Steven J McAuliffe Financial Disclosure Report for 2010

8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/steven-j-mcauliffe-financial-disclosure-report-for-2010 1/15

I A O 10Rev. 1/2011

FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 201 0

Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 5~§ 101-111)

1. Person Reporting (last name, firs t , middle init ial)

M C A U L 1 F F E , S T E V E N J .

4. Ti t le (Art icle I I l judges ind ica te act ive or senior sta tus;

magis t rate judges indicate ful l - or par t - t ime)

U . S . D IS T R I C T J U D G E ( A C T I V E )

7. Chambers o r O ff ice Ad d res s

W A R R E N 1 3. R U D M A N C O U R T H O U S E

5 5 P L E A S A N T S T R E E T , R O O M 4 1 6

C O N C O R D, N .H. 03 3 01

2. Co urt o r O rg an iza t io n

U. S . DI S T R I C T C O U R T - N . H.

5a . Report Type (check appropria te type)

]N om in ation , Date

[] Initial [] Annual [] Final

5b. [] Amended Report

8. O n t he ba s i s o f t he i n fo rm a t i o n co n t a i n e d i n t h is Re p o r t a n d a n y

modif ica t ions perta in ing the re to , i t i s , in my opin ion , in compliancewith a pp l i c a b le l a ws a nd re gu la t ions .

R e v ie wing Of f i c e r Date

3. Date of Repor t

05/I 1/2011

6. R e por t ing Pe r iod

01/01/2010

to

12/31/2010

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,

checking the NON E box for each part where you have no reportable information. Sign on last page.

I . P O S I T [ O N S . ( x e p o ,, Z , ,g ~ , a i v u , , t o , ~ y ; s e , p p . 9 - I 3 of filing instructions.)

D N O N E (No reportablepositions.)

POSITION N A M E O F O R G A N I ZA T I O N / E N T IT Y

1. F e l lo w N e w H a m p s h ir e Ba r F o u n d a t io n

2. Dir ec tor C h a l l e n g e r C e n t e r f o r S p a c e S c i e n c e E d u c a t io n

3. Tr us tee Trust # 1

4. S har eholde r ( 5 0 pe r cent ) P l e a s a n t L a k e A i r , I n c . , L L C

5. Pa r tne r P i n c h e r s ’ I n v e s t m e n t G r o u p ( N e i g h b o r h o o d I n v e s t m e n t C l u b )

I I . A G R E E M E N T S . ( g e p o r t i. g ~ . a i v i a ,, t o n ~ y ; s e e p S , . I 4 - 1 6 of filing instructions.)

[~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS



FINANCIAL DISCLOSURE REPORT

Page 2 of 15

N a m e o f P e r s o n R e p o r t in g

MCAULIFFE, STEVEN J.

Date of Report

05/1 1 /2 01 1

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instructions.)

A. Filer’s Non-Investm ent Incom e

~] (No reportable non- inves tment income.)ONE

DATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours, not spouse’s)

B . S p o u s e ’ s N o n - l n v e s tm e n t I n c o m e - If you were married during anyportion of the reportlng year, complete this section.

(D ollar amount not required except for honoraria.)

N O N E ( ’N o reportable non-investment income.)

DATE SOURCE AND TYPE

I.

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter ta inment .

(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)

N O N E ( N o reportable reimbursements.)

SOURCE DATES LOCATION

1 .

2,

3.

4.

5.

PURPOS~ ITEMS PAID OR PROVIDE




P a g e 3 o f 1 5

N a m e o f P e r so n R e p o r t in g


D a t e o f Re p o r t

05/1 1 /2 01 1

V . G I F T S . a n c t u d e s t h o s e t o W o u s e u n a U e p e n d e n t children; s e e p p . 2 8 - 3 1 of filing instructions,)

N O N E (No reportable gifts.)

SOURCE DESCRIPTION

1 .

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n a u ~ e s t h o s e o l sp o u s e u n a d e p e n d e n t children; see p p . 3 2 - 3 3 of filing instructions.)

N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUE CODE




Page 4 of 15

N a m e o f P e r so n R e p o r ti ng


Date of Report

05/11/2011

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 , valae, transactions (Includes tltose of spouse and dependent children; seepp. 34-60 of filing instructions.)

D NONE(No reportable income, assets, or transactions.)

D e sc r i p t i o n o f A sse 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 from prior disclosure

1 . N O W A c c t M e r r im a c k C t y . S av i n g s B a n k

2. I R A A m e r i c a n F u n d s : In v C o o f A m e r ic a

3. 1 R A A m e r i c a n F u n d s : W a s h M u t . I n v F u n d

4. E x x o n M o b i l C o r p .

5. U B S R e t i r e m e n t M o n e y F u n d

6. I R A F r a n k l i n T e m p l e t o n F o r . F u n d

7. P i n c h e r s ’ In v e s t m e n t G r o u p P t n s h p S h a r e

( S ee P a r t V II I )

8. -D e n t s p ly In tn l I nc .

9. - A i r P r o d u c t s & C h e m .

1 0 . - W h i t i n g P e t r o l eu m C o r p .

II. - D i a g e o ( D E O )

12 . - B H P B i l l it o n L t d A D R

1 3 . - Gi l e a d Sci e nce s I nc .

