William B Shubb Financial Disclosure Report for 2010

8/3/2019 William B Shubb Financial Disclosure Report for 2010

1/11

,40 I0Rev. 1/2011 FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010Report Re quired by the Ethics

in Government ,4ct o f 1978(5 U.S.C. app. 101-111)

I. Person Re por t ing ( las t name, f i r s t , middle in i t ia l)Sh u b b , Wi l li am B.

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or part- time)Senior U . S. Dis trict Court Judge

7. Chambers or Office Address501 1 S t ree tSacramento , CA 95814

2, Court or Organizat ionU. S. Dis t r i c t Cour~

3. Date of R e p o r t04/27/2011

[ 5a. Report Type (check appropriate type)I D Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it ix, in my opinion, in compliancew 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 .

R e v i e w i n g O f f i c er D a t e

6. Repor t ing Per iod0 1 / 0 1 / 20 1 0

to12/31 /2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe,t Complete all parts,checking the N O N E b o x fo r each part where you have no reportable information. Sign on last pag~

I . P 0 S I T I 0 N S . m~ror~.~ i , a i v i a , n t o n t r ; s e , ~ , ~ , . 9 - t ~ of filing instructions.)D (No reportable posi t ions. )O N E

I. Adj u nc t P ro fe sso r2.3.

4.5.

POSITION NAME OF ORGANIZATION/ENTITYUniversi ty of California, Davis, School of Law

II. A G R E E M E N T S . ~ R e p o n ~ .~ individ,ui o,ly; s,, p,. 14-16 of filing instructions.)[~ N O N E (No reportable agreements.)

DATE PARTIES AND TERM S


2/11

F I N A N C I A L D IS C L O S U R E R E P O R TPage 2 o f 11 Ia m e o f P e r s o n R e p o r t i n gShubb, William B. D a t e o f R e p o r t04 /27/2011

I 11 . N O N - I N V E S T M E N T I N C O M E . t~po~ ng indi~dual a ,dspo,~e: seep~A. Filers Non-Investment Incom e

N O N E ( N o reportable non-investment income.)D A T E SOURCE AND TYPE INCOME( y ou r s , no t s po u s e s )

1 .20 1 0 Regent s o f the Univ e rs i ty o f Ca l i fo rn i a $ 4 ,238 .002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - I f you were m arried during any port ion of the report ing year, complete this sect ion.(Dollar am ount not required except for honoraria.)

~] N O N E (No reportable non-investment income.)D A T E SOURCE AND TYPE

1 .2.

3.

4.

I V . R E I M B U R S E M E N T S - ,ru.spo.aao., ~odglng, faod, entenalnment.(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

~] (No repor tab le re imbursem ents . )O N E

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


3/11

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 1

Name o f Pe rson Report ingShubb, William B.

D a t e o f R e p o r ~04/27/201 I

V . G I F T S . a n c l u d ~ , h o s e ,o s p o ~ e u n d d e p e n d e n t children; see ~p. 2 8 - 3 1 of filing instructions.)[~] N O N E ( N o reportable gifts.)

S O U R C E D E S C R I P T I O NI.2.3.4.

VALUE

V I . L I A B I L I T I E S . a n c l ~ d e s , h o s e o l s , o , s e a n d d e ~ n d e n t children; see p p . 3 2 - 3 3 of filing instructions0N O N E ( N o reportable liabili t ies.)

C R E D I T O R D E S C R I P T I O N1 .2.3.

4.5.

VALUECODE


4/11

F I N A N C I A L D IS C L O S U R E R E P O R TPage 4 o f 11

N a m e o f P e r s o n R e p o r t i n gShubb, Wi l l iam B.

D a t e o f R e p o r t04/27/2011

V I I . IN V E S T M E N T S a n d T R U S T S - inco~,e, vol.e, ~o,~o~o~ C inctures those ofsp ...... dependent ch i ld ren; see p p . 3 4 - 6 0 offillng instructions.)N O N E (N o reportable income, assets, or transactions.)

