Brian M Cogan Financial Disclosure Report for 2010

8/3/2019 Brian M Cogan Financial Disclosure Report for 2010

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FINANCIAL D ISCLOSURE R EPORTFOR CALENDAR YEAR 20 10

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

1 . Person R eport ing ( last name, f i rst , middle ini t ia l )Cogan , Br i an M .

4. Ti t l e (Ar t ic l e I l l judges indica te ac t ive or senior s t a tus ;magis t ra te judges indicate fu l l - or par t - t ime)

U.S. Di s t r i c t Judge - Ac t ive

7. Chambers or Of f ice AddressUS Cour th ous e2 2 5 C a d m a n P l a z a E a s tBrook lyn , NY 11201

2. Court or Organiza t ionU.S. Di s t r i c t Cour t , ED o f NY

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion conta ined in thi s Repor t and anymodifica t ions pe rta in ing the re to , i t is , in my op in ion , in comp liancewith appl icable l aws and regula t ions .

Reviewing Off icer Date

3. Date of Repor t05/15/2011

6. Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e , o n i n g i n d i v i d ,u l o n l y ; s e e r r . 9 - t 3 of filing instructions.)~] N O N E (No reportable positions.)

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . m e p o n i n g individual only; see pp. 14-16 of filing instructions.)~ N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


2/15

FINANCIAL DISCLOSURE REPORTPage 2 of 15

Name of Person ReportingCogan, Brian M.

D a t e o f R e p o r t05/ I 5/2011

III. N O N - I N V E S T M E N T I N C O M E . m e p o r , i n g i n d i v i d u u l a n , t s p o u s e ; s c e p p . Z Z - Z 4 of filing instructions.)A. Filers Non-lnvestment Income

~ (No reportable non-investment income.)ONEDATE SOURCE AND TYPE

2.3.4.

INCOME(yours, not spouses)

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

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

1 . 2 0 1 02 . 2 0 1 03.

4.

D A T E SOURCE AND TYPEHo g an Lo vel l s U S LLP, At to rn eyHo g an Lo ve l l s In te rn a t io n a l LLP, At to rn ey

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

D (No reportable reimbursements.)ONESOURCE LOCATION PURPOSE ITEMS PAID OR PROVIDED

1 . Federal Judicial Center M arch 4-5, 201 0 D urham , N C The Law and Terror i sm Seminar , t ransporta t ion , mea ls , hote lSeminar2. Federal Bar council October 1-3 , 2010 L e n o x , MA Fa l l Bench and Bar Re t rea t Meet ing package and meal s3. New York S ta te Bar M a y 21-23 , 2 0 1 0 B olto n Lan din g, N Y C om m ercia l an d Trad in g Transportat ion, hotel and foodA s s o c i a t i o n Litigat ion4. Federal Judicial Center October 28 , 2010 Ne w Yo r k , Ne w Yo r k Prepara t ion of 2009 FDR Professional fees5. F e deral Jud icia l C en ter M arcia 26-A pril 3 , Ecuador Interact Charges Interact Charges2010

D A T E S


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N a m e o f P e r s o n R e p o r t i n gCogan , Br ian M .

Date of Report05/15/2011

V . G I F T S . a . d . d e s those ,o spouse and dependent children; see pp. 28-31 of fillng instructions.)N O N E (No re portable gifts.)

SOURCE DESCRIPTION1.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a . c i u d e s t h o s e o / s p o u s e ond dependent children; see pp. 32-33 of fillng instructions.)[~] N O N E (No reportable liabilities.)

CREDITOR

I. Ch ase V isa Cred it Card

2. Amex Platinum Credit Card

3.

4.

5.

DESCRIPTION VALUE CODEJK


4/15


Name of Person ReportingCogan, Br ian M.


V II. INV ESTM ENTS an d TRUSTS - i .... e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fil ing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C,Descr ipt ion o f A s s e t s I n com e d ur i n g Gros s va l ue a t en d( i nc lud in8 t rus t a s se t s ) r ep or t i n g p e r i od o f r e po r t i ng p e r io d

(1 ) (2 ) (1) (2)Place "(X)" after each a s s e t A m o u n t Type (e.g., V alu e V alu e

e x e m p t f r o m pr i o r d i s c lo s u r e C o d e I d iv . , r en t , C o d e 2 M e t h o d( A - H ) or i n t . ) (J-P) C o d e 3( Q - W )

1 . JPMorgan Chase Bank account A I n t e r e s t M T2. Hous ing Programs Limi ted , Partners , A Int./Div. J Upartnership3. Compark Owners Corp., stock, (preferred) A Dividend J U4. Brokerage Account #8

5. - JP Morgan TR I NY Muni Mon ey MKT B Dividend M TFund6. - Franklin Templeton Fun ds NY Tax Free A Dividend K TIncome7. Brokerage Account # 10

8. - JPMorgan TR I Prime M oney Mk t FD A Dividend J T9. - Reserve Fund Prim ary Fund Treasury A Distribut ionClass

1 0 . - Causeway International Value Fund A Dividend J T1 I . - Cullen High Dividend Equity Fund A Dividend J T1 2 . - Davis New York V entur e Fund Inc. CI A A Dividend J T1 3 . - Harbor Small Cap Value Fund A Dividend J T1 4 . - lshares Tr Barclays 1-3 Yr Treas.(ETFS) A Dividend J T1 5 . - lshares MSCI EAFE Ind ex Fun d (ETFS) A Dividend J T1 6 . - Isharcs Trust Russell Midcap Index Fund A Dividend K T(ETFS)1 7 . - I s h a r e s R u s s e l l 2 0 0 0 Growth Index Fund A Dividend J T( E T F S )

