FINANCIAL DISCLOSUE REPORT Report Required by the Ethics ...€¦ · D POSITION ORGANIZATION/ENTITY...

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POSITION ORGANIZATION/ENTITY

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AO iO Rev. 112008

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2007

i. Person Repordng (last name, fast, middle initial) 2. Court or Organization

MCAULIFFE, STEVEN J U.S. DISTRICT COURT - N.H.

4. Title (Article III judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- DI part-time)

D Nomination, Date

U.S. DI STRICT JUDGE (ACTIVE) Initial [Z] Annual

Sb. 0 Amended Report

0 Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ iDJ-ll ])

3. Date of Report

05/12/2008

6. Reporting Period

01/01/2007 !O

12.131/2007

7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance

WARREN B. RUDMAN COURTHOUSE with applicable laws and regulations.

55 PLEASAl\fT STREET, ROOM 416 CONCORD, N.H. 03301

Reviewing Officer

IMPORT AIVT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you. ltave no reportable information. Sign on last page.

Date

l. Fellow

2. Director

3. Trustee

4. Shareholder (50 percent)

5. Partner

I. POSIT! ONS. (Reporting individual only; see pp. 9-13 offiling instructions.)

D NONE (lVo reportable positions.)

NAME OF

New Hampshire Bar Foundation

Challenger Center for Space Science Education

Trust #I

Pleasant Lake Air, Inc., LLC

Pinchers' Investment Group (Neighborhood Investment Club)

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[{] NONE (No reportable agr<:ements.)

PARTIES AND TERMS

I.

2.

3.

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Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

MCAULIFFE, STEVEN J 05/12/2008

III. N0N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

[ZJ NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

1.

2.

3.

4.

B. Spou e' S Non-Investment Income - lfyou were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

[2J NONE (No reportable non-investment income.)

SOURCE AND TYPE

1.

2.

3.

[ZJ NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE

1.

2.

3.

4.

5.

IV. REIMBURSEMENTS - transportation, lodging,food, entertainment

(Includes those to spouse and dependent children; see pp. 25-27 of filing instn1ctions)

ITEMS PAID OR PROVIDED

CREDITOR.

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2.

of17

Name cf Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


V• GIFTS. (Includes those lo spouse and dependent childrp1; see pp. 28-31 of filing instructions.)

[Z] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I.

3.

4.

5.

VI. LIABILITIES, (Includes those of spouse and dependem children; see pp. 32-JJ.offiling instructions.)

D NONE (No reportable liabilities.)

1. Citibank

3.

4.

5.

DESCRIPTION VALUE CODE

Credit Card

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MCAULIFFE, STEVEN J of17 0511212008

-VII. INVESTMENTS and TRUSTS income, vallle, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.;

D NONE (No reportable income, assets, or transactions.)

A. B.. c. D. IDescription of Assets Income during Gross value at end of Transactions during reporting penod I

(including trust assets) reponing period reporting period

Place "(X)" after each asset

exempt from prior disclosure

!. Note Rec. R. Jobin

2. NOW Acct Bow Mills Bank (Acquired 4/30

by Merr. Cty. Sav Bk)

3. IRA Inv Co Amer Mm Fund

4. IRA Wash Mut Inv Fund

5. Exxon Mobil Corp.

Amount Type (e.g., Code I div., rent1 (A-H) or int.)

None

(3)(1) (2) (!) (2) (l) (2)

A interest J T

B Dividend L T

A Djvidend J T

'•

A Dividend J T Partial Sale 1/8 J D Mkt

Value Code 2

(J-P)

K

Value Type (e.g., Date Value Gain Idemity of Month -Method buy, sell, Code 2 f Code 1 buyer/seller

Code 3 redemption) Day (if private (J-P) (A-H)I transaction)(Q-W)

T

6. Bow Mills Bank Stock (Dj

7. UBS Retirement Monev Fund

8. Citigioup; Inc.

.......

9. IRA-Franklin Ttmpleton For. Fund

10. IRA PA PACE Large Comp. Value Fund

11. Medtronic [nc.

12. Pinchers' Investment Group Ptnshp Share

13. -BCR

14. -MD!.·

15. -MSFT

16. -PFE

17. -Dentsply Int. Inc.

A

A

A

A

A

A

A

A

A

A

A

None

interest J

Dividend J

Dividend L

Dividend

Dividend

Dividend J

Dividend

Dividend

Di.vidend J

Dividend

Dividend J

Sold

T

T

T

Sold

Sold

T

Sold

Sold

'T' '

Sold

T

4/30 N G

5/10 K A

219 J A

3!16 J B

'J/17 J A

1112 J A

Merr. Cty. Sav. Bk.

