Gene E Pratter Financial Disclosure Report for 2010

8/3/2019 Gene E Pratter Financial Disclosure Report for 2010

1/19

FINANCIAL D ISCLOSURE R EPORTFOR CALENDAR YEAR 20 10

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

l. Person R eport ing ( last name, f i rst , middle ini t ia l )P ra t t e r , Gene E .

4. Ti t le (Art ic le 111 judges ind ica te ac t ive o r sen io r s ta tus;magis t ra te judges indicate fu l l - or par t - t ime)

U.S. Dis t r i c t Jud g e

7 . C ha m be r s o r Of f i c e A d d r e s s7614 Uni t ed S ta t e s Cour thous eS ix th & M arke t S t ree t sP h i l ade lph ia , P A 19106-1752

2. Court or Organiza t ionU.S. Dis trict Court , E.D. Pa.

3. Date o f R e p o r t04/27/20

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in comp liancew i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

Reviewing Off icer Date

6. Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,check ing the NONE box for each par t where you have no repor table in formatio~ Sign on las t page.

I . P O S I T I O N S . m e p o n i n g individual only; see pp. 9-13 of filing instructions.)[~ N O N E (No reportable p ositions.)

P O S I T I O N1 . C o- Tr u s t ee Trust # 1

3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . m e p o n i n g m d i ~ m u u l o . l y ; s e e p p . 1 4 - 1 6 off iling mstructlons.)~ (No reportable agreemen ts . )O N E

DATE P A R T I E S A N D T E R M S


2/19

FINANCIAL DISCLOSURE REPORTPage 2 of 19

N a m e o f P e r so n R e p o r t i n gPrat ter , Gene E.

D ate o f R epo r t04/27/2011

I l L N O N - I N V E S T M E N T I N C O M E . ( g e p o . i n g i n d i v i d u a t a n d s p o u s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investment Income

~ N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s)

1. 2010 Unive rs i ty o f P enns y lvan ia Law S chool (Adjunct P rofe s s or ) $10,000.002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - i f you were m arried during anyportion of the reporting year, com plete th is section,(Dollar am ount not required except for honoraria.)

1 . 2 0 1 02.3.4.

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

Comm onweal th o f Pennsylvan ia (Executive Deputy General Counsel )

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)

N O N E (No reportable reimbursements.)S O U R C E D A T E S L O C A T IO N

1 .2.

4.5.

PURPOSE ITEM S PAID OR PROV IDED


3/19

FINANCIAL DISCLOSURE REPORTPage 3 o f 19

N a m e o f P e r s o n R e p o r t in gPra t t er , Gene E .

D a t e o f R e p o r t04/27/2011

V . G I F T S . a n c l u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

V A L U E

V I . L I A B I L I T I E S . a n el ud e s those of spouse and dependent children; seepp. 32-33 of filing instructions)~ N O N E ( N o reportable liabili t ies.)

CREDITOR1 . B a n k o f A m e r i c a2. Eas t R iver Ban k3.

4.5.

DESCRIPTIONCred i t CardM ortgag e on Re nta l P rope r ty #1 , P h i l ade lph ia , P A (P t V II , L ine 23 3 )

V A L U E C O D EJN


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N a m e o f P e r s o n R e p o r t in gPrat ter , Gene E.

D a t e o f R e p o r t04/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i.come, value, transactions (Includes those of spouse and depe.dent children; seepp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s Income dur ing( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d

(1) (2)Place " (X)" after each asset A m o un t T y pe (e . g . ,exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n d Transactions during report ing periodo f r e p o r t i n g p e r i o d(I) (2) (I) (2) (3) (4-~ (5)V alue V alue T y p e ( e . g . , D a t e V alue . Gain .: I d e n t i t y o f

C o d e 2 M e t h o d b u y , s e l l , m m / d d / y y C o d e 2 C o d e 1 buyer/seller( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) (ifprivate( Q - W ) t r a n s a c t i o n )

1 . A d a m s H a r k n e s s S m a l l G r o w th - R e t i r e m e n t N o n e J T#52. D F A U S S m a l l C a p V a l u e - R e t i r e m e n t # 5 A Divid en d J T3. D F A U S L a r g e C a p V a l u e - R e t i r e m e n t # 5 A Divid en d4 . F e d e r a te d U S G o v t 1 - 3 - R e t i re m e n t # 5 A Divid en d Sold 10/29/10 K A5. F edera t ed Gov t Ul t ra s hor t - Re t i rement #5 A Divid en d K T B u y 11/01/10 K6. Firs t Eag le O verseas - Re t i remen t #5 A Divid en d J T7. J a n u s F u n d - R e t i r e m e n t # 5 A Divid en d J T8. Janus Overs eas - Re t i rement #5 A Divid en d J T9. S chwab M oney M a rke t - Re t i rement #5 A Divid en d J T1 0 . W es tcore M IDCO Growth - Re t i rement #5 N o n e J1 1 . J a n u s M i d C a p V a l u e - R e t i r e m e n t # 5 A Divid en d J T1 2 . Wil l iam Bla i r In t l Smal l Gro wth - A Divid en dR e t i r e m e n t # 51 3 . F edera t ed US Go v t 1 - 3 - Re t i rem ent #6 A Divid en d So ld 10/29/10 J A1 4 . F edera t ed Gov t Ul t ra s hor t - Re t i rement #6 A Divid en d J T Bu y 11/01/10 J1 5 . B a r o n G r o w t h - R e t ir e m e n t # 6 N o n e J

1 6 . Firs t Eag le O verseas - Re t i remen t #6 A Divid en d J T1 7 . R o y ce O p p o r tu n ity - R e tire m en t # 6 N o n e J

( S ee Colu nms B I and D 4 ) F = $50,001 - $100,000 G = $1 00,001 - $1,000,0002. V alu e C o d es J = $15,000 o r less K =$15,001 - $50;000

(Se e Co lumn s CI a n d D3 ) N =$250,001 - $500,000 O = $500,001 - $1,000,000P3 =$25,000,001 -$50;000,0003. Valu e Meth od Codes Q =A p p r a i sa l R = Cos t ( R eal E s t a t e Only )

(Se e Co lumn C2) U = B ook Valu e V - O l h e r

C =$2,501 - $5,000H 1 =$ 1,000,001 - $5,000,000L =$50,001 - $100,000P 1 =$ 1,000,001 - $5,000,000P4 -More than $50;000,000S = As s es s mentW = E s t imated

D = $5,001 - $15,000 E = $15,001 - $50,000H 2 = M r r e t h a n $ 5 ~ 0 0 0 ~0 0 0 :M =$100 00 | - $250 000P2 =$5;000;001 - $25;000i000 :T = C a s h M a r k e t


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N a m e o f P e r s o n R e p o r t in gP r a t t e r , G e n e E .

D a t e o f R e p o r t04/27/2011

VII. IN VESTMEN TS an d TRUSTS - in co me, value , tra .... t lons ( Includes those of spo use and d ependent ch i ldren; seepp. 34-60 of f ! l ing instruct ions .)N O N E (No reportable income, assets, or transactions.)

