Anne E Thompson Financial Disclosure Report for 2009

8/3/2019 Anne E Thompson Financial Disclosure Report for 2009

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AO SO FINANCIAL DISCLOSURE REPORT R~po,t Required by the Ethicsin Government Act ~f 1978t ~ e , o , s / z , . o s o FOR CALENDAR YEAR 2009 5 u.sc. opp ~ ~ot-ttt)1. Person Reporting Hasl nam e. first, middle initial) L Court o r Organ ization 3. Date o f R eportThompson, Anne E. U.S. District Court 0610412010

4. Title (,,Mlicle ill judges indi~tc active or senior status; 5a. R~port Type Icheck appropriate t~,pe) 6. Reporting Periodmagi:.,tralejudges intricate full or parl-finlc) i[~omination. Date 01101120(19District Judge- Senior Status Initial ~ Annual [-~ Final to12t 3 I5b. ~ Amended Re~

7. Chambers or Office Address 8. On the basis of the information c~tained in this Report and anym~alificatio~s ~aining thereto, it i~ in my opinion, in compliance402 E. State Street mith applicable la~s and regulations.Roon~Trenton, NJ 08608 Reviewing Offit~r ...... Date ....

I M P O R T A N T N O T E S : The instructions accompanying thi~ form must be followed. Complete all parts,checking the NONE box for each part where y ou have no reportable in formation. Sign on last page

I . P O S I T I O N S . (Reporting individuM only; see pp. 9-1.t of filing instructions.)~ N O N E (No reportable positions.)

POSITION NAM E OF ORGANIZATION!ENTITYI. Member - Criminal Law Drafting Committee National Conference of B,u" Examiners

2. Co-Trustee Trust #1 - U /W ]Art. F ifth3. Co-rrustce Trust #2 - UAV ] Art. Sixth

4

N O N E (No repor tabhr agreements .)DAT E PART IES AN D T ER M S

2


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F I NANCI AL DI S CLOS URE REP ORT S . m ~ o f P e r s o n R e p o r t i n g I Date ot ReportPa g e 2 o f 1 7 T h o mps o n . An n e E .]

~6/0~/2010

Ill. NON-INV ESTmeNT IN COME. ~s,~om,,~ individual and sp ..... : see pp. 17 .24 of filing in~sc~ons.)A . Fl ie r s N o n - I n v e s t m e n t I n c o m e~ NO~ non-investment income. )N o reportable

DA~ SO~CE A~ T~E INCOME(yo~, not s~uscs)1.2~)9 National Coherence of Bar Ex aminers -- Fees earned lbr d~fiing, editing $6,~).00& revving bnr exam and cvalnaling t~rformancc of tes~ questions.

4.

B. Spo t lses N o n - l n v e s tm e n t I n c o m e - t f y o , , were married during any port ion of the report ing year , complete th is section,(Dollar wriount no~ required ex t, pt fi~r h~nnr~tri~.)~ NONE (No reportable non-investment income.)

I)A~ SOURCE AND TYPE1.2.

3.4.

IV. R EIMB UR SEM EN T S -.~ N ON E ( ~ reportable reimbursements.)

SOLACE DA~S LOCATION PU~OSE ITEMS PAID OR PROVIDEDI. National Cont~rence of Bar May 14-17, 2C~9 Jackson Hole. WY Activity of Organization Airfarc, 1 totcl, Meals & Local

Examiners Trans~rtation2 National Conference of Bar Octo~r 22-25. 2009 Atlanta. GA Activity of Organization Airfare. Hotel, bleals & I ~calExarniners Transl~,aation3.4 .5.


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FINANCIAL DISCLOSURE REPORT N . . . .. . t ~ e r ~ o . R ~ o r , in g ~.teofR~,~Page 3 of 17 Tho,nps,m. A n n e E . 06/0~/2010

V . G I F T S . t ~ , ,~ . s t ~ o ~ o t o ~ o . ~ . . d ~ , o .a , . , ~ , ~ : ~ o ~ . z ~ - . ~ ~ of filing inytruction~.)NONE (No reportable

SOURCE DESCRIFqION VALUEI.2.3.4.5.

~ N O N E (No reportable liabilities. )CREDITOR _DI~CRIFIION VALUE CODE

I.

3.

5.


