Steven J McAuliffe Financial Disclosure Report for 2009

8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2009

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ao s0 : FINANCIAL DISCLOSURE REPORT1 /2010 FOR CALENDAR YEAR 20091. Person Reporting (tast name, first, middle initial) 2. Court or Organization 3. Dale of ReportMCAULIFFE, STEVEN J. U.S. DISTRICT COURT - N,H. 05/12t2010

4~ T itle (Article IIl judges i~ldicate active or senior status; 5a. Report Type (check appropriate type)magistrate judges indicate lull- or part-time) [] Nomination, Date 0 [/0 t !2009U.S. DISTRICT JUDGE (ACTIVE) [] ~n~t~al ~ ~nn~a ~ 12131i20095b, [] Amended Repo~

7. Chambers or Office Address 8. On the basis of the information contained in this Report and anymodifications pertaining lhereto, it is, in my opinion, in complianceWAPLKEN B. RUDMAN COURTHOUSE with applicable laws and rtgulafions.55 PLEASANT STREET, ROOM 416CONCORD, N.H. 03301 Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this.form must be.followed. Complete all parts,checkir tg the NONE box for each part where you have no reportable in formation . S i$ ,t~ on last page.

I . P O S I T I O N S . n e p o , , i .g i . a i ~ i , ~ . ,. ~ o . ~ y ; ~ e . p p . 9 - 1 3 ~l~ f!ling instr,,etions.)~ NONE (No reportable positions.)

POSIT ION N A M E OF ORGA N IZA T [ON /E N T IT Y1. Fellow New Hampshire Bar Fotmdation

2. Director Challenger Center for Space Science Education3. Trustee Trust #1

4. Shareholder (50 percent) Pleasant Lake Air, Inc.. LI.C5. Partner Pinehers Investment Group (Neighborhood Inv estment Club}

I I . A G R E E M E N T S . ~ a ~ p o , , i , , g individuM ,,.ly; seepp. 1~-.16 offtling ins,ru,rions.) ~.__~ , . . ~ ~ 7 .~NONE ~Vo rwortable agreements.) ,. _.~; ..... r: ? " : iD A T E PARTIES AND TERMS " ~ ~ 2

2, "~ ~i ;

3.


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I ~ IN A 1N C I A L D I SCLO SU RE RE PO RTPage 2 of 15

I ll . N ON-INVE STMENT IN COME. meporti,,~A. Filers Non-Investment Income

N O N E (2~o reportable non-investment income.)J~ATE SOURCE AND TYPE INCOME(yours, not spouses)

1.2.

3.

4.

B. Spouses rson-Investment Income - g.vou were married d#~ring any portion of the reporting ycar c,,,nplete rids .,ection.~Dollar amount nol required except for honoraria.)~ NONE ~Vo reportable non-investment income.)

D A T E SOURCE AND TYPE1.2.

3

4.

(tnch~des those to aJmu.~e and dependent chffaren; see pl~ 25.27N O N E ( N o r ~ p o r t a b le r e i mb u r s e me n t s .)

SOURCE D A T E S LOCATI ON PURPOSE IIEMS PAID ()R PROVIDED1,

3.4.5.


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N ame of Pers on R eport i ng Date hi" Report~INA_NCIAL DISCLOSURE REPORTPage 3 of 15

V. GIFTS. a~, ~ho~ , to ,~o,,~ ,~ ~ ., ~,~,; ,~ ~.N O N E (No reportable g~s.)

SOURCE DESCRIPTION VAI..U EI.2.3.4.5.

V I . L I A B I L I T I E S . a , ~ t , , u ,, , ~ , o ,~ 4 ~ p . .. .. .. . a ~ p , ,, ,t ~ , ,, ~ , ~ , ~ , , ; . ~ ~ .N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION V A L U E C O DE1.2.3.4.5.


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F~NANCIAL DISCLOSURE REPORT Name of Person Reporting t I ) a t c o 1 " R t l )n r IPage 4 of 15 .

