gene e pratter financial disclosure report for 2009

8/3/2019 Gene E Pratter Financial Disclosure Report for 2009

1/20

. ~ o I 0 I FINANCIAL DISCLOSURE REPORT R e p o r t R e q . i r ~ , d b y th ~ E t h i c sm Governm ent Act o]t 97,~R e v . 1 / 2 0 1 0 FOR CALENDAR YEAR 2009 ~ . ~ U . S . C . a p p . , ~ , ~ " l O t - li t)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 m i l t a l ) 2. Cour t o r Organiza t ion 3 . D a t e o l R e p o r tP ra tte r, G en e E . U .S ~ D is lr ic t C o u rt, E .D . P a . 0 3 / 3 0 1 2 0 1 0

4 . T i t l e { A r l ic l c i l l ju d g es in d ic a te a c t i \ ,c o f s en io r s ta tu s : 5a . R e po r t T y pe I.he c k a p pr o pr ia lc lyp c~ . 6 , R e po r t in g P e r io dm a g is ~a te ju d g es in d ka tc th l l - t~ r pa ~ t - t i~n c )~-] Nomiuahon, D a t e 01/01 i2009

U.S. Dislrict Judge ~ Initial 12/31/20097 . C h a m b e r s o r O f f i c e A d d r e s ~ [ 8 , O n l b e b a ~ 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 h i t h is R e ~ r t ~ n d a n ym o d i f i c a t i o n s p e r l a i n i n g f f i e r e l ~ , il i s , i n m y o p i n i o n , i n c o m p l i a n c e

7 6 ~ 4 U n t i e d S t a t e s C o u r t h o u s e ~ i t h a p p l ic a b l e l a ~ * ~ a n d r c g u l a l l o n ~ .Sixth & Markel StreetsP h i l a d e l p h i a , P A 1 9 1 0 6 - 1 75 2 R e v i e w i n g O f f i c e r

IMPO RTANT NOTES: The instructions accompanying this form must be fotloned, Complete all parts,checking the NONE box for each part where you have no reprotable information, Sign on Io_~tpage.

I . P O S I T I O N S . ~s.p...i.gV- - ] N O N E (No reportable positions.)

P O S I T I O N N A M E O F O R G A N 1 Z A T 1 O N , " E N T I T Y1. Co-Tntstee T r u s t

N O N E (No reportable agreemenrs.]DAT E PARTIES AND TERM S


2/20

I. a m e e l " P e r s o n R e p o r t i n g ] D ~ f e o f R e p o r ~FINANCIAL D ISCLOSURE REPORTPage 2 of 20 Pratter, Ge,,e E.A. Filers Non-lnvestmen! Income"--] N O N E (No reportable non-investment income.)

D A T E ~ O U R C E A N D T YP E I NC O M E( y o u r s , n o t s p o u s e s )1 . 2 0 0 9 Univcrsity of Pcm~sylvama L aw School (Adiunct Pro tbssor) $10,000.002.3 .4.

B . S p o u s e s N o n - ] n v e s t m e n t I n c o m e - ~/. ~,,, were married during any portion ~,f the reporting year. ~Oml, lel thi,~ s e c t i o n .~--~ (No reportable non-investment income.)O NE

D A T E S O U R C E A N D T YP EI. 2 009 C o m m o n we a lth o f P en n sylvan ia (E x e cu tive D e pu ty G e n era l C o u n se l)

2 .3 .4.

N ON E (~ r~7~ortahle reimbursements.)~ ~ L O C A T I O N P U R P O S E IT E M S P A ID O R P R O D D E D

3 .4.5 .


3/20

FINANCIAL DISCLOSURE REPORT N .... f P .....Reporliag Dale of Report;P a g e 3 o f 2 0 Pratter, G e n e E . 0 3 . ; 3 0 , 2 0 1 0

[~ NONE (No reportable gifts.)S O U R C E D E S C R IP T IO N V A L U E

3.4.5.

V I . L IA B I L I T I E S . a . ~ z ~ , , t~,, , .~, ., , j,p ......... ~ depeud,,,, c h i l d r e , , : . * e e p p . 3 2 - 3 _ ~ ,~ff!ling i n s l r u c t i , , n . ~ . l[~ ] NONE (No reportable lial~ilities.)

C R E D I T O R D ~ S C R I P T I O N V A L U E C O D E1 . B a n k o f A m erica C rccht C a rd J2 .3 ., o , .

5.


4/20

F! NANCIAL DISCLOSU RE RE POllT ~ a m e o ~ ~ ,s , ~ ~ p e ~ t ~ . ~P a g e 4 o f 2 0 ~ r a . ~ , G e n e E . 0 3 / 3 0 / 2 0 1 0

NONE (~ report~tble incon~e, assets, or transactions.)...... A, B ( , DD e s c r i p l i o n o f A s ~ c t s I n c o m e d u ~ g G r o ~ s v a l u e a t e n d Transac t ions dur ing repos ing per~( includ ing ~sl as~ts ) r e p t ~ t l i n g p e r i ~ o ~ r c p ~ r l i n g

(1~ (2) (1 ~ (2 ) (t ) (2 ) 13i " (4) (5 )P l a c e " 1 X ) " a t i e r e a c h a s s e t A m o t m t T y p e ( c . g . V a lu e V a l u e Fy~ (e .g. , D a t e V a lu e G a i n l d e l ] t i ~ , o fe x e ) n p t f r o m p r i o r d ~ s c l o s u r e C ( ) d e I d i v , r e n t . ( S t ) d e 2 Meth~ b u y , s e l l . n m ) /d ~ y y : ~ C ~ e 2 C ~ e I b u y e r l s e l l e r( A - H ) o r i n t . ) ~ J - P ) C o d e 3 ~ e d e m pl i o n ) ~ ( J - P ) ( A - H ) 0 f p r t v a l e( Q - W ) ~ t r a n s a c n o ~ ) )I. V ~ a r d T o t a l B o n d M a r k e t In d e x - A D ivide n d B u y I q 5 1 0 9 JRet i rement #2 ( addl}9 V a n g u a r d T o l a l B o n d Ma r k e t In de x - N t m e B u y 4/t5/09 3Ret i rement #2 ( addIt3 . V a n g u a r d T o ta l B o n d Ma r k e t l n d c x - None S o l d 2 ~ 2 7 / 0 9 K BR e t ~ e m e n t # 24. V a n g u a r d T o ta l B o n d Ma r k e t In d e x - None S o l d 5!1/09 KR e t i re m e n ~ # 25 . V ~g u a r d In d e x 5 0 0 - R c t i r e n ~e n l # 2 A Divid e n d B u y 1/15/09 J( addl}6. V a n g ~ r d I n de x 5 ~ ) - Re t i r e m e n l ~ 2 N o n e ~ B n y 4/15/09 J( addIt7. Vanguard Index 500 - Re t i ren~enl #2 None S o l d 2/27/09 K C( p a r t }8. Vanguard Index 500 - Rct i ren,e**t #2 None S o l d 5 / 1 1 0 9 K C

" 9 . V a n g u a r d W i n d s o r I I - R e t i r em c n ~ # 2 None B u y 1/15/09( a dd l jI0 . V a n g n a r d W i n d s o r I I - R e ti r e m e n t ~ 2 None B u y 4 / 1 5 / O 9 J( a dd l )11 . V a n g a u r d W in d so r l [ - Re t i r e me n t # 2 None S o l d 2/27/09 K C

