lintfr fofrs isfrid iufrn istril of tu !ork...financial disclosure report name of person repoing...
TRANSCRIPT
--
Cogan,
'-- .
;llintfr fofrs isfrid <!Iourt CHAMBERS OF 'tJiufrrn istricl of tfu l!ork
BRIAN M. COGAN 225 Cfuihm•n }JLtur '!i•sf JUDGE rooklun, µ.io l ork 11201
June 23, 2010 0 ,.......,
= en l) ;os , - L_ mo::- =
..._CJ) 'Honorable Bobby R. Baldock, Chair 0r-- ..
N ::a . rnJudicial Conference of the United States ni .
co -
Co). <Committee on Financial Disclosure " ' . J> •1 rnOne Columbus Circle, N.E. -:90 0
Washington, D.C. 20544 IT) w Ul
Re: Calendar Y car 2009 Filing
Dear Judge Baldock:
This is in response to your letter of June 16, 2010, in which you request additional information relating to my 2009 annual disclosure report filed under the Ethics in Government Act. I address the points you raise as follows:
1. The Blackrock Provident Instl FDS Temp fund was purchased in 2009. Accordingly, line 184 on the 2009 report should have listed it as a "buy" in Column D(l), "10101109" in Column D(2), and "K" in Column D(3).
2. The common stock of Verizon Communications Inc. was sold in 2007. Accordingly, the 2008 report should have listed it on line 268 in Column A with a parenthetical "Y" next to the name.
Please deem this an amendment to my reports. I understand it is releasable to the public. I am enclosing three copies of this letter.
Thank you for your attention to this.
Sincerelv.
Brian M.
... ;pon
__________________
POSITION NAME OF ORGANIZATION/ENTITY
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RL·p11rt Rc·,111irt'd "Y the f.'1h1t.lo' -111111 FINANCIAL DfSCLOSURE REPORT in c_;,"1't1!111l·nt I< t ,,/ /f,178 R<v. fi:O /(} FOR CALENDAR YEAR 2009 (5 cs c. ''!'/'·Ji /Ii/.////
I. Pcr\on Hrpurtlns: tlaq nam..::. lir.i.t, 1'.lil!Jk 1111t1a!) 2. Courl or Oq:lml1a.1lon J. l>all' of H:c:porl
I)< 15 201(1
..i. l"itle i,\n1d1.: Ill J 111; .. · 1nd1 .. Jt.: .11.:li\..: 11r ......·•11or '!Jllh; magi:it .il 1ud)?..::'i 1nJ1(':J.t..:: full- ,,r p:Ht-11111..::)
U.S 01 11ict Judgt! - .\1.:t1Ye D Jrnin:.111011. D:11..::
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11 .11 ·21\0'1 b. D ..\m..::nJ1..·ll R
l JS Court house 225 Cad1rnn PlaLa bs1 llrnoklyn. NY 11201
H. On lhe h.111'\ls oflhe inform:.lfon L'Ontain1nt 6n rhi\ Hrpnl"f :md ;.any mvdificallons pcrlainlne lhurtn. ii h. in my uplnlon, in rompll-..m·e "Ith ;applicable b'r\S and rq,:ulalion..
H.nk,,ingOfflrt:r lhrt _ ______ ___
/Jf PORTA NT NOTES: The in<trurtiiiJJ• urcompunyini; this form must hr j(1/fo,..,,,J. Cumplerr ull rurl.<, ched,ing 1he NU:\·1:.· box for t•a4·h part H'lt re you lru1·e no rt!p,utuhl i11/ormu1ion. Sign vn /,HI pug,.
(. P()S )'ff ONS. (Reportin,.: im/i1·;Jual ,,,, r: 'u pp. 9-11 ofjilinx in. '''H"lifln )
[{] NONE (No repvrtahle positions.)
I.
2.
J.
4.
----- ---------
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11. f\ (;RE EM EN'rS. (Ht'porting imln·uluul 1mfv: \U rP- l.J-16 1•J jiling in\lfUttion\.)
NUNE (No nportul>it! ugrn'111<:11!.'.)
AND TERl'-.lS
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SOURCE D"PE INCOME
·---------------------------- ··-------- ·-----------------------
SOURCE AND
---------
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DATES LOCATION PURPOSE PAID QR PR0\1DED
Datt" of Rtporr Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 2of18 05115/2010Cogan, Brian 1\1.
III, N 0 N-lNVESTMENT JN COJ\1E, (Repvrting individoal and spouse; sec pp. I 7-U of fihng in<rruction.<.)
A. Filer's Non-Investment Income
[ZJ NONE (No reporta.ble 11011-investmrmt income.)
AND
2.
(yours, not spouse's)
4.
B. Spouse's Non ... Jnvestmcnt Income - I/you were married during an. · portion of the rcpnrrinc y ar, complete this section.
(Dollar umount not required e"tceptfor honoraria.)
D NONE (No reportable non-investment income.)
TYPE
I. 2009 Stroock & Stroock & Lavan LLP, Attorney -------. - ----- - - - ---
2. 2009 Lovells Ll.P, Attoney
3. ------- --
4.
JV. REIJ\<1Bl'RSEl\1ENTS - tran<pnnation. /odgin. .food. enrenainm,nt.
(/n.:._·ludes rhvsc tO sp,•use and d,pendent children. see pp 25·2 :' (U)i/i•;g 1m1r o<C:liunJ }
D NONE (No rqmrtahle reimfiursemems.)
SOURCE ITEMS
1. Federal Judicial Center August 11-12, 2009 Fort Wonh, Texas Death Pcnairy Workshop Transport::i.tion, meals, hotel
2. Federal Bar council February 14-21, 2009 Los Cabos, Mexico Winter Bar & Bench Hotel. round-trip charter, meals and Conference includes CLE functions Programs
----�----�
3. Cornell Law School April 4-5, 2009
4.
S.
Ithaca. "Jew York Moot Court Tournament Transportation. h<1lei and foo<l
SOURCE DESCRIPTION
---------
-----------------------
CREDITOR
4
DESCRIPTION
----- ---- ------ ------
VALUE CODE
[{] NONE (.\'o rcpurruhle gr/is.)
--- ---- -
- ---- ------- ---
.1.
4.
1>1-tf(' or fh·pun FINAi.\CIAL DISCLOSURE REPORT
Cogan. Brian M. Page 3 of 18
V. G f FTS. Ont luJt'\ 1/wv ro 'P""'" mu/ J,·renJnu <lu/J1en; H't' pp. !.Y-JI 11] jiling imrruaiom.)
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Vf. LIABJ LITJ ES. (lnduJtJ rhu't 1if.,puu um} tltpenJ,nt ,/,;JJrtn: .\t't' pp• .l.!-JJ of fiHnK ;m1ruaiun.v.)
NONE 1V11 reportable /iahilities) D
I. Chase Visa
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Page 4of18 05!151WIOCogan, llrl3n M.
V 11. I NV ESTiVI E NTS and TRUSTS - inn•me . .-u1ue. """'"";,,., 11n.inJe.1 '""" .. J '''""" un.i <1qienden1, t.;iJ,,n: ,,, PP· N-60 nf tiling ;"''"'"'"n ... J
0 NONE 1No n'pvrtablt' income. as1ets. or tran1·ac1io11s)
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lk.;..:rip1;on of As i.:ts lncom\! llunn <irn's \ alul.' ,It -:nd I r.rn ... H.:IH}ns during h.'IH111tnj.l ri-:r;nJ (in1.:hH.Jing 11u'I .JSSl.:h) r..:pv1rin!l r1..·rni<l 11r'rq"1r1111t_l .. , .. t
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JPl\lurgan Chase Uank account A lmcrc t M
2. Stroock & Stroock & Lavan LLP. Loan c Jn1t:re-s1 Ct"'ed
lkceivabtc
3. Housing Progrnms Limitt:O. Part1h.:rs A lnr. Oiv u partne.-,;hip
-t. Compark Owners Corp .. stock. (preferred) A DivrJcml LI
5. Urokcrngc Accounr #8
h. -JP :\!organ rR I NY Muni Money MKT A ()i,·id<nd M Fund
7. - Fran lin lempkl<>n funds NY lax Free A DiviJcnJ K T Income
H. Lirukt:rage Account t:.9
9. - JP Morgan TR I Prime Money :\larket None Closed
10. HrokcrJgc ,\ccounl #I 0
II - JPMorgan ·1 R I Primt: toncy 1kr FD t\ D1vitk11d T Open
12 - Rt.= ervc Fund Primary Pund rre;1 ury A [)iviJi:nd T Cla>.1
l.l - llard,1V> UK PLC II',\ I It INX LKD ,'\Jun lluy
14. Sold
15. - L111.") \\. Y lnr.:ma1ional \";_ilut: FunJ ,\ Dl\id..:nJ Sold I part)
11>. I ouch"one Samls Capit;il Sc·kcl Growth i\(1ne Sold hind CL Z
I 7 - Culkn High Dr> iJcnd h1ui1y Fund .\ Divitk·nd Buy
51 h·IN
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Page 5 of 18 Cogan.. Brian :\I.
