Loretta A Preska Financial Disclosure Report for 2010

8/3/2019 Loretta A Preska Financial Disclosure Report for 2010

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.... FINANCIAL DISCLOSURE REPORTFO R CAL E NDA R YE AR 2010 Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)1. Per son R epor ting ( las t name, f ir s t , middle in i t ia l) 3. Date of Report

Preska, Loret ta A. 03/31/2011

4 . T i t l e ( A r t i c l e H I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or part- time)Un i ted S ta tes Dis t r i c t Jud g e - A ct ive

7 . C h a m b e r s o r O f f ic e A d d r e s s5 00 Pear l S t ree t, Ro o m 222 0N e w Y o r k , N Y 1 0 0 0 7

2. Cour t o r Organiza tionUn i t ed S t a t e s D i s t r i c t C o u r t , S o u t he r n D i s t r i c t o f N ewY o r k

5a. Report Type (check appropriate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s of the in formation conta ined in th is Repor t and anymodif icat ions per taining thereto , it is, in m y o p i n i o n , in c o m p l i an c ewith appl icable l aws and regula t ions .

6. Repor ting Per iod01/01/2010

to12/31/2010

Reviewing Of f ice r D a t e _

I M P O R T A N T N O T E S : T h e ins t ruc tions accomp anying thi s form mu st be fol lowetL Com ple te al l part s ,checking the NON E box for each part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individua l only; see pp. 9-13 of f il ing instructions. )~-~ N O N E ( N o reportable positions.)

POSITION1 . V i c e P r e s i d e n t2. Co - Trus tee /Trus tee Trusts #7 and # 113. A d viso ry Bo ard Fed era l i s t So c ie ty , N ew Y o rk Ch ap te r

4. Trustee Fo rd h am U n ivers i ty5.

N A M E O F O R G A N I Z A T I O N / E N T IT YF o r d h a m L a w A l u m n i A s s o c i a t io n

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions.)~ NONE(No reportable agreements.)DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 14

N a m e o f P e r s o n R e p o r t i n gPreska, Loretta A.

D a t e o f R e p o r t03/31/2011

H I . N O N - I N V E S T M E N T I N C O M E . ~ R e p o r a n g i n d i v id u a l a n d s p o u s e ; see p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investment Income~ NO N E ( N o repor table non - inves tmen t income.)

DAT E S OU RCE AND T YPE

2.

3.

4.

INCOME( yo u r s , n o t sp o u se 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 any portion of the reporting year, complete this sectiot~( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a . . )D N O N E ( N o reportable non-investment income.)

DATE

1 . 2 0 1 02.3.4.

SOURCE AND TYPESel f E mp lo yed L aw yer

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

[~ N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

1 . F ed er al B ar C ou nc il F eb ru ary 21 -2 8, 2 01 0 K on a, H I2.3.4.5.

P U R P O S EBench/Bar M tg., CLE

ITEMS PAID OR PROVIDEDL o d g i n g , T r ave l , F o o d


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Name of Per son Repor tingPre sk a , L o re t t a A .

Date of Repor t0 3 /3 1 /2 0 11

V . G I F T S . a n c l u d e s ~osc ~ spouse a~d dependent children; see pp. 28-31 of fiIing instructions.)[] N O N E ( N o reportab le gifts.)

S O U R C E D E SCRI PT I ON1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o l s p o u s e a n d d ~ p e n d e n t children; see pp. 3 2 - 3 3 of f!ling instructions.)N O N E (No reportable liabilities.)

C R E D IT O R D E SC R IP T IO N1 .2.3.

4.5.

VALUE CODE


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N a m e o f P e r s o n R e p o r t i n gPreska, Loretta A.

D a t e o f R e p o r t03/31/2011

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; see pp. 34-60 of filing instruction~)N O N E (N o reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e du ring G ross valu e at end(including trust assets) rep ortin g p eriod o f re po rting pe rio d

(1) (2) (1) (2)

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

(1 ) (2) (3) (4)Place "(X)" after each asset Amount T y p e ( e . g ., V a lu e V alu e T y p e ( e . g ., D a t e Va l ue Gainexempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 M ethod bu y , sell, m m /dd /y y C ode 2 C o d e 1(A-H) o r i n t . ) ( J - P ) Code 3 redemption) ( J - P ) ( A - H )

( Q - W )