1 2. V a n g u a r d W i n d s o r I I - R e t i r em e n t # 2 None S o l d 5/1/09 K C1 3 V a n g u a r d I n t e r n a t i o n a l G r o w l h - R e t i rc m e o l None B u y 1 / 1 5 / 0 9 J~ 2 ( addIt14 . Vat,guard tn te~a tiona l (}to rah - Rc tir emcn~ Nmlc B u y 4 ~ 1 5 / 0 9

15 . Va~lsuard h~ temat io t~al Growth - Rct i rcn~cnt None S o l d 2/27/09 J~ 2 ( p a ~)16 . V a n g a n r d I n l e m a t i o n a l G r o w t h - R e t ~ r em e n l None S o l d 5il/09 K C~217 A d~ a Ha r n e s s Sm a l l G r o w t h - Rc t i rc m e ~ , ~ N o n e J T#5


5/20

FINANCIAL D ISCLOSURE REPORT " . . . . .. . f P . . . .. a ~ o , , ~ . ~P a g e 5 o f 2 0 Pralter, GeJ l e E . 03/30120] .0V I I . I N V E S T M E N T S a n d T R U S T S .- i .......... ~. ~a~,saction.~ Hnctudes those of sp ........ d depend ..... hittite,,: see pp. 34-60 o[fili,,g

N O N E (No reportable income, assets, or tr~msoctiot~s,)~ D c ~ r i p l i o n o f A s s c l s I n c o m e d u r i n g Gro ~ s v a l u e a t en d Traasacdons duriog rc~i~g pcr~( in c l u d in g ~m s ~ ~se ts) rc p t , r l h~ g pe r i~ o f r e p ~ r t i n g p c f u d

(1~ ~2) II~ 12) (I) ~2) [ 13) (4) (5 ): Place "(X )" a f te r each ; ~sse l A mo un t lype ~ c.g .. V a l u e Va l u e Iy~ (c.g,, Date ~ Value G a i t ~ Ide ~t~l y ofc x c m p l f r o m p r i o r d i s c l o s u r e C o d e I di v . r e nt . C o d e 2 Me th od buy. selL. a m ~, t (L ~ ~ C~M e 2 C t ~ e I buy c l , "~l l e rIA-H~ or i n tA O - P ~ C~e3 r e d e m p t i o n ) ( I -P ) (A -II) ( if pr iva te

18. DFA US Small Cap Value - Retiremenl #5 A D i v i d e u d J T

1 9 . DFA US Large Cap Value - Rctiremenl #5 A I ) i v i d e ~ d J T2 0. Federated US Govq I - 3 - Rctircmc~t #5 A D i v i d e n d K

2 l. F i r s t E a g l e O v e r s e a s - R e t i r e m e n t 1 1 5 A D ~ v i d c n d J T2 2 . Jam~s Fund - Retirement #5 A D i v i d e n d J T2 3. Janm Overse~- Retirement 05 A D i v i d e n d J T2 4. Schwab Money Mark~ - Retiremem #5 A D i v i d e n d J T2 5. Westcore MI~O Growth - Retirement #5 N o ~ e J T

[ 26. Jan~ M~d Cap Value - Rc~ircmcm #5 A D ~ v i d c n d J T2 7. William Blair fml Small Growth - N o n e J T

R e t i r e m e n t # 52 8. Federated US Govt I - 3 - Rclirement #6 A D ~ v i d e n d J T

2 9. Baron Growth- Retirement ~6 A D i v i d e n d J T30 Fi~ Eagle Overseas - Retircmcn~ ~6 A D i v i d e n d J T31 . Royce Opportunity - Rct~reme~ #6 A D i v i d e n d J T32 Schwab Money Market - Rcti~mcnt #6 A D ~ w t l c n d .! T33 . Tho~nburg Value- Retirement #6 A D i v i d e n d J T

34 . J~tl8 Overseas - Retirement ~6 A D i v i d e n d J


6/20

FINANCIAL D ISCLOSURE REPORT ~ a , , e o r P ~ r ~ o ~ R ~ p o r , i n ~ oa,~orR~tPage 6 of 20 Pratter, Gene E. 03/30~20 t 0V I I . I NV E S T M E N T S a n d T R U S T S - ~ , , . . . . . . . . . . ,a , ,~. ,

N O N E (No reportable income, assets, or trctnsactions.)A, B ( , D .

( i n c l u d i n g t m . ~ l 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 ~ r i u dP l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n l T y p e ( c .g , Value V a lu e T y p e ( e , g . , Da te : V a l u e G a i n idcnl i~ ofe x c m p l t ~ o ~ n p r i o r d i s c lo s u r e C o d e I d i v . . r e n t . C ~ ] c 2 Meth~ b u y . s e l l , m m . , d f ~ C ( ~ e 2 C ~ e I buyer/~llcrIA - H ~ or int.) ~J-P} ( o d e 3 r e d e m p t i o n ~ ( J - p) ( A - H ) ( i f p r i v a t e( Q - W )

3 5 . J a n ~ F u n d - R e t i r e me n t g 6 A Divid e n d J T3 6 . S o u n d S h o r e - R e t i r e me n t # 6 A Divid e n d J T3 7 . Third Avenue ln , l Value - Retir ement #6 A Divid e n d J T3 8 . B a r o n G r o w l h - Re l i r e m c n t # 7 A Divid e n d L T S o l d 5/13/09 J A~ p a r t }3 9 . B r a n d y w in e - R e t i r e me n t n 7 N ~ , n e M T

4 0 . DF A US Mic r o C a p - R e t i r e me n t # 7 A Divid e n d K T S o l d 9/29/09 J A~ p a r t ~4 1 . DF A E me r g in g Ma r k e t s C o r e E q u i ty - A D i v i de n d L T S o l d 5/13/09 J AR e t i re m e n ~ # 7 ( p a r t )4 2 . DFA Emerging Marke ts (7ore F.qui ty - None S o l d 9!29/09 J AR e t i r e ~ r t e n t # 7 ( p a r t )4 3 . D F A h t t c m a t i o n a l Sm a l l V a h t e - R e t i r e m e n t A Divid e n d K " F#74 4 . DF A In l e r n a l io n a l V a l u e - R e t i r e n t e m # 7 C D~vidend M T S o l d 9 / 2 9 . / 0 9 J A

( p a r t )4 5 . DF A O n e Y e a r F ix e d - R e t t r cme m # 7 (" Divid e n d N T S o l d 7/30/09 L AI p a r t )4 6 . DF A O n e Y e a r F ix e d - R e t ir e me n t # 7 None B u y 9/29/09 K( a dd l )4 7 . DF A US S m a r t C a p V a h ~e - Re t i r c me m # 7 A Divh l e n d L T

4 8 . D F A U S L a r g e C a p V a l n e - Re t i re m e ~ t # 7 B Divid e n d M T S o l d 5!13/09 .T A( p a r t )4 9 . DF A R e a l E s t a l e S c c u r i l ic s - R e t i r e me n t # 7 13 D ivide n d K T B u y 5!13/09 K5 0 . D o d g e & C o x S t o ~ k - R e l i r e m e n t # 7 A D, vid c n d L T S old 5/15:09 J A(par05 1 . D o d g e & C o x S t o c k - R e li r c m c n t ~ 7 N o z ] e S o l d 9/29/09 J A(pan)


7/20

N .... f P ..... R e p o r t i n gFINANCIAL DISCLOSURE REPORT[ Pratter, ~ene E.a g e 7 o f 2 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 . . . . . . . . . . . ~.,. t ..........i , ,n ~ g t o , c t, ~ a ~ . ~ " t h a s e~ NONE (No reportable income, assets, or trmsactions.)

