Douglas P Woodlock Financial Disclosure Report for 2010

8/3/2019 Douglas P Woodlock Financial Disclosure Report for 2010

1/13

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the Ethics in GovernmentAct of 1978(5 U.S.C. app. 101-111)

1. Person R epor t ing ( las t name, f i r s t , middle in i t ia l )W O O D L O C K , D O U G L A S P .

4. Title (Article 1II judges indicate active or senior status;magistrate judges indicate full- or part- time)A CTIVE U . S . D ISTRICT JU D G E

7. Chambers o r Office AddressUnited Sta tes CourthouseSui t e 4110 , I Cour t h ouse Wa yBos t on , M A 0 2210

2. Court o r Organ iza t ionD I S T R I C T O F M A S S A C H U S E T T S

5a. Repor t Type (check app ropr ia te type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final

3. Date of Report08/15 /2011

6. Report ing Pe riod01/01/2010

to12/31/2010

5b. [] Amended Report8 . On the basis o f the in fo rma tion con ta ined in this Report and anymodif ica t ions per ta in ing there to , i t i s , in my opinion, in com pl iancewith app l icable laws and regula t ions.

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

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~ Co m p le te a l l p a r t s ,checking the NONE box for each par t w here you have no repor tab le in format ion . S ign on las t page.

I . P O S I T I O N S . m e p o r ~ n g i n d i v id u a l only; see pp. 9 - 1 3 of f i l ing instruct ions. )~ (No reportable positions.)ONE

POSITION1 . Trustee Trust No. 12. Trustee Tr u s t No. 23.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Repor#ng individual only; see pp. 14-16 of filing n s t r u c t i o n s )~ (No repor tab l e agreem ent s .)ONE

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 13

N a m e o f P e r s o n R e p o r t i n gW O O D L O C K , D O U G L A S P .

D a t e o f R e p o r t08/15 /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 r ~ n g i n d i v i d u a l a n d s p o u s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investm ent Incom e

~] (No repor tab l e income. )ON E non-investmentD A T E _ S O U R C E AN D T Y P E I N C O M E( 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 t m e n t I n c o m e - lf you were married during any portion o f the reporting yea r, complete th is section.(Dollar amount not required except for honoraria.)

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

1 . 2 0 1 02.3.4.

DATE SOURCE AND TYPEP r o v id ed ca r e an d a s s i s t an ce f o r e ld e r ly ~

I V . R E I M B U R S E M E N T S -transpo.~tio. , lodglng, lood, entertainmen~(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)[~] N O N E (No reportable reimbursements.)

2.3.

4.5.

SOUR CE DAT E S LOCAT ION PURPOSE ITEM S PAID OR PROVIDED


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

D a t e o f R e p o r t08/15/2011

V . G I F T S . ( l n c t u d e s those to spouse and dependent children; seepp. 28-31 of filing instructions.)

[] N O N E (No reportable gifts.)SOURCE DESCRIPTION

1.2.

3.

4.

5 .

VALUE

V I . L I A B I L I T I E S . a n c l , ,d e s ,h o s e o l s p o ~ e o n d d e p e n d e n t children; see p p . 3 2 - 3 3 offiling instructiong)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.

3.

4.5.

V ALUE CODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 1 3

N a m e o f P e r so n R e p o r t i n gWOODLOCK, DOUGLAS P.

D a t e o f R e p o r t08/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o ., e . v n t . e , tr ~ . s ~ c t i o .s a . c l .d e s t h o s e o f s p o . ~ e a . d d e ~ , e . d e . t children; see p p . 3 4 - 6 0 of fi ling instructions.)[] NONE(No repor tab le incom e , a sse t s , o r t ransac t ions . )

1 . .Liquida ted 2001

2. L i q u i d a te d 2 0 0 1

3. . F id e l i t y Ca s h Re s e r v e s ( M o n e y M a r k e t ) A D i v i d e n d J T[ F D RX X ]

4. M e r r i l l L y n c h - CM A B o A Ta x E x e m p t A D i v i d e n d S o l d 12/03/10 L( M o n e y M a r k e t A c co u n t )

