Documente Academic
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Documente Cultură
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
[] Initial
5b. [] Amended Report 7. Chambers or Office Address 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
7614 United States Courthouse Sixth & Market Streets Philadelphia, PA 19106-1752
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable informatio~ Sign on last page.
NAME OF ORGANIZATION/ENTITY
3. 4. 5.
II. AGREEMENTS. meponing mdi~muul o.ly; see pp. 14-16 offiling mstructlons.)
~
Pratter, Gene E.
Date of Report
04/27/2011
IlL NON-INVESTMENT INCOME. (gepo.ing individuat and spouse; see pp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
~ NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
1. 2010 2. 3. 4.
B. Spouses Non-Investment Income - if you were married during anyportion of the reporting year, complete this section,
(Dollar amount not required except for honoraria.)
DATES
LOCATION
PURPOSE
4. 5.
V. GIFTS. ancludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2.
DESCRIPTION
VALUE
3.
4. 5.
VI. LIABILITIES. aneludes those of spouse and dependent children; seepp. 32-33 of filing instructions)
~ NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5. Bank of America East River Bank Credit Card Mortgage on Rental Property #1, Philadelphia, PA (Pt VII, Line 233)
DESCRIPTION
VALUE CODE
J N
VII. INVESTMENTS and TRUSTS - i.come, value, transactions (Includes those of spouse and depe.dent children; seepp. 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)
.:
1. 2. 3.
Adams Harkness Small Growth - Retirement #5 DFA US Small Cap Value - Retirement #5 DFA US Large Cap Value - Retirement #5 A A A A A A A A
None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None A A A A Dividend Dividend Dividend Dividend None A Dividend
None
J J
4. Federated US Govt 1 - 3 - Retirement #5 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16.
17.
Sold K J J J J J J T T T T T T
Buy
10/29/10 K
11/01/10 K
Federated Govt Ultrashort - Retirement #5 First Eagle Overseas - Retirement #5 Janus Fund - Retirement #5 Janus Overseas - Retirement #5 Schwab Money Market - Retirement #5 Westcore MIDCO Growth - Retirement #5 Janus Mid Cap Value - Retirement #5 William Blair Intl Small Growth Retirement #5 Federated US Govt 1 - 3 - Retirement #6 Federated Govt Ultrashort - Retirement #6 Baron Growth - Retirement #6 First Eagle Overseas - Retirement #6
Royce Opportunity - Retirement #6
Sold J J J
J
10/29/10 J 11/01/10 J
Buy
(See Colunms B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
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
G =$100,001 - $1,000,000 K =$15,001 - $50;000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V -Olher
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 =Assessment W =Estimated
D =$5,001 - $15,000 H2 =Mrre than $5~000~000 : M =$100 00| - $250 000 P2 =$5;000;001 - $25;000i000 : T =Cash Market
E =$15,001 - $50,000
tlons (Includes those of spouse and dependent children; seepp. 34-60 of f!ling instructions.)
Gross value at end ..... of reporting period (1) Value Code 2 (J-P) (2) (1) Value Type {e,g., Method buy, sell~ : Code 3 " redemption) (Q-W)
Transactions during reporting period (2) (3): (4) Date Value mmidd/yy Cod~ 2 (J:P~ (5) Identity of buyer/seller (il~private transaction)
(1)
Amoun1
(2)
Type (e.g.,
Code 1 (A-H)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32.
33.
Schwab Money Market - Retirement #6 Thornburg Value - Retirement #6 Janus Overseas - Retirement #6 Janus Fund - Retirement #6 Sound Shore - Retirement #6 Third Avenue Intl Value - Retirement #6 Baron Growth - Retirement #7 Brandywine - Retirement #7 DFA US Micro Cap - Retirement #7 DFA Emerging Markets Core Equity Retirement #7
A A A A A A
J J J J J J L M K L K M N L M
L
T T T T T T T T T T T T T T T
T
A A
DFA International Small Value - Retirement B #7 DFA International Value - Retirement #7 DFA One Year Fixed - Retirement #7 DFA US Small Cap Value - Retirement #7 DFA US Large Cap Value - Retirement #7
DFA Real Estate Securities - Retirement #7 B
C B A B
34.
