Graham C Mullen Financial Disclosure Report for 2010

8/3/2019 Graham C Mullen Financial Disclosure Report for 2010

1/20

AO 1 0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10Report R equired by the Ethicsin Government A ct of 1978

(5 U.S.C. app. 101-111)

1. Person Reportiog ( last name, f irst , middle initia l)M U L L E N , G R A H A M C .

4. Ti t le (Art icle I l l judges indica te act ive or senio r sta tus;magis t rate judges indicate ful l - or par t - t ime)U . S . D IS T RI CT J U D G E - S E N I O R

7. Chambers o r O ff ice Ad d res s230 CH A RL E S R . J O N A S B U I L D I N G4 0 1 W E S T T R A D E S T R E E TC HAR L O T T E , NC 2 82 0 2

2. Court or OrganizationW E S T E R N D I S T R IC T O F N . C .

3. Date of Report7/25/201 I

5a . Re p o r t Typ e ( che ck a p p ro p r i a te t yp e )

] Nominat ion, Date[] Initial [] Annual [] Final5bo [] Amended Report8. O n t he ba s i s o f t he i n fo rm a t i o n co n t a in e d i n t h i s Re p o r t a n d a n ymodif ica t ions perta in ing the re to , i t i s , in my opin ion , in compliancewith a pp l i c a b le l a ws a nd re gu la t ions .

R e v ie wing Off ic e r Date

6. R e por t ing Pe r iod01 /01 /2010to12/31/2010

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 for each part where you have no reportable information. Sign on last page.

I. P O S I T I O N S . < R e p o S i n g i n d i v id : a t o . t y ; s e e r p . 9 - iS of filing instructions.)D NONE (No reportable positions.)I. Ho r a r y L i f e M e m b e r2. M e m b e r a d j un c t f a c u lty3. M e m b e r H O A B o a rd4.5.

POS I T I ON NAME OF ORGANIZATION/ENTITYD u k e U n i v e r s it y L a w S c h o o l B o a r d o f V i s i to r sD e p a r t me n t o f P o l i ti c a l S c ie n c e U N C C h a r l o t teRo y a l Cr e s t H o me O w n e r s

I I. A G R E E M E N T S . ~R eponi.g i.aivld.at o.ty; seeps. 14-1 6 of filing instructions,)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


2/20

FINANCIAL DISCLOSURE REPORTPage 2 of 20

N a m e o f P e r s o n R e p o r t in gMULLEN, GRAHAM C.

Date of Report7/25/201 I

I l L N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investment Income~] NONE (No reportable non-investment income.)

DATE_ SOURCE AND TYPE

2.3.4.

INCOM E( y o u r s , n o t sp o u s e s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during anyportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

!.

2.3.4.

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e n ~(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

N O N E ( N o reportable reimbursements.)SOURCE DATES LOCATION

1 .2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDE


3/20


Name of Person ReportingM ULLEN, G RAH AM C.


V.~ 1 ~o (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)~] N O N E (No reportable gifts.)

SOURCE DESCRIPTION1.

2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a . e l. d e s t h o s e o / w o . s e u . d dependent children; s e e p p . 3 2 - 3 3 of filing instructions.)E~ N O N E (No reportable liabilities.)

CREDITOR.!. Bank of America2.3.

4.5.

Credit CardDESCRIPTION VALUE CODE

J


4/20


Name of Person ReportingM U L L EN , G RA H A M C .

Date of Report7/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , . e , v u t a e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)~ N O N E (No reportable income, assets, or transactions.)

A. B. C.Descr iption of Assets I nc om e dur i ng Gross va lue a t end

(including t rust asse ts) reporting period of reporting period(1 ) (2 ) (l) (2)

Place " (X )" after each asset A m oun t Type (e.g., Va lue Va lueexempt f rom pr ior di sclosure C ode I div., rent, Co d e 2 Method(A-H) o r i n t . ) (J-P) C ode 3

( Q -W)

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

redempt ion)

T r a n sa c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4) (5 )Date Va lue G ain Id entity o f

m m / d d / yy C ode 2 Code 1 b uy e r / s e l l e r( J - P ) (A-H) (if private

t ransact ion)

1 . B R A N C H B A N K & T R U S T C O . (B a n k A In te r e s t K TAc c o un t s )

3. S m i th B a r n e y M o n e y M a r k e t F un d ( S e e C Int. /Div. K Te x p l a n a t i o n )

5. Smith Barney Money Market Fund (Seee x p l a n a t i o n )1 6 .

A Dividend

7. Central Fund - Canada8.

A Dividend K

9. lntelCorp.1 0 .

A Dividend J

II. M e r c k & C o .1 2 .

A Dividend J

13. Proctor&Gamble1 4 .

A Dividend J T

1 5 . G e n e r a l E l e c t r ic1 6 .

A Dividend Bu y 04/06/I 0 J( a d d l )

17. Chart Indu s None B uy 11/22/10 J

I. Incom e G ai n ( odes :( Se e Columns B I a nd D4)

2. V al ue C odes( Se e Columns C I a nd D3)

3. V al ue Met h od C odes( Se e Column ( 2 )

A=$1,000 o r lc ssF =$50,001- $100,000J =$15,000 orlcssN =$250.001- $500,000P3 =$25,000,001 -$50,000~000Q = A p p r a i s a lU =Book Va lue

B =$1,001- $2,500G =$100,001- $1,000,000K =$15,001- $50,000O=$500 ,001- $1 ,000 ,000R =Cos t ( Re a l Es t a t e Only)V = O t h e r

C =$2,501- $5,000HI =$1,000,001- $5,000,000L =$50,001 -$100,000PI =$1,000,001- $5,000,000P 4 = M o r e t h a n $ 5 0 , 0 0 0 , 0 0 0S = A s s e s s m e n tW = E s t i m a t c d

D =$5,001- $15,000H2 -M or e t ha n $5 ,000 ,000M=$100 ,001- $250 ,000P2 =$5,000,001 -$25,000,000T = C a s h M a r k e t

E ~ $15,001- $50 ,000


5/20


Name of Person ReportingMULLEN, GRAHAM C.


