garvan j murtha financial disclosure report for 2010

8/3/2019 Garvan J Murtha Financial Disclosure Report for 2010

1/21

Rev. 1/2011FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 20 10Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n Reporting (last n a m e , f ir s t , middle in i t ia l )Mur tha , J . Garvan

4 . T i t l e ( A r t i c le 1 1 1 j u d g e s ind icate act ive or senior s tatus;magis t ra te judges indicate fu l l - or p ar t - t ime)U . S. D i s t ri c t J u d ge ~ Se n io r

7. Cha m be rs o r O f f i c e A d d r e s sUnited Sta te s Dis t r ic t Cour tP.O. Box 760Brat t leboro, VT 05302-0760

2. Court o r Organ iz a t ionU . S. D i s t ri c t C ou r t - V e r m o n t

5a . R epor t T ype ( ch eck appr opr i a t e t ype)] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t he ba s i s o f t he i n fo rm a t i o n c o n t a in e d i n t h i s R e p o r t a n d a n ymod i f i ca t ions p e r t a i n i ng t h e r e to , i t i s , i n my o p i n i on , i n com pl i ancewi t h a p p l i c a b l e l a ws a n d r e g u l a t i o n s .

R e v i e w i n g O f f i c e r D a t e

3. Date of R e p o r t7/26/2011

6. Report ing Period

0 1/0 1/20 10to12/31/20 10

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 informatiot~ Sign on last page.

I . P O S I T I O N S . ~ R e p o r t l .g i n d i v i d u a l o . l y ; s e e p p . 9 - 1 3 o i ~ i i n g instructions.)D NONE(No reportable positions.)POSITION

1 . P a r t n e r2. P a r t n e r3. P a r t n e r

4. P a r t n e r5. T ru s tee6. T ru s tee Trus t # 2

7.

NAM E OF ORGANIZATION/ENTITYLi m i t e d P a r t n e r sh i p # 1

~,,,~**~] Limited Par t r~ership #2

~i i~ i )~ L imi ted Pa r tne rs h ip #3L imi ted Pa r tne rs h ip #4

Trust # 1

II . AGREEMENTS. (Reporting individual only; seepp. 14-16 of filing instructions.)[~] N O N E (No reportable agreements.)DATE PARTIES AND TERMS


2/21

FINANCIAL DISCLOSURE REPORTPage 2 of 21

Name of Person Report ingM ur t ha , J . G a rv a n

Date of Report7/26/2011

III. N O N - I N V E S T M E N T I N C O M E . R e p o . i . g inaivlau.t a n d spouse; seepp. 17-24 of filing instructions.)A. Fi lers Non-Investm ent Incom e

~ (No reportable income.)O N E non- investmentDATE SOURCE AND TYPE

2.

3.4.

INCOME(yours, not spouses)

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)ear, complete this section.(D ollar amount not required except for honoraria.)~ N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE1 .2.

3.4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food,entertainment.(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)

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

I.2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDE


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 2 1



V . G I F T S . a n c l u d e s t h o s e t o s p o u s e . .d d e p e . , c n , chi ldren; see p p . 2 8 - 3 1 of fi l ing instructions.)N O N E (No repor table g i fts .)

SOURCE DESCRIPTION1 .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 .s e . n d d e p ~ n d ~ n t children; see p p . 3 2 - 3 3 of f i l ing ins t ruc t ions . )N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.4.5.

VALUE CODE


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FINANCIAL DISCLOSURE REPORTPag e 4 o f 21



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 l a c , 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.Descr ipt ion of Asset s In com e durin g G ro ss va lue a t end Transact ions dur ing repor t ing per iod

( including t rust assets) repor t ing per iod of reporting period(t ) (2 ) (t) (2) (i ) (2) (3) (4) (5 )Place "(X)" af t er each asse t A m o u n t Type (e.g., V a lue V a lue Type (e.g., D a t e Va l ue Gai n Ident i ty ofexempt f rom p r ior di sc losure Code 1 div., rent, Co de 2 Method buy, se l l , mm/dd/yy Co de 2 Co de 1 buy e r / se l l e r( A - H ) o r i n t . ) (J-P) Co de 3 redem ption ) (J-P) ~ ( A - H ) (if private

( Q - W ) t ransac t ion)

I. Ac c e n tu r e P L C S toc k A D i v i d en d J T2. A m g e n C o m m o n S t o ck N o n e S o ld 08/I 1/10 J D3. Au tom a t i c D a ta P r oc e s s ing S toc k A D iv id e n d S o ld 0 8 1 1 I 1 1 0 J A4. B e m i s C o m p a n y C o m m o n S t o c k A D ivid e n d S o ld 08111110 J A5. C i s c o S y s te m s C o m m o n S t o c k N o n e S o ld 04113110 J A6. C V S C o r p . S toc k A D ivid e n d S o ld 03111110 J A7. C olu m b ia C r e s t G o ld C or p S toc k f m r ly N o n e J TE a g l e c r e s t E x p l o r a ti o n s8. E c o l a b C o m m o n S t o c k A D i v i d en d J T9. E m e r s o n E l e c t r i c S to c k A D i v i d en d J T1 0 . E x x o n - M o b i l C o m m o n S t o c k A D i v i d en d K TI1 . G S Fe de ra l F un d #5 20 A In te re s t S o l d 04/16110 J1 2 . F o r t u n e B r a n d s S t o c k A D ivid e n d S o ld 04/13110 J A1 3 . F P L G r o u p I n c . S to c k A D ivid e n d S o ld 03/11/10 J A1 4 . B S L M o n e y M k t F u n d A In te re s t J T Bu y 03/11110 J1 5 . ( I n c o m e M o n e y M a r k e t F u n d ) - T ru s t C o . o f A In te re s t J TV T1 6 . In te l Corp . S tock A D i v i d en d J T17 . i Sh a re Mi d c a p I n d e x 4 0 0 Fu n d A D iv id e nd S o l d 03/11/10 J A

I . I ncome Gai n C odes: A = $1 ,000 o r le s s B =$ 1,0 01 - $ 2,50 0 C = $ 2,501 - $ 5,000 D =$5,001 - $15,000(Se e C olum ns B 1 an d D 4) F =$ 50 ,0 01 - $ 100 ,00 0 G = $100,001 - $1,000,000 H I =$ 1,000,001 - $5,000,000 H 2 =M ore t h an $ 5 ,0 00 ,0 002 . Val u e C odes J =$ t 5,000 or less K = $ 15,001 - $ 50,000 L = $50,001 - $ 100,000 M =$100,001 - $250,000(See C ol u mns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 P I = $1,000,001 - $5,000,0 00 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P 4 -Mo re t h an $ 50 ,0 00 ,0 0 03. Va lue Method Codes Q = Appra isa l R =C ost (Real Est 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 C ol u nm C 2) U =B ook Val u e V = O t h c r W = E s t im a t e d

E =$15,001 - $50,000


5/21




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.)

