Mary B Briscoe Financial Disclosure Report for 2010
Content
FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010
1. Person Reporting (last name, first, middle initial) Briscoe, Mary B. 4. Title (Article 11! judges indicate active or senior status; magistrate judges indicate full- or part-time)
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-111)
2. Court or Organization Tenth Circuit Court of Appeals
5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final
3. Date of Report 08/1012011
6. Reporting Period 01/01/2010 to 12/31/2010
Chief Circuit Judge - Active
5b. [] Amended Report
7. Chambers or Office Address
645 Massachusetts Suite 400 Lawrence, Kansas 66044
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 mast be followecL Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
I. P 0 SIT I ON S. (Reporting individual only; see pp. 9-13 of filing instructions.)
~] NONE (No reportable positions.) POSITION
NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
II. AGREEMENTS. (Reporting individual only; seepp. 14-16 of filing instructions.)
NONE (No reportable agreements.)
DATE
1. ’84-presnt 2. 3.
PARTIES AND TERMS
Kansas Public Employees Retirement System (KPERS) - Judges’ Retirement Progarm - vested
Briscoe, Mary B.
FINANCIAL DISCLOSURE REPORT Page 2 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
Ill. NON-INVESTMENT INCOME. (Reporting individual andspouse; seepp. 17-24 of filing instructions.)
A. Filer’s Non-lnvestment Income D NONE (No reportable non-investment income.) DATE
1. 2010 2. 3. 4.
SOURCE AND TYPE
KS Public Employees Retirement System - Judge’s Retirement Program
INCOME (yours, not spouse’s)
$37,646.00
B. Spouse’s Non-Investment Income - if you were married during anyponion of the reporting year, complete this sectio~
(Dollar amount not required except for honoraria.) ~
NONE (No reportable non-investment income.)
DATE
I. 2010 2. 3. 4.
SOURCE AND TYPE
KU Law School - Director, Legal Aid Clinic-salary
IV. REIMBURSEMENTS - transportation, lodging, food, entertainmenL
(Includes those to spouse and dependent children; see pp. 25-27 off!ling instructions.)
NONE (No reportable reimbursements.) SOURCE
1. 2. 3. 4. 5.
DATES.
LOCATION
PURPOSE
ITEMS PAID OR PROVIDED
FINANCIAL DISCLOSURE REPORT Page 3 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
V. GIFTS. ancludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. andudes those o:spou,e u,d dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
t. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
FINANCIAL DISCLOSURE REPORT Page 4 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
VII. INVESTMENTS and TRUSTS - income, vatue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~
NONE
reportable income, assets, or transactions.)
A. B. Income durin C. Gross value D.
Description of Assets (including trust assets)
(1)... (2)
P ace "(X) after each asset exempt from prior dis¢16sure .... Amount Code 1 (A~H) Type (e.g., di~ ~e~t: or int.)
O)
(2)
"] buy sell redemption) mm/dd/yy Code 2 " Code I (J-P) (A-H) : r of buyer/seller (if private transaction)
Value ..... Value COde ~ Method ..... 0-P) Code 3 (Q-W)
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. l 1. 12. 13.
14. 15. 16. 17.
