Brian M Cogan Financial Disclosure Report for 2009

8/3/2019 Brian M Cogan Financial Disclosure Report for 2009

1/19

June 23, 2010

bb~onorable Bo R. Baldock. ChairJudicial Conference of the United StatesCommittee on Financial DisclosureOne Columb us Circle, N.E.Washington, D.C. 20544Re: Calendar Y ear 2009 FilingDear Judge Baldock:This is in response to your letter of June 16, 2010, in which you request additional informationrelating to my 2009 annual disclosure report filed under the Ethics in Government Act. I addressthe points you raise as follows:1. The Blackrock Provident Instl FDS Temp fund was purchased in 2009. Accordingly, line184 on the 2009 report should have listed it as a "buy" in Column D(1), "10/01/09" in ColumnD(2), and "K" in Colurm~ D(3).2. The common stock of Verizon Communications Inc. was sold in 2007. Accordingly, the 2008report should have listed it on line 268 in Column A with a parenthetical "Y" next Io the name.

Please deem tlzis an amendment to my reports. I understm~d it is releasable to the public. I amenclosing three copies of this letter.Thank you for your attention to this.Sincerely_

I III I I I


2/19

FINANCIAL DISCLOSURE REPORTFOR CAI,ENDAR YEAR 2009 1.~ usc. ,ql,..~.~ tOt.liD

I M P O R T A N T N O T E S : The in~trmtio,~ accompanying thL~ f!,rm must be ]bllowe,t Uomplete alI part~.ch~-ing the NO%E box]or ta~h part where you have no rep~rtuble ittformatio~ Sign on lagt page.

~ N O N E (No reportable positions.)POSITIQN NAME OF ()RGANIZATIONiENTITY

I. U~ ~

~ ~ ..... :~ [ fl .....3 . ~ = : . ~ Ill

5. ~

~ NON[] (:Vo rc/)mtahJeDA!-E PARTIES AND TERMS

I


3/19

FINANCIAL DISCLOSURE REPORT [r~ .... f~ ..... R e p o r t i n gIPage 2 of 1 8 ] C o g a , , B r i a . ~ 1 . o s / t ~ / 2 o m

I I I. N O N - ~ V E S T M E N T I N C O M E . (Reporting individualandsp .... ," seepp. 17-2 4 t+ffiling i ....... i o n s . >A. Fliers Non-Investment Income

NONE ~o reportable non-investment income.)

DATE SO~C.t? AND ~PE (yours, ~ot spouses)I.2.34.

B . S p o u s e s N o n - In v e s t m e n t I n c o m e - t y y o u ,,,ere married during any p or~ion of the teparting yea,, complete this section.( D o l l a r a m o u n t n o t r e q u i r e d ~ x c e . . ~ t J b r h o n o r a r i a . )~-] NONE (No reportable non-investment income.)

DA T E SOURCE AND TYPE1 . 2 0 0 9 Stroock & Stroock & Lavan LLP, Attorney

2 . 2 0 0 9 I.ovells LI.P, Attoney

3.

4.

IV. REIMBURSEMENTS ......- ~ , . . . . .i,,n. Z , , d g ~ g . Z o o , ~ , . . . . . . . ........~ N ONE (No reportable reimbursements,)

SOLACE ~ LOCATION P~ ITEMS PAID OR PRQkqDED1. Federa l Judic ia l Center Au~st 11 - 12, 2009 Fo~ Worth, Texas Death Pertain Workshop " 1 m n s p o r t a t io n , m e a l s , h o l e l2. Federal B~ council FebmaW 14-21,2009 L os Cabos, Mexico Winler Bar & Bench Hotel, round-trip charier, meals andConference includes CLE functionsPrograms3. Cornel~ ~ w School Ap6l 4-5, 2009 Ithaca, New York Moot Court Tournament Transporlation, hmel and food4.

5.


4/19

FINANCIAL DISCLOSURE REPORT x . . . . . . fp . . . . . . . .Page 3 of 18 c,,~. Brian

[] N O N E f,\:o rcp~,rtable~ DES(RIPT1ON

I

3.4.

5.

