a] UNITED STATES SENATE FINANCIAL DISCLOSURE REPORT FOR ANNUAL AND TERMINATION REPORTS Last Name First Name and Middle Initial Annual Report Senate Of?ce I Agency in Which Employed 5: Calendar Year Covered by Report: El McConnell A. Mitchell, Jr. 2008 United States Senate Senate Of?ce Address (Number, Street. City, State. and ZIP Code) Senate Of?ce Telephone Number (Include Area Code) Termination Report Prior Of?ce I Agency in Which Employed ?t361-A Russell Senate Office Building 202?224-2541 Washington, DC 20510 Termination Date AFTER READING THE INSTRUCTIONS - ANSWER EACH OF THESE QUESTIONS AND ATTACH THE RELEVANT PART m-crn Did any individual or organization make a donation to charity in lieu of paying you for a speech, appearance, or article in the reporting period? If Yes, Complete and Attach PART l. Did you, your spouse, or dependent child receive any reportable travel or reimbursements for travel in the reporting period worth more than $335 from one source)? If Yes, Complete and Attach PART VI. Did you or your spouse have earned income salaries or fees) 'or non- investment income of more than $200 from any reportable source in the reporting period? If Yes, Complete and Attach PART ll. Did you, your spouse, or dependent child have any reportable liability (more than $10,000) during the reporting period? if Yes, Complete and Attach PART Vll. Did you, your spouse, or dependent child hold any reportable asset worth more than $1,000 at the end of the period, or receive unearned or investment income of more than $200 in the reporting period? If Yes, Complete Attach PART illA and/or Did you hold any reportable positions on or before the date of?ling in the current calendar year?? If Yes, Complete and Attach PART Did you, your spouse, or dependent child purchase, sell, or exchange any reportable asset worth more than $1,000 in the reporting period? if Yes, Complete and Attach PART IV. Do you have any reportable agreement or arrangement with an outside entity? If Yes, Complete and Attach PART IX. Did you, your spouse, or dependent child receive any reportable gift in the reporting period aggregating more than $335 and not othenrvise exempt)? If Yes, Complete and Attach PART V. if this is your FIRST Report: Did you receive compensation of more than $5,000 from a single source in the prior years? it Yes, Complete and Attach PART X. Each question must be answered and the appropriate PART attached for each response. File this report and any amendments with the Secretary of the Senate, Office of Public Records, Room 232, Hart Senate Office Building, US Senate, Washington, DC 20510. $200 Penalty for filing more than 30 days after due date. This Financial Disclosure Statement is required by the Ethics in Government Act of 1978, as amended. The statement will be made available by the Office of the Secretary of the Senate to any requesting person upon written application and will be reviewed by the Select Committee on Ethics. Any individual who knowingly and willfully falsifies, or who knowingly and willfully fails to file this report may be subject to civil and criminal sanctions. (See 5 U.S.C. app. 6, 104, and 18 U.S.C. 1001 .) FOR OFFICIAL use Do NotWrite-Below this Line Date (Month, Day, Year) Certi?cation Signature of Reporting Individual I the statementsl . - . have made dn this form and all attached schedules are true, . . Complete andcorrecttothe bestof . -- - - my knowledge and belief. . r. lLi oft For Official Use Only - Do Not Wri elow This Line it is the Opinion of the reviewer that Signature of Reviewing I?t I Date (Month, Day, Year) Of?an the statements made in this form - -.