Sandra L Lynch Financial Disclosure Report for 2010

8/3/2019 Sandra L Lynch Financial Disclosure Report for 2010

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AO 1 0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR Y EAR 2010Report Re quired by the Ethics

in Government Act of 1978(5 U.S.C. app. ~ 101-111)

1 . Person Reporting (last name, firs t , middle init ial)L y n c h , S a n d r a L .

4. Ti t le (Art ic le 111 judges indica te ac t ive or senior sta tus;magis t rate judges indicate fu l l - or par t - t ime)U.S. Ci rcui t Judge (ac t ive)

7 . Chamb ers o r Off ic e Ad d res sUnited S ta tes Cour thouseI C o u r th o u s e W a y , S u i t e 8 7 1 0B o s t o n , M A 0 2 2 1 0

2. Co urt o r O rg an iza t io nU. S . C o u r t o f A p p e a l s , 1 s t C i r

3. Date of R e p o r t5/31/2011

5a . Report Type (check appropria te type)

~ ] Nominat ion, D a t eInit ial [] Annual [] Final5b. [] Amended Report8. On t he b a s i s o f t he i n fo rm a t i o n c o n t a i n e d i n t h i s Re p o r t a n d a n ymod if ica t ions perta in ing there to , i t i s , in my op in ion , in compliancewith a pp l ica b le l a ws a nd re gu la t ions .

R e v i e w i n g O f f ic e r D a t e

6 . Re p o r t i n g P e r i o d01 /01 /2010

to1 2 /31 /2 0 1 0

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

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)~-~ N O N E (No reportable positions.)

POSITION

2.

3.

4.5.

N A M E O F O R G A N IZ A T IO N /E N T IT Y

I I . A G R E E M E N T S . ( R e p o r t in g i n d i v l d u a l o n & ; s e e p V . 1 4 - 1 6 of filing instruction~)~] N O N E ( N o reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 o f 15

N a m e o f P e r s o n R e p o r t in gLynch, Sandra L.

Date of Report5/3 1/201 I

llI. N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Fi lers Non-Investme nt Incom e

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

2.3.

4.

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - if you were married during any portion of the reportlng yea r, complete this section.(Dollar am ount not required except for honoraria.)

D (No re portable non-investment income. )O N EDATE

I . 20102.

3.

4.

SOURCE AND TYPES e l f - e mp l o ye d : l e g a l s e r v ic e s

I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter ta inment .(Includes those to spouse and dependent children," see pp. 25-27 o filling instructions.)

D N O N E (No reportable reimburseme nts.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDE

1 . Y a l e L a w S c h o o l 03/23/10 - 03/24110 N e w H a v e n , C T S u p re m e C t. A d v o ca cy T r a n s p o r t a t i o n , m e a l s , l o d g i n gC l i n i c2. C o l u m b i a L a w S c h o o l 04112/10 - 04/13/10 N e w Y o r k , N Y M o o t C o u r t M e a l s , l o d g i n g3. AZ Sta te Univer s i ty 04/23/I 0 - 04/26/10 T e m p e , A Z N a t l F o r u m o n F u t u r e o f T r a n s p o r t a t i o n , m e a l s , l o d g i n gL e g a l E d .4.5.


3/15



Date of Report5/31/2011

V. Jlrl~. (tnctudes those to spouse anadependent children; seepp. 28-31 of filing instructions.)~] N O N E (No rep ortable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n e l u d e s t h o s e o y s p o u s e u , ,d dependent children; seepp. 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 4 o f 15 Iame of Person ReportingLynch, Sandra L. Date of Report5/31/2011

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

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

(l) (2) (t) (2 ) O) (2 ) (3) (4) (5 )Place "(X)" after each asset A m o u n t Type (e.g., Va l u e Value Type (e.g., D a t e Value G a i n Identity of

exempt from prior disclosure Code l d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l . mm/dd/yy C o d e 2 C o d e 1 b u y e r / se l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) (J-P) ( A - H ) (if private( Q-W ) tr a n s a c t io n )

1 . Fideli ty Ma ss Muni M M A Dividend L T2. Bank of America A I n t e r e s t K T3. FIDELITY TRADITIONAL IR A B Dividend M T4. - Fidelity Disciplined Equ ity B u y 03/25/10 J(addl)5. - Fidelity Cash Reserve s

6. Fidelity Investmen ts Core Cash A I n t e r e s t J T7. ABA Mem bers Retirement Plan (See note,Section V III) A Dividend8. - Stable Asset Return Fund

II.1 2 .

