Allyne R Ross Financial Disclosure Report for 2009

8/3/2019 Allyne R Ross Financial Disclosure Report for 2009

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. 4 0 J o FINANCI ~L DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978e ~ , , 1 / 2 0 1 0 FOR CALENDAR YEAR 2009 0 u.s.c a p p . ~ # " tO ~ - t tDI. Person Reporting {last nam e, first, middle initial} 2. Court or Organizatio~ 3.Date of Repor~ROSS, ALLYNE R. U.S.D. C, EDNY 08/02/2010

4. Title (Article II1 judgc~, indicate active or senior status~ 5a. Repor~ Type (check app ropr iate ~e) 6. RepoSing Peri~magisuate judges indicate full- or part-time) "I~ Nomination, D a ~ c 01/01/2009U.S. DISTRICT JUDGE ~ Initial ~ A .... I ~ Final

12/31/2~)95b. ~ Amended Repo~7. Chamb~,rs or Office Address 8, On ~h~ basis of ~he information con{ain~d in ~hi~ Report ~ndmodificafions perta ining Iher~to, i t is , inmy opinion, in com plianceU.S. DISTRICT COURT, E.D.N.Y. wiih applicable la~s and r~Rulafians .225 CADMAN PLAZA EAST. 915 S~ ROO KLVN, NY ! 1201 Rev iew ing O f f igc r ~ Dale

I M P O R T A N T N O T E S : r lw in.stractions accompanying this~,rm must be followed. Complele all parts,checking the NONE 6ox for each part where you have ~o reportable informatio~ Sign on lastpage.

I. P O S I T I O N S . t a , ~ o . ~ , , g ~ i ~ , , ~ t o . t ~ , : ~ ~ . ~ . ~ of filing instructions.)~ NONE (No reportable positions.)

PO SITIO N N A M E O F O R G A N IZ A T IO N / E N T IT YTrustee T~s[ # l

3.

I I. A G R E E M E N F S . tR,portit,g individual only; seepp. 14-16 of f!lb,g i ........ ions.)N O N E (No reportable agreements,) "

~ PARTIES AND T~MS ,I.

2.


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FINANCIAL DISCLOSURE REPO RT Name of Person Report ing DRte af ReportPage 2 of 53 R O S S , A L L Y N E R . 0 8 ! 0 2 / 2 0 1 0

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 r t in g i n d i v i d u a l c tn d s p o u s e ; s e e p p . 17-24 of filing instructiona.)A. Filers Non-Investment IncomeNONE 0Vo reportable non-investment income.)

D A T t ~ S O U R C E A N D " I. .y P E( y o u r s , n o t s p o u s e s )

1.

2

3.

4

B . S p o u s e s N o n - I n v es t 11| e I1 t | II C O m e - If),o u were married during any portion of the reporting year. complete this section.

~ N O N E (No reportable non-investment income.)S O U R C E A N D T Y P E

I. I/I - 12/31 Partner in Willkie Fan- & Gallagher LL P2.

3.4.

NONE 0Vo reportable reimbursements.)~ D A T E ~ LOCATION P~OSE I~EMS P~ID OR PR OVIDED

23.

5.


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[ Name of Person Report ing [ Date o1" Hepo~INANCIAL DISCLOSURE REPORTI ~ ROSS, ALLYNE R.l

0g/02/2010age 3 of 53

V . G I F T S . a , , t , a , , , + o , , , o , ~ . . . . . . . . d dependent children: see Y r . 2 8 - 3 1 of filing instruction~.)N O N E (No reportable g~s.)

~ O U R C E D E S C R I P T I O N ~

2 .3 .4.5.

V I . L I A B I L I T I E S . a , , , ~ , ~ , .~ o , o ~ , , ., ~ . . . . . . a ~ . . . . ~ . . . . . . ~ i ~ a ~ : ~ p , . 3 2 - 3 3 o f f ! l l n g i n s t r u c t i v n ~ . )N O N E (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N V A L U E C O D E1 .2 .3 .4.5.


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FINANCIAL DISCLOSURE REPO RT-]~ag(~ 4 Of 53 ROSS, ALLYNE R. 08/02/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ; ......... t,,e. tr ..... "lions (Includes those of ~p ...... d dependent children; see pp. 34-60 of filing inslructionsON O N E ( N o reportabh: income, assets, or transactions.)

A. i 1 3 . C, D.Description of Assets(ir~cluding trust assets)

Place "(X)" after eachexemp~ flora pr or discI

....................1. Trust # I None J W2. IR A # 1 ~ E Dividend O T3. -Cisco Systems Inc.

4 -Drevtbs Liquid Assets Redeemed 01/09/09 J(pan)

5. -D~e) ,fus Liquid Asse~ Redeemed 01/27/09 J(pan)6. -Drey~s Liquid Asse~ " Redeemed 01/29/09 J

(pan)7. *I)~evlhs Liquid Assc~ Bu y 0~24/09 J8. -Dreyfus Liquid Assets Redeemed 03/18109 J

(part)9. -Dreyfus Liquid Assets

Redeemed 03i30109 J(pan)10. -Dreylhs Liquid Assets Redeemed 04~08/09 J(pa~)I 1. -Dreyfus Liquid Assets Redeemed 04/24/09 J

~ (pan)1 2 . -Oreyf iH Liquid Assets Redeemed 05/04/09 J13. -Drcylhs Liquid Assets Redeemed 05tl8/09 J~ (pan)14. -Dreyfus Liquid Assets Redeemed 06/15/09 J(pa~)15. -Dreyl~ts Liquid Assets Redeemed 07/01/09 J(pan)16. -Drevths Liquid Assets Redeemed 07/06/09 J(pan)17. -Dreyf lts I . iqtt id A ssets Bu y 07/08/09 J


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FI NANCI AL DI S CL O S URE Name of Person Repor~iag I Date o[ ReportE P O R TI ROSS, ALLYNE R.Pa~e 5 of 53 08/02/2010

VII. INVESTMENTS and TRUSTS - i . . . . ~ , value, t ...... ,i,,n, ~lnclude$ those ,,f 3pouse and dependent children: see pp. 34-60 of filing ~trN O N E ( N o reportable income, assets, or transactions.)

A. [ B. I C. D.~escrii~,~ion o f Assets ~ I .... e during Gross value a~ end T ...... , ions duhng rc ,~,,ting pcri~(mc[ud ng t~st assc~s) ~ rc~ing period ~ of rcpo~ing period

r~acc (X) aflcrcachassct lAmount. T~(.g.. ~ Value [ Value . Ty~(eg.. ~ Date [ Value Gain [de~x~tyofcxcm pl f m m pnor d*s c los u r c ~el ~ ~iv..rent, Code2 [ Mc~od [ buy, sell, m~d&~y[Code2 Codel buycrfseHer

18. -~reyf i~s ~iquid Assels Redeemed 07122)09..... (pa~)19. -Dvcyfi~s Liquid A ssets Redeemed 07/27/09 J(pa~)

~20. -Drcy~l Liquid Assets Redeemed 08,04]09 J(pan)"21." -Dreyfus Liquid Assets Redeemed 08[05109 J(pan)22 . -Dreyfus Liquid Assets Redeemed 08/24/09. J(pa~)23 . -Dreyfus Liquid Assct~ Redeemed 09/02/09(pan)24 . -Dreyfus Liquid Assets Redeemed 09/17/~ J25 . -Dreyf iis Liquid Assets Buy 09/23/092~ . -Dreyfi~s Liquid Assets

Redeemed 09/25/09(pan)~ 27. -Dreyful Liquid Asscts Redeemed I 1/13/09 J

-Dreyfus Liquid Buy 1/30/09 J29 . -Dreyf id Liquid Ag~els Buy 12/23/09 J

31 . -General Elecuic ~ay 07/24/09 J32 . -G ener a l E lec l r ic Bu y ~07/30/0933. -Annalv Captial Management Bu y 03/13/0934 -Annaly Capital Management Bu y 04/21/09 J


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F I N A N C I A L D I S C L O SU R E R E P O R TPage 6 of 53 R o s s, A L L Y N E R . 0 8 / 0 ~ 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 u , . , . . . . .. . a o ~ , tnctudes those of sp . . . . . . d dependent children; x e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D ~ c r i p l i o ~ o f A s s e t ~ I n ~ m e d u r i~ 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 c p o a i n g p e r i ~(iuclud ng t~st asse~) rcp~rling ~hod i o f r c p o a i n g p e r i o d(~ ~ ~2) O) ~ t2) O) , ~2) (3) (4~ ,Placc"(X)"a2c=cacbasset ~A mount1 T~e(e.g., Value Value T~c(c.g., Date [Value ~ Gain , Idenmyofe x e m p t t ~ o m p f i o r d i s c lo s u r e ~ Coae I ~ div.,rent, C~e2 M ef f . o d b u y , s e ~ i , .mmd~yy ~ C~e2 , Code I~ ~A-I[) ~ orin~.) O - P ) Code3 rcdemptioa)., . (J-P)

.................................. t ......... : ..... ] ~ (Q - W ) i : t r a n s a c t i o n )3 5 . Annaly Capital Management Buy36 -American Express3 7 . -Eli Lil!y & Co. Bu y 09/22/09 K

3 8 . -Citigroup "

3 9 . -Penn West Energy T~st" See Pat VIIt " 40. -Pepsico I:~c See Paa VIII

4 2 . --KBR Sold 02il 8/09 14 3 . -Microsoft

4 4 -Windstrcam Corp. Bu y 09/14/09 J45 -Wmdstream Corp. Bu y 1 / 1 9 / 0 9 J4 6 . -Viacom47 -i:~ha~es Barclays Short Treas. Bond Fund Buy 07/22;r09 K4 ~ . -ishares TRFTJE XINHUA HK China 25Index Bu y l 1/09/09 J

4 9 . .....-Powershales Exch-Traded Fund Final PFDPortfblio See VIII50 -E,terprise Prods Partners -


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F IN A N C IA L D ISC LO SU R E R E P O R T I N ..... fP . . . . . R e p o r t i n g D a t e o f R e p o r t-tage 7 0t"53 [ ROSS, ALI,~ ~TqE R. 0 8 1 0 2 / 2 0 1 0

VII. 1 N V E S T M E N T S a n d T R U S T S - i ....... . ~ t u , t ...... tions (Includes those of sp ...... 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 f il in g i n s ~ u c t i o n s , )NONE (No reportab& income, assets, or transactions.)

. . , ~ . ~ ~ ~ c. ~ o. ............D e s c r t p ~ o n o f A s s e l s , I n c o m e d u r in g , G r o s s v a l u e a ~ e n d ~ Transactions during reposing pc~I0 n c l u d i n g 1 ~ s t a s s c t s ~ ~ reposing pefi~ ~ o f r e p o s i n g p e r i o dI (2 ; (~ 2) ~ (3) , ~) ~ (5 )P ~ a c e "(X)" a l i e r e ~ h ~ s e l A m o u [ T y p e ( e f t I V a t e Va uc T ~ m e [ e t , I D a t e ! va ,.- [ ~ .... .p t f r o m p r i o r d ~ s c ~

O - P ) ( i f p r i v a t e

5 3 . -Ene~lus Resources5 4 . -Bank of America Corp. bu y 07/24i09 K5 5 . -l-31ackRock Global Energy & ResourcesTrust

~ 5 6 . -Yahoo Inc.

5 7 . -Boardwalk Pipeline Partners Buy 03/06/09 K5 8 . -Motors Liquidation Co. (Fomaerly General =I V l o t o rs C o r p )

I 5 9 . -Proctor &Gambie Co. 6 0 . -New York Community Bancorp

Bu y 08/28/09 J B6 1 . -Eaton Vace Limited Duration Income Fund i6 2 . -Hospitality PPTYS TR buy 0 7 / 0 9 , 0 9 K

6 3 . -Johnsoa & Johnson Buy 04/29/09 $ A6 4 . -Jolmso~ & .Iohnson Bu y 07/17/09 J6 5 . -Pcngrowth En~:rgy Tr. buy 06/26/09 J

6 6 . -Bristol Myers Squibb [ ~ u y 0 8 1 1 1 / 0 9 J6 7 . -Bristol Myers Squibb t ~ u y 1 0 ; ~ 2 4 / 0 9 J6 8 . - D o w Chemical "1 Buy 106/10/09 j


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F I N A N C I A L D I S C L O S U R E REPORTiN a m e fP e r s n R e p r t i n g

DateofReportPage 8 of 53 t ~ o s s, A L L Y N E R . 0 8 . . 0 2 ~ 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . co . .. . . . t, ~ , , . . . . . . a o . , a , c ~ ,a ~ . ,, n o ,e o / s ~ . . . . . . d a e p e n d e n t e h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l ln g i n s t r u c t l o n s . )

~ N O N E (No reportable income, assets, o~ transactions.)~ ........................................................D e s c r i p l i o n o f A s s e l x I n c o m e d u r i n g ~ G r ~ s s ~ a l u e a ~ e n d T t a n s a c f i o ~ d u r i n g r e p o s 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 ) rcpoaiog pefod J o f r e p o S i n g p e r i o d~0 ~Z) O ) [ ~ 2 ) 0) [ (2) ; (3) ~ (~) ...........-~; ........P l a c e " ( X ) " a f ~ c r e a c h a s s e l ] 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 . . ~ Date Value ~ Gain I d e n t i t y o fe x e m p t f l o r a p r io r d i s c l o s u ~ ~ C o d e I d i v . , r e n t . C o d e 2 ] Me~ b u y , s e l F , mm/d~yy i Code 2 C~c I b u y e r : s e l l e r~A - H ) or int) ( J -p) 3 *ode. redcmpuon~ - ~ (J-P) [ (A-It) (ifpriv~:e

6 9 . -Conoco Phillips Bu y~ 0 . -KBR Inc. Sold 0 2 , q 8 , , 0 9 J B

~71~ Buy 08/19/09 Knergy7 2 . "-Manitowoc Co. Sold 0 6 1 2 6 , 0 9 J73 -Cohen& Steers Select Utili~ Fund Buy 02/19/09 J7 4 . -Fiduciary/Claymore Opp o~unily Fund7 5 . -Grecnhaven Continuous Commodity Index Sold 1 ! 1 1 9 . , 0 9 JFund7 6 . -KcycooConv. Pfd. Buy 05/13/09 J7 7 . - i shares ~SE NA ~ITMTG RE ITS Index

Fund

7 9 . -Domflfican Resources Buy 0~13[0~ J~0 - J o h n s o r ~ & J o h n s o n Buy ] 0 5 / 1 3 t 0 9 J8 1. Saving Acct at Citibank8 2. -Keycoq~ Prefc~ed Bu y 0 7 . , 0 9 / 0 9 J

8 3 . -Morgan Stanley Cap TR Bu y 05/13/09$ 4 . -Kaiser Gremp lntl Sold 02/19/09 J8 5 . -Provident Energy T~st Buy 05/13/09 J


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FINANCIAL DISCLOSURE REPO RT N .... r PPage 9 of 53 R o s s , A L L Y N E R . 0 8 / 0 2 1 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - ~ .......... ~ t . , , t ....... tions (Itlcludea those of spo ..... d dep~ndenl chiUret,; see pp. 34-60 of filing ~structlons.)

