AOJO in Government Aci of 1978 · 2019-07-26 · in Government Aci of 1978 . Rev.1/2007 _ FOR CALENDAR YEAR 2006 (5 U.S.C. app. §§ 101-111) L Person Reporting (last name, irst,

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Report Required by the E1hics .L DISCLOSURE REPOR'f. AOJO in Government Aci of 1978 Rev.1/2007_ FOR CALENDAR YEAR 2006 (5 U.S.C. app. §§ 101-111)
L Person Reporting (last name, first, middle initial)
Barry, Maryanne T
3. Date of Report
8/14/2007
4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
U.S. Circuit Judge
D Nomination, Date
6. Reporting Period
USPO & Courthouse Bldg Newark, NJ 07101
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.
Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
J. POSJTI 0 NS. (Reporting individual only; see pp. 9-13 of instructions.)
D NONE (No reportable positions.)
POSITION
[K} NONE (No reportable agreements.)
PARTIES AND TERMS
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 3of77 Barry, Maryanne T 8/14/2007
Ill. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. J 7-24 of instruc/ions.)
A. Filer's Non-Investment Income
1.
2.
4.
B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complele this section.
(Dollar amount not required except for honoraria.)
[KJ NONE (No reportable non-investment income.)
AND TYPE
IV. REIMBURSEMENTS -- transportalion, lodging, food, entertainment.
(Jncludes those to spouse and dependent children. See pp. 25-27 of instructions.)
0 NONE (No reportable reimbursements.)
SOURCE DESCRIPTION
Page 4 of 77 Barry, Maryanne T 8/14/2007
V, GIFfS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)
[RJ NONE (No reportable gifts.)
SOURCE DESCRIPTION
2.
3.
4.
5.
VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-33 of instructions.)
[RJ NONE (No reportable liabilities.)
CODE
1.
2.
3.
4.
5.
Name of Person Reporting Dale of Report FINANCIAL DISCLOSURE REPORT
Page 5 of 77 Barry, Maryanne T 8(14/2007
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing ins/ructions.)
D NONE (No reportable income, assets, or trans actions.)
A. Description of Assets
exempt from prior disclosure
B. C. D.
Income during Gross value at end of Transactions during reporting period reporting period reporting period
(I) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Dale Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
1. Rental Property #1 Brooklyn, NY A Rent LIQ 12/31
2. Rental Property #2 Brooklyn, NY F Rent N u
3. Rental Property #18 Brooklyn, NY D Rent LIQ 12131
4. Rental Property #16 Brooklyn, NY A Rent N u
5. Rental Property #17 Brooklyn, NY E Rent J u
6. Family Business #2 Brooklyn, NY D Int./Div. M u
7. Rental Property #21 Brooklyn, NY G Rent 0 u
8. Rental Property #22 Brooklyn, NY E Rent J u
9. Rental Property #23 Brooklyn, NY c Rent LIQ 12131
10. Rental Property #11 Brooklyn, NY A Rent L u
11. Rental Property #10 Brooklyn, NY G Rent M u
12. rust #6 - List of Assets E Interest Pl T
13. - Cash JP Morgan Chase
14. rust #7 - List of assets: E Interest Pl T
15. - Cash JPMorganChase
16. rust #15 - List of assets: c !nt./Div. N T
17. - CASH - JPMORGAN TAX FREE
1. Income Gain Codes: A =Sl,000 or less B =$1,001 - S2,500 c =$2,501 - $5,000 D :$5,001 - $15,000 E =$15.001 - $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =SW0,001 - $1,000,000 HJ =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or Jess K =$15,001 -$50,000 L =$50,001 -$100,000 M :$100,001 -$250,000
(See Columns Cl and D3) N =$250,001 - $500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 :$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,001 - $50,0f\0,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(Sec Column CZ) Q :Appraisal V =Other S =Assessmi.:nl
U =Book Value W =Estim;1tnJ
FUND
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
B. c. D.
Income during Gross value at end of Transactions during reporting period
reporting period reporting period
(!) (2) (!) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller
(A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
MONEY MARKET
19. - JPMORGAN MID CAP VALUE FUND
20. - I SHARES RUSSELL 1000
21. - JPMORGAN TAXAWARE US EQUITY FUND
22.
23.
24. - JPMORGAN INTREPID AMERICA FUND
25. - JPMORGAN EQUITY INCOME II (TAX AWARE LG CAP VAL FD)
26. - JPMORGAN SMALL CAP CORE (FORMERLY EQUITY) FUND
27. - JPMORGAN INTL EQUITY FUND
28. -JPMORGAN INTERMEDIATE TX FREE BD FD
29. -JPMORGAN JAPAN FD
31. -JP MORGAN TAX AWARE REAL RETURN FUND
32. -JP MORGAN MUNICIPAL INCOME FUND
33. -THIRD A VENUE VALUE FUND
SELL
7/31 J
12/20 J
8/22 L
7/31 K
1. Income Gain Codes: A =$1,<XlO or less B =$1,001 -$2,500 c :$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000
(See Columns Bl and D4) F =$50,00 1 -$100,000 G =$100,001 - $1,000,000 HJ =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =.$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000
(See Columns Cl and D3) N =$250,001 -S5fl0,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5, 000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,00! - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column C2) 0 =Appraisal V=Other S =Assessment
U =Book Value W =Estimated
FUND
VII. INVESTMENTS and TR u STS -- income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
A.
B. c. D.
Income during Gross value al end of Transactions during reporting period reporting period reporting period
(1) (2) (I) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) {A-H) (if private
(Q-W) transaction)
35. -HIGHBRIDGE STATISTICAL MARKET NEUTRAL FUND
BUY 7/31 K
36. -Trust #16 - List of assets: c Int./Div. N T
37. - CASH - JPMORGAN TAX FREE MONEY MARKET
38. - JPMORGAN TAX AWARE SHORT INT INCOME FUND
SELL 7/31 K A
40. - I SHARES RUSSELL 1000
41.
42.
43.
PARTIAL SALE
PARTIAL SALE
PARTIAL SALE
45.
46.
- JPMORGAN SMALL CAP CORE (FORMERLY EQUITY) FUND
PARTIAL SALE
48. -JPMORGAN JAPAN FD
50. -JPMORGAN INTERMEDIATE TX FREE SELL 7/31 K A
1- Income Gain Codes: A =$1,000 or less B :$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HJ =$1,000,001 -$5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50.001 - $100,000 M =$100,001 - $250,000
(See Columns Cl and D3) N :$250,001 - $500,000 0 :$500,001 - $1,000,000 Pl :$1,000,00I - $5.0il0,000 P2 :$5,000,001 -$25,000,000
3. Value ,\fcthod Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50.(J{J().OOO T =Cash Market
(See Column C2) Q =Appraisal V =Other S =Assessment
A.
VII. INVESTMENTS and TRUSTS -- income, value, transactions anc1udes those of the spouse and dependent children. see pp. 34-6() of filing instructions.)