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

A. B. C. D.Descr iption of Assets in co m e d urin g G ross va lue a t en d Transact ions dur ing repor t ing per iod( includ ing tru st a sse ts) reporting period of repo rting period( 1 ) ( 2 ) (1) (2) (1) (2) (3) (4) (5 )Place "(X)" af ter each asset A m oun t Type (e.g.. V a lue V a lue Type (e.g., D a t e V a l u e Gain I d e n t i . t y o fexempt f rom pr ior di sclosure C ode I div., rent, C ode 2 Method buy, se l l , mm/dd~yy C o de 2 Code 1 buyer/se l ler(A-H) o r i n t . ) (J-P) C ode 3 redem ption) (J-P) (A -H ) (if p rivate

( Q -W) transaction)

1 8 .

1 9 . Sun Microsystems20 .

None Sold 01/28/10 J A

21 . C a p i t a l W o r l d B d F d22 .

A Dividend Sold 04/13/10 J A

23 . Ca p i t a l W o r l d G.B.24 .


25 . E u r o P a c B o n d F u n d26 .


27 .28 .29 .30 .31 .32 .

IRA (See Explan ation)Blackrock Fun ds - Large Cap Value

A D i v i d e n d K TS o l d 03/31/10(par t)S o l d 06/09 /10(pa r t )B uy 06/10/10( a d d l )

J

J

J

33 . J o h n H a n c o c k - L a r g e Ca p E qu i ty F u n d34 .

1. In com e G ain C o des : A =$1,000 o r le ss B =$1,001 - $2,500 C =$2,501 o $5,000(See C ol um ns B I and D4) F =$ 50,001 - $ 100,000 G =$100,001 - $ 1,000,000 H 1 =$ 1,000,001 - $ 5 ,000,0002. V a lue C o d e s J =$15,000 o r le ss K =$15,001 - $50,000 L =$50,001 - $100,000

(See Co lum n sC 1 a nd D3) N =$250,001 - $5 00,000 O =$5 00,001 - $1,000,000 PI =$1,000,001 - $5,000,000P 3 =$25 ,000,001 - $5 0,000,000 P4 =M ore O~ an $50,000,0003. V al ue Met h od C odes Q =A ppra i sa l R =Cos t ( Re a l Es t a t e Only) S =As s e s s me nt( S e e C o l u n m C 2 ) U = B o o k V a l u e V = O t h e r W =Es t ima te d

D =$5,001- $15,000H 2 =Mo re t h an $ 5 , 000, 000M=$100 ,001- $250 ,000P2=$5,000,001 -$25,000,000T = C a s h M a r k c t

E =$15,001- $50,000


6/20


Name of Person Reporting ] Date of ReportM ULLEN, GRAHAM C.

I7/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~ NONE(No reportable income, assets, or transactions.)A. B, C. D.

Descr ipt ion of Assets I nc om e dur i ng Gross va lue a t end Transact ions dur ing repor t ing per iod( in clud in g tru st asse ts) reporting period of repor t ing per iod

(1 ) (2 ) (1) (2) (1)A m ount Type (e.g., Value Va lue Type (e.g.,Code 1 div., rent, C ode 2 Method buy, se l l ,(A-H) o r i n t . ) (J-P) C ode 3 redem ption )

( Q -W)

Place "(X)" after each assetexempt f rom pr ior di sclosure

(2) (3) (4) (5 )D a t e Va lue Gain Ident i ty of

m m / dd / y y C ode 2 C ode 1 buyer/se l ler(J-P) (A -H ) (if p rivate

t ransact ion)

35 .36. Goldman Sachs TR Fin Mkt Fund37 .38 .39 .40 .41.42 .43.44 .45 .

Loomis Sayles Fund s IT Strategic Inc. Fund S o l d 03/31110( p a n )S o ld 06/09 /10(par t)B uy 06/09/10

(addl)B uy 06/10/10

(addl)Buy 06/10/10

(addl)

J

J

JJ

J

46 .47 .48 .49 .

M FS Resh Intl Fund S o l d 07/09/10 ! J( p a n )B uy 06/10/10 J(add l )

50 . O p p e n h e im e r I n t l B o n d F un d51 .

I. Incom e G ai n C odes :( S e e C o l u m n s B I a n d D 4 )

2. V al ue C odes( S e e C o l u m n s C I a n d D 3 )

3. V al ue Met h od C odes( Se e Column C2)

A =$ 1, 000 or l essF =$50.001 - $100,000J =$15,000 or lessN =$250,001 - $500,000P3 =$25.000,001 - $50,000,000Q =A ppra i sa lU = B o o k V a l u e

B=$I,001 - $2,500G=$100,001 - $1,000,000K=$15,001 - $50,000O~$500,001 - $ 1,000,000R =Cos t ( Re a l Es t a t e Only)V = O t h e r

C =$2,501 - $5,000H 1 =$1,000,001 - $ 5,000,000L =$50,001 - $100,000P 1 =$ 1,000,001 - $5,000,000P4 =M ore t h an $ 5 0, 000, 000S =As s e s s me ntW =Es t ima te d

D =$5,001 - $15,000H 2 =More t h an $ 5 , 000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$15,00I - $50,000


7/20


Name of Person ReportingM U L LE N , GR A H AM C .


