I AO 10 Rev. 1/2011 FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010 Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 5~§ 101-111) 1. Person Reporting (last name, first, middle initial) MCAUL1FFE, STEVEN J. 4. Title (Article IIl judges indicate active or senior status; magistrate judges indicate full- or p a r t - t im e ) U.S. DISTRICT JUDGE (ACTIVE) 7. Chambers or O ffice Address WARREN 13. RUDMAN COURTHOUSE 55 PLEASANT STREET, ROOM 416 CONCORD, N.H. 03301 2. Court or O rganization U.S. DISTRICT COU RT - N.H. 5a. Report Type (check appropriate type) ] Nomination, Date [] Initial [] Annual [] Final 5b. [] A ended Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date 3. Date of Report 05/I 1/2011 6. Reporting Period 01/01/2010 to 12/31/2010 IMPORTANT NOTES: 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. POS IT[O N S. (xepo,,Z,,g ~,aivu,,t o,~y; se, pp. 9-I3 of filing instructions.) D NONE (No reportablepositions.) POSITION NAME OF ORGANIZATION/ENTITY 1. Fellow New Hampshire Bar Foundation 2. Director Challenger Center for Space Science Education 3. Trustee Trust # 1 4. Shareholder (50 percent) Pleasant Lake Air, Inc., L L C 5. Partner Pinchers’ Investment Group (Neighborhood Investment Club) I I . AG REEM ENTS. (geporti.g ~.aivia,,t on~y; seepS ,. I4-16 of filing instructions.) [~ ] NONE (No reportable agreements.) DATE PA RTIES A ND TERMS McAuliffe Steven J.
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Steven J McAuliffe Financial Disclosure Report for 2010
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8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
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 , valae, transactions (Includes tltose of spouse and dependent children; seepp. 34-60 of filing instructions.)
D NONE(No reportable income, assets, or transactions.)
D e sc r i p t i o n o f A sse t s
( i n c l u d i n g t r u s t a s s e t s )
Place "(X)" after each asset
exempt from prior disclosure
1 . N O W A c c t M e r r im a c k C t y . S av i n g s B a n k
2. I R A A m e r i c a n F u n d s : In v C o o f A m e r ic a
3. 1 R A A m e r i c a n F u n d s : W a s h M u t . I n v F u n d
4. E x x o n M o b i l C o r p .
5. U B S R e t i r e m e n t M o n e y F u n d
6. I R A F r a n k l i n T e m p l e t o n F o r . F u n d
7. P i n c h e r s ’ In v e s t m e n t G r o u p P t n s h p S h a r e
( S ee P a r t V II I )
8. -D e n t s p ly In tn l I nc .
9. - A i r P r o d u c t s & C h e m .
1 0 . - W h i t i n g P e t r o l eu m C o r p .
II. - D i a g e o ( D E O )
12 . - B H P B i l l it o n L t d A D R
1 3 . - Gi l e a d Sci e nce s I nc .
14 . - Q u e s t D i a g n o s t i cs
15 . - S u n t e ch P o w e r H l d g s .
16 . - C D N N a t l R w y C o .
Income during G r o ss va l ue a t e n d
r e p o r t in g p e r i o d o f r e p o r t i n g p e r i o d
( l) (2 ) (t) (2)
A m o u n t Type (e.g., V a lu e V a lu eC o d e 1 div., rent, C o d e 2 M e th o d
( A - H ) o r in t .) ( J - P ) C o d e 3
( Q - W )
A Interest J T
B Dividend L T
A Dividend J T
A Dividend J T
A I n t e r e s t J T
B Dividend L T
A Dividend J T
T r a n s a c t i o n s d u r i n g r e p o m n g p e r i o d
(l) (9) (3)
Type (e.g., Da t e Value
b u y , s e l l , m m /d d !y y C o d e 2
redempt ion) (J-P)
Sold 06/06/10 J A Mkt
Sold 06/I 1/10 J A Mkt
( 4 ) ( 5 )
Gain Id entity of
Code 1 buyer/se l ler
(A-H) ( i f p r i v a t e
t ransact ion)
17. - E l P a s o C o r p .
