Gary L Sharpe Financial Disclosure Report for 2010

8/3/2019 Gary L Sharpe Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/gary-l-sharpe-financial-disclosure-report-for-2010 1/24

AO I0Rev: 1/2011

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010

Report Re quired b) , the Ethics

in Government Act of 1978

(5 U.S .C. app. ,~,~ 101-111)

I . Person Reporting (last name, f irst, middle initial)

Sharpe, Gary L.

4. Tit le (Art ic le I I I judge~ indicate ac t ive or sen ior s ta tus;magistrate judges indicate full- or part- time)

2. Cour t o r Organiza tion

U.S. Dist r ict Court , NDNY

5a. Report Type (check ap propriate type)

] N o m i n a t i o n , D a t e

D i s t r ic t Co ur t Jud g e , A c t i ve

7. Chambers or Office Address

James T . F o l ey Co ur t ho use445 B r o ad w ay

A l ban y , N ew Y o r k 12 2 07

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance

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 .

R e v i e w i n g O f f i c er D a t e

3. Date of Report

05/11/2011

6. Report ing Per iod

01/01/2010

to

12/31 /2010

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

checking the NONE box for each pa rt where you have no reporta ble information. Sign on last pag~

I . P 0 S I T I 0 N S . t R e p o r a n ~ i n a i v i a u a l o n t y ; s e , p p . 9 - 1 3 of fillng instructions.)

[- ~ N O N E ( N o reportable posit ions.)

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I1 . AGREEMENTS. ~ S ~ p o ~ i n g i n a ~ i a u u t o n ~ y ; s e e p p . 1 4 -1 6 of filing instructions.)

~ (No repor tab le agreeme n t s .)O NE

D A T E PARTIES AND TERMS



FINANCIAL DISCLOSURE REPORT

of 12 Ia m e o f P e r s o n R e p o r t i n g

Sharpe, Gary L.

I II . N O N - I N V E S T M E N T I N C O M E . C X e p o ,~ n g ~ndi,’idu~l a,,d sp .... s e e p ~ 1 7 - ~ 4 o f ~ l i , g i n s , ,u a i o n ~ ~

A. Flier’s Non-lnvestment Income

~] NONE non- inves tmen t income . )N o reportable

DATE SOURCE AND TYPE

2.

3.

4.

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

05/11/201 I

INCOME

( y o u r s , n o t s p o u s e ’ s )

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - if you were married during any portion of the reportlng year, complete this section.

(Dollar amount not required excep t for honoraria . )

D N O N E (N o reportable non- inves tment income.)

DATE

I. 2010

2.

3.

4.

SOURCE AND TYPE

Realty USA - Independ ent Contractor - Comm issions

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment .

( Includes those to spouse and dependent chi ldren; see pp . 25-27 o f f i l ing ins truct ions .)

NONE (No reportable reimbursements.)

SOURCE DATES LOCATION

1.

2.

3.

4.

5.

PURPOSE ITEMS PAID OR PROVIDED




P a g e 3 o f 1 2

Name of Person Report ing

S h a r p e , G a r y L .


05/I 1/2011

V . G I F T S . a n c l u d e ~ , h o s e , o ~ p o ~ o , ,n d d e p e n d e n t a , i l d , e n ; ~ e e p p . 2 s - 3 ~ o / f il i n g i n ~ , r , , , i o n ~ . ~

N O N E (No reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L 1 T I E S . a n e l ~ d e s t h o ~ e o / s p o ~ e a n d dependent children; see p p . 3 2 - 3 3 of filing instruction&)

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

V A L U E C O D E




of 12

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

Sharpe, Gary L.

Date of Repor~

05/I 1/2011

VI I. INVESTM ENTS and TRUSTS - i ....... . o r . e , t r a n s a c t i o n s ( Includes those of spouse and depende nt chi ldren¢ see plx 3 4 - 6 0 of f i l ing ins truct long)

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

A. B. D.

Description of Assets Incom e du ring T ransactions during reporting period

(including trust assets) reporting period

(i) (2)

! A m o u n t T y p e ( e . g . ,C ode I d i v . , r e n t ,

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

P l a c e " ( X ) " a f t e r e a c h a s s e t

exempt from prior disclosure

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) (2)

V a lu e V a lu e

C o d e 2 M e tho d

( J - P ) C o d e 3

( Q - W )

(i)

T y p e ( e . g .,

buy, sell,

r e d e m p t i o n )

(2) (3) (4) (5 )

D ate V a l u e Gai n Iden t i ty o f

m m / d d / y y C o d e 2 C o d e I buyer / se l l er

( J -P ) ( A - I I ) ( i f p r iva te

t r ansac t i on)

2.

3.

4.

5.

6.

7.

8.

9.

1 0 .

1 1 .

1 2 .

13 .

14 .

1 5 .

16 .

17 .

New Yo rk Co l leg e Tui t io n Savin g s # I A Div idend(529)

New York College Tuition Savings #2 (529) A Dividend

Bu y 01/01/10:

B u y 02/01/10

( ad d ’ l )

Bu y 03/01/10

( a d d ’ l )

Bu y 04/01/10

( a d d ’ l )

B u y 05/01/10

( a d d ’ l )

Bu y 06/01/10

( a d d ’ l )

Bu y 07/01/10

( a d d ’ l )

Bu y 08/01/10

( a d d ’ l )

Bu y 09/01/10

( a d d ’ l )

Bu y 10/01/10

( a d d ’ l )

Bu y 11/01/I0

( ad d ’ l )

B u y 12/01/10

( ad d ’ l )

Bu y 101/01/10

J

J

J

J

J

J

J

J

J

J

J

J

J

Bu y !02/01/10 J

(ad d ’ l )

Bu y 03/01/10 J

(ad d ’ l )

Bu y 04/01/10 J

( a d d ’ l )

Bu y 05/01/10 J

(ad d ’ l )

I . Income Gain Codes: A = $ 1,000 o r less B = $ 1,001 - $ 2 ,5 00 C = $ 2 ,5 01 - $ 5 .000

(Se e Co lum n s BI a n d IM) F =$50,001 - $100,009 G =$100.001 - $1.000,000 III =$1.000.001 - $ 5.000,000

2. Value Codc~ J = $ 1 5 . 0 0 0 o ¢ l e s s K =$15.001 - $50,000 L =$50.001 - $10O.000

(Se e Co lum n s CI a n d D3) N = $2 50.001 - $ 500.000 O = $5 00.001 - $1.000.000 PI -$1.000.001 - $5.000.000

P3 =$25.009.001 - $50.000.000 P4 =More than $5 0.000.000

3. V alu e Method C odes Q = A ppraisal R = C os t ( R ea l Es t a t e O n ly) S = A s ~ : $ s r l K ~ l

(S~ e Co h lm n C2 ) U =Book Value V =O~her W = E s t imated

D = $ 5 . 0 0 1 - $ 1 5 .0 ( ~ 0

112 =More than $5.000.000

M =$100.001 - $250.000

P 2 = $ 5 . 0~ O . 00 1 - $ 2 5 ,0 0 0 .~ O 0

E =$15,001 - $50,000




of 12

N a m e o f P e r so n Repor ting


Date of Report

05/I 1/2011

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 , v a tu e , t ra , ~ a a i o ~ , a n a a d ~ t h o s e o f s t , o u s e ~ . a d e p e n d e n t children; s e e p p . 3 4 - 6 0 of filing instructions.)


