barbara keenan financial disclosure report for 2009

8/3/2019 Barbara Keenan Financial Disclosure Report for 2009

1/11

, ~ o ~ 0 I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978- R e v . t/ 2 0 1 0 [ F O R C A L E N D A R Y E A R 2009 ( s u .s .c , a p p . l O 1 - 1 1 1 )1. Person Reporting (last nam e, first, middle initial) 2. Court or Organization 3. Date of ReportKeenan, Barbara U.S. Court of Appeals, 4th Circuit 04/08f2010

4. Title (Article llI judges indicate active or senior status; 5a. R eport T ype (check appropriate type) 6. R eporting Periodmagistrate judges indicate flail- or part-time)[] Nomination, Date 01/01/2009

Judge-Active [] Initial [] A .... I [] Final to,, , 12/31/20095b, [] Amended Report

7. Chambers or O fficeAddress 8. On the basis of the information contained in this Report and anymodif icat ions pertaining thereto , it is , in my opinion, in complianceI 10 N. Royal Street with applicable laws and regulations.Suite 305Alexandria, VA 22314 Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,checking the NONE box.~br each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . < R c p o , ~ g + d + v l a : a J o , + y ; , ,p p . 9 - 1 3 of Jiling in structions.)[~ N O N E (No reportable positions..)

PO S IT IQN ~I~ME OF ORGANIZATION/ENTITY1. Trustee Trust #1

2. Trustee Tta~st #2

3. Co-Trustee Tta~st #3 .~ o

4. Co-Trustee Trust #4 "-:

AGREEMENTS. Reporting individual onb,; seepp. 14-16 of filing instructions.3[~ N O N E (No reportable agreements.)

D A T E PARTIES AND TE~S


2/11

F IN AN CI AL D I S CL OS U R E R E P O R T Name of Perso . Reporting Date of ReportPage 2 of 11 ~ : e e n a , , , B a r b a r a 04/08~010

I II . N O N - IN V E S T M E N T I N C O M E . (Reporting individual andsp .... ; seepp, 17-24 of fling l~uctio~.)A. Filers Non-Investment Incom e

NONE (~ reportable non-investment income.)~ S O U R C E A N D T Y P E ~(yours, not spouses)

I. 2009 Supreme Court of Virginia-Salad (through 12-31~9) $183,839.04

2.

3.

4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - if you were married during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)[-~ N O N E (No reportable non-investment income.)

D A T E SOURCI~ AND TY P E1o 2009 Virginia Retirement System-Monthly Payment

2.

3.

I V . R E I M B U R S E M E N T S - - , r o , - ,p o r ,~ , ~ o ,. t o ~ g l , g , S o o a . entertai .... L(Includes those to spouse trod dependent chffdren," see pp. 25-27 of filing instructions.)

N O N E (No reportable reimbursements.)~ D _ . ~ A T E S _LOC AT I ON PURPOSE ITEMS PAID OR PROVIDED

1,2.

3.

4.

5,


3/11

FINANCIAL DISCLOSURE REPORT ~ .... f e . . . . . ~po~ ~,~ o~po~Page 3 of 1 1 K~..., B a r b a r a 0 4 / 0 8 / 2 0 1 0

V . G I F T S . a .c l . d e . ~ ,h o . ~ e , o W o u ~ e . . d ~ p e . a e n , c h ~ . e . ; s e e ~ , . 2 S - ~ ~ of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION VALUE1,2.3.4.5.

1. l~L,~l~ll,~l I I r~k.~o (Includes those o f spouse and dependent ch i ldren; ~ee pp . ~2-3~ o f f i l ing instrucgon ,~. )N O N E (No reportable liabilities.)

C R E D I T O R DESCRIPTION V ,S LU E C O D EI.2.3.4.5.


4/11

N a r a e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tP a g e F I N A N C I A L 4 of 1 1 DISCLOSURE R EPORT Keenan, Barbara 0 4 / 0 8 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - ~,,o,,,, . n / , , . , ...... ,o,,, (Includes tho se of sp .. . . . . d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f ) q l i ng i n s t r u c t i o n s .)