V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)[~ NONE (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e ts I n c o m e d u r i n g G ro s s v a l u e a t e n d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(i ) ( 2 ) (1) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e l A m o u n t T y p e ( e .g . , V a l u e V a l u ee x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r in t . ) ( J - P ) C o d e 3

( Q - W )

(i )Type (e.g.,

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

T r a n sa c t i o n s dur ing repor t ing per iod

(2) (3) (4)D a t e V a l u e G a i n

mm/dd/yy C o d e 2 C o d e 1(J-P) (A-H)

( 5 )Identity of

buyer/se l ler( if pr ivate

transac t ion)

52 .53 . Oppenheimer Small Cap V alue Fund54 .55 . Oppenheimer Intl Small Co Fund56.57 .58 .59 . Satuit Cap M icro Cap Fund60.

B u y(addl) 06/10/10 J

61.62.63.

American Funds Gr. Fund Sold(part)Sold(part )

06/09/1003/3 I/10

J

64.65.66.

Keeley Funds Small Cap Value Sold(part)B u y(addl)

03/31/1006/10/10

J

67.168.

Oppenheimer Gold & Sp. Minerals B u y(addl)Sold(part)

06/09/10 J

06/09 /10 J

1. I n c o m e G a i n C o d e s :(See Columns BI and D 4)

2. Value Codes(See Columns CI and D 3 )

3. Value Method Codes(See Column C2)

A=$1,000 or lessF =$50,001 - $100,000J =$15,000 or lessN =$250,001 - $500,000P3=$25,000,001 - $50,000,000Q = A p p r a i s a lU =Book Value

B=$1,001 - $2,500G=$100,001 - $ 1,000,000K=$15,001 - $50,000O =$500,001 - $1,000,000R =C ost (Real Estate Only)V =Other

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L :$50,001 - $100,000PI =$1,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW =Estimated

D =$5,001 - $15,000H2 =More than $5,000,000M =$ 100, 001 - $ 25 0, 000P2 =$5,000,001 - $25,000.000T =Cash Market

E =$15,001- $50,000


8/20


Name of Person Reportin gM U L L EN , G RA H A M C .


V I I . I N V E S T M E N T S a n d T R U S T S - i.eome, v.l.e, t r a n s a c t i o n s (Includes those of spouse an4 dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

69 .70 .71 .72 .73 .74 .75 .

176.

77 .78 .79 .80 .81 .82 .83 .84 .

D e s c r i p t io n o f A s s e t s T r a n sa c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s )

I n c o m e d u r i n g G r o s s v a l u e a t e n dr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

( 1 ) ( 2 ) (1) (2) (1 ) (2) (3)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o un t T y p e ( e .g ., Value Value T y p e ( e . g . , D a t e Valuee x 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 1 d i v . , r e n t , C od e 2 M e t h o d b u y , s e l l . m m / d d / y y C od e 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) (J-P)( Q -W )

(4 ) (5):Gain Ident i ly of

Code 1 buyer/se l ler( A-H) (if private

t ransact ion)

S o l d 10/08/I 0 J(par t)

Fidelity Ad visor SPR 1 Leveraged Co HbFund B uy 06/10/10(add l ) Sold 06/10/10(par t)S o l d 03/31110(part)

J

JJ

Permanent Portfolio Fd B u y 06/09/I 0 J

ISORAY N o n e J

Lattice Semi None Sold 05/04/10 J C

85 .

I. Incom e G ai n C odes :( S e e C o l u m n s B I a n d D 4 )

2. V al ue C odes( S e e C o l u m n s C I a n d D 3 )

3. V al ue Met h od C odcs( Se e Column C2)

A =$1,000 orlcssF =$50,001- $100,000J =$15,000 or l cs sN =$ 25 0, 001- $ 5 00, 000P3 =$25,000,001 - $50.000,000Q = A p p ~ i ~ lU =Book Va lue

B =$1 ,001- $2 ,500G =$100,001- $1,000,000K=$15,001 -$50 ,000O=$500 ,001 -$1 ,000 ,000R =Cos t ( Re a l Es t z t e Only)V = O t h e r

C =$2,501- $5,000HI =$1,000,001 - $5,000,000L $50,001- $100,000PI $1,000,001- $5,000,000P 4 = M o r e t h a n $ 5 0 , 0 0 0 , 0 0 0S = A s s c s s m c n tW = E s t i m a t c d

D =$5,001 - $15,000H 2 =Mo re t h an $ 5 , 000, 000M =$ 100.001 - $ 25 0, 000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$15,001 - $50,000


9/20


Name of Person ReportingMULLEN, GRAHAM C.


V I I . I N V E S T M E N T S a n d T R U S T S - income, value, t .... actions ( Includes those of spouse and depende nt children; seepp. 34-6 0 of f i l ing instructions. )D N O N E (No reportable income, assets, or transactions.)