- -, Ethics in Government Act Ii5:1: are in compliance with Title [1&9 - orting lndividual's Name A. Mitchell McConnell, Jr. PART PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES 2 Page Number Report the complete name of each publicly traded asset held by you, your spouse, or your dependent child, (See p.3, CONTENTS OF REPORTS Part of Instructions) for production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in ?unearned" income during the reporting period. Include on this PART a complete identification of each public bond, mutual fund, publicly traded partnership interest, excepted investment funds, bank accounts, excepted and qualified blind trusts, and publicly traded assets of a retirement plan. BLOCK A identity of Publicly Traded Assets And Unearned Income Sources 5% in a: 2 (Q BLOCK Valuation of Assets At the close of reporting period. If None, or less than $1,001, Check the ?rst column. If "None (or less than $201)" is Checked, no other entry is needed in Block for that item, This includes income received or accrued to the bene?t of the individual. Type and Amount of Income BLOCK Type of lncome Amount of Income None (or less than $1,001) $1.001 - $15,000 $15,001 - $50.000 $1,000,001 - $5,000,000 $5,000,001 - $25,000,000 $25,000,001 - $50,000,000 $100,001 - $250,000 Over $50,000,000 $250,001 - $500,000 $500,001 $1 ,000,000 Over $1 Dividends Rent Interest Capital Gains Excepted Investment Fund Excepted Trust Qualified Blind Trust Other Specify Type) None (or less than $201) $201 - $1,000 $1,001 - $2,500 $2,501 - $5,000 $5,001 -$15,000 Actual Amount Required if ?Other? Speci?ed $15,001 - $50,000 $50,001 $100,000 $100,001 - $1,000,000 Over $1 $1,000,001 - $5,000,000 Over $5,000,000 3 IBM Corp. (stock) $50,001 - $100,000 Example Example I :00. Exampe orJ (8) Keystone Fund Example Example Addison Mitchell McConnell, Jr. Revocable 1 Trust: Merrill CMA Tax Exempt Fund 2 Trust: Munder Internet Fund, Class A Trust: Vanguard 500 Index Fund Admiral Shares Trust: Vanguard Small-Cap Value index Fund Trust: Vanguard Capital Opportunity Fund Admiral Shares 6 IRA: ML Bank USA RASP IRA: American Growth Fund of America Class A 8 IRA: Royce Total Return Fund 9 IRA: Baron Asset Fund 10 IRA: Blackrock Global Allocation Fund I EXEMPTION TEST (see instructions before marking box): if you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. This category applies only if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the ?ler orjointly held, use the other categories of value, as appropriate, qu no/f 0,2 Jub?nom porting Individual's Name PageNumber .Mitchell McConnell, Jr_ PART PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES 3 dA BLOCKS BLOCKC ldentityo icy ra ssetS Valuation of Assets eand Amoun And Unearnedlncome Sources I rt. yp toflncome ecoseo repo Ing perio . If "None (or less than $201)" is Checked no other entry is needed in Blocka - . . th . Report the complete name of each publicly If Nglre?kotrhlesfs than $1,001. Includes income received or accrued to the bene?t ofthe individtfarl. at Item This traded asset held by you, yourspouse, or your 9? 3 ?momm- fl dependent child, (See p.3, CONTENTS OF V990 "come Amount oflncome REPORTS Part of Instructions) for production of income or investment which: (1) had a value exceeding $1,000 at the A 0 close of the reporting period; and/or 8. 1g? A Actual (2) generated over $200 in unearned" 23 8 g. 8 Other 0 Amount income during the reporting periodlncludeon this PART Requj?ed identification ofeach public bond, mutualfundTipef?gpubliciytraded partnership interest, excepted 323?} investmentfunds, bankaccounts, excepted and qualified blind trusts(Lgassetsofaretirementplan. wawmmwowmmo?mEo??o 2934539363359535 Si Corp. (stock Example: DC, (8) d) Exampie Example rJ eysone an 0 Example Example 1 IRA: FirstEagleGlobal Class! 