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AO I0Rev: 1/2011
FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010
Report Re quired b) , the Ethics
in Government Act of 1978
(5 U.S .C. app. ,~,~ 101-111)
I . Person Reporting (last name, f irst, middle initial)
Sharpe, Gary L.
4. Tit le (Art ic le I I I judge~ indicate ac t ive or sen ior s ta tus;magistrate judges indicate full- or part- time)
2. Cour t o r Organiza tion
U.S. Dist r ict Court , NDNY
5a. Report Type (check ap propriate type)
] N o m i n a t i o n , D a t e
D i s t r ic t Co ur t Jud g e , A c t i ve
7. Chambers or Office Address
James T . F o l ey Co ur t ho use445 B r o ad w ay
A l ban y , N ew Y o r k 12 2 07
[] Initial [] Annual [] Final
5b. [] Amended Report
8. On the basis of the information contained in this Report and any
modifications pertaining thereto, it is, in my opinion, in compliance
w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .
R e v i e w i n g O f f i c er D a t e
3. Date of Report
05/11/2011
6. Report ing Per iod
01/01/2010
to
12/31 /2010
I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~L Complete all parts,
checking the NONE box for each pa rt where you have no reporta ble information. Sign on last pag~
I . P 0 S I T I 0 N S . t R e p o r a n ~ i n a i v i a u a l o n t y ; s e , p p . 9 - 1 3 of fillng instructions.)
[- ~ N O N E ( N o reportable posit ions.)
POSITION
2.
3.
4.
5.
NAME OF ORGANIZATION/ENTITY
I1 . AGREEMENTS. ~ S ~ p o ~ i n g i n a ~ i a u u t o n ~ y ; s e e p p . 1 4 -1 6 of filing instructions.)
~ (No repor tab le agreeme n t s .)O NE
D A T E PARTIES AND TERMS
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FINANCIAL DISCLOSURE REPORT
Page 2 of 12 Ia m e o f P e r s o n R e p o r t i n g
Sharpe, Gary L.
I II . N O N - I N V E S T M E N T I N C O M E . C X e p o ,~ n g ~ndi,’idu~l a,,d sp .... s e e p ~ 1 7 - ~ 4 o f ~ l i , g i n s , ,u a i o n ~ ~
A. Flier’s Non-lnvestment Income
~] NONE non- inves tmen t income . )N o reportable
DATE SOURCE AND TYPE
2.
3.
4.
D a t e o f R e p o r t
05/11/201 I
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 s tm e n t I n c o m e - if you were married during any portion of the reportlng year, complete this section.
(Dollar amount not required excep t for honoraria . )
D N O N E (N o reportable non- inves tment income.)
DATE
I. 2010
2.
3.
4.
SOURCE AND TYPE
Realty USA - Independ ent Contractor - Comm issions
I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment .
( Includes those to spouse and dependent chi ldren; see pp . 25-27 o f f i l ing ins truct ions .)
NONE (No reportable reimbursements.)
SOURCE DATES LOCATION
1.
2.
3.
4.
5.
PURPOSE ITEMS PAID OR PROVIDED
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FINANCIAL DISCLOSURE REPORT
P a g e 3 o f 1 2
Name of Person Report ing
S h a r p e , G a r y L .
D a t e o f R e p o r t
05/I 1/2011
V . G I F T S . a n c l u d e ~ , h o s e , o ~ p o ~ o , ,n d d e p e n d e n t a , i l d , e n ; ~ e e p p . 2 s - 3 ~ o / f il i n g i n ~ , r , , , i o n ~ . ~
N O N E (No reportable gifts.)
SOURCE DESCRIPTION
I.
2.
3.
4.
5.
VALUE
V I . L I A B I L 1 T I E S . a n e l ~ d e s t h o ~ e o / s p o ~ e a n d dependent children; see p p . 3 2 - 3 3 of filing instruction&)
N O N E (No reportable liabilities.)
CREDITOR DESCRIPTION
I.
2.
3.
4.
5.
V A L U E C O D E
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FINANCIAL DISCLOSURE REPORT
Page 4 of 12
N a m e o f P e ~ o n R e p o r t in g
Sharpe, Gary L.
Date of Repor~
05/I 1/2011
VI I. INVESTM ENTS and TRUSTS - i ....... . o r . e , t r a n s a c t i o n s ( Includes those of spouse and depende nt chi ldren¢ see plx 3 4 - 6 0 of f i l ing ins truct long)
N O N E (No reportable income, assets, or transactions.)
A. B. D.
Description of Assets Incom e du ring T ransactions during reporting period
(including trust assets) reporting period
(i) (2)
! A m o u n t T y p e ( e . g . ,C ode I d i v . , r e n t ,
( A - H ) o r i n t . )
P l a c e " ( X ) " a f t e r e a c h a s s e t
exempt from prior disclosure
G r o s s v a l u e a t e n d
o f r e p o r t i n g p e r i o d
O) (2)
V a lu e V a lu e
C o d e 2 M e tho d
( J - P ) C o d e 3
( Q - W )
(i)
T y p e ( e . g .,
buy, sell,
r e d e m p t i o n )
(2) (3) (4) (5 )
D ate V a l u e Gai n Iden t i ty o f
m m / d d / y y C o d e 2 C o d e I buyer / se l l er
( J -P ) ( A - I I ) ( i f p r iva te
t r ansac t i on)
2.
3.
4.
5.
6.
7.
8.
9.
1 0 .
1 1 .
1 2 .
13 .
14 .
1 5 .
16 .
17 .
New Yo rk Co l leg e Tui t io n Savin g s # I A Div idend(529)
New York College Tuition Savings #2 (529) A Dividend
Bu y 01/01/10:
B u y 02/01/10
( ad d ’ l )
Bu y 03/01/10
( a d d ’ l )
Bu y 04/01/10
( a d d ’ l )
B u y 05/01/10
( a d d ’ l )
Bu y 06/01/10
( a d d ’ l )
Bu y 07/01/10
( a d d ’ l )
Bu y 08/01/10
( a d d ’ l )
Bu y 09/01/10
( a d d ’ l )
Bu y 10/01/10
( a d d ’ l )
Bu y 11/01/I0
( ad d ’ l )
B u y 12/01/10
( ad d ’ l )
Bu y 101/01/10
J
J
J
J
J
J
J
J
J
J
J
J
J
Bu y !02/01/10 J
(ad d ’ l )
Bu y 03/01/10 J
(ad d ’ l )
Bu y 04/01/10 J
( a d d ’ l )
Bu y 05/01/10 J
(ad d ’ l )
I . Income Gain Codes: A = $ 1,000 o r less B = $ 1,001 - $ 2 ,5 00 C = $ 2 ,5 01 - $ 5 .000
(Se e Co lum n s BI a n d IM) F =$50,001 - $100,009 G =$100.001 - $1.000,000 III =$1.000.001 - $ 5.000,000
2. Value Codc~ J = $ 1 5 . 0 0 0 o ¢ l e s s K =$15.001 - $50,000 L =$50.001 - $10O.000
(Se e Co lum n s CI a n d D3) N = $2 50.001 - $ 500.000 O = $5 00.001 - $1.000.000 PI -$1.000.001 - $5.000.000
P3 =$25.009.001 - $50.000.000 P4 =More than $5 0.000.000
3. V alu e Method C odes Q = A ppraisal R = C os t ( R ea l Es t a t e O n ly) S = A s ~ : $ s r l K ~ l
(S~ e Co h lm n C2 ) U =Book Value V =O~her W = E s t imated
D = $ 5 . 0 0 1 - $ 1 5 .0 ( ~ 0
112 =More than $5.000.000
M =$100.001 - $250.000
P 2 = $ 5 . 0~ O . 00 1 - $ 2 5 ,0 0 0 .~ O 0
E =$15,001 - $50,000
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FINANCIAL DISCLOSURE REPORT
Page 5 of 12
N a m e o f P e r so n Repor ting
S h a r p e , G a r y L .
