Maryanne T Barry Financial Disclosure Report for 2010

8/3/2019 Maryanne T Barry Financial Disclosure Report for 2010

1/181

FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 20 10

Report Required by the Ethics

in Government Act of 1978

(5 U.S.C. app. 101-111)

1 . P e r s o n

Repo rt ing (las t name, fi rs t , middle ini t ial)

Bar r y , Mar yanne T.

4. Ti t l e (Ar t i c l e I I1 judges indica te act ive or senior s t a tus ;

magistrate judges indicate full- or part-time)

U.S. C ircui t Judge

7.

Chambers or O ffice Address

U S P O & C o u r th o u s e B l d g

N ew ar k , N J 0 7 10 1

2. Court or O rganizat ion

US Cour t o f A ppeals 3 r dCir c u i t

5a. Repor t Type (check appropr ia te type)

]

Nomination,

Da te

[] Initial

[] Annual [] Final

5b. [] Amended Report

8.

On the b as i s of the informat ion conta ined in th i s Repor t and any

modifications pertaining thereto, i t is, in my opinion, in compliance

with appl icab le laws and regulat ions.

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

9/1/2011

6. Repor t ing Per iod

01/01/2010

to

12/31/2010

Reviewing Off icer

Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no repo rtable informatiot~ Sign on last page.

I . P O S I T I O N S .

(Reporting individual only; seepp. 9-13 of filing instructions.)

[~]

NO NE

(No reportable positions.)

POSITION

I. Co - T ru s t e e

~ Trust #1

2. Co - T ru s t e e

~ Trust #2

3.

Co - T ru s t e e

~ Trust #3

4.

Co - T ru s t e e

~ Trust #6

5. Co - T ru s t e e Trust #7

6. Co - T ru s t e e ~ Trust # 19

7. Trustee

~ Trust #25

8. T ru s t e e

~ Trust #26

9. Trustee

Trust #28

1 0 . Trustee

~ Trust #29

1 1 . Trustee

Trust #30

NAME OF ORGANIZATION/ENTITY


2/181

FINANCIAL DISCLOSURE REPORT

Page 2 of 181

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

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

Date of Repor t

9/1/201 l

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of f ling instructions.)

N O N E

(No reportable agreements.)

DATE

PARTIES AND TERMS

I.

2.

3.


3/181


Page 3 of 181

N a m e o f P e r so n R e p o r t in g

Barry, Maryanne T.

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

9/I/2011

I l l . N O N - I N V E S T M E N T I N C O M E .

(Reporting individual and spouse; seepp. 17-24 of filing instructions.)

A. Filers Non-Investment Incom e

~

N

ONE

(No reportable non-investment income.)

DATE

SOURCE AND TYPE

2.

3.

4.

INCOME

(yo u r s , n o t sp o u se 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 reporting year, complete this section.

(Dollar amount not required except for honoraria.)

N O N E ( N o

reportable non-investment income.)

DATE SOURCE AND TYPE

1 .

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. 2 5-27 of f ling instructions.)

N O N E

(No reportable reimbursements.)

SOURCE DATES

LOCATION

1 .

2.

3.

4.

5.

PURPOSE ITEMS PAID OR PROVIDED


4/181


P ag e 4 o f 181

Name of Person Report ing


Date of Report

9/1/2011

V . G I F T S . a n c l u d e s t h o s e t o s p o u s e . n d dependent children; see

p p . 2 8 - 3 1

of f ling instructions.)

~

N O N E (No reportable gifts.)

SOURCE DESCRIPTION

1 .

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S .

a . e l n d e s t h o s e o l s p o u s e . .d

dependen t children; seepp. 32-33 of f l ing instructions.)

N O N E (No reportable liabilities.)

CREDITOR

DESCRIPTION

1 .

2.

3.

4.

5.

V A L U E C O D E


5/181


Page 5 of 181


Barry, Maryanne T.

Date of Report

9/I/2011

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

-

income , value,

transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

~

NONE

(No reportable incom e, assets, or transa ctions.)

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

( i nc luding t ru s t a s s e t s )

Place "(X)" after each asset

exempt from prio r d isc losure

B. C.

D.

(1) : (2)

Amount :Type (e.g.,

(1) (2) (I )

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

Value V a lu e Type (e.g. , D a t e Value Gain

Identity of

Code 1 buyer / se l l e r

(A-H)

(if private

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

1 .

Re n t a l P ro p e r t y # 2 B ro o k l yn , N Y

G

R e n t

J

U

2. Rental Property #16 Brooklyn, NY

B Rent J

U

3.

R ent a l P r ope r t y # 1 7 B r ook l y n , N Y

B Rent J

U

4. Re n t a l P ro p e r t y # 2 2 B ro o k l yn , N Y

D Rent J U

5. Renta l P r oper ty #11 Br ook lyn , N Y

A

Rent

L U

6. Renta l P r oper ty #10 Br ook lyn , N Y

A

Rent J U

7. Trust #6 - Li s t o f A sse t s

8. - C A P IT A L 1 N C O M E B U I L D E R I N C

9.

- T E M N Y F U N D O F A M E R I C A

D i v i d e n d P 1 T

Sold

(part)

Closed

0 3 /15 /10

1 0 . - A M E R I C A N F UN D S M O N E Y M A R K E T

F UND F 2

O p e n

1 1 .

C l o s e d

1 2 .

- S SG A U S G O V M O N E Y M A R K E T

FUND

13. ~Trust #7 - List of assets:

1 4 . - C A S H J P M O R G A N C H A S E

B

I n t e r e s t

P 1

Open

1 5 .

~ Trust #15 - List of assets:

1 6 .

- C A S H - JP M O R G A N T A X F R E E

M O N E Y M A R K E T

1 7 . - JP M O R G A N M I D C A P V A L U E FU N D

D

I n t e r e s t

N

1: lncomc Gain Codes:

A =$I ,000 o r Ic s s B =$1 ;001 - $2,500

C =$2,501 - $5,000

(See Co lumn s B 1 an d D 4)

F =$50,001 - $100,000

G =$ 100~ 001 - $ 1 i000,000 H 1 =$ i ,00 0,0 01 - $ 5,0 00;0 00

2. Value Codes

J -$15 , 0 0 0 or l ess

K -$15,001 - $50;000 L =$50;001 - $ 100,000

(S ee Co lu mn s C I a nd D 3) N $2 50 ,0 01 - $5 00 ,0 00

O = $50 0 , 0 0 1-$1, 0 0 0 , 0 0 0 PI =$ t,000,001 - $5i000,000

P3 =$25,000,001 - $50,000,000 P4 =M o re than $50,000,000

3. Value Method Codes

Q -Appraisal

R =Co s t (Rea l Es ta te On ly)

S =Asse ssmen t

(See Col um n C2)

U =B o o k Va lue

V - O t h e r

W =E s t ima ted

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

H2 --More than $5,000,000

M =$ 100,001 - $250,000

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

T = Cash Mark e t


6/181


Page 6 of 181


Barry, Maryanne T.

Date of Report

9/1/2011

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 l a e , transactions (Includes those of spouse and depe ndent children; see pp. 34-60 of f l ing instructions.)

D

NONE

( N o reportable income, assets, or transactions.)

Descrip t ion o f Asse ts

Income dur ing

(including trust assets)

reporting period

(1 ) (2 )

Place "(X)" after each asset A m o u n t T yp e ( e .g ..

Gross value at end Transactions during reporting perio6

of reporting period

( 1 ) ( 2 ) ( 1 )

(2)

(3) (4)

(5)

Value V a lu e Type (e.g., D ate Value Gain.

Identity of


(A-H)

: . ( if pr ivate

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

1 8 . - JP M O R G A N T A X A W A R E U S E Q U I T Y

F U N D

1 9 .

- JP M O R G A N I N T R E P I D A M E R I C A

F U N D

20 .

- JP M O R G A N S M A L L C A P C O R E F U N D

21 .

22 .

23 .

24 .

25 .

- JP M O R G A N T A X A W A R E R E A L

R E T U R N F U N D

- JP M O R G A N M U N I C I P A L I N C O M E

FUND

- M A T T H E W S P A C I F IC T I G E R F U N D

- H I G H B R I D G E S T A T I S T I C A L M A R K E T

N E U T R A L F U N D

Sold

05/12/10

B u y

07/02/10

(a dd l )

Sold

07/02/10

( p a r t )

S o l d 11/29/I0

J

J

J

J

A

26 .

- D O D G E & C O X I N T L S T O C K

27 .

- JP M O R G A N A S I A E Q U I T Y F U N D

S o ld 07/02 /1 0

J

(part)

S o ld 02 /04 /1 0 J

2 8 . o J P M O R G A N I N T R E P I D I N T L F U N D

S o l d

04/26/10 K

29 .

- E A T O N V A N C E S P L 1 N V T

30 .

S o l d 09/13/10

J

A

(part)

S o l d

09/29/I 0

J B

31 . - F M I F D S I N C

32 .

- J PM O R G A N U S L A R G E C A P C O R E

PLUS FUND

33 .

- M A N N I N G & N A P I E R F U N D I N C

34 . - T H E O S T E R W E I S FU N D

B uy

0 7 /0 2 /10

( add l )

1: Income Gain C0des A =$];000 or les~

B = $1, 0 0 1-$2, 50 0


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

2. Value Codes

J = $15,000 o r le ss K =$15 ,001 - $50,000

(See Col um ns C I and D3 )

N =$250,001 - $500,000 O =$500,001 - $ t,000 ,000

P3 =$25,000,00I - $50,000,000

3. Value M etho d Co des Q =A ppraisal R =Cost (R eal E state O n ly)

(Sec Col um n C2)

U =B o o k Va lue

V = O t her

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

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

m = $ 1 , o o o , o o ~ , $ 5 , o 0 o ,o 0 0

~ a 2 2 ~ ~ a n $ 5 , o 0 o ~ o o o . . ..

