Allyne R Ross Financial Disclosure Report for 2010

8/3/2019 Allyne R Ross Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/allyne-r-ross-financial-disclosure-report-for-2010 1/50

.4010Rev. 1/2011

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010

Report Required by the Ethics

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

1. Person Reporting (last name, f irst, middle initial)

R O S S , A L L Y N E R .

4. Tit le (Art ic le 11I judges indicate ac t ive or senior s ta tus;magistrate judges indicate full- or part- time)

U. S . DIS T RICT JUD GE

7. Cham bers or Of f ice Address

U. S . DIS T RICT C O URT , E. D. N . Y.

225 CA DM A N PLA ZA EAS T , 915 SBRO O KLY N , N Y 1120 1

2. Cour t or Organization

U . S . D . C . E D N Y

5a. Report Type (check appropriate type)

] N o m i n a t i o n , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the basis of the information contained in this Report and anymodif icat ions per taining thereto, i t i s , in my opinion, in comp liancewith applicable laws and regu la t ions .

Rev iewing Off ice r Date

3. Date of Report

05/10/2011

6. Repor ting Per 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 followett Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ( R , ~ o n ~ n g i ,, d ~ v l d ~ a l o , a y ; s e e r p . 9 - , of:ling instructlon~)

[~ N O N E ( N o reportable positions.)

POSITION

1 . T r u s t e e

2.

3.

4.

5.

Trus t # 1

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 o f : l i n g instructions.)

~ (No reportable agreements . )ONE

DATE PARTIES AND TERMS




orS0

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

ROSS, ALLYNE R.

D a t e o f R e p o r t

05/10/2011

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

A. Filer’s Non-Investment Income

[] (N o re porta b le in com e .)ONE non- inves tment

DATE SOURCE AND TYPE INCOM E( y o u r s , n o t sp o u s e ’ s )

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 - If you were m arried daring anyport ion of the report ing year , complete this sect ion.

(Dollar amount not required except for honoraria.)

D (No reportable income.)ONE non- inves tment

DATE

1.1/1 - 2/28

2 . 3 / 3 - 1 2 / 31

3.

4.

SOURCE AND TYPE

Par tn er in Wi l lk ie Farr & G al lag her LLP

Par tn er in S t ro o ck & St ro o ck & Lavan

I V . R E I M B U R S E M E N T S - tr a n s ro .n ~ o n , lodging, food, entertainmen~

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

~] (No repor table re imbursements .)ONE

2.

3.

4.

5.

SOU R C E D AT ES LOCATION PURPOSE ITEMS PAID OR PROVIDED




P a g e 3 o f 5 0

Name of Person Report ing

ROSS, ALLYNE R.


05/10/2011

V . G I F T S . a n c l n d e s t h o s e t o s p o u s e a n d dependent children; see pp. 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 nc l u d c s t h o se o I ~ p o u ~ e u n 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 l iabilities.)

CRE DIT O R DESCRIPTION

1 .

2.

3.

4.

5.

VALUE CODE




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05/10/2011

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 n s u c t i o n s a n a u d e s t h o ~ e o f s p o . s e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)

[] NONE(N o reportable income, assets, or transactions.)

1 . Trust #1

2. -Li fe Insu ranc e Po l i c y i ssued b y

Northwestern Mutual

3. IRA #1

4. -BP PLC

5. -Ha r t fo rd F in S vc s

6. -C i sc o S ys t ems Inc .

7. - G o o g l e

8. -Drey fus Liq u id A sse ts (money m arke t

fund)

9. -Ericsson

1 0 . - Gen era l E lec t r ic

1 1 . -A nna ly Cap t i al Managem ent

1 2 . - Amer ican Ex p res s

1 3 . -Eli Lil ly & Co.

1 4 . -Ci t igroup

1 5 . -Penn W est Ene rgy T rus t

1 6 . -Peps i c o Inc .

1 7 . -Intel

E

None J W

Divid en d O T

B u y 0 7 /23/10 J

B u y 10/06/10 K

B u y 0 1/0 8 /10 K

B uy 0 8/13/10 J

B uy 08110/10 J

B u y 01/08/10 J

See Par t VI I I

2. Value Codes J = $ 15;000 0r le ss K = $ 15 001 - $ 50 000 L =$ 50 10 01 ~: $1 00 ~0 00 : : : M ~$ 10 0~ 00 1 ~ $2 ~0 i~ : : :

(S e e C o lum n s C I a n d D3 ) N = $ 2 5 0 ; 0 0 1 ~ $ 5 0 0 ; 0 0 0 O =$500;001 .- $ i i000,000 Pi--$ii~i~1 ~i~ ~ ~i~;~i ~i~0,000 :

3.Valu e Melhod Codes

(S e e C o lum n C 2 )




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05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , ,e , v u i u e , t~ a n s a c t io , ~ a n c t n d e s t h o s e o l s p o u s e o n d d ep en d en t ch i ld ren ; s ee p p . 3 4 - 6 0 o f f i li n g i n s t r u c t i o n s . )

[] NONE (No reportable income, assets, or transactions.)

1 8 . -Microsoft

1 9 . -Winds t ream Corp . B u y 0 2/25/10

20 . - V i a c o m

21 . - i sh a re s Ba rc l ays S h or t T rea s . Bond Fund

22 . - i sh a re s T RFT JE XIN HUA HK Ch ina 25

I n d e x

2 3 . - P o w e rs h ar e s Ex c h- T r ad e d F u nd F i na l P FD B u y 0 2/0 5/10Portfol io

24 . -Ente rp ri se Prods Pa r tne r s

25 . -Prov iden t Ene rgy T rus t

26 . - P u t n a m P r e m i e r I n c o m e T r u s t

27 . -Ene rp lus Resou rc e s

28 . -Abbott Laboratories B u y 0 3/0 9/10

29 . -Abbott Laboratories Sold 0 5/17 /10

30 . -Bank o f A mer i c a Corp . bu y 0 4 /16 /10

31 . - BlackRo ck Glo ba l En erg y & Reso urcesTr us t

32 . -Y ah oo Inc . Sold 0 7 /21 /10

33 . -Boa rdw a lk P ipe l ine Pa r tne r s

34 . -Mo tors Liq u ida t i on Co . (Former ly Gene ra lMotors Corp)

K

K

K




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N a m e o f P er s on Repor t in g

ROSS, ALLYNE R.


05/10/2011

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

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

35 . -Proc to r & Gamb le Co . B u y 01/08/10 J

3 6. - Ne w Yo rk C o m m u ni ty B a nc o rp

37. -Eaton V ance Limited Duration Income

F u n d

38 . - Ho sp i t a l i ty PPT YS T R bu y ~ 0 7 / 0 9 / 0 9 K

39 . - J o h n s o n & J o h n s o n

40 . - J o h n s o n & J o h n s o n

41 . - K e l l o g g C o .

42 . -Pengrow th Ene rgy T r .

Buy 01/08/10 K

43 . - B r i s to l M y e r s S q u i b b Sold 03/04/10 K

4 4. - D o w C h e m i c a l

45 . - Co n o c o Ph i l li p s

46 . - L in n En erg y Sold 09/21/10 J

4 7. -Coh en&S tee rs In f ra s t ruc tu re Fund S e e P a ~ V I I I

48 . -F i d uc i a r y / C l aymo r e O p p o r t un i t y F un d S old 06/18/10 i J

(part)

49 . - Ke y c o r p Co n y . P f d . So ld 04/14/10 K

A

C

50 . - Invesc o Mo r tgage Cap i t a l

51 . -Q ues t Communic a t i ons

B u y i 10/07/10 J

B u y 0 9 /2 0 /1 0 J

2. Value Codes J = $ 15~000 o r l e s s K =$15,001 - $50,000 L = $ 50,00125100,000 M =$1 0 0 ,0 0 1 , $2 5 0 i0 0 0

(See Col ....C I a n d D3 ) N ~9~0~001 ~ $5001~ 0 ~ $5 0 0 ,0 0 1 - $1 ,0 0 0 ~ 0 o 0 PI ~ $L 0 ~ !~ i ~ $5 ~ 0 0 0 1 o 0 0 P 2 = $ 51000; 001 ~ $ 25 ,000.000

P3 ~$2~!000,00i : $56i~00:000 : ...... ........ P 4 : M 6 ~ e i h a n $ 5 0 1 0 0 0 ! 0 0 03. Value Method Codes Q--Appralsal .... : R~ost(RealEstateOnly)S=AsseS~bh~ T = C a s h M a r k e *

(S e e C o lum n C 2 ) U = B ~ k V a l U e v - - O th~ W =Estima’~d ....




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05/10/2011

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 fillng instructions.)

D (No reportable income, asse ts , or transactions. )ONE

52. -Inshares FTSE NAREIT MTG REITSIndex Fund

5 3 . -Kome Anderson Energy Dev . Co.

54. -Novartis

55. -3 M

56. -IRA # 2

57 . -Dominion Resources

58 . - J ohn s on & J o h n s o n

59 . -Saving Acct. at Citibank

60. -Key corp Preferred

61. -Morgan Stanley Cap TR

62. -Providen t Energy Trust

63 . -John Hancock Bank Fund

64. - An n a ly Ca p i ta l Ma n a ge me n t In c .

65. -Kay ne Anderson Energy Total Return Fund

66. - C o h e n & S t e e rs I n f r a st r u c tu r e F u n d

67 . -Power Shares ETF

68 . -Bristol Myers Squibb Co.

lnt./Div. L

B u y 0 6/22/10 J

B uy 0 5/17 /10 K

B u y 10/28/10 J

B uy 02 /05 /1 0

See Park V III

See Part Villi

1. I n c o m e G a i n C o d e s : A =$1,000 6r less B =$1,001 - $2,500

(See Colamns B I and D4) F =$50,001 - $ 100.000 O = $ t00.001 - $ 1 .000.000

2. Value Codes J = $ 1 5 . D 0 0 or less K =$15.001 - $50.000

{See C o lum r~ C I a n d D3 ) N =$ 250.001 - $ 500.000 O =$ 500.001 - $ 1.000.000

P3 =$25.00(1.001 - $50.000.000

3. Va/ue Method Codes Q =Appraisal R =Cost (Real Estate Only)

(See Column C2) U =B o o k V a lue V =Oth e r

C = $ 2 .501 - $ 5 .000

H I = $ 1 .090.001 - $ 5 .000.000

L =$50.001 - $100.000

P I = $ 1 .000.001 - $ 5 .000.000

P4 =More than $50.000.000

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

W =Estimated

D =$5.001 - $15.000

H 2 =More than $5 ,000.000

M = $ 100.001 - $ 250.000

P2 =$5.000.00t - $25,000.000

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

E =$15.001- $50.000




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

ROSS, ALLYNE R.

I

05/10/2011

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 , t ran sac t i o n s (I n c lu des t ho se o f sp o u se an d dep en den t c h i l dren ; see p p . 34-60 o f fi l in g i n s t ru c t i o n s . )

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

69 . -Pac e O i l and Gas 07/19/10 J

70 . Trus t # 2 A D i v i d e n d

71 . - D o d g e C o x S t o c k F u n d

72 . Ci t ib ank A c c ount s B Interest L T

73 . BN P P a r ib a s DJ S toxx 50 S t ruc tu red N ote N one N T

74 . Ci t iban k NY Tax - Free Reserves Fun d A Divid en d J U

75 . S&P Variable Participation Notes N one N T

76 . Asta Five NY N o n e M T

77 . V a n g u a r d L i m i t e d - T e r m T a x - E x e m p t F u n d E Divid en d O U

78 . Van g uard L imi ted - Term Tax - Ex emp t Fun d


80 . V a n g u a r d L i m i t e d - T e r m T a x - E x e m p t F u n d




84 . V a n g u a r d H i g h Y i e ld T a x - E x e m p t F u n d E Div idend N U

85 . V a n g u a r d H i g h - Y ie l d T a x - E x e m p t F u n d

Redeemed 03/10/10 K

R e d e e m e d 01/12/10 N

(part)

B uy 0 4 / 2 1 / 1 0 M

R e d e e m e d 0 4 /23/10 L(part)

R e d e e m e d 0 4 /29/10 L( p a r t )

R e d e e m e d 0 6/14 /10 K(part)

R e d e e m e d 0 9/20 /10 L(part)

R e d e e m e d 1/24/10 K(part)

B uy 0 1/19/10 N

B uy 02/19/10 L

S e e Par t VI I I

See Par t VIII

S ee Pa r t V I I I

l . Income Gain Codes: A =$1,000 or les~ B :$1,001 - $2.500

(S e e C o lum n s B I a n d D4) F =$50,001 - $100.000 ~3 =$100,001 - $1.000,000

2. Value Codes J = $ 15 .000 o r le ss K = $ 15 .001 - $ 50.000

(S e e C o lum n s C I a n d D3 ) N =$ 250.001 - $ 500.000 O =$ 500,001 - $ 1.000.000

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

3. Value Method Codes Q =Appraisal R = C o s t ( R e a l Estate On ly)

(See Column C2,~ U = Book Valu e V =Other

C = $ 2 .501 - $ 5 .000 D = $ 5.001 - $ 15.000 E = $ 15,001 - $ 50,000

H 1 =$1.090,001 - $5.1.~) ,000 H2 =More than $5.000.000

L =$50.001 - $100.000 M = $ 100.001 - $ 250.000

PI =$t.000.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

P4 =More than $50.000.000T =C a s h M a rke tS =Assessment

W = Es t imated




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

ROSS, ALLYNE R.

Date o f R e p o r t

0 5/10 /20 11

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 ran sact ion s ( In cludes tho se of sp ouse an d depen den t chi ldren ; see pp. 34-60 of filing instructions.)