Mkt

Mkt

Mkt

,Akt

Mkt

I. Income Gam Codes: A $1,000 or less B =$!,001 -$2,500 c =$2,501 . $5,000 D =$5,001 · $15,000 E =$15,00 l · $50,000

(See Columns Bi and 04) F =$50,001 - $ 100,000 G $100,001 -$1,000,000 Hl =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. \/aiue Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,00 I - $I 00,000 M =$100,00! -$250,000

{See Column3.CJ and D3) N =$250,001 - $500,000 0 =$500,001 . $ i ,000,000 Pl =Si,000,00! -$5,000,000 P2 =$5,000,00! -$25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =A praisal R -=Cost {Rea! Est.:;.te Only) S =:Assessment T =Cash Market

(See Column C2 U =Book Value V-:oOthcr W =Estimated

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Name of Person Reporting Date of Report FINANCIAJ__, DISCLOSURE REPORT

of17 MCAULIFFE, STEVEN J 05/1212008

vlI. IN\'ESTMENTS and TRUSTS - income, value, transactions anc1udes those of spouse and dependent children; see pp. 14-60 of filing instructions.)


A. Description of Assets (including trust asseis)

Place "(X)" after each asset exempt from prior disclosure

Income during reporting period I

Gross val�� at end of reporting period

(I) (2) (!) ' (2) (1) Amount Type (e.g., i Value I Value I Type (e.g.,

D. Transactions during repurting period

(2) (3) (4} (5) Date Value Gain Identity of

Month- Code2 Code i buyer/seiler Day (J-P) (A-H) (if private

I

II Code I· J

div., rent, Code 2 i Method ! buy, sell, (A-H) 11 or int.) (J-P) ! CodeJ L:.edemption)

transaction)

18. -BAC A Dividef!d J T

19. -Air Products & Chem. A Dividend J T

20. -Oceaneering Intnl Inc. A Dividend J T

'21. -Whiting Petroleum Corp. A Di1idend J T

22. -Diageo (DEO) A Dividend J T

23. -Energy Ptnrs Lrd. (EPL) A Dividend Sold

24. -JobtJsJn & Johnson (f!<J) A Dividend Sold

2 . -Tat•J. Mtrs. \TIM) A Dividend J T

26. -BH11 Billiton Ltd ADR A Dividend Buy

27. -Gilead Sciences Inc. A Dividend Buy

28. -MEMC Electr. Matis. A Dividend Buy

29. -Quest Diagnostics A Dividend Buy

30. -Suntech Power Hidgs. A Dividend Buy

31. -! Jni\ever NV A Di.vidend Buy

j2 -USG Corp. A Di;idend Buy

33. -Zeb.a Technologies A Di1·idend Buy

34. Bank of America Corp. A Dividend J T Partial Sale

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l Income Gain Codes;

(See Column . s B! and D4)

2. Value Codes

(See Coiumr.s Cl and D3)

3. Value Method Cndes (See C,.Jlumn C2)

f, :::$ l ,000 or less

F =$50,00i - S l.00,000

J =$1.5,000 or iess

N =$250,00 t - $500,000

P3 =$25,000,001 · $50,000,000

Q =Appraisal l1 =Book Value

B =$1,001 - $2,500

. G =>IOG,001 · $1,000,000

K =$15,001 -$50,000

0 =$500,001 -$1,000,000

R =CJst (Rea.I £st.at( Oi:ily)

V =Other

c 42,501 - $5,000

H! =$1,000,001 · $5,000,000

L--$50.001 -$100,000

Pl =$i,OOO,OOI -$5,000.000

P4 =More than $50,000,000

S =Assessment

W ""Estimated

7/19 J A

11/16 J A

3/28 J

9/17 J

10/12 J

219 J

7/19 J

3128 J

1112 J

4/13 J

12/27 J A

D =$5,001-$15,000

H2 =More than $5,000.000

M =$100,001 -$250,000

P2 =$5,000,001 - $25,000,000

T =Cash Market

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

E =$15,001-$50,000

I B

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of17 MCAULIFFE, STEVEN J 05/12/2008

VII. INVESTMENTS and TRUSTS - income, value, transactions onc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. c.

Description of Asset I

Income during Gross value at end of

(including trust assets) reporting period reporting period

(!) .(2) (!) (2) (1) Place "(.X)" after each asset Amount Type (e..g., Value Value Type (e.g.,

exempr frvm·prior disclosure Code 1

35. Lowes Cos, Inc.

36. CVS Caremark Corp.

37. Motoroia, Inc.

38. Petroleo Brasileiro

39. Praxair, Inc.

40. Staples

41. LM Ericsson Teiefon C0.

42. IRA J Shares Rus.;ell hnd

43. !RA Midcap SPDR TR

44. Fed. Prime MM Fund

45. BMB NOW Acct. (2)(Acquired by Merr. Cty. Sav. Bk. 4130)

46. Cemex SA.

47. !shares Trust S&P Tele

48. Internet l-blders Trust

49. Aus & NZ Bkg Grp

50. Diageo (DEO)

51. Franklin Res. Inc.

I. Income Gain Cvdes:

(See Columns Bl and D4) 2, Value Codes

(See Colur.ms CJ and DJ)

3. Value Method Codes

(See Column C2)

A =$1,000 or !ess F 450,001 • $100,000

J ""$15,000 or Jess

N =$250,001 - $500,000

P3 =$25,000,001 • $50,000,000

Q c=Appraisa!

