mark l wolf financial disclosure report for 2009

8/3/2019 Mark L Wolf Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/mark-l-wolf-financial-disclosure-report-for-2009 1/22

~̄ o J o ] FINANCIAL DISCLOSURE REPOR T R . p o r , R e q ~ d r e d b y th e E t h t c sin Government ,4ct of 1978

R ~ . 1 / 2 0 ~ 0 [ FOR CALENDAR YEAR 2009 ( 5 U . S . C . a p p . § § 1 0 1 - 1 1 1 )

I . P e r s o n R e p o r t a n g ( l a s t n a m e , f i r s t, m ~ d d l e m l t m l ) 2 . C o u r t o r O r g a n i z a t i o n 3 , D a t e o f R e p o r t

Wol f , Mark L . D l s t r t c l o f M a s s a c h u s e t t s 05/14/2010

4. T itle (A rticle III judges mdtcate active or senior status, 5e. R eport Type (check appropriate type} 6. Reporting Periodmagistrate judges indicate fall- or paN-time)

[] Noannatmn, Date 01/01/2009

U.S District JudgeActive [] lntt,al [] Annual [] Final to

12131/2009

5b. [] Amended Report

% Cham bers or Off ice Address 8, On the basis of the iliformatlon contained in this Repor t and an}’modifications pertaining =hereto, it ls~ in my opinion, In compliance

1 Courthouse Way with applicable law~ and regulations,

Suite 51 10

Boston, MA 02210Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete aH parts,checking the NONE box for each part where yoa have no reportable informalion. Sign on last page.

I . P O S I T I O N S . (Reporting indi~Mual only; see pp. 9-t3 of fihng insttucth, ns.)

[---] N O N E (No reportable positions.)

POSITION NAME QF QRGANIZATION/ENTIT¥

I, Chairman Emeritus. D~rector Albert Schwe~tzer FellowshO

2 Chair John W,Iham Ward Fellowship

3, Trustee ~ Personal Residence Trusl

4

II. AGREEMENTS. t ~ . ~ o . , i .~ ~ . a , .~ a , .~ t o . t ~ ; ~ . ~ p . u - ~ o ~ a t ~ g i n s t r u c t i o n s . )

~ NONE ( ~ o reporlab[e agreemenls.)

PARTIES AND TERMS

1



|

FINANCIAL DISCLOSURE REPO RT Nam e o f P .... Report ing I Date o f Report

of 22 w o J f , M a r k L.

I

0 5 ! 1 4 / 2 0 1 0

1 1 1 . N O N - IN V E S T M E N T I N C O M E . f n e p o , , i ~ g individuatandsp .... ; see pp. 17-24 of filing instructions.)

A. F l ie r ’ s Non-Inves tment Incom e

N O N E (No reportable non-investment income.)

D A TE SO U R C E A ND TY PE INC O M E(yours, not spouse’s)

I

2

B. Spotlse~s Nol~-] nvestmellt I n c o m e - If.yon were married durit~g any portian of the reporting year, complete this section.

(Dollar amount riot requtred except for honoraria)

~] N O N E (No reportable non-investment income.)

D A T E S O U R C E A N D TYPE

1

2

3

4

IV. REIMBURSEMENTS ..... ~ , ..... t o , , , i o a g ~ , ,g , f o o a , ~ , , , , , ~ . . . . . . . .

(Includes those to ~ pouse and depend ent children, see pp 2.5- 27 of filing instruettons.)

[---] N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE I T EMS PA ID O R PR O V I D ED

1. New York Patent Law 3127-3/29 New York, NY droner of the federal (Tmnsportatton, food, lodging)

Associatmn .ludtctary

2 Hofstra U Law School 10/18-10/19 Garden Ctty, NY prescntatton at symposium (Transportation, food, lodging)

3

4.

5



FINANCIAL DISCLOSURE REPO RT

o f 22 W o ~ f , M a r k L . 0 5 / 1 4 / 2 0 1 0

V. GIFTS. a,a~N O N E (No reportable g~s.)

SOURCE DESCRIPTION VALUE

1 .

3.

4.

5.

V I . L I A B I L I T I E S . a,e~dcs ,ho~ oyeZ, ...... d e p c n d ~ n t c h i ld r e n : s e e p p . 3 2 - 3 3 of fi l ing instrue,ions.)

~ N O N E (No reportable liabilities.)

CREDITOR DES~R!PTION V A L U E C O D E

1 .

2

3

5 .



FINANCIAL DISCLOSURE REPO RT r ~ a . , ~ o f r e .o n a e p o . ~ o et

D . t . o r e e p o r t

of 22 w o l f, M a r k L.

[

0 5 / 1 4 / 2 0 1 0

VII. INVESTMENTS and T R U S T S - ~ ....... t , ¢ , , ...... ~io~, ancl.d~ ¢hos¢ of sp ...... d depende.t childre.ste pp. 34-60 of filing In,tr.ction~)

NONE ~o reportable income, assets, or transactions )

A B. I C D

D e s c r i p t i o n o f A s s c l s l n c o m ~ d u r i n g

~

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

(mciudmg ~s~ assets) reposing p~od o f r e p o s i n g p e r , o r

P l a c e " ( X ) " a ~ e r e a e h a s s e t A m o u n t T~e(e.g.,I V a l u e V a l u e ~e(e,g, [ ~te ~ V~lue G a i n l demi~ ofexempt f~m prior d~losure , C o d e I div, rent, ~ C o d e 2 ’ M e t h o d b u y . s e l l , ]mm!dd/vy Code 2 C o d e I buyer/~ller

j (A-H) ....

t.)’ (J-P)’ C~de3 r e d c m p t , o n ) ~ " [ (J-P)

[(A-H)

( , f p r i v a t e

{.~ (Q-~ [ f f a n s a c t i o n )

1. Fideh~ USA (MM) C Dividend K T

2. Bank or Am erica (Checking) A Inlerest K T

[ 3 Batik of Am crtca (Savmgs) A lnlerest K T

4. Atlantic W hitehall G F (IVlutual) None Sold 03/04/09

5 AIM Llq Ass MM Fund (MM) A lnterest Sold 03/11/09 M

6 AIM Liq Ass MM Fund (MM) A Interest Sold 03/11/09 M

7 Atlanttc W hitehall Eq Inc. Fund None Sold 03/04/09 K

~ ,. Atlantic Whitehall Mtdeap Growth (Mutual) None Sold 03/04/09

. 9 . McDonatds (Stock) A Divtdend K T

10 Foxborough MA 5 25% I 1/15/09 B I n t . / D ~ v . Sold 1 1 / 1 5 / 0 9 K

I 1 EMC Corp MA (Stock) None Sold 03/06/09 J

12 Atlantic Whttehall /vhdcap Growth (Mutual) None Sold 03/04/09 J

13 At lan ti c Whi tehall Growth FUnd (Mutual) None Sold 0 3 / 0 4 1 0 9 J

14 Neuberger Berrnan Genes~s Fund None Sold 03/04/09 K

15 LI’I_.O, LLC (Ltm~ted Lmblhty Corp.) E Dtvidend M W

16 AIM Liq. Ass (MM) A Interest Sold 03/09/09 J

17 AIM L~q Ass (MM) A Interest Sold 03/11/09 J

(See Colum ns B I and D 4) F =$50.001 - $100,000 O =$100,001 - $1.000.000 H I =$1,000.001 - $~.000.000 H2 =More than



FINANCIAL DISCLOSURE REPO RT N . ~ e o f P e r s o n ~ e p o . ~ .g [

P age 5 o f 2 2 W o lf , M a r k L.

