Petrese B Tucker Financial Disclosure Report for 2010

8/3/2019 Petrese B Tucker Financial Disclosure Report for 2010

1/41

A010Rev. 1 /2011

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010Report Req uired by the Ethics

in Government Act of 1978(5 U.S.C. app. ff.~ 101-111)

I. Person Repor t ing ( l a s t name , f i r s t , m idd le initial)T u c k er , P e t r e s e B .

4. Title (Article III judges i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or parl- t ime)

2. Court or OrganizationP A-Eas tem Dis t r ic t

5a. Repor t T)~e (check appropr ia te type)] N o m i n a t i o n , D a t eU.S. Dis t r ic t J udge ( Ac t iv e )

7. Chambers or Office AddressRoom 9 6 1 3 U.S . C our thous e6 01 Mar ke t S t r ee tP h i lade lph ia , P A 1 9 1 06 -1 7 51

[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancew i t h a p p l i c a bl e l a w s a n d r e g u l a t io n s .

Re v i e w ing Officer D a t e

3. Date of Repor t05/06/2011

6 . R e p o r t i n g P e r i o d01/01/201012/31/2010

I M P O R T A N T N O T E S : Th e i ns t ru c ti o ns acco mp a ny i ng t h i s fo rm mu s t b e f o ll o we ~L C o m p l e te a l l p ar ts ,checking the NONE box for each part where you have no reportable informatio~ Sign on last page.

I . P O S I T I O N S . ~ R , p o , ~ n g individual only; see pp. 9-13 of filing instructions.)D (No reportable posit ions.)ONE

POSITION1. Director2. Ex ecu t o r Estate # I3.

4.5.

N A M E O F O R G A N I Z A T I O N / E N T I T YAv enue o f the Ar t s , I nc .

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)D (No reportable agreements. )O N E

DATE1. 2000 P A S t a t e R e t i r e m e n t P l a n

PARTIES AND TERMS


2/41

FINANCIAL DISCLOSURE REPORTPage 2 of 41

N a m e o f P e r so n R e p o r t i n gTucker , Petrese B .

D a t e o f R e p o r t05/06/2011

I I I . N O N - I N V E S T M E N T I N C O M E . tRepo ~.g i.ai,, id.olo.dspou~ e~ see pp. tZ-Z of~ Ii.gA. Filers Non-Investm ent Incom e

~] (No reportable income.)ONE non-investmentDATE SOURCE AND TYPE I N C O M E(yours , not spouses)

I. 2 0 1 0 P A S E R S S ta te E m p lo y e e R e tire m en t S y s te m $ 2 8 ,000.002.3.4.

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 - If you were marrled during any portlon of the reporting year, complete this section.(Dollar amount not required ~rcept for honoraria.) "

N O N E (No reportable non-investment income.)

1.2010

2 .2 0 1 03 .2 0 1 04.

D A T E SOURCE AND TYPEC o m m o n w e a l t h o f P A - C o m m o n P l e a s C o u r t Ju d g e - S a l a r yV er non C hes tnut t , Es q . - Re f e r r a l s f ee sC o t t a g e H o m e - R e n t a l i n c o m e

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainment.( 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 il d r e n ; s e e p p . 2 5 - 2 7 o f f il in g i n s t r u c t io n s . )~-~ (No reportable reimbursements.)ONE

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

2. N Y I P A M a rch 26- 27, 20 10 N ew Y ork C ity Tr ai n i n g T r a v e l , m e a l s a n d o v e r n i g h ta c c o m o d a t i o n s3.4.5.


3/41

FINANCIAL DISCLOSURE REPORTPage 3 o f 41

N a m e o f P e r s o n R e p o r t in gTucker, Petrese B.

V . G I F T S . a ,, au d e s those to spouse and dependent children; see plx 28-31 of f iling instruction~)N O N E (No reportable gifts .)

SOURCE DESCRIPTIONI.2.3.4.5.

D al e o [ R e p o r ~05/06/2011

V A L U E

I

V l . L I A B I L I T I ES . a . c l. d e ~ t h o s e o y s , o u s e ~ . d d e p e . d c .t children; see p l x 3 2 - 3 3 of f iling instrucdon~)[~ N O N E (No reportable liabilities.)

CREDITOR1 . A m e r i ca n E x p r e s s2. F ar m Cr ed i t o f t h e Vi r g i n i as3.

4.5.

Cr ed i t car dM o r t g a g e o n L a n d

DESCRIPTION V A L U E C O D EJJ


4/41


N a m e o f P e r s o n R e p o r ti n gTucker, Petrese B.

D a t e o f R e p o r t05/06/2011

N O N E (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 lud in g t rus t a s se t s ) r e p o r t i n g p ~ r i o d

! (t) (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 lo s u r e C o d e I d i v . , r e n t ,II ( A - H ) o r in 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)

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(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)Type (e.g., D a t e V a l u e G a i nb uy, s e l l , m m ! d d ~ y C o d e 2 C o d e I

r e d e m p t i o n ) ( J - P ) ( A - H )I d e n t i t y o f

b uye r / s e l le r( i f p r i v a t e

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

1. Accounts receivable from clien ts of law None K Wprac t i c e2. M erril l Lynch Retireme nt Reserves - moneymarket acct s (Y)3. Land Halifax County, VA None L W4. Royal Bank - bank accounts A I n t e r e s t J5. Estate #1 - Real Estate Phila, PA Appraisal NoneDate 1/20/096. E s t a te # 1 - M o r g a n S t a n l e y A Dividend

MSo l d 06/10/10 J

7. Estate # 1 - PNC Bank A I n t e r e s t J

9.I0 .11 .

12 .

3 M Comp any A Dividend

A B B O T T L A B O R A T O R I E S - 5 . 8 75 %5 / 1 5 /0 6 - C O R P B O N D SAbbott LabsA C C E N T U R E P L C S H S

A Interest

A DividendNone

JJ

T Bu y( ad d l )So l d( p a n )

T

06/10/1006/03/10

T Sold 0 5 /19 /10(part)So l d 01/13/10

J.I

JJ A

1 3 .

1 4 .

1 5 .

1 6 .

A D O B E S Y S T E M SA E S C O R P

NoneNone

T S o ld 0 1 /0 8/10(part)Sold 04/27/10(part)So l d 0 5 /17 /10(part)Sold 0 5 /18/10

J AJJJ

1 7 . A E T N A I N C N E W Dividend Bu y( ad d l ) 03/23/10 J

I. In co me G a i n C o d e s :( S ee C o l u m n s BI an d D4)

2. V a l u e C o d e s[ S ee C o l u n m s C I an d D3 )

3 . V a l u e M e t h o d C o d e s( S ee C o h l m n C 2 )

A =$1.000 or lessF =$50.001 - $ 1 0 ( ~ . 0 0 ~J = $ 1 5 . 0 0 0 o x l e ~ , sN =$250.001 - $500.000P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $50.0~).0~0Q -Ap p r a i sa lU = Bo o k V a l u e

B =$1.001 - $2.500G = $ 1 0 0 . 0 0 1 - $ 1 . 0 O 0 . 0 0 0K =SI5.001 - $ 5 0 . 0 0 0O =S50~.001 - $1.000.00~R = C o s t (R e a l E s t a t e O n l y )V = O t h e r

C =$2,501 - $5,000I I I = $ 1 . 0 0 0 . ~ 1 - $5.0~0.000L = $ 5 0 , 0< )1 - $ 100 . 0~PI =$1.000.001 - $5.000,000P4 = M o re Ih ~nS = A s s g s s mcn lW = Es t i ma t e d

D $5 . 0 0 1 - $1 5 . 0 0 011 2 = M o r e Ihan $5.000.000M =$100.001 -$250.000P2 =$5.000.001 - $25.000.000T = C ash M ar k c l

E =$15.001 - $50.000


5/41


N a m e o f P e r s o n R e p o r ti n gTucker , Pet res e B .

D a t e o f R e p o r t05/06/2011

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 m . , v a l . e , ~ a , ~ a c , i o ~ a n c l u d ~ , h o s e o f s p o . s e a n d d e p e . d e ., c h i ld r e n ; s e e p p . 3 4 - 6 0 of f!llng instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p ti o 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 e p o r t i n g p e r io 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 texempt f r om pr ior d i s c los ur e

I n c o m e d u r i n g G r o s s v a l u e a t e n dr 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 d(I) (2) (I) (2) ( I ) (2) (3) (4) ( 5 )A m o u n t T y p ~ ( e . g ., V a l u e V a l u e T y p e ( e . g . , D a t e V a l u e G a i n I d e n t i t y o fC o d e I d iv . , r e n t , C od e 2 M e t h o d b u y , s e l l, m m / d d ~ 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 t e( Q - W ) t r a n s a c t i o n )

1 8 .1 9 .

20 .21 .22 .23 .24 .25 .26 .

27 .28 .29 .30 .31 .32 .33 .34 .

A L C A T E L L U C E N T S P D A D RA L L E G H E N Y T E C H I N C

N o n eA Dividend

A L L E R G A N I N C A Div idendA L L I A N Z N F J D I V ID E N T V A L U E F U N D N o n eAl l s ta te C or p De l A Interes tA L T E R A C O R P A D i v i d en dAlt r ia G r oup A D i v i d en dA L U M I N A L T D S P A D R ( X ) A Div idendA M A Z O N C O M I N C C O M N o n eA M E R E X P R E S S C O M P A Div idendA M E R E N C O R P A Div idendA M E R I C A N E X P R E S S - G L OB A L N O T E S A Interes t6 .1 5% 9 /2 8 /2 01 7A M E R I C A N T O W E R C O R P N o n e

JJ

J

JJJ

J

J

J

JJJ

J

S o ld 0 6 /11 /10(part)Bu y 04 /12/I0

( ad d l )T Bu y 02/17/10T Bu y 0 5 /0 5 /10

Bu y 10/19/10( ad d l )T Bu y 11/02/10T Bu y 07/12/10

T Bu y

T So l d( p a n )T

T So l d(part)T Bu y( ad d l )TT Bu y

Bu y( ad d l )

01/11/10

09/01/10

0 5 /0 5 /1004/07/10

04/08/10

04/09/10

JJ

JJJ

JJ

JJ

JJ

JJ

A

B

1. In co me G a i n C o d e s : A = $1,000 o r les s B = $1,001 - $2 ,5 00 C =$2.501 - $5,000 D :$5 . 001 - $15 . 0~( S c e C o l u m n s BI an d I M ) F =$50,001 - $100,000 G =$1 00 .0 01 - $ 1.0 00 ,0 00 I I I =$ 1,0 00 .0 01 - $5 .0 00 ,0 00 112 Morc than $5.000.000

2. V a lue C o d es J = $15 .000 ~" le ss K = $ 1 5 . 1 3 0 1 - $ 5 0 . 0 0 0 L =$50.0~| - $ 100.000 M =$100.001 - $250.0~0( S . :e C o l u m n s C I an d D3 ) N = $25 0.001 - $500 .0(]O . O =$5 00.001 - $1 .000.000 P I = $1.000 .001 - $5 .000 .000 P2 =$5.000.001 - $25.0~L000

P3 =$25.00~.001 - $50.0~).0~0 P4 =More Ihan $50.000.0003. V a l u e M e t h o d C o d e s Q = A p p ra i sa l R -~Sost (Rcal Esta te Only) S = A s s e s s t n u ~ n t T -~ ash M a~ k l( S ~ e C o l u m n C 2 ) U : Bo o k V a l u e V = O ~h e r W : E s t i m a t ed

E =$15.001- $50.00


6/41


N a m e o f P e r s o n R e p o r t in gTucker , Petrese B .