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FINANCIAL DISCLOSURE REPORT [N a m e o f P e r s o n R e p o r t in g D a t , o t R e p o r tIP a g e 4 o f 1 7 ] T h o m p s on , A n n e E. 0 6 1 0 4 ~ 2 0 1 0

$ q I . I N V E S T M E N T S a n d T R U S T S -. i .......... r u e . , . . .. .,io., lnclndes th . . . . , f s p . . . . . . . . . d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i h n g i n s ~ t r u c t i o n g . )~-~ (IVo reportable assets, orONE. income, transactions.)........... 1,. " B. .... c. ..... ~ ...... tV

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 ~ g G r o s s " , a lu e a t e n d i T r a r , s a c d o p , s & w 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 ~ s t a s s e t . - .) reporting period ....l re~rllng D.riod ;~ .~ ~ 2 ) o) : (2) = (l) - {~i (3~ I (4) { 5 )P l a c e " ( X I " a f t e r e a c h a s . ~ t i A m o u n t T y p e ( ~ : . g . . Value Va|ue i Tvpc (e.g D a l e V alue Gain ] d c n l it y o f

e x e m p t f r o m p r i o r d i s c lo s a z r e . C o d e 1 div, rent, C o d e 2 M e t h o d i buy, ~ll, mm/dd/yy i Code 2 ! Code 1 buyer/selleri (A-H) or ira) I . J P ) C o d e 3 I r e d e m p t i o n ) [ {J-P) [ (A-Ill ( i f p r i v a t ei ( Q -W ) i . ~ t a n s ~ l i o n ). I . : ......... i .....I Sun Natl Bank Checking Account A Interest K T2. Dukes County Bank Accotmt None J T

3. ING Direct N o r m J T4. Gle~mrede Tax-Exempt Fund A I n [ . / I ) ~ v . J "I5 Genentcch lnc None Sold 01/09/00 J A6. Talisman Energy None SoId 05108/~) J A7 Procter & Gamble Co A Dividend J T~. FPL Group No~e Sold 0 1 1 2 7 1 0 9 J Aq. Hansert Natural Coq) None J T

10 . JP Morgan & ChaseCo A Dividend Sold 0 6 1 1 9 1 0 9 J AI 1. General ElccuicCo A Dividend Sold 0 1 1 ( ~ 1 1 0 9 J At2 Express Scripts None Sold 1 1 1 2 3 1 0 9 J B13 . CVS Carp A Dividend Sold I 1 / 0 9 1 0 9 J A14 . Goldman Sachs Group lnc None S ~ ) l d 0 2 / ( H - / ( Y 4 J B15 . Rio Tinto PLC A Divide~ Sold 05/2-gV09 ! B

1 6 . U.S. Bancorp A Dividend J T17 . Dominion Resources A Dividend J T Bu y 03~0/091 J


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Ia m e o [ P e r s o ~ R e p o r t i n g D a t eF I N A N C I A L DISCLOSURE REPORT[ Thompson, Anne E.

Page 5 of 17V I I . I N V E S T M E N T S a n d T R U S T S --i ....... .~,,., ~ ...... Kons (Inc ludes those q & ........ d depend ent chiMren; see pp. 3*60 of filing ins tructio ns.)

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

~scnption of Assets Incom e during Gross value at end ~ Transactions d~ring re~ing wri~(i ~cluding ~st assets~ repo~fing ~rk~l o [ reportingPlace "(X~" after each as~ ~Amount ~ Ty~ ~e.g. . Value ~ Value ~ Ty~ (e.g..exempt from prior disclosure ~ C~e 1 3 div ..renL Code 2 ~ Melhod [ buy. sell. ~m~d~vv , Code 2 C~e I buyer/~ller~ (A-H~ o r m t . } (J -P) ~ C~e3 rcdemptiou) ] [J-P ~ {A-fD Of private~ (Q -W i ~ Iran~aclion)

18 . Gilead Sciences lnc N o n e J T Buy 03/271~ J

19 . Walt Disney lnc N o n e Bny ~/02/09

2 0 . Walt Disney Inc None Sold 09 /I I /~ J A21 . Exelon Corpnration A Dividend J T Buy 05/13/0q J

22 . McDonalds Corp A Dividend J T Buy 06,0F, I09 J

23 V arian Medical Systems Inc None J T B uy I ~ " ~ / 1 0 t 0 9 J2 4 II-I" Educational Services None J T B uy 1 1 1 0 3 1 0 9 J25. lntel Corp Nnnc J T B.uy 1 I / 2 , 4 , 0 9 .126 . TRUST#1 -- U/W ]Art. C Dividend O TFifth2 7 . -- NJ State Tpk Auth Bond Redeemed 0 1 / 0 2 1 0 9 J A2 8 . -- Fidelity Diversified lntl Fund Sold 02!~;6109 J A

(part)2 9 . -- Fidelity Cash Reserves

30 . -- Fidelity Advisor New Insights Fnnd

3 I. -- Fidelity Real Estate Investment Fund Sold 10105109 J B(part)

32 . -- Fidelity Blue Chip Growth Fund

33. -- Fidelity NJ Municipal Income Fundi4. -- Fidelity Short-Inter Mediate Muni IncomeFund2, Value C~x4es | =$15.(~O or less


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FINANCIAL DISCLOSURE REPORT ] N a m e ~ff tersorl Reporting Date of ReportIP a g e 6 o f 1 7V II. IN~STMENTS and TRUSTS .. i . . . . . . . . ~, , , . , . . . . . . . , i o , , e t , t . a , s t h o , , o f ~ p o , , .~ , . . a a , ~ , . a , . t ~ h i t a . . .. s ~ , ~ v . 3 4 - 6 0 of filing inst~caons.)

