thomas l ludington financial disclosure report for 2009

8/3/2019 Thomas L Ludington Financial Disclosure Report for 2009

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A o 1 0 I FINANCIAL DISCLOSURE REPORT Rwortin GovernmentRequirR ~ . 1 / 2 0 1 0 FO R C A L E N D A R Y E A R 2009 ( 5 u . s .c , a p p . 1 o 1 - 1 1 1 )Person R epor t ing ( las t name, f i r s t , middle in i t i a 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

L u d i n g t o n , T h o m a s L . U S D i s t r i c t C o u r t M I ( E a s t e r n ) 04~22/20104 . T it l e ( A r ti c l e I I l j u d g es i n di c a t e a c t i v e o r s e ni o r s t a t u s; 5 a. R e p o r t T y p e ( c h ec k a p pr o p r i a t e t y pe ) 6 . R e p o r t i n g P e r i o dm a g i s t r a t e ju d g e s i n d i c a t e f u l l - o r p a r t - t i m e )

[ ] N o m i n a t i o n , D a t e 0 1 / 0 1 / 2 0 0 9U. S . D i s t r i c t Judge [] Initial , t _ r _ a ~ A n n u a l [] Final t o12/31 I 2 0 0 95 b. [] A m e n d e d R e p o r ~7 . C h a m b e r s o r O f f ic e A d d r e s s 8 . O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t io n s p e r t a i n in g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c eU . S . C o u r t h o u s e w i th a p p l ic a b le l a w s a n d r e g u la t i o n s .1 0 0 0 W a s h in g t o n A v e n u eB a y C i t y , M I 4 8 7 0 8 R e v i e w i n g O f f i c e r D a t e

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

I . P O S I T I O N S . : ~ , v o r t i , g i . a i v id . ~ l o o t y ; ~ e ~ W . 9 - t ~ of ~ling instructions.)D N O N E (No reportablepositions.)

P O S I T I O N NAME OF ORGANIZATION/ENTITY1. D ir e c to r R . M . G e r s t a c k e r F o u n d a t i o n2. D ir e c to r S a g i n a w V a l le y S t a te U n i v e r s it y F o u n d a t i ~3. T r u s t e e A l bi o n C o l l e g e F - - "4. D ir e c to r T h o m a s L . L u d i n g t o n F o u n d a t i o n

I I . A G R E E M E N T S . (Reporting individual only; seevp. 14-16 of filing instructions.)[~ NONE (No repor table agreements . )

D A T E PARTIES AND TERMS1 . 0 1 / 0 1 / 0 3 M i c h i g a n J u d g e s R e t i r e m e n t S y s t e m


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Iame of Person Reporting Date of Report F IN A N C I A L D I SC L O S U R E R E P O R T[ L u d i n g t o n , T h o m a s L

Page 2 of 2i 0 4 1 2 2 / 2 0 1 0

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

D A T E SOURCE AND TYPE I N C O M E(yours, not spouses)

I. 2009 Federal Court Salary $165,000.00

B . S p o u s e s N o n - I n v es t m e n t ! n c o m e - if you were married during any portion of the reportingyear, complete this sectio~(Dollar amount not required except for honoraria.)

[~ N O N E (No reportable non-investment income.)D A T E SOURCE AND TYPE

I V . R E I M B U R S E M E N T S - transportation, lodglng, food, entertainment.(Includes those to spouse aM depend ent children," see pp. 25-27 of f i l ing instructions.)[~] N O N E (No rep o r ta b le re im b u rs emen ts .)

S O U R C E D A T E S L O C A TIO N P UR PO SE I T E M S P A ID O R P R O V I D E DI. George Mason University November 6-12,2009 Arlington, VA Conference Air travel, ground transportationSchool of Law


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F I N A N C I A L D I SC L O S U R E R E P O R T [ N .... fPerson Reporting Date of ReportPage 3 of 21 I Ludington, Thomas L. 04/22/2010

V. G ~ FT~ (~nc~udes th~se t~ sp~use and de~endent chi~ren; see pp. 28-31~f ~ling insructi~ns)N O N E (No reportable gifts.)

S O U R C E DE SCRIP TION VALUEI.2.3.4.5.

V I . L I A B I L I T I E S . a , ,~ t , , d ~ t ~ o s ~ o ~ o u ~ ~ n ~ d ~ . z ~ n , ~ ; ~ , , ~ . 3 ~ - 3 3 of ~lit~g i~,~lr~ctiotl&)N O N E (No reportable liabilities.)

C R E D ITO t{ D E SC R IPTIO N VALUE CODE1 .2.3.4.5.


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r t FINANCIAL DISCLOSURE REPORTP a g e 4 o f 2 1 L u d i n g t o n , T ho m a s L . 0 4 / 2 2 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i ~ o ~ , ~ t ~ , , , ~ , i o ~ a ~ d ~ ~ o ~ o / ~ o ~ ~ d ~ , children; see p p . 3 4 - 6 0 of filing instructions.)

N O ~ E (No reportable income, assets, or transactions.)........... A . [ B. C. ~ D.D e s c r i p t i o n o f A s s e t s [A I n c o m e d u r i n g Gross value at end 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 ) 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

0) (2 ) 0) ] (~) 0) (2 )P l a c e " ( X ) " a f t e r e a c h a s s et m o u n t T y p e ( e . g ., Value

I

V a l u e T y p e ( e . g . , D a t e Va lu e Ga in I d e n t it y o fe x e m p t f r o m p r i o r d i s cl o s u r e [C o d e I d i v . , r e n t , C o d e 2 M et h o d buy, sel l , m m / d d / y y C o d e 2 C o d e 1 buyer/ sel leri (A-H) or int.) (J-P) Code 3I redemption) (J-P) (A-H) (if private(Q-W) [ laansaetion)

1 . C h e m i c a l B a n k & T r u s t ( ch e c k i n g & A Interest K Ts a v i n g s )2. D o w C h e m i c a l E m p l o y e e s C r e d i t U n i o n A In te res t K T3. T D A m e r i t m d e M o n e y M a r k et A Interest L T4. M e r r i l l L y n c h M o n e y M a r k e t A I n t e r e s t J T5. A m g e n S t o c k A D i v i d e n d J T

6. C o v a n c e S t o c k A D i v i d e n d K T7. C o r u i n g S t o c k A D i v i d e n d L T8. I B M S t o c k A D i v i d e n d K T9. Q u e s t D i a g n o s t i cs S t o c k A D i v i d e n d K T

1 0 . C h e m i c a l F i n a n c i a l S t o c k B D i v i d e n d K T|1 . P e t o s k e y M I C o n d o N o n e M W

1 2 . A m C e n t R e a l E s t (D o w S a v i n g s P l a n ) - N o n e .I TK K L 4 0 1 K1 3 . F i d e l it y C o n t r a f u n d ( D o w S a v i n g s P l a n ) N o n e L TK K L 4 0 1 K1 4. F i d e l i ty D i v e r s i fi e d l n t l ( D o w S a v i n g s P l a n ) N o n e K TK K L 4 0 1 K1 5 . G r o w t h E q u i ty ( D o w S a v i n g s P l a n ) K K L N o n e K T4 0 1 K1 6 . I n t e r e st I n c o m e F u n d ( D o w S a v i n g s P l a n ) N o n e M TK K L 4 0 1 K1 7 . V a n g u a r d C o n v e r t ib le S e c ( D o w S a v i n g s N o n e K TPlan) KY - .L 401K

I . In c o m e G a i n C o d e s : A ~ $1 ,0 0 0 o r le s s B =51 ,0 0 1 - 52 ,50 0 C = 52 , 50 1 - $5, 0 0 0 D = 5 5 ,0 0 1 - 5 1 5 ,0 0 0 E = 5 1 5 , 0 0 1 - 5 5 0 , 0 0 0( S e C o l u m n s B I a n d I ) 4 ) F ~ 550 ,0 0 1 - $1 0 0 ,0 0 0 G = 51 0 0 ,0 0 1 -$1 ,0 0 0 ,0 0 0 HI ~$l,000,00l - $5,000,000 H 2 = M o r e t h a n 5 5 ,0 0 0 , 0 0 0

2 . V a G u e C o d e s J = $ 1 5 , 0 0 0 or l e s s K =51 5,0 0 1 - $50 ,0 0 0 L =$50 ,0 0 1 - $ 1 0 0 ,0 0 0 M - 5 1 0 0 , 0 0 1 - $ 2 5 0 , 0 0 0( S ~ C o l u m n s C I a n d D 3 ) N = $ 2 5 0 ,0 0 1 - $ 5 0 0 ,0 0 0 O =$50 0,0 01 - $I ,0 ~1 ,0 00 P ! =$I,0 00 ,0 01 - $5,0 00 ,1 )0 0 P2P 3 = $2 5,0 0 0 ,0 0 1 - $50 ,0 0 0 ,0 0 0 P 4 = M o r e th a n $50 ,0 0 0 ,0 0 0

3 . V a l u e M e t h o d C o d e s Q = A p p ra is a l R ~2 o s ! ( R e a l E s ta te O n ly ) S = A s s e s s m e n t T - - C a sh Ma r k e t( S e ~ C o l u m n C 2 ) U = B o o k Value V =,Othe r W = E s t i m a t e d


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" " FINANCIAL DISCLOSURE REPORT I ~ m e o f C o , s o n R e p o ~ U n g D ~ t eP a g e 5 o f 2 1 Iu d i n g t o n , T h o m a s L . ~2010VIL INVES TMEN TS and TRUSTS - ~.~o~, ~lue, t ..... tions ancludes those ef ~ .... d dependent children; see pp. 34-60 of f!llng t~ truc~o~)

NOHE ~o reportable income, ~sets, or tra~vactio~.)

