-
--
Cogan,
'-- .
;llintfr fofrs isfrid
June 23, 2010 0 ,.......,
= en l) ;os , - L_ mo::- =
..._CJ) 'Honorable Bobby R. Baldock, Chair 0r-- .. N
::a . rnJudicial Conference of the United States ni . co -
Co).
-
... ;pon
__________________
POSITION NAME OF ORGANIZATION/ENTITY
--------- -------
----- -------
PARTIES
'
r-
r:: '. r-·
'- ' ·--
- ·, -
"":::> = ;o -
-<
it! ugrn'111
-
SOURCE D"PE INCOME
·---------------------------- ··--------
·-----------------------
SOURCE AND
---------
-----
DATES LOCATION PURPOSE PAID QR PR0\1DED
Datt" of Rtporr Name of Person Reporting FINANCIAL DISCLOSURE
REPORT
Page 2of18 05115/2010Cogan, Brian 1\1.
III, N 0 N-lNVESTMENT JN COJ\1E, (Repvrting individoal and
spouse; sec pp. I 7-U of fihng in
-
SOURCE DESCRIPTION
---------
-----------------------
CREDITOR
4
DESCRIPTION
----- ---- ------ ------
VALUE CODE
[{] NONE (.\'o rcpurruhle gr/is.)
--- ---- -
- ---- ------- ---
.1.
4.
1>1-tf(' or fh·pun FINAi.\CIAL DISCLOSURE REPORT
Cogan. Brian M. Page 3 of 18
V. G f FTS. Ont luJt'\ 1/wv ro 'P""'" mu/ J,·renJnu
-
p .. :r:
1 ... :tht1d
I
I
.,111:11n ....
. .m
I
- -
I
I I
I )
1>:1t' of Hrportame of Pfnon H:eportlni;:FINANCIAL DISCLOSURE
REPORT
Page 4of18 05!151WIOCogan, llrl3n M.
V 11. I NV ESTiVI E NTS and TRUSTS - inn•me . .-u1ue.
"""'"";,,., 11n.inJe.1 '""" .. J '''""" un.i m Ii) t:!) 11> (
> ( ) \'ctlu-.: \'.ilU lb!.; \'.iluc CiJ111I I)\; (I.: g.,
;\mnuntPb1.·i: "('.Xl" :ift.:f .;:Kh a" ..:t Tir-: '' g. "''"·11!11
,.r
(,,J,.: I div. r.:nl. CoJ..: t'U)' ...... 11. !lllll Jd )'Y
Cnd..: 2 iJcnd h1ui1y Fund .\ Divitk·nd Buy
51 h·IN
l!l.09
11)/J.0'1
I ·7 ll'I
J-'jJ4)
I ·7 Ot1
j 17·{)')
I •7 IJnJ10ll l
-
l_j
a: ..... .. :nd
•. :nl.
I
120.
:
123
I
I
---�·---� ----'------�----' -
.. :11.:r
i
i
I
( ( )
'Jnu: vr Prnon Jhportinl: 011tC' of fhport FINANCIAL DISCLOSURE
REPORT
Page 5 of 18 Cogan.. Brian :\I.
\l 11. IN\/ESTI\ lENTS and TRUSTS - i11n111tt', •·fllur.
ITU'1'Wrtiutr'.) (lnd11J« .. 1lim1t rif •Jrllll),. lJnd "'P
t1J.-r11 d1i!Jn•n: lj't' rP· ' J-f/O 11//ilinx
i11•IT11tli11rH.)·
NONE 1.Vo ,-,portah!e inc'um.:. l/S.1t•/s, 1Jr
11w1s,1e1in11s.1
fl c ll 01.: ..:np!:1)n .lt .\.....;..:1" 111..:lli \.' during
(irl1'" va!u..: al
{111..:lud1n lru:-.t ..:b) r..:porti.1 Jh.'ri1."J 11f
r1.·r11rtin r,..,;rilllJ ii) II I ' ) I ) L'l l I I I
l'la-.:..: "t \ }" .tf!..:r 1.'Jch .t:-isd .-\m,1un1 l")pC(..: .
