George A OToole Financial Disclosure Report for 2010

8/3/2019 George A OToole Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Governmen t Act of 1978(5 U.S.C. app. 101-111)

1. Person R eport ing (last name, f i rst , middle ini t ia l )OToole , George A.

4. Title (Article IlI judges indicate active or senior status;magist rate judges indicate fu l l - or par t - t ime)

2. Court or Organizat ionU.S. District Court

D is t r i c t Jud g e (Ac t ive)

7. Chambers or Off ice AddressJo h n Jo sep h Mo a k ley U n i ted S ta tes Co ur th o use1 Co ur th o use W ay , Sui t e 4-7 30Bo s to n , MA 0 2 2 1 0

3. Date o f R e p o r t0 5 / 1 2 / 2 0 1 1

5a . Repor t Type (check appropr ia te type)] Nominat ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in formation conta ined in th is Repo r t and anymodif ica tions per ta in ing there to , i t is , in my o pin ion , in compliance

6. Repor ting Per iod0 1 / 0 1 / 2 0 1 0

to12/31/2010

wi th appl icable l aws and regulat ions .

Reviewing Off icer D a t e

IMPORTANT NOTES: The instruct ions accompa nying this form m ust be followed. Com plete al l parts,checking the NONE box for each part where you h ave no repo rtable information. Sign on last page.

I. P O S I T I O N S . ~ R e po n ln g i n a i v ld u a t o n ~ y ; s e e p S . 9 - 1 3 off!ling instructions. )D ~o reportable positions.)O N E

POSITION1 . Trustee T r u s t # 12.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . m ~ , o ~ i n g i n a i v i a u a t o , ty ; s e e p p . 1 4 - 1 6 of filing instructions.)~] N O N E (No reportable agreements.)

D A TE P A R TIE S A N D TE R M S


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FINANCIAL DISCLOSURE REPORTPage 2 of 15

N a m e o f P e r s o n R e p o r ti n gO T o o l e , G e o r g e A .

D a t e o f R e p o r t05/12/2011

I I I. N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestm ent Income

~] N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

2.3.4.

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 - l n v e s tm e n t I n c o m e - if you were ma rried during any portion of the reporting year, com plete this section.(Dollar amount not required except for honoraria.)

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

1 . 2 0 1 0

2 . 2 0 1 03.

4.

DATE SOURCE AND TYPEEn terp r i s e Ban k , Lo we l l MA (d i rec to rs fees )R a y t h eo n C o m p a n y ( e m p l o y m e n t )

I V . R E I M B U R S E M E N T S --transportation, lodging, food, e n t e r t a i n m e n L(Includes those to spouse and dependent children," see pp. 25-27 off!ling instructions.)

~ N O N E (No reportable reimbursements.)

3.4.5.

SOURCE DATES LOCATIONA m e r i c a n C o n f e r e n c e Feb ruary 2 5 -2 6 ,2 0 1 0 N e w Y o r k , N e w Y o r kInst i tute

PURPOSEE m p l o y m e n tD i s c r im i n t a t i o n S e m i n a r

ITEMS PAID OR PROVIDEDTransportation, lodging and meals


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FINANCIAL DISCLOSURE REPORTPage 3 of 1 5

N a m e o f P e r s o n R e p o r t in gOToole, George A.

Date of Report05/12/2011

V . G I F T S . a n e l u d e s , h o s e t o s p o u s e a n d d e p e n d e n t children; see p p . 2 8 - 3 l of filing instructions.)N O N E (No reporta ble gifts.)

SOURCE DESCRIPTION1 .

2.

3.

4.5.

V A L U E

V I . L I A B I L I T I E S . a n e l u d e s those of spouse and dependent children; seepp. 32-33 of f !ling instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

V A L U E C O D E


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FINANCIAL DISCLOSURE REPORTPage 4 o f 15

N a m e o f P e r s o n R e p o r t i n gOToole, George A.

D a t e o f R e p o r t05/12 /2011

VII. INVE STMEN TS and TRUSTS - income, va~ue, t ...... t ions (Includes those of spouse and dependent chi ldren; see pp. 34-60 o f f i ling instruct ions .)N O N E ( N o reportable income, assets, or transactions.)

A B. C. " D~Description of Assets income dur ing Gross value at end Transac t ions during report ing per iod

( including t~s t a s se ts ) reporting period of reporting period

Place "(X)" after each assetexempt f rom prior disc losure

(1) (2) (1) (2) (1 3A m o u n t T y p e ( e .g . , Value Val ue T y p eC o d e I d i v . , r e n t , C o d e 2 Method : buy sl l~( A - H ) o r i n t . ) (J-P) .. .. C o d e 3 : i e d ~ in p t i b ~ )( Q - W )