................... A. " B C. ...... D~ ...........D e s c r i p t i o n o f A s s e t s I n c o m e d u r i ~ l g G r o ~ 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 iu g r e p o s i n g p e r i o d( i n c k ~ d i n g t n l s t ~ s e t s ) reporting per~ o~ re~tng p e r i o d(I) (2 ) ~1) (2) (1) (2) (3) (41 (5 )P la c e " ( X ) " a l~ e r e a h ~ 1 A m o u m F y p e ( . ~ . , V a l u e V a l u e T y p e ~ e . g . . D ale , V a lue G a b * I d e n t i t y o fe x c m p ~ f r o m p r i o r d is c l o s u r e C o d e I d i v , r e ~ l , C * ) d e 2 M e t h o d~ A - H ) o r ~ n l . ) O - P ) ( ~3 r e d e m p l i o n ~ ( J - P ) ( A - H ) ( i f p r i v a t e~ Q - W ~ ~ wa~acl ion)5 2 . Federa ted US Govt I - 3 - Retir ement ~7 C D i v i de n d M T B u y 9/29/09 K( a dd l )5 3 . F i r st E a g l e O v e r s e a s - R e t i r e m e n t # 7 B Divid e n d L T S o l d 5/13/09 J A( p a n )5 4 . H o tc h k is & W i l e y Mid C a p V a l u e - A Divid e n d M T S o l d 5/13/09 J AR e t i ~ m e n t # 7 (pan)

5 5 . Ho t c h k i s & W i l e y M i d C a p V a l u e - N o n e S o l d 9/29/09 J BR e t i re m e n ~ # 7 ( p a n )5 6 . Anio Inte rnat ional Equip" - Re t i rement #7 C D i v i de n d L T5 7 . M o r g a n S t a n l e v I n te r n a t i o n a l E q u i t y - C Divid e n d M TRet i rement #75 ~ . Mo r g a n S ta n l e y E me r g io g Ma r k e l s - A Divklcnd L T S o l d 5/13/09 J ARetiremem #7 (part)5 9 . R o y c e M i c r o C a p - R e t i r e m e n t # A D i v i de n d 2 T

6 0 . Royce Opportuni ty - Re t i rement #7 A D ivide n d K T S o l d 5 / I 3 / 0 9 J A~pan)6 I. Royce Opportuni ly - Re t i rement #7 N o o e S o l d 9/29/09 J A6 2 . S c h w a b Mo n e y Ma r k e t - R e t i~ me n t ~7 A Divid e n d K Y

6 3 . Westcore Inle rnat ional Front ie r- Re t i remen~ A Divid e n d K T S o l d 9 / 2 9 ~ 0 9 J Al #7 ( p a r t )6"-I. W e stc o r e Mid C a p V a l u e - R e f i re me ~ t # 7 A Divid e n d M T S o l d 9 i 2 9 / I ) 9 J A6 6 5 . Westcor~ MIIXO Grt~wth - Rct i re tnent #7 No~e ~..! T

W il l i a m B l a i r In t e r n a t io n a l Gr o w th - A Divid e n d L T g o l d 9 , " 2 9 / 0 9 J ARet i rement #7 ( p a t ~ )6 7 . Janus Fund - Retir ement #7 A Divid e n d f_ T (parl)Sld 5/13/09 K .... A

. 6 8 J anus O ve r s e as - R e t i r e m e nt #7A Divid e n d L T ~par0Sld 5 , " 1 3 / 0 9 K B


8/20

FINANCIAL DISCLOSURE REPORT .~ .... fP ..... R e p o r t i n . g ] D a , e o f R e p o r tPage 8 of 20 e r a t t ~ r , C , e , e r .V I I. IN V E S T M E N T S a n d TRUSTS - i. . . . . . . . . . . ~,,. , .......i ~ , ~ t . ~ t , , a , , t~ o . , ~ o l s ~ ...... ~ d e p e n d ~ n t c h i ld r e n : see p p . 3 4 - 6 0 q f i t i n g

N O N E (No r~ortable income, assez~, or transactions.)A ~ a t. ........ 6~ ...........~scripl ion of Asse ls I n c o m e d a r i n 8 G r o s s v a l u e a t e n d T r m ~ s a c t i o ~ d u r i n g r e ~ i n( i n c l u d i n g t ~ s l ~ ) r e s c u i n g ~ r i ~ o ~ r e p o r t i n g p e r i ~

iI~ (2} {i) (2) (I ) (2) ~ ~31 (41 (5 )P l a c e " ( X t " a f i ~ e a c h a s ~ t A m o t t t ~ l T y p e f c . 8 . . V a lu e V a l ue Y y p e ( e , g ,. D a t e ~ V a l u e G a i n Idcnl i~ o fe a e m p t f r o m p r i o r d i sc l o s u r e C o d e I d i v . . r e n t . C o d e 2 M e t h o d b u y . ~ 1 1 , nm~/ddt~ ~ C~e 2 C ~ e I b u y e r / s e l l e rI A - I [ ) o r i n t . ) [ J - P ) ( ~ e 3 r ~ e m p t i o n ) , ( J - P ) ( A - H ) ( J r p r i v a t e

6 9 . Ja n ~ O v e r , a s - Re l i r e m e n t # 7 N o n e S o l d 9/29/09 J D( p a n }7 0 . H o tc h k is & W i l e y L u r g e C a p V a l u e - B Divid e n d LR e t ~ m e n l # 7

: 7 I . R o y c e V a l u e P I~ - R e t i r e me n t # 7 None K T S o l d 5/t 3/09 J A7 ~ . R o y c e V a l u e P l u s - ~e t i r ~me n t ~ 7 N o t r e S o l d 9/29/09 J A( p a n )7 3 . T h i r d A ve n u e I n t e r n a t i o n a l V a l u e - A D i v i de n d L T S o l d 5 1 1 3 1 0 9 J ARet i rement #7 ~pa~)7 4 . T h i r d A ve n u e In t e r n a t io n a l V a l u e - None S o l d 9 / 2 9 1 0 9 J AR e f i ~ m e n t # 7 (pa~)7 5 . T u m ~ C o r e G ~ w t h - R e ti r e m e o t # 7 A D i v i de n d [ L T S o l d 5/13/09 J A(part)

7 6 . W il l i a m B l a i r L a r g e Gr o ~h - R e t i r e me n t # 7 No~e L T7 7 . S c h w a b V a lu e A d va n ta g e - R e t i r e me n t # 7 A D i v i de n d S o l d 4/30/09 M A(part)7g . S c h w a b V a lu e A d va n ta g e - R e t i r e me n t # 7 None S o l d 7/30/09 M A7 9 . A d a ms l t a r k n e ss S ma l l Gr o w th - R e t i r e me o ~ N o n e L T#7~ 0 . W il l i a m B l a i r l n t l S ma l l Gr o w th - A Divid e n d K YR e t i re m e n t # 78 1 . Metropol i ta ta We s t Tota l Return - D Divid e n d M T B u y 5/13/09 MRetirement g7

8 2 . Metropol i tan W es t Tota l Ren~rn - None B u y 7/30/09 MRet i rement #7 (addl)8 3 . Metropof i tan W est Total Re turn - Nooc B u y 9 ! 2 9 ! 0 9 KR e t i re m e n t # 7 ( addt)8 4 . B l a c k R o c k L o w D u r a t i o n - R e t i r e m e u t # 7 D Dtvid e o d N T B u y 4/30/09 M8 5 . B l a c k R o c k L o w D u r a t i o n - R e t i r e m e n ~ # 7 N o n e B u y 7/30/09 L(addl)


9/20

FINANCIAL D ISCLOSURE REPORT ~ ..... fP .... R e p o r t in g [ D a t e u fR e p o r !Page 9 of 20 ~ , - a t t e , - , ~ ; ~ . e E . [V lI. I N V E S T M E N T S a n d T R U S T S - ~ .......... ~,~. ~ra,,SactiOnS (Includes those qsp ...... d d e p e n d e n t , . ki l d r r u : s e e p p . 3 4 - ~ 0 o f ~ d i n g i n s t r u c t i o n s .)