\l 11. IN\/ESTI\ lENTS and TRUSTS - i11n111tt', •·fllur. ITU'1'Wrtiutr'.) (lnd11J« .. 1lim1t rif •Jrllll),. lJnd "'P t1J.-r11 d1i!Jn•n: lj't' rP· ' J-f/O 11//ilinx i11•IT11tli11rH.)·
NONE 1.Vo ,-,portah!e inc'um.:. l/S.1t•/s, 1Jr 11w1s,1e1in11s.1
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01.: ..:np!:1)n .lt .\.....;..:1" 111..:lli \.' during (irl1'" va!u..: al {111..:lud1n lru:-.t ..:b) r..:porti.1 Jh.'ri1."J 11f r1.·r11rtin r,..,;rilllJ
ii) II I ' ) I ) L'l l I I I l'la-.:..: "t \ }" .tf!..:r 1.'Jch .t:-isd .-\m,1un1 l")pC(..: . \"du..: V.1\tr...: r)p...: il· g. Dai.: \':ih1..: (1:1•11 llk·111il'j \lf
1.·., mr1 fr1Hn prior J1:;.d,> ..un: l lHJi: I ,(1\·. r ( ·" ..!.: .\kth1ld h11 ' ...... ;;, IH!ll dd '.-Y l •'lk l .,J,· I t-H1 ·r )L\·fl) I I-Pl t <•Jc 1 rnl1.:mp11,lnl iJ·Pl I\ 11 J (1fpm.:-.1-.·
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IX - Da,is New York \'rnrurc fund Inc. Cl A A Di"iJi:nd
l'I. - Harbor Small ( 'ap Value Fund A U1\iJend lluy lll.'07:11<)
-1,hares Tr Barclays 1-3 YrTreustE.ll'S\ A 01v1tlc111.J T Sold (pall)
12.'lli·U'J :\
21. -Ishares MSC! EAl'F. Index Fund ( ETFS) A D"idcnd T Buy 1.11:07.'()')
12. - hhan.:s Tni:d Russt.:I! tiJi.:;ip lndi:x hmd WITS)
.. \ 0:-.dcnJ T lluy f)l.07-0'1
- !shares Russdl 2000 C irn\\1h lndc-"' f·tmd ,\ [),. idcnd Buy 01 ·01.o<J 1UlS)
-1-;hart.:s Tru t Ban.: by. US t\µgr Bontl i-:ullll A D1viJmd Buy 01:117dl'I124
25. - Janus .\dvi:;er s r Forty Fund r-;onc: lluy OJ. ll7'0?
: 26. - PJMCO High Yiekl Fund Cl A A Dividend K T Lluy 01'07dl?
27. - rhumburg Intl \':iluc Fund A D1v1Jt:nd Buy 01 07.'()'I
i 28. - S l'DR Dow Junes R[IT I rorrncrl Sl'D R A Dividl'"nd Sor Tr DJ Wibhirc)
12'1.
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BrL•kaaJ!l'" ,.\1.L"uunl q 1.5
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Page 6 of 18
'\Jmt or Pt-rson ffrporting Ui.1rt or Report
Cogan, Brian M.
\'I I. I NVESTJ\ 1 E NTS and TR u STS - jnnmrt', i·ulul', ITiUf\lll'liom (/n. lwJ.-, tlrou• uf'f'IJIHe unJ tfep nJ.·nt ,bi!Jrtn; '"" J'P· J/.6/J ,,,Jifi,,g imtru, timn,)
D NONE (No reportahle i11co111e. assets. or tr1111.1·m·1io11>.)
B. ll. o..:,cript:on \1 f :\!- \.·rs 1:1...- 1.nl.' durin,!! (;··th'i \,1(U\.':lt\'!hl
(mtl1lllin lru')I :l-,-;..:!!-l r"·p.Hl1ng pl.'rni..I .if r.,;p1,r.mg r\.·r1nJ
t I J tl) ii) tll t'.'!) t11 (4• 151
J5. -I\ lli"1i<cBcrnstcin 11111 Value FunJ CL A f\w1c T SulJ lp;irt}
J12-i.·09
- Alpine lnternation<tl R,·al blJl< E4uity FunJ
,\ DiviJcnd
Pi:i""..: "t X )" ·10.:r ..:.L1.:h Js,i:r 1\n111u:i1 f) x: (.::; \',du..: \'.1/u._• I 'tp..: (..: .. n.11..:- \',1hu.· (1.1\tl l1knf11) l,f
"-''..:mr1 fr11111 pr11)r ,1i "·hht1r..: C111k I di•. r ·nt. C1 k 2 \1,:lho<l huy . .. .:II. 111111 ill > > t'od.: C nd.: I hu ..:r\dl1,,·r t •\-11) 1•rrnt) !J-P) (")Jc_\ r,·d..:1np!1l>n) tl-1'1 \.\-Iii 11f rrnarc
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lllly 121H 09 .l7. - Alger SmiJcap (irowlh FunJ Cl..\ t\ont: r
38. • A>tun Fund' l\.1011tag & Caldwell Growth FJ
A Dividend K Buy 12124•(19 K
- Baron ,\:> ct FU I Oppurtuni1y Fu11d 0j(1n K T
40. - Bl.Kkruck New York l\.luni fund Cl;\ A lnfl:n:::.I
141 - Culumhia fDS SlR l'R Small Cap Value II ro
,'\ D"iJ<nd
:!. - Columb<J Select Smoill Cap /'\one Sold 12124 09
H. -Causeway lntcrn 1tional Valu.: fund A Dividt:nd K
44. - Cullen High DiviJerid t;quity Fund i\ [)>, iJend K
Investor Class
45. Davis :--.!r:w York Vcniun.: Fund lnc.·CL A .-\ l)i;iJrn<l Sold 12/24i\JY K
· hcrgrcrn Fquity TR one K nuy f !24:t}I) K
47 -H:Jrdrnl! Loe\r1c.:r l"urnJs Inc Lmnging D1v1tl1.:nd Snld I !· 4 01) K \.hrkt.·ls l'tinfoliu
48. -1:-.han:::-, rru:-.l f\ .. 1SCI L.'\IT l11Ji::\ FunU ,, 01viJcnJ s,,1J 12 24 ()') K
-1-.hart:'\ 'I I{ Ru d .ll..t1J(.'Jp \'.dui: lrnlc\ l·f) Di\ tdi..:nt! Sold 12:'2.t.l)I} K
50. -hhare, ·rru;i Rb;d 11100 Value lnJ , FD A D1v1dt.:nd Sultl 12 2..t IN
51. -1-.11.m:s Tnhl J{t;..., l"I IOO•J(irtmth lnde\ Fl !\ DI\ 1<knJ SulJ I ' -1:09 K
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Page 7of18 05• 15•20 Io Cogan, L!ri•n 1\1.
VII. I NV ESTl\IENl'S and l"'R u STS - im 1une, 11.l/ut•, trumlH 1iom (/nduJe, '''"'"of \jWIOt' IJtrd Jt'pf'nJrnt I liildrt'n,· \t'•' l'P· .l I-fin oj fili11x ;,htr111 tiun".)