~ N O N E t~" reportable liabilities.)CRED ITOR DESCRIPTION VALUE COD E

I. Chase Visa (red~ Card2 ,Xmcx Plalinum Lrcdil (*ard K

345


5/19

FINANCIAL DISCLOSURE REPORT I Iage 4 of 18 Cogan, B r i an M . 05/15/2(HOV l l . I N V E S T S I E N T S a n d T R U S T S - i . , . ...... .~ ........... i,,,, a,,t,,~,.,,~ ...... ,/ v ........ d dep en den t ,hild ........ p p . 3 4 - 6 0 , , f l ~ l i , ,, g i n * t r u , t l , ,n . ~ )

N O N E (,Vo reportable income, (tsset.. or tranxact ions.)A B C

I1 ) 1 2 ) ~I ) 1 2 ) ~ 1 ) 12 1 (]) (4 1 (5 )

(A H) or ~at.) ~J-P) todc 3 rolcmp llon) t . > ) IA FI) I~lpri~atciQ-~ ) tran~clion)

I. JPMorgat~ Ch~e ~ank account A Interest

2. Stroock & Stroock & Lavan LL P. Loan C Inlcrest Closed 5 / 2 ( ~ , 0 9 JReceivable3. Housing Programs L imited, Partners, A I n l . F ) i v ] I.Ipartnership4. (;~)mpark Ow ners Corp., stock. (prefened) A t)ivldcnd J U5. [/rukc~age Account #8

6. Morgan M oney A DividendR NY MKT~ Fund] 7 . - Franklin lemplclon Funds NY lax Free A Dividend

Morgan *IR I Prime Money Market N.tme Closed I.q.09 JI0 . 13rokcrage Account #I 0

I 1 . - JPMorgan 1 R I Prhne Money ,%lk! FD A Dividend J T l)p~n II)/l.OJ l2 - Rcse~e Fund Prima~ Fund Irca~u~ A l}i~idcnd J TClans

13 - Ilarclztvs BK PI.C IPA Iit INX LKD None H uy 17 ~1) ~

15. - Caus,z~.~ ,ay Inlcrnalional Value Fund A I)r~idend J [ Sold 1700 JI ( : , . - Iouchslone Sands (apital Select Growth None Sold 1,70{) JI"t~nd CL Z[ 7. - (?tdlcn tligh Di~idcntl Equily [:und .% Dividend J [ I]uy 17 I)9 J


6/19

FINANCIAL DISCLOSURE REPORTPage 5 of 18V I !. INVESTM ENTS an d TRUSTS -,,,, ....... . ~ 1 . . . . . . .. . . , r i o . , t l . , / , , a . , , , . . . . . . I , I . . . . . . . . . d , l . ~ , . , , , h . . , , . I , ~ 1 ~ . . .: , , e P . . , , - ~ 0 , , t t i ~ i . ~ ~ . . . . . . . . , ~ , , . , . ~

NONEA. I I (" I)

18 - Du.is New York Venture Fund Inc. CI A A Di~.idcnd J

1 9 . - Har~r Smnll (ap Value Fund A I)ividend J I Buy Ol.q)7/I}9 J

20. -I~h~res [r I]arclays I-3 Yrf~eastElFSI A Div~dc,d J T Sold 12,1fi;I)9 J A

21 , - Ishztrcs MSCI EAFE h~dex Fund (ETFS) A Dividend J T I ~ u y 01 .O 7 ,09 J22. -Isharcs ]n~t Russclt Mdc~p Index Fund A D~idcnd J T Bu y 01.070) J

23. - Ishures Russell 2000 Gro~sah Index Fund A D~idcnd J r [luy O1.07.09 J

24 -Isbarcs Iruxt Bareluys US Aggr Bond Fund A Dividend J 1" [luy 01107,09 J

25. - J;~nus Adviser Set Forty Fuud None J f H uy 01.07 09 J

2 6. - PIMCO H ~gh Yield Fuud CI A A Dividend K f Buy OI 07~O9 J27 . - [homburg Intl Vadue Fund A Dividend J l I~uy OI 07/09 J

28. -SPI)R Dow Jones REIT (Ibrmcd Siq)R A Dividend JSet Tr DJ Wil~hire)2it. - t ~owe~ h~ t r c s DB Ct~mm~ i ly I n dex None J ] lluy 0 ] 26/09 J30 13rokcr:~c .AC~o~ ml g I 4


7/19

FINANCIAL DISCLOSURE REPORT IVII. INVESTM ENTS and TRUSTS -i,,, ........ ~ . . . . . . . . . . . . , ~ , , . , a . . ~ , , , / ~ , ~ , , , ~ o ~ . ~ . . . . . . a s , ~ , , a . . , ,a , , s , ,, : , ,~ r ~ . 3 ~ . ~ , , ~ / ~ , , ~ . ~ ....... i , , , , . ~

~ N O N E (,~o reportable ittctmte. ~tsset.~. or..x a. t. I~ .

