Richard A Paez Financial Disclosure Report for 2010

8/3/2019 Richard A Paez Financial Disclosure Report for 2010

1/22

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor t ing ( las t name , f i r s t , middle ini t ia l )Pa e z , R ich a rd A.

4. Title (Article 111 judges ind icate active or senior status;magistrate judges indicate full- or part-t ime)

Cir c u i t Judge - Ac t ive

7. Chambers or Off ice AddressU .S. C ou r t o f Appe a l s12 5 S . Gra nd A v e nu e , S te . 3 0 0Pa s a de na , C A 9110 5

2. Court or Organizat ionU.S. Court of Appeals for the Ninth Circuit

3. Date of Report06/30/2011

5a. Repor t Type (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

6. Repor t ing Per iod01/01/2010

to12/31/2010

Reviewing Officer Date

IMPORTANT NO TES: The instruct ions accompanying this form m ust be fol lowe~L Com plete a l l parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ( R e , o . i n g i n a i v i d u u l o n l y ; s e e p p . 9 - 1 3 of filing instructions.)D N O N E ( N o reportable posit ions.)

POSITION1 . Board of D ir ector s2.3.

4.5.

NAME OF ORGANIZATION/ENTITYW estern Justice Center, Pasadena, CA

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~] N O N E ( N o reportable agreements.)

D A T E P A R T I ES A N D T E R M S


2/22

FINANCIAL DISCLOSURE REPORTPage 2 of 22

N a m e o f P e r so n R e p o r t i n gPaez, Richard A.

D a t e o f R e p o r t06/30/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ~ R e p o ~ i n g individual and spouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestment Incom e

~ (No reportable income.)ONE non-investmentDATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

1. May 2010 California Judges R e t i rement System $6,606.002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during an yportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)

1.20102.3.4.

D A T E SOURCE AND TYPECedars Sinai Medical Center - Salary

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.( Includes those to spouse and dependent chi ldren; see pp. 25-27 of f i l ing ins t ructions . )~ NONE(No reportable reimbursements.)

SOURCE DATES LOCATION1 . New York University 03/2010 NY C

3.4.5.

P U R P O SEInte rv iewer : Root-Ti ldenPub. Int . s tudents

I T E M S P A ID O R P R O V I D E DAirfa re and Hote l


3/22



D a t e o f R e p o r t06/30/2011

V . G I F T S . a n e t . d e s those to spouse and dependent children; seepp. 28-31 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION1 .2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s those of spouse and dependent children; see pp. 32233 of filing instructions.)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUE CODE


4/22


N a m e o f P e r so n R e p o r t i n gPaez, R i ch a rd A .

D a t e o f R e p o r t06130/2011

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; see pp. 34-60 of filing instructions.)~ N O N E income, assets, or transactions.)N o reportable

( i nc l u d i ng t r u s t a s se t s ) r e po r t i ng pe r i od o f r e po r t i ng pe r i od(1) (2) (1~ (2) (1) (2) (3) (4) (3)place "(x)" after each asset Gain I d e n t i t y o f

exempt from prior disclosure Code 1 buyer/seller(A-H) o r i n t . ) ( J = P ) Code 3 redemption) (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 . Fide l i ty Mage l lan A D i v i d e n d J T2. Fide l i ty Cash R ese rves ( IRA) A D i v i d e n d J T3. Fide l i ty Shor t Te rm Bo nd ( IRA) B D i v i d e n d J T Sold 01/05/10 J( p a r t )4. Fide l i ty Gov t Incom e ( IRA) B D i v i d e n d K T Sold 09/01/10 J( p a r t )5. Fideli ty CA Muni MM A D i v i d e n d M T Sold 04/10 /10 J( p a r t )6. Fideli ty CA Muni MM A D i v i d e n d M T Buy 1 2/29/1 0 M

A

A

A

7. Cedar s S ina i Med Ctr 403b - ING *See Note A D i v i d e n din Pa r t V II I . (SP)8. - Vanguard Targe t Re t i rement-2025

LBuy/Month 01/01/10 K

9. - S S G A S & P In d e x F u n d Buy/Mo n th 01/01/ I0 K1 0 . - V a n g u a r d M id c a p In d e x F u n d Buy/Mo n th 01/01/10 K1 I. Fide l i ty P AS ( IRA)(Sp)** See Note D D i v i d e n d N1 2 . Fide l i ty Cash R ese rves IRA (Sp) A D i v i d e n d J1 3 . - Fidelity Diversif ied Intl A D i v i d e n d Sold 01/27/10 J A1 4 . - Fidelity Diversif ied Intl Sold 03/30/10( p a r t )1 5 . -Fidelity Diversif ied Intl Sold 05/12/10(part)1 5 . -Fidelity Diversif ied Intl Sold 07/27/10( p a r t )1 7 . -Fidelity Diversif ied Intl Bu y 08/10/10(add l )

JJJJ

A

A

A

i. in~0~ Gain 0desi. ~ ~$11000:0~ i~ : B =$1:00i ~ $2,500 C =$2,501- $5,000 D =$5.001- $15.000( See C ol umns BI and I ) 4) F =$50;001 - $100,000 G =$100;001 - $1,000,000 HI =$1~000,001. $5,000,000 H2 =Mo re than $5~000,000

2. V a lu e Codes J = $15;000 0r iess K =$15,001 = $50.000 L --$50,001 - $100,000 M = $100~001 -$250,000(S ee Co lu mns C I and D3) N =$ 250 , 001 - $500 , 000 i O ~$5001001 - $1,000 000 PI =$1~000;00i = $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,00i ~ $50s000,000 P4 =M ore than $50,000,0003. Value Method Codes Q =A ppra is a l R--CoSt (Real Estate Only) S =Assessmen t T =Cash Mark e t(S ee Co lu mn C2) U =Book Va lu e v =Ot her W = Est ima ted

E =$15,001 - $50.000


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D at e o f R e p o r t06/30/2011

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 , ~ e , v . lu e , ,. .n s . c t io n s a n e l u d e s t h o s e o S s p . . .. n n d 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.Descr ip t ion 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 T r a o s a c t i o n s d u r i n g r e p o r t n g p e r i o d( i h c l u d i n g t r u s t a s s e t s ) ( 5 )

exempt from prior disclosure (A-H) o r i n t . ) . ( J - P ) Code 3 redemption) (J-P) (A-H) (if private( Q - W) t r a n s a c t i o n )

1 8 . - Fidelity Diversif ied Intl Sold 08/10/10 J A(part)1 9 . - Fidelity Diversif ied Intl Sold 09/21/10 J A

20. - F ide l i ty Low P r iced S tock A D i v i d e n d Bu y 01/27/10 J( add l )21 . - F ide l i ty Low P r iced S tock Sold 105/12/10 J A(part)

