Straub , Chester J - Judicial WatchStraub , Chester J. SRCE . D YPE SOURCE AND YPE SOURCE LOCAION...

I

NAMEOFORGANIZATIONffiNTITY

PARTIES TERMS

0 B , ".) ;J

9

2.

Report Required by the Ethics A010 FINANCIAL DISCLOSURE REPORT

in Guvernmenl Act of 1978 Rev.1/2011 FOR CALENDAR YEAR 2010 (5 U.S.C app. §§ 101-111}

I. Person !Uportlnr: (lasl name, Drst, middle lnlllalJ

STRAUB, CHESTER J.

2. Court or Orpnlzallou

U.S. COURT OF APPEALS, 2ND CIR

J. Date olllq>ort

05/06/2011

4. Tiile (Article WjudgtS Indicate acttn or senior statm; magistrate judges indicalC full- or part-time)

ORCUlT JUDGE- SENIOR STATIJS

SL Report Type (check appropriate l)"pe)

D Nomination, Dale

D Initial [{] AnnwJ D

Sb. D Amcudcd Report

Fmal

6. !Uport1111 Period

01 1!2010

lo

12/31!2010

7. Chunh£n or oma Addras

UNITED STATES COURTIIOUSE

500 PEARL STREEr NEW YORK, NY 10007

8. On the basis of lhe lnformallon contained In this Report aud any modiftc:atioas ptrlalaln1 tbcrcto, It ls, In my opWon, 111 compliance with applicable laws and ngalallons.

Rnlewlng Omar Date

IMPORTANTNOTES: Tlit instructions accompanying this form must be folWwed.. Compleu an parts, chtding tht NONE bo:r for each pat1 where you have no reportable information. Sign on last pa gt.

I. POSffiO NS. (Reportin1 ilulivi4ual on/]; see pp. 9-13 of filing instructions.)

[{] NONE (No reportable positions.)

POSITION

1.

2.

3.

4.

5.

II. AGREEMENTS. (R•porting individual only; ... pp.14-16 of filing i1Ulnutions.)

[{] NONE (No reportable agreements.)

AND

......,

c• , .,, !Tl o=:: -.

(")> z c::> r:i

p10 <ol> }>

,., .- ,,, -,, 0(") NC"11 er

1.

3.

Straub , Chester J.

SOURCE AND TYPE

SOURCE AND TYPE

SOURCE LOCATION PURPOSE

INCOME

FlNANCIAL DISCWSURE REPORT

of16

Name or Puso11 Repor11n&

STRAUB, CHESTER J.

Dale or Report

05106/2011

m. NON-INVESTMENT INCOME. {Rtpo<tilt1buJMdlUll11nd sporu•; SU pp. 11.24 o/jdin1 ilUl7UdlDnsJ

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

1. 2010 NYS RETIREMENT SYSTEM (RETIREMENT BENEFIT)

(youn, DOI spouse's)

$6,183.00

2

3.

4.

B. Spouse's Non-Investment Income - 11""' wru1anw durill1..,,, portion of thereportino,_, COJ¥1d• tAb Udion.

(Dollar alllOID!l""' PW/Mimi artpt for honorarl<L)

[{] NONE (No reportable non-investment income.)

I.

2

3.

4.

IV. REil\IBURSEMENTS -1n11uporlalion, lodging,food, tnlutainmtnl.

(Includes those to spowe and tkpendenl children; see pp. 25·27 of filing i11Stn1crioru.)

[{] NONE (No reportable reimbursements.)

ITEMS PAID OR PROVIDED

1.

2

3.

4.

5.

(Indwl ..

SOURCE

CREDITOR

DESCRIPTION

DESCRWTION

VALUE

VALUE CODE

J.

FINANCIAL DISCLOSURE REPORT

of16

Name of Ptrsoa ltq>ortlng

STRAUB, CHFSTER J.

V• G IFf S. doou to qoas• ond dqendnil cliildr.,.; :u• pp. 2&-JI of filint instn«tiOIU)

[{] NONE (No reportable gifts.)

1.

Date of Rrport

0.5!06/2011

2.

J.

4.

s.

[{] NONE (No reportable liabilities.)

1.

2

4.

5.

2.

(3)


of16

Name or Penon Reporting

STRAUB, CHFSfERJ.

Date of Report

05iU6/2011

VII. INVESTMENTS and TRUSTS - inrona.. •aha•, 1nnsamom rrnc1Mt1n lhas• of spouse w dqwndm1 c1tildnn: m PP· 34-60 o1 fillnr instruWons.J

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

A. B. c. o. DcscrlpliOD Of Ass.IS Income during Gross value at end Transactions during reporting period

(including DUSI assets) rcponing period of reporting period

(I) (2) (I) (2) (1) (2) (4) (S) Place '(JC)' after each asset Amount Type(c.g Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code l div rcnt, Codc2 Method buy, sell. mm/dd/yy Codc2 Code I buyer/seller (A·H) or int.) (J-P) Codc3 redemption) (1-P) (A·H) (lfprivale

(Q-W) transaction)

