Charles J Siragusa Financial Disclosure Report for 2010

8/3/2019 Charles J Siragusa Financial Disclosure Report for 2010

1/27

I AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010 Report Requ ired by the Ethicsin Government Act of 1978(5 U .S.C. app. ,~ ,~ 101-111)I. Person Re por t ing ( las t name, f i r s t , middle in i t ia l)

SIRA G U SA , CH A RL E S J .

4. Tit le (Art ic le III judge~ indicate ac t ive or senior s ta tus ;magistrate judges indicate full- or part- time)U.S.DISTR ICT JUDGE (ACTIVE)

7. Chambers or Office Address1360 UNIT E D ST AT E S COURT HOUSE100 STATE STREETR O C H E ST E R , N E W Y O R K 1 4 6 1 4

2. Court or OrganizationU.S. DIST RICT COURT , WD NY

3. Date o f Repor t05/12/201 I

5a. Repor t Type (check appropr ia te q , pe)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Repoa8. On the basis o f the in fo rma tion con ta ined in this Report and anymodif ica t ions per ta in ing there to , i t i s , in my o pinion, in comp l iancewith appl i cable l aws and regula t ions .

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

6. Repor t ing Per iod01/01 /2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be fotloweg Complete all parts,check ing the NON E box for each par t where you have no repor table in format ion . S ign on las t page .

I . P O S I T I O N S . ~ e , p o r ~ , g i n d i v ~ d , u l o , ly ; s e e p p . 9 - 1 3 of filing instructions.)[~] N O N E ( N o reportable positions.)

POSITION1. A D V I S O R Y B O A R D M E M B E R2.

3.

4.5.

N A M E O F O R G A N IZ A T IO N / E N T I T YC O B B L E ST O N E A R T S C E N T E R

I I . A G R E E M E N T S . ~ e e p o n i n g i ndiv idua l on ly; s ee pp . 14-16 of f i l ing ins t ruc t ions . )N O N E (No reportable agreements.)

I. PENSION

DATE PARTIES AND TERMSN E W Y O R K S T A T E R E T I R E M E N T S Y S T E M ( S T A R T E D T O R E C I EI V E B EN E F I T S A S O F N O V E M B E R 1 ,2 0 0 5 )


2/27

FINANCIAL DISCLOSURE REPORTPage 2 of 27

N a m e o f P e r s o n R e p o r t i n gSIRAGUSA, CHARLES J.

D a t e o f R e p o r t05/12/201 I

I II . N O N - IN V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24offillnginstructlon~)A. Fliers Non-Investment Income~-] NONE non- inve s tmen t i ncome . )N o repor t ab l e

D A T E 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 - tf y o u were ma rr ied du r ing any po r t ion o f th e r epo r t ing yea r , comp l e te th i s s e c t ion .(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)

1 .20102 . 2 0 1 03.4.

DATE SOURCE AND TYPEBROWN & T ARANT INOA FIOR NEY (P R IVA TE P RA CTICE)

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 o filling instructions.)

[~ N O N E (No reportable reimbursements.)

2.3.4.5.

SOURCE DATES L O C A T I O N PURPOSE ITEMS PAID OR PROVIDED


3/27



D a t e o f R e p o r t05 / I 2 / 2 0 1 1

V . G I F T S . ( I n c l ,, d e ~ , h o ~ e , o s p . . . . . . d dependent children; seepp. 2 ~ - 3 1 offillng instructlong)N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . ( Includes those of spouse and dependent chi ldren; see pp. 32-33 of f i l ing instruct ionx)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.

3.

4.5.

VALUECODE


4/27

FINANCIAL DISCLOSURE REPORTP a g e 4 o f 2 7

N a m e o f P e r s o n R e p o r f f n gSIRAGUSA, CHARLES J.

Date of Repo~05 /12 /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 - i n t o ,, ,, ,. a t u o , , r a ~ a ~ , ~ o ~ a n d u ~ e s , h o s o o l s p o u s o a n d ~ p ~ n ~ o n , ~ h ~ d , ,n ~ s e e ~ . 3 4 -6 0 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. D.Description of Assets Income dur ing Transactions during reporting period

(including trust assel~) r e p o r t i n g p e r i o d(0 (2)

~ , A m o u n t T y p e (e.g. ,C o d e 1 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 do f r e p o r t i n g p e r i o d(I) (2)

Value ValueC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )

(t) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Va l u e Gain I d e n t i t y o fbuy, sell, m m/ddfyy Co de 2 Co d e I buyer/seller

r e d e m p t i o n ) ( , l - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

1. M & T B A N K2. ACCOUNT # 1:

A I n t e r e s t L T

3. WE AT HERFOR D INT L L T D COMMONSTOCK4. SEAGATE TECHNOLOGY (Y)5. SB MONEY FU NDS CA SH P ORT CL A(Y )6. CORE L ABORAT ORIE S COMMONSTOCK7. AKAMAI TECHNOLOGIES8. AMAZON COM INC COMMON STOCK9. AMGEN INC. COMMON STOCK (Y)

1 0 . A NA DA RKOP ETROLEU M CORP .1 1 . A NH EU SER- BU SCH INBEV SP ONS1 2 . A P A CH ECORP1 3 . A SML H LDG NV N EW YO RK R EG (Y)1 4 . A TLAS COP CO A B SP ONS A DR NEWRPST G CL B - USD1 5 . AUTODESK1 6 . AXA UAP SPONS ADR COMMONSTOCK (Y)1 7 . BASF AG SPONS ADR COMMONSTOCK

N o n e J T

A DividendN o n eN o n e

A DividendN o n e

A Dividend

A DividendN o n e

A Dividend

JJJ

J

J

J

JJ

TTT Sold(pan)

TT Bu yT Bu y

T Bu y(add l )

10/18110

12/07/1007/23/10

03 / 18 / 10

JJ

I . Income Gain Codes: A =$1,000 or less B -$1,001 - $2.500 C =52,501 - $5.000 D = $ 5 , 001 - $ 15 .000( See Columns BI and D4) F = $ 5 0.001 - 5 100,000 G = 5 100.001 - 5 1.000.000 |11 = $ 1.000.001 . $ 5 .000.000 112 =More than $5.000.000

2. Value Codes J =$15.000 or less K = $ 15 .001 - $ 5 0.000 L = $ 50.001 - $ 100.000 M = $ 100.001 - $ 25 0.000( See Columns CI and D3 ) N = $25 0.0 01 - $5 00 ,00 0 O = $50< ).001 - $1.000.0 00 P I =$ 1,0 00 .0 01 - $ 5.0 00 .0 00 P 2 =$ 5.0 00 .0 01 - $ 25 ,0 00 .0 00

P3 =$25.000.001 - $50.000.000 P4 =More Ihaa 550.000.0~03. Value Method Codes Q =Appraisal R =Cos! ~Rc al Estate Only) S =Assessment T =Cas h Mar kO( See Column C2) U :B o o k Va lu e V = O ~ h , . . r W =Es t imaled

E =$15,001- $50,000


5/27



D a t e o f R e p o r t05/12/201 I

V II. INV ESTMENTS and TRUSTS -inco ..... r u e , tran~actlons (lnclud~ those of spouse and dependen t children; see pp. 34-60 of fiilng instructions~)N O N E (No reportable income, assets, or transactions.)

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

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

In c o m e d u r in g G r o ss va l u e at 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

(I) (2) (I) (2) (I) (2) (3) (4)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 ai n I d e n t i t y o fC o d e I di v . , ren t , C o d e 2 M e th o d b u y , se l l , m m ! d d ? 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 ) or i n l . ) ( J - P ) C o d e 3 r e d e m p tio n ) ( J- P ) ( A - H ) ( i f pr i va t e

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

1 8 . BED BATH & BEYOND None1 9 . BLACKROCK INC. A Dividend

JJ

T

T

20. BP AMOCO PLC SPONS ADR COMMONSTOCK (Y)

21. BIOGEN IDEC INC. COMMON STOCK None2 2. B R O A D C O M M CORP (Y)23. CRH PLC AD-USD COMMON STOCK(v )2 4. CABLEVISION SYSTEMS CORP.CLA A Di v i de ndCOMMON STOCK25. CANON INC. ADR COMMON STOCK A Dividend2 6. CEL GENE COR P None27. C I S C O C O M M O N S T O C K N o n e28. CITRIX SYSTEMS INC None

2 9. COCA COLA CO. COMMON STOCK A Dividend

30. COMCAST CORP CL A-SPL COMMMOb A DividendSTOCK

3 1 . COVIDIEN LTD (Y)32. CREE INC. None

33. CVS CAREMARKCORP A Dividend

3 4 . DANONE SPONS (Y)

JJJJJJJ

JJ

TTTTT Bu yTT

10122/10

T S o l d 03/05/10(pan)T Bu y 11/02/10

J A

I. Incom e Gain Co des: A -$ 1.00 0 or less B = $ 1 ,001 - $ 2 .5 00 C ~ $ 2,5 01 - $ 5 .000 D = $ 5.001 - $ 15 .000( See Columns BI and I ) 4 ) F =$50.001 - $100.000 G

2. Value Codes J = $ 1 5 . 0 0 0 o ~ " l e s s K =$15,0OI - $50.000 L =$50.001 - $100.000 M =$100.001 - $250.000{Sce Columns CI and D3 ) N -$ 2 5 0.001 - $ 5 00.000 O = $5 00.001 - $1 ,000.000 P I = $ 1 ,000.001 - $ 5 ,000.000 P2 =$5.000.001 - $25.000.000

P3 =$25.000.001 - $50.0~0.0~0 P4 =More than $50.000,0.003. Value Method Codes Q -Appr a i sa l R =Cosl (Real Estate Only) S = A s s c s si l~ , 2 n l T =Cas h Mar ket

(S~ Column C21 U =Book Value V = O ~h er W = E st im a t ed

E $15 . 001- $5 0 . 000


6/27



D a t e o f R e p o r t05 /12 /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, ,c o ,~ e , v al u e , ~ u ~ a c , lo ~ a n c l u d ~ t h o s e o / sp o u s o a n d d e p e n d e n , c h il d r e n ; see pp. 34-60 of fillng instructions~)N O N E (No reportable income, assets, or transactions.)



