Mark L Wolf Financial Disclosure Report for 2010

8/3/2019 Mark L Wolf Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010Report Required by the Ethicsin Government ~lct of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r st , m i d d l e i n i t i a l)Mark , Wol f L .

4 . T i t l e ( A r t i c l e 1 1 1 j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges in dicate full- or part- t ime)

2. Cour t or O r g a n i z a t i o nDis t r i c t o f Mas sach use t t s

5a . Report T y p e ( c h e c k appropriate type)] N o m in a t i o n , D a te

U.S. D i s t r i c t J u d g e Ac t iv e

7. Chambers or O f f ic e A d d r e s s1 Cour th ouse WayS u i t e 5 110Bos ton , MA 0 2 2 10

[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n fo r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n , i n c o m p l i a n c ew 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 .

R e v i e w i n g O f f i c e r D a t e

3 . D a t e o f R e p o r t07/01/2011

6 . R e p o r t i n g P e r i o d01/01 /2010

to12/31/2010

I M P O R T A N T N O T E S : T h e in s t r u ct io n s a cco m p a n y in g th i s f o rm m u s t b e f o l lo we tL Co m p l e t e a l l p a r t s ,checking the NONE box for each pa r t where you have no repor table in format ion . S ign on las t page.

I . P O S I T I O N S . C R e p o r a n g i n d l v i d u u l o n l y ; se e ~ . 9 - 1 3 of f i l ing instructions.)[~ N O N E (No reportable positions.)

1 . Chairman Em er i tus , D irec to r2. Chair3. Trus te e

4.5.

POSITION NAM E OF ORG ANIZATION/ENTITYAl be r t Sc hw e i tze r Fe l l o w s h ipJo hn Wi l l i am W ar d Fe l lo w s h ip

~ Trust

II . A G R E E M E N T S . m ~ p o n ~ n g i nd i v idual on ly ; s eepp . 14 - 16 o f f i l i ng i ns t r uc t ions . )~ (No reportable agreements . )O N E

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 25

N a m e o f P e r s o n R e p o r t i n gM a r k , W o l f L .

D a t e o f R e p o r t07/01/2011

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

~] NONE non-investment income.)N o reportableDAT E SO UR CE AN D T Y PE I N C O M E(yours , not spouses)

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 married during any p ortion of the reporting year, complete this section.(Dol lar amoun t not required except f or honoraria. )

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

1.2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmen~( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 2 5 - 2 7 o f f !l i n g i n s t r u c t i o n s . )

~3 (No reportable reimbursements.)O N ESOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1 . N e w Y ork Pate n t Law 3/26-3 /28 N e w Y ork D inne r of Fe de r a l J ud i c ia r y t r an s po r ta t io n , fo o d , l odg i ngAssociation2. Albert Schweitzer Fel lowship 10/24-10/31 Lambarene , Gabon D e ve lo p r e co m m e n d a t io n s t ra n s p or ta ti on , f oo d , lo d g in gc o nc e r n i ng Sc h w e i tz e rHospi ta l3. A lb e rt S c h we i tz e r F el lo w sh ip 1 0/ 14 - 10 /1 6 Baltim ore Board M e e tin g t ranspor ta tion, food, lodgin g4.5.


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N a m e o f P e r s o n R e p o r t i n gM ark , Wolf L .

D a t e o f R e p o r t07/01/2011

V . G I F T S . (Includes 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.

VALUE

V I . L I A B I L I T I ES . a n c l u d e s t h o s e o l s p o u s e ~ n d dependent children; see pp. 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.

3.

4.5.

VALUECODE


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N a m e o f P e r s on R e p o r ti n gM ark, Wolf L.

D a t e o f R e p o r t07/01/2011

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 o t u e , ~ a n s a c t io n s a n c i u d e s t h o s e o l s p o u s e u , d dependent children; see p p . 3 4 - 6 0 of filing instructions.)D NONE(No reportable income, assets, or transactions.)

I. IRA #1 B Dividend L T2. -iShares Barclays TIPS Bon d Fund 5.298%3. -iShares FTSE/Xin hua Chin a 25 Index S o l d 10/04/10

( p a r t )4. -iShares Boxx Investment Grade Corporate S o l d 02/02/10Bond Fund5. -SPDR Gold Trus t B uy 05/12/10(addl )6. -V angu ard B on d Index Fund B u y 06/02/10(addl )7. S o l d 08/04/10( p a r t )8. -Vanguard International Equity Index S o l d 02/02/10( p a r t )9. -Vangu ard Total Stock Market Index S o l d 02/02/10( p a r t )1 0 . S o l d 10/04/10( p a r t )1 1 . -iShares MSCI Japan Index S o l d 02/02/101 2 . -Claymore/BNY Mellon BRIC Index S o l d 10/04/101 3 . -iShares Barclays 7-10 Year Treasfi~y B ond S o l d 11/18/10Fund1 4 . -iShares JPMorgan USD Emerging M arkets S o l d 02/02/10Bond Fund ( p a r t )1 5 . S o l d 06/02/101 6 . -iShares MSCI Germ any Index S o l d 02/02/101 7 . B uy 12/08 /10

J

J

J

J

J

J

J

J

J

JJ

J

JJ

J

A

AAAB

AAA

1. i n c o m e G a i n C o d e s : A =$1.000 or less B = $ 1.001 - $ 2.500 C = $ 2.501 - $ 5 .000ISee Columns BI and D41 F =$ 50,001 - $ I 00.000 G =$ 100.001 - $1.000,000 H1 = $1.000,001 - $5.000,000

2. V a l u e C o d e s ] =$15.000 or less g. =$15.001 - $50.0~0 L =$50.001 - $ 100,000(See Columns C1 and D 3 ) N = $250,001 - $ 500.000 O = $500.001 - $ L000.000 PI =$1.000.00t - $5.000.000P3 =$25.000.001 - $50.000.000 P4 =More than $ 5 0 . 0 0 0 . D 0 03. V a l u e M e t h o d C o d e s Q = A p p r a i sa l R =Cost (Real Estate Only) S =Assessmem(See Column C2) U =Book Value V =Othe r W =Estimated

D =$5.001 - $15.000H 2 =More than $5.000.000M = $i00,00t - $250.000P2 =$5.000.001 - $25.000.000T = C a s h M a r k e t

E =$1 5 . 0 0 1 - $50 . 0 0 0


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FINANCIAL DISCLOSURE REPOR TPage 5 of 25


D a t e o f R e p o r t07/01/2011

V I I . I N V E S T M E N T S a n d T R U S T S - ~ n c o m e , va t u e , ,~ans uc t ions ( I nc ludes t hos e o f s pous e and dependent children; see pp. $4-60 of filing instructions.)D NONE (No repor tab le i ncom e , as se t s , o r t ransac t ions .)