~ NONE 1~)~ reportable income, assets, or transactions.).......................................... ~ ................ ~. c. ~

D~cription of Assets 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 c p o m n ~ p e r i o d(including trust as~ts) ~ reposing period of reposing periodP l a c e " ( X ) " a f t e r e a c h a s s e t ]Amounl T~ e (e.g.) . Value V a ~ u e T y p e ( e g . ~ Date ~ Value Gain I d e n t i t yexempt from prior discI~ure Code I , d i v . , r e n t , C o d e 2 M e t h o d buy, sell, ~ m m & t d i y y ~ C o d e 2 : . C o d e I. (A-H) ], print.) ( J - P ) Co6e3 r e d e m p t i o n ) [ ] (.MQ (A-ll)

1. NOW Aect Me~imack CD. Savings Ba~ A Interest J T2. IRA A merican Funds: Inv Co of America B Dividend L T, 3. I RA A m eri can Fu nd s: Wash M ut . I nv F un d A Dividend J T4. Ex xon Mobil Corp. A Dividend .l T

[ 5 . UBS Retirement Money Fund A Interest J T6. IRA Franklin Templelon For. Fund 1 3 Dividend L T7. Pinchers Investment Group l)mshp Share A Dividend J T(See Part VIII)8. -MSFT Sotd 04:20/09 .1 A , v t k t9. -Dentsply Int. Inc.

1 0 . -Air Products & Chem.

1 1 . -Oceaneering lntnl Inc. Sold 09/15i09 ,I 1 3 Mkt1 2 . -Whiting Petroleum C o r p .

1 3 . -Diageo (DEO)1 4 . -Tata Mtrs. (TTM) Sold 01/19/09! J A Mkt1 5 . -BtlP Billilon Ltd ADR1 6 . -Gilead Sciences Inc.

1 7 , -Quest Diagnostics


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F~NANCIAL DISCLOSURE REPORT] N f | e r s o ,, R e p o r t ~ o gage 5 of 15 MCAULIFFE, STEVEN J . 0.., I .... ~1 )

VII. INVE STMENTS and TRUSTS -i ..... ~,~ N O N E ~ro reportable income, assets, or transactions.)............................ ~ .............. ..... ft." ~ D .lneome during Gross value at end ~ Transactions during repoaing periode s c r i p t i o n o f A s s e t s .n c J u d i n g ~ u s t ~ s s e ~ s ) ~ reporting peri~ o f r e p o r t i n g

P l a c e " ( X ) " a f t e r e a c h a s s e ~ ~ A m o u n t ~ T y ~ ( e ~ .~: (A-If) ] o r i n t o ~ ( J - P ) [ Code 3 ~t r e d e m p t i o n ) ( , I - P ) (A-H) ~ 0 f p r i v a t c

1 8 . -Sunlech Power Hldgs.1 9 . -Unilever N V So!d 03/28/09 .I A Mkt

2 0 . -Zebra Tectmologics Sold 04/21;09 J A M k t2 l. -CDN N ail Rv,y Co.

22. -CIT Group New Sold 04/21/0923. -Comp. De Saneo Mento Basico E stado Sold 0,l/21/09 .I ADeSao Pauloads24. -El Paso Corp.

25 -Harleysville Natl Co. PA Sold 0 4 1 2 1 , 0 9 J Mkt26. -Vestas Wind Syst. Sold 04/21t09 J27. -3M Co.

2 8 . -Apple (AAPL) E uy 11/13/09 J M k t29 . -Ford Motor Co. 1 3 l t y 05/I 5/09 J Mk t3 0 . -FLIR Syslcms B uy I !.1309 J M k t3 1 . -FSUMF B uy 05/15/09 J I v l k t3 2 . -Terrcx Corp. B uy 0 1 , : 0 9 / 0 9 J3 3 . CVS Caremark Corp. A Dividend J T

34 . Praxair, Inc. A Dividend K T B uy 07/31109 J Mkt


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FINANCIAL Ia m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tDISCLOSURE REPORT[ M CA U L1FFE , ST EVE N J ,

Page 6 of 15 o 5 / ~ 2 , 2 0 1 0

VII. IN VE STMENT S and TRUSTS -- . . . . . . . . / . ~ , ,r . . s . ~ , ~ o . ~ ~ . a , , , ~ e . ., o s e q . v - , , ~ " . . . . ~ , ~ , , ~ , , , , . ~ , u , ~ , , : .,.,.~ ~,p..~-~o , ~ / 7 " ~ , , . ~ i , , . , " , , , , , ~ , , , , . , . ~~ N O N E ~ o reportable income, assets, or transactions.)