5. N o l o n g e r r e p o r t a b le

6. L i q u i da t ed 2 0 0 0

7. L i q u i d a t e d 1 9 9 5

8. L i q u i d a t e d 1 9 9 3

9. L i q u i d a t e d 2 0 0 2

1 0 . L i q u i d a t e d 1 9 9 3

ll. L i q u i da t ed 2 0 0 4

1 2 . L i q u i d a t e d 1 9 9 5

1 3 . F i d e li t y G N M A [ F G M N X ] C Di v i dend L T

1 4 . Fid e li ty In d e p e n d e n c e [FD FFX ] N o n e S ol d 03/16/10 L

1 5 . Fi de l i t y Gr owt h C om pany [ FGDR X ] A Di v i dend M T S o l d 03/16/10 K(part)1 6 . F i d e li t y M a g e l l a n [ F M A G X ] N o n e S o l d 03/16/10 L

cB

A

1 7 . Liquidated 1995

1. Incom e Ga in Co des: A = $ 1 .000 o r le ss B = $ 1,001 - $ 2.5 00( S ee C o lum n s B 1 an d D 4I F= $ 5 0,0 01 : $ 100,000 G = $ 100.091 - $1 ,0~0,000

2 . V a lue Co d es J = $ 15.000 o r less K =$15.001 - $50,000(See Cotumrts CI and D3) N = $25 0.001 - $5 00.00 0 O = $50 0.0 01 - $1 .00 0.0 00

P3 =$2 5 .0 0 0 .0 0 1 - $5 0 . ~0 0 , 0 003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)( See Colu mn C2 ) U = B o o k V a l ue V = O t he r

C =$2.501 - $5.000 D =$5.001 - $15.000H 1 =$ 1.000.001 - $5 .000.000 I12 =More than $5.000.000L = $50.001 - $100.000 M =$ 100.001 - $250.000PI =$I.000.001 - $5,000,000 P 2 = $ 5 , 0 0 0 . 0 0 1 - $25.000.000P4 =More than $50.~00.000S = A ssessm en t T =Cas h Mar ketW =Estimated

E $t5.001-$50.000


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D a t e o f R e p o r t08/15/2011

V II. INV ESTM ENTS an d TRUSTS - i .... e , v a lue , t r a n sa c t i o n s ( I n c l ud e s t h o se o f s p o use a n d d ep en d en t c h i ld r en ; s ee p p . 3 4 -60 o f f i l i n g i n s t r uc t i o n s . )--] NONE income, or transactions.)N o reportable asse t s ,

1 8 . Liquidated 19951 9 . Fidelity Convertib le Securities [FCVSX]

20. Liquidated 199921. T.Rowe Price Sm all Cap [OTCFX]

22. Liquidated 199823 . Liquidated 2007(Y)24. Liquidated 2005 (Y)2 5. Li qu id at ed 19 9 826 . First Nat l Bank of Ipswich (Checking/Savings)27 . Liq u id at ed 19 98

28 . Liquidated 1998



3 1. Liq u id at ed 1 99 9

32. Liquidated 19993 3. Liq u id at ed 19 96


None Sold 03/16/10

Dividend K

I n t e r e s t

2 , V a l ue C o d es J =$15,000 or less K = $ t 5 , 001 : $ 5 0 , 000 L =$50,001 , $100+000(See Columns C I and D 3) N--$250,001 r $500,000 O ~$ 50 0~0 01 - $ 1,0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00

P3 =$251090,00i - $50.000,000 P4 =More than $50,000,0003 , V alue M etho d Co d es Q =Ap praisal R = Cost (Real Estate Only) S =Assessment(See Column C2) U = B o o k V a l ue V =Oth er W ~Estimated

D = $ 5 , 0 0 t - $ 1 5 , 0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0H2 =More than $5 000,000 ....M = $ ~00. 00t - $ ~5 0. 000P2 =$5.0 0 0 ,0 0 1 -$2 5 ,0 0 0 ,0 0 0 :T =Cas h Mar ket


