Patti B Saris Financial Disclosure Report for 2010

8/3/2019 Patti B Saris Financial Disclosure Report for 2010

1/64

AO IORev. 1/2011 I FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010

Report Re quired b) the Ethicsin Government A ct ofl978(5 U .S.C. app.. ,~.~" I01-111)

I. Person Re porting (last name, first, middle initial)

SARIS, P AI-II B.

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or part-time)

DISTRICT COURT JUDGE (ACTIVE)

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

J . J . MOAKLEY U.S. COUR THOU SEI COURTHOU SE WAY, SUITE 8110BOSTON, MA 02210

2. Court orOrganization

U.S.D.C. MASSACHUSETTS

3. Date ofR e p o r t

05/13/2011

5a. Report Type (check appropriate type)

] N o m i n a t i o n , Date

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliancewith appl icable laws and reg ula t ions .

R e v ie w in g O ff ic e r D a te

6. Reporting Period

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 followeg Complete all parts,checking the NON E box for each part whe re you have no reportable information. Sign on lastpage.

I . P O S I T I O N S .tRep ora .g l . d iv ld .o t o . ty ; s e , ~ ,~ , . 9 -13of fillng instructions.)

D (N o reportable positions.)ONE

POSITION NAME OF ORGANIZATION/ENTITY

I. CO-TR UST EE TR UST #3

2. CO-TR USTEE TR UST #4

3. CO-TR UST EE TR UST #5

4. Director Bottom Line Inc., Boston, MA

5. Director/Officer Federal Judges Association (FJA)

6. Mem ber Board of Director 21st Century Fund, Brookline High School, Brookline, MA

7. Trustee Codm an Academ y Foundation, Dorchester, MA

8. President & founding m em ber Boston In tellectual Property Am erican Inn ofCourl, MA

ll. AGREEMENTS. ( R e p o ~ a . ui . d i v i d . ~ to .~ ; s eeps . 14 .16of fillng instructions.)

~] NONE(No reportable agreements.)

D AT E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPOR TPage 2 of 64

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

SARIS, PA2"FI B.

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

05/13/2011

II I. N O N - IN V E S T M E N T I N C O M E .(Repor~.gindivldualandspouse; seepb ! 7-24 offili .g iustruction~)

A. Filer s Non-Investment Incom e

~] (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours, not spouses)

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 ma rried during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E (N oreportable non-investment income.)

1.2010

2.2010

3.2010

4.

DATE SOURCE AND TYPE

PRESIDENT AND FELLOWS OF HARVAR D COLLEGE, CAMBRIDGE, MA - salary

HARVARD BUSINESS SCHOOL PUBLISHING, MA - Royalties

HIGHVISTA STATEGIES LLC, MA - Advisory fee

I V. R E IM B U R S E M E N T S- transportation, Iodglng, food,entertainmenL(Includes those to spouse and dependent children: see pp. 25-27 of filing instructions.)

D (No reportable reimbursements.)ON E

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1. Federa l Judic ial Cen ter 5/19 - 5/22/2010 Washington, DC National Workshop for Transportation and mealsFederal Judges

2. FJA 9/15/2010 Washington, DC Con gretional R eception Transportation and m eals

3.

4.

5.


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 6 4

Name of Person Reporting

SARIS, PATTI B .

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

05/13/201 I

V. G I F T S .ana ud~ , h ose , o spou se ~na d , pe~de~ ,children; see pp . 28 -31of fillng instruction~)

N O N E(]go reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l~ d ~t h o s e o / s p o ~ s e ~ n d a e ~ , en d e ~children; see pp . 32 -33of filing instructions.)

NONE (Noreportable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 64

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

SARIS, PATTI B.


05/13/201 I

V II. INVEST MENT Sa n d TR U STS-in ...... "alue, tr .... ion$ (Includes those ofsp...... d depend ent children; see pp. 34-60 offil lng instruetlong)

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

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

(1 ) (2 )P la c e " (X )" a f te r e a c h a ss e t A mo u n tTy 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 re C o d e I d i v. , r e n t ,( A - H ) or int . )

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)Value ValueC o d e 2 M e th o d( J - p ) C o d e 3

( Q - W )

(i )Ty p e ( e . g .,buy, sell,

r e d e m p t i o n )

Tr 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 a t e Value G a in Id e n ti ty o f

m m ! d d : ~ yC o d e 2C o d e I b u y e r / s e l l e r(J-P) (A-H) ( i f p r iva te

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

1. Mass. St Port Authority, Muni Bonds

2. Mass. St G/O Cons Ln Series, Muni Bonds

3. Mass. Bay Trans Authority, MunicipalBonds

4. Strips TNT, Public Security (IRA)

5. Venture Investors Fund, LP

6. Bank of Am erica (formerly Fleet NatlBank), Bank Accounts

7. - Bank of America, PCA Acct

8. Realty Assoc Fund IV Corp

9. Realty Assoc Fund IV, LLC (y)

1 0 . Tucker Anthony Private Equity Fund I , LP

1 1 . Mass St Tpk A uth. Municipal Bond

1 2 . TAConference LLC

C Interest L T

D Interest M T

B Interest K T

A Interest L T

None J W

A Interest J T

A Interest Closed

A Dividend J W

E Distribution L

B Interest

HI Distribution PI

U

Sold

W

08/23/10

06/28/I 0

1 3 . Realty Associates Fund V, LLC

1 4 . Tucker Anthony Private Equity Fund 11

1 5 . Mass. Inl Fin Agy Municipal Bonds

1 6 . Tucker Anthony Private Equity Fund 111

1 7 . Tucker Anthony P rivate Equity T echnologyLP

H 1 Distribution P2

F Distribution M

C Interest L

E Distribution M

E Distribution L

W

W

T

U

W

I. Income Gain Codes: A =$ 1.000 or less B =$1,001 - $2.500 C =$2.501 - $5,000 D =$ 5,001 - $15,000

(See Columns B I and D4) F = $ 5 0 , 0 0 1 - $ 1 0 0 . 0 0 0 G = $100,001 - $ 1.000.000 I I 1 = $1,000,O01. $5.000.000 tl2 =M ore lhan $5,000.000

2. Value Cod-s J =SI5.000 or less K =$15.0OI - $50.000 L ~$50.001 - $100.000 M =$100.001 - $250.0~O

ISee Columns CI and D3) N =$250.001 - $500.000 O = $ 50 0.0 01 - $ 1.0 00.0 00 P I = $ 1, 000 .0 01 - $ 5 .00 0, 000 P 2 = $ ~; .000, 001 - $ 25 .000.000

P3 -$25,000.0OI - $50.000.000 P4 =More tKan $50.000.0003. Value Method Codes Q =Appraisal R --Cost IRcal [.stale Only) S =Asscssmem T =Cash Marke~

(.See Column C2) U =Book Value V =Olhcr W = Estimated

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


5/64



SARIS, PATTI B .


05/131201 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 sp ...... d depe ndent children; see pp. 34-60 of filing lnstructions.)


A. B. C. D.

Descr ip t ion of Asse ts I n c o m e d u r i n g Gro ss v a lu e a t en d T ransac tion s d urin g ~ -p o rtin g p erio d

(inc lu ding trust asse ts) rep orting p eriodof repor t ing per iod

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

Place "IX)" after each asset i A m o u n t Type (e .g . , Value Value Type (e .g . , Dale Value Gain Ident i ty of

exempt f rom pr ior d isc losure i Code 1 d iv ., re n t, Co d e 2 Method buy, sell , rnr~ddhyy C o d e 2 C o d e I buyer/seller

i (A-H) or int .) (J-P) Code3 r e d e m p t i o n ) (J-P ) (A-H) (if private~ ( Q - W ) t ransac t ion)

18. Trust# 5 G Dividend P2 T

1 9 . - Baupost Value Partners LP i

20. - Kensico Offshore Fd Lid LP

Redeemed 12/31/10 M(pa r t )

21.

22 .

23 .

24 .

25 .

26.

27 .

28.

29 .

30 .

31 .

32 .

33 .

34 .

- Global Fixed Inc Brandywine Inv TrMututal Fd

- Van Eck Intl Invest Gold-A Mutual Fd

- Dodge & Cox Income Fd m utual Fd

- Federated US Teas Cash money m arket(cash equiv)

Sold 07/29/10 J(part)


Bu y 12/21/10 L(addl)

Sold 12/30/10 O G(part)

Bu y 01/05/10 J(addl)

Bu y 02/03/10 J(addl)

Bu y 03/02/10 J(addl)

Bu y 03/03/10 J(addl)

Bu y 03/30/10 J(addl)

Bu y 05/04/10 J(addl)

Bu y 05/24/10 N(addl)

Bu y 06/29/10 J(addl)

Bu y 07/02/10 J(addl)

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 C =$2.501 - $5,000 D =$5.0~1 -

(See Columns BI and D4) F =$ 50.001. $100.000 O =$100,0~1 - $1.000.000 III =$1.000.001 - $5.000.000 112 =More than $5.00~.0002. Value Codes J = $ 1 5 , 0 ~ 1 o rless K =$15,001 - $50,000 L = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 O Q M = $100.0Ol - $250,000

ISle C olu mn s C I a nd D3 ) N =$ 25 0.001 - $ 500.000 O =$500.001 - $1,000.0~ P I = $ 1 , 0 0 0. 0 O I - $ 5 . 0 O O . 0 Q 0P2 =$5.000,001 - $25,00~.000P3 =$25.00


6/64

FINANCIAL DISCLOSURE REPO RTPage 6 of 64


SARIS, PATTI B.

Date of Repo~

05/13/201 I

VII. IN V ESTM ENTS and TRU STS-i .... e ,value, lr .... tion~ (lnludex those of sp ...... d depe ndent children; see pp. 34-60 of fillng instructlong)


A. B. C. D.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period

(i) (2) (O (2) O) (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 Ty p e ( e . g ., Value Value Ty p e ( e . g ., D a t e Value Gain I d e n t i t y o f

exempt from prior disclosure Code I d i v. , r e n t , Code 2 Method buy, se ll, m m/dd~,y Code 2Code I buyer/se ller(A-H) o r i n t . ) (J-p) Code 3 r e d e m p tio n ) (J - P )(A-H) ( i f pr iva te

i (Q-W) t r a n s a c t i o n )

35 .

36.

37 .

38.

39 .

40 .

41 .

42 .

43 .

44 .

45 .

46.

47 .

48 .

49 .

50.

51.

