Professional Documents
Culture Documents
1/2010
1. Person Reporting (tast name, first, middle initial) MCAULIFFE, STEVEN J. 4~ Title (Article IIl judges i~ldicate active or senior status; magistrate judges indicate lull- or part-time)
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8. On the basis of the information contained in this Report and any modifications pertaining lhereto, it is, in my opinion, in compliance with applicable laws and rtgulafions. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this.form must be.followed. Complete all parts,
checkirtg the NONE box for each part where you have no reportable information. Si$,t~ on last page.
I. POSITIONS. nepo,,i.g i.ai~i,~.,.~ o.~y ; ~e. pp. 9-13 ~l~ f!ling instr,,etions.)
~ NONE (No reportable positions.) POSITION
1. Fellow
NAME OF ORGANIZAT[ON/ENTITY
New Hampshire Bar Fotmdation
2. 3. 4. 5.
Challenger Center for Space Science Education Trust #1 Pleasant Lake Air, Inc.. LI.C Pinehers Investment Group (Neighborhood Investment Club}
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PARTIES AND TERMS
7.~
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2,
3.
"~ ~
i;
J~ATE
1.
2. 3. 4.
INCOME
(yours, not spouses)
B. Spouses rson-Investment Income - g.vou were married d#~ring any portion of the reporting ycar c,,,nplete rids .,ection.
~Dollar amount nol required except for honoraria.)
~
1. 2. 3 4.
DATE
DATES
LOCATION
PURPOSE
3. 4. 5.
DESCRIPTION
VAI..U E
3.
4.
5.
DESCRIPTION
VA LUE CODE
2. 3.
4.
5.
Page 4 of 15
.......................................... ~ ................
D~cription of Assets (including trust as~ts) Place "(X)" after each asset exempt from prior discI~ure
~.
Income during ~ reposing period ]Amounl T~e (e.g.) Code I , div., rent, . (A-H) ], print.)
~ Gross value at end ~: of reposing period . Value Code 2 (J-P) Va~ue Method Co6e3 Type (e g. buy, sell, redemption)
c.
~
Transactions during rcpomn ~ period
Identity
NOW Aect Me~imack CD. Savings Ba~ IRA American Funds: Inv Co of America IRA American Funds: Wash Mut. Inv Fund Exxon Mobil Corp. UBS Retirement Money Fund IRA Franklin Templelon For. Fund Pinchers Investment Group l)mshp Share (See Part VIII) -MSFT -Dentsply Int. Inc. -Air Products & Chem. -Oceaneering lntnl Inc. -Whiting Petroleum Corp. -Diageo (DEO) -Tata Mtrs. (TTM) -BtlP Billilon Ltd ADR -Gilead Sciences Inc. -Quest Diagnostics
A B A A A 13 A
J L J .l J L J
Sold
09/15i09
,I
13
Mkt
Sold
01/19/09!
Mkt
-Sunlech Power Hldgs. -Unilever NV -Zebra Tectmologics -CDN Nail Rv,y Co. -CIT Group New -Comp. De Saneo Mento Basico Estado DeSao Pauloads -El Paso Corp. -Harleysville Natl Co. PA -Vestas Wind Syst. -3M Co. -Apple (AAPL)
-Ford Motor Co.
So!d Sold
03/28/09 .I 04/21;09 J
A A
Mkt Mkt
Sold Sold
04/21/09 0,l/21/09 .I A
Sold Sold
J J
Mkt
Euy
13lty
11/13/09
05/I 5/09
J
J
Mkt
Mkt
J J J
Mkt Ivlkt
Dividend
Dividend
J
K
T
T Buy 07/31109 J Mkt
Date of Report
o5/~2,2010
[ MCAUL1FFE, STEVEN J,
/.~, ,r..s.~,~o.~ ~.a,,,~e. .,ose q.v-,,~" .... ~ ,~,,~,,, ,.~,u,~,,: .,.,.~ ~,p..~-~o ,~/7"~,,.~ i,,.,",,,,,~,,,,.,.~
" c,
(~) Type e.g. buy, sell, . redemption)
O.
Transactions during rcpoaing period ~a) (2) (3) (5) Date Vclue Gain Idenmy of ~m~dd;yy Code" Code I ~ ~ buyer!seller (J-P) [ (A-H) (ifprivam ~ [ , transaction) i . ............... ~ .......