2 IRA: First Eagle OverseasClassl 3 lRA:iShareS Barclays TIPS Bond Fund? 4 "(in December 2008, name changed by iShares from Lehman to Barclays) 5 IRA: IvyAsset Strategy Fund ClassY 6 IRA: Permanent Portfolio Fund 7 IRArThirdAvenueValueFund 8 Republic Bank and Trust Co. Checking Account 9 10 ON TEST (see instructions before marking box): if you omitted any asset because it meets the three-part test for exem - . . . . . ption described in theinstructions, please check box to the ht apptgifrii?egow applies only If the asset held Independentiy by the Spouse or dependent child. If the asset is/was either held by the ?ier or jointly held. use the other categories of vallae; as porting lndividual's Name . Mitchell McConnell, Jr. PART PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number 4 BJO'SJeJoesuedo qu ml 01 ,zub?nOJg BLOCK A Identity of Publicly Traded Assets And Unearned Income Sources Report the complete name of each publicly traded asset held by you, your spouse, or your dependent child, (See p.3, CONTENTS OF REPORTS Part of Instructions) for production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in ?unearned" income during the reporting period. Include on this PART 3 complete identification of each public bond, mutual fund, publicly traded partnership interest, excepted investment funds, bank accounts, excepted and qualified blind trusts, and publicly traded assets of a retirement plan. Valuation of Assets BLOCK At the close of reporting period. If None, or less than $1,001, Check the ?rst column. if ?None (or less than $201)" is Checked, no other entry is needed in Block for that item. This includes income received or accrued to the bene?t of the individual. BLOCK Type and Amount of income Type of Income Amount of Income None (or less than $1,001) $1,001 - $15,000 $15,001 - $50,000 $100,001 - $250,000 $250,001 - $500,000 $500,001 $1,000,000 Over $1 $1,000,001 - $5,000,000 $5,000,001 - $25,000,000 $25,000,001 - $50,000,000 Over $50,000,000 Dividends Rent Interest Capital Gains Excepted Investment Fund Excepted Trust Qualified Blind Trust Other Specify Type) None (or less than $201) $1,001 $2,500 $2,501 - $5,000 $5,001 - $15,000 $15,001 - $50,000 $50,001 - $100,000 $100,001 - $1,000,000 Over $1 $1,000,001 - $5,000,000 Over $5,000,000 Actual Amount Required if ?Other" Specified 3 IBM Corp. (stock) $50,001 - $100,000 Example $201 - $1,000 Example [9:00, Exa orJ (8) Keystone Fund Example Example Vanguard Prime Money Market Fund (Joint Account with Spouse) Vanguard Tax-Exempt Money Market Fund (Joint Account with Spouse) Note: Lines 1 and 2 represent a gift from filer's relative. 4 Munder Internet Fund (Spouse) T. Rowe Price Blue Chip Growth Fund (Spouse) T. Rowe Price International Stock Fund (Spouse) 7 T. Rowe Price Mid Cap Growth Fund T. Rowe Price Science and Technology Fund (Spouse) T. Rowe Price Small Cap Stock Fund 9 (Spouse) T. Rowe Price Equity Index 500 Fund (Retirement) (Spouse) CD . 1 EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. This category applies only if the asset islwas held independently by the spouse or dependent child. If the asset islwas either held by the ?ler orjointly held, use the other categories of value, as appropriate. i? porting Individual's Name A. Mitchell McConnell, Jr. PART PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number 5 b?Jo-stoaquedn /1Cl no/f 01 Jub?no BLOCK A BLOCK BLOCK Identity of Publicly Traded Assets Valuation of Assets Type and Amount of Income And Unearned Income Sources Report the complete name of each publicly At the close of reporting period. If "None (or less than $201)" is Checked, no other entry is needed in Block for that item. This If None, or less than $1,001, includes income received or accrued to the bene?t of the individual. Check the ?rst column. traded asset held by YOU. your spouse, 0" your Type of Income Amount of Income dependent child, (See p.3, CONTENTS OF REPORTS Part of Instructions) for production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in ?unearned" income during the reporting period. Include on this PART 3 complete identification of each pubiic bond, mutual fund, publicty traded partnership interest, excepted investment funds, bank