NONE (Xo reportable i11comc. assets. or 1ru11suctio11s ) D A. II l. n
O..:-."·r!pt1 1n Llf ;\.;..;.;ts 1111..rnni.: Jur1:1g (;flh" \Jiu.; JI ,,:nJ J r:111 .. h: t iu.u Lhu ing 1q'L•11111g p..:r oJ
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..,·:<1.1,;n1pt fn1m prior dh..:IL1 ur.: CuJ..: I JI\'. r•.:nt . ('uck• 2 h:1h,,J hu)', ... di, ll'fl1\ill)') ( .. J .. · 2 (\1d\,• I hu)'-.,:,..:11..:r {·\·II) 1H Ill!! il )') ("1><k 1 !.l·I') 1,\.ll) (II f:lrl\Ol!C
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52. -J,,,,liarcs lru l Ru :.-.d 2000 \'ah11.: lnd x fund
5J. - bharcs lrvst Russd 2000 Index FD
54. -ING Mutual FunJ lilobal Real Eswtc FunJ CL A
55. -Janus Inn l'D forty FJ CL S
5f> - Jennison \,,lid Cap tiro\\lh FJ Inc CL I\
! 57 - JP Clearing Corp
58. - Keeley Small Cap Value FD CL A
59. -JPMorgan TR I Intl f4u1ty Fl) CL A
I 6l). -JPMor;;an TR I Stra1egic lncm
i 61 -JPMorgan TR I Ta, free Money :\lk1 FJ
f12. - L :J1anJ LmergLng brlo..i...'b Port Open SHS
l•J -Le g f\1a un Partnc1s 1\g 1c:-i::.1\1.: 0ro\"th 1-D Inc Cl/\
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bl. -i\b!!hl·\1,s 1>;.lt...:iti..: Tiger f"unJ
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!\one
lli\.ide-nd
Oivi<l..:nd
DmJcnd
01v1dr..·11J
i\'(Hlt"
D1\·rdc.:nd
.':0111;:
1'\. 1 1r.t:"
Di\tJt'nJ
K
K
K
L
K
K
K
K
old
Sold
Sold
T lluy
lluy
Clo,cd
s,.rJ
Buy
r Open
Sold
B11y
lluy (.1JJ.IJ
T lluy
T lluy
lluy
12124•1)9
12i24/09
l2i24:0<J
1212·1.'IN
I :!i"2-J/O >
09:J0i09
12.. 2400
t 2,"::!4/09 I.
10 Ol ·f)') K
17.·24 119 K
1 -l·OiJ
1-:!: -l, (JI) K
I '2.J,0'1
12• .J;I)•) K
12·24 [)<)
><< nole in l'an V 111
'iC r.orc in ?:1rt \" 111
!l \1 1)11 1 '.!'II•! l '- ..-1:1 \'i p•)fl [) "" O!ll I i.1ll I fSc.".-l• lu111n U1 .mJl I .. '>:\11 (ICll '\1/1!)_111111 (, 'IOTl_(illl ')l.ftl)l)J)011 Ill ·\/!loo Ul/I - \i}n:IJ 1)tlCJ 11! \11irC" rh.111 ;; :-00.: 10
\".du ( 1•J.:--. J ':-- .l'ttl) 1"' k ...... ti. \I_( hq] . \<11_::011 I "-)'.\) l lC![ - ,)]lllo.IH'O \I "\/llOOIJI - '\_'-"U.11110
1\ ·'° l ,,lunuh( I J.llJ j)I' ·" )! l)_I HJI . \ •1111 I )41 I I ">'"U.11111 - SI . lOO.tJ4)0 Pl )i_11111J.1)1l1 - '-"".or•1111)11 r s.;, nrM•.1101 - .oon.101 p; ;,. .:Jon.t1o111. (,,'itJu• 1noo P.1 - '.k.1l"' ''°'-Hl \:.11_qoo_0oo
\ \'.,1lu \t('1ht.J(,.._k"\ IJ 't'P'JhJ1 J( l•hTtR ·-1 L1..11eP11l>I
1 .. ·c t .. 111mn ( ) l; n,i. .. \ .ilu(" \' I 111'1 -r
[·-!
. \
.. :riod
I
I
'.-<2
IJ
(I) l )
70.
71
72.
FINANCIAL DISCLOSURE REPORT
Page 8 of 18 Cogan, Urian \I.
\/ 11. INVESTI\·I ENTS and TRUSTS - im·ome, 1·alu . trumat'liom f/nd,,Jt"t th1Ht of'POUH" untl Jc>pt•nd nl ,-J,i/Jro1; \t'I' l'P· J-J-MJ of /ilinx ill\lfll<"liun.Y.)
NONF. (.Vo reportuhlc i11m111e. i/SSi'fs, or trwr.wl'fiom.)
iJ . (l D..: (nrn,)n nf .., .... ..._,,s lr:C1lm..: 'luring (ircss \aha.: Jt 1..·nd
(11h:l11d1:ic 1ru....t :ts'i..:tc;) r-..·pnrt1n p of r..:pt1rting p ... :riuJ ill 1:".) ii) I ) f1) I I 15)
V.1:u...: \'Jluc: l"}t1..:ll.' g. D.it..: \':.iluc ( iJIO M..:nr11y cif L"lllk 2 h.:1t1ud hu). -....<1. nun till)) ( •)J1.· l '•1d,: I
f'IJi..l' ··1x,.. atkr 1.';1..:h <ISSi!I l'>r< I< g. ;\1nm1nc
Cn�.I..: I ._··.;1..·mpl fr1.1m pnnr ,fi.;.dn ...urc di\ .. r..:nt. htl)l."T'!'t..;lt r
(A-H) ,1r 1nr) iJ-Pl L.'1,d.: 3 n·d..:mp1111nJ 11.r1 I ·\·I Ii l:fpn\.,llc 1Q-\\ I 1r:1n.;..1i..11on)
h9. -Oppcnh 1mcr lntemational Gro\\·lh T,.\ Di' iJend K
I Jnd-Cl. A
· f>ayckn lnvl Group High lncumc Fd T lluy 12:nv1 KI\ Di,iJend K
· Perk ins 1!d Cap Value T Jluy 12'24 ll'I Kf\'l1ne K
- Koy"·c Fund\. ;due Plus Fund S('rviccs Sold 12/2.i .. otJ?\'.one
7J. · RyJex Sl;f liJ Cap Value Fund
74. · l'homlnug 11111 Vah1e Fund CL I\
75 · ·1hurnburg11' VT TK Cor.: liru,.ih Fund
76. · Wdls brgo /\dvt lntem1dt tax.'aml-frce umJ
i 77.
n -Wasah.:h AU\oi ur..., Funds Inc Smalt CJp
A
A
NPnc
Dividend K
lluy I :!: -i (}IJ
None Sold 1212-t"U9 K
Oivi,knd L lluy
Huy tadd'I)
Buy
3'24.1)9
12. 24<09
I 2:'24:(19
K
t'-Olh.' T
79 llruKt:ragt: SIJlt:rncnl ;t Ii
I ") Ji':\11Hg;Ht IR I Jax Fn:L· r..tonl"y Mkl hmd A Dividend K T llpe11 11)."l.l)I) K
I 'I - ·\lr1nr ln1em.Jt1n11al Real F'\falc l'.quir-y !\ lliv1dcnJ T 1-imJ-<.L
.. \ l<cr SmiJc:ip Cro\\lh Fund CL.'\ t\;ont: T l!uy 12.'2-Ul'>
X_l -:\ lli.11K lkrn.... 1t:in /ml V .!11..: Fund CL A l\nne Suld .1i2(Hl9
r -l -·\stvn Fund:. .i\lun!Jg & CalJ\\.dl ( irowth
L11::drt>ck ;\ " York Mum h111d CL:\ H
t\\lll
J1trl:lt:SC
K
L T
lluy K
I hl»r11t' (,Jin ( "'k 1'\<0C" ( t1!111nn Ill .-n,111-H
2 \ dut( olok).
\ \l.t J1).,r In." \"iJ.1>111. swn,1100
J )l Ot)IJ ,.r \.:-..). .· \ n 001 - \ 1 1 01lfl
Pl ', .1n11l llfll . ""rl.(U)4l.!llJIJ
t) \rprlh.ll t: ·lh.. •k \.1li1e
11 '51 tHJI };: 'IJll c =-)11111.1)1)1 - o;;1.•u)l)l)ll K .. 1. . q . )in.11110
I) '):'iii 1_1w 1I - ) I.• 11 1 tl1MJ
R ("., 11 Ro:.11 I -..t.lt Onh) \! f)ihi:t
(. )2.5Ul \ .11n11 HI "-)1.l·OllJ)ltJ - \\ 01)!/ ;qq
l. "i.)U lllll - -,11111.'llll) p I ''ii .lltJl.PO) . \. 1)1._.) 1)1)(1
I'.& \lpr(' tbn s o.0(10.(i!tt)
I> ..;.'i_pof - \,l(,_1>1 ) 112 \l,•r th.m ';,.'-.JHlll.OU(l
\! )IOll.IMll · S ll.tlf )
p ,,_l\l)!l.:�111 - ".- 5.111111 tltlt}
I
i
1
11\l l
l
.. :r·
I ) l p.:(q ..
