margaret m morrow financial disclosure report for 2010

8/3/2019 Margaret M Morrow Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10Report Required by the Ethics

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

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i t i a l )MOR R OW , MAR GAR E T M.

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part-time)United States District Judge - Active

7. Chambers or Office A d d r e s sUnited States District Court255 E. Temple Street, Ste. 770Los Angeles, California 9001 2

2 . C o u r t o r O r g a n i z a t io nUnited States District Court, CA CD

5a. Report Type (check app ropriate type)] N omination, Date[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f th 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 is R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t is , in m y o p i n i o n , i n c o m p l i a n c e

w i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

R e v i e w i n g O f f i c e r Date

3. Date of Report05/13/2011

6. R eporting Period01/01/2010to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying thls form must be followetL Complete all parts,checking the NONE b ox for each part where you have n o reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)D NONE(No reportable positions.)POSITION

1. Director2. Trustee3. Trustee4. Trustee5. Pow er of Attorney

NAME OF ORGANIZATION/ENTITYN inth C ircuit H istorical SocietyBry n Maw r College - Board of TrusteesMayfield Senior School - B oard of TrusteesTrust #1 (Part VII, Page 32, Line 480)

~.~"~ ~f.] Trust (Page VII, Page 57 , Line 915)

I I. A G R E E M E N T S . m e p o r t i n g individual only; seepp. 14-I6 of f!ling instructions.)~] (No reportable agreements.)ONE

DATE PARTIES AND TERM S


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FINANCIAL DISCLOSURE REPORTPage 2 of 62

Nam e of Person ReportingMORROW, MARGARET M.

Date of Report05/13/2011

I l L N O N - I N V E S T M E N T I N C O M E . (neponl .g lnd ividual and spouse; see pp . 17-24 of filing instructions.)A. Filers Non-lnvestment IncomeD N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE INCOME(yours, not spouses)I. 2010 Defined Benefit Pension Pay ment from State of California $134,401.442.

3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n co m e - if you were married during a nyp o rt i o n o f t he rep o rt i ng yea r , co mp l et e t hi s sec t io n .(Dollar amount not required except for honoraria.)

N O N E ( N o reportable n on-investment income.)DATE SOURCE AND TYPE

1.

2.

3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependent children," see pp. 25-27 of f!ling instructions.)D NONE(No reportable reimbursements.)

2.

3.4.5.

SOURCE DATES LOC ATIONBryn M aur College June 24-26 Princeton, N ew JerseyBryn Maw r College October 20-23 Bryn Mawr, PA

PURPOSE

Board of Trustees RetreatBoard of Trustees Meeting

ITEMS PAID OR PROVIDED

Ground transportation, lodging, mealsMeals


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Name of Person ReportingMORROW, MARGARET M.


V . G I F T S . a n c t u d e s t ~ ,o s e t o s p o u s e o n d d e p e n d e n t children; see p p . 2 8 - 3 1 of filing instructions.)N O N E (N o reportable g ifts.)

SOURCE DESCRIPTION1.2.

3.4.

5.

V ALUE

V I . L I A B I L I T I E S . a n c l u a e s t ~ o s e o : s p o u s e una dependent children; see pp. 32-33 of filing instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.4.5.

VAL UE CODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 62 Ia m e o f P e r s o n R e p o r t in gM ORROW, M ARGARET M. Date of Report05/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)[~] N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income during Gross value at end(including trust assets) reporting period of reporting period

(1 ) (2 ) (1) (2)Place "(X)" after each asset Amount Type (e.g., Value Value

exempt from prior disclosure Code I div.. rent, C ode 2 M ethod( A-H) or int.) (J-P) Code 3( Q - W )

Transactions during reporting period(1) (2) (3) (4) (5 )

Type (e.g., D a t e Value Gain Identity ofbuy, sell, m m/ dd /y y C od e 2 Code 1 buyer/seller

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

1. Invesco Van Kampen Capital Growth Fund- NoneA - IRA2. V anguard Windsor II Fund - IRA A Dividend J

See note in Part VIII

3. B R O K E R A G E A C C O U N T # 1 - FINDIVIDUAL RETIREMENT ACCOUNT4. - Cash equivalent - M organ Stanley

Int./Div. PI

5. - Amgen Inc. - common stock6. - Sanofi-Aventis AD R - common stock

8.

9.1 0 .

1 2 .13 .

14 .

15 .

16 .

- The B ank of New York M ellonCorporation - com m on stock- BP p lc ADR - comm on stock

- Cisco Sy stems Inc. - common stock- General Electric C ompany - common stock- JP Morgan Chase & Company - commonstock- Microsoft C orporation - common stock- Qualcomm Inc. - common stock- Royal Dutch Shell PLC A DR - commonstock- AT& [ Inc. - common stock

Sold 05/21/10(part)Sold 11/10/10

Sold 07/12/10

JJ A

1 7 . - Schlumberger Ltd. - common stock

I. I ncome Gain Codes: A = $1.000 or less B -$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and D4) F =$ 50,001 - $100,000 G =$100,001 - $1,000,000 H 1 351,000,O01 - $5,000,000 H2 -M ore than $5,000,0002. Value Codes J =$15,000 or Icss K -$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000(See Columns C I and D3) N = $250,001 - $500,000 O -$500,001 - $1,000,000 P I = $ 1, 00 0 ,0 01 - $ 5, 00 0 ,0 00 P 2 =$ 5,0 0 0, 00 1 - $ 25 ,0 0 0, 00 0

P3 = $25,000,001 - $50.000,000 P4 = More than $50,000.0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only) S = Assessment T =C ash Market(Scc Column C2) U =Book Value V =Othcr W =Estimated

E =$15,001- $50,000


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Nam e of Person ReportingM O R RO W , M A R G A R ET M .

Date of Report05/13 /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 , , u l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D N O N E (No reportable income, assets, or transactions.)

A B. C.Description of Assets Income during Gross value at end

(including trust assets) reporting period of reporting period(1 ) (2 ) (1) (2) (1 )

Place "(X )" after each asset Amount Type (e.g., V alue Value Type (e.g.,exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell,

Transactions during reporting period

(2) (3) (4) (5 )D a t e Value Gain Identity ofmm/dd/yy Code 2 [ C ode 1 buyer/seller(J-P) (A-H) (if private

transaction)( A-H) o r int.) (J-P) Code 3 redemption)

(Q-W)

1 8 . - WaI-M art Stores Inc. - common stock Sold 07/23/101 9 . - Siemens AG ADR- common stock20 . - UBS AG- common stock21 . - Comcast C orp. - common stock22 . - Eaton Corp. - common stock23 . - Procter & G amble - common stock Bu y 11/19/10(addl)24. - Monsanto Co. - common stock25 . - Praxair, Inc.- common stock Sold 07/27/1026 . - Kraft Foods Inc. - common stock27 . - Progress Energy Inc. - common stock28 . - Vodaf0ne Group PLC AD R - commonstock29 . - CV S C aremark Corp. - common stock30 . - Kroger C o. - common stock3 I. - Adobe Systems Inc. - common stock Sold 03/17/1032 . - Bardck Gold C orp. - common stock33 . - El Paso Corp. - common stock

A

34 . - Google Inc. - common stock

I. Income Gain Codes: A =$1,00 0 or less B =$1,001 - $2,500 C =$2,501 - $5,000( See Column~ B I an d D4) F =$ 50.001 o $ 100,000 G =$ 100,001 - $1,000,000 H 1 =$ 1,000,001 - $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L -$50,001 - $ 100,000(See Columns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 P 1 = $1,000,001 - $5,000,000P3 = $25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codcs Q =Appraisal R = Cost (Real Estate Only) S = Assessment(See Column C2) U =Book Value V =Other W =Estimated

D =$5,001 - $15,000H2 =More than $5,000,000M $100,001 - $250,000P2 =$5,000,001 - $25,000,000T =C ash Market

E =$ 15,001 - $50,000


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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 n c o m e , value, transactions a n c t a d e s t h o s e o f s p o a s e a n d d e p e n d e n t children; s e e p p . 3 4 - 6 0 of.fillng instructions.)[] N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period(1 ) (2 ) (1) (2) (1 ) (2) (3) (4) ( 5 )Place "(X )" after each asset Amount T y p e ( e . g ., V alue V alue Type (e.g., Date Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, m m / d d / y y Code 2 Code I buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

35 . - Hew lett Packard Co. - common stock Sold 08/09 /10 J36 . - Stericycle Inc. - common stock37 . - Abbott Laboratories - common stock Sold 12/10/10 J38 . - Church & Dwight Co. Inc. - common stock Sold 08/24 /10 J39 . - Coca-Cola C o. - common stock40 . - C oca-Cola Enterprises - common stock Sold 02/17 /10 J41 . - Teva P harmaceutical Industries Ltd. AD R- common stock42 . - Tex as Instruments Inc. - common stock Buy 12/10/10 J(addl)43 . - Amazon.com Inc. - common stock44 . - AON Corp. - common stock45 . -Archer-Daniels-Midland Co. - commonstock46 . - BB& T Corp. - common stock Sold 10/21/10 J47 . - Caterpillar Inc. - common stock48 . - Ch arles Schw ab C orp. - common stock Sold 11/30/10 J49 . - Ch evron Corp. - common stock50 . - Delta Airlines, Inc. - common stock

A

51 . - First Solar Inc. - common stock

I. Income G ain Codes: A = $1,000 or less B = $ 1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000( See Columns B I arid D4) F = $50,001 - $100,000 G =$ 100,001 - $1,000,000 H 1 =$1,000,001 - $ 5,000,000 H2 =More than $5,000,0002. Value Codes J = $15,000 or less K = $15,001 - $50,000 L =$ 50,001 - $ 100,000 M =$100,001 - $250,000(See Columns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R =C ost (RcaI Estate Only) S =A ssessment T =C ash Market(See Column C2) U =Book Value V =Other W =Estimated