~ (No reportable income, assets, or transactions.)ON E

86 . V a n g u a r d H i g h - Yi e ld T a x - Ex e m p t t F u n d Redeemed 03/03/10 N(part)

87 . Van g uar d H i g h -Y i e l d T ax -E x ep mt F un d Redeemed 04/23/10 L(part)

88 . V a n g u a r d N Y T a x - Ex e m p t M o n e y M a r k e t A

Fund

Divid en d J U Redeemed 03/10/10 J

(part)

89 . V a n g u a r d N Y T a x - Ex e m p t M o n e y M a r k e tFun d

90 . V a n g u a r d E m e r g i n g M a r k e t s In d e x F u n d B Divid en d M U

R e d e e m e d ¯ 04/07/10 J

(part)

B u y 04/29/10 M

91 . V a n g u a r d M i d - C a p I n d e x F u n d C Divid en d N U B uy 09/01/10 L

92 . W e s t e r n Asset M u n i c i p a l N Y M o n e yMarke t Fund

93 . Weste rn A sse t Munic ipa l N Y Money

Marke t Fund

94 . Weste rn A sse t Munic ipa l N Y MoneyMarke t Fund

95 . Weste rn A sse t Munic ipa l N Y MoneyMarke t Fund

96 . Weste rn A sse t Munc ipa l NY Money Marke t

Fund

97 . Gene ra l A mer i c an Inves to r s

A Divid en d

A Divid en d

R e d e e m e d 01 /21 /10 J(part)

R e d e e m e d 04 /1 6 /1 0 J(part)

B uy 04 /28 /1 0 J

Redeemed 07/21 / 10 J(part)

Redeemed 10/15/I 0 J(part)

98 . WFG-WPX Pa r tne r s LLC N one N W

99 . G o l d m a n S a c h s H i g h Y i el d F u n d

1 0 0 . G o l d m a n S a c h s H i g h Y i el d F u n d

B Dividend Redeemed 02/19/10 M(part)

Redeemed 04/22/10 L

1 0 1 . C o l u m b i a A c o m F u n d C Div idend M U B uy 02/19/10 M

1 0 2 . J P M o r g a n M i d c a p V a l u e F u n d B Divid en d L U B uy 04/22/10 L

: L h a c0 ~ e Ga in C o d e s : A =$L000 011~i~ : : B ~$ii~i ~ $21500 C = $ 2 ; 5 0 1 ~ $ 5 ~ 0 0 0 D = $ 5.001 - $ 15.000 E = $ 15,001 - $ 50,000

(See Columns B1 and D#)F ~$~0 00l ~ $100000 G ~ $ i ~ 0 ~ i i $ i 0 0 0 0 0 0 HI =$1 0O0,001 r $5 090,000 H2 --M0re than $5,000,000

2. Va~ue Codes J =$15.000 or l .... K =$15~001 - $50,000 L =$50;001 i;~i00~000 M ~$100,~i $~0i000 :

(See Co t . . . . .C1 and D 3) N = $250,001 - O = $ 5 0 0 ~ 0 0 1 ÷ $ i ; 0 0 0 1 0 0 0 : PI ~ ~i000i~i: ~0:~0: : ::

P3 =$25,000.001-$50.000,000 P 4 - - M ~ i h a ~ ~ i 0 0 0 ; 00 0 : :3. Value Method Codes Q -A ralsa R =cO~t (R~S Estate On y) ~ ~Ass~ i~ T = ~ h M a r k ~lpp ~ ....

(S e e C o lum n C 2 ) U = Book Valu e V =Oth e r W =Est~raa~ed .......



FINANCIAL DISCLOSURE REPORTI

P a g e 1 0 o f 5 0 IROSS, A L L Y N E R . 0 5 / 1 0 / 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 - income , value, transactions (Includes those of spouse and depend ent children; see p p. 34-60 of f i l ing ins truc tions .)

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

1 03 . Bems te in Glo ba l D ivers i f i ed St ra teg ies L .P . N o n e N T

104. Bem ste in Glob a l O ppor tun i ti e s Hedge Fund E Divid en d M U

LP

1 05 . Bem s te in New Yo rk Mun ic ip a l Po r t fo l io E Divid en d P1 U B u y 0 1/14 /10 J

1 06 . Bem s te in New Yo rk Mun ic ip a l Po r t fo l io B u y 12/07/10 J

1 0 7 . A g r i u m N one J T B u y 0 8/19/10 J

1 0 8 . A g d u m B u y 11/08/10 J

1 0 9 . A l c o a N one J T B uy 11/0 5/10 J

1 1 0 . A l c o a B u y 12/07/10 J

1 1 1 . A s t r a z e n e c a A Divid en d K T B uy 0 5/18 /10 J

1 1 2 . A s t r a z e n e c a B u y 06 /03 /1 0 J

1 1 3 . A s t r a z e n e c a B uy 12/10 /10 J

1 1 4 . A s t r a z e n e c a B uy 12/13/10 J

1 1 5 . Bems te in Tax - Man ag ed In te rn a t io n a l D Divid en d O U B u y 0 5/10 /10 JPortfol io

1 1 6 . Bems te in Tax - Man ag ed In te rn a t io n a l B u y 0 5/12/10 JPortfol io

1 1 7 . S u p e r v a l u A D iv id en d So ld 03 /22 /1 0 J(part)

18 . Supervalu So ld 05 /04 /1 0 J

(part)

19. Supervalu Sold 06 /29 /1 0 J

A

1. I ncome G ain Codes :

( See Co lu mns BI and 134 )

2.Valu e Codes

(S e e C o lum n s C I a n d D3 )

3. V a lue M e th o d C o d e s

(See Colomn C2)

=$l.000 or less B =$1.901 - $2.500 C = $ 2 .501 - $ 5 .000 D =$5.601 - $15.0~)

F =$50,001 r :$100.000 G =$ 10 0,0 01 - $ 1.0 00 ,0 00 H I = $ L0 O0 .0 91 - $ 5.0 ~).0 00 H 2 = Mor e t han $ 5 ,000.000

= $ 15.1~0 o r le ss K = $ 15,0~1 - $50,000 L = $50.001 - $ 100,000 M = $100,001 - $ 250,000

=$250,001 - $500.000 O =$500~001 - $1.000.000 P I = $1 .0 00 .0 01 - $ 5 .0 00 .0 00 F 2 =$ 5. 00 0. 00 1 - $2 5. 00 0. 00 ~

P 3 = $ 25,000.001 - $ 50.000.000 P 4 = M ore than $50.000.009

=Appraisal R =Cost ( R e a l Estate On /y) S = A s s ~ e s s m e n t T =C a s h M a rke l

=B o o k V a lue V =Oth e r W = Es t imated

E =$15,001 - $50.000




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05/10/2011

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 , value , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)

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

120.

1 2 1 . C a b l e v i s i o n S y s t e m s A Divid en d J T B uy 0 4 /29/10 J

1 2 2 . C e n t u r y l in k N o n e J T B u y 09 /22 /1 0 J

1 23 . CF In d us t r i es Ho ld in g s N one J T B u y 08 /1 0 /1 0 J

1 24 . CF In d us t r i es Ho ld in g s B u y 0 9 / 0 9 / 1 0 J

" 1 2 5 . C o m e r i c a A Divid en d J T B u y 05 /05 /1 0 J

126. Commercia l Meta l s A Dividend J T Bu y 04/21/10 J

1 2 7 . A l t r i a G r o u p A Divid en d ’ J T B u y 0 3/25/10 J

1 28 . Al t r i a Gro up Sold 05 /24 /1 0 J(part)

1 29 . Al t r i a Gro up B u y 09/24/10 J

1 30 . Al t r i a Gro up B u y o9/3O/lO J

1 31 . Al t r i a Gro up B uy 10/24/10 J

1 32 . Al t r i a Gro up Sold 12/02/10 J

1 33 . Cash Ba lan ce a t San fo rd C. Bern s te in & Co A Interest K T

134. De l ta Air Lines N one J T B u y 03 /21 /1 0 J

135. De l ta Air Lines B u y 03 /24 /1 0 J

136 . De l ta Air Lines B uy 1/08/10 J

A

B


~See Columns BI and

2.Valu e Codes

1See Columns CI and D3)

3. Value Method Codes


A =$1.000 or less B =$1.001 - $2.50~ C =$2,501 - $5,000 D =$5.001 - $15.000

F =$5 0 .0 0 1 - $ 1 0 0 .0 0 0 . . . . ¯ 0 =$100,001 .- $1.000,000 HI =$ | ,0 0 0 .0 0 1 - $ 5 .0 9 0 .0 0 0 H 2 = Mor e t han $ 5 .000.000

J =$15.000 or less K=$15.001 - $50.000 L = $50.001 - $ 1~0.000: M =$100.001 - $ 250.000

N = $ 250.001 - $ 500.000 O = $ 500.001 - $1 .000,000 PI =$1.000.001 - $5.000,000 P2 =$5,000,001 - $25.~00,000

P 3 = $ 25,000.001 - $ 50.000.000 P 4 = M ore than $50.000.000

Q =Appraisal R =Cost (Real Estate Only) S =Assessment T = C a s h Market

U = Book Valu e V =Oth e r W = E s t i m a ~ :e d

E =$15.001- $50.000




of 50



Date of Report

05/10/2011

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.)

~ (No reportable income, assets, or transactions.)ON E

137. De l ta Air Lines B uy 12/20/10 J

138 . Ace Ltd . A D iv id en d So ld 0 3/0 8 /10 J A

(part)

139. Ace Ltd . Sold 0 4 /28 /10 J A

1 4 0 . D i r e c t T V N o n e J T B uy 0 5/0 5/10 J

1 4 1 . E a t o n C o r p . A Divid en d J T B uy 11/03/10 J

1 4 2 . E a t o n C o r p . B u y 12/06/10 J

1 4 3 . E d i s o n / n t e m a t i o n a l N one J T B u y 12/20/10 J

1 4 4 . H e w l e t t P a c k a r d A Divid en d J T B uy 0 4 /29/10 J

1 4 5 . H e w l e t t- P a c k a r d B uy !0 5/12/10 J

1 4 6 . H e w l e t t- P a c k a r d B u y 0 5/26 /10 J

1 4 7 . H e w l e t t- P a c k a r d B uy 0 6/29/10 J

1 4 8 . H e w l e t t- P a c k a r d B uy 0 7 /0 1 /10 J

1 4 9 . H e w l e t t- P a c k a r d So ld 08 /02 /1 0 J(part)

1 5 0 . H e w l e t t- P a c k a r d So ld 09 /03 /1 0 J(part)

1 5 1 . H e w l e tt P a c k a r d Sold 0 9/15/10 J(part)

1 5 2 . H e w l e t t- P a c k a r d Sold 0 9/17 /10 J

(part)

1 5 3 . H e w l e t t- P a c k a r d Sold 10/01/10 J A(part)

2. Value Codes J =$15’000 ~ i~ ..... K--$i51001 ~ $~0,000 L =$50;001 ; $100,000 ........ M = $ 100,001 - $ 250; 000"

(See Co lu mns CI and 03) 0 ~ $ ~ f f ~ ; ~ ] $ i ; 0 0 0 ,0 0 0 P I ; $ i ! 0 0 ~ 0 o i $ 5 i 0 0 0 i 0 0 0 P 2 - - $ 5 ; 0 0 0 , 0 0 1 ~ S 2 5 ; 0 0 0 , 0 0 0

: P ~ - - M ~ e t h ~ s ~ o , o o o i o 0 o3 V a ue M e th o d C o d e s Q ~ A i ~ i S a T =C a s h M a rke t. ~ pp

(S e e C o lum n C 2 ) U =Book Vatue : V =Oth e r W~Estimated .....

E =$15,001 - $50.000




orS0


ROSS, ALLYNE R.


05/10/2011

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

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

154. Hewlett -Packard

155. Hewlett -Packard

156. He wlett Packa rd

157. H ewlet t -Packard

158 . Ga p A Dividend

159 . G ap

160 . G ap

161. Cameron International None

162. General M otors None

163. Heal th Net None

1 6 4 . A O L None

165. A O L

1 6 6 . H e s s A Dividend

167 . H ess

16 8 . He s s

16 9 . He s s

170. Kimb erly-Clark A Dividend

J

J

J

T

T

T

Sold 10/06/10

(part)

S o l d 1 0 / 2 7 / 1 0( p a r t )

So ld 12/10/10(part)

Sold 1 2 / 1 7 / 1 0

(part)

Buy 03/11/10

Buy 04/07/10

B uy 07/29/10

B u y 11/18/ I01

B u y 11/08/10

B u y 02/16/10

So ld ~ 07/12/I0

B u y 07/28/10

B u y 08/17/10

B u y 08/24/10

So ld 12/22/10

(part)

B u y 08/09/10

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

A

A

A

B

1. InCome Gain Codes : A =$I.000 or less B -$1 ,0 0 1 - $2 .5 0 0

tSe e C ol um ns B1 an d D 4) F =$ 50 .0 01 - $ 10 0.0 00 t3 =$100.001 - $1.000.000

2. V a l u e C o d e s J =$15.000 or less K = $ 15 .001 - $ 50.000

(S e e C o lum n s C I a n d D3 ) N = $ 250.001 - $500.000 O = $ 500.001 - $ 1.000.000

P 3 = $ 2 5 . 0 0 0 . 0 ~ 1 - $50.000.000

3. Value Method Codes Q =Appraisal R = Cos t (Real Estate Only)

(S e e C o lum n C 2 ) U =B o o k V a lue V =Oth e r

C = $ 2 .501 - $ 5 .0~0

H 1 =$1.000.001 - $5.000.000

L =$50.001 - $100.000

PI =$I.000.001 - $5.000.000

P4 =More than $5(3.000.000

S =Assessmenl

W =Estimated

D = $ 5 .001 - $ 15 .000

H 2 =More than 55,000 .000

M = $ 100.001 - $ 250.000

P2 =$5,000,001 - $25.000.000

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

E =$15.001 - $ 5 0 . 0 @ )




Page 1 4 of S0


ROSS, ALLYNE R.


05/10/2011

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 r , e , v u l u e , t r a n s a c t i o n s a n c i a d e s t h o s e o f s p o a s e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)

D N O N E (No repor table income, asse ts , or t ransact ions .)

1 7 1 . K i m b e r l y - C l a rk B u y 11/03/10 J

1 7 2 . K r o g e r N o n e K T B u y 11/23/10 K

1 7 3 . A e t n a A D i v i d e n d J T S old 05/05/10 J

(part)

1 74 . L e a r N o n e J T B u y 0 6 / 25 / I 0 J

1 75 . L e a r B u y 10/28/10 J

1 7 6 . Mar a t h o n O i l A D i v i d e n d K T B u y 05/20/10 J

1 7 7 . Marathon Oi l Bu y 106/18/10 J

1 7 8 . Mar a t h o n O i l B u y 06/22/10 J

1 7 9 . N ew f i e l d E x p l o r a t io n N o n e J T B u y 02/16/10 J

1 8 0 . N ew f i e l d E x p l o r a t io n B u y 03/22/10 J

1 8 1 . N ew f i e l d E x p l o r a t io n S old 06/15/10 J(part)

1 8 2 . N ew f i e l d E x p l o r a t io n B u y 10/04/10 J

1 8 3 . A K S t e e l H o l d in g N o n e S old 04/28/10 J

1 8 4 . P a r ke r H an n i f i n A D i v i d e n d K T B u y 08/06/10 J

1 8 5 . P a r ke r H an n i f i n B u y 08/23/10 J

1 8 6 . P a r ke r H an n i f i n B u y 12/06/ I0 J

1 8 7 . E . I . D up o n t A D i v i d e n d So ld 04/16/10 J

(part)

1 . Incom e G ain Codes: A = $ 1.000 o r less

(S e e C o lum n s B I a n d D4J F =$50.001 - $100.000

2. Value Codes J =$15.000 or less

ISee Columns C1 and D3) N =$250,001 - $500.000

P3 =$25,000,001 - 550.000.000

3. Value Method C o d e s Q =Appraisal

(S e e C o lum n C 2 ) U = Book Valu e

=$1.001 - $2.500 C =$2.501 - $5~000 D =$5,001 - $15.000 E =$15.001 - $50.000

= $ 1 00 .0 0 1 - $ 1. 0 00 ,0 0 0 H 1 - - $ 1, 0 0 O , 0 0 1 - $ 5 . 0 0 0 ,0 00 H 2 = Mor e t han $ 5 .000.000

=$15.001 - $50.090 L = $ 50.001 - $ 100.000 M =$100.001 -$250,000

- $5 00.0 01 - $ 1.0 00 .0 00 P I = $1 .[ ]00 .0 01 - $ 5.0 00.0 00 P2 =$ 5.00 0.0 01 - $2 5.00 0.0 00

P4 =More than $50.000.000= C o s t ( R e a l E s t a t e On ly) S =Assessmen~ T =C a s h M a rke t

=Other W =Estimaled




of 50

N a m e o f P er s on R e p o r t i n g

ROSS, ALLYNE R.