Oart of Ht>port 'lam or rcr-..on Rt>porrlng FINANCIAL DISCLOSURE REPORT Page 9of 18 CoJ.:an. Hrhln l\1. 05.'IS 010
\! 11. I NV ES'l'I\'1 ENTS and l'R u S'fS - in .. :nm,, 1•alru, lrtJllUlt•tiun)· (/nduJn (/Wli, of\pOI# unJ Jt<pt•mh•nt I b;/Jrtn: \U Pf'· JI-tin 11) Jiling imtru, tiun ..... )
D NONE (No rcportahle income. ilSScts. or tra11sactio11s.)
B l () ()..;-;i.:nplilin uf -''""':Is lnLnllh: dur111g
I 1n1.:"h1J1n fnt:-.1 a....;1.·!s) r1.·r()r11ng p1.·ri1-J
Ill 1:!1 11) I Ii ,:, IJ) , , 15) PLh.·c "f X)'" .ifll:r -;l..;h ... ,..:I ·\mount I }PL' 11.· g. V.llu..: \'Jiu..: 1>:111! \'Jiu L.nn IJ..:nlLt)' of
(',,.,:111pl from pril)r d!:'.o..lo,ur..: l i tk I d1 . ri..:111. Cod..: 2 M..:1huJ buy . ... .;JI. 111m\tJ:;.) t 'iidi.: 1 ('11J1.· I hu, ....· lkr 1.\-111 !l-Pi (\1d..: J r..:-d..:mp!ion) 1J Pl 1-\-111 t1f pr!\;!ti.:
IQ-Wl 1rani..;11..: 111.m)
Xb_
7-
X8_
8\1.
•JO_
•)J_
1.)2.
! •)J_
i 94
i
·1;_ ')()_
! ')7.
-Ilaron :\s«t Fd I Opponuni1y id
- Columbia t· LJS ER TR Small C1p Value II l'lJ CLA
-Col"mbia Sclccr Small Cap (fnnnerly bcclsior hi Small Cap)
-Cu llen High lli>idcnd E4uity Fund
-C rnsi.:way l11ti.:rn.H1unal V;.1luc Fund l11n·s1or Cbss
-Da is e'..\.' Yurk Vc:nturc: FunJ lnc.-CL /\
- E\.t:rgr t:n E4uity fR lr.trinsi...: Value f"umJ
-H�.m1ing Lu..:vncr FunJ-.. Im..:. Fmc-rging Mark t l'onfoliu
-lslur<s Trust MSCI EAFE lndn 1-'und
-lshJres TR Ru"cll ,VlidCap V;ilue Index ID
- ls!JJrc Tnh! Ru»cll IOIHl Value lnJc.\ fl)
-lsh:ircs Tru:>t Ru:-.s.r:ll IUIM_l (;ro"th lndn 1-J)
VIII!
A Uiv1Jt:ruJ
Nunc:
_I\ Div1dooJ
_I\ Divid nd
_I\ D1v1deod
None
A Dividend
.-\ Di,iJenJ
,\ 01vi.. knd
A D1v1d nJ
" Dividend
K
K
K
K
I ·ix hli.ire.-., rn.:-.1 Ru:-. ... L·ll 2000 lnJ..:x 'd :\ Dividend
IJ9. -li'.G t\.lu!u.11 r ·u11J'> (jlubJI Rc.:tl l· 1.11c
100 -JP' \torgJn Ch.:iJring C1..>rp
-JP1\11>rgan IR I ln1I h;"''Y Hl CL,\
102_ -JP\lorgan IR I S1ra1cgic lncm Orp1y>
.\
_\
.\
01vhknJ
une
DJ\iJcnJ K
DI\ 11k·nJ L
T Buy
T
So!J
r
T
Sold
T nuy
Sold
Sold
Sol.I
S1>ld
Sold
So!d
Snld
l'lo<ed
lluy
12.'24;09 K
12124:0'!
12/24109
12124,()9 K
12/24'0'>
l:?i.:!4,'01)
12' 4-M
12124,0'l
12i! 09
I ::!12411)1)
12.·2 ,1{)')
llJ 01.'ll'J
L
\ SI 0•111 .·r I,· " fl 'I 1'!11 'i ;:I'() I \ . 'tll - ') .111111 D S .'1411 - Sl _1i1>11 \'OJ it) I ') 1 I I 111111 1.1 \l1t0 ,1J4)1 . \I . .Jtlll.Ptll,) Ill ·)J OfJOJiill - \5.oOO.ltl.'U 11? "\l,•ri� 1lu11 ) ;; t Ji1.::t111
_' \.1lu.:t .. ,1.-.. J '11 .llHO ,.f 1,:-. \l ( J! ) 11.111;11 l. . ;;.:;n 001 - .;,rno ooo I .:\I00.1Xll - \::' !li1110 1'h'<(,1iuinth l I .1nJ LJlJ \, '.' V>.11()1 .;1)(1.(11)() t) . ')'1ot1 no1 . \I J>t J.IJ110 Pl ,1 un1:.no1- .1}1J11noc P? ')'i !iOP,uOI - S.:'. 111:11 IMiO
Pl '?' 1,1"4) !lf!I . )'P.ll1Ml_!llM) P \l"r'· 1t...n 'i50,11tto,ooo ' \ .1111(' \f 1h,,,1 ( ti..!C'l. 1) \rprlhJ/ R l ·• 11.R:.1J [:..1 .. 1i:-t>nlyJ o; __,.,.""'".. ,tlh."111
tO.., ·<lulumnl ' I -ll,111k \ .1111(' V I lil:t'l \\ r"1ni.11,-,.J
!
rn . .: 1 .
(1}
l>arc or Jhport Nllme or Pl'r on Reporting FINANCIAL DISCLOSURE REPORT
C1igan, Hrian 1\1. Page 10of18
\''I I. IN\/ESTl\,I E TS and TRUSTS - im·11m . l·a11te. 1ruma11iom r1nd11Je\ ,,,,,\i- IJI\rou, un.i uepem1en1 d1itJun: \a'•· rr· .r.t- 611111Jilinx im1r11c.rivns.J
NONE (No repurtahle i11cu111e, u1·set.1. or t1w1wC1io11s.)[] ,\ IJ ll
D ... · rip1ion of A-.-...:1-; Income during (jrn:-.::.. \ i.ltu..: :J! ..:nJ
1i11duding tru... 1 a si.::ts) n.:P'-1rnn p..:rll>d 111' r... ·p1'r::11g r-.·nuJ
I I ti! !?} tll I )(I) 151 J,k11111yuf\'.1!111." \'aluL' Dal\! \'alu..: ( ;.un Pla..:c "I.\ r afrl.'.'r ..:ach ii.SSi:I Amuunt
Chk I d1-.. . r.:-nt • Cu1k 2 \h·tl11.J huy. ,,·II mmd1.L)) ( ,1J ...• ! f ,id...- I huy..:r·, .. ·lkr ..:'..:rnpt lf\)Jll priur Ji t lv::.un: tA-11) or in! 1 1.!-PJ ( .. 11!..: 1 r1.·1f..:rnri11in) il·PI f\·11) l1fprtvJIC'
t0·W} 1r:m d11tn)
103. -Jami; lnvt fd forr1 hi CbS> S None K T lluy I 'H!09 Sl.'l' nnlc in Part VIII
104. -knnison Nat Res hi Inc None lluy 12'2-Ul9
105. -knnison Mid Cap Gruwlh Fd Inc CL A A Dividend K T S11"1 I :!124:01J
ip.Jrl)
llJ6. -Keel")' Small Cap Value I'd t\one Sold 12124/0'J
107. ·LanrJ [:merging :-.brk<ts Purl Open SHS A Dividend K
10 . -Ll.'gg Ma on P:irtn(:rs Aggressive Gro\\.·th Nont: Sc> Id 12t24i0'J K fD Inc. CL A
109. - Ll!gg fason \Vcstcm J\sser Managed Mun Fund
l:J 01\'iJcnd L llt1y -1'20•09 :-.cl.' nott: 111 Part VIII
110.