N O N E (No reportable income, assets, or transactions. )~scripfion of Assets i l~ome d~ring Gross value at end , Transactions during reposing ~riod

( i n c l n d i n gPlace(XJ" after each as~t ~ A m o u n t , T y p e ( e . g . . Value ~ Value Ty~(e.~ ~ Date V alne ~ Gain ; I d e n t i t y N

..... pt ~om prior disc l ..... {A-H), o r i n t . ) i J - P } ~ Cede 3 i r e d e m p t i o n ) ~t : (J-P~ [ (A-H) ~ (ifprNate

35. -- Cambrizr Oppoflunily Investor Ftmd

36 . -- All ianccBem M uni Inc Ftmd 11 NJ

3 7 . -- Alliauz NFJ Dividend V alue Fund Sold 02/06/09 J A( p a r t ~38 . -- Alliartz NFJ Dividend V alue Ftmd Sold 04/23/09 J A3 0 . -- Baron Growth F~m d Sold 12/17/09 J A~ p a r O40 . -- Clipper FuJ~d Sold 10/05/0g J B4 t. -- Columbia Marisco Focused Eq. CL A Sold 10/05/09 K C(part)42 . -- Credit Suisse Commd Return Strategy Sold 02/06/09 J ACorn Shr43. -- DWS Strategic High Yield Tax Free CL S4 4 . -- Davis NY V cntttre CL A Sold 1 2 / [ 7 / 0 0 J C4 5 . - Diamond 11i]1 Small Cap Fund CL A Sold 1 2 1 1 7 1 0 0 J A

I p a r 1 ~46 -- Eaton Vance FIoat Rate High Income Sold 1 0 / 0 5 1 0 9 J BFtmd Adv47 . -- Franklin NJ "fax F~ee lncnme Fund A Bu y 1 2 1 1 7 / 0 9 J(addl)48 . -- I larbor Capital Appreciation Fund

49 . -- Hartford Capital Appreciation Fund CL A

50 . -- Hotchkins & W ile,,/vlid Cap Value Ftmd Sold 10/05/09 J ACI, A ( p a r t )5 1 . -- Morgan Stanley Mid Cap Growth Port CL


7/17

Ia m e o f P e r .~ o n R e p o r t i n g I D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT[ Thompson, Anne E. ~

~ /0 4 ~0 10Page 7 o f 17VII. INVEST~~NTS and TRUSTS -- i ......... t,,., ......ao.~ (InchMe s those of ~ ...... d depende~ children: see pp. 3 4-60 of filing i .. . ..~ NONE income, assets, transactions.)No

~scription of A~Is ] I n c o m e d u t it t g ; G r o s s v a lu e ~ t e n d Transactions during reporting ~riod(including ~st assets) ] re~ing peri~ o[ repo~ting ~riodP l z c e " ( X ) " a f t e r e a c h a x ~ t A m o u n t Ty~ (e g Value ] Value ~ " 1 ? ~ ~ e . g . , : Da~e ~ Value G ~ i n I d e n t i ~ ye ~ e m p t f ro m F r i o r d i s c lo s u r e [ C~e 1 t f i v . , r c m . C o d e 2 M e t h o d ] buy.~ll, ~mm/d~yy Code 2 C~e I bu)erl~Her: ( A - I I ) o r i n t . ~ ( J - P ) ~ C~e 3 r r e d e m p t t o n ) [ ] ( J - P ) (A-]l) { i f p r i ~ a l c( Q - W ) i ~ ~ r a n s a c t i o n ~

5 2 . -- M utual Series M utual Sh;~es CL A Sold 1 0 1 0 5 / 0 9 J B(part)5 3 . -- Nuvecn NJ Muni Bond Fund CL A Bu y ~/231~ J(~ddl)5 4 . -- T Row e ~ice M id Czp V zlue F und Adv Sold 1 0 / 0 5 / ( ~ ) J AClass (part)5 5 . --T Row e P~ice V alue Fuud Adv Class5 6 . -- Royce PA Mutual Fund Sold 1 2 / 1 7 / 0 9 J A

( p a r t ~5 7 . -- S&P 500 Depository Receipt Sold 10/07/09 J C(part)5 8 . -- CRM Mid Cap Value Investor Fund

5 9 . -- Fidelity AMTTax -Frcc Moncy M kt Fund Bu y ! 0 2 1 0 5 1 0 9 K6 0 . -- Pimco Real Estate Admin Class Fund Buy 1 0 2 1 0 6 1 0 9 J