T ran s ac t i on s d ur i n g r ep or t i n g p e r i o d

(I ) (2) (3)Type (e.g. , D a t e V a l u e

buy, se l l , m m / d d / y y C o d e 2r e d e m p t i o n ) ( J - P )

Closed 12/31/10 J

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

Code 1 buyer/seller(A-H) (if private

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

I. In co m e G ain C o d es: A = $1,0 00 or less B = $1,001 - $2,500 C = $2,50 1 - $5,000 D =$ 5,001 - $15,000( See C olumns B I a n d D 4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0 G =$ 100,001 - $1,000,000 H 1 =$1,000,001 - $ 5,000.000 H 2 = M ore than $5, 0 0 0 , 0 0 02. V a lue C o d e s J = $15.000 or less K = $15,001 - $ 50.0 00 L = $50,00 1 - $10 0,000 M = $ 100, 001 - $ 250, 000(See C olum ns C I an d D3) N = $250 ,001 - $500,000 O = $500.001 - $1,000 ,00 0 PI = $1 ,00 0,00 1 - $ 5,00 0,0 00 P2 = $5,000 ,001 - $ 25,000,00 0P3 - $25.000.1)01 - $50.000.000 P 4 Mo re th a n $ 50,000,0003 . V alue Method C odes Q ~Ap p r a i sa l R =C o s t ( R eal Es t a l e Only ) S =A s s es s ment T = C a s h M a r k e t(Se e Co lumn ( 2 ) U =B ook V alue V = O t h e r W =Es t imated

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


5/15


N a m e o f P e rs o n R e p o r t i n gCogan , Br ian M .

Date of Report05/ I .5/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f iling instructions.)D NONE (No reportable incom e, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g Gross value at en d( i n c l ud i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(1) (2) O) (2 )Place "(X)" after each asset A m o u n t Type (e.g., V alu e V alu eexempt from prior disclosure C o d e 1 d iv ., r e n t , C o d e 2 M e t h o d

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

(l)Type (e.g.,

b uy, s e l l ,r e d e m p t i o n )

T ran s act i on s d ur i n g r e p o r t i n g p e r i o d

(2) (3) (4 )D a t e V a l u e G a i n

m m / d d / y y C o d e 2 C o d e I(J-P) (A -H)

( 5 )Identity of

b u y e r / s e l l e r(if private


1 8 . - I shares Trust Barclays US Aggr Bond Fund A Dividend J1 9 . - Janus Adv iser Se r Fo r t y Fund N o n e J20 . - PIMCO High Yield Fund Cl A B Dividend K2 1 . - Thornburg ln t l Va lue Fund A Dividend J22 . - SPDR Dow J ones REIT (formed SPDR A DividendSer Tr DJ W ilsh ire)2 3. - Po w er s h ar e s DB C om m o d it y In d e x None

J

JTT

24 . Brokerage Account #14

2 5. - J P M o r ga n TR I N Y M u n i M on e y M K TFund (Y)

2 6 . B r ok e ra ge A cc ou n t # 1 6see note in Part V III

27 . - All iance Bernstein lnt l V alue Fund CL A( )28. - A lp i n e In t e m a ti on al Rea l Es t at e Eq u i t y

F u n d2 9 . - Al ge r Sm i d ca p Gr ow t h Fu n d CI A

Dividend K

None K

see note in Part V III

3 0. - As ton Fu nd s M o n tag & Ca ldwe l l Gr owthFd Dividend K31. - Baron Asset Fd I Opportun ity Fund None K32 .33 .

34 .

- Blackrock New York M uni Fun d CI A- Colum bia FDS SER TR Small Cap Valu e1 1 F D-Causeway International Value FundInvestor Class

C Dividend LA Dividend JA Dividend K

T

T

T

Sold(par t ) 10/07/10 K

1 , Income Gain C odes : A = $ 1, 000 o r l e ss B =$ I,O01 - $2,500 C = $2,501 - $ 5,00 0 D = $ 5,00 1 - $ 15,0 00( See C olumns B I and D4) F = $ 50, 001 - $ 100, 000 G =$1 0 0 ,0 0 1 - $1 ,0 0 0 ,0 0 0 H I =$1 ,0 0 0 ,0 0 1 - $5 ,0 0 0 ,0 0 0 H2 =More than $5,000,0002. Value Codes J = $15.000 or less K = $15,00 1 - $50,0 00 L = $50 ,00 1 - $1 00,000 M =$ 10 0,001 - $250,000( See C olumns C I and D3 ) N = $ 250.001 - $ 500, 000 O - $5 0 0 . 0 0 1 - $1 ,0 0 0 ,0 0 0 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 o $25,000,000P3 =$25,000,001 - $50,000,000 P4 =M or e than $5 0 ,0 0 0 ,0 0 03 . V alue Method C odes Q = Ap p r a i sa l R -Co s t (Re a l Es ta te O n ly) S =A s s es s ment T = Ca sh Ma rke t( See C olumn C 2 ) U =B ook V alue V = O th e r W =Es t imated

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


6/15


N a m e o f P e rs o n R e p o r t i n gCogan, Brian M.