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FINANCIAL DISCLOSURE REPO RTPage 6 o f 13 Ia m e o f P e r s o n R e p o r t i n gW O O D L O C K , D O U G L A S P . D a t e o f R e p o r t08 / 1 5/ 2 01 1

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, tr ..... t ions (Inc ludes those of spouse and dependent chi ld ren; see pp . 34-60 of f i l ing ins t ruc t ions . )--] N O N E (_No reportable inco me, assets , or transactions. )

35 . L i q u i d a t e d 2 0 0 5 ( Y)

36 . L i q u i d a t e d 2 0 0 2

37 . L i q u i d a t e d 2 0 0 6

38 . N o l o n g e r r e p o r t a b l e 2 0 0 2

39 . L i q u i d a t e d 2 0 0 7

40 . L i q u i d a t e d 2 0 0 8

41 . F i d e l it y D i s c i p l in e d E q u i t y [ F D E X Q ] B

42 . F i d e l i ty S t o c k S e l e c t o r [ F D S S X ] A43 . Trust No . 1 E

44 . N o l o n g e r r e p o r t a b l e 2 0 0 2

45 . L i q u i d a t e d 1 9 9 646 , L i q u id a t e d 2 0 0 1

47 . L i q u i d a t e d 2 0 0 0

48 . L i q u i d a t e d 2 0 0 4

49 . D a v i s N e w Y o r k V e n t u r e F u n d , C 1 . A C[ N Y V T X ]

50 .

51 .

Di v i dend M T

Di v i dend L T

Dis t r ibut ion P 1 T

Dividend N T B u y 01111 /1 0 J(addl )So ld 0 8/1 8/1 0 K(part)Sold 10/28/10 K(part)

DE

1 . in com e Gain Cod es: A = $ 1.000 o r le ss B = $ I . 001 - $ 2 . 5 00[ See Colu mns BI and D4 ) F= $ 5 0.001 - $ 100.000 O = $ I00.0 01 - $ t.0 00.0 00

2 . V a lue Co d es J = $15 .000 o r less K =$15.001 - $50.000(See Columns C 1 and D3) N -$ 25 0. 001 - $ 5 00. 000 O =$500.001 - $1.000.000P3 =$25.000.001 - $50.000.0003 . V a lue M etho d Co d es Q = App raisal R =Cosl (Real Estate Only)( S ee C o l um n C 2) U = B o o k V a l ue V =Other

c = $ 2 . 5 0 ~ - $ 5 . 0 0 o o = $ 5 . 0 0 1 - $ ! 5 , 0 0 0H1 =$1.000.001 - $5,000,000 H2 = M o r e t han $ 5 . 000, 000L =$50.001 - $100,000 M = $ 100. 001 -$ 25 0. 000P I = $ I , 000, 001 - $ 5 , 000, 000 P2 =$5~000,001 - $25 ,000,000P4 =More than $56.000.000S = A ssessm en t T =Cas h Mar ketW -E s t imated

E =$ 1 5 . 001 - $ 5 0 . 000


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FINANCIAL DISCLOSURE REPORTP a g e 7 o f 1 3

N a m e o f P e r s o n R e p o r t in gW O O D L O C K , D O U G L A S P .

D a t e o f R e p o r t08/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , t~ u , ~ a c t i o n s a n c l u d e s th o s e o S s p o u s e a n d dependent children; see p p . 3 4 - 6 0 o f f i l i n g instructions.)D NONE(No reportable income, assets, or transactions.)

52 .

53 .

54 . L i q u i da t ed 2 0 0 7

55 . T . R owe Pr i ce B l u e C h i p Gr owt h [ T R B C X ][ F R S R X ]

56 .

57 . F r a n k l i n S m a l l M i d - C a p G r o w t h C l . A[ FR S GX ] I X ]

58 .