E =$15,001 - $50,000


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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 . e o m e , v a ~ u e , , ra n s a e t l o . s a n a u d e s , h o s e o / s p o u s e a . d dependent children; s e e p p . 3 4 - 6 0 of fillng instructions.)N O N E (No reportable income, a ssets, 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 Income during G r o s s v a l u e a t e n d Transactions during reporting period( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d of reporting period

(1 ) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e l 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 ldentity ofe x e m p t f ro m p r i o r d i s c lo s u r e Code l d i v . , r e n t , Code 2 M e t h o d buy, sell, m m / d d / y y C o d e 2 C o d e 1 buyer/seller( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemption) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ] transaction)52 . - Freeport McMoran Copper & G old- Sold 01/19/10 J Acommon stock (part)53 . - lntel Corp. - common stock54 . - Juniper Netw orks Inc. - common stock55 . - KohlsCorp. - common stock " Sold 09/14/10 J A56 . - McDermott International Inc. - common Sold , 09/13/10 J Astock57 . - Nv idia Corporation - common stock58 . - PN C F inancial Services Group - commonstock59 . - Roche H olding Ltd. - ADR - common Sold 09/28/10stock60 . - Rock,veil Collins Inc. - common stock61 . - Suntrust Banks Inc. - common stock62 . - Time Warner Inc. - common stock63 . - Weatherford lntl. Ltd. - common stock64 . - Wells Fargo & C o. - common stock65 . - Broadcom C orp- common stock66 . - EOG Resources Inc.- common stock67 . - Societe Generale ADR - common stock

Sold 09/24/101

68 . - AegonNV ADR - common stock Sold 05/21/10 J A

I. Income Gain Codes:(See Columns B I and D4)2.Value Codes(See Columns C I and D3)

3.Value Method Codes(See Columtt C2)

A =$1 ,000 or lessF =$50,001 - $100,000J =$15,000 or lessN = $250.001 - $500,000P3 =$25,000,001 - $50,000.000Q =AppraisalU =B ook Value

B=$1,001 - $2,500G=$100,001 - $1,000,000K =$15,001 - $50,000O =$500,001 - $1,000,000R =Cost (Real Estate Only)V =Other

C = $2,501 - $5,000H 1 =$ 1,000,001 - $5,000,000L =$50,001 - $100,000P 1 =$1,000,001 - $5,000,000P4 = More than $50,000,000S = AssessmentW =Estimated

D =$5 ,001 o $15 ,000H2 = More than $5 ,000 ,000M = $10 0 , 0 0 1 - $2 5 0 , 0 0 0P2 =$5,000 ,001 - $25 ,000 ,000T =C ash Market

E =$15,001 - $50,000


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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 .c o , .e , v a l u e , t r a . s a .l o . s r I . a u d e s t h o s e o S s . o . s e a . d ~ e p e . ~ e . t children; see pp. 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 during Gross value at end Transactions during reporting period(including trust assets) reporting period of reporting period

(1 ) ( 2 ) (1) (2) ( 1 ) (2) (3) (4) (5 )Place "(X )" after each asset A mount T ype (e.g.. Value Value Type (e.g., Date Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, mm/dd/y y C ode 2 Code I buyer/seller(A-H) o r i n t , ) (J-P) Code 3 redemption) (J-P) (A-H) (if private(Q-W) transaction)

69 . - X erox C orp. - common stock (formerlyAffiliated Computer)70 . - Akamai T echnologies Inc. - common stock71 . - AIcatel-Lucent ADS - common stock72.73 .74 .

- Allegheny T echnologies Inc. - commonstock- Allergan Inc. - common stock Sold 01/12/10 J A- Alumina Ltd. - common stock

75 .76 .77 .78 .79 .

- Ameren Corp. - common stock- Anadarko P etroleum Corp. - commonstock- Anglogold Ashanti Limited - commonstock- Annaly C apital Mgmt. Inc. - commonstock- Autodesk Inc. - common stock

80 . - Avon Products Inc. - common stock81 . - Bed B ath & Bey ond Inc. - common stock82 . - Best Buy Co. Inc. - common stock83 . - Biogen Idec Inc. - comm on stock84 . - Blackrock Inc. - common stock

Sold 01/08/10

Sold 02/22/10 J A

85 . - Boston Scientific Corp. - common stock Sold 05/17/10 J

I. Income Gain Codes: A = $1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and D4) F =$ 50,001 - $100,000 G =$100 ,0 01 - $1,000 ,000 H 1 -$ 1,000 ,001 - $5,000,000 H 2 = More than $ 5,0 00 ,0 002. Value Codes J =$15 ,000 or less K = $15,001 - $50,000 L = $50,001 - $100,000 M = $100,001 - $250,000(See Columns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 P I =$ 1,0 00 ,0 01 - $5 ,0 00 ,0 00 P 2 = $5 ,0 00 ,0 01 - $ 25 ,0 00 ,0 00

P3 = $25,000,001 - $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R = Cost (Real Estate Only) S = Assessment T =C ash Market(See Column C2) U =Book Va~uc V =Other W =Estimated

E =$15,001 - $50,000


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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 n c o m e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)


(1) (2) ( 1 ) ( 2 ) (2) (3) (4)l)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 ., D a t e Valuee 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 1 d i v . , r e n t , C o d e 2 M e t h o d b u y , se l l , m m /d d / y y C o d e 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ( J - P )( Q -W )

( 5 )G a i n Identity ofC o d e 1 buyer/seller( A - H ) (if private

transaction)86 . - Brandywine Realty TR SBI - common Sold 03/09110 J Astock (part)87 . - B roadridge Financial Solutions, Inc. -common stock88 . - Cab levision Systems C orp. - commonstock89 . - Cameco C orp. - common stock90 . - C arnival Corp. - common stock91 . - Celgene C orp. - common stock92 . - Centrais Elec Bras ADR - preferred stock93 . - Ch ubb C orp. - common stock94 . - Cintas Corp. - common stock Sold !09/01/10 J A95 . - Colonial Properites TR - common stock96 . - C ompass Minerals IntL Inc. - commonstock97 . - Consolidated Edison Inc. - common stock98 . - C orrections Corp. of America - common Sold 02/10/10 J Astock99 . - Covidien Ltd. - common stockI00. - C ree Research Inc. - common stock101. - Dai N ipppn Ptrg. Ltd. Japan - commonstock102. - Daiwa H ouse Industries Ltd. ADR -common stock

I. Income Gain 12odes: A =$1.00 0 or less B =$1,001 o $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Columns B I arid D4) F =$50,001 - $100,~0 G =$100,001 - $1,00~3,000 HI = $1,000,001 - $5,000,000 H2 = More than

2. Value Codes J =$15 ,000 or less K = $15,001 - $50,000 L = $50,001 - $100,000 M =$100,001 - $250,000(See C olumns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 P I = $ 1, 00 0 ,0 0 1 - $ 5, 00 0 ,0 0 0 P 2 = $ 5,0 00 ,0 01 - $ 25 ,0 00 ,0 00P3 -$25.000.001 - $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only) S -Assessment T =C ash Market(see Column 122) U =B ook Value V =Other W -Estimated

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gM O R R O W , M A R G A R ET M .

Date of Report05/13/201 l

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)


(1) (2) (1) (2) ( 1 ) (2) (3) (4) (5 )Place "(X)" after each asset Amounl Type (e.g., Value Value Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy C ode 2 Code 1 buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redemption) (J-P) (A-H) (if private(Q-W) transaction)

103 . - Dell Inc. - common stock104. - Drearnworks Animation SKG Inc. -common stock105. - Ebay Inc. - common stock106 . - Electronic Arts Inc. - common stock107. - Endurance Specialty H ldgs. Ltd. -Commonstock108. - Entergy Corp. - common stock109. - Expedia Inc. - common stock110 . - Fluor Corp. - common stock111. - Forest Laboratories Inc. - common stock

Sold 06/08/10 J

Sold 11/16/10 J


112. - Franklin Resources Inc. - common stock

113. - Fujifilna Hldgs Corp. ADR - commonstock114 . - Genuine Parts Co. - common stock

Sold 12/20/10 A

1 ! 5. - Genzyme Corp. - common stock116 . - Gold Fields Ltd. ADS - common stockI 17. - Goldman Sachs G roup Inc. - common

stockI 18. - Goodyear Tire & R ubb er - common stock

Sold 01/22 /10 J(part)Sold ~ 03/10/10 J

119. - Great Plains Energy Inc. - common stock

A

I. Income Gain Codes: A =$ 1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000(See Columns B I and 134) F = $50,001 - $100,000 G = $100,001 - $1.000,000 It I =$1,000,001 - $5,000,000

2. Value Codes J =$15 .000 or less K = $15,001 - $50,000 L = $50,001 - $100,000(See Columns CI and D3) N =$250,001 - $500,000 O = $500,001 - $1,000.000 PI = $1,000,001 - $5,000,000

P3 -$25,000,001 - $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R = Cost (Real Estate Only) S = Assessment(See Column C2) U = Book Value V =Other W =Estimated

D =$5,001 - $15,000H2 = More than $5,000,000M =$I00,001 - $250,000P2 =$5,000,001 - $25,000,000T =C ash Market

E =$15,001 - $50.000


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V I I . I N V E S T M E N T S a nd T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)---] N O N E (No reportable income, assets, or transactions.)

D escription of Assets Income during(including trust assets) reporting period

(t) (2)Place "(X)" after each asset Amount Type (e.g.,exempt from prior disclosure Code l div., rent,( A-H) or int.)