D e s c r i p t io n o f A s s e t s Income during( i nc lud i ng 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

(1) (2)Place "(X)" after each assel A m o u n t Type (e.g.,exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

1 8 . iShare M SCI Fund A Dividend1 9 . iShare Small Cap 600 Fund A Dividend20 . Kam an Corp . Comm on S tock A Dividend21 . Kr aft Foods, Inc. Stock A Dividend22 . McDonalds Corp . Stock A Dividend23 . Med tronic, Inc. Comm on Stock A Dividend24 . Microsof t Corp. Stock A Dividend25 . Northern Trust G ovt Select Fund A I n t e r e s t26 . Omni com Group Comm on S tock A Dividend27 . Pepsico Com m on Stock A Dividend28 . PIMCOCom m odi ty Fund A Dividend29 . PIMCOReal Return Fund A Dividend3 0. Pr oc te r& G a m b le St oc k A Dividend3 1. Sy sc o Co rp . St oc k A Dividend32 . Vanguard Emerg ing Mkts Stock A Dividend33 . Vang uard Intl . Prot. Fund A I n t e r e s t34 . W aste Manag ement Stock A Dividend

Gross value at en do f r e p o r t i n g p e r i o d(I) (2)

Value V a l u eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

J TJ T

J TK TJ TJ T

J T

J TJ T

J TJ TJ T

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) (2 ) O)Type (e.g., D a t e Va l uebuy, s e ll, m m/dd/yy Co de 2

redemp tion) (J-P)

S o l d 03/11/10 J

S o ld 0 8 /10 /10 J

Bu y 07/01/10 JSold 04/13/10 J

Sold 03/10/10 JSold 10/13/10 J

Bu y 08/10/10 J

Bu y 01/30/10 J

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

C o d e 1 b u y e r / s e l l e r( A - H ) (if private

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

1 . I nc ome Ga in Codes : A = $1 ,000 o r le s s B =$ 1,~01 - $ 2,500 C = $ 2,50 1 - $ 5,000 D =$5,001 o $15,000( S e e C o l u m n s B I and D4) F = $50,001 - $ 100,000 G = $ 100,001 - $1,000,000 H ! =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 =M o re th an $5 ,0 00 ,0 00

2. Value C odes J = $ 15,000 o r less K = $ 15,001 - $ 50,000 L = $ 50,001 - $ 100,000 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 = M ore than $ 50,000,0003. Va lue Method Codes Q = Appra isa l R =C ost (Real Est 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(See C ol u mn C 2) U =B ook Val u e V = O t h e r W =Est imated

E =$15,001- $50,000


6/21

FINANCIAL DISCLOSURE REPORTPag e 6 o f 21 Iame of Person R e p o r t i n gMurtha, J. Garvan Date of Report7/26/2011

V I I . I N V E S T M E N T S a n d T R U S T S - incom e, volue, , ......t i o n s (Includes those o f s p o u s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of fillng instructions.)D N O N E (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 t s I n c o m e d u r i n g Gross value at end(including trust 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 ) (l) (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 nt T y p e (e .g . , Value Valueexempt 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( A - H ) o r i n t . ) ( J - P ) C o d e 3

( Q -W )

35 . M e r c h a n t s B a n k A c c o u n t A In te re s t3 6. B r at tl eb o ro C o un t ry C lu b B o n d A In te re s t37 . B r a t t l e bo r o T e nn i s C lu b , V T S toc k N o n e38 . O c e a n R e e f Y a c h t C l u b T i m e s h a re N o n e39 . ~,~ Limited Partnership #1 D Div. & In t .40 . - Au tom a t i c D a ta P r oc e s s ing S toc k41 . - B e c ton D ic k inson S toc k42 . - C V S C a r e m a r k43 . - C o l u m b i a D i v i d e n d I n c o m e F u n d44 . - C o lu m b ia L g . C a p G r ow th Fu nd45 . - C o lu m b ia M id - C a p I nd e x Fu nd46 . - C o l u m b i a S m a l l C a p I n d e x F u n d47 . - D r e y f u s T a x Ex e m pt Fu nd48 . - M F S S e r l n t l F u n d49 . - O r a c l e S toc k50 . - P e p s i c o S t o c k51 . - P r oc t e r & G a m b le S toc k

J TJ WJ WJ W

Transact ions during repo rt ing period(I ) (2) (3)

Type (e.g., Date Va l uebuy, sel l , mm/dd/yy Co de 2

redempt ion) ( J - P )

C lose d 05/31/10 NSold 05/19/10 JSo ld 0 5/19 /10 KS o ld 0 5/11 /10 KSold 05/17/10 KSo ld 0 5/17 /10 KSo ld 0 5/17 /10 KSold 05/17/10 KSold 05/31/10 KSold 05/18/10 K CSold 105/19/10 K DSold 05/19/10 K ESold 05/19/10 K D

(4 ) (5 )Gain Ident i ty ofCode 1 buy e r / se l l e r( A - H ) (if private

t ransac t ion)

S e e N o t e # 1BDDDDDD

1. In co m e G a in C o des : A =$1,000 o r le ss B =$ 1,001 - $ 2,500 C =$ 2,501 - $ 5,000 D =$5,001 - $15,000(Se e C olura ns B I a nd D 4) F =$ 50 ,00 ! - $I0 0,00 0 G =$100,001 - $1,000,000 HI =$1,000.001 - $5,000.000 H2 = M ore than $5,000,0002. V alue C o des J =$ 15,000 or less K = $1 5,001 - $50,000 L =$50,001 - $ 100,000 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 P 4 -More t h an $ 50 ,0 0 0 .00 03 . Val u e Met h od C odes Q = Appra isa l R = Cos t (R ea l E s~ .a te On ly ) S = A s s e s s m e n t T = C a s h M a r k e t(See C ol u mn C 2) U =B ook Val u e V =Ot h er W =Est i mat ed

E =$15,001 - $50,000


7/21

FINANCIAL DISCLOSURE REPORTP age 7 o f 2 1

N ame of Pe r s on R epor t i ngMurtha, J. Garvan

D at e o f R epor t7/26/201 I

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. J4-60 of filing instructions.)D N O N E (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 t s Income during 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 dO) (2 ) O) (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 y p e ( e . g ., Value Value

e x e m p t f r o m p r i o r d i sc l o s u r e Code I div., rent. C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q -W )

Transact ions during report ing period(1) (2) (3) (4)

Type (e .g. , D a t e Va l ue Gai nbuy, sel l , mm/dd/yy Co de 2 Code 1

redempt ion) (J-P) ( A - H )

(5 )Ident i ty ofbuyer/sel ler(if private

t ransact ion)

52. - Target Stock Sold 05/19/10 K D53 . - U n i t e d T e c h no log ie s S toc k S o l d 05/19/10 K D54 . - V a ngu a r d I n t l I nd e x Fu nd S o l d 05/19/10 K55 .56 .57 .58 .59 .60 .61 .62 .63 .64 .65 .66 .67 .