Li =Book \' tue

(A-HJ

A

A

A

A

A

A

A

A

A

A

B

A

A

A

A

div., rent, Code 2

or"int.) (J-P)

Dividend

Dividend K

Dividend

Dividend K

Dividend K

Dividend

Dividend

Dividend K

Qividend K

Dividend J

Interest M

Dividend J

Dividend J

Divid·end

Dividend

None J

None J

B =$1,001 .. $2,500

G =$100,001 .. $1,000,000

K =$i5,00! ·· $50,000

0 =$500,001 .. $1,000,00U

R "-'Cost (Real Estate Only) '.1 =<J!her

I Method buy, sell,

Code 3 redemption)

(Q-W)

Sold

T

Sold

T Partial Sale

T

Sold

Sold

T

T

T

T

T

T

Sold

Sold

T

T

c =$2,501 . $5,000

Hl =$1,000,001-$5,00CT,OOO

L =$50,00 I • $100,000

r1 =$1,000,001 .. $5 >oo.ooo P4 =More than $50,000,000

S =Assessment

W =Estimated

D.

Transactions dunng reporting perlod

(2) (3) f4) Date Value Gain

Month - Code 2 Code 1 Day (J-P) (A-H)

3/7 J A

1/11 J B

1/16 K E

5/10 K D

12/11 J A

5/10 J A

5/10 J c

D =$5,00 I - $ l l,000

H2 =More than $5,000,000

M =$100,001 .. $250,000

P2 =$5,000,001 .. $25,000,000

T o:=Cash Mark et

(5) Identity of

buyer/seller

(if private

transaction)

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

E =$15,001 - $50,000

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VII. INVESTJ\IENTS and TRUSTS - income, value, transactions (Includes 111ose of spouse and dependent children; see PP· 34-60 of.filing instructions.;


52.

53.

54.

55.

56.

57.

58.

59.

60.

61.

62.

63.

64.

65.

66.

67.

68.

A. Description of Assets (including trust assets)

Place 11(Xt after each asset exempt from prior disclosure

Thermo Fisher Sci. (TMO)

Am Cap Str. Ltg.

NFJ DVD Int & Pr FD

United Health Group Inc.

Wellpoint, lnc.

Enterprise Prods. Ptnrs.

IvfFS lm:n1 Divers. FD

Agrn<· Realty Corp.

Sun1;or Energy Inc.

Chesapeake Energy Corp.

Joy Global Inc.

Citizens Commo. Co.

Cohen & Steers Prem. Inc. Realty Fund

Kinder lvforgan Energy LP

Alaska Com Sys Grp Inc.

Penn VA Resomce Pt. LP

Cohen&. Steers Select Util Fd

I. Income Gain.Codes: A =$1,000 or iess

(See Columns 81 8.fld D4) F =$50,001 -$100,000

2. Value Codes j =$15,000 or less

(See Columns Cl &nd D3) N $250,00 l • $500,000

B.

Income during reporting ;>eriod

I (1)

IAmount ICode I

I (A-H) I I I

A

A

A

A

A

A

A

A

A

A

A

A

A

A

A

A

(2) Type le.g., div., rent,

or int.)

None

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

B =$!,00! - >2,500

: I I I

i

I

c.

Gross value at end oi .reporting period

(J) (2) (I) Value Value Type (e.g.,

C de 2 Method buy, sell,

(J-P) Code 3 redemption)

(Q-W)

J T

Sold

K T Partial Sale

Sold

J T

J T

J T

Sold

Sold

J T

K T

J T

Sold

J T

J T

J T Add!. Buy

Sold

c =$2,501.-$5,000

G =$100,00i -$1,000,000 HI =$1,000,001 -$5,000,000

K =$15 ,00 I · $50,000 L =$50,00 I • $100,000

0 =$500,001 -$1,000,000 Pl =$1,000,001-$5,000,000

P3 =$25,000,001 . $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only} S =Assessment (See Column C2) U =Boo}; Vaiue V =Other W =Estimated

D.

Transactions during reporting period

(2) Date

Month-

Day

1/8

6/13

219

412

9125

1/17

10/2

8/17

(3) (4) Value Gain

Code 2 I Code I

(J-P) (A-H)

J B

J A

J A

J A

J c

J A

J

J A

D =$5,001 -$15,000

H2 =More than $5,000,000

M =$100,001 - $250,000

P2 =$5,000,001 • $25,000,000

T =Cash Market

(5) Identity of

buyer/seller (ifprivate

transaction)

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

E =$15,00 l - $50,000

I

-

.

fl. !

I

B.

I j I !

