nicholas g garaufis financial disclosure report for 2010

9
AO 10 Rev. 1/2011 FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010 Report Required by the Ethics in Government Act ofl978 (5 U.S.C. app..s¢~¢ 101-111) 1. Person Reporting (last name, first, middle initial) GARAUFIS, NICHOLAS G. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) UNITED STATES DISTRICT JUDGE 7. Chambers or Office Address US DISTRICT COURT EDNY 225 CADMAN PLAZA EAST BROOK LYN, NY 11202 2. Court or Organization EASTERN DISTRICT OF NEW YORK 3. Date of Report 07/25/201 I 5a. Report Type (check app ropriate t:~e) ] Nomination, Date [] Initial [] Annual [] Final 5b. [] Amen ded Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance svith applicable laws and regulations. 6. Reporting Period 01/01/2010 to 12/31/2010 Revie,~ing Officer Date IMPORTANT NOTES: The instructions accompanying this form must be followea~ Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I . PO SITION S. <neporting individual only; see p p. 9-13 of filing instructions.) D NONE (No reportable positions.) POSITION I. MEMBER, BOARD OF DIRECTORS 2. MEMBER, EXECUTIVE COMMITEE NEW YORK CIT Y BAR ASSOCIATION 3. 4. 5. NAME OF ORGANIZATION/ENTITY SPECTATOR PUBLISHING COMPAN Y, INC. I I . AG REE M ENTS. (Reporting individua l only; see pp. 14-16 of filing instructions.) D NONE (No reportable agreements.) DATE PARTIES AND TERMS I. 02/09/1997 ABC, INC. PENSION PLAN MONTH LY SURVIVOR BENEFIT 2. 3. Garaufis Nicholas G.

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8/3/2019 Nicholas G Garaufis Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/nicholas-g-garaufis-financial-disclosure-report-for-2010 1/9

AO 10Rev. 1/2011

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act ofl978(5 U.S.C. app..s¢~¢ 101-111)

1. Person Repor ting ( las t name, f ir s t , middle init ial)

G A R A U F I S , N I C H O L A S G .

4. Tit le (Art ic le I I I judges ind ica te act ive o r sen io r s ta tus;

magis t ra te j udges indicate fu l l - or par t - t ime)

U N I T E D S T A T E S D I S T R I C T J U D G E

7. Chamber s or Of f ic e Addr es s

U S D I S T R I C T C O U R T E D N Y2 2 5 C A D M A N P L A Z A E A S TB R O O K L Y N , N Y 1 1 2 0 2

2. Court o r Organ iza t ion

E A S T E R N D I S T R I C T O F N E W Y O R K

3. Date of Repor t

07/25/201 I

5a . Report Type (check app ropria te t :~e )

] Nomina t ion , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my o p in ion , in compliancesv i th appl icable l aws and regu la t ions .

6. Report ing Pe riod

01/01/2010

to

12/31/2010

Revie,~ing Officer D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea~ Complete all parts,

check ing the NON E box for each par t where you ha ve no repor table in formation. S ign on las t page.

I . P O S I T I O N S . < n e p o r t i n g individual only; see p p. 9-13 of filing instructions.)

D NONE (No reportable posi t ions .)

PO SITIO N

I. M E M B E R , B O A R D O F D I R E C T O R S

2. M E M B E R , E X E C U T IV E C O M M IT E E N E W Y O R K C IT Y B A R A S SO C IA T IO N

3.

4.

5.

N A M E O F O R G A N I Z A T IO N / E N T IT Y

S P E C T A T O R P U B L I S H I N G C O M P A N Y , I N C .

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions.)

D NONE (No reportable agreements . )

D A T E P A R T I E S A N D T E R M S

I. 02/09/1997 A B C , I N C . P E N S I O N P L A N M O N T H L Y S U R V I V O R B E N E F I T

2.

3.

8/3/2019 Nicholas G Garaufis Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORT

Page 2 of 9

N a m e o f P e r s on R e p o r t i n g

G A R A U F I S , N I C H O L A S G .

