ I~ 00 0~ 00 1, $ 5, 00 0, 00 0 P 2 = $5 ,0 00 ,0 01 ~ $25,000,000p3 =$25,000;~1 - $50~000,000 P4 =More than $50;000,000

3. Value Meth~ C~ Q =Appraisal R ~C0Si ~eal Estate Only) S =Asse s sme nt T =Cash Mark e t( S e e C o l u ~ C 2 ) U =Bo0k Va lue ~ =Ot her W =Es t ima te d

E =$15,001- $50,000


17/18


Nam e of Person Report ingP R A T T , R O B E R T W .

Date o f Report05/11/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndlcate part of report.)"


18/18


Nam e of Per son Repor t ingP R A T T , R O B E R T W .


IX. CER TIFICATION.I c e r t if y t h a t a l l i n f o r m a t ion g ive n a b ove ( i nc lud ing i n f o r m a t ion p e r t a in ing t o m y sp ouse a nd m ino r o r de p e nde n t c h i l d r e n , i f a ny ) i s

a c c u r a t e , tr ue , a nd c om p le t e t o t h e b e s t o f m y k now ie dge a nd b e l i e f , a nd th a t a ny i n f o r m a t ion no t r e p o r t e d w a s w i th h e ld b e c a use i t m e t a p p l i c a b l e s t a tu to r yp r ov i s ions p e r m i t t ing non - d i s c lo su r e .I f u r t h e r c e r ti f y t h a t e a r n ed i n co m e f r o m o u t s i d e em p l o y m en t an d h o n o r a r i a an d t h e accep t an ce o f g i f t s wh i ch h av e b een r ep o r t ed a r e i ncompliance with the provis ions of 5 U.S .C . app. 501 e t . seq . , 5 U.S .C . 7353 , and Judic ia l Conference regula t ions .

Signatu re: S/ROBERT W. PRATT

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S I FI E S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . ap p . 1 0 4 )

C o m m i t te e o n F i n a n c i a l D i s c lo s u r eAdmin is t ra t ive Of f ice o f the Uni ted Sta tes Cour t sSu i te 2-301O n e C o l u m b u s C i r c le , N .E .W a s h i n g to n , D . C . 2 054 4

robert w pratt financial disclosure report for 2010

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