Claire C Cecchi Financial Disclosure Report for Cecchi, Claire C

8/3/2019 Claire C Cecchi Financial Disclosure Report for Cecchi, Claire C

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FINANCIAL DISCLOSURE REPO RTFOR CALENDAR Y EAR 2010Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . Person Repor ting ( las t name, f ir s t , middle init ial)C E C C H I , C L A I R E C .

4. Tit le (Art ic le 111 judges indicate act ive or senior s ta tus ;magis t ra te judges indicate ful l - or par t - t ime)U S M A G I S T R A T E J U D G E

7 . C h a m b e r s o r Of f i c e A d d r e s sMart in Lu th e r King J r Fed Bldg5 0 W alnu t St ree tN ew ark , N J 0 7 1 0 2

i 2 . Court o r Organ iza t ionU S D I S T R I C T C O U R T - N J

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report

8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

3. Date of Repor t05/10/2011

6. Report ing Pe riod01/01/2010

to12/31/2010

R e v i e wi n g Of f i c e r Da te

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 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 e p o . l . g individual only; seepp. 9-13 of filing instructions.)~] N O N E ( N o reportable positions.)

POSITION

2.

3.4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . < R e r o r , in g i n d i v id u a t o . + y ; s e e p p . 1 4 - 1 6 of filing instructions.)~] N O N E (No reportable agreemen ts.)

DATE PARTIES AND TERM S


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FINANCIAL DISCLOSURE REPORTPage 2 of 16

N a m e o f P e r s o n R e p o r t in gCECCHI, CLAIRE C.

Date of Report05/10/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ( R e p o . i n g i n d i v i d u a l a . d s p o a s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-lnvestment Income~ (No reportable n on- inves tment income. )ONE

DATE SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p 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 - lf you were married daring anyportlon of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

D N O N E (No reportable non-investment income.)DATE

! . 2 0 1 02.

3.

4.

SOURCE AND TYPEC A R E L L A , B Y R N E , C E C C H I , B R O D Y , O L S T E 1 N & A G N E L L O - W A G E S

IV. R E I M B U R S E M E N T S - transportation, Iodglng, food, entertalnmen~(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

I.

2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 o f 1 6


Da t e o f R e p o r t05/10/201 !

V . G I F T S . t i n c t u r e s t h o s e t o s p o u s e u n d d e p e n d e n t e h , ~ d r e n ; s e e p p . 2 S - 3 1 of filing instructions.)N O N E ( N o reportable gifts.)

S O U R C EI.

2.3.4.

5.

D E S C R I P T I O N V A L U E

V I . L I A B I L I T I E S . a ne lu d e s those of spouse and dependent children; see pp. 32-33 of filing instructions.)D NO N E ( N o reportable liabilities.)

C R ED IT O R D ES C R IP T IO N1 . B a n k o f A m e r ic a 40 1 k loan2. Cit ibank U n s e c u r e d c r e d i t l in e s3. Am e r i c a n Expre ss Credi t Card4.5.

V A L U E C O D EKOK


4/16


N a m e o f P e r s o n R e p o r t i n gCECCHI, CLAIRE C.


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 o g 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.)

2.

3.4.

5.6.7.8.

9.

A. B. C. D.Descr ip t ion of Assets Income during Gross va lue a t end Transact ions dur ing repor t ing per iod(including trust assets) rep orting period of reportin g p erio d

(I ) (2 ) (l) (2) (1 ) (2) (3) (4) (5 )Place "(X )" after each asse t Am ount Ty pe (e.g ., V a lu e V alu e Type (e .g ., D a t e Va l u e Gain Ident i ty of

exempt f rom pr ior d isclosure Code 1 div., rent, C o d e 2 M e t h o d buy, se l l , mm/dd/yy Co d e 2 Code 1 buyer /se l l e r(A-H) o r i n t . ) ( J - P ) Co de 3 red em p tio n ) ( J - P ) (A -H) (if private( Q - W) transaction)

B a n k o f A m e r i c a - C h e c k i n g a c c o u n t sCi t iban k - Check in g acco un ts

A Interes t J T

M o r g a n S t a n l e y B a n k - C a s hA Interes t N T

N or th w es t e rn Mu tu a l Ins Cas h Va lu eA Interes t J T

G u a r d i a n W h o l e L i fe401(k) #1 - Lin es 7 & 8- Dav i s N Y Ventu re Fu nd

A Interes t L TA Interes t J T

- A m e r i c a n F u n d s -A m e r i c a n G r o w t h F u n dS E P # 1 - L i n e s 1 0 & 1 1

