Sarah S Vance Financial Disclosure Report for 2010

8/3/2019 Sarah S Vance Financial Disclosure Report for 2010

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AO 10Rev. 1/2011FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 2010Report Re quired by the Ethics

in Governmen t Act o f 1978(5 U.S .C. app. .~ I01-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t, m i d d l e i n i ti a l )~Vance, Sarah S.

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r status;magistrate judges indicate full- or part-time)

2 . C o u r t o r O r g a n i z a t i o nUnited States Dis tr ict Court

5a. Report Ty pe (check approp riate q,pe)] N o m i n a t i o n , D a t eUnited States District Judge

7. Chambers or Off ice Address500 Po ydras StreetR oom C -25 5New O rleans, Louisiana 70130

[] Initial [] Armua l [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f ic a t i o n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , i n c o m p l i a n c ew 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 e r D a t e

3 . D a t e o f R e p o r t7/I 3/201 I

6 . R e p o r t i n g P e r i o d01/01/7010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followecL Complete all parts,checking the NONE box for each part where you have n o reportable in formation . S ign on last pag~

I. P O S I T I O N S . ~ R e p o r a n g i n d i v ; d u a l o , ly ; s , e p p . 9 - 1 3 of f i l lng instructions.)~ N O N E (No reportable po sitions.)

NAME OF ORGANIZATION/ENTITY1. Board Member New Orleans Chapter Federal Bar Asso ciation2. Board Member Tulane Law Insti tute National Adv isory Bo ard3. Ad junct Faculty Tulane Law School

4. Board Member Tulane Law Schoo l - - Deans Adv isory B oard5.

POSITION

I I . A G R E E M E N T S . t R e p o r a n g ind iv idual onl y ; se~pp . 1 4-16 o f f i l ing ins t ruc t ions . )[~] NONE (No reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 12

N a m e o f P e r so n R e p o r t i n g1Vance, Sarah S.

D a t e o f R e p o t 17/13/201 I

I II . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; see pp. 17-24offillnginsOuction~)A. Filers Non-Investment Income~] NONE non-investment income.)N o reportable

DA T E SO UR CE A N D T Y PE

2.3.4.

INCOME(yours, not spouses)

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - t f y o u were marrled durlng any portlon of the reporting year, complete this section.(Dollar amount not required except for honoraria.)D N O N E ( N o reportable income.)on-investment1.20102.3.4.

DATE SOURCE AND TYPEJones, Walker, W aechter, Poitevent, Carrere & Denegre - incom e from law p ractice

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 of fi l ing instructions.)

D (No reportable reimbursements.)ONESOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. The University o f Texas Law March 4-6, 2010 Austin, Texas Speaker Travel , lodg ing , meal sSchool2. Practising L aw Institute March 22-24, 2010 New York, New York Speaker Travel , lodg ing , meal s3. The University of Chicago April 20-2 I, 2010 Chicago, I l l inois Judge, Moot Cour t Travel , lodg ing , meal sLaw School4. Lo uisiana State Bar June 6 -7 , 2010 Sand estin, F lo rid a Sp eaker Travel , lodg ing , meal sAssociation5.


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FINANCIAL DISCLOSURE REPORTPa g e 3 o f 1 2

N a m e o f P e r s o n R e p o r t i n gIVance, Sarah S.

D a t e o f R e p o r t7/13/2011

V . G I F T S . a n c t u d ~ , h o s e , o ~ e o ~ o . d d e e c n d e n , children; see pp. 2 8 - 3 1 of filing in~tructlons)NO NE ( No reportable gifts.)

SOURCE DESCRIPTIONI.

2.3.4.

5.

VALUE

V l . L I A B I L I T I E S . a n c l, ,d e s , h o s e q s p o ~ e ~ n d d e ~ , e n d e n , children; see p p . 3 2 - 3 3 of filing instructions.)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.

4.5.

VALUECODE


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N a m e o f P e r so n R e p o r t in gIVance, Sarah S.