\"du..: V.1\tr...: r)p...: il· g. Dai.: \':ih1..: (1:1•11
llk·111il'j \lf 1.·., mr1 fr1Hn prior J1:;.d,> ..un: l lHJi: I
,(1\·. r ( ·" ..!.: .\kth1ld h11 ' ...... ;;, IH!ll dd '.-Y l •'lk
l .,J,· I t-H1 ·r )
L\·fl) I I-Pl t
-
-16
_,9
I !
i
46
I
I 49
"'
•\
I
I \
FINANCIAL DISCLOSURE REPORT
Page 6 of 18
'\Jmt or Pt-rson ffrporting Ui.1rt or Report
Cogan, Brian M.
\'I I. I NVESTJ\ 1 E NTS and TR u STS - jnnmrt', i·ulul',
ITiUf\lll'liom (/n. lwJ.-, tlrou• uf'f'IJIHe unJ tfep nJ.·nt
,bi!Jrtn; '"" J'P· J/.6/J ,,,Jifi,,g imtru, timn,)
D NONE (No reportahle i11co111e. assets. or
tr1111.1·m·1io11>.) B. ll.
o..:,cript:on \1 f :\!- \.·rs 1:1...- 1.nl.' durin,!! (;··th'i
\,1(U\.':lt\'!hl (mtl1lllin lru')I :l-,-;..:!!-l r"·p.Hl1ng
pl.'rni..I .if r.,;p1,r.mg r\.·r1nJ
t I J tl) ii) tll t'.'!) t11 (4• 151
J5. -I\ lli"1i ct FU I Oppurtuni1y Fu11d 0j(1n K T
40. - Bl.Kkruck New York l\.luni fund Cl;\ A lnfl:n:::.I
141 - Culumhia fDS SlR l'R Small Cap Value II ro ,'\ D"iJ
-
\.1l . .lfgan
: f.H
·-
r...:d .. :mpti•.:n)
r
-----
\'.1lu .. :
! I
I I
011 or Rrport :\:.1me or Pr non Rl·portini;: FINANCIAL
DISCLOSURE REPORT
Page 7of18 05• 15•20 Io Cogan, L!ri•n 1\1.
VII. I NV ESTl\IENl'S and l"'R u STS - im 1une, 11.l/ut•, trumlH
1iom (/nduJe, '''"'"of \jWIOt' IJtrd Jt'pf'nJrnt I liildrt'n,·
\t'•' l'P· .l I-fin oj fili11x ;,htr111 tiun".)
NONE (Xo reportable i11comc. assets. or 1ru11suctio11s ) D A. II
l. n
O..:-."·r!pt1 1n Llf ;\.;..;.;ts 1111..rnni.: Jur1:1g (;flh"
\Jiu.; JI ,,:nJ J r:111 .. h: t iu.u Lhu ing 1q'L•11111g p..:r
oJ
{1n..lt1lltlll! tru ! a.........:t\l rqh1n10g p...:rltH.1 or
1.:p,1rti11g p..:n11tl
•I) I ) Cl) 1!) ti) , , ) \l) {J) 15) rh.:.: "IX)" ;ilf.:r
..:ad1 ,1o;; ..1,:t ·\muunl f}pi..·h· !!: • \ .1!u.: \',llu.;
l'>pck g. lki< 'i. in IJ .. ·n111)'· or
..,·::\11 (ICll '\1/1!)_111111 (, 'IOTl_(illl ')l.ftl)l)J)011
Ill ·\/!loo Ul/I - \i}n:IJ 1)tlCJ 11! \11irC" rh.111 ;; :-00.:
10
\".du ( 1•J.:--. J ':-- .l'ttl) 1"' k ...... ti. \I_( hq] .
\I
1 .. ·c t .. 111mn ( ) l; n,i. .. \ .ilu(" \' I 111'1 -r
-
[·-!
. \
.. :riod
I
I
'.-ayckn lnvl Group High lncumc Fd T lluy 12:nv1 KI\ Di,iJend
K
· Perk ins 1!d Cap Value T Jluy 12'24 ll'I Kf\'l1ne K
- Koy"·c Fund\. ;due Plus Fund S('rviccs Sold 12/2.i ..
otJ?\'.one
7J. · RyJex Sl;f liJ Cap Value Fund
74. · l'homlnug 11111 Vah1e Fund CL I\
75 · ·1hurnburg11' VT TK Cor.: liru,.ih Fund
76. · Wdls brgo /\dvt lntem1dt tax.'aml-frce umJ
i 77.