In c o m e d u r i n g G ro s s va l u e at 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

(I) (2) (I) (2) (I) (2) (3) (4) (5 )Am o u nt T yp 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 Ga in I d e n t i t y o fC o d e I d iv ., re n t , C o d e 2 M e th o d b u y , se l l , r ru~rdd/~/y C o d e 2 C o d e I b u y e r / s e 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 i va t e( Q - W ) t r a n s a c t i o n )

35 .36 .

38 .39.40 .41 .42 .43 .44 .

45 .46 .47 .48 .

]49.

50.5 1.

DIAGEO PLC SPONSORED ADR NEWCOMMON STOCKDIRECTV CL AW ALT DISNEY CO. COMMON STOCKDISCOVERY HOLDING CO. CL AEBAY INC.ELECTRONIC ARTSEXPEDIA INC COMMON STOCKFIRST SOLAR INC (X )FLUOR CORP NEWFOREST LABORATORIES COMMONS T O C KFREEPORT MCMMORAN COPPER &GOLD CL BGENERAL ELECTRIC COMM ONSTOCK (Y)GENZYM E CORP. GENEEAL DIVISIONCOMMON STOCKGLAXOSMITHKLINE PLC SPONS ADR-USD COMMON STOCK ( Y)G O O G L E INC CL A

GRUPO TELEVISA SA DE CV GLOBALCOMMON STOCKHSBC HOLDINGS PLC SPONS ADRNEW COMMON STOCK (Y )

A Div idend J TNone J T

A Div idend J T

None S o l d

None J TNone S o l d

A Div idend J TNone J T Bu y(addl )

A Dividend J T

None J T

A Dividend J T

None

None

None

J

J

T

T

09/01/10

1/02 /10

07/01/10

I . Income Gain Codes: A = $ 1.000 o r less B = $ 1.001 - $ 2.5 00 C " - - $ 2 . 5 0 1 - $ 5 . 0 0 0 D = $ 5 .001 . $ 15 .000(5Columns B I and 1)4 ) F =$50.001 - $100,000 G = $ 100.001 - $ 1.000.000 I I I =$ 1.000.001 - $5.000.000 1 1 2 = M o r e th a n $ 5 . 0 ~ 0 . 0 0 0

2. Value Codes J = $ 15 ,000 o r le ss K = $15,0O I - $ 50 ,000 L = $5 0.001 - $ 100.000 M =$100.001 - $250.000( See Columns CI and D3 ) N =$2 50.001 - $ 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 =More lhan $50.00~,0003. V a lu e Meth o d Co d es Q =Ap praisa l R =Cosl (Real Estate Only) S =Assessment T -~Sash Market( See Column C2) U :Book Value V :O~ hcr W =Eslimatcd

E =$15.001 - $50.000


7/27



D a ~ e o f R e p o r ~05/12/2011

V II. INVESTMENTS and TR U STS - ~ ....... . a l u o , transaction~ (Includes those of spouse and dependent children; see plx 34-60 of filing instruction~)l~ ] NONE (No reportable income, assets, or transactions.)Description of Assets Income dur ing

(including trust assets) r e p o r t i n g p e r i o d[ (I) (2)

P l a c e " i X ) " a f r o " e a c h a s s e t i A m o u n t T y I ~ ( e . g .,exempt from prior disclosure I C o d e 1 d i v . , r e n t ,(AdD o r i n t . )

Gross value a t endo f r e p o r t i n g p e r i o d(l) (2)V alue V a lue

Code 2 Method( J - P ) Code 3

(1 )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 l x ~ r t i n g p e r i o d

(2) (3) (4) (5 )Date Value Gain I d e n t i t y o f

m m / d d ,~ , C o d e 2 Code I buyer/seIler( 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. HOME DEPOT COMMON STOCK A Div idend J53 .54 .55 .

56 .

H O N D A M O T O R C O . C O M M O N S T O C K

H O N G K O N G & C H I N A G A S L T D .S P O N S O R E D A D R C O M M O N S T O C KHUTCHINSON WHAMPOA LTD-ADRCOMMON ST OCK (Y )ICON PL C SPON SORE D ADR

A Dividend

None B u y 04/21110

5 7. IM MU NO GEN IN C None J Bu y 10/15/10 J

58. I N G G R O E P N V S P O N S A D R C O M M O NS T O C K59. I N T E L C O R P . C O M M O N S T O C K ( Y )

None

60 . I S IS PHAR MAC EUT I C ALS N o n e J B u y 1 0 / 2 0 / 1 0 J61 . J O H N S O N & J O H N S O N C O M M O NS T O C K62 . JUNIPE R NE T W ORK S INC. IX)

Di v i de ndN o n e

JJ

TT

63 .64 .65 .

KONINKLIJKE PHILIPS ELECTRONICSNS SPON ADR NE W CS (Y)L 3 C O MMUN I C AT I O N S HLD GS IN C .C O M M O N S T O C KLIBERT Y GLOBAL INC CL A

Di v i de ndN o n e Sold 09/01/10

66 .67 .68 .

LIBERTY MEDIA GROUP CL AC OM M ON STOC KLI B ER T Y MED I A I N T L I N C C LAS S AC O M M O N S T O C KM A D I SO N S Q U A R E G A R D E N I N C I X )

N o n eN o n eN o n e

JJ

TT

S ol d 11/11/10

I . Income Gain Codes: A = $1.000 o r less B = $ 1,001 - $ 2.5 00 C = $ 2 .501 - $ 5 .000 D =$5.0~1 - $15.000( Se Columns BI and D 4) F = $ 5 0.001 - $ 100.000 G = $ 100.001 - $1 .0~0.000 l i t -$1.000.001 - $5.0~O.000 112 =More Ihan $5.000.000

2. V alu e Co d es J = $15.000 o ~ le ss K = $ 15 .001 - $ 50.000 L = $ 5 0.001 - $ 100.0~ ) M =$100.001 . $250.0~01SColumr~ CI and D3) N =$250.001 - $500.000 O = $ _ 4 ~ . 0 0 1 - $ 1 . 0 D 0 . 00 0 PI =$1.0~0.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

P3 =$25.000.001 - $50.0~0.000 P4 =More than $50.000.0003. Value Method Codes Q =Appraisal R =:Cost IRcal Estate Only) S = A sscssm en l T =Cash Marke~( See Column C2) U = Book Value V - O l h c r W -Es f imalcd

E -$15.001 - $50.000


8/27

FINANCIAL DISCLOSURE REPOR TPage 8 of 27

N a m e o f P e r so n R e p o r l in gSIRAGUSA, CHARLES J.

D a t e o f Report05 / 12 / 2011

Vll. INVESTMENTS and TRUSTS - i .... e, value, transactions (lncludPs those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r ip t io n o f A s se t s In c o m e d u r i n g( 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

(I) (2)Place "(X)" after each asset 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 sc l o s u r e i C o de 1 d iv ., re nt ,~ (A -H) or i n t . )


V a lu e V a lu eC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - w)

T y p e ( e .g . ,b u y , s e l l ,


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 Gain Identity o f

m m ! d d , ~ Code 2 Co de I buyer /se l ler( J - P ) (A-II) ( i f p r i v a l et r a n s a c t i o n )

69. M EI- F LER T O LED O IN T ER N AT IO N AL N o n eI N C . C O M M O N S T O C K70. M I CR O S O F T C O R P C O M M O N S T O C K A D i v i dend

J

JTT

Sold(par t) 11/05/10 J A

72.

73.

74.

MITSUBISHI TOKYO FINANCIALGROUP SPONS ADR COMMON STOCK(~MONSANTO CO A Dividend Bu y 01/21/10N A S D A Q O M X G R O U P I N C . None JNATIONAL BK GREECE A SPONS ADR N o n e S o l d 05/04/10 J

75. NATIONAL OILWELL VARCO (X)

76. NESTLE SA SPONSORED ADR REPSTGREG SH COMMON STOCK

77. NEWS CORP CLASS B COMMONSTOCK (Y)

78 . NIPPON TELEPHONE & TELEGRAOPHCORP. ADR RSPTG CS

79 . NOKIA CORP. SPONSORED ADRCOMMON STOCK (Y)

8 0 . NOMURA HOLDINGS INC. UNSP ADRCOMMON STOCK (Y)

81. NOVARTIS AG ADR COMMON STOCK(Y )8 2 . NOVO NORDISK A S ADR COMMONST OCK (X)83. NUCORCORP(Y)

8 4 . N V I D I AC O R P ( X )

A DividendA Dividend

A Dividend

A Dividend

None

JJ

Sold 05/12/I0

T Sold(pan)

T Bu y(addl )

10/19/10 J A

11/18/10

I. Incom e Gain Co des: A -$ 1.00 0 or less B = $ I .001 - $ 2 .500 C = $2 .5 01 - $ 5 ,0~ 0 D =$5.001 - $15.000( See Columns BI and I M) F = $50 ,001 - $ 100 ,000 G = $100.001 - $1 .000.000 Il l = $1 .0 00 .0 01 - $ 5, 00 0, 00 0 1 12 = Mo re th an $ 5.( ~0 ,0 00

2 . Va lu e C o d a J -$1 5 ,0 0 0 or l es s K =$15,001 - $50.00(I L =$50.001 - $10~,000 M =$ 100.001 - $250.000( See Columas CI and D3 ) N =$2 50 ,001 - $ 500.000 O =$5 00.001 - $1 .00~.000 PI -$1.000.001 - $5.000.000 P2 =$5,000,001 - $25,000,000

P3 =$25.000.001 - $50.000.000 P4 =More than $50.000.0003. Value Method Codes Q =Appraisal R ~ os t ( R eal Es ta t e Only ) S = A sscssm en ! T =Cas h Mar ket

1See Co lu m n C2) U = Bo o k V a l u e V = O th , r W = Eslim a lcd

E =$15,091- $50.000


9/27



D a t e o f R e p o r ~05 /12 /2011

VII. INV ESTMENTS and TRU STS - i ........ l u e , tr a n s a c t i o n s ( I n c l u d e s t h o s e of spouse a n d dependent children; see pp. 3 4 - 6 0 of f!ling instructions.)D NONE income, or transactions.)N o reportable asse t s ,

D e s c r ip t io n o f A s se t s In c o m e d u r i n g( 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

i (i) (2)P l a c e "(X)" after each asset 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 sc l o s u r e C o d e 1 di v . . ren t ,(A - H) or i n t . )

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 do f r e p o r t i n g p e r i o d(I) (2 ) (I) (2) (3) (4) (5 )V alue V alue T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o f