Buy 07/14/10 J(addl)


Buy 08/20/10 J

(addl)

Buy 09/03/l 0 J(addl)



Buy 10/29/10 K(addl)

Buy I 1/02/10 J(addl)

Buy I 1/30/10 K(addl)


Buy 12/23/10 M(addl)

Buy 12/31/10 Pl(addl)


Sold 02/02/10 L(part)



Sold 04/05110 .I(part)

I. Income Gain Codes:(5 Columm BI and D4)

2. Value Codes(See Columns CI and D3)

3 .Valuc Method Codes(S~ Column

=$1,000 or less

=$50.001 - $100.000=$ l 5.000 or less=$250.001 - $500.000

F3 =$ 25.000.001 - $50.0~0.000=Appraisal

=Book Value

B =$1,001 - $2.500G =$100.0~1 - $1.0~0.000K =$15.001-O =$500.001 - $1.000.000

R =Cost (Real Estate Only)V = O l h ," r

C =$2.501 - $5,000

I I I = $ 1 . 0 0 0 .0 0 1 - $ 5 . 0 0 0 , 0 0 0L =$50.001 -PI =$ 1.0~.001 - $5.000.0(~1P4 = More than $ 50.000.000S =Ass~ssmc~!W =Esfimatod

D =$5,001 - $15.000H2 =More than $5.000.000M =$100.001 - $250.000

P2 =$5.000.001 - $25.000.000

T =Cash Matkc~

E =$15.001 - $50,000


7/64



SARIS, PAT I I B .


05/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - ~ n c o ,,,e , v a l,,e , ~ - a ,~ o ~ ,i o ~(Includes those of spo ..... depende nt children; seep p . 3 4 - 6 0of filing i n s t r u c t i o n s


Description of Assets Income during(including trust assets) r e p o r t in g p e r i o d

I (I) (2)P la c e " (X )" a f te r e a c h a s s e t [ A m o u n tTy p e ( e . g .,

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

Gross value at endof reporting period

(i) (2)Value ValueCode 2 M e th o d( J - P ) Code 3

( Q - W )

Transactions during reporting period

(I ) (2) (3) (4)Ty p e ( e . g ., D a t e Value Gainbuy, sell, mm/dd~yCode 2 Code I

re d e m p tio n ) (J - P )(A-H)

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

buyer/seller( i f pr iva te


52 .

53 .

54 .

55 .

56 .

57 .

58 .

59 .

1 6 0 .

61.

62.

63 .

64 .

65 .

66.

67 .

68.

Sold 0 4 1 1 2 1 1 0 J(part)

Sold 04/14110 J(part)

Sold 05/I 1/10 J(part)

So ld 05/26/10 N(part)



Sold 07/08/10 K(part)



Sold 0 8 1 1 0 1 1 0 J(part)

Sold 0 8 1 1 8 1 1 0 J(part)

Sold 0 9 1 1 0 1 1 0 J(part)

Sold 0 9 1 2 1 1 1 0 J(part)

Sold 0 9 1 3 0 1 1 0 J(part)

Sold 1 0 11 2 11 0 J(part)


Sold I 1/10/10 J(part)

I. Income Gain Codes: A =$1.000 or less B =$1,001 . $2.500 C =$2,501 - $5,000 D =$5.001 - $15.000

(See Columns BI and D41 F =$ 50.001 - $ 100,000 G =$100.001 - $1.000,000 I I1 =$1.000,001 - $5 ,000.000 112 =More than $5 .000 ,000

2. Value Co&.-s J =$15.000 or Ices K = $ 1 5 , ( X ) I - $ 5 0 . 0 O O L =$50.001 - $100.000 M = SI00.001 - $250.000

(S ~ C o l u m n s C I a n d D 3 ) N = $2 50 .0 01 - $ 50 0. 00 0 O = $5 00 ,0 01 - $1 ,0 00 .0 OO P I =$ I ,0 0 0 . 00 1 - $ 5. 0 0 0, 0 0 0 P 2 =$ 5 . 00 0 , 0 01 - $ 2 5 ,0 0 0 . 00 0P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0 P 4 = M o t c t h a n $ 5 0 , 0 0 9 . 0 0 0

3. Value Mcthod Codes Q ~Appraisal R =Cost (R eal Estate Only) S =Assessm ent T =Cash Market(See Column C2) U =Book Value V ~Other W = Estimated

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


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SARIS, PATII B.


05/13/201 I

VII. INVESTM ENTS and TRUSTS- i ........ lue, tr .... tlons (lnclud~ those of sp ...... d depe ndent children; see pp. 34-60 of fillng instruction~:)


Descr ip t ion of Asse ts( inc luding t rus t asse t s )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

B. C . D.Income during Gross value at end Transactions during reporting period

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 )A m o u n t Ty p ~ ( e . g ., Value Value Ty p e ( e . g ., D a t e Value Gain I d e n t i t y o fCode I d i v. , r e n t , Code 2 M e th o d buy, sell, m m / d c l ~ , yCode 2 Code I buyer/se ller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p tio n ) (J - P )(A-H) ( i f pr iva te

(Q-W) t r a n s a c t i o n )

69.

70 .

71 .

72.

73.

74.

75.

76.

77.

78 .

79 .

80.

81.

- Vanguard S/T Invest Gr Inv (M utual fd)

- PIMCO Developing Local MkI Fd, MutualFd (x)

- SPDR Go ld Tr, Mutual Fd (ETF) (x)

S o l d 12/01110 N(part)


Sold 02/02/10 M

(part)

S o l d 03/09/10 O( p a r t )

S o l d 04/01/10 K( p a r t )

S o l d 05/21/10 N( p a r t )

S o l d 07/08/10 L( p a r t )

S o l d 09/20/10 M( p a r t )

S o l d 11/29/10 N(part)

S o l d 12/07/10 L( p a r t )

Bu y 12/30/10 J(addl)

Bu y 03/09/10 N

O p e n 12/23/10 PI

D

E

C

E

D

E

E

D

See PartVIII

82.

83 . Trus t # 8 E Int./Div. T

Sold 12/30/10 PI(part)

D

84 . - M A Co m m o n w ea lt h SR A M u n i Bds(formerly M ASt Gnl Oblig)

85. - MA Comm onwealth SR B Muni Fds(formerly MA St G rant Antic)

Sold 08/24/10 K

Sold 08/24/10 J

A

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 C = $2.501 - $5.000 D -$5.001 - $15.000

(See Columns BI and IM) F =$ 50.0~1 - $ 10~,00~ O =$100.001 - $1,000,000 III =$1.0~0,0~1 - $ 5,000.000 112 =More lhan $5.000.00~

2. Value Codes J =$15.000 o Ic~ K = $15.001 - $50.000 L =$50.001 - $10~ .00~ M =$100.001 - $250.000

(see Columns CI and D3) N =$ 250.1)01 - $500,000 O =$50~.001 * $1,00~.000 PI =$1,000,001 - $5.000.000 P2 =S5.000,001 - $25,0~.000P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 1 ~ 3 0 . 0 ~ 0 P4 =More than $50.0~0.0~)

3. Value Method Codes Q =Appraisal R =Cost (Real Estate O~ly) S =Assessing!! T =Cash Markc~

(See Column C2) U =Book Value V =Other W =Es~imalcd

E =$15.001 - $50.000


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SARIS, PATTI B.


05/13/201 I


A. B. D.

Descrip tio n o f A sse ts In co m e d u r in g Transactions during ~rti ng period

(including trust assets) repor t ing per iod

(I) (2)

i A m o u n l Type (e .g . ,C o d e I div., rant,(A-It) or int .)

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

exempt from prior disclosure

Gross va lue a t endo f r e p o r t i n g p e r i o d

O) (2)Value Value

Co de 2 M etho d(J-P ) Co d e 3

(1 )Type (e .g . ,

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

(2) (3) (4) ( 5 )D a te V alu e G ain I d e n t i t y o f

wa rdd d~ y Code 2 Co de I buyer/seller( J -P) ( A - H ) ( i f pr iva te


86. - Chilmark, MA M unicipal Bd S o l d 08/24/10 K A

87. - MA Bay Trans Auth M unicipal Bd S o l d 08/24/10 K B

88. - MA St Health & Ed Mun icipal Bd S o l d 08/24/I0 K C

89. - MA W ater Pollution Municipal Bd S o l d 08/24/10 K A

90 . - Norwood, MA M unicipal Bd S o l d 08/24/10 L A

91 . - University MA Bldg Auth M unicipal Bds S o l d 08/24/10 L C

92 . - MA St Port Auth M unicipal Bds S o l d 08/24/10 K A

93 . - MA St Tpk Auth M unicipal Bds S o l d 08/24/10 L

94 . - UBS RMA TaxFree Fd cash eq mu tual fd S o l d 08/27/10 L

95. - Boston, MA M unicipal bd S o l d 08/24/10 K B

96. - Ishares MSCI Brazil Index Fd (mutual fd)

97. - SPDR Gold Trust (mutua l fd)

98. - Federated US Treas Cash Rsv m oney m rkt Buy03/01/10 J(m utual fd) (addl)

99 . Bu y 05121/10 J(addl)

100. Buy 08/27/10 N(addl)

1 0 1 . Bu y 12/23/I0 J(addl)

1 0 2 . Bu y 12/30/10 J(addl)

1. Income Gain Codes: A -$1.000 or less B =$ 1,001 - $2.500 C =$2.501 - $5 .000 D =$5.001 - $15.000(See Columns BI and D4) F = $50,001 - $ 100,000 G = $100.001 - $1.0~0.000 Ill = $1.000.001 - $ 5.000.000112 =More than $5,000,000

2. Value Codc~ J =$15.000 or le~s K =$15.001 - $50.0~O L =$50.001 - $ 100.000M =$ 100.001 - $250,000

{See Columns CI and D3) N =$250,001 - $ 500.000 O = $500.001 - $1.000.000 PI = $1.000.0~1 - $ 5.000,000P 2P3 =$25,000.001 - $50.0~0,1~0 P4 =More titan $50.000.0~0

3. Value Method Codes Q =Appraisal R ~:Cost IReal Estate Onlyl S =Asscssmcm T =~ash Markc~

{See Colum n C2) U -Book Value V =O~her W Estimated

E =$15,0~1 - $ 50,000


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SARIS, PAYrl B.


05/13/201 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 o m e , , a l u . , ~ a . ~ a c , io . ~ a . d .d , ~ th o s . o l sp a u s e a n d H e p e n d e n tsee p p . 3 4 - 6 0of filing n s t r u c t i o n s ~ )


Description of Assets Income during(including trust asset~) r e p o r t i n g p e r i o d

(0 (2)P la c e " (X )" a f te r e a c h a s s e t i A m o u n tTy p e ( e . g .,

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

Gross value at endo f r e p o r t i n g I x - r i o d

(I) (2)

Value ValueCode 2 M e th o d

( J - P ) Code 3

Transac t ions dur ing repor t ing per iod

(I) (2) (3) (4) (5 )Type (e.g., Date Value Gain Ident i ty of

buy, sell , r nm /d d~ ,y C od e 2C o d e I buyer/seller

r e d e m p t i o n ) (J-P ) (A -H) (if privatetransaclion)

1 0 3 .

104.