D e s c r i p ti o n o f A s s e t s 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 nc l udi ng t r us t asse t s)

P l a c e " ( X ) " a f t e r ~ a c h a s s e t


Income during

~-poning period

(I) (2)

Amount T y p e ( e . g . ,C ode I d i v . , r e n t ,

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

Gross value at end

of reporting period

O) (2)

Value V a lu e

Code 2 M e t h o d

( J - P ) Code 3

( Q - W )

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


(2) (3) (4) (5 )

D a t e Value Gain I d e n t i t y o f

m m/dd~ ,y C ode 2 C ode I buyo’!seller

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

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

1 8 .

1 9 .

20 .

21 .

22 .

23.

24.

25 .

26 .

27 .

28 .

29 .

30.

31.

32.

33.

34.

E x c e l S e c u r i t ie s I R A # 1

- Jo hn H an co ck U . S . G l o ba l L ead er sG r o w F u n d C l a s s A

-D i r ex i o n Co mm o d i t y B u ll 2 X F un d( " DXC LX" )

- Pe t r o l e o B r a s il e i ro Pe l r o b a s ADR C o m m o n

("PBR")

-Proshares TR I I Ul t rashor t Euro ("EUO")

- P r i m e r i c a In c C o m m o n ( " PR I " )

-B ar c l ays B k P L C l p a t h D o w Jo n es U B S

Nickel ("JJN")

A Dividend

Bu y

(ad d ’ l )

Bu y

(add’l)

Bu y

(ad d ’ l )

Bu y

(ad d ’ l )

Bu y

(add’l)

Bu y

(ad d ’ l )

B u y

( ad d ’ l )

06/01/10

07/01/10

08/01/10

09/01/10

10/01/10

11/01/10

12/01/10

J

J

J

J

J

J

J

Sold 02/25/10 J A

(part)

S o l d 04/22/10 J A

(part)

So ld 02/04/10 J A

So ld 0 2/ 25 / I 0 J A

Bu y 02/04/I 0 J

So ld 03/10/10 J A

B u y 04/01/10 J

Bu y 04/05/ I0 J

So ld 05/05 /10 J A

I . Income Gain Codes: A = $1,000 o r less B = $ 1,001 - $ 2 ,5 00 C = $ 2 ,5 01 - $ 5 ,000 D = $ 5 . 1 3 0 1 - $ 1 5 , 0 0 0

(Se e Co lum n s BI a n d IM) F = $ 5 0,001 - $ 100,000 G = $ 100,001 - $1,000,000 Ill =$1.000,001 - $5.000,000 112 =More than $5,000.000

2. Value Codc~ J = $ 1 5 . 0 0 0 o ¢ l e s s K =$ 15.O01 - $50.000 L = $ 50,001 - $ 100.000 M = $10~.001 - $250.000

|See Columns C I and D3) N = $2 50.001 - $ 500.0~ 3 O =$ 500.001 - $1.000,000 P I = $ 1 . 0 0 0 . 0 ~ I - $ 5 . 1 3 O O . 0 0 0 P2 =$ 5.O00.001 - $25.0~) ,00~

P 3 = $ 2 5 . 0 O O . 0 O I - $ 5 0 , 0 0 0 ,0 0 0 P4 =More than $50.00~,000

3. Value Method Codes Q = Appr a i s al R =:Cost (Real E s tate Only) S = As s es s men t T =Ca s h Ma rkcl

(See C olu m n C 2) U = Boo k Value V = O lhcr W E s t i m a t e d

E =$ 1 5 ,0 0 1 - $ 5 0 .0 0 0




of 12

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

Sh a rp e , Ga ry . L .


05/I 1/2011

V II. IN V ESTMENTS and TRU STS -i .... e , value, transactions (Includes those o fsp ...... d dependent children; see pp. 3 4-6 0 o ffillng instructionrO

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

Description of A ssets Incom e during

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

I Ct) C2~P l a c e " ( ’ X ) " a f t e r e a c h a s s e t t A m o u n t T y p e ( e . g . ,

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

Gross value at end

of reporting period

C t)Value Value

Code 2 Method

( J - P ) Code 3

Transact ions during rel~ r t ing per iod

(I} (2} (3) (4) (5 }

T y p e ( e . g . , D a l e V alu e Gain I d e n t i t y o f

buy, sell, m m ] ’ d d ~ y y Code 2 C ode I buyer/seller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e


35 . - Di rex io n SH S ETF T R Dai ly Rea l Es ta teBull ("DRN")

36.

Buy 05/05110 J

So ld 05 /06/10 J A

37. -D i r ex i o n S mal l Cap B ul l ( "T N A ")

38. E xce l S ecur i t i e s I R A # 2

39. - A p p l e I n c C o m m o n ( " A A P L " )

40. - C e l g e ne C o r p C o m m o n

41. - R e s e a r c h i n M o t i o n LT D C o m m o n

("RIMM")

42 . -S o u t hw es t e r n E n er g y Co Co mmo n

( " S W N " )

4 3 . - U n i t e d S T S S T L C o r p N e w C o m m o n ( " X " )

4 4 . - P e a b o d y E n e r g y C o r p C o m m o n

4 5 . - C o s a n L i d S h s A ( " C Z Z " ) C o m m o n

4 6 . - C h e s a p e a k e E n e r g y C o r p ( " C H K " )

Common

4 7 . - V a l e S A A D R ( " V a l e " ) C o m m o n

4 8 . - H u m a n a I n c . ( " H u m " )

4 9 . - A b e r d e e n S m a l l C a p F u n d C l a s s A

( " G S X A X " )

50 .

51 .

A Dividend N

Bu y 05/19/10

Bu y 10/20/10 K

( a d d ’ l )

B u y 07/13/10 J

( a d d ’ l )

S o l d 03/23/10 J A

S o l d 05/06/10 J A

So ld 05/06/10 J A

S o l d 05/19/10 J A

S o l d 05/19/10 J A

S o l d 05/19/10 K A

S o l d 05/06/10 J A

So ld 04/16/10 J A

S o l d 01/25 /10 J A

(part)

S o l d 02/18/10 J A(part)

So ld 0 3 / 3 1 / 1 0 J A

I . Income Gain Codes: A =$1.000 or less B = $ 1,001 - $ 2 .5 00 C = $ 2.5 01 - $5 .0~O D = $5 .001 - $ 15 .000

(S¢ Co lum n s BI a n d IM) F =$50.001 - $10~.000 G =$ 100.0~1. $1.0~0.000 I11 =$1.000.0~1 - $5.000.0~0 112 =More than $5.000.000

2. Value Codes J =$15.000 or less K = $ 15 .001 - $ 50.000 L = $ 50.0~1 - $100.000 M =$10O.0Ol - $250.000

(S~ e Co lum n s CI a n d D3) N =$250.001 - $500.000 O -$ 50 0.0 01 . $ l,0 00 .O ~) P I = $1.000,001 - $5 .000.000 P2 =S5.000.001 - $25.000.000

P3 ~$25.009.001 . $50.000.000 P4 =More Ihan $50.000.000

3. Value Method Codes Q = A ppr a i sa l R =Cost (Real Estate Only) S =Asscssnv.mt T =Cash Market

(Se e Co h lm n C2 ) 13 =Book Value V =Other W -E s t im a te d

E =$ 1 5 ,0 0 1 - $50.000




of 12

Name of Pecan Reporting



05/I 1/2011


D e s c rip t io n o f A ss e ts I n c o m e d u rin g

( i n c l u d i n g t r u s t a s s e t s ) ~ or t i ng pe r iod

(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 .,

e x e m p t f r o m p r i o r d i s c lo s u r e i C o d e I d i v . , r e n t ,ii

(A-H)

or int .)