1. JP M organ Chase Bank A/C2. T r u s t # 1

3. -FIDO NY M unic ipa l MM F4. -Promissory Notes5. -S&P M ideap Deposit Receipts6. -FIDO Contrafund7. -American Growth Fund

8. -Black Rock G lobal Fund Allocation9. -Ivy Asset Strategy Fund1 0 . Trust #21 1 . -FIDO NY M unic ipa l MM F1 2 . -Promissory Notes

1 3 . -S&P M idcap Depository Receipts1 4 . -American Growth Fund1 5 . -Baron Growth Fund1 6 . -Black Rock Global Allocation Fund1 7 . -Ivy Asset Strategy Fund

A Interest

D In t . /D iv. N

D Int./Div.

So ld 0 3 /3 1 /10B uy 02/22/10B u y 02/22/10

So ld 0 3 / 3 1 / 1 0

B uy 02/22/10B u y 02/22 /1 0

JJJ

J

J

( 5 )I d e n t i ty o f

buyer / se l l er( i f p r iva te

t r ansac t i on)

1 . incom e G ain Codes: A = $ 1,000 o r less B = $ 1 ,001 - $ 2,500 C = $ 2,501 - $ 5,000(Se e C o lu m n s B I a ~d D4 ) F = $ 50,001 - $ 100,@ 0 G = $ 100,001 - $1 ,000,000 [-I i =$t,000,00l - $5,000,000

2. Value Codes J =$15,000 or less K =$I 5,00I - $50,000 L =$50,001 - $100,000(S ee Columns CI and D 3 ) N =$250,001 - $ 500,000 O =$ 500,001 - $1 ,000,000 P1 =$1,000,001 - $5,000,000P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q = Appr a i sa l R =Cost (Real Es tate O~ly) S =Assessment(Se e C o htm a C 2 ) U = B o ok Valu e V =Othe r W =Es t im a ted

D = $ 5 ,001 - $ 15 ,0001 - 1 2 = M o r e t h a n $ 5 , 0 0 0 , 0 0 0M = $ 100,001 - $ 25 0,000P2 =$5,000,001 - $25,000,000T -~ 2as h Mar k e t

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gPreska, Loretta A.

D a t e o f R e p o r t03/31/2011

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 m e , value, tra,sac~ions (Includes those of spollse and dependent children; see pp. 34-60 of J-ding instructions.~~ NONE incom e, assets, or transactions.)N o reportableA. B. C.

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 n g Gross value at en d( inc lud ing t rus t a s se ts ) r epor t i ng per i od 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 nt T y p e (e .g ., V a l u e Value

e 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 1 div., rent~ 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 )

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

redemption)

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

(2) (3) (4) (5 )D a t e Va l ue Gain Identity of

m m/d d/y y C od e 2 Code 1 buyer/ sel ler( J - P ) ( A -H ) ( i f p r i v a t et r a n s a c t i o n )

1 8 . Trust #3 C Dividend N T1 9 . -S&P M idcap Deposit Receipts

20 . -FIDO NY M unic ipa l MM F2 1. - FI DO Co nt rafu n d22 . -Eaton Vance LG Cap Fund2 3. - Ro y ce T o ta l R et ur n Fu n d24 . -Tweedy Browne Global Fund25 . -Black Rock G lobal Allocation Fund B uy 02/22/10 K26 . -Ivy Asset Strategy Fund B uy 02/22/10 K

27 . Trust #4 D Dividend O T2 8 . - S& P M i d c ap D e po si t R ec ei pt s29 . -FIDO NY M unic ipal MM F

3 0. -B ar on G ro w th Fu nd S o l d 02/22/10 J3 1. - Am e ri ca n G r ow t h F u nd32 . -Eaton Vance LG Cap Fund33 . -Royce Total Return Fund S o l d 02/22/10 J34. -Tweedy Browne Global Fund S o l d 02/22/10 J

1 . l nc ome Gain Codes : A =$1,000 or less B = $ 1,001 - $ 2 ,500 C = $ 2,501 - $ 5,000 D = $ 5 ,001 - $ 15 ,000(Se e C o lu m n s B 1 and D4) F =$ 50,001 - $ 100,000 G =$ 100,001 - $1 ,000,000 H1 =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. V alu e C odes J = $ 15,000 o r le ss K = $ 15,001 - $ 50,000 L = $ 50,00l - $ 100,000 M =$100,001 - $250,000(Se e C o lu m n s C I and D3) N =$250,001 - $ 500,000 O =$ 500,001 - $1 ,000,000 P 1 = $ 1, 00 0 ,0 0 1 - $ 5, 00 0 ,0 0 0 P 2 = $ 5, 00 0 ,0 0 1 - $ 2 5, 00 0 ,0 00