~ N O N E (No reportable income, assets, or transactions.): ...................................... ~ .............. c. D .A. I B. - .... J ...................................................................................~ ,D c s c r i p t i o u o f A s s e t ~ ~ 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 Transactions during re~ing period :[ ( i n c l u d i n g t r u s t a s s e t s ) ~ e p o r t i n g p e r i o d , of r~o~ing pe~od _ -(~ _. _ ] .... ( ~ ) - _ ~

P l a c e ( X F a f t e r e a c h u s s c t ~ A m o u a t Ty~(c.g. Value V a lu e T~e (e.g., Date ~ Value Gain [ ldcnti~ ofe 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 . C o d e 2 Me~od b u y . s e l l . [ m m t d f y y ~ C o d e 2 Code 1 I b u y e r / s o l e t [( A - H I r~ o r i n t . ) ( I - P ) C u r ie 3 r e d e m pt i o n ) - ~ ( J - P ) ( A - H ) ~ ( i f p r i v a t e~ ~ ( O - W ~ I , transaction) j8 6 . -John Hancock Bank F~d Bu y

. -Annaly Capitul Manag~men~ Inc. Bu y 05]13/09 J8 8 . -AnnaN Capital Management Inc. Sold 1 1 /2 M 0 9 J A Partial Sale-9 . Kayne Anderson gnergV To~al ~etum Fund Bu y ~ 0 5 1 1 3 / 0 9 J

9 0 . -Cohea & S~eers Selec~ UfiliW g u n d Buy 05~13/09 J9 1 . -Bristol Myers Sqoibb Co. Buy 05/13/09 J9 2 . -Tcnnesce Valley Authority S~nps Matured 0 5 ~ 0 1 / 0 9 ~9 3 . T r u s t ~ 2 A Dividend J U9 4 . -Dodge Co~ Slock Fund

9 5 . T r u s t # 3 D Dividend M U See Part VII1! ) 6 . Citibank A ccounts B lmcrest M T9 7 . IJNP Paribas DJ Stoxx 50 Slructured Note None M T

9 8 . Citibank NY Tax-Free Reserves Fund A Dividend M T, 9 ~ 3 . Vanguard Limited-Term Tax-Exempt Fund E Dividend P1 U Bu y 01/20/09 NI00. V~tnguard I.imiled-Term Tax-E xempt Fund Bu y 02/13/09 N1 0 1 . Vanguard Limitcd-Tcnn Tax-Exempt Fund Buy 03/0Z:09 Lt 0 2 . Vanguard I.imitcd-Tcnn Tax-Exempt Fund Bu y 0 4 ! 2 0 / 0 9 1 M


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FI NANCI AL D ISC LO SU R E INn... f P ..... Repot,insREPORT[ ROSS, ALLYNE R. 08/02/2010

Page 10 of 53V I I . I N V E S T M E N T S a n d T R U S T S - - i .......... ~,e. , . . .. . .. ~ o ~ . , ( I n c lu d e s t h o s e of sp . . . . . . . d dependent chiMren; see p p . 3 4 - 6 0 of filing ~s~uctions.)

N O N E (No reportable income, assets, o, ~ansactions.)

D e s c r i p t io n c f A s ~ c t ~ ~ I n c o m e d u r i n g G ~ o s s v a l u e a t e n d T~nsactions during re~ing pc~od( i n c l u d i n g t r u s t ~ s s c t s ) ~ rcpoai~g ~riod o f r e p o r t i n g ~ e r i o dPtace"lXFaft ..... h .... t IAmount T~(c .g . , Value [ Value I T~(c .g . ,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 I t d iv . , r e n l , C o d e 2 M e l ~ c M ~ b u y , s e l l , .m~dd/yy(A-It) } o r i n L ~ ( J - P } C o d e 3 ~ r c d c m p t i o 6

1 0 3 . Vanguard Limited -Term T ax-Exempt Fund Redeemed 05/12/09 O(pan)1 0 4 . Vanguard Limitcd-Te~ Tax-E xempt Fund Bu y 06/01/09 M1 0 5 . Vanguard Limited-Term Tax-Exempt Fund Bu y 06/15/09 K1 0 6 . Vunguard Limited-Term T ax-Exempt Fund Bu y 07/09/09 Jt 0 7 . Vanguard Limited-Term Tax-Exempt F~d Bu y 08/13/~) M

~ 0 8 . Va~guard~imited-Tcm~ T~x-Excmpt Fund Bu y 09/02/09 MI09. Vanguard Limited-Tem~ Tax-Exempt Fund Redeemed 09/28/09 N(pan)110. Vanguard Limited-Te~ Tax-E xempt Fund Buy 11/02/09 L

~i I. Vanguard Limited-Te~ Tax-E xempt Fund Bu y1 1 2 . Vanguard High Yield Tax Fund D Dividend N U Buy 09/28/09 N1 1 3 . Vanguard NY Tax-Exempt Money Market A Dividend K U Redeemed 02/13/~ NFund (pan)114 Vanguard NY Tax-Exempt Money Market Bu y 0t)/]7/09 KF r o n d -

15 . Vanguard NY Tax-Exempt Money Market Redeemed 12/07/09 ] NFund (pan)16 . W estern Assel Municipal NY Money A Dividend J U Redeemed 0 1 / 2 3 , 0 9 JMarket Fund (pan)

17 . W estern Asset Municipal NY Money Redeemed ~/17/09Market Fund (pan~I 18. Western A sset Municipal NY Money Bu y 04/24/09 JM:u ket Fund119. W cstcm Asset Municipal NY Money R edeem ed 07.~21/09 JMarket Fund (pan)


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FINANCIAL DISCLOSURE REPORT a,r., of P .....Report ing [ Dale o1" RceportPage 1 1 of 53 R O S S , A ~ . L V N E R .[ 0 8 , , 0 2 ~ 0 1 o

VII, INVEST MENTS and T RUSTS - i .......... tu~ t ......lions (Includes arose of sp ...... d dependent children" *eepp. 34-6 0 oyf!ling instructions,)N O N E (No reportable income, ~sets, or transactions.)

Description of Assets t Income during Gross value at ~nd Transact ions during report ing ~ri~(including t~sl assets) i reporting period of reporting period.... . (I) ~ ~2)(I) [ ( 2 ) . : 1 . . ) {~ (2 ) ( 3 ) ~ ( 4 ) ~ 5) " "P lace ( X ) a f l c r each a~ s ~ t p~mounl T~c(c.g,, I %alue [ %.slut ; T y pe( e .g . . Date Value I Gain [ [dcn tyofexempt from pdor disc osurc C~e I [ d v rc~ " ~ . ~ ~ ." ~ i .. ,~ t ode. M~] i buy, sell, mm!dd"yy ~ Code 2 Code 1 buver/sellcr~ . X - r l } or inL) ~ (J-P) Code 3 ~dcmptiof iJ " [I (j_p) ! (A-H) ] 0fptivale

120. Western Asset Mtmcipal NY Mon~ Market Redeemed I0/ ]6109 JFund (pan)121. Genera] American Investors A Dividend J T See Pan VI I I1 2 2 . T~t # 3 A Dividend J U1 2 3 W F G -W P X P ar tn er s [. LC None N W1 2 4 . Goklman Sachs l l igh Yield Fund B Dividend L U bu y 0 2 / 0 51 0 9 J125. Fidelity Freedom Fund A Dividend Redeemed 02105109 J]26. Bernslcin Global Diversified Strategies LP. B Dividend N T1 2 7 . Bemstein Global Opportuni t ies l iege Fu nd D Dividend M T See Part VIIILP1 2 8 . S&P 500 Variable Parlicipation Noles None M T129. Asla Five NY None J T1 30 Bemstcin New Y otk Municipal Portfolio E Dividend O U Redeemed 03103/09 Kf p a n )131. Ben~stein New York Municipal Portfolio Bu y 05 112109 . O132. Be~stein New Y ork Municipal Portfol~o Bu y 09/28/09 J133. Bernstem New York Municip~l Porttblio Bu y 11104/09 J134. l len~stein New York Mu nicipal Portfolio Buy 1 1 1 05/09 J135. Bcn~steln New York Municipal Portfolio Bu y ] I I,~5/09 J136. He,stein New York Municipal Portlbiio Bu y 12/08109


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FI NANCI AL [Namef P e r s o n R e p o r t i n [ ~D I SC L O S U R E R E PO R T[ ROSS, ALLYNE R.

08/02:2010ag e 1 2 of 53V I I . I N V E S T M E N T S a n d T R U S T S - : . .. . , .. ~ ,a , ,, , , ...... tionsanct,desa,,,seofsp ...... ddependentehitdren;.~eepp. J4-6Ooff!lingi ...... tion$.)

N O N E (N o reportable ittcome, ,zvsets, or transactions.)D c s ~ r i p t i o n o f A s s e l s I I n c o m e d u r i ng ~ Gross value al end I Transactions during reporting pc~t h ~ c l u d i n g t r u s t a s s e t s } t re~rting pc6~ of r~o~i~g period

Phcc"(XFaficreachasset ~Amount[ T y~(e.g, ~ Vulue Value Type(e.g.. ; Date kaue ~ Gala ~ ldenlityof....... ptfrom pfiordiscl ...... ~Codel d i ...... ~ t. Code2 Me~od, buy. sell. ~mm[d~yy:Lode2 [Coael I b u y . . . . . . I l e r, ( A - I 1 ) i o r i n l . ) ( I - P ) Code3 wdcmption)- ~ ..... ( J - P ) ; (A-HI ( i f p r i v a t e

1 3 7 . Bemstein New York Municipal Portfolio Bu y 12/28/09 J1 3 8 . lip PLC A Dividend Sold 01/28/09I 3 9 . BP PLC Sold 02/02/09 J( p a r t )14 0 RP PI.C Sold 10/01/09 J

1 4 1 . Bemstein Tax-Managed International D Dividend N U Buy 03/03/09 JPortl~lio1 4 2 . Bemstein T~-Managed International Bu y 0 4 1 1 6 / 0 9 JPo~folio1 4 3 . Bemstcin T~x-Managed International Bu y 11/25/09 MPo~folio1 4 4 . Bemstcin Tax-Managed International Bu y 12/18/09 JP o r t f o l i o1 4 5 . Supervalu A Dividend J T Sold 03/05/09 J

(pan)1 4 6 . Supervalu Sold ~/21/09 J(pan)14 7 Supc~aln Bo y 10/16/00 J

1 4 8 . Supcrvulu Bu y 1 1 1 / 2 5 / 0 91 4 9 . Altria Group A Dividend J T Bu y .04/09;09 J1 5 0 . Altria Group Bu y 04/15/09 J1 5 1 . Altria Group Sold 05/18/09 J A(pan)1 5 2 . Altria Group Bu y 07/13/09 J1 5 3 . Alcria Group [ Sold 09/10.09 J B

........ 1 (pa~)


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FINANCIAL D ISC LO SU R E R E P O R Tt ROSS, AI ,LYNE R.

08/02/2010ag e 1 3 of 53

V I ! . 1 N VESTMENTS and TRUSTS - i .......... lue, t ...... tions (Include., tho.,e ofsp ...... # dependent children; see p p. 34 -1~0 oJ)qling in.wructlons.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o l A s s e t s I n c o m e d u r i n g ~ G r o s s ~ a l u e a t c n ~ J T ~ n s a c t o ~ s during repo~ ng period( i n c l u d i n g t r u s t a s s c t s ~ rcpoaing ~riod ~ of reining p~iodPiace"lX)"aflercachas~t [Amount T~c(e.g., I Value [ Value ~ T y p e ( e . g . , I Dae i Value I Gain I d c n t i t v o fexcmplfrompfiordisclosure [ Code I ] d i v . , r e n t . ~ Code2 M e t h o d buy sc m~d~yy Code2 ~ Cede buyer~ilcr( A - H ) o r i n t . } [ ( J - P ) C o d e 3 redemption) , [ ~ ( J - P ) f A - I t } ( i f p r i v a l e

1 5 4 . Cash Balance at Sant~rd C. Be~stein & c o A I n t e r e s t J T1 5 5 . Ace Ltd. A Dividend J T Bu y 03/03/09 J~ 5 6 . Ace Ltd. Bu y 04/16/09 J1 5 7 . Hewlett Packard A Dividend K T Sold 05/01/09 J(pad)1 5 8 . I lewlett-Packard Sold 1 0 6 / 0 4 / 0 9 J1 5 9 . Hewlett-Packard Sold 06/24/09(pad)160. Ilewlett-Packard Sold 07/16/09 J(pan)

" ~ 6 1 . tlewlett-Packard Sold 08t28/09 J A(pad)1 6 2 . llewlett Packard Sold 1 0 / 0 5 / 0 9 J A{ p a n )

1 6 3 . Hewlett Packard Bu y 1~5/09 J1 6 4 . Cameron International None J T Buy 03/31/09 J1 6 5 . AO L None J T 1 2 / 0 9 / 0 9 ~ J1 6 6 . Ashland Inc. None Sold 02/09/09 J

1 6 7 . A e t n a None J T Buy 09/24/09 J1 6 8 . Aetna Bu y 09/24/09 J1 6 9 . AKSteel Holding None J T Bu y 0 9 1 0 1 / 0 9 J1 7 ( I E.I. Dupont ] A ] Dividend K T Bu y 04/15/09 J

l


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FINANCIAL D I S C L O S U R E R E P O R T[ R O S S , A L L ~ . W E R . o s , o v ~ o ~ o

age 14 of 53

NONE (~Vo reportable income, assets, or transactions.),~ - ~. c. , - -ft.- .........................Description of Assets ; Income dur ing ()ross value at end 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

M a c e " t X ) " a f t e r e a c h a s s c * , A m o u n t rypo (e.g., value V a t u c t Type (e.g.. Date I Valuee 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 i d i v . , r c n t , C o d e 2 M e d a o d I b u y , s e l l . ] m n t ;d c L ~ y y C o d e 2! { A - H } ; o r i n t . ) ( J P ) C o d e 3 redemption) -I ( Q - W ) t r a n s a c t i o n )

1 7 2 . E.l. Dupont Buy 0 5 / 2 7 , 0 91 7 3 . E.I. Dupont Buy 0 6 1 1 9 / 0 9 J174 El. Buy 06/26,"09 J1 7 5 . E.I. Dlipont Sold 07i24/09 J! p a r t )1 7 6 . Ensco None J T Bu y 05/29/09 j

1 7 7 . American International Group None Sold 03/13/09 J Ai 7 8 . Ford Motor Co. None J T Bu y I 1 / 0 9 / 0 9 J1 79 F or d M ot or Co . Bu y [ 1 1 / 1 7 ! 0 9 J

8 0 . Archer-Daniels Midland A Dividend J T Bu y 01/06/09 .II , 1 ~ Archer-13aniels Midland Bu y 0 1 1 2 0 . 0 9 J

, 1 [ ; 2 A[cher-Duniels Midland Sold 07i30/09 J A(part)! 8 : 1 Archer-Dmfiels Midland Bu y 0 9 / 2 9 / 0 9 1 J184 Amgen None Bu y 0 3 1 0 5 , / 0 9 J1 8 5 . A r a g o n Buy 04/17/09 J 11 8 6 . Amgen Sold 06/25/09I p , u t )1 8 7 , Amgen / Sold 07/13/09 J A_ [ (pan) I


15/53

FINANCIAL D I S C L O S U R E N ame of" Person Reporting Date ofRE PO RTI ROSS, ALLYNE R.