1 3 .

15 .

1 6.

1 7 .

IRA R O L L O V E R A C C O U N T

- Fidelity Advisor Equity Incom eE Dividend PI T

- F id e l ity L o w P r i c e d S to c k- Fide l i ty Div idend Growth- Fidelity Capital and Incom e

Sold 03/10/10(part)Sold l 0/22/10(part)Buy( a d d l )

J

J

J

A

- Fidelity Invest Grade

S o l d 06/23/10 J A(par t)S o l d 12/22/10 J B(par t)S o ld 06/2 3/1 0 J A(par t)B uy 12/22/10 J(add l )

I. Incom e Gai n Codes:( S e e C o l u m n s B I a n d D 4 )

2. Val ue Codes( Se e C olumns C I a nd D3)

3.Val ue Met hod Codes( Se e C olumn C 2)

A=$1,000 or l c s sF =$ 5 0, 001 -$ 100, 000J =$15,000 orlessN =$250.001 - $500,000P3 =$25,000,001 -$50,000,000Q =AppraisalU =B ook Val ue

B =$1 ,001- $2 ,500G =$ 100, 001 -$ 1, 000, 000K =$15,001 ~ $50,000O=$500 ,001 -$1 ,000 ,000R =C os t ( Re a l Es t a t e Only )V =Othe r

C =$2.501- $5 ,000HI =$1 ,000 ,001-$5 ,000 ,000L =$50,001 - $100,000P1 =$ 1, 000,001 -$ 5 , 000,000P4 -Mo re t han $ 5 0, 000,000S =As s e s s me ntW = E s t i m a t c d

D=$5,001- $15 ,000H 2 = M o ~ S a n $ 5 , 0 00 , 0 00M=$100 ,001 -$250 ,000P2 =$5,000,001 -$25.000,000T = C a s h M a r k e t

E =$15,001- $50 ,000


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Name of Person ReportingLynch, Sandra L.


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t u c , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d( i n c l u d i n g t r u s t a s s e t s ) r e p or t in g pe r io d o f r e p or t in g p er io d

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

exempt from prior disclosure Code I d i v . , r e n t , C o d e 2 M e th o d(A-H) o r i n t . ) (J-P) C o d e 3( Q - W )

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

redempt ion)

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

(2) (3) (4) (5 )D a t e Value G a i n Identity ofm m /d d ] y y C o d e 2 C o d e 1 buyer/seller

O - P ) ( A - H ) (if privatetransaction)1 8 . - Fidelity Capital Appreciation Sold 03/10/10 K D1 9 . - Fide l i ty Large Cap Value20 .21 .22 .23 .24 .25 .2 6.27 .28 .29 .30 .31 .32 .33 .34 .

- Fideli ty Blue Chip Growth

- Fidelity Advisor Strate gic lnc CL I

- Fidelity Inflation Protected Bond

- Fidelity Ultra-Short Bond

- Fidelity Total Bond

B uy 03/10/10(add l )B uy 12/22/10(add l )B uy 12/22/10(add l )

JJJ

- F i d e l i ty A d v i s o r M i d C a p I I C L I

- Sparta n 500 Index F1D Advantage

- Fidelity Advisor New Insights CI I

- Fidelity Gro wth Comp any

- Fidelity Advisor High Income CL 1

- Fidel i ty Short Term Bond

S o l d 03/10/10 J(par t)S o ld 06 /2 3/1 0 J(par t)B uy 10/22/10 J(add l )B uy 12/22/10 J(addl)Bu y 03/10/10 J(addl)Sold 12/22/10 J(par t)S o ld 0 3/1 0 /1 0 J(pa n)S o ld 03/1 0 /1 0 J(par t)Sold 12/22/10 J(par t)S o l d 12/22/10 J( p a n )B uy 06/23/10 J(add l )

AA

A

A

I. Incom e Gai n Codes:( S e e C o l um n s B I a n d D 4 )

2. Val ue Codes( Se e C olumns C I a nd D3)

3.Val ue Met hod Codes( Se e C olumn C 2)

A=$1,000 or l c s sF =$ 5 0.001- $ 100, 000J -$15 ,000 or l c s sN =$250,001- $500,000P3 =$25,000,001 -$50,000.000Q=Appra i sa lU =B ook Val ue

