Stephen G Breyer Financial Disclosure Report for 2010

8/3/2019 Stephen G Breyer Financial Disclosure Report for 2010

1/12

Rev. 1/2011 FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010Report Required by the Ethicsin Governme nt Act of 1978(5 U.S.C. app. I01-111)

1 . Person Re por t ing ( las t name, f i r s t , middle in i t ia l )B R E YE R , S T E PHE N G.

4. Title (Article Ill judges indicate active or senior status;-magisl~ate judges indicate full- or part-time)ASSOC. JUST ICE SUPRE ME COURT

7 . C ha m be r s o r O f f i c e Ad d r e s sSUPRE ME COU RT OF UN IT E D ST AT ES1 FIRST STR EET, N.E.WA SH IN G TON , D. C. 2 0 5 43

2. Cour t or OrganizationU. S. SUPRE ME COU RT

Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final

3. Date of Report05/15/2011

6. Repor ting Per iod01/ 0112010to

12/31/20105 b . [] A m e n d e d R e p o r t8. On the bas is of the informat ion conta ined in th is Repor t and anymodif ica t ions per ta in ing there to , i t i s , tn m y opinion, In compl iancewith app l icable laws and regula t ions.

Reviewing Office r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all paas,checking the NONE box for each par~ where you have no reportable information. Sign on last page.

I. P O S I T I O N S . ( R e ~ n n g in d i v i d u a l otlly; see pp. 9 - 1 3 off cling instructions.)~-~ (N o rep o r tab l eONE posi t ions. )

POSITION1 . T RUST E E (H ON ORARY )2.3.

4.

N A M E O F O R G A N I Z A T I O N / EN T I TYD A N A - F A R B E R C A N C E R I N S T I T U T E

I I. A G R E E M E N T S . CRer,, .~ng ~nd~ ,~",~ o n e ;~~ NONE (No reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 12

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

D a t e o f R e p o r t05/15/2011

H I . N O N - I N V E S T M E N T I N C O M E . : R e p o , ~ n # individual and spouse; see pp. 17-24 o f : l i n g i n s t r u c t i o n s . )A. Fi lers Non-lnvestment Incom e~ ] NONE non-investment income.)N o reportable

DATE SOURCE AND TYPE I N C O M E .( y o u r s , n o t s p o u s e s )1.2010 RAN DOM H OUSE , IN C. ; ROY ALT Y IN COME $59,61 t .602. 2010 T H E ADMIN IST RAT ORS OF T ULAN E E DUCAT ION AL F UN D; $18,405.00TEACHING3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If you were married during any portion of the reporting year, complete this sec t ion.(Dol lar amoun t n o t required exce pt for hon orar ia . )D NONE non-investment income.)N o reportable1.20102.20103.4.

D A T E S O U R C E A N D T Y P EP S Y C H O L O G Y P R A C T I C EDAN A-F ARBE R CAN CE R IN ST IT UT E -SALARY

I V . R E I M B U R S E M E N T S - tr ~ sp o rt a n on , loaging,:ooa, entertainm ent.( I n c l u d e s t h o s e to s p o u s e a n d d e p e n d e n t c h il d r e n : s e e p p . 2 5 - 2 7 o f fi l i n g i n s t r u c t io n s . )

~] (No reportableONE reimbursements.)SOURCE DATES LOCATION

M AR IE-A NNE FR ISO N JA NU AR Y 2 2-25 , P A R I S , F R A N C ER OC HE CO NSE1L , P AR IS 20 10

2. SO UTHER N M ETHO DIST JA NU A RY 31 - P A R I S , F R A N C EUN IVE RSIT Y (DE AN F E R U A R Y 6 , 2 0 1 0AT IAN ASIO)

