Richard D Cudahy Financial Disclosure Report for 2009

8/3/2019 Richard D Cudahy Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/richard-d-cudahy-financial-disclosure-report-for-2009 1/17

Ao l0 FINANCIAL DISCLOSURE REPORTin Gover nment A c t o f 1978

1 / 2 o l o F O R C A L E N D A R Y E A R 2009 ( ~ U . X C . a p p . § § 1 0 1 -1 1 1 )

1 , P e r s o n R e p o r t i n g { l a s t n a m e . f ir s t , m i d d l e i n i t i a l ) Z. Court or Oeguniz~t lon 3. Date of Report

C udahy, R ichard D. Cour t o f A ppca l s / 7 th C i r cu i t 05/15/2010

4 . T it l e ( A r t i c le I I l j u dg es i n di c ate a c tiv e o r s e n io r s l a t u s; 5 a. R ap er { T y p e ( c he c k a p pr o pr ia te ty pe ) 6. Report ing Perladm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a c b t l m e )

i ~ ] N o m i n a t i o n ,D a ~ : 01/01/2009

S e n i o r C i r c u i t J u d g e; u _ _ ~ ! [ - - ’ l I n i t ia l [] Annual

[] Fhal to

12/31/2009

5 b . [] A m e n d e d R e p o r t

7 . C h a m b c r ~ o r Off ice Address 8 . On the bas is of the information contained in th i~ Rep ort and anym o d i f i c a t i o n s p e r t ~ i n i n g t h e r e { e , i t ix , in m y o p i n io n , i a c o m p l ia n c e

Ch amb er s 26 48 with applh:able laws and regula t ions .

219 S ou~ l Deax b c~ n S t r e e tClf icago, IL f i0604

Reviewing Of f ice r D a t e

I M P O R T A N T N O T E S : T h e imtrucdons accompanying this form must be follow’at Complete all parts,

check in g ~he N O ~N ~. bo x fo r each par t w here yo ~ hal~ go repo r table in fo rmat io n . S ign o n las t page .

I . P O S I T I O N S . < + e m . ~ ,~ i ,. ~ i . + . ~ + o t o . 0 " ; , e . ~ , ~ , . ~ - ~ o [ ~ ’ ~ , ,~ i + s + , c a o . + +

D N O N E ( N o reportable positions.)

POSITION N A M E O F O R G A N I Z A T IO N / E N T I TY

I. Ch a i r man o f t h e Boa r d o f Di r ec t o r s P a t r i ck a n d A n n a M . C u d a h y F u n d

2. Cha i r ma n Gender Bias Cormnit~eei3’th Circui t Court of Appeals

3. Member and F e l low Amer i can Ba r Assoc i a t i on

4. Men~x:r. Cotmcil Group American Bar Association Section on Public Utilities,Transportation ~7J

5. Me m be r The L a w ye ~ C lu b o f C hica g o F- -

& Me mbe r F e de r a l J udge A s s oc i a t i on

7. Trustee Em~."r i tus and Member of Investment Cor f ll~ il le¢ Cathol ic Theological Union. Chicago, I l l inois

8. Member A m e r i c a n L e g i o n

9. C o - T r u s t e e

1 0 . Member U n i o n L e a g u e C l u b o f C h i ca g o

1 1 . Member AdvisoDo Conuni t tee to the Center for Internat ional Human Rights a tNor thwes t e rn Un ive rs i ty

1 2 . Member Fmmdation Advista-y Board of the Inlemat ional Avia t ion Law Insdmte a tDePau l Un ive rs i ty

1 3 . Member Vi.gi t ing Commit tee of the Universi ty of Chicago Divini ty School

1 4 . Hon ora~ , J ad ic i a l Member IPLA C - In t e l l e ctu ~ t l P r op e r ty La g , A ssoc ia t ion o f C hica g o

1 5 . Member Jud i c i a l Ad v i so r y Boa r d o f t h e Am~ r l e an S oc i e t y o f l mer na t i ona l L aw



N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p n r t

P a g e F I N A N C I A L 2 o f 1 7 D I S C L O S U R E R E P O R T C u d a h y , m c h a rd I ~ . 0 5 / ~ 5 , ’ 2 0 X 0

II . A G R E E M E N T S . < + + + r ~ . + individual oaI)’i ,¢epp. 14-16 of f![ing inxtra~ion~)

N O N E ~ o r~ortable agreements.)

PARTIES A~ TER~$

I.



FINANCIAL DISCLOSURE REPORT ~..,e o f P e r t o n Reporthtg Date efReport

Page 3 of 17 C u d a h y , R i c h a r d D . 05/15:2010

III. NON-INV ESTMENT INCOME. ~Wvo~.,i.ai,,ia.~t..as~,o..;

A. Filer’s Non-Investment Income

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

SO~CE A~ T~E( y o u ~ , n ~ s ~ ’ s )

I. 2~9 ~dendM Retirem~t (fo~rly P~ck ~y P~sion Plan B) $ 1 , 45 1 .~

2 . 2 ~ X ) 9 W ~ t S e ~ , i c e s , ~ k r o y a l t ie s $ l .! 39.22

3.

4.

B . S p o u s e ’ s N o n - I n v es t m e n t I n c o m e - If you were married during an.v portion of the reporang 3,~ar,

complete this section.

~ o l l ar am o u n t n o t r e q u t r ~ ~ c e ~ t f o r ho n o r ar ia . }

~ N O ~ ~ % reportable non-inv~tment income.)

~ SO~CE A~ ~E

I. 2~9 ~1~ as M~cal D~tor ft~ Advo~te No~ide H~lth Sys~

2.