L = $ 5 0 ~ 0 0 1 = $ 1 0 0 , 0 0 0

M - - $ l O 0 ~ O O ~ $ 2 50 , 00 0

PI =$1,000,001 , $5,000,000 P 2 =$5 ~0 0 0 ; 0 0 1 - $25 , 0 0 0 , 0 0 0

P4 = Mo re t h a n $ 5 0 , 0 0 0 ; 0 0 0

S = A s s es s m e n t

T--Cash Maek~i

W = E s t im a t e d


7/181


Page 7 of 181


Barry, Maryanne T.

Date of Report

9/1/2011


- n c o m e , v a lu e , transactions (Includes those of spouse a nd depend ent children; see pp. 34-60 of f iling 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 ts

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


exempt from prior disclosure

B . C. D.

Incom e du ring Gross value at end

Fransactions during reporting period

A m o u n t T yp e ( e .g ., Value Value

T y p e ( e . g .,

D a t e

Value

( Q - W )

(5)

G a i n

Identity of

Code I

buyer/seller

( A - H )

( i f p r i v a t e


35 .

36 .

37 .

- A R T I O I N T L E Q U I T Y I I B uy

04/26/10

J

( add l )

Sold

0 7 /0 2 /10 K

- J P M O R G A N I N T L C U R R E N C Y

38 .

39 .

40 .

41 .

42 .

43 .

44 .

45.

46 .

47 .

48 .

49 .

50 .

51 .

- P A Y D E N H I G H I N C O M E F D

- J P M O R G A N S T R A T E G I C I N C O M E

-ARTISAN IN TL VALUE FUN D - 1N V

- H I G H B R I D G E D Y N A M I C

C O M M O D I T I E S

- D R E Y F U S /L A U R E L F D S

- E A T O N V A N C E M U T F D S - F LT R T

- E A T O N V A N C E M U T F D S - G L O B A L

M A C R O - 1

- M K T N E U T R L S E L

- A B E R D E E N A S I A P A C I F IC E X J A P A N

- V A NG U A R D E M E R G I N G M A R K E T

B uy 02/24/10

(add l )

B uy 0 9/29 /10

( add l )

B uy

02/24/10

(add l )

B uy 0 4/26 /10

B uy 05/12/10

B uy

05 /12 / t0

B uy 0 5 /12 /10

B uy

09/29/10

(add l )

B uy

05/12/10

B uy

0 7 /0 2 /10

B uy

02/04/10

Bu y

07/02/10

(add l )

Bu y

09/15/10

Bu y

0 2 / 2 4 / 1 0

( add l )

J

J

J

J

J

J

J

J

J

J

J

J

J

J

i . l nc0 nl e G ai n Codes :

( S e e C o l u m n s B I a n d D 4 )

2. Value Codes

(See Col um ns CI and D3 )

3.Value Me tho d Co d es

(See Col unm C2)

A aS1,000 or less B =$1,001 ~ $2;500 ;

C--$2, 50 1 = $5 , 0 0 0

D =$5 ,001 - $15 ,000

F =$50,001 - $100,000 G =$I00,001 - $1 ,000,000 H 1 =$1,000;001, $5 ;000,000

H2 =M0re than $~000~000

J = $15,000 o r le ss K =$15 ,001 - $50,000

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

N =$25 0,00I - $5 00,000 O =$500,001 - $1,000,000 PI =$1,000,001 ~ $5i0001000

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

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

Q =Appraisal


S =Asse ssmen t

T = Cash Mark e t

U =B o o k Va lue

V = O t her

W = E s t i m a t e d

E =$15,001 - $50,000


8/181


Page 8 of 181

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

Barry, Maryanne T.

Date of Report

9/1/2011


i n c o m e , v a lu e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

N O N E


A.

B.

C.

Description of Assets Income dur ing

Gross va lue a t end

(inc lud ing trust assets) reporting period of reporting period

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


(1) (2) (1 ) (2) (3) (4)

(5 )

V a lu e V a lu e

Type (e.g., D a t e

Value

G a i n

I d e n t i t y o f

Code I

div. rent,

Code :2

M e t h o d

buy, se l l ,

m r n / d d / y y

C o d e 2

C o d e 1

buyer / se l l e r

( A - H )

o r in t.) (J- P )

~ode 3

r e d e m p t i o n )

(J-P)

( A - H )

( i f p r iva te

( Q - W )

t r a ns a c t ion)

52 .

53 .

54 .

55 .

56 .

- JP M O R G A N R E S E A R C H M A R K E T

N E U T R A L

- A R B I T R A G E F U N D S

Trust #16 - Lis t of assets :

- C A S H - J P M O R G A N T A X F R E E

M O N E Y M A R K E T

- J PM O R G A N M I D C A P V A L U E F U N D

C

Int./Div.

M

Bu y

11/29/10

Bu y

11/29/10

T

J

J

57 .

- JP M O R G A N T A X A W A R E U S E Q U I T Y

FUND

58. -

J PM O R G A N I N T R E P ID A M E R I C A

FUND

59 .

- JP M O R G A N S M A L L C A P C O R E

60 .

61 .

62 .

63 .

64 .


R E T U R N F U N D

- J P M O R G A N M U N I C I PA L I N C O M E

F U N D

- M A T T H E W S P A C I FI C T IG E R F U N D

- H I G H B R I D G E S T A T I S T IC A L

S o ld

05/12/ I 0 J A

(part)

B u y

07/02/10

J

(a dd l )

S o ld

07/02/I 0 J

(par t )

S o ld 1/29/10 J

65 . r D O D G E & C O X I N T L S T O C K

66 .

- JP M O R G A N A S I A E Q U I T Y F U N D

S o ld

07/02/10

(part)

S o ld 02/04/10

J

J

67 .

- J PM O R G A N I N T R E P I D I N T L F UN D

Sold

04/26/10 J

68 .

- M A N N I N G & N A P I E R F U N D

l . In co m e Ga in Co d~ s: : A =$1,000 or less

B =$1~ 001 : $2 ,5 00

(See Co lumn s B I an d I )4 ) F =$50,001 - $100;000 G =$100,001 - $1,000,000

2 . Va lue Co des J = $15 ,000 or less

K =$15,001 - $50,000

(See Co lun ms C I an d D 3)

N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - 5 0 , 0 0 0 , 0 0 0


Q = A ppr a i s a l


(See Co lumn C2)

U =B o o k Va lue

V = O t h e r

C =$2,501 - $5,000

H l =$1,000,001 - $5,000,000

L =$50,001 - $100,000

P I =$1,000,001 - $5~000;000

P 4 =Mo re than 5 0 , 0 0 0 ~ 0 0 0

S =Asse ssmen t

W =E s t ima ted

D = $5,0 0 1 - $15 ,0 0 0

H2 =More than $5,000,000

M =$ 100,001 - $250,000

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

T =Cash Marke t

E = $ 1 5 , 0 01 - $ 5 0, 0 00


9/181


Page 9 of 181


Barry, Maryanne T.


9/1/201 l


- income~ value, transactions (Includes those o f spouse and depenaent children; see pp. 34-60 of filing instructions.)

~ (No reportable incom e, assets, or transactions.)

O N E

A.

B. C.

D.

Description of Assets

Incom e during G ross va lue at end

Transactions during reporting period

(inc lud ing trust assets) reporting period

of reporting period

(1) (2)

(1) ~2~

(l ~ (2) (3) , (4) (5 )

Place "(x )" after each asset A m ount

T y p e I e . g -,

Value

V a L u e

Type (e.g., D ate Value Gain :

Identity of


C o d e 1

"div., rent,

Code 2

Method

buy, sell ,

m m /d d/y y C od e 2


(A-H)

o r in t . ) ( J - P ) Code 3

redemption)

(J-P) (A-H)

(if private

(Q - W )


69 .

- JP M O R G A N U S L A R G E C A P C O R E

PLUS F UND

70 . - E A T O N V A N C E S P L IN V

71. -FM I FD S 1N C

Sold 0 9/13 /10

(part)

72 . - T H E O S T E R W E I S FU N D

73 .

-AR TIO 1 NT L EQUITY II

74 .

75 .

76 .

77 .

78 .

79 .

80 .

81 .

82 .

83 .

84 .

85 .

B u y

07/02/10

(a dd l )

B u y

04/26/10

(a dd l )

Sold 07/02/10

J

J

J

- J P M O R G A N I N T L C U R R E N C Y

- P A YD E N H I G H I N C O M E F D

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

- A R T I S A N 1 N T L V A L U E F U N D - I N V

B u y 02/24/10

(a dd l )

B u y

09/29/10

(a dd l )

B u y 02/24/10

(a dd l )

B u y

0 4 /2 6 / I0

J

J

J

J

- H I G H B R I D G E D Y N A M I C


-DREYFUS/LAUREL FDS

B u y

05/12/10

J

B u y 05/12/10

J

- E A T O N V A N C E M U T F D S F L T R T

B u y

05/12/10 J

- E A T O N V A N C E M U T F D S - G L O B A L

M A C R O

- M A R K E T N E U T R A L SE L

Bu y 09/29/10

(addl)

Bu y

05/12/10

Bu y

07/02/10

J

J

J

(See Col um ns BI and I M)

F =$50,001 - $100,000

2 . Va lue Co des J = $15 ,000 or tess

(See Co lumn s C I an d D 3) N =$250,001 - $500,000

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


Q = A ppr a i s a l

(See Co lumn C2)

U =B o o k Va lue

B=$1,001 - $2,500

G

=$100,001 - $1,000,000

K=$15,001 - $50,000

O

=$500,001- $ I ;000,000


V = O t h e r

C =$2,501 - $5,000

H 1 =$1,000,00 - $5,000,000

L =$50;001 - $100,000

PI =$1,000,001 - $5,000,000

P4 -More than $50,000,000

S =Asse ssmen t

W =E s t ima ted

D = $5,0 0 1 - $15 ,0 0 0

H2 = M or e t h an $5 ,0 0 0 ;0 0 0

M -$100,001 - $250,000

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

T =Cash Marke t

E =$15,001 - $ 50,000


10/181


Page 10 of 181


Barry, Maryanne T.