Capitol Federal - savings Capitol Federal - checking Capitol Federal - CDs Fidelity Annuity (formerly Vanguard Variable Annuity) ING-CAB-Ks Bd RegentsRet.(def.comp) (formerly Aetna) Municipal bond (Denham Spgs) Overland Park KS Impt. Bonds USAA-Subscr. svgs. H. Davidson - stock I Shares TR S&P stock Vanguard Intermediate Term - Mun. Bond Fd Johnson Co. USD 231 Shawnee Co. KS Bond
Johnson Co. KS School Bond (also USD 231) Centerpoint Energy Fidelity Contra Fund
D A D
Interest Interest Interest None
N J M L M K K J J
T T T T T T T T T Sold Sold 06/18/10 12/14/10 .1 K A <Loss $1,000
A B B A A A
Interest Interest Interest Dividend Dividend Dividend None
A B A A
Interest Interest Interest Dividend None
K K K J K
T T T T Sold (part) Sold (part) 03/12/10 J <Loss $1,400
09/30/10 K
(See Columns B 1 and 1)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
F =$50,001 - $100,000 J =$15,000 or less N =$250,00 i - $500,000 P3 =$25,000,00]-$50,000;000 Q =Appraisal U =Book Value
G =$! 00,001 - $ !,000,000 K =$15,00i - $50,000 O =$500,00 t - $1,000,000 R =Cost (Real Estate Only) V =Other
H 1 =$1,000,00t - $5,000,000 L =$50,001 - $ ! 00,000 P 1 =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
FINANCIAL DISCLOSURE REPORT Page 5 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
VII. INVESTMENTS and TRUSTS - income, vulue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place ~’~)!’ after each asset exempt from prior disclosure B. Income during reporting period (I) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method t J-P) (I) Type (e.g., buy. sell, Transactions during reporting period
(2)
Date mroddd/yy
(3)
Value Code 2 (J-P) Gain Code 1 (A-H) .... Identity of buyer/seller (ifprivate transaction)
18.
Fidelity Cash Reserves (Core Fund)
A
Interest None
K Sold K T Sold Sold J T Sold
(part)
19. Harbor International 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Fairholme Fund B Vanguard GNMA Templeton Global Bond B C Bank New York Inc. Discover BK Greenwood DL Harbor Bond Fidelity Tax Exempt A B A
06/30/10 K
<Loss $100
Interest Interest None Dividend
10/18/10 K 12/13/10 K 01/19/10 03/15/10 05/10/10 08/10/10 10/01/10 t 1/15/10 12/15/10 L K K K K L J
A <Loss $100
Buy
(add’l)
Buy (add’l) Sold (part) Buy
(add’l)
(part)
Sold (part) Dividend Dividend K L T T Buy (add’l) Buy (add’l) Buy (add’l) Dividend K T Buy (add’l)
Sold
05/18/10 11/03/10 12/13/10 06/15/10
K K K K
i Int:0~ ~ain C0deSi (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A -% !;000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $ 50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $ 5,000,000 L =$50,001 - $ 100;000 P 1 =$1,000,001 - $5;000,000 P4 -More than $50,000,000 S =Asscssment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,0001000 M =$I00,001 - $250,000 P2 =$51000,001 -$25;000,000 T =Cash Market
E =$15,001 - $50,000
FINANCIAL DISCLOSURE REPORT Page 6 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
VII. INVESTMENTS and TRUSTS - in~’ome, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
B. Income during reporting period (1) Amount (2) Type (e.g.,
C. Gross value at end of reporting period (1) Value (2) Value
D. Transactions during reporting period (1~ ........... (2) : ffype (e~g., Date (3) ’ (4) Gain Value Code 1 (A-H) (5) Identity of buyer/seller (if private transaction)
Place "(X)" after each asset exempt from prior disclosure
(Q-W) 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. Fidelity Vip Disciplined Sm Cap Overland Park, KS Go Intl Bnds Lenexa, KS Go RefBnds Arbitrage Fund SPDR S&P Oil & Gas Artio Global High Jennison 20/20 B B B B A Dividend Interest Interest Dividend Dividend None None K K K L T T T T Sold Sold Buy Sold (part) 05/21/10 06/29/10 01/15/10 03/12/10 K K L K Royce Premier Fund Power Shares DB Commodity Ind. Fidelity Focused High Inc SPDR Gold Tr. Gold Lizard Emerging Mkt. Fpra Lizard Ret. Emg. Mkt. Fidelity GNMA Bond T.Rowe Pr Health Sciences A A B C A Dividend None Interest None Dividend Dividend Dividend None L K K K T T T
Sold Buy (add’l) Buy Sold 03/12/10 09/22/10 01/15/10 06/18/10 J L L L
K
T Sold Sold 05/17/10 K 12/14/10 K
(part)
<Loss $1,000
<Loss $780
