Saris, - Judicial Watch · Saris, 3. 3. AO JO Rev. 112011 FINANCIAL DISCLOSURE REPORT FOR CALENDAR...

Saris,

3.

3.

AO JO Rev. 112011

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010

Report Required by the Ethics

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

I. Person Reporting (last name, first, middle initial) 2. Court or Organintion 3. Date of Report

SARIS, PATTI B. U.S.D.C. MASSACHUSElTS 05/l 3/20I I

4. Title (Article Ill judges indicate active or senior status; Sa. Report Type (check appropriate type) 6. Reporting Period magistrate judges indicate full- or part-time)

D Nomination, Date Ol/Ol /20I O DISTRICT COURT JUDGE (ACTIVE)

D Initial [{] Annual D Final lo

12/31/2010 Sb. D Amended Report

7. Chamben or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance

J. J. MOAKLEY U.S. COURTHOUSE with applicable laws and regulations.

I COURTHOUSE WAY, SUITE 8I 10 BOSTON, MA 02210

Revie"fog Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all pans, checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-13 of filing instructions.)

NONE (No reportable positions.) D POSITION NAME OF ORGANIZATION/ENTITY

I. CO-TRUSTEE TRUST#3

2. CO-TRUSTEE TRUST#4

CO-TRUSTEE TRUST#5

4. Director Bottom Line Inc., Boston, MA

5. Director/Officer Federal Judges Association (FJA)

6. Member Board of Director 21st Century Fund, Brookline High School, Brookline, MA

7. Trustee Codman Academy Foundation, Dorchester, MA

8. President & founding member Boston Intellectual Property American Inn of Court, MA

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[{] NONE (No reportable agreements.)

PARTIES AND TERMS

I .

2.

Patti B.

2.2010

4.

Dale of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT

Page 2of64 SARIS, PATii B. 05/13/2011

III. NON-INVESTMENT INCOME. (Reportingindfridua/and spouse;mpp.17-Uoffi/inginstructions.)

A. Filer's Non-Investment Income

[{] NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

3.

4.

B. Spouse's Non-Investment Income - I/you were married during any ponion of the reponing year, complete this section. (Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. 2010 PRESIDENT AND FELLOWS OF HARV ARD COLLEGE, CAMBRIDGE, MA - salary

HARVARD BUSINESS SCHOOL PUBLISHING, MA· Royalties

3. 2010 HIGHVlSTA STATEGIES LLC, MA - Advisory fee

4.

IV. REIMBURSEMENTS - transponation, lodging,food, entenainmenL (Includes those to spouse and dependent children; see pp. 25-27 of.filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. Federal Judicial Center 5/19. 5/22/2010 Washington, DC National Workshop for Transportation and meals Federal Judges

2. FJA 9/15/2010 Washington, DC Congretional Reception Transportation and meals

3.

5.

3.

5.

FINANCIAL DISCLOSURE REPORT Name of Per.on Reporting

SARIS, PATTI B.

Date of Report

05/13/2011Page 3 of64

V. GIFTS. (Includes thou to spouu and dependent chi/dun; see pp. 28-31 of filing instructions.)

[{] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I.

2.

3.

4.

s.

VJ. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

[{] NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

2.

4.

A.

(I) (2) (5)

Dale or Report Nam• or Peoon Reporting FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -income, l'a/ue, transactions (Includes those of spouse and dependent children; see PP. 3'-60 of filing instructions.)

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

Description of Assets

B. c. D.

Income during Gross value al end Transactions during reponing period

(including trusl assets) reponing period of reponing period

(2) (I) (I) (2) (3) (4) Place "(X)" after each assel , Amounl Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure div., rent, Code 2 Method buy, sell, mmldd/yy Code 2 Code I buyer/sellerCode I

(A·H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

I . Mass. S t Port Authority, Muni Bonds c Interest L T

2. Mass. St G!O Cons Ln Series, Muni Bonds D Interest M T

3. Mass. Bay Trans Authority, Municipal B Interest K T Bonds

4. Strips TNT, Public Security (IRA) A Interest L T

5. Venture Investors Fund, LP None J w

6. Bank of America (formerly Fleet Natl A Interest J T Bank), Bank Accounts

7. - Bank of America , PCA Acct A Interest Closed 08/23/IO K

8. Realty Assoc Fund IV Corp A Dividend J w

9. Realty Assoc Fund IV, LLC (y)

10. Tucker Anthony Private Equity Fund I, LP E Distribution L u

11. Mass St Tpk Auth. Municipal Bond B Interest Sold 06/28/10 K

12. TA Conference LLC HI Distribution P l w

13. Realty Associates Fund V, LLC HI Distribution P2 w

14. Tucker Anthony Private Equity Fund II F Distribution M w

15. Mass. ln'I Fin Agy Municipal Bonds c Interest L T

16. Tucker Anthony Private Equity Fund Ill E Distribution M u

17. Tucker Anthony Private Equity Technology E Distribution L w LP

I. Income Gain Codes: A =$1.000 or less B =$1.001 • $2.500 c =$2.501 • $5,000 0=$5,001 • Sl5,000 E =Sl5.00I • S50.000

(See Columns BI and D4) f =$50.001 • $100.000 G =$I 00,00 I - $1.000.000 111 =Sl.000.001 • $5.000.000 112 =More than $5.000.000 2. Value Cod1.-s J =S 1 .000 or h..-ss K =Sl5.001. $50.000 L =S50.00I • SI00.000 M =SI00.001. $250.000

(Sec Columns Cl and DJ) N =S250.00 I • SS00.000 o =$500.001. Sl.000.000 Pl =Sl.000.001 • SS.000.000 P2 =S5.000,00I • $25.000.000 Pl =S25.000.00I • $50.000.000 P4 =More than $50.000.000

J. Val uc Method Codes Q=Appr.iisal R =Cost (Real Estate Only) S =Assessment T =Cash Markel

(Sec Column C2) v ==Olh1."T U =llook Value W :0Est1ma1i:d

B. D.

(I) (2) (I) (2) (5)

Date of Report :"iame of Penon Reporting FINANCIAL DISCLOSURE REPORT

Page 5of64 SARIS, PATTI B. 05/13/2011

VII. INVESTMENTS and TRUSTS - income, ··a1ue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 offilinc instructions.>


A. c.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period

(I) (2) (3) (4)

Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller

(A·H) or int.) (J·P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

18. Trusl # 5 G Dividend P2 T

19. - Baupost Value Partners LP I Redeemed 12/31/10 M (part)

20. - Kensico Offshore Fd Ltd LP

21. - Global Fixed Inc Brandywine Inv Tr Sold 07/29/10 J Mututal Fd (part)

22. Sold 11/23/10 J (part)

23. - Van Eck Intl Invest Gold-A Mutual Fd Buy 12/21/10 L (add'I)

24. Sold 12/30/10 0 G (part)

25. - Dodge & Cox Income Fd mutual Fd

26. - Federated US Teas Cash money market Buy 01/05/10 J (cash equiv) (add'!)

27. Buy 02/03/IO J (add'!)

28. Buy 03/02/10 J (add'!)

29. Buy 03/03/10 J (add'!)

30. Buy 03/30/10 J (add'I)

31. Buy 05/04/10 J (add'I)

32. Buy 05/24/IO N (add'!)

33. Buy 06/29/IO J (add'I)

34. Buy 07/02/10 J (add'I)

I. Income Gain Codes: A =$1.000 or l ess B =Sl,001 - $2.500 C =$2.501 -S5,000 D =$5,001 • $15,000 E =$15,001 - S50.000

(Sec Columns BI and D4) F =$50.001 - $100.000 G =SI00.001 -Sl.000.000 111 =$ 1.000.00 I - $5.000.000 t t2 =More 1han $5.000,000 2. \'::ilul!' CoJ1."5 J =St 5.000 or less K =St5.00t - $50.000 L =SS0.001 -St00.000 M =SI00.001 -$250.000

(Sec Columns Cl and 03) N =$250.00 I - $500.000 O=SS00.001-Sl ,000.000 Pl =SI .000.001 -SS.000.000 P2 =$5.000,001 • $25.000,000

P3 =S25.000.00I -$50.000.000 P4 =More 1han $50.000.000 l Value Method Codes Q =Apprais.:il R =CoSI (Real Es1a1c Only) S =Assessment T =Cash Markel

(Sec Column C2) U =&ok Value v =Oth1..'T W =Estimated

(I) (I} (2) (5)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -incomt!, valut!, transactions

D.

(I) (2)

Page 7of64

Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT

SARIS, PATii B. 05/13/2011

VII. INVESTMENTS and TRUSTS - income, va1ue, 1raruac1ions r1nc1udn thou ofspouu and dependent children: see PP. J4-6o of filing ins1ruc1ions.J


A. B. c.

Income during Gross value at end Transactions during reporting period Description of Assets


(2) (I) (2) (I) (3) (4) (5) Place "(X)" atler each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mmldd/yy Code2 Code I buyer/seller (A·H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) ( if private

(Q-W) transaction)

52. Sold 04/12/IO J (part)

53. Sold 04/14/IO J

(part)

54. Sold 05/11/10 J (part)

55. Sold 05126110 N (part)

56. Sold 06/10/10 J (part)

57. Sold 06/23/10 J (part)

58. Sold 07/08/10 K (part)

59. Sold 07/12110 J (part)

60. Sold 07/15/10 J (part)

61. Sold 08/10/10 J (part)

62. Sold 08/18/10 J (part)

63. Sold 09110/10 J (part)

64. Sold 09/21/10 J (part)

65. Sold 09/30/10 J (part)

66. Sold 10/12/10 J (part)

67. Sold 10/14/10 J (part)

68. Sold 11/10/10 J (part)

I. Income Gain Codes: A =$1.000 or less B =$1,001 • $2.500 c =$2,501 • $5,000 D =$5.001 - $15.000 E =$15,001 - $50.000

(See Columns BI and D4) f =$50.001 • $I 00,000 G =S100.00I • S 1.000.000 111 =S1.000.001 - $5.000.000 112 =More than $5.000.000 2. Value Codes J =S 15.000 or less K =$15,001 • $50.000 L =S50.00I. SI00.000 M =SI00.001. S250.000

(Sec Column< Cl and DJ) N =$250.001 - $500,000 0 =$500,00 I • S 1,000,000 Pl =Sl.000.001 - $5.000,000 P2 =$5.000.001 - $25,000.000

PJ =$25.000.001 • $50.000.000 P4 =More than $50.000.000

3. Value Method Codes Q=Appr.i;sal II. =Cost (Rc:il Estaie Only) S ==Assessment T =Cash Market

(Sec Column C2) U =Hook Value V =Other W ==Estimated

B.