Date of Report
05/I 1/2011
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a tu e , t ra , ~ a a i o ~ , a n a a d ~ t h o s e o f s t , o u s e ~ . a d e p e n d e n t children; s e e p p . 3 4 - 6 0 of filing instructions.)
N O N E (No reportable income, assets, or transactions.)
D e s c r i p ti o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
( i nc l udi ng t r us t asse t s)
P l a c e " ( X ) " a f t e r ~ a c h a s s e t
exempt from prior disclosure
Income during
~-poning period
(I) (2)
Amount T y p e ( e . g . ,C ode I d i v . , r e n t ,
(A-H) o r i n t . )
Gross value at end
of reporting period
O) (2)
Value V a lu e
Code 2 M e t h o d
( J - P ) Code 3
( Q - W )
O)T y p e ( e . g . ,
r e d e m p t i o n )
(2) (3) (4) (5 )
D a t e Value Gain I d e n t i t y o f
m m/dd~ ,y C ode 2 C ode I buyo’!seller
( J - P ) ( A - H ) ( i f p r i v a t e
t r a n s a c t i o n )
1 8 .
1 9 .
20 .
21 .
22 .
23.
24.
25 .
26 .
27 .
28 .
29 .
30.
31.
32.
33.
34.
E x c e l S e c u r i t ie s I R A # 1
- Jo hn H an co ck U . S . G l o ba l L ead er sG r o w F u n d C l a s s A
-D i r ex i o n Co mm o d i t y B u ll 2 X F un d( " DXC LX" )
- Pe t r o l e o B r a s il e i ro Pe l r o b a s ADR C o m m o n
("PBR")
-Proshares TR I I Ul t rashor t Euro ("EUO")
- P r i m e r i c a In c C o m m o n ( " PR I " )
-B ar c l ays B k P L C l p a t h D o w Jo n es U B S
Nickel ("JJN")
A Dividend
Bu y
(ad d ’ l )
Bu y
(add’l)
Bu y
(ad d ’ l )
Bu y
(ad d ’ l )
Bu y
(add’l)
Bu y
(ad d ’ l )
B u y
( ad d ’ l )
06/01/10
07/01/10
08/01/10
09/01/10
10/01/10
11/01/10
12/01/10
J
J
J
J
J
J
J
Sold 02/25/10 J A
(part)
S o l d 04/22/10 J A
(part)
So ld 02/04/10 J A
So ld 0 2/ 25 / I 0 J A
Bu y 02/04/I 0 J
So ld 03/10/10 J A
B u y 04/01/10 J
Bu y 04/05/ I0 J
So ld 05/05 /10 J A
I . Income Gain Codes: A = $1,000 o r less B = $ 1,001 - $ 2 ,5 00 C = $ 2 ,5 01 - $ 5 ,000 D = $ 5 . 1 3 0 1 - $ 1 5 , 0 0 0
(Se e Co lum n s BI a n d IM) F = $ 5 0,001 - $ 100,000 G = $ 100,001 - $1,000,000 Ill =$1.000,001 - $5.000,000 112 =More than $5,000.000
2. Value Codc~ J = $ 1 5 . 0 0 0 o ¢ l e s s K =$ 15.O01 - $50.000 L = $ 50,001 - $ 100.000 M = $10~.001 - $250.000
|See Columns C I and D3) N = $2 50.001 - $ 500.0~ 3 O =$ 500.001 - $1.000,000 P I = $ 1 . 0 0 0 . 0 ~ I - $ 5 . 1 3 O O . 0 0 0 P2 =$ 5.O00.001 - $25.0~) ,00~
P 3 = $ 2 5 . 0 O O . 0 O I - $ 5 0 , 0 0 0 ,0 0 0 P4 =More than $50.00~,000
3. Value Method Codes Q = Appr a i s al R =:Cost (Real E s tate Only) S = As s es s men t T =Ca s h Ma rkcl
(See C olu m n C 2) U = Boo k Value V = O lhcr W E s t i m a t e d
E =$ 1 5 ,0 0 1 - $ 5 0 .0 0 0
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FINANCIAL DISCLOSURE REPORT
Page 6 of 12
N a m e o f P e r s o n R e p o r t i n g
Sh a rp e , Ga ry . L .
D a t e o f R e p o r t
05/I 1/2011
V II. IN V ESTMENTS and TRU STS -i .... e , value, transactions (Includes those o fsp ...... d dependent children; see pp. 3 4-6 0 o ffillng instructionrO
NONE (No reportable income, assets, or transactions.)
Description of A ssets Incom e during
(including trust assets) r e p o r t i n g p e r i o d
I Ct) C2~P l a c e " ( ’ X ) " a f t e r e a c h a s s e t t A m o u n t T y p e ( e . g . ,
exempt from prior disclosure C ode I d i v . , r e n t ,( A - H ) or i n t . )
Gross value at end
of reporting period
C t)Value Value
Code 2 Method
( J - P ) Code 3
Transact ions during rel~ r t ing per iod
(I} (2} (3) (4) (5 }
T y p e ( e . g . , D a l e V alu e Gain I d e n t i t y o f
buy, sell, m m ] ’ d d ~ y y Code 2 C ode I buyer/seller
r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e
t r a n s a c t i o n )
35 . - Di rex io n SH S ETF T R Dai ly Rea l Es ta teBull ("DRN")
36.
Buy 05/05110 J
So ld 05 /06/10 J A
37. -D i r ex i o n S mal l Cap B ul l ( "T N A ")
38. E xce l S ecur i t i e s I R A # 2
39. - A p p l e I n c C o m m o n ( " A A P L " )
40. - C e l g e ne C o r p C o m m o n
41. - R e s e a r c h i n M o t i o n LT D C o m m o n
("RIMM")
42 . -S o u t hw es t e r n E n er g y Co Co mmo n
( " S W N " )
4 3 . - U n i t e d S T S S T L C o r p N e w C o m m o n ( " X " )
4 4 . - P e a b o d y E n e r g y C o r p C o m m o n
4 5 . - C o s a n L i d S h s A ( " C Z Z " ) C o m m o n
4 6 . - C h e s a p e a k e E n e r g y C o r p ( " C H K " )
Common
4 7 . - V a l e S A A D R ( " V a l e " ) C o m m o n
4 8 . - H u m a n a I n c . ( " H u m " )
4 9 . - A b e r d e e n S m a l l C a p F u n d C l a s s A
( " G S X A X " )
50 .
51 .
A Dividend N
Bu y 05/19/10
Bu y 10/20/10 K
( a d d ’ l )
B u y 07/13/10 J
( a d d ’ l )
S o l d 03/23/10 J A
S o l d 05/06/10 J A
So ld 05/06/10 J A
S o l d 05/19/10 J A
S o l d 05/19/10 J A
S o l d 05/19/10 K A
S o l d 05/06/10 J A
So ld 04/16/10 J A
S o l d 01/25 /10 J A
(part)
S o l d 02/18/10 J A(part)
So ld 0 3 / 3 1 / 1 0 J A
I . Income Gain Codes: A =$1.000 or less B = $ 1,001 - $ 2 .5 00 C = $ 2.5 01 - $5 .0~O D = $5 .001 - $ 15 .000
(S¢ Co lum n s BI a n d IM) F =$50.001 - $10~.000 G =$ 100.0~1. $1.0~0.000 I11 =$1.000.0~1 - $5.000.0~0 112 =More than $5.000.000
2. Value Codes J =$15.000 or less K = $ 15 .001 - $ 50.000 L = $ 50.0~1 - $100.000 M =$10O.0Ol - $250.000
(S~ e Co lum n s CI a n d D3) N =$250.001 - $500.000 O -$ 50 0.0 01 . $ l,0 00 .O ~) P I = $1.000,001 - $5 .000.000 P2 =S5.000.001 - $25.000.000
P3 ~$25.009.001 . $50.000.000 P4 =More Ihan $50.000.000
3. Value Method Codes Q = A ppr a i sa l R =Cost (Real Estate Only) S =Asscssnv.mt T =Cash Market
(Se e Co h lm n C2 ) 13 =Book Value V =Other W -E s t im a te d
E =$ 1 5 ,0 0 1 - $50.000
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FINANCIAL DISCLOSURE REPORT
Page 7 of 12
Name of Pecan Reporting
S h a r p e , G a r y L .
