Maryanne T Barry Financial Disclosure Report for 2009

8/3/2019 Maryanne T Barry Financial Disclosure Report for 2009

1/277

" ao

~0 " ~/ FINANCIAL DISCLOSURE REPORT

Rq, ort 2~equi~ed by the ~thi~"

in Government Acl of 1978

.... ~,ey,ii~O ~ F O R C A L E N D A R Y E A R 2009

0 t ~ : s . c ,

a p p . ~ : ~ I O J - ~ H )

1. Person Reposing ~ ~e, firsL ~d~e inifi~)

2. Cou~ or Organization

3. ~te of Repo~

Ba~, Ma~a~T. US Cou~ of Ap~aIs 3rdCircuit

9/1/2010

4. Title (~ticle III judges indicate active or senior sta~s;

5a. Re~ T~e (check appropriate t)~e)

6. Reporting Period

magistrate judg~ indicate ~11- or

~ Nomination,

Date

01/01/2009

U.S~ Circuit Judge ~

Initial

~ ~ual ~Final

12/31/2009

5b. ~ ~dedR~o~

7. Chambers or Office Address

8. ~ the basis of the information eont~n~ in this Report and any

modifications pe~alning thereto, it i~ in my opinion, in compliance

USPO & Cou~hot~e Bldg

with appliable laws and regula~ons,

Newark, NJ 07101

Refie~g Officer

Date

I ~ O R T A N T N O T E S : The ~s~uctions accompanying this form must be foHowe Complete a~ parta,

checking the NONE box for each part where you have no reportable i~form~om Sign on l~t page.

I. POSITIONS. ~epon~

~ N O N E ( N o

reportable positions.)

P O _ _ Q _ ~ T Q _ N _

NAME OF

Q..RGA~N/ENTITY

1. Co-Trustee

3, Co-Trustee

4. Co-Trustee

5. Co-Trustee

6. Co-Trustee

7. Co-Trus,ee

Trust #24

;~.; ; . :

9. Trustee

Tr~st #26

:7 ~.._ .-:">

.

10Trustee ,. ~ ::"

11 Trustee

I I . A G R E E M E N T S .

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

N O N E

(No reportable agreements.)

.DATE

P A R T I E S A N D T E R M S

1.


2/277

2.

3,


3/277

FINANCIAL DISCLOSURE REPORT

N~.~ of Person Reporting

[

Dale of Report

Page 3 of 277

Barry, Maryanne T.

]

9/1/2010

I II . N O N - IN V E S T M E N T I N C O M E .

m,~o r, i.g ~ ,ai~idua~ .,a,~, . . ..

; s e e p p . 1 7 - 2 4

of fi ling ins~uc~n s.)

A. Fliers Non-Investment Income

NONE ~o

reportable n on- inves tmem income.)

SO~CE AND ~PE

(yours, not spouses)

1.

2.

3.

4.

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

-

If you ~,ere married during any portion of the reporting year, complete this section,

(Daltar crmou~l not required ~cept for honoraria.)

[]

NONE (No reportable non-investment

income.)

~[_OURCE AND TYPE

1,

2.

3.

4.

I V . R E I M B U R S E M E N T S

-,,o.spon~o., todgi.g,~oo~

..,..a~.me..

(Includes those to

spouse and d~ :pendent children.

see pp 25-27

offiling instm~ctio~.)

N O N E

(No reportable reimbursements.)

~ ~

~ P~PO8~ ITEMS PAID OR PROVIDED

1.

2.

3,

4.

5.


4/277

Name of Person Reporting

Date of Report


B a~, ~a~a~e T.

age 4 of 277

9 / 1 / 2 0 ~ o

V . G I F T S .

(Includes those to sp ... . nd dependent

cl~itdren; see

pt~ 28-31 of fding instructions.)

NONE (No reportable g~[ts.)

S O U R C E

D E S C R I P T I O N

V A L U E

2_

3.

4.

5.

~]

N O N E

(No reportable liabilities.)

~

D E S C R I P T I O N VALUE CODE

1.

2.

4.

5,


5/277


N ....

f Person Reporting

t

Date of Report

Page 5 of 277

B a r r y , M a r y a n n e T .

9/I/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, c o ,, ,.

, . , ~ , , , ~ ,

. . . .

tions (Inclades those of spouse and depend ent children; see pp. 34-rO offdinginstruction&)

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

A. B.

C.

D.

Description of Assets

I nc om e d uring G ross valu e at e nd of Transactions during ~eporting period

(including trust assets)

reporting period

reporting period

(2) (|) (2) ~ (l) 1(2) (3) (4) (5)

Place "(X)" after each asset

~,mount

Type (e.g., Value Value

[,

Type (e.g.,

[

Date Value Gain identity

exempt f~om prior disclosure

Zode 1

div., rent,

Code 2

Method

buy, sell, i Month - Code 2 Code 1

buyer/seller

(A-H)

or int.) (I-P)

, Code 3 redem ption)

I

D ay (J-P) (A -H)

:

(ifprivate

~

i (Q-W)

i

i

i

transaction)

1. Rental Property #2 Brooklyn, NY A

Rent

J U

),

Rental Property #l 6 Brooklyn, NY

A

Rent J

U

3. Rental Property # 17 Brooklyn, NY A

Rent

J U

4. Rental Property #22 Brooklyn, NY

A

Rent J

U

5.

Rental Property #l 1 Brooklyn, NY

A Rent L

U

6.

Rental Property #10 Brooklyn, NY

A

Rent J

U

7.

i

Trust #6 - List of Assets

E

Int./Div. PI T

8.

- CAPITAL INCOME BUILDER INC Bu y 3/23 J

9. Bu y 3/30 J

I 0. Sold

5/4

J

(part)

11.

Bu y

6/22

12.

Sold

8t4

J

( p a r t )

1 3 _

Bu y

9/28

14 .

Sold

I1/4

i

(paa)

16.

-TE MNY FUNDOF AMERICA

17.

Trust #7 - L ist o f assets: N o n e

PI

T


6/277

Name of Person Reporting Date of Report

P a g e F IN A N C I A L 6 o f 2 7 7 D I S C L O S U R E R E P O R T


9 / / 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~ ..... I,e, tr .... dons (Includes those of spouse and dependent children; see pp. 34-60 offcling instruction.~)

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

A.

B.

C. D,


.

Income during

Gross value at end of Transactions during reporting period

0)

( 2 ) ~l) ~2) ~ 1 )

(2) ~3) [ (4)


[A m ou nt T yp e ( e.g .,

Value Value Type (e.g., Date Value [ Gain

Identity of

exempt from prior disclosure

~. Code ]

div., re~xt,

Code 2

I

Method

buy, sell, M onth - Code 2 I Code I buyer/seller

(A-H) [

or int.)

(J-P)

Code 3 redem ption) Day

(J-P) ] (A-H)

(ifprivatz

t_.__._...__ [ [

(Q-W)

i

[

transaction)

18. - Cash JPMorganChase

19. Trust #15 - List of assets:

D

]nt./Div.

N T

2 0 . - CASH - JPMORGAN TAX FR.EE MON

EY MAKK_ET

2 1 . - YPMORGAN MID ~.,AP VALUE FUND

2 2 .

~".~PMORGAN TA X AWAR E US EQUITY

FUND

23. - J-PMORGAN INTREPID AMERICA FU

N D

2 4 . - J PMO RGA N SMA LL C A P CO RE (FO R

Sold 8 / 2 1 J

MERLY EQ UITY) FUND

(part)

25. - .IPMORGAN INTREPID GROW TH FD

Sold

1 1 / 1 2 J

TURN FUND

2 7 .

-JPMORGAN MUNICIPAL INCOME FUN

D

28.

-THIRD AVENUE VALUE FUND

Sold

8/22 J

29 .

-MATTHEWS PACIFIC TIGER FUND

30 . -H1GHBRIDGE STATISTICAL MARKET

NEUTRAL FUND

31 .

-DODGE & COX INTL STOCK

3 2 .

-JPMORGAN A SIA E Q U I TY

FUND

3 3 . -JPMORGAN INTREPID INTI. FUND

3 4 .

-ISHARES RUSSELLIvlIDcAP GROWTH Sold

5/12 J

I NDE X

|. Income Crain CeAes:

A ~$1.000

or less

B =$1,001 - $~.~

C =$ 2.501 - $ 5 ,000 D ~$ 5,001 - $ 15 ,000

E =$15,001 - $50,000

(See Columns BI and 134)

F -$50.001 - $ 100.000

G =$100.001 - $1,000,000

HI =$l,000.00l - $5,000.000

H2 =Mo~e than

2. "Valoz Codes

J ~$ I S,000 or less

K =$1S,00l - $50.000 L =$ 50,00 - $ I O 0,000 M =$ 100~001 - $ 250~000

(See Colurans CI alld D3)

N =$250,04)1 - $500.D00

O =$5 00 00~ - $1.000,000

PI =$ ,000,001 - $5,000,000

P2 =$5,000,001 - $25,0D0.090

P3 ~$25,000,001 - $50,000,000

P4 =Mor~ th~ $50,000,00~

3. Value Method (.odes

Q =Appraisal

R ~Ct)st (Real E state Only)

S =A ssessment T =C ash Markel

(See C olunm (72) U =Book Value V =Other

W =Estimated


7/277


~ame ofPers0n Reportiug

[

Date of Rep0rt

Page 7 of 277


9 / 1 / 2 0 1 0

NO~ ~o reportable income, ~sets, or ~ansactio~.)

A.

" .......

~ ..... C.

D.

Description of ~se~

Income during Gross value at end of

T~ns~tions dunng r~o~ing

(i~luding trust ~se~)

[~

r~ing pe6~

,

repo~ng ~fl~

[

Place "(X)" a~er each ....

t

~mo~t[ T~(e.g.,

Value

Value

Ty~(e.g.,

Date [Value ~ Gain [

Identi~of

C~el [

di ~ rent

-

xempt from prior ~sclosure

C~e 2

] Meth~

buy. sell, Mon~

[ Code 2 [ C,~e 1 ~

buyer/~ller

35.

- E A T O N V A N C E S P L ~ T

~6 .

-FMI FDS ~C

37.

- J P M O R G A N U S g A R G E C ~ C O ~ P L

US F~D

3 8 . -MANN~G & NAP~R F~D ~C

3 9 . -)PD R T~UST SER IES 1 Sold

5/12 J

4 0 . -~MORGAN HIGH YIELDBO~ F~D Sold 8/19 J

4 1 . -THE OS~R~IS F~D

Buy 1 2 / 2 9

J

42. -ARTIO INTL EQUITY II

Bu y

8~ 2 J

43.

-JP MORGAN ~L C~NCY

Buy

8/22

~

@ A ~ E N H I G H I N C O M E F ~

Buy

5 1 1 5

45.

- ~ M O R G A N S T ~ TE G I C I N C O M E

Buy 5 / 1 5

J

4 7 . - C A S H - ~ M O R G A N T ~ F R ~ E M O N

E Y M A N E T

i 48.

- JPMORGAN MID CAP VALUE

~ 4 9 . - ~MORGAN T~ AWA~ US ~Q~ ....

Fk~D

5 0 . - JPMORGAN ~TREP1D AMERICA FU

51.