........... ~ L-- ............! ........ ~ . " c, O .D e s c r i p t i o n o f A ~ e t s ] I n c o m e d n r i n g Gross value at end Transactions during rcpoaing period0ncluding ~ust assets) [ _ r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

~ (I) (2) (t) (2) (~ ) (2) (3) ~a ) (5 )P l a c e " ( x ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., Value Value Type e.g. D a t e Vclue Gain I d e n m y o f" C o d e I d i v . , r e n t . C o d e 2 M et h o d buy, sell, ~m~dd;yy Code" C o d e I ~ b u y e r ! s e l l e re x e m p t f r o m p r i o r d i s c lo s u r e . ~~A H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ~ (J-P) [ (A-H ) (ifprivam(Q-~ i [ , t r a n s a c t i o n )................................ ~ ........... ~ ....... . ...............3 5 . IRA I Sh ares Russell Fund A Dividend J T3 6 . IRA Midcap SPDR TR A Dividend K T3 7 . Fed. Prime MM Fund A Dividend J T3 8 . Merrimack Cry. Sav. Bk. N OW A cct (2) B Interest M T

3 9 . Cemex S A A Dividend Sold 05;11/09 J A Mkt

40. Diageo (DE O) None .Sold 04/20/09 J B Mkt4I . Thermo Fisher Sci. (TMO) Nonc J T4 2 . Enterprise Prods. Ptnrs. A Dividend K T B uy 07.31/09 K v l k t4 3 . MFS Intnl Divers. FD A Dividend Sold 07/23i09 .I A Mkt44. Chesapeake Energy Corp. A Dividend J T45. Kinder Morgan Energy LP A Dividend J T46 . Penn VA Resource Pt. LP A Dividend Sold 12/15/09 J A Mkt47 . Cisco Systems, Inc. A Dividend J T48. Myriad Pharmaceuticals, Inc. (Spin Off of A Dividend d T Sold 06/29/09 J A MklMyriad Genetics) (part)49. Williams Cos., Inc, A Dividend Sold I t;30/09 J A Mkt5 0 . lshares TR Russell 2000 Index Fund A Dividend J T

5 1 . lshares TR Russell Midcap V al. Index Fund A Dividend J T


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FINANCIAL DISCLOSURE REPORTPage 7 of 15

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, transact ion s (htcl ,ulg~ thoae o f spouse an d dep emle, , t chihhe, , : seel ,p. 34-60NONE (N~ repor table incom e, asse t s , or t ransac t ions . )

A. C. D ,Descriptioo dragnets Income during G r o s s ~ a [ u e a t e n d T r a t ~ s a c t io n s d u r i n g r e p o r t i n g 0 e r io d(including ~ust assets) r ep o r t i n g p er i o d o f r e p o r t i n g p er i o d : (3) ~a)P l a c e " ( X ) " a f t e r e a c h a s s e t ; A m o m n t [ T y p e ( e . g ,. Value Value T ? D e ( e . g . , D a t e V a k m G a i n I d c n m v

exempt frompdor disclosure [ Code I [ d i v , . r e n t , C o d e 2 M e t h o d b u y . s e l l , mm/dd/yy Code 2 Code i( A - H ) [ or int) { . . l - P ) C o d e 3 r e d e m pt io n ) { J - I ) I A - H ) { d p r i ~ a t c( Q - W ) { ,. ~ t r a n s a c f i m ~ )

~ - ~ 2 . N orfolk Soulh. Co~. A Dividend I T5 3 . Nicholas-Applegate Intnl & Prom. A Dividend J T5 4 . Blackrock Real Asset Tr A D ividend Sold 07/23/09 ] A M kt5 5 , IRA lshares Russell Mid-cap A D ividend .K T5 6 . IRA Saytcm Comp. Svcs. A Dividend .I T5 7 . Mindray Medical Intnl Ltd. A D ividend B uy 07/31/09

5 8 . Mindray bledical Intnl Lut A D ividend Sold 1/30/09 J A M k t5 9 . Royal Bank of Canada A D ividend Sold 1 / 3 0 ; ( 1 9 .1 A v ~ k l60 . lsharesTmst Rttssell Midcap Growth Index A Dividend J TFund6 1 , McDolmlds Corp. A Dividend K T B ny 0!/14/09 K M k t

6 2 . McDonalds Carp. A Dividend K T Sold 04/20109 .I A , M k t(part)63 . Apple, lnc. A Dividend .1 T6 4 . .Iohnson & Johnson. Inc. A Dividend K T B uy 01/14/09 K Mkt6 5 . Deore & Co. A Dividend J T6 6 . Praxair (M) A Dividend .1 T6 7 . Ex press Scripts, Inc. A Dividend .I T