n -Wasah.:h AU\oi ur..., Funds Inc Smalt CJp
A
A
NPnc
Dividend K
lluy I :!: -i (}IJ
None Sold 1212-t"U9 K
Oivi,knd L lluy
Huy tadd'I)
Buy
3'24.1)9
12. 24
X_l -:\ lli.11K lkrn.... 1t:in /ml V .!11..: Fund CL A l\nne
Suld .1i2(Hl9
r -l -·\stvn Fund:. .i\lun!Jg & CalJ\\.dl ( irowth
L11::drt>ck ;\ " York Mum h111d CL:\ H
t\\lll
J1trl:lt:SC
K
L T
lluy K
I hl»r11t' (,Jin ( "'k 1'\1 ) 112 \l,•r th.m ';,.'-.JHlll.OU(l
\! )IOll.IMll · S ll.tlf ) p ,,_l\l)!l.:�111 - ".- 5.111111
tltlt}
-
I
i
1
11\l l
l
.. :r·
I ) l p.:(q ..
Oart of Ht>port 'lam or rcr-..on Rt>porrlng FINANCIAL
DISCLOSURE REPORT Page 9of 18 CoJ.:an. Hrhln l\1. 05.'IS 010
\! 11. I NV ES'l'I\'1 ENTS and l'R u S'fS - in .. :nm,, 1•alru,
lrtJllUlt•tiun)· (/nduJn (/Wli, of\pOI# unJ Jt
.\
_\
.\
01vhknJ
une
DJ\iJcnJ K
DI\ 11k·nJ L
T Buy
T
So!J
r
T
Sold
T nuy
Sold
Sold
Sol.I
S1>ld
Sold
So!d
Snld
l'lo
l:?i.:!4,'01)
12' 4-M
12124,0'l
12i! 09
I ::!12411)1)
12.·2 ,1{)')
llJ 01.'ll'J
L
\ SI 0•111 .·r I,· " fl 'I 1'!11 'i ;:I'() I \ . 'tll - ')
.111111 D S .'1411 - Sl _1i1>11 \'OJ it) I ') 1 I I 111111 1.1
\l1t0 ,1J4)1 . \I . .Jtlll.Ptll,) Ill ·)J OfJOJiill - \5.oOO.ltl.'U
11? "\l,•ri� 1lu11 ) ;; t Ji1.::t111
_' \.1lu.:t .. ,1.-.. J '11 .llHO ,.f 1,:-. \l ( J! ) 11.111;11
l. . ;;.:;n 001 - .;,rno ooo I .:\I00.1Xll - \::' !li1110
1'h'.11()1 .;1)(1.(11)() t) . ')'1ot1 no1 . \I J>t J.IJ110 Pl ,1
un1:.no1- .1}1J11noc P? ')'i !iOP,uOI - S.:'. 111:11 IMiO
Pl '?' 1,1"4) !lf!I . )'P.ll1Ml_!llM) P \l"r'· 1t...n
'i50,11tto,ooo ' \ .1111(' \f 1h,,,1 ( ti..!C'l. 1) \rprlhJ/ R l ·•
11.R:.1J [:..1 .. 1i:-t>nlyJ o; __,.,.""'".. ,tlh."111
tO.., ·
-
!
rn . .: 1 .
(1}
l>arc or Jhport Nllme or Pl'r on Reporting FINANCIAL
DISCLOSURE REPORT
C1igan, Hrian 1\1. Page 10of18
\''I I. IN\/ESTl\,I E TS and TRUSTS - im·11m . l·a11te.
1ruma11iom r1nd11Je\ ,,,,,\i- IJI\rou, un.i uepem1en1 d1itJun:
\a'•· rr· .r.t- 611111Jilinx im1r11c.rivns.J
NONE (No repurtahle i11cu111e, u1·set.1. or t1w1wC1io11s.)[] ,\
IJ ll
D ... · rip1ion of A-.-...:1-; Income during (jrn:-.::.. \
i.ltu..: :J! ..:nJ
1i11duding tru... 1 a si.::ts) n.:P'-1rnn p..:rll>d 111' r...
·p1'r::11g r-.·nuJ
I I ti! !?} tll I )(I) 151 J,k11111yuf\'.1!111." \'aluL' Dal\!