14 . - Q u e s t D i a g n o s t i cs

15 . - S u n t e ch P o w e r H l d g s .

16 . - C D N N a t l R w y C o .

Income during G r o ss va l ue a t e n d

r e p o r t in g p e r i o d o f r e p o r t i n g p e r i o d

( l) (2 ) (t) (2)

A m o u n t Type (e.g., V a lu e V a lu eC o d e 1 div., rent, C o d e 2 M e th o d

( A - H ) o r in t .) ( J - P ) C o d e 3

( Q - W )

A Interest J T

B Dividend L T

A Dividend J T

A Dividend J T

A I n t e r e s t J T

B Dividend L T

A Dividend J T

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

(l) (9) (3)

Type (e.g., Da t e Value

b u y , s e l l , m m /d d !y y C o d e 2

redempt ion) (J-P)

Sold 06/06/10 J A Mkt

Sold 06/I 1/10 J A Mkt

( 4 ) ( 5 )

Gain Id entity of

Code 1 buyer/se l ler

(A-H) ( i f p r i v a t e

t ransact ion)

17. - E l P a s o C o r p .

1. Income Gain Codes: A = $1 , 000 o r l ess B =$1,001 - $2 ,5 00 C =$2 ,5 01 - $5 .000 D =$5,001 - $15,000

(S ee C ol um ns B I and D 41 F =$50.001 - $100.000 G = $1 00 .001 - $1 , 000 , 000 HI =$1,000,001 - $5 ,000,000 H 2 = Mo re t h an $5 , 000 , 000

2. V al ue C odes J = $1 5.000 o r l ess K = $15,001 - $ 50,000 L = $ 50,001 - $ 100,000 M -$100,001 - $25 0,000

(S ee C olum ns C I an d D3) N = $250 ,001 - $ 500,000 O =$500,001 - $ 1 ,000,000 P I = $ 1 ,000,001 - $ 5,000,000 P2 =$5,000,001 - $25,000,000

P 3 =$ 25,000,001 - $50,000 ,000 P 4 = M ore th an $50 ,000 ,000

3 . V al ue Met h od C odcs Q = A ppra i sa l R =Cos t ( Re a l Es t a t e O nly) S = A s s e s s m e n t T = C a s h M a r k e t

(S ee C ol unm C 2) U =Book Va luc V = O t h e r W =Es t ima te d

E = $1 5, 001 - $50 , 000




Page 5 of 15



Date of Report

05 /11/2011

V I I . I N V E S T M E N T S a n d T R U S T S -i.co,.e, v . l u e , transactions (Includes those of spouse and de penden t children; see pp. 34-60 of fi ling instructions.)

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

A. B. C.

Descr ipt ion of Assets In com e during Gross value a t end

(includ ing trus t a sse ts) repo rting period of reporting period

(1) ( 2 ) (1) (9)

Place "(X )" after each asset A m oun t Type (e.g., V alue V a lueexempt f rom pr ior di sclosure C ode I div., rent. C ode 2 M e th o d

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

(1 ) (2) (3) (4) ( 5 )

Type (e.g., Date Va lue Gain Ident i ty of

buy, se l l , m m / dd] y y C ode 2 Code 1 b uy e r / s e l l e r

redempt ion) (J-P) ( A - H ’ ) (if private

t ransact ion)

1 8 . - 3 M C o .

1 9 . - A p p l e ( A A P L )

20 . - F o r d M o t o r C o .

21 . - F L I R S y s t e m s

22 . - F S U M F

23 . -Te r re x C orp .

24 . - A c t i v is i o n B L Z I n c .

25 . - A t w o o d O c e a n i c s I n c .

26 . - C l a r u s C o r p .

27 . -C oa c h Inc .

28 . - C o m i n g I n c .

29 . - D o l b y L a b I n c .

30 . - G e n e r a l M o t o r s

31 . - H e w l e t t P a c k a r d C o .

32 . C V S C a r e m a r k C o r p .

33 . Praxair Inc .

34 . I R A I S h a r e s R u s s e l lF u n d

(A-H) o r i n t . ) ( J - P ) C ode 3

(Q-W)

A Dividend

A Dividend

A Div id e n d

Sold

Sold

B uy

B uy

B uy

B uy

B uy

B uy

B uy

Bu y

T

S o l d

T

06/1 1 /1 0 J A M kt

03 /1 2 /1 0 J A M kt

1 0 / 1 8 / 1 0 J M kt

03 /1 2 /1 0 J M kt

05/1 4 /1 0 J M kt

05/14/10 J M kt

05/1 4 /1 0 J M kt

10/18/10 J M kt

11/18/10 J M kt

10/18/10 J M kt

02/17/10 K D M kt

I. Incom e G ai n C odes:

IS ee C ol unm s B 1 and D 4)

2. V al ue C odes

( Se e Columns C I a nd D3)

3.V al ue Mct h od C od~s

I S c e C o l u m n C 2 )

A=$1,000 or l e s s

F = $50 .001 - $1 00 .000

J =$15,000 orlcss

N = $250 , 001 - $500 , 000

P3 =$25,000,001- $50,000.000

Q =Appraisal

U ~Book V al ue

B =$1,001- $2 ,5 00

G = $ 1 00 , 001 - $1 , 000 , 000

K =$15 ,001- $5 0.000

O =$5 00,001 -$1 ,000,000

R =Cos t ( Re a l Es t a t e O nly)