D e s c r ip t io n o f A s se t s I n c o m e d ur i n g( in c lud in g la us t a s se t s ) repor t i ng per i od

I (i) (2)Place "(X)" after each asset A m o u n t T y p e ( e . g .,

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I di v. , ren t ,i (A-H) or i n t . )

I. B A N K A C C O U N T S2. B a n k A m e r i c a ( C h e c ki n g )3. Bank Amer i ca (Maximize r )4. 1s t Com m u ni ty Cre d i t U n i on5.6. ANNUITIES7. A m e r i c a n S k a n d ia8. Venture Annui ty9.1 0 . LIMITED PARTNERSHIPS1 1 . Municipal Mortg. & Equi ty1 2 .

1 3 . RAYMOND JAMES IRA1 4 . Gove rnm e n t S t ri p s1 5 . Ca ps t e a d Mor t ga ge1 6 . RJ B a nk D e p .1 7 . Op penhe imer Senior F l tg Ra te Fund

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(~) (2)

V a l u e V a l u eC o d e 2 M e t h o d

( J - P ) C o d e 3

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 d

(I ) (2) (3) (4)T y p e ( e . g . , D a t e Value Gain

buy, sell, m m ! d d ~ c y C ode 2 C o de Ir e d e m p t i o n ) ( J - P ) ( A - H )

(5 )I d e n t i t y o f

buy er / se l l e r( i f pr iva t e

t r a n s a c t i o n

A I n t e r e s t K T

A I n t e r e s t J TA I n t e r e s t J T

None MNone J

TT

Dividend K W

None

A Div idendA DividendA Dividend

JJ

TSold 12/20/10

TT Buy 03 /31/10

A

I. I n co m e G a i n Co d es :( S ee C olumns B I and I ) 4 )

2. V al ue Co d es( S C olumns C I and D 3 I

3 . V al ue Met ho d Co d es( S ee C olumn C 2 )

A =$1,000 or lessF=$50,001 - $100.000J - $1 5 .0 0 0 ~ le s sN =$250.001 - $500.000P 3 =$25.000.001 - $50.000.000Q=AppraisalU =B ook Value

B = $ 1 , I D O l - $ 2 ,5 0 0G=$100.001 - $1.000.000K =$15.0OI - $50.000O = $5 0 0 .0 0 1 - $ 1 . 0 0 0 . 0O OR = Co s t ( Rca l E s t a t e O n l y )V -~)~hcr

C = $2.5 0 1 -I I I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0L -$ 50.001 - S I00.000PI =$1.000.001 - $5.000.000P4 =More than $50.000.000S = A s s c s s m ~ . n l tW =Estimated

D = $ 5 . 0 0 1 - $ 1 5 , 0 0 01 1 2 = M o r e t h a n $ 5 . 0 0 0 . 0 0 0M = $ 1 0 0 . 0 0 1 - $ 2 5 0 . 0 0 0P2 -S 5 .0 0 0 .0 O I - $ 2 5 . 0 0 0 . 0 0 0T - C a s h M a r k e t

E = $ 1 5 . 0 9 1 - $5 0 .0 0 0


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F I N A N C I A L D IS C L O S U R E R E P O R TPage 5 o f I I

N a m e o f P e r s o n R e p o r t i n gS h u b b, W i l l i a m B .