- Morgan S tan l ey-L iqu id As s e t Fu nd- Morgan Stan l ey Bank (Cas h accou nt )401(k) #2 - Lin es 13 & 14- C o l u m b i a C o r e B o n d Z- C o l u m b i a L a r g e C a p G r o w t h ZCare l l a , By me, Cecch i , Bro d y , Ols te in &A g n el lo , PCMark Pharmaceu t ica l (Un l i s t ed Secur i ty )

A D i v i d e n d KA D i v i d e n d K

A D i v i d e n d JA Dividend K

TT

TT

C D i v i d e n d L TA Div id en d M T

N o n e P 1 WN o n e J T

1 7 . Bro kerag e #1 - Lin es 18 - 186

1. I nc ome Gain Codes :( S ee Colu mns BI and D4 1

2. Valu e Codes(Se e Co lumn s CI a n d D3)

3. Valu e Method Codes( S ee Colu nm C21

A=$1 ,0 0 0 o r le s sF =$50,001- $100,000J =$15,000 orlcssN=$250,001- $500,0(10P3 =$25,000,~11- $50,000,000Q =A p p r a i sa lU = Book Valu e

B = $ 1 ,001 - $ 2 ,500G =$100,001- $1,000,000K=$15 ,0 0 1- $5 0 ,0 0 0O=$500,001- $1,000,000R = Cos l ( R c al Es t a t e Only )V = Other

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

D = $ 5,001 - $ 1 5 ,000H2 =More than $5,000,000M=$100,O01 - $250,000P2 =$5,000,001- $25,000,000T =Ca sh M a rk c 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 gC E C C H I , C L A IR E C .

Date of Report05/10/201 I

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 u t u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of fi ling instructions.)D N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i n c l u d i n g t r u s t a s s e ts ) report ing period(1) (2)P l a c e " ( X ) " a f t er e a c h a s s e t A m o u n t T y pe ( e . g .,e x e m p t f ro m p r io r d i s c l o s u re C o d e 1 d i v . , r e n t ,

- W e st e rn Asse t Mone y M kt- Vangu ard Tota l Stock Mark e t e t f- B l a c k r o c k H i g h Y i e ld B o n d P o r t- L a z a r d E m e r g i n g M a r k e ts E q u i t y P o r t- P r inc ipa l FDS-P re f See C I I- P r u d e n t i a l S h o r t- t e rm C o r p B o n d F u n d- Th ornb u rg In t e rna t iona l Va lu e Fu ndAppl e Inc

A l l e g h en y T e c h

Av ery Denni s on Corp

1 8 .

19 .20 .21 .22 .23 .24 .25 .26 .

27 .28 .29 .30 .31 .32 .33 .34 .

Soth eb ys De law are

G r o s s v a l u e a t e n d T ra 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 do f r e p o r t i n g p e r i o d(1) (2) (1 ) (2) (3) (4)Value V alue T y p e ( e .g . , D a t e V a l u e G a i n

C o d e 2 M e t h o d b u y , s e l l , m m / d d / y y C o d e 2 C o d e I

Bri s to l Myers Squ ib b Co

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

A Int ./Div. JA D i v i d e n d MA lnt ./Div. KA Int ./Div. KA Int ./Div. KA Int ./Div. KA Int ./Div. K

N o n e

N o n e

N o n e

N o n e

N o n e

C o d e 3( Q - W )

TTTTTTT

redempt ion) (J-P) (A-H)

B uy 09/21 /10 MB uy 05/20/10 KB uy 05/20/10 KBu y 05/20/10 KBu y 05/20/10 KBu y 05/20/10 KBu y 05/20/10 JS o ld 09 /21 /1 0 J

Bu y 05/20/10 JS o ld 09 /21 /1 0 JBu y 06/14/10 JS o ld 09 /21 /1 0 JBu y 05/20/10 JS o l d 09 /21 /10 JBu y 05/20/10 JS o ld 09 /21 /1 0 J

A

A

A

A

Identity ofbuyer /seller(if privatetransaction)

I . Inc ome G ain Codes : A =$1.000 or less B =$1,001 - $2 ,500 C =$2,501 - $5 ,000 D =$5,001 - $15 ,000( S ee Colu mns B I and D4 ) F =$50.001 - $100,000 G =$100,001 - $1.000,000 H I =$ 1, 00 0, 00 1 - $ 5, 00 0, 00 0 H 2 =M o re th an $5 ,0 00 ,0 002. Valu e Codes J =$15.000 or less K = $15,001 - $ 50,000 L =$50,001 - $100,000 M - $ 1 00,001 - $ 250,000

( S ee Colu mns C I and D3 ) N =$250,001 - $500,000 O =$500,001 - $1 ,000,000 PI =$1,000.001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003 . Valu e Method Codes Q =A p p r a isa l R = Cos t ( R eal Es t a t e Only ) S = As s es s ment T =Ca sh M a rk e t(Se e Co lun m C2 ) U = Book Vatu e V = Other W = Es t imated

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 gCECCH I, CLAIRE C.