120. - H achijuni Bank Ltd. ADR - common stock121. - Hasbro Inc. - common stock12 2 . - HCP Incorporated - common stock123 . - Health Care REIT Inc. - com m on stock124. - Hertz Global H oldings Inc. - commonstock125. - Hess Corporation - common stock126 . - Hew itt Associates Inc. - common stock127. - Home Depot Inc. - common stock128 . - IHS Inc. - common stock129. - Impala Platinum Hldgs Ltd. ADR -common stock130. - Integrys Energy Group Inc. - commonstock131. - Intl. Business Machines Corp. - commonstock132 . - lntl. Flavors & F ragrances - common stocl~133 . - iShares Comex G old Tr - common stock134 . - Itron Inc. - common stock135. - Ivanhoe Mines Ltd. - common stock136 . - J. Crew G roup Inc.- common stock

Gross value at endof reporting period(1) (2)

Value ValueCode 2 Method

(J-P) Code 3( Q - W )

(l )Type (e.g.,buy, sell,

redemption)


(2) (3) (4) (5 )D a t e Value Gain Identity of

mm/dd/yy C ode 2 Code 1 buyer/seller(J-P) (A-H) (if private

transactton)

Sold 05/14/10 J A

Sold 05/12/10 J A

Sold 06/07/10 JSold 04/08/10 J ASold 07/30/10 J ASold 02/08/10 J ASold 12/01/10 J

Sold 10/25/10 J A

1. Income Gain Codes: A = $1,000 or less B =$1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Columns B I and D4) F ~$ 50,001 - $100,000 G = $100,001 - $ 1,000,000 H 1 =$ 1,000,001 - $ 5,000,000 H2 = M ore than $ 5,000,000

2. Value Codes J =$15.000 or less K -$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000(See Columns C I and D3) N =$250,001 - $500,000 O = $500,001 - $ 1,000,000 P I = $1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000P3 =$25.000,O01 - $50,000,000 P4 -More than $50,000,000

3. Value Method C odes Q ~Appraisal R = Cost (Real Estate Only) S = Assessment T =C ash Market(See Column C2) U =Book Value V =Other W =Estimated

E =$15,001- $50,000


12/62



Date of Report05/I 3/2011

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 , n e , rut, e, transuctlons anctu,te$ those oyspoas~ ~na a epeodent cmt,tr~n; see pp. 34 -60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)


( 1 ) ( 2 ) (I) (2) ( 1 ) (2) (3) (4) ( 5 )Place "(X )" after each asset Amount Type (e.g., Value V alue Type (e.g., Date Value Gain Identity ofexempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/y y C ode 2 Code 1 buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redemption) (J-P) (A-H) (if private(Q-W) transaction)

137. -Johnson&Johnson -common stock138, - Korea Elec~ic Pow er Corp. ADS -common stock139. - L-3 Communications H oldings Inc. -c o m m o n stock140 . - Liberty Global Inc. - common stock141. - Liberty M edia Starz Series A - commonstock142. - The D irectv Group C lass A - commonstock143. - Liberty M edia Hldg, Capital Series A -common stock Sold 1 1 / 0 9 / 1 0(part)144. - Liberty Media H ldg SR A Inter - commonstock145. - M& T Bank C orp. - common stock146 . - Magna IntT Inc. - common stock147 . - Masco Corp. - common stock148. - M attel Inc. - common stock

Sold 01/08110

149. - Millicom Intl. Cellular SA - commonstock150. - MS& AD Ins. Group Holdings Inc. -common stock151. - Monster Worldwide Inc. - common stock


152 . - Nasdaq OM X Group Inc. - common stock153. o N ational Oilwell V arco Inc. - commonstock

1. Income Gain Codes: A = $1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15.000(See C olumns B I an d D4) F =$ 50,001 - $100,000 G = $100,001 - $1,000,000 H 1 = $ 1,0 00 ,0 01 - $ 5,0 00 ,0 00 H 2 = M ore th an $5 ,0 0 0, 00 02. Value C odes J = $15,000 or less K = $15,001 - $50,000 L = $50,001 - $100,000 M = $100,001 - $250,000(See Columns CI and D3) N ~$250,001 - $500,000 O = $500,001 - $1,000,000 PI = $1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000

P3 = $25,000,001 - $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S = Assessment T =C ash Market(See Column C2) U =B ook Value V =Other W ~Estimatcd

E =$15,001 - $50,000


13/62


Nam e of Person ReportingM ORROW , M ARGARET M .

Date of Report05/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)~ NONE(No reportable income, assets, or transactions.)Description of Assets

(including trust assets)

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

B. C. D,Income during Gross value at end Transactions during reporting period

reporting period of reporting period( 1 ) ( 2 ) (1) (2)" (1 ) (2) (3) (4)

Amount Type (e.g., Value V alue Type (e.g., D a t e Value GainCode 1 div., rent, Code 2 Method buy, sell, mm/dd/y y C ode 2 Code 1(A-H) o r i n t . ) (J-P) C ode 3 redemption) (J-P) (A-H)(Q-W)

( 5 )Identity ofbuyer/seller(if private

transaction)

154. - N ewcrest Mining Ltd. ADR - commonstock155. - Newmont Mining Corp. - common stock156 . - Nex en Inc. - common stock157. - Nippon Telegraph & Telephone ADR -common stock158. - N isource Inc. - common stock159 . -N oble Energy Inc. - common stocki 60. - N YS E Euronext - common stock

Sold 06/30/10 J A

161. - Old Republic lntl. Corp. - common stock162 . - Pall Corporation - common stock163 . - Panasonic Corp. - common stock164. - Penn National Gaming - common stock165. - Penney J. C. Co. - common stock166. - Pepsico Inc. - common stock167. - Petroleo Brasileiro SA AD S - commonstock168. - Peteroleo Brasileiro SA AD R - commonstock169. - Range Resources Corp. - common stock170 . - Roper Industries Inc. - common stock

Sold 02/19/10 J ASold 10/04/10 J A

Sold 11/15/10Sold 01/14/10

JJ

1. Income Gain C odes: A = $1,000 or less B = $1,001 - $2,500(See Columns BI and D4) F =$50,001 - $100,000 G = $100,001 - $1,000,000

2. V alue Codes J = $15,000 or Icss K =$15,001 - $50,000(See Columns CI and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000

P3 = $25,000,001 - $50.000,0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only)(See Column C2) U =Book Value V =O~hcr

C =$2,501 - $5,000HI = $1,000,001 - $5,000,000L =$50,001 - $ 100,000P 1 =$ 1,000,001 - $5,000,000P4 =More than $50,000,000S = AssessmentW =Estimated

D =$5,001 - $15,000H2 =More Dan $5,000,000M=$100,001- $250,000P2 =$5,000,001 -$25,000,000T =C ash Markct

E =$15.001- $50,000


14/62


Nam e of Person ReportingIM ORROW , M ARGARET M . Date of Report05/13/2011V 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 f!llng instructions.)

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

Description of Assets Income during(including trust assets) reporting period

O) (2)Place "(X)" after each asset Amount Type (e.g.,

exempt from prior disclosure Code 1 div., rent,(A-H) or int.)

CoGross value at endof reporting period

(l) (2)Value Value

Code 2 MethodO - P ) C o d e 3( Q - W )


( ] ) (2) (3)Type (e.g., Date Valuebuy, sell, mm/dd/y y C ode 2

redemption) (J-P)

1 4 )Gain Identity of

Code 1 buyer/seller(A- H ) (if private

transaction)

171. - Seagate Technology H oldings - commonstock172. - Sears Holding Corp. - common stock Sold 06/29/10173. - Sega Sammy H oldings ADR - commonstock Sold 10/21/10 A174. - Sekisui House Ltd. ADR - com m on stock175. - Sempra Energy - common stock176. - Seven& I Holdings Co. Ltd. - commonstock177 . - Shiseido Ltd Spon ADR - common stock178. - SK Telecom Co. Ltd. - common stock179. - SPDR Gold TR Gold Shs - common stock180 . - St. Jude Medical Inc. - common stock181. - Suncor Energy Inc. - common stock182. - Swisscom AG ADR - common stock

Bu y 05/20/10(addl)

183. - Target Corporation - common stock184. - TDK Corp. ADR - common stock185. - Technip-Coflexip - common stock186 . - Tele & Data Sy stems Inc. - common stock187. - Telecom Italia SPA- common stock

Sold 04/27 /10Sold 02/22/10

J

J

AA

I. Income Gain C odes: A = $1,000 or less B = $1.001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000( See C olumns B I and I)4) F = $50,001 - $100,000 G = $100,001 - $1,000,000 H 1 = $1,000.001 - $ 5,000,000 H2 = More tha n $5,000,0002. Value Codes J =$15,000 or less K = $15,001 - $50,000 L = $ 50,001 - $100,000 M =$ 100,001 - $250.000(See Columns CI and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI = $t,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000

P3 =$25,000,001 o $50,000,000 P4 =More than $50,000.0003. Value Method Codes Q =Appraisal R ~C ost (Real Estate Only) S = Assessment T =C ash Market(See Column C2) U = Book Value V =Other W =Estimated

E =$15,001- $50,000


15/62




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 fillng instructions.)[] N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income during Gross value at end(including trust assets) reporting period of reporaing period

( 1 ) ( 2 ) (1) (2)Place "(X)" after each asset Amount Type (e.g., V alue Value

exempt from prior disclosure C o d e 1 div., rent. Code 2 Method(A-H) o r i n t . ) (J-P) Code 3(Q-W)

188. - Tyco Electronics Ltd. - common stock189. - Tyco Intemational Ltd. - common stock190. - U DR Inc. - common stock191. - Ultra Petroleum Corp. - common stock192 . - United U tilities Group - common stock193 . - Unitedhealth Group Inc. - common stock194 . - Vertex P harmaceuticals - common stock


(I) (2) (3)Type (e.g., Date Value

buy, sell, mm/dd/yy Code 2redemption) (J-P )

Sold 04/23/10 J

Sold 06/16/10 J

Gain Identity ofCode 1 buyer/seller( A-H) (if private

transaction)

195. - Wabtec- common stock196. - Wacoal Hldgs. Corp. ADR - commonstock197. - X cel Energy Inc. - common stock198. - X TO Energy I nc. - common stock199. - Ex xon M obil Corporation - common stock200 . - Zimmer Hldgs. Inc. - common stock201. - Zions Bancorp. - common stock202. - Sumitomo Trust & B anking Co. - ADR -common stock203 . - Agnico Eagle Mines Ltd. - common stock204 . - Allstate Corporation - common stock

Sold 11/29/10

Merged 06/28/10(with line 198)


1. Income Gain Codes: A = $1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Columns B! and D4) F = $50,001 - $100,000 G = $100,001 - $1,000,000 H1 = $1,000,001 o $5,000,000 H2 = More than $5,000,0002. Value Codes J = $15,000 or less K = $15,001 - $50,000 L = $50,001 - $100.000 M = $100,001 - $250,000(See Columns CI and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 =$25,000,001 - $50,000,000 P4 -More than $50,000,0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only) S = Assessment T =C ash Market(See Column C2) U =B ook Value V -Other W =Estimated

E =$15,001 - $50,000


16/62


N a m e o f P e r s o n R e p o r t i n gM O R RO W , M A R G A R ET M .


