richard j arcara financial disclosure report for 2010

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  • 8/3/2019 Richard J Arcara Financial Disclosure Report for 2010

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    FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics in Government A ct of!978(5 U.S.C. app. 101-111)

    1 , Person Repor ting ( las t name, f ir s t , middle init ial)Arcara , Richa rd J .

    4. T i t le (Art ic le 1I I judges ind ica te ac t ive o r sen io r s ta tus;magis t ra te j udges indicate fu l l - or p ar t - t ime)

    U. S . Di s t r i c t J ud g e

    7. Chamber s or O f f ice Addr es s68 Cour t S t ree t , Roo m 609B u f f a lo , N e w Y o r k 1 4 2 0 2

    2. Cour t o r O r ganiza t ionU.S. Dis trict Court W .D.N.Y.

    5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5 b . [7 ] A m e n d e d R e p o r t8. On the basis o f the in fo rma tion con ta ined in this Report and anymodif ica t ions pe rta in ing the re to , i t is , in m y op in ion , in comp liancewith appl icable l aws and regu la t ions .

    Reviewing Of f icer Date

    3. Date of Repor t5/12/2011

    6. Report ing Pe riod01/01/2010

    to12/31/2010

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

    I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of f! l ing instructions. )~ (No reportable positions.)O N E

    POSITION N A M E O F O R G A N I Z A T I O N / E N T I T Y1:

    2.

    3.

    4.5.

    I I . A G R E E M E N T S . ( R e v o r t in g i n a i v id u a l o n l y ; s e e p p . 1 4 - 1 6 of filing instructions.)[~] N O N E ( N o reportable agreements.)

    DATE PARTIES AND TERMS

  • 8/3/2019 Richard J Arcara Financial Disclosure Report for 2010

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    FINANCIAL DISCLOSURE REPORTPage 2 of 13

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

    D a t e o f R e p o r t5/12/2011

    I lL N O N - I N V E S T M E N T I N C O M E . ( R e p o r t i n g individual andspouse; seep p. 17-24 o f f i ling instruct ions. )A. Fliers Non-lnvestm ent Incom e

    ~] NONE (No reportable non-investment income.)DATE SOl IRCE AND TYPE

    2.3.4.

    I N C O M E(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 - I f you wer e married during an yportion of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)

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

    1.20102.20103.20104.

    DA T E SO UR C E A N D T Y P EAAA W es te rn and Cent ra l New York Board M ember - S t ipendE xecu t ive Dimens ions - S a l a ryHea l th Now Board M em ber - S tipend

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

    ~ NONE (N o reportable reimbursements.)SO UR C E DA T E S LO C A T IO N P UR P O SE

    N ew Y ork In te lle ctu a l 3 /26 - 3 /27 /2010 N e w Y o r k , N At tendance a t Dinne rPrope r t y La w A ssoc i a t ion

    I T E M S P A I D O R P R O V I DE DR e i m b u r s e m e n t f o r l o d g i n g , m e a l s ,t r a nspo r t a t ion fo r a t t e nda nce a t A n nu a lDinner i n Honor o f Fede ra l Jud ic i a ry ,N.Y. M arch 26 and 27 , 2010

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    FINANCIAL DIS(~LOSURE REPO RTPage 3 of 13

    Name o f Pe rson Report ingArcara, Richard J.

    Date of Report5/12/2011

    V . G I F T S . a n c i u d e s t h o s e t o s p o u s e u n d dependent children; see p p . 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

    S OU RCE D E S C R IP T IO N1 .2.3.4.5.

    VALUE

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

    C R E DIT O R DE SC R IP T IO N1 .2.3.4.5.

    VALUECODE

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    FINANCIAL DISCLOSURE REPORTPage 4 o f 13

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

    Date of Report5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v u l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)~ NONE income, assets, or transactions.)N o reportableDescription of Assets

    ( inc luding t rus t asse ts )Place "(X)" after each asset

    exempt from prior disclosure

    B C. D.In com e durin g G ross value a t en d Transact ions dur ing repor t ing pe r iodreporting pe riod of reporting pe riod(1) (2) (1) (2) (1 ) (2) (3) (4) (5 )A mo un t Typ e (e.g., V a lu e V alu e Type (e.g ., Date Va l u e Gain Iden tity o fCode 1 div. , rent, C o d e 2 Method buy, se l l , m rrddd /yy C ode 2 C ode 1 buyer / se l ler(A-H) o r i n t . ) ( J - P ) C o d e 3 r edempt ion) (J-P) (A-H) ( i f p r i v a t e

    (Q-W) transaeti0n)

    1 . C a s h N o n e J T2. Tam arack lnv t . Fds . P r ime A Di v i de nd K T3. A i m B a s i c V a l u e F u n d C " ( Y ) "4. A llia n ce B e m L a rg e C ap G ro w th A N o n e S old5. A l l i a nz N FJ Di v i de nd Va l . C1 . C A Dividend K T6. Da vis N Y V e n ture Fu n d N o n e S old7. D W S D r e m a n H i g h R t n C I .C N o n e S old8. Fi de l i t y A dv . N e w l n s i gh t s CI A A Dividend K T9. Fid e lity A d v N e w In s ig ht C N o ne S old

    1 0 . GS C ore U.S. Equ i ty- C N o n e S old1 1 . J e nn i son - Grow t h C1 .A (Pru de n t i a l Inv ) N one K T1 2 . K i n e t ic s P a r a d i g m F u n d C I C N o n e J T1 3 . R oy ce Fu nd - P A N o ne K T1 4 . R o y ce Fu n d - T o ta l R e tu rn C o n N o ne S old1 5 . Europacif ic Growth C1. A A Di v i de nd J T1 6 . Pu t na m In t l Equ i ty C N one S old1 7 . T e m p l e t o n F o r e i g n A A Dividend J T

    01/22/10 J A

    01/22/10 J A01/22/10 J A

    01/22/10 J A

    01/22/10 K A

    01/22/10 J A

    01/22/10 J A

    1, In co m e G ain C o d es : A =$1,000 o r le ss B =$1,001 - $2,500( S e e C o l u m n s B I a n d D 4 ) F = $50 ,00t - $ I00.000 G =$ i00,001 - $1 ,000 ,000

    2 . Valu e C odes J =$ t 5,000 o r less K -St 5,001 - $50,00~ ,( See C olu mns C I and D 3) N =$250,001 - $500,000 O =$500,001 - $ 1,000,000

    P3 =$25,000,001 - $50,000,0003. V a lue M etho d C o d es Q =A p pra isa l R - C os t ( R c al Es t a t e O nly )( See C olu mn C 2 ) U = B ook Valu e V = O th er

    C = $ 2 , 5 0 1 - $ 5 , 0 0 0 D - $ 5 , 0 0 1 - $ 1 5 , 0 0 0H I = $ 1 , 0 0 0 1 0 0 1 - $ 5 1 0 0 0 , 0 0 0 H Z = M o r e th a n $ 5 , 0 0 0 ;0 0 0~ = $ 5 0 ; 0 0 1 - S t 0 0 , 0 0 0 M = $ ~ 0 0 , 0 0 1 - $ 2 5 0 , 00 0P l = $ 1 , 0 0 0 , 0 0 1 - $ 5 i 0 0 0 ; 0 0 0 P 2 = s s , 0 0 0 , 0 0 1 - $ 2 5 ; 0 0 0 , 0 0 0P 4 = M o r e " t h a n $ 5 0 , 0 0 0 ,0 0 0S = A s s e s s m e nt T = C a s h M a r k e tW = E s t i m a te d

    E =$15,001 - $50,000

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    FINANCIAL DIS(~LOSURE REPORTPage 5 o f 13

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

    D a t e o f R e p o r t5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - i.co.,e, v.lae, 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.Description of Assets Income dur ing Gross value a t end Transactions during reporting period(including trust assets) reporting pe riod of reporting pe riod

    (1) (2) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset A m o u n t T y p e ( e . g .. V alu e V alu e T y p e ( e . g ., Da t e Va l u e Gain Identity of

    exempt from prior disclosure Code 1 d iv . re n t, C o de 2 Method b uy , se ll, ram /d d /yy C o de 2 C o d e l buyer / se l ler(A-H) o r i n t . ) ( J - P ) Code 3 redemptio n) (J-P ) (A-H) . (iprivate(Q-W) t r a n s a c t i o n )

    1 8 . Te m pl e t on Grow t h CI .A N o n e Sold 01/22/10 K1 9 . Temp le ton G r owth C1. C N o n e Sold 01/22110 J