Ill. - lilnning and Napier Fund \Vor!d Num: T
l!uy (aJJ'I)
Buy
l:!t:!-1 Ul)
12124/{)9
K
Oppurfunnic'li Ser CL:\
112. - i\.l:ttrhcws P t\'. ific Tiger Fund N rnt: T lluy 12'HrO'l
I 13.
114.
-Oppenheimer fntem.11ion:il Growrh Fun<l-CL A
-Opp<nhrnncr Value FD CL,\
I 15 .Perkin-. Mid C:1p VJlue Fund
I 16. -P yJL"n lrwt Gr11up High ln ume F<l
I 17 -R y<lc' S<;t l\lal Lip \',d e rum!
11 -Royt: hllld \':1lue Plus Fund S'-·rvic CL
119 -I twmburg 11111 V:due Fund CL A
,\ Di\ id.:nd K
,\ Oi\iJcnd K T
Noni! K l
,\ D1\rdL"nJ K
!\nm:
'.\i1'Tle
,\ f)j, iJcnJ T
lluy
l\11y
Uuy
lluy
Slllrl
I /24.ll'l
12' 7-l. 09 I<
I :2-l,()lJ K
I:!. 2-1 <JlJ
12,-1-1 /}1)
\ ·St.1:1111.1,1, .. .,. 11 .. q 1101 ' 'PO l · \? flI .1r11> [) '' IJI) I 'I<, llt l t\. ... -,.· l .. lo1111n. UI .111.J Jq1 r ::::. t1.t11n ') 11"11100 , , .;,1· 1.:11J1 . \I 11'•11.xin Ii I '.l.111UI 111!1 - .... IH)ll iNIO
\ 1lur C ,.,It'); 1 _,15.1•110 Pl It" I\ \i '\ 1101 , 11 (ll:O I , 1) •1111 • 'll l 11t10 \I -) 1 1l.POl '\ 11r1c.11I
1<.; ... "'('( .1!-J11111 t.. I u1J 011 -'5:511.f)Of • '\5111!.t)(I() (I '"llll.tllll . )I ,fY. 11.'lllt) Pl - 1,1ll111.lllJI ;,o;._1111o1.::.110 I': ":.' tl!H).1)1H ·' )'.>IHI 000 r• = = 111111.not. :'n.l!on llM'J I' \J,ir.- rh.Ln '). tl.O(Jtl_i100
l VJ,Ut \f.·11\.\,ll 1'</I"'); •) "rr•J•-wl l· .. ,t1R, .. I f.,r.1?.: l.lnl) l l'.'>...11'. l L'1:1111n l ) C ""'""' \Jiu v ·c>1h-r
h.m ..
---- ------------�---' -- · ---·
!
I
(',)di:.:!
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lhlt' of Report .'iame of Pusan Reportin F'INA:'ICIAL DISCLOSURE REPORT Page 11 of 18 05 15 cO I 0 Co an. llri:in .\I.
\' 11. I N \l E STl\ IE N 1 ..s and TR us TS - inrnm,, \•lJlu . trurf\(J( lion ( /nd11J,, tlld.\ of \poll\t' ""J Jt!pc'lrdt•nt d1i/Jrrn; \Upp . .t.J .fiO 11/ Jilin:I( ltl\ff'U( tiot·n.)
0 NONE (.Vo n.:pvrtah/e incomt>. assets. or tra/l.\'lllfions.)
A II I> lk lription of .-\-.'."llS ln..:\)mc dur.ng l.it1"-s ';1\uc Jt end
(induding 1ru:i.1 a:-.:-:\!:S) ff..'ptlrtin p..:rioJ ,,f 11..'p1)ning p..:noJ
ii) \II 4)1 ii) 1l) 1•1 I ! Pl:u;\! "tX )'" Jt'.cr t.::11:h :i-.-...:1 ,\moun( r> p..: k i;. Valui..: V:\lu ... · T>rc i..: g. f).•1..: \'ilui..: (i.11n IJ...·111;1y llf
CuJi.;: I d1\·, r.::nt.·".:1np! fru1n prior J1 ..:klslJr:: 1..:thiMI huy . .;.;II. nun d,t )' l .)lk 2 f"n.lc I t'iu}._.r·o;.clkr iA·tl) or1n1} llP) CoJ..: 3 r..:J..:rnpt111n) (J-P) I \-111 11r Pl I\ a11..
if)-W) tr,Hl'-Jl I.tin)
I W.
121.
l'n 123.
·Th1irnburg Jnvt TR Cure Gru--·th Fuml CL A
-Wells Fargo Advtg Jnrcmuh Ta,/,\1111 ·
free fund
-\\!asa1ch Advisor.; Funds Inc Small Cap
IJ
None
Dividend
l'une
L T
T
Sold
lluy
Buy (adJ'I)
ll11y
12.24,0•1
03.-20 ll'I
12.•2.i·ll'J
I !124:U<I
K
K
124. -Goldman Sachs Tollkccp<r fund
125. IR/\111 E lnLD1v. Pl
126. - llbdruck Provi<lcn1 lnstl FDS Tcrnpfunu Open IO!J.09 K
;
I) I - !shares Tni>l Russell IOOO Value lndc' Fd SolJ 12 24 ii') (!:-.TFS)
-l2 -hh.in·s Jm'il Rth'il·ll IUOO(ircrn.lh lnJc-x St> Id I ·:--+ oiJ l·d IE IFSl
I 3J. l.... --. fnisr Hu-.;..;..: II ODO Ind..:'!: f· D Sold 12. 4·1)1>
J 1-t - Rc..; n. Fund Pnmary Fund TrL"-;ury ("l;J:..;;;
I .\5. ·/\ lgn SmiJcap (;nw.1h Fund CL t\ Buy 12. -l tJt) K
1 I Jh -:\s10n hrnds Monta.i; & CalJwc.:Jl CinJ\\:lh Buy 12 :'4-01) K FDCL
I .;, I ! 1 ; 5 ; -\c 1f J (_' ' . 1) 1 . S5.r Hl [} \. .!Jl'.ll \I .•11-i)1Sc:<-{ nlu11111 01 111.! [1-.q f \'"-11_11111. )lr)ll,IKU 'I 11111.111· i . 'I 11'/ll Ot)tl HI \;.m.111.1i.1!. ")<; ()OH.11110 H \l.iri:- 1h-1n .;::on. l!IO
\'.1l11t ( ... i..-.. J · I 1 "111 ,,, •t> .. -. i.._ '�d \t•1)f - ') O.IMll) I. 'i. H.1101 - \ l1.l0.0tl1) 'I lfM).1101 >nr11•11 1Se<"(\.J11rnn, (I ,r,J D.1) 'J ,;; 5!1.1.of)I - )-\On.1'1111) l)-,;11f1.111l:. '>t.110111110 Pl S1,t100.on1 ',).ljj}!:.111 1 I' ..:.1uo1io1-' '11no1•00
P.\ -S ),IJllO ()01 - ')-\0.tJIM'.l.lll(l I' I 'l...:r-= 1h-1n "i 1)_qt10.•Jll()
\'.1lue \ttir1 .. .I (,tj 1) - \;ipn1... -1I H "'( i.hf Ofr.11 i .1 ... 10: On'y) 1'i.c-=l d11nrnC ) L. rt. 1l \."..1h1e \' t 11tia
127. -lsharcs Trnsl lbrcl"ys J-1 YI< l"rca Buy ()_1•20.09
12/!. Sol<l 12·2-t109 L II tpm)
129. -I.shares fm r Barcby'> t;S Aggr Sold 12/24 ()<) M [) (part)
130. -!shares frnsr !shares UJTclays Trca:; Buy 12124-ll'-l L Jntfario1t
A c
I i
i
i
I ��--��������-
() .. q
M .. :1hod .. :
K
0
1Q·\\')
lime of Ptn.on Ht"porling FINANCIAL DISCLOSURE REPORT Page 12of18 Coi:an, Brian 1\1,
NONE (Nv rr!portahle income. as.H'ts. or tramuctions.)