B =$1 ,00 t - $2 ,500G =$ 100.001- $ 1.000, 000K =$ 15 , 001- $ 5 0, 000O=$500,001- $1,000,000R = Cost(Real Es ta t e Only )V =Othe r

C =$2,501- $5 ,000HI =$1,000,001- $5,000,000L =$50,001 -$I00,000PI =$1,000,001 -$5,000,000P4 =M ore t han $ 5 0, 000, 000S = A s s e s s m e n tW = E s t i m a te d

D =$5,001 -$15,000H2 =More t han $ 5 , 000,000M=$ 100, O 01- $ 2 5 0, 000P2 =$5,000,001 -$25,000.000T = C a s h M a r k c t

E =$15,001- $50 ,000


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V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)~ NONE(No reportable income, assets, or transactions.)A. B. C.

Description of Assets Incom e during Gross va lue a t en d( including t rus t assets) repor t ing per iod of repor t ing per iod

(l ) (2 ) It) (2)Place "(X)" after each asset A m ou nt Type (e.g., Value Valueexempt f rom pr ior d i sclosure Code 1 div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3

(Q-W)

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

redempt ion)

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

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

m m /d d/yy Co de 2 Code 1( J - P ) (A-H)

( 5 )Identity of

buyer/seller(if private

t r a n sa c t i o n )

35 .

36 .

37 .

38 .

39 .

4 0.

41 .

4 2 .

43 .

-S tra tegic ADV US Op pty I I ( form er ly FIDP A S US O p p F id )

- Strategic ADV Intl 1I (form erly FID PASIntl Fd)

- Fideli ty Small Cap G rowth

B uy 12/22/10(add l )B uy 03/10/10(add l )S o l d 12/22/10(par t)B uy 03/10/I 0(add l )B uy 06/23/10(addl)Buy 08/19/10(addl)Sold l 0 / 2 2 1 1 0( p a r t )B uy 12/22/I 0(add l )

J

J

J

J

JJ

K

J

44. -Fidelity Disciplined Equ ity4 5. - Fi de li ty E qu it y In co m e46 . - F id e l ity I n d e p e n d e n c e

Sold 03/10/10(part)

47 . -Fide l i ty Fund4 8. - F id e li ty M ag e ll an49 . -Fide l i ty Value50 . -F ide l i ty Money M arke t

S o l d 0 3/1 0 /1 0 J(part )Sold 03/10/10 J(pa r t )Sold 03/ l O/ l O J(part )

C l o s e d 10/22/10 J51. -FideliyEmerging M arkets B uy 10/22/10 K(add l )

I. Incom e Gai n Codes:(See Col um ns B I and 13 4)

2. Val ue Codes(See Col um ns C I and D3 )

3.Value Method Cedes( S e e C o l u m n C 2 )

A =$1,000 or lessF =$50,001 - $100,000J -$15 ,000 or l e s sN =$250,001 - $500,000P3 =$25,000,001 - $50,000,000Q =AppraisalU =Book Va lue

B =$1,001 - $2.500G=$100.001 - $1,000,000K-$ 15 , 001 - $ 5 0, 000O=$500,001 - $ 1.000,000R =C os t ( Re a l Es t a t e O n l y)V =Othe r

C =$2,501 o $5,000H 1 =$ 1,000,001 - $5,000,000L =$50,001 - $100,000P 1 =$ 1 ,000,001 - $5,000,000P4 =M ore t han $ 5 0, 000, 000S = A s s e s s m e n tW = E s t i m a te d

D =$5,001 - $15.000H2 =More t han $ 5 , 000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000.000T =C a s h Ma r ke t

E =$ 1 5 , 0 0 1 - $50 ,000


7/15



Date of Report5 /31 /2 0 1 1

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions a n c l u d e s t h o s e o f s p o u s e and dependent children; seepp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

D e s cr ip t io n o f A s s e ts T r a n s a c t io n s d u r in g re p o r tin g p e r io d( i n c l u d i n g t r u s t a s s e t s )

I n c o m e d u r in g G r o s s v a lu e a t e n dr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

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

exempt from prior disclosure C o d e 1 d iv ., r e n t , C o d e 2 M e th o d b u y , s e l l.( A - H ) o r i n t . ) (J-P) C o d e 3 redemption)

( Q - W )

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

mm/dd/yy C o d e 2 C o d e 1(J-P) ( A - H )

( 5 )Identity of

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


52 .53 .54 .55 .56 .