22 . - F ide l i ty Low P r iced S tock Sold 07/27/10 J A( p a r t )23 . - F ide l i t~ Low P r iced S tock Sold 08/04/10 J A24 . - F ide l i ty Adv isor New Ins igh ts CL A D i v i d e n d J T Sold 01/27/I0 J A(part)25 . - F ide l i ty Adv isor New Ins igh ts CL Sold 06/22/10 J A(part)26 . -Fide lity A dv iso r N ew Ins ig hts CL .So ld 08/04/10 J A(part)27 . -Fidelity Advisor New Insights CL Sold 08/10/10 J A(part)28 . -Fidelity Advisor New Insights CL Sold 09/21/10 J A(part)29 . -Fidelity Advisor New Insights CL Sold ! 10/22/10 J A(part)30 . - Fideli ty Growth Comp. A D i v i d e n d Sold 05/12/10 J A(part)31 . - Fideli ty Growth Comp. Sold 06/22/10 J A(part)32. - Fideli ty Growth Comp. Sold 07/27/10 J A(part)33 . - Fideli ty Growth Comp. Sold 08/04/10 J A34 . - A m B e a c o n L g e C a p V a l P l a n A Div idend Bu y 03/30/10 J( add l )

(S ee Co lu mns BI and 1 )4 ) F =$50~001 - $100,000 G =$100,001 - $1,000,0002. Va lu e Codes J = $15;000 or le ss K = $15,001 - $50,000

(S ee Co lu mns C I and D3) N = $250,001 - $500,000 O = $500,001 - $1,000,000P3 =$25,000,001 - $50,000;0003. V alu e M ethod Codes Q =Appraisal R =Cost (Real Estate Only)

(S ee Co lu mn C2) U =Book Va lu e V =Other

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L -$50,001 - $ 100,000PI =$1,000,001 - $5;000,000P4 =M ore than $50,000,000W = Es t ima ted

D =$5,001 -$15,000H2 =Mo re than $5,000,000M=$100,001 . $250~000P2 =$5,000,001 - $25,000,000T =Cash Mark e t

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 6 o f 22

N a m e o f P e r so n R e p o r t i n gPa e z , R i ch a rd A .

D a t e o f R e p o r t06/30/2011

V I I . I N V E S T M E N T S a n d T R U S T S -i .... e , value, t ......tions (Includes those of sp ...... d dependent ch i ldren; see pp . 34-60 o f f i l ing instructions.)N O N E (No reportable income, assets, or transactions.)

D es cr ip tio n o f A sse ts In co m e d u r in g( inc lud ing t rus t a s se t s ) r epo r t ing pe r iod

(1 ) (2 )Place "(X)" after each asset A m o u n t T y p e ( e . g .,exempt from prior disclosure 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 d Transact ions dur ing repor t ing per iodo f r e p o r t i n g p e r i o d(1) (2) (1 ) (2) (3) (4) (5 )

Value Value T y p e ( e .g . , D a t e Value Gain I d e n t i ty o fC o d e 2 Method b u y , s e l l , m m /d d / y y Code2 I Code 1 " buyer/seller( 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 )

35 .36 .37 .38 .39 .4 0.4 1.4 2.

- A, Beacon Lge Cap Val P lan Sold 05/12/10 J A(part)07/27/10 J AA. Beacon Lge Cap Val P lan " Sold

- W il l iam B la i r In t l Growth CL N- W il l iam B la i r In t l Growth CL N- W illaim Blair Intl Growth CL N- W il l iam B la i r In t l Growth CL N

A Dividend Sold 01/27/10 J A(part)Sold 05/12/10 J A( p a r t )Sold 07/27/10 J A( p a r t )Bu y 08/04/10 J

- W il la im B la i r In t l Growth CL N- W il l iam B la i r In t l Growth CL N

Sold 08/10/10 J A( p a r t )Sold 09/21/10 J A

4 3.4 4 .45 .4 6.4 7.4 8.4 9.50 .51 .

- Causeway In t l Va l . Inves to r

- Causeway Intl Val. Investor- Causeway In t l Va l . Inves to r- Causeway Intl Val. Investor

A Dividend Sold 01/27/10 J A(part)Sold 05/12/10 J A( p a r t )Sold 07/27/10 J A( p a r t )Bu y 08/04/10 J

- Causeway In t l Va l . Inves to r- Causeway In t l Va l . Inves to r

Sold 08/10/10 J A(part)Sold 12/17/10 J A

- E A T O N V A N C E L a r g e C a p V a l A Dividend B u y 08/04/10 J

- E A T O N V A N C E L a r g e C a p V a l C L A . Sol d 08/t0/10 J

- John Hancock US Global Leaders Growth ACL A D i v i d e n d Sold 01/27/10 J(part)

A

A

L i f i C 0 ~ d ~ a i n C o d e S i A =$1;000 or less(See Columns B 1 and D4) F =$50,001 - $100.000

2. Va lu e Codes J = $15,000 or less(S ee Co lu mns C I and D3) N =$ 250,001 - $500.000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppra is a l(S ee Co lu mn C2) U =Book Va lu e

B = $1 ,001- $2,500G =$100,001- $1,000,000K-$15,001 -$50,000O $500,001 -$1,000,000R =Cost(Real Estate Only)V =Other

C =$2,501 - $5,000 D = $5,001 - $15.000 E =$15,001 - $50,000HI =$L000;00t. $5,000~000 H2 =M ore tha~ $5;000i000L = $50,001 - $100,000 M = $100,001 - $250,000w = $ ~ ; 0 0 0 , 0 0 1 - $ 5 i 0 0 0 i0 0 0 ~ 2 = $ 5 0 0 0 0 0 i - $ 2 5 0 0 0 ~ 0 0 0P4 =M ore than $50;000~000S = A s s e s s m e n t T --Cash MarketW = Est ima ted


7/22


N a m e o f P e r s o n R e p o r t in gPa e z , R i ch a rd A .

D a t e o f R e p o r t06/30/2011

V I I . IN V E S T M E N T S a n d T R U S T S - i nc ome, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling 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 Income during( i n c l u d i n g t r u s t a s s e t s ) r e po rt i n g p er i o d o f r e po rt i n g p er i o dI 1 ) ( 2 ) (1) (2) (1) (2) (3)Place "(X)" after each asset A m o u n t T y p e ( e . g ., Value V alue T y p e ( e . g . , D a t e Value:exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d buy; gell; mrrddd!yy Cod~ 2( 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 )( Q - W )

Gross value at end Transactions during reporting period

(4) (5)Gain Identi ty of

Code t ........ buyer/setler(A-H) (if privatet r a n s a c t i o n )

52 . - John Hancock US - Globa l Leade r s Sold 03/30/10Growth CL A (part)53 . - John Hancock US - Globa l Lead e r s Sold 05/12/10Gro wth CL A (part)54 . - John Hancock US - Globa l Leade r s Sold 07/27/10

Gro wth CL A (part)55 . - John Hancock US - Globa l Leade r s So ld 08/04 /1 0Gro wth CL A56 . - Oakmark Fund I A D iv iden d So ld 01/27/10( p a a )57 . - Oakmark Fund I Sold 03/30/10

J

JJ

JJ

J

AAAAAA

58 . - Hartford Cap Appreciation CL A A D iv iden d So ld 01/27/10( p a r t )59. - Hartford Cap Appreciation CL A Sold 03/30/10(part)60 . - H artfo rd Cap Apprecia tion CL A So ld 05/1 2/1 0(part)61 . - Hartford Cap Appreciation CL A Sold 06/22/10i( p a r t )62 . - Hartford Cap Appreciation CL A Sold 07/27/10( p a r t )63 . - Hartford Cap Appreciation CL A Bu y 08/04/10(add l )64 . - Hartford Cap Appreciation CL A Sold 09/21/10(part)65 . - Hartford Cap Appreciation Sold 11/10/1066 . Janus Fund CL T Sha res A D iv iden d So ld 03/30/10(part)67 . Janus Fun d CL T Shares So ld 05/1 2/1 0( p a r t )68 . Janus Fund CL T Sha res Sold 06/22/10(part)