Date o f Report05/15/2011

V I I . IN V E S T M E N T S a n d T R U S T S - i . e o , ~ e , v al u e , t ra n s a c t i o n s a n d a d e ~ , h o ~ e o l s p o u s e ~ . d dependent children; see p p . 3 4 - 6 0 of fillng instructions.)~ NONE(No reportable income, assets, or transactions.)A. B. C.

D e s c r i p t io n o f A s s e t s Income dur ing G r o s s v a l u e a t e n d( i n c l u d i n g t r u s t a s s e t s ) r e po rtin g p er io d o f re po rt in g p er io d

(t ) (2) (1) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u nt T y p e ( e .g ., Value Valuee x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t . C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )35 .36 .37 .38 .39 .40 .41 .42 .43 .

44 .45 .46 .47 .48 .49 .50 .51 .

- Cu l len Hig h D iv id en d Equ i ty Fun d- E v e r g r e e n E q u it y T R ( Y )- J anus Invt FD Fdr ty Fd CL S- J enni s on M id Cap Grow th Fd Inc CL A( )- JP M organ TR 1 ln t l Equity FD CL A-JP M organ TR ! St ra t eg ic Incm- J P M o r g a n T R I T a x F r e e M o n e y M k t F d- L a z a rd E m e r g i n g M a r k e t s P o r t O p e n S H S- Legg M as on Wes te rn As s e t M anagedMuni Fund- M a n n i n g a n d N a p i e r F u n d W o r l dOpportuni t ies-M at th ews P ac i f i c Tige r Fund- O p p e n h e i m e r V a l u e F D C L A-O ppenh e imer In t e rna t iona l Growth Fund-C L A- P a y d e n I n v t G r o u p H i g h I n c o m e F d- P erk ins M id Cap Va lue- P rudent i a l Jenni s on M id C ap GrFd(Former ly J enni s on M id )- P rudent i a l Jenni s on Na t R es Fd

A D i v i d e n d K T

N o n e K T

A D iv id en d K TB D iv id en d L TA D iv id en d K TA D iv id en d K TC D iv id en d L T

A D iv id en d K TA D iv id en d K TA D iv id en d K TA D iv id en d K TC D iv id en d K TA D iv id en d K T

N o n e K TA D i v i d e n d K T

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( l) (2) (3)T y p e ( e . g ., D a t e Valuebuy, sell, m m / d d / y y C o de 2

r e d e m p t i o n ) ( J - P )

B uy 10/07/10 K( a d d l )

So ld 10/07/10 J(par t )

B uy 10/07/10 J(ad d l )

Bu y 10/07/10 K

(4) (5 )G a i n Ident i ty of

Code 1 buyer / se l l e r(A -H) (if p rivate

transaction)

B

see n o te in Par t VII I



I . Income Gain C odes : A = $1,0 00 o r less B =$ 1,00 1 - $2,500 C = $2,501 - $5,000 D =$5,00 1 - $15,000( See C olumns B I and D4) F =$50 ,001 - $10 0,00 0 G =$10 0,00 1 - $1,000,000 HI =$1,000,001 - $5,000.000 H2 =More than $5,000,0002 . V alue C odes J = $15,000 o r less K = $ 15,001 - $ 50 ,000 L = $ 50,001 - $ 100,000 M = $ 100, 001 ~ $ 250, 000( See C olunms C I and D3 ) N =$250.001 - $500,000 O =$500,001 - $ 1,000,000 P 1 = $1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 P 2 =$ 5, 00 0, 00 1 $2 5, 00 0, 00 0P3 =$25,00 0,001 - $50,0 00,000 P 4 =M ore than $50,000,0003 . V alue Method C odes Q =A ppr a i s a l R =C os t ( R eal Es t a l e Only ) S =A s s es s ment T C a s h M a r k e t(Se e Co lumn ( 2 ) U =B ook V alue V =Other W = Es t imated

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


7/15


N a m e o f P e rs o n R e p o r t i n gCogan, Brian M.


V I I . I N V E S T M E N T S a n d TRU S TS - i n c o m e , v a ~ u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) Income dur ing G r o s s v a l u e a t e n dr e p or t i n g p er i o d o f r e po rt i n g pe ri o d

( l) (2 ) (1) (2) (I ) (2) (3)P la c e " ( X ) " a f t e r e a c h a s s e l A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g ., D a t e Valuee x e m p t f r o m p r i o r d i s c lo s u r e C ode l d i v . , r e n t . C od e 2 M e th o d b u y , s e l l , m m / d d/ y y C o de 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P )( Q - W )

( 4 ) ( 5 )G a i n Identity ofC o d e I b u y e r / s e l l e r( A - H ) (if private


52 . - R y d e x S G I M i d C a p V a l u e F u n d A D iv id en d K T53 . - T h o m b u r g I n t l V a l ue F u n d C L A A D iv id en d K T54 .55 .56 .