1 8 . - iShar e s R u s s e l l 2000 I n d e x Sold 02/02/10 J A

1 9 . B u y 06/02/10 J

20 . Sold 10/04/10 JA

21 . - D B C o m m o d i ty I n d e x B u y 02/02/10 J(add l )22 . Sold 08/12/10 J(part)23 . -SPDR Internat ional Gov t Inf la t ion- So ld 02/02/10 J

P r o t e c t ed Bond Index (part)24 . Sold 06/02/10 J

25 . - W i s d o m T r e e D r e y f u s E m e r g i n g C u r re n c y B u y 02/02/10 JF t m d (add l )26 . Sold 06/02/10 J(part)27 . Sold I0/04/10 J A

28 . -NASD AQ 1 00 I n d e x Sold 06/02/10 J A(part)29 . Sold 10/04/10 J A

30 . -Ba r c lay s Bank iP a th E TN iP a th S & P 5 0 0 B u y 02/02/10 JV1X Shor t31 . Sold 03/08/10 J

32 . -F i rs t Tr BICK Index E TF E m er g i ng Mar ke t B u y 10/04/10 JEqu i ty33 . - i S h ar e s M S C I H o n g K o n g B u y 02/02/10 J

34 . Sold 06/02/10 J

1 o I n c o m e G a i n C o d e s : A = $ 1.000 or les s B = $ 1,001 - $ 2.500 C = $ 2.501 - $ 5 ,000 D =$5.001 - $15.000(See C o lumns B1 a nd D4) F = $50.001- $ 100.000 G = $100.00t . $1,000.000 HI =$ 1.000.001 - $5.000.000 H 2 = M 0 r e t h a n $ 5 . 0 0 0 .0 0 0

2. Value Codes . 1 = $ 1 5 . 0 0 0 o r l e s s K =$15,001 - $50.000 L =$50,001 - $1~4).00~ M =$1003)01 -$250.000(See C o lumns C I a nd D3 ) N =$250.001 - $500.000 O =$ 500 ,00 1 - $1 .00 0.00 0 P I = $1 .0 00 .0 01 - $ 5.00 0.0 00 P2 = $5.000.001 - $25,000.000

P3 = $25,000.001 - $ 50.000.000 P4 = M ore than $ 50.000,0003. Val ue Me t hod Code s Q =Appraisal R =Cosl IReal Estate Only) S = Asse s sme nl T =Cas h Mark~

(See C o lumn C 2 ) U =Book Value V = O the r w = Es tim ate d

E =$15,001 - $50,0~


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FINANCIAL DISCLOSURE REPORTP a g e 6 o f 2 5

N a m e o f P e r s o n R e p o r t in gMark, Wolfe

D a t e o f R e p o r t07/01/2011

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 , valu e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)[] NONE(No reportable income, assets, or transactions.)

35 .36 .37 .38 .39 .40 .4 1.42 .4 3.4 4.4 5.46 .4 7.4 8.49 .50 .51 .

- iShares MSCI Korea Index Fun d Bu y 02/02/10 JSold 06/02/10 J

- iShares Trus t iBoxx H igh Yie ld Corp Bu y 02/02/10 JSold 10/04/10 J

- P I M C O E xc h T r a d e d F u n d 1 5 + Y r U STIPS Index Fund- P I M C O E x c h T r a d e d F u n d E n h a n c e d S h o rtMamr i t y

-D B Ag r i c u l t u r e I n d e x

- S P D R E m e r g i n g M a r k e ts S m a l l C a p F u n d

- S P D R S & P D i v id e n d-V~ n g u ar d D iv id e n d Ap p r e c ia t io n I n d e x

- V a n g u a r d P E l T

Bu y 10/04/10Buy I1118/10Sold 12/08/10(part)Bu y 02/02/10

JJJJ

Sold 05/12/10 JBu y 6/2/10 JBu y 9/9/10(add l )Buy 10/04/10(add l )Bu y 10/04 /10

JJJ

Bu y 02/02/10 JBu y 03/17/I 0

( a d d l )S o l d I 0 / 0 4 / 1 0(part)Bu y 09/15/10

JJJ

A

1 . I n com e G a i n C od e s : A =$1 . 0 0 0 o r t e s s( S ee C o l u m n s B I a n d D 4 ) F = $5 0 . 0 01 - $1 0 0. 0 0 0

2 . Va l ue Co de s J =$1 5 . 0 0 0 o r l e s s[Se e Columns C1 and D3) N =$250.001 - $ 500.000

P3 =$25.000.001 - $50.000.0003. Value Method Codes Q =Appraisal(See C o lumn C 2 ) 13 =Book Value

B =$1.001 - $2.500 C =$2.501 - $5.000 D =$5.001 - $15.1)00G = $1 00 .0 01 - $1 ,0 00.0 00 H I =$ 1.0 00 .00 1 - $5 .0 00 .0 00 H 2 . - - M o r e t h a n $ 5 . 0 0 0 .0 0 0K = $15.001 - $ 50.000 L = $ 50.001 - $100.000 M = $100.001 - $ 250.00~O =$500.001 - $1.000.000 PI =$ l ,000.00I - $5,000.000 P2 =$5,000,001 - $25.000.000P4 =More than $50.000.000R =Cosl (Real Estate Only) S = Asse s sme n t T =Cash MarketV = Ot he r W = E s t i ma te d

E =$15.001 - $50.000


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FINANCIAL DISCLOSURE REPORTP a g e 7 o f 2 5

N a m e o f P e r so n R e p o r t in gM ark, Wolf L.

D a t e o f R e p o r t07/01/2011

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 , ra t h e , tr a , ~ o c t i o n s a n c l . d e s th o s e o / s p o ~ s e a n d dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)D NONE(No reportable income, assets, or transactions.)

i 52.53 .54 .55 .56 .

Bu y(add l )-WisdomTree Em erg ing ETF Mkts Local Bu yD e b t F u n d- W i s do m T r e e I nd i a E a r n i ng Bu y

10/04/10 :08/09/1007/13/10

JJJ

- S c h w ab G o v t M o n e y F u n d

57 .58 .59 .60 .61 .62 .63 .

64.65 .

66 . 6 7 .68 .

IRA #2 C D i v i d e n d M T- iShare s Barc lay s TIPS Bond Fund 5 .298%- iShares FTSE/Xinhu a China 25 Index- iShares iBoxx Inves tmen t Grade Corpora teB o n d F u n d-SPDR Gold Trus t- V a ngua r d Bo nd I nde x F und

Bu y 04/13/10(add l )Sold 10/04/10i(part)Sold 02/02/10Bu y 05/12/10(add l )Bu y 0 4 / 1 3 / 1 o I(add l )Bu y 06/02/10(add l )Sold 08/04110(part)

JJJJJJJ

BB

( se e C o lumns B1 a nd D4) F--$50 00 l : $ i00 i000 : G ~$!00 00t ~ $ ! 000,0002. Value Codes J =$15,000 or less K =-$i5,001 - $50;000

(See C o lumns C I a nd D3 ) N =$250 001- $500 000 0 ~$500;001 : $1,000.000P 3 = $ 2 5 . 0 0 0 ~ 0 0 1 2 $ 5 0 i 0 0 0 . 0 0 03. Value Method Codes Q = A pp r a i s a l R Cos t (Rea l E s ta t e Only )

(See C o lumn C 2 ) U =Book Value V =Othe r

C =$2,501 - $5.000 D = $5,001 - $15.000 E = $ 15,001 - $ 50,000H I = $ 1 ; 0 0 0 ,0 0 1 - $ 5 . 0 0 0 0 0 0 H 2 : - -M o r e th a n $ 5 , 0 0 0 , 0 0 0. .. . . L =$ 501ooi , ~i0o:000 :~ $ t : o o o , o o l ~ ~ 5 ; o o 0 ; o o o : ::S = A s s e s s n i e n t T ~azh ~aikt : :W = E s t i ma te d : : :: :


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N a m e o f P e r s o n R e p o r t i n gM ark, Wolf L.

