paul l friedman financial disclosure report for 2010

8/3/2019 Paul L Friedman Financial Disclosure Report for 2010

1/15

AO 10Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 20 10Report Required by the Ethicsin Governmen t Act of 1978(5 U.S.C. app. ~.,~ 101-111)

I . Person R eport ing (last name, f i rst , middle ini t ia l )Fr iedman , Paul L .

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e act ive or senior s ta tus;magis t rate judges indicate fu l l - or p ar l - t ime)

U . S. D is t r i c t Jud g e - Se n io r S ta tus

7 . Chambers o r O f f i c e A d d r e s sU .S. Co ur th o use , R m. 60123 3 3 Co n s t i tu t io n A ve . N .W .W ash in g to n , D .C . 20001

2. Court or Organizat ionU.S. District Co urt

3 . Date o f Report05/13/2011

5a . Repor t T) pe ( check appropr ia te type)] Nominat ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the informat ion contained i n t h i s R e p o r t a n d a n ymodif ica tions per ta in ing the re to , i t i s , in my opinion , in c o m p l i a n c ewi th appl icable l aws and regu lat ions .

Revie ,~ng Of f ice r Date

6. Repor ting Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followeeL Complete all parts,check ing the NONE box for each par t where you ha ve no repor table informa tion. S ign on l as t page.

I . P O S I T I O N S . ~ R e p o , , i , ~ indiv idual on l y ; see pp . 9 -13 o f f i l ing in s truc t ions .)D (No reportablepositions.)O N E

P O S I T I O N

2.

NAME OF ORGANIZATION/ENTITY

I 1 . A G R E E M E N T S . m , p o , i n g individual only; see pp. 14-16 of filing instructions.)D (No reportab l e agreements . )O N E

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


2/15

N a m e o f P e r so n R e p o r t i n gP a g e F I N A N C I A L 2 o f 1 1 D I S C L O S U R E R E P O R T I V r ie d m ~ n , P ~ u ~ L .

I I I . N O N - I N V E S T M E N T I N C O M E . ( R e p o r t i n g i n d i v id u o l a n d s p o n s e ~ ~ e e p p . 1 7 - 2 4 o f ~ l in g instructions.)A. Fi l e r s Non-Investmen t Incom e

~ (No reportable income.)ONE non- inves tmentDATE SOURCE AND TYPE

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If y o u w ere m a rr i ed du r ing a ny p o r t i o n o f th e rep o r t ingy ea r , co m p le te th i s s ec t i o n .( D o l l a r a m o u n t n o t required except for honoraria.)

N O N E ( No r e p o rta b le n o n- i nve s tme n t i nc o m e . )DATE SOURCE AND TYPE

I.

2.

3.

4.

D a t e o f R e p o r t05/13/2011

INCOME( y o u r s , n o t s p o u s e s )

I V . R E I M B U R S E M E N T S - t ranspor tat ion , lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 of filing irmtructions.)

N O N E ( N o repor table re im bursemen ts .)SOURCE DATES LOCATION

2.3.4.

5.

PU R POSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 1

N a m e o f P e r s o n R e p o r t i n gFr i edman , Pau l L .

D a t e o f R e p o r t05/I 3/201 I

V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31of filing instructions.)D N O N E ( N o r epor tab le g i f ts . )

SOURCEI.2.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a . d u d , s , h o s o o I , p o . ~ o ~ . a d ~ , , . a , .t d , lt , ~ . o .; ~ p p . 3 2 - 3 3 o f f i l i .g i ns t r u c t i o ns . )NONE (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.

3.

4.5.

VALUECODE


4/15

FINANCIAL DISCLOSURE REPORTPage 4 o f 11

N a m e o f P e r s o n R e p o r t in gFriedm an, Paul L.