Description of Assets
(including trust assets)
B. c. D. Income during Gross value at end of Transactions during reporting period
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
BD FD
51. -JP MORGAN TAX AWARE REAL BUY 12/20 J RETURN FUND
52. -JP MORGAN MUNICIPAL INCOME BUY 8/22 K FUND
53. -THIRD A VENUE VALUE FUND BUY 7/31 J
54. -MATTHEWS PACIFIC TIGER FUND BUY 7/31 J
55. -HIGHBRIDGE STATISTICAL MARKET BUY 7/31 J NEUTRAL FUND
56. -Trust #17 - List of assets: D Int.ID iv. Pl T
57. - Cash JPMorgan Tax Free Money Market
58. - JPMorgan Tax Aware US Equity Fund PARTIAL 8/22 M E SALE
59. - JPMorgan Intl Equity Fund BUY 8/22 K
60. - JPMORGAN TAX AWARE SHORT INT SELL 8/22 M A INCOME FUND
61. - JPMORGAN MID CAP VALUE FUND
62. - JPMORGAN INTREPID AMERICA FUND
63. - JPMORGAN SMALL CAP CORE (FORMERLY EQUITY) FUND
64. -JPMORGAN JAPAN FD PARTIAL 8/22 J B SALE
65. -JPMORGAN INTREPID GWTH FD
66. -JPMORGAN INTERMEDIATE TX FREE SELL 8/22 M A
1. Income Gain Codes: A =S l,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 - Sl00,000 G 4100,001 - $1,000,000 HJ =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Co.Jes J =$15,000 or Jess K =$15,001 - $50,000 L =$50,001 - $100,000 M =$ !00,001 - $250,000
(See Columns Cl and D3) N =$250,001 - $500,000 0 =$500,001 - $1,000.000 Pl =$1,000,001 - $5,000,000 l'2 =$5,000,001 - $25,000,000
3. Value tdcthod Codes P3 :$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column C2) O=Apprajsal V=Other S =Assessment
U =Book Value W :::Estim;ireJ
VII. INVESTMENTS and TRUSTS .. income, value, transactions anc1udes those of rhe spouse and dependent children. see pp. 34-60 of filing instructions.>
A.
B. c. D.
lncome during Gross value at end of Transactions during reporting period reporting period reporting period
(1) (2) (1) (2) (I) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code l div., rent, Code 2 Method buy, sell, Month- Code 2 Code l buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-HJ (if private
(Q-W) transac1jon)
68. -JP MORGAN MUNICIPAL INCOME FUND
69. -THIRD A VENUE FUND INC
70. -MATIHEWS PACIFIC TIGER FUND
71. -HIGHBRIDGE STATISTICAL MARKET NEUTRAL FUND
72. -Trust #1 • List of assets: F
73. • Cash JPMorganChase
74. • NEW WORLDFUND
77.
79. -Trust #2 • List of assets: F
80. . Cash JPMorganChase
3/28 M
12/27 K
1. Income Gain Codes: A =:$1,000 or less B =$1,00! - $2,500 c=$2,501 - $5,000 D =$5,001 - $15,000 E=$15,001 - $50,000
(See Columns Bl and D4) F=$50,001 - $100,000 G =$100,001 - $1,000,000 H1 =$1,000,001 - $5,000,000 H2=More than $5,000,000
2. Value Codes J=$15,000 or less K=$15,001 - $50,000 L=$50,001 -$100,000 M =$100,00J - $250,000
(See Columns Cl and D3) N=$250,00! - $500,000 0=$500,001 - SJ ,000,000 Pl =$1,000,001 - $5,000,000 P2=$5,000,00! - $25,000,000
3. Value Method Codes P3=$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=Cash Market
(See Column C2) Q -=Appraisal V=Other S Assessmenl
- -
Name of Person Reporting Oa te of Re port FINANCIAL DISCLOSURE REPORT
Page 10of77 8/14/2007Barry, Maryanne T
Place "(X)" after each asset exempt from prior disclosure
(!) (2) (1) (2) (I) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Dale Value Gain ldenlily of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
84. BUY 12/27 K
86. rust #3 - List of assets: E Interest Pl T
87. - Cash JPMorganChase
88. rust #8 - List of assets: Hl Rent P4 u
89. - Rental Property #24
93. - Rental Property #23 LIQ 12/31
94. - Cash - Chase
95. rust #12 - List of assets: Hl Rent P4 u
J. Income Gain Codes: A ::::.$1,000 or Jess B =Sl,001 - $2,500 c =$2.501 - $5,000 D =$5,001 -$15,000 E =$15,001 - $50,000
{See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =Sl,000,001 -$5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or Jess K =$15,001 -$50,000 L =$50,001 - $100,000 M =$100,001 - $250,000
(See Columns Cl and 03) N :$250,001 - $500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 - $5,000,000 P2 :$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column C2) Q :::Appraisal V=Other S =Assessment
4/3
VII. INVESTMENTS and TR u STS -- income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructionsJ
B. c. D.
(!) (2) (!) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
101. - CASH - CHASE
102. C hase Manh attan Bank F Interest Pl T
103. I'.l;.'\L GUARDIAN- FIXED INCO ME:
104. NY Empire UDC 5% 111113 D Interest TRTO 4/3 N GLOBAL
105. NY Dq)RM AUTII SVC 4.375% 411111 D Interest TRTO 4/3 N GLOBAL
106. NJ E CON DEV 5.25% 6/15/07 A Interest TRTO 4/3 M GLOBAL
107. CO HLTH CHI 4.25% 9/1109 c Interest TRTO 4/3 M GLOBAL
108. MICH ST BLDG 5.25% 10/15/11 A Interest TRTO 4/3 M GLOBAL
109. B razos River 4.75% 511129 None TRTO M GLOBAL
llO. NYS TWY A MBA 5% 4/01109 D Interest TRTO 4/3 N GLOBAL
111. NY C HLTH/HOS P CORP 4.05% 2/15/11 D Interest TRTO 4/3 N GLOBAL
l12. rzys iORM AUTH 4.5% 711109 D Interest TRTO 4/3 N GLOBAL
113. NYS DORM 5.25% 11/15/23 A Interest TRTO 4/3 N GLOBAL
l14. LIPA NY B5.0% 6/1107 A Interest TRTO 4/3 M GLOBAL
115. LIPA NYB5.0% 12/l/06 A Interest SELL 3/29 L A
ll 6. NY ST A TE TWY MBIA 5 % 4/1110 c Interest TRTO 4/3 M
1. Income Gain Codes: A =$1,000 or Jess B =$1,001-$2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 -$50,000
(See Columns BJ and D4) F =$50.001-$100,000 G =$100,001-$1,000,000 HJ =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50.000 L =$50.001-$100,000 M =$100,001 - $250,000
(See Columns C J and D3) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,00J -$5,000,000 P2 =$5,000,00 I - $25,000,000
3. Value Method Codes P3 =$25,000,001 - $50.000,000 R =Cost (Real Estate Only) P4 =More than $50,()(X),000 T =Cash Market
(See Column C2) Q =Appraisal V =Other S =Assessmen!
U =Book VaJue W=Estimated
A.