V = O t h e r

C =$2,501 o $5,000

HI =$1,000,001- $5 ,000,000

L =$5 0,001- $100,000

PI =$1 ,000,001 -$5 ,000,000

P4 = Mo re t h an $50 , 000 , 000

S = A s s e s s m e n t

W = E s t i m a t e d

D=$5 ,001- $15 ,000

H 2 = Mo re t h an $5 , 000 ,000

M=$I00,001 - $25 0,000

P2 = $5, 000 , 001 -$25 , 000 ,000

T = C a s h M a r k c t

E =$15 ,001- $5 0,000




Page 6 of 15

Name of Person Reporting


Date of Report

05/1 1 /2 01 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 n c o m e , v a 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.)

A. B. C. D.

D e s c r i p ti o n o f A s s e t s I n c o m e d u r i n g G r o s s v 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 t i n g p e r i o d

( 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 o f r e p o r t i n g p e r i o d

(l ~ (2 ) (1) (2) (l) (2) (3) (4)

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., Da te V a lu e Ga in

exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d b u y , s e ll , mm/dd/yy C o d e 2 C o d e 1

35 . I R A M i d ca p S P D R T R A D i v i d e n d K

36 . F e d . P ri m ~ M M F u n d A D i v i d e n d J

37 . M e r r i m a c k C t y . S a v . B k . N O W A c c t ( 2) B Interes t M

38 . T h e r m o F i s h e r S c i . (T M O ) A D i v i d e n d J

39 . Ente rp r i s e P rods . P tn r s . A D i v i d e n d K

40 . C h e s a p e a k e E n e r g y C o r p . A D i v i d e n d

41 . K i n d e r M o r g a n E n e r g y L P A D i v i d e n d J

42 . C i s c o S y s t e m s I n c . A D i v i d e n d

43 . M y r i a d P h a r m a c e u t i c a l s I n c . ( S p i n O f f o f A D i v i d e n d J

M y r i a d G e n e t ic s )

44 . I s h a r e s T R R u s s e l l 2 0 00 I n d e x F u n d A D i v i d e n d J

45 . I s h a r e s T R R u s s e ll M i d c a p V a l . In d e x F u n d A D i v i d e n d J

46 . N o r f o l k S o u t h . C o r p . A D i v i d e n d J

47 . N i c h o l a s - A p p l e g a t e I n tn l & P r e m . A D i v i d e n d

48 . I R A l s h a r e s R u s s e l l M i d - c a p A D i v i d e n d K

49 . I R A S a y t e m C o m p . S v cs . A D i v i d e n d J

50 . I s h a r e s T r u s t R u s s e l l M i d c a p G r o w t h I n d e x A D i v i d e n d J

F u n d

51 . McDonald’s Corp. A D i v i d e n d K

( 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 )

( Q - W )

T

T

T

T

T

T

T

T

T

T

T

T

T

Sold 05/03/10 J A

Sold 05/29/10 K B

Sold 03/01/10 J A

(5 )Identity of

b uy e r / s e l l e r

(if private

t r a n sa c t i o n )

M kt

M kt

M kt

I . Income Ga in Code s : A = $1 , 000 o r l ess B =$1,001 - $2,500 C = $2, 501 - $5 , 000

(S ee C ol u rm as B I and D 4) F =$50,001 - $100,000 G =$ 100 ,00 1 - $1 ,00 0,00 0 H 1 =$ 1,00 0,00 1 - $5,000,000

2 . Va lue Code s J = $ 1 5,000 o r less K = $ 1 5,001 - $ 50 ,000 L = $ 50,001 - $1 00,000

( S e e C o l u m n s C I a n d D 3 ) N =$250,001 o $500,000 O =$500,001 - $1,000,000 PI ~$1 ,000,001 - $5 ,000,000

P3 =$25,000,001 - $50,000,000 P4 = M ore t h an $50 , 000 , 000

3 . V al ue Met h od C odes Q =Appraisal R =Cos t ( Re a l Es t a t e O nly) S =As s e s s me nt

( S e c C o l u m n C 2 ) U =Book Va lue V = O t h e r W =Es t ima te d

D =$5,001 - $15,000

H 2 = More t h an $5 , 000 , 000

M =$ 100,001 - $250,000

P2 =$5,000,001 o $25,000,000

T = C a s h M a r k e t

E =-$15,001 - $50,000




Page 7 of 15


M CAUL1FFE, STEVEN J .

Date of Report

05/I 1/2011

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 tu e , tr a n s a c t i o n s ( I n c l u d e s t h o s e of spouse and dependent children; see pp. 3 4 - 6 0 of filing instructions.)