6t . - - P imco Commodity Rea l Rct S tra t Admin Bu y 02106109 J6 2 . -- Pioneer (-?ul[o~ Value Fund Bo y P ~ : ~ 3 / t ) 9 J6 ~ 1 . -- Pioneer Cullen V alue Fnnd Sold 10/05/09 J B64 -- Fidelity Emerging Markets Fund Bu y 1 0 1 0 5 / 0 9 J6 5 . -- AIM InternationalGrowth F und I : l n y 10 /05/09 J6 6 . - Ar~io International Equity Fund 11 Bu y 1 0 1 0 5 1 0 9 J

6 7 . -- Manning & Napier W orld Oppt Bu y 10/05/09 J6 8 . -- Thnrnbulg lntl Valne Fund Bu y 10/05/09 J


8/17

FINANCIAL DISCLOSURE REPORT N~ . . . . f P e r s o r l R e p o r l i n ~P a g e 8 o f 1 7 ] r n , , m p ~ o , ~ , A n t ~ , e E . ~/~010

V I I . I N V E S T M E N T S a n d T R U S T S -- ~ ......... ~ , , ~ , tr .... tion~ Indude.~ those of ~ ....... d dependent church; s~ pp. 34-60 of filing~ (No r~7)ortable ini;ome, ~asets. orONE tr~tttsactiotts. )

.~ - ~ . c.D e s c r ip t io n o f A ~ e ls la c o m e d u n n g G r o s s ~ a I t ~ e a t e n d T r a ~ s z c t i o n s d u r i n g r e p o a i n g{ i n c l u d i ~ g t r u s t a s s e t ~ ! t e n o r r i n g ~ r i o d of rrporting ~ri~

~ x e m p t f~ o m p r ~ r d i s c lo s u r e C~te I d i v . . ~ n L C o d e 2 kklh~ buy. ~ll, mmidd~)y . ~e _ i C~e 1 buyer/~ller~ ( A - H ) o r i n l ) ( J - P ) ] g J ~ t c 3 r c d e ~ n p l i o ~ ) ~ d-P) I (A-H) { i f p r i v a l e: ~ Q - W ) ~ ] t r a n s ; ~ c t l o ~ a l

6 9 . -- Vitr~ F oreign Opport~ities F~d B t ~ y 1 0 1 0 5 ! @ ~ J7 0 . - - Goldman Sachs Hi~ Yield F~d Bn y 1 0 /0 5 / @ ~ J7 l. --T Row e Price High Yield Fttnd Buy 10/05/09 J7 2 . -- lemplctott Global Bond Fua}d Buy 10/05/09 J7 3 . -- MI:S International V alue Fund Buy 1 2 1 1 7 1 0 9 J

7 4 . TRUSI#2-- U/W .......IArt. c D i v i d e n d O TS ~ x d ~I 7 5 . -- Burlington Cotmty NJ B ond

7 6 . -- Ocean City NJ B ond7 7 . -- F idelity I)ivcrsified lntl Fund Sold 0 " 1 / 2 3 1 0 9 J AIpart)7g . -- Fidelity Cash Reserves

7 9 . -- Fidelity Advisor b, tid Cap Fund II CL I

8 0 . - Fidelity Advisor lntl Discovery FundCLI8 1 . -- Fidelity Real Estate Investment Fund Sold

I I , a a )g 2 . -- Fidelity BlncChip Growth Ftmd

8 3 . -- Fidelity Short-lntc~ M ediate Mttni IncomeFu~tl8 4 . -- Allianz NFJ Dividend V alue Ftmd Snld 0gi14/09 J A(part)8 5 . -- Baron Groxvth Fund ] Sold 0g/14/0 t) J A II Ipart}


9/17

P a g e F I N A N C I A L 9 o f 1 7 D I S C I ,O S U R E R E P O R T " r h o m p s o J t , Ann~ r .V II. INV ESTMENTS and TRUSTS .. ; ......... it,o, t ..... a o . s a . a u d ~ , , h o . ~ 4 s p . . . . . . . ~ ~,~~ NONE income, assets, or transactions.)No reportable

................... ~ .... -~. c. D .A.~scription of A~scts [ I m o m e d u r i n g G r o s s v a lv e a t e n d Transactions daring ~poning l~riod( i n c lu d i n g I ~ 5 1 a s s e t s ) ~)rting ~ri~ of ~porting wriod _ _H a c e " { X l " a f te r e a c h a s ~ t : A m o u n t : Ty~ [e.g.. Value Value Type (eg, ~ Date Va~ue Gain I d e m i t y o f

e x c m p ~ f r o m p r i o r d i s c lo s u r e [ C~c 1 [ dw..rent, Cote2 M clh~ buy,~ql, mm/d~yy C~Ie 2 C~le I bu>ert~ller( A - I I ) ] o r i n ~ . ) ( J - [ ~ C o d e 3 r e d e m p t i o n ) :: ( J - P )( Q - W ) ~ ~ t r a n ~ a c l i o n ~