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 a e , t r a n s a c ti o n s (Includes those of spouse a n d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( inc luding t r u s t a s s e t s ) r e p o r t i n g p e r i o d(1) (2)

Place "(X)" after each asset A m o u n t Type (e.g.,exempt fromprior disclosure C o d e 1 div., rent,( A - H ) o r i n t . )

35 . Borgwamer Inc. None36 .37 . Continental Airlines Inc None38 .39 . Cooper Ind ustries PIe None40 .41 . Carnival Corp None42 .43 . Cemer Corp None

44 .45 . Church & Dwight Co Inc None46 .47 . ChicosFaslnc None48 .49 . Clean Harb ors lnc None50.51. Compass Minerals Intl lnc None

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

V a l u e V a l u eC 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 i o n s d u r i n g r e p o r n n g p e r i o d(l) (2) (3)

Type (e.g., D a t e V a l u eb u y . s e l l , m m / d d / y y C o d e 2

redemption) ( J - P )

(4) (S)Ga i n Ident i ty of

Code 1 buyer /se l l e r(A-H) (if private

transaction)

A

A

A

Bu y 05/20/10 JS o ld 09 /21 /1 0 JBu y 05/20/10 JS o ld 09 /21 /1 0 JBu y 05/20/10 JS o ld 09 /21 /1 0 JBu y 05/20/10 JS o l d 09/21/! 0 JBu y 05/20/10 J

S o l d 07/26/10 JBu y 05/20/10 JS o l d 08/20/10 JBu y 05/20/10 JS o l d 07/20/10 JBu y 05/20/10 JS o ld 09 /21 /1 0 JBu y 05/20/10 J

I. In c o m e G ain C o de s: A =$1,000 o r less B =$1,001 - $2 .500 C =$2,501 - $5 ,000 D =$5,001 - $15,000( Se e C ol um n s B I a nd I) 4 ) F =$5 0,0 01 - $1 00 ,0 00 G = $ 10 0,0 01 - $ 1,0 00 ,0 00 H I =$ 1,0 00 ,0 01 - $5 ,0 00 ,0 00 H2 =More than $5,000,0002. V alue C o d es J =$1 5.000 or less K ;$1 5.001 - $50.000 L =$50,001 - $1 00,000 M =$100,001 - $250,000(Se e Co lumn s CI a n d D3) N =$250.001 - $500.000 O =$50 0,00 1 - $1.000,000 P I = $1 ,0 0 0, 00 1 - $ 5, 00 0 ,0 0 0 P 2 = $5 ,0 00 ,0 01 - $ 25 ,0 00 ,0 00P3 ~$25,000,001 - $50,000,000 P4 - Mor e than $ 50,000,0003 . Valu e Method Codes Q = Appr a i sa l R ~ Cos l ( R eal Es t a l e Only ) S = As s es s ment T =Ca sh M a rk e t(Sc Co lumn C2 ) U ~ Book Valu e V ~O th cr W =Estinaatcd

E =$15,001 - $50,000


7/16

FINANCIAL DISCLOSURE REPO RTPage 7 of 16

N a m e o f P e r so n R e p o r t i n gCECCH I, CLAIRE C.

Date of Report0 5 / 1 0 / 20 1 l

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

Cree In c

C i s c o S y s I n c

A. B, C. D.D escrip tion of Assets In co m e d u rin g Gross va lue a t end Transact ions dur ing repor t ing per iod( including t rus t asse ts ) reporting period of reporting period

(1) (2) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X )" after each asse t A m ou nt T y p e ( e . g ., V a lu e V a l u e Type (e.g., D a t e Value ~ Gain I d e n t i t y o fe x e m p t from p rio r d isc losure C o d e I d iv . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m r n /d d /y y C o d e 2 C o d e I b u y e r / s e l l e r(A-H) o r i n t . ) ( J - P ) Code 3 redempt ion) (J-P) (A-H) (if private

(Q-W) transaction)

C o g n i z a n t T e c h S o l u t i o n s C L A

Crown H oldings Inc

52 .53 .54 .55 .56 .57 .58 .59 .60 .61 .62 .63 .64 .65 .66 .67 .68 .