- Wel l s Farg o Ad v tg ln te rmd t t ax] amt - f ree B D iv id en d L T So ld 10/07/I 0F u n d (par t)- W e l l s F a r g o A d v a n t a g e F d s ( F o r m e r l y A D iv id en d L T Bu y 10/07 /10E v e r g r e e n E q u i ty T R ) (ad d l )

N o n e J TW a s a t ch A d v i s o r s F u n d s I n c S m a l l C a p

KK

B

s e e n o t e i n P a r t V l l I

57 . B r o k e r a g e S t a t e m e n t # 1 758 . J P M o r g a n T R I T a x F r ee M o n e y M k t F u n d A D iv id en d J59 . - Alp ine In t e rna t iona l R ea l Es t a t e Equi ty A D iv id en dF u n d - C L6 0. - A lg e r S m i dc ap G r ow th F un d C L A N o n e

JK

TT

61 . - A s t o n F u n d s M o n t a g & C a l d w e l l G ro w t h A D iv id en dFd62 . - B l a c k ro c k N e w Y o r k M u n i F u n d C L A B Interest6 3 . - B a r o n A s s e t F d I O p p o r t u n i t y f d N o n e

KLK

TT

T

Sold(par t) 10/07/10 K B

64 .65 .66 .67 .68 .

C o l u m b i a F D S S E R T R S m a l l C a p V a l u eI I FD CL A-Cul l en High Dividend Equi ty Fund-Caus eway In t e rna t iona l Va lue FundInves tor C las s- Evergreen Equi ty TR In t r i ns i c Va lue Fund( )

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

-JP M organ TR 1 InI l Equi ty FD CL A A Dividend

JKK

K

TT Bu y(ad d l )T

10/07/10 K


I . Income G ain C odes : A =$1.000 or less B =$1.001 - $2,500 C = $ 2 , 501 ~ $ 5 .000 D =$5,001 - $15,000( See C olumns B 1 an d D4) F = $50,001 - $ 100.000 G = $ 100.001 - $ 1.000,000 H 1 = $ 1,000,001 - $ 5,000,000 H2 = M o re than $ 5,000,000

2 . V alue C odes J = $1 5.00 0 or less K = $15,001 - $50,000 L =$50,001 - $ 100.000 M -$ 100,001 - $250,000( See C olumns C I and D3 ) N =$250,001 - $500.000 O =$500.001 - $1.000,000 P 1 =$ 1,000,001 - $ 5,000,000 P2 =$5,000,001 - $25,000,000P3 =$25.000 .001 . $50.000,000 P 4 =M ore than $50,000,0003 . V alue Method C odes Q = Ap p r a i sa l R =C os t ( R cal Es t a t e Only ) S =A s s es s ment T C a s h M a r k e t(Se e Co lumn C2) U =B ook V alue V =Othcr W =Es t imated

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


8/15


N a m e o f P e rs o n R e p o r t i n gC o g a n , B r i a n M .

Date o f Report05/15/2011

V II. INV ESTM ENTS an d TRUSTS - i .... e, value, transactions (Includes those of spouse a nd dependen t children; see pp. 34-60 of filing instructions.)D NONE(No reportable income, assets, or transactions.)

A. B. C.Descr ipt ion of Assets Income during Gross va lue a t end

(includ ing t rust a sse ts) repo rtin g pe rio d of reportin g period(l ) (2) (1) (2)Place "(x)" after each asset Amount Type (e.g. , V alue V alueexempt f rom pr ior d isc losure C o d e 1 d iv., rent, Code 2 M ethod(A-H) o r i n t . ) ( J - P ) Co d e 3

( Q - W )

69 . - JP M organ TR I S t ra t eg ic Incm O p ptys B D i v i d e n d L T7 0 . - Ja n u s I av t F d F o rt y F d C la s s S N o n e K T7 1. - Je n ni so n N at R es F d I nc (Y )7 2. - Je n ni so n M i d C ap G r o wt h F d I nc C L A ( Y )73 . - L a z a rd E m e r g i n g M a r k e t s P o r t O p e n S H S A D i v i d e n d K T7 4. - L eg g M a so n W e s te rn A s se t M a n a ge d C D i v i d e n d L TMuni Fund75 . - M a n n i n g a n d N a p i e r F u n d W o r l d A D i v i d e n d J TO ppor tun i t ie s Se r CL A76 . - M at th ews P ac i f i c Tige r Fund A D i v i d e n d K T7 7 . - O p p en h e im e r In t er n a ti o n al G ro w t h F u n d - A D i v i d e n d K TC L A7 8. - O pp e nh ei m er V a lu e F D CL A A D i v i d e n d K T7 9. - Pe rk in s M i d C a p V a lu e F u n d A D i v i d e n d K T80 . - P a y d e n l n v t G r o u p H i g h In c o m e F d C D iv id en d K T81 . - P rudent i a l Jenni s on M id C ap Gr N o n e K TFd(Former ly J enni s on M id )82 . - P rudent i a l Jenni s on Na t Res F d (Form er ly A D iv id en d K TJenni s on Na t Res )83 . - R y d e x S G I M i d C a p V a l u e F u n d A D iv id en d K T84 . - T h o m b u r g l n t l V a lu e F u n d C L A A D iv id en d K T85 . - W e l l s F a r g o A d v g F d I n t r i n s ic ( f o r m e r l y A D iv id en d K TEvergreen Eqt In t r

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(I ) (2) (3)

Type (e.g ., Date Valuebuy , se ll, m m/dd/yy Co d e 2

redem ptio n) (J-P )

Sold 1 0 / 0 7 / 1 0 J(part)

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

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

B u y 10/07/10 J

(4 ) (5)Gain Ident i ty of

Code 1 buyer / se l l e r(A-H) (if private

transaction)