1. Income Gain Codes: A = $1 , 000 o r l ess B =$1,001 - $2 ,5 00 C =$2 ,5 01 - $5 .000 D =$5,001 - $15,000
(S ee C ol um ns B I and D 41 F =$50.001 - $100.000 G = $1 00 .001 - $1 , 000 , 000 HI =$1,000,001 - $5 ,000,000 H 2 = Mo re t h an $5 , 000 , 000
2. V al ue C odes J = $1 5.000 o r l ess K = $15,001 - $ 50,000 L = $ 50,001 - $ 100,000 M -$100,001 - $25 0,000
(S ee C olum ns C I an d D3) N = $250 ,001 - $ 500,000 O =$500,001 - $ 1 ,000,000 P I = $ 1 ,000,001 - $ 5,000,000 P2 =$5,000,001 - $25,000,000
P 3 =$ 25,000,001 - $50,000 ,000 P 4 = M ore th an $50 ,000 ,000
3 . V al ue Met h od C odcs Q = A ppra i sa l R =Cos t ( Re a l Es t a t e O nly) S = A s s e s s m e n t T = C a s h M a r k e t
(S ee C ol unm C 2) U =Book Va luc V = O t h e r W =Es t ima te d
E = $1 5, 001 - $50 , 000
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S -i.co,.e, v . l u e , transactions (Includes those of spouse and de penden t children; see pp. 34-60 of fi ling instructions.)
D N O N E (No reportable income, assets, or transactions.)
A. B. C.
Descr ipt ion of Assets In com e during Gross value a t end
(includ ing trus t a sse ts) repo rting period of reporting period
(1) ( 2 ) (1) (9)
Place "(X )" after each asset A m oun t Type (e.g., V alue V a lueexempt f rom pr ior di sclosure C ode I div., rent. C ode 2 M e th o d
T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
(1 ) (2) (3) (4) ( 5 )
Type (e.g., Date Va lue Gain Ident i ty of
buy, se l l , m m / dd] y y C ode 2 Code 1 b uy e r / s e l l e r
redempt ion) (J-P) ( A - H ’ ) (if private
t ransact ion)
1 8 . - 3 M C o .
1 9 . - A p p l e ( A A P L )
20 . - F o r d M o t o r C o .
21 . - F L I R S y s t e m s
22 . - F S U M F
23 . -Te r re x C orp .
24 . - A c t i v is i o n B L Z I n c .
25 . - A t w o o d O c e a n i c s I n c .
26 . - C l a r u s C o r p .
27 . -C oa c h Inc .
28 . - C o m i n g I n c .
29 . - D o l b y L a b I n c .
30 . - G e n e r a l M o t o r s
31 . - H e w l e t t P a c k a r d C o .
32 . C V S C a r e m a r k C o r p .
33 . Praxair Inc .
34 . I R A I S h a r e s R u s s e l lF u n d
(A-H) o r i n t . ) ( J - P ) C ode 3
(Q-W)
A Dividend
A Dividend
A Div id e n d
Sold
Sold
B uy
B uy
B uy
B uy
B uy
B uy
B uy
Bu y
T
S o l d
T
06/1 1 /1 0 J A M kt
03 /1 2 /1 0 J A M kt
1 0 / 1 8 / 1 0 J M kt
03 /1 2 /1 0 J M kt
05/1 4 /1 0 J M kt
05/14/10 J M kt
05/1 4 /1 0 J M kt
10/18/10 J M kt
11/18/10 J M kt
10/18/10 J M kt
02/17/10 K D M kt
I. Incom e G ai n C odes:
IS ee C ol unm s B 1 and D 4)
2. V al ue C odes
( Se e Columns C I a nd D3)
3.V al ue Mct h od C od~s
I S c e C o l u m n C 2 )
A=$1,000 or l e s s
F = $50 .001 - $1 00 .000
J =$15,000 orlcss
N = $250 , 001 - $500 , 000
P3 =$25,000,001- $50,000.000
Q =Appraisal
U ~Book V al ue
B =$1,001- $2 ,5 00
G = $ 1 00 , 001 - $1 , 000 , 000
K =$15 ,001- $5 0.000
O =$5 00,001 -$1 ,000,000
R =Cos t ( Re a l Es t a t e O nly)
V = O t h e r
C =$2,501 o $5,000
HI =$1,000,001- $5 ,000,000
L =$5 0,001- $100,000
PI =$1 ,000,001 -$5 ,000,000
P4 = Mo re t h an $50 , 000 , 000
S = A s s e s s m e n t
W = E s t i m a t e d
D=$5 ,001- $15 ,000
H 2 = Mo re t h an $5 , 000 ,000
M=$I00,001 - $25 0,000
P2 = $5, 000 , 001 -$25 , 000 ,000
T = C a s h M a r k c t
E =$15 ,001- $5 0,000
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
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 , 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.