J

J

J

J

J

J

J

J

J

J

J

AAAAA

AAAAA

1. lnconie Gain Codes: A =$1;000 or less "(S ee Co lu mns BI and D4 ) F =$50,001 - $100,000

2. V alue Codes J -$15,000 o r le ss(S ee Co lu mns C I and D3) N =$250,001 - $500,000

P3 -$25,000,001 - $50,000;0003. Value Method Codes Q =Appraisal(S ee Co lu mn C2) U =Book Va lu e

B = S 1 ~ 0 0 1 - $ 2 , 5 00 C =$2,501 - $5,000 D = $5,001 - $15,000 E =$15,001 - $50,000G = $1 00 ,00 1 - S l,O 00 ,O 00 H I = $1 ,0 00 ,0 01 ~ $5 ,0 00 ~0 00 H 2 - - Mb re t h a n ~ 5 ;o0 0 ~ 0 0 0K - -$ ! 5 , o o ~ = $ 5 o ; o o oO=$500,001 - Sl,000,000 PI =Sl,000;001 - $5;000,000 P2 =$5,0001001 : $~i0b0,000

P4 =M ore than $50;000;000R--Cost (Real Estate Only) S =Assessmen t T = C a s h M a r k e tV --Other W = Es t ima ted


8/22

FINANCIAL DISCLOSURE REPORTPage 8 o f 22 Ia m e o f P e r s o n R e p o r t i n gPa e z , R i ch a rd A . Date of Report06/30/2011

V I I. I N V E S T M E N T S and T R U S T S - income, value, t ...... l ions (Includes those of spouse and de pendent chi ldren; see pp. 34-60 of f i l lng ins t ruct ions . )[ ] NONE (No reportable incom e, assets , or t ransact ions. )

69 . Janus Fund CL T Sha res Sold 07/27/10( p a r t )70 . Janus Fund CL T Sha res Bu y 08/04/10(addl)71 . - Janus Fund CL T Sha re s So ld 08/1 0/1 0(part)72 . - Janus Fund CL T Sha re s Sold 09/21/10(part)73 . - Janus Fund CL T Sha re s Sold 10/22/10( p a r t )74 . - Janus Fund CL T Sha re s Sold 12/07/10

JJ

JJJJ

A

A

A

A

A

75 . - Pe rk ins Mid Cap Va lue Inv . (name change A D i v i d e n d Sold 01/27/10 Jwas Janus Perkins) (part)76 . - P e rk ins M id Cap V alue In v . So ld 08/04 /1 0 J

AA

77 . - Legg Mason Pa rm ers Lg Cap Growth A A D i v i d e n d78 . - Legg M ason Pa r tne r s Lg Cap Growth A79 . - Legg M ason Pa r tne r s Lg Cap Growth A80 . - Legg M ason Pa r tne r s Lg Cap Growth A81 . - Legg M ason Pa r tne r s Lg Cap Growth A82 . - Legg M ason Pa r tne r s Lg Cap Growth A83 . - Legg M ason Pa r tne r s Lg Cap Growth A84 . - Legg M ason Pa r tne r s Lg Cap Growth A

85 . A D i v i d e n d

Sold 01/27/10(part)So ld 05/1 2/1 0( p a r t )So ld 06 /22/1 0( p a r t )Sold 07/27/10(part)Buy 08/04/10( add l )Sold 08/10/10( p a r t )Sold 09/21/10(part)Sold 11/10/10

J

JJJJJ

JJ

- Marsico Focus Sold 03/30/10 J( p a r t )

A

A

A

A

AAAA

1 : in c o m e G ~ i a C ~ e s : A:=$1,000 ~r iess ~ B = $ 1 , 0 0 1 - $ 2 , 5 0 0( S ee C o lu m n s B I a n d D 4 ) F = $5 0,0 01 , $ 10 0,0 00 ~ = $ 1 0 0 , 0 0 i ~ $ 1 ; 0 0 0 , 0 0 0

2. V alu e Codes J = $15,000 or less K = $15,001 - $50,000(S ee Co lu mns C I and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25.000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(S ee Co lu mn C2) U =Book Va lu e V = O t h er

C =$2,501 - $5,000 D =$5,001- $15,000 E =$15,001 - $50,000Hi ~$1 000 00 ~ *S 000 000 : H2 ~M bi .e : thah $5 000~000 . . . . . . ..L =S50 001 --$100 000 . . . . . M--$i00 001 ~ $250 000v i s l lo o 0 ; o o i i $ ~ i o 0 o 6 o o P2:Z ~ bb6!OOi~ioO~6ooP4 =M ore than $50 000 000S =Assessmen t T ~ Cash Mark e tw =Estimated ......


9/22

FINANCIAL DISCLOSURE REPORTPage 9 of 22 Ia m e o f P e r s o n R e p o r t in gP a e z , R i c h a r d A . Date of Repor t06/30/2011

V I I . I N V E S T M E N T S and T R U S T S - i ....e , value, t ....act ions (Includes those of spouse an d dependent chi ldren; see pp. 34-60 of f ! l ing ins truct ions . )NONE (No reportable income, assets, or transactions.)

A. B. C ....D.

Description of Assets(including trust assets)

Place "(X)" after each assetexempt from prior disclosure

Income during 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

(1 ) (:2) ..... (1) (:2) (1 )Amount T y p e ( e . g ~ , Value V a l u e T y p e {e .g . ,C o d e 1 d i w . r e n t . C o d e 2 Method .... buy, sell,( A - H ) or inQ O-P) Code 3 redemption)( Q - W )

Transactions during reporting period

(2) . O) (4) (5)Date V al ue Gain Identi ty of

mm/dd/yy. ,Code 2 Code 1 buyer/seller(J-P ) (A-H) (if privatetransaction)

86 .

87 .88 .89 .

90 .91 .

92 .93 .94 .

95 .96 .97 .98 .

99 .100.101.

102.

- Marsico Focus

- Marsico Focus

- Marsico Focus- Marsico Focus- Marisco Focus- Marisco Focus- M ar iseo Focus

Sold 06/22/10(part)Sold 07/27/10( p a r t )Buy 08/04/10( add l )Sold 08/10/10( p a r t )Sold 09/21/10( p a r t )Sold 10/22/10( p a r t )Sold 11/10/10

JJJJJJJ

- Morg an Stanley Inst Inc. Int l Equity B- Morgan Stanley Inst Inc. Intl Equity B- Morg an Stanley Inst Inc. Int l Equity B- Morgan Stanley lnst Inc. Intl Equity B- Morg an Stanley Inst Inc. Int l Equity B

A Dividend Sold 05/12/10( p a r t )Sold 07/27/10( p a r t )Bu y 08/04110( add l )Sold 08/10/10( p a r t )Sold 09/21/10

J

JJJJ

- P i m c o Co m m o d Re a l Re t S t r a t A d m i n C L A D i v i d e n d Sold 06/22/10 J( p a r t )- P i m c o C o m m o d R e a l E s t S t ra t A d m i n C L Sold 08/04/t0 J- Se lec ted Am Shares A D i v i d e n d Sold 01/27/10 J( p a n )- Selected Am Shares Sold 05/12/10(pan)- S e l e c t e d A m S h e r e s Sold 06/22/10 J(part)