Limited Pa r tne r sh ip #2- AT&T Inc . S tock- B A D iv e r s i f ie d R e a l E s t a t e Fu nd- Cate rp i l la r S tock- C oc a C o la- C olu m b ia Ac or n I n t l Fu nd- C olu m b ia D iv id e nd I nc om e Fu nd- C o l u m b i a M i d C a p F d- Grosevenor Mul t i -S t r a tegy Fund fmr lyColumbia Mult i S t r gy- C o l u m b i a S m a l l C a p I n d e x F u n d- CSX Corp . S tock- Disney Stock- D r e y f u s T a x E x e m p t F u n d

F Div.&lnt. M e rg e d 0 4/27 /10 PI( w i th l i ne 9 4 )M e rg e d 0 4/27/10 L( w i th l i ne 9 4 )M e rg e d 0 4/27 /10 L( w i th l i ne 9 4 )M e r g e d 04/27/10 0( w i th l i ne 9 4 )M e r g e d 04/27/10 L( w i th l i ne 9 4 )M e r g e d 04/27/10 M( w i th l i ne 9 4 )M e rg e d 0 4/27 /10 L( w i th l i ne 9 4 )M e r g e d 04/27/10 M( w i th l i ne 9 4 )M e r g e d 04/27/I 0 M( w i th l i ne 9 4 )M e r g e d 04/27/10 M( w i th l i ne 9 4 )M e r g e d 04/27/10 M( w i th l i ne 9 4 )M e rg e d 0 4/27 /10 L( w i th l i ne 9 4 )

S o l d 04/27/10 O

S e e N o t e # 2

68 . - Ex x on M o b i l S toc k Merged 04/27/10 O( w i th l i ne 9 4 )

I . In co m e G a in C odes : A = $ 1,000 o r le s s B ~$ 1.001 - $ 2.500 C =$ 2,501 - $ 5,000 D =$5,001 - $15,000(S ee Co lumns B t and D 4) F = $50.001 - $ 100,000 G =$100,001 - $ 1,000,000 H 1 = $1,000,001 - $ 5,000,000 H2 =M ore than $ 5,000,0002. Va lue Codes J = $ 15.000 o r less K $ 15,0 01 - $ 50 ,00 0 L -$50,001 - $100,000 M = $ 1 00,001 - $250,000(S ee Co lumns C I and D 3) N =$ 250,001 - $500,000 O = $500,001 - $ 1,000,000 P 1 = $1,000,001 - $5,000,000 P2 = $ 5,000,001 - $ 25,000,000

P3 =$ 25,000,001 - $50.000.000 P4 = M o re than $ 50,000,0003. Va lue Method Codes Q = Appra isa l R = Cos t (R ea l E s ta te On ly ) S = A s s e s s m e n t T = C a s h M a r k e t(S ee Co lumn C2) U = B o o k V a l u e V = O t h c r W = E s t im a t e d

E =$15,001- $50,000


8/21


Na m e o f P e r so n R e p o r t i n gMurtha, J. Garvan


V I I. IN V E S T M E N T S a n d T R U S TS ----] N O N E (No reportable income, assets, or transactions.)

A. B. C.De scrip tio n o f A ssets In co m e dur in g Gross value at end

( including t rust assets) repor t ing per iod of repor t ing per iod(1 ) (2 ) (1) (2)

Place "(X )" after each asse t A m o un t Type (e.g., Va l ue Va l ueexempt from prior disclosure Code 1 div., rent, Co de 2 Method( A - H ) o r i n t . ) ( J - P ) Co de 3

( Q - W )

Transact ions dur ing repor t ing per iod

(1 ) (2) (3)Type (e.g., Date Va l ue

buy, sel l , mrrddd/yy C od e 2redempt ion) (J-P)

(4 )Gai n

Code 1( A - H )

( 5 )Identi ty ofbuyer/seller(i f privatetransaction)

69 . - F r a nk l in R e s . S toc k70 . - G e n z y m e S t o c k71 . - H e w le t t P a c k a r d S toc k72 . - M F S S e r l n t l F u n d73 . - M or ga n J . P. C h a se S toc k74 . - P r oc t e r & G a m b le S toc k75 . - R oy a l D u tc h Sh e l l S toc k76 . - S tap le s S tock77 . - Tev a P h a r m a ceu t i ca l S to ck78 . - U n i t e d T e c h no log ie s S toc k79 . ~ii i ~i~iI Limited Pa r tne r sh ip #3 C Int./Div.

M e r g e d 04/27/I 0 N(with l ine 94)M e r g e d 04/27/10 K(with l ine 94)M e r g e d 04/27/10 L(with l ine 94)M e r g e d 04/27/10 M(with l ine 94)M e r g e d 04/27/10 M(with l ine 94)M e rg e d 0 4/27 /10 L(with l ine 94)M e r g e d 04/27/10 N(with l ine 94)M e r g e d 04/27/10 L(with l ine 94)M e r g e d 04/27/10 M

(with l ine 94)M e r g e d 04/27/10 L(with l ine 94)C lose d 08/09/10 M S e e N o t e # 3

8 0 . - B e c t o n D i c k i n s o n S t o c k Sold 01/21/10 K E81 . - C M G U l t r a S ho r t T e r m B o n d F u n d B uy 01/19/10 L82 . - C M G U l t r a S ho r t T e r m B o n d F u n d S o l d 05/24/I 0 L83 . - C o lu m b ia C on t r a r i a n C or e Fu nd B uy 01/19/10 L84 . - C o lu m b ia C on t r a r i a n C or e Fu nd Sold 05/24/10 L85 . - C V S C a r e m a r k S o l d 01/21/10 K D

I. I nc ome Ga in Codes :(S ee Co lurmls B I and D 4)

2. Value Codes(See C ol u mns C I and D3)

3.Value Method Codes(See C ol u mn C 2)

A=$1.000 o r l cs sF =$ 50 ,0 0 1- $ I0 0 ,0 0 0J =$ 15 .0 0 0 or l cssN =$250,001- $500,000P3 =$25,000,001 -$50,000,000Q = Appra isa lU =B ook Val u e