    20 . Th ornbu rg In t l Va l u e C1 . A A Dividend K T21 . E a t o n V a n c e H i g h I n c o m e B Dividend K T22 . Goldm an S achs HY Cl . A C Dividend K T23 . Nuveen Mult i -Stra tegy 1 & (3 A Dividend J T24 . P i m c o H i g h I n c o m e F d . B Dividend J T25 . Ivy Asset Strat A A Dividend K T26 . In es co B a sic V a lu e C L C N o n e J T Bu y 12/14/10 J27 . L e g g M as o n C ap ita l M a n ag em en t N o n e K T Bu y 01/22/10 K28 . Goldm an S achs Broup I nc. 5 .125% N o n e J T Buy 10/26/10 J29 . W es te rn As s ee t High Yie ld N o n e K T Buy 10/26/10 K30 . SLM Corp Edno t e s B Int ./Div. K T Bu y 02/04/10 K31 . Genera l E lect r i c Cap S R A Int ./Div. K T Bu y 02 /05/1 0 K32 . B a n k A m e r C o r p A Int. /Div. K T Bu y 02/09/10 K33 . Ge ne ra l Mot o r s A cce p , .Corp N o n e J T Bu y 12/17/10 J34 . Cou n t ryw i de Hom e LN C l a ss A 1 1 A Int. /Div. J T Bu y 02/09/10 J

    AA

    1. I n co m e G a i n Co d es : A =$11000 0r less B =$1,001 - $2,500 C = $2,501 - $5 ,000 D =$5 ,001 - $15,000 E =$15,001 - $50,000( See C olu r r ms B I and IM) F =$50,001 ~ $i00,000 G =$100,001 - $1,0001000 H I =$1, 000 , 001 - $5 , 000 ,00 0 H2 ~M0fe tha~ $5~000,00 .... .....

    2. Va lue C ~ cies J = $15 ,000 o r le ss K = $15 ,001 - $50,000 L =$50,001 - $100~000 M =$100;001 S $250i000( See C olu mns C I and D 3) N =$250 , 001- $500 , 000 O =$ 50 0,0 01 - $ 1,0 00, 00 0 P I = $1 ,0 00 ,0 01 -$ 5, 000 ,0 00 P2 =$5;000~00F- $251000 000

    P3 =$25,000,001 - $ 50,000,000 P4 =More than $50,000,0003 . Va l ue Met ho d Co d es Q =A p p r a isa l R =C o s t ( Rea l E s t a te O n l y) S =A ssessm en t T = C a s h M a r k e t( See C olu mn C 2 ) U =Bo o k Va l ue V = O t h e r W =E st i m a t ed

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    FINANCIAL DIS(~LOSURE REPORTPage 6 of 13

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

    D a t e o f R e p o r t5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent childret~; seepp. 34-60 of filing instructiol~s.)N O N E ( N o 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 l u d i n g t r u s t a s s e t s )(i) (2)

    Place "(x)" after each asse~ A m o u n t Type (e.g. ,exempt from prior disclosure C o d e 1 div , rent ,(A-H) o r i n t . )

    (1 ) (2) .... (1 ) (2) : : 0) " (4) (5 )Va l u e V a l u e Type(e.g;~ " Date V a l u e ~ G a i n Iden t i tyo f

    C o d e 2 Method buy, se l l , m m /d d/yy C od e 2 Code 1 buyer/ se l le r( J - P ) C o d e 3 r edempt ion) ( J - P ) (A-H) ( i f p r i v a t e

    ( Q - W ) transaction)

    35 . C W A L T I n c C l a s s l- A - 1 0 A Int./Div. J T Bu y 01/26/10 J36 . C H L M o r t g a g e P a s s T h r o u g h A IntJDiv. K T B u y 08/23/10 K37 . B a n k o f A m e r i c a F un d C o r p C L T A I B A In to~) iv . J T Bu y 02/02/10 J38 . J P Morga n Tru s t A Into/Div. J T3 9 . G o v e r n m e n t N a t i o n a l M T G A s s n A Int./Div. K T

    Bu y 09/14/10 JBu y 03128/10 K

    4 0. F or d M o to r C r ed it C o rp C o . A Int./Div. S old 09/20/10 J A41 . W y n n L a s V e g a s , L L C B Into/Div. S old 09/03/10 K A42 . T a m a rack In v t. Fd s P r im e N o n e J T43 . A I M C h a r t e r - A " ( Y ) "44 . A l l ia n c e B e r n L a r g e C a p G r o w t h A N o n e S old 01/08/10 J A45 . DW S Drem a n H ig h R tn . F n d .A N o n e Sold 01/07/10 J A

    46 . Fide l i ty Adv New I ns igh t A A Di vi d e n d J T47 . Royce Fund - Tota l Re tu rn Con A Di vi d e n d J T48 . Royce Fund - P A N o n e49 . New P ers pect ive CL . A A Dividend J T

    50 . Te m pl e t on Grow t h A N o n e5 1 . l n v e s c o C h a r t e r F u n d A Distribution T

    Sold 01/07/10 J

    B u y 12/14/10 JA

    I . Inc 0me Ga in C r des : A =$1,000 or less(S e e Co lumn s BI a n d I )4) F =$50,001 - $100,000

    2. V alue C o de s J = $1 5 ,000 o r less( See C olu mns C I and D 3) N =$250,001 - $500,000

    P3 =$25,000,001 - $ 5 0 , 0 0 0 , 0 0 03 . Valu e Meth od C odes Q =A p p r a i sa l( See C olu mn C 2 ) U = B ook Valu e

    B = $ ,0 0 1 - $ 2 5 0 0 : C =$2,501 ,$5;000 : D =$5,001 - $15,000G =$100,001, $L000 000 H 1 =$1,000,001 - $5;000;000 : H2 ~o re tha n $5 ; 000 ,000K = $ 1 ~ , 0 0 , - ~ 5 0 , 0 0 0 = $ 5 0 , 0 0 1 - ~ , 0 0 0 0 0 M ~ i o o 0 0l ;0 =$500,001- $1,000,000 PI :$l ,O00,oO1 : $5:0001000 ~ ~$~ :000i001 " $25i000;000R = C os t ( R eal Es t a t e O nty ) S =Asses ....t T = C a s h M a r k e tV = O t h e r W = Es t imated

    E =$15,001 - $50,000

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    FINANCIAL DIS(~LOSURE REPORTPage 7 o f 13 Ia m e o f P e r s o n R e p o r t in gArcara, Richard J. D a t e o f R e p o r t5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)D NONE income, or transactions.)N o reportable assets,A. B. C. D.D e s c r i p t io n o f A s s e t s Inc ome dur ing : G r o s ~ V ~ l u e a t e n d 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 n c l u d i n g t r u s t a s s e t s ) report ngperiod o r e p o r t i n g p e r i o dO) (2) O) (2) (l~ (2) (3) (4)Place "(X)" al~er each assel Amount Type (e.g. ,

    exempt from prior disclosure Code 1 div,, renti(A-H) o r i n t . )Value ~alue .. . . Type (e .g ., Date Va l u e Gain

    C o d e 2 M e t h O d buy, sell~ m m /dd /yy C od e 2 Code 1( J - P ) C o de 3 redem ption) (J-P ) (A-H)( Q -W )

    52 . I V Y FDS I nc. Growth N o n e J T Bu y 11/14/10 J53 . L e g g M a s o n C a p i ta l N o n e J T Bu y 01/07/10 J54 . B l a c k R o c k G l o b a l C L C A Dividend J T Bu y 01/07/10 J55 . I V Y As s e t S t ra t egy CL C N o n e J T Bu y 01/07/10 J56 . T a m a rack In v t. Fd s . P rim e N o n e L T57 . Abbot t L abora tor i e s A Dividend So ld 01/22/10 J58 . C isco System s N o n e S old 01/22/10 J59 . Ci t ig roup , I nc. N o n e J T60 . Com pu t e r Ta sk Grou p Inc . N o n e So ld 01 /22/1 0 J61 . DuP ont E I Nem ours & Co A Dividend S old 01/22/10 J62 . E a s tm a n K o d a k N o n e So ld 01/22/1 0 J63 . E b a y ln c N o n e So ld 01/22/10 J64 . Fide l i ty Adv N ew I ns igh t C A Dividend K T65 . Hom e De po t Inc . A Dividend J T66 . H S B C H o l d i n g s P L C B Dividend J T

    67 . JP M o rg a n US L a rg e C a ; C o re P lu s C N o n e J T68 . K e yCorp N e w A Dividend J T

    B

    A

    CAAA

    (5 )Identity of

    buyer/ se l le r(if private

    transaction)

    ( See C olu mns B I and D 4 ) F =$50,001 - $100,0002. V alue C o d es J = $ ! 5 ;000 o r less

    ( See C olu mns C I and D 3) N =$250,001 - $500,000P3 =$25,000,001 - $50,000,000

    3 . Valu e Meth od C odes Q =A p p r a i sa l( S e e C o l u m n C 2 ) U = B ook Valu e

    B ~$1;001 ~ $2;500 C =$2i501- $5,000G =$i001001 ~ $i ,0001000 Hi =$i,000,001- $5,0001000K ~$15,001 ~ $50i000 .. . . . . L = $ 5 0 i 0 0 1 ~ $ 1 0 0 ~ 0 0 0O=$500,001 ~ $L000,000 PI=$1 000 001 - $5 000 000p4 =M0re than $50,000,000R = C os t ( R eal Es t a t e O nly ) S = A s s es s mentV = O l h e r W = Es t imated

    D =$5,001 ? $15,000H2 =More than $5,000,000M =$100,00 | - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

    E =$15,001 - $50,000

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    FINANCIAL DISdLOSURE REPORTPage 8 o f 13

    N a m e o f P e r so n R e p o r t i n gArcara, Richard J.

