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8/3/2019 Marsha S Berzon Financial Disclosure Report for 2010
1/15
AO 10Roy, 112011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10 Report Required by the Ethicsin Governmen t Ac t o f 1978(5 U.S.C. app, 101-111)I . Person R epor t ing ( las t name, f i r s t , middle In i t ia l )
B E R Z O N , M A R S H A S .
4. Tit le (Art ic le I l l judges ind ica te ac t ive o r sen io r s ta tus;magistrate judges indicate full- or part-time)U . S . C I R C U I T J U D G E - AC T I V E
7. Chambers o r Office Address9 5 SE VE N TH STRE E TP.O. BOX 1939393SA N F RA N CISCO , CA 9 4119 -39 39
Court o r Organ iza t ionU . S . C A. NI NT H C I R C U I T
5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] lnitial [] Annual [] Final5 b . [ ] A m e n d e d R e p o r t8. On the basis o f the in fo rma tion con ta ined in this R e p o r t a n d a n ymodifica t ions pe rta in ing the re to , i t i s , in m y o p i n i o n , i n compl iancewith app l icable laws and regula t ions.
Date of R e p o r t05/13t2011
6. Repor t ing Per iod0 1 / 0 1 / 2 0 1 0
to12/31 /2010
Reviewing Office r Date
I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~ Complete all parts,check ing the NON E box for each pa r t where you have no repor tab le in format i on . S ign on las t page .
I . P O S I T I O N S . m , ~ o n in g individual ontyz ,ee pp. 9 - 13 o f f i tlng in,tr~cdon~)[~ N O N E ( N o repor table po s i tions . )
2.
3.
4.5.
P . . O S I T I O N NAME OF ORGANIZATION/ENTITY
[-~ N O N E ( N o reportable agreements .)DATE PARTIES AND TERMS
8/3/2019 Marsha S Berzon Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORTPage 2 o f 15
N a m e o f P e r s o n R e p o r t in gB E R Z O N , M A R S H A S .
D a t e o f R e p o r t05113/2011
I l L N O N - I N V E S T M E N T I N C O M E . (geportingindividualandspouse; seepp. 17-24 of faint instrucaon~)A. Filers Non-Investment Income
[~ NONE (No r e p o r t ab l e n o n - i n v e s t m e n t i n c o m e . )DATE SOURCE AND TYPE
1 .0 6 /1 6 /2 0 1 0
2.
3.
4.
G O L D E N G A T E U N I V E R S I T Y S C H O O L O F L A W , P A R I SP R O G R A M , T E A C H IN G
INCOME( y ou r s , no t s pou s e s )
$ 2 ,0 0 0 .0 0
B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - I f you were marred during any portion o f the reporting year , complete this section.( D o l l a r a m o u n t n o t r e q u i r e d e x c ~ p t f o r h o n o r a r i a . )~-~ ( N o r e p o r ta b l e n o n - i n v e s tm e n t i n c o m e . )ONE
1. 2010
2.3.4.
DATE .SOURCE AND TYPES E L F - EM P L O Y E D A T F O R N E Y
IV. REIM BURSEMENTS -( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f ! l i n g i n s t r u c ti o n s . )
~ (N o repor tab le re imbursements . )ONESOURCE PURPOSE
1 . A M ER IC A N B A R ED U C AT ION ALA S S O C I A T I O N A C TI VI TY
2. AM E R I C AN L AW 9 /1 1/ 20 10 - 9/ 12 /2 01 0 P H IL AD EL P HI A, P A C I V I C O R G . A C T I V I T Y TRA V E L, LO D G IN G , l V ~A LSI N S T I T U T E3.4.5.
DATE__~S L O C A T I O N5 /1 2 /2 0 1 0 - 5 /1 41 2 0 1 0 I S TA N BUL, TURK E Y
ITEMS PAID OR PROVIDEDTRAVEL, LODGING, MEALS
8/3/2019 Marsha S Berzon Financial Disclosure Report for 2010
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Ia m e o f P e r s o n R e p o r t in gF I N A N C I A L p a g e 3 o f 1 5 D I S C L O S U R E R E P O R T ] B E R Z O N , M A R S H A $ .V . G I F T S . a , c t ~ d e s t h o s e t o ~ , o ~ a , d , ~ e p ~ , ,~ c , , c h i ~ , ~ , ,~ ~ ~ , . 2 ~ - ~ ~ o / ~ i , ~ i ,~ , ~ a ~ a o ~ . )
N O N E ( N o reportable gifts.)S O U R C E D E S C R I P T I O N
1.2.
4.5.
D a t e o f R e p o r t05/13/20 ] I
VALUE
~] N O N E (No reportable liabilities.)CREDITOR DESCRIPTION
2.3.
4.5.
VALUE CODE
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FINANCIAL DISCLOSURE REPORTPage 4 o f 15
N a m e o f P e r s o n R e p o r t in gBERZON, MARSHA S.
D a t e o f R e p o r t05/13/2011
VII. INVESTMENTS and TRUSTSN O N E ( N o reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( 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
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 is c l o s u r e C ~ x t e I d i v . , r e n t .( A - H ) o r i n t . )
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)Value ValueC o d e 2 M e t h o d
( J - P ) C o d e 3( Q -w )
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(1) (2) ( 3 ) ( 4 )T y p e ( e . g ., D a t e Value G a i n
buy, se l l , m m / d d / y y C o d e 2 C o d e Iredemtaion) (J-P)A - H )I d e n t i t y o f
b u y e r t s e l l c r( i f p r i v a t e
t r a n s a c t i o n )
2.3.
i4 .5,6.7.8.
1 0 .
1 2 .
~ 1 5 .1 6 .
1 7 .
