sarah s vance financial disclosure report for 2009

8/3/2019 Sarah S Vance Financial Disclosure Report for 2009

1/12

" Aoso [ FINANCIA L DISCLOSURE REPORT ee~ ,o .m~ir~by~~h~csin Governmen! tic! of!978~. mo/o FOR CALE~AR ~AR 2009 0 o . z c . a p p , ~ I O 1 - 1 1 1 )

I. POSITIONS. o~,~ ,,~,,~~-] H O N E ( N o r e p o r t a b l e p o M t i o m . )

POSITION NAME OF ORGANIZATION/ENTITYI. Bo~d Mcmb~" New Oileani Cheptc~ Federal Bar Association

2. Bo~d Mcml~- -r TuILaw I n s f f t u t c Nat iona l Ad vLso~ B oard3. Adjunc t Faculty Tul~n Law School4. Board Member Tdanc Law School - Dcaas Advisory Board

I I. A G R E E M E N T S . ~,~,~/~ ~ ,~ , l . ,#~ , ,~ ~ u -~ ,~ . sa , . ~ ~ , - . ~ - ,J + : -NONE ~ o reportable agreem~ts.) c .~ :

S:~, t~ _..-

I. -~ ~ ~


2/12

FINANCIAL DISCLOSURE REPORT r~ .=. or r .~ . R~or.n I o.,e or R~o.Page 2 of 12 v , . ~ S a r a h S, ]5 / I V 2 0 1 0

III. NON-~VES~ENT INCOME. ~ ~--~-~ ~-~,~ t~-u ~/m-~ ~A. Filers Non-lnves~ent Income

N O N E ~ o reportable non-investment income.)~ $0~ A~ ~E ~COME(youm not sp~ses)

2.3.4.

B. S p ou s e s N o n- lnv e s t m e n t Inc om e - if yo. ~ .~,,~a ~.,~ .,,~ ~ra,. of tke ~p~n~ ~ar, ~sts ~ s~~o1!~ ~nt ~t r~d ~pt f~ ~.)

~ N O ~ ~ o reportable non-inv~lment income.)~ SO~C~ AND ~E

2 .

3 .

4 .


3/12

.FINANCIA L DISCLOSURE REPORTPage 3 of 12 Van ~ Sara h S. 5/!~010

~ N O N g ~ o reportableg~s.)

L

3.

VI. LIAB ILITIES. a.du~ ,~.o~~,~, o~ ~,~,,~ ~,,,; ~ p~ Jz.~J o~,~,1 ~,~,~~ NONE (No reportable liabilities.)


4/12

FINANCIAL DISCLOSURE REPORTPage 4 of 12 v,n~ S a r a h S. 5/I 2/20 ] 0

2. - Mer r i l l Ly nc h R e t i r emen t R c sc w c s / Cash A Dividend J T

3. --Putnam Intonat ional Equity FD CL A A Dividend J T

4. --Columbia Manico Focused Equities FD B A Dividend J T5. -Lord Ab b ot t Glob a l FD E Q SR CL A A Dividend J T

6. --Davis NY Vcntur~ F D A A Dividend J T7.g. [RRA #2, Rollover Merrill Lynch:9. --Merrill Lynch USA Rasp A Dividend J T

I O . - -B la ck ro ck Fu n ~mcn ta l O ro w~ V D I~C B A D i v i d e n d J Ti I, -Putnam International Equity FD CL A B Dividend L T1 2 . - - Op p enhd mc r Glob a l Op p FD SBI B Divid end L T1 3 . - - Mu nd e r Smal l Cap Valu e CL B A Dividend K T1 4 . - - Colu mb ia Mt r s ic o Foc u sed E qu i t i e s FD B A Dividend K T1 5 . --Davis NY Vnmr FD B A Divid end K T1 6 . -Biack~ock Vmlu Opl~n Fund In B ^ Divid,-nd K T1 7 . -Davis N Y V ~ t u r ~ F D A A Dividend K T


5/12

FINANCIAL DISCLOSURE REPORT [ No=, ,o~ . . - .~ .~o ~Page 5 of 1 2 t Va-,r., S,,r-,, s.

