nicholas g garaufis financial disclosure report for 2010
TRANSCRIPT
8/3/2019 Nicholas G Garaufis Financial Disclosure Report for 2010
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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
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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
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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 .
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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