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of17 MCAULIFFE, STEVEN J 05112i2008

VIL INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of;wnc instructions.J

D NONE (No reportable income, assets, or transactions)

A. c. D.-r=-Description of Assets Income during 1 Gross va1ue at end of Transactions during reporting period (including trust assets) reporting period reporting period

Cl) ; (1) (2) (l) (2) (3)!Amount IPlace 11(X)" after ea.::h asset Value Value Type (e.g., Date Value GainType (e.g., Identity of

exempt from prior disclosure Code l div., rent, Code2 Merhod buy, sell, Month - Code 2 Code l (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H)

(Q-W)

69 Nordic Am. Tanker Shipping Ltd A Dividend Sold 11130 J A

70. GMH CMNTYS TR A Dividend Sold 412 J A

71. American lntnl Grp A Dividen d Sold 816 J A

buyer/seller

(if private

rransacti on)

Mkt

Mkt

Mkt

72. Bayer AG Spon ADR

73. Bayer AG Spon ADR

74. Adobe Systems, Inc.

75. Cisri· Systems} Inc.

76. Gouhch Corp.

77. !vlyri.ill Genetics, Inc

78. Shire PLC ADF.

79 Williams Cos., Inc.

80. !share> TR Russeil 2000 Index Fund

8 !. !shares TR Russell Midcap Val. Index Fund

82. Allied Capita! Corp.

83. Allied Capital Corp.

84. Apollo lnv. Corp.

85. Apollo Inv. Corp.

A

A

A

A

A

A

A

A

A

A

A

A

A

A

Divi dend

Dividend

Dividend

Dividend

Dividend

Div iden d

Dividend

Dividend

Dividend

Dividend

Dividen d

Dividend

Dividend

Dividend

J

j

J

K

J

J

]

J

Buy

Sold

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

Buy

Sold

Buy.

Sold

915 K

10/24 K B

10/29 J

10/29 J

5/10 J

915 K

5/iO J

10/29 J

5/IO J

5/10 K

li25 J

11/30 J A

3/16 J

8/6 J A

Mkt

Mkt

Mkt

Mkr

Mki

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

B =$1,001 -$2,500 c =$2,50) - $5,000 D =$5,001 • $15,000 E =-$15,001- $50,000Income Gain Codes: A =$1,000 or less F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 {See Columns BI and D ) H2 =More Jhan $5,000,000

J =$1 ,000 o:- \ess K =$15,00J -$50,000 L =$50,001 - $100,000 M =$t00,001 - $250,000Value Codes N =$250,00; - $500,000 0 =$500.001 - $1,000,000 Pl =-$1,000,001 -$5,000,000 P2 =$5,000,001 · $25,000,000(Sec Columns 1 and 03) !'J =$25,ooo.oo 1 - s5o,ooo.. oo P4 =More than $50,000,000

Value Method C0des Q =Appraisal R =Cost (Real Estate Only) S =Assessment T ash Market U =8(,0k Vah1e(See Colurnn C2) V ==Other W =EstimatcG

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Name of Person Reporting Date of Report FINANCIAL DISCLO URE REPORT


VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.J


A. B. C. Descriptwn of Assets Income during Gross value at end of (including trust assets) reporting period reporting period

Ol (2) (1) (2) (1) Place " (X)" after each asset Amount I Type (e.g., Value Value Type (e.g.,

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) mmt) (J-P) Code 3 redemption)

(Q-W)

86. Blackrock Cap & Income A Dividend Buy

87. Blackrock Cap & Income A Dividend Sold

88. Cohen & Steen A Dividend Buy

89. Cohen & Sieers A Dividend Sold

90. Cons Communications A Dividend Buy

91. Cons Cwnrnumcations A Divi end Sold

92. DWS FJZEEF A Dividend Buy

93. DWSRREEF A Dividend Sold

94. Nuv w Equity A Dividend Buy

95. Nuveen Equity A Dividend Sold

96. Paragon Shipping A Dividend Buy

97. Paragon Shipping A Dividend J T Partial Sale

98. Diana Shipping A Dividend Buy

i 99. Diana Shipping A Dividend K T Partial Sale

100. Norfolk South. Corp. A Dividend J T Buy

101. Kraft foods Dividend J T Buy

102. American Eagle Outfitters A Dividend J T Buy

l. Income Gain Codes. A =$I ,000 or less B :XI,001 -$2,500 c :$2,501 -$5,000

I (See Columns Bi and 04) F :$50,001 -$100,000 c :$J.00,00I - $1,000,000 HI :$1,000,001-$5,000,000

2. Value Cod.es J :$15,000 or less K :$15,00t -$50,000 L =$50,001 -$100,000

{Sec Columns Cl ai.1d D3) N 4250,001 -$500,000 0 4500,001 - $1,000,000 Pl :$1,000,001-$5,000,000

3. Value Method Codes

P3 =$2.5,000,001 - $50.000,000 P4 =More than $50,000,000

___

Q =o\ppraisal

U =8ooK Value

R =Cost (Real Estate Ody)

V "'Jther S =Assessment

W :.o:E.stimated

D.