D a t e o f R e p o r t
05/I 1/2011
N O N E (No reportable income, assets, or transactions.)
D e s c rip t io n o f A ss e ts I n c o m e d u rin g
( i n c l u d i n g t r u s t a s s e t s ) ~ or t i ng pe r iod
(1) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t ’ , A m o u n t T y p e ( e . g .,
e x e m p t f r o m p r i o r d i s c lo s u r e i C o d e I d i v . , r e n t ,ii
(A-H)
or int .)
G r o s s v a l u e a t e n d
o f r e p o t a i n g p e r i o d
O) (2)
V a l u e V a l u e
C o d e 2 M e tho d
( J -P) C o d e 3
(i)T y p e ( 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 i o n s d u r i n g r e p o r l i n g p e r i o d
(2) (3) (4) (5 )
D a t e Value Gain I d e n t i t y o f
m m / d d ? y y C ode 2 C ode I buyer/seller
( J - P ) ( A - H ) ( i f p r i v a t e
t r a n s a c t i o n )
52 .
53 .
54 .
- B a m n Pa r t n e r s F u n d ( " B PT R X" ) So ld
(part)
So ld
(part)
So ld
01/25/10
02/05/10
03/31/10
J
J
J
A
A
A
55 . -C olumbia T ec hnology Fund (" C MT FX" )
56 .
S o l d( p a r t )
S o l d
0 1 / 2 5 / 1 0 J
0 2 / 0 4 / 1 0 ; K
A
A
57 . - E a t o n V a n c e T a x M a n a g e d S m a l l - C a p
("ETMGX")
58 .
So ld 01/25 /10 J
(part)
S o l d 02/05 /10 L
A
A
59 . -Gabelli Enterprise Mergers & Acquisitions
Fd CI A ("EMAAX")
60 .
So ld(part)
S o l d
01/25/10: J
0 2 1 0 4 1 1 0 1 J
A
A
61. -John Han cock U.S. Global Leaders GrowthFund Class A
62.
So ld 01/25 /10 J
(part)
Sold 09124/I 0 J
A
A
63.
64 .
65 .
66.
67 .
-John Hanc oc k La rge C ap Equ i ty Fund
Class A ("JLVIX")
- H a r t fo r d C a p i ta l A p p r e c ia t io n F u n d C l a ssA
Sold 01/25/10 J A
(part)
Sold 05/19/10 J A
(part)
So ld 01/2 5 /10 J A(part)
Sold 02/05/10 J A
(part)
So ld 07/2 3/l 0 K A
68 . -Oppenhe im er Gold & Spec i a l Mine ra l s
("OPGSX") ("OPGSX")
Sold
(part)
01/25/10 J
I . Income Gain Codes: A =$1.000 or less B -$1.001 - $2,500 C =$2,501 - $5,000 D =$5,0~1 - $15,000
(See Columns B 1 and IM) F = $50.0~1 - $ 100,009 G = $ 100.0O l - $ 1.0~0.000 I I I =5 1. 00 0. 00 1 - $5 .0 00 .0 00 1 12 = Mo re t ha n $5 ,0 00 .0 00
2. Valu e C odes J ~$ 15.0~O or less K
(Se e Co lum n s CI a n d D3) N =$250.0OI - $500.000 O =$ 50~.0OL - $1.000.00~ P I $ 1 ,0 00 .0 ~ 1 - $ 5 .0 O O. 00 0 P 2 - $ 5. 00 0, 00 1 - $ 2 5. 0~ 3. ~3 0
P3 =$ 25.000.0OI - $50.000.0~O P4 =More than $50.00~.000
.3. Value Method Codes Q = A i . v c a i s aI
R =Cost (Real I -s tate Only) S =Asscssm~mtT =C a s h Ma rke l
(S~ ¢ Co lum n C2 ) U =l::k~k Value V =Other W = Es t imated
E =$ 1 5 ,0 0 1 -
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FINANCIAL DISCLOSURE REPORT
Page 8 of 1 2
N a m e o f P e r so n Repor ting
S h a r p e , G a r y L .
D a t e o f R e p o r t
05/11/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - in e . .. . . . r u e , t r a n s a c t i o n s (Includes those of s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of filing i n s t r u c t l o n s . )
N O N E (No 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 c lu d in g tru s t a ss e ts ) re p o rt in g p er io d
O) (2)
Place "(X)" after each asset A m o u n t T y p e ( e . g . ,
e x e m p t f r o m p r i o r d i s c l o s u r e : Code I di v . , r en t ,~ ( A - H ) or i n t . )
G r o s s v a l u e a t e n d
o f r e p o r t i n g p e r i o d
(i) (2)
V a l u e V a l u e
C o d e 2 M e t h o d
( J - P ) C o d e 3
( Q - W )
(t )Type (e.g.,
buy , se l l ,
r e d e m p t i o n )
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 )
Dat e V a l u e Gai n Iden t i ty o f
mm!dd.,~ C o d e 2 C o d e I buyer / se l l er
( J -P ) ( A - H ) ( i f p r iva te
t r ansac t i on)
69 .
70 .
71 .
72 .
73.
74 .
-O p p en he i mer D eve l o p i n g Mar ke t s C l as s A
( "O D MA X ")
-P i mco T o t a l R e t u r n Cl as s A ( "P T r A X ")
- R S V a l u e F u n d C l a s s A ( " R S V A X " )
So ld 01/25/10 J A
(part)
So ld 0 5 1 1 9 1 1 0 L A
(part)
So ld 01/25/10 J A
(part)
Sold ! 09/17/10 K A
(part)
So ld 01/25/10 J A
(part)
So ld 02104/10 J A
75 .
76 .
77 .
78 .
79 .
80 .
81 .
82 .
83.
84 .
85 .
-Prosha re s Ul t a FINLS (" UYG" )
- Baid u Co mmo n ("BIDU")
- B u c y m s C o m m o n ( " BU C Y " )
- F o r d C o m m o n ( " F ")
- Ne t a p p C o m m o n ( " NT AP" )
-A m er i can S t r a teg i c ( "CS P ")
-D i r ex i o n B ul l 2 X ( "D X CL X ")
- E a t o n v a n c e t a x m a n a g e d ( " E XG " )
S o l d 01/29/10 J A
B uy 09/24/I 0 K
B uy i 10/20/10 J
(add’l )
B uy 06/25/10 K
B uy 08/04/I 0 K
B uy 09/24/10 K
B uy !09/17/10 K
B uy 06/21/10 K
S o l d 12/23/10 J A
( p a r t )
B uy 09/03/10 K
S o l d 09/24/I 0 J A
( p a r t )
1. I ncome Gain C odes :
(See Columns BI and 1 3 4 )
2 . V alu e C odes
( ~ c C o l u m a s CI and D3)
3. Value Method Codes
(Se e Co lum n C2 )
A =$1.000 or less
=$50,001 - $100.000
-$15.000 or k’ss
N =$250.001 - $500.000
P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 ’ 0 0 . 0 0 0
Q =Appraisal
U = B ook V alu e
B =$1,001 - $2.500
G =$100.001 - $1,000,000
K =$15.0OI - 350.000
O =$500.001 - $
R =Cost {Real Es tate Only)
V = O ~ h ¢ ’ r
C = $ 2 . 5 0 1 - $ 5 . 0 0 0
It I =$ 1.000.001 - $5 .000.000
L = $ 50 . 0 O I - $ 1 0 0 .0 0 0
P I =$ 1 .0 0 0 .0 0 1 - $ 5 .0 0 0 ,0 0 0
P 4 = / ’ . t o r e t h a n $ 50 . ~ O 0 . 0 0 0
S = A s s cs s m c’ n t
W = E s t i m a te d
D = $ 5 . 0 0 1 - $ 15.000
112 =More than $5,000,000
M =$100.001 - $250.000
P2 =$5 .000,001 - $25.000.00~
T =Ca s h Ma rke t
E =$ 1 5 .0 0 1 - $ 5 0 .0 0 0
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FINANCIAL DISCLOSURE REPORT
Page 9 of 12
N a m e o f P e r s o n R e p o r t i n g
Sharpe, Gary L.