B ANK OF AM ERI CA ACCOU NTSCITIBANK CDUS BANK CD (FORMERLY PACIFICNATIONAL)F IRST RE PUBLIC BA N K CD(F O RM E RLY M E RR ILL LYN CH) * 2BANK OF AMERICA C/O FIRST REP(F O RM E RLY M E RR ILL LYN CH) * 2UNION BANK CDSTE RLIN G BAN K & TRUSTCOCA COLA COIvlPANY - COMMONSTOCKCOMCAST CORP NEW CL A -COMMON STOCKC O R N I N G I N C - C O M M O N S T O C K
LS I CORP ORATI ON - COM M ON S TOCKN S T A R - C O M M O N S T O C KP EP S I CO I NCORP ORATED - COM M ONS TOCKP U B S V C ENT G ROU P I NC - COM M ONSTOCKVERIZON COMMUNICATIONS -COMMON STOCKVO DA F O N E GRO UP N E W A DR FD R E Y F U S A C T I V E M I D C A P F U N D
ADDDD
DBAB
AAAAAA
InterestInterest
InterestInterestInterestN one
InterestDiv idendDiv idendDiv idend
N oneDi v i de ndDi v i de ndDi v i de ndDi v i de ndDiv idendDi vi de nd
OpenOpen
"r
T IT
TT ITT IT I
I
I
I , I nc ome Gain Cod~: A =$1,000 or less B = ~ $ 1 , 0 0 1 - $ 2 , 5 0 0 C =S2,501 o $5,000 O =SS,001 - Sl 5,000( See Colu mns BI aM B4 ) F =$50.001 - $100.000 G =$100,001 - $1,000,D00 I ! l = $1 , 0 0 0 . 0 0 1 - $5 . 0 0 0 . 0 0 0 82 = M o r t t han $5 , 0 0 0 , 0 0 0
2. Value Codes J =$15,000 or less K ~ $ 1 5 ~ 0 0 1 - $ 5 0 ~ 0 0 0 L =$50,001 - $100,000 M =$100,001 - $250,000(S e* Co lu mn s C I a nd D3 ) N =$ 25 0,0 01 - $ 50 0.0 00 O = $5 00 ,0 01 - $ 1,0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 P2 =$5,000,001 - S25,000,000
P 3 = S 2 5 , 0 0 0 , 0 ~ 1 - $ 5 0 o 0 0 0 , 0 0 0 P4 =Morn than SS0,000,0003 . Valu r Metho d Co d es Q =Ap praisa l R =Cost (R eal Estate Only) S = A ssessm en t T =Cas h M ar k et( See Colu mn C2) O =Book Valc, e V =Oth er W =Estimated
E =$15,001 - $50.000
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FINANCIAL DISCLOSURE REPORTPage 5 o f 15
Name o f Pe rson Report ingB E R Z O N , M A R S H A S .
Date of Repor t05/13 /2011
V I I . I N V E S T M E N T S a n d T R U S T S - i ~ c o ~ , e , v ~ l .e ,, .a ,~ a e a o . ~ a .c l ,, ,~ e ~ a , o s e, ,i ~ ~ o . ~ e and dependent children; s e e p F 3 4 - 6 0 of firing insttucdOnSo)N O N E (No repo r table income, asse ts , or t ransact ions .)
D e s c r i p t io n o f A s s e t s I n c o m e d u r in g( i n c l u d in g w a s t a s s e t s ) r e p o g 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 . ,e x e m p t f r o m p r i o r d l s e lo s u r e C o d e I d i v . , r e n t ,( A - H ) o r i n t . )
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(1) (2)Value Value
C o d e 2 M e t h o d( J - P ) C o d e 3
( Q - W )
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(t ) (2) (3) (4) ( 5 )T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fb u y , s e l l , m m / d d / y y C o d e 2 C od e I b u y e r / s e l | e r
r e d e m p tio n ) ( J - P ) ( A - H ) ( i f p r l v a t et r a n s a c t i o n )
1 8 .
1 9 .2 0.
21 .
24 .25 .
26 .27 .28 .
30 .
131 .
33 .
DREYFUS APPRECIATION FD A DividendDREYFUS EMERGING LEADERS FUND ADividend
KL
TT
EMBARCADERO ABSOLUTE(FORMERLY EMBARCADERO SMALLCAP)EMBARCADERO MARKET(FORMERLYE M BA RCA DERO A LL CA P GR O W THFU ND )RS MID CAP OPPORTUNITIES FUNDSCH W A B PRE M IE R E QUITY SE LE CTSH A RE SSCH CA MUNI MONEY FD (SWEEP)SCHWAB CA MUNI MONEY FD (NON-SW EEP )FIDELITY CA AMT TAX FREE MMKTIN ST CLA SSPSP#~ ACCOUNT) *3- IN VE SCO CA PITA L D E VE LO PM E NTFUND-CLASS A (FORMERLY AIM)-INVESCO INTERNATIONAL SMALLCO FD -CL A (FORMERLY AIM)- IN VE SCO GLO BA L E QUITY F UN D -CLASS A (FORMERLY AIM)-1NVESCO MULTI-SECTOR FUND -CLASS A (FOR/vlERLY AIM)IRA# 1 ~ ACCOUNT)-AMCAP FUND - CLASS A
N o n e
N one K
N one O TA Dividend M TA Dividend L TA Di vi de nd L TB Interest P t T
N o n e
C Di~dend M
So ldSo ldSo ldSo ld
T
02 / 08 / 1 0 L0 2 /0 8 /10 ~ L0 2 / 0 8 / 1 0 L02 / 08 / 1 0 K
I . fncom~ Gain Codes:( S e e Calamu s BI and D 4 )2. Value Codes( See Colu mns CI and D3 )
3.Value M~thod Codes( See Colar an C2)
=$1,000 or less=$50,001 -=$15,000 or less=$250,001 -
P 3 --$25,000,001 - $50,000,000=Appraisal=Book Valu e
B=$1.001 - $2,500G --SI00.001 SI ,000,000K= $15, 0 0 I - $50 , 0 0 0O = $50 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0R =Cc~I (Real Estate Only)V --Other
E =SI 5 ,0 0 1 $ 5 0 , 0 0 0
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FINANCIAL DISCLOSURE REPORTPage 6 o f 15 Ia m e o f P e r s o n R e p o r t i n gBERZON, MARSHA S. D a t e o f R e p o r t05 /1 3 /201 1
