Professional Documents
Culture Documents
Report Required b), the Ethics in Government Act of 1978 (5 U.S.C. app. ,~,~ 101-111)
I. Person Reporting (last name, first, middle initial) Sharpe, Gary L. 4. Title (Article III judge~ indicate active or senior status; magistrate judges indicate full- or part-time) District Court Judge, Active
Date
[] Annual [] Final
5b. [] Amended Report 7. Chambers 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 with applicable laws and regulations.
Reviewing Officer
Date
IMPORTANT NOTES: The instructions accompanying this form must be followe~L Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
I. P 0 S I T I 0 N S. tReporan~ inaiviaual onty; se, pp. 9-13 of fillng instructions.) [-~ NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
I1. AGREEMENTS. ~S~po~ing ina~iauut on~y; see pp. 14-16 of filing instructions.)
~
Shame, Gary L.
III. NON-INVESTMENT INCOME. CXepo,~ng ~ndi,idu~l a,,d sp ....: see p~ 17-~ 4 of ~li, g ins,,uaion~ ~
A. Fliers Non-lnvestment Income
~] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
2. 3. 4.
B. Spouses Non-Investment Income - if you were married during any portion of the reportlng year, complete this section.
(Dollar amount not required except for honoraria.)
I. 2010
2.
3. 4.
DATES
LOCATION
PURPOSE
V. GIFTS. anclude~,hose,o ~po~o ,,nd dependent a, ild, en; ~ee pp. 2s-3~ o/filing in~,r,,,ion~.~
NONE (No reportable gifts.) SOURCE
I. 2. 3.
4.
DESCRIPTION
VALUE
5.
V I. L I A B I L 1 T I E S. anel~des tho~e o/spo~e and dependent children; see pp. 32-33 of filing instruction&)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
Date of Repor~
05/I 1/2011
.or.e, transactions (Includes those of spouse and dependent children see plx 34-60 of filing instructlong)
D. Transactions during reporting period (i) Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) (5) Identity of buyer/seller (if private transaction)
Dividend
Buy Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
01/01/10: 02/01/10 03/01/10 04/01/10 05/01/10 06/01/10 07/01/10 08/01/10 09/01/10 10/01/10 11/01/I0 12/01/10 101/01/10
J J J J J J J J J J J J J
Dividend
Buy
14.
!02/01/10 J 03/01/10
04/01/10 J
15.
16.
17.
Buy (addl)
05/01/10 J
I. Income Gain Codes: (See Columns BI and IM) 2. Value Codc~ (See Columns CI and D3) 3. Value Method Codes (S~e Cohlmn C2)
A =$1,000 or less F =$50,001 - $100,009 J =$15.000 o less N =$250.001 - $500.000 P3 =$25.009.001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001 - $1.000,000 K =$15.001 - $50,000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =O~her
C =$2,501 - $5.000 III =$1.000.001 - $5.000,000 L =$50.001 - $10O.000 PI -$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =As~:$srlK~l W =Estimated
D =$5.001 - $15.0(~0 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.0~O.001 - $25,000.~O0
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, vatue, tra,~aaio~, anaad~ those of st, ouse ~.a dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Income during ~-poning period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)
Gross value at end of reporting period O) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) O) Type (e.g., redemption)
(2) (3) (4) Date Value Gain mm/dd~,y Code 2 Code I (J-P) (A-H)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. -Primerica Inc Common ("PRI") -Barclays Bk PLC lpath Dow Jones UBS Nickel ("JJN") -Direxion Commodity Bull 2X Fund ("DXCLX") -Petroleo Brasileiro Pelrobas ADR Common ("PBR") -Proshares TR II Ultrashort Euro ("EUO") Excel Securities IRA # 1 -John Hancock U.S. Global Leaders GrowFund Class A A Dividend
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
Buy (addl)
J J J J J J J
Sold (part) Sold (part) Sold Sold Buy Sold Buy Buy Sold
J J J J J J J J J
A A A A
I. Income Gain Codes: (See Columns BI and IM) 2. Value Codc~ |See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15.000 o less N =$250.001 - $500.0~3 P3 =$25.0OO.0OI - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15.O01 - $50.000 O =$500.001 - $1.000,000 R =:Cost (Real Estate Only) V =Olhcr
C =$2,501 - $5,000 Ill =$1.000,001 - $5.000,000 L =$50,001 - $100.000 PI =$1.000.0~ I - $5.13OO.000 P4 =More than $50.00~,000 S =Assessment W Estimated
D =$5.1301 - $15,000 112 =More than $5,000.000 M =$10~.001 - $250.000 P2 =$5.O00.001 - $25.0~),00~ T =Cash Markcl
E =$15,001 - $50.000
V II. IN V ESTMENTS and TRU STS -i .... e, value, transactions (Includes those ofsp ......