59 . L i q u i da t ed 1 999

60 . L i q u i da t ed 1 999

61 . L i q u i da t ed 1 999

62 . L i q u i da t ed 1 999

63 . L i q u i da t ed 1 999

64 . L i q u i da t ed 1 998

65 . L i q u i da t ed 1 998

66 . L i q u i da t ed 2 0 0 0

67 . L i q u i da t ed 2 0 0 0

68 . L i q u i da t ed 2 0 0 6

A Dividend M

A Div idendA Distr ibut ion

K

Sold 11/09/10 J B( p a r t )Sold 12/09/10 J D(part)

B uy 0 1/22 /10Sold 12/09/10(part)

J3

1 . I n c o me G a i n C o d e s : A = $ 1 , 0 1 9 0 o r l e s s( s e e C o i u m n s B 1 a n d D 4 ) F = $ 5 E 0 0 1 - $ 1 0 0 ; 0 0 02. Value Codes J =$15,000 or less

( Se e C o lu m n s C I a nd D3 ) N = $2 50 ,0 01 - $ 5 00 ,00 0P3 =$ 2 5 ,000 . 001 - $ 5 0 ,000~ 000

3 . V a lu e M e th o d C o d e s Q =A p p ra isa l( See Colu mn C2 ) U =Book Valu e

B =$ I;001 - $2~500 C = $ 2 ,501 - $ 5 000 D = $ 5 , 0 0 1 - $ 1 5 . 0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0G ~ $ ] 0 0 0 0 r $ 1 0 0 0 0 0 0 H I =$1 ~ 0 0 0 0 0 1 -$50 990 0 0 H2 = M ore th an $5 0 00.00 0 . . .. . . . .. . . .. . . . .. . . .. .K =$1 5 0 0 ! : $50 0 0 0 L =$50 001 ; $100,000 M =$1 0 0 .0 0 1 , $2 50 , 0 ~ 00 = $ 5 0 0 1 0 0 i ~ $ i i ~ 0 0 ~ : Pi ~1!0~i00t ~ $5i000i0~ P2 ~$5,000.001 $25,000;000

P4--M~re than $501000i000R =Co st (R ea l E sta te O~ly ) S -- ASSe~m en i T = C a s h M ~ k ~ tV ~ Oth er W ~Estimated


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FINANCIAL DISCLOSURE REPORTPage 8 o f 13


D a t e o f R e p o r t08/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .e 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 repor table inco me, asse ts , or transact ions . )

69. L i q u i da ted 2 0 0 0

70 . L i q u i da ted 2 0 0 7

71 . L i q u i da ted 2 0 0 7

72 . L i q u i da ted 2 0 0 0

73 . L i q u i da ted 2 0 0 7

74 . L i q u i da ted 2 0 0 7

75 . V a n g u a r d P r i m e ( M o n e y M a r k e t) A Di v i dend J T[ V M M X X ]

76 . L i q u i da ted 2 0 0 7

77 . V a n g u a r d L o n g T e r m I n v e s tm e n t G r a d e D Di v i dend M T[ V W E T X ]

78 . L i q u i da ted 2 0 0 6

79. L i q u i da ted 2 0 0 0

80 . Ma ss . T u r n p i k e A u t h o r i t y 1 1 1 1 1 3 ( B o n d s ) B Interest

81 . L i q u i da ted 2 0 0 5

82 . L i q u i d a te d 2 0 0 5

83 . V a n g u a r d M i d - C a p I n d e x [V I M A X ] B Di v i dend M T

84 . V a n g u a r d V a l u e In d e x [ V V I A X ] B Di v i dend L T

8 5 . V a n g u a r d 5 0 0 I n d e x [ V F I A X ] B Di v i dend M T

R ede em ed 0 6 / 2 8 /1 0

I . l n e 6 m e G a i n c o d e s l A - - $ 1 ; 0 ~ ~ E t e s s B = $ 1 ,001 - $ 2 ,5 00 C = $2,5 01 ~ $5,000 D = $5 ,001 - $ 15 ,000 E = $ 15 ,001 - $5 0,000(sedcolumnsBl andD4)F:~6~i~i001000 : G--$~00,00i-$1:000~000 ... . . . . tt =$ 000001,$5000000 H2--Morethan$5000000 ......