    Date of Report5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , ~ ,l ,e , ~ r ,n ~ o c t io n s a n c l .d ~ t h o ~ e o f $ , o u s e a n d d e , e n d e a r children; see p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

    A. B. C. D.Description of Assets Income dur ing Gross value a t end Transac t ions dur ing repor t ing per iod( inc luding t rus t asse ts ) reporting period of reporting period

    (l~ (2 ) (I ) (2 ) (1 ) (2) (3)Place "(X)" after each asset Am ou nt T y pe ( e .g . , V a lu e V alu e Type (e.g. , D a t e Va l u e

    e x e m p t f r o m p r i o r d i s c l o s u r e C o d e 1 C o d e 2( A - H ) or i n t . ) ( J - P " C o d e 3 r e d e m p t i o n )( Q -W )div. , rent, Method buy , se l l , m m / d d /y y C o d e 2

    ( J - P )

    (4 ) (5 )Gain Identity of

    Code 1 buyer/ se l le r(A-H) ( i f p r i v a t e

    transaction)

    69 . K i ne t i cs Mu t Fnd s Inc . N o n e J T7 0. L ib e r ty G lo b a l In c. A N o n e So ld 01/22/1 0 J A

    7 1. Lib er ty G lo b al ln c . C N o n e So ld 01/22/1 0 J A

    7 2. L ibe r ty M edia I n t e ract ive A N o n e S old 01/22/10 J A73 . L ib e r ty M ed ia H o ld - C ap Se r A N o n e S old 01/22/10 J A

    7 4. M & T B a n k C o r p B Dividend L T7 5. P ay che x In c. N o n e So ld 01/22/10 J A76 . P r o c t o r & G a m b l e A Dividend J T7 7 . P ruden t i a l F in l Inc B Interest K T7 8. R o y c e F u n d - P A N o n e K T7 9. T en e t H ea lthca re C o rp . N o n e S old 01/22/10 J B80 . T im e W a rn e r In c. N o n e S old 01/22/10 J A81 . AlpineTota | Dynamic Div Fund B Dividend J T82 . Blackrock I n t l Growth & I ncome Fund B Dividend K T83 . C a m e c o C o r p . A Divid e n d So ld 01/22/1 0 J A84 . E a t o n V a n c e T a x - M a n a g e d G l o b a l B Dividend K T85 . Temp le ton Growth C Frank l in A Dividend J T

    1 . l n c 0m ~ G a i n C o d ~ ! A --$ii000 O r less B =$1,001 - $2;500( See C olu mns B 1 and IM) F =$50,001 ~ $100,000 G =$1 00,001 - $1 ,000,000

    2. V alue C o d es J = $ 15,000 or less K =$15,001- $50,000( See C olu mns C ! and D 3) N =$250,1)01 ~ $500,00~ O =$500 , 001 - $1 , 000 , 000P 3 =$25 , 000 ;001 - $50 , 000 ,0003 . Valu e Meth od C odes Q =A p p r a i sa l R = C os t ( R eal Es t a t e O nly )( S e e C o l u m n C 2 ) U = B ook Valu e 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 - $5,000,000P 4 =M o r e t han $50 , 000 , 000S = A s s es s mentW = Es t imated

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

    E =$15,001 - $50,000

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    FINANCIAL DIS(~LOSURE REPORTPage 9 o f 13

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

    Date of Report5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - i .c o ~ . e , v a t u e , tr u . s a c a o . ~ a n e ~ u d e $ t h o ~ e 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 f!ling instructions.)[~ N O N E ( N o reportable income, assets, or transactions.)

    D e s c r i p t i o n o f A s s e t s( n c l u d n g t r u s t a s s e t s )Place "(X)" after each assel

    exempt from prior disclosure

    86 . B l a c kr o c k E n h a n c e d G o v t87 . G M N A R E M I C 2 0 0 3 -1 1 0 - P C88 . Goldm an S achs Group , Inc.89 . FHLMC REMIC2 864 - A 4 Lo t t e ry Bond90 . Res iden t i a l As s e t S ee 20 RAAC91 . F H L M C R E M I C 3 0 2 4 -C D92 . Ch a se Mor t ga ge F1 N Tr 2 093 . CSMC Mt g- Bk d Pa ss Th ru94 . B a n e o f A m e r i c a F D G C o o95 . Count rywide C api t a l V

    96 . K e ycorp C a p i t a l IX97 . C B T C S f o r J C P e n n e y C o

    98 . Ivy Asset Stra tegy C99 . W e l l s F a r g o M o r t g a g e B a c k e d100. Direct TV Class A

    101. DW S S t ra t eg ic Fund Clas s C102. J Morga n MTG Tru s t

    Income dur ingr e p o r t i n g p e r i o d

    (1~ (2)Amou nt T y p e ( e . g :,C ode I d i v . , r e n t ,( A - H ) o r i n t . )

    A DividendA InterestA InterestA InterestA InterestA InterestB InterestA InterestA InterestB InterestB InterestB Int./Div.

    N o n eA Interest

    N o n e

    N o n eA Interest

    Gross value a t end Transac t ions dur ing repor t ing per iodof reporting period(1) (2) (1 ) (2) (3) (4) (5 )

    V alu e V alu e Type (e .g ., Date: Value Gain Identity ofCode 2 Method buy, se l l , mm/dd/yy C o d e 2 Code 1 buyer/ se l le r

    (J-p) redempt ion) (J-P) (A-H) ( i f p r i v a t e

    J

    J

    JJ

    KKJJKJ

    KJ

    C o d e 3( Q -W )

    T

    T

    T

    T

    T

    T

    T

    T

    T

    T

    S old 02/17/10 K

    Sold 12/15/10 J A

    S old 01/22110S old 01/22/10

    JJ

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

    B

    C

    i i~0me Gaifi cbdcs: ..... A --$1 ;0o0 0r less(S e e Co lumn s BI a n d I )4) F =$50,001 - $100,000

    2. V alue C o d es J = $ 15,000 or less( See C olu mns C 1 aod D 3) N =$250,001 - $500,000

    P3 =$25,000,001 - $50,000,0003 . Valu e Meth od C odes Q =A p p r a i sa l(Se e C o lu m n C 2) U = B o o k V a lu e

    B=$1,001 - $2,500G =$ 100,001 - $1,000,000K =$15,001 - $50,000O =$500,001 - $1,000.000R = C os t ( R eal Es t a t e O nly )V = O t h e r

    = $ 2 , 5 o l - $ 5 , 0 0 0~ = $ ~ , o o o , o 0 i - $ 5 ; o 0 0 1 o o o=$50,001- $ 100;000P ~ = $ ~ , o o o , o o ~ - $ 5 , o o o , o o o

    P 4 =M o r e t han $50 , 000 , 000= A s s es s ment

    W = Es t imated

    D =$5,001 - $15,000H 2 =Mo r e t han $5 000 000M --$100 001 ~$250 000P2 =$5 ;000;00i . $25;000,000T - - C as h Mar k et

    E =$15,001 - $50,000

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    FINANCIAL DIS(~LOSURE REPORTP a ge 10 o f 1 3

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

    D a t e o f R e p o r t5/12/2011

    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 l u e , ~ r u n s o c t io n s a n c i u a e s t h o s e o y s , o u s e a u a a e o ~ n a e u t c ~ i l U r ~ u ; s ~ ,p . 3 4 - 6 0 of fi l ing instructions.)~-] N O N E (No reportable income, assets, or transactions.)