B =$ 1,0 0 1- $ 2 ,50 0G~$ 10 0 ,0 0 1- $ 1 ,0 0 0 ,00 0K = $1 5,001 o $50.000O=$500,001 -$1,000,000R =C ost (Real Est a t e Onl y)V = O t h e r

C =$2,501- $5,000H1 =$1,000,001- $5,000,000L =$50,001 -$100,000PI =$1,000,001 - $5,000,000P4 =More than $50,000,000S = A s s e s s m e n tW = E s t i m a t e d

D=$5,001 -$15,000H 2 =M ore t h an $ 5 ,0 0 0 ,0 0 0M=$ 10 0 ,0 0 1 - $ 250 ,0 0 0P2 =$5,000,001 - $25,000,000T - C a s h M a r k c t

E = $ 15 ,0 0 1- $ 50 ,0 00


9/21




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 , . e , v u l u c , 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 tio n o f A sse ts In co m e durin g Gr os s v a l u e a t end Transact ions dur ing repor t ing per iod

( including t rust assets) repo rting period o f rep orting period( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 )

Place " (X )" after each asset A mo un t Type (e .g ., V a lue V a lue Type (e .g., Date Va l ue Gai n Ident i ty ofexempt from prior disclosure C o d e 1 div., rent, C od e 2 Method buy, sel l , mm/dd/yy Co de 2 Code 1 buy e r / se l l e r( A - H ) o r i n t . ) (J-P) Co de 3 redem p tio n ) (J-P) (A -H ) (if p rivate(Q -W ) tra n sa ctio n )

86 . - C o l u m b i a M i d C a p I n d e x F u n d 05/24/10 K D87 . - C o l u m b i a S m a l l C a p I n d e x F u n d 05/24/10 K D88 . - D r e y f u s T a x E x e m p t F u n d 08/09/10 M89 . - I S h a r e s M S C I I n d e x F u n d 01/21/10 K90 . - I S h a r e s M S C I I n d e x F u n d 05/26/10 K91 . - O r a c l e S t o c k 01/21/10 K E92 . - T a r g e t S t o c k 01/21/10 K D93 . - U n i t e d T e c h n o l o g i e s S t o c k 01/21/10 L E94 . L imi ted Pa r tne rs h ip #4 G In t . /Div. P2 T95 . - A p p l e S t o c k B u y 09/20/10 L96 . - A T & T S t o c k

Sold

Sold

Sold

B uy

Sold

Sold

Sold

Sold

97 . - A v o n P r o d . S t o ck98 . - B A D iv e r s i fi e d R e a l Es t Fu nd

B uy 09/20/10 K

99 . - Cate rpi l la r Stock100. - C oc a C o la S toc k1 0 1 . - C o l u m b i a A co m I n t l F un d1 0 2 . - C o l um b i a C T B o n d F u n d

I. I ncomc G a in Codes: A =$ 1,000 o r le ss B =$1,001 - $2,500 C = $2,501 - $ 5,000 D = $5,001 - $ 15,000(See C o lum ns B 1 an d D 4) F = $ 50,001 - $100,000 G = $100,001 - $ 1,000,000 H 1 = $1,000,001 - $5,000,000 H2 ~More than $5,000,000

2. V alue C o des J =$ 15,000 or less K =$ 15,001 - $ 50,000 L = $50,001 - $100,000 M =$100,001 - $250,000(Se e C olum ns C 1 an d D 3) N = $25 0,0 01 - $ 500 ,0 00 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 =$25,000,001 o $50,000,000 P 4 -More t h an $ 50 ,0 0 0 ,00 03. V a lue M e tho d C odes Q = A pp ra isa l R =C ost (Rea l Est a l e Onl y) S =Assessment T = C a s h M a r k e t[Sce C ol u mn C 2) U = B o o k V a l u e V = O t h e r W =Est i mat ed

E =$15.001 - $50,000


10/21

FINANCIAL DISCLOSURE REPORTP a g e 1 0 o f 2 1

Name of Person Report ingM u r th a , J . Ga r van

Date of Report7/26/201 I

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.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 ro s s v a lu e a t e n d T r a n s a c tio 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 ) 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) (5 )

Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e Type (e.g., D a t e V a l u e G a i n Identity ofexempt from prior disclosure Code l d iv ., 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 C o d e 2 Code l b u y e r / s e l l e r

( 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 ) (if private( Q - W ) tr a n s a c t io n )

103 . - Columbia CT Mun i Bd Fund B uy 1 !/10/10 N104. - Colum bia Div. Inc. Fund1 0 5 . - C o lu m b ia M id C a p Fd1 0 6 . - C o l u m b i a M n g t H ed g e F d1 0 7 . - C o l u m b i a S m a l l C ap F d1 0 8 . - C o n n S t G O B d s1 0 9 . - C o n n S t T a x O b l ig B d s1 1 0 . - C S X C o r p . S t o ck111. - Disney Stock1 1 2 . - D r e y f u s T a x Ex e m p t Fu nd113. - E x x o n M o b i l S t o ck

S o l d 10/20/101 M

B uy 11/26/10B uy 11/10/10

LL

114. - Feder ated Secs Instl Shs115. - Nextera Energy Stock, form erly FPLGroup Stock116. - Frankl in Res

B u y 12/13/10 M

1 1 7 . - G e n z y m e S t o c k

I 18. - G r o s v e n o r R e g M u l t i- S t r a te g y F u n d

1 1 9 . - H a r b o r I n t l F u n d

1 . I nc ome Ga in Codes : A =$ 1,0 0 0 or l ess B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See C ol u mns B I and D4) F =$50,001 - $ 100,000 G =$ 100,001 - $ 1,00 0,000 H 1 =$ 1,0 00,001 - $ 5,0 00,000 H 2 =M ore t h an $ 5 ,0 00 ,0 002 . Val u e C odes J =$ 15 ,0 0 0 or l ess K = $ 15,001 - $ 50,000 L = $ 50,001 - $ 100,000 M =$100,001 - $250,000(See C ol u mns C I and D3) N =$ 250,001 - $500,000 O =$ 500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003 . Val u e Met h od C odes Q = Appra isa l R =C ost (Real Est 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 C ol u mn C 2) 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 =$15,001 - $50,000


11/21




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 ( N o reportable income , assets , or t ransact ions.)