- ~M O R G A N S M A L L C ~ C O R E

Sold

8 / 2 1

J

(pa~)


8/277


~ m e o f P e r s on R e p o r t in g

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

Page 8 of 277

B a r ~ y , M a r y a n n e T . 9 / 1 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 - i n c o ,~ , v o ~ u ., .a , ~ a ~ ,~

(Includes those o f s p o u s e a n d dependent children; see pp.

34-60 o f ~ d l n g i ~ u c t i o n s . )

NONE ~o reportable income, assets, or transactions.)

A.

] B .

C.

D .

Des~pfio~ of Asse~

I n c o m e d u r i n g G~ va~e at end of

~

Tmnsacli~s during re~ing ~fiod

( i n c l u d i n g t r u s t a s s e ~ ) I

repo~ngp~i~

r~oaiug period

Place "(X)"fromafterprior~hdisclosu~a~et Am ount ] T~e (e.g., / Value [ Value ~ T~e (e.g., Date Value Gain / Identi~ of

C~e 1 ~v. ,

C~e 2 ~ Me~od

buy, sell, Mon~

C o d e 2

Co~ I [

(AH)

L

orint)] (J-P) ~:~

[

t~mption)

D a y

[ (J-P)

](A-~ ~ (ifpfvate

.

~

~ ,

~ a n s a c t i o n )

5 2 . - J PMO RGA N [ N T ~P1 D GWT H FD

Sold

1 1 / 1 2

J

5 3 . -J~ MO~a~ r~ aW~ ~ ~T~

~ F~

: 5 4 .

- ~ M O R G A N M I ~ ] C ~ A L ~ C O M E F U

~ 5 5 . -THI~ AVE~ VALt~ ~D

Sold

8/22 J

56. -MAITHEWS PACIFIC TIGER FUND

5 7 .

-HIGHBKIDGE STATISTICAL MARKET

NEUTRAL FUND

5 8 . -DODGE & C OX INTL STOCK

59. -J P MORGAN ASIA E QUITY FUND

60. -JPMOR~AN INTREPID INTL FUND

6 . -ISH.ARES RUSSELl. MIDCAP GRO WTH

Sold

5/12 J

I NDE X

62 . -MA.NNI NG & NAPI E R FU ND

6 3 . -JPMORGAN US LARGE ~AP COR~"PL

US FUND

6 4 .

-EATON VANCE SPL fNV

6 5 .

-FMI FDS INC

6 6 .

-SPDR TRUST SERIES 1

Sold 5/12 J

67.

- J PMO RGA N H IGH Y IELD B O N D FUN D

Sold

8/19

J

68.

-THE OSTERWEIS FUND Bu y

1 2 / 2 9

J

J

. Lacome Gain Codt~;

A N$1,000 or less

B =$1,001 - $ 2,500 C =$ 2,501 - $ 5, )00 D =$ 5,001 - $ 15 ,000

E =$15,001 - $50,01)0

(ge~ C olun*aas BI ~ml D4) F =$ 50,001 - $1~0,000 G -$ 100,001 - $1,000,001) HI =$1,0~0,0O l - $5 ,000,(300

H2 =More than

2. Value Codes

J -$ 15,00~ or te~s K ~$ 15,001 - $50,000

L =$50,0~1 - $i00.000 M ~$lOO.001 - $250.000

( S ee Co l u nms Cl ~d D 3) N =$250,001 - $500,0Q0

0 = $5 00 ,0 91 - $ 1,0 00 .0 00 P I = $1 ,0 0~ .0 01 - $ 5,0 00 ,0 00 P2 =$5.0~O,001 - $25,0~0,000

P3 =$25,000,001 - $50,~00,000 P4 ~More ~h~m $50,0~0,000

3. VallJe Method Codes

Q ,:A pptaisal R ~C o~ (R eal E state O nly)

S -Assessment

T =Cash M~ket

, (See Column C2)

U ~Book Value

V :OO~cr

W =F~tima~ed


9/277


10/277

I

am of Person Reporting Date of Report

FINANCIAL

DISCLOSURE

REPORT

9 / m 0 1 0

Page 10 of 277

V

I I . I N V E S T M E N T S a n d T R U S T S

- in ... ... ~.~. transactions (Includes

tho,e 4 spouse and dependent children; see pp. 34-60 offding instruction.~)

[---]

N O N E ( N o

reportable income, assets, or transactions.)

A.

B. C.

D.

Description of Asseks

Inc om e du ring G ross valu e at end of Transactions during reporting period

(including trust asseks) . reporting period

reporting period

.


~.m .oun, t ] Type (e.g., Value Value Type (e.g_, Date Value Gain

Identity of


Code t [

div., rent, C ode 2 M ethod buy, sell, Month - C ode 2

Code I

buyer/seller

(A-H) I

or int.)

(J-P) Code 3 redem ption)

Day (J-P) (A-H)

(if private

I

(Q-W)

j

txansacfion)

8 7 . -JPMORGi~;" INTREPIDINTL FUND

88 .

-ISHARE8 RUSSELL MIDCAP GROWTH

INDEX

89 . -EATON VANCE SPL INV

90 . -FM1 FDS INC

91 .

-SPDR TRUST SERIES 1

Sold 5/12

K

92.

oJPMORGAN HIGH YIELDBONDFUND

Sold

8/19 K

93 . -JPMORGAN US LARGE CAP CORE

94 .

-MANNING & NAPIER FUNDS

9 5 .

-THE O STER W EIS FUN D Buy

1 2 / 2 9

9 6 .

-AR.TIO INTL EQUITY II

Buy

8 / 2 2

9 7 . - J P MO RGA N IN T L CURREN CY

Bu y

8 1 2 2

" ~ 8 . -PAYDEN HIGH INCOME FD

B u ~ ,

5/~

9 9 . -JP MO R G A N SIR A ~EG IC IN C O ME Buy

5/t5

1 0 0 .

Trust #1 - List of assets:

E

Dividend

N

T

I01. - N EW WO RLD FUN D

Sold /3 0

( p a r t )

]102.

Sold

2 / 2 7

1. l~ome Gnln Cod~s:

A =$1,000 or Ices

B =$ 1,00l - $2,5 00 C =$2,50 - $ 5,000 D =$ 5,001 - $15,000 E =.$15,001 - $50,000

(S*c Colmnra BI and D4)

F---$50,0~1 - $100,000

G ~$100,001 - $ t,000,000

HI *$1,000,00l - $5,000J)00 H2 ~More than $ 5,000,0fi0

2. Value Cod~s

J =$15,000 or less

K =$15,001 - $50,00~

L =$50,001 - $100,000 M =$100,OOi - $250,000

(See Colunms CI and D3)

N =$ 25 0,001 - $ 500.000 O =$5 00,001 - $1,0~0,000 P I =$ 1,000,001 - $5 ,000,000 P2 =$5.000,001

- $25,000,000

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

P4 ~More f l~a~ $50,000,000

,

3. Value Method Codes

Q =A ppraisal

R ~-.Mst (Real E~at Only)

S =Assessment T :=Cash Market

i

(See C otulrm C 2) U =Book Value

V =Other

W =Estimated


11/277



Bahr,

Maryanne T.

[

9/1/2010

Page 11 of 277

V II. INV ESTM EN TS and TR U ST S -

NONE ~o reportable income, assets, or ~ansactions.)

A.

B.

C,

Description of Assc~

]noomc d~ng

r G ~ O S S V ~ U e a t e n d o f ,

Transactions during r~o~g period

(including ~st ass~)

mpo~ing

(A-~ ~

or inC)

]

O-P ) ~

C~e3

I

r~emption) Da y

~ (J-P) (A-~ ~

(ifpdwte

i03. -SM~CAP WO~D P~D ~C

Sold

2/27

M

104.

-Bond Fund of~erica Inc

Buy

2/27

M

1 0 5 .

Buy

3/26

J

1 0 6 . Sold 4/27 J

A

1 0 7 .

Buy

4/27

1 0 8 .

Buy

5 1 2 6

1 0 9 . Buy

6/16

l l 0 .

Buy

6/26

J

Ill.

Buy

7 / 2 7 l

I 12.

Sold

8/5

( p a r t )

113. Buy 8/26

i

14.

Buy 9;28

1 1 5 .

Buy

t 0 1 2 6

I 1 6 .

Sold

1 /6

(part)

117.

Buy 11/27

,

1 1 8 .

Buy 1 2 / 2 8

119. American Funds Money Market Fund F2


12/277


F I N A N C I A L DISCLOSURE

REPORT

] Barry, Maryanne T.

age 12 of 277

9 / 1 / 2 0 1 0


-

~ ....... t.,, tr .... tion, (Includes those of sp ..... d dependent children; see pp. 34-60 of.fding instructions.)


A.

~ -

B . C.

D.

Description of Assem

/

Income during

Gross value

a t end of

Transactions during reporting period

(including tn~st assels)

I

reporting period reporting period


Amount I Type (e.g.,

Value Value Type (e.g.,

[i Date

Value

Gain[

Identity of

exempt from prior diselos~xe

Code 1 I

div., rent, Code 2

Method buy, sell, [ Month - Code 2

Code ]

buyer seller

(A-H)

or int.)

(J-P)

Code 3 redemption)

/

D ay (J-P) (A -H ) (if private

~

i (Q-W ) "

,

1

transaction)

1 2 0 .

Trust #2 - List of assets:

E

Dividend

O

T

1 2 1 , - N E W W O R L D ~ U N D S o ld 1 1 3 0 J

( p a n )

122.

Sold

2/27

N

1 2 3 .

- SMALL CAP W~)RLD FUND

Sold

2/27

M

1 2 4 . Bond Fund of America ]nc

Buy 2 , / 2 7 M

i 125, Buy 3/26

J

1 2 6 .

Sold

4/27 J

A

( p a r t )

1 2 7 . Buy

4/27

J

1 2 8 .

Bu y

6/26 J

1 2 9 .

Sold

8 /5

J

A

( p a r t )

1 3 0 .

Buy

7/27 J

1 3 1 . Buy

8/26 J

1 3 2 .

Buy 9/28 J

1 3 3 .

Sold

l I/6 J A

( p a r t )

1 3 4 . Buy 1 0 / 2 6

J

1 3 5 . Buy 1 1 / 2 7 J

t 3 6 .

Buy 1 2 / 2 8 J

(S~ Colu~ ~) U -Book V~ue

V ~et

W


13/277


r~ ....f P ....

Reporting

Date of Report

Page 13 of 277

Barry,

M a r y a n n e T .

9 / 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 - Jn~o,,, ....

I .

transactions (Includes those of spouse and dependent children; seepp. 34-60 of fding insrrucaons.)

NONE (No


Description of AsseL~ i

Income during

/ Gross value at end of


reporting period

including tr~st assets)

reporting period

Place "(X)" afmr eachasset

Amotmt Type (e.g., Value Vatue Typ~ (e.g,

[Date Value[ Gain[

Identityof


Code 1 [

d~v., rent, Code 2 Method

buy, sell,

[Month -

Code 2 Code l I bnyedseJle

(A-H) :

orint.) (J-P)

[ Cod3

redemption) |Day

[ (I-P)

(A-H) [ (ifprivate

i

i

j

transaction)

137, American Funds Money Market Fund F2

138. Trust #3 - List of assets:

C

Interest

P1

T

139. - Cash JPMorganChase

t40. CHASE JP MORGAN

B

Interest

PI T

41. -CAPITAL GUARDIAN:

142. ABB LTD (CHF)

A

Dividend Transferred

3/4

J

from line 2220)

143.