PURPOSE ITEMS PAID OR PROVIDED

3. S O U T H E R N M E T H O D I S T F E R U A R Y 6 - 1 0 , L U X E M B O U R GUN IVE RSIT Y (DE AN 2010ATTANAS IO )

P ARTICIP ANTIN CON SE ILE C O N O M I Q U E S O C I A L EE T E N VIRON ME N T ALE VE N T

A I R F A R E & M E A L S

P A RT I C I P A N T I NV A R I O U S P A R I SE V E NT S

A I R F A R E

P ARTICIP ANT IN A I R F A R E , L O D G I N G & M E A L SE U R O P E A N C O U R T O FJUSTICE


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FINANCIAL DISCLOSURE RE.PORTPage 3 o f 12


D a t e o f R e p o r t0 5 / 1 5 / 2 0 1 1

4. Y A L E L A W SC H O O L F EB R U A R Y 1 5 -1 6 , H A R TF O R D , C T L E C T U R E L O D G I N G & M E A L S2 0 1 0

5. D U K E U N I V E R S I T Y A P R I L 1 3 - 1 4 , 2 0 1 0 R A L E I G H -D U R H A M , N C L E C T U R E A I R F A R E , L O D G I N G & M E A L S( D E A N L E V I )6. O X F O R D U N I V E R S IT Y A P R I L 1 6 - 1 7 , 2 0 1 0 NE W YO R K C IT Y, NY P A N E L M E M B E R F O R A I R F A R E , L O D G I N G & M E A L SO X F O R D R E U N I O NW E E K E N D7. N E W Y O R K H I ST O R I C A L A P R I L 2 1 , 20 1 0 NE W YO R K C IT Y, NY L E C T U R E , A IR F A R E & M E A LS O C I E T Y8. O X F O R D U N I V E R S IT Y JUN E 2 1 - 2 3 , 2 0 1 0 C A M B R I D G E , U K R E C IPIE NT O F A N A I R F A R E . L O D G I N G , L O C A LH O N O R A R Y D E G R EE T R A N S P O R T A T I O N & M E A L S9. P A R I S B A R A S S O C I A T IO N JUN E 2 5 - 2 6 , 2 0 1 0 P A R I S , F R A N C E P A RT I C I P A N T I N T R A N S P O R T A T I O N , L O D G I N G &B IC ENTEN N IA L M E A L S

1 0 . C E R C L E D E S JUL Y 2 - 4 , 2 0 1 0 M A R S I EL L E , F R A N C E P A N E L M E M B E R L O D G I N G , M E A L S , & H A L F O FE C O N O M 1 S T E S A I R F A R E1 1 . T U L A N E S U M M E R JUL Y 6 - 1 6 , 2 0 1 0 C A M B R I D G E , U K T E A C H I N G TW O W E E K L O D G I N G , C A R R E N T A L & H A L F O F

P R O G R A M C L A S S A T T R I N I T Y A I R F A R EC O L L E G E1 2 . S U N V A L L E Y W R I T E R S A U GU ST 1 9 -2 3 , KETC HU M , ID A H O P A RT I C I P A N T I N A I R F A R E , L O D G I N G & M E A L SC O N F E R E N C E 2 0 1 0 S E V ER A L R E A D I N G SA N D B O O K E V E N T S1 3 . A L F R E D K N O P F S E PT E M B E R 1 3 , N E W Y O R K C I T Y B O O K E V E N T - T R A I N F A R E T O N E W Y O R K C I T Y ,P U B L I S H I N G 2 0 1 0 V A R I O U S I N TE R V I E W S A I R F A R E T O D I E

1 4 . A L F R E D K N O P F S E PT E M B E R 1 4 -1 5 , L O S A N G E L E S , C A B O O K E V E N T - A I R F A R EP U B L I S H I N G 2 0 1 0 V A R I O U S I N TE R V I E W S1 5 . A L F R E D K N O P F S E PT E M B E R 1 6 , S A N F R A N C I S C O , C A BOOK E VE N T - C I T Y A I R F A R EP U B L I S H I N G 2 0 1 0 A R T S & L E C T U R E S1 6 . A L F R E D K N O P F SEP TEM BER 20 , NEW YO R K C ITY , NY B O O K E V E N T - N Y A I R F A R EP U B L I S H I N G 2010 P U B L I C L I B R A R Y