Date of Report

9/1/2011

V I I . I N V E S T M E N T S

a n d T R U STS - - in co me , value, transactions (Includes those of spouse and d e p e n d e n t children; see pp. 34-60 of filing instructions.)

~

NONE

(No reportable income, assets, or tramactions.)


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

( in c lud in g tru s t a s s e ts ) r e p o r t in g p e rio d

(1) (2)

Place "(X)" atier each asset

Amount

Type (e.g.,


C o d e 1

div . , r en t ,

( A - H )

or in t . )

G ro s s v a lu e a t en d T ran sa c tio n s d u rin g re p o r tin g p e r io d

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

(1) (2)

(l)

(2) (3) (4)

(5)

V a l u e

V a l u e

Type (e.g., D a t e

V a l u e

G ai n Identity of

C o d e 2 M eth o d b u y , s e ll , mm/dd/yy C o d e 2

C o d e 1

buye 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 p r iva te

( Q - W )

t r a ns a c t ion)

86 .

-ABERDEEN ASIA PACIFIC EX JAPAN

B uy

02/04/10 J

87.

88. - V A N G U A R D E M E R G I N G M A R K E T

B u y

07/02/10

(a dd l )

B u y

09/15/10

J

J

89. -JPMORGAN RESEARCH MARK ET

NEUTRAL

90 .

-ARBITRAGE FUNDS

B uy

11/29/10

J

B uy 11/30/10 J

91 . ~ Trust 17 - List of assets:

E Int./Div.

P1

T

92.

- Cash JPMorgan Tax Free Money Market

9 3. - JPM o rg an T ax Awa re US E qui ty F und

94 .

- J PM O R G A N M I D C A P V A L U E F U N D

95 .

-

J PM O R G A N I N T R E P ID A M E R I C A

FUND

96 .

- JP M O R G A N S M A L L C A P C O R E F U N D

97.

98 .

99 .


R E T U R N F U N D

- J P M O R G A N M U N I C IP A L I N C O M E

FUND

- M A T T H E W S P A C I FI C T IG E R F U N D

100.

- H I G H B R I D G E S T A T IS T IC A L M A R K E T

N E U T R A L FU N D

101.

Sold

0 5 /12 /10

M

(part)

B uy 0 7 /22 /10

K

( add l )

Sold 0 7 /0 2 /10 J

(part)

Sold

11/29/10

K

1 0 2 . - D O D G E & C O X 1 N T L S TO C K

Sold 07/02/10 K

(part)

(S ee Co lu mn s B 1 a nd D4 ) F = $5 0,0 01 - $ 10 0,0 00

2. Value Codes

J =$15,000 or less

(See Co lumn s C I an d D 3) N =$250,001 - $500,000

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


Q = A ppr a i s a l

(See Co lumn C2)

U =B o o k Va lue

B =$1,001 - $2,500

G -$100,001 - $1,000,000

K $15 . 001 - $5 0 ,000

O =$500.001 - $ 1,000,000


V = O t h e r

C =$2,501 - $5,000

HI =$1,000,001 = $5;000~000

L = $ 5 0 ; 0 0 1 + $ 1 0 0 ~ 0 0 0

PI =$1,000,001 ~ $5i000~000

P4 :More than $50i000,000

S =Asse ssmen t

W =E s t ima ted

D =$5 ,001 - $15 ,000

H2 = M or e t h an $5 ,0 0 0 ~0 0 0

M = $10 0 ~0 0 1 - $250 ,0 00

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

T =Cash Marke t

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


11/181


Page 11 of 181


Barry, Maryanne T.

Date of Report

9/1/2011

V I I . I N V E S T M E N T S

a nd T R U S T S - i . c o m e , value, transactions, Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

[]

(No reportable incom e, assets, or transa ctions.)

O N E





B . C.

D.

Incom e during Gross valu e at en d


reporting period

of reporting period

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

(1 ) (2) (3) I (4)

(5)

Amount

Type (e.g.,

Value V a lu e

Type (e.g., D ate Value

Gain

Identity of

Code 1

div., rent, Code 2

Method buy, se l l ,

mm/dd/yy

Code 2 Code 1

buyer / se l l e r

(A - H )

o r i n t . ) (J-P) Code 3

redemption)

( J - P ) :

(A -H ) (if private

(Q - W )


103. - J PM O R G A N A S I A E Q U I T Y F U N D

Sold 02/04/10 K

1 0 4 . - J P M O R G A N I N T R E P I D I N T L F U N D Sold 04/27/10 L

1 0 5 . - I SH A R E S R U S S E L L M I D C A P I N D E X

1 0 6 . - E A T O N V A N C E S P L IN V

107.

Sold 09/13/10 K

(part)

Sold 09/29/10 J

C

B

1 0 8 . - FM I F D S I N C

109. - JP M O R G A N U S L A R G E C A P C O R E

1 1 0 . - M A N N I N G & N A P I E R F U N D S

I11.

112.

113.

114.

- T H E O S T E R W E I S FU N D

-ARTIO IN TL EQ UITY I I

Bu y 07/02/10

(add l )

B uy

04/27/10

(add l )

So ld 07/02 /1 0

K

K

L

- JP M O R G A N 1 N T L C U R R E N C Y

1 1 5 . - P A Y D E N H I G H I N C O M E F D

116.

1 1 7 . - JP M O R G A N S T R A T E G I C I N C O M E

1 1 8 . - A B E R D E E N A S I A P A C I FI C E X J A P A N

Bu y

02/24/10

K

( add l )

Bu y

0 9/29 /10

K

( add l )

Bu y

02/24/10 K

( add l )

Bu y

02/04/10

K

119. Bu y 07/02/10 K

( add l )

1. lnconle Gain Codes:

A =$1,000 or less

( Se e C ol um ns B 1 an d D 4) F = $5 0,0 01 - $ 10 0,0 00

2 . V alue Co d es J = $15,000 o r le ss

(See Col um ns C1 and D3 )

N =$250,001 - $500,000

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


Q =Appraisal

(See Col um n C2)

U =B o o k Va lue

B - - $ 1 ; o o l ~ $ 2 ; 5 0 0

= $ i 0 0 , 0 0 i : $ 1 , 0 0 0 , 0 0 0

= $ 1 5 , 0 0 t

-

$ 5 0 , 0 0 0

= 5 o o , o o i- 1 , 0 0 0 , 0 0 o

=Co s t (Rea l Es ta te On ly)

=Othe r

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

H 1 =$1,000100t- $5,000~000

L =S50,00I- $100,000

P l = $ ~ , o o o , o o ~ - $ 5 ; o o o ; o o o

P4 =More than $50,000,000

S =Asse ssmen t

W =E s t ima ted

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

n2=Morethart$5~O00;O00

1

M=$100,O01 - $25 0,000

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


12/181


Page 12 of 181


Barry, Maryanne T.


9/1/2011


i .c o m e , value transactions (Includes those of spouse nd dependent children; see pp. 34-60 of f iling instructions.)

[]

NONE




( 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)

Place "(X )" after each asset A m ount

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 . )

Gross value at end Transactions du:ring reporting period

of reporting period .....

(1) (2) (1) . . . . . . ..

(2) (3) (4)

(5 )

Value V a lu e

Type (e,g:,

D a t e V a l u e Gain Identity of

Code 2 M ethod

b u y , se l l

mm/dd/yy

C od~ 2 Code 1

b u yer / s e l le r

( J - P )

Code 3

redemption) ( J - P ) ( A :H ) (iprivate

(Q - W )

transaction)

1 2 0 . - A R T I S A N I N T L V A L U E F U N D

Bu y

04/27/I 0 L

121. - H I G H B R I D G E D Y N A M I C


122.

1 2 3 . - D R E Y F U S / L A U R E L F D S

B uy 05/12/10 K

Sold

12/15/10

( p a r t )

Buy 05/12/10 K

1 2 4 . - E A T O N V A N C E M U T F D S F L T R T

Bu y 05/12/10 J

125.

126.

- E A T O N V A N C E M U T F D S - G LO B A L

M A C R O

127.

- V A NG U A R D E M E R G I N G M A R K E T

Buy 09/29/10

J

(a dd l )

B u y 05/12/I 0

J

B u y

09/15/10

K

1 2 8 . -G S G O L D C P N N O T E 1 0 /7 /1 1

B u y

10/08/I 0 K

129. - JP M O R G A N R E S E A R C H M A R K E T

N E U T R A L

130.

1 3 1 . - A R B IT R A G E F U N D S

132. ~ Trust #1 - List of assets:

1 3 3 . - B o n d F u n d o f A m e r i c a I n c

134.

D i v i d e n d

N

B uy 0 7 /0 2 /10

K

B uy 11/29/10

K

( add l )

B uy

11/29/101

J

T

So ld 02 /2 4 /1 0

J

(part)

Sold 04/12/10 N

A

F

135. -Capi ta l Core Bond Fund

Buy 04/13/I 0 N

13 6 . -Amer ic an Funds Money Mar k et Fund F2

Closed

1. Income Gain C0des:

A ~$1;000 br leS~ B =$1 ,001 - $2 ,5 00

(See Col um ns B I and D4)

F =$50,001 - $100,000

13 =$100,001 - $1 ,000,000


K =$15,001 - $50,000


N =$250,001 - $500,000

O =$5 00,00I - $1 ,000,000

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

3. Value M etho d Co des Q =A ppraisal R =Co st (R eal E state O n ly)

(See Col um n C2)

U = Book Val ue

V = O t her

C = $ 2 ;5 0 1 - $ 5 ,0 0 0 D = $ 5 ,0 0 1 - $ 1 5 ,0 0 0 E = $ 1 5 ,0 0 1 - $ 5 0 ,0 0 0

HI =$1,000,001 - $5i000,000 H2 =-More than $5;000 000

L - - $ 5 0 ;0 0 ~ ~ $ 1 o o io o o M = S 1 0 0 , 0 0 ~ , $ 25 o l o o o

PI =$I,000,001 ~ $5,000;000 P2 =$5,000;001 ~ $2 5,000,000

P4 =More than $50,0001000

S =Asse ssmen t

T - -Cash Mark e t

W =Estiniated


13/181


Page 13 of 181


Barry, Maryanne T.