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 t .e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing, instructions.)N O N E (No reportable income, assets, or transactions.)


(t) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X )" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller(A-H) o r i n t , ) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

205 . - Analog Devices - common stock206 . - Apache - common stock207 . - Arch C oal Inc. - common stock208. - Ax is Capital Holdings Ltd. - commonstock209 . - Bax ter Intl. - common stock210. - Belgacom SA ADR - common stock211. - Canadian Natl. Railway Co. - commonstock2 i 2 . - Canadian Pacific Railway Ltd. - commonstock213. - C arrefour SA AD R - common stock214. - Cemer Corp. - common stock215. - Ch icos Fas Inc. - common stock216 . - Ch imera Investment Corp. - common stock217 . - Cliffs N atural Resources - common stock218. - Clorox C o. - common stock219 . - Cognizant Tech. Solutions - common stock220. - Conocophillips - common stock221 . - Coming Inc. - common stock

Sold 03/02/10 J A

Sold 04/23/10 JSold 04/14/10 J

Sold 02/04/10 J

Sold 07/26/10 JSold 07/15/10 J

Sold 04/15/10 J

Sold 05110/10 J(part)

1. Income Gain Codes: A -$1.000 or less B =$1.001 - $2,500 C = $2.501 - $5,000 D =$5,001 - $15,000(See Columns B 1 a nd D4) F =$50,001 - $100,000 G = $ 100,001 - $ 1.000,000 H 1 =$ 1,000,001 - $5,000,000 H2 -More than $5,000,000

2. Value Codes J =$1 5.000 or less K = $15,001 - $50,000 L = $50,001 - $ 100,000 M = $100,001 - $250,000(See Columns C I and D3) N =$250.001 $500,000 O = $500,001 - $1.000,000 PI = $1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000.000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal 8. =C ost (Real Estale Only) S = Assessment T =C ash Market(See Column C2) U =B ook Value V =Other W =Estimated

E =$15,001 o $50,000


17/62


Nam e of Person ReportingM O R R OW , M A R G A R E T M .


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 lu e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)


( 1 ) ( 2 ) O) (2) (1 ) (~) (3) (4) (5)Place "(X )" after each asset Amount Type (e.g., Value Value Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code l buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 redemption) (J-P) (A-H) (if private(Q-W) transaction)

222 . - Delaw are Diversified Inc. - mutual fund223 . - Devon Energy C orp. - common stock

Sold 02/03/10 J(part) B

22 4. - Digital Realty Trust Inc. - common sstock Sold 10/01/10 J A225. - Discovery C ommunications Ser A -common stock226. - Dow Chemical Co. - common stock227. - Dr. Reddy s Laboratories Ltd. - commonstock228. - Eastman Chemical Company - common Soldstock229. - Embraer S A ADR - common stock230 . - Emerson Electric - common stock231. - Fidelity Advisor F loating Rate - mutualfund232 . - FMC Technologies Inc. - common stock233. - Ford Motor Co. - common stock234. - Gannett Company Inc. - common stock235 . - Givaudian SA AD R - common stock

Sold

06/25/I 0

02/03/10

Sold 05/10/10 J A

ASee note in Part VIII

236. - Greenhill & Co. Inc. - common stock237. - H J Heinz C o. - common stock238 . - Halliburton Co. - common stock

I. Income Gain Codes:(See Columns B 1 and D4)

2. Value Codes(See Columns CI and D3)

3.Value Method CodestSce Colunm C2)

A =$1,00 0 or lessF = $50,001 - $100,000J =$15,000 or lessN =$250,001 o $500,000P3 =$25,000,001 - $50.000,000Q =AppraisalU =Book Value

B =$1,001- $2,500G = $100,001- $1,000,000K=$15,001- $50,000O=$500,001- $1,000,000R = Cost(Real Estate Only)V = Other

C =$2,501- $5.000HI =$1,000,001- $5,000,000L =$50,001- $100,000PI =$1 ,000,001- $5,000,000P4 =Morethan $50,000,000S = AssessmentW=Estimated

D=$5,001- $15,000H2 =More~an $5,000,000M=$100,001- $250,000P2 =$5,000,001- $25,000,000T =C ash Market

E =$15,001- $50,000


18/62



Date of Report05/ i3 /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 , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructlon~)N O N E (No reportable income, assets, or transactions.)


( 1 ) (2 ) (1) (2) (I) (2) (3) (4) ( 5 )Place "(X )" after each asset Amount Type (e.g., Value Value Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, mm!dd/yy C ode 2 Code 1 buyer/seller(A-H) orint.) ( J - P ) Code3 redemption) (JP) I (A-H) (if private(Q-W) transaction)

239. - Harman Intl. Industries - common stock Sold 06/28/10 J240. - H DFC Bank Ltd. ADR - common stock Sold 02/08/10 J A241 . - Icici Bank Ltd. - common stock242 . - Infosys Tech. Ltd. - common stock243. - International Paper Co. - common stock244. - ITC Holdings - common stock245. - JP Morgan Chase BK N A Columbus OhioDJIA Linked CD246. - K AO C orp. - common stock247. - Kinross Gold Corp. - common stock248. - Lord Abbett Floating Rate - mutual fund249. - M anagers Bond F und - mutual fund250. - Marathon Oil Co. - common stock

Sold 10/i 1/10Buy 09/30/10(addl)

Sold 02/03/10(part)

JJ

A

251. - Market Vectors Gold Miners - commonstock 2 52 . - Marriott Intl. Inc. - common stock

Sold 07/16/10 J

253 . - Merck & C o. - common stock254. - Metlife Inc. - common stock255 . - MF A F inancial Inc. - common stock

1. Income Gain Codes: A = $1,000 or less B = $1,001 - $2.500 C = $2,501 - $5,000(See Columns B 1 and D4) F =$50,001 - $100,000 G = $100,001 - $1,000,000 H 1 = $1,000,001 - $5,000,000

2. Value Codes J =$1 5,000 or less K = $15,001 - $50,000 L = $50,001 - $100,000(See Columns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI = $1,000,001 - $5,000,000

P3 = $25,000,001 o $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R ~Cost (Real Estate Only) S = Asscssment(See Column C2) U =B ook Value V ~Othcr W =Estimated

D=$5,001 -$15.000H2 =More than $5,000,000M=$100,001- $250,000P2 -$5,000,001- $25,000,000T =C ash Market

E =$15,001 o $50,000


19/62




V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)[] N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income during Gross value at end(including trust assets) reporting period of reporting period

O) (2) (0 (2 )PI ace "(X)" after each asset Amount Type (e.g., Value Valueexempt from prior disclosure Code 1 div., rent, Code 2 Method

( A-H) or int.) (J-P) Code 3( Q - W )

(1)Type (e.g.,buy, sell,

redemption)

Transactions during reporting period(2) (3) (4)

D a t e Value Gainmm/dd/yy Code2 Code 1

(J-P) (A-H)

( s )Identity of

buyer/seller(if private

transaction)

256. - Microchip Technology Inc. - commonstock257 . - M organ Stanley - common stock258. - Mosaic Company (The) - common stock259. - N ational Fuel Gas Co. - common stock260. - New York Community Bancorp Inc. -common stock See note in Part VIII261. - N intendo Co. Ltd. ADR - common stock262 . - Nokia C orp. ADR - common stock263. - N ovartis AG AD R - common stock264. - N ucor Corp. - common stock265. - Occidental Petroleum C orp. - commonstock266. - Omnicom Group - common stock267. - Owens Coming Inc. - common stock268. - Perrigo Co. - common stock269. - PG & E C orp. - common stock270. - Pimco Total Return - mutual fund271.272 . - Plexus C orp. - common stock

Sold 01/20/10 J A

Sold 09/21/10

Sold 02/03/10 K B(part)Sold !07/23/10 J A(part)

1. Income Gain Codes:(See Columns B 1 and D4)

2.Value Codes(See ColumnsCI and D3)

3.Value Method Codes(See Column C2)

A ~$1,000 or IcssF =$50,001 - $100,000J =$15,000 or tessN = $250,001 - $500,000P3 =$25,000,001 - $50,000,000Q =AppraisalU =Book Value

B=$ t,00i - $2,500G ~$100,001 - $1,000,000K =$15,001 - $50,000O =$500,001 - $1,000,000R =C ost (Real Estate Only)V =Other

C = $2,501 - $5,000H 1 =$ 1,000,001 - $5,000,000L =$50 ,001 - St00,000P 1 =$ 1,000,001 - $ 5,000,000P4 = More than $50,000,000S = AssessmcntW = Estimatcd

D =$5,001 - $15,000H2 -More than $5,000,000M =$100,001 - $250,000P2 = $5,000,001 - $25,000,000T =C ash Markct

E =$15,001 - $50,000


20/62



Date of Report05/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a lu e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income during Gross value at end

(including trust assets) reporting period of reporting period(l) (2) (l) (2) (1 )

Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.,exempt from prior disclosure Code 1 div., rent, Code 2 M ethod buy , sell,( A-H) or int.) (J-P) Code 3( Q - W )

273 . - Polo Ralph Lauren Corp. - Common stock27 4. - Potash C orp. of Sask. Inc. - common stock275 . - Pulte Homes Inc. - common stock27 6. - Regal Beloit Corp. - common stock27 7. - R egions Financial Corp. - common stock278 . - Rexam PLC ADR - common stock279. - Roh m Co. L td. ADR - common stock280 . - Sandisk Corp. - common stock281 . - Scana Corp. - common stock282. - Southwestern Energy Co. - common stock283 . - State Street Corp. - common stock284 . - Sunoco Inc. - common stock285.286.287.288.