08/02/2010ag e 1 5 of 53V I I. I N V E S T M E N T S a n d T R U S T S - ," ......... ~,,o, ,~ ..... ~o~.~ a n c ~ a ~ , h o ~ o ~ , . .. .. . ~ a ~ a ~ ~ a , ,~ : ~ , ,~ . ~ 4 - ~ o , ~ i ~

N O N E (N o reportable income, assets, or transactions.)Descriplion of Assels ! lnc~me during ~ Gross valoe at end T~nsact ions during redoing(including t~t assetsJ ~ r:~aing ~fiod 1. of reposing period~ (~? ] (~.~ ~ ~ l) (~ ) (~ [ (2) ~ (3) ~ (4)

Placc"(X)"aflcrcachassct ,Amount Ty~(c,g., ~ Value Value T y pe( e .g . . Date ; Value Gain Idcnti!yofxem ot io ta p f i r d i~ los u re ~ Code I div.. rent, C~e 2 Mcthud buy, sclI. i m m / d&~ ~ Code 2 Code I buyer/seller[ ~ rcdemptioa) , (J-P) i ( A-H ) I, ifprivate

18~. A~ngen Sold1 8 9 . Tyson Foods A Dividend Bu y 01/15/09 J1 9 0 . Tyson Foo~ Sold 06 /24 /091 9h Tyson Fot~s Sold ~08/13/09 J A192, Apache Co~. A Dividend Bu y ~ 0 1 /2 7 /09 J193. Apache Corp. Buy 03/31/09 J194. Apache Co~. Sold 07/24/~) J(pan)195. Apache Co~. Sold 08/07/09 J A

( p a n )196. Apnche Co~. Sold 09/16/09 J

( p a ~ )197. Apache Co~. Sold 09/30/09 J A198. Apache Co~ Sold 10 /13 /09 J A199. A p a c h e C o r p . Sold 10/22/09 ~ A(pan)

200. Apache Co~. Sold 11/03/09 J(pa~)201. Cardinal lteahh A Di~,idend Sold 06t0~/09(pa~)202. Cardinal Health Sold 08105/09203. Cirigroup A Dividend Sold 01/15/09 K204. Occidental Pete A Dividend K T Bu y 02/04/09 J


16/53

F I N A N C I A L D I S C L O SU R E R E P O R T r ~ . ~ , e o t V e r , o . ~ c p o . i . ~ IPage 1 6 of 53 aoss, A L L Y N E R . [ 0 8 / 0 2 / 2 0 1 0VII. INVEST MENT S an d TRUSTS -- i ..... ,, ~atae, t ..... "dons a ncludet those ,~ ...... 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 .. . .. . t i o a s . )

~l N O N E ( N o reportable income, assets, or transactions.)A 1 a. c.D c s c f i p l i m ~ o f A s s e t s I~ I n c o m e d u r i n g G ro s s v a ~ u e a t e n d T ~ n s a c t i o n s d u d n g r e p o r t i n g p c r i t ~( i n c l u d in g t r u s t a s s e ~ s ) r c p o o i n g p e r i o d o f r e p o s i n g p e r i o d

P l a c e ( X ) a t ~ c r e a c h ~ s c t Am ount Ty~ (e .g. . V a lu e Value Type (e.g. [ Da e [ Valoe Gain...... plfrompnordi~los~e ~Codel ~ di ,. .rcnt , Co de2 [ Metho d buy. sel l . ~mmd~vy [Code2 Codl~ ( A - f l) e r i n t . ) ( J - P ) C o d e 3 r c d e m p f i o n ) . ~ ~ (l-P)~ / ( Q - W )[0 5 . Occidental Pete i Bu y 06/19/09~ Occidental Pete Bu y 06/26/09 J~ Occidental Pete Buy 09~04/09 J~0 8 . Occidental Pete Sold 10/29/09 J A(pan)2 0 9 . GlaxoSmithKline A Dividend ~u y 03t03/09 J~ GlaxoSmithKlioe Sold 11/30/09 JGoldman Sachs A ~[vidend L T Bu y 0 2 1 1 0 1 0 9 J

~212. Goldman S achs Bu y ~ 0 3 1 1 0 / 0 9 J213. Goldman Sachs Bu y 05/29/09214. Goldman Sachs Bu y 06/05/09 J215. Goldman Sachs Bu y 06/30/09216 Goldmao Sachs Buy 08/31/09 J2 1 7 . Gt~ldman Sachs Sold 09/11/09 J A(pan)

2 1 8 . Goldman Sachs Bu y 1 0 1 1 5 / 0 9 J2 1 9 . Goldman Sachs Bu y 1 0 / 1 6 / 0 92 2 0 Goldman Sachs Buy 1 1 ~ 0 5 , 0 9221. Goldman Sachs Buy 11/25/09 I


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FINANCIAL DISCLOSURE REPO RT ~ .... r P e r s o . R e p o . ~Page 17 of 53 R o s s , A L L Y N E R .

[ 0 8 / 0 2 / 2 0 1 0VI 1 . I N V E S T M E N T S a n d T R U S T S - i ......... ~, , ...... ~ o ~ . ~ ~ . ~ , ~ o ~ o [ ~ , . . .. .. .. ~ ~,~ ~,~,~; ~ ~.

NONE (& ~ reportable income, a.vsets, or transactions.)~ A . ~ B. C. ~ D ,l D e s c r i p t i o n o~ Assets ~ I n c o m e d u r in g O r o s ~ v a t u 0 a t e n d T~nsactions d~ing r~ing pcri~~ ( i n c l u d i n g t ~ s t a s s e t s ) I r e p o s i n g p e r i o d o f r c p o r t i ~ a g p ~ o di P b c c " [ X ) " a l / e ~ e a c h a s s et : A m o u n T y p e ( c g . . Value Value Ty~ (e,g.. ~ D a t e ~ Value ~ Gain ~ I d e n t i t y o f[ .[ e x e m p t f ro m p d o r d i ~ l o s u re ~ C o d e I div., r~t, C o d e 2 Mcth~ buy sell I~d~~ ~ Code 2 Code I ~ bu)cr/scllcrt [ ( A - I f ) o r i n t ) ( J - P ) C o d e 3 r c d c m p t i o f i ) - " ( J - P ) ( A - H ) ( i f p r i v a t e

......... 2 ............... ~ _ ( Q W ) . t r a n s a c l i o n )2 2 2 . Intcl Coqx A Dividend K T Ba y 04~4/09 J2 2 3 . Intel Co~. Buy 06/09/09 J224. lntel Corp. Buy 06/25/09225. Iatel Co~. Buy 06/30/09 J2 2 6 . Intel Corp. Bu y 07/08/09 J227. Intel Co~. Bu y 0 7 1 1 7 1 0 9 J228. Intcl Co~. Bu y 09/17/09 J2 2 9 . Inlel Corp. Buy 1 1 1 2 3 / 0 9 J

2 3 0 . lntel Co~. Bu y 11/25/09~ -~i . B m ~ g e L t d . A Dividend J T Bu y 0 3 / 0 3 ~ 0 9 ]232. Bunge Ltd Sold 04/02/09 J A(pan)2 3 3 . B ~ m ~ e L t d . Sold ~/09[09 J B (pan)2 3 4 . []u~geLtd. Bu y ] 1 1 / 2 5 / 0 9 J2 3 5 . M ~ c r o s ~ ) ft A Dividend K T B t ~ y 0~l 9/09 J236. Microsoft Buy 03/19/092 3 7 . Microsoft Bu y 03/31/09 J2 3 ~ . Microsoft Bu y 10/26/09 J


18/53

FINANCIAL DISCLOSURE N .... f Pe ....ReportingR E PO R T[ ROSS, ALLYNE R.

08/02/2010ag e 18 of 53

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, t ..... tians (Includes those of spa .... d dependent children; seepp. 34-60 of fillng in,tructions.)~ N O N E (No reportable income, assets, or transactions.)~ ........ ...............~, ....... h. ..............., (. ....... ~ .....: ....................Description of Assets ~ Income during ~ (3ross value at end Transact ions during re~rt ing pcri~. rc~ing ~riod I of rcpoaiag~ O) (2) O) ~) 0) ..... ~-~ ....~ ~3) ] ~) < 5 )Place"(X}" zflcr cach asse t ~Amount T~e (e.g., ] Va ue I Va ue Tv~ (e.g....... pi l~om prior disclosure , C o d e ] div ..... 1 , [ C~e 2 ~ M~od b u y , s e l l.~ (A-ID oti~l.) ~ (JP) i Code3 redemption).,~ ~ ( Q - W ) ; Irausaction)............................................ I .......................... I ....................... d__ ............

239. Microsoft Buy 1 0 i2 7 /0 9 J240 Micn~sol) Sold 11/24 /09 J A(pa~)241 , Microsoft Sold 1 ~ 2 9 , , 0 9 J A.4.. Procter & Gamble A Dividend Sold 01107/09 J(pa~)24 Y Prooor & Gamble Sold 0 2 /1 1 /0 9 J244. Proctor&Gamble Bu y ~ 04/17/09 J245. Procter & Gamble Bu y 04/23/09 J246. Proctor & Gamble Bu y 05/26/09 J247 Proctor & Gamble Sold 07/10/09 J A(pa~)248. Proctcr& Gamble SoId 08/07/09 J

(pa~)249. Proctor & Gamble Sold 09/10109 J A(pa~)2 5 t ~ . P~oc~o~ & Gamble Sold 1/16?09[ J B(paa)25 1 . Proctor & Gamb!e Sold 121] 5109 J A~>. Lustco A Dividend J T Buy 02/10/09 J

~53. C o m i n g A Dividend J T Bu y 01/21/09254 C o m i n g Sold ~ 12/I0/09 j C(p~)255 Rio Tined None Buy 09/15/09 J


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F I N A N C I A L D I SC L O S U R E R E P O R T Narn of Person Reporting [ DateofReportPage 19 of 53 ROSS, A L L Y N E R . 1 0 8 / 0 2 / 2 0 1 0

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 c ~ s h : ~ , , m e d u r i n g G r o s s v a l u e a l e n d T ~ n s a c l i o o s d u r i ~ g r ~ p o ~ t i n g( i n c l u d i n g t ~ s t a s s e t s ) r c p , , ~ i n g p e r i o d o f r c p o a i n g p e r i o d

~]~ l~X)" ~n~r ~~ [X ....t l Type (e.g., V a lu e V a lu e T~e (e.g., [ Date [V~lu G a i n Idcnlitve x e m p t f r o m p r i o r d i s c l o s u r e C o d e I "d w . , r e n t , C o d e 2 Me~od b u y , s e l l, [m~d~}~ [ Code 2 C~ I b u y e r / s e l l e rI i o r i n t . ) ( J - P ) Code3 , redemption) - ~ (LP) ( A - H ) (ifpriva:eI 256. Riorinto Bu y 0 9 1 2 1 1 0 9~257. Rio Tinto ~old 1 2 1 0 1 1 0 9 J A

2 5 8 . "MetlitE A Dividend J T Bu y 0 1 1 2 0 / 0 9 J~259. Mctlffe Bny 0 3 , 0 3 1 0 9 J

Bu y 03/05/09 JI 261 MetlilE Sold ~/09/09 J(pa~)262. "etlife Sold 04/14109 J A

(paa)263. MetlilE Sold 0 5 1 2 6 / 0 9 J A(pa~)264. MetlilE Sold 06/26/09 J B

(pan)265. Metlilk Sold 0 8 / 0 5 1 0 9 J A(part)266. MetlilE Sold 1 2 ! 2 2 / 0 9 J C(pan)267. Sprint Nextel None J T Sold 02/19/09 J(pa~)268. Sprint Nexlcl Sold 02/24/09 J269. Sprint Nextel I Huy 08/10/09 J270 Sprint Nextel Bu y 11/02/09 J271. Sprint Nextcl Bu y 1 1 0 3 1 0 9 J~2. Quanta Set tees None J T Bu y 0 8 , , 2 8 / 0 9 J


20/53

N a m e o f P e r s o n R e p o r ti n g [ D a l e o f R e p o r tP a g e F I N A N C I A L 2 0 o f 5 3 D I S C L O S U R E R E P O R T r to s s, A L L Y N E R. ] 0 8 / 0 2 / 2 0 1 0VII. INVE STM EN TS an d TRU STS - i .. .. .. .. t . . . . . . . . . . . , i o n ~ a , c t , a ~ , , h o , o o l s j . . .. .. . a a e p e , ,a e n ~ c t , i t a ~ e n ; . ~ e e p p . 3 4 - 6 O o l " . a t in g l n s t , u c t i , , n . ~ . )

NONE (No reportable income, assets, or transactions.)~" i .......B T ........~ c. ............... ~. - ............D e s e t i p t i o n o f A s s e t s I [ l ~ c o m e d u ~ i ~ g [ G r o s s v a l u e a l e n d T r a n s a c t i o n s d u r h ~ 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 i n , s t a z s e t s ) I 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

(~ ) !2 ) ~ (,) (2) H) i (2) (3) ~4) " (~ )P l a c e " ( X ) " a f t e r e a ch a s . s e t A m o u o t T y p e ( e . g , Value V a lu e [ T y p e ( c . g , [ Date Value Gain I d c m i t v o fc x c m p ~ f r o m p r i o r d i s c l o s u r e ] C o d e I d i v . , r e n t , [ C o d e 2 t Method b u y , s e l l . ! m m / d d /y y [ C o d e 2 ] C o d e I b u y e r l ~ e l l e r[ ( A - J I ~ . , D r i n t . ) ( J - P ) C o d e 3 r c d c m p t i o r 0 " ! ( J - P ) ] ( A - I D 0 f p r i v a t c