1. **FIDEIIIY INVESTMENTS*•

NY ST DORM At.rm REVS CITY UNIV c Inlerest L T CONS-S'Ill GEN-C MBIA 4/Hl/03

3. NY CITY MUN WrR F/A WTR&SWR A Interest Redeemed 06/15/10 K A SYS RV SERB-AMBAC TrnS CSID

4. NEW YORK STTWY AU SVC CONT c Interest L T REV LOC HWY & BRIDGE 8/15/95

5. BERKSHIRE HATIIA WAY INC. CLASS None L T B

6. HEWlEIT PACKARD COMMON B Dividend M T

7. ENZO BIOCHEM INC COMMON None J T

8. HEALTII CARE PPTY INVS INC c Dividend L T COMMON

9. GREAT PL\INS ENERGY - KANSAS A Dividend J T CITY POWER & UGHT COMMON

10. IBM COMMON c Dividend M T

11. GENERAL ELECTRIC COMMON A Dividend J T

12. LOCKEED MARTIN COMMON A Dividend J T

13. EXXON COMMON A Dividend J T

14. COMMONWEALTII REIT COMMON A Dividend J T (FORMERLY HRPT PROPERTIFS TRUST)

15. COHEN & STEERS REALTY SHARES A Dividend K T Buy 03/31/10 J (add1)

16. Buy 06/30/10 J (add'I)

I. Income Gaia Codes: Ao,$1,000or lc.u B '41,0ot -S2.SOO c 2,501 - $5,000 D ..S5.00J - 515,000 fo,$15,001-$50,000

(Sec Col111J1.DS Bl and D4) F .S50,001-SI00.000 G -SI00,001 -Sl,000,000 HI •Sl,000,001 - 55,000,000 Hl =More !bu $5,000,000

2. V•lur:Codcs J .S15,ll00 or Jess K •SIS,001 - 550,000 L =SSO.OO! -Sl00,000 M ·SI00,001- S2S0.000

(Sec Coluauis Cl ud 03) N o,$250.001- SS00,000 0 •SS00,001 -Sl,000,000 Pl =Sl,000.001-55,000,000 P2 •5',000,001 • W.000.000

n 4is.ooo.001 • S50,ooo,ooo N •More 1lw1 SS0,000.000

J. Valu< Metltod Code.I

(Sec Column C2) Q•Appnisll U:Booi;Value

R >Co5r (Rn! E>r•lr Only) V:::-Othcr

s

W= .malcd

T Marke1

CAI

(1) (1) (I)

Name or Prnon Reporting Dile or Report FINANCIAL DISCLOSURE REPORT

of16 STRAUB, CHFSTERJ. 05i1l6/2011

VII. INVESTMENTS and TRUSTS -incom•, ,a,,,,, transadions anc1ru1n 11uis. ofrpollSI and dqtttu11n1 cllildr•n; m pp. 34-60 of fl/btr instrucliotUJ

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

A. B. c. D. Description or Assets Income during Gross value at end Transactions during reportiag period (including trust lSSCIS) reporting period of repo<1ing period

(2) (2) (2) (3) (4) (5) Plaa: "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.. Date Value Gain Identity of

exempe from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Codcl redemption) (J·P) (A·H) ("if private

(0-W) transaction)

17. Buy 09/30/10 J (add1)

18. Buy 12/16110 J (add1)

19. NEW YORK sr ENVIRO FACS 5% B Interest Redeemed 06115110 K A

20. NEW YORK sr URBAN DEV CORP REV c Interest L T CORP6.5%

21. METROPOLITAN 1RANS AUTI:I NY D Interest Redeemed 07/01/10 M A 1RANFACS

22. S&P MID CAP 400 DEP RCPYS MID A Dividend Sold 03129/10 K c

23. FIDELITY MUNICIPAL MONEY A Interest M T MARKET

24. NEW YORK NY GO BOS SUBERIES 5% c Interest M T BOND

25. METROPOLITAN 1RANSN AUTI:I NY c Interest L T 5.5%BOND

26. FORTESCUE METALS GROUP LTD None K T COMMON

27. GOLDMAN SACHS GROUP INC A Dividend L T COMMON

28. WALMART STORES INC COMMON A Dividend K T

29. FIDELITY NY MUNI MM A Interest Pl T

30. EATON VANCE LG CAP FUND A Dividend K T Buy 03/09/10 J (add'I)

31. Buy 06/09/10 J (add'I)

32. Buy 09/09/10 J (add1)

33. Buy 12/29/10 J (add'I)

1. lnoome Gain Codes: A st,000 or Im B •Sl,001 • $2,500 c -S2,50J • $5,000 D =S5,001 • SU,000 E =SJ5.001 • SS0,000

(See Columns Bl aod 04) F =S50,00! • S 100,000 G =SI00,001 • Sl, 000,000 HI =Sl,000,0Cll • $5,000,000 H2 =MolO lhu $5,000,000

2. Value Codes . J =SIS,000 or le,. K-Sl5,00I • SS0,000 L=SS0,001 • $100,000 M =SI00,001- S2SO,OOO

(See Columns Cl aod 03) N c$2SO,OOI • $500,000 0 =$500,001 • $1,000,000 P1 .s1.ooo,001. ss.000,000 P2 =SS,000,001 • $25,000,000