9/1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ,c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f ling instructions.)

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


( inc lud ing t rus t a s se t s )


exempt from prio r d isc losure

B .

C.

D.

Income dur ing

Gross value at end

Fransactions during reporting period

reporting period

of reporting period

( 1 ) ( 2 ) (1) (2) " (1) (2) (3) (4) (5 )

A m o u n t

Type (e.g.,

Value V a lu e Type (e.g. , Date V a l u e

Gain

Identity of

Code 1

div., rent, Code 2

Method

buy, sel l , : .m m /d d /yy Code 2

Code 1

buyer/seller

(A - H )

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

C ode 3 - redem ption) (J-P) (A -H )

(if private

(Q - W )


137. - SSGA US Gov M oney Market Fund

138. ~Trust 2 - List of assets: D i v i d e n d O

O p e n

1 3 9 . - B o n d F u n d o f A m e r i c a I n c

140. Dividend

Sold 02/24/10 K

( p a r t )

Sold 04/12/10 O

A

F

1 4 1 . - C a p i t a l C o r e B o n d F u n d

B uy

04/13/10 O

142 . -Amer ic an Funds Money Mar k et Fund F2

Closed

143.

- SS G A U S G O V M O N E Y M A R K E T

FUND

144. ~ Trust #3 - List of assets:

I n t e r e s t K

T

O p e n

145. -CASH JP M ORGAN CHASE

1 4 6 . C A S H J P M O R G A N C H A S E

C

Interes t O

T

1 4 7 . C A P I T A L G U A R D I A N :

1 4 8 . -U n i l e v e r

A

D i v i d e n d

Sold

02/ t0/10

J

(part)

149.

So ld 02 /1 8/1 0 K

(part)

150. Sold

0 2/19 /10 J

(part)

151.

Sold 0 2/19 /10 J

A

1 5 2 . -U n i le v e r N V N Y B

D i v i d e n d Sold

08/11/10 J

(part)

153.

Sold 08/11/10 K

(pan)

A

i l ne~m e G ~i f i Cbdes :

A =Sl,000 or less

B ~ $ i;0 0 L $~ i5 00 c =s2 ,501 : $5 ;000 D = $5 ,00 1-$1 5 ,000

( S e e C o l u m n s B I a n d D 4 ) F =$50,001 - $100,000 G =$100,001 = $1,000,000

H I =$ 1, 00 0, 00 1 4 $5 ,0 00 ,0 00 H 2 =M o re th an $5 ,0 00 ,0 00

2. Vatue Codes

J = $15 , 0 0 0 or l ess

K =$15i001 :$50;000 ..... .. L 9550i001 i $100,000

M =$100,001 - $25 0;000


N =$250,001 - $500,000 O =$500,001 - $1,000,000 P i = $ 11 0 00 ,0 01 2 $ 5 ,0 00 ,0 00 P 2 = $ 5; 00 0, 00 1 - $ 2 5, 00 0, 00 0

P3 =$25,000,00 - $50,000,000

P4 =More than $50,000,000

3. Va lue Me tho d Co d es

Q =Appraisal


S =Asscssmen t

T - -Cash Mark e t

(Sec Col unm C2)

U =B o o k Va lue

V = O t her

W =E s t ima ted

E =$15,001 - $50,000


14/181


Page 14 of 181


Barry, Maryanne T.


9/1/2011


-income,

value,

transactions (Includes those of spouse and dependent ehildren; see pp. 34-60 of filing instructions.)


A.

B.

C. D.



G ro ss v a lu e a t e n d T ra n s ac tio n s d u r in g re p o r tin g p e r io d

l i nc luding t ru s t a s s e t s )

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


~l) (2) (1) (2) (13 (2) (3) (4)

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

V a l ue

Ga in


Code t

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

buy, sell, .... mm/dd/yy C o d e 2

C o d e 1

( A - H )

or in t . )

( J - P )

C o d e 3

r e d e m p t i o n )

(J-P) ( A - H )

( Q -W )

(5 )

Identity of

buyeffseller

(ifpfivam

W a n s a c t i o n )

154.

155.

156.

Sold 08/12/10 K

C

(part)

Sold 08/13/10

K

D

( p a r t )

Sold

08/16/10

J

B

1 5 7 . -S u n c o r E n e r g y I n c ( Y )

Dividend Sold

04/27/10 J

(part)

158. -Sun Hu ng Kai Prop (Y)

A Dividend

159 . -Nes t l e SA (Y)

C Dividend

1 6 0 . -H o l c i m L T D ( Y )

161.

162.

1 6 3 . -C R H P L C ( Y )

164.

165.

166.

1 6 7 . -R i c he m o n t C i e F i n (Y )

Dividend

C Dividend

A Dividend

Sold

01/08/10

K

D

( p a r t )

Sold 01/08/10 J A

(part)

Buy

06/22/10

J

( add l )

Sold

0 9 / 22 / 1 0 J

(part)

Sold 09/22/I 0 K

(part)

Sold 09/23/10 J

(part)

Sold 09/23/10 K

(part)

1 6 8 . -S a m s u n g E l e c G d s ( Y )

B

Dividend

1 6 9 . -B o u y g u e s ( Y ) C

D i v i d e n d

170. -LAi r Liqu ide (Y)

B

D i v i d e n d Sold 04/14/10 K

(part)

1. Income Gain Codes: : A ~ $i;000 o r tes~ B =$ i$001 : $2i500

(See Col um ns BI and D4)

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

2. Value Codes

J =$15;000 o r less K =$15 ,00i - $50 ,000

(See Col um ns C I and D3 ) N =$250,001 - $500;000

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

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

3. Value M e th o d Co des Q =A ppraisal R =Cost (R eal E state O n ly)

(See Col um n C2)

U = Book Val ue

V = O t her

C =$2~501 - $5,000

H 1 = $ i ;0 0 0 1 b 0 1 - $ 5 , 0 0 0 1 0 0 0

L = 5 0 ; 0 0 1 - {

00,000

P 1 =$1,000,001 - $ 5,000,000

P4 =More than $50,000,000

S =Asse ssmen t

W =E s t ima ted

D= $5, 0 0 1- $15 , 0 0 0

H2 =M ere than $5 ,000,000

M: $ t00 ,001 - $250.000

P 2=$5 ,000,001 - $25 ,000,000

T - C a s h M a r k e t

E -$15,001- $50,000


15/181


Page 15 of 181


Barry, Maryanne T.

Date of Report

9/1/2011


- income,

v a l u e ,

t ransact ions (Includes those of spouse an d dependent chi ldren; see pp . 34-60 of f l ing instruct ions.)

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

A.

B.

C.




reporting period of reporting period

(1 ) (2 ) (1) 12)


A mount T ype (e.g.,

Value Value


Code 1

dip., rent,

Code 2

Method

(A - H )

o r i n t . ) ( J - P ) Code 3

(Q - W )

Transact ons during reporting period

(1 ) (2) (3) (4) (5 )

Type (e.g.,

D a t e

Val u e

Gain

I d e n t i , t y o f

buy, se l l ,


Code 1 buyer/seller

redemption)

(J-P) (A -H )

( i f p r i v a t e

transaction)

171. - H S B C H l d g s (Y )

1 7 2 . - L I & F u n g ( Y )

1 7 3 . - R E C K I T T B E N C K I S E R ( Y )

1 7 4 . - A M E R I C A M O V I L (Y )

1 7 5 . - S T A N D A R D C H A R T E R E D ( Y )

1 7 6 . - E S S IL O R I N T L ( Y )

- K O N I N K L I JK E K P N N V ( Y )77.

178.

1 7 9 . - B N P P A R I B A S ( Y )

1 8 0 . - E M E R S O N E L E C T R I C (Y )

1 8 1 . - G E N E R A L E L E C T R I C C O ( )

1 8 2 . - I L LI N O I S T O O L W O R K S ( Y )

1 8 3 . -P E P S I C O ( Y )

184.

185.

- S CH L U M B E R G E R L T D ( Y )

186.

187.

D D i v i d e n d

C

D i v i d e n d

C

D i v i d e n d

A D i v i d e n d

C D i v i d e n d

B

D i v i d e n d

D D i v i d e n d

B

B

A

C

C

C

D i v i d e n d

D i v i d e n d

D i v i d e n d

D i v i d e n d

D i v i d e n d

D i v i d e n d

Sold 01 /1 8 /1 0

(part)

So ld 01 /1 8/1 0

(part)

Sold 01/18/I0

(part)

Sold

03/25/10

(part)

L

L

K

J

S o ld 07112/10

K

(part)

S o ld

02/09/10 K

(part)

B u y

06/21/10

K

(a dd l )

B u y

02/24/10 K

(a dd l )

B u y

02/25/ l 0

K

( a d d )

B u y 09/14/10 J

(a dd l )

A

B

L lnc0me Ghin codes :; :

A =$11000 or less

(see Col um ns B I and D4) F =$50,001 - $100,000

2. Value Codes

J =$15,000 or tess

(See Col unm s CI and D3 ) N =$250,001 - $500,000

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


Q =Appraisal

(See Col um n C2)

U = Book Val ue

B

=$1,001 - $2,500

G

=$100,001 - $1,000,000

K

=$15,001 - $50,000

O

=$500,001 - $1,000,000


V = O t her

C =$2,501 - $5,000

H 1 =$ 1,000,001 - $5,000,000

L =$50,001 - $ 100,000

P I =$ 1 ,000,001 - $5,000,000

P4 =More than $50,000,000

S =Asse ssmen t

W =E s t ima ted

D =$5,00 t - $15,000

H2 =M o re ~ an $5 ,000;000

M =$100,001 - $250,000

P2 =$5,000,001 -

$25,000,000

T C a s h M a r k e t

E =$15,001 - $50,000


16/181


Page 16 of 181


Barry, Maryanne T.