6 8 . CR Bard, Inc. A Dividend J T


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FINANCIAL DISCLOSURE REPORT Name of Person ReportingPage 8 of !5 M C A t ~ L W V E , s r ~ v E N

VII. INVESTMENTS and TRUSTS -N O N E ( ~ % repor table incom e, asse t s , or t ransac t ions , )

A. B, C D.D e s c r i p t i o n o f A s s e ~ s [ Income during [ G r o s s v ~ l ~ e a t e n d Transactions duri~g repoai~g period(including ~st assets) i reposing period ~ o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h n s s e t Amount[ T~e(e.g., ] Value Vzlue T~e(e.g., D ate ~ V alue Gzin ~ ldcnti~,ofexempt ~om p6or disclosure :: Code I [ d iv . , r e n t C o d e 2 M e t h o d buy, sell, mm/dd!yy Code 2 C o d e ~ ~ N ~ y c r ~ s e l l e r[i (A-H) [ o r i n t . ) ( J - P j C o d e 3 r e d e m pt i o n ) ; ( J - P ) ( A ; H ) ~ i e p r i v a ~ c

6 9 . Colgate-Palmolive Co. A Dividend ] T7 0 , General glectric A Dividend Sold 12/I 5/09 J A Mkt7 1 . IBM Corp. A Dividetld K T B uy 0 , 1 1 2 0 / 0 9 K , M k t7 2 . Powershares QQQ Trust U~it A Divideud Sold 2/t50o j A . , , i ~ , ; t7 3 . Northern T rust Prime Obligation Fund 9/1 A Dividend J T(See Part VIII)7 4 . Simon PPTY Group, Inc. A Dividend l T B uy 06:29/097 5 . Bank of N Y Mellon Corp. A Dividend B uy 04/20/09 K Mkt7 6 . Bartk of N Y Mellon Corp. A Dividend Sold 1 t . . 3 0 / ( 1 9 K A Mkt7 7 . tntel Corp. A Dividend K T B uy 04/20/09 K : v l k ~7 8 . AT&T; Inc. A Dividend B uy 0t/14109 L M l < t7 9 , AT&T, Inc, A Dividend Sold 07/31/09 L B M k t8 0 . Beclon Dickinson B Dividend I. T 1 3 u y 01/14~09 L8 1 . Domimon Resources, Inc. A Dividend B uy 01/14:09 K M k t8 2 , Dominion Resources, Inc. A Dividend Sold 04/20/09 K : A Mkt8 3 . ~ b . ,1 C o , B Dividend L T |]uy 01/14/09 K , M k l8 4 . STH.N Cmnty B&T NC US A Interest L T B uy 01/14/09 L M k t8 5 . Fla. St, B rd E d. Pub. E d. Cap. .. A Interest K T B uy 01/14/09 K Mkt

2. Vahm Codes J


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FINANCIAL DISCLOSURE REPORT n ...... I " P e r s o n R e p o r t i n g I ) a t e o ~ " l , t e p n , tPage 9 of 1 5 r ,~ C A U L W F r , s r E v ~ - .) . 0s,"~.~,20 ~0VII. INVESTMENTS and TRUSTS - J . . . .. . . .. . . . ~ . ~ , ~ . . . .. . , ~ , , . ~ . a , a , a ~ , ~ h . . . . . . . ~ . . . . . . . a a , , ~ , , ~ . . . . . . ~ , i ~ d ~ , . ,: . , . , , p , . ~ - ~ O , ,y y z ~ i , , ~ ~, , , ,~ .~,

NONE ~Vo reportable income, assets, or trar~sactions.)

D~cripfion of Assets ~ I n c o m e d u r i l l g G r o s s v a l u e a t e t ~ d T r a n s a c t i o n ~ d : ~ 6 n g r e p o n ~ g p e r i o d(including ~st asse~g) ~ r e p o r t in g p er i o d o f r e p o r t i n g p er i o dP l a c e " ( X ) " a f t e r e a c h a s s e t ~ Amount Type (e.g., [ Va ue [ Vat e Type (e g, Da c V~ uc G ~ i ~ k ! ~ : n l~ y o fe x e m p t f r o m p r i o r d i s c ] o s u r e :: C~e 1 [ div.,rent, ] Code2 [ M e th o d buy sell m~:ddYyv C~dc2 C o d e I b u y c t : : s c l l e r[ (A-H) o r i n t . ) ~ ( J - P ) C o d e 3 r e d e m pt io n ) ~ " ~ (.l-P) ( A - I I ~ ( i f p r , x ; ~ t e