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

O) (2)

V a l u e V a l u e

C o d e 2 M e tho d

( J -P) C o d e 3

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

b u y , s e l l ,


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

(2) (3) (4) (5 )


m m / d d ? y y C ode 2 C ode I buyer/seller

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


52 .

53 .

54 .

- B a m n Pa r t n e r s F u n d ( " B PT R X" ) So ld

(part)

So ld

(part)

So ld

01/25/10

02/05/10

03/31/10

J

J

J

A

A

A

55 . -C olumbia T ec hnology Fund (" C MT FX" )

56 .

S o l d( p a r t )

S o l d

0 1 / 2 5 / 1 0 J

0 2 / 0 4 / 1 0 ; K

A

A

57 . - E a t o n V a n c e T a x M a n a g e d S m a l l - C a p

("ETMGX")

58 .

So ld 01/25 /10 J

(part)

S o l d 02/05 /10 L

A

A

59 . -Gabelli Enterprise Mergers & Acquisitions

Fd CI A ("EMAAX")

60 .

So ld(part)

S o l d

01/25/10: J

0 2 1 0 4 1 1 0 1 J

A

A

61. -John Han cock U.S. Global Leaders GrowthFund Class A

62.

So ld 01/25 /10 J

(part)

Sold 09124/I 0 J

A

A

63.

64 .

65 .

66.

67 .

-John Hanc oc k La rge C ap Equ i ty Fund

Class A ("JLVIX")

- H a r t fo r d C a p i ta l A p p r e c ia t io n F u n d C l a ssA

Sold 01/25/10 J A

(part)

Sold 05/19/10 J A

(part)

So ld 01/2 5 /10 J A(part)

Sold 02/05/10 J A

(part)

So ld 07/2 3/l 0 K A

68 . -Oppenhe im er Gold & Spec i a l Mine ra l s

("OPGSX") ("OPGSX")

Sold

(part)

01/25/10 J

I . Income Gain Codes: A =$1.000 or less B -$1.001 - $2,500 C =$2,501 - $5,000 D =$5,0~1 - $15,000

(See Columns B 1 and IM) F = $50.0~1 - $ 100,009 G = $ 100.0O l - $ 1.0~0.000 I I I =5 1. 00 0. 00 1 - $5 .0 00 .0 00 1 12 = Mo re t ha n $5 ,0 00 .0 00

2. Valu e C odes J ~$ 15.0~O or less K

(Se e Co lum n s CI a n d D3) N =$250.0OI - $500.000 O =$ 50~.0OL - $1.000.00~ P I $ 1 ,0 00 .0 ~ 1 - $ 5 .0 O O. 00 0 P 2 - $ 5. 00 0, 00 1 - $ 2 5. 0~ 3. ~3 0

P3 =$ 25.000.0OI - $50.000.0~O P4 =More than $50.00~.000

.3. Value Method Codes Q = A i . v c a i s aI

R =Cost (Real I -s tate Only) S =Asscssm~mtT =C a s h Ma rke l

(S~ ¢ Co lum n C2 ) U =l::k~k Value V =Other W = Es t imated

E =$ 1 5 ,0 0 1 -




of 1 2

N a m e o f P e r so n Repor ting



05/11/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - in e . .. . . . r u e , t r a n s a c t i o n s (Includes those of s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of filing i n s t r u c t l o n s . )


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 i n g

(in c lu d in g tru s t a ss e ts ) re p o rt in g p er io d

O) (2)

Place "(X)" after 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 i o r d i s c l o s u r e : Code I di v . , r en t ,~ ( A - H ) or i n t . )



(i) (2)

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 )

(t )Type (e.g.,

buy , se l l ,


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) ( 5 )

Dat e V a l u e Gai n Iden t i ty o f

mm!dd.,~ C o d e 2 C o d e I buyer / se l l er

( J -P ) ( A - H ) ( i f p r iva te

t r ansac t i on)

69 .

70 .

71 .

72 .

73.

74 .

-O p p en he i mer D eve l o p i n g Mar ke t s C l as s A

( "O D MA X ")

-P i mco T o t a l R e t u r n Cl as s A ( "P T r A X ")

- R S V a l u e F u n d C l a s s A ( " R S V A X " )

So ld 01/25/10 J A

(part)

So ld 0 5 1 1 9 1 1 0 L A

(part)

So ld 01/25/10 J A

(part)

Sold ! 09/17/10 K A

(part)

So ld 01/25/10 J A

(part)

So ld 02104/10 J A

75 .

76 .

77 .

78 .

79 .

80 .

81 .

82 .

83.

84 .

85 .

-Prosha re s Ul t a FINLS (" UYG" )

- Baid u Co mmo n ("BIDU")

- B u c y m s C o m m o n ( " BU C Y " )

- F o r d C o m m o n ( " F ")

- Ne t a p p C o m m o n ( " NT AP" )

-A m er i can S t r a teg i c ( "CS P ")

-D i r ex i o n B ul l 2 X ( "D X CL X ")

- E a t o n v a n c e t a x m a n a g e d ( " E XG " )

S o l d 01/29/10 J A

B uy 09/24/I 0 K

B uy i 10/20/10 J

(add’l )

B uy 06/25/10 K

B uy 08/04/I 0 K

B uy 09/24/10 K

B uy !09/17/10 K

B uy 06/21/10 K

S o l d 12/23/10 J A

( p a r t )

B uy 09/03/10 K

S o l d 09/24/I 0 J A

( p a r t )

1. I ncome Gain C odes :

(See Columns BI and 1 3 4 )

2 . V alu e C odes

( ~ c C o l u m a s CI and D3)

3. Value Method Codes

(Se e Co lum n C2 )

A =$1.000 or less

=$50,001 - $100.000

-$15.000 or k’ss

N =$250.001 - $500.000

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 ’ 0 0 . 0 0 0

Q =Appraisal

U = B ook V alu e

B =$1,001 - $2.500

G =$100.001 - $1,000,000

K =$15.0OI - 350.000

O =$500.001 - $

R =Cost {Real Es tate Only)

V = O ~ h ¢ ’ r

C = $ 2 . 5 0 1 - $ 5 . 0 0 0

It I =$ 1.000.001 - $5 .000.000

L = $ 50 . 0 O I - $ 1 0 0 .0 0 0

P I =$ 1 .0 0 0 .0 0 1 - $ 5 .0 0 0 ,0 0 0

P 4 = / ’ . t o r e t h a n $ 50 . ~ O 0 . 0 0 0

S = A s s cs s m c’ n t

W = E s t i m a te d

D = $ 5 . 0 0 1 - $ 15.000

112 =More than $5,000,000

M =$100.001 - $250.000

P2 =$5 .000,001 - $25.000.00~

T =Ca s h Ma rke t

E =$ 1 5 .0 0 1 - $ 5 0 .0 0 0




of 12


Sharpe, Gary L.