D a t e o f R e p o r t

07/25/201 I

I I 1 . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)

A. Filer’s Non-Investm ent Incom e

D (N o reporta ble incom e .)O N E non-investment

DATE SOURCE AND TYPE I N C O M E( y o u ~ , n o t s p o u s e ’ s )

I. 2010 A B C IN C . R E T IR E M E N T P L A N $13,053

2.

3.

4.

B . S p o u s e ’ s N o n - ln v e s t m e n t I n c o m e - tf yoa were married daring any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

D (No reporta ble non- investment income. )ONE

1.2010

2 . 2 0 1 0

3.

4.

DATE SOURCE AND TYPE

C I T IZ E N S B U D G E T C O M M I S S I O N , FO R M 1 0 9 9- M I S C . - C O N S U L T I N G I N C O M E

N E W Y O R K U N I V E R S I T Y , F O R M 1 0 9 9 - M 1 S C - C O N S U L T I N G I N C O M E

I V . R E I M B U R S E M E N T S - , ra n sp o rto ,io n , I o d g i n g , lo o d , e n , e ,~ a i n m e n L

(Includes those to spouse a nd dependent children; see pp . 25-2 7 of filing instructions.)

D NONE ( N o reportable re imbursements . )

SOURCE D A T E S _ LOCATION PURPOSE

1 . U N I T E D S T A T E S T E N N I S 03 /19/10 - 03 /22 /10 D A L L A S, TX C O N F E R E N C E

A SSO CIA TIO N

2. U N I T E D S T A T E S T E N N I S 09/04/10 - 09/07 /10 N E W Y O R K , N Y C O N F E R E N C E T R A V E L

A SSO CIA TIO N

3.

4.

5.

ITEMS PAID OR PROVIDED

T R A V E L

8/3/2019 Nicholas G Garaufis Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORT

Page 3 o f 9

Na m e o f P e r so n R e p o r t i n g

GARAUFIS, NICHOLAS G.

D a t e o f R e p o r t

07125/2011

V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31of filing instructions.)

N O N E (No reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

V A L U E

V I . L I A B I L I T I E S . a n d , , d e s ,h o s e o I s p o u * e and dependent children; see pp. 32-33 of filing instructions.)

NONE (No reportable liabilities.)

C R E D IT O R D E S C R IP T IO N

I.

2.

3.

4.

5.

V A L U E C O D E

8/3/2019 Nicholas G Garaufis Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORT

Page 4 of 9

N a m e o f P e r s o n R e p o r t in g

GARAUFIS, NICHOLAS G.

D a t e o f R e p o r t

07/25/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o r ~ o , , ’a l . e , t r a n s . a l o n ~ a n c l ~ d e s t h o ~ e o / ~ p o u ~ e ~ n a a e p e n d e n t children; s e e p p . 3 4 - 6 0 of f iling instructions.)

--’-] N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o un t T y p e ( e . g . ,

exempt from prior disc losure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s value at end

o f r e p o r t i n g p e r i o d

(i) (2)

Value Value

C o d e 2 M e th o d

(J-P) C o d e 3

( Q - W )

Type (e.g.,

b u y , s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)

D a t e Value G a i n

m m / d d / y y C o d e 2 C o d e I

(J-P) (A-H)

(5 )

I d e n t i t y o f

buyer/seller

( i f p r i v a t e

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

1 . P R I M E F U N D - C A P I T A L R E S E R V E S D Interest N

2. D A V I S N E W Y O R K V E N T U R E C L A S S A A D i v i d e n d K

3. N E U B E R G E R B E R M A N F O C U S F U N D A D ividend

4. B L A C K R O C K M I D C A P V A L U E F U N D A Divid en dC L A S S A

5. F I D E L I T Y A D V I S O R D I V I D E N D A Divid en dG R O W T H

6.