Gross value at end of reporting period (t) (2) Value Value Code 2 Method (J-P) Code 3 (Q-~ ................................ ~ ...........
35. 36. 37. 38. 39. 40. 4I. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
IRA I Shares Russell Fund IRA Midcap SPDR TR Fed. Prime MM Fund Merrimack Cry. Sav. Bk. NOW Acct (2) Cemex S A Diageo (DEO) Thermo Fisher Sci. (TMO) Enterprise Prods. Ptnrs. MFS Intnl Divers. FD Chesapeake Energy Corp. Kinder Morgan Energy LP Penn VA Resource Pt. LP Cisco Systems, Inc. Myriad Pharmaceuticals, Inc. (Spin Off of Myriad Genetics) Williams Cos., Inc, lshares TR Russell 2000 Index Fund lshares TR Russell Midcap Val. Index Fund
A A A B A
J K J M
J K
A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
J J
J d
J J
T T
FINANCIAL DISCLOSURE REPORT Page 7 of 15 VII. INVESTMENTS and TRUSTS -i,co ....... &e, transactions (htcl,ulg~ thoae of spouse and depemle,,t chihhe,,: seel,p. 34-60
NONE (N~ reportable income, assets, or transactions.)
A. Descriptioo dragnets (including ~ust assets) Place "(X)" after each asset exempt frompdor disclosure Income during reporting period ;Amomnt [ Type (e.g,. [ Code I [ div,. rent, (A-H) [ or int) C. Gross ~a[ue at end of reporting period Value Code 2 {..l-P) Value Method Code 3 (Q-W) T T Sold .K .I T T Buy Sold Sold J K K .1 K J .1 .I J T T T T T T T T T Buy 01/14/09 K Mkt Bny Sold (part) 0!/14/09 04/20109 K .I A Mkt ,Mkt 07/31/09 1/30/09 1/30;(19 J .1 A A Mkt v~kl 07/23/09 ] A M kt T?De (e.g., buy. sell, redemption) D, Trat~sactions during reporting 0eriod
: (3)
~a)
Idcnmv {d pri~atc transacfim~)
~-~2. 53. 54. 55, 56. 57. 58. 59. 60. 61, 62. 63. 64. 65. 66. 67. 68.
Norfolk Soulh. Co~. Nicholas-Applegate Intnl & Prom. Blackrock Real Asset Tr IRA lshares Russell Mid-cap IRA Saytcm Comp. Svcs. Mindray Medical Intnl Ltd. Mindray bledical Intnl Lut Royal Bank of Canada lsharesTmst Rttssell Midcap Growth Index Fund McDolmlds Corp. McDonalds Carp. Apple, lnc. .Iohnson & Johnson. Inc. Deore & Co. Praxair (M) Express Scripts, Inc. CR Bard, Inc.
A A A A A A A A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
I J
MCAt~LWVE, sr~vEN
Description of Asse~s (including ~st assets) Place "(X)" after each nsset exempt ~om p6or disclosure
[ i
[ Gross v~l~e at end ~ of reporting period ] Value Code 2 (J-Pj Vzlue Method Code 3 T~e(e.g., buy, sell, redemption)
69. 70, 71. 72. 73. 74. 75. 76. 77. 78. 79, 80. 81. 82, 83. 84. 85.
Colgate-Palmolive Co. General glectric IBM Corp. Powershares QQQ Trust U~it Northern Trust Prime Obligation Fund 9/1 (See Part VIII) Simon PPTY Group, Inc. Bank of NY Mellon Corp. Bartk of NY Mellon Corp. tntel Corp. AT&T; Inc. AT&T, Inc, Beclon Dickinson Domimon Resources, Inc. Dominion Resources, Inc. ~b.,1 Co, STH.N Cmnty B&T NC US Fla. St, Brd Ed. Pub. Ed. Cap. ..
A A A A A A A A A A A B A A B A A
Dividend Dividend Dividetld Divideud Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Interest
Buy Sold
J l
T T Buy Buy Sold 06:29/09 04/20/09 1t..30/(19 04/20/09 0t/14109 07/31/09 01/14~09 01/14:09 04/20/09 01/14/09 01/14/09 01/14/09 K K K L L L K K K L K : A Mkt Mkt ,Mkl Mkt Mkt B A Mkt Mkt :vlk~ Ml<t Mkt
I.