- Tara Motors Ltd. - common stock- TCW Total Return - mutual fund

- Tem pleton Global Bond Fund289.


( 2 ) ( 3 ) ( 4 )D a t e Value Gain

mm/dd/yy Code2 Code 1redemption) (J-P)

Sold 09/23 /10Sold 01/05 /10Sold 11/15/10Sold 11/04/10

JJJJ

Sold 06/03/10 J

Sold 03/19/10 J

Sold 09/01/10 J

Sold 01/21/10 L

Identity ofbuyer/seller

(A-H) (if privatetransaction)

A

A

Buy 07/23/10 KSold 02/03/10 K(part)Sold 07/23/10 J(part)

D

A

1. Income Gain Codes:(See Columns B I and D4)

2.Value Codes(See Columns C 1 and D3)

3.Value Method Codes(See Column

A=$1,000 or lessF=$50,001 - $100,000J =$15,000 or lessN =$250,001 - $500,000P 3 =$25,000,001 - $50,000,000Q=AppraisalU =Book Value

B=$1,001 - $2,500G =$100,001 - $1,000,000K =$15,001 - $50,000O =$500,001 - $1,000,000R =C ost (Real Estate Only)V -Other

C = $2,501 - $5,000H ! =$ 1,000,00 t - $5,000,000L =$50,001 - $ 100,000P 1 =$1,000,001 - $5,000,000p4 =More than $50,000,000S =A ssessmentW =Estimated

D =$5,001 - $15,000H2 = More than $5,000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T =C ash Market

E =$15,001 - $50,000


21/62


N a m e o f P e r s o n R e p o r t in gMORROW, MARGARET M.


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 , va l u e , transactions ( Includes those of spouse and dependent children; seepp. 3 4-60 of f i ling instructions.)N O N E (No reportable income, assets, or transactions.)


(including trust assets) reporting period of reporting period(1 ) (2 ) (1) (2 ) (l ) (2) (3)[ (4) (5 )Place "(X )" after each asset Amount T y p e ( e ~ g . , Value Value Type (e.g., Date Value [ Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy , sell, mm/dd/yy Code 2I code i buyer/seller( A = H ) o r i n t . ) ( J - P ) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

290 . - Transdigm Group Inc - common stock291. - Unit Van Kampen Cohen & Steers - UIT Sold 04/08/10 L E292 . - V erizon Communications - common stock293 . - V irtus Multi-Sector S/T B ond - mutual Sold 02/03/10 J Cfund (part)294. - Webmd Health Corp. - common stock295 . - Wh irlpool Corp. - common stock Sold 07/06/10 J A296 . - WM S Industries Inc. - common stock Sold 04/14/10 J A297 . - Wolters Kluw er NV A DR - common stock298. - Yahoo Inc. - common stock299.300.301.302.303.304.305.306.

- CON OCO FUN DING CO. - Corp. Bond- U.S. TR.EASURY N OTES-SER E-2012Gov. Bond

Sold 7/15/10 J ABuy 02/02/10 J(addl)Buy 03/29/10 J(addl)Sold 9/22/10 K A

- BAN K OF AMERICA - Corp. Bond(BAA9)- BP CAP ITAL MARKETS PLC - Corp.Bondo COMC AST CORP. - C orp. Bond (3/15/16~

Sold 1/14/10 J ASold 3/11/10 J A

- CREDIT SUISSE FB USA IN C. - Corp.Bond Sold 9/24/10 J A

I. Income Gain Codes: A =$ 1,000 or less B =$1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and D4) F =$50,001 - $ 100,000 G =$ 100,001 - $ 1,000,000 H I =$1,000,001 - $5,000,000 H2 =M ore than $ 5,000,0002. Value Codes J =$15,000 or less K = $15,001 - $50.000 L = $50,001 - $ 100,000 M -$100,001 - $250,000(See Columns CI and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 P I = $ 1, 00 0, 00 1 - $ 5, 00 0, 00 0 P 2 -$ 5, 00 0, 00 1 - $ 25 .0 00 ,0 00

P3 -$25,000,001 - $50,000,000 P4 ~More than $50,000,0003. Value Method C odes Q =Appraisal R = Cost (Real Estate Only) S = Assessment T =C ash Market(See Column C2) U = Book Value V Other W =Estimated

E =$15,001- $50,000


22/62




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 alue , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~ NONE(No reportable income, assets, or transactions.)A. B. C.

Description of Assets Income during Gross value at end(including trust assets) reporting period of reporting period( 1 ) ( 2 ) (1) (2)

Place "(X )" after each asset Amount Type (e.g., Value V alueexempt from prior disclosure Code 1 div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3(Q-W)

Transactions during reporting period( 1 ) (2) (3) (4) (5)

Type (e.g., D a t e Value Gain Identity ofbuy, sell, mm/dd/yy Code 2 Code 1 buyer/seller

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

307.308.309.310.311.312.313.314.

- FEDERAL HOME LOAN M TG. CORP. -Gov. Bond (1/30/14)- FEDERAL NATL. MTG. ASSN. - Gov.Bond (MW41)- FEDERAL NA TL. MTG. ASSN. - Gov.Bond (5/15/1 I)- GENERAL ELECTRIC - Corp. Bond(3/4/15)- GLAXOSMITHKL1 NE C APITAL - Corp.Bond (5/15/13)- GOLDM AN SACHS GROUP INC. -Corp. on- U.S. TREASURY N OTE - Gov. Bond

315. - U.S. TREASURY N OTE - Gov. Bond

316. -

317. - U.S. TREASURY N OTE - Gov. Bond

Sold 9/15/10 J A

Sold 212/10 J

Sold 3/29/10 J ASold 6/24/10 J A

B uy 3 /11/10(addl)B uy 09/30/10(addl)B uy 5/13 /10

(addl)B uy 10/25/10(addl)

JJJJ

318. - VERIZON GLOBAL FUNDING CORP. -Corp. B o n d319 . - WAC HOV IA COR P. - Corp. Bond~ i ~320. - WYETH - Corp. Bond321. - XTO EN ERGY INC . - Corp. Bond322. - AMERICAN EXP RESS - Corp. Bond

Sold 3/19/10

Sold 4/27 /10Sold 1/6/10

JJ

323. - A T & Y Inc. - Corp.

See note in Part VIIIA

AB

I. Income Gain Codes:(See Columns B I and D4)

2.Value Codes(See Columns C I and D3)

3.Value Method Codes(See Colunm C2)

A=$1,000 or lessF =$50,001 - $100,000J =$15,00 0 or lessN=$250,001 o $500,000P 3 =$25,000,001 - $50.000.000Q~AppraisalU =Book Value

B =$1,001- $2,500G =$I00,001 -$1,000,000K = $15,001- $50,000O=$500,001 - $1,000,000R = Cost(Real Estate Only)V =Other

C = $2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001 - $ 100,000P 1 = $1,000,001 - $5,000,000P4 =More than $50,000,000S =Asscssn~entW =Estimated

D =$5,001 - $15,000H2 = More than $5,000,000M =$ 100,001 - $250,000P2 =$5,000,001 - $25,000,000T =C ash Market

E =$15,001- $50,000


23/62




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.)


( 1 ) ( 2 ) (1) (2) (l ) (2) (3) (4) (5)Place "(X )" after each asset Amount Type (e.g., V alue Value Type (e.g., Date Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code 1 buyer/seller(A-H) o r i n t . ) (J-P) C ode 3 redemption) ( J - P ) (A-H) (if private

( Q - W ) I transaction)

324. - CISCO SYSTEMS INC. - Corp. Bond

325. - GOLDMAN SACHS - Corp. Bond

326. - HEWLETT PACKARD - Corp. Bond

327. - MERRILL LYNCH & CO. - Corp. Bond

328. - TIME WARNER CABLE - Corp. Bond

329. - FED. NATL MGT. ASSN - Gov. Bond

330. - U.S. TREASURY NOTE - Gov. Bond

33 I. - U.S. TREASURY NOTE - Gov. Bond

332. - U.S. TREASURY NOTE - Gov. Bond

333. - FEDERdkL NATL. MTG. ASSN. - Gov.

334. -

335. - FEDERAL NATL. MTG. A S S N . - Gov.B o n d ~3 3 6 . - F E D E R A L H O M E L O A N M T G . C O R P . -n e w - o v .

337. -

338. - JPMORGA N C HASE & Co. - Corp. Bond339. - VERIZON WIRELESS - Corp. Bond

340. - COMCAST CORP.- Corp. Bond~ I

Sold 3/i 1/10 J A

B uy 9/15/10 JB uy 12/10/10 KB uy 2/2/10 JSold 8/11/10 JB uy 8/11/10 JB uy 9/22/10 KSold 12/10/10 K

A

A

B uy 03/19/10 JB uy 3 /11/10 J


I. Income Gain Codes: A = $1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See C olumns B I an d D4) F = $ 50,001 - $100,000 G = $100,001 - $1,000,000 H 1 = $1,000,001 - $5,000,000 H2 -More than $5,000,000

2. Value Codes J = $15,000 or less K =$15,001 - $ 50,000 L =$ 50,001 - $ 100,000 M =$ 100,001 - $250,000(See ColumnsC | and D3) N =$250,001 - $500,000 O = $500,001 - $|,000,13~0 PI = $1,~300,001 - $5,000,0~0 P2 = $5,~00,001 - $25,000,000

P3 = $25,000,001 - $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only) S = Assessment T =C ash Market(See Colunm C2) U =Book Value V =Other W =Estimated

E =$15,001 - $50,000


24/62




V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions)N ON E (N o reportable income, assets, or transactions.)