accounts, excepted and qualified blind trusts, and publicly traded assets of a retirement plan. Other Specify Type) None (or less than $1,001) $1,001 $15,000 $15,001 $50,000 $1,000,001 - $5,000,000 $100,001 - $250,000 $250,001 - $500,000 $500,001 -- $1,000,000 Over $1 $5,000,001 - $25,000,000 $25,000,001 $50,000,000 Over $50,000,000 Interest Capital Gains Excepted Investment Fund Excepted Trust Quali?ed Blind Trust None (or less than $201) $1,001 - $2,500 $2,501 $5,000 $5,001 $15,000 $15,001 $50,000 $50,001 $100,000 $100,001 - $1,000,000 Over Rent $1,000,001 - $5,000,000 Over $5,000,000 Actual Amount Required if "Other" Specified $50,001 $100,000 Dividends $201 - $1,000 3 IBM Corp. (stock) Example Example le:Dd, xa or.) (3) Keystone Fund Example Example UBS Paine Webber Retirement Account (Spouse): Allianz Growth Fund (formerly PIMCO Growth Fund) (Spouse) Allianz Target Fund (formerly PIMCO Target Fund) (Spouse) UBS Paine Webber IRA: Standard and Poor's Depository Receipts (Spouse) UBS Paine Webber IRA 2: Standard and Poor's Depository Receipts (Spouse) Vanguard IRA: Vanguard 500 Index Fund (Spouse) Vanguard Growth and Income Fund Admiral Shares (Spouse) Vanguard Tax?Exempt Money Market Fund (Spouse) Vanguard 500 Index Fund Admiral Shares 9 (Spouse) I 10 Sun Trust Bank Checking Account (Spouse) EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. This category applies only if the asset is/was held independently by the spouse or dependent child. If the asset is/was either held by the ?ier or jointly held, use the other categories of value, as appropriate. porting lndividual's Name . Mitchell McConnell, Jr. PART TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number 6 xfa ml 01 JUBHOJQ BLOCK A identity of Publicly Traded Assets And Unearned Income Sources Report the complete name of each publicly traded asset held by you, your spouse, or your dependent child, (See p.3, CONTENTS OF REPORTS Part of Instructions) for production of income or investment which: (1) had a value exceeding $1,000 at the close of the reporting period; and/or (2) generated over $200 in ?unearned" income during the reporting period. include on this PART a complete identification of each public bond, mutual fund, publicly traded partnership interest, excepted investment funds, bank accounts, excepted and qualified blind trusts, and publicly traded assets of a retirement plan. Valuation of Assets BLOCK At the close of reporting period. if None, or less than $1,001, Check the ?rst column. lf ?None (or less than $201)" is Checked, no other entry is needed in Block for that item. This BLOCK Type and Amount of Income includes income received or accrued to the benefit of the individual. Type of Income Amount of income None (or less than $1,001) $1,001 - $15,000 $15,001 - $50,000 $100,001 - $250,000 $250,001 - $500,000 $500,001 $1,000,000 Over $1 $1,000,001 - $5,000,000 $5,000,001 - $25,000,000 $25,000,001 - $50,000,000 Over $50,000,000 Dividends Rent interest Capital Gains Excepted investment Fund Excepted Trust Qualified Blind Trust Other Specify Type) None (or less than $201) $201 - $1,000 $1,000,001 - $5,000,000 $100,001 - $1,000,000 Over $5,000,000 $1,001 - $2,500 $2,501 - $5,000 $5,001 - $15,000 $15,001 $50,000 $50,001 - $100,000 Over $1,000,000? Actual Amount Required if ?Other" Specified 8 18M Corp. (stock) $50,001 - $100,000 Example Example iezDC, Exam 0, (3) Keystone Fund Example Example Sun Trust Dreyfus Cash Management Plus Cash Management Account)(S) Mutual of America/DWS Capital Growth Scudder)(Retlrement)(Spouse) Republic Bank Money Market Account (Spouse) 9 10 EXEMPTION TEST (see instructions before marking box): if you omitted any asset because it meets the three-part test for exemption described in the instructions, please check box to the right. This category applies only if the asset is/was held independently by the spouse or dependent child. if