W alt Disney Co

Discovery Communications Inc

Sold 09 /21/10 JNone B uy 05/20/10 J

Sold 08/12/10 JNone B uy 05/20/10 J

Sold 09 /21/10 JNone B uy 05/20/10 J

Sold 09 /21/10 J ANone B uy 07/13 /10 J

Sold 09 /21/10 J A

None B uy 05/20/10 JSold 09 /21/10 J A

None B uy 05/20/10 JSold 09 /21/10 J A

None B uy 06/03110 JSold 09 /21/10 J

None B u y 05/20/10 JSold 09 /21/10 J A

Dolb y Lab ora tor i e s Inc

Digital Realty TR Inc

1 . In co m e G a i n C o d es : A =$1 ,000 o r le ss B ~ $ 1 .001 - $2.500 C =$2,501 - $5,000 D =$5,001 - $15 ,000(See Colu mns B I and D4 ) F =$50,001 - $ 100,000 G =$ 100.001 - $ 1 .000,000 H 1 =$1 ,000.001 - $5,000,000 H2 =More than $5,000,000

2. Valu e Codes J =$15.000 or less K ~$15.001 - $50.000 L =$50.001 - $ 100,000 M =$ 100,001 - $250,000( S ee Colu mns C I and D3 ) N =$250.001 - $500,000 O =$ 50 0.0 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 P4 =More than $50,000.0003 . Valu e Method Codes Q :Appr a i s a l R = Cos t ( R e a l Es ta te O n ly ) S = As s es s ment T =Ca sh M a rk e tISee Colunm C2) U zB~vok Value V : Other W = Es t imated

E =$15,001 - $50.000


8/16

FINANCIAL DISCLOSURE REPOR TPage 8 of 16



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

69 .70 .71 .72 .73 .74 .75 .76 .77 .

78 .79 .80 .

81 .82 .

83 .84 .85 .

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

D escrip tion of A ssets In c o m e d u r in g G ro ss v alu e a t en d T ran sactio ns du rin g rep orting p eriod( including t rus t asse ts ) rep orting period of rep orting period( 1 ) ( 2 ) (1) (2) (l ) (2) (3) (4) (5 )Place "(X)" after each asset A mo un t T yp e (e .g ., V alu e V a lu e Type (e.g. , Date Value Gain Ident i ty ofexempt f rom pr ior d isclosure C o d e I div. , rent, Code 2 Method buy , se l l , m m / d d / y y C o d e 2 ~ C o d e 1 buye r/se l le r(A-H) orint.) (J-P) Code 3 redempt ion) ( J P ) I ( A - H ) (if private( Q - W ) l transaction)

Dow Chemical Co None

Dreamw orks Animation lnc CL A None

Ebaylnc None

Proshares Ultrashort MSCI None

Eastman Chemical Co None

Prosha re s Ul t r a Shor t MS CI

Ex pedi to r s In t l o f W as h lnc

None

None

FMC Technologies Inc None

Market Vectors Gold M iners None

Bu y 0 5 / 2 0 / 1 0 JS o l d 09/21110 J ABu y 0 5 / 2 0 / 1 0 JS o ld 09 /21 /1 0 JBu y 0 5 / 2 0 / 1 0 JS o ld 0 9 /2 1 /1 0 J ABu y 0 5 / 2 0 / 1 0 JS o l d 06/04/10 JBu y 05/20/10 J

S o ld 0 6 /2 3/1 0 J ABu y 0 5 / 2 0 / 1 0 JS o ld 0 6 /0 4/1 0 JBu y !08/05/10 JS o l d 09/21 /10 J ABu y 05/20/10 JS o ld 0 9 /2 1 /1 0 J ABu y 05/20/I 0 J

I. In co m e G a in Co d es: A =$1 ,000 o r le ss B =$ I,OO I - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000( S ee Colu mns BI and D4 1 F =$50,001 - $100.000 G =$100.00 1 - $1 .000,000 H I =$ 1.0 00 ,0 01 - $5 ,0 00 ,0 00 H 2 =M o re t ha n $5 ,0 00 ,0 00

2. Value Co des J =$15,000 or less K =$15,001 - $50.000 L =$50,001 - $100,000 M -$100.001 - $250,000( S ee Colu mns CI and D3 ) N =$2 50.001 . $500.000 O =$500,00 1 - $1 ,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000.000

P3 =$25,000,1~1 . $50.~00,(300 P4 =More than $50,000,0003. V a l ue Met h o d C o d es Q . -Appraisal R = Cos l ( R eal Es t a t e Only ) S = As s es s ment T = C a s h M a r k e t( S ee Colu nm C2) U = Book Valu e V = Other W = Es t imated

E =$15,001 - $50.000


9/16

FINANCIAL DISCLOSURE REPOR TPage 9 of 16

Name of Person ReportingCECCHI, CLAIRE C.