A

see n o te in Par t VII Isee n o te in Par t VII I

see n o te in Par t VII Isee n o te in Pa r t VII I


I . Income Gain C odes : A =$1,000 or less B = $ 1.00 1 - $ 2,50 0 C = $2,501 - $5,000 D =$5,001 - $15.000( See C olumns B 1 and D4) F = $50,001 - $ 100,000 G = $ 100,001 - $ l.O00,0O0 H 1 = $ 1,000,001 - $ 5,000,000 H2 =More than $5,000,0002. Value C odes J = $1 5.00 0 or less K = $15,001 - $50.000 L = $50,001 - $ 100,000 M =$10 0,00 1 - $250,0 00(S ee Co lu mn s C I a nd D3 ) N =$ 250 ,0 01 - $ 50 0,0 00 O :$ 50 0.0 01 - $ 1,0 00 ,00 0 P I = $1 ,00 0,00 1 - $ 5,0 00 ,0 00 P 2 = $5,000,001 - $ 25,000,000P3 =$25,000,0OI - $50,000.000 P4 - Mor e than $5 0 ,0 0 0 ,0 0 03. Value Method Codes Q = A p p r a i sa l R ~Cost ~Rcal Estate Only) S =A s s es s ment T = Ca sh Ma rke t( See C olumn C 2 ) U =B ook V alue V = O th e r W =Es t imated

E =$15,001 - $50,000


9/15

FINANCIAL DISCLOSURE REPORTPage 9 o f 15

I N a m e o f P e r s o n R e p o r t in gCogan , Br ian M .


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

D e s c r i p t i o n o f A s s e t s l n c o m e d u r i n g( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

(1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) or i n t . )

86 . -W el l s Fargo Advtg Intermd t Tax/Am t -Free Fund

87. -Wasatch Advisor s Funds ln c Smal l Cap

88. - Goldman Sachs Tollkeeper Fund

89 . IRA #1

90. - Blackrock Provident lnst l FDS Temp fund91. -Ishares Trus t Barclays I-3 YR Trea

92 . - lshares Tru st Barclays US Aggr93 . -IsharesTrust Ishares Bar clays TreasInflation94 . - Reserve Fund Primary Fund Tresury Class

9 5. - Al ge r Sm i d c ap G r ow t h Fu n d C L A96 . -Aston Funds Montag & Caldwe l l GrowthFD CL97 . -Baron Asse t Fd Iopportun i ty Fund98 . -Causeway ln temat ional Value Fund

Investor Class99 . -Cullen High Dividend Equity Fund

100. -Columbia FDS SER TR Small Cap Value IIFd CL101. - Evergreen Equ i ty TR (Y)

102. -1NG Mutual Fund s Global Real Estate FundC L A

Gross value at endo f r e p o r t i n g p e r i o d

(1) (2)Value V a l u e

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

( Q - W )B Dividend L T

None J TNone J T

E Int./Div. PI T

Type (e.g.,b u y , s e l l ,

redemption)

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

(2) (3) (4)D a t e V a l u e Gain

mm/dd/yy Code2 Code l( J - P ) ( A - H )

( 5 )Identity of



So ld 10107110 J(par t )

Sold 10/07/10 K B(pa rt)

Bu y 10/07/10 K(add l)

s ee no t e i n Pa r t VI I I

I . Income G ain C odes : A = $1,000 or less B =$ 1,00 1 - $2,500 C = $ 2,50 1 - $5,0 00 D =$5,00 1 - $15,000( See C olumns B 1 and D4) F =$50,001 - $ 100,000 G =$ 10 0,0 01 - $1,0 00 ,00 0 H 1 =$ 1,00 0,0 01 - $ 5,0 00,0 00 H2 =More than $5,000,0002 . V alue C odes J = $ 1 5 , 0 1 1 0 o r l e s s K =$15,001 - $50.000 L = $50,001 - $ 100,000 M = $ 100, 001 - $ 250, 000( See C olumns C I and D3 ) N =$250.001 . $500,(100 O = $500 .00 1 . $1,00 0,00 0 P I = $1 ,00 0,00 1 - $5,0 00 ,0 00 P2 =$5,000,001 - $25,000,000

P3 =$25,000.001 - $50.000.000 P4 =M or e than $5 0 ,0 0 0 ,0 003 . V alue Method ( odes Q = Ap p r a i sa l R ~ Cost (Real Estate Only) S =A s s es s ment T - C a s h M a r k e t(Se e Co lumn ( 2 ) U =B ook V alue V , O t h e r W =Es t imated

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


10/15


N a m e o f P e rs o n R e p o r t i n gCogan , Br ian M.


VII. INVESTMENTS and TRUSTS -incom e, vulue, , ...... t ions ( Inc ludes those of spouse and dependent chi ldren; seepp. 34-60 of . f il ing ins tructions . )D N O N E (No reportable income, assets, or transactions.)

A. B. C.Descr ipt ion of Assets Income during Gross va lue a t end

( includ ing t rust a sse ts) rep orting perio d of repo rting p eriod(I ) (2 ) (1) (2)

Place "(X )" after each asset Am oun t T ype (e .g ., V a lue V alueexempt f rom pr ior d isc losure Code 1 div. , rent, c o d e 2 Method

(ArH) o r i n t . ) ( J ~ P ) Co d e 3(Q-W)

(t )Type (e.g. ,

buy, se l l ,redempt ion)

Transactions during report ing period(2) (3) (4)

D a t e Value Gainmrn/dd/yy Code 2 Code 1

(J-P) (A-H)

(5)lden t i ty o fbuyer /sel ler

(if privatetransaction)

103 . - J anus Invt Fd For ty Fd C las s S1 0 4 . - Je n n i s o n M i d C a p G r o w t h F d I n c C L A ( Y ) see n o te in Par t VII I1 0 5 . - Je n n i s o n N a t R e s F d I n c C 1 A ( Y ) see n o te in Par t VII I1 0 6 . - JP M o r g a n T R I I n t l E q u i ty F D C L A1 0 7 . - L a z a rd E m e r g i n g M a r k e t s P o r t O p e n S H S1 0 8 . - O p p e n h e i m e r V a l u e F d C L A

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

109.I I 0 .I11 .