P3 ·S2S,000,00I • SS0.000.000 P4 •More than SS0.000,000 3. Valoc Mctbod Codes Q =Appraisal R =Cost (Real E>taie Only) S =As.5C5Smcat T -cash Mart.Cl

(See Column C2) U •Book Value V =Olbcr W= im11c.d

ADVISOF

CHECKING

(1) Type (e.g.,

Name ol Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

of16 STRAUB, CHFSI'ER J. 05/06/2011

VD. INVESTMENTS and TRUSTS - in tom•, •llhi,,, lrrUISamons an,,,.,,.,,._ of rpouu 111111 dtptn4•nt c1t1Ur1n: m,,. Juo of Jiiini UistrattiauJ

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

A. B. c. D.

Description or Assc!S Income during Gross value at eod TramactiODS during reporting period fmcluding trust assets) Rporting period of r•porting period

(2) (1) (2) (I) (2) (3) (4) (S) Place '(X)' after each asset Amount

ocmp1 from prior disclosure Cocle 1

Value Value Type(t.g Date Value Gaia Identity or

(A·H) mlllL) (J-P) Code3 redemption) div .. rent. Code2 Method buy, sell, mm/dd/yy Codc2 Codel buyer/seller

{J-P) {A·H) (if privau: tnmacticn)(0-W)

34. FIDEJ.IfY INSTL TREASURY MONEY A Dividend 0 T Open 07/01}10 Pl FUND

3S. TEMPLETON GLOBAL BOND A Dividend L T Buy 11122/10 L RJND

36. US TREASURY BILIS A Interest Buy 09/14110 Pl

37. Sold 10/07nO Pl A (part)

38. Buy 10/08/10 0 (add'l)

39. Sold ll/04no 0 A

40. ••CfnBANK ACCOUNTS••

41. None J T

42. ••FIDEUTY IRA ROLLOVER••

43. MARSH & MCLENNAN COMMON A Dividend K T

44. FIDELITY CASH RESERVES A Interest J T

4S. FIDEUTY US GOVT RESERVES MM A Interest Cosed 11122Jl0 Pl

46. S&P MID CAP 400 DEP RCPTS MID CAP B Dividend M T Sold 01./03/10 K c SPDRS (part)

47. Buy 03{29/10 K (add1)

48. FEDL HOME LN BANK CONS BD c Interest K T 5.625% 1 ln5/2011

49. AMERICAN GROWill FUND OF None Sold 01./03/10 K c AMERICA Ct.ASS F (GFAFX)

50. lWEEDY BROWNE GLOBAL VALUE B Dividend M T Buy ITT/14no K RJND (add'!)

I. t.come Ga.in Codcso A •SJ,OOOor le5' B·U.OOl·S c •$2.301 - S!!,000 0 =SS,001- Sl5,000 E -S15.00I • $$0.000

(See Columns Bl and 04) F =S50,00I - SI00,000 G •SI00,001 • Sl,000,000 HI -Sl,t"00,001 - SS,000,t"OO 112 •More lhaA S!l,000.000

l. Valw: Codes J -Sl'.t"OO or le,. K -su.001 - sso.ooo L =SS0,001 • SI00,000 M -SI00,001 • $250,000

(Sc: Colwna• Cl and 03) N •$250.00 I • SS00,000 0 ·SS00,001 • Sl,000,000 Pl •Sl,000,001- SS,000,000 P2 -SS,000,001 - $25,000,000

P3 •S25,000,0C>I • SS0,000,000 P4 •Mono lbu S!I0,000,000

3. Valot: Me1bod Codes Q=Appru..1 II -Cost (Real Estate Only) S -.Asses.sra.cnl T..c..i. Mutet (Su Column C2) U •Boot VaJuc V=<lll><r Wsf...s1ima1ed

bay, sell.

Name ot Person Reporting Dale of Rtport FINANCIAL DISCLOSURE REPORT

of16 STRAUB, CHESTERJ. 05/06/2011

vn. INVESTMENTS and TRUSTS - U.com.. •ob.1, trrur.=lioM (111tl1ula ,,,,,,, of spDIUI twl UJHndtnl tlUldrtn; m pp. 34 of filinl instructioiuJ


A. B. c. D. Description or Assets lllOOme during Gross value at end Transactions during reporting period

(including trust assets) reporting period ofreporting period

Place '(X)" after each asset (1)

Amount (2)

Type (e.g., (1)

Value

(2) Value

(1) Typc(e.g.,

(2) Dabo

(3) Value

(4) Gain

(S) Identity of

ncmpl from prior disc!= Code I div., rcat, Code2 Method rrunld41y;y Cocle 2 Cocle 1 boyer/seller (A-II) odnt) Cocle 3 mlcmption) fJfptinle{J-P) {J-P) (A-fl)

(0-W) transaction)

51. Buy 12J3(){10 J (add'!)

52. BARON GROwnI FUND None M T Sold 02/03/10 J c (part)

53. Buy 07n4/10 K (add1)

54. BlACKROCK GLOBAL ALLOC F1JND c Dividend N T Buy 01(22'10 M

SS. Buy 02/17110 M (add1)