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; seepp. 34-60 of filing instructionx)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( i n c l u d i n g t ru s t a s s e t s ) re p o r t in g p e r i o d

(D (2)Place "(X)" after each asset A m o u n t Type (e.g.,

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

Greenhill & Co Inc86 .87 .88 .89 .9 0.9 1.9 2.9 3.9 4.9 5.9 6.9 7.9 8.

G i v a u d a n S A - C H F

Hasbro Inc

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

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

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

None

None

None

None

None

Intl Flavors & Fragrances lnc

Infosys Techn ologic SP ADR

Transact ions d u r i n g r e p o r t i n g p e r i o d

(i t (2) O)Type (e.g. , Date V a l u ebuy , se l l , mm/dd /yy Code 2

redempt ion) (J-P)

( 5 )Ga in Identity of

C o d e 1 b u y e r / s e l l e r( A - H ) (if private

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

ITC Hol d i ngs Corp

9 9 . J C r e w G r o u p l n c100.1 0 1 . J o h n s o n C o n t r o ls l n c102.

None

None

None

S o ld 07/1 6 /1 0 J ABu y 05/20/10 JS o l d 09 /21 /10 J ABu y 05/20/10 JS o l d 09 /21 /10 J ABu y 05/20/10 JS o ld 0 9 /2 1 /1 0 J ABu y 05/20/10 JS o ld 0 8 /0 2 /1 0 J A

Bu y 0 5 / 2 0 / 1 0 JJJJJJJJ

S o l d 09121110Bu y 0 9/ 0 9/ 1 0S o ld 0 9 /2 1 /1 0Bu y 0 5 / 2 0 / 1 0S o ld 0 7 /2 1 /1 0Bu y 0 5 / 2 0 / 1 0S o ld 0 9 /2 1 /1 0

A

A

I . loc ome G ala Codes :( S ee Colu mns BI and D4 )

2 . Valu e Codes( S ee Colu mns CI and D3 )

3. V al ue Met h o d C o d es( S c Colu mn C2)

A =$1.000 or lessF =$50.001 - $ 100.000J =$15.000 or lessN =$250,001 - $500,000P3 =$25,000.001 - $50,000.000Q =AppraisalU = Book Valu e

B =$1.001 - $2,500G = $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 , 0 0 0K =$15,001 - $50.000O =$50!1,001 - $ 1,000,000R = Cos l ( R eal Es t a t e Only )V = Other

C =$2,501 - $5,000H I =$1,000,001 - $5,000,000L = $ 5 0 , 0 0 1 - $ 10 0 ,0 0 0PI =$1,000,001 - $5,000,000P4 =More than $50,000,000S = As s es s menlW = Es t imated

D =$5,001 - $1S,000H2 =More than $5,000,000M =$100.001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$15,00 t - $ 50.00~


10/16



Date of Report05/10/201 I

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 a e , tr a n s a c t io n s (Includes those of spoase and dependent children; see pp. 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(I) (2 ) (1) (2) (1 ) (2) (3)

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Value Type (e.g., D a t e Valueexempt fromprior disclosure Code l div., rent, C o d e 2 M e th o d b u y , s e l l , mm/dd/yy C o d e 2( A - H ) or i n t . ) (J-P) C o d e 3 r e d e m p t i o n ) (J-P)

(Q-W

103 . K r a f t F o o d s I n c C l a s s A None B uy 05/20/10 J104. Sold 09/21/10 J105. Lockheed M arlin Corp None B uy 05/20/10 J106. Sold 09/21/10 J107. Lazard Emerging M kts Equity None B uy 05/20/10 J108. Sold 09/21/10 J109. McDonalds Corp None B uy 08/20/10 J110. Sold 09/21/10 J111. Microchip Technology Inc None B uy 05/20/10 J

112. Sold 09/21/10 J113 . Monster Worldw ide Inc None B uy 05/20/10 J114. Sold 09/21/10 J115. Nextera Energy Inc None B uy 09/09/10 Ji16. Sold 09/21/10 JI 17. National Fuel Gas Co None B uy 05/20/10 J118. Sold 09/21/10 J119. Nalco H olding Company None B uy 05/20/10 J

G ro s s v a lu e a t e n d T r a n s a c tio n s d u rin g re p o r t in g p e rio d(4 ) ( 5 )

