victor marrero financial disclosure report for 2009

8/3/2019 Victor Marrero Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/victor-marrero-financial-disclosure-report-for-2009 1/24

Ia o t0 I F I N A N C I A L D I SC L O S U R E R E P O R T R e p o r t R e q . i r e a b y th e E t h i c s

i n Government A ct o f 1978,~ev.//2010

I FOR CALENDAR YEAR 2009 (.s u.s.c. ,pp. ~§ 1O~-llt)

1. Person Reporting (last name. first , middle initial) 2. Court or Organizat ion 3. Date o f Report

Marrero, Victor U.S. District Court, S.D.N.Y. 0611 f 2010

4, Title (Ar6cle I| l judges indicate active or senior stazus; 5a. Rep ort Typ e (check ap p rop riat e t yp e) 6. Report ing Period

magistrate judges indicate full- or part-time)] Nomination, D ate 0 1 / 0 1 ; ’ 2 0 0 9

U.S. District Judge - Active [] Initial ~ Annual [] Final to

1 2 / 3 1 / 2 0 0 9

5b. [] Amended Report

7, Chambers or Off ice Ad d ress 8 , O n t h e b a s i s o f t h e I n f o r m a t i o n c o n t a i n e d I n t h i s R e p o r t a n d a n ymo diflca t ton~ perta ining thereto , i t i s , in my o pinion, In compliance

U.S. District Court, SDNY . w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

5 0 0 P e a r ! S t r e e t

New Y,wk. New York 10007R ev iew in g Offic er Da te

Iz~IP ORT ANT NOT ES: T he ins t ructions accom pany ing th is fo rm m ust be fo l loweCL Comple te al l par ts,

checking the NONE box for each part where you have no reportable inform ation. Sign on last page.

~ N O N E (No reportablepositions.)

PQSITION N A M E Q F O R G A N I Z A T I O N / E N T I T Y

1. T r u s t e e New York Public Library

~N O N E (No reportable agreements.) ~ ~ ~

~ PARTIES AND TE~S

1 .



Name of Person Reporl |ngI

Date o f ReportF I N A N C IA L D I S C L O S U R E R E P O R T

Pa ge 2 o f 24 Marrero, Victor

[

06/I/2010

I lL N O N - I N V E S T M E N T I N C O M E . r R e p o n i . ~ individual andsp .... ; aeepp. 17 -24 of f i l ing ins t ruct ions.)

A . F li e r ’s N o n - I n v e s t m e n t I n c o m e

N O N E ( N o reportable non-investment income.)

D A T E SOURCE AND TYP E I NCOME(yours, not spouse’s)

1,

2.

3.

4.

B . S p o u s e ’ s N o n - In v e s t m e n t I n c o m e - t fy o u we,e married during a,y portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

~ N O N E (No reportable non-investment incomeO

D A T E SOURCE AND TYPE

1. 2009 municipal government official

2.

3,

4.

I V . R E I M B U R S E M E N T S - ,, o .~ p o . , . a o ~ ~od ~i.~, food . .. . .. ,.i .... ~(Includes those to spouse and dependent children; see pp. 25-27 of filing inst~tctions.)

N O N E (No reportable reimbursemems.)

~ ~ LOCATIQN PU~OSE ITEMS PAID OR PRQVIDED

2.

3.

4.

5.



F I N A N C IA L D I S C L O S U R E R E P O R T ~ a ~ o t r ~ r ~ o . ~ p o r . ,, ~ D . ,e o ~ ~ o .

of 24 , ~ r ~ c r o , V i c t o r 0 6 / 1 / 2 0 1 0

V. GIFTS. a,,~,,a~

N O N E ( ~ V o reportable g~s.)

~ DE~RIPT1QN

1 .

2.

3.

4.

5.

V I . L I A B I L I T I E S . a , ~ , a . ~ 1 ~ o ~ , / ~ p ~ , ~ . , ~ ,~ a ~ p , ,d , , , ¢ a i u , , ,: . ,, , , ~ . ~ - ~ of f!ling instructions0

N O N E ( N o reportable liabilities.)

C R E D I T O R D E S C R I P T I O N ~

1.

2.

3.

4.

5.



FINAINCIAL DISCL OSURE RE POR T ~ a , ~ e o f P e . . .. a e p o r . . g D a t e

Pa ge 4 o f 24 Ma r r er o , V i c t o r 06/1/20

~ N O N E (No reportable income, asset& or transactions.)

Descr ip t ion of As~ ts I n c o m e d u r i n g G ro ~ v a lu e a ~ e n d T ~ n s a c t i o n s d u r in g ~ n i n g ~ d o d

r e po r t i ng pe r i o d o f r ~ o n i ng pe do d(including t~st a~ets) :,

P l a c e " ( X } " a ~ e r e a c h a s s e t Amoun t T y ~ ( e .g. , V alue V alue Ty~ (e .g., D a t e ~ V a l u e G a i n I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c l o s u re Co de I : d i v . , r e n t . C o d e 2 M e th o d buy, sell, ~m~d~ ’. C~e 2 Code I buyer/sel ler(A-H) ~ or int.} (J-P) Code 3 redemption)

~ ( Q - W ) ~ ~ r a n s = c f i o n )

1. C I T [B A N K K E ~ H A C C O U N T : ( s ~ e l i n e s2 and 3)

2. CD’s A Interest K T

3, Annui ty-Transamer ica A Interest K T

4. P U TNAM RE TI RE M E NT I RA: ( s e e l in e 5 )

5. Balanced Retir ement C 1 -A B Interest K T

6. SU N AM E RI CA I RA: ( s e e l i n e s 7 a nd 8 )

: : 7 . SunAr ne r i c a Ba l a nc e d A Di v i de nd K T

8. S unArner i ca Goldman S achs A Di v i de nd K T

9. ) P U T N A M I R A : ( s e e l i n e 1 0)

10 . Balanced Ret i rement CI -A A Di v i de nd J T

I l. D R E Y F U S N Y T A X E X E M P T F U N D D Di v i de nd N T

1 2 . S C H W A B : C o n E d - c o m m o n s t o c k B Di v i de nd K T

1 3 . NY STATE TU I TI ON SAV I NG S P LAN A Dividend l T

1 4 . J P M O R G A N C H A S E M O N E Y M A R K E T A Interest J T

15 . ) N Y C D E F E R R E D C O M P . I R A A Di v i de nd K T

1 6 .

1 7 .

(See Columri C2) U - B o o k V a l u e V , , Olh c r W =E s t i ma t e d



FINANCIAL DISCLOSURE REPORT IN , m e of P . . . . . R e p o r t i n g D a t e o f R e p o r t

P a g e 5 o f 24

I Marrero, Victor

06/1/2OI0

V II. INVESTMENTS and TRUSTS - i~, ......~ . , . . . . . . , i o n a ~ ¢ t , a , s , ,~

~ N O N E (No reportable income, ~sets, or transaction.)