3.

4.

IV. REIMBURSEMENTS -( Inc ludes those to .~po us# and d~endent childr~; xee

~ N O N E (N o reportable reimb~wsemen~.)

~ ~ LOCATION ~ ITE MS PA ID OR PRO~ D g~

1 . ~e Amefc~ S~ie~ of M a~h 1 9 ,2 0 0 9 W~, ~ ~1 Me~ing of Jt~ciM M r fa~ , l o d g i n g , m ~l~t~ati~M Law Adxqs o ~

2. P ~ s ) ,R ~ i a S t a t e U n i v e ~ i t y Nov~r 20, 2~9 Sta te Co i led , PA J~g~ M~t Co~ air f~, lod6ag ~d m~ls

3.

4.

5.



FINANCIAL DISCLOSURE REPORT Name of Per,on Reporting D a l e o f R e p o r t

P a g e 4 o f 1 7 C u d a h ) ; R i c h a r d D . 05/15,’2010

N O N E ( N o reportable g irl s .)

I.

2.

3.

4.

5.

VI. LIABILITIES. a,a,d,,

[] N O N E ( N o repo rtable l iabi l i t ies .)

I.

2.

3.

4.



FINANCIAL DISCLOSURE REPORT : Name o[Per toa Repor t ing D a t e o f R e p o r t

P a g e 5 o f 1 7 C u , h h y , m c h ~ r O V . O S / ~ S J 2 0 1 1 )

NONE ~o r e p o r t a b l e i n c o m e , a s s e t s, o r t r a m ’ a c t io n s . )

A. . n. c . I D .~ptioa of Asse~ I n c o m e d u r i n g G ro s s v a lu e a t e n d T r ~ cf i o m d or ~ g ~ p o ~ n g p e d o d

(i~l~g ~ ~) re~ ~fi~ of re~g

P l a ~ " ~ " a f i ~ e a c h a i s ~ ~m ] T~e (~.g . . V alu~ V a lu e T~ e (e .g . , D a ~ V a lu e G~ I d m t i t y 0 f

C ~ ¢ I ] d iv . . ~ t . Me~ h e y , s e l l . ~id~’)~ C ~ e 2 C ~ e 1 b ~ ’ ~ s e l l e r( A - ~ ~ ~ t . ) ( J - P ) C~ 3 r~empfion) ( J - P ) ( A - I f ) ( i f p r i v a ~

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

1. ~ ~ ~ ]

2. -Cash Nor thern Trust Cl f icago A In te res t J T

3. -Cash Marshal l&lls ley Milw A In te res t J T

4. S ch wab Go , ,a Mone y Fmi d A In te res t PI T

5. -U S T r eas No t e C In te res t M T

6. - U S T r e a s S e e S t r i p p e d M T Col . B (2)-Market

disct accre t ion

I 7 . T ul sa Coun t y OK I nd p S ch Di s D In te res t M T

Sant a C l a r a C A Uni Sch Di s t D In te res t M T

9. - M a i n e S t G O B N D S C In te res t M T

1 0 . - N J GO B N D S C In te res t M T

l 1 . -MA S t GO BNDS C In t e r e s t M T B u y 1 0 / ’ 0 9 / 0 9 M

1 2 . -Los Angel¢~ CA Uni ScM Dist C In teres t M T Bu y 1 0 / 2 1 / ’ 0 9 M

1 3 . - T N S t GO B N D S C In te res t M T B u y 10/14/09 M

1 4 . -Por t Seat t l e WA D In te res t M T

1 5 . -Salt Lake Cmy LIT C In te res t M T

1 6 . -McKiimey "IX Ser B D In te res t So ld 08/15/09 L

1 7 . -Jordan UT School C Interest M T



iN a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r t

Page FINANCIAL6 of ] 7 DISCLOSURE REPORT I Cudahy, Richard D. 0 5 / 1 5 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ineo,~e , ,.oleo, ~ .... ,~o,s (Includes thos e of spo ..... d d ependent children: see pp. 34-60 of filing instructions.)

N O N E (No re, portable 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 I n c o m e d u r in g G r o s s v a l u e a t c o 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

( 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 f r e p e r f in g p e r i o d

(l) (2) 0) C2) (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 nt T y p e ( e .g .. V a l u e V a l u e T y p e ( e .g . , D a te 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 l o s u re C o d e 1 d i v . , r ~ n t . C o d e 2 M eth o d b u y , s e l l , m m , ’ d d / y y C o d e 2 C o d e 1 b u y e r / s e l l e r

( A - H ) o r i n t . ) ( J - P ) C od e 3 r e d e m pt io n ) ( J - P ) (A - H ) ( if p r iv a te

( Q - W ) t r a n s a c t io n )

!8 . -Mississippi ST C Interest M T

1 9 . -Arlington TX ISD C In teres t M T

2 0 . -Gulf Coast Waste TX C Interest M T

,2 1. -N ew Y or kN Y GO BD S C Interest M T

2 2 . -Mar icopa Cn ty AZ Dis t No- re fBd C Interest M T Bu y 10/09/09 M

2 3 . - N e w Y o r k S T C In te res t M T

2 4 . -Nicholas Fund A Dividend L T Sold 03/03/09 L A( p a r t )

25 . -Vang uard GoldPrecMeta ls A Dividend Sold 03/12 /09 L "

26 . -Nexvcrest Mining A Dividend S O l d 08/18/09 K

2 7 . -LIHIR Gold Ltd. A Dividend K T Bu y 12/01/09 K

28 . -First Eagle Gold B N o ne B uy 12/16/09 J Reinv(add’l)

2 9 . Sold 08/18/09 J

30 . -Agnico Eagle Mines A No n e L T B uy 03 /12 /09! K "(add’l)

31 . - K A r a ’ o s s G o l d A None L T Bu y 03/12/09 K "(add’l)

32 . So ld 08 /18 /09 K( p a r t )

33 . -Barrick Gold Corp. A Non e Sold 08/18/09 K

34 . -Frankl in Gold D N o ne M T Bu y 1 2 / 1 3 Re in v .(add’l)

(See CoI~ ~) U *B~k V~ue V ~ff W =Esl~at~



FINANCIAL DISCLOSURE REPORT

] C u d a h y , R i c h a r d D .