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

exempt f rom pr ior d isc losu re

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

( 1 ) (2 )A m o u n 1 Type (e.g.,C o d e 1 d i v . . r e n t .( A - H ) o r i n t . )

Gross value at end ..... Transac t ions dur ing repor t ing per iodof repor t ing per iod(1) (2) (1) (2) (3): (4) (5 )

V alue V a lu e Type {e,g. , D a t e V a l u e Gain Identity ofCode 2 M e t ho d buy, sel l~ : mmidd/yy Cod~ 2 Code 1 buyer/se l le r

( J - P ) C o d e 3 " redempt ion) ( J : P ~ (A-H) ( i l ~ p r i v a t e(Q-W) transaction)

1 8 . S chwab M oney M arke t - Re t i rement #6 A Divid en d J T1 9 . T h o r n b u r g V a l u e - R e t i r e m e n t # 6 A Divid en d J T20 . Janus Overs eas - Re t i rement #6 A Divid en d J T21 . J a n u s F u n d - R e t ir e m e n t # 6 A Divid en d J T22 . S o u n d S h o r e - R e t i r e m e n t # 6 A Divid en d J T23 . T h i r d A v e n u e I n t l V a l u e - R e t i r e m e n t # 6 A Divid en d J T24 . B a r o n G r o w t h - R e t i r e m e n t # 7 N o n e L T25 . B r a n d y w i n e - R e t i r e m e n t # 7 N o n e M T26 . D F A U S M i c r o C a p - R e t i re m e n t # 7 A Divid en d K T27 . D F A E m e r g i n g M a r k e t s C o r e E q u it y - A Divid en d L TR e t i r e m e n t # 728 . D F A I n t e rn a t i o n a l S m a l l V a l u e - R e t i r e m e n t B Divid en d K T#729 . DFA In te rn a t io n a l Value - Ret i remen t #7 C Divid en d M T30 . D F A O n e Y e a r F i x e d - R e t i r e m e n t # 7 B Divid en d N T31 . D F A U S S m a l l C a p V a l u e - R e t ir e m e n t # 7 A Divid en d L T32 . D F A U S L a r g e C a p V a l u e - R e t i r e m e n t # 7 B Divid en d M T33 . D F A R e a l E s t a te S e c u r i t i e s - R e t i r e m e n t # 7 B D i v i d e n d L T

34 . D o d g e & C o x S t o c k - R e t i r e m e n t # 7 A Divid en d L T

1: i~(0rn~ Gain COdes: A =$!,000 or less B =$1,001 - $2,500( Se e C ol um n s B 1 a nd D4 ) F =$ 50 ,001 - $ 100 ,00 0 G =$1001001 - $1,000,000

2. V alue C o d es J = $1 5,000 o r le ss K = $15,001 - $50,000(Se e Co lumn s C I a n d D3 ) N =$ 250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Valu e Meth od Codes Q = Appr a i s a l R = Cos t ( R eal E s t a t e Only )(Se e Co lumn C2) U = B ook Valu c V =Othe r

C =$2,501 ~ $5,000 D =$5,001 -$15,000 E =$15,001 -$50,000H I = $ i ; 0 0 0 i 0 ~ i ! ~ s i 0 0 0 i 0 0 0 H2 = MO ~ t~a~ $5;000;000 ....... ..... .......L =$50 001 ~ $100;000 M =$100 001 ~ $250;000PI =$ I;000]001 ~ $5i0001000 P2:=$5~000,001 ~ $25,000,000P4 =More than $~01000~000 ....S = As s es s ment T = C a s h M a r k e tW = E s t imated


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N a m e o f P e r s o n R e p o r t in gPra t t er , Gene E .

D a t e o f R e p o r t04/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v u lu e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Desc r ipt ion of Assets( inc lud ing t rust a sse ts)

Place " (X)" af ter each asse texempt f rom pr ior d isc losu re

Income duringrepor t ing per iod of repor t ing per iod

( I ~ ( 2 ) ( I ) ( 2 ) ( I )A m o u n t T Y p e ( e .g . , V a lu e V alu e Type (e.g. ,C o d e 1 div., rent, C o d e 2 Method buy, se l l ,(A-H) o r in t . ) ( J - P ) C o d e 3 redempt ion)

(Q-W)

Gross va lue a t . end Transac t ions dur ing repor t ing per iod(2) (3) (4) (5 3

Date V a l ue Gain . Identity o~m m / d d / y y C o d e 2 Code 1 buyer/se l le r

( J - P ) (A-H) (if privatetransaction)

35 . F edera t ed US Go v t 1 - 3 - Re t i rem ent #7 B Divid en d3 6 . F e d e r a t e d G o v t U l t r a s h o r t - R e t i r e m e n t # 7 A Divid en d

So ldBu y

10/29/10 N11/01/10 N

C

37 . Firs t Eag le O verseas - Re t i remen t #7 B Divid en d L38 . Hotchk i s & W i ley M id Cap V a lue - A Divid en d MR e t i r e m e n t # 739 . Art io In t e rna t iona l Equ i ty - Re t i rement #7 N o n e40 . M org an S tan l ey In t e rna t iona l Equ i ty - B D i v i d e n d MR e t i r e m e n t # 741 . M o r g a n S t a n l e y E m e r g i n g M a r k e t s - A Divid en d LR e t i r e m e n t # 742 . R o y c e M i c r o C a p - R e t i r e m e n t # A Divid en d J43 . Royce Opp or tun i ty - Re t i rement #7 N o n e K44 . S chwab M oney M a rke t - Re t i rement #7 A Divid en d K45 . Westco re In te rn a t io n a l Fro n t ie r - Re t i remen t A Divid en d L#746 . W e s t c o r e M i d C a p V a l u e - R e t i r e m e n t # 7 A Divid en d M4 7. W es tc o r e M ID C O G ro w th - R e tire m en t # 7 N o n e M

TT

TTTT

TTTT

So ld 08/11/10 L A

48 . Wil l iam Bla i r In te rn a t io n a l Gro wth - B Divid en d LR e t i r e m e n t # 749 . J a n u s F u n d - R e t i r e m e n t # 7 A Divid en d M

TT

50 . Janus Overs eas - Re t i rement #7 A Divid en d L51 . H o t c h k is & W i l e y L a r g e C a p V a l u e - A Divid en dR e t i r e m e n t # 7

1. I nc ome G ain Codes :(Se e Co lumn s BI a n d D4)

2.Valu e Codes( S e e C o l u m n s C 1 a n d D 3 )

3.Valu e Meth od Codes( S e e C o l u m n C 2 )

A = $ 0 0 0 o r e s s B=$ 001- $2 500 c =$2,501 - $5~000 D =$5,001 - $15,000 E =$15,001 - $50,000F = $50,001 - $100,000 G = $1 00,001 : $1,000,000 H 1 = $1 00 0 00i = $5 000 000 f l ~ - -M 6~-e t han $5i 000~000 :J =$15,000 or less K =* 15,001 : $50;000 L =$50,001 - $100,000 P2:$~ 0oooo :$25 00o00~P3N =$250,001-=$25,000,00,$500,000. $50,000,000=$500.001- $1,000.000Pl~ =~o~e ~ ,000,00, ~ .0,000,000"0Q =A p p r a i sa l R = Cos t ( R eal E s t a t e Only ) S = As s c s s ment T =Ca Sh Ma rke tU = B o o k V a l u e V = O l h e r W = E s t im a t c d


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D a t e o f R e p o r t04/27/2011