~ t ~ 2 / 2 0 t o

NONE (No reportable income, assets, or tran,actions.)A. B. C. D.

D e t e ~ p t ~ o ~ o f A s t e r s Income ~ring Of o ~ va l u e a t e r a ] Trtnvae tMn~ eMrlng t~: f f t ing period

Pta~e "iX)" .tier etch a*~-t .motmtI Type (1.$., {1) (2)C o d e I [ buy, ~] t , ,xmpt f rom i~ tn di~ lo t m- dlv., rnt, Code 2 Method (m rn /dd/yy I C ode ) ~ Co d I bu ycd+elk l(A-PI) ] Ot|~L)( J - P ) . _ + _ _ _ j . _ _ _ [ C o d e 3

1 6 . - .Ma ssachusct ts lnveston Grow~ S~ck FDI A Divide~! K TCL A19 . --ING ]ntc~tatlonal Small Cap A Div|dcnd K

Mulfimmanagcr FD CL A20 . --Bl~;kroek Fundam ental Grow th FD INC ,a A Dividend J21.

: / 2 . . IR ~ # 3 , Mcnill Lynch New Orlc~m:23. --M,m~ll Lynch Retirement Rescr,.,vs / C~h A Divid end J T24 . - oM L B a nk USA Ra ~p A Dividend J T25 . -~Lord Ablx :tt Dcveloplng Grovah FD CL A A Dividend J T26 . -Davis NY V~turc FD A A Dividend J T

27 . --Putnam Intcmatlona l Equity FD CL A A Divid end J T28 . -Columbia M ttrsico Focused Equjt i, .~ FD B A Dividend J T29 .30 . Profit Sharing R~tb~m ent Plan - FidelityInvest. Account3 !. --Low Price Stock K F.q~/A Low Price Stoc~ B Dividend M TFund32. - -Kct Gov~ (Moncy Market Fund) A Dividend L T33. - -O a k m a r k I n t F u n d S o l d 01/30JI)9 L A34 . - -Baron Growth C Dividend N T


6/12

I i :me ~l" I e r~on R eport ia= Ds~ of R~nPage F IN ~ C ~ L 6 of 12 D I SC L O S U ~ ~ P O R T i v.,~,,s,~,~ s, ~ n 2 ~ 0 ~ 0~ N O N E ~ o repo~able income, ~se~, or transa~ionsO

3 5 . -Fid~li~ Gm~ ~mpany K F~IA A Divi~ N TFi~ Gm~ ~mp~ny36 . -Davis ~ V~m~ Y F~IA Da~s NY A Divid e d N TV~ A3 7. --Hair Intllnst B Dividend M T Bu y 01~ L3 S.39 . Cash Managemen~ Acoun l , Mer r il l Lynch :

40 . - .Ca sh / CM A M o n ey F u n d A D~v;dcnd J T4 I. --Ealon V enc Tax O iv Inc. A Dividend J T4 2. --Eaton V ance TX-AD GL Div Global B Dividend J TDividend Inc FD4 3 ,

4 4 . Childs Trusl, Merrill Lynch:4 5 . --Cash / CMA Money Fund A Int~e,st J T4 6. --Columbia Marsico Focused Equities FD B A Dividend J T4 7 . --La~I Abbea De velop ing Growlh Fund CL A Divich:nd J TA4 8 . - Pu m a m I n tc m e tlo n al E q u it y Fu n d CL A A Dividend J T49. -Davis NY Venture FD A A Dividend J T

5 1 . IR R A ~ 4 , R o llo v r M e n il l L y nc h:


7/12

FINANCIAL DISCLOSURE REPORT N.,.~ .rrer,, gq~rt~ng I) . ,e e~ Rep ortPage 7 of 12 va~ ,., s.,,~, s. 5 I I 2 , ~ 0 1 0VI !, IN V E S T M E N T S a n d TRU STS -

NONE (No reportable inaome, assets, or transactions.)A. B. C. D.