D a t e o f R e p o r t04/27/20I 1

V I I . I N V E S T M E N T S a n d T R U S T S - i .. .. .. .. r u e , tr .....ions ( I n c l u d e ~ t h o s e of s p o u s e a n d dependent ch i ldren; see p p . 3 4 - 6 0 of filing i n s t r u c t i o n s ~ )~-] ~o reportable income, assets, or transactions.)ONE

A . B . C.D e s c d p l i o n o f A s s e t s I n c o m e d u r in g G r o s s v a l u e a t e n d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o di (I) ( 2 ) (I) (2)

P l a c e " ( X ) " a l ~ e r e a c h a s s e t i A m o u n t T y p e ( e . g . , V a l u e Valuee x e m p t f r o m p r i o r d i s c l o s u r e i Code I d i v . , r e n t , C o d e 2 M e t ho d! ( A-H) o r i n t . } ( J - P ) C o d e 3~ (Q-w)

O)Type (e.g.,

b u y , s e l l ,r e d e m p t i o n )

T r a n . ~ 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 d( 2 ) ( 3 ) (4) (5)

D a t e Value Gain I d e n t i t y o fm m /d d/y y C od e 2 Co de I buy e r/se ller

( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

1 8 .1 9 .

20 .2 1.

R A Y M O N D J A M E S A C C O U N T # 1 : ~ ; _ ~

E agle Tax F ree Money Fund, fmr ly E agleMuni Cash Trust D i vi de ndW F Adv an tage S t ra t eg i c Muni Bond Fund,fmr ly E v e rgreenFrank l in C A H igh Yie ld Muni

AC

D i vi de ndD i v i de nd

JL

TT

2 2. S e li g m a n C A H i Y I d M u n i C D i vi de nd L23 . l nv es co Van Kampen In t e rm M uni Fund24 .

D i vi de nd K T Sold(par t) 01/14/10 K

25 . R A Y M O N D J A M E S A C C O U N T # 226 . E agle Tax F ree Money Fund, fm r ly known A D i vi de nd Ja s Ea g l e Ca sh Tru sMu ni27 . Al l i ance Muni Income Ins d C A B Dividend K28 . Fran kl in I n co meFu n d C Div idend L29 . Fran kl in St ra teg ic I n co meFu n d C D i vi de nd L30 . Highland C ap i t a l F loa t ing Ra te A D i vi de nd K31 . Oppenhe imer Senior F l lg Ra te D D i vi de nd M32 . Inv es co Van Kamp en E qui ty Income Fund, A D i vi de nd Kfm r l y Va n Ka m pe n Eqt y33 . Ci t i z ens B a nk 2 .55% 6 /01 /11 CD A D i vi de nd34 . P re fe r red Bank 1 .15% 5/28/10 A D i vi de nd

T

T

T

TTT Buy(add l )T

R e d e e m e dR e d e e m e d

06/08/I 0

03 /01/1005/28/10

LL

1 . I n co m e G a i n Co d es : A = $ 1 , 0 00 or l e s s B = $1 ,0 01 - $2 .5 0 0 C = $2.5 0 1 - $5 ,00 0 D =$5,001 - $15.000(Se e Co lum~ BI a n d D4) F = $50 ,0 01 - $10 0 .0 00 G =$1 0 0 .00 1 - $1 .0 0 0.0 0 0 III = $1 .0 0 0 .0 0 1 - $5 .0 0 0 .0 0 0 112 = More than $5,00 0.000

2. Value Codes J = $ 1 5 . 0 O O o l e ss K = $ 1 5 . 1 3 O I - $ 5 0 . 0 O O L =$50.0OI - $10~.000 M =$100.001 - $250.000(Se e Co lumn s CI an d D 3) N = $250 .0 01 - $50 0 .0 00 O =$5 0 0 .00 1 - $1 .0 0 0.0 0 0 P I = $1 .0 00 .0 0 1 - $5 ,00 0 .0 00 P2 = $5 .0 00 ,00 1 - $25,0 00 .0 00

P3 = $25.00 0.0 01 - $50 .00 0,00 0 P 4 =M ore tb.an $5 0,0 00.0~03. V a lue M etho d C o d es Q =A pp raisa l R ~Cos! ( R e a l E s t a t e O n l y ) S = Assessm en t T =C as h M ar k c l( S ee C olumn C 2 ) U = Bo o k V a l ue V - Othe r W = E st i m a t ed

E = $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 6 of 11N a m e o f P e r so n R e p o r t i n gShubb, Wi l l iam B.