273. Suncor Energy A Dividend J T Hu y 1 0 1 1 4 1 0 9 J274. Suncor Energy Bu y 1 1 / 2 5 / 0 9 J

275. Suncor Energy Bu y I 1~7/09 J276. United Parcel Service A Dividend J T Bu y 0 9 / 1 5 1 0 9 J277. United Parcel Service Sold I I I 2 4 / 0 9 J. (paa)t278. Vale SA None J T Bu y 1 1 / 2 4 . / 0 9 J

2 7 9 . Vertex Pharmaceuticals None J T Bu y I 1 / 1 9 / 0 9 J2 8 0 . Visa htc. A Dividend J T Bu y 04/30!09 J28t. Visa Inc. Bu y ] 0 5 / 0 1 ! 0 9 J2 8 2 . Visa Inc Bu y 0 5 / 0 5 , / 0 9 J2 8 3 . Visa Inc. Sold 1 0 / 0 6 ~ 0 9 J A( p a r t )284 [aiwan Semiconductor A Dividend Bu y 05/05/09 J

2 8 5 . Tai\,an Semiconductor Buy 05/07/09: J286 raiwan Semiconductor Sold 1 0 1 0 1 / 0 9 J A2 3 7 . Altera Corp. A Dividend Bu y 07/27/09 J2 ~ , 8 . A I t t : ra C o r p . Sold 1 1 / 0 9 / 0 9 J A2 8 9 . Alliance Bernstein Holding Corp. None Bu y ! 0 5 . , 0 7 / 0 9 J


21/53

F IN A N C IA L D ISC LO SU R E R EP O R T .~ .... f P e r ~ o n R e p o r t i n g DatcofRrporl [Page 21 of 53 R o s s , A L L Y N E R . 0 8 / 0 2 ~ 0 1 0

NONE (No reportable income, assets, o, lransactions.)D c s c r i p t it ~ n o f A s s e t s ] Income during ! Gross value at end ; Transactions during r~rting period I( i n c l u d i n g I m s t a s s e t s ) / repoOing period o f r e p o s i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s c ~ Am~nt ] T ~ p c ( e . g , ~ Value V a lu e [ T~e (e.g. I Dzte Value Ga n I d c n t f i y o f ~e x e m p t f r o m p f o r d i ~ l o s u rc C o d e I d i v . , ~ n t , ~ C~e 2 M e t h o d b u y , s e l l , ~ m m ~ d & ~ y y [ C ~ c 2 ~ C o d e I buyer[~ller

[ 290 Alliance Bernstcin IIolding Co~. Sold 11/24/09 J B(paa).91. Alliance Bernstein Ilolding Co O . Sold 12/~/09 J~292. American Tower Co~. 7 None Bu y 07/23/09 3293. American Tower Co~. Sold 1 0 ! 0 8 / 0 9 J A

1294. Capital One Financial Co~. A Dividend Buy 0 1 1 2 0 / 0 9 J295. Capital One Financial Co~p. Sold 09/17/09 J C(pan)296. Capital One Financial Co~. Sold 1 0 / 2 3 / 0 9 J B297. Ebay None Sold 1 1 / 2 4 / 0 9 1 J B298. Eli Lilly & C o. A Dividend Bu y 03/24/09 J299. Eli Lilly & C o. Bu y 0 4 / 0 2 1 0 9 J300 Eli Lilly & Co. Sold 07/10/09 J(paa)3 0 1 . Elli Lilly & Co. Sold 0 9 , t l 8 ~ 0 9 J

~02 G a r u ~ e t t A [" Divide~d Sold ~/IM09 J3 0 3 . Flextronics None Sold 01/02/09 J(paa)3 0 4 ~ricssoo A Dividend Bu y 01/05/09 J

3 0 5 . Ericsson Sold 0 2 / 1 9 , / 0 9 J A(pa~)3 0 6 . Ericsson Sold 06/18/09 J A(pan)


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FINANCIAL DISCLOSURE REPORT N , m e o f P e r s o . Repoltil~g Date of ReporlPage 22 of 53 R o s s. A L L Y N E a . 0 8 , 0 2 / 2 0 1 0

NONE ~o 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 come during Gross value a end T r a n s a c t o n s d u n 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 l r u s t a s s e t s ) r c p o n i t ~ g p e r i o d o f r e p o r t i n g p e r i o d(m) .... ~) .... ~-~) ~) (~ (2) (J)-~ (4f ...... ~ i ............Placc"(X)"aflereachasset A m o u n t [ T y p e ( e . g . , V a lu e Value T y p e ( e . g . . Date I Value ~ Gaha IdeatiIyofe x e m p l f r o m p r i o r d i s c l o s u r e Code I ~ d i v . , ~ m l , C o d e 2 Me~od b u y , s e l l , I mnffd~yv C~e 2 [ Code I b u y e r i s e l ] e ~( 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 l v a t e[ Q - W ) t r a n s a c t i o n )

307. Et icssou Sold 08/17/09 J A3 0 8 . Dell None K T Bu y 01/26/09 J3 0 9 . Dell Sold 02/12/09(pan)

" ~ I 0 . Dell Bu y 07/15/09 J3 1 l . Dell Bu y 0 8 1 1 3 / 0 9 J3 1 2 . Dell Bu y ~ S " 1 1 2 3 / 0 93 1 3 Home Depot A Dividend J T Buy 0~18/09 J3 1 4 . [Iome Depot Bu y 02/25/09 J

3 1 5 . Home Depot Sold ~ 0 6 / 1 8 / 0 9 J A(pan)

316. Home Depot Sold 11/13/09 J A(pan)3 1 7 . Home Depot Bu y 1 2 / 0 2 / 0 931 ~. Lowes Cos. A Dividend J T B t m y 02/25/09 J31~). Lowcs Cos. Bu y 04/23/09 J3 2 0 . Lowcs Cos. Buy 07/09/09 J

3 2 I . l.owes Cos. Bu y 07/13/09

3 2 2 . Lowe~ Cos. ~u y 0g/l 1/09 J3 ~ 3 . Lowes Cos. Sold 10/08/09 J_ (pan)


23/53

FI NANCI AL D ISC LO SU R E N a m e o f P e r s o n R e p o r t in g1

D a t e o f R e p o r tREPORT] ROSS, ALLYNE R.

08/02/2010age 23 0[53

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 , , . t . . . .. ~ o , s (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income assets, o~ transactions.)

I A . I B. i C. D.D ~ ~ c f i p t i o n ( f f A s s e t s I n c o m e d u r i n g i 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 h u s t a s s e t s ) : r e p c r t i t ~ g p e r i o d o f r e p o r t f l ~ g p e r i o d. ~ ~ . . .. ~ ...... ~-Ji- -i2) ]- (i, -~2) ..... l ~i (4)l .... (~; .......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 Type (e.g., Value Value] T y p e ( . g , Date I Value Gain[ I d e n t i t y o fe x e m p t f r o m p r i o rd i s c lo s u r e C o d e I d w . , r e n t . C o d e 2 M o t h ( w ] , b u y , s e l l , m r n /d d/ y y C o d e 2 (ode I [ b u y e r ! s e l l e r[ ( i t p r i , a t c[ ( : \ - t 1 ~ o r i n t . ) [ ( I - P ) C a d c 3 redemption) - ( J - P ) (A-HI J t r a n s a c t i o n ~................... 1 ....... i ...... .......................................

324. I .owes Cos. Sold 1 2 / 1 8 / 0 9 J A(part)! 325, Pepsico A Dividend .!t T Bu y 01/09/09 3

t326I . Pepsico Bu y 02/18/09 Ji 327 Pepsico Bu y 03/05/09 J328. Pepsico Sold 05/08/09 J

( p a r ~ )329, Pepsico Bu y 08/06/091 J330. Pepsico Sold 10/08/09 J(part)

! 331. Pepsico Sold 11/24/09 K(pan)

332, Principal FinancialGroup A Dividend J T Bu y 10/15/09 J333. Chevron Carp, A Dividend J T Buy 0 3 1 2 3 / 0 9 J334. C ~evro ~ Curp. Sold 06/10/09 J A

(part)335. Chevron Corp. Sold 06/18/09 J A(part)336. Chevron Corp. Sold 07110/09(p~n)337. Che,,on Corp. Sold 0 8 1 1 2 / 0 9 J B( p a ~ )338. J,P. Morgan Chase A Dividend L T Buy 02/13/09 J

339. J.P ,Vlorgan Chase Sold 03/23/09( p a r t )340. LP. Morgan Chase Sold 04/13!09 J(part)


24/53

FINANCIAL DISCLOSURE REPORT N , m . o f l e r s o n r . p o r t l, g O a t e o f l ~ e p , , r tPage 24 of 53 R o s s , A L L Y N E R . 0 8 / 0 2 / 2 0 1 0VII. INVESTMENTS and TRUSTS - ~ ......... ~ e , , . . . . . . . . ~ o ~ . ~ ( I n c l u d e s " t h o ~ e oJ~p ....... d depend,mt children; ~e pp. 3 4-60 of filing instructi~n.~.)

N O N ~ (No reportable income, assets, or transactions.)A. ~ B. C. I D .~scdplion of Assets I n c o m e d u r i n g G ro s ~ ~ a l u e a t c o d I T r a n s a c t i o u s d u r i n g r e p o r t i n g( i n c lu d i n g t m s ~ a s ~ t s ) ~ r e p or t i n g ~ fi o d o f r e p in in g p er i o d

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 c n t , C o d e 2 Mc~od { b u y , s e l l m~dtttyy Code 2 C t ~ c I { buyerisc cr[ ( A - H I o r i m . ) ( 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 teIQ-W) l ] transaction)341. JP. Morgan Chase Buy 05114.09

[ ~ 4 2 . Bu y 05/15/09 J.P . Morgan Chase

343. J.P. Morgan Chase Bu y 05;27,09344. J.P. Morgan Chase Bu y 06/05!09 J

"345. LP. Morgan Chase Buy 06/2~09346. J.P. Morgan Cha~e Bu y 06/23/09347. J.P. Morgan Chase Sold 0 9 I I 1 / 0 9 J A(pa~)5~S. LP. Morgm~Chas Sold 1 0 / 0 8 / 0 9 )(part)

( ~9. LP. Morgan Chasc Sold 1 0 / 1 5 / 0 9 J(pan)350. J.P, Morgan Chas~ Boy 1 2 / I 1 / 0 9 (

t51. LP. Morgan Chase Buy 12/)2/09 J)~2. McDonalds A Dividend Bu y 02/I 2/0~3 5 3 . McDonalds Sold 05/2g,09 J3 5 4 . McDo~alds Sold 07/16/09 J(part)355 Mc Don alds Sold 08/~/09 J ~"(pan)3 5 6 . McDonalds Sold 09/16;09 J A(pa~)357. McD onalds Sold 10/12/09 .I A


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F IN A N C IA L D ISC LO SU R E R EP O R T N . . .. . f e e r ~ o n R e p o r l l n g [ D a t e o f R e p o r tPage 25 of 53 .oss, A L L Y N E R.]

0 8 / 0 2 1 2 0 1 0V1 I. INVESTMENTS an d TRUSTS -," .......... I . e , t ...... tions (Includes those of spo ..... 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 f i li n g i n s tr u c t i o n s . )

NONE (No reportable income, assets, or transactions.)D e s c r i p l i o n o f A s s e t s i n c o m e d u r i ~ . g G r o s s v a l u e a ~ e n d T r a n s a c t i o n s during reporllng p e r i o d( i n c l u d i n g w u s t a s s e t s ) r e p n r t i n g p e r i o d o f ~ "e p o c h n g p e r i o d

P l a c e " I X ) " a l l e r e a c h a s s e t Amount I Type (eg.. Value | Value T y p e ( e . g ,, Date [ Value G a i n Id~tity ofe 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 i / v l e l h o d b u y , s e ll , m n d dd /y y [ C o de 2 C o d e I b u y e i s e l l c r(t\-ttl . o r i n ~ 3 [ | J - P I t C o d e 3 r e d e m p t i o n a l - ~ ( J - P ~ ( A - H ) ( i f p r i v a te

358. Medco Ilealth Solutions None J T Sold 02/10/09 J A(part)359. Medco Health Solutions Sold 05/11/09 J A( p a r t )360. Mcdco IIealth Solulions Sold 09116/09 J A(part)361. Medco Health Solutions Sold 10/21/09 J A(part)

"~62. Medco Health Solutions Sold 12/18/09 J B(pa~)363. Merck B Dividend K 1- Sold 1 1 / 1 9 / 0 9(part)364, Merck Sold 1 1 / 2 3 ! 0 9 J(part)365. Illinois Tool W orks A Dividend K T Bu y 05i22/09 J366 [tlinois Tool W orks Bu y 06/26/09 J

3 6 7 . Illinois Tool W orks Bu y 08/10/09 J368. Illinois Tool W orks Buy 09/18;09 J369 Illinois Tool W orks Buy 10/27{09 J370. Illinois Tool W orks Bu y 1 1 1 2 4 1 0 9 J37 I, Illinois Tool W orks Bu y 1 1 / 2 5 , " 0 9 J

i72. Johnson Controls A Dividend J T Buy 08/06!09 J373 Johnson Controls Bu y 0 8 / 0 7 / 0 9 i 3374 Johnson Controls Bu y I 1 / 1 9 / 0 9 J


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FI NANCI AL DI S CL O S URE-

I N a m e f P e r s n R e p r t i n gE PO R TI R O S S , A t .L V , ~ E R . o s , o 2 ~ o l o

age 26 of 53V I 1 . I N V E S T 5 1 E N T S a n d T R U S T S - ~ ........ ~ ............ , i . . s a n c l u d e s t h o s e ofsp ...... d dependent children; set p p . 3 4 ~ 0 of filing ~s~ruc,ions.)