P3 ---$25 ,000,001 - $50,000,000 P4 =More than $50,000,0003 . V alue Meth od Codes Q =Appraisal R =Cost (Real Es tate Only) S = As s es s men t T = C a s h M a r ke t(See C o lu m n C 2) U = B oo k Valu e V =Othe r W = E s t imated

E = $ 15 ,00l - $ 5 0,000


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FINANCIAL DISCLOSURE REPORTPage 6 of 14 Ia m e o f P e r s o n R e p o r t in gPreska, Loretta A. D a t e o f R e p o r t03/31/2011

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 m e , v a lu e , tr a n s a c t io n s a n c l u d e s t h o s e o ls p o ~ s e ~ n d dependent children; see p p . 3 4 - 6 0 of fding instructions.)N O N E (N o reportable income, assets, or transactions.)

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 n g( inc lud ing t rus t a s se ts ) r e p o r t in g p e r i o d

(1) (2)Place "(X)" after each asset A m o u n t T y p e ( e . g . ,

e 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 div, rent,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(1 ) ( 2 )V a lu e V a lu eC o d e 2 M e t h o d

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

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

( 1 ) (2) (3) (4) ( 5 )T y p e ( e . g ., D a t e V a lu e Gain Identity of

buy, sel l , mm]dd/yy Code 2 C o d e 1 buyer/ sel lerredemption) ( J - P ) (A-H) ( i f p r i v a t e

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

35 . -B l ac k R o c k G l o b a l A l l o c a t i o n F u n d B u y

36 . - Iv y A s s e t S t r a t e g y F un d B u y

37 . T r u s t #6 B D i v i d e n d L T

38 . - N W M L W h o l e L i fe

39 . T r u s t #7 E D i v i d e n d N T

40 . -Ev l i c o A d ju s t ab l e L i f e

41 . - N E M L A n n u i ty



44 . T r u s t #8 N o n e N T45 . -S u n L i f e Un i ve r sa l L i f e

46 . - N Y L U n i v e r s a l L i fe

47 . T r u s t #9 N o n e P1 T

48 . -S u n L i f e Un i ve r sa l L i f e

49 . I R A s # I -6 ( s ee I R A s # 9 an d 1 0 )

50 . L a w F i r m R e t i r e m e n t A / C D D i v i d e n d P1 T

51 . - F i d e l i ty Co n t r a f un d

0 2 /2 2 /10 K0 2 /2 2 /10 K

L Inc ome Gain Codes : A =$1,000 or less B =$I ,001 - $2,500 C =$2,501 - $5,000(S ee C olu m ns B l a nd D4 ) F = $5 0,0 01 - $ 10 0,0 00 G =$ 10 0,0 01 - $ 1,0 00 ,0 00 H 1 = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00

2. V alue Codes J = $ 15,000 or less K = $ 15,001 - $50,000 L = $ 50,001 - $ 100,000(Se e C o lu m n s C I a n d D3) N =$250,001 - $500,000 O =$ 50 0,0 01 - $ 1,0 00 ,0 00 P 1 = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00

P3 =$25,000,00~ - $50,000,000 P4 =More than $50,000,0003 . V alu e M ethod C odes Q =A ppraisa l R =Cost (Real Es tate Only) S = As s es s men t(Se e C o lu m u C 2 ) U =B o o k Va lu e V =Othe r W = E s t imated

D = $ 5 ,001 - $ 15 ,000H2 =More than $5,000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T =C a s h M a rke t

E =$15,001 - $50,000


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F I N A N C IA L D I S C L O S U R E R E P O R TPage 7 of 14

N a m e o f P e r so n R e p o r t in gPreska, Lorctta A.

D a t e o f R e p o r t03/31/20l 1

V I I . I N V E S T M E N T S a nd T R U S T S - i ........ r u e , t r a n s a c t i o n s (tnclu~s those o~ " spo ..... d e p e n d e n t chi ldren; see p p . 3 4 - 6 0 of J~ding ins t ruc t ions .)~ NONE income, assets, or transactions.)eportableA. B. C. D.