D a t e o f R e p o r t04/27/2011

V 1 I . I N V E S T M E N T S a n d T R U S T S - i n co m e , , a l u e , ~ . .. . , i o ~ (Includes those of s p o u s e a n d dependent ch i ldren: see p p . 3 4 - 6 0 of.filing i n s t r u c t i o n ~ )N O N E (No reportable income, assets, or transactions.)

D e s c r ip t io n o f A s se t s I n c o m e d ur i n g( i nc l ud i ng t rus t asse t s ) repor t i ng per i od

t (1) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t ! A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r i o r d i s c l o s u r e i Code I di v. , ren t ,i or i n t . )A - I I )35 .36 . W A C H O V I A I R A37 . E qua l ly W eighted S&P Fund38 . New Perspect ive Fund39 .40 . W A C H O V I A "~4 1. B an k s we ep ac ct .42 . Bo ein g43 . Ch e vron44 . C o c a C o l a45 . Genera l E lec t r i c46 . Intel47 . P r o c t o r & G a m b le4 8. I nv e st m en t C om p a ny o f A m e ri ca49 . New Perspect ive Fund50 .

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(I) (2)V a lue V a lue

C o d e 2 M e t h o d( J - P ) C o d e 3( Q - W )

(i )T y p e ( e . g .,

buy, sell,r e d e m p t i o n )

Transac t ion s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4) ( 5 )D a t e Value Gain Identity of

m m /dd/yy Code 2 C od e I buy e r/se ller( J - P ) ( A - H ) ( i f p r i v a t e

t r a n s a c t i o n )

A D i v i d e n d

A D i v i d e n d

JJ

TT

S o l d(part)

Bu y

12/06/1001/29 /10

JJ

A

A Divid end J T S o l d 01/29/I0( p a r t )A Dividend K TA Dividend K TA Dividend K TA Dividend K TA Dividend K TA Dividend K TA Dividend K T Bu y 01/29 /10A Dividend K T Bu y 12/07/10

K

K

5 1 . I R A ~ oI

I. I n co m e G a i n Co d es :( S ee C olumns B I and D 4)

2. Value Cod,:sIS~:e Columns CI and D3)

3 . Value Method Codes( S c C olumn C 2 )

A = $ 1 . 0 O O o r l es sF =$50,001 - $100,000J =$15.000 or lessN =$250,001 - $ 5 0 0 . 0 0 0P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $50,000.000Q -A ppr a i s a lU = Bo o k V a l ue

B=$1,001 - $2.500G=$100.001 - $1.000.000K =$ 1 5 . 0 0 1 - $ 5 0 . 0 0 0O = $5 0 0 .0 0 1 - $1.000.000R =:Cost (Real Eslate Only)V =Other

C = $2 , 5 0 1 - $5 .0 0 0III =$1.000.001 - $5.000.000L = $5 0 .0 O I - $ 1 0 0 . 0 0 0PI =$1.000,001 - $5,000,000P4 =More than $50.000.000S = Assessm en tW = E st i m a t ed

D = $5 , 0 0 1 - $1 5 , 0 0 0112 =More than $5.000.000M = $1 0 0 , 0 0 1 - $25 0 .0 0 0P2 =$5.000.001 * $25,000.000T =C as h M ar k et

E =$15,001 - $50.000


7/11



D a t e o f R e p o r t04/27/2011

VII. INVESTM ENTS and TRUSTS - i .... o , v a l u e , t r a n s a c t i o n S ( lndud~ those o f spouse and dependent ch i ld ren: s e e p l ~ 3 4 - 6 0 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s T r a n s a c t i o n s d u r i n g r q ~ r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m p r i o r d i s c lo s u r ~

I n c o m e d u r in g G r o s s v a l u e a t e n d~ - - p o n i n g p e r i o d o f r e p o r t i n g p e r i o d

(t) (2) (t) (2) (t ) (2) (3) (~) ( 5 )A m o u n t T y p e ( e . g ., V alue V alue T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e t ho d b u y , s e l l , m m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e r( A - H ) o r i n t . ) ( 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 l e( Q - W ) t r a n s a c t i o n )

52 . B a nk D e pos i t Swe e p , f rm r l y knwn a s A D i vi de nd J TW achov ia Bank Dep . Sweep53 . Dividend Growth Fund A Div idend J T54 .