05/11/2011

VII. INVESTMENTS and TRUSTS - i .... e , value, transactions (lncludex those of spouse and dependent children; seepp. 34- 60 of fillng instructlonx.)


Descr i p t i on of A sset s Income during ̄

( in c lud in g trust asse ts ) r e p o r ti n g p ~ d o d

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

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t ,(A - H ) or int.)


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

(1) (2)

V alu e V a lu e

C o d e 2 Met hod

( J -P ) C o d e 3

( Q - W )

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

buy , se l l ,


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) (5 )

D ate V a l u e G a i n Iden t i ty of

m m ! d d, $’ y C o d e 2 C o d e I buyer / se l l er

( J - P ) (A - H ) (if p r iv a te


86.

87.

88 .

89 .

90 .

91.

92 .

93.

94 .

- Mat thews As ia (’MAPIX")

-Anna ly (" NLY")

-SPDR Go ld (" GLD")

-C i t i g roup C ommon (" C " )

B uy 08/20/10 J

B uy 08/20/10 J

B uy 09/17/10 J

(add’l )

B uy 06 /24 /10 J

B uy 06/25/10 J(add’l )

S o l d 07/27/10 K A( p a r t )

B uy 08/20/10 J

(add’l)

Buy 103/17/10 K

S o l d 05/06/10 K A

95 .

96 .

97 .

98 .

- Hu n t i n g t o n B a n c s h a r e s ( " HB AN" )

- Q w e s t C o m m u n i c a ti o n s ( " Q " )

Buy 03/17/10 K

Sold :04/16/10 K A

B uy 03/17/10 K

Sold !05/06/10 K A

9 9 . - S y n o v u s F i n l C S N V " )

I00.

B uy

S o l d

03/17/10 K

: 05/06/10 J

1 0 1 . - J P M o r g a n ( " J PM " )

1 0 2 .

B uy

S o l d

04/12/10 J

05/06/10 J

I. Income Gain Codes:

( S C C C o l u m n s B I a n d D 4 )

2. Value Codc’s

(Se e Co lum n s CI a n d D J )

3. Valu,: Method Codes

~Sce C o lu mn C 2)

A =$1.000 or less

F =$50,001 - $100.000

J

N =$250.001 - $500.0~0

P3 =$25.000.001 - $50.0~) .090

Q = Appr a i sa l

U = B ook V alu e

B =$1,001 - $ 2 . 5 0 0

G =$100.001 - $1.090.000

K = $ 1 5 . 1 ) 0 1 - $50.000

O =$5 00 ,001 - $1 .0~ .0~0

R =Cosl (Real Es tate Only)

V -~her

C = $ 2 . 5 0 1 - $ 5 . 0 0 0

It I =$1,000.001 - $5 ,0(~.000

L =$ 5 0 .0 ~ 1 - $ 1 0 9 .0 0 ~

P I =$ 1 .0 0 0 .0 0 1 -

P 4 =M o r e lh ~ U $ 5 0 .0 0 0 .0 ~ 0

S =As s es s men t

W = E s t im a t e d

D =$5.001 - $15.000

tl2 =More than $5,000.000

M =$100.001 - $250.0~)

P2 =$ 5.000.001 - $25.000.000

T =Ca s h M a r k c l

E =$15,001 - $ 5 0 . 0 ~ O




of 12


Sharpe, Gary L


0 5 / I 1 / 2 0 1 1

VII. INVESTMENTS and TRUSTS - in ....... r u e , tr ans act ions ( Includes thos e o f s pous e and dependent chi ldr en; s ee pp. 3 4 -60 o f f i l ing instr uct iong)


A. B. D.D e s c r i p ti o n o f A s s e t s I n c o m e d u r i n g 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 n c l u d i n g t ~ s t a s s e t s ) r e p o r t in g p ~ r i o d

(I) (2)

i A m o u n t T y p e ( e . g . ,C o d e I di v . , r en t ,

(A-It) or i n t . )

P l a c e " ( X ) " a f t e r e ac h a s s e t


Gross v a l u e a t e n d

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

(i) (2)

V alu e V a lu e

C o d e 2 Met hod

( J -P ) C o d e 3

( Q - W )

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

buy , se l l ,


(2) (3) (4) (5)

D ate V a l u e G a i n I dent i t y of

mm/dd~ C o d e 2 C o d e I buyer !se l l er

( J - P ) (A - H ) ( i f p r iva te

t ransac t ion )

1 0 3. -Y a h o o I n c C o m m o n ( " Y H O O " Bu y

1 0 4 . Sold

1 0 5 . -A l l e r g a n C o m m o n ( " A G N " Bu y

1 0 6 . Sold

05/17/10 K

09/24/10 J A

07/13/10 K

09/24/10 K A

I . Income Gain Codes: A = $1,000 o r less B = $ 1,001 - $ 2,5 00 C = $ 2 ,5 01 - $ 5 ,000 D =$5.001 - $15,000

(Se e Co lum n s BI a n d D4) F =$ 5 0,001 - $100.000 G =$ 100.001 - $1.000.0~ ) III = $ 1.000.001 - $ 5 .000.00(I 112 =Mo re tha n $5 .~ ,000

2. Value Codes J :$15.000 or less K =$15,001 - $50.000 L = $ 5 0.0O I - $ 100.000 M = $100,001 - $ 250.000

(See Colum~-S CI and D3) N = $250.001 - $ 500.000 O = $ 500.001 - $1.000.000 P I = $1.000.001 - $ 5 .000.000 P2 =$5.0~0.001 - $25 .000.000

P3 =$25.000.001 - $50.000.000 P4 =More than $50.000.000

3. Valu e Method C odes Q = A ppraisal R =Cos~ (Real Es tate Only) S = As s ~s s men l T = C ~ s h M a r k ct

(S~ c Co lum n C2 ) U = t~ok Va lu e V =Olher W = Es t imated

E :$15,001- $50,000




ofl2

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


Dale of R e p o r t

05/I I/2011

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS. andic~,epa,~of,epo,~)

VI Liab i l i t ies : The Mer r i l l Lynch mo r tgage l i s ted las t year has been dele ted because the p rop er ty t s no ! .___~. :~ ._S:~_ .~ ~ . . j no t r en ta l p roper ty .



FINANCIAL DISCLOSURE REPOR T

of 12




05 /I 1 / 2 0 1 1

IX . CERTIFICATION.

! certify that all information given above (including inform ation pertaining to my spouse and m inor or dependent children, if any) is

accurate, true, and com plete to the best of my kn owledge and b el ief , and that any information not reported was ~vi thheld b ecause i t met appl icable s tatutoryprovisions permitting non-disclosure.

