# Rosemary M. Collyer > Federal judicial disclosures. URL: https://www.frixlaw.com/law-library/disclosures/6207 ## Record - **Judge:** Rosemary M. Collyer - **Year:** 2013 - **Report type:** Annual - **Pages:** 27 ## Text RIES — Sold BROKERAGE ACCOUNT #1 (H) BRKA - Common Class A — None BRKB - Common Class B (X) — None — from line 2) — Part VII) Schwab Cash Equivalent Accounts — Int/Div DVY-ETF — None — Sold Anne Arundel County, MD Muni Bonds — Interest Baltimore, MD Proj Muni Bonds — Interest Maryland State Muni Bonds — Interest T Rowe Price Maryland Tax Free Bond Fund (MDXBX) — Int/Div — Sold (part) NAVB - Common — None TSLA - Put Option Janl3 40.00 — None — Closed TSLA - Put Option Jun 40.00 — None — Short TSLA - Put Option Jun 40.00 — Closed TSLA - Put Option Jan14 40,00 — None — Short TSLA - Put Option Jun 14 60.00 — None — Short TSLA - Put Option Jani4 150.00 — None — Short IRA #1 — Int/Div Schwab Cash Equivalent Accounts UST Inflation Index Notes 3.625% TIPS IWF-ETF Marsico Growth Fund (MGRIX) — Sold GOV - Common — Sold INJ - Common — Sold ATRS - Common NLY - Common — Sold AGNC - Common — Sold MCD - Common Weitz Short- Intermediate Income Fund (WSHNYO ATRS - Call Option Feb13 5.00 — Expired BP-ADR — Sold JNJ «Call Option Mar13 72.50 — Short JNJ «Call Option Mar13 72.50 — Redeemed BP - Call Option Mar13 41.00 — Short BP - Call Option Mar13 41.00 — Redeemed ATRS - Call Option Nov13 5.00 — Short ATRS - Call Option Nov13 5.00 — Expired ATRS - Call Option May 14 5.00 — Short BP-ADR — Buy BP - Call Option Jan14 45.00 — Short PGF -ETF — Buy MCD - Call Option Dec13 100.00 — Short MCD - Call Option Dec13 100.00 — Expired IRA #2 — Int/Div Schwab Cash Equivalent Accounts GNVC « Common — Sold BOE - Closed End Fund — Sold NEM - Common — Buy (add'l) NAVB - Common XLU-ETF TSLA - Common — Buy TSLA - Call Option Jan14 175.00 — Short QUALIFIED RETIREMENT PLAN #3 — Int/Div Vanguard Variable Insurance Fund International Portfolio — Buy (add'l) — Part VII (e) IRA 24 — Int/Div Schwab Cash Equivalent Accounts XOM « Common — Sold FNFG « Common — Sold RDS/B - ADR WLP - Common — Sold WLP - Call Option Jan 13 60.00 — Redeemed DUK - Common — Sold SO - Common XOM - Call Option Feb13 87.50 — Short XOM - Call Option Feb13 87.50 — Redeemed ESD - Closed End Fund — Buy CAG « Common — Buy IRA #5 — Int/Div Schwab Cash Equivalent Accounts CET - Closed End Fund — Sold Wells Fargo Advantage High Income Trust (STHYX) — Buy VNQ-ETF — Buy DXJ-EIr — Buy GE - Common — Buy DEM -ETF — Buy IRA #6 — None — Closed — Part VII (f) IRA #7 — None — Closed — Part VII (1) Memill