D a t e o f R e p o r t7/13/2011

V I I . IN V E S T M E N T S a n d T R U S T S - in c ~ m e ~ v a ~ u e ~ t ra n s a c t i~ n s ( ~ n c ~ u d e s th ~ s e ~ f s p ~ u s e a n d d e p e n d e n t c h i l d r en : s e e p p .3 4 - 6 ~ f ~ l in g i n s t r u c t i~ n ~ . )N O N E (No reportable income, assets, or transactions.)

2.

3.4.

5.6.7.

8.

9.

10 .

11 .

12 .

13 .

17 .

A. B. C. D.Descr ipt ion of Asse t s I nco m e d uring Gro ss v alu e at end Transac tions dur ing repo r t ing pe r iod

(including trust assets) rep orting p erio d o f rep orting perio d] (I) (2) (I) (2) ( I ) (2) (3) (4) ( 5 )

Place "(X)" after each asset i A m ou n t Typ e ( e .g . , V alu e V alu e Type (e.g., Date Va lue Gain I d en t i ty o fe xemp t f ro m p r i o r d i s c l o su re . C o d e I d iv ., rent, C o d e 2 M etho d b uy , sel l, m m / d d P ~ y C o d e 2 C o d e I buyer/selleri ( A - I t ) o r i ra.) ( J -P ) C o d e 3 red em pl io n) ( J - P ) (A - H ) (ifprivate

;~ (Q-W) transaction)

IRA #1, Merr i l l Lynch New Orleans:

--M erri l l Lynch R etirem ent Reserves / Cash A

--Putnam I nternational Eq uity FD CL A A

- -Co lum b ia Mars ico Focused Equ i t ie s FD B A- -Lo rd Abbe t t G loba l FD EQ SR CL A A

- -Davi s NY Ventu re F D A A

Dividend J T

Dividend J TDividend J TDividend J TDividend J T

IRRA #2, Rollover Merrill Lynch:--M erril l Lynch USA Rasp- -B lackrock Cap i ta l A ppreciat i on F D I N C B(name change)--Putnam International Equ ity FD CL A--Oppenheimer G lobal Opp FD SBI

--M under Sm all Cap V alue CL B

--Colum bia Marsico Focused Equities FD B

--Davis N Venture FD B

--Blackrock V alue Opport Fund Inc B

--Davis NY Venture FD A

A Dividend J T

A Div idend J T

B Div idend L T

A Dividend L T

A Div idend K T

A Dividend K T

A Div idend K T

A Div idend K T

A Dividend K T

1. Inco m e Gain Co d es: A =$1,000 o r less B =$1,001 - $2 .500 C =$2,501 - $5,000 D =$5.001 - $15,000(See Columns BI and 1)4) F =$50,001 - $1 00.000 G = $1 00 .0 01 - $ 1.0 00 ,0 00 I II = $1 .0 00 ,0 01 - $ 5.0 00 .0 00 112 =More than $5.0~0.000

2. Value Codes J =$15.000 o r le~s K = $15 .001 - $50.000 L -150.001 - $100.00~ M =$100.001 - $250.000(See Columns CI and D3) N =$250.001 - $500.000 O = $500.001 - $1.000.000 PI ~$1.000.001 - $5 .000,000 P2 = $5 .000.001 - $25,000.000P3 =$25.000.001 - $5 0.0~.000 P4 =M ore than $50.009,000

3. Value IMelhod C o d e s Q =Ap praisal R =Cos! {R eal ~late O n l y ) S =Asscssm~mt T =Cash Market(See Cohtmn C2) U B o o k V a l ue V =Othr W = E stim ated

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


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N a m e o f P e r so n R e p o r t i n gIVance, Sarah S.

D a t e o f R e p o r t7/13/201 I

N O N E (No reportable income, assets, or transactions.)D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g

( i n c l u d i n g t r u s t a s s e t s ) repoaing period(I) (2)

Place "(X)" after each asset A m o u n t T y p e ( e . g .,exemp t f r o m p r i o r d i s c l o su re i Code I div., rent,i (A-H) o r i n t . )

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

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

(1 )T y p e ( e . g .,buy, se l l ,

re d emp t i o n )

T r a n s a c t i o n s d u r i n g r e p o r ti n g p e r i o d( 2 ) ( 3 ) (4) (5)

D a t e Value G a i n I d e n t i ~ y o fm r n / dd~y C o d e 2 C o d e I buyer/seller

( J - P ) ( A -H ) ( i f p r i v a t et r a n s a c t i o n )

1 8 .