35. -A I lianccBernslcin h~tl Value Ftmd CL A INone I T Sold 3:24;00 JI part)3~ - Alpine International Real Estate Equity A Dividend JFund37 . - ;\Igor Smidcap (;m,.vth Fund CI A N ~ . ~ n e l F I]uy 12/24 09 J

38. - Aston Funds Monlag & Caldw cll Growth A Dl~.idend K I []uy 12124(i9 KFd39 - []art>n As~c~ Fd I Oppt~r~unity Fund None K r40. - Black~o~:k New Yt~rk kluni Fund CI A A Inlcrc~.t t I

41 - Columbia FDS SER IR Small Cap Value A I)l~,idend J II1 FD42. - Colulnbta Select Sn]:dl Cap ~ N o n e Sold 12/2409 J

4~ . -Causeway Internalional Value Ftmd A l)ivide~d K rInvestor Class44. - ~ullen H igh Dividend Fqmty Fund A Dividend K

45. Davis New Yt~ rk Vcnturc I :~nd Inc.-CL A A l)i~ idcnd Sold 12/24;09 K4b - E~ergrccn 12tlUiW "r R None K f Bu y 1224/01 K47 -l t;~ t l ia~ Lt~e~r~ cr I:t~r~d.~ Inc ~0ncrging ~ I)i~tdc~d S~ld 12~2d l )~ KM:trkcts lt~rllbho

!48. - I~hare~ I ru~t MS Ct EAI:!~ IHdex Fund A Dividend Sold 12:24 09 K[ 49. -Isharcs 1R Ru~scl M~dCap V,due Ittdcx I-I) & I)i~dcnd Sold

50. -I~harcslrust Rt:~scl 1000 Value Index f:I) A I)~vidc~ad S~ld 12241}1 J

: 51. -I~harcs [n~t Rt:s~cl IOIt0 Gm~th Index FI~ A I)i~dcnd S~d~ 1 2 , 2 - 1 . 1 ] 0 K


8/19

FINANCIAL DISCLOSURE REPORT ~ . . . . .. f J . , . . . . R , . p o r , , ~Pag~ 7 of 18 c~, ~a~ ~.

V II. INVESTM ENTS and TRUSTS-i ......... ~ , , , . . . . . . . . . . , i , , . . a . , . , , ~ . , , ~ . . . . . . . ~ , ~ . . . . .. . . . . ~ ...~ .... ~ , ; ~ , . . . . . . . . ~ , ~ . . ~ - ~ , ~ i , ,~ . . . .. . .. . i , , , , , . ~~ N O N E ( A ~ reportable imome, a.~,~ts, or tra~t.v~ttlio~ts)A. 11 t" D

52 . -l~hurcs [rust Rus~l 20(}0 Value Intlcx A Dt~tdc:~d Sold 1 2 ~ 2 4 . 1 1 9 JFund53 . 4M~arcs l~s t Russei 2~ ) I ~dcx FD A Dividend Sold 12i24/1)9 J

54 . - ING Mutual Fund Global Real Estate Fund A Dividend Suld 12,24, 09 JC L , ~ i[ 55 . -Janus Invl FD Vort) Fd CL S None K "[ Bu ~ 12/24A)9

56 -Jennisot~ Mid Cap Gro~th Fd Inc (L A A D~idcnd K I I~uy 12;2-I/09 J

57 . - JP ~ torgan Clc~ui~lg Corp None I Clt~scd 09/30"09 J

58. - Kecley Small Cap Value FD CL A None Sold 12;24 O~ J

59 . -JPMorgan TR I lntl ~qui~ FD CL A A I)i~ideT~d : K F

] 60. -JPMotgan TR I Strategic Incm A Dividend I L f l]uy 12/24/09 I.