8 6 . -- Columbia Ma6sco Focused Eq. CL A Sold 08/14f l~) K C(pa~)8 7 . -- Credit Suisse Commd R cmm Strategy Sold 0 2 A~ /~ ) J A~ Corn Shr8 8 . -- DW S Strategic High Yield Tax Free CL S8 9 . -- Davis NY Venture CL A Sold 0 8 1 1 4 1 0 9 J C(part)9 0 . -- Diamond Hill Small Cap Fund CL A Sold 08/14109 J AIpart)9 1 . -- Eaton Vance Float Rate Hi2da Income Sold 0,//14/09 J BFund Adv0 2 . -- Fraoklin NJ Tax F ree Income Fund A B ay 0 4 1 2 3 1 0 9 J(addl)9 3 . -- H~bor Capital Appreciation Fund

9 4 . -- Hartford Capital Appreciation Fund CL A l Sold 0 8 ! ! 4 1 0 0(pan)9 5 . -- IShares TR Russell 100 Growth IndexFtmd

9 6 . -- Artio Intl Equity Fund I1 CL A

97 -- Mutua! Series Mutual Shares CL A

9 8 . -- Nuvecn NJ Mtmi Bond F nnd CI. At~ -- RS Value Fund1 0 0 . -- Rainier Large Cap Equity Port Fund Sold 0Sll4 109 J B1 0 1 . -- T Row e Pricc Mid Cap Value Fund Adv S o h . I 08/14/09Class Ipart)1 1 ) 2 . -- T Row e Price Value Fund Adv Class Sold 08/14/09Ipart)

1. Income Gain C~)cles: A =$1,tllOor less B =$1,O31 - $2,5(g~ C :g2.5111 - $5.1~;O D =$5,(~11 - $15.(/1t E =$15.1~!1 - $~a II~


10/17

N a m e o r P e r s o n R e p o r l in g D a le o f R ~ p o r tFINANCIAL DISCLOSURE REPORT ~ho~tp.~o., A,,.e ~..P a g e 1 0 o f 1 7 0 6 / ~ / 2 0 t oV I I . I N V E S T M E N T S a n d T R U S T S .. i ........ t.,, t ..... fionr (Includes thos~ of rp ....... d &pndtnt children: u* pp. 34-60 of fili,,g inxtructions.)

N O N E (No repor table income, assets, or transactions.)A. B. I C D.D e s c r i p t io n o f A s s e t s i I n c o m e d u r i n g [ ( i r o s s v a l u e a l 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 in g period( i n c l u d i n g t r u s t a s s e t s ) reporting p:riod of rep~ing period "

Ptace(X)afl .... c h a s s ~ t !Am;unti T)pe(e.g., V a lu e Value q~(e.g.. : Date ~ Value I Gain h~ntityofe x e m p t f r o m p r i o r d i ~ l o s u r e t C o d e 1 d i v . . r e n t . C o d e 2 M e l h o d buy, sell , m n ~ d $ y y ! C o d e 2 ~ C o d e I buyer/~ller( A - H ) o r i n t . ) IJ-[) C o d e ~ ~ r c d e m p t i o n ~ i OP) [ ( A - H ) ( i f p r i v a t e, ~ ( Q - W ~ ] ], t r z m s a c t i o n ~

1 0 3 . - - Royce PA Mut~l F~d Sold 08 114/~ J A1 0 4 . -- S&P 5~ ~silo~, R~eipt Sold 08/18/09 K D(Drt)1 0 5 . -- ~ombtrg Value Fund CL A ~old 08]14~09 J C1 0 6 . -- VaJt K ampcn Corn Stock CL A Sold Og/I 4 / 0 9 J C1 ( ) 7 . - CRM M id Cap Value Investor Fund Sold 08/14109 J A~ p a n )I0K - - F ide li ty AMT Tax-F ree Money Mkt Fund B uy 02105/0q Kl(f). -- AIM International Growth Fund Bu y 08114/09 J1 lO -- Artisan lntl V alue Fund Bu y 08fl4/09 JI I t . -- American EuroPacific Gro,*th Fund Bu y 0 8 1 1 4 1 0 9 J12 -- I3E Inlcrnational Equity Serqce Fund Bu y 0 8 / 1 4 / 1 Y ) J1 3. -- MFS International Value Fund Bu y 0 ~ 1 1 , ~ / 0 9 JI - 1 . -- Manning & Napier World Oppt Bu y 08/14/00 J