Sold

3/19

J

44.

Transferred

6/1 J

i~om line 2468

145.

Bu y

10/19

K

I46.

Sold

12/10

K

147. AEFNA INC

Transferred

3/4

J

ifrom line 2224

148.

Sold

3/18

J

I49. Heineken HoldingNV

A

Dividertd

Transferred

3/4

J

from line 2319

150. Sold 3/19 J

15I.

Transferred 6/1

K

from line 2875

152.

Transferred 6/1 K

from line 3902

153.

Sold 8t24

K

(part)

I. Income Gain Cod~: A =$1,000 ot less

B =$ 1,001 - $ 2,500 C =$ 2,501 - $ 5,000

D =$5,001 - $15,0~

t

E =$15,001 - $50,00~

(See Colulaan$ B 1 and D4) F ,=$ 50,001 - $ 10~l,000 G =$ 100,001 - $ 1,000~000

H 1 =51 ,O0B~001 - $5,000,000 H2 ~More ~haa $ 5,000,000

2. Value Code~:

J =$15.009 or 1~

K =$15,001 - $50,030

L =$50,0~ 1 - $ I~),000

M ~$100,091 o $250,000

(S ee Col um n~ CI an d I 33 ) N = 52 50 ,0 01 . $ 50 0, 00 0

O =$5 00,001 - $1,000.O00 PI =51.0~dO.001 - $5,000,lKqO

P2 =55,000.00I - $25,000,000

P3 ~$25 ,000,00t - $50,000,0~00

P4 =More than $50,000,00~

3. V~|ue Method Codes

Q = A ~ p r a Js a l

R =Co~t (Real Estate Only)

S =Asse~ment

" 1 " = 4 3 e a h M a r k e t

(See Column C2-) U =Book Value

V "-~3thcr

W =EsOmated


14/277

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

I


FINANCIAL DISCLOSURE

REPORT

1 s ~ r ~ y , ~ a a ~ y ~ n . e T .

age 14 of 277

9 n / 2 0 t 0

N O N E ~o reportable income, assets, or ~ansactio~:)

A . B. C.

~cfipfion of~e~

I nc o m e d ur i n g G r o ss v alu e a t e n d o f

:

T~n~cfions d~ng r~on~g

(including ~st asse~)

repomng ~ri~ ~ng ~6od

rlace"~)"aaereaeha~et

J~o~tl T~e(e.g., ]

Value Value T~e(e.g.,

Date V~ue I GMn }

Identibof

~154.

Sold 8 / 2 7

155 . Un i l~ver N V ~ SH ~S

A Dividend

L

T Transfe~ed 3 1 4

from line 2442

1 5 6 .

~old 3/18

J

Trans~k~ed 6 1 K

kom line 3415

1 5 8 . ~u~cor ~ner~ lnc

A

Dividend K T Tmnsfe~ed 3/4

~om line 2427

1 5 9 . ~old 3/ 8

J

1 6 0 . Transfe~ 6 1 1 K

kom line 334J"

6 1.

Transfe~

6 1 1

K

~om line 4386

1 6 2 .

Sold

8 1 1 7

K D

1 6 3 .

Sold

~/24

K D

(pan)

1 6 4 .

Sun Hung Kai Prop

B Dividend

L T "F~ansfe~ed

3 /4

~om lin~ 2426

1 6 5 .

Sold

3/19

1 6 6 .

Transferral 6/t K

~from ine 3342

1 6 7 . Tr~sfe~ed 6 1 1

K

(from line 4383

~68. Nestle SA None M T Transfe~ed 3/4 J

(born line 2364

1 6 9 .

Sold 3 / 1 9 K C

1 7 0 .

[ Transfe~ed

6 /1 M

~om line 3056"

1. Income Gain Code~:

A =$ t ,000 or l~n

B oSI,001 - $2,500 C =$7..501 - $5,000

D =$5,001 - $15~000

E =$15,001 - $50,000

(See Columns BI a~d IM) F :~4550,001 - $ 100,000 O = $1 00 ,0 01 - $| ,0 00 ,0 0~ H 1 -- $1 ,0 00, 00 t - $5 ,0 00 ,0 00

H2 =More than $5,000,000

2. Value Co~les

J =$15,13OO or less K =$15,001 - $50,000 L =$50,001 - $1003100

M =$10O,IKI1 - $250,000

(See Coiurrms C I and D 3} N =$ 250,001 - $500,000 O =$500.001 - $ 1,000.000 PI = $1,000,001 - $5 ,000,000 P2 =$5,0~O ,001 - 125,000,000

P3 =$25,0~0,001 - $ 50,000,0~0~)

p~l =More 1~ $ 50,000,000

3. Value M ethod C odes Q ~A ppraisal R =Cax~ (R eal F~te O ~ly)

S =Assessment

T =C~sb M~rket

(See Column C21 13 =Book Vatue V -Ot~er W =Esti~natefi


15/277


N a m e o f P e r s o n R e p o r ~ n g

DateofReport

Page 15 of 277


9/1/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~ome , ~,t,e, ~,ns*eno ns ana~ t,o~ o oy,p ..... .

~

dependent children; seep ~ 4 - 6 0

offding instr#ctions.)

~]

N O N E

income, assets, or transactiot~.)

N o

reportable

A,

B. C, D.


Income during Gros s value at end of



reporting period

reporting period

~-[--- (~)

( t ) (2 ) ( l)

I (2)

(3) (4) (~ )

Place "(X)" after each asset Amountt[ Type (e.g.,

Value

Value

Type (e.g.,

I Date

Value Gain

Identity of

Code 1

[

die rent, Code 2

Method buy, sell,

M onth - C od e 2

Code 1

buyer/sellea

(A-H) nt.) (J-p) ~ Code 3 redemption) Day (l-P) (A-H) (if private

1 7 1 .

T r a n s f e r r e d

6/t L

( f r o m l i n e 4 0 8 6

1 7 2 .

S o l d 9/7

L D

( p a r t )

1 7 3 .

B u y

1 1 / 2 5 M

1 7 4 .

S o l d 1 1 / 2 4 M F

~ a r t )

1 7 5 . W at Mart De Mexico None

T r a n s f e r r e d 3 / 4 J

f r o m l i n e 2 4 5 6

1 7 6 .

S o l d

3/18 J A

1 7 7 . Holcim LTD

N o n e

L

T

T r a n s f e r r e d 3/4 J

f r o m l i n e 2 3 2 0

1 7 8 ,

S o l d 3/19 J

t79.

T r a n s f e r r e d 6 /1 K

f r o m l i n e 2 8 8 6

~0 .

Sold 7/14

J

A

( p a r t )

181.

B u y 1 0 / 1 9 K

1 8 2 C R F I P L C B D i v i d e n d

L

T

T r a n s f e r r e d 3 / 4

J

" f r o m l i n e 2 2 8 1

1 8 3 .

B u y 3/18

J

84. Sold

3/20

J A

( p a r t )

85. Sold 3/24 J

B

(part)

86.

Buy 5/1 ] J

( p a r t )


16/277


Page 16 of 277

9 / 1 / 2 0 1 0


- i .... e, v a l u e , transaetior~s t~ rnclade$ those of sp ...... d dependent children; seepl

x

3 4 - 6 0 O / ~ - d i ~ g i r ~ t r u c t i o n s .)


A .

t n c o B - u r i n g n e d

~

C ,

D.

D e s c r i p t i o n o f A s s e t s

Gross value at end of

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 d o d

( i n c l u d i n g t r u s t a s s e t s )

I reporting period

I r e p o r t i n g p e r i o d

P l a c e " ~ X ) " a f a r e a c h a s s ~

- - - - [ A m o u n t ] T y p e ( e . g . ,

/

V a l u e Value T y p e ( e . g . ,

D a t e

Value Gain I d e n t i t y o f

e x e m p , f r o m p r i o r d i s c lo s u r e

I Code 1 ]div., rent,

C o d e 2

I Me~hod

buy, sell, Month- [ Code 2 Code 1 buyer/sdl~r

[~ ( A - H ) I ~

o r i n t . )

[~

( J - P )

i

(Q~W)~

C o d e 3

r e d e m p t i o n )

D a y

I O-P)

(A-H) i

t r 0 f p d v a t e t i o n )

1 8 8 . Sold 5 / 1 8 J A

(pan)

1 8 9 .

Transferred 6 /1

K

from line 2734)

1 9 0 .

Transferred

6 /1

K

from line 3759)

/

~ 1 9 1 .

Richemom Cie Fi

J

A

Dividend

K

T

f Transferred

3 /4

J

~from line 2392

1 9 2 . Sold

3/19 J

A

1 9 3 .

Buy

9 /3

K

1 9 4 .

Novartis AG

None Transferred 3/4

J

from line 2369

196. Samsung Ele Gds

A Dividend

L T

Transferred

3 /4 J

from line 2397

97 .

Sold

3/19

J

( p a r t )

i98. Transferred 6 /1 K

from line 3206

1 9 9 . Buy 1 0 ; t 9 J

200. Bouygues

None L T

Transferred

3 /4 J

from line 2260

20t. Sold

3/19 J

( p a r t )

202.

Sold

3/| 9

J

203.

Transferred 6/I L

from line 2642

204.

Transferred 6 /1

K

from line 3666

I. Income Gain Cod~:

A =$1,000 or lta~ B =$1,001 o $ 2.500

C =$2,501 - $5,000

D =$5,0~11 - $15.00t)

E ~$15,001 - $50,1300

(See Column.s BI and D~)

F -$50,001 - $100~000

G =$100,001 - $1,000.000

HI ~$1.OOO ,00l - $5,000,000 H2 =More tt~m

2. Value

C o d ~ s J -$ I 5,0tX) or less K ~$15,001 - $ 50,000 L -~550,00I - $ 100,000 M =$ 100,001 . $ 250,000

(See Columns CI and D3)

N =$ 250,001 - $5 00,000 O =$ 509,00I - $ 1,000,000 PI =$ 1,000,001 - $ 5,~o0,000 P2 ~$ 5,000,001 - $ 25,000,000

P3 ~$ 25,009,001 - $50,0 10,000 P4 = M ore ~an $ 5 0,000.000

3 Value Method Codes

Q =Appraisal

R =Cost (Real Estate Only)

S =Asscssmcm

2" =Cash Market

(See Column C2)

U -Book V~ ue

V =Other W ~Esrimated


17/277

T


NameofPerson Reporting

[

DateofReport

Page 17 of 277

~ .r r r , M a r y a n n e T.

~

9 / 1 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 - ~.co,.e. ,ot,,. t,,,~,cno,~ a, aode~ tn o,, of s~, ....

d dependent children; see

p t x 3 4 - 6 0

of filing instructions.)