[ 61. -Jl~Mt~rgan JR I Tax Free Money Mkt Fd A I)iv~dcnd K ]" Open IOOI 09 K

~ 2. -Lazard Emerging Markc~ [t~ Opeu SHS A D~v~dc~d K [

- Legs kla~on Western Asset %lanagt-d Mlltl~ A Di~ ulcnd L I ]hty ~ 2~O9 ] J scc m~tc in Pa~ klllItmd

hS. H ay t 2.24.0 Kladdl)~ 6 -Manning and Napier Fund ~~rld None J T H ay 1_~ .4,0 JOp~nunitics67 . -Mmthc~s Pacific Tiger Fund N~,ne K "1 Ih~y 1 2 ~ 2 4 . 0 K

6g - ()ppcnhcimcr Value FI) LL A A l)i~ tdcnd K [ Ih~y 1224 1)~ J


9/19

FINANCIAL DISCLOSURE REPORT . ~ . . . . . f P . . . .. . R , . ~ , , i .~ I O . . .. f R , , p o ~ , IP a g e 8 o 1 " 1 8 C o g a n , B r ia n M . 05;15,2010

[~ - [ N O N E { ,V o reportable in come, a.~.~ets, ~t" tra~tsacti~m.~.)

(I) ~ 2~ ill ~ 2~ 1 1 ) !2) ~) ~ 4~ IS)

bg . -Opp anhemlcr I~t~mationat Groe, lh A I )Nid~nd K TF~nd-CI. A7 ~ ) . - Paydcn Invt Gn)up High Income Fd A Dividend K T Bu y 12;24;09 K

7 1 - Perk ins M ~d Cap Value None K T Bu y 1224 09 K

72 . - Royce Fund ~alue Plus Fund Se~ices N~ ne Sold 1 2 / 2 4 ~ 1 ~ 9 J

73 . - Rydex SGI Mi~ Cap Value Fund Ntme J r Bu y !2/24 0~1 J

74 . - Ih0rnbu~ g Intl Value Fund CL A A Dividend K I

75 -1 h~mburg INVT IR Core Gro~th Fund None Sold 12i24.O9 K

76 . - Wells Fargo Advtg Intem~dt tax,amt-iice A Dividend L I Iluy 3;24,1)9Fund77 . Bu y 12.24/09 K~addl)78 . -Wasatch Ad~i~ or~ Funds h)c Small Cap None J T I]uy 12124;09 J

7~ . t~r~kcrage Slatcmcnl #1 7

~) JPNlorgatl I R Ilax Free Money ~lkl I:und A Dividend K T ()~n I O , l . O O K

~ I - .klpmc h~ wm.m~ mal }teal [~slalc ~quiry A I)ividcnd J T

~2 -& Igor Smidc~p Gro~h Fund CL A N~nc J [ t~uy I 2 . 2 4 . O ~ ) J

~3 -Alli~mccllcmstcin h~d VaIuc Fund CL A N~m e Sold 3.;2009 J

34. +:k~ton Fund~ Nh,ntag & (ald~cll (;rowth None K [ Ih~y 1 2 = 2 4 : 1 1 9 K

~5 - I]l;:ckrock N~ Ytark Nluni I :und CL A B Interest L T


10/19

N s , m e o f P c r , .o a R e p o r t in g Dale of ReportFINANCIAL DISCLOSURE REPORT c , ,~ , .. B r i a n M .age 9 of 18

N O N E (N o reportable income, as.~etx, m" trans actimz.~.)

imcluding re,st a~xc~s) r~porlmg p~r~ ot rcpomngPlace q X)" after each as~ct Alllounl I >pc ic g, Value Value l

86 . -Baron ,%set Fd I Opportunity fd None K r Bu y 12/24;09 K

~ 7. -Columbia t DS SER ~R Small (ap ~alue A Dividend J "fII ~ :O CL A~ 8. -Columbia Sclccl Small Cap [Formerly Noue Sold 12/24,09 JExc~ ls;t>r Fd Small Cap)89 . -Uullcn High I)i~idcnd Equity F u n d A l)iv~de,d K I"90 . -Lu~scway h~tcrn,monal Value Fund A Dividend K]u~ cStor ~lasS9 1. -Davis New York Venture Fund Inc.-CL A A Dividend Sold 12~24/09 J

~2 . - E~,=grecn F.quily rR Intrinsic Value Fund N(m e K "1- Buy IZ24,09 K

;3. -H arding Locvncr Fund- ; Inc . Fmerging A Dividend Sold 12/24/00 JMarket Po nlbl io94 . -Isharcs Trust MSCI EAFE Index Fund A Dividend Sold 12124,f)9 J