[

0 5 / 1 4 / 2 { ) 1 0

VII. INVESTMENTS and TRUSTS - i,, .........,, ...... , i o~ , a~

N O N E (No reportable income, assets, or transact~ot~.)

A B C DD c s c H p r o n o f A s s e ts Income d~ing Gross value at ~d T r a n s a c t i o n s d u ~ n g r e p o ~ i n g

0ncludmg trot ~ssets) reponlng period of reporting pcn~

P l a c e " ( X ) " a f t e r e a c h ~ s c t A m o u n t [ T y p e ( e .g , Value Value T~e (c.g.,

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 d ~ v , r e n ~ C o d e 2 M e th o d b u y , s e l l , ~ mm/d~ [ Code 2 C o d e I b u y e r / s c l l e r( A - H ) o r in t ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a ~

18 AIM Liq Ass (MM) A latcrest Sold 03/11/09 M

1 9 . Citizens Bank (Savings and Checktngs) A Interest K W

20 Mass. Stat. Cons MBIASERD 5.5% (B ond B Interest Sold 3/12/09 K A

21 Boston MA GO 5% 8/I/13 (Bond) A Interest Sold 3 / 1 2 1 0 9 K A

2 2 . Brookhne MA GO 5.125% (Bond) A Interest Sold 0 4 / 0 1 1 0 9 K

2 3 . MAW r Poll ABTMT 5 15% 8/I/09 B Interest Sold 8/I/09 K

24 MBTA Sales Tax 5 25* /, 5/1/11 (Bond) A Interest Sold 3 1 1 2 / 0 9 L B

25 MA W tr Res. Auth 5 25% 8/1/I I (Bond) A Interest Sold 3/12/09 L C

26 Norwell, MA FG IC 5% 11/15/15 A Interest Sold 3/12/09 K A

27 Dodge & Cox lntl Stock Fund (Mutual) None Sold 03/04/09

28 AIM Liq Ass. MM FUnd (MM) A Interest Sold 03/02/09 L

29 Dodge & Cox Int’l stock Fund (Mutual) None Sold 03/04/09

30 AIM L~q. Ass MM FUnd (MM) A Interest Sold 03/02/09 K

3 1 . Atlantic Whitehall Eq. inc, (mutual) None Sold 03/04/09 L

32 Managers Time Sq M~dcap Growth None Sold 03/04/09 K(Mutual)

33 Atlantic W h)tehall Eq. Inc (mutual) None Sold 03/04/09: K

34 Managers Time Sq Midcap Growth None Sold 03/04/09 : J(mutual)



FINANCIAL DISCLOSURE REPORT ~ m e o f P e ~ o n I ~ e p o , ~ * n ~ [ ~ a , e o f ~ e p e .

Iage 6 o f 22 w o l f , M a r k L . 0 5 / 1 4 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~nco~,. ~t,,. ~.~,~,io~ a~t,a., ~o,~ o~, ...... ~ depeMent childrenl S e e p p . 3 4 - 6 0 of f!llng I n s t r u c t i o n s . )

N O N E (No reportable income, assets, or transactiom’.)

A. ~Ineom~unng C D ......

D e s e r i p t to n o f A s s e ts G r o ~ 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

,,ncludmgt~st .... ts) ~ repoa~ngperiod ~ ofr~o~,ngpermd

P l a c e " ( X ) ~ ’ a ~ e r e a c h z s s e t l A m o u m ~ T~e (e.g. , ’, V a l u e V ~ lu e T y p e ( e g , ’, Date I Value~ .Gain l d e ~ t ~ t y 0 r

e x ~ p t f r o m p r i o r d ~ s c l o s u r e [Code I ~ d~, ten; ! C o d e 2 M e l h o d b u y , ~ 1 1 ,~dff’~

a ) e r / s c t 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 , ~

~ ( A - H ) ’

( i f p r l v a t ~

J[ ( Q - W )I~

t r a n s a c t , o n ,

3 5 . Lazard emerging Market Fund (rout) None Sold 03/04/09 J

3 6 . Ame~ Centu~ Intl D~sc Fund (rout) None Sold 03/04/09 J

3% Lazard Emerg Markets tmutual) None Sold 03/04/09 J

3 8 . Amcr. Centu~ lntl Disc Fund None Sold 03/04/09 J

39 Ishare Russell 1000 growth fund exchange None Sold 03/06/09 K

40 lshare Russell 1000 Value FUnd (ETF) None Sold 0 3 / 0 6 1 0 9 J

41 lshare Russell M~deap Growth Fund None Sold 03/06/09 J

42. Lazard Emerging Markets None Sold 03/06/09 J

1 4 3 Amer. Century Intl Disc (Mut) None Sold 03/06/O9 J

44 l~hare Russell MSCI EAFE reded fund Nooe Sold 03/04/09 J(ETF)

45. Ishare Russell 1000 Value (ETF) None Sold 03/06/09 M

46. Ishare Russell 1000 Value ~ETF) None Sold 03/06/09 J

4 7 . Ishare Russell Midcap Growth (ETF) None Sold 03/06/09 K

4 8 . M a, St. Sales ’Fax 5% 8/15/17 A I n t e r e s t K T

49 IRA #1 B Dividend L T

50 - CurrencyShares Japanese Yen Trust Buy 03/12/09 J

5 1 . Sold 12/16/09! J A

, I Income Gain Codes A =$1.0~0 or t tzs B ~$1,001-- $2,500 C -$2,501 - $5,~0 D ~5,00~ - $15,~0 E =S[ 5,001



FINANCIAL DISCLOSURE REPOR T S a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r t

P age 7 o f 2 2 Wol f , Mark L . 0 5 / 1 4 / 2 0 1 0

V I I . IN V E S T M E N T S a n d T R U S T S - ~ . . .. e , ~atue. t ....... tlons (Inctudes those of spouse and depenaem chltaren: seep,. 34-60 of filing instructions.)

N O N E (No reportable income, assets, or transactions.)

A B C. D

D e s c r tp u o n o f A s s e ~ ] I n c o m e d u n n g Gro~ value at end T r a n s a c t i o n s d u ~ n g ~ p o r t in g p e r i o d

(including t~st asse~) [repoSing period o f r e p o s i n g p c r t o d

P l a c e " ( X ) " a f t e r e a c h ~ s e t I Amount [ Type re.g, Value ~ Value ’, T ~ (¢ g., Datc[ Value Ga=n [ l d e n t t t y o f

e x e m p t f ~ m p r io r d ~ s c l o s u r ~ I ~od~ I [ d ~ v . , r ~ = . , ~ o ~ 2 I M e t h o d b u y , s e l l . = ~ d ~ y y C o d e 2 Code I [ b u y ¢ r / s c f l e r(A-H) ! or mr) (I-P)

~C o d e 3 r e d e m p t i o n ) ’ O - P ) (A-H) , ( i f p r i v a t e

[ t m n s a c t m n )

52 - =S har ~s B ar c ]ays 20+ Y ear T r c~u~ B ond B uy 03/12/09~ ~

5 3 . Sold 06/02/09

54 - tShares Barclays: TIPS Bond Fuud 5.298% B uy 03/I 2/09

5 5 . Sold 06/02/09 J A( p a r t )