D a t e o f R e p o r t
05/11/2011
VII. INVESTMENTS and TRUSTS - i .... e , value, transactions (lncludex those of spouse and dependent children; seepp. 34- 60 of fillng instructlonx.)
N O N E (No reportable income, assets, or transactions.)
Descr i p t i on of A sset s Income during ̄
( in c lud in g trust asse ts ) r e p o r ti n g p ~ d o d
[ O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t I A m o u n t T y p e ( e . g .,
e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t ,(A - H ) or int.)
G r o s s v a l u e a t e n d
o f r e p o r l i n g p e r i o d
(1) (2)
V alu e V a lu e
C o d e 2 Met hod
( J -P ) C o d e 3
( Q - W )
(i )T y p e (e.g.,
buy , se l l ,
r e d e m p t i o n )
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 ate V a l u e G a i n Iden t i ty of
m m ! d d, $’ y C o d e 2 C o d e I buyer / se l l er
( J - P ) (A - H ) (if p r iv a te
t r a n s a c t i o n )
86.
87.
88 .
89 .
90 .
91.
92 .
93.
94 .
- Mat thews As ia (’MAPIX")
-Anna ly (" NLY")
-SPDR Go ld (" GLD")
-C i t i g roup C ommon (" C " )
B uy 08/20/10 J
B uy 08/20/10 J
B uy 09/17/10 J
(add’l )
B uy 06 /24 /10 J
B uy 06/25/10 J(add’l )
S o l d 07/27/10 K A( p a r t )
B uy 08/20/10 J
(add’l)
Buy 103/17/10 K
S o l d 05/06/10 K A
95 .
96 .
97 .
98 .
- Hu n t i n g t o n B a n c s h a r e s ( " HB AN" )
- Q w e s t C o m m u n i c a ti o n s ( " Q " )
Buy 03/17/10 K
Sold :04/16/10 K A
B uy 03/17/10 K
Sold !05/06/10 K A
9 9 . - S y n o v u s F i n l C S N V " )
I00.
B uy
S o l d
03/17/10 K
: 05/06/10 J
1 0 1 . - J P M o r g a n ( " J PM " )
1 0 2 .
B uy
S o l d
04/12/10 J
05/06/10 J
I. Income Gain Codes:
( S C C C o l u m n s B I a n d D 4 )
2. Value Codc’s
(Se e Co lum n s CI a n d D J )
3. Valu,: Method Codes
~Sce C o lu mn C 2)
A =$1.000 or less
F =$50,001 - $100.000
J
N =$250.001 - $500.0~0
P3 =$25.000.001 - $50.0~) .090
Q = Appr a i sa l
U = B ook V alu e
B =$1,001 - $ 2 . 5 0 0
G =$100.001 - $1.090.000
K = $ 1 5 . 1 ) 0 1 - $50.000
O =$5 00 ,001 - $1 .0~ .0~0
R =Cosl (Real Es tate Only)
V -~her
C = $ 2 . 5 0 1 - $ 5 . 0 0 0
It I =$1,000.001 - $5 ,0(~.000
L =$ 5 0 .0 ~ 1 - $ 1 0 9 .0 0 ~
P I =$ 1 .0 0 0 .0 0 1 -
P 4 =M o r e lh ~ U $ 5 0 .0 0 0 .0 ~ 0
S =As s es s men t
W = E s t im a t e d
D =$5.001 - $15.000
tl2 =More than $5,000.000
M =$100.001 - $250.0~)
P2 =$ 5.000.001 - $25.000.000
T =Ca s h M a r k c l
E =$15,001 - $ 5 0 . 0 ~ O
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FINANCIAL DISCLOSURE REPORT
Page 10 of 12
N a m e o f P e r s o n R e p o r t i n g
Sharpe, Gary L
D a t e o f R e p o r t
0 5 / I 1 / 2 0 1 1
VII. INVESTMENTS and TRUSTS - in ....... r u e , tr ans act ions ( Includes thos e o f s pous e and dependent chi ldr en; s ee pp. 3 4 -60 o f f i l ing instr uct iong)
N O N E (No reportable income, assets, or transactions.)
A. B. 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 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 ~ s t a s s e t s ) r e p o r t in g p ~ r i o d
(I) (2)
i A m o u n t T y p e ( e . g . ,C o d e I di v . , r en t ,
(A-It) or i n t . )
P l a c e " ( X ) " a f t e r e ac h a s s e t
exempt from prior disclosure
Gross v a l u e a t e n d
o f r e p o r l i n g p e r i o d
(i) (2)
V alu e V a lu e
C o d e 2 Met hod
( J -P ) C o d e 3
( Q - W )
(i )T y p e (e.g.,
buy , se l l ,
r e d e m p t i o n )
(2) (3) (4) (5)
D ate V a l u e G a i n I dent i t y of
mm/dd~ C o d e 2 C o d e I buyer !se l l er
( J - P ) (A - H ) ( i f p r iva te
t ransac t ion )
1 0 3. -Y a h o o I n c C o m m o n ( " Y H O O " Bu y
1 0 4 . Sold
1 0 5 . -A l l e r g a n C o m m o n ( " A G N " Bu y
1 0 6 . Sold
05/17/10 K
09/24/10 J A
07/13/10 K
09/24/10 K A
I . Income Gain Codes: A = $1,000 o r less B = $ 1,001 - $ 2,5 00 C = $ 2 ,5 01 - $ 5 ,000 D =$5.001 - $15,000
(Se e Co lum n s BI a n d D4) F =$ 5 0,001 - $100.000 G =$ 100.001 - $1.000.0~ ) III = $ 1.000.001 - $ 5 .000.00(I 112 =Mo re tha n $5 .~ ,000
2. Value Codes J :$15.000 or less K =$15,001 - $50.000 L = $ 5 0.0O I - $ 100.000 M = $100,001 - $ 250.000
(See Colum~-S CI and D3) N = $250.001 - $ 500.000 O = $ 500.001 - $1.000.000 P I = $1.000.001 - $ 5 .000.000 P2 =$5.0~0.001 - $25 .000.000
P3 =$25.000.001 - $50.000.000 P4 =More than $50.000.000
3. Valu e Method C odes Q = A ppraisal R =Cos~ (Real Es tate Only) S = As s ~s s men l T = C ~ s h M a r k ct
(S~ c Co lum n C2 ) U = t~ok Va lu e V =Olher W = Es t imated
E :$15,001- $50,000
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FINANCIAL DISCLOSURE REPORT
Page 11 ofl2
N a m e o f P e r so n R e p o r t i n g
S h a r p e , G a r y L .
Dale of R e p o r t
05/I I/2011
VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS. andic~,epa,~of,epo,~)
VI Liab i l i t ies : The Mer r i l l Lynch mo r tgage l i s ted las t year has been dele ted because the p rop er ty t s no ! .___~. :~ ._S:~_ .~ ~ . . j no t r en ta l p roper ty .
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FINANCIAL DISCLOSURE REPOR T
Page 12 of 12
N a m e o f P e r s o n R e p o r t i n g
S h a r p e , G a r y L .
D a t e o f R e p o r t
05 /I 1 / 2 0 1 1
IX . CERTIFICATION.