D a t e o f R e p o r t05/06/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i.co,.e...t.e, t r . . , , r t i o . , a n a . a . ~ t h o s e o / s p o . ~ , o . ~ , . p . . a ~ . t c h i l d r e n ; se e p p . 3 4 - 6 0 of filing i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

A. B. D.D e scr ip t io n of Assets Income d u r i n g T r a n s a c t i o n s d u r i n g r e p o r l i n g p e r i o d

( in c lud in g t rus t a s se t s ) r e p o r t i n g p e r i o d(i) (2)

Place "(X)" after each asset I 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 iv . , r e n t ,! (A-II) o r in t . )


V a l u e V a l u eC o d e 2 M e th o d

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

(I) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Value G ain I d e n t i t y o f

buy, sell , m m / d d / ~ y Code 2 C o d e I buyer/sellerr e d e m p t i o n ) ( J - P ) ( A-H ) ( i f p r i v a t e


35. Bu y 06/04/10 J(add l)36. AM ERIPRISE FINANCIAL INC None J T Bu y 09/01/10 J

37. AM ERISOURCEBERG EN CORP A Divid end J38 . AMGEN INC COM PV1 N o n e J T Bu y 01/27/10( ad d l )39 . Bu y 02/09/10( ad d l )40 . S o ld 0 7 /23 /10(part)41 . So l d 0 5 /0 3 /10( p a n )42 . Bu y 11/16/10( ad d l )4 3. A N AL OG D E VIC E S IN C CO M N o n e S o l d 01/28/10

J

JJJJJ

A

4 4. A N GL O GO L D A S HA N TI L T D A Div idend J T45 . A N H E U S E R -B U S C H IN B E V A D R (X ) N o n e J T4 6. A NN AL Y CA P M GM T IN C A Div idend J T47 . A O N C O R P C O M A D i v i d en d J T48 . A P A C H E C O R P A Div idend J T49 . A p p l e C o m p u t e r50 . A R C H E R D A N I E L S M I D L D (Y)51 . A S S A A B L O Y A B

N o n e K T

A Dividend J T Bu y 02/08/10

I. In co me G a i n C e d e s :( S ee C o l u m n s BI an d D4)

2. V a l u e C e d e s( S ~ C o l um n s C I an d D3 )

3. V a l u e M ct h e d C o d e s( S c c C o l u m n C 2 )

A=$1.000 or lessF =$50.001 - $100,000J : $ 1 5 . 0( ~ o r I , . .- s sN =$250.001 - $500.000P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $50.0~0.000Q = A p p ra i sa lU = B o o k V a l u e

B =$1,001 - $2.500G=$100.001 - $1.000.000K -$15.001 - $50.0000 $500.001 -$1.000.000R = C o s t ( R ea l [ s t a t e O n l y )V =O~hcr

C =$2,501 - $5.000III =$1.000,001 - $5.000.000L =$50.001 -PI =$1.000.001 - $5.000,000P4 =More than $5 0. 000 . 0~Q

S - A s s ~ s s m e n lW E s t i m a t e d

D = $ 5 . 0 0 1 - $ 1 5 . 0 0 01 1 2 = M o r e I h a n $ 5 . 0 0 0 . 0 0 0M = $ 1 0 0 . 0 0 1 - $ 2 5 0 . 0 0 0P 2 = $ 5 . 0 0 0 . 0 0 1 - $ 2 5 . 0 0 0 . 0 0 0T = C a s h M a r k~

E =$15,001 - $ 5 0 . 0 0 0


7/41



Date of R e p o r t05/06/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc o ,,,e , v u / ,,e , ~ u ~ u c t lo ~ a n c t u d ~ t h o s e o f s p o u s e u n d d e p e n a e . t children; s e e p p . 3 4 - 6 0 of filing instructions.)- - - - ] N O N E (No reportable income, assets, or transactions.)

Des cr ipti on of As s et s Income du r ing(including trust assets) r epor t i ng per iod

(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 f r om pr ior d i s c los ur e Code/ d i v . , r e n t ,(A-H) o r i n t . )

G ross va lu e a t endo f r e p o r t i n g p e r i o d(I) (2)

V a lue V a lueC o d e 2 M e t ho d

( J - P ) Code 3( Q - W )

Transactions during reporting period(I ) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Value G ain I d e n t i t y o f

buy, sell , m m / d d ~ Code 2 C o de I buy e r/se lle rr e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e


52 .53 .54 .

55 .56 .57 .58 .59 .60 .

61 .62 .63 .

A S T R A Z E N E C A P L C B O N D SA S T R A Z E N E C A P L C S P N D A D RA T & TB A N C O B V I Z A R G T S A A D RB A N C O D O B R A S I L S A - S P O NB A N K O F A M E R I C A C O R P O R A T EB O N D SB A R R I C K G O L D C O R P O R A T I O NB A X T E R INTERNATIONAL

B EC TO N DI C KI N SO N C O

A I n t e r e s tNone

A DividendNone

A D i s t r i b u t i o nA I n t e r e s tA DividendA Dividend

A Dividend

J

J

J

JJ

TT B uy 03/01/10

T

S o l d 02/01/10

T B uy 07/13/10

S o l d 01/13/10T

T B uy 05/19/10( a d d l )S o l d 04/12/10( p a n )B uy 05/20/10( a d d l )S o l d 01/19/10(parl )S o l d 04/19/10

JJJ

JJ

JJJ

A

AA

64 . B E R K S H I R E H A Y A W A Y I N C65 . B E S T B U Y C O66 . B H P B I L L IT O N L T D A D R67 . B IG LOTS I N C C O M68 . B L A C K R O C K B O N D A L L O C T A R G E TS H S S E R I E S C

A

N o n eN o n e

D i v i d en dN o n e

Div idend

JJ

K

T

TTT

Bu ySo l d

Bu ySo l d(parO

03/08/1003/03/10

01/04/1008/01/10

JJ

JJ A

I. In co m e G a in C o d es : A -$1.00 0 o r le ss B =$1,001 - $2.500 C =$2.5 01 - $5,1)00 D = $5,001 - $15 ,000( S ee C o l u m n s BI an d D4) F -$50.001 - $100.000 G =$100.001 - $1.000,000 I I I =$1.000,001 - $5.000,000 112 =More than $5,000.000

2. Value Cedc~ J -$15,000 or Icss K =$1L00I - $50.000 L =$5 0,001 - $100.000 M =$100 ,001 - $25 0 ,000I S c e C o l u m n s C I an d D3 ) N =$250.001 - $500 .000 O =$5 00.001 - $1 ,000.000 PI =$1,000.001 - $5.000.000 P2 =$5.000,001 - $25.0~0.000

P3 =$25.000.001 - $50,000,000 P4 = M o re l l mn $ 5 0 , 000 .0003. V a l u e M e t h o d C o d e s Q -Ap p r a i sa l R -~Sost (Real Esta te Only) S = A s s e s s me n t T = C ~ h M a r k e t( S ~ c C o l u m n C 2 ) U = B o o k V a l u e V = O l h e r W = Es l i ma t e d

E =$15,001 - $50,000


8/41


N a m e o f P e r s o n R e p o r t in gT u c k e r , P e t r e s e B .


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 a l u e , t r an ~ o e , i o , , ~ andudes those of spouse and dependent children; see p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n of Assets 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

I (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 ,i ( 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 d0) (2)V a l u e Value

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

T y p e ( e . g .,buy, sell ,

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 i n g p e r io d(2) (3) (4) (5 )

D a t e Value G ain I d e n t i t y o fm m / d d ~ ] Code 2 C o de I buy e r/se lle r

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

69 . B L A C KR O C K B O N D A L L O C T A R G E T A D i v i d e n dS H S S E R I E S M

70 . B M C S O F - I W A R E I N C N o n e

K S o l d 08/01/10 J( p a a )Sold 03/15/10 J

7 1 .72 .73 .74 .

75 .76 .77 .

78 .79 .80 .

B O E I N G C O - G L O B A L B O N D SB O E IN G C O M P A N Y

B O R G W A R N E R I N C C O M

A InterestA D i v i d en d

N o n e

B P P L C A D i v i d en dB R O A D C O M C O I L P N o n e

JJ T Bu y 0 5 /27 /10( ad d l )

Bu y 06/11/10( ad d l )Bu y 07/22/10( ad d l )So l d 03/12/10(part)S o ld 0 3 /15 /10( p ar 0

T Bu y 07/14/10Bu y 08/11/10( ad d l )So l d 05/2 0/1 0S o ld 0 1 /0 6 /10

JJJJ AJ AJJJJ A

81 .

83 .[84.

85 .

C A l n c A Dividend

C A M ER O N IN TL C O R T N o n e

S o ld 0 1 /25 /10(part)Bu y 07/01/10( ad d l )Bu y 08/17/10

JJJ

C A N A D I A N N A T U R A L R E S A Div idend J Bu y 1 0 / 2 1 / 1 0 JCanon Inc ADRl (Y)

I. In co me G a i n C o d e s :( S ee C o l u m n s BI an d

2 . V a l u e C o d e s(Sc C o Iu mr~s C I a n d D 3)

3. V a l u e M e t h o d C o d e s( S ee C o l u m n

A =$1.000 or lessF =S50.001 - $100.000J = $ 1 5 . 0 0 0 o ~ l e s sN =$250.001 - $50~.000P3 =$25.000.001 -Q = A p p ra i sa lU -Bo o k V a l u e

B = $ 1 , 0 0 1 - $ 2 . 5 0 0G =$ 100.001 - $1.000.000K =SI5,001 - $50.000O = S 5 00. 001 - $ 1 . 000 . 0(~R = C o s t { R e a l [ : s t a t e O n l y )V = O ~h e r

C =$2,501 - $5.0OOI11 =$1.000.001 . $5.000.000L =$50.001 -PI =$1.000.001 - $5.000.000P4 =More than $50.000.000S = Assessm en tW = Es f i ma md

D =$5,001 . $15,0001 1 2 =More than $5.000,000M = $ 100. 001 - $ 2 5 0 . 0 0 0P 2 = $ 5 . 0 0 0 . 0 ~ I - $25.000.000T = C ash M ar k e l

E =$15,001 - $50.000


9/41

FINANCIAL DISCLOSURE REPOR TPage 9 o f 41


D a t e o f Repor~05/06/201 t

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 m e , v a l u e , ~ a , ~ a ~ i o ~ , a n c l u d e s t h o s e of spouse and dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Des cr ipti on of As s et s Income during G ross va lu e a t end Tr ans ac t ions dur ing r epor t i ng per iod(including trust assets) r epor t i ng per iod o f r e p o r t i n g p e r i o d

1 ( I ) (2) ( I ) ( 2 ) (I) { 2 ) ( 3 ) ( 4 ) (5)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 . , V alue V a lue T y p e ( e m g . , D a t e Value G ain I d e n t i t y o f

exempt f r om pr ior d i s c los ur e t Code I d i v . , r e n t , C o d e 2 M e t h o d buy, sell , m m ! d d ? y y Code 2 C o de I buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) ( A-H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

86 .

87 .

88 .

89 .

90 .

91 .

92 .

93 .

94 .

95 .

96 .

97 .

98 .

99 .