L

K

T Sold

(par t)

T S o ld(par t )

Sold

(par t )

S o ld

08127/I 0 J A

07 /30/10 J A

01/28/10 J A

09/29/I 0 J A

7. I N V E S T C O L A R G E C A P G R O W T H F D A D ividend

CL . B

8. I N V E S T C O G L O B A L G R O W T H F D C L B A Divid en d K

9. A L L I A N C E B A L A N C E D S H A R E S C L B A Divid en d

1 0 . A M E R I C A N F U N D S : A M E R I C A N A Divid en dC A P I T A L W O R L D G R O W T H & I N C O M EF UND

I1 . I S H A R E S T R . R U S S E L L 1 0 0 0 A Divid en d

12. W A LT D I S N E Y C O M P A N Y C S A D ividend

J

K

T S o ld(par t)

T

T S o ld(par t)

Sold

06/08/I 0 J A

02 /22 /I 0

01/11/10

J

J

A

A

1 3 . F I D E L IT Y A D V I S O R I N F L A T IO N A D ividend KP R O T E C T E D B D F D C L A

1 4 . A L L I A N C E R E A L E S T A T E A D ividend KI N V E S T M E N T F D A

1 5 . O P P E N H E I M E R S M & M I D C A P V A L U E A D ividend KF UND

1 6 . A L L I A N C E B E R N S T E I N G L O B A L A D ividend JT H E M A T I C G R O W T H F U N D

T

T

T S o ld(par t)

T

10118/10

I. In co m e G ain C od es : A -$1,000 o r less B = $1,001 - $2 ,500 C = $2 ,501 - $5,000 D = $5,001 - $15 ,000

( See Colu mns B I and D4 ) F =$50,001 - $ I00.000 G = $100,001 - $1.000,000 H I -$1 ,000 .001 - $5,000,000 H2 =More than $5,000,000

2 . V alu e Codes J =$15,0~1 or less K $15,001 - $50,000 L =$50,001 - $10~.00~ M -$10’0,001 - $250,000

I S e e C o lumn ~ C I a n d D 3) N =$250,001 - $500,009 O -$500,001 - $1,0~0,000 PI =$1,000,001 - $5,000,000 P2 =$5,090.001 - $25.000.000

P3 =$25.000.001 - $50.000.000 P4 -More than $50,00~.000

3 . V alu e Method Codes Q =Ap p r a i sa l R = Cos t ( R eal Es t a t e Only ) S = A~s cs s mcnt T = C a s h M a r k e t

(S e e C o lumn C 2) U = Book V alu e V = Other W = Es t imated

E :$15,001 - $50,000

8/3/2019 Nicholas G Garaufis Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORT

Page 5 o f 9

N a m e o f P e r s o n R e p o r t i n g

GARAUFIS, NICHOLAS G.

D a t e o f R e p o r t

07/25/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

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

D e s c r i p t i o n o f A s s e l s I n c o m e d u r i n g

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

(i) (2)

Place "(X)" after each assel A m o u n t Type (e.g.,

exempt from prior disclosure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

O) (’~)

V a l u e V a l u e

C o d e 2 M e t h o d

( J- P ) C o d e 3

( Q - W )

0)Type (e.g.,

buy, s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)

D a t e Value G a i n

m m /d d / y y C o d e 2 Code I

( , ) 4 , ) (A-~

(5 )I d e n t i t y o f

b u y e r / s e l l e r

(ifprivale

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

1 7 .

1 8 .

1 9 .

20 .

21 .

22 .

ALLIANCE GROWTH & INCOME FUND

CL B

CITY OF NEW YORK DEFERRED

COMPENSATION PLAN

A Dividend K

A Dividend K

ABC PENSION PLAN None

T S o ld(par t)

Sold

( p a r t )

T

T

10/01/10 J A

12/22/10 J A

I N V E S T C O G L O B A L E Q U I T Y F U N D

ISHARES M I D C A P

A Dividend J

A Dividend K

T Sold( p a r t )

T

08116 /10 J A

23 . I SH A R E S T R M S C I A D i v i d e n d K T

24 . ISHARES RUSSELL 2000 A Dividend K T

25 . ISHARES MSCI EMERGING MK T A Dividend J T

26. MUTUAL SERIES CLASS C A Dividend J T

27 .

28 .

29 .

30 .

31 .

32 .

33 .