C o d e 2 M e th o d b u y , se l l , m m ! d d / ~ y C o d e 2 C o d e I b u y e r / s e l l e r( J - P ) C o d e 3 r e d e m p t i o n ) ( J -P) ( A - H ) ( i f pr i va t e

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

8 5. ORACL E CORP N o n e J T86 . ORIX CORP SPONS ADR COMMONST OCK (Y )87. PALL CORP. A Dividend J T88 . PEPSICO COMMON STOCK A Di v i de nd J T8 9. PETROB RAS (Y )90. PROCT O R & GAMBL E CO INC A Dividend J TC OM M ON STOC K91. QUALCOMM INC. A Di v i de nd92 . RIO T INT O PL C-GBP COMMON ST OCK(Y )93. SANDISK COR P N o n e J T94. SCHLUMBERGER LTD A Di v i de nd J T95. SCHWAB CHARLES CORP A Di v i de nd J T96. SHIRE PLC (X) A Di v i de nd J T97. SA P A KLENG ESELLSCH A FTSP ONS A Di v i de nd J TADR-USD COMMON ST OCK98 . SMITH & NEPHEW PLC SP ADR (Y )9 9. SU N C O R E N E R G Y I N C N E W A Dividend .I T1 0 0 . TELEFONICA S.A. SPONS ADR A Di v i de nd J TC OM M ON STOC K1 0 1 . TESCO P LC SP ONSO RED A DR (Y)

Bu y 10/19/10 J

Sold 06/10/10 J

Bu y 06110110 J

I . Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 C = $2 .5 01 - $ 5 .000 D = $ 5 .001 - $ 15 .000(5c Columns B I and D4 ) F = $ 5 0 . 0 0 1 - $ I 0 O . 0 0 0 G =$ 100.001 - $ 1.000.000 I I I =$ 1.000.001 - $5.000.000 112 =More than $5.000.000

2 . V a lu e Co d es J = $ 15 .000 o r le ss K = $15.001 - $ 50.!)00 L = $5 0.001 - $ 100.000 M =$100.001 - $250.0~0( See Columns CI and D3 ) N ~$2 50 ,001 - $5 00 ,000 O = $5 00 ,001 - $1 ,000.000 P I = $ 1 ,000.001 - $ 5 .000 ,000 P2 =$5.000,001 - $25.000.004)

P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 . 1 X 1 0 , 0 ~ 0 P4 =More than $50.000.0003. Value Method Codes Q ~Appraisal R =Cost (Real [: ..stale Only) S =Ass.cssment T = C ash Mar k e~( See Column C2) U ~Bo o k V a l u e V = O ~h cr W = E s f i m a ~ c d

E =$ 1 5 . 0 0 1 - $ 5 0 . 0 0 0


10/27



D a t e o f R e p o r t05/12/201 I

VII. INVESTMENTS and TRUSTS - income, value, ~ ....i o . ~ (Includes those of spouse and dependent children; s e e p p . 3 4 - 6 0 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

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( in c lu d i n g t ru s t a ss e ts ) re p o r t in g p er i o d

IPlace "(X)" after each asset i A m o u n t T y p e ( e . g . ,] Code I di v . , ren t ,x e m p t f r o m p r i o r d i s c l o s u r eI (A-H) or i n t . )

G r o s s 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 dO) (2)


( J - P ) C o d e 3

( 1 )T y p e ( e . g .,

buy , se l l ,~ : 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 iy y Code 2 Co de I bu y e r/se ller( J - P ) (A-H) ( i f p r i v a t e


1 0 2 . TEXAS INSTRUMENTS COMMON A DividendS T O C K103. THERMO FISHER None

J

JTT Bu y 06/10/10 J

1 0 4 . TOT AL FINA ELF S.A.S.P. AD RCOMMON ST OCK (Y )

1 0 5 . T RE ND MICRO INC SPON ADCOMMON ST OCK (Y )1 0 6 . T Y CO INT E RN AT IONAL LT D. NE WCOMMON ST OCK (Y )1 0 7 . TYCO ELECTRON ICS (Y)1 0 8 . UBS AG-CHF COMMON ST OCK (Y )1 0 9 . U N I T E D O V E R S E A S B A N K L T D S P O N SA D R ( Y )1 1 0 . UN I T ED HEALT H GR O UP I N C .C O M M O N S T O C K A Dividend

1 1 1 . V E R T E X ( Y )1 1 2 . V E S T A S W I N D S Y S None J Bu y 08/20/10 J113. VISA INC A Dividend J Bu y 05/06/10 J1 1 4 . VOD AFONE GROUP PL C SP ADRCOMMON ST OCK ()1 1 5 . WAL -MART DE ME XICO SA DEC OM M ON STOC K1 1 6 . Y AHOO INC COMMON ST OCK (Y )

A Dividend T

1 1 7 . ACCOUNT # 2:1 1 8 . BLACKROCK GLOBAL SCIENCE &T E CH OPPORT P ORT FOL IO CL INST L N o n e T

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( 5 Columns BI and D4) , F =$50.0~1 - $100.000 G =$100,0~1 - $1.000,0~0 I1 1 = $1 .0 00 .0 01 - $ 5.0 00 .0 00 1 12 =M or e t ha n $ 5 , 0 0 0 , 0 0 02. Value COd~ J = $15.000 o ~ le ss K = $15,001 - $ 50.000 L = $ 5 0.001 - $ 100 ,000 M = $ 100.001 - $ 25 0.000( See Columr ~ CI and D3 ) N =$250,001 - $ 500.0(30 O = $5 00 ,0 01 - $1 .0 00.0 00 P I =$ 1, 00 0, 00 1 - $ 5, 00 0, 00 0 P 2 =$ 5.0 00 ,0 01 - $ 25 ,0 00 .0 00

P3 =$25.000.0OI - $ 50.090.000 P 4 = M o r e t h an $ 5 0 . 0 0 0 . 0 (~ O3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S = A ssessm en t T =Cas h Mar kel( See Column C2) U = Bo o k V a l u e V = O t h o " W = E st im a t ed

E = $ 1 5 , 0 0 1 - $ 5 0 . 0 0 0


11/27


N a m e o f P e r so n R e p o r t i n gSIRAGUSA, CHARLES J.

Date of R e p o r t05 /12 /2011

V 1 I. I N V E ST M E N T S a n d T RU S T S -i . .. .. .. . I , e , t r a n x a e t i o n ~ (Includes those of sp ...... d dependent children; see p p . 3 4 - 6 0 o f f i l in g instructions.)N O N E (No reportable income, assets, or transactions.)

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( 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

! (i) (2)Place "(X)" after each asset 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 sc l o s u r e ! Code I di v . , ren t ,! (A-H)i or i n t . )

G r o s s 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(t) (2)


( J -P) C o d e 3( Q - W )


(I ) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Va l u e Gain I d e n t i t y o fbuy, sell, ram ldd!yy Co de 2 Cod e 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 et r a n s a c t i o n )

1 1 9 . B L AC K R O C K V A L U E O P P O R T U N I T I ES A DividendFUND INC CL INSTL T1 2 0 . A C CC O U N T # 3 : SEE PART VIII # 1

1 2 1 .1 2 2 .1 2 3 .

-SMITH BARNEY BANK DEPOSIT A I n t e r e s tPROGRAMIRA#l:

T

-TACTICAL DIVERSIFIED FUTURES None K T SEE PART VIII # 21 2 4 . I R A # 2 :

1 2 5 . -GOLDMAN SACHS SMALL VALUEFUND CLASS B126. IRA f13:

None J T

1 2 7 . - B L AC K R O C K V A L U EO P P O R T U N I T I ES F U N D I N C C L I N ST L A D i v i d e n d J T

1 2 8 . I R A # 4 :12 9. -BLACKROCK VALUEO P P O R T U N I T I E S F U N D I N C C L I N S T L A D i v i d e n d J T130 . COLLEGE SA VING S P RO G RA M # 1 :1 3 1 . - D E V E L O P E D M A R K E T S IN D E X

P O R T F O L I O1 3 2 . COLLEGE SAVINGS PROGRAM #2

None Bu y 12/17/10 J

1 3 3 . - D E V E L O P E D M A R K E T S IN D E XP O R F O L I O1 3 4 . DE FE RRE D COMPE NSAT ION

N o n e L

N o n e K

T

T

Bu y 12/17/10 J

1 3 5 . -O PPEN HEI MER MAI N S T . O PP . A

I. In com e Gain Codes: A -$1 .0 00 o r less B ~$1,001 - $2.500 C =$2,501 - $5,000 D =$5.0OI - $15.000(See Columns BI and IM) F = $ 5 0.0~1 - $ 100.000 O = $ 100 ,001 - $1 ,000.0~0 II I = $ 1.000 ,001 - $5 .000.000 112 = More th an $ 5 .000.0 00

2. Value Codes J =$15.000 or less K = $ 1 5 . 1 3 0 1 - $ 5 0 . 00 0 L =$50.0OI - $10~.000 M =$100.001 - $250.0~0( See Columns CI and D3 ) N =$250.001 - $500.0~O O =$f410.001 - $1.00~.000 PI =$1.000.001 - $5,0~0.000 P 2 = $ 5 . 0 0 0 . 1 3 0 1 - $ 2 5 . 0 0 0 . 0 0 0

P3 =$25.000.001 - $50.000.000 P4 =More Ihan $50.000.0003. Value Method Codes Q = A p p r a isa l R =4Sos! (Real Estate Only) S =Assessment T =Cas h Mar ket( See Column C2) U = Lk~k Value V = O ~h er W =Es t imaled


12/27



D a t e o f R e p o r t05/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , , a l .e , , ro n ~ o o i o ~ (Includes those of spouse and dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)[ ~ ] NONE(No repor t ab l e incom e , a sse t s , or t ransac t ions . )

D e s c r i p t i 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 n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f t e r e a c h a s s e t

exempt from prior disclosure

I n c o m e d u r i n gr e p o r t i n g p e r i o d(i) (2)

Amount Type (e.g.,C o d e I di v . , ren t ,( A-H) or i n t . )


V a lu e V a lu eC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )

O)T y p e ( e . g .,buy, se l l ,


(2) (3) (4) (5 )Da te V a l u e Ga in I d e n t i t y o f

m m / d d ~ y C o d e 2 C o d e I b u y e r ! s e l l e r(J-P ) ( A- H ) ( i f p r i v a t e