C A R D I N A L H E A L T H I N C O H I O

C A P I T A L O N E F I N A N C I A L C O R P

C A R R E F O U R S A S H S

C A T E R P I L L E R F I N A N C I A L S E - 7 . 1 5 0 %2/15/2019 (X)C a t e r p i l l a r I n c s t o c k

C B S C o r p N e w ( Y )C E L G E N E C O R P

C E N T U R Y T E L I N C

C H E C K P O I N T S O F T W A R E T E C H

1 0 0 . C H E S A P E A K E E N E R G Y O K L A

101. C H E V R O N C O R P

1 0 2 . C H U B B C O R P

A DividendA DividendA DividendA I n t e r e s tA Dividend

None

A DividendNone

A DividendA DividendA Dividend

J

J

J

J

J

J

J

J

J

T Bu y 01/04/10T Bu y 04/05/10

TTT S o ld 0 2 /0 5 /10(part)

Sold 01/20/10(part)Bu y 07/27/10( ad d l )Bu y 07/28/10( ad d l )

T Bu y 0 5 /0 5 /10Bu y 0 5 /0 6 /10( ad d l )

TT Bu y 08/06/10

Bu y 09/30/I 0( ad d l )TT

So l d 04/06/10 :(part)

J

J

J

J A

J A

J

J

J

J

J

J

J A

I. In co me G a i n C o d e s :( S e e C o l u m n s B I a n d D 4 )

2 . V a l u e C o d e s( S ee C o l u m n s C I an d D3 )

3 . V a l u e M e t h o d C o d e s{ S ee C o l u m n C 2 )

A =$1.000 or lessF =$50.001 - $100,000J =$15.000 or lessN $250.001 - $500.0~0P 3 = $ 2 5 . 0 0 0 , 0 0 1 - $50,000.000Q =AppraisalU B o o k V a l u e

B =$1,001 - $2,500G=$100,001 - $ 1,000.0~0K =$15.001 - $50.000O=$500.001 - $ 1.000.000R = C o s t (R e a l Es l a t e O n l y )V = O ~ h ," r

C =$2,501 - $5,000It I =$1.000,001 - $5,000.000L =$50.001 - $100.000PI = $ 1, 000 . 001 -P4 = M o re t h a n $ 5 0 . 0~0. 000W =Es~imaled

D =$5,001 - $15.000112 =More lhan $5.000,000M =$100.001 - $ 2 5 0 . 0 0 0P2 =$5,000.001 - $25,000.000T = C a s h M a rk c~

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


10/41

FINANCIAL DISCLOSURE REPOR TPage 10 of 41


D a t e o f R e p o r t05/06/201 I

V l l . 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 a l,,e , ~ a , ~ a c t io , ~ a n c l a d ~ t h o s e o / s p o u s e a n d ~ e p e n d e n t chi ldren ; s e e p p . 3 4 - 6 0 of f i l ing ins tructions .)N O N E (No reportable income, assets, or transactions.)

D e s c a " 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 e p o r t i n g p e r i o d( in c lud in g t rus t a s se t s )


I n c o m e d u r i n gr e p o r t i n g p e r i o d

(I) (2)A m o u n t T y p e ( e .g .,C o d e I d i v . , r e n t ,( A - H ) o r in 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 d0) (2)


( J - P ) C o d e 3

( 1 )T y p e ( e . g . ,b u y , s e l l ,r e d e m p t i o n )

(2) (3) (4) (5 )D a t e Value G ain I d e n t i t y o f

m m/d d/y y C od e 2 C o de I buy e r/se lle r( J - P ) ( A-H ) ( i f p r i v a t e


1 0 3 .1 0 4 . C i s c o S y s t e m s I n c .1 0 5 .1 0 6 .1 0 7 . CISCO SYSTEMS INC - B ONDS1 0 8 . C I T IG R O U P I N C109. CIT IG R O U P IN C - S U B N O T E S

S o l d 04/07/10 J A

1 1 0 . C IT R I X S Y S T E M S

None

A I n t e r e s t

T Bu y 08/10/10 J( ad d l )So l d I I /11/10 J(part)So l d 12/02/10 J A(part)

T

I11.1 1 2 .

NoneI n t e r e s t

JJ

TT

Bu y( ad d l ) 07/01/10 J

1 1 3 . B I F M O N D Y F U N D ( F OR M E R L Y C M AM O N E Y F U N D )1 1 4 . C M E G R O U P I N C

1 1 5 .

AA

None

DividendDividend

L

T Bu y 04/22/10( ad d l )Bu y 07/24/10( ad d l )So l d 10/01/10(part)

TT B uy 12/01/10

JJ

J A

1 1 6 . CM S ENERGY CORP I n t e r e s tBu y 12/02/10 J( ad d l )

1 1 7 . C O A C H I N C A Divid end J Bu y 01/28/10 J1 1 8 . C o c a C o l a C o m1 1 9 .

Dividend Bu y 01/13/10( ad d l )

Bu y 01/28/10( ad d l )

JJ


2 . V a l u e C o d e s( S e e C o l u m m C I a n d D 3 )

3 . V a l u e M e t h o d C o d e s( S ee C o l u m n C 2 )

A =$1.000 or lessF =$50.001 - $100,000J =S 15.000 o lessN =$250.001 - $500.0~0P3 =$25.000.001 - $50.0~0.000Q = A p p ra i sa lU = B o o k V a l u e

B = $ 1 , 0 0 1 - $ 2 . 5 0 0G= $ 1 0 ~ . 0 0 1 - $ 1 , 0 0 0 .0 0 0K= $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0

R = C o s t ( R e a l E s t a te O n l y )V = O ~ h e r

C = $ 2, 5 01 -I I I =$ 1 . 0 ~ 3 . 0 0 1 - S 5 . 0 ( ~ 0 . 0 0 0L = S 5 0 . 0 0 1 - $1 0 ~ , 0 ~PI =$1,000.001 - $5.000,000P4 = M o re t h a n $ 5 0 . 0~0. 000S =Asscssnv.mtW -E s t i m a t ed

D =$5.001 - $15,0001 1 2 =More than $5.000.000M =$100.001 - $250.000P2 =$5.000.001 - $25.000.0~0T = C a s h M a rk e t

5.001 - $50.000


11/41


N a m e o f P e m o n R e p o r t i n gTucker , Petrese B .

D a t e o f R e p o r t05/06/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.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 G r o s s v a l u e a t e n d

( in c lu d in g trus t a s se ts ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d(l) (2) (0 (2 )

Place "IX)" after each asset [ A m o u n t T y p e ( e . g . , V a l u e V a l u ee 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 iv ., r e n t , C o d e 2 M e t h o d

i (A-H) o r in t . ) ( J - P ) C o d e 3i ( Q-W )

T y p e ( e , g ,,buy, sell ,~ dempt ion)


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

m ~ d d / y y C o d e 2 C o de I buy e r/se lle r( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

120.1 2 1 .

122.123.1 2 4 . C o l g a t e P a l m o l i v e1 2 5 . C O L U M B I A V A L U E &R E S T R U C T U R I N G F U N D C L Z1 2 6 . C O M C A S T C O R P - B O N D S

AA

D i v i d en dDiv idend

JJ

B uy 03/05/10 J( a d d l )B uy 06/03/I0 J

( a d d l )S o l d 12/06/10 J A(par t )S o l d 12/07/10 J A(par t )

T B uy 01/25/10 J( a d d l )T

A I n t e r e s t J

1 2 7 . C o m c a s t C o r p N e w C 1 A1 2 8 . C o m p u t e r S c ie n c e C r p1 2 9 . C O N A G R A F O O D S I N C

A

A

A

D i v i d e n d

D i v i d e n d

D i v i d e n d

JJ

TT

B uy 07/01110( a d d l )

S o l d 05/03110(par t )B uy 05119/10

J

J

J1 3 0 .1 3 1 .

Bu y 05/2 0/1 0 J( ad d l )Sold 08/09/10 J

1 3 2 . C o n o c o P h i l li p s1 3 3 . C O N S T E L L A T I O N E N E R G Y G P1 3 4 .

AA

D i v i d en dD i v i d en d

KBu y 0 4/0 5 /10Sold 11/16/10

JJ

1 3 5 . C O R N I N G I N C1 3 6 .

Dividend S o ld 0 4/0 8/10(part)Bu y 0 5 /28/10( ad d l )

JJ

I. In co me G a i n C o d e s :( S ee C o l u m n s BI an d 1 )4 )

2 . V a l u e C o d e s( S ~ C o l um n s C I an d D3 )

3. V a l u e M e t h o d C o d e s( S ~ e C o l u m n C 2 )

A -$1.000 or lessF =$50,001 - $100,000J=$15.000 or lessN =$250.001 . $500.000P 3 =$25,000.001 - $50.000,000Q=AppraisalU = B o o k V a lu e

B =$1.001 . $2.500G =$100.001 - $1,000.000K =$15.001 - $50.000O =$500.001 - $1.000.000R = C o s t IR ca l Es t a t e O n l y )V = O ~ h c -r

C =$2.501 - $5.000I I I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0L = $ 5 0 . 0 0 1 - $ I O 0 . O 0 0PI =$1.000.001 - $5.000.000P4 =More than $50.000.000S =AsscssmcnlW = Es f i ma l cd

D -$5 . 0 0 1 - $ 1 5 , 0 0 0112 =More than $5.000.000M =$ 100.001 - $ 2 5 0 . 0 ~ 0P 2 $ 5 .000 . 001 - $ 25 .000 .000T = C a s h M a r k d

E = $1 5 , 0 0 1 - $50,000


12/41


N a m e o f P e r s o n R e p o r ti n gTucker , Pet res e B .

D a t e o f R e p o r l05/06/2011

N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io r ~ 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 s e ts ) r e p o r t in g p e rio d

Place "(X)" after each asset i 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 i C o d e 1 d iv . , r e n t ,

! (A-H) o r in 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)V a lu e V a lu e

C o d e 2 M e th 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 l x ~ n i n g p e r i o d

(I ) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Value G ain I d e n t i t y o f

buy, sell , m m/dd~iy Code 2 C ode I buyer/sellerr e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e


1 3 7 .

1 3 8 .

1 3 9 .

1 4 0 .

1 4 1 .

1 4 2 .

COVIDIEN P L C S H S (FORM ERLYCOVIDIEN L T D )

CREDIT S U I S S E E G P S P ( X )

A Dividend

A Dividend

Bu y 0 6/11 /10( add l )S o ld 0 8/19 /1 0(part)

T Bu y 0 1/26 /10Bu y 0 2/0 1 /10( ad d l )Bu y 0 4/29 /10( ad d l )S o l d 10/22/10

J

J

J

J

J

J A1 4 3 . C T R I P . C O M I N T L LTD ADR None J Bu y 11/23/10 J1 4 4 .1 4 5 . C U M M I N S I N C1 4 6 .147 . CURRENCY SH ARES EURO TR

A Dividend

None

Buy I 1/24/I 0( ad d l )T Bu y 0 4/29 /10( ad d l )

S o l d 0 5 /0 7 /10(part)S o ld 0 5 /16 /1 0

JJJJ

A

1 4 8 . C V S C A R E M A R K C O R P ( Y )1 4 9 . DAIM LERCH RYSLER NA H OLDING-B O N D S 6 . 5 % 1 1 / 1 5 / 2 0 1 3150. DANAH ER CORP DEL

A

A

Interes tD i v i d e n d

JJ

TT

So l d 07/16/10 J(part) A

1 5 1 . D A N O N E - S P O N A D R None J Bu y 07/06/10 J152. DENBURY RES INC None J Bu y 03/10/10 J1 5 3 . DIAM OND OFFSH ORE DRLNG Dividend Bu y 05/14/10 J( ad d l )


2 . V a l u e C o d e s( S ~ c C o l u m n s C I an d D 3 1

3 . V a l u e M e t h o d C o d e s( S c c C o l u m n C 2 )

A =$1,000 or lessF =$50.001 - $100.000J=$15.000 or lessN =$250,001 - $500.0(~P 3 =$25.000.001 - $50.000.000Q =AppraisalU = Bo o k V a l u e

B $1,001 - $2 . 5 00G =$100.001 - $1.000.000K -$15.001 - $50.000O - $ 5 0 0 .0 0 1 - $ 1R -~Sost IRcal Esta te O~ly)V = O l h c r

C -$2.501 - $5 ,0~0I I I =$1.000.001 - $5.000.000L ~$50.001 - $100.000P I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 , 0 0 0P4 =More than $50.000.000W = Es t i ma t e d

D =$5,001 - $15,0001 1 2 =More than $5,000.000M = $ 10~. 001 - $ 25 0 . 0~0P2 =$5.000.001 - $25,000.000T = C a s h M a rk e ~

E = $ 1 5 . 0 0 1 - $ 5 0 , 0 ~ O


13/41



D a t e o f R e p o r t05/06/2011

V I I . I N V E S T M E N T S a n d T R U S T S - ~ n c o m e , v a t .e , ~ a . ~ a c a o . ~ a n c l a d e , t h o ~ e o f . s p o . ,e a n d dependent children; s e e p p . 3 4 - 6 0 of fi l ing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f A s s e t s In co m e d u r in g G ro s s va lu e at e n d 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( inc lu d ing t r u s t as s e t s ) r e p o rtin g pe r io d o f r e po rt in g p er io d

i (I) (2) (I) (2) (I) (2) (3) (4) (5 )Place "(X)" after each asset i A m o u n t Type (e.g., V a l u e V a l u e Type (e.g., D a t e V a l u e G a i n I d e n t i t y o fe x e m p t f r o m pr io r disclosure i Code I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l, m m / d d ~ , y C o d e 2 C o d e I b u y e r / s e l l e ri ( 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 t ei ( Q - W ) t r a n s a c t i o n )

1 5 4 .1 5 5 .