I 1 5 . -- Op!:mnhcimcr Commod Strat Total Return t - ~ . u y 08/1,1/09 K1 1 6 . - - SSGA Emerging Markets Buy 0 8 1 1 4 1 0 9 J

1 7 . --Thontburg Intl V alue Fnnd Bu y 0 8 1 1 4 1 0 0 J1 I S . -- AllianceBern M tmi Inc II NJ F und Buy 08 /14/(f) J1 1 9 . -- } imco R eal Estate Admin Class Fund Buy 08/14/09 J

I


11/17

FINANCIAL DISCLOSURE REPORT r~ .... f P ~ z r s o n R e p o r t i n g D a t e o f R e p o r tPage 1 1 o f 1 7 T h o m p s o n , A n n e E. 0610-1~010V I I . I N V E S T M E N T S a n d T R U S T S .- i ........ t . . . . . . . . . ,o,~ (Includes those of sp ....... d dependenl children: see pp. 34-60 of filing instruction,.)[] NONE (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 t t r i n g G r o s s v a h t 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 f f i n g p e r i o d( i n c lu d i n g m ~ s t a s s c ~ s ) re~rfing ~riod of reporling ~ri~

P l a c e " i X ) " a f t e r e a c h a s ~ l ~ A m o u n t Tyw reg.. V ah~ Value Ty~ (e.g.. D a t e Value Gaia I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e C m l e I div, ~nL C~c 2 Meth~ buy. ~ . mm/d~yy C o d e 2 C o d e 1 buyer/seller{ A - H ! o r i ~ t ) ( J - P ) C m l e 3 m d e m p l i o n ) ~ [ (J-P) { A - H ) ( i f p r i v a t e( Q - ~ V ) a ~

1 2 0 . -- T Row e ~ice High Yield Pund Bu y 08/14/~ K1 2 1 . -- Templeton Global Bond Fund Bu y 0 8 1 1 4 1 0 9 J1 2 2 . GLENMEDE IRA None O T1 2 3 . -- Glcnrncdc Core Fixed Income Port B uy 0 3 1 1 3 1 0 9 M(addl)1 2 4 . -- Bank of America Bond

1 2 5 . -- Corp Backed Trust Cons Bond Sold 01/29J09 J A{part)1 2 6 . -- Corp Backed Trust Ce~ts Bond Sold 0 2 _ 1 1 3 1 0 9 J A(part)

1 2 7 . -- Corp Backed Trust Ccrts Bond Sold 0 , R ~ 6 1 0 9 J A1 2 8 . -- Corts GE Capital Bond

1 2 9 . -- ING Group Bond Sold 01~1/09 J A1 3 0 . -- General Electric Co Sold Ollf~)/09 l A1 3 1 . -- Exxon M obiICorp1 3 2 . -- Ci~isroup Inc Sold 04/30/09 J A1 3 3 . -- Johnson & Johuson

1 3 , 1 . -- Glcnmede Govt Cash Fund

1 3 5 . -- Talisman Energy Sold 0 5 1 0 5 1 0 9 J B1 3 6 . -- Glcnmede International Fund


12/17

FINANCIAL DISCLOSURE REPORT N .....P e r s o ~ , R e p o r t i n g I D a t e o l R e p o r tP age 1 2 o f 1 7 Thompsol~, A n n e E. I 0 6 1 0 4 1 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S .- i, co ..... t, , . t ........ t i o n s ( I n c lu d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s ~ e p p . 3 4 - 6 0 o f f il i n g i n s tr u c t i o n s . )~ NONE (No income, assets, or transactions.)eportab!......... ~.- .................. r~. C . D .D e s c r i p t i o n o t A ~ s e t s I n c o m e d u r i n g ( - ; r o s s v a l u e , a t e n d T r a n s a c t io n s d u r i n g r e p o s i n g p ~ r i o d

l i n c h ~ d i u g t r u : ~ t a s s e t s ) r e p o r t in g p e r i o d o f r e p o r t i n g p e r i * : ~ l(1) ! i2) I~ i (2) ! (1 ) (2) (3) (4) 15 )

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e .g , V a h , " i Value i T y p e ( e . g .. . I)a~e V alue Gain I d e n t i ty o fe x e m p t f r o m p r i o r d i ~ l o s u re C o d e 1 d i v . . r e n t . C o d e 2 ! M e t h ~ l ! buy, sell, i m m / d :l / y v " C o de 2 C o d e 1 b u . , , e r f s e l l c rIA-H) , o r i n t . ) ( J . P ~ [ C o d e 3 , e d c m p t i o , , ) i (J-P) [ (A - H 3 (ifpriva,e! ( Q - W ) ;; t r a n s a c t i o n )

1 3 7 . -- Devol~ Energy B uy 07/07/09 J(addl)1 3 8 . -- Gencntech In( Sold O l l ( Y ) / I J 9 J C