Lynch Cash Management Account — Int/Div — Part VII (g) Citibank Checking Account — Interest Trust #1 (H) — Part VII (h) Trust #2 (H) — Int/Div — Part VII (1) GATEWAY TR GATEWAY FD A — Buy GATEWAY TR GATEWAY FD A — Sold HIGHMARK GENEVA SMALL CAP GROWTH FUND — Buy HIGHMARK GENEVA SMALL CAP GROWTH FUND — Sold MAINSTAY FDS TR EPOCH GBL EQT — Buy MAINSTAY FDS TR EPOCH GBL EQT — Sold PIMCO FDS PAC INVT MGMT SER INVGR BONDI — Buy PIMCO FDS PAC INVT MGMT SER INVGR BONDI — Sold ALGER SPECTRA FUND CLASS — Buy ALGER SPECTRA FUND CLASS — Sold ALLIANCE BERNSTEIN HIGH INCOME FD ADVISOR CLASS — Buy ALLIANCE BERNSTEIN HIGH INCOME FD ADVISOR CLASS — Sold ALLIANZ NFJ INTL VALUE FD INSTL CL — Buy ALLIANZ NFJ INTL VALUE FD INSTL CL — Sold ARBITRAGE FD CL — Buy ARBITRAGE FD CL — Sold (part) ARBITRAGE FD CL — Buy (add'l) COLUMBIA THERMOSTAT FUND CLASS 7 — Buy COLUMBIA THERMOSTAT FUND CLASS 7 — Sold DELAWARE POOLED TR DIVERSIFIED INC FD INSTL CL — Buy DELAWARE POOLED TR DIVERSIFIED INC FD INSTL CL — Sold DREYFUS INTL BOND FUNDCL) — Buy DREYFUS INTL BOND FUNDCL) — Sold FIRST EAGLE SOGEN OVERSEAS FUNDCL — Buy FIRST EAGLE SOGEN OVERSEAS FUNDCL — Sold (part) FIRST EAGLE SOGEN OVERSEAS FUNDCL — Buy (add'l) FIRST EAGLE US VALUE FUNDCL 1 — Buy FIRST EAGLE US VALUE FUNDCL 1 — Sold FORUM ABSOLUTE STRATEGIES FD INSTL SHS — Buy FORUM ABSOLUTE STRATEGIES FD INSTL SHS — Sold FORUM ABSOLUTE STRATEGIES FD INSTL SHS — Sold INVESCO BALANCED-RISK ALLOCATIONCLY — Buy INVESCO BALANCED-RISK ALLOCATIONCLY — Sold IVY FDS INC MID CAP GROWTH FD CL!) — Buy IVY FDS INC MID CAP GROWTH FD CL!) — Sold MAINSTAY FDS TR/MARKETFIELD FDCLI — Buy MAINSTAY FDS TR/MARKETFIELD FDCLI — Sold (part) MAINSTAY FDS TR/MARKETFIELD FDCLI — Buy (add'l) OPPENHEIMER DEV MKTSCL Y — Buy OPPENHEIMER DEV MKTSCL Y — Sold OPPENHEIMER INTLBD FD CLASS Y — Buy OPPENHEIMER INTLBD FD CLASS Y — Sold PERMANENT PORTFOLIO FD/PERM PORTFOLIO — Buy PERMANENT PORTFOLIO FD/PERM PORTFOLIO — Sold PIMCO ALL ASSET ALL AUTHORIT FDCLI — Buy PIMCO ALL ASSET ALL AUTHORIT FDCLI — Sold PIMCO EMERGING MKT CURRENCY FDCLI — Buy PIMCO EMERGING MKT CURRENCY FDCLI — Sold PIONEER GLOBAL HIGH YIELD CL Y — Buy PIONEER GLOBAL HIGH YIELD CL Y — Sold PIONEER STRATEGIC INCOME FD CLASS Y — Buy PIONEER STRATEGIC INCOME FD CLASS Y — Sold SCOUT FUNDS CORE BOND FUND INSTL CL — Buy SCOUT FUNDS CORE BOND FUND INSTL CL — Sold TCW FDS INC EMERGING MKTS INCOMEFD CL] — Buy TCW FDS INC EMERGING MKTS INCOMEFD CL] — Sold TEMPLETON INCOME TR/GLOBAL FD FD ADVISOR CL — Buy TEMPLETON INCOME TR/GLOBAL FD FD ADVISOR CL — Sold TFS CAP INVESTMENT TRUST MARKET