~ NONE (No reportable income, assets, or transactions.)" ~. B C. D .D ~ r i ~ t io n t f f A s s e t s I n c o m e d a r i a ~ G r o s s v ~ [ u c a t e n d Trao~ct ions duriug repo~in 8 ~ r i ~( m l ~ i n g t n ~ s l ~ s e ~ s ) r e po ~ i~g pe r~ ~ f r e ~ in g pe r io d

P l a c e " { K y a f t e r e a c h a s s e t A m o u n t ly~ le.g.. Value V a lu e Ty~ (e .g. . D a t e ~ V M u G a i n , l d c n l i t y o fe x e m p l 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 . C t ~ e 2 M e l h o d b u y , s e l l ,I A - I t } o r i n t . ) O - P ) C~ 3 r e d e m p l i o n ) ~ ~ J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) . t m n s a c t i o o ~

8 6 . B l a c k R o ck L o w D u r a t io n - R e t i r e me n t g 7 None B u y 9/30/09 K~add l )8 7 . Schwab Money Marke t - Trus t #1 A Divid e ~d J T8 8 . D o d g e & C o x S t o c k - T r u s t # 1 A Dividend K T8 9 . Schroder Shut , Te rm Mtmi - Trus t # I A Divid e n d S o l d 12/17/09 J A9 0 . B a r o n Gr o w th - T r u s t # i A Divid e n d K T9 1 . Federated Short Te rm Muni - Trus t # I A Divid e n d K T B u y 9 / 1 5 / I ) 9 J( add! )

9 2 . F i r st E a g l e O ve r se a s - T r u s t # l A Dividei~d K T9 3 . H o t c h k i s & W il e y L a r g e C a p V a l u e - T r u s t A D i v i d e n d J T# 19 4 . Hotchkis & Wiley Mid Cap Va] t tc - Trusl #l A Di,~ ldcnd K T9 5 . Janus Fund - Trus t #1 A Divid e n d K "1"

"~ . Janus Overseas - T ta ts t # t A Divid e n d K T9 7 . Ar~io haemational Equi ty - Trus t #1 B Divid e n d K T98 Mo r g a n S ta n l e y l n t e ma t io u a l E q u i~ - T r u s t A Divid e n d K T9 9 . Morgan Stanley Emerging Marke ts - "Fros t .,\ Divid e n d K T# 11 0 0 . R o y c e O p p o r t u n it y - T r u s t # 1 A Divid e n d K T1 0 I . Turne r Core Growth - Tnast #1 A Divid e n d K T

1 0 2 . W e s t c o r e M i d C a p V a l u e - T r u s t # 1 A Divid e n d K T


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Name of Person Reporting D a l e o r " R e p o r tFINANCIAL DISCLOSURE REPORTP a g e t0 of 20 r r u . e r , ~ e , ,. E . 0 3 / 3 0 ~ 2 0 1 0

NONE (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 h l c o m c d u r in g G r o s s v a l u e ~ t e n d T r m t s a c r io n s d u r i l ~ g0 n c l u d i n g t m s l ~ ) r c~c ting per i~ o f r e p o t l in g p e r i o d

P l a c e " ~ X ) " a ~ e r e z c h a s s e t A m o t m t T y p e ~ c . g .. V a t u c V a lu e T y~ le .g ., D ~ e Va lu e G a l a I d e n t i t y o fe x e m p t f r o m p 6 o r d i s c l o s u re C ~ e I d i v . r e n t . ( N ~ d e 2 M e t h o d buy, ~1, n m ~ d ~ ~ C ~ e 2 C ~ e ~ b u y e r ! s e l l e rI A - H ) o r i n t . l O - P ) C t ~ e 3 r e d e m p ~ i o n l ~ ( J - P ) ~ A - H ) ( i f p r i v a t e: ~ Q - W ) i ~ a n s a c t m n )1 0 Y W e stc o r e MIDC O Gr o w th - T ~ s l # 1 None K T

~ 0 4 . DF A T a x Ma n a g e d Ma r k c tw id e V a lu e - A Divid e n d K TT r t l s l ~ 11 0 5. DF A U S Mic r o C a p - T ~s t # 1 A Divid e n d K T1 0 6 . T h i r d A ve n n e I n l e r n a t i o n M V a l u e - T ~ s t ~ 1 A Divid e n d K T1 0 7 . W e stc o r e l me r n a t io n a t F r o t t t ie r -T r u s t ~ l .. \ Divid e n d K "1-1 0 g . DFA l r t t l Value - Trus t #1 A Divid e n d J T1 0 9 . D F A U S S m a l l V a l u e - T r u s t # l A Divid e n d J T1 t 0 . T u r n e r S ma l l C a p E q u i ty -"l ms~ # I Nooe J T

I 1 1 . W il l i a m B l a i r Mid Gr o w th - T r u s l # 1 N o , ~ c K T B u y 9 1 1 5 / 0 9 J1 1 2 . D F A Sh o r t T e n ~ M u n i - T r u s t # I A Divid e n d K T B u y 5/13/09 J

,,11 3 D F A Sh o r t T e r m M t t m - T r u s t # i N o n e B u y ~ - ~ / l 5 / 1 1 9 J{addl}1 1 , 1 . Metropol i tan West Total Re turn - Trus t ) t l A Divid e n d K T B u y 7 / 3 0 1 0 9 KI t 5 . B a n ) n G r o w t h - B r o k e r a g e # 1 A Divid e n d K T S o l d 1 t / 1 8 / 0 9 J A( p a r t )116. D F A T a x M g d U S M a r k e t w ide V a l u e - A l ) ivtdend K T S o l d 1/18/09 J ABrokerage # I (parO

1 7 D FA b S S ma l l " v a h tc - B r o k e r a g e # 1 A Divid e n d K q" B u y 5/13/09 J( a ddq)1 8 . D F A U S Sm a l l V a h~ e - B r o k e r a g e # 1 None So k t 9~9/09 J 13(part)1 9. DF A E m e r g in g Ma r k e t s ( : o r e E q u i ty - A Divid e n d K T S o l d 9 ; 2 9 / 0 9 J BB r o k e ra g e # I Ipart)


11/20

FINANCIAL DISCLOSU RE REPORT S a m , o ~ P .... Repartiag DateofReportP a g e 1 [ of 20 P r a t t e r . G e n e E . 0 3 / 3 0 . 2 0 1 0