! certify that all information given above (including inform ation pertaining to my spouse and m inor or dependent children, if any) is
accurate, true, and com plete to the best of my kn owledge and b el ief , and that any information not reported was ~vi thheld b ecause i t met appl icable s tatutoryprovisions permitting non-disclosure.
I further certify that earned income from outside em ployment and honoraria and the acceptance of gifts which have been reported are incompliance w ith the provis ions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Jud icial Conference regulations.
Signature: S[ Gary L. Sharpe
N O T E : A N Y I N D IV I D 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 SI F IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B JE C T T O C I V I LA 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 . § 104)
Comm ittee on Financial Disclosure
Administrative Office of the United States CourtsSuite 2-301
One Columbus Circle, N.E.W ashington, D.C. 20544
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I,4010
Rev. 1 /2011
FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 20 10
Report Re quired by the Ethics
in Government Act of 1978
(5 U.S.C. app. ,~,~ I01-111)
I. Person R epor t ing ( las t name, f i r s t , middle in i t ia l )
Sharpe, Gary L.
T i t le ( Ar t i cl e I1 ! j udge s i nd i c a t e a c t i ve or sen i or s ta tus ;magi s t r a t e judge s i ndica t e fu l l - or pa r t - t ime )
2. Court or Organizat ion
U.S. Dist r ict Court , NDN Y
5a. Repo rt T.vpe (check approp riate q,’pe)
] N o m i n a t i o n , D a t e
District Court Judge, Active
7 . C h a m b e r s o r O f f i ce A d d r e s s
Jam es T. Foley Courthouse445 Broadway
Albany, New Yo rk 12207
[] Initial [] Annual [] Final
5b. [] Amended Report
8.On the basis of the information contained in this Report and any
modifications pertaining thereto, it is, in my opinion, in compliance
, ~ it h a pp l i c a b l e l a ws a nd r e gu l a t i on s .
R e v i e ,M n g O f f i ce r D a t e
3. Date of R e p o r t
07/28/201 I
6. Repor t ing Per iod
01/01/2010
to
12/31/2010
I M P O R T A N T N O T E S : The instructions accompanying this form must be followe ,t C o m p l e t e a li p a r t s ,
checking the NO NE box for each part where you have no reportable information. Sign on last pag~
I . P O S I T I O N S . ~ R e p o r ~ . g i , a i ,S d u n t o . ty ; , e , p ~ , . 9 - 1 ~ of filing instructions.)
~] NONE (No reportable positions.)
POSITION
2.
3.
4.
5.
NAM E OF ORG ANIZATION/ENTITY
I I . A G R E E M E N T S . ~ R ~ , o n l . g i . d iv i a u a t o . t r ; ~,~, . 14-16 of fillng instructions.)
~] NO NE (No reportable agreements.)
DATE PARTIES AND TERMS
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FINANCIAL DISCLOSURE REPORT
Page 2 o f 12
N a m e o f P e r s o n R e p o r t i n g
S h a r p e , G a ry L .
D a t e o f R e p o r t
07/28/201 I
I 1 I . N O N - I N V E S T M E N T I N C O M E . t R e p o , ~ . ~ i n d i , .i d u a l u n d s p o u s e : s e e p p . 1 7 - 2 4 of filing instructiong)
A. Flier’s Non-Investment Incom e
[~] NONE non-investment income. )N o reportable
DATE 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 s tm e n t I n c o m e - if you were married during any port ion of the report lng year, com plete this sect ion.
(Dollar am ount not required except for honoraria.)
D N O N E (No reportable non-investment income.)
DATE SOURCE AND TYPE
I. 2010 Realty USA - Independen t Con t r acto r - Comm iss i ons
2.
3.
4.
I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.
(Includes those to spouse and dependent children; see pp. 25- 27 of filing instructions.)
~-I NO NE ( No reportable reimbursements.)
2.
3.
4.
5.
SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED
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FINANCIAL DISCLOSURE REPORT
P a g e 3 o f 1 2
N a m e o f P e r s o n R e p o r t i n g
Sharpe, Gary L.
D a t e o f R e p o r t
07/28/201 I
V . G I F T S . a n c lu d , ~ ,h o , e to s, ...... d dependent children; s e e p p . 2 8 - 3 1 of filing instructions.)
N O N E (No reportable gifts.)
SOURCE DESCRIPTION
I.
2.
3.
4.
5.
VALUE
V I . L I A B I L I T I E S . t ln e l , d e s th o s e o I , p o ’ ~ e * , d dependent children; see p p . 3 2 - 3 3 of filing i n s t r u c t i o n ~ )
N O N E (No reportable liabilities.)
CREDITOR DESCRIPTION
1.
2.
3.
4.
5.
VALUECODE
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FINANCIAL DISCLOSURE REPOR T
Page 4 o f 12
N a m e o f P e r s o n R e p o r t i n g
Sharpe , Gary L .
D a t e o f R e p o r t
07/28/201 I
V 1 I . 1 N V E S T M E N T S a n d T R U S T S - ~ n c o m e , v o l~ e , . . .. .. t l o .~ (Includes those of spouse a .d dependent children; see ptx 3 4 - 6 0 offillng i n s t r u c t l o n g )
NONE (No reportable income, assets, or transactions.)
D esc r i p t io n o f A s s e t s T r a n s ac 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
( i ncluding t a t s t asse t s )
P l a c e " ( X ) " a f t e r e a c h a s s e t
exem pt from prior disclosure
In co m e d ur i n g G ro s s va lue a t e n d
re p or t in g p er io d o f re po rt i n g p er i o d
(I) (2) (I) (2) (I) (2) (3) (4) (5 )
A m o u n t T y p e ( e .g . , V a lue Va lue T y p e ( e . g ., Date Value Gain I d e n t i t y of
C o d e I div . , ren t , C o d e 2 M e tho d buy, s e l l , m m / d d ~ ’ y C o d e 2 C o d e I buyer / se l l e r
(A-H) or 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 pr iva t e
(Q-W) t ransact i on)
2.
3.
4.
5.
6.
7.
8.
9.
1 0 .
1 1 .
1 2 .
13 .
14.
15 .
16.
17 .
N e w York Co l lege Tui t ion Savings # I(529)
- V a n g u a r d A g g r e s si ve A g e - B a s ed G r o w t h
F u n d
New York Col lege Tuition Savings #2 (529)
A Dividend
A Dividend
T Buy 01/01/10
Buy 02/01 /10
(add’ l )
Buy 03/01/10
(add’ l )
Buy 04/01110
(add’ l )
Buy 05/01/10
(add’ l )
Buy 06/01/10
(add’ l )
Buy 07/01/10
(add’ l )
Buy 08/01/10
(add’ l )
Buy 09/01/10
(add’ l )
Buy 10/01/10
(add’ l )
Buy 11/01/10
(add’ l )
Buy 12/01/10
(add’ l )
T Buy 01/01/10
J
J
J
J
J
J
J
J
J
J
J
J
J
-Vanguard Agress i ve Age-Based Grow thF u n d
Buy 02/01/10
(add’ l )
Buy 03/01/10
(add’ l )
Buy 04/01/10
(add’ l )
Buy 05/01/10
(add’ l )
J
J
J
J
i . Income Gain Co des: A =$ 1,000 or less B = $ 1 , 1 2 0 1 - $ 2 , 5 0 0 C =$2,501 - $5
(See Columns BI and D4) F =$ 50,001 - $10O .00~ G =$100.001 - $ 1,000,009 1 11 =$ 1. 0~ 0, 0~ 1 - $5 .0 00 ,0 00 1 12 ~M o re t ha n $ 5. 00 0 .0 00
2. Va lue Codes J = $ 15 .000 o r le ss K = $15,001 - $ 50.000 L = $50.tK II - $100,000 M =$ 100.001 - $250.0~0
(See Columns CI and D3) N =$250.001 - $500.000 O =$500,001 - $ 1,000.000 PI = $1.000,001 - $ 5.000.0~0 P2 =$5 .000,001 - $25,000.000
P3 =$25,000.001 - $50,000.000 p4 =Mo re Ihan $50.00~.000
3. Va lue Method Codes Q = Appraisa l R =Cos! (Rea l Es t a t e On ly) S = Asscssmen! T =Cash Markcl
ISce Colum n C2~ U = B ook Value V :O~her W =Est ima t ed
E = $15,001 - $50.000
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FINANCIAL DISCLOSURE REPOR T
Page 5 o f 12
N a m e o f P e r s o n R e p o r t i n g
Sharpe , Gary L .