9/1/2011


-income,

value,


[]

NONE

( N o reportable income, assets, or transactions.)





In c o m e d u r in g G ro ss v a lu e at e n d

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

of repor t ing pe r iod

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

(2) (3)

A m o u n t Type (e g,

Value Value Type (e.g., D a t e Value

C o d e 1

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

buy, se l l , mm/dd/yy Code2

( A - H )

o r in t.) (J -P ) C o d e 3 re d e m p t io n ) (J -P~

( Q -W )

(4 )

(5 )

Gain

Identity of

Code 1

buyer / se l l e r

(A-H)

( i f p r i v a t e

transaction)

188.

189.

190.

191.

192.

- U N I O N P A C I F IC C O R P ( Y )

- A I R P R O D U C T S & C H E M I C A L S ( Y )

-FLUOR CORP (Y)

B D i v i d e n d

C D i v i d e n d

A Dividend

Bu y

0 9/16 /10

( add l )

So ld 03/1 8/1 0

(part)

Sold

02/09/10

(part)

Bu y 06/21/10

(add l )

K

J

J

J

B

193.

194.

195.

196.

- M I C R O S O F T C O R P ( Y )

- R O Y A L D U T C H S H E L L ( Y )

197.

- U N I T E D T E C H N O L O G I E S ( Y )

198. - B E R K SH I R E H A T H A W A Y

199.

2 00.

2 01 .

2 02 .

B D i v i d e n d

D

D i v i d e n d

A Dividend

Sold 0 1/19 /10

K

( p a r t )

Sold

02/08/10 K

(part)

B uy 06/21/10 K

( add l )

Sold 04/13/10 K

(part)

B uy

06 /21 / 10 J

( add l )

Sold 02/18/10 K

(part)

Sold 0 2 / 1 9 / 1 0 J

(part)

Sold 05/27/I0 K

(part)

Sold

07/02/10 J

(part)

So ld 07/06 /1 0

J

C

B

C

B

B

2 03.

- C O S T C O W H O L E S A L E (Y )

2 04 .

D i v i d e n d Sold 01/14/10

(part)

So ld 02 /09 /1 0

(part)

J

J

1 . I n c o m e G a i n C o d e s : :


2. Value Codes



(See Col um n C2)

A =$ i ~000 or less

F =$50,001 - $100,000

J =$15,000 or less

N =$250,001 - $500,000

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

Q =Appraisal

U =B o o k Va lue

B =$1,001 - $2~500

G =$100,00 i - $1,000,000

K =$15,001 - $50,000

O $500,001 -$1 ,000,000


V = O t her

C =$2 ,5 01 = $5 ,000

H l --$1,000,00 i : $510001000

L =$50~001 - $100,000

PI =$1,000,001 = $5;000,000

P4 =More than $50,000~000

S =Asse ssmen t

W =E s t ima ted

D =$5,001 - $15,000

H2 =More than $5,000;000

M =$100;001 - $250,000

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

T - C a s h M a r k e t

E =$15,001 - $50,000


17/181


Page 17 of 181


Barry, Maryanne T.


9/1/2011

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

transactions (Includes those of spouse and dependent children; see pp. 34-60 of f ling instructions.)


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




In c o m e d u r in g G ro ss v a lu e at e n d

rep ortin g p er io d o f re p or tin g p e r io d

(1 )

(2 ) (1) (2) (1 ) (2): (3) (4) (5)

A m o u n t Type (e.g.,

V a lu e V a lu e

Type (e.g., D a t e :

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

C o d e 1

div. , rent~ C o d e 2 M e t h o d

buy, se l l , m~dd/yy

Code2 Code: 1

buyer / se l l e r

( A - H )

or in 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 ivate

( Q - W )

t r a ns a c t ion)

2 05.

- L O W E S C O S (Y )

2 06 .

- U N I T E D P A R C E L S E R V I C E I N C ( Y )

C

Dividend

Bu y

(addl)

A Dividend

06/21/10 K

2 0 7 . - F E D E X C O R P ( Y )

208.

2 09 .

2 1 0 . -A L L E R G A N I N C ( Y )

A

D i v i d e n d

Bu y

( add l )

Sold

(part)

B uy

( add l )

A D i v i d e n d

03/18/10

0 2/0 9 /10

06/21/10

J

J

K

2 1 1 . - R IO T I N T O ( Y )

C Dividend

212. -SAP AG (Y)

2 1 3 . - C O M C A S T C O R P ( Y )

214.

2 1 5 . - C A N O N ( Y )

2 1 6 . - K R A F T F O O D S ( Y )

217.

2 1 8 . - H O N G K O N G / C H 1 N A G A S ( Y )

2 1 9 . - B H P B I L L IT O N L T D ( Y )

A

Dividend

B

Dividend

B

B

A

C

Dividend

Dividend

Dividend

Dividend

Sold 03/16/10 K

(part)

Bu y

0 9/3 0 /10 J

( add l )

Bu y 09/30/10

J

( add l )

Sold

01/18/10 K

(part)

Sold

02/09/10

J

(part)

Sold 07 /1 2 /1 0 K

(part)

Bu y 06/21/10

J

( add l )

220.

221.

- D A V I T A ( Y )

Sold

05/03/10 K A

(part)

Sold

05/19/10 J

A

(part)

1.

Income Gain Codes:


2.

Value Codes


3.

Value Me tho d Co d es

(Scc Col um n C2)

A =$1,000 or less ... .

S = $ 1 , 0 0 1 - $ 2 ,5 0 0 c = $ 2 , 5 O l - $ 5 , o o o

F =$50,001 - $100,000 G =$100,001 - $1,000,000 H I =$1,000,001 - $5 ,000,000

J =$15,000 or less

K =$15,001 - $50,000 L =$50,001 - $100,000

N =$250,001 - $500,000 O =$500,001 - $1,000,000 P I =$ t ;000;001 - $5,000,000

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

P4 =More than $50,000,000

Q =Appraisal


S =Asse ssmen t

U =B o o k Va lue

V = O t her

W =E s t ima ted

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

H2 ~6~e than $5i0001000 ....

M = $ i o 0 , o o ~ - $ ~ S 0 ; o o o

~ , 2 = $ 5 i o o o , o o i : $ ~ 5 , 0 o o , o o 0

T = Cash Mark e t


18/181


Page 18 of 181


Barry, Maryanne T.

Date of Report

9/I/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 , ,e , v a l u e , transactions (Includes those of spouse and dependent children; see pp.

34-60 of f l ing instructions.)

[]

N O N E ( N o

reportable income, assets, or transactions.)





Income dur ing

reporting period

(1) (2)

A m o u n t

Type (e.g.,

Code I

div., rent,

( A - H )

o r i n t . )

C. D:

Gross value at end


of reporting period

(1) (2) (I ) (2) (3) (4)

(5 t

Value V a lu e

Type(e.g., Date , Value Gain I d e n t i t y o

C o d e : 2

Method buy, sel l , m m / d d / y y

I

C o ~ ~ , 2 Code 1 buyer/seller

(J-P) Code 3 redem ption)

0-P)

(A -H ) (if private

( Q - W )

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

2 2 2 .

2 2 3.

2 2 4 . -FA N U C C O ( Y )

2 2 5 . -C IS C O S Y S T E M S I N C ( Y )

2 2 6 .

227.

2 2 8 . -A G I L E N T T E C H ( Y )

B Dividend

2 2 9 .

2 30 .

231.

2 32 .

2 33 .

2 34 .

2 35.

2 3 6 . - C O C A - C O L A A M A T I L L T D ( Y )

D

D i v i d e n d

Sold 05/20/10

J

( p a r t )

S o l d

07/12/10

K

( p a r t )

B u y

02/04/ 0

K

(a dd l )

B u y 03/01/10

K

(a dd l )

B u y

03/17/10 J

(a dd l )

B u y

06/21/I 0 J

(a dd l )

S o l d O1/19/lO

K

(part)

S o l d

02/09/10

J

(part)

S o l d

02/11/10

K

(part)

Sold

02/12/10

J

(part)

S o l d

02/12/10

J

(part)

S o l d 02/12/10 J

( p a n )

Sold 02/12/10 J

( p a r t )

Sold

02/16/10

J

(par t )

A

A

2 37.

- T E S C O P L C ( Y )

2 38.

- S U Z UK I M O T O R ( Y )

C

D i v i d e n d

A

D i v i d e n d

S o l d

04/14/10 K

( p a r t )

S o l d 02/23/10 K

(part)

1. I .....Gain Cod . ...

A =$i ,000 or less

( Se e C ol un ms B 1 an d I )4 ) F =$ 50 ,0 01 - $ 10 0,0 00

2. Value Codes

J =$15,000 or less

(See Co lumn s C I an d D 3) N =$250,001 - 5 0 0 , 0 0 0

P3

=$25,000,001 - $ 5 0 , 0 0 0 , 0 0 0


Q =Appraisal

(See Col um n C2)

U = Book Val ue

B =$1,001- $2,500

G =$100,001- $1,000,000

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

O -$50 0 , 0 0 1- $1 , 0 0 0 , 0 00


V = O t her

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

H 1 = $ ii0 00 ,0 01 - $ 5,0 00 ,0 00 H 2 =M o re th an $5 ,0 00 ,0 00

L - - $ 5 0 ; 0 0 1 .- $ 1 0 0 ~ 0 0 0 M=$ 00,001-$250000

e ~ = $ 1 ~ 0 0 0 , 0 0 ~ ~ $ 5 ; 0 0 0 ~ 0 0 0

~ 2 7 5 5 ; 0 0 0 ; 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0

P 4 = M 0 r e t h a ~ $ 5 0 ;0 0 0 0 0 0

::

S = A s s e s sn t e n t

T--Cash Market

W = E s t im a t e d

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


19/181


Page 19 of 181


Barry, Maryanne T.


9/1/2011


- income value transactions (Includes those of spouse and dependent children; see pp. 34-60 of f ling instructions.)






B.

C.

D.