D e s c r i p ti 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 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
( 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
(l ~ (2 ) (1) (2) (l) (2) (3) (4)
Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., Da te V a lu e Ga in
exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d b u y , s e ll , mm/dd/yy C o d e 2 C o d e 1
35 . I R A M i d ca p S P D R T R A D i v i d e n d K
36 . F e d . P ri m ~ M M F u n d A D i v i d e n d J
37 . M e r r i m a c k C t y . S a v . B k . N O W A c c t ( 2) B Interes t M
38 . T h e r m o F i s h e r S c i . (T M O ) A D i v i d e n d J
39 . Ente rp r i s e P rods . P tn r s . A D i v i d e n d K
40 . C h e s a p e a k e E n e r g y C o r p . A D i v i d e n d
41 . K i n d e r M o r g a n E n e r g y L P A D i v i d e n d J
42 . C i s c o S y s t e m s I n c . A D i v i d e n d
43 . M y r i a d P h a r m a c e u t i c a l s I n c . ( S p i n O f f o f A D i v i d e n d J
M y r i a d G e n e t ic s )
44 . I s h a r e s T R R u s s e l l 2 0 00 I n d e x F u n d A D i v i d e n d J
45 . I s h a r e s T R R u s s e ll M i d c a p V a l . In d e x F u n d A D i v i d e n d J
46 . N o r f o l k S o u t h . C o r p . A D i v i d e n d J
47 . N i c h o l a s - A p p l e g a t e I n tn l & P r e m . A D i v i d e n d
48 . I R A l s h a r e s R u s s e l l M i d - c a p A D i v i d e n d K
49 . I R A S a y t e m C o m p . S v cs . A D i v i d e n d J
50 . I s h a r e s T r u s t R u s s e l l M i d c a p G r o w t h I n d e x A D i v i d e n d J
F u n d
51 . McDonald’s Corp. A D i v i d e n d K
( 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 ) ( A - H )
( Q - W )
T
T
T
T
T
T
T
T
T
T
T
T
T
Sold 05/03/10 J A
Sold 05/29/10 K B
Sold 03/01/10 J A
(5 )Identity of
b uy e r / s e l l e r
(if private
t r a n sa c t i o n )
M kt
M kt
M kt
I . Income Ga in Code s : A = $1 , 000 o r l ess B =$1,001 - $2,500 C = $2, 501 - $5 , 000
(S ee C ol u rm as B I and D 4) F =$50,001 - $100,000 G =$ 100 ,00 1 - $1 ,00 0,00 0 H 1 =$ 1,00 0,00 1 - $5,000,000
2 . Va lue Code s J = $ 1 5,000 o r less K = $ 1 5,001 - $ 50 ,000 L = $ 50,001 - $1 00,000
( S e e C o l u m n s C I a n d D 3 ) N =$250,001 o $500,000 O =$500,001 - $1,000,000 PI ~$1 ,000,001 - $5 ,000,000
P3 =$25,000,001 - $50,000,000 P4 = M ore t h an $50 , 000 , 000
3 . V al ue Met h od C odes Q =Appraisal R =Cos t ( Re a l Es t a t e O nly) S =As s e s s me nt
( S e c C o l u m n C 2 ) U =Book Va lue V = O t h e r W =Es t ima te d
D =$5,001 - $15,000
H 2 = More t h an $5 , 000 , 000
M =$ 100,001 - $250,000
P2 =$5,000,001 o $25,000,000
T = C a s h M a r k e t
E =-$15,001 - $50,000
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
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 tu e , tr a n s a c t i o n s ( I n c l u d e s t h o s e of spouse and dependent children; see pp. 3 4 - 6 0 of filing instructions.)
N O N E (No reportable income, assets, or transactions.)
D e s c r ip t i o n o f A s s e t s 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
( 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 Gross value at en d
re p or t in g p er io d o f re p or t in g p er io d
( 1 ) (2 ) (1) (2) (1 ) (2) (3)
Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., Date V a l u e
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 , m m / d d / y y C o d e 2( A - H ) o r i n t . ) (J-P) C o d e 3
( Q - W )
M cDonald’s Corp. A Dividend K T
Apple Inc. A Dividend K T
Johnson & Johnson Inc. A Dividend K T
Deere & Co. A Dividend J T
Praxa ir (M ) A Dividend
Express Scripts Inc. A Dividend J T
CR Bard Inc. A Dividend
Co l g a t e - P a l mo l i v e C o . A Dividend J T
I B M C o r p . A Dividend K T
N o r t h e r n T r u s t P r i me O b l i g a t io n Fund 9/1 A Dividend J T
53 .