1 3 9 . -- Equitable Resources In( Sold 0 8 / 2 1 ) / 1 3 " ) J A140. -- Weathcrh.d l~tl Ltd Sold 05/08 /09 J A

1 4 1 . Apple Computer Inc Sold 04/0q/09 J D

14_.7..- Qualcoman Corp1 4 3 . -- Rio Tinto PLC

1 4 4 . -- Nil Holdings Inc - CL B B uy 06/01/09 J(addl)1 4 5 . -- McDermott International In(

1 4 6 . -- Ptocter & Gamble Co1 4 7 . - FPLG~oup lnc Sold 0 1 / 2 7 1 0 9 J A1 4 8 . -- Nvidia Corp Sold 0 ~ 1 2 2 J 0 ) J A1 4 9 -- lfanscn Natural Corp1 5 0 . -- Texas Instrument; Inc Sold ( H / O , q / O q J A1 5 1 . -- Acccnture l.td Soltl 0 1 / 1 5 / ~ J A1 5 2 . - - A T & T In c1 5 3 . -- Hartford Financial Services Group In( Sold 0 5 1 0 g I 0 9 J A


13/17

FINANCIAL DISCLOSURE REPORT N ..... f P .... R e p o r t i n g D a t e o f R e p o r tPa g e 1 3 o f 1 7 g h o n , p ~ o n , A n n e E . 0 6 / 0 4 / 2 0 1 0

V I I . I NV ESTMENTS and TRUSTS -.[~] NONE income, or transactions.)No reportable ISSdtS,

[ ~ s c r ~ p t i o n o l A s s e t s I n c o m e d u r i n g I Gro~s value at T r a n s a c t i o n s during ~poning p e r i o d( i n c lu d i n g m ~ s t a s ~ t s ) rc~ing.pcriod [ of reporting ~riod

e x e m p ~ f r o m p r i o r d i s cl o s t ~ r e I Code I idiv., rent, / Code 2 ~ Me~h~t b u y , s e l l , ~mm/d~yy Code 2 ~ C~e 1 : buycr/~ller

1 5 4 . -- G~gl lnc: 1 1 5 5 . -- JP Morgan Cha~e & Co Sold 08 / 1 8 / ~ J B

15 6 . -- Ca~ntcr Technology Corp Sold ~/22/09 J A1 5 7 . -- Honeywell International

1 5 8 . -- Nucor Corp

1 5 9 . -- Exprcss Scripts Buy 0 1 / 2 2 / ( Y 4 J(addD1 6 0 . -- Express Scripta Sold I I/23/09 J C1 6 1 . -- CVS Corp Sold I I / f . 1 9 / 0 9 J A1 6 2 . -- Goldman Sachs Group Inc Sokl 02/04/09 J B

1 6 3 . -- U.S. Bancorp!64 . - - Baker Hughes lnc Buy 0 1 t ( X ~ ! I Y 9 J

1 6 5 . -- AT&T Inc Bond Buy 03/02/09 K

166. -- AT&T lnc Bond Sold 12/()1/(~) K f3

1 6 7 . -- Astrazcneca ILC Bond Buy 0 3 / 0 - ~ / 0 9 K1 6 8 -- Conotophillips Buy 03/19/0q J1 6 9 . -- Dominion Resources In,,: Buy 03/20fl~ l

1 7 0 . -- Gilead Sciences lnc Bu y 0 3 , r 2 7 / 0 9 J


14/17

PageFIN~CIAL14 of 17 DISCLOSU~ ~PORT Tho m p so , , , A n n e r. ~ ~/~/2010

~ N ONE (~ reportable income, assets, or transactions. )...... ,~ ............ ~.~ -7- c. " .....- - ~~scripliou of AS~S I I n c o m e d a r i n g Gross value a l en d ~ I ransact~ons during reposing p e d ~( i n c l u d i n g ~ s t a s s e l s ) ~ ~eportmg ~[iod nf reD)rting ~ri~d ~ ............

P l a c e " ( X ) " a f t e r e a c h a s ~ t :Amo~t T~ (e.g., Value ~ a l u ~ l y~ (e.g. [ Date ] Value Gain I d e n t i t y o fc x c m p l [ to m p ~ / o ~ d i ~ l o s u r e C~te I [ d i v . , r e n t , C o d e 2 [ M e t h o d b u y , ~ ] ! , ram/rid/y) . Co~ 2 C~le 1 buycr/~llcr ,( A - H ) I o r i n i A [ 0 P} ~ C,~e 3 r~:dempfion) } U - P ) f A - H ) (ifprivale

~ [ i O - W ~ ; w a n s a c 6 o n ) . 1 7 1 . - - W a l t D i s n e y C o . B u y ( ~ / 0 2 1 0 9 J