1 0 5 . - Vanguard Developed Mkts Index, mutual

fd (x)

106. - Vanguard D ividend Ap pre, mutual fd (x)

107. - Vanguard Em erging Markets , mu tual fd (x)

108. Trust # 9

1 0 9 . - MA Comm onwea l th SR A Muni Bds(formerly MASt Gn l Oblig)

110. - MA Comm onwea l th SR B Muni Fds(formerly MA St Grant Antic)

111. - Chilmark, MA Municipal Bd

112. - MA Bay Trans Auth Municipal Bd

113. - MA Health & Ed Municipal Bd

114. - MA Water Pol lut ion Municipal Bd

115. - Norwood , MA Municipal Bd

I 16. - Universi ty MA Bldg Auth Municipal Bd s

117. - MA St Port Auth Municipal Bds

118. - MA St Tpk Aulh Municipal Bds

119 . - New Bedford MA G/O M unic ipa l Bds

E Int./Div. N

Sold(part)

Sold(pa r t )

Buy

Buy

B uy

T

Sold

Sold

Sold

S o l d

S o l d

S o l d

S o l d

S o l d

Sold

Sold

Sold

09/21110

0 9 1 2 2 ! 1 0 1

09/20/10

09/21/10

09/20/10

08/24/I 0

08/24/10

08/24/101

08/24/10

08/24/10

08/24/10

08/24/10

08/24/10

08/24/I 0

06/28/10

08/24/10

M

M

M

M

M

K

J

K

K

L

K

K

K

K

K

A

B

B

B

A

B

A

I. Income Gain Codes: A =$ 1.000 or Icss B =$1,001 - $2.500 C =$2.501 - $5.000 D =$5.001 - $15.000

(Sc Columns BI and D4) F =$ 50.001 - $ 100,000 G = $100.001 - $1.000.0~0 I11 = $1.000.001 - $ 5.000.000112 =More than $5.000.000

2. Value Codes J -115.009 or less K =$15.001 . $50.000 L =$50.001 . $100.000 M =$ 10O.001 - $250.000

(.Sc Columns CI and D3) N =$ 250.001 - $ 500.0~ 0 O = $5 00.001 - $ 1.000.0(~ PI =$1,000,001 - $5.0~O,000 P2 = $5.000.001 - $25,000.000

P3 =$25.000.001 o $50.000.000 P4 = More than $5 0.000.0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

ISc Column C2) U =Hook Value V =O~her W = Eslimated

E =$15.091 - $50.000


11/64

FINANCIAL DISCLOSURE REPORT

Page 11 of 64

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

SARIS, PAVI I B .


05/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n co ,, ,e ,value, transactions (Includes those of spous e and dependent children; seepp. 34-60 of filing instructions.)


D e s c r i p t i o n o f A s s e t s Tr a n s a c t i o n s d u r i n g r e p o r ti n g p e r i o d

( i n c l u d i n g t ru s t a s s e ~ )


I n c o m e d u r in g G r o s s v a l u e a t e n dr 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) (I) (2) (1 ) (2) (3) (4) (5 )A m o un t T y p e (e .g . ,Value Value T y p e ( e . g ., D a t e Va l u e G a i n I d e n t i ty o fC o d e I d iv . , r e n t , C od e 2M e t ho d b u y, s e l l , mm/dd , 3 ,yC o d e 2C o d e I b u y e r / s e l l e r( A - H ) or in t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) (A -H ) (if p r iv a te

( Q - W ) t r a n s a c t i o n )

120. - UBS RMA TaxFree Fd cash eq m utual fd

121. - Boston, MA Municipal bd

122. - lshares MSCI Brazil Index Fd (m utual fd)

123. - SPDR Go ld Trust (mutual fd)

124. - Federated US Treas Cash Rsv m oney m rkt(mutual fd)

1 2 5 .

1 2 6 .

1 2 7 .

128.

1 2 9 .

1 3 0 . - Vanguard Developed Mkts Index, mutualfd (x)

131. - Vanguard Dividen d Appre, m utual fd (x)

132. - Vanguard Em erging Markets, mutual fd (xI

133. Trust # 10

1 3 4 . - Travelers Life & Annuity Ins Co, universall ife insurance

135. Trust#11

1 3 6 . - Manulife Finl Corp (formerly JHancockFinl Svcs), common

None W

Sold 08/27/10 K

Sold 08/24/10 K


Bu y 05/21/10 J(addl)

Bu y 08/27/10 N(addl)

Bu y 12/23/10 J(addl)

Sold 09/21/10 M(part)


Bu y 09/20/10 M

Bu y :09/21/10 M

Bu y 09/20/10 M

A Dividend PI W

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 C =$2.501 -$5.000(Scc Columns BI and D4) F = $50,001 - $ 100.000 G = $100.001 - $ 1.000.000 III =$1.000.001 - $5.000.000

2. Value Codes J =$15.000 or Ices K =$15.001 - $50.0(~ L =$50.0OI - $100.000

tSce Colum~ Cl and D3) N =$250.001 - $500.000 O =$ .~0.001 - $1,000.000 PI =$1,000.0OI - $5.000.000P3 =$25.000.001 - $50.000.000 P4 =More than $50.000.0~O

3. Value Mclhod Codes Q :Appraisal R ~Cost (Real Estate Only) S =Asscssmcm

(See Column C2) U =Book Value V =O~her W = Estimated

D =$5.001 - $15.000

112 =More than $5.000.000M = $100.001 . $250.0~0P 2=$5.000.001 - $25,000.000

T ~Cash Markc~

E =$15.001 - $50.1~0


12/64

FINANCIAL DISCLOSURE REPORTPag e 12 of 64

N a m e o f P e r so nReporting

SARIS, PATTI B .

Date ofR e p o r t

05/13/201 I

VII. IN VESTM ENTS and TRU STS -inco~ ,e, v.l.e, ,r . . ..io ~(Includes those of spouse and dependent children; seepp.3 4 - 6 0of filing instructions.)


A. B. D.

Description of Assets Income during Transactions during reporting period(including trust assets) reporting period

(1 ) (2 )I A m o u n t Ty p e ( e . g .,

C o d e 1 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 te x e m p t f r o m p r i o r d i s c l o s u re

Gross va lue a t end

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

(I) (2)Value Value

C o d e 2 Method

(J-P ) Co d e 3( Q - W )

(I ) (2) (3) (4) (5 )Ty p e ( e . g . , D a t e Va l u e G a i n I d e n t i ty o fb u y, s e l l , m m / d d h y yC o d e 2C o d e I b u y e r / s e l l e r

~demption) (J-P) (A -H ) (if p r iv a tet r a n s a c t i o n )

1 3 7 . - Sun Life Assurance, un iversal l ifeinsurance

138. - Manufactu rers Life Ins, universal life (JohnHancock)

1 3 9 . - Federated USTreas Cash Rsv cash eqmututal fd

140. MA Water Pollution Mun icipal Bonds Interest K

141. Tucker Anthony Private Equity Fund IV

142. IRA Rol lover

F Distribution N U Bu y 03/24/10 J(addl)

O W

1 4 3 . - Federated USTreas Cash Rsv cash eqmutual fd

144. - Zoom Information lnc CI B closely held

Dividend J T

None J W

145. - Vanguard lnflat Protect mutual fd

146.

1 4 7 .

1 4 8 .

149. Battery Ventures VI L.P.

Dividend O

Distribution L

T Buy 03/29/10(addl)

Buy 06/28/10(addl)

Buy 09/27 /I0(addl)

Buy 12/28/10(addl)

J

J

J

J

150. Friends of Lim e Ro ck II L.P. G Distribution M U

151. Park St Capl Natural Res Fd L.P.

152. Patron Ca pital L.P. 1

153. US Fidenza LLC

F Distribution N

G Distribution N

None K

U

U

U

Bu y(addl)

S o l d(pa r t )

12/28/10

09/22/10

J

J

1. Income Gain Codes:(See Columns BI and 1)4)

2. Value Codcs

tSee Columns CI and D3)

3 . Value Method Codes(Sc ColumnC 2 )

A =$1,000 or less

F =$50.0~1 - $100.000J =$15.000 or lessN =$250,001 - $500.000P3 =$25.000.0DI - $50.000.000Q =AppraisalU = Book Value

B -$1,001 - $2,500G =$100.001 - $1,000.0~0K =$15,001 - $50.000O =$500.001 - $1,000.000

R =Cost (Real EstateO n l y )V =O~her

C =$2.501 - $5,000I11 =$1,000.001 - $5,000.000L =$50.0OI - $100,000

PI =$1,000.001 - $5.000.000P4 = More lhan $50.000,000

S ~AssessmtmtW = Estimated

D =$5,001- $ 1 5 , 0 0 01 12=More than $ 5.000,1~M =$100.001 - $250.000P2 =$5.000.001 - $25.000.000

T =Cash Market

E =$ 15,001 - $50,000


13/64

FINANCIAL DISCLOSURE REPO RTPage 13 o f 64


SARIS, PATTI B .


05/13/2011

V I I . I NV E S T M E N T S a n d T R U S T S -incom e, v aluo, ~o,~o~io~ anclud~ those oI*p ......d d e p e n d e n t c h i l d r e n ;sec pp . 34 -60of filing instructlon~)


A. B. C.D e s c r i p t i o n o f A s s e t s Income during G r o s s v a l u e a t e n d

( 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 f r e p o r t i n g p e r i o d(I) (2) (t) (2)

P l a c e " ( X ) " a f te r e a c h a s s e t i A m o u n tTy p e ( e . g ., Value Valuee 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 d iv ., re n t , C od e 2M e th o d

(A-H) or int.) ( J -P) C o d e 3( Q - W )


(I ) (2) (3) (4) (5 )Ty p e ( e . g . , D a t e Value Gain Identityo fbuy, sell, mm/dd~,y Code 2 Code I buyer/seller

re d e m p tio n ) ( J - P )(A-H) ( i f pr iva tet r a n s a c t i o n )

154. US Wertheim LLC None M U

1 5 5 .MFB Northern Trust Co Funds Muni MMcash equiv.

A Dividend M

156. Northn AZ Univ Revs Mun icipal Bond D Interest N

See Part VIl l

157. Phoenix AZ Civic Impt Mun icipal Bond D Interest N

158. Trust# 14 E Distribution O T

1 5 9 . - Federated USTreas Cash Rsv ca sh eqmutual fd

1 6 0 . - Int in MECM Investmen ts LLC (closelyheld) (x)


Sold 02/19/10(part)

1 6 2 . - Federated USTreas Cash Rsv ca sh eqmutual fd

1 6 3 . - Int in MECM Investments LLC (closelyheld) (x)


Sold 02/19/10(paN)

1 6 5 .- Federated USTreas Cash Rsv c ash eqmutual fd

1 6 6 . - Int inMECMlnvestments LLC(closelyheld)(x)


Sold( p a N )

02/19/10

1 6 8 . - Federated USTreas Cash Rsv c ash eqmutual fd

1 6 9 . - Int inMECMlnvestments LLC(closelyheld)(x)

170. Park St Capital V LP G Distribution O

Sold 02/19/10(part)

U Bu y(addl)

12/28/10

I. Income Gain Codes:

(See Columns BI and D4)2. Value Codes

(See Columns CI and D3)

3. Value Method Codes(Sec Column C2)

A =$1,000 or lessF =$50,001 -$ 1 0 0 . 0 0 0J =$15.000 o les~

N =$250.001 - $500.0(~P 3=$25.000.001 - $50.000.0~0Q =AppraisalU =Boak Value

B =$1,001 - $2,500O =$100.001 - $ 1.0~0.000K =$15,001 - $50.0~OO = $ 5 0 0 . 0 0 1 - $ I , O ~ l . O 0 0

R =(7os t (Real Estate Only)V =Other

C =$2.501 - $5,000

I I 1 =$ 1,000.001 - $5.000.000

L =$50,001 - $100.000

PI =$1,000,001 -

P4 =More t i tan $50.009.000

S =Asscssmen!W =Esl imatcd

D =$5,001 - $15,0~O112 =More lhan $5.0~0.~0M =$100.001 -$250.000

P2 =$ 5.000.001 -$ 2 5 . 0 0 0 , 0 0 0

T =Cash Market

E =$15.001 -$ 5 0 , 0 0 0


14/64


N a m e o fPerson Reporting

SARIS,PATr l B .