(2) (3) (4) (5 )Date Value Gain Identity of

mm/dd/yy C o d e 2 C o d e I bu~,er/seller(J-P ) (A-H ) (if private

I. 3 M C o m p a n y c o m m o n A D i v i d e n d J T2. S a m e A D i v i d e n d J T B uy 12/23/10 J

3. S a m e A D i v i d e n d J T B uy 04/07/10 J4. Ab so lu te S t ra teg ies Fun d A D i v i d e n d J T5. S a m e A D i v i d e n d J T B uy 07/01/10 J6. S a m e A D i v i d e n d J T7. A l l ia n z N F J I n t l V a l a u e F u n d A D i v i d e n d K T B uy 12/23/10 J8. S a m e A D i v i d e n d J T B uy 1 2/23/1 0 J9. S a m e A D i v i d e n d J T B uy 1 2 /27/1 0 J

1 0 . A p a c h e C o r p . c o m m o n A D i v i d e n d J T1 1 . S a m e A D i v i d e n d J T1 2 . S a m e A D i v i d e n d J T S old 07/01/10 J A( p a r t )1 3 . A p p l e co m m o n N o n e J T B uy 1 2/27/1 0 J1 4 . Artio Int l Equity N o n e S old 04/07/10 J1 5 . B a n k o f A m e r i c a d e p o s i t a c c o u n t s A Interest K T1 6 . BHP Bi l l i to n AD R A D i v i d e n d J T1 7 . S a m e A D i v i d e n d J T

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

See n o te 2 in Par t V I I I .

i l i~ m e G a i n c o d e s : A ~$11000 6r less B = $ 1 ~01 , $ 2 ~500 C =$ 2,501 ~ $5;000 D =55,001 - $ 1S,000 E = $ 1 5,001 - 550,000( S e e C o l u n m s B l a n d l M ) F=$50,001-$I00,000 ..... .... G=$1601001:$1,0001000 HiL~ilbbOib~i~$~;600i0b:o ; H 2 = M o r e t h a n $ 5 ;o o o , o o o

2 . V a lueC odes J =$15,000 or less K~$~5,00~ -550,000 L~536~ ~ 00000 M = 5 ~ 0 0 0 0 ~ - $2 5 0 0 0 0(Se e Co lum n s C} a n d D3) N =$250,001 - $500,000 O =$500,001 ~ $1,000,000 PI= $ 1 000 001 - 55 000000 P2 =$5,000i001 "$25,0 0 0 ~ 0 0 0

P3 =525,000,001 - 550,000,000 P4 --Mbr~ than, $50,000,0003. va lue M e tho d Co d e s Q =A ppr a i sa l R =Cost (Reai Estate Only) S --Assessment T --Cash Market(S e e C o lum n C 2 ) U =B o ok V alue V = O the r W = Es t im a te d


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N a m e o f P e r s o n R e p o r t in gO T o o l e , G e o r g e A .

Date of Repor t05/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S -i.eome, valae, 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.)

D e s c r i p t i o n o f A s s e t s( i nc l ud ng t r us t asse t ~)

Place "(X)" after each assetexempt f rom prior disc losure

Income during Gross value at end .... T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o dr e p o r ti n g p e r i rd ~ o f r e p o r ti n g p e r i o d(1)- (2) (1) (2) (1 ) (2) (3) (4) ( 5 )Aniountl T y p e ( e .g . , Val ue V a l U e T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o fCode I d i v . ~ r e n t, C o d e 2 M e th o d : buy, sell , . . . . m r r d d d / y y C o d e 2 C o d e 1 buyer/seller( A - H ) o r i n t . ) ( J - P ) ( A -H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

18. Same A D i v i d e n d J T B uy 04/07/I 0 J1 9 . B M C S o f t w a r e c o m m o n N o n e J2 0, B P P L C N o n e2 1.22 . C F I n d u s t r ie s c o m m o n A D i v i d e n d J23 . C isco Sy stem s co m m o n N o n e2 4. C V S C a r e m a r k c o m m o n A D i v i d e n d J25 . S a m e A D i v i d e n d2 6.2 7. S a m e A D i v i d e n d J

128 .

29 . Dent sp ly I n t comm on A D i v i d e n d J30 , D i a g e o A D R A D i v i d e n d J31 . D rey fus In s t l. Cash Ad v Fun d A Interest L32 . S a m e A Interest K

33 . S a m e A Interest J, 34 . E n t e r p ri s e B a n k & T r u s t C o . c o m m o n B D i v i d e n d L

TB uy 04/07/10 JS o ld 0 6/0 2 /1 0 J

T S p i n o f f 0 4/ 0 5 / 1 0 J( f r o m l i n e 1 3 4 )S old 12/27/10 J

T S o l d 0 7 / 0 1 / 1 0 J A( p a r t )S o l d 0 7 / 0 1 / 1 0 J B(part)S old 12/23/10 J B

T S o ld 0 4 /0 7 /1 0 J C(par t )S o l d 0 7 / 0 1 / 1 0 J B( p a r t )

TTTTT S o l d 04/07/I 0 J C( p a r t )T

See n o te 3 in P ar t V I I I .