55 .

56 .

57 .

58 .

59 .

60 .

61 .

62 .

63 .

Apache C or p. A D i vi de nd KSempra E ne rgy A D i vi de nd J

T

T

I R A /R O L L O V E R o f H R - I 0

B a nk D e pos i t Swe e p , f rm r l y knwn a sW achov ia Bank Dep . SweepFrank l in Income Fund

A D i v i d e n d

D D i v i d e n d

.I

LT

Eq u a l l y Wei gh ted S& P 5 00 B Di v i dend M T

T Buy(add l )Buy(add l)

01 /29/10 J03 /29/10 K

Dividend Growth Fund B D i vi de nd M TJPM In t e rna ti ona l Va l u e Fu nd A D i vi de nd K T

6 4. Abbot t Labs A Div idend K T65 . AT&T B Dividend K T

66 . Boeing A D i vi de nd K T6 7. Bri sto l Me ye rs A D i vi de nd K T6 8. Catepi l la r B Div idend L T

I . In co m e G a in C o d es: A = $1 .00 0 o r less B = $1 ,0 O l - $2 .5 0 0 C = $2 ,5 0 1 - $5 ,0 0 0 D =$5,O01 - $15.000( S ee C olumns B I and IM ) F =$50.001 - $100,000 G =$100.001 - $1.000.000 I 11 =$ 1 ,0 0 0, 00 1 - $5 .0 0 0. 00 0 1 12 =M o re th an $5 .0 0 0.0 0 0

2. Value Codes J = $1 5.0 ~0 o le ss K = $1 5.0 O I - $50 .00 0 L = $5 0 .00 1 - $10 0 .0 00 M =$100.001 - $250.000( S ee C olumns C I and D 3 ) N =$250.001 - $500.0~0 O =$500.0OI - $1.000.0~0 PI =$I.000.001 - $5.000.000 P2 =$5.000.001 -

P3 =$25,000.001 - $50.000.000 P4 =More than $50.000.0003. V a l ue Mel ho d Co d es Q = Ap p r a i sa l R = Co s t ( Rea l E s t a l c O n l y ) S =A s s es s ment T =C as h M ar k et( S c c C olumn C 2 ) U -B ook Value V =Other W = E sl i m a t cd

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0


8/11


N a m e o f P e r s o n R e p o r t i n gShubb, Wi l l iam B.

D a t e o f R e p o r t04/27 /201 I

VII. INV ESTM ENTS and TRU STS - inc ......u e , t r a t ~ a c t i o t l s (Includes those of spo .....d dependent ch i ld ren; see pp. 3 4 - 6 0 Of fillng ins t ruct ions~)D (No reportable assets , orONE in com e, transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i nc l ud i ng t rus t asse t s ) r e p o r t i n g p e r i o d

(I) (2)Place "(X)" after each asset A m oun t T yp e ( e .g .,

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I di v. , ren t ,( A - H ) or i n t . )

69. Chevron B Dividend70. Cisco A Dividend

71 . Coca Cola A Dividend72 . Comcas t A Dividend73. Conoco B Dividend74 . D u P o n t A Dividend75 . General Electric A Dividend76 . Hewlett Packard A Dividend77 . I n t e l B Dividend78. IBM B Dividend79 . J o h n s o n & J o h n s o n B Dividend80. M ic ro so ft A Dividend81. P roc tor & Gamble A Dividend8 2 . Sempra Energy A Dividend