1 7 . A L F R E D K N O P F S E PT E M B E R 2 1 , S P R I N G F I E L D . M A B O O K E V E N T - T R A I N F A R EP U B L I S H I N G 2 0 1 0 S P R I N G F IE L D P U B L I CF O R U M1 8 . C A R D O Z O L A W S C H O O L O C T O B E R 1 7-1 8 , N E W Y O R K C I T Y , N Y P A N EL M EM B ER A IR F A R E , D IN N ER2 0 1 0 A T P A U L V E R K U ILC O N F E R E N C E1 9 . A L F R E D K N O P F O C T O B E R 1 8 , 2 0 1 0 P ITqSB U R G H , P A B O O K E V EN T - D R U E A I R F A R E

P U B L I S H I N G H E l N Z L E C T U R E20 . A L F R E D K N O P F O C T O B E R 1 9 , 2 0 1 0 P H IL A D EL P H IA , P A BO O K EV ENT - A I R F A R EP U B L I S H I N G C O NS T IT U T IO NC E N T E R2 1 . T E X A S T E C H N OV EM BER 12 -1 4, L UBB O CK, TX S P E A K I N G E V E N T P R I V A T E P L A N E , L O D G I N G &

U N I V E R S I T Y 2 0 1 0 W I T H . I US T I C E S C A L I A M E A L S

22 . V A ND ER B IL T N O V E M B ER 1 5 -1 6 , N A S H V I L L E , T N S PE AK IN G A T T HE L A W A 1 R FA R E, L O D GI NG & M EA L SU N I V E R S I T Y 2010 S C H O O L


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FINANCIAL DISCLOSURE REPO RTPage 4 of 12

Name of Person Repor tingB R E Y E R , S T E P H E N G .

Date of Report05/15/201 t

2 3 . T HE ST R A TE GI C F O R U M DE CE MBE R 1 3 -1 4, M IAM I, FL 2 0 1 0 L E A D E R S H I P A I R F A R E , L O D G I N G & M E A L S2010 A W A R D D I N NE R


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FI N A N C I A L D I SC L O S U R E R E PO R TPage 5 o f 12

N a m e o f P e r so n R e p o r t in gBREYER, STEPHEN G,

D a t e o f R e p o r t05/15/2011

V . G I F T S . ~ t u d e s ~os, ~ spouse and depende nt chi ldren; see pp. 2"8-31 of f i l ing instruct ions.)N O N E (No reportable gif ts.)

SOURCE D ESC R IPTION1 .2.

3.

4.

5.

VALUE

V l . L I A B I L I T I E S . ( t n a , , ~ s t h o se o f sp o u se a nd d c p gn d c nt c h i l d re n; se e p p . 3 2 .3 3 o f fd i ng i ns t ru c ti o ns . )[~] N O N E (No reportable liabilities.)

C R E D IT O R D E SC R IPTIO N1 .2.

3.

4.

5.

VALUECODE


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D a t ~ o f R ~ p o r t0 5 1 1 5 1 2 0 1 1

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 ~ , e , ~ , t ~ a , ~ . a i o , ~ a . a , . d ~ s t h o , ~ o y ~ , u ~ , ~ d dependent children; S* p p . 3 4 - 6 0 of filing i~structlor~s.)N O N E (No reportable income, assets, or transactions.)

Description of Assets(including trust resets)

Place "(X)" after each assetexempt from prior disclosure

B. C . D.Income dur ing Gross value at end Transactions during reporting period

reporting period o f r e p o r t i n g p e r i o d(I) (2) (1) (2) (l ) (2) (3) (4) (5 )

Amount T y p e ( e . g ., Valu~ Value T y p e ( e . g . , D a t e V , d u e Gain I d e n t i t y o fC o d e I d i v . , r e n t , C od e 2 M ethod buy, sell, m m /d d/y y C od e 2 C o d e 1 bayer /se l ler(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