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period I Ct) t Amount Code I (A-H) C2~ Type (e.g., div., rent, or int.) Gross value at end of reporting period Ct) Value Code 2 (J-P) Value Method Code 3
Transactions during rel~rting period (I} Type (e.g., buy, sell, redemption) (2} (3) (4) Dale Value Gain mm]dd~yy Code 2 Code I (J-P) (A-H) (5} Identity of buyer/seller (if private transaction)
35. 36.
37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
Buy Sold
J J A
-Direxion Small Cap Bull ("TNA") Excel Securities IRA #2 -Apple Inc Common ("AAPL") -Celgene Corp Common -Research in Motion LTD Common ("RIMM") -Southwestern Energy Co Common
Buy A Dividend N
Buy (addl) Buy (addl) Sold Sold Sold Sold Sold Sold Sold Sold Sold (part) Sold (part) Sold
10/20/10 07/13/10 03/23/10 05/06/10 05/06/10 05/19/10 05/19/10 05/19/10 05/06/10 04/16/10 01/25/10 02/18/10 03/31 / 10
K J J J J J J K J J J J J A A A A A A A A A A A
("SWN")
-United STS STL Corp New Common ("X") -Peabody Energy CorpCommon -Cosan Lid Shs A ("CZZ") Common -Chesapeake Energy Corp("CHK") Common -Vale SA ADR ("Vale") Common -Humana Inc. ("Hum") -Aberdeen Small Cap Fund Class A
("GSXAX")
I. Income Gain Codes: (S Columns BI and IM) 2. Value Codes (S~e Columns CI and D3) 3. Value Method Codes (See Cohlmn C2)
A =$1.000 or less F =$50.001 - $10~.000 J =$15.000 or less N =$250.001 - $500.000 P3 ~$25.009.001 . $50.000.000 Q =Appraisal 13 =Book Value
B =$1,001 - $2.500 G =$100.0~1. $1.0~0.000 K =$15.001 - $50.000 O -$500.001 . $l,000.O~) R =Cost (Real Estate Only) V =Other
C =$2.501 - $5.0~O I11 =$1.000.0~1 - $5.000.0~0 L =$50.0~1 - $100.000 PI =$1.000,001 - $5.000.000 P4 =More Ihan $50.000.000 S =Asscssnv.mt W -Estimated
D =$5.001 - $15.000 112 =More than $5.000.000 M =$10O.0Ol - $250.000 P2 =S5.000.001 - $25.000.000 T =Cash Market
E =$15,001 - $50.000
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
~orting period
(1)
, Amount ii (A-H) i Code I
(2)
Type (e.g., div., rent,
or int.)
O)
Value Code 2 (J-P)
(2)
Value Method Code 3
(2) (3) (4) Value Gain Date mm/dd?yy Code 2 Code I (J-P) (A-H)
J J J
A A A
01/25/10 02/04/10;
01/25/10 02/05/10 01/25/10: 021041101 01/25/10 09124/I 0
J K
J L J J J J
A A
A A
57. -Eaton Vance Tax Managed Small-Cap ("ETMGX") 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. -Oppenheimer Gold & Special Minerals ("OPGSX") ("OPGSX") -John Hancock Large Cap Equity Fund Class A ("JLVIX") -John Hancock U.S. Global Leaders Growth Fund Class A -Gabelli Enterprise Mergers & Acquisitions Fd CI A ("EMAAX")
A A A A A A A A A
J J J J K
J
I. Income Gain Codes: (See Columns B 1 and IM) 2. Value Codes (See Columns CI and D3) .3. Value Method Codes (S~ Column C2)
A =$1.000 or less F =$50.0~1 - $ 100,009 J ~$15.0~O or less N =$250.0OI - $500.000 P3 =$25.000.0OI - $50.000.0~O Q =Ai.vcaisaI U =l::k~k Value
B -$1.001 - $2,500 G =$ 100.0Ol - $1.0~0.000 K O =$50~.0OL - $1.000.00~ R =Cost (Real I-state Only) V =Other
C =$2,501 - $5,000 I I I =51.000.001 - $5.000.000 PI $1,000.0~1 - $5.0OO.000 P4 =More than $50.00~.000 S =Asscssm~mt W =Estimated
D =$5,0~1 - $15,000 112 =More than $5,000.000 P2 -$5.000,001 - $25.0~3.~30 T =Cash Markel
E =$15,001 -
V I I. I N V E S T M E N T S a n d T R U S T S - ine ...... rue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructlons.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
O)
Amount : Code I ~ (A-H)
(2)
Type (e.g., div., rent, or int.)