)5. -tsharcs TR Russell Mid(ap Value Index A Dividend Sold 1 2 . . 2 4 : 0 0 J

96 . -lshare [ru~l Russell 10IR) Value Index FI) A I)~ldend Sold 1 2 ~ 2 4 , 0 ~ J9 7. -Ishares "rru~t Ru>seU 10fg)(;tooth [ntlc~ A l)~ vidcnd Sold 12i24: [19

)~ I~hares I~;~I Ru>xcll 2U ~ Index I d .A I)iv~ dend Sold 1 2 ~ 2 4 1 ) ) J

99 . -I~(; NIultl;ll Funds (ilubal Real I~l;llC m Dw M end Stdd 12/2& 09 J

I~) -JP qorgan Llcuring f.urp None Closed I 0 U I , . : ~ )9 JIt H .JPMt,r~an I R I Inll Equ~ly I-l)(L A A Dividend K r1 0 2 . -JPMorgan I R I Strategic [ncm Opp bs A D~ Mend L r I h ~ y 1 2 ~ 2 4 , 0 9 1 L


11/19

FINANCIAL DISCLOSURE REPORT

~ N O N E (No reportable income, m,~et.~. ~r tramuctions.)A ~

103. -Janu~ Invt Fd ForW I"d Cbss S None K [ IIny 1224/09 J scc note in Iarl VIII

104. -Jcnnis,an Nat R,zs Fd lnc None J r Iluy 1224, 0 9 j

105. - /enMson Mid Cup Gruwlh Fd Inc UL A A Oi,,idcnd K F S,.dd 12/2409 Jipar/)106. -Kceley Small (_ap Vulu Fd None Sold 12/24,09 J

107. -Lazard [:merging .Markets Porl Open SHS A I)ivMend K

108. -Lc.gg Mason Parlners Aggressive Growth N,.me S,ald 1 2 1 2 4 ! 1 / ~ , ~ KFI) Inc. C L A109. - Legg Mason Western Asset Managed Muni B Dividend L I Iluy 320,09 J st.c nolu- m Part VIIII : ~ t n dI I0. lluy 12124 00 Kluridl)I 1. -Nlanning and Napicr Fund World None J [ Bu y 1 2 / 2 4 / 1 ) ~ ) IOppurtunifi , .~s Scr CE A1 2 . - Malthews Pacific Tigcr Fnnd Nune J T Bu y 1 2 ! 2 4 , 0 ~) J

1 3 . -OpD:nhcimer Internalional Growth A [)i,,idend K lFund-(L A1 4 . -()ppenhimcr ValueFDCLA A Di.idcnd K T I| v 12:2411915 .lcrkms Mid Cap Value [:und None K "1" I : h ~ v 122409

I 1 6 . -Paydcn Invt Group Iligh Inc,.~me Fd ,\ Di.idend K 1 Bu y 12,24,0t, KI1 7 -R 5,dex S(H Mid (_ap Value Fund None J F Ih~y [12,2409 J

I I 8 -Royce Fu~d Value Plus Fund Sc~ic CL None Nold I 2;24 09

I 19 -I homb urg lntl V:due Fund CL A A Di,idcnd J T


12/19

FINANCIAL DISCLOSURE REPORTPage 11 o f 18 co~...,;~..~. ,~ ~ ~ ,~o

V 1 1 . I N V E S T M E N T S a n d T R U S T S - ~,, ........ ~ .......... , i , , . , a.,.t,,a., , , . . . . . . . , / , ~ . . . . . . . . ~ a ~ e . .a , . . ,, ~ , ~ a , ~ . : , . . e ~ . . ~ . , o . 4 ~ u . . ~ ~ , , , , ~ , , ,, i ,, , ,. ~N O N E (N a reportable i/to~me, u.s.~tts, o r trclttstzUions.)