I. INV E S T M E NT S - PA INE W E B B E R :

2. G E N Z YM E C P R - RE S T RI C T E D

3. S M I T H B A R N E Y C I T IG R O U P I R AA C C O U N T :

4, C I T I BA N K N A B A N K D E P O S I TP R O G R A M

5. U . S . TR E A S U R Y NO T E 8 /1 5 / 1 3

I. U. S . TRE A S U RY N O T E 8 / 1 5 11 07. U. S , T RE A S URY N OT E 2 1 1 5 1 1 l

8. I R A A C C O U N T :

9. D W S (F K A S C U D D E R ) C O R E P L U SI N C O M E F U N D~ I 0 . D W S (F K A S C U D D E R ) L A R G EC A P I T A L V A L U E F U N D

1 I. O T H E R H O L D I N G S :~2. D W S (F K A S C U D D E R ) C O R E P L U SI N C O M E F U N D - I R A

1 3 . B A N K O F A M E R I C A - C H E C K IN G

1 4 . T I A A / C R E F

1 5 . T R U S T :

1 6 . TAI SHAN FUND (FKA C HrNAP A RT N E RS , L . P . )

17 . C L A F L I N C A P I T A L , V I

AB

AB

AB

AA

E

EA

I n t e r e s t

I n t e r e s t

I n t e r e s t

I n t e r e s t

I n t e r e s t

Di vi de ndDi vi de nd

Dividend

I n t e r e s t

I n t e r e s t

In t JDi v.D i s t r i b u t i o n

M

K

K

L

K

,K

PI

M

W

TT

Ma t ure dT

TT

T

T

T

UR e d e e m e d

08115110 K A

10/31/ t0

1. In com e Gain Cvd ~ s: A = $1.000 o r less B =$1,001 - $ 2 . 5 0 0 C = $2. 501 - $5 , 000 D =$5.001 - $15.000( S e e C o l u m m ; B ] a l ~ d D 4 ) F =$50.001 $100.000 G = 51 09 .0 01 . $ 1.0 00 .0 0O H I = $ I .~ O.0 01 - $ 5,0 00 .0 00 H2 =More than $5.000,000

2. Value ~ J --,$15,000 o{ le~ K = $15,001 - $50,000 L =$50.001 - $100.000 M = $ 1 0 0 . 0 0 1 - $ 2 5 0 .1 3 0 0lSee C olu mns C I and D3 ) N =$250.001 - $500.0~ 0 O =$500,001 . $1.000.000 Pl =$1.000.00t - $5.(~J.000 P2 =$5.000.001. $25.000.000

P3 =$25,000.001 - $ 5 0 . 0 0 0 , 0 0 0 P4 =More than $50.000.0003. V a lue M ethod Co d es Q = A p pra isal R = C o s t ( Rea l E s l a te O n l y ) S =Assessmen~ T -~a sh M a rke l( S ee Co h ~m a C2) U =Book Valu e V =Olher W =Egtima{od

E - - $ 1 5 . 0 0 1 - $ 5 0 . 0 t 2 0


7/12

F I N A N C I A L D IS C L O S U R E R E P O R TPa ge 7 o f 1 2

N a m e o f P e r s o n R e p o r t in gB R E Y E R , S T E P H E N G .

Date of R e p o r t05/15/2011

VII. INVESTMENTS an d TR USTS - -N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i nc l ud i ng t rus t asse t s ) r e p o r t i n g p e r i o di (D (2)

Place "(X)" after each asset ! A m o u n t Type (e.g,,e x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 div . , r e nt ,( A - H ) orim.)