[~ NON E (A,o reportable income, assets, or transactions.)A. B. C. I 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 in 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 re 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 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 dP l a c e " ( X ) " a f t e r e a c h a s s e t ~ . m o u n t T y p e ( e . g ., Value Value T y p e ( e . g . , . Date Value I Gain [ I d e n t i ty o fe x e m p t f r o m p r i o r d i s c lo s u r e Code 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 . mm/dd/yy Code 2 [ Code I [ b u y e r / s e l l e r; (A-H~ o r i n t . ) ( J - P ) Code3 redemption), I (J-P) i (A-H) , ( i f p r i v a t e

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

I_ Bank of Amedga-Bank Accounts E Interest O T2. BB& T -Bank Accounts A Interest J T

i 3 . Jefferson Count), WV farmland, A Rent M Q25% interest

4. Jefferson County, WV, f a r m . ~ B Rent O Qstructures-25% int5. Bank of Am erica Brokerage Account #l :

6. BB& T Bank Corp. common stock E Dividend N T7. Cisco Systems-common stock None L T8. Coca Cola Corp.-common stock A Dividend J T9. Dell Inc.-common stock None J T

1 0 . Freeport McMoran-common stock None L TI 1 . Glaxo SmithKline-common stock A Dividend J T1 2 . M edco Health Solutions-common stock None J T1 3 . Meek & C o.-common stock B Dividend K q"1 4 . Pfizer Inc.-common stock C Dividend L T1 5 . Time Warner Cable-common stock None J T

t6. Time Warner Inc.-commonst0ck B Dividend K T1 7 . Wells Fargo & Coo.-common stock A Dividend J T

I. lncome Gain Codes: A =$1,000 or less B = $1,001. $.2,500 C = $2,501 - $5.000 D = $5.001 - $15,000 E = $15,001 - $50.000(See Colmrms B l a~d D4) F = $50,001 - $100,000 G =$100,001 . $1,000,000 HI = $1,000,001 - $5,000,000 H2 :M ore than $5,000,0002. Value Code~ J =$15,000 or less K =$15,001 - $50,000 L ~$50,001 - $100,000 M = $i00,001 - $250,000(See Coltum~s C 1 and I)3) N =$250,001 - $500,000 O =$500,001 * $1,000,000 PI =$1,000,0OI o $5,0~),000 1"2 =$5,000,001 - $ 25,000,000P3 =$25,000,001 - $50,000,000 P4 =More tt~m~

3. Value Method Codes Q =Appraisa! g =(2,st (Real Estate Only) S =Assessment T = C~ t l M a rket(See Colut~m C2) O =B ook Value V =Other W =Est imated


5/11

F I NA N C I A L D I S C L O S U R E R E P O R T ~ .... f Pe .... R e p o r t i n g D a t e o f R e p o r tPage 5 of 1 1 K e e n a n , B a r b a r a 0 4 / 0 8 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o , ~ . , ~ . i u , , , . .. .. . ,~ n s a . c t .a e s , + o , e o s , ro ~ , ~ d ~ . , .~ a , ~ , e ~ u ~ , , . ; ~ e ~ p p . ~ 4 - 6 o o S ~ t ~ . s ~ . s .~ e a o . , .)N O N E (No reportable income, assets, or transactions.)

A, B. C, ] D.D e s c r i p t i o n o f A s s e t s ]ncome during G r o s s v a lu e a t e n d I T r a n s a c t i o n s d u r i n g re 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 ts ) I reporting period o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e t ~ . m o u r ~ t T y p e ( e . g . , Value V ah t e T y p e ( e . g . , [ Date Value Gain I d e n t i t y o fe x e m p t fr o m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d ! y y Code 2 [ Code I buyer/sellerii (AH) tint)(J-P) ~ Cde 3 r e d e m p t i n )i (Q-W)i (JP) j ( A H ) transaction) (if private

1 8 . Columbia Tax-Exempt Reserves CL A Interest K T1 9 . Bank of A merica Brokerage Acct. #2 (IRA)

20. Pfizer, Inc.-common stock C Dividend21. MFS Growth Fund Port Class A None J T22. Columbia Cash Reserves Class A A Interest J T23. Bank ofAmerica Brokerage Acct. #3

24. Coca Cola Co.-common stock A Dividend J T25. General Electric-common stock C Dividend K T26. h~tel Corp.-commonstock A Dividend K T27 . IBM-common stock B Dividend K T28. Microsoft Corp.-common stock I B Dividend K T29. Pfizer Inc.-common stock C Dividend L T30. Columbia Mttrfi Reserves Money M arket A Interest J T3 1 . Merrill Lunch Brokerage Acct (IR?