1 5 6 .

1 5 7 .

D I R E C T G R O U P H L D N G S C L A NoneSo l d 12/15/10 J( p a r t )S o ld 0 1 /28/10 J A( p a r l )So l d I 1/16/10 J A( p a r t )So l d 11/17/10 J A

158. DR PEPPER SNAPPLE G ROUP A Dividend J Bu y 07/14/10 J1 5 9. E M C C O R P O R A T IO N M A S

1 6 0 . E A S T M A N C H E M I C A L C O C O M ( X ) ANone

Dividend

S o l d 01/27/10 J A( p a r t )S o l d 08/01/10 J A

1 6 1 . E A T O N C O R P A Divid end J Bu y 02/02/10 J1 6 2 .

1 6 3 . E A S T O N V A N C E L A R G E C A P1 6 4 . E B A Y 1 N C

A DividendNone

S o l d 11/08/10 J A(par t )S o l d 11/12/10 J A(par t )S o l d 05/19/10 J

1 6 5 . EDI SO N I N TL C ALI F A Dividend J1 6 6 . E M E R S O N E L E C T R I C

1 6 7 .

1 6 8 . E N S C O I N T L L T D S P N S R A D R( F O R M E R L Y E N S C O I N T L I N C C O M )1 6 9 . E O G R E S O U R C E S

A D i v i d e n d

NoneA Dividend

T So l d 07/13/10 J A(part)So l d 10/26/10 J A(part)So ld 0 1 /0 4 /10 J A

T Bu y 05/1 6 /1 0 J1 7 0 . So l d(part) 07/06/I 0 J

I . Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 C = $2.501 - $5 ,000 D = $5,001 - $15,000( S c c C o l um n s BI an d D 4) F =$50 ,001 - $100,000 G =$100 ,001 - $1 .000 .000 I I I =$1.000,001 - $5.000.000 l l2 =More than $5.000.000

2. Value Codes J =$15.0~0 o less K =$15,001 - $50.000 L =$50.001 - $100,000 M =$100.001 - $250.000I S c c C o l um n s C I an d D3 I N =$250.001 - $500.000 O =$ 50 0.0 01 - $1 ,0 00 .0 00 P I = $1 ,0 00 .0 01 - $ 5.0 00 ,0 00 P2 =$5.0~0.001 - $ 2 5 , 0 0 0 , 0 0 0

P3 =$25.000.001 - $50.000,000 P4 = M o re t h a n $ 5 0 , 000 , 0003. V a l u e M e t h o d C o d e s Q = A p p ra i sa l R = C o s t (R e a l Es t a t e O n l y ) S = A s s cs s me n ! T = C ash M ar k c l( S ee C o l u m n C 2 ) U B o o k V a l u e V = O t h e r W = Es t i ma t e d

E =$15,001 - S50,000


14/41


N a m e o f P e r so n R e p o r t i n gT u c k e r , P e t r e s e B .

D a t e o f R e p o r t05/06/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c om , . va l u e, u a ~ oc ,i o ~ a, cl u H e s ~ h o s e o / s, o us e on H H e p e n H e n , ch i ld r en ; see p p . 3 4 - 6 0 of fi l ing i n s t r u a i o n ~ )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 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] O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t I A m o u n t T y p e ( e . g .,

e x e m pt f r o m pr i o r d i s c l o s u r e I 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 t a i n g p e r i o d(i) (2)


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

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


T r a n s a c t io n s d u r i n g r e p o r t i n g p e r io d(2) (3) (4) (5 )

D a t e Value G ain I d e n t i ty o fmm!dd/yy C ode 2 C od e I buy er/se lle r

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

1 7 1 . E S P R I T H O L D I N G S L T D A D R A Dividend So l d 09/09/10 J A1 7 2 . E X E L O N C O R P B O N D S 4 . 9 % 6 /1 5 / 2 0 1 5 A In teres t J

N o n e J Bu y 06/14/10 JD i v i d e n d

N o n eJJ

TT

S o ld 0 7 /0 7 /10 J(part)Bu y 08/17/10 J

173 . Ex p r ess Scr i p t s In c Co r n1 7 4 . E x x o n M o b il1 7 5 . F 5 N E T W O R K S I N C C O M1 7 6 .1 7 7 . F E D N A T L M O R T G A G E A S S O C-7 .1 2 5% 6 /1 5 /2 01 01 7 8 . F E D H O M E L N M T G C O R P - 6 .1 2 5 %3/15/20121 7 9 . F E D H O M E L N M T G C O R P - 4 .8 7 5 %11/15/0131 8 0 . F E D H O M E L N M T G C O R P - 5 .1 2 5 %7/15/20121 8 1 . F E D N A T L M T G A S S O C - 4 .7 5 %12/15/20101 8 2 .

o183. FED N ATL M TG ASSO C -6 .1 2 5Y o3/15/2012184. FHLMC1 4% 2040185. FHLMC150%2021186. FHLMC~ 50%20371 8 7 . F I F T H T H I R D B A N C O R P

AA

A

A

A

Interes tInteres t JInteres t JInteres t JInteres t K

Interes tN o n e

JJ

So l d 12/15/10 J(part)R ed ee m e d 0 6/15 /10 J

T

TTT R e d e e m e d 12/02/10 J(part)

R e d e e m e d 12/15/10 J(part)TT Bu y 12/10/10 J

B Interes t JC Interest

A Dividend

J

JT

T

R e d e e m e d 04/13/10 J(part)Bu y 08/02/10 J


2. V a l u e C o d e st S c e C o l u m n s C I an d D3 )

3. Value ktihod Codes{ S ee C o h l m n C 2 )

= $1 , 0 0 0 o r l c ss=$50.001 . $I00.000= $ 1 5 . 0 0 0 o r l n s=$250.001-

P3 =$25.000.001. $50.000.000=Appraisal= Bo o k V a l u e

B=$1,001 - $2.500G =$100.001 - $1.000.000K =$15.001 - $50.000

R =Cost (R eal [: -sta te Only)V - O t h e r

C =$2,501 - $5,000III = $ 1 . 0 0 0 . 0 0 1 - $5.000.000L =$50.0~1 - $100.000PI =$1.000.001 - $5.000.0~P4 =More than $50.000.000W = E s t im a te d

D = $ 5 . 0 0 1 - $ 1 5 . 0 0 0112 = M o r e t h a nM =$100.001 - $250.~0P 2 = $ 5 . 0 0 0 . 0 0 1 - $ 2 5 . 0 0 0 . 0 0 0T = C a s h M a r k e t

E =$15.001- $50.000


15/41


N a m e o f P e r s o n R e p o r t in gT u c k e r , Pe t r e s e B .

D a t e o f R e p o r t05/06/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , tr a , ~ c a o ,~ a n c l u d e ~ t h o ~ e o / ~ p o ~ , e ,n d d e p e n d e n t children: s e e p p . 3 4 - 6 0 of f i l ing ins truct ions .)N O N E (No reportable income, assets, or transactions.)

D e s c r i p ti o 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 e p o r t in g p e r i o d1 i n c l u d i n g t r u s t a s s e t ~ )

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 e

I n c o m e d u r i n gr e p o r t in g p e r i o d

O) (2)A m o u n t T y p e ( e .g .,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(i) (2)V alue V alue

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

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

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

(2) (3) (4) (5 )D a t e Value G ain I d e n t i t y o fm m / d d ~ Code 2 C ode I buyer/seller


1 8 8 . F I N M E C C A N I C A S P A S H S1 8 9 . F L O W S E R V E C O R P1 9 0 . FMC TEC HS I N C1 9 1 .192. FNMA~ 6% 20381 9 3 . FNMA~6% 2034194. FNMA~ 5% 20351 9 5 . FNMA~ 5% 20361 9 6 . FNMA~ 5% 20331 9 7 . FNMA~5% 2036198. FNMA~5.5% 20371 9 9 . FNMA~6% 2038200. FNMA~5% 203820 1. FNMA~ 5% 203820 2. FNMA~ 50% 2023203. FNMA~ 6% 2038204. FNMA~ 50% 2040

N o n e

A D i v i d e n d

N o n e

D Interes t KB Interes t JB Interes t JA Interes t JA Interes t JB Interes t JA Interes t JC Interes t JB Interes t JA Interes t JA Interes t JB Interes t JA Interes t J

T Bu y 0 8/0 3 /10 JS o ld 0 7 /12 /10 JS o ld 0 6 /21 /10 J(part)So l d 06/22/101 J

TTTT Bu y 04/13/10 J( ad d l )TTTT R ed e em e d 0 4 /1 3 /1 0 : J(part)T Bu y 0 1/0 4/10 . JTTTT Bu y 02/12/10 J


2 . V a l u e C o d e s( S ee C o l u m n s C I an d


A =$ 1.000 or lessF =$50.001 - $ 1 0 0 . 0 0 0J -$15.0(}0 or lessN =$250.001 - $500.000P 3 =$25.000.001 - $50.0~0.000Q -A p p ra i s a lU = Bo o k V a l u e

B =$1,001 - $2,500G= $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0K =$15,001 - $50.000O=$500.001 - $1,000,000R =:Cost (Real Esta te Only)V = O l h e r

C = $ 2, 5 01 - $ 5 , 000I I 1 = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0L =$50.0~1 - $100.000PI =$1,000,001 - $5,000.0~0P4 =More lhan $50.000.0(}0S = A s s e s s me n tW = Es t i ma t e d

D =$5.001 - $15.000112 =More than $5.000.000M = $ 100. 001 - $ 2 5 0 . 0 0 0P2 =$5.000.001 - $25,000.000T = C ~ h M a r k e t

E =$15.001 - $50.000


16/41

FINANCIAL DISCLOSURE REPORTPage 16of4!