20 .21 .

- -Massachusetts Investors Grow th Stock F DCL A- - ING International Sm all CapMult imm anager FD CL A--Blackrock Capital App reciation FD INCA(nam e change)

A DividendA DividendA Dividend

J TK T Sold(part)J T

01/05/10

22 . IRA #3, Merrill Lynch New Orleans:23 . - -Merrill Lynch Retirement Reserves / Cash A24 . - -ML B ank USA Rasp A25 . - -Lord Ab bett Developing Growth FD CL A A26 . - -Davis N Venture FD A A27 . - -Putnam International Equity FD CL A A28 . - -Columbia M ars ico Focused Equi t ies FD B A29 .

DividendDividendDividendDividendDividendDividend

JJJJJJ

TTTTTT

30 .31 .

32 .1 3 3 .34 .

Prof it Sharing Retirement Plan - FidelityInvest. Account- -Low P rice Stock K F/N/A L ow Price Stock.Fund--Ret Govt (Money M arket Fund)--Baron Growth

A DividendA DividendA Dividend

KSold 04 /08 /10 M D

T Sold 04 /08 /10 M A(pan)Sold 04/09/10 L D

- -F idel ity Growth Company K F/N /AFidelity Growth Com pany A Dividend M Sold(paa) 04/08/10 M

I. Income Gain Codes: A =$1.000 o r Icss 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 III =$1.000,0~1 - $5.000.000 112 =Mo re than $5.000.000

2. Value Codes J =$15.000 o r less K = $15 .001 - $ 50.0(~ L =$50.0~1 - $100.000 M =$10~.001 - $250.000IScc Cohlmns CI and DS) N -$250.0OI - $500.000 O =$504).001 - $1.000.000 PI -$1.000.0OI - $5.000,000 P2 =$5.000.001 - $25.000.0P~

P3 =$25 .000.001 - $50.000.000 P4 =M ore than $50.0(~0.0003. Value Method Codes Q =Ap praisal R =Co st {Real Estate Only) S =Asscssmertt T -~S~h Markcl

(Sc Co lum n C2 ) U -Book Va lue V =Oher W =Estimated

E =$15,001- $50,000


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FINANCIAL DISCLOSURE REPOR TPage 6 of 12


D a t e o f R e p o r t7/13/201 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 c o m e , v o i .e , t ra n s a c t io n s t l n c / u d e ~ t h o s e of spouse and dependent children; s e e p t x 3 4 - 6 0 of filing instructions.)

;35.36.

3 7 .

38.

39.

40.

41.

42.

43.

44.

45.

46.

47.

1 4 8 .49 .50 .

51.

N O N E (No reportable income, assets, or transactions.)Descr ipt ion of Asse t s I n c om e du r i n g

( inclu d ing tru st assets ) rep o rting p erio d! O) (2)

Place "(X)" after each asset [ A m ou n t Typ e ( e .g . ,e xemp t f ro m p r i o r d i s c l o su re [ Co d e I div., rent,

( A -H) or int.)

Gross va lue a t endo f r e po r ti n g pe r i od

(t )Value Value

C o d e 2 Me t h od( J - P ) C ode 3( Q - W )

(t )Ty p e ( e . g .,buy, se l l ,

r e de m p t i on )

Transac tions dur ing repo r t ing pe r iod

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

mm/d d ~ y Code 2 Co de I buyer/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 )

- -Dav is NY Venture Y F /N/A Dav is NYVenture A--Harbor lntl Inst

--Fidelity Emerging M kts K

C Div idend M

B Div idend M

A Div idend J

T

T

S o l d 04/08/10( p a r t )S o l d 04/08/I 0(pa~)B uy 04/09/10

L

L

J

A

A

--Fidelity US Bond Index Fund D Dividend N

-- G oldm an Sachs Sm all Cap V alue Class A A Dividend M

B uy 04/08/10 N

B uy 04/09/10 M

--Lazard Emerging Mk ts institutional B Dividend M B uy 01/12/10 M

--Fidelity Cash Reserves A Dividend K

Cash Management Account, M errill Ly nch:--Cash / CMA Mo ney Fund A- -Eaton Vance Tax Div Inc. A- -Eaton Vance TX-AD GL D iv Global BDividend lnc FD