SPDR S&P 500 ETF TR

P I M C O T O T A L R E T U R N C L C

O P P E N H E IM E R G L O B A L FUND

I N V E S T C O V A N K A M P E N E Q U I T Y &

I N C O M E

A D i v i d e n d

A Dividend

T Sold 0 5 / 1 4 / 1 0 J A

(part)

S o ld 06/22/10 K A

( p a r t )

Sold 0 2 / 2 2 / 1 0 J A( p a r t )

T Sold 0 7 / 2 2 1 1 0 J A

(part)

Sold I 1/05/10 J A

(part)

A Dividend J T

B Dividend K T S o ld(par t )

021091101 J A

I. In co m e G ain Co d es: A = $1,000 or less B = $1,001 - $2 ,500 C = $2,501 - $5 ,0~ 0 D =$5,001 - $15,000

( Se e C olu m ns B I a nd D4 ) F =$ 50 .00 1 - $ 10 0,0 (~ G =$ 100 ,001 - $ 1.0 0~ ,000 H I = $1,0 00 .00 1 - $5 ,0 ~3 ,009 H2 = Mo ~ than $5 ,0 0 0 ,0~0

2 . V alu e Co des J = $15.000 or less K= $15,001 - $50.000 L =$50,001 - $ 100.000 M =$100,001 - $250,CO0

( See Colu mns C I and D3) N =$250.001 - $500,0~0 O -$500.001 - $1.0~0.00~ PI =$1,000.001 - $5,00(I,000 P2 =$5,000,001 - $25,000,000

P3 =$25.000.001 - $50,000.000 P4 =Mo re than $50,000,000

3 . V alu e Method Codes Q =Ap p r a i sa l R = Cos l ( R eal Es t a t e Only ) S ~As s es s ment T = C a s h M a r k e t

[ . See Colu mn C2) U = Book V alu e V = O t h e r W = Es t imated

E =$15,001 - $50,000

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FINANCIAL DISCLOSURE REPO RT

Page 6 of 9 Ia m e o f P e r s o n Report ing

G A R A U F I S , N I C H O L A S G .

Date of R e p o r t

07/25/201 I

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,~o, ,.alue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

N O N E (No reportable income, assets, or transactions.)

D e s cr ip t io n o f A s s e ts In c o m e d u r in g

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

( 1 ) ( 2 )

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 .,

exempt from prior disc losure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

(I) (2)

Value Value

C o d e 2 M e t h o d

( J - P ) C o d e 3

( Q - W )

(i )T y l ~ ( e .g . ,

b u y , s e l l ,

r e d e m p t i o n )

T r a n s a c t io n s d u r i n g r e p o r t in g p e r io d

(2) (3) (4 )

D a t e Value G a i n

m m ] d d / y y C ode 2 C o d e I

( J - P ) (A-H)

(5 )

Identity of

buyer/ se l le r

(if private

transaction)

34 .

35 .

36 .

37 .

38 .

A M E R I C A N F U N D S : A M E R I C A NB A L A N C E D C L A S S C

O P P E N H E I M E R L T D . T ER M N Y M U N I

A D i v i d e n d

A D i v i d e n d

J

J

S o l d 03 /18/10 J A

( p a n )

S o l d 04/20/10 J A

( p a r t )

S o l d 11/19/10 J A(par t )

T

T

39 . A L L I A N C E B E R N S T E I N L G C A P A D i v i d e n d K T

G R O W T H B

4 0. A M ER IC AN F U ND S: A M ER IC AN A D i v i d e n d J T

C A P I T A L I N C O M E B U I L D E R . C L A S S C

4 1. R O CH ES TE R F D. M U NI A A D iv id e n d S o ld 04/09/10 J A

42 . O P P E N H E IM E R G L O B A L C L A S S C A D i v i d e n d K T

4 3. A M ER IC A N G R O WT H F D O F A M ER IC A B D i v i d e n d M T

C

4 4. A M E R IC A N FU N DS : A M E R IC A N HI GH B D i v i d e n d K TI N C O M E C L A S S F U N D

4 5. A L LI AN C E BE R N ST E IN G R O WT H A D i v i d e n dF U N D C L A

46 . I N V E S T C O D E V E L O P I N G M K T C L A A D i v i d e n d K T

Sold 09/29/10 J A

4 7. O PP EN HE IM E R IN T BD F D A D i v i d e n d J T

48 . V A N G U A R D I N T T E R M T A X A D i v i d e n d J T

4 9 . P I M C O C O M M R E A L R E T U R N A D i v i d e n d J T

Sold 04/05/10 J A

(par t )