D e s c r ip t i o n o f A s s e t s 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


I n c o m e d u r i n g Gross value at en d

re p or t in g p er io d o f re p or t in g p er io d

( 1 ) (2 ) (1) (2) (1 ) (2) (3)

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., Date V a l u e

exempt from prior disclosure C o d e 1 d i v . , r e n t , 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( A - H ) o r i n t . ) (J-P) C o d e 3

( Q - W )

M cDonald’s Corp. A Dividend K T

Apple Inc. A Dividend K T

Johnson & Johnson Inc. A Dividend K T

Deere & Co. A Dividend J T

Praxa ir (M ) A Dividend

Express Scripts Inc. A Dividend J T

CR Bard Inc. A Dividend

Co l g a t e - P a l mo l i v e C o . A Dividend J T

I B M C o r p . A Dividend K T

N o r t h e r n T r u s t P r i me O b l i g a t io n Fund 9/1 A Dividend J T

53 .

54 .

55 .

56 .

57 .

58 .

59 .

60 .

61 .

62 .

63 .

~64 .

65 .

66 .

67 .

68 .

redemption) ( l -P)

S o l d 02/17 /10 J

S o l d 05/03 /10 J

(par t)

S o ld 05 /0 3 /10 J

Simon PPTY G roup Inc. A Dividend

Intel Corp. A Dividend

Becton Dickinson B Dividend

3M Co. B Dividend

STHN Cmnty B & T NC US A I n t e r e s t

Fla. St. Br d Ed. Pub. Ed. Cap. A I n t e r e s t

Toyota Fin. Sve. Bk NV US A I n t e r e s t

L

L

L

K

T

T

T

T

S o l d 05/25/10

Sold 0 2 / 1 7 / 1 0

(part)

S o l d 01/21 /10

K

( 4 ) ( 5 )

Ga i n ldentlty of

Code I b uy e r / s e l l e r

( A - H ) (if private


D M k t

A M k t

A M k t

D Mkt

C Mkt

A Mkt

I . Income Ga in Code s : A = $1 , 000 o r l ess B =$1,001 - $2,500 C = $ 2.501 - $ 5,000 D = $ 5,001 - $15 ,000

t S ee C ol um ns B 1 a nd I M) F = $ 5 0,0 01 - $ 10 0,0 00 G =$100,001 - $1.000,000 H 1 = $ 1 ,0 00 .0 01 - $ 5, 00 0, 00 0 H 2 = M or e t ha n $ 5, 00 0. 00 0

2 . Va lue Code s J = $15,000 o r les s K = $15 ,001 - $50,000 L = $50,001 - $ 100,000 M = $100,001 - $250,000

( Se e Columns CI a nd D3) N =$250,001 - $500 ,000 O =$ 500 ,001 - $1 ,000 ,000 PI =$1 ,000,001 - $5 ,000,000 P2 =$5.000,001 - $25,000,000

P 3 = $25,000 ,001 - $50,000,000 P 4 = M ore th an $ 50,000 ,000

3 . V al ue Met h od C edes Q = A ppra i sa l R =Cos t ( Re a l Es t a t e O nly) S =As s e s s me nt T = C a s h M a r k e t

( Se e Column C2) U = B o o k V a l u e V = O t h e r W = E s t im a t e d

E = $ 1 5 , 0 0 1 * $ 5 0 , 0 0 0




Page 8 of 15



Date of Report

05/I 1/2011

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, t ...... tions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)


69 .

70 .

71 .

72 .

73 .

74 .

75 .

76 .

77 .

78 .

79 .

80 .

81 .

82 .

83 .

84 .

85 .

D e sc r i p t i o n o f A sse t s I n c o m e d u r i n g

( in c lu d in g t ru s t a s s e ts ) r e p o r t in g p e r io d

(l) (2)

Place ,(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code l div., rent,

( A - H ) o r i n t . )

G r o ss va l ue a t e n d

o f r e p o r t i n g p e r i o d

(1) (2)

V a lu e V a l u e

C o d e 2 M e t h o d

( J - P ) C o d e 3

( Q - W )

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

( i) (2) (3)Type (e.g., Da t e V a l u e

b u y , s e l l , m m /d d /y y C o d e 2

redemption) ( J - P )

Hu ntington NAR Bk. OH US B Dividend L

IShare s IBoxx Invt G ra. DE Corp. Bond A DividendFund

Tenn. St. Ser. A A I n t e r e s t

K

K

T

T

F a i r f a x C t y . V A P u b . S e r . A A I n t e r e s t K

Autoliv Inc. A D i v i d e n d K

Smuck er JM Co. New A Dividend K

F i r s t C o l e b r o o k B a n k

A F L A C I n c.

Da n a h e r C o r p .

Goldman Sachs Gr oup Inc.

Google Inc.

J.P. Morgan Chase Co.

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

J

J

J

J

J

J

T

T

T

T

T

T

O r a c l e C o r p .

S ta rbucks Corp.

Sysc o Corp .

BH P Bill iton Ltd.