1: Income Gain Cod~S: (See Columns B 1 and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 3 =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50;000 O -$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,50 t - $5,000 HI =$1,000,00i -- $5,000;000 L =$50,00! - $t001000 PI =$1,000,001, $51000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001- $15,000 H2 gMore than $5,000,000 M :$100,001 - $250,000 P2 =$5,000,001 -$25,000,000 T =Cash Market
E =$15,001 - $50,000
FINANCIAL DISCLOSURE REPORT Page 7 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
VII. INVESTMENTS and TRUSTS - i.come, vulue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) (1) Value Code 2 (J-P)
(2) Value Method Code 3 (Q-W)
(1) Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value [ Gain mm/dd/yy Code 2~ Code I (J-P) ~A-H)
(5) Identity of buyer/se!!er (ifpri~at~ transaction)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. Harbor Fund Adm. Intrepid Small Cap C A Interest Interest T Fidelity Floating Rate Fidelity Focused High Income A C Interest Interest L L T T Fpra Pimco Pvit A Interest Nuveen Tradewinds B Interest T
Sold Buy Buy (add’l) Buy Sold Buy Buy Sold (part) Buy Buy Sold
05/07/10 [06/t5/10 12/15/10 03/12/10 12/14/10 12/14/t0 !12/14/10 12/14/10 11/12/10 05/12/10 11/01/10
K K K K K L L K L K K
<Loss $4,000
I. Income Gain Codes: (See Columns BI and I)4) 2. Value Codes (See Colunms C I and D3) 3. Value Method Codes (See Column C2)
A =$1;000 or less F =$50,001 - $100,000 J =$15,000 or tess N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,00| - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H i =$1,000,001~ $5;000i000 L =$50,001 : $100,000 P I =$1,000,001 - $5,000;000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 ~M0~e than $511)00;000 M =$100 00l ~ $250;000 P2 =$5,000,001 . $25i000;000 T =Cash Market
E =$15,001 - $50,000
FINANCIAL DISCLOSURE REPORT Page 8 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/20 ! l
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepart of report.)
FINANCIAL DISCLOSURE REPORT Page 9 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/20 ] 1
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. 1 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: S/Mary B. Briscoe
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)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
1. Person Reporting (last name, first, middle initial) Briscoe, Mary B. 4. Title (Article 11! judges indicate active or senior status; magistrate judges indicate full- or part-time)
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-111)
2. Court or Organization Tenth Circuit Court of Appeals
5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final
3. Date of Report 08/1012011
6. Reporting Period 01/01/2010 to 12/31/2010
Chief Circuit Judge - Active
5b. [] Amended Report
7. Chambers or Office Address
645 Massachusetts Suite 400 Lawrence, Kansas 66044
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 mast be followecL Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
I. P 0 SIT I ON S. (Reporting individual only; see pp. 9-13 of filing instructions.)
~] NONE (No reportable positions.) POSITION
NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
II. AGREEMENTS. (Reporting individual only; seepp. 14-16 of filing instructions.)
NONE (No reportable agreements.)
DATE
1. ’84-presnt 2. 3.
PARTIES AND TERMS
Kansas Public Employees Retirement System (KPERS) - Judges’ Retirement Progarm - vested
Briscoe, Mary B.
FINANCIAL DISCLOSURE REPORT Page 2 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
Ill. NON-INVESTMENT INCOME. (Reporting individual andspouse; seepp. 17-24 of filing instructions.)
A. Filer’s Non-lnvestment Income D NONE (No reportable non-investment income.) DATE
1. 2010 2. 3. 4.
SOURCE AND TYPE
KS Public Employees Retirement System - Judge’s Retirement Program
INCOME (yours, not spouse’s)
$37,646.00
B. Spouse’s Non-Investment Income - if you were married during anyponion of the reporting year, complete this sectio~
(Dollar amount not required except for honoraria.) ~
NONE (No reportable non-investment income.)
DATE
I. 2010 2. 3. 4.
SOURCE AND TYPE
KU Law School - Director, Legal Aid Clinic-salary
IV. REIMBURSEMENTS - transportation, lodging, food, entertainmenL
(Includes those to spouse and dependent children; see pp. 25-27 off!ling instructions.)