N O N E (No reportable income, assets, or ~ansactions.)D e ~ r i p f i o a o f A s s e ts Income dufag ~ G r u s s v a l u e a t e n d T~nssctions during roguing pe6od( i ~ c l u d i n g t r u s t a s s e t s } i r~ing perk~ [ o f r e p o r t i n g p e r i o d

Place "(X)" afte~ eacl~ asse1 [Amount Type (e.g., Value Value Type (e.g. l)alc ~ Value [ Gain Identity ofe x e m p t f ro m p d o r d i s c l o s u r e ~ Ct~e I [ d v ,~, ~ Code2 Me~od b u y . s e l l , [nmxd~yy ] C~e2 Code I buyer/seller~ (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-II) 0fprivate................... ~.. : ( Q - W ) [ ~ . t r a n s a c t i o n )

~ 3 7 5 . Johnson Controls Bu y : I 1 / 2 5 / [ ) 9 J37 6 T a r g e ~ A Dividend K T Bu y 04/17/09 J3 7 7 . Target Buy 0 5 i 2 8 1 0 9 J37 8 Target Bny 0 9 / 1 8 1 0 9 J3 7 9 . Target Bu y 0 9 / 2 2 1 0 9 J380 Target Bu y 1 0 / 0 9 / 0 9 j I3 8 I . Target Bu y I 0 / I 6 ; 0 9 J

3 8 2 . Target Bu y 1 1 1 2 5 / 0 9 J .3 8 3 . X I _ C a p i ta l A Dividend J T Bu y 06/30;09 J3~4. XL Capital Sold 08/17109 J(pan)3 8 5 . Alton A Dividend K T Sold 0 1 1 1 6 i 0 9 J(part)386. Al to n S o l d ! 0 5 . , 1 1 i0 9 J A[pa~

3 8 7 . Alton Bu y 071t6/09 J3 8 ~ . Alcoa Ba y 07/17t09 J3 8 9 . Alcon Bu y 08/04/09 J3 9 0 . A lc o n Bu y 08/06/093 9 1 . Alco~ Bu y 09/23/09 J


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FI NANCI AL DI S CL O S URE RE PO RT N ..... fp .... R e p o . in g D a t e o f R e p o r ~Page 27 of 53 R O S S , A L L Y N E R . 0 8 / 0 2 i 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 ~ , , , . .. .. .. a o n ~ a , , .t ~ a , ~ , n o ~ , o~ ..... a a ~ p , ~ a , ~ t , m t a , ~ , ;N O N E (No reportable income, assets, or transactions.)

~ ~. r i~ ..... c~ ...... ~ .................. D . ....................~scription of Assets : h ~ c ~ m e d u ~ i n g G r o s s v a l u e a t e n d T ~ n s a c t i o n s d u r i n g r e p o s i n g p e r i o d~ ( i n c l u d i n g t ~ s t a s s e t s ) r c p o m i n g ~ f i o d o f r e p o f l i n g p e r i o dPlace"(X)"aflercachasscl ~ A m o u n tI T y p e ( c g . , V a lu e V a lu e [ T~pe(cg., Date [ Value ~ Gain , dc~ yofexcmptl~ompfiordisctos~ ~dcl~ d i v . . . . . . . t, C ~ c 2 [ Mc~od buy. sell, mn~d&.lC~de2 C~elI ~ A H ) [ : o r i n ~ . ~ ( J . . P ) Code3 ~ r e d e m p t i o n ) . ~ :~....... ~ : ( Q - W ) t r a n s a c l i o n }......................................... : ................

392, Alcon Bu y 10/02/09 J393, Alcon Bu y 1 0 , 0 8 / 0 9 J394. Alcon Bu y 10/29/09 J395. Alcon Bu y I 1 / 2 5 / 0 9 J

: 396. Broadcom None J T Bu y I 1 / 1 0 / 0 9397. KLA-Tcncor A Div~de~d J T Bu y 09/I 1/09 J398. KLA-Tencor, Bu y 1 1 0 / 0 1 1 0 9 J399. Liberff E ntertainment None Bu y 0 4 / 2 4 1 0 9 J400. Libe~y Entertainment Sold 07/22/09 J A(paa)40[, L i b e r t y E n t e ~ ta i n m e n ~ Sold 08/05/09 J A40 2 l,incoln Na ional ~o~. A Dividend Bu y 0 2 1 1 7 / 0 9 J

4 0 3 . Lincoln Nalional Co~. Bu y 03/05/09 J4 0 4 . Lincoln Nationa! Corp Sold 12/10/09 J C

" 4 0 5 . Googlc None L T Sold ] 0 1 / 2 6 , ~ 0 9 i J(paa)4 0 6 . Google S o L d 0 1 1 3 0 ; 0 9 JJ (pa~)~ 0 7 . Googl Sold 04/20/09 J(paa)4 0 8 Google Sold 1 0 / 1 9 , 0 9 J B


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F IN A N C IA L D ISC LO SU R E R EP O R T N , ~ e o * ~ e r s o ~ R e p o , ~ , ~ [Page 28 of 53 a o s s , ~ L Y N E R. j 0 8 / 0 2 / 2 0 1 0

V I I . 1 N V E S T M E N T S a n d T R U S T S - i ~ , , o ~ , , , ~ t ~ , t . . .. . . a o . ~ ~ t . ~ . t ~ a ~ s ~ o s e of .~-~ ...... a dependent children; ,ee p p . 3 4 - 6 0 ,,fillingN O N E ~ V o reportable #tcome, assets, or oansactions.)

Description of Assets [ lncol~e during (irosg value at end T~nsactions du~ng repol~ing ~riod(i~cluding t~st assels) rc~rt ing period ~ ofrepooing periodPlace " iX)" after ~ch asse t Amounl ] T~e (e.g. ~ ~ t " ~ a l u e Value ~ T y pe leg . . Dale Value Gain den y...... ptt?ompfiordisclo ..... ]C~el ~ di ......, Code2 [ Mcth,~ / buy, sell. [m~d~~T[C~e2 IC~el I buyeriseller(A-II) or int.} (J-P C~de 3 r ed em p tion S) " ~ (J-P) (A -Ill lifpriv a te(Q-W~ ~ ; Ira~sac ion)......................... ~ ........... ; ........ ~ ...... ~ ...............

409. Google Bu y I 1/25/09 J~410. Qualcomm A Dividend K T Bu y 01/09109 J

Z ll. Qualcomm Bu y 03/31/09 J412. Qualcomm Sold 05/07/09 J(paa)413. Qualcomm Buy 11/25109 J414. Qualc)mm Bu y [ 12/03/09 J415. Teva Pharmaceutical A Div idend K T Sold 05/04/09 J(paa)416. Teva Phm~aceutical Sold ~ 05/07/09 J~ p a a )417. Teva Pharmaccmical Sold 10/22/09 J A

(paa)418. Teva Pharmaceutical Bu y 12/02/09 J4 19 Corneas* A Dividend J T Bu y 04~01109 J4 20 Com cas ~ Sold 06z23/09 J A

(part)421. Comcast Sold 11/24,09 J422. Comcasl Bu y 12/22/09 J423. Bank of America A Dividend J T Bu y 01/07.09 J

424 . Bank of Amcric~ Sold 03/12/09; J(pam)Said [ 03/23/09


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FINANCIAL DISCLOSURE REPORT ~ .....fr .... R ~ p o . i n g D , U o t R ~ r ,Page 29 of 53 R O S S , A L L N E R . 0 8 / 0 2 / 2 0 1 0

V I I . I N V E S T M E N T S a n d TRUSTS - i . . . . . . . . . t , , , . . . . . . . . , i o , ~ (Inelu&s t~,,se o/ sp ...... a de~ena .... t, ltdrtn: ~ee pg. 34-60 of fillng i ...... lions.)NONE 6Vo reportable income, ~sets, 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 G ro s s v a l u e a t e n d Transactions during r~ing ~riod0 n c l u d i n g I r u s t a s s e t s } re~ming period of reporting period .........................

P l a c e " { X ) " a f t e r e a c h a a s c l , A m o u n t T ~ p e ( e . g . , V a lu e V a h , e T y p e ( e . g ., Da~e/ Value ~ Gain I d e n t i t ye x e m p t f r o m p d o r d i s c l o s u r e , ~ C ~ e 1 d i v . , r e n t , C o d e 2 M c t h t~ . b u y , s e l l! m t ~ d ~ y y ~ / C ~ e 2 I C t ~ e ( A _ H } I buycr/xeller{if private

426. Bank of America Bu y 09/01/09 J427. Bank of Amcrica Bu y 0 9 / 2 . 1 / 0 9 J

4 2 8 . [lank of America Sold I 1 / 2 4 1 0 9 J(part)4 2 9 . Bank of America Bu y 1 2 / 0 9 / 0 9 J430. Bank of America Bu y 1 2 / 1 1 / 0 9 J4 3 1 . Conoco Phillips B Dividend K T Sold 02/02/09 J( p a r t )432. Concoo Phillips Bu y I I 1 0 3 / 0 9 J433. Conoco Phillips Bu y I 1 / 1 7 / 0 9 J4 3 4 . Conoco Phillips Bu y I 1 / 2 5 / 0 9 J4 3 5 . National-Oilwell None J T Bu y 0 5 1 2 8 / 0 9 J43 6 NationaI-Oilsvell Bu y i 0 6 / 2 3 / 0 9 J437. Cooper Industries A Dividead J T Bu y 0 3 1 1 9 / 0 9 J4 3 8 . Cooper Industries Bu y I 0 / 0 7 1 0 9 J4 3 9 Cooper Industries Bu y 11/25;094 4 0 . Cooper Industries Sold 1 2 / 2 2 / 0 9{ p a r t )441. Credit Suisse None J T Bu y 05/11/09442. Credit Suisse Bu y 0 9 , 1 7 / 0 9


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FINANCIAL DISCLOSURE REPO RT N .... f P c r s o n R e p o r t i n g D a t e o f R e p o r tPage 30 of 53 ROSS, A L L Y N E a . 0 8 / 0 2 / 2 0 1 0

V I I . 1 NVE STM ENTS and TRUSTS - in ....... lue tr .... rlons (Includes th ,se of sp ....... d dependent children" .~e pp. 34-60 of filing instructio[] N O N E (No reportable income, assets, or transactions.)

:: Description of A s s e t s Income during , Gross value at end : Transact ions during re ining0ncluding l~isl ~cts) ~ repor ting ~r iod ~ of repoSing period, Plzce "(X)" after eact ..... :Amount ~ T~c (e.g., VMue Value ~ T y pe ( e .g . I Date ] Value Gain Identity of~ i C~c div . . rcnk Code 2 Mefl~ ~ buy,xempt from prior disclosure ~mm/&Vyy I C~e 2 C~e I buycrisdlerr ( A -H) or int.) O-P) Code 3 redemption) . ~ (J-P) ] (A-H) (if private(Q- W i t ra~act ion)~3 E xxon Mobi l A Dividend Sold 07/10/09 J A(pan)~4. E x x o n M o b i l Sold 08/19/09 J A~45. ~xxon Mobil Sold IO/01/O9 J A~46. Ben~ s tc in E m cr g ing Mar k c t s P or t tb l io B Dividend M U bu y I~Z08/O9~4 ~. Ha~ford Financial Sc~iccs A Dividend Sold 02/0d/09 J4 4 8 . llar~lbrd Financial Se~ices So ld 08/07/09 J A~9. Gcnwo~h Financial None Sold 07/30.O9 J

I dSO. A m eHpr i s e F inanc ia l A Dividend J T Bu y 10,~6/09 J~51. Ame~dse Financial Bu y 10!30~09d52. Aflac None Bu y 01/09/09 J~5. A t lac Sold 02/02/09~54. Aflac Sold 1/24/09 .1455. Apple Computer None L T Sold 01106/09 J(pa~)456. Apple Computer Sold 01115/09 J(pan)457. Apple Computer Sold 109.Q1/09 J B(pa~)458. Apple Computer

Bu y 11f27/09 J: 459. Danaher Co~. A Dividend K T Bu y 03103/09


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FINANCIAL DISCLOSU RE REPO, I :T n . . , ~ o f ~ e ~ , o , r e p o r , ~ . ~ D . , . o f r ~ p o .Page 31 of 53 R O S S , A L L Y N E R . 0 8 / 0 2 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S -~ .... ~, vatue, tran~acaons(tnctudes,hoseofsp ..... d d e p e n d e n ~ c h l ld t e n ; s e e p p . 3 4 - ~ O o f ~ t i n g i n ~ tr u c t i o n s . )

N O N E (No reportable income, ~sets, or oansactions.)

Dcscr~plion of Assets Income during Gross value at end T r ans ac t ions du r ing r ~ Oing ~ r i~(including tmsl asscl~) repoOing pcrlod of reposing period t ~ . . . . . . . . .. .exempt from prior disclosure [ Code I d i v , , r e n t , C~e 2 Med~od b uy se ll ~ m~td ~iy y ~ C ~e 2 , Co de I buycrl~l!er(A-If) or i~t.) (J-P) Code 3 I ~: redemption), [ ~ (J-PJ ~ (A-H) ~ (ifpriv~tt(Q-W) ....

46 0 , Dznaher Co~. Bu y 05106109 J46 1. Danaher Co~. Bu y 08117! 09 J462. Danaher Co~. Buy 091 04 /0 9 J463. Danahcr Co~. Bu y O9/1 6/0 9 J46 4. Dan~her Co~. Bu y ] 1125109 J465. EMC Co~, None J T Bu y 0 7 1 2 7 1 0 9 J466. EMC Corp. Bu y 09 /04109 J4 67 . EMC Corp, Bu y 09123109 J4 68 . EMC Co~. Bu y ]0/09i09 J469. EMC Co ~. Bu y 1125/09 ~4 7 0 . FEDEX Corp. A Dividend J T Bu y 08106 109 J4 7 1 . Fra nk lin R e so urces A Dividend 1 T Sold 06/03/09 J(pa~)472. Franklin Rs~mrcCs Bu y I 1/05/09 ]473. Fr ank lin Res our ces Bu y l 1/10/09 J4 74 . Fr ank l in Res our ces Bu y 12/02/09 J

~475. Phil ip Mo~is A DivklCnd Sold 01/07/09 J: (paa)4?6. Philip Monis Sold 04/24/09 J(paa)


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FI NANCI AL DISCLOSURE R E PO R T[ r o s s , ~ ,L | , V N E ~ . 0 8 / 0 2 t ~ 0 ~ 0age 32 of 53

V I I . I N V E S T M E N T S a n d T R U S T S - - ~ ......... ~.~. ~ . . .. . . ti o n s ( l n c l u d e s t h o . ~ e o f s p o .... d d e p e n d e n t c h ~ l d r e n ; s e e p p . 3 4 - 6 0 o f f i ll ng t n s t r u c t lo n s . )NONE (No reportable income, ~sets, or transactions.)