5 6 . - ~Shares FTSE/Xinhua China 25 Index B uy 03/12/09 J

57 Sold 06/02/09 J A( p a r t )

5 8 . - iShares iBoxx Investment G rade Corporate B uy 03/12/09 JBond Fund

59 Sold 10/02/09 J A(part)

60 - iShares GSCI Commodity Trust B uy 03/12/09 J

6 1 . B uy 06/02/09 J

(add’l)

6 2 . Sold 1 0 1 0 2 1 0 9 J A(part)

63 Sold 1 ] / 2 0 / 0 9 J A

64 - SPDR Barclays Capital International B uy 03/I 2/09 JTreasu~3, B ond

65 Sold 12/16/09 J

66 - SPDR Gold Tn~st B uy 0 3 1 1 2 / 0 9 J

67 Sold 1 2 1 2 3 1 0 9 J A

(part)

68 - Vanguard Bond Index Fund B uy 0 3 1 1 2 1 0 9 J

Income Gain Codes A -$1,000 or le~s B =$1,001 - $2,500 C =$2,501 - $5,00D D =$5,001 - $15,000 E =$15,0,~1 - $50,000

(See (-’olun’m~ B I and ~ ) F -$50,001 - $11~’1,0~10 G =$1Pd),001 - $ L000,000 Il l =$1,000,OD] - $5,000,000 112 =More than $5,000,000Value Codes J =$15.000 or less K =$15,~01 - $50,000 L ~$50,fl01 - $ IO0,t’)~O M =$lO0,001 - $250 ~30

(See C~Iumns CI and D3) N =$2~0,001 - $500,000 O =$ 50 0,,~ 1 - $1,00 0,0 00 PI =$ 1,0 00 ,0 0t - $ 5,000 O00 P2 =$5,000,0~)1 - $25.000,000

P3 =$ 2 5 .0 0 0 ,0 0 1 - $50,000,000 p4 =More than $50,000.00(}



N a m e o f P e r s o n R e p o r t in gI

D a t e o F R e p o r tFINANCIAL DISCLOSURE R E P O R T

I W o l f , M a r k L .age 8 of 22 o ~ / ~ 4 / 2 0 ~ 0

V I I . I N V E S T M E N T S a n d T R U S T S ...... ,, ;~alu¢, t ..... tigris (Includes those of spo ..... d dependent chddren; see pp. 34-60 o/fihnK i n s w u c 6 o n . ~ )


Descrlptlon of A~¢ls i l~¢om¢ d~rlng

~

Gross value at end m~nsaet~ons d~rlng ~portlng period

(including lmst ~selg)i

~pomng period of~poomg period

Pla~e"~)" after each asset A m o u n t r~ (e g, , Value Value T~e (e g, , D a t e ! Value ~ Gain [ ] d e n t ~ t y o f

.... pt frompnord, selo .....~ ( A - H ) o r m r . ) 0-P) C o d e 3 r e d e m p t i o n ) ~ ~ ( J - P ) [ (A-H) ~ ( f f p n ~ a ~ e

69 - Vanguard International Eqm~ Index B uy 0 3 / 1 2 , ’ 0 9 J

70 S o l d 0 0 0 2 / 0 9 1 J A( p a r t )

7 1 - V an gu ar d R EI T I nd ex B uy 03/12/09 J

72 Sold 07/16/09

73 - Vanguard Total Stock Market Index B uy 03/12/09 J

7 4 gold 06/02/09 J A( p a r t )

7 5 . - iShares MSCI Japan Index B uy 03/29i09 J

7 6 . - tShares MSCI }long Kong Index B uy 04/16/09 J

77 Sold 10/02/09 J A

7 8 . - Claymore!BNY Mellon BRIC Index Buy 06/02/09 J

79 - ~Shares Barclays 7-I0 Year Treasury Bond B uy 06/02/09Fund

80 - Vanguard Bond Index Fond B uy 07/16/09

$ I - iShares JPMorgan USD Emerging Markets Bu y 1 0 / 0 2 / 0 9Bond Fund

8 2 . - tShares MSCI Germany Index B uy 10/02/09

8 3 . - ~Shares Russell 2000 Index B uy 10/02/09

i 8 4 - DB Commodity Index B uy 11/20/09 J

85 - SPDR International Gov’t Buy 12/16/09 JIr~flation-Protected B o n d Index

I Income GainCod~ A =$ 1.000or less B-S1,001 -$2,500 C =$2,501. $’i,000 D =$5,001 - $15,000 E =$1_~.001 -$50,000

(See Columns BI trod D4) F =$50,001 - $100,()00 O =$1O0,00l - $ t,000.000 HI =$1,000.00~ - ~.5,000,000 H2 =More th~n $5,00~3,000

2 Value Co:lea J =$15 000 or [¢s~ K =~ 15,001 - $50 0011 L =$50,001 - $10fi,O00. M =$100,00! - $250,0~Y0

(Se e C olu mn ~, CI an d D J) N =$ 25 0,0 01 - $ 50 0,0 00 O =$50fl,0fll - $1,000,000 P I =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 , P 2 =$ 5, 00 0, 00 . - $2 5, 00 6. 00 0

P3 =$25,000.001 - $50.000,000 p4 =More lh~n

3 Vakt¢ Mclhod Codes Q =A ppraisal R =Co~t (Real Estate OnlyJ S =As~ess~em T =Cash Markc~

(See Column C2) U ~Book *value V ~OIh~-t ~h =[-st~malec



N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPOR TW o l f , r ~ k L .age 9 of 22 o 5 / ~ 4 / z 0 ~ 0

VII. INVESTMENTS and TR USTS ...... e, valne, t ..... tton~ (Includes those of sp .. . .. . d depend ... . h i l d r e n ; . ~ ’ e e p p . 3 4 - 6 0 o / fi l in g m s t r n c t l o t ,s . )

~--~ NONE (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u n n g Gross value at end1 Tran~ctlons dunng re~rtlng period

( i n c l u d i n g t r u s t a s s e ~ ) reposing pe~od o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a t l e r e a c h a s ~ t A m o u n t = = T y p e ( e g .. Value Value ~ T~e (c g, [ Date ~ Value Gum ] I d o n t , t y o f

e x e m p t f ro m p f o r d ~ s e l o s u m Code I d i v , , r e n t , C o d e 2 M e th o d b u y , s e l l ,I~d~ ’, Code 2 Code I!

b u y e r / s e l l e r( A - H ) ~

o r r o t ) ( J - P ) C o d e 3 ~ d e m p t ~ o n ) ’. (J-P) , (A-H) 0fpnvale

__[ ......

[( Q - W )

~[ , t ..... t i o n )

86 - W ~sdomTree Dreyfus Emerging Cu~ency B uy 1 2 1 0 6 / 0 9 JFund

87 . NASDAQ I00 Index B uy 12/23/09 ~

88

89

9O

9 1 . IRA #2 C Divtdend M T

92 - CurrencyShares Japanese Yen Trust Buy 03/12/09 J

93 Sold 12/16/09 1 A

94 - tShares Barclays 20+ Year Treasury Bond Buy 03/12/09 J

95 Sold 06/02/09

96 - iShares Barclays TIPS Bond Fund 5.298% Buy 03/I 2/09 K

97 Sold 0 6 1 0 2 / 0 9 J A(part)

98 - ~Shares FTSE/’Xmhua China 25 Index B uy 03/12/09 J

99 Sold 06/02/09 J A(part)

I ~ 0 0 - tShares ~Boxx Investment G rade Corporate B uy 03/12/09 K! Bond Fund

1 0 1 Buy 03/27/09 J

(add’l)