D a l e o f R e p o r t05/13/2011

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 instructio,~)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 Income during( 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)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 . ,e x e m p t f r o m prior disclosure C o d e 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 do f r e p o r t i n g p e r i o dO) (2)V alue V alue

C o d e 2 M e t h o dO - P ) C o d e 3

( Q - W )

O)T y p e ( e . g .,b u y , s e l l ,

r e d e m p t i o n )

Transactions dur ing repor ting per iod(2) (3) (4) (5 )

D a t e Value ! Gain Identi tyofmm/dd!yy Code 2 ~! Code I buyer/seller

( J -p ) i ( A -H ) (if privateJ transaction)

I. S E E P A R T V l l l - A S S E T O R D E RS L I GH T L Y C H A N G E D2. L I S T E D I N V E S T M E N T F U N D S :

3. B R O K E R A G E A C C O U N T

4. -G abel l i Smal l C ap Fund N o n e L5. -Gabell i Asset Fund A D ivid en d L6. -Harb o r In te rn a t io n a l B D ivid en d M7. -F id e l i ty Sp ar tan T ax F ree Bo n d F un d C D ivid en d M8. - iShares Russel l 1000 Value Index Fund B D ivid en d L

TTT Sold( pa rt )T Bu y( add l )T

10112/10 K

07/22/10 KD

9. - iShares Cohen & Steer s Real ty Major s B D ivid en dIn d ex F d1 0 . - iShares Russel l I000 G row th Index Fund A D ivid en d LI I . - iSh a re s R usse l l 2000 Gro w th In d e x F un d A D iv id e n d K

1 2 . - iShares Russel l 2000 Value Index Fund A D ivid en d K1 3 . - V a n g u a r d I n t e r m e d i a t e T a x E x e m p t F u n d B D ivid en d1 4 . - V a n g u a r d S h o r t T e rm T a x E x e m p t F u n d A D ivid en d1 5 . -Bro wn Cap i t a l M g rn t Smal l Co mp an y F d A D ivid en d

1 6 . - P e r k in s M i d C a p V a l u e F u n d A D ivid en d1 7 . -Ro yce Sp ec ia l Equi ty F un d A D ivid en d

L

K

J

J

J

T

T

T

T

T

I. In co m e Gain C od es : A = $1,000 o r less B = $1.001 - $2,500 C = $2,5 01 - $5 ,000 D =$5,001 - $15,000(See C o lunms BI and D4 ) F =$50.~01 - $100.0~0 G =$100.001 - $1.0~.0~0 HI =$1.00~,0~1 - $5,0~O.0~ H2 =More than $5.00~.0~0

2. Value Codes J -$15.000 or less K = $15.001 - $ 50.000 L =$50.001 - $ 100.000 M =$ 100.001 - $250.000(SeeC o lumns C I and D3 ) N =$250,001 - $509.000 O $500.001 - $1.0~0.0~0 PI =$1,00~.0~1 - $5,0~0,000 p2-$5,0~0,001 - $25.00~.000

P3 $25.0~0.001 - $50.000.009 P4 =More than $50,000,00 03. Value Method Codes Q =Appraisal R =C os t { R ea l Es l a t e O n ly) S =Assessment T C a s h M a r k e t{Se e Co lu m n C2 ) U = B c,~k Va lu e V - O t h e r W = Es t im a te d

E = $ 1 5 .0 0 1 - $ 50 .0 ~ O


5/15

FINANCIAL DISCLOSURE REPORTPage 5 o f I 1

N a m e o f P e r s o n R e p o r t in gFr i edman , Pau l L .

D a t e o f R e p o r t0 _ 5 / 1 3 / 2 0 1 I

V I I. I N V E S T M E N T S a n d T R U S T S - in c ~ m e ~ v a lu e ~ t ra n s a c # ~ m ( ~ n c ~ u d e s th ~ s e ~ f sp ~ u s e a n d d e p e n d e n tc h i ~ d re n ; s ee p p ~ 3 4 ~ 6 ~ f ~ in g i n s tr u c K ~ n s ~ )N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r in g( i nc l u di ng t r u s t asse t s) r e p o r t i n g p e r i o d

O) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e I d iv . , r en t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(1) (2)V a lue V a lue

C o d e 2 M e t h o d( J - P ) C o d e 3

( Q - W )

O)Type (e.g.,buy, se l l ,

redemption)

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 V a l u e Gain

m m!d d/yy C od e 2 Code 1{ J - P ) ( A - H )

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

b u y e r / s e l l e r( i f p r i v a t e

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

1 8 . -Ea ton Vance Parame tr i c Fund A Dividend K B uy 10/12/10 K

1 9 . I R A A C C O U N T # 1 F D iv id e n d PI

20 . -T. Row e Price Equity Incom e

21 . -LongleafPartners

22 . -LongleafPartner s Small Cap Fd

2 3. - PIM Co R ea l Re tu rn ( X )

2 4. - Sc hw a b M o n ey M a rk et Fd

25 . -Mo rgan Stanley US RE

26 . -American Funds EuroPacific Grow th Fd. F

2 7. - T. Ro w e Pr ic e M i d Ca p G r o w th

28. -DavisNY Venture A

Bu y 10/12/10( add l )

Bu y 10/12/10( add l )

So ld 03/16/10(par t )

So ld 10/12/10

K

J

See Part VII!