Name or Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT
B. C. D.
Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period
(!) (2) (2)(1) (3) Amount Code I
Place "(X)" after each asset
exempt from prior disclosure (A-H)
Type (e.g.
div., rent,
or int.)
transaction)
GLOBAL
117. PU ERTO RI CO GO E 5% 7/1/28 c Interest TRTO
GLOBAL
GLOBAL
4/3 N
119. NJ T RAN S IT TRU ST 5.25 6/15/06 A Interest TRTO
GLOBAL
120. NY TOBACCO S ETTLEMENT 5% 6/1/09 A Interest TRTO
GLOBAL
4/3 M
121. PR GO C MB IA 4.25% 7/1/22 c Interest TRTO
GLOBAL
4/3 M
122. S UFF OLK CO NY MB! 4% 6/15/11 A Interest TRTO
GLOBAL
4/3 N
123. NY ST ENVI RON FAC CL 5.25% 6/15/12 A Interest TR TO
GLOBAL
4/3 M
124. NAS SAU CO SALES TAX 5% 11/15/14 A Interest TRTO
GLOBAL
GLOBAL
4/3 N
126. NY ST ENV PIT FGI C 5.25% 12/15/16 A Interest TRTO
GLOBAL
4/3 N
127. YONKERS NY GO MB IA 5% 12/1/07 A Interest TRTO
GLOBAL
4/3 N
128. MET T RAN S AUTH NY 5.25% 11/15/17 A Interest TRTO
GLOBAL
4/3 N
129. NY CI TY TFA A 5.5% 11/1/26 A Interest TRTO
GLOBAL
130. NY SALES TAX RECEIV 5% 10/15/21 A Interest TRTO
GLOBAL
131. NEWYORK CITY GO M 5% 4/1/13 D Interest TRTO
GLOBAL
4/3 N
132. NY ST DORM AUTH ST 5% 7/1/15 D Interest TRTO 4/3 N
1. Income Gain Codes: A =$1,000 or Jess B =$ 1,001 - $2,500 C =$2,501 - S5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000.000 HJ =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or Jess K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000
(See Columns CJ and D3) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
rrn TOGLOBA
A. B. c. Description of Assets Income during Gross value al end of
(including trust assets) reporting period reporting period Transactions during reporting period
(1) (3)(1) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of
exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) lransaction)
GLOBAL
133. NY ST TWY AU FSA 5% 4/1/15 D Interest TR TO GLOBAL
4/3 M
134. NYS URBAN DEV CORP 5.5% 1/1/2017 c Interest TR TO GLOBAL
4/3 N
135. NYC NY SUB E4 DFRN 8/1/22 c Interest SELL 3/29 N A
136. NY ST TWY AU AMBAC 5% 4/1/2019 B Interest BUY 2/10 N
137. NY ST TWY AU AMBAC 5% 4/1/2019 None 4/3 N
138. CONN ST HLTH YALE 7/1/29 A Interest SELL 3/29 L A
139. NY SER G 5.75% 10/15/2012 None BUY 3/28 N
140. NY Ser G 5.75% 10/15/2012 None TR TO GLOBAL
4/3 N
141. Money Market Fund - Federated NY Muni B Dividend TR TO GLOBAL
4/27 L
143. Tokyo Electron B Dividend M T BUY 2/2 M
144. PARTIAL SALE
11/21 L E
145. Heineken Holding NV B Dividend M T PARTIAL SALE
1/12 K B
1/12 K A
148. PARTIAL 1/23 L A
l. Income Gain Codes: A =$1,000 or Jess B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =$15,001 -S50,000
(See Columns Bl and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HJ =Sl.000,001 -$5,000,000 H2 =More than $5,000,000
2 Value Codes J =$15,000 or less K =$15,001- $50,000 L =$50.001 - $100,000 M =$100.001-$250,000
(Sec Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000
3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T :Cash Market
Page 14 of 77 8/14/2007Barry, Maryanne T
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of the spouse and dependent children. see PP· 34-60 of filing instroctions.J
B. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
150. SELL 9/26 L A
151. Unilever NV NY SHRS c Dividend L T BUY 2/2 K
152. Cheung Kong Hldg A Dividend L T PARTIAL SALE
1/12 K D
154. Suncor Energy Inc A Dividend M T
155. Shell CDA LTD B Dividend M T
156. Astrazeneca PLC (SEK c Dividend M T BUY 2/2 L
157. ASTRAZENECA PLC (GBP) c Dividend M T BUY 2/2 L
158. Sun Hung Kai Prop c Dividend M T BUY 2/2 M
159. Nestle SA D Dividend N T BUY 2/2 M
160. Wal-Mart De M exico B Dividend N T BUY 2/2 J
161. Holcim LTD c Dividend M T BUY 2/2 J
162. BUY 2/3 J
164. CRH PLC B Dividend L T
1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 • $5,000 D =$5,001 • $15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 • $100,000 G =$100,001- $1,000,000 HI =$1,000,001- $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 • $50,000 L =$50,001 - $100,000 M =$100.001 - $250,000
(See Columns Cl and D3) N =$250.001 - $500,000 0 =$500,001- $1,000.000 Pl =$1,000,001 • $5,000.000 n =$5,000,001 • $25,ooo.ooo
3. Value Method Codes P3 =S25,000.00! • $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column C2) 0 =Appraisal V =Other S =Assessment
U =Book Value W=Estimated
VII. INVESTMENTS and TR u STS -- income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instrnctions.)
B. c. D.
Income during Gross value al end of Transactions during reporting period
(1) (2) (1) (2) (1) (2) (3) (4) (5)
Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., renl, Code 2 Method buy, sell, Month - Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
165. Richemont
7/28 K A
1. Income Gain Codes: A =$1,000 or less B =$1,00! -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15.001 -$50,000
(See Columns Bl and D4) F =$50,00! - $100,000 G =$100,001-$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50.001 - $!00,000 M =$100,001 -$250,000
(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 . $],000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00! -$25,000,000
(See Column C2) 0 =Appraisal V =Other S =A.;;sessment
VII. INVESTMENTS and TRUSTS .. income, value, transactions anc1udes those of the spouse.and dependent children. see pp.34-60 of filing instructions.)
reporting period
(I) Amount Code I
SALE
SALE
SALE
SALE
194. HOYA CORP c Dividend M T BUY 2/2 M
195. STANDARD CHARTERED c Dividend M T BUY 2/2 L
196. BUY 12/5 K
SALE
198. BUY 11/8 L
1. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 - $15.000 E =$15.001 -$50,000
(See Columns Bl and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HJ =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000
(See Columns CI and D3) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000
(See Column C2) Q =Appraisal V =Other S ==A scssment
(1)
D.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of/he spouse and dependent children. See pp. 34-60 of filing instructions.)
A. c.B.
Gross value at end of Description of Assets Income during Transactions during reporting period reporting period (including trust assets) reporting period
(2) (2) (2) (3)(1) (5) Place "(X)" after each asset Amount Type (e.g. Value Value
exempt from prior disclosure Code 1 div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3
(Q-W)
(J-P) (A-H) (if private
transaction)
199. ROYAL BANK SCOTLAND D Dividend N T BUY 2/2 M
200. ESSIL OR INTL A Dividend L T
201. KONINKL!JKE KPN NV D Dividend M T BUY 2/2 L
202. BNP PARIBAS B Dividend L T PARTIAL
SALE
205. GALLAGHER ARTHUR B Dividend L T BUY 8/3 K
206. REED ELSEVIER c Dividend M T BUY 2/2 K
207. STATE STR CORP A Dividend PARTIAL
SALE
211. YAKULT HONSHA A Dividend L T
212. CINCINNATI FINL CORP B Dividend L T
213. DUKE ENERGY CORP A Dividend L T PARTIAL
SALE
214. EMERSON ELECTRIC D Dividend N T BUY 2/2 M
215. GENERAL ELECTRIC B Dividend 0 T BUY 2/2 M
1. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 - $15,000 E =$15,00! - $50,000
(See Columns Bl and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5.000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L=$50,001-S!OO,OOO M =$100,001-$250,000
(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 - $5,000,000 P2=$5,000,001 - $25,000,000
(See Column Cl) Q =Appraisal V=Other S =Assessment
U ""Book Value W =Estimated
VII. INVESTMENTS and TR u STS .. income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
A.
B. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A·H) or int.) (J-P) Code 3 redemption) Day (J-P) (A·H) (if private
(Q-W) transaction)
216. BUY 2/3 L
217. ILLINOIS TOOL WORKS B Dividend M T BUY 2/2 L
218. BUY 7/6 L
219. INTEL CORP B Dividend M T BUY 3/6 K
220. BUY 3/21 K
221. BUY 4/28 K
222. BUY 8/3 K
224. AT&T B Dividend L T BUY 8/3 K
225. SCHLUMBERGER LTD B Dividend N T
226. SOUTHWEST AIRUNES A Dividend K T PARTIAL
SALE
229. UNION PACIFIC B Dividend M T BUY 2/2 K
230. BUY 8/3 K
231. WILLIAMS SONOMA A Dividend K T
232. AIR PRODUCTS & CHEMICALS B Dividend M T BUY 2/2 L
1. Income Gain Codes: A =$1,000 or Iess B =$1,001 - $2,500 c =$2,50! • $5,000 D =$5,001 - $15,000 E =$15,001- $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000
(See Columns Cl and D3) N =$250,001 - $500,000 0 =$500,001 • $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More !ban $50.000,000 T =Cash Market
(3) (5)
A.
(1) (2) (1) (2) Amount Type (e.g. Value Value Code 1 div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3
(Q-W)
D.
buy, sell, Month- Code 2 Code 1 buyer/seller
Dayredemption) (if private
2/2 M
8/3 J
2/2 M
l. Inc.ome Gain Codes: A =$1,000 or less B =$1,001 • $2,500 c =$2,501 • $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5.000,000
2. Value Codes J =$15,000 or less K =$15.001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250.000 (See Columns Cl and D3) N =$250,001 • $500,000 0 =$500,001 • $!,000,000 Pl =$1,000,00! • $5,000,000 P2 =$5,000,001 • $25.000.000
3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P =More than $50.000,000 T =Cash Market (See Column CZ) Q =Appraisal V =Other S =Assessment
U =Book Value W ::::Estimated
--
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
(including trust assets)
B. c. D.
(!) (2) (1) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
SALE
252. WELLS FARGO & CO c Dividend L T
253. BERKSHIRE HATHAWAY None L T
254. ROBERT HALF INTL None SELL 1/24 K E
255. COSTCO A Dividend L T PARTIAL
SALE
256. LOWES COS B Dividend N T BUY 212 K
257. BUY 8/3 K
259. EXXON MOBIL c Dividend M T BUY 2/2 K
260. PARTIAL
261. FEDEX CORP A Dividend L T BUY 212 J
262. SIEMENS A Dividend L T PARTIAL
SALE
SALE
266. SLM CORP D Dividend N T BUY 2/2 M
1. Income Gain Codes: A =Sl,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,00J - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 - $100,000 M :$100,001-$250,000
(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1.000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =C.ash Market
(Sec Column C2) Q =Appraisal V =Other S =A<;scssment
U =Book Value W =Esiimated
(2) (5)
VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc1udes those of the spouse and dependent children. see PP· 34-60 of filing instructions.;
A. B. C. D.
Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period
(1) (2) (1) (2) (1) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g.
exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption)
(Q-W)
267. BUY 11/8 L
268. BUY 11/16 J
269. BUY 11/17 J
270. BUY 12/5 K
271. BUY 12/6 K
272. WEATIIBRFORD INTL None L T PARTIAL 3/21 J c SALE
273. PARTIAL 4/25 K E SALE
274. PORTUGAL TELECOM None SELL 1/30 L A
275. RIO TINTO D Dividend M T PARTIAL 1/12 L E SALE
276. BUY 8/3 K
277. AMERICAN STD D Dividend N T BUY 2/2 L
278. BUY 2/7 M
279. BUY 2/8 L
281. BUY 2/2 K
282. BUY 7/31 K
283. BUY 8/17 L
1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - Sl,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000
(See Columns Cl and D3) N =$250,001 - $500,000 0 :$500,001 - $1,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
A.
B. c. D.
(!) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
SALE
SALE
290. WHOLE FOODS MARKET B Dividend K T PARTIAL
SALE
292. KRAFT FOODS c Dividend M T BUY
293. MITSUBISHI ESTATE B Dividend N T BUY
294. HONG KONG & CHINA GAS B Dividend M T PARTIAL
SALE
298. JPMORGAN CHASE c Dividend M T PARTIAL
SALE
E
F
E
D
E
D
D
D
c
1. Income Gain Codes: A =$.1,000 or less B =$1,001 • $2,500 c=$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HJ =$1,000,001 - $5,000,000 H2 =More than $5,000,000 2. Value Codes J =$15,000 or less K :$15,001 - $50,000 L =$50,001 - SI00,000 M =$100,001 - $250,000
(See Columns Cl and D3) N =$250,001 - $500,000 o =$500,001 -Sl,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes
Q =Appraisal R =Cost (Real Estate Only)
V =Other
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of the spouse and dependent children. see PP· 34-60 of filing instructions.)
A.
B. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div.• rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-ll} (if private
(Q-W) transaction)
PARTIAL
SALE
PARTIAL
SALE
PARTIAL
SALE
BUY
9113
1/12
1/26
8/3
K
L
K
L
D
E
D
305. PROCTER & GAMBLE A Dividend K T BUY 2/2 J
306.
307.
308.
SALE
PARTIAL
SALE
BUY
1/11
4/12
3/15
J
K
K
c
D
309. MATTEL None SELL 1/11 K A
310. AMERICAN INTL GROUP A Dividend L T BUY 2/2 J
311. BUY 8/3 K
312. CHEVRON CORP D Dividend M T BUY 2/2 L
313.
314.
315.
PARTIAL
SALE
PARTIAL
SALE
BUY
10/25
1/12
8/3
K
L
L
D
E
316. BUY 12/6 L
1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 -$5,000 D =$5,001 - $15,000 E =$15,001 -$50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 Hl =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000
(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =SJ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
FINANCIAL DISCLOSURE REPORT
8/14/2007
A.