    Description of Assets( inc luding t rus t asse ts )

    Place "(X)" after each assetexempt from prior disclosure

    103 . Un i t e d S t a t e s N a t i o n a l G a s F un d1 0 4 . C T S T r e a s u r y C a s h ( x )

    1 0 5 . C o u n t r y w i d e A l t . L n . T r u s t

    1 0 6 . L e g g M a s o n C a p i t a l M a n a g e m e n t1 0 7 . E u r o P a c G r o w t h F u n d1 0 8 . G e n e r a l M o t o r s A c c e p C o r p

    1 0 9 . Sa n B e m a r d i n o C n t y C A

    1 1 0 . S L M C o r p1 1 1 . L e h m a n M o r t g a g e T r u s t

    112. Cre d i t S u i s se F i r s t B o s t o n M t g .

    1 1 3 . C i t i M o r t g a g e A l t . L o a n

    114. B l a c kRo c k G l o b a l A l l o c a t i o n1 1 5 . F o r d M o t o r C r e d i t C o .

    Income dur ingreporting period

    (1 ) (2"1A m o u n t Type (e.g. ,Code 1 div. , rent,(A-H) o r i n t . )

    N o n e

    N o n e

    N o n e

    N o n e

    A Di vi d e n dA In t . /Div.

    N o n e

    A Int./Div.

    A Int./Div.

    A In t . /Div.

    A lnt .iDiv.

    A D i v i dendA Int./Div.

    Gross value a t end Transac t ions dur ing repor t ing per iodofreporf ing per iod(1) (2) (1"1 (2) (3) (4) (5 )

    Va l u e V a l u e Type (e.g. , D a t e Va l u eC od e 2 M ethod buy, se l l , mm/dd/yy Code 2

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

    J

    J

    J

    K

    J

    J

    K

    J

    K

    J

    J

    K

    T

    T

    T

    T B u y 01/22/10 K

    T B u y 01/22/10 J

    T B u y 04/21/10 J

    T B u y 02/16/10 K

    T B u y 05/03/10 J

    T B u y 04/22/10 K

    T B u y 01/22110 J

    T B u y 04/26/10 J

    T B u y 01122/10 K

    B u y 01/22/10 J

    1 1 6 . F o r d M o t o r C r e d i t C o .1 1 7 . T a m a r a c k I n v t . F d s P r i m e

    1 1 8 . L e g g M a s o n C a p i t a l1 1 9 . B a n k o f A m e r i c a C o r p

    A Int./Div.A Dividend

    N o n eB Dividend

    J

    JJ

    T

    T

    T

    S old 12/20/10 J A

    B u y 03/17/10

    G ain Id entity o fCode 1 buyer/ se l le r(A-H) ( i f p r i v a t e

    transaction)

    1. Inc ome Gain C odes :( See C olu mns B I and D ~ )2.Valu e C odes(S e e Co lumn s C | a n d D3)

    3.Valu e Meth od C odc s( S e e C o l u m n C 2 )

    A=$1,000 or lessF=$50,001 - $100,000J =$15,000 or tessN =$250,001 - $500,000P 3 =$25,000,00I - $ 50,000,000Q=AppraisalU = B ook Valu c

    B=$1,001 - $2,500G =$100,001 - $1,000,000K=$15,001 - $50,000O=$500,001 - $1,000,000R = C os t ( R eal Es t a t e O nly )V = O t h e r

    C = $ 2 ~ 5 0 1 - $ 5 , 0 0 0 D = $ 5 , 0 0 1 - $ 1 5 , 0 0 0n I = $ 1 , 0 0 0 , 0 0 1 - $ 5 , 0 0 0 ,0 0 0 H 2 = M o r e th a n $ 5 , 0 0 0 ,0 0 0L = $ 5 0 ~ 0 0 i 2 $ 1 0 0 , 0 0 0 M = $ 1 0 0 ~ 0 0 1 - $ 2 5 0 ; 0 0 0P ~ = $ ~ , o o o , o o ~ - $ 5 , o o o ; o o o ~ 2 ~ $ 5 , o o o , o o ~ - $ 2 5 , o o o ; o o oP 4 = M o r e th a n $ 5 0 1 0 0 0 1 0 0 0S = A s s e s s m e n t T = C a s h M a r k et

    W = E s t i m a te d

    E =$15 , 001 - $ 50 , 000

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    FINANCIAL DIS(~LOSURE REPOR TPage 11 of 13

    N a m e o f P e r so n R e p o r t i n gArcara, Richard J.

    D a t e o f R e p o r t5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those o f spouse and dependent children; see pp. 34-60 of f iling instructions.)[] NONE(No repor tab le income , a s se ts , or transac t ions .)Description of Assets Income dur ing

    ( inc luding t rus t asse ts ) reporting period(l) (2)

    Place "(X)" after each asset A m o u n t T y p e ( e . g ..exempt from prior disclosure C o d e I div,, rent,(A-H) o r i n t . )

    Gross value a t end Transac t ions dur ing repor t ing per iodof reporting period(1) (2) (1) .... (2) (3) ~ (4) (5 )

    Va l u e V a l u e Type (e.g. , Date : V a l u e Gain Identity ofC o d e 2 Method buy, se l l , inm/dd/yy C b d e ~ 2 Code 1 , buyer/seller

    (j_p) (J-P) (A-H) (if privatetransaction)

    120. D o min io n Res . In c . VA A Int ,/Div.121. C i t ico rp Mo rtg ag e Secur i t i es A Int./Div.1 2 2 . J P M o r g a n M t g . T r u s t A Int ,/Div.1 2 3 . W e l l s F a r g o M t g B a c k e d S e c u r i t ie s A Int./Div.

    J T

    J T

    J T

    J T

    Bu y 01/25 /10

    1 2 4 . B l a c k R o c k N Y M u n l I n c o m e B Dividend1 2 5 . In v a s c o V a n K a m p e n T r I n v t A Dividend1 2 6 . B l a c k r o c k G l o b a l A l l o c a t i o n A Dividend127. I vy As s e t S t ra tegy C 1 C N o n e1 2 8 . P i m c o H i g h I n c o m e F u n d B Dividend129 . Roches t e r Funds M unicipa l CL C 13 Dividend1 3 0 . V a n K e m p e n T r u s t A Dividend

    L T

    K T

    J T

    J T

    Bu y 06/30/10 KBu y 12/10/10 JBuy 1 2/10/1 0 JSo ld 0 3 / 3 1 / I 0 KS old 12/17/10 KSo ld 06/01 /1 0 J

    DCA

    I . Income Gain C odes : A =$1i000 0r iess B :$1,001 r $2,500(S e e Co lumn s Bl a n d I M) F =$50,00] ~ $100,000 G =$i00,001, *1,000,000

    2. V alue C o de s J = $1 5,000 or less K = $1 5,00i - $ 50,000( Sec C olu mns C I and D 3) N =$250,001 = $500,000 O =$500,001 - $ 1,000,000

    P 3 = $ 2 5 , 0 1 ) 0 , 0 0 1 - $50,000,0003 . Valu e Meth od C odes Q =A p p r a i sa l R = C os t ( R eal Es t a t e O nly )( See C olu mn C 2 ) U = B ook Valu e V = O th er

    C = $ 2 , 5 0 1 - $ 5 , 0 00 D = $ 5 , 0 0 1 - $ 1 5 , 0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 ,0 0 0HI =$1,000,00i ~ $5;000,000 H 2 - - M o r e t h a n $ 5 1 0 0 0 , 0 0 0L = $ 5 0 ; 0 0 ~ - $ 1 o o ,o o o M = $ 1 o o , o o l = $ 2 5 0 ; 0 00~ , l = $ 1 , 0 0 0 , 0 0 I - $ 5 i 0 0 0 , 0 0 0 r , 2 = $ 5 , 0 0 0 , 0 0 1 ~ $ 2 ~ 0 0 0 0 0 0P 4 = M o r e th a a $ 5 0 0 0 0 0 0 0S = A s s e s s m e n t T - - C a s h M a r k e tW = E s t i m a te d

  • 8/3/2019 Richard J Arcara Financial Disclosure Report for 2010

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    FINANCIAL DISCLOSURE REPORTPage 12 o f 13

    N a m e o f P e r s o n R e p o r t in gA r c a r a , R i c h a r d J .

    Date of Repor t5/12/2011

    V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepart of report.)Par t VII . The as se t s l i s t ed in p ar t VI I , o n l in es 119, 121,122, 124, 125 , 128, 130, 131 an d 132 w ere in ad ver ten t ly o m i t t ed o n the 2008 an d 2009 F in an c ia lDis clos ure R epor t s .