8 3 . Targe t A Dividend8 4 . Walt Disney A Dividend85. Yum Brands A Dividend

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(I) (2)V a lue V a lue

C o d e 2 M e tho d( J - P ) C o d e 3( Q - W )

L TJ T

K TJ T

K T

K T

K T

K T

K TL T

K T

K T

J T

K T

J T

K T

J T

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 d

O) ( 2 ) ( 3 ) ( 4 ) (5)T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fbuy, sell, m m / d d ~ / Code 2 Co de I buy e r/se ller

r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

I . I nc ome Gain C odes : A = $1 .0 00 or less B = $1 ,0 01 - $2 .5 0 0 C = 5 2.5 0 1 - $5 ,0 0 0 D = $5 .0 01 - $15 .00 0( S ee C olumns B I and D 4) F =$ 50.001. $ 100 ,000 G =$100,001 - $1,000.000 It l =$1.000.001 - $5.0~0.000 112 =More Ihan $5.000.000

2 . Value C odes J = 5 1 5 . 1 3 0 0 o r l e ~ s K =515.001 - 550,000 L = $5 0 .00 1 - $10 0 .0 00 M = 51 0 ~.0 01 - $250 .0 00{ Se t: Co lum n s C I a nd D3 ) N =$ 25 0.0 01 - $ 50 0.0 00 O =$ 50 0.0 01 - $ I.O O0 .0 00 P I = 51 .0 00 .0 01 - $ 5,0 00 .0 00 P2 =$5.000.001 - $25.000.000

13 =$25.00{) .001 - $50.000,000 P4 =Mo~e Ihan $50.000.0{)03 . V a l ue Mcl ho d Co d es Q = Ap p r a i sa l R =Cost (Real Es~ate Only) S = Asscssn ~ n t T = Ca sh M a rko

{ S ec C olumn C 2 ) U =B ook Value V =O,hcr W = E sl i m a t cd

E - $ 1 5 . 0 9 1 - $ 5 0 . 0 0 0


9/11

F I N A N C IA L D I S C L O S U R E R E P O R TPage 9 o f 11


Date of R e p o r t04/27 /201 I

V I I . I N V E S T M E N T S a n d T R U S T S - ~ ....... r u e , tratt~actiot~ (Includes those of sp ...... d dependent childrensee pp. .t4-60 of f!llng instructlon~.)D (No reportable asse ts , orONE i ncome, transactions. )

Description of Assets Income dur ing(including trust assets) r e p o r t i n g p e r i o d

(I) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,

exempt from prior d isclosure Co d e I d i v . , r e n t ,(A-H) o r i n t . )

86 . Zimmer Holdings A D i v i d e n d

87 . B o f A 1 . 1 0 % 4 / 0 1 / 1 0 A lnt./Div.

88 . C O R T S - BM Y S q u i b b 8 - 1 - 9 7 (K N R ) B D i v i d e n d

89 . D e l p hi F i n c l 7 .376 % P f d 5 / 1 / 6 7 A D i v i d e n d

90 . G E C a p i t a l St . N o t e s 21 1 8 / 33 ( G E D ) B D i v i d e n d

91 . G E C a p i t al P I N E S 6 / 2 8 / 3 2 ( G E A ) B D i v i d e n d

92 . G E C C 6 . 1 % P I N E S 1 1 / 1 5 /3 2 ( G E C ) B D i v i d e n d

93 . G eor g i a Pow er Sr . N o t e s 1 / 15 / 45 ( G A H ) A Di v i dend94 . M i s s i s s i p i P w r 5 .6 25 % P f d 4 / 1 5 / 6 7 A D i v i d e n d

95 . M o r g a n S t a n l e y 6 . 4 5 % P f d 4 / 1 5 / 6 7 ( M S K) B Di v i dend