V I I . I N V E S T M E N T S a nd T R U S T S - i n c o m e , vulue, transactions (Includes those of sp ...... d depe ndent chi ldren; seepp. 34-60 of f ! l ing instruct ions .)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o dO)

Place "(X)" niter each asset A m o u n t Type (e.g.,exempt from prior disclosure C o d e 1 d iv . , r cn t~( A - H ) or int.~t

C D.Gross value a t end Transac t ions dur ing repor t ing per iodof reporting period(~) (2) 0 ) (2) .......... (3) (4) (5)

Va l u e V a l ue Type (e.g.~ D a t e : ValUe [ G~ . Identity ofCode 2 Method buy, sell .... mm~dd/yy C~d~2 Code 1 : buyer / se l ler

(J-P) C o d e 3 redempt ion) O " P ) : (A-H) (if private( Q - W ) t r a n s a c t i o n )

52 . R o y c e V a l u e P l u s - R e t ir e m e n t # 7 A D i v i d e n d K53 . T h i r d A v e n u e I n t e r n a ti o n a l V a l u e - B D i v i d e n d LR e t i r em e n t # 754 . T urne r Core Growth - Re t i rement #7 A D i v i d e n d M

TT

55 . W i l l i a m B l a i r L a r g e G r o w t h - R e t i r em e n t # 7 A D i v i d e n d L56 . A dam s H a rkn e s s S m all G ro w th - R eti re m en t N on e L T#757 . W i l l ia m B l a i r I n t l S m a l l G r o w t h - A D i v i d e n d K TR e t i re m e n t # 758 . Me t ropo l i t a n W e s t To t a l Re t urn - E D i v i d e n d N TR e t i r em e n t # 759 . B l a c k R o c k L o w D u r a t i o n - R e t i r e m e n t # 7 D D i v i d e n d N T Bu y( a d d l )60 . T h o r n b u r g I n t e r n a t io n a l V a l u e - R e t i r e m e n t A D i v i d e n d L T Bu y#761 . Schw a b Mone y Ma rke t - Trus t #1 A D i v i d e n d J T

01/ 28 / 1008112110

JL

62 . D o d g e & C o x S t o c k - T r u st # I A D i v i d e n d K6 3 . B a r o n G r o w t h - T r u s t # 1 N o n e K

TT

64 . F edera t ed S hor t T e rm M uni - T rus t #1 A D i v i d e n d K T Bu y( a d d l )65 . F i rs t Eagle Overs eas - T rus t #1 A D i v i d e n d K T

01/28/10 J

66 . Hotchk i s & W i ley Large Cap V a lue - Trust A Dividend K#167 . Hotchk i s & W i ley M id Cap V a lue - T rus t #1 A D i v i d e n d K T6 8 . J a n u s F u n d - T r u s t # 1 A D i v i d e n d K T

1 : i n c o ~ G ~ i n c 6 ~ ! A ~$!;000 or less B =$1~001 ; $2,500 C--$2;501 4 $5,000 D =$5;001 = S15;000 E =$15,001 - $50,000( S ee Colu mns B I and D 4 ) F =S50,001 - SlO0,000 G =$I 00,001 "$1,000,000 H I - - $ 1 1 0 O 6 1 o O i 2 $ ~ i ~ 0 ; b~ ~):~i~ ~a~ $3:0; .......

2 . V a lue Co d e s J = $ t 5 , 0 0 0 o r t e s s K =$ 15~001 -$ 50 ,000 L : $ 5 ~ 0 0 ~ = $ 0 0 ~ 0 0 ~ M=$ 0000i ~:~250000 =(See Col ....CI a n d D3 ) N =$ 250 ,001- $ 5~,000 O =$500~001 - $ L000~000 Pi ~]~000~60i ~ ~0~ ~ ~$5 000 6~1 ~ ~5~0~0~000 . . . .

P3 =$25,000,001- $50,000,000 P~MO~ei~an$50 ,060 ,000 :s ~Ag~eh~ T ~ca sh Ma rke t3. Valu e Meth od Codes Q = App~ is a l R = Cos t ( R eal E s t a t e Only )( S e e C o l u m n C 2 ) U = B ook Valu e V = O t h e r W = E s t i m a t ~


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N a m e o f P e r s o n R e p o r t in g [ D a t e o f R e p o r tP r a t t e r , G e n e E . I 04/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~ NONE income, or transactions.)eportable assets,

69 . J a nus Ove r se a s - Trus t #1 A D i v i d e n d K T70 . Ar t i o I n t e m a t i ona l E qui t y - Trus t #1 N o n e S old 08/11/ I0 K A71 . Morga n S t a n l e y I n t e rna ti ona l E qui t y - Trus t A

#172 . M organ S tan l ey Em erg ing M arke t s - T rus t A#1

Dividend K TD i v i d e n d K T

73 . Royce Opportuni ty - Trust #1 N o n e K T74 . Turne r Core G row t h - Trus t #1 A D i v i d e n d K T75 . W es tcore M id Cap V a lue - T rus t # t A D i v i d e n d K T76 . W e st co re MI D CO G row t h - Trus t #1 N o n e K T77 . D F A T a x M a n a g e d M a r k e t w i d e V a lu e - A Div idend K TT r u s t # 17 8. D FA U S Mic ro C ap - Tr us t # 1 A D i v i d e n d K T79 . T hi rd Avenue In t e rna t iona l V a lue - T rus t #1 A D i v i d e n d K T80 . W es tcore In t em a t iona l F ront i e r - T rus t #1 A D i v i d e n d K T81 . D FA I n t l Va l ue - Trus t #1 A Div idend K T82 . DF A U S S mal l V a lue - T rus t # I A Div idend K T83 . Turne r Sm a l l Ca p E qui t y - Trus t #1 N o n e Sold 09/16/10 J B84 . W i l l i a m B l a i r Mi d G row t h - Trus t #1 N o n e K T85. DFA Short Term M uni - Trust #I A Div idend K T

(See C01urnns BI and D4) F =$501~] ~ $1001000 ~ ~$~0Oi~0i ~ ~i,0bO~000 H 1 = $ i i o 0 0 1 0 O i ~ $ 5 1 0 o o , o o 0 H2 ~M0ie than $5;000;00 02 . Valu e Codes .1 =$15;000 or less K =$i5 00i ~ $~0~000 L ~$50 001 : $i00i000 M =$100 001 = $250,000

( S ee Colu mns CI and D 3) N =$250;001 ~ $500,000 0 =$500,00i ~ $ii000;000 P1 =$1,000,001 ~ $5;000,000 P2 =$5;000;001 =$25;000,000P3 =$25;000,001 $50,000,000 P4 =More ihan $50,000,0003. Valu e Meth od Codes Q =A p p r a i sa l R =C0g t ~a l Es ta te o n lY) S = A s s e s s m e n t T = Cas h Mar k et

( S e e C o l u m n C 2 ) U = B ook Valu e V --Other W = E s t imated

E =$15,001- $50,000


9/19

FINANCIAL DISCLOSURE REPORTPage 9 of 19 Ia m e o f P e r s o n R e p o r t i n gP r a t t e r , G e n e E . Date of Report04/27/2011

V I I. I N V E S T M E N T S and T R U S T S - i .... e, value, t ......ions (Includes those of sp .... .. d depend en t chi ldren; see pp. 3 460 of f i l ing ins t ruct ions .)N O N E ( N o reportable income, assets, or transactions.)