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

~ s c r i p ~ i o n o f A s s c ~ s l ~ c o m c d u r i n g ( } r o s s v a l u e at e n d T r a n s a c t i o n s d u ~ i n g r e p o s i n g p c r i~(including ~s~ ~sscls) reporting peri~ uf rep~ing period

(I ) ~ 2 1 (11 (2) ( I ) (2) : ~3~ (4) (5) ....P l a ~ " ( X } " a f l e ~ e ~ h a s s e t A m o u u t " T y p e ( e . g . , Value V ~ l u e T y p e ( e . g ., D a t e . V a l u e G a i u I d c n t i ~ o fe x e m p t f l o r a p r io r d i s c l o s u r e C o d e 1 div, rein. C o d e 2 M e t h v d buy, sell m m M d y y~ A - [ l~ ~ o r i n t . ) ( J - P C ~ e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ~ ( i f p n v a r ~( ~ W t ~ ~ n s a c t i o n ~

1 2 0 . DF A E me r g in g Ma r k e t s C o r e E q u i ty - ] N o n e S o l d I 1 / 1 8 / 0 9 I BB r o k e r a g e # 1 [1 2 1 . D F A T a x M g d l f it e m a ~ i o n a l V a l u e - A D i v i de n d K TB r o k e ~ g e # l1 2 2 . E a s t R ive r B a ~k S t~k - B r o k e r a g e # 1 N o n e K U! 2 3 . F e d e r a te d Sh o r t T e r m M u n i - B r o k e r a g e # I B Divid e n d M T B u y 4 / 3 0 / 0 9 L1 2 4 . Federated Shee t Te rm Mtmi - Brokerage #1 N o n e B u y 5 / 1 3 . " 0 9 K( a d d ~ )1 2 5 . F i r s t E a g l e O ve r se a s - B r o k e r a g e # I A Divid e n d K T1 2 6 . Ja n u s F u n d - B r o k e r a g e / / I A Divid e n d K T1 2 7 . J a n u s O ve r se a s - B r o k e r a g e # l A DivMend K T S o l d 1 1 1 2 0 / 0 9 J A(pa~)

1 2 8 . J a n u s Mid C a p V a l u e - B r o k e r a g e # l A Divid e n d K T S o { d 9/29/09 J A( p a r t )1 2 9 . A r l io In t e ma t io a n l E q u h ) - B r o k e r a g e # l A D, vid e n d J T13 0 Morgan Stanley lniematioual Equiw - A D i v i d e n d K T B u y 5!13 109 JB r o k e r a g e # 1 ( a d d l )131. Morgan Stanley International Equity - N o n e S o l d 9 ! 2 9 / 0 9 I AB r o k e r a g e # l I par t )13 2 . Schwab Money Market - Brokerage/1 A D i v i d e n d K T

133. S o u n d S h o c e - B r o k e r a g e , ~ 1 A D i v i d e n d K T

134. W c s t c o r e M ID C O G r o \ , ~ th - B r o k e r a g e # 1 N o n e K T S o l d I I!I 8/119 J A(part)135. Schroder Short Term Muni - Brokerage #1 B D ivi d e n d S o ld 12./17/09 K B

136. H o t c h k i s & W i l e y L : tr t ,, e C a p V a l u e - A D i v i d e n d J TB r o k e ra g e # I


12/20

FINANCIAL DISCLOSURE REPORT ~ ..... ~ e . . . .. a ~ p o r t i . ~P a g e 1 2 o f 2 0 P r a l t e r , Gene g . I 0 3 , 3 0 / 2 0 1 0

~ NONE (No reportable income, assets, or transactions.).... ~. ~ . , ~. ..................... O. ...............D e s c r i p t i o n of Asse ts I a 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 t i o n s d u r i n g r e p o m n g(~cluding tnls t ~ t s ) r e po r l i n g p er i ~ t o f r e p~ = l i n g p e ri ~

(~ ) (2 ) ~~ ~ 2 ) (~ ) (2) (3~ (4) (5 )~ i a c e " ( x ) " a t~ e r e a c h a s s e t A m ou n t T y p e c . ~ ., V a iu c V a lu e ~ y ~ ( e ,g . , D a t e Value ; Ga in I d e n t i ty o fe x e m p l f r o m p r io r d i s c l o s u r e C o d e ] d i v ~ r c n L C o d e 2 M e t h~ b u y . s e l l n~d~ [ C~e 2 C ~ e 1 ~ b u y e r / s d l e r( A - t . I ) or int) ( . I - P ) ( o d e 3 r e d e m p t i o n ) O - P ) ( A - H ) ( i t p o v a r e

1 3 7 . H orc hk is & Wi l ey M id Cap Va lue - A Div idend K TB r o k e r a g e # I138. Royce Valu~ Plus - Brokerage ::1 N o n e J1 3 9 ~ Th i rd Avenue In te rna t iona l V a lue - A Div idend K TBrokerage #1

1 4 0 . T h o m b u r g l n l l V a l u e - B r o k e r a g e # I A Divktend J T1 4 1 . W il l i a m B l a i r l n tq S ma l l G r o w th - A Divid e n d J T B u y 5 . : 1 3 / 0 9 JB r o k e r a g e # 1 ( a d d l )1 4 2 . W c s tc o r e l n t e ma tk ma l F r o n t i e r - B r o k e r a g e A Dividend J T S o l d ! I 1 / 1 8 / 0 9 J B# I ( p a r t )1 4 3 . W i l l i a m B l a i r L a r g e Gr o w th - B r o k e r a g e # l A Divid e n d K T B u y 5/13/09 K( a dd l )1 4 4 . W i t l i a r a B l a i r L a r g e G r o w t h - B r o k e r a g e # I None S o l d 1 I/t8/09 J A(part)

1 4 5 . W il l i a m B l a i r Mid Gr o w th - B r o k e r a g e # 1 None K T B u y 5/13/09 J( a dd l )" i ~ 1 6 . W il l i a m B l a i r S ma l l Gr o w th - B r o k e r a g e d ! None 3 T B u y 5/I 3/09

1 4 7 . W e stc o r e Mid C a p V a l u e - B r o k e r a g e # 1 A Divid e n d K T B u y 5/13/09 J1 4 8 . DF A [ n l l S ma l l V a l u e - B r o k e r a g e # t A Divid e n d J T B u y 5 1 1 3 1 0 9 J1 4 9 . D F A Sh o r t T e r m M u n i - B r o k e r a g e ~ / t D Divid e n d M T B u y 4/30/091 5 0 . D F A Sh o r t T e r m M o n i - B r o k e r a g e # 1 Nol)e B u y 5 1 1 3 t 0 9 L(~ddl)1 5 1 . DFA Short Te rm Mu~)i - Brokerage #1 None S o l d 1 0 / 2 1 / I ) 9 J B( p a r t )15 2 . M e t r o p o li t a n W e s t T o t a l R e t u r n - B r o k r e a g e A Divid e n d K T B u y 7 / 3 0 7 0 9 K1 5 3 . Metropol i tan West Total Re tain - Brokerage N o n e B u y 9/29:09 K#1 ( add])


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N a m e o f P e r s o n R e p o r t i o g D a t e o f R e p o t !FINANCIAL D ISCLOSURE REPORTeratler, G e n e E .a g e 1 3 o f 2 0 o 3 ; 3 o ~ 2 o l o