~scfiption o f As~ts ~Income dufng Gross value at end T~nsactions du~ng ~ing

(including trust asse~) ~ reining peri~ of reposing

(I) ] (2) (I) ~ (2)

PIace"(X)"a~er each asset Amount ~ Type (e,g., Value ~ Value T~e (e.g,, ~ Date ~ Value Gain Identity of

exempt from priordi~losu~ C~e I [ div., rent, C~e 2 ~ Mefl~ buy,~ll, ~m~’d~t~ ~ Code 2 C~e 1 buyer/seller

,A-H) [ or int.) ( J -P ) ~ Code 3 ~dempfion) (J-P ) (A -H ) (if private

, ~ t t r a n ~ i o n )........ ~ ~ ....... t...

~ Q - W ) ~ .t ..................

1 8 . FIDELITY ROLLOVER I~A: Isee lines t9t h r o u ~ 175)

1 9 , P u r i t a n Sold 1i7/09 N

20 . M a g e l la n S o l d 1/7/09 ¯ N

21. C o n r a f u n d Sold 1/7/09 L

22. F i d e li ty C a s h R e s e r v e s A I n t e r e s t J T

2 3. S pa r ta n 50 0 I nd ex F id Ad v Cl a ss A Dividend B u y I/8/09 K

24. S o l d 3/5/09 J

( p a r t )

25. So ld 3/7/09 J

( p a r t )

26. So ld 7/23/09 J A( p a r t )

2 % Sold 8/27/09 J B( p a r t )

2 8 . S o l d !0 /14/09 i J B

29. FideliU Real Estate Invest, A Dividend B u y 1/8/09 Ji

30. Sold 3/5/09 J

( p a r t )

3 I . S o l d 3/27/09 J

3 2 . F i d e li ty P a s S m a l l C a p F u n d A Dividend K T B u y I/8i09

3 3 . B u y 3/5/09

3 4 . S o l d 6/3/09( p a r t )

I nc o m e G a i n C o d e s : A = $1,000 o r l e s s B =$1,0O I - $2,5 00 C = $2.5 01 - $5 ,000 D =$5.001 - $t 5.000 E -$15,001 - $50,000

3 . V alu e M ¢~ o d C o d e s Q = A p p r a i~ l R Cost (Real Es~ Only) S = A s ~ s s m e n t T =Cash M~et

(See Colu~ ~) U = B o o k V a lu e V = O the r W ~ E s t im ale d



F I N A N C IA L D I S C L O S U R E R E P O R T r~ ....fe ..... R ~ p o r t i . g ~ , . ,e a ~ e p o r t

Pa ge 6 o f 24 Marrero, Victor 06/1/2010

N O N E ( N o reportable income, assets, or transactions.)

Desefption of Asset~ Income during Gross value at end Transactions during reining

(including trust assets) ~ re~ ng p*ri~ of reposing period

: ~1) (2 ) (t) ~2) , {I) ] <2) [ ~3) (4)

Place "(X)" after each as~t ’ : A m o u n t "r~e (e.g,, Value V a l u e~

Ty~ (e.g., ~ Date Value Gain Identity of

exempt from p d or d i~ l o s u r e ~ Code I div.. rent, C~e 2 Method ~ buy, s¢tl,~ m ~ ’ d O ~ ~ l C o d e 2

C~e I buyer/seller

~ (A-H) or int.) ( J -P ) Code 3 redemption) ~ ] (J-P) ( A - H ) (if private

~ r a n m c t i o n )

3 5 . F i d e l i w P a s S m a l l C a p F ~ d ( e o n t ’ d ) S o ld 7/23/09 J A(pa ~)

3 6 . S o l d 8/27/09 J B

3 7 . Fideli~ P~ lnt’l Fund A Dividend M T B u y 1/8/09 K

3 8 . Buy 3/5/09 J

3 9 . S o l d 3/27/09 J(part)

40. S o l d 6/3/09 J A(part)

4 I. Bu y 7 1 2 3 / 0 9 K

42 . B u y 8;27/09 K

4 3 . B u y 8/28/09 J

44 . S old 1 O / 1 4 i 0 9 J AIpart)

4 5. Fide l i ty Pas U S O p p . F u n d A Dividend K T B u y I/8/09 K

4 6 . Fidel i ty Dividend Growth A Di v i de nd 3 T Bu y 10/14/09 J

4 7 . Bu y 10/14/09 J

48 . Fidel i ty. Select Gold J T Bu y 3/5/09

4 9 . Fide l i ty Capital & Income C Di’,’ idend K Y Bu y 1/8/09 K

5 0 . Bu y 3/27/09 J

5 I. S old 6/3/09 J A( p a r t )



Ia m ¢ o f P e r s o n R e p o r t in gI

Date o f Report

FINANCIALpage 7 of 24 D I S C L O S U R E R E P O R T I M a r r e r o , V i c t o r

I

0 6 / I / 2 0 ~ 0

N O N E ~ro reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s ~ s ~I n c o m e d u r i n g ~ G r o ~ v a l u e a t e n d T ~ n s a c f i o n s d u r i n g r e i n i n g

( i n c l u d i n g t ~ s t ~ s c t s )[

~ing pefi~ :: of reposing pe6~

i (~ ~ (2) ~ O) ~ {2) : {~} (2) ] O) (~) ~)

P l a c e " ( X ) " a f t e r e a c h ~ s e t A~oun~ i Ty~ (e.g., ~ Vah*e ] Value ~ T~ (~.g., Dat ~ V a l u e G ai n

e x e m p t [ ~ o m p r i o r d i s c l o s u r e " C~e I ~ d i v . r e n l , ~ Code 2 Me~h~ b u y , ~ I I ,.m~d~ C~ 2 :~ Co~

(A-H~ ~ o r i r a 3 ( J - P ) C o d e ~ ~ r e d e m p t i o n ) , 0-P) {A-H) ( i f p r i v a t e

(Q-W) . .~ ~ ~nsaction)

I S o l d 7/23/09 ] B2. Fidelib-Capital & Income cont’d)(pa~)

[

53 . S o l d 10/14/09 J A

~ 4 . Fideli~ Inves~ent Grad~ B Dividend L T Buy I /8/09 K

55. S o l d 3 / 5 / 0 9 J A(part)

5 6 . Bu y 3/27/09 J

5 7 . S o l d 5 / 1 9 1 0 9 J A(part)

5 8 . Bu y 6/3/09 J

59 . Sold 10/I 4/09 J A( p a r t )

6 0. Fidelity Short Term Bond A Dividend K T B uy t,"8/09 K

6 i i Buy 3/27/09 J

62. Bu y 6/3/09 J

6 3 . S o l d 7/23/09 J A(part)

64 . Bu y 1 0 / 1 4 / ’ 0 9 J

6 5 , Fidel i ty Tota l Bond B Di v i de nd L T Bu y I/8/09 K

6 6 . SoId 3 / 5 / 0 9

( p a r t )

6 7. Buy 3/27/09

68 . Bu y 6/3/’09 J



F I N A N C I A L D I S C L O S U R E R E P O R T N , m e o f P e r s o n R e p o r t i n g D , l e o f R e p o r t

P a g e 8 o f 2 4 M a r r e r o , V i c t o r 06/1/2010

VII. INVESTMENTS and TRUSTS - ~ .... e , value, transactions (Includes those of s~ouse and dependent children; see pp. 34-60 o/fitlng instructions.)