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    FINANCIAL DISCLOSURE REPORTP a g e 1 3 o f 1 3

    Name of P e r son R epor t ingA r c a r a , R i c h a r d J .

    Date of Repor t5/12/2011

    IX . CERTIFICATION.1 c e r t i fy 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 ) is

    a 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 ld 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 t in g n o n - d i s c l o s u r e .1 f u r t h e r c e r t i fy t h a t e a rn 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 cc 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 nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S .C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

    Signature: S/Richard J. Arcara

    N O T E : A N Y I N DI V I DU A L W H O K N O W I N G L Y A N D W I L F UL L Y F A L S IF I E 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 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 )

    Co m m i t te e o n F i n a n c i a l D is c l o s u r eA d m i n i s tr a t iv e O f f i ce o f t h e U n i t e d S t a t e s C o u r t sSui t e 2-301O n e C o l u m b u s C i r c le , N .E .W a s h i n g t o n , D. C . 2 0 5 44

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    FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics

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

    1. Person Repor ting ( las t name, f ir s t , middle init ial)Arcara , R ichard J .

    4. Ti t le (Art ic le 111 judges ind ica te ac t ive o r sen io r s ta tus;magis t ra te judges indicate fu l l - or par t - t ime)

    U.S. District Judge

    7. Chamber s or O f f ic e Addr es s68 Cour t S t ree t , Room 609Buffa lo , New Yo rk 14202

    2. Court or OrganizationU.S . Di s t r ic t Cour t W .D.N.Y.

    3. Date of Repor t5/12/2011

    5a . Report Type (check appropria te type )] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rm a tion con ta ined in this Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in compliancewith appl icable l aws and regula t ions .

    6. Report ing Pe riod01/ 01 / 2 010

    to12/31/2010

    Reviewing Of f icer Date

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

    I . P O S I T I O N S . ~ R e p o n i n g i n d i v i d u a l o n l y ; s e e p p . 9 - 1 3 of filing instructions.)~ (No reportablepositions.)ONE

    POSITION

    2.

    3.

    4.5.

    NAME OF ORGANIZATION/ENTITY

    I I . A G R E E M E N T S . ~ R e , o ,~ i n g individual only; see pp. 14-16 of f!ling instructions.)~ ~o reportable agreements.)O N E

    DATE PARTIES AND TERMS

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    FINANCIAL DISI}LOSURE REPORTPage 2 of 13

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

    Date of Report5/12/2011

    I I I. N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestment Income~ (No reportable income.)ONE non-investment

    DATE SOURCE AND TYPE

    2.3.4.

    I N C O M E( y o u r s , n o t s p o u s e s )

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

    N O N E ( N o reportable non-investment income.)

    1 .20102 . 2 0 1 03 . 2 0 1 04.

    DATE SOURCE AND TYPEA A A W e s t e rn a n d C e n t r a l N e w Y o r k B o a r d M e m b e r - S t ip e n dE x e c u t iv e D i m e n s i o n s - S a l a r yH e a l t h N o w B o a r d M e m b e r - S t ip e n d

    I V . R E I M B U R S E M E N T S - transportation, lodging, food, en t er ta inment .( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n , " s e e p p . 2 5 - 2 7 o f i l l i n g i n s t r u c t i o n s . )

    D N O N E ( N o reportable reimbursements.)

    3.4.5.

    SOURCE DATES LOCATION PURPOSENew Yo rk In te l l ec tua l 3 /26 - 3 /27 /2010 N e w Y o r k , N Y Atten d an ce a t Din n erP rope r ty Law As s ocia t ion

    ITEM S PAID OR PROVIDEDR e i m b u r s e m e n t f o r l o d g i n g , m e a l s ,t r ans por t a t i on for a t tendance a t Ann ua lDin n er in H o n o r o f Fed e ra l Jud ic ia ry ,N.Y. M arch 26 and 27 , 2010

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    FINANCIAL DISCLOSURE REPORTPage 3 of 13

    Name of P e r son R epor t ingA r c a r a , R i c h a r d J .

    Date of Report

    5/12/2011

    V . G I F T S . a n d u d e s those to spouse and dependent children; see pp. 28-31 of f!ling instructions.)N O N E (No reportable gifts.)

    SOURCE DE SC R I P T I O N1 .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 f sp o u s e . h a d e p e n d e n t children; see pp. 3 2 - 3 3 of filing instruction~)N O N E ( N o reportable liabilities.)

    C R E D I T O R DE SC R I P T I O N1 .2.3.

    4.5.

    VALUE CODE

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    FINANCIAL DIS(~LOSURE REPORTPage 4 of 13

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

    D a t e o f R e p o r t5/12/2011

    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, value, tran sactions (Includes those of spouse and depen dent children ; see pp. 34-60 of fi ling instr uctions.)N O N E (No reportable income assets, or transactions.)

    A. B. C. D.Description of Assets Income dur ing Gross value a t end Transac t ions dur ing repor t ing l~ r i0d(including trust assets) repornng per iod of reporting period

    0) (2) (1 ) (2) (1) (2) (3) (4) (5 )Place "(X)" after each asset A mo un t T yp e (e.g ., V a l u e V a l ue T ype [e.g ., Da te V a l u e ~ G a i n Ident i ty ofexempt from prior disclosure Co d e 1 d i v . , r e n t , Code 2

    1 . C a s h2. T amarack Inv t . F ds . P r ime3. A i m B a s i c V a l u e F u n d C " ( ) "4. A l l ia n c e B e m L a r g e C a p G r o w t h A5. Al l i anz NF J Div idend V a l . CI . C6. D a v i s N Y V e n t u r e F u n d7. D W S D r e m a n H i g h R t n C 1 . C8. F ide l it y Adv . New Ins igh ts CI A9. F ide l it y Adv New Ins igh t C

    1 0 . G S C o r e U . S . E q u it y - C1 1 . Jenni s on-G rowth CI .A (P rudent i a l Inv )1 2 . K i n e t ic s P a r a d i g m F u n d C I C

    1 3 . Royce F und - P A1 4 . Royce F und - T ota l Re tu rn Con1 5 . E uropaci f i c G rowth CI . A

    1 6 . P u tnam In t l E qu ity C1 7 . T e m p l e t o n F o r e i g n A

    ( A - H )

    A

    A

    A

    A

    A

    o r i n t . ) ( J - P ) C ode 3 redem ption)(Q-W)

    N o n e J T

    D i v i d e n d K T

    N o n eD i v i d e n d

    N o n eN o n e

    D i v i d e n dN o n eN o n eN o n eN o n eN o n eN o n e

    D i v i d e n d

    N o n eD i v i d e n d

    K

    K

    M e th o d buy. se l l , m m / d d !y y C o d e 2 C o d e 1 buyer/ se l le r(J-P) (A-H) (ipri~ate

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

    T

    T

    T

    S o l d !01/22/10

    So ld 01/22/10S old 0 1 / 2 2 / 1 0

    J

    J

    Sold 01/22/10 J

    S o l d 01/22/10 K

    S old 01/22/10

    S o ld 01 /22/1 0

    A

    A

    AA

    A

    ( S ee C olu mns B 1 and D 4 ) F =$50,001 - $I 00,0002 . V alu e C odes J =$15;000 or less

    ( S ee C olu mns C I and D 3) N =$250,001 - $500,000P3 =$25,000,001 - $50,000,0003. V alu e Meth od C odes Q =A p p r a i sa l

    ( S e e C o l u m n C 2 ) U = B ook V alu e

    B =$1,001 - $2,500G=$100,001 - $ 1,000,000K =$15,001 - $50,000O =$500,001 - $ 1,000,000R = C os t ( R eal Es t a t e O nly )V = O lh c r

    C =$2 , 501 - $5 , 000H 1 =$1,000,001 - $5,000,000L $50~001 - $100,000P I =$1,000,00 ! - $5 ,000,000P4 =More than $50,000,000S = A s s es s mentW = Es t imated

    D = $5,001 - $1 5,000 E = $ t 5,001 - $50,000H 2 =M o r e t han $5 , 000 , 000M : $ 1 o o , o o l - $ 2 5 o , o o oP 2 = $ 5 , 0 0 0 , 00 ~ - $ 2 5 , 0 0 0 ,0 0 0T = C a s h M a r k e t

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    FINANCIAL DISCLOSURE REPORTPage 5 of 13

    N a m e o f P e r s o n R e p o r t i n gArcara, Richard J.