D a t e o f R e p o r ~

05/10/2011

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 lu e , ~ a ns o c t i o n~ ( I nc l ud e s t h o s e o f s p o us e a n d d ep en d e n t ch i ld ren ; s ee p p . 34-60 o f f i li n g i n s t ru c t i o n s . )

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

( inc lud ing [~s t a~e~)

...... exempt

1 8 8 . E . I . D up o n t So ld 05/28/10 J

( p a r t )

1 8 9 . E . I . D up o n t So ld 06/21/10 J(part)

1 9 0 . E . I . D up o n t So ld 06/28/10 J

1 9 1 . R ay th eo n N o n e J T B u y 11/19/10 J

1 9 2 . R ay t h eo n So ld 12/09/10 J

(par t )

1 9 3 . R o y a l C a r i b b e a n C r u i s e s N o n e J T B u y ! 01/20/10 J

1 9 4 . R o y a l Caribbean C r u i s e s So ld 11/02/10 J(part)

1 9 5 . S a f e w a y A D i v i d e n d J T B u y 03/25/10 J

1 9 6 . S a f e w a y B u y 04/05/10 J

1 9 7 . E n sco A D i v i d e n d J T B u y 02/18/10 J

1 9 8 . En sc o B u y 02/22/10 J

1 9 9 . E n sc o B u y 04/22/10 J

2 0 0 . E n s c o B u y 05/06/10 J

2 0 1 . E n s c o J B u y 06/02/10 J

2 0 2 . E n s c o So ld 07/15/10 J

2 0 3 . F o r d M o t o r C o . N o n e K T B u y 02/01/10 J

2 0 4 . F o r d M o t o r C o . B u y 02/03/10 J

A

B

B

(See Co lu mns Bl~nd D4) F = $ 5 0 , 0 0 1 ; $ 1 0 0 , 0 0 0 ~ 3 ~ $ 1 0 0 ; 0 0 1 ~ $ 1 ; 0 0 0 , 0 0 0 H I -f i, 00 0, 00 1 ? $ 5 ,0 00 ,0 00 H 2 =M o re th an $5 ,0 9 0, ~

2. Value Codes J =$15,000 or less K =$15,00i ’ SS0;000 ~ =$5 0 ,0 0 i ~ $ i0 0 ,0 0 ~ :

(See Col ....C I a n d D3 ) N =$250,001:~ $50~.000 :~ i ~ $ i ~ 0 0 0 ,0 0 i r $5 + 0 0 0 1 0 0 0

P3 =$25,000;001 = $50,000,000 ..... P~=Morethan$50;o00,o003. Value Mcthod Codes Q-A rasa ...... R=CO st (R~a E s l a t e o n y ) S’AssesSm~nt ......pp - .........

(S e e C o lum n C 2 ) U = Book Valu e V =Oth e r W =Eslimated




of 50


ROSS, ALLYNE R.


05/10/2011

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 n s o e t i o n s a n a u d e s t h o s e of s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)

[] (No reportable income, asse ts , or transactions. )ONE

2 0 5 . F o r d M o t o r C o .

2 0 6 . F o r d M o t o r C o .

2 0 7 . F o r d M o t o r C o .

2 0 8 . F o r d M o t o r C o .

2 0 9 . F o r d M o t o r C o .

2 1 0 . F o r d M o t o r C o .

2 1 1 . F o r d M o t o r C o .

2 1 2 . A r c h e r - D a n i e l s M i d l a n d

.213. A r c h e r - D a n ie l s M i d l a n d




2 1 7 . S a r a L e e C o r p .

2 1 8 . S a r a L e e C o r p .

2 1 9 . S a r a L e e C o r p .

2 2 0 . S a r a L e e C o r p .

2 2 1 . S a r a L e e C o r p .

A Divid en d

A Divid en d J T

B u y 03/15/10 J

B u y 04/20/10 J

B u y 05/11/10 J

S old 06/25/10 J

(part)

So ld 10/15/10 J(part)

So ld ll/ll/10 J(part)

S old 11/22/10 J( p a r t )

S old 02/17/10 J

(part)

So ld 05/04/10 J

(part)

B u y 10/21/10 J

B u y 10/26/10 J

S old 12/10/10 J

( p a r t )

B u y 04/15/10 J

B u y 05/07/10 J

B u y 05/25/10 J

B u y 06/14/10 J

S old 10/01/10 J

(part)

A

A

B

A

A

2. V alue C odes J = $ i5;000 0 r less K =$15,001, $50,060 .... :

{ Se e C ol um ns CI an d D 3) N =$ 25 0:0 01 - S5 00 10 00 O =S 5 0 0 ,0 0 i r $1 ,0 0 0 ,0 0 0

P3 =$25.000.001- $50,000.000

3 . Valu e Method Codes Q =Appraisal R =cOst (Real Estate Only~

(See C olu m n C 2) U =B oo k V alue V =Oth e r W ~E~i~hi~d :: :




of 50


ROSS, AL L YNE R .


05/10/2011


D (No reportable income, assets, or transactions.)ONE

222. Accen tu re PLC Ir e land A Divid en d J T B uy 10/04/10 J

223. Accen tu re PLC Ir e land B u y 11/01/10 J

2 2 4 . A l l e r g a n . N o n e J T B u y 11/18 /10 J

2 2 5 . A l l e r g a n B uy 12/31 /10 J

2 2 6 . C a m i v a l C o r p A Divid en d J T B u y 1 0/1 9 / I0 J

2 2 7 . C a r n i v a l C o r p . B uy 10 /29 /1 0 J

2 2 8 . C a r n i v a l C o r p . B uy 12/13/10 J

2 2 9 . C i t r i x N o n e J T B uy i 09/23/10 J

2 3 0 . C i t r i x B u y 10/12/10 J

2 3 1 . C i t r i x B uy 10/27/10 J

2 3 2 . C i t r ix B uy 12/23/10 J

2 3 3 . D o w C h e m i c a l A Divid en d J T B uy 02 /04 /1 0 J

2 3 4 . D o w C h e m i c a l B u y 05 /28 /1 0 J

2 3 5 . D o w C h e m i c a l B uy 0 7 /19/10 J

2 3 6 . D o w C h e m i c a l B uy 0 8/0 3/10 J

2 3 7 . D o w C h e m i c a l B uy 0 8/0 4 /10 J

2 3 8 . D o w C h e m i c a l B uy 0 9/0 1 /10 J

H 2 - - M o r e t h a n $ ~ , 0 ~ 0 , 0 0 0

2. Va~ue Cod~ ~ = S , 5 ,O O 0 o ~ i . . .. . . . . .. : r~ ~$~00,00i- ~50,000 .....(See Columns C1 and D3) N =$250,001 - $500,000 : 0 ~ $b ~ ;0 6 i ~ ~ i i~ 6 1 0 0 0 P i = $ i i ~ i o o i ~ ~ o o ~ i o o 0 P 2 ~ $ ~ i 0 0 0 ~ 0 0 i . - $ 2 5 ; 0 0 0 1 0 0 6 :

3 . Valu e Method Codes Q~A p ra S~ Estate 0~ ~i : S-AsseSSment: : T £C a s h M a rke t

(S e e C o lum n C 2 ) U =Book Value ....... ..... ..... W =E ~ i~ a t~d




of 50


ROSS, ALLYNE R.

Date of Report

05/10/2011

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 , t ~ a n ~ a c t i o n s 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 of filing instructions.)

[] (No reportable income, assets, or transactions.)ON E

239 . Ex p res s Sc r ip t s In c . N one J T B uy 0 5/0 4 /10 J

240 . Ex p res s Sc r ip t s In c . B uy 06/11 / I0 J

241 . Ex p res s Sc r ip t s In c . B uy 0 6/14 /10 J

242 . Ex p res s Sc r ip t s In c . B u y 10/08/10 J

243 . Ex p res s Sc r ip t s In c . B uy 12/09/10 J

2 4 4 . F l o w s e r v e C o r p N one J T B u y ! 10/25/1 0 J

2 4 5 . F l o w s e r v e C o r p . B u y 11/12/10 J

2 4 6 . G o o d r i c h C o r p . A Divid en d J T B uy 0 4 /0 9/10 J

2 4 7 . G o o d r i c h C o r p . B uy 10/28/10 J

2 4 8 . I n t u i t N one J T B uy 12/16 /10 J

2 4 9 . J u n i p e r N e t w o r k s N o n e J T B uy 0 8/23/10 J

2 5 0 . J u n i p e r N e t w o r k s Sold 10/15/10 J(part)

2 5 1 . M a r v e l l T e c h n o l o g y G r o u p N one J T B uy 1/02/10 J

2 5 2 . M a r v e l l T e c h n o l o g y G r o u p B uy 1/11/10 J

2 5 3 . A p a c h e C o r p . Sold 1/03/10 J

2 5 4 . N o b l e E n e r g y I n c . A Divid en d J T B uy 01 /26 /1 0 J

2 5 5 . N o b l e E n e r g y I n c . B uy 01 /29 /1 0 J

A

See Par t VI I I

2 . V a l u e C o d e s J = $ 1 5 0 0 0 0 r le ss K ~ $ 1 5 ,0 0 1 ~ $ 5 0 ,0 00 L = $ 5 0 0 0 1 - $ 1 0 0 0 0 0 M = $ 1 0 0 . 0 0 1 - $ 2 5 0 ~ 0 0 0

(S e e C o lum n s C I a n d D3 ) N = $2 50 ;0 01 ~ $5 00 ;0 00 .. .. O ~$ 50 0. 00 1 .- $ i; 00 0, 00 0 PI =$1 000.001 ~ $5;000i000 P2 =$5 000~00I - $25,000 000

P3 =$25,0oo,0ol : ~50100oi00o ............ P4 =M ore than $50~000i000

3 . Valu e Method Codes Q ~ p p ~ a i~ a!(Real Es~ate

0 n ly) S =Assessment .... T =Cash Market

(S e e C o lum n C 2 ) U = Book ValU e ~ --Other W --Estimated

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




of 50




05/10/2011

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 u e , ~onsactlons (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

D (No reportable income, a ssets, or transactions.)ON E

2 5 6 . N o b l e E n e r g y I n c . B uy 0 4 /12/10 J

2 5 7 . N o b l e E n e r g y I n c . B uy 07/1 4 /1 0 J

2 5 8 . N o b l e E n e r g y I n c . Bu y 10/06/10 J

259 . Po tash Co rp . o f Saska tchewan N o n e J. T Bu y 12/16 /10 J

26 0 . Po lash Co rp . o f Saska tchewan B uy 12/20/10 J

2 6 1 . R o v i C o r p . N o n e J T B uy 12/15/10 J

262. Sou thwes tern Energy N one J T B uy 10/21/10 i J

26 3 . So uthwes te rn En erg y Bu y 11/18 /10 J

2 6 4 . S o u t h w e s t e m E n e r e g y B uy 11/22/10 J

265. Occiden ta l Pet ro leum A Divid en d J T Sold 0 1/20 /10 J(part)

266 . Occiden ta l Pet ro leum Sold 0 2/0 8 /10 J(part)

267. Occiden ta l Pet ro leum Bu y 07/01/10 J

268 . Occiden ta l Pet ro leum B uy 0 7 /0 9/10 J

269. Occiden ta l Pet ro leum Sold I 1/11/10 J

(part)

2 7 0 . S t a n le y B l a c k & D e c k e r I n c N one J T Bu y 12/22/10 J

2 7 1 . S t a r b u c k s A Divid en d J T Bu y 0 9/0 7 /10 J

2 7 2 . S t a r b u c k s Bu y 10/07/10 J

B

B

~ ~$i00:00i : $1 ,0001000

2. V alue C odes J--$15 000 or less K =$15,001 - $50,000

(See Colurrms CI and D3) N =$250 001 25500 000 O ~$500i~1 - $1 ,000,000

P3 =$25,000,00i ~ $50~000,000

3 . Valu e Method Codes Q =Appraisal R =COst (Red ! Estate Only)

( See Co lu n’ m C2) U = Book Valu e V = O t h e r

=$2,501 ~ $5,000 D = $ 5,001 - $ 15,000 E =$ 15 ,001 - $ 50,000

H I = $1 ,0 00 ,0 01 , $ 5. 00 0. 00 0 H 2 = M o r e t h a n $5 ,0 00 ,0 00

=$5o,001 - $1oo.000=$100~o01 ~=$1.000,00i - $5~000;~0

P4 =M o re th a n $5 0 ,0 0 0 .0 0 6 : :S =Assessnlent T ~esh Market .....

=Estimated




of 50



Date of Report

05/10/2011

VII . I N V E S T M E N T S a n d T RU STS - i n c o m e , v a t u e , ~ . . . . . d o n s (Includes those of sp ...... d dependen t ch ildren ; s ee p p . 3 4 - 6 0 of f!l lng instructions.)

D (No reportable income, assets, orON E transactions.)