A II

iA.ll) u r ~ n ~ )

120. -Thornburg lnvt IR (.ore Growlh Fund CL None Sold 12;24,0q KA121. -Wells Fargo Advtg lnlem~dl rax:Amt - B Dividend L "F Bu y 03/20 Oq JFree Fiend122, Buy 12 .24;09 K(addl)123 . -Wasatzh Adviso~ Funds In Smal l Cap Nune J [ [hty I ] i24/ I )9 J124. -(;oldman Sachs lollkeeper lhnd None J

125. IRA#I E Int A)m PI I

126. - I]lackmck Provident Instl FDS lcmpfund Ope n 10/1.09 K

127. -ls~arcsln;st ~zrclays I-~ ~R lrca Buy 03/20.09 J128. Sold 12~24,09 LIp:~rt)129. -Isharcs [nlSl Barclays I:S Aggr Sold 12124 09 M D[p~rt ;130. -Isharcs [~;sr Ishares Barclzys reus Buy 12/24:1)q L

13 I. - Ish~res Trust Rttsscll II)(~ Value Index Fd Sold ~ 12 2~ 1~9 J

~3 2 - lsharcs ln~sl Russell It)l~ (}-o~lh Index Sold ~ 2 2 4 09 J

t33. Ish:,t-~ [ntsl Russell 20(~)Inde~ FD Sold 2 240t J13 4 - Rcse~e Fund Pnmz~ Fund "[rcsuQ (lass

135. .AlgcrSmidcitpUnmth Fund (L A Bu y 12.241~9 K

I J 6 -Aslon Funds Montag & Cald~cll (]ctmth [ Bu y 12 240q KI


13/19

FINANCIAL DISCLOSURE REPORT :~ .... f ~ , . . . . . . < ~ , - , ~ . ~ :

~ N O N E ( N o reportahle income, assets, or tra~mutitm.~.)A B. ( D

137. -Al l iunceBems tein lnll Value Fum l CI . A Sold 12.2~.1~)j J138 . -Bnron Asset Fd Ioppo~m i~y Itmd []uy 12 .24 O k J

i 39 . -Causeway Inten~u tional Vatue [:und Bu y 12,24z~9140. -Cul len High Div idend Equily Fund Bu y 1224,O9 K141. -Columbia FDS SL!R TR Small (ap Value IIFd [L142. -Columbia Selec| SInull ( upCL Z Sold 12!24.U9 J143. -Davis New Y ork VcnPare Fund Sold 12~24;00 K144. - E~.crgrecn Equity fR Bu y 12/24;I)9 K

145. -}tardmg Loevner Fund~ In , . . Emerging Sold 12/24.q19 K~farkel Porlib lio146. -ING ~lulual [ands (Jl~bal Real U~alc Fumt

CLA147. -Ja,uts h*~t Fd I. o~ Fd Class S ~ec m>te it* Pz~ VIII148. -Jcnniso~l Mid Cup ( ~ro~*lh ~d Ir~c tL A []uy 12"24 OU Kt40 -Jor~.i~,,q Nat Rcs Id h~," (1A Iluy l]] I O? J50 . -J[~hlr7all fR I hill Fquiiy H) tL A

15 I. -Kcclcy ]i:lall L:lp % tiltic I:d CI. A Sold I 2 24 I)? J152. -t~ard t;mcrging Markets Port l)~n SIIS Bu y 1 2 / 2 - 1 1 1 9 J

I :D Inc. CL A


14/19

FINANCIAL DISCLOSURE REPORT , ..... fl, .... Reporllng IPage 13 o f 18 c o w , , B , - i= , - , ~ , L 0 + s , l S , , 2 0 1 0

N O N E (No mT)ortahle income, assets, or transactions.)A 11 C D

I)cscriplion of Asscls Incomc during (;ross ~aluc at end "rransaclions during rcporhng(i) (2 1 1 1 ) 1 2 ) II} 1 2 } 1 3 ) 1 4 1

Place "1X)" after cacl~ as,or Amoun~ r~ pc {e g. Value Value T~ (c g.. : Dale , Value ( ~ a i n Idcnttly of

~Q-W) transa~hon)

154. -Oppenheimer Value Fd CL A Bu y 12/24/09 J

155. -Oppenheitner ln~entationalF!.md-C/A

156. -I)ppenheirner International Bc, nd I-und-CkA157. -Pirncofotal Return Fund-CL A Bu y ! 12/24/09 M

158. -Pimco High Yield Furtd-CL A Buy I/6 /09 K

159. Buy I ~ 24,09 I.(addl)160. -Perkins Mid Cap Value Iluy 12/24/09 K161. -Manning and Napier Fund Wold Bu y 12/24/09 KOpportunities162. -K/lalth,,vs Pacific tiger Fund Dr, idend Bu y 12/24/09Reinvcslcd163. -Ro)cc Fund Value Plus Fund Service CI. Sold 12/24/09 J