,~

(No reportable income, assets, or

ONE

transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g

:[

Gross value at end off

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 lu d i n g m x s t a s s e t ~ )

, r e p o r t i n g p e r i o d i

r e p o r l i n g p e r i o d

--i~--7 (2) --~) "-~" (2) i (1) ["(2} i (3) (4}

(5 )

e x e m p t f i o m p r i o r d i s c l o s u re

d i v . , ~ e n t ,

Code 2 | Method I

b u y , s e l l,

M o n t h -

Code 2 [ Code I

b u y e r / s e l l e r

( i f p r i v a t e

(A-H) or int.) (J-P) { Code3 I redemption) Day I (J-P) (A-I{) I transaction)

2 0 5 .

Sold 1 0 / 1 2

J

206.

I

S~ld

1 0 1 2 8 J

2 0 7 .

LAir Liquide

None

M

T

Transferred

3 /4

J

(from tine 234~

208.

Sold

3/19 J C

209. Transferred 6/I

I.

(from line 298~

2 1 0 .

Transferred 6 /1 K

from line 4015

2 1 I .

ttSBC HIdgs

A Dividend M

T

Transgened

3 /4

from line 2324

212.

Sold 3/19 J

2 1 3 .

Transferred

6 /1

L

f ~ o m l in e 2 8 9 8

214.

Transferred

6 /1

K

(to line 3926)

215. Buy

1 0 / 1 9 K

2 1 6 . LI & Fund A Dividend

L

T

Transferred

3 i4

J

f ~ o m l i n e 2 3 5 0

217. Sold 3,19 J

2 i 8 . Transferred 6 /1 K

~om line 2989

2 1 9 .

Buy

1 0 1 2 0

K

220. RECKITT BENCKISER

A

Dividend L

T

T r a n s ~ % r r e d 3 /4

J

from line 23~8

2 2 1 .

Sold

3/19

J

B


18/277


F IN A N CIA L D IS CL OS UR E R EP OR T

Page 18 of 277

9 / 1 / 2 0 0


- i.eo,,,~, ~l.e, ~ ..... ao~ (Inch,des those of spouse

a ~

depe~ent children; see p~

3 4 - 6 0

o[fding

NONE ~o repo~able income, ~sets, or ~ansactions,)

A. B.

C.

~

D.

~cfipti~ of A~e~

Ineom~ during

Gr~s value at end of~

T~nsactions d~ng r~o~ng period

(including ~st asse~) r~oaing p~ r~o~ng pefi~


Amo~t T~e (e.g., Value

~ Value

T~ge (e.g. D ate Valae

Gain [

Identi~ of

exempt from prior ~sclosure

C~e 1

div., rent,

C~e 2

[ Me~od

buy, sel , Mon~ -

C~e 2

Code 1 / buyerlseaer

(A-~

or int.) (J-P)

] C~e 3

[ redemption)

Da y ~ (J-P)

[ (A-~ [

(ifp~vate

~rom line

223. T~ansfe~ed

6 /1

K

~om line 4189

2 2 4 .

Buy

1 0 / 1 9

K

225. AM E~C A M OVIL B Dividend

K

T T~nsfe~ed

3 1 4 J

from line 2235

226.

Sold

3 / 1 8 J

C

(pan)

from line 2509

228_

Transge~ed

6/1 K

~om line 3534"

229.

Sold

8 / 2 7

(pa~)

230. STANDA~ CHARTE~D

B

Dividend

M T T~ansfe~ed 3N J

~om line 2425

2 3 1 .

Sold

3/20

2 3 2 .

Transferred 6/I

ffrnm line 3334

233. Transferred

6tl

from line 4377

234. ESSILOR INTL

None

M T

Transfen-ed

3 /4

f r o m

line 230]

235.

Sold

3/19

236.

Transferred

6/t

from line 2804

237.

Transferred

6 /1

from line 3828

23~. KONINKLIJK.E KPN NV C Dividend M Y Transferred 3/4

from line 2347


19/277


[


P a g eF I N A N C I A L 1 9 o f 2 7 7D I S C L O S U R E R E P O R T

] Barry, Maryanne T.

[

9 / 1 / 2 0 1 0

NONE ~o

reportable income, assets, or transac~ons.)

A B.

C. D.

D c s c d p t i o n o f A s s c ~

]n co m~ d~ G r o s s v a lu e a t e n d o f

Tra~actions d~ng r~ning pefi~


reining p~

re~ing period

P l a c e " ( X ) " a f t e r e a c h a s s e t Amour [ T~ (e.g.,

Value [ Value

T y p e ( e . g . ~

D a t e

Value Gain Idemi~ of

.... pt from prior disclosure

Code 1 / div., r~t,

C~e 2

[ Me~od

b u y , s e l l ,

Mon~- [ Code 2 [ Code 1

buyerlsell~

(A-~ I~

o r i n L ) ( J - P )

~ Code3


Day [ 0-P) ~(A-~

2 3 9 ~

Sold

3/19

240.

Tr~sfened 6 /1

L

flora line 2976

241.

Transfeffed

6/]

K

from line

242. B~ PA~BAS

None

L

T Transfe~ed

3 /4

J

~om line 2257

243.

Sold

3/19 J

244. Transfea~

6 /1

L

(from line 2627

245. i Traasfeg~

6 /1

L

~ f f o m l in e 3 6 4 8 "

246.

Sold

8/26

L

(paa)

247.

Sold 1 0 / 6 J B

(pa~)

248. EMERSON ELECTRIC

A

Dividend L

T

Transf~

3/4 J

~om line 2298~

249.

Sold 3 / ] 8 J

250.

Buy 1 0 / 1 6 L

251. GENEIL,~.L ELECTRIC CO

A

Dividend

K

T

Transferred

3 /4 J

from line 2310

252.

Sold

3/18 ~,

253.

Transferred 6 /1

K

from line 2837

254.

Sold 8 / 2 4 J

( p a r t )

255.

Buy 1 1 / 1 9 J

|, Income Gaia Code~:

A =$1.000 0r less

B =$1.001 - $2.500

C =$2.501 - $5 ,000 D =$ 5.001 - $15.000

E ~$15,001 - $50,000

[

( Se e C olu vtm s C I a .d D3 ) N = $2 50 .0 0] - $ 50 0.0 0~

O = $5 00. 00 1 - $1 .0 00, 00 0 P I = $1. 00 0.0 0i - $5 .00 rv ,0 00

P2 =$5.000.00 - $25.000,000

I


20/277

P a g e F IN A N C I A L 2 0 o f 2 7 7 D I S C L O S U R E R E P O R T

]

9 / 1 / 2 m 0

V I I . I N V E S T M E N T S a n d T R U S T S - i . . . .

~.e, transactions (Includes those of sp ...... d dependent children; see pp. 34-60 of fding instructions.)


~

B.

C. D.

A


I

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 o f 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 c ~ )

[

r e p o ~ i n g p e r i o d

r e p o r t in g p e r i o d

(l~ " (~)

~33--~

(1) [ O;-

P l a c e " ( X ) " a f t e r e a c h a s s e t

A m o u n t

T y p e ( e . g . , Value

[ Value

T y p e ( e . g .,

I D a t e

Value Gain

I d m ~ t i t y o f

C o d e 1

d i v . , r e n t ,

C o d e 2

[

M e t h o d

b u y , s e l l , M o n t h - C o d e 2 Code l buyerlseller

f r o m d i s c l o s u r e

256,

Buy 1 1 / 1 9

J

257.

Buy

1 1 1 2 0

K

)58. ILLIN O IS T O O L WO RK S B Dividend M

T Transferred

3/4

J

l

from line 2327

Transferred 6/I

L

from line 2908)

[ 2 6 1 .

Transferred

6 /1

K

from line 3934

262.

PEPSICO B Dividend M T

Transferred 3/4

K

from line 2378

263.

Sold

3/18

(pan)

264.

Sold

3/18

J

265.

Transferred

6 /1

L

from line 3117

266. Transferred 6 /1 K

from line 4150

267. AT&T

A

Dividend

Transferred 3/4

J

from line 2239

268.

Sold

3 / I 8 J

( p a r , )

2 6 9 . Transferred 611

K

from line 2 5 4 0

270. Buy

1 0 / 1 6 K

271.

Sold 1 0 / 3 0 K

272.

]

Sold

1 0 1 3 0

K


21/277


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


Page 21 ,of 277

B a r n , , M a r y a n n e T .

9 / I 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 - i n c o ~ .

~tue. t,u~,cno~ a, ci~cs ~h os, olspo~, ,~a a,~a~, ~ , ~ ;

N O ~ ~ o repo~able income, assets, or ~ansactio~.)

D e s c ~ p t i o n o f A s s e ~

In.me during ~o~ value at end of T~an~ctions d~ng ~o~ing peri~

( i n c l u d i n g t r u s t a ~ e t s )

~ r~i~ ~d~

re~aing period

Value

I

Value

I

e x e m p t f r o m p i l o t d is c l o s u r e

C~e 1

d i v . , r e n B

b u y . s e l l ,

~ Mon~- J C~e 2 JCode 1


(A-~

o r in t . , ( J - P ,

~

~;~Z

I

redempfn)

~ ~ (3-., .A-~

( i f p i l v a t e

273. SCHLU~ERG~ LTD A

Dividend

M T Tr~sfe~ed 3 1 4

J

f~om line

274.

Sold

3 ~ 1 8

J C

(pa~}

Z 7 5 .

Sold

3/18

J

2 76 .

T~a~sfe~ed

6 /1 L

~ { ~ a m l i n e 3 2 3 9 ~

2 7 ~ .

~ T~nsfe~ed

6 /1 K

~om line ~275)

278.

~

Buy

1 0 1 1 9

K

279.

Buy

10~9 J

280~ SOUTH~ST AIrlINES A Dividend

Transfe~d 3 /4

~om line 2418

281.

S o 1 6

3 1 1 8

J

282.

Translated

6 1 1

~om line 330I

283.

Sold

1 0 / 2 8 J

(pa~)

284.

Sold

1 0 1 2 8 J

(pan)

285.

Sold 1 0 / 2 9

(pan)

286.

Sold

1 0 / 2 9

287, ~1~ PACIFIC. CO~ A Dividend L

T Tr~sfe~ed 3/4

from lin~

288.

Sold

3/18 J

B

( p a r t )

289.

Sold 3 / ] 8 J

1..Lacome Gale Cod~: A -$1,000 or le..s s B =$1,00 - $2,500

C -$2.501 - $5,000

D =$5.001 - $ [ 5.009 E

(See Colunm~ BI and gut)

F ---$50,001 - $100,000

G =$100,0OI - $ 1,00~,000

H I = $1 ,0 00 ,0 01 - $ 5, 00 0, 01 )0 H 2 = Mo re th an $ 5 ,0 00 ,0 00

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

K =$15,0~)1 - $50,000

L = $5 0,001 - $ 100,000 M = $100,001 - $ 25 0,000

( Se e C oh ~r nn s C .1 an d I 33 ) N ~$ 25 0, 00 1 - $5 0f l, DO 0

O =$5 00,001 - $1,00fl,000

p =$I,000.001 - $5,000,000

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

F3 =$25,000,001 - $50,0~,000

P4 =Mc, re than


Q =Appraisal

R =Cost (Real E stale Only)

S =Assessn~ent

T =C~h Market

(See C olunm C 2) U ~Book Value

V - . = O t h e r

W =Estimated


22/277


Date of Relmrl


B a ~ , , M a r y a n n e T .

age 22 of 277

9 / i ~ 0 1 0

N O ~ ~ o

reportable income, ~sets, or ~ansactio~.)