~ ] NONE income, as’sets, or transactions..)eportable

D e s c ~ p t i o n o f A s s c t ~i

i n c o m e d u ~ n g G r o s s v a l u e a t e n d

( i n c l u di n g t ~ s t z s s e ~ s ) ~ re~ing p~iod 3 f r c p o m n g

~ {t) ~ (2} {I) (2)

P l a c e " { X } " a f t e r e a c h ~ s e t ] A mo u n t ’ Ty~ {e.g., V alue V alue T~ {e.g.,; C o d e I :, d iv. , ren t . C M e 2 M e t h Mexempl from prior disclosure. _

(A -H} or in t . ) {J-P) C o d e 3 ~ d e m p t i o n } {J-P) (A -H) ( i f pr iva t e

( Q- W ) tr~ction)

] B uy 8 i27 /09 J69 . Fidclfly Total Bo~d (cont’d)

!70 , Fidelity Pros Core Income Fund C Dividend L T Buy I/8/09 K

71 . B u y 3/27/09 J

72. B u y 6/ 31 0 9 J

73 . B uy 7 / 23 / 09 J

74 , Bu y 10/14/09: J

75. F i de l it y P a s Inc o m e O pp F und C Di v i de nd K T Bu y 1/8/09 K

7 6 . S o ld 7/23 /09 J A

{ p a r t )

7 7. Fidelity Money Market A D i v i d e n d J T B uy 7123Ar’3 J

78.’’ S o ld 8 /18 /09 J(part)

79 . Buy 8127/09 J

80 . Sold 1 I/24109 J(p~)

8I. A]lianz NFJ Divident Value A D i v i de n d K T B uy I/8!09 K

82 . B uy 3/5 /09 J

83 . Sold 6/3 /09( p a r t )

8 , 1 . Sold 8/27/09

( p a r t )

85 . Dreyfus Appreciation Fund A D i v i de n d K Y B u y 1/8/09

V alu e M e ~ o d C o d e s Q ~ A p p ra i~ l R ~ C o ~ t (R c al E ~ ate O ~ ly) S

(See Col~n C2) U -~ B ~ k V a lu e V -O th e r W = E s t i m a t~



F I N A N C IA L D I S C L O S U R E R E P O R T ~ a m e o r ~ e r s o n R e p o r ~ |n g O ~ . e o f a e p o .

Pa ge 9 o f 24 Marrero, Victor 0611/2010

VII , I N V E S T M E N T S a n d T R U S T S - in c o , . e. .. .t ~ .. . ...... ,io.. a~a~ae. ,~o se o~ .~ ...... ~ ~.~.~, ~iu~.; .~. ,p. ~-6o oy~ti~a

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

Description of As~ts Income during Gross value at end ~ T~nsactions d~ng ~ing ~fiod

(including t~st ~se~) reining peri~ of reposing ~fi~

~-~) ~ d~ ........ ~ ......... (~ . . . . . . . . .. . . . . . .~) ~ (~) ~ (~) (4) ( ~ )t*lace"(XF afte reach ~s~t ~Amount T~(¢.g., Value ~ V a l u e T~ (e.g., ~ Date ~ Value Gain Identity of

e x e m p t f r o m pr ior u i~tosure ~ C t M ¢ 1 div.. rent, C~e 2 ~Meth~ buy, sell, ~m~d~’yy ~ C~e 2." C~e I buyeu’selIer

[A-H) or int.) 0-P) ~ Code 3 redemption) ~ . (j.p~ i (A-H) (if private

8 6 . D r o y ~ s A p ~ r e c i a t io n F u n d ( c o n t ’ d ) Bu y 3/5/09 J

87. Sold 3/27/09 J

( p a r t )

8 8 . S o l d 6/3/09 .r A( p a r t )

8 9 . Sold 7/23/09 J A( ’ p a r t )

90 . Sold 8/27/09 J A( p a r t )

9 1 . G o l d m a n S a c h s L a r g e C a p V a l u e A Dividend K T B u y 1/8/09 K

92. Sold 6/3/09 J A

l ( p a r t )

93. S o l d 7/23/09 J A(pan)

: . 9 4 . S o l d 8 / 2 7 1 0 9 J A

I ( p a r t )

95. H a r t f o rd G r o w t h O p p C l a s s A J T B u y I/8/09 K

9 6 . S o l d 3/27/09 J

(P~)9 7 . S o l d 6 / 3 1 0 9 J A

( p a r t )

9 8 . S o l d 7/23/09 J A

( ~ a n )

9 9 . S o l d 8/27/09 J A( p a r t )

1 0 0 . H a r t f o r d C a p i t a l A p p r e c ia t io n C l a s s A J T B u y 1/8/09 K

1 0 1 . S o l d 3/5/09

(pan)

1 0 2 . S o l d 3/27/09(pa r t)



F I N A N C IA L D I S C L O S U R E R E P O R T N .... , P e . . .. . e p o r . n g D a t e o f

Pa ge ! 0 o f 24 Marrero, Victor 06/1

VII. INVESTMENTS and TRUSTS -i .... e , value, , ...... t ions (Inc ludes those o f spouse and dependent ch ildren; see pp. 34-60 of filing instructionsO

]~ N O N E (No reportable income, assets, or transactiom~)

¯~ .......... i ............. c . " " ~ i . . . . . . . . . . . . . . . . . . .

Desc r ip t ion o~ Asse~s I n c o me d u r i n g G r o s s v a l u e a t e n d Transactions d~ng ~ing

( i n c l u d i n g t m s ~ a ~ e t s ) ~ing period of repoaing ~n ~ ~

e l a c c " ( X ) " a ~ e r e a c h a s s e t , A m o u n t Type(e.g,. V a l u e : V a l u e [ Ty~{e.g.. ~ Da~e ~ Value Gain Idemityof

e xe m p t f r o m p r i o r d i m l o s u r e C~e 1 div . , r e i n , C o d e 2 Meth~ ’. buy, se l l , m~d~ [ Code 2 C o d e 1 buy~seller

(A-H) o r i n t , ) (J -P) C o d e 3 [ ~ d e m p l i o n ) ~ (J-P ) (A -H )

103. Ha~ford Capital Appreciation Cl~s A S o l d 613/09 J A

(cont’d) (p~)

l~. Hotchkis & Wiley Large Cap Value Cl~s A A D i v i d e n d K T Buy I /8/09 K

1 0 5 . S o l d 3i27/09 J

(part)

1 0 6 . S o l d 8/27/09 J A(part)

1 0 7 . P e r k i n s M i d C a p V a l ue F u n d C 1 J A Di v i de nd J T Bu y 1/8/09 J

108. S o ld 6 /3 /09 J A

{ P ~ )

1 0 9 . So ld 7/23/09 J A( p r o )

I t0. JPMorgan US Lg Cap Core Plus A D i v i d e n d K T B uy 1/8/09 J

l I 1 . Bu y 3/5/09 J

1 2 . Bu y 6/3/09 J

1 3 . Bu y 6/23/09 J

1 4 . La z ar d E m e r g i ng M k t s Ope n CI ¯ A Di v i de nd J T Bu y 7/23/09 J

~ 5 . Bu y 8/27/09 J

1 6 . Bu y 10/14/09 J

! 7 . Le gg M a s o n C BA Lg Ca p G r o w t h A J T Bu y 1 , " 8 , " 0 9 K

1 8. Sold 3/2709 J A

1 9 . Sold . 8/27!09 J B(part)

E In c o m e Gr in C o de s : A = $1,000 o r le s s B ~ $1 J)01 - $2.51)0 C =$2,501 - $5 .000 D ~$~1 - II5,~ ................................