32. AIM htternationa! A Interest J T

33. Allianz NFJ Divident A Interest J T3 4 . Blackrock Global Growth Fund None

[2 Value Codes J =$15.0~0 o~ less K =$/5.091 - $50,000 L ~ $50,00| - $100.000 M =$11~1,001 - $250.000P3 ~$25,000,001 . $50,000.000 P4 =M ore tha~a $50,000,~03. Value Method Codes Q = Appraisal R = Cast (Real E~m te Only) S =Asses~menl T =Cash Market


6/11

N a m e o f P e r so n R e p o r t in g D a t e o f R e p o r t,FINANCIALpage 6 of 1 ! DISCLOSURE REPO RT [ Keenan, Barbara 0 4 / 0 8 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - ; ~ o ~ , ~ . , ., ~ . t , ~ , ~ o , ~ o ~ . ~ a , ~ t ~ o , ~ o ~ . , , . . .. . . ~ dependent children; s e e p p . 3 4 -6 0 Of fillng instructions.)

N O N E (No reportable income, assets, or transactions.)A. T, B. C. [ D .D e s c r i p t i o n o f A s s e t s

[l n c o m ~ d u r i n g G r o s s v a l u e a t e n d T r a n s a c : i i o n s d u d 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 d o f r e p o r t i n g p e r i o d(I) 1 (2 ) ( !) (2 ) [ (l) (2 ) (3) I (4) (5 )Place"(X)"aflereaehasset Amount[ Type(e.g., Value Value

]

Type(e.g., D a t e Value ! G~in ldentityofe x e m p t fr o m p r i o r d i s c l o s u r e Code d i v . , r e n t . C o d e 2 ! M e t h o d buy, sell, m m / d d ] y y C o . d e 2 i C e d e 1 buyer/seller( A - H ) orint.) ( J - P ) Code3 r e d e m p t i o n ) (J-P) [ (A-H) I ( i f p r i v a t eI 1 ( Q -W ) [ .i t r a n s a c t i o n )

35. Davis Financial FD None J T

36, Jennison 20/20 Focus None J T37 , 2P Morgan Equity Income Fund A Interest J T38. MFS IntemationalNew Discovery Fund A Interest 3" T39. Thoraburg Large Cap Growth Fund None J T40. Touchstone Large Cap Growth Fund None J T41. Commonwealth of VA Defined ContributiorPlan42. Treasury Bill-r~louey M kt Fnd None M T43. S& P 500 l-ndex None K T

4 4 . Active Inflation Pro Bond Fund None L T45. International Equity Index F und None K T, ) 6 . Active GIobalEquity Fund None K T47. 401(a) Cash Match-S&P 500 Index Fund None J T48. Commonwealth of VA Defined Contributione49. Treasury BillMoney Market Fund None M T50. S&P 500 Indef,,Fund None K T51. Active Inflation Pro Bond Fund None L T

1. h)com e G sin Codes: A -.$1,000 or less B = $I.00I - $2.500 C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000{See COIIIIlUIS B I and D4) F =$50.1)01 - $100.000 G ~$100,001 * $1,000.000 H 1 = $1.000,001 - $5,000,000 H2 =M ore gaan $5,000,0002. Value C odes J = $15,000 or tess K = $|5,001 - $50,000 L =$50,~301 - $100,000 M =$i00,0Ol - $250,0~0(S,~e Columns C I and D3) N =$250,001. $500,000 O ~$500.001 - $1,000,000 Pl = $1,000,001 - $5,000,000 P2 =$5.000,001 - $25.000.000

P3 =$25.000,001 - $50,000,000 P4 =More than $50,000)0003, Value M ethod Codes Q = Appraisal R = C ost (R ~al E state O nly) S =Assessment T ~-Cash Market(See Coluah-3 C2) U ~Bovk Value V = Other W = Estimatgd


7/11

Iame of Person Reporting Date of Reporl~PageFINANCIAL7 of 11 DISCLOSURE R EPORT [ Keenan, Barbara 04/08/2010VII. INVESTM ENT S and TRUSTS - ~ .... e , ~lue, t .....efforts (Includes those of s~ .... d dependent children; $ee pp. 34-60 of f!ling instructiong)

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

I Description of Asse~ Incom ~ during G ross value at end [ Transactions during reporting period(including trust a~e~) rep o~ in g period of rep orting period Pl~"(X~"after each asset Amount Type (e .g, Value ~ Value Type (e.g., Date { Value { Gain Identity of

exem pt from prior disclosure Code I div.,renL [ Code 2 ~ M e ~ o d . bay, se]l, , .m m ! d~y y ] C ode 2 ~ C ode l buyer/seller(A-H) or lot.) ~ (J-P) Code 3 redemption) (A H) (if privatetrans~ction)