D e s c r i p t io n o f A s s e t s [ I n ,m e d ~ n g G r o ~ v a l u e a t e n d T~sactions during ~ing( including t~st ~ets) r e i n i n g p e r i ~ o f r e p o f l in gP~a~ "(X)" a~r ~h as~t Amo~l [ T~ {e.g., Valu~ Value Ty~ (e.g. , ~ Da~ V a l u ~ G a i n ~ fd~ ofe x e r t ~ o m p r io r d i s c lo s u r e C ~ e I [ d i v . , ~ n % C o d e 2 M e ~ h ~ b u y , ~ 1 t , ~ m ~ d ~ ~ C ~ e 2 ~ C ~ e 1 ~ y~ t se l i e r

] (A-H) [ or in~) ( J - P ) C~c3 ~dempt ion) ] ( J-P ) ~ ( A-H ) ( i f p f i v a ~~ ~ ( Q - W ) ~ ~ n ~ e t i o n )1 8 . Vang~rd Glo~l Equi~ (~w Savings N o n e K TPI~) ~ 401K

1 9 . S S ~ S ~ b l e V a l u e - S t a t e o f M i c h i g a n 4 5 7 N o n e K TP I ~ ( T L L )2 0 . S S g A S ~ b l e V a l u e - S t a t e o f M i c h i g a n N o n e K T401Kpl~ (~L)21 . P I M C O T o t a l R e a m - St a t e o f M i c h i g a n N o n e K T401Kpl~ (~L)2 2 . M F S T o t a l R e a m - S ta t e o f M i c h i g ~ 4 0 1 K N o n e K Tpl~ fiLL)2 3 . D o d g e ~ d C o x S t o c k - S ~ te o f M i c h ig ~ N o n e K T4 0 1 K p l ~ ( T L L )2 4 . Lord Abbett Mid~ Value A; Sm~ of N o n e K TM i c h i g ~ 4 0 1 K ( T L L )2 5 . R i d g e W o ~ F u n A s - S t a t e o f M i c h ig a n N o n e K T40~ ~ (~)2 6 . A m e r i c a n F ~ E u r o p a c i f i c G r - S ta t e o f N o n e K TMichig~ 401K (~L)

2 7 . C h e m i c a l B ~ k S a v i n g s - F B O # 1 A I n t e r e s t K T2 8 . F e d e r a t e d B a l a n c e d ( C F C ) - F B O # 1 A D i v i d e n d K T29 . M I E d u S a v i n g s P r o g r a m - F B O # 1 N o n e L T3 0 . C h e m i c a l B a n k S a v i n g s - F B O f 1 2 N o n e J T3 1 . M I E d u S a v i n g s P l a n - F B O # 2 N o n e L T3 2 . S c h w a b M o n e y M a r k e t A l n t e r e s l K T3 3 . A I g e r H l t h S c i F u n d N o n e J T

C a n a d i a n T i r e C o r p A A D i v i d e n d J T S o l d 03/05/09 J(P~)

1 . I n c o m e G a i n C o d e s : A ~ $1 , 0 0 0 o r l e t s B ~il.00t - $2.500 C ~ $2 .50 1 - $5.0 0 0 D = $5,0 0 1 - $1 5,0 0 0 E = $1 5,0 0 1 - $ 50 ,0 ~0( S ~ C o l u rr m s B I a n d D 4 ) F

2 . V a l u e C o d e s J = $ 1 5 . 0 0 0 o r l e s s K =$ I 5 ,001 - $50,000 L = $ 5 0 . 0 0 1 - $ ! 0 0 ,0 0 0 M = $ 1 0 0 , ~ I - $ 2 5 0 , 0 0 0( S ~e C o lu m ns C I a n d D 3) N = $2 50 .0 0 1 - $50 0 ,0 0 0 O ~$50 0 ,0 0 1 - $1 ,0 0 0 .0 0 ~ P I = $1 .0 0 0 .0 0 1 - $5.0 0 0 .0 0 0 P 2 =$5,0 ( K I,0 0 1 - $2 5,0 0 0 ,0 0 0

P3 = $ 2 5 ,0 0 0 . 0 0 1 - $ 5 0 ,1 ) 0 0 . 0 0 0 p a = M o r e t h a n $ 5 0 , 0 0 0 . 0 0 03 . V a l u e : M e t ho d C o d e s Q = A p p r a i s a l R = C o s t ( R e a l E s h a t e O n l y ) S ~ A s . s e s s mc n t T - - C ~ h M a r k e t( S~ : C o l u m n C 2 ) U - B o o k V a l u ~ V =O~he r W .~F.~t i rna te d


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F I N A N C I A L D I SC L O S U R E R E P O R T N .... f P e r s o n R e p o [ t in g D a t e o f R e p o r tPage 6 of 21 L u d i n g t o n , T h o m a s L . 04/22/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i o c o m e , v a t . e , t . . . . . t ions (Includes those of ap . . . . and dependent children; ~ee pp. 34-60 Of filiog instructions.)NONE (No reportable incom e, assets, or t ransact ions .)

A. l B. I C. D.D e s c r i p t i o n o f A s s e t s ~I Income dur ing Gross value at end 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 z ) I 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(i) (2 ) O) (2) (i) ! (2) 1(3) (,~) (s )P l a c e " ( X ) " a f t e r e a c h a s s e t I A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g . , D a t e Value Gain I d e n t i ty o fe x e m p t f r o m p r i o r d i s c lo s u r e [ Code ] d i v . , r e n t , C o d e 2 M e th o d buy, sell, m m / d d / y y C o d e 2 C o d e I bu y e r/s e l le r

i (A-H) o r i n t . ) i ( 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 ) , i t r a n s a c t i o n )

3 5. T S o l d 0 7 / 0 8 / 0 9 J( p a r t )3 6. T S o l d 1 I /10/09 J( p a r t )3 7. F B R G a s U t i l I n d e x F u n d A D i v i d e n d J T

3 8. F B R S m a l l C a p F u n d A D i v i d e n d J T

3 9. F i d e l i t y S l c t P o r t f F u n d A D i v i d e n d J T4 0. F i r s t E a g l e O v e r s e a s A F u n d A D i v i d e n d K T S o l d 0 3 / 0 5 / 0 9 J( p a n )41 . T B u y 11/10/09 J( a d d l )4 2. F r a n k l in T e m p le to n N o n e S o l d 03/05/09 K

4 3. G e n e r a l D y n a m i c s , I n c A D i v i d e n d J T

44 . J B Hu n t T ra n s p o r t S v s c No n e T B u y 0 3 / 0 5 / 0 9 J( a d d l )45 . S o l d 11/10/09 J C

46 . Jo h n s o n C o n t ro ls , ln c No n e S o l d 0 3 / 0 5 / 0 9 J

47 . L - 3 C o m m u n i c a ti o n s , ln c A D i v i d e n d J " T48 . L o w e s C o m p a n i e s , In c N o n e S o l d 03/05/09 J A

49 . M e r i d i a n V a l u e F u n d A D i v i d e n d K T B u y 03/05/09 J( a d d l )50. T S o l d 11/10/09 J A( p a r t )51. M F S Ut i l i t i e s F und N o n e J T

I. Income G ain Codes: ........ A = ~ I i~ O - - o - r l~ B =$1 ,0 0 1 - $2 ,50 0 C = $2 ,50 1 - $5,0 0 0 D = $ 5 ,0 0 1 - $ 1 5 ,0 0 0 E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0( S C o l u r t l n s B I a n d D4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 4 ) 0 G = $ 1 ~ 0 ,0 0 1 - $ 1 ,0 0 0 ,0 0 0 H I : $1 , 0 0 0 , 0 0 1 - $5, 0 0 0 , 0 ~ 0 H 2 = M o r e t h a n

2 . V a l u e C o d e s J =$15,000 o r l e s s K = $ 1 5 ,0 0 1 - $ 5 0 ,0 0 0 L = $ 5 0 ,0 0 1 - $ 1 0 0 , 0 0 0 M = $ I 0 0 , 0 0 1 - $ 2 5 0 ,0 0 0( S e e C o l a n m s C I a n d D 3 ) N =$2 50 ,0 01 - $50 0,0 0 0 O =$50 0,0 0 1 - $1 ,~0 0,0 00 P I = $I , 0 0 0 , 0 0 1 - $5, 0 0 0 , 0 0 0 P2 = $ 5 ,0 0 0 ,0 OI - $ 2 5 ,0 0 0 ,0 0 0