VII. INVESTMENTS a nd TRUSTSNONE (No reportable income, assets, or transactions.)
Description of Assets ]ncorae dur ing(including trust assets) reporting period(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 . ,e x e m p t f r o m p r i o r d i s c lo s u r e Code I d i v . , r e n t ,(A-H) o r i n t . )
Gross value a t endo f r e p o r t i n g p ~ r i o d(1) (2)Value Value
Code 2 M e th o d( J - P ) Code 3
(Q-W)
Transactions during reporting period(1 ) (2) (3) (4) (s )
T y p e ( e . g . , D a t e Value Gain I d e n t i ty o fbu y, se ll, m m/dd/yy Code 2 C o d e I buyer/sc!l~r
r e d c m p t i o n ) ( . L P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )
-WASHINGTON MUTUAL INVESTORSFUND - CLASS AP S R I # ~ ~ A C C O U N T ) * 3-AMERICAN FUNDS - E U R O P A C I F I CGRO W rt l F UN D - CL A "-AMERICAN FUNDS - THE GROWTHF U N D O F A M E R I C A - C L A "-AMERICAN FUNDS - T H E N E WECONOMY FUND - CL A"
34 .
35 .
36 .
37 .
38 .
39 . - A M E R I C A N F U N D S - N E WP E R S P E C T I V E F U N D - C L A "" ~ 0 . - A M E R I C A N F U N D S - C A P I T A LW O R L D G R O W T H A N D I ~ C O M E F U N D
- C L4 1 . ~ A M E R I C A N F U N D S - F U N D A M E N T A L
I N V E S T O R S - C L A "42 , -AMERICAN FUNDS - T H E
I N V E ST M E N T C O M P A N Y O F A M E R I C A- CL A"43 . - A M E R I C A N F U N D S - W A S H I N G T O NM U T U AL I NV E S T OR S F U ND - C L A"44 . -AM E R I C AN F U ND S - T HE I NC OM E
F U ND OF AM E R I C A - C L A"45 . - A M E R I C A N F U N D S - A M E R I C A NB AL ANC E D F U ND - C L A"46 . - A M E R I C A N F U N D S - A M E R I C A NF U N D S M O N E Y M A R K E T F U N D - A4 7 . - V AN GU AR D 50 0 I ND EX F UN D48 . - V A N G U A R D E M E R G I N G M A R K E T SS TO C K I N DE X49. IRA#2
None
E D i v i dend P 1
S o l d
S o l dS o l dS o l d
S o l d
SoldSold
SoldSoldSoldSoldSoldSold
01/28110 K01 /28 1 1 0 L01 / 28 / 1 0 K01 / 28 / 1 0 K01/28110 L
0 1 /2 8 /1001 / 28 / 1 0
KJ
01/28110 K01/28I t0 L0 1 /2 8 /1 0 K0 1 /2 8 /1 0 K
0 1 /2 8 /1 0 K
0 1 / 2 8 1 1 0 K
I . Income Gain Codes:( S~: C01 t lmr a BI a n O D 4 )
2.Val~e C~d~s(See ~l~m CI a~ D3)
3, VaI~ M~ Codes( S ~ C o M m n ~ )
B = $ 1 , 0 0 1 - $ 2 , 5 0 0K = $ 1 5 ,0 0 1 - $ 5 0 , 0 0 00 = $ 5 ~ , ~ 1 - $ IR =Cost (R~I Es~ Only)V ~ O t h~
C =$2.501 - 55,000H I = $ 1 . ~ , ~ 3 1 -L ~ $50,001 - $1~ .0~P4 =More t ~n $ 5 0 . 0~, ~0S = A s ~ s m e n tW =Estimated
o =ss,oo~ - s i 5 . o o oM = $ 100,001 - $ 2 5 0 . 0 0 0P2 =$~ ,0 0 0 ,0 0 1 o $2 5 ,0 ~0 ,0 0 0T = C a s h M a r k e t
E = S ! 5 , 0 0 1 - $ 5 0 . 0 0 0
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N a m e o f P e r s o n R e p o r t in gBERZON, MARSHA S.
D a t e o f R e p o r t05 /1 3 /201 1
NONE (No r e p o r t ab l e i n c o m e , a s s e t s , o r t ran s ac t i o n s . )D e s c r i p t i o n o f A s s e ~ I n c o m e d u r i n g( i n c l u d i n g u u s t a s s e t s ) r ~ p o r t i n g p e r i o d
O) (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 is c l o s u r e C o d e 1 d i v . , r e n l ,( A - H ) o r i n t . )
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(1) (2)V a l u e V a l u e
C o d e 2 M et h o d(JP) C o d e 3( Q - W )
(1)T y p e ( e . g . ,buy, sell,
redemption)
Transactions during reporting period(2) (3) (4)D a t e Value G a i n l d e n t i ~ y o f
m n v 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( J - P ) ( A - H ) ( i f p r i v a t e
t r a n sa c t io n )
50 .51 .