A. B. CDescr ipt ion o f Assets I nc om e dur i ng Gross va lue a t end( including t rust assets) repo rting period of repo rting period

( 1 ) ( 2 ) (1) (2) (I )Place "(X)" af ter each asset A m oun t Type (e.g., V a lue V a lue Type (e.g.,exempt f rom pr ior di sclosure Code 1 div., rent, C ode 2 Method buy, se l l ,( A - H ) o r i n t . ) ( J - P ) C o d e 3 redempt ion)

(Q-W)

86 . V a l e ro En e rg y87 .88 .89 . M osa ic90 .91 . H e c l a M i n i n g92 .9 3. G D X Go ld m in ers E TF94 .95 . Cu r t i s s . W r i g h t96 .97 .9 8 . N o r th ~ v e st e rn M u tu a l ( N M L ) I n su r an c ePol ic ies9 9 . W h o l e L i fe X . X X 1 1 3100.1 0 1 . N M L W h o l e L i f e X X X 1 8 8


(2) (3) (4)D a t e V a l u e G a i n

mm/dd/yy C o d e 2 C o d e 1(J-P) ( A - H )

(5 )Ident i ty of

b uy e r / s e l l e r(if private

t ransact ion)

Dividend J T B u y(addl) 04/20110 J

None J

N o n e J

A Dividend J

A D i v i d e n d J

Dividend K

A Dividend K102.

1. Incom e G ai n C odes : A =$1,000 o r le ss B =$1,001 - $2,500 C =$2,501 - $5 ,000 D =$5,001 - $15 ,000(S ee Co lu mn s B I a nd D4 ) F =$5 0,001 - $100,000 G =$100,001 - $1,000,000 H I =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 = M or e t ha n $5 ,0 00 ,0 00

2. Va lue C od e s J =$15,000 o r le ss K $15,001-$50 ,000 L =$50,001 - $100,000 M =$100,00t - $250,000( S e e C o l u m n s C I a n d D 3 ) N =$25 0,001 - $5 00,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 -$25,000,001 - $5 0.000.000 P4 =M ore t h an $ 5 0, 000, 000

3. V al ue Met h od C odes Q =A ppra i sa l R =Cos t ( Re a l Es t a t e Only) S =As s e s s me nt T = C a s h M a r k e t( Se e Column C2) U =Book Va lue V = O t h e r W =Es t ima te d

E =$15,001- $50 ,000


10/20

FINANCIAL DISCLOSURE REPORTPage 10 of 20 Iame of Person ReportingM U L L EN , G R At l AM C . Date of Report7/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)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 In c o m e d u r in g G r o ss v a lu e a t e n d T r a n s a c t io n s d u rin g r e p o r t in g p e r io d

( in c lu d in g t ru s t a s se ts ) re p o r t in g p e r io d o f r e p o r t i n g p e r i o d(1) (2) (1 ) (2 ) O) (2 ) (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . , V a l u e V a l u e T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

exempt from prior disclosure 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 , mm!dd/yy Code 2 I Code 1 b u y e r / s e l l e r( A - H ) orint.) ( J - P ) Code3 r e d e m p t i o n )(JP)I (A-H)

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

103. NML W hole Life XXX 510 B Dividend K T104.105. NML W hole Life XXX698 A Dividend K T106.107. NM L Extraord. Life 403 B Dividend K T108.109. NML Adju stable Comp XXXI00 C Dividend K T110.I 11. NM L 65 Life 913 (see explanation) A Dividend J T112.113. NM L 65 Life 473 (see explanation) A Dividend J T114.

115. NM L Whole Life 437 (see explanation) A Dividend J T116.

117. NM L Whole Life 800 None J T118.

119. KinrossGold A Dividend J T

B u y 10/14/10 J

I . h l c o m e G a i n C o d e s : A =$1,000 or less B =$1,001 - $2,5 00 C =$2,5 01 - $5 ,000(See C ol um ns B 1 and D4) F =$50,001 - $ 100,000 G =$100,001 - $1,000,000 H I =$ 1,000,001 - $5,000,000

2 . Va lue Code s J -$15 ,000 or l e s s K $15,001-$50 ,000 L =$50,001 - $100.000(See C o l u m n s C I and D3) N =$250,001 o $500,000 O =$500,001 - $1,000,000 PI -$1,000,001 - $5,000,000

P 3 =$25 ,000,001 - $5 0,000.000 P 4 =M o re th an $50,000,0003. V al ue Met h od C odes Q =A ppra i sa l R =C ost (Rea l E s t a t e Onl y ) S =As s e s s me nt( S e e C o l u m n C 2 ) U ~Book Va lue V =Othe r W =Es t ima te d

D =$5,001 - $15,000H 2 =More t h an $ 5 , 0~0, 000M =$ t 00,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$15,001 - $50,000


11/20

FINANCIAL DISCLOSURE REPORTPage 11 0f20



V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)[] N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descrip tion o f A ssets Incom e during Gross va lue a t end Transact ions dur ing repor t ing per iod( including t rust asse ts) reporting period of repor t ing per iod

(1) (2) (l) (2) (1 ) (2) (3) (4) (5 )P lace " (X )" a fter each asse t Am ount Type (e .g ., V a lue V a lue Type (e.g., D a t e V a l u e G a i n Ident i ty ofexempt f rom pr ior di sclosure C ode I div., rent, C ode 2 M e t h o d b uy , se ll, m m/d d/yy C o d e 2 I C o d e l b uy e r /se l le r(A-H) o r i n t . ) ( J - P ) C ode 3 redempt ion) (J-P) (A-H) (if private( Q -W) t ransact ion)

120.1 2 1 . P o t a s h C o r p . A D iv id e n d S o ld 110/18/10 J D122.