    D a t e o f R e p o r t5/12/2011

    V I I . IN V E S T M E N T S a n d T R U S T S - iu e o m e , 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( 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

    Income dur ingr e p o r t i n g p e r i o d(1 ) ( 2 )A m o u n t T y pe ( e . g , ,C o d e 1 d i v . . r e n t .( A - H ) o r i n t . )

    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 do f r e p o r t i n g p e r i o d(1) (2) (1 ) (2) (3) (4) (5 )

    Value Value ....T y p e ( e . g . , D a t e Y a l u e G a i n I d e n t i t y o fC o d e 2 M e th o d b u y , s e l l , m m / d d / y y C o d e 2 ~ C o d e 1 buyer/seller( 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 t e(Q-W) transaction)

    1 8 . Te m pl e t on Grow t h CI . A N o n e1 9 . Te m pl e t on Grow t h CI . C N o n e

    20 . T hornburg In t l Va lue C1 . A A D i v i d e n d K T21 . E a t o n V a n c e H i g h I n c o m e 13 D i v i d e n d K T22 . G o l d m a n S a c h s H Y C I . A C D i v i d e n d K T23 . Nuveen M ul t i -S t ra tegy I & G A D i v i d e n d J T24 . P i m c o H i g h I n c o m e F d . B D i v i d e n d J T25 . Ivy Asset St ra t A A D i v i d e n d K T26 . Ines co 13 as ic Va lue CL C N o n e J T27 . L eg g M a so n C ap ita l M a n ag e m en t N o n e K T28 . G o ld m a n S a chs B ro u p In c. 5 .1 25 % N o n e J T29 . Wes te rn As s ee t High Yie ld N o n e K T30 . S L M C o r p E d n o t e s B Int ./Div. K T31 . G e n e r a l E l e c t r ic C a p S R A Int ./Div. K T32 . B a n k A m e r C o r p A lnt ./Div. K T

    33 . Ge ne ra l Mot o r s A cce p , . Co rp N o n e J T34 . C o u n t r y w id e H o m e L N C l a s s A 1 1 A Int ./Div. J T

    S old 01 /22/10 K AS o ld 01 /22/1 0 J A

    Bu y 12 /14/10Bu y 01/22/10

    Bu y 10/26/10Buy 1 0/26/10Bu y 02/04 /10Bu y 02/05 /10Bu y 02/09/10

    Bu y 12 /17 /10Bu y 02/09/10

    J

    K

    J

    K

    K

    K

    K

    J

    J

    : L J h ~ 0 ~ G ai~ C odes : A =$1,000 or less C =$2 , 501- $5~000 D =$5,001 - $15,000( S ee C olu mns B 1 and D 4 ) F =$50,001 - $100,000 H 1 =$1,000~001 ~ $5,000,000 H2 =More than $5 000,000

    2. V alue C o de s J = $1 5,000 or less L =$50,001 - $ i 00,000 M --$100;001 ~ $ 250,000( S ee C olu mns C t and D 3) N =$250,001 - $500,000 P I =$ 1,000,001 - $5,000,000 P2 =$5;000,001 - $ 25,000,000

    P3 =$25,000,001 - $50,000,000 P4 =MO re t l~au $50,000,0003. V alu e Meth od C odc s Q :A ppr a i s a l R = C os t ( R eal Es t a t e O nly ) S = A s s es s ment T - - C as h Mar k et( S e e C o l u m n C 2 ) U = B ook V alu e V = O th er W = E stim a te d

    B =$1,001- $2,500G =$I00,001- $1,000,000K = $ 1 5 ,0 0 1 - $ 5 0 ,0 0 0O =$5 00,001- $1,000,000

    E =$15,001- $50,000

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    FINANCIAL DIS(~LOSURE REPOR TPage 6 of 13

    N a m e o f P e r s o n R e p o r ti n gArcara, Richard J.

    D a t e o f R e p o r t5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - i n , o m e , v o t u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)[~ NONE income, or transactions.)eportable assets,D e s c r i p t i o n o f A s s e 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

    35 . C W A L T I n c C l a s s I - A - 1 036 . C H L M o r t g a g e P a s s T h ro u g h

    37 . B a n k o f A m e r i c a F u n d C o r p C L T A I B38 . J P Morga n Trus t39 . G o v e r n m e n t N a t i on a l M T G A s s n4 0. F or d M ot or C re di t C o rp C o .4 1. W y n n L a s V e g a s , L L C4 2. T a m a r a c k I n v t . F d s P r i m e43 . A IM Ch a r t e r - A " (Y )"4 4. A l l ia n c e B e r n L a r g e C a p G r o w t h A4 5. D W S D r e m a n H i g h R t n . F n d .A4 6. F ide l it y Adv New Ins igh t A4 7. Royce F und - T ota l Re tu rn Con48 . R o y c e F u n d - P A4 9. New P ers pect ive CL. A

    50 . Te m pl e t on Grow t h A51 . Inves co Char t e r F und

    B. C. D.In co m e d urin g G ross value a t en d Transac t ions dur ing repor t ing per iodreporting period of reporting period

    ( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) ~ 5)A m o u n t Type (e.g. , V a l u e V a l ue Type (e.g. , Date V a lu e G a in . ... .. .. .. .. .. Identity ofCode 1 d i v . , r e n t . C o d e 2 Method buy, sell, m n ~ / d d / y y C o d e 2 Code t ........ buyer/ se l le r(A-H) o r i n t . ) ( J - P ) (A~ H) (if priva tetransaction)

    A Int ./Div. JA Int ./Div. KA Int ./Div. J

    A Int./Div. JA Int ./Div. KA Int ./Div.B Int ./Div.

    N o n e J

    N o n eN o n e

    A D i v i d e n d JA D i v i d e n d J

    N o n e JA D i v i d e n d J

    N o n eA Dist r ibut ion J

    C o d e 3 redemption) O - P )( Q - W )

    T Bu y 01 /26 /10 J

    T Bu y 08/23/10 K

    T Bu y 02/02/10 JT Bu y 09/14 /10 JT Bu y 03 /28 /10 K

    So ld 09/20 /10 JSo ld 09/03 /10 K

    T

    T

    T

    T

    T

    T

    So ld 01/08/10So ld 01 /07/10

    So ld 01 /07/10Bu y 12 /14/10

    JJ

    JJ

    A

    A

    A

    A

    A

    1: 1 ...... G ain C o d es: A = $1 ,000 o r le ss B =$!,00~ - $2,5~p( S ee C olu mns B 1 and D 4 ) F =$50,001 - $100,000 G =$100,001 - $1 ,000;000

    2. V alue C o de s J = $ t5 ,000 o r les s K =$15, 001 - $50 , 000( S ee C olu mns C I and D 3) N =$250,001 - $500,000 O =$5 00,001 - $1 ,000,000

    P3 =$25,000,001 - $50,000,0003. V alu e Meth od C odes Q =A p p r a isa l R = C os t ( R eal Es t a t e O nly )( S e e C o l u m n C 2 ) U = B ook V alu c V = O t h e r

    C =$2,501 - $5,000H l =$1,000,00 t - $5,000,000L =$50,001 ~ $100,000P I : $ l ;0 0 0 ; 0 0 1 = $ 5 ~ 0 0 0 ; 0 0 0P 4 =M o r e t han $50 , 000 , 000S =AsscssmentW = Es t imatc d

    =$5,001 - $ 15 ,000 E = $15,001 - $5 0,000H 2 = M 0 r e t h a n $ 5 0 0 0 0 0 0~$ioolooi ~ $250,000 :P 2 = $ 5 , 0 0 0 ; 0 0 i - $ 2 5 , 0 0 0 , 0 0 0T = C a s h M a r k e t

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    FINANCIAL DIS(~LOSURE REPORTPage 7 of 13

    N a m e o f P e r so n R e p o r t i n gArcara, Richard J.

    D a t e o f R e p o r t5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , t r an sac t ions ( Includes those o f spouse and dependen t chi ld ren; see pp . 34-60 of f! l ing in s t ruc t ions . )N ON E (N o reportable income, assets, or transactions.)