I . ln co m ~ G a in co d e s : A=$1i000 or les~ : B ~ $ 1 , 0 0 1 . $ 2 i 5 0 0(S ee C o lumns Bl and D 4) F =$50,001 - $100,000 G =$100,001 - $1 ,000,0002 . Va lue Co d e s 3 =$ 15,000 or tess K --S] 5;00i ~ $ S0,000(S ee C o lumns C I and D 3 ) N = $ 2 50,001 - $ 500,000 O = $ 5 0 0 0 0 1 - $ 1 0 0 0 0 0 0

P3 =$25,000,001 ~ $ 50,000,0003. Va lue M e tho d Co d e s Q =A ppr a i sa l R =C os t (R ea l Es ta te On ly )(Se e C o lu rrm C 2) U =B o 0k V alue V - - 0 t h e r

C =$2,501 - $5,000 D =$5 ,0 0 1 - $15 ,0 0 0HI =$1;000,00i ~ $3,060,000 H2 =More than $5~000~000L : $5 o ,oo ] - $~ oo ; ooo M =$ ~ 0 0 ,0 0~ - $25 0 ,0 0 0Pi--$1,O00,OoI - $5~000~000 P2 =$5,000,001 - $25,000,000P4 =More than $50,000,000S - -A s s es s men t T = Ca s h M a rke tW =Estimated

E =$15,001 - $50,000


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

V I I . I N V E S T M E N T S a n d T R U S T S - i.co~e, vu lue, tru.sue,io.s a.cludes those of sp .... and dependent children; see p p . 3 4 - 6 0 of filing instructions.)D N O N E (No reportable income, assets, or transactions.)

35 . S a m e B Div idend L T36 . E Q T C o r p . c o m m o n A D i v i d e n d J T S old 07/01/10 J(par t )37 . Equi ty Res iden t ia l S BI A D i v i d e n d J T38 . S a m e A Div idend J T39 . S a m e A Div idend J T

140. E x e l o n C o r p . c o m m o n A D i v i d e n d J T41 . S a m e A Div idend J T

142. Exped i to r s In t l o f Washing ton common A D i v i d e n d J T43 . E x x o n M o b i l e c o m m o n A Div idend J T44 . Fid e l i ty In s t Mo n ey Mark e t fun d A Interest J T45 . S a m e A Interest J T46 . Frankl in In t l S mal l Ca p Grow th Fund A Div idend J T Bu y 03/04/10 J47. S a m e A D i v i d e n d J T B uy 03/04/10 J48 . S a m e A Div idend J T Bu y 04/07/10 J49 . F r o n t e g ra N e t o l s S m a l l C a p V a l u e F u n d A D i v i d e n d J T Bu y 03/04/10 J

50 . S a m e A D i v i d e n d J T Bu y 04/07/10 J51 . G e n e r a l D y n a m i c s co m m o n A Div idend J T Bu y 04/07/10 J

(S ee C o lumns BI and D 4) F =$ 50,001 - $ 100,000 G =$ 1 00,001 - $ 1 ,000,0002 . Va lue Co d e s J =$15,000 or less K =$15,001 - $50,000

(Se e Co lum n s C I a n d D3) N =$ 250,001 - $ 500,000 O =$ 500,001 - $ 1 ,000,000P3 =$25,000,001 -$50,000,0003. Va lue M e tho d Co d e s Q =A ppr a i sa l R =Cost (Real Estate Only)

(S ee C o lumn C 2) U = B o o k Va lue V =Oth er

C =$2,501 - $5,000H 1 =$1,000,00 t - $5,000,000L =$50,001 - $ I00,000P 1 =$ 1,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW = Es t im a te d

D =$ 5,001 - $ 15,000 E =$ 15,001 - $ 50,000t -12 =More than $5,000,000 :M =$100,001 - $250~000P2 =$5,000,001 - $25,000,000T =C ash M ark e t


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N a m e o f P e r so n R e p o r t i n gOToole, George A.

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

V I I . I N V E S T M E N T S a n d T R U S T S - i, com e, valae, transactions (Includes those of sp ....nd dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. CDescription of Assets Income during Gross va lue a t e n d( inc luding t rust assets) repo rting period of reporting period

( 1 ) ( 2 )Place "(X)" aider each asset Amount Type (e.g.,

exempt f rom prior disel0sure Code 1 div., rent,(A-H) o r i n t . ) ( J - P )

52 . Hussma n Strategic Growth Fund A Dividend53. S a m e A Dividend54. I ll ino is Tool W orks common A D i ~ , i d e n d55. IBM common A Dividend56. S a m e A Dividend57. iShares Barclays 7-10 yr Treas Bond Fund A Dividend58 .59 . S a m e A Dividend60 .61 .62 . S a m e A Dividend63 .64. iShares Barclays 1-3 yr Treas Bond Fund A Dividend65. S a m e A Dividend66. iSh ar es B arcl a ys 1 -3 y r Cre d it B ond F u nd A Dividend67. S a m e A Dividend6 8. i Sh a re s Na sd a q B io te ch F u nd A Dividend