I further certify that earned income from outside em ployment and honoraria and the acceptance of gifts which have been reported are incompliance w ith the provis ions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Jud icial Conference regulations.

Signature: S[ Gary L. Sharpe

N O T E : A N Y I N D IV I D U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L SI 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 JE 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 . § 104)

Comm ittee on Financial Disclosure

Administrative Office of the United States CourtsSuite 2-301

One Columbus Circle, N.E.W ashington, D.C. 20544



I,4010

Rev. 1 /2011

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 20 10

Report Re quired by the Ethics

in Government Act of 1978

(5 U.S.C. app. ,~,~ I01-111)

I. Person R epor t ing ( las t name, f i r s t , middle in i t ia l )

Sharpe, Gary L.

T i t le ( Ar t i cl e I1 ! j udge s i nd i c a t e a c t i ve or sen i or s ta tus ;magi s t r a t e judge s i ndica t e fu l l - or pa r t - t ime )

2. Court or Organizat ion

U.S. Dist r ict Court , NDN Y

5a. Repo rt T.vpe (check approp riate q,’pe)

] N o m i n a t i o n , D a t e

District Court Judge, Active

7 . C h a m b e r s o r O f f i ce A d d r e s s

Jam es T. Foley Courthouse445 Broadway

Albany, New Yo rk 12207

[] Initial [] Annual [] Final

5b. [] Amended Report

8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance

, ~ it h a pp l i c a b l e l a ws a nd r e gu l a t i on s .

R e v i e ,M n g O f f i ce r D a t e

3. Date of R e p o r t

07/28/201 I

6. Repor t ing Per iod

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe ,t C o m p l e t e a li p a r t s ,

checking the NO NE box for each part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . ~ R e p o r ~ . g i , a i ,S d u n t o . ty ; , e , p ~ , . 9 - 1 ~ of filing instructions.)

~] NONE (No reportable positions.)

POSITION

2.

3.

4.

5.

NAM E OF ORG ANIZATION/ENTITY

I I . A G R E E M E N T S . ~ R ~ , o n l . g i . d iv i a u a t o . t r ; ~,~, . 14-16 of fillng instructions.)

~] NO NE (No reportable agreements.)

DATE PARTIES AND TERMS




Page 2 o f 12


S h a r p e , G a ry L .


07/28/201 I

I 1 I . N O N - I N V E S T M E N T I N C O M E . t R e p o , ~ . ~ i n d i , .i d u a l u n d s p o u s e : s e e p p . 1 7 - 2 4 of filing instructiong)

A. Flier’s Non-Investment Incom e

[~] NONE non-investment income. )N o reportable


2.

3.

4.

INCOME

( y o u r s , n o t s p o u s e ’ s )

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - if you were married during any port ion of the report lng year, com plete this sect ion.

(Dollar am ount not required except for honoraria.)

D N O N E (No reportable non-investment income.)


I. 2010 Realty USA - Independen t Con t r acto r - Comm iss i ons

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.

(Includes those to spouse and dependent children; see pp. 25- 27 of filing instructions.)

~-I NO NE ( No reportable reimbursements.)

2.

3.

4.

5.

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED




P a g e 3 o f 1 2


Sharpe, Gary L.


07/28/201 I

V . G I F T S . a n c lu d , ~ ,h o , e to s, ...... d dependent children; s e e p p . 2 8 - 3 1 of filing instructions.)

N O N E (No reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . t ln e l , d e s th o s e o I , p o ’ ~ e * , d dependent children; see p p . 3 2 - 3 3 of filing i n s t r u c t i o n ~ )

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

1.

2.

3.

4.

5.

VALUECODE




Page 4 o f 12


Sharpe , Gary L .


07/28/201 I

V 1 I . 1 N V E S T M E N T S a n d T R U S T S - ~ n c o m e , v o l~ e , . . .. .. t l o .~ (Includes those of spouse a .d dependent children; see ptx 3 4 - 6 0 offillng i n s t r u c t l o n g )


D esc r i p t io n o f A s s e t s T r a n s ac t io n s d u r i n g r e p o r t i n g p e r i o d

( i ncluding t a t s t asse t s )


exem pt from prior disclosure

In co m e d ur i n g G ro s s va lue a t e n d

re p or t in g p er io d o f re po rt i n g p er i o d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )

A m o u n t T y p e ( e .g . , V a lue Va lue T y p e ( e . g ., Date Value Gain I d e n t i t y of

C o d e I div . , ren t , C o d e 2 M e tho d buy, s e l l , m m / d d ~ ’ y C o d e 2 C o d e I buyer / se l l e r

(A-H) or 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 pr iva t e

(Q-W) t ransact i on)

2.

3.

4.

5.

6.

7.

8.

9.

1 0 .

1 1 .

1 2 .

13 .

14.

15 .

16.

17 .

N e w York Co l lege Tui t ion Savings # I(529)

- V a n g u a r d A g g r e s si ve A g e - B a s ed G r o w t h

F u n d

New York Col lege Tuition Savings #2 (529)

A Dividend

A Dividend

T Buy 01/01/10

Buy 02/01 /10

(add’ l )

Buy 03/01/10

(add’ l )

Buy 04/01110

(add’ l )

Buy 05/01/10

(add’ l )

Buy 06/01/10

(add’ l )

Buy 07/01/10

(add’ l )

Buy 08/01/10

(add’ l )

Buy 09/01/10

(add’ l )

Buy 10/01/10

(add’ l )

Buy 11/01/10

(add’ l )

Buy 12/01/10

(add’ l )

T Buy 01/01/10

J

J

J

J

J

J

J

J

J

J

J

J

J

-Vanguard Agress i ve Age-Based Grow thF u n d

Buy 02/01/10

(add’ l )

Buy 03/01/10

(add’ l )

Buy 04/01/10

(add’ l )

Buy 05/01/10

(add’ l )

J

J

J

J

i . Income Gain Co des: A =$ 1,000 or less B = $ 1 , 1 2 0 1 - $ 2 , 5 0 0 C =$2,501 - $5

(See Columns BI and D4) F =$ 50,001 - $10O .00~ G =$100.001 - $ 1,000,009 1 11 =$ 1. 0~ 0, 0~ 1 - $5 .0 00 ,0 00 1 12 ~M o re t ha n $ 5. 00 0 .0 00

2. Va lue Codes J = $ 15 .000 o r le ss K = $15,001 - $ 50.000 L = $50.tK II - $100,000 M =$ 100.001 - $250.0~0

(See Columns CI and D3) N =$250.001 - $500.000 O =$500,001 - $ 1,000.000 PI = $1.000,001 - $ 5.000.0~0 P2 =$5 .000,001 - $25,000.000

P3 =$25,000.001 - $50,000.000 p4 =Mo re Ihan $50.00~.000

3. Va lue Method Codes Q = Appraisa l R =Cos! (Rea l Es t a t e On ly) S = Asscssmen! T =Cash Markcl

ISce Colum n C2~ U = B ook Value V :O~her W =Est ima t ed

E = $15,001 - $50.000




Page 5 o f 12


Sharpe , Gary L .