    A. B. C. D.Description of Assets Income dur ing Gross va lue a t end Transac t ions d ur ing repor t ing per iod

    ( inc luding t rus t asse ts ) repo rting period of reporting period(1) (2) (1) (2) (1 ) (2) (3) (4) (5 )

    Place "(X)" after each assel A m o u n t Type (e.g. , V a l ue ~ a l u e T y p e 1 e . g ., Date V a l ue Gain Identity ofexempt from prior disclosure Code 1 div. , rent, C o d e 2 Method buy, se l l , m m /d d/y y C od e 2 Code I ..... buyer/ se l le r(A-H) o r i n t . ) ( J - P ) C o d e 3 redempt ipn) ( J - P ) (A-H) (i~private

    (Q-W) transaction)

    52 . IV Y F D S In c. G ro w th N o n e J T Bu y 11/14/10 J53 . L e g g M a s o n C a p i t al N o n e J T B u y 01/07/10 J

    54 . B l a c k R o c k G l o b a l C L C A D i v i d e n d J T Bu y 01 /07/10 J55 . I V Y A s s e t S t r a te g y C L C N o n e J T B u y 01/ 07 / 10 J

    56 . T am a ra ck In v t, F d s , P rim e N o n e L57 . Abbot t Labora tor i e s A D i v i d e n d So ld 01 /22/10 J B58 . Cis co S ys t ems N o n e So ld 01 /22/10 J A59 . Ci t ig roup , Inc. N o n e60 . C o m p u t e r T a s k G r o u p I n c . N o n e So ld 01/22/10 J C61 . D u P o n t E I N e m o u r s & C o A D i v i d e n d So ld 01/22/10 J A62 . E as tm an K o d ak N o n e So ld 01/22/10 J A63 . E b a y l n c N o n e So ld 01 /22/10 J A64 . F ide l i ty Adv New Ins igh t C A D i v i d e n d K T65 . H o m e D e p o t I n c . A D i v i d e n d J T66 . H S B C H o l d i n g s P L C B D i v i d e n d J T

    67 . J P M o r g a n U S L a r g e C a ; C o r e P l u s C N o n e6 8 . K e y C o r p N e w A D i v i d e n d J T

    1. I nc ome G ain C odes :( S ee C olu mns B I and D 4 )

    2. V alu e C odes( S ee C olu mns C I and D 3)

    3.V alu e Meth od C odes( S e e C o l u m n C 2 )

    A=$1~000 orlessF =$50,001 -$100,000J = $ 1 5 ,0 0 0 or t es sN =$250,~01- $500,000P3 =$25,000,001- $50,000,000Q = A ppr ai s ~ lU = B o o k V a l u c

    = $ 1 ,0 0 1 o $ 2 ~ 50 0= $ 1 0 0 , 0 0 t - $ 1 , 0 0 0 , 0 0 0= $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0- $ 5 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0= C o s t (R e a l E s t a te O n l y )= O t h e r

    C =$2,501 =$5,000 D =$5,001 - $15,000H t =$1,000,001 ~ $5;000i000 H2 =More than $5 000 000L =$50 001 - $100 000 M =$i00~001 q $250;000P l = S 1 ,0 00 ;0 ~i ~ $5 1 00 0i 00 0 P 2 -- $ 5; 00 0; 00 i ; $2 5, 00 0, 00 0P4 =M0r~ th~n $ 50 000 000S = A s s es s ment T = C a s h M a r k e tW = Es t imated

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

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    FINANCIAL DIS(~LOSURE REPOR TPage 8 of 13

    ~ a m e o f P e r s o n R e p o r t i n gArcara, Richard J.

    Date of Report5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)[~ N O N E income, assets, or transactions.)N o reportable

    D e s c r i p t io n o f A s s e 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 assetexempt from prior disclosure

    Transac t ons dur ing repor t ing per iodreport ing pe riod o f report ing : pe riod

    (1 ) (2 ) (1) .... (2) (1) (2) (3) (4) fS IA m o u n t T y p e ( e . g ., V a l u e Value: Type t.e.g., Date V a l u e G a i n Identity ofCode 1 div. , rent, Code 2 Method : buy, sell, m m ) d d / y y C o d e 2 Code 1 buyer/ se l le r(A-H) o r i n t . ) ( J - P ) C od ~ 3 . . .. redempt ion) ( J - P ) (A-H) (if private

    ( Q - W ) transaction)

    69 . K i ne t i cs Mut Fnds Inc . N o n e J7 0. Libe r ty G loba l Inc. A N o n e Sold 01/22/10 J A

    7 1. Libe r ty G lob a l Inc. C N o n e S old 01/22/10 J A

    7 2. Libe r ty M ed ia In t e ract ive A7 3. Libe r ty M edia Hold - Cap S e r A

    N o n e S o l d 01 /22/10 J AN o n e So ld 01 /22/10 J A

    7 4. M & T B a n k C o r p B D i v i d e n d L T

    75 . P ay che x In c. N o n e S o ld7 6 . P r o ct o r & G a m b l e A D i v i d e n d J T

    01/22/10 J A

    7 7 . P ruden t i a l F in l Inc B Interest K T7 8. R o yce Fun d - P A N o n e K T7 9. T ene t Hea l thca re Corp . N o n e S old 01/22/10 J B80 . T i m e W a r n e r I n c . N o n e S old 01/22/10 J A

    81 . AlpineT ota l Dynamic Div F und B D i v i d e n d J T82 . B l a c kr o c k I n t l G r o w t h & I n c o m e F u n d B D i v i d e n d K T83 . C a m e c o C o r p . A D i v i d e n d Sold 01/22110 J A

    84 . E a t o n V a n c e T a x - M a n a g e d G l o b a l B D i v i d e n d K T85 . T emp le ton G rowth C F rankl in A D i v i d e n d J T

    1. l n c0m e G ~i n C0d es : A = $ 1 0 0 0 or es s B =$1,001 ; $2,51)0( S ee C olu mns B I and 1 34 ) F =$50 ,001 - $100,000 G =$1 00,001 - $1 ,000,000

    2 . V alu e C odes 3 =$15,000 or tess K =$15,001 2 $50,000( S e e C o l u m n s C t a n d D 3 ) N =$250,001 - $500,000 O =$500,001 ~ $1,000,000

    P3 ~$25,000,001 - $50,000,0003. V alu e Meth od C odes Q =A p p r a i sa l R = C os t ( R eal Es t a t e O nly )

    ( S e e C o l u m n C 2 ) U = B ook V alu e V = O t h e r

    c = , 2 , 5 0 1 . , 5 , 0 0 0 . = , 5 , 0 0 1 - , 1 5 , 0 0 0Hi =$1,000,0b:l ~ $510001000 H2 =More than $5,000,000L - - $ 5 0 0 0 ] , $ 1 0 0 0 0 0 M ~$I00~001 = $250~000p i = $ l i 0 0 0 ;0 0 1 ~ $ 5 1 0 0 0 ~ 0 0 0 ~ =$5,000;001 ; $25;000;000P4 =More than $50~000,000S = A s s es s ment T ~ C a s h M a r k e tW =Estimated

    E =$15,001 - $50,000

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    FINANCIAL DISCLOSURE REPORTPage 9 of 13

    N a m e o f P e r s o n R e p o r ti n gArcara, Richard J.

    Date of Report5/12/2011

    V I I . I N V E S T M E N T S a n d T R U S T S - i n c o ,~ e , r a t h e , , ra ~ s a c t i o n s a ~ e t u d e s t h o s ~ o y ~ p o u ~ a n d dependen t ch i ldren; se e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

    A. B. C. D.Description of Assets Inco m e d urin g G ross value a t en d Transactions during reporting period( inc luding t rus t asse ts ) repor t ing per iod of reporting 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 l u e V a l ue Type (e.g. , Date V a l ue G a i n Identity of

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

    86 . B l a c kr o c k E n h a n c e d G o v t A D i v i d e n d J T

    87 . G M N A R E M I C 2 0 0 3 - 11 0 - P C A Interest J T88 . G o l d m a n S a c hs G r o u p , I n c . A Interest S old 02/17/10 [ K B

    89 . F H L M C R E M I C 2 8 6 4 - A 4 L o t te r y B o n d A Interest J T90 . Res iden t i a l As s e t S ee 20 RAAC A Interest J T91 . F H L M C R E M I C 3 0 2 4- C D A Interest S old 12/15/10 J A92 . Chas e M o r tgage F IN T r 20 B Interest K T93 . C S M C M t g - B kd P a s s T h r u A Interest K T94 . B a n e o f A m e r i c a F D G C o r p A Interest J T95 . Count rywide Capi t a l V B Interest J T96 . K e ycorp C a p i t a l IX B Interest K T97 . C B T C S f o r J C P e r m e y C o B Int ./Div. J T98 . Ivy A sse t S t r a t e gy C N o n e K T99 . W e l l s F a r g o M o r t g a g e B a c k e d A Interest J T100. D irect T V C la ss A N o n e So ld 01/22/10 J B

    101. D W S S tra teg ic F u n d C las s C N o n e S o ld 01 /22/1 0 J C102. J Morga n MTG Trus t A Interest J T

    I . Inc ome G ain C bdes : A ~$ i i000 0 r ie ~ B =$1;00! ~ $2~500( S ee C olu mns B ! and D 4 ) F =$50 ,001 - $100,000 G =$1 00,001 - $1 ,000,000