Description of Assets Income dur ing Gross va lue a t end Transactions during reporting period(including trust assets) reporting period o f r e p o r t i n g p e r i o d .

(1) (2) (1) (2) ( 1 ) (2) (3) (4) ( 5 )Place "(X)" after each asset Amount T y p e ( e . g ., Value V a lu e T y p e ( e . g . , D a t e V a lu e Gain I d e n t i t y o f

exempt from prior disclosure Code 1 d i v . , r e n t , Code 2 Method buy, sell, m m!d d/yy Co de 2 C o d e 1 buyer/seller( A - H ) o r i n t . ) ( J - P ) Code 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 ) t r a n s a c t i o n )

52 . -Ba ron Growth Fund53 . -F ide l it y Cash Rese rves54 . -Royce T o ta l Re tu rn Fund55 . - V a n g u a r d M i d c a p I n d e x F u n d B uy 0 4 /19 /10 K56 . Law Firm C apita l A~ C an d In t. in A /R N o ne PI W57 . Forrest Ci ty Investment Par tners A : D ist r ibut ion J W58 . NYS Munic ipa l Bonds D Interest M T

59 . NYC Munic ipa l Bonds D Interest M T60 . Ci t ibank A ccoun t s D Interest P1 T

61 . FL Munic ipa l Bonds E Interest O T R e d e e m e d 08/02/10 K(part)62 . M& T Bank Accoun t s A Interest M T63 . LA Munic ipa l Bonds C Interest L T64 . T X M unic ipa l Bonds E Interest O T65 . SC Mun ic ipa l Bonds B Interest K T66 . WA M unic ipa l Bonds E Interest N T R e d e e m e d 12/11/10 K( p a r t )67 . M N M u n i c i p a l Bo n d s B Interest K T68 . PA Mu nic ipa l Bonds D Interest M T

1 . I n co m e Ga in C ~e s : A =$1,000 or less B ---$1,001 - $2,500 C = $2,501 - $ 5,000 D = $ 5,001 - $15,000(S ee Co la n~ s B 1 a nd D4 ) F = $5 0,0 01 - $ 10 0,0 00 O =$ 10 0,0 01 - $ 1,0 00 ,0 00 H 1 = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 H2 =More than $5,009,~)0

2. Value Co~les ] =$15,00~ or less K --$15,001 - $50,000 L =$50,001 - $100~000 M =$100,001 - $250,000(S ee Co lu m ns C 1 a nd D3 ) N =$ 25 0,0 01 - $ 50 0,0 00 O =$500,001 - $1,000,000 P1 =$1,000,001 - $5 ,000,000 P 2 - - - $ 5 , 0 0 0 , 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003 . V alue Meth od Codes Q =Appraisal R =Cost (Real Es tate O~ly) S = As s es s men t T =C a s h M a rke t( S ee Co lumn C2) U = Book V alue V = O th er W = E s t imated

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 8 of 14 Iam e of Pe r son R epor t ingP r e s k a , L o r e t t a A . D a t e o f R e p o r t0 3 /3 1 /2 0 11

V I I . I N V E S T M E N T S a n d T R U S T S - in c o ~ , v . t. ~ . n s ~ c t i o . s a .c t n d ~ t h o ~ e o S s e o . ~ e ~ n a dependent children; see p p . 3 4 - 6 0 of filing instructions.)N O N E (N o reportable income, assets, or transactions.)

A. B. C.D e s c r i p t io n o f A s s e t s Income dur ing G r o s s v a l u e a t e n d( in c lu d in g tru s t a ss e ts ) r e p o rt 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)

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r io d( 1 ) (2) (3) (4)

Place "(X)" after each asset Amount T y p e ( e . g ., V alu e V a lu eexempt fiom prior disclosure Code 1 d i v . , r e n t , C ode 2 M ethod( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

69 . IL Mun ic ip a l Bo n d s E Interest O T70 . MA Mu nic ipa l Bonds D Interest M T

71 . AL Munic ipa l Bonds D Interest M T72 . K Y M u n i c ip a l B o n d s C Interest L T73 . H I Munic ipa l Bonds C Interest L T74 . I N Munic ipa l Bonds D Interest N T75 . W I M u n i c ip a l B o n d s D Interest M T76 . AK Munic ipa l Bonds C Interest L T77. MI Munic ipa l Bonds D Interest M T