136. -VT FIDELITY C O N T R A F U N D137. -DODGE AND COX INTL STOCK138. IRA #5139. -BANK DEPOSIT PROGRAM1 4 0 . -GOLDMAN SACHS SMALL VALUEFUND CLASS B COMMON STOCK141. -PIMCO REAL RETURN COMMODITYST RAT E GY FUND CL C142. -COEUR D ALENE MINE CORP1 4 3 . -GABELLI GLOBAL NAT RES &INCOME TR SBI1 4 4 . -UNITED STATES OIL FD LP E Q U I T Y1 4 5 . -ISHARES SILVER TRUST EQUITY146. -COHEN & STEERS INTL REALTY FD147. ACCOUNT # 4

A I n t e r e s tNone

A DividendNone

A Dividend

NoneNone

A Dividend

JJJJJ

JJJ

TTTTTTTT

S E E P A R T Vlll # I1 4 8 . SE AGAT E T E CHNOL OGY (Y )1 4 9 . WE AT HE RFORD INT L L T D NE WCOMMON STOCK1 5 0 . ADVANTEST CORP SPON1 5 1 . AGCO CORP1 5 2 . AKAMAI TECHNOLOGIES

None

A DividendNone

None

J

J

T S o l d 01/04/10 J B( p a r t )T Bu y 01/04/10 J

S o l d 09/22/10 J AT S o l d 01/04/10 J A( p a n )

1 , In co m e Gain Co d es : A = $ 1 ,000 o r less B = $ 1 ,001 - $ 2 .5 00 C = $ 2 .5 01 - $ 5 .000 D =$5.001 - $15,000( See Columns BI and D4) F = $5 0.001 - $ 100 ,000 G = $100.001 - $1 ,000.000 I II = $ 1 .0 0 0. 00 1 - $ 5 .0 0 0, 00 0 1 12 =M or e t ha n $ 5. 00 0 .0 0 0

2. V alue CO d~ J = $15.000 o Ices K = $15.001 - $ 50.000 L =S50.001 - $100.0(~ M =$10~.001 - $250.0(]0( See Columr t s CI and D3 ) N =$2 50 ,001 - $ 500,0~0 O =$5 00 ,001 - $1 .000.00~ P I =$ 1.0 ~0 .0 01 - $ 5 .1 ~0 .0 00 P 2 = $5 .0 00 .0 01 - $ 2 5.0 00 .0 0~

P3 =$25,000.001 - $50,0~0.0~O P4 =More tb.an3. Value Method Codes Q =Appraisal R =Cosl (Real Estate Only) S =Ass~ssmem T =Cas h Mar ket( S Column C2) U B o o k V a l u e V =Olher W = E st im a t ed

E $15.001 - $50.000


13/27


N a m e o f P e r s o n R e p o r l i n gSIRAGUSA, CHARLES J.

D a t e o f R e p o r t05/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o . ~ e , v o l u e , t, o . s o c , lo . s a n c l u d e s , h o s e o / s p o u s e o . d d e p e n a c . , children; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)


Place "0O" after each assetexempt from prior disclosure

I n c o m e d u r i n gr e p o r t i n g p e r i o d

(0 (2)A m o u n t T y p e ( e . g .,C o d e I div., rem,(A - H) or i n t . )

G r o s s 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)


( J - P ) C o d e 3( Q - W )

0)T y p e ( e . g .,buy, se l l ,


(2) (3) (4) (5 )D a t e V a lu e G a i n Identity of

mm!ddhly C o d e 2 C ode I b u y e r / s e l l e r( J - P ) (A-H) ( i f p r i v a t e


1 5 3 . AK Z O N O B E L154. ALKERMES INC COMMON STOCK

DividendNone

Bu yS o l d

01/04/10 J0 1 1 0 4 1 1 0 J

1 5 5 . ALLIED WORLD ASSURANCE COHLDGS

156. AMAZON COM INC COMMON STOCK

157. AMGEN INC COMMON STOCK

1 5 8 . ANADARKO PETROLEUM CORPCOMMON STOCK

1 5 9 . ANGLO AMERICAN

1 6 0 . ANHEUSER-BUSCH

1 6 1 . APACHE CORP

1 6 2 . APPLIED MATERIALS INC DELWARE(Y) COMMON STOCK

163. ARCELORMFI-rAL

164. ARCH CAPITAL GROUP

165. ASML HLDG NV NEW YORK REG

A DividendNoneNone

A DividendA Dividend

NoneA Dividend

NoneN o n e

None

J

J

J

J

J

J

J

J

J

T

T S o l d 01/04/10 J C(part)TT S o l d 01/04/10 J A

( p a r t )T Buy 01/04110 JT Bu y 06/15/10 JT Bu y 07/23/10 J

T Bu y 12/14/10 JT Bu y 06/15/10 J

S o l d 01/04/10 J C166 . A T&T INC.1 6 7 . AT L AS COPCO AB SPON S ADR NE WRPTSG CL B168. AUTODESK INC.169. AX A S.A. SPONS ADR

A DividendNoneNone

A Dividend

S o l d 01/04/10, J A

Sold 12/23/10 J

I . Income Gain Codes: A = $ 1.00~ or le ss B = $ 1 ,001 - $ 2 .5 00 C = $2 .5 01 - $ 5 .000 D =$5.001 . $15.000( See Columns BI and D4) F =$50.001 - $10~.00~ G = $1 00 .0 01 - $ 1.0 00 .0 90 I1 1 = $1 .0 00 .0 01 - $ 5.0 00 .0 00 112 =More than $5.000.00~

2 . V a lu e Co d es J = $15.000 o,r less K =$15.0O I - $ 50.000 L = $5 0.0O I - $ 100.000 M =$100.001 - $250.000ISle Columns C I and D3) N -$ 2 5 0.001 - $ 5 00.000 O =$5 00.001 - $1.0~0.0~O P I $ 1.0 00 .0 01 - $ 5 .0 00 .0 0 0 P 2 =$ 5.0 00 .0 ~1 - $ 25 ,0 00 .0 00

P3 =$25.000.001 - $50.000.000 P4 =Mo~e lhan $50.000.0~031 V a l u e Met h o d C o d ~ Q =Ap~ ai s a l R ~o s t (Re a l E s ta le O n ly) S =As s es s mcm T - ~ S ~ h M a r k ~( See Column C2) U = Bo o k V a l u e V = O ~h cr W = E st im a t ed

E =$15,001 - $50,000


14/27

FINANCIAL DISCLOSURE REPORTP a g e 1 4 o f 2 7N a m e o f P e r so n R e p o r t i n gSIRAGUSA, CHARLES J.

Date of Report05112/2011

VII. INVESTMENTS and TRUSTS - inc . . . . . . ,~ u e , tr a n s a a i o n s ( I n c l u d e s th o s e o f s p o u s e a n d d e p e n d e n , children; s e e p p . 3 4 - 6 0 of f i l i ng ins t ruc t lon~ . )N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i 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 ud i ng t rus t asse t s )


In c o m e d u r i n g G ro s s va l u e at 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

(I) (2) (I) (2) (I) (2) (3) (4) (5)A m o un t T y p e ( e . g . , Value V alue T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m ! d d h y ) , C o d e 2 C od e I b u y e r / s e l l e r( A - I I ) 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 )

1 7 0 . T HE BABCOCK & W ILCOX CO MPANY1 7 1 . BASF SE COMMON STOCK1 7 2 . BED BAT H & BE Y OND COMMONSTOCK1 7 3 . BAKER HUGHES INC.1 7 4 . BANK OF AMERICA CORP.175. B AN K N E W Y O R K M E L LO N C O R P1 7 6 . BARCLAYS PLC1 7 7 . BCE INC1 7 8 . BEDFORD CENTR A L SCH OOL1 7 9 . BERKSHIRE HATHAWAY INC CL B1 8 0 . BG GROUP1 8 1 . BHP BILL IT ON L T D SPON S ADR1 8 2 . BIOGEN IDEC INC COMMO N STOCK1 8 3 . BLACKROCK INC.1 8 4 . BOEING CO.1 8 5 . BP P LC SP ONS A DR1 8 6 . BRIDGEST ONE COR P

N o n e JA Dividend J

N o n e JA Dividend JA Dividend JA Dividend JA Dividend JA Dividend JA Interest K

N o n e JA Dividend JA Dividend J

None JA Di v i de nd JA Dividend J

N o n eN o n e J

T Spinoff 08/02/10 J( f rom l i ne 275)T So ld 01 /04/10 J(part)T So ld 01 /04/10 J

(par l )TT Bu y 01/04/10(add l )T Bu y 08/24/10T Bu y 01/04/10T Bu y 06 /25/10T Bu y 01/07/10T Sold 02/01 /10(par t)T Bu y 01/04/10

T So ld 01 /04/10(par t)T Sold 01/04/10(par t)T

So ld 01 /04/10T Bu y 12/13/10

JJJJKJJ

JJ

J

J

B

A

AA

I . Income Gain Codes: A = $ 1.000 o r less B = $ 1 ,0O l - $ 2 .5 00 C =$2.501 - $5.000 D =$5.001 - $15,0~O( See Columns BI and D4) F =$50.001 - $100.000 G =$100.001 - $1,000.000 III =$1.000,001 . $5.000.000 112 =More than $5.000.000

2. Value Codes J =$15.000 or Icss K = $ 15 .001 - $ 50.000 L = $ 50.001 - $ 100.000 M =$100,001 - $250,000( S~ c Columns CI and D3 ) N =$ 25 0.001 - $5 00.000 O =$ 500.001 - $1 .000.000 PI =$1,000.001 - $5.000,000 P2 =$5.0(10,001 - $25,000.000

P3 =$25.000.001 - $50.000.000 P4 =More than $50.000.0003. Value Method Codes Q =Appraisal R =:~osl (Real Eslate Only) S =Asscssmer t t T =Cash l , , tarkc~( See Column C2) U =Book Value V = O ~ h , .a " W =Eslima~ed

E :$15,0~)1 - $50,000


15/27



Date of R e p o r t05 /12 /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 .c o , . e , v a t u e , , r a ~ s a c , i o , ~ a n c t u d e s t h o s e of spouse and dependent children; see plX 34-60 o f f i l i n g i n s t r u c t i o n s . )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 c ts I n c o m e d u r in 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 in 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

(I) (2)P l a c e " C A ) " 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 sc l o s u r e C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s 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(i) (2)V a l u e Value

C o d e 2 M e th o d( J - P ) C o d e 3( Q - W )