(l) ( 2 ) (I) (2) (1) (2) (3) (4) (5 )Place "(X)" after each asset Amount Type (e.g., V alue Value Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code I div.. rent, Code 2 Method buy, sell, mm/dd~yy Code 2 Code 1 buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 redemption) (J-P) (A-H) (if private(Q-W) transaction)

34 I . - CON OCOPH ILLIPS - Corp. Bond342. - 343. o BB& T CORP . - Corp. Bond344. - ENTERPRISE P RODU - C orp. Bond345. - GENERAL ELECTRIC C AP CORP. -Corp Bond~T ~346. - KRAFT FOOD S INC . - Corp. Bond347. - PEPSICO IN C. - Corp. Bond348. -

349. - ROYAL BAN K OF SC OTLAND - Corp.350. - SHELL IN TL. FIN . - Corp. Bond~2~ o, o, ..i351. - TRANSOCEAN INC . - Corp. Bond352. -353. - Wells Fargo Bank - Account354. - Union Bank - Account355. - Kadis0n, Pfaelzer, Woodard, Quinn &Rossi Inv. Ptnrship.356. - Activision Blizzard Inc. - common stock357 . - Albemarle Corp. - common stock

A Interest K TK T

A Interest K T

Buy 7/15/10 JSold 10/14/10 J ABuy 4/27/10 JB uy 10/20/10 JB uy 3/29/10 JBuy 6/24/10 JB uy 1/14/10 JSold 5/13/10 J AB ay 9/24/10 JB uy 10/14/10 JB uy 1/6 /10 JSold 1 0 1 1 9 1 1 0 J A

Buy 01/15/10 JBuy 09/29/10 J

Opened December2010

I. Income Gain Codes: A =$1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000(See C olumns B 1 and D4) F = $50,001 - $100,000 G = $100,001 - $1,000,000 HI = $1,000,001 - $5,000,0002. Value Codes J = $15,000 or less K = $15,001 - $50,000 L = $50,001 - $ 100,000(See ColumnsC I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI = $1,000,001 - $5,000,000

P3 = $25,000,001 - $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R = Cost (Real Estate Only) S = AssessmentISce Column C2) U =B ook Value V =Other W =E stimated

D=$5,001- $15,000H2 = More than $5,000,000M=$100,001- $250,000P2 =$5,000,001- $25,000,000T =C ash Market

E =$15,001- $50,000


25/62




V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A, B. C. D.Description of Assets Income during Gross value at end Transactions during reporting period(including trust assets) reporting period of reporting period

( 1 ) ( 2 ) (I) (2) (1) (2) (3) (4) ( 5 )Place "(x}" after each asset Amoum Type (e.g., Value Value Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code 1 buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 redemption) ( J - P ) (A-H) (if private(Q-W) transaction)

358. - Allianz SE ADS - common stock359. - AppleInc. - common stock360.361 . - Assured Guaranty L td. - common stock362. - Astrazeneca PLC ADS - common stock363 . - Babcock & Wilcox Company - commonstock364. - Bank 0fAmerica Corp. - common stock36 5. - B org Warner Inc. - common stock366. - Bristol Myers Squibb Co. - common stock367 . - Cigna CP- common stock36 8. - C lean Harbors - common stock36 9. - C olgate Palmolive Co. - common stock370. - Comcast Corp. (New ) Class A - commonstock371. - Crow n Holdings Inc. - common stock372. - D olby C lass A common stock373. - Electricite De France ADR - commonstock374. - EM C C orp. Mass - common stock

Bu y 05/21/10 JBuy 01/26/10 JB uy 02/11/10 J

(addl)Buy 10/14/10 JBu y 01/11/10 J

Spinoff 09/15 /I0 J(from line 56)Bu y 11/29/10 JBuy 03/02/10 JBu y 03/11/I0 JBu y 08/20/10 JBu y 05/03/10 JBu y 08/10/10 J

Bu y 06/28/10 J

Bu y 03/25110 JBu y 03/17/10 J



1. Income Gain (Todes: A =$1,00 0 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and 134) F =$50,001 - $100,000 G = $100,001 - $1,000,000 HI =$1,OO0,OO 1 - $5,0~0,000 H2 = More "than $5,000,0~02. Value Codes J =$15 ,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000

(See Columns CI and D3) N = $250,001 - $500,000 O = $500,001 - $1,000,000 PI = -$1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000P3 = $25,000,001 - $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S = Assessment T =C ash Market(See Column (72) U =B ook Value V =Other W ~Estimated

E =$15,001 - $50,000


26/62

FINANCIAL DISCLOSURE REPORTPage 26 of 62 Ia m e o f P e r s o n R e p o r t i n gMORROW, MARGARET M. Date of Report05/13/2011

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

375.376.377.378.

D e s c r i p t io n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d( 1 ) ( 2 ) (1) (2) (l ) (2) (3)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 ., D a t e Valueexempt from prior disclosure C o d e I d i v . , r e n t , Code 2 M e t h o d buy, sell, m m / d d / y y C o d e . 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemption) ( J - P )( Q - W )

- ETF S P alladium Trust - common stock- ETFS Platinum Trust - common stock- Expeditors Intl Wash Inc. - common stock- Finmeccanica Spa Roma - common stock

379. - Gazprom O A O Spon ADR - commonstock380. - Glaxosmithkline PLC ADS - commonstock381. - Global Payment Inc. - common stock382. - Grupo Financiero Galicia SA AD -common stock383. - Hain Celestial Group Inc. - common stock384. - H SN Inc. - common stock385 . - Hudson City B ancorp Inc. - common stock386. - H yatt Hotels Corp. Com- common stock387 . - Immunogen Inc. - common stock388 . - Isis Pharmaceuticals Inc. - common stock389. - Israel Chemicals Ltd ADR - common stock390. - Johnson Controls Incorporated - commonstock391. - K eycorp New - common stock

G r o s s v a l u e a t e n d Transactions during reporting period

Bu y 09/27 /I 0 JBu y 09/24/10 JBu y 08/04/10 JBu y 05/13/10 JBu y 10/15/10 JBu y 01/18/10 JBuy 12/29/10 JBu y 11/02/10 JBu y 06/03/10 JBu y 01/04/10 JBu y 09/23/10 JBu y 02/04/10 JBu y 11/09/10 JBu y 10/22/10 JBuy 12/20/I 0 JBu y 01/25/10 JBuy 01/13/10 J

(4 ) ( 5 )Gain Identity of

Code l buyer/seller(A-H) (if private

transaction)

1. Income Gain Codes: A = $1,000 or less B = $1,001 - $2,500 C = $2,501 - $5.000 D =$5,001 - $15,000(See C olumns B 1 and D4) F = $50,001 - $100,000 G = $100,001 - $1,000,000 HI -$1,000,001 - $5,000,000 H2 = More than $5,000,000

2. Value C odes J = $15.000 or less K =$15,001 - $ 50.000 L = $50,001 - $ 100,000 M =$ 100,001 - $ 250,000(See Columns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000

P3 = $25.000,001 - $50,000,000 14 = More than $50,000,0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only) S = Assessment T =C ash Market(See Column C2) U = Book Value V =Other W =Estimated

E =$15,001 - $50,000


27/62




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 m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!llng instructions.)D NONE (No reportable income, assets, or transactions.)A. B. C.

Description of Assets Income during Gross value at end(including trust assets) reporting period of reporting period0) ( 2 ) (1) (2)Place "(X)" after each asset Amount Type (e.g., Value Valueexempt from prior disclosure Code 1 div., rent, Code 2 Method(A-H) o r i n t . ) [ J - P ) Code 3

(Q-W)

( 1 )Type (e.g.,buy, sell,

redemption)

Transactions during reporting period(2) (3) (4)

Date Value Gainmm/dd/yy C ode 2 C ode 1

(J-P) (A-H)Identity of

buyer/seller(if private

transaction)

392 . - Las Vegas Sands C orp. - common stock B uy 11/01/10 J393. - Legg Mason BW G lobal Opp Bd FI -mutual fund394.395. o Loomis Sayles Strategic Income A -mutual fund396 . o MBIA Inc. - common stock

Buy ] 02/03/10 KSold 07/23110 J(part)Buy 02/03/10 KBuy 10/20/10 J

A

397. - Mc Donalds Corp. - common stock Buy 108123/10 J398. o Mc Graw Hill Companies Inc. - commonstock399. o M cKeeson C orp. - common stock

B uy 05/18/10 JB uy 04/07/10 J

400. - MGM Resorts International - commonstock401 . o Nalco Holding Company - common stock

B uy 12/20/10 J

B uy 01/05/10 J402 . - Nex tEra Energy Inc. - common stock B uy 08/10/10 J403. - N ovo N ordisk A/S AD R - common stock B uy 06/11/10 J404. o Novozymes A/S Unspons ADR - commonstock405. - Oracle Corp. - common stock

B uy 08/13/10 JB uy 09/16/10 J

406. Peabody Energy Corp. - common stock B uy 09/30/10 J407. - Pfizer Inc. - common stock B uy 11/09/10 J408. - Philip Morris Intemational Inc. - commonstock B uy 08/12/10 J

1. Income Gain C odes: A = $1,000 or less B =$1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Columns B I and IM) F =$50,001 - $100,000 G = $100,001 - $1,000,000 H I = $ 1,000,001 - $5,000,000 H2 -More than $5,000,0002. Value Codes J =$15,000 or less K -$15,001 - $50,000 L -$50,001 $100,000 M =$100,001 - $250,000(See Columns C I and D3) N = $250,001 - $500,000 O -$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 = $5,000,001 - $25.000,000

P3 = $25,000,001 - $50,000,000 P4 = More than $50,000,0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only} S = Assessment T =Cash Marl~ct(See Column C2) U =Book Value V =Other W =E stimated

E =$15,001- $50,000


28/62




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.)

A. B. C.Description of Assets Income during Gross value at end

(including trust assets) reporting period of reporting period(i) (2) (1) (2)

Place "(X )" after each asset Amount Type (e.g., Value Valueexempt from prior disclosure Code 1 div., rent, Code 2 Method(A-H) or int.) (J-P) Code 3

(Q-W)

(l )Type (e.g.,buy, sell,

redemption)

Transactions during reporting period(2) (3) (4) (5 )

Date V alue Gain Identity ofmm/dd/yy C ode 2 C ode 1 buyer/seller

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

409.410.411.412.413.414.415.416.417.418.419.420.421.422.423.424.4 2 5 .