NEUTRAL FUND — Buy TFS CAP INVESTMENT TRUST MARKET NEUTRAL FUND — Sold THORNBURGH INV MGMT INTL GROWTH FUNDCL — Buy THORNBURGH INV MGMT INTL GROWTH FUNDCL — Sold TOCQUEVILLE TR/ DELAFIELD FD — Buy TOCQUEVILLE TR/ DELAFIELD FD — Sold ADVISORS INNER CIRCLE ACADIAN EMERGING MKTS INSTL CL — Buy ADVISORS INNER CIRCLE ACADIAN EMERGING MKTS INSTL CL — Sold ADVISORS INNER CIRCLE CAMBIAR OPPORTUNITY INV CL — Buy ADVISORS INNER CIRCLE CAMBIAR OPPORTUNITY INV CL — Sold ARBITRAGE EVENT DRIVEN FUND — Buy ARBITRAGE EVENT DRIVEN FUND — Sold ASTON FUNDS SMALL CAP GROWTH FUND CLASS — Buy ASTON FUNDS SMALL CAP GROWTH FUND CLASS — Sold DIAMOND HILL LONG-SHORT FUND CLA — Buy DIAMOND HILL LONG-SHORT FUND CLA — Sold DOUBLELINE FDS TR TOTAL RETURNBDFDCL1 — Buy DOUBLELINE FDS TR TOTAL RETURNBDFDCL1 — Sold DRIEHAUS MUTUAL FUNDS ACTIVE INCOME FUND — Buy DRIEHAUS MUTUAL FUNDS ACTIVE INCOME FUND — Sold (part) DRIEHAUS MUTUAL FUNDS ACTIVE INCOME FUND — Sold FEDERATED EQUITY FDS STRATEGIC VALUE DIVID FD INSTL — Buy FEDERATED EQUITY FDS STRATEGIC VALUE DIVID FD INSTL — Sold HARBOR FD INTL FD INSTL CL — Buy HARBOR FD INTL FD INSTL CL — Sold HARDING LOEVNER FDS INC INTL EQUITY PORTFOLIO — Buy HARDING LOEVNER FDS INC INTL EQUITY PORTFOLIO — Sold HARDING LOEVNER FDS INC GLOBAL EQUITY PORTFOLIO — Buy HARDING LOEVNER FDS INC GLOBAL EQUITY PORTFOLIO — Sold ING GLOBAL REAL ESTATE FUND CL 1 — Buy ING GLOBAL REAL ESTATE FUND CL 1 — Sold ING GLOBAL REAL ESTATE FUND CL 1 — Sold NATIXIS FUNDS TRUST II VAUGHAN NELSON VALLE CLASS Y — Buy NATIXIS FUNDS TRUST II VAUGHAN NELSON VALLE CLASS Y — Sold PIMCO ALL ASSET FND INST CL — Buy PIMCO ALL ASSET FND INST CL — Sold (part) PIMCO ALL ASSET FND INST CL — Sold PIMCO FDS FUNDAMENTAL ADVTG ABSLT RETURN STRT FD INSTLCL — Buy PIMCO FDS FUNDAMENTAL ADVTG ABSLT RETURN STRT FD INSTLCL — Sold PIMCO FDS PAC INVT MGMT SER TOTAL RETURN FD INSTL CL — Buy PIMCO FDS PAC INVT MGMT SER TOTAL RETURN FD INSTL CL — Sold PIMCO FDS PAC INVT MGMT SER TOTAL RETURN FD INSTL CL — Sold PIMCO FUNDS EMERGING LOCAL BOND FUND — Buy PIMCO FUNDS EMERGING LOCAL BOND FUND — Sold PIMCO FUNDS EMERGING LOCAL BOND FUND — Buy (add'l) PIMCO FUNDS EMERGING LOCAL BOND FUND — Sold RIDGEWORTH FUNDS SEIX FLT RT HIGH IND FND CLASS — Buy RIDGEWORTH FUNDS SEIX FLT RT HIGH IND FND CLASS — Sold RIVERPARK FUNDS TRUST/ WEDGEWOOD FUND INSTL CL — Buy RIVERPARK FUNDS TRUST/ WEDGEWOOD FUND INSTL CL — Sold TEMPLETON INCOME TR GLOBAL BD FD ADVISOR CL — Buy TEMPLETON INCOME TR GLOBAL BD FD ADVISOR CL — Sold (part) TEMPLETON INCOME TR GLOBAL BD FD ADVISOR CL — Sold (part) TEMPLETON INCOME