\'alu..: ( ;.un Pla..:c "I.\ r afrl.'.'r ..:ach ii.SSi:I Amuunt
Chk I d1-.. . r.:-nt • Cu1k 2 \h·tl11.J huy. ,,·II mmd1.L)) (
,1J ...• ! f ,id...- I huy..:r·, .. ·lkr ..:'..:rnpt lf\)Jll priur
Ji t lv::.un: tA-11) or in! 1 1.!-PJ ( .. 11!..: 1
r1.·1f..:rnri11in) il·PI f\·11) l1fprtvJIC'
t0·W} 1r:m d11tn)
103. -Jami; lnvt fd forr1 hi CbS> S None K T lluy I 'H!09
Sl.'l' nnlc in Part VIII
104. -knnison Nat Res hi Inc None lluy 12'2-Ul9
105. -knnison Mid Cap Gruwlh Fd Inc CL A A Dividend K T S11"1 I
:!124:01J ip.Jrl)
llJ6. -Keel")' Small Cap Value I'd t\one Sold 12124/0'J
107. ·LanrJ [:merging :-.brk1h-r
-
h.m ..
---- ------------�---' -- · ---·
!
I
(',)di:.:!
I})
lhlt' of Report .'iame of Pusan Reportin F'INA:'ICIAL DISCLOSURE
REPORT Page 11 of 18 05 15 cO I 0 Co an. llri:in .\I.
\' 11. I N \l E STl\ IE N 1 ..s and TR us TS - inrnm,, \•lJlu .
trurf\(J( lion ( /nd11J,, tlld.\ of \poll\t' ""J Jt!pc'lrdt•nt
d1i/Jrrn; \Upp . .t.J .fiO 11/ Jilin:I( ltl\ff'U( tiot·n.)
0 NONE (.Vo n.:pvrtah/e incomt>. assets. or
tra/l.\'lllfions.)
A II I> lk lription of .-\-.'."llS ln..:\)mc dur.ng l.it1"-s
';1\uc Jt end
(induding 1ru:i.1 a:-.:-:\!:S) ff..'ptlrtin p..:rioJ ,,f
11..'p1)ning p..:noJ
ii) \II 4)1 ii) 1l) 1•1 I ! Pl:u;\! "tX )'" Jt'.cr t.::11:h
:i-.-...:1 ,\moun( r> p..: k i;. Valui..: V:\lu ... · T>rc
i..: g. f).•1..: \'ilui..: (i.11n IJ...·111;1y llf
CuJi.;: I d1\·, r.::nt.·".:1np! fru1n prior J1 ..:klslJr::
1..:thiMI huy . .;.;II. nun d,t )' l .)lk 2 f"n.lc I
t'iu}._.r·o;.clkr iA·tl) or1n1} llP) CoJ..: 3 r..:J..:rnpt111n)
(J-P) I \-111 11r Pl I\ a11..
if)-W) tr,Hl'-Jl I.tin)
I W.
121.
l'n 123.
·Th1irnburg Jnvt TR Cure Gru--·th Fuml CL A
-Wells Fargo Advtg Jnrcmuh Ta,/,\1111 · free fund
-\\!asa1ch Advisor.; Funds Inc Small Cap
IJ
None
Dividend
l'une
L T
T
Sold
lluy
Buy (adJ'I)
ll11y
12.24,0•1
03.-20 ll'I
12.•2.i·ll'J
I !124:Ut.110111110 Pl S1,t100.on1 ',).ljj}!:.111 1 I'
..:.1uo1io1-' '11no1•00
P.\ -S ),IJllO ()01 - ')-\0.tJIM'.l.lll(l I' I 'l...:r-= 1h-1n
"i 1)_qt10.•Jll() \'.1lue \ttir1 .. .I (,tj 1) - \;ipn1... -1I H
"'( i.hf Ofr.11 i .1 ... 10: On'y)
1'i.c-=l d11nrnC ) L. rt. 1l \."..1h1e \' t 11tia
127. -lsharcs Trnsl lbrcl"ys J-1 YI< l"rca Buy ()_1•20.09
12/!. Sol
-
A c
I i
i
i
I ��--��������-
() .. q
M .. :1hod .. :
K
0
1Q·\\')
lime of Ptn.on Ht"porling FINANCIAL DISCLOSURE REPORT Page
12of18 Coi:an, Brian 1\1,
NONE (Nv rr!portahle income. as.H'ts. or tramuctions.)