the asset is/was either held by the ?ier or jointly held, use the other categories of value, as appropriate. porting individual's Name A. Mitchell McConnell, Jr. PART NON-PUBLICLY TRADED ASSETS AND UNEARNED INCOME SOURCES Page Number 7 BJO'SJeJoesuedo qu ml 01 ,zub?nOJ BLOCK A identity of Non-Publicly Traded Assets and Unearned Income Sources Report the name, address (city, state and description) of each interest held by you, your spouse, or your dependent chiid (See p.3, CONTENTS OF REPORTS Part of Instructions) for the production of income or investment in a non-public trade or business At the close of reporting period. If None. or less than $1,001, Valuation of Assets BLOCK Check the ?rst column. BLOCK Type and Amount of Income If ?None (or less than $201)" is Checked, no other entry is needed in Block for that item. This includes income received or accrued to the bene?t of the individual. Type of Income Amount of income which: 8 73 Actuai - - u. (1)hadava!ue exceeding $1.000 atthe 23 8 3? 8- Other 6% g, Amount closeofthe reporting period; and/uired (2) generated over$200 in ?unearned(Specify qif income during the reporting periodType"Other? Include the above reportforeach underlying Speci?ed 71.11business. assets held bynon? 552? ?Cg("3t uoaComputer, Software Design, Wash DC Example Example le:DC, Examp orJ Undevelopedland.DUquuev Iowa Example Example Real Property with Carriage House Rental, 1 Washington, DC (Joint with SpouseEXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three- This category applies only if the asset is/was held independently by the spouse or dependent child. if the a part test for exemption described in the instructions, please check box to the right. sset is/was either hetd by the ?ier or jointly held, use the other categories of value, as appropriate. wrung Individual's Name . Mitchell McConnell, Jr. PART IV. TRANSACTIONS Page Number 8 Report any purchase, sale. or exchange by you, your Spouse, or dependent Amount of Transaction Transaction ED 8 to 2 child (See p.3 CONTENTS OF REPORTS PartBof Instructions) during the Typetxl 8 reporting period of any real property, stocks, bonds, commodityfutures, and 8 8. 0 other securities when the amount of the transaction exceeded $1,000Include transactions that resulted inaloss. Do not reportatransaction Transaction 0 3 8 g. {33 involving property used solely as your personal residence, oratransaction Date between you, yourspouse, ordependent child. Please claritywhich two 0? Day, Yrproperties are involved in anyreportable exchangeIdentification of Assets so. IBM Corp. (stock) NYSE A (DC) Microso?(SFOCk) A 1 IRA: Dreyfus Premier international Small Cap Fund ClassA 1/31/08 2 IRA: Franklin Mutual Beacon Fund ClassA 1/31/08 3 IRA: First Eagle Overseas Class! 1/31/08 4 IRAzThirdAvenueValueFund 1/31/08 5 Trust: Merrill CMA Tax Exempt Fund (IRA Contribution) 4/14/08 6 IRA: First Eagle Global Class! 4/14/03 7 Blackrook Global Allocation Fundl 4/14/08 8 IRA: Baron AssetFund 4/14/08 9 IRA: Third AvenueVatue Fund 4/14/03 10 IRA: Royce Total Return Fund 4/14/08 1?1 ERA: American Growth Fund ofAmerica ClassA 4/14/08 12 RA: lvy Asset Strategy Fund ClassY 7/30/08 EXEMPTEON TEST (see instructions before marking box): if you omitted any asset because it meets the This category applies only if the asset ls/was held independently by the spouse or dependent child. if the as three-part test for exemption described in the instructions. please check box to the right. set is/was either hetd by the ?ier orjointly held, use the other categories of value, as appropriate. 15:! eporting lndividual's Name . Mitchell McConnell, Jr. PART IV. TRANSACTIONS Page Number 9 Report any purchase, sale, or exchange by you, your spouse, or dependent Amount of Transaction Transaction BJO'SIeJoesuedo qu ml 01 ,qu?nw child (See p.3 CONTENTS OF REPORTS Part of Instructions) during the Type 00 reporting period of any real property, stocks, bonds, commodity futures, and 8 8 othersecurities when the amount ofthe transaction exceeded $1,000. 