123 . T e s c o Co r p . N o n e S o l d 0 1 1 1 3 1 1 0 J B124.1 2 5 . P o w e rs h a re s W i l d e rh i l l C l e a n En e rg y126.1 2 7 . S e le c t S P D R En e rg y128.129 . P r u d e n t B e a r F u n d130.131 . Ja n u s S h o r t T e r m B o n d F u n d132.1 3 3 . N u v ee n L i d T e r m M u n i B o n d F u n d134.1 3 5 . A d va n c e d A n a l o g i c T e c h n o l o g i e s

None Sold 12/22/10 J A

A Dividend J T

None J T

A I n t e r e s t Sold 09/20/10 J A

A I n t e r e s t Sold 12/08/10

None Sold 01/21/10 J A136.

I . lncome G a in Code s : A =$1,000 o r le ss B =$1,001 - $2,5 00 C =$2,501 - $5,000 D =$5,001 - $15,000( See C olum ns B I a n d D 4) F =$ 50,001 - $100,000 G =$ 100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H 2 =Mo re t h an $ 5 , 000, 0002 . Va lue Code s J =$15,000 or less K =$15,001 - $50,000 L =$5 0,001 - $100,000 M =$100,001 - $250,000( Sce Columns C I a nd D3) N =$25 0,001 - $500,000 O =$5 00,001 - $1,000,000 P 1 =$ 1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P 3 =$25 ,000,001 - $5 0,000,000 P 4 =M o re th an $5 0,000,0003. V al ue Met h od C odes Q =A ppra i sa l R =C ost (Rea l E s t a t e Onl y ) S =As s e s s me nt T = C a s h M a r k e t( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h e r W =Es t ima te d

E =$15,001- $50,000


12/20


Name of Person Reportin gMULLEN, GRAHAM C.


V I I . IN V E S T M E N T S a n d T R U S T S - i .c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp . 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr iption of Assets Income dur ing Gross va lue a t end Transact ions dur ing repor t ing per iod

( including t rust assets) reporting period of repor t ing per iod[1 ) (2 ) (1) 12) (I ) (2) (3) (4) (5 )Place " (X)" a f t e r each asse t A m ount Type (e.g., Va lue V a l u e Type (e .g ., Date V a l u e Gain Ident i ty ofexempt f rom pr ior di sclosure C o d e 1 div., rent, C ode 2 Method b uy , se ll, m m/d d/yy C ode 2 Co d e I buyer/se l ler(A-H) o r i n t . ) (J-P) C ode 3 redem ption) ( J - P ) (A-H) (if private

( Q -W) t ransact ion)

1 3 7 . A T & T A Dividend Sold 01/13/10 J138.1 3 9 . C a n t a n g o O i l & G a s ( s e e Ex p l a n a t i o n )140.

N o n e J T

1 4 1 . E l d o r a d o G o l d142.

None J T

143.144.145.146.

Frontier Common. (see Explanation) A Dividend B uy 01/13/10B uy 08/17/10(add l )S o l d 12/08/10

JJJ A

147.148.

149.

T e r r a n o v a Ro y a l ty C o r p . ( s e e E x p l a n a t i o n ) None B uy 04/22/10 JS o ld 05 /03 /10 J

1 5 0 . V e r i z o n C o m m .151.

A D i v i d e n d J T Buy 01/13/10 J

1 5 2 . i s h a re s J a p a n Fd .153.

A D i v i d e n d J T B u y 03/22/I 0 J

I. Incom e G ai n C odes :(See C ol um ns B 1 and D4)

2. Va lue Code s(See C ol um ns C 1 and D3)

3. V al ue Met h od C odes( S e e C o l u m n C 2 )

A =$ 1, 000 or l essF =$50,001 - $ 100,000J =$15,000 or lessN =$ 25 0, 001 - $ 5 00, 000P3 =$25.000~001 - $50,000.000Q =A ppra i sa lU = B o o k V a l u e

B =$1,001- $2,500G =$100,001- $1,000,000K =$15,001 -$50,000O=$500 ,001- $1 ,000 ,000R = C o s t ( R e a l E s t a t e O n l y )V = O t h e r

C =$2 ,501- $5 ,000HI =$1,000,001- $5,000,000L =$50,001- $100,000PI =$1,000,001 - $5,000,000P4 =M or e tha n $50 ,000 ,000S =As s e s s me ntW = E s t i m a t e d

D =$5,001- $15,000H2 =Mo r e ~a n $5 ,000 ,000M-S100,001 - $250,000P2=$5,000,001- $25,000,000T = C a s h M a r k e t

E =$15,001- $50,000


13/20




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 m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)N O] N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr ipt ion of Assets Income dur ing Gross va lue a t end Transact ions dur ing repor t ing per iod

( including tmst asse ts) reporting period of repor t ing per iod(1) (2) (1) (2) (1) (2) (3) (4) (5 )Place " (X )" a fter each asse t Am oun t Type (e .g ., Value Va lue Type (e .g. , D a t e Value [ Gain Ident i ty of

exempt f rom pr ior di sclosure Code 1 d i v . , r e n t , Co d e 2 Method buy, se l l . mrn/dd/yy Co d e 2 [ Co d e 1 buyer/se l le r(A-H) o r i n t . ) (J-P) C ode 3 redempt ion) (J-P) (A-H) (if private(Q -W ) tran sactio n)

1 5 4 . C i s c o S y s N o n e J155.1 5 6 . C l i c k S o f t w a re T e c h . N o n e J157.15 8 . Ch a r t I n d u s N o n e J159.