(i)
Value Code 2 (J-P)
(2)
Value Method Code 3
(t)
Type (e.g., buy, sell, redemption)
(2)
(3)
(4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private transaction)
(Q-W)
69. 70. 71. 72. 73. 74.
75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85. -Eaton vance tax managed ("EXG") -Bucyms Common ("BUCY") -Ford Common ("F") -Netapp Common ("NTAP") -American Strategic ("CSP") -Direxion Bull 2X ("DXCLX") -RS Value Fund Class A ("RSVAX") -Pimco Total Return Class A ("PTrAX") -Oppenheimer Developing Markets Class A ("ODMAX") Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold 01/25/10 05119110 01/25/10 ! 09/17/10 01/25/10 02104/10 J L J K J J A A A A A A
Sold Buy Buy (addl) Buy Buy Buy Buy Buy Sold (part) Buy Sold (part)
01/29/10 09/24/I 0 i 10/20/10 06/25/10 08/04/I 0 09/24/10 !09/17/10 06/21/10 12/23/10 09/03/10 09/24/I 0
J K J K K K K K J K J
1. Income Gain Codes: (See Columns BI and 134) 2. Value Codes (~c Columas CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less =$50,001 - $100.000 -$15.000 or kss N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100.001 - $1,000,000 K =$15.0OI - 350.000 O =$500.001 - $ R =Cost {Real Estate Only) V =O~ hr
C =$2.501 - $5.000 It I =$ 1.000.001 - $5.000.000 L =$50.0OI - $100.000 PI =$1.000.001 - $5.000,000 P4 =/.tore than $50.~O0.000 S =Asscssmcnt W =Estimated
D = $5.001 - $ 15.000 112 =More than $5,000,000 M =$100.001 - $250.000 P2 =$5.000,001 - $25.000.00~ T =Cash Market
E =$15.001 - $50.000
e, value, transactions (lncludex those of spouse and dependent children; seepp. 34-60 of fillng instructlonx.)
[ O)
Place "(X)" after each asset exempt from prior disclosure I Amount Code I
(A-H)
(2)
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3
(i)
Type (e.g., buy, sell, redemption)
(Q-W)
86. 87. 88. 89. 90. 91. 92. 93. 94.
transaction) Buy Buy Buy (addl) 08/20/10 08/20/10 09/17/10 06/24/10 06/25/10 07/27/10 08/20/10 103/17/10 05/06/10 03/17/10 :04/16/10 03/17/10 !05/06/10 J J J J J K J K K K K K K A A A A
Buy Sold
Buy Sold
I. Income Gain Codes: (SCC Columns B I and D4) 2. Value Codcs (See Columns CI and D J) 3. Valu,: Method Codes ~Sce Column C2)
A =$1.000 or less F =$50,001 - $100.000 J N =$250.001 - $500.0~0 P3 =$25.000.001 - $50.0~).090 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100.001 - $1.090.000 K =$ 15.1)01 - $50.000 O =$500,001 - $1.0~.0~0 R =Cosl (Real Estate Only) V -~her
C =$2.501 - $5.000 It I =$1,000.001 - $5,0(~.000 L =$50.0~1 - $109.00~ PI =$1.000.001 P4 =More lh~U $50.000.0~0 S =Assessment W =Estimated
D =$5.001 - $15.000 tl2 =More than $5,000.000 M =$100.001 - $250.0~) P2 =$5.000.001 - $25.000.000 T =Cash Markcl
E =$15,001 - $50.0~O
rue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructiong)
(i)
Value Code 2 (J-P)
(2)
Value Method Code 3
(i)
Type (e.g., buy, sell, redemption)
(Q-W)
103. -Yahoo Inc Common ("YHOO" 104. 105. -Allergan Common ("AGN" 106. Buy Sold Buy Sold 05/17/10 09/24/10 07/13/10 09/24/10 K J K K A A
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Colum~-S CI and D3) 3. Value Method Codes (S~c Column C2)
A =$1,000 or less F =$50,001 - $100.000 J :$15.000 or less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =t~ok Value
B =$1,001 - $2,500 G =$100.001 - $1.000.0~) K =$15,001 - $50.000 O =$500.001 - $1.000.000 R =Cos~ (Real Estate Only) V =Olher
C =$2,501 - $5,000 III =$1.000.001 - $5.000.00(I L =$50.0OI - $100.000 PI =$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Ass~ssmenl W =Estimated
D =$5.001 - $15,000 112 =More than $5.~,000 M =$100,001 - $250.000 P2 =$5.0~0.001 - $25.000.000 T =C~sh Markct
E :$15,001- $50,000
! certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was ~vithheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. ,~,~ I01-111)
Date
[] Annual [] Final
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance ,~ith applicable laws and regulations.