05/13/201 I

VII. INVESTM ENTS and TRUSTS- i .... e ,value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructlons;)

NONE (Noreportable income, assets, or transactions.)

Dcser ip t ion o f Asse ts I n c o m e d u r i n g

(inc luding tru st asse ts) rep orting perio d

[ (i) (2)Place "(X)" after each asset A m o u n t Ty p e(e.g.,

C o d e Iexempt f rom pr ior d isc losure div. , ren t ,(A-H) or int .)

Gross va lue a t endof repor t ing per iod

(1) (2)Value Value

C o d e 2 Method

(J-P) C o d e 3

( Q - X V )

(1 )Ty p e(e.g.,buy, sell,



(2) (3) (4) (5 )D a t e Value Gain Identityo f

m m /d d! yy Co de 2Code I buyer/seller( J - P ) ( A - H ) ( i f pr iva te

t ransac t ion)

171. Buenos Aires Residential Co LLC None Redeemed 07/21/10 L See Part VIII

1 7 2 .Plymouth Rock Co Inc OC CI A - common13 Dividendstock

173. CA St M unicipa l Bds B I n t e r e s t M T

174. Texas Mun Pwr Mun icipal Bds

1 7 5 .

I n t e r e s t Sold 05/06/10 N(part)

Sold 09/01/10 L

176. Buenos Aires R esidential Co II LLC

177. Fr iends of Lime R ockIII LP

1 7 8 .

179. Highfields CapitalI1 LP

E D i s t r i b u t i o n K

None O

None P 1

U Redeem ed 02/02/10 M(part)

U Bu y 04/01/10 K(addl)

Bu y 08/06/I 0 J(addl)

U

See Part Vlll

180. Millgate Partners II, LP None P 1 U

181. WMD, LP None K W

1 8 2 . Park S t Na tu ra l Resource FundII Com bined GDistr ibut ion(Private Equity)

O Bu y(addl)

02/08/10 J

183. Bu y(addl)

02/22/10 J

1 8 4 . Buy(addl)

04/12/10 J

185. Buy(addl)

05/26/10 J

1 8 6 . Bu y(addl)

09/29/10 J

1 8 7 . Bu y(addl)

10/12/10 J

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5.000 D =$5.001 - $15,000

(See Columns B 1 and D4) F =$ 50,001 - $ 100.000 G =$ 100.001 - $ [ .000,000 I 11 = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0I 1 2 ~ M o r e th a n $ 5 . 0 0 0 . 0 0 0

2. Value COd~ J =$15,000 or Ices K =$15,~1 - $ 50.000 L =$50,001 - $100,000 M = $100.001 - $250.0(~

(S~ Columns CI and D3) N =$ 250,001 - $ 500.000 O =$ 500.001 - $ 1,0~ 0.00~ PI =$1,000,001 - $5.000.000 P2 =$5.0~).001 - $25,000.0~O

P3 =$25.00~.001 - $50.000,000 P4 =Mo re than $50,000.0~)3. Value Method Codes Q =Appraisal R ~Cost (Real Estate Only) S =Assessment T =C~sh Marke~

(S


15/64

FINANCIAL DISCLOSURE REPOR TPage 15 of 64 I

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

SAR IS, PAT I I B .


05/13/201 I

V l 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 a l.e , ~ . .. .~ i o . s(l, dudes,hose of spouse and dependent children; see p p . 3 4 - 6 0of filingi n s t r u c t l o n &


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 in g( i n c l u d i n g t n ~ s t a s se t s ) rel~rting period

P l a c e " ( X ) " a f te r e a c h a s s e t i A m o u n tT y lx (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 re 1 C o d e I d i v. , r e n t ,

~ I ( 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 d(1) (2)

Va l u e Va l u eC o d e 2 M e t ho d

(J-P ) Co de 3( Q - W )

Tr a n s a c t i o n s d u r i n g r e p o r ti n g p e r io d

(I) (2) (3) (4) (5 )Type (e.g., Date Value Gain Ident i ty of

buy, sell , m m / d d / y yC o d e 2 C o d e I buyer/seller

r e d e m p t i o n ) (J-P) (A-H) (if privatetransaction)

188. Park Street Capital VI (Private Equity Fd)F Dis t r ibut ion U Bu y 03/24/10 J(addl)

189. Bu y 05/I 1/10 J(addl)

1 9 0 . Bu y 06/29/10 J

(addl)

1 9 1 . Bu y 09/28/10 J(addl)

192. Bu y 10/01/10 J(addl)

1 9 3 . Bu y 12/29/10 J(addl)

194. Patron Capital LP II (private equity) None P1 Bu y 07/27/10 K(addl)

1 9 5 . Bu y 04/27/10 K(addl)

196. Bu y 12/06/10 K(addl)

197. Orion Eruope an Real Esta te Fd I I , C.V. , LP G Dis t r ibut ion Bu y 07/19/10 M(addl)

198. US Dublin LLC None L

199. Europa Fund II US LP E Distribution O W Bu y 07/15/10 K(addl)

200. Bu y 09/09/10 L(addl)

201. Weston P residio V LP G Distribution N U Bu y 04/01/10 K(addl)

202. IL St Municipal B ds D Interest N T

203. NJ Dev Auth Municipal Bds D Interest M Matured 09/01/10 M(pan)

204. Trust# 18 E Dist r ibut ion PI T

I. Income Gain Codes: A =$1,000 or less B =$1.001 - $2.500 C =$2,501 - $5,000

(Scc Columns BI and D4) F = $50,001 - $ 100,000 G = $100,001 - $ 1,000.000 Ill =$1.000.001 - $5.000.000

2. Value Codes J =$15.000 or less K =$15.001 - $50.000 L =150.001 - 1109.000

(Scc Columns CI and D3) N =$250.001 - $ 500.000 O =$ 500.001 - $1.000.000 PI = $1.000.001 - $ 5.000.000P3 = $25.00~.001 - $50.000.000 P4 =More Ihan $50.000.000

3. Value Method Codes Q =Appraisal R ~Cost (Real [~talc Only) S = A s s e s s n i e / l!(.See Column C21 U =Book Value V =Other W =Estimated

D ~$5.001 - $15.000

112 =More than $5.000.000M =$100.001 - $250.000

P2 =$5.000.001 - $25.000.000

T =Cash Markl

=$15,001 - $50.000


16/64



SARIS, PAI[I B.

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

05/13/201 I

VII. INVESTM ENTS and TRUSTS- i .... e ,value, transactions (Includes those of sp ...... d depe ndent children; seepp. 34-60 of fillng instruetionsO

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

Descr ip t ion of Asse ts I n c o m e d u r i n g

( inc luding t rus t asse t s ) repor t ing per iod

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

exempt f rom pr ior d isc losure C o d e I div,, rent,i (A-H) or int .)

Gross va lue a t endof repor t ing pedod

(i) (2)Value Value

C o d e 2 Method(J-P) C o d e 3


(I ) (2) (3) (4) ( 5 )Ty p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, sell, mm/dd.,~Code 2 Co de I buyer/seller

r e d e m p tio n ) (J - P )(A-H) ( i f pr iva tet r a n s a c t i o n )

205. - Federated USTreas Cash Rsv cash eqmutual fd

206.

:207.

208.

209.

210.

]211.

212. - lnt in MECM Investments LLC (closelyheld) (x)

213. Trust# 19

Sold ! 0 1 1 1 2 1 1 0 J(part)

Bu y 04/16/10 K(addl)

Bu y 06/03/10 J(addl)

Buy 109/08/10 J(addl)

Bu y 10/14/10 J(addl)

Bu y 12/03/10 J(addl)

Bu y 12/20/10 J(addl)

E Distribution P1 T

214. - Federated USTreas Cash Rsv cash eqmutual fd

215.

216.

217.

218.

219.

220.

221. - lnt in MECM InvestmentsL L C(closelyheld) (x)


Bu y 04/16/10 K(addl)

Bu y 106/03/10 J(addl)

Bu y 09/08/10 J(addl)

Bu y 10/14/10 J(addl)

Bu y !12/03/10 J(addl)

Bu y 1 2 1 2 0 / 1 0 J(addl)

I. Income Gain Codcs: A =$1.000 or le~s B =$1,001 - $2.500 C =$2,501 - $5.000 D =$5,001 - $15.0~O(Sc C01umns B I and IM) F =$ 50.001 - $ 100.000 G =$100,001 - $1,000.000 I11 =$1.000,001 - $ 5.000.000 112 =More than SS.000.000

2. Value Codc~ J =$15.000 orl e s s K = $15.001 - $50.000 L =$50.001 - $100.000 M =$100.001 - $250.~0

(See Columra CI and D3) N -$ 250.001 - $ 5~ 1.000 O = $500.001 - $1,000.000 PI = $1.000,001 - $ 5.000,000P2 =$5.000.001 - $25.000.000

P 3 = $ 2 5 . 0 0 0 .0 0 1 - $ S 0 . 0 ~ O . 0 O O p4 = More than $ 50.000.000

3, Value Method Codes Q =Appraisal R =Cost (Real Estalc Only) S =Assessment T ~ash Market

(See Column C2) U =Book Value V -Othen W = Estimated

E =$ 15,001 - $50.000


17/64



SARIS, PATTI B.


05/13/201 I

VI I. I NVESTM ENTS and TRUSTS - inco ,~e, v.l.e. ,r . . . .io ,~(Includes those o fxp ......d dependent children;s e e p p . 3 4 - 6 0offillnglnstructlon~)


Descr ip t ion of Asse ts I n c o m e d u r i n g(in c lu ding tru st asse ts ) rep orting p eriod

O) (2)Place " (X)" a f te r each asse t I I A m o u n t Type (e .g . ,

exempt f rom pr ior d isc losure ] Code I div., rent,I (A-H) or int .)


(i) (2)Value Value

Co de 2 M etho d(J-I~ ) C o d e 3

( Q - W )


(I) (2) (3) (4)Ty p e ( e . g . , D a t e Value G a i nbuy, sell , m m !d d~ yy C od e 2C o d e I

~ - d e m p t i o n ) (J-P ) (A-H)

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

b u y e r / s e l l e r( i f p r iva te

w a n s a c t i o n )

222. Trust # 20 E D i s t r i b u t i o n PI T

223. - Federated USTreas Cash Rsv cash eqmutualfd

224.