-Fidelity Commo dity Strategy Fund

-Fidelity Small Cap Value

B uy 10/25/10(add l )S o l d 12/22/10(par t )B uy 03/10/10(add l )S o l d 06/23/10(pa r t )

J

J

J

J

57. -Fidelity Select G old

58 . -Fidelity Stock Selector All Cap FdB uy 06/23/10 J(add l )B uy 03/10/10 K

59 .6 0 . - F i d e li t y F o c u s e d H i g h I n c o m e F u n d

B u y 03/11/10 J( a d d l )Buy 12/22/10 J

61 . -FIMM MMK T Por t Ins t CI O p e n 10/22/10 J62 . Esplana de Capita l Ptnrs I LLC (See note F Dividend N Usection V III)63 . Condomin ium, Carrabass e tt Va l ll ey , ME C Rent M W64 . P A S B R O K E R A G E A C C O U N T

65. - Fidelity Mu nicipal Income

66. - Fidelity Short-lntermediate M uni Income

67. - Fidelity Municpal M oney Mar ket

68. -DWS Stra t eg ic H igh Y ie ld Tax Free CI S

A Dividend KA Dividend JA Dividend JA Dividend K

T

T

T

T

1. Inco m e Gain Cod es: A =$1,000 o r less B =$1,001 - $2,500 C =$2,501 - $5,000 D -$5,001 - $15,000( Se e C olumns B I a nd D4) F =$ 50,001 - $100,000 G =$100,001 - $ 1 ,000,000 H I =$1,000,001 - $ 5 ,000,000 H2 = M ore than $5,000,000

2. Va lue C ode s J =$15 ,000 o r less K =$1 5,001 - $50,000 L =$5 0,001 - $1 00.000 M $ 1 0 0 , 0 0 1 - $ 2 5 0 , 0 0 0( S e e C o l u m n s C I a n d D 3 ) N =$25 0,001 - $500,000 O =$5 00,001 - $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 -M or e tha n $50 ,000 ,0003 . Val ue Met hod Cod es Q =Appraisal R =C os t ( Re a l Es t a t e Only ) S =As s c s s mc nt T =C a s h Ma r ke t( Se e C olumn C 2) U =Book Va lue V =Othc r W =Es t ima te d

E =$15,001- $50 ,000


8/15



Date of Report513 1/2011

V l l . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f i l ing instructions.)

69 .70 .71 .7 2.73 .7 4.7 5.

~7 6 .

7 7.7 8.7 9.80 .81 .82 .83 .84 .85 .

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

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g Gross value at en d( in c lu d in g t ru s t a s s e ts ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d

(l ) ( 2 ) (1) (2)Plac e "(X)" after each asset A m o u n t Type (e.g., Value V a l u e

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


(i ) (2) (3)Type (e.g., D a t e Va l u eb u y , s e l l , mm/dd/yy C o d e 2

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

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

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

transaction)

-DWS Mana ged Muni Bond C1 S A Dividend J T Sold 03/02/10 J A(part)-Manning & Napier W orld Oppt Ser CI A None Sold 03/02/10 J-Fidelity Advisor Intl Discovery CL I A Dividend J T-Fidelity Real Estate Investme nt A Dividend J T-Fidel i ty Capital & Income A Dividend J T Sold 03/02/10 J A(part)-Aston/M ontag & Caldwell Grw th CL N A Dividend J T-Cambiar Oppor tunity Investor CL A Dividend J T B uy 03/02/10 ] J( a d d l )

S o l d 05/13/10 J(par t)

Sold 07/19/10 J(part)

Sold 05/13/10 J(par t)

-Champlain Sm all Co. Fund Adv CL Conf None J T-Allianz NFJ Small Cap V al Admin Class A Dividend J T-Artisan Intl Valu e Fund lnv CL A Dividend J T-Artio Intemtl Equity Fund I1 CL A A Dividend J T-Baron Growth None J T-Wil l iam Blair Intl Grow th Class N A Dividend J T-DWS M A Tax Free Class S A Dividend J T-Davis New Yo rk Ve nture Class A A Dividend J T-Eaton Vance Tax M gd Value Class A A Dividend J T