P3 = $ 2 5 ,0 0 ( I ,0 0 1 - $ 5 0 ,0 0 0 ,0 0 0 P , ~ = M o r e b a n $ 5 0 , 0 0 0 , 0 0 03 . V a l u e M e t h o d C o d e s Q = A ppr a i s a l R ~ : o s t ( R e a l E s t a t e O n l y ) S = A s s e s s m e n t T = C a s h M a r k e t

( S e e C o lu r ~ C 2 ) U ~ B o o k V a lu e V ~)ther W = E s t i m a t e d


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F IN A N C IA L D IS C L O S U R E R E P O R T N .... f P e r s o n R e p o r t i n g D a t e o f R e p o r tP a g e 7 o f 2 1 Ludington, Thomas L. 04/22/2010V I I . I N V E S T M E N T S a n d T R U S T S - income, value, t ...... tions (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; s e e pp. 34-60 o f f i l ing instruction~)

D NONE (No reportable inco me , assets, or t ransact ions.)AI B. C. D.D e s c r i p ti o n o f A s s e ts Income dur ing Gross value at end T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . , Value Value T y p e ( e . g . , [ Date Value Gain Ident i ty o fe x e m p t f r o m p r i o r d i s cl o s u r e C o d e I d i v . , r e n t , C o d e 2 M et h o d buy, sell, l m m / d d ! y y C o d e 2 I C o d e I [ buyer/ sel ler( A - H ) o r in t .) ( J - P ) C o d e 3 r e d e m p t i o n ) i ( J - P ) [ (A-H) ( i f p r i v a t e_] ( Q - W ) [ i t r a n s a c t i o n )

52 . R o y c e L o w - P r i c e d S t Fu n d N o n e J T B u y 0 4 / 0 3 / 0 9 J( a d d l )53 . T S o l d I 1/I 0/09 J( p a r t )54 . S e l ig m a n C o m m F u n d N o n e K T S o l d 1 1 / 1 0 1 0 9 J A( p a n )55. U n i t e d H e a l t h G r o u p , I n c N o n e S o l d 0 3 / 0 5 / 0 9 J56 . V a n g u a r d E n e r g y F u n d A D i v i d e n d K T B u y 0 7 / 0 8 / 0 9 J( a d d l )57 . T Sold 1 1 / 1 0 / 0 9 J C( p a r t )58 . V a n g u a r d S p c H l th F u n d N o n e J T B u y 03/05109 J( a d d l )59. A m c e n t : I n t l . D i s c F u n d N o n e T S o l d 0 3 / 0 5 / 0 9 J( p a r t )60 . S o l d 0 7 / 0 8 / 0 9 J61 . D o d g e & C o x I n t l St o c k Fu n d A D i v i d e n d K T S o l d 0 7 / 0 8 / 0 9 J(p~)62 . T S o l d 1 t /10 /09 J( p a r t )63 . J u l i u s B a e r I n t t E q t y ( n o w A r t io I n t l E q t y N o n e S o l d 1 1 / 1 0 / 0 9 K CF u n d A )64 . M F S I n t l N e w D i s c o v e r y A F u n d N o n e K T S o l d 0 3 / 0 5 / 0 9 J(par t )65 . T S o l d ] 11/10/09 J( p a r t )66 . M o rg a n S ta n le y ln s t In tt R e a l E s ta te Fu n d No n e K T

67 . T P r ice M e d ia & T e l Fu n d No n e K T S o l d 0 3 / 0 5 / 0 9 J A( p a r t )68 . T S o l d 0 7 / 0 8 / 0 9 J A(par t )


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F I N A N C I A L D I SC L O S U R E R E P O R T ~ .... fP .... Reporting DatenfReporlPage 8 of 21 L u d i n g t o n , T h o m a s L . 0 4 / 2 2 J 2 0 1 0VII. I NV ES T M EN T S a n d TRUSTS - i. ...... I . ~ , t ...... lions (lnelude~" those of sp ..... d dependent ch i ldren; see pp . 34-60 o f f i l ing instruct ions . )[~] NONE (No reportable income, assets, or trar~actions.). . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . 2 . . . . . . . . . . . . . . . . . .. . . . . . . .~ .... ~ c . - . . . . . . . . . . . . .. . . . ~ ...........................~scfiption of As~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 Tmnsac6ons d~ng m~ing ~riod

(incl~ing t~t ~ts) ~[ ~poaing ~fiod o f r e p o s i n g p e r i o dPlace "(X)" after ~h ass~ ~ Amount [ "ly~ (e.g., V a l u e V a l u e T~ (e.g.; j Date ~ Value G a i n I d e n t i ~ y o fexempt from prior disclo~ C~e I ~ div., rent, C o d e 2 Me~od b u y . s e l l , ]m~d~ ~ C~e 2 C o d e I b a y e r / s e l l e r

(A-H) [ o r m r . ) ( J -P) C o d e 3 r e d e m p t i o n ) ~ ( J-P ) ( A -H ) (ifpfvate........................ ~ ............................... ~ ........ L ......... ( Q - W ) ~ t~n~ction)

69. T Sold 1 1 / 1 0 / 0 9 J B( p a n )7 0 . ATCO Ltd Cl~s I A D i v i d e n d J T Sold 0 3 / 0 5 / 0 9 J C(P~)7 1 . T Buy 0 7 / 0 8 / 0 9 J

(arial)72. T Sold 1 1 / 1 0 / 0 9 J B7 3 . B~ofNova Scotia A D i v i d e n d J T Buy 0 3 / 0 5 / 0 9 J( a d d l )74. T Sold 0 7 / 0 8 / 0 9 J B

75 , l ~old 1~a~ )76 . Pe~o-O~ada A ~ivi~d Sold

77. Sold 07/08/~ J C

78 . Power Financial Corp A D i v i d e n d J T Sold 1 1 / 1 0 / 0 9 J A( p a r t )79 . Shoppers Drug Mart Corp A D i v i d e n d J T Sold 0 3 / 0 5 / 0 9 J( p ~ )8 0 . T Buy I 1 / 1 0 1 0 9 J

(addl)8 1 , Suncor Energy lnc N o n e T Sold 03/05/09 J(par t)8 2 . Sol d 07 /08 /09 J83 . H a r r i s C a p P F D A D i v i d e n d J T

8 4 . P e r m i a n B a s i n R o y a lt y T r N o n e K T B uy 03/05/09 J(addl)85 . T Sold 07/08/09 J( p a n )


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F I N A N C I A L D I SC L O S U R E R E P O R T N a m e o f P e r s o n Reporting DateofRepor~Page 9 of 21 L u d i n g t o n , Thomas L. 0 4 /22 /20 10

VII. INVESTMENTS and TRUSTS -i .... e, valu e, t . . . . . tions (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 . 34 - 6 0 o f f i l in g i~structiong)NONE (No reportable inc om e, assets , or t ransact ions .)

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 r i n g Gross value at end I 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] ( inc luding t rus t asse t s ) I 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 I~(i) (2) (l) ]-(2) ! ( 1 ) (2) : (3) (4) ( 5 )Place "(X)" a f t . . . . h a s s e t I A m o u n t T y p e ( e . g . , Value / Value [ T y p e ( e . g . , D a t e : Value i Gain I d e n t i t y o f

i t r a n s a c t i o n )I /( Q - w ~ [ ~ j . ~8 6 . T B u y 0 7 / 0 8 / 0 9 J( a d d l )8 7 . T B u y 1 2 / 0 8 / 0 9 J( a d d l )8 8 . C e n o v u s E n e r g y I n c A D i v i d e n d J T S p i n o f f

( f r o m l i n e 8 9 )8 9 . E n C a n a C o r p A D i v i d e n d J T B u y 0 7 / 0 8 / 0 9 J90 . T S o l d 1 1 / 1 0 / 0 9 J A( p r o )91 . S a bi n e R o y a l t y T r u s t N o n e K T B u y 1 1 / 1 0 / 0 9 J( a d d l )92 . S a n J u a n B a s i n R o y a l t y N o n e T S o l d 07 /08 /09 J( p a r t )93 . S o l d ! l l / l 0/09 J9 4 . M a g e l l a n M i d s t r e a m N o n e K T S o l d 0 3 / 0 5 / 0 9 J( p a r t )95. T S o l d 0 7 / 0 8 / 0 9 1 B( p a r t )9 6 . T B u y 0 7 / 0 8 / 0 9 J( a d d l )97 . N u S t a r E n e r g y N o n e K T S o l d 0 3 / 0 5 / 0 9 1( p a ~ )98 . T B u y 1 1 1 1 0 / 0 9 J(addl)99 . P l a i n s A l l A m e r i c a n P i p e l i n e s N o n e S o l d 03/05109 K1 0 0 . S u n o c o L o g i s t ic s P a r t n e r s N o n e K T S o l d 0 3 / 0 5 / 0 9 J C( p a ~ )I 0 1 . T B u y 0 7 / 0 8 / 0 9 J( a d d l )