U. D
lk..1.:npT11m 1d' A .......l:IS l1H.nrn.: Ju1ing Grns!lo
\'aill..: .11..:nJ
(1111.:ludin lru:-1 .1-.s..:1s) r\'f)
-
I
I
I
!
I !
FINANCIAL DISCLOSURE REPORT
Page 13of18
':imt• of Pl'non Rt'portlng
Cug•n, Brian M.
vI I. INV ESTl\ 1 ENTS and TR u STS - ;n,·ume. n1/u .
lr1.1mul"ti1m\ (/nd11Jt'\ thmt' uf \JUJU\ urrJ J p1•nJent' hi/Jrrn;
\t't' l'I'· JJ.(l() of /iii"!( im/TU< lilln\.)
D NONE (No r Mid Cap \'aluc
-Maiming and Nap ier Fund Wold Opponuni1ies
-Manhews Pa 1tii.: figer fLmti 01\.i
Pl
(, ·)l1>11111H - \I 0111 1 1 10 "" 15.1101 ''ti llrll)
I ) C" l 11l11mn:-. l I .1nJ ll I l
'\".Jluc:.\k1h.,.1r·... ks 1"i,"(" l"ulu111n l '.!I
N ·\::'.50.•ttll. \''00,ll1)U pl -") ' Potl.1 11 )nl c;.:,.ooo
HI -S1.rn.1n•}lll -S .ou1.ooo L ) !l.1!1JI. )li!OJIOO I'\
·Sl.Olnl.11111 ·'!>S.!1011.ll!J() r..i ·.\!..re 1h.J11
)50.ooo.nno
(1) (.l) 1 1 Dar..: \'i\lu..: C ;,un
mm.'Jdi)y Cod..; Cl11k I (JI') (,\ I I)
1212.+/09 J
12/24/09 M
1.16/09 K
12124109 L
12124109 K
12124109 K
12/24/09 J
12/24/09 J
12/2-f,'1)9 M
12/24:09 K
12124.'09 J
03'20/09 J
12/2.J,1)9 K
12iN·09 K
0 ".-'OOl-Sl'\1100 H · \l\•h! th.Jn '.. .IHIO t .IO \I
"\IHH.IJt.ll. '.'l!"-001 1 P:! ·· s uon.1>c11 •
s:::i.1•rn).l)oo
T C.l-.h \l.ukct
( ) IJ,,:nl!ly of
hti)l.'r s.. :11..:r j 1f prl\J!C
tr;ins.1i..:111ir1)
f 'I _001 . S O.DOI)
I
' '
I
-
r..:c.J .. :mp111):i)
[)
\ I
M
[)Git nf Rrporl .'\11me of Prr\on H: p-0rtlng FINANCIAL
DISCLOSURE REPORT
Page 14of18 05115'1010Cogan, Bri•n :'.I.
D NONE (,Vo rC'purrah!e income. a.1·si:r. . '""
transacriom.)
,\ fl. c.
O..:.;;,rip1i ..•n of ;\ "..:ts 111..:nmi.: during Ciw:-.'
\;1lu..: al 1:nJ
tim.:ltuhng 1rus1 :i s1.·ts) n.:porting p..:rwJ ,if
r-...·pnrling p1.·ri11J
11) l I ill I ) (ll m tl) 15) P?:ti.:I.' "( xr ali..:r (:lt.:h a
S('I ,\rnount fyrc t< g .. V.1!111.'.' \',d11t: T)p< (
"l_!lfl I • ) I . l!tll t "'i·..- ( ,,[umn::. (I I 111J lH I F -,
11,11111 '"\:1ic1100 (, - 1011.11111. q t '.illlll II i 'I •
10•l.!N)I • ) 111." 1.• IOll 11 \h•re 1h m .;; _foi)IJ.fll I
-. \'.1l11rl•klr.., J SI JU>41 oir !,·-..::. i..: -sr 5 01.11
. s:.u.1111o1 I. )i1).Llo:JI - SloO.•Jt>') \I \ 1110.lllJI · \
1}.1:1111 1\l-,: l 1111111111'> l I 1nJ l>.\1 · " '": o.c1n1.
>uonoo I I ') r>ll.111!1 • )I .01Ml POO Pl )1.1.\011.HIJI .