L L K
T T T
2. Vahm Codes
0s,"~.~,20 ~0
VII. INVESTMENTS and TRUSTS - J ............ ~.~, ~ ...... ,~,,.~. a,a,a~, ~h ...... .~ ....... a a,,~,,~ ..... .~,i~d~,.,: .,.,, p,. ~-~O,,yyz~i,,~ ~,,,,~.~,~,,,,.,.)
NONE ~Vo reportable income, assets, or trar~sactions.) D~cripfion of Assets (including ~st asse~g) Place "(X)" after each asset exempt from prior disc]osure Income durillg reporting period Gross value at et~d of reporting period [ Va ue ] Code2 ~ (J-P) Vat e [ [ Method Code 3 Type (e g, buy sell redemption) Transaction~ d:~6ng repon~g period
~ ~
86. 87. 88. 89, 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
Toyota Fin. Sve. Bk NV US Huntington NAR Bk. OH US IShares IBoxx Invt Gra, DE Corp. Bond Fund Tenn. St. Set. A Fairfax Cry. VA Pub. Ser. A Autotiv, Inc. Smucker JM Co. New First Colebrook Bank AFLAC, h~c. Danaher Corp. Goldman Sachs Group, Inc. Google, Tnc. J.P. Morgan Chase Co. Oracle Corp.
A B A A A
L L K K K K K J J .1 ,t J .I J J J J
3" T T T T T I T T T T T T T T T T
Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy 13uv Buy Buy
01!14/09
Mk
01/14.,09 01!16/09 01/14/09 11/30/09 I 1!30!09 0211&09 12/15/09 12115.09 12/I 5!09 12!15/09 ~VI ~:0 12/!5i09 12/15/09
K K K K K J J .t J J
Mk~ Mkt
Dividend No~e None None None None Nol~e None None None
J J
NIkt Mkt
100. Starbucks Corp. 10I. S.gsco Corp. 102. BHP Bill/ton Ltd.
Bty
12/15..,09 J
Page 10 of 15
(2)
Value Code 3 (Q-W) J J T T
(~)
Type (e.g., buy, sell, redem~uonJ
~2~
(.~
{4~
(5)
Identity uuyer~sclter ,ram;ac~ on
103, IShare MSCI EAFE Index Fund 104. IShare Trust MSCI Emerging Mkts 105. Bank of Am. Corp. [C] 106. Lowcs Cos., Inc. [C] 107. BP PLC ADR [C] 108. Northern Trust Prime Obligation Fund 9/I [C] (See Parl VIII) 109. Kinder Morgan Energy Pmrs..LP [C] 110. CVS Caremark Corp. [C] I 11. 1 t2. 113. 114. 115. Cemex S.A. [C] NFJ Dvd Int & PR FD [C] Enterprise Prod Pt [C] MFS lntnl Div FD [C] Chesapeake Energy [C]
A A A A A A A A A A A A A A A A A
Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
J J J J A A
,1 J
T T ~
11124.,"09
13
Mkt
J K K ,l
A 13 B A
116. Citizens Commo [C] Name Change: Frontier Comm. Corp. 117. Penn VA Res. Ptnrs. [C]
K J K
B A f3
1t8. Alliance Resource Ptnrs [C] 119. Btackrock Real Asset [C]
T~e (e.% ~ Value div.. renl. Code 2 or int.) (J-P) [ "" "
120. Blackrock Cap k lnc Str [Cj 121. Eaton Vance Tax Mng Buywritc Inc. [C] 122. Eaton Stance Tax Mng [C]
A A A
,I K K
A B 13
M It Mkt Mkt
123. Nicholas-Applegatc lnml. & Prem. Str. [C] 124. Johnson & Johnson [C]
125, Deere & Co. [C] 126. Aflac, lnc. [C] 127. General Electric [C] 128. Apple, Inc. [C] 129. IBM Corp. [] 130. Merrill Lynch Depository, Sh. Rap. [C] 131. Stm~.dard & Poors 50) Depositor Receipt 132. Powcrsharcs QQQ Trust Un[I [C] 133. McDonalds Corp. [C] 134. Abbott Labs [C] 135. Chevron Corp. [C] 136, Colgate-Palmolive Co. [C]
A A
A A A A A A A A A
Dividend Dividend
Dividend Dividend Dividend Dividend Dividend Dividend Dividced Dividend Di,,idend None None None
J J
K K
T T
T T
Sold (pan)
11/24/09
Mkt
11124109
Mkt
J .; J
A A A
J J J
Date af Report
MCAULIFFE, STEVEN J.