56. Buy 07(22'10 J (add1)

57. Buy 12/20/10 J (add1)

58. AMERICAN GROWTII FUND CL F2 B Dividend M T Buy 05/06110 M

59. 12/22110 J

60. ROYCE TOTAL RETURN F1JND B Dividend M T Sold 02/U3{10 J B (part)

61. Buy 03{11/10 J (add1)

62. Buy 06/10/10 J (add'l)

63. Buy 07(14/10 K (add1)

64. Buy 01)/09/10 J (add'l)

65. Buy 12/09110 J (add1)

66. GOOGLE COMMON None K T

67. FIDEUTY CONTRAFUND A Dividend M T Sold 02JU3!10 K A (pan)

1. Income Gain c.odcs: A=-$1,000orlclS B =Sl,001 -$2,500 C =Sl.SOl -SS,000 D -SS,001 - $15,000 I!-SlS,001 - SS0.000

(Sec ColUlJll>J Bl aod D4) F =SS0,001 -SI00,000 G •SI00,001 -Sl,000,000 HI •Sl,000,001 -SS,000,000 Hl sMorc lllan S5,000,000

2. Value Codco J-SIS,OOOorleu K =SIS,001 - SS0,000 L.SS0,001-SJOO,OOO M ..SI00,001 - S250.000 (Sec ColuJllm Cl IDd 03) N =S2S0,001- SS00,000 o •SS00,001-$1,000,000 Pl =Sl.000.001 • $5,000,000 P2 -SS,000,001- S:!S,000.000

n -s:is.000.001 -sso.ooo.CXXJ P4 •More 11w1 sso.000.000

3. Vahle Method Codes (Sec C:.,!WIUI C2)

Q -Appraisal U =Boot Value

R ..C0.1 (Ral E.moe Only) v ..Q!bcr

S a.Asses.unc:nl

W s-Estimalcd

T.C.:Jo:Martet

71..

ADVISOI<

Namrof PtrSOD !Upor11ag Dalt or ReportFINANCIAL DISCLOSURE REPORT

of16 STRAUB, CHESTER J. 05"16120l1

VII. INVESTl\IENTS and TRUSTS - u.com•, wi1u1, lnJJuDttions <I11cbuln 11ios. of spoas• """d,,,.""'"' c1Uldn11:.,. PP· 34-60 of filin1 instruttimuJ


A. B. Description of Assets locomc during

(includiog uust assets) reporting period

(I) (2) Place '(X)' after each asset Amount

cxcmpC from prior disclosure Code I div, rcol, (A-H) orillL)

c. D. Gross value al end Transactions during reporting period of rcportiog period

(1) (2) (I) (2) (3) (4) (S) Type (e.g. Value Value Typc(c.g. Date Value Gain Identity of

Code2 bay, sell, mm/dd/yy Code2 Code I buyer/sellerMelbod

(J-P) Code3 redemption) (J-P) (A-JI) [rf private

(Q-W) truisaction)

68. Buy 02.iUS/10 J (add1)

69. Buy 05/10/10 J (add1)

70. Buy 12117/10 J (add1)

71. FATON VANCE LG CAP VALUE FUND B Dividend M T Buy 03/10/10 J (add1)

Buy 06/09/10 J (add1)

73. Buy 09/09/10 J (add1)

74. Buy 12/30/10 J (add1)

75. IVY ASSET STRATEGY FUND A Dividend N T Buy 01/22/10 M

76. Buy 02/17/10 M (add1)

n. Buy 11.i00/10 J (add1)

78. TEMPLETON GLOBAL BOND c Dividend M T Buy 11/22/10 M FUND

79. Buy 12/17/10 J (add1)

80. KKR PRIVATE EQUITY INVESTORS LP A Int./Div. Sold 08/26/10 J A

81. BERKSHIRE HATIIAWAY INC None M T COMMON

82. INTEL CORP COMMON A Dividend J T

83. JP MORGAN CHASE & CO COMMON A Dividend L T

84. MATIHEWS OilNA FUND A Dividend K T Buy ]1.,00/10 J (add1)

I. Jacome Gain CodH: A -S 1,000 or less B =Sl,001 • Sl,SOO C =Sl,501 -SS,000 o -S5.ocn - su.ooo E -Sl5,001 -S50.000

(See Columns Bl and 04) F-S50.00I -SI00,000 G -SI00.001 -Sl,000.000 HI •$1,000,001 - SS,000,000 Hl •More than SS,000,000

l. Value Codes J .:SU,000 or less K =$15,001 -S50,000 L =$50,001 • $100,000 M =Sl00.001 • S:Z.S0.000

(See Columns CJ and 03) N -S:Z.S0.001 - SS00.000 0 -S500,00I • Sl,000,000 Pl -Sl,000,001 • $5,000.000 Pl-S.S,000.001 -$25.000,000

n .S25.ooo.001 • sso.000.000 P4 •More Iha SS0.000.000

3. Value Mclhod Cod<• O=Apprai>al R ..C0.1 (Ral Es1>1< Only) S •Assessmenl T zCasll Mutr.d

(See Colomli Cl) U =Boot Value V .Qlbcr W:11:Es.l:im11cd

92.

(4) T)'pe (e.g..


of16

Name or Penon }Uporting

STRAUB, CHESTER J.