(4)

Date or Report Nam• or Person Reporting FINANCIAL DISCLOSURE REPORT

Page 8of64 05/13/2011SARIS, PATTI B.

VII. INVESTMENTS and TRUSTS -inc-ome, value, 1ransac-1ions

(I) (2) (I) (2) (4) (5)



VII. INVESTMENTS and TRUSTS - instructions.;income, .. aiue, transactions (Includes those of spouse and dependent children: see PP· J4-6o of filing


A. B. c. D. Description of Assets Income during Gross value at end Transactions during reponing period

(including trust as.els) reponing period of reponing period

(I) (2) (3) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction}

86. - Chilmark, MA Municipal Bd Sold 08/24/10 K A

87. - MA Bay Trans Auth Municipal Bd Sold 08/24/IO K B

88. - MA St Health & Ed Municipal Bd Sold 08/24/10 K c

89. - MA Water Pollution Municipal Bd Sold 08/24/10 K A

90. - Norwood, MA Municipal Bd Sold 08/24/10 L A

91. - University MA Bldg Auth Municipal Bds Sold 08/24/IO L c

92. - MA St Port Auth Municipal Bds Sold 08/24/10 K A

93. - MA St Tpk Auth Municipal Bds Sold 08/24/10 L

94. - UBS RMA TaxFree Fd cash eq mutual fd Sold 08/27/IO L

95. - Boston, MA Municipal bd Sold 08/24/10 K B

96. - !shares MSC! Brazil Index Fd (mutual fd)

97. - SPDR Gold Trust (mutual fd)

98. - Federated US Treas Cash Rsv money mrkt Buy 03/01/10 J (mutual fd) (add'I)

99. Buy 05/21/10 J {add'I)

100. Buy 08/27/IO N (add'!)

IOI. Buy 12/23/10 J (add'!)

102. Buy 12/30110 J (add'I)

I. Income Gain Codes: A =$1.000 or less B =St.001 -$2.500 c =$2.501 - $5.000 D =$5,001 - $15.000 E =S 15.001 - S50,000

(See Columns BI and D4) F =$50.001 -$100.000 G =$!00.001 - $1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000 2. Value Codes J =$15.000 or kss K=Sl5.001-S50.000 L =$50.001 - $100.000 M =Sl00.001 - $250.000

(Sec Columns C 1 and DJ) N =$250.001 -$500.000 0 =S oo.001 -Sl.000.000 Pl =$1.000.001 -$5.000.000 P2 =$5.000.001 • $25.000.000

Pl =$25.000.001 - $50.000.000 r4 =More than $50.000.000 J. Value Method Codes Q =Appraisal R -==Cost (Rc:il l:..stalc Only) S =Asscssm1."Tlt T =Cash Market

(See Column C2) U =llook Value v =Oth1.-r W =Estimated

(I) (2) (2) (3) (5)

Date of Rtport Namr of Penon Reporting FINANCIAL DISCLOSURE REPORT

0511312011SARJS, PATii B. Page 10of64

VII. INVESTMENTS and TRUSTS - income, .. atue, ITansactions (lncludn thou of spouse and dependent children: SU pp. 34-60 of filing instructions.)


A. B. c. D.


(including trust assels) reporting period of reporting period

(2) (I) (I) (4)

Place "(X)" after each asset 1 Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure , Code I div .. rent. Code2 Method buy. sell, mm/dd/yy Code 2 Code I buyer/seller

(A-H) or int.) (l-P) Code3 redemption) (l-P) (A-HJ (if private

(Q-W) transaction)

103. Sold (part)

104. Sold (part)

105. - Vanguard Developed Mkts Index, mutual Buy fd (x)

106. - Vanguard Dividend Appre, mutual fd (x) Buy

107. - Vanguard Emerging Markets, mutual fd (x) Buy

I 08. Trust # 9 E lnt./Div. N T

109. - MA Commonwealth SR A Muni Bds Sold (formerly MAS! Gn'l Oblig)

110. - MA Commonwealth SR B Muni Fds Sold (formerly MA St Grant Antic)

111. - Chilmark, MA Municipal Bd Sold

112. - MA Bay Trans Auth Municipal Bd Sold

I 13. - MA Health & Ed Municipal Bd Sold

114. - MA Water Pollution Municipal Bd Sold

I 15. - Norwood, MA Municipal Bd Sold

116. - University MA Bldg Auth Municipal Bds Sold

I 17. - MA St Port Auth Municipal Bds Sold

118. - MA St Tpk Auth Municipal Bds Sold

119. - New Bedford MA GIO Municipal Bds Sold

09/21/10 M

09/22/10 M

09120110 M

09/21/10 M

09/20/10 M

08/24/10 K A

08/24/10 J

08/24/10 K A

08/24/10 K B

08/24/10 L B

08/24/10 K B

08/24/10 K A

08/24110 K B

08/24/10 K A

06/28110 J

08124/10 K A

I. Income Gain Codes: A =$1.000 or less ll =$1,00I - $2.500 c =$2.501 - $5.000 D =$5,00t - St5.000 E =Sl5.00t -$50.000

(Sec Columns BI and D4) F =$50.001 -$100,000 G =SI00.001 - Sl.000.000 Ill =$1.000.001 -$5,000.000 112 =More than $5.000.000 2. Va\u.: Codes J =S 15.000 or less K =S\5.001 -$50.000 L =$50.001 -SI00.000 M =SI00.001 -$250.000

(Sec Columns Cl and DJ) N =$250.001 -$500.000 0 =S500.00t - Sl.000.000 PI =S 1.000.00I - $5.000,000 P2 =$5.000.001 -$25.000.000

Pl =$25.000.001 -$50.000.000 N =More than $50.000.000

3. Value Mc1hod Cocks Q =Appraisal R =Cost iRc:il Estate Only) S =Asscssmcnl T =Cash Market

(Sec Column C2) U =Hook Value V =Other W =Estimated

(x1



VII. INVESTMENTS and TRUSTS - income, vatue, transactions rrnc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B. c. D.



(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" afier each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyet/seller (A·H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

120. - UBS RMA TaxFree Fd cash eq mutual fd Sold 08/27/10 K

121. - Boston, MA Municipal bd Sold 08/24/10 K B

122. - !shares MSC! Brazil Index Fd (mutual fd)

123. - SPDR Gold Trust (mutual fd)

124. - Federated US Treas Cash Rsv money mrkt Buy 03/01/10 J (mutual fd) (add'l)

125. Buy 05121110 J (add'!)

126. Buy 08/27/10 N (add'!)

127. Buy 12/23/10 J (add'!)

128. Sold 09/21/10 M (part)

129. Sold 09/22110 M (part)

130. - Vanguard Developed Mkts Index, mutual Buy 09/20110 M fd (x)

131. - Vanguard Dividend Appre, mutual fd (x) Buy 09/21/10 M

132. - Vanguard Emerging Markets, mutual fd Buy 09120110 M

133. Trust# 10 None N w

134. - Travelers Life & Annuity Ins Co, universal life insurance

135. Trust# 11 A Dividend Pl w

136. - Manulife Fin'! Corp (formerly JHancock Finl Svcs), common

I. Income Gain Codes: A=$1.000 or less B=Sl,001-$2.500 c=$2.501 -$5.000 D =$5.001 -$15.000 E=$15.001 - $50.000

(Sec Columns Bl and 04) F=$50.001 • $100.000 G=$100.001 - Sl.000.000 Ill =Sl.000.001 -$5.000.000 112 =More th>n $5.000.000 2. V.aluc Co.k"'S J =S 15.000 odcss K=$15.001 -Sl0.000 L=$50.001 -SI00.000 M =SI00.001 • $250.000

(Sec Columns Cl and 03) N =$250.001 -$500.000 O=Sm.OOl -Sl.000.000 Pl =Sl.000.001 -$5.000.000 P2 =$5.000.001 -$25,000.000

P3 =$25.000.00 I • $50.000.000 P4 =More th>n $50.000.000

3. Value Mc!hod Codes Q=Appr:iisal R =Cost (Real E.stalc Only) S =Assessment T =Cash Market !Se< Column C2) U=!look Value V =Olhcr W =Estimated

(Johr


Page 12of64

Name of Person Reporting

SARIS, PATii B.

Date of Report

05113/2011

VII. INVESTMENTS and TRUSTS -income, vatue, 1ransac1ions rrnctudes thou of spouse and dependent children; supp. 14-6ooffitingins1ruc1ions.J


A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period


(I) (2) (I) (2) (I) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.,

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, (A-H) or int.) (J-P) Code3 redemption)

(Q-W)

137. - Sun Life Assurance, universal life insurance

138. - Manufacturers Life Ins, universal life

Hancock)

139. - Federated USTreas Cash Rsv cash eq mututal fd

140. MA Water Pollution Municipal Bonds B Interest K T

141. Tucker Anthony Private Equity Fund IV F Distribution N u Buy (add'I)

142. IRA Rollover 0 w

143. - Federated USTreas Cash Rsv cash eq A Dividend J T mutual fd

144. - Zoom Information Inc Cl B closely held None J w

145. - Vanguard lnflat Protect mutual fd E Dividend 0 T Buy (add'I)

146. Buy (add'I)

147. Buy (add'I)

148. Buy (add'I)

149. Battery Ventures VI L.P. E Distribution L u

150. Friends of Lime Rock II L.P. G Distribution M u

151. Park St Capl Natural Res Fd LP. F Distribution N u Buy (add'I)

152. Patron Capital L.P. I G Distribution N u Sold (part)

153. US Fidenza LLC None K u

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

mm/dd/yy Code 2 Code I buyer/seller (J-P) (A-H) (if private

transaction)

03/24/10 J

03/29/10 J

06/28/10 J

09/27/10 J

12/28/10 J

12/28/10 J

09/22/10 J

I. Income Gain Codes: A =$1.000 or less B =$1.001 -$2.500 C =$2.501 • SS.000 D =SS.001 • SIS.000 E =$1 5.001 -$50.000

(See Columns BI and D4) F =$50.00 I -$I 00.000 G =$100.001 - $1.000.000 111 =Sl.000.001 - $5.000.000 112 =More than SS.000.000

2. V

A.