(1) (2) (1 ) (2) ... . (3) (4) (5 )Va lue Value Type (e.g,, Date, .., Value Gain Identity of

Code 2 Method buy, se l l , mm/dd/~ Code 2 Code 1 buyer /se l le r

J

J

J

LJ

K

J

C o d e 3 r e d e m p t i o n )( Q - W )

SoldSold

T BuyTT Sold( p a r t )

BuySold

Sold

Buy

Sold

BuySold

Sold

T Bu yT

T

T Sold(part )

O:P) ( A - I - Y ) ( i f p r iva tet r ansac t i on)

12/16/10 J

12/16/10 J

04/07/10 J

0 7 / 0 1 / 1 0 J A0 7 / 0 1 / 1 0 K10/08/10 K B0 3 / 0 4/ 1 0 J A0 7 / 0 1 / 1 0 K10/08 /10 K A0 7 / 0 1 / 1 0 J10/08 /10 J A0 7 / 0 1 / 1 0 K A0 4/ 0 7 / 1 0 L

07/01/10 J

See note 4 in Part V III.

1 i f i~o m e G a i~ C~d ~: A =$1~000 or less B = $ 1 ,001 - $ 2 ,500(See Columns B 1 and 1)4) F =$50,001 - $ 100,000 G =$100,001 - $1 ,000,000

2 . Va lue C o d es J =$ 15,000 or less K =$15,001 - $50,000(Se e Co lum n s CI a n d D3) N =$250,001 - $500,000 O =$500,001 - $1 ,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppr a i sa l R C os t (R ea l Es ta te On ly )( S e e C o l u m n C2) U = B o o k Va lue V = O the r

C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000HI =$1,000,00i ; $510001000 H~ --More than $5~000~000L :$50 001 - $100 000 M =$ 100,001 ~ $2 50,000P I =$1 ,0 0 0 ,0 0 1 - $5 10 0 0 ; 0 0 0 : P 2 =$5 ; 0 0 0 ,0 0 1 - $25, 000, 000P4 =More than $50,000,000S =Asscssmcnt T--C ash M ark e tW = Es t im a te d


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N a m e o f P e r so n R e p o r t i n gOToole, George A.

D a t e o f R e p o r t05/12/2011

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 , tr a n s a c t i o n s (Includes those of spou se and dependent children; see pp. 3"4-60 of filing ins tructions.)~ NONE income, assets , or t ransact ions . )N o reportable

69 . S a m e A Dividend J T70. iShares Russell 2000 Value Index Fund A D i v i d e n d S o l d 04/07/10 K C

71 . iSh ares Barc lay s TIPS Fun d A D i v i d e n d S o l d 0 3 / 0 4/ 1 0(part )72 . S o l d 03/05/10(par t )73 . Sold 03/08/10

JJJ

A

A

A

74 . S a m e A Dividend S o l d 0 3 / 0 4/ 1 0 J A(pm)75 . S old 03/05/10 J A( p a r t ) .76. Sold 03 /08 /10 J A

77, Johnson & Johnson common A Dividend J78 . S a m e A Dividend Sold 12/23/10 J B79 . S a m e A D i v i d e n d S o l d 04/07/10(part)80. Sold 0 7 / O 1 / l O( p a r t )81. Sold 12/27/10

J

JJ

CAB

8 2. JP M O rg an R e sea rch M kt. N eu tra l fu n d N o n e J T B uy 12/27/10 J8 3 . Manu l if e F inanci a l common A Dividend K8 4. Mat thews A si an G rowth fund N o n e J T Bu y 12/27/10 J8 5. Mat th ews Pac i f i c Tig er fun d N o n e J T Bu y 12/23/10 J

I. In co m e G ain C o d es: A =$ 1,000 o r less B =$L 0 0 1 - $215 0 0(Se e Co lum n s B I a n d D4) F =$50,001 - $100,000 G =$100~001 - $1,000,000

2 . V a lue C o de s J = $ 15,000 or less K =$15;001 -$50;000(Se e Co lum n s CI a n d D3) N = $ 2 50,00I - $ 500,000 O -$500,00I - $1;000i000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =A ppr a i sa l R =Cost (Real Estate Only)(Se e Co lum n C2 ) U = B o o k Va lue V = O the r

C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000H 1 = $ i 000 00i ~$ 5 000,000 H2 =More than $5,000~000L =$50i001 ~ $100,000 M =$ I 0 0 ,0 01 -$25 0 ,0 0 0Pl =$I,000,001 - $5;000;000 P2 =$5;000,001 - $25;000 000P4 =More than $50,000,000S = A s s e s s m e n t T = Ca s h M a rke tW =Estimated


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N a m e o f P e r s o n Repor t ingO T o o l e , G e o r g e A .