D11t or Rrport

05/06(2011

VJI. INVESTMENTS and TRUSTS -incOlrll, ..w.., ITallmctions (l••W4n tliou O/sf'O'IU """tl•pvu/•111 c1Wtln11; UI pp. :U-60 o/ fi1irt1 lnstmcdollsJ


A. B. c. D.

Description of Assets Income during Gross value •I end Trllll5actioos during reporting period ("mcluding lnlSI assets) reporting period ol n:porting period

(1) (2) (I) (2) (I) (2) (3) (5) Place "(X)" afta each asset Amount Value Value Type(e.g, Date Vaine Gain ldentiry of

exempt from prior disclosme Code l div, n:nt, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-ll) or inL) (1-P) Code3 redemption) (/-P) (A-fl) (if private

(Q.W) tnmactioa)

85. VANGUARD INTERMED 'IBRM TAX c Dividend M T Buy 01!3<V10 I EXEMPT FD {add1)

86. Buy CYZ/Z7/10 I {add1)

f!T. Buy 03/31/10 I {add'!)

88. Buy 04/30/10 I (add1)

89. Buy 05/29/10 J (add1)

90. Buy 06/30/10 I {add1)

91. Buy 07131/10 I (add'I)

Buy 08/31/10 I {add1)

93. Buy 09/30/10 J (add1)

94. Buy 10/30/10 I (add1)

95. Buy 11/30/10 J {add'!)

96. Buy 11/03/10 J (add'!)

97. Buy 12/31/10 J (add1)

98. PIMCO TOTAL RETURN INSTI.. FUND E Dividend 0 T Buy 01/21/10 N

99. Buy 01/29/10 J (add1)

100. Buy 02/26/10 J (add1)

101. Buy 03/31/10 J (add'I)

1. looomc Goia Code>: A -Sl,000 or Jcos B..Sl,001-$2,.500 c =Sl,.501 -S5,000 D =S,,001 • SIS,000 I! S1',001 • 150,000

(See ColwDDs Bl and 04) F .SS0,001 • SI00,000 0 •SIOO,OOl -Sl,000,000 HI -Sl,000,001 - SS.000.000 H2 •Moro lbu $5,000,000

2. Value Codes J-SIS,000 ot less K-SlS,001 ·SS0,000 L -sso.001 • s100,000 M -SI00,001 - S2'0,000

(Set Columm Cl and 03) N •SlS0.001• $500,000 0 =SS00,001- Sl,000,000 r1 11.000.001-ss.ooo.ooo P2 .S.S,000,001 - S2S.OOO.OOO

P3 -SlS,000.001 - 150,000,000 P4 =More lhan SS0.000,000 3. Value Mclhod Coda

(S« Colwnn C2) Q •Appraisal U•lloot Value

R -Cost (Real EUol< Only) V s.Olber

S 11:AMc:ssmca1

W =E.stimattd

T -C.lh Marie<!

D.

(A·H)

•

Name orPrrsoa Rrportlng Datt of Repor1 FINANCIAL DISCLOSURE REPORT

of16 STRAUB, CHESfER J. 05!0(12(}11

vn. INVESTMENTS and TRUSTS - inromt, yaJu . transoaioru (l11cbltla thou of rpou.u and dtpend111t chil4n11; HI pp. 34-60 of fi1Ut1 Uutn.ttioruJ

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

A. B. c. Desaiptioa or Assets Income during Gross value al end Transactions during reporting period

(including lnlS1 imcts) reporting period of reporting period

(I) (2) (I) (2) (1) (2) (3) (4) (.5)Pbcc "QC)' aftu each asset Amou.ot Type (e.g. Value Value Type (e.g .• Date Value Gain Identity or

exempt from prior disclosure Code 1 div. rcul, Code2 Method buy, sell. mm/ddlyy Code 2 Code 1 buycr/seUor orinl.) (J-P) Code3 redemption) (J-P) (A·H) (if private

(0-W) lraDSac!ion)

102. Buy 04/3()(10 I (add'I)

103. Buy 05(2.8110 I (add'I)

104. Buy 06/30/10 I (add'I)

118. Buy 06/30/10 J (add'I)

105. Buy 07/30/10 I (add'!)

106. Buy 08/12/10 L (add'l)

107. Buy 08(31/10 J (add'l)

108. Buy 09130/10 I (add1)

109. Buy 10129/10 J (add'l)

110. Buy 11/30/10 J {add'l)

111. Buy 12/08/10 K (add1)

112. Buy 12/31/10 J (add1)

113. VANGUARD LM1D ADMIRAL SHORT c Dividend M T Buy 01129no J 'IERMFUND (add'!)

114. Buy 02/26/10 J (add1)

115. Buy oJmno J (add'I)

116. Buy 04130/10 J (add'!)

117. Buy 05131/10 J (add'!)

I. Income Goin Codes: A -SJ.000 or lcu B •Sl,001 • S:Z.SOO C =S2,S01 • S5,000 D -SS.001 • S 15,000 E .SJ5,001 • $50.000

(Sec Columns Bl and 1>4) F •$50,001 • $100,CXXl G .Sl00,001 • Sl,000,000 HI •Sl,CXXl,001 • $5,CXXl,CXXl H2•Morelhan15,000,000