FINANCIAL DISCLOSURE REPORT N .... f P ..... Reporting Date of Report

Page 1 1 of 24 m a r r e r o , V i c t o r 0 6 / 1 i 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i . . .. e , v a l u e , t r a n s a c t i o n s ( I n c l u d e s 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 io n o f A s s e t s Income duang G r o s s v a l u e a t e n d T ~ n s a c t i o n s d u f n g ~ a i n g ~ 6 o d

( in c l ud in g t~ s t ~ s e ~ ) [ re~aing peri~ , o f r e po s i ng ~ f i ~

P l a c e " ( X ) " a R e r e a c h ~ s e t [Amo~t[ T~(e.g., [ Value ~ V a l ue Ty~(¢.g., D a t e l V a l u ¢

.... pt from prior di~! ..... C M e I di ...... 1, [ C o d e 2 ~ M e t h o d [ buy ,~ t , , ]m~d~. ]

1 2 0 . M FS ln t ’ l Va lue Fun d C I A A Di v i de nd J T B uy 7 1 2 3 / 0 9

1 2 1 . Bu y 8/27/09 J

12 I M FS Resea r ch [n t ’ l C t ~s A A Di v i de nd J T Bu y 7 / 2 3 / ~

1 2 3 . Bu y 8/27/09

1 2 4 . M a i ns t a y Lg Ca p G r o w t h F und CI A K T Bu y 3/5/09 K

2 5 . Bu y 3 / 2 7 1 0 9 J

j26. Buy 8/27/09

1 2 7 . M a r s i c o F o c us A Dividend J T Bu y 1 1 8 / 0 9 K

1 2 8 . S o l d 3/5/09 J

1 2 9 . S o l d 6/3/09 J ] A

1 3 0 . Sold 7/23/09 J ] A(p~)

1 3 1 , M ~ t e r ’ s Se l e c t I n t ’l I nv e s t A Dividend J T B uy 7/23/09 J

t32. Bu y 8/27/09 J

1 3 3 . M e r g e r F u n d A Dividend K T Bu y I/8/09

1 3 4 . S old 3/5[09 J

1 3 5 , Bu y 6 1 3 / 0 9

1 3 6 . Bu y 10/14/09 J

( S ee C o lu m n s B I an d D 4 ) F =$50,001 - $100,0OO G =$ 100,001 - $ I,0~ O ,000 H I = $1,00 0,001 - $ 5,0O O .000 H2 =M o r~ t h an $5 , 0 OO, 0 0 0

2, V alue C o de s J = $15 ,000 o r [¢s $ K =$ 15,00| - $50,000 L

( Se e C ol un ~a ts C1 an d D 3) N = $25 0,0O I - $ 500.000 O =$500,~OI - $1,0OO.0OO P1 =$I,O00,001 - $5,000,000 P2 =$5.6OO ,0OI - $25,000.000

P3 =$25,000.OO 1 - $50,000,000 P4 =M ore Ihan $50,000,0OO

3. V M u ¢ M e t h o d C o d e s Q ~ A ppr a i sa l R =C o s t (Re a l E s t a l c O n l y ) S =A s : s e s sme a t T = C ash Mar k e t

( se e C o lu m n C 2 ) U = B o o k V a lu e V =O the r W =E s t im ate d



FINANCIAL DISCLOSURE REPORT [ N ....

f P ..... Reporting Date of Rcpor,

P a g e 1 2 o f 24

] Marrero, Victor

06/1/2010

N O N E ~ o reportable income, ~sets, or transaction.)

Description of As~ts Income d~ri~g ~ Gross value al

(including t~st assc~) re~ing period ~ of reposing

Place "(X}" a~er e~h as~t Amount ~ Ty~ (g., V a l u e Value T)~ (g., ] Da~: Value Gain Iden~i~" of

exemp~frompriordi~losu~ ~ C~] ~ div.,rent, C~~ Merh~

~ (A-H) orinl.) ( J -P ) Code 3 redemption) [

1 3 7 . M o r g a n S ~ l e y M i d C a p G r P o ~ C 1 P K T Bu y 1 ~ 8 1 0 9 K

1 3 8 , S o l d 3 1 5 / 0 9 J

( p a ~ )

1 3 9 . S o l d 3/27/09 J A~par,)

1 4 0 . S old 6/3/09 J A(p~)

1 4 I . S o l d 7/23/09 J A(part)

1 4 2 . S o l d 8/27/09 J B(part)

1 4 3 . Pimco Tota l Return Adm Shs C Di vi dend L T Bu y 1 / 8 1 0 9 L

1 4 4 . S o l d 3/5/09( p a r t )

1 4 5 , Bu y 3 ! 2 7 / ’ 0 9

1 46. B uy 8/27/09 J

1 4 7 . Sold 10/14/09 J A(par t)

I48. Pimco Shor t Term Adm Shs A Di v i de nd K T Bu y t/8/09 K

1 4 9 . Bu y 3/5/09 J

1 5 0 . Bu y 3/27/09 J

1 5 I . Bu y 6/3/09 J

5 2 . S old 7/23/09 J A

( p a ~ )5 3 . B uy 10/14/09 J



N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tF I N A N C I A L D I S C L O S U R E R E P O R T

Marrero, Victora ge 1 3 o f 2 4 0 6 / i / 2 0 1 0

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 o m e , v * ~ . o , , ..... , i o n s ( I n c l . d e s t h o s e of w . . . . . n d d e p e n d e n t c h i l dn ; s e e p p . J 4 - ~ of f i l ing instruct lon~)

N O N E ( N o reportable income, assets, or transactions.)

.............A .

i~

" a . ~ C . - ........... O. " .........