N O N E (No reportable income, assets, or transactions.)A. B " ~~ ............. D. ...............D e ~ n p t i o n o f A s s e ls I n c o m e d u r iu g ~. G r o s s v a l u e a t e n d T r m ~ a c 6 o ~ s d u r i n g r e p o a m g p e r i ~0 n d u d i n g m ~ s l : ~ s e t s ) r epor t ing ~r i~ ~ o f r e ~ r l m g l ~ r i ~~ 1 ~ t2 ) ~(~ ~2) O ~ (~) ~ ~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 t u a " l y ~ ( e . g . Value V a l t tc Yy~ (e .g. , D a t e V a l u e G a i n I d c n t i ~ o fe x e m p t f r o m p ~ o r d i s c l o s ur e C o d e I d i v . . ~ . a l . C ~ e 2 Meth~ boy. sell, nmxld~ ~ U~Me 2 C r a t e I b u y e r l s e f l e r[ A - H ~ or int.J J-P) C o d e 3 redemptionl ( J - P ) ( A - H i ( i f p r i v a t e

1 5 4 . B a r o n Gr o w th - B r o k e = g e a 2 A Divid e n d J T Do n a te d( p a a )1 5 5 . DF A US Mic r o C a p - B r o k e r a g e # 2 A Divid e n d J T156. DFA Tax Mgd Marketwidc Value - A D i v i d c a d K TB r o k e r a g e # 2157. DFA [JS Small Value - Brokerage #2 A D i v i d e n d K T

1 5 8 . DF A T a x Mg d l n t l V a lu e - B r o k e r a g e a 2 A Divid e n d K T1 5 9 . D o d g e & C o x S t o c k - B r o k e r a g e i t 2 A Divid e n d K Ti60. Federated Short Term Muni - Brokerage r2 B Dividend L T . Buy 4t30/09 K( a dd l ) i 6 1. F e d e r a t e d S h o r t T e r m M u o i - B r o k e r a g e #2 N o u e B u y 5/13/09 K( a dd l )1 6 2 . F i r s t E a g l e O ve r se a s - B r o k c r a g c # 2 A D ivide n d K T1 6 3 . H o tc h k is & W i l e y L a r g e C a p V a l u e - A D i w d e n d J T

B r o k e r a g e # 21 6 4 . H o tc h k is & W i l e y Mid C a p V a l u e - A Divide r~d K T S o l d 9/29/09 J AB r o k e r a g e / / 2 p a r t )165 . Ja n u s F u n d - B r o k e r a g e / /2 A Divid e n d K T S o ld 9/29/09 J Ap a r t )1 6 6. J a n u s F u n d - B r o k e r a g e # 2 None D o n a t e d( p a c t }167. Janus Overseas - Brokerage ,~2 A Divid e n d K T S o l d 9 / 2 9 ~ 0 9 J B( p a r t )1 6 8 . Janl . ts Overseas - Brokerage ~2 None D o n a t e d( p a r t }

1 6 9 . Arl io Inte rnat ional Equi ty - Brokerage #2 B D w i d e n d K T D o n a t e d(part)1 7 0 . Morgan Stan ley ln tcn ta t iona l Equity- A Divid e n d K TB r o k e r a g e / t2


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FINANCIAL D ISCLOSURE REPORT N .... fP ...... R e p o r l i o g D a t e o fR e p o r lPage 14 of 20 Pralter, G e u e E . 03/30,2010

~ N O N E (No reportable income, assets, or transactio~is.)A , B C . D.~ s c l ip l io n o f A S S e t s I n c o ~ n c d u r i n g G r o s s v a l u e ~ l e n d T r a n s a c t i o n s du r i n g ~ i n g ~ r i o d( i n c lu d i n g m l ,~ l a s s e L ~ ) ~ e p o r ~ i n g p e r i o d of re~rling p~riud

P l a c e " ( X ) " a f t e r e a c h a s ~ t A m o u n t . T y ~ ( e . g . . Value V ~ h ~ T y p e ( e . g . , D a t ~ .~ Value G M n identity o fe x e m p t f r o J n prior disclosure C o d e I d i v . r e n t . C t ~ I e Z M c t h t~ b u y , s e l l , m n x i d ~ L " ) ~ ~ C ~ 2 C ~ c 1 b u y e r l s e l l e re A - H ~ o r i n t J O - P ) C o d e 3 r~emplion) ( J - P ) ( A - H ) ( i f p r i v a t e{ Q - W ) t r a n s a c n o n )1 7 1 . Mo r g a n S l a n l e y E me r g in g Ma r k e t s - A Divid e n d K TB r o k e r a g e # 21 7 2 . ~o y c e O p p o ~n i ty - B r o k e r a g ~ # 2 A Divid e n d K T S o l d 9 1 2 9 1 0 9 J B] 7 3 . R o y c ~ O p p o ~n i ty - B r o k c x a ~c ~ 2 None Do n a te d1 7 4 . Schwab Money Market - Brokerage ~2 A D i v i de u d K T1 7 5 . Sc h w a b M u n i V a l u e A dv a n t a g e - B r o k e r a g e A Divid e n d S o l d 4 / 3 0 1 0 9 K A#217 6. Sc h r o d e r Sh o r t T e r m M u n i - B r o k e r a g e : , ~ 2 B Divid e n d S o l d IZ/17/09 L A1 7 7 . Third Avenue In terna t iona l Value - A Divid e n d K TB r o k e r a g e # 21 7 8. T u r n e r C o r e Gr o w th - B r o k e r a g e # 2 A Divid e n d K T1 7 9. T u r n e r S m a l l C a p E q u i ty - B r o k e r a g e # 2 N o n e J T1 8 0. W e s tc o r e Mid C a p V a l u e - B r o k e r a g e # 2 A Dividend K T1 8 1 . W e s l c o r e MIDC O Gr o w th - B r o k e r a g e # 2 None K Tl g 2 . W e stc o r e In t e r n a t io n a l F r o n t ie r - B r o k e r a g e A D i v i d e n d J T# 21 8 3 . Metropol i tan West Tota! Re tarn - Fl rokerage A Divid e n d K T B u y 7 1 3 0 / 0 9 J# 21 8 4 . Metropol i tan West Total Re turn - Brokerage N o , ~ e B u y 9/15/09 J# 2 ( addl}1 8 5 . Metropol i tan West Total Re turn - Brokerage None B u y 9/29/09 l~ 2 (addl}1 8 6 . D F A Sh o r t T e r m M t m i - B r o k e r a g e # 2 A D i w d e n d L T B u y 4 / 3 0 1 0 9 K1 8 7. DF A S h o r t T e r m Mu n i - B r o k e r a g e # 2 None B u y 9/29/09 J( a dd l )


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FINANCIAL D ISCLOSURE REPORTPage 15 of 20 ~ r ~ t t , r , G e t , e E . ~ 0 3 / 3 0 i 2 0 1 0

N O N E (No reportable income, assets, or transaction.s.)A. B C. ............. ~. ...............D e ~ r i p l i o n o f A s s e t s I n c o m e dudn8 ( i r O n s v a l u e a t e n d T r a n s a c t i o ~ du r i n g ~ a i n g p e r i ~(il~luding mtst ~sets) ~epofflng ~ri~ ~freptnti~tg i~riod