NONE (No reportable reimbursements.) SOURCE
1. 2. 3. 4. 5.
DATES.
LOCATION
PURPOSE
ITEMS PAID OR PROVIDED
FINANCIAL DISCLOSURE REPORT Page 3 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
V. GIFTS. ancludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. andudes those o:spou,e u,d dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
t. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
FINANCIAL DISCLOSURE REPORT Page 4 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
VII. INVESTMENTS and TRUSTS - income, vatue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~
NONE
reportable income, assets, or transactions.)
A. B. Income durin C. Gross value D.
Description of Assets (including trust assets)
(1)... (2)
P ace "(X) after each asset exempt from prior dis¢16sure .... Amount Code 1 (A~H) Type (e.g., di~ ~e~t: or int.)
O)
(2)
"] buy sell redemption) mm/dd/yy Code 2 " Code I (J-P) (A-H) : r of buyer/seller (if private transaction)
Value ..... Value COde ~ Method ..... 0-P) Code 3 (Q-W)
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. l 1. 12. 13.
14. 15. 16. 17.
Capitol Federal - savings Capitol Federal - checking Capitol Federal - CDs Fidelity Annuity (formerly Vanguard Variable Annuity) ING-CAB-Ks Bd RegentsRet.(def.comp) (formerly Aetna) Municipal bond (Denham Spgs) Overland Park KS Impt. Bonds USAA-Subscr. svgs. H. Davidson - stock I Shares TR S&P stock Vanguard Intermediate Term - Mun. Bond Fd Johnson Co. USD 231 Shawnee Co. KS Bond
Johnson Co. KS School Bond (also USD 231) Centerpoint Energy Fidelity Contra Fund
D A D
Interest Interest Interest None
N J M L M K K J J
T T T T T T T T T Sold Sold 06/18/10 12/14/10 .1 K A <Loss $1,000
A B B A A A
Interest Interest Interest Dividend Dividend Dividend None
A B A A
Interest Interest Interest Dividend None
K K K J K
T T T T Sold (part) Sold (part) 03/12/10 J <Loss $1,400
09/30/10 K
(See Columns B 1 and 1)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
F =$50,001 - $100,000 J =$15,000 or less N =$250,00 i - $500,000 P3 =$25,000,00]-$50,000;000 Q =Appraisal U =Book Value
G =$! 00,001 - $ !,000,000 K =$15,00i - $50,000 O =$500,00 t - $1,000,000 R =Cost (Real Estate Only) V =Other
H 1 =$1,000,00t - $5,000,000 L =$50,001 - $ ! 00,000 P 1 =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
FINANCIAL DISCLOSURE REPORT Page 5 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
VII. INVESTMENTS and TRUSTS - income, vulue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place ~’~)!’ after each asset exempt from prior disclosure B. Income during reporting period (I) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method t J-P) (I) Type (e.g., buy. sell, Transactions during reporting period
(2)
Date mroddd/yy
(3)
Value Code 2 (J-P) Gain Code 1 (A-H) .... Identity of buyer/seller (ifprivate transaction)
18.