2. Value Codes J =$15~000 or !ess ....... K = $15 001 - $ 50 ,000 L = $5 0;001 ~ $ 100i~0 : M ~$ 10 0 i 0 0 ! 7 525Q , 0 0 0 . .. .. :{See C ol . . . . .CI and D3 ) N =$250,001 ~ $500.000 O =$500.00t - ~1,000.000 .... =$i 000~i $~!0Q0 000 P2 ~$~,o~i~:i $~5~000~000 ........

P3 =$25.000.001- $50.000~000 P4 --More iha~ $50~0001000 .....3 . V a l ue M et ho d C o d es Q =Appraisal R =Cost (Real Estate Only) S =Assessmefii( See Colu mn C2 ) U = B o o k V a l ue V =Oth er W =Estimated ......


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D a t e o f R e p o r t08/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , ~ e , v a t .e , t~ a n s a c # o ~ a n t i . d e s th o s e o l s ~ , o . ~ e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of filing instructions.)D NONE(No repor tab le inco me , a sse t s , o r t ransac t ions . )

8 6 . Vanguard Intermediate Term Bond Index D Dividend M T[ V B m X ]87 . V a n g u a r d S h o r t T e rm B o n d I n d e x [ V B I R X ] C Div idend M T88 . Va ngua rd T re a sury (M one y M a rke t ) N o n e J T[ V U S X X ]89 . Liquidated 200190 . L i q uida t e d 20 0 191. Liquidated 2000

92 . Van K a m p e n Mass VIMT [ V M V ] B Dividend Sold 04127110 K(part)93. Sold 04/29/10 K

94 . Liqu id a ted 2 0 0 595. Liqu id a ted 2 0 0 596. Liqu id a ted 2 0 0 797. Liqu ida t ed 2 0 0 198. Liqu id a ted 2 0 0 599. Fidelity Advisor High Inc. Advantage, C1.T D Dividend L T

[FAHYX]100. Se q uo i a [SEQ U X] B Dividend M T10l. Liquidated 2001

102. T. Rowe Price Mid-Cap Value [TRMCX] B Dividend M T

1, Income Gain Codes: A =$1.00O or less(See Columns B1 and 104) F =$50.001 - $100.000

2 . V a l ue C o d es J =$15,~00 or lessISee Colu mns CI and D3 ) N =$250.001 - $500.000

P3 =$25,000,00t - $50.000,0003 . V alue M etho d Co d es Q =Ap praisal( See Colu mn C2 ) U = B o o k V a l ue

B = $ 1 .001 - $ 2.5 00 C = $ 2,5 01 - $ 5 ,000 D =$5.001 - $15.000O =$100.001 - $1,000.000 H I = $1 ,0 00 .0 01 - $ 5.0 99 .0 00 H 2 =M o re th an $ 5, 00 0.0 00K = $ 1 5 . 0 0 1 - $ 5 0 . ~ 4 3 0 L =$50.001 - $100.000 M =$100.001 - $250.000O = $ 5 0 0 . 0 0 1 - $ 1 . 0 0 0 .0 0 1 3 PI =$1,000,001 - $5,000,000 P2 = $5.000.[101 - $25.000.000

P4 =More than $50.090,000R =Cost (Real Estate Only) S =Assessmenl T = C a s h M a r k e tV =Oth er W =Estimated

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


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D o t e o f R e p o r t08/15 /2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those o f s p o u s e and dependent children; see pp. 34-60 o/filing instructions. )[] NONE(No repo r tab l e i ncome, asse t s , or t ransact ions .)