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

07/28/201 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 ofsp ...... d dependent children; seeplx 34-60 of filing instructions.)


IX-scf i p t i on o f Asse t s Transact i ons .du r i ng ~:~or t i ng per i od

( i ncluding t ru s t asse tS )



In co m e d ur i n g G ro s s va lue a t e n d

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

(I) (2) (D (2) O) (2) (3) (4) (5 )

A m o u n t Typ e ( e .g ., V a lue Va lue Typ e ( e .g ., Date Value Gain I d en t i t y o f

Co d e 1 div . , ren t , C o d e 2 M e tho d buy, sel l , m m / d d / y y C o d e 2 C o d e I buyer / se l l e r

(A-H) or i n t . ) ( J-P) C o d e 3 r e d e m pt i o n ) ( J-P) (A-H) ( i f pr iva t e


1 8 .

1 9 .

20 .

21.

22 .

23 .

24 .

25 .

26 .

27 .

28 .

29 .

30 .

31.

32 .

33 .

34 .

Excel Secur ities IRA # 1

-John Han cock U.S. Glob al Leaders

GrowFund Class A

-D i r ex i on Comm odi t y Bul l 2X Fund

("DXCLX")

-Pe t ro l e o Br a s i l e i ro Pe t r oba s ADR Co mm on

( "PBR" )

-Proshares TR II Ul t rashor t Euro ("EUO")

-Pdmer ica Inc Commo n ("PRr’ )

-Ba rcl ays Bk PLC Ipa th Dow Jone s UBS

Nickel ("JJN")

A Dividend

Buy 06/01/10(add’ l )

Buy 07/01/I0(add’ l )

Buy 08/01/10

(add’ l )

Buy 09/01/10

(add’ l )

Buy 10/01/10

(add’ l )

Buy 11/01/10

(add’ l )

Buy 12/01/10

(add’ l )

T

Sold 02/25/10(par t)

Sold 04/22/I 0

(part)

So ld 02/04 /10

Sold 02/25/10

Buy 02/04/10

So ld 03 /10/10

Buy 04/01/10

Buy 04/05/10

So ld 05 /05 /10

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

A

A

A

A

A

A

I. Income Gain Cod es: A = $ 1,000 o r less B = $ 1.001 - $ 2,500 C = 52.501 - $ 5 ,000 D = $ 5 . 0 0 1 - $ 1 5 . 1 ) 0 0

(Sc~: Columns BI and IM) F =$50.001 - $100,000 G =$100,001 - $1,000.000 III =$1.000.001 - $5,1)00.000 112 =More than $5.00~.000

2. Value COdc~ J ~ $ 1 5 . 0 0 0 o ~ " l e s s K = $15 .001 - $ 50.000 L = $50.0~1 - $100.000 M =$100.001 - $25 0.1~O

(See Co lumn CI and D3) N =$250.001 - $500.0~0 O = 5500.001 - 51.000.000 PI = $1,000,001 - 55 .000,000 P2 =$5 .000.001 - $25.000.000

P3 =525.000.001 - $50.000.000 P4 =M~e than $50.000.000

3. Value Method Codes Q =Appraisal R =Cos t (Rea l Es t a t e On ly) S =Assessmen l T = ~h Ma rk d

(See Column C2) U -Book Value V =Olher W =Est ima t ed

E = $15.001 - $50.000




Page 6 of 12

Name of Pecan Repor t ing

Sharpe, Gary L


07/28/2011

V II. INVESTMENTS and TRUSTS - i. ....... I . e , transactlom (Includes those of spa .....d depend ent children; see pp. 34-60 of fi ling instructions.)

[] NONE(N o re por tab l e in come , asse t s , or t ran sac t ion s . )

A. B. C. D.

Description of Assets Incom e during Gro ss value a t end Transactions during reporting period

(including trust assets) reporting period o f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )

P l a c e " I X ) " a f t e r e a c h a s s e t A m ou n t T y p e ( e . g . , Value Value T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

exem pt from prior disclosure Code I d i v . , r e n t , Code 2 M e t h o d buy, se ll, m m/dd /yy Code 2 Code I buyer/seller

(A-H) o r i n t . ) ( J - P ) Code 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 r a n s a c t io n )

35 . -Direx io n SH S ETF TR Daily Rea l Esla te Buy 05/05 /10 JB u l l ( " D R N " )

36. S o l d 05/06/10 J

37 . -Direxion Small Cap Bull ("TNA") Buy 05/19/10 J

38 . ExcelSecuri ti es IRA #2 A Dividend N T

39 . -Apple Inc Common ("AAPL") Buy 10/20/10 K

(add’ l )

40 . -C e lg en eC o rp C o m m o n Buy 07/13/10 J(add’ l )

41. -R esea rch in Mo tion LTD Com m on So ld 03 /23 /10 J A

("RIMM")

42 . -So uthw e ste rn E n e rg yCo Co m m on So ld 05/06/10 J A

( " S W N " )

4 3 . - Un i te d S TS S TL C o rp N e w C o m m o n ( "X ") So ld 05 /06/10 J A

44 . -P eabody E nergy Co rp Com m on So ld 05 /19 /10 J A

45 . -Cosan Ltd Shs A ("CZZ") Com mon So ld 05 /19 /10 J A

46 . -Chesapeake En e rgy Corp ( "CHK") So ld 05 /19 /10 K " A

Common

47. -Vale SA ADR ("Vale") Common Sold 05/06/10 J A

48 . -Humanalnc. ("Hum") Sold 04/16/10 J A

49 . -Aberdeen Smal l Cap Fund Clas s A So ld 01/25 /10 J A

("GSXAX") ( p a t a )

50 . Sold 02/18/10 J A

(par t)

51. Sold 03/31/10 J A

I. Income Gain Cod es: A = $ 1.000 o r less B = $ 1,001 - $ 2,500 C = $ 2.501 - $ 5 .000 D = $ 5 .001 - $ 15 .000

(See Co lumm BI and D4) F =$ 50,001 - $100.000 G =$100.001 - $ 1.000.000 III :$1.000.0~1 - $5.000.000 112 =More than $5.000.000

2. Value Codc~ J = $ 15 .000 o r le ss K = $15.001 - $ 50.000 L = $50.001 - $ 10~.000 M =$10.001 - $250.000

1 S ~ ¢ Columns CI and D3) N =$ 250.001 - $500.000 O = $ 5 0 0 . 0 0 1 - $ 1 . 1 3 0 0 .0 0 0 PI =$1,000.001 - $5,000.000 P2 =$5.0~).001 - $25.000.00<)

P3 = $25,000.001 - $ 50,000.000 P4 = More than $ 50.000.0~0

3. Value Method Codes Q =Appraisal R =Cos t (Rea l Es t a t e On ly) S =Assessmen t T =Cash Market

(S~e Column C2) U=

Book Value V =Otht+ W ~Eslimatcd

E =$ 15.0~1 - $50.000




Page 7 o f 12

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

Sharpe, Gary L.