B. c. D.
(!) (2) (!) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
317. BHP BILLITON B Dividend K T PARTIAL 1112 K E SALE
318. PARTIAL 5/1 J D SALE
319. GENERAL GROwrH PPTYS B Dividend M T BUY 2/2 K
320. BUY 8/3 J
321. OMNICOM GROUP B Dividend M T BUY 212 K
322. MITSUI SUMITOMO INS A Dividend L T BUY 212 J
323. DAVITA None M T
324. WELLPOINT (FORMERLY ANTHEM) None M T BUY 2/2 K
325. TIME WARNER A Dividend L T BUY 212 J
326. ENI B Dividend K T PARTIAL 1113 0 E SALE
327. FANUC c Dividend N T BUY 2/2 M
328. FOREST LABS None L T
329. ALCAN B Dividend M T BUY 2/2 K
330. VERIZON COMM B Dividend K T BUY 212 J
331. PARTIAL 5124 K A SALE
332. BUY 7/6 K
333. SMIIB & NEPHEW A Dividend M T BUY 2/2 K
l. Income Gain Codes: A =$1,000 or Jess 8 =$1,001 - $2,500 c =$2,501 • $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 - Sl,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J :$15,000 or Jess K =$15,001 • $50,000 L =$50,001 • $100,000 M =$100,001 • $250,000
(See Columns Cl and 03) N =$250,001 • $500,000 0 =$500,001 • $1,000,000 Pl =$ 1,000,001 • $5,000,000 P2 :$5,000,001 - $25,000,000
3. Value Method Code> P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column C) Q =Apprais I V =Other S =Assessment
U =Book V<iluc W =Estimated
--
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
B. c. D.
(!) (2) (1) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
334. BUY
335. BUY
338. HANG LUNG PROP c Dividend M T BUY
339. TOKYO GAS A Dividend L T BUY
340. PARTIAL SALE
343. COCA-COLA AMATIL A Dividend J T PARTIAL SALE
344. PARTIAL SALE
346. BUY
347. BUY
348. BUY
349. BUY
350. BUY
8/30 K
8/31 K
8/3 J
212 K
2/2 K
1/12 K
7/24 J
8/11 K
8/14 K
10/5 K
1. Income Gain Codes: A =S 1,000 or less 8 =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 • $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000
(See Columns Cl and 03) N =$250.001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 · $5,000,000 P2 =$5.000.001 - $25,000,000
3. Value Methnd Cndes
V =Other
t; =Book Value W =Estim<ited
VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc1udes those of the spouse and dependent children. see PP· J4-6o of filing instructions.)
A.
B. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
352. PARTIAL
354. TESCO B Dividend L T
355. WOOLWORTHS c Dividend M T BUY 2/2 K
356. BUY 4/28 J
357. BUY 10/6 J
359. SUZUKI MOTOR A Dividend M T BUY 2/2 K
360. BUY 2/3 J
361. BUY 2/7 J
362. L'OREAL B Dividend L T BUY 3/8 K
363. POTASH CORP SK C$ A Dividend N T BUY 219 L
364. BUY 10/19 M
365. NATIONAL INSTRUMENTS CORP A Dividend L T BUY 7118 J
366. SEPRACOR INC None L T BUY 2/2 M
367. BUY 4/6 K
1. Income Gain Codes: A=$1,000 or Jess B =$!,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001-$!,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes l =$15,000 or less K=S15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 - $250,000
(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =Sl,000,001 -$5.000,000 P2 =$5,000,001 -$25,000.000
3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Re"t Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column CZ) O=Appraisal V =Other S =Assessment
U =Book Value W =Eslimated
B. c. D.
(!) (2) (!) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
SALE
SALE
371. IBERDROLA SA c Dividend K T BUY 2/2 J
372. BUY 2/3 J
SALE
SALE
375. WASHINGTON MUT INC E Dividend N T BUY 2/2 M
376. BUY 3/31 L
377. TOLL HLDGS LTD c Dividend M T BUY 2/2 K
378. BUY 8/3 K
380. GENERAL DYNAMICS CORP A Dividend L T
381. CENTRICA c Dividend M T BUY 2/2 K
382. MILLENNIUM PHARMACEUTICALS None M T INC
383. EAST WEST BANCORP INC A Dividend L T BUY 2/2 K
384. ALTADIS SA (SPAIN) B Dividend L T
1. Income Gain Codes: A=$1,000 or less B =$1,001 - $2,500 c=$2,501 - $5,000 D=$5,001 • $15,000 E =$15,001-$50,000
(See Columns Bl and 04) F=$50,001 -$100,000 G =$100,001 - $1,000,000 HI=$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K=$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 - $250,000 (See Columns Cl and 03) N=$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=Cash Market
(See Column C2) 0=/\ppraisal V=Other S =Assessment
U ::::l:fook Value W=Estimated
(3)
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transaclions during reporting period (including trust assets) reporting period reporting period
(1) (2) (1) (2) (1) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g. Value Value
exempt from prior disclosure Code I div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3
(Q-W)
(J-P) (A-H) (if private
386. BUY
388. SUMITOMO REAL ESTATE SALES A Dividend L T
389. JOHNSTON PRESS PLC B Dividend L T BUY
390. BUY
392. INDITEX B Dividend L T BUY
393. MORRISON (WILLIAM) A Dividend SELL SUPERMARKETS
394. ADOBE SYSTEMS None SELL
395. RINKER GROUP LTD D Divide11d N T BUY
396. BUY
398. SELL
400. BUY
401. BUY
5/18 K
7125 J
2/2 K
8/3 J
4/6 M
2/2 K
1/5 J
1/6 J
2/2 M
I. Income Gain Codes: A =$1,000 or less B =$1,001 - S2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =S15,()(X) or less K =$15,001 - $50,000 L =S50,001 - Sl00,000 M =$100,001 - $250,000 (See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - SI,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) 0 =Appraisal V =Other S =Assessment
U =13ook Value W =Estimalcd
(2) (3) (4)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(2) (1)(1) (1) (2) (5) Place "(X)" after each asset Amount Type (e.g. Value Value
exempt from prior disclosure Code 1 div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3
(Q-W)
Identity of
404. BA YER AG BEARER B Dividend L T BUY
405. BMW A Dividend L T BUY
406. BANCO SANTANDER CENTRAL B Dividend L T BUY
HISPANO
SALE
410. KINGFISHER PLC c Dividend L T
411. CADBURY SCHWEPPES B Dividend K T BUY
412. SCOTTISH AND SOUTHERN ENERGY D Dividend M T BUY
413. BUY
415. TOKYO ELECTRIC POWER CO A Dividend L T BUY
416. MCDONALDS CORP B Dividend L T BUY
417. IMCLONE None L T BUY
418. BUY
8/3 K
212 K
2/2 K
2/2 K
2/2 K
2/2 L
2/2 K
2/2 K
2/6 L
2/2 K
2/2 K
8/3 K
9/26 J
1. Income Gain Codes: A =$1,000 or Jess B =$1,001 - $2,500 c=$2,501 - $5,000 0 =$5,001 - $15,000 E=$15,001 - $50,000
(See Columns Bl and 04) F=$50,001 - $100,000 G=$100,001 - $1,000,000 HI=Sl,000,001 - $5,000,000 H1=More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L=$50,001 - $100,000 M =$100,001 - $250,000
(See Columns CJ and 03) N =$250,001 - $500,000 o =$500,001 - Sl,000,000 Pl =$1,000,001 - $5,000,000 P2=$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=Cash Market
(See Column C2) Q=Appraisal V=Other S =Assessment
VII. INVESTMENTS and TRUSTS .. income, vatue, transactions (Includes those of the spouse and dependent children. see PP· 34-60 of filing instructions.)
B. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
422. CARNIVAL CORP
212 K
1/4 J
2/2 L
5/18 K
5/19 K
1. Income Gain Codes: A =$1,000 or Jess B =$1,001 - $2,500 C =S2,50! - $5,000 D =$5,001 - $15,000 E =$15,001- $50,000
(See Columns Bl and D4) F =$50,001 • $100,000 G =$100,00! - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or Jess K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000
(See Columns Cl and D3) N =$250,001 - $500,000 0 =$500,00! • $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) O=Appraisal V =Other S =Assessment
(2) (3) (5)
A. B. C. D.
(1) (1) (2) (4)(2)(1) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of
exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaclion)
440. BUY 2/13 J
441. BUY 3/16 K
442. BUY 3/21 J
443. BUY 3/22 J
444_ BUY 3/27 J
445. NEWCREST MINING NPV A Dividend L T BUY 1/16 K
446. BUY 1/17 J
447. BUY 1/23 J
448. BUY 217 K
449. BRAMBLES IND LTD c Dividend L T BUY 217 K
450. BARRICK GOLD CORP A Dividend L T BUY 2/10 L
451. BUY 5/17 J
452. ADIDAS-SALOMON AG A Dividend BUY 1/30 K
1. Income Gain Codes: A =$1,000 or less B =$!,001- $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =Sl00,001 - $1,000,000 Hi =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L :$50,001 - $100,000 M =$100,001 - $250,000
(See Columns CI and D3) N =$250,00! - $500,000 0 =$500,001 - Sl,000,000 Pl =S!,000,001 - $5,000,000 P2 =$5,000,001 - $25,000.000
3. Value Method Ca<les P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column C) Q =Appraisal V =Other S =Assessment
U =Book Value W =Eslimated
--
VII. INVESTMENTS and TR u STS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
B. c. D.
(!) (2) (!) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
(See Columns Cl and D3)
V =Other
H2 =More than $5,000,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
B. c. D.
(Q-W) transaction)
473. SOFTBANK CORP A Dividend M T BUY 2/13 L
474. BUY 2120 L
475. BUY 5/18 L
SALE
477. BUY 9/27 M
478. BUY 10/3 L
479. NIPPON STEEL CORP B Dividend L T BUY 2/22 K
480. DISNEY WALT CO None M T BUY 1/6 K
481. BUY 1/9 K
482. BUY 1/13 J
483. BUY 2/2 L
484. CORNING INC COM None M T BUY 2/2 M
485. BUY 8/3 K
486. MARSH & MCLENNAN COS B Dividend L T BUY 2/28 J
1. Income Gain Codes: A =$1,000 or less B =$1,001 • $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 -S50,000
(See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HJ =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or Jess K =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 - $250,000
(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
V =Other
(2)
B. c.A. Gross value at end of Description of Assets Income during
reporting period (including trust assets) reporting period
(2) (I)(!) Amount Type (e.g. Value ValuePlace "(X)" after each asset Code I div., rent, Code 2 Methodexempt from prior disclosure (A-H) or int.) Code3(J-P)
(Q-W)
D.
495. BUY
497. SELL
499. SELL
500. NY Empire UDC 5% 1/1113 D Interest N T TR FMF.I.
501. NY DORM AUTH SVC 4.375% 4/1/11 D Interest N T TR FMF.l.
502. NJ ECON DEV 5.25% 6/15/07 c Interest TR FMF.I.
503. SELL
3/2 J
3/3 J
3/7 K
3/8 J
3/21 K
5/9 J
7/27 J
3/17 M
3/31 K
212 K
5/25 K
4/3 M
11/1 L
4/3 N
4/3 N
4/3 M
5/24 M
A
A
1. Income Gain Codes: A =$1,000 or less B =Sl,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000
(See Columns Bl and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =Sl,000,001 -$5.000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 - $100,000 M =$100,001 -$250,000
(S<e Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000.000 P2 =$5,000,001 -$25,000.000
3. Value Method Codes P3 =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Markel
(See Column CZ) Q =Appraisal V=Other S =Assessment
A. Description or Assets
B. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
504. CO HLTH CHI 4.25% 9/1/09 D Interest TRFMF.l. 4/3 M A
505. SELL 12/20 M c
506. MICH ST BLDG 5.25% 10/15/11 D Interest TRFMF.l. 4/3 M
507. SELL 12/20 M c
508. NYS TWY AMBA 5% 4/01/09 c Interest N T TRFMF.l. 4/3 N
509. NYS TWY 5% 4/1/19 D Interest N T TRFRMF.l. 4/3 N
510. NYC HLTH/HOSP CORP 4.05% 2/15/11 D Interest N T TRFMF.L 4/3 N
511. NYS DORM AUTH 4.5% 7/1/09 c Interest N T TRFMF.l. 4/3 N
512. NYS DORM 5.25% 11/15/23 D Interest N T TR FMF.L 4/3 N
513. LIPA NY B 5.0% 6/1/07 D Interest TR FMF.L 4/3 M
514. SELL 12/20 M A
515. NY STATE TWY MBIA 5% 4/1/10 c Interest TR FMF.l. 4/3 M
516. SELL 12/11 M A
517. PUERTO RICO GO E 5% 7/1/28 D Interest TRFMF.l. 4/3 M
518. SELL 10/12 M A
519. NJ TRANSIT TRUST 5.25 6/15/06 c Interest TRFMF.l. 4/3 M
520. REDEMPTION 6/15 M A
1. Income Gain Codes: A =.$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and 04) F :$50,001 - $100,000 G =$100,001 - $!,000,000 H1 :$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,00! - $250,000
(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
V =Other
(3) (5)
VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc1udes those of the spouse and dependent children. see pp. 34-60 of filing instructions.;
(!) (2) (!) (2) Amount Type (e.g. Value Value Code I div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3
(Q-W)
D.
buy, sell, Month- Code 2 buyer/sellerCode I
redemption) Day (if private
PR GO C MBIA 4.25% 7/1/22
SUFFOLK CO NY MB! 4% 6/15/11
NY ST ENVIRON FAC CL 5.25% 6/15/12
c
c
D
D
Interest
Interest
Interest
Interest
M
N
M
T
T
T
TRFMF.l.
TRFMF.l.
SELL
TRFMF.l.
TRFMF.l.
4/3
4/3
1016
4/3
4/3
M
M
M
N
M
A
526.
527.
NYC GO 5% 8/1/15
TRFMF.l.
4/3
4/3
M
N
528. NY ST ENV PIT FGIC 5.25% 12/15/16 D Interest N T TRFMF.l. 4/3 N
529. YONKERS NY GO MBIA 5% 12/1/07 D Interest N T TRFMF.l. 4/3 N
530. MET TRANS AUTH NY 5.25% 11/15/17 D Interest N T TRFMF.l. 4/3 N
531. NY CITY TRA A 5.5% 11/1/26 D Interest N T TRFMF.l. 4/3 N
532. NY SALES TAX RECEIV 5% 10/15/21 D Interest N T TRFMF.l. 4/3 N
533. NEW YORK CITY GO M 5% 4/1/13 D Interest N T TRFMF.l. 4/3 N
534. NY ST DORM AUTH ST 5% 7/1/15 D Interest N T TRFMF.I. 4/3 N
535. NY ST TWY AU FSA 5% 4/1/15 c Interest M T TRFMF.l. 4/3 M
536. EMPIRE ST DEV 5.5% 1/1/17 (FORMERLY NYS URBAN DEV CORP)
D Interest N T TR FMF.I. 4/3 N
537. PARTIAL 12/20 K A
1. Income Gain Codes: A =Sl,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 H1 =Sl,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or Jess K =$15,001- $50,000 L =$50,001 - $100,000 M =$100,001- $250,000 (See Columns Cl and D3) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes PJ =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) Q =Appraisal V =Other S =Assessment
VII. INVESTMENTS and TR u STS ·-income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
B. c. D.
(1) (2) (!) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div.1 rent, Code 2 Method buy, sell, Month· Code 2 Code I buyer/seller (A-H) or int.) (J.P) Code 3 redemption) Day (J.P) (A·H) (if private
(Q-W) transaction)
539.