1 0 3 . L i q u i da t ed 2 0 0 7

104. W el l i ng t on S h i e l ds B r oke r age -E v e r g r een A D i v i d e n d M TM o n e y M a r k e t F d . C 1 . A1 0 5 . L i q u i da t ed 2 0 0 7

1 0 6 . L i q u i da t ed 2 0 0 5

1 0 7 . L i q u i da t ed 2 0 0 7

1 0 8 . T . R o w e P r i c e V a l u e [ T R V L X ] A Di v i dend L T1 0 9 . V a n g u a r d S m a l l - Ca p I n d e x [ V S M A X ] B D i v i d e n d M T110. V a n g u a r d E x t e n d e d M a r k e t I n d e x B Di v i dend M T[ V E X A X ]111. T . R o w e P r i c e N e w A m e r i ca n G r o w t h A Di v i dend S o l d 11/09/10 L[ P RW A X ]1 1 2 . T . R ow e Pr i ce E q u i t y Incom e [ PR FDX ] A D i v i d e n d L T1 1 3 . L i q u i da t ed 2 0 0 8

1 1 4 . T r u s t N o . 2 E Dis t r ibut ion N T1 1 5 . T . R o w e P r i c e E m e r g i n g M k t s . [ P R M S X ] A D i v i d e n d L T

1 1 6 . Dodge & C ox I n t e r na t i ona l [ DODFX ] A D i v i d e n d K T B u y 01/22/10 J( add l )1 1 7 . D o d g e & C o x I n c o m e [ D O D I X ] C Di v i dend L T1 1 8 . T .R o w e P r i c e M i d - C a p G r o w t h [ R P M G X ] A Di v i dend L T1 1 9. F i de l it y R ea l E s t a t e I nv es t m en t [ FR E S X ] N o n e S o l d 03116/10 K

1. Income Gain ~: A ~ $ i , 0 ~ 0 ~ i ~ s s : B ~ $ 1 ] 0 0 i : $ 2 ~ 5 0 0 c = $ 2 ; 5 0 1 - $ 5 ,0 0 0 D = $ 5 . 0 1 ) 1 - $ 1 5 , 0 0 0:F~0 6~i ~ $ i~ 6~ ~ ~$100 001 ~$1 000 000 ...... HI~$I~ *5~000 H 2 = M o r e th a n $ 5 ~ 0 . ~ 02 . V a l u e C o d ~ J = $ 1 5 ; 0 ~ o r l e ~ K = $ 1 5 ~ I 4 $ 5 0 ~ 0 L ~ $ 5 0 0 0 1 g $ 1 0 0 0 0 0 M =$I00~1 - $250.~

( S e e C o h .m n s C I a n d D 3 ) N ~ $ 2 5 0 , 0 0 1 - $ 5 ~ ; ~ O ~$500~1 ?; $ 1;000;~0 ..... P I a $ ] ~ 0 0 0 ; ~ ! ; $ 5 ; 0 0 0 ; ~ : p 2 ~ $ 5 , ~ ; 0 0 1 - $ 2 5 , 0 0 0 .0 0 0P3 ~S25 ,~0.~t , $~0~0 00~000 . . .. . . P 4 = M b ? 6 ~ h a h * 5 0 , 0 0 0 . 0 0 03 . V a l u e M e t h o d C ~ e s Q = A p p ~ i S a l~ R = C o s t ( R ~ i E s ta t e O n l y ) s = A s s e ~ m e n t T = C ~ h M a r ke t( S e e C o l u m n C 2 ) U = B ~ k V a l u e V = @ h ~ W = E a i m a /~ d

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 gW O O D L O C K , D O U G L A S P .

D a t e o f R e p o r t08/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o . ,e , v a l u e , t r u n s u e t i o , ~ (Includes those of s p o u s e a n d dependent children; see p p . 3 4 - 6 0 oyfillng instructions.)~] NONE income, assets, or transactions.)N o reportable

1 2 0 . L i q u i d a t e d 2 0 0 81 2 1 . Oppenhe imer Equ i ty Income [ OAEIX ] A122.1 2 3 .124. F i de l i ty Four - In -O ne [FFN O X]125.1 2 6 . Vangu a rd In t l Stock Index [ VGTSX ] (X ) B1 2 7 . V a n g u a r d T o t a l B o n d I n d e x [ V B T L X ] (X ) C1 2 8 . Vangu a rd Tota l Stock Index [ VTSAX ] (X ) C1 2 9 . F ide l ity Spa r t an 500 Index [ FUSVX ] B1 3 0. F ide l ity Spa r t an Extended M arke t [ FSEVX ] C1 3 1 . F ide l i ty Spa r t an In t l Index [ FSIVX ] C