D e s c r i p t i o n of A~ I n c o m e dvring Gro~ value ~! end T r a n ~ a c d o ~ during t~xTning period(ineludinz trust assets) r e p o r t i n g p e r i o d

I _5 2. -~h A Di~nd J T

53 . - -R E T I ]h M E N T R E S E R V ~ C L I Sold 05/05/09 J5 4 . -AMEKICAN CENTURY NEW A D i v l d c n d K T B u y ; 0 6 a 3 / 0 9 KOPPORTUN ITIE S II INVE STOK55 . Bu y 0 9tl ~ 0 9 J56 . Bu y 05/0~/09 J(addl)57 . Sold 09118/09 J A( p ~ )58 , - - B R A N D Y W I N E B L U E F U N D Sold 05/05/09 L5 9 . S o l d 06/23/09 L A

6 0 . -JOHN HANCOCK LARGE CAP S o l d 0 5 1 0 5 / 0 9 K AE Q U I T Y F D C L I

61. --L,O~J} ABBETT SMALL CAP VALUE A Dividend K T Sold 09118/09 J AC L A62 . Sold 05/05/09 J A63 . Bu y 06/23109 J64 . - B L A C K .R O C K L A R G E C A P V A L U I ~ F D S old :05/05/09 K AINSTL65 . Bu y 02/22/09 K( a d c r l )6 6 . --M~S P,~SEAK~ IN~. ~.~ CL^SS A S O l d ~ 5 / 0 5 1 0 9 ~ A67 . - C O L U M B I A M A R S IC O G R O W T H F D S old 05/05/09 L A

e L A68 . - TO U C H S T O N E L A R G E C A P G R O W T H Sold 05/05/09 J AFDCLA


8/12

FINANCIAL DISCLOSURE REPORTPage 8 of 12 v . . . , : ~ s . , - . u s . , V l ~ 0 1 o

D N O N E income, assets , or transact ions .)eportable

DescT~ion of A~:t,I I n c o m e d u r in g G r o s s v a l u e a ! e ~ d T~mactionl ~u ri~g t,~:wting period~inc,~ding m~lt a.~ts) r e . p o r t i n g l : m i o d of rq~fing Im~d ....

6 9 . --~O~URG ~A~ONAL S o l d 05/05~9 K AVALUE ~D CL !7 0 . -ARGO ~A~ONAL EQU~ S o l d 05/05/~ K A7 1 , -~N VALUE LARGE CAP VALUE A Dividend K T S o l d ~ / 1 ~ 0 9 S A~D CL ~72 . B u y 05/0~ K73 . Bu y 06/23/09 K7 4 . - H A R T F O R D C A P [ rA L A Divkknd L T B w y 05/0.5/09 L7 , 5 . Bu y 06/23/09 J

76 . Sold 0 9/18 /09 J 1 377 . Sold I I/05/09 J B

78 . --HENDERSON INTER.hlATIONAL A Dividend L T Bu y 09/lg/09 J7 9. Buy 05/0;5/09 Kg0 . Sold 06/23/09 .] A81 . Bu y 1 1 / 0 6 / 0 9 J82 . - ]A /q U S F O R U /E U N D CL ] A Dividend L T Sold 09118/09 J A83 . Bu y O5/05/09 L84 . Bu y 06F23109 J85 . Sold 11/05/09


9/12

FINANCIAL DISCLOSURE REPORTPage 9 of 1 2 v..~ Sarth s. 5112/2010V I I . I N V E S T M E N T S a n d T R U S T S - ~ . - , , ,, , . . , . ~ . , . ~ , , ~ , , n , , , , a , , a , , d , . . , , , o , , , o . r ~ , , ,, , t , u . , , ,, , , u , , , a , i , v , . , ,, ; , , , ~. .~ . , . .~ , . f . a , , , ~ ~ , . t , - , ~ , . , , . ,. ~ -

NONE (No reportable income, assets, or transactions,)B. I C.

l k r , c r i p l io n o f A s s e t s In.me during t Gro~ valo it en d T r ~ n s ~ ti o n s d u ~ n ~ rup~rling pmiod( i n c l u d i n $ t r u s t e ~ s e t s } trporting period l, o f t~ : ~ p o ~ J n g p e ~ o d

86 . - -/ E N N I S O N M D C A P A Dividend K T S o l d 09118/09 J A(,art)87 . Bu y 06r23/09 J