D a t e o f R e p o r t07/01/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v u l u e , t r u n s a c t i o ,~ a n e l u d e s t h o s e o l s p o u s e a n d dependent children; see p p . 3 4 - 6 0 o f f i l i n g instructions.)D NONE i ncome , a s se ts , o r t ransac t ions .)N o repor tab le

69 . - V a n g u a r d I n t e m a t i on a l E q u i t y I n d e x Sold 02/02/10i p a ~ t )70 . - iShar e s MSCI Jap an I n d e x S old 02/02/10

71 . -C l aymo r e /B NY Me l l o n B R I C I n d e x Sold 10/04/10

72 . - iS h a re s Ba r c lay s 7 -10 Ye a r Tr ea su r y Bond B u y 04/13/10F u n d ( ad d l )73 . S old 1 1 1 1 8 1 1 0

74 . - iShar e s JPMo r g an USD Em e r g in g Mar k e t s S old 02/02/I0B o n d F u n d (part)75 . S old 06/02/1076 . - iShar e s MSCI G e r man y I n d e x S old 0 2 1 0 2 1 1 0

77 . B u y 12/08/1078 . - iShar e s R u s s e l l 2000 I n d e x Sold 02/02/10

79 . B u y 06/02/10

80 . Sold 10/04/10

81 . - D B C o m m o d i t y In d e x B u y 02/02/10( ad d l )82 . Sold 08/12/10( p a r t )83 . -SPDR Internat ional Gov t Inf la t ion- Sold 02/02/10P r o t e c t ed Bond Index (part)84 . Sold 06/02/10

85 . - W i s d o m T r e e D r e y fu s E m e r g i n g C u r r e n c y B u y 02/02/10Fu n d (ad d l)

J

J

J

J

J

JJ

J

J

J

J

J

J

J

J

J

J

AB

B

t. In c om e G ain Cod e s : A = $1.000 or le ss{See C o lumns BI a nd D4) F =$50.001 - $100.0002. V alu e Cod e s J = $ 15,000 or les s(See C o lumns C I a nd D3 ) N =$250.001 - $5 00.000P3 =$25.000.001 - $50.000,0003. Val ue Me t hod Code s Q =Appraisal(See C o lumn C 2 ) U =Book Value

A

A

A

= $ 1 . 0 O l - $ 2 , 5 0 0 C = $ 2 : 5 0 1 - $ 5 . 0 0 0 O = $ 5 , 0 0 1 - $ 1 5 . 0 0 0G = $1 0 0. 0 0 1 - $1 ,0 0 0 . 0 0 0 H I = $1 .0 00 ,0 0 1 - $5 . 0 0 0,0 00 H 2 = M o r e th a n $ 5 0 0 0 . 0 0 0

=$ t 5 . 0 0 1 - $50 . 0 0 0 L = $ 5 0 . 0 0 1 $ 10 0 . 0 0 0 M =$ 1 0 0 , 0 0 1 - $2 50 , 0 0 0= $5 0 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0 P I = $ 1 ,0 00 ,0 0 1 - $5 . 0 0 0 .0 0 0 P 2 = $ 5 . 0 0 0 . 0 0 1 - $ 2 5 , 0 0 0 .0 0 0

P 4 = M o r e th a n $50 , 0 0 0 , 0 0 0= C o s t ( R ea l E s t a t e O n l y ) S = A s se e sm e n l T : ~ C a s h M a r k e t= O t h e r W = E s t i m a t ed

E =$15,001 - $50.000


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D a t e o f R e p o r t07/01/2011

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(No repor tab le i ncom e , as se t s , o r t ransac t ions .)

86 . Sold 06/02/10(part)87 . So ld 10/04/10

88 . -NASD AQ 1 00 I n d e x So ld 06 /02/10(part)89 . Sold 10/04/10

90 . -F i r s t T r u s t B I CK I n d e x B u y 10/04/10

91 . -Po w e r s har e s D B M u l t i Se c to r Ag r i c u l tu r e B u y 02/02/10

92 . Sold 05/12/10

93 . - W i s d o m T r e e E m e r g i n g E T F M k t s L o c a l B u y 08/09/10D e b t F u n d94 . -Wis d o mTr e I n d ia Ear n in g s B u y 07/13/10

95 . - i S h ar e s M S C I H o l d K o n g I n d e x B u y 02/02/10

96 . So ld 06/02/10

97 . - S P D R S & P E m e r g i n g M a r k e ts S m a l l C a p B u y 06/02/10

98 . B u y 09/09/10( ad d l )99 . B u y 10/04/10

( ad d l )100. - i Sh a re s M S C I Korea I ndex Fun d B u y 02102/10

1 0 1 . Sold 06/02/10

1 02 . - l s hare s iB o x x H ig h Y ie l d Co r p B o n d B u y 02/02/10

JJJJJJJJJJJJJJJJJ

AAA

2. Value Codes J = $ 15!000 0r less : K--$ !5 ;~0! :~ $ 50;000 L ~$50;001 r $100,000 M ~$1~0;00] 7 $250,000(See Col .... C I a nd D3 ) N =$25010oI:~ ~00,09o ~ ~$500100i ~ i i~0~000 P i ~ i 0 ~ ;~ i r $ 5 ;~ 0 ;0 0 0 : p 2 ~ $ ~ i0 0 o ;0 0 1 i $ 2 5 1 0 0 0 1 0 00

P3 ~$25~0o0 0~i ~ $50,000.00o3. Value Method Codes Q ~Appraisal : : IR ~0~ t (Re~ l E~ t~ t~ 0f i lY) S ~ A ~ s ~ S ~ e n t T ~h Market(See C o tumn C 2 ) V =0th~ ..... W Esti~aied ....=Book Value =


10/25


N a m e o f P e r s o n R e p o r t i n gMark, Wolfe

D a t e o f R e p o r t07/01/2011

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 o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)D NONE (N o repor tab le i ncome , a s se t s, o r t ransa c t ions . )

103.104. -P IMCO Exch Traded Fun d 15+ y r US TIPSI n d e x105. -P IMCO En hanced Shor t Matur i ty S t rgyET F106.1 0 7 . - SPD R S& P D iv i d e nd E T F1 0 8 . -V a ngu a r d D iv id e nd App r e c i a t i o n I nde x109.110.111. - V a ngua r d RE I T112.113. -Vangu ard To ta l Stock Marke t114.115. -Barc lays Bank Pl c iPa th S&P 500 Vix116.I 17. -Schwab Govt Money Fund

118.

Sold 10/04/10Bu y 10/04/10Bu y 11/18/10Sold 12/08/10(part)Bu y 10/04/10Bu y 02/02/10Bu y 03/17/10(add l )Sold 10/04/101(part)Bu y 09/15/10Bu y 10/04/10(add l )Sold 02/02/10(part)Sold 1 0 / 0 4 / I 0 [(part)Bu y 02/02/10Sold 03/08/10

JJ

JJ

J

J

JJ

J

JJ

J

JJ

AC

1 1 9 .

1. Income Gain Codes: A = $ 1.000 or le s s B = $ 1,001 - $ 2.500(Se e C olu mn s 13 1 an d D4 ] F =$ 50.0 01 - $ 10 0,00 0 G = $100.001 - $1.000,000

2. Value Codes J = $ 15.000 or le ss K = $ 15.001 - $ 50.000(See C o lumns C I a nd D3 ) N =$250.001 - $500d)00 O =$5 00.001 - $ t .000.000P3 =$25.000.001 - $50.000,0003. Value Method Codes Q =Appraisal R =Cost lReal Estate Only)(See C o lumn C 2 ) U =Book Value V =Othe r

C =$2.501 - $5.000H 1 =$ k000.001 - $5.0~0.000L =$50.001 - $ 100.000PI =$1.000.0~ I - $5.000.000P4 =M ore than $50,000.000S = Asse s sme n tW = E s t i ma t e d

D =$5.0~ I - $15.000H2 =M ore than $5,000.000M =$100.001 - $250.000P2 =$ 5.000.00t - $25.000.000

=Cash Market

E = $ |5 .001 - $ 5 0 .000


11/25



D a t e o f R e p o r t07/01/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc o m e , v u t u e , transact ions ( Includes those of spouse and dependent chi ldren; see pp. 34-60 of fi l ing instructions.)D N O N E ( N o reportable incom e, assets, or transactions.)