54 .
55 .
56 .
57 .
58 .
59 .
60 .
61 .
62 .
63 .
~64 .
65 .
66 .
67 .
68 .
redemption) ( l -P)
S o l d 02/17 /10 J
S o l d 05/03 /10 J
(par t)
S o ld 05 /0 3 /10 J
Simon PPTY G roup Inc. A Dividend
Intel Corp. A Dividend
Becton Dickinson B Dividend
3M Co. B Dividend
STHN Cmnty B & T NC US A I n t e r e s t
Fla. St. Br d Ed. Pub. Ed. Cap. A I n t e r e s t
Toyota Fin. Sve. Bk NV US A I n t e r e s t
L
L
L
K
T
T
T
T
S o l d 05/25/10
Sold 0 2 / 1 7 / 1 0
(part)
S o l d 01/21 /10
K
( 4 ) ( 5 )
Ga i n ldentlty of
Code I b uy e r / s e l l e r
( A - H ) (if private
t r a n sa c t i o n )
D M k t
A M k t
A M k t
D Mkt
C Mkt
A Mkt
I . Income Ga in Code s : A = $1 , 000 o r l ess B =$1,001 - $2,500 C = $ 2.501 - $ 5,000 D = $ 5,001 - $15 ,000
t S ee C ol um ns B 1 a nd I M) F = $ 5 0,0 01 - $ 10 0,0 00 G =$100,001 - $1.000,000 H 1 = $ 1 ,0 00 .0 01 - $ 5, 00 0, 00 0 H 2 = M or e t ha n $ 5, 00 0. 00 0
2 . Va lue Code s J = $15,000 o r les s K = $15 ,001 - $50,000 L = $50,001 - $ 100,000 M = $100,001 - $250,000
( Se e Columns CI a nd D3) N =$250,001 - $500 ,000 O =$ 500 ,001 - $1 ,000 ,000 PI =$1 ,000,001 - $5 ,000,000 P2 =$5.000,001 - $25,000,000
P 3 = $25,000 ,001 - $50,000,000 P 4 = M ore th an $ 50,000 ,000
3 . V al ue Met h od C edes Q = A ppra i sa l R =Cos t ( Re a l Es t a t e O nly) S =As s e s s me nt T = C a s h M a r k e t
( Se e Column C2) U = B o o k V a l u e V = O t h e r W = E s t im a t e d
E = $ 1 5 , 0 0 1 * $ 5 0 , 0 0 0
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
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 ...... tions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
N O N E (No reportable income, assets, or transactions.)
69 .
70 .
71 .
72 .
73 .
74 .
75 .
76 .
77 .
78 .
79 .
80 .
81 .
82 .
83 .
84 .
85 .
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
( in c lu d in g t ru s t a s s e ts ) r e p o r t in g p e r io d
(l) (2)
Place ,(X)" after each asset A m o u n t Type (e.g.,
exempt from prior disclosure Code l div., rent,
( A - H ) o r i n t . )
G r o ss va l ue a t e n d
o f r e p o r t i n g p e r i o d
(1) (2)
V a lu e V a l u e
C 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 io n s d u r i n g r e p o r t i n g p e r i o d
( i) (2) (3)Type (e.g., Da t e V a l u e
b u y , s e l l , m m /d d /y y C o d e 2
redemption) ( J - P )
Hu ntington NAR Bk. OH US B Dividend L
IShare s IBoxx Invt G ra. DE Corp. Bond A DividendFund
Tenn. St. Ser. A A I n t e r e s t
K
K
T
T
F a i r f a x C t y . V A P u b . S e r . A A I n t e r e s t K
Autoliv Inc. A D i v i d e n d K
Smuck er JM Co. New A Dividend K
F i r s t C o l e b r o o k B a n k
A F L A C I n c.
Da n a h e r C o r p .
Goldman Sachs Gr oup Inc.
Google Inc.
J.P. Morgan Chase Co.
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
J
J
J
J
J
J
T
T
T
T
T
T
O r a c l e C o r p .
S ta rbucks Corp.
Sysc o Corp .
BH P Bill iton Ltd.