05/15/2010age 7 of 17

N O N E ( No r e p o r t a b l e i n c o m e , a s se t s , o r t r a n s a c t i o n s . )

A. B, C. D.D e ~ c r l p ti o n o f A ~ s e t s I n c o m e d u r i n g Gross value at cad Transac tions during ~epo~g p ~riod

( i n c lu d h a g m a s t a s s e t s ) r e p o r t i n g p e r io d of repos ing per iod

{l) (2) (1) t2) (1 ) (2) (3) (4) (~ )

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~ e (e .g .. V a lu e V alue T y p e ( e . g .. D a t e V a lu e G ~ in I d e n t i t y o f

exempt from pri~ di~los~re C o d e 1 d i v . , r ~ n t . C o d e 2 M e th o d buy, sell. m m / d d / y y C o d e 2 C o d e 1 b o y e r i s e l i e r

( A - H ) o r i n t . } ( J - P ) C o d e 3 r e d e m pt i o n ) ( J ’ - P ) ( A - H ) ( f f l ~ i v a t e

(Q-w) t r a m a c f i o n )

3 5 . -[SP D R] St re e tt ra cks Go ld Tr N on e M T B u y 03 /12 i09 K(add’l)

3 6 . B u y 05/21/09 J

(add’l)

3 7 . Sold 08/18/09 K

38 . -Ge mvor th L i f e In s . C o . D Distributioo M T

3 9 . - U S B a n k I R A C ~ h A In te res t K T

40 . -Nuveen T ax E xU ni t T n~ . g t s (3 ) Q ,Ve l l s Fa r go) ; A D i v i d e n d J T

41 . -AGE B,xnk:Dep Program (Wel ls Fargo) A In te res t J T

4 2 . - H I S t S e t B Q P e g C I v l P ( W e l ls F ~ g o ) B In te res t Redeemed 12/09/09 K E

43 . -Har r i sBnkWinne tka Cash/CashEq A In teres t J T

4 4 . -H a m s B n k W i n n e t k a C / D C In teres t M T

45 . -Har r i sBakWiraka Prem Savers A In teres t K T

46 . -Ma t sh Vl ls l y Bnk Mi lw C!D ( I RA) B Interes t K T

47 . -Nuvee n P r em I nc . Mun i Fun d I V (S ti f e l ) C D i v i d e n d K T

48 . -General Muni MM (St i fe l ) A D i v i d e n d I T

49 . Van Kampe n Ad v t g Mua i I nc’ l - r II (S ti f e l ) B D i v i d e n d K T B u y 5/8/09 J(add’I)

50 . -.Cente~mial MoaMlo Tr (Y)

51 . -NuveenSelectTaxF~’ee lncome (Tr 625) A D i v i d e n d J T(W el ls Fa r go )



FINANCIAL DISCLOSURE REPORT N .... f P e r s o a R e p o r t in gI

V . t e o f R e p o r t

Page 8 of 17 Cudahy , Richard D.

]

0 5 1 1 5 . " 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i ........ t.e, tr . . . . ction$ (Includes those of sp ...... d depen den t ch i ldren ; :~ ee pp . 34-60 o f j i ll ng ins t ru ct ions . )

D N O N E ( N o repo r tab l e i ncom e , as s e ts , o r t rans ac t i ons . )

A. B. C. D.D e s c r ip t io 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 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 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 f r e p o r t i n g p e r i o d

O) (2) (1) (2) (1 ) (2) (3) (4) (5 )

P l a c e " I 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 lu e V a lu e T y p e ( e .g . , D a te V a lu e Gain Ident i~ of

e x e m p t f r o m p r i o r d i s c l o s u r e C ode l d i v . . r e n t . C o d e 2 M ¢ ~ h o d buy. sell, m m /d di y y C o d e 2 Code I buyer/seller

( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ( J - P ) ( A - H ) l i f p r i v a t e

( Q -W ) ~ a n s a e t i o n )

5 2 . -Mun i c i pa l Ad van t age Fund (P I MCO) A D i v i d e n d Di s t r i b u t ed : ~ / 1 7 / 0 9 K

(St i fel)

5 3 . - N u v e e n M u n i c i p a l V a l u e F u n d ( W e l ls A D i v i d e n d K TF a r g o )

5 4 . - N e u b e r g e r B e r m a n M u n F u n d B D i v i d e n d K T(Intermediate) (St i fe l )

5 5 . -Blackrock Muni " r r . I I (St i fe l ) B D i v i d e n d K T

56 . : ] FT #1 - G P2 T B2=div, in t , cap gah~

NORT H E RN T R CO-T TE dist r ibut ions

5 7 . -Shor t - t erm Investments & Cash In te res t T

5 8 . -MFB N o rthe rn Sma llC a p ln de xF n d D iv ide n d T( N S I D X )

: 5 9 . -MFB Nor t h e r n Mi d -Cap I nd ex Fnd D i v i d e n d T B u y 12/21/09 J r e i n ’ , " o f a l l y

( NOMIX) (add’I)

60 . -MFB Nor t h e r n Fnd s S t k I nd Fund (NO S I X ) D i v i d e n d T So ld 02 /13 /09 N( p a r t )

6 1 . -MFB Nor t h e r n E mer g Mk t s Fund D i v i d e n d T So ld 02 /13 /09 K

( NOEMX) (par t)

62 . -MFB Nor t h e r n I n t ’ l E qu Fnd I nd ex D i v i d e n d T So ld 02/13/09 N( N o r N X )

6 3 . - M F B N o r t he r n F u n d s L a r g e C a p I n d e x( NOLV X) ( Y)

64 . -Orono. MN, Indpt Schl Dist In te res t T m~or t/accre te

6 5 . - S a n ta F e N M C o r n C o i l I n t e r e s t T ....