G a i n Identity ofC o d e 1 b u y e r / s e l l e r( A - H ) (if private

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

A

A

A

A

1 . In co m e G ain C o d es: A =$1 ,000 o r le ss B =$1,001 - $2,500 C =$2,501 - $5,001) D =$5,1 )01 - $15,000( S ee Colu mn s B I and D4 ) F =$ 50.001 - $ 100,000 G = $ 100,001 - $ 1,000,000 H 1 =$1,000,001 - $5,000,000 H2 =More than $5,000,0002. Valuc Co des J =$15,000 o r less K =$15,001 - $50 ,000 L =$50,001 - $100,000 M =$100,001 - $250,000( S ee Colu mns CI and 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 =$25,000,001 - $50.000.000 P4 =More than $50,000,0003 . Valu e Method Codes Q =A p p r a isa l R = Cos t ( R eal Es t a t e Only ) S = As s es s ment T = Cas h Mar ket( S ee Colu mn C2) U = Book Valu e V ~O th cr W = Es t imated

E ~$15,001 - $50,000


11/16


N a m e o f P e r s o n R e p o r t in gCECCH I, CLAIRE C.


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

A. B. C. D.Description of Assets In co m e d u ring G ro ss v alu e a t en d Transact ions dur ing repor t ing per iod(in clu d in g tru st a sse ts ) rep orting period of rep orting period

(1) (2) (1) (2) (]) (2) (3) (4) (5 )Place "(X)" after each asset A m o u n t Type (e.g. , Va l u e V a l u e Ty pe (e .g., Da te V alu e G a in Ident i ty ofexempt f rom pr ior d isclosure C ode 1 div. , rent, C o d e 2 Method buy , se l l , m m / d d / y y Code 2 Code 1 buye r/se l le r(A-H) o r i n t . ) (J-P) Co de 3 redem ptio n) (J-P) (A-H) (if private(Q-W) transaction)

120. S o ld 0 9 /2 1 /1 0 J A1 2 1 . N a t i o n a l O i l w e l l V a r c o I n e N o n e Bu y 05/20/101 j122. S o l d 0 8/ 2 5 / 1 0 J A1 2 3 . N o v o - N o r d i s k A S A D R N o n e Bu y 0 6/ 1 5 / 1 0 J124. S o l d 0 9/ 2 1 / 1 0 J A1 2 5 . N o v o z y m e s A ! S - U n s p o n A D R N o n e Bu y 0 8/ 0 5 / 1 0 J126. S o ld 0 9 /2 1 /1 0 J1 2 7 . N Y S E E u r o n e x t N o n e Bu y 0 5 / 2 0 / 1 0 J128. S o ld 0 9 /2 1 /1 0 J A

1 2 9 . O w e n s C o m i n g I n c N o n e Bu y 05/20/10 .1130. S o l d 0 9/ 2 1 / 1 0 J1 3 1 . P l e x u s C o r p N o n e Bu y 0 5 / 2 0 / 1 0 J132. S o ld 0 9 /2 1 /1 0 J1 33. P h i l i p M orr i s In t l l nc N o n e Bu y 0 8/ 1 2 / 1 0 J134. S o ld 0 9 /2 1 /1 0 J A1 3 5 . P e r r ig o C o m p a n y N o n e Bu y 0 5 / 2 0 / 1 0 J136. S o ld 0 9 /2 1 /1 0 J A

I . Inc ome G ain Cedes : A =$1 ,000 o r le ss B =$1 ,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000( S e e C o l u m n s B I a n d D 4 ) F =$50,001 - $100,000 G =$100,001 - $1 ,0 00,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,0002. Valu e Codes J =$15,00 0 o r less K =$15,001 - $50,000 L =$50,001 - $ 100,000 M =$10 0,001 - $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 =$25,00~,001 - $50,000,000 P4 =More than $50,000,0003. V a l ue Met h o d C o d es Q =A p p r a isa l R = Cos t ( R eal Es t a t e Only ) S ~ A s s e s s m e m T = C a s h M a r k e t( S e e C o l u m n C 2 ) U - B o o k V a l u e V = Other W = Es t imated

E =$15,001 - $50,000


12/16

FINANCIAL DISCLOSURE REPORTPage 12 ofl6

Name of Person ReportingCECCHI, CLAIRE C.