2. Value Codes J =SU,000 or less K =S .,,001 • $50,CXXl L =SS0,001- Sl00,000 M .$100.001 • S250,000

(Sec ColWllDI Cl aad 03) N •$250.001 • $500,000 O•SS00,001·51,CXXl,000 Pl =$1,000,001 • $5,000,000 Pl •SS,000,001 • SZS,000,000

P3 =Slj,000,001 • S..'0,000.000 P4 •More lhu S .000.000

3. Value Method Codn R Kc:o.i (Re.ti E.111e Only) S =Aslnsmcat T-C.>llMMkct Q •Appraisal (Sec Co!QQUI C2) U •Book VaJuc v-omcr W=.E.siim.ifcd

Name of Penoa Reportlag Dale of Report FINANCIAL DISCLOSURE REPORT

of16 STRAUB, CHESfERJ. 05/()6/2()11

vn. INVESTMENTS and TRUSTS - btconu, •o/u1, trruututioM (lnchulu IN>JI of spotUI aM 4qnndtlll chiLlrtn; m pp. 34-60 olfWnt btslnudoltsJ


A. B. c. D. Description of Assets Income during Gl"OS$ value at end Transactions during reporting period

(including lrusl assets) reporting period of reporting period

(I) (2) (1) (2) (I) (2) (3) (4) (5) Place "(X)" a&r each asoct

exempt from prior disclosure

Amount

Code I Type (e.g., div., ren

Value

Code2 Value

Method Type (e.g., bay, sell,

Dale

mm/dd/yy

Value Code2

Gala Code!

Identity of

buyer/seller (A-Ii) or ial.) (l·P) Code3 dcmptioJI) (J-P) (A·H) (ifprivate

(0-W) lrulSaClioo)

119. Buy 07/31110 J {add1)

120. Buy 08/31/IO J (add1)

121. Buy 09/30/10 J (add1)

122. Buy (add1)

123. Buy (add'I)

124. Buy (add1)

125. VANGUARD SHORT TERM LMTD MUN B Dividend L T Buy BDFUNDINC (add1)

126. Buy (add1)

127. Buy (add'!)

128. Buy (add1)

129. Buy (add'l)

130. Buy (add1)

131. Buy (add1)

132. Buy (add'l)

133. Buy (add1)

134. Buy (add1)

135. Buy (add1)

10131/10 I

11/31/10 I

12/31/10 1

01130/10 J

02!1.7/10 J

03/31/10 J

04130/10 J

05129110 J

06/30/10 J

07/31/10 J

08/31/10 J

09/30/10 J

10/30/10 J

11/30/10 J

1. !Doomo G&in Coda: A =.$1,000 or less n-s1.001 • s2,500 C =SZ.SOI - SS,000 D •SS,001 - Sl5,000 E -Sl5.00I • 150,000

(See Columas Bl ind 04) F =S50,00J -$100.000 G -SI00,001 • $1,000.000 HI •Sl,000.001 • S!!,000,000 Ill =Men tbl!I SS,000.000

2. V1luc Codes J =Sl5,000 or less K =S15,001 • $50,000 L =SS0.001 • SHXl,000 M -Sl00,001 • SZS0.000 (S.. Columns Cl and DJ) N =S2.SO,OOI • S500,000 0 -S!I00,001 • $1,000,000 Pl =Sl,IXXJ,OOJ -S!!,000,000 Pl =S!!,000,001 • $25,000,000

P3 =Sl.5,000,001 • 150,000.000 P• •Mon: rban SS0,000,000

3. Value MOlbod Qxles Q=Appuisal R cCosl (Ra! Est>IC Only) S•Asl.C'Umcn.1 T .c..sJt Mukct

(See Colwna C2) U •Book V1luc v .otb<T W =Estim>lcd

B.

(1)

..

•


of16

Name of Ptnon lhportln&

STRAUB, CHESTER J.

Date of Report

05/06/2011

VIL INVESTMENTS and TRUSTS - in•om., "'"''· tnnsactioM (1nc11u1n ,,_,of spouseont1 d•ponJar1chi/Jr••;mpp.34-60 of Illini ilutnlctimu.J


A. c. D. Description or Assets IDOOme during Gross value al end Tnnsactions during reporting period

(including ttust assets) reporting period of reporting period

(I) (2) (2) (I) (2) (3) (4) (S) Place "(X)" aftct each asset Amoun1 Type (e.g., Value Value Type (e.g., Dote Value Gaia ldcalily of

cxcmpl from prior disclosure Code I div., rent, Codc2 Method buy, sell, mm/dd/yy Code2 Code! buyer/seller

(A-ll) or int) (J·P) Codc3 redrnlptioa) (J-P) (A-ll) ("if private (Q-W) trumctioa)

136. Buy 12/31/10 J (add1)

137. MORGAN STANLEY GLOBAL LONG/ D Dividend N T Buy 07127/10 M SHORT FUND

138. Buy 12/29(10 J (add'I)

139. ••f1DEl.1TY IRA••

140. FIDEUfY CASH RF.SERVES A Interest J T

141. AMERlCANGROWill(GFAFX) A Dividend J T Buy 12/22/10 I (add1)

142. Sold 10/15/10 J A (part)

143. FIDELITY US GOVT RESERVES FUND A Interest Sold 10/15(10 J A

144. *0ADELlTY IRA**

145. FIDEUfY CASH RF.SERVES A Interest J T

146. 1WEEDY BROWNE GLOBAL VALUE A Dividend K T Buy 12130/10 J FUND (add1)