66 . - U n i v S C H R E d R e v . In te res t T

6 7 . -S ou t h e r n I L U n i v In te res t Matured 04/01/09 M

68 . -W ash oe Cr y NV S ch l Di s t. Imerest T

I . I n c ome Ga in C od es : A = $ 1 , 0 0 0 c ¢ I ~ t B = $1 ,0 01 - $2 ,5 0 0 C = $2 ,5 0 1 - $5 ,0 0 0 D = 1 5 ,001 - $1 5 ,00 0 E =$15.001 - $50,0OO

( S e e C o h a n n t B I a n d D 4 ) F =$50 ,0 0 1 - ~ t 10 0 ,0 0 0 G = $1 00 ,0O I - $1 ,000 .000 H I = $1 .0 00 .00 1 - $5 .00 0,0 00 H 2 = Mor e th a u $5 ,0 00 .0 00

2 . V a i n e C o d e s l "$15,000 or lest g = $1 5 .00 1 ̄ $ 5 0 .0 00 L = $5 0 ,0 01 - $1 0 0 ,00 0 M = $ 1 0 0 , 0 0 1 - $ 2 5 0 ,0 0 0

(See C ol mn n x C l an d D3 ) N =$2 5 0 ,00 1 - $5 0 0 .00 0 O =$5 0 0 ,0 0 1 - $I ,0 0 0 .0 0 ~ Pl =$I , 000 . 001 - $5 . 000, 000 P2 =$5 .0 O O .0 0 1 - $25 ,0 0 ~ .0 0 0

P 3 - $ 2 5 ,1 ~3 0 .001 - $ 5 0 ,000 .000 P 4 = Mor e th an $ 5 0 ,000 .000

3. Val t le M el l~od Cod~$ Q = A p p r a i sa l R ~C o~ t ( P ea l E s t a t e O~ [y ) S = A t s e t t m e t t t 3" =C a gh M a r ke t

(See C o l ua m C 2) U = B o o k V M u e M ~ O the r W = Es t ima te d



FINANCIAL DISCLOSURE REPOR T Name of P . . . . R e p o r t i n g D a t e o f R e p o r t

Page 9 of 1 7 C u d a h y . R i c h a r d D . 0 5 / 1 5 / 2 0 1 0

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 0 , ~ t ~ , , ,, . . . . ~io,~ ( l#cl~de$ those of ~ ..... ~ d~d~nt chitSn; see p p . 3 4 - 6 0 of filing instrucdong)

N O N E ( N o r~ortable in.me, assets, or transac tions.)

A. B. C. D.~ c n p ~ o a o f A ~ s e ~ I n . me d u r i ng ~ v~u¢ at end Tr~c~ons

(i~ludhg ~st a~) te~g ped~ of ~g

O) U) O) t2)P h c e " ( X ~

~ a f i ~ e a c h a s s e t ~t T y p e ( e . g . . V alu~ V a lu e T ) ~ e ( e . g . , ~te V a lu e G~ I d ~ t i ~ o f

exempt f rom pf i~ ~los~ C ~ e I ~ v , . r ~ t . C o d e 2 Me~ buy, sell. ~/dd~ C ~ e 2 C~ l b~’er ise lle r

(A-~ ~ ~ t . ) 0 " P ) C ~ e 3 ~ e d e m p d t ~ ) { J - P ) ( A - H ) ( i fp~vate

( Q - W ) t~ctioa)

6 9. -At lan t a GA Dev A uth h ~ t e r e s t T

70 . -P o t a l and , OR S ew S y s Rev . In te res t T

7 1 . - G le n d a l e . A Z W t r & S w r R e v . In te res t T

72 . -Columbia, MO Sch Dist Interest T

73 . -NJ E nv i r onmen t a l Inre res t T amort*accrete

74 . -Maryland Sta te In teres t T Bu y 03/05/09 M

75 . -F o r e s t t l i l l s b f l Pu bS ch l [merest Matured 05/01/09 M

7 6 . -Summi t NJ In te res t Matured 06/01/09 L amort/accret~

7 7 . -H en f i co Cn t y VA In te res t T amor t/accre te

7 8 . - C a c h e C o . U T S c h D i s t Interes t T B u y 02/20/09 M

7 9 . . E a ga n , l ~ , ~ l Interest T B u y 12/02/09 M

80 . -Univ ofNeb. Facs Corp . In teres t T B u y 12/10/09 M

8 1 , -U ofColo Enterpr Sys Roy. I n t e r ¢ s t T B u y 1 2 / 1 0 . # 0 9 M

8 2 . -Union City, NI I n t e z e s t T Bu y 02/20/09 M

8 3 . -VA S t Pu b Schl Auth In teres t T B u y 02/27/09 M

8 4 . -Norwalk . CT Interest T Bu y 02/25/09 M

85 . -TX St In teres t T Bu y 08 /12 /09 M



FINANCIAL DISCLOSURE REPORT

Page 10 of 1 7 C . d .h y . R l c h . r d D . 0 5 / 1 5 , 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e . , ~ t ~ e . ~ n s , c , i o n * a n c o n a , , tho,e o~,, . . . . . . ~ ~p~d~ , chi ldren; ~ee p p . J 4 ~ O of filing instructionl.)