Div idend J T Sold 0 5 /12 /10 J A(part)Sold 07/20/10 J(part)Sold 0 8/18/10 J(part)

N o n e B uy 0 1/13 /10 JSold 0 3/15 /10 J A

D i vi de nd L T B uy 0 3/15 /10 LDiv idend M T B uy 0 3/15 /10 MD i vi de nd M T B uy 0 3/15 /10 MD i vi de nd M T B uy 0 3/16 /10 MDiv idend M T B uy 0 3/16 /10 M

Div idend M T B uy 0 3/16 /10 M

2 . V a l ue C o d es J =$ 15 .000 Or less K = $15,001 - $ 50 ,000( See Colu mns 1 and D3 ) N =$250~001 - $ 500 000 O =$ 5 00i001 . $ t,000.000

P3 =$25,000:001 - $50~000,0003 . V alue M etho d Co d es Q = Ap praisal R =Cost (Real Estate Only)( See Colu mn C2 ) U = B o o k V a l ue v =Oth er

C =$2,501 - $5,000HI =$1,000,001-$5.000,000L =$50.001 - $t00,000P I = $ 1 ~ 0 0 0 , 0 0 1 - $ 5 , 0 0 0 ~ 0 0 0P4 =More than $50,000~000S = A ssessm en tW = Esl i m a t ed

D =$ 5 . 001 - $ 1 5 . 000 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0H 2 = M o r e t h a n $ 5 , 0 0 0 , 0 00M = $ 1 0 0 . 0 0 1 - $ 2 5 0 , 0 0 0p2 =$5;000.001 - $25,00~;000 ....T - - C a s h M a r k e t


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N a m e o f P e r s o n R e p o r t i n gW O O D L O C K , D O U G L A S P .

Date of Repor t08/15 /2011

VIII . ADDITIONAL INFORM ATION OR EXP LANATIONS. (lndicate part of report.)Pa r t I a nd Pa r t V I I :T rus t N o . 1 (Pa r t I , I t e m I ; Pa r t VI I , L i ne 43) a nd T rus t N o . 2 (Pa r t I , I t e m 2 ; Pa r t VI I , L i ne 10 8) a r e r e voc a b l e t rus t s w h i c h do no t a ppe a r t o m e e t t h e de f i n i t i onof an Agg rega t e Owners h ip Arrangem ent . Thes e t ru s t s i nc lu de a s s e t s fu l ly d i s c los ed wi th in P a r t VII , where the i ncome an d v a lu e of s u ch ho ld ings a re s epa ra t e lyr e po r t e d a s pa r t o f t h e i nd i v i dua l i de n t if i c a t ion o f t h ose a sse t s . Th us , t h e r e po r t o f i nc om e a nd va l ue p rov i de d fo r t h e se t rus t s i n Pa r t VI I c on s t i tu t e s dup l i c a t er e po r t i ng o f t h e i nc om e a n d va l ue o f t h e un de r l y i ng a sse t s .Pa r t VI I , L i ne 58:Th e r e po r t e d i nc om e c ons i s t s o f d i s t r i b u ti on pa y m e n t s , f r om a fun d e s t a b l i sh e d b y t h e SEC i n a n a dm i n i s t ra t i ve p roc e e d i ng , m a de b y Prude n t i a l Se c ur i ti e s , Inc .Dist r ibut ion Fund to investors in th is fund.


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FINANCIAL DISCLOSURE REPO RTPage 13 o f 13

Name of P e r son Repor t ingW O O D L O C K , D O U G L A S P .

Date of Report08/15/2011

IX. CERTIFICATION.I c e r t i fy 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 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 , t ru 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 ti n g n o n - d i s c l o s u r e .I f u r th e r c e r t i f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f 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 io n s .

Signa ture : S /DOUGLAS P. W OODLOCK

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 LY F A L S I FI E S O R F A I LS T O F IL 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 LAND CR IMIN AL SANCTION S (5 U.S.C. app. 1 04 )

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

Douglas P Woodlock Financial Disclosure Report for 2010

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