G r o s s v a l u e a t e n do f r e p o s i n g p e r i o d(I) (2)

V a l u e V a l u eC o d e 2 M e l h o d

(J -P ) C o d e 3( Q - W )

T y p e ( e . g . ,b u y , s e l l ,

r e t ~ e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4) (5 )D a t e Va l ue Gain Identhy of

m m /dd /yy C ode 2 C o d e I buy er/se lle r( J - P ) (A-H) ( i f p r i v a t e

t r a n s a c t i o n )

1 8 . W INDSOR FUND

1 9 . AUTOMATIC D A T A PRO CE SSIN G IN CCOMMON STOCK

20 . SIGMA ALDRICH CORP, COMMONS T O C K21 . C I N T A S C O R P . C O M M O N S T O C K22 . SYSCO CORP. COMMON STOCK

23. VANGUARD S&P 500 INDEX FUND24. NOVARTIS AG SPONSORED ADR

25 . A P P L I E D A N A L Y S I S I N C - C O M M O NS T O C K

26 . A P P L I E D A N A L Y S I S I N C - P R E F E R R E DS T O C K2 7. IS HA RE S M SC I PAC E X -JAPAN INDEX28. ISHARES MSC1 EMERGING MARKETSIDX FD2 9 . ISH ARES MSCI E AFE INDEX F D

30 . U,S, TREASURY BILL- 8/15/1331. U.S. TREASURY BILL- 3 / 1 5 1 1 032. VANGUAILD DIVIDEND GROW THFUND -IV33 . V A N G U A R D M I D - C A P INDEX FUND-A34 . D O D G E & COX INTERNATIONALSTOCK FUND

A Dividend J T

AB

CC

B

AA

B

B

B

A

Dividend L i TDividend

Dividend

Dividend

Dividend

None

NoneDividend

Dividend

Dividend

I n t e r e s t

I n t e r e s t

Dividend

DividendDividend

J UK TK T

K TK T

L I T

03/15/101

| . Inc or m Gain C odes : A --$1.0O0 or less B = $ 1 ,001 - $2 ,500 C ~$2, 501 - 55. 000 D =$5.001 - $15.000( See C olu mns BI and I ) 4 ) F --$50.001 - $100,000 G =$100,001 - $1.000.O00 HI =$1.000.001 - $ 5 , 0 O 0 , 0 0 ~ H2 =More than $5,000,000

2. Value Code,~ J = $15.000 o r le ss K = $15.001 - $50,000 L =$50.00| - $1O0.000 M = $10~ , 001 - $250. 000( Se e C olu mn s C I a nd D3 ) N =$ 25 0,0 01 - $ 5O 0,1 ~0 O = $ 5 0 0 . O 0 1 - $ 1 . 0 O 0 . 0 0 0 P I = $ 1 , O 0 0 . O 0 1 - $ 5 , 0 O 0 , 0 O 0 P 2 = $ 5 , ( 3 0 0 . 0 0 1 - $ 2 5 . 0 O 0 . O 0 0

P3 =$25,000.001 - $50,000,000 P4 =More t~an $50,000.0003 , Valu e Mef lmd C odes Q = A p p r a i ~ l R = C . . o s l (R e a l E . ~ t a ~ e O ~ t y ) S = A ~ e ~ m e n t T ---Cash Market( S cc Co l um n C2) U =B~ ok Valu e V = O lher W = [~ tlm a~ ed

E =$15.001 - $50,000


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FI N A N C I A L D I SC L O S U R E R E PO R TPage 8 o f 12

Name of Person R e p o r t i n gB R E Y E R , S T E P H E N G .

Date o f Report05/15/2011

V H . I N V E S T M E N T S a n d T R U S T S - i .c o = e , v ~ . e , ~acao,s (Includes those of spous, and dependent children; see pp. 34-60 offfling instructions.)N O N E (No reportable incom e, assets , or transactions.)