273 . Sta rbucks Bu y 1’0/25/10 J

274 . Sta rbucks B uy 11/30/10 J

2 7 5 . N o b l e C o r p . A D i v i d e n d B uy 02 /26 /1 0 J

2 7 6 . N o b l e C o r p . So ld 05 /25 /1 0 J

2 7 7 . G o l d m a n S a c h s A D i v i d e n d K T Bu y 01 /22 /1 0 J

2 7 8 . G o l d m a n S a c h s Bu y 01 /25 /1 0 J

2 7 9 . G o l d m a n S a c h s B uy 02 /1 6 /1 0 J

2 8 0 . G o l d m a n S a c h s So ld 04 /1 6 /1 0 J(part)

2 8 1 . G o l d m a n S a c h s So ld 04 /21 /1 0 J(part)

282. G o ld m an Sa c hs So ld 04 /30 /1 0 K(part)

2 8 3 . G o l d m a n S a c h s Sold 0 6 / 0 1 / 1 0 J(part)

2 8 4 . G o l d m a n S a c h s Bu y 07/1 6 /1 0 J

2 8 5 . G o l d m a n S a c h s B uy 07/23 /1 0 J

2 8 6 . G o l d m a n S a c h s Bu y 08 /04 /1 0 J

2 8 7 . G o l d m a n S a c h s B uy 08 /24 /1 0 J



L Income Gaih Codes: A =$1,000 or less

: : ; ( S e e C o l u m n s B 1 a n d D 4 ) F ~ $ 5 0 ~ 0 0 1 - $ 1 0 0 ; 0 0 0

2. Value Codes J =$15.000 or less

(S e e C o lum n s C I a n d D3 ) N =$250,001 - $500,000

P 3 = $25 ,000.001 - $ 50,000,000

3. Value Method Codes Q =Appraisal

(S e e C o lum n C 2 ) U =B o o k V a lue

= $ 1 ; 0 0 1 ~ $ 2 i 5 0 0 C = $ 2 . 5 0 i $ ~ i 0 0 0 D = $ 5 ,001 - $ 15 ,000 E =$15,001 - $50,000

= $ 1 0 0 1 0 0 i ~ $ i 0 0 0 . 0 0 0 H I ~ $ 1 0 O 0 0 O l , $ 5 ; 0 0 0 ,0 0 0 : : : H 2 - - M o r e t h a n $ 5 , 0 9 0 ,0 0 0

K = $ 1 5 . 0 0 1 ~ $ 5 0 , 0 0 0 i ~ ~$100.00i- $250,000

=$500100i ~ SL000,000 PI--$ii~i- P 2 = $ 5i000i001 - $ 25 ,000,000

R =Cost (R eal Estate Only) : T =Cash Market .................

=Other W =EstiMated




of 50



Date of Report

05/10/2011

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 , , r a . s a e t io ~ s a n c l . d e s t h o s e o l s p o . s e and dependent children; see pp. 3 4 - 6 0 of filing instructions.)

D (No reportable income, asse ts , or transactions. )ONE

2 9 0 . G o l d m a n S a c h s B u y 10/18/10 J

2 9 1 . I n t e l C o r p . A D i v i d e n d J T S old 05/04/10 J A

(part)

2 9 2 . I n t e l C o r p . So ld 05/18/10 J A

( p a r t )

2 9 3 . I n t e l C o r p . So ld 06/30/10 J A(part)


(part)

2 9 5 . I n t e l C o r p . S old 07/15/10 J B

(part)

296. I n t e l C o r p . S old 08/12/10 i J B

(par t )


( p a r t )

2 9 8 . I n t e l C o r p . So ld 09/30/10 J

(par t )

2 9 9 . B u n g e L t d . A D i v i d e n d J T So ld 01/25/10 J

(part)

3 0 0 . B u n g e L t d . B u y 06/10/10 J

3 0 1 . B u n g e L t d . B u y 07/06/10 J

3 0 2 . M i c r o s o ft A Divid en d K T So ld 01 /1 1 /1 0 J( p a ~ t )

3 0 3 . M i c r o s o ft Bu y 03 /08 /1 0 J

3 0 4 . M i c r o s o ft Bu y 04/29/10 J

3 0 5 . M i c r o s o ft So ld 06/23/10 J

(part)

3 0 6 . P r o c te r & G a m b l e B u y 05/18/10 J

A


I See Co lu mns B1 and D 4 J

2.Valu e Codes

(See Columns C1 and D3)

3.Valu e Mcthod Codes

(S cc C o lum h C 2 I

A = $ 1.000 o r less B = $ t.001 - $ 2.501)

F =$50,001 - $100.000 G =$100.001- $1 .000,000

J =$15.000 or less K =$15,001 - $50.000

N =$250,001 - $500.000 O =$500.001 - $1.000,000

P3 ~$25,000.001 - $50.000,000

Q =Appraisal R =Cost (Real Estate Only)

U -B o o k V a lue V = O ~ c r

C =$2 .5 0 t - $5 .0 0 0 D = $ 5 .001 - $ 15 .000 E --$15,001 - $50,000

H I = $ 1. 00 0, 00 1 - $ 5. 00 0, 00 0 H 2 =M o re th an $ 5, 00 0.0 00

L =$50,001 - $100,000 M = $ 100.001 - $ 250.000 "

PI =$t,000,001 - $5.000,000 P2 =$5;000,001 - $25,000.000

P4 =More than $50.~O0.000

S =Assessment T =C a s h M a rke t

W =Estimated




of 50

N a m e o f P e r so n Report ing

ROSS, ALLYNE R.

Date of R e p o r t

05/10/2011

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


3 0 7 . P r o c t o r & G a m b l e B uy 0 5/21 /10 J

3 0 8 . P r o c t o r & G a m b l e B uy 06 /1 7 /1 0 J

3 0 9 . P r o c t e r & G a m b l e B u y 06 /24 /1 0

3 1 0 . P r o c t o r & G a m b l e B uy 06 /29 /1 0

3 1 1 . P r o c t o r & G a m b l e Sold 10/01/10(part)

3 1 2 . P r o c t e r & G a m b l e Sold 11/12/10

J

J

K

J A

313. Costco A Divid en d J T B u y 05/05 /10 J

3 1 4 . C o s t c o So ld 08 /1 0 /1 0 J

(part)

3 1 5 . C o s t c o Sold 09/22/10 J A(part)

3 1 6 . C o s s t c o Sold 10/06/10 J A(part)




3 2 0 . C o m i n g A Divid en d J T Sold 0 2/10 /10 J A(part)

3 2 1 . C o m i n g So ld 02 /22 /1 0 J A( p a r t )

3 2 2 . M e t l if e N one So ld 03 /08 /1 0 J C

323. Spr in t Nextel No n e So ld 04 /1 3 /1 0 J

2 . V a l u e C o d e s J = $ 1 5 ~ 0 ~ 0 o r l e s s K=$15;001 ; $50,000 L =$50i001 ~ $!00,~0 M --$~00~] ~0;000

( S e e C o l u m n s C ! a n d 0 3 ) N = $ ~ 5 0 , 0 0 1 - * 5 0 0 . 0 0 0 O ~$500,001 -$ L000;000

P 3 =S 2 5 ,0001 001 - $5 0 .000 ,000 ::3. Value M e t h o d C o d e s Q =Ap p r a i s a l R-~ost(Real Estat¢ Only

)

(Se e C o lu m n C 2 ) O = B o o k V a lu e V = O t h e r W ~Estimat~d ....




of 50



Date of Report

05/10/2011

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 , vutue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)


324. Spr in t Nextel

325 . Spr in t Nextel

3 2 6 . Q u a n t a S e r v i c e s

3 2 7 . S u n c o r E n e r g y

3 2 8 . U n i t e d P a r c e l S e r v ic e

: 329 . Uni ted Parcel Serv ice




3 3 3 . U n i t e d P a r c e l S e r v i c e



3 3 6 . V a l e S A

3 3 7 . V e r t e x P h a r m a c e u t i c a l s

3 3 8 . V i s a I n c .

3 3 9 . V i s a I n c .

3 4 0 . V i s a I n c .

N o n e

N o n e

A D i v i d e n d

N o n e

N o n e

A Divid en d

J

J

J

J

T

T

T

T

Sold 0 7 /0 1 /10 J( p a r t )

Sold 0 9/20 /10 J

Sold 0 5/0 3/10 J

Sold 0 5 / 1 9 / 1 0 J

Sold ’01 /15/10 J(part)

Sold 0 2/0 1 /10 J(part)

B uy 0 8/13/10 J

B uy 09 /07 /1 0 J

B uy 10 /19/10 J

B uy 10/20/10 J

B uy 10/29/10 J

B uy 11/23/10 J

Sold 02/ t8 /10 J

B uy 0 5/20 /10 J

B uy 0 7 /16 /10 J

Sold 0 8 /3 0 /1 0 J

(part)

Sold 09 /22 /1 0 J

(part)

A

B

S ee Pa r t V I I I


tSee Columns B1 and D4)

2.Valu e Codes

iSee Columns C1 and D3)

3. Valu e Method Codes


A =$1.000 or less B =$1 .0 0 1 -$2 .5 0 0 C = $ 2 ,501 - $ 5 .000 D =$5.001 - $15.00~

F.=$50,001 - $100.000 13 =$t 00.00t : : $1 .000,000 : H 1 =$1.000,001 - $5.000.000 1 - 1 2 = M o r e lh a n $ 5 . 0 0 1 k 0 0 0

J = $15.000 or less K = $15.0 01 -$ 50.00 0 L = $50.001 - $ 100.000 M = $100.001 - $ 250.000

N = $ 250.001 - $ 500.000 O =$500,001, $1 .000.000 P I =$ 1, 00 0. 00 1 - $ 5. 00 0. 00 0 P 2 =$ 5. 00 0. 00 1 - $2 5. 00 0. 00 0

P 3 = $ 25.000.001 - $ 50.000.000 P 4 = M ore than $50.000.000

Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =C a s h M a rke t

U =B o o k V a lue V =Oth e r W = Es t imated

E =$15.00t- $50,000




of 50

N a m e o f P e r s o n Repor ting


Date o f R e p o r t

05/10/2011

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 , v . i u e , t ra n s a c t io n s a . c ln d e s t h o s e o l s ~ ’ o u s ~ ~ n d d e p e . d e n t children; see pp. 3 4 - 6 0 o f f i l in g i n s t r u c t i o n s . )


3 4 1 . V i s a I n c . So ld 10/01/10 J A

3 4 2 . C o m m u n ity H ea lth Sy ste m s No n e B uy 04/26/10 J

3 4 3 . C o m m u n i t y H e a l th S y s t e m s Sold 09/20/10 J

3 4 4 . C a p i t a l O n e F i n a n c i a l C o r p .




3 4 8 . G a n n e t t

3 4 9 . F l e x t r o n i c s

Divid en d

N o n e

N o n e

B u y 05/04/10

B u y 05/05/10

S o l d : 06/23 /10

(part)

B u y 08/30/10

B u y 10/05/10

So ld 01/02/09

J

J

J

J

J

J S ee Pa r t V I I I

3 5 0 . D e l l N o n e K T Sold 0 4 /12/10(part)

3 5 1 . D e l l Sold 0 4 /26 /10(part)

3 5 2 . D e l l Sold 0 5/10 /10

(part)

3 5 3 . D e l l B uy 09 /09 /1 0

3 5 4 . D e l l B uy 10/04/10

3 5 5 . D e l l Bu y 10/06/10

3 5 6 . D e l l Bu y 10/11/10

J

J

J

J

J

J

J

3 5 7 . D e l l Bu y 11/17/10 J

2 . V a l u e C o d ~ J ~$15,000 9~ {ess

.....= $ ! 5 0 0 , - $ 5 0 0 0 0 L ~$50001- $100 000 M =$I00,001- $250,000

(S e e C o lun m s C I a n d O3 ) N = $ 250,001 - $ 500,000 O ~$5003001 - $1,000,000 PI =$t;000;00i - $5.000,000 P 2 L $ 5 , 0 0 0 ; 0 0 1 - $ 2 5 ~ 0 0 0 , 0 0 0

P3 =$25~000;001- $50;000,000 P4 ~Mpr¢ than $501000.000

3 . Valu e Method Codes Q =A ppra isa l R =Cost (ReaI Estate only) s --Assessment T =C a s h M a rke t

(S e e C o lum n C 2 ) U =B o 0 k V a lUe V =Oth e r W =Estimated




of 50



D a t e o f R e p o f f

05/10/2011

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


3 5 8 . H o m e D e p o t N one Sold 01/13/10 J B

3 5 9 . L o w e ’ s C o s .

3 6 0 . L o w e ’ s C o s .

3 6 1 . L o w e ’ s C o s .

3 6 2 . L o w e ’ s C o s .

3 6 3 . L o w e ’ s C o s .

3 6 4 . Lo we’s Co s .

6 6 5 . P e p s i c o

3 6 6 . P e p s i c o

3 6 7 . P e p s i c o

3 6 8 . P e p s i c o

3 6 9 . P e p s i c o

3 7 0 . P e p s i c o

3 7 1 . P e p s i c o

3 7 2 . P r i n c i p a l F i n a n c i a l G r o u p



A Divid en d K

A D i v i d e n d

N one

Sold 0 1/26 /10 J

(part)

Sold 03/08/10 J

(part)

B uy 0 4 / 2 1 / 1 0 J

B uy 0 5/20 /10 J

B uy 1 2 / 0 9 / 1 0 J

B u y 12/10/10 J

Bu y 0 5/0 5/10 J

Sold 0 7 /16 /10 J(part)

Sold 10/20/10 J(part)





B uy 0 4 / 0 1 / 1 0 J

B uy 0 4 /0 5/10 J

Sold 0 5/10 /10 J(part)

A

A

A

A

A

A

A

2. Value Codes J =$15,0~0 or less K =$15,001 ~ $50.000

(S e e C o lum n s C I a n d D3 ) N = $ 2 5 0 ~ 0 0 1 ~ $ 5 0 0 , 0 0 0 O=$5 0 0 ,0 0 1 -$1 ,0 0 0 .0 0 0

P3 =$25,000 001 . $50,000~000

3 . V alu e M ethod C odes Q =Appraisal R =Cost (Real Esta te O nly )

(S e e C o lum n C 2 ) U = Book Valu e V =Other

c =$2 , 5o l - $5~ o0 o 0 - -$5 . oo i - $15 , ooo E =$15 . 0 0 1 - $50 . 0 O OH I = $ 1 0 0 0 0 0 [ :. $ 5 0 0 0 .0 0 0 H 2 ~ M o r e th a n $ 5 0 g 0 0 0 0

L = $ 5 o , o o I , $ 1 0 o ,o 0 0

P4 =More than$50,000,000 : : : ....

s =nssessmen~ .... X=C~sh M~i~et .....

W = E s t im a t e d :




of 50

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

ROSS, ALLYNE R.