225.

226.

227.

228.

229.

230. - Int in MECM Investmen ts LLC (closelyheld) (x)

231. Trust # 21


Buy 0 4 11 6 11 0 K

(addl)

Buy 06/03110 J(addl)

Buy 09/08110 J(addl)




E Distribution P 1 T

232. - Federated USTreas Cash Rsv cash eqmutualfd

233.

234.

235.

236.

237.

238.

So ld 01/12/10 J(part)

Bu y 04/16/10 K(addl)

Bu y 06/03/10 J(addl)

Bu y 09/08/10 J(addl)

Bu y 10/14/10 J(addl)

Bu y 12/03/10 J(addl)

Buy 12/20/I 0 J(addl)

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2.500 C =$2,501 - $5.000 D =$ 5,001 . $15.000

(5 C o l u m n s B 1 a n d 1 3 4 ) F =$ 50,001 - $ 100.000 G =$100.001 - $1,000.000 I 11 =$ 1.0~0.001 - $5.000.000 112 =More than $5.0~),000

2. Value Co&s J =$15.000 or less K = $15.001 - $50,000 L =$50.001 - $100.000M =$100.001 - $250,0~O

(.Scc Columns CI and D J) N = $250.001 - $ 500.000 O = $5 00.001 - $ 1.000.000 P I = $1,000,001 - $ 5,000,000 P2 = $5 .000,001 - $ 25,000.000P3 =$25.000.001 - $50.000.000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Eslatc Only) S =Ass~ssmcm T =Cash Market(S~ Column C2) U=13c~k Value V =O~her W =Eslimated

E =$15,001 - $50,000


18/64

FINANCIAL DISCLOSURE REPO RTPage 18 of 64


SARIS, PATTI B .

Date of Report

05/13/201 I

V I I. IN 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 instructions.)


A. B. D .D e s c r i p t i o n o f A s s e t s Income during Tr 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 e p o r t i n g p e r i o di (t) (2 )A m o u n tT ~(e.g.,C o d e I div., rent,(A-H) or int .)

P l a c e " ( X ) " a f te r e a c h a s s e te x e m p t f r o m p r i o r d i s c l o s u r e


(i) (2)Value Value

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

( Q - W )

(I ) (2) (3) (4) (5 )Ty p e ( e . g . , D a t e Va l u e G ain Id e n ti ty o fb u y, s e l l , m m t d d ! y yC o d e 2 C o d e I b u y e r /s e l l e r

r e d e m p t i o n ) ( J -P) ( A - H ) ( i f p r iva tet r a n s a c t i o n )

239. - Int in MECM Investments LLC (closelyheld) (x)

240. TA Investors L.P None J W

241. Wavema rk Inc Set A pfd stock None N T

242. Centerbridge Cap Ptnrs LPs (Priv. Eq)

243. Global Hotel Cap B V (priv Eq) (y)

HI Distribution PI U Bu y 04/30/10 M(addl)

244.

245.

246.

247.

248.

249.

250.

251.

Lime Ro ck Partners IV LP (combined)(private equities)

Park St Cap Priv Eq Fd Vll ALP

252. Park St Cap Natural Res Fd Il l LP com bined(priv Eq)

253.

254.

255.

Distribution

D i s t r i b u t i o n N

Distribution P I

U Bu y 07/02/10 J(addl)

Bu y 04/15/10 K(addl)

Bu y 08/26/10 M(addl)

U Bu y 01/19/10 J(addl)

Bu y 06/22/10 J(addl)

Bu y 07/01/10 J(addl)

Bu y 09/27/10 J(addl)

Bu y 12/27/10 J(addl)

U Bu y 02/12/10 K(addl)

So ld 04/15/10 K(part)

So ld 06/30/10 J(part)

Bu y 08/13/10 K(addl)

I. Income Gain Codes: A =$ 1.000 or less 1 3 = $ 1 , 0 0 1 - $ 2 . 5 0 0 C =$2.501 - $5,000 D =$ 5.001 - $15.000

(See Columns BI and 1)4) F =$50.001 - $100.000 G = $ 10 0.0 01 . $ 1.0 00 .0 00 I II = $ 1.0 00 ,0 01 - $ 5.0 00 .0 00112 =More than $5.000.000

2. Value Codes J =$15.000 or less K =$15.0OI - $50.000 L = $50.001 - $100.000 M =$100.001 - $250.000(ScColumns CI and D3) N =$ 25 0.001 - $ 500.000 O =$ 500.001 - $ 1.000.000 PI =$1.000,001 - $5.000.000 P2 =$5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000.000 P4 = More than $5 0.000.0003. Value Method Codes Q =Appraisal R =Cost {Real Estate Only) S = A s s c s s n g n t T =Cash Mark~

{See Column C2) U =Book Value V --Other W =Estimated

E =$15,001 - $50.000


19/64



SARIS, PATTI B.

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

05/13/2011

VII. INVESTM ENTS and TRUSTS - i........ l uG , t r ansac t l on~(Includes those of spouse and dependent children; see pp.3 4 - 6 0o f f ! ll n g i n s t r u c t i o n g )


Descr ip t ion of Asse ts Transac t ions dur ing repor t ing per iod

( inc luding t rus t asse t s )


I n c o m e d u r in g Gross va lue a t endre po rtin g p eriod o f re por tin g pe rio d

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

A m o u n t Type (e.g., Value Value Type (e.g.. Date Value Gain Ident i ty ofC o d e I div., r~at, Co d e 2 M etho d bu y, se ll, tr tm/dd/yy C o d e 2 C o d e I buyer/seller(A-H) or int .) (J-P) Code 3 re d e m p tio n ) (J-P ) (A-tl) (if private

( Q - W ) t ransac t ion)

256. Bu y 08/19/10 K(addl)

257. Bu y(addl)

11/18/10 L

258. Polaris Ven t Part Entrep Fd V LP None O U Bu y 03/19/10 K(addl)

259. Bu y 04/29110 K(addl)

260. Bu y 06/28/10 K(addl)

261. Bu y 10/18/10 K(addl)

262. Summit Ptm s Priv Eq Fd VII-A F Distribution O U Bu y 02/26/10 K(addl)

263. Bu y 04/09/10 K(addl)

264. Bu y 04/27/10 J(addl)

265. Bu y 05/12/10 K(addl)

266. Buy 05/21/10 J(addl)

267. Bu y 10/14/10 K(addl)

268. Bu y 12/13/10 K(addl)

269. TAX LP (Priv Eq)

!270.

Distribution P I U Bu y(addl)

Bu y(addl)

02104/I 0

03/26/10

K

K

271. Buy 04/01/10 K(addl)

272. SPDR Go ld Tr (form erly Streetlracks GoldTrust) mutual fd

None P2 T Donated(pan)

I. Income Gain Codes: A =$1,000 or less B =$1.001 - $2,500 C =$2,501 - $5,000 D =$5 .001 - $15,1)00(See Colum ns BI and D4) F =$50.001 - $ 100.0~) G =$100.001. $1,000.000 |11 =$1.000,00| - $5.000,000112 =More than $5.000.000

2. Value Codes J = $ 1 5 . 0 0 0 o ~ " I c e s K =$ 15,001 - $50.000 L = $50.0~ 1 - $ 10~ .0(EI M =$ 100.001 - $ 250.000

(Se~ ColumnS CI and D3) N =$250.001 - $500,000 O = $500,001 - $1,000.000 PI =$1.000,001 - $5,000,000P2 =$5,000.001 - $25.000.000P3 =$25.000.001 - $50.0~0.000 P4 = More than $ 50.000.000

3. Value Mclhod Codes Q =Appraisal R = Cost (Real E.stale Only) S =Assessment T =~h Market

(Sc Column C2) U =Book Value V -~3ther W = Eslim atcd

E =$15.001 -$50.000


20/64

FINANCIAL DISCLOSURE REPORTPag e 20 of 64

N a m e o f P e r s onReporting

SARIS, PATTI B .

Date of Report

05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S- incom e . ,al,e. ~a,~oo io~ anti, de s thos~ o/sp ......d dependent children: see pp.3 4 - 6 0of fillng instructlon& )

NONE (Noreportable 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( in c lu d in g tru s t a s s e ts ) re p o rt in g p e r io d

[ (I) (2)P la c e " (X )" a f te r e a c h a sse t A m o u n t T yp 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 ,i (A-H) ori n t . )


(1) (2)Va l u e Value

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

(I)Ty p e ( e . g .,buy, sell,



(2) (3) (4) ( 5 )D a t e Value Gain I d e n t i t y o f

mm/dd~y Code 2 Code I buyer/seller( J - P ) (A-H) ( i f pr iva te


273. Realty Assoc Fd V Corp (REIT) A Dividend J W

274. Greenv ille, SC Municipa l bds D Interest Sold 07/13/10 M E

275. Maricopa Cty, AZ Municipal bds D Interest N T

276. Minneapolis, MN Mun icipal bds D Interest M T

277. San Anton io, TX Municipal bds D Interest N T

278. Sweetwater, WY Mu nicipal bds C Interest M T

279. University Idaho Municipal bds D Interest M T

280. Walled Lake, MI Municipa l bds C Interest M T

28 I. UBS RMA T axFree Fd cash eq mutual fd

282.

283.

Dividend Bu y 01/19/10(addl)

Bu y 0 7 / 0 1 / I 0(addl)

Sold 12/14/10

J

J

J

284. Federated US Treas Cash Rsv cash eqmutual fd

1285.

286.

287.

288.

289.

Dividend PI T Bu y 01/04/10 K(addl)

Bu y 01/05/10 J(addl)

Bu y 01/07/10 L(addl)

Bu y 01/08/10 O(addl)

Bu y 01/15/10 M(addl)

Bu y 101/19/10 J(addl)

I. Income Gain Codes: A =$1,00~ or less B =$ 1,001 - $2.500 C =$2.501 - $5,000 D =$ 5.0~1 - $15,000

(See Columns BI and I)4) F =$ 50,001 - $ 100,090 G = $100.001 - $1,009.000 III = $1.000,0~ 1 - $ 5,0~O.000112 =More than $5.000.0~0

2. Valt~ Codes J ~ $15.000 or Ices K = $ I 5 . 0 0 1 - $ 5 0 . 0 ~ O L = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 G O M = $ I 0 ~ . 0 0 1 - $ 2 5 0 .~ ) 0

tS~ Columv~ CI and D3) N =$ 250.001 - $ 500.0~ 0 O =$ 500,001 - $ 1,000.000 PI =$1,000.00 t - $5.000.000 P 2= $ 5 . 0 0 0 . 0 0 1- $25.000.000

P3 =$25.000.001 - $50.000.000 P4 =M~ e Ihan $50.009.0003. Value Method Codes Q =App~isal R =Cost (Real Estate Only) S =Assessmcn! T =Cash Market

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

E =$15,1~1- $50.000


21/64



SARIS, PATTI B.