50 . G A B E L L I A S S E T F U N D A IntJDiv. S o l d 02/08/10 J A

1. Inco m e G ain Codes: A =$1,000 o r less B = $1,001 - $2,500 C = $2,501 - $5 ,000 D =$5,001 - $ I

(S e e C o lumn s B I a n d D 4) F =S50.001 - $100.000 G =$100,001 - $1,090,000 H I =$ 1, 0~ 1, 00 1 - $ 5, 0~ 9, 0~ 0 H 2 =M o re ~ h an $ 5.0 ~) .0 ~0

2 . V alu e Codes J = $15,000 or less K= $15,001 - $ 50 ,0~ L

=$ 5 0 , 0 0 1 - $ 1 0 0 , 0 ~ K I M

= $ 100,001 - $250.000

(S e e C o lumn s C I a n d D 3) N -$2 50.091 - $ 500.000 O = $500,001 - $1,0~ 0,000 P I = $1 ,0 00 ,0 01 - $ 5, 00 0, (X ) 0 P 2 - $5 ,0 99 .0 01 - $ 25 ,0 00 ,0 00

P3 -$25.0~0.001 - S50,000.00~ P4 =More than $50.0~0,0~0

3. V alu e M etho d Co des Q = Appra i,,a l R = Cos t ( R eal Es t a t e Only ) S = As s es s ment T =C a sh Ma rkcl

( se e C o lumn C 2) U = Book V alu e V O ~ h e r W = Es t imated

E =$15,001 - $50.000

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FINANCIAL DISCLOSURE REPORT

Page 7 o f 9 Ia m e o f P e r s o n R e p o r t i n g

GARAUFIS, NICHOLAS G .

Date o f Report

07/25/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

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

Description of Assets Incom e durin g

( includ ing t rust a sse ts) reporting period

(I) (2)

P lace "(X)" after each asset Am oun t Type (e.g.,

exempt f rom pr ior d isc losure C o d e I div., rent,

( A - H ) o r i n t . )

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

(l) (2)

V a lu e V a lu e

C o d e 2 M e t h o d

(J-P) C o d e 3

( Q - W )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

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

Type (e.g., D a t e V a l u e Gain

buy, se l l , m m/dd /yy Co de 2 Co d e I

redempt ion) (J-P) (A-H)

Identity of

buyer/ se l le r

(if private

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

51. ROYCETOTAL RET. INV. A Dividend K T

52 . I S H A R E S S & P S M C A P 6 0 0 A D i v i d e n d K T

53 . COL UMBIA SM CAP VAL II CIA A Dividend J T

54. EAGLE SM CAPFDA A Dividend J T

55. 1 SHARES RUSSELL 2000 VALUE A Dividend J T

56. 2004 T R U S T None J T

57 . RYDEX SGI MG E FUTURES A Dividend J T

58. PIMCO UNCONSTRAINED

59 . ARTISAN INTL INVESTOR

A Dividend K T

A Dividend J T

Bu y 06/08/10 J

(ad d ’ l )

60. FORWARD SELECT INC INST

61. ISHARES TR COHEN & STEERSREALTY

62. PIMCO HIGH Y IELD A

63. FORWARD TACTICAL GROW TH FDCL

C

64 .

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend J T

Bu y 03/29/I 0

Bu y 05/06 /10

Bu y 07/I 6/I 0

Bu y 05/04/10

J

J

J

J

65 .