Dividend

Dividend

Dividend

J

J

J

TT

T

Trust, M erril l L ynch:--Cash / CMA Mo ney Fund A- -Co lum bia Mars ico Focused E qu i t i es FD B A- -Lo r d A bbe tt Devel op ing Growth Fund CL AA

I n t e r e s t

Dividend

Dividend

JJ

J

T

T

T

I. Income Gain Codes: A =$1,000 o r less B =$1,001 - $2 .500 C = $2.501 - $5 ,000 D =$5 ,001 - $15 .000{ See Columns B I and 1)4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 G = $ 1 00 .0 01 - $ 1.0 00 .0 90 I I I = $ 1 .0 00 ,0 01 - $5 .0 00 .0 00 1 1 2 = M o r e t h an $ 5 . 0 0 0 . 0 0 ~

2. Value Codes J = $15 .000 o r lexs K = $15 .001 - $50.000 k =$50.001 - $100.000 M =$100.001 - $250.000(See Columns CI and D3) N -$250.001 - $500.0~0 O =$500.001 - $1.009.000 P I = $ 1. 00 0 .0 0 1 - $5 .0 0 0, 00 0 P 2 = $ 5.0 0 0. 00 1 - $2 5 ,0 0 0.0 0 0

P3 =$25.009.001 - $50.000.0~0 P4 =M ore than $50.0(~.0903. Value Method Co des Q =App raisal R =Co st (Real Estalc Only) S =Assessment T =Cash MarkelISce Column C2) U -Book Va lue V =O~hcr W =Esf ima lcd

E =$15,001 - $50.000


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N a m e o f P e r so n R e p o r t i n gIVance, Sarah S.

D a t e o f R e p o r t7/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transoaiott~ (includes those of spouse and dependent children; see plx 34-60 of filing instruction~)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr ipt ion of Asse t s I nco me d u r ing Gross va lue a t end Transac tions dur ing repo r t ing pe r iod

( inclu d ing tru st assets) rep o rting p erio d o f report ing period[ (I) (2) (I) (2) (I) (2) (3) (4) (5 )

Place "(X)" after each asset I A m o u n t T y p e ( e . g ., Value Valu e Type (e.g., Date Va lue Gain Ident i ty o fe xemp t f r o m p r i o r d i s c l o su re I Code I div., rent, C o d e 2 M etho d b uy , sell , m m ! d d / y y C o d e 2 C o d e I buyer/seller

( A - H ) or int.) ( J - P ) C o d e 3 re d emp t i o n ) ( J -P ) (A -H) (i f p riv ate, ( Q - W ) transaction)

52 . - -Putnam Internationa l Equity F und CL A A Div idend J T S o l d(part)53 . - -Dav is NY Venture FD A A Divi dend J T

01/29/10 J

54 .55 . IRRA #4 , Rol lover M err i l l Lynch:56 . --Cash57 . - - RET I RMENT RE SERV ES CL I58 . - - A MERI CA N CENTU RY NEWOPPORTUNITIES I I INVESTOR59 . - - LO RD A BBETT SMA LL CA P V A LU EC L A60 . - -AR T IO IN T E R N AT ION AL E Q UIT YFUND I1 CL I61 .62 . - - EA TO N V A LU E LA RGE CA P V A LU EFUND CL I63 . - -HARTFORD CAPITAL64 .65 .