I120.1 2 1 .122.123.

124. BROKERAGE ACCOUNT #1125. iShare s Barc lay s 1-3 Y ear Treasury Bond A Dividend K T Sold 02102/10Fund (part)126. iShares Barc lays TIPS Bond Fun d 5 .298% A Dividend K T Bu y 10/04/10(add l )127 . iShares FTSE/Xinhua China 25 Index A Dividend J T

JJ

128 . S P DR G ol d T ru s t N o ne J T Bu y 05/12/10(add l )129. Sold 06/02/10(part)13 0 . Va n g u a rd B on d I n d ex Fu n d A Dividend K T Bu y 06/02/10(add l )131 . Vangu ard To ta l Stock Marke t Index A Dividend Sold 02/02/10(part)132. Sold 06/02/10

J

J

J

J

J

B

B

1 3 3 . i S h a re s M S C I J a p a n I n d e x N o n e Sold 02/02/10 J A

1 34 . iShare s 7 -1 0 Ye ar T r e as u r y B o n d Fu n d A D i v i d e n d So ld 11/18/10 J A

1 3 5 . iShares JPMorgan USD Em erging M arke tsB o n d F u n d A Dividend Sold 02/02/10 J(pan)136. Sold 06/02/10 J

2. Value Codes J =$15~000 or less K =$15i001 - $50.000(See C o lumns C I a nd D3 ) N = $ 2 5 0 ~ 0 0 1 = $ 5 0 0 , 0 0 0 0--$500;001 r $1,000.000

P 3 = $ 2 5 . 0 0 0 ; 0 0 1 - $ 5 0 ; 0 0 0 ~ 0 0 03. Value Method Codes Q = A p p r a i sa l : R =Cost (Real Estate Only)(See C o lumn C 2 ) U =Book Value V =Othe r

C = $ 2 . 5 0 | - $ 5 , 0 0 0 D = $ 5 , 0 0 1 - $ | 5 ,~ 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 . 0 0 0H I = $ 1 0 0 0 , ~ 0 1 - $ 5 0 0 0 . 0 0 0 . . . . . H 2 = M o r e t h a n $ 5 , 0 0 0 , 0 0 0 : ............ .....L = $ 5 0 : 0 0 1 - $ 1 0 0 1 0 00

S =As~ssment T ~mh MarketW = E s t l m a l ed


12/25

FINANCIAL DISCLOSURE REPORTP a g e 1 2 o f 2 5N a m e o f P e r s o n R e p o r t i n gM a r k , W o l f L .

D a t e o f R e p o r t07/01/2011

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 , .u . ~ a c t i o .s a n c i u d e s t h o s e of spouse and dependent children; see p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descript ion of Assets(including trust assets)

Place "(X)" after each assetexemp t from prior disclosure

B , C. D.Income du r ing G r o s s ~ a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r ti n g p e r i o d

re portin g p eriod ofre p0rtin g p eriod(1) (2) (1 ) (2) . (1) (2) (3) (4) ( 5 )

Amount T y p e ( e . g ., V a lu e Value . . . . . T y p e ( e . g : , D a t e V a lu e Gain Id en tity ofCode l d i v ~ , r e n t ~ Code 2 M e t h ~ buy, sell, . . . . . . . m m /d d d y y Code 2 C o d e 1 buyer/ se l le r(A-H) o r i r ~ t . ) (J-P) Code 3 f edempt ion) (J:P) ( A ~ H ) 0fprivate~Q.~ t r a f i s ~ c t t 6 n )

1 3 7 . Sha r e s M SC I G e r m a ny I nde x N o n e Sold 02/02/10 J1 38 . Shar e s R u s s e l l 2000 I n d e x N o ne Sold 02/02/10 J A1 3 9 . i Shar e s B a r c l a y s Sho r t T r e a su r y B o nd F un d A Dividend Sold 02/02/10 J(part)140. Sold 10/04/I0 i K141. SPDR International Govt Inflat ion-Protec t ed Bond I ndex Dividend Sold 06/02/10 J142. W is do m T r e e D r e y f u s E m e r g i ng C u~ e nc y N o n eFund Bu y 02/02/10 J(add l )1 4 3 . Sold 06/02/10 J(part)144. Sold 0 8 1 0 4 1 1 0 J A145. NASDAQ 100 Index A Dividend Sold 02/02/10 J

146. Bu y 06/02/10 J!147. Sold 10/04/10 J

148. DB Powershares Mu l t iSec to r Agr icul ture N o n e B u y 02/02/10 J1149. So ld 05/12/10 J

1 5 0 . D B P o w e r s ha r e s C o m m o d i t y I n d e x N o n e J T B u y 102/02/10 J1 5 1 . So ld 08/12/10 J(part)152. W i s d o m t re e E m e r g i n g M a r k e t s L o c al D e b t A D i v i d e n d J T B u y 08/09/10 J

F u n d1 5 3 . W i s d o m T r e e I n d i a E a r n i n g s A D i v i d e n d J T B u y 07/13/10 J

1: ln~0n~ Gai~ Cod es! A = $1.000 or less B = $ 1,~ )1 - $21500 C = $ 2 , 5 0 1 - $ 5 , ~ ) D =$5 .001 - $15 ,~ E = $ 1 5 , 0 0 1 - $ 5 0 , ~( S ~ C r I ~ n S 8 1 a n d D 4 ) F =$5 0.00 t - $100,0~ G ~$1 00 .@1 ~ $1 ;~0 ,~0 Hlv$1 ~ @i ~ $5~,~0 H2 yMore than $5.@0,~0 .... .......

2 . Va lu e C o d~ J =$15.~ or I~s K ~$15,~1 - $50~000 L =$50;00 i ~ $ i06~0(See C o lumns C I a nd D3 ) N = $ 2 5 0 . ~ 1 - $ 5 ~ . 0 ~ O =$500,001 ~ SL000 000 Pi ......~i;~0~1 2 $5;~000 p2 ~$5~00i~$25~000~0 ~p3 =$25.000.~ , . $50.0~.000 P4 =More thafi $~0:~0,0~ : :

3 . Va lu e Me th~ C o des Q =Appraisal R =Cosl (Real ~tate ~ly) .... S =As~ssment .... .... T = C ~ h M a r k e t :See C olu m n C 2) U = Book V alu e V = O l h ~ W ~ E ~ i m ~ t e d


13/25

FINANCIAL DISCLOSURE REPORTP a g e 1 3 o f 2 5


D a t e o f R e p o r t07/01/2011

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 u e , tr a n s a c t i o n s (Includes those of s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of fillng instructions.)~ ] NONE(No reportable income, assets, or transactions.)

1 5 4 . I sh a r e s M SC I H o ng K o ng I nde x N o n e155.1 5 6 . SPD R S& P E m e r g i ng M a r k e ts Sm a l l C a p A Dividend J T1 5 7 . I s ha r e s iBo x x H igh Y i e l d C o r p Bo nd A Dividend158.159 . PIMCO 15+ Year US TIPS Index ETF A DiVidend J T160 . PIMCO Enhanced Shor t Matur i ty S t rgy ETF A Dividend K T161.162.1 6 3 . SPD R S& P D iv i d e nd1 6 4 . V a ngua r d D iv i d e nd App r e c i a t i on1 6 5 .166.1 6 7 .