I S h a r e M S CI E A F E I n d e x F u n d
A
A
A
A
A
Dividend
Dividend
Dividend
Dividend
Dividend
J
J
J
J
J
T
T
T
T
T
( 4 ) (5 )
Gain Identity of
Code 1 buyer/se l ler
(A -H ) (if private
transaction)
I.Incom e G ai n C odes:
( Se e Column s BI a nd D4)
2. V al ue C odes
(S ee C ol um ns C I and D 3 )
3.V al ue Met h od C odes
( Se e Column C2)
A = $ 1 , 0 0 0 o r l e s s
F = $50 , 001 - $1 00 , 000
J =$15 ,000 or l cs s
N~$25 0,001- $5 00,000
P3=$25 ,000,001-$5 0,000,000
Q =Appraisal
U = Book V al ue
B =$1,001- $2 ,5 00
G=$100,001 -$1 ,000,000
K =$15 ,001- $5 0,000
O =$5 00,001- $1 ,000,000
R =Cos t ( Re a l Es t a t e O nly)
V = O t h e r
C =$2 ,5 01 - $5 ,000
H I =$ 1,000,001 - $ 5,000,000
L =$50,001 - $100,000
P I =$ 1,000,001 - $5,000,000
P4 = Mo re t h an $50 , 000 , 000
S =As s e s s me nt
W =Es t ima te d
D =$5 ,001- $15 ,000
H2 =Mo r e tha n $5 ,000,000
M=$100,001- $25 0,000
P2 =$5,000,001- $25,000,000
T C a s h M a r k e t
E =$15,001 o $50,000
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S - i . eom e , va lue , t ...... t i o n s ( I . c l u , le s t h o s e o f s p o u s e and dependent chi ld r en; se e pp . 3 4 - 6 0 of filing instructions.)
D N O N E (No reportable income, assets, or transactions.)
A. B. C.
De s c r i p t i o n o f A s s e t s Income d u r i n g G r o s s v a lu e a t e n d
( includ ing 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)
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 yp e ( e . g . , V alue V alue
exempt from prior disclosure Code I d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3
( Q - W )
Transact ions during report ing period
(I ) (2) (3)
T y p e ( e . g ., D a t e Value
buy, sell , m m /d d / y y C o d e 2
redemption) ( J - P )
(4 ) ( 5 )
Gain Ident i ty of
Code 1 buyer/se l ler
(A-H) (if private
t ransact ion)
A
M kt
M kt
M kt
M kt
M kt
A Mkt
86 .
87 .
88 .
89 .
9 0.
91 .
9 2.
9 3.
9 4.
95 .
I S h a r e T r us t M S C I E m e r g in g M k t s A D i v i d e n d J T
NH S t . Ge n l O b S e r A A Inte res t K T Bu y 01/29/10 K
NH S t . Ge n l O b B / E O lD A Inte res t J T Bu y 01/29/10 J
N H M u n i Bo n d S e r B A Inte res t K T Bu y 01/29/10 K
T e m p l e t o n G lo b a l I n c o me F u n d ( D E L A ) A D i v i d e n d K T Bu y 02/22/10 J
B P P L C ADR [ C ] A Dividend S o l d 06/01 /10 J
No r th e r n T r us t P r im e O b l ig a t io n F un d 9 / 1 A Dividend J T[ c ]
C V S C a r e m a r k C o r p . [C ] A Div id e n d S o ld 06/01 /10 J
C h e s a p e a k e E n e r g y [ C ] A Dividend J T
Nic h o la s - Ap p le g a t e I n tn l & P r e m . S t r . [ C ] A Dividend S o l d 03/01 /10 J
J T
K T
K T
K T
J
J
T
T
Sold 05/13/10
A Mkt
A Mkt
9 6. J o h n s o n & J o h n s o n [ C ] A Dividend
97 . De e r e & C o . [ C ] A Dividend
9 8 . AF L A E I n c . [C ] A Dividend
99 . A p p l e l n c , [ C] A Dividend
100. IBM Corp . [C] A Dividend
101. McDonald’s Corp. [C] A Dividend
102. A b b o t t L a b s [ C ] A Dividend
I . Income Ga in Code s : A = $1 ,000 o r less B = $1 ,001 - $2,500 C =$2,501 - $5,000
( Se e Columns B l a nd D4) F =$ 50,001 - $100.000 G = $1 00,001 - $ 1,000.000 H 1 =$1,000,001 - $ 5,000,000
2 . Va lue Code s J = $ 1 5,000 o r less K = $ 15,001 - $ 50,000 L =$50,001 - $100,000
( S e e C o l u m n s C I a n d D 3 ) N -$250,001 - $ 500 ,000 O =$500 ,001 - $ 1,000 ,000 PI =$1 ,000,001 - $5 ,000,000
P3 =$25,000,001 - $50,000,000 P4 = Mo re t h an $50 , 000 , 0003 . V al ue Met h od C odes Q =Appraisal R = C ost (Rea l E s t a t e Onl y ) S =As s e s s me nt
( S c 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
D=$5 ,00I - $15,000
H 2 = More M an $5 , 000 ,000
M=$100,001- $25 0,000
P2=$5 ,000,001 -$25 ,000,000
T = C a s h M a r k e t
E =$15 ,001- $5 0,000
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
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; seepp. 34-60 of filing instructions.)