Dcscriplion of Assets r Income during ~ Gross value at end T~asaclions d~r ing re~i~g per i(~(including t~st asse~) repos ing ~riod [ ofr~o~ing per iodPlace "iX)" after each asset A m o u m T~e (e.g., Value Value T)~ (e.g., Date Value Gain} Identity ofexempt [?om prior disclosure Code I div ., ren t, Code 2 Me ~o d buy, sell, ] m n~ d~ y y [ C~ c 2 [ Code I buycr/scllcr, (J P) (A-H)

~ (Q-~ ; I r a ~ i s a c t i o n )

~77. Philip Morns Sold 051181091 J A(part)4 7 S . Philip Morns Sold 06 117109 J B(pan~

~ 4 79. Phi l ip Morr is Sold 07/27 /09 J C480. Genentech None Bu y 0 1 / 2 0 1 0 9 J

~ 481. ~encntech "" Bu y 0L 05 /09 J1 482. Genentec~ - Sold ~03/26/09 48 3. Gilead Sciences None K T Sold :02106109 J B(pan)484. Gilead Sciences Buy 03/31109 J

48 5. Gi lead Sciences Sold 0413 0/09 3 A(pan)48 6. Gi lead Sciences Sold 10115 /09 J A< p a a )

487, Gi lead Sciences Bu y 11/25/09 J 48 8. Sanof i Aventis A Dividend Sold 05/29/09 J

489. T JX Co mp a n ie s A Dividend Sold 05 /18 /09 J B4~30. L imi led Brands A Dividend J T Bu y [211~I09491. Viacom N o n e J T B u y 1 2 / 1 8 / 0 9 !492. Schiumberger A Dividend K T Buy 03/31109 J493. Schhtmbcrgcr I Sold I ]/09109

.... l (pa~)


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Name of Person Report ing ] Date of Repor~F I N A N C I A L p a g e 3 3 o f 5 3 D I S C L O S U R E R E P O R T R O S S , A L L Y N E R . I 0 8 ~ 0 2 / 2 0 | 0V 11. INVESTMENTS and TRUSTS - ~ ....... ~ . , , t ......~ o n s (Includes those ofsp ..... d dependent children; seepp. 34-60 offiling instruction~)

~ NONE ~o reportable income, assets, or transactions.).......................................................A. B. : ...... C. T ...................................... D.Description of Asscts Income during Gross ~ alue at end Tunsacl ions during m poRing peri~(including trust assets) rep osing period o f rep osin g pe riod

..... p~ from prior discl ..... I Codc l di ......t, Code 2 Mc~l buy, sell, m~dd>y i C~c2) C~c l ] buycr/scllcri (A-)l) or nt) (}-P) C~c3 r cdcm pz ion) , [ (J-P) l (A-ID [ (ilprivalc

494. l h~c Wamcr A Div id~ ) d K T Bu y ~ 03/03,/09 J495. Time Warncr Cable Bu y ~04/17/09

496. Time Wa~er Cablc None K T Bu y 04:09/09497. Time Wan~er Cable Bn y 04/I 7/09 J49~. Time Wa~er Cablc Bu y 05./01:09 J

499. Time Wan~er Cabl~ Sold 09/09/09 J A500, Time Wa~cr Cab)e Buy 11~25/09501, Eme)son Electric A D iv idend Buy 02/11/09502. Emtrson Electric Bu y 04/01/09 J503, E~n e rs o n E l e c t ri c Sold 06/01/09 J504. Emerson Electric Sold 08/05/09

505 Emerson Electric Sold 08/19/09 J A (pan)506, Emersnn Electric So ld 09/16/09 J A(par t)507. Emerson Electric So ld 10~2~09 J A508. Cisco Systems None J T Sold 05126/09 J

(pan)509. Cisco Systems Sold 07/011~ J(pa~)510. Cisco Systems Bu y 08/04/09 J


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FINANCIAL Iame of Pcraon Report ing Date of R~portI S CL O S URE R E P O R T] ROSS, ALLYNE R.

08/02/2010age 34 of 53

VII. IN VESTMENTS and TRUSTS - into ..... t.,, t ......ion$ (Includes those alsO) ....... d dependent children; see pp. 34 -60 of filing instructions.)N O N E (No rq~ortable income, assets, or transactions.)

Dcsc~pden of A ssets [ Income during Gross value at end ~ TransaOions during ~p orting periled0ncl~ding t~, ~sct~~ ) [-s ir~ ni_n~ ~r i~ _.__ of repor ting per iod

exempt fn ,mpriotdisc losure ~ C~e I div . , r em . Code2 I M cmo a buy. sell, Im m d ~ y y I c~e2 I Code I buyer/seller~ ( A-n ) orinl.) (J-P) [ ~e3 r edem pt ion) "1 ;

51 I. Cisco Systems Bu y 09/22/09 J[512, C~ s co Sy s tem s Bu y I]/05/O9 J

[513. Cisco Systems Sold 1 1 1 / 2 3 / 0 9 J(pan)~1,1. General Electric A Dividend K T Sold 01/07/09 J

(paa)~ 515. General Electric Bu y ~ 10/16/09 J516. Genera! Electric Bu y 11/17/09 J

517. General Electric Bu y 11/25/09518. The Travelers Cos. A Dividend J T Sold 03/23/09 J

(pa~)5 1 ~ L Thel ravelers Uo~ Sold 06/23/09 J520. AT&T B Dividend K T Bu y 06/22/09 J52 I. AT&T Bu y 06/24/09 J522. AT&T Bu y 08/06/09 J,,3. AT&T Bu y 08/13/09 J52 4 AT&T Sold I 1/05/09 J(pa~)525. AT&T Bu y 12/18/09

526. BB&T Co~. None J T Bu y 09;17/09~527. BS&T ~o~. Bu y 109/22/09


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F IN A N C I A L D I S C LO S U R E R E P O R T ] N ~ . . . . ~ , ~ s o ~ p o . l , gPage 35 of 53I R O S S , A L L Y N E R . !

08/02/2010

VI I. INVESTM ENTS and TRUSTS - ~ .... o . v ~ t ~ , , ~ . . . . . , i , ,. ~ , a . ~ t ~ d ~ , h o ~ . o ~ . . .. . a ~ , . a . . ~ ~ i t ~ r . . ;NONE ~Vo reportable income, assets, or transactions.)-~ ........ ~ .... i ~ . " . . . . . . ~ .... ~ ........... 6~ ...............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 a r in g ~ Gross value at end [ T~n~ctions during r~oaing peri~( i n c l u d i n g I r u s t a s s e t s ) ~ e p o ~ i n g p c r i ~ l o f r e p o n i n g p e f o d

Place "(X)" afl ..... h .... I A . . . . . . . t Type(e.g., ] Value I Value T>~{e.g.. [ Date ]Value [ Gain I Id~mliuofc x c m p l f r o m p ~ o r d ~ s c l o s u ~ c [ C~ I [ d i v . , r c n t , / C o d e 2 [ Me~od ~ buy, sel l, [mnffd& ~, [ C~e 2 [ Code I ] b u y e r ! s e l l e r[ ~ A - I I I o r i n t . } : J - P ) C~e3 ~ redc~ptlo~) , (JP) [A-II) (lprvac

528. Lockheed Martin A Dividend Sold ~/20/09 J(pan)5 2 9 . Lockheed Martin Sold 07/01/09 J A

~ 5 3 0 . Cimarex Energy A Dividend J T Bu y 07/27/09 J~~.Cimarcx Energy Bu y 11/30/09 J. ,. Activision Blizzard Inc. No~c Sold 02/18/09 J5 3 3 . Constellation Brands None J T Bu y 08/17/09 J5 3 4 . Consellation Brands Bu y 11/25/09 J5 3 5 . Black & Decker A Dividend J T Sold 01/16/09 J

., . {pan)5 3 6 . Black & Decker Buy :09/04/095 3 7 . Black & Decker Sold 1 2 / 2 9 1 0 9 Jlpan)538. CBS A Dividend J T Bu y 03/03/09 J539. (BS Sold 0 8 / 1 2 " 0 9(pan)540. CBS Sold 10/16/09 J(part)

54 1. CBS Sokl 11/10/09 J(pa~)5 4 2 . Coon-Cola A Dividend Buy 01/23/095 4 3 . Cl>ca Cola Sold 05/01/09 J(pan)5 4 4 . Coca-Cola Sold 05/I 1/09 J

I (pan)


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FINANCIAL DISCLOSURE REPO ~T ~ ..... [ P .....I~epogting [}ale of Repot |Page 36 of 53 R o s s , A I J , V N r , R . 0 8 / 0 2 , 2 0 t 0

V I I. I N V E S T M E N T S a n d TRUSTS - i ........ tu~, rr ..... ao,,s (Includes those of sp ....... d dependent children; seepp. 34-60 of liHng invtructions.)N O N E ( N o reportable income, assets, or transactions.)

A B. C. [ D.De~riptioa of Asse~s Income during ~ Gros~ value at end I Transactions dufng reporting pcri~0n~luding trust assets) repo~ng peri~ of reposing periodPiacc*(X)" aft ..... ..... Amount Ty~ (e.g., . V~lue : Value T y pe ( cg . , Date [ Valtiecxcmp~ from p6or d isclosure C~e 1 div.,rcnt, i Code2 ~ Method: buy. sell, mn~d~yy ~ C~e 2~a-~t) : orim.) ~ (I-P) [ Code3 i redemption~ .1 (J-P)

................... ~ ................... ~ ...... ~5~5. Coca-Cola Sold ~ 09,q 6/09 ~ A546 Dean Foods None J T Bu y 10/02.t09 J547. Atccl~ittal A Div id e n d ~ T Bu y 05/29/09 J54~. A tcc lonm t~ a l Bu y 08105/09 J549. Am~nn.com None J T Bu y 05119/09 J550. Amazon.corn Sold J A(paa)551. Bank of New Yo~k Mellon A Dividend J T Bu y 04/17/~ J552. Nokia A Dividend J T bu y 01/22109 J553. Nokia Bu y 01/27;09 J554. Nokia Bu y 02/06/09555 Nokia Bu y 02/I 0/09 J556. N~kia Bu y 02/I t/09 J557. Nokia Bu y 02/24/09 J558. Nokia Sold 04109/09 J

(part)559. Nokia Sold 04 ,22/09(pa~tl560. No kia

Sold ~06/26/09 J(pan)561. No kia Bu y I 1/25,"09 J


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F I N A N C I A L D I SC L O S U R E R E P O R T ! N a m e o f P .. . . . R e p o r t i n g D a t e o f R e p o r tPage 37 of 53 a o s s , A L L Y N E a . 0 8 / 0 2 / 2 0 1 oV I I . I N V E S T M E N T S a n d T R U S T S - i .......... i,~, t ....... tions ( Include~ those of sp ....... d dependent children; seepp. 34 ~0 of filing inxtructian.,:)

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

~ D e s c f p t i o n o f A ~ 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 Transactions duri~g re~ing~ ( i n c l u d i n g t ~ s t a s s c t s ~ ~ t p t , r t i n g p c t i ~ o f t c p o a i n g p e r i o dt~ P l a c e " ( X ) " a f t e r e a c h a s s e t A m c ,u ~ T y p e . ( c . g . , V a la e V a lu e T ~ p c . ( e g . , ] Date V a lu e ( a n I d e n t i t y o fc x c m p l f l o r a p r i o r d i s c l o s u r e C o d e 1 dii.,rent, C o d e 2 Mcth~ b u y . s e l l , m~.d~yy C o d e 2 C o d e I buyerlseller( A - H ) o r in t . ) O - P ) C o d e 3 redemption) , ( J - P ) ~ ( A - I t ) ( i f p r i v ~ t c( Q - W ) ;: I r a n s a c t i o n )

5 6 2 . No~hrop G~mman A Dividend J T Buy :03/25/09 J5 6 3 . Noahrop Gmmman Bu y 06/30/09 J5 6 4 . NoahropG~mman Bu y 08!18/09 J5 6 5 . Northrop Grumman Bu y 08/24/09 J5 6 6 . P~zer B Dividend K T Buy 0 6 1 3 0 / 0 9 J5 6 7 . Pfizer Sold 1 0 ] 1 5 / 0 9(pa~)

5 6 8 . Pfizer Bu y I 1~5!09 J5 6 9 . Verizon A Dividend Sold 04/29/09 J5 7 0 . Charles Schwab A Dividend Sold 07/15/09 J A5 7 1 . Fluor A Dividend Bu y 01~8/09 J

5 7 2 . Fluor Sold 03~0,095 7 3 Kohls None K T Bu y 01/21/09 J5 7 4 . Kohls Buy 06/08/09 J5 7 5 . Kohls Buy 06/25/09 J

5 7 6 . Kohls Sold 1 0 1 1 5 , 0 95 7 7 . Monsanto A Dividend Sold 01/07,09 J5 7 8 . Monsanto Sold 02/06/09 J A(pan)


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FI N A N C I A L D I S C L O S U R E R E PO [ tT s ....n .... R e p o , ~ . g ] ~ , a t , o ~ R e p ~ , ~Page 3 8 of 53 ROSS. A L L Y N E R . ] 0 8 / 0 2 / 2 0 1 0VII. INVE STMENTS and T RUSTS -- ~ ........ t ~ , t . .. .. .. n o ~ o ~ t .a ~ - ~ , o s e o / , p . .. .. . a a ~ a ~ . t , , h ~ t a , . ~ ; ~ , , p p . ~ 4 - 6 o o / ~ t i , , ~ . ~ , , , t . . . ~ , , . . ~ . )~ NONE (No reportable income, assets, or ~ansactions.)