] 0 2 Sold 10/02/09 3 B(part)

Columns BI and D4) F =$50.~1 - $1~,~0 G = $100,001 - $1,0~,000 HI =$1,~0,00t - $5,~,0~ H2 =Mo~ ~an $5.000,000

P3 ~$25,0~,001 - $50,000,000 P4 =More than $50.000,~



FINANCIAL DISCLOSURE REPORT ~’a~e of p . . . . . R e p o r t i n g[

D a t e o f R e p o r t

Page 1 0 of 22 W o lf , M a r k L . 0 5 / ! 4 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ . . . . . value, t ...... tiott, (Includes thaw of sp ..... d a~n~,,a,nt chilar~n; s,~pp. 34-60 of filing hts~uction~)


c. [ D,

D e s c n p t l o a o f A s s e ~ I n c o m e d u n n g : Gr~ss value al end Transitions during re~omg period

0neludmg t~st asse~) r e p o a i n g p e r ~ o d ~ o f r e p o ~ m g p e r io d

Place "(X)" a~er ~ch ~set [ A m o u n t T~c (e g, Value Value T~¢ (e g., D a~ Value G a m I d e n t i t y o f

exempt from prmr d~losure ~ C od e I d ~ v , r e n k C o d e 2 ~ Me~od b u y , ~ e l l , ~ m m / d ~ / y y : C o d e 2 C od e I b u y e r / s e l l e r[ (A-I~ . o r a t . ) O - P ) ; C o d e 3 ~ d e m p t l o n ) [ ( J - P ) ( A - H ) ,i ( f f p n v a t e

t r a n s ~ e t i o n )

t03. - iShares G SCI Commodity T~st B uy 03/12/09 J

1 0 4 B uy 06/02/09 J(add’l)

1 0 5 Sold 10/02/09 J A( p a r t )

1 0 6 . Sold 1 1 / 2 0 / 0 9 J A

1 0 7 - SPD R B arclays Capital International B uy ; 0 3 / 1 2 1 0 9 JTreasury B ond

1 0 8 Sold 1 2 / I 6 / 0 9 J A

1 0 9 - SPDR G old Trust B uy 0 3 1 1 2 / 0 9 : J

1 1 0 Buy 06/03/09(add’l)

1 1 I . Sold 1 2 1 2 3 1 0 9

(part)

1 1 2 - Vanguard Bond Index Fund B uy 03/12/09

1 1 3 . B uy 07/16/09 J(add’l)

1 1 4 , - Vanguard lnternal~onal Equity Index B uy 03/12/09 J

1 1 5 . Sold 06/02/09 J B

(pan)

1 1 6 -Vanguard REI’I Index B uy 03/12/09 J

1 1 7 Sold 0 7 1 1 6 1 0 9 J A

Vanguard Total Stock Market Index Buy 03/12/09 K

1 1 9 Sold 06 / 02 / 09 J A(part)

} I n c o m e ( { a z n Codc~ A = $ L O 0 0 o r l e s s B = $ 1 , 0 0 1 - $ 1 2 , 5 0 0 C ~ $ 2 , 5 0 1 - $ 5 , 0 0 0 D ~ $ 5 , O 0 1 - $ 1 5 , 0 0 0 E = $ I 5 , 0 0 1 - $ 5 0 . ~ O



FINANCIAL DISCLOSURE REPOR T N .... f P e r ~ o . R e p o r t in g D a t e o f R e p o r t

Page 1 1 o f 22 W o l f, ta ~ r k L . 0 5 n 4 / 2 0 1 0

VII. INVESTMENTS and TRU STS - in ....... t , , . , t . . . . . . . t i o . , ~ (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 a f f i l i n g

[ NONE ~o reportable income, assets, or transactions.)

....... A. ~ B. C. DD e s c r i p t io n o f A s s e ts .. 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 Tr~ctlons during repo~mg ~rlod

( i n c l u d i n g ~ r u ~ t a s s e t s ) ~ repo~ng period o F r e p o a m g period

e x e m p t f r o m p r i o r d m e l o s u r e iC°de I~

d s v , r c n L C o d e 2 : M e th o d : buy, sell. m~dd/~ Code 2 ~ Code I ’ b u y e r / s e l l e r

] (A-H)

orint.) ...... ( J - P ) ’ Code3~d~mption)~,V~ ~ ....

~(J-p~ ~ -(AH) ~

1 2 0 Sold ; 1 2 / 0 6 1 0 9 J A

1 2 1 . - iShares MSCI Japan Index B uy :03/29/09 J

~ 1 2 2 . - 1Shares MSCI Hung Kong Index B uy 04/16/09 J

1 2 3 Sold 10/02/09 J 1 3

]24 - Claymore/BNY Mellon BR.IC Index B uy 06!02/09 J

1 2 5 - iShares B arelays 7-10 Year Treasury B ond B uy i 06/02/09 JF u n d

’ 126 - iShares JPMorgan USD Emerging Markets B uy 1 0 / 0 2 1 0 9 J13ond Fund

127. - ,Shares MSCI Germany Index B uy 10/02/09 J

!28 - iShares Russell 2000 Index B uy 10/02/09 J

1 2 9 - DB Com modity Index B uy 11/20/09 J

1 3 0 , - SPD R IntemaUonal G ov’t B uy 1 2 1 1 6 / 0 9 JInflalion-Protected Bond Index

1 3 1 - WisdomT ree Dreyhls Emerging Currency B uy 12/06/09 JFund

1 3 2 - NASDAQ 100 Index B uy 12/23/09 J

1 3 3

]3 4

!3 5

t36 BROKERAGE ACCOUNT #I



FINANCIAL DISCLOSURE REPO RT Nam eo f P . . .. R e p o r t i n gI

D a t e o f R e p o r t

Page 1 2 o f 22 W o l f , M a r k L .

I0 5 / 1 4 / 2 0 1 0

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 . ~ , , . . . . . . , i o . . a . c ~ . d e s ,hose o/~, . .. . . ~ a ~ p e . a ~ . , e~u.~. , . ,ee~,~ ~-~0 o/~ t~ ~-. ,. .~,~o, , .V


A. ~ B C D

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

( i n e t u d m g t n ~ : ~ t o 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 ,

P l a c e " ( X ) " a f t e r e a c h a , s e t A m o u n t T y p e ( e g , Value Value i T y p e ( e g . , [ Date ! Value t Gain Ident~ of

.... pt from prior d~scl ..... C°dcl di ..... t. Code2, M e t ho d b u y . s e l l , [ m r r d d d ! y y Code 2 i Code I,b u y e r / s o l , o r

(A-H) I o r l n t . ) ( J - P ) ’~ C o d e 3 I r e d e m p t i o n )

I I(JP)(A-H) ( i f p r i v a t e

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

1 3 7 . CurrencyShares Japanese Yen Trust None Buy 03/16/09 J

38 B uy 04/02/09

(add’l)

3 9 . Sold t 2 / I 6 / 0 9

1 4 0 iShares Barclays 1-3 Year Treasury Bond A Dividend K T Buy 03/16/09 KFund

1 4 ] . B uy 04/02/09 J(add’l)