N O ~ ~ o report~le income, as’sets, or transactions.)

A. B. C. D.D e ~ f i p ~ o a o f A s s e ~ In.me du~ng G r o s s v a l u e a t e n d Tr~tion~ dung re~ng ~fi~

(includ~g ~st asse~) ~ing ~ of r~g pe~

(1) (2) (1) t2) (I) (2) (3) (4) (5 )

Pb~ "(~" a~ each asset ~touat T)~e (e.g., V M u e V a l u e T } ~ e (e . g . , D a t e V~ G~ Id~ti~ of

exempt from prior ~los~e C~ l ~v., ~t. C~e 2 Me~ bu y , ~ l l , ~d£~}~ Co d e 2 C od e 1 b u y c r / ~ l l ~

( Q - W) t~sac~on)

8 6 . -St. Louis Cnty, MO Pkv,3, Schl Dist l a ~ t e r e s t T B u y 02/26/09 M

87. -Ox,eda t~d Pro’k , KS In teres t T Bu y 08/18/09 M

8 8 . - B o u l d e r , C O In te res t T B u y 06/03/09 M

8 9 . -N .C. Sta te Cap Imp rv . In te re st T B u y 04/16/09 M

90 . -Johnson City. KS Uni Scb.l Dist In teres t T B u y 08 /26 /09 M

9 1 . -Iowa City, IA In teres t T Bu y 105/06/09 M

92 . - /via Sta te Interest T B u y 02 .~0/09 M

93 . -DeSoto Co., Miss In teres t T Bu y 02/17/09 M

9 4 . -Cherokee C o. , GA Interest T Bu y 0Z/18/09 M

9 5 .: :~ -Tree . . . . . . .. . . . . . . .. . . . . . . .. . . . . . . .. . . . . . . .

]FT #2/KL, Milw - F PI Td i s t r i b u t i 0 n s B 2 = d i ’ i n t , c a p g a i n

96 . -Schwab Govt . Money Fun d Interest T

97 . -IJ.S. Treas N ote So ld 05/15/09 L A

98 . -U.S. Treas Note In te res t T

99 . -U.S. Treas. Note Imerest T

100. -Isharcs Msci Emerg. Mkts Ind, Fund Div idend T

101. -TX St Pu b Fin. Auth Re’,’ . Inlerest T

102. -Boston, I~L,~ Go Bnds IntJDiv. T B u y 1 0 1 1 4 / 0 9 M



FINANCIAL DISCLOSURE RE POR T r ~ .... [ w~,o....~,,.g I D a t e of Report

Page 1 1 of 17 C u d , .h ~ ; R i c h a r d D.

I

0,,15/?010

NONE ~ o reportable income, assets, o~" D’ansactions.)

A. B . C . D.D~ cf i p f i on o f As~ ~come dur ing ~ s v ~ u e a ~ e n d T~ac~o~ d~g

(i~lud~g ~st ~ts) r~g ~fi~ ofre~

~) (~ (~) ~ ~2) 0) (2 )

P h ~ " ~ " a f t ~ ~ c h a s se t ~ount T S ~ e ( e .g . , V ~ l u ~ [ Value T~e ( e . g , D a t e V ~ u e G~ Idemi~ of

exe r t f ro m p f i~ ~ lo sm¢ [ C~e 1 div. , r~L C ~ e 2 ~ M ¢ ~ M ~y. sel l . ~d~’~ C~ 2 ~1 b u y f f ~ l l ~

~nsaction)

103. -Te~e ~ h ~ t e~ s t Sold 07~1i~ L

1~. -~ S~ate ~ Bnds l n t e ~ s t T B u y 1 0 / 1 4 / ~ M

1 0 5 . ~ S a p u l p a O K C a p h ~ r I n l e ~ s t . T

t~. -K~mc~ Interl~l Sch Tm~s Au~. In~st T

1 0 7 . - P o m m o u ~ V A ~ f lnte~t ~ld ~/0~’09 K

1 0 8 . -Isha~s MSCl ~tUA IDX I n . r e s t T B u y ~/03/~ L

1~. -T~x, is Cn~ In te ~ s t So ld ~/01/~ K

1 1 0 . -Montgom~ Co. ~ Pkg R~. In te res t So ld ~0 I/~ K

1 1 1 . -Gul f C oas t W~t¢ TX In~st T

112. - Ta ~ m a W A W a t e r In~st T

1 1 3 . -~1~ Cn~ ~ In te res t T

,114. - N i c h o l~ F u n d D i v i d e n d So ld 0 3 /0 Z /~ L B

1 1 5 . -Isles MSCI A~g~alia Dis Sdend T B u y 1~14109 L

1 1 6 . -Isha r e s MSC I B ra z i l D isS de n d T B u y ~03/~ L

1 1 7 . - I s ha m s M S C I S i n g a ~ r e D i~hde n d T B u y 10 /14/~ M

1 1 8 . -Fidelity ~ity Inc. F~dD i x S ~ n d T

B u y~03/~ J

Rely Sh~

1 1 9 . Divided T B u y 07/10/09 J(add’l)



FINANCIAL DISCLOSURE REPORT t~ .... [ P ..... R e p o r t i n gI

D a t e o f R e p o r t

P a g e 1 2 o f 1 7 C u d a h r . R i c h a r d D .