147. BARON GROWIH FUND None J T

148. FIDELITY CONTRAFUND A Dividend J T Buy 02,1)5/10 J (add1)

149. Buy 12/29(10 J (add1)

150. FIDELITY US GOVT RESERVES FUND A Interest K T MM

151. "*MORGAN STANLEY SB IRA"*

152. DREYFUS MONEY MARKET A Interest J T Open 01/29110 N

l. Income Gatn c.odcs: A =Sl.000 or k., B sSl.OOt • S2,!!00 c =$2.501 • $5.000 D -SS.001 • SIS.000 E -SIS.001 • SS0.000

(Sc< Columns Bl aod 04) F =S50.00I • SI00.000 o =3100,001. s1. ooo.ooo HI =Sl.000.001 • $5,000,000 Hl =Mon: lhu $5,000,000 2. Value Oxlr:> l=SH.000 or k:n K=SIS.001 • $50.000 L sso.001 • SI00.000 M =$100.001 • S2'A!DI

(Sec Columns Cl and 03) N -S250,00I • S.500.000 O =lS00,001 • Sl,000,000 Pl =ll,000,001 • $5,000.000 P2 -ss.000.001 • s2.5,ooo,ooo P3 =S25.000.00I. $50,000,000 P4 •More lhaa SS0.000,000

3. Value Method Codes

(Seo O>hun• C2) Q-Appnisal U =Book Value

R .eo.1 (Real El.ti" Only) v -Ot et

S-A.ueumnn

W=Estim3!ed

T..C.!o11Mute1

(2) (4)

•

Namt of Ptnoa Rrportiag Dale of Report FINANCIAL DISCLOSURE REPORT

of16 STRAUB, CHESTER J. 05/06/2011

VII. INVESTMENTS and TRUSTS - u.'°""· value, rnuuaaions <Inc111tks 11u>s1 oflpoas• an4 "'IH""•n1 c/Wdn•; .,, PP· J4-4o offllini iastnldlotu.J


A. B. c. D.

Description of Assets [DCOme during Gross value at end Ttansacllons during reporting period ("including llUSI assets) reporting period of reporting period

(1) (I) (2) (1) (2) (3) (5) Place "(X)" after each asser AmOW!I Type(e.g Value Value Type(c.g., Date Value Gain 1c1enn1J or

cxcmpc from prior disclosure Code I div rent, Codc2 Melbod buy,sell, mm/ddlyy Code2 Code 1 buyer/Jellu (A-Ji) or inL) (J.P) Code3 redemption) (J·P) {A·li) (if prinle

(Q-W) tnnYClioa)

153. MILWAUKEE WIS PROM NI'S 4.1% A Interest K T Buy 02/05/10 K

154. TIMPANOGOSSPLSVCDISTUTAH A Interest K T Buy 01/19/10 K 4.69%

155. FLORIDA ST BRD ED LOTTERY REY A Interest K T Buy 02/26110 K 4.941%

156. VERMONT ST SER A-2 4.0% A Interest K T Buy 02/08110 K

157. METROPOLITAN COUNCTL MINN 4.4% A Interest K T Buy 02/10/10 K

158. BRAZORIA CNTY TEX SERB 4.594% A lnlerest K T Buy 02./23/10 K

159. HAMILTON MIOI CMNrY SOIS DIST A Interest K T Buy 02/11/10 K 5.0%

160. WISCONSIN ST CLEAN WTR REV SER A Interest K T Buy 02/08110 K 4.391%

161. NEWYORKSTENVIRONMENTAL A Interest K T Buy 02/08110 K FACS4.469%

162 SAN LUIS OBISPO CN1Y CALIF 7.45% A Interest K T Buy ff2/22J10 K

163. omo ST ATE 5.331 % A Interest K T Buy 02/11/10 K

164. NEW YORK NY FOR PRIOR ISSUES A Interest K T Buy 02/09/10 K BOND4.899%

165. TACOMA WASH TAXABLE4.241% A Interest J T Buy 10/27/10 J

166. ••MORGAN STANLEY SB••

167. WESTERN ASSET GOVT MONEY A Interest J T Open 08/31/10 M MARKET

168. SOlITH CAROLINA ST PUB Alffil 4.0% A lnlerest K T Buy 08/19/10 K

169. CHATTANOOGA TENN El.EC REV 5.0% A Interest K T Buy 08/20/10 K

I

1. Jna>me Gain Codes: A -S!.000 or less B•Sl,001-$2,500 C =S2.501 • S!!.000 D .s.5.00t • Sl-'.000 E -su.001 • sso.ooo

(Sec Cot.mm Bl ud 04) F -SS0.001 • SJ 00,000 G ·SI00.001 • Sl.000,000 HI •Sl,000,001- S5.000.000 JU •Mote tlun 15.000.000

2. Value Codes J -SU,000 or less K •S 15.001 • SS0,000 L =S50.00I • SI00.000 M "'3100.001 • $250.000

(Sec Colwnns Cl and 03) N -slS0.001 • $500.000 0 •S500.001 • Sl,000.000 Pl ..Sl.000,001 • $5.000.000 P2 -S5,000.00t -$25,000,000

P3 =S25.000.00I • SS0.000,CXXl P• 0Mo .. 1lwl SS0.000.CXXl

J. Value Mc1bod Codes O•AJ>P(ai..J R •COOi (Rc•I EJ.aic Ooly) s •A>se>snlcal T-C.sh Martel

(Scc Column C2) U=Boot V.U.. V•Olbcr W-=&limatcJ

(1)

b\ly,scll,

(S)

,.