De~fipfion of Asse~ In.me d~ng

G~ss v~e at end of Transactions d~ng r~o~ing

(incl~ing ~st asse~)

re~ing period r~o~ing ~fiod

Pla~"(X)"~ereach~set a .....

t

I

Type(e.g.,

Val~

V a l u e Ty~(e.g.,

Dat e I

Value

I Gain [ ld~i~of

exert from .or discl~ure

C~e ~[I div__[ r~t

C~e 2

bteth~

buy, sell.

Mon~- I Code 2 ~e 1 I buyerlseller

290 .

Sold

6/15 J

A

o a a

~om line 3422

292 .

" f~nsfe~ed 6 /1 K

from line ~6

293. AIR PRODUCTS &CHEMICALS

B

Dividend

L T Transfe~ed 3/4

~om line 2228~

294 .

Sold 3118

J

A

Transfe~ed

6/~

L

~om l ioe 2483

296.

Transfe~ed 6/ l

K

,

~om l i ne 3507

297. FLUOR CO~

A

Dividend J

T

Transfeged

3 /4 J

~om line 2306

298.

Sold

3 1 1 8

J B

Tr~sfe~ed

6 ]1

K

3 0 0 .

Buy

1 0 / 1 6 K

(pan)

( p a r t )

303,

Sold

11/4

(paa)

304.

Sold

1115 J B

305. MICROSOFf CORP

A Dividend

M T

Tr~sfe~ed

3/4

~om line 2361

3 0 6 .

Sold

3 / I 8

J


23/277



[

D a t e

Page 23 of 277

B ~ r ~ y , M a r y a n n e T .

9 / 1 1 2 0 1 0

V I I . IN V E S T M E N T S a n d T R U S T S

- i.co~,, ~.~,,, ~r..s.aio.~ a= et~,s tho,e o~,~ .....

~ ~ pend en t ch U~ en; s e e

p ~ 3 4 - 6 0

of fang ins~uctlo~.)

~

N O N E ~o reportable income, assets, or ~ansactions)

A . [

C.

D.

~scription of Assets

[ Income

G r o s s vM u e a t e n d o f

T r a n s a c t i o n s d u r i n g r e p o s i n g

(including trust ~se~)

~ reposing period ~ re~aing pefi~

Pla~"(X)"a~er~cha.et

]Amo~t

T~(e.g., [Value

I Vatue

I

T~e(e.g.,

Da,e[ Value Gain

Idenfi~of

[ C o d e 1

div ..... t,

] C ~ e 2

] M~thod

I

buy,,=ll, Mon~- [ C~e 2 Code I

~(J-P)

[ Code3 [

r ~ e m p t i o n ) ] D a y

3 0 7 .

T~nsfe~ 6/1 L

~om line 3015

~ 0 8 .

T~nsf~ed 6 /1 K

~om line 4063~

309. ROYAL DUTCH SHELL D

Dividend N

T

Tmnsfe~ed

3 /4 K

from line 2395

310. Sold

3 1 1 9 K

311.

Transferred

6 /1

M

from line 3180

3 1 2 . Transferred 6 /1 L

from line 4218

3 ~ 3 .

UNITED TECHNOLOGIES

A

Dividend

K

T Transferred 3 /4

(from line 24~7

3 1 5 .

Transferred

6 /1

K

from line 3438

3 1 6 . BAKE R HU GHE S

None

Transferred

3 /4 J

"from line 2243)

3 1 7 .

Sold 3 i 1 8

3 1 8 . BERKSHIKE HATHAWAY None

L

T

Transferred

3 J4

1

from line 2247

319. Sold 3/18

J

3 2 0 . Buy

9 /3

L

3 2 1 . CO ST CO WH O LESA LE

A Dividend K T

Transferred

3 /4

J

,from line 2280

3 2 2 .

Sold 3/18

J

A

3 2 3 .

Transferred

6 /1

J

from line 2729

I . I n c o m e G a i n C o d g s : A ~ $ 1 , 0 0 0 or less

B = $ 1 , 0 0 1

- $2,500

C = $ 2 , 5 0 1 - $ 5 , 0 0 0

D

(See C o l u n -m s B I ~ n d D 4 )

" F =-$50,001 - $100.000 G =$100,001 - $1,000,000 1 - 1 1 = $ 1 . 0 0 0 , 0 0 |

- $5,000.000

H 2 = M o r e th a n $5,000,000

I

2 . " V a l o e C o d g s 1 = $ 1 5 , 0 0 0 o r l e s s K = $ 1 5 , 0 0 1

- $50,000

L =$50,001 - $100,000

M = $ 1 0 0 ,0 0 1

- $250,000

(See Columns CI nnd D3)

N -$ 25 0,001 - $ 500,000 O =$ 500,001 - $1,000.000 PI = $1,000,001 - $ 5,000,000 P2 =$5,00.0,001 - $25,000,000

P3 ~$ 25,000,001 - $ 50.600,000 P4 = M ore ~an $ 50,000,000

3. Value Melhod Codc~ Q =A ppraisal

R =:Cost (Real Estate Ordy)

S =Assessment

T =Cash Market

(S~: Colutra~ C2)

U =Book V~lue

V =Other W ~Estlmated


24/277


Page 24 of 277

.

9 / 1 / 2 0 1 0

NO.WE (No


A. B. C.


Incorue duriug

G r o s s v a l u e a t en d o f



r e p o r t i n g p e r io d r e p o r t in g p e r io d

(/~ (2)I(l)I (2)-1 (1 ) (2) (3) (4) (5 )


Amount [ Type (e.g.,

Value

i Value

T y p e ( e . g . ,

D a t e

Value

G a i n

I d e n t i t y o f

e x e r u p t f r o m p r i o r d i s c lo s u r e

Code ]

d iv . , r e n l , C o d e 2 M e t h o d b o y , s e l l ,

M o n t h -

C o d e 2 C o d e 1 b u y e f f s e l l e r

(A-H)

o r i n t . ) ( J - P ) Code3

i

r e d e m p t i o n ) D a y

i (J-P)

( A - H ) ( i f p x S v a t e

3 2 4 .

Bu y

1 0 / 1 6 K

3 2 5 . L O W E S C O S

B Dividend M T

Transferred

3 /4 K

from line 2352

[ 3 2 6 .

Sold

3/18

K

327.

Transferred 6 /1 L

from line 3002

328.

Transferred

6 /1

L

"from line 403

UNITED

29.

PARCEL SERVICE INC

A Dividend K T

Transferred

3 /4

J

from line 2446

330.

Sold 3/18 J

3 3 I .

Transferred

6 /1 K

from line 3432

332,

EX X O N MO B IL CO R~

None Transferred

3 /4 J

"from line 2302

333,

Sold

3/18 J

B

3 34. F ED EX C O 1L P

A Dividend

L

T

Transferred

3 1 4 3

"

from line 2305

335.

Sold 3/18 J

336.

Buy

9 /3

L

337.

Buy 1 0 / 1 6 K

338.

AL L E RGAN I NC

A Dividend M T Transferred

3 /4 J

from line 2232

339.

Sold 3/18

J

B

(pa~)

340.

Sold

3 / 1 8

t

A


25/277


1 Name of Person Reporting Date of Report

|

Page 25 of 277

[ B ~ r ~ , M a , V a ~ , ,e T .

9 / . / Z 0 1 0

VII. INVESTMENTS and TRUST S - ,, ......

~ , , ,

t~ .....

"tiGriS ancludes those o[sp .....d de~ndent children; see p~ 34-60 of ~dlng ~s~uctio~)

NONE ~o

reportab& income, assets, or ~ansactions.)

of Asse~ Income dufng [

Gross va~e at end ef~cfiption

(includiog t~st asse~)

~ re~ing ~

re~aing p~od

Place "(X)" a~ .... .h ~set

~m2u~t [ T~ (e.g..

Value

Value T}~e (e.g., Date Value

Gain ldenfiff of

] t~",

orint.)

[~

(J-P)

~ C~e3 r~emption) Da y

[ (J-P) (A-H)

(ifpfvam

341.

Transfe~ed 6 /1

K

~ o m l in e 2 4 9 7

3 4 2 .

Tramfe~ed 6 /1

K

~ o m l i n e 3 5 2 4

~

43. B u y 1 0 / 1 6 K

3 4 4 . KIO T~TO

N o n e M

T

T~nsfe~ed 3 / 4 J

b o r n l i n e 2 3 8 9

] 3 4 5 .

S o l d 3/19 J A

346.

T~nsfe~ed 6/I

L

~ o m l i n e 3 1 5 9

347.

T~nsfe~ed 6 /1

K

~om line 4t98

3 4 8 .

B u y 7 /1

K

349.

B u y

1 1 / 2 5

M

350. S o l d 1 1 / 2 4 M F

( p a r t )

3 5 ] .

S o l d 1 1 1 2 4 M

F

( p a r t )

352.

SAP AG

None K

T T r a n s f e r r e d

3 4

K

f r o m l i n e 2 3 9 9

3 5 3 .

S o l d

3/19

J

3 5 4 .

B u y

1 0 / 1 9 J

3 5 5 .

B u y

1 0 / 1 9 M

356.

S o l d

1 1 / 2 0

K

3 5 7 .

S o l d 1 2 / 8

K

( p a r t )

I. [nrome Crah~ Codu~:

A =$1,000 or les~

B ~S1,00 . $2,500

C =$2,501 - $5,1306 D =$5,801 - $15,000 E =$ 5,001 - $50.000

(S~e Columns B) and IV)

F ---$50,001 - $100,000

G --$I00,0~1 - $1,00O,000

HI =$1,00t1,001 - $5,0g0,0tX)

H2 =More tba~ $5,000,000

2. Value C odes J =$ 15,000 or less

K =$1 5,001 - ~50,0g(I

L = $5 0,001 - $ 109,00~ M = $100,001 - $ 25 0,000

(S~-~t: Columns CI nnd D3) N =$ 250,001 - $5 00,000 O = $5 00 ,~0 1 - $ 1,[k qO ,00 g P 1 = $1 ,0 00 ,0 0~ - $5 ,1 )0 0.0 00

P2 =$5,000,001 - $25,00D,0~

i

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

$50~0~0,0W0


Q ~Appralsal

R --Cost (P.~ Estate Only)

G =Assessment

T =~.2 ~h

M a r k e t

i

(See Colurr~ C2)

[J =Bc~k Value

V =Gtber

W =Estimated


26/277



[

INANCIAL

DISCLOSURE

REPORT

I Barry, Maryanne T,

age 26 of 277 9 / 1 / 2 0 1 o

V I I . IN V E S T M E N T S a n d T R U S T S - i n o ~ ,e , ~ a i u ,, t ~ o ct i o~

an~tud~ thos, o / s p . . . . . ,~

dependent

children; see p p . 3 4 - 6 0 of flling instructions.)

[] NONE (No


A. B. C,

D .