07/28/2011

V II. INV ESTM ENTS an d TRU STS -


A. B. C. D .D esc r i p t io n o f A s s e t s I nc ome du r i ng G ro s s v a l u e a t e n d Transact i ons du r i ng r~-porf i ng per i od

( i n clud in g t rus t a s se t s ) re p o r t in g p e r i o d o f r e po r t i ng pe r i od

[ (I ) ( 2 ) (I) (2) ( I ) (2) (3) (4) ( 5 )

Place "CA)" a f t e r e ach a s s e t I Amount Type (e .g . , Value Va lue Type (e .g . , Date Value Gain I de n t i t y o f

e x e mp t f r om p r i o r d i s c l o s u r e [ Code I div. , r ent , C o d e 2 M etho d buy, s e l l , m m !d d !~,y C o d e 2 C o d e I buyer / se l l e r

[ (A-H) or i n t . ) ( J-P) C o d e 3 r e d e m p tio n ) ( J-P ) (A-H) (if p r iva te


52 .

53 .

54 .

-Baron Partners Fund (" BPTRX") So ld 01/25 /10 J A

(pan)

Sold 02/05/10 J A( p a ~ )

Sold 03/31/I0 J A

55 . -Columbia Technolog y Fund ("CMTFX")

56 .

Sold 01/25/10 J A

(par t)

Sold 02/04/10 K A

57 .

58 .

59 .

60 .

61.

62 .

63 .

64 .

65 .

66 .

67 .

68 .

-Eaton Vance Tax Managed Smal l -Cap

("ETMGX")Sold(pai l )

Sold

-Gabell i Enterprise Merg ers & Acquis i t ionsFd CI A ("EMAAX")

Sold(pan)

Sold

01/25/10 J A

02/05/10 L A

01/25/10 J A

02/04/10 J A

01/25/10 J A

09/24/10 J A

01/25/10 J A

05/19/10 J A

01/25/10 J A

02/05/10 J A

07/23/10 K A

01/25/10 J A

-John Hancock U.S. Global Lead ers Grow th

Fund Class ASo ld( pan )

S o l d

-John Hancock Large Cap Eq ui~FundClass A ("JLVIX")

Sold(par t)

Sold

(part)

Sold

(par t)

Sold

( p a r t )

Sold

-Hartford Cap ital Appreciat ion Fund ClassA

-Oppenhe imer Go ld & Spec ia l Mine ra l s( "OPGSX") ( "OPGSX")

Sold(part)

I. Income Gain Co des: A = $ 1.000 o r less B = $ 1,001 - $ 2.500 C = $ 2.501 - $ 5 .0~1 D =$ 5.0~1 - $15.0~0

( Se e C ol um n s B I a nd 12 4) F =$ 50 .0 01 - $ 10 0.0 00 G = $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0 I I I = $ 1.0~).001 - $5.000.000 1 1 2 = M o r e t h a n $ 5 . 0 O O . 0 0 ~

2. Value Cock~ J = $ 1 5 . 0 0 0 o r l e ~ s K =$15,0OI - $ 5 0 . 0 0 0 L = $ 5 0 . 0 O I - $ 1 0 0 . 0 O O M =$10~.0Ol - $250.000

i s le Co lumns CI and D3) N = $25 0,001 - $ 500,000 O =SS00.0O I - $ 1.000.000 PI -$1.O00.0OI - $5.0OO.000 P 2 = $ 5 . 0 0 0 , 0 0 1 - $ 2 5 . 0 0 0 . 0 @ ~

P3 =$25,000.001 - $50,000.0’00 P4 =M~e than $50.000.000

3. Value Method Cod es Q =Appraisal R =Cost (Real Estate Only) S =Asses smem T =Cash Markcl

(S~e Column C2) U =Book Value V =Other W =Estimated

E = $ 1 5 , 0 0 1 - S S 0 . 0 O O




Page 8 o f 12


S h a r p e , G a ry L .

Date of R e p o r t

07/28/201 I


A. B. D.

Description of Assets Income during Transactions during r~porting period

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

(i ) (2 )

i A m o u n t T y p e ( e . g .,

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



G r o s s v a lu e a t e n d


(I) (2)

Value Value

C o d e 2 M e t h o d

( J-P) C o d e 3

( 1 )

T ype ( e . g . ,

b u y , s e l l ,

~:lemption)

(2) (3) (4) (5 )


m m /d diyy Co de 2 C o d e 1 buyer/seller

( J - P ) (A-It) ( i f p r i v a t e


69 .

70 .

71.

72 .

73 .

74 .

-Oppenhe imer Deve lop ing Marke t s Clas s A

( " O D M A X ")

-Pimco Tota l R eturn Class A ("PTFAX")

-RS Value Fund Class A ("RSVAX")

Sold 01/25110’ J A

(pan)

So ld 05 /19 /10 L A

(par t)

Sold 01/25/10 J A

(par t)

Sold 09/17/10 K A

(par t)

Sold 01/25/10 J A

(par t)

Sold 02/04/10 J A

75 . -Proshares Ul ta FINLS ("UYG") Sold 01/29/10 J A

76 . -Ba idu Comm on ("BIDU") Buy 09 /24 /10 K

77 .

78 . -Bu cy r us Com mo n ( "BUCY" )

Buy 10/20/10 i J(add’ l )

Buy 06/25/10 K

79 . - Fo rd Comm on CF" ) Buy 08/04/10 K

80 . -Ne t app Com mon ("NTAP") Buy 09/24/10 K

8 1 . -American St rategic ("CSP") Buy 09/17/10 K

82 . -Di rexion B ul l2X ("DXCLX") Buy 06121/10 K

83 .

8 4 . -Ea t o n van ce t a x m an ag e d ( "EXG")

Sold 12/23/10 J(par t)

Buy 09/03/10 K

85 . Sold 09/24/10 J

(par t)

I. I n c o m e G a i n C o d e s:

( ,S e e C o l u m n s B I a n d D 4 )

2 . V a l u e C o d e s

( S c C o l u m n s C I a n d D 3 )

3 . V a l u e M e t h o d C o d e s

l S c e C o l u m n C 2 )

A -$ 1.00O or less

f =$5 0.001 - $100.000

J =$15.000 or less

N $250.001 - $500.000

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $50.0(~.000

Q =Appraisal

U -Book Value

B=$1,001 - $ 2 . 5 0 0

G=$100.001 - $1.000.000

K -$15.001 . $50.000

O=$500.001 - $1.000.000

R ~os t (Rea l Es ta te On ly)

V =O~hcr

C =$ 2.501 - $5,000

I I I =$ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0

L =$ 50.0OI - $10~.0~O

PI =$I.000.001 - $5.000,000

P4 =More lhan $50.000.000

S =Ass~ssmcnl

W = Est ima t ed

D =$ 5 .0 0 1 - $15 .0 0 0

112 = M or e than $5 .0 0 0 .0 0 0

M =$ 10 0 .0 0 1 - $2 5 0 .0 0 0

P2 =$ 5 .0 0 0 .0 01 - $2 5 .0 0 0 .0 0 0

T =C~h Markel

E = $15.001 - $50.000




Page 9 o f 12 I, N S a m e o f P e r s o n R e p o r t in g

h a r p e , G a ry L .