D e s c r ip t io n o f A s s e ts T r a n s a c t io n s d u r in g re 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 )

In c o m e d u r in g G ro s s v a lu 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)Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e Type (e.g.,exempt 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 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)D a t e Va l ue Gai n

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

( 5 )Identity of

b u y e r / s e l l e r(if private


120. - Hewlet t Packard Stock1 2 1 . - i S h a r e s I n c . M S C I A u s t r a l . In d ex F u n d1 2 2 . - iS h a r e s I n c . M S C I B r az i l I n d ex F u n d1 2 3 . - i S h a r e s I n c . M S C I C D A I n d ex F u n d1 2 4 . - i S h a r e s I n c . M S C I S i n g ap o r e I n d ex F u n d1 2 5 . - i S h a r e s S & P N a t l A m t - F r ee B d F u n d1 26 . - J oh nson & J oh nson S toc k

B uy 09/09 /10 KB uy 09/10/10 KBu y 09/10/10 KB uy 09/10/10 KB uy 09/10/10 K

1 2 7 . - K e l l o g g S t o c k1 28 . - M c D o na ld s S toc k1 2 9 . - M F S S e r l n t l F u n d

S o l d 04/16/10 KBu y 09/20/10 K

C

1 3 0 . - M F S S e r Tr I R es h l n t l F u n d131. - Microsoft Stock132. - Minnea po l i s Sch Dis t Bds

133 . - Mo nsan to Stock134. - Morg an J.P. Chase Stock

135. - Munic ipa l Ass i s t Corp G O Bds136 . - Omaha Neb Rev RefBds

Buy 11/26/10S o l d 05/18/10

Bu y 11/30/10B uy 11/18/10

LK

LK

1. I nc ome Ga in Codes :(See C ol u mns B I and D4)



A =$ 1,0 0 0 or l essF =$50,001 - $100,000J =$ 15 ,0 0 0 or l essN =$ 250,001 - $500,000P3 ~$25,000,00! - $50,000,000Q = Appra isa 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 ost (Real Est a t e Onl y)V = O t h e r

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001 - $100,000P I =$1,000,001 - $5,000,000P4 =More than $50,000,000S = A s s c s s m e mW =Est i mat ed

=$5,001 - $15,000H 2 =M ore t h an $ 5 ,0 00 ,0 00M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000

=C ash Market

E =$15,001 - $50,000


12/21




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 (lncli~des 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.Descr iption of Asset s In com e durin g Gross va lue a t en d Transact ions dur ing repor t ing per iod

( including t rust assets) repor t ing per iod of repor t ing per iod(1) (2 ) (1) (2) (1) (2) (3) (4) (5 )Place " (X )" a~er ea ch asse t A m o un t Type (e.g., Va l ue V al u e Type (e.g., D a t e V al u e Gai n Ident i ty of

exempt from prior disclosure C od e I div., rent, Co de 2 Method buy, sel l , m m/d d/y y C od e 2 Code 1 buyer/se l le r( A - H ) o r i n t . ) (J-P) Co de 3 redempt ion) (J-P) ( A - H ) (if private( Q - W ) transaction)

1 3 7 . - P a s a d e n a T x R e v R e f B d s B uy 11/29/10 L138 . - Peters Sch Dis t W ash RefBds B uy 12/08 /10 L1 3 9 . - P I M C O C o m m o d R e a l R e t u rn F u n d B uy 09/08/10 M1 4 0 . - P r o c t e r & Ga m b l e S t o ck141. - R oy a l D u tc h Sh e l l S toc k142. - Staples Stock

1 4 3 . - SAV I l l D e v Au th B d s144. - T e v a P h a r m a c e u t i c a l S toc k

B uy 11/23/10 K

145. - United Technologies Stock

1 4 6 . - U . S . B a nk c or p D e l S o l d 09/20/10 K1 4 7 . - V a n g u a r d I n t l F u n d1 4 8 . T r u s t C o m p a n y o f V T - I R A C Di v. & I n t . M1 4 9 . - 3M S toc k1 50 . - A b b o t t L a b s S toc k

B uy 08/10/10 J

151. - Ac c e n tu r e L td . S toc k1 52 . - A pa c h e C or p . S toc k153 . - Automat ic Data Proces s ing Stock

1. Incorne Gain Codes: A = $ 1,000 o r le ss B = $ 1,001 - $2,500 C =$2,501 - $5,000 D = $5,001 - $ 1 5,000(See C ol u mns B I and D4) F =$ 50,001 - $ 100,000 G =$ 100,001 - $1,000,000 H 1 = $ 1.000,001 - $5,000~000 H 2 =More than $ 5,000,0002. V a lue C o de s J = $ 15,000 o r le s s K = $ 15,001 - $50,000 L =$50,001 - $ 100.000 M -$ 1 00,001 - $250.000(See C ol u mns C I and D3) N = $250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 =$25.000.001 - $50,000,000 P4 = More than $ 50,000,0003. Va lue Method Codes Q = Appra isa l R = Cos t (R ea l E s ta te On ly ) S = A s s e s s m e n t T = C a s h M a r k e t(See C ol u mn C 2) U =B ook Val u e V = O t h e r W = E s t im a t e d

E =$ 15 ,0 0 1- $ 50 ,0 0 0


13/21




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 dependen, children; seepp. 34-60 of.filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr ipt ion o f Asset s Income dur ing Gr os s v a l u e a t end Transact ions dur ing repor t ing per iod

(in c ludin g trus t asse ts ) rep orting p eriod o f rep o rtin g p erio d( 1 ) ( 2 ) (1) (2) (I ) (2) (3) (4) (5 )Place "(X)" af t er each asse l A m o u n t Type (e.g., V a lue V a lue Type (e .g., Date Va l ue Gain Ident i ty o fexempt from prior disclosure Code 1 div.. rent. Co de 2 Method bu y, s e ll, m m /dd/yy C o de 2 Code 1 buyer/se l le r( A - H ) o r i n t . ) (J-P) Co de 3 redem p tio n ) (J-P) ( A - H ) (if private

( Q - W ) transaction)

1 5 4 . - B a n k o f A m e r i c a S t o c k1 5 5 . - B em i s S t o ck1 5 6 . - B P P L C S t o ck S o l d 06/15/10 J157. - CGM Foc~us Fund S o l d 02/03/10 J1 5 8 . - C i t i g r o u p S t o ck1 5 9 . - C o l g a g e P a l m o l i v e S t o c k B uy 06/22/10 J1 6 0 . - C o n o co P h i l li p s S t o ck1 6 1 . - C V S C o r p . S t o ck S o l d 06/22/10 J1 6 2 . - D ov e r C or p . S toc k S o l d 08/10/10 J A1 6 3 . - E m er s o n E l ec t r i c S to ck Bu y 02/09 /10 J1 6 4 . - F e d H o m e M t g C o r p S o l d 07/30/101 J1 6 5 . - F o r t un e B r an d s S t o ck S o l d I 1/10/10 J1 6 6 . - F r an k l i n R es . S t o ck1 6 7 . - GS F ed e r a l F u n d So ld 05 /0 6/10 J1 6 8 . - H C P S t o ck1 6 9 . - I ll i n o i s To o l W k s S t o ck1 7 0 . - i Sh a r e M S C I F u n d