I S h a r e M S CI E A F E I n d e x F u n d

A

A

A

A

A

Dividend

Dividend

Dividend

Dividend

Dividend

J

J

J

J

J

T

T

T

T

T

( 4 ) (5 )

Gain Identity of


(A -H ) (if private

transaction)

I.Incom e G ai n C odes:

( Se e Column s BI a nd D4)

2. V al ue C odes

(S ee C ol um ns C I and D 3 )

3.V al ue Met h od C odes

( Se e Column C2)

A = $ 1 , 0 0 0 o r l e s s

F = $50 , 001 - $1 00 , 000

J =$15 ,000 or l cs s

N~$25 0,001- $5 00,000

P3=$25 ,000,001-$5 0,000,000

Q =Appraisal

U = Book V al ue

B =$1,001- $2 ,5 00

G=$100,001 -$1 ,000,000

K =$15 ,001- $5 0,000

O =$5 00,001- $1 ,000,000

R =Cos t ( Re a l Es t a t e O nly)

V = O t h e r

C =$2 ,5 01 - $5 ,000

H I =$ 1,000,001 - $ 5,000,000

L =$50,001 - $100,000

P I =$ 1,000,001 - $5,000,000

P4 = Mo re t h an $50 , 000 , 000

S =As s e s s me nt

W =Es t ima te d

D =$5 ,001- $15 ,000

H2 =Mo r e tha n $5 ,000,000

M=$100,001- $25 0,000

P2 =$5,000,001- $25,000,000

T C a s h M a r k e t

E =$15,001 o $50,000




Page 9 of 15



Date of Report

05/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . eom e , va lue , t ...... t i o n s ( I . c l u , le s t h o s e o f s p o u s e and dependent chi ld r en; se e pp . 3 4 - 6 0 of filing instructions.)

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

A. B. C.

De s c r i p t i o n o f A s s e t s Income d u r i n g G r o s s v a lu e a t e n d

( includ ing trust assets) reporting period o f r e p o r t i n g p e r i o d

( 1 ) (2 ) (1) (2)

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 yp e ( e . g . , V alue V alue

exempt from prior disclosure Code I d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

( Q - W )

Transact ions during report ing period

(I ) (2) (3)

T y p e ( e . g ., D a t e Value

buy, sell , m m /d d / y y C o d e 2

redemption) ( J - P )

(4 ) ( 5 )

Gain Ident i ty of


(A-H) (if private

t ransact ion)

A

M kt

M kt

M kt

M kt

M kt

A Mkt

86 .

87 .

88 .

89 .

9 0.

91 .

9 2.

9 3.

9 4.

95 .

I S h a r e T r us t M S C I E m e r g in g M k t s A D i v i d e n d J T

NH S t . Ge n l O b S e r A A Inte res t K T Bu y 01/29/10 K

NH S t . Ge n l O b B / E O lD A Inte res t J T Bu y 01/29/10 J

N H M u n i Bo n d S e r B A Inte res t K T Bu y 01/29/10 K

T e m p l e t o n G lo b a l I n c o me F u n d ( D E L A ) A D i v i d e n d K T Bu y 02/22/10 J

B P P L C ADR [ C ] A Dividend S o l d 06/01 /10 J

No r th e r n T r us t P r im e O b l ig a t io n F un d 9 / 1 A Dividend J T[ c ]

C V S C a r e m a r k C o r p . [C ] A Div id e n d S o ld 06/01 /10 J

C h e s a p e a k e E n e r g y [ C ] A Dividend J T

Nic h o la s - Ap p le g a t e I n tn l & P r e m . S t r . [ C ] A Dividend S o l d 03/01 /10 J

J T

K T

K T

K T

J

J

T

T

Sold 05/13/10

A Mkt

A Mkt

9 6. J o h n s o n & J o h n s o n [ C ] A Dividend

97 . De e r e & C o . [ C ] A Dividend

9 8 . AF L A E I n c . [C ] A Dividend

99 . A p p l e l n c , [ C] A Dividend

100. IBM Corp . [C] A Dividend

101. McDonald’s Corp. [C] A Dividend

102. A b b o t t L a b s [ C ] A Dividend

I . Income Ga in Code s : A = $1 ,000 o r less B = $1 ,001 - $2,500 C =$2,501 - $5,000

( Se e Columns B l a nd D4) F =$ 50,001 - $100.000 G = $1 00,001 - $ 1,000.000 H 1 =$1,000,001 - $ 5,000,000

2 . Va lue Code s J = $ 1 5,000 o r less K = $ 15,001 - $ 50,000 L =$50,001 - $100,000

( S e e C o l u m n s C I a n d D 3 ) N -$250,001 - $ 500 ,000 O =$500 ,001 - $ 1,000 ,000 PI =$1 ,000,001 - $5 ,000,000

P3 =$25,000,001 - $50,000,000 P4 = Mo re t h an $50 , 000 , 0003 . V al ue Met h od C odes Q =Appraisal R = C ost (Rea l E s t a t e Onl y ) S =As s e s s me nt

( S c e C o l u m n C 2 ) U =Book Va lue V - O t h e r W =Es t ima te d

D=$5 ,00I - $15,000

H 2 = More M an $5 , 000 ,000

M=$100,001- $25 0,000

P2=$5 ,000,001 -$25 ,000,000

T = C a s h M a r k e t

E =$15 ,001- $5 0,000




Page 10 of 15



Date of Report

05/I 1/2011

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 l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

NOlNE (No reportable income, assets, or transactions.)