D

29 . - D o d g e & C o x S t o c k30 . - A m e r i c a n F u n d s G r o w t h F u n d o f A m e r i c aF31 . -PIMCo T ota l Re tu rn

32 . -F i r s t Eag le G lobal (X)

33 . -Harb o r In te rn a t io n a l

Bu y 10/12/10( add l )So ld 07/22/10(pan)

J

L

See Part Vll l

34 . -Loomis Say le s Inves tment Gr Bond Fd Bu y 03/16/10 J( add l )

I. In co m e Gain C od es : A = $1.000 o r less B = $1,001 - $2,500 C ~$2,5 01 - $5 ,000 D = $5,001 - $15,000( Se e C olum ns B I a nd IM ) F -$ 50 .001 - $ 100,0 00 G = $ 1 00 .0 01 - $ 1.0 00.0 00 H I = $ 1,0 00.0 01 - $ 5.0 00 ,(~ 0 H2 =More than $ 5.000.000

2. Value Codes J -S I 5.000 or less K =$15,001 - $50.000 L =$50,001 - $100.000 M =$ 100.001 - $250,00~(See Columns C I and D31 N = $250.0O I - $5 0~.0~O O = $5 00.0O I - $1,0O O.000 PI =$1,0OO.001 - $5.00~,00~ P2 =$5.0~0,001 - $25,090,000

P3 =$25.000.091 - $50.000,000 P4 =M ore than $50,000.00~3. Va lu e Me th e d Co d e s Q =Appraisal R =Cost (Real Estate Only) S = A s ~ s s m c n t T C a s h M a r k e t{Se e Co lu n m C2 } U = B o o k Va lu e V - O t h e r W = Es t im a te d

E =$15,001- $50.000


6/15


N a m e o f P e r s o n R e p o r t in gFriedma n, Paul L.

D a l e o f R e p o r t05/I 3 /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 - incom e , va l ue , t ransac t ions ( I nc l ud e s t hose o f spouse an d d e pe nd e nt ch i l d re n; se e pp . 34-60 of fi l ing ins t ruc t ions . )N O N E (No reportable income, assets, or transactions.)

Desc r ip t ion o f Asse t s I n c o m e d u r i n g( i nc l u di ng t r u s t asse t s) r e p o r t in g p e r i o d


exempt from prior disclosure Code I d iv. , r en t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(0 (2)

V a lu e V a lu eC o d e 2 M e t h o d

O - P ) C o d e 3( Q - W )

( J )T y p e (e.g.,bu y, se l l ,

r e d e m p l i o n )

Transac t ions dur ing r epo r t ing pe r iod

(2) (3) (4)D at e Value Gain

m m / d d / y y Code2 Code I04)

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

b u y e r / s e l l e r( i f p r i v a t e


3 5. -American Fed Bank CD 3.0% 01/09/13

36 .

37 .

3 8.

39 .

40 .

41 .

42 .

43 .

44 .

45 .

46 .

47 .

48.

-Ohio V a l l ey Bk CD 3 .45% 07115 /14

-Vanguard Short Term Federa l Fd

-Columbia Value & Restructuring Fd

-Royce Spe cia l Equity Fd

-T. Rowe Price Capita l Appreciation Fd

-Van guard PRIMECAP Core Fd

-Vanguard Sma l l Cap G rowth Index Fd-Lazard Emerg ing Market s Fd

-PR1MECAP Odyssey S toc k Fd-D isco ver Ban k CD 3 .5% 05/13 /14 (X)-Van guard STAR Fund (X)

I R A A C C O U N T # 2 E Dividend 0

B uy(addl)

10/12/10 K

Bu y 03/16/10 KBu y 110/12/10 J( add l )Bu y 07 /22 /10 L

S o l d 10/12/10 K

See Part Vl l l

B See Part Vlll

49 . -Schwab M oney Mar ket Fund

50 . -T. Rowe Pr ice Mid Cap G rowth Fd5 1. - PIM C oT ot al Re tu rn

I. Income Gain Codes:( s e e Co lu m n s B I a n d 1 34)

2. Value Codes(Se e Co lu m n s CI a n d D3)

3. Va lu e Me th o d Co d e s(Se e Co lu m n C2 )

A =$1,000 or lessF =$50.001 - $100.000J =$15,000 or lessN =$250,001 - $500.000P3 =$25,000,001 - $50.000.000Q =AppraisalU = B o o k Va lu e