05/13/201 I

VII. INVESTM ENTS and TRUSTS-i ........ l u e .transactions (Inctudes those of sp...... d dependent children; seepl 34-60 of filing instructions;)


Descr ip t ion o f Asse ts I n c o m e d u r i n g


(1 ) (2 )Place "(X)" after each asset ~, Amount Type (e .g . ,

exempt f rom pr ior d isc losure [ Code 1 div., rent.

i (A-H) or Ju t . )


of repor t ing per iod

(1) (2)Va lu e V alu e

C o d e 2 Method(J-P) C o d e 3

( Q - W )

(i)Ty p e ( e . g .,buy, sell,


Transactionsdur ing repor t ing per iod


m m / d d , ~ yCode 2 Code I buyer/seller

( J - P ) (A-H) ( i f pr iva tet r a n s a c t i o n )

290.

291.

292.

293.

294.

295.

296.

297.

298.

299.

300.

301.

302.

303.

304.

305.

306.

Bu y 01/21/10 M(addl)

Bu y 01/28/10 i O(addl)

.Buy 01/29/10 K

(addl)Bu y 02/02/10 J

(addl)

Bu y 02/04/10 N(addl)

Bu y 02/08/10i K(addl)

Bu y 02/12/10 J(addl)

Bu y 02/19/10: L(addl)

Bu y 03/01/10 K(addl)

Bu y 03/02/10 L(addl)

Bu y 03/04/10 L(addl)

Bu y 03/08/10 K(addl)

Bu y 03/12/10 N(addl)

Bu y 03/15/10 L(addl)

Bu y 03/22/10 L(addl)

Bu y 03/24/10 J(addl)

Bu y 03/26/10 K(addl)

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2.500 C =S2.501 - $5,000 D =$5.001 - $15,000(See Columns BI and D4) F =$ 50,001. $100.000 G =$100.001 - $1.090.000 III =$1.000.001 - $5,000.000 112 =More than $5.000.000

2. Value Codes J = $ 1 5 . 0 0 0or less K =$15.001 - $50.000 L =$50.001 - 1100.O00 M =$ 100.001 - $250.0(}0

(St~ Columns CI and D3) N = $250.001 - $ 500.000 O = $50~ .001 - $ 1.0(10.000 P l = $1,000.001 - $ 5,000,000P2 =$5,000.001 - $25.000.000

P3 = $25.000.001 - $5 0,000,0~ P4 =More Ihan $50.000.0~03. Value Method Codes Q =Appraisal R =Co sl IR ea l [:sta te On ly) S = As se ssm en t T =Co.sh Market

(S Column C2) U Book Value V =Olh,"r W =Estimated

E =$15.1)OI - $50.(~O


22/64


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

SARIS, PATTI B.


05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S-incom e. vat, e . ~,,~=ao,~ anct~d~ tho,, o/spo .....d dependent children; see pl~34-60 of fillngi n s t r u c t l o n


A. B. D.

Description of Assets Income during Transactions during reporting period

(including trust assets) reporting period

(I) (2)

i Amount Ty p e(e.g.,Code I d i v. , r e n t ,( A - H ) o ri n t . )



(i) (2)Va lu e V alu e

Code 2 Method

(J -P) Code 3(Q-w)

Ty p e(e.g.,buy, sell,


(2) (3) (4) (5 )D a t e Value . Gain I d e n t i t y o f

m m ! d d ~ Code 2 Code I buyer/seller( J - P ) (A-H) ( i f pr iva te


307.

308.

309.

310.

311.

312.

313.

314.

315.

316.

317.

318.

319.

320.

321.

322.

323.

Bu y 03/30/10 J(addl)

Bu y 03/31/10 L(addl)

Bu y 04/05/10 J(addl)Bu y 04/07/10 K

(addl)

Bu y 04/16/10 J(addI)

Bu y 04/28/10 J(addl)

Bu y 04/29/10 J(addl)

Bu y 05/04/10 J(addl)

Bu y 05/21/10 J(addl)

Bu y 05/25/10 L(addl)

Bu y 06/01/10 K(addl)

Bu y 06/02/10 J(addl)

Bu y 06/08/10 J(addq)

Bu y 06/14/10 M(addl)

Bu y 06/18/10 L(addl)

Bu y 06/23/10 J(addl)B u y 06/24/10 J

(addl)

I. Income Gain Codes:

(Scc Columns BI and D4)2. Valu,: Codes

(See Columrt~ CI and D3)

3. Value Method Codes{See Column C2I

A =$ 1,000 or lessF =$ 50.001 - $100.000J =$15.000 or less

N =$ 250.00| - $500.000P 3 = $ 2 5 . 0 0 0 . 0 0 1- $50.000,000

Q =AppraisalU =Book Value

B =$1,001 - $2.500

G =$ 100,0~ I - $1.000.000K =$15.001 - $50.000O =$500.001 - $1.00~.000

R =Cost (Real Estate Only)V = O ~ h c r

C =$2.501 - $5,000III =$1.000.001 - $5.000.000L =$50,001 - $100,000

PI =$1.000.001 -P4 = More than $5 0.000.0~0

W = Estimated

D =$5,001 - $15,000112 =More than $ 5.000.000M =$100.001 - $250.000P2 =$5.000.001 - $25.00~.000

T =Cash Market

E =$15.0~1 - $50.000


23/64



SARIS, PATTI B.


05/13/2011

V II. INV ESTM ENTS an d TRU STS - i .. ... vo~,,e. ~- ... ., i o~ a , , d , , , ~ ,~ ,o so o l spo , , so , , , a d ,~ , e , , do , , , a , n ,~ , e




! (i) (2)Place "(X)" after each asset [ A m o u n t Typ (e .g . ,

exempt f rom pr ior d isc losure I Code I div. , ren t ,

i (A-It) or in t . )


O) (2)Value Value

C o d e 2 Method

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

O)Ty p e ( e . g .,buy, sell,




m m/dd~ y Code 2 Code I buyer/seller( I - P ) (A-H) ( i f pr iva te


324.

325.

326.

327.

328.

329.

330.

331.

332.

333.

334.

335.

336.

337.

338.

339.

340.

Bu y 06/29/10 L(addl)

Bu y 06/30/10 L(addl)

Bu y 07/01/10 N(addl)Bu y 07/07/10 J

(addl)

Bu y 07/12/10 K(addl)

Bu y 07/14/10 K(addl)

Bu y 07/15/10 M(addl)

Bu y 07/16/10 K(addl)

Bu y 07/22/I 0 J(addl)

Bu y 07/23/10 L(addl)

Bu y 08/02/10 K(addl)

Bu y 08/05/10 J(addl)

Bu y 08/11/10 M(addl)

Bu y 08/23/10 K(addl)

Bu y 09/03/10 K(addl)

Bu y 09/09/10 L(addl)

Bu y 09/16/10 K(addl)

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2.500 C ~$2,501 - $5.000 D =$5,001 - $15,000

(See Columns B I and D4) F = $50,001 - $ 100,000 G = $ 100.001 - $ 1.000.000 I II =$ 1 .000 .001 - $5 ,000,000 112 =More than $5 ,000.000

2. Value Codes J =$15.000 or(See Columns CI andD 3 ) N -$250.001 - $5 00.000 O =$500.001 - $1.000.0OO PI =$1.00~.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000.0~0 P4 =More titan $50.000.0~03. Value Mclhod Codes Q =Appraisal R =Cost (R eal E-stale Only) S =Ass~ssmcnl T =Cash Markc~

( S ~ CC o h u n n C 2 1 U =Book Value V =O~hcr W = Eslimaled

E =$ 15,001 - $50,000


24/64



SARIS, PATTI B.


05/13/2011


A. B. D.

D e s c r i p t io n o f A s s e t ~ Income during Transactions during reporting period


(0 (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 Ty p e ( e . g .,

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


O) (2)V alu e V a lue

C o d e 2 Method( J -P) C o d e 3

( Q - W )

(1 )Type

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


mm/dd~y Code 2 Code I buyer/seller( J - P ) (A-H) ( i f pr iva te


341.

342.

343.

344.

345.

346.

347.

348.

349.

350.

351.

352.

353.

354.

355.

356.

357.

Bu y 09/17/10 N(addl)

Bu y 09/24/10 K(addl)

Bu y 09/28/10 K(addl)Bu y 09/30/10 K

(addl)

Bu y 10/01/10 K(addl)

Bu y 10/04/10 J(addl)

Bu y 10/06/10 L(addl)

Bu y 10/08/10 K(addl)

Bu y 10/12/10 K(addl)

Bu y 10/13/10 K(addl)

Bu y 10/18/10 K(addl)

Bu y 10/19/10 K(addl)

Bu y 10/29/10 J(addl)

Bu y I 1/01/10 O(addl)

Bu y 11/04/10 K(addl)

Bu y 11/16/10 L(addl)

Bu y 11/19/10 K(addl)

I. Income Gain Codes:(See Columns BI and IM)

2. Value Codc~ISee Columm CI and D3)

3. Value Mclbod Codes{See Column C2)

A =$1.000 or less

F =$ 50.0~I - $100,000

N =$250.0~1 -$500.000P3 = $25,0(~.001 - $50.0~0.0~0Q =Appraisal

U =Book Value

=$1,001 - $2,500

=$ 100,001 - $1,000,0~0=$15.001 - $50.000=$500.001 - $1,000.000

~Cost( R e a lF.staleO n l y )= O ~ h e r

c =$2,501 - $5,000It I =$ 1,000,001 - $5.000,000L ~$50,001 - $100.000PI =$1.0~0.001 - $5,000,000P4 = More than $50.0~1.000

W = Estimated

D =$5,001 - $15.0001 1 2=More than $5.000.000M =$100.001 . $250.000P2 =$5.000.001 . $25,000.000

T =Cash Markc~


25/64



SARIS, PATTI B.

Date ofR e p o r t

05/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S -i.com e, vo tue. ~o~ocaon, andudes ,hose of sp ......ddependent children; see pp.3 4 - 6 0of filing instructions.)


Descr ip t ion of Asse ts Transac t ions dur ing repor l ing per iod

(including trust assets)


I n c o m e d u r i n g Gross va lue a t end

rep or tin g l~ rio d of rep ota ing pe rio d

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

A m o u n t Type (e.g., Va lu e V alu e Type (e .g . , Date Value Gain Ident i ty ofC o d e I d iv ., ren t, Co d e 2 M etho d buy, se ll, m m / d d h f yCode 2 C o d e I buyer/seller(A-H) or in t . ) ( J -P) Co d e 3 red e m p tio n ) (J-P ) (A -H) ( i f p r iva te

( Q - W ) transaction)

358.

359.

360.

361.

362.

363.

364.

365.

366.

367.

368.

369.

370.

371.

372.

373.

374.