A Div idend JA Dividend JA DividendA DividendA Dividend

A DividendA Dividend

K

S o l d 02/05/10 K AS o l d 02/05/10 K A

T B u y 02/05/10 K

S o l d 03/23/10 J A( p a r t )Sold 02/05/10 K D

T B u y 03/23/10 J- -CGM Advisor Targe ted Equi ty ED CL Y A Dividend Bu y 02/05/10[ K

S o l d 03/23/10 K C66 . - -HE N DE R S ON IN T E R N AT ION A L A Dividend K67 .68 . - -Co l um b i a Val ue & R e s tr uc tu r i ng Fund CL A Dividend KZ

T So ld 02 /05 /10(part)Sold 03/23/10(part)

T Bu y 02 /05 /10

K

J

L

C

B

I. Income Gain Codes: A =$1,000 o r less B =$1,001 - $2.500 C =$2 .501 - $5 ,0 (~ D =$5,0~1 - $15.0~0(See Columns BI and I)4) F =$50.001 - $100.000 G =$100.001 - $1.000.000 III =$1.000.001 - $5.000.000 112 =Mo re than $5.000.000

2. Value Codes J =$15.000 ~ less K =$15 .001 - $50.000 L =$50.0~1 - $10(~.0(~ M =$100.001 - $250.1~0{ See Co lu m ns CI and D 3) N -$ 25 0.0 01 - $ 50 0.0 00 O =$500.001 - $1,000.000 PI =$1.000.001 . $5.000.000 P2 =$5.000.001 - $25.000.000

P3 =$25.00~,001 . $50.090.000 P4 =M ore than $50.00{).0003. Value Method Codes Q =Ap praisal R =Cost (R eal Estalc Only) S =Assessment T =Cash Markel(See Cohunn C2) U B oo k V a l u e V =Other W =Esl imated


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FINANCIAL DISCLOSURE REPOR TPage 8 of 12


Date of R e p o r t7/13/201 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 e o , .e , r o t .e , t r ~ , ~ o c t lo n s a . a ~ d e s t h o s e o / s p o u s e ~ . a dependent children: s e ~ p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descr ipt ion of Asse t s Transac tions dur ing repo r t ing pe r iod(including trust assets)

P l a c e " C A ) " a f te r e a c h a s s e texempt from prior disclosure

I n c om e du r i n grepor t ing pe r iod

(I) (2)A m o u n t Typ e ( e .g . ,C o d e I div., rent,

( A -H) or int.)

Gross va lue a t endof repor t ing pe r iod(I) (2)

Value ValueC ode 2 Me t h od

( J - P ) C o d e 3Typ ~ ( e . g .,buy, se l l ,

r e de m p t i on )

(2) (3) (4) (5 )Date Va lue Gain I de n t it y o f

m m ! d d / y y C o d e 2 Co d e 1 buyer!seller( J - P ) (A-|l) ( i f p r iva te

transaction)

69 .

70 .

71 .

72 .

73 .

74 .

75 .

76 .

77 .

78 .

79 .

80 .

81 .

82 .

83 .

84 .

85 .

- - J A N U S F O R T Y F U N D C L I

- -FPA N ew Income Inc .

- - JE N N I S O N M D C A P- -Ryd ex / SGI M id Cap Value Fund CL I- - L A Z A R D E M E R G I N G M K T S

- -L O R D A B B E T T S M A L L C A P ( d u p l ic at eentry, see line 54)- -P IMCO To ta l Re tu rn Fund CLP

- -P IMC O Rea l Re turn Fund CLP

- - M A I N S T A Y L A R G E C A P

--Ivy A sset Strategy Fu nd CL I

A Dividend

A Div idend

A Dividend

A Div idend K

A Div idend

A Div idend

B Div idend L

A Div idend K

A Div idend K

A Div idend K

S o l d 07/07/10 K C( p a r t )S o l d 11/08/10 K C( p a r t )S o l d 02/05/I 0 L D

B uy 02/05/10 KS o l d 11/08/10 K A

S o l d 02/05/10 K CT B u y 02/05/10 K

S o l d 02/05/10 K A

S o l d 02/05/10: K AT B u y 02/05/101 LT B uy 02/05/10 KT B u y 03/23/10 K

S o l d 07/13/10 J A( p a r t )S o l d 10/12/10 J A( p a r t )S o l d l 1/08/10 L E( p a r t )

T B u y 02/05/I 0 K

S o l d 03/23110 1 J A( p a r t )

I. Income Gain Codes:(See Co lumns B I and IM)

2 . Value Cod~IS~ze Columns CI and D3)

3 . Value Method Cod es(See Column C2)