(I) (2) (3) (4)


05/13/2011SARIS, PATii B. Page 13of64

VII. INVESTMENTS and TRUSTS -incom ... vatu .. , 1ransadions r1nc1udn1hoseofspouuand dependentchildun:se .. pp. 14-6ooffilincins1ruc1ions.)



B. c. D. Income during Gross value at end Transactions during reporting period


(2) (I) (2) (I) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

154. US Wertheim LLC None M u

155. MFB Northern Trust Co Funds Muni MM A Dividend M T See Part Vlll cash equiv.

156. Northn AZ Univ Revs Municipal Bond D Interest N T

157. Phoenix AZ Civic lmpt Municipal Bond D Interest N T

158. Trust# 14 E Distribution 0 T

I59. - Federated USTreas Cash Rsv cash eq Sold 02/19/10 J mutual fd (part)

160. - Int in MECM Investments LLC (closely held) (x)


162. - Federated USTreas Cash Rsv cash eq Sold 02/19/10 J mutual fd (part)






168. - Federated USTreas Cash Rsv cash eq Sold 02119/10 J mutual fd (part)


170. Park St Capital V LP G Distribution 0 u Buy 12/28/10 J (add'I)

I. Income Gain Codes: A =$ t.000 or less B 4t,OOI -$2.500 c =$2.501 - $5,000 0=$5.001 • $15.000 E =Sl5.00l -S50.000

(See Columns Bl and 04) F =$50.001 • $100.000 G =SI00.001 • St.000.000 Ill =St.000.001 • $5.000.000 112 =More than S5.000.000 2. V

B.

(I) (I) (2) (3)

Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT 05/13/2011SARJS, PATTI B. Page 14of64

VII. INVESTMENTS and TRUSTS - income, value, transactions

'

u

B.

(3) (5)

(J·P)

Name of Per.on Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -i ncome, value, transac tions r1nc1udes 1hoseofspouse and dep endent c hildren: supp. J4-6ooffilinci ns1ruc1ions.J


A.

Description of Assets Income during

c. Gross value at end

D.

Transactions during reporting period


(I) (2) (I) (2) (I) (2) (4) Place "(X)" after each asset ! Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure div., rent, Code2 Method buy, sell, mmlddlyy Code2 Code I buyer/selleri Code I (A·H) or int.) (J-P) Code 3 redemption) (A-H) (if private

(Q-W) transaction)

188. Parle Street Capital VI (Private Equity Fd) F Distribution 0 u Buy 03/24/10 J (add'I)

189. Buy 05111/10 J (add'I)

190. Buy 06129/10 J (add'I)

191. Buy 09/28/10 J (add'l)

192. Buy 10/01/10 J (add'I)

193. Buy 12/29/10 J (add'l)

194. Patron Capital LP II (private equity) None P l u Buy 07/27/10 K (add'I)

195. Buy 04/27/10 K (add'I)

196. Buy 12/06/10 K (add'I)

197. Orion Eruopean Real Estate Fd II, C.V., LP G Distribution N u Buy 07/19/10 M (add' I)

198. US Dublin LLC None L u

199. Europa Fund II US LP E Distribution 0 w Buy 07115/10 K (add' I)

200. Buy 09/09/10 L (add'I)

201. Weston Presidio V LP G Distribution N Buy 04/01/10 K (add'I)

202. IL St Municipal Bds D Interest N T

203. NJ Dev Auth Municipal Bds D Interest M T Matured 09/01/10 M (part)

204. Trust# 18 E Distribution P l T

I. Income Gain Codes: A =S t.000 or less ll =St.001 -$2.500 c =$2.501 -$5,000 D =SS.001 - Sl5.000 E =S 15.001 - S50.000

(Sec Columns Bl and D4) F =$50.001 • SI00.000 G =SI 00.00 I -$ t.000.000 Ill =St.000.001 -S5.000.000 112 =More than SS.000.000 2. Value Codes J =St 5.000 or less K =Sl5.001 -$50.000 L =SS0.001 -SI00.000 M =SI00.001 • S250.000

(Sec Columns Cl and DJ) N =S250.00I -S500.000 0 =$500.00 I -S t.000.000 Pl =Sl.000.001 - Sl.000.000 P2 =SS.000.001 • $25.000.000

PJ =S25.000.00 I - SS0.000.000 P4 =More than S50.000.000 3. Value Method Codes Q =Appraisal R ;(°ost (Real Estate Only) S = Asscssm1..'Tlt T ;(°ash Market

(Sec Column C2) U =Book Value V =Othcr W :oEstimatcd

D.

(2)

Dalt of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 16of64 05/13/2011SARIS, PATii B.

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children: see pp. 1

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

Date or Report Name or Penon Reporting FINANCIAL DISCLOSURE REPORT

Page 17 of64 05/13/2011SARIS, PATTI B.

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP. 1.s-60 of filing instructions.)



(including trust assets) reponing period of reponing period

(I) (2) (I) (I) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A·H) or int.) (J-P> Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

222. Trust # 20 E Distribution Pl T


224. Buy 04/16/10 K (add'I)

225. Buy 06/03/10 J (add'J)

226. Buy 09/08/10 J (add'I)

227. Buy 10/14/10 J (add'I)

228. Buy 12/03/10 J (add'I)

229. Buy 12/20/IO J (add'I)


231. Trust# 21 E Distribution Pl T


233. Buy 04/16/10 K (add'l)

234. Buy 06/03/10 J (add'I)

235. Buy 09/08/10 J (add'l)

236. Buy 10/14/10 J (add' I)

237. Buy 12/03/IO J (add'l)

238. Buy 12/20/IO J (add'l)

I. Income Gain Codes: A =Sl,000 or less ll =$1,001 - $2.500 c =$2,501 - $5.000 D =S5.001 • $15.000 E =$15,001 - $50.000

(Sec Columns BI and D4) F =$50.00t • $100.000 G =$I 00.001 - $1.000.000 Ill =Sl.000.001-S5.000.000 112 =More than $5.000.000 2. Value Cock."S J =St 5.000 or less K =St5.001 - S50.000 L =$50.001 - $100.000 M =St00.001 • $250.000

(Sec Columns Cl and DJ) N =$250.001 - $500.000 0 =$500.001 • s1.000.000 P l =S l.000.001 • $5.000.000 P2 =$5.000.001 - S25.000.000

PJ =$25.000.001 - $50.000.000 N =More than $50.000.000

3. Value Method Cod s Q =Appraisa l R =Cost (Real Estate Only) S =Assessment T =Cash M:irlct

(Sec Column C2) U =Hook Value v =Oth1..'T W =Estimated

D.

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

Date of Rtport Name of Penon Reporting FINANCIAL DISCLOSURE REPORT


VI I. INVESTMENTS and TRUSTS - income, value, transactions

(2) (I) (2)



VII. INVESTMENTS and TRUSTS -income, va111e, transactions (lnc111des those of spouse and dependm1 children: see pp. J4-6o offilin1: instructions.)


A. B. c. D.



(I) (2) (I) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Codc2 Method buy, sell, mrnldd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

256. Buy 08/19/10 K (add'I)

257. Buy 11/18/10 L

(add'I)

258. Polaris Vent Part Entrep Fd V LP None 0 u Buy 03119/10 K (add'I)

259. Buy 04/29/10 K (add'!)

260. Buy 06/28/10 K (add'!)

261. Buy 10/18/10 K (add'I)

262. Summit Ptms Priv Eq Fd VII-A F Distribution 0 u Buy 02/26/10 K (add'I)

263. Buy 04/09/10 K (add'I)

264. Buy 04127110 J (add'I)

265. Buy 05/12/10 K (add'I)

266. Buy 05/21/10 J (add'!)

267. Buy 10/14/10 K (add'!)

268. Buy 12/13/10 K (add'I)

269. TAX LP (Priv Eq) G Distribution P l u Buy 02104110 K (add'!)

270. Buy 03/26/10 K {add'I)

271. Buy 04/01/10 K (add'!)

272. SPDR Gold Tr (formerly Streettracks Gold None P2 T Donated Trust) mutual fd (part)

I. Income Gain Codes: A =$1.000 or less B =$1,00 I - $2,500 c =$2.501 - $5,000 D =$5.001 - $15,000 E =Sl5.001 - S50.000 {Sec Columns BI and 04) F =$50.001 - $I 00,000 G =$100.001 -Sl.000.000 lll =$ 1.000,001 - SS.000,000 112 =More than SS.000.000

2. Value Codes J =S 15.000 or less K =SI 5,001 - SS0.000 L =$50.001 - SI00.000 M =SI00.001 - $250.000

(Sec Columns CI and DJ) N =$250.001 - $500.000 0 =SS00.00 I - S 1.000.000 Pl =Sl.000.001 - SS.000.000 P2 =SS.000.00t - S25.000.000

PJ =$25.000.001 - SS0.000.000 N =More than $50.000.000

3. Value Mc1hod Codes Q =Appraisal R =Cost (Real Estate Only) S =AsscssmC'11t T =Cash Market (Sci: Column C2) U =Book Value V =Other W =l:::stimatcd

(I) (I) (2) (I) (2) (5)

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income, vatue, transadions rrnc1udes those of spouse and dependent children: see PP· 14-60 offitinc instructions.)




(2) (3) (4)

Place "(X)" afler each asset exempt from prior disclosure

Amount Code I

(A-H)

Type (e.g., div., rent,

or int.)