16 8 . Va n g u a rd R E I T I n d ex169.1 7 0 . Ba r c la y s Ba nk P l c i Pa th S& P 5 0 0 V ix

A DividendA Dividend

A Dividend

N o n e

JJ

T

T

B u y 02/02/10

Sold 06/02/10

B u y 10/04/10

B u y 02/02/10

So ld I0 /04/10

B u y 10/04/10

B u y 06/02/10B u y 10/04/10

( ad d l )B u y 11/18/10

( ad d l )B u y 10/04/10

B u y 02/02/10

B u y 03/17/10( ad d l )

B u y 06/02/10( ad d l )Sold 10/04/10(part)B u y 09/15/I0

B u y 10/04/10( ad d l )B u y 02/02/10

J

JJJJJJJ

J

JJ

JJJJJ

J

A

A

1. income Gain Cod~s: A:~li600 br [~SS B =$1;001 4 $2;500 C =$2;501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50;000( S e e C o l u m n s B t a n d D 4 } . . . .. . . .. . . .. F ~ $ ~ 0 1 0 0 i ~ $ 1 ~ ; 0 0 0 H --$1;000,00 r $5 0~ 000 H2 ~M ore lhan $5 00O 000 .................2 . V . ~ e C O d ~ j ~ $ i 5 , o o o o r l e s s ~ = S l S ~ 0 0 i ~ $ 5 0 ~ 0 0 0 . . . .(See Col ....C I a nd D3 ) N ~$250.001 ~ $500,000 ~ ~$500,001 : $1;0001000 PI ~$ i ~0 i001 -P 3 = $ 2 5 . 0 0 0 . 0 O t ; $ 5 0 1 0 0 0 1 0 0 0 : P4 =M0fe than $50,000~000

3. Value Method Codes Q ~ A p p f a i s a l : R:=C0s t (Rea l E s ta t e on ly ) s = A s s ~ s s m e n i(See C o hlmn C 2 ) U =Book Value V = O t h e r W =Est imated


14/25



D a t e o f R e p o r t07/01/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instruction&)~] N O N E ( N o reportable income, assets, or transactions.)

171. Sold 03/08/10 J172. Schwab Government Money Fund N o ne J T1 7 3 .174.175.176.177.1 7 8 . BRO K E RAG E AC C O UN T # 2179 . McDonalds Corp B Dividend K T180. Schwab Govt Money Fun d A Dividend J T181 . Ma. St . Sales Tax 5% 8/5 /17 A In terest Sold 10/19/10 K . B182.183.184.1 8 5 .1 8 6 . BR O K E R A G E A C C O U N T # 3187 . iShares Barc lays TIPS Bond Fund 5 .298% A Dividend K T

2. Value Codes J =$15~000 or less K = $ 1 5 ~ 0 0 1 ~ $ ~ 0 1 0 0 0(See Columns C1 and D3) N ~$230 001 : $5 00,000 O = $500,00i i $i i000;000 ~ i ~$ ii ~i ~! ; ~ $ ~ iP 0 01 00 0 : P 2 ~ $ ~ i0 00 10 0! i $~ 0 0~ 0 00

P 3 = $ 2 5 , 0 0 0 0 0 - $ 5 0 0 0 0 0 0 0 : : : ....3. Value Method Codes Q =Appraisal(See C o lumn C 2 ) U =Book Value V =Othe r : :


15/25


N a m e o f P e r s o n R e p o r ti n gM a r k , W o l f L .

D a t e o f R e p o r t07/01/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v u l u e , ~u,~ actions (Includes those of spouse a n d d ep en d en t ch i l d ren ; s ee p p . 34-60 of f!ling instructions.)D N O N E income, assets, or transactions.)N o reportable

188. iShares FTSEfXinhua China 25 Index1 8 9 . iSha r e s G SC I C o m m o d i t y T r u s t

A Dividend J T Sold 10/04/10 J(part)N o ne Sold 08/12/10 J

190. iShares iBoxx Inves tm ent Grade Corpora te A Divid e n d Sold 02/02/10 KB o n d F u n d1 9 1 . S P D R G o l d T m s t N o n e K T Bu y 05/12/10 J(add l )1 9 2 . V a ngu a r d Bo nd I nde x F und B Dividend K T Bu y 06/02/10 K(add l )193. Sold 08/04/10 J(part)1 9 4 . V a ngu a r d I n t e r na t io na l E q u i t y I nde x A D iv ide nd J T Sold 02/02/10 J( p a r t )1 9 5 . V a ngua r d T o t a l Sto c k M a r k e t I nde x A Dividend K T Sold 02/02/10 J(part)196. Sold 10/04/10 K(part)197 . iShares MSCI Japan Index N o n e Sold 02/02/10 J1 9 8 . C la y m o r e /BN Y M e l l o n BRI C I nde x N o ne Sold 10/04/10 J199 . iShares Barc lays 7 -10 Year Treasu ry Bond A Dividend Sold 11/18/10 K

AB

B

D

B

CB

200. iShares JPMorgan USD Em erging M arke tsB o n d F u n d A Dividend S o l d 02/02/10 J( p a r t )201. Sold 06/02/10 J2 0 2 . iSh a re s M SC I G e r m a ny I nde x N o ne J T Sold 02/02/10 J203. Bu y 12/08/10 J204 . iShares Ru ssel l 2000 Index A Dividend Sold 02/02/10 K A

1. Inc om e Gain Cod es : A = $ 1.000 or le ss~ Se e C olu m ns B1 an d D4 ) F = $5 0.0 01~ $1 00 .00 0

2. Value Codes J =$15.000 or less{See C o lumns C I a nd D3 ) N =$250,001 - $ 500,000

P3 =$25~000.001 - $50.000,0003, Value Method Codes Q =Appraisal(See C o lumn C 2 ) U =Book Value

B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15.000G =$ 10 0.0 01 - $ 1.0 00 .0 00 H 1 = $1 .0 00 ,0 01 - $5 .0 00 .0 00 H2 =M ore than $5.000,000K = $15.001 - $ 50.000 L = $50,001 - $ 100.000 M = $100.001 - $250.000O =$500.001 - $1,000.000 PI =$12000.001 - $5,000,000 P2 =$5,000,001 - $25.000,000

P4 =M ore than $50.000.000R =Cost (Real Estate Only) S = Asse s sme n t T =Cash MarketV =Othe r W =Est imated

E=$15.00 | -


16/25



D a t e o f R e p o r t07/01/2011

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 u e , t r a u s u c t io , ~ a n d u d e s t h o s e o l s p o u s e ~ n a dependent children; see p p . 3 4 - 6 0 o:fillng instructions.)D NONE(No repor tab le i ncome , a s se t s, o r t ransa c t ions . )

205.206.