....... ~ .... B . C . l ) " .......D c s c r i p t i o n e 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 c e / i o n s d u r i n g r c ~ ) n i ~ g p e r i o d(including t~st ~scts) ~ mpoaiag per i~ [ o f r e p o s i n g p e r i o d [P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u m I T)~e (e.g., " V~uc V a lu e Ty~ (e g, D a t e Va ue Ga I d e n t i t y o f

(A-H) ~ o r i n ~ . ) [ ( J - P } C o d e 3 ~ r c d ~ m p o n ) "! { J - P ) tA - r ~ ) (ifptivale.............. { Q - W ) [ :: t r a n s a c t / o n

5 7 9 . Monsanto Sold 04/24/09 J B(paa)5 8 0 . Monsanto Sold 1 0 5 1 2 R , " 0 9 J B(pan)5 8 1 . Monsanto Sold 06/04i09 J B(part)5 8 2 . Monsanto Sold ~/26/09 J B(pan)5 8 3 . Monsanto Sold 07/23/09 J B(part)5 8 4 . Monsanto Sold 08/07/09 J A(pa~)

~ 5 8 5 . Monsanto Sold 0g!24/09 .I A5 8 6 . Nvidia None Sold 03/25/09 J( p a r t )587 Nvidia Sold 0 5 / 0 U 0 9 J A5 9 8 . Garmin Ltd. A Dividend J T Bu y I l 1 / 1 3 / 0 9 J5 8 9 . Garmin Ltd. Bu y 1 2 / 0 2 / 0 9 J5 9 0 . Iluntsrnan C o r p . A Dividend J T Buy i 1 2 / 0 7 / 0 9 J5 9 1 . Valero Energy Corp. A Dividend K T Bu y i 0 7 ! 2 8 : 0 9 J5 9 2 . Valcro Energy Corp. P , u y 0 , q ! 0 6 , 0 9 J

5 ! ) 3 . Valero Energy Corp. Bu y 08/25/09 J5 9 4 . Valcro Energy Corp. Bu y 1 1 1 2 5 / 0 9 J5 9 5 . United TechnoIogies A Dividend Buy 09/t4 /09 J


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FINANCIAL DISCLOSURE R E PO R T N a m e o f P e r s o n R e p o r lJ n l ~ ] D a te o f R epo r tIROSS, ALLY~.E R . 08/02/2010age 39 of 53V I I . IN V E S T M E N T S a n d T R U S T S - i .......... lu,, , . . . . . . . t i~ n . ~ (~ c h ~ e s h ~ s e ~ f ~ p ~ u s e ~ n d d e p ~ n d e n t c h i ~ d r e n ~ s ~ e p p . 3 4 - 6 0 ~ f ~ i ng i n s ~ u c t i ~ ns . )

NONE (No reportable income, a.~.~ets, or ~ansactions.)n. c. ! ........... ~ ..........................D e s c r i p t io n o f A ~ s c t s In )m~ during G r o s s v a l u e a l c o d Tmnsaclio~ during r~oaing ~riodl i n c l u d i n g I ~ s t a s s e t s ) r c ~ .g ~ ng p e r i o d o f re p os i n g p e r i o d

Place "IX)" a~r each ~sscl Amounl Ty~ (e g., Value Valbc lype (eg, Date [ Value Gain Idcntilv ofe x e m p t f r o m p r i o r d i s c l o s u r e C o d e d i v . . re ~ , C e d e 2 Me~od b u y , ~ 1 1 , m~d~yy [ Code 2 C~ I b u y e r , s e l ] e r(A-I[) or i~l) ( J - P ) C o d e 3 ~ redemplion) . ( J . p ) ( A - H ) ( i f p r i v a t e( Q - W ) I [5 9 6 . U~ited Tcc hnulogies Bu y ~ 1 0 / 0 2 / 0 9 J5 9 7 . United Technologies Sold JI/18/09 J A

~ 9 8 . Allstale Co~. A Dividend Bu y 0 2 / 1 0 1 0 95 9 9 . AIIslate Co~. Sold 05/04/09 J6 0 0 . Allsta~e Co~. S~ld 0 5 / 2 2 ~ 0 9 J(pan)601. All~ta~e Co~. Sold 11/12/09 J(puff)

6 0 2 . Allstale Co~. Sold 1 2 / 1 1 / 0 9 J A6 U 3 . Autoliv Inc. A Dividend Buy 03/03/09 J6 0 4 . A u ~ o l i v I n c . Sold 05/01/09 J(pa~)605. Autoliv Inc. SoId 07/20 /09 J B6(6 Ca~e~il]ar Inc. A Dividend J T Sold 1 0 3 , " 0 M 0 9 J(pan)6 0 7 . Cate~illar Inc. Bu y 05/27/09 J6 0 8 . Calerpil~az Inc. Buy 07/16/09 J6 0 9 . Cale~i]la~ Inc. Sold I0/23/09 J B(pan)610. Cate~illar Inc. Sold 1 / 1 3 / 0 9 J A611. Covidicn Lid. None J T Bu y 12/03/09612. Deutsche Bank A Dividend J T Buy 03/05/09


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I o.,, IP a g c F I N A N C I A L 4 0 o f 5 3 D I S C L O S U R E R E P O R T R o s s , A U , ~ E n . 08/0~:0r a,po~V I I . I N V E S T M E N T S a n d TRUSTS - i . , , . . . . . . . t .~ . t ....... tlons (Includes ~hose ,~ro .... d del,~.dent chitd.,n: see pp. 34-60 offillng i ....... "tions.)

NONE (No rcportab& 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 ~ 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 ~ r i o d [( i n c l u d i n g I~lsl assets) reposing ~ri~ o f ~ c p o ~ i n g p e r i o d

I~ P l a c e " ( X ) " a f t e r e a c h a s s c l . A m o a n l ] T y ~ - ( e . g ., V a lu e V a lu e Type (e.g., [ D a e Val~e Gain l d e n l i l y o f (A-tt) [ orint.) ; U - P ) Code3 redcmptio,~) -~ ~ ( J - P )................... ~ ....... .....~ . . . . . . . . . .~ ~*~" .......... ......... ! ~. ,~v~,,o~, "

6 1 3 . Deutsche Bank Sold 04/08/09 J( p a n )6 1 4 . D e u t s c h e R ~ n k B u y 0 5 Y 1 5 / 0 96 1 5 . N e t a p I n c . N o n e B u y 0 4 / 2 3 , 0 9 J6 1 6 . N e a p h , c S o l d 0 5 / 2 8 , 0 0 J A6 1 7 . N u c o t C o ~ . A D i v i d e n d B u y 0 5 / 0 1 / 0 96 1 8 . N u c o r C o ~ . S o l d 0 9 / 1 1 / 0 9 : J A

6 1 9 . Ingersoll-Rand A Dividend K T Bu y 06.124,091 J~ o Ingersoll-Rand Buy 06!10/09f i 2 1 . [ngcmoll Rand Bu y 07/21/09 J6 2 2 . Ingersoll-Rand Bu y 10/23/09

6 2 3 . Ingersoll-Rand Bu y I 1 / 2 5 . ~ 0 9 J6 2 4 . Nexcn Inc. A Dividend 3 T Bu y 0 6 ~ 0 2 . ~ 0 9 J6 2 5 . Nexcn Inc. Buy 08/27/09 J

: i : 6 2 6 . Macys Inc A Dividend J T Sold 05/14/09 J~ 6 2 7 . Macys Inc. Bu y 0 6 / 2 3 ~ 0 9 J: 6 2 8 . Masco Co~. A Dividend J T Buy 06/03/09 J

6 2 9 . NVR Inc. None ~ T Buy 07/06/09 J


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FINANCIAL DISCLOSURE IN,mef P e r s o n R e p o r t in g I D a t e 0 1 " R e p o r tEPORT [ ROSS, ALLYNE R . 08/02/2010age 41 o f 53V I I . I N V E S T M E N T S a n d T R U S T S _ i,,~ ...... ,a,,.,, ..... ao.s (includes ,h .... Cs1 ) ....... d aependent children; xeepp. 34.60of filing h,struction$O


D c s c r i p l i o a o f A s s e t s l n c t m e d u r i n g G r o s s v a l u e a ~ e n d i 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

P l a c e " ( X ) " a f t e r e a c h a s s e t Amount Type le.g, : V a h * c V a l u e T y p e ( e . g .. i Da~c I Value ,, Gain I d c n t i ) .y o fe x c m p l f r o m p r i o r d i s c l o s u re C i v i c I : di,., tent. , ( : o d e 2 M c l h o d b u y , s e l ! , I m m / d d ly y l C o d e 2~ A - H ) :l or int.~ ~! ( J - P ) Code3 r c d c m p t i ~ i ~ " i [ I J -PI IA .- I I)[ ................ [ (Q-W)630. NVR Inc. Buy 08,24/09 J

Bu ~ 08/25/09 J6 3 2 . Office Depot None J T Bu y 1 { ) / 0 2 / 0 9 J6 33 . O ff ic e De po t Bu y 1 1 / 2 5 / 0 9 J

6 3 4 . P e p c o I n c . A Dividend J T Bu y 11/25/09 J635. Pulte tlomes None J T Buy 09/18/09 J6 3 6 . Morgan Stanley A Dividend J T Sold 02/09/09 J(part)6 3 7 . Morgan S~anley Sold 0 3 / 2 4 . / 0 9 1 J(part)6 3 8 . Morgan Stanley Sold 04/13/09 J(part)639. Morgan Slanley Sold 06/23/09 J

~ p a r t )6 4 0. M r )t ~ g an S ta n l e y Bu y !10/20/09 J6 41 M ~ _ ~ r g an S ta nl e y Bu y 1 1 / 2 5 / ( 3 9 J6 4 2 . RR1 Energy None J q t . ~ u y 06/24/09

6 4 3 . Srr)ilhfield Foods None J T Bu y 06/29!09 J6 4 4 . SPX Corp. A Dividend J T Bu y 06/24/09 J6 4 5 . SPX Corp. Bu y I 1 2 5 / 0 9 J

6 4 6 . Steel Dynamics None J T Bu y 11/25/09 ! J


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F I N A N C I A L D I SC L O S U R E R E P O R T Name of P .... Reporting [ Date o f Repor~Page 42 of 53 R O S S , A L L Y N E R .

[ 0 8 / 0 2 / 2 0 1 0


Description ot As~c~s Income during Gross value at end Transactions during reposing ~riod_(includingl~sl assets) repoai=~gFeriod

~ofrcpoaing period

Ptzcc "(X)" a~cr each assc~ r T~ge (.g,, Value Value T)~ (e.g.. D~le Value Gain Identity ofexempt from pr or d sc o~ure C~e I div., rent. ~ Code 2 Me~ buy, sell, ~m~d&yy C~c 2 Code I buyer~scllerI (A-If) [ or int.) (J -P) C~e 3 redemption) ., ,( Q - W )

647, Royal Dulch Shell A Dividend ] Sold ~/29/09 J(paa)

648. Royal Dutch Shell Sold 07/13/09 J649 Symantec N o n e K T Bu y 02~24/09 J

~ 650. Sytnamec Bu y 03/13/09 J651. Symantec Bu y 03[I 9/09 J

~652. Bu y : 1127/09 JSymantec

[~53. Symantec Bu y 12J01/09 J654. Unum G r oup A Div idend J T Bu y 04J30/09 J655. P acca r I nc . None Bu y ~/2~09 J656. P acca r I nc . Sold 05/08/09 J A6 57 . P e t~ A c o B ~ a s~ lc i ro A Dividend Bu y 05~29/09 J6 58 . P e tr o le o B ~ a si le i ro Sold 1/25J09 J A659 Bris tol Myers Squibb A Dividend Sold 07/22,09 J A660. T y cn E lec t ron ic s A Divided K T ~uy 04/30/09 J661. T y co E lec t ron ic s Bu y ~06~25/09 J662. Tyco Eleclrenics

Bu y 08/25/09~663 Bu y 1/I 7/09 Jlec tronics


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FINANCIAL DISCLOSURE REPO RT r ~ l , . e o f P . . .. . a . p o , ~ i . gPage 43 of 53 ROSS, A L L Y N E R . 0 8 / 0 2 / 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 - ~.~o~, ,,.t.~. , ...... ao., t.t.a.~ ,~o.,~ oyw ...... d dependent children; see pp. 34- 60of fitlng instruction.~)N O N E ~ V o reportable income, assets, o~ transactions.)

Description of A~ets I ncom e ~ r ing Grt~ss value at end Transac tions during reporting ~riod0~luding t~st assets) re po ta in g p erio d ~f rc po Oin g p erio dPI,ce"(X)"a~cre~ch~gcl Amount Type(eg., Value Valt,e T~{e.g.. ] D, le Value ] Gain Ident, lyofexempl from priortliscloxure Code I ~ div.. rent. Code 2 Mctht~ buy. sell. ~mm/dff~" C~e 2 Code 1 buycr.tsellcr(A-H~ ~ ~r int.~ (J -P) Code 3 redempl~n) , , (J-P) (A-I t ) (ifpfvate

.................. ( Q - W ) ~ lr~nsaction ~664. Tyco Electronics Bo y I1125/09 J665. Vodafone A Dividend J T Bu y 05/~!09 J666. Abbott ~boratories A Dividend Sold ~/08/09 J(pan)667. Abbott ~boratories Sold ~116/09 J(pan)668. Abbott Laborator ies Sold ~/28/09 J669. Abbott Laborator ies Sold 05/20109 J A670. A ir P r oduc~ s & Ch em ica l s A Dividend K T Bu y 10119/09 J671. Air Produc~ & Chemicals Bu y 10/20/09 J672. Air Products & Chemicols Bu y 11/10,09 J673. Air Products & Chemicals Bu y I I125/09 J67 4 Cameron International None J T Bu y 03131/09 J675. Celgene None J T Snld 01,07/09 J

(pa~)676. Ce[gene Sold 08/05]09 J

(pan)677. Celgene Sold 10/28/09(pan)6 7 8 . Colgate-Palmolive A Dividend B u y 101/09/09 J679. Colgate-Palmolive Sold 04/08/09(pa~)6S0. Colgate-Palmolive Sold 04/16/09 J(pan)


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F IN A N C IA L D ISC L O SU R E REPORT 1 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 r R e p o r tPag e 4 4 o f 53] ROSS, ALLYNE R. I

08/02!2010

V I I . I N V E S T M E N T S a n d T R U S T S - i ~ o , ~ . , . .n l . e , , .. . .. .. a o . . ~ 1 1 n c l u d e s t h a s e o f s p ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 34-60 of filing instructions.)NONE ~o repartab& income, assets, or transactions.)............ ~ ..... F ". - - ~ ........ 0. " ........~scription of Assets ~ 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~nsactions during reining period(including t~t assets) , r e p o s i n g p e r i t ~ ~ o f r e p o a i n g p e r i o d

[ l a c e " { X ) " a f t e r e a c h a s s e t I A m o u o t T y p e ( e . g , V a l u e [ V a l u e T)~ (e.g, ] Date . Value / Gait~ I d e n t i t y o fe x e m p t tr o m p n o r d ~ s c l o g u r e C o d e I d t v . , r e n t , C o d e 2 I Mcfl~l b u y , ~ l , mn~d~,yy r C~e 2 ~ Code ~uvc~lier

6S1. Colgate-Palmolive Sold 05/05/09 J(pan)6 8 2 . Colgate-Palmolive Sold 1 1 / 0 9 / 0 9 J A6 8 3 . Deere A Dividend Sold 03/~/09 J6 8 4 . EOG Res. A Dividend Buy 01/09/09 J6 8 5 . EOG Res. Bu y 02/04/09 J6 8 6 . EOG Res. Ru y 0 3 / 3 1 / I ) 9 J6 8 7 . EOG Res. Sold 1 0 5 / 0 1 / 0 9 J(pan)6gg. EOG Res. Sold 06/25/09 J(pan)6 8 9 . EOG Res. Sold 0 7 / 0 9 , 0 9 J A(pa~)6 9 0 . EOG Res. Sold 07/13/09 J(pan)69L E OG R es. Sold 08/04/09 J A(pan)6 9 2 EOG Rca Sold 0 8 , 2 0 / 0 9 J A( p a r t )6 9 3 . E O G R c s Sold 1 0 ~ 2 9 ~ 0 9 J A(pan)6 9 4 . EOG Rcs . Sold 1 1 / 1 6 / 0 9 .I A6 9 5 . US Banco~ A Dividend J T Bny 05/19/09 J

6 9 6 . US l~ancorpBu y 05,2b09 J

697 US Banco~ Bu y 09/18/09 J


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FINANCIAL DISCLOSURE REPO RT N .... fP .....Reporting D a , t o fR e po r tPage 45 of 53 R o s s , A L L Y N E R . 0 8 1 0 2 1 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 ....... t.e, t ....... ~on., (lncludes those of sp ........ d dependent children; ,ee pp. 34-60 oZfiling instructions.)NONE (,~% reportable income, assets, or ~ansactions.)