D e s c r i p t io n o f A s s e ts 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 d

[ (1) (2)Place "(X)" after each asset 1 A m o u n t Type (e.g.,e x e m p t f r o m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t ,: (A-H) o r i n L )

G r o ~ s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)Value ValueC o d e 2 M e th o d

( J - P ) C o d e 3T y p e ( e . g . ,b u y , s e l l,

r e d e m p t i o n )

DoT r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d

(2) (3) (4) (5 )D a t e Va l ue Gain Identity of

m m / d d / y y C o d e 2 C o d e 1 buyer/seller( . l - P ) ( A - I I ) ( i f p r i v a t e

t r a n s a c t i o n )

3 5. R O Y C E L O W -P R IC E D ST O CK SE R V IC EF UN D3 6 . O A K ,M A R K IN TE R NA T IO N A L F U ND - I

37 . F E D E R A T E D U S T R E A S U R Y C A S H R S V IF D - 138 . U.S. TREASURY BILL- 5/31/1039 . I NTERSENSE I NC. CL ASS CP R E F E R R E D S E R I ES C - 140 . I NTERSENSE I NC. CL ASS AP R E F E R R E D S E R I E S A - 241 . I NTERSENSE I NC. CL ASS BP R E F E R R E D S E R I E S B- !42 , U.S. TREASU RY BI L L - 6 /2 /1143 , OTHER ASSETS:44 . WAL-MART ST ORE S IN C. COMMONST OCK4 5. T IA A /C R EF R E T IR EM E NT A C C O U NT4 6 . S K- N- A N A TI O NA L BA N K S A V IN GS47 .

A C C TP E A R S O N O R D . S T O C K

48 . R E N T A L P R O P E R T Y - N E V I S W E S TINDIES49 . T O T A L F I N A S A S P O N S O R E D A D R

50 . N OK 1 A CORP. ADS51 . L A N D I N C O N C O R D , M A

D i v i d e n dDiv idend

D i v i d e n dInterestNoneNoneNone

Interest

D i v i d e n dDiv idend

InterestD i v i d e n d

Re n tD i v i d e n d

D i v i d e n dN one

L ! TL T

.K T

J T

J TL T

K TJ TO TM WK T

K TL W

M atur ed

Bu y

S o l d

Sold(par t)

l05/31!10

0 6 1 1 4 1 1 0

01/04 /10

0 6 1 0 8 1 1 0

J A

K C

J

[ D

1. Income (3ain Codes: A =$1.000 or lasx B =$1,001 - $2.500 C =$2..501 - $5.000 D =$5.001 - $15.000

2 . V a l t I ~ C ~ : l c s J =$15,000 or less K =$15.001 - $50,0P~ L--$50.00t - $100.000 M = $100. 001 - $250. 000( See C olu ml~ s C I and D3 ) N =$250.001 -

P 3 = $ 2 5 . 0 0 ( I .1 ~ ) 1 - $ 5 0 . 0 0 0 . 0 0 0 P4 =M~e than $50.000,0~03 . Valu e Method C odes Q =Appraisal R =Cos! (Rcal F.&tal On y} S = A . sscm m en t T ---Cash Market( See C olu mn C 2 ) U =Book Valu e V = O t h e r W = E sl im a t cd

E =$15.0~1 - $50.000


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FINANCIAL DISCLOSURE REPOR TPage 9 o f 12

N a m e o f P e rs o n R ~ p o r t i n gBREYER, STEPHEN G.

D a t e o f R e p o r i05t15/201 !

5Z53 .

54 .

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

Desc r ip t ion of As~ ts(including trust assets)

Place "(X)" after each assetexempt from prior disclosure

B. C . D,In co m e d urin g Gross value at end Transactions daring reporting period

repor t ing pedvd o f r e p o r t i n g p e r i o d(I) (2) (D (2) (D 12) (3) (4) (5 )

A m o u n t T y p e ( e . g . , Value V,due T y p e ( e , g . , D a t e V alue Gain I d e n t i ty o fC o d e I d i v . , r e n t . Code 2 Method buy, se ll, nurddd]yy C ode 2 Code 1 buyer /se l ler( A - H ) O r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

55 .

56 .

57 .

5 8 .

59 ,

60 ,

61 .

! 6 ~ .63 .

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65 .

1 6 6 .

! 6 7 .