1 6 . 4 . -R idgexvorth FDS In,ermcdia~c 13D FI)CL I Buy 12124,09 M165. -RydexSGIMidCupVah~eFundCL A I/uy 12/24/09 K

166 -rhomburg Intl Value F~,nd [~uy 12;24/09 J167. -Iouchslonc Sands (apilal Select (;ro,slh Sold 03"20/09 JPon d CL Z168. I RA ~2 1[ lilt Div Pt T

I fit; -~\lgcr Smidcap Growth Fund LL A Bu y 12,24,09 K

170. -..\:-,tun Funds },hmtag & Caldv~cll (;ro:~,th Buy 12/24.09 Kt-l) (L N


15/19

FINANCIAL DISCLOSURE REPORTPage 14 ofl8

N O N E (,Vo r~7~ortahle income, assets, or transactiotts.)A B. C.

( ~clu ling rusl

exempt fr ,m~ pri~r

~ 71. -[shares I R Russel Mid(ap Value Index FD Sold

172. -lst~arcs Trust IsharcS Barelays Ircas I,]uy12/24;09 LInIlation Protected173. S,ald 12/24;09 F ,1 I)[par t)~74. -tsharcsF~st Barclays I-~ YR Bu y 03.~24;09 JTrcalFom3crly laharcs ~r I-3)175. Sold 12i24109 L(176 . -Isharcs Tntst Barclays U S AggrlFoi~crly Bu y 0.1.24;09 JIshures Tr Lclunan)177. Sold 12/24;09 N D

178. -Isharesl~slRu~setlllI~Valuelndc~ FD Sold 12/24 /09 J179. - Ishares rn~s~ Russell 100OG~wth Indea Sold 12/24/09

Fd [E~ FS)~ 8 ( I . -[sh:,rcs Trust Russell 20~) lndx Fd Sold 12/24,09 J181. -Reserve Fund I~rimary Fund l-rcasury (?lass

182. -Alliancct]ern,acm Iml Value t"und CL A Sold U3.,Zd.,09 ] 1

184 - I I luckrt~:k Pru~, ident Insd FDS [cmptund

assI ,~b -(ullen IliBh Di,~dcnd Equity Fund Uuy 1 2 . . 2 4 0 ~ 1 J187. -C~lun~bi4 FI)S SISR i"R Small Cap Value IIFD (L .,\


16/19

FINANCIAL DISCLOSURE REPORTPage 15 of 18 c o ~ = . , a r i = . .~ ! . ~ , ~ . ~ ~ ~._ol0

V ! 1 .1 N V E S T M E N T S a n d T R U S T S - ~.,. ......... ~ . . . . . . . . . . . . i , , . ~ a . ~ ~ . a . ~ , ~ , , , . , , ~ . . . . .. . a ~ . ~ . . a .~ , . , a ~ r ~ . ; , . ~ . . ,~ - ~ o , ~ U . ~ i . . . . . . . ~ , , ~ , , ~~ N O N E ( N o reportable in comu, a. sYets , or trw~.~action.v.)A. B. C. D

I,,18. -Columbia Select Small Cap CL Z Sold 122409

189. -F.,crgreen Equhy JR Inlrinsic Value FD Bu y 12124,09 KC L A190. -Davis New York Venlur Fund Inc.-CLA Sold 12,24.09 K

191. -Harding L~vner Fond Inc. Erm:rghrg Sold 12124 /0 9Markets Por~tolio192. -ING Mutual Funds Global Real Estate Fund

CLA193. Sold 12:24/09 l[94 . -IvyGlobal Natural Resources Fund CL A lluy 12124.09 J195. -Perkins Mid Cap Value ~ D Class J SHS

[ Bu y I,~_4~09 K196 . -Jan~ In~I Fd Fo~ Fd Class S see note it~ Puff ~111197. -Jcnnison Nat Res Fd Inc lluy 12124/()9 J1 9 , ~ . -Jcnnison Mid Cap (irowlh Fd Inc (L A Bu y ! 12,24."09 K199. -JPMorgan TR I InH F.qniq, FD CL A