-AM ERI CAN FU ND S - EU ROP ACI FI CGROWTH FUND - CL A-AM ERI CAN FU ND S - THE G ROW THFUND OF AMERICA - CL A
52 . -AMERICAN FUNDS - NEWPE RSPE CTIVE F UN D - CL A53 . -AM ERI CAN FU ND S - -CAP I TALWORLD GROWTH AND INCOMEFUND-CL A54 . -AMERICAN FUNDS - -FLFNDAMENTAIINVESTORS - C L A55 .
56 .57 .
59 .6 0 .6 1.
6 2.63 .6 4.
-AM ERI CAN FU ND S - THEhNVESTMENT COMPANY OF AMER1CAJ- CL A-AM ERI CAN FU ND S - CAP I TALIN CO M E BUILDE R- A-AMERICAN FUNDS - THE INCOMEFU ND OF AM ERI CA - CL A
58 . -AM ERI CAN FU ND S - AM ERI CANBA LA N CE D- CL A~ CAI~iTAL ACCOUNT IN LAWF IRM PA RTN E RSH IP * lACCOLr NTRAX RETI REM ENTACCOUN~ *3-AMERICAN FLrNDS - FUNDAMENTALI N V E S T O R S R 6-AMERICAN FUNDS-FLrNDAMENTALIN VE STO RS R6-AM E R I C AN F U ND S - F U ND AM E NT ALI N V E S T O R S R 6-AMERICAN FUNDS - FUNDAMENTALIN VE STO RS R6-AMERICAN FUNDS - FUNDAMENTAL IIN VE STO RS R6
C InterestE Div idend
K UO T
Bu y 0 2 / 1 1 / 1 0 KBu y 02 / 1 1 / l 0 JOddl)Bu y 0 2 / I 1 /10 J(add l )Bu y 0 2 t l 1 / 1 0 J( a d d q )Sold 03/08110 K B( p a r t )
l. In co m e Ga in Co d ~s: A = $1,0 00 o r le ss B = Si,0 0 1 - $ 2 ,50 0 C = $2,50 1 - $5 ,0 0 0 D = $5,0 01 -(S~Columns BI and O4) F = $50)00 1 - $10 0,00 0 (3 =$100,001 - $1,000,000 H 1 -$1,00 0,00 1 - $5)0 00,00 0 1 " 1 2 = M o r e t h an
2 . V a l ue C o d es J =$ 1 5 ,000 or I ~s K =$15,001 - $50,000 L = $50,00 1 - $10 0,00 0 M = $100,001 - $250,00~)( Se~ Colu mns CI and 03 ) N = $25 0,0 01 - $ 50 0,0 00 O = $5 00fl0 1 - $ l,0 00,OO0 P I = $1 ,0 00 ,0 01 - $ 5, 00 0) 00 0 P 2 = $5 ,1 ~0 ,0 01 -
P3 =$25,0~0,001 - $50,000,000 P4 =Mor~ than $50,000,0003 . Value Metho d Co d es Q ~App raisal R ~Cos! (Rea l Es~I~ (3nly) S =Assessmenl T =Cas h M ar k et( S ee C o l um n C 2 ) O ~Book Value V - - ~ O t h er W =Estimated
E =S! 5,001 - 550,000
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FINANCIAL DISCLOSURE REPORTPage 8 o f 15
N s m e o f Person Report ingB E R Z O N , M A R S H A S .
D a t e o f R e p o r t05/I 3/201 ]
V I I . I N V E S T M E N T S a n d T R U S T S - ~co,.., va.o, , , a ~ , ~ o , i o . , a . a . d e , ,h o , , o / ~ . ~ o ~ , e ~ . d d . p ~ , ,~ , ehildrtn;see pp. 34-60 Of fillng instruction&)NONE (No reportable income, assets, or 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( in 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 io dO) (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 ro m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )
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)Value Value
C o d e 2 M e th o dO - P ) C o d e 3( Q - w )
T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d( 1 ) (2) (3) (4) ( 5 )T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fb uy , s el l , m m /d d / y y C o d e 2 C o d e l b u y e r / s a i l e 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 )
66 . -AMERICAN FUNDS - FUNDAMENTALINVESTORS R667 . -F IDE LITY SPA RTA N 5 0 0 IN DE X F UN D
Sold 03/08/10 J( p a r t )Bu y 02/02/10 J
A
68 .
69 .1 7 0 .
71 .72 .73 .74 .75 .76 .
77 .78 .79 .
8 0 .8 1 .82 .