I0 5 / 1 5 / 2 0 1 1 )

V I I . IN V E S T M E N T S a n d TRUSTS - i .... ,, ,’alue, tr .... c t i o n s ( I n 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 l d r e n ; s e e p p . 3 4 - 6 0 o f fi l in g i n s tr u c a o n s . )

N O N E ( No r e p o r t a b l e i n c o m e , a s se t s , o r t r a n s a c t i o n s . )

A. B. C. D.D e s c r i p t i o n o f A s s e t s Income dining G r o s s v a l u e a t 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

( i n c l u d i n g t r u s t a s s e t s ) r e p or t i n g i x -r i o d o f r e p or t i n g p er io d

(t) (2) (I) (2) (l) (2) (3) (43 (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 lu e V a lu e T ~ . ~ e ( e . g . , D a t e Val ue Gain Ident i~ of

e x e m p t f r o m p r i o r c h s c l o s u r e Code I div . rent . C o d e 2 M et h o d buy. sell. m m . " d d i y y C o d e 2 C o d e 1 buyer isdle r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

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

1 2 0 . D i v i d e n d T B u y 10/02/09 J ....

(add’l)

1 2 1 . Div idend T B u y 12/14/09 J ....( add’ l )

122 . -SPD R Gold Tr . Gold Shs In te res t T B u y ~ 0 6 / 0 4 / 0 9 M

1 2 3 . - M A S t B n d s In te res t T

124 . -Denver C o . C i ty & C o. SD hateres t T

1 2 5 . - N Y G O B n d s Interes t T

1 2 6 . - A l bu q N M C O G e n P U In te res t T

1 2 7 . - O H S t GO H w y C A Interes t T

1 2 8 . - F a i r f a x C o V A R e f P u b I In te res t T B u y 10/14/09 M

129. -V anguard In t na t lGroPofo l i o D i v i d e n d T B u y 12/15/09 J Rei nv Di v i d end s(add’l)

1 3 0 . -V a n g ~m r d In de xS00 Pof o l io D i v i d e n d T B u y 03/26/09 J "

(add’l)

1 3 1 . D i v i d e n d T B u y 06/23/09 J(add’l)

1 3 2 . D i v i d e n d T B u y 09/28/09 J "

(add’l)

1 3 3 . D i v i d e n d T B u y 12/28/09 J

(add’l)

1 3 4 . -AI M I nvesco F i nan S vcs Div idend So ld 02 /17/09 K ~

1 3 5 . -V a n g a ta r d H e a l f l te a r e P or t f o l io D i v i d e n d T B u y 03/20/09 J "

( add’ l )

1 3 6 . T So ld 03/02/091 L( ~ a r t )

1 . Inc o me Ga l a C o de ~ : A " $1 ,0 0 0 o ¢ le s t B = $1 .C 01 - $2 .5 00 C = $2 .5 0 1 - $5 .0 0 0 D = $ 5 .001 - $ 1 5 ,000 E =’$I 5,001 -$ 50,000

( S e e C o h t m t B I a n d D 4 ) F -$ 5 0 ,00 1 - $I 0 0 ,0 00 G -$ 1 00 .0O I - $1 ,0 00 .0 00 H I = $1 ,0 00 .0 01 - $5 .0 00 ,0 00 H 2 -M or e th an

2 . V ~ h~ e C o de s J = $ I 5 .000 o r l ~ t K =$15 .0 0 1 - $ 50 .0 0 0 L = $5 0 ,00 1 - $1 0 0 ,00 0 M = $1 00 ,00 1 -( S e ~ C o h u m t t C I a n d D 3 ) N = $2 5 t1 .001 - $5 00 ,000 O * 1 5 00 ,0 01 - $ 1 ,000 .000 P I = $1 ,0 00 .0 0 1 - $5 .0 0 0 .00 0 P 2 ~ 5 . 0 0 0 . 0 0 1 -

P 3 ~$ 2 5 ,000 ,001 - 1 5 0 ,000 ,000 P 4 = Mor ¢ th an $ 5 0 ,000 .000

3 . ~ , r a l u e Me th od C ~ : x ~ Q - A p p r a i s a l R = C os t ( R ~a l E s t a l e On l y ) S =At~etlt T =Cash

( S e e C o l umu C 21 O = B o o k V a l u ¢ V =O t he ~ W * E s t ima ted



FINANCIAL DISCLOSURE REPORT N . . . . f r ..... R ~ p o r t i n g[

~ ) , ,e o m ~ p o .

P a g e 1 3 of 1 7 C . d a h y . R i c h a r d D.

I0 5 1 1 5 , 2 0 1 0

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 ....... tu,, transactions (Inelades those of sp ...... d dependent chihtree; seepp. 34-60 of.filing instructions.)