I . I ncome Gai n C odes: A = $1 ,000 o r le s s B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See C ol u mns B I and D4) F = $ 50,001 - $100,000 G =$ 100,001 - $1,000,000 H 1 =$ 1,000,001 - $ 5,000,000 H2 =More tha n $ 5,000,000

2. Va lue Codes J =$15.000 or les s K = $15,001 - $ 50,000 L = $ 50,001 - $100,000 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 o $25,000,000

P3 -$ 25,000,001 - $ 50,000.000 P 4 -M o re tha n $ 50,000.0003. Va lue Method Codes Q = Appra isa l R =C ost (Real Est 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 C ol u mn C 2) U =B ook Val u e V = O t h e r W = E s t im a t e d

E =$ 15 ,0 0 1 -$ 50 ,0 00


14/21




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)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

( in c lu d in g tr u 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(l) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e Type (e.g., D a t e Value G a i n Identity ofexempt from prior disclosure C o d e 1 div.,rent, C o d e 2 M e th o d b u y , s e l l , mm/dd/yy C o d e 2 C o d e 1 b u y e r / s e l l e r( 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 ) (if private

( Q - W ) tr a n s a c t i o n )

1 7 1 . - iS h a r e M i d cap F u n d1 7 2 . - i S h a r e S m a l l C ap F u n d1 7 3 . - J oh nson & J oh nson S toc k1 7 4 . - K i m co R ea l t y S t o ck1 7 5 . - L o w es C o . S t o ck1 7 6 . - M a th e w s A s i a n Fu nd1 7 7 . - M a th e w s C h ina Fu nd1 7 8 . - M ax i m I n t eg r a t ed P r o d s . S t o ck1 7 9 . - M ic r oso f t C or p .1 8 0 . - M SC I nd u s t r i a l D i r e c t S toc k18 I. - Nexte ra Ene rgy Stock, fo rmer ly FPLG r o u p S t o c k1 8 2 . - N o k i a S t o ck1 8 3 . - N or th e r n T r u s t G o v t Se l e c t Fu nd1 8 4 . - N o v a r t i s S t o ck1 8 5 . - Om n i co m Gr o u p S t o ck186. - Peps ico , Inc. S tock1 8 7 . - P IM C O Sh or t T e r m I ns t l Fu nd

B uy 02/03/10 J

B uy 02/03/10 J

S o l d 02/09/10 J

B uy 08/01/10 J

B uy 08/11/10 K

1. In co m e G a in C o des : A = $ 1,000 o r le ss B = $1,001 - $2,500 C = $ 2,501 - $ 5,000 D =$5,001 - $15,000( S ee Co lurnns B I and D 4) F =$ 50,001 - $ 100,000 G =$100,001 - $1,000,000 H I =$ 1,000,001 - $ 5,000,000 H 2 =M ore t h an $ 5 ,0 00 ,0 002 . Val u e C odes J =$15,000 or less K = $ 15,001 - $50,000 L = $ 50,001 - $ 100,000 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 =More than $50,000,0003 . Val u e Met h od C odes Q = Appra isa l R =C ost (Rea l Est a t e Onl y) S = A s s c s s m e n t T = C a s h M a r k e t(See C ol u mn C 2) U =B ook Val u e V : O t h e r W = E s t im a t e d

E = $ 15 ,0 0 1- $ 50 ,0 00


15/21




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

A. B. C. D.Descr iption of Asset s Income dur ing Gross value at end Transact ions dur ing repor t ing per iod

( including t rust assets) repor t ing per iod nf repor t ing per iod( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) I (4) (5 )

Place "(X )" after each asse t A m ount Type (e.g., V a lue V a lue Type (e .g., Date Va l ue Gai n Ident i ty ofexempt from prior disclosure Code 1 div., rent, Co de 2 Method buy, se l l , mm/dd/yy Co de 2 Code 1 buy e r / se l l e r( A - H ) o r i n t . ) (J-P) Co de 3 redempt ion) ( J - P ) ( A - H ) (if private(Q -W ) tran sactio n)

1 8 8 . - P r o c t e r & G am b l e S t o ck1 8 9 . - R o y a l D u t ch S h e l l S t o ck1 9 0 . - S an o f i A v en t i s S t o ck191. - Spe c t r a Ene r gy S toc k1 9 2 . - S t r y k e r C o r p . S t o ck1 9 3 . - Ta r g e t C o r p . S t o ck1 9 4 . - U n i t ed Tech n o l o g i e s S t o ck1 9 5 . - U S B an co r p S t o ck1 9 6 . - U S T i p s B o n d1 9 7 . - V a n g u a r d E m e r g i n M k t s S t o ck1 9 8 . - W e l ls F a r g o S t o c k199 . Trust #22 0 0 . - C o c a C o l a2 0 1 . - C o l u m b i a A co r n F u n d C l a s s Z2 0 2 . - C o l u m b i a D i v i d en d I n co m e F u n d2 0 3 . - C o l u m b i a L a r g e C a p Gr o w t h F u n d2 0 4 . - C o n n S t S p l Tax OB / I G B o n d

B uy 06/22/10 J

Bu y 12/01/10 L

B u y 11/10/10 L

E Di v. & I n t . PI

I. I nc ome Ga in Codes :(S ee Co lumns B I and 1 34)



A=$1,000 o r l e s sF =$50,001- $100,000J =$ 15 ,0 0 0 or l ~ssN =$ 250 ,0 0 1- $ 50 0 ,0 00P3 =$25,000,001 - $50,000,000Q = A p p r a i s a lU = B o o k V a l u e

B =$ 1,0 0 1- $ 2 ,50 0G =$100,001 -$1,000,000K =$15,001- $50,000O=$ 50 0 ,0 0 1- $ 1 ,0 0 0 ,00 0R =C ost (Real Est a t e Onl y)V = O t h e r

C =$ 2 ,50 1- $ 5 ,0 0 0H1 =$1,000,001- $5,000,000L -$ 50 ,0 0 1- $ 10 0 ,0 0 0PI =$1,000,001 - $5,000,000P 4 -More t h an $ 50 ,0 0 0 ,00 0S = A s s e s s m e n tW = E s t i m a te d

D=$5,001- $15,000H2 yMo re than $5,000,000M=$ 10 0 ,0 0 1- $ 250 ,0 0 0P2 =$5,000,001- $25,000,000T = C a s h M a r k e t