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

(2) (3) (4) ( 5 )D a t e V a l u e G a i n I d e m i t y o f

m m ! d d ! y y C o d e 2 C od e I b u y e r / s e l l e r( J -P) ( A - H ) ( i f pr i va t e


1 8 7 . BROADCOM CORP CL A1 8 8 . CVS CARE MARK CO RP A

N o n e J T S o l d( p a r t )D i v i d e n d J T

01/04/10 J

1 8 9 . CA BLEVISION SYSTEMS CORPCOMMON SST OCK

19 0. CA NA DIA N NA TU R A L RES19 1. CA NON INC A DR1 9 2 . CARNIVAL COPd)

1 9 3 . CELG ENE COR P1 9 4 . CHARMING SHOPPES INC COMMONSTOC K195. CHINA MO BILE LTD196. CHUBB CORP. COMMON ST OCK197. CISCO SYS INC COMMON STOCK

A Dividend J T Sold 01/04/10(par t)

A Dividend J T Bu y 01/04 /I0A Dividend So ld 01 /04/10A Dividend J T Sold 10/19/10(par t)

N o n e J TN o n e So ld 01 /04/10N o n e J T Bu y 10/05/I 0

A Dividend J TN o n e J T

J A

JJ BJ A

J AJ

198 . CIRR US L OGIC INC. COMMON ST OCK N o n e So ld 07/19/1019 9. CITRIX SYSTEMS INC N o n e J T So ld 08 /19/10(par t)200 . COCA - COLA CO. COMMON STOCK A Di v i de nd J T2 0 1 . C O M CA ST C O R P C L A CO M M O N A Dividend J TSTOC K202. COMMERCIAL INTL BK N o n e J T Bu y 09/30/10203. CONOCOPHILLIPS A Dividend J T

J A

J A

I. I n c o m e G a i n C o d e s : A = $1.000 or less B = $ 1 ,001 - $ 2 .5 00 C = $ 2 .5 01 - $ 5 ,000 D =$5.001 - $15.000( See Columns BI and D4) F = $ 50.001 - $ 100.000 G :$ 100.001 - $ 1 .000.000 111 =$1.000.001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J =$15.000 or less K = $ 1 5 . C X ) I - $ 5 0 . 0 0 0 L =$50.001 - $100.O00 M =$100.001 - $250.000( See Columns CI and D3 ) N = $ 2 5 0 . 0 0 1 - $ 5 C O . 0 0 0 O = $ _ q ) 0 . 0 0 1 - $ 1 . 0 0 0 .0 ~ O P I =$ 1.0 00 .0 01 - $ 5.0 00 .0 00 P 2 =$ 5.0 00 .0 01 - $ 25 .0 00 .0 00P3 =$25.000.001 - $50.000.000 P4 =More Ihan $50.000.000

3. Value Method Codes Q -Appr a i sa l R :=Cost (Real Estate Only) S =As.~ssm~"nt T -~ 7~ h Mar kc~( s ee Column C21 U = Bo o k V a l u e V = O ~ h ~ r W -Es t imated

E =$15.001 - $50.~00


16/27

FINANCIAL DISCLOSURE REPORTP a g e 1 6 o f 2 7


D a t e o f R e p o r ~05/12/201

V I I. I N V E S T M E N T S a n d T R U S T S - i ........ l u o . t r a n s a c t i o n s ( I n c l u d e s t h o s e of sp ...... dependent children: see p l x 34-60 offillng i n x t r u c t i o n ~ )N O N E ( N o reportable income, assets, or transactions.)

A. B. D.Description of Assets Income dur ing Transactions during reporting period

(including trust assets) ~ on i ng pe r i od(i ) (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 yp e ( e . g . ,exempt from prior disclosure l ! C o d e I d i v . , r e n t ,i (A-H) o r i n t . )

G r o s s 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(t) (2)V alue V alue


(I) ( 2 ) ( 3 ) ( 4 ) (5)T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

buy, se l l , r a n f f d d i y y Code 2 Co de I bu y e r/se llerr e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e


2 04 . COVIDIEN LTD A Di v i de nd J T So ld i01 /04/10(par t)2 05 . CPFL ENERGIA S A Dividend J T Bu y 01/04/102 06. CREE INC. N o n e J T Sold 01/04/10(par t)207. CRH P LC A DR - U SD N o n e Sold 01/04/10208. DA IMLER A G N o n e J T Bu y 01/04/10209 . DA IWA SECURITIES G R SP ON S N o n e J T Bu y 12/27/102 1 0 . D A N O N E S P O N S A D R N o n e So ld 01 /04/10211 . DBS G ROU P H LDG LTD A Di v i de nd J T Bu y 01/04/102 1 2 . D E ER E & C O . A Dividend J T2 1 3 . D E N S O C O R P A Di v i de nd J T Bu y 01/04/102 1 4 . D E V O N E N E R G Y C O R P N E W A Dividend J T215. DIA G EO P LC SP ON A DR - NEW N o n e Sold 01/04/102 1 6 . D I R E C T V C L A N o n e J T So ld 01 /04/10(par t)217. D ISCO V ER Y HO LD IN G CO M CL A N o ne So ld 01 /04/10C OM M ON STOC K218. WA LT DISNEY CO. COMMO N STOCK A Dividend J T So ld 01 /04/10(par t)219 . DO LBY LA BORA T OR IES INC CLA SS A N o n e J T220 . DORMIT ORY AUT HORIT Y OF T HE A Interest K T Bu y 03/04/10S T A T E O F N E W Y O R K

J

J

J

J

J

J

J

J

J

J

J

J

K

A

B

AB

AA

I . Income Gain Codes: A =$1.000 or less B $1 ,001 - $2 ,5 00 C = $ 2 .5 01 - $ 5 ,000 D = $ 5,001 - $ 15 .01~( See Columns BI and 1 ) 4 ) F = $50.001 - $ 10~ .000 G = $100.001 - $1 .000.000 Il l =$1,000,001 - $5.000.000 1 1 2 = M o r e th a n

2. Value Codes J = $ 15 .0~0 o r le ss K = $ 15 .001 - $ 5 0.0(~ L =$50.001 - $100.000 M = $ 100.001 - $ 2 5 0.00)( S~ e Columns CI and D3 ) N =$2 50.001 - $ 500.000 O =$5 00.001 - $1.00O .000 PI =$1.000.0~1 - $5,000,000 P 2 = $ 5 , 0 O O . 0 O l - $ 2 5 . 0 0 9 .0 9 0

P3 =$25.0~0.001 - $50.000.000 P4 =More than $50.00~.0003. Value l .lctho4 Codes Q =Appraisal R =Cost (Real Estate Only) S ~A sscssm en t T =Cas h Mar kel(S~:c Colmnn C2) U = Bo o k V a l u e V = O lh ,:r W = Estim ated

E =$15,001 - $50.000


17/27



D a t e o f R e p o r t05/12/201 I

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

I (i) (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 sc l o s u r e [ Code I d i v . , r e n t ,i (A -H ) or i n t . )

G r o s s 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(I) (2)V a l u e Value


T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(I) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, se l l , mm/dd/yy Code 2 C o d e 1 buyer!seller

r e d e m p t i o n ) ( J - P ) (A-II) ( i f p r i v a t et r a n s a c t i o n )

2 2 1 . D O V E R C O R P . A Dividend J T2 2 2 . EBAY INC.2 2 3 . E M CO R G R O U P I N C

N o n e J TN o n e J T

Bu y 08/06 /10 J(add l )Bu y 08/16 /10 J

2 2 4 . EMERSON ELECTRIC CO COMMON ASTOCK2 2 5 . E LE CT RONIC ART S COMMON ST OCK

DividendN o n e

T So ld 01 /04/10 J(par t)Sold 10/13/10 J

A

226 . ERICSSON LM TEL CO CL B A DR NEW A Di v i de nd2 2 7 . E R I E C N T Y N Y W T R A U T H A Interest228. EXP EDIA INC COMMON STOCK A Dividend229 . EXP ER IA N G ROU P LTD A Dividend2 30. FIRST SOLAR INC. N o n e

JK

JJJ

TTTTT

Bu y 01 /15/10 KSo ld 01 /04/10 J(par t)Bu y 01/04/10 J

A

2 3 1 . F LU O R C O R P N E W A Di v i de nd2 3 2 . FOREST LABORATORIES INC.COMMON ST OCK (Y )2 3 3 . F R A N K L I N R E S O U R C ES A Dividend234. FRE E PORT & MCMORAN COPPE R & A Di v i de ndGOLD CL B235. G A P INC. DELA WA R E A Di v i de nd236 . GA ZP RO M OA O N o n e237. GENERAL ELECTRIC CO COMMON A DividendSTOC K

JJ

JJ

T

TT Sold(part)TT Bu y

Sold

01/04/10 J A

12/21/1012/03/10

JJ

I . Income Gain Codes: A =$1,000 or less B =$I ,001 - $2,500 C = $ 2 , 5 01 - $ 5 , 000 D =$5.001 -( 5 Columns B1 and D4) F = $50.001 - $ 100.000 G = $100.001 - $1 .000.000 III =$1.000,001 - $5.000.000 112 =More than $5,000.000

2 . V a lu e Co d cs J = $15.0~ O o r less K =$15.001 - $50.1)00 L = $5 0.001 - $ 100.000 M =$10~.001 - $250.000( See Columns CI and D3 ) N = $ 2 5 0 , 001 - $ 5 00.00) O =$ 50 0,0 01 - $ 1,0 00 ,0 00 P I = $1 ,0 00 .0 ~1 - $ 5.0 00 .0 00 P2 =$5.000.001 -

P3 =$25.000.001 - $50.0~0.000 P4 =More than $50.000.0003. V a lu e Meth o d Co d es Q = App raisal R = C o , s 1 ( R e a l E s t a te O n l y ) S =Asscssrnc~l T ~ a s h M a r k e t

( See Column C2) U = Bo o k V a l u e V =Olher W = E st im a t ed

E =$ 1 5 . 1 ) 0 1 - $ 5 0 . 0 0 0


18/27



D a t e o f R e p o r t05 /12 /201 I

V I I. INVESTMENTS and TRUSTS - into ....a ~ u e , t r a n s a c t i o n s ( I n c l u d e s t h o s e of spouse and dependent c h i l d r e n : 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 ts T r a n s a c t io n s d u r i n g r e p o r t in 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 L s )

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m p r i o r d i sc l o s u r e