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


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


~ . m o t m t I

T y p e ( e . g .,

Value

{ Value

T y p e ( e . g . ,

Date [ Value ,. Gain I

I d e n t i ty o f

e x e m p t f r o m p r i o r d i s c l o s u re

C o d e 1

I

d iv . , r e n t , C od e 2 M e t h o d

buy, sell,

M o n t h - : C o d e 2 Code 1 I buyer/seller

( A - H ) [

o r i n t . )

( J - P )

C o d e 3


D a y

i (,Lp) (A-H) [

( i f p r i v a t e

i

(Q-~0

/

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

358. K IN D ER MO RGA N MA N A GEMEN T LL

None Transferred 3/4

C

from line 2343

3 5 9 .

Sold

3/20

J A

360.

Transferred 6 /1

K

from line 2962

361.

Sold

8/14

J A

(part)

362.

Sold

9 / 1 l ]

C

(part)

363.

Sold 9/14

J

A

(part)

364.

Sold

9 / 1 5 ] A

365. COMCASTCOR.P A Dividend K T / Transferred 3/4 J

t ( f i -o m l i n e 2 2 7 8

3 6 6 .

Sold

3 / 1 8 J .....

367.

Transferred 6 /1

(from line 2722

368.

Transferred 6 1

;

(from line 37~-7

369.

Sold

8 /7

(part)

370.

Sold

8/10

(part)

37 l.

Sold 8 / 1 2

(part)

3 7 2 .

Bu y 1 1 / 3

373. C A N O N

B

Dividend

L

T

Transferred

3 /4

from line 227]

374.

Sold

3/19


27/277



[


Page 27 of 277

Barry, Maryanne T.

I

9 / 1 , r 2 0 ] 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 , ~ o , ~ , v a n e . ~ . . . . ti n . ,

(Includes those o f s p o . . . . d dependent children; see

p p . 3 4 - 6 0

of fding instructions.)


A. B.

C. I

D .

D e s c r i p t i o n o f A s s e t s I n co m e d ur in g G r os s v al u e a t e n d o f T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( i n c l u d i n g t r u s t a s s e t s ) r e p or t in g p e r i o d r e p o r t i n g p e r io d

( 1 ) ( 2 ) (l) i (~.) ( i , ~ (?.) (3) (4)

P l a c e " ( x ) " a f t e r e a c h a s s e t

A m o t m t

T y p e ( e . g ., Value . Value T y p e ( e . g ., D a t e

Value

G a i n I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c l o s u ~

i C o d e 1

d iv . , r e n t , C od e 2

M e t h o d

buy, sell

M o n t h -

C o d e 2

Code t

buyer/seller

(A-I~

o r i n t . )

( J - P )

I Code3 r e d e m p t i o n )

D a y

( J - P ) i ( A - H )

( i f p n v a t e

i

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

3 7 5 .

Transferred 6 /1

K

from line 2692

3 7 6 .

Transferred

6/ K

( f i o m l i n e 3 7 1 ~

3 7 7 .

K R A F T F O O D S

B Dividend L

T Transferred

3/4 J

from line 234~

3 7 8 ,

Sold

3/18 J

379.

Transferred 6/I K

from line 2981

3 8 0 .

Transferred 6/I

K

f r o w n l i n e 4 0 1 0

381.

Sold ] 1 / 1 8

J

( p a r t )

382.

H O N G K O N G / C H IN A G A S

A

Dividend L T

Transferred

3 /4 J

from line 2322

383,

Sold

3/19

J

3 8 4 .

Transferred

6 /1

K

(from line 2890"

385.

Transferred 6 /1 K

~

(from line 3916"

3 8 6 .

BHP 131LL1TON LTD A

Dividend

L

T

Transferred

3 /4

from line 2249

3 8 7 .

Sold

3/19 J 1 3

388,

Transferred 6 /1 K

from line 2588

389. Transferred 6 /1

K

from line 3612

3 9 0 . Sold

8/24

3

( p a r t )

3 9 1 .

Buy

1 1 / 2 3

L

1. Income Gain Code~: A =$1,000 or le~

B =$1,001 - $2,500

C =$2,501 - $5,000

D =$ 5.001 - $ 15 ,000 E =$ 15,001 - $50,000

(See Colurca~ BI nnd D4)

F =$5 0,001 - $IflO.000

G = $1 00 ,0 01 . $ 1,0 00 ,0 00 H I ~$ ~, 00 0, 00 t - $5 ,0 00 ,0 00

H2 =More than $5,000,000

2. Value Codes

J =$15,000 or ~ess K =$t5,001 - $50,0~0

L =$ 50,001 - $100,000 M =$ 100,001 - $ 250,000

(See Columl~$ CI and D3)

N =$ 25 0,001 - $ 500,000 O =$5 00,~q 1 - $ 1,000,000 PI = $I,000,001 - $ 5.000,000

P2 =$5.~,00t - $25,000,000

P3 = $ 25,000,00I - $50,030,000 P4 =More tha~ $ 50,009,00~

3. Value Method C~d~

Q ~Appmi.~al

R =Cost (Real Estate Ordy)

S =Assessment

T-~C=h Market

(See Column C2)

U

~B0ok Value

V - - ~ n . he r

W =Estimated


28/277


N . .. . . f P e r , o n R e p o ~ g

D a t ~ o f a , p e r t

Page 28 of 277


9 / / 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.co.~, w~... ~ ..... ,~o,~ a.c~.. ,ho.. o s~o~. ..a d~.., ~nita~..;

NONE

(No reportable income, assets, or wansactio~.)

A.

B.

C.

D.

D~cfipfi~ of Assets l~come dufng

G r o s s v a l u e a t en d o f T~s~fio~ dnrng r~aing

(including ~st ~e~) repoaing p~od r e p o f f i n g p e r i o d

(~) (2)

0)

( Z )

0 )

:. (2) (3) (4)

(5 )

Place "(X)" ~er each asset

~o~t

T~e (e.g.,

Value

Value T~ (e.g.,

[ Date Value

G ~ i n

Identi~ of

: C~e 1

d i v . , r e n t , ~e 2 M e t h o d buy, ~tl,

~ M o n ~ -

: ~e 2 CMe I b u y e r / s e ~ e r

e m p t f r o m p r i o r d i s c l o s u r e

~ (A-~

o r i n t . )

( J - P )

C~e 3

r~emption)

~y

~ ( J -P ) (A-~ ( i f p r i v a t e

[

(~

~

] ~nsaction)

3 9 2 .

Sold 1 1 ~ 2 4 L

E

(paa)

393.

Sold 1 1 / 2 4 J B

] 394. O~ICOM GROUP A Dividend Transferred 3/4 J

~om line 237~

3 9 5 .

Sold

3/18 J

396. DAVITA

None M T

T~nsfe~ed 3 /4 J

~om line 2284

3 9 7 .

Sold

3/18 J C

398.

T~nsfe~ed 6 /1

K

~om line 2746

3 9 9 .

T~nsfe~ed

6 /1

K

~om line 3764

400.

Buy 1 0 / 1 6

K

401.

T IM E WA~ER I NC

None Transfe~ed

3/4

J

~om l~e 2436

402.

Sold 3/18 J

4 0 3 .

FA~C CO

A

Dividend

K

T Transfe~ed

3 /4 J

~om line 2304

404.

Sold

3/19 J

A

405.

Transfe~ed 6 /1

K

~om line 2813

406.

Transfe~ed 6/I

J

~om line 3836

407.

C I S C O S Y S T E M S ~ C

None

M T T~nsfe~ed

3/4

K

~om line 2 2 7 5

408.

Sold

3/18

(pan)


29/277


M .... fP ..... R e p o r t i n g


Page 29 of 277

B a r o , M a r y a n n e T .

9/1/2010

V I I . I N V E S T M E N T S a nd T R U S T S

-

~ n ~ o m e . w ~ e ,

t r . . . . , ~ i o ,~ a ~ a u ~ e ~ , , o ~ e o y , ~ o ~ ~ n a ~ e ~ , ~ a , ., ~ i ~ a ~ . ;

~ , ~ .

~4-~o


A.

B

C.

D.


I n c o m e d a r i n g G r o s s v a l u e

a t

end of


( in c l u d i n g t r u s t ~ s s e t s ) r e p o r t in g p e r io d r e p o r t in g p e r i o d

(l) (2) ( t) ( Z )

(l) ( 2 ) ( 3 )

P la c e " ( X ) " a f t e r e a c h a s s e t A m o u n t

T y p e ( e . g . , Value Value

T y p e ( e . g . ,

D a t e Value G a i n

i d e n t i t y o f

e x e m p t f r o m p r i o r d i s c l o s u re

C o d e 1

d i v . , r e n t , C o d e 2 M e t h o d buy, sell,

M o n t h -

C od e 2 C od e 1 b u y e r / s e l l e r

( A - H )

o r i n t . )

( J - P )

C o d e 3


D a y

( J - P )

( A - H )

( i f p r i v a t e

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

409.

Sold

3/18 J

410.

Transferred

6 /1

L

from line 2710

4 1 I .

Transferred

6 /1

K

from line 3734

4t2.

AGILENT TECH None M

T Transferred 3 /4 J

from line 2227

413.

Sold 3 / 1 8 J

414.

Transferred 6 /1

L

from line 2482

415.

Transferred

6 /1 K

from line 3505"

416.

A C C O R

None Transferred 3 /4

from line 2222

417.

Sold 3/19

J

418. -COCA-COLA AMATIL LTD

None

L T Transferred

3 /4

from line 2276

4t9.

Sold 3/19 J A

420.

Buy 9 /3

K

421.

Buy

9 /4 K

422. -SINGAPORE TELECOMM None

Transferred

3 /4 J

from line 2415

423.

Sold

3 / 9

J A

424.

-TESCO PLC

A Dividend

M

T

Transferred

3 /4

J

from line 2435

425.

Sold

3/19

.1

(part)

I. lmmme Gain Codes: A =$1,000 or less B =$ 1,001 - $ 2,500 C = $2,501 - $ 5 ,000

D =$5,00 - $15 ,000 E = $15,001 - $ 50,000

(See C olurrm s Bi and D 4) F =$ 50,001 - $100~000 G =$100.001 - $ 1,000,000

HI =$1.01)0,00 . $5,000,000

H2 =More than $5,000,000

2 Value Codes

| =$15.000 or k:ss

K =$15,001 - $50,000

L ~$50,001 - $1130,000

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

(Sex: Colurm~s CI and D3) N -$250,001 - $500.000

O =$5 00,001 - $1,000,000 PI =$l,000,001 - $5,000.000 P2 =$5 ,000,001 - $25.000,000

3. Value Method Cod~

Q ~Appraigal

R =Cost (Real Estate Only)

$ =Ag.~ess ment

T ~C~h Market

(See Colurcm C2)

U ~Book Value V =Other

W =Estimated


30/277



INANCIAL

DISCLOSURE REPORT

[ Barry, Maryanne T.

9/I/2010

age 30 of 277

V I I . I N V E S T M E N T S a n d T R U S T S -/,,~o,,~ ~ o~.~, ,r .... ,/o,~ a.a.,~, ,~o.~ o~, ..... , ~ , ~ . ~ . ~ . , ~ u , ~ . ;

NONE ~ o reportable income, assets, or ~ansactio~J

A.

]

B. C.

D.