(2) (3) (4) (5) Date Value Gain Identity of

Month- Code 2 Code 1 buyer/seller

Day (J-P) (A-H) (if private

transaction)

11/8 J Mkt

12/20 J A Mkt

4/J8 J Mkt

8/17 J A Mkt

8/1 J Mkt

4/30 J A Mkt

l/11 J Mkt

4/3 J A Mkt

916 J Mkt

12120 } A Mkt

9/19 J Mkt

11/13 J B Mkt

4/4 J Mkt

I i 11/13 J B Mkt

10/2 J Mkt

419 J Mki

12111 J Mkt

D :$5,001 -$15,-000 E. :$15,00 I - $50,000

H2 :More than $5,000,000

M =$100,001 -$250,000

P2 =$5,000,001 · $25,000,000

T ash Market

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VII. INVESTMENTS and TRUSTS - income, vazue, transactions (Includes those ofspouse and dependent children; see PP· J4-6o of filing instructions.;

0 NONE (No reportable income, assets, or transactions.)

A. B. c. D.I Income during

reporting period

Description of Assets Gross value at end of Transactions during reporting penod I (including trust assets) reporting period

exempt from prior disclost:re I Code I div., rent, I Code 2 Method buy, sell,

(2) (!)IAmount Type (e.g., ! Value

(2) (I) Value Type (e.g., I (2)Date

(3) (4) Value Gain

(5) Identity of Place 11(Xt after each asset

Month - Codo 2 Code l buyer/sellerI I (J-P) Code 3 I(A-H) or int.) redemption) Day (A-H) (if private

(Q-W) transaction)

!03. Altria Group A Dividend J T Buy 317 J Mkt

104. Lloyds TSB Group A Dividend J T Buy I1/30 J Mkt

105. Blacl<.rock ENfl Div Tr Com A Dividend J T Buy l 1/14 J Mkt

106. Eaton VanGe TaxMng Buywrite Inc. A Dividend J T Buy 12/20 J Mkt

107. Eaton Vance Tax Mng.

108. Nicholas-Applegate Intnl & Prem.

109. Alp.i.·1e Dyn. Div. Fund

110. Bla1.:krock Real Asset 1 r

Ii I. Reliance Steel & AL

1 12. Reliance Steel & Al.

113. IRA !shares Russell Mid-cap

I 14. IRA Saytem Comp. Svcs.

! 15. Bow Mills Bank Stoel,< [CJ

. 116. Bank of A.m. Corp. [CJ

117. Lowes Cos., Inc. [CJ

118. BP PLC ADR [CJ

119. Fed. Prime Obig. MM Fund [CJ

A

A

A

A

A

A

A

A

A

A

A

A

Dividend J

Dividend J

Dividen<:J J

Dividend J

Dividend

Dividend

Dividend K

Dividend J

None

Dividend K

Dividend J

Dividend K

Dividend J

T Buy

T Buy

T Buy

T Buy

Buy

Sold

T Buy

T Buy

Sold

T

T

T

T

12/20 J

12/27 j

1/30 J

7/13 J

5/10 J

915 J A

5110 K

5/10 J

4!30 L F

Mkt

Mki

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Merr. Cty. Sav. Bk.

I. Income Gam Cod s: A =$1,000 or icss B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5.001 - $15,000 E =$15,001 - $50,000

(See Columns Bl and D4) F =$50,00 I · $100,000 G =$!00,001 - $1,000,000 HI =$1,000,00! · $5,000,000 H2 =More than $5,000,000

2. Value Cc.-des J =$15,000 01 less K=$15,00! ·$50,000 L =$50,001 · $100,000 M =$100,00 l - $250,000

(Set Columns Ci and 03) N =$250,00 I - $500,000 0 =$500,001- $1,000,000 Pl =$1,000,001-$5,000,00C • P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R '""Co.<;t (R'!al Est.ate Only) S =Assessment T oCash Market

(See Column Cl)'------·----

U ==Book Value \!"'-Other VI ==Estimated

I I I I !

(1) -(2)

I (I) I (2)

I (1)

I

-

period

""'(; 1 I

I

f cs)

2 1

Name ofPerson Reponing Date of Report FINANCIAL DISCLOSURE REPORT

of 17 MCAULIFFE, STEVEN J 05/12/2008

VII. IN\7ESTMENTS and TR us TS -- income, value, trcnsactiom (Includes those of spouse and dependent children; see PP· 34-6U of filing instructions.)

NONE (Jv'o. reportable income, assets, or transactions.) D A. B. c.