D a t e o f R e p o r t0 5 / 0 6 / 2 0 1 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 n to ,, ,, , v a t, e. ~ ra ,~ o aio ,~ ( inc l ud es t h o s e o f s p o us e a n d d ep en d en t c h i l d ren; s c e p p . 3 4 - 6 0 of f i l ing ins truct ions .)~-1 N O N E (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 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( in c lud in g t rus t a s se t s )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

I n c o m e d u r i n gr e p o r t i n g p e r i o d(I) (2)A m o u n t T y p e (e .g. ,C o d e I d i v . , r e n t ,

( A - H ) o r in t . )

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

(I) (2)V a l u e ValueC o d e 2 M e th o d( J - P ) C o d e 3< Q - W )

O)T y p e ( e . g _ ,buy, sell ,


(2) (3) (4) (5 )D a l e Value G a in I d e n t i t y o fm 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

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

205. FOREST LAB INC206. FREEPRT-M CM RAN CPR & G LD20 7.2 08 .20 9.210 .211 .212.213 .214.215.

None S o l d 05 /05 /10 J

216. FUJIFIM H LDGS CORP ADR

A D i v i d e n d K

None

T Sold 05/07/I 0( p a r t )Bu y 10/01/10

( ad d l )Bu y 10/26/10( ad d l )Bu y 11/01/I0( ad d l )Bu y 04/12/10( add l )Bu y 05/03 /1 0( add l )So ld 0 7 /1 2 /10( p a r t )So ld 0 7 /1 4 /10( p a r t )Bu y 01 /08 /1 0( ad d l )

( add l )T

J

J

J

J

J

J

J

J

J

J

217. G AP INC DELAWARE218.219. GENERAL ELECTRIC CAP CORPSENIOR BONDS 5.25% 10/19/2012220. G ENERAL ELECTRIC221. GENWORTH FINANCIAL INC COM CLA (Y)

A Dividend

A Interest

A Dividend

JJ

T Sold(par t )Bu y( add l )

T Bu y( add l )

~04/12/1007 /01 /1 0

08/01/10

JJ

A

A

I . Income Gain Codes: A =$1.000 or less B = $1,001 - $2 .5 00 C = 5 2.501 - $5 .000 D =55.001 - $15.000(Se e C o l u mn s B 1 a n d D 4 ) F =$50.001 - $100.000 G = $100.001 - $1.0O 0.000 I I I =$1.000.001 - $5.0~).000 112 =More than $5.000.000

2. Value Code~ J =$15.000 o Icss K = $15.001 - $50 .000 L = $50.001 - $100.000 M = 5100.001 - $250 .0~01 S c C o l u n m s C I an d D3 ) N =$250.001 - $508.000 O =$5 00.001 - 51 .000 .000 P I = $ 1. 00 0 .O 9 1 - $ 5. 00 0. 00 0 P 2 = $ 5. 00 0 .0 0 1 - $2 5 .0 0 0. 00 0

P3 =$25.000.001 - 550.0~0.000 P4 =More than $50.000.0~03. V a l u e M e t h o d C o d e s Q = A p p ra i sa l R =C o s t (R ea l E sta te On ly ) S =A s se ssm en t T = C a s h I , .t a r k c ~I S c e C o l u m n C 2 ) U = Bo o k V a l u e V = O lh ,r W = Es tim a ted

E =$15,001 - $50.000


17/41



D a t e o f R e p o r t05 /06 /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 - i n c om e , v ol u e. ~ o ~ o c, io ~ a n c lu d e s , h o se o f s p o o~ o n d d ~ p ~ n d en , chi ldren; see p l ~ 3 4 - 6 0 of fi l ing i n s t r u c t i o n ~ )[ ~ ] 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 lud in g t rus t a s se t s ) r e p o r t i n g p e r i o d

i (i) (2)Place "(X)" after each asset I A m o u n t T y p e ( e . g . ,e x e m p t f r o m prior disc losure i C o d e I d i v . , r e n 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 d

(I) (2)V a lu e V a lu e

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

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

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



m m / d d . ~ i y Code 2 C o d e I buyer!seller( J - P ) (A-H) ( i f p r i v a t e

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

222. Gilea d Science s Inc Com None So l d 01/04/10 J(part)223. S o l d 03/10/10 J A

224. G LAXO SMI THKLI N E C AP I TAL-5 .6 5%5/1 5 /2 01 8

2 2 5 . G l a x o S m i t h K l in e P L C A D R226.227 .228. G OLD FIELDS SP ADR NEW229. G OLDM AN SACHS G ROUP INC230 .231 .232 .233 .234.235 .236 .237 . G O L D MA N S A CH S G R O U P INC -

NOTES2 3 8 . G O O G L E I N C

A I n t e r e s tA Dividend

A DividendNone

A I n t e r e s tNone

JJ

JJ

JJ

T Bu y 04/07/I 0( ad d l )S o l d I 1/01/10(part)So l d 11/02/10(part)

T

JJ

J

T S o l d 12/01/10 J A(par t )B uy 04/26/10 J( a d d l )S o l d 07/01/10 J(par t )B uy 04/26/10 J( a d d l )B uy 04/27/10 J

( a d d l )B uy 07/29/10 J

( a d d l )S o l d 08/26/10 J( p a n )S o l d 09/01/10 J(par t )

T

01/06/10Bu y( ad d l )

1. In co me G a i n C o d e s :( S c c C o l u m n s Bl an d D4)

2 . V a l u e C o d a( S e e C o l u mn s C I a n d D 3)

3 . V a l u e M e t h o d C o d e s( S e e C o l u m n C 2 )

A $ 1 , 0 0 0 o r l c s sF =$5 0 . 001- $ 1 0 0 , 0 0 0J =$15.000orlessN = $ 25 0. 001- $ 5 00 . 000P3 ~ $25.000.001 - $50.0~0,000Q = Ap p r a i sa lU = B o o k V a l u e

B =$1,001 - $2.500G =$100.001 - $ 1,000.0~0K =$15.001 - $50.000O = $500.001 - $1.000.000R ~ o s t ( Rea l E s t a t e O n l y )V = O ~h e r

C =$2.501 - $5,000III =$1.000.001 - $5.000.000L =$50.001 - $ 1 0 0 . 0 0 0PI =$1.000.001 - $5.000.000P4 =More ~han $50.000.000S = A s s a s s in h iW -E s l i m a t c d

D =$5.001 - $15,000112 =More than $5.000.000M =$100.001 - $250.0~0P2 -$5.000.001 - $25.0~0.000T G a s h M a r k e t

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


18/41



Date of R e p o r t0 5 1 0 6 1 2 0 1 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 n c o , ,e , v a t , e . ,a , ~ o c , i o ~ a n c l , , d , , t h o ~ e o f s v o u s e o n d d o v e n d e n t children; see pp. 34-60 of f i l ing ins truct ions .)N O N E (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 lud in g t rus t a s se t s ) r e p o r t i n g p e r i o d

O) (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 lo s u r e C o d e 1 d i v . , r e n t ,( A - H ) o r in 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 l u e V a l u eC o d e 2 M e th o d

( J - P ) C o d e 3

( i )T y p e (e.g.,b uy, s e l l ,



(2) (3) (4) (5 )D a t e Value G ain I d e n t i t y o fm m / d d ? y y Code 2 C o d e I buyer/seller


239.240 .

241 .242 .243 .2 4 4 . G R U P O T E L E V I S A S A A D R2 4 5 . H a l l i bu r to n C o m p a n y2 4 6 . H A R B O R INTERNATIONAL247. HARRIS STRATEX NETWORK248 . H ARTFORD CAPITAL

None

S o l d 0 4 1 2 2 1 1 0 J A(par t )S o l d 0 5 1 2 1 1 1 0 J(par t )S o l d 0 6 1 0 9 1 1 0 J(par t )S o l d 0 9 1 1 5 1 1 0 J(par t )S o l d 0 9 1 1 5 1 1 0 J(par t )

T B uy 0 7 1 1 6 1 1 0 J

A D i v i d e n d J T



None J T24 9. H ar t fo rd F inanc i a l Se rvic e s Inc (Y )2 5 0 . H e s s C o r p251. H ew le t t Pac ka rd C o25 2.25 3 .25 4.

A D i v i d e n d

A D i v i d e n d So l d 05/17110 J A(part)S o ld 0 8/0 9 /1 0 J A(part)S o ld 0 8/17 /1 0 J(part)Sold 09/14/10 J

255 . Home Depot Inc A Dividend S o l d 05/18/10 J A


2 . V a l u e C o d e s( S c C o l u m n s C I an d D3 )


A -$1,000 or l e s sF -$ 5 0 , 001 - $ 10~, 000J =$15.000 or I c s sN -$2 50.001 - $ 5 0 0 . 0 0 0P 3 = $ 2 5 , 0 0 0 .0 0 1 - $ 5 0 , 0 0 0 , 0 0 0Q : Ap p r a i sa lU = B o o k V a l u e

B -$1 ,001 - $2 ,500G -$100.001 - $1.000.000K = $ 15, 001 - $ 5 0 .000

R - C o s t (Rea l E s t a t e O n l y )V - Oth er

C :$2.501 - $5.0001 1 1 = $ 1 . 0 0 0 , 0 0 1 -L =S50,001 -PI =$1.000.001 - $5.000,000P4 =More than $50,000.000S = A s s e s s m g n lW = Es t i ma t e d

D =$5,001 - $15.000112 =More than $5.000.000M = $ 10~. 001 - $ 25 0.000P 2 = $ 5 . 0 ( 1 0 . 0 0 1 * $ 2 5 , 0 0 0 , 0 0 0T ~Ca.sh Matke~

E = $ 1 5 . 0 0 1 - $50,000


19/41



Date of R e p o r t05/06/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - ncome, value, t r a n s a c t i o n s tlnc/odes those ofsponse and dependent children; ,ee pp. 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

Des cr ipti on of As s et s Income du r ing(including trust asse~) r epor t i ng per iod

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

exempt f r om pr ior d i s c los ur e C o d e I d i v . , r e n t ,(A-H) o r i n t . )

Gross value at endo f r e p o r t i n g p e r i o d(I) 12 )Value Value

Code 2 M ~ h o d( J - P ) Code 3

( Q - W )

Transactions during reporting period

(I) (2) (3) (4)T y p e ( e . g ., D a t e V al u e G ain

buy , se ll , m m/dd hiy C ode 2 C o d e 1r e d e m p t i o n ) ( J - P ) ( A-H )

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

buyer/seller( i f p r i v a t e

2 5 6 . H O M E D E P O S T I N C - 3 . 9 5 0% 9 / 1 5 / 2 0 2 0 N o n e J Bu y 09/09/10 J2 5 7 . H o n e y w e l l l n t l I n c D e l A D i v i d e n d J

25 8. H S B C H L D G P L C ( X ) A D i v i d e n d J Bu y 1 1 1 0 4 1 1 0 J 2 59 . HUDSO N C I TY B AN KC O RP I N C A D i v i d en d J2 6 0 . I M B C O R P 4 . 47 % 1 1 / 1 9 /2 0 1 2 A In teres t J2 6 1 . I M P A L A P L A T I N U M S P O N A D R N o n e S o l d 05/16/I0 J

262. I N G E R S O L- R A N D P L C A Dividend J2 6 3 . I n t e l C o r p264.265 .266 .2 6 7 . I n t e r n a t i o n a l B u s i n e s s M a ch i n e s

268.

269.

270 . I N T L P A P E R C O

A Dividend

A Dividend

A D i v i d e n d

T S o l d 01/21/10(par t )S o l d 04/28/10(par t )B uy 07/01/10( a d d l )B uy 0 9 / 0 1 / 1 0( a d d l )

T S o l d 04/08/10(pan)S o l d 04/13/10(par t )S o l d 07/01/10(par t )

T

J AJ BJJJ AJ AJ A

271.

272.