Value

Code2

(J-P)

Value

Method Code3

(Q-W)

Type (e.g., buy, sell,

redemption)

Date

mm/dd/yy

Value

Code2

(J-P)

Gain Code I

(A-H)

Identity of

buyer/seller

(if private

transaction)

273. Realty Assoc Fd V Corp (REin A Dividend J w

274. Greenville, SC Municipal bds D Interest Sold

275. Maricopa Cty, AZ Municipal bds D Interest N T

276. Minneapolis, MN Municipal bds D Interest M T

277. San Antonio, TX Municipal bds D Interest N T

278. Sweetwater, WY Municipal bds c Interest M T

279. University Idaho Municipal bds D Interest M T

280. Walled Lake, MI Municipal bds c Interest M T

281. UBS RMA TaxFree Fd cash eq mutual fd A Dividend Buy (add'l)

282. Buy (add'I)

283. Sold

284. Federated US Treas Cash Rsv cash eq A Dividend Pl T Buy mutual fd (add'l)

285. Buy (add'I)

286. Buy (add'I)

287. Buy (add'I)

288. Buy (add'l)

289. Buy (add'l)

07/13/IO M E

01/19/IO J

07/01/10 J

12/14/10 J

01/04/IO K

01/05/10 J

01/07/IO L

01/08/10 0

01115110 M

01/19/10 J

I. Income Gain Codes: A =$1.000 or less B =$ 1 .00I - $2.500 c =$2.501 . $5.000 D =$5.001 - $15.000 E =$15.001 - $50.000 (Sec Columns Bl and D4) f =$50.001 -$100.000 G =SI00.001 -$1.000.000 Ill =$1.000.001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J •SI S.000 or less K =SIS.001 - SS0.000 L =$50.001 - SI00.000 M =SI 00.00 I • $250.000

\See Columns Cl and Dl) N =$250.001 - $ 500.000 0 =$500.00 I • S 1.000.000 Pl =Sl.000.00t - S .000.000 P2 =$5.000.00 I -$25.000.000 PJ =$25.000.001 - $50.000.000 P4 =More than $50.000.000

J. Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Marlc:t

(Sec Column C2) U =Book Value V =Othcr \Vo::oEstimatcd

(I) (2) (3) (5)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT 05/13/2011SARIS, PATii B. Page 21of64

VII. INVESTMENTS and TRUSTS -income, varu e, transactions

c.

(I) (I) (2) (3) (4) (5)



VII. INVESTMENTS and TRUSTS - income, value, 1ransac1iom r1nc1udes those of spouse and dependent children: ue PP. J4-6o of filing ins1ruc1ions.J


A. B. D.

Description of Assets Income during Gross value at end Transactions during reponing period


(2) (I) (2)

Place "(X)" af\er each asset Amount Type (e.g., Value Value Type (e.g .• Date Value Gain Identity of

exempt from prior disclosure Code I div., rent. Code 2 Method buy, sell, mmlddlyy Code 2 Code I buyer/seller

(A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

307. Buy 03/30/10 J (add'!)

308. Buy 03/31/10 L (add'l)

309. Buy 04105110 J (add'!)

310. Buy 04/07/10 K (add'!)

311. Buy 04116/10 J (add'I)

312. Buy 04/28/10 J (add'!)

313. Buy 04/29/10 J (add'I)

314. Buy 05/04/10 J (add'I)

315. Buy 05/21/10 J (add'!)

316. Buy 05/25/10 L (add'!)

317. Buy 06/01/10 K (add'I)

318. Buy 06/02/10 J (add'!)

319. Buy 06/08/10 J (add'!)

320. Buy 06/14/10 M (add'I)

321. Buy 06/18/10 L (add'I)

322. Buy 06/23/10 J (add' I)

323. Buy 06/24/10 J (add'I)

1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2.500 C =$2.501 - $5,000 D =$5,001 - $15.000 E =S15.001 -S50.000

(Sec Columns BI and 04) f =$50.001 - $1 00.000 G =S 100.00 I - $1.000.000 111 =Sl.000.001 - $5.000.000 112 =More than S5.000.000 2. V

(4)

FINANCIAL DISCLOSURE REPORT Name or Person Reporting

SARIS, PATii B.

Date or Report

05/13/2011Page 23of64


(I) (2)



VII. INVESTMENTS and TRUSTS -income, value, transactions

(I) (2) (3)

Date of Report Name or Penon Reporting FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children: see PP· 34-60 offitinc instructions.)


A. B. c. D.



(2) (I) (2) (I) (4) (5) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure

Place "(X)" afler each asset Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

358. Buy 11/23/10 K {add'!)

359. Buy 11/24/10 K (add'I)

360. Buy 12/01/10 L {add'!)

361. Buy 12/03/10 0 {add'!)

362. Buy 12/10/10 J {add'I)

363. Buy 12/15/10 L (add'!)

364. Buy 12/16/10 J (add'!)

365. Buy 12/20/10 J (add'!)

366. Buy 12/21/IO K (add'!)

367. Buy 12/23/10 M (add'!)

368. Buy 12/27/IO L {add'!)

369. Buy 12/28/10 M (add'!)

370. Buy 12/29/10 L (add'!)

371. Buy 12/30/10 K (add'I)

372. Buy 12/31/10 M (add'!)


374. Sold 01/05/10 J (part)

I. Income Gain Codes: A =$ t .000 or less B =$1,00 I -$2.500 c =$2,50t - $5,000 D=$5.00t -St5,000 E =St5.00t - $50.000

(See Columns Bl and 04) F =$50.001 -$100.000 G =SI 00.00 I -S 1.000.000 Ill =$1.000.00t - $5.000.000 112 =More than $5.000.000 2. V>lu< Codes J =St 5. 000 or less K =Sl5.00t -SS0.000 l =SS0.00 I - SI 00.000 M =$100.00t -$250.000

(See Columns Cl and DJ) N =$250,001 -$500.000 0 =$500.00 I - $1.000.000 Pl =$1.000.001 -$5.000.000 P2 =$5.000.00t · $25.000.000

PJ =$25.000.00t - $50.000.000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =C>Sh Market (Sec Column C2) U =Book Value V =Other W =Estimated

c.

(2)

D.

(2) (3)



VII. INVESTMENTS and TRUSTS - incomt!, •·alut!, transactions (Includes those of spouse and dependent children; St!t! pp. 34-60 of filing instructions.)


A. B. Description of Assets Income during Gross value at end Transactions during reponing period

(including trust assets) reporting period ofreponing period

(I) (2) (I) (I) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell. mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (l-P) Code 3 redemption) (l-P) (A-H) (if private

(Q-W) transaction)

375.

376.

377.

378.

379.

380.

381.

382.

383.

384.

385.

386.

387.

388.

389.

390.

391.

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

01/12/10 )

01/14/10 K

01/22/10 J

01/26/10 )

01/28/10 J

02/01/10 )

02/02/10 L

02/03/10 )

02/05/10 K

02/09/10 )

02/10/10 )

02/11/10 K

02/16/10 K

02/18/10 )

02/22/10 N

02/25/10 )

02/26/10 M

I. Income Gain Codes: A =$1.000 or less B =$1.001 - $2,500 c =$2.501 . $5.000 D =$5.001 -$15.000 E =$15,001 -$50.000

(Sec Columns Bl and 04) F =$50.001 - $100,000 G =$100.001 -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000 2. Value Codes J =S 15.000 or less K =$15.001 - $50.000 L s50.001 - s100.ooo M =SI00.001 - $250.000

(See Columns Cl and 03) N =$250.00 I - $500.000 0 =Sl00.001 -S 1.000.000 Pl =S 1.000.001 -$5.000.000 P2 =$5.000.001 - $25.000.000

P3 =$25.000.001 -$50.000.000 P4 =More than $50.000.000

3. Value Method Codes Q '"'Appraisal R =Cost (Real Estate Only) S =Asscssm1..,,1 T =Cash Market

(Sec Column C2) U =Book Value V =Other W "'Estimalcd

A. B.

(I) (2) (3)

Name or Penon Reporting Date or Report FINANCIAL DISCLOSURE REPORT


VI I. I NV EST MENTS and TRUSTS - income, value, transactions rrnc1udes those of spouse and dependent children; see PP. 14-60 of filing instructions.;


Description of Assets Income during

c. D.

Gross value at end Transactions during reponing period

( including trust assets) reponing period of reponing period

(2) (I) (2) (I) (4) (5) Place "(X)" afler each asset ! Amount Type (e.g.• Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy. sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code) redemption) (J-P) (A-11) (if private

(Q-W) transaction)

392. Sold 03/01/10 J (part)

393. Sold 03/03/IO K (part)

394. Sold 03/04/10 J (part)

395. Sold 03/08/10 J (part)

396. Sold 03/10/IO K (part)


398. Sold 03/17/IO L (part)

399. Sold 03/18/IO L (part)

400. Sold 03125110 M (part)

401. Sold 03129110 J (part)

402. Sold 04101110 L (part)

403. Sold 04108110 J (part)

404. Sold 04109110 J (part)

405. Sold 04112110 M (part)

406. Sold 04114110 N (part)

407. Sold 04115110 K (part)

408. Sold 04119/IO J (part)

I. I ncome Gain Codes: A =$1.000 or less B =$1.001 -$2.500 c =$2,501 -$5,000 D =$5.001 - $15,000 E =S 15,001 - S50.000

(Sec Columns Bl and 04) F =$50.001 -$100.000 G =$100.001 -$1.000.000 111 =$1.000.001 - $5.000.000 112 =More than S5.000.000 2. Value Codes J =S l5.000 or less K =S 15.00 l • S50.000 L =S50.00I -SI00.000 M =SI00.001 -$250.000

(Sec Columns Cl and DJ) N =$250.001 - $500.000 0 =$500.00 I -$1.000.000 Pl =SI.000.00t -S5.000.000 P2 =S5.000.00I -SH.000.000

PJ =S25.000.00I -$50.000.000 P4 =More than $50.000.000

3. Value Method Codes Q=Appr:iisal R =Cost (Real Esiatc Only) S=As.scssmcnt T =Cash Market

(Sec Column C2) U =Book Value V =Other W=Estimated

(I) (I) (3) (4) (5)

Name of Penon Reporting Date of Rtport FINANCIAL DISCLOSURE REPORT

Page 28of64 05113/2011SARIS, PATTI B.