86 .87 .88 .89 .90 .91 .92 .93 .

94 .

95 .96 .97 .98 .99 .100.

101.102.

Metr opol i t an Wes t T ota l Re tu r n - T r us t # 1 B Div idend K TT hornburg In t e rna t iona l V a lue - T rus t #1 A Div idend K T Buy 08 /12110 KW ill iam Bla ir S m all C ap G ro w th - T ru s t # 1 N on e J T Bu y 09/17/10 JBaron Grow th - Broke rage #1Baron Grow th - Broke rage #1D F A T a x M g d U S M a r k e tw i d e V a l u e -Broke rage #1D F A T a x M g d U S M a r k e tw i d e V a l u e -Br oker age # 1D F A T a x M g d U S M a r k e tw i d e V a l u e -B roke ra ge # 1

A

D F A U S S m a l l V a l u e - B r o k e r a g e # 1 A

D F A U S S m a l l V a l u e - B r o k e r a g eDF A Em erg ing M arke t s Core Equ i ty -B roke ra ge # 1DF A Em erg ing M arke t s Core Equ i ty -B roke ra ge # 1DF A Em erg ing M arke t s Core Equ i ty -Broke rage # ID F A T a x M g d I n t e rn a t i o n a l V a lu e -B roke ra ge # 1D F A T a x M g d I n t e rn a t i o n a l V a lu e -B roke ra ge # 1D F A T a x M g d I n t e rn a t i o n a l V a lu e -B roke ra ge # 1Eas t Rive r Bank S tock - Broke rage # 1

A

A

N o n e K T S old 06/10/10 J(par t)N o n e Bu y 12/09/10 J( a d d l )

Div idend K T S old [ 06/10/I 0 J(par t)N o n e Bu y ! 11/08/10 J( a d d l )N o n e Bu y 12/09/10 J( a d d l )

Div idend K T S old ! 06/10/10 K( p a r t )N o n e Bu y 11/08/10 J(add l )

Div idend K T S old 06/10/10 J( p a r t )N o n e Bu y 11/08 /10 J(add l )N o n e Bu y ! 12/09/I0 J(add l )

D i v i d e n d K T S old 06/1 0/10 J( p a r t )N o n e Bu y i l 1/08/10 J(add l )N o n e Bu y 12/09/10 J

(add l )N o n e K U

A

1 . I nc ome G ain Codes : A =$I ,000 or less B =$t.00t - $2.500 C = $2,501 - $5,000 D = $5.001 - $15.000( S ee Colu mns B I and D 4 ) F =$50.D01 - $ 100,000 G =$ 1 00 .0 01 - $ 1 ,0 00 ,0 00 H 1 = $ 1 .0 00 ,0 01 - $ 5,0 00 .0 00 H2 =More than $5,000,000

2 . Valu e Codes J = $1 5.000 o r le ss K = $15,001 - $50,000 L =$50.001 - $I00.000 M -$100.001 - $250.000( See C o l um n s C 1 an d D 3 ) N =$250.001 - $500,00 0 O = $500_ 001 - $ !,000,000 P 1 =$ ] .000.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

P3 =$25,000,001 - $50.000.000 P4 =M ore "than $50,000,0003 . Va l ue Met ho d C o d es Q =A p p r a i sa l R =C o s t ( Rea l Es t a t e O n l y) S =A ssessm en l T = Cas h Mar k el( S e e C o l u m n C 2 ) U = B ook Valu e V = Oth er w = E s t imated

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


10/19


N a m e o f P e r so n R e p o r t i n gP r a t t e r , G e n e E .

D a t e o f R e p o r t04/27/2011

V I I. IN V E S T M E N T S a n d T R U S T S - i .... e , value, t ......ions (Includes those of sp ...... d depend ent chi ldren; seepp. 34-60 of f ! l ing instruct ions .)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing Gross va lue a t end Transac t ions dur ing repor t ing per iod

( inc luding t rus t asse ts ) reporting period of repor t ing per iod(1 ) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )

P l a c e " ( X )!r atter eadh asset A m o u n t Type (e.g., V a L u e V a l ue Type (e.g. , D a t e V a l u e G a i n Identity ofexempt flora ~i ior disclosure Code 1 div., rent, Code 2 M e th o d buy, se l l , ram/dd /yy Code 2 [ C o d e 1 buyer/se l le r(A-H) o r i n t . ) ( J - P ) Code 3 redem p tio n) O-P ) (A-H) ( i f p r i v a t e

(Q-W) transaction)

1 0 3 . F e d e r a te d S h o r t T e r m M u n i - B r o k e r a g e # 11 0 4 . F e d e r a t e d S h o rt T e r m M u n i - B r o k e r a g e # 11 0 5 . F i r s t E a g le O v e r s e a s - B r o k e r a g e # 11 0 6 . F i r s t E a g le O v e r s e a s - B r o k e r a g e # 11 0 7 . J a n u s F u n d - B r o k e r a g e # 11 0 8 . J a n u s F u n d - B r o k e r a g e # 11 0 9 . J a n u s F u n d - B r o k e r a g e # 11 1 0 . J a n u s O v e r s e a s - B r o k e r a g e # 11 1 1 . J a n u s M i d C a p V a l u e - B r o k e r a g e # 11 1 2 . J a n u s M i d C a p V a l u e - B r o k e r a g e # 11 1 3 . J a n u s M i d C a p V a l u e - B r o k e r a g e # 1114. Ar t io In te rn a t io an l Equi ty - Bro kerag e #1

B D i v i d e n d L T So ld 06/24/10 K(par t)N o n e Buy 1 1 /08/1 0 K( a d d l )

A D i v i d e n d J T So ld 06/10/10 J(par t)N o n e Bu y 11/08/10 J( a ddq)

A D i v i d e n d K T So ld 06/10/10 J( p a r t )N o n e Bu y l 1 /08 /10 J(ad d l )N o n e Bu y 12109/I0 J( a d d l )

A D i v i d e n d K T So ld 06/10/10 J(par t)A D i v i d e n d J T So ld 05/19/10 J(par t)

N o n e Bu y 11/08/10 J( a d d l )N o n e Bu y 12/09/10 J

( a d d l )N o n e So ld 05/19/10 J

CA

115. M organ S tan l ey In t e rna t iona l Equ i ty -Broke rage #1116. M organ S tan l ey In t e rna t iona l Equ i ty -B roke ra ge # 1117. M organ S tan l ey In t e rna t iona l Equ i ty -B r o k e r a g e # 11 1 8 . S c h w a b M o n e y M a r k e t - B r o k e ra g e # 1

A D i v i d e n d K T So ld 06/10/10(par t)N o n e Bu y I 1/08/10( a d d l )N o n e Bu y 12/09/10( a d d l )

A D i v i d e n d L T

JJJ

1 1 9 . S o u n d S h o r e - B r o k e r a g e # I A D i v i d e n d K T So ld 06/10/10(par t)

( S ee Colu nms B 1 and I ) 4 ) F =$50,001 - $100,0002 . Valu e Codes J =$15~000 or less

( S ee Colu mns CI and D 3) N =$250,001 - $500,000P3 =$25,000,001 - $50,000,0003. Valu e Meth od Codes Q =A p p r a i sa l( S ee Colu mn C2 ) U = B ook Valu e