D a t e o f R e p o r ~
07/28/201 I
V I I. I N V E S T M E N T S a n d T R U S T S -income. value, transactions (Includes those ofsp ...... d dependent children; seeplx 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
IX-scf i p t i on o f Asse t s Transact i ons .du r i ng ~:~or t i ng per i od
( i ncluding t ru s t asse tS )
P l a c e " ( X ) " a f t e r e a c h a s s e t
exem pt from prior disclosure
In co m e d ur i n g G ro s s va lue a t e n d
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
(I) (2) (D (2) O) (2) (3) (4) (5 )
A m o u n t Typ e ( e .g ., V a lue Va lue Typ e ( e .g ., Date Value Gain I d en t i t y o f
Co d e 1 div . , ren t , C o d e 2 M e tho d buy, sel l , m m / d d / y y C o d e 2 C o d e I buyer / se l l e r
(A-H) or i n t . ) ( J-P) C o d e 3 r e d e m pt i o n ) ( J-P) (A-H) ( i f pr iva t e
(Q-W) t ransact i on)
1 8 .
1 9 .
20 .
21.
22 .
23 .
24 .
25 .
26 .
27 .
28 .
29 .
30 .
31.
32 .
33 .
34 .
Excel Secur ities IRA # 1
-John Han cock U.S. Glob al Leaders
GrowFund Class A
-D i r ex i on Comm odi t y Bul l 2X Fund
("DXCLX")
-Pe t ro l e o Br a s i l e i ro Pe t r oba s ADR Co mm on
( "PBR" )
-Proshares TR II Ul t rashor t Euro ("EUO")
-Pdmer ica Inc Commo n ("PRr’ )
-Ba rcl ays Bk PLC Ipa th Dow Jone s UBS
Nickel ("JJN")
A Dividend
Buy 06/01/10(add’ l )
Buy 07/01/I0(add’ l )
Buy 08/01/10
(add’ l )
Buy 09/01/10
(add’ l )
Buy 10/01/10
(add’ l )
Buy 11/01/10
(add’ l )
Buy 12/01/10
(add’ l )
T
Sold 02/25/10(par t)
Sold 04/22/I 0
(part)
So ld 02/04 /10
Sold 02/25/10
Buy 02/04/10
So ld 03 /10/10
Buy 04/01/10
Buy 04/05/10
So ld 05 /05 /10
J
J
J
J
J
J
J
J
J
J
J
J
J
J
J
A
A
A
A
A
A
I. Income Gain Cod es: A = $ 1,000 o r less B = $ 1.001 - $ 2,500 C = 52.501 - $ 5 ,000 D = $ 5 . 0 0 1 - $ 1 5 . 1 ) 0 0
(Sc~: Columns BI and IM) F =$50.001 - $100,000 G =$100,001 - $1,000.000 III =$1.000.001 - $5,1)00.000 112 =More than $5.00~.000
2. Value COdc~ J ~ $ 1 5 . 0 0 0 o ~ " l e s s K = $15 .001 - $ 50.000 L = $50.0~1 - $100.000 M =$100.001 - $25 0.1~O
(See Co lumn CI and D3) N =$250.001 - $500.0~0 O = 5500.001 - 51.000.000 PI = $1,000,001 - 55 .000,000 P2 =$5 .000.001 - $25.000.000
P3 =525.000.001 - $50.000.000 P4 =M~e than $50.000.000
3. Value Method Codes Q =Appraisal R =Cos t (Rea l Es t a t e On ly) S =Assessmen l T = ~h Ma rk d
(See Column C2) U -Book Value V =Olher W =Est ima t ed
E = $15.001 - $50.000
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FINANCIAL DISCLOSURE REPOR T
Page 6 of 12
Name of Pecan Repor t ing
Sharpe, Gary L
D a t e o f R e p o r t
07/28/2011
V II. INVESTMENTS and TRUSTS - i. ....... I . e , transactlom (Includes those of spa .....d depend ent children; see pp. 34-60 of fi ling instructions.)
[] NONE(N o re por tab l e in come , asse t s , or t ran sac t ion s . )
A. B. C. D.
Description of Assets Incom e during Gro ss value a t end Transactions during reporting period
(including trust assets) reporting period o f r e p o r t i n g p e r i o d
(I) (2) (I) (2) (I) (2) (3) (4) (5 )
P l a c e " I X ) " a f t e r e a c h a s s e t A m ou n t T y p e ( e . g . , Value Value T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f
exem pt from prior disclosure Code I d i v . , r e n t , Code 2 M e t h o d buy, se ll, m m/dd /yy Code 2 Code I buyer/seller
(A-H) o r i n t . ) ( J - P ) Code 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 io n )
35 . -Direx io n SH S ETF TR Daily Rea l Esla te Buy 05/05 /10 JB u l l ( " D R N " )
36. S o l d 05/06/10 J
37 . -Direxion Small Cap Bull ("TNA") Buy 05/19/10 J
38 . ExcelSecuri ti es IRA #2 A Dividend N T
39 . -Apple Inc Common ("AAPL") Buy 10/20/10 K
(add’ l )
40 . -C e lg en eC o rp C o m m o n Buy 07/13/10 J(add’ l )
41. -R esea rch in Mo tion LTD Com m on So ld 03 /23 /10 J A
("RIMM")
42 . -So uthw e ste rn E n e rg yCo Co m m on So ld 05/06/10 J A
( " S W N " )
4 3 . - Un i te d S TS S TL C o rp N e w C o m m o n ( "X ") So ld 05 /06/10 J A
44 . -P eabody E nergy Co rp Com m on So ld 05 /19 /10 J A
45 . -Cosan Ltd Shs A ("CZZ") Com mon So ld 05 /19 /10 J A
46 . -Chesapeake En e rgy Corp ( "CHK") So ld 05 /19 /10 K " A
Common
47. -Vale SA ADR ("Vale") Common Sold 05/06/10 J A
48 . -Humanalnc. ("Hum") Sold 04/16/10 J A
49 . -Aberdeen Smal l Cap Fund Clas s A So ld 01/25 /10 J A
("GSXAX") ( p a t a )
50 . Sold 02/18/10 J A
(par t)
51. Sold 03/31/10 J A
I. Income Gain Cod es: A = $ 1.000 o r less B = $ 1,001 - $ 2,500 C = $ 2.501 - $ 5 .000 D = $ 5 .001 - $ 15 .000
(See Co lumm BI and D4) F =$ 50,001 - $100.000 G =$100.001 - $ 1.000.000 III :$1.000.0~1 - $5.000.000 112 =More than $5.000.000
2. Value Codc~ J = $ 15 .000 o r le ss K = $15.001 - $ 50.000 L = $50.001 - $ 10~.000 M =$10.001 - $250.000
1 S ~ ¢ Columns CI and D3) N =$ 250.001 - $500.000 O = $ 5 0 0 . 0 0 1 - $ 1 . 1 3 0 0 .0 0 0 PI =$1,000.001 - $5,000.000 P2 =$5.0~).001 - $25.000.00<)
P3 = $25,000.001 - $ 50,000.000 P4 = More than $ 50.000.0~0
3. Value Method Codes Q =Appraisal R =Cos t (Rea l Es t a t e On ly) S =Assessmen t T =Cash Market
(S~e Column C2) U=
Book Value V =Otht+ W ~Eslimatcd
E =$ 15.0~1 - $50.000
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FINANCIAL DISCLOSURE REPORT
Page 7 o f 12
N a m e o f P e r so n R e p o r t i n g
Sharpe, Gary L.