D ~ c f i p ~ i o n o f A s sa m

"

} n c o m e d u r i n g

G r o ~ v a l u e a t e n d o f

T~nsacfions dung ~o~g

( i n c ~ d i n g t r u s t a s s e m )

reporting ~d~ r~oning period

0) [ (2) 0) (~ )

O) [

(2) (3) ~4)

(5 )

Place"t~"a~re~hasset

Amo~t[

T~e(e.g., Value Value T~c(e.g.,

D a t e Value ~ Gain

identi~,~f

~empt ~om prior di~lo~re

C~e I ]

d i v , , r e n g

C o d ~ 2 [ Me~od b u y , s e ~ ,

] M o n ~ -

(A-~ ~

o r i n t . ) O - P ) C~e 3 r~pOon)

D a y

~ (l-P)

(A-~ ( i f p r i v a t e

( Q - W )

~saction)

426. Sold 3/19 J

427.

T~ns~e~ed

6 /1 L

~om line 3375

428.

Buy

I0/19 L

429.

Buy

] 1/]2

K

430.

-WOOLWORTHS LTD

A D ividend Transferral

3/4

~om line 2462

431, Sold 3/]9 J A

432.

Transferred

6 ]1

K

from line 3482

433. Buy 10/t9 J

434.

Sold

1 2 / 9

(part)

435.

Sold

] 2 1 1 0 J C

( p a r t )

436.

Sold 1 2 / 1 0

( p a r t )

437. Sold 12//1 J D

438.

-SUZUKI MOTOR

A

Dividend L

T Transferred

3 /4

J

.from line 2428

439. Sold 3119 J

440.

Transferred

6 /1

L

f r o m l in e 3 3 5 ~ 3

441,

Transferred

6/I

K

from line 4391

44

Sold

8 /3

K A

( p a r t )


31/277

Name of P .....

Reporting

[ Date of Report

I

INANCIAL DISCLOSURE

REPORT

[ Barry,

M a r y a n n e

T .

9/I/2010

age 31 of 277

VII . INVESTMENTS and TRUSTS -

NONE ~o

reportable income, assets, or

~a~actions~)

A. B. -- .......... ~7 ............. ~ ..................................................

D. ~ .............

Description of AsseB

Income dunng

~oss v~ue at end of

T~acfions d~ng r~o~g pefod

(including trust as~B) re~ing peri~

~po~g

Place "(X)" ~e~ e~ch as~t ,mo~t

T~B (e.g., Value

Value

T~ (g.,

Date

Value Gain

ldenfi~ of

exempt

from pri~r ~sclo~

2~]

div., ren4

Code 2

Me~od buy, sell,

Mon~ - Code 2 [ Code 1 ~yerlseller

: A-H )

or int.)

(J-P)

Code3

redemption) D ay

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

......................

( Q - W )

transaction)

~3.

S o l d

8/26 J

(paa)

~4. -LO~

N o n e

M

T T~ns fe=ed

3/4 J

( ~ o m l i n e 2 3 5 1

Sold 3/19 J

446.

T r a n s f e r r e d 6 1 1

L

f r o m l in e 2 9 9 9

447.


6 /1 K

f r o m l i n e 4 0 2 5

448,

S o l d

1 2 / 7

J

( p a r t )

449. -POTASH CORP SK C$

A

D i v i d e n d L T T r a n s f e r r e d

3 / 4 J

f r o m l i n e 2 3 8 5

450. Sold 3/18 J C

451.

T r a n s f e r r e d 6 /1

L

f r o m l i n e 3 1 3 2

452.


6 /1

K

f i o m l i n e 4 1 6 6

453. Buy 11/24 L

454.

S o l d

1 1 / 2 3

L

F

( p a r t )

455. -NATIONAL INSTRUMENTS CORP

A D i v i d e n d

J

T T r a n s f e r r e d

3/4 J

( f r o m l i n e 2 3 6 3

456,

S o l d

3/18 J

457.

B u y

9 / 3

J

458.

-SEPRACOR [NC

N o n e


3 / 4 l

f r o m l i n e 2 4 0 4

459. Sold 3/18 J


32/277


Name of P .....

Reporting

I

Date of Report

Page 32 of 277

B a r ~ y , M a r y a n n e T,

]

9 / 1 1 2 0 1 0


i,co,.~, ~ .,, t ...... ,io,,~

(Includes those

o f s p

..... d dependent children; see p p . 3 4 - 6 0 of fding instructions.)

NONE (No


A.

B. C.

D.

Deseription of Asse~ Income during


Transactions during rep~ft~.g period

(including tmsl assets) reporting period

reporting pcriod

( 1 ) [

(2 ) (~ )

( 2 )

(I)

(~ )


:Amount[

Type (e .g., Value

Value

Type (e.g., D ate

Value[ Gain

Identity of

exempt from prior disclosure Code I

div., rent,

Code 2

Method

buy, sell,

Month - I Code 2

Code l

bu]ter/sel ler

(A-H )

or int.)

(~-P) Code 3

redemption)

Da y

[ (J-P)

( A -H )

(~fpri~ale

( Q - W )

.[

~ran,~action)

460.


6/I K

f r o m l i n e 3 2 6 0

~

461. Sold 8/28 K B

: 462. -EAST WEST BANCORP LNC None Transferred 3/4 J

from line 2290

463.

Sold

464.

-ALLIANZ SE

None

K T

Transferred

3/4

from line 2233

465. Sold 3/19 J

466.


6/I

K

f r o m l i n e 2 5 0 0

467.

-BAkqER AG BEARER

None

K

T

T r a n s f e r r e d 3/4

( f r o m l i n e 2 2 4 6 )

468. Sold 3/19 J

469.


6 /1

K

~om line 2583)

470.

Transferred /

6 /1

J

f r o m 1 n e 3 6 0 7 ~

471.

- BMW AG

None

K

T T r a n s f e r r e d 3 / 4

f r o m l i n e 2 2 5 f f

472,

S o l d

3/19

J

473.


6 . / 1

K

f r o m l i n e 2 6 2 4

474.


6 /1 K

f r o m l i n e 3 6 5 5

475.

S o l d 8/27

K

A

(pan)

476. -VEOLIA ENVIRONMENT

N o n e

L

T


3 / 4 J

( f r o m l i n e 2 4 5 3 )


33/277

FINANCIAL DISCLOSURE R EPORT


Page 33 of 277

Barry, Maryanne T.

9 / 1 / 2 0 1 0


- i,,o ....

i,,,

tr .... tions (Includes those oyspo~se and dependent children; see pp. 34-60 of f ling instructions.)

[]

N O N E ( N o

reportable income, assets, or transactior~.)

Income during

Gross value at end of ,


escription of Assets

i reporting period

)~eporting period

includ ng trust assets)

,

1) ) 2)

1) 1 (2)

~ )

~

2 )

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

V alue l Value

Type (e.g.,

Datei Value Gain

Identity of

.... pt fiom prior disel .....

Code ] [ di ......

t,

i Code 2

Method

buy, sell,

i Mo,".fla- Cod e 2 Cod e I " buyer/seller

(A-H) :

or int.)

(J-p) Code3

redemption) Da y

(J-P) i (A-H)

(if private

477.

Sold

3/19 J

( p a r t )

478. Sotd 3/19 J

479.

T r a n s f e r r e d 6 / 1 L

f r o m l i n e 3 4 5 4

480.


L

f r o m l i n e 4 4 9 7

481.

S o l d

9 / 4

L

(pa~)

482. -SCOTTISH AND SOUTHERN ENERGY

A

D i v i d e n d


f r o m l i n e 2 4 0 3

483. Sold

3/19

1 4 8 4 .

...... T r a n s f e r r e d

6 /1

K

( f r o m l i n e 3 2 5 6

485.


6/I K

( f r o m l i n e 4 2 9 4 )

486.

S o l d 8 / 3

L

( p a r t )

487.

S o l d

9 / 3

J

A

( p a r Q

488. Sold 9/4 J A

489. -TREND MICRO

N o n e

L

T T r a n s f e r r e d 3 / 4

f r om 1 m e 2 4 4 1

490. Sold 3il 9 J A

491.

Transferred

6/I

K

from line

3 4 0 6 ~

492.

Transferred

6/1

K

from tine 4447

493.

S o l d

8/12

K

B

(part)

i. lncorae Gain Code:

A =$1,000 or Ices

B =51,001 - 52~00

C =$2,301 - $5,009

D =$5,001 - $15,000

E =$ 15,001 - 550.000

(See Columns HI and D4)

F ~50,0Ol - 5100,000 G =$100,001 - $1,000,000

HI ~51,000o001 - 55,000,000

H2 =More than

2. Value Codes

J -$15 ,000 or less

K ~$I5,001 - $50,000

L ~$50.001 - $100,000

M ~$1 00,001 - 5250,000

(Sec Columns CI and D3)

N =5250,001 - $500,000

O =$500,001 - $i,0~0,000

PI ~$1,000,00~ - $5,000,000

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

P3 ~$25.000.001 - $50,000,~0

P4 ~Mute than $ 50,009,000

3. Value Method (:odes

Q =Appraisal R. =Cost (Real Estate Only)

S ::Assessment T ~Cash Mark et

(See Column C2)

U ~Book. Value

V =Other

W =Estimated


34/277


N ....

fPerson Reporting

]

Date of Report

Page 34 of 277

Barry, Maryanne T.

[

9/1/2010

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 . . , v a l u e , tr a n s a e t i o n s a n c l a d e s t h o s e o f s p o

. . . . . d depende~ t children; see pp. 34-aO of flling instructian~)

---] NONE (No


A. B.

C. D _

Description of Assets Income during

Gross va}ue at end of


(including Irust assets)

reporting period

reporting period

~ ~2)

0) ~2)

0) [ (2) o) (4)

( 5 )

Place "(X)" after each asset [ A m o x m t I T y p e ( e . g . Value

Value

Type (e,g.,

[ Dale [ Value Gain Identity of

i Code 1

aiv., rear,

Code 2 Method

buy, sell,

Mouth- [ Code 2

Code 1

buyer/seller

xempt from prior disclosure

(A-H) i or int.) (J-P) Code 3 redemption)

Day | (J-P) (A-H) ( i f p , ~ v a t e

(Q-W) ............................ ............

~

transaction)

494.

Buy

11/20

J

495.

Buy

11/24

J

496.

Buy

11/25

J

4 9 7 .

Bu y

11/26

J

498.

Buy

] 1/27

J

499.

Bu y

] 1/30

J

500.

Buy

1 2 . 1

J

501.

-MCDONALDS COP-P

A Dividend J

T

Transferred 3/4

J

from line 2358

502.

Sold

3/18 J A

503.

Bu y

9/3

J

504.

-DANAHER COILP

A Dividend

L

T Transferred

3/4

J

fiom line 2282

505. Sold 3/18 J

506.

Transferred

6/1

from line 2735)

507 .

Transffbrted

6/1

from line 3760

508. -DELTA PETROLEUM

None

Transferred 3/4 J

from line 2289

509. Sold 3/18

510.