52. International ~ui~ Index Fund No~lc K T

53 . Active Global Equi~Fund None K T

54. 401(a) CashMatch S&P Index None J T55. TRUST#l:56. BB&T Corp. Accounts E Interest M T57 1 TRUST#2:58 . BB&T Corp. Bank Account~ C Interest M T

59 . SunTmst Bank Account A Interest 1 T

60 . Pfizer Corp. common stock E Dividend O T

61. TRUST #3:

62 . BB&T Corp, ,~..ccount A lfiterest J T

63. Wells Fargo Brokerage Account

64. 3M Co.-common stock B Dividend K T6 5 . Altria Group Inc.-common stock C Dividend K T66. Boeing-common stock B Dividend K T

67 , CiscoSystems-common stock None J T6 8 . Freeport McMoran-Class B Stock D Dividend M T

I. Income Gain Codes: A = $I,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D = 55,00t - $15,000 E = $15,001 - $50,000(See Colmm~s BI and D$) F =550,001 - 1100,000 G =$1~0,001 - $1,000,000 HI =$1,000,001 - 55,000,000 H2 =M ore than $5,000,000

2. Value Codes J = $15,000 or les~ K = $15,001 - $50,000 L = $50,001 - 5100,000 M = $100.001 - $250.000( Se e C olu ro ns CI Ba d D 3) N = $2 50 ,0 01 - 5 50 0,0 00 0 =$500,001 - $1,000,000 P 1 = 51 .0 00 ,0 01 - $ 5, 00 0. 00 0 P 2 = $5 ,0 00 .0 01 - 5 25 ,0 00 ,0 00

P3 =$25.000,001 - $50,000,000 P4 =M ore than $50,000,0003, Value Method Codes Q =Appraismt R = Cost (Real Estate Only) S ~Assessment 7" ---Cssh Market(See Coturan C2) O =B ook Vahae V =Otker W =Estimated


8/11

,FINANCIAL DISCLOSURE REPOR T N .... f P e r , a n r , e p o r t i n g D ~ t o o R e p o t ,Page 8 of 1 1 Keenan, Barbara 0 4 / 0 8 / 2 0 1 0

N O N E (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 ~ Income during G ro 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 i n g p e r i o d(including trust ~se~) r~oaing period of r~o~ing period

Place "(X)" a~er ~ch as~t A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g ., Date ~ Value Gain I d e n t i ty o fe x e m p % f ro m p r io r d i ~ l o s u r e C o d e 1 d i v . , r e n l , C o d e 2 M e t h o d b u y , s e l l , mmM d/yy Code 2 Code I b u y e r / s e l l e r( A - H ) o r i n t . ) " (J-Pt C o d e 3 ~demption) ] (J-P) ( A - H ) ( i f p r i v a t e( Q -W ) l u a n s a e t i o n )

69. General Electric-common stock D I Dividend K T70. Hewlett Packard-common stock A [ Dividend ~ T71 . IBM-commonstock A I Dividend K T72. KrafiFo~s-Cl~sA stock B I Dividend K T73. Ma~iott Intl.-common stock B ] Dividend L TI7 4 . Medco Health Solutions-common stock Nooe J T75 . M erk& Co.-commonstock A ] Dividend 3 T76 . M ylan, Inc.-~mmonstock Nooe K T77 . Philip M obs-common stock C ] Dividend K T .....7 8 . Reynolds American-common stock A ] Dividend J T7 9 . TimeWamer Cable-common stock A ] Dividend J T80. Time Warner Inc. New Corn A Dividend J T [8 1 . M FS Moni Inc. Fd-Class A Stock E Dividend M T8 2 . Tn,st 04:

8 3 . Pfizer, Inc.-~mmon stock E Dividend O T8 4 . BB& T Co~. Accoonts E Interest O T8 5 . USAA Accounts D Interest ~ T