TR GLOBAL BD FD ADVISOR CL — Sold UBS AG JERSEY BRH E-TRACS LKD TO ALERIAN MLP INFRSTRE INDEX — Buy UBS AG JERSEY BRH E-TRACS LKD TO ALERIAN MLP INFRSTRE INDEX — Sold UBS AG LONGON BRH ETRACS ALERIAN MLP INDEX — Buy UBS AG LONGON BRH ETRACS ALERIAN MLP INDEX — Sold VIRTUS EMERGING MARKETS OPPORTUNITIES FND CL) — Buy VIRTUS EMERGING MARKETS OPPORTUNITIES FND CL) — Sold ARTISAN FUNDS IND MID CAP VALUE FD INV SHS — Buy CREDIT SUISSE HIGH INCOME FUND COMMON CLASS — Buy DRIEHAUS MUTUAL FUNDS ACTIVE INCOME FUND — Buy NORTHERN LTS FD TR 111 GOOD HARBOR US TACTICAL CORE FD — Buy JOHN HANCOCK FDS 11 GLOBAL ABSOLUTE RETURN STRATS FD — Buy HIGHLAND LONG/SHORT EQUITY FUND CLASS 7 — Buy JOHN HANCOCK FUNDS II CURRENCY STRATEGIES FD CL] — Buy LORD ABBETT INVESTMENT TR SHORT DURATION INCM CLASS F — Buy MANAGERS AMG FUNDS YACKTMAN FUND SERVICE CLASS — Buy VIRTUS ALPHASECTOR ROTATION FD CLASSI — Buy ALGER FDS HSPECTRA FD CL — Buy ALGER FDS HSPECTRA FD CL — Buy (add'l) STRATTON FDS INC SMALL-CAP VALUE FD — Buy WELLS FARGO CASH EQUIVALENT ACCOUNTS — Part VHT (K) Trust #3 (H) — Int/Div — Part VII (1) GATEWAY TR GATEWAY FD A — Buy GATEWAY TR GATEWAY FD A — Sold HIGHMARK GENEVA SMALL CAP GROWTH FUND — Buy HIGHMARK GENEVA SMALL CAP GROWTH FUND — Sold PIMCO FDS PAC INVT MGMT SER INVGR BONDI — Buy PIMCO FDS PAC INVT MGMT SER INVGR BONDI — Sold ALGER SPECTRA FUND CLASS — Buy ALGER SPECTRA FUND CLASS — Sold ALLIANCE BERNSTEIN HIGH INCOME FD ADVISOR CLASS — Buy ALLIANCE BERNSTEIN HIGH INCOME FD ADVISOR CLASS — Sold ALLIANZ NFJ INTL VALUE FD INSTL CL — Buy ALLIANZ NFJ INTL VALUE FD INSTL CL — Sold ARBITRAGE FD CL — Buy ARBITRAGE FD CL — put) ARBITRAGE FD CL — Buy (add'l) COLUMBIA THERMOSTAT FUND CLASS 7 — Buy COLUMBIA THERMOSTAT FUND CLASS 7 — Sold DELAWARE POOLED TR DIVERSIFIED INC FD INSTL CL — Buy DELAWARE POOLED TR DIVERSIFIED INC FD INSTL CL — Sold DREYFUS INTL BOND FUNDCL) — Buy DREYFUS INTL BOND FUNDCL) — Sold FIRST EAGLE SOGEN OVERSEAS FUNDCL 1 — Buy FIRST EAGLE SOGEN OVERSEAS FUNDCL 1 — Sold (part) FIRST EAGLE SOGEN OVERSEAS FUNDCL 1 — Buy (add'l) FIRST EAGLE US VALLE FUNDCL I — Buy FIRST EAGLE US VALLE FUNDCL I — Sold FORUM ABSOLUTE STRATEGIES FD INSTL SHS — Buy FORUM ABSOLUTE STRATEGIES FD INSTL SHS — Sold FORUM ABSOLUTE STRATEGIES FD INSTL SHS — Sold INVESCO BALANCED-RISK ALLOCATIONCLY — Buy INVESCO BALANCED-RISK ALLOCATIONCLY — Sold IVY FDS INC MID CAP GROWTH FD CL] — Buy IVY FDS INC MID CAP GROWTH FD CL] — Sold MAINSTAY FDS TR/MARKETFIELD FDCL1 — Buy MAINSTAY FDS TR/MARKETFIELD FDCL1 — Sold (part) MAINSTAY FDS TR/MARKETFIELD FDCL1 — Buy (add'l) OPPENHEIMER DEV MKTSCL Y — Buy OPPENHEIMER DEV MKTSCL Y — Sold OPPENHEIMER INTLBD FD CLASS Y — Buy OPPENHEIMER INTLBD FD CLASS Y — Sold PERMANENT PORTFOLIO FD/PERM PORTFOLIO — Buy PERMANENT PORTFOLIO FD/PERM PORTFOLIO — Sold PIMCO ALL ASSET ALL AUTHORIT FDCL1 — Buy PIMCO ALL ASSET ALL AUTHORIT FDCL1 — Sold PIMCO EMERGING MKT CURRENCY FDCLI — Buy PIMCO EMERGING MKT CURRENCY FDCLI — Sold PIONEER GLOBAL HIGH YIELD CL Y — Buy PIONEER GLOBAL HIGH YIELD CL Y — Sold PIONEER STRATEGIC INCOME FD CLASS Y — Buy PIONEER STRATEGIC INCOME FD CLASS Y — Sold SCOUT FUNDS CORE BOND FUND INSTL CL — Buy bail — Sold TCW FDS INC EMERGING MKTS INCOMEFD CL — Buy TCW FDS INC EMERGING MKTS INCOMEFD CL — Sold TEMPLETON INCOME TR/GLOBAL FD FD ADVISOR CL. — Buy TEMPLETON INCOME TR/GLOBAL FD FD ADVISOR CL. — Sold TFS CAP INVESTMENT TRUST MARKET NEUTRAL FUND — Buy TFS CAP INVESTMENT TRUST MARKET NEUTRAL FUND — Sold THORNBURGH INV MGMT INTL GROWTH FUNDCL 1 — Buy THORNBURGH INV MGMT INTL GROWTH FUNDCL 1 — Sold TOCQUEVILLE TR/ DELAFIELD FD — Buy TOCQUEVILLE TR/ DELAFIELD FD — Sold ADVISORS INNER CIRCLE ACADIAN EMERGING MKTS INSTL CL — Buy ADVISORS INNER CIRCLE ACADIAN EMERGING MKTS INSTL CL — Sold ADVISORS INNER CIRCLE CAMBIAR OPPORTUNITY INV CL — Buy ADVISORS INNER CIRCLE CAMBIAR OPPORTUNITY INV CL — Sold (part) ADVISORS INNER CIRCLE CAMBIAR OPPORTUNITY INV CL — Sold ARBITRAGE EVENT DRIVEN FUND — Buy ARBITRAGE EVENT DRIVEN FUND — Sold (part) ARBITRAGE EVENT DRIVEN FUND — Sold ASTON FUNDS SMALL CAP GROWTH FUND CLASS — Buy ASTON FUNDS SMALL CAP GROWTH FUND CLASS — Sold DIAMOND HILL LONG-SHORT FUND CLA — Buy DIAMOND HILL LONG-SHORT FUND CLA — Sold DOUBLELINE FDS TR TOTAL RETURNBDFDCL1 — Buy DOUBLELINE FDS TR TOTAL RETURNBDFDCL1 — Sold DRIEHAUS MUTUAL FUNDS ACTIVE INCOME FUND — Buy DRIEHAUS MUTUAL FUNDS ACTIVE INCOME FUND — Sold (part) DRIEHAUS MUTUAL FUNDS ACTIVE INCOME FUND — Sold FEDERATED EQUITY FDS STRATEGIC VALUE DIVID FD INSTL — Buy FEDERATED EQUITY FDS STRATEGIC VALUE DIVID FD INSTL — Sold (part) FEDERATED EQUITY FDS STRATEGIC VALUE DIVID FD INSTL — Sold HARBOR FD INTL FD INSTL CL — Buy HARBOR FD INTL FD INSTL CL — Sold HARDING LOEVNER FDS INC INTL EQUITY PORTFOLIO — Buy HARDING LOEVNER FDS INC INTL EQUITY PORTFOLIO — Sold HARDING LOEVNER FDS INC GLOBAL EQUITY PORT ADV CL — Buy HARDING LOEVNER FDS INC GLOBAL EQUITY PORT ADV CL — Sold ING GLOBAL REAL ESTATE FUND CL 1 — Buy ING GLOBAL REAL ESTATE FUND CL 1 — Sold ING GLOBAL REAL ESTATE FUND CL 1 — Sold (part) ING GLOBAL REAL ESTATE FUND CL 1 — Sold NATIXIS FUNDS TRUST II VAUGHAN NELSON VALLECLASS Y — Buy