Dividend
1: i~(0rn~ Gain COdes: (See Columns B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$!,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 Valuc
B =$1,001 - $2,500 G =$1001001 - $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
D =$5,001 -$15,000
E =$15,001 -$50,000
HI =$i;000i0~i ! ~si000i000
L =$50 001 ~ $100;000 M =$100 001 ~ $250;000 P2:=$5~000,001 ~ $25,000,000 PI =$ I;000]001 ~ $5i0001000 P4 =More than $~01000~000 .... T =Cash Market S =Assessment W =Estimated
VII. INVESTMENTS and TRU STS - income, vulue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (I~ Amount Code 1 (A-H) (2) TYpe (e.g., div., rent, or int.) Gross value at.end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) (53 Identity o~ buyer/seller (if private transaction)
35.
B A B A
Sold Buy
10/29/10 11/01/10
N N
36. Federated Govt Ultrashort - Retirement #7 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. First Eagle Overseas - Retirement #7 Hotchkis & Wiley Mid Cap Value Retirement #7 Artio International Equity - Retirement #7 Morgan Stanley International Equity Retirement #7 Morgan Stanley Emerging Markets Retirement #7 Royce Micro Cap - Retirement # Royce Opportunity - Retirement #7 Schwab Money Market - Retirement #7 Westcore International Frontier - Retirement #7 Westcore Mid Cap Value - Retirement #7
Sold M L J K K L M M L M L T T T T T T T T T T
08/11/10 L
B A A
A A A
47. Westcore MIDCO Growth - Retirement #7 48. 49. 50. 51. William Blair International Growth Retirement #7 Janus Fund - Retirement #7 Janus Overseas - Retirement #7 Hotchkis & Wiley Large Cap Value Retirement #7 B A A A
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Column C2)
P2:$~ 0oooo :$25 00o00~ 0 =$500.001- $1,000.000 ~ Pl~ =~o~e ,000,00, P3N =$250,001-=$25,000,00,$500,000. $50,000,000 ~ .0,000,000"0 R =Cost (Real Estate Only)
Q =Appraisal S =Asscssment
W =Estimatcd
D =$5,001 - $15,000 c =$2,501 - $5~000 H 1 =$1 000 00i = $5 000 000 fl~--M6~-e than $5i000~000 L =$50,001 - $100,000
E =$15,001 - $50,000 :
T =CaSh Market
U =Book Value
V =Olher
VII. INVESTMENTS and TRUSTS - income, vulue, transactions (Includes those of sp ......
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" niter each asset exempt from prior disclosure
D. C Transactions during reporting period Gross value at end of reporting period (~) (2) 0 ) (2) .......... (3) (4) (5) . Type (e.g.~ Date: ValUe [ G~ Value Value buy, sell .... mm~dd/yy C~d~2 Code 1 : Code 2 Method (A-H) Code 3 redemption) O"P): (J-P) (Q-W)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62.