NOlNE (No reportable income, assets, or transactions.)
A. B. C. D.
Descr i p t i on o f A s s e t s In c o m e d u r in g G r o ss va lu e at e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
( inc luding trust assets) 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) (1 ) (2) (3) (4)
Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a l u e Type (e.g., Da t e Value Gain
exempt from prior disclosure Code t d iv ., r e n t , C o d e 2 M e th o d b u y , s e l l, mm/dd/yy Code 2 I Code l
( 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) ( A - H )
103. Chevr on Corp. [C]
104. Colgate-Palmoliv e Co. [C]
105. Danah er Corp. [C]
106. DupontE.I. Dem. Co. [C]
107. Express Scripts Inc. [C]
108. Goldma n Sachs G P Inc. [C]
109. J.P. M organ Chase Co. [C]
110. Nikelnc . [C]
111. Oracle Corp. [C]
112. Procter& Gam ble Co. [C]
113. Spectra Energy Corp. [C]
114. Starbu cks Corp. [C]
115. Sysco Corp. [C]
116. United H ealth G roup Inc. [C]
117. United Tech nologies Corp. [C]
118. We lls Fargo & Co. [C]
119. Buffalo Small Cap Fund [C]
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
( Q - w )
K T
J T
K T
J T
J T
J T
J T
J T
K T
J T
K T
K T
J T
J T
K T
K T
J T
( 5 )
Identity of
buyer/seller
(if private
t r a n sa c t i o n )
1. Income Gain Codes: A = $1,000 o r less B = $1 ,001 - $2,500 C =$2 ,5 01 - $5 ,000 D ~$5, 001 - $ 1 5 , 000
( Se e Columns B I a nd D4) F =$ 50,001 - $ 100,000 G =$100,001 - $ 1,000,000 H 1 =$ 1, 00 0. 00 1 - $ 5 ,0 00 ,0 00 H 2 =M o r e t ha n $ 5, 00 0, 00 0
2. V alue C o des J = $ 1 5,000 o r less K = $15,001 - $50,000 L = $50 ,001 - $ 1 00,000 M -$ 100 ,001 - $ 250 ,000
( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $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 - $50.000,000 P4 = Mo re t h an $50 , 000 , 000
3 . V al ue Met h od C odcs Q =Appraisal R = C ost (Rea l E s t a t e Onl y ) S = A s s e s s m e n t T = C a s h M a r k e t
(See Column C2) U = Book V al ue V = O t h e r W =Es t ima lcd
E =$15 ,001- $5 0,000
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
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 t u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
N O b l E (No reportable income, assets, or transactions.)