AA

AAAAA

.A

AAAAAAA

i i f i ~ 6 ~ G a i f i e ~ d ~ i A = $1,000 0r less B =$11061 , $2;500 :: C ~S2,501 - $5,000 D =$5,001- $15,000( See C ol unms Bl and I ) 4) F =$50,00~ - $~ oo ,ooo ~ = $ 1 6 0 m : $ : i ; 6 0 ~ ; o 0 i ~ $ 5 ; o o o ; o o o : m ~M 6r~ tha r t$5;000;000

2. V a lu e Codes J = $15,000 o r less K = $15,00i ~ $~ 0;000 ~ =s i00,00i ~ $~0;000(See Co lu~s Cl and D3) N =$ 250,001 - $500,000 O =$ 500 00J ~ $ 000 000 PI =$1 ~000~001 = $5;000 000 : P2 =$5;000;001 ~ $25,000,000

P3 =$25,000,001 - $50,000,000 P4 ~ Mor e t han $50 , 000 ; 0003. Value Method Codes Q =App~ isa l R =C0si (Real Estate Only) S =Assessmen t T =Cash Mark e t( S e e C o l u ~ C 2 ) U =Book Va lu e V =Other W = Es t ima ted

E ~$15,001- $50,000


10/22

FINANCIAL DISCLOSURE REPORTPage 10 of 22 Ia m e o f P e r s o n R e p o r t i n gPaez, Richard A. D a t e o f R e p o r t06/30/2011

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; see pp. 34-60 of f!ling instructions.)NONE (No reportable income, assets, or transactions.)

Place "(X)" after each asset A m o un t T y p e ( e . g . , V a l ue V al ue Type

( Q - W )

Date V a l u e - Gain Identity ofCode 1 buyer/seller(A-H) (if privatet r a n s a c t i o n /

103. - Se lec ted Am Shares1 0 4 . - S e l e c te d A m S h a r e s105. - Se lec ted Am Shares1 0 6 . - S e l e c t e d A m S h a r e s1 0 7 . - S e l e c t e d A m S h a r e s

Sold(part)Sold(part)Sold(part)Sold(part)Sold

07/27/1008/04/1008/10/1009/21/1010/22110

JJJJJ

108. - F ide l i ty Cap & Income109. - F ide l i ty Cap & Income110. -F ide l i ty Cap & Income

1 1 1 . - F id e l i ty C a p & In c o m e112. - F ide l i ty Cap & Income113 . - F ide l i ty Shor t Te rm Bo nd114 . - F ide l i ty Short Te rm B ond115 . - F ide l i ty Shor t Te rm Bo nd

A

A

Div idend

Div idend

Sold( p a r t )Sold( p a r t )Sold(part)Sold(part)Sold(part)Bu y(addl)Bu y( add l )Sold

03/30/1006/22/1007/27/1008/10/10

I 1 /10/I003/30/1006/22/1008/04/10

J

J

J

J

JJ

J

J

116. - F ide l i ty Tota l Bond117. - F ide l i ty Tota l Bond118. - F ide l i ty Tota l Bon d119. - F ide l i ty Tota l Bond

Sold(part)Bu y(addl)Bu y(addl)Bu y(addl)

07/27/1008/04/1008/05/1011/10/10

JJJJ

A

A

A

AA

A

A

A

A

A

AA

(S ee Co lu mns B I and D 4 )2. Value Codes

(S ee Co lu mns C I and D3)3. Value Method Codes

(S ee Co lu mn C2)

C =$2,501 - $5,000F =$50;001 ~ St00 000 G ~$100,00! - $1,000,000 HI =$I ,000,00i 255,000,000J = $ 1 5 ~ 0 0 0 O r le S S K =$15,001 - $50,000 L = $50,001 ~ $100,000N =$250;001. $500 000 O =$500~001 - $1;000;000 PI =$1 ,000;00! - $5,0001000P3 =S25 000 001, $50 000,000 P4 =M ore than S50,000,000Q =AppraisaI R =Cost (Real Estate Only) S =AssessmentU =Book Va lu e V =Other W =Es t ima ted

D =$5,001- $15,000H2 =Mo ~ thah$5~0001000M=$100,001- $250,000p2=$5,000,001-$25,000,000T =Cash Mark e t

E =$15,001 -$50,000


11/22


Name of Person Repor t ingPaez, R i c h a r d A .

D a t e o f R e p o r t06/30/2011

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 , vatue, transactions (Includes those of spouse and depend ent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. DDescription of Assets Incom e during Gross va lue at end Transactions during reporting period

(including trust assets) reporting period of repotting period(1) (2) (1) (2) (1) (2) .... (3) (4) (5)

Place "(X)" after each asset A mou nt T ype (e.g.. V al ue V al ue Type (e.g., D a t e V a lu e Gain ..... Identity ofexemptf rompr iordisc losure C o d e l diu.,rent, C o d e2 Method buy, sell , " m r rddd/yy C o d e2 Code ~ buyer/seller(A-H) (J-P) (A~H) (if private

transaction)

1 2 0 . - P im c o H ig h Y ie ld A d m in S h s A D i v i d e n d Sold 06/22/10 J A(part)1 2 1 . - P im c o H ig h Y ie ld A d m in S h s So ld 08/04 /1 0 J A122 . - Pimco Tota l Re tu rn Adm in Shs A D i v i d e n d123 . - Pimco Tota l Re tu rn Adm in Shs .1 2 4 . - P im c o S h o r t T e r m A d m in S h s125. - P imco Shor t Term Admin Shs126 . - T .Rowe Pr ice High Yie ld Advisor CL A D i v i d e n d127. - T Rowe Pr ice High Yie ld Advisor CL128. - T Rowe Pr ice High Yie ld Advisor CLt2 9 . - T R o w e P r i c e H ig h Y ie ld A d v i so r C L130. - T Rowe P r ice High Yie ld Advisor CL131. - T Rowe Pr ice High Yie ld Advisor CL132. - Harbor Int l Admin A D i v i d e n d133. - Harbor In t l Admin1 3 4 . - H a r b o r In t l A d m in135. - Harbor Int l Admin1 3 6 . - H a r b o r l n t l A d m in

T

T

Bu y 08/04/10 J( add l )Bu y 01/01/10 J( add l )Bu y 08/04/10 J(addl)Sold 09/21/10 J A( . p a r t )Sold 01/27/10 J A(P~)Sold 06/22/10 J A( p a r t )So ld 07/27/1 0 J A(part)Bu y 08/04/10 J( add l )Sold 10/22/101 J A(part)Sold 12/07/10 J A(part)Sold 01/27 /10 , J A(part)So ld 05/1 2/1 0 J A(part)Buy 08/04/10 J(addl)Sold 08/10/10 J A(part)Sold 09/21/10 J A

( See C ol umns BI and D 4) F =$50;001 - $100;0002. Value Codes J =$i 5,000 or less

(S ee Co lu mns CI and D3) N =$250,001 - $500,000P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal

(See Co lu m n C2) U = B ook V a lu e

= $ 1 , 0 O l - $ 2 , 5 0 0= $ 1 o o , o o i - $ 1 ; o o o i 0 o o= $ ~ 5 ~ 0 0 1 - $ 5 0 , 0 0 0= $ 5 0 0 ~ 0 0 1 : $ 1 , 0 0 0 , 0 0 0= C o s t ( R e a l E s t a te O n l y )= O t h e r

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L ---$50;001 - $100,000Pl =$ I ;000,001 - $5,000,000P4 --M ore than $50,000,000S =AssessmentW = Es t ima ted

D =$5,001 - $ 15,000 E = $15,001 - $ 50,000H2 =M0re than $5;000~000M =$100;00! : $2501000P2 =$5;000;001 - $25;000,000T =Cash Mark e t


12/22


N a m e o f P e r s o n R e p o r t in gPaez, Richard A.