1 7 2 . -- Walt Disney Co. Sold 0 W I 1 1 0 9 J C

1 7 3 . -- Exclon Corp Buy 0 5 1 1 3 1 0 0 J

174. -- Novartis AG ADR B uy 05!15/09 J

1 7 5 . -- ITF Industries Inc Bu y 0 5 / 2 0 1 1 Y ) J

1 7 6 . -- Yum B~ands Inc Buy 05!27/09 J

1 7 7 . -- Northcm Trus! Corp Buy 0 5 / 2 . 0 / 0 9 J

1 7 8 . -- McDonaldsCorp Bu y 0 6 / 0 8 / 0 9 J

1 7 9 . - Varian Mcdical Systems Buy 0 6 / 1 0 1 1 3 9 i J1 8 0 . - - A p a c h e C o , r p Bu y 0 6 1 1 7 I ( Y 0 J1 8 1 . -- Cisco Systems Bu v 0 6 1 2 6 / 0 9 J

1 8 2 . - - Precision Castparts Corp Bu y ! 07/0g/09 J

1 8 3 . -- t~ecision Castparts Corp Sold ~/I ; l0 J C1 8 4 . -- Exlxxlitors Intl Wash h)c Buy 0 7 1 1 3 1 0 9 J

1 8 5 . -- Buffalo Small Cap Fund Buy 0 7 ! 2 9 1 ( ) 9 J

1 8 6 . -- W illiam Blair Int] Gruwth F und B u y 07!29/09 K


15/17

FINANCIAL DI SCLOSURE REPORT N .....f P ....Re p o r tin g Da le o f Re p o r tP age 1 5 o f 1 7 " t h o m p s o n . A n n e E . ! ~ 3 i 0 4 / 2 0 ! 0

VII. INVESTMENTS an d T R U S T S -- i ......... t.e, t .....ions (Includes those of sp ...... d dependent children: see pp. 34-60 of filing instructions.[] (No reportable it~come, assets, or )O~ transacliolts.

- ~ - " ~ ~ ~ " c. ~ D, ...............~ption of Asscls Income d~ing]

Gro~s value at cnd I Transact ions during ~po~ing ~fi~(including ~st asseLs) ~ re~ing ~riod of repo~fing ~riod

Place " (X}" af ter ea~ asset ~Amount "fy~ {e.~, ~ Vah~e ~ Value Ty~ (eg, Date Value ~ Gain Idcnfily o[exempt tkom prior disclosure C~dc 1 div., renl, Code 2 M ethod ~ buy, ~ll. mm/dc~iy Code 2 Code I buyer!~lter(A-H~ or int.) (J-Pi C~e 3 [ redemption) ~ (J-P~ (A-tt) ~ (ifpfivale~ ~ ~ (Q- W ) ~ t~nsactio.i

188 . -- Abt~t~ ~ratorics B uy 08/28/(~ J

1 8 9 . -- Baxter Inten~ational [ : l u y 1 0 1 1 5 1 0 9 l

1 9 0 . -- rIT .Educatio~xal Ser~,iccs Bu y : 1 1 1 0 3 / 0 9 l1 9 1 . -- Inlel Coq) Bu y I I 1 / 2 4 ! ( D J1 9 2 . -- Tcmplcton Global.Bond F und Bu y 1 2 1 0 7 1 0 9 J1 9 3 . -- Legg Mason Brandy,xine Global Fund Bu y 12/07/09 K

1 9 4 .

1 9 5 .


16/17

FINANCIAl, DISCI,OSURE REPORT Name of Per~n Reporting Da,e of ReportPage 16 of 17 a ~ , , . ~ p ~ o . , A n . e ~ . t ~ / 0 ~ i . o l 0VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


17/17

FINANCIAL DISCLOSUREREPORT [Name o~Pers~n Repo~t ing Date of ReportPage 1 7 of 1 7[ T h o m p s o n , A m , e E .

0 6 / 0 4 / 2 0 1 0

IX. CERTIFICATION.I certify, that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, tn~e, and comp lete to the best of my kno ~ltdge and belief, and that any inform ation not reported w as v, ithheld because it met applicable statutoryprovisions permitting non-disclosure.I further certify thai earned iucome from outside employment and bonorarla and the acceptance of gifts whlch hav e been reported are iucompliance w ith Ihe provisions of 5 U .S.C. app. 501 el. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature_

NOTE: ANY INDIVIDUAl, WHO K NOW INGLY AND Wll ,FUI.LY FALSIFIEAND CRIM INAL SAN CTIONS (5 U .S.C. app. l lgl)

FILING INSFRUCTIONSM ail signed original and 3 additional copies to:

Comm ittee on F inancial DisclosureAdministrative Office of the U nited States CourtsSuite 2-30 IOne Columbus Circlc, N.E.W ashington, D.C. 20544

Documents

Anne E Thompson Financial Disclosure Report for 2009