A. B. C. D.

Descr i p t i on o f A s s e t s In c o m e d u r in g G r o ss va lu e at e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( inc luding trust assets) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(1 ) (2 ) (1) (2) (1 ) (2) (3) (4)

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a l u e Type (e.g., Da t e Value Gain

exempt from prior disclosure Code t d iv ., r e n t , C o d e 2 M e th o d b u y , s e l l, mm/dd/yy Code 2 I Code l

( 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 )

103. Chevr on Corp. [C]

104. Colgate-Palmoliv e Co. [C]

105. Danah er Corp. [C]

106. DupontE.I. Dem. Co. [C]

107. Express Scripts Inc. [C]

108. Goldma n Sachs G P Inc. [C]

109. J.P. M organ Chase Co. [C]

110. Nikelnc . [C]

111. Oracle Corp. [C]

112. Procter& Gam ble Co. [C]

113. Spectra Energy Corp. [C]

114. Starbu cks Corp. [C]

115. Sysco Corp. [C]

116. United H ealth G roup Inc. [C]

117. United Tech nologies Corp. [C]

118. We lls Fargo & Co. [C]

119. Buffalo Small Cap Fund [C]

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

( Q - w )

K T

J T

K T

J T

J T

J T

J T

J T

K T

J T

K T

K T

J T

J T

K T

K T

J T

( 5 )

Identity of

buyer/seller

(if private


1. Income Gain Codes: A = $1,000 o r less B = $1 ,001 - $2,500 C =$2 ,5 01 - $5 ,000 D ~$5, 001 - $ 1 5 , 000

( Se e Columns B I a nd D4) F =$ 50,001 - $ 100,000 G =$100,001 - $ 1,000,000 H 1 =$ 1, 00 0. 00 1 - $ 5 ,0 00 ,0 00 H 2 =M o r e t ha n $ 5, 00 0, 00 0

2. V alue C o des J = $ 1 5,000 o r less K = $15,001 - $50,000 L = $50 ,001 - $ 1 00,000 M -$ 100 ,001 - $ 250 ,000

( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1 ,000,001 - $5 ,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50.000,000 P4 = Mo re t h an $50 , 000 , 000

3 . V al ue Met h od C odcs Q =Appraisal R = C ost (Rea l E s t a t e Onl y ) S = A s s e s s m e n t T = C a s h M a r k e t

(See Column C2) U = Book V al ue V = O t h e r W =Es t ima lcd

E =$15 ,001- $5 0,000




Pagell ofl5



Date of Report

05/11 /201 l

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 , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

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

A. B. C. D.

D e s c r i p ti o n o f A s s e t s In c o m e d u r in g G r o ss va lu e at e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( in c lu d in g t ru s t a s s e ts ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d

(1) (2) (1~ (2) (l ) (2) (3)

Place "(X)" after each asset A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g . , D a t e Value

exempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 M e th o d b u y , se l l . m m / d d / y y C o d e 2( A - H ) o r i n t . ) O - P ) C o d e 3 r e d e m p t i o n ) ( J - P )

( Q - W )

1 20 . B H P B i l li t o n L t d . [ C] A Div id e n d J T

1 21 . T r a n s o c e a n L t d . [ C] A Div id e n d K T

1 22 . lS h a r e s T r u s t M S C I E A F E I n d e x F u n d [ C] A Div id e n d J T

1 23 . IS h a r e s T r u s t M S C I E me r g i n g M k t s [C] A In te r e s t J T

1 24 . RM A q ’ a x - F r e e F u n d [ K ] A Interest J T

1 2 5 . U B S P a c e M M I n v F u n d C l a s s P [ K ] A Div id e n d J T

1 2 6 . A m F u n d s G r o w th F u n d o f A m C l a s s F [ K ] A Div id e n d J T

1 27 . Jo h n H a n c o c k C l a s s i c V a l F u n d C l a s s A [ K ] A Div id e n d J T

1 28 . O p p e n h e i me r M a i n S t . S ma l l Ca p F u n d A A Div id e n d J T

1 2 9 . R S V a l u e F u n d C l a s s A [ K ] A Div id e n d J T

1 3 0 . T h o m b u r g I n t n l V a l u e F u n d C l a s s A [ K ] A Div id e n d J T

1 3 I . D W S C o r e F i x e d In c o m e F u n d Cl a s s A [ K ] A Div id e n d J T

1 3 2 . F . T e m p l e t o n G lo b a l B o n d A [ K ] A Div id e n d J T

1 3 3 . M a n a g e r ’ s B o n d F u n d [ K ] A Div id e n d J T

1 3 4 . A b b o t t L a b s [ C] A Div id e n d J T Bu y 05/03 /10 J

1 3 5 . P r u d e n t i a l F i n . I n c . [ C] A Div id e n d J T Bu y 05/03 /10 J

1 3 6 . U n i t e d T e c h n o l o g i e s Co r p . [ C] A Div id e n d J T Bu y 05/03 /10 J

( 4 ) C S )

Gain Ident i ty of


( A-H) (if private

transaction)

I M k t

M kt

M kt

1 . I n c o m e G a i n C o d e s : A = $ 1 , 0 0 0 or less B =$1,001 - $2,500 C =$2,501 - $ 5 , 0 0 0 D =$5,001 - $15,000

( S ee C ol um ns B 1 and D 4) F ~$ 5 0,001 - $100,000 G = $ 1 00 ,0 01 - $ 1,0 00 ,0 00 H 1 = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 H 2 = M ore t h an $5 , 000 , 000