NATIXIS FUNDS TRUST II VAUGHAN NELSON VALLECLASS Y — Sold PIMCO ALL ASSET FND INST CL — Buy PIMCO ALL ASSET FND INST CL — Sold PIMCO FDS FUNDAMENTAL ADVTG ABSLT RETURN STRT FD INSTL CL — Buy PIMCO FDS PAC INVT MGMT SER TOTAL RETURN FD INSTL CL — Buy PIMCO FDS PAC INVT MGMT SER TOTAL RETURN FD INSTL CL — Sold PIMCO FDS PAC INVT MGMT SER TOTAL RETURN FD INSTL CL — Sold PIMCO FUNDS EMERGING LOCAL BOND FUND — Buy PIMCO FUNDS EMERGING LOCAL BOND FUND — Sold PIMCO FUNDS EMERGING LOCAL BOND FUND — Buy (add'l) PIMCO FUNDS EMERGING LOCAL BOND FUND — Sold RIDGEWORTH FUNDS SEIX FLT RT HIGH IND FND CLASS — Buy RIDGEWORTH FUNDS SEIX FLT RT HIGH IND FND CLASS — Sold RIVERPARK FUNDS TRUST/ WEDGEWOOD FUND INSTL CL — Buy RIVERPARK FUNDS TRUST/ WEDGEWOOD FUND INSTL CL — Sold (part) RIVERPARK FUNDS TRUST/ WEDGEWOOD FUND INSTL CL — Sold TEMPLETON INCOME TR GLOBAL BD FD ADVISOR CL — Buy TEMPLETON INCOME TR GLOBAL BD FD ADVISOR CL — Buy (add'l) TEMPLETON INCOME TR GLOBAL BD FD ADVISOR CL — Sold (part) TEMPLETON INCOME TR GLOBAL BD FD ADVISOR CL — Sold UBS AG JERSEY BRH E-TRACS LKD TO ALERIAN MLP INFRSTRE INDEX — Buy UBS AG JERSEY BRH E-TRACS LKD TO ALERIAN MLP INFRSTRE INDEX — Sold UBS AG LONGON BRH ETRACS ALFERIAN MLP INDEX — Buy UBS AG LONGON BRH ETRACS ALFERIAN MLP INDEX — Sold VIRTUS EMERGING MARKETS OPPORTUNITIES FND CL 1 — Buy VIRTUS EMERGING MARKETS OPPORTUNITIES FND CL 1 — Sold (part) VIRTUS EMERGING MARKETS OPPORTUNITIES FND CL 1 — Sold ARTISAN FUNDS IND MID CAP VALUE FD INV SHS — Buy CREDIT SUISSE HIGH INCOME FUND COMMON CLASS — Buy DRIEHAUS MUTUAL FUNDS ACTIVE INCOME FUND — Buy NORTHERN LTS FD TR 111 GOOD HARBOR US TACTICAL CORE FD — Buy JOHN HANCOCK FDS 11 GLOBAL ABSOLUTE RETURN STRAITS FD — Buy HIGHLAND LONG/SHORT EQUITY FUND CLASS 7 — Buy JOHN HANCOCK FUNDS II CURRENCY STRATEGIES FD CL — Buy LORD ABBETT INVESTMENT TR SHORT DURATION INCM CLASS F — Buy MANAGERS AMG FUNDS YACKTMAN FUND SERVICE CLASS — Buy VIRTUS ALPHASECTOR ROTATION FD CLASS — Buy ALGER FDS ISPECTRAFDCLI — Buy ALGER FDS ISPECTRAFDCLI — Buy (add'l) STRATTON FDS INC SMALL-CAP VALUE FD — Buy WELLS FARGO CASH EQUIVALENT ACCOUNTS — Part VIII (Kk) Gift — US, Courts Judicial Information Technology Committee — Crystal Bowl (Waterford Killamey Footed Centerpiece) — $7100.00 Part | (a) Line | refers to a Trust that is unfunded and has no assets (this Trust is also listed in Part VII, Line 79). Lines 2 and 3 refer to Trusts established on 12/28/12; both are documented in detail in Part VIL PART VIE: (b) In the description of assets the abbreviation ADR refers to American Depositary