541. ING GROUP NV CVA
542.
11/13 K A
1. Income Gain Codes: A =$1,000 or less B =$1,001 • $2,500 c =$2,501 • $5,000 D =$5,001 • $15,000 E =$15,001 • $50,000 (See Columns Bl and D4) F =$50,00! • $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 • $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 • $100,000 M =$100,001 - $250,000 (See Columns Cl and D3) N =$250,001 • $500,000 0 =$500,001 - $!,000,000 Pl =Sl,000,001 • $5,000,000 P2 =$5,000,001 • $25,000,000
3. V"luc Method Codes
Q =Appraisal R =Cos! (Real Estate Only)
V =Other
U =Book Value W:::::Estimated
VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc1udes those of the spouse and dependent children. see pp. 14-60 of filing instructions.;
8. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5)
Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
555. PARTIAL
559. BUY
560. BUY
562. BUY
563. BUY
564. BUY
565. DELL INC None L T BUY
566. PUERTO RICO COMM 5% 12/1/2013 D Interest N T BUY
567. SARA LEE CORP A Dividend K T BUY
568. BUY
569. BUY
570. BUY
415 K
9/19 K
9120 J
10/25 K
4/26 K
717 J
7110 J
5/10 K
10/5 K
10/6 J
12/12 K
5/16 K
5/23 N
6/2 J
6/6 J
617 J
6/9 J
A
A
1. Income Gain Codes: A =$1,000 or less B =Sl,001 - $2,500 c :$2,501 - $5,000 D =15,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 - Sl,000,000 HJ =Sl,000,001 - $5,000.000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =515,001 - $50,000 L :$50,001 - S!00,000 M =$100,00! - $250,000
(See Columns Cl and 03) N =$250,001 - $500,000 0 :$500,001 - $1,000,000 Pl =Sl,000,001 - $5,000.000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes P3 =$2.5,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,0tJQ T =Cash Market
A.
B. c. D.
(Q-W) transaction)
11/1/2026
583.
584.
586.
A
l. Income Gain Codes: A =$1,000 or less 8 =$1,001 - $2,500 c=$2,501 - $5,000 D =$5,001 -$15.000 E =$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =S!00,001 - $1,000,000 HI =$1,000,001 - $5,000 ,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 -$250,000
(See Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 - $1,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000
U =Book Val uc W =Estimated
VII. INVESTMENTS and TR u ST s income, value, /Tansactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing ins/ructions.) ..
A.
(1) (2) (!) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
594. CAMECO CORP A Dividend L T BUY 8/3 L
595. TORONTO-DOMINION BANK None L T BUY 9/12 L
596. AXA None L T BUY 8/31 K
597. BUY 9/1 J
598. BUY 9/4 J
599. BUY 9/5 J
600. ICICI BANK LTD None M T BUY 7/18 L
601. BUY 7125 J
602. BUY 7/26 K
604. CERNER CORP None M T BUY 8/1 K
1. Income Gain Codes: A =S 1,000 or less B =$1,001 - $2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 - $50,000 (See Columns Bl and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HJ =$1,000,001 - $5.000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,00 I -$50,000 L =$50,001 - $100,000 M =$100,001 - $250,000
(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 -$1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000
3. Value M ethod Co<les P3 =$25,000,00J - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Markel
A.
B. c. D.
(1) (2) (!) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
613. NYC TFA VAR 11/1/2022 B Interest BUY 8/31 M
614. PARTIAL 11/1 J A SALE
615. SELL 12/21 L A
616. LINCARE HOLDING INC None L T BUY 9/6 K
617. BUY 917 K
618. BUY 9/8 J
619. BUY 9/11 K
621. BUY 9/13 J
1. Income Gain Codes: A =Sl,000 or less B =$1,001 - $2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000
(See Columns Bl and 04) F =$50,001 -$100,000 G =$100,001-$1,000,000 HJ =$1,000,001 -$5,000,000 H2 =More than $5,000,000
2 Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 - $250,000
(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000
3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column C2) Q =Appraisal V=Other S =Assessment
--
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing inslructionsJ
A.
B. c. D.
(!) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
622. BUY
624. BUY
626. BUY
628. BUY
630. SABMILLER PLC None L s BUY
631. BUY
632. BUY
633. BUY
635. MITSUBISHI UFJ HOLDINGS A Dividend L T BUY
636. BUY
637. JOHNSON CONTROLS LTD None K T BUY
638. MET TRANS AUTH NY 5% 11/15/2015 A Interest N T BUY
9/15 J
9/21 K
9/22 L
12/20 K
12/21 K
10/31 M
11/13 K
10/20 L
1217 K
12/13 J
12/15 J
12/18 J
11/8 L
2/2 L
11/21 J
10/19 K
10/25 N
1. Income Gain Codes: A =Sl,000 or less B =SI,001 -$2,500 C =S2,501 -$5,000 D =$5,001 - $15,000 E =$15,001 -$50,000 (See Columns Bl and 04) F =$50,001 -S!00,000 G =SI00,001 - SI,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =S50,001 -$100,000 M =$100,001 -$250,000 (See Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructionsJ
A.
B. c. D.
(!) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
639. AFLAC INC A Dividend K T BUY 11/8 K
640. COMPASS BANCSHARES INC None J T BUY 11/28 J
641. BUY 12/1 J
642. NY ST DORM AUTH 5% 3/15/2018 A Interest 0 T BUY 12/1 0
643. PALM BCH CO FL 5% 11/15/2020 A Interest 0 T BUY 12/7 0
644. NY CITY TFA 98C 5/1/2028 None M T BUY 12/22 M
645. COCA-COLA CO B Dividend L T BUY 2/2 L
646. MITSHUBISHI HVY IND A Dividend K T BUY 2/2 K
647. UNILEVER PLC A Dividend K T
648. MONEY MARKET-FEDERATED NY G Dividend Pl T MUNI
649. NEW YORK NY GO 5% 1/1/2022 None 0 T BUY 12/21 0
650. ARKEMA None BUY 2/2 J
651. SELL 7/11 J A
652. VERIGY LTD None J T SPIN-OFF 10/16 J
653. IDEARC INC None J T SPIN-OFF 11/20 J
654. Money Market Fund JPMorgan Funds None CLOSED 1/2
655. AXA - Money Market Fund A Dividend CLOSED 5/31
1. Income Gain Codes: A =$1,000 or less B =$1,001 • $2,500 c =$2,501 • $5,000 D =$5.001 • $15,000 E =$15,001 · $50,000
(See Columns Bl and 04) F =$50,001 • $100,000 G =$100,001 • $1,000,000 HJ =$1,000,001 • $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 • $50,000 L =$50,001 - $100,000 M =$100,001. $250,000
(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - S!,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 • $25,000,000
3. Value Method Codes P3 =$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,0!XJ,000 T =Cash Market
(See Column CZ) Q =Appraisal V =Other S =Assessment
VII. INVESTMENTS and TRUSTS -- instructions.) income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing
A.