D a t e o f R e p o r t06/30/2011

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 , transactions ( l n c t u a e s those of spouse and dependent children; seepp. 34-60 of f ! l lng 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(including trust asse t s )Place "(X)" after each asset

exempt from prior disclosure

B. C. DIncome during Gross value at end Transactions duriag reporting period

reporting period of reporting period(i ) (2 ) (1) (2) (1 ) (2) . (3) t (4) (5)

Amount T y p e ( e , g . , Va l u e Value Type (e.g., Date V al ue Ga~ Identity ofCode I div., rent, Code 2 M ethod buy, sell; mm/ddlyy Code 2 Code 1 buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redemption) ( J ~ P ) (A-H) (if private( Q - W ) t r a n s a c t i o n )

1 3 7 . - J P M o r g a n U S L g C a p C o r e1 3 8 . - M a n n in g & N a p ie r W o r ld O p p t S e r.1 3 9 . - M a n n in g & N a p ie r W o r ld O p p t S e r v1 4 0 . - M a n n in g & N a p ie r W o r ld O p p t S e rv1 4 1 . - M a n n in g & N a p ie r W o r ld O p p t S e r v1 4 2 . - M a n n in g & N a p ie r W o r ld O p p t S e rv1 4 3 . - M a n n in g & N a p ie r W o r ld O p p t S e rv

A Div idendA D i v i d e n d

Sold 01/27/10Sold 03/30/10( p a ~ )Sold 05/12/10( p a r t )Sold 07/27/10( p a r t )Bu y 08/04/10(add l )Sold 08/10/10( p a r t )Sold 09/21/10

JJJJJJJ

AAAA

AA

144. - V ic tory Divers i f ied Stk Class A145. - Vic tory D ivers i f ied Stk CL A146 . - Vic tory Divers i f ied Stk CL A147. - Vic tory Divers i f ied Stk CL A

D i v i d e n d Sold 05/22/10(part)Sold 06/22/10(part)Sold 07/27/10(part)Sold 08/04/10

J

J

J

J

A

A

A

A

1 4 8 . F i d e l i ty P A S S m a l l C a p F u n d o f F u n d s

1 4 9 . F i d e l it y P A S S m a l l C a p F u n d o f F u n d s

150. F i d e li t y P A S S m C a p F u n d o f F u n d s -N A M E C H A N G E1 5 1 . t o P A S S m a l l - M i d - C A F u n d

D i v i d e n d Sold 07/27/10( p a r t )Bu y 08/04/I 0( add l )

08/20/10

J

J

J

A

1 52. P A S Sm all-M id CA Fu n d o f F u n d s So ld 12/07/10 J A153. F ide l i ty Int l Discov Div idend Sold 01/27/10 J(part)

L l neome Gai n C odes: A =$1,000 or less(S ee Co lu mns B I and D4 ) F =$50,001 - $100,000

2. Va lu e Codes J = $15,000 or less(S ee Co lu mns C I and D3) N = $250,001 - $500,000

P3 =$25,000,001 - $50,000.0003. Value Method Codes Q = A p p m l s a|(S ec Co lu mn C2) U =Book Va lu e

B=$1,001- $2;500G =$100,001- $1,0001000K =$15,001- $50,000O =$500,00I -$1,000,000R - Cos t (R ea l Es ta te On ly )V =Olher

C =$2,501 ~ $5,000 D =$5,001 - $15,000 E = $15,001 - $50,000H I = $i 00~ 00i - $51000~000 H2 --M0re than $5 000 000L = $ 5 0 0 0 ~ $ 0 0 0 0 0 M =$ 10000 i ~$250 ; 000PI =$1,000;001 = $5 000 000 P 2 = $ 5 ~ 0 0 0 . 0 0 1 ~ $ 2 5 ~ 0 0 0 0 0 0P4 =M ore than $50,000,000S =A~sessmcnt T =Cash Mark e tW = E s t im a t e d


13/22



Date of Report06/30/2011

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 fillng instruction~)~ N O N E (No reportable income, assets, or transactions.)

154. F ide l i ty ln t l Discov155. F ide l i ty Int l Discov156 . F ide l i ty Int l Discov157. F ide l i ty Stra tegic Advisors Val Fd158. F ide l i ty Stra tegic Advisors Val Fd159. Fidelity Strategic Advisors Val Fd -NAMECHANGE16 0 ..... t o S T R A T E G I C A D V I S O R S V A L F D

A Dividend Sold 05/12/10 J A( . p a r t )Sold 07/27/10 J A( p a r t )Sold 08/04/10 J A

A D i v i d e n d K T Bu y 03/30/10 JA D i v i d e n d Bu y 01/14/10 J( add l )

06/25/10 J

161. Stra tegic Advisors Val Fd162. Stra tegic Advisors Val Fd163. Stra tegic Advisors Val Fd164. Stra tegic Advisors Val Fd165 . F ide l i ty PAS Core Inc . Fund166. Fide l i ty PAS Core Inc . Fund -NAM ECHANGE:167. t o S T R A T E G I C A D V I S O R S C O R EINCOME FUND168. Stra tegic Advisors Core Inc . Fd169. John Hancock Class ic Value CL170. John Hancock Class ic Value CL

A D i v i d e n dA D i v i d e n d

Buy 07/27/10( add l )Sold 08/04/10(part)Buy 09/21/10(addl)Buy 1 0/22/10( add l )Sold 08/04/10(part)

08/20/10

Bu y 10/22/10(addl)Bu y 01/27/10(addl)Sold 05/12/10I(part)

J

J

JJJ

J

J

J

A

A

A

1. Income Gain Codes: A =$L000 0r less : B--SIlO01 ; $2 ;500( see C ol umns BI and D 4) F =$50,001 - $100,000 G--$1001001 ~ $ii000;000

2. Value Codes J =$15,000 or less K = $15,001 - $50,000(S ee Co lu mns CI and D3) N =$250,001 - $500,000 O =$500;001 - $1;000;000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate 0nly)(S ee Co lu mn C2) U =Book Va lu e V =Other

C =$2,501 -$5,000 D = $5,001 - $15,000 E =$15,00 t - $50,000H 1 =$1;000;001 ~ $5,000;000 H2 =M 6re than $5 000 000 . . . .- $ 1 o 0 ~ o o 0 ~ ~ $ i o o i o o 1 ~ $ ~ 5 o , o o o=$50,001pI =$i,o00,OoI ~ $5i000 000 P2 =$5,000,001 : $25 000 000P 4 = M ore t h a n $ 5 0 , 0 0 0 ,0 0 0S =AssessmentW = Est ima ted


14/22

FINANCIAL DISCLOSURE REPORTPage 14 o f 22 Ia m e o f P e r s o n R e p o r t i n gPaez, Richard A. Date of Report06/30/2011

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 , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e during Gross va lue at end(including trust assets) reporting period of reporting period

(l ) (2 ) (1) (2) (1 ) : ( 2 ) ~Place "(X)" after each asset Amount Type (e.g., Value V al ue Type (e.g., Date . Valueexempt from prior disclosure Code 1 d i v . , r e n t , C ode 2 Method buy, sell; mm /dd /~ : C 0d~(A-H) o r i n t . ) ( J - P ) Code 3 redemption) (J-P)

( Q - W )

Transac t ions dur ing r epo r t ing pe r iod

O~: Ident i~ ofCode 1 : buyer/seller(A-H) (ifprivate

transaction)

171. John Hancock Class ic Value CL172. John Hancock Class ic Va l . CL173. John Hancock Class ic Va l . CL174. John Hancock Class ic VaL CL175 . Royce Penn Mut Fd176. Royce Penn Mu t Fd177.