I V A N H O E M I N E S L T D ( X ) N o n e Sold 07/15/10 J(part)So l d 09/24/10 J(part)

AA

I. In co me G a i n C o d e s :( S c c C o l u m n s BI an d D4)

2 . V a l u e C o d e s(~:c C o h mms C I a n d D 313 . Value Mcvhod Codes

1Se e C o l u mn C 2)

A =$1.000 or lessF =$50.001 - $100,000J= $ 1 5 . 0 0 0 or l e s sN -$250.001 - $500.000P 3 = $ 2 5 . 0 0 ~ . 0 0 1 - $50.000.000Q =AppraisalU = Book Value

B =$1,001 - $2,500G=$100.001 - $1.000,000K =$15.001 - $50.0000 = $ 5 0 0 . 0 0 1 - $1,000 . 000R = C o s t (R e a l Es t a t e O n l y )V = O ~ h cT

C =$2.501 - $ 5 , 0 0 0Itl =$1.000.001 - $5.000.000L =$50.001 - SI00.0(~

PI = $ 1.000 .001 - $ 5 .000 . 000P 4 =More than $50.000.000

=$5,001 - $15,00012 =More than $5.000.000

M = $ 100. 001 - $ 25 0 . 000P2 -$5.000.001 - $25,000.000

= C ash M ar k e t

E =$15.001 - $50,000


20/41


N a m e o f P e r s o n R e p o t l i n gTucker, Petrese B.

D a t e o f R e p o r l05/06/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v o t u e , . a , ~ o . io , ~ ( lnc lud ~ tho se o f sp o use a nd d e p e n d e n t ch i ld re n; se e p lx 34-60 o f f i l i n g i n u r u a i o n ~ )N O N E (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 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( in c lud in g t r t l s ! a s se ~ )



(I) (2)A m o u n t T y pe (e . g .,C o d e I div.. ~nt,(A-tl) o r in 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(l) ( 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 y p e ( e . g . ,b uy, s e l l ,r e d e m p t i o n )

(2)D a t e V a l u e G a i n I d e n t i t y o f

m m / d d / y y C o d e 2 C o d e I b uye r / s e l le r( J - P ) ( A - H ) ( i f p r i v a t e


273.274 . IVY ASSET STRATEG Y FUND CL I D i v i d e n d

S o l dBu y

12/06/10 J07/12/10 J

275. JANUS FORTY FD CL ! (Y)276. JENNISON SMALL COMPANY (Y)277. JOHN DEERE CORP - GLOBAL BONDS7% 3/15/2012278. JOH NSON AND JOHNSON279.280 .281.282 .283.284.285 .286. JOHNSON CONTROLS287. JOY G LOBAL INC288 . JP M organ Chase & Co289. JP M ORGAN CHASE BONDS

A I n t e r e s tA Dividend

A DividendNone

A DividendA I n t e r e s t

JJ

JJ

T Buy 01/28/10 J( ad d l )Bu y 04/12/10 J( ad d l )S o l d 06/1 1/10 J A( p a r t )S o l d 07/12/10 J A( p a r t )S o l d 07/27/10 J( p a r t )S o l d 07/28/10 J( p a r t )Bu y 06/01/10 J(add l)S o l d 07/06/10 J( p a r t )S o l d 06/08/I 0 J AS o l d 01/25/10 J A

T Bu y 04/15/10 J(add l)


2. V al u e C O d ~( S ee C o l u m n s C I an d D3 )

3 . V a l u e M cl h o d C o d e s( S ee C o l u m n C 2 )

A =$1,000 or lessF =$50.001 - $100.000J= $ 1 5 . 0 0 0 ~ l e s sN =$250.0~1 - $500.000P 3 = $ 2 5 . 0 ~ 0 . 0 0 1 - $ 5 0 . 0 @ 2 . 0 0 0Q =AppraisalU = B o o k V a l u e

B =$1,001 - $2.500G=$100.001 - $ 1.000.000K =$15.001 - S50.00~O =$50~.001 - $1.000.0~R = C o s t (R e a l Es t a t e O n l y )V = O 1 h o "

C =$2.501 - $5.0001 1 1 = $ 1 . 0 0 0 . 0 0 1 -L =$50.001 - $100.00~PI = $ 1, 000 , 001 -P4 =More than $50.000.000S = A s s e s s me n tW = Es t i ma t e d

D =$5.001 - $15.0~O1 1 2 =More than $5.000.00(IM = $ 100. 001 - $ 2 5 0 . 0 ~ 0P2 =$5.000.001 - $25.000.000T -~Sa.sh Markcl

E =$15.001 - $50.000


21/41




V I 1 . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v o l u e , ~ a ~ o c t l o ~ a n c l u d ~ t h o s e of spouse and dependent c h i l d r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)



I n c o m e d u r i n g G r o s s v a l u e a t e n dr 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 d

(I) (2 ) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y p e ( e .g ., V alu e V a lu e T y p e ( e .g ., D a t e V a l u e G a i n I d e n t i t y o fC o d e 1 d iv ., r e n t , C o d e 2 M eth o d buy , s e ll , m m ~ d d / y y C o d e 2 C o d e I b uye r / s e l le r

( A - H ) o r in 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 t e( Q - W ) t r a n sa c t io n )

2 9 0 . J U N I P E R N E T W O R K S IN C N o n e J T Bu y 11/12/10291. K imber ly C la rk A D i v i d en d J T Bu y 0 5 /11 /10( ad d l )292. Bu y 06/04/10

( ad d l )293. So l d 09/28/10(part)294. So l d 10/15/10(part)295 . So l d 10/18/10(part)2 9 6 . K 1 N R O S S G O L D C O R P A D i v i d en d J T Bu y 02/03/102 9 7 . K I R I N B R E W E R Y L T D S P A D R N o n e So l d 0 5 /16 /102 9 8 . K O R E A E L E C P O W E R S P N A D R N o n e J T299. K ra f t Food s Inc A Div idend J T3 0 0 . KR A F T F O O D S G L B 5 . 3 7 5 % 2 / 1 0 / 2 0 2 0 A Interes t J T Bu y 02/14/10 J3 0 1 . K R O G E R C O ( Y )3 0 2 . L - 3 C O M M U N I C A T I O N S H O L D I N G A D i v i d en d J T3 0 3. L A B O R A T O R Y C P A M E R H L D G S N o n e J T Bu y 0 5 /19 /103 0 4 . L L O Y D S T S B G R O U P S P D N o n e J T3 0 5 . L IM I T E D B R A N D S I N C A D i v i d en d J T Bu y 0 5 /0 3 /10306. Bu y 0 5 /10 /10( ad d l )

J

JJJJJJ

JJ

AAA

I, Incom e G ain Codes: A = $1.000 o r les s B = $1,001 - $2 ,5 00 C = $2,5 01 - $5 ,000 D =$5,001 - $15,0~0( S ee C o l u m n s BI an d D4) F =$50 ,001 - $100 ,000 G =$100 ,001 - $1 ,000.0~0 t l l =$1.0~3.001 - $5.000.0~0 112 =More lhan $5.000.000

2. Value Codes ] =$15,000 o Ic~ K =$15,001 - ,$50.00~ L = $5 0.0~1 - $100 .000 M = $100.001 - $25 0 .000( S ee C o l u m n s C I an d D3 ) N = $2 50 .0 01 - $50 0.0 00 O = $5 00.001 - ,$1,000.00 0 P I = $ 1, 00 0 ,0 0 1 - $5 .0 0 0. 00 0 P 2 = $5 .0 00 ,0 0 1 - $ 25 .0 0( I.0 0 0

P3 =$25.000.001 - $50.0~0.000 P 4 = ~ . l o r c t h a n $ 5 0 . 0 ~ 0 . 0 ~ 03. V a l u e M e t h o d C o d e s Q = A p p ra i sa l R =C ost (R ea l Esta te On ly ) S =A ss cs sm en ! T = C a s h M a rk c~( S ee C o l u m n C 2 ) U B o o k V a l u e V = O l h e r W = Es t i ma t e d

E :$15,001 - $50.000


22/41



D a t e o f R e p o r t05/06/201 I

V l l. I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , ~ a , ~ a c t i o ~ a n c l a d e s th o s e o l s p o u s e a n d d e p e n d e n t children; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)


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 e

I n c o m e d u r i n g G r o s s v a l u e a t e n dr 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 d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y p e ( e .g . , V a l u e V a lu e T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i t y ofC o d e 1 d i v . , r e n t , C o d e 2 M e th o d bu y , s e l l, m m ! d d ! y y C o d e 2 C o d e I b uye r / s e l le r( A - H ) o r in 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 iv a te

( Q - W ) t r a n s a c t i o n )

3 0 7 . L o c k h e e d M a r t in C o r p A D i v i d en d308.3 0 9 . L o e w s C o r p A D i v i d en d3 1 0 . L O R I L L A R D I N C A D i v i d en d3 1 I . L O W E S C O M P A N I E S (Y)3 1 2 . L U B R I ZO L C O R P A D i v i d en d3 1 3 . L V M H M O E T H E N N E S S Y A D R ( X ) A D i v i d en d314.315.3 1 6 . M A R A T H O N O I L C O R P317. MARATHO N O I L C O RP -6 % 1 0/01 /2 01 7318. M A S T E R C A R D INC (Y)3 19 . M A I- I EL I N C C O M320. M C G R A W H I L L C O M P321.3 22 . M C D ON A L DS C O R P3 23 . M C K E SS O N CO R P O R A T IO N C O M

A DividendA I n t e r e s t

NoneA Dividend

A DividendNone

JJ

.I

J

T Bu y I 1/01/10( ad d l )Bu y 03/16/10( ad d l )

S o l d 09/01/10

T Bu yT So l d(part)

So l d( p a n )So l d( p a a )

T

01/20/10

07/14/10

07/27/10

12/23/10

T S o ld 0 9 /0 1 /10( p a a )So l d II /10/10(part)So l d 11/19/10

T Bu y 06/08/I 0Bu y 06/14/10

JJ

JJJJ

JJJJ

J

A

AAA

A

A

I . I n co m e G a i n C o d es : A = $1,000 or less B = $1,001 - $2 .5 00 C = $2,501 - $5.0(30 D =$5.001 - $15.000( S ee C o l u m n s B1 an d I )4 ) F =$50,001 - $ 100,000 G =$100,001 - $1 ,000 ,000 I l l =$1.0~0,001 - $5.000,000 112 =More than $5,000.000

2. Value Codes J =$15.000 or less K =$15,001 - $50.000 L =$50,001 - $100.0(~ M =$100.001 - $2.~0. (~0( S c ~ C o l u m ~ C I a n d D 3 ) N = $ 2 5 0 . 0 0 1 - $ 5 0 0 . ( 3 0 ~ O =$500.001 - $1.0(~.000 PI =$1,000,001 - $5,000.000 P2 =$5.000.001 - $25,000.000

P3 =$25.000.001 - $50.000,090 P4 =More than $50.000.0903. Value Method Codes Q = A p p ra i s al R ~:~ost (Real Esta te Only) S =Asscssmenl T G a s h M a r k e t( S ee C o l u m n C 2 ) U = Bo o k V a l u e V - O t h e r W =Es~imalcd

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


23/41



D a t e o f R e p o r t05/0612011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction&)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Des cr ipti on of As s et s Income during G ross va lu e a t end Tr ans ac t ions dur ing r epor t i ng per iod

(including trust assets) r epor t i ng per iod o f r e p o r t i n g p e r i o d[ O) (2) O) (2) (I) (2) (3) (4) (5 )

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 ., V a lue V alue T y p e ( e . g ., D a t e V al u e G ain I d e n t i t y o fexempt f r om pr ior d i s c los ur e I Code I d i v . , r e n t , Code 2 M e t h o d buy, sell , m m / d d h y y Code 2 C o de I buy er /se lle r

i ( 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 t e] ( Q - W ) t r a n s a c t i o n )

324. S o l d 11/08/10 J

325. M EAD JOHNSON NUTRTION CO A Dividend J T Bu y 01/28/I0 J(add l)326. M EADWESTVACO CORP A Dividend J T Bu y 02/22/10 J327 . M edcoHea l th Solut ions None S o l d 08/02/10 J328 . M edl roni c Inc . Com A Dividend J329. M ERCK AND CO INC A Dividend330. M et l i fe Inc A Dividend331 .