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; see pp. 34-60 of filing instructions.)~ N O N E income, assets, or transactions.)N o reportable

86 . S a m e N o n e J T B uy 1 2 / 2 3 / 1 0 J87 . MA St . W ate r Po l l Ab atemen t , 4 .2 %, d ue B Interest Matured 08/02 /10 K8/ 1 / 2 0 1 08 8 . Merger Fund A D i v i d e n d J T B uy 1 2 / 2 3 / 1 0 J89 . S a m e A Div idend J T B uy 1 2 / 2 3 / 1 0 J90 . S a m e A Div idend J T B uy 1 2 / 2 7 / 1 0 J91 . Met t l e r -To led o In t l . co mmo n N o n e J T92 . M i c r o s o f t c o m m o n A D i v i d e n d J T93 . S a m e A Div idend J T94 . No var t i s AG sp n s rd AD R N o n e J T B uy 1 2 / 2 3 / 1 0 J95 . S a m e A Div idend J T96 . O a k m a r k I n t l F u n d C I I A D i v i d e n d S o l d 1 2 / 2 7 / 1 0 J97 . Occiden ta l Pet ro leum A Div idend J T B uy 04/07/10 J98 . P e a b o d y E n e r g y C o r p . ( S e e n o t e 5 i n P a r tVIII . )99 . S a m e A D i v i d e n d S o l d 04/07/10 J1 0 0 . P e p s ic o c o m m o n A D i v i d e n d J T S o l d 07/01/10 J( p a ~ )1 0 1 . P I M C O 1 - 5 y r U S T I P S i n d e x f u n d A Div idend J T B uy 03/05/10 J1 0 2 . S a m e A Div idend J T Bu y 03/08 /10 J

AA

t. In com e G ain cod eS : ~ ~ $ ii00 0 o r le s s B =$1;001 - *2 ,500( S ee C o lu nms 13 1 and D4 ) F =$50,001 - $100,000 G = $ 1 00,001 - $ I ,000 ,000

2. V alue C o d es J =$ 15,000 o r less K --$15,001 = $50,000(See C olun m s C 1 an d D 3) N =$ 250,001 - $ 500,000 O =$ 500,001 - $ 1 ,000,000

P3 =$25i000,001 - $50,000,0003. Value Method Codes Q =A ppr a i sa l R =Cost (Real Estate Only)

(Se e Co lum n C2 ) U = B o o k Va lue V =Oth er


10/15




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; see pp. 34-60 of fillng instructions.)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i n c l u d i n g t ru s t a s s e t s )Place "(X)" after each asset

exempt f rom prior disc losure

report ing per iod of report ing per iod(1) (2) (1) (2) (1) (2) (3) (4) ~ 5)

A m ou n) Type (e.g., Value Value . : Type (e .g., Date V a l u e G a ~ Identity ofCode I div~ rent~ C ode 2 Me~hrd: : : : . , .b u y ~ s e l t ~ i : . . . . m trgdd/yy C ode 2 Code 1 :buyer/seller(A-H) or i r a : ) : (J-P) C ode 3 : : r rde~P~on) (J-P ) (A-H ) (i~private(Q-W) t r a n s a c t i o n )

1 0 3 . S a m e N o n e J T B u y 12/27/10 J1 0 4 . P r a x a i r , In c . c o m m o n1 0 5 . S a m e

AA

D i v i d e n d J T S o l d( p a r t )D i v i d e n d J T

07/01/10

1 0 6 . P r o ct e r & G a m b l e c o m m o n1 0 7 . S a m e108 .1 0 9 . R a y t he o n c o m m o n

AA

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

JJ

D i v i d e n d L

T S o l d 07/01/10(par t )T S old 0 4/ 0 7 / 1 0( p a r t )

S o l d 07/01 / 10( p a r t )T

J CK DJ A

1 1 0 . R a y t h e o n o p t i o n s N o n e K1 1 1 . R a y t h e o n S a v i n g s a n d I n v e s t m e n t P l a n C Int . /Div. N112 . -Raytheon S tock Fund1 1 3 . - R e a l E s t a t e Se cu r i t i e s F u n d

1 1 4 . - B G I U S D e b t I n d e x F u n d1 1 5 . - P I M C O T o t a l R e t u r n I n st1 1 6 . - -Fid e l i ty In s t Mo n ey Mk t1 1 7 . R e g e n c y C e n t e r s A D i v i d e n d J T

1 1 8 . R o y a l D u t c h S h e l l p lc s p n s r d A D R A D i v i d e n d J T1 1 9 . S e m p r a E n e r g y co m m o n A D i v i d e n d J T

I . l n co m e G a i n C O d e s :(See Cotunms B 1 artd I24)

2 . Va lue Co d e s(S ee C o lumns C I and D 3 )

3. Value Method Codes(Se e Co lun m C2 )

A ~ $i ; 0 0 0 0 g te~ B--$ii00i ~ $2~500 C =$2,501-$5,000 : D =$5,001 - $15,000........ : G =$100;001 =$i ;000,000 ~i ~$ii000;00i ~ $3;0001000 H2 =MOre thf in $5;000i000=$5 0 ,~ 1 - $10 0 ,0 0 0