I n c o m e d u r in gr e p o r t i n g p e r i o d(I) (2)A m o u n t T y p e ( e . g .,C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s 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(I) (2)V alue V alue

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

O)T y p e ( e . g .,buy, se l l ,


(:z) (3) (4) (5 )D a t e V a l u e G a i n I d e n t i t y o f

m m / d d ! y y C o d e 2 C o d e I b u y e r / s e l l e r( J - P ) ( A - H ) ( i f p r i v a t e


2 3 8 . GE NZ Y ME CORP GE NERAALDIVISION COMMON STOCK239. GLAXOSMITHKLINE PLC SP ADRC OM M ON STOC K240. GOL D FIE L DS L T D241 . GOO GLE INC CLASS A242. G RU P O T ELEVISA SA DE CV SP ONAD R243. HALLIBURTON CO HOLDINGS CO244. HESS CORP245. HOME DEPOT INC. COMMON STOCK246 . HONDA MOT OR CO L T D ADR N E W247. HONE Y WE L L INT L INC COMMONSTOC K248. HONG K ON G & CHINA GAS SP ADR249. HSBC HLDG PLC SP ADR NEW250 . HUTCHISON WHAMPOA LTD - ADR

AA

A

A

A

AA

N o n eDividendDi v i de nd

N o n eN o n e

DividendDi v i de ndDi v i de ndDividendDividend

N o n eDi v i de nd

N o n e

JJJJ

JJJ

TTT Bu y 01/ 04 / 10 JT

So ld 01 /04/10 J BT Bu y 01/04/10 J(add l )TT

Sold 01/ 04 / 10 J BT

Sold 01/ 04 / 10 J BSold 12/23 /10 JSold 01/ 04 / 10 J A

2 5 1. IM MU N O GE N IN C2 5 2 . I N G G R O EP N V S P O N S A D R253 . INT E L CORP COMMO N ST OCK (Y )254 . ISIS PHARMACEUT ICAL S COMMONST OCK (Y )

N o n eN o n e

T Bu y 10/15/10So ld 01 /04/10

J.I

1. Income Gain Codes: A =$1.000 or less B = $ 1 ,001 - $ 2 .5 00 C = $ 2 .5 01 - $ 5 ,000 D = $ 5 .001 - $ 15 .000(Sc Columns BI and 1)4) F = $ 50.001 - $ 100.000 G = $100.001 - $1 .000,000 1 11 =$ 1. 00 0.0 01 - $ 5. 00 0.0 00 1 12 = Mo re th an $5 .0 0 0. 00 0

2. Value Codc~ J = $ 1 5 .0 O O o ~ I c ~ s K = $ I5 .001 - $ 5 0.000 L =$50.0OI - $100.000 M =$100.0OI - $250.0~O( See Columns CI and D3 ) N =$250,001 - $500.000 O = $5 00. 001. $1 . 000. 000 p I =$1.000.001 - $5.000,000 P2 $ 5.000.001 - $25.000.000P3 =$25.000.001 - $50,000.000 P4 =/.lore than $50.000.0003. Value Method Codes Q =Appraisal R =Co st (R ea l Esta te O nly ) S = Ass ess me nt T =Cas h Mar ket( See Column C2) U =Book Value V = O ~her W = Estim a lcd

E =$15.001 - $50.0~0


19/27

FINANCIAL DISCLOSURE REPORTP a g e 1 9 o f 2 7N a m e o f P e r s o n R e p o r t i n gSIRAGUSA, CHARLES J.

D a t e o f R e p o r t05/12/201 I

V I I . IN V E S T M E N T S a n d T R U S T S - income, value, tra~actlons (Includes those of spouse and dependent childrenseepl~ 34-60 of filing instruction~)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 in g( 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

" (I) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A r ao un 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 i Code I d i v . , r e n t ,i (A-H) o r i n t . )

G r o s s value a t endo f r e p o r t in g p e r io d(I) (2)V a l u e V a l u e

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

( Q - W )

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(I ) (2) (3) (4)T y p e ( e . g . , D a t e V a l u e G a i n

b u y , s e l l , r n m / d d ~ y y C o d e 2 C o d e Ir e d e m p t i o n ) ( J -P) ( A - H )

(5 )I d e n t i t y o fb u y e r / s e l l e r( i f p r i v a t e


2 5 5 . JP MORGAN CHASE & CO COMMONSTOCK256. JOHNSON & JOHNSON COMMONSTOCK257. JONES LA N G LA SA LLE INC,2 5 8 . JU N I P E R N E T W O R K S2 5 9 . K A O C O R P

A Di v i de ndA Di v i de nd

A Di v i de ndN o n eN o n e

JJJ

J

J

T Sold 1 0 1 / 0 4 / 1 o J A(par t)T Sold 01/ 04 / 10 J A(part)T Sold 1 0 1 / 0 4 / 1 0 J A

(part)T Sold 01/ 04 / 10 J A(part)T Bu y 1 2 1 1 3 1 1 0 J

260 . K E Y CORP o NE W261 . K IRIN CORP262. KOC HOLDING

Di v i de ndN o n eN o n e

JJJ

T

T

T

Bu y 09/13/10Bu y 109/30/10

JJ

2 6 3 . K O N I N K L IJ K E P HI LI P S EL EC T R O N I C S N o n e S o l d 0 1 1 0 4 1 1 0 J A264. L 3 COMMUNICATIONS HLDGS INC.C OM M ON STOC K265. LASALLE HOTEL (X )266 . LIBERTY GLOBAL INC. CLASS A267. LIBERTY MEDIA CORP . A COMMONSTOCK2 6 8 . LIBERTY MEDIA HLDG CORP CAP SERA269. L IBE RT Y ME DIA CORP SE R AL IBE RT Y E NT E RT AINME NT (Y )270 . LONZ A G ROU P

A Di v i de ndA Di v i de nd

N o n eN o n eN o n e

Di v i de nd

J

J

T Sold(part)SoldSold

TT

T Bu y 01/ 04 / 10

01/04/10 J A

! 0 1 1 0 4 1 1 0 J A0 8 / 0 2 / 1 0 J A

271 . LU XOT TICA G ROU P A Di v i de nd J Bu y 101/04/10 J

I.Income Gain Codes:(See Columns BI and D41

2.Value Code~lSee Columns CI and D3 )

3. Value Mclhod Codes( See Column C2)

A -$1.000 or lessF =$50,001 - $100.000J -$15,000 or lessN =$250.0OI -P 3 =$25.000.001 - $50,000.000Q=AppraisalU =Book Value

B=$1,001 - $2.500G =$100.001 - $1.000,000K =$15.0OI - $50.000

R -~osl IRcal Estate Only1V =Other

C =$2.501 - $5.000I I I :$ 1.000.001 - $5.000.000L :150,001 -P4 =More lhan $50.000,00)W =Es f imaled

D =$ 5 . 0 0 1 - $ 1 5 . 0 0 01 1 2 ~ M o r e t h a n $ 5 . 0 0 0 . 0 0 0M = $ 1 0 0 . 0 0 1 - $ 2 5 0 . 0 0 0P2 =$ 5 . 0 0 0 . 0 0 1 - $ 2 5 . 0 0 0 . 0 0 0T ~h Markc~

E =SI5,001- $50.0~1


20/27


N a m e o f P e r so n R e p o r t in gSIRAGUSA, CHARLES J.

D a l e o f R e p o r t05/12/201 I

V I I . IN V E S T M E N T S a n d T R U S T S - income, value, transactions tlncludes those of sp ...... d depen den t ch i ldren; seepp . 34-60 o f f i l lng ins trac t ion~ )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 ts I n c o m e d u r in g( 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 di (0 (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 ro m p r i o r d i sc l o s u r e i Code I d i v . , r e n t ,i (A-It) o r i n t . )

G r o s s v a l u e a t e n dof re l~rt ing periodO) (2)V a l u e ValueC o d e 2 M e th o d

( J - P ) C o d e 3

272. MA KITA COR P A Di v i de nd J273 . MA RRIOT INTL (X) A Dividend274. MAI-IEL INC D E A Dividend J275. MCDERMOIq INTERNA TIONA L INC. N o n e J2 7 6 . M ER C K & C O I N C . A Di v i de nd J277. METTLER TO LEDO INTL INC N o n e27 8 . MICROSOFT CORP COMMON ST OCK A Di v i de nd J279. MITSUBISHI UFJ FINAN CIAL GROUPINC ADR (Y )2 8 0 . M O N S A N T O C O A Di v i de nd J2 8 1 . M O R G A N S T A N L E Y ( X ) A Di v i de nd J282. MU NICH RE GRO U P N o n e J283 . MU RA TA MFG A Di v i de nd J2 8 4 . M U R P H Y O I L C O R P A Dividend285. NA SDA Q OMX G ROU P INC. (Y)286 . NA TIONA L OILWELL VA RCO INC A Di v i de nd J2 8 7 . N E ST L E A S P O N S O R E D A D R A Di v i de nd J2 8 8 . N E W Y O R K C IT Y T R A N S IT I O N A L A Interest K

T r a n s a c t i o n s d u r i n g r e l ~ r t i n g p e r i o d(I) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, se l l , m m !d cl~ y Co de 2 Code I b uy e r/se ller


T Bu y 01/04/10 JSold 06/25/10 J

TTT

Sold 01/04/10 J(par t) A

Sold 01/04/10 J CT Sold 01/04/10 J A(par t)

T Bu y 01 /21 /10T Bu y 01/04/10(add l )T Bu y 09/10/10T Bu y 01/06/10

So ld 06 /02 /10

J

J

J

JJ

TTT

Sold 01104110 J(par t)Bu y 0 1 / 1 5 / 1 0 K

C

I . Income Gain Codes: A = $1.000 or less B = $ 1 ,0~1 - $2 .5 00 C = $ 2 ,5 01 - $ 5 .000 D -$ 5 .001 - $ 15 .000( See Columns BI and D4) F =$50,001 - $10O.000 G =$100.001 - $1,000.000 III =$1.000.001 - $5.000.000 112 = Mo r e t h an $ 5 .000.~0

2. Value Code* J =$15.1)00 or less K =$15.001 - $50.000 L = $ 5 0.0~ 1 - $ 100.000 M =$ 100.001 - $ 2 5 0.00)(See Columns CI and D31 N -$2 50.001 - $ 500.0~O O = $5 00.001 - $1 .000.000 P I = $ 1 ,000.001 - $ 5 .000.000 P2 = $ 5 .000.001 - $ 2 5.000.00)P3 =$25.000.001 - $50.000.000 P4 =Moee than