207. SPDR International Govt Inflation-Protected Bond Index208.209. Wisdom Tree Dreyfus Emerging CurrencyF u n d210.

211.212 . NA S DA Q 100 I n d ex A213.214. F irs t Trus t BICK Inde x A215. DB Powershares Mul t iSec to r Agr icul ture216.2 1 7 . D B Po w e r sh a r e s C o m m o d i t y I nde x218.219. Wisd omt ree Emerging M arkets Local Debt AFund220 . W i s d omt r e e I n d i a E a rn i n g A221 . I s h ar e s M S CI Hong Kong Index

A Dividend

None

Dividend

DividendNone

None

DividendDividend

None

JJ

T

T

TT

Bu y 06/02/10 JSold 10/04/10 JSold 02/02/10 J(part)Sold 06/02/10 JBuy 02102/10 J(add l )Sold 06/02/10 K(part)Sold 10/04/10 JSold 06/02/10 J(part)Sold 10/04/10 JBu y 10/04/10 JBu y 02/02/10 JSold 05/12/10 JBu y 02/02/10 K

Sold 08/12/10 J(part)Bu y 08/09/10 JBu y 07/13/10 JBu y 02/02/10 J

A

AAA

1. In com e G ain Cod e s: A = $1,000 or less B = $ 1,001 - $ 2,500 C = $ 2.501 - $ 5 .000 D =$5.001 - $15,~00t Se e C olu m ns BI an d D 41 F =$ 50,001 -$ 100,000 G =$ 10 0.D 01 - $ 1.0 00 ,0 00 H 1 = $1 .0 00 .0 01 - $ 5.0 00 .0 00 H2 = More t han $5,000.000

2. Value Codes I = $ 15.000 or les s K = $ 15,001 - $ 50,000 L = $ 50,001 - $ 100.000 M =$100.001 - $250.000(Se e Columns C1 and D31 N =$250.001 - $ 500,000 O =$500,001 - $1.000.0O 0 PI =$1.000.001 - $5 .000,000 P2 = $5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000.000 P4 =M ore than $50.000.000R =Cost tReal Estate Only) S = Asse s sme n t T =Cash Market3. Value Method Codes Q =Appraisal(See Column C21 U =Book Value V =Othe r W = E s t i ma t e d

E =$1 5 . 0 0 1 - $50 . 0 0 0


17/25


N a m e o f P e r s o n R e p o r t i n gMark, WolfL.

Date of R e p o r t07/01/2011

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 o l , , e , ~ u n s a c t i o n s a n d u d e s t h o s e o f spouse and dependent children; see p p . 3 4 - 6 0 o f f i l i n g instructions.)[] NONE(N o repor tab le incom e, asse t s , or t ransac t ions .)

222.223 . S P DR S & P E m erg i n g Ma rke t s S ma l l Ca p A D i v i d e n d K224.225.226 . I shares MSCI Korea Ind ex N o ne227.228 . I shares iBoxx High Yield Corp B ond A Dividend229.2 3 0 . P IM C O 1 5 + Y e a r US T I PS I nde x E T F A Dividend23 1 . P I MCO E n h a n ced S h o r t Ma t u r i t y S t rg y E T I : A Dividend

K

JTT

232.23 3 . S P DR S & P D i v i d en d A Dividend K T234 . Vanguard Dividend Apprec i a t ion A Dividend K T235.236.237.238.

V a ngua r d RE I T A Dividend K T

So ld 06/02/10 JB u y 06/02/10 J

B u y 09/09/10 J(add l )B u y 10/04/10 J

(add l )B u y 02/02/10 J

Sold 06/02/10 J

B u y 02/02/10 J

Sold 10/04/10 JB u y 10/04/10 K

B u y 11/18/10 KSold 12/08/10 J(part)B u y 10/00/10 K

B u y 02/02/10 K

B u y 03/17/10 J(add l )B u y 10/04/10 J

( ad d l )B u y 09/15/10 J

B u y 10/04/10 K( ad d l )

A

1 . Inc ome Ga i n Code s : A = $ 1.000 or les s B = $ 1.001 - $ 2.500 C = $2.501 - $ 5 .000(See ~o lumns BI . a nd .D4) F =$ 50.001 .- $ 100.000 G = $100.001 - $ 1.000.000 H 1 =$ 1.000.001 - $5.000.0002. Value Codes J =$15.0~} or less K = $15.001 - $ 50.000 L = $ 50.001 - $ 100.000(See C o lumns C I a nd D3 ) N =$250.001 - $500.000 O = $5 00.00 1 - $ I.000.0 00 P I = $1 .000.00t - $5 .000.000

P3 = $25.000.001 - $ 50.000.000 P4 = M ore than $ 50.000.0003. Val ue Me t hod Code s Q =Appraisal R =Cost (Real Estate Only) S = Asse s sme n t(See C o lumn C 2 ) U =Book Value V = O t h er W = E s t i ma te d

D =$5.001 - $15.0~0H2 =More than $5,000.000M:=$t00.001 - $250.000P2 = $5.000,001 - $25.000.000T =Cash Market

E -~I5.D01 - $50.000


18/25



D a t e o f R e p o r t07/01/2011

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 ~ u e , tru.sactio.~ (Inclu des those of spouse and dependent children; see pp. 34-60 of filing instructions.)[] NONE (N o repor tab le i ncome , as se t s , o r t ransac t ions . )

2 3 9 . Ba r c la y s Ba nk P i e i Pa th S& P 5 0 0 V ix N o ne Bu y 02/02/10 J240. Sold 03 /08/10 J241 , Schwab Govt Money Fund242.

A Dividend

243.244.

245.

246.

2 4 7 . B R O K E R A G E A C C O U N T # 4248 . iShar e s B ar c lays 1 -3 Ye ar T r e as u r y B o n d A D i v i d e n d J T So ld 02/02/10 J(part)249. S old 06/02/10 J(part)250, Sold 06/11/10 J(part)251, So ld 07/19/10 J(part)252, S old 12/21/10 J(part)253 . iShar e s B ar c lays T I P S B o n d Fu n d 5 .29 8% A D iv id e n d J T S old 06/11/10 J A

(part)254 . So ld 07/19/10 J A

(part)255, B u y 10/04/10 J( ad d l )

n ~ o m e G a i h C ~ 6 ~ : A - - $ L 0 0 0 O r l e s s B =$ 1 ,0 0 1 $ 2 ;5 0 0 C ~ $ 2 i5 0 1 ~ $ 5 ,0 ~ 0 D = $ 5 , 0 0 1 - $ | 5 , 0 ~ 0 E = $ 1 5 , 0 0 | - $ 5 0 , 0 0 0( S e e c 0 i ~ i f if i S B i a n d D 4 ) F ~$50.001 - $1 00 0~ . . . . G ~ $ 1 0 0 ~ 0 0 i ~ S L Y 0 0 0 0 H i ~ $ [ ~ 0 ; ~ 1 - $5 ; ~ ; 000 H 2 = M 0 r e t h a n $ 5 . ~ 0 , ~ . . . .. . . .. . . .. . . .. . . .. . . .. .( s e e c o u m n s c 1 a n d D 3 ) N =$250,001 - $5~ ~00 ~66 60i ~ $i ~0~000 ........ Pi ~ i ~ 0 , ~ l ~ $5~ 066~ b~ P2 = $5,000,00i:~ $~5:000;006 ::: :

P 3 = $ 2 5 . ~ 0 . 0 0 1 - $ 5 0 . 0 0 0 , 0 0 0 ~ M~ ihaa $50~ 0 :0603 . V a l u e M e t h o d C ~ e s Q = A p p r a i s al R ~ 0 S t ( R e a l ~ t a te O n l y ) S = A s S e s s m e nt T ~h Marke t( s e e C o l u m n c 2 ) u = B o o k V a lu e V = O th ~ W = E ~ i m a t~ d :


19/25


N a m e o f P e r s o n R e p o r t i n gMark, Wolf.L

D a t e o f R e p o r t07/01/2011

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 e o ,~ e , v a l u e , ~ o n s a c t i o ,~ a n c l u d e s t h o s e o f s p o u s e and dependent children; see p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )D NONE (No reportable income, assets , or transact ions . )

256. So ld 12/21/10 J A(part)257. iShares FTSE/Xinhua China 25 Index A Dividend J T S o l d 0 6 / 0 2 / 1 0 J A( p a r t )258. So ld 10/04/10 J A

(part)2 5 9 . S P D R G o l d T r u s t N o n e J T B u y 05/12/10 J( ad d l )260. So ld 06/02/10 J A( p a r t )261. So ld 07/19/10 J A( p a r t )262. So ld 12/21/10 J A