112.

-O ppenh e imer In t e rna t iona l Growth Fund-C L A-O ppenh e imer In t e rna t iona l Bond Fund-CLA- P i m c o T o t a l R e t u r n F u n d - C L A

- P i m c o H i g h Y i e l d F u n d - C L A

B u y( a d d l )

So ld(part)

10/07/10

10/07/10 K C

1 1 3 . - P e r k i n s M i d C a p V a l u e114. -P rudent i a l J enni s on Na t Res (Forme r lyJenni s on Na t Res )115. - P rudent i a l Jenni s on M id C ap (Form er lyJenni s on M id Cap)I 1 6 . - M a n n i n g a n d N a p i e r F u n d W o l dOpportuni t iesI 17. -M at th ews P ac i f ic Tige r Fund DividendRe inves t edI 1 8 . - R i d g e w o r th F D S I n t e r m e d i a t e B D F D C L I1 1 9 . - R y d e x S G I M i d C a p V a l u e F u n d C L A

Bu y(ad d l )

Bu y(ad d l )So ld(part)

10/07/10

10/07/10 K10/07/10 K

see n o te in Par t VII Isee n o te in Par t VII I

I. In com e G ain C od es: A = $1,000 or less B = $ 1,00 1 - $ 2,50 0 C = $2,501 - $5,000 D = $5,001 - $15,000{ See C olumns B I and D4) F =$50,O01 - $100,000 G =$ 10 0,00 1 - $ 1,000 ,000 H I = $1,0 00,0 01 - $ 5,000 ,00 0 H2 = Mo re tha n $ 5,0 00,0 00

2. Value C odes J ~ $1 5,00 0 o r le ss K = $15,001 - $50,000 L -$50 ,001 - $ 100,0 00 M =$100,001 - $250,000(Se e C olum ns C I and D 3 ) N = $250.001 . $50 0,000 O = $50 0,00 1 - $1.000 ,000 P 1 =$ 1,000,001 - $ 5,000,000 P2 =$5,000,001 - $25,000,000P3 -$25,000,0OI - $50,00 0,000 P 4 = M o re than $50 ,000 ,0003 . V alue Method C odes Q = A p p r a i sa l R ~C os t ( R eal Es t a t e Only ) S =A s s es s ment T = Ca sh Ma rke t(Se e Co tumn ( 2 ) U =B ook V alue V = O th e r W =Es t imalcd

E = $ 15 ,001- $ 50. 000


11/15


N a m e o f P e r s o n R e p o r t i n gCogan , Br ian M .

Date of Report05/15/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes t h o s e o f s p o u s e and dependent children; see pp. 34-60 of filing instructions.)~ NONE(No repo rtable income, assets, or transac tions.)A. B. C.

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d( i n c lu d i n g t r u s t a s s e t s ) re p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

( 1 ) ( 2 ) (I) (2)Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e

exempt from prior disclosure C o d e 1 d iv ., r e n t , C o d e 2 M e t h o d( A - H ) or i n t . ) (J-P) C o d e 3( Q - W )

( I )Type (e.g. ,buy, se l l ,

redempt ion)

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(2) (3) (4)

Date Value Gainmm/dd/yy Co d e 2 C o d e l

( J - P ) (A-H)

( 5 )Identity of



1 2 0 . - T h o m b u r g I n t l V a l u e F u n d121. - W e l ls F a r g o A d v a n t a g e s F d s ( F o r m e r l yEvergreen Equi ty )1 2 2 . IR A # 2 lnt./Div. P 1

B uy(addl) 10/07/10 K see note in Part V III

1 2 3 . - A l g e r S m i d c a p G r o w t h F u n d C L A124.

125.126.127.

128.

-Aston Fund s M ontag & Caldwel l GrowthFD CL N-Ishares Trust Ishares Barclays TreasInflation Protected-Ishares Trust Bar clays 1-3 YRTrea(Form erly Ishares Tr 1-3)-Ishares Trust Bar clays US Aggr(FormerlyIshares Tr Lehm an)-Reserve Fund Primar y Fund Treasury Class

S o l d(part) 10/07/10 K

129. -Baron Asset Fd I Oppor tun i ty Fun d130. -Blackrock Provident Ins tl FDS Temp fund

131.132.

133.134.

135.136.