U. D
lk..1.:npT11m 1d' A .......l:IS l1H.nrn.: Ju1ing Grns!lo \'aill..: .11..:nJ
(1111.:ludin lru:-1 .1-.s..:1s) r\'f)<.\rllllg r..:r11id of rcpor!:n f''l\.'rJn1J
oil ) (IJ ( ) 1.11 (J) !5)
Pl.1..:c "1 :\.)" .Jhcr ..: ..:h .1..:;sd .-\mount l'yp...• t..: g. \.",illl.: \',du.: I ;p1.· f1.· g .• l)Jh.' \',il11\' li.1in hkn111)· 11f
L:'\..:mpt from prior d: .... :Ju...ur..: l c.. k I dl" . r..,:nl. ( (1<..\.: huy, ..di. mm'Jd )) ( '.iJ ll\tk I ttu 1.·r":'.dkr
1J-l'J c. k J r..·d...:mpt11)!\} (l·l'J i •\-111 1,f pri\,1tc
11Jn 1ct:on)
U7. -A l l imcdkmst< in ln!I Value fun.I Cl. !\ Sold 12:24.m
UM. -llaron i\S>cl Fd loppornmity hind Buy 12124.0CJ
139. -Causc:way lnt m<.1tio11al Va!u\! FunJ Buy 12,2410!)
lnveslor Class 140_ -Cullen High lk•iJcml Lquity Fund Buy I 2·2 ·0Y K
141. -C<Jlumbia FDS Sl:K. TR Small Ctp Value II FJ CL
142. -Columb ia Sele<:! Small CtpCL Z Sold 12'24.0')
14 \. -L>av1s i\1.:w York \'t:nrurc Fund Sold 12:24•()9 K
144. - her green Equity TR Buy 12124;()'}
145. -Harding L vner fund:.; In'-.'. Emerging Sold 12!"'.!..+/0tJ KMarker run fl•I io
146. -ING Mutual runJs Glot>al Real bt:itc Fun< Cl. A
I 147_ -Jrnus ltnl FJ 1:orty Fd lhs; S s1..·1.: not.: in PJrt V Ill
lluy K
l!uy
150. -Jl',\.l<1rgan rR I Intl f·:4u11y J·IJ CL A
151. -Keeley Snul) C:tp V,tluc hi Cl.:\ Sol<l
152. -L:1nrJ Lmcrgtng brkcts l'nrt Open SflS Buy
I 5J. -l.l..'gg .\b:-.011 Pai tnas .\ggr v..:1ve (irm.1,1hFil Inc. CL.-\
Sold
.\ "'il.11111) vr !,,,, n 'it •I')] ' )••I I '\:,)Ill );),'100 D \\1:111. -..r 5 ono
1S,·< (. .,111rnn., Ill u1J F -') OJUll )l1ll•,llll(J li -..11101wn . )1.0:10111111 I/ i ')I 01•) IH)! · ''·IHW) Pfll I I \l,11t' 1h.1n )' lllH) 1,o1'o!J \' 1luc C ...Ir, J ) I tl\P'I),,, k .. -. to.. '-I '.':01 . v•n.•iol(J [ :q.1a)f . ') }CMIJUX) \ ) I t1P ill)! '\: "1 •.f1fll)
1'.'.<t I ,1h1111r.:. (.I .11\J ()1) '4 \ 5tJ t JI . \ 1'111101 ti - :, 111111 \I 111111111.111 PI 'I .tlt!!l.'1111 '\),!lllfJ X I P: \ 11011.11or _ :".1UHJ.1.otJ t'J . \! ti• ,,_,M)I S"ll.lUk•.1.1)1) I' \lo.re 11...Ln .:. n 111.otJ ti•XI
I.\ 1h1< \!.;tr-.. ..1 <'•.Je-\. •)- \r;inl',al R - ('..,11 R ,• 1I f .r ICC l>nl) I r c...h \l.u t-1 ,.._, { 1•lu111n C } I llo-·k \Jluc \t 0f10
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FINANCIAL DISCLOSURE REPORT
Page 13of18
':imt• of Pl'non Rt'portlng
Cug•n, Brian M.
vI I. INV ESTl\ 1 ENTS and TR u STS - ;n,·ume. n1/u . lr1.1mul"ti1m\ (/nd11Jt'\ thmt' uf \JUJU\ urrJ J p1•nJent' hi/Jrrn; \t't' l'I'· JJ.(l() of /iii"!( im/TU< lilln\.)
D NONE (No r<.'portahl<' income. assets, or trnnsacrions.)
A II c [) D..: \'.rtptilm 1lf ,\ s.:1s
1i1h.'luJing. tru t as;;.:1:.) lnnimc Juring
r..:pon111g r1.:r1ml
( irn..,s \ odu..: :.11 .:nd
of r..:port1ng p..:rioJ
1s-i.
155.
156.
157.
158.
159.
160.
161.
162.
163.
IM.
I n5.
inn
I n7.
' I l>H.
: l fi9
I
170.
PlJ.:..: ' ' ( X )" afti:r ..:Jch J.S:-i.:t ,·h:111pt frnrn pri11r d1s..:l11sur.:
-Oppenheimer Value Fd Cl A
-Opp nh 1n1cr inl ma1io11al Growlh fund-Cl A
-Oppenheimer lnt<mat1onal llund Fund-Cl A
-Pimcu Total R<iurn Fund-CL ,\
-l'imrn High Yield Fund-CL A
-Perkin> Mid Cap \'aluc
-Maiming and Nap ier Fund Wold Opponuni1ies
-Manhews Pa 1tii.: figer fLmti 01\.i<.kn<l Reinvested
-RO)l"C f-"11nd Value Plus Fund Service CL
-R idgeworth FDS ln1crmcd1a1e IJD FD CL I
-Rydex SGI r>-Iid Cap Value Fund CL A
-Thornburg ln1I V:iluc: Fund
-Touch .... !onc: S:mJs Capi1J! Sl..'lcL"l <iro\-.lh Fund CL l
IR1\ •2
-Alger Smidc;ip Gruw1h Fund CL A
-:\ :-.lun FunJs \.lo11tJg & Cald\\L'll Grl)\qh IJ) CL
t'><"e l1•l111il1hUI .inJ l I
\ .-luc l"llJ()
I ):-11 0111 . ) 1n1 1 tJt I J 'i I JH 1 11r !..-:...-.
(I) (Cl :\m,,)unt f}p..:(r...'g. Clld..: I d1\. . r1.:nt. (·\-II)
E Int Div
[I . ' I nnI ': ! l(J
ii) \',du..:
(._ ndi.:
1J.r>
Pl
(, ·)l1>11111H - \I 0111 1 1 10
"" 15.1101 ''ti llrll) I ) C" l 11l11mn:-. l I .1nJ ll I l
'\".Jluc:.\k1h.,.1r·... ks 1"i,"(" l"ulu111n l '.!I
N ·\::'.50.•ttll. \''00,ll1)U pl -") ' Potl.1 11 )<0.111\IJt•nll l)-.\ppr.J1,...1I
II '>'-llll t)IJI . )l !JllfJ.rnlll
R < '"' tR,·...11 l"-1.11e Orily)
\" 01h,·rL" ()p,11.-. \'...1111
(2) (I) Villm: T)p<(<g ..
M..:thod t'tuy, ::.di. Cod..: J n.:J..:mp1ion) IQ-W)
f311y
nuy
Buy
Buy (aJd'l)
lluy
Buy
f3uy
Suld
Buy
lluy
lluy
Sold
T
lluy
Buy
< -<;] ">nl c;.:,.ooo HI -S1.rn.1n•}lll -S .ou1.ooo L ) !l.1!1JI. )li!OJIOO I'\ ·Sl.Olnl.11111 ·'!>S.!1011.ll!J() r..i ·.\!..re 1h.J11 )50.ooo.nno
(1) (.l) 1 1 Dar..: \'i\lu..: C ;,un
mm.'Jdi)y Cod..; Cl11k I (JI') (,\ I I)
1212.+/09 J
12/24/09 M
1.16/09 K
12124109 L
12124109 K
12124109 K
12/24/09 J
12/24/09 J
12/2-f,'1)9 M
12/24:09 K
12124.'09 J
03'20/09 J
12/2.J,1)9 K
12iN·09 K
0 ".-'OOl-Sl'\1100
H · \l\•h! th.Jn '.. .IHIO t .IO \I "\IHH.IJt.ll. '.'l!"-001 1 P:! ·· s uon.1>c11 • s:::i.1•rn).l)oo
T C.l-.h \l.ukct
( ) IJ,,:nl!ly of
hti)l.'r s.. :11..:r j 1f prl\J!C
tr;ins.1i..:111ir1)
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[)Git nf Rrporl .'\11me of Prr\on H: p-0rtlng FINANCIAL DISCLOSURE REPORT
Page 14of18 05115'1010Cogan, Bri•n :'.I.