1 0 2 . T B u y 1 1 / 1 0 / 0 9 J( a d d l )

I . In c o m e G a i n C o d e s : A = $ 1 , 0 0 0 o r l e s s B : $1 , 0 0 1 - $2 , 50 0 C =$2.501 - $5 ,1300 D = $ 5 .0 0 1 - $ 1 5 , 0 0 0 E = $ 1 5 ,0 0 1 - $ 5 0 . 0 ~ O( S e e C o l u n m s B I m a d D 4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 . 0 0 0 G = $ 1 0 0 , 0 0 1 - $ 1 , 1 ~ ) 0 , 0 0 0 H I = $1 ,0 0 0, 00 1 - $ 5, 00 0 ,0 0 0 H 2 = Mo re th an $5, 01 )0 ,0 0 0

2 . V a l u e C o d e s J = $ 1 5 , 1 1 0 0 o r l e s s K = $ 1 5 ,0 0 1 - $ 5 0 ,0 0 0 L ~ $50 , 0 0 ! - $1 0 0 , 0 0 0 M = $ 1 0 0 . 0 0 1 - $ 2 5 0 , 0 0 0( S ~ C o l u m ns CI a n d D3 ) N = $2 50 ,0 0 1 - $50 0 .0 0 0 O =$50 0 ,0 0 1 - $1 ,0 0 0 ,0 0 0 P 1 =$1 ,0 0 0 ,0 0 1 - $5,0 0 0 ,0 0 0 P 2 = $ 5. 0 0 0 , 0 0 1 $ 2 5 ,0 0 0 , 0 0 0

P 3 = $ 2 5, 0 0 ~ , 0 0 1 - $ 5 0 , 0 0 0 . 0 0 0 P 4 = M o r e t h a n $ 5 0 , 0 0 0 , 0 0 03 . Va lu e M e th o d C o d e s Q =A p p ra is a l R - C o s t ( R e a l E s t a t e O n l y ) S = A s s e s s m e n t T - C a s h M a r k e t( S e C o l u n m 0 2 ) U = B o o k V a l u e V =O~-r W = E s t i m a t e d


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F IN A N C I A L D I SC L O S U R E R E P O R T NameofPersonReporting DateofReportPage 1 0 of 2 1 L u d i n g t o n , T h o m a s L . 0 4 1 2 2 / 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 . income, va lue , transactions (Includes those of spo ..... d dependent children; see pp. 3 4 - 6 0 o f f i li n g instructions.)[] NONE (No reportable inc om e, assets, or t ransact ions .)

A. B. C. D.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 r i n g I! Gross value at end 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( inc luding t rus t asse t s ) , r e p o r t i n g p e r i o d ~ o f r e p o r t i n g p e r i o d- (1} ---~- (1 ) [ (2) (1 ) -- "-i~"~" (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t Amount I Type (e .g. , Value V a l u e T y p e ( e . g . , D a t e [ V a u e Gain I d e n t it y o fe x e m p t f ro m p r i o r d i s c lo s u r e C o d e I I d i v . , re n t , I[ IC o d e 2 M e th o d buy, sell, m m / d d / y y [ C o d e 2 C o d e I bu y e r/s e l le r(A-H) ]or int.) [ ( J - P ) C o d e 3 r e d e m p t i o n ) I ( J P ) ( 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 0 3 . A M B P r o p e r t y N o n e S o l d 0 7 / 0 8 / 0 9 J1 0 4 . C & S R e a l t y F u n d A D i v i d e n d K T B u y 0 7 / 0 8 / 0 9 J( a d d l )1 0 5 . T B u y 1 1 / 1 0 / 0 9 J( a d d t )1 0 6 . E n e r g y T r a n s f e r P a r t n e r s N o n e K T B u y 1 I 1 1 0 / 0 9 K1 0 7 . E n te r t a in m e n t P p ty s T r B D i v i d e n d K T B u y 0 3 /0 5/0 9 J( a d d l )1 0 8 . T B u y 1 1 / 1 0 / 0 9 J( a d d l )1 0 9 . H e a l t h C a r e P p t y I n v , l n c A D i v i d e n d K T S o l d 03/05/09 J( p a r t )1 1 0 . T B u y 0 7/ 0 8 / 0 9 J( a d d l )I I 1 . H o m e P r o p e r t i e s o f NY N o n e K T S o l d 0 3 / 0 5 / 0 9 J( p a r t )

I 1 2 . T B u y 0 7 / 0 8 / 0 9 J( a d d l )! 1 3 . T B u y 1 1 / 1 0 / 0 9 J( a d d l )1 1 4 . P r o l o g i s N o n e S o l d 0 3 / 0 5 / 0 9 J

1 5 . S L G r e e n R e a l t y A D i v i d e n d K T S o l d 0 3 / 0 5 / 0 9 J( p a r t )1 6 . T B u y 07/08109 J( a d d l )1 7 . T S o l d I l / 1 0 / 0 9 J C( p a r t )1 8 . W e i n g a r t e n R e a l t y h t v A D i v i d e n d S o l d 0 7 / 0 8 / 0 9 J

1 1 9 . T h o r n b u r g I n t l V a l u e F u n d A D i v i d e n d K T S o l d 0 3 / 0 5 / 0 9 J( p a r t )


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N a m e o f P e r s o n R e p o r ti n g D a t e o f R e p o r tF IN A N C I A L D I SC L O S U R E R E P O R TLudington, Thomas L. 04/22/2010age 11 of 21

V I I . I N V E S T M E N T S a n d T R U S T S - i .... e, ~ a t u e , t . . . . . . t ions anctudes ,hose of spo ..... d dependent chi ldren; sec pp. 34-60 of filing instructions.)NONE (No reportable income, assets, or transactions.)

A. : B. ~ C. " ..... ~.. .............................D e s c r i p ti o n o f A s s e ts [ I n c o m e d u r i n g i Gross va lue a t end T r a n s a c ti o n s d u r i n g ~ e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) i r e p o r t i n g p e r i o d i o f r e p o r t i n g p e r i o di (2) I(,) (5)P l a c e " ( X ) " a f t e r e a c h a s s e t Amount ~ Type (e .g. , Value [ Value T y p e ( e . g . , Date i Value [ Gain I d e n t it y o fe x e m p t f r o m p r i o r d i s c lo s u r e i C o d e I ! d i v . , r e n t , : C o d e 2 M et h o d buy, sell, m m i d d / y y ~ C o d e 2 t C o d e 1 buyer/ sel ler

1 2 0 . T S o l d 07108/09 J A@ a rt )1 2 1 . A m e r i c a n G e n F i n - B o n d 1 2 / 1 5 tl l B In te res t K T1 2 2 . A m e r i c a n G e n F i n - B o n d 6 / 1 5 / 1 0 A In te res t J T1 2 3 . A m e r i c a n G e n F i n - B o n d 6 / 1 5 / 0 9 No n e M a tu r e d 0 6 / 1 5 / 0 9 J A1 2 4 . B a n k G e o r g i a C D 2 / 1 7 / 0 9 A In te res t M a t u r e d 0 2 / 1 7 / 0 9 J1 2 5 . B e r k s h i r e H a t h a wa y - B o n d 8 / 1 5 / I 3 N o n e K T B u y 04102/09 K1 2 6 . C a t e r p i l l a r F i n - B o n d 2 / I 5 / 0 9 No n e M a tu r e d 02/15/09 K Ai 2 7 . C a t e r p i l l a r F i n - B o n d 7 / 1 5 / 1 0 A In te res t K T

1 2 8 . C a t e r p i l l a r F i n - B o n d 7 / 1 5 / 1 2 A In te res t K T1 2 9 . D ayto n OH - Bo n d 10101 / 09 A In te r es t M a t ure d 10/ 01109 J1 3 0 . F a i r f a x C n t y V A - B o n d 6 / 0 1 t 0 9 A I n t e r e s t M a t u r e d 0 6 / 0 1 / 0 9 J1 3 1 . G E C a p i t a l C o o - B o n d 1 1 / 1 4 / 1 4 N o n e K T B u y I 1 / 2 0 1 0 9 K1 3 2 . J o h n H a n c o c k - B o n d 2 / 1 5 1 1 2 A In te res t J T1 3 3 . L e tu n a n B a n k - B o n d 1 1 1 8 / 1 2 N o n e J T1 3 4 . M e r r i l l L y n c h - B o n d 3 / 1 5 /1 1 A I n t e r e s t K Tt35. N S t a r E l e c C o - B o n d 51 1 5/1 0 C I n t e r e s t L T1 3 6 . N S t a r E l e c C o - B o n d 5 / 1 5 / 1 0 N o n e J T