[] N O N E ( No r e p o r t a b l e i n c o m e , a s se t s , o r t r a n s a c t i o n s . )

A. B. C. D.

D e s c r i p t ion o f A s s e t s I nc o m e d m ’ i ng Gr o~ s v a lu e a l e n d Tra n ~ a c t ion s du r in g re p o r t in g p e r iod

( inc lud ing I ru$1 a sse ts) re po r t in g p er iod o f r e po rt in g p ~r io d

(I) (2) (1) ~2) (l ) 12) (3) (4) i ( 5 )

P l ac e " i X ’ ) " a / x e r e ac h a~ s e t A m o u n t Ty p e ( e . g . , V a l u e V a lu e Ty p e (e .g ., D a l e V a l u e G a b 3 l d e n l i ~ " o f

ex em p t f r o m p r i o r d i s c lo s u r e C od e 1 div . , r ent . C o d e 2 Method ]m y , se ll, m m/d d/y y ( ’ode 2 C o d e I b~ ’er / ’~ ,e l l e r

( A - H ) o r i n t . ) ( I-P) C od e 3 r ed em p t i o n ) (J-P ) (A -H ) ( i f p r i ~ , a t ¢

( Q - W )

137 . T Rowe P r i ce Mi d Cap Gr ox xqh D i v i d e n d T B u y 12/14/09 J

(add’l)

138 . Sold 02/17/09 L

1 3 9 . ] 1 9 7 6 E PI T B2=div , i n t , cap ga i n"IRU ST,~o , . i [ TTEES dist r ibut ions

140. -Char les Schwab Govt . Money Fu nd T

141 . U.S . Treas . Note Interest Sold 05 /15 /09 L

142 . U . S . T r e~ s . No t e In te res t So ld 01/15/09 K A

1 4 3 . -Leander. TX Ind. Sch. I n t e r e s t T

1 4 4 . TXStPub Fin Auth I n t e r e s t

1 4 5 . -Te mp e A Z Imerest T

146 . . -C T St B on ds In te res t T

147. -L.A. CA Uni Sch Dist GO Bnd s I n t e r e s t T

1 4 8 . - A l bu q N M G O G E N P U In t e r e s t T

1 4 9 . - N Y G O B o n d s In te res t T B u y 10/14/09 M

150 . -Ken t u ck y l n t loc S ch T r ans Au t h In t e r e s t T

151 . -Pul as k i C my A R In te res t T

152 . -B eaufo r t C n ty . S .C . In t e r e s t T

153 . - I sh a r e s Msci E mer g . Mk ’ t s I nd . Fund . D i v i d e n d T



i a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r t

] F IN A N C I A L p a g c 1 4 o f 1 7 D I S C L O S U R E R E P O R TI C u d n h y , m c h ~ r d D.

0 ~ t ~0

m

~I. INWEST~NTS and TRUSTS - ~ . . . .. ~. .~. . ~,~o., a,,-~ ~ho, , o~ ..~ ~.~.0. ~,~;

N O N E ( No r e p o r t a b l e i n c o m e , a s s e ts , o r t r a n s a c t i o n s .)

A. B. C. D.D e s c r i p t io n o f A s s e ~ I n . m e d u ~ n g G r o s s v a l u e a ~ e n d Tr a n sa c t ion s du r in g f e t i n g

( imlu~ g ~s t as mts ) repo~g pe~ of xe~g

O) (2) C;) ~2) C l) (2) O) C4)

P~ce " (~" a f ~ e a ch a s s e t ~o~t T)~ (e .g . . V a lu e V a lu e T)ge (e g .. D a t e V a lu e G~ l d ~ t i ~ o f

e xe m p t ~ p r io r ~sc lo~u r e C ~ e I d i v . , r e n t . C ~ e 2 Me~ ~)’, sel l , ~/d~)~ C ~ e 2 C ~ e 1 b~e r i s e l l~( A - H ) or ~ t .) O - P ) C ~ e 3 redemplion) ( J - P ) (A-~

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

1 5 4 . -lsha r e s MSC I X N H U A ID X D iv ide n d T B u y 04/03/09 K

1 5 5 . -Isha r e s MSC I B ra z i l D iv ide n d T B u y 04/03/09 K

1 5 6 . -Isha r e s MSC I S in g a p o re D iv ide n d T B u y 10/14/09 L

157. -Nichol as F und So ld 03 /02 /09 K A

1 5 8 . -F i d e li t y E qu i t y I ncome Fun d D i v i d e n d T B u y 0 4 /0 3 /0 9 J Rei nves t ed Di v i d end s( a ~ d ’ 1 )

1 5 9 . D i v i d e n d T B u y 07/10/09 J "

( add’ l )

1 6 0 . Div idend T B u y 10/02/09 J "

(add’l)

1 6 1 , Di~Adend T B u y 12/11/09 ] "

(add’I)

1 6 2 . -Vangna r d W or l d l n t na t l Gr owt h D i v i d e n d T B u y 1 2 / 1 5 J(ad~)

1 6 3 . -Vangua txl Index Tr 500 Div idend T B u y 03 /26 /09 J(ad~r l)

1 6 4 . Di \ 4dend T B u y 06 /23 /09 J( add’ l )

1 6 5 . D i~q de n d T B u y 09/28/09 J "

(add’I)

1 6 6 . Di v i d end T B u y 12/28/09 J( add’ l )

167. - V a n g u a r d H e a l t h Ca r e D i v i d e n d T So ld 03/02/09 K(par t)

1 6 8 . Di v i d end T B u y 03/20/09 J( add’ l )

1 6 9 . D i v i d e n d T B u y 12/30/09 J "

(add’l)

1 7 0 , -AI M i nvesco F i nan S vcsI

Di v i d end So ld 02/17/09 K

(~e Co~ ~) U = B ~ V a l u e



FINANCIAL DISCLOSURE REPORT N .... r P e r , o n R e p o r t in g D a l e o f R e p o r t

Page 1 5 of 17 C u d a h y . R i c h a r d D . 0 5 / 1 5 / 2 0 1 0

V I I. IN V E S T M E N T S a n d T R U S T S - i.co.~. .~ln~. ~r ..... ~o.~ a.c~de, t ,o.. oy.m ..... ~ ~ ~h,~.~; .~