0 8 8 g? 8? Include transactions that resulted inaloss. Do not reportatransaction Transaction 8 8 8 3 8 8 involving property used solely as your Date 8 8 53 g? 8 8 no; 2?3. 5; 3 between you, yourspouse. ordependentchild. Please clarifywhich two Day, Yrproperties are involved in anyreportable exchange00.: 375$ Qtooctnogquto?m Identi?cation ofAssets lose A e: . ?amp 0? (DC) A 1 IRA: Permanent Portfolio Fund 7/30/08 2 IRA: Baron Asset Fund 7/30/08 3 IRA: Third Avenue Value Fund 7/30/EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three- This category appiies only if the asset islwas held independently by the spouse or dependent child. If the asset is/ part test for exemption described in the instructions. please check box to the right. was either held by the ?ler or jointly held, use the other categories of value, as appropriate. IE: I- porting Individual's Name . Mitchell McConnell, Jr. PART VII. LIABILITIES Page Number 10 Report liabilities over $10,000 owed by you, your spouse, or dependent child (See p.3 Category of Amount of Value go 8 to 8 CONTENTS OF REPORTS to anyone creditorat any time 0 3 during the reporting period. Check the highest amount owed during the reporting 8 33 8 8 g. 2 period. Exclude: (1)Mortgages on your personal residences unless rented; (2) loans secured byautomobiles, household furniture orappliances; and (3) liabilities owed ED: 53," relatives listed in instructions. See instructions for reporting revolving charge a, 93 m? o? 8 2?3: 8 O. ?9 69 . certaln +~gaccounts666888030.de Name ofCredItor Address TypeofLIabilIty ?First District Bank Wash, DC Mortgage on undeveloped land 1991 13% 25yrs A Example or (J) John Jones Wash, DC Promissory Note 1999 10% 02:70, A I- 1 Republic National Bank Louisville, KY Mortgage on 2003 4.625% 15 (Spouse) carriage house rental years 2 (Note: paid in full in 2009) Branch Banking Trust . Guarantee of Two Lines of Credit . 3 Company Alexandria, VA to McConnell Senate 2008 Prime 1/09 4 (Note: paid in full in 2008EXEMPTION TEST (see instructions before marking box): If you omitted any asset because it meets the three- This category applies only if the asset islwas held independentiy by the spouse or dependent child. if the asset is/ part test for exemption described in the instructions, please check box to the right. was either held by the ?ier orjointly held, use the other categories of value, as appropriate. .-. porting lndividuai's Name A. Mitchell McConnell, Jr. PART POSITIONS HELD OUTSIDE U.S. GOVERNMENT Page Number 11 Report any positions held by you during the applicable reporting period whether compensated or not. Positions include, but are not limited to those of an officer, director, trustee, general partner, proprietor, representative, employee, or consultant of any corporation, firm, partnership, or other business enterprise or any non?profit organization or educational institution. Both the year and month must be reported for the period of time that the position was held. Exclude: Positions with federal government, religious, social, fraternal, or political entities, and those solely of an honorary nature. BJO'SJaJoaguadn xfa ml 01 Jub? n01 Name of Organization Address (City, State) Type of Organization Position Held 0513:) (leYr) National Assn. of Rock Collectors EXAMPLE Non-profit education President 6/ 90 Present Example: Jones <3 Smith Hometown, USA EXAMPLE Law Firm Partner 7/ 95 11 /0x 1 University of Kentucky School of Law Lexington, KY Law School mitggr?ggziggjfomm- 6/94 Present 2 Harvard Business Boston, MA the Member (Uncompensated) 1/01 Present 3 Harvard Business School (Spouse) Boston, MA 33221655 Advisory Member (Uncompensated) 1/00 Present 1?3 Compensation in excess of $200 from any position must be reported in Part II.