-F IDE LITY SPA RTA N 5 0 0 IN DE X F UN D-F IDE LITY SPA RTA N 5 0 0 IN DE X F UN D-F IDE LITY SPA RTA N 5 0 0 IN DE X F UN D-F IDE LITY SPA RTA N 5 0 0 IN DE X F UN D-FIDELITY SPARTAN 50 0 INDEX FUND-AMERICAN FUNDS - CAP WOILLDGRO. & INC. FUND R6-A M E RICA N F UN DS - CA P W O RLDGRO . & IN C. F UN D R6-A M E RICA N F UN DS- CA P W O RLDGRO . & IN C. F UN D R6- A M E R I C A N F U N D S - C A P W O R L DG R O . & I N C . F U N D R 6-AMERICAN FUNDS - CAP WORLDGRO . & IN C. F UN D R6-A M E RICA N F UN DS - CA P W O RLDGRO . & IN C. F UN D R6- A M E R I C A N F U N D S - C A P W O R L DG R O . & I N C . F U N D R 6- A M E R I C A N F U N D S - C A P W O R L DG R O . & I N C . F U N D R 6-AMERICAN FUNDS - CAP WORLDGRO . & IN C. F UN D R6-A M E RICA N F UN DS - CA P W O RLDGRO . & IN C. F UN D R6
Buy 02/02/10 J(add l)Buy 03 10 8/1 0 J(add l )Bu y 0 3 / 0 8 / 1 0 M(add l )Bu y 0 4 1 1 4 1 1 0 J(add l)Bu y 04/19110 J( a d d ] )Bu y 02111/10 LBu y 02 / 1 1 / 1 0 K(addt )Buy 02/11/10 J( a d d l )Bu y 0 2 / t 1 /10 J(add l )Buy 02/12/10 L(add l )Buy 02/12/10! J(ad d l )So ld 03 / 08 / 1 0 J( p a r t )So ld 0 3 /0 8 /1 0 J(par t)Sold 0 3!0 8 /10 JSo ld 0 3 /0 8 /1 0 M
AAAD
t . Income Gain Codes: A = S 1 . 0 O O o r I ~ B =$ 1,001 - $2.500 C = $2,50 1 - $5 ,0 00(S ~ C o lumn s BI a n d D 4) F -$ 5 0 ,001 -$ ] 00 ,0OO O =$100,001 - $1,000,000 HI =$1,000,001 - $~,000,000
2 . V ~ t l u e C o d e s I ~515.000 or less K =$ I 5,001 - $50,000 L = $50,001 - S I( See Colu mns CI and D3 ) N =S2 50 ,00 1 - $500 ,00 0 0 =$50 0,0 01 - $1)0 00 .00 0 P] =$ l , O 0 0 , O O l - 55 , 0 0 0 , 0 0 0
P3 = S2 5,0 00 ,0 0 1 - $50,00 0,0 00 P 4 = Mo re than $50 .0 00 ,0 003. Value Method Codes Q =Appraisal R ~Cogt (Rea] E$1at , Only) S =A~scssment( See Colu mn C2) U =Book Valu e V * * O t h tr W =Estimated
D =SS,00 l - S 1 5 , 0 0 0H2 =Mor~ than $5,000,000M =$100,001 - S250,000F 2 =$5,000,001 - $25.000,000T - ~ C ~ s h M a r k ~ t
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FINANCIAL DISCLOSURE REPORTPage 9 of 15 "
Name of Person Reporting [ Date of ReportBERZON, MARSHA S.
I05/13/2011
VII. INVESTMENTS an d TRUSTS -NONE (No reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s I n c o m e d u r in g( 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
(0 (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 ro m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t ,( A - H ) o r i n t . )
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(1) (2)
V a lu e V a lu eC o d e 2 l v l e t h o d
( J - P ) C o d e 3( Q - W )
( 1 )T y p e ( e . g ,,b u y , se l l ,r e d e m p t i o n )
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(2) (3) (4) (5 )Date Value Gain I d e n t i t y o f
m m /d d /yy C o d e 2 Co d e I buyeffse llcr( J - P ) ( A - H ) ( i f p r i v a t e
t r a n s a c t i o n )
8 3 .8 4 .
8 5 .
8 6 .87 .8 8 .89 ,9 0 ,
!9 1 .9 2 .93 .94 .9 5 ,96 .97 .98 .99 .
-AMERICAN FUNDS - E U R O P A C I F I CG ROW TH FU ND R6-AMERICAN FUNDS . EUROPAC1FICGRO W TH F UN D R6-AMERICA~q FLrNDS - EUROPACIFICG ROW TH FU ND R6-AMERICAN FLrNDS - EUROPACIFICG ROW TH FU ND R6- A m R I C , N - R O W TOF ~RICA R6-A~C~ ~DS - GRO~H F~OF ~CA R6-AMERICAN FUNDS - GROWTH FUNDOF AMERICA R6-AMERICAN FUNDS - GROWTH FUNDOF AMERICA R6-A M E f i CA N F UN DS- GRO W T H F UN DOF AMERICA R6-AMERICAN FUNDS - GROWTH FUNDOF AMERICA R6-AMERICAN FUNDS - GROWTH FUNDOF AMERICA R6-AMERICAN FUNDS- GROWTH FUNDO F A I V I E R I C A R 6-AMERICAN FUNDS - GROWTH FUNDOF AMERICA R6-AMERICAN FUNDS - GROWTH FUNDOF AMERICA R6-AMERICAN I~0NDS - GROWTH FUnDOF AMERICA R6-AMERICAN FUNDS - GROWTH FUNDOF AMERICA R6-C OL U M B I A AC OR N I NT E R NAT I ONALF UN D ( Z )
Bu y 02111/10 JBo y 0 2 / 1 1 / I 0 K( a ddq )Sold ] 03 /08 /1 0 K A(par t)So ld 0 3 /0 8 /1 0 J ABuy 02 /1 1 1 1 0 KBu y [ 02 / 1 2 / 1 0(add l )Buy 02/1 2/10 J( a d d S )Buy 0 2/1 2 /1 0 K(add l )Buy 02/11/10 J(add l )Bu y 0 2 / 1 1 / I 0 J( a d d I )Sold 0 3 / 0 8 / I 0 K B( p a r t )So ld 03 1 08 /1 0 K B( p a r t )Sold 03 1 08 /1 0 J A( p a ~ t )Sold 03/08/10 L C( p = t )S o l d 0 3 / 0 8 / 1 0 J A( p a r t )S o l d 0 3 / 0 8 / I 0 J ABu y 02 / 1 2 / 1 0 L
I . Income Gain Codes: A =$1,000 or less B =$ 1 ,00 | - $ 2 ,5 00 C = $2 ,50 1 - $5 ,00 0 D = $5,00 1 - $15,00 0(Se Columns BI aP, d D4) F = $50 ,0 01 - $10 0,00 0 G = $10 0,091 - $I,00 D,0 00 H1 =$1 ,0 0 0,0 0 1 - $5 ,00 0 ,0 0 0 H2 = Mo r~ than $5,00 0,00 0
2. Value Codes J =$15,000 or less K =$ 1 5 .001 - $ 5 0 ,0~ L *$50,00 1 - $100 .0 00 M -$100 ,0 01 - $250 ,O00{See Colu mns CI and D 3 ) N =S250,001 - $500,000 O = $ 5 0 0 , 0 0 1 - $ 1 , 0 O O , 0 0 0 P l = $1 , 0 0 0 . 0 0 1 - $5 , 0 0 0 , 0 0 0 P2 ~$5,000,001 - $25,000,000P 3 = $2 5,00 0.0 01 - $50,00 0,0 00 P4 ~Mor~ than3. Value Method Codes Q =Appraisal R --Cost (R=a l Estate Only) S =Assess;meat T =Cas h M atk l( See Colu mn C2) U =Book Value V --Other W = E ~ t i m a ~ e d
E =515.001 - $50,000
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N a m e o f P e r s o n R e p o r t i n gBERZON, MARSHA S.