VII. INVESTMENTS and TRUSTS -income, vatue, transactions rrnc1udes 1hose ofspouuand dependen1children;see pp. 34-6ooffitingins1ruc1ions.J


A. B. c. D.

Description of Assets Income during Gross value at end Transaclions during reponing period

(including lrusl assets) reponing period of reponing period

(2) (I) (2) (2) Place "(X)" afler each assel Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exemp1 from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemplion) (J-P) (A-H) (ifprivate

(Q-W) transaction)

409. Sold

(part) 04/21/10 K

410. Sold

(part) 04/22/10 J

411. Sold

(part) 04/26/10 K

412. Sold

(part) 04/27/10 K

413. Sold

(part) 04/30110 J

414. Sold

(part) 05/03/10 L

415. Sold

(part) 05/04/10 J

416. Sold

(part) 05/06/10 J

417. Sold

(part) 05/10/10 K

418. Sold

(part) 05/11/10 J

419. Sold

(part) 05/12/10 K

420. Sold

(part) 05/13/10 J

421. Sold

(part) 05117110 J

422. Sold

(part) 05/18/10 K

423. Sold

(part) 05/20110 K

424. Sold

(part) 05/21/10 J

425. Sold

(part) 05/24110 J

I. Income Gain Codes: A =$1.000 or less B =Sl,001 - $2,500 c =$2,501 - $5.000 D =$5.001-$15,000 E =Sl5.001 - S50.000

(See Columns BI and D4) F =$50.001 - $ 1 00.000 G =$100.001 -Sl.000.000 Ill =Sl.000.001 -S5.000.000 112 =More than $5.000.000 2. Value COOcs J =SIS.000 or less K =Sl5.00I -S50.000 L =S 50.00 I -SI 00.000 M =SI00.001 - $250.000

(Sec Columns Cl and DJ) N =$250.001 - S500.000 0 =Sl00.001 -Sl.000.000 Pl =Sl.000.001 - Sl.000.000 P2 =$5.000.001 - $25.000.000

PJ =$25.000.00 I -$50.000.000 P4 =More than $50.000.000

3. Value Method Cocks Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

CScc Column C2) V =OtherU =!look Value W =Estim::ncd

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




(I) (2) (5)



VII. INVEST MEN TS and TRUSTS - income, value, transactions r1nc1udn those of spouse and dependent children: see PP. H-60 of ft/inc instructions.)




(I) (2) (I) (2) (3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A·H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

443. Sold (part)

06/30/IO K

444. Sold 07/02/10 Pl

(part)

445. Sold 07/06/10 J

(part)

446. Sold 07/08/10 J (part)

447. Sold 07/09/10 J (part)

448. Sold 07112/10 J (part)


450. Sold 07/16/10 L (part)

451. Sold 07/19/IO M (part)

452. Sold 07/20110 K (part)

453. Sold 07/21/10 J (part)

454. Sold 07/22/10 K (part)

455. Sold 07/26/IO M (part)

456. Sold 07/27/10 K (part)

457. Sold 07/28/10 J

(part) 458. Sold 07/30/10 J

(part) 459. Sold 08/02/10 J

(part)

I. Jncomc Gain Codes: A =$1,000 or less B =$1,001. $2,500 c =$2.501 • $5,000 D =S5.00I • St5,000 E =S15.00I • $50.000

(See Columns Bl and 04) F =$50.001 • $100,000 G =$100.001 • $1.000.000 Ill =$1.000,001. $5.000.000 112 =More than $5.000.000 2. Value Co&..""S J =S 15.000 or less K =$15.001 • $50.000 L =$50.001 • SI00.000 M =SIOO.OOt • $250.000

(See Columns Cl and DJ) N =$250.00J • $500.000 0 =S500.00I • Sl.000.000 Pl =Sl.000.001 - $5.000.000 P2 =$5.000.001 • $25.000.000

PJ =$25.000.001 • $50.000.000 P4 =More than $50.000.000

3. Value Me1hod Codes Q =Appraisal R =Cost (Real Esta1e Only) S =Assessment T =Cash Markct (Sec Column C2) U =llook Value V =Olhcr W =Estimated

(I) (2) (3) (4)

(J-P)


05/13/201 I SARIS, PATii B. Page 31of64

VII. INVESTMENTS and TRUSTS -incom.,, vatu.,, transat:tiom r1nc1udes thou ofspouu and dependent children: see PP· 3.t-6o of filing instructions.)


A. B. C. D.

Descriplion of Assets Income during Gross value at end Transactions during reponing period

(including trust assets) reponing period of reporting period

(2) (I) (2) (I) (5) Place "(X)" afler each asset Amount Type (e.g.• Value Value Type (e.g., Date Value Gain Identity of

Code Iexempt from prior disclosure div., rent, Code 2 Method buy, sell, nun/dd/yy Code 2 Code I buyer/seller

(A-H) or int) Code3 redemption) (J-P) (A-H) (if private

transaction)(Q-W)

460. Sold 08/03/10 J (part)

461. Sold 08/04/10 J (part)

462. Sold 08/06/10 J (part)

463. Sold 08/09110 K (part)

464. Sold 08/13110 J (part)

465. Sold 08/16/10 J (part)

466. Sold 08/18/10 K (part)

467. Sold 08/24/10 K (part)

468. Sold 08/26/10 M (part)

469. Sold 08/30/10 J (part)

470. Sold 08/31/10 J (part)

471. Sold 09/01110 M (part)

472. Sold 09/02/10 J (part)

473. Sold 09/07/10 N (part)

474. Sold 09109110 L (part)

475. Sold 09/10/10 J (part)

476. Sold 09113110 J (part)

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2.500 c =$2,501 -$5.000 D =$5.001 - $15.000 E =$15.001 • $50.000

(See Columns Bl and D4) F =$50.001 - $100,000 G =$!00.00l -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than SS.000.000 2. Va!u.: Codes J =Stl.000 o.-less K =Sll,001 -S50.000 L =S50.00I - S!00.000 M =SI00.001 - $250.000

(Sec Columns Cl and DJ) N =$250.001 -SS00.000 0 =$500.001 -$1,000.000 Pl =Sl.000.001 -Sl.000.000 P2 =$5.000.001 - $25.000.000

Pl =$25.000.00 I - SS0.000.000 N =More than $50.000.000

J. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Mark.ct

(Sec Column C2) U =Book Value V =Othcr W =Estimated

(I) (I) (2)

477.

(part) 478.


Page 32of64 SARJS, PATTI B. 05/13/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions onc1udes thou ofspouu and dependent children: see pp.1.t-60 offilinc instructions.)


A. B. C. D.



(2) (I) (2) (3) (4) (5) Place "{X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure div., rent, Code 2 Method buy, sell, mmldd/yy Code 2 Code I buyer/sellerCode I (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

Sold 09/14/IO J

Sold 09116/10 J (part)


480. Sold 09/22/10 M (part)

481. Sold 10/04/10 J (part)

482. Sold I0/05110 J (part)

483. Sold 10/06/10 J (part)

484. Sold 10/07/10 K (part)

485. Sold I0/12/10 K (part)

486. Sold 10/14/10 K (part)

487. Sold 10118/10 K (part)

488. Sold I0/21/10 J (part)

489. Sold 10/22/10 J (part)

490. Sold I0/25/10 N (part)

491. Sold \0/28/10 L (part)

492. Sold 11/01/10 J (part)

493. Sold 11/02/10 0 (part)

I. Income Gain Codes: A =$1.000 or less B =$1.001 - $2,500 c =$Z.501 -$5,000 D =$5.001 -$15.000 E =$15.001 - $50,000

(Sec Columns BI and D4) F =$50.001 -$100,000 G =$100,00 I -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J =S 15.000 or less K =$15.001 -$50.000 L =$50.001 - SI00.000 M =SI00.001 -$250.000

!See Columns Cl and 03) N =$150.001 - $500.000 O =Sl00.001 -Sl,000.000 Pl =Sl.000.001 -Sl.000.000 Pl =$5.000.001 -$15.000.000

P3 =$15.000.00 I - $50.000.000 P4 =More than $50. 000.000

3. Value Method Codes Q =Appraisal R =Cost (Real !:.state Only) S =Asscssmcnl T =Cash Market

(See Column Cl) U =Book Va lue V =Othcr W =ES1imatcd

(I) (2) (I) (5)

Date of Report Name o( Person Reporting FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -income. vatue. transactions

A.

(I) (2)



VII. INVESTMENTS and TRUSTS -income, varue, transactions ok Value v =Oth...'T W =Estimated

A.

(I) (2) (5)

Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 35of64 SARJS, PATTI B. 05/13/2011

VII. INVESTMENTS and TRUSTS -income, vatu e, rraruactioru rrnc tudesrhos eofspouuanddep endenrchitdren:s eepp. 1-1-60 offilinci nsrru crion s.J

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


B. c. D.

Income during Gross value at end Transactions during reporting period


(2) (I) (2) (I) (3) (4) Place "(X)" after each asset


Amount Code I (A·H)

Type (e.g.,

div., rent,

or int.)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)

Type (e.g.,

buy, sell,

redemption)

Date

mm/dd/yy

Value

Code2

(J-P)

Gain

Code I

(A·H)

Identity of

buyer/seller

(if private transaction)

528. Buy (add'I)

05/26/10 J

529. Buy 10/12/10 J (add'I)

530. Trust# 22 G lnt./Div. P2 w

531. • Int in MECM Assoc II LLC closely held

532. • Hephaestion LP Buy 03/25/10 L (add'I)

533. Buy 06/29/10 J (add'l)

534. Buy 12/23/10 K (add'\)

535. • Hephaestion Co-invest I LP Buy 03/25/10 J (add'!)

536. Buy 12/23/10 J (add'!)

537. • Porus Invt Hldg Co Ltd LP

538. ·Xander Master Fund LLC

539. ·Federated US Treas Cash reserve money Buy 01/08/10 J mrkt mutual fd (add'!)

540. Buy 01/11/10 K (add'!)

541. Buy 02/24/10 J (add'l)

542. Buy 04/05/10 K (add'\)

543. Buy 08/24/10 J (add'!)

544. Buy 10/14/10 L (add'!)

I. Income Gain Codes: A=$ 1,000 or less B =Sl,001 • $2.500 c =$2.501 - $5,000 D =$5,001 • $15.000 E =Sl5.00I • S50.000

(See Columns Bl and D4) F =$50.001 - $100.000 G =$!00.001 • $1.000,000 Ill =Sl.000,001 • SS.000.000 112 =More than SS.000.000 2. Volue Codes J =S 15.000 or less K =S 15.00I • SS0.000 L =S50.00I • SI00.000 M =SI00.001 - $250.000

(Sec Columns Cl and DJ) N =$250.001 • SS00.000 0 =S500.001 - Sl .000.000 Pl =Sl.000,001 • SS,000,000 P2 =SS.000.001 • S25.000,000

Pl =S25.000.00 I • $50.000.000 P4 =More than SS0.000.000

3. Value Method Codes Q =Appr.iisol R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =Book Value V =Oihcr W =Estimated

B.

Oare of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT


v II. I NV EST M ENTS and TR us TS - income, .. alue, transadions (Includes those of spouse and dt!pt!ndtnl children; see pp. 3./-60 of filing instrudions.)


A.

Description of Assels Income during

c. Gross value at end

D.