8 6 . Toyota Fin. Sve. Bk N V US A Interest L 3" B uy 01!14/09 L M k8 7 . Huntington NAR B k. OH US B Dividend L T B uy88. IShares IBoxx Invt Gra, DE Corp. Bond A Dividend K T B uy 0 1 / 1 4 . , 0 9 K M k ~Fund8 9 , Tenn. St. Set. A A Interest K T B uy 01!16/09 K Mkt9 0 . Fairfax Cry. VA Pub. Ser. A A In,crest K T B uy 01/14/09 K9 1 . Autotiv, Inc. None K T B uy 11/30/09 K M k t

9 2. Sm uc ker J M C o. N e w None K I B uy I 1 ! 3 0 ! 0 9 K Mkt9 3 . First Colebrook B ank A Dividend J T B uy 0 2 1 1 & 0 9 J ~ , . . l k t9 4 . AFLAC, h~c. No~e J T B uy 12/15/09 J M k f9 5 . Danaher Corp. None .1 T B uy 1 2 1 1 5 . 0 9 .t N , l k :96 . Goldman Sachs Group, Inc. None ,t T B uy 1 2 / I 5 ! 0 9 J M kt97 . Google, Tnc. None J T B uy 12!15/09 J M k t98. J.P. Morgan Chase Co. None .I T 1 3 u v ~ V I ~ : 09 9 . Oracle Corp. N o l ~ e J T B uy 12/!5i09 J N I k t1 0 0 . Starbucks Corp. None J T B uy 12/15/09 J Mkt10I. S.gsco Corp. None J T

1 0 2 . BH P Bill/ ton Ltd. None J T B ty 12/15..,09 J


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FINANCIAL DISCLOSURE REPORT N a m e o r P e r s o n R e p o r t i n gPage 10 of 15 MCAUI.,IFFE, STEVENJ. 05/12/2010VII . IN VE STMEN TS and TRUSTS - ~ .... ~ , , . ~ , , ~ , , . . . . .. . . , , . ~ . . , , ~ , . ~ ~ , , ~ -~

~ N O N E (No repo r tab le income , as se t s , o r t ransac t ions . )D e s c r i p t i o n o f A s s e ts [ I n c o m e d u r in g Gross value at end Trans~ctmns during repn~ng permd~ [ r e p o r t i n g p e r i o d o f r e p o r t in g p e r i o dincluding ~st .... ts ) . _ -(~ ...... ~J .... ( 2 ) ( ~ ) ~2~ (.~ {4~ ( 5 )Place "(X)" aff~ each asset A m o u n t T y p e ( e . g _ , Value T y p e ( e . g ., Date Value Gai:~ I d e n t i t y

e x e m p t f r o m p r i o r d i sc l o s u r e ~ C~e I div.,rent, buy, sell, mm;ddiy- Code 2 Code I u u y e r ~ s c l t e r( A - H ) C o d e 3 r e d e m ~u o n J( Q - W ) , r a m ; a c ~ o n

1 0 3 , IShare MSCI EAFE Index Fund A Interest J T B uy 0 7 ~ 2 8 , : 0 9 J Mkt1 0 4 . IShare Trust MSCI Emerging Mkts A Interest J T B uy 0 7 . " 2 8 / 0 9 J M kt1 0 5 . Bank of A m. Corp. [C] A Dividend Sold I 1 / 2 4 / 0 9 J A Mkt1 0 6 . Lowc s Cos., Inc. [C] A Dividend Sold 11:24/09 J A Mkt107. BP PLC ADR [C] A Dividend ,1 T1 0 8 . Northern Trust Prime Obligation Fund 9/I A Dividend J T ~[C] (See Parl VIII)1 0 9 . Kinder Morgan Energy Pmrs..LP [C] A Dividend Sold 1 1 1 2 4 . , " 0 9 K 1 3 Mkt1 1 0 . CVS Caremark Corp. [C] A Dividend J YI 1 1 . Cemex S.A. [C] A Dividend Sold 11/24/09 J A Mkt1 t 2 . NFJ Dvd Int & PR FD [C] A Dividend Sold 12/12/09 K 1 3 M kt1 1 3 . Enterprise Prod Pt [C] A Dividend Sold I I / 2 . . . " * L ) K B N I k t1 1 4 . MFS lntnl Div FD [C] A Dividend Sold ( v . 2 , 1 . 0 9 ,l A M k t1 1 5 . Chesapeake Energy [C] A Dividend .I T1 1 6 . Citizens Commo [C] Name Change: Frontier A Dividend Sold I 1 ~ 2 4 , 0 9 K B M k tComm. Corp.1 1 7 . Penn VA Res. Ptnrs. [C] A Dividend SoM ! 1 / 2 4 K ) 9 J A M k t1t8. Alliance Resource Ptnrs [C] A Dividend Sold 1 1 1 2 4 - " 0 9 K f3 M k t1 1 9 . Btackrock Real Asset [C] A Dividend