1 4 2 B uy 0 6 1 0 2 / 0 9 J

(add’l)

1 4 3 . Buy 1 J . / ] 7 / 0 9 J(add’l)

1 4 4 . tShares Barclays 20+ Year Treasury Bond A Diwdend Buy 03/16/09 J

1 4 5 . B uy 04/02/09 J(add’l)

1 4 6 Sold 06/02/09 J

1 4 7 ~Shares Barclays TIPS Bond Fund 5.298% A Dividend K T B uy 03/16/09 J

1 4 8 B uy 04/02/09 J(add’l)

1 4 9 Sold 06/02/09 J A(part)

1 5 0 Buy 1 1 / ! 7 / I ) 9 J(add’l)

1 5 1 iShares FTSE/Xinhua China 25 Index A Dividend J T B uy 03/16/09 J

1 5 2 ~Shares iBoxx Investment G rade Corporate A D tw dend B uy 03/16/09 JBond Fund

1 5 3 B uy 04/02/09 J(add’l)

t Income Gmn Codes’ A =$1,1100 or less B=$I,00[ .$2,500 (=$2,501 - $5,~ D=$S,00I -$15,~ E=$[5,001 -$50,~

(See Columns BI and D4) F -$50,~1 - $1~.~0 G =$100,001 - $1,0~),000 H t ~1.000,001 - $5,000,~ H2 =Mo~ than

(Se¢ Cot uml~ C I nnd D3) N =$ 250.001 - $ 5~,000 O =$500,001 - $1,000.000 P 1 =$ I ,~0,~ O I - $ 5,000,000 P2 =$ 5 ,~0,001 - $ 25 ,~0,0~P3 =$25,0~ ,001 - ~50,000.~0 P4 =Mo,e ~an $50,~,000



FINANCIAL DISCLOSURE REPOR T ~ a ~ , o f P e r s o n R e p o r t in g]

D a t e o f R e p o r ~

Page 1 3 of 22 W o l f, M a r k L.

[

0 5 / 1 4 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ . e o . , , , , t , ,o t ....... tlons (Includes tho,e of sp ... . . . d dependent children; see pp. 3 4-60 of filing instructions.)

[] NONE (No reportable income, assets, or transactions.)

-- A~ -’ t B. --° -- " C D .

D e s c r ip u o n o f A ~ e I z i I n c o m e d u n n g G r o s s v a l u e a t e n d T r a n s a c u o n s d u n n g r e p o r ti 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 of r e p o s i n g p e r i o d

(1)- (2 ) (1) I (2) il ) (2) (3) (4) ’ (5 )

P l a c e " ( X ) " a f t e r e a c h a , ’ , s c t Amount Type (e g, Value Value T y p e ( e g , Date ] Value G ain I d e n t a y o f! Code I div, rent, C o d e 2 M e th o d b u y , s e l l , m m /d d / y 3 " I C o d e 2 [ C o d e I b u y e r / s e l l e re x e m p l f r o m p r i o r d i s c l o s u r ei (A-H) o r m t ) ( I - P ) C o d e 3 r e d e m p t i o n ) ( A - H ) ( i f p r i v a t e, , ( J - P )

1 5 4 . Sold 10/02/09 J A

1 5 5 SPDR Barclays Capital Internatmnal None B uy 03/16/09 JTreasury B ond

1 5 6 B uy 04/02/09 J

(add’l)

1 5 7 . Sold 12/16/09! J B

1 5 8 SPDR Gold Trust None J T B uy 03/16!09 J

1 5 9 . B uy 04/02/09 J(add’l)

1 6 0 . Sold 1 2 / 0 9 1 0 9 J A( p a r t )

1 6 1 . Vanguard Bond Index Fund A Dividend K T B uy 03/16/09 J

1 6 2 . B uy 03/16/09 J

(add’l)

1 6 3 B uy 04/02/09 J(addq)

1 6 4 . B uy I I /1 7 1 0 9 J(add’l)

1 6 5 . Vanguard Total Stock Market Index A Diwdend J T B uy 0 3 1 1 6 / 0 9 J

1 6 6 B uy 04/02/09 J(add’l)

1 6 7 iShares MSCI Japan Index A Dividend J T B uy 03/26/09 J

1 6 8 B uy 04/02/09 J

(add’l) l

1 6 9 . iShares MSCI Hong Kong Index A Dtvtdend B uy 04/16/09 J

1 7 0 . Sold 1 0 1 0 2 / 0 9 J

h ~ c o m e G a i n C o d e : ~ A = $ 1 , 0 0 0 o r l e s s B = $ 1 .0 0 1 - $ 2 .5 0 0 C = $ 2 .5 0 1 - $ 5 .0 0 0 D -$ 5 .0 0 1 - $ 1 5 .0 0 0 E = $ 1 3 . 0 0 1 - $50,000(Set’ C o h l m n s B I t m , l D . I) F =$50,001 - $100,0~0 O =$100,0OI - $1,000,00~ H I = $ 1 . 0 0 0 . 0 O I - $ 5 . 1 ~ 9 . 0 0 0 H 2 = M o ~ th a n $ 5 . 0 1 ~ . 0 0 0

V a l u e U o d e ~ J = $ 1 5 . 0 ~ 0 o r l e ss K =$15,00 [ - $50,000 L =$50,001 - $100,000 M = $ 1 0 0 . 0 0 1 - $250,000

(See C o l u m n s ( ’ 1 a n d D3) N =$250,001

P3 =$25,000,001 - $50,000,0~0 P 4 = M o r e t ba ~ $50,000,000

V a ) u e M e t h o d C o d e s Q =A ppraisal R =Cost(Real Esta!c OnlyJ S = A s s e s s m e n t T = C . l ~ h M a r k e t

(See Column C2) U = B o o k V a l ue V = O th e r W = E s ti m a te d



F I N A N C I A L D I S C L O S U R E R E P O R T I Name of Person Reporting] Date of

V I I . I N V E S T M E N T S a n d T R U S T S - ~.co,,~, ~.~, ¢ ...... ,io.~ a.c~.d.~ ~,o~ o~o~ ~ ~,,~,~ ~,~ ~ ~. ~4-~o o~

NONE (No reportable income, assets, or transactions)

A B [ C. D

D e s c n p t m n o f A ~ e t s I n c o m e d u n n g ~ G r ~ s s v a l u e a t e n d Tmn~cuons during reining period

0ncludmg t~st asse~s) , r~onmg per iod [ o f r e p o r t i n g p e r i o d

0 ) ( 2 ) O ) 1 2 ) (0 ( 2 ) : 1 3 ) ~ ( 4 ) (5)P l a c e " ( X ) " a f t e r e a c h ~ s e l A m o ~ n l Type (¢,g..a l u e ~ V a l u e T ~ ¢ ( g . g , D a t e V a l u e l G u m ldentl[y of

e x e m p t f r o m p r i o r d i ~ io s u r e C o d e 1 d ) v . r e n t , C o d e 2 [ M e th o d b u y , s e l l , m.ffd~yy [ Cud~ 2 [ Co~ I( A - 1 ) o r m l ) ( J - P ) C o d e 3 ~demphon) ~ ( J - P ) ( A - H ) ( f f p r i v a t e