B=$1;001, $2,500G--$100~001 - $1,000,000K=$15,001 - $50,000O =$500~001 - $1,000;000R = Cos t ( R eal E s t a t e Only )V = Oth er

C =$2,501 - $5,000 D =$5,001 - $15,000 E = $1 5,001 - $50,000HI =$1,000,001 - $5,000;000 H2 =M bre than $5i000~000L =$50;001- $100;000 M :$100 0~i ~00ooP I = $1~000,001 - $5,000,000 P2 =$5i000 001=$25 000 000P4 =Mo re than $50~000,000S = As s es s ment T =Cash Marketw = E s t imated


11/19



Date of Report04/27/2011

V I I . I N V E S T M E N T S a nd T R U S T S - income, value, transactions (Includes those of sp .... and dep endent chi ldren; see pp . 34-60 of f ! l ing instruct ions .)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )Place "(X)" after each asset

exempt f rom pr ior d isc losu re

B. C, D.Income dur ing Gross va lue a t end Fransac t ions during reposing pe riod

reportmgperiod of repor t ing per iod(1 ) (2 ) (1 ) (2 ) (1 ) (2) (3) (4) (5 3

A m o u n t Type (e.g., V al u e Vatu~ Type (e.g. , Date V al u e Gain Identity oC ode 1 div., rent, C o d e 2 Method buy, se l l , mm/dd /yy C o d e 2 Code 1 buyer/se l le r(A-H) o r i n t . ) (J-P) C o d e 3 redem ption) (J-P ) (A-I~ ( i f ] ~ r i v a t e(Q-W) transaction)

1 2 0 . S o u n d S h o r e - B r o k e r a g e # 11 2 1 . S o u n d S h o r e - B r o k e r a g e # 11 2 2 . W e s t e o r e M I D C O G r o w t h - B r o k e r a g e # 11 2 3 . W e s t c o re M I D C O G r o w t h - B r o k e r a g e # 11 2 4 . W e s t c o r e M I D C O G r o w t h - B r o k e r a g e # 1125. H o t c h k is & W i l e y L a r g e C a p V a l u e -B roke ra ge # 1126. H o t c h k is & W i l e y L a r g e C a p V a l u e -B roke ra ge # 1127. H o t c h k is & W i l e y L a r g e C a p V a l u e -B roke ra ge # 1128. H o t c h k is & W i l e y M i d C a p V a l u e -B roke ra ge # 1129. H o t c h k is & W i l e y M i d C a p V a l u e -B r o k e r a g e # 1130. H o t c h k is & W i l e y M i d C a p V a l u e -B roke ra ge # 11 3 1 . R o y c e V a l u e P l u s - B r o k e r a g e # 11 3 2 . R o y c e V a l u e P l u s - B r o k e r a g e # 1133. T h i r d A v e n u e I n t e r n a ti o n a l V a l u e -B roke ra ge # 11 3 4 . T h o m b u r g I n t l V a l u e - B r o k e r a g e # 1

135. Wil l iam Bla i r In t l Smal l Gro wth -B roke ra ge # 1136. We stco re In te rn a t io n a l Fro n t ie r - Bro kerag e#I

N o n e Bu y 11/08/10 J(ad d l )N o n e Bu y 12/09/10 J(ad d l )N o n e K T S o ld 06/1 0/10 K A( p a r t )N o n e Bu y 11/08/10 J(ad d l )N o n e Bu y 12/09/l 0 J(ad d l )

A Divid en d K T So ld 06/1 0/10 J A(par t)N o n e Bu y 11/08/10 J(ad d l )N o n e Bu y 12/09/10 J(ad d l )

A Divid en d K T So ld 06/10/10 J A( p a r t )N o n e Bu y 11/08/10 J(ad d l )N o n e Bu y 12/09/10 J(ad d l )

A Divid en d K T Bu y ll/08/10 J(ad d l )N o n e Bu y 12/09/10 J(ad d l )

A Divid en d J T So ld 06/10/10 J A( p a r t )A Divid en d J T

A Divid en d K T Bu y 11/08/10 J(ad d l )N o n e So ld 05/19/10 J A

: :1. ln com e G ain Cod es: A =$1 ,000 6r le ss(Se e Co lumn s BI a n d D4) F =$50,001 - $100,000

2. V alu e C o d es J = $15,000 or le ss( Se e C ol un m s C I a nd D3 ) N = $25 0,00 1 - $500 ,000

P3 =$25,000,001 - $50,000,0003. Valu e Meth od Codes Q =A p p r a i sa l( S e e C o l u m n C 2 ) U -Bo o k V a lue

B =$1,001. $2,500 . C --$2;501 ~ $5,000 D = $5,001 - $15,000 E =$15,001 - $50,000G =$ I 0 0; 00 1 - si ,00 0; 00 0 H i- -$ ii 00 0; 00 i ~ $~ 00 0;0 00 H2 =M0rb than $5;000;000 ..... .~ =$15,00t ,$50,000--$~o:ooi ~ $100i066~ : - - , ~ o o ~ o o i : s ~ o ~ 0 o o ii=$ 500 , 001 - $ 1 1 000 , 000 P 1 - -$ 1 ~000i 001 . - $ 5~000i 000 P2 = $ 5 ;0 0 0 ~ 0 0 1 ~ $ 2 5 ,0 0 0 0 0 0P4 =M or~ i~an $50;000;000R = Cos t ( R eal E s t a t e Only ) S =AsSessment .... T =Ca sh Ma rke tV = Oth er W = E s t imated


12/19



D a t e o f R e p o r t04/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c om e , valae, transactions (Includes those of spou . ... d dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

( n c l u d i n g t r u s t ~iPlace " (X)" afterexempt fr6m di~ ~! Co~ ~ ~r/Se!!~

: : : . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1 3 7 . W i l l i a m B l a i r L a r g e G r o w t h - B r o k e r a g e # 11 3 8 . W i l l i a m B l a i r L a r g e G r o w t h - B r o k e r a g e # 11 3 9 . W i l l i a m B l a i r L a r g e G r o w t h - B r o k e r a g e # 11 4 0 . W i l l i a m B l a i r M i d G r o w t h - B r o k e r a g e # 11 4 1 . W i l l i a m B l a i r M i d G r o w t h - B r o k e r a g e # 11 4 2 . W i l l i a m B l a i r S m a l l G r o w t h - B r o k e r a g e # 1

A D i v i d e n d K T So ld 06/10/10 J A( p a r t )N o n e Bu y 11 / 08 / 10 J(ad d l )N o n e Bu y 12/09/10 J(ad d l )N o n e K T So ld 06/10/10 J B( p a r t )N o n e Bu y 11/08/ l 0 J( a d d l )N o n e J T Bu y 11/08 / I0 J