Description .of Assets !ncome durir1g Gross value at end of


Place "(X)" after each asset Amount Type (e.g., Value

I Value Type (e.g.,

exempt from prior disciosure Code 1 div., rent, Code 2 Method I buy, sell, (A-H) or int.) i (J-P) Code 3 I redemption)

I (Q-W) II

120. Allied Capital Corp [CJ A Dividend Sold

121. Wellpoint, Inc. [CJ A Dividend K T

122. Kinder Morgan Energy Ptnrs. LP [CJ A Dividend J T

123. CVS Caremark Corp. [CJ A Dividend K T

124. United Health Group [CJ A Dividend Sold

125. Cemex .A. [CJ A Di·1idend K T

126. Suncor Energy l CJ A Dividend Sold

127. Citig;rc1up Inc. [CJ A Di';idend J T

128 ArMrican Cap Str Ltd. l CJ A Dividend Sold

129. NFJ Dvd Int & PR FD [CJ A Dividend K T

130. Enterprise Prod Pt [CJ A Dividend K T

131. Medtronic Inc [CJ A Dividend Sold

132. Ing Global Eq [CJ A Dividend Sold

133. l:i:ited Health Group [CJ A Dividend Sold

134. Am. !nm! Grp Inc. [CJ A Dividend Sold

135. Blackrock En. Div. Tt. [CJ A Dividend Sold

136. MFS lntnl Di" FD [CJ A Dividend K T

1. lncome Gam Codes: A =$ J ,00(1 er les11 8=$1,001 $2.500 c =$2,501 - $5,000

(See Columns Bl and 04) F=$50,00I -$100,000 G =$100,001 -Sl,000,000 Ht =SJ,000,00i -$5,000,000

2. Valu e Codes J =$ 5,000 or less K =$15,001 -$50.000 L=$50,00l -$100,000

(See Columns CJ llnd 03) N =$250,00J -$500,000 0 =$500,0l•l -$1,000,000 Pl =$1,000,00J - $5,000,000

P3 =$25,000,001 - $50,000,000 P4 =More.tha n $50,000,000

3 Value Method Codes Q =Apprai s al R =Co s t (Real Estate Only) S =Assessment

(See Column C2) U =Book Vame 'I :;o()ther W=Estimatcu

Transactions dming reporting

D.(2)Date

I Month-

Day

11/30

219

1/8

8/6

3/6

6/13

219 :

8/6

6/13

(3) l4l Value I Gain Identity of

Code Code 1 buyer/seller

(J-P) (A-H) (ifprivate

transaction)

J A Mkt

J A Mkt

J A Mkt

J A Mkt

J A Mkt

J A Mkt

J A Mkt

J A Mkt

J A Mkt

D =$5,001 -$15,000 E =$15,001 - $50,000

I-!2 =More thar, $5,000,000

M =$100,001 - $250,000

P2 =$5,000,001 - $25,IJOO,OOO

T =Cash Marke!

I

.

T

I I L::_J !

I I i

A

I

c.

(1) I

Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT


VII. INvTESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.)

D NONE '(No reportable income, assets, or transactions)

A. B.

!

D.

Gross value at end of Description of Assets Income ducing



(!) (2) (!) (2)

div., rent,

(2) (5)3Date Value Gain

( ) (4)ValueAmount Type (e.g., Value Type (e.g., Identity of Place "(X)" after each asset

. exempt ITom prior disclosure I Code 2Code I I Method buy, sell, Month- Code 2 Code 1 buyer/seller

Day (J-P) (A-HJ (ifprivateCode redemption) I II (Q-W)3f

(J-P)(A-H)

tnrnsaction)

137. Agree Realty [CJ A Dividend Sold 412 J Mkt

138. Chesapeake Energy [CJ A Dividend K T

139. Citizens Cornmo [CJ A Dividend K T

140. Joy Global [CJ

141. Cohen & Steers Prem Rlty FD [CJ

142. Cohen & Steers Select Util Fund Inc. [CJ

143. Penn VA Res. Ptnrs. l CJ

144. Ala.ska Comm. Sys [CJ

145. Nordic Am Tanker Ltd [CJ

146. GMH CM:NTYS Tr [CJ

147. Alpine Ser Tr (CJ

148. Alliance Resource Ptnrs [CJ

149. Altria Grouu [ C]

150. Kraft Foods, Inc [CJ

151. Paragon Shipping (Cj

152. Diana Shipping Inc. [CJ

153. Lloyd's TSB Grp [CJ

A Dividend

A Dividend

A Dividend

A Drvidend

A Dividenri

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Divide;:d

A Dividend

A Dividend

A Dividend

K

J

J

K

K

J

J

J

J

K

T

Sold

Sold

T

T

Sold

Sold

T

T Buy

T Buy

T Buy

T Buy

T Buy

T Buy

8/17

8/17

l/8

412

10/16

317

412

12/18

3i!9

11130

J A

J A

J A

J A

K

J

J

J

J

K

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

l. income Gain Codet. A. =$ l ,000 or less B =$!,00' - $2,500 c =$2,.501 - $5,000 D'=$5,00I -$15,000 E =$!5,001 - $50,000

(Sec Columns BI and D4) F =$50,00! - $i00,000 G=$!00,0vl -$!,000,000 Hi =$!,000,00! -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50.001 ·$I 00,000 M =$I 00,00 I - $250,000