05/10/2011


[] (No reportable income, asse ts , or transactions. )ONE

3 7 5 . P r i n c i p a l F i n an c i a l G r o up S old 06/11/10 J

3 7 6 . C h e v r o n C o r p . A Divid en d J T B uy 03/23/09 J

3 7 7 . C he v ro n C o rp . So ld 0 1/22/10 J B

(part)

3 7 8 . C h e v r o n C o r p . Sold 03/24/10 J A(part)

3 7 9 . J . P . M o r g a n C h a s e A Div idend K T B uy 03 /04 /1 0 J

380. J.P. Morgan Chase Sold 03/12/10

( p a ~ )

381. J.P. M o r g a n Chase Sold 03/30/10

(part)

382. J.P. Morgan Chase Buy 04/01/10

3 8 3 . J . P . M o r g a n C h a s e Sold 04/28/10 J(part)

3 8 4 . J .P . M o rg a n C h a se So ld 05/04/10 J( p a r t )

3 8 5 . J . P . M o r g a n C h a s e Sold 05/07/10 i J(part)

3 8 6 . J . P . M o r g a n C h a s e B uy 06 /1 5 /1 0 J

3 8 7 . J . P . M o r g a n C h a s e B uy 06/17/10 J

3 8 8 . J .P . M o r g a n C h a s e

A

A

389. J.P. Morgan Chase

3 9 0 . J . P . M o r g a n C h a s e

391. J.P. Morgan Chase

B uy 08/23/10 J A

B uy 08 /30/10 J A

B uy 09/16/10 J A

B uy 10/18/10 J A

!.I ncome G ain Codes :

(S e e C o lum n s B I a n d D4)

2.Valu e Codes

(See Columns C1 and D3)

3. Value Method Codes


A =$1,000 or Jess

F = $5 0 .0 0 1 - $ 1 0 0 . 0 0 0

J =$15.000 or less

N =$250.001 - $500.000

P3 =$25.000.001 - $50.000.000

Q =Appraisal

U =B o o k V a lue

B -$ 1.001 - $ 2 .50(} C = $ 2 .501 - $5 .000 D = $ 5 .001 - $ 15.0~0

O = $10 0;0 01 - $1 .00 0.00 0 H I = $1 .00 0.0 01 - $ 5.0 00 .0 00 H 2 = Mo re th an $5 .0 00 .0 00

K =$15.001 - $50.000 L =$50.001 -$100.000 M =$100.001 -$250.000

O =$500,001 - $1.000.000 PI =$1,000,001 - $5,000,000 P2 =$5.000.001 - $25.000.0~0

P4 =More than $50.000.000R = C o s t (Real Estate Only) S =Assessment T =C a s h M a rke t

V = Other W = Es t imated

E =$15,001 - $50,000




of 50




05/10/2011

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 o f spouse and dependent children; see pp. 34-60 of filing instructions.)

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

3 9 2 . R o w a n C o m p a n ie s B uy 03/31/10 J

3 9 3 . R o w a n C o m p a n i e s So ld 05 /1 7 /1 0 J(part)

3 9 4 . R o w a n C o m p a n ie s So ld 11/16 /10 J

3 9 5 . J . P . M o r g a n C h a s e Bu y 10/22/10 J

3 9 6 . M e d c o H e a l t h S o lu t i o n s No n e So ld 04 /30 /1 0

( p a r t )

3 9 7 . M e r c k A D iv id en d So ld 03 /1 9 /1 0

(part)

3 9 8 . M e r c k So ld 05 /03 /1 0

(part)

3 9 9 . M e r c k So ld 06/16/10(part)

4 0 0 . M e r c k Sold 06/23/ I0(part)

4 0 1 . M e r c k Sold 08/13/10

J

J

J

J

J

J

4 0 2 . I l l in o i s T o o l W o r k s No n e Bu y 04/22/10 J

4 0 3 . I l l in o i s T o o l W o r k s So ld 06 /1 1 /1 0

(part)

4 0 4 . I l l i n o is T o o l W o r k s So ld 06 /1 8 /1 0

(part)

4 0 5 . I l l in o i s T o o l W o r k s So ld 08 /1 9 /1 0

(part)

4 0 6 . I l l in o i s T o o l W o r k s So ld 09 /24 /1 0

(part)

4 0 7 . I l l in o i s T o o l W o r k s Sold 10/20/10

(part)

4 0 8 . l l l in o i s T o o l W o r k s Sold 11/03/10(part)

J

J

J

J

J

J

A

A

A

A

A

B

A

A

2. Value Coa~s J =$15~000 or I ............ K = $ 15 ,00i ~ $ 50,000 L = $ 5 0 1 0 0 1 : $ 1 0 0 ; 0 0 0 M ~ $ ~ 0 o i ~ l ~ ~ 0 ,0 0 0

(See Col ....C I a n d D3 ) N =- $250;001 ~ $~00~000 : 6 ~$500i00i $L000,000 P ! =$L00o ,0o i

P3 =$25,000.0oi : $50:000~000 .... P 4 ~M0~e than

3. Value Method Codes Q =A ppra isa l : R =Cost (R eal Estate Only) S

(S e e C o lum n C 2 ) O =B o o k va lue v =O ther W =Estimated




of 50

N a m e o f P e r s o n Repor ting


Date of Report

05/10/2011

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 s a c t i o n s a n a u d e s t h o s e o f s p o u s e a n d d ep en d en t ch i ld ren ; s ee p p . 3 4 - 6 0 o f f i l i n g instructions.)


4 0 9 . I l l in o i s T o o l W o r k s Sold 11/09/10 J A(part)

4 1 0 . I l l in o i s T o o l W o r k s So ld 11/22/10 J A

(part)

4 1 1 . I l l in o i s T o o l W o r k s Sold 12/09/10 J B

412. Johnson Cont ro ls A Divid en d K T

4 1 3 . T a r g e t A Divid en d J T So ld 04 /21 /1 0 J(part)

4 1 4 . T a r g e t So ld 09 /03 /1 0 J

( p a r t )

4 1 5 . T a r g e t So ld 09/14/10 J( p a r t )

4 1 6 . T a r g e t Sold 10/01/10 J(part)

4 1 7 . T a r g e t So ld 10/08/10 J(part)

4 1 8 . T a r g e t Sold 10/28/10 J(part)

4 1 9 . T a r g e t So ld 11/19/10 J

(part)

4 2 0 . X L G r o u p A D i v i d e n d J T So ld 03 /1 9 /1 0 J(part)

4 2 1 . X L G r o u p Sold 12/28 /10 J(part)

4 2 2 . A l c o n A D i v i d e n d Bu y 01 /21 /1 0 J

4 2 3 . A l c o n B uy 02/09/10 J

4 2 4 . A l c o n So ld 04 /20 /1 0 J A

(part)

4 2 5 . A l c o n So ld 07/16/10 J(part)

A

A

A

A

A

A

A

S e e Pa r t V I I I

A

2. V alue C odes J =$15,000 or less K = $ 15 ,00! ~ $ 50,000 : L--$50;001 M ~$100,00! ~ $250~000

P 3 = $ 2 5 , 0 0 0 ~ 0 0 1 ~ $ 5 0 . 0 0 0 .0 0 0

3. Value Method Codes Q =Appraisal R -~0st (Reai Estate O~ly)

(Se e C olum n C 2 ) U = Boo k V alue ¥ =O lher




of 50


ROSS, A L L Y N E R .

Date of Report

05/10/2011

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 u e , ~ u 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 dependent children; see p p . 3 4 - 6 0 of filing instructions.)

[] N O N E ( N o repo rtable incom e, assets , or t ransactions . )

4 2 6 . A l c o n So ld 10/22/10 J A

(part)

4 2 7 . A l c o n S old 12/17/10 J A

(pan)

428.~ Alcon So ld 12/20/10 J A

( p a r t )

4 2 9 . A lc o n So ld 12/30/10 J A

4 3 0 . B r o a d c o m A Divid en d J T B uy !09/07/10 J

4 3 1 . B r o a d c o m B uy 11/09/10 J

4 3 2 . K L A - T e n c o r A D iv id en d So ld 10/04/10 J A(part)

4 3 3 . K L A - T e n c o r Sold 10/22110 J A(part)

4 3 4 . K L A - T e n c o r Sold 10/29110 J A

4 3 5 . G o o g l e N one K T Bu y 01/26/10 J

4 3 6 . G o o g l e S old 04/15/10

(part)

4 3 7 . G o o g l e So ld 07/13/10

( p a r t )

4 3 8 . G o o g l e So ld 09/16/10

(part)

4 3 9 . G o o g l e S o l d 10/28/10

(part)

4 4 0 . Q u a l c o m m A D i v i d e n d So ld 02/05/10

( p a r 0

! 4 4 1 . Q u a l c o m m So ld 02/12/10

(par t )

4 4 2 . Q u a l c o m m So ld 02/24/10

(par t )

J

J

J

J.

J

J

J

A

A

A

( s e e c o l u m n s Bl a n d D4 ) : F~$50001 ~$100000 fi~$t00001,$1000~000 H -~ 000001 ~$5000000 H 2 = M o r e t h a n $ 5 .0 0 0 0 0 0

2 . V a l u e C o d e ~ J =$!5~000 ~ !~S. K =$15;001, $50,000 L = $ 5 0 , 0 0 1 - $ ! 0 0 , 0 0 0 :: M =$!00;00t .- $250;000( S e e C o l u m n s C I a n d 0 3 ) ~ $ 2 5 0 ~ 0 0 1 : $ 5 0 0 ~ 0 0 0 6 ~0Di~i:~ $1,000,000 : P i ~ $ 1 , 0 o o ~ 0 o i $ 5 ; 0 ~ i 0 ~ P 2 ~ $ ~ i ~ ; 0 0 1 ; $ 2 5 ! 0 0 0 ~ 0 o 0

...... P ~ = M o r e t h a n $ ~ 0 ; 0 0 0 !0 0 0

V a u e M e t h o d C o d n s Q~ A ~iS~ : ......... R= C o s t (R~a E s t ~ t6o n y ) s-Assessment T~ashMarkctp p -( 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 = E s t i m a te d




Page 3 0 of 50

Name of Person Reporting

ROSS, ALLYNE R.

Date of Report

05/10/2011

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 , ~ r a , ~ c t io , ~ a n c i u d e s t h o s e of s p o u s e a n d dependent ch ildren; see p p . 3 4 - 6 0 o f f i l i n g instructions.)

D NONE(N o reportable income, assets, or transactions.)

4 4 3 . Q u a l c o m m Sold 0 3/26 /10 J(part)

4 4 4 . Q u a l c o m m Sold 0 4 /28 /10 J

4 4 5 . T e v a P h a r m a c e u t i c a l A D i v i d e n d J T So ld 10/28/10

(part)

4 4 6 . T e v a P h a r m a c e u t i c a l S old 12/13/10

(part)

4 4 7 . C o m c a s t A D i v i d e n d J T B u y 03/10/10

J

J

J

4 4 8 . C o m c a s t B u y 04/07/10 J

449 . Co m c a s t B u y 0 5/0 3/10 J

4 5 0 . C o m c a s t B uy 0 5/0 5/10 J

4 5 1 . C o m c a s t B uy 0 5/27 /10 J

~ 4 5 2 . C o m c a s t Sold 0 8/0 5/10(part)

4 5 3 . C o m c a s t Sold 0 9/15/10(part)

4 5 4 . C o m c a s t Sold 09/27/10(part)

4 5 5 . C o m c a s t Sold 10/21/10( p a r t )

4 5 6 . C o m c a s t Sold 10/29/10

( p a r t )

4 5 7 . C o m c a s t Sold 11/16 /10

(part)

4 5 8 . C o m c a s t Sold 12/22/10

(part)

4 5 9 . B a n k o f A m e r i c a A Div idend B uy 0 1/26 /10

J

J

J

J

J

J

J

J

A

A

A

A

A

A

A

2. Value Codes J = ~ 1 5 1 0 0 0 o r i~ K = $15,0 0i - $50.00 0 L =$50.001 - $100,000

(S e e C o lum n s C I a n d D3 ) N = $ 250,001 - $ 500,000 O = $ 5 0 0 , 0 0 1 - $ i , 0 0 0 , 0 0 0 pl =$ ! ,000,001 - $5,000,000

P 3 = $ 25,000,001 - $ 50,000,000 P 4 = M ore than $50,000,0003 . 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 -~7ost (Real E s t a t e O n l y ) S =Assessment

(S e e C o lum n C 2 ) U = Book Valu e V = O t h e r W =Estiinated

D = $ 5 .0 0 1 - $ 1 5 ,0 0 0 E = $ 1 5 ,0 0 1 ~ $ 5 0 ,00 0

H 2 : M o r e t h a n $ 5 ,0 0 0 . 0 0 0

M =$100.001 ~ $250,000

P2 =$5,000.00 i i S25;000,000 :i

T =C a s h M a rke t




Page 3 1 of 50


ROSS, ALLYNE R.


05/10/2011


D NONE(N o repor table income , asse ts , or t ransact ions . )

4 6 0 . B a n k o f A m e r i c a

4 6 1 . B a n k o f A m e r i c a

4 6 2 . B a n k o f A m e r i c a

4 6 3 . B a n k o f A m e r i c a

4 6 4 . B a n k o f A m e r i c a

4 6 5 . B a n k o f A m e r i c a

4 6 6 . B a n k o f A m e r i c a

4 6 7 . B a n k o f A m e r i c a

4 6 8 . B a n k o f A m e r i c a

4 6 9 . C o n o c o P h i l l ip s

4 7 0 . C o n c o c o P h i l l ip s



4 7 3 . N a t i o n a l - Oi l w e l l

4 7 4 . N a t i o n a l - Oi l w e l l

475 . Cooper Indus t r ies

4 7 6 . T m n s o c e a n L t d .