E = $ 15 ,0 0 1- $ 50 ,0 00


16/21




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 ,~ e , v a lu e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction~)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r ip t io n o f A s s e ts In c o m e d u r in g G ro s s v a lu e a t e n d T r a n s a c tio n s d u r in 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 s e t s ) 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(l) (2 ) (1) (2) ( 1) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e Type (e.g., D a t e Value G a i n Identity ofexempt from prior disclosure Code l 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 C o d e 2 Code l b u y e r / s e l l e r

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

2 0 5 . - D r ey f u s Tax E x em p t C as h F u n d2 0 6 . - F e d e ra t e d A d j R a t e S e c s B o n d2 0 7 . - i S h a r e s S & P P f d S t k I n d ex F u n d2 0 8 . - J P M o r g an C h as e D ep S h s2 0 9 . - K a m a n S t o c k2 1 0 . - M F S S e r I n t l F u n d2 1 1 . - M i l f o r d C o n n B o n d2 1 2 . - P I M C O C o m m R e a l R e t u r n f un d2 1 3 . - R e g l S c h D i st # 5 C o n n B o n d2 1 4 . - R eg l S ch D i s t # 1 4 C o n n B o n d2 1 5 . - R eg l S ch D i s t # 1 6 C o n n B o n d2 1 6 . - S h e r m a n C o n n B o n d2 1 7 . - Tev a P h a r m aceu t i ca l F u n d218. - T o r r io g t o n C o r m B o n d2 1 9 . - U .S . B an co r p S r M t n B o n d2 2 0 . - V a n g u a r d R E I T E T F F u n d2 2 1 . - W o o d s t o ck , C T B o n d

Bu y 12/13/10 NB uy 12/27/10 LB uy 12/15/10 K

B uy 11/19 /10 KB uy 07 /06 /10 LB uy 12/03/10 K

B uy 11/23/10 KB uy 11/15 /10 KB uy 11/08/10 K

B uy 12/01/10 KBu y 10/15/10 KB uy 07/08/10 KB uy 10/29/10 K

1. I nc ome Ga in Codes :( S e e C o l u m n s B I a n d D 4 )

2. Value Codes( S e e C o l u m n s C I a n d D 3 )

3.Value Method Codes( S e e C o l u n m C 2 )

A =$ 1,0 0 0 or l essF =$50,001 - $100,000J =$15,000 or lessN = $250,001 - $500,000P3 ~$25,000,001 - $50,000,000Q = Appra isa lU =B ook Val u e

B=$ 1,001 - $2,500G=$100,001 - $1,000,000K=$15,001 - $50,000O=$500,001 - $ 1,000,000R =C ost (Real Est a t e Onl y)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 =More than $50,000,000S = A s s e s s m e n tW = E s t im a t e d

D =$5,001- $15,000H 2 = More t h an $ 5 ,0 0 0 ,0 0 0M=$100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E =$ 15 ,0 0 1- $ 50 ,0 00


17/21

FINANCIAL DISCLOSURE REPORTPage 17 o f 21

N a m e o f P e r s o n R e p o r t in gM urtha , J . Gar van


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 , ~ a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)D N O N E (No reportable income, assets , or t ransact ions.)

D e s c r i p ti 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 lud i n g t r u s t a s s e t s )P l a c e " ( X ) " a f t e r e a c h asset

exempt from prior disclosure

222. M e r r i l l L y nc h I R A223. - Aberdeen Equity Fund

224. - Blackr ock Globa l Fund225 . - Cit igroup Stock226 . - Fiduciary/Clay M LP Opp Fund

227. - First Tr Consum er Discrt Fund228 . - F irs t Tr Exchg Traded Fund

229. - First Tr Finan cials Fund230. - First Tr ISE Revere Fun d231. - First Tr Mate rials Fund

232. - F irs t Tr M id Cap Core Fund233 . - F irs t Tr Nasdaq Fund234. - Firs t Tr SR F1 II Fund

235 . - Frank l in Strateg ic Fund

236 . - Har t fo rd Cap Apprec . Fund

237. - Hartford Floating Rate Fund238 . - Hender son Int l Fund

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 io d o f r e p o r t i n g p e r i o d( 1 ) (2 ) (1) (2) (1 )

A m o u n t Type (e.g., V a lu e V a lu e Type (e.g.,Code l d iv ., r e n t , C o d e 2 M e t h 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 )D a t e V a l u e G a i n

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

(5 )Ident i ty of

buy e r / se l l e r(if private


C Div. & Int. M

S o l d 10/07/10 J

S o l d 10/07/10 JB uy 08/13/10 JB uy 10/06/10 JB uy 10 /06 /10 JB uy 10/06/10 JS o ld 0 4/22 /10 JB uy 10/06/10 JB uy 06/16/10 J

B uy 04/05/10 J

B uy 0 4/0 5 /10 JS o ld 04/2 8/10 J

1 . I n c o m e G a i n C o d e s :( S e e C o l u m n s B I a n d D 4 )

2. Val u e C odes( S e e C o l u m n s C I and D3)


A=$1,000 or lessF =$50,001 - $100,000J= $1 5,000 o r le s sN =$250,001 - $500,000P3-$25,000,001 - $50,000,000Q = Appra isa lU =B ook Val u e

B=$1,001 - $2,500G =$100,001 - $1,000,000K=$15,001 o $50,000O =$500,001 - $ 1,000,000R =C ost (Rea l Est a t e Onl y)V =Ot h er

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001 - $100,000P I =$ 1,000,001 - $5,000,000P4 =More than $50,000,000S = A s s c s s m c n tW =Est i mat ed

D =$5,001 - $15,000H 2 =More than $5,000,000M = $1 00,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k c t

E = $ 15 ,0 0 1- $ 50 ,0 00


18/21



Date of Report7/26/201 l

V I I . I N V E S T M E N T S a n d T R U S T S - i.eo,.e, val.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o 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 ro s s v a lu e a t e n d T r a n s a c t io n s d u r in g re p o r t in g p e r io d

( in c lu d in g tr u s t a s s e t s ) 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 ) I (4 )

PIace "(X)" after each asset A m o u n t Type(e.g.. V a lu e V a lu e Type(e.g., D a t e Value ] Gainexempt from prior disclosure Code I d iv ., r e n t , C o d e 2 M e t h o d b u y , s e l l , m r n / d d / y y Code 2 ] Code 1( A - H ) o r i n t . ) (J-P)

C o d e ( Q _ W ) 3redemption) (J-P) (A-H)

2 3 9 . - H i g h l a n d L o n g / S h o r t F u n d2 4 0 . - i S h a r e s C o h en & S t ee r s F u n d2 4 1 . - i S h a r e s M S C I C D A I n d ex F u n d2 4 2 . - i S h a r e s M S C I M ex i co F r ee F u n d2 4 3 . - i S h a r e s M S C I Th a i l an d F u n d2 4 4 . - iS h a r e s M S C I Tu r k ey F u n d2 4 5 . - iS h a r e s R u s s e l l M i d cap F u n d246. - iShares S&P Latin Ame rica Fund247. - iShares Silver TR248. - iShares TR Fund