Royce Value Plus - Retirement #7 Third Avenue International Value Retirement #7 Turner Core Growth - Retirement #7
A B A
William Blair Large Growth - Retirement #7 A Adams Harkness Small Growth - Retirement #7 William Blair Intl Small Growth Retirement #7 Metropolitan West Total Return Retirement #7 BlackRock Low Duration - Retirement #7 Thornburg International Value - Retirement #7 Schwab Money Market - Trust #1 Dodge & Cox Stock - Trust #I A E D A A A
63. Baron Growth- Trust #1 64. 65. 66. 67. Federated Short Term Muni - Trust #1 First Eagle Overseas - Trust #1 Hotchkis & Wiley Large Cap Value - Trust #1 Hotchkis & Wiley Mid Cap Value - Trust #1 A A A A A
1: inco~ G~in c6~! (See Columns BI and D4) 2. ValueCodes (See Col ....CI and D3) 3. Value Method Codes (See Column C2)
A ~$!;000 or less F =S50,001 - SlO0,000 J=$t5,000ortess N =$250,001- $5~,000 P3 =$25,000,001- $50,000,000 Q =App~isal U =Book Value
B =$1~001 ; $2,500 G =$I 00,001 "$1,000,000 K=$15~001 -$50,000 O =$500~001 - $ L000~000 R =Cost (Real Estate Only) V =Other
C--$2;501 4 $5,000
D =$5;001 = S15;000
E =$15,001 - $50,000
HI --$110O61oOi 2 $~i~0;b~
L:$5~00 ~=$ 00~00~ Pi ~]~000~60i ~ ~0~ P~MO~ei~an$50,060,000 s ~Ag~eh~ W =Estimat~
VII. INVESTMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE
reportable
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
Janus Overseas - Trust #1 Artio Intemational Equity - Trust #1 Morgan Stanley International Equity - Trust #1 Morgan Stanley Emerging Markets - Trust #1 Royce Opportunity - Trust #1 Turner Core Growth - Trust #1 Westcore Mid Cap Value - Trust #t Westcore MIDCO Growth - Trust #1 DFA Tax Managed Marketwide Value Trust # 1 DFA US Micro Cap - Trust #1 Third Avenue International Value - Trust #1 Westcore Intemational Frontier - Trust #1 DFA Intl Value - Trust #1 DFA US Small Value - Trust # I Turner Small Cap Equity - Trust #1 William Blair Mid Growth - Trust #1 DFA Short Term Muni - Trust #I
Dividend None
T Sold 08/11/I0 K A
A A
K K K K K K K K K K K K
T T T T T T T T T T T T Sold 09/16/10 J B
A A
A A A A A A
K K
T T
Dividend
E =$15,001- $50,000 (See C01urnns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) F =$501~] ~ $1001000 .1 =$15;000 or less N =$250;001 ~ $500,000 P3 =$25;000,001 $50,000,000 Q =Appraisal U =Book Value ~ ~$~0Oi~0i ~ ~i,0bO~000 K =$i5 00i ~ $~0~000 0 =$500,00i ~ $ii000;000 R =C0gt ~al Estate onlY) V --Other H 1 =$ iio0010Oi ~ $510oo,oo0 L ~$50 001 : $i00i000 P1 =$1,000,001 ~ $5;000,000 P4 =More ihan $50,000,000 S =Assessment W =Estimated H2 ~M0ie than $5;000;000 M =$100 001 = $250,000 P2 =$5;000;001 =$25;000,000 T =Cash Market
t e, value, t ......ions (Includes those of sp ...... d dependent children; see pp. 3460 of filing instructions.)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
Metropolitan West Total Return - Trust # 1 Thornburg International Value - Trust #1 William Blair Small Cap Growth - Trust #1 Baron Growth - Brokerage #1 Baron Growth - Brokerage #1 DFA Tax Mgd US Marketwide Value Brokerage #1 DFA Tax Mgd US Marketwide Value Brokerage # 1 DFA Tax Mgd US Marketwide Value Brokerage # 1 DFA US Small Value - Brokerage #1 DFA US Small Value - Brokerage DFA Emerging Markets Core Equity Brokerage # 1 DFA Emerging Markets Core Equity Brokerage # 1 DFA Emerging Markets Core Equity Brokerage # I DFA Tax Mgd International Value Brokerage # 1
B A
K K J K
T T T T Buy Buy Sold (part) Buy (addl) 08/12110 09/17/10 06/10/10 12/09/10 [ 06/10/I 0 ! 11/08/10 12/09/10 ! 06/10/10 11/08/10 06/10/10 11/08/10 ! 12/09/I0 06/10/10 i l 1/08/10 12/09/10 K J J J J J J K J J J J J J J A
Dividend None
(part)
Buy (addl)
Sold
Sold
(part)
Buy (addl) Buy (addl)
Sold
(part)
Buy (addl) Buy (addl)
100. DFA Tax Mgd International Value Brokerage # 1 101. DFA Tax Mgd International Value Brokerage # 1 102. East River Bank Stock - Brokerage # 1
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C 1 and D3) 3. Value Method Codes (See Column C2)
A =$I,000 or less F =$50.D01 - $ 100,000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25,000,001 - $50.000.000 Q =Appraisal U =Book Value
B =$t.00t - $2.500 G =$ 100.001 - $ 1,000,000 K =$15,001 - $50,000 O =$500_001 - $ !,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 - $I00.000 P 1 =$ ] .000.001 - $5.000.000 P4 =More "than $50,000,000 S =Assessmenl 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 Markel
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - i .... e, value, t ......tions (Includes those of sp ......