D NONE (,Vo rC'purrah!e income. a.1·si:r. . '"" transacriom.)
,\ fl. c.
O..:.;;,rip1i ..•n of ;\ "..:ts 111..:nmi.: during Ciw:-.' \;1lu..: al 1:nJ
tim.:ltuhng 1rus1 :i s1.·ts) n.:porting p..:rwJ ,if r-...·pnrling p1.·ri11J
11) l I ill I ) (ll m tl) 15)
P?:ti.:I.' "( xr ali..:r (:lt.:h a S('I ,\rnount fyrc t< g .. V.1!111.'.' \',d11t: T)p< (<.g .. [);ill! \.due ( i.1in IJ1.·n111y of
,.·'4.;mpt fr1.)m pr10r ll1,do ur..: CoJi.: I div, n.:nt, Codi.: 2 l..:1hnd tiuy, -;di, !])Ill 'JJ' y C11lk C1.1J ... • I hu>"..:r,.:'1.:llc!" 1A·fl) or int.) il·I') C11,h: J iJ·PI (.\·Ill (If pr:\;1.I..:
11)-W) trn.1h.1criun)
Sold I 2'24:1)•)
17-:... -lsh m:s Trust bhan.:s !Jardays ·1 rcas Uuy 12/24:0'! L lntla.tion Protccic:d
173 s,,1d 12/24·0'1 I) I part)
17.J. - ls h:ircs Trust Barclays 1-3 YR Buy OJ124.'0'J Trca(Form1,:rly bharts Tr 1-.')
175. Sold 12124109 L fl (p;u·t)
176. -hhares Tmsl Oarclays US Aggrl Frnmcrly Uuy OJ!24'0'J lshm:s Tr Lehman)
177. So!J 12124,'0'I N D (part)
178. ·I shares I rust Ru>Scll WOO Value lndc< FD Sold I :?/24109 1ElfS)
179. - I shares Tmsi Russell I 000 Growth lnde• Snld 12i24/0l) fc.J IF.TFS)
180. -lslmcs Trusl Rtbsdl 20()() lmlx Fd Sold 12i24;1J<)
181 -Reserve Fund Primary Fun<l Treosury Class
182 . .,\Jliancdkm,1cin lnll Value hrnd CL 1\ Sold
lluy
l 5 -Cau:-C\\"J}' lnrc:rnJI \".tlut: Fund lnH::->!1.Jr Cb:>s
I X6 ·l'ulkn High Div1Jcnd L4ui1y Fund lJuy
187. ·ColumhiJ FDS lcR rn S 1mll Cap Value II FD CL:\
\ 'i.Jt,tJll:·r!.·,.., 11 \ r .114.H \? 1i11 t !.'l/11 · \\ l lf) I> "l_!lfl I • ) I . l!tll
t "'i·..- ( ,,[umn::. (I I 111J lH I F -, 11,11111 '"\:1ic1100 (, - 1011.11111. q t '.illlll II i 'I • 10•l.!N)I • ) 111." 1.• IOll 11 \h•re 1h m .;; _foi)IJ.fll I -. \'.1l11rl•klr.., J SI JU>41 oir !,·-..::. i..: -sr 5 01.11 . s:.u.1111o1 I. )i1).Llo:JI - SloO.•Jt>') \I \ 1110.lllJI · \ 1}.1:1111
1\l-,: l 1111111111'> l I 1nJ l>.\1 · " '": o.c1n1. >uonoo I I ') r>ll.111!1 • )I .01Ml POO Pl )1.1.\011.HIJI . "S'.t·IX:.(llll) P:::' .:; i no.11HI. \? .·Jllll •}j J Pl 'S? .1)(>41JIOI - \ 11.'10').llClfl P-i . \l,·1e 1nJn -ssn.noOJ)0•1
t \"Jl;h· \.t.:11°1o>o.I\ ,..J,-s l) -.\i'PfJ1. JI R c .. 11Ri•.tl F ... wr Ont)') s .. -\ ..._·...... 111(0111
11::i ...-e (.,l11111n ( · lJ ·(J,,._,\i \ .tluc \" •( h'"1C'r
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1);1 rt of Ht" po rl .'i11me of Ptr)on Htpurtlng FINANCIAL DISCLOSURE REPORT
Page 15 of 18 o .15: 01 oCogan, Brian M.
"r' I. I NV EST i\'I ENTS and TR u STS - innmr . ••u/ue. ,,Ull\Utlion'i ,,,,l ludt'!i lh" " uf 'POU unJ Jqu•nJt'nl 1 l1i/Jrr:n; \U l'P· JJ-MJ of filinx imfrJJl liorn,)
D NONE (No reportahli! incmm:. a.1H:ls. or 1m11.1acti1111s.)
A. ll. c. 0.
n ... nf ,,,,... ,'i fn..;on1<.: Juring l jq1 " ... 1h11.· ar .. ·nd
(indudin tru f ;i:-..">l.'l<i} rqlrntin p1.·r111J \>I r..:p11rt1llJ.! p..:ril1J
(II I 2.1 (I) m ti) (]) (J) ll) (jJ ?\m11un1 rHl..:lt: . \.';ilui: \. .alu..: r r..: t1.: Jot .• D.111: V.ilu..: (i.11n hkn111 11f 1 ·,,Jc I d1\. . r...·nt. ( 1:-J..: kthuJ tiuy. s..:11. nun.\J,L'y> l tllk l'f"t..! I bu)..:r , .. lkr 1.-\-li) er 1n1.) 11·1') ('ndl.' J r.:-dl.'mptinn) 1J-Pl IA · l l ) 11f11ri1..11..:
(C)-\'l lrn1h.l1.:linn)
188.
189.
llJO.
191.
-Columbia Sekel Small Cap CL l
-bcrgrcen Equity TR Intrinsic Value FD CLA
-Davis New York Veniure Fund lnc.-CL A
-Harlling Lu;:vn<r Fund Inc. Emerging Markets Ponfolio
Sold
Buy
Sold
Sold
12'2-l ll'J
1212-liO'l
l21 HJ9
I / 4/09
K
K
192. -ING Mutual Funds Global Real Estate CL.'\
llJJ.
1'14.
195.
-Ivy Global Naturnl Resources Fund CL J\
-Perkins Mid Cap Value D eta" J SHS
Sold
lluy
Buy
12:'24:'tN
1212-1:1)•)
12124:09 K
I 96. -Janus lmt Fd forty Fd Class S sec nolc iu P<Jrt \.'Ill
197. -knnison Nat Res FJ Inc lluy 1212-1!0')
l'J8. -knnison Mid Cap (irowlh Fd Inc CL,.\ [luy 12." Hl9 K
199. -J?Morgan TR I lnil Fquiry FD CL A
21>0. -Luzard lmer in ).Ja1 •e1s Pon Op.:n SHS fluy l J::!.t (\•>
20 I. -Legg i\fason P rtnas ,\ggrc"ssivc (jru\-.. rh Suld I:! 2-t (JI> HJ In.:. CL A
02. ·Manning 1\nJ NJpi\!r Fund \\'or lJ lluy 1212-109 K Opportunities Ser CL,\
: 20-1. - hl!lhews Paritic T1g r FunJ 01\ltknd lluy 12'2-l'il'J Rt:in•,:esrt. d
20-1 -Drpenhcirner Value Fd CL A lluy 12.'2-l'il')
\ .. "' 11011"' 1.-.... n - ,;; I 11\1 . i..,, ;..LAI l "- 5n i . ;;, °'.11t111 f) = ...'\_1 .. 11 . ) l J!t'ol• 1.'\._"(' lulu.nr.-. Bl ,..11.; l).ll t .. -. o.1 11. s11 1. .. 1 1 \ 1 -. ). ,11l/ 1o(JI · -;,i IJl)\I (itJi) Hl )l_111lil_(hll - \)_111>ft.11t)(J II \l,•11: th ... .CJllCl,( .. 10
\ .dut l , '1,k J ·s 1 nt,<1 'r l<"·.!> Ii:. . ; :llJI \'ill 0110 l · \ ll.1l1tl . ') IUO.tltWJ \I ·'11111,0lll - ).:: o.11C>o'1
l t'T lulll•lll':"o("I .11\o! 0') '.j '\ 0,!101 - '))IMI C)(ltl O ·'l-.110001 - I rli'lll,111111 l'I )l_1Jnn1111lt - .;;5_1.111010) P:! -S\.Ol l.1)01 ... J-OHJ><J(/ Pl -') \fMIOf)l)I - j'tl.f)!M).1)1141 I'-' \lnre rlun ') u 11t10,11110
l \ .1Juc \t.:1h1·<ll ·,JJO.:> \) <,\ppr.,1.1-.jl -( ..... 11Re.JI [,1.11c n,.1} 1 '> .\ .....:-.,1nt1n
tS..; l iilurrin l':!l I! -0•'1.•\.. \'...1111 \. -(11h<1 \I, -f-.um.tlL-J
\'Jiu .. :
Buy
K
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I
Ihle of Hrpnrt '.\i.1mt" of Prnon Htportine FINANCIAL DISCLOSURE REPORT
Page 16of18 05.'15·20IOCogan. Brian :\I.