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

A. B. C. D.De~fiption of Asse~ In.me during ~oss vMue at end Tr~sactions dung repo~ng pefi~

(includ~g ~si ~s¢~) ~o~g ~fi~ ofre~g

CO (2) (0 t2) (l ) (2) (3)P h ~ " ( X ) " a f t er e a c h a s ~ t ~ o u n t T ) ~ e ( e . g . , V a l u e V a l u e T~e (e.g., D a t e V a lue G m ld~t i~ of

e x e m p t fr o m p r i o r ~ l o sm e C~e 1 div., r~t. C~e 2 M~ b u y , s e l l . ~td~[~ C~e 2( A - H ) o r ~ t . ) ( I - P ) C~e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i fpr is~

( Q - W ) ~ n s a c f i o n )

171. -T Rowe Price MidCap Crrowlh Dividend T S o l d 02/17/09 K( p a ~ )

1 7 2 . D i v i d e n d T Buy 12/14/09 J( a d d ’ l )

173. -SPDR Gold Tr G old Shrs Dividend T Buy 06/04/09 K

1. Income Gain Coder: A ’~ 1 ,0 0 0 o r le ss B = $1 .00 1 - $2 .5 00 C ~ $2 .5 0 1 - $5 ,0 0 0 D = $5 .00 1 - $1 5 ,00 0 E = $1 5 .0 0 ! -$ 5 0 ,00 0

(See C o l u ~ m ~ B I a n d D ~ ) F - $ 5 0 . 0 ~ 1 - t 1 0 0 . 0 0 0 O ~$100,001 - $1,0¢~O,000 HI = 1 1 ,000 .001 - $ 5 ,000 ,000 H2 - Mo~ th an $ 5 ,000 ,0002. Vahte Codes J -115 , 000 or l eas K ~115.001 . $50.000 L = ~ 50 ,001 - $1 0 0 ,00 0 M = $1 0 0 ,0 0 1 - $2 5 0 ,00 0

(See Cohunas CI and D3) N - $ 2 5 0 , 0 0 1 - S 5 0 0 , 0 0 0 O = $5 00 ,0 01 - 11 ,00 0,00 0 P I = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 P 2 =g S,000 ,00 1 - $2 5,0 00 ,0 00

3. Valu e M et h od Cx ~e ~ t Q = A p p c t t sa l R ~Co$! ( ILeal Esta te Ouly) S =A sse ssme n t 1" =Cash Market



FINANCIAL DISCLOSURE REPORT N a m ~ ~ f r e t , o a R e p o r t i n g[ Date of Repert

Page 1 6 of 1 7 C u d a h y , R i c h a r d D.

]05/15J’2010

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. ana~¢~,e~r, oyR~,or~I

U nd e r P a~ VI I . - Inves t men t s and T r us t s

Fom~ er Tr u ste e~ ’~ -] pa sse d a wa y in Ja nu ary, 2009 , a nd ha s be ta re pla ce d byil a t Godfre y & Ka l-m. See lin es 94 an d 13 7.

On Fe b r ua r y 14 t h e i nves t men t p o r t f o l io f o r mer l y l i st ed a s b r i ng a t W ach ov i a was h " aa s f c r f cd to t h e pu r ch ase r o f W ad ~ ov i a , W el l s Fa r go : a l l ~ e f ~ n ces t o" W a c h o \ ~ ia" h ave b een ch ang ed t o " W el ls Fa r go . " L i ne 50 ’s a . ~ e t no l onge r ap pea r s i n an y o f t h e h o ld i ngs and w i l l b e r emoved f o r th e 2010 r epo r t .

Lin e 63 sho tdd n o t ha ve a p p e m ’e d on th i s ye . a ~ r ’ s r ,: p o r t ; a sscLs we r e so ld in ~ ’ u n e o f 200g a n d n o t ide n t i f i e d a s so ld in 2008 r e p or t .



FINANCIAL DISCLOSURE REPORT ~ , " . . . . f P .... Repor t ing D,te of Report

P a g e 1 7 o f 17 C u d a h y , R i c h a rd D . I ) 5 / 1 5 , 2 0 1 0

IX . CE RTIFICATION.

I c e r t i fy , t h a t a l l in f o r m a t i o n g i v e n a b o v e ( I n c l u d i n g i n f o r m a t i o n p e r t a i n 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 l d l d r e n , f f a n ) ’ ) is

accu ra t e , t ru e , a nd co mple t e to th e be s t o f my kno wledge and be l i e f , a nd th a t a ny i n t ’ o rma t io n no t r e po ~ed was wi thhe ld because i t me t a pp t i cable ~ t a tu to ryp r o x ~ s l o n s p e r m i tt i n g n o n - d i s c lo s u r e .

I f u r t h e r c e r t i f y th 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 ~ e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g 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 nc o m p l ia n c e w i t h t he p r o v i s i o n s o f 5 U . S .C . a p p . § 5 0 1 e t . s e q ~ 5 U . S .C . § 7 3 5 3 , a n d J u d i c ia l C o n f e r e n c e r e g u l a t i o n s .

N O T E : A N Y L N D I V I D U A L W H O K N O W I N G L Y A N D V ~ T L F U L L Y F A L S I F IE S O R F A I L S T O F I L E TH I S R E P O R T M A Y B E S [ ~ L I E C T TO C I V I LA ND ( 37J _MINA L SA N C TIONS ( 5 U.S .C . app . § 104)

FILING INSTRUCTIONS

M a i l si g n e d o r i g i n a l a n d 3 a dd i t i o n a l c o p i e s t o :

C o m m i t t e e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t r a t iv e O f f i ce o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

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Richard D Cudahy Financial Disclosure Report for 2009