Income during

Gross value at end Transactions during reporting period

reporting p eriod of rep orting perio d

(1) (2) (1) (2) (1) (2) (3) (4)

(5 ~

A m o u n t Type (e.g., Value

Value T y p e ~ e : g ;,

Date

Val u e

Gain

Identity of

Code 1

d i v e , r e n t ,

Code2 Method :

b uy , se ll, m m/d d /yy

Code 2

Code 1 buyer/seller

( A - H )

or int .) ( J - P ) Code 3 redemption)

(J-P)

(A-H)

(if private

( Q - W)


123 9.

2 4 0 . -L O R E A L ( Y )

2 4 1 .

2 4 2 .

2 4 3 .

2 4 4 .

2 4 5.

246 .

2 4 7.

2 4 8.

2 4 9 .

- P O T A S H C O R P ( Y)

2 50.

251 .

2 52 .

2 53 .

2 54 .

2 55.

B Dividend

A Dividend

Sold 0 3 /25 /10

K

(part)

Bu y

0 6/22 /10 J

( add l )

Sold 07/30/ I0

J

(part)

Sold 07/30/10

J

(part)

Sold

08/02/10

J

( p a r t )

Sold

08/02/10

J

(part)

Sold 08/03/10

J

( p a r t )

Sold 0 8/0 4 /10 J

(part)

Sold

0 8/26 /10 J

(part)

Sold

0 9/0 2 /10 J

(part)

Buy 06/21/10

K

( add l )

Sold 08/17/10

J

(part)

Sold

0 9/16 /10 J

(part)

Sold

0 9/16 /10 L

( p a r t )

Sold 0 9/17 /10

K

( p a r t )

Sold

08/17/10 J

(part)

Sold 08/17/10

K

(part)

D

C

E

D

D

D

1. i nc ome Gain Code~:

(See Co lumn s B I an d D 4)

2. Value Codes

(See Co lumn s CI an d D 3)

3.

Value Method Codes

(See Co lumn C2)

A =$ ,000ot~ l e s s

: B~$ ;00i~$2~500

C= $2, 50 1-$5 , 0 0 0

F =$50,001- S 100,000 G :$100,001 - $1 ,000;000 H 1 :$ l i000 001, $5 000 000

J = $15 ,000 or less K =$15 ,001 - $50 ,000 L =$501001 ~ $100,000

N =$250,00 i - $500,000

O ---$500,001 - $1,000,000

P I =$ i ;000;001 - $5,000,000

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

P4 =M0t~ than $50,0001000

Q = A ppr a i s a l

R =Co s t (Ree l Es ta te On ly)

S =Asse ssmen t

U =B o o k Va lue

V = O t h e r

W =E s t ima ted

D =$ 5,001 - $15,000

H2 =More than $51000,000

M =$I00,001 = $250;000

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

T =Cash Marke t

E =$15,001 - $50,000


20/181


Page 20 of 181


Barry, Maryanne T.

Date of R e p o r t

9/1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f ling instructions.)






B . C.

D.

Income during

Gross value at end


reporting period of rep orting perio d

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

(1 ) (2) (3) (4) (5 )

Amount Type (e.g.,

Valu e Va lue

Type (e.g., D a t e

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

Code 1

div., rent, Code 2

Method b u y, sell, m m/d d /yy

Code 2 Code I

buyer/seller

(A-H)

or int.) ( J - P ) Code 3

redemption)

O - P ) (A-H)

( i f p r i v a t e

(Q - W )

transaction)

2 56 .

- N A T I O N A L I N S T R U M E N T S C O R P

(Y)

2 57.

- A L L I A N Z S E

A Dividend

S o ld

02/23/10 K

258.

- B A Y E R A G B E A R E R (Y)

2 59 . -B M W A G

260.

2 6 1 .

2 6 2 .

263.

2 6 4 .

- V E O L I A E N V I R O N M E N T ( Y )

2 6 5 . -T R E N D M I C R O ( Y )

2 6 6 .

2 6 7 .

2 6 8.

A Dividend

Dividend

Bu y

0 6/21 /10 J

(addl)

Sold 07/12/10

J A

( p a a )

Sold 07/12/10

K D

2 6 9 . - M C D O N A L D S C O R P ( Y )

270.

271.

2 72 .

C

B

Dividend

Dividend

Dividend

Sold

0 3 /16 /10

K

(part)

Sold 0 7 /12 /10 K

( p a n )

Sold

0 7 /12 /10

K

( p a r t )

Bu y

0 1/14 /10

K

(addl)

Buy

02/03/l 0 K

(addl)

B uy

07/22/I 0

L

(addl)

Buy

07/22/10

J

(addl)

Sold 03/03/I 0

J

Bu y 07/23/10 K

- D A N A H E R C O R P ( Y)

A D i v i d e n d

Sold 01/19/10

(part)

Bu y

0 6 / 2 1 / 1 0

( add l )

K

J

(S ee Co lu mn s B I a nd 19 4) F =$ 50 ,0 01 - $ 10 0,0 00

G =$100,001 - $1,000,000

2. Value Codes

J =$15 ,000 or less K -$15,001 - $5 0,000

(See Co lumn s C I an d D 3)

N =$250,001 - $500,000 O =$500,001 - $1,000,000

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


Q = A ppr a i sa l

R - Co s t (Rea l Es ta te On ly)

(See Co lumn C2)

U =B o o k Va lue

V = O t h e r

C =$2,501 - $5,000

H i = 1 ,o o o , o o t - 5 , 0 o o , 0 o o

L =$50,001 - $100,000

P 1 -$ 1,000,001 - $5,000;000

P4 =More than $50,000,000

S =Asse ssmen t

W =E s t ima lo d

D =$5,001 - $15,000

H2 =More than $5,000,000

M $100,001 - $250,000

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

T C a s h M a r k et

E =$15,001 - $50,000


21/181


Page 21 of 181


Barry, Maryanne T.


9/1/2011

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 l u e transactions (Includes those of spouse and dependent children; seepp. 34-60 of f ling instructions.)

~

NONE

(No reportable incom e, assets, or transactions.)

A. B. C.

D escription o f A ssets Incom e during Gross value at end


reporting period

of reporting period

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

Place "(X )" after each asset A m ount Type (e.g., Value Value

e x e m p t f r o

m

prior disclosure

Code l

d i v . , r e n t ,

Code 2

M e th o d

(A-H)

o r i n t . )

( J - P ) Code 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

(1 ) (2) (3) (4) (5 )

T y p e ( e . g . ,: Date Value Gain

I d e n t iL y o f

b u y, sell, m m/d d/yy

Code 2


redemption)

(J-P) (A -H )

(iprivate

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

2 73. - N E W C R E S T M I N I N G N P V (Y )

B Dividend

2 7 4 . -B A R R I C K G O L D C O R P ( Y )

2 75.

2 7 6 . -N Y S T T W Y A U A M B A C 5 % 4 / 1 / 2 01 9

Dividend

I n t e r e s t M T

Sold 01/27/10 K C

(part)

Sold

01/28/10 J B

(part)

27 7 .

27 8 .

27 9 .

2 80.

- P O R T A U T H N Y / N J S E R 1 6 3 5 . 0%

7/15/21

-SOFTBANK CORP (Y)

2 8 1 . - T h e W a l t D i s n e y (Y )

282.

283.

284.

285.

286.

287.

-MEDTRONIC INC (Y)

288.

-BAE SYSTEMS PLC (Y)

289.

A

B

Dividend

Dividend

Dividend

Dividend

M

T

Bu y 08/04/10 N

Bu y

02/03/10 J

(addl)

Sold 03/25/10

J

(part)

Sold 0 3 /25 /10 J

( p a r t )

Bu y

0 1/25 /10

L

( add l )

Sold

01/08/10 J

(part)

Sold

01/08/10

K

(part)

Sold 0 1/25 /10 J

(part)

Sold

03/01/10 J

(part)

Sold

0 3 /0 1 /10

K

(part)

Bu y 03/01/10 J

( add l )

So ld 02 /1 0/10

J

(part)

Sold 04/20/10 K

(part)

A

C

B

(Se e C olu mn s B I a nd D 4) F =$50,0 01 - $100,0 00

2 . Va lue Co d es J =$15 ,000 or less

(See Co lumn s C I an d D 3)

N =$250,001 - $500,000

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


Q = A ppr a i sa l

(See Co lumn C2)

U =B o o k Va lue

B=$1,001 - $2,500

G

=$100,001 - $1,000,000

K

=$15,001 - $50,000

O

=$500,001 - $ 1,000,000


V = O t h e r

C - $2 ,5 01 - $5 ,000

H 1 =$1,000,001 - $5,000,000

L =$50,001 - $100,000

PI =$ 1,000,001 - $5,000,000

P 4 =Mo re lhaa

$50,000,000

S =Asse ssmen t

W =E s t ima ted

D = 5 , o o 1 - 1 5 , 0 o o

112 =More than $ 5,000;000

M =$100;001 - $250;000

z 2 = 5 , 0 0 0 , 0 0 1 - 2 5 ~ 0 0 0 , 0 0 0

T - - C a s h M a r k e t

E =$15,001 - $50,000


22/181


Page 22 of 181


Barry, Maryanne T.


9/1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income value transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)






B.

C.

D

Income during Gross value at end Transactions during reporting period

reporting period

of reporting period

(1) (2) (1 )

(2 )

( 1 ) ( 2 ) (3) (4) (5 )

A m o u n t Type (e.g., Valu e Va lue Type (e:g., D a t e Value Gain Identity of

Code 1

d i v . , r e n t . Code 2 Met h od

buy, se l l , m m /d d/y y C od e 2

Code 1

buyer/seller

(A-H)

o r i n t . )

( J - P )

Code 3

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

(Q - W )


290.

2 9 1 .

2 9 2 .

-TARGET CORP (Y)

2 9 3.

- C A M E C O C O R P ( Y )

2 9 4 .

2 9 5 .

2 9 6 .

297 .

298.

2 9 9 .

300.

301.

302.

303.

304 .

- T O R O N T O - D O M I N I O N B A N K (Y)

3 05 . - A M AZ O N .C O M ( Y)

306.