(part)2 6 3 . V a n g u a r d B o n d I n d e x F u n d A D i v i d e n d J T B u y 06/02/10 J( ad d l )264. So ld 06/11/10 J A

(part)265. So ld 07/19/10 J A(part)266 . Van g u ar d To ta l S to c k Mar k e t In d e x A D i v i d e n d Sold 02/02/10 J A(part)267. So ld 06/02/10 J A

2 6 8 . i S h a re s M S C I J a p a n I n d e x N o n e So ld 02/02/10 J A

269 . iShare s B ar c l ays 7 -1 0 Ye ar T r e as u r y B o n d A D i v i d e n d So ld 10/04/10 J A(part)270. Sold 11/18/10 J A

2 7 1 . i S ha r e s J P M o r g a n U S D E m e r g i n g M a r k e t s A D i v i d e n d So ld 02/02/10 JB o n d F u n d (part)272. So ld 06/02/10 J

(See:C01umns Bi and O~ j : ~=$50,001 :$ 00,000 G - - $ t o o 0 0 1 = $ 1 , 0 0 0 . 0 0 0 H I- -S1 0O O 00 t ~$ 5 000 ,000 : : : H 2 - -M o re than $ 5 ,000 ,000 . . . .. . .. . .. . .. .2 . V a l u e C o d e s J = $ 1 5 , 0 0 0 o r l e s s K = $ ! 5 ~ 0 0 1 ; $ 5 0 . 0 0 0 L =$50i00i!~166;~6~i66~i;

( S ~ C ..... C I a n d 0 3 ) N ~ $ 2 5 0 ~ 0 0 1 ; $ 5 0 0 . 0 0 0 O - - $ 5 0 0 0 0 1 : L $ i 0 0 0 . 0 0 0 P 1 = $ 1 ~ ; 0 0 i i $ 3 6 6 6 i ~P3 = $ 25 ,000;00 - $ 5 0~000i000 P4=M~r~ihaa$50oo0oO0 ::? : : :3 . V a l u e M e t h o d C o d e s Q ~ A p p r a i s ai : . R =Cost (Real Estate only) s = A S s e s ~ m e f it : : :i :: :( S e e C o l . . .. C 2 ) U = B ~ k V a lu e V = O th e r W - - E ~ i ~ a t ~ d :: : : : ....


20/25

FINANCIAL DISCLOSURE REPOR TP a g e 2 0 o f 2 5


Date of Report07/01/2011

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 , ~ c , v a l ~ e , ~ r a n $ ~ a i o n s a n t i , d e s t h o s e of spo use and dependent children; see p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )D NONE(No reportable income, assets, or transactions.)

27 3 . i Sh a re s M S CI G erma n y I n d ex N o ne Sold 02/02/10 J27 4 . R u s s e l l 2000 I n d ex N o ne Sold 02/02/10 J275. SPDR Inte rna t ional Gov t I nf l a tion- A Dividend Sold 06/02/10Pro tec ted Bond Index27 6 . W i s d omT ree Drey fu s E me rg i n g Cu r r en cy N o ne Bu y 02/02/10Fund (add l )277. Sold 06/02/10(part)278. Sold 08/04/10

27 9 . NA S DA Q 100 I n d ex A Dividend280.281.

J

J

J

J

Sold 02102/10 JBu y 0 6 1 0 2 / 1 0 JSo ld 10/04/10 J

28 2 . DB A g r i cu l t u r e I n d ex N o ne Bu y 02/02/10 J283. Sold 05/12/10 J28 4 . DB Com m od i t y In d ex N o ne J T Bu y 02/02/10 J285. Sold 07 /19 /10(part)286. Sold 08/12/10( p a r t )287. Sold 12/21/10(part)288. W is do m t r e e E m e r g i ng M a r k e t L o c a l A Dividend J T Bu y 08/09/10So v e re i gn D e b t28 9 . W i s d omT ree I n d i a E a rn i n g s A Dividend J T Bu y 07/13/10

JJJ

JJ

A

A

A

A

2. V alu e Codes J :$15;000 or le ss i K=SI5,00 i( S e e C o u m n s C a n d D 3 ) N=$250001 : $500000 : 6 ~ $ 5 0 0 0 0 i i ~ i ~ 6 ~P3 =$25,000.001- $50 000 0003. Val ue Me t hod Code s Q =Appraisal R -~;ost (REal ~t~i~ Odiy)T ~ash ~ket(See Column c2) u =BoOk value V =Othe r : ~--Esti~at~d .....


21/25


N a m e o f P e r s o n R e p o r t i n gM ark , Wolf L .

D a t e o f R e p o r t07/01/2011

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 o m e , v u ~ u e , t ra n s a c t i o n s a n c l u d e s t h o s e o l s p o u s e a n d dependen t ch i l d ren; see p p . 3 4 - 6 0 o f f i l i n g instructions.)D NONE(No repor tab le i ncom e , as se t s , o r t ransac t ions .)

290.29 1 . Is h a re s M S CI Hon g K on g I n d ex N o ne292.29 3 . S P DR S & P E m erg i n g Ma rke t s S ma l l Ca p A Dividend J T294 . I sha res iBoxx High Y ield Corp Bond A Dividend295.2 9 6 . P I M C O 1 5 + Y e a r US T I PS I nde x E T F A Dividend J T297 . PIMCO Enhanced Shor t Matur i ty Strgy ETF A Dividend J T298.299 .300.301.3 02 . S P DR S & P D i v i d en d303. Vanguard Dividend Apprec i a t ion304.

305.

306.

A DividendA Dividend

J

JTT

Sold 10/04/10 J( p a r t )Buy 02/02/10 J

Sold 06/02/I0 J

Bu y 1 0 / 0 4 / 1 0 J

Bu y 02/02/10 JSold 1 0 / 0 4 / 1 0 J

Bu y 10/04 /10~ JBu y 06/02/10 JSold 07/19/10 J( p a r t )Bu y 10/04 /10 J( a d d l )Bu y 11/18/101 j

(addl)Sold 1 2 / 2 1 / 1 0 J(part)Bu y 10/04/l 0 JBuy 02/02/10 J

Buy 0 3 / 1 7 / 1 0 ! J(addl)Bu y 06/02/10 J

(addl)Sold 07/19/10 J(part)

I. Income Gain Codes: A = $ 1.000 or les s B = $ 1,001 - $ 2.500 C =$2.501 - $5.000(See C o lumns BI a nd D4) F =$50.001 - $100.000 O =$100,001 - $1.000.000 H 1 - - $ 1 . 0 0 O . 0 0 1 - $ 5 . 0 0 0 , 0 0 0

2. Value Codes J =$15.000 or less K = $15.001 - $ 50.000 L = $50,001 - $ 100,000(See Columns C1 and D3) N =$250.001 - $500.000 O =$5 00.001 - $1.000.000 PI =$1.000.001 - $ 5.000.000

P3 --$25.000.001 - $50.000.000 P4 =More than $5 0.000.0003, Val ue Me t hod Code s Q =Appraisal R =Cost (Real Estate Only) S = Asse s sme n t(See C olu m n C 2) U = Book V alu e V =Othe r W = E s t i ma te d

D =$5.001 - $15.000H2 =M ore than $5.000.000M = $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


22/25

FINANCIAL DISCLOSURE REPOR TPage 22 of 25


D a t e o f R e p o r t07/01/2011

V I I. I N V E S T M E N T S a n d TR U S T S - i n c o m e , v u l u e , ~ r o n s u c t l o n s (Includes those o f s p o u s e a n d dependent ch i ldren; see p p . 3 4 - 6 0 of filing instructions.)D NONE(N o reportable income, assets, or transactions.)