B=$1,001 - $2,500G =$100,O01 -K -$15.1)O I - $50,0~00 =$500.001 - $1,000,000R - Co s t (Re a l Es ta te On ly )V = O t h e r

C =$2,501 - $5,0~0H 1 =$ 1.0(~,001 - $5,000,000L =$50,001 - $ 100,000PI =$1,000,001 -P4 =Mo re than $50,000,000S - As s e s s m e n tW = Es t im a ted

D =$5,001 - $15,0~OH2 =More than $5,000,000M = $ I O 0 , O 0 1 - $ 2 5 0 , 0 0 0P2 =$5,000,001 - $25.0~0,000T = Ca s h Ma rk e l

E =$ 15.001 - $5 0.000


7/15

FINANCIAL DISCLOSURE REPORTPage 7 o f I 1

N a m e o f P e r s o n R e p o r t in gFriedman, Paul L.

D a t e o f R e p o r t05/I 3/2011

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 m e , , a l u . , , . a n s : . i o n $ a . c l u d e $ t h o s e 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 c r i p t i o n o f A s s e t s Income during( 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)Place "(x)" af ter each asset A m o u n t T y p e ( e . g . ,e x e m p t f r o m p r io r d i s c l o s u re 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 do f r e p o r t i n g p e r i o d(I) (2)V alue V alueC o d e 2 M e t h o d

(J-P) C o d e 3( Q - W )

(0T y p e ( 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)

D a t e Value Gainm m ! d d / y y C o d e 2 Code I( J - P ) ( A - H )

( 5 )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

52 . -Lo o mis Say les In ves tmen t Gr Bo n d F d53 . -T . Ro we P r ice Gro wth Sto ck F d54 . -Am er ican Funds EuroPaci f ic G row th Fd55 . - C o l u m b i a V a l u e & R e s t r uc t u r in g F u n d56 . -GE Cap i t a l F n c l CD 5% 08 /27 /1357 . - G E M o n e y B k C D 4 . 1 5 % 1 2 / 1 8 / 1 258 . -Ohio Val ley Bk CD 3 .45% 07/15/1459 . - B r o w n C a p i t a l M g m t S m a l l C o m p a n y F d60 . - P e r k in s M i d C a p V a l u e F d61 . -Ro yce Sp ec ia l Equi ty F un d62 . - A m e r i c a n F u n d s N e w W o r l d F d63 . -F i r s t Eag le G lobal (X)64 . -Discover Bank CD 3 .5% 05/13/14 (X)65 . -P IM Co R ea l Re turn F d (X)66 . - V a n g u a r d S T A R F d ( X )

67 . IR A A CC O UN T #368 . -F i r s t Eag le G lobal (Y )

A D ivid en d

Bu y( add l )Sold(par t )Bu y(ad d I )

Bu y

So ld

10/12 /1010/12/1010/12/10

10/12/10

10/12/10

JJJ

S e e P a n V l l lSee Par t VII IS e e P a r t V l l lSee Par t VII I

See Par t VII ISee Par~ VII I

I. In co m e Gain C o d es: A = $1.000 o r less B = $1,001 - $2.500 C = $2.5 01 - $5 ,000 D =$5.001 - $15.000(See C olum ns B I and 19 4) F = S50.0~1 - $100.000 G = $100.001 - $1.000.0~0 HI =$1.00~.001 - $5.000.0OO H2 =More than $5.000.0~O

2 . Va lu e Co d e s J =SI 5 ,1)00 o r le ss K =$15,001 - $50,0~1 L =$50,001 * $100,00~ M =$ 100,0~1 - $250,000(Se e Co lu m n s C I a n d D3) N =$250.001 - $500,000 O =$ 500.0 01 - 5 1,0 00,0 00 P I = 51 ,0 00 .00 1 - $5 ,00 0,0 00 P2 =$5,000,001 - $25,000.000

P3 =$25.000,001 - $50.000.000 P4 =M ore than $50,000,0003. Va lu e Me th y l Co d e s Q =Appraisal R =Cost (Real Estate Only) S ~As s cs s m cn t T =C ash Marke tt .Scc C olum n C 2) U = B o o k V alue V = O t h er W = Es t im a te d

E =$15.0~1 - $50,0~O


8/15

FINANCIAL DISCLOSURE REPORTPage 8 o f 11

N a m e o f P e r s o n R e p o r t in gFr i edman , Pau l L .