J =$15,000 or less K =$ 15,001 - $ 50~000 L =$50;001 ~ $100;000 M ~$100~ 001 - $ 250;000N = $ 2 50,001 - $ 5~ ,000 O ~ $ 5 0 0 , 0 0 ~ $ 0 0 0 0 0 0 P i ~ $ i ~ 0 0 ~ 0 0 i ~ $ 5 ~ 0 0 0 0 ~ ~$ 5~000,001 = $ 2 5,000,000P3 = $ 2 5,000,001- $ 50,000,000 P~ ~More than $50~000,000Q = A p p ~ s a l R =C os t ~ a l Es ta te on ly ) S ~ s ~ e S S ~ h ~ T = Ca s h M a rke tU = B o o k Va l~ V = O the r W ~Es t im a ted

E =$15,001- $50,000


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N a m e o f P e r so n R e p o r t i n gOToole, Ge orge A.


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 . ln e , t r n . s .c a o o s a o c l n d ~ s ,h o s e o l s p o n s ~ n . d dependent children; s e e p p . 3 4 - 6 0 of f!ling instructions.)~ NONE income, assets, or transactions.)N o reportable

1 2 0 . S a m e A D i v i d e n d J T1 2 1 . S a m e A D i v i d e n d J T1 2 2 . S P D R G o ld T rus t N o n e J T Bu y 03/04/10 J1 2 3 . S a m e N o n e J T B uy 03/04/10 J1 2 4 . S t a t e S t re e t C o r p . c o m m o n A D i v i d e n d S old 04/07/10 J1 2 5 . S t e r i c y c le , I n c . c o m m o n N o n e J T S o l d 07/01/10(par t )1 2 6 . S a m e N o n e J T S old 107/01/10( p a a )1 2 7 . S a m e N o n e J T S o l d 07/01/10( p a r t )1 2 8 . S u n c o r E n e rg y ( N e w ) c o m m o n A D i v i d e n d S old 0 4/ 1 4/ 1 0

J

J

J

J

1 2 9 . T e m p l e t o n G l o b a l B o n d F u n d A D i v i d e n d K T B u y 12/23/10( a d d l )130. Same A D i v i d e n d K T B u y 04/07/10

( a d d l )1 3 I . B u y 12/23/10( a d d l )132. Same A D i v i d e n d K T B u y 04107/10( a d d l )133. B u y 12/27110( a d d l )1 3 4 . T e r r a I n d u s tr i e s c o m m o n A D i v i d e n d 04/05/10

JJ

J

J

J

J

CCCA

C S e e n o t e 3 i n P a r t VIII.1 3 5 . T e v a P h a r m a c e u t i c a l s A D R A D i v i d e n d1 3 6 . S a m e A D i v i d e n d

JJ

TT So ld 0 7 / 0 1 / 1 0(part )

(S ee C o lumns BI and D 4)2 . Va lue Co d e s

(Se e Co lum n s CI a n d D3)F =$50,001 ~ $1 00;000 G =$100,001 - $1 000 000J =$15;000 or less K --$15~00I - $50,000N =$250,001 ~ $500,000 0- - $ 500,001 - $ 1 ,000,000P3 =$25;000 001 - $50 000,0003. V a lue M e tho d C o de s Q =A pp raisai R =Cost (Real Estate Only)

V = o t h e rs e e C o l u m n c 2 ) u ~ B o o k V a l u e

C = $ 2 ,501 - $ 5 ,000Hi A$i !000;001:$5;000;000L =$50~001 - $100,000PI =$1~000,001 .-$5,000,000P4 =More !han $50,000,000s = A s s e s s m e n tW =E S t imated

D =$5 ,0 0 1- $15 ,0 0 0H2 = M o re tha n $ 5 ,000,000M = $ 1 00,001 - $ 2 50,000P2 =$5,000,001- $25~000i000T = c a s h M a r k e t

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


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N a m e o f P e r s o n R e p o r t i n gOToole, Ge orge A.

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

V I I . I N V E S T M E N T S a nd T R U S T S -incorae, value, t ...... t ions (Includes those of spouse a nd depen dent chi ldren; see pp. 34-60 of f i l ing instruct ions .)~ NONE income, or transactions.)N o reportable assets,

A. B. C.Description of Assets

( including trust assets)Place "tX)" af ter each asset

exempt f rom prior disc losure

Incom e during Gross va lue at endreporting period of report ing per iod

(1) (2) (1) (2) (! ) (2) (3) (4) (5 )A m o u n t Type (e.g. V alue V a lue Type (e .g., Date Value Gain Identity ofCode i div ret , C ode 2 M ethod buy, se ll, m m/dd/yy C od e 2 I C od e 1 buyer /se l le r(A-H) o r i n t ) ( J - P ) C ode 3 redemption) ( J - l ~ ) (A-H) (if private

(Q-W) transaction)

N o n e J TN o n e J T

D i v i d e n d J TD i v i d e n d J T

D i v i d e n d K TD i v i d e n d J TD i v i d e n d J T

1 3 7 . T h e r m o F i s h e r c o m m o n1 3 8 . S a m e1 3 9 . T h o m a s W h i t e In t l F u n d A1 4 0 . S a m e A141.1 4 2 . T h o r n b u r g I n t l V a l u e F u n d A1 4 3 . S a m e A1 4 4 . S a m e A145.