Date of Report05/13120t I
V I I . I N V E S T M E N T S a n d T R U S T S - in c o m , . v a t , e . tr a , ~ , c t io , * C t , c t~ a ~ t h o s e o f s p o ~ e , n d d ~ p ~ . a e , t children; see pp. 34-60 of fillng instructions.)NONE (No reportable income, assets, or transactions.)
D e scr ip t io n o f A~ se ts I n c o m e d u r i n g( i n c l u d i n g r m s l a s s e t s ) r e p o r t i n g p e r i o d
(1 )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 ro m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t ,(A-H) o r i n t . )
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 t i n d
( 1 ) ( 2 )V a l u e V a l u eC o d e 2 M e t h o d(J-D C o d e 3
( Q - W )
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
(l ) (2) (3) (4) ( 5 )Type (e.g., D a t e V a l u e G a in I d e n t i t y o fbuy, se l ! , m m / d d / y ) , code 2 C o d e 1 buy e r / se l le r
r e d e m p t i o n ) (J-P) ( A - H ) { i f p r i va t et r a n sa c t io n )
100. -COLUMBIA ACORN INTERNATIONAL~ - U ~ D ( Z )1 0 1 . -COLUMBIA ACORN INTERNATIONAL
FUND (Z)102. -COLUMBIA ACORN INTERNATIONAL
F U N D ( Z )1 03 . -T. ROWE PRICE MID-CAP GROWTHFUND104. -T j ROW E P RI CE M 1 D -CAP G ROW THFUND1 05. -T. ROWE PRICE MID-CAP GROWTHFUND
!1, 06, FUNDT" R O W E P R I C E M I D - C A P G R O W T H
10 7. -VA N UA RD W E LLIN GTO N F UN D(ADM)10 8 . -VA N UA RD W E LLIN GTO N F UN D
(ADM)10 9 . -~ /A N UA RD W E LLIN GTO N F UN Di (ADM)I I 0. -VANUARD WELLINGTON FUND
(ADM)III. -VANUARD WELLINGTON FUND(ADM)I 112. - V A N U A R D W E L L IN G T O N F U N D113 . -YA CKTM A N F UN D
I 1 4 . -YACKTMAN FUND
i I 15 . -YACKTMAN FUND
1 1 6 . -YACKTMAN FUND
Bu y 0 2 /12 /10 J(addl)Sold 0 3 / 0 8 1 1 0 L(part)So ld 0 3 /0 8 /1 0 JBu y 0 2 / 1 2 / 1 0 LBu y 0 2 / 1 2 / 1 0 J(add l )Sold 0 3 / 0 8 1 1 0 L( p a r t )Sold 03/08/10 JBu y 02/1 I110 KBu y 0 2 / 1 1 / 1 0 L( a d d l )Buy 02/11/I 0 J
(addq)Buy 02/1 l/l 0 J(addl)S o l d 0 3 / 0 8 / 1 0 J( p a n )S o l d 03/08/10 LBuy 02111/10 KBu y 02 / 1 1 / 1 0 J(addq)S o l d 0 3 / 0 8 / 1 0 K( p ~ )S o l d 0 3 / 0 8 / i 0 J
C
A
C
A
A
C
B
A
1. Inco m e Ga in Co des: A = $1 ,00 0 or tess B = $1 ,0 01 - $2 ,50 0 C = 52 ,50 1 - $5 ,0 00 D =$5,001 - $15,000( Se~ Colu m~ B 1 a~ DO) F =~0,~1 - $100,~ G = $1 ~ ,00l - $1 ,0~ ,000 H
2. Va~ C~ l =$15~ ~ less K =$15,001 - $50,~ LP~ =$25.~,~1 - $~0.000,~ P 4 = M o ~ t h a n $ 5 0 , 0 ~ , ~
3. Value Me~ C~ Q ~Appr ai~ l R =COs l ( R ~ I ~ m l e O n l y ) S(~ Col~n C2) U =Book Value V ~th~ W = E ~ i m a l ~
E =$1 5 ,0 0 1 - $50 ,0 0 0
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N a m e o f P e r s e n R e p o r t in gBERZON, MARSHA S.
Date o f R e p o r t05/13/2011
N O N E (N o reportable income, assets, or transactions.)D e scr ip t io n of A sse t s I n c o m e d u r i n g
( . in c lud in g ta ~ s t a s se t s ) re p o r t in g p e r io d(D
Place "(X)" after each asset A m o u n t T y p ee a 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 1 d iv . , r~ n t ,( A - H ) o r
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 lu e V a lu eC o d e 2 M e t h o d
( J - P ) C o d e 3( Q - W )
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) (5 )T y I ~ ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, sell, mm/dd/yy Code 2 C o d e 1 buyer/seller
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 )
1 1 7 . -VANGUARD PRIME MONEY MARKET Bu y 02/11/10 K1 1 8 . -VANGUARD PRIME MONEY MARKET1 1 9 . -VANGUARD PRIME MOI~EY MARKET120. -VANGUARD PRIME MONEY MARKET
Bu y 0 2 /11 /10 J( a d d DSold 03/08/10 K( p a r t )So ld 0 3 /0 8 /10 J
121.1 2 2 .1 2 3 .1 2 4 .1 2 5 .