- Phillips Van Heusen - common stock Bu y 09/17/10 J- PP L Corporation - common stock Bu y 06/23/10 J- Proshares Ultrashort QQQ ETF - commonstock (QID )- Proshares Ultrashort Russell20 - commonstock (TWM)- Proshares Ultrashort S& P50 0 - commonstock (SDS )- Prudential Financial Inc. - common stock

Bu y 06/25/10Bu y 01/21/10Bu y 01/21/10Bu y 12/20/10

JJJ

J- Putnam Diversified Income Trust A -mutual fund- Robert Half International Inc. - commonstock- Seadrill Ltd - common stock

Bu y 02/03/I 0Bu y 05/13/10Bu y 11/08/10

KJJ

- SLM Corporation - common stock Bu y 12/22110 J- Sotheby s C lass A - common stock Buy 01/22/10 J- Statoil ASA ADR - common stock Buy 11/09/10 J- Takeda Ph armaceutical Co Ltd. - commonstock- TCW Emerging Markets Income N -mutual fund- Madison Square Garden Inc. Class A -common stock- Pimco Emerging Local Bond A - mutualfund- Tenaris S.A. - c o m m o n stock

Buy 05112/10Bu y 07/23/10

Spinoff 02/09/10(from line 88)Bu y 07/23/I 0Bu y 12/02/10

JKJKJ

1. Income Gain Codes:(See Columns BI and D4)

2.Value Codes(See Columns CI and D3)

3. Value Method Codes(See Column C2)

A = $1,000 or l essF = $5 0 , 0 0 1 - $10 0 . 0 0 0J =$1 5,000 or l essN = $2 5 0 , 0 0 1 - $5 0 0 ,0 0 0P3 =$25,000 ,001 - $50 ,000 ,000Q = AppraisalU =B ook Value

B=$1,001 - $2,500G =$ 100,001 - $1,000,000K ~$15,001 - $50,000O ~$500,001 - $1,000,000R =Cost (Real Estate Only)V = Other

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001 - $ 100,000PI =$1,000,001 - $5,000,000P4 =More than $50,000,000S = AssessmentW =Estimated

D =$5,001 - $15,000H2 =More than $5,000,000M -$100,001 - $250,000P2 = $5,000,001 - $25,000,000T =C ash Market

E =$15,001- $50,000


29/62

FINANCIAL DISCLOSURE REPORTPage 29 of 62N a m e o f P e r s o n R e p o r t in gM O R R O W , M A R G A R ET M .


V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during G ross value at end Transactions during reporting period(including trust assets) reporting period of reporting period

(1 ) (2 ) (1) (2) (l) (2) (3) (4) (5 )Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code 1 div., rent, C ode 2 M eth od buy, sell, mm/dd/yy Code 2 Code l buyer/seller(A-H) or int.) (.1.p) Code 3 redemption) (J-P) I (A-H) (if private( Q-W) t transaction)

426. - Thermo F isher Scientific Inc. - commonstock427. - Toyota Motor Corp. ADR New - commonstock428 . - Treehouse Foods Inc. - common stock

B uy 06/10/10B uy 09/08/10B uy 06/11/10

J

JJ

429. Sold 08/20/10 J430. - United Continental Holdings Inc. -common stock43 I. - U nited States Steel Corp. - common stock432. - Valero Energy Corp. - common stock433. - Verisk Analytics - common stock434 . - Visa Inc. - common stock435. - Waddell & Reed Financial Inc. - commonstock436. - Walt Disney C o. Holding Co. - commonstock437. - Waste Management Inc. - common stock438. - Wynn Macau Ltd Unspoa ADR - commonstock439. - W ynn Resorts Ltd - common stock440. - Unit AAM C overed Call & IncomeStrategies Closed end fund441. - Lord Ab bett Developing Local Mkts -mutual fund442.

Bu y 03/11/10Bu y 01/28/10Bu y 03/31/10Bu y 05/12/10Buy 06/10/10Buy 12/29/10Bu y 03/05/10Buy 07/02/10Buy 10/05/10Buy 09/03/10Bu y 04/20/I 0Buy 02/03/10Sold 07 /23/10

JJ

JJ

JJ

JJJJ

LKK

1. Income Gain Codes: A = $1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and D4) F =$50,001 - $ 100,000 G =$100,001 - $1,000,000 H 1 =$ 1,000,001 - $5,000,000 H2 -More than $5,000,0002. Value C odes J =$15,00 0 or less K = $15,001 - $50,000 L -$50,001 - $ 100,000 M =$100,001 - $250,000

(See C olumns C I and D3) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI -$1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000P3 7525,000,001 - $50,000,000 P4 -More than $50,000,0003. Value Iqothod Co~es Q =Appraisal R =Cost ~Roal Estate Only) S = Assessment T =C ash l~arket(See Column C2) U =Book Value V =Other W =Estimated

E =$15,001 - $50,000


30/62

FINANCIAL DISCLOSURE REPORTPage 3 0 of 62

Name of Person ReportingM O R R O W , M A R G A R ET M .


V I I. IN V E S T M E N T S a nd T R U S T S - i u co ,.e , v al ue , 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 Incom e during G ross value at end Transactions during rep orting p eriod(including trust assets) rep orting p eriod of rep orting p eriod

(1) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset Amoun~ Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exem pt from p rior disclosure Code 1 div., rent, Code 2 M ethod buy, sell, m m / d d / y y Code 2 Code 1 buyer/seIler(A-H) orint.) (J-P) Code 3 redem p tion) (j_p ) t (A-H) (if private(Q-W) transaction)

443. - JP M organ Strategic Incom e Opp s A - B uy 02/031101 Lmutual fund444. Sold 07123/10 L A445. - Aver5 Dennison Corp. - com m on stock B uy 06115/101 J446. Sold 11/01/10 J A447. - Cooper Industries PLC - com m on stock B uy 03/01/10 J448. Sold 09/24/10 J A449. - Copa H oldings, S.A. - comm on stock B uy 04/06/10 J450. Sold 05/11/10 J451. - Fibria Celulose SA - com m on stock B uy 01/05/10 J452. Sold 03/01/10 J453. - G ilead Science - comm on stock B uy 02/23 /10 J454. Sold 09/14/10 J455. - Lockh eed M artin Corp. - com m on stock B uy 02/04/10 J456. Sold 11/18/10 J457. - Pimco 25+Yr Zero Coupon - comm on B uy 10/01/10 Jstock458. Sold 10/15/10 J

459. - Proshares Short Russell2000 - comm on B uy 01/19/10 Jstock (RWM )

I. I n c o m e G a i n C o d e s : A = $ 1 , 0 0 0 or less B =$1.001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000( S e e C o l u m n s B I a n d D 4 ) F =$50,001 - $100,000 G = $100,001 - $1,000,000 H 1 =$1,000,001 - $ 5,000,000 H2 =M ore than $5,000,0002. V a l u e C o d e s J =$15,000 or less K = $15,001 - $50,000 L = $50,001 - $ 100,000 M = $ 100,001 - $250,000(See Columns CI and D3) N = $250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 o $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q = A p p r a i s al R =Cost (Real Estate Only) S =Assessment T =Cash Market(Sce Column C2) U =Book V alue V =Other W =Estimated

E =$15,001 - $50,000


31/62


N a m e o f P e r s o n R e p o r t i n gM ORROW , M ARGARET M .


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

A. B. C. D.D e s c r ip t io n o f A s s e t s I n c o m e d u r in g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t in 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

( 1 ) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )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 . , V a lu e V a l u e T y p e ( e .g . , D a t e V a lu e G a in I 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 c lo s u r e C o d e 1 d iv . , r e n t , C od 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 I b u y e r /s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

460. Sold 04/28110 J461. - Proshares Short S&P500 -comm on (SH) B uy 01/19/10 J462. Sold 04/28/10 J463. - Proshares Ultrashort M SCI Europe - B uy 05114110 Jcomm on stock (EPV)464. Sold 06/04/10 J465. - Proshares Ultrashort M SCI Emer - B uy 05114110 Jcomm on stock (EEV)466. Sold 06/04/10 J467. - Radioshack Corp . - comm on stock B uy 04/19/10 J468. Sold 11/29/10 J469. - Saic, Inc. - com m on stock B uy 02/03 /10 J470. Sold 11/09/10 J471. - Shaw G roup Incorporated - com m on stock B uy 06/21/10 J472. Sold 11/09/10 J473. - Syb ase Inc. Del. - com m on stock B uy 02/22/10 J474. Sold 07/20/I 0 J475. - Whole Foods Mark ets Inc. - com m on stock B uy 07/14/10 J476. Sold 10/06/10 J

I. Income G a i n C o d e s : A =$1,000 or less B = $1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and D4) F =$50,1~01 - $100,000 G =$100,001 - $1,090,090 H 1 = $| ,0 0~ ,0 01 - $ 5 ,0 00 ,9 0 0 H 2 : Mer e th an $ 5 .0 00 ,0 0 02. Value C o d e s J =$15,000 or less K =$15,001 - $50,000 L = $50,001 - $ 100,000 M =$100,001 - $250,000(See C olumns C I and D3) N = $250,001 - $500,000 O = $500,001 - $ 1,000,000 P 1 = $1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. V a l u e M e th o d C o d e s Q = A p p r a i sa l R =Cost (Real Estate Only) S =Asscssmcnt T =Cash Market(See Column (?2) U =Book Value V =Other W =Estimated

E =$15,001 - $50,000


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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 nc o,.e , , ,a ~ u e, t r a n s a c t i o n s a n c t u d e s t h o s e o f w o u s e a n d dependent children; see pp. 3 4 - 6 0 of filing instructions.)--] N O N E (No reportable income, assets, or transactions.)