1 46 . To r to i s e En erg y In f ras t ruc ture Co rp . A D i v i d e n d J T1 4 7 . S a m e A D i v i d e n d J T1 4 8 . S a m e A D i v i d e n d J T1 4 9 . V a n g u a r d E m e r g i n g M k t s . I n d e x F u n d N o n e J T1 5 0 . S a m e N o n e J T1 5 1 . S a m e N o n e J T1 5 2 . V a n g u ar d G N M A F u n d A D i v i d e n d J T1 5 3 . S a m e A D i v i d e n d J T

B uy 03/04/10 JBu y 0 4/ 0 7 / 1 0 J

Bu y 1 2 / 2 3 / 1 0 J(ad d l )B uy 12/23/10 J( add l )

Bu y 04/07/10 JB uy 12/27/10 J( add l )Bu y 03/04/10 JBu y 03/04/10 J

Bu y 0 4/ 0 7 / 1 0 JB uy 12/23/10 JBu y 12/23/10 JBu y 12/27/10 J

S old 0 3 / 0 4/ 1 0 J(par t )Bu y 12/27/10 J(ad d l )

A

i lne~ G~inC0des: ~ ~$ l i00~ ~r i e s S i B =$1;001 - $2 ,500(Se e Co lun m s B 1 a n d D4) F =$ 50,001 - $ 100,000 G =$ 100,001 - $ 1 ,000,000

2 . Va lue C o d es J =$ 15;000 o r less K =$15,001 : $50,000(S ee Co l u n ms C 1 a nd D3 ) N = $2 50 ,0 01 - $ 50 0,0 00 O =$500,001 - $I,000,000

P3 =$25,000,00! - $50,000,0003. Value Method Codes Q =A ppr a i sa l R =Cost (Real Estate Only)(Se e Co lum n C2 ) U = B o o k Va tue V = O the r

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 =AssessmentW =Estimated

D =$5,001 - $15,000 E =$15,001 - $50,000H2 =More than $5i000~000 ......M =$100,001 - $250,000P2 =$5,000,001 - $2 5;000,000T = Ca s h M a rke t


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VII. INVESTMENTS and TRUSTS - i ..... e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 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 l u d i n g t ru s t a s s e t s )Place "(X)" after each assetexempt f rom prior disc losure

Income duringr e p o r t i n g p e r i o d o f r e p o r ti n g p e r i o d(I) (2) (1) (2) (1 ) (2) .... . (3 )

A m o u n t T y p e ( e .g . , Value Value T y p e ( e . g . , D a t e Val ueC o d e 1 d i v . , r e n t , C o d e 2 M e th o d buy; sel f ; mm i d d /y y = C 0 d e2( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemption) ( J ~ P )( Q - W )

G r o s s v a l u e a t e n d Transactions during reporting period

C 6 d e I buyer /se l le r(A-H) (if private

transaction)

1 5 4 . V a n g u a r d H i g h Y i e l d C o r p . B o n d F u n d A1 5 5 . S a m e A

D i v i d e n d S old 0 4/ 1 9 / 1 0 K BD i v i d e n d S o ld 0 4 /1 9 /1 0 J B

1 5 6 . S a m e A D i v i d e n d S o l d 04/19/10 J B1 5 7 . V a n g u a r d L t d T e rm T a x E x e m p t F u n d A D i v i d e n d J T1 5 8 . V a n g u a r d S h o r t - T e r m I n v G r a d e F u n d A D i v i d e n d J T B uy 03/04/10 J1 5 9 . S a m e A D i v i d e n d K T B uy 03/04/10 J16 0 .1 6 1 . S a m e A D i v i d e n d J T

B uy 12/27/10 J(ad d l )

1 6 2 . V e r i z o n C o m m u n i c a t i o n s c o m m o n A D i v i d e n d J T1 6 3 . S a m e A D i v i d e n d J T1 6 4 . W a l - M a r t c o m m o n N o n e J T B uy 12/23/10 J1 6 5 . W a l t h a u se n S m a l l C a p V a l u e N o n e J T1 6 6 . S a m e N o n e J T

B uy 03/041 1 0 J

Bu y 0 4/ 0 7 / 1 0 J1 6 7 . W e l l s F a rg o c o m m o n A D i v i d e n d Sold 07101/10 J A1 6 8 . S a m e A D i v i d e n d S old 07/01/10 J A1 6 9 . W i s d o m t r e e I n tl S m a l l C a p F u n d A D i v i d e n d S o l d 0 7 / 0 1 / 1 0 J170.