1 6 0 . N a n o v : R i c i d e s N o n e J161.

1 6 2 . N e ura l S t e m I n c . N o n e J163.1 6 4 . S & P N o r t h A m e r T e c h F d A D i v i d e n d J165.

1 6 6 . E - B a y I n c . N o n e J167.16 8 . I n te r n a t i o n a l S t e m C e l l Co r p . N o n e J169.1 70 . P ro - P h a rm a c e u t i c a ls N o n e J

B uy 03/09/10 J

B uy 03/31/10 J

B u y 03/31/10 J

B uy 03/31/10 J

B uy 04/20/10 J

B uy 04/13/10 J

B uy 05/13/10 J

B uy 05/13/10 J

B uy 05/13/10 J

I . Income G a in Code s : A =$ 1, 000 or l ess B =$1,001 - $2,500 C =$2,5 01 - $ 5,000 D =$5 ,001 - $15 ,000(See C o lum ns B 1 an d D 4) F ~ $5 0,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H 2 =Mo re t h an $ 5 , 000, 0002 . V a lu e C o d e s J =$15,000 o r le ss K = $15,001 - $50,000 L -$ 50,001 - $100,000 M =$100,001 - $250,000(S ee Co lum ns (2 1 a nd D3 ) N =$2 50,0 01 - $5 00,0 00 O =$50 0,00 1 - $1,00 0,00 0 P 1 =$ 1,000,001 - $5,000,000 P 2 =$5,000,001 - $25,000,000

P 3 =$25 ,000,001 - $5 0,000,000 P 4 =M o re th an $50,000,0003. V al ue Met h od (2odes Q =A ppra i sa l R =Cos t ( Re a l Es t a t e Only) S =As s e s s me nt T = C a s h M a r k e t( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h e r W =Es t ima te d

E =$15,001 - $50,000


14/20




V II. INV E S TM E NT S and T RUS T S -N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Descr ipt ion of Assets Income during Gross value at end Transactions during repor t ing per iod( including t rust assets) rep ortin g p erio d o f repo rting period

(1 ) (2) (1) (2) (l ) (2) (3) (4)Place "(X)" after each asset A m ount Type (e.g., Va lue Value Type (e.g., D a t e Va lue G a i n

exempt f rom pr ior di sclosure Code 1 div., rent, C ode 2 Method buy, se l l , mm/dd/yy C ode 2 C o d e l(A-H) o r in t . ) ( J - P ) C ode 3 redem ption ) (J-P) ( A - H )( Q -W)

171.1 7 2 . B r i g u s G o l d173.17 4 . Ca p s t o n e T u r b i n e175.176.

1 77 . T T i T e a m T e l e c o m178.17 9 . G l o b e S p e c i a l ty M e t a l s180.

1 81 . i N o v i o P h a rm a c e u t i c a ls1 82 . A rg e n t e x M i n i n g ( s e e Ex p l a n a t i o n )183.1 84 . W e l l s F a rg o W a r ra n t s185.18 6 . A p p l e I n c .187.

( s )Identity ofb uy e r / s e l l e r(if private

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

None J T B u y 12/10/10 J

None J T B u y 03/09/10 JB uy 05/04/10 J( a d d l )

None B u y 01/21/10 JS o l d 03/04/10 J

A Dividend J T B u y 10/07/10 J

N o n e J T B u y 0 9 / 0 1 / 1 0 JNone J T B u y 09/17/10 J

N o n e J T B uy 09/17/10 J

N o n e J T B uy 09/23/10 J

I. Income Gain Codes: A =$1,000 or l e s s B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 . $15,000( S e e C o l u n m s B I a n d D 4 ) F =$50,001 - $100,000 G ~ $100,001 - $1.000,000 H 1 =$1,000,001 - $5,000,000 H 2 =M ore th an $5 ,000,000

2. V alue C o d es J =$15 ,000 o r le ss K =$15,001 - $5 0,000 L =$50,001 - $100~000 M =$100,001 - $250,000(S ee Co lu mn s C I a nd D3 ) N =$25 0,00I - $500,000 O =$500.001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 o $50,000,000 P4 =Mo re t h an $ 5 0, 000, 0003. V al ue Met h od C edes Q =A ppra i sa l R =C ost (Rea l E s t a t e Onl y ) S =As s e s s me nt T = C a s h M a r k e t( S e e C o l u m n C 2 ) U =Book Va lue V = O t h e r W =Es t ima te d

E =$15,001 - $50,000


15/20




V I I . I N V E S T M E N T S a n d T R U S T S - in e o ,n e , value, r a n s a c t i o n s (Includes those of spouse a n d dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)D NONE (No reportable income, assets, or transactions.)A. B. C.

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

(1 ) ( 2 ) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu eexempt from prior disclosure C o d e 1 d iv .. r e n t. C o d e 2 M e t h o d

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


(I ) (2) (3)Type (e .g. , Date Va luebuy, se l l , mrn/dd/yy C ode 2

redempt ion) (J-P)

( 4 ) ( 5 )G a i n Identity of

C o d e 1 buyer/seller( A - H ) (if private

t r a n sa c t i o n )

188 . First Tru st High Income Long/Short FD A Dividend J B uy 09/27/I 0 J189.

1 9 0 . C e n t u ry Li n k I n c .191.