A

A

A

1. l ncom c Gai n Codes: A =$1,000 o r less B =$ 1 ,001 - $2,500 C =$2 ,5 01 - $5,000 D =$5,001 - $15,000(Se e Co lumn s B I a n d 1 3 4 ) F =$ 50,001 - $ 100,000 G =$ 100,001 - $ ! ,000,000 H I =$ 1,000,00 | - $ 5,000,000 H 2 =M ore than $5,000,0002 . Val ue Codes J = $15,000 or less K = $ 15 , 001 - $ 5 0, 000 L =$50,001 - $ 100,000 M =$100,001 - $250,000( Se e C olumns C I a nd D3) N =$250,001 - $500,000 O =$500,001 - $ 1 ,000,000 PI =$ 1 ,000,001 - $5,000,000 P2 =$5,000,001 - $2 5,000,000P3 -$25,000,O01 - $50,000,000 P4 -M ore t han $ 5 0, 000, 0003 . Value Met hod Co des Q =Appraisal R =Cost (Rea l Es t a l e O nl y) S = A s s e s s m e n t T - C a s h M a r k e t( Se e C olumn C 2) U =B ook Val ue V =Othe r W = E s t i m a t ed

E =$15,001 - $50,000


9/15


Name of Person Reporting I Date of ReportL y n c h , S a n d r a L .

[5/31/2011

V I I . I N V E S T M E N T S a n d T R U S T S - incom e, value, tran sactions (Includes those of spouse and depe nden t children ; see pp. 34-60 of f il ing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during Gro ss va lu e at end Transact ions dur ing repor t ing per iod( including t rus t assets) rep ortin g period of repo rting p eriod

(]) (2 ) (1) (2) (] ) (2) (3) (4) (5 )P lace " (X )" after each asset A m ount T ype (e.g ., Value Value Type (e.g., D a t e Value Gain Ident i ty of

exempt f rom pr ior d i sclosure Code 1 div., rent. Code 2 Method buy, se l l , m m / dd/ y y Code 2 Code 1 buyer/se l le r(A-H) o r i n t . ) (J-P) Code 3 redem ption) (J-P) (A-H) (if private(Q-W ) transaction )

86 .87 .88 .89 .90 .91 .92 .93 .94 .95 .96 .97 .98 .99 .100 . - T Ro w e P r i c e H i g h Y i e l d A d v i s o r CII 0 I. - T R o w e P r i c e E q u i ty I n c o m e A d v i s o r C L102 . - T Ro w e P r i c e I n t l Bo n d A d v i s o r CL

- A m e r ic an E u r o p a c i f ic Gr o w th C la s s F 1 N o n e S o l d 03/02/10 J-Faro Value A D i v i d e n d J T- J P M o r g a n M id - C a p V a lu e F n S e l e c t C L A D i v i d e n d J T-Har tford Growth Class A N o n e J T-Har t fo rd Growth Oppor tun i ty Cla ss A N o n e J T- H o tc hk in s & W i le y M id C a p V a lu e C L A A D i v i d e n d J T- J a n u s F u n d C la s s T S h s ( c o r r e ct e d n a m e ) A D i v i d e n d J T- M F S R e s e a r c h I n tl C la s s A N o n e S o l d 03/02/10 J- M a in s t a y L g C a p Gr w th F u n d C la s s A N o n e J T- M u tu a l S e r i e s M u tu a l S h a r e s C la s s A N o n e S o l d 05/13 /10 J A- P im c o R e a l R e tu r n A d m in i s t r a ti v e C la s s A D i v i d e n d J T S o l d 03/02/10 J A(pa r t )- P im c o C o m m o d i ty R e a l R e t S t ra t A d m in A D i v i d e n d J T B uy ! 03/02/10 J( a d d l )

A D i v i d e n d J TA D i v i d e n d K TA D i v i d e n d

B uy 05/13/10 J(add l )S o l d 07/19/10 J(par t)

S o l d 03/02/10 J

1. Incom e Gai n Codes: A =$1,000 or less B =$ 1, 001 - $ 2 , 5 00 C =$2,501 ~ $5,000 D =$5 ,001 - $15 ,000(Sce Colum ns 131 and D 4) F =$50,001 - $100,000 G =$1 00,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 ~Mo re t han $ 5 , 000, 000

2 . Value Co des J =$15 ,000 o r less K =$15,001 ~ $50,000 L =$50,001 - $100.000 M =$1 00,001 - $2 50.000( Se e C olumns C I a nd D3) N =$250.001 - $500,000 O =$500,001 - $1,000,000 P I =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 =$ 5, 00 0,0 01 - $2 5,0 00 ,0 00P3 ~$2 5,000.001 - $50.000.000 P 4 =M ore than $5 0,000,0003 . Val ue Met hod Cod es Q =Appraisal R -C os t ( Re a l Es t a t e On ly ) S = A s s e s s m e n t T =C a s h Ma r ke t( Sc c C olumn C 2) U =B ook Val ue V - O t h e r W =Est i m al cd