Bu y 11/23/10 K(addl)

Bu y 11/24/10 K(addl)

Bu y 12/01/10 L

(addl)Bu y 12/03/10 O

(addl)

Bu y 12/10/10 J(addl)

Bu y 12/15/10 L(addl)

Bu y 12/16/10 J(addl)

Bu y 12/20/10 J(addl)

Buy 12/21/10 K(addl)

Bu y 12/23/10 M(addl)

Buy 12/27/10 L(addl)

Bu y 12/28/10 M(addl)

Bu y 12/29/10 L(addl)

Bu y 12/30/10 K(addl)

Bu y 12/31/10 M(addl)



I. Income Gain Codes:(S Columns BI and 1)4)

2. Value Codes(see Columns CI and D3)

3. Value Method Codes(See Column C2)

A =$ 1,000 ot less

F =$50,001 - $100.000J

N =$250,001 - $500.000f3 =$25.000.001 - $50,000,000Q =Appraisal

U =Book Value

B =$1,001 - $2.500

G =$100.001 - $ 1.000.000K =$15.001 - $50.!)00O =$5 0~.001 - $1.000.000

R =~ 2ost (Real [.slate Only)V -~h..:r

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

III =$1.00O.001 - $5.000.000L =$50.001 - $10~.0OO

PI =$ 1.000.001 - $5.000.000P4 = More than $50.000.090

W =Esl imatcd

D =$5.001 o $1112 =More than $5.00~,000

M =$ 100.001 - $250.000P2 = $5.000.001 -

T =Cash Market

E =$ 15.001 - $50.0~O


26/64



SARIS, PATTI B.


05/I3 / 2 0 11


Descr ip t ion o f Asse ts Income dur ing

(in c lud in g m as t asse ts) rep orting perio d

O) (2)P lac e "CA )" a fte r e ach asse t I A m o u ntT : y ~ z ~(e.g.,

exempt f rom pr ior d isc losure i Code I div. , ren t ,[ (A-H) or int .)


( I ) (2)Value ValueCod e 2 M ethod

( J - P ) C o d e3

( Q - W )


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

Type (e.g., Date Value Gain

buy, sell , m m / d d , ~ jC o d e 2 C o d e I

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

I d e n t i t y o fbuyer/seller( i f pr iva te


375.

376.

1377.

378.

379.

380.

381.

382.

383.

384.

385.

386.

387.

388.

389.

390.

391.


Sold 01/14/10 K

(pa r t )

Sold 01/22/10 J

(pa r t )Sold 01/26/10 J(part)



Sold 02/02/10 L

(part)


Sold 02/05/10 K

(part)

Sold 02/09/I 0 J(part)

Sold 02/10/10 J( p a n )

Sold 02/I 1/10 K(part)

Sold 02/16/10 K(pa r t )

Sold 02/18/10 : J(part)

Sold 02/22/10 N(pa r t )

S o l d 02/25/10 J(pa r t )Sold 02/26/10 M(par0

I. Income G ain Codes: A =$ 1.000 or less B =$ 1.001 -$ 2 , 5 0 0 C =$2.501 - $5.000 D = $5.001 - $15.000

(See Columns BI and D4) F = $50.001 - $ 100.000 G = $100.001 - $ 1.000.000 III =$1.0~0.001 - $5.0~0.0~0 112 =More than $5.000.0002. Value Codes J =$15.000 or less K =$15.001 - $50.000 L =$50.0~1 - $100.000 M =$100.001 -

{See Columns CI and D3) N =$250.0~1 - $500.000 O =$50~.001 - $1.000.000 PI $ 1.00G.001 - $5.000.000 P2 = $5.000.()01 - $25.000.000

P3 = $25.00(I.001 - $50.0~3.000 P4 = More than $50.00~.00~3. Value Method COdes Q =Appraisal R =Cos! [Rcal Eslat Only) S =Asscssmcm T =Cash Market

(See Column C2) U =Book Value V =O~hcr W = Estimated

E =$15.0(11 - $50,0~0


27/64


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

SARIS, PATI I B .


05/13/2011

V II. INV ESTM ENTS a n d TRU STS - i .. .. .. ...e ,t r a n s a c t io n s ( I n c l u d e s t h o s eof sp ...... d dependent children; see pt~3 4 - 6 0of filing instructlon~)


A. B. D.


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

(i ) ( 2 ) . A m o u n tTy p e ( e . g .,

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


Gross va lue a t endof ~Tor t ing per iod

0) (2)V alu e V a lue

C o d e 2 Method

(J-P) C o d e 3( Q - \ V )

(1 )Ty p e ( e . g .,buy, sell,



rnm /dd ~y Code 2 Cod e I buyer/seller( J - P ) (A-|I) ( i f pr iva te


392.

393.

394.

395.

396.

397.

398.

399.

400.

401.

402.

403.

404.

405.

406.

407.

408.


Sold 03/03/10 K( p a r t )

Sold 03/04/10 J

( p a r t )










Sold 04/09/I0 J(part)


Sold 04/14/I0 N(part)


Sold 04/19/I0 J(part)

I. Income Gain Codes:(See Columns BI and I)4)

2. Value COd~(See Columns CI and D3)

3 . Value Method Codes(See Column C2)

A =$1.000 or less

F =$50,001 - $100.000J =$15.000 or IcesN =$250,001 - $500.000P 3 = $ 2 5 , 0 0 0 . 0 0 1- $50.1~0.090Q =AppraisalU =Book Value

B =$1,001 - $2.500G =$100.001 - $1.000.000K = $ 1 5 . 0 0 1- $50.0000 - $ 5 0 0 , 0 0 1- $ I . 0 0 0 . 0 0 0

R -~70st (Real I~tale Only)V =Ohcr

C =$2,501 - $5 ,000Ill =$1.000.001 - $5.000.000L =$50.001 - $100.00~

P4 ~M~e than $50.000.0~0

W =Eslimatcd

D =$5.001 - $15.000112 =More than $5900.000M = $100.001 - $250.~P2 =$5.000,001 - $25.000.000

T =Cash Markc~

E =$15,001 - $50.000


28/64



SARIS, PArll B.

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

05/13/2011

V 1 I . I N V E S T M E N T S a n d T R U S T S - i .. .. .. .. I. e, tr a n s a c t io n ~ ( I n c l u d e s th o s eof s p o u s e a n ddependent children; see p p ~ 3 4 - 6 0of filing instructlons~)

[~ ] NONE (No reportable income, assets, or transactions.)

Descrip tio n o f A sse ts In co m e d u rin g(inc luding tru st asse ts) rep orting perio d

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

exempt f rom pr ior d isc losure i Code I div., renl~

i ( A - H ) or int .)


(I) (2)Value Value

Cod e 2 M e thod(J-P) C o d e 3

( Q - W )

(1)Type (e.g.,buy, sell ,



(2) (3) (4) (5 )D a t e Value Gain I d e n t i t y o f

m m ! d d ~ Code 2 C o d e 1 buyer/seller( J - P ) (A-H) ( i f pr iva te


409.

410.

411.

412.

413.

414.

1415.

416.

!417.

418.

419.

420.

421.

422.

423.

424.

425.

Sold 0 4 1 2 1 1 1 0 K(pan)

Sold 0 4 1 2 2 1 1 0 J(paR)

Sold 04/26/10 K(pan)


Sold 04/30/10 J(pan)

Sold 05/03/10 L(paR)

Sold 05/04/10 J(paR)

Sold 105/06/10 J(paR)

Sold 05/10/10 K(paR)

Sold :05/11/I0 J(paR)

Sold 05/12/10 K(paR)


Sold 05/17/10 J(paR)





I. Income Gain Codes: A =$1.000 or less B =$ 1,001 - $2.500 C =$2,501 - $5,000 D =$5,001 - $15,000

(See Columns BI and D4) F =$ 50.001 - $I00,000 O =$ 100,001 - $1.000.000 III =$1,000,001 - $5.000.000 112 =More than $5,000,(g)0

2. Value Codes J -$15,000 or less K =$15,001 - $ 5 0.000 L = $ 5 0 . 0 ~ I - $ 1 0 0 . 0 0 0 M= $ I 0~.001 - $250.0(~

(See Columrts CIa n dD3) N = $ 2 5 0 . 0 0 1 - $ 5 0 0 . 0 @ 0 O = $ 500 ,00 1 - $ 1, 09 0.0 00 P I = $ 1, 00 0.0 01 - $ 5 ,0 00 ,0 00P2 =$5.000.001 - $25,000.000P3 =$25.000.001 - $50.0~0.0~0 P4 =Mo re than $50,000.0~)

3. Value Mc~hod Codes Q =Appraisal R ~Cosl (Real Estalc Only) S =Assessment T =Cash Market

(.See Column C2) U =Book Value V =O~hcr W -Estimated

E =$15.001 - $50,000


29/64



SARIS, PATTI B.


05/13/2011


A. B. D.

D e s c r i p t i o n o fA s s e t s I n c o m ed u r i n g Tr a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d


(I) (2 ): A m o u n tTy p e ( e . g .,

Code I div.,rent,( A - H ) or in t . )



(I) (2)Value Value

C o d e 2 Method

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

(i )Type (e .g . ,buy, sell ,


(2) (3) (4) (5 )D a te V a lu e G a i n I d e n t i t y o f

m m / d d ~ y yCode 2 Code I buyer/seller( J - P ) ( A - H ) ( i f pr iva te

t ransac t ion)

426.

427.

428.

429.

430.

431.

432.

433.

434.

435.

436.

437.

438.

439.

440.

441.

442.

Sold 05/26/I0 L

(pan)

S o l d 05/27/10 N( p a r t )

S o l d 06/01/10 J

(par t )S o l d 06/02/10 K( p a r t )

S o l d 06/03/10 J( p a r t )

S o l d i 06/04/10 J( p a r t )

Sold 06/07/10 K

( p a r t )

S o l d 0 6 1 1 0 1 1 0 J( p a r t )

S o l d 06/11/10 J( p a r t )

Sold 06/16/10 M( p a r t )

S o l d 06/17/10 J( p a r t )

Sold 06/21/10 J( p a r t )

S o l d 06/22/10 M( p a r t )

Sold 06/23/10 J( p a r t )

Sold 06/24/10 L( p a r t )

S o l d 0 6 / 2 5 / 1 0 K(par t )S o l d 06/28/10 K( p a r t )

|. Income Gain Codes:(See Columns BI and D4)

2. Value CodesISee Columm CI and

3. Value Mcthocl Codes(See Column C2~

A =$1,000 or less

F =$50,001 - $100,000l =$15.0O0 or less

N =$250,001 - $500.000P3 ~$25,000.001 - $50.0~0,000Q = A p p r a i s a lU = l ~ k ~ o k V a l ue

B = $ | , O 0 | - $ 2 . 5 O 0G ~$100.001 - $1.000.000K =$15.001 - $50.0~0O - 1 5 O 0 , 0 0 1- $ 1 . 0 0 0 . 0 0 ~

R - ~ S o s ~ ( R c a ~ E s ~ a ~ O n l y )

V = O ~ h e r

C =$2,501 - $ 5,0O0I I I = $ 1 . 0 0 0 .O 0 1 - $ 5 . O 0 0 . 0 0 0L =$50.001 - $100,000P I = $1 . 0 O O . O 0 1 - $ 5 , 0 0 0 . O 0 0P 4 = M o r e t h a n $ 5 0 . 0 0 Q . 0 ~ 0

W = Estimated

=$5,001 - $15,000

12 =More than $5,000.00~M =$100.001 - $250.000P2 = $5.O00.001 -$ 2 5 . 0 0 0 , 0 0 0

~ash Marke t

E =$15.00t -$ 5 0 . 0 0 0


30/64



SARIS, PATrl B.