3 . Value Method C o d e s Q =Appraisal R =Cost IRcal Estate Only) S =Asscssm,.:nt T G a s h M a r k c l( See Column C2) U -Book Value V =Olher W + E st im a t ed

E =$15,001 - $50.000


21/27



D a t e o f R e p o r t05 /12 /2011

VII. INVESTMENTS and TRUSTS - i ...., va lue , transact ions ( Includes those of spouse and depen dent chi ldren; s e e p t ~ 3 4 - 6 0 of filing instructions.)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 in g( 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 dI (I) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t I j 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 Code I d i v . , r e n t ,i (A-H) o r i n t . )

Gross 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 dO) (2)Value Value

C o d e 2 M e th o d( J -P) C o d e 3( Q - W )

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(I) (2) (3) (4) (5 )

T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, se l l , m m ! d d ~ y Code 2 Co de I buyer /se l ler


2 8 9 . N E W Y O R K D O R M A Interest J T Bu y 03/25/10 J290. N E W Y O R K N Y F O R P R I O R I SS U ES291. N E W Y O R K S T D O R M A U T H R E V S A

N o n e K TInterest K T

Bu y 12/16/10 KBu y 1 0 1 / 0 8 / 1 0 K

292. N E W Y O R K S T E N V I R O N M E N T ALFACS CORP293. N E W Y O R K S T A T E T HR U W A Y294. N E W Y O R K S T U R B AN D E V C O R P

A Interest K TA Interest K T

N o n e K T

Bu y 01/07/10 KBu y 01/ 05 / 10 KBu y I 1 o / 1 3 / I O K

295. N E W S C O R P C L A SS B C O M M O NSTOC K296. NIPPON T E L & T E L SPON ADR

N o n eN o n e

Sold 01/ 04 / 10 JSold 01/ 04 / 10 J

2 9 7. N O B L E E N E R G Y I N C A Dividend J Bu y 06129110 J298. N O K IA CO R P SP O N SO R ED AD R N one Sold 01/04/10 J2 9 9. N O M U R A H O L D I N G S I N C A D R N o n e So l d 01/04/10 J3 0 0 . N O R T H R O P G R U M M A N C O R P A Di v i de nd J301 . NOVARTIS AG ADER COMMONSTOC K3 0 2 . N O V O - N O R D I S K A S A D R3 0 3 . N S K L T D

A D i v i dend

N o n e

A D i v i dend

JJ

J

T

T

T

Sold 01/ 04 / 10(part)Sold 01/ 04 / 10(par t)Bu y 01/ 04 / 10

JJ

J

AB

3 0 4 . N U C O R C O R P A Di v i de nd J3 0 5 . N V I D I A CO R P N o n e J

I, Income Gain Codes:1 5c Columns BI and D4)

2. Value CodeslSce Columns CI and

3. Value Method Cod~tSce Column C21

A =$ 1 . 0 0 0 o r l e s sF = $ 5 0 , 0 0 1 - $ 1 0 9 . 0 0 0lN - $ 2 5 0 , 0 0 1 -P3 =$ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 0 0 ,0 0 0Q = A p p r a is a lU = B o o k V a l u e

B=$1,001 - $2.500G =$100.001 - $ 1 . 0 0 0 . 0 0 0K =$15,001 - $50.0~OO = $ 5 0 0 . 0 0 1 -R :=Cost (Real Estate Only)V = O xh cr

C =$2.50 1 - $ 5 . 0 ~ 0III = $ I .00~,001 - $ 5 . 0 0 0 . 0 0 0L = $ 5 0 . 0 0 1 -PI =$1.000.~1 - $5.000,000P4 =More than $50.000.0~0S =AsscssmenlW = E st im a t ed

D =$ 5 . 0 0 1 - $ 1 5 . 0 0 01 1 2 = M o r e t h a n $ 5 . 0 0 0 , 0 0 0M = $ 1 0 0 . 0 0 1 - 5 2 5 0 . 0 ~ 0P2 =$ 5 . 0 0 0 . 0 0 1 - $ 2 5 . 0 0 0 . 0 0 0T = C a s h M a r k ~

E = $ 1 5 , 0 O I -


22/27



D a t e o f R e p o r ~05/12/201 I

N O N E ( N o reportable income, assets, or transactions.)A. B. D .

D e s c r i p ti o n o f A s s e ts I n c o m e d u r in g T r a n s a c t io n s d u r i n g r e p o t l in 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

( 1 ) ( 2 )I A m o u nt T y p ~ ( e . g . ,C o d e I d i v . , r e n t ,(A-II) or i n t . )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt f rom pr ior d isc losure

G r o s s 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)Value ValueC o d e 2 M e th o d

( J -P) C o d e 3

(1 )T y p e ( e . g . ,b u y , s e l l ,


(2) (3) (4) ( 5 )D a t e V a l u e Ga in I d e n t i ty o f

m m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e r( J -P) (A -H ) ( i f pr i va t e


306 . NY CIT Y MUNICPAL WT R (X)307. ONO NDAGA CNT Y N Y T R CULT URALR E S R E V3 0 8 . O R A C L E CO R P3 0 9. O R I X C O R P S P O N S A D R310 . PALL CORP COMMON STOCK311. PARK E R HANNIFIN CORP (X)312. PE PSCICO INC COMMO N ST OCK313. PE T ROBRAS314. PROCTER & GAMBLE CO COMMONSTOCK315, P U BLICIS GRO U P3 1 6. Q U AL CO M M IN C .317. REXAM PLC318. R I O T I N T O P L C - G B P319. ROCHE HLDG L T D SPON ADR320 . RO Y AL DUT CH SHE L L321 . SAFE WAY INC NE W322. SANDISK COPY COMMO N ST OCK

A Interest Sold 09/01/10 K BA Interest K T Bu y 01/07/10 K

N o n e J T Bu y 10/13/10 JN o n e Sold 01/ 04 / 10 J

A Di v i de nd J TA Dividend J TA Dividend J T Sold 01/ 04 / 10 J A(par t)

N o n e J T Sold 01/ 04 / 10 J B(part)A Di v i de nd J T Sold 01/ 04 / 10 J A(part)A Dividend J T Bu y 01/ 04 / 10 JA Di v i de nd Sold 01/04/10 i J A

N o n e J T Bu y 12 / 20/ 10 JN o n e Sold 01/ 04 / 10 J B

A Di v i de nd Sold 07/23/10 JA Di v i de nd J T Bu y 01/ 04 / 10 JA Di v i de nd J T

N o n e J T Sold 01/ 12 / 10 J A(part)

I . Income Gain Codes: A =$1,000 or less B = $ 1.0~1 - $2 ,5 00 C = $ 2 ,5 01 - $ 5 ,000 D =$5.001 - $15,000(See Columns B I and D4) F = $ 5 0 . 0 9 1 - $ 1 0 ~ ,O O O G =$100.001 - $1.000,000 HI =$1.000,001 - $5,000,000 112 =More than $5.000.000

2. Value Codes J = $ I 5 . 0 0 0 o r l e s s K =$I 5.001 - $50.000 L =SS0.001 - $1 00.000 M = $100. 001 - $2 5 0. ~(Se e C o lu mm C I a n d D3) N =$2 50.001 - $ 500.000 O =$ 5 00.001 - $1 .000.000 P I = $ 1 .0 0 0. ~3 1 - $5 .0 0 0, 00 0 P 2 = $ 5.0 0 0. 00 1 - $ 2 5. 0~ 0 .0 0 0

P3 =$25.000.001 , $50.000.000 P4 =More than $50.000.0(~03. Value Method Codes Q =Appraisal R : :Cost IRca] Estate Only) S =Ass.essmcn! 3 - =C~ h Mar kel( See Column C2) U = Bo o k V a l u e V = O~her W = Estim a ted

E =$15,0~1 - $50,000


23/27



D a t e o f R e p o r t05/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o r~ e , v a l. e . , ,a , ~ a ~ i o ~ a n c l~ d ~ 1 h o s e o /s p o ., e ~ n d a e p en a o n , c h il d r en ; se e 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.)

A. B. C. D.Description of Assets Incom e durin g Gro ss v alu e 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 " ( X ) " a f t e r e a c h a s s e t Amount T y p e ( e . g ., V alu e V a lue T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fexempt from prior disclosure I Code I d i v . , r e n t , Code 2 M e th o d buy, se l l , m m / d d ~ Code 2 Co de I bu y er/se lle r(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 eI ( Q -W) t r a n s a c t i o n )

323 . SA P A G SP ON S A DR - USD N o n e Sold 01/ 04 / 10 J A324. SCH LUMBERG ER LT D A Di v i de nd J T Bu y 01/ 04 / 10 J(add l )3 2 5 . S C H W A B C H A R L E S C O R P A Di v i de nd J T326 . SEA RS H OLDING CORP N o n e Sold 01/ 04 / 10 J327. SHIN ETSU CHEM CO A Di v i de nd J T Bu y 08 / 20/ 10 J32 8 . SHIRE PLC ADR N o n e Sold 01/ 04 / 10 J A329. SIEMENS A G A Di v i de nd J T Bu y 01/ 04 / 10 J330 . SMITH & NEP H EW P LC SP A DR A Di v i de nd Sold 01/ 04 / 10 J A331 . STATE STREET CORP COMMON A Dividend Sold 08 / 26/ 10 JSTOCK332 . SUMIT OMO ME T AL INDS L T D A Dividend J T Bu y 08 / 20/ 10 J3 3 3 . SU N C O R E N E R G Y I N C N E W N o n e Sold 01/ 04 / 10 J A334. SWISSCOM A G N o n e J T Bu y 07/13/10 J335. TAIWAN SEMICONDUCTOR MFG N o n e Sold 01/ 04 / 10 J AC OM M ON STOC K336 . TELEFONICA SA SP ON A DR N o n e J T Sold 01/ 04 / 10 J B(part)337. TELSTRA LTD A Di v i de nd J T Bu y 01/ 04 / 10 J3 3 8 . T E S CO P L C S P O N S A D R N o n e So ld 0 1 /0 4 /1 0 J B339. T E VA PHAR MACE UT ICAL INDS L T D A Di v i de nd J T Bu y 11/03/10 J

I . Income Gain Codes: A = $1.000 o r less B = $ 1,001 - $ 2 ,5 00 C =$2.501 - $5.000 D =$5.001 - $15.0(}0( Sc Columns B1 and D 4) F = $50.001 - $ 100.000 G = $ 100.001 - $1 .000.000 I ll =$1.000.00l - $5.0~0.000 112 =More Ihan $ 5.000.000

2. Value Codes l = SI 5 .000 o r le ss K = $ 15.001 - $ 50.000 L =$50.001 - $100.000 M =$109.001 - $250.000( Scc Columns CI and D3 ) N =$2 50.001 - $ 500.000 O =$ 5 00.001 - $1 .000.000 PI =$1.000.0OI - $5.000.009 P 2 = $ 5 . 0 0 0 . 0 0 1 - $ 2 5 . 0 ~ 0 . 0 O O

P3 =$25.000.001 - $50.0~0.0~0 P4 =More than3. V alu e Meth o d Co d es Q = Ap praisa l R =Cost (Rcal Eslatc Only) S =Assessment T =Cas h Mar ket( See Column C2) U = Bo o k V a l u e V = O t h e r W -Es t imated

E =$15.001 - $50.000


24/27


N a m e o f P e ~ o n R e p o r t in gSIRAGUSA, CHARLES J.