D a t e o f R e p o r t05/13/2011

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 o.lfiling instructions.)D NONE(No reportab l e income , asse ts , o r transa ct ions . )

A. B. C.Description of Assets Income during Gross value at end( including t rust assets) reporting period of report ing per iod

(I) (2) (1) (2)Place "(X)" after each asset Am oun t Type (e.g., V a lue V alue

exempt f rom prior disc losure Code I div., rent, C ode 2 Method(A-H) o r i n t . ) (J-P) C ode 3(Q-W)

6 9 . - Di sc o v e r B a n k C D 3 . 5 % 0 5 /1 3 /1 4 ( Y )7 0. - PIM C o Re a l R et u m Fd (Y )

71 . -Vanguard STAR Fund(Y)

72 . IRA ACCOUNT #4 A Dividend

7 3 . - Fi rs t E ag le G lo b a l ( Y)74 . -Di scov e r B ank CD 3 . 5% 0 5 /1 3 /1 4 ( s O

75 . -PIMCo Real Return Fd (Y)76 . -Vanguard STAR Fund(Y)

77 . MO NEY MARKET ACCOUNTS:

78. T. Rowe Pr ice Tax Exempt Fd A Interest79 . Schw a b US Trea sury M o n ey Fd None

80. TAX EXEM PT FUNDS- BROK ERAGEA C C O U N T81. W il l Co un ty 5 .25% C Interest82. D eKa lbG O0% None

83 . Southern IL Univ0% None

84. Ne w Y or k Th r wy 5 . 2 5% B I n t e r e s t85 . A nn e Ar u nd e l C nt y 4. 2% B I n t e r e s t

K TJ T

T

K T

K TK T


o) (2) (3)T y p ~ ( e . g . , Date V a l u ebu y, se l l , m m /d d/y y C od e 2

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

Sold 07/19/10 K

(4 )G a i n

Code 1(A-H)

A

I d e n t i t y o fb u y e r / s e l l e r

( i f p r i v a t et r a n s a c t i o n )

S e e P a r t VlllSee Part Vlll

S e e P a r t VIIISee Part Vll l

See Part VIII

See Part VIII

See Part V Ill

See Part VIIi

I. In co m e Gain C o d es: A = $1,000 o r less B = $1,001 - $2,500 C = $2,5 01 - $5 ,000 D = $5,001 - $15.000(See Colurrms B I and D4) F =$50.001 - $100.000 G =$100.0~1 - $1.0OO,0~O HI =$1 ,0~ 0 .001 - $5 .0~ 0 ,0~ H2 =More than $5.00~.0~O

2 . Va lu e Co d e s J =$15.000 or less K =515,001 - $50,000 L =$50,001 - $ 100,0~0 M = S 100.0~ I - $250.09~( S e e C o lu m n s C I a n d D 3 ) N = $25 0,001 - $50~ ,000 O = $5 0~ .0~ 1 -$1.09 0,000 PI =$1,000,001 -$5,000,000 P2 $5.0~0,001 - $25.0~1~.000

P3 =$25.00~.001 - $50,090,000 P4 =More than $50,0~0.0~03. Value Method Codes Q =Appraisal R =C os t ( R ea l Es l a lC O nly) S =Assessment T = Ca s h Ma rk ct(See C o lumn C 2) U = B o o k Va lu e V O t h er W = Es t im a le d

E -$15,001 - $50,000


9/15


N a m e o f P e rs o n R e p o r t i n gFr i edman , Pau l L .

D a t e o f R e p o r t05113/201 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; seepp. 34-60 of filing instructlonx)N O N E (No reportable income, assets, or transactions.)