- C E R N E R C O R P ( Y )

Dividend

B Dividend

B Dividend

Sold 01/19/10

K

(part)

Buy 05/28/10

J

( add l )

Buy

08/18/10

J

(addl)

Sold 01/18/10

K

(part)

Sold 04/30/l 0

J

(part)

Sold

05/03/10

J

( p a r t )

Sold ~ 05/04/10 J

( p a r t )

Bu y 09/07/10 K

(addl )

Bu y

0 9/0 8 /10 J

(addl)

Buy

09/09/10

K

(addl)

Bu y

09/22/10 K

(addl)

Buy

09/23/10

J

( add l )

Bu y

0 9/29 /10

K

(addl)

Buy

09/30/10

J

(addl)

Sold 07/12/10

(part)

1: Inc ome Gain Codes :

A =$1,000 or less B =$1,001 - $2,500

(See Colum ns B 1 and D 4) F =$50,001 - $100,000 G =$100,001 - $1,000,000

2 . Va lue Co des J = $15 ,000 or less

K =$15,001 - $50,000

( Se e C olu mn s C I a nd D3 ) N -$ 25 0,0 0I - $5 00 ,0 00 O =$500,001 - $1,000;000

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

3. Value Method Codes Q = A ppr a i s a l


(See Co lumn C2)

U =B o o k Va lue

V - O t h e r

C --$2;501 - $5,000

D =$5,001 - $15,000

H 1 =$ i,0 00 00 1 -$ 5 00 0 0 00 H 2 =M ore th an $5 ,0 00 ,0 00

L =$50;001 ~$ 100,000

M =$100,00] ~ $250;000

P 1 =$ 1,000,001 - $5,000,000

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

P4 =More than $50,000;000

S =Asse ssmen t

T =Cash Marke t

W = E s t i m a t ed

E =$15,001 -$50,000


23/181


Page 23 of 181


Barry, Maryanne T.


9/1/2011

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 (Includes those of spouse and dependent children; seepp. 34-60 of f ling instructions.)






B~

C.

D.

Income dur ing

Gross value at end


repo rting period of repo rtin g p eriod

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

(2) (3) (4)

(5 )

Amount

Type (e.g..

Value V a lu e Type (e.g. , D a t e Value Gain

I d e n t i t y o f

Code 1

div., rent,

Code 2 M e t h o d

buy, sell , m rrddd /yy Code 2 Code 1 buyer / se l l e r

(A - H )

o r i n t . )

( J - P ) Code 3 redem ption) ( J - P ) (A-H)

(ifp~vat~

(Q - W )

transaeti0n)

3 0 7 . -SW l R E P A C I F I C L T D ( Y )

3 0 8 . - C O C A - C O L A C O

309.

310.

B D i v i d e n d

A

D i v i d e n d

Sold

0 1/18 /10

K

(part)

Sold

0 2/0 5 /10 K

(part)

Sold 02/08/10 J

(part)

S o ld 05 /2 1 /1 0 K

A

3 1 1 . -B i l la bo n g I n t l L T D ( Y )

31 2 .

313.

314.

3 1 5 . -O m e g a P h a r m a S A

316.

317.

Dividend Sold 07/I 3/10 K

( p a r t )

Sold

0 7 /13 /10 J

(part)

Sold 0 9 / 2 2 / 1 0

J

(part)

Sold 0 9/23 /10 K

( p a r t )

Sold

04/19/10 J

(part)

Sold

04/19/10 J

(part)

Sold 04/21/10 J

A

A

A

3 1 8 . - S A P A G S p o n A D R ( Y )

A

D i v i d e n d

3 1 9 . - Si e m e n s A G N a m e n ( Y )

B

D i v i d e n d Bu y

07/13/10 J

( add l )

320. -P rog res s ive Corp Ohio (Y)

A

D i v i d e n d

3 2 1 . - S T L a w r e n c e N Y C l a r k so n 4 . 2 5 7 /1 /2 0 2 1

E Interes t Sold 05/13/10 N

322.

323.

- R o c h e H o l d i n g A G

C

D i v i d e n d Sold

02/10/10 J

(part)

Sold 04/13/10 J

(part)

1. Inco m e G ain Codes: A =$1,000 o r less B = $ , 0 0 1 -$2 , 50 0

( S e e C o l u m n s B I a n d D 4 ) F =$50,001 - $ I00,000 G =$100,001 - $1,000,000


K =$15,001 - $50,000

(See Col unm s C I and D3 )

N =$250,001 - $500,000 O =$500,001 -$1 ,000,000

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

3. Value M etho d Co des Q =A ppraisal


(See Col um n C2)

U =B o o k Va lue

V - O t h e r

C =$2,501 - $5,000

D =$5,001 - $15,000

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

H2 = M or e t h ah $~10 0 0 ,0 0 0

L =$50,001 r $ 100~000 M =$100,00125 25 0,000

PI =$1,000,001 . -$5,000,000 P2 =$5,000;001 2 $25~ 000,000

P4 =More than $50,000,000

S =Asse ssmen t

T =Cash Mark~ }

W =E s t ima ted

E =$15,001- $50,000


24/181


Page 24 of 181


Barry, Maryanne T.


9/1/2011


-

income , value,


[]

(No reportable incom e, assets, or transa ctions.)ONE



Place "(X)" aiter each asset


B . C. D.

Incom e during Gross valu e at en d Transactions during reporting period


(1 )

(2 ) (1) (2) : (1) (2) .(3) I (4) (5 )

A m o u n t

Type (e.g.,

Value

Value.

T y p e ~ e . g ., Date Value Gain Identity of

Code 1

div., rent,

Code 2 M eth od .... buy, sel l , m m/dd yy C od e 2 C o d e I

buyer/seller

(A - H )

o r i n t . ) ( J - P ) Co d e 3 ,

redeinption)

O-P)

(A -H ) (if private

( Q - W )


324.

32 5.

326.

327.

Sold

04/14/10

J

( p a r t )

Sold

07/28/10

L

(part)

Sold 0 8/19 /10 K

(paR)

Sold

09/22 /10

M

3 2 8 . -G o o g l e I n c ( Y )

329.

3 3 0 . -P a y c he x I n c ( Y )

331.

332.

333. - E b a y I n c ( Y )

B Dividend

Bu y 01/25/10 M

(addl)

Bu y

08/18/10

K

(addl)

Sold 02/09/10 J

( p a r t )

Sold

04 /01 /10 J

( p a r t )

Sold

04/05/10 J

( p a r t )

3 3 4 . - B o e i n g C o ( Y )

A Dividend

335.

336.

337.

338.

339.

340.

-Baxter Intl Inc

A Dividend

S o l d

02/09/10

J

(part)

B u y

04/14/10

K

(a dd l )

B u y 04/21/10

J

(a dd l )

B u y

04/21/10

J

(a dd l )

S o l d

05/04/10 J

(part)

S o ld

05/05/10 K

(part)

" Income Gain Codes~ ......

A=$ ;000 o r l e s s

( See Columns B 1 and 13 4)

F =$50,001 - $100,000


(See Col um ns CI and D3 ) N =$250,001 - $500;000

P3 =$25,000,001 - $50,000.000


Q =Appraisal

(See Col um n C2)

U =B o o k Va lue

B = $1, 00 -$2 , 50 0

G =$100,001- $1,000,000

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

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


V = O t her

C--$2;501 -$5,000

D =$5,001 - $15,000

:H i ~$L000~00i .-~5;000;000

H2

L Z*50,00i ~ $i00,000 M ~ 0 0 ; 0 0 l - $ 2 5 0 i 0 0 0

PI =$1,000,001 . -$5,000i000 P2 =$5i000,001 2 $25~ 000,000

P 4 - - Mo re

t h a o $ 5 0 ; 0 0 0 1 0 0 0

S =Assessnient

T = Cash Mark e t

W =E St ima ted

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


25/181


Page 25 of 181


Barry, Maryanne T.


9/1/2011


income, value,







B . C.

D.

Incom e during Gross valu e at en d Transactions during reporting period


(1 )

(2 ) (1) (2) (1) (2) (3) (4)

(5 )

A m o u n t

T y p e ( e . g ., Value V a lu e

Type (e.g.,

D a t e Val u e

Gain Identity of

Code 1

div., rent,

Code 2 M eth od buy, se l l ,

.

....


Code 1 buyer/seller

(A - H )

o r i n t . ) ( J - P ) Code 3

redemption) ( J - P )

( A - I - I ~

( i f p r i v a t e

(Q - W )

transacnon)

34 1 .

34 2 .

34 3 .

344.

S o l d

05/05/10

J

( p r o )

Sold 05/06/10 J

( p a r t )

S o l d 05/06/10

J

(part)

Sold

05/07/10

J

3 4 5 . -G e n p a c t L T D ( Y )

3 4 6 . -A l l e g he n y T e c h ( Y )

34 7.

34 8.

34 9 .

350 .

351 .

352 .

353 .

354 .

3 5 5 . - P e m o d R i c a r d S A ( )

B Dividend

D i v i d e n d

Sold 01/19/10

L

( p a r t )

S o l d

01/28/10

K

( p a r t )

S o l d ] 01/29/10

J

( p a r t )

S o l d

02/17/10

J

(part)

Sold

02/17/10

J

(part)

Sold 03/17/10 J

(par t )

Sold 03118110

K

(part)

S o l d

03119/10

J

( p a r t )

B u y

06/21/10

K

(a dd l )

B

C

D

B

3 5 6 . -P E U G E O T S A

S o l d

02/23/10 J

357. - JP M O R G A N C H A S E & C O ( Y ) A D iv id en d So ld 02/09/10 K

(part)

:

Income Gain Codes:


2.