I . I n co m e Ga i n CO d es : A = $ 1 , 0 0 0 o r l e s s B = $ 1 , 0 0 1 - $ 2 , 5 0 0 C =$2,501 - $5,000 D =$5,001 - $15.000 E = $ ! 5 , 0 0 1 * $ 5 0 , 0 ~ O( See C olumns B I and IM) F = 1 : 5 0 , 0 0 1 - $ I 1 ~ 0 , 0 0 0 G =$1 00 ,0 0I - $1 ,0 00 ,0 00 H I =$!, 00 0,0 01 - $5, 00 0,0 00 H2 =More than $:5,000,0002 . V a l u e Co d es J ~$15,000 o l~s K =$15,00 1 - $50 ,0 00 L =$50,00 1 - $t 00 ,000 bl =$100,00! - $250,000

( See C olu~t~ C I and D3) N =$2 50 ,0 01 - $500 ,00 0 O =$500 ,00 1 - $1 ,00 0 ,0 0~ P l =$1~0 00 ,0 0 t - $5,00 0 ,000 P 2 = $ 5 , 0 (1 0 , 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0P 3 =$25,000 ,001 - $50 ,000 ,0~0 P 4 =M o re than} . V a l u e M e t h o d C o d ~ s Q =Appraisal R = C os t ( R ea l Es t a t e O nly ) S =A ssessm en t T =Ca sh Ma rke t{See C olumn C 2) U = B ook V alue V ~O th er W =E st i m a t ed


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FINANCIAL DISCLO SURE REP O R T N .... f P e r s o n R e p o r t ~ n g D a t e o f R e p o r !Page 12 of 21 Lu dlngton, Thomas L. 04/22/2010VII. INVEST MENT S an d T RU ST S - inco,~, va~u~, t~ NONE (No reportable income, assets, or transactions.)

.................. ~ ...................... B . C . [ D.~script ion o~ Asse~ l n c o ~ n e d u r ~ g G r o ~ v a l u e a ~ e n d ~ T~ctions during ~ing ~riod( i n c l u d i n g t ~ a ~ e t s ) re~ng peri~ o f r e p o s i n gl l a c e "(X)"a f i e re a c h ~ t ,~ A m u m ~ T y ~ ( e . g . . Va lu e Va lu e T~(e.g., ~ ~te ~ Value Gain : I d e n t i ~ o fe x e m p t f r o m p r i o r d l ~ lo g u r e

[LA-H) [ o r i n t ) ( J - P ) C~e3 = d e = p t io n ) ~ ~O-m ;(A-H) ~ {ifpf ivate[ " W t ~ .1 3 7 . P P G I n d u s ~ e s - B o n d 8 / I $ / 0 9 A I n t e r e s t M a t o r e d 0 8 / I $ / 0 9

1 3 8 . P r i n c i p a l L i f e - ~ o n d 6 / I ~ / 2 0 1 2 A i n t e r e s t S o l d I ~[I ~/09~ A1 3 9 . P m ~ c t i v e L i f e - B o a d 7 / I $ I I 0 A I m e r e s t J T

1 4 0 . P u e ~ R i c o - B o n d 8 1 1 / I I A I n t e r e s ~ J T Buy 0 7 / 0 8 / 0 9 J

1 4 1 . R b ~ e l s l ~ d - B o n d 1 0 i 0 l / ~ k I n ~ e r e s t ~a~ I 0 / 0 ~ 1 0 9 J

1 4 2 . S ~ d e n ~ n g d o m - ~ o n d 4 / I / 0 9 ~ o n ~

1 4 3 . L e m a n B r o s B ~ k C D 1 2 / 7 / 0 9 N o n e Mamr~ 1 2 / 0 7 1 0 9 J1 4 4 . L d u n a a B r o s B a n k C D l ~ 7 /~ A Interest M a m r ~ 1 ~07/09 J1 4 5. G e n e r a l M o t o r s A c e - B o n d 5 / 1 5 / 0 9 A I n t e r ~ t M a m r ~ 05/I 5/09 J1 4 6 . H o u s e h o l d F i n i t e - B o n d 1 ~ 1 5 / 1 1 B Interest K T1 4 7 . t i S B C - B o n d 7 / 1 5 / ~ 2 A l n { e r e s t J T1 4 8 . H S B C - B o n d 7 1 1 5 /1 2 N o n e J Tt 4 9 . I n d i m a H ~ a l ~ - B o n d 1 l / l 5/ I 0 B Interest K T1 50 . A n c h o r L i f e P o l i c y N o n e K T15 I . Trus t Mark Li f~ Pol icy N o n e L T

1 5 2 . l n d i m a p o l i s L i f e P o l i w N o n e K T5 3. M et Li f e P o l i cy N o n e K T

1 . In c o m e G ~in C o d e s : A =$1 ,0 O O o t le s s B = $ 1 ,0 0 1 - $ 2 ,5 ~0 C --$2 ,50 1 - $5,O O 0 D =$5,0 0 | - $1 5,O O O E = $1 5, 0 0 ! - $50 , 0 0 0(S e e Co l u m ns B 1 a n d D 4 ) F = $50 ,O O 1 - $1 0 0 ,0 0 0 G =$1 0 0 ,~O I - $1 ,0 0 ~.0 0 0 H I = $1 , 0 0 0 , 0 O I - $5, 0 ~ ) , 0 0 0 H 2 = M o r e t h a n

2 . V a l ~ C o d e s J ~ $ 1 5 , 0 0 0 o r l e s s K =$1 5,0 0 1 - $50 ,0 0 0 L =$50 ,0 O I - $1 0 0 ,0 ~O M = $ t O 0 . O ( J l - $ 2 5 0 , 1 30 0( S e e C o l u m n s C 1 a n d D $ ) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 , 0 O O O =$50 0,0 OI - $1 ,0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $5,0 00 ,0 00 P2 =$$,00~J ,0~1 - $25,0OO,0OO

P 3 = $ 2 5 , 0 0 0 . O O 1 - $ 5 0 , 0 ~ 0 , 0 0 0 P 4 = M o r e t h a n $ 5 0 , 0 0 0 , 0 0 03 . V a l u e M e l h o d C o d e s Q = A ppr a i s a l R = C o s l ( R e a l E s l a t ~ O ~ l y ) S = A s s e s s m e n t T = C a s h( s e t C o l tm m C 2 ) 1 3 = B ook V ~ l u e V =O~he r W = E s t i m a t e d


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" FINANCIAL DISCLO SURE REP O R T [ N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r t [Page 13 of 21 L u d i n g to n , T h o m a s L . 04/22/2010V I I . I N V E S T M E N T S a n d T R U S T S - i .e o m e , ~ . t u e o transact ions (Includes ,hose of spouse and dependen t chi ldren; see pp. 34 -60 of f i l ing in, s truetgons.J~-]NONE (No reportable income, assets, or transactions.)

................................ ~ ............... [ . . . . . . . . . . . .. . - i l l . . . . . . ~ c . ...................~ ....................................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 r i v . g i G r o s s v a l u e a t e n d i 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( inchldiug wast assets) ] r e p o r t i n g p e r i o d [ o f r e p o r t i n g p e r i o di (~) l t2) i O) (2 ) : (~) I (~) ; (3/ [ (4) t ( 5 )P h c e " ( X ) " a f t e r e a c h a s s et i A m o u n t [ T y p e ( e .g . , , Value V , d u e T y p e ( e . j . , I ~e i V a l u e I G a i n I d e n t i t y o fe x e m p t f ro m p r o r d i s c lo s u r e i C o d e I / d i v r e n t , i C o d e 2 M e th o d b u y s e I ! m m t d d d ) 3 I C o d e 2 i C o d e 1 buyer/ sai leri (A - r I ) ! i o r i n t . ) i ( ! - P ) C o d e 3 r e a e m p t i o n ) ! I ( J - P ) [A-H)I ( i fpf ivate

1 5 4 . O a k m a r k E q u i t y & I n c o m e I F u n d N o n e T B u y 0 3 / 0 5 / 0 9 K155. N o n e T S o l d 0 7 / 0 8 / 0 9 J B(par t )1 5 6 . N o n e S o l d 1 1 i l 0 / 0 9 J B1 57 . C a p m a r k B , m k C D 71 2 3 / 1 2 N o n e J T B u y 0 7 / 1 5 / 0 9 J1 5 8 . D i s c o v e r B a n k C D 9 / 2 4 / 1 3 A In te res l K T B u y 1 0 3 / 0 6 / 0 9 K1 5 9 . G E C a p i t a l F in C D 9 / 1 8 / 1 2 N o n e J T B u y 12/09 /09 J1 6 0 . G E M o n e y B a n k C D 1 1 / 2 0 / 1 2 N o n e J T B u y 1 1 / 1 6 / 0 9 J1 6 1 . G o l d t m m S a c h s B a n k C D 1 1 / 1 9 / 1 3 N o n e L T B u y 0 3 / 0 6 / 0 9 Lt 6 2 . G o l d m a n S a c h s B a n k C D 1 2 / 1 7/ t3 N o n e K T B u y 0 7 / 0 9 / 0 9 K1 6 3 . W a e h o v i a B a n k C D 9 / 3 0 /1 3 N o n e J T B u y 0 7 / 1 3 / 0 9 J1 6 4 . W e s te r o b a n k C D 1 1 / 2 0 / 1 4 A Interest L T B uy I I / t3/09 L1 6 5 . We s t e r n ba n k C D 1 1 / 2 0 / 1 4 None K T B u y 11/12/09 K1 6 6 . Wr i g h t E x p r e s s F i n C D 1 2 / 1 5 / 0 9 N o n e T B u y 0 7 t 0 9 / 0 9 K1 6 7 . S o l d 12/15/09 K1 6 8 . F i r s tba n k P u e r t o R i c o C D 1 0 / 2 2 / 0 9 N o n e T B u y 0 7 / 1 4 / 0 9 J1 6 9 . M a t u r e d 10/22/09 J1 70 . B o a r d w a l k P i p e l i n e P a r t n e r s N o n e T B u y 0 3 / 0 5 / 0 9 K