L A N D I N P L A I N F I EL D , N H

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I B M - C O M M O N S T O C KL O W E S C O M P A N I ES I NC - C O M M O NS T O C KP A C C A R I N C - C O M M O N S T O C K

Q U E S T D I A G N O S T IC S I N C . - C O M M O NS T O C KU N I T E D T E C H N O L O G I E S C O R P -C O M M O N S TO C KA M G E N I N C - C O M M O N S T O C K

C I S C O S Y ST E M S I N C -C O M M O NS T O C KA I R P R O D U C T S & C H E M I C A L I N C -C O M M O N S TO C KS S G A M O N E Y M A R K E T F U N D

N E S TL E S A - C O M M O N S T O C K

S U N C O R E N E R G Y IN C - C O M M O NS T O C KB l IP B ILT O N LT D

C A M BRI D G E , M A 4 . 0 0 % 0 1 1 0 1 1 2 0 1 4

HOPKINTON, MA 4.00% 0 7 1 0 ~ / 2 0 1 1S C I T UA T E , M A 4 ,5 0 % 0 9 / 1 5 / 2 0 1 3

N o n e

D i v i d e n d

D i v i d e n dD i v i d e n d

D i v i d e n d

D i v i d e n d

D i v i d e n d

N o n e

N o n e

D i v i d e n d

D i v i d e n d

D i v i d e n d

D i v i d e n d

D i v i d e n d

In te re st

In te res tIn te re st

K T

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M VL T

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L TS o l d 09/15110 L

I . Inc ome Gain C odes : A --$1 ,000 or less B -= $1,00! - $2,500 C = $2, 501 - $5. 000 D--,$5-001 - $15,000( See C olu mns B I and D4 ) F = 150.001 - $100.000 G = $100.001 - $1.000/300 HI --$l.000,00l - $5.000.000 1 " 1 2 = M o r e t h a n $ 5 .0 0 0 . 0 0 0

2. Value Code.~ J --$15.000 or less K = $15.001 - $50.000 L --$50,001 - $100.000 M =$I00.001 - $250,000( Se e C o lu rt m, s C I an d D3 ) N -- .$ 25 0,0 01 - $ 50 0.0 00 O =$500.001. $ 1.000.0GO PI =$1.CO0,G01 . $5.000.0~0 1 3 2 - - . $ 5 . 0 0 0 , 0 0 1 - $ 2 5 . 0 0 0 . 0 0 0

P 3 = $ 2 5 , 0 0 0 , 0 0 1 - $50,000.0130 P4 =Mo rt: lima $50.000,0003 . Valu e Method C odes Q ~A p p r aJ sa l R - - - C o s l ( R e a l E v t a te O n l y ) S =As.~essment T =C ax h Mar k et( See C olu mn C 2 ) U =Book Valu e V =Other W = E xl i m a l ed

$50.000


10/12

FINANCIAL DISCLOSURE REPO RTPage 10 of 12

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

D a t e o f R e ~ o r t05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - ~ c o , ~ e . ,a ~ , t , , ~ ,c t ~ o ~ a n e Z u a e $ t h o s e o y , V o , ,e a ~ ~ V ~ , a ~ , ~ ~ ; ,~ e ~ . 3 4 - 6 0 of fil in 8 instra~tions.)N O N E (No reportable incom e, assets, or transactions.)

Desc r ip t ion of A s~ ts Income dur ing(including trust assets) reporting period

; (l) (~)P l a c e " ( X ) ~ a f t e r e a c h a s s e t [ A m o u n t T y p e ( e . g . ,

exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

Gross value at endo f r e p o r t i n g p e r i o d(l) (2)

V a l u e V a l u eCode 2 M ethod(J-p) C o d e 3

~ Q - W )

T y p e ( e , g . ,buy, sell,

r e d e m p t i o n )

Transactions dufng reporting period(2) (3) (4) (5)

D a t e V a l u e Gain I d e n t i ty o fnurgdd/yy Code 2 C o d e 1 buyer/seller

(J.P) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

69 .

70 .

71 .72 .

73 .

74 .

75 .

76 .

77 .

78.