D a t e o f R e p o r t
07/28/2011
V II. INV ESTM ENTS an d TRU STS -
NONE (No reportable income, assets, or transactions.)
A. B. C. D .D esc r i p t io n o f A s s e t s I nc ome du r i ng G ro s s v a l u e a t e n d Transact i ons du r i ng r~-porf i ng per i od
( i n clud in g t rus t a s se t s ) re p o r t in g p e r i o d o f r e po r t i ng pe r i od
[ (I ) ( 2 ) (I) (2) ( I ) (2) (3) (4) ( 5 )
Place "CA)" a f t e r e ach a s s e t I Amount Type (e .g . , Value Va lue Type (e .g . , Date Value Gain I de n t i t y o f
e x e mp t f r om p r i o r d i s c l o s u r e [ Code I div. , r ent , C o d e 2 M etho d buy, s e l l , m m !d d !~,y C o d e 2 C o d e I buyer / se l l e r
[ (A-H) or i n t . ) ( J-P) C o d e 3 r e d e m p tio n ) ( J-P ) (A-H) (if p r iva te
(Q-W) t ransact i on)
52 .
53 .
54 .
-Baron Partners Fund (" BPTRX") So ld 01/25 /10 J A
(pan)
Sold 02/05/10 J A( p a ~ )
Sold 03/31/I0 J A
55 . -Columbia Technolog y Fund ("CMTFX")
56 .
Sold 01/25/10 J A
(par t)
Sold 02/04/10 K A
57 .
58 .
59 .
60 .
61.
62 .
63 .
64 .
65 .
66 .
67 .
68 .
-Eaton Vance Tax Managed Smal l -Cap
("ETMGX")Sold(pai l )
Sold
-Gabell i Enterprise Merg ers & Acquis i t ionsFd CI A ("EMAAX")
Sold(pan)
Sold
01/25/10 J A
02/05/10 L A
01/25/10 J A
02/04/10 J A
01/25/10 J A
09/24/10 J A
01/25/10 J A
05/19/10 J A
01/25/10 J A
02/05/10 J A
07/23/10 K A
01/25/10 J A
-John Hancock U.S. Global Lead ers Grow th
Fund Class ASo ld( pan )
S o l d
-John Hancock Large Cap Eq ui~FundClass A ("JLVIX")
Sold(par t)
Sold
(part)
Sold
(par t)
Sold
( p a r t )
Sold
-Hartford Cap ital Appreciat ion Fund ClassA
-Oppenhe imer Go ld & Spec ia l Mine ra l s( "OPGSX") ( "OPGSX")
Sold(part)
I. Income Gain Co des: A = $ 1.000 o r less B = $ 1,001 - $ 2.500 C = $ 2.501 - $ 5 .0~1 D =$ 5.0~1 - $15.0~0
( Se e C ol um n s B I a nd 12 4) F =$ 50 .0 01 - $ 10 0.0 00 G = $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0 I I I = $ 1.0~).001 - $5.000.000 1 1 2 = M o r e t h a n $ 5 . 0 O O . 0 0 ~
2. Value Cock~ J = $ 1 5 . 0 0 0 o r l e ~ s K =$15,0OI - $ 5 0 . 0 0 0 L = $ 5 0 . 0 O I - $ 1 0 0 . 0 O O M =$10~.0Ol - $250.000
i s le Co lumns CI and D3) N = $25 0,001 - $ 500,000 O =SS00.0O I - $ 1.000.000 PI -$1.O00.0OI - $5.0OO.000 P 2 = $ 5 . 0 0 0 , 0 0 1 - $ 2 5 . 0 0 0 . 0 @ ~
P3 =$25,000.001 - $50,000.0’00 P4 =M~e than $50.000.000
3. Value Method Cod es Q =Appraisal R =Cost (Real Estate Only) S =Asses smem T =Cash Markcl
(S~e Column C2) U =Book Value V =Other W =Estimated
E = $ 1 5 , 0 0 1 - S S 0 . 0 O O
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FINANCIAL DISCLOSURE REPOR T
Page 8 o f 12
N a m e o f P e r s o n R e p o r t i n g
S h a r p e , G a ry L .
Date of R e p o r t
07/28/201 I
N O N E (No reportable income, assets, or transactions.)
A. B. D.
Description of Assets Income during Transactions during r~porting period
(including trust assets) r e p o r t i n g p e r i o d
(i ) (2 )
i A m o u n t T y p e ( e . g .,
Code I d i v . , r e n t ,(A-H) o r i n t . )
P l a c e " ( X ) " a f t e r e a c h a s s e t
exem pt from prior disclosure
G r o s s v a lu e a t e n d
o f r e p o r t i n g p e r i o d
(I) (2)
Value Value
C o d e 2 M e t h o d
( J-P) C o d e 3
( 1 )
T ype ( e . g . ,
b u y , s e l l ,
~:lemption)
(2) (3) (4) (5 )
D a t e Value Gain I d e n t i t y o f
m m /d diyy Co de 2 C o d e 1 buyer/seller
( J - P ) (A-It) ( i f p r i v a t e
t r a n s a c t i o n )
69 .
70 .
71.
72 .
73 .
74 .
-Oppenhe imer Deve lop ing Marke t s Clas s A
( " O D M A X ")
-Pimco Tota l R eturn Class A ("PTFAX")
-RS Value Fund Class A ("RSVAX")
Sold 01/25110’ J A
(pan)
So ld 05 /19 /10 L A
(par t)
Sold 01/25/10 J A
(par t)
Sold 09/17/10 K A
(par t)
Sold 01/25/10 J A
(par t)
Sold 02/04/10 J A
75 . -Proshares Ul ta FINLS ("UYG") Sold 01/29/10 J A
76 . -Ba idu Comm on ("BIDU") Buy 09 /24 /10 K
77 .
78 . -Bu cy r us Com mo n ( "BUCY" )
Buy 10/20/10 i J(add’ l )
Buy 06/25/10 K
79 . - Fo rd Comm on CF" ) Buy 08/04/10 K
80 . -Ne t app Com mon ("NTAP") Buy 09/24/10 K
8 1 . -American St rategic ("CSP") Buy 09/17/10 K
82 . -Di rexion B ul l2X ("DXCLX") Buy 06121/10 K
83 .
8 4 . -Ea t o n van ce t a x m an ag e d ( "EXG")
Sold 12/23/10 J(par t)
Buy 09/03/10 K
85 . Sold 09/24/10 J
(par t)
I. I n c o m e G a i n C o d e s:
( ,S e e C o l u m n s B I a n d D 4 )
2 . V a l u e C o d e s
( S c C o l u m n s C I a n d D 3 )
3 . V a l u e M e t h o d C o d e s
l S c e C o l u m n C 2 )
A -$ 1.00O or less
f =$5 0.001 - $100.000
J =$15.000 or less
N $250.001 - $500.000
P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $50.0(~.000
Q =Appraisal
U -Book Value
B=$1,001 - $ 2 . 5 0 0
G=$100.001 - $1.000.000
K -$15.001 . $50.000
O=$500.001 - $1.000.000
R ~os t (Rea l Es ta te On ly)
V =O~hcr
C =$ 2.501 - $5,000
I I I =$ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0
L =$ 50.0OI - $10~.0~O
PI =$I.000.001 - $5.000,000
P4 =More lhan $50.000.000
S =Ass~ssmcnl
W = Est ima t ed
D =$ 5 .0 0 1 - $15 .0 0 0
112 = M or e than $5 .0 0 0 .0 0 0
M =$ 10 0 .0 0 1 - $2 5 0 .0 0 0
P2 =$ 5 .0 0 0 .0 01 - $2 5 .0 0 0 .0 0 0
T =C~h Markel
E = $15.001 - $50.000
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FINANCIAL DISCLOSURE REPOR T
Page 9 o f 12 I, N S a m e o f P e r s o n R e p o r t in g
h a r p e , G a ry L .