( .S~C olun m~ BI a nd D 4) F =$50 ,0 01 - $1 00 ,0 00 G - $ 1 0 0 , 0 0 1 - $ 1 , 0 t / O , 0 0 0 H 1 =$ 1, 00 0 ,0 Il l - $ 5, 00 0 ,0 ~0 H 2 = M or ~ t ha n $5 ,0 0 0 ,0 0 02. Value Ced~ J = $ 1 5 , 1 1 0 0 o r l e s s K ~$|5.001 - $50.000 L =$50,001 - $100,000 M =$100,001 - $250,000( S e e C o l tm m s C I a n d D 3 ) N =$250.001 - $500,000 O = $ $0 0 . l Y J I - $ 1. 0 0 0 ,0 ~ 0 P 1 = $ | ,0 0 ~ 3 , 0 0 1 - $ 5. 0 0 0 ,0 0 0 P2 =$5,000,001 - $25,0~0,000P 3 ~ $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 , 0 0 0 , N 1 0 P 4 = M o r e t h a n $ 5 0 , l ? 0 0 . 0 0 0

3 . Va lu e M etho d C o d es Q ~Ap p ra isa l R - ~os t ( R ea l Es t a t e O nly ) S = A s s e ~ m e n t T = C as h Maxk et~ S c e C o l u n t a C 2 ) U = B ook V alue V =Other W = Es t imated


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FINANCIAL DISCLOSURE REPORT ] ~ a m e O ~ r e r ~ o n R e p o r t in g D a t ~ o f R ~ p o .P a g e 1 4 o f 2 1 [ L u d i n g t o n , T h o m a s L . ~ / 2 2 / 2 0 t 0

NONE ~o reportable income, assets, or ~a~actions.)D e s c f p t io n o f A s ~ u ~ I n c o m e d ~ n g Gr o ~ v a lu e a t e n d Tra n sa ct io n s ~fin g re p o a in g p e r io d( i n c l u d i n g t r u s t a ~ ) :: ~aing ~fi~ o f r ~ o a i n g p e f i ~

H a e e " ( X ) " a f i e r e a c h ~ t L ~ m o u n t T y ~ ( e . g . , Value ~ Value ~ T~(e.g., / Date [Value [ Gain ~ l d e n t i t y o fe x e m p t f r o m p r i o r d i s cl o s u r e C ~ e I d i v . , r e n t , C ~ e 2 M e t h ~ ~ b u y , ~ 1 1 , m~dO~ C~e 2 ~ C~e I ] buyer /se l l~( A - H ) orint . ) ( J - P ) [ Code3 [ ~dempt ion) ~ ~ ( J-P ) [ ( A-H ) ~ ( i f p r i v a t e1 ( Q - W ) ] ~ [ : t~a~~ion)1 7 1 , T B u y 0 7 / 0 8 / 0 9 J( a d d l )1 7 2 . S o l d 1 i /10 /09 K D

1 7 3 . R o y c e P e t m M u t u a l F u n d A D i v i d e n d J T S o l d 1 1 / 1 0 / 0 9 J A(par t )1 7 4 . S c h w a b M o n e y M a r k e t - FB O # 1 N o n e J T1 7 5 . FB R S m a l l C a p F n c l F u n d - F B O # 1 A D i v i d e n d J T S o l d 1 1 / 1 2 / 0 9 J( p a r t )1 7 6 . F i r s t E a g l e O v e r s e a s A F u n d - F B O # l A D i v i d e n d J T B u y { 03/02/09 J1 7 7 . T S o l d 0 7 / 0 7 / 0 9 J A" ( p a r t )1 7 g M a g e l la n M i d s t re a m - F B O # 1 A D i v i d e n d J T S o l d 03102/09 J( p m )1 7 9 . S e l ig m a n C o m m F u n d - F B O # l N o n e J T S o l d : { 1 / 1 2 / 0 9 J A( p a r t )1 8 0 . S L G r e e n R e a l ~ - FB O # 1 N o n e S o l d 0 3 1 0 2 / 0 9 J1 8 1 . M F 8 l n t l N e w D i s c o v e r 2 , . A F u n d - F B O # l A D i v i d e n d J T S o l d 0 3 / 0 3 / 0 9 J( p a n )

1 8 2 . S t r a t l o n S m C a p V a l u e F u n d - F B O # I None J T B u y 0 3 / 0 2 / 0 9 J1 8 3 . T B u y 0 7 / 0 7 / 0 9 J( a d d l )1 8 4 . T S o l d 1 / 1 2 / 0 9 J A( p a r t )1 8 5 . T h o m b u r g l n t l Va l u e A F u n d - F B O # 1 A D i v i d e n d J T S o l d 03109/09 J( p a r t )1 8 6 . W i l l i a m B l a i r I n t l G r F u n d - F B O # 1 N o n e S o l d 0 3 / 0 2 / 0 9 J1 8 7 . M o r g a n S t a n l e y l n s t l n t I R e a l E s t - F B O # 1 A D i v i d e n d J T S o l d 1 1 / 1 2 / 0 9 J( p a r t )

l,

C o l u ~s C m d P 2


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N O N E (No re portable inco me , assets , or t ransact ions .)A. - ........D e ~ d p t io n o f A s ~t s I n c o m e ~ n g Gro~ value at end T ~ n s a e t i o n s d ~ n g r e i n i n g ~ r i ~( i n c lu d in g w ~ t ~ s e ~ ) [ rep0aing peri~ o f " r ~ o n i n g

P l a c e " ( X ) " a f i ~ ~ c h ~ t A m o u n t T y ~exempt f rom ~ior disclo~m j C o d e I ] d i v . , r e n L C ~ e 2 Me~ ~ u y , ~ 1 1 , m~d~ C ~ e 2 C ~ e 1 buyer/ sel ler~ (A-H) I orint . ) ( 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

1 8 8 . V a n g u a r d E n ~ F u n d - F B O # 1 A D i v i d e n d J T S o l d 0 7 / 0 7 / 0 9 J A~m )1 8 9 . T S o l d 1 1 / 1 ~ 0 9 J A( p a ~ )1 9 0 , A T C O L t d C I m ~ s I - F B O # 1 A D i v i d e n d J T S o l d 0 7 / 0 7 / 0 9 J

( p a n )1 9 I . P e t r o -C a n a d a F B O # 1 N o n e S o t d 0 7 / 0 7 / 0 9 J A1 9 2 . P o w e r F in a n c i a l C o W - F B O # 1 A D i v i d e n d J T S o l d 11/I ~ J A~m )1 93 . A m e r i c a n G e n F i n - B o n d 5 / 1 51 1 0 - F B O # I A In te res t K T1 9 4 . C m e ~ i l [~ F i n - B o n d ~ ! 5 / I 1 -F B ~ I A In te res t K T1 9 5 . H o n e y w e l l l n t l l n c - B o n d / F B O # 1 8 / I / 0 9 N o n e M a tu r e d 0 8 /0 1 /0 9 K B196. Bac Cap "1 I1 - FBO #1 A D i v i d e n d S o l d 1 0 / 2 8 / 0 9 J1 9 7 . H a r r i s C a p - F B O # 1 A D i v i d e n d J T1 9 8 C & $ R e a l t y [ n c A Fu n d - F B O # l A D i v i d e n d J T S o l d 1 1 / 1 2 / 0 9 J( p a r t )1 9 9 . H o m e P r o p e r t i e s o f N Y - F B O #I N o n e S o l d 0 7 / 0 7 / 0 9 J200. A v a lo n B a y C o m m u n i t i e s I n c -F B O # l A D i v i d e n d J T B u y 0 7 / 0 7 / 0 9 J2 0 1 . C e n o v u s E n e r g y - F B O # t A D i v i d e n d J T S p i n o f f

( f rom l ine 202~12 0 2 . E n C a n a C o r p - FB O # I A D i v i d e n d T B u y 0 7 / 0 7 / 0 9 J2 0 3 . N o n e J T S o l d I112/09 J A( p a r t )2 0 4 . F i r s t ba n k P u e r t o R i c o C D - F B O # I 7 / 1 1 t 1 3 A I n t e r e s t J T B u y 0 3 / 0 2 / 0 9 J