178.

179.180.

181.182 . F rank l in Gold and Prec ious M e ta ls183 . F rank l in Gold and Prec ious M e ta ls184 . F rank l in Gold and Prec ious Me ta ls

Sold 08/04/10(pan)Sold 09/21/10( p a r t )Sold 10/22/10( p a r t )Sold 11/10/10 I

J

JJJ

AAAA

A D i v i d e n d Sold 05/12/10 J( p a r t )Sold 08/04/10 J

AA

Fide l ity PAS Core Income Fund of FundsFidelity PAS Core Inc. FundFidelity PAS Core Inc. Fund NAMECHANGE:. . .STRATEGIC ADVISORS COREINCOME FUNDStra teg ic Adv isor s Core Income Fu nd

A Dividend

A Dividend

T Bu y 01/27/10(add l )Sold 08/04/10( p a r t )

08/20/10

Bu y(addl)Sold( p a r t )Bu y( add l )Sold

1 0 1 2 2 1 1 0

05/12/1006/22/1008/04/10

JJ

JJJJ

A

A

A

185 . Temple ton Globa l Bond Cla ss A A D i v i d e n d186. F ide l ity Money Marke t A D i v i d e n d187 . F ide l ity Money Marke t

TSold( p a r t )Bu y( add l )

02/17/1003/30/10

JJ

A

1. lne0me Gain C0de~ A =$1100~ or !eSS .. . . B =St,001 - $2,500(S ee Co lu mns BI and D4 ) F =$50,001 = $100,000 G =$i001001 - $1,0001000

2. Value Codes J =$15,000 Or less K =$15~001 , $50,000( Se e C ol um n s C t a nd D 3) N =$ 25 0.0 01 - $ 500 ,00 0 O=$500,001-$1,000,000

P3 =$25;000;00i - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(S ee Co lu nm C2) U =Book Va lu e V = O t h er

C =$2,501 - $5,000 D =$5,001-$15,000 E =$15,001- $50,000Hi=$ H2 =Mbre than $5~000~000L =$50 001 ~$100 000 M =SL Y 0 00i ~ $~50 000P 1 - -$i i 000100i $5 i 0~6i ~ P2 ~$~i0~i00i $~I000;000 ....P4 =More than $501000;000 : .......S =AsSessment T ~c ash Mar ketw --Estimated :


15/22




V I I . I N V E S T M E N T S a n d T R U S T S - i.come, vutne, t .... act ions (Includes those of sp ...... d dependent children; see pp. 34-60 of filing instructions.)~ NONE income, or transactions.)N o reportable assets,

188. F ide l ity Money Marke t189 . F ide l ity Money Marke t190 . F ide li ty Money M arke t191 . F ide l ity Money Marke t192 . F ide l ity Mon ey Marke t193. F ide l i ty Emerging Marke ts194. F ide l i ty PAS Int l Fund of Funds195. F ide l i ty PAS Int l Fund of Fund s196 . F ide l i ty PAS Int l Fund of Fun ds197. F ide l i ty PAS Int l Fund of Fun ds198. F ide l i ty PAS Int l Fund of Fun ds199. F ide l i ty PAS Int l Fund of Fund s200. F ide l ity PAS Int l Fund o f Funds201. Fidelity PAS Intl Fund of Funds - NAMECHANGE202 .... to STRATEGIC ADVISORS INTLFUND203. Stra tegic Advisors ln t l Fund204. Stra tegic Advisors ln t l Fund

A DividendA Dividend

Sold 05/25/10(part)Sold 08/31/10( p a r t )Buy 09/21/10

(addl)Sold 10/22/10( p a r t )Sold 12/07/10

Sold 08/04/10

Bu y 01/27/10Bu y 03/30/10(addl)Bu y 05/12/10( a d d l )Bu y 07/27/10(addl)Buy 07/28/10(addl)Sold 08/04/10( p a r t )Bu y 08/10/10(addl)Buy 08/11/I 0( add l )

08/20/10Bu y 09/21/10(addl)Buy 09/22/10(addl)

J

J

JJJ

JJJJJ

J

JJJ

J

J

AA

A

A

A

A

1. Income Gain Codes: A =$1.000 or tess(S ee Co l tmms B 1 and I M) F =$50,001 - $100,000

2. Va lu e Codes J = $15.000 or less(S ee Co lu mns C I and D3) N =$ 250.001 - $500.000

P3 =$25.000,001 - $50.000.0003. Value Method Codes Q =A ppra is a l(S ee Co lu mn C2) U =Book Va lu e

B = $1.001 - $2,500 C = $2.501 - $5,000 D = $5.001 - $15,000G = $1 00. 001 - $1 .00 0.000 H I =$ 1.000 ,001 - $5,0 00,000 H2 =Mo re than $5.000.000K =$15.D01 -$50,000 L =$ 50,001 - $100.000 M =$100,001 -$250,000O =$ 500.00t - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$ 5.000,001 - $25,000,000P4 =M ore than $50.000.000R =Cost (Real Estate Only) S =Assessmen t T =Cash Mark e tV =Other W =Es t ima ted

E =$15.001- $50.000


16/22



D a t e o f R e p o r t06/30/2011

V I I . IN V E S T M E N T S a n d T R U S T S - i .... e, 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.Deseription of A~sets Incom e during Gross va lue at end Transactions during reporting period

(including trust assets) reporting period oreporting period(D (2 ) (~) (2) (t) 2) (3) (4) (5)

Place "(X)" aider each asse! .......... Amgu0L Type (e.g., V alue V alue Type (e.g., D a t e Va l u e Gain Identi ty ofexempt from prior disclosure Code l div., rent, Code 2 Method buy, sel l . mm/dd/yy Code 2 Code I buyer /sel ler(A-H) o r in t . ) ( J - P ) Code 3 redemption) (J-P) (A-H) (!fprivate

( Q - W) t ransacnon)

205. Stra tegic Advisors Int l Fund206 . Stra tegic Adviso rs Int l Fund207. Stra tegic Adviso rs Int l Fund208. Stra tegic Adviso rs Int l Fund209 . F ide l i ty PAS US Opp Fun d of Funds