"S'.t·IX:.(llll) P:::' .:; i no.11HI. \? .·Jllll •}j J
Pl 'S? .1)(>41JIOI - \ 11.'10').llClfl P-i . \l,·1e 1nJn
-ssn.noOJ)0•1 t \"Jl;h· \.t.:11°1o>o.I\ ,..J,-s l) -.\i'PfJ1. JI
R c .. 11Ri•.tl F ... wr Ont)') s .. -\ ..._·...... 111(0111
11::i ...-e (.,l11111n ( · lJ ·(J,,._,\i \ .tluc \" •(
h'"1C'r
-
-, •. :ripti,1n
Fune
·· -----·--
I
I
1);1 rt of Ht" po rl .'i11me of Ptr)on Htpurtlng FINANCIAL
DISCLOSURE REPORT
Page 15 of 18 o .15: 01 oCogan, Brian M.
"r' I. I NV EST i\'I ENTS and TR u STS - innmr . ••u/ue.
,,Ull\Utlion'i ,,,,l ludt'!i lh" " uf 'POU unJ Jqu•nJt'nl 1
l1i/Jrr:n; \U l'P· JJ-MJ of filinx imfrJJl liorn,)
D NONE (No reportahli! incmm:. a.1H:ls. or 1m11.1acti1111s.) A.
ll. c. 0.
n ... nf ,,,,... ,'i fn..;on1l.'lI r..:p11rt1llJ.! p..:ril1J
(II I 2.1 (I) m ti) (]) (J) ll) (jJ ?\m11un1 rHl..:lt: .
\.';ilui: \. .alu..: r r..: t1.: Jot .• D.111: V.ilu..: (i.11n
hkn111 11f 1 ·,,Jc I d1\. . r...·nt. ( 1:-J..: kthuJ tiuy. s..:11.
nun.\J,L'y> l tllk l'f"t..! I bu)..:r , .. lkr 1.-\-li) er 1n1.)
11·1') ('ndl.' J r.:-dl.'mptinn) 1J-Pl IA · l l )
11f11ri1..11..:
(C)-\'l lrn1h.l1.:linn)
188.
189.
llJO.
191.
-Columbia Sekel Small Cap CL l
-bcrgrcen Equity TR Intrinsic Value FD CLA
-Davis New York Veniure Fund lnc.-CL A
-Harlling Lu;:vn HJ In.:. CL A
02. ·Manning 1\nJ NJpi\!r Fund \\'or lJ lluy 1212-109 K
Opportunities Ser CL,\
: 20-1. - hl!lhews Paritic T1g r FunJ 01\ltknd lluy 12'2-l'il'J
Rt:in•,:esrt. d
20-1 -Drpenhcirner Value Fd CL A lluy 12.'2-l'il')
\ .. "' 11011"' 1.-.... n - ,;; I 11\1 . i..,, ;..LAI l "- 5n i
. ;;, °'.11t111 f) = ...'\_1 .. 11 . ) l J!t'ol• 1.'\._"('
lulu.nr.-. Bl ,..11.; l).ll t .. -. o.1 11. s11 1. .. 1 1 \ 1 -. ).
,11l/ 1o(JI · -;,i IJl)\I (itJi) Hl )l_111lil_(hll -
\)_111>ft.11t)(J II \l,•11: th ... .CJllCl,( .. 10
\ .dut l , '1,k J ·s 1 nt,o'1 l t'T lulll•lll':"o("I .11\o! 0')
'.j '\ 0,!101 - '))IMI C)(ltl O ·'l-.110001 - I rli'lll,111111 l'I
)l_1Jnn1111lt - .;;5_1.111010) P:! -S\.Ol l.1)01 ... J-OHJ> .\
.....:-.,1nt1n
tS..; l iilurrin l':!l I! -0•'1.•\.. \'...1111 \. -(11h
-
\'Jiu .. :
Buy
K
.... :lkr
I
Ihle of Hrpnrt '.\i.1mt" of Prnon Htportine FINANCIAL DISCLOSURE
REPORT
Page 16of18 05.'15·20IOCogan. Brian :\I.
vII. INVEST.I\'I ENTS and TRUSTS - inrnm . 1·u/iu, ""n'liJOions
(/nduJe\ tlwH' "''flllH\e und Jt•pt•mlnr/ 111IJr,.n: \(t' Pl'·
ti-hi) vf jilinx in\ITUttiun:i.)