(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pi =$1,000,001-$5,000,000 P2 =$5,000,001 -$25,000,000

P3 $25,000,001 -$50,000,000 P4 =More than $50,000,000

3. Value Meth0d Codes Q =Appraisal R -=C;)sl (Rl!a1 E<rrate Only} S =Assessment T ash Market

(Sc:t Column C2) U =Book Value \' -=Otl;e; W=Estimared

I B

I I I

I (!) l (2) ! ('2) (4) (5) I

I I I

1

I

I

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

ofl 7 05/12/2008MCAULIFFE, STEVEN J

VII. INVESTMENTS and TRUSTS - income .. value, transactions (lncludes those ofspouse and dependent children; see PP· 34-60 of filing instructions.)


c. D.A. Income during Gross value at end of Transacrio11s during reporting period Description of Assets

(including trust assets) reporting period reporting period I (1) ' (2) I (l)

Place 11(X)11 after each asset ! Amount Type (e.g., I Value Value Type (e.g., Date Code Iexempt from prior disciosure div., rent, Code 2 Method buy, sell, Month-I(A-H) oi int) I (j-P) Code 3 redemption) DayI (Q-W)

(3) -[I

Value Gain Identity of Code 2 Code I buyer/seller

(J-P) (A-H) (if private transaction)

154. Blackrock Real Asset [CJ A Dividend K T Buy 4/16 K Mkt

155. Blackrock Cap & Inc Str [CJ A Dividend J T Buy 4/16 J Mkt _

156. Eaton Vance Tax Mng Buywrite Inc. [CJ A Dividend K T Buy 12111 K Mkt

157. Eaton Vance Tax Mng [CJ A Dividend K T Buy 12/20 K Mkt

158. Nichoias-Aµplegate lntnL & Prem. Str. [CJ A Dividend K T Buy 12/27 K Mkt

159. Adveut Claymore G&I [CJ A Dividend Buy 3122 J Mkt

160. Adver-.< Ciaymore G&l fC] A Dtviciend Sold 9il8 J A Mkt

161. Allied Cap ital [CJ A Dividend Buy 9i27 J Mkt

162. Allied Capital [CJ A Dividend Sold il/30 J A Mkt

163. CEF Apollo (CJ A Dividend Buy 1/31 K Mkt

164. CEF Apollo (CJ A Dividend Sold 816 K A Mkt

165. Blackrock ENH Div LCJ A Dividend Buy 10123 J Mkt

166. Blackrock ENH Div [CJ A Dividend Sold 12/11 J A Mkt

167. DWS RREEF [CJ A Dividend Buy 1112 K Mkt

168. DWS RKEEF [CJ A Dividend Sold 412 K A Mkt

169. Canadian Coal [CJ A Dividend Buy 414 K Mkt

170. Canadian Coal [CJ A Dividend Sold 5125 K A Mkt

1. Income Gam Codes: A =$I ,000 or ltss 8 =$!,JOI· $2,500 c =$2,501 - $5,000 D =$5,00I • $l 5,000 E =$15,00 I • $50,000

(See Columns BI and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001. $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 • $100,000 M =$100,001 • $250,000

(See Columns CI and D3) N =$250,001 · $500,000 O 4500,00 I . $1,000,000 PI =$1,000,00 I · $5,000,000 Pl =$5,000,001 • $25,000,000

P3 =$25,000,00 I • $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisai 8. =Cos< (Real Estate OnlyJ S ""Assessment T =Cash Market

(See Column C2) U =book Value V=Oth°' W '="Estimated

I

I l

I

I

I

c

J

I I j

of17


MCAULIFFE, STEVEN J 05/i2/2008

VII. INVESTMENTS and TRUSTS - income, vatue, transacrwns r111c1udes those of spouse and dependent children; see pp. 34-60 of filing instructions.)


A.

Description of Assets

(including trust assets)

Place "(X.J" after -each asset

exempt from prior disclosure

171. fNG [C)

172. ING [CJ

173. Nuveen Equity [CJ

174. Nuveen Equity [CJ

175. Thornburg Mtg [CJ

176. Thornburg Mtg [CJ

177. Nordic Arn. Tanker [CJ

178. Nordic Am Tanh-r [CJ

i 79. RMA Tax-Free Fund [Kj

180. UBS PaC;e MM lnv Fund Class P [K]

181. Am Funds Growth Fund of Am Class F [K]

i82. John Hancock Classi Val Fund Class A [K]

183. Oppenheimer Main St. Small Cap Fd A [K]

184. RS Value Fund Class A [K]

185. Thornburg lntnl Value Fund Class A [K]

186. DWS Core Fixed Income Fund Class A [K]

187. FT Templeton Global Bond A [K]

1 . .Jncome Gain Codes: A 41,000 or less

{Sev Colum,rys BI and D4) :. Value Codes

(See <;:otumns Cl and 03)

F =$50,001 - $100,000

J =$15,000 or less

N =$250,00 I · $500,000

B.

lncome during

reporting period

(!) I

(2)

Amount. Type (e.g., Code I div., tent, (A-H) or int.)