(including lrusl assels)

Place "(X)" afler each assel

exempl from prior disclosure

reporting period

(I) (2) Amounl Type (e.g., Code I div., renl, (A-H) or int)

of reporting period

(I) (2) Value Value

Code2 Method

(J-P) Code 3

(Q-W)

(I) Type (e.g.,

buy, sell,

redemplion)

(2) Dale

mrn/dd/yy

(3)

Value

Code2

(J-P)

(4) Gain

Code I (A-H)

(5) ldenriry of

buyer/seller

(ifprivale

1ransac1ion)

545. Buy (add'I)

10/21/10 J

546. Buy 11/01/10 J (add'I)

547. Sold (part)

548. Sold (part)

549. Sold (part)

550. Sold (part)

551. Sold (part)

552. Trust# 23 E lnt./Div. Pl T

553. - SPDR Gold Tr mutual fund

554. - Federated US Treas Cash Rsv mutual fund Buy (add'!)

555. Buy (add'!)

556. Buy (add'I)

557. Buy

(add'!)

558. - Realty Associates Fd IV LLC

559. - Int in MECM Investments LLC (closely held)

560. Trust# 24 D lnt./Div. Pl T


01/11/10 J

03/25/10 K

06/22/10 J

09/27/10 K

12/23/10 K

04/16/10 J

06/03/10 J

09/08/10 J

12/20/10 J

I. Income Gain Codes; A =$1.000 or less B =$1.001 -$2.500 c =S2.501 - S5.000 D =$5.001 -$15.000 E=Sl5.00l-S50.000

(Sec Columns BI and 04) F =$50.001 -$100.000 G =SI00.001 -Sl.000.000 111 =$1.000.00t -$5.000.000 112 =More than S5.000.000 2. V:i.lu.: Codes J =Sl5.000 or less K =S l5.00I -S50.000 L =$50.001 - SI00.000 M =SI00.001 -S250.000

(Sec Columns Cl and DJ) N =S250.00I -$500.000 0 =S500.00I -Sl.000.000 Pl =Sl .000.001 - S5.000.000 P2 =S5. 000.00I - S25.000.000

PJ =S25.000.00\ -$50.000.000 N =More th•n SS0.000.000

J. Value Method Codes Q =AppraiS>I R =Cost (Re>I Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

(I) (I)

Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 37of64 SARIS, PATii B. 05113/2011

VII. INVESTMENTS and TRUSTS -income, •·atue, transactions r1nc1udes those of spouse and dependent children: see pp. 34-60 of filing instructions.)


A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period


(2) (I) (2) (2) (3) (4) (5) Place "(X)" afler each asset Amount Type (e.g .• Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mmldd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

562. - Federated US Treas Cash Rsv mutual fund Buy 04/16/10 J (add'I)

563. Buy 06/03/10 J (add'l)

564. Buy 09/08/10 J (add'I)

565. Buy 12/20/10 J (add'I)

566. - Realty Associates Fd JV LLC

567. - Int in MECM Investments LLC (closely

held)

568. Trust# 25 E lnt./Div. Pl T


570. - Federated US Treas Cash Rsv mutual fund Buy 04/16/10 J (add'!)

57!. Buy 06/03/10 J (add'I)

572. Buy 09/08/10 J (add'l)

573. Buy 12/20/I 0 J (add'!)



576. Trust# 26 E Jnt./Div. Pl T


578. - Federated US Treas Cash Rsv mutual fund Buy 04/16/10 J (add'I)

\. Income Gain Codes: A =S 1.000 orless B =S 1,00 l - $2.500 C 42.50 t • SS .000 D =SS.001 • StS.000 E =SlS.001 - SS0.000 (Sec Columns Bl and 04) F =$50.001 • $t00,000 G =$100.00 I - $1.000.000 Ill =$1.000,001. $5.000.000 112 =More lhan $5.000.000

2. V.:ilu Codes J =515.000orlcss K =515.001·550.000 L =SS0.001 - 5100.000 M =Sl00.001·5250.000 (Sec Columns Cl and 03) N =5250.001 - SS00.000 0 =SS00.00 l • S 1.000.000 Pl =Sl.000.001. 55.000.000 P2 =55.000.001 · 525.000.000

P3 =525.000.001 • 550.000.000 P4 =More 1han 550.000.000

3. Value Mc1hod Codes Q =Appraisal R =CoSI (Real Es1a1c Only) S =Asscssmcn1 T =Cash farkcl (Sec Column C2) U =Book Value V =01hcr W =E::stimatcd

(I) (2)

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT 05/13/2011SARIS, PATTI B. Page 38of64

VII. INVESTMENTS and TRUSTS - income, »alut', transactions (Includes tlrose of spouu and dependent clrildren: Set' pp. 34-60 of filing instructions.)

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

A. B. c. D.



(2) (I) (2) (I) (3) (4) (5) Place "(X)" a Iler each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

579.

580.

581.


583. Liveprocess Crop Ser A pfd stock

584. Neurophage Pharmls Inc Series A cv pfd stock

585. Wavemark Inc Ser B pfd stock

586. Vanguard Inflat Protected mutual fund F

587.

588. Meridia Capital LP

589. Meta4 Group Ltd LP

590. Elliott Associates, LP

591. Hony Capital Fund 2008, LP

592.

593.

594.

595.

None J

None J

None M

Dividend Pl

None 0

None J

None P2

None 0

Buy (add'l)

Buy (add'l)

Buy (add'!)

T

T

T

T Sold (part)

Sold (part)

u Buy (add'!)

u

u

u Buy (add'!)

Buy (add'!)

Buy (add'!)

Buy (add'!)

Buy (add'!)

06/03/10 J

09/08/IO J

12/20/10 J

03/09/IO Pl F

10/29/10 0 G

06/02/10 L

02/02/10 K

02/25/10 M

06/07/10 K

06/25/IO K

09/01/10 M

I. Income Gain Codes: A =$1.000 or less B =$1,001 -$2.500 C =$2.501 • Sl.000 D =$5.001 • $15,000 E =$15.001-SlO.OOO

(Sec Columns BI and 04) f =$50.001 -$100.000 G =$100.001. $1.000.000 111 =Sl.000.001 -Sl.000.000 112 =More than SS.000.000 2. Value Codes J =S 15.000 or less K =SI l.001 • $50.000 L =Sl0.001. SI00.000 M =SI00.001 -S2l0.000

(See Columns Cl and DJ) N =S2l0.00I -Sl00.000 O =$500.001 • Sl.000.000 Pl =Sl.000.001 • $5.000.000 P2 =$5.000.001 • $25.000.000

PJ =S2l.000.00 I • $50.000.000 N =More than $50.000.000

3. Value Method Codes Q =Appraisal K =Cost (Real Estate Only) S "'Assessment T =Cash Market

mated(Sec C olumn C2) U =Book Value V =Othcr W "'Esti

597.

(I) (4) (5)

Name of Person Reporting Dale or Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -income, .. alue, transactions (Includes those of spouse and dependent children; see PP. 34-60 of filing ins/ructions.)


A. B. c. D. Description of Assets Income during Gross value al end Transactions during reporting period


(I) (2) (I) (2) (2) (3) Place "(X)" after each asset


Amount Code I

(A·H)

Type (e.g.,

div., rent,

or int.)

Value

Code2

(J-P)

Value

Method

Code 3

(Q-W)

Type(e.g.,

buy, sell,

redemption)

Date

mm/ddlyy

Value

Code2

(J-P)

Gain

Code I

(A-11)

Identity of

buyer/seller

(if private

transaction)

596. Buy (add'I)

10/25/IO N

Buy 11/24/10 L (add'I)

598. Line Rock Partners V, LP combined c

599.

600.

601.

602.

603.

604.

605. Lone Star Fund VI (US), LP G

606. Lone Star Europe Holdings (US), LP c

607. Lone Star Real Estate Fund (US), LP G

608.

609. Middle East North Africa Opportunities Fd, LP

610. Portland Capital LLP A

611. MA Health & Ed Municipal Bds c

612. MECM Associates LLC closely held

Distribution Pl

Distribution P l

Distribution N

Distribution Pl

None L

Distribution L

Interest L

P3

u Buy (add'I)

Buy (add'I)

Buy (add'I)

Buy (add'!)

Buy (add'I)

Buy (add'I)

Buy (add'I)

u Buy (add'I)

u

u Buy (add'I)

Buy (add'I)

u Sold (part)

w

T

w

03/18/10 L

04/21/10 K

05/20/10 K

06/IO/IO K

07116/10 K

09/01/IO K

12/23/10 K

08/26/10 M

04/14/IO M

06/21/10 M

01/27/10 0

I. Income Gain Codes: A =$1.000 orless ll =$1.001 • $2.500 c =$2,501 . $5.000 D =$5.00 I • S 15,000 E =$15.001 - S50.000

(See Columns BI and 04) f =$50.001. $100.000 G =$100.001 - $1.000.000 Ill =Sl.000.001-$5.000.000 112 =More than $5.000.000 2. Valu..: Codes J =S 15.000 or less K =SI 5.001 - S50.000 L =S50.00I. SI00.000 M =SI00.001 • $250.000

(Sec Columns Cl and DJ) N =S250.00I-$500.000 0 =S 00.001 - S 1.000.000 Pl =Sl.000.001 - $5.000.000 P2 =$5.000.001 -$25.000.000

Pl =$25.000.001 - S 0.000.000 P4 =More than $50.000.000 J. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =Hool Value V =01.hLT \V =Estimated

(2) (3)

Date or Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT


Vil. INVESTMENTS and TRUSTS -int:ome, .. atue, transactions (Includes those of spouse and dependent children; see PP. 34-60 of filing instructions.)