D e s c m F t i o n o f A s s e t s I n c o m e d u m n g ~ Gross value at end "rr~sactions d~ng ~ing ~ n ~

(inc luding tes t ~se ts ) ~ n i n g p e r i o d of reposing ~

Place "{X)" a~er each ~t , A m o u n t Ty~ (e .g., Value Value T~e (e.g,, ~ D a t e V a l u e ~ G a i n ] l de n t iW O l

exempt f~m ~f ior d isc losure C ~ e 1 d i v . , r e n t . C ~ e 2 M e t h~ buy, sell, m~’d&yy C~e2 C~e I ] buyer!sel ler( A - H ) orint3 ( J - P ) Code3 r e d e m p t i o n j ~ : ( J - P ) l e A - H) ] 0fpfivate

.................................. :. ......( Q -W J ~ ] ~ t~n ~c t ion )

1 5 ~ . P in t o C o m e R e a l R e t S ~ a t A d m B Di v i de nd K T Bu y I/9/09 K

1 5 5 . S o l d 3 /27/09 J(part)

1 5 6 . P i m c o F o r e i gn Bo nd F und U nhe dge d A Divide n d Buy I/8/09 K

1 5 7 . S o l d 6/3/09 K A

1 5 8 . T Ro w e P r i c e G r S t o c k Adv CI A Divide n d Buy 1/8/09 K

1 5 9 . Sold 3/5/09 J(part)

1 6 0 . So ld 6 /3 /09 J A

1 6 1 . Sold 7/23/09 J A(par t)

1 6 2 . S o l d 8/27/09 J B

1 6 3 . T Ro w e P r i c e H i gh Yi e l d Adv CI B Dividend K T Bu y 1/8/09 K

1 6 4 . Ro yc e P e nn M ut F und J T Bu y 3 / 5 / ’ 0 9 J

1 6 5 . S old 6/3/09 J A( p a r t )

1 6 6 . S el ec t ed Amer i can S hs C 1 S A Dividend K. T B uy 1/8/09 K

I1 6 7 . S o l d 6/3/09 J A

(part)

1 6 8 . S o l d 8 1 2 7 / 0 9 J A(part)

.6 9 . Temple ton Global Bond C1 A A Dividend K T Bu y 6/3/09 K

1 7 0 . B uy 6/4/09 J



F I N A N C I A L D I SC L O S U R E R E P O R T N .... fPerson Repnrt |ng DateofReport

P a g e 1 4 o f 2 4 ~ z r r e r o , V i c t o r 0 6 / 1 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - income, ~ a J u s , , . . . . .. tio~ (Includes those of spouse ,rid dependent children; see pp, 34-60 of filing inMruc~on~)

~ N O N E (No reportable income, ~sets, or tra~action~.)

.............. ~. - ..................... ........~ . . . .. ~ .....c: .... ~ ........ ~. .........................Gro~ valu~ at end T ~s ae t ion s d u n n g ~p o~ in g~sc~pt ion of Assets ~ I n c o m e d u r i n g

( including t~s t ass~) ~ ~ing period

Place "(X)"a~r each as~t ~ A m o u n ~ [ T)~ (~.g., Value [ Value [ T~ (e . g ., ~ Date Val~ :: Gain Identi~ of

exempt from priordi~[osure ’ Code I ~ d W . ,r e n L Code 2 ~ Mcth~ [ buy, sell, mm!d~ Code 2 C~e I buyer/sel ler(A-8) o r i n t . )

17 l . Te ~ p!~ t o n G l o b a l Bo nd C[ A ( c o n t ’ d ) Sol~ 7/23/09 J A

1 7 2. W e s ~ o ~ S e l e c t C a p C I R A Di vi dend 3 T Bu y 1/8/09 K

1 7 3 . Sold 3/5/09 J(pan)

t 7 4 . Sold 7/23/09 J A(part)

1 7 5 . Sold 8/27/09 J A(part)

!76.

1 7 7. ~ F I D E L I TY R O L L O V E R I R A : (s e e l i n e si98 through 228)

178 . A m e ds to c k F un d S o ld 1/7/09 J

1 79 . Ar t i san ln t ’ l . S o l d 1i7/09 K

1 8 0 . F M I F o c u s F u n d S o l d I 1 7 / 0 9 J

1 8 1 . Oa k m a r k E qu i ty & I nc o m e F und S o l d I/7/09 K

1 8 2 . Ro yc e S t o c k F und S old I/7i09 J

1 8 3 . Fidel i ty (Sash Reserves A I n t e r e s t J T

1 8 4 . F i de l i t P a s Sm a l l Ca p F und A Di v i de nd J T Bu y 1/8/09 J

1 8 5 . Fidel i ty Pas lnt ’ I Fund A Di v i de nd J T Bu y 1/8/09 J

1 8 6 . Bu y 7/29/09 J

1 8 7 . Bu y 8/27/09

I In co m e G ain C o d es : A ~$1,0~0 o¢ le~s B =$1,001 - $2,500 C =$ 2. 5 01 - $ 5 , 0~ D -$5,001 - SIS ,000 E =$15,0OI - $50,000

(Se e C o l u nms B 1 a nd D 4 ) F =$50,001 - $100,00~ G ~$I00,0OI - $1,0~dO,0~O t t l =$1,000,~O 1 - $5,000.000 H2 =More than

2, V a l u e C o d e s J =$ 15 , 0~ o r l e s s K =$15,001 - $50,~O(~ L "=$50,001 - $100,000 M =$100,001 - $250,000

( S¢ c C ol um ns C1 a nd D3 ) N = $25 0,001 - $ 500,000 O ~$51~0,~O1 - $1,000,000 PI =$1,000.001 - $5,000,000 P2 *$5~ 000,0~1 - $25,000,000

P3 =$25.000.0OI - $50,000,000 P 4 = M o r e t l ~ n3 . V al u e M c ~ h o d Co < i t s Q ~ A ppr a i sa l R - C o s t ( R ea l E s la l e On ly) ~ - A s s e s s m e n t T = C ash Mar k e t

( S ee C o lu m n C 2 ) U ~ 8 o o k V a l u e V = O ~ h e r W "~Est imated



F I N A N C I A L D I S C L O S U R E R E P O R T

P a g e 1 5 o f 2 4 M a r r e r o , V ic t o r 0 6 / 1 / 2 0 1 0

V I I. I N V E S T M E N T S a n d T R U S T S - i .... . , . a ~ . ~ , ~ . . . . .. a o . ~ ~ . ¢ ~ . d o ~ , n o s ~ o ; ~ , ~ . . .~ a ~ , ~ . ~ . t, , ~ u ~ . ~ . ~

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

....................... ~. ~ ~ .~ . . . . .

c.Descopt ion of As~ ts t[ In come dun n g Gross value a t e n d Transact ions dur ing ~ning

(inc luding t~t asse ts ) ; m~ing peri~ ~ of repos ing per iod

P l a c e "(X)"afler e ac h asse~ Amoun t ~ T y p e ( e . g . , ~ Value ~ V a l u ~ T~e (e .g., : D ~ t e V a l u ~ Gain ldent iw of

exempt ~m prior disclosure Code I~ div.,rent, ~ C ~ e 2 ~ Met~ buy, sell ~ m~ d~ ) D ’ C ~ g 2 C ~ e I buyer /~ l ler

~ ( A - H } ~ o r i n t . ) ( J - P ) ~ C o d e 3 r e d e m p t i o n )~ ’

~ , ~ ( J - P ) ; , ( A - H ) ( i f p r i v a t e

: ~: ( Q - W ) ~ t ran~ct ion)............................ ~ ..... ~ ............. * ....... ~ ...................................