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S H A R O N , M A 4.00% 911512013.K IN G PH ILIP RE G . SCH OOL DIST RICT ,MA 4. 2 5 % 1 2 /1 5 /2 0 1 2E M C O R P M X ~ S - C O M M O N S T O C KW E L L E S L E Y M A S S A C H U S E T T SGE NE R A L O B LIGA T IO N 4 . 0 0 %

0 6 1 0 1 1 2 0 1 2J O H N SO N C O N T R O L S I N ( - C O M M O NSTOC KS T A N C R O F r T R U S T L I M I T E D

FIRST CARIBBEAN INTERNAT!ONALBANK - CHECKINGE AT ON VAN CE G ROWT H F UN D -AE AT ON VAN CE LARG E CAP G ROWT HF U N D - IE A T O N V A N C E L A R G E C A P V A L U EFU ND - I

8 2 ~ E A T O N V A N C E T A X M S /C83. E A T O N V A N C E I N T ER N A T I O N A L

E QU I T Y - I84.

C In te re st

C In te re st

N o n eC In te re st

A . D i v i d e n d

D D i v i d e n d

N o n e

N o n e

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N o n e

A D i v i d e n d

L

L

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L

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M

K

K

T

T

T

T

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03/10/I006/I0/100 9 / 1 0 / I 012/30/10

1 2 / 3 0 / 1 0

J

J

J

I . Income Gain Codes; A =$1.000 or less B =$1.001 - $2.500 C --$2 ,501 - $5.000 D = $5.001 - $ tI ,qee c o lu mas BI and D. t ) P =$50,001 - $100.000 G ~ 100.001 - $ 1 ,000,000 H I ---$1,000,001 - $5,000.000 H 2 = Mo r e t h an

( See C olu mns C l and D3 ) N = $ 2 5 0 . 1 3 0 1 - $ 5 O t k 0 0 0 O =$500.001 - $1.000.000 PI =$1,000,001 - $5.000.000 P2 =$5.000.001 - $25,000,000P3 =$25.000,001 - $50.0~0.000 P4 =More than $50,000.0003. V a l ue Mel h o d Co d es Q =Appraisal R =Cosl (Real E.~tate Only) S =Assessmenl T - - C a s h l v h a r k e t

( See C olu mn C 2 ) U = B o o k V a l ue V = O t h e r W = E . , ~ li m a t e d

E=515.001 - $50,000


11/12

F I N A N C I A L D IS C L O S U R E R E P O R TPa ge 1 1 o f 1 2


D a t e o f R e p o r t0 5 / 1 5 / 2 0 1 1

VIII. ADDITIONAL INFORMA TION OR EX PLANATIONS.T H E R E P O R T W A S P R E P A R E D B Y :LE O N M . R E IM E R & C O . , P .C .8 0 5 T H IR D A V E N U ENE W Y O R K , N E W Y O R K 1 0 0 2 2


12/12


Name o f Pe rson Report ingB R E Y E R , S T E P H E N G .

Date of Repor t0 . 5 / 1 5 / 2 0 1 1

I X . C E R T I FIC A T I O N .I c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c lu 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 , i f a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t e t h e b e 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 le s t a t u t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .I l ~ r t h e r c e r t i fy t h a t e a r 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 i a a n d t h e a c c e p t a n c e o f g i f t s 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 nco mp l ian ce wi th the p ro vi s io n s o f 5 U~.C. ap p . 501 e t . s eqo , 5 U.S.C. 7353, an d Jud ic ia l Co n feren ce reg ula t io n s .

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 GL Y A N D W I L F U L L Y F A L S I FI E S O R F A I L S T O F I L E TH 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 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 0 4 )

C o m m i t te e o n F i n a n c i al D i s c l o s u r eAdm ini s t ra ti ve Off i ce of t he Uni t ed S ta t es Cour t sSu i t e 2-301O n e C o l u m b u s C i r c le , N . E.W a s h i n g to n , D . C . 2054 4

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Stephen G Breyer Financial Disclosure Report for 2010