A Dividend

N o n e

A Dividend K

None

B u y 03/11/10 J

B u y 04/20/10 J

B u y 04/27/10 J

B u y 06/16/10 J

B u y 07/01/10 J

So ld 08/02/10 J

(part)

So ld 08/27/10 J

(part)

So ld I 0 / 2 1 / I 0 J

(part)

So ld 11/22/10 J

So ld 03/30/10 K

(part)

So ld 06/23/10 J

(part)

S old 06/25/10 J

(part)

So ld 12/23/10 J

So ld 05/20/10 J

(part)

So ld 06/24/10 J

B u y 05/12/10 J

B u y 03/02/10 J

A

B

A

I . Income Gain Codes: A = $ 1 .000 o r less B = $ 1.001 - $ 2 ,500

(Se e C olu mn s B I a nd D4 1 F =$ 50 .0 01 - $ 10 0.0 00 O =$10C.001 - $1.000.000

2. Value Codes J =$15.000 or less K =$15.001 - $50,000

(S e e C o lum n s C I a n d D3 ) N = $ 250.001 - $500.000 O = $ 500.001 - $ 1.000.000

P3 =$25.000.001 - $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (R eal Estate Only)


C = $2.501 - $5.000 D =$5,00 1 - $15.000

H 1 =$1.000.001 - $5.000,000 H2 =More than $5.000.000

L = $ 50.001 - $ 100.000 M =$ 100.001 - $ 250.0~0

PI -$1 .000.001 - $5.000.000 P2 =$5.000.001 - $25,000.000

P 4 = M or e t han $ 50.000.000

S =Assessment T =C a s h M a rke t

W =Estimated

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




Page 3 2 of 50




05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i u c o m e , v o l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)


4 7 7 . T r an so cean L t d , B u y 04/21/10 J

4 7 8 . T ran so c e an Ltd . B u y 04/30/10 J

4 7 9 . T r a n s o c e a n L t d . Sold 06/14/10 J

4 8 0 . C r e d i t S u i s s e A Divid en d J T Sold 0 4 /21 /10(part)

4 8 1 . E x x o n M o b i l N o n e B U y 0 5/14 /10

4 8 2 . E x x o n M o b i l B uy 05/21/10

4 8 3 . E x x o n M o b i l Sold 06/23/10(part)

4 8 4 . E x x o n M o b i l Sold 0 7 /13/10

J

J

J

J

J

4 8 5 . B e m s t e in E m e r g i n g M a r k e t s P o r t fo l i o B Divid en d M U bu y 12/07/10 J

486 . Har t fo rd F inancia l Serv ices Sold 02/04/09 J S ee Pa r t V I I I

4 8 7 . A m e r i p r is e F i n a n c i a l A Div idend Sold 0 6/30 /10 J A(part)

4 8 8 . A m e r p r i se F i n a n c i a l Sold 0 7 /0 1 /10 J A

4 8 9 . A p p l e C o m p u t e r N o n e L T Sold 0 3/12/10 J B(part)

4 9 0 . A p p l e C o m p u t e r Sold 0 4 /20 /10 J B(part)

4 9 1 . A p p l e C o m p u t e r Sold 0 9/30 /10 J C( p a r t )

4 9 2 . A p p l e C o m p u t e r Sold 10/19/10 J C

(part)4 9 3 . A p p l e C o m p u t e r Sold 11/29/10 J B

(part)

L inc0me Gain Codes:

( s e e C 6 I um n s B l a n d D4)

2. Value Codes

(S e e C o lum n s C I a n d D3 )

3.Valu e Method Codes


A =*L000 0r less ~ =$i;00i $2 500 C ~$2;501 . $5;000 O =$5,001 - $15;000 E ---$15,001 ; $50;000

r =$~o~ool - $10o;00o ............. ......=$1 0 0 0 0 1 - -$1 0 0 0 ;0 0 0 H I = $ 1 000 001 - $ 5 i000 000 H2 =Morethan $5,000,000

N = S 2 5 0 , 0 0 1 - $ 5 0 0 : 0 0 0 O =$500,001- $1;000,000 ....

P3=$25,000.001-$50,000,000 P 4 = M 0 r e t h a n $ 5 0 , 0 0 0 , 00 0

Q = A p p r a i sa l R =Cost (Real EstatC Only) S =Ass~ssmenl

U = B o o k V a l u e V = O t h e r W = E s f i m a i c d




o f 50

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

ROSS, ALLYNE R.


05/10/2011

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 e l u e , t r a n s u c t i o n s a n c i u d e s t h o s e o / s p o u s c a n d d e p e n d e n t children; see pp. 3 4 - 6 0 of filing instructions.)

[] (No reportable assets, or transactions.)ONE income.

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

( i n c l u d i n g t r u s t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e t

exempt from prior disclosure

B. C. D.

Incom e during G ross valu e at end T r a n s a e f i 0 n g ~ d u f i n g r e p o r t i n g p e r i o d

rep orting p erio d o f re portin g p eriod

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

Amount T y p e ( e . g . , V a lu e V alu e ¯ Type (e .g. , Date : Value:,: Gain ..... I~entity of

Code 1: d i v . , r e n t , Code 2 M ethod ¯ b u y , s e l l ~ ~.:: mmidd/yy Code 2 Coded .... ::ibiiyer/seller

(A-H) o r i n t . ) ( J - P ) C ode 3 redem ption) ( J - P ) ( A ~ , H ) ~ i : : ~ : ( i f p r i v a t e

( Q ~ W ) t r a n s a ~ t i 6 h )

4 9 4 . D a n a h e r C o r p . A Divid en d K T B uy 02/23/10 J

4 9 5 . D a n a h e r C o r p . B uy 05/13/10 J

4 9 6 . D a n a h e r C o r p . So ld 08 /20 /1 0 J

(part)

4 9 7 . D a n a h e r C o r p . B uy 11/04/10 J

4 9 8 . D a n a h e r C o r p . Sold 12/02/10 J(part)

4 9 9 . E M C C o r p . No n e K T B uy 04 /22 /1 0 J

5 0 0 . E M C C o r p . B uy 05/03/10 J

5 01 . EM C C o rp . So ld 10/07/10

(part)

5 0 2 . F E D E X C o r p . A D iv id en d So ld 09 /23 /1 0

(part)

5 0 3 . F E D E X C o r p . Sold 10/25/10

J

J

J

A

A

A

5 0 4 . F r a n k l i n R e s o u r c e s A D iv id en d So ld 02 /03 /1 0(part)

5 0 5 . F r a n k l i n R e s o u r c e s So ld 0 6 / 2 2 / 1 0(part)

5 0 6 . F r a n k l i n R e s o u r c e s So ld 09 /03/1 0(part)

5 0 7 . F r a n k l i n R e s o u r c e s Sold 10/01/10

J

J

J

J

A

A

5 0 8 . G i l e a d S c i e n c e s No n e K T Bu y 02 /1 6 /1 0 J

5 0 9 . G i l e a d S c i e n c e s B uy 04 /1 3 /1 0 J

5 1 0 . G i l e a d S c i e n c e s B u y 04/23/10 J

9 . V a l u e C o d e s J = $ 1 5 , 0 0 0 o r l e s s K =$15,001 - $50.000 L ~ $ 5 0 ~ 0 0 1 :

(See Col ....C I a n d D3 ) N =$250,001

p 3 = $ 2 5 . o o o : o ~ i - $ 5 o , o o o . o o o3. Value Method Codes Q =Appraisal R -~3os t (Rea! Esla~e Only) S--Assess~

(See C o h,m n C 2 ) O =B o0k V alu e V = Oth er W = Estim ated




Page 3 4 of 50

Name of Per son Repor ting



05/10/2011

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 , ~ r u n s u e t io n $ a n c l u d e s t h o s e of spouse and de pe nde n t c h i ldre n ; se e p p . 3 4 - 6 0 of filing instructions.)

D ~o reportable income, assets, or transactions.)ONE

5 1 1 . G i l e a d S c i e n c e s Sold 08 /24 /1 0 J(part)

5 1 2 . G i l e a d S c i e n c e s So ld 09 /22 /1 0 J

(part)

5 1 3 . G i l e a d S c i e n c e s Buy 11/0 9/10 J

5 1 4 . L i m i t e d B r a n d s A D i v i d e n d J T So ld 05 /20 /1 0 J(part)

5 1 5 . L i m i t e d B r a n d s So ld 106/10/10 J(part)

5 1 6 . L i m i t e d B r a n d s Buy 11 /0 4 /10 J

5 1 7 . L i m i t e d B r a n d s B uy 11/12/10 J

5 1 8 . V i a c o m A D i v i d e n d J T So ld 02 /1 9 /1 0 J

(part)

5 1 9 . V i a c o m So ld 04 /1 2 /1 0 J(part)

5 2 0 . V i a c o m B uy 12/07/10 J

5 2 1 . V i a c o m B uy 12/17/10 J

522. S c h l u m b e r g e r A D i v i d e n d K T B uy 03 /01 /1 0 J

523. S c h l u m b e r g e r B uy 03 /02 /1 0 J

5 2 4 . S c h l u m b e r g e r Bu y 04/12/10 : J

5 2 5 . S c h l u m b e r g e r B uy 04 /21 /1 0 J

5 2 6 . S c h l u m b e r g e r So ld 07/1 5 /1 0 J

(part)

5 2 7 . S c h l u m b e r g e r Buy 10/0 5/10 J

C

B

B

B

2 . v a r u o c o ~ J=$~5.OOOorr~s .....(S e e C o lum n s C I a n d D3 ) N = $ 250.001 - $ 500,000 O

P 3 = $ 25 .000.001- $ 50.000.000 P4 :~ ~ha~ $~6 ~6ib~ :3 V a l u e M e ~ h o d C o d es Q - A r a s a R~ost(Rea EstateOny)....

( S e e C o l u m n C 2 ) U = B 0 o k V a l u e V = O t h e r W ~ E s t i m a t ed




Page 3 5 of S0


ROSS, ALLYNE R.


05/10/2011

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 ~ u , ~ a c t io , ~ : In c l u d e s t h o s e o / s p o u s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of.filing instructions.)

~] (No reportable income, assets, or transactions.)ONE

5 2 8 . T i m e W a m e r A Divid en d J T So ld 01 /28 /1 0

(part)

5 2 9 . T i m e W a r n e r Sold 02/11/10

(part)

5 3 0 . T i m e W a r n e r B uy 07/29/10

J

J

J

5 3 1 . T i m e W a r n e r So ld 10/05/10

(part)

5 3 2 . T i m e W a r n e r C a b l e A D i v i d e n d K T S old 11/08/10

(part)

5 3 3 . C i s c o S y s t e m s N o n e K T B u y 05/03/10

J

J

J

5 3 4 . C i s c o S y s t e m s B uy 09 /07 /1 0 J

5 3 5 . C i s c o S y s t e m s B uy 10/01/10 J

536. Genera l E lec t r ic A D i v i d e n d J T So ld 06/11 / I0(part)

537 . Genera l E lec t r ic So ld 06 /1 7 /1 0(part)

5 3 8 . T h e T r a v e l e rs C o s . A D i v i d e n d J T Sold 04/04/10(part)

5 3 9 . T h e T r a v e l e rs C o s . Sold 04 /1 3 /1 0

( p a r t )

5 4 0 . T h e T r a v e l e rs C o s . B uy 07/12/10

J

J

J

J

J

5 4 1 . T h e T r a v e l e rs C o s . B uy 07/15/10 J

5 4 2 . A T & T A D i v i d e n d J T So ld 02 /24 /1 0

(part)

5 4 3 . A T & T So ld 03/01/10

(part)

5 4 4 . A T & T So ld 05 /1 7 /1 0(part)

J

J

J

A

B

C

A

A

2. Value Codns ........ J ~$i~i000 ~ ies~ ..... ....... M =$100:001 - $250;000

(See Co lu mns CI and 03) N =$250,001 : $509;000 6 ~$~66ib01 ~ $ i ,000,000 e l ~ $ 1 ; ~ ; 0 0 i r $ 5 ; 0 0 0 ; 0 ~ P2 =$~000;001 ~ $25;000;000

P3 --$2L000~00 i ~ $50i0001000 .... :i3 . Va lu eMelhodCodns =A rasa R ~ Os~ (R ~ a Es ta t¢ O n ly ) T = C as h M ark e tQ = P P : .... .... S =Assessment

(S e e C o lum n C 2 ) U ~ B ~ k V a l u ~ w =E s t im a le d ;




Page 3 6 of S0




05/10/2011



5 4 5 . A T & T B uy 07/15/10 J

5 4 6 . A T & T So ld 12/09/10 J A

(part)

5 4 7 . AT & T So ld 12/22/10 J A

(part)

5 4 8 . B B & T C o r p . A D iv id e n d J T

5 4 9 . C i m a r e x E n e r g y A D iv id en d So ld 07 /1 0 /1 0 J B(part)

5 5 0 . C i m a r e x E n e r g y So ld 08 /05 /1 0 J C

551 . Cons te l la t ion Brands No n e J T

552 . Co n s te l l a t io n En erg y Gro up

5 5 3 . B l a c k & D e c k e r

5 5 4 . C B S

5 5 5 . C B S

5 5 6 . D e a n F o o d s

5 5 7 . A r c e l o r m i t ta l



5 6 0 . A m a z o n . c o m

5 6 1 . B a n k o f N e w Y o r k M e l l o n

A D iv id e n d J T B u y 05 /04 /1 0 J

J

A Dividend Sold 04 /01 /1 0 J(part)

Sold 1/05/10 J

No n e So ld 0 4 / 1 5 / 1 0 J

D iv id en d So ld 05 /1 2 /1 0

(part)

Sold 06 /1 7 /1 0(part)

So ld 08 /1 2 /1 0

J

J

J

No n e J T

No n e So ld 02/05/10 J

See Par t VI I I

2. Value Codes J =slS~000 or less K =Sl5,00i ~ *50.000 L = * 5 0 1 0 0 1 - $ 1 0 0 , 0 0 0 M = $ i 0 0 . 0 0 1 : $ ~ 0 1 0 0 0 i:

( see Co lu mns CI and D3) N =$250,001. $500,000 0 --$500;001 r $1;000~000 PI ~ $ i~ 0 0 0 .0 0 !-$5 ;0 0 0 ,0 0 0 P2 =$5,000,001 L $25,000~000 : ?

P3 =$25.000,001 - $50.000.000 P 4 = M or e t han $ 50,000.0003. Value Method Codes Q --Appraisal R =Cost (R eal Estate Only) S =Assessment

(S e e C o lum n C 2 ) U ~ B ~ k V a l u e v =O ther W =Estimated




of 50


ROSS, ALLYNE R.


05/10/2011

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


562. Nokia A Dividend S o l d 01/12/10( p a r t )

563. Nokia B u y 03/31/10

564. Nokia S o l d 05/20/10

( p a r t )

565. Nokia S o l d 07/08/10

566. Northrop Gmmman A Dividend K T S o l d 05/04/10

567. Northrop Grum ma n B u y 10/05/10

568. Northrop Grum ma n B uy 12/14/10

J

J

J

J

J

J

J

569. Pfizer B Dividend K T S o l d 06/30/09

( p a r t )

570. Pfizer B u y 09/21/10

571. Pfizer B u y 11/09/10

572. Kohls None K T B uy 05/05/10

573 . Koh l s B uy 07/12/10

574 . Kohls B u y 09/21/10

575. Kohls B uy 10/04/10

576. Kohls S o l d 11/17/10( p a r t )

577 . M o n san t o A Div id end J T B u y 08/06/10

5 78 . M onsan to B uy 08/30/10

J

J

J

J

J

J

J

J

J

J

2. Value Codes J = $ 1 5 , 0 0 0 o r less

(See Colu mns C1 and D3) N =$250,001 - $500.000

P3 =$25,000,001 - $50.000,0003. Value Me thod C o d e s Q = A p p r a i s a l

(See Column C2) O = Book Va lue

B = $ 1,001 - $ 2 ;500 C = $ 2i50i : $5~000 D ~$5 ,001 . $ 15~000 E = $15,001 - $ 50,000

~ = $ 1 o o : o o i ~ s L o o 0 : o o o m = M o ~ ¢ t ~ a u S ~ , 0 0 0 ,0 0 0K =$1 5 ,0 0 1 - $50,000 L ~$501001 ~ $1001~O1 :i : ~ ~$~,OO1 2 $2501~ ....