249 . - Ivy Asset Strategy Fund250. - JPM Chase Cap X VI Stock

251. - Janus Forty Fund252 . - Kayn e Ander son M LP Fund25 3 . - Leg g M a s o n F u n d

254. - MFS Value Fund255 . - Ma in s t a y H i gh Y i e ld Fund

S o l d 10/06/10B uy 01/10/10B uy 04/29/10B u ~ 10/06/10B uy 06/16/10B uy 10/06/10S o l d 05/24/10B uy 10/06/10B uy 12/09/10B uy 01/10/10

JJ

JJJJJJJJ

( s )Identity of

b u y e r / s e l l e r(if private


B u y 10/08/10 JSold 10/06/10 J

B u y 01/07/10 J

Sold 04/06/10 J

Sold 05118/10 J

B u y 10/08/10 J

1. I nc ome Ga in Codes :(See C ol u mns B I and

2. Value Codes( S e e C o l u m n s C I a n d D 3 )


A =$ 1,0 0 0 or l essF =$50,00! - $ 100,000J =$ 15 ,0 0 0 or l essN = $250,001 - $500,000P3 =$25,000,001 o $50,000.000Q = Appra isa 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 ost (Real Est a t e Onl y)V = O t h e r

C =$2,501 - $5,000H I =$ 1,000,001 - $5,000,000L =$50,001 - $I00~000P 1 =$1.000,001 - $5,000,000P4 =More than $50,000,000S A s s e s s m e n tW =Esl i mat cd

D =$5,001 - $15,000H 2 =M ore t h an $ 5 ,0 00 ,0 00M =$ 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


19/21

FINANCIAL DISCLOSURE REPORTPage 19 o t"21



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 o la 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.De scrip tio n o f A ssets In co m e dur in g Gross value at end Transact ions dur ing repor t ing per iod( including t rust assets) re po rtin g perio d o f rep orting period

( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset A m o u n t Type (e.g., V a lue V a lue Type (e.g., D a t e Va l ue G ain Iden tity o fexempt f rom p r ior di sc losure C o d e 1 div., rent, Co de 2 Method buy, se l l , mm/dd/yy Co de 2 Code 1 buy e r / se l l e r( A - H ) o r i n t . ) (J-P) Co de 3 redempt ion) (J-P) ( A - H ) (if private

(Q -W ) tra n sa ctio n )

2 5 6 . - M a r k e t V e c t o r s E T F F u n d

2 5 7 . - M o r g a n S t a n le y C a p T R I V S t o c k

2 5 8 . - N a t i x is A S G G l o b a l F u n d2 5 9 . - P I M C O E m e r g M k t s B d F u n d2 6 0 . - P i o n e e r C u l l e n V a l u e F u n d

2 6 1 . - P o w e r S ha r e s T R D y n a m i c F u n d

2 6 2 . - P o w e r S h a re s D W A E m e r g M k t F u n d

2 6 3 . - P o w e r S ha r e s S & P S C E n e r g y F u n d

2 6 4 . - R y d e x E T F T R I n d e x F u n d

2 6 5 . - R y d e x E T F T R F u n d

266. - SPDRGold Trust

2 6 7 . - S u n A m e r i c a S t r a te g i c F u n d

2 6 8 . - V a n E c k G l o b a l F u n d2 6 9 . - V a n g u a r d G r o w t h E T F

2 7 0 . - V a n g u a r d T o t a l F u n d

2 7 1 . - W e l l s F a rg o C a p

2 7 2 . T m s t # 1 ( X ) I n c o m e B e n e f i c i a r y

B uy 10/06 /10 JB uy 10/08 /10 JSold 04/05 /10 J

S o l d 05/20/10 JS o l d 07/20/10 JB uy 10/06/10 JB uy 01/07/10 JB uy 03/17/10 JB uy 03/10/10 J

S o l d 03/02/I 0 JS o l d 03/17/10 J

D Distribution M TBuy 10/I 1/I0 J

1 . I nc ome Ga in Codes : A = $1,000 o r less B = $ 1,001 - $ 2,500 C =$2,501 - $5.000(Se e C olum ns B I a nd 1)4) F =$ 50,001 - $ 100 ,0 00 G =$100,001 - $1.000,000 H 1 =$1,000,001 - $5,000,000

2 . Val u e C odes J =$ 15 ,0 0 0 or l ess K =$15,001 - $50.000 L =$50,001 - $100.000(See C ol u mnsC I and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000 P1 -$1.000,001 - $5,000,000

P3 =$25,000,001 o $50,000,000 P4 =More than $50,000,0003. Va lue Method Codes Q = Appra isa l R =C ost (Real E st a t e Onl y) S = A s s c s s m e n t(See C ol u mn C 2) U = B o o k V a l u e V = O t h e r W = E s t i m a te d

D =$5,001 - $15,000H 2 =M ore t h an $ 5 ,0 0 0 ,00 0M =$ 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


20/21

FINANCIAL DISCLOSURE REPORTP a g e 2 0 o f 2 1 Iame o f Person Repor t ingM u r t h a , J. G a r v a n Date o f Repor t7/26/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.a,,~ica,epart of report.)N o t e # 1, L in e 3 9: L ~ m lt e d P a rt n er sh ip li qu id a te d C a s h d is tr ib u te d t o p a rt n er s.N o t e # 2 , L i n e 5 5 ~ ~ "~ ~ ! L i m i t ed P a r t n e r s h i p m er g e d w i t h ~ ~ ! L i m i t ed P a r t n e r s h p # 4No te #3, L ine 79 : ~ i~ ~i , ~ L imited Par tnership l iquida ted . Cash d is t r ibuted to P ar tners .


21/21


IX. CERTIFICATION.

N a m e o f P e r s o n R e p o r t in gMurtha, J. Garvan

Date o f Repor t7/26/2011

1 c e r t if y t h a t a l l 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 in 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 ) 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 tu t o r yp 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 re .1 f u r t h e r c e rt i 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 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 nco m p l i an ce w i t h th e p r o v i s i o n s o f 5 U . S . C . ap p . 5 0 1 e t . s eq . , 5 U . S . C . 7 3 5 3 , an d J u d i c i a l C o n f e r en c e r eg u l a t i o n s .

Sign ature : S/J. Gar van M urtha

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W 1 L FU L L Y F A L S IF 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 IV 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 DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

garvan j murtha financial disclosure report for 2010

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