NONE (No rcport11hlt' i11nm1e. assr..: ii..· . hu), l."11.
r.-tl..:1npr1111\)
I J
lhri:
!Tllll dJ, )
1:r
lif rn\;11 ... •
1r;in...., 1ion)
05 -Oppcnht.."i111i::r lnl!!matil.mal Gnvolh Fund·CL A
20o. ·Oppenheimer International OunJ Fund- CL lluy 12/24 '09
A
207. -l'imrn Total Re1um fund CL,\ lluy 12,24109 M
21JM. -l'imrn High Yidd FunJ·CL A lluy Ol'ilh.'U'I L
209. Ouy 12:2 10•1 K (add'I)
210. -RiJge\\mlh FDS lmcrmeuia1c BD FD CL I t'2.',!4:0') M
211. ·Ry.Jex SCil Mid Cap V:oluc Funu CL A Buy I :?: _..'OlJ
212. -Royce hi Total Keturn Fd Consult nl Sold 12/24'09
213. -Royce Fund v,lue Plus Funt! Sen·ice SolJ J::!..':!
,'(11)
214. -Thornburg Intl Value Fund CL A
?.15. -·rLJw.:h:>lonc San11111\lh Ill 11111 lkll t -')
l).!H'1 · \1110.1100 (i 'I I' 1.1J1! I ) I il< I.Ill/I) Ill )I
r1no.r101 - )\•tt•t.1,1011 If! \!,,r:;.'" !li..11l , ,111111.:
I(:
V.tlue ( ,,.ie J -SI i 01111111 i._.,:.. ,.._ ·· 'ii •·OI . ) II
01)(l L ) ni H 11 •111ii:J \I ·')l••t 11111 . "ll"'';.11JI 'J S
0.1141/ • \ )lllJ C1lllJ (J ')•oo 1 11. \I .'"11\'1110 Pl \l.ll'
l.l ll . ., 1 10.11011 P . \:- .•·l j_CIOI . ) Jlt.11 lll)jl
Pl ')!'i IMlll.11111 . ) 11.000.000 I' \ nr..: \hJrl ') ll.!•l I
Ctl)(J } v .. lue- \k1hvJ l 1.J.."' 0 • 'rr1J1-wl R -1 ,,,11R,·.1I
r,r..1re I >nl))
1 e-c- C•.'hHnn( :1 (: f),,,.,l_ \.·.1Jue V I >rht'"r
-
"a me or Pl'nt>n HrporlinJ: 0;11r of Ht: port FINANCIAL
DISCLOSURE REPORT
Co an. Brian J\I. 05'15':010Page 17of18
VIII. A D DITIONAL l'.'IFOR:VIATION OR EXPLANATIONS.
(/ndhur.purt .. JRq•vrt.}
.I) Purl \'II. page 7, line 55: page 10. line HU: page I:!. Jin
147: pat-: 15. l1i:c I 1J6: , he OJlllC of ;i..;s\.!f of "fanus
:\
-
' .
FINANCIAL DISCLOSLIRE REPORT
Page 18of18
!"amt- of Pt·nun Ht."porrini,:
Co1:an, Bri•n 1\1.
0;.1.1r of Rt port
05:15·2010
IX. CERTIFICATION.
I n.·rtif)' that all information gin ·n abo,·e (including
information pcrtainin to 01) °'pouse and minor or tlrpcmh.·nt
1.:hildrcn. if om)) is ac(uralilh the pn»isions of S l'.S.C. :lpp.
§ 501 el. seq., 5 U.S.C. § 7J .l. and Judicial Confrrene<
n·gulalion>.
Signalurr_
NO n:: A,..,\' 1:'1101\'IJ}l] ..\L WllO K!\OWINGLY ,\NO WILFULLY
FALSIFIES II. ,\,..,0 CRl ll:-IAL SA:"tCllONS (5 V.S.C. app. § 10
)
FIUNG INSTRUCTIONS
\fail igncd ori'. inul mi 3 additi'Jml copies 10:
Committee on Finam:1al Disclosure Administralive Office of lhc
United S!Jles Courts Suite 2-JO l Om: Columbus Cin:k N.E.
Wa>hingron. D.C. 20544