De sc r ip tio n o f A sse 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


exempt from prior disclosure C o d e 1 d iv. , r en t ,( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

O)T y p e (e.g.,

buy , s e l l ,r e d e m p t i o n )


(2) (3) (4)D a t e V a l u e Gain

mm/dd/yy 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

buye r / s e l l e r( i f p r iva te


86 . M a ss W a te r Po llutio n 3 .25% No ne

87 . ST OC K W ARR ANT S:

88. None

89 . INVESTMENT PARTNERSHIPS:

90 . A I n t e r e s t91 . ~::~:: :: .... ~ m R e n t92 . A R e n t93 . LIFE INSURANCE

94 . Securi ty M utual Life Ins. Co. of NY C DividendUniversal Life Policy9 5. M a s s M u tu al Li fe ln s Co B Dividend

K

J

J

M

K

WW

W

TW

Buy 07/22/10 K

See Part Vll l

See Part V III

I . In c om e Gain C o de s: A :$ 1 ,000 or less B :$ 1.001 - $ 2,5 00 C = $ 2.501 - $5 ,000 D :$5 .001 - $15 ,000(See C o lumns BI and D4 ) F = $ 5 0.0~1 - $100.0~ ) G = $100.001 - $1.000.000 H I =$1.0~0.001 - $5.0~.0~0 H2 =More than $5,000.0~0

2. V alue C od es J = $15,0~0 o r less K = $15.001 - $50.000 L :$ 50.001 - $ 109 .00~ M :$100.001 - $ 25 0.000(S~ :c C o lum ns C I an d D3) N = S250,0~1 - $500,090 O = $500,001 - $1.000.000 P I = $1.000.001 - $5,0~0,090 P2 =$5,000.001 - $25,000,000

p3 = $25,0~0.001 . $50.000.000 P 4 More than $50 ,000 .0003. Va lu e Mcth o d Co d e s Q= Ap p ra i s a l R C o , t ( R e a l E s ta l e O n l y ) S A s~ ,c ssmcn t T = C a s h M a r k c t{.Sc Column C2) U = B o o k Va lu e V = O t h e r W =E~,limated

E =$15,001 - $50,000


10/15


N a m e o f P e r s o n R e p o r l in gFriedma n, Paul L .

D a ~ e o f R e p o r t05/13/2011

V I II . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (Indicate part of report.)E X P L A N A T O R Y C O M M E N T S f o r P A R T V I I ( b y L in e I t e m N u m b e r ) :1) The o rder in w hich asse ts ar e l i s ted fo r ca lendar year 2010 has changed s l igh t ly f rom the o rder l i s ted in the 2009 r epor t . Th i rd Avenue Value, G oldman SachsCD 1.75% 12/31/09 , Amer ican B eacon In t l Equi ty Fd , Am er ican Beacon Sm al l Cap Va lue Ins t , US Treasury STRIP 0% 11/15/14 , Dodge & Cox In ternat ionalSto ck F d , Gab e l l i Smal l Cap Gro wth F d , T . Ro w e Pr ice Cap i t a l A p p rec ia t io n F un d , an d M ass GO 5 .5% were d e le ted f ro m th e l i s t, b ecause th ey were co m p le te lyso ld o r ma tured in 2009 ( as ind icated in the 2009 Financia l Disc losure Rep or t ) . Other than the afo reme nt ioned cha nges , the o rder i s c lose to that o f the 2009rep o r t a s a l l n ew in ves tmen t fun d s fo r 2010 a re l is t ed a t th e b o t to m o f th e ap p ro p r ia te acco un t .23, 32 , 46 , 47) Al l asse ts (PIMCo R eal Return , F i r s t Eag le G lobal , Discover Bank C D and Van guard STAR Fund ) in IRA ACC OUNT #3 w ere t r ans f er red in k indt o IRA A CCOU N T # 1 o n 03 /26 /10 . P IM Co Rea l Re turn an d F i rs t Eag le Glo b a l p o s i t io n s were p rev io us ly o wn ed (an d rep o r ted ) in IRA A CCOU N T # 1 p r io r toth e t ran s fe r o fas se t s fro m IR A A CC OU N T # 3 an d th e ex i s t in g p o s i t io n va lues were in c reased as a resu l t o f th e rece ip t o f as se t s t ran s fe r red f ro m IR A A CC OU N T# 3 . Di s c o v e r B a n k C D a n d V a n g u a r d S T A R F u n d p o s i t io n s w e r e n o t p r e v i o u s l y o w n e d i n I R A A C C O U N T # 1 p r i o r t o t h e r e c e ip t o f a s s e ts f r o m I R A A C C O U N T#3 and ther efo re had no t p r ev ious ly been r epor ted in th i s accoun t . IRA AC CO UNT #3 w i l l no t be l i s ted in future year r epor t s because the acco un t value as o f12/31/10 was $0 .63, 64 , 65, 66) Al l asse ts (F i rs t Eag le G lobal , Discover Bank CD, V anguard STAR Fund and PIM Co R eal Return ) in IRA AC CO UNT #4 w ere t r ans f er r ed in k indt o IR A A C C O U N T # 2 o n 0 3 /2 6 /1 0 . Fir s t Eag le Global , Discover Bank C D, Vanguard STAR Fund and PIM Co R eal Return pos i t ions w ere no t p r ev ious ly ow nedi n I R A A C C O U N T # 2 p r i o r t o t h e r e c e i p t o f a s se t s f r o m I R A A C C O U N T # 4 a n d t h e r e f o r e h a d n o t p r e v i o u sl y b e e n r e p o r t e d i n t h i s a c c o u n t. I R A A C C O U N T # 4wi l l n o t b e l i s t ed in fu ture year rep o r t s b ecause th e acco un t v a lue as o f 12 /3 1 /10 was $ 0 .