1 4 3 . W e s t c o r e M i d C a p V a l u e - B r o k e r a g e # 1 A D i v i d e n d K T So ld 06/10/10 J B( p a r t )1 4 4 . W e s tco re M id C a p V a lu e - Bro ke ra g e # 1 N on e Buy 1 1 /08/1 0 J(ad d l )1 4 5. W e s tco re M id C a p V a lu e - Bro ke ra g e # 1 N on e Bu y 12/09/10 J(ad d l )1 4 6 . D F A I n t l S m a l l V a l u e - B r o k e r a g e # 1 A D i v i d e n d K T Bu y 11/08/10 J(ad d l )1 4 7 . D F A I n t l S m a l l V a l u e - B r o k e r a g e # 1 N o n e Bu y 12/09/10 J( a ddq)1 4 8 . D F A S h o r t T e r m M u n i - B r o k e r ag e # 1 B D i v i d e n d L T So ld 06/10/10 L A( p a r t )1 4 9 . D F A S ho rt T e rm M u n i - B ro ke rag e # 1 N o n e Bu y 11/08/ l 0 K( a d d l )1 5 0 . M e t r o p o l it a n W e s t T o t a l R e t u r n - B r o k e r a g e C D i v i d e n d L T So ld 08 / 16 / 10 J B#1 (par t)15 I . M et ropol i t an W es t T ota l Re tu rn - Broke rage N o n e Buy l 1 /08 /1 0 K#1 (ad d l )1 5 2 . R o y c e M i c r o C a p - B r o k e r a g e # 1 A D i v i d e n d J T Bu y 11 / 08 / 10 J1 5 3 . W i l l i a m B l a i r i n t l G r o w t h - B r o k e r a g e # 1 A D i v i d e n d J T Bu y 11/08/10 J

L I nc ome G ain Codes :( S ee Colu mns B 1 and 1 ) 4 )

2.Valu e Codes( S ee Colu mns CI and D 3)

3.Valu c Meth od Codes( S e e C o l u m n C 2 )

A=$];O00o~!d~ : B =$1;001 ~ $2;500 C =$ 2 ,501-$ 5 ,000 D - - $5 ,0 0 1 - $1 5 ,0 0 0 E =$15,001- $50;000F =$50 001- $I00 0~ ........G =$ i00 100i ~ $ ]i00 ~ 000 H i = $ i 000~001 ~ $ 5i0 00,000 H2 ~Mbre th~ $~ 000~000~ = $ ~ 5 , 0 0 0 o r ~ e s s K = $ ~ , o 0 ~ :$ ~ o o o o L = $ ~ o o o ~ ~ $ ~ 0 o ~ 0 0 0 ~ ~$i06~00~ ~$~o~o~6 ....N =$ 250,001 -$ 500,000 O =$500,001 - $1;000;000 P 1 2 5 1 ~ 0 0 0 ;0 0 i ~ $ 5 ~ 0 6 0 ~ 0 0 0 ~ =$5;000~00] ~ $25,000;000P3 =$25~000,001- $50,000,000 P4 =M0;ehan $50;000;000Q =Apprais~l R =Co st (R eal E sta te Only ) S = Ass essm ent T = Cas h Mar k etU = B ook Valu e V --Other W = E s t imated


13/19



D a t e o f R e p o r t04/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , ~ e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)~] NONE(No reportable income, assets, or transactions.)

154. T h o r n b u r g L i m i t e d T e r m M u n i c ip a l - A Divid en d L T Bu y 11/08/10 LB roke ra ge # 11 5 5 . B a r o n G r o w t h - B r o k e r a g e # 2 N o n e K T So ld 06/15/10 J A( p a r t )1 5 6 . B a r o n G r o w t h - B r o k e r a g e # 2 N o n e Bu y 09/17/10 J(ad d l )1 5 7 . D F A U S M i c r o C a p - B r o k e r a g e # 2 A Divid en d J T S o ld 06/1 5/10 J A( p a r t )1 5 8 . D F A T a x M g d M a r k e t w id e V a l u e - A Divid en d K T S o ld 06/1 5/10 J BB r o k e r a g e # 2 (par t)1 5 9 . D F A U S S m a l l V a l u e - B r o ke r a g e # 2 A Divid en d J T So ld 06/15/10 J B( p a r t )1 6 0 ; D F A T a x M g d I n t l V a l u e - B r o k e ra g e # 2 A Divid en d K T1 6 1 . D o d g e & C o x S t o c k - B r o k e r a g e # 2 A Divid en d K T S o ld 06/1 5/10 J A( p a r t )1 6 2 . F e d e r a te d S h o r t T e r m M u n i - B r o k e r a g e # 2 B Divid en d L T So ld 06/08/10 K A( p a ~ )1 6 3 . F i r s t E a g l e O v e r s e a s - B r o k e r a g e # 2 A Dividend J T So ld 06/15/10 J A(par t )164. H o t c h k is & W i l e y L a r g e C a p V a l u e - A Divid en d J TB r o k e r a g e # 21 6 5 . H o t ch k i s & W i l e y M i d C a p V a l u e - A Divid en d K T So ld 06/1 5/10 J AB r o k e r a g e # 2 (par t)1 6 6 . J a n u s F u n d - B r o k e r a g e # 2 A Divid en d K T So ld 06/15/10 J A( p a r t )1 6 7 . J a n u s O v e r s e a s - B r o k e r a g e # 2 A Divid en d K T So ld 06/15/10 J C(par t)168 . Ar t io In te rn a t io n a l Equi ty - Bro kerag e #2 N o n e So ld 08 / 11 / 10 K A169. Mo rg an S tan ley In te rn a t io n a l Equi ty - A Divid en d K T So ld 06/1 5/10 J AB r o k e r a g e # 2 (par t)1 7 0 . M o r g a n S t a n l e y E m e r g i n g M a r k e t s - A Divid en d K T So ld 06/1 5/10 J AB r o k e r a g e # 2 (par t)

1 . in c0~ ~f i in C0d e s ! A ~$i;000 0r less( S ee Colu mns B I and 1 M) F =$50,001 - $100,000

2 . Valu e Codes J =$15,000 or tess(Se e Co lumn s CI a n d D3 ) N = $250,001 - $500,000

P3 =$25,000,001 - $50,000,0003. Valu e Meth od Codes Q =A p p r a i sa l(Se e Co lumn C2) U = B ook Valu e

= $ 1 ;0 0 1 ~ $ 2 ;5 0 0 C =$2;50i ~ $~;000 D --$5;001 - $15~000 E =$15,001 - $50,000= $ i 0 0 0 o r : $ i 0 6 0 0 0 0 ~i :~i i60o ,66:i i ~ ioo6 i600 H~--M 0~e ~a~ $ 5 ;000 ;000 . . . . .. . . . ..K = $ 1 5 , 0 0 1 - $ 5 0 ,0 0 0o = ~ 5 0 o , 0 0 ~ - S ~ , o 0 o ; 0 0 0

= Cos t ( R eal E s t a t e Only ) S =Ass~s~m~ ~ ~Ca sh Ma rke t= Other W =E stlm at~d


14/19



D a t e o f R e p o r t04/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i , c o m e , v a la e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~-] NONE income, assets, or transactions.)eportable

1 71 . R o y ce O p p o rtun i ty - B ro ke ra g e # 2 N o n e J T So ld(par t)1 7 2 . S c h w a b M o n e y M a r k e t - B r o k e r a g e # 2 A D i v i d e n d J T

06/15/10 J

1 7 3 . T h i r d A v e n u e I n t e r n a ti o n a l V a l u e - A D i v i d e n d K T So ldB r o k e r a g e # 2 (par t)1 7 4 . T u r n e r C o r e G r o w t h - B r o k e r a g e # 2 A D i v i d e n d K T So ld( p a r t )