(~ ) ~ 2 ) o) ~2) (1 ) (2) :~ ~3) (4~ (5 )P l a c e " X ) " a f t e r e a c h a s s e ~ A m o u n t T y~ ( e . g . , V a l u e Value T y ~ ~ e . g ., D a t e V a l u e G a i n I d e n t i ty o fe ~ c m p t f r o m p o u r d t s c io s u r c C t ~ e 1 d i v , r e n t . C o d e 2 M c t lu ~ b u y , ~ 1 1 , n m v d ~ ~ ~ C ~ e 2 C ~ t b u y e r / s e l l e r( A - H o r i n t ) I J - P ( Q - W ) ] t ~ n s a c t i o u }

1 8 8. DF A O n e Y e a r F ix e d - R e t i r e me n t a 8 C D~ vidend M T S o l d 7 1 3 0 / 0 9 M B( p a r t )189. DFA One Year F ixed - Retir ement V8 None B u y 9/29/09 K( a dd l )

1 9 0 , Federa ted US Govt I - 3 - Retir ement ~8 C Divid e n d M T S o l d 4/30/09 L C1 9 1 . A da m s Ha r n e s s Sm a l l G r o w t h - Re t i r e m e n t N o n e K T~ 8192 _ B a r o n G r o w t h - Re f i r e m ~ m ~ A Divid e n d K T

~ 1 9 3 . B ~ a n d~ i n e F u n d - Re t i r e m e m # 8 None L T1 9 4 . DF A E me r g in g Ma r k e t s C o r e E q u i ty - A Divid e n d K T S o l d 5/13/09 J ARetirement # 8 (part)1 9 5 . DF A E me r g in g Ma r k e t s C o r e E q u i ty - N o ! ~ e S o l d 9 / 2 9 / I ) 9 J BR e t i r e n t e o t # 8 I p a r t }1 9 6. DF A In te r n a t io n a l V a l u e - R e t i r c me m ~8 B Divid e n d L T S o l d 9/29/09 J A{ p a r t )1 9 7. DF A U S l , a r g e V a l u e - R e t i r e me n t , ~ 8 B Divid e n d L T1 9 8 . DF A US S ma l l C a p V a l u e - R e t i r e me n t # , ~ A Divid e n d K Tt 9 9 . DFA US Micro Cap - Re t i remen t t / ;~ A Divid e n d K T

2 0 0 . D o d g e & C o x S t o c k - R e t i r e m e n t # 8 A Divid e n d K T2 0 1 . DFA In t l Smal l Cap Value - Retir ement ~8 A Divitle~d K T2 0 2 . F i r s t E a g l c O v e r s e a s - R c t i r c m c m # 8 A Divid e n d K "f S o l d 5/13/09 J A(part)2 0 3 . F i r s t E a g l e O v e r s e a s - R e t i r e m e n t # 8 Nonc S o l d 9 1 2 9 : 0 9 J A(part)

2 0 4 . Hotchkis & Wiley Large C iq~ Value - B Divid e n d L TR e t i re m e n t # 8


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FINANCIAL DISCLOSURE REPORTINamefPersn Reprt ing I

DaleofReportP a g e 1 6 o f 2 0 e r a . e r , G e n e E . 3 / 3 0 ; 2 0 1 0

V II. INVESTME NTS and TRUS TS .. ~ .......... I,,. t .. . . . . . lions (Includes those ,ffsp ....... d d e p e n a n t c h i l d r e n : s e e p p . 3 4 - 6 0 a f f !l i n g i n s t r u c t i o n s .)N O N E (No reportable income, as.~ets, or tracesactions.)

Descrip*ion otAs~ I n c o m e d u r i u g Gr~s value a t end T r a n s a c t i o n s d u r i n g r e , f li n g ~ r i ~( i n c l u d in g r ~ s t i L ~ s e t s ) repoaing pe r i~ o f r e p u ~ l i n g p e r i ~~ 1 ) (2 ) tl ) ( 2 ~ ( 1 ~ (2 ) ~ 3 ~P l a c e " ( X ) " a l i e r e a c l ~ a s s e t A m o u n t T~e (c ,g. , V a l u e V a l u e T y p e ( e .g . , D a t e ~ V a l u e G a i n I d c n t iW o fe x e m p ~ f r o m p r i o r d i s c lo s u r e ( ? ~e t 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 , n ~ / d tF ~ ~ C ~ e 2 C ~ e I buyeti~ller{ A - H ) o r i n t . ) ( J - P ) ( ~3 r e d e m p t i o n )

( Q -W ) ~ ~ a n s a c t i o n )2 0 5 . H o ~ c h k i s & W i l e y Mi d C a p V a l u e - A Divid e n d L TRetirement #82 06 . Ja n ~ F u n d - Re t i r e m e n t # 8 A Divid e n d L T S o l d 5/13/09 J A( p a n )2 0 7 . J a n u s Mid C a p V a l u e - R e t i r e me n t ~8 A Dividend K T S o l d 5/I 3/09 J A2 0 8 . J a n u s Mid C a p V a l u e - R e t i r e me n t ~ 8 None S o l d 9 1 2 9 / 0 9 J2 0 9 . Janus Oversems - Re t i rement #R A Divklend L Y S o l d 5 / I 3 / 0 9 J Afpa~}2 1 0 . J a n u s O v e r s e a s - R e t i r e m e n t ~ 8 None S o l d 9 1 2 9 / 0 9 J

2 1 L A ~ i o I a l e r n a t i o n a l E q u i t y - R e t i r e m e n t a 8 C Dividen~ K T2 1 2 . Mo r g a u S ta n l e y E me r g in g Ma r k e t s - A Divid e n d K T S o l d 9/29/09 J ARet i remet t l #8 ( p a r t )2 1 3 . Mo r g a n S ta n l e y l u t c ma t io n a l E q u i ty - B Divid e n d L TRetirement #8214. Royce Opportunity - Retirement #8 A Dividend K T Sold 9/29/{19 J A

{ paa)" ~ 1 5 . R o y c e V a l u e P l u s - R e t i r e me n t # g None K T S o l d 9/29/09 J A(patti2t6. Schwab Money Marke t - Re l i rcmenl #,q A Divid e n d K T2 1 7 . T h i r d A v e n u e I n t e r n a t i o n a l V a l u e - A Divid e n d L T S o l d 5/t3/09 J ARetirement #8 (part)2 1 8 . Third Avenue h tte rna t ioua l Value - None S o l d 9t29/09 J ARetirement #8 ( p a r t )2 1 9 . T u r n e r C o r e G r o w t h - R e t i r em e n t # 8 A D~ vidcnd K T~ _ 0 . T u r n e r Sm a l l C a p E q u i t y - R e ti r e m e n t # 8 None K T2 2 1 . Westcore Inte rnat ional Front ie r- Re t i remcm A Divid e n d K T S o l d 5/13/09 J A#8 ( p a r t )


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FINANCIAL D ISCLOSURE REPORT .~ .... f~o. ~ opor,i.~P a g e 1 7 o f 2 0 e r a t t e r, G e n e E . 0 3 / 3 0 , 2 0 1 0