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I~INANCIAL DISCLOSURE REPORT N . , - e o f ~ . . . .. R e p n r t i n gPage 1 1 of 15[ M C A U L I F F E , S T E V E N J .

VII. INV ESTME N TS and TRUSTS - i, ........ z . . , t ...... tions (Inch,des those of sp ..... ~ml dependent children; see pp 34-60 o]filing it str, ccions.)N O N E (No repor tab le incom e , as se t s , o r t ransac t ions . )

D e s c r i p t io n o f A s s e ts I n c o m e d u r in g { G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o m n g p e r i o d(including ~st assets) r e p o r t i n g p e r i o d [ o f r e p o r t in g p c " o d- P ] a c e " ( X ) " a f t e r e a c h a s s e t ~ A m o u n t T~e (e.% ~ Value ~ Value Type(e g. :, Date ~ Value Gain ~ ldent w ofe x e m p t f r o m p r i o r d i s c l o s t l m ~ C o d e I d i v . . r e n l . C o d e 2 [ M e t h o d b u y . s e l ! , }mmidd~vv Code 2 C o d e I~

" " " : (QW) ......... ~ (J-p) ( A - i t ) ~ ( i f p r i v a t e( A - H ) [ o r i n t . ) ( J - P ) : C o d e 3 r e d c m p t i o u ~

buyer/seller

1 2 0 . Blackrock Cap k lnc Str [ C j A Dividend Sold 1 1 1 2 4 1 0 9 ,I A M It1 2 1 . Eaton Vance Tax Mng B uywritc Inc. [C] A Dividend. Sold 07127/09 K B Mkt1 2 2 . Eaton Stance Tax Mng [C] A Dividend Sold 07,;27/09 K 1 3 Mkt1 2 3 . Nicholas-Applegatc lnml. & Prem. Str. [C] A Dividend J T Sold 11/24/09 K B M k t(pan)1 2 4 . Johnson & Johnson [C] A Dividend J T1 2 5 , Deere & Co. [C] A Dividend K T1 2 6 . Aflac, lnc. [C] A Dividend K T1 2 7 . General Electric [C] A Dividend Sold 1 1 1 2 4 1 0 9 J A M k t1 2 8 . Apple, Inc. [C] A Dividend J "r1 2 9 . IBM Corp. [ A Dividend J T1 3 0 . Merrill Lynch D epository, Sh. Rap. [C] A Dividend Soid 1 1 / 2 4 1 0 9 J A Mkt1 3 1 . Stm~.dard & Poors 50) Depositor Receipt A Dividced Sold 1 1 ! 2 4 / 0 9 .; A hlkI

1 3 2 . Powcrsharcs QQ Q Trust Un[I [C] A Dividend Sold I 1 ! 2 4 / 0 9 J A M k t1 3 3 . McDonalds Corp. [C] A Di,,idend J T1 3 4 . Abbott Labs [C] None J T B uy 11!24/09 J Mkt1 3 5 . Chevron Corp. [C] None J T B uy 1 1 ! 2 , I ! 0 9 J Mkt1 3 6 , Colgate-Palmolive Co. [C] None J "g ] ~ u y 11/24/09 J Mkt


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FINANCIAL DISCLOSURE REPORT N ...... f P e r s o n R e p o r t i n g D a t e a f R e p o r tP a ge 12 o f 15 M C A U L I F F E , ST E V E N J . 05/I2/20t0 ,

VII. I N -V E S T M E N T S a n d T R U S T S --i.co.,., ,,.t,,e, ~ ..... ti,,,,, (lttchtll~sthose of .~p ...... a dependent ~.hildren; , e c p p . 3 4 - 6 0 ,f./ili~.g[] NONE (No reportable income, assets, or transactions.)