Z I } O . -Lazard EmergingMa*kelsPon()penSHS H uy 1 2 ~ 2 4 ( ) ~ J

2 1 ) 1 . -Lcgg Muson P:~rlners ,\~_!gressi,,e (Jro~* ~ h Sold 12 24 09 JH) Inc. CL A20 2 . -Manni0g And Napier Fund W orld H uy 12/2-109 KOpportunities Set CL A203. -Mat~he~vs Pacific Tiger Fund Dividend H uy t224"09 JRcinves[ed204 -Dppcnhcimer V;dne Fd CL A H ny 1 2 , ~ 2 4 , 0) J


17/19

FINANCIAL DISCLOSURE REPORTPage i 6 o f 18

V 1 1 . I N V E S T M E N T S a n d T R U S T S - in; ....... at~ N O N E (No ttportab[e ittcome, tts.vet., or

A B C

-Op~nhcinler Inl~rnalional ~volhFu~d-CL A2 1 1 6 . -O ppenkcilner International ~ i id Fund - CL Iluy 12!2~09A207. -PilllCO [oia] Relul Fufld CL A Bu y208. -Pinaco H igh Yield Fu~d-CL A Iluy

(addl )210. -Ridge~)rih FDS Intermediate BD FDCL Iluy t2.;24;I)921 I. -Rydex SGI Mid Cap Value Fund CL A tluy 12.24.,0t)

212. -Royce FdTolal Rc~urn Fd Con~ullant Sold 1 2 ; 2 4 09213. -Royce Fund Value Plus Fund Se~ice

Sold 1 2 . . 2 4 , 1 1~)

214. -[homburglnflValue FundCLA

215. -louchslonc Sands Uapilal Select (;rowlh Sold 03 1 2 4 09 JFu~d ~L Z216. Rctircmet~t Plan [~ t ~ar tne~ t~ 3 A Int, Div. L I

218 . - tlOlreedom

210. (t,!lcgc Access 529 Plan n2

221. Ills Federal Income Iux Receivable None (ioscd < ; . 2 6 0 1 1 l


18/19

FINANCIAL DISCLOSURE REPORTPage 17of18

V l ll . ADDITIONAL INFORM ATION OR EXPLANATIONS.I ) t a r l V I I , p a g e 7 . lh ~ e 5 5 : p a g e 1 0 . l i n e 1 1 ) 3 : p a g e 1 2 . l in e 1 4 7 ; p a g e 1 5 , l i n e 1 )6 : " l h e n a m e o t w ; s c l ~ l " .l a n u s A d v i s er S c r I ~ n ~ F r o M " ~ a ~ c h a n g e d I [ ~ " J ,m u sI n v l [ : d I o ~ y2 1 P u r l V I I , p a g e 7 . l i n e (~ 4 ; p a g e 1 0 . l in e I 0 9 : 1 h ~ n m n o f a s s ~ ,~ t " l e g g M a s ~ m P ~ m r w ~ M a n a g e d M u n s I : u n d " w a s h a n g ~ dM a n a g ed M u m I : u n d " .


19/19

FINANCIAL DISCLOSU RE REPORTC o , a n ,age 18 of 1 8

IX. CERTIFICATION .I c~rlil.v that all information given above (including inlnrlnation pertaini,=g In m) spouse and minor or dcpcndcn! thildren, if ;in}) is

acturah:, Irue, and complete In Ihe best of my knowledge and b~:licf, and that an~ information not reported ~as *~ilhhtld because 11 reel applicable slalulorypruvision~ p*rmi|ling non-disclosure.

I furlher eertif) thai ~=arned income from nut~ide emplo}menl and honoraria and the acceptance of gift~ which hate been repnrtcd are incompliance ~ith the prn*ision~ of 5 U.S.C. app. 501 el. ~eq., 5 U.S.C. 7J.~.], and Judicial Conference rrgulalion~.

Signature_

,NO FE: ANY INDIVIDUAL WIIO KbOWIN(;I.Y AND WII.FULI.Y FAI.SII-IES IIoAND CRIMINAl. S,\NCI IOJNS (5 U.S.C. app. 104)

FILING INSTRL ICTIONSMail signed origina! al~d 3 addifional copies to:

Committee on F inancial Disclost,reAdminislrative Office of tl~e United Stales (:ourlsSuile 2-301One Columbus Circle. N.E.Washington, D.C. 20544

Brian M Cogan Financial Disclosure Report for 2009

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Transcript of Brian M Cogan Financial Disclosure Report for 2009