78 . S D M u n i c i p al B o n d s C Interest L T79 . In te g ro C o m m o n S to c k N o n e N T80 . D E M u n i c i p a l B o n ds C Interest L T81 . N V M u n i c ip a l B o n d s B Interest L T82 . Tr u s t #1 0 F D i v i d e n d P1 T83 . - S & P M i d c a p 4 0 0 S P D R S84 . - FID O M un cip al M MF85. - E a t o n V a n c e L G C a p

Type (e.g., D a t e V a l u e G ainbuy , se l l , m m /d dly y C od e 2 C o d e 1

r e d e m p t i o n ) ( J - P ) ( A - H )

Redeemed 12/06/10(part)

( 5 )I d e n t i ty o fb u y e r / s e l l e r

( i f p r i v a t et r a n s a c t i o n )

1 . Incom e G ain C odes: A = $ 1 ,000 o r less B = $ 1 ,001 - $ 2 ,500 C = $ 2,501 - $ 5,000 D =$5,001 - $15,000(Se e C o lu m n s B 1 a n d D4 ) F =$50,001 - $100,000 G = $ 100,001 - $ 1 ,000,000 H I = $ 1 ,000,001 - $ 5 ,000,000 I-J2 =More than $5,000,000

2. Value Codes J = $ 15,000 o r le ss K = $15,001 - $ 50,000 L = $50,001 - $ 100,000 M = $ 100,00l - $ 25 0,000(Se e C o lu n m s C I a n d D3) N =$ 250,001 - $500,000 O =$500,001 - $ 1,000,000 P1 =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 --$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q = Appr a i s al R = C os t ( R ea l E s t a t e O n ly ) S ~ As s es s men t T =C a s h M a rke t(Se e C o lu m a C 2 ) U =B o o k Va lu e V =Othe r W = E s t imated

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


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D a t e o f R e p o r t03/31/201 !

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 , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fdlng instructions.)N O N E (N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e du ring G ross valu e at end Transactions during reporting period(including trust assets) reporting period of reporting period

(1) (2) (1) (2) (1 ) (2) (3) (4) (5 )Place " (X )" a~er each asset Am ount T y p e ( e . g ., V alu e V alu e T y p e ( e . g ., D a t e Va l ue Gain Identity of

exempt from prior disclosure Code 1 d i v . , r e n t , C ode 2 M ethod buy, sel l , m rrd dd /y y C od e 2 C o d e 1 buyer/seller(A-H) o r i n t . ) ( J - P ) Code 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 ) t r a n s a c t i o n )

86 . - V a n g u a r d I n t e rm e d i a t e T a x E x e m p t B o n d So ld 01 /25 /1 0 NF u n d87. Sold 07/04/10 M

88. - V a n g u a r d L i m i t ed T e r m B o n d F u n d So ld 01 /22 /1 0 O

89 . So ld 07/04/10 M

90. -P imco T ota l Re tu rn Institutional F u n d B u y 01 /22 /1 0 O91 . So ld 07/21/10 L92 . - MS G lo b a l L o n g Sh o r t Fun d B u y 07127/10 O93 . - Temp le to n G lo b a l Fun d B u y 1 I123/I0 N94 . B u y 11/24/10 M

95 . D C M u n i c i p a l B o n ds D Interest L T Matured 08116/10 L96 . OH Munic ipa l Bonds E Interest N T97 . Iro n sho re C o m m o n S to c k N o n e M T98 . Trust #11 B D i v i d e n d M T99 . - S & P M i d c a p 4 0 0 S P D R S100. -Fidel i ty MMF

101. - E a t o n V a n c e L G C a p F u n d102. - Temp le to n G lo b a l Fun d B uy 11/24/10 K

E

D

DC

1 . Incom e G ain C odes: A = $ 1 ,000 o r less B = $ 1 ,001 - $ 2 ,500 C = $2,501 - $ 5,000 D =$5,001 - $15,000(Se e C o lu m n s B I a n d D4 ) F =$50,001 - $100,000 G -~100,001 - $1 ,000,000 H1 =$1,000,001 - $5,000,000 H 2 = Mor e th an $ 5 ,000,000