126.1 2 7 .128.
! 29 .1 3 0 .1 3 1 .1 3 2 .
t33.
-VANGUARD TARGET RETIREMENTI NC OM E F U ND ( I NV )-VANGUARD TARGET RET]REIvIENTI N c o M E F U N D-VANGUARD TARGET RETIREMENTINCOME FUND (INV)-VANGUARD TARGET RETIREMENTINCOME FUND (INV)-VANGUARD TARGET RETIREMENTI NC OM E F U ND ( I NV )-VANGUARD TARGET RETIREMENTINCOME FUND (INV)-VANGUARD TARGET RETIREMENTI N C O M E F U N D 0 N V )-VANGUARD TARGET RETIREMENTINCOIvI~ FUND (INV)-VANGUARD TARGET RETIREMENTINCOME FUND (INV)-VANGUARD TARGET RETIREMENTINCOME FUND (INV)-VANGUARD TARGET RETIREMENTINCOME FUND (INV)-VANGUARD TARGET RETIREMENTINCOME FUND ( I N V)-VANGUARD TARGET RETIREMENTrNCOME FUND (rNV)
Bu y 0 3 /0 8!10 KBu y 0 3 / 0 8 t 1 0 K(addl )Bu y 0 3 1 0 8 1 1 0 K(addl )Bu y !0 3 /0 8 /10 K(add l )Bu y 03 / 08 / 1 0 K(add l )Bu y 0 3 /0 8 /10 K(add l )Buy 03/08/10 J(add l )Bu y 0 3 /0 8 t 10 J(add l )Bu y 0 3 i 0 8 / 1 0 J(add l )Bu y 0 3 /0 8 /10(add l )Bu y 03108/10 J(add l )Bu y 04/14/10 J
(add l )Bu y 04 / 1 9 / 1 0( a d d l )
I . Income Gain Codes: A = $ 1,0 00 o r le~ B ~SI,0 0 I - S2 ,5 0 0 C =$2,501 - $5,000(S~ Columns B I a n d D 4 ) F = $ 5 0 , 0 0 1 - $ 1 ~ , ~ O =$1~,~ I - $1)~)~0 HI =$ I,~,~l - $5,~,0~
2. Value ~ J = $15, 0 ~ or I~ s K ~ $ 1 5 , ~ 1 - $ 5 0 , ~ L =$ 5 0 ,~1 - $ 1 00 ,0~(S ~ C o lumm C I a n d D 3) N = $ 2 5 0 , 0 0 1 - $ 5 ~ , ~ O =$5~,~1 - $1,~,~0 PI =Sl,~,001 - $5,~,~
3 . V a l u e M e t h ~ C ~ s Q ~Appmlsal R = C ~ I (R e a l Es ta te ~ ly ) S =A~ment( S~ Colu mn C2) U = B~ k V a l~ V ~th~ W = Es t ima t~
=$5,001 - $15,000H2 =Molv t h a n
~$100,001 - $250,000= $ 5 o 0 0 0 , 0 0 1 - $ 2 5 , 0 4 ) 0 , 0 0 0=C~h Ma rke t
E =SIS,001 - $50,000
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N a m e o f P e r v e r t R e p o r t | n gBERZON, MARSHA S.
Date of Repor t05 / I 3/2011
VII. INVESTMENTS an d TRUSTS -NONE (No reportable income, assets, or transactions.)
A. B,Descr i p t i on o f A sse t s I n c o m e d u r i n g
( in c lud in g t ru s t a s se t s ) r e p o r t i n g p e r i o d(l) (2)
P l a c e " ( X ) " a f t e r e a c h a s s e t A m o o 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 ] d i v , , r e n t ,( A - H ) o r i n t . )
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(t) (2)Value V a l u eC o d e 2 M e t h o d
( l -P ) C o d e 3( Q - W )
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
(l ) (2) O) (4) (5 )T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fbu y, se ll. m m /dd /yy Co de 2 Co de I buyer/sellcr
r c d e m p t l o n ) (J-P) ( A - H ) (if privalet r a n s a c t i o n )
1 3 4 .
1 3 5 .
1 3 6 .
137~
1 3 8 .
1 3 9 .
1 4 0 .
1 4 1 .1 4 2 .
1 4 3 .
1 4 4 .
1 4 5 .
146.
1 4 7 .1 4 8 .149.1 5 0 .