1 8 8 . F i d e li ~ P ~ U S O p p F u n d A Divideo~ J T Bu y t/8/09 J

1 8 9 . Fi de l i ~ Rea l Es t a t e I nc . A Di v i de nd J T Bu y 1/8/09 J

1 9 0 , Fidel i ty Capi ta l & Income A Dividend J T Bu y 1/8/09 J

1 9 1 . Fidel i ty Inves t Grade A Di v i de nd J T Bu y 1/8/09

1 9 2 , Fidel i ty Tota l Bond A Di v i de nd J T Bu y I/8/’09

1 9 3 . Bu y 7/29/09 J

1 9 4 . F i de l i ty P a s Co r e I nc F und A Di v i de nd J T Bu y I/8/09 J

1 9 5 , F i de l it y P a s Inc o m e O pp F und A Di v i de nd J T Bu y I/8/09 J

1 9 6 . S o l d 5/28/09 J A(par t)

1 9 7 , Fidel i ty Money Market A Di v i de nd J T Bu y I/8/09 J

t198, Bu y 3/27/09 J

1 9 9 . B uy 5/28/09 J

200. Al l i anz N FJ Di v i dend Va lue Fund A Di v i de nd B uy 1/8/09

2 0 I , S o l d 7t29/09(part)

202. S o l d 8/27/09

203, Am e r i c a n Be a c o n Lg Ca p I nv e s t A Dividend J T Bu y 7/29/09 J

204. Bu y 8/27/09 J



F I N A N C IA L D I S C L O S U R E R E P O R T ~ , m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r t

of 24 M a r r e r o , V i c t o r 06/D2010

N O N E ( N o reportable income, assets, or tra~actions.)

D e~ dp t io n o f A s~ t s ~ Income during Gro~ value at end ~ " F ~ ns a c t i o n s d~ ng m ~ i ng pe r i o d

( including t rust ~se~) [ ~ o n i n g p e r i o d ] o f r e po s i ng ~ r i ~

( ~ ) ( 2 ) O) ’ t2) (~ ) ’: (2) ’ ~3) (4) (5 )

Place "(X)" af ter ~ch ~set Amount T>~e (e.g, ~ Value V alue Ty~ (e .g., ~ D a t e V a l u e G a i n ldent iU of

e x e m p t f r o m p r i o r d i ~ l o s n r ¢ C o ~ I d i v . , r e n t , ~ C ~ e 2 M e th~ buy, sell, ;m m!d ff ’~ C ~ 2 ~ Co d e I buyer/sel ler~ ( A - H ) o r i n t . ) ~ ( J - P ) C o d e 3 r e d e m p t i o n ) (J-P) ] (A-H) ( i f p r i v a t e

......................................... ~ ..( Q -W ) t ~ n~ c t i o n )

2 05 . C r e d i t S u is s e C o m m d R i m S t ~ S h A Di vi dend J T Bu y !/8/09 J

2 06. Goldman S achs Lg C ap V a l f ns t l A Di v i de nd J T Bu y 1i8/09 J

207. John HancockUSGlobLeadGrCIA Bu y I ; ’ 8 , ’ 0 9 J

208.(part) Sold

/27/09

209. Sold 7 1 2 9 / 0 9( p a r t )

210. Sold 8/27/09

211, Janus Fund CI J Shs A Dividend J T B u y I/8!09

212. P e r ki n s M i d C a p V a l F d ln v S h s A Dividend J T B u y 1/8/09

213. L azar d Eme r g in g Mkts Op e n C 1 A Di vi dend J T Bu y 7/29/09 J

214. Bu y 8/27/09 J

215. Bu y 1 1 1 4 / 0 9 J

216. M a i ns t a y Lg Ca p G r F d C[ A J T Bu y I/8/09 J

2 1 7 . M e r g e r F u n d A Di vi dend J T Bu y 1/8/09 J

218. Me tr op o l i tan We s t L ow D u r a t ion M A Di v i de nd J T Bu y 1 t 8 1 0 9 J

219. Sold 3/27/09 J(part)

220. Pimco Tota l Return Adm Shs A Di v i de nd J T Bu y 1/8/09 J

221. Pimco Shor t Term Adm Shs A Dividend J T B uy 1 i 8 ; ’ 0 9 J

1, Income Gain C,~vdcs: A =$1,00~ or less B =$ !,001 - 52.300 C =$2,501 - $5 ,000 D =$5,1~1 -

3 V~lue Method C~ Q = A p p r n i~ l R = C o s l (R ~ [ E s ta t e O n ly) S =A~ssmenl T = C a s h M a r k ~(~cColu~ C2) O " ’ f lo o k V a lu e V =~her W - E s t i m at e d



FINANCIAL DISCL OSURE RE PORT r~ .... f P ..... R e p o r t i n g D a t e o f R e p o r t

P a g e 1 7 o f 2 4 M a r r e r o , V i c t o r 06/1/2010

N O N E ~ o reportable income, ~sets, or tra~actions.)

Descr ip t ion of As~ ts In c ome durin g Gross value at en d Tr a ns a c t io n s du f ng r e ~ o i ng ~ f i ~( including t rust ~se~) re~ing peri~ o f r e ~ i n g p e d ~

Pla~ "(X)" after each ~set : A m o u n t Ty~ (e .g., Value Value " V y ~ ( e . g ., D a t e V a l ue :~ G a i n I d e n t i t y o f

e x e m p l f r o m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d buy, sell, ~m~d~ C ~ e 2 ~ C ~ e I buyer i~[ le r( A - H ) o r i n t . ) t J - P ~ Co ~ 3 r e d e m p t i o n )

~( I - P ) ~ ( A - H ) ( i f p r i v a t e

( Q - W ) [ t r a n s a ¢ l i o n )

222. Pimco Total Re turn Mtg¢ Adm CI A Dividend I Bu y I/8/09 ~

223. S o l d 7/29/09 J A(part)

224. S o l d 8/27/09 J A(part)

225. P i m c o F o r e i gn Bd F d U nhe dge d Adm CL A Divide n d Buy I/8/09 J

226. S o l d 5/28/09 J A

227. T Rowe Pr ice High Yld Adv C1 A Di v i de nd J T Bu y I/8/09 J

228. Te m pl e t o n G l o b a l Bd Cl A A Di v i de nd J T Bu y 5/28/09 J

229.

230. ~ FID E LITY SE P IR A : ( se e l i n e s 230through 320)

23I. Baron S mal l C ap Fund S o l d I/7/09 J

232. Co l um b i a V a l ue a nd Re s t C1 ( E xc e l s i o r ) S o l d 1/8/09

233. Fidel i ty Float ing Rate High Income S o l d I/7/09 K

234. [qde| i ty Cont raf tmd S o l d I/7/09 J

235. T w e e d y B r o w n G l o b a l V a l u e F d S o l d I/7/09 K

236. F i de l i ty Ca s h Re s e r v e s A Interest J T

237. Bu y 1/9/09 J

238. F i de l i t y P a s Sm a l l Cap F un d A Dividend J T B uy I/7/09 J



F I N A N C IA L D I S C L O S U R E R E P O R T ] Name of Perso. ReportingDate o[ Report

P ag e 1 8 of 24

[ M a r r e r o , V i c t o r

0 6 / I / 2 0 1 0

N O N E ~ o reportable income, assets, or tram’action.)