07/28/201 I

VII. INVESTMENTS and TRUSTS - i ........ ~e, t r ..... tlons (Includes those of spo . . . . . d dependent children: see pp. 34-60 of fillng instructions.)


Description of Assets Transactions during reporting period

(including trust assets)



Income during Gross value at end

r e p o r t i n g p e r i o d of reporting period

O) (2) (I) (2 ) O) (2) (3) (4) (5 )

A m ou n t T y p e ( e . g . , Value Value T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

Code I div., ~nt, C o d e 2 Me t h o d buy, sell, m r n / d d h y y Code 2 Code I buye r/se ller

(A-H) o r i n t . ) ( J - P ) Code 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 r a n s a c t i o n )

86 .

87 .

88 .

89 .

90 .

91.

92 .

93 .

94 .

95 .

96 .

97 .

98 .

99 .

1 0 0 .

-Mat thews As ia ("MAPIX’)

-Anna ly ( ’NLY")

-SPDR Gold ( "GLD")

-Cit i g roup Com mon ("C")

-Hunt ington Bancshares ("HBAN")

-Qwes t Com munica t ions ( "Q")

-Synovus Finl ("SNV")

Buy 08/20/10 J

Buy 08/20/10 J

Buy 09/17/10 J

(add’ l )

Buy 06/24/10 J

Buy 06/25/10 J(add’ l )

So ld 07 /27 /10 K

(par t)

Buy 08/20/10 J(add’ l )

Buy 03/17/10 K

So ld 05 /06/10 K

Buy 03/17/10 K

Sold 04/16/10 K

Buy 03/17/10 K

So ld 05 /06/10 K

Buy 03/17/10 K

Sold 05/06/10 J

A

A

A

A

A

101. -JP Morgan ("JPM")

1 0 2 .

Buy 04/12/10 J

Sold 05/06/10 J A

I. Income Gain Codes:

(See Columns BI and D4)

2. Value Codes

I.%:c Columns CI and

3 . Value Method Codes

(~C Column C2)

A -$1,000 o r le s s

F =$50,001 - $100,000

J=$15.000 or less

N =$250.001 - $ 5 0 0 . 0 0 0

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 < 3 0 . 0 0 0

Q =Appraisal

U =Book Value

B =$ 1,001 - $2.500

G =$100,001 - $1,000.000

K = $15.001 - $50.000

O = $500.001 - $1,000.000

R ~Cost (Real Es t a t e Only )

V

C =$ 2,501 - $5.000

Ill =$1.000.001 - $5 .000.000

L =$5 0.001 - $100.0~

PI =$1.000.001 - $5.000,000

P4 =More than $50.00~.0~0

W =Est ima t ed

D ~$5.001 - $15,000

112 =More than $5.000.000

M =$ 100.001 - $250.000

P2 =$5.0~1.001 - $25,009.000

T =Cash Market

E = $15,001 - $50.000




Page 10 o f 12


Sharpe , Gary L .


07/28/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - in c . . . . . . l u e , t r a n s a c t i o n s (Includes those ofsp ......d dependent children; see p p . 3 4 - 6 0 of filing instructions.)


A. B. C. D.

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 G r o s s v a lu e a t 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

( i n c l u d i n g t r u s t a s s e t S ) r ep or ti n g p er io d o f r ep o r ti n g p er io d

(0 (2) (1) (2) (I ) (2) (3) (4) (5 )

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 ., V a lu e V a lu e T y p e ( 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 lo s u r e ! C o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d i y y C o d e 2 C o d e I b u y e r / s e l l e r

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

103 . -Yahoo Inc Comm on ("YHOO "

1 0 4 .

105. -Al l e rgan Com mo n ("AGN"

1 0 6 .

Buy 05/17/10 . K

S o l d 09/24/10 J A

Buy 07/13/10 K

S o l d 09/24/10 K A

I. [ncon’,e G a i n C o d e s :

(See Columns BI and 134)

2. V a l u e C o d e s

(S¢c Columns CI and D3)

3. Value Method C o d e s

( .See Column C2)

A ~$t.O00 or l es s

F =$5 0.001 -

i =$15.0~0 or less

N =$ 250.001 -

P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 . 0 ’ 0 0 . 0 ( ~ 1

Q = A p p r a i s a l

U=

B o o k V a l u e

B - $ t , 0 0 L - $ 2 . 5 0 0

G =$100.001 - $1.000,090

K =$15.001 - $50.000

0 -$500.001 - $ 1,000.000

R = Cos t (Rea l Es t a lc Ordy)

V = O ~ h o "

C =$2,501 - $5,000

III =$1,000,0~1 . $5.000,000

L =$50.0~1 - $100.000

PI =$1,000.001 -

P4 =More than

S = A s s ~ s s m e m

W =Eslimatcd

O = $5,001 - $15.000

112 =More than $5.009.00~

M =$100.001 - $250.000

P2 = $5,000,001 - $25,000,000

T =Cash Markc~

E =$ 15 .0 0 1 - $5 0 , 00 0



FINANCIAL DISCLOSURE REPORTPage 11 of 12

Name of Person Reporting

Sharpe , Gary L .

Date of Report

07/28/2011

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicate part of report)

V I L ia b i l i t ie s : The M e r r i l l L ync h mo r t g a g e l i s t e d l a s t y e a r h a s be e n d e l e t e d be c a use t h e p r ope r ty t s~ L . .. .~ ,~ _~ .~ ~ _~ no t r e n t a l p r op e r ly .




Page 12 o f 12

Name of Pe rson Report ing

Sharpe, Gary L.

Dale of Repor t

07/28/2011

IX . CERTIFICATION.

I ce r t i fy th a t a l l in fo rm a t i on g iven above ( i nc lud ing i n fo rm a t i on p e r t a i n i ng t o m y spouse a nd m ino r o r d epen den t ch i l d r e n , i f a ny ) i saccura t e , t rue , a nd comp le t e t o th e be s t o f my kn ow led ge a nd be l i e f , a nd th a t a ny i n fo rm a t i on no t r e po r t e d w a s w i thhe ld because i t me t a pp l icab l e s t a tu to ryp rov i s i on s p e rm i t t i ng non -d i sc lo su re .

I fur th e r ce r ti fy th a t e a rn ed i ncom e f rom o u t s i d e emp loym en t a nd hono ra r i a a nd th e accep t a nce o f g i f t s wh ich have be en r e po r t e d a r e i ncomp l i a nce w i th th e p rov i s i on s o f 5 U.S .C . a pp . § 501 e t . se q , 5 U.S .C . § 735 3 , a nd Jud ic i a l Con fe r e nce r e gu l a t i on s .

Signatur e: S] Gar y L. Sharpe

NOT E: A NY INDIVIDUAL WH O KNO WINGLY A ND WILFULLY FA LSIFIES O R FA LLS T O F ILE T HIS REPO RT MA Y BE SUBJEC T T O C IVILAND CR IMINAL SANCTIONS (5 U.S .C. app . § 104)

Comm ittee on Financial Disclosure

Administrat ive Office of the United States Courts

Suite 2-301

One Columb us Circle, N.E.W ashington, D.C. 20544

Gary L Sharpe Financial Disclosure Report for 2010

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