A. B. C. D.
D e s c r i p ti o n o f A s s e t s In c o m e d u r in g G r o ss va lu e at e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
( in c lu d in g t ru s t a s s e ts ) r e 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) (l ) (2) (3)
Place "(X)" after each asset A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g . , D a t e Value
exempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 M e th o d b u y , se l l . m m / d d / y y C o d e 2( A - H ) o r i n t . ) O - P ) C o d e 3 r e d e m p t i o n ) ( J - P )
( Q - W )
1 20 . B H P B i l li t o n L t d . [ C] A Div id e n d J T
1 21 . T r a n s o c e a n L t d . [ C] A Div id e n d K T
1 22 . lS h a r e s T r u s t M S C I E A F E I n d e x F u n d [ C] A Div id e n d J T
1 23 . IS h a r e s T r u s t M S C I E me r g i n g M k t s [C] A In te r e s t J T
1 24 . RM A q ’ a x - F r e e F u n d [ K ] A Interest J T
1 2 5 . U B S P a c e M M I n v F u n d C l a s s P [ K ] A Div id e n d J T
1 2 6 . A m F u n d s G r o w th F u n d o f A m C l a s s F [ K ] A Div id e n d J T
1 27 . Jo h n H a n c o c k C l a s s i c V a l F u n d C l a s s A [ K ] A Div id e n d J T
1 28 . O p p e n h e i me r M a i n S t . S ma l l Ca p F u n d A A Div id e n d J T
1 2 9 . R S V a l u e F u n d C l a s s A [ K ] A Div id e n d J T
1 3 0 . T h o m b u r g I n t n l V a l u e F u n d C l a s s A [ K ] A Div id e n d J T
1 3 I . D W S C o r e F i x e d In c o m e F u n d Cl a s s A [ K ] A Div id e n d J T
1 3 2 . F . T e m p l e t o n G lo b a l B o n d A [ K ] A Div id e n d J T
1 3 3 . M a n a g e r ’ s B o n d F u n d [ K ] A Div id e n d J T
1 3 4 . A b b o t t L a b s [ C] A Div id e n d J T Bu y 05/03 /10 J
1 3 5 . P r u d e n t i a l F i n . I n c . [ C] A Div id e n d J T Bu y 05/03 /10 J
1 3 6 . U n i t e d T e c h n o l o g i e s Co r p . [ C] A Div id e n d J T Bu y 05/03 /10 J
( 4 ) C S )
Gain Ident i ty of
Code 1 buyer/se l ler
( A-H) (if private
transaction)
I M k t
M kt
M kt
1 . I n c o m e G a i n C o d e s : A = $ 1 , 0 0 0 or less B =$1,001 - $2,500 C =$2,501 - $ 5 , 0 0 0 D =$5,001 - $15,000
( S ee C ol um ns B 1 and D 4) F ~$ 5 0,001 - $100,000 G = $ 1 00 ,0 01 - $ 1,0 00 ,0 00 H 1 = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 H 2 = M ore t h an $5 , 000 , 000
2. V alue C o des J = $ 15,000 o r less K = $15,001 - $50,000 L =$5 0,001 - $ 100,000 M = $1 00 , 001 - $250 , 000
( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $ 500,000 O =$500,001 - $ 1,000,000 P I = $ 1 ,000 ,001 - $5 ,000 ,000 P2 =$5,000,001 - $25,000,000
P 3 -$25,000 ,001 - $50,000,000 P 4 ~ M ore 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 l e Onl y ) 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 V al ue V ~ O t h c r W = E s t im a t e d
E =$15,001- $50,000
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
VII. 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 I N E (No reportable income, assets, or transactions.)
A. B. C, D
Descr ipt ion o f Assets In co m e d urin g Gro ss value at en d Transact ions dur ing repor t ing per iod
( including t rust asse ts) repor t ing per iod of repor t ing per iod
( t) ( 2 ) (l) (2) (l ) (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 u n t T y pe (e . g . , Value Value T y p e ( e . g ., D a t e Value
exempt from p rior disclosure C o d e 1 d i v . , r e n t , Code 2 M e th o d buy, sell, m m /d d /y y C o d e 2( A - H ) o r i n t . ) ( J ÷ P ) C o d e 3 r e d e m p ti o n ) ( J - P )
( Q - W )
1 3 7 . T J X C o m p a n i e s [ C ] A D i v i d e n d J T Bu y 05/04/10 J
1 3 8 . M a r v e l l T e c h n o l o g y [ C ] A D i v i d e n d J T Bu y 05/13 /10 J
1 3 9 . S & P 4 0 0 M i d c a p I n d e x [C ] A D i v i d e n d J T Bu y 05/13 /10 J
1 4 0 . M a r v e l l T e c h n o l o g y [ C ] A D i v i d e n d J T Bu y 05/13 /10 J
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 , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NO IqE (No reportable income, assets, or transactions.)