1 7 5 . T u r n e r S m a l l C a p E q u i t y - B r o k e r a g e # 2 N o n e So ld

06/15/1006/15/1009/16/10

JJ

J

AAB

1 7 6 . W e s t c o r e M i d C a p V a l u e - B r o k e r a g e # 2 A D i v i d e n d K T So ld( p a r t )1 7 7 . W e s t c o r e M I D C O G r o w t h - B r o k e r a g e # 2 N o n e K T So ld( p a r t )1 7 8 . W e s t c o r e I n t e r n a ti o n a l F r o n t i e r - B r o k e r a g e A D i v i d e n d J T So ld#2 (par t)179. M etropol i t an W es t T ota l Re tu rn - Broke rage B D i v i d e n d K T#21 8 0 . T h o r n b u r g I n t l V a l u e - B r o k e r a g e # 2 A D i v i d e n d J T Bu y

06/15/1006/15/1006/15/10

08/12/10

J

J

J

AAA

1 8 1 . D F A S h o r t T e r m M u n i - B r o k e r a g e # 2 A D i v i d e n d L T1 8 2 . D F A O n e Y e a r F i x e d - R e t i re m e n t # 8 B D i v i d e n d M T1 8 3 . F e d e r a t e d U S G o v t 1 - 3 - R e t i re m e n t # 8 B D i v i d e n d So ld 10/29/10 M D1 8 4 . F e d e r a t e d G o v t U l t r a h o r t - R e t i r e m e n t # 8 A D i v i d e n d M T Bu y 11/01/10 M185. A d a m s H a r k n e s s S m a l l G r o w t h - R e t i r e m e n t N o n e K#81 8 6 . B a r o n G r o w t h - R e t i r e m e t n # 8 N o n e K

TT

1 8 7 . B r a n d y w i n e F u n d - R e t i r e m e n t # 8 N o n e L

( S ee Colu mns B I and D 4 )2 . Valu e Codes

( S ee Colu mns CI and D 3)3. Valu e Meth od Codes

( S e e C o l u m n C 2 )

D =$5,001 - $! 5 ,000F =$50,001 - $ i00,000 G =$]00,001 , $1 ,0 00,000 H 1 =$ 1; 00 0, 00 1 = $5 ;0 00 0 00 H 2 =M 0r e lh an $ 5, 00 0~0 00J =$15,000 or less K--$15,001 -- $501000 L ~$50~001- $100~000 M =$1 00;001- $250,000N =$ 250 ,001 . $ 500 ,000 ~ =$500100i ; $1;0001000 PI ~$1,000,001 ~ $5i~01000 P~ =$5,000;001 - $25,000;000P3 =$25 000,001 $50,000,000 P4--M0re than $50 000 000Q =A p p r a i sa l R = Cos t ( R eal E s t a t e Only ) S --AS~egSment T = Cas h Mar k etU =Book Value .... V = Oth er W = E s t imated

E =$15,001 - $50,000


15/19


N a m e o f P e r so n R e p o r t i n gPrat ter , Gene E.

D a t e o f R e p o r t04/27/2011

V I I. I N V E S T M E N T S and T R U S T S -i ....e , value, t ......lons (Includes those of sp ...... d depen dent chi ldren; seepp. 3d-60 o f f i ling instruct ions .)D (No reportable income, assets,O N E or transactions.)

188. D F A E m e r g i n g M a r k e ts C o r e E q u i t y - A Divid en d K TR e t i r e m e n t # 81 8 9 . D F A I n t e rn a t i o n a l V a l u e - R e t i r e m e n t # 8 B Divid en d L T1 9 0 . D F A U S L a r g e V a l u e - R e t i r e m e n t # 8 B Divid en d L T1 9 1 . D F A U S S m a l l C a p V a l u e - R e t i r e m e n t # 8 A Divid en d L T1 9 2 . D F A U S M i c r o C a p - R e t i r e m e n t # 8 A Divid en d K T1 9 3 . D o d g e & C o x S t o c k - R e t i r e m e n t # 8 A Divid en d L T1 9 4 . D F A I n t l S m a l l C a p V a l u e - R e t i r e m e n t # 8 A Divid en d K T1 9 5 . F i r st E a g l e O v e r s e a s - R e t i r e m e n t # 8 A Divid en d K T196. H o t c h k is & W i l e y L a r g e C a p V a l u e - B Divid en d L TR e t i r e m e n t # 8197. H o t c h k is & W i l e y M i d C a p V a l u e - A Divid en d L TR e t i r e m e n t # 81 9 8 . J a n u s F u n d - R e t i r e m e n t # 8 A Divid en d L T1 9 9 . J a n u s M i d C a p V a l u e - R e t i r e m e n t # 8 A Divid en d K T2 0 0 . J a n u s O v e r s e a s - R e t i r e m e n t # 8 A Divid en d L T201. Ar t io In te rn a t io n a l Equi ty - Ret i remen t #8 N o n e202. M o r g a n S t a n l e y E m e r g i n g M a r k e t s - A D i v i d e n d K TR e t i r e m e n t # 8203. M org an S tan l ey In t e rna t iona l Equ i ty - A Divid en d L TR e t i r e m e n t # 8204. Ro yce O p p o r tun i ty - Ret i remen t #8 N o n e K T

So ld 08/11/10 K A

1 . I nc ome G ainCodes A =$1,0~0 or less B =$1.001 - $2.500 C =$2,501 - $ 5,000 D =$5.00 t - $15,000( S ee Colu nms B I and 1 9 4 ) F = $50,001 - $100,000 G = $1 00,001 - $1.000.000 H I =$1,000,001 - $5,000,000 H2 =Mo re than $5.000.000

2. V alu e C o d es J = $15,000 or tess K =$15.001 - $50.000 L =$50.001 - $ 100.000 M =$ 100.001 - $250,000(Se e Co lumn s CI a n d D3 ) N =$250,001 - $500,000 O = $500,001 - $1.000.000 P1 =$1,000,001 - $5,000.000 P2 =$5.000.001 - $25.000.000

P3 =$25,000,001 - $50.000.000 P4 =M ore than $50.~)00.0003. Valu e Meth od Codes Q =A p p r a i sa l R = Cos t ( R eal E s t a t e Only ) S = As s es s ment T =Ca sh Ma rke t1 S ee Colu mn C2 ) U = B ook Valu e V = Oth er W = E s t imatc d

E =$15,001 - $50,000


16/19


Name of Person R e p o r t i n gP r a t t e r , G e n e E .

D a t e o f R e p o r t04/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t .e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!llng instructions.)N O N E ( N o reportable income, assets, or transactions.)