I . In c o m e G a i n C o d e s : A = $ I . 0 0 0 o r I c s~ B ~$i,001 . $2.~ C ~ $ 2 , 5 0 1 - $ 5 , 0 0 0 D =$5,0 0 1 - $1 5,0 0 0 E =$1 5.0 0 1 - $50 ,0 0 0( S e e C o l u m ~ B I a n d D 4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 G = $1 0 0 , 0 0 l - $1 , 0 0 0 , 0 0 0 H I = ~; I, 00 0 ,0 0 1 - $5 ,0 0 0, 00 0 H 2 =M o re th n n $ 5, 0~ 0, 00 02 V a l u e C o d e s J ~ $ I 5 , 0 0 0 o~ l e s s K =$1 5.0 0 1 - $50 ,0 0 0 L =$50 ,0 0 1 - $1 0 0 .0 0 0 M ~ $ 1 0 0 , 0 0 1 - $ 2 5 0 ,0 0 ~

( S C olu m ns C I a n d D 3) N ~$2 50 ,0 0 1 - $50 ~,0 0 0 O ~$50 0 ,0 0 1 - $1 .0 ~0 ,0 0 0 P ! = $l , 0 0 0 . 0 0 l - $5, 0 , 9 0 , 0 0 ~ P 2 ~ $ 5 , 0 0 0 , 0 0 1 - $ 2 5 , 0 0 0 . 0 0 0P 3 ~ $ 2 5, 0 0 0 , 0 O I - $ 5 0 , 0 0 0 , 0 ~ 0 p 4 = M o ~ t t u m $ 5 0 , 0 0 0 , 0 e 03 . V a l u e M e t h o d C o d e s Q ~ A p p r d s a l R -~ C os t ( R e a l E s t a t e O n i y ~ S = A s s e s s m e n t T . ~ . C a s h M a r k e t( S .e C o l u m n C 2 ) U = B o o k V a l u ~ V =(3thcr W = E s t i m a t e d


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FINANCIAL DISCLO SURE REP O R T [ 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 tPage 16 of 21 I Ludington, Thomas L. 04/22/201V I I . I N V E S T M E N T S a n d T R U S T S - ~ , c o ,~ , ,~ t ~ e , transactions t l n C l , d e s t h o ~ e o f ~ o u s e end dependznt c h i l ~ e n ; s e e p p . 3 6 0 o / f ! l i~ i ~ t r u c t ~ n x )

N O N E ~ o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g Gross value at end T ~ s a c t i o n s d u r i n g ~ i n g ~ f i o d( including t rust ~mts) ] ~ing p~ o f r e p o a in g ~ a o d [- r - . . . . . . . . . . . . . . . . . . . .I .....l a c e " ( x y a f t e r ~ c h a s s e t ; A m o u n t T ~ ( e . g . , V a l u e V a l u e ~ T } ~ ( e . g . , ~ D a t e ~ a l u e I G a l , Identity of C ~ e I d i v . , r ~ C o d e 2 Meth~ b u y ~ I I , j ~ d ~ C ~ e 2 ~ C M e I b u y e r l s e l l e rx e m p t f r o m p r i o r ~ l o s u ~ ( A - H } : or int.) (J-P) C ~ e 3 j ~ e m ~ t i o n ) ~ ( J - P ) ~ i ( A - H ) ( i f p 6 v a t e................................................... i ( Q - W ) ~ [ t .... t ion)7 0 5 . G E M o n e y B a ~ C D - FB O # I 1 2 / 1 3 / 1 0 A Int~t J T B u y 0 8 / 1 7 / 0 9 J2 0 6 . S t B a n k o f l n d i a , N Y , C D - F B O # 1 9 / 2 6 1 1 2 A In te res t J T B u y 0 8 / 0 4 / 0 9 J2 0 7 . W a c h o v i a B a n k C D - F B O # 1 8 / 1 5/ 1 3 A Interest J T B u y 0 8 / 0 4 / 0 9 J2 0 8 . W e s t e r n b u n k C D - F B O # 1 1 1 / 2 0 / 1 4 A I n t e r e s t J T B n y 1 1 / 1 3 / 0 9 J2 0 9 . F t . W a l t o n D e f B o n d - F B O # 1 6 / 1 5/ 1 2 N o n e J T B u y 0 t / 0 6 / 0 9 J2 1 0 . S c h w a b M o n e y M a r k e t F u n d - F B O # 2 N o n e J T2 1 | . F B R S m a l l C a p F n c l F u n d - F B O # 2 A D i v i d e n d .1 T2 1 2 . M e r i d i a n V a l u e F u n d - F B O # 2 A D i v i d e n d .I T2 1 3 . S e li g m a n C o m m F u n d - F B O # 2 N o n e J T2 1 4 . V a n g u a r d E n e r g y F u n d - F B O # 2 A D i v i d e n d .I T2 1 5 . M F S l n t l N e w D i s c o v e r y , A - F B O # 2 A D i v i d e n d J T2 1 6 . T h o r a b u r g I n t l V a l u e A - F B O # 2 A D i v i d e n d .I T2 1 7 . W i l l ia m B l a i r I n t l G r F u n d - F B O # 2 N o n e S o l d 0 3 / 0 2 / 0 9 J2 t 8 . A T C O L t d C l a s s 1 - F B O # 2 A D i v i d e n d J T2 1 9 . P o w e r F i n a n c i a l C o r p - F B O # 2 A D i v i d e n d J T

2 2 0 . H o n e y w e l l I n t l I n c - B o n d / F B O # 2 8 / I /0 9 N o o e M a t u r e d 0 8 / 0 1 / 0 9 J B2 2 1 . S t m t t o n S m a l l C a p V a l u e F u n d - F B O # 2 N o n e J T B u y 0 3 / 0 2 / 0 9 J

P3 =$25,~,~1 - $50,~,~ P 4 = M o r e t h ~(~ Colu~ ~) U =~ V~ue V ~r W~E~ima~


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V I I . I N V E S T M E N T S a n d T R U S T S - i . .. . ,, v~l, , , t . . .. . . ,ion s a.au ae~ ,ho$~ o/~ vo . . . . . a a~ ae., c~ ua ~.; ~ ~. ~-~~ N O N E ~ o reportable income, a~sets, or transactions.).......... ~ " " . c. D .~ s c f i p t io n o f A s ~ Income dur ing ~ Gross value at end Trausac t ions dur ing ~e~r t iug( i n c l u d i n g t ~ t ~ e ~ ) repol~ing ~riod ~ o f r e p o S i n g

, (1) (2 ) (1) (2) (t) (2) ~ (3) (a) (~ )Pia~ "~)" a~ ~ch as~t , Amour T~ (e.g., V a lu e V a lu e T > ~ e ( e . g . , Date [ Value G a i n id~li~ ofesemp t l~om prior di~losm ~Me I d i v . , r a n t , C~ 2 Melh~ b u y , s e l l, m ~d~ty~ ~ C~e 2 Code I b u y e r l s e ] ] e r(A-H) o r i n t . ) ( J - P ) C ~ e 3 r e d e m p t i o n ) [ ( J - P ) (A -H ) (if pnvami (Q-W) i ~=saction)222 . Me~[ I L~ch Bon d - FBO #2 3/291] I A Interest J T2 2 3 . M i a m i D a d e C n t y - F B O # 2 4 / 1 1 1 0 A In te res t2 2 4 . B a c C a p T r I I - F B O # 2 A D i v i d e n d S o l d 10/28/09 J225. S a bi n e R o y a l t y T r - FB O # 2 A D i v i d e n d J T226. M a g e l l a n M i d s t r e a m - F B O # 2 A D i v i d e n d J T S o l d 0 3 / 0 2 / 0 9( p a r t )227 . C & S R e a l t y F u n d - FB O # 2 A D i v i d e n d J T B u y 0 7 / 0 7 / 0 9( a d d l )228. We i n g a r t e n R e a l t y - F B O # 2 N o n e S o ld 0 7 /0 7 /0 9229 . S a bi n e R o y a l t y T r u s t - F B O # 1 A D i v i d e n d J T2 3 0 . A l g e r H l t h S c i Fu n d - F B O # 1 N o n e J T2 3 1 . J B H u n t T r a n s p o r t S vs c - F B O # 1 N o n e S o l d 07/07/09 J2 3 2 . M F S U t i l i t i e s F u n d - F B O # 1 A D i v i d e n d J T S o l d I 1 /12/09 J A( p a r t )2 3 3 . T R o w e P r i c e F in c l S r v c Fd - F B O # 1 A D i v i d e n d J T2 3 4 . S u n o c o L o g i s t i c s P a r t n e r s - F B O # 1 A D i v i d e n d J T S o l d 0 3 / 0 2 / 0 9( p a n )2 3 5 . T B u y 0 7 / 0 7 / 0 9( a d d l )2 3 6 . R o y c e P e n n M u t u a l F u n d - FB O # I N o n e S o l d 0 3 / 0 2 / 0 9