A. B . C. D .D e s c r i p t io n o f A s s e ts I n c o m e 6 u r i n g Gross value a! end T r a n s a c t io n s d u r i n g r e p o r d n . , p e r m dincluding trust assets) r e p o r l m g p e r i o d o f r e p o r t i n g p e r i o d(]) (2 ) (t) ] (2) (t) ~ (2) (3) t4)P l a c e " ( X ) " a f t e r e a c h a ~ s e t [Amount , Type (e.g., Value Value T y p e ( e . g , . D a t e Value Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s t t r e ~ C o d e 1 "d i v . , r e n t , C o d e 2 M e t ho d buy. sell, m m ~ d d .. ". ,, ~ ( _ , o de 2 Code lI ( A - H ) o r i n : . ) ( J - P ) Code 3 : . b u y e r ! s e l l e rl r e d e m p t i o n ) i ( J - P ) (A-Ill ( i f p r i v a t e(QW) ............. _~ __ i ................................ "..- [ t r a n s a c t i o n )

I37 . Danahcr Corp. [C] None J T B uy 1 1 / 2 , 1 / 0 9 .1 M k~13& D upont E.I. Dem. Co. [C] A Dividend J T B uy 05/12/09 J Mkt1 3 9 , Ex press Scripts Inc. [C] None J T B uy I 1 / 2 4 i 0 9 J Mk!1 4 0 . Goldman Sachs GP inc. [C] None J T B uy I I , . 2 4 ~ 0 9 J Mkt1 4 1 . J.P. Morgan Chase Co. [C] None J T B uy 1 1 / 2 4 , : 0 9 J Mkt1 4 2 . Nike.. Inc. [C] None J T B u y . 1 1 / 2 . ~ , i ~ . " o .i Mkt1 4 3 . Oracle Corp. [C] None J T B uy I 1 / 2 , U 0 9 J1 4 4 . Procter & Gamble Co. [C] None J T B uy 1 I;24/09 J Mki1 4 5 . Spectra Energy Corp. [C] None J T B t y I t . , 2 4 / 0 9 J Mkt1 4 6 . Starbucks Corp. [C] None J T B uy 1 1 / 2 4 , 0 9 . J M k t1 4 7 . Sysco Corp. [C] None J T B uy 11[24/09 J Mkt1 4 8 . United Health Group Inc. IC] None J T B uy I 1 / 2 4 ~ 0 9 ,I1 4 9 . United Technologies Corp. [C] None .I T B uy 11/24/09 J M k t1 5 0 . Wells Fargo & Co. [C] None .I T B uy 11/24/09 J M k t1 5 1 . Buffalo Small Cap Fd [C] A Interest J T B uy 05/06 :(9 J i V l k t

1 5 2 . B} IP BiIliton Ltd. [C] None J T B uy 1 1 2 4 i 0 9 j Mkt1 5 3 . Tra.nsoceatl Ltd. [C] None J T B uy 1 1 ! 2 4 / 0 9 J Mkt

2. Value Ct~de~ J -$15.000 t,r less K ~$15,001 - ~5~,000 L =$50,001 - $100.000 M =$100.00i - $250.000


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I~INA1NCIAL DISCLOS URE REPORT N .... f Pe .... R e p o r t i n g D a t e o f R e p o r lPage 13 of 15 [ , ~ IC A L L . W V E , S T ~ V ~ N j . 0 ~ 2 / z o ~ 0VII. INVESTM ENTS and TRUSTS - i ......... t,,,, tramactions (Incl,ul,~ tlwse t(W ......... I d e p e , , d . . . . . . h l h l r c n ; . , ~ e p p . 3 4 - 6 0 , t : / ~ l i , , . ~ , i ,, s t , , cti,,, ,

N O N E ~ r~ortable income, assets, or transactions.)A. ~ B. c. " " o.D ~ s c r i p t io n o f A s s e ~ i I n c o m e d u r i n g Gross value af end T r a n s a c t i o n s d u r i n g r e p o ~ i n .g p e r i o d(i~cluding ~st asse~s) reposing period o f r e p o r t i n g - p e r i o d

P l a c e " ( X ) " a f l e ~ e a c h a s s e t ~ A m o u n t T y p e ( e . g ., Value Value T ) ~ e ( e . g . , D a t e V ~ l u e G a i n I d e n t i t ye x e m p t f r o m p r i o r d i s c l o s u r e ~ C o d e I d i v . , r e n t , C o d e 2 M e t h o d buy, sell, ~ m m l d d i v v- ~ C o d e 2 C o d e I b u y i s e I l e t .( A - H ) o r i n ~ . ) ( . I - P )Code(Q_W)3

r e d e m p t o n )~ ~ (J-P)