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 , p a l . e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C, D.Descr ip t ion of Assets Income during Gross va lue a t end Transact ions dur ing repor t ing per iod( inc lud ing t rust a sse ts) rep orting perio d of repo rting p eriod

(1 ) (2) (1) (2) (1 ) (2) (3) (4) (5)Place "(X)" after each asset Am ou nt T ype (e .g., Value V al u e Ty pe (e .g ., D ate Va l u e Gain Identity ofexempt f rom pr ior d isclosure Code 1 div., rent, Co de 2 M ethod buy , se ll, m m/dd /y y Code 2 Code 1 buyer /se l l e r(A-H) o r i n t . ) (J-P) Code 3 red em ption) (J-P ) (A-H) (if private( Q - W) transaction)

1 3 7 . P h i ll i p s V a n H e u s e n C o r p D e l N o n e Bu y : 09/20/10 J138. S o l d 09/21 /10 J1 39. P ros h or t U l t ra s h or t N o n e Bu y 08/12/10 J140. S o ld 09 /21 /1 0 J1 4 1 . R e g a l B e l o i t C o r p N o n e Bu y 05/20/10 J142. S o l d 09/21 /10 J143. Do cto r Red d y s Labo ra to ry N o n e Bu y 05/20/10 J144. S o l d 09 /21 /10 J1 4 5 . R o b e r t H a l f l n t e rn a t i o n a l I n c N o n e Bu y 05/20/10 J

146. S o l d 09/21 /10 J1 4 7 . P o l o R a l p h L a u r e n C o r p C L A N o n e Bu y 05/20/10 J148. S o ld 09 /21 /1 0 J149 . Ro p er In d us t r i es ln c N o n e Bu y 05/20/10 J150. S o l d 09/21 /10 J1 5 1 . R a d i o s h a c k C o r p N o n e Bu y 05/20/10 J152. S o l d 09/21 /10 J1 5 3 . S a i c I n c N o n e Bu y 05/20/10 J

A

A

I . Inc ome G ain Codes : A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(S ee Co lu m ns B I a n d I)4) F =$50,001 - $100,000 G =$ 100,001 - $1 ,000.000 H 1 =$1,000,001 - $5,000,000 H2 = Mor e than $ 5 ,000,0002. Valu e Codes J =$1 5,000 or less K =$15,001 - $50,000 L =$50,001 - $1 00,000 M =$100,001 - $250,000( Se e C ol um n s C I a nd D 3) N =$2 50 .0 01 - $5 00 ,0 00 O =$50 0,00 1 - $1 ,000,000 P I =$1,000,001 - $5,000,000 P 2 =$5,000,001 - $25,000,000P3 =$25,000,~OI - $50.000,000 P4 =More than $50,000,0003 . Valu e Method Codes Q =A p p r a isa l R = Cos t ( R eal Es t a t e Only ) S = As s es s ment T =Ca sh M a rk e t( S ee Colu mn C2) U = Book Valu e V =O th e r W = Es t imatc d

E =$15.001 - $50,000


13/16

FINANCIAL DISCLOSURE REPO RTPage 13 of 16 Ia m e o f P e r s o n R e p o r t i n gCECCH I, CLAIRE C. Date of Report05/10/2011

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

A. B. C. D,D e s c r i p t io n o f A s s e t s I n c o m e d u r in g G r o s s v a lu e a t e n d T r a 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

( in c lu d in g t r u s t a s s e t s ) r e p o r t in g p e r io d o f r e p o r t in g p e r io d(1) (2) (1) (2) (1 ) (2) (3) (4) (5)

P l a c e " ( x ) " a l ~ e r e a c h a s s e t A m o u n t T y p e ( e . g . , V a l u e V a l u e Type ( e.g., D a t e V a l u e G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i sc l o s u r e 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 C o d e 1 b u y e r / s e l l e r( A - H ) o r in t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - P ) ( A - H ) ( i f p r i v a t e

( Q - W ) t r a n s a c t io n )

154. Sold 09/21/10 J155. Proshares Ultrashore S&P 500 None B u y 05/20/10 J156. Sold 09/21/10 J157. The Shaw Gr oup Inc None B u y 06/22/10 J158. Sold 09/21/10 J159. Stericycle Inc None B u y 05/20/10 J160. Sold 09/211/10 J161. Transdigm Gr oup Inc None B u y 05/20/10 J162. Sold 09/21/10 J

163. Teva Pharmaceutical Inds None B u y [05/20/10 J164. Sold !09/21/10 J165. Treehouse Foods Inc None B u y 06/15/10 J166. Sold 09/21/10 J167. Tata M otors Ltd None B u y 05/20/10 J168. Sold 09/21/10 J169. Proshares Ultrashort None B u y 05/20/10 J170. Sold 09/13/10 J

A

A

A

I. n c o m e G a i n C 0 d c s : A =$1,000 or less B =$1,001 . $2,500 C =$2,501 - $5,00 0 D =$5,001 - $15,000( S e e C o l u m n s 1 ~ 1 a n d D 4 1 F =$50.001 - $100.000 G =$100,00 1 - $1 ,000,000 H I = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 H 2 =M o re th an $5 ,0 00 ,0 00