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)!r atter eadh asset exempt flora ~iior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) VaLue Code 2 (J-P) (2) Value Method Code 3 (Q-W)
D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) Date ram/dd/yy (3) (4) Value Gain Code 2 [ Code 1 O-P) (A-H) (5) Identity of buyer/seller (if private transaction)
103. Federated Short Term Muni - Brokerage #1 104. Federated Short Term Muni - Brokerage #1 105. First Eagle Overseas - Brokerage #1 106. First Eagle Overseas - Brokerage #1 107. Janus Fund - Brokerage #1 108. Janus Fund - Brokerage #1 109. Janus Fund - Brokerage #1 110. Janus Overseas - Brokerage #1 111. Janus Mid Cap Value - Brokerage #1 112. Janus Mid Cap Value - Brokerage #1 113. Janus Mid Cap Value - Brokerage #1 114. Artio Internatioanl Equity - Brokerage #1 115. Morgan Stanley International Equity Brokerage #1 116. Morgan Stanley International Equity Brokerage # 1 117. Morgan Stanley International Equity Brokerage #1 118. Schwab Money Market - Brokerage #1 119. Sound Shore -Brokerage #I
Dividend None
06/24/10 11/08/10 06/10/10 11/08/10 06/10/10 l 1/08/10 12109/I0 06/10/10 05/19/10 11/08/10 12/09/10 05/19/10 06/10/10 I 1/08/10 12/09/10
K K J J J J J J J J J J J J J C A
Dividend None
(part)
Buy (addl) Buy (addl)
Sold
A A
K J
T T
A A
Dividend Dividend
L K
B =$1;001, $2,500 (See Colunms B 1 and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) 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 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 HI =$1,000,001 - $5,000;000 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 =Mbre than $5i000~000 M :$100 0~i ~00oo P2 =$5i000 001=$25 000 000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of sp ....
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure B. Income during reportmgperiod (1) (2) Type (e.g., Amount Code 1 div., rent, (A-H) or int.) C, Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Vatu~ Method Code 3 (Q-W)
D. Fransactions during reposing period (1) Type (e.g., buy, sell, redemption) (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code 1 (J-P) (A-I~ (53 Identity o buyer/seller (if]~rivate transaction)
120. Sound Shore - Brokerage #1 121. Sound Shore - Brokerage #1 122. Westeore MIDCO Growth - Brokerage #1 123. Westcore MIDCO Growth - Brokerage #1 124. Westcore MIDCO Growth - Brokerage #1 125. Hotchkis & Wiley Large Cap Value Brokerage # 1 126. Hotchkis & Wiley Large Cap Value Brokerage # 1 127. Hotchkis & Wiley Large Cap Value Brokerage # 1 128. Hotchkis & Wiley Mid Cap Value Brokerage # 1 129. Hotchkis & Wiley Mid Cap Value Brokerage #1 130. Hotchkis & Wiley Mid Cap Value Brokerage # 1 131. Royce Value Plus - Brokerage #1 132. Royce Value Plus - Brokerage #1 133. Third Avenue International Value Brokerage # 1 134. Thomburg Intl Value - Brokerage #1 135. William Blair Intl Small Growth Brokerage # 1 136. Westcore International Frontier - Brokerage #I A A A A A A
None None None None None Dividend None None Dividend None None Dividend None Dividend Dividend Dividend None J J K T T T K T K T K T K T
11/08/10 12/09/10 06/10/10 11/08/10 12/09/l 0 06/10/10 11/08/10 12/09/10 06/10/10 11/08/10 12/09/10 ll/08/10 12/09/10 06/10/10
J J K J J J J J J J J J J J A A A A
(part)
Buy (addl) Buy (addl) Sold (part) Buy (addl) Buy (addl) Sold
Sold
(part)
Buy (addl) Buy (addl) Buy (addl) Buy (addl)
(part)
Sold
11/08/10 05/19/10
J J A
: :1. lncome Gain Codes: (See Columns BI and D4) 2. Value Codes (See Col unms C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 6r 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