88 . Bu y 05/05/09 J

8 9. --LAZARD EM ERG IN G M KTS B Divid end K T B u y 09!18/09 K90 . Bu y 11/6/09 J

91. - L O R D A B B E T T S M A L L C A P A Dividend K T S old 09118/09 J A92 . Sold 0 5 1 0 5 1 0 9 J A93 . B u y 06/23/09 J

94 . - M A I N S T A Y L A R G E C A P A Dividend L T Bu y 09118/09 J

95 . Buy 09/18/09 K96 . Bu y 05/05/09 K97 . S old 0911 ~09 J B98 . So ld I i/~)/09 J A

99 , --MFS VALUE FD ~ I A Div idend K T B u y 09/18/09! J1 0 0 . So ld 06/23/09 J A

I 0 I. Buy 0 5 / 0 5 1 0 9 K

1 0 2 . --NUVEEN TRDWD INTERNATIONAL A D i v i d e n d K T Bu y 0 9 1 1


10/12

FINANCIA L DISCLOSURE REPORTPage l0 of 12

[ v.a~ Sarah S. [5/12~010

~ N O ~ ~ o reportable income. ~set#, or tra~actio~.)

/:104. B u y 0~/23/09 J

t 0 ~ . S o l d !1 0 6 . - -V I C T O R Y D ] V F . R S I F F E D A Dividend K T B u y 11/05/091 0 7 . - -H A K B O R IN TERN A TIO N A L F U N D B uy 0 5 / 0 5 1 0 9 KINVESTOR C L1 0 8 . S o l d 0 5 / 2 3 / 0 9 K ;: A1 0 9 ,

1 1 0 . Checking and Mo ney Market Acco,~t~, J.P, B I n t e r e s t K TM o r g a nIII,

1 2 . J .P. Mocgan Securi t ies Co~orat ion, F/K/AB a n k O ~eI 3. -JP Mocgan Tax Frc~ Money Markcl, A Dividend J T

1 4 . -- F/K/A Daily T~,x Exempt Money FD SHBe n1 5 , - JP M o r g ~ T r e a s u r y P lu s M o n e y (Y ) A Dividend J T

116, - F /K /A Dai ly Tax E xemp t Money FD SHBen Int1 1 7 .

Judi c i a l & Justice Federa l Credi t Union (X) A Inte~st K T


11/12

FINANCIA L DISCLOSURE REPORTP ag e 11 o f 12VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


12/12

FINANCIAL DISCLOSURE REPORTPage 12 of 12 V a n e e , S a r a h S . 5/12/2010

IX. CERTIFICATION.! ce r lH y th at a ll Informat ion g iven abo ve ( inc luding informat ion p e r ta ining to my spo use an d minor or de pen dent ch i ldren , i f any) I saccura t e , t rue , and comple t e t o th e b es t of my k now ledge and be l ie f , and th at say informat ion no t repor~ J was wi th h eld because J t met appl icable s t a tLI tor~ ,

p rovis ions pe rmi t t fng non-dbclosnrc .! fu r th e r ce r t ify th at earned incom e f rom ou t s ide employm ent and h ono rar ia and th e accep tance of gff t~ wh kh h ave been repo r t ed arc inc omp l ianc e w i th t he p rovi s ions o f 5 U , . q . C . ap p . 50 1 eL seq . , $ U. S ,C. 7 3~ 13 , and J u d icia l Conf e renc e r e ~ u la t ioz s ,

N O TE : A N Y I N DI V I DU A L W H O KN O W I N G L Y A N D W I L lfU L L Y F A L S IF I E S O R F A I L S TO F I LE TH I S R E P O R T M A Y B E S U B J E CT TO CI V I LAND CP.JM]NAL SANCTIONS (5 U.S .C. app . 104)

FILING INSTRUCTIONSM ail signed original and 3 additional copies ~:

Comm ittee on Financial Disclosur eAdm inistrative Office of the United States CourtsSuite 2-301One Columb us Circle, N.E.W a s h in g ~ D n , D . C . 2 0 5 4 4

sarah s vance financial disclosure report for 2009

Documents