Description of Assets ~ Income du~ng Gro~ value al ~nd T~n~clions d~ng ~pomng

~including t~st ~els} [ ~po~ing period of repomng

Place "(X)" after ~ch as~l Amount ~ Type (c.g., ~ Value Valu~ Type (e.g., [ Date Value Gain ldcnli~ of

excmpl [rom prior di~losur¢ C~e I ~ div.,renl, ~ Code 2 M¢~h~ buy, ~ll, ~mm;d~ Code 2 Code I buyer~sell~r~ (A-H) ~ or int.) (J-P) Cod~ 3 mdempl~on) (J-P) (A-H) (ifprivale

i ~ (Q-W) ............................i ...............................

239. F ide l i~ P ~ s ln t ’ t Fund A Di v i de nd J T Bu y I/7/09 l

240, Bu y I/9/09

2 4 I . Bu y 7/29/09 J

242. Bu y 1 I/4/09 J

243. F i de l i t y P a s U S Opp F und A Di v i de nd J T Bu y 1 1 7 / 0 9 J

244. Bu y 1/9/09 J

2 4 5 . Bu y 3/27/09 J

246. Fide l i ty’ Real Es tate Income A Di v i de nd J T Bu y 1/7/09 J

247. Bu y I/9/09 J

248. Fi de l i t y S e l ec t Go ld A Di v i de nd J T Bu y 3/27/09 J

249, Fidet i ty Capi ta l & Income A Di v i de nd J T Bu y Ii7/09 J

[250, Bu y 1/9/09 J

2 5 1 . Fide l i ty, Inves t Grade A Di v i de nd K T Bu y 1 / 7 1 0 9 J

2 5 2 . Bu y I/9/09

2 5 3 . B uy 7 , ; 2 9 / 0 9 J

254. S o l d 1 I 1 4 / 0 9 I A

(part)

255. Fi de l i t y ’ro t a l Bon d A Di v i de nd K T Bu y 1 / 7 1 0 9 J

3 . V a lu e Me th o d C o d es Q = A p p r a i~ l R ." C o s t tR e al E s tate O n ly) S =A s se s s m e n t T = C as h M ar ke I



F I N A N C IA L D I S C L O S U R E R E P O R T N .... f e .....e p , , r , i n g D , t e o f R e , ,o r ,

Pa ge 19 o f 24 Marrero, Victor 0 6 / 1 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i . ,o.,. . .l~.. ,~..s.c,io.~ a.d~a.s ,~o,. o~ o~ ..a a¢~.~,.t .~i~,.~; ~,, ~ ~ . ~ o o [ m . ~ ~ . ~ , ., a o ~ )

N O N E (No reportable income, ~sets, or transaction.)

~. - ........................ a ~ ...............................................Description of As~ts Income during Gro~ value at end T~nsactions du~ng ~po~ing ~fi~

(including 1~81 ~~} re~mng peri~ of reoomng pen~

Place "(X)" a~er ~ch ~t ~ A m o u m Type (e.g., t Value V a l u e Type (e.g., D ate V al u e Gain IdentiW

of

exempt from prior dtsclosureC~e l dry,. rent. Code 2 Meth~ buy, sell, m~/d~’~ C~e 2 C~e 1 buyer!seller

{A-H) o r m r .) ( J-P ) Code 3 ~demption) ( J-P ) (A -H ) (tf p~vate

( Q -W $ transaction)

256. Fi dc l i ~T oml Bond ( con t ’d) Buy I/9/09 J

2 5 7. Bu y 7/29/09 J

25 8. B u y 8/27/09 J

259. B u y 8/28/09 J

260. F i de l i t y P as Co r e l n c F und 1 3 Di v i de nd K T Bu y I/7/09 K

,261. ¯B u y 1/9/09 J

262. F i d e l it y P ~ l n c O p p F d B Di vi dend J T B uy I/7/09 J

263. B u y 1/9/09 J

264. Sold 5/28/09 J A( p a r t )

265. S o l d 7/29/09 J A(pm~)

266. Fidel i ty Money Market A Di vi dend J T Bu y I/7/09 J

267. Buy I/9/09 J

268. Bu y 3/27/09 J

269. Bu y 5/28/09 J

270. Al l i anz N FJ Di v i dend V a l Fd A Di v i de nd Bu y 1/7/09 J

2 7 I . Bu y I/9/09 3

272. B uy I/9/09 J

2. V a l u e C o d e s J =$15.0(K) or le s s K -$15,001 - $5 0.000 L ~$50.001 - $10~.0OO M =$100,001 - $250.000i ( S ee C o lu r p ~ s C I an d D 3 ] N ~$250,001 - $500,000 O = $ 50~ ,001 - $ 1,0~ 0.000 P I - $1,000,00! - $ 5,000,0~ O P2 = $5,12’00,001 - $25,000,000



FINANCIAL DISCLOSURE REPORT ,~ .... f P e r s o n R e p o r t i n g D a c e o f R e p o r t

of 24 ~ r ~ r , , v i e ( o r o 6 / 1 . , ’ 2 o ~ o

V I I . I N V E S T M E N T S a n d T R U S T S - i ..... e , , , , ~ , , e , , , . . . . . a o ~ a , c t ~ a , . , , h o . ,, p i m p . . . . . . d a , p , ~ , . , ~ h U a , ,, :

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

De~nption of As~ts~

Income d~ng Gross value at end ; T~sactions during ~po~ing ~od ........

(including ~1 assets)~.

~po~ing period .~

of repoSing pen~

T~ (e.g., Value [ Value T~e (e.g.,~ Date i Value Gain Identi~ ofl a c e " ( X ) " a ~ e r e a c h a ~ e t

exempt f~m prior di~los~e Code I ’ div., renL Code 2 ’: Me~ buy, sell, i mmid~’~ :’ Code 2 Code I buys/seller

(A-H) or int.) ( J -P ) Code 3 redemption)~ ; (J-P) ( A - H ) (if private

~ : ( Q - W ) ] ....................................... ~ ...... : .............. ~ ................