A. B. c. D.

Description of Assets In come during Gross value at end Transactions during reponing period


(I) (I) (2) (I) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g .• Date Value Gain Identity of

exempt from prior disclosure Code I div.• rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) {l-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

613. - Abrams Capital Partners II LP None Pl u

614. - Baupost Value Partners LP II None P l u

615. - Brookside Cap Partners Fd LP None Pl u

616. - Kensico Associates LP None P2 u

617. Auburndale FL Municipal bds E Interest N T

618. Berkeley Cty SC Municipal bd E Interest N T

619. Birmingham AL Municipal Bds D Interest M T

620. Dallas TX Municipal bds D Interest Sold 02111/10 N D

621. Hawaii St Municipal Bds E Interest 0 T Buy 02110/10 M (add'!)

622. lntermountain Pwr Agy UT Municipal bds D Interest N T Buy 02/02110 N

623. Met Trans Auth NY Municipal Bds E Interest N T

624. Washington St Municipal Bds c Interest M T

625. Michigan St Municipal bds c Interest Sold 09/28/10 M D

626. NY St MUnicipal Bds D Interest Sold 06/23110 N c

627. Anchorage AK Municipal Bds D Interest N T

628. Chatham Cty GA Municipal Bds c Interest M T

629. MA St College Bds Municipal Bds D Interest N T

I . Income Gain Codes: A •$1.000 or less B =$ 1.00 I - $2.500 C 42.501 - Sl.000 0•$5,001 • $15.000 E =Sll.001 - S50.000 (Sec Columns Bl and 04) F •$50.001 - $100.000 G •$ I00.00 I - $ t.000.000 Ill =Sl.000.001 -$5.000.000 112 =More 1han $5.000.000

2. \'alu..: Codes J =S 15.000 or less K=Sl5.Cl01-S50.000 L •$50.001 - SI00.000 M •SI 00.001 • $250.000 (Sec Columns Cl •nd 03) N =S2l0.00I - SS00.000 0=$500.00 I - S t.000.000 r1 =Sl.000.001 - $5.000.000 P2 •S5.000.001 - $25.000.000

P3 =$25.000.001 • $50.000.000 P4 =More •h•n $50.000.000

3. Value Mc1hod Codcs Q •Appraisol R =CoSI (Real Es1a1c Only) S ==Asscssmcn1 T =Cash Mark



VII. INVESTMENTS and TRUSTS -income, .. a/ue, transactions (lnc/udt!S thou ofspousrand dependtnt children; SU pp. 34-60 of filing instructions.)


A. B. c. D.


(including trusl assets) reponing period ofreponing period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Place"(X)" after each assel Amount Type (e.g.• Value Value Type ( e.g., Date Value Gain Identity of

CodeIexempt from prior disclosure div.• Code2 Method buy, sell, mm/dd/yy Code2 CodeI buyer/sellerrent. (A-H) redemption) (if private

(Q-W)

or int.) Code3 ( A-H) (l-P) (l-P)

transaction)

630. Trust # 27 E Int/Div. 0 T

631. - Boston, MA Bunicipal Bds Sold

632. - Chilmark MA Municipal Bds Sold

633. - MA Bay Transit Municipal Bds Sold

634. - MA Commonwealth SR A Municipal Bds Sold

635. - MA Commonwealth SR B Municpal Bds Sold

636. - MA HEF A Municipal Bds Sold

637. - MA Port Auth Municipal Bds Sold

638. - MA Water Polltn Municipal Bds Sold

639. - Norwood MA Municipal Bds Sold

640. - Town of Foxborough MA Municipal Bds Sold

641. - University MA Bldg Municipal Bds Sold

642. - !shares MSCI Brazil Index Fd Buy


644. - UBS Bank USA deposit account Sold

645. - Federated US Treas Cash Rsv money mrkt Buy (mutual fd) (add'!)

646. Buy (add'!)

08/24/10 K B

08/24/IO K A

08/24/10 K B

08/24/10 K A

08/24/10 J

08/24/10 L c

08/24/10 K A

08/24/IO K A

08/24/10 L A

08/24/IO K B

08/24/10 M D

06/11/IO L

08/27/10 J

02/19/10 K

03/01/10 J

I. Income Gain Codes: A =$1.000 or less B =$1.001 - $2 .500 c =$2.501 • $5.000 D =$5,001 - $15,000 E =$15.001 - $50.000 (See Columns Bl and 04) F =$50.001 - $100.000 G =$100,001 - $1.000.000 Ill =$1.000,001 - $5.000.000 112 =More 1han $5.000.000

2_ Value Cod ...-s J =S 15.000 or less K =$15.001 • $50.000 L =S50.00I - SI00.000 M =SI00.001 - $250.000

(Sec Columns Cl and DJ) N =$250.001 - $500.000 0 =$500.001. $1.000.000 Pl =Sl.000.001 - $5,000,000 P2 =S5.000.001 - $25.000.000

PJ =$25.000.00 I • S50.000.000 P4=More1han S50.000.000

J. Value Mc1hod Codes Q =Appr.iisal R =CoSI (Real Es1a1c Only) S =Asscssmcn1 T =Cash Market

(See Column C2) U =Book Value V =Oth1..T W =Estimated

(I)

Dale of Rtport Name of Penon Reporting FINANCIAL DISCLOSURE REPORT

Page 42of64 SARIS, PA TII B. 05/13/2011

VII. INVESTMENTS and TRUSTS - inmme, value, transactions (Includes thou of spouse and dependent chi/dun; St!t! pp. 34-60 of filing instructions.)

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

A. B. C. D.


( including trust assets) reponing period of reponing period

(2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" afler each asset Amount Type ( e.g., Value Value Type ( e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) orint) (J-P) Code3 redemption) (J-P) (A-11) (if private

(Q-W) transaction)

647. Buy 03/03/10 J (add'I)

648. Buy 04/16/10 J (add'!)

649. Buy 05121110 J (add'!)

650. Buy 07/23/10 J (add'I)

651. Buy 08/27/10 N (add'!)

652. Buy 12/23/10 J (add'!)

653. Buy 12/30/10 J (add'!)

654. Sold 01105110 J (part)

655. Sold 01106110 J (part)

656. Sold 01/25/10 J (part)

657. Sold 02/25/10 J (part)

658. Sold 03117/10 K (part)

659. Sold 03125110 J (part)

660. Sold 04/26/10 J (part)

661. Sold 06110/10 J (part)

662. Sold 06116110 L (part)

663. Sold 07/06/10 J (part)

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2.500 c =$2.501 -$5,000 D =$5.001 -$15.000 E =$15.001 - $50.000

(See Columns Bl and D4) F =$50.001 • $100,000 G =SI00.001 - Sl.000.000 Ill =$1.000,001 - $5.000.000 112 =More than $5.000.000 2. Valu.: Codes J =S 15.000 or less K =S15.001 -$50.000 L =$50.001 -Sl00.000 M =SI00.001 - S250.000

(Sec Columns Cl and DJ) N =$250.001 -$500.000 0 =SS00.001 -Sl,000,000 Pl =Sl.000.001 -$5.000.000 P2 =SS.000,001 -$25.000.000

PJ =$25.000.00 I - $50.000.000 P4 =More than $50.000.000

3. Voluc Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =Book Value V =Othcr W =Estimated

(2) (3) (4)



VII. INVESTMENTS and TRUSTS -income, value, transactions

A.

(2) (2) (5)

Name of Person Reporting Dale of Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income, .. a1ue, transactions r1nc1udes those of spouse and dependm1 children; see PP. J4-6o of filing ins1ruc1ions.J

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


B. c. D. Income during Gross value at end Transactions during reponing period

(including !rust assets) reponing period of reponing period

(I) (I) (2) (I) (3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Dale Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

681. - [shares MSCI Brazil Index Fd Buy 06111/10 L

682. - lnl in MECM Investments LLC (closely held)

683. - UBS Bank USA deposit account Sold 08/27/10 J

684. - Federated US Treas Cash Rsv money mrkt Buy 02/19/10 K (mutual fd) (add'I)

685. Buy 03101110 J (add'!)

686. Buy 04/16/10 J (add'I)

687. Buy 05/21/10 J (add'I)

688. Buy 07/23/10 J (add'I)

689. Buy 08/27/10 N (add'I)

690. Buy 12/23/10 J (add'I)

691. Buy 12/30/10 J (add'!)

692. Sold 01/05/10 J (part)

693. Sold 03/17/10 K (part)

694. Sold 06/16/10 L (part)

695. Sold 07/12/10 J (part)

696. Sold 09/21/10 M (part)

697. Sold 09/22110 M (part)

I. Income Gain Codes: A =$1.000 or less B=Sl.001-$2.500 c =$2.501 - $5,000 D =$5.001 - $15,000 E =S15.00l -S50.000 (See Columns Bl and D4) f =$50.001 - SI 00.000 G =$100.001 -Sl.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J =S 15.000 or less K =Sl5.00I -S50.000 L =S50.00I - SI00.000 M =$100.001 - S250.000

(See Columns Cl and DJ) N =S250.00I - $500.000 0 =$500.001 - S 1.000.000 rl =Sl.000.001 - $5.000.000 P2 =$5.000.001 - $25.000.000 P3 =$25.000.001 - $50.000.000 N =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash M:ttkct

(Sec Column C2) U =Book Value V =Other W =Estimated


Page 45of64

Name or Penon Reporting

SARIS, PATii B.

Date or Report

05/13/2011

VII. INVESTMENTS and TRUSTS -i ncome, value, transactions r1 nc1udes 1hoseofspouseand dep enden1c hi/dun; see pp. 14-6ooffilingins1ruc 1ions.J


A.


( including trust assets)

B.

Income during

reponing period

C.

Gross value at end

of reponing period

D.

Transactions during reponing period

(I) (2) (I) (2) (I) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.,

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, (A·H) or int.) (J.P) Code3 redemption)

(Q-W)

698. - Vanguard Developed Mkts Index, mutual Buy fd (x)

699. - Vanguard Dividend Appre, mutual fd (x) Buy

700. - Vanguard Emerging Markets, mutual fd (x Buy

70 I. Chilton Gobal Natural Res Partners LP None Pl u

702. CX Partners Fd Limited (private eq) F Distribution M u Buy (add'I)

703. Buy (add'I)

704. Buy (add'I)

705. Hephaestion III LP None 0 u Buy (add'I)

706. Buy (add'I)

707. Buy (add'!)

708. Mondrian Intl Fixed Income Fd LP E Distribution P2 u Sold (part)

709. Sold (part)

710. Orion European Real Estate Fd III CV (priv E Distribution 0 u Buy eq) (add'I)

711. RBC (Royal Bank of Canada), bank B Interest P l T accounts

712. RBC Dominion Securities Inc G Interest P2 T

713. - Government of Canada Provincial Buy Treasury Bills (add'I)

714. Buy (add' I)

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

mmlddlyy Code2 Code I buyer/seller

(J.P) (A-H) (if private

transaction)

09/20/10 M

09/21110 M

09/20/IO M

02/IO/IO K

09/22/IO L

11124/10 L

05/27/10 N

09/07/10 N

11/02110 M

08/15/IO P l E

10/22/10 J A

07/26/10 M

07/30/10 M

08/03/10 M

I. Income Gain Ccxlcs: A =$1.000 or less ll =$1.001. $2.500 C =$2.501 - SS,000 D=S5.00I - $15.000 E =$15.001 • $50.000

(See Columns BI and D4) F =$50.00 I • $I 00,000 G =$100.001 - Sl.000.000 Ill =$1.000.001 • $5,000.000 112 =More than $5.000.000 2. Value Codes J =S 15.000 or less K =$15.001 • S50.000 L =$50.001 • SI00.000 M =SI00.001 - S250.000

(Sec Columns Cl and IJ)) N =$250.001 • $500.000 0 =$500.001 - Sl.000.000 PI =S 1.000.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

Pl =$25.000.001 - SS0.000.000 N =More than $50.000.000

J. Value Method Codes Q =Approis al K =Cost tRcal Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Hook Value V =Q1h1..T W =Estimated

(I) (5)


Page 46of64 05113/2011SARIS, PATTI B.