Receipts (shares of foreign companies trading on U.S. exchanges); ETF refers to Exchange Traded Funds (index funds that trade as common stocks). (c) Put options sold short and later redeemed (i.e. exercised by owner) are shown as having zero gain because the amount received for the short sale is subtracted from the basis for the underlying security that was purchased and is therefore reflected in the gain/loss incurred when that security is ultimately sold. (d) Lines 4, 18, 44, 55 and 68 arc aggregated Schwab cash equivalent accounts containing one or more of the following: Schwab Municipal Money Fund Value Advantage; Schwab Money Fund Value Advantage, Schwab One Cash Account, Charles Schwab Bank Deposit Accounts, and/or Schwab Cash Reserves. They are aggregated here per the 2013 Filing Instructions. These account balances change frequently as a result of securities purchases or sales, cash transfers, and dividends or interest received. The income received and ending values are shown as required in the non-retirement plan account (Line 4). (e) Line 53: Purchases of this fund arc made on a monthly basis. Individual purchases are below the minimum reporting requirement but are aggregated for the entire year with a date shown of 12/31/13. (f) The accounts identified as IRAs #6 (Line 75) and #7 (Line 76) were Roth conversion IRAs with a zero balance in both accounts throughout 2013. Both accounts are now closed, (2) Line 77 refers to an aggregated cash equivalent account at Merrill Lynch that pays both dividends (for Merrill Lynch CMA Money Fund) and interest (for Merrill Lynch Bunk Deposit Program). This is not a brokerage acccount, and no individual stocks, bonds or other assets are held. (h) Line 79 refers to a Trust that is unfunded and has no assets (this Trust is also listed in Part |, Line 1). (1) Trusts #2 and #3 (lines 80 and 218) were established on 12/28/12. (Both Trusts are also listed in Part I). (J) Line 3 represents a partial conversion of Berkshire Hathaway Class A shares (BRKA) to Class B shares (BRKB) on 02/04/13. No shares were purchased or sold during 2013. (k) Lines 217and 358 refer to aggregated Wells Fargo cash equivalent accounts including Bank Deposit Sweep, Wells Fargo Essential Checking, and Wells Fargo Regular Savings. They are aggregated here per the 2013 Filing Instructions. These account balances change frequently as a result of securities purchases or sales, cash transfers, and dividends or interest received. --- Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/6207. Public record. Not legal advice.