J

J

332 . M i cr o so f t Co r p A D i v i d en d K333.334.335 .336 .337 .

338.339 .340 .

TT So l d 06/07/10(par l)

Bu y 0 4/19 /10( ad d l )T So l d 07/12/10( p a n )

So l d 08/03/10( p a n )So l d 08/I 1 /10( p a r t )S o ld 0 8/17 /1 0( p a n )So l d 11/15/10( p a n )B u y 0 8 / 0 2 / 1 0(addl)Buy 08/09/10

(addl)Sold 1 0 / I 1 / 1 0(part)Sold 1 2 / 0 1 / 1 0(part)

JJ

JJ

JJ

JJJJJ

1. In co m e G ain C o d es : A = $1.000 or less B = $1,001 - $2.5 00 C = $2.5 01 - $5 .000 D = $5.001 - $15 ,000( S e e C o l u m n s B 1 a n d D 4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 ~ 0 G =$ 10 0.0 0 ! - $ 1 .0 00 .0 00 I I I = $ 1 .0 00 .0 01 - $ 5.0 00 .0 00 1 1 2 = M o r e t h a n $ 5 . 0 0 0 .0 0 0

2. V a l u e C o d e s J =$15.000 or less K =$15.001 - $50.0~O L -$50.001 - $100.000 M = $ 100. 001 - $ 25 0 . 000( S ee C o l u m n s C I an d D3 ) N =$250 ,001 - $500.000 O =$5 00.001 - $1 .000.000 Pl $1.000.001 - $5.000.000 P2 =$5.000,001 - $25.000.000

P3 =$25,000.001 . $50.000.000 P4 =More th~n $50.000.0003. V a l u e M e t h o d C o d e s Q = A p p ra i sa l R ~osl IRcal Eslawe Only) S = A s s ~ s s n ~ . n t T , = C x s h M a rk e t( S ee C o l u m n C 2 ) U = B o o k V a l u e V - O t h e r W = Es t i ma t e d

E =$15.001 - $50.0~


24/41



D a t e o f R e p o r t05/06/2011

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 a l u e , t r a , ~ a c , lo . s a . c lu d e s , h o s e o / s p o u s e a n d d e p e n d e n t children; see pp. 3 4 - 6 0 of f i l ing ins truc t ions . )N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f A s s e t s In co m e d u r in g G r o ss va lu e at e n d T r a n s a c t i o n s d u r i n g r e p ~ r l i n g p e r i o d

( in c lud in g t rus t a s se t s ) r e p o r l 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) (I) (2) (3) (4) (5 )Place "(X)" after each asset i A m o u n t T y p ~ ( e . g . , V a l u e V a l u e T y p e ( g . , D a t e V a l u e G a i n I d e n t i t y o f

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 , C o d e 2 M e th o d buy , s e l l, m m / d d . ~ y C o d e 2 C o d e I b uye r / s e l le r[ ( A - H ) o r in t . ) ( J - P ) C o d e 3 t ~ - d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e(Q - W) t r a n s a c t i o n )

341. B uy( a d d l )

342. M I T S U B I S H I E S T A T E AD R ( X ) N o n e J T12/01/10 J

34 3 . M S &AD INS G ROUP H LDG S(FORMERLY M ITSUI SUMITOMO INS)

34 4. FIA CARD SRVS NA RASP N o n e C l o s e d 01/06/103 4 5. M O N S A N T O C O N E W D E L C O M A Dividend Buy 03/03/10 J346. S o l d 07/01/10 J

3 4 7 . M O R G A N S T A N L E Y - N O T E S

348.

349. M O S I A C C O

350 . M O T O R O L A IN C

351.

352. M U R P H Y O I L C O R P

353. N A B O R S I N D U S T R I E S LT D

354. N A T I O N A L O IL W E L L V A R C O

355.

A I n t e r e s t

None

T S o l d 01/15/10(par t )B uy 01/20/10( a d d l )S o l d 10/I 1/10

J

J

J

None

N o n e

T Bu y 09/07/10( ad d l )Buy 10 /I 1 /10( ad d l )S o ld 0 1 /0 4/10

JJJ

NoneNone

T Sold 03/08/10(par t )S o l d 01/I 1/10(par t )S o l d 01/28/10

J

JJ

A

A

A

A

3 5 6 . N E T A P P I N C N o n e J T B uy 09/15/10 J

I. In co me G a i n C o d e s :( S ec C o l u m n s BI an d D4)

2. Value Codc~( S ~ c C o l u m n s C I an d D J )

3 . V a l u e M ct h o d C o d e s( S ee C o l u m n C 2 )

A =$1.000 or lessF =$50.001 - $100.000J -$1 5 . 0 0 0 ~ l e s sN =$250.001 - $500.000P 3 ~ $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 . 0 { ) 0 . 0 0 0Q -Ap p r a i sa lU B o o k V a l u e

B =$1,001 - $2.500G =$100.001 - $1,000,000K =$15.001 - $50.000O :$500.001 - $1,000.000R = C o s t (R e a l Es t a t e O n l y )V = O t h e r

C =$2,501 - $5.0~0III =$1.000.001 - $5.000.000L =$50.001 - $100,000PI =$1.0(30.001 - $5.000.000P4 = M o re t h a n $ 5 0 . 000 , 000S = A s s ~ s s m o ~ lW = E sf i m a l c d

D =$5.001 - $15.000112 =More than $5.000.000M =$100.001 - $250.0~0P2 =$5.000.001 - $25.000.000T = C a s h M a rk e t

E = $ 1 5 . 0 0 1 - $ 5 0 . 0 00


25/41


~ l a m e o f P e r s o n R e p o r t i n gTucker , Petrese B .

D a t e o f R e p o r t05/06/2011

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 , vu t u , , , ,u , ~ u a i o , ~ a ,~ t , d e s t h o s e q s p o ,~ e u . a ~ e p e , a e ,t ~ n i t d ,, .; s e~ , e . 3 4 - 6 0 of filing instructions.)N O N E (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 lu d in g tru s t a s s e ts ) r e p o r t in g p e rio d

(I) (2)Place "IX)" 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 lo s u r e I i C o d e I d i v . , r e n t ,I ( A - H ) o r in t . )



( J - P ) C o d e 3(Q.w)

3 5 7 . N E T F L IX C O M I N C35 8.359.360 .3 6 1 . N E W C O R P C L A A3 6 2. N E W Y O R K C M N T Y B A N C O R P A D i v i d en d J3 6 3. N E W C R E S T M N G L T D S P N A D R A D i v i d en d J3 6 4 . N E W M O N T M I N I N G C O R P ( Y )3 6 5 . N E W S A M E R I C A I N C 5 . 3 % 1 2 / 1 5 /2 0 1 4 A Interes t J3 6 6 . N I P P O N T E L G & T E L S P D N A D R A D i v i d en d J3 6 7 . N O B L E E N E R G Y I N C A D i v i d en d J3 6 8 . N o k i a C o r p A D i v i d en d J3 6 9 . N O R D S T R O M I N C A D i v i d en d J3 7 0. N O R T H R O P G R U M M A N C O R P A D i v i d en d J3 7 1 . N R G E N E R G Y I N C ( Y )3 7 2 . O c c id e n t a l P e t r o l e u m C o r p ( Y )3 7 3 . O r a c l e C o ~ p A D i v i d en d J


(I ) (2) (3) (4) (5 )T y p e ( e . g ., D a t e V al u e G ain I d e n t i t y o f

buy, sell , m m / d d , 3 , y C ode 2 C o de I buy e r/se lle rr e d e m p t i o n ) ( J - P ) ( A-H ) ( i f p r i v a t e

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

None J Bu y 08/06/I 0 J

Dividend

Bu y 0 9 / 0 1 / I 0( ad d l )Sold 0 9/27 /10(part)Bu y 12/09/10( ad d l )

T BlJy 07/12/10

J

J

J

J

A

Bu y 09/14/10 J

Sold 03/19/10 J(part)

I. Income Gain Co, des: A -$1,000 or Ices B = $1,001 - $2 .5 00 C = $2.5 01 - $5 .000 D =$5.001 - $15.000( S ee C o l u m n s B I an d I M ) F =$50.0~1 - $10O.000 G =$100.001 - $1.000.000 Il l =$1.0~O.001 - $5.000.~00 112 =More Ihan $5.000.000

2. V a l u e C o d e s J =S 15,000 o less K = $1 5 . 0 0 1 - $5 0 . 0 ~ L =$50.001 . $100.0~) M = $ 100. 001 . $ 25 0 . 000I S c c C o l um n s C I an d D3 ) N =$250,001 - $500.0~3 O =$5 00,001 - $1.00 0.0 00 PI =$1.000.001 - $5.000.000 P 2 = $ 5 . 0 ~ 0 . 0 0 1 - $ 2 5 . 0 0 0 . 0 0 1 1

P3 =$25.000.001 - $50.090,000 P4 =More than $50.000.0~03. V a l u e M e t h o d C o d e s Q =Appraisal R = C o s t IR e a l Es t a t e O n l y ) S = A s s e s s me n t T = C a s h M a rk c~[ S ee C o h ]m n C 2 ) U =Boc.k Value V = O t h e r W = Es l i ma t e d

E = $ 1 5 . 0 0 1 - $50.000


26/41



Date of R e p o r t05/06/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a l u e , t r a n s a c t i o n ~ ~lnelodes those o/spouse and depen dent children: see pp. S 4-60 o/filing instructions.)NONE ("No repor table income , asset s , or t ransac t ions .)

Des cr ipti on of As s et s Transactions during reporting period(including trust assets)


Income du r ing G ross va lu e a t endr epor t i ng per iod o f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y p e ( e . g . , V a lue V a lue T y p e ( e . g ., D a t e Value G ain I d e n t i t y o fC o d e I d i v . , r e n t , Code 2 M e t ho d buy , se ll , m m/dd /y y Code 2 C o d e I buyer/seller(A-II) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) ( A-H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

374.375 .376 .377 .378.3 7 9 . P A C T I V C O R P O R A T I O N

380 . P A N A S O N I C C O R P S H S ( Y )381.382 .383 .384.

N o n e

Bu y 04/13/10( ad d l )Bu y 09/28/10

( ad d l )Bu y 12/15/10

( ad d l )S o ld 0 5 /0 3 /1 0(part)So l d 0 6 / 0 1 / 1 0(part)S o ld 0 2 /12 /10

JJJJJJ

P A R K E R H A N N I F I N C O R P

3 8 5 . P A Y C H E X I N C386.387 .388.389 .390 .