68, 69 , 70 , 71) Al l asse ts (F i r s t Eag le Global , Discover Bank C D, PIMCo R eal Return Fd and V anguard STAR Fund ) in IRA AC CO UNT #3 w ere t r ans f er r ed ink in d to IRA A CC OU N T # 1 o n 03 /26 /10 . IRA A CC OU N T # 3 wi l l n o t b e l i st ed in fu ture year rep o r t s b ecause th e acco un t va lue as o f 12 /3 1 / I0 was $ 0 .73 , 74 , 75, 76) Al l asse ts (F ir s t Eag le G lobal , Discover Bank CD, PIMC o Real Re tum Fd and V anguard STAR Fund) in IRA AC CO UNT #4 w ere t r ans f er r ed ink in d to IRA A CC OU N T # 2 o n 03 /26 /10 . IRA A CC OU N T # 4 wi l l n o t b e l i st ed in fu ture year rep o r t s b ecause th e acco un t va lue as o f 12 /3 1 /10 was $ 0 .88 ) s tock w ar r an ts . Four Con t ingen t Payme nt Righ ts i s sued to fo rmer l imi ted parm er s o n 1993 .90) Was a l located inves tm en t expense o f $2 and Othe r Deduct ions o f $276.91) Was a l located income o f $506 f rom r en ta l r ea l es ta te ac t iv i t ies , in ter es t income o f $2 , and a deprec ia t ion ad jus tmen t o f $17 .92) Was a l located income o f $506 f rom r en ta l r ea l es ta te ac t iv i t ies , in ter es t income o f $1 and a deprec ia t ion ad jus tmen t o f $18.

94) Univer sa l L i f e Po l icy taken out on 08/I 8 /05 as a r esul t o f a Sec t ion 1035 Exchange f rom tw o exis t ing Whole L i f e Po l ic ies i s sued by same insurance company.Per son R epor t ing i s I nsured and Ow n er " ~ i ) " ] s Benef ic iary . No under ly ing inves tmen t op t ions . The g ain on the po l icy fo r 2010 w as $3 ,512.29 and w as no tcurren t ly t axab le .95) G roup Flexib le Prem ium Adjus tab le L i f e Insurance Po l icy i s sued by fo rmer emp loyer in 1993 . Per son Repor t ing i s I nsured and Ow ner .


11/15

FINANCIAL DISCLOSURE REPORTP a g e 1 1 o f 1 1

Name of Per son Repor tingFriedman, Paul L.

Date of Report05/13/2011

IX. CER TIFICATION.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 , tr 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 w 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 ti n g n o n - d i s c l o s u re .1 f u r t h 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 i d e e m p l o ) ~ n 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 ~ v h i c h h a v e b e e n r e p o r t e d a r e i n

c 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 .

Signatur e: S/Paul L. Friedm an

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 IF I E 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 Di s c lo s u r eAdminis t ra t ive Off ice o f the Uni ted Sta tes Cour t sSui te 2-301O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D.C . 2 0 54 4


12/15

FINANCIAL DISCLOSURE REPORT

FRIEDMAN, PAUL L. 5 /13/11


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FINANCIAL DISCLOSURE REPORT

FRIEDM AN, PAUL L. 5 /13 /11


14/15


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F IN A N C I A L D IS C L O S UR E R E P O R T

FRIEDMAN, PAUL L. 5 / 1 3 / 1 1

paul l friedman financial disclosure report for 2010

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