D a t e o f R e p o r t
07/28/201 I
VII. INVESTMENTS and TRUSTS - i ........ ~e, t r ..... tlons (Includes those of spo . . . . . d dependent children: see pp. 34-60 of fillng instructions.)
N O N E (No reportable income, assets, or transactions.)
Description of Assets Transactions during reporting period
(including trust assets)
P l a c e " ( X ) " a f t e r e a c h a s s e t
exem pt from prior disclosure
Income during Gross value at end
r e p o r t i n g p e r i o d of reporting period
O) (2) (I) (2 ) O) (2) (3) (4) (5 )
A m ou n t T y p e ( e . g . , Value Value T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f
Code I div., ~nt, C o d e 2 Me t h o d buy, sell, m r n / d d h y y Code 2 Code I buye r/se ller
(A-H) o r i n t . ) ( J - P ) Code 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 )
86 .
87 .
88 .
89 .
90 .
91.
92 .
93 .
94 .
95 .
96 .
97 .
98 .
99 .
1 0 0 .
-Mat thews As ia ("MAPIX’)
-Anna ly ( ’NLY")
-SPDR Gold ( "GLD")
-Cit i g roup Com mon ("C")
-Hunt ington Bancshares ("HBAN")
-Qwes t Com munica t ions ( "Q")
-Synovus Finl ("SNV")
Buy 08/20/10 J
Buy 08/20/10 J
Buy 09/17/10 J
(add’ l )
Buy 06/24/10 J
Buy 06/25/10 J(add’ l )
So ld 07 /27 /10 K
(par t)
Buy 08/20/10 J(add’ l )
Buy 03/17/10 K
So ld 05 /06/10 K
Buy 03/17/10 K
Sold 04/16/10 K
Buy 03/17/10 K
So ld 05 /06/10 K
Buy 03/17/10 K
Sold 05/06/10 J
A
A
A
A
A
101. -JP Morgan ("JPM")
1 0 2 .
Buy 04/12/10 J
Sold 05/06/10 J A
I. Income Gain Codes:
(See Columns BI and D4)
2. Value Codes
I.%:c Columns CI and
3 . Value Method Codes
(~C Column C2)
A -$1,000 o r le s s
F =$50,001 - $100,000
J=$15.000 or less
N =$250.001 - $ 5 0 0 . 0 0 0
P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 < 3 0 . 0 0 0
Q =Appraisal
U =Book Value
B =$ 1,001 - $2.500
G =$100,001 - $1,000.000
K = $15.001 - $50.000
O = $500.001 - $1,000.000
R ~Cost (Real Es t a t e Only )
V
C =$ 2,501 - $5.000
Ill =$1.000.001 - $5 .000.000
L =$5 0.001 - $100.0~
PI =$1.000.001 - $5.000,000
P4 =More than $50.00~.0~0
W =Est ima t ed
D ~$5.001 - $15,000
112 =More than $5.000.000
M =$ 100.001 - $250.000
P2 =$5.0~1.001 - $25,009.000
T =Cash Market
E = $15,001 - $50.000
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FINANCIAL DISCLOSURE REPORT
Page 10 o f 12
N a m e o f P e r s o n R e p o r t i n g
Sharpe , Gary L .
D a t e o f R e p o r t
07/28/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - in c . . . . . . l u e , t r a n s a c t i o n s (Includes those ofsp ......d dependent children; see p p . 3 4 - 6 0 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. B. C. D.
D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a lu e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
( i n c l u d i n g t r u s t a s s e t S ) r ep or ti n g p er io d o f r ep o r ti n g p er io d
(0 (2) (1) (2) (I ) (2) (3) (4) (5 )
P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., V a lu e V a lu e T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i t y o f
e x e m p t f r o m p r i o r d i s c lo s u r e ! C o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d i y y C o d e 2 C o d e I b u y e r / s e l l e r
! (A-H) o r i n t . ) (J-P) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e
[ ( Q -W ) t r a n s a c t i o n )
103 . -Yahoo Inc Comm on ("YHOO "
1 0 4 .
105. -Al l e rgan Com mo n ("AGN"
1 0 6 .
Buy 05/17/10 . K
S o l d 09/24/10 J A
Buy 07/13/10 K
S o l d 09/24/10 K A
I. [ncon’,e G a i n C o d e s :
(See Columns BI and 134)
2. V a l u e C o d e s
(S¢c Columns CI and D3)
3. Value Method C o d e s
( .See Column C2)
A ~$t.O00 or l es s
F =$5 0.001 -
i =$15.0~0 or less
N =$ 250.001 -
P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 . 0 ’ 0 0 . 0 ( ~ 1
Q = A p p r a i s a l
U=
B o o k V a l u e
B - $ t , 0 0 L - $ 2 . 5 0 0
G =$100.001 - $1.000,090
K =$15.001 - $50.000
0 -$500.001 - $ 1,000.000
R = Cos t (Rea l Es t a lc Ordy)
V = O ~ h o "
C =$2,501 - $5,000
III =$1,000,0~1 . $5.000,000
L =$50.0~1 - $100.000
PI =$1,000.001 -
P4 =More than
S = A s s ~ s s m e m
W =Eslimatcd
O = $5,001 - $15.000
112 =More than $5.009.00~
M =$100.001 - $250.000
P2 = $5,000,001 - $25,000,000
T =Cash Markc~
E =$ 15 .0 0 1 - $5 0 , 00 0
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FINANCIAL DISCLOSURE REPORTPage 11 of 12
Name of Person Reporting
Sharpe , Gary L .
Date of Report
07/28/2011
VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicate part of report)
V I L ia b i l i t ie s : The M e r r i l l L ync h mo r t g a g e l i s t e d l a s t y e a r h a s be e n d e l e t e d be c a use t h e p r ope r ty t s~ L . .. .~ ,~ _~ .~ ~ _~ no t r e n t a l p r op e r ly .
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FINANCIAL DISCLOSURE REPOR T
Page 12 o f 12
Name of Pe rson Report ing
Sharpe, Gary L.
Dale of Repor t
07/28/2011
IX . CERTIFICATION.
I ce r t i fy th a t a l l in fo rm a t i on g iven above ( i nc lud ing i n fo rm a t i on p e r t a i n i ng t o m y spouse a nd m ino r o r d epen den t ch i l d r e n , i f a ny ) i saccura t e , t rue , a nd comp le t e t o th e be s t o f my kn ow led ge a nd be l i e f , a nd th a t a ny i n fo rm a t i on no t r e po r t e d w a s w i thhe ld because i t me t a pp l icab l e s t a tu to ryp rov i s i on s p e rm i t t i ng non -d i sc lo su re .
I fur th e r ce r ti fy th a t e a rn ed i ncom e f rom o u t s i d e emp loym en t a nd hono ra r i a a nd th e accep t a nce o f g i f t s wh ich have be en r e po r t e d a r e i ncomp l i a nce w i th th e p rov i s i on s o f 5 U.S .C . a pp . § 501 e t . se q , 5 U.S .C . § 735 3 , a nd Jud ic i a l Con fe r e nce r e gu l a t i on s .
Signatur e: S] Gar y L. Sharpe
NOT E: A NY INDIVIDUAL WH O KNO WINGLY A ND WILFULLY FA LSIFIES O R FA LLS T O F ILE T HIS REPO RT MA Y BE SUBJEC T T O C IVILAND CR IMINAL SANCTIONS (5 U.S .C. app . § 104)
Comm ittee on Financial Disclosure
Administrat ive Office of the United States Courts
Suite 2-301
One Columb us Circle, N.E.W ashington, D.C. 20544