Fidelity Cash Reserves (Core Fund)
A
Interest None
K Sold K T Sold Sold J T Sold
(part)
19. Harbor International 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Fairholme Fund B Vanguard GNMA Templeton Global Bond B C Bank New York Inc. Discover BK Greenwood DL Harbor Bond Fidelity Tax Exempt A B A
06/30/10 K
<Loss $100
Interest Interest None Dividend
10/18/10 K 12/13/10 K 01/19/10 03/15/10 05/10/10 08/10/10 10/01/10 t 1/15/10 12/15/10 L K K K K L J
A <Loss $100
Buy
(add’l)
Buy (add’l) Sold (part) Buy
(add’l)
(part)
Sold (part) Dividend Dividend K L T T Buy (add’l) Buy (add’l) Buy (add’l) Dividend K T Buy (add’l)
Sold
05/18/10 11/03/10 12/13/10 06/15/10
K K K K
i Int:0~ ~ain C0deSi (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A -% !;000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $ 50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $ 5,000,000 L =$50,001 - $ 100;000 P 1 =$1,000,001 - $5;000,000 P4 -More than $50,000,000 S =Asscssment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,0001000 M =$I00,001 - $250,000 P2 =$51000,001 -$25;000,000 T =Cash Market
E =$15,001 - $50,000
FINANCIAL DISCLOSURE REPORT Page 6 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
VII. INVESTMENTS and TRUSTS - in~’ome, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
B. Income during reporting period (1) Amount (2) Type (e.g.,
C. Gross value at end of reporting period (1) Value (2) Value
D. Transactions during reporting period (1~ ........... (2) : ffype (e~g., Date (3) ’ (4) Gain Value Code 1 (A-H) (5) Identity of buyer/seller (if private transaction)
Place "(X)" after each asset exempt from prior disclosure
(Q-W) 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. Fidelity Vip Disciplined Sm Cap Overland Park, KS Go Intl Bnds Lenexa, KS Go RefBnds Arbitrage Fund SPDR S&P Oil & Gas Artio Global High Jennison 20/20 B B B B A Dividend Interest Interest Dividend Dividend None None K K K L T T T T Sold Sold Buy Sold (part) 05/21/10 06/29/10 01/15/10 03/12/10 K K L K Royce Premier Fund Power Shares DB Commodity Ind. Fidelity Focused High Inc SPDR Gold Tr. Gold Lizard Emerging Mkt. Fpra Lizard Ret. Emg. Mkt. Fidelity GNMA Bond T.Rowe Pr Health Sciences A A B C A Dividend None Interest None Dividend Dividend Dividend None L K K K T T T
Sold Buy (add’l) Buy Sold 03/12/10 09/22/10 01/15/10 06/18/10 J L L L
K
T Sold Sold 05/17/10 K 12/14/10 K
(part)
<Loss $1,000
<Loss $780
1: Income Gain Cod~S: (See Columns B 1 and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 3 =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50;000 O -$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,50 t - $5,000 HI =$1,000,00i -- $5,000;000 L =$50,00! - $t001000 PI =$1,000,001, $51000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001- $15,000 H2 gMore than $5,000,000 M :$100,001 - $250,000 P2 =$5,000,001 -$25,000,000 T =Cash Market
E =$15,001 - $50,000
FINANCIAL DISCLOSURE REPORT Page 7 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/2011
VII. INVESTMENTS and TRUSTS - i.come, vulue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) (1) Value Code 2 (J-P)
(2) Value Method Code 3 (Q-W)
(1) Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value [ Gain mm/dd/yy Code 2~ Code I (J-P) ~A-H)
(5) Identity of buyer/se!!er (ifpri~at~ transaction)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. Harbor Fund Adm. Intrepid Small Cap C A Interest Interest T Fidelity Floating Rate Fidelity Focused High Income A C Interest Interest L L T T Fpra Pimco Pvit A Interest Nuveen Tradewinds B Interest T
Sold Buy Buy (add’l) Buy Sold Buy Buy Sold (part) Buy Buy Sold
05/07/10 [06/t5/10 12/15/10 03/12/10 12/14/10 12/14/t0 !12/14/10 12/14/10 11/12/10 05/12/10 11/01/10
K K K K K L L K L K K
<Loss $4,000
I. Income Gain Codes: (See Columns BI and I)4) 2. Value Codes (See Colunms C I and D3) 3. Value Method Codes (See Column C2)
A =$1;000 or less F =$50,001 - $100,000 J =$15,000 or tess N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,00| - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H i =$1,000,001~ $5;000i000 L =$50,001 : $100,000 P I =$1,000,001 - $5,000;000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 ~M0~e than $511)00;000 M =$100 00l ~ $250;000 P2 =$5,000,001 . $25i000;000 T =Cash Market
E =$15,001 - $50,000
FINANCIAL DISCLOSURE REPORT Page 8 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/20 ! l
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepart of report.)
FINANCIAL DISCLOSURE REPORT Page 9 of 9
Name of Person Reporting Briscoe, Mary B.
Date of Report 08/10/20 ] 1
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. 1 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: S/Mary B. Briscoe
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)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