05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S -i n c o m e , v a l u e. ~ a , ~ a a i o ~ a n c t u a ~ t h o s eof spouse and dependent children: seepp. 3 4 - 6 0of filing instructions.)


Descr ip t iono f A sse ts In co 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 ) ~ - p o r l i n g p e r i o d

(i) (2)P la c e " (X )" a f te r e a c h a sse t A mo u n tTy 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 div., r~t,( A - H ) or in t . )

G r o s svalue at endo f r e p o r t i n g p e r i o d

(i) (2)Value Va l u e

Cod e 2 M etho d(J-P) C o d e 3


(I) (2) (3) (4) (5 )Ty p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, sell, mm/dd~3Code 2 Code I buyer/seller

r e d e m p tio n ) (J - P )(A-H) ( i f pr iva te


444.

445.

446.

447.

448.

449.

450.

451.

452.

453.

454.

455.

456.

457.

458.

459.


Sold 07/02/I 0 P I

(part)

Sold 07/06/10 J

(part)Sold 07 /08/10 J(part)

Sold 07/09/10 J(pa r t )

Sold 07 /12/10 J(part)

Sold 07113110 J(part)

Sold 07116/10 L(part)

Sold 07/19/10 M(pa r t )





Sold 07/27/10 K(pa r t )

Sold 07/28/10 J(pa r t )

Sold 07/30/10 J(part)Sold 08/02/10 J(pan)

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5.001 - $15,000(Se Columns BI and 134) F =$50.001 - $100,000 G =$100,001 - $1.000,000II1 =$1.000,001 - $5.000,000 112 =More than $5.000,000

2. Value Codes J =$15,000 o less K ~$15.001 - $50.000 L = $ 5 0 . 0 0 1 - $ 1 0 0 . 1 3 O O M =$100.001 - $250.000

(See Columns CI and D3) N =$250.001 - $500.000 O =$500.001 - $1,000.000 PI =$ 1.0(30.001 - $5,000.000 P2 =$ 5.000,001 -$25 ,000 .000

P3 =$25,000.001 - $50.000.000 P4 =M~e than $50.000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment 3" =~sh Markcl

(See Column C2) U =Book Value V =O~her W =Estim ated

E =$15.001 - $50.000


31/64

FINANCIAL DISCLOSURE R EPORTPage 31 of 64


SARIS, PAVII B.

Date of Report

05/13/201 I


Descr ip t ion of Asse ts I n c o m e d u r i n g


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

exempt f rom pr ior d isc losure C o d e I div. , ren t ,(A-H) or int .)


of repor t ing per iod

0) (2)Value Value

C o d e 2 Method

(J-p) Code 3

( Q - W )

(i )Ty p e ( e . g .,buy, sell,




m m /d d/y y C od e 2C o d e 1 buyer!seller( J - P ) (A-H) ( i f pr iva te


460.

1461.

462.

463.

464.

465.

466.

467.

468.

469.

470.

471.

1472.

473.

474.

475.

476.

Sold 08/03/10 J( p a O )

Sold 08/04/10 J(pa~)


Sold 08/09/10 K(paa)

Sold 08/13/10 J(paa)




Sold 08/26/10 M(paa)



Sold 09/01/10 M(paa)


Sold 09/07/10 N(pan)

Sold 09/09/10 L(paa)



I. Incom e Gain Codes: A -$1,000 or less B = $1,001 - $2.500 C =$2,501 - $5.000 D =$5.001 - $15,000

(5c Columns BI and I)4) F = $5 0.001 - $ 100.000 G = $I00.001 - $ 1.000.000 Itl =$1.000.0~1 - $5.000.00~ 112 =More than $ 5.000.000

2 . Va l u e C o ~ 1 ~ J = $ 1 5 .0 O O o ~ I c ~ s K =$ 15,0OI - $50,000 L =$ 50.0OI - $100.000 M =$10~).0OI - $250.000

(Sc Columr~ CI and D3) N =$ 25 0,001 - $ 500,000 O =$ 500.O01 - $ 1,000.0~ PI =$1,000.001 - $5,000.000 P2 =$5,000,001 -

P3 =$25.00~.001 - $50.00).000 P4 =More than3. Value Method Codea Q =Appraisal R ~ost (Real Estate Only) S =Assessment T ~a, sh Market

(See Column C2) U =Book Value V = 1 3 ~ h e r W = Estimated

E =$15.001 o $50.000


32/64


N a m e o fPerson Reporting

SARIS, PAVrl B.


0 - 5 / 1 3 / 2 0 1 I


A. B. D.


(including trust assets) reporting l~dod

0)! A ~ n o u n tTy p e ( e . g .,

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

P l a c e " C A ) " a ft e r e a c h a s s e te x e m p t f r o m p r i o r d i s c l o s u re

Gross value at endo f r e p o r t i n g p e r i o d

{I) (2)Value Value

Code 2 M e th o d( J - P ) Code 3

( Q - W )

(i )Ty p e ( e . g . ,b u y, s e l l ,


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

D a t e Value Gain I d e n t i t y o fm m / d d / ~ yCode 2 Code I buyer!seller

( J - P ) (A-H) ( i f pr iva tet r a n s a c t i o n )

477.

478.

479.

480.

481.

482.

483.

484.

485.

486.

487.

488.

489.

490.

491.

492.

493.



Sold 09/21/10 J

(part)

Sold 09/22/10 M(pa r t )


Sold 10/05/10 J( p a n )


Sold 10/07110 K(part)

Sold 1 0 11 2 11 0 K(part)



Sold 1 0 1 2 111 0 J(part)

Sold 1 0 1 2 2 11 0 J(part)

Sold 1 0 1 2 5 11 0 N(part)

Sold 1 0 1 2 8 11 0 L(part)

Sold I 1/01/10 J

(part)

Sold 11/02/10 O(part)

I. Income Gain Codes:(See Columns BI and IM)

2. Value Codes(se~ Columra CI and D3)

3. Value Method Codes(See Column C2)

A =$ 1.000 or less

F =$50.001 - $100,000J = $ 1 5 . 0 0 0 o rlessN =$250.0OI - $500.000P3 =$25.000.001 - $50.000.0~0Q =AppraisalU =Book Value

B =$1.001 -$ 2 . 5 0 0

G =$100.001 - $1.000.0~0K = $ 1 5 . 0 O I - $ 5 0 . 1 3 O OO = $ 5 0 0 . O 0 1 - $ 1

R --Cost |Real Estate Only)V--Other

C :$2.501 - $5.0001 1 1= $ 1 . 0 0 0 . 0 0 1- $5.000.000L = $ 5 0 . 0 O I - $ 1 0 0 . 0 O OP| =$1.0OO.00| - $5.000.000P4 =More than $50.000.000S =AsscssmcmW = Eslimalcd

D :$5.001 - $15.0~O1 1 2 = M o r e th a n $ 5 . 0 O O . 0 0 9M :$10~.001 . $250.003P2 = $5.000.001 - $25.000.000

T =:Cash Markcl

E =$15,001 - $50,~


33/64



SARIS, PATTI B.

Date of Report

05/13/2011

VII. INV ESTMENTS a n d TR U STS- i. ....... lae .transactions (Includes those of sp ......d dependent children; see pp. 34-60 of filing i.stractions.)




! O) (2)Place " ( X)" a f te r each asse t i Amount Type (e .g . ,

exempt f rom pr ior d isc losure i Code I div. , rent,

i (A-H) or int .)


(i) (2)V alu e V a lueCode 2 Method

(J-P) C o d e 3(~-w)


(I) (2) (3) (4)Type (e.g., Date Value Gain

buy, sell , mm/dd~,y C o d e 2 C o d e I

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

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

buyer/seller( i f pr iva te


494.

495.

496.

497.

498.

499.

500.

501.

502.

5 O 3 .

504.

505.

506.

507.

508.

509.

510. Local Motors Series A pfd closely held None

Sold 11/03/10 M( p a r t )

Sold 11/05/10 L( p a r t )

Sold 11/09/10 K

(part)

Sold i I 1/10/I0 K( p a r t )

Sold 11/18/10 M( p a r t )

Sold 11/24/10 L( p a r t )

Sold 11/26/10 L( p a r t )

Sold 12/06/10 L( p a r t )

Sold 12/08/10 L( p a r t )

Sold 12/09/10 K( p a r t )

Sold 12/10/10 K( p a r t )

Sold 12/13/10 K( p a r t )

Sold 12/15/10 J( p a r t )

Sold 12/17/10 J( p a r t )

Sold 12/23/10 J( p a r t )

Sold 12/30/10 L( p a r t )

W

I. Income Gain Codes: A =$ 1.000 or less B -$1,001 - $2,500 C =$2,501 - $5 ,000 D =$ 5.001 - $15,000

(See Columns BI and LM) F = $50,001 - $ 100,000 G = $100.001 - $ 1,000.~ )0 III = $1.000,001 - $ 5,000.000tl2 =More ihan $5,000.000

2. Value COd~ J -$ 15.000 o r le ss K = $ I 5 . 0 0 1 - $ 5 0 . 0 0 0 L =$50.001 - $ 100.000 M = $ 1 0 0 . 0 0 1 - $ 2 5 0 .0 ~ )

(See Columm CI and D3) N -$ 25 0,001 - $ 500.000 O = $500.001 - $ 1.000.000 P I = $ 1, 00 0. 00 1 - $ 5, 00 0.0 00 P 2 = $ 5.0 00 ,0 01 - $ 25 ,0 00 .0 ~OP3 =$25,000.0OI - $50.000,000 P4 =More than $50.000.0~0

3. Value Mclhod Codes Q = Appraisal R =Cost (Real Estate Only) S :Ass~ssmem T =Cash Market(See Column C2) U =Book Value V = O ~ h c r W = Estimaled

E =$15,001 - $50.000


34/64


N a m e o f P e r so nReporting

S A R I S , PAT T I B .


05/13/201 I

V l l. I N V E S T M E N T S a n d T R U S T S- i .c o . , e, va l u e , ,r a , ~ o , ~ i o . s a . c t u d e s ,h o s e o I s p o u ~ e u . d d e p e . d e . tchildren; se ep p . 3 4 - 6 0of filing instructions.)


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 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

I O) {2)P l a c e " ( X ) " a f te r e a c h a s s e t i A m o u n tTy 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 ,

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


(i) (2)Value Value

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

( Q - \V )

O)Ty p e ( e . g .,buy, sell,


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


mm/ddh/y Code 2 Code I buyer/seller( J - P ) (A-H) ( i f pr iva te


511. PIMCO Developing Local Mkt Fd m utual fdF Dividend P2

512.

513. Van Eck I ntl In

Patti B Saris Financial Disclosure Report for 2010

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Transcript of Patti B Saris Financial Disclosure Report for 2010