E =$ 15 , 001 - $ 5 0, 000


10/15

FINANCIAL DISCLOSURE REPORTPage 10 of 15



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

1 0 3 . -S S G A E m e r g i n g M a r k e ts104 . - Te m p l e t o n G l o b a l Bo n d Cl a s s A1 0 5 . - T h o rn b u rg I n t l Va l u e C L A1 0 6 . - T h o rn b u rg Va l u e C l a s s A107. -Fide l i ty Divers i f ied ln t l108 . - F id e l i ty M a s s M un i I n c o me109 . - A l l ia n c e M un i l n c I I M a s s CI A110. - Cr e d i t S u i s s e Co mmd R t n S t r g y Co m S hr11 I . - EV P a r a me t r i c S t rc t d Em e r g i n g M k t s C1 A112 . - H a r b o r I n t l A d m i n C1113 . - JP M o r g a n U S E q u i t y FD S e l CI114 . - M F S l n t l D i v F d A115.116. - S P D R S & P 5 00 ET F Tr U n i t S e r I S & P117.I 18. -Wil l ima Bla ir Growth CI N1 1 9 . I R A R O L L O V E R A C C T N O 2

A. B. C. D.D e s c r i p t i o n o f A s s e t s In c o me d ur in g Gross value at end Transactions during reporting period

( in c lu d in g t ru s t a ss e ts ) re p o r t in g p e r io d o f r e p o r t i n g p e r i o d( 1 ) ( 2 ) (1) (2) (I ) (2) (3) (4)

P l a c e " ( X ) " a f te 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 Va l u e G a i ne x e m p t f ro m p r i o r d i s c l o s u r e 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 m / d d / y y Code 2 ~ Code 1( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemption) ( J - P ) ( A - H )( Q - W )

J TJ T

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

A Dividend

N o n eA Inte res t

B uy 03/02/10 J( a d d l )S o l d 11/30/10 J

J TJ T B u y 03/02/l 0 JJ T B u y 05/13/10 JJ T B u y 1 1/30/1 0 JJ T B u y 07/19 /10 JJ T B u y 1 1/30/1 0 JJ T B uy 03/02/10 JJ T B uy 07/19 /10 JJ T B uy 05/13/10 J

S o l d 07/19 /10 J(pa r t )B uy 05/17/10 JS o l d 07/21/10 JB uy 07/19 /10 J

J T

A

(5 )Ident i ty of

buyer/se l ler(if private

transaction)

I . Inc ome G a in C ode s : A =$ 1, 000 or l ess B =$1 ,001 - $2 ,500 C =$2,501 - $5 ,000 D =$ 5 , 001 - $ 15 , 000( See Col um n~ B I and 13 4) F =$ 50,001 - $ 100,000 G =$ 100,001 - $ 1 ,000,000 H I = $ 1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 H 2 = M o re t ha n $5 ,0 00 ,0 00

2. Va lue C ode s J =$15 ,000 o r less K =$1 5 ,001 - $50,000 L -$5 0,001 - $ 1 00,000 M =$ 100, 001 - $ 2 5 0, 000( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 -$25,000,001 - $50,000.000 P4 -M or e tha n $50 ,000 ,0003 . Val ue Met hod Cod es Q =Appraisal R =C os t ( Re a l Es t a t e Only ) S =As s e s s me nt T = C a s h M a r k e t( Sc c C olumn C 2) U =Book Va lue V - O t h e r W =Es t ima te d

E =$15,001- $50,000


11/15

FINANCIAL DISCLOSURE REPORTPagellofl5

Name of Person ReportingLynch, Sandra L,


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

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 in g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g 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 o r t i n g p e r i o d o f r e p o r t i n g p e r i o d( 1 ) ( 2 ) (1) (2) ( 1 ) (2) (3) (4) ( 5 )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 .. V a l u e V a l u e T y p e ( e . g ., D a t e V a l u e G a in I d e n t i t y o fe 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 M e t h o d b u y , s e l l , m r r d d d d y y C o d e 2 C o d 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 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

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

12 0 . - F i d e l i ty Ca s h R e s e r ve s1 2 1 . IR A - 3122. -Schwab ADV Cash Reserve-Premier