B. c. D.
(!) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
656. Chase Manhattan Bank - IRA List of A ssets: B Int./Div. K T
657. - Eaton Vance Class B
658. -Money Market Fund JPMorganChase
659. Rental Property #14, Norfolk, VA E Rent N u
660. Rental Property #15, Norfolk,VA F Rent N u
661. Merrill Lynch - IRA - List of assets B Dividend CLOSED 6/5
662. -Money Market Funds Merrill Lynch TF R TO A .F . 6/5 M
663. AMERICAN F UNDS IRA - LIST OF D Dividend M T ASSETS
664. -EUROPA CIFIC GROWTII TRFMM.L 6/5 K
665. -THEGROWTII F UND OF AMERICA TRFMM.L 6/5 L
666. -SMA LLCAP WO RLD TRFMM.L 6/5 K
667. -CAPITA L INCOME BUILDER TRFMM.L 6/5 L
668 . ....Trust #18 - List of A ssets: G Div/Int Pl T
669. - CASH-F EDERA TED NYMUNI
670. -US TREASURY NO TE 3.5% 11/15/06 BUY 2/14 Pl
671. REDEMPTIO N 11/15 Pl A
672. -PR MUN F IN AGY FSA 5.5% 8/1/07 BUY 3/14 0
1. Income Gain Codes: A=$1,000 or less B =$1,001 - $2,500 c=$2,501 - $5 ,000 D=$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and D4) F :$50,001 - SJ00,000 G =Sl00,001-Sl,000,000 HJ =$1,000,001 - $5,000,000 H2=More than $5,000,000
2. Value Codes J=$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000 (See Columns Cl and 03) N=$250,001 - $500,000 0=$500,001 - $1,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,00! - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) Q =Appraisal V=Other S =Assessment
U=Book Value W=Estimated
(5)
VII. INVESTMENTS and TRUSTS .. income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
A.
reporting period
676. -NYC TFA 5.5 8/15/08
677. ..Trust #19 - List of Assets: H1
678. - CHEUNG KONG
679. - LI & FUNG
682. - HANG LUNG PROPERTIES
683. - AMERICAN INTL GROUP
2/3 K
2/16 L
2/2 K
1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,00! - $15,000 E =$15,001 - $50,000
(See Columns Bl and 04) F=$50,00! - $100,000 G =$100,001 - $1,000,000 HI =Sl,000,001- $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $ 100,000 M =$100,001 -$250,000
(See Columns Cl and D3) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
(See Column C2) Q =Appraisal V=Other S =Assessment
(2) (!) (!) (3)
VII. INVESTMENTS and TRUSTS income, vatue, transactions r1nc1udes those of the spouse and dependent children. see PP· 14-60 of filing - instructions.>
A. B. c. D.
(!) (2) (2) (5)(4) Place "(X)" after each asset Amount Type (e.g. Value Value
exempt from prior disclosure Code I div., rent, Code 2 Method (A-H) or int.) (J.P) Code 3
(Q-W)
691. PARTIAL 9/21 K A SALE
692. - NESTLE SA BUY 3/10 K
693. BUY 3/13 L
694. BUY 3/14 J
696. -PEPSICO INC
697. - PROCTOR & GAMBLE
698. - RECKITT BENCKISER
700. - SOUTHWEST AIRLINES
701. - TIME WARNER
703. - HSBC HLDGS BUY 2/17 K
704. - AIR PRODUCTS & CHEMS
706. - CAMPBELL SOUP PARTIAL 10/11 L D
1. Income Gain Codes: A =Sl,000 or less B :$1,001 • $2,500 c =$2,501 • $5,000 D =$5,001 • $15,000 E =$15,001 · $50,000
(See Columns Bl and 04) F :$50,001 • $100,000 G =SI00,001 - $1,000,000 HI =$1,000,001 • $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 • $50,000 L =$50,001 • $100,000 M =$100,001 - $250,000
(See Columns Cl and 03) N :$250,001 - $500,000 0 :$500,001 • $1,000,000 Pl =Sl,000,001 • $5,000,000 P2 =$5,000,001 • $25,000,000
3. Value Method Codes P3 =$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
(See Column CZ) Q =Appraisal V:::Other S =Assessment
U =Book Value W =Estim<itcd
A.
B. c. D.
(I} (2) (!} (2) (I} (2) (3) (4} (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
5/17 K B
5/19 K B
3/20 K c
3/30 M E
5/2 K E
9/1 L E
9/22 L D
2/28 L D
3/1 K c
4/19 L E
5/5 L E
7/28 K D
1/11 L A
1. Income Gain Codes: A =Sl,000 or less B =$1,001 - $2,500 c =$2,501 -$5,000 D =$5,001 - $15,000 E =$15,001 - $50,000
(See Columns Bl and 04) F :$50,001 - $100,000 G =$100,001 -$1.000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or Jess K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 - $250,000
(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$].000,000 Pl =$1.000,001 - $5,000.000 P2 =$5,000,001 - $25,000,000
A.
B. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J.P) (A-H) (if private
(Q·W) transaction)
730. - ALCOA
1/20 K A
1/23 L A
2/17 K A
5/25 M A
4/17 K c
8/2 K D
1. Income Gain Codes: A =$1,000 or less B =$1,00! - $2,500 c =$2,501 • $5,000 D =$5,001 - $15,000 E :$15,001 - $50,000
(See Columns Bl and D4) F =$50,001 - $100,000 G =$100,00J - $1,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than $5,000,000
2, Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 -$100,000 M =$100,001 - $250,000
(See Columns Cl and D3) N =$250,001 . $500,000 0 =$500,001 -$),000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000
3. Value Method Codes P3 =$25,000,00J - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
A.
B. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(O·W) transaction)
741. BUY 5/24 L
742. BUY 5/25 L
743. BUY 717 K
747. - EXXON MOBIL PARTIAL SALE
1/10 M E
748. PARTIAL SALE
8/17 M E
750. -FEDEX
753. BUY 2/8 K
755. BUY 8/11 K
1. Income Gain Codes: A =S 1,000 or less B =$1,001 -$2,500 c =S2,501 -$5.000 D =$5,001 • $15,000 E =S15,001 - $50,000
(See Columns Bl and 04) F =$50,001- $100,000 G =$100,001-Sl,OOO.OOO Hl =$1,000,001 -$5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or Jess K =$15,001- $50,000 L :$50,001 - $100,000 M =$100,001 - $250,000
(See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 - Sl,000,000 Pl =$1,000,001 • $5,000,000 P2 =$5,000,001 - $25,000,000
3. Value Method Codes P3 =$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market
U =Book Value W=Estimatcd
Page 50of77" 8/14/2007Barry, Maryanne T
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)
A.
B. c. D.
(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type (e.g. Value Va

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