VII. INVESTMENTS and TRUSTS -income, value, transactions rrnc1uJes 1hos t!ofspouseanJ JepenJentchi/J ren;set!pp. 34-60offilingins trudions.J


A. B. c. D.



(I) (2) (I) (2) (2) (3) (4) Place "(X)" af\er each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

715. Redeemed (part)

716. - Canada Housing Trust Mtge Bds Redeemed (part)

717. Buy (add'I)

718. Buy (add'I)

719. - RBC Bankers' Acceptances Matured (part)

720. Buy (add'!)

721. Matured (part)

722. Buy (add'I)

723. Redeemed (part)

724. Matured

725. - Bank of Montreal GIC

726. - HSBC Bank GIC

727. - National Bank of Canada GIC

728. - Royal Bank of Canada GIC Buy (add'I)

729. - Province of Ontario Notes Buy (add'I)

730. - Province of Quebec Notes

731. - Province of British Columbia Notes (semi-annual package)

09/01/10 0

03/15/10 M

08/03/10 M

09/23/10 0

01/08/10 M

01/08/10 M

02/09/10 M

02/10/10 M

04/05/10 M

04/12110 J

07/26/10 M

04/07/10 M

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 c =$2.501 • $5,000 D =$5,001 • $15,000 E =S 15,00 I - S50.000

(Sec Columns BI and D4) F =$50.00 I - $I 00.000 G =$100.001 - SI.000.000 111 =Sl.000.001 - $5.000.000 112 =More than S5.000.000 2. V:ilu..: Codes J =S 15.000 odcss K = S15.00I - $50.000 L =S50.00I - SI00.000 M =SI00.001 • S250.000

(Sec Columns Cl and DJ) N =$250.001 • $500.000 0 =S500.00I • SI.000.000 Pl =SI .000.001 • $5.000.000 P2 =S5.000.00I • S25.000.000

P3 =$25.000.001 • $50.000.000 N =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assess men I T =Cash Market

(Sc.: Column C2) U =Book Value v =Oth1..1 W-=-Estima1cd


Page 47of64


SARIS, PATii B.

Date of Report

05/13/2011

VII. I NV EST MENT S and TRUSTS - income, value, transactions r1nc1ud those of spouse and dependent children: see PP. 14-60 of filing instructions.)


A. B. c. D.

Descrip1ion of AsselS Income during Gross value at end Transaciions during reponing period

(including lrusl asselS) reponing period of reponing period

(I) (2) (I) (2) (I)

Place "(X)" after each asset Amounl Type (e.g., Value Value Type(e.g., exempt from prior disclosure Code I div., rent, Code2 Method buy, sell,

I (A-H) or int.) (J-P) Code 3 redemplion)

(Q-W)

732. - Hydro Quebec notes (int only package)

733. - RBC Mortgage Corp GIC

734. - RBC Covered Bds (x)) Buy

735. Sold

736. - Alberta Cap Fin Auth Bonds (x) Buy

737. - Financement Quebec Bonds (x) Buy

738. Gold boullion None Pl T

•

739. US Treas TIPS Bds G Interest Pl T

740. MECM Investments LLC (closely held) G lnt./Div. P2 w

741. - Weston MA Municipal Bds Sold

742. - Westford MA Municipal Bds Sold

743. - Northampton MA Municipal Bds Sold

744. - MA Commonwealth SR A Municipal Bds Sold

745. - MA Port Auth Municipal Bds Sold

746. - MA Water Polltn Municipal Bds Sold

747. - MA Cons Ln Municipal Bds Sold

748. - Auburndale FL Municipal Bds

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

rnrnlddlyy Code2 Code I buyer/seller

(J-P) (A-H) (if private

1ransac1ion)

04/07/10 N

11/30/10 N A

08/03/IO M

11/30/IO N

03/01/10 M

04/01/IO M

06/15/10 M

06116110 K A

06/16/10 L A

06/16/10 K A

06116110 L A

I. Income Gain Codes: A =$1.000 or less B =$1,00 I - $2,500 c =$2.501 • $5,000 D =$5,001 • $15,000 E =S15.00l -S50.000 (See Columns Bl and 04) F =$50.001 - $I 00.000 G =SI00.001 - $1,000.000 111 =Sl.000.001 - $5.000.000 112 =More than $5.000.000

2. Volu.: Codes J =S 15.000 or less K =515,001 • $50.000 L =S50.00I -SI00.000 M =SI00.001 - 5250.000

(Sec Columns CI and 03) N =$250,001 - $500.000 0 =5500.001 . Sl.000.000 Pl =51.000.001·55,000,000 P2 =$5.000.001 - $25.000.000

P3 =$25.000.00 I - $50.000.000 P4 =More 1han 550.000.000

3. Value Mc1hod Codes Q =Appraisal R =CoSI (Real Estalc Only) S =Assessment T =Cash Market

(Sec Column C2) U = Book Value V =Other W =Estimated

B. D.

(2) (I)

Date or Report Name or Penon Reporting FINANCIAL DISCLOSURE REPORT

Page 48of64 05/13/2011SARJS, PATii B.

VII. INVESTMENTS and TRUSTS - income, vatue, transactions


A. c. Description of Assets Income during Gross value at end Transactions during reponing period


(I) (I) (2) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

e empt from prior disclosure Code I div., rent, Code2 Method buy, sell, mrn!dd/yy Code2 Code I buyer/seller (A-H) or int) (J-P) Code 3 redemption) (J-P) (A-H) (ifprivate

(Q-W) transaction)

749. - Berkeley Cty SC Municipal Bds

750. - Easley SC Municipal Bds

751. - IL St Municipal Bds

752. - Maine St Municipal Bds

753. - Met Trans Auth NY Municipal Bds

754. - Mississippi St Municipal Bds

755. - NY St Dorm Auth Municipal Bds Sold 09/02/10 M E

756. - Reg Trans Dist Co Municipal Bds

757. - Pimco Foreign Bd Fd mutual fd Sold 06/11110 0 F (part)

758. Sold 06/25/IO Pl G (part)

759. Sold 12/27/10 Pl G (part)

760. - US Treas TIPS Bds Sold 06/11/IO 0

761. - Vanguard lntlat Protected mutual fd Sold 03/09/10 Pl F (part)

762. Sold 03/23/10 Pl G (part)

763. Sold 06/11/10 0 F

764. - !shares M SC! Brazil Index Fd mutual fd

765. - SPDR Gold Trust mutual fd

I. Income Gain Codes: A =$1.000 or less B =$1,001 • $2.500 c =$2,501 • $5,000 D =$5,001 • $15.000 E =$15.001 - SS0.000

(Sec Columns Bl and D4) F =$50.001 • $100,000 G =SI00,001 • Sl.000.000 HI =Sl.000.001 • $5.000.000 112 =More than $5.000.000 2. V

c.

(I) (2) (I ) (2) (5)


SARIS, PATTI B.

Date of Report

05/13/2011


Page 49of64

VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children; see PP· J4-6o of filing instructions.)


A. B. Description of Assets Income during Gross value at end


D.


(2) (I) (3) (4)

Place "(X)" afler each asset Amount Type (e.g., Value Value Type (e.g.• Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller

(A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

766. - Int in MECM Associates II LLC (closely held)

767. - Anchorage AK Municipal Bds

768. - Chatham Cty GA Municipal Bds

769. - MA St College Bldg Auth Municipal Bds

770. - NJ St Trans Municipal Bds Sold (part)

771. Buy (add'!)

772. - NY St Municipal Bds Sold (part)

773. - RMA Tax-Free Fund Inc money mrkt Buy (mutual fd) (add'!)

774. Buy (add'!)

775. Sold (part)

776. Buy (add'!)

777. Buy (add'!)

778. Sold (part)

779. Buy (add'!)

780. Sold

781. - Chilton Global Natural Res Prtners LP

782. - Pimco Developing Local Mkt Fd (mutual Buy fund) (add'!)

03/19/10 M B

10/06/10 N

06/23/10 N B

01105110 J

02/02/10 J

02/26/10 M

03/02/10 M

04/05/10 M

05/04/10 N

06/16/10 M

06/21/10 M

03/09/10 P l

I. Income Gain Codes: A =$1,000 or less B =$1.001 • $2.500 c =$2.501 • $5.000 D =$5.001 • $15.000 E=Sl5.00l -S50.000

(See Columns Bl and D4) F =$50.00I - $I 00.000 G =SI 00.00 I - $1.000.000 111 =Sl.000.001 -$5.ooo.ooo 112 =More than $5.000.000 2. ValU

(S)

Name of Person Rtporting Date of Rtport FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -income. value, transactions

c.

(2) (3) (4)


Page 51 of 64 SARIS, PATii B. 05/13/2011

VII. INVESTMENTS and TRUSTS -income, value, transactions (/nduJes those of spouse and JepenJtnl chi/dun: see pp. 34-60 of filing ins/ructions.)


A. B. D .

s I nc ome during G ros s value at end Transactions during reporting period

(inc luding trust asset s ) repor period of reporting period

Descrip tion of As set

ting

(I) (I) (2) (I) (2) (5) Place "(X)" afler each asset Am ou nt Type (e.g.• Value V

Saris, - Judicial Watch · Saris, 3. 3. AO JO Rev. 112011 FINANCIAL DISCLOSURE REPORT FOR CALENDAR...

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