1 7 1 . ~Sharcs 7-10 Year Tr:~u~’ Bond Fund A Dividend ~ T Buy 05/02/09

’ 172. Buy 1 1 / 1 7 / 0 9 J(add’D

1 7 3 . iShar~s GSCI Commodity Trust None Buy 05]02/09 J

t 7 4 . Sold 10/02/09 J

1 7 5 . 1Shares JPMorgan USD Emerging Markets A Dividend J T B uy 1 0 / 0 2 / 0 9 JBond Fund

1 7 6 B uy ~ 2 / 1 6 / 0 9 J(add’l)

1 7 7 tShares MSCI Germany Index A Dividend J T Buy 1 0 / 0 2 1 0 9 J

1 7 8 iShares Russell 2000 Index A Dividend J T B uy 1 0 / 0 2 / 0 9 J

1 7 9 . iShares Barclays Short Treasury Bond Fund A Divtdend K T B uy ,10/28/09 K

1 8 0 B uy 1 1 / 1 7 1 0 9 J

(add’l)

1 8 } SPDR Intemattonal Gov’t A D~vtdend J T Buy 1 2 / 1 6 / 0 9 JInflation-Protected Bond Index (add’l)

1 8 2 . W ~sdomTree Dreyfus Emerging Currency A Dtvidend J T B uy [ 1 2 / 0 6 1 0 9 J

Fund

1 83 NASDAQ 100 lndes None J T B uy 12/23/09 J

1 8 4 ,

1 8 5 .

1 8 6 .

1 8 7 .

(See Columns B I and D ,:I) F =$50,001 - $100,000 G =$100.001 - $I,000,000 Ill =$1,000.0OI - $5,~0,0~ H2 =Mom ~an $S,0O0 000



FIN A N C IA L D ISC L O SU R E REPORT....P ....epo ,n, I Da,eo,Re,l

I Ia g e 1 5 o f 2 2 w o l f, M a r k L . 0 5 / 1 4 / 2 0 1 0

VII. INVESTMENTS and TR USTS - i ........ t ~ e , , . . . . . . , ~ s a ~ t ~ o ~ , o / ~ o ~ , ~ ~,~, a,~,..~ ~., ~ ~4-~o o/~,,~ ~,,,,.~.~.~


Descnptton of As~ [ I n c o m e d u r i n g G ro s s v a l u e a t e n d

(including t~t ~sseks) ~ ~orting period of repo~ng period

P l a c e " ( X ) " a f t e r e a c h ~ s s e t

lAm°untc°de I ~

T ~ e ( e . g , Value~

Valne

exempt from prior dlselosu~ ~ div, r~nK C o d e 2 Method~

buy, sell, t mm/d~ Code 2 Gode buyer{seller

/ (A-rl) ~ ....1) ( J - P ) ~ Code3 ~ d c m p t t o n ) ( J - P ) ~ ( A -H ) ( f f p r i v a t e

( Q - W )~

t r a n s a e t i 0 a )

1 8 8 B~OKE~GE ACCO~T#2

1 8 c ~ McDonald’s Corp A D~wdend K T

1 9 0

1 9 1 .

1 9 2 BROKERAGE ACCOUNT #3

1 9 3 CurrencyShares Japanese Yen Trust None B uy 03/12/09 J

1 9 4 Sold 12/16/09 1 A

1 9 5 IShares Barclays 20+ Year Treasury Bond A Dtvtdend B uy 03/12/09 K

1 9 6 . Sold 06 / 02 / 09 J

1 9 7 tSharea Barclays TIPS Bond Fund 5 298% B Dividend K T Buy 03/12/09 K

1 9 8 Sold 0 6 /0 2/0 9 J A

(part)

1 9 9 ~Shares F~FSE/Xmhua China 25 Index A Dividend K T Buy 0 3 1 1 2 / 0 9 J

200 B uy 03/12/09 J

(add’l)

2 0 ~ Sold 06 /0 2/0 9 J B(part)

2 0 2 ~Shares GSCI Commodity Trusl None J T B uy 03/12/09 J

2 0 3 Bu y 03/12/09 J(add’l)

2 0 4 Buy 06/02/09 K(add’l)

( 3 e ¢ C o h u n n C 2 ) U = B t~ k V a l u e V ~h~r W = E s t im a t e d



Ia m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tFINANCIAL D IS C LO S UR E R E P OR T

[ W o l f , M a rk L .

Page 1 6 of 22 0 5 / 1 4 / 2 0 1 0

~ NONE ~o reportable income, assets, or transaction.)

A. ’ IncomBdunnge ..... -- ~D

D e s c r i p t i o n o f A ~ e t s G r o s s v ~ l u e a l e n d [ T r a n ~ c t t o n s d u n n g r e p o s in g p e r i o d

(including t~st assets) ~pomng ~nod o f r e p o s i n g p e r i o d

i (~) ’ (~) (~) (~) (~ ) (~) (3)P l z c e " ( X ) " a f t e r e a C h a s s e t . A m o u n ~ T~e (e.g. Value Value I T)~e (e g, D a t e Value Gain ~ ldenuty 0f

exempt ~om ~nor dt~losure ~ C o d e I d ~ v . , ~ e n k C o d e 2 M e t ho d ] b u y , ~ e l l , ~/d~yy Code 2 Co~ I

[~ ( A - H )

o r m l . )

[

( J - P )

Code(Q.~O3I

r ~ c m p t ~ o n )~ (J-P)

2 0 5 Sold 1 0 / 0 2 1 0 9 K B(paa)

206. ~Shares iBoxx lnvestmentGrade Co,orate B Diwdend K T B uy 03/12,’09 JBond Fund

2 0 7 Buy 03/12/09 J

(add’l)

208. Buy 03/12/09 J

2 0 9 . Buy 0 M I 2 :0 9

(add’l)

210 Buy 03/12/09 J(add’l)

2 1 1 Sold I 0 / 0 2 / 0 9 K C(part)

212. SPDR Barclays Capitol International None B uy 03/12/09 KTre~u~ Bond

2 1 3 Sold 1 2 1 1 6 / 0 9 J B

2 1 4 SPDR G old Trust None K T B uy 03/12/09 K

2 1 5 Sold 12/23/09 K B(part)

216. Vanguard Bond Index Fund A D~vidend K T B uy 03/12/09 J

2 1 " 7 . B uy 071t3/09 J(add’l)

218 Vanguard International Equity Index A Dlwdend J T B uy 03/12/09 K

2 1 9 Sold 06/02/09 J C(part)

220. Vanguard REIT Index A D~vidend Buy 03/12/09 J

2 2 1 B uy 03/12/09 J

(add’l)

I Income Gain Codel. A =$i.000orless B=$1.00I- $2,500 C=$2,501 - $5,000 D =$5.001 - $15.000 E=$15.001-$50.000

~S~c Columns BI and D4) I- =$50.001 - $100.000 G =$ 10 0,0 01 - $ 1.0 00 .0 00 H I = $1 ,0 00 .0 01 - $ 5,0 00 ,0 00 H2 =More than $5.00~.000



FINANCIAL DISCLOSURE REPOR T [ Name o f Person Repart ing [ Date o f Report

Page 1 7 of 22

[ W o l f , M a r k L . I 0s,,4,2010

VII. INVESTMENTS and TRUSTS - i ........ ~u,, t ......ions (Intrudes those of sp ...... d d ependent children; seepp. 3 4-60 of fihng tnstractlons,)

-’-] NONE (’No reportable income , assets, or transactions.)

A [ B. C D.