-VANGUARD TARGET RETIREMENT2 o 1 5 F U N D-VANGUARD TARGET RETIREMENT2015 F U N D-VANGUARD TARGET RETIREMENT201 5 F U - t ~- V A N G U A R D T A R G E T R E T I R E M E NT2 0 1 5 F UN D ( I N V)-VANGUARD TARGET RETIREMENT2 0 ! 5 F t m D ( I N V )-V~N GUA RD TA R; E T RE TIRE M E N T2015 FUND (INV)-VANGUARD TARG ET RETI REM ENT2015 FUND ( I N V )-V ANG U ARD TARG ET RETI REM ENT2 0 1 5 F U N D (1NV)-VANGUARD TARGET RETIREMENT2025 FUND (INV)-V ANG U ARD TARG ET RETI REM ENT2025 FUND 0N-V)-V ANG U ARD TARG ET RETI REM ENT2025 FU ND ( I NV )-V ANG U ARD TARG ET RETI REM ENT2025 FU ND ( I NV )-V ANG U ARD TARG ET RETI REM ENT2025 FU ND ( I NV )-V ANG U ARD TARG ET RETI REM ENT2 0 2 5 F U N D ( I N V )-VANGUARD TARG ET RETI REM ENT2025 FU ND ( I NV )-V ANG U ARD TARG ET RETI REM ENT2025 FU ND ( I NV )-OPPENHEIMER DEVELOPINGM ARK ETS FU ND ( I NV )
Buy 03/08fl0 J
Bu y 03 / 08 / 1 0 J(addl)B u y 0 3 / 0 8 / I 0 L
( a d d l )Buy 03/08/10 L(addl )Buy 03/08/10 J( a d d l )Buy 0 3 1 0 8 1 1 0 J(addl )Bu y 0 4t 14/10 J( a d d l )Buy 04/19/1 o J( a d d l )Bu y 0 3 / D 8 1 1 0 LB u y 03 / 08 / 1 0 L(addl )Bu y 0 3 / 0 8 / I 0 K
( a d d l )Buy 03108/10 J(addl )Buy 03108/I0 J
(add!)Buy 03/08/10 J
( a d d I )Bu y 0 4 1 1 4 1 1 0 J
( a d d l )Buy 0 4t19110 J
(addl )Buy 02/02/10 J
|. I n c o m e Gain Codes:( S~ Columns B1 an d D4 )
2 , Value Code~( See Colu mm CI and D3 )
B. Value M~thod CodesIS~e Column C2)
D =$S,OOI - $15,000H2 =More thanP2 =$5,000,001 - $25,000,000T =Cas h M ar k et
E = S I 5 , 0 0 1 - $50 ,0 0 0
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N a m e o f P e r s o n R e p o r t in gBERZON, MARSHA S.
Date of Repor t05 / t 3/2011
V I I . I N V E S T M E N T S a n d T R U S T S - ~,cor, e. ~.l,e. ,,~n,,caon, a, cludes ,hose ofs~ .... u , d dependent children; see p p . 3 4 - 6 0 offiling instructions.)"--] NONE (No reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( in c lu d in g tru s t a s se tS) re p o r tin g p e r io d
(0 (2)P l a c e " ( X ) " a 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 lo s u r e C o d e I di v . , ren t ,
( A - H ) or i n t . )
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 dO) (2)
V a lu e V a lu eC o d e 2 M e l h o d
( J - P ) C o d e 3( Q - W )
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
(t ) (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 f
bu y, se ll, m m/dd /yy Code 2 C o d e 1 buyer/sellerr e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e
t r a n s a c t i o n )
1 5 1 . -OPPENHEIMER DEVELOPINGMARKETS FUND (INV)1 5 2 . -OPPENHEIMER. DEVELOPINGMARKETS FUND (INV)53. -OPPENHEIMER DEVELOPING
MARKETS FUND (INV)
Bu y 02 / 02 / 1 0 JSold 03/08/10 K(pa r0Sold 0 3!0 8 /10 J
A
1. Income Gain Codes:( See Colu mns BI and
2 . V a lue C o d e s( S e e C o l u m r c s C I a M D 3 )
3,Valu e M et l axt C o d e s( See Colu mn C2)
= $ I . 0 0 0 o r le s s= $ 5 0 , 1 ) 0 1 --5;I 5.000 or less= $ 2 5 0 , 0 0 1 - $ 5 0 0 . ~= Ap p ~ i~ l=Book V a l u e
B =SI .001 - $ 2 . 5 0 0G =$ 1 ~,~01 -0 =5500,001 - Sl ,O00,O00R =Cost (Real Estate Only)V
D =$ 5 ,00 t - SI 5 ,000H2 = M o r e thnnM = $10 0 , 0 0 1 . $2 50 , 0 0 0P 2 = $5, 0 0 0 , 0 0 t -T --Cash Market
E =SlS.0OI - $ 5 0 , 0 0 0
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N a m e o f P e r s o n R e p o r l i n gB E R Z O N , M A R S H A S .
Da t e o f Repo r t05/I 3 /2011
VIII. ADDITIONAL INFORMATION OR EX PLANATIONS.~ ~ O F PA RT N E RSH IP IN TE RE ST IN CO M E.1 TH E E A RN IN GS RE PO RTE D IN PA RT VI I RE PRE SE N T TH E ~ 1STRIBUT1VE SHARE
*2 CD STARTED AS MERRILL LYNCH, BECAME BANK OF AMERICA THEN BECAME FIRST REPUBLIC.* 3 I N 2 0 1 0 , ~ R E T I R E M E N T A C C O U N T S P S P # I A N D P S R P # 1 W E R E T R A N S F E R R E D T O A D I F F E R E N T I N V E S T M E N T P L A T F O R M A N DCOMBINED; NOW LABELLED ACCOUNTRAX.
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Name o f Pe rson Report ingB E R Z O N , M A R S H A S .
Date of Repor t05 /13/201 I
IX. CERTIFICATION.I c e r t i fy t h a t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u ra t e , t r u e , a n d c o m p l e t e t o t he be s t o f m y kn o w l e d g e a n d be l i e f , a n d t ha t a n y i n fo rm a t i o n n o t r e p o r t e d w a s w i t hhe l d be c a u se i t m e t a p p l i c a b l e s t a t u t o ryp ro v i s i o n s p e rm i t t i n g n o n - d i sc l e su re .I f u r t h e r c e r ti f y t h a t e a rn e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g l f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t he p ro v i s i o n s o r s U . S . C . a p p . S 0 l e t . s e q . , 5 U . S . C . 73 53 , a n d J u d i c i a l Co n fe r e n c e r e g u l a t i o n s .
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 IF I E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B JE 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 )
C o m m i tt e e o n F i n a n c i a l D is c l o s u r eAdm in is t ra t ive Off ice o f the Uni ted Sta te s Cour tsS u i te 2 - 3 0 1One Colum bus Circ le , N .E.W a s h i n g t o n , D . C . 2 0 5 4 4