Sweep12 3 . - G E Ca p i t a l Finl Inc Retai l C D12 4 . - Ba n k A me r N A Cha r l o t t e CD125. -Freeport -McMoran Copper & G o l d In c1 2 6 . - Praxair Inc12 7 . - R i o T i n t o P L C1 2 8 . - Va l e S A A D R1 2 9 . - C a t e rp i l l a r ln c13 0 . - G e n e r a l Electric131. -United Te c hn o l o g i e s1 3 2 . - A l t r ia Group Inc1 3 3 . -D i a g e o P L C S p o n A D R13 4 . - P e p s i c o ln c135. -Phi l ip Morr is Intl lnc13 6 . - G e n z yme Co r p

E Int./Div. PI TB uy 08/13/10 N(add l )

Redeemed 01/15/10 L

Redeemed 04/22/10 L

Sold 08/30/10 K D

I . Inc ome G a in C ode s : A =$1,000 or less B =$ 1, 001 - $ 2 , 5 00 C =$2,501 - $5,000( Se e C olumns B I a nd D4) F =$ 50,001 - $ 100,000 G =$100,001 - $ 1,000,000 H ! =$ 1 ,000,001 - $ 5,000,0002 . Val ue Codes J -$15,000 or less K =$15 ,001 - $50,000 L =$5 0,001 - $100,000( S e e C o l u m n s C I a n d D 3 ) N -$2 5 0,001 - $500,000 O =$5 00,001 - $1,000,000 P 1 =$1 ,000,001 - $5 ,000,000

P3 -$25,000,001 - $50.000.000 P4 -M or e tha n $50 ,000 ,0003. Va~ue Method Codes Q =Appraisal R =Cost (Rea l Es t a t e O nl y) S =As s e s s me nt( Se e C olumn C 2) U =B ook Val ue V =Othe r W =Es t ima te d

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

E =$ 15 , 001 - $ 5 0, 000


12/15



Date of Report5/ 31 / 201 l

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 m e , v a t .e , transactions ( I n c l u d e s those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

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

(including tmst asse ts) rep orting perio d of repo rtin g p eriod(1) ( 2 ) (1) (2)Place "(X)" after each asset A m ou nt Type (e.g., Value Valueexempt f rom pr ior di sclosure C o d e l div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3

(Q-W)

1 3 7 . - G i l e a d S c i e n c e s I n c1 3 8 . - Jo h n s o n & J o h n s o n C o m

1 3 9 . - M e d t r o n i c I n c

140. - Un i t e d H e a l t hca re C orp

141 . - V a r ia n M e d i c a l S y s t e m s I n c

1 4 2 . - A p a c h e C o r p

1 4 3 . - C h e s a p e a k e E n e r g y C o r p

1 4 4 . - D e v o n E n e r g y C o r p

1 4 5 . - E O G R e s o u r c es I n c1 4 6 . - A m e r i c a n E x p r e s s

1 4 7 . - G o l d m a n S a c h s G r o u p

148. -Applelnc

1 4 9 . -E M C C o r p - M a s s1 5 0 . - G o o g l e I n c

1 5 1 . - P a r a m e t r i c T e c h n o l o g y C o r p

1 5 2 . -K i n d e r M o r g a n M g m t L L C

1 5 3 . - A m e r i c a M o v i l S . A . B D E C . V.

(1 )Type (e.g.,

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

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

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

mm/dd/yy Code 2 Code 1( J - P ) (A-H)

Sold 07/31 / 10 J(pa r t )

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


1. Incom e Gai n Codes:( S e e C o l um n s B I a n d D 4 )

2. Va lue C ode s( Se e C olumns C I a nd D3)

3.Val ue Met hod Codes( S e e C o l u m n C2 )

A=$1,00Oor lc s sF =$50,001- $!00,000J =$15,000 orlessN =$ 2 5 0, 001- $ 5 00, 000P3 -$25,000,001 -$50,000,000Q =AppraisalU =Book Va lue

B =$1 ,001- $2 ,500G=$100,00! -$1,000,000K =$15,001- $50,000O =$500,001 -$1,000,000R ~ C o s t ( R c a l E s t a t e O n l y )V - O t h e r

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001 - $ 100,000P 1 =$1,000,001 - $5,000,000P4 =Mo re t han $ 5 0, 000,000S =As s e s s me ntW =Es t ima te d

D =$5,001- $15,000H2 =More t han $ 5 , 000, 000M=$100 ,001 -$250 ,000P2 =$5,000,001 - $25,000,000T =C a s h Ma r kc t