Name of Penoa Repor11ag Date of Report FINANCIAL DISCLOSURE REPORT

of16 STRAUB, CHESI'ER J. 05!U6/'2011

VII. INV NTS and TRUSTS - inconu, t'alut, lrtUISIU:tiDIU (lncludn tllott o/spotat """tltprMtnl chi/Jr111; Sit pp. 34-60 o/Jilbt1 lnstnl<IWMJ


A. B. c. D. Description of Assets !llCOIDC daring Qrms vafDC at cod Transactions during ng period (including trust wets) rqxirting period of reporting period

(2) (1) (2) (1) (2) (3) (4) Place "(X)" each &<Set AmOllllt Value Value Type (e.g.. Date Value Olin Identity of Type(c.g..

exempt from prior disclosure Codc 1 div rent,. Codc2 Met.bod mm/ddlyy Codc2 Code 1 buyer/seller (A-H) (J-P) Code3or int.) n:dcmplian) (J-P) (Ml) (iCprivalc

(0-W} traMac:tion)

170. NEW YORK NY SER A-1 5.0% A Interest K T Buy

171. HUNI'SVlll.E ALA RFDG & CAP SER A A Interest K T Buy 4.0%

172. NORTII TEX MUN WTR DIST TEX 5.0% A Interest K T Buy

173. JEA Fl.A WI'R & SWRSYS REV SER A A Interest K T Buy 5.0%

174. MIAMI-DADE CNTY FIA TRAN SYS A Interest K T Buy SERAS.0%

175. FORT BEND TEX FLOOD CTL WI'R A Interest K T Buy SUPPLY4.0%

176. COWMBIA CNTY GA WIR & SEW A Interest K T Buy REVS.0%

177. SCOTfSDALE ARIZ MUN PPTY CORP A Interest K T Buy 5.0%

178. CALIFORNIA ST DEPT WTR RFS PWR A Interest K T Buy SERLS.0%

179.

08/26110 K

O'Jm/10 K

0')11)9/10 K

08/30/10 K

08/25/10 K

O'J/15/10 K

09115/10 K

10..US/10 K

08/18110 K

I. Income Gain Codes: A-Sl,OOOor Jc,. u .u,001 • si.soo C •Sl,501 • $5,000 D-S5.001 • SIS,000 Ii ..SU,001 • S50,000

(Se< Columus Bl lDd 04) F •SS0,001 • SI00,000 G =SI00.001 •SI ,000,000 HI =Sl,000,001- SS,000,000 H2 =More Uwi $5,000.000

2. Value Codes J •SlS,000 or lc>S K-SIS,001 • $50,000 L -s50,00l • SI00,000 M -SI00,001 • $2j0,QOO

(Sec Colurans Cl 1Dd DJ) N •S2S0,001 • $500,000 0 =SS00.001 • Sl,000,000 Pl =Sl,000.001 • SS,000,000 P2 :SS,000,001 • $25,000,000

3. V &Jue Method Codes

(Sec Coluru 0)

P3 -S2S,OOO,OOI • $50,000,000

Q•Appran.I U•Book VaJuc

R •Cost (Real Estaoe Only) v .Olber

P4 •More lhu SS0,000,000

S =Assessment w =E&lilnllcd

T=Cull Mukel

,.


of16

Name or Penon Rrportlna

STRAUB, OIFSfERJ.

Date or Report

05ml2011

VIII. ADDmONAL INFORMATION OR EXPIANATIONS. <11u11eo1.por1ofrtponJ

PART VII: llNE 14: HRYf PROPERTIES TRUST WENTTIIROUGH A NAME OIANGE DURING 2010. TIIE NEW NAME IS COMMONWFALTif REIT.

"'

Name of Penoa Rtportlns Datt of Report INANCIAL DISCLOSURE REPORT STRAUB, CHESTER J. 05/06/2011age 16of16

CERTIFICATION.

I certify that all Information gtnn above (lndudlng laronnatlon pa1alnlng to my spouse and minor or dependent cblklnn, Ir any) Is :mate, lnle, and complete to the bat of my knowledge and belief. and that any Information not reported wu withheld because It met appUcable statutory >l'islou permlttlna non-dlsdo.sure.

I further certify that earned Income from outside employment and honorarla and the ac:aptance of glnl which ban been reported are In npHance with the prol'LsloDI of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judldal Conference rep)atlons.

)TE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FAISIFIES OR FAIIS TO Fll..E TIDS REPORT MAY llE SUBJECT TO CIVIL 'iD CRIMINAL SANCDONS (5 U.S.C. app. § 104)

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

One Columbus Circle, N.E.

Washington, D.C. 20544

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