E =$15,001 - $50,000
ii
T =Cash Market
VII. INVESTMENTS and TRU S TS -income, valae, transactions (Includes those of spou ....
NONE (No reportable income, assets, or transactions.)
( ncluding trust ~i Place "(X)" after exempt fr6m di~ ~! Co~ ~ ~r/Se!!~
: :: ....................................... .....................
137. William Blair Large Growth - Brokerage #1 138. William Blair Large Growth - Brokerage #1 139. William Blair Large Growth - Brokerage #1 140. William Blair Mid Growth - Brokerage #1 141. William Blair Mid Growth - Brokerage #1 142. William Blair Small Growth - Brokerage #1 143. Westcore Mid Cap Value - Brokerage #1 144. Westcore Mid Cap Value - Brokerage #1 145. Westcore Mid Cap Value - Brokerage #1 146. DFA Intl Small Value - Brokerage #1 147. DFA Intl Small Value - Brokerage #1 148. DFA Short Term Muni - Brokerage #1 149. DFA Short Term Muni - Brokerage #1 150. Metropolitan West Total Return - Brokerage #1 15 I. Metropolitan West Total Return - Brokerage #1 152. Royce Micro Cap - Brokerage #1 153. William Blair intl Growth - Brokerage #1 A A C B A A A Dividend None None None None None Dividend None None Dividend None Dividend None Dividend None Dividend Dividend J J T T L T L T K T J K T T K T K T Sold 06/10/10 11/08/10 12/09/10 06/10/10 11/08/l 0 11/08/I0 06/10/10 11/08/10 12/09/10 11/08/10 12/09/10 06/10/10 11/08/l 0 08/16/10 l 1/08/10 11/08/10 J J J J J J J J J J J L K J K J B A B B A
(part)
Buy (addl) Buy (addl) Sold
(part)
Buy (addl) Buy Sold
(part)
Buy (addl) Buy (addl) Buy (addl) Buy (addq) Sold
(part)
Buy (addl) Sold (part) Buy (addl) Buy Buy
11/08/10 J
L Income Gain Codes: (See Columns B 1 and 1)4) 2. Value Codes (See Columns CI and D3) 3.Valuc Method Codes (See Column C2)
A=$];O00o~!d~ :
B =$1;001 ~ $2;500
~ =$~5,000 or~ess
VII. INVESTMENTS and TRUSTS - inco,~e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
~]
154. Thornburg Limited Term Municipal Brokerage # 1 155. Baron Growth - Brokerage #2 156. Baron Growth - Brokerage #2 157. DFA US Micro Cap - Brokerage #2 158. DFA Tax Mgd Marketwide Value Brokerage #2 159. DFA US Small Value - Brokerage #2 160; DFA Tax Mgd Intl Value - Brokerage #2 161. Dodge & Cox Stock - Brokerage #2 162. Federated Short Term Muni - Brokerage #2 163. First Eagle Overseas - Brokerage #2 164. Hotchkis & Wiley Large Cap Value Brokerage #2 165. Hotchkis & Wiley Mid Cap Value Brokerage #2 166. Janus Fund - Brokerage #2 167. Janus Overseas - Brokerage #2 168. Artio International Equity - Brokerage #2 169. Morgan Stanley International Equity Brokerage #2 170. Morgan Stanley Emerging Markets Brokerage #2
L K
T T
Buy Sold
L J J J J J A B B A
(part)
Buy (addl)
A A A A A B A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None
J K J K K L J J K K K
T T T T T T T T T T T
Sold
(part)
Sold (part) Sold
(part)
Sold Sold
(part) (pa~)
Sold (part)
J K J
A A A
Sold (part)
J J J K J J
A A C A A A
(part)
Sold (part) Sold
Sold
A A
Dividend Dividend
K K
T T
1. inc0~ ~fiin C0des! (See Columns BI and 1M) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A ~$i;000 0r 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
=$1;001 ~ $2;500
C =$2;50i ~ $~;000
D --$5;001 - $15~000
E =$15,001 - $50,000
o =~50o,00~ - S~,o0o;000