96 . S A T U R N S G E 6 % P f d 3 / 1 5 / 3 2 (D K C ) B D i v i d e n d97 . W a c ho v i a 6 . 375 % P f d 6 / 1 / 6 7 B Di v i dend98 . W e l l s F a r g o C a p i t a l 6 .25 % 6 / 1 5 / 6 7 ( F W F ) B D i v i d e n d

G r o s s value a t endof repor t ing pedodO) 12)V alue V a lue

Code 2 M e t h od( J - P ) Code 3( Q - W )

J T

J T

J T

K T

K T

K T

J T

K T

K T

K T

K T

Transactions during reporting period{I ) t2) (3) (4) (5 )

T y p e (e.g. , D a t e Value Gain I d e n t i t y o fbuy, sell, m n dd d/yy Cod e 2 C od e I buy er/se lle r

r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

Matured 04/01/10 K

Buy 1 0 / 2 5 / 1 0 J

Redeemed 01/20/10 K

Bu y 10/25/10 J

99 .

1. In co m e G ain Co des: A = $1 .0 00 o r less B = $1,0 0 1 - $2.5 0 0 C = $2.5 0 1 - $5 .0 0 0 D -$ 5 .001 - $ 15.000(,Se e C olum n~ B[ an d D 4} F =$ 50 ,0 01 - $ 10 0,0 00 G = $ 100 ,001. $ 1 ,000 ,090 I I I =$1.04)0.001 - $5.000.000 112 =M ore than $5.00~.000

2 . Value C od~ J =$ 15.000 or l e~ K =$15,001 - $50.000 L =$50.0OI - $100.000 M =$100.001 - $250.000IS c C olumns C I and D 3 ) N =$250.001 - $500,000 O =$ 50 0.0 01 - $ 1.0 00 .0 00 P I = $1 ,0 00 .0 OI - $ 5.0 00 ,0 00 1"2 =$5.000.001 - $25.000.000

P3 =$25.00~.001 - $50.0~) .0~0 P4 =More than $50.000.0003. V alue M etho d C o d es Q =A p praisal R ~Cos~ (Real Estate Only) S =A s s es s ment T =C as h M ar k el

( S ee C olumn C 2 ) U = Bo o k V a l ue V = O t he r W = E st i m a l cd

E = $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0


10/11

FINANCIAL DISCLOSURE REPORTPage 10 of 11Na m e o f P e r s o n R e p o r t i n gShubb, Wil l iam B.

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . n,ticate part of report)Line 23 2010 repor t " Inv es co Van Kam pen In t e rm M uni Fund" former ly known as Van Kam pen H i Yie ld MuniLine 32 2010 R epor t " Inv es co Van Kam pcn E qui ty Income Fund" former ly know as Van Kampen E qui ty Incom e Fund

Date of Report04/27/2011

Line 77 in 2009 repor t ~A laca t e I -Lucent" remov ed , v a lue i s be low $1 , 000


11/11



D a t e o f R e p o r t04/27/2011

IX. CERT IFICATION.I cer t ify that a l l in format ion g iven above ( inc lud ing in format ion per ta in ing to m y spouse a nd m inor or depend ent ch i ldren , i f any) i saccurate , t rue , and com ple te to the bes t o f my know ledge and be l i e f, and that any in form at ion not repor ted was w i thhe ld because i t me t appl i cab le s ta tu toryprovis ions permitting non-disclosure.! further certi fy that earned incom e from outs ide employm ent and hono raria and the acceptance of gi fts which have been repo rted are in

compl iance w i th the provi s ions of 5 U.S.C. app. 501 e t . s e q . , 5 U.S.C. 7 3 53 , an d Jud i c i a l Con f eren ce regu l a t i on s .

S igna tur e : S /Wi l l iam B . Shubb

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I FI E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E SU 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 . a p p . 1 0 4 )

Comm ittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Colum bus Circle, N.E.W ashington, D.C. 20544

William B Shubb Financial Disclosure Report for 2010

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