    2. V alue C o de s J = $1 5 ,000 o r less K = $1 5,001 - $ 50,000( S ee C olu mns C I and D 3) N =$250,001 - $500i000 O = $500,001 - $I ,000,000

    1 3 = $ 2 5 ~ 0 0 0 , 0 0 1 - $50,000,0O03. V alu e Meth od C odes Q =A p p r a i sa l R = C os t ( R eal Es t a t e O nly )( S e e C o l u m n C 2 ) U = B ook V alu e V = O t h e r

    C =$2 , 501 - $5 , 000H 1 =$1,000,001 - $5,000,000L :$50,00i - $100,000PI =$1,000,001 - $5,000,000P4 =More than $50,000,000S = A s s es s mentW = Es t imated

    D =$5,001- $15,000H2 =Mo re ~a n $5 ,000 ,000M= $ 1 0 0 ,0 0 1 - $ 2 5 0 ,0 0 0P2 =$51000,001- $25,000,000T = C a s h M a r k e t

    E =$15,001- $50,000

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    FINANCIAL DIS(~LOSURE REPORTPage 10 of 13

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

    D a t e o f R e p o r t5/12/2011

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

    A. B. C. D.Description of Assets Inco m e d urin g G ross value a t en d Transac t ions dur ing repor t ing per iod( inc luding t rus t asse ts ) reporting period of reporting period

    ( 1 ) ( 2 ) O ) ( 2 )Place "(X)" after each asset A m o u n t 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 th o d( A - H ) o r i n t . ) (J-P) C o d e 3( Q - W )

    1 0 3 . U n i t e d S t a te s N a t i o n a l G a s F u n d N o n e J T1 0 4 . C T S T r e a s u r y C a s h ( x ) N o n e J T105. Count rywide Al t . Ln. T rus t N o n e J T1 0 6 . L e g g M a s o n C a p i t a l M a n a g e m e n t N o n e K T1 0 7 . E u r o P a c G r o w t h F u n d A D i v i d e n d J T1 0 8 . G e n e r a l M o t o r s A c c e p C o r p A Int ./Div. J T1 0 9 . Sa n B e m a r d i n o C n t y C A N o n e K T1 1 0 . S L M C o r p A Int ./Div. J T1 1 1 . L e h m a n M o r t g a g e T r u s t A Int ./Div. K T112. Cred i t S u i s s e F i r s t Bos ton M tg. A Int ./Div. J T113. C i t iMo rtg ag e Al t . Lo an A Int ./Div. J T1 1 4 . B l a c k R o c k G l o b a l A l l o c a t io n A D i v i d e n d K T1 1 5 . F o r d M o t o r C r e d i t C o . A Int ./Div.1 1 6 . F o r d M o t o r C r e d i t C o . A Int ./Div.1 1 7 . T a m a r a c k I n v t . F d s P r i m e A D i v i d e n d J TI 1 8 . L e g g M a s o n C a p i t a l N o n e J T1 1 9 . B a n k o f A m e r i c a C o r p B D i v i d e n d J T

    (I ) {2) (3)T y p e ( e . g . , D a t e Valueb u y , s e l l , m m / d d/ y y C o d e 2r e d e m p t i o n ) ( J - P )

    Bu y 01/22/10 KBu y 01 /22/10 JBu y 04 /21 /10 JBu y 02/16/10 KBu y 05/03/10 J

    Bu y 04 /22/10 KBu y 01 /22/10 JBu y 04 /26 /10 JBu y 01 /22/10 KBu y 01/22/10 JS old 12/20/10 J

    Bu y 03 /17/10 J

    (4 ) ( 5 )G a i n I d e n t i t y o fCode 1 : : buyer/seller( A - H ) ( i f p r i v a t e

    A

    transaction)

    L In co m e G a in C o d e~ : ; A = $1;000 o r le ss( S ee C olu mns B I and I M) F =$50,001 - $100,0002. V alue C o de s J = $1 5,000 or less( S ee C olu mns C I and O3) N =$250,001 - $500,000

    P3 =$25,000,001 - $50,000,0003. V alu e Meth od C odes Q =A p p r a i sa l( S ee C olu mn C 2 ) U = B ook V alu e

    =$ l ~001 - $ 2 i 5 0 0=$100,001 - $1,000,000=$15,001 - $50,000=$500,001 - $1,000,000= C os t ( R eal Es t a t e O nly )=O l he r

    C =$2 , 501 - $5 , 000H 1 -$1,000,001 - $5,000,000L =$50,001 - $I00,000P l =$1,000,001 - $5,000,000P4 =More than $50,000,000S =AsscssmcntW = Es t imated

    D =$5, 001 - $15, 000H2 =More than $5,000,000M = $ I O O , O O l - $ 2 5 0 ,0 00P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

    E =$15,001 - $50,000

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    FINANCIAL DISCLOSURE REPORTPage 11 of 13

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

    Date of Report5/12/201 l

    V I I . I N V E S T M E N T S a n d T R U S T S -- 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 i o n o f A s s e t s I n c o m e d u r i n g( 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(i ) (2 )

    Place "(X)" after each asset Amount Type (e.g.,exempt from prior disclosure C o d e l div . , r e nt ,( A - H ) o r i n t . )

    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 do f r e p o r t i n g p e r i o d

    (1) (2) (1 ) (2) (3) (4) (5 )V a lu e V a lu e Type (e.g., D a t e V a l u e G a i n I d e n t i t y o f

    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 C o d e 1 b u y e r / s e l l e r( 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 t e

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

    120. Dominion Res. Inc. VA A Int./Div.121. Citicorp M ortgage Securities A Int./Div.

    122. JP Morgan Mt g. Trust A IntJDiv.123. Wells Fargo M tg Backed Securities A Int./Div.

    JJJJ

    T

    T

    T

    T

    Bu y 01 /25 /10

    1 2 4 . B la c k R o c k N Y M u n l I n co m e B D i v i d e n d L125. Invasco Van Kam pen Tr Invt A Dividend K Bu y 06/30/10 K126. Black rock G lobal Allocation A Dividend J B u y 12/10/10 J127. Ivy Asset Strategy C1 C None J B u y 12/10/10 J128. Pimco High Income Fund B Dividend129. Rochester Funds Municipal CL C B Dividend130. Van Kempen Trust A Dividend

    SoldSoldSold

    03/31/10 K D12/17110 K C06/01 /10 J A

    1. i n co m e G a i n Co d es : A =$1~000 or less B =$1,001 - $2,500( S ee C olu mns B I and D 4 ) F = $50,001 - $100,000 G ~$] 00,001 - $1 ,000 ,000

    2 . V alu e C odes J =$ t 5,000 or less K ~$15,001 - $50,000( S ee C olu mns C I and D 3) N =$250,001 - $500,000 O =$500.001 - $1,000,000

    P3 =$25,000,001 - $5 0,000.0003. V alu e Meth od C odes Q = A p p r a i sa l R = C os t ( R eal Es t a t e O nly )( S e e C o l u m n C 2 ) U = B ook V alu e V = O lh c r

    C =$2,501 - $5~000 D =$5, 001 - $15, 000H I =$1,000,001 - $5,000 000 H2 =More than $5,000,000L =$50,001 - $100~000 M =$100~001 - $250;000PI =$1,000,001 - $5~ 000,000 P2 ~$5i0001001 - $25i000;000P4 =More than $50,000;000S = A s s es s ment T = C a s h M a r k e tW = Es t imated

    E =$15,001 - $50,000

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    FINANCIAL DISCLOSURE REPORTPage 12 of 13

    N a m e o f P e r so n R e p o r t i n gArcara, Richard J.

    D a t e o f R e p o r t5/12/2011

    VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS. (lndicatepart of report.)P ar t VII . T he a s s e t s l i s t ed i n pa r t VII , on l i nes 119 , 121 , 122 , 124 , 125 , 128 , 13 0 , 13 1 and 13 2 we re i nadve r t en t ly om i t t ed on the 2008 and 2009 F inan cia lD i sc l osure Re por t s .

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    FINANCIAL DISCLOSURE REPORTPage 13 of 13

    Name of P e r son Repor t ingA r c a r a , R i c h a r d J .

    Date of Repor t5/12/2011

    IX . CERTIFICATION.I c e r ti f y t ha t a l l 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 ) is

    a 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 ld 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 t in g n o n - d i s c l o s u r e .I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a cc 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 nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

    Signature: S/Richard J. Arcara

    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 I L F U L L Y F A L S IF I ES O R F A IL S T O F I LE T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4 )

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