De s c r ip t io n o f A s s e ts T ra n s a c t io n s d u r in g r e p o r t in g p e r io d
( i n c l u d i n g t r u s t a s s e t s )
Income d u r in g G r o s s v a lu e a t e n d
re p o rtin g p er io d o f r e p or t in g p er io d
(1 ) (2 ) (1) (2) (l)
Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a l u e Type (e.g.,
exempt from prior disclosure Code I div., rent, C o d e 2 M e th o d b u y , s e l l ,( A - H ) o r i n t . ) (J-P) C o d e 3 r e d e m p t i o n )
( Q - W )
(2) (3) (4)
Date V a l u e Gain
m m /d d/yy C od e 2 Code 1
(J-P) (A-H)
( s )
Identity of
b uy e r / s e l l e r
(if private
t r a n s a c t i o n )
154. F. Templeton G lobal Bond A [C]
155. Pimco Total Return Fund Class A [C]
156. Wilmington Short/Intermediate-Term Bond
Fund [C]
157. A b e r d e e n E q u i t y L o n g - S h o r t F u n d C l a s s A
[ c ]
158..IP Morgan M u l t i - c a p Mkt Neutral Fund [C]
159 . V a n E c k G l o b a l H a r d A s s e ts F u n d C l a s s A
[ c ]
A I n t e r e s t
B Dividend
B Dividend
A Dividend
A Dividend
A Dividend
J T B uy
K T B uy
K T B uy
J T Buy
J T Buy
J T B uy
03/05/10 J
03/05/10 K
03/05/10 K
03/05/10 J
03/05/10 J
03/05/10 J
M k t
M k t
M k t
M k t
M k t
M k t
1 . In com e Gain C odes: A = $1 ,000 o r l ess B =$1,001 - $2,500 C = $2, 501 - $5 .000
(S ee C ol um ns B 1 and D 4) F =$ 50,001 - $100,000 G = $1 00,001 - $ 1,000.000 H 1 =$1,000,001 - $5,000,000
2 . Va lue Code s d =$15,000 or lcs s K = $ 1 5, 001 - $50 ,000 L =$ 50,001 - $ 100,000
(S ee C olum ns U 1 and D3) N =$ 250 ,001 - $500,000 O =$ 500,001 - $ 1 ,000,000 PI =$1 ,000,001 - $5 ,000,000
P 3 = $25,000 ,001 - $50,000,000 P 4 ~ M ore th an $50 .000 ,000
3 . V al ue Met h od C odes Q ~A ppra i sa l g =Cos t ( Re a l Es t a t e O nly) S =As s e s s me nt
( 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
D =$5,001 -$15,000
H2 -Mor e tha n $5 ,000.000
M=$100,001- $25 0,000
P2 = $5, 000 .001 -$25 , 000 ,000
T = C a s h M a r k c t
E =$15 ,001- $5 0,000
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
Page 14 of" 15 Ia m e o f P e r s o n R e p o r t i n g
M C A U L I FF E , S T E V E N J .
Date of Report
05/1 1 /2 01 1
VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepart of report.)
P A R T I . P O S IT I O N S .P l e a s a n t L a k e A i r , In c . , L L C, i s a c o r p o r a t i o n f o r me d t o o w n a C e s s n a 1 8 2 S k y l a n e s i n g l e e n g i n e p r i v a t e a i rp l a n e . I o w n a o n e - h a l f i n te r e s t i n t h e c o r p o r a t i o n
(and thus the a i rplane) .
P A R T V I . L IA B I L I T IE S .I o w n a s um m e r c o t t a g e w i th a f o r m e r l a w p a r tn e r , E d w a r d E . Shumake r , I II , a s t e n a n t s i n c o m m o n , w h ic h p r o p e r ty i s m o r tg a g e d i n p a r t . T h a t l i a b i l it y i s n o t
di sclosed s ince i t is secured by rea l p rop er ty which i s
P A R T V I I. I N V E S T M E N T S A N D T R U S T S .Trus t #1 asse t s are l i s t ed in Par t VII , i den t i f i ed by the d es ignat ion ’[c] . "
P A R T V I I. I N V E S T M E N T S A N D T R U S T S .L i n e 7 . P i n c h e r s ’ In v e s t me n t G r o u p P t n s h p S h a r e ( s p e c i f i c h o l d i n g s n o t e d b y " - " b e l o w ) ( i n v e s tm e n t c l u b - a g g r e g a t e d p e r s u g g e s t i o n o f Co m mi t t e e o n
Financia l Disclosure 6/11 /08) .
8/3/2019 Steven J McAuliffe Financial Disclosure Report for 2010
I c e r ti f 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 l d r e n , i f a n y ) i sa c c u r a te , t r ue , 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 ~ v 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 le s t a t u to rp r o v i s i o n s p e r m i t ti n g n o n - d i s c lo s u r e .
I 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 ~ v 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 01 e t . s e q ., 5 U . S . C . § 7 3 5 3 , a n d J ud i c i a l C o n fe re n c e r e g u l a t i o n s .
Signatu re : S/STEVEN J. M CAULIFFE
N O T E : A N Y I N D IV I DU 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 I L E T H I S R E P O R T M A Y B E S U B JE 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 0 4 )