273. Al l~anz NFJ Div ident Vat Fd (con’ t) B uy 3/27/09 J

274, Sold 7/29/09( p a n )

275, Sold 8/27/09

2 76. Amer i can Beaco n Lg C ap I nves t A Di v i de nd J T Bu y 7/29/09 J

277, Bu y 8/27/09 J

2 78. C redi t S ui s se C ommd Ret urn S t r t gy S hs A Di v i de nd J T Bu y 1/7/09 J

279. Bu y 1/9/09 J

2 80 . Goldman S achs Lg C ap Va l l ns t l A Di v i de nd J T Buy I/7/09 J

2 8 1 . Bu y 1/9/09

282. S o l d 7/29/09(part)

283. Jo hn H a nc o c k U S G l b Le a d G r CI A Bu y I/7/09

284. B uy 1/9/09

285, Sold 7/29/09( p a r ~ )

i286, S o l d 8/27/09

287, Janus Fun d C I J S hs A Di v i de nd J T Bu y 1/7/09

288. Bu y 1/9i09

’289. Sold 7/29/09 J A(part)



N a m e o f P e r so n R e p o r t i n g D a t e o f R e p o r tF I N A N C I A L D I SC L O S U R E R E P O R T

P a g e 2 1 o f 2 4 M a r r e r o , V i c t o r 0 6 / I / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - in . . . . . . . i , , , t . . . . . . . ~ion$ aneludes those of sl~O . . . . . d dependent children; set pp. 34-60 of f i l ing instruction.s 0

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 In c ome dun n g Gross value at e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(including trust assets) r e p or t i n g p e r i o d o f r e p o rt i n g p e r i o d

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 tI T y p e t . e . g . , I Value value Type(e.g., D a t e t V a l u e Gain i ldemityof

i ~ C o d e I id i v . . r e n t , Ct~e 2 M e t ho d buy, sel l , m n ~ ’ d d ! y y i C o d e 2 C o d e i buyer/sel lerx e m p t f ro m p ri o r diselosure

( A - H ) : o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ii (J’P) (A-H) ! ( i f p r i v a t e

( Q - W ) i [1

t r a n s a c t i o n 1

2 90 . J a n u s M i d C a p V a l u e I n v e s t S h s A Di v i de nd

[

B uy I,’7/09 J

/

: 2 9 1 . Bu y I/9/09 J

292. M e r g e d 8/27/09 J A(wi th l ine 293)

293. P e r k i n s M i d Ca p V a l ue F d C1 J ( m e r ge d A Di vi dend J Twith line 290)

2 9 4 . Laza rd Emergi ng M kt s O pen C L A Di vi dend J T B uy 7/29/09 J

295. B uy 8/27i09 J

296. Bu y 11/04/09 J

297. Ivla ins tay Lg Cap Gr Fd CI A J T Bu y I/7/09 J

298. B uy I/9/09 J

299. Sold 8/27/09 J A

3 0 ’ ~ ’ . M e r g e r F u n d A Di v i de nd J T Bu y I/7/09 J

301. Bu y 1/9/09 J

3 0 2 . Me tr op o l i tan We s t L ow D u r M A Di v i de nd J T Bu y t/7/09 J

303. Bu y I/9/09 J

304. S o l d 3/27/09 J

305. Pimco Total Reran Adm Shs B Di v i de nd K T Bu y I/7 /09 J

306. B u y 1/9/09 J

i 2 . V a lu cC ed es J=$!5.000orless K-$15,001 -$50.000 L =$50,0~1-$100.000 M =-$100,001-$250,000



F I N A N C IA L D I S C L O S U R E R E P O R T N .... f e e .o . R ~ p o r . n ~ O . t 0 o f R e p o t .

Pa ge 22 o f 24 M , .r e r , ,, V i e o r 0 6 / I / 2 0 1 0

V I I. I N V E S T M E N T S an d T R U S T S -i. ....... ~.. . ...... , ~ o ~ a ~ a ~ a . ~ , ~ o , . o Z ~ . . . .. . d a . ~ a . . , ~ h U ~ , . ~ ; ~ . . ~ ~ 4 - ~ 0 o f , ~ i . ~ ~ . ~ , , . .~ o . ~ )

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

..... ~. ...........~

~ . c . : ..................... ~ .

Description of As~ts ) Income du~ng Oro~ value at end T~asactions d~ng reining ~fi~

(including t~st a~ets) ~po~iag peri~ of repo rting ~ri~

Place "(X)" a~er each ~t Amount Ty~ (e,g., ~ Value V a l u e T~e (e.g., Da~ e Value Gain Ident~W

of

exempt from prior disclosure ~ C~e 1 div., ~nt, ~ Code 2 Meth~ buy, ~tl, m~’d~)~ C~e 2 C~e 1 buyer/seller

: (A-H) or inL) ,~ ~ J - P ) C~e 3 redemption) ( J-P ) (A -H ) (ifp~vate

~ ~ ( Q - W ) t r ~ c t i o n )............................ ~ ~ .................................. ~ ............................

3 0 7 . P i m c o S h o n T e ~ A d m S h s A Di vi dend K T I Bu y 1 / 7 , ’ 9 9 J

3 0 8 . Bu y 1/9/09

309. Pimco Tota l Rt rn Mtge Adrn CI A Divide n d Buy I/7/09

310. B u y I/9/09

311. Sold 7/29/09 J

(part)

312. S o l d 8/27, , ’09 J

313. Pi mco Fore i gn Bd Fd U nhedged Adm CI A Di vi dend Bu y 1/7/09

314. B u y 1/9/09

315. S o l d 5/28,’09 J A

316. T Rowe Pr ice High YId Adv C[A Di v i de nd J T Bu y 1/7/09 J A

3 1 7 . B uy 1 / 9 1 0 9 J A

318. S o l d 7/29/09 J A( p a ~ )

319. Te r np l e t o n G l o b a l Bd C1A A Di v i de nd J T B uy 5i28/09 J

3 2 0 . Bu y 5/29/09 J

P3 -$25,0~,~1 - $50,@,~ P 4 =M o r e



FINANCIAL DISCLOSURE REPORT N .... f P e r s o n R e p o r t i n g Date of Report

of 24 M a r r e r o , V i c t o r 06 /1 /2 010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.



F I N A N C IA L D I S C L O S U R E R E P O R T Na,~e of Pe .... R e p o r t i n g D a t e o r R e p o r t

Pa ge 24 o f 24 ~ l a r r e r u , V i c t o r 0 6 / 1 1 2 0 1 0

I X . C E R T I F I C A T I O N .

! c e r t i f y t ha t a l l in 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 in 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 sa 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 w l e d g e a n d b e l i e f , an d t h a t a n y i n f o r m a t io n n o t r e p o r t e d w 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 t ut o r yp r o v i s i o n s p e r m i t t in g n o n - d i s c l o s u re .

1 f u r th e r c e r t i f y t h at 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 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 ve b e e n r e p o r t e d a r e i ncompl i ance wi t h t he p rov i s i ons o f 5 U .S .C . app. § 5 0 1 e l . s eq . , 5 U .S .C . § 73 5 3 , and Judi c i a l C onfe r ence r egula t i ons .

Si

N O T E : A N Y I N D I V I D U AL 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 FI E S O R F A L L S T O F I L E T i ll s R E P O R T M A Y B E S U B J E C T TO 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 04 )

FILING INSTRUCTIONS

M a i l s i gn e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

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 ur eA d m i n i s t r a t i v e O f f i c e o f t h e U n i t e d S t at e s C o u r t sSu i t e 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 . 20 5 4 4

victor marrero financial disclosure report for 2009

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