-Causeway Internal Value Fund InvestorC l a s s-Cullen High Dividend Equity Fund

-Colum bia FDS SER TR Small Cap V alue IIFD CL A- E v e rg re e n E qu i t y TR I n t r i n s i c V a l u e F DC L A ( Y )- 1 N G M u t u a l F u n d s G l o b a l R e a l E s ta t e F u n dC L A ( V )- I v y G l o b a l N a t u ra l R e s o u r c e s F u n d C L A

Bu y(ad d l )

Sold

10/07/10 K

10/07 /10

see note in Part V IIIs e e n o t e i n P a r t VIII

A

I . Income Gain C odes : A =$ 1,000 or less B =$ 1.001 - $2,500 C = $ 2,501 - $ 5,00 0 D = $5,0 01 - $15,000( See C olumns B I and D4) F = $ 50,001 o $100.000 G =$ 100,001 - $ 1 .000,000 H I =$1,000,001 - $5,000,000 H2 =M ore than $ 5,000,0002. Value Codes J =$15.000 or less K =$ 15,001 - $ 50,000 L = $ 50,001 - $ 100,000 M =$100,001 - $250,000( See C olumns C I and D3 ) N = $ 250,001 - $ 500.000 O =$ 500,001 - $ 1,000,000 P 1 = $ 1,000,001 - $ 5,000,000 P 2 = $ 5,000,001 - $ 25,000,000

P 3 = $ 25.000,001 - $ 50.000,000 P 4 = M o re than $ 50,000,0003 . V alue Method C odes Q = Ap p r a i sal R =C os t ( R eal Es t a t e Only ) S =A s s es s ment T =C as h Mar k ett S e e C o l u m n C 2 ) U =B ook V alue V =Other W =Es t imated

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


12/15


N a m e o f P e r s o n R e p o r t in gCogan, Brian M.


V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse an d dependent children; see pp. 34-60 of f il ing instructions.)D N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e during G ross va lue at end

(includ ing t rust a sse ts) repo rting perio d of reporting period( 1 ) (2) ( 1 ) (2)

Place "(X )" after each asse t Am ount Type (e.g ., Value V a l ueexempt f rom pr ior d isc losure Code 1 div., ren t, C o de 2 M ethod(A-H) o r i n t . ) (J-P) Code 3( Q - W )

1 3 7 . - P e r k in s M i d C a p V a l u e F D C l a s s J S H S138 . - J anus Invt Fd For ty Fd C las s S1 3 9 . - J e n n is o n N a t R e s F d I n c ( Y )1 4 0 . - Je n n i s o n M i d C a p G r o w t h F d I n c C L A ( Y )141 . - JP M organ T R I In t l Equity FD CL A1 4 2 . - L a za r d E m e r g i n g M a r k e t s P o r t O p e n S H S143. - M a n n i n g A n d N a p i e r F u n d W o r l dOppor t un i t i e s Se r CL A144. -M at th ews P ac i f i c Tige r Fund DividendRe i nve s t e d1 4 5 . - O p p e n h e i m e r V a l u e F d C L A

146. -O ppenh e im er In t e rna t iona l Grwoth Fund-C L A147. -O ppenh e imer In t e rna t iona l Bond Fund- CLA1 4 8 . - P im c o T o t a l R e t u r n F u n d C L A1 4 9 . - P i m c o H i g h Y i e l d F u n d - C L A150. -P rudent i a l Jenni s on Na t R es (Former lyJenni s on Na t Res )151. - P rudent i a l Jenni s on M id Ca p (Form er lyJe nn i son Mi d Ca p)1 5 2 . -R i d g e w o r t h F D S I n t e r m e d i a t e B D F D C L I1 5 3 . -R y d e x S G I M i d C a p V a l u e F u n d C L A

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(l ) (2) (3)

Type (e.g., D a te V a lu eb u y , s e l l , m m / d d / y y C o de 2r e d e m p t i o n ) ( J - P )

B uy 10/07/10 J(ad d l )

B uy 10/07/10 K( a d d l )

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

Sold 10/07/10 K(par t)

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

S o l d 10/07/10 L(pa rt)

( 4 ) ( 5 )G a i n Identity ofC o d e 1 buyer /seller( A - H ) (if privatetransaction)

B

s ee no t e i n P a r t VI I Is ee no t e i n P a r t VI I I

s ee no t e i n P a r t VI I Is ee no t e i n P a r t VI I I

I . Income Gain C odes : A = $ 1.000 o r l e ss B =$1 ,0 0 1 - $ 2 ,5 0 0 C =$2,501 - $5,000( S ee Co l u m n s B I an d D 4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 G =$100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000

2. Value C od es J = $1 5.000 or less K = $15,001 - $50,000 L $5 0 ,0 0 1 - $1 0 0 ,0 0 0( S ee Co l u m n s C I an d D 3) N = $ 250.001 - $500,000 O =$500.001 - $1,000,000 PI =$1.000,001 - $5,000,000P3 =$25,000,001 - $50,000,000 P 4 = M o r e t h an $ 50, 000, 0003 . V alue Method ( odes Q = Ap p r a i sal R =C os t ( R eal Es t a t e Only ) S =A s s es s ment( See C olumn C 2 ) U =B ook V alue V = O t h e r W =Es t imated

D =$5,001 - $15,000H2 =More than $5,000,000M =$ 100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$15.001 - $50,000


13/15

FINANCIAL DISCLOSURE REPORTPage 13 of 15 Iame of Person ReportingCogan , Br ian M . Date of Report05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~ NONE(No repo rtable income, assets, or transactions.)A. B. C.