A -$1.000 or lessF =$50.001 - $100,000J =$15.000 o lessN =$250.001 - $500.000P3 =$25.00).001 - $50.000.0@2Q=AppraisalU =Book Value

B=$1,001 - $2.500G = $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 . 0 ~ 0K =$15.001 - $50.000O =$500.001 - $ 1 . 0 0 0 . 0 ~ 0R =Co st (Real Estate Only)V =Other

C -$2 .501 -I I I = $ 1 . 0 0 0 , 0 0 1 - $ 5 . 0 0 0 . 0 0 0L =$50.001 - $ 1 0 ~ . 0 0 ~PI =$1.000.0~1 * $5.000.000P4 =M ore lhan $50.000.000S =AssessmentW =Est ima ted

D =$5.001 - $15.000112 =More Ihan $5.000.000M =$100.001 -P2 =$5.00~.001 . $25.000.000

T = C a s h Market

E = $ 1 5 . 0 9 1 -$ 5 0 . 0 0 0


9/12



D a t e o f R e p o r t7/13/201 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 c o . ~ o . .~ l , e . , o ~ , io ~ a , c l , d e s ~ h o s e o y ~ p o ~ e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)

86 .

87 .

88 .

89 .

90 .

91 .

92 .

93 .

94 .

95 .

96 .

97 .

98 .

NONE (No reportable income, assets, or transactions.)A. B. C . D .D e s c r i p t io n o f A s s e t s I n c o m e d u r in g G r o s s v a l u 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 in 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 d 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 " ( X ) " a f t e r e a c h asset i A m o u n t T y p e ( e . g ., V a l u e Value T y p ~ ( g., D a t e V a l u e G a i n I d e n t i t y o fe 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 Code I d i e . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m , d d / 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) or int.) ( J - P ) C o d e 3 r e de m p t i on ) ( J - P ) (A - H ) ( i f p r iva tei ( Q - W ) t r a n s a c t i o n )

- -MFS V AL UE FD C L I B Dividend L T

- -N UVE E N T R DW D IN T E R N A T ION AL A Dividend- -TLW T olal Return Bond FD CL I A Dividend

- -VICTORY DIVERSIFIED A Dividend--Calvert Short Duration Incom e Fund CL Y A Dividend K T- -Op penheimer Gold and Special Minerals A Dividend K TFund- -Allianz NJ Dividend Value FDCL P B Dividend K T

- -Dreyfus Em erging Markets Debt Local A Dividend K TCurrency CL I- -Oppenheimer Rising Dividends Fund CL B Dividend L TY

Bu y 0 2 / 0 5 / 1 0 KSold 07/07/10 J B(pan)Sold 02/05/10 K BBu y 02/05/10 KSold 03/24/10 KSold 02/05/10 K ABuy 03/23/10 KBu y 03/23/10 KBu y 07/07/10 KB uy 11/08/10 J

Bu y 11/08/10Bu y I 1 / 0 8 1 1 0

JL

99 . Checking and Mo ney Market Accounts, J .P. BMorgan Interest MI00 .101. J.P. Mo rgan Securities Corp oration102. - -JP Mo rgan Tax Free Money Market A Dividend Sold 05/03/10 J A

1. Income Gain Codes: A =$ 1.0(0 or less B $1 ,001-$2.500 C = $2 .501 - $5 .(00 D -$5 .001 - $ 15.(00(See Columns BI and 1)4) F =$50.001 - $100.000 G =$100.(01 - $1.000.(00 I I I =$1 . (00 . (01 - $5 .000 .000 112 =More than $5.000.000

2. Value Codes .I =$15.000 o r less K =$15.001 - $50.000 L =$50.001 - $1(0.(00 M = $100. (01 - $250.000(See Columns CI and D3) N =$250.001 - $5 ( 0.000 O =$ 5( 0.( 01 - $1 .( 00 .0 00 P I = $1 .0 00 .(0 1 - $ 5.0 00 .0 00 P2 =$5.000.(01 - $25.(00.000

P3 =$25.0~).(01 - $50.(00.0(0 P4 =M ore than $50,(00.0(03. Value Method Co des Q =Appraisal R =Co st (Real Eslale Only) S = A s s c s s ~ n L ~ n t T =Cash Markc~( S c Column C2) U -B o o k V a l u e V = O ~ h c r W =Es t imated

E =$ 15.(01 - $50 . (00


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N a m e o f P e r s o n R e p o r t in gIVance, Sarah S.