A D i v i d en d

A Dividend

T S o l d 05/24/10(par t )B uy 05/17/10

( a d d l )B uy 06/01/10

( a d d l )S o l d 07/27/10( p a r t )Buy 05/21/10

JJJJJ

So l d 10/26/10 J(part)Sold 11/05/10 J

P eps ic o I nc A Dividend T Buy 01129/10(a d d J )S o ld 0 3 /0 4/1 0(part)Sold 04/23/10(part)

JJJ

AA

A

A

I. In co me G a i n C o d e s :( S ee C o l u m n s BI an d I M )

2 . V a l u e C o d e s( S ~ C o l um n s C l an d


=$1,000 or less=$50,001 - $100,000-$15.000 or less=$250,001 - $500.000

P3 =$25.000.001 - $50,000,000=Appraisal- B ook Valu e

B =$1,001 - $2,500G =$100.001 - $1.000.000K =$15.001 -O = S5 00. 001 - $1.0~0.000R = C o s t (R e a l Es t a l e O n l y )V =Olhcr

C = $ 2 . 5 0 1 - $ 5 . 0 0 0I I I = $ I . 0 ~ 0 . 0 0 1 -L = $ 5 0 . 0 0 1 - $ I 0 0 . 0 0 ~P I = $ I . 0 0 0 , 0 0 1 - $ 5 , 0 0 0 . 0 0 0P 4 = M o r e t h a n $ 5 0 . 0 0 0 . 0 { ) 0S = A s s e s s m e n tW = E s t i m a t e d

D =$5.001 - $15,000112 =More than $5,000.00~M =$100.0Ol - $250.0~0P2 =$5,000,001 - $25.000.000T = C a s h M a rk c~

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


27/41



D a t e o f R e p o r t05/06/2011

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 m e , ~ o t ~ e . t r o , ~ * c # o , ~ ( ln c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 o f f i li n g i n s t r u c t io n s . )N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Des cr ipti on of As s et s Income du r ing G ross va lu e a t end Transactions during reporting period(including trust assets) r epor t i ng per iod o f r v p o r t i n g p e r i o d

(I) (2) (I) (2) (I ) (2) (3) (4) (5 )Place " ( X)" af t er each as s et A m o u nt T y p e (e . g . , V a lue V a lue T y p e ( e . g ., D a t e Value G ain I d e n t i t y o fexempt from prior disclosure C o d e I d i v . , r e n t , Code 2 M e t h o d buy, sell , mm/dd~ r y C ode 2 C o de I buy e r/se lle r(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) ( A-H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

391.392 .393 . PETRLEO BRAS V TG SPD ADR

S o l d 06/16 /10 J(paa)Sold 0 7 / 1 5 1 1 0 J( p ar 0

None Sold 01/25/10 J A

394.395 .396 .397 .398.

Pfizer ln c Del PV .05

PFIZER I N C - 6 . 2 % 3 / 1 5 /2 0 1 9

A Dividend

A I n t e r e s t

T Bu y 03/23/10( ad d l )Sold 07/23/10(part)So l d 10/01/10(part)Bu y 04/01/10( ad d l )

T

JJJJ

399.

400.

401.

402.

403.

404.

PHILIP M ORRIS INTL INC

PIMCO EM ERGING LOCAL BONDF U N DPIM CO FIXED INCOM E SHS SERIES CINSTLP I M C O FIXED INCOM E SHS SERIES MINSTLPIMCO TOTAL RETURN FU ND C L P

A Dividend

A DividendD DividendB I n t e r e s t

A Dividend

J

KKJ

T

T

T

T

T

S o ld 0 6 /11 /10(part)Sold 07/01/10(part)Bu y 0 5 /0 5 /10

S o ld 0 4/0 7 /1 0(part)

Bu y 0 5 /0 5 /10

J

JJJ

A

A

A

405. PITNEY BOW ES INC A Divid end J T4 06 . PNC FINANCIAL SERVICES G R O U P

IN C40 7. P O T A S H C O R P S A S K A T C H E W A N A

NoneDividend

JJ

TT

Bu y 11/12/10Sold 0 3/23 /10(part)

JJ A

I . I n co m e G a i n C o d es : A =$1,000 or less B = $1 .00 l - $2,50 0 C -$2,50 1 - $5 ,0 00 D =$5,001 - $15.000( See Col umns B I and D4 ) F = $50.001 - $100,000 G =$ 100.001 - $1,000,000 I I 1 = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 , 0 0 0 112 =More t ban $5,000.000

2. V a lue C o d es J = $15 .000 o r le s s K = $15 ,001 - $50 ,000 L =$5 0,001 - $100.000 M =$100 ,001 - $25 0 .000I S e C o l u m n s C I an d D3 ) N =$250 ,001 - $500 .000 O =$5 00.001 - $1 .000.000 P I = $1.000 .001 - $5 .000 ,000 P2 =$5.000,001 - $25,000.000

P3 = $25,000.001 - $50 ,000,000 P 4 = M ore th an $50 .000,0003. V a l u e M e t h o d C o d e s Q = A p p ra i sa l R = C o s t (Rea l E s t a t e O n l y ) S = A s s c s s n ~ . n ! T = C a z h M a r k o( S ee C o l u m n C 2 ) U = Bo o k V a l u e V = O t h o " W =Esf imalcd

E =$15.001 - $50.000


28/41



D a t e o f R e p o r l0 5 / 0 6 / 2 0 1 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 ncom e, value , transact ions (Includes those of spouse and depend ent chi ldren: seepp. 34-60 of f i l i ng inst ruct lonsONONE (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 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( inc lud ing t r u s t a s s e l ~ )

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 l o su r e


(i ) ( 2 )A m o u n t T y p e ( e . g . ,C o d e 1 d i v . , r e n t ,

(A - H ) or in t . )

G r o s s v a l u e a t en dof r e p o r t i n g p e r i o d

O) (2)V a l u e V a l u eC o d e 2 M e th o d( J - P ) C o d e 3( Q - W )

(1 )T y p e ( e . g .,b uy, s e l l ,



m m /d d/y y C od e 2 C o d e 1 buyer/seller( J - P ) ( A -H ) ( i f p r i v a t e


408. Bu y 1 1 / 0 4 / 1 0 J( ad d l )409 . Bu y( ad d l )

12/16/10 J

410. PRAX AIR INC None S o l d 01/26/10 J A411 . PRECISION CASTPARTS None J Bu y 07/28/10 J412.

413.

414 . PRICELINE COM INC None

B uy 08/19/10( a d d l )

B uy 10/21/10( a d d l )

B uy 08/05/10

J

J

J

415. Proc tor Gam ble416.417 . PROCTOR GAMBLE 0 4 .6% 1/15/2014G LB418. PRUDENTIAL PLC (X )

A Dividend

A DividendNone

Sold 0 3/0 4/10( p a r OSo l d 06/11110(part)Sold 06/28110

J

J

J

4 19 . Q UAL COM M INC Dividend B uy 01/08/10 J( a d d l )

4 2 0. S o l d 05/27/10 J421. QUEST DIAGNOSTICS INC A Dividend S o l d 05/10/10 J422. QWEST COMM INTL INC COM A Divid end J423 . RR DONNELLEY SONS424 . RADIOSHACK CORP

A DividendNone

Bu y 04/07/I 0( ad d l )So l d 0 4/0 5 /10(part)

JJ

AAA

I. In co me G a i n C o d e s :( S c e C o l u m n s BI an d I )4 )

2 . Value Code~( S ee C o l u m n s C I an d D3 )

3 . V a l u e M e t h o d C o d e s(S~: C o l u m n C 2 )

A =$1,000 or lessF =$50,001 - $100,000J =$15.000 o lessN = $ 25 0 , 001 - $ 5 00 . 00)P3 =$25,000.001 - $50.000.0~3Q = A p p ra i sa lU = Bo o k V a l u e

B =$1.00 1 - $ 2 , 5 0 0G =$100,001 - $1.000.000K =$15,001 - $50.0(~0 -$5 0 0 , 0 0 1 - $1.000.000R =Cost (Real Estate Only)V - O t h e r

=$2.501 - $5.0001 = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0=$50.001 - $100.0~)

PI =$1.000.001 - $5.000.000P4 =More than $50.000.0~O

-Assessm en tW = Es t i ma t e d

D =$5.001 - $15,000112 =More than $5,000.000M -$ 100. 001 - $ 25 0 , 000P2 =$5.0(10.001 - $25,000.000T = C a s h M a rk e t

E -$15,001- $50.000


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D a t e o f R e p o r t05/06/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e . ~ a . ~ o c , i o ~ s a . c l .d e s , h o s e o / s p o . ~ e ~ . d d e p e . a e .t c h i l d r e n ; seepp. 34-60 o f f i l i n g i n s t r u c t io n s . )N O N E (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( 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 )

Place "(X)" after each asset I 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 i Code I d iv . , r e n t ,

: (A-H) o r in 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 lue V a lueC o d e 2 M e t h o d

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

(1 )T y p e ( e . g . ,b u y , s e l l ,



(2) (3) (4) (5 )D a t e V al u e G ain I d e n t i t y o f

m m /dd/yy C ode 2 C o de I buyer!se lle r( J - P ) ( A-H ) ( i f p r i v a t e


425. Sold 06/02/10 J

426. RANGE RESOURCES CORP DEL A D i v i d e n d J4 2 7 . R a y t h e o n C o D e l a w a re N e w428.429.

Dividend Bu y 01/27/10( ad d l )

So l d 07/22/10(part)S o ld 0 8/0 5 /10(part)

430 .431 . REYNOLDS AM ERICAN INC432.433 . RETIREM ENT RESERVES CL I (Y)434. ROCKWELL COLLINS4 3 5 .436.437. ROSS STORES INC COM438.

A Dividend

A Dividend

A Dividend

T Bu yS o l d( p a r t )

0 4/0 5 /101 0 8 / 0 9 / 1 0

T Bu y 103/09/10Bu y 0 3/17 /10( ad d l )Bu y 0 4/29 /10( ad d l )

T Bu y 0 1/25 /10

J

JJ

JJ

JJ

J

J

439 . ROWAN COMPANIES440. ROYAL DUTCH SHELL A

NoneDividend

JJ

T

T

Sold(part) 06/14/10 J

441. RYDER SYSTEM S I N C A Dividend J

1. In co me G a i n C o d e s :(Se e C o l u mn s B I a n d 134 )

2 . V a l u e C o d e sI S l e C o l u m n s C I an d D3 )

3. V a l u e M e t h o d C o d e s(Se e C o l u mn C 21

A =$1,000 or lessF =$50.001 - $ 1 0 0 . 0 0 0J =$15.0~0 or lessN =$250.001 - $ 5 0 0 . 0 ~ OP 3 = $25.000.001 - $50.000.000Q = A p p ra i sa lU = B o o k V a l u e

B =$1,001 - $ 2 . 5 0 0G = $ 100. 001 - $ 1.000 . 000K =$15.001 - $50,000O =$500.001 - $1,000.000R ~os l ( R eal Es t a t e Only )V = O t h e r

C =$2.501 - $5.000I I I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0L = $ 5 0.001 - $ 100 ,000PI -$1.000.001 - $5.000.000P4 =More than $50.000.000S = A s s ~s s mcmW = Es t i ma l e d

D =$5.001 - $15.0~O112 =More than $5,000.000M = $ 100. 001 - $250.0~0P2 =$5.000.001 - $25.000.000T -~? a s h M a rk e t

E =$15,001 - $50.000


30/41



D a t e o f R e p o r t05/06/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , ,, a l u e , t r a n s ~ c t i o , ~ a n c l u d c s t h o s e of spouse and dependent children; see pp. 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)



In c o m e d u r in g G r o s s v a lu e at e n dr 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 d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y p e ( e . g . , V a l u e V a l u e T y p e ( e .g ., D a t e V a l u e G a i n I d e n t i t y ofC o d e 1 d i v . , r e n t , C o d e 2 M e th o d buy , s e l l, m m ! d d t y y C o d e 2 C o d e I b uye r / s e l le r

( A - H ) o r in 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 t e( Q - W ) t r a n sa c t io n )

442.443.444.445 .446 .447 .448.449 .45 0 .

45 1 .45 2 .45 3 .

SALESFORCE COM INC NoneSANDISK CORP INC None

Sanofi Aventis Spon ADR A DividendSAP AG SHS A DividendSARA LEE CORP A Dividend

S ch

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