Revie,Mng Officer
Date
IMPORTANT NOTES: The instructions accompanying this form must be followe,t Complete ali parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
DATE
Sharoe, Garv L. A
I1 I. NON-INVESTMENT INCOME. t Repo,~.~ indi,.idual und spouse: see pp. 17-24 of filing instructiong)
A. Fliers Non-Investment Income
[~] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
2. 3. 4.
B. Spouses Non-Investment Income - if you were married during any portion of the reportlng year, complete this section.
(Dollar amount not required except for honoraria.)
I. 2010 2. 3. 4.
~-I
NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
2. 3. 4. 5.
V. GIFTS. anclud,~,ho,e to s, ...... d dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
I. 2. 3. 4.
DESCRIPTION
VALUE
5.
V I. L I A B I L I T I E S. tlnel, des those oI,po~e *,d dependent children; see pp. 32-33 of filing instruction~)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
V 1 I. 1 N V E S T M E N T S a n d T R U S T S - ~ncome, vol~e,. ..... tlo.~ (Includes those of spouse a .d dependent children; see ptx 34- 60 offillng instructlong)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including tatst assets) Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) (I) Transactions during reporting period (2) (3) (4) Value Date mm/dd~y Code 2 (J-P) (5) Gain Code I (A-H)
Type (e.g.,
buy, sell, redemption)
Identity of
buyer/seller (if private transaction)
Dividend
Buy Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
01/01/10 02/01/10 03/01/10 04/01110 05/01/10 06/01/10 07/01/10 08/01/10 09/01/10 10/01/10 11/01/10 12/01/10 01/01/10 02/01/10 03/01/10 04/01/10 05/01/10
3.
4.
J
J
J J
J
J J
J
J J J J
J
New York College Tuition Savings #2 (529) -Vanguard Agressive Age-Based Growth Fund
Dividend
14.
15.
16.
17.
i. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes ISce Column C2~
A =$ 1,000 or less F =$50,001 - $10O.00~ J =$15.000 or less N =$250.001 - $500.000 P3 =$25,000.001 - $50,000.000 Q =Appraisal U =Book Value
B =$1,1201 - $2,500 G =$100.001 - $1,000,009 K =$15,001 - $50.000 O =$500,001 - $1,000.000 R =Cos! (Real Estate Only) V :O~her
C =$2,501 - $5 111 =$1.0~0,0~1 - $5.000,000 L =$50.tKII - $100,000 PI =$1.000,001 - $5.000.0~0 p4 =More Ihan $50.00~.000 S =Asscssmen! W =Estimated
E =$15,001 - $50.000 112 ~More than $5.000.000 M =$100.001 - $250.0~0 P2 =$5.000,001 - $25,000.000 T =Cash Markcl
VII. INV ESTMENTS and TRU STS -income. value, transactions (Includes those ofsp ......
NONE (No reportable income, assets, or transactions.)
IX-scfiption of Assets (including trust assetS) Income during reporting period (I) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (D (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
Transactions.during ~:~orting period O) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) (5) Identity of buyer/seller (if private transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. -Direxion Commodity Bull 2X Fund ("DXCLX") -Petroleo Brasileiro Petrobas ADR Common ("PBR") -Proshares TR II Ultrashort Euro ("EUO")
Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Excel Securities IRA # 1 -John Hancock U.S. Global Leaders GrowFund Class A A Dividend T Sold (part) Sold (part) Sold Sold Buy Sold -Pdmerica Inc Common ("PRr) -Barclays Bk PLC Ipath Dow Jones UBS Nickel ("JJN") Buy Buy Sold
J J J J J J J
J J J J J J J J
A A A A
I. Income Gain Codes: (Sc~: Columns BI and IM) 2. Value COdc~ (See Column CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $100,000 J ~$15.000 o~" less N =$250.001 - $500.0~0 P3 =525.000.001 - $50.000.000 Q =Appraisal U -Book Value
B =$1.001 - $2,500 G =$100,001 - $1,000.000 K =$15.001 - $50.000 O =5500.001 - 51.000.000 R =Cost (Real Estate Only) V =Olher
C =52.501 - $5,000 III =$1.000.001 - $5,1)00.000 L =$50.0~1 - $100.000 PI =$1,000,001 - 55.000,000 P4 =M~e than $50.000.000 S =Assessmenl W =Estimated
D =$5.001 - $15.1)00 112 =More than $5.00~.000 M =$100.001 - $250.1~O P2 =$5.000.001 - $25.000.000 T =~h Markd
E =$15.001 - $50.000
I.e, transactlom (Includes those of spa .....d dependent children; see pp. 34-60 of filing instructions.)