2. V a l u e C o d e s . I =$15.000 or less K =$| 5,001 - $50.000 L =$50.001 - $100,000 M =$100,001 - $250,00~(See Columns CI and D31 N =$250.001 - $500.000 O =$500,0111 - $1.000.000 P I =$1 ,000,0 01 - $5 ,000,000 P 2 =$5,000,001 - $25,000,000

P3 =$25.000,001 . $50,000.000 P 4 =M o re than $50,000,0003. V a l ue Met h o d C o d es Q =A p p r a i sa l R = Cos t ( R eal Es t a t e Only ) S = As s es s ment T =Cash Market(See Column C2) U = Book Valu e V = Other W =Estimated

E =$15,001 - $50.000


14/16


Name of Person ReportingCECCH I, CLAIRE C.

Date of Report05/10/201 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 o l u e , transactions (Includes those of spouse and dependent children; seepp. 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 t i 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 lu e a t e n d T r a n s a c tio n s d u r in g r e p o rt in g p e rio 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(1) (2) (1) (2) (I) (2) (3) (4) (5 )

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., D a t e Value Gain Identity ofexempt fromprior disclosure C o d e I d iv ., r e n t , C o d e 2 M e t h o d buy, sell, m m / d d / y y Code 2 [ Code 1 b u y e r / s e l l e r( A - H ) orint.) (J-P) C o d e 3 r e d e m p t i o n )

(JP) t (A-H)(if private

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

i 7 I. Tyco lnt l Ltd CHF None B u y 05/20/10 J172. Sold 09/21/10 J A173. Verisk Analyt ics lnc CI A None B u y 05/20/10 J174. Sold 09/21/10 J175 . Wab tec None B u y 05/20/10 J176. Sold 09/21/10 J A177. WebM D Health Corp None B u y 05/20/10 J178. Sold 09/21/10 J A179 . Wh ole Foods M kt Inc None B u y 07/15/10 J

180. Sold 09/21 / 10 J181. Wh irlpool Corp None B u y 05/20/10 J182. Sold 07/06/10 J183. Waste M gmt Inc Del None B u y 07/01/10 J184. Sold 09/21/10 J A185. Wyn n Resorts Ltd None B u y 09/03/10 J186. Sold 09/21/10 J A187. Trust 1- See Note in Part V III None J T

I. In co m e G a in Co d es: A ~ $1 ,000 o r le ss B = $I.001 - $2 ,500 C =$2,501 - $5,000 D =$5,001 - $15,000( S ee Colu mns B I and D4 ) F =$50.001 - $ 100,000 G =$ 100,001 - $ 1,000.000 H 1 =$1,000,001 - $5,000,000 H2 =More than $5,000,0002. V alu Cod es J = $15.000 o r less K = $15.001 - $ 50,000 L =$50,001 o $ 100,000 M -$ 100,001 - $250,000( S ee Colu mns CI and 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 = $ 2 5 , 1 ) 1 ) 0 ,1 ) 1 ) 1 . $ 5 0 . 0 0 0 , 0 0 0 P 4 =More than $50,000,0003. V a l ue Met h o d C o d es Q ~A p p r a isa l R = Cos t ( R eal Es t a t e Only ) S = As s es s ment T = C a s h M a r k e t( S ee Colu nm C2) U =Btx~k Value V = Other W = Es t imated

E =$15,001 - $50,000


15/16


N a m e o f P e r so n R e p o r t i n gC E C C H I , C L A I R E C .

D a t e of Repor t05/10/201 I

V I I I . 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 . a,,,~ic,,,e~,,,r~o.trcpor,.)PART 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 1 8 7 . T r u s t 1 - ~ s t ru s t ee o f t ru s t w h ich a s o f r epor t da t e h ad no v a lu e .


16/16


Na m e o f P e r so n R e p o r t in gCECCHI, CLAIRE C.

Date o f Report05/10/2011

IX. CERTIFICATION.I c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c 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 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 th 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 t o ry

p r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h e r c e r t i f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i 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 .

Signature: S/CLAIRE C. CECCH I

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I FI E S O R F A IL S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

Co m m i t t e 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 tr a t ive O f f i ce o f t h e U n i t e d S t a t e s Co ur t sSui te 2-301O n e Co l um b us C i r c l e , N .E .W a s h i n g t o n , D . C . 2 0 54 4

Claire C Cecchi Financial Disclosure Report for Cecchi, Claire C

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