Sold 10/22/I 0(part)Sold 11/10/10(part)Bu y 12/17/10

( add l )Buy 1 2/22/10( add l )T Buy 03/30/10

J

J

J

J

J

AA

210 . F ide li ty PAS US Opp Fund of Funds211 . F ide l ity PAS US Opp Fund o f Funds212 . F ide li ty PAS US Opp Fund of Funds213 . F ide li ty PAS US Opp Fund of Funds214 . F ide l ity PAS US Opp Fund o f Funds215. Fide li ty PAS US Opp Fund of Funds -NAME CHANGE216 .... t o S T R A T E G I C A D V I S O R SOPPORTUNITIES FUND217 . S t r a teg ic Adv isor s Op por tun t ie s Fd218. F ide l i ty Stra tegic Advisors Core Fd K

Bu y 03/31/10(add l )Buy 05/12/10( add l )Bu y 05/2:2/10( add l )Buy 07/27/10( add l )So ld 08/04 /1 0( p a d )Bu y 08/10/10(add l )

08/20/10Bu y 09/21/10(add l )

T Bu y 01/27/10

JJJJJJ

JJ

A

219. F ide l i ty Stra tegic Advisors Core Fd220. F ide l i ty Stra tegic Advisors Core F d221. F ide l i ty Stra tegic Advisors Core Fd

Bu y 01/28/10(addl)Bu y 03/30/10(add l )Bu y 06/22/10(add l )

JJJ

(See Columns B 1 and D4) F =$50,001 - $ !00,000 G =$1 00,001 - $1,000,0002. Value Codes J = $15,000 o r less K = $15,001 -$50,000

( See C ol umns C I and D 3) N =$250,001 -$500,000 : O = $500,001 - $t,000,000P3 =$25;000~00! - $50,000;0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)

(See Co lu m n C2) U = B ook V a lu e V =Other

C =$2,501 - $5,000 D = $5,001 - $15,000HI =$1,000,~0i - $5,0001000 H2 =M ore than $5,000,000L =$50,001 - $1 00,000 M =$100,001 - $250~000P t =$ 1,000,00 i - $5,000;000 P2 =$5;000,001 - $25,000,000P4 =M ore than $50~000,000S =Assessment T =Cash Mark e tW = Es t ima ted

E =$15,001 o $ 50,000


17/22



D a t e o f R e p o r t06/30/2011

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 sp ...... d dependent ch ildren; see pp. 34-60 of filing instructions.)NONE (790 reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during Gross value at end Transactions during reporting period(including trust assets) reporting period of reporting period

(1) (2) (1) (2) (1 ) (2) (3) (4)Place "(X)" after each asset Amount Type (e.g., Va l u e V al ue Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, se l l , m m / d d /y y C ~ d ~ Code 1 buyer/seller(A-H) o r i n t . ) (J-p) Code 3 redemption) ( ~ = e ) [ (A-H) (ifprivate( Q - W ) t r a n s a c t i o n )

222. F ide l i ty Stra tegic Advisors Core Fd Bu y 07/27/10 J(addl)223. F id e lity Stra teg ic A d v iso rs Co re F d So ld 08/04/10 J A( p a r t )224. F ide l i ty Stra tegic Advisors Core F d Bu y 08/10/10 J

(addl)225. Fidelity Strategic Advisors Core Fd Buy 09/21/I0 J

(addl)226. Fidelity Strategic Advisors Core Fd Buy 10/22/10 J

(addl)227. F i d e l i t y S t r a t e g i c Advisors Core Fd Bu y 11/10/10 J(addl)228. Strategic Advisors Growth Fund B Dividend K T Bu y 06/22/10 J

229. Strategic Advisors Growth Fund Bu y 07/27/10 J(addl)230. Strategic Advisors Growth Fund Bu y 08/10/10 J(addl)231. Strategic Advisors Growth Fund Sold 08/04/10 J A(part)232, S t ra t eg ic Advisors Growth Fund Bu y 10/22/10 J(addl)233. S t ra t eg ic Advisors Growth Fund Bu y l 1/10/10 J(addl)234. Stra tegic Advisors Grow th Fund Bu y 11/12/ I0 J(addl)235. Stra tegic Advisors Grow th Fund Buy 1 2/07/10 J(addl)236 . Stra tegic Advisors Grow th Fund Buy 1 2/08/10 J(addl)237. Stra tegic Advisors Grow th Fund Sold 12/17/10 J A(part)2 3 8 . S t r at e g ic A d v i so r s E m e r g in g M a r k e t s A D i v i d e n d J T Bu y I0/22/10 J

(See Columns B 1 and I)4) F =$50,001 - $100,000 G =$100,001 - $1,000,0002. Va lu e Codes J = $15,000 or less K = $15i001 - $50,000

(S ee Co lu mns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000P3 =$25,000,00I - $50,000,0003. Value Method Codes Q =A ppra is a l R =Cost (Real Estate Only)

(See Co lu m n C2) U = B ook V alue V -Ot her

C =$2,501 - $5,000 D = $ 5 , 0 0 1 - $ 1 5 , 0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0H1 =$1,000,001 -$5,000,000 H2 --More th~h ~5i000~000 :L =$50,001- $100,000 M =$100 00!-$250;000P I =$1,000.001 - $5~000;000 P2 =$5,000i001-$35;000,000P4 =M ore than $50,000,000S =Assessmen t T =Cash Mark e tw =Es t ima ted


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D a t e o f R e p o r t06/30/2011

V II. INVESTMENTS and TRUSTS - i .... e , value, t ......ions (Includes those of spouse and d ependent children; see pp. 34-60 of filing instructions.)~] N O N E (No reportable income, assets, or transactions.)

239. Stra tegic Advisors Emerging Marke ts Bu y 10/25/10(addl)

2 4 0 . S t i at e g ic A d v i so r s E m e r g in g M a r k e t s Buy I 1/10/10(addl)241. Fidelity Dividend Growth A Dividend Buy 05/12/10

242. Fidelity Dividend Growth Sold 06/22/10( p a r t )243. Fidelity Dividend Growth Sold 07/27/10( p a r t )244. F ide l i ty Div idend Growth Bu y 08/04/10

(addl)245. Fidelity Dividend Growth Sold 09/21/10

246. Fidelity Select Gold A Dividend J T Buy 08/04/10

247. Fidelity Select Gold Sold 09/21/10(part)

248. Fidelity High Income A Dividend J T Buy 08/04/10

249. Fidelity High Income Sold 08/10/10( p a r t )250. Fidelity High Incom e Sold 09/21/10( p a r t )251. Fidelity High Income Sold 10/22/10( p a r t )252. Fidelity High Income Sold 12/07/10(p~ )253. FIMM MMkt Port Inst CL A Dividend J T Buy 10/22/10

254. FIMM MMkt Port Inst CL Buy 12/07/10(addl)

255. FIMM MMkt Port Inst CL Sold 12/28/10(part)

J

JJ

JJ

JJ

JJ

JJJJJJJJ

AA

A

A

A

A

A

A

A

I . Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500( See C ol umns BI and D 4) F =$50.001 - $100,000 G =$1 00.001 - $1 ,000,000

2. Value Codes ~ =$1 5.000 or less K = $15.001 - $50.000(S ee Co lu mns C t and D3) N =$250.001 - $500.000 O =$500.001 - $1.000.000

P3 =$25.000.001 - $50.000.0003. Value Method Codes Q =Appraisal R -Cost (Real Estate Only)I S ee Co lu mn C2) U =Book Va lu e V =Other

C =$2,501 - $5,000 D = $5,001 - $15,000 E =$15,001 - $50.000H 1 = $ 1. 00 0. 00 1 - $5 ,0 00 ,0 00 H 2 = M o re th an $5 ,0 00 ,0 00L = $ 5 0 . 0 0 1 - $100,000 M =$100.001 - $250,000P 1 =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25.000.000P4 =M ore than $50.000.000S =Assessment T =Cash Mark e tW = Es t ima ted


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N a m e o f P e r s o n R e p o r t in gPaez, R i c h a r d A .