Description of Assets( inc luding t rus t asse ts )

Place "(X)" after each assete x e m p t from p rio r d isc losure

Incom e during G ross va lue at end Tr~sae t ong during report ing pe riodrepo rting period of reporting perio d

( 1 ) ( 2 ) (1) (2) (l ) (2): :(3) (4) (5 )A m o u n t Type (e.g., Va l u e V a l ue Type (e .g ., Date V a l ue G~ I d e n t i t y o f "C o d e l div.. rent, Co de 2 Method buy; se l l , m m / d d / ~: C 0 d ~ 2 Co d e : t : buyer/se l le r(A-H) o r i n t . ! ( J - P ) Code 3 i edempt ion) ( J ~ P ) (A-~ (ffprivate

( Q - W ) I transaeti0n)

2 0 5 . R o y c e V a l u e P l u s - R e t i r e m e n t # 82 0 6 . S c hw a b M o n e y M a r k e t - R e t i re m e n t # 8207. T h i r d A v e n u e I n t e rn a t i g n a l V a l u e -R e t i r e m e n t # 82 0 8 . T u r n e r C o r e G r o w t h - R e t i r e m e n t # 82 0 9 . T u r n e r S m a l l C a p E q u i t y - R e t i r e m e n t # 8210 . Westco re In te rn a t io n a l Fro n t ie r - Ret i remen t#82 1 1 . W e s t c o r e M i d C a p V a l u e - R e t i r e m e n t # 82 1 2 . W e s t c o r e M I D C O G r o w t h - R e t i re m e n t # 8213. W il l i am Bla i r In t e rna t iona l Growth -R e t i r e m e n t # 8214. W i l l i a m B l a i r L a r g e C a p G r o w t h -R e t i r e m e n t # 8215. W il l iam B la i r In t l Sma l l Gro wth -R e t i r e m e n t # 82 1 6 . B l a c k R o c k L o w D u r a t i o n - R e t i r e m e n t # 82 1 7 . M e t r o p o li ta n W e s t T o t a l R e t u r n -R e t i r e m e n t # 82 1 8 . T h o r n b u r g I n t l V a l u e - R e t i r e m e n t # 82 1 9 . W i l l i a m B l a i r S m a l l G r o w t h - R e t i r e m e n t # 8220. E q u i t a b le V a r i a b l e L i f e - A l l i a n c e C o m m o nS tock

!221. E q u i t a b le V a r i a b l e L i f e - A l l i a n c e C o m m o nS tock

A D i v i d e n d K TA D i v i d e n d K TA D i v i d e n d L TA D i v i d e n d K T

N o n e So ld 09/ t6 /10 KA D i v i d e n d K TA D i v i d e n d L T

N o n e M TA D i v i d e n d L TA D i v i d e n d L TA D i v i d e n d K TD D i v i d e n d M TD D i v i d e n d M T Bu y 01/28/10 J (ad d l )A D i v i d e n d K T Bu y 08 / 12 / 10 K

N o n e K T Bu y 09/17/10 KN o n e L T Bu y 02/08/10 J( a d d l )N o n e Bu y 04/ 19 / 10 J( a d d l )

C

: : i i i ~ -~eGai f i o d e ~ i A =$i:i000 0r less B =$1~001- $2,500(Se e Co lumn s BI a n d I )4 ) F = $50,001 - $100,000 G = $100,001 - $1,000,000

2 . Valu e Codes J =$t 5 ,000 or less K =$15,001 - $50,000( S ee Colu mns C I and D 3) N =$ 250,001 - $500,000 O -$500,001 - $ 1,000,000

P3 =$25,000,001 - $50,000,0003. V alue M etho d Co des Q =A ppra isa l R = Cos t ( R eal E s t a t e Only )( S e e C o l u m n C 2 ) U = B ook Valu e V = Oth er

C =S2,501 - $5;000 D =$5,001 - $15,000 E =$15,001 - $50,000H1 =$ L000,001 -$5;000,000 H2~M3rethah$51000~O00 ......L=$50,001 -$100;000 M = $ 0 0 0 0 1 2 5 2 5 0 0 0 0PI =$1,000,00I - $5;000i000 P2 =$5,000 001$25;000 000P 4 = M o r e t h a n $ 5 0 , 0 0 0 , 0 0 0 . .. . ..S = As s es s ment T = Cas h Mar k etW = E s t imated


17/19

FINANCIAL DISCLOSURE REPORTPage 1 7 of 19

N a m e o f P e r so n R e p o r t i n gPra t t er , Gene E .

Date of Report04/27/2011

V II. INV ESTM ENTS an d TRUSTS - i .... e, value, t ......lons (Includes those of spouse and dependent children; seepp. 34-60 of f!ling instructlon~)~ (No reportable incom e, assets , orONE transactions.)

222. E q u i t a b le V a r i a b l e L i f e - A l l ia n c e C o m m o nSt oc k223. E q u i t a b le V a r i a b l e L i f e - A l l ia n c e C o m m o nS t o c k224. Equi t a b l e Va r i a b l e L i f e - A l l i a n c e

In terna t iona l225. Equi t a b l e Va r i a b l e L i f e - A l l i a n c eIn terna t iona l226. Equi t a b l e Va r i a b l e L i f e - A l l i a n c eIn terna t iona l227. Equi t a b l e Va r i a b l e L i f e - A l l i a n c eIn terna t iona l228 . Ca r l y l e Re a l Es t a t e L L P2 2 9 . W h e e l e r T e r r a c e L T D

2 3 0 . P N C B a n k A c c o u n ts

2 3 I . N a n t u c k e t B a n k A c c o u n t

2 3 2 . W e s c o t t N o v a L P

233. Re n t a l P r o p e r t y # 1 , P h i l a d e l p h i a , P A ( 2010$760,000)

A

N o n e B u y 07/21/10( a d d l )N o n e B u y 10/22/10( a d d l )N o n e K T B u y 02/08/I 0( a d d l )N o n e B u y 04/19/10( a d d l )N o n e B u y 07/21/10( a d d l )N o n e B u y 10/22/10( a d d l )

D i v i d e n d J T

JJ

JJ

JJ

A Dividend J

A D i v i d e n d J

A Dividend J

D

None J T Distributed 08/20/10( p a r t )Rent O R B uy 06/21/10

JO

A

1 . I nc ome G ain Codes : A = $1 2 0 0 or l es s B =$1.001 - $2.500 C = $2,501 - $5,000( S ee Colu nms B 1 and D 4 ) F =$51~.001 - $100,000 G =$100.001 - $1,000,000 H 1 = $1,000;001 - $5,000,000

2 . Valu e Codes J =$15.000 or less K = $15.001 - $50.000 L = $50,001 - $100,000( S ee Colu mns C I and D 3) N =$250.001 - $500,000 O = $500.00i - $1,000.000 P1 =$1,000.001 - $5.000.000

P3 =$25.000,001 - $50,000,000 P4 =Mo re than $50.000,0003. Valu e Meth od Codes Q =A p p r a i sa l R = Cos t ( R eal E s t a t e Only ) S = As s es s ment(Se e C o lu m n C 2) U = B oo k V alue V = Oth er W = E s t imated

D =$5.001 -$15.000H 2 = M o r e t h a n $ 5 . 0 0 0 , 0 00M=$100.001 -$250,000P2 =$5,000,001 -$25,000.000T = C a s h M a r k e t

E =$15.001- $50.000


18/19


Nam e of P e r son Repor t ingP r a t t e r, G e n e E .

Date of Repor t04/27/201 !

V I II . A D D I T IO N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicatepart of report.)


19/19



Date o f Report04/27/2011

IX. CERTIFICATION.I c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e be s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s t a t u to r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r th e r c e r ti f y t h a t e ar n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r ia a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 53 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/Gene E. Pratter

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y FA L S I F IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C IV I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 04 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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Gene E Pratter Financial Disclosure Report for 2010