Desctaptton of Assets i Income du~lng Gross valac at end Transael~ons during reporting period

(tneludmg trust asseLs) [_ reporting period of rep orh ng perio d

! - {i) 12) {l~ --1 -(~ .... ( ~ ) [ (2~ (3) (4) { 5 )Place "(X)" after each asset Amount Type (e.g., Value I Value Type (eg. , [ Date Value t Gain Identity of

mm/dd/yy

Code~l Code 1

exempt from prior d~sclosure Cede I ] dw,rent, Code 2 ] Method buy, selL 2 buyer/seller

(A-H) [ or rot.) (J-P) . Code 3 redemption) (J’P) I {A-H) 0fpnva~e

’ ! (Q -W ) ’ transaction)

222 Sold 07/13 /09 J B

2 2 3 Vanguard Total Stock Market Index B D~,~dend L T B u~ 03;12;09

224 B uy 03/] 2/09 J(add’l)

225 B u 3 , 03;12;09 J(add’l)

226. Bu y 03/12/09(add’l)

227 Buy 03/12/09 J(add’l)

228. B uy 03/12/09 J(add’l)

229 B uy 0 3 1 1 2 / 0 9 .I(add’l)

230 Buy 03;12/09 J

(add’l)

2 3 1 Sold 06/02;09 J C(part)

2 3 2 Sold 1 2 / 0 6 1 0 9 J B( p a r t )

2 3 3 tShares MSCI Japan Index A Dividend J T B uy 0 3 / 2 6 1 0 9 J

2 3 , 1 Claymore/BNY Mellon BRIC Index A D~vldend J T B uy 06/02/09 J

2 3 5 ~Shares Barclays 7-10 Year Treasmy Bond A D ~ v ~ d e n d K T B uy 06/02/09 K

236 iShares MSCI Hone Kong Index I A D~vldend B uy 0 6 / 0 3 1 0 9 J

237 Sold 1 0 ; 0 2 / 0 9 J A

238 ~Shares JPMorgan USD Emerging Markets A D~wdend K T B uy 10/02/09 KBond Fund

I. Income Gain Code~ A -$1.000 ot less 13 =$1,0Ol ¯ $2,~0~ C =$2,501 - $5,0~0 D

P3 =$2L0~,001 - $50,000.000 P4 =More thud

~See Column C2~ U =B~k Value V ~h~ W =Esnma~ed



N a m e o f P e r s o n R e p o r t in g ] D a n t e o f R e p o r tFINANCIAL DISCLOSURE REPORT

] W o l f, M a ~ k L . [0 ~ / ~ 4 r 2 0 ~ 0age 1 8 of 22

V I I . I N V E S T M E N T S a n d T R U S T S -~co.,., ~=~.¢,,r ..... tzons(Includgsthoseofsp ...... ddepcndentehildren;seepl~ 34-60offlllnglng~ructions,)


A. B, C D .D e s c n p ~ : i o n o f A s s e ~ s Income dunng G r o s s v a l u e a t e n d T r a n s a c h o n s d u n n g r e p o r t in g p e r i o d

( i n c l u d i n g t r u s l a s s e t s ) r e p or t i n g p er i o d o f r e p o rt i n g p e r , o d

(l) [ (2) O ) ( 2 ) (0 : (2 )P l a c e " I 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 T y p e ( e g , D a t z Value G a i n I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c lo s u r e Code I [ d i v , r e n t , C o d e 2 M e th o d b u y , s e l l , ~ t m m / d d i y y C o d e 2 C o d e I b u y e r ; s e l l e r(AH) [ .... t. ) ( J - P ) Code3 r e d e m p t , o n ) i ( J - P ) ( A - H ) (filtrate

( Q -W )[i

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

239. ~Shares MSCI Germany Index A Dividend .~ T B uy 10/02/09 J

240 ~Shares Russell 2000 Index A Dividend K T B uy 10/02/09 K

241. SPDR International Gov’t A Dividend J T B uy 12/16/09 JInflat,on-Protected Bond Index

242. W mdomTree Dreyf~ Emerging Currency A Dividend J T B uy 1 2 1 1 6 / 0 9 JFund

243. NASDAQ 100 Index None J T B u 3 , 12/23/09 J

244,

245.

246.

247. BROKER.AGE ACCOUNT #4 B Dividend L T

: 2 4 8 . CurrencyShares Japanese Yen Trust None B uy 03/!2/09 J

249 Sold 1 2 ] 1 6 / 0 9 J A

250. iShares Barclays I-3 Year Treasury Bond A D~vidend J T Bu y 03/12/09

251. B uy 0 3 / 1 2 1 0 9(add’l)

252. Sold 06/17/09( p a n )

2 5 3 B uy 1 0 / 2 3 1 0 9

(add’l)

254. iShares Barclays 20+ Year Treasury Bond A D~wdend B uy 03/12/09

2 5 5 Sold 06 / 02 / 09

P3 ~$25.0~,00t - $50,0~.~0 P4 =More than $ 50.~0.000



Na m e o f P e rso n Re p o r~ I ng Da re o f Re p o r~FI NA N C IA L D I SC LOS U R E R EPOR T W o l f , M ark L .

Page 1 9 o f 22 0 s / ~4 ~ 0 1 o

V I I. I~ E S T M E N T S a n d T R U S T S - i ........ ~.~, ~ ..... ,i~.~ a.a.~.~ t~o~. of ~ o..~ ..a ~.~.~ a, ua,~.; ~ . p~ ~4-~ o o/~ti.~ ~....~,~o.~)

NONE (No reportab& income, assets, or transactions.)

A. : B C D

D e s c r i p t io n o f A s s e ts [ I n c o m e d u n n g Gross value at end ~ T ~ n s a c l i o n s d u n n g r e p o m 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~onmg period o f re p o ~ m g p e n o d iI

~--’ (2) (l) (2) [ (I) ~ (2) ~ (3) (4) (5)

P l a c e " ( X ) " a ~ ¢ r e a c h o s s e t ] A m o u n t T ~ e ( e . g . , V a l u e Value~ T ~ e ( e g , ~ D a ~ e [ V a l u e G a l n I d e n h t y 0 f

e x e m p ~ f r o m p r i o r d ~ s e l o s u r e ’ C o d e I : d i v , r e n ~ C o d e 2 M e t h o d buy, sell,, m ~ ’ d ~ ~ C o d e 2 C o d e I buyer/seller, ( A - H ) ~ o r i n t ) ~ (J-P) C o d e 3 ~ e l n p t l o n ) (J-P) ( A - H ) 0 f p n v a l e

2 5 6 . ~ S h a r e s B a r c l a y s T I P S B o n d F u n d 5 . 2 9 8 % A D i v i d e n d J T B u y 0 3 / 1 2 / 0 9 J

2 5 7 Sold 0 6 / 0 2 1 0 9( p a r t )

258. tShares FTSE/XmhuaChma 25 Index A D ~ v ~ d e n d J T B u y 03/12/09

259. Sold 06/02/09’( p a r t )

260. tShares iBoxx Investment Grade Coporate A Dividend B u y 03/12/09Bond Fund

2 6 ~ . Sold 10/02/09

262 SPDR Barclays Capital International None B uy 0 3 1 1 2 / 0 9 JTreasury Bond

2 6 3 Sold 12/16/09 J A

2 6 4 SPDR G old Trust None J T B uy 0 3 / 1 2 1 0 9 J

265. Sold 12/09/09 J A

(part)