I)c~cnptlon of Assets ~ Income during ~ Gross value at end T~nsactions during reporting(including t~st assets) r~o~ing period of r~o~ing periodPlacc"(X)" after each asse t A m o u m T~c (c.g. Va!u Value Z~c (cg., Date Value ~ Gain ldzntity~ exem pt from prio r d isc losure Code I div.,rct~t, ~ Code ~ Mefl~ ~ buy, sell, mn#d$yy Ct~2 i Code I buyer[seller(A-HI e~ int.} [ (J-P) Code 3 r c d c mp t io n ~ . j (J-P) (A-H) (if private~ (Q- W ) , transaction}

698 US Banco~ Sold ] 1/13/09 J A (pall)699. W el l s Fa rgo A Div idend K T Bu y 05/08z09 J700. W el l s Fa r go

Bu y 12/14/09 J701. W el l s Fa rgo Bu y 12/17/09 J702. Honeywell International A Div id e n d Bu y 07128109 J703. l toney~ll International Sold 05101L09 J A704. Jacobs Engineering None Bu y 01/09/09 J70~ J acobs E nginee r ing Bu y 03/03!09 J706. Jacobs Engineering Sold 03108/09 J

(pan)707. Jacobs Engme~nng Sold 07,"01/09 J A70~. W es te rn Dig i tal None J T Sold 02!28/09 J(pa~)709. Weste~ Digital Sold I~0/09 J B71 0 Baxter International A Dividend J T Sold 01/15/09 J7 1 I. ~axter International Bu y 03/31/09 J712. B:txter International Sold [ 06/17/09 J(pa~713 [~axter International

Sold 09/09/09 J(pan)?1,1. Ba~t~r [ntem3fional Buy 12~22/09 J


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F IN A N C IA L D ISC LO SU R E R EP O R T ! r ~ , ~ e o r | e , ~ o . R e p o ~ i . ~ Date of Repor! IPage 46 of 53 a o s s , A L L Y N E ~ 0 8 / 0 2 1 2 0 1 0V I I . 1 N V E S T M E N T S a n d T R U S T S - i ........ ~,,,. t ..... c6ons ancludex tho;e of sp ...... d dependent children; seepp. 34-60 of filing ins~uctions.)

N O N E (No reportable income, assets, or transactions.).... ~. ................ ~. ....... ~ ......... ~ . -- ........ ~ ........ D ~ ..................Description of Assets Income during Gross value at e~d ~i (including ta,st assets) [ repoaing peri(~ often, meg period ~ Transactions during r~orting peri,~d

P l a c e " ( X ) " a f t e r e a c h a s s c l ~ A m o , , n I T~c (e g VMue Value I T~ (e.g.. I d e m l t y o fate { Value Gain~ c ~ c m p ~ f r o m p n t ~ r d i s c l o s u r e C~ I d i v . , r e n t , Code 2 Melh{~ ~ ~ y , s e l l , n u ~ d ~ y ) ~ C ~ e 2 I C o d e I ; b u y c r / s e l l e r ~~ ( A - H ) t ~ r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) - ( J - P ) (A-Hi:~ ( i f p r i ~ a ~ c~ .... ~ [ ( Q - W ) Ira~act ion)7t5. Baxter lnter t~adonal Bu y 12/28/09 J716. Textron A Div idend J T Sold 02/05109 J(paa)717. Textron Buy 07127/09 J718. Motorola None 3 T gold 08/04/09 J(pan)719. T oy ota None Buy O5,01/09 ~ J720. T oy ota Sold O9~2Z09 J A721. Devon E ne r gy A Div id e n d K T Bu y 02/03/09 J722. Devon E ne r gy Bu y 02/17109 J723. D e v o n E n e r gy Bu y 03/13/09 J724. D e v o n E n e r gy Bu y 03/27/09 J ~725. Dcvor~ Energy Sold 05,t29/09 J

(pa~)726. D e v o n E n e r gy Bu y 07116/09 J727. Devon E ne r gy

728. De, -on E ne r gy Bu y 1 I123/09 J729. D e v o n E n e r ev~" Bu y I 1/25109 J

730. Scherin~-Plough A Dividend Bu y 03/23/09 J731. Sch~nng-Plongh Sold 1114~09 I A

t . t : . . t . , , , , . , : ~ a . r ~ C t . , i c s : , ~ . = $ 1 . t N x , . r I c ~ . s t . t = $ ~ . t " ) l - $ 2 . 5 0 0 = $ 2 . 5 0 1 - S S . o c , ~ b =i5.00t - ~ i~.000 E = $ ~ } . 0 o r - S ~ 0 . O 0 0


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FINANCIAL DISCLOS U RE REPOR T r ~ m e o f ~ . ~ o , a e p o . i ~ u , t e o~ R e p o .Page 47 of 53 R O S S , A L L Y N E R . 0 8 / 0 2 / 2 0 1 0VII. INVESTMENTS and TRUSTS - i . . . e , value, transactions (Includes those of spo ...... d dependent children: seepp. 3,1-60 of.tiling ~nstructions

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 ~ t s I n c o m e d u r i ng G r o ~ s v a l u e a t e n d / T r a n s a c l i n n s d u r i n g r c p o n i n o p e r i o d (including l~sl assets) rc~ning ~riod o f r e p o ~ i n , ~ p e r i o d

(2 ~ (l) (2) (I) (~) (3) ~ [ (5 )P l a c e " ( X ) " a f t e r ~ c h ~ s ~ c t A m o u n t T y p e ~ e . g . , Value V a lu e Ty~ (c g., D a t e Value Gain f I d e n t k y o f e x e m p t I ? o t u p r i o r d i s c l o s u re ~ C o d e I d i e , , r e n t , U o d e 2 M e t h o d ~ buy, sell, m~d~/yy [ C~c 2 C o d e I [ b u y e r / s e l l e r( A - H ) o r i n t . ) ( / - P ~ C o d e 3 r e d c m p f i o n ~ , ( J - p ) ~ ( A - e l ) [ ( i f p r i v a t e(Q~O ~ ~ r a n s a c l i o n )7 3 2 , F~eeporl McMorau Copper A Dividend J T Bny 05/0U09 J

: 7 3 3 . Freeport McMoran Copper Bu y 05/05/09 J7 3 4 . Freeport McMoran Copper Bu y 0 7 / 1 0 1 0 f f7 3 5 . Freeport McMora~ Copper Bu y 08/05i09 J7 3 6 . Freeport McMoran Copper Sold 1 0 / 2 6 / 0 9 J B(pan)7 3 7 . Fidelity National None Sold 11/24/09 J7 3 8 . Prudential Financial None Bu y 0 3 / 0 3 ~ 0 9 J7 3 9 . Prudential Financial Sold 05/26/09 J C7 4 0 Patdenlial Financial Sold 06/19/09, J B

7 4 1 , Regions FinancialCo~. A Dividend Bu y 05~0/097 4 2 . Regions Financial Co~. Sold 1 2 1 1 8 / 0 9 J A7 4 3 . Becton Dickinson A Dividend Sold 01/15/09 J~ (pa~)

7 4 4 . Becton Dickinson Buy 031311~ J7 4 5 . Becton Dickinson Sold 05/01/097 4 6 . Becton Dickinson Sold 05/05/09 J7 4 7 . Union Pacific A D vidend Buy 05/01/09 J748. Union Pacific Bu y 08/12/09


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Name of Per~0nFINANCIALpage 48 of 53 D IS C L O S U R E R E P O R T R O S S , A L L Y N E R . OateofRepor108!02/20

VII. 1 N V E S T M E N T S a n d TR U S T S - - i . . . . ~ . , . , ~ , . , . . . . . . . tio.~ a.~.~, ,no ~. o~ . . . . . .NONE (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e ~ :: Income during G r o 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 n n g r e p n ~ i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h ~ s c Amount T v~ (e .g. , Value ~ ~ a l u Tyw (e.g., D a t ec x c m p l h t + m p r i o r d is c l o s u r e ~ Code I { di~.,rcnl, C o d e 2 ~ M e h h o d b u y , m e l l , m m , d 4~ y y ~ C o d e 2 C o d e I b u y e r i s c l l e r (A-H) ~ or inL) ( J - P ) : C o d e 3 r e d e m p t i o n ) , . ( J . P ) ( A - I I ) 0fprwnte~ a n s a c f i o n }749. Union Pacific Sold 1 1 / 0 4 ] 0 9 J A"/50. Union Pacific Sold 1 2 1 0 3 1 0 9 J A75 I. Wyeth

A Dividend Sold 0 4 1 0 9 / 0 9 J A752. Dominion Resources None Sold 0 1 / 0 7 1 0 9 J A?53. E~stmar} Chemical A Dividend Sold l 1/02/09 J B See Pa~ VIII754. Nike A Dividend Sold 08/27t09 J755. General Mills A Dividend J T Bny 0alIl/09 J? 5 6 . General Mills Sold 05/06t09(pa~)7 5 7 W alt Disney A Dividend J T Buy 01/21/09 J

7 5 8 . W alt Disney Buy 0 2 / 2 3 Y 0 9 J7 5 9 . W alt Disney Sold 05/19/09 J A(paa)760 W a h D isne y Sold 07/17/09 J A(pan)7 6 1 . Walt Disney Sold 0 8 1 0 3 1 0 9 J A

7 # ~ 2 . Molson Coors A Dividend Sold 05/05/09 J7 6 3 . News (o~. A Dividend K T } ~ u y 0 2 / 0 5 1 0 9 J7 6 4 . News Co~. Bu y 01!12/09 J? 6 5 News Co~. Bu y 04/20/09 J


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FINANCIAL DISCLOSURE REPORT n ~ , .e o f P ..... R e p o r t in g D a , e o f R e p o r tP a g e 4 9 o f 5 3 a o s s . A L L Y N E R . 0 8 / 0 2 / 2 0 1 0

NONE ~ r~Tortable i,come, ~sets, or transactions.)Description of Assets Income during . Gross value al end [ T~nsactions during repoOing period(including trust assets) reporting ~r od ol reporting period ~

Place "(X)" after cach asset . Value "1") ,~ (eg, Gain Identity oF[(A~ or inL) Code 3 redemptiof i) - (J-P) ] (A-It) , (ifprivalc ~..... ~ ~ ~ (Q-W) ] i _ j ...... ~nsaction)766, News Co~. Buy 06/30/09 J

767 News Co~. Sold 04/21,"09 J A(pan)768. Charles Schwab Bank

A Interes t Closed 11/25/09 J769. A nh eus e r Bus ch A Dividend J T Bu y ~ I 1/I 1/09 J770. A ulo Da~ P r oces s ing A Dividend Sold I 1/24/09 J A771. A von A Dividend Sold 11/24/09 J A772. Br oad~ dge Financ ia l So lu t iong A Dividend J T Sold 11/24/09 J A773. Cintas A Dividend Sold 1/24/09 J774. Federated Investors A Dividend Sold 1/24/09 J

~ 775. C M E G r o up A Dividend J T Sold 01/07/09 J~pan)776. C M E G r o up Sold 02/06/09 J(pan)777, C M E G r o up Sold 02/06/09 J(par t)778. D R ttoaon Inc. A Dividend J T Sold 01,.07/09 J779. D I( Hortoa Inc. ~uy 06/15/09 J780. Fifth Third Banco~ A Dividend Sold 01/22/09 J ~781. Intl. Game Technology

A Dividend Sold I 1/24/09 J ~782. J o h n s on & J o h n so n A Dividend Sold 11/24/09 K


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P a g e F I N A N C I A L 5 0 o f 5 3 D IS C L O S U R E R E P O R T R O S S , A L L Y N E R . DJte of Report08/

V I I . I NVESTMENTS a n d T R U S T S -~ ....... .~t~, t . . . .. . ~ o n s ancludt$ those of .~ouse a nd dependent children; seepp. 34-60of fil ing i . . .. . ~ion~ .)NONE (No reportable income, assets, or transactions.)

D c s c r t p l i o n o f A s s c ~ [ 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 m o s a c l io n s d u r i n g r e p o s i n g p e n ~ l( i n c l u d h ) g t ~ s t a s s e l s ) r e p o r t i n g p e r i o d " o f r e p o s i n g p e r i o dP[acc(XYa~crcachassc~ Amoun : T~e(e.g. Value Value T y p e ( e . g . , Date ~ Value [ Gain ]e x e m p ~ f r o m prior disclosure [ C o d e I div., rent, C ~ d c 2 M e th o d b u y . s e l l , . m ~d& yy ~ Code 2 ~ Code i[ ( A - I I ) or ira) ( I - P ) C o d e 3 r e d e m p t i o n ) . [ ( J - P ) ( A - H )~ ( Q - W ) ~ . ~ t r a n s a c t i o n )

I 7 8 3 . M e d t ro n ~ c A Dividend Sold 11/24/09 K7 8 4 . Strayer E ducatmn A Dividend Sold 1 1 / 2 4 , 0 9 K D7 8 5 . Syso A Dividend Sold I 1 / 2 4 , 0 9 J7 8 6 . United Parcel Seeice A Dividend Sold 1 1 / 2 4 / 0 9 J7 8 7 . JC Penny A Dividend J T Sold 03/19!09 J(paa)

7 8 8 JC Penny Sold ~/13/09 J A(paa)7 8 9 . JC Penny Bu y I 1 / 2 5 1 0 9 J790 WaI-Marl Stores A Dividend J T Bu y :01/20/09 J

7 9 1 . W al-Man Stores Sold ~!24/09 J(paa)WaI-Man S~ores Sold 05/~[09(pan)

7 9 3 . W aI-Mart Slorcs Sold 1 / 2 4 , 0 9 K C(pan)7 9 4 . Whirlpool A Dividend Bu y 07/08/09 J

7 9 5 . W h i rl p o o l Sold 12/10/09 J C796 Crns~rex Energy LI None Sold 11/24/09 J

7 ~ 7 . isharcs Canada index Fund A Dividend Sold 1 1 ! 2 4 / 0 9 J A7 9 8 . isharcs EAFE Index Fund A Divklend Sold 1 1 1 2 4 / 0 9 K7 9 9 . Vanguard Emerging M arkets Fund A Dividend Sold 1 / 2 4 / 0 9 J

Allyne R Ross Financial Disclosure Report for 2009

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