I . Income G ain Codes : A =$1,000 or less B = $1,001 - $2 ,500 C = $2,501 - $5,000 D =$5.001 - $15 ,000

( s e e C o l u m n s B I a n d D 4 ) F =$50.0~1 - $100,000 G =$100,001 - $1.090,000 HI =$1.000.0~1 - $5.0~,000 H 2 Mo re th a n $5,000 .000

2 . V alu e Codes J = $15.000 or less K = $15,001 - $50,000 L =$50,001 - $ 100,000 M =$ 100,001 - $250.000

( se e C o lumn s C I a n d D 3) N =$250.001 - $500,000 O =$500.001 - $1,000.000 PI =$1,000,001 - $5,000,000 P2 =$5.000.001 - $25,000.000

P3 =$25,000,001 - $50,000,000 P4 =Mo re than $50,000.000

3 . V alu e Method Codes Q =Ap p r a i sa l R = Cos t ( R eal Es t a t e Only ) S = As s es s ment T = C a s h M a r k e t

( S e e C o l u m n C 2 ) U = Book V alu e V = Olhc r W = E~l imaled

E =$15.001 - $50,000

8/3/2019 Nicholas G Garaufis Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORT

Page 8 o f 9

N a m e o f P e r s o n R e p o r t in g

GARAUFIS, NICHOLAS G.

D a t e o f R e p o r t

07/25/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a.dica,epar, of report.)

VII , P A G E 4 O F 9 , L IN E 7:

N A M E C H A N G E D F R O M A I M L A R G E C A P G R O W T H F D C L B T O I N V E S T C O L A R G E C A P G R O W T H F D C L . B .

VII , P A G E 4 O F 9 , L IN E 8 :N A M E C H A N G E D F R O M A I M G L O B A L G R O W T H F D C L B T O I N V E S T C O G L O B A L G R O W T H F D C L B .

VII , P A G E 4 O F 9 , L IN E 16:N A M E C H A N G E D F R O M A L L I A N C E G L O B A L T E C H N O L O G Y A F U N D T O A L L I A N C E B E R N S T E I N G L O B A L T H E M A T I C G R O W T H F U N D .

VII , P A G E 5 O F 9 , L IN E 20 :A B C , I N C . P E N S I O N P L A N . i A M D E S I G N A T E D T O R E C E I V E M O N T H L Y P E N S I O N B E N E F I T S U N D E R ! :: : :: ¯ :I PENSION PLAN.

P A R T I II , L I N E 2 D I S C L O S E S IN C O M E R E C E I V E D . T H E S E P A Y M E N T S W I L L C E A S E U P O N M Y D E A T H .

V l l . P A G E 5 O F 9 , L I N E 2 1 :N A M E C H A N G E D F R O M A I M G L O B A L E Q U I T Y F U N D C L B T O I N V E S T C O G L O B A L E Q U I T Y F U N D .

VII . P A G E 5 O F 9 , L IN E 27:N A M E C H A N G E D F R O M S T A N D A R D & P O O R S D E P O S I T O R Y R E C E I P T S T O S P D R S & P 5 0 0 E T F T R .

VII . P A G E 5 O F 9 , L IN E 33:

N A M E C H A N G E D F R O M V A N K A M P E N E Q U I T Y & I N C O M E T O I N V E S T C O V A N K A M P E N E Q U I T Y & I N C O M E .

VII , P A G E 6 O F 9 , L IN E 45:N A M E C H A N G E D F R O M A L L I A N C E G R O W T H C L A T O A L L I A N C E B E R N S T E I N G R O W T H F U N D C L A

VII , P A G E 6 O F 9 , L IN E 46:N A ME CHANGED F R O M A I M D E V E L O P I N G M K T C L A T O I N V E S T C O D E V E L O P I N G M K T C L A .

8/3/2019 Nicholas G Garaufis Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORT

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Na m e o f P e r so n R e p o r t i n g

GARAUFIS, NICHOLAS G.

Date of Repor t

07/25/201 I

IX. CERT IFICATION.

1 c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o ~ v l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d ~ v a s ~ v i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .

I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r te d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q ., 5 U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/NICHOLAS G. G ARAUFIS

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . § 1 0 4 )

C o m m i t te e o n F i n a n c i a l D i s c l o s u r e

A d m i n i s tr a t ive O f f ice o f t h e U n i t e d S t a t e s C o ur t sSui t e 2-301O n e C o l u m b u s C i r c l e , N .E .Wa s h i n g t o n , D . C . 2 0 5 4 4