2. V alue C o des J = $ 15,000 o r less K = $15,001 - $50,000 L =$5 0,001 - $ 100,000 M = $1 00 , 001 - $250 , 000

( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $ 500,000 O =$500,001 - $ 1,000,000 P I = $ 1 ,000 ,001 - $5 ,000 ,000 P2 =$5,000,001 - $25,000,000

P 3 -$25,000 ,001 - $50,000,000 P 4 ~ M ore th an $50,000 ,0003 . V al ue Met h od C odes Q = A ppra i sa l R = C ost (Rea l E s t a l e Onl y ) S = A s s e s s m e n t T = C a s h M a r k e t

( S e e C o l u m n C 2 ) U = Book V al ue V ~ O t h c r W = E s t im a t e d

E =$15,001- $50,000




Page 12 of" 15



Date of Report

05/I 1/2011

VII. 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.filing instructions.)

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

A. B. C, D

Descr ipt ion o f Assets In co m e d urin g Gro ss value at en d Transact ions dur ing repor t ing per iod

( including t rust asse ts) repor t ing per iod of repor t ing per iod

( t) ( 2 ) (l) (2) (l ) (2) (3)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 pe (e . g . , Value Value T y p e ( e . g ., D a t e Value

exempt from p rior disclosure C o d e 1 d i v . , r e n t , Code 2 M e th o d buy, sell, m m /d d /y y C o d e 2( A - H ) o r i n t . ) ( J ÷ P ) C o d e 3 r e d e m p ti o n ) ( J - P )

( Q - W )

1 3 7 . T J X C o m p a n i e s [ C ] A D i v i d e n d J T Bu y 05/04/10 J

1 3 8 . M a r v e l l T e c h n o l o g y [ C ] A D i v i d e n d J T Bu y 05/13 /10 J

1 3 9 . S & P 4 0 0 M i d c a p I n d e x [C ] A D i v i d e n d J T Bu y 05/13 /10 J

1 4 0 . M a r v e l l T e c h n o l o g y [ C ] A D i v i d e n d J T Bu y 05/13 /10 J

141. Citrix Systems [C] None J T Buy 12/01/10 J

142. Coach Inc.[C] None J T Buy 12/01/10 J

143. Cognizant Technology Solutions [C] None J T Buy 12/01/10 J

144. C u m m i n g s l n c . [ C ] None J T Bu y 12/01/10 J

145. Pace Money Mkt Inv Fund Class P [C] A Dividend J T Buy 03/05/10 J

146. Blackrock Equity Div Fund A [C] A Dividend J T Buy 03/05/10 J

147. Harbor Intnl Fund lnv Class [C] A Dividend J T Buy 03/05/10 J

148. Henderson Global Inv. Intnl Opp Fund A A Dividend J T Buy 03/05/10 J

1 4 9 . I N G G l o b a l Re a l E s t F u n d C l a s s A [ C] A D i v i d e n d J T Bu y 03/05/10 J

150. John Hancock Lange Cap Equity Fund Class A Dividend K T Buy 03/05/I 0 JA [C ]

151. NeubergerBerman Genesis Fund lnv Class A Dividend J T Buy 03/05/10 J

[ c ]

1 5 2 . O p p e n h e i m e r D e v M k t s F u n d C l a s s A [ C] A Dividend J T Bu y 03/05/10 J

1 5 3 . Ro y c e P r e mi e r F u n d [ C] A D i v i d e n d J T Bu y 0 3 /0 5/1 0 J

( 4 ) ( 5 )

Gain Id entity of


( A-H) (if private

t ransact ion)

M kt

M kt

M kt

M kt

M kt

M kt

M kt

M kt

M kt

M kt

M kt

M kt

M kt

: Mkt

M kt

M kt

M kI

I . Income Ga in Code s : A = $ 1,000 o r le ss B = $ 1,001 - $ 2,500 C = $2,501 - $ 5 ,000 D = $ 5,001 - $1 5,000

( Se e Columns B I a nd D4) F = $50 .001 - $ 100 ,000 G = $ 100,001 - $ 1,000,000 HI =$1,000,001 - $5 ,000,000 H 2 = M ore t h an $5 , 000 , 000

2 . Va lue Code s J -$15 ,000 or l e s s K =$ 1 5,001 - $50 ,000 L = $ 50 ,001 - $1 00,000 M = $1 00 , 001 - $250 , 000

( Se e Columns C I a nd D3) N =$250,001 - $500,000 O = $500 , 001 - $1 , 000 , 000 PI =$1 ,000,001 - $5 ,000,000 P2 =$5,000,001 - $25,000,000

P3 = $ 25, 000 ,00I - $ 50 , 000 , 000 P4 = Mo re t h an $50 , 000 , 000

3 . V alue M e th od C o de s Q = A ppra isal R =Cos t ( Re a l Es t a t e O nly) S =As s e s s me nt T = C a s h M a r k e t

( S ee C ol um n C 2) U = B o o k V a l u e V = O t h e r W =Es t ima te d

E = $1 5, 001 - $50 , 000




Page 13 of 15


M CAULIFFE, STEVEN J.

Date of Report

05/I 1 /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 lu e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

NO IqE (No reportable income, assets, or transactions.)