E =$15 ,001- $50 ,000


13/15



Date of Report5/ 31 / 2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)N O N E ( N o reportable income, assets, or 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( in clu d in g t ru s t a s s e ts ) r e p o r t in g p e r io d

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

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

Gr o ss v a l u e a t e n do f r e p o r t i n g p e r i o d

(1) (2)Va lu e Va l u e

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

( Q - W )


(l ) (2) (3)T y p e ( e . g ., D a t e Valueb u y , s e l l , mm/dd/yy C o d e 2

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

( 4 ) ( 5 )G a i n Identity of

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


15 4 . -P I M CO F D S P A C I n vs t M G M R e a l Re t m155. - L e h m a n B r o s H l d g s In c N T B a r r S & P ( s e eno te in See. VIII)1 5 6 . S I IN V E S T A C C O U N T1 5 7 . - S c h w a b A DV C a s h R e s e rv158.

Interest

S o l d 07/19 /10

I . Inc ome G a in C ode s : A =$ 1, 000 or l ess B =$1 ,001 - $2 ,500 C =$2,501 - $5 ,000 D =$5,001 - $15,000( Se e C olumns B 1 a nd I) 4 ) F =$50,001 - $ 100,000 G =$1 00,001 - $1,000,000 H 1 =$1 ,000,001 - $5 ,000,000 H2 =M ore than $5 ,000,000

2. Va lue C ode s J =$1 5 ,000 o r l ess K =$1 5 ,001 - $50,000 L =$5 0,001 - $1 00,000 M =$100,001 - $2 50,000( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $5 00,000 O =$5 00,001 - $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 -M or e tha n $50 ,000 ,0003 . Val ue Met hod Code s Q =Appraisal R =C os t ( Re a l Es t a t e Only ) S =As s e s s me nt T =C a s h Ma r ke t( S e e C o l u m n C 2 ) U =Book Va lue V = O t h e r W =Es t ima te d

E =$ 15 , 001 - $ 5 0, 000


14/15




V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)P a r t V I I - I n ve s tme n t l i m i t e d p a r t n e r sh i p i n c o me w he t he r p a s s i ve o r n o n p a s s i ve i s d i s c l o se d a s " d i v i d e n d " i n c o me .P a r t V I I - A l l i n ve s tme n t s a r e p ub l i c ly t r a d e d c o m m o n s t o c k s o r m u t ua l f un d s un l e s s o t he r w i s e n o t e d .P a r t V l l, A BA M e mb e r s Re t i r e me n t P l a n - The p l a n s p o n s o r d o e s n o t p r o v i d e d e t a i l tr a n s a c t io n i n f o r m a t i o n t o p l a n p a r t i ci p a n t s . P l a n p a r t ic i p a n t s r e c e ive a na n n ua l r e p o r t s ho w i n g w hi c h p l a n f un d s t he y a r e i n ve s t e d i n , t he p l a n va l ue , t o t a l c o n t ri b u t i o n s , to t a l d i s tr i b u t io n s , a n d n e t r e a l i z e d a n d un r e a l i z e d g a i n s . The ppar t ic ipan t rc ieved a monthly min imum requi red d i s t r ibut ion .Par t VII - Esp lanade Capi t a l Ptn rs I LLC i s a non-pub l ic ly t raded LLC.P a r t V II , IRA 3 - L e hma n Br o s H o l d i n g I n c N T Ba n " S & P - n o w d e e m e d w o r t h l e s s


15/15


IX. CERTIFICATION .Iame of Pe r son Repo r t ingL y n c h , S a n d r a L . Date o f Rep o r t5/31/201 I

I c e r ti f y t ha t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a in i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a te , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f, a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s t a tu t o rp r o v i s i o n s p e r m i tt i n g n o n - d i s c lo s u r e .1 f u r t h e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p ro v i s i o n s o f 5 U .S .C . a p p . 5 0 1 e t . s e q . , 5 U .S .C . 7 35 3 , a n d J u d i c i a l C o n fe re n c e r e g u l a t i o n s .

Signatu re: S/Sand ra L. Lynch

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S IF IE S O R F A IL S T O F I L E T H IS R E P O R T M A Y B E S U B JE C T T O C IV ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

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

Sandra L Lynch Financial Disclosure Report for 2010

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Transcript of Sandra L Lynch Financial Disclosure Report for 2010