C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
[]
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45.
Buy Sold
J J J
-Direxion Small Cap Bull ("TNA") ExcelSecurities IRA #2 -Apple Inc Common ("AAPL") -CelgeneCorp Common -Research in Motion LTD Common ("RIMM") -Southwestern EnergyCo Common A Dividend N T
Buy
Buy (addl) Buy (addl) Sold Sold Sold Sold Sold Sold
Sold
K J J J J J J K"
J
A A A A A A
A
("SWN")
-United STS STL Corp New Common ("X") -Peabody Energy Corp Common -Cosan Ltd Shs A ("CZZ") Common
J J J
J
A A A
A
I. Income Gain Codes: (See Columm BI and D4) 2. Value Codc~ 1S~ Columns CI and D3) 3. Value Method Codes (S~e Column C2)
A =$1.000 or less F =$50,001 - $100.000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25,000.001 - $50,000.000 Q =Appraisal U = Book Value
B =$1,001 - $2,500 G =$100.001 - $1.000.000 K =$15.001 - $50.000 O =$500.001 - $1.1300.000 R =Cost (Real Estate Only) V =Otht+
C =$2.501 - $5.000 III :$1.000.0~1 - $5.000.000 L =$50.001 - $10~.000 PI =$1,000.001 - $5,000.000 P4 =More than $50.000.0~0 S =Assessment W ~Eslimatcd
D =$5.001 - $15.000 112 =More than $5.000.000 M =$10).001 - $250.000 P2 =$5.0~).001 - $25.000.00<) T =Cash Market
E =$15.0~1 - $50.000
B.
Income during reporting period [ (I) I Amount [ Code I [ (A-H) (2) Type (e.g., div., rent, or int.)
C.
Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption)
D.
Transactions during r~-porfing period (2) (3) Date Value mm!dd!~,y Code 2 (J-P) (4) Gain Code I (A-H) (5) Identity of buyer/seller (if private transaction)
52. -Baron Partners Fund ("BPTRX") 53. 54. 55. -Columbia Technology Fund ("CMTFX") 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. -Oppenheimer Gold & Special Minerals ("OPGSX") ("OPGSX") -Hartford Capital Appreciation Fund Class A -John Hancock Large Cap Equi~Fund Class A ("JLVIX") -John Hancock U.S. Global Leaders Growth Fund Class A -Gabelli Enterprise Mergers & Acquisitions Fd CI A ("EMAAX") -Eaton Vance Tax Managed Small-Cap ("ETMGX")
Sold (pan)
J J J
A A A A A A A A A A A A A A A A A
(pa~)
Sold Sold
01/25/10 J 02/04/10 K 01/25/10 02/05/10 01/25/10 02/04/10 01/25/10 09/24/10 01/25/10 05/19/10 01/25/10 02/05/10 07/23/10 01/25/10 J L J J J J J J J J K J
Sold (part)
Sold
(part)
Sold
(part)
(part)
Sold Sold (part)
Sold
I. Income Gain Codes: (See Columns B I and 124) 2. Value Cock~ isle Columns CI and D3) 3. Value Method Codes (S~e Column C2)
A =$1.000 or less F =$50.001 - $ 100.000 J =$15.000 or le~s N =$250,001 - $500,000 P3 =$25,000.001 - $50,000.000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G = $ 100.001 - $ 1.000.000 K =$15,0OI - $50.000 O =SS00.0OI - $1.000.000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5.0~1 I I I = $ 1.0~).001 - $5.000.000 L =$50.0OI - $100.0OO PI -$1.O00.0OI - $5.0OO.000 P4 =M~e than $50.000.000 S =Assessmem W =Estimated
D =$5.0~1 - $15.0~0 112 = M ore than $5.0OO.00~ M =$10~.0Ol - $250.000 P2 =$5.000,001 - $25.000.0@~ T =Cash Markcl
E =$15,001 - SS0.0OO
Gross value at end of reporting period (I) (2) Value Value Code 2 Method
(J-P) Code 3
(1)
Type (e.g.,
(2) (3) (4) Date Value Gain mm/ddiyy Code 2 Code 1 (J-P) (A-It)
J L J K J J
A A A A A A A
Sold Buy Buy (addl) Buy Buy Buy Buy Buy Sold (part) Buy Sold (part)
01/29/10 J 09/24/10 K 10/20/10 i J 06/25/10 K 08/04/10 K 09/24/10 K 09/17/10 K 06121/10 K 12/23/10 J 09/03/10 K 09/24/10 J
82. 83.