D a t e o f R e p o r t06/30/2011

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 , . e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)~ NONE(No reportable income, assets, or transactions.)

256. Aston Montag & CAL Dw el l Growth CL N A D i v i d e n d Bu y 08/04/10 J257 . Aston Montag & CAL Dw el l Growth CL N Sold 08/10/10 J A(part)258. A sto n M o ntag & CA L D w ell G ro w th CL N So ld 09/21/1 0 J A( p a r t )259. A sto n M o ntag & CA L D w ell G ro w th CL N So ld 10/22/10 J A( p a r t )260. Aston Montag & CAL Dw el l Growth CL N Sold 11/10/10 J A(part)261. Aston Montag & CAL D wel l Growth CL N Sold 12/07/10 J A262. Credi t Suisse Comm d Return Str tgy A D i v i d e n d J T Bu y 08/04/10 J263. Har t fo rd Growth Opp CL A A D i v i d e n d Bu y 08/04/10 J264 . Har t fo rd Growth Opp CL A Sold 08/10/I 0 J A(part)265. Har t fo rd Growth Opp CL A Sold 09/21/10 J A2 6 6 . L a z a rd E m e r g in g M k t s O p e n C la s s A D i v i d e n d Bu y 08/04/10 J2 6 7 . L a z a rd E m e r g in g M k t s O p e n C la s s Sold 10/22/10 J A( p a r t )2 6 8 . L a z a rd E m e r g in g M k t s O p e n C la s s Sold 11/10/10 J A2 6 9 . M e r g e r F u n d A D i v i d e n d J T Bu y 09/21/10 J270. Me tropol i tan Wes t Low Du ra t ion A D i v i d e n d J T Bu y 08/04/10 J271. CRM M id Cap Va l Inves to r Shrs A D i v i d e n d Bu y 08/04/10 J272. C R M M id Cap V a l In v es to r Shrs So ld 09/21/10 J A(part)

1. Income Gain Codes: A =$1.000 or less B =$1.001 - $2.500 C =$2.501 - $5.000 D = $5.001 - $15,000(See Columns B 1 and I)4) F =$50,001 - $100,000 G =$100,001 - $ 1,000,000 H 1 = $ 1. 00 0. 00 1 - $5 ,0 00 ,0 00 H 2 = M o re th an $5 ,0 00 ,0 002. Value Codes .~ =$15.000 or less K =$1 5,001 - $50,000 L = $50.001 - $100,O00 M =$100.001- $250,000(See Columns C I and D3] N = $250.001 - $500,000 O =$500.001 - $1 ,000.000 PI ~$t.000.001 - $5,000,000 P2 =$5,000,001 ~ $25,000,000p3 =$25,000,001 . $50,000,000 P4 More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessmen t T =Cash Mark e t(S ee Co lu mn C2) U =Book Va lu e V =Other W = Es t ima ted

E =$15,001 - $50,000


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Name of Person R epor t ingPa e z , R i ch a rd A .

Date of Repor t06/30/2011

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 , value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)~ NONE (N o reportable income, assets, or transactions.)

273. CRM M id Cap Va l Inves to r Shrs274 . CRM M id Cap Va l Inves to r Shrs

Sold 10/22/10 J A(part)Sold 11/10 /I0 J A

275. T .Rowe Pr ice Equi ty Income Advisor CL A D i v i d e n d Bu y 08/04/10 J276 . T .Rowe Pr ice Equi ty Income Advisor CL277. T .Rowe Pr ice Equi ty Income Advisor CL278. T .Rowe Pr ice Equ i ty Income A dvisor CL279 . PAS Income Oppor t Fund of Funds A D i v i d e n d K T

Sold 09/21/10 J A( p a r t )Sold 10/22/10 J A( p a r t )Sold 11/10/10 J ABu y 06/22/10 J

2 8 0 . P A S I n co m e O p p o r t F u n d o f F u n d s2 8 1 . P A S I n c o m e O p p o r t F u n d o f F u n d s

282 . PAS Income Oppor t Fund of Funds283. P A S I n c o m e O p p o r t F u n d o f F u n d s - NAMECHANGE284 .... to STRATEGIC ADVISORS INCOMEOPPORTUNITIES FUND285. S t ra teg ic Adv isor s Income Oppo r tun i t ie s Bu yFund (add l )286.

Bu y 07/27/10 J( add l )Sold 08/04/10 J( p a r t )Bu y 08/10/l 0 J( add l )

08/20/1010/22/10

A

287.

I l~e~ Gain Codesi A ~$1~000 6~ iesS B = $1 ,001- $2;500 C = $2i501- $5,000 D = $5,001 - SlS,000 E =$15,001- $50,000....... ...................... ..... .... G ~$100 001 ~ $1 000 000 fii~$i ~0 b01 ~ $5 H2 =More lhan$5~000,000 ................( See C ol umns BI and D 4) F =$50,001 : $100,000

2. ValueCodes J =$15,000 0r less K=$15;001 z$50,000 L=$501001 55 ~0i000( See C ol umns C 1 and 03) N =S250,001 - $500,000 O = $500, 001 ~ S 1, 000; 000 P i:L $] !O 00 !00 J : *S; 000~ 00 0 $25;000,000

P3 =$25;000,001 - $50,000,000 P4 ~ M0r6 ih~n $50,000i0003. Value Method Codes Q =Appraisal R =Cast (Real Estate Only) S = A s s E S S m e n t T =Cash Mark e t(S ee Co lu mn C2) U =Book Va lu e V =Other W --E s t im a te d


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FINANCIAL DISCLOSURE REPO RTPage 21 of 2 2

Name of Person Repor t ingP a e z , R i c h a r d A .


VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (]ndlcatepart of report.)Part VII. Investments and Trusts (contd)~ makes a monthly contribution to her Cedars Sinai Medical Center 403(b) Plan.* Fidelity Portfolio Advisory Services manages~ IRA.


22/22


Name of Person Report ingPaez , Richard A.


IX . CERTIFICATION.I c e r t if y t h a t a l l i n f o rm 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 i n 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 ld r e n , i f a n y ) i saccurate , t rue , and complete to the bes t o f my knowledge and bel i ef , and that any in format ion no t repor ted was wi thheld because i t met app l icab le s t a tu to ryprov i s ions permi t t ing non-d i sc losu re .I f u r t he r c e r t if y t h a t e a r n 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 ta n c e o f g i 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 ncompl iance w i th the p rov i s ions o f 5 U.S .C. app . 501 e t . seq . , 5 U.S .C. 7353, and Jud ic ia l Conference regu la t ions .

Signature: S] Richard A. Paez

N O T E : AN Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I FI E S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E CT T O C I V I LAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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Richard A Paez Financial Disclosure Report for 2010