NEWCREST MINING NPV

A Dividend

L

T Transferred

3/4

J

from line 2365

I, Income G ait3 Codes: A =51,000 or less

B =51,001 - 52,500 C =52,501 - 55,000

D =$ 5,001 - $15,000 E =515,001 - $50,000

~See Columns BI ~nd D4)

F ~$ 50,001 - $ 100,000 G ~$ 100,001 - $ 1,000,000

H~ ~51,000,0OI - $5,000.000

H2 -More than 55.000,060

2. Value Co


35/277


36/277


N~e of P .....

Reporting

I

Date of Report

Page 3 6 of 277

B a r ~ r , M a r y a n n e

T.

I

9 / I / 2 0 1 0


income. ~al.e,

t r a n s a c t i o . $

(Includes

those

o f s p o u s e

and

d e p e n d e n t c h i l d r e n ; see pp.

34-60

o f r U i n g i n s t r u c t io n s . )

NONE (No


A. B.

C.

D.


Income during



(including tmst assets)

reporting period

reporting period

(l) (2) (1) (2 )

(1 )

(2) [(3) (4)

(5 )


Amount Type (e .g., Value Value

Type (e.g. , Date Value

Gain

Identity of


Code 1

div., rent,

Code 2

Method

buy, sell,

Month -

Code 2

Code I buyer/seller

(A-H )

or int.) (.I-P)

Code 3

redemption) D ay

(J-P)

( A -H )

(if private

( Q -W )

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

528. NOKIA OYJ

None

Transferred

3/4

J

fiom line 2366

529. Sold 3/19 J

530.

Transferred

6/1 L

from line 3070

531.

/ Transferred

6/1 K

(from line 4106)

532.

Sold 8/19

J

( p a r t )

533.

Sold 8/19

J

(pan)

534.

Sold

8/19 J

(part)

5 3 5 .

Sold

8/20 J

( p a r t )

5 3 6 .

Sold

8 / 2 1 J

(part)

537.

Sold 8 / 2 1

J

(part)

5 3 8 .

Sold

8 / 2 4 J

(part)

539.

Sold 8 / 2 5 J

(pan)

540.

Sold

8/26

J

(pan)

54 I. Sold 10/29 K

542. NYS TWY SECONF GEN 5% 411/19

D

Interest M T

Transferred 3/30

M

(to line 4538)

5 43 , SOFTBANK CORP

None

M T

Transferred

3 /4 K

from line 2417

5 4 4 .

Sold

3/19

J

( p a r t )

1. l~ome Gain Cod~:

A =$ 1,000 or tess B = $ 1,001 - $ 2,500 C = $2,501 - $ 5 ,000

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

(See Columns BI ~rld D4)

F ~$50,001 - $10~,0O0

G - $1 00 ,0 ~1 - $ 1, 00 0, 00 0 H I = $1 ,0 0~ ,0 01 - $ 5, 00 0,0 00

H2 =More th~

2. Value Codes

J ~$I 5,000 or less

K =$ I5,001 - $50,0~0

L =$50,001 - $ 100,000

M =$10~,001 - $250,000

(See Columns CI and D3)

N =$250,001 - $500,000

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

PI =$t,000,001 - $5,000,000

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

P3 =$25,00~,001 - $50,0~),000

P4 ~More than $50,000,000

3. Value Melhod Co~es

Q =Appraisal R =C ost (R eal E~tate O nly)

S =Assessment

T-Cash Market

I (See Column C2)

U =Book Value

V =Other

W =E~timated


37/277


I

Date of Report

INANCIAL

DISCLOSURE

REPORT

[ Barry, Maryanne T.

[

9/]/20 0

age 37 of 277

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~,

tr .... ctions (Includes those of spouse and dependent children; see pp. 34-60 of fding instructions.)


A.

B.

C. D.

Description of Assets Income during G-ross value at end of

Transactions d uring reporting period


reporting period reporting period

0) (2)

( ~ ) ( 2 )

0)

( 2 )

(3) (4)

( 5)


Amount

Type (e.g.,

Value Value Type (e.g.,

Date

V alue G ain Identity of

:xempt from prior disclosure

Code 1

d iv., rent, Cod e 2 M ethod buy, sell, Mont h -

Code 2

Code 1

buyer/seller

(A-H)

or int.) (J-P)

Code 3

redempt ion) Day

(.l.p) (A-H ) (if private

( Q -W )

transaction)

545. Sold 3/19 J

546.


6 /1 M

( f r o m l i n e 3 2 8 9 )

547.

T r a n s f e r r e d 6 /1

L

( f r o m l i n e 4 3 5 7 )

548.

S o l d 11/30

K C

( p a r t )

549.

S o l d

1 2 / 8

K

C

( p ~ t )

550.

T h e W ~ l t D i s n e y

N o n e

M T T r a n s f e r r e d 3 / 4

J

f r o m l i n e 2 4 3 8

55 I. Sold 3/18 J

552.


6 /t

L

f r o m l i n e 3 3 8 ~ 3

553.


6 / 1

K

f r o m l i n e 4 4 2 0 ~

5 5 4 . M E D r R O N I C IN C

A

D i v i d e n d

L

T


3/4

J

f r o m l i n e 2 3 5 9

555. Sold 3/] 8 J

1 5 5 6 .


6 /1 K

( f r o m l i n e 3 0 1 1

557.


6/]

K

( f r o m l i n e 4 0 5 0

558. ~qY U.r~pire UDC 5% I/I/13 D Interest M T Transferred 3/30 M

( t o l i n e 4 5 4 3 )

559. N E)01LM AUTH SVC 4.375% 4/1/11

D I n t e r e s t M T T r a n s f e r r e d

3 /30 L

( t o l in e 4 5 4 2 )

560. ~/YS qt,VY AMB AC 5% 4/1/09

D I n t e r e s t

M T

T r a n s f e r r e d 3/30

L

( t o l i n e 4 5 5 3 )

561. Matured 4/1 M

(See ColurranBI and IM)

F =$50,001 - $100,O~KI O =$100,091 . $1,000,000

HI =$1,000,001 - $5,000,0~0

H2 =More than $5,000,000

2. Value Cod~.~

J =$15,000 or less

K = $15,001. $50,000

L =$50,0~1 - $100,000

M =$100,001 - $250,000

(See Coluna~CI and D3

N =$250,0~1 - $500,1KI0

O =$5 00,001 - $1.00~,000

P1 =51,000,0OI - $5,000,000

P2 =$5 ,000,001 - $25,000,00~

3.

Value Me~h~Codes

Q ~Appraisal R =C~t (Real E.~ate Only)

S

=Assessment

T =C~h

Market

(See Colurr~C2)

U =Book Value V =Other

W =Estimated


38/277


,~ ....

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


Page 3 8 of 277

B . r ~ , M a ~ n ~ e T .

9 / 1 / 2 0 1 0

VII. INVESTM EN TS and

TRUSTS

-~

....

,, v a l u e , t r a n s a c t i o n s ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f J d i a g i n s tr u c t i o .s . )

---]

NONE

income, assets, or transactions.)

N o

reportable

D e s e r i p t io a ~ o f A s s e ~

I n c o m e d u r i n g i C r r o s s v a lu e a t e n d o f T r a n s a c t i o n s d u r in g r~ po r t in g p e r i o d


. r e p o r t i n g p e r i o d

r e p o r t in g p e r i o d

(--~--] (2 ) (1),(2)

( I ) (2 )

[ (3) (4)

I

(5 )


A r e a / m e [ T y p e ( e . g . , V a t u e

Value

T y p e ( e . g . , D a t e Value i Gain[

I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c lo s u r e

C o d e I

~

d i v . , r e n t ,

C o d e 2 i N l e t h o d b u y . s e l l. M o n t h - Code 2 i Code 1


( A - H )

i

o r i n t . )

( J - P ) C o d e 3 r e d e m p t io n ) D a y

( J - P )

i (A-H)

( i f p r i , ~ a t e

,

( Q A ~ 3

i

i

t

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

i 562. NYS TWY AMBAC 5% 411/19

D

Interest

M

T Transfened 3/30

M

(to line 4552)

5~3. NYC tILTHJHOSP CaRP 4.05% 2/15/11 D Interest

M

T

Transferred

3/30 M

(to line 4556)

564. NYS DORM A UTH 4.5% 7/I /09

D Interest

Transferred

3/30 M

(to line 4548)

5 6 5 .

Sold

7/t

M

i66. NYs DORM 5.25% 1 Ill 5123 D

Interest

Sold

1 / 2 7

O

A

567. SUFFOLK C O NY MBI 4/6 6/15/11

C Interest

Sold

3/23 N

D

568.. NY ST ENVIRON FAC CL 5.25% 6/15/12 D Interest M

T Transferred

3/30 M

(to line 4551)

569. NYC GO 5% 8/1/15 D Interest M

T Transferred 3 /4 N

from line 2216

570.

Sold

3/27

N

C

( p a r t )

57t.

Transferred 3/30

M

(to line 4536)

572. NY CITY "rFA A 5.5% 11/1126

D

Interest

M T Transferred

3/30

M

(to line 4541)

573. NY SALES TAX RECEIV 5% 10/15121 D

Interesl

N

T

Transferred

3/30

N

from line 4546

574. NEW YORK . CITY GO M 5% 4/1/13

D

Interest

M

T Sold 3 / 2 3

M

D

( p a r t )

575.

Transferred 3/30 M

(to line 4537)

576. NY sr DORM AUTH ST 5% 7/1/15

D Interest

M

T

Transferred

3/30 M

(to line 4550)

577. NY ST TWY AU FSA 5% 4/1/15 D

Interest

Sold 3 / 2 3 M C

578.

NY CITY MUNI WTR AUTH 09EE 5.0% 6 D

Interest

N

T

Buy

1 / 2 3

N

/15/18

2. Value C~es J ~$15,0~ or I~s K ~$15,001 - $50,~

L -$50,~ I - $ I ~,0~ M =$1 ~,~ I - $~ 0,~0


39/277

FINANCIAL DISCLOSURE R E P O R T . . . .

I

Page 39 of 277

~~" ~"=~"

I

NONE ~o

reportable income, ~sets, or ~ansactions.)

A.

~

B. C.

~ D.

D e ~ n p t i o n o f A s s e ~

[

I n c o m e d u r i n g

~ss v~ue at e~ of


re~aing pefi~ r e p o s i n g p e r i o d

~

0)

(2 )

0)

(2 )

0)

(2 ) ~3) (4)

(5 )


~o~t :

T~ (e.g.,

Value

[

Vflue

::

T~e (e.g.,

D a t e Value Gain Id~fi~ of

exemptfrompfiordisclos~e

: C o d e I

d i v . , r e n ~ ,

C ~ e 2

Me~

~

buy, se~,

Mon~-

C~e2 ~ Code 1

buyer/seller

~

i

( f f p f i v a t e

A -~

o r i n l . )

( J - P )

C o d e 3

~

r ~ e m p t i o n )

D a y

(J-P) ~ (A-H)

]

t~sactioa)

579,

Transfe~ed 3 [ 3 0 M

(to line 4540)

580. ~ WTR & S~ ~V SER A SF 4.8% 10 D

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Buy 1 / 2 8

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81.

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3/30

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(to line 4532)

~g2. ~ ST HSG PIT ~V 5% 9/15/2025

C Inter

Maryanne T Barry Financial Disclosure Report for 2009

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Transcript of Maryanne T Barry Financial Disclosure Report for 2009