I

I

I !

Gross value at end of

reporting .period

(!)

Value Value

Code 2 I Method

(J-P) I Code 3

(Q-W)___j______ .1

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A D1videnc

A Dividend

A Interest K T

A Interest j T

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend T

A Dividend J T

A Dividend J T

A Dividend J T

{I) Type (e.g.,

buy, sell,

redemption)

Buy

Sold

Buy

Sold

Buy

Sold

Buy

Sold

Buy

Buy

Buy

Buy

Buy

Buy

Buy

Buy

Buy

B =$1,00! -$2.500

G=$!00,00l -$!,OOO,OOO

K =$15,001 - $50,000

c =$2,501 -$5,000

0 =$500,001. :01,000,000

HI =$1,000,001 · $5,000,000

L =$50,00 I · $I 00,000

3. Value Method Cod:.>.s

(Sec Column C:)

P3 =$25,000,001 . $50,000,000

Q =Appraisal R :=:Cost (Real E,<;tate Only)

·v =Otber

PI =>1,ooo,001-S5,ooo,noo

P4 =More than $50,000,000

S =Assessment

U =Book Value W =Esti1nated

D.

Transactions during reponing period

(2) (3) (4) Date Value Gain

Month-

I Code 2 Code I

Day (J-P) (A-H)

616 K

9126 K A

916 K

11/8 K A

916 J

11/15 J A

816 K

12/12 K A

6125 K

6125 J

6/25 .T

6125 J

6125 J

6/25 J

6125 J

6125 J

6125 J

D =$5,001 -$15,000

H2 =More than $5,000,000

M =$100,001 -$250,000

P2 =$5,000,00 I -$25,000,000

T ash Market

(5) Identity of

buyer/seller

(if private

transaction)

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

Mkt

E=$15,00I -$50,000

I

I I I I

I I I I I

1 188.

I i I

• (5)



VII. INVESTMENTS and TR US TS - income, value, transactions r1ndudes t1tose of spouse and dependent c1tildren; see PP· 34-60 offiling instructions.)


Manager's Bond Fund [K]

A. B. I c.

Description of Asoets Income during Gross value at en<i of

(includir,g tru$! assets) I reporting peric.d reporting period I

(1) (2) (1) I (2) (!)I Place 11(X)'1 after each as.set I Amount Type (<.g, Value Value Type (e.g.,

D.

! Code I I exempc from prior disclosure div., rent, Code 2

I (A-H) or int.) (J-P)

Method buy, sell,

Code 3 redemption)

Month-

(Q-W)

A Dividend T Buy


(2) Date

Day

6/25

(3) (4) Value Gain

Code 2 Code \

I(J-P) (A-H)

I

Identity of

buyer/seller

(if private

transaction)

1. income Gain Codes. A =$1,000 or less B =$ l.00 I - $2,500 c =$2,501 . $5,000

(3e.e Columns Bl and L'AJ f => 50,00: - $I 00,000 G =$100,001 - $1,000,000 HI =S:!,000,001 -$5.000,000

2. Value Codes J =$15-1.000 or less K =$15,001- $50,000 L ' 50,001 - $\00,000

C·3) N '"$250,001 - $500,000 0 >500,001 - $1,000,000 Pl =$1,000,001-$5,000,000

P3 = 25,000,00 I - $50,000,000 P4 More than $50,000,000

3. Value Method Codes Q =Appraisal .·· R =Cost (Real Estate Only) S =Assessment

(Se<· Column C2) U =Book Value V =')ther W =Estimated

(See Colurr.ns Cl and

D =$5,00 I $15,000 E =$15,001 - $30,000 •

H2 More than $5,000,000

M =$i00,00I - $250,000

P2 =5:5,000,00I - $25,000,000

T =Cash Market



VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicaleparlofReport.)

PART I. POSITIONS. Pleasant Lake Air, Inc., LLC, is a corporation formed to own a Cessna l 82 Skylane single engine private airplane. I own a one-half interest in the corporation

(and thus the airplane).

PART VJ. LIABILITIES. I own a summer cottage with a former law partner, Edward E. Shumaker, III, as tenants in common, which property is mortgaged in part. That liability is not

disclosed since it is secured by real property which is a personal residence.

PART VIL INVESTMENTS AND TRUSTS. Trust #I assets are listed in Part VII, identified by the designation '[c]."

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

MCAULIFFE, STEVEN J 05/12/2008of17

IX. CERTIFICA TIO No

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further certi(y that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 V.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INmVIDUAL WHO KNOWINGLY AND WILFULL

AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One· Columbus Circle, N.E. · Washington, D.C. 20544

FINANCIAL DISCLOSUE REPORT Report Required by the Ethics ...€¦ · D POSITION ORGANIZATION/ENTITY...

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