O =$500,001 - $1,000.000 P l = $ L 0 0 0 ~ 0 0 1 ~ $ 5 i 0 0 0 i 0 0 0 P2 ~$5i000;001- $25g000.000 :

P 4 = M0r e t han $ ~01~0~006

R -~3os t (Real Estate O nly ) S =ASsessment T ~ash Market ....

v =O ther W =Estimated i i ......




o f S0




05/10/2011

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 a n s a c t i o n s (Includes t h o s e o f s p o u s e a n d dependent children; see pp. 34-60 of filing instructions.)


5 7 9 . N v i d i a

5 8 0 . N v i d i a

5 8 1 . G a r m i n L t d .

5 8 2 . H u n t s m a n C o r p .

5 8 3 . V a l e r o E n e r g y C o r p .



586 . Caterp i l lar Inc .

5 8 7 . C o v i d i e n L t d .

5 8 8 . C o v i d i e n L t d .

5 8 9 . C o v i d i e n L t d .

5 9 0 . C o v i d i e n L t d .

5 9 1 . C o v i d i e n L t d .

5 9 2 . D e u t s c h e B a n k

5 9 3 . D e u t s c h e B a n k

5 9 4 . D e u t s c h e B a n k

5 9 5 . I n g e r s o l l - R a n d

A D i v i d e n d J T B uy 0 3 / 3 1 / I 0 J

B uy 1 0 / 2 1 / 1 0 J

A

A

Divid en d J T Sold 11/14/10 J(part)

Divid en d Sold 05/13/10 J

A D i v i d e n d So ld 01 /06 /1 0(part)

Sold 05/10/10( p a r t )

So ld 07/20 /1 0

J

J

J

So ld 01 /1 9 /1 0 J

A D i v i d e n d B uy 01 /1 3 /1 0 J

B u y 01/21/10 J



Sold 12/22/10 J

No n e

A

So ld 04 /1 6 /1 0 J

(part)

So ld 05 /1 3 /1 0 J B(part)

Sold 05/17/10 J A

A Divid en d K T Sold 01/29/10 J(part)

( S ~ ~ 6 i ~ m n s B 1 ~ h d D 4 ) . . . .. F = $ ~ 0 1 0 0 1 - $ i 0 0 ,0 0 0H 1 ~$i’000,091 : $5,0001000 H2 =More tha~ $51000,000 : ....

2. Value Codes J =$15,000 or less K = $15~001 ; $50,000 L = $ 50,001 ~ $ i00i000

(S e e C o lum n s C I a n d D3 ) N =$250.001- $500~000 0 ~$500~00i ~ $ i ,000~000 :P i - -~i ~ 0 0 i ~ $ 5i 0 0 0 , 0 0 0 P~ ~i~i~i ~25,000~0o0

P3 =$25.0o0.001-$50.000.000 p4 =M0te th~n $50.000~000

3. Value Method Codes "Am sa R =Cost (R eal Estate O~ly) S A s s e s s m e n t T C a s h M a r k e t- pp = =(Se e C otum n C 2 ) U = Bo ok V alue V = Oth er W =Estlmale

d:




orS0


ROSS, ALLYNE R.


05/10/2011

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 , t r a ,~ 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 d e p e n d e n t children; see p p . 3 4 - 6 0 o f f i l i n g instructions.)

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

5 9 6 . I n g e r s o l l - R a n d S old 03/04/10 J

(part)

5 9 7 . I n g e r s o l l R a n d B u y 04/20/10 J

5 9 8 . I n g e r s o l l - R a n d So ld 07/07 /1 0

(part)

5 9 9 . N e x e n I n c . A Divid en d J T Bu y 01 /26 /1 0

6 0 0 . N e x e n I n c . B uy 02 /01 /1 0

6 0 1 . N e x t e n I n c . So ld 04 /1 2 /1 0( p a r t )

6 0 2 . N e x t e n I n c . Bu y 07/06 /1 0

6 0 3 . M a c y ’ s I n c . A D iv id en d So ld 05/ t8 /10(part)

6 0 4 . M a c y ’ s I n c . So ld 06 /25 /1 0

J

J

J

J

J

J

J B

6 0 5 . M a s c o C o r p . A D iv id en d So ld 06/04/10 J A

6 0 6 . N V R I n c . N o n e J

6 0 7 . O f f ic e D e p o t No n e J

6 0 8 . P e p e o I n c . A D iv id en d So ld 12/17/10 J A

6 0 9 . P u l te H o m e s No n e So ld 12/03/10 J

6 1 0 . M o r g a n S t a n le y A Divid en d J T So ld 03 /1 1 /1 0

(part)

6 1 1 . M o r g a n S t a n le y So ld 03 /1 2 /1 0

(part)

6 1 2 . M o r g a n S t a n le y B uy 10/22/10

J

J

J

2. Value Codes J =$15,000 or less K = $ 1 5 i 0 0 i ~ $ 5 0 ~ 0 0 0

(See Columns C1 and D3) N =$ 250 , 0 0 1-$ 50 0 . 0 0 0 O-$500;001 - $1 ,000,000

P3 =$25~000,001 -$50,000.000 P4 =3, Value Method Codes Q =Appraisal R -~2os t (Real Estate Only)


E =$15,001 - $50,000




of 50 Ia m e o f P er s on R e p o r t i n g

ROSS, ALLYNE R.

Date of Report

05/10/2011

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 filing instructions.)

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

6 1 3 . R R I E n e r g y No n e So ld 0 3/25/10

6 1 4 . S m i t h fi e l d F o o d s N one J T B u y 05/06/10

6 1 5 . C V S /C a r e m a r k A Divid en d B u y 0 3/29/10

6 1 6 . C V S / C a r e m a r k Sold 08/06/10

6 1 7 . S P X C o r p . A Divid en d Sold 0 8/18 /10(part)

6 1 8 . S P X C o r p . Sold 09129/10

6 1 9 . Hya t t Ho te l s N one Bu y 0 6/0 2/10

6 20 . H y a tt H o te ls So ld 10104/10

6 2 1 . P o l o R a l p h L a u r e n A Divid en d B u y 06/23110

6 2 2 . P o l o R a l p h L a u r e n Sold 1 1 1 1 0 1 1 0

6 2 3 . S te e l D y n a m i c s A Div idend Sold 06/10110

624. Ross S to res A Div idend Sold 03102/10(part)

J

J

J

J

J

J

J

J

J

J

J

J

625. Ross S to res B uy 0 3/12/10

626 . Ross S to res B uy 0 4 /20 /10

627. Ross S to res Sold 10/01/10

6 2 8 . R e l i a n c e S t e e l & A l u m i n u m B Divid en d B uy 0 4 /22/10

6 2 9 . R e l i a n c e S t e e l & A l u m i n u m Sold 0 6/22/10

J

J

J

J

J

A

B

B

A

2. V alue C odes J = $15.000 or less K ~$15,00i ~ $50,000 ~ =$50~00i ~ ~i00;~0 :

(S e e C o lum n s C l a n d D3 ) N =$250,001: $500,000 6 ~$5001~i :

P3 =$25,000i~ i - $50.000,000 : :3. Value Method Codes Q=Appraisa! R ~ ost (Re~l Esl~ te O nl~ ) .. . .

(S e e C o lum n C 2 ) U = Book ValU e V =O~her ..... W --E~i~ai~d i




Page 4 1 orS0

N a m e o f Pe r s o n R e p o r t i n g

ROSS, ALLYNE R.


05/10/2011

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

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

6 3 0 . S y m a n t e c

6 3 1 . S y m a n t e c

6 3 2 . S y m a n t e c

6 3 3 . S y m a n t e c

6 3 4 . D o v e r C o r p .

635. Dover Corp.

636. Dover Corp .

6 3 7 . D o v e r C o r p .

6 3 8 . D o v e r C o r p .

6 3 9 . D o v e r C o r p .

6 4 0 . D o v e r C o r p .

6 4 1 . D o v e r C o r p .

6 4 2 . D o v e r C o r p .

6 4 3 . D o v e r C o r p .

6 4 4 . U n u m G r o u p

6 4 5 . O r a c l e

6 4 6 . O r a c l e

None Sold 02/24/09(part)

Sold 0 2/25/10

( p a ~ t )

Sold 03/18/10

(part)

Sold 03/22/10

J

J

J

J

A Divid end B u y 01/15/10 J

B uy 0 2 / 1 2 / 1 0 J

B uy 02/22/I 0 J

B u y 05/06/10 J

So ld 06/18/10 J

(part)

S old 10/11/10 J A(part)

So ld 10/14/10 J A(part)

S old 10/18/10 J A(part)

So ld 10/19/10 J A(part)

So ld 11/10/ I0~ J A

A D i v i d e n d S old 05/20/10 J A

A Dividend K T B u y :09 /21 /10 J

B uy 09/23/10 J

1 . I ncome G ain Codes : A =$1,000 or less B =$ ,0 0 1 - $ 2 .5 0 0 C = $ 2 .501 - $ 5 .000 D =$5.001 - $15.000

{ Se~ Co lu mns BI and D 4 1 F = $50,001 * $ 100,000 O = $100.001 - $1..000,000 H 1 =$ 1. 00 0. 00 1 - $ 5. 00 9. 00 0 H 2 =M o re th an $ 5. 00 0. 00 0

2. Value Codes J = $ 15 .000 o r leas K = $ 15.001 - $ 50.000 L = $50.001 - $100.000 M = $ 100.001 - $ 250.000

(S e e C o lum n s C I a n 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

P3 =$25.000.001 - $50.000.000 P4 =More lhan $50.000.0003 . Valu e Method Codes Q = A p p r a i s a l R =Cost (Real Estate Only) S =Assessment T -~Sas h Mar k e t

(S e e C o lum n C 2 ) U = Book Valu e V =Other W = Es t imated

E =$15.001 - $50.000




Page 4 2 of 50



Date of R e p o r t

05/10/2011

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 , v a lu e , t ra n sa ct io n s ( I n c lu d es th o se o f sp o u se a n d d ep en d en t ch i ld ren ; s ee p p . 34-60 of f!llng instructions.)

D N O N E ( N o reportable income , assets, or transactions.)

6 4 7 . O r a c l e B u y 10/05/10

6 4 8 . O r a c l e B u y 10/25/10

6 4 9 . O r a c l e B u y 10/29/10

6 5 0 . O r a c l e B u y 12/03/10

6 51 . R e se a rc h in M o t io n N o n e B u y 03/16/10

6 5 2 . R esea r ch i n Mo t i o n B u y 03/30/10

6 53 . R e se a rc h in M o t io n So ld 05/26/10

6 5 4 . T yco E l ec t r o n i c s A D i v i d e n d J T . Sold 02/09/10

(part)

6 5 5 . T yco E l ec t r o n i c s So ld 08/30/10

(part)

6 5 6 . T yeo E l ec t r o n i c s So ld 10/22/10

(part)

6 5 7 . V o d a f o n e A D i v i d e n d J T B u y 06/25/10

6 5 8 . V o d a f o n e B u y 10/07/10

6 59 . A i r P ro d u c t s & Che mic a l s A D i v i d e n d So ld 02/11/10

(part)

6 6 0 . A i r P ro d u c t s & Che mic a l s So ld 02/I8 /10

(part)

6 6 1 . A i r P ro d u c t s & Che mic a l s So ld 02/26110

(part)

6 6 2 . A i r P ro d u c t s & Che mic a l s So ld 04/08/10

6 6 3 . C amer o n I n t e r n a t i o n a l N o n e J T So ld 0 8 / 0 31 1 0

(part)

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

A

B

A

2 . V a lue C o d e s J --$i51~ or 1~ K = $ 15 ,001 - $ 50,090 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 = $ 5 0 0 ~ 0 0 i ~ $ i ,0 0 0 1 0 0 0 P I =Sl ,000;001 - $5 .000,0o0 P2--$5,000;001 ~ ~25;000~000 : : ....

P3 =$25,000.001 o $50,000:000 .. . . P 4 = M or e t ha~ $ 50,000,0003 . V a lue M e th o d C o d ~ Q =Appraisai R =Cost (R eal Estate Only) S =Assessment T & Cas h Mar k e t

(see Column c2) .... u = B o o k V a lu e V = Oth er W =Estimated




of 50




05/10/2011

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 , t ra n sa ct io n s ( In c lu d es th o se o f sp o u se a n d d ep en d e n t ch i ld ren ; s ee p p . 3 4- 60 o f f i lin g in s t ru ctio n s . )


6 6 4 . C e l g e n e N o n e J T S old 01/11/10

( p a r t )

665. Celgene S o l d 0 1 / 1 3 / 1 0

( p a r t )

6 6 6 . C e l g e n e S old 01/14/10

(part)

6 6 7 . C e l g e n e B u y 08/09/10

J

J

J

J

6 6 8 . C e l g e n e B uy 09/15/10 J

6 6 9 . C e l g e n e S old 12/07/10

(part)

6 7 0 . D e e r e A D i v i d e n d J T B u y 09/17/101

6 7 1 . D e e r e B u y 09/29/10

6 7 2 . D e e r e B u y 10101/10

6 7 3 . D e e r e B u y 10122/10

6 7 4 . E O G R e s . A D i v i d e n d J T B u y 05/04110

6 7 5 . E O G R e s . B u y 08/25/10

6 7 6 . E O G R e s . B u y 09/24/10

6 7 7 . E O G R e s . B u y 10/05/10

J

J

J

J

J

J

J

J

6 7 8 . U S B a n c o r p A D iv id en d So ld 05 /26 /1 0 J A(part)

6 7 9 . U S B a n c o r p So ld 06 /1 4 /1 0 J B

6 8 0 . W e l l s F a r g o A Divid en d K T B uy 01/20/10 J

2. V alue C ~des J =$15 ,000 or less K = $ 15 ,001- $ 501000 M ~ $ 1 0 0 ~ i : $ 2 5 0 . 0 0 0

(Se e C olu mn s C 1 a nd D3 ) N =$ 25 0,0 01 - $ 50 0.0 00 O =$500.001 - $ i :000,000 Pi

P3 =$25.000,001 - $50,000,000 P 4 = M 0 r e t h a n $ ~ 0 1 ~ D i o ~ :

3 . Valu e Method C~x ies Q =Appraisa! R =Cost (R eal Estate Only) S =Assessment T--Cash Market ....

(S e e C o lum n C 2 ) U = Book ValU e V =Oth e r W ~Esti~d : :




of 50



Date of Report

05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , ~ e , v a l u e , tr a n s a c t i o n s a . c lu d e s t h o s e o f s p o u s e ~ . d d e p e u d e n t children; see p p . 3 4 - 6 0 of filing instructions.)