2 . Va lu e C o d e s J =$15,000 or less K -~;15,00I - $50,000 L =$50,001 - $100,000 M = $ 100,001 - $ 25 0,000(Se e C o lu m n s C 1 a n d D3) N = $ 25 0,001 - $ 5 00,000 O =$500,001 - $1,000,000 P1 =$1,000,001 - $5,000,000 P2 =$5,000~001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q = Appr a i sa l R = C os t ( R ea l E s t a t e O n ly ) S = As s es s men t T =C a s h M a rke t(Se e C o lu m n C 2 ) U =B o o k Va lu e V =Othe r W = Es t im a ted

E = $ 15 ,001 - $ 5 0,000


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D a t e o f R e p o r t03/31/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, v.l~, ~.ns.caons ([ncludes those of spouse and dependent children; seepp. 34-60 of fding instrucllons.)N O N E (N o 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 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 nc l udi ng t r us t asse t s) r epor t i ng per i od 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 T y p e ( e .g . , V a lu e V a lu e

e x e m p t f r o m prior disclosure C o d e 1 di v . , r en~ C o d e 2 M e t h o d( A - H ) or i n t . ) ( J - P ) C o d e 3( Q - W )

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

(1 ) (2) O) (4)Type (e.g., D a t e V a l u e Gai nbuy , se l l , m m / d d / y y C o d e 2 C o d e 1

r e d e m p tio n ) (J -P ) ( A - H )

1 03 . W es te rn A sse t G o vern m en t MMF A D i v i d e n d M T104. Trus t #12 C D i v i d e n d N T

1 05 . - F id e l ity MM F1 0 6 . -S P D R S & P M i d c a p E T F B u y ! 04/19/10 M

107. Sold 11/30/10 J1 0 8 . - T e m p l e t o n G l o b a l B o n d F u n d B u y 11/23/10 L

109 . -B lack Rock Global Al locat ion Fund B uy 11/23/10 M1 1 0 . - Ivy A sse t S t ra teg y Fun d B u y 11/23/10 M

1 1 1 . N E M u n i c i p a l B o n d s B Interest L T

1 1 2 . I R A # 7 A D i v i d e n d K T1 1 3 . - P i m c o T o t a l R e t u r n F u n d B u y 09/07 /1 0 J1 1 4 . - T w e e d y B r o w n e G l o b a l V a l u e F u n d B uy 0 9/0 7/10 J1 1 5 . -S & P M i d c a p 5 0 0 S P D R S1 1 6 . - S & P M i d c a p 4 0 0 E T F117. -Go ver n men t M M F1 1 8 . IR A # 8 A D i v i d e n d J T

( s )I d e n t i ty o f

buyer / se l l er( i f pr i vat e

t r ansac t i on

1 1 9 . - S & P M i d c a p 5 0 0 E T F

I . Income Gain Codes: A = $ 1 ,000 o r l e s s B = $ 1 ,001 - $ 2 ,500 C = $ 2,501 - $ 5,000 D = $ 5 ,001 - $ 15 ,000(Se e C o lu m a s B 1 a n d I M ) F =$50,001 - $100,000 O = $ 100,001 - $ 1 ,000,000 H1 =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2 . Valu e C odes J =$ 15,00 0 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M = $ 100,001 - $ 25 0,000(Se e C o lu m n s C I a n d D3) N = $ 250,001 - $ 500,000 O = $500,001 - $1 ,000,000 P1 =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q = Appr a i sa l R = Cos t ( R ea l E s t a t e O My ) S = As s es s men t T - -C a s h M a rke t(Se e C o lu m n C 2 ) U =B e o k Va lu e V -~)ther W ~Es t im a ted

E =$15,001 - $ 5 0 , 0 0 0


11/14

F I N A N C I A L D IS C L O S U R E R E P O R TPage 11 of 14N a m e o f P e r so n R e p o r t i n g

Preska, Loretta A.D a t e o f R e p o r t

03/31/2011

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 ~ , v a lu e , ~ r a n s ~ c t i o n s a n e t u d e s th o s e o i s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of fding instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income du ring Gross value at end Transactions during reporting period(including trust assets) re po rtin g p erio d o f rep ortin g pe rio d