=Cost (Real Estate Only) =Other S =Ass~s~m~ W =Estlmat~d ~ ~Cash Market
VII. INVESTMENTS and TRU STS - i, come, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~-] NONE
171. Royce Opportunity - Brokerage #2 172. Schwab Money Market - Brokerage #2 173. Third Avenue International Value Brokerage #2 174. Turner Core Growth - Brokerage #2 175. Turner Small Cap Equity - Brokerage #2 176. Westcore Mid Cap Value - Brokerage #2 177. Westcore MIDCO Growth - Brokerage #2 178. Westcore International Frontier - Brokerage #2 179. Metropolitan West Total Return - Brokerage #2 180. Thornburg Intl Value - Brokerage #2 181. DFA Short Term Muni - Brokerage #2 182. DFA One Year Fixed - Retirement #8 183. Federated US Govt 1 - 3 - Retirement #8 184. Federated Govt Ultrahort - Retirement #8 185. Adams Harkness Small Growth - Retirement #8 186. Baron Growth - Retiremetn #8 187. Brandywine Fund - Retirement #8 A B A A B B A A A A A
None Dividend Dividend Dividend None Dividend None Dividend Dividend Dividend Dividend Dividend Dividend Dividend None None None
J J K K
T T T T
Sold (part)
06/15/10 J
Sold (part)
J
J
A A B A A A
(part)
Sold
Sold
J
J J J
K K J K J L M
T T T T T T T
Sold
(part)
(part)
Sold (part)
Sold
Buy
08/12/10
Sold M K K L T T T Buy
10/29/10 M 11/01/10 M
(See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
F =$50,001 - $i00,000 J =$15,000 or less N =$250,001 .$500,000 P3 =$25 000,001 $50,000,000 Q =Appraisal U =Book Value ....
G =$]00,001, $1,000,000 K--$15,001 -- $501000 ~ =$500100i ; $1;0001000 R =Cost (Real Estate Only) V =Other
H1 =$1;000,001 = $5;000 000 L ~$50~001- $100~000 PI ~$1,000,001 ~ $5i~01000 P4--M0re than $50 000 000 S --AS~egSment W =Estimated
D =$5,001 - $! 5,000 H2 =M0re lhan $5,000~000 M =$100;001- $250,000 P~ =$5,000;001 - $25,000;000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS -i ....e, value, t ......tlons (Includes those of sp ...... d dependent children; seepp. 3d-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
188. DFA Emerging Markets Core Equity Retirement #8 189. DFA International Value - Retirement #8 190. DFA US Large Value - Retirement #8 191. DFA US Small Cap Value - Retirement #8 192. DFA US Micro Cap - Retirement #8 193. Dodge & Cox Stock - Retirement #8 194. DFA Intl Small Cap Value - Retirement #8 195. First Eagle Overseas - Retirement #8 196. Hotchkis & Wiley Large Cap Value Retirement #8 197. Hotchkis & Wiley Mid Cap Value Retirement #8 198. Janus Fund - Retirement #8 199. Janus Mid Cap Value - Retirement #8 200. Janus Overseas - Retirement #8 201. Artio International Equity - Retirement #8 202. Morgan Stanley Emerging Markets Retirement #8 203. Morgan Stanley International Equity Retirement #8 204. Royce Opportunity - Retirement #8
A B B A A A A A B A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None
K L L L K L K K L L L K L
T T T T T T T T T T T T T Sold 08/11/10 K A
A A
K L K
T T T
1. Income GainCodes (See Colunms BI and 194) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes 1See Column C2)
A =$1,0~0 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 =$15.001 - $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 - $5,000,000 L =$50.001 - $100.000 P1 =$1,000,001 - $5,000.000 P4 =More than $50.~)00.000 S =Assessment W =Estimatcd