None B u y 12/08/10 J

192 . Morgan Stanley Smi th Barney Unif iedM anaged Acct-est 12/10/10193. Cambiar Small Cap Fd None B uy 12/10/10 J194.195.

B u y 12/15/10 J( a d d l )

196. Blackrock Inflation Preferred B ond Port A Dividend197. A Distribution198.

Bu y 12/10/10B uy 12/15 /10( a d d l )

JJ

19 9 . E a t o n V a n c e Co mmo d i t y S t r a t e g y F d A D i v i d e n d200. A Distr ibut ion201.

Buy 12/10/10B uy 12/15 /10( a d d l )

JJ

202.203.204.

E a t o n V a n c e L a r g e C a p V a l u e F u n d A Dividend Buy 12/10/10B uy 12/15 /10( a d d l )

JJ

I . Income Ga in Code s : A =$ 1, 000 or l ess B =$1,001 - $2,500 C =$2 ,501 - $5 ,000 D =$5,001 - $15,000( Se e Columns B I a nd D4) F = $50,001 - $ 100,000 G =$10 0,0 01 - $1 ,0 00 ,00 0 H 1 =$ 1,000,001 - $5,000,000 H 2 =M ore th an $5.00 0,0 00

2. V a lue C o d e s J =$15,000 o r le ss K =$15,001 - $50,000 L =$50,001 - $100,000 M -$100 ,001 - $25 0,000( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $5 00,000 O =$500,001 - $1,000,000 P I =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 -$ 5, 00 0, 00 1 - $ 25 ,0 00 ,0 00

P3 =$25,000,001 - $50.000,000 P4 =M or e t ha n $50 ,000 ,0003 . Va lue Me thod Code s Q =A ppra i sa l R =Cos t ( Re a l Es t a t e Only) S = A s s e s s m e n t T = C a s h M a r k e t( S e e C o l u m n C 2 ) U =Book Va lue V = O t h e r W =Es t ima te d

E =$15,00|- $50,000


16/20


17/20


Name of Person ReportingM U L LE N , GR A H AM C .


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , va l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D N O N E (No reportable incom e, assets, or transactions.)

A. B. C.Descr iption of Assets I nc om e dur i ng Gross va lue a t end(including t rust asse ts) rep orting perio d of repo rtin g p eriod

(1 ) (2 ) (1) (2)Place "(X)" af ter each asset A m oun t Type (e.g., Va lue V a l u eexempt f rom pr ior di sclosure C ode 1 div., rent, C ode 2 Method(A-H) o r i n t . ) (J-P) C ode 3( Q -W)

O)Type (e.g.,b u y , s e l l ,

r e d e m p t i o n )

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

D a t e V a l u e G a i nmm/dd/yy C o d e 2 Code l

( J o P ) ( A - H )

(5 )Ident i ty ofbuyer/seller(if private

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

222.223 . L e g g M a s o n W e s t e r n A s s e t In t . M u n i .224.225.

A Dividend J T B u y 12/10/10B u y 12/15/10

( a d d l )

J

J

226 . M a i n s t a y L a r g e Ca p G r o w t h F d227.228.

None Bu y 12/10/10B uy 12/15 /10( a d d l )

JJ

2 2 9 . P i m c o F u n d s E m e r g i n g L o c a l B o n d230.231.

A Dividend Bu y 12/10/10B uy 12/15/10

( a d d l )

J

J

2 3 2 . R y d e x S G I M a n a g e d F u t u r e s S tr a t e g y F d233.234.

None Buy 12/10/10B uy 12/I 5 /10( a d d l )

J

J

235 . T CW V a l u e O p p o r t u n i t ie s F u n d236.237.

A Dividend Bu y 12/10/10B uy 12/15/10

( a d d l )

J

J

238 . Temp le ton Globa l Bond Fund Adv i so r Cla ss A Dividend J B uy 12/10/10 J

1. Incom e G ai n C odes : A =$1,000 or less B =$1,001 - $2,500( Se e Columns B I a nd D4) F =$50,001 - $100,000 G =St 00,001 - $1,000,000

2 . Va lue Code s J =$15 ,000 o r less K =$15 ,001 - $50,000( Se e Columns C I a nd D3) N =$25 0,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. V alue M eth o d C o d es Q =A p pra isa l R =C ost (R ea l E s ta te O n ly )( S e e C o l u m n C 2 ) U = B o o k V a l u e V - O t h e r

C =$2,501 - $5,000 D =$5,001 - $15,000HI =$I,000,001 - $5,000,000 H 2 =Mo re t h an $ 5 , 000, 000L =$50,001 - $ 100,000 M =$100,001 - $25 0,000PI =$1,000,001 - $5,000,000 P2 =$5,000,001 o $25,000,000P4 =More t h an $ 5 0, 000,000S =As s e s s me nt T = C a s h M a r k e tW =Es t ima te d

E =$15,001- $50,000


18/20


Name of Person ReportingM U L L EN , G RA H A M C .


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , va l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descrip tion of A ssets In com e during Gross value at end Transact ions dur ing repor t ing per iod( including t rust assets) rep ortin g p erio d o f repo rting period

(1) (2 ) (1) (2) (I ) (2) (3) (4) (5 )Place "(X)" af ter each asset A m oun t Type (e.g., Va lue V a l u e Typ e (e .g ., Date Va lue Gain Ident i ty ofexempt f rom pr ior di sclosure Code 1 div., rent, C o de 2 M eth od buy, se l l , m m / dd/ y y C ode 2 C o d e I b uye ffse lle r( A - H ) o r i n t . ) ( J - P ) C ode 3 redempt ion) (J-P) (A-H) (if private( Q -W) t ransact ion)

239 .240.2 41 . T h o m b urg I n t l V a l ue F un d242.243.244.245 .246.247.