(1) (2) 0) (2 ) 0) ( 2 ) ( 3 ) ( 4 ) ( 5 )Place "(X)" aider each asset A m o u n t T y p e ( e . g ., V alu e V alu e T y p e ( e . g ., D a t e V a lu e Gain I d e n t i t y o f

exempt f rom pr ior d isc losure C o d e 1 d i v . , r e n t , Code 2 Method buy, sel l , m m /d d! yy C od e 2 C ode I bu y er/seller( A - H ) o r i n t . ) ( J - P ) Code 3 redemption) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

1 2 0 . - S& P M i d c a p 4 0 0 E T F121. - M M F

122. CO Munic ipa l Bonds D Interest L T B u y123. GA Mu nic ipa l Bonds B Interest L T B uy 0 1/12 /10124. ND Munic ipa l Bonds B Interest L T B u y125. I RA # 9 E Divid en d P1 T126. -Fidel i ty Contrafimd B u y 0 6/10 /10127. -F ide l i ty U S Gove rnm ent Rese rves So ld 0 7/2 1 /10128. -Ba ron Growth Fund B u y ~ 06/10/10

12 9 . - Black Ro ck G lo b a l A l lo ca t io n Fun d B uy 01 /22 /1 0130. B uy 02/07/10131. -P imco T ota l Re tu rn Fund B u y 0 1/2 2 /10132. B u y 0 6/10 /10

13 3 . B uy 07 /21 /1 0134. - V a n g u a r d M i d c a p F u n d B u y 0 4 /19 /10135. -SPDR M idcap 40 0 ET F B uy 06 /1 0 /1 0136. - E a t o n V a n c e L G C a p F u n d B u y 0 6/10 /10

L

L

L

K

J

K

P1NM

LLL

K

K

1 . Inc ome Gain Codes : A -~$1,000 or less B = $ 1 ,001 - $ 2 ,5 00 C - - - - - - - - - - - $ 2 , 5 0 1 - $ 5 , 0 0 0( S ee Co lumns B1 and D 4) F =$50,001 - $ 100,000 G =$100,001 - $1 ,000,000 H1 =$1,000,001 - $5,000,000

2. Value Codes J = $ 15 ,009 o r l e s s K = $ 15 ,00I - $ 50,00 0 L = $50,001 - $ 100,000(Se e C o lu n m s C 1 a n d D3) N = $ 25 0,00l - $ 5 00,000 O = $ 5 00,00I - $ 1 ,000,000 P1 =$1,000,001 - $5,000,000

P3 =$25,000,001 - $50,000,000 P 4 = Mo~ e ~ a~ $ 5 0,000,0003 . V alue Meth od Codes Q =Appraisal R =Cost (Real Es talz Ordy) S = As s es s meo t(Se e C o lu a m C 2 ) U = Book V alue V =Othe r W = E s t imated

D =$5,001 - $15,0001 - 1 2 = M o r e th a n $ 5 , 0 0 0 , 0 0 0M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T =C a s h M a rke t

E = $1 5,0 0 t- $50 ,0 0 0


12/14


N a m e o f P e r s o n R e p o r t in g I D a t e o f R e p o r tPre sk a , L o re t t a A . I 03/31/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income, v a l u e , t ..... tlons (Includes those of sp ......d dependent children; see pp. 34-60 of fdlng instruc~ion~)N O N E (N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income du ring Gross value at end Transactions during reporting period(including trust assets) reporting period of reporting period

(1) (2) (1) (2) (1 ) (2) (3) (4) ( 5 )Place "(X)" aider each asset Amount T y p e ( e . g ., V alu e V a lu e T y p e ( e . g . , D a t e Va l ue Gain Identity of

exempt from prior disclosure Code 1 d i v . , r e n t , C ode 2 M ethod buy, sel l , m m] dd /y y C od e 2 C o d e 1 buyer/ sel ler(A-H) o r i n t . ) ( J - P ) C ode 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 ) t r a n s a c t i o n )

1 3 7 . - A m e r i c a n G r o w t h F u n d o f A m e r i c a

1 3 8 . - I vy A sse t S t r a t eg y F u n d

139.