Date of R e p o r t05/12/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , ,. ,, ~ , ,e . ,, - ,, ~ , ,c t ~ o ,~ ~tncludes those of spouse and dependen, children; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.D e s c ~ p t i o n o f A s s e t s In c o m e d u r i n g G ro s s va l u e at 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 o r i o d

( i nc l ud i ng t rus t asse t s ) r e p o r t in g p ~ r i o d o f r e p o r t i n g p e r i o di (I) (2) (I) (2) (I) (2) (3) (4) (5 )Place "(X)" after each asset A m o u n t T y p ~ ( e . g . , V a l u e V a l u e T y p e (e.g., Da te V a l u e Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c l o s u re C o d e I di v . , ren t , Co d e 2 M e th o d b u y , se l l , m m / d d / 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) 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 i va t eI t r a n s a c t i o n )

340 . TEXAS INSTRUMENTS INC. COMMON A Di v i de nd J TSTOCK341 . TH ERMO FISHER SCIENTIFIC N o n e J T Bu y 06/ 10/ 10 J3 4 2 . T H K C O L T D A Di v i de nd J T Bu y 01/ 04 / 10 J3 4 3 . T O K Y O G A S C O L T D A Dividend J T Bu y 01/ 04 / 10 J344. TOT A L S.A . SP ON S A DR N o n e Sold 01/ 04 / 10 J A3 4 5 . T R E N D M I C R O I N C S P O N A D R A Di v i de nd So ld 0 1 /0 4 /1 0 .I A3 4 6 . T R I B O R O U G H B R D G A Interest K T Bu y 01/ 13/ 10 K347. T Y CO INT L L T D NE W COMMON A Di v i de nd J TSTOCK3 4 8 . T Y C O E L E C T R O N I CS A Dividend J T349. UBS AG (NEW ) N o n e Sold 01/ 04 / 10 J350 . UNIL E VE R PL OC SPONS ADR NE W A Di v i de nd J TCOMMON ST OCK351. UNIT E DHE ALT H GRO UP INC. A Dividend J T Sold 01/ 04 / 10 J AC OM M ON STOC K (part)352. UNIT E D OVE RSE AS BANK L T D SPON S N o n e Sold 01/ 04 / 10 J CAD R353 . U NITED STA TES STEEL COR P A Di v i de nd J T3 5 4 . U S B A N C O R P D E L N o n e J T Bu y 12/13/10 J355. VA RIA N SEMICONDU CTOR (X) N o n e So ld 01 /04/10 J A356. V E RT E X PHARMACE UT ICALS (Y)

I . Income Gain Codes: A = $1.000 or less B = $ 1,001 - $ 2 .5 00 C =I2.501 - $5.000 D =$5.001 - $15.000( Se e Co lu mn s B I a nd 1:) 4) F =$ 50 .0 01 - $ 10 0.0 00 G =$100,0Ol - II,000.000 I I I =$ 1.0~0.001 - $ 5 .000.000 112 =More than $5.000,000I Scc Columr ~ CI and D3 ) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 . 0 ( 3 0 O =1500.001 - $1,000.000 P I = 1 1.0 0 0. (3 0 1 - $5 .0 0 0.0 0 0 P 2 =$ 5 .0 0 0. 00 1 - $ 2 5. 00 0. 00 0

P3 =125,000.001 - $50.000,000 P4 =More Ihan3. Value Method Codes Q =Appraisal R =Cosl (Real Estate Only) S =Assessment Y =Cash Market( See Column C2) U = Bo o k V a l u e V = O t h e r W = E st im a t ed

E :115.001 - $50.1)00


25/27



D a t e o f R e p o r t05 /12 /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 - i .... e , value , t r . . . . t ions (Includes those of spouse a nd dependent children; see pp. 34-60 of f iling instructionsON 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 ts T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f ro m p r i o r d i sc l o s u r e

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 dr e p o r t i n g p e r i o d o f r e po rt i n g p e r 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 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 i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d d . / 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 )

35 7 . VISA INC CO M A Di v i de nd J T3 5 8 . V O D A F O N E C O M M O N S T O C K A Dividend J T

Bu y 05/06/10 J

359 . WA LMA RT DE MEXICO SA DE N o n e So ld 01 /04/103 6 0 . W E S F A R M E R S L T D A Dividend J T Bu y 02/16 /10361 . WE Y E RHAE USE R CO. COMMO N B Di v i de nd J TST OCK362 . WHEELOCK & CO N o n e J T Bu y 12/13/10363 . WILLIAMS SONO MA INC. N o n e So ld 01 /04/10

JJ

JJ

C

364 . WILLIS GROUP HLDGS N o n e J T Bu y 09/10/10365. YA HOO INC COMMON STOCK N o n e J T3 6 6 . Y U E Y U E N I N D L A Dividend .I T Bu y 01/041103 6 7 . A C C O U N T # 5 SEE PART VIII # 1368. - SMITH BA RNEY MO NEY MA RK ET A Di v i de nd K T369. -MIAMI-DADE CNTY FLA SCH DIST N o n e K TRFDG FSA370. - A LLEG H ENY CNT Y P A H OSP DEV N o n e K TAUTH REV UNIV PITTSBURGH MED

SEE PART V III # 3SEE PART V III # 3

1. In co m e Gain Co d es : A = $1.000 or less [3 =$ 1.001 - $ 2.500 C = $2.501 - $5.0(10 D = $ 5 .001 . $15 .000( See Columns BI and D4) F =$50.001 . $100.000 G =$100.001 - $1.000.000 III =$1.000.001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J =$15.0~O or less K =$15.001 - $50.000 L -$ 5 0.001 - $ 100.000 M = $100,001 - $2 50 ,1~0I s ec Columns CI and D3 1 N =$250.001 - $500.000 O $5 0 0 .0 0 1 - $1 .0 0 0 ,0 0 0 P I = $ 1. 00 0 .0 0 1 - $5 .1 ~ 0, 00 0 P 2 = $ 5.0 0 0, 00 1 - $2 5 .0 0 0.0 0 0

P3 =$25.000.001 - $50.0~0.000 P4 =More lhan $50,000.0~03. Value Method Codes Q =Appraisal R - ~ ? O S l I R e a l IL s t a te O n l y ) S = A ssessm en t T =Cas h Mar kcl( See Column C2) U = Bo o k V a l u e V = O th e r W = Estim ated

E = $ 1 5 . 0 ~ 1 - $ 5 0 . 0 0 0


26/27


N a m e o f P e r so n R e p o r t i n gSIRAGUSA, CHARLES J.

D a l e o f R e p o r t05 /12 /201 I

VIII. ADDITIONAL INFORMATION OR EX PLANATIONS. (lndicatepartofreport)I ) A S I R E P O R T E D I N M Y 2 0 0 9 F I N A N C IA L D I S CL O S U R E , D U R I N G C A L EN D A R Y E A R 2 0 0 9 , A L L M Y H O L D I N G S I N A C C O U N T # 3 W E R ET R A N S F E R R E D I N T O A C C O U N T# 5 . T H ER E F O R E , I H A V E R E N U M B E R E D M Y A C C O U N T S A S F O L L O W S : AC C O U N T # 4 I S N O W A C C O U N T # 3 ; A C C O U N T # 5 I S N O WA C CO U N T # 4 ; A N DA C CO U N T # 6 I S N O W A C O U N T # 5 .2 ) I N O C T O B E R O F 2 0 0 9 T H E N A M E O F T H I S H O L D I N G W A S C H A N G E D F R O M C I T I GR O U P D I V E R S I FI E D F U T U R E S T O T A C T I C A LD IV E RSIF IE D F U TU RE S.3 ) I I N A D V E R T E N T L Y F A I L ED T O R E P O R T O N M Y 2 0 0 9 F IN A N C I A L D IS C LO S U R E T H A T O N D E C E M BE R 2 3 , 2 0 0 9 , M O N I E S FR O M T H E B A N KD E P O S I T P R O G R A M W E R E U S E D T O P U R C H A S E T H E M U N I C IP A L B O N D S W H I CH A R E N O W R E P O R T E D I N T H I S A C CO U N T .


27/27



D a t e o f R e p o r t05/12/201 I

IX . CERTIFICATION.I cert ify that al l informat ion given above ( includ ing informat ion pertain ing to my spou se and minor or dependent chi ldren, if any) isaccurate , true , and complete to the bes t of my knowledge and bel ief, and that any inform at ion not reported was ~v ithheld because i t met ap pl icable s tatutoryprovis ions perm it t ing non-d isc losure .I furt her certify that earned income from ou tside emp loym ent and honoraria and the acceptance of gifts which hav e been reported are incomp liance with the p rovisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and J ud icial Conference regulations .

Signatur e: S[ CHARLES J. SIRAGUSA

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U LL Y F A L S IF I ES O R F A I LS T O F I LE 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 ILA ND CR IMINA L SANCT IONS (5 U .S.C. app. 104)

Comm ittee on Financial Disclosu reAdmin istrative Office of the United States Cour tsS u i te 2 - 3 0 1One Columbu s Circle, N.E.W ashington, D.C. 20544

Date post:	06-Apr-2018
Category:	Documents
Upload:	judicial-watch-inc
View:	214 times
Download:	0 times

Charles J Siragusa Financial Disclosure Report for 2010

Documents