D a t e o f R e p o r t7/13/201 I

N O N E (No reportable income, assets, or transactions.)A m B. C.

Description of Assets Income during Gross valu e at end(including trust assets) r e po rt i n g p er i o d o f r e po rt i n g p er i o d

i (1) (2) (1) (2)P l a c e " I 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 ., Value Valueexempt from prior disclosure i Code I d i v . , r e n t , Code 2 M e th o d(A-H) o r i n t . ) ( J - P ) Code 3(Q-W)

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

b u y , se l l ,r e d e m p t i o n )

Transact ions dur ing repo r t ing pe r iod

(2) (3) (4) (5 )D a t e Value Gain I d e n t i t y o fm m / d d / y y Co de 2 Cod e I buyer/seller

( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

103 . - - JPMo rgan T reasuwP lu sMo n ey1 0 4 .

None S o l d 05/06/I 0 J

105. Ju dicial & Ju stice Federal Credit Union IX) A I n t e r e s t K T

I. Income Gain Codes: A =$1.000 o r less B = $1,001 - $2 .500 C =$2.501 - $5 ,000 D = $L001 - $15 ,000( See C ol um ns B I a nd D4 ) F = $5 0.0 01 - $ 10 0.0 09 G = $ 100.001 - $ 1.000.000 1 1 1 = $ 1 . 0 0 ~ , 0 0 1 - $ 5 . 0 0 0 . 0 0 0 1 1 2 = M o r e th a n $ 5

2. Value Codes J =$15.000 or h."ss K =$15.001 - $50.000 L =$50.001 - $100.000 M =$100.001 -ISee Columns CI and D3) N =$ 25 0.00 1 - $ 500 .0~0 O = $5 00.0 01 - $1.0 00 .00 0 PI $1.000.001 - $5.000.000 P2 -$5.000.001 - $25.000.000

P3 =$25 .000.001 - $50.000.000 P4 =M ore lhan3. Value Mclhod Cod es Q =Ap praisal R -~:ost (Real Estate Only) S =Assessment T =Cash M arket(See Cohmm C2) U =Boo k Value V -Oth~ W =Estimated

E = $ 1 5 . 0 0 1 - $ 50 , 000


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FINANCIAL DISCLOSURE REPORTP age 1 1 o f 1 2

Name of Person ReportingIVance, Sarah S.

Date of Report7/ I 3/20! I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


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Name of Person ReportingIVance, Sarah S.

Date of Report7/13/2011

IX. CERTIFICATION.I cer t if y tha t a l l i n f o rmat i on g i ven abov e ( i nc l ud ing i n f o rmat i on per ta in ing to m y sp ou se and m inor o r dependen t ch i l d ren, i f any ) i s

accu ra te , true , and com p le te to the bes t o f m y kno wledg e and be l i e f , and tha t any i n fo rm at i on no t repor ted was w i thhel d because i t met app l i cab l e s ta tu to ryprov i s i ons perm i t t i ng non -d i sc l o su re .I f u r ther cer t if y tha t earned i ncom e f rom ou ts i de em p l oym en t and honorar ia and the accep tance o f g i f t s w h ich have been repor ted are i ncom p l i ance w i th the p rov i s i ons o f 5 U.S.C . app . 501 e t . seq , 5 U.S.C . 7353 , and Jud i c i a l Con ference regu l a t i ons .

Signatur e: S[ Sarah S. 1Vance

N O T E : A N Y I N D I VI D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L SI F I E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V ILA ND CR I MI NA L SA NCTI O NS ( 5 U .S .C . app . 104 )

C o m m i t te e on F inanc ia l D i sc l o su reA dm in is t rat ive Of f ice o f the Uni ted Sta tes Cour t sSu i t e 2 - 301One Columbus Circle, N.E.W ash ing t on , D . C . 2 054 4

Sarah S Vance Financial Disclosure Report for 2010

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