2 3 7 . A l g e r H t t h S c i F u n d - F B O # 2 None J T2 3 8 . F i r s t E a g l e O v e r s e a s A F u n d - F B O # 2 A D i v i d e n d J T B u y 03102/09 J

( S e e C o l u n m s B I a n d I ) 4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 . 0 0 0 G = $ 1 0 0 , 0 0 1 - $ 1 , e ~ . 0 0 ~ H I = $ 1 ,0 0 0 ,0 0 1 - $ 5 ,0 0 0 . 0 0 0 H 2 = M o t e ~ a n( S * C o l u r a n ~ C I a n d D 3 ) N = $ 2 5 0 ,0 0 ] - $ 5 0 0 ,0 0 0 O ~d ;50 0,0 01 - $ 1 ,0 00 ,0 00 P I =$ 1 ,0 ~0 ,0 01 - $5,0 00 ,0 00 P 2 = $ 5, 0 0 0 , 0 0 1 - $ 2 5 .0 0 0 , 0 9 0


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FINANCIAL DISCLOSURE REPORT [ N a m e o f P e r s o n R e p o r t in g I D a t e o f R e p o r lP a g e 1 8 o f 2 1I[ L u d i n g t o n , T h o m a s L . [

0 4 / 2 2 / 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 - i~ c o m ~ , v u l u e , , ..... tions ( I n c l u d e s ~ h o s e o f s p . . .. . 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 of 3~dlng~0~ ~0 reportable income, assets, or tra~actions.)

~ s c f i p ~ io n o f A ~ s .~ I n c o m e d ~ n g G r o s s v a l u e a t e n d [ T r a n s a c l i o ~ d u r i n g ~ i n g( i n c l u d i n g t ~ t a ~ s ) ~ r e p o s i n g p e r i o d of repos ing per iod

e n ~ p t ~ m p r i o r d i ~ l o . .. . ~C~ I ~ di ...... ~ ~ Cod2 ] M~lhod ] b u y , s e I I , [m~d~ C~e2 ~ C~ 1 ~ buyer/ s~l ler

2 3 9 . C a p i t a l O n e C D - F B O ~ 2 9 /4 / 1 2 A In te res t J T2 4 0 . M F S U t i l it i e s F u n d - F B O # 2 A D i v i d e n d J T2 4 1 . T R o w e P r i c e F i n c I Sr v c F d - F B O # 2 A D i v i d e n d J T2 4 2 . G E M o n e y B a n k C D - F B O # 2 1 0 / 9 / 1 3 A I n t e r e s l K T B u y 0 8 / 0 5 / 0 9 K2 4 3 . R o y c e P e n n M u t u a l F u n d - F B O # 2 N o n e S o l d 0 3 / 0 2 / 0 9 J2 4 4 . A F L A C l n c A D i v i d e n d J T2 4 5 . C o l u m b i a V lu e & R s t F u n N o n e S o l d 0 7 / 0 8 / 0 9 K2 4 6 . S o l d 11/10/09 Ja n d st ar S y st em s In c N o n e2 4 7 . T R o w e P r i c e F i n c ! S r v c F u n d A D i v i d e n d J T S o l d I 1 /10/09 J( p a n )2 4 8 . A v a l o n B a y C o m m u n i t i e s I n c A D i v i d e n d K T B n y 0 3 / 0 5 / 0 9 J( a d d l )249 . T B u y 0 7 / 0 8 / 0 9 J( a d d q )250. T Buy 1 1 f l 0 / 0 9 J( a d d l )2 5 1 . E s s e x P r o p e r t y T r u s ! A D i v i d e n d T S o l d 0 3 / 0 5 / 0 9 J( p a n )252. S o ld 0 7 /0 8 /0 9 J2 5 3 . Ar c h e r D a n M i d l a n d B o n d s e m i 4 / 1 5/ 1 I N o n e K T

2 5 4 . B a n k e r s T r u s t B o n d s e m i 1 0 / 1 5 /I I N o n e K T2 5 5. O r e g o n S t a t e B o n d m a t y 6/1/12 None K T

I , In c o m e G a in C~xte s : A =$1 ,0 0 0 o r le x$ B = $ 1 ,0 0 1 - $ 2 ,5 0 ~ C -~ 2 , 5 0 1 - $ 5 . 1 ~ X I D =$5,~1 - $15,~ ~ ~$15.~t - $50,~


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F IN A N C I A L D I SC L O S U R E R E P O R T : N a m e o f P e r s o n R e p o r t in g DateofReportPage 19 of 21 L u d i n g t o n , T h o m a s L . 04/22/2010

VII. I N V E S T M E N T S a n d T R U S T S - ~ o , ~ e , ~ . t~ e , t . . . . . , io n s ( lnc ludel~ those o f S p O u S e a n d dependent ch~ren; see p p .N O N E (No reportable income, assets, or tramactions.)

Description of As~ts [ In.me dung Gross value at cad [ T r ~ c t i o ~ d u r i n g r e ~ a i n g(including t~t asse~) reposing pefi~ of ~po~ing ~fi~

~ { ~ ) ( ~ ) (~) (~) , (~) ~ (2) (3) ; (~) (5 )[ T~e (e.g., i Dale V~ue . Gain ld~ti~ ofPlace "(XY aRer each ~s~t Amount Ty~ (e.g., Value Value [ [ mnffd~ C~e 2 I C~e I buys/sellerxempt f~m p~ior disclosure Code I div., rear, Code 2 Med~od ] buy, ~11,] (A~H) orint.) O - P ) Coae 3 [ ~emption) : (J-P) [ (A-H) (if~ ........... ~ ....... ( Q - W ) I ~ction)

2 5 6 . P e p s i c o B o n d m a t y 4 / 1 /t 2 N o n e J T2 5 7 . W a c h o v ia C o r p B o n d s e m i 1 0 / 1 5 /1 I B I n t e r e s t K T


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N a m e o f P e r s o n R l~ r t i n g D a t e o f R e p o r tF I N A N C I A L D I S C L O S U R E R E P O R T[ Ludington, Thomas L. 04/2272010agc 20

VIII. ADDITIONAL INFORMATION OR EXPLANA TIONS. a,,,~i~o~1 . D e l e t e d a l l ~ s e ts f r o m 2 0 0 8 r e p o r t t h a t ba d b e e n s o l d o r m a t u r e d .2 . L i n e 1 4 6 C h a ~ g e d m a t u r i t y d a t e f ro m 2/15/1 ] to c o r r e c t d a t e o f 1 2 / 1 5 /1 1 o n H o u s e h o l d F i n a n c e B o n d .3 . L i n e ~ 9 3 s h o u l d b e l i s te d a s F B O ~ I f o r A m e r i c a n G e n F i n b o n d .4 . L i n e 1 94 s h o u l d be l i s te d a s F B O # 1 f o r C a t e r p i l l a r F in B o n d ,5 . L in e 1 99 s h o u l d be l i s t e d a s F B O # 1 f o r H o m e P r o p o f N Y .6 . D e l e t e d L i n e 2 1 0 f r o m 2 0 0 8 r e p o r t o f R o y c e P e n n M u t u a l F u n d d u e t o r e p o r t e d a g a i n . o n L i n e 2 3 6 i n t h e 2 0 0 9 r e p o t S . T h is w a s o r g i n i a ll y r e p o r t e d i n e r r o rwi t h o u t t h e F B O # l .7 . D e l e t e d L i n e 2 4 5 f ro m 2 0 0 8 r e p o r t o f C & S R e a l t y R u n d F B O g 2 d u e t o a l r e a d y r e p o r t e d o n L i n e 2 2 9 o n t h e 2 0 0 8 r e p o r t o r L i n e 2 2 7 o n t h e 2 0 0 9 r e p o r t .8 . D e l e t e d L i n e 2 55 f r o m 2 0 0 8 r e p o r t o f R o y c e P e n n M u t n a l F u n d d u e t o a l r e a d y r e c o r d e d o n L i n e 1 73 o n t h e 2 0 0 9 r e p o r t .


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F IN A N C I A L D IS C L O S U R E R E P O R T [ ~eofPe~on Repo~g l )ate of ReportPage 21 of 21 l Ludington, Thomas L. 04/2:2/2010

I X . C E R T IF I C A T I O N .I c e r ti f y t h a 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 ld r e n , i f a n y ) i sa c c u r a t e , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o ~ i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h e r c e r t i ~ t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h th 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 . , S 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 .

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N O T E : A N Y IN D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A L L S T O F I L E T I II 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 NC I I O N S ( 5 U . S . C . a p p . 1 0 4 )

FILING INSTRUCTIONSM a i l s ig n e d o r i g in a l a n d 3 a d d i ti o n a l c o p i e s t o :

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t r a t iv e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i rc le , N .E .W a s h in g t o n , D . C . 2 0 54 4

thomas l ludington financial disclosure report for 2009

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