I. Income Gain Codes: (,See Columns BI and D4) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Codes lSce Column C2)
A -$ 1.00O or less f =$50.001 - $100.000 J =$15.000 or less N $250.001 - $500.000 P3 =$25.000.001 - $50.0(~.000 Q =Appraisal U -Book Value
B =$1,001 - $2.500 G=$100.001 - $1.000.000 K -$15.001 . $50.000 O=$500.001 - $1.000.000 R ~ost (Real Estate Only) V =O~hcr
C =$2.501 - $5,000 I I I =$ 1.000.001 - $5.000.000 L =$50.0OI - $10~.0~O PI =$I.000.001 - $5.000,000 P4 =More lhan $50.000.000 S =Ass~ssmcnl W =Estimated
D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =C~h Markel
E =$15.001 - $50.000
~e, tr ..... tlons (Includes those of spo ..... d dependent children: see pp. 34-60 of fillng instructions.)
86. -Matthews Asia ("MAPIX) 87. -Annaly (NLY") 88. 89. 90. 91. 92. 93. -Citigroup Common ("C") 94. 95. 96. 97. 98. 99. 100. 101. -JP Morgan ("JPM") 102. -Synovus Finl ("SNV")
-Qwest Communications ("Q") -Huntington Bancshares ("HBAN")
08/20/10 08/20/10 09/17/10 06/24/10 06/25/10 07/27/10 08/20/10 03/17/10 05/06/10 03/17/10 04/16/10 03/17/10 05/06/10 03/17/10 05/06/10 04/12/10 05/06/10
J J J J J K J K K K K K K K J J J
A A A A
Buy Buy (addl) Sold (part) Buy (addl) Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes I.%:c Columns CI and 3. Value Method Codes (~C Column C2)
A -$1,000 or less F =$50,001 - $100,000 J=$15.000 or less N =$250.001 - $500.000 P3 =$25.000.001 - $50.0<30.000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100,001 - $1,000.000 K =$15.001 - $50.000 O =$500.001 - $1,000.000 R ~Cost (Real Estate Only) V
C =$2,501 - $5.000 Ill =$1.000.001 - $5.000.000 L =$50.001 - $100.0~ PI =$1.000.001 - $5.000,000 P4 =More than $50.00~.0~0 W =Estimated
D ~$5.001 - $15,000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.0~1.001 - $25,009.000 T =Cash Market
E =$15,001 - $50.000
V I I. I N V E S T M E N T S a n d T R U S T S - inc ...... lue, transactions (Includes those ofsp ......d dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assetS) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (0 Amount ! Code I ! (A-H) [ (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code3 (Q-W) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/ddiyy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
103. -Yahoo Inc Common ("YHOO" 104. 105. -Allergan Common ("AGN" 106.
.K J K K A A
I. [ncon,e Gain Codes: (See Columns BI and 134) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Codes (.See Column C2)
A ~$t.O00 or less F =$50.001 i =$15.0~0 or less N =$250.001 P3 =$25,000.001 - $50.000.0(~1 Q =Appraisal U = Book Value
B -$ t ,00 L - $2.500 G =$100.001 - $1.000,090 K =$15.001 - $50.000 0 -$500.001 - $1,000.000 R =Cost (Real Estalc Ordy) V =O~ho"
C =$2,501 - $5,000 III =$1,000,0~1 . $5.000,000 L =$50.0~1 - $100.000 PI =$1,000.001 P4 =More than S =Ass~ssmem W =Eslimatcd
O =$5,001 - $15.000 112 =More than $5.009.00~ M =$100.001 - $250.000 P2 = $5,000,001 - $25,000,000 T =Cash Markc~
E =$15.001 - $50,000
Date of Report
Sharpe, Gary L.
07/28/2011
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq, 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544