De s c r ip t io n o f A s s e ts T ra n s a c t io n s d u r in g r e p o r t in g p e r io d


Income d u r in g G r o s s v a lu e a t e n d

re p o rtin g p er io d o f r e p or t in g p er io d

(1 ) (2 ) (1) (2) (l)

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a l u e Type (e.g.,

exempt from prior disclosure Code I div., rent, C o d e 2 M e th o d b u y , s e l l ,( A - H ) o r i n t . ) (J-P) C o d e 3 r e d e m p t i o n )

( Q - W )

(2) (3) (4)

Date V a l u e Gain

m m /d d/yy C od e 2 Code 1

(J-P) (A-H)

( s )

Identity of

b uy e r / s e l l e r

(if private

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

154. F. Templeton G lobal Bond A [C]

155. Pimco Total Return Fund Class A [C]

156. Wilmington Short/Intermediate-Term Bond

Fund [C]

157. A b e r d e e n E q u i t y L o n g - S h o r t F u n d C l a s s A

[ c ]

158..IP Morgan M u l t i - c a p Mkt Neutral Fund [C]

159 . V a n E c k G l o b a l H a r d A s s e ts F u n d C l a s s A

[ c ]

A I n t e r e s t

B Dividend

B Dividend

A Dividend

A Dividend

A Dividend

J T B uy

K T B uy

K T B uy

J T Buy

J T Buy

J T B uy

03/05/10 J

03/05/10 K

03/05/10 K

03/05/10 J

03/05/10 J

03/05/10 J

M k t

M k t

M k t

M k t

M k t

M k t

1 . In com e Gain C odes: A = $1 ,000 o r l ess B =$1,001 - $2,500 C = $2, 501 - $5 .000

(S ee C ol um ns B 1 and D 4) F =$ 50,001 - $100,000 G = $1 00,001 - $ 1,000.000 H 1 =$1,000,001 - $5,000,000

2 . Va lue Code s d =$15,000 or lcs s K = $ 1 5, 001 - $50 ,000 L =$ 50,001 - $ 100,000

(S ee C olum ns U 1 and D3) N =$ 250 ,001 - $500,000 O =$ 500,001 - $ 1 ,000,000 PI =$1 ,000,001 - $5 ,000,000

P 3 = $25,000 ,001 - $50,000,000 P 4 ~ M ore th an $50 .000 ,000

3 . V al ue Met h od C odes Q ~A ppra i sa l g =Cos t ( Re a l Es t a t e O nly) S =As s e s s me nt

( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h e r W =Es t ima te d

D =$5,001 -$15,000

H2 -Mor e tha n $5 ,000.000

M=$100,001- $25 0,000

P2 = $5, 000 .001 -$25 , 000 ,000

T = C a s h M a r k c t

E =$15 ,001- $5 0,000




Page 14 of" 15 Ia m e o f P e r s o n R e p o r t i n g

M C A U L I FF E , S T E V E N J .

Date of Report

05/1 1 /2 01 1

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepart of report.)

P A R T I . P O S IT I O N S .P l e a s a n t L a k e A i r , In c . , L L C, i s a c o r p o r a t i o n f o r me d t o o w n a C e s s n a 1 8 2 S k y l a n e s i n g l e e n g i n e p r i v a t e a i rp l a n e . I o w n a o n e - h a l f i n te r e s t i n t h e c o r p o r a t i o n

(and thus the a i rplane) .

P A R T V I . L IA B I L I T IE S .I o w n a s um m e r c o t t a g e w i th a f o r m e r l a w p a r tn e r , E d w a r d E . Shumake r , I II , a s t e n a n t s i n c o m m o n , w h ic h p r o p e r ty i s m o r tg a g e d i n p a r t . T h a t l i a b i l it y i s n o t

di sclosed s ince i t is secured by rea l p rop er ty which i s

P A R T V I I. I N V E S T M E N T S A N D T R U S T S .Trus t #1 asse t s are l i s t ed in Par t VII , i den t i f i ed by the d es ignat ion ’[c] . "

P A R T V I I. I N V E S T M E N T S A N D T R U S T S .L i n e 7 . P i n c h e r s ’ In v e s t me n t G r o u p P t n s h p S h a r e ( s p e c i f i c h o l d i n g s n o t e d b y " - " b e l o w ) ( i n v e s tm e n t c l u b - a g g r e g a t e d p e r s u g g e s t i o n o f Co m mi t t e e o n

Financia l Disclosure 6/11 /08) .




Page 1 5 of 15

N a m e o f P e r so n Re p o r t i n g


Date of Report

05/11/201 I

IX . CERTIFICATION.

I c e r ti f 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 , i f a n y ) i sa c c u r a te , t r ue , a n d c o m p l e t e t o t h e b e s t o f m y k n o ~ v 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 l d 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 to rp 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 lo s u r e .

I f u rt h e r c e r ti f y th 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 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 ~ v i t h t h e p ro v i s i o n s o f 5 U . S . C . a p p . § 5 01 e t . s e q ., 5 U . S . C . § 7 3 5 3 , a n d J ud i c i a l C o n fe re n c e r e g u l a t i o n s .

Signatu re : S/STEVEN J. M CAULIFFE

N O T E : A N Y I N D IV I DU 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 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 JE C T T O C I V ILA 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 )

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Steven J McAuliffe Financial Disclosure Report for 2010