Description of Assets Income dur ing Gross value a t end( inc luding t rus t asse ts ) reporting period of reporting period(1) (2) (1) (2)

Place "(x)" after each asset A mo un t Ty pe (e.g ., V a lue V alueexempt from prior disclosure C o d e I div.. rent, C o d e 2 M e t h o d(A-H) o r i n t . ) (J-P) C ode 3

(Q-W )

1 5 4 . - T h o m b u r g I n t l V a l u e F u n d C L A155. - We l l s Fa rgo Ad vg Fd In t r i ns i c ( fo rmer lyEvergreen Eqt Intr156. Retirement Plan for Partners #3157. - Fideli ty Retire MMK T

158. - FID Freedom 2025159. Retirem ent Plan for Partners #4

160 . - NB Kamin sky II161 . - NB K amin sky II1

162. - FID Retire Money M arket163. College Access 529 Plan #2164. -Portfolio 005

(t )Type (e.g.,

buy, se l l ,r edempt ion)

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

(2) (3) (4)D a t e Value Gain

m m / d d / y y C o d e 2 Code 1( J - P ) (A-H)

Identity ofb u y e r / s e l l e r(if private


Int./Div.

None M

None

Bu y( a d d l )C los edCl ose dClos ed

TO p e nO p e nO p e n

T

10/07/10 K04/30/10 M04/30/10 M04/30/10 K

0 4 /3 0 /1 0 J04/30/10 K

104/30/10 M

see note in Part VII1

1. In co m e G ain Co d es : A = $1,000 o r le ss B = $ 1.001 - $ 2,500 C = $ 2,501 - $ 5,000 D = $ 5,001 - $ 15,000(S ee Co lu mn s B I a nd D4 ) F =$ 50 ,0 01 - $ 10 0,0 00 G = $1 00 .0 01 - $1 ,0 00 ,0 00 H 1 =$ 1,0 00 ,0 01 - $5,0 00 ,00 0 H2 =M ore tha n $ 5 ,000,0002 . V a lue C o d es J = $ 15,000 o r less K = $ 15,001 - $ 50,000 L = $50,001 - $ 100.000 M = $ 100,001 - $ 250,000

( See C olumns C 1 and D3 ) N =$250.001 - $ 500.000 O ~$ 500.001 - $ 1 ,000.000 P 1 = $ !,000,001 - $5,000,000 P2 =$5,000,001 - $ 25,000.000P 3 = $25,000,001 - $50.000,000 P 4 = M o re than $ 50,000,0003 . V a l u e M et h o d Co d es Q =Appraisal R = Co s t ( Rea l E s t a t e On l y) S = Assessm en t T = Cash M ar ke t( See C olumn C 2 ) U = Bo o k V a l u e V =( ) thcr W = E st i m a t ed

E =$15.001 - $50,000


14/15


N a m e o f P e r s o n Repor t ingCogan, Br ian M .

Date of Report05/I 5/2011

V I II . A D D I T IO NA L I NF O R M A T I O N O R EXP L A NA T I O NS . (Indicate part of report.)1 ) Pa r t V I I , pa ge 5 , l i ne 25: T he i ncom e a nd va l ue o f t he a sse t o f " . l PMorga n q R I NY Muni Mone y MKT Fund" w e re be l ow t he r e po r t i ng t h r e sho l ds .2) P a r t VI I , page 5 , l ine 27 : Th e incom e and va lue o f th e a s s e t o f " Al l i ance B erns t e in In t l Va lue Fund" w ere b e low th e repor t i ng th re s h olds .3 ) P a r t VI I , page 6 , l i ne 36 ; page 6 , l ine 55 ; page 9 , l i ne 101 ; page 1 I , l i ne 121: Th e name of a s s e t o f " Evergree n Equi ty TR " was ch ange d to " W el l s Fa rgoA dva n t a ge Funds" .4) P a r t VI I , page 6 , l i ne 38 ; page 6 , l i ne 50 ; page 8 , l i ne 7 2 ; page 8 , l i ne 81 ; page 10 , l i ne 104; page 10 , l ine 115 ; pag e 12 , l i ne 140; page 12 , l i ne 151: Th e nam e oa sse t o f "Je nn i son Mi d Ca p Grow t h Fund l nc CL A " w a s cha nge d t o "Prude n t i a l Je nn i son Mi d Ca p Grow t h Fund" .5 ) P a r t V I I , p a g e 7 , l i n e 6 7 ; p a g e 8 , l i n e 8 5 ; p a g e 1 1 , l i n e 1 3 4 ; p a g e 1 3 , l i n e 1 5 5 : T h e n a m e o f a s s e t o f " E v e r g r e e n E q u i t y T R I n t ri n s i c V a l u e F u n d " w a s c h a n g e dt o "We l l s Fa rgo A dva n t a ge Funds I n t r i n s i c V a l ue Fd" .6) P a r t VI I , page 8 , l i ne 7 1 ; page 8 , l i ne 82 ; page 10 , l i ne 105 ; page 10 , l i ne 114; page 12 , l i ne 139 ; pag e 12 , l i ne 150: " Jenni s on Na tura l Res o urce Fund " wascha nge d t o "Prude n t i a l Je nn i son Na t u ra l Re source Fund" .7 ) Pa r t V I I , pa ge 1 1 , l i ne 1 35: T he i ncom e a nd va l ue o f t he a sse t o f " l NG Mut ua l Funds Gl oba l Re a l Es t a t e Fund CL A " w e re be l ow t he r e po r t i ng t h r e sho l ds .


15/15


N a m e o f P e r s o n R e p o r t in gCogan, Brian M.

Date of Repor t05/15/2011

IX. CERTIFICATION.

I c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c lo s u r e .

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

Signature: S/Brian M . Cogan

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U , S . C . a p p . 1 0 4 )

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

Brian M Cogan Financial Disclosure Report for 2010

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Transcript of Brian M Cogan Financial Disclosure Report for 2010