( A - H ) :,~ ~ f f p r i v a l e............................... : ........ ~ ...................... ~.~ ....... : . . . . . . . . ~ . _ [ . . . . . . t r a n s a c t i o n )154. IShares T~sl MSCI EA FE Index Fund [C] A in[crest J T B uy 07~2g/09 J M k {155. IShares T~st MSC1 E merging Mkts [C] A Interest J T B uy 07~2g/09 J Mkt156. ~iA Tax -Free Fund [K] A Interest J T

~157. UBS Pace MM lnv Fund Class P [K] A Interest J T1 5 8 . Am Funds Growth Fund of Am Class F [K] A Dividend .~ T1 5 9 . John H ancock Classic Val Fund Class A [K] A Dividend J T1 6 0 . Oppenheimer Main St. Small Cap Fd A [K ] A Dividend J T1 6 1 . P-.S Value Fund Class A [K] A Dividend J T1 6 2 . Thornburg lnttd Valne Fund Class A [K] A Dividend J T1 6 3 . DW S Core Fixed Income Ftmd Class A [KJ A Dividend .1 T1 6 4 . FT Tcmplelon Global Bond ArK ] A Dividend J T1 6 5 . Managers Bond Fund [K] A Dividend j T


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I~INANCIAL Name of Porson Rep~rfingISCLOSURE REPORT[ N[CAULIFFE, STEVEN J. [

05:12/2010a ge 14 o f 15VIIL ADDITIONAL INFOR1VIATION OR EXPLANATIONS.a.a~.,,~

PART I. POSITIONS.Pleasant Lake Air, Inc., L LC, is a corporatiun formed to own a Cessna 182 Skylane single engine private airplane. I own a one-t~alt" imcrcst in the corporation(and thtts the airplane).PART VI. LIABILITIES.I own a summer co ttage with a former law partner, Edward E . Shumaker. III, as tenants in common, which prol,.erty is mortgaged m par Tlan~ li~bility is n(~disclosed since it is secured by real property, v,,hich s

PAR[" VII. INV ESTMEN TS AND TRUSTS.Trust #1 assets are listed in Part VII, identified by thc dcsiguation [cl."

PART VII. IN~/ESTMENTS AND TRUSTS.Line 7. Piachers Investment Group Ptnshp Share (specific holdings noted by " - " below) (invcstmclat club - t%grc__,~:tcd [~er suggcstio*a ,.~" Ct~w:znitlcc onFinancial Disclosure 6.,"11/08).

PART VII . INVE STMENTS AN D TRUSTS.Line 73. Column A. Additional description of this asset is: [Northern Trt*st Prime Obligation Fund. 5/I Excba*wcd for Federated Prime Obliga~.ion Fd (Mo~cyMarket Fund)] ~PART VII. INVESTMENTS AN[) TRUSTS.Line 108. Cohlmn A. Additional description of this asset is: [Northern Trusl Prime Obligation Fund 9/I Exchanged [or :ed. )rilnc. ()bliigalicm MM Ftlnd [C]!


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N a m e o f P e r s o n R e p o r t in g i~ I N A N C I A L p a g e I 5 o f ] 5 D I S C L O S U R E R E P O R T MCAULIFFE, STEVEN J"r D~IX. CERTIFICATION.

] certify that all information given above (includiug information pertaining to my spouse and minor or dependcot children, if any) isaccurate, true, and complete to the best of m y know ledge and belief, and that any information not reported was w ithheld becansc itprovisions permitting non-disclosure. "I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported arecomp|iance with the provisions of 5 U.S.C. app. 501 et. seq.; 5 U.S.C. 7 353, and Judicial Conference regolations.

N OT E : A N ) 5 IN D I V I D UA L WH O K N OV I N GL Y A N D W I L F UL L Y TO CIV1L,AN D CRI!vlINAL SA NCT IONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Comm ittee on Financial D isclosureAd ministrative Office of the Un ited States Cour:sSufle 2-.301One Columbus Circle, N.E .W ashington, D.C, 20544

Steven J McAuliffe Financial Disclosure Report for 2009

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Transcript of Steven J McAuliffe Financial Disclosure Report for 2009