I. Income Gain Codes: A = $ 1 , 0 0 0 o r I c ss 1 5 = $ | , 0 0 1 o $ 2 , 5 0 0 C =$2,501 - 15.000 D = $ 5 . 0 0 1 - $ 1 5 . 0 0 0 E ~ $ | 5 . ( K ~ I - $ 5 0 , 0 9 9(See Columns B ! snd D4) F = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 G = $ ] 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 H I ~ , 1 , 0 0 0 , 0 0 1 * $ 5 , 0 0 0 , 0 0 0 H22. ValucCodes J=$[5.000orless K =$!5,0D] -$50,00~ L=$50,0~1-$100,000 M=$100,~01 -$250,000(gee Columns CI and D3) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 . 0 0 0 O = $ 5 0 0 . 0 0 1 - $ 1 , 0 0 0 , 0 0 0 P I = $ 1 , 0 0 0 , 0 0 1 - $ 5 ~ 0 0 0 . 0 0 0 P 2 = $ 5 , 0 0 0 . 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0P3 =$21000,001 - $50,000.000 P4 =M ere than3, Value M e,hod Codes Q = A p p r a i sa l I ~ = C o s t ( R e a l E s t a t e O n l y ) S =Assessment T =Cash Market(See Cohltma C2) U =Bo~k Value V =Other W =Estimated


9/11

,F IN AN CI AL D I SCL OS U R E R E P OR T NameofPerson Reporting DateofRepnrtPage 9 of 1 1 K ~ n a n , B a r b a r a 0 4 / 0 8 n 0 1 0

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

Description of Assets --Incme during Gross value a t end T ran saction s durin g rep orting p er iod(including trast assets) I reporting period i of reporting period

Place"(X)"aflercachasset [A~m,om? tI Type(e.g., Value Value Type(e.g, Date [Value [Gain | ldentilyofexempt from prior disclosure [ Code I div., rent, C o d e 2 Method buy, sell, mm,"dd/yy i Code 2 [ Code I ! buyer/seller

! ( Q-W) transaction)

86 . W e l l s F a r g o B r o k c r a g e A c c o u n t :

87. Pfi zer Inc. -common stock E Dividend N T

88. Eaton Vance Sr. Floating Rate Bond C Dividend K T89. F e d e r a te d P r e m i e r M t m i B o n d F u n d C Dividend K T90 . Henrico Cnty, VA Economic Dev. Auth. D I n t e r e s t M TW e s t C a n t e r b u r ~ C F N9 1 o P e n i n s u l a P a r t s A u t h V A - C o a l T e r m . R e s . C I n t e r e s t K TRe[,92. Roanok e Cnty, VA Ind. Develop. Auth, Res, B I n t e r e s t J TC a r e F C93. Winchester VA Indl. Develop. Auth. Res. B I n t e r e s t J TCare Fac. Rew Serv.

1 . Income Gain Codes: A = $1,0~0 or less B =$1.001 - $2,500 " C = $2,50i - $~ J~00 D = $5,001 - $15,000 E =$t5,001 - $50,000(s ee Co lum ns BI an d D 4) F = $50,0 01 - $100 ,000 G =$160.00 ! - $I,000,000 Hi =$1,000,00l - $5,000,000 H2 =M o~ than $5,000,9002. Value Codes J =$15,000 or les s K = $15,001 - $50,000 L = $50,001 - $100,0~0 M =$100,001 - $250,000(See Columns Cl ~nd 13,3) N =$250,001 - $500,000 O = $5 00 ,0 01 - $1 ,0 00 ,0 00 P I - ~$1 ,0 00 ,0 01 - $5 ,0 ~),0 00 P2 = $5,000,901 - $25,090,0~)0P3 =$25,000,001 - $50,000,000 P4 = More than $50,000,0003. X,~tue Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assesstr~rtt T ~Cash Market(See Cotunm C2) U =Book Value V --Other W =Estimated


10/11

Name of Person Report ing

]

Date of ReportFINANCIAL DISCLOSURE REPORTI

Page 1 0 of 11 K e e n a n , B ~ r b a ra 0 4 / 0 8 / 2 0 1 0Vlll. ADDITIONAL INFORMATION OR EXPLANATIONS.

Appraisal of Jefferson County, WV property completed in August, 2009.


11/11

F IN AN CI AL D I S CL OS U R E R E P OR T N~me of P .... n R e p o r t in g D a , e o f R e p o r tPage 1 1 of 1 1 ~ : e e ua n , B a r b a r a 0 4 / 0 ~ / 2 0 1 0

IX. CERTIFICA TION.I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and eomplete to the best of my knowledge and belief, and that any information not reported was withheld because il met applicable statutoryprovisions perm itting non-disclosure.1 further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KN OWING LY AND W ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT I~ IAY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to:

Com mittee on Financial DisclosureAd ministrative O ffice of the United States CourtsSuite 2-301One C olumbus Ci rc le, N.E.Washington, D.C. 20544

barbara keenan financial disclosure report for 2009

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