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

: ( i ~ d u d i n g t ~ s t a ~ S e i ~ ) ; ; ; ~ : re~in~ ~fi~ ofi~0~i~fi~~~

~ m p ~ f r o m p f i 0 ~ ~ o @ ~] C~ ~!~

~ ~th~

~ ~[[) orant.) (JP) C~e3 red~mpii6fi) (JP) (A~) ~, ~ ~pfi~ate

6 8 1 . W e l l s F a r g o B uy 01 /21 /1 0

6 8 2 . W e l l s F a r g o B uy 04 /1 6 /1 0

6 8 3 . W e l l s F a r g o B uy 04 /1 9 /1 0

6 8 4 . W e l l s F a r g o Bu y 05/04/10

6 8 5 . W e l l s F a r g o So ld 09 /1 4 /1 0(part)

6 8 6 . W e l l s F a r g o So ld 09/14/10(part)

687. Honeywel l In ternat ional A D i v i d e n d J T B uy 06/25/10

688 . Honeywel l In ternat ional Bu y 08 /1 1 /1 0

689. H o n e y w e l l I n t e r n a t io n a l B uy 12/10/10

6 9 0 . W e s t e r n D i g i ta l No n e Sold 02/24/10

691 . Baxter In ternat ional A D i v i d e n d B uy 01 /27 /1 0

692. Baxter In ternat ional So ld 04 /30 /1 0(part)

693. Baxter In ternat ional So ld 05 /07 /1 0

694 . T e x t r o n A Divid en d Sold 08/16/10

695. Motoro l a No n e B uy 01 /06 /1 0

696. Motoro l a B uy 01 /07 /1 0

697. Motoro l a Bu y 01 /1 1 /1 0

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

A

B

li lne0m e G ain C od~s: A--$:li000 6~iesS ; : ; : B ~$1;00! ~ $21500 C =$2.501 - $5,000 D = $ 5 ,001 - S15 ,000 E = S15,001 - $ 50,000

( se e C ol um ns B 1 a nd D 4) F =$ 50 .0 01 ~ $ t0 0,0 00 : : G--S100;001 ~:$1,000.000 .. . . . HI =$1 ,000,O 01- $5 .0~ ,000 1-12 =More than $5,000,000 ..... i

2. V alue C odes J =$15 ,000 or less K = $15 ,ooi , $5 o,0o 0

( s e e C o lum n s C 1 a n d O3 ) N = $ 2 5 0 ~ 0 0 1 L $ 5 0 0 ~ 0 0 0 . . .. 0 ~$500;00i $ i i0001000 P i ~ $ i ; 0 0 0 ; 0 0 1 ~ $ 5 i 0 0 0 ; 0 0 ~ P ~P 3 = $ 2 5 , 0 0 0 . 0 0 1 ~ $ 5 0 1 0 0 0 , 0 0 0 P4 ~M~r~ thah $50,000~000

3. Value Method Codes Q =Appraisal R =Cost (R eal Estate Only) S =A ssessmen t =C~la Mark e t :

(S e e C o lum n C 2 ) U =B o o k V a lue v =O ther W =Estimated




of 50


ROSS, ALLYNE R.


05/10/2011


[] ( N o r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a ct i o n s . )ONE

6 9 8 . M o t o r o la B uy 02 /04 /1 0 J

699. Motorola Buy 02/08/10 J

7 0 0 . M o t o r o la So ld 05 /1 3 /1 0 J

(part)

7 0 1 . M o t o r o la So ld 07/26 /1 0 J A(part)

7 0 2 . M o t o r o la Sold 10/22/10 J A( p a r t )

7 0 3 . M o t o r o la Sold 12/01/10 J A

7 0 4 . D e v o n E n e r g y A D i v i d e n d K T So ld 03 /08 /1 0 J(part)

7 0 5 . D e v o n E n e r g y So ld 03/09/10 J A(part)

7 0 6 . D e v o n E n e r g y So ld 03/13/09 J( p a r t )

7 0 7 . D e v o n E n e r g y B uy 08 /30 /1 0 J

7 0 8 . D e v o n E n e r g y Bu y 09/01/10 J

7 0 9 . D e v o n E n e r g y Buy 12 /3 0/10 J

710. Freeport McMoran Copper A Dividend J T Buy 02/23/10 J

711. Freepor t Mc M oran Coppe r Buy 02/25/10 J

712. Freepor t Mc M oran Coppe r Sold 05/04/10 J A

(part)

713. Freeport McMoran Copper Sold 05/12/10 J

( p a r t )

7 1 4 . F r e e p o rt M c M o r a n C o p p e r Bu y 07/06/10 J

1 . Incom e G ain C odes: A = $ 1 .000 o r less B =$ I .0 0 1 - $2 .5 0 0 C = $ 2 .501 - $ 5 .000 D = $5 ,001 - $ 15 .000

(S e e C o lum n s B I a n d D4] F =$50,001 r $100,000 G =$I00,001 - $1 .000.000 H 1 =$1,000.001 - $5.000,000 H2 =More Ihal~ $5,000.000

2. Value Codes J =$15.000 or less K = $ 15.001 - $ 50.000 L = $ 50.001 - $ 100,000 M = $ 100.001 - $ 250.000

{S e e C o lun m s C I a n d D3 ) N = $ 250.001 - $500.000 O = $ 500.001 - $ 1.000.000 Pt =$1,000,001 - $5,000.000 P’2 =$5.000,001 - $25,000,000:

P3 =$25,000.001 - $50.000.000 P 4 = M or e l han $ 50,000,0003. Value Method Codes Q =Appraisal R =Cost (R eal Estate Only) S =Assessment T ~ s l ~ M a r k e t

/S e e C o lum n C 2 ) U =B o o k V a lue V =Oth e r W =Estimated

E =$15,001 - $50.000




Page 4 6 of 50


ROSS, ALLYNE R.


05 /1 0 /201 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 o l u e , transac tions (Inc ludes those of spouse and depen dent children; see pp. 34-60 of filing i n s t r u c t i o n s . )

[] (No reportable income, assets, or transactions.)ONE

71 5 . Freep o r t McMo ran Co p p er

7 1 6 . F r e e p o rt M c M o r a n C o p p e r

71 7 . Freep o r t McMo ran Co p p er

7 1 8 . F r e e p o rt M c M o r a n C o p p e r

7 1 9 . G e n e r a l M i l ls A D i v i d e n d

So ld 10/05/10

(part)

So ld 10/14/10

(part)

So ld 10/19/10

( p a r t )Sold 11/02/10

(part)

J

J

J

J

7 2 0 . W a l t D i s n e y A D i v i d e n d J T So ld(part)

7 2 1 . W a l t D i s n e y Bu y

01/21/09 J

05/27/10 J

7 2 2 . W a l t D i s n e y B uy 10/05/10 J

7 2 3 . W a l t D i s n e y Bu y 10/06/10 J

B

C

C

B

A

7 2 4 . N e w s C o r p . A D i v i d e n d K T Sold 01 /1 1 /1 0 J A(part)

7 2 5 . N e w s C o r p . So ld 02 /05 /1 0 J B(part)

7 2 6 . N e w s C o r p . So ld 04 /28 /1 0 J B(part)

7 2 7 . N e w s C o r p . B uy 06 /23 /1 0 J

7 2 8 . N e w s C o r p . B uy 10/11/10 J

7 2 9 . N e w s C o r p . So ld 12/20/10 J

(part)

7 3 0 . A n h e u s e r B u s c h N o n e S old 04/09/10 J

7 3 1 . C M E G r o u p A D i v i d e n d J T So ld 01 /25 /1 0 J(part)

2. V alue C odes J =$15 ,000 or less : M - - $ i00;00! ~ : $250,000

(See Columns C1 and D3) N --S250.001 r S500,0O0 :O ~S~0 6i 0 ~i $ $ 25i000,000 :

1’3 =$2&000,001 ~ $50;000;000 .... 1 ’ 4 = M o r e lh a n $ 5 0 1 o o 6 1 0 0 0

3 V a lue M e th o d C o d e s Q-A raisai : ..... :: :: S--A~m~ni T~ashMark~t~ pp ...... : .-

(S e e C o lum n C 2 ) U =B o o k V a lue : V =Gth e r W ~Esti~ai~d




of 50




05/10/2011

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


7 3 2 . C M E G r o u p

7 3 3 . C M E G r o u p

7 3 4 . D R H o r t o n I n c . A

735. F i f th Thi rd Bancorp A

736 . F i f th Thi rd Bancorp

7 3 7 . J o h n s o n & J o h n s o n A

7 3 8 . J o h n s o n & J o h n s o n

7 3 9 . J o h n s o n & J o h n s o n

7 4 0 . J o h n s o n & J o h n s o n

7 4 1 . J o h n s o n & J o h n s o n

7 4 2 . J o h n s o n & J o h n s o n

7 4 3 . J o h n s o n & J o h n s o n

7 4 4 . J C P e n n y A

7 4 5 . J C P e n n y

7 4 6 . W a l - M a r t S t o re s A

7 4 7 . W a l - M a r t S t o re s

7 4 8 . W a l - M a r t S t o re s

Bu y 09 /01 /1 0 J

B uy 11/01/10 J

D iv id en d So ld 11/30/10 J A

Divid en d J T B uy 06 /1 4 /1 0 J

B uy 07/02 /1 0 J

D i v i d e n d K T B uy 06 /22 /1 0 J

Bu y 06 /24 /1 0 J

Bu y 06 /30 /1 0 J

B uy 07/27/10 J

B uy 09 /21 /1 0 J

B uy 10/04/10 J

B uy 12/14 /10 J

D i v i d e n d So ld 03 /01 /1 0 J(part)

Sold 04 /1 6 /1 0 J B

D i v i d e n d So ld 01 /1 2 /1 0 J(part)

So ld 01 /28 /1 0 J(part)

Sold 04 /30 /1 0 J A

i~id~i~i ~)~!~i ~,0~ 6~$iO 0i~ i i~ i i0001000 HI =$11000;09i’ $5,000,000 H2 =More than SL000,000 ..........

2. Value Codes J=$15;~i~ : KZ$IS;001 ~ $50,000 L =$50.001 ~ $100.000 M =$100,001- $250,000 ....( S e e C o l u m n s C I a n d 0 3 ) - $1,000,000 : P 2 : = $ 5 , 0 0 0 . 0 0 1 ; $ 2 5 ~ 0 0 0 ; 0 0 0

P3 =$ 25:~00~;00i 2 $50i0~!000 P 4 = M 0~e than $ 50,000;0003. Value Method Codes ; Q~A~aii~i : R ~0 St ( Rea! Est a i e Onl y) ;S =Assessment T~esh Market

(S e e C o lum n C 2 ) U ~ B o o k va i f i e v = o t her w =E s t im a te d




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05/10/2011

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 chi ldren; see pp. 34-60 of fillng instructions.)


749. Alliance Bemstein Global DiversifiedS t r a t e g i e s L P

7 5 0 . B em s t e i n ~ 3 1 o b a l O p p o r t un it i e s H ed g e F un d

None N

None M

U

U

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

(S e e C o lum n s B I a n d D4) F=$50,001 - $100,000 (i =$ 10 0.0 01 - $ 1.0 00.0O0 H 1 = $1.0~0 .0 01 - $5.00 0.000 H 2 = More th an $5 .0 00 .0 00

2. Value Codes J =$15.000 or less K = $ 15 .001 - $ 50.000 L = $ 50,001 - $ 100.000 M =$ 100,001 - $ 250,000{S e e C o lum n s C I a n d D3 ) N =$250.001 - $50~.000 O = $5 00 .0 01 - $ 1,0 00 .0 00 P I = $1 .0 00 .0 01 - $ 5.0 00 _0 00 P2 =$5.000,001 - $25,000,000

P3 =$25,000.001 - $50,000,000 P 4 = M or e t han $ 50.000.0003. Value Method Codes Q =Appraisal R =Cost (R eal Estate Only) S =Assessmenl T =C a s h M a rke t

(S e e C o lum n C 2 I U = Bo ok V alue V = Olh er W =Estimated

E =$15.001- $50.000




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VIII. A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . an,ticatep,,rtolrerort.)

Par t VI I , l in e 8 . In ad ver ten t ly o mi t t ed f ro m p rev io us rep o r t .

Par t VI I , l in e 47 . Fo rmer ly C o hen & Steers Se lec t U t i l i ty Fun d .

Par t VI I , l in e 57 . Rep o r ted l as t year as Do m in ican Reso urces d u e to a typ o g rap h ica l e r ro r .

Par t VI I , l in e 6 6 . See ex p lan a t io n fo r Par t V I I , l in e 47 .

Par t VI I , l l in es 74 , 75 , an d 76 . The as ses t s l i s ted o n l in es 75 an d 76 w ere n o t co r rec t ly l i s t ted d ue to in ad ver ten ce . In s tead , the i r va lue was m is taken ly in c lud ed

wi th in the va lue o f the as se t l i s ted o n l in e 74 . The as se t o n l in e 75 was acqui red o n Ma rch 7 , 2007 , va lue co d e M. The as se t o n l in e 76 w as acqui red o n Ju ly 7 ,2006 , va lue co d e M.

Par t VI I , l in e 253 . Th i s t ran sac t io n was m is taken ly l i st ed o n l as t year ’s rep o r t a s a p a r t i a l s e l l . In fac t the en t i re p o s i t io n w as so ld .

Par t VI I , l in e 349 . Th i s as ses t was mis taken ly o n l as t year ’s rep o r t a s be in g p ar t i a l ly so ld o n 1 - 2 - 09 . In fac t the en t i re p o s i tio n was so ld o n tha t d a te .

Par t VI I , l in e 420 . Fo rm er ly rep o r ted as XL Cap i t a l .

Par t VI I , l in e 48 6 . On l as t year ’s rep o r t , th i s as se t was mis taken ly rep o r ted as be in g p ar t ly so ld o n February 4 , 2009 . In fac t the en t i re p o s i t io n w as so ld o n tha tdate .

Par t VI I , l in e 553 . Erro n eo us ly rep o r ted l as t year as a p a r t s a l e , in fac t was a fu l l s a l e .

Par t VI I . l in e 328 . Erro n eo us ly rep o r ted l as t year as so ld . In fac t was p ar t so ld .




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Name of Person Report ing

ROSS, ALLYNE R.

Date of Report

05/10/2011

IX. CERTIFICATION.

I c e r t if y t h a t a l l in 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 in 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 o 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 l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u re .

I f u r t h e r c e rt i f y t h a t ea 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 nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . § 5 0 1 e t . s e q . , 5 U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signa tu re: S/ALLYNE R. ROSS

N O T E : A NY I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L SI F I E S O R F A I L S T O F I LE 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 I LAND CRIMINAL SANCTIONS (5 U .S .C. ap p . § 1 04)

C o m m i t te e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t ra t i v e O f f i c e o f t h e U n i t e d S ta t e s C o u r t s

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Washington, D.C. 20544

Allyne R Ross Financial Disclosure Report for 2010

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