1 : lncOm~ Gain Codes: A =$1 ,0 0 0 o r le s s( Se e C olu mn s B 1 a nd 10 4) F =$ 50 ,0 01 - $ 10 0,0 00

2. V alue C o de s J =$ 1 5,000 or less(Se e Co lum n s C l a n d D3) N =$25 0 ,0 0 1 - $5 0 0 ,0 0 0

P3 =$25,000,001 - $50,000.0003. Value Method Codes Q =A ppr a i sa l(S e e C o lum n C 2 ) U =B o ok V alue

B=$1,001- $2;500G =$100,001- $1 ,000,000K =$15,001 -$50,0000 -$5 0 0 ~ 0 1- $ l ,0 0 0 ,0 0 0R =Cost (Real Estate Only)V = O the r

C =$2 ,5 0 1 - $ 5 ,0 0 0 D =$5;001 - $15,000 E =$15,001 - $50,000m = $ t ; oo 0 ~ o o i ~ $ ~ 1 6 6 0~ 0 0 o H ~ - - ~ 6 r e t h a , $ ~ ; o o o ,o o oL = S 5 0 ~ 0 0 i ~ s i 0 0 ~ 0 M =Sl00;001 ~ $250;000~ = ~ , o o o , 0 o i ~ s 5 ~ 0 o o ; 0 o o P 2 ~ , ~ , o o 0 , o o ~ : s ~ 5 ; o 0 0 , o 0 oP4 =MOre than $ 50,000,000S = A s s e s s m e n t T ~ C a s h M a r k e tW = E s t i m a t e d


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FINANCIAL DISCLOSURE REPORTPage 1 4 of 15



VII I . ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepart of report.)1 . The t ru s t iden t i f ied in Par t I i s a~ t ru s t . Al l the asse ts ar e r epo r ted ind iv idual ly in Par t VII bu t ar e no t spec i f ica l ly iden t i f ied in that Par t to the t ru s t .2 . General com men t r egard ing r epor t ing in Par t VII : As in pas t year s , mos t o f the ~ssets r epor ted ar e held in th r ee separa te accoun ts man aged by an inves tm en tadv iser . For conven ience in t r ack ing year - to -year change s , the asse ts ar e r epor ted by r ef er ence to the separa te a ccoun ts , r esu l ting in som e cases ( as in l ines I -3 , f o rexam ple) in mu l t ip le r epor t s f o r the sam e iden t i f ied asse t . The des ignat ion "S ame" i s u sed to ind icate a separa te accoun t . I f ther e w ere mul t ip le t r ansac t ions w i th inthe same accoun t du r ing the year , the des ignat ion "S ame " i s u sed fo r the f i r s t , bu t no t subsequen t t ransac t ions w i th in that accoun t . S ee , f o r exam ple , the en t r ies f o rC V S C a r e m a r k a t l i n e s 2 4- 2 8 .3 . CF Indus t r ies (Par t VII , l ine 22) acqu i r ed the s tock o f Ter r a Indus t r ies (Par t VII , l ine 134) and T er r a w as m erged in to C F Indus t r ies . S hareho lder s o f Ter r ar eceived cash and C F Indus t r ies s tock . I have used the term"sp inof f as the mos t app l icab le term ava i lab le fo r se lec t ion in the d rop-dow n m enu .4 . Each o f the th r ee inves tme n t accoun ts held the asse t iS hares B arc lays 7 -10 year Treasu ry Bond Fund (Par t VII , l ines 57-63) a t som e po in t du r ing the year . Ineach o f th e f i r s t an d th i rd acco un t s , th e as se t was b o ug h t an d so ld w i th in th e y ear . In th e s eco n d acco un t , th e as se t was o wn ed in th e p r io r y ear a n d th a t h o ld in gwas so ld in March . Th a t s am e acco un t th e rea f t e r acqui red an d d i sp o sed o f th e as se t wi th in th e y ear , s imi la r to th e o th er two acco un t s . Acco rd in g ly , wh i le th e rewere s evera l t ran sac t io n s d ur in g th e y ear , th e n e t e f fec t was th a t n o n e o f th e acco u n t s h e ld th e as se t a t y ear en d .5 . Las t y ears rep o r t s t a t ed th a t th e Peab o d y En erg y (Par t V I I , l in es 9 8 -9 9 in th i s y ears rep o r t ) a s se t h e ld in o n e in ves tm en t acco un t h ad o n ly b een so ld in p a r t(2 0 0 9 Rep o r t , Par t V I I , l in e 7 7 ) . Th a t was an e r ro r . Al l th e Peab o d y En erg y h e ld in th e in d ica ted acco un t was so ld o n12/21/2009 a t a p r i c e J w i t h a g a i n A .


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FINANCIAL DISCLOSURE REPORTPage 1 5 o f 15

Name of Per son Repor tingO T o o l e , G e o r g e A .

Date of Report05/12 /2011

IX. CERTIFICATION.1 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 , if a n y ) i s

a c c u r a t e , t r 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 r e .I f u r t h er c e r t if 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 .

Signa ture : S[ Ge orge A. OToole

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 FU L L Y F A L S IF I ES O R F A I L S 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 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 04 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

George A OToole Financial Disclosure Report for 2010

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