1 4 0 . - R o y c e T o t a l R e t u r n F u n d

1 4 1 . - T w e e d y B r o w n e G l o b a l V a l u e F u n d

1 4 2 . I R A # 1 0

1 4 3 . - S P D R M i d c a p 4 0 01 4 4 . - F ID O U S G o v e r n m e n t R e s e r v e s

1 4 5 . - B a r o n G r o w t h

1 4 6 . - A m e r i c a n G r o w t h F u n d o f A m e r i c a1 4 7 . - T w e e d y B r o w n e G l o b a l V a lu e F u n d

1 4 8 . - V a n g u a r d M i d c a p I n d e x F u n d

1 4 9 . - I vy A sse t S t r a t eg y F u n d

1 5 0 . B l O C L L C

D D i v i d e n d O T

B uy 06 /1 0 /1 0 KB uy 01 /25 /1 0 NB uy 02/1 7 /1 0 NB u y 06 /1 0 /1 0 KB u y 06 /1 0 /1 0 K

B u y 04/19/10 M

S o l d 06/10/10 J

Dist r ibu t ion K

B u y 04/19/10 K

B u y 06/10/10 K

B u y 11/16/10 K

1 . Incom e G ain Codes : A = $ 1 ,000 o r less B = $ 1 ,001 - $ 2 ,500 C = $ 2,501 - $ 5,000 D = $ 5 ,001 - $ 15 ,000(S ee Co lu mn s 1 31 an d D 4) F =$ 50 ,0 01 - $ 10 0,0 00 G = $ 100,001 - $ 1 ,000,000 H1 =$1,000,001 - $5,000,000 H 2 = Mor e th an $ 5 ,000,000

2. Value Codes J = $ 1 5 , 0 0 0 o ~ " l e s s K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,00I - $250,000(Se e C o lu m n s C 1 a n d D3) N = $ 250,001 - $500,000 O = $500,001 - $1 ,000,000 P1 =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 = $25,000,001 - $ 50,000,000 P 4 = M ore thm a $ 50,000,000

3 . V alu e M ethod C odes Q =A ppraisal R =C o s t (Re a l Es ta te O~y) S = As s e s sm e n t T =C a s h M a rke t( S ee Co l t unn C2) U =B o o k Va lu e V =Othe r W = E s t imated

E =$15,001 - $50,000


13/14

F I N A N C IA L D I S C L O S U R E R E P O R TPage 13 of 14

N a m e o f P e r s o n R e p o r t i n gP r esk a , L o r e t t a A .

D a t e o f R e p o r t03/31/2011

V I I I . A D D I T IO N A L IN F O R M A T I O N O R E X P L A N A T I O N S . (][ndicate part of report)On o r a b o u t 5 / 2 6 / 1 0 , th e e n t i re c o n t e n t s o f IR A s # 1 , 2 , 3 a n d 5 w e r e c o n v e r t e d t o IR A # 9 .O n o r a b o u t 5/26/10, the e n t i r e c o n t e n ts o f IR A s # 4 a n d 6 w e r e c o n v e r t e d t o IR A # I0 .On o r a b o u t 6 / 2 / 1 0 , p a r t o f th e l a w f m n r e t i r e m e n t a c c o un t ( l i n e 5 0 ) w a s c o n v e r t e d t o ] R A # 9 .F i d e l t ii y U S T M M F ( l in e 1 2 4 f r o m 2 0 0 9 F D R ) w a s a p p a r e n t l y r e - n o m i n a t e d a n d / o r m e r g e d w i t h W e s t e r n A s s e t G o v e r n m e n t M M F .L i n e s 1 2 2 a n d ! 2 4 - - d a t e s a r e 1 2 / 1 0 / 0 9 a n d 1 2 / 2 4 / 0 9 , r e s p e c t i v e ly .


14/14


Name o f Person Report ingP r e s k a , L o r e t t a A .

Date of Repor t0 3 /3 1 /2 0 11

IX. CERTIFICATION.

I c e r t i fy t h a t a l i in 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 in 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 l d r e n , if a n y ) i sa c c u r a t e , t r u 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 t a t u to r yp r o v i s io n s p e r m i t t i n g n o n - d i s c l o s u r e .

I f u r t he r c e r t i fy t h 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 t s 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 ncompf iance wi th the p rov is ions o f 5 U .S.C . app . 501 e t . seq . , 5 U .S.C . 7353, and Jud ic ia l Conference r egu la t ions .

Signature: $/Loretta A. Preska

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 FU 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 I LA 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 0 4 )

Committee on Financial DisclosureA d m i n i st r a ti v e O f f i c e o f t h e U n i te d S t a te s C o u r t sSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Loretta A Preska Financial Disclosure Report for 2010

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