307 . Sold 10/04/10 J(part)

3 0 8 . V a n g u a r d R E I T I n d e x A D i v i d e n d J T B u y 09/15/10 J

309. Bu y 10/04/10 J(add l )

310. Barclay s Bank P lc iPa th S&P 500 V ix N o ne Bu y 02/02/10 J31 I. Sold 03/08/10 J

A

3 1 2 . Sc h wa b G o v t M o ne y F und N o ne J313 .

314.315.

316.317 .318. C H A R L E S S CH W A B M O N E Y M A R K E T AACCOUNT Interes t J T319 . F ide l i ty USA (MM) A Dividend K T320 . B an k o f Am e r i c a ( s av in g s ) A Interes t K T3 21 . B a n k o f A mer i ca ( ch eck i n g ) A Interes t K T322. LILO, LLC (L imi ted L iab i l i ty Corpora t ion) E Dividend M W323. Ci t i zens .Bank ( savings & checking ) A Interes t K T

2. Value Codes J =-$15~000 0~ less .......... K =$15 001, $50,000(Se e C01umns C1 and D3) N ~ $ 2 ~ p ~ 0 0 i ~ $ 5 0 0 ; 0 0 0 O ~$5 00;001- $1,000.000

P 3 - - $ 2 5 ~ 0 0 0 i 0 0 1 ~ $ 5 0 ~ 0 0 0 , 0 0 03. Val ue Me t hod Code s Q ZA~i~ai .... R =Cost (Real Estate Only)(See C o lumn C 2 ) U ~Book Value .... V = O t h er

C =$2 , 50 1 - $5 . 0 0 0 D =$5 . 0 0 1 - $1 5 , 0 0 0 E - -$1 5 , 0 0 1 - $50 . 0 0 0H 1 =$1.000,001 - $5,009,000 H2 =More than $5 ,000,000L = $ 5 O O O - st 0 o o o oP I =$1 , 0 0 0 . 0 0 1 - $5 . 0 0 0 , 0 0 0 P 2 = $ 5 , 0 0 0 ; 0 01~ , =More t~a. ~5o.000.000S =Asse ssmea t T =C a sh M a r k e tW =Es t ima t ed


23/25


N a m e o f P e r s o n R e p o r t in gMark, Wolfe

D a t e o f R e p o r t07/01/2011

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 , volue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)[] NONE (No reportable income, assets, or transactions.)

324. Sovereign B ank (savin gs)325.326.327.

I n t e r e s t Bu y 06/15/10

1. i n c o m e G a i n C o d e s :(See Columns B1 and2. Value Codes(See C o lumns C I a nd D3 )

3.Val ue Me t hod Code s(See Column C2)

A =$1.000 or lessF =$50,001 ~ $100,000J =$15.000 or lessN =$250.001 - $500,0~0P3 =$25,000.001 - $50,000.000

Q = A p p r a i s a lU =Book Value

B =$1.001 -$2.500O=$100.001-$1,000.000K =$15.001 - $ 50.000O =$500~01 -$1 .000~00R=Cost(Real Esta te Only)V =Oth~

C = $ 2.501 - $5 .000 D = $5.001 - $15.000 E =$15.001 - $50.000H 1 =$1,000,001- $5,000.000 H 2 = M 0 r e t h a n 5 5 . 0 0 0 .0 0 0L =$50.001 - $100,000 M ~$100.001 - $ 2 5 0 . 0 0 0PI =$ I,000,00t - $ 5,000,000 P2:=$5.000.001 - $25,000.000P4 =More than $50.000.000S = Asse s sme n t T = :C a sh M a r k e tW =Estimated


24/25


N a m e o f P e r s o n Report ingM a r k , W o l f L ,


V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. (Indicate part of repor~)I n 2 0 1 0 m o s t o f t h e a s s e ts o w n e d ~ w e r e m a n a g e d b y W i n d w a r d I n v e s t m e n t s , w h ic h r e c e n t l y c h a n g e d i t s n a m e t o W i n d h a v e n I n v e s t m e n t s( "Wind haven") . Windhaven prov ided the info rmat ion in th i s Repor t concern ing the as se t s i t manag ed. That info rmat ion i s , to the bes t o f my knowledge , co rrec t .~ I i nv e s t i n w ha t W i ndha v e n c a l l s " F und s , " t h r o ugh w h i c h i d e n t i c a l i nv e s t m e n t s a r e m a de s i m u l t an e o u s l y f o r m a n y i nv e s t o r s . The se a r e no t m u t ua lfunds . Rather var ious index shares are bought and so ld fo r ind iv idual accoun ts and var ious t imes . Therefore , there are many t ransac t ions descr ibed in th i s Re por twhich would no t be required to be repor ted i f we were inves ted in m utual funds which eng aged in s im i l ar t ransac t ions .I n p r e p a r i n g t h i s 20 1 0 R e p o r t , W i n d h a v e n , a n d t h e n I , r e a l iz e d t h a t Sc h w a b G o v e r n m e n t M o n e y F u n d A c c o u n t s o p e n e d ~ i n 2 0 0 9 w e r einadver ten t l y om i t ted f rom m y 2009 Rep or t . They are inc luded on l ines 117 , 172 , 180, 241 , and 312 of th i s 2010 Repor t . I n addi t ion, McDon alds s tock wasm is taken ly l i s t ed twice on m y 2009 Repor t , on l ine s 9 and 189 . I t i s i n th is 2010 Repor t once on l ine 17 9 . I n my 2009 Repor t , the Vanguard Tota l S tock Marke tr epor ted on l ine 113 of th i s 2010 Repor t was r epor ted a s " sold , " bu t i t appea r s tha t i t shou ld have been r epor ted a s " pa r t sold . "I have not listed in Part VII the asset in my~ Trust reported in part I because I have no beneficial interest in it and do not now controlthe purchase, sale , or other dispos it ion of the asset .


25/25

FINANCIAL DISCLOSURE REPORTP a g e 2 5 o f 2 5

Nam e of Pe rson Repor tingM a r k , W o l f L .


IX . CERTIFICATION.I c e r t i fy t h a t a ll i n fo rm a t ion g i v en a b ove ( i n c l u d i n g i n fo rma t i on p e r t a i n i n g t o m y s p ou s e a n d m i n o r o r d ep en d en t c h i ld r en , i f a n y ) i sa c cu ra t e , t ru e , a n d com p l e t e t o t h e b e s t o f m y kn owl ed g e a n d b e l i e f , a n d t h a t a n y i n fo rma t i on n o t r ep o r t ed wa s w i t h h e l d b eca u s e i t m e t a p p l i ca b l e s t at u t o ryp rov i s ion s p e rm i t t i n g n on - d i s c l o s u re .I f u r th e r c e r t i fy t h a t e a rn ed i n com e f rom ou t s i d e e m p l oy m en t a n d h on o ra r i a a n d t h e a c cep t a n c e o f g i f ts wh i ch h ave b een r ep o r t ed a r e incom pl i ance wi th the p rovi s ions of 5 U.S.C. app . 501 e t . seq . , 5 U.S.C. 7353 , and Jud i c i a l Conferen ce reg u la t ions .

Signatu re: S/Woff L. M ark

N O T E : A N Y I N D IV I D U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S IF 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 I V ILAND CR IMINAL SANCT IONS (5 U.S.C. app. 104)

Committee on Financial DisclosureA d m i n i s t ra t i ve O f fi c e o f t h e U n i t e d S t a t e s C o u r t sSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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Mark L Wolf Financial Disclosure Report for 2010