B uy 12/15/10 J( a d d l )

A Dividend B u y 12/10/10B uy 1 2 1 1 5 1 1 0( a d d l )

JJ

1. Incom e G ai n C odes :(See C ol um ns B 1 and D4)

2. Va lue Code s(See C ol um ns C 1 and D3)

3.V al ue Met h od C odes{ S e e C o l u m n C 2 )

A =$1,000 or lessF =$50,001 - $100,000J =$15,000 or lessN =$250,001 o $500,000P3 =$25.000,001 - $50,000,000Q =A ppra i sa lU = B o o k V a l u e

B =$1,001- $2,500G 35100,001 -$1,000,000K =$15,001 -$50,000O=$500,001- $1,000,000R =Cos t (Rea l E~a teOnly)V = O t h e r

C =$2 ,501- $5 ,000HI =$I,000,001- $5,000,000L =$50,001- $100,000P I =$1,000,001 - $ 5 , 0 0 0 , 0 0 0P4 =M or e tha n $50 ,000 ,000S =As s e s s me ntW ~ E s t i m a t c d

D =$5,001- $15,000H 2 =Mo re t h an $ 5 , 000, 000M=$100 ,001- $250 ,000P2=$5,000,001 - $25,000,000T = C a s h M a r k c t

E =$15,001- $50,000


19/20


N a m e o f P e r s o n R e p o r t in gM U L L E N , G R A H A M C o

Date of Report7/25 /2011

V III. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartof report.)

E x p l a n a t i o n o f l i n e i t e ms c o n t a i n e d i n P a r t V I I.

L i n e s 3 a n d 5 - S m i t h B a r n e y M o n e y M a r k e t f u n d i n c lu d e s d e p o s i t s in t h a t f u n d w h i c h t h e b r o k e r h a s m o v e d i n t o t h e i r B a n k D e p o s i t p ro g r a m.L i n e 28 - T h e I RA w a s e s t a b l i s h e d f r o m m y T h r i f t S a v i n g s P l a n , a l l c a p it a l g a i n s a n d d i v i d e n d s a r e r e - i n v e s t e d . P e r i o d ic a l l y , s ma l l n u mb e r s o f s h a r e s a r e s o l d t opay the t rus tees fees . " lqaese are repor ted . Thi s income i s aggregated and no t repor ted fo r each separa te fund .L i n e s 111 , 115 - T h e s e p o l i c i e s w e r e i n a d v e r t e n t l y o mi t t e d f r o m p r e v i o u s r e p o r t s . T h e l i n e e n t r i e s a r e a c c u r a t e f o r y e a r s 2005 - 2009 i n c l u s iv e a n d t h i s i s a s e l f -i n t i ta t e d a m e n d m e n t t o t h o s e r e p o r t s .L i n e 113 - T h i s p o l i c y w a s i n a d v e r t e n t l y o mi t t e d f r o m p r e v i o u s r e p o r t s . T h e l i n e e n t r y i s a c c u r a t e f o r t h e y e a r s 2008 a n d 2009 i n c l u s i v e a n d t h i s i s a s e l f - i n i ti a t ea m e n d m e n t t o t h o s e r e p o r ts .Line 147 - Terra Nova Royal ty Corp . Thi s sa l e t ransact ion i s t he resu l t o f t he sp l i t -up o f KHD Humbol t WEDAG. That secur i ty was exempt f rom repor t ing (seemy 2008 R e p o r t l i n e 16 3 a n d e x p l a n a t i o n ) a n d r e ma i n e d s o u n t i l t h e d i v i s iv e r e o r g a n i z a t i o n . T h e r e s u l ti n g s h a r e o f K H D r e m a i n s e x e m p t . T h e T e r r a N o v a R e a li s r e p o r te d h e r e a s a n e x c h a n g e a n d s a l e .

L i n e 14 3 - F r o n t i e r Co m m . T h e i n i t ia l t r a n s a c ti o n i s a s p i n o f f f r o m V e r i z o n f o l l o w e d b y a d d i t i o n a l p u r c h a s e a n d s a l e .L i n e 139 - Co n t a n g o O i l & G a s . T h i s c o mp a n y s p u n o f f C o n t a n g o O r e . T h e s p u n o f f s h a r e s a r e e x e m p t f r o m r e p o r t i n g .L i n e 18 2 - A R G E N T E X M i n i n g . T h i s i s a c t u a ll y a n a d d i t io n a l p u r c h a s e . T h i s h a s b e e n e x e m p t f r o m r e p o r t i n g b u t h a s n o w r e a c h e d a l e v e l t h a t re p o r t i n g i sr e qu i r e d .


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N a m e o f P e r so n R e p o r t i n gMULLEN, GRAHAM C.

Date o f Repor t7/25/2011

IX. CERTIFICATION.1 c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i ld r e n , i f a n y ) isa c c u r a te , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u to r y

p 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 l o s u r e.I f u rt h e r c e r ti f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p ro v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 73 5 3 , a n d Jud i c i a l C o n fe re n c e r e g u l a t i o n s .

Signature: S /GRAHAM C. M ULLEN

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A I 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 R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 04 )

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

Graham C Mullen Financial Disclosure Report for 2010

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