VII. INVES TMENTS an d T R U S T S - ~, .......... t, , , ., ........ .,~o,., Hncludes thox~ of sp ....... d d e p e n d e n t c h i l d r , , ;N O N E (No reporlahle ir~cotne, assets, or tr~msactions.).......... A. " B . C. D .D e s c r i p t io n o f A k ~ c l s I n c o m e d u r i n g G r o s s v a ~ u c a ~ e n d F r a n s a c t i o n s d u r i n g r c p o ~ n f l p c r i~I { i s ~ lu ~ n g m ~ s t ~ s ~ ) r e p o r l mg ~ r i~ ~ o f r e p o z ~ i n g

tl ) t2 ) : ~t~ (~) 1 (2) ~3~ ~4} (5 )P l a c e " ( X ) " a R e r e a c h u s s e l A m o u n t T y p e ( c . g ,. V a l u e Value T y p e ~ e . g ., D a ~ Value G a i a I d e n t i t y o f~ m p t f l o r a p ri o r d ~ s c l o s u r C o d e I d i v . . r c n k C t ~ c 2 M e th o d b u y , s e l l , m n ~ d ~ ~ C ~ e 2 C t~ e 1 b ~ y c r / s c l l e r{A-II) or hll.) O - P ] (~e 3 r e d e , np 6 o~a ) O - P ) ( A - H ) ( i f p r w a ~ eQ - w ) ~ a n s a c f i o n }

~2 2 . W estco re In tem a ,io n a l Fro n tie r - R e lire m em No n e S o l d 9/29/09 ~ A~8 ( p a r 0~ 2 2 3 . W e s tc o r e Mid C a p V a l u e - R e t ir e mc n l # 8 A Divid e n d L T

2 2 4 . W c s t c o r c M I ~ O G r o w t h - Rc ~ ir c m c n l ~ 8 N n n c L T~ 2 2 5 ~ W i l l i a m B l a i r I n t e r n a t i o n a l G r o w t h - A Divid e n d L T S o l d 9/29/09 J A~2 6

Retirement #8 (paR)~ . W il l i a m B l a i r L a r g e C a p G r o w th - A Divid e n d L TRetirement #82 2 7 . W il l i a m B l a i r l n t l S ma l l Gr o w th - A Divid e n d K TRetircmeut #82 2 8 . B l a c k R o c k L o w D u r a t i o n - R e t i r e m e n t ~ 8 C Divid e n d M T B u y 4/30/09 L2 2 9 . B l a c k R o c k L o w D u r g ~ i o n - R e t i re m e n t ~ 8 No n e B u y 5/13/09 L( addl)

2 3 0 . B l a c k R~ k Lo w D u r a t i o n - Rc t i rc m c n l ~ 8 Nonc B u y 9/29/09 K~ ( a dd l )~ 2 3 1 . Melropolfl~ Wes~ To~a~ Re~um - C ~ w ~ d e n d M T B u y 7/30/09 M

Ret i rement ~ 82 3 2 . Me ~o p o l i t a n W e s t T o ta l R e l u m- None B u y 9 , 2 9 / 0 9 KRetirement #~ ( a dd l )

~ 2 3 3 . E qu i t a b le V a r i a b l e L i f e - A l li a n c e C o m m o n None L T B u y 1 . / 2 1 / 0 9S t ~ k a d d l )2 3 4 . E q u i t a b l e V a r i a b le L i f e - A l l i a n c e C o mm o n None B u y 4/17/09S t ~ k (addl!2 3 5 . E qu i t a b l e V a r i a b le L i f e - A l l i a n c e C o m m o ~ None B u y 7/I3/09S t ~ k ( a d d ! )2 3 6 . E q o i t a b lc ~ a r i a b le L i l h - A l li a n c e C o m mo n None B u y 10/16/09 JSt o c k ( a ddq)2 3 7 . E qu i t a b l e V a r i a b l e L i f e - A l l i a n c e None K T B u y t/2 1/09In terna t ional ( a dd l )2 3 ~ . E q u i t a b le V a r i a b l e L i~ e - A t l i a n c c None B u y 4/17/09 Jhdema*iooal (addl)

I . incom e G a i n C od e s : A -SI .g~ t or tcs~ B : . S ! , O I B - S 2 . 5 0 0 U =$2.501 - $5 .000 D =$5.001 - SI 5,fhqO E ~$15,00~ - $50,0Ofl


18/20

N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORTJ Pratter, Gene E.

03/30i20[0a g e 1 8 o f 2 0V I I . I N ~ S T M E N T S a n d T R U S T S -- ~ ........... ~ , ~ , t . . . . . . . . tions (Im-tudes those ,~p . . . . . . . . d dependem chffdren: seepp, 34-~0 ,~f!ling ~ s t r u c t i o n s . )

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

~scr ip tion of A~Is [ a c o m c d u ~ I Ig ( ~ r o ~ s v a l u e a t c a d T r a n s a c t i o n s { l u r i n g r e p o s i n g p c f i ~ i{ i n c l u d i n g t ~ s t ; ~ e t s ~ r e p o s i n g p e r i o d o f r e ~ r t i n ~ p e r i o d~t) (2) ~1) ~2) 1 ) (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 ~ m t : T y p e ( e . g , V a l u e V a l u e T y ~ (e . g . , D a t e ~ V a l u e G a i n I d e n t i t y o f x e m p ~ f r o m p r i o r d i s c lo s u r e C o d e I d i v . r e n t . C o d e 2 Meth~ b u y , s e l l , n m ~ & ~ [ C ~ x l e 2 C ~ e t b u y e r / s e l l e r~ A - 8 ] o r i m A ( J - P ) C o d e 3 r e d e m p t i o n ) , (J-P j ( A - H ) ( i f p r i v a t e( Q -W ) ~ t ~ n s a c t i o n )

2 3 9 . ~ u i t ~ l e V a r i a b l e L i f e - A l l ia n c e None B u y 7/13/09Interna t ional ( a dd l )2 40 . E qu i t a b l e V a r i a b l e L i f e - A l l i a n c e None B u y 1 0 i 1 6 1 0 9 JInte rnat ional (addl)2 4 t . C a r l y l e Re a l E s t a te LL P A Divid e n d J T2 4 2 . Wheele r Te rrace LTD A Divid e n d J T

2 4 3 . P N C B a n k A c c o u n t s A D i v i de n d J T2 4 4 , N a n t u c k et B a n k A c c o u n t A Divid e n d J T2 4 5 , W e sc o t tN o va L P N o n e K T D i s t r i bu t e d 9 / 3 0 / 0 9


19/20

F IN A NC IA L D I S C L O S U R E REPORTJ N a m e o f P e rs o n R e p o r t i n g

DateofReport

[P a g e 1 9 o f 2 0 Prat ter , ~-;e~e E. ~ 3 / 3 0 , 2 0 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. rt, oai~,,,m,,oya~,o,t.~


20/20

FINANCIAL DISCLOSURE REPORTPage 20 of 20I Pratter, Gene E.

03/30/20!0

IX. CERTIFICATION.1 certify that all information given above (including infnrmation pertaining to my spouse and minor or d ependent children, if any) isaccu rate, true, and complete to the best of my kuow ledge and belief, and that any information not reported ~v as withh eld bec ause it met applicable statutoryp r o v i s i o n s p e r m i t ti n g n o n - d i s c lo s u r e .I further certify th at earned income from outside employment and honoraria and the acceptance of gifts wh ich hav e been reported are incompliance with the provisions ofS U.S.C. app. 50! et. seq., 5 U.S.C. 7 353, and Jud icial Conference r egulation$~

N O T E : A N Y IN D IV I D U A L W H O K NO W I NG L Y A N D W I L FU L L Y F A L S I F IE S O R F A L L S T O F IL 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 N D C RI M I NA L S A N C T I O N S ( 5 U . S . C . a p p . 104)

FILING INSTRUCTIONSMail signed originx[ and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E. "Washington, D.C. 20544

gene e pratter financial disclosure report for 2009

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