Income during Gross value at endreportmg period of reporting period

(l) (2 ) (l) (2) (I)Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.,

exempt from prior disclosure Code l div., rent, Code 2 Method buy, sell,( A-H) or int,) (J-P) Code 3 redemption)( Q-W)

D escription of A ssets Transactions during reporting period(including trust assets)

477. - Frontier Communications Group - commonstock478.479.

(2) (3) (4)D a t e Value Gainmm/dd/yy Code 2 Code l

(J-P) (A-H)

480. BROKERAGE ACCOUN T #2 - TRUST #1481. - Cash equivalent - Morgan Stanley"482. - Ameren C orp. - common stock

,483. - Sanofi-Aventis ADR - common stock484. - BP PL C AD R - common stock485.

Spinoff 07/01/10 J(from line 292)Sold 07/08/I 0 J

486.487. - Eaton Corp. - common stock488 . - G eneral Electric Inc. - comm on stock489. - Genuine Parts Co. - common stock490. - JP Morgan Chase & Co. - common stock491 . - Pepsico Inc. - common stock492. - Roy al Dutch Shell PLC - common stock

E lnt.iDiv. P 1 T

Sold 05/21/10(part)Bu y 06/23/10(addl)Sold 11/10/10

JJJ A

(5 )Identity of

buyer]seller(if private

transaction)

493. - A T & T - common stock

I. Income Gain Codes:(See Columns BI and D4)

2.Value Codes(See Columns CI and D3)

3.Value Method Codes(See Column C2)

A =$1,00 0 or lessF =$50,001 - $100,000J =$15,000 or lessN = $250,001 - $500,000P3 = $25,000,001 - $50,000,000Q =AppraisalU =Book Value

B=$1,001 - $2,500G =$ 100,001 - $1,000,000K= $15,001 - $50,000O =$500,001 - $ 1,000,000R = Cost (Real Estate Only)V = Other

C = $2,501 - $5,000H 1 =$1,000,001 - $5.000,000L -$50,001 - $100,000P 1 =$ 1,000,001 - $5,000,000P4 = More than $50,000,000S = AssessmentW =Estimated

-$5,001 - $15,000H2 = More than $5.000,000M -$100,001 - $250,000P2 = $5,000,001 - $25,000,000

=Cash Market

E =$15,001 - $50,000


33/62

FINANCIAL DISCLOSURE REPORTPage 3 3 of 62 Ia m e o f P e r s o n R e p o r t i n gM O R RO W , M A R G A R ET M . Date of Report05/13/2011

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, tra .... ti~ns (~nc~udes th~se ~f sp~u~e and dependent chi~dren; see pp. 34-6~ ~f ~ing instructi~ns.)N O N E (No reportable income, assets, or transactions.)


(including trust assets) reporting period of reporting period( 1 ) ( 2 ) (1) (2) (I) (2) (3) (4) (5 )Place "(X )" after each asset A mount Ty pe (e.g., Value Value Type (e.g., Date Value Gain Identity ofexempt from prior disclosure Code l div., rent, Code 2 Method buy , sell, mrn/ dd/y y C od e 2 C o d e 1 buyer/seller(A-H) orint.) (J-P) Code 3 redemption) (j_p) I (A-H) (if private

(Q-W) transaction)

494. - Schlumberger Ltd. - common stock495. - Siemens AG AD R - common stock

496. - UB S AG-CH F - common stock497 . - Wal-Mart Stores Inc. - common stock Sold 07/23/10 J A498. - LOS GATOS CALIF JT UN HIGH SCH -

Muni. Bond: "~499. - CALIF. ST. ECONOMY RECY - M uni.Bond500. o LOS ANGELES CALIF CCD G/O REF -Muni. Bond501. - LOS ANGELES CNTY CALIF M TA -Muni. Bond502. - SAN DIEGO CALIF . C M N T Y C O L L . -Muni.503. - SIMI VY C ALIF SCH - Muni. Bond504.505.506.507.508.509.510.

-GROSSMONT-CUYAMACA CALIF.CMNTY. - M uni.- RIVERSIDE CNTY. PALM DESERT CA- M u n i- CA. ST. UNIV TRUSTEES S/W REVSER-A - Muni. Bond

- OREGON ST. GENL OBL1G SER-A -M uni. Bond- CA. ST. DEPT WTR RES CENT VLY -M uni. Bond- CA. EDL FACS AUTH USC - M uni.Bond

B uy(addl)Sold(part)

4/13/10 J6/21/10 K

1. Income Gain Codes: A =$1,00 0 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000( See C olumns B 1 and D 4) F =$ 50 ,0 01 - $ 10 0,0 00 G =$ 100,001 - $ 1,000,000 H 1 = $1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes .I = $15,000 or less K = $15,001 - $50,000 L -$50,001 - $100,000 M =$100,001 - $250,000(See C olumns C 1 and D3) N =$250,001 - $500,000 O = $500.001 - $ 1,000,000 P 1 = $1.000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R -Cost (Real Estale Only) S = Assessment T =C ash Market(See Column (?2) U =Book Value V =Other W =Estimated

E =$15,001 - $50,000


34/62


N a m e o f P e rso n Re p o rt ingM O R RO W , M A R G A R ET M .


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 n , e , v a l u e , t r a n s a c t i o n s (Includes those of spouse and dependent children; see p p . 3 4 - 6 0 of filing instructions.)D NONE (No reportable income, assets, or transactions.)Description of Assets Income during

(including trust assets) reporting period( 1 ) ( 2 )

PlaCe ,(X)" after each asset Amount Type (e.g.,exempt froru prior disclosure Code l div., rent,(A-H) or int.)

Gross value at endof reporting period

(1) (2)V alue V alueCode 2 Method

(J-P) Code 3( QiW)

O ~Transactions during reporting period

(1 ) (2) (3)Type (e.g., Date Valuebuy, sell, mm/dd/yy Code 2

redemption) (J-P)

(4 ) (5 )Gain Identity ofCode 1 buyer/seller(A-H) (if private

transaction)

511. - Bank of New York Mellon Corp. -common stock512 . - Procter & Gamble - common stock513 . o Monsanto Company - common stock514 . o Prax air Inc. - common stock515 . - Kraft Foods - common stock

Sold 07/27/10 A

516 . - N isource Inc. - common stock517 . - Progress Energy Inc. - common stock518. - Teva Ph armaceutical Inds. Ltd. ADR -common stock519. - Vodafone Group PLC ADR - commonstock520 . - Brandyw ine Realty Trust - common stock521. - CV S Caremark C orporation - commonstock522. - Kroger Co. - common stock523 . - UDR Inc. - common stock524. - Broadridge Financial Solutions - commonstock525 . - Barrick Gold C orp. CAD - common stock526. - Colonial PPTYS Trust SBI - commonstock527. - El Paso Corporation - common stock

Sold 04/23/10

1. Income Gain Codes: A =$1,00 0 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and IM) F ~$ 50,001 - $ 100,000 G =$ 10 0,0 01 - $ 1,0 00,0 00 H 1 =$ 1,0 00 ,0 01 - $5 ,0 00 ,0 00 H2 = M ore than $5,000,0002. Value Codes J =$15",000 or less K =$15,001 - $50,000 L $50,001 - $100,000 M =$100,001 - $250,000(See Columns C I and D3) N =$250.001 - $500,000 O = $500,001 - $1,000,000 P 1 = $ | ,0 00 ,0 01 ~ $ 5, 00 0,0 00 P 2 =$ 5, 00 0 ,0 0 1 - $ 25 ,0 0 0, 00 0P3 :$25,000,001 - $50,000.000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R = Cost (Real Estate Only) S = Assessment T =C ash Market(See Column C2) U =Book Value V =Other W =Estimated

E =$15,001 - $50,000


35/62




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 lu e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)NO NE (No reportable income, assets , or transact ions .)

A, B. C. D,Description of Assets Income during Gross value at end Transactions during reporting period(including trust assets) reporting period of reporting period

(1 ) (2) (l) (2) (l ) (2) (3) (4) (5)Place "(X )" after each asset Amount Type (e.g., Value Value Type (e.g., D a t e Value Gain Identity ofexempt from prior disclosure Code l div., rent, Code 2 Method buy, sell, m m/dd /y y C ode 2 Code I buyer/seller(A-H) o r i n t . ) (J-P) Code 3 redemption) ( J - P ) (A-H) (if private(Q-W) transaction)

528.529.530.531.532.533.534.535.536.537.538.539.540.541.

- Health C are REIT - common stock- Hew lett Packard Co. - common stock- Coca C ola Company - common stock- Coca Cola Enterprises Inc. - common stock

Sold 08/09/10 J

Sold 02/17/10 J- Goldman Sachs Group Inc. - common Sold ! 01/22/10 Jstock (part)

Sold 02/03/10 J(part)- Google Inc. - common stock- HC P Inc. - common stock- Juniper Netw orks Inc. - common stock- Koh ls C orporation - common stock- N YSE E uronext - common stock- Qualcomm Inc. - common stock- Schw ab C harles Corporation - commonstock- Time Warner Inc. - common stock

542. - Abbott Laboratories - common stock543. - X erox C orp. - common stock (formerlyAffiliated Computer)544 . - Amazon.com Inc. - common stock

Sold 09/14/10 J

Sold 07/12/10 JSold 11/30/10 J(part)Sold 09/30/10 JSold 12/10/10 J

A

I. Income Gain Codes: A =$1,00 0 or less B = $1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Columns B 1 and D4) F =$50,001 - $100,000 G = $1 00,0 01 - $ 1,0 00 ,00 0 H I = $1 ,0 00 ,0 0! - $ 5,0 00 ,0 00 H2 =More than $5,000,0002. Value Codes J =$15,000 or less K = $15,001 - $ 50,000 L = $50,001 - $ 100,000 M = $100,001 - $250.000(See Columns CI and D3) N =$250.001 o $500,000 O = $500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method C odes Q =Appraisal R = Cost (Real Estate Only) S = Assessment T =C ash Market(Sce Column (2) U =B ook Value V -Other W =Estimated

E =$15,001- $50,000


36/62




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 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 (No reportable income, assets, or transactions.)


margaret m morrow financial disclosure report for 2010

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