vII. INVEST.I\'I ENTS and TRUSTS - inrnm . 1·u/iu, ""n'liJOions (/nduJe\ tlwH' "''flllH\e und Jt•pt•mlnr/ 111IJr,.n: \(t' Pl'· ti-hi) vf jilinx in\ITUttiun:i.)
NONE (No rcport11hlt' i11nm1e. ass<'ls. or transuctinns.)IOI 1.1A ll c
lk:.i:nplfnn 1if .\, 1."I l11c11111..: du 1ng ( ;rn-.'i 1..:.ilt11.: DI 1..·nJ
(111duJing 1rus1 a:. ..:rs) rt:pilrling. p..:r1od of To.'l)ilr1111g p..:rioJ
PlaL\." ··1 \}" afll."r ca1..·h .b:...:1
,_·\..:111pt from i•ri\,f <lisdo:.ur..:
(II
.\m,1unt C.,1d..: I
f,\.11)
(I) \'.ilu
Cud..:
iJ.l'I
1:)
\,:llHHJ
l"111lc.1
I()· I')
11)
r>r..: ii..· .
hu), l."11. r.-tl..:1npr1111\)
I J
lhri:
!Tllll dJ, )
<'I
\'<i!\1\!
t\ k
11.rl
Ill
c;J1:i
(,.J: I
'\ 111
i I l1klllil)' ,,f
h11>1:r
lif rn\;11 ... •
1r;in...., 1ion)
05 -Oppcnht.."i111i::r lnl!!matil.mal Gnvolh
Fund·CL A
20o. ·Oppenheimer International OunJ Fund- CL lluy 12/24 '09 A
207. -l'imrn Total Re1um fund CL,\ lluy 12,24109 M
21JM. -l'imrn High Yidd FunJ·CL A lluy Ol'ilh.'U'I L
209. Ouy 12:2 10•1 K (add'I)
210. -RiJge\\mlh FDS lmcrmeuia1c BD FD CL I t'2.',!4:0') M
211. ·Ry.Jex SCil Mid Cap V:oluc Funu CL A Buy I :?: _..'OlJ
212. -Royce hi Total Keturn Fd Consult nl Sold 12/24'09
213. -Royce Fund v,lue Plus Funt! Sen·ice SolJ J::!..':! ,'(11)
214. -Thornburg Intl Value Fund CL A
?.15. -·rLJw.:h:>lonc San<ls CtJpiral S..:-kct Cirtl\'w'th Sold Fund CL Z
:! 16. f{t:tirt:ITIC:-nt Plan fur rartnc f!J A Int .Oiv. L
218. · llDFreeJom 2015
II -PortfoliD (4)5 i\oni: I. T
221. IRS Federal Income Tn Receivable Non-: Closed '.2o 09
H ) r 1HJ! 'l:".:1 1 (" ': . .;'II 'l""liOt: f) -\°'.IMll-) '\_[fl)/J l'h"C l",>11111\lh Ill 11111 lkll t -') l).!H'1 · \1110.1100 (i 'I I' 1.1J1! I ) I il< I.Ill/I) Ill )I r1no.r101 - )\•tt•t.1,1011 If! \!,,r:;.'" !li..11l , ,111111.: I(:
V.tlue ( ,,.ie J -SI i 01111111 i._.,:.. ,.._ ·· 'ii •·OI . ) II 01)(l L ) ni H 11 •111ii:J \I ·')l••t 11111 . "ll"'';.11<111
1'-:ce t 1•h1rnn, C'I .mJ f>JI 'J S 0.1141/ • \ )lllJ C1lllJ (J ')•oo 1 11. \I .'"11\'1110 Pl \l.ll' l.l ll . ., 1 10.11011 P . \:- .•·l j_CIOI . ) Jlt.11 lll)jl Pl ')!'i IMlll.11111 . ) 11.000.000 I' \ nr..: \hJrl ') ll.!•l I Ctl)(J
} v .. lue- \k1hvJ l 1.J.."' 0 • 'rr1J1-wl R -1 ,,,11R,·.1I r,r..1re I >nl)) 1 e-c- C•.'hHnn( :1 (: f),,,.,l_ \.·.1Jue V I >rht'"r
"a me or Pl'nt>n HrporlinJ: 0;11r of Ht: port FINANCIAL DISCLOSURE REPORT
Co an. Brian J\I. 05'15':010Page 17of18
VIII. A D DITIONAL l'.'IFOR:VIATION OR EXPLANATIONS. (/ndhur.purt .. JRq•vrt.}
.I) Purl \'II. page 7, line 55: page 10. line HU: page I:!. Jin 147: pat-: 15. l1i:c I 1J6: , he OJlllC of ;i..;s\.!f of "fanus :\<lvis1.:r S..:r hin; ru1ul" "'" ('h;in ... ·d lo "J.111us Inv! FJ J·orty hi". 2) Part \'II, p;1gc 7. lint: (14; page IU, line 109· ·1 he n:11nt: of , ,.,., \,f ··1 c g i\1J-;on P;1rtn r.;: Man;,igc.:Ll Muns runJ" was 1.:horngl'l..I 10 "Lt.:!tb l;bon \Vl',r..:rn ,\:, ... ct
1.m;igt:d Muni Fund''.
' .
FINANCIAL DISCLOSLIRE REPORT
Page 18of18
!"amt- of Pt·nun Ht."porrini,:
Co1:an, Bri•n 1\1.
0;.1.1r of Rt port
05:15·2010
IX. CERTIFICATION.
I n.·rtif)' that all information gin ·n abo,·e (including information pcrtainin to 01) °'pouse and minor or tlrpcmh.·nt 1.:hildrcn. if om)) is ac(ural<. lrue, and complete to the h<ot of IO)' kno,.kdge and belief, and thal an) information not reported""' 1>ilhhdd brcau1t it mrl applicable 'lalutory pro\'i"iion pl'rmiUing nun-disclo.\ure.
I further rerlif) lh•I <arned income from oul\ide emplo)'mfnt :ind honoraria a11d lh.- acceptarH'e of gift• "hirh ha\C horn reported are in compliance 1>ilh the pn»isions of S l'.S.C. :lpp. § 501 el. seq., 5 U.S.C. § 7J .l. and Judicial Confrrene< n·gulalion>.
Signalurr_
NO n:: A,..,\' 1:'1101\'IJ}l] ..\L WllO K!\OWINGLY ,\NO WILFULLY FALSIFIES II. ,\,..,0 CRl ll:-IAL SA:"tCllONS (5 V.S.C. app. § 10 )
FIUNG INSTRUCTIONS
\fail igncd ori'. inul mi 3 additi'Jml copies 10:
Committee on Finam:1al Disclosure Administralive Office of lhc United S!Jles Courts
Suite 2-JO l Om: Columbus Cin:k N.E. Wa>hingron. D.C. 20544