Value Codes



(See Col um n C2)

A =SL000 6r ie~s = B =$ii00t ; S2;500 .. .. C = $2i50 1 ~ $5 ,0 0 0

D =$S,001 - $15,000

F =$50,001 - $100,000 G =$100,001 - $1,000,000 H I = $1, 0 0 0 , 0 01- $5 , 0 0 0 ,0 0 0

H2 =More than $51000,000

J =$15,000 or less

K =$15,001 - $50,000 L = $ 5 0 ~ 0 0 1 ~ $ 1 0 0 ; 00 0

M =$100,001 - $250;000

N =$250,001 - $500i000

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

P 1 = $ 1 ; 0 0 0 1 0 0 1 : $ 5 ; 0 0 0 ~ 0 0 0 P2 =$5,000,001 - $25,000,000

P3 =$23,000,001 - $50,000,000

P4 =More than $50,000,000

Q =Appraisal

R = Cost (Rea l Es t a t e O nl y)

S =AsseSsment

T = Cash Mark e t

U =B o o k Va lue

V = O t her

W =E s t ima ted

E =$15.001 - $50,000


26/181


Page 26 of 181


Barry, Maryanne T.


9/1/2011

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 u l u e ,



A.

B.

C.

D.

Description of Assets Incom e during Gross valu e at en d



reporting period

of reporting period

(1) (2)

(1) (2) (1 ) (2) (3) (4)

Place "(x)" after each asset

A m o u n t

T y p e ( e . g ., Value V a lu e

Type (e.g.,

D a t e Value Gain

Identity of


C ode l

div.. rent, Code 2

Method

buy, se l l ,

mm/dd/yy

Code 2 Code 1 buyer/seller

(A-H)

o r i n t . )

( J - P )

Code 3

redemption)

( J - P )

(A-H)

(if private

(Q - W )

transacnon)

358.

Sold 04/20/10 J

(part)

359 .

Sold

0 4/20 /10 K

(part)

3 6 0 . - N O R D S T R O M I N C (Y )

A

D i v i d e n d

3 6 1 . -M I C R O C H I P T E C H N O L O G Y 1 N C ( Y ) A D i v i d e n d

3 6 2 . - CA R N I V A L C O R P ( Y ) A D i v i d e n d Bu y

0 6/21 /10

( add l )

3 6 3 . - V U L CA N M A T E R I A L S C O ( Y )

B

D i v i d e n d

B uy 0 2/22 /10

( add l )

364.

Bu y

0 4/22 /10

( add l )

36 5. Sold 0 9/0 7 /10

(part)

366.

Sold

0 9/20 /10

(part)

367.

Sold

0 9/21 /10

(pan)

3 6 8 . - G O L D M A N S A C H S G R O U P I N C ( Y )

B D iv id en d So ld

0 2/0 9 /10

(part)

369.

Sold

0 4/16 /10

(part)

370.

Sold 0 4/19 /10

(part)

371.

Sold

0 4/19 /10

(part)

3 7 2 . - N Y C T F A B 5 . 0 % 8 /1 /2 0 2 1

E Interes t N T

J

J

J

J

J

J

K

K

K

K

3 7 3 . - I M P E R I A L T O B A C C O P L C ( Y )

C

D i v i d e n d

S o ld

(part)

3 7 4 . - A M E R I C A N T O W E R C O R P ( Y )

02/10/10 J


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


K =$15,001 - $50,000


N =$250,001 - $500,000

O =$500,001 - $1,000;000

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

3. Value M etho d Co des Q =A ppraisal R =Co st (R eal E state O n ly)

(See Col um n C2)

U =B o o k Va lue

V = O t her

C =$2,501 - $5,000

H i =$1,000,001 - $5,000,000

L =$50,001 - $100,000

P 1 = $1,0 00 ,0 01 - $5 ,0 00 ,0 00

P4 =More than $50,000,000

S =Asse ssmen t

W =E s t ima led

D =$5,001 - $15,000

H2 = M or e t h an $5 ,0 0 0 ~0 0 0

M =$ 100,001 - $250,000

P2 =$5,000,001 -

$25,000,000

T = Cash Mark e t

E =$15,001 - $50,000


27/181


Page 27 of 181

I

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


Date of Repor t

9/I /2011


-

income, value, transactions

(Includes those of

spouse and dependent children; see pp. 34-60 of filing instructions.)

N O N E


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

Income during

( 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)

Place"(X) af ter each asset

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 )

or in t . )

G r o s s v a l u e a t e n d T ra 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


{1) (2) (1 )

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

Value Value T y p e ( e .g . , D a t e Value G a i n I d e n t i t y o f

C o d e 2

M e th o d

buy, sell, m m / d d / y y

C o d e 2

C o d e 1

buyer/seller

( 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 )


375.

-PHILIP MOR RIS IN TL ( Y)

376 .

- E N E R G I Z E R H O L D I N G S I N C ( Y )

C Dividend B uy

0 3 / 0 1 / 1 0 J

( add l )

3 7 7 . -I L S T A T E T O L L H W Y B 5 . 5 % 1 /1 /2 0 33

D

Interes t

3 7 8 . - A P P L E I N C ( Y )

379 .

3 8 0 . - B G G R O U P P L C ( Y )

3 8 1 . - B R O A D C O M C O R P ( Y )

D i v i d e n d

B uy 0 2/12 /10

K

( add l )

Sold

0 4/28 /10 K

(part)

Bu y

0 8/19 /10

K

( add l )

D

382.

383 .

384 .

385.

386.

- C A N A D IA N N A T U R A L R E S O U R C E S

L T D C $ ( Y )

387. - C E L G E N E C O R P ( Y )

388.

389 .

390.

391.

A D i v i d e n d Sold 0 1/0 7 /10

K

(part)

Sold

0 1/20 /10 K

( p a r t )

Sold

0 1/21 /10

K

(part)

Sold 0 2/22 /10

K

(part)

Sold 0 2/23 /10 K

(part)

B uy 0 6/18 /10 J

( add l )

Sold

0 5 /0 4 /10 J

(part)

Sold 0 5 /0 5 /10 J

(part)

Sold

05/05/10 i J

(part)

Sold 05/05/10 K

(part)

c

C

D

D

D

I . ln co me Ga in Cd d es :

A =$L000 o r l e s s

(See Col um ns BI and I M)

F =$50,001 - $100,000

2 . Va lue Co d es J =$15 ,000 or tess

(See Columns C 1 and D3)

N =$250,001 - $500,000

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


Q = A ppr a i sa l

(See Co lun m C2)

U =B o o k Va lue

B =$1 ,001 - $2 ,5 00

G=$100,001- $I ,000,000

K =$15,001- $50,000

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


V = O t h e r

C =$2 ,5 01 - $5 ,000

H 1 =$1,000,001 - $5,000,000

L=$5 0,001 - $100;000

P ~ = $ L 0 0 0 , 0 0 1 - $ 5 , 0 0 0 ,0 0 0

P 4 =M o re than $5 0,000,000

S =Asse ssmen t

W =E s t ima ted

D= $5, 0 0 1-$15 , 0 0 0

H2~ M o ~ than $5 ,000~ 000

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

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

T = C a s h M a r k e t

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


28/181


Page 28 of 181


Barry, Maryanne T.


9/1/2011


- income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f ling instructions.)

[]



( inc lud ing t in a sse t s )



B . C. D.



reporting period

Ill

(2 ]

A m o u n t

Type (e.g.,

Value V a lu e

Type (e.g. ,

D a t e Value

Gain

I d e n t i t y o f

Code 1

div., rent,

Code 2 M ethod buy, se l l , m m /dddyy Code 2 Code 1

buyer/seller

(A - H )

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

Code 3 redem ption)

(J-P)

(A -H ) (ifprivate

( Q -W )

transacuon)

39 2 .

- D B S G R O U P H O L D I N G S L T D ( Y )

393.

39 4 . - E C O L A B I N C ( Y )

39 5.

- E D I S O N I N T E R N A T I O N A L ( )

39 6 .

3 9 7 . - H E W L E T T - P A C K A R D ( Y )

398. - I N T E R N A T I O N A L B U S I N E S S

M A C H I N E S C O R P ( Y )

3 9 9 . - I R O N M O U N T A I N I N C ( Y )

4 0 0 . - K E Y E N C E C O R P ( Y )

4 0 1 . - M A R A T H O N O I L C O R P C O M ( Y )

4 0 2 . - M A X I M I N T E G R A T E D P R O D S I N C ( )

4 0 3. -M U E N C H E N E R R U E C K N A M E N V 1 N K

()

4 0 4 . - N I N TE N D O C O L T D A D R U N S P O N ( Y )

4 05.

- N U C O R C O R P ( Y )

40 6 . - Q U A L C O M M I N C (Y )

4 07.

-S H I R E P L C ( )

4 08.

- S M C C O R P ( Y )

B D i v i d e n d

B u y 10/1 3/1 0

( add l )

Sold

10/21/10

(part)

B D i v i d e n d

B

D iv id en d S o ld 0 4/19 /10

(part)

Sold 0 4 / 20 / 10

( p a r t )

A

Dividend

C

D i v i d e n d

A D i v i d e n d

B uy

06/21/10

(addl)

A

Dividend

A

Dividend

A Dividend

A Dividend

C Dividend Sold 02/09/10

( p a r t )

B

Dividend

Buy 09/30/10

(addl)

B

Dividend B uy

06/18/10

( add l )

B

Dividend

B Dividend Bu y 02/03/10

( add l )

J

J

J

J

L

K

J

A

A

A

1. Income Gain Codes:

A =$1,000 or less

B =$1,001 - $2,500

C =$2~501- $5,000

(S ee Co lu mn s B 1 a nd 1)4 ) F = $5 0,0 01 - $ 10 0,0 00

G =$100~001 - $1,000,000

H 1 25 1 ;000,001, $5,000,000

2. Value Codes

J =$15,000 or less

K =$15,001 - $50,000

L =$50,001 - $100,000


N =$250,001 - $500,000

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

PI =$1~000,001 = $5;000;000

P3 =$25,000,001 - $50,000.000

P4 =More than $50,000;000


Q = A ppr a i sa l


S =Asse ssmen t

(See Col um n C2)

U =B o o k Va lue

V - O t h e r

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Maryanne T Barry Financial Disclosure Report for 2010

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