2 6 6 Vanguard Bond Index Fund A Dividend J I" B uy 0 3 1 1 2 / 0 9 J

2 6 7 Vanguard Tot,’q Stock Market Index A Dividend J T B uy 03/12/09 J

268. Sold 06/02/09 J A(pan)

2 6 9 ~SharesMSClJapan Index A Dividend J T B uy 03/26/09 J

2 7 0 iShares MSCI Hong Kong Index A Dividend B uy 04/16/09 J

2 7 1 Sold 10/02/09 ~ J A

2 7 2 iShares Barclays 7-10 Year Treasury Bond A Dtvidend J T B uy 06/02/09 J

1 I n c o m e G a i n C ~ d e : , A = $ 1 , 0 0 1 3 o r l e s s B = $ 1 , 0 9 1 . $ 2 , 5 0 0 C = $ 2 , 5 0 t - $ 5 , f l 9 0 D = $ 5 , 0 0 1 - $ 1 5 , 0 0 0



FINANCIAL DISCLOSURE REPO RT Ia m e o r P e r so n R e p o r a u g ] D a t e o f R e p o r t

o f 22 I woVII. INVESTMENTS and TRUSTS -~ .... ,. v a t , e , t ....... ,lon, (lnctuaes #,os, of sp ...... a a e p e n d e n t e h i t a r e n ; s e e p p . 34-6 0 ,¢f!ling instructions.)


A B C D .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 , m 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 n n g r e p o r h o g period

( I n c l u d i n g t r u s t a s s e t s ) 1Lr e p o r t , n g p e r i o d o ~ ’ r c p o r h n g p e r i o d

(I) , (2) (I) (2) -’- (I) (2) i (3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h ~ s e t Amount Type (e g, Value Value T y p e ( g , Date .: Value i Gain l d e n u t y o fe x e m p t f r o m p r i o r d ~ s c lo s u r e ’ . C o d e I i

dw, rent, C o d e 2 M et h o d b u y , s e l l . mm/dddyy ’ Code 2 [ Code 1 b u y e r l s e l l e r( A - H ) : o r ~ n t ) ( J - P ) C o d e 3

I redempton)( J - P ) { ( A - F D ( i f p n v a t e

273. tShares GSCI Commodtty Trust None B uy 06/02/09 : J

2 7 , . I Sold 10/02/09 J

I 2 7 5 iShares JPMorgan USD Emerging Markets A D~wdend J T B uy 10/02/09 JBond Fund

276 Buy 12/16/09 J(add’l)

277. ~Shares MSCI Germany Index A Dividend J T B uy 10/02/09 J

’ 278 Russell 2000 Index A Dividend J T B uy 10/02/09 J

279. SPDR International Gov’t A Dtvidend J T B uy 12/16/09 JInflation-Protected Bond Index

280 W tsdomTree Dreyfus Emerging Currency A D,vidend J T B uy 12/16/09 JFund

28t NASDAQ 100 Index None J T B uy 12/23/09 J

282.

283.

284

2 8 5 CHARLES SCHW AB MONEY MARKET A Dtv,dend K TACCOUNT

286

2 8 7

288.

( Se e C olu mn s B I ,ta d D 4 ) F -I 50 .1 10 1 - $ 1 00 ,0 00 O =$100.O01 - $ i .000,000 H [ =$ 1.000.DO I - $5,000,000 H2 =Marc than $5,0b-~.0002 Vah.c Codes J -St 5.000 or le~,s K E$15.001 - $50,000 L =$50,001 - $100.000 M =$100,001 - $250.000

( S,. c C ol un m: , C I a nd D3 ) N =$ 25 0,0 01 - $ 50 0,0 00 O = $5 00,00 1 - $t,00 0,0 00 P I = $1 .0 00,00 t - $5,00 0.0 00 P2 =$5.090.001 - $25,000,000

P3 =$25,000,001 - $50.000,000 P4 =More Ih~n $50,000,000

(Se t Column C2) U =B~ok Value V --Olhc, W =Estimated



FINANCIAL DISCLOSURE REPO RT N ~ e o f P e r s o n R e p o r t in g D a t e o f R e p o r t

Page 2 1 o f 22 W o U , M a r k L . 0 5 / 1 4 / 2 0 1 0

VIII . ADDITIONAL INFORM ATION OR EXPLANATIONS.

At the beginmng of 2009 many of the assets owned by~ and me continued to be held and managed by Atlant=c Trust Pell Rudman ("ATPR"), an investmentadvisory firm, In March, 2009, many of those assets were sold in connect=on with a transit=on to another investment advisory firm, Windward lnvestment~("Windward").

ATPR and W indward provtded the information contained in this Report concerning assets that were in their custody for parts of 2009 That reformation zs, to thebest of my knowledge, accurate and complete.

In my Financial Disclosure Report for 2008, m Part VIL lines 31 and 32, two sales of Dodge & Cox Stock Fund were reported as "Sold (part)." The second entryshould have stated "Sold" because all of the remainder of that Fund was sold on October 8, 2008. No D odge & Cox Stock Fund was ow ned m 2009 and, therefore,it is not included m Part VII ofthis Report.

~ort, in Part VII beginning on hnes 49 and 9 1, pray=des information concerning two IR As. Although not designated as such in m y Reports for prior years,~!!~] and I had IRAs m anaged by ATPR. N ot recogmzing that there are different r~portmg requirements for Aggregate Ownersh=p Arrangemen ts such as IRAsm he past I repotted more detads oncerning the assets in~IRAs than reqmred. The two IR As included m thin Report are "rollover ]RAs" for federal taxpurposes. The assets in them were acquired by W indward w~th the proceeds of the assets m our IRAs selected and managed by ATPR. The reformationcoacermng the IRAs m this Report is pray=tied in the manner prescribed for Aggregate Ownership Arrangemems.

W hde ~.~ and I invest ~n what W indward calls "Funds," through wh=ch =dent~cal investments are made sm~ultaneously for many investors, these are notmutnal funds, rather var ous index shares are bought and sold forT~r mdividnal accounts at var=ous runes Therefore, there are man.~ transactions desc=bed in th=sReport wh=ch wo uld not be reqmred to be reported f,~, were nve~;ted in mu ua funds wh=ch engaged m smnlar transactions.



N a m e o f P e r s on R e p o r l ln g D a l e o f R e p o r tFINANCIAL DISCLOSURE REPORT

[ W o l f , M a rk L .

05/14/2010age 2 2 o f 2 2

IX . CERTIFICATION.

I certify that all information given abo ve (including information p ertaining to my spouse and minor or depen dent children, if any) isaccurate, true, and complete to the best of my know ledge and belief, and that any information not repo rted was withheld because it met applicable statutoryprovisions permitting non-disclosure.

I further certify that earned income from ou tside employm ent and honoraria and the acceptance of gifts wh ich have been reported are incompliance ,,~ith the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 73 53, and Judicial Conference regulations.

,

Signature_

NOTE: ,ANY INDIVIDUAL W HO K NOW INGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIl,AND CRIMINAL SANCT IONS (5 U.S.C. app. § 104)

F I L IN G I N S T R U C T IO N S

Mail signed original and 3 addItional copies to:

Comm ittee on Financial DisclosureAdm inistrative Office of the U nited States CourtsSuite 2-301One Columbus C~rcle, N.E.

W ashington, D.C. 20544

mark l wolf financial disclosure report for 2009

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