D =$5.00 t - $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 - $50,000
VII. INVESTMENTS and TRUSTS - income, vat.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!llng instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) Amount Code l (A-H) (2) Type (e.g., div.. rent, or int.! Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy; sell, iedemption) Tr~saet ong during reporting period (2): :(3) (4) Date Value G~ mm/dd/~: C0d~2 Code:t: (A-~ (J~P) I (5) Identity of" buyer/seller (ffprivate transaeti0n)
205. Royce Value Plus - Retirement #8 206. Schwab Money Market - Retirement #8 207. Third Avenue Internatignal Value Retirement #8 208. Turner Core Growth - Retirement #8 209. Turner Small Cap Equity - Retirement #8 210. Westcore International Frontier- Retirement #8 211. Westcore Mid Cap Value - Retirement #8 212. Westcore MIDCO Growth - Retirement #8 213. William Blair International Growth Retirement #8 214. William Blair Large Cap Growth Retirement #8 215. William Blair Intl Small Growth Retirement #8 216. BlackRock Low Duration - Retirement #8 217. Metropolitan West Total Return Retirement #8 218. Thornburg Intl Value - Retirement #8 219. William Blair Small Growth - Retirement #8 220. Equitable Variable Life - Alliance Common Stock !221. Equitable Variable Life - Alliance Common Stock
A A A A
K K L K
T T T T Sold 09/t6/10 K C
A A
K L M L L K M M K K L
T T T T T T T T T T T Buy (addl) Buy Buy Buy (addl) Buy (addl) 01/28/10 08/12/10 09/17/10 02/08/10 04/19/10 J K K J J
A A A D D A
:: ii i~-~eGaifi ode~i (See Columns BI and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$i:i000 0r less F =$50,001 - $100,000 J =$t 5,000 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
D =$5,001 - $15,000 E =$15,001 - $50,000 C =S2,501 - $5;000 H1 =$L000,001 -$5;000,000 H2~M3rethah$51000~O00 ...... L=$50,001 -$100;000 M=$ 00001 25250000 P2 =$5,000 001 $25;000 000 PI =$1,000,00I - $5;000i000 P4 =More than $50,000,000 ...... T =Cash Market S =Assessment W =Estimated
e, value, t ......lons (Includes those of spouse and dependent children; seepp. 34-60 of f!ling instructlon~) t
222. Equitable Variable Life - Alliance Common Stock 223. Equitable Variable Life - Alliance Common Stock
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) J T
J J J J J J
224. Equitable Variable Life - Alliance International 225. Equitable Variable Life - Alliance International 226. Equitable Variable Life - Alliance International 227. Equitable Variable Life - Alliance International 228. Carlyle Real Estate LLP 229. Wheeler Terrace LTD 230. PNC Bank Accounts 23 I. Nantucket Bank Account 232. Wescott Nova LP 233. Rental Property #1, Philadelphia, PA (2010 $760,000)
A A
A
Dividend
Dividend
Dividend
J
J
Dividend
None
J
J O T R Distributed 08/20/10 06/21/10 J O A
(part)
D Rent Buy
1. Income Gain Codes: (See Colunms B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1200 or less F =$51~.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 =$500.00i - $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 P1 =$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
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.
I 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.
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