05/I2/20t0 ,
B. C. D. Income 6uring Gross value a! end Transactions during repordn., permd reporlmg period of reporting period (]) (2) (t) ] (2) (t) ~ (2) (3) t4) Value Value Type (e.g,. Date Value Gain [Amount , Type (e.g., " sell, ~ Code 1 div., rent, Code 2 Method buy. mm~dd..".,,~ (_,ode 2 Code l I (A-H) or in:.) (J-P) Code 3 redemption) : .(J-P) i (A-Ill (QW) ............. [ [ ............................ "..- _~ __ i ....
l
I37. Danahcr Corp. [C] 13& Dupont E.I. Dem. Co. [C] 139, Express Scripts Inc. [C] 140. Goldman Sachs GP inc. [C] 141. J.P. Morgan Chase Co. [C] 142. Nike.. Inc. [C] 143. Oracle Corp. [C] 144. Procter & Gamble Co. [C] 145. Spectra Energy Corp. [C] 146. Starbucks Corp. [C] 147. Sysco Corp. [C] 148. United Health Group Inc. IC] 149. United Technologies Corp. [C] 150. Wells Fargo & Co. [C] 151. Buffalo Small Cap Fd [C] 152. B}IP BiIliton Ltd. [C] 153. Tra.nsoceatl Ltd. [C]
None A Dividend None None None None None None None None None None None None A Interest None None
J J J J J J J J J J J J .I .I J J J
T T T T T T T T T T T T T T T T T
Buy Buy Buy Buy Buy Buy. Buy Buy Bt y Buy Buy Buy Buy Buy Buy Buy Buy
.1 J J J J .i J J J
2. Value Ct~de~
K ~$15,001 - ~5~,000
L =$50,001 - $100.000
M =$100.00i - $250.000
Date of Reporl
[ ,~ICALL.WVE, ST~V~N j.
0~2/zo~0
t,,,, tramactions (Incl,ul,~ tlwse t(W ......... I depe,,d ...... hlhlrcn; .,~e pp. 34-60 ,t:/~li,,.~, i,,st,, cti,,, ,
NONE ~ r~ortable income, assets, or transactions.) A. D~scription of Asse~ (i~cluding ~st asse~s) Place "(X)" afle~ each asset exempt from prior disclosure ~ i B. Income during reposing period Type (e.g., div., rent, or in~.) c. Gross value af end of reporting-period Value Code 2 (.I-P) Value Method " " o. Transactions during repo~in.g period
............................... 154. IShares T~sl MSCI EAFE Index Fund [C] 155. IShares T~st MSC1 Emerging Mkts [C] 156. ~iA Tax-Free Fund [K] ~157. UBS Pace MM lnv Fund Class P [K] 158. Am Funds Growth Fund of Am Class F [K] 159. John Hancock Classic Val Fund Class A [K] 160. Oppenheimer Main St. Small Cap Fd A [K] 161. P-.S Value Fund Class A [K] 162. Thornburg lnttd Valne Fund Class A [K] 163. DWS Core Fixed Income Ftmd Class A [KJ 164. FT Tcmplelon Global Bond ArK] 165. Managers Bond Fund [K] A A A A A A A A A A A A in[crest Interest Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J J J .~ J J J J .1 J j
T)~e (e.g., Date V~lue Gain buy, sell, ~mmlddivv- ~ Code 2 Code I redempt on) (A-H) Code(Q_W)3 ~ : ........ ~ ...................... ~.~ ....... : ~ (J-P) ~ . _ :,~ ........ [ ...... T T T T T T T T T T T T Buy Buy 07~2g/09 J 07~2g/09 J Mk{ Mkt
MCAULIFFE, STEVEN
J"
D~,te tO,12,
] certify that all information given above (includiug information pertaining to my spouse and minor or dependcot children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld becansc it provisions permitting non-disclosure. " I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are comp|iance with the provisions of 5 U.S.C. app. 501 et. seq.; 5 U.S.C. 7353, and Judicial Conference regolations.
NOTE: AN)5 INDIVIDUAL WHO KNOVINGLY AND WILFULLY AND CRI!vlINAL SANCTIONS (5 U.S.C. app. 104)
TO CIV1L,
FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Cour:s Sufle 2-.301 One Columbus Circle, N.E. Washington, D.C, 20544