ellen b burns financial disclosure report for 2010

8/3/2019 Ellen B Burns Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/ellen-b-burns-financial-disclosure-report-for-2010 1/18

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0

Report Required by the Ethics

in Government Act of 1978

(5 U.S.C. app. §§ 101-111)

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

B U R N S , E L L E N B .

4. Title (Article Il l judges indicate active or senior status;

magis t ra te judges indicate fu l l - or par t - t ime)

S E N I O R J U D G E

7 . C ha m be r s o r O f f ic e A d d r e s s

U N I T E D S T A T E S C O U R T H O U S E1 4 1 C H U R C H S T R E E T

N E W H A V E N , C T 0 6 5 10

2. Court or Organization

U.S . D IS TRICT CO URT, CT

3. Date of Repor t

5/12/2011

5a . Report Type (check appropria te type )

] Nominat ion, D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the basis o f the in fo rma tion con ta ined in th is R eport and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in com pliance

with appl icable l aws and regula t ions .

6. Report ing Pe riod

01/01/2010

to

12/31/2010

R e v ie w i n g O f f i c e r D a t e

IMPORTANT NOTES: The instructions accompanying this form must be followe~L Complete all parts,

checking the NONE box for each part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . (Report ing individual only; seepp. 9-1 3 of f!ling instructions.)

D (No reportable positions.)O N E

P O S I T I O N

1. T r us t ee E m er i t a

NAME OF ORGANIZATION/ENTITY

Alber tus M agnus Col lege

3.

4.

5.

I I . A G R E E M E N T S . ~ ’ R e ~ ,o r t i n g i n d i v ~ d n a l o , t y ; s c e p p . 1 4 - 1 6 of filing instructions.)

~ NONE(N o reportable agreements.)

DATE PARTIES AND TERMS




of 9

N a m e o f P e r so n R e p o r t i n g

B U R N S , EL L E N B .

Date of Report

5/12/2011

III. N O N - I N V E S T M E N T IN C O M E . (Reporting individual and sp .... ; see pp. 17-24 of filing instructions.)

A. Filer’s Non-lnvestment Income

~ (No reporta ble incom e.)ONE non- inves tment

DATE SOURCE AND TYPE INCOME

( y o u r s , n o t s p o u s e ’ s )

I. 2010 S ta t e o f Connec t i cu t pens ion $62,435.40

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e st m e n t I n c o m e - l f you were m arried during any portion of the reporting year, complete this section.

(Dollar am ount not required except for honoraria.)

~ NONE (No reportable non-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 offiling instructions.)

~-] NONE (No reportable reimbursements.)

2.

3.

4.

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED




of 9



Date o f Report

5/12/2011

V . G I F T S . a n c l u d e s t h o s e t o s p o . . . .. d dependent children; see p p . 2 8 - 3 1 of filing instructions.)

N O N E (No reportab le gifts.)

SOUR C E

1 .

2.

3.

4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n c lu d e s t h o s e o : s p o u s e u , d d e ~ , e n d e n t children; see p p . 3 2 - 3 3 of filing instructions.)

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

1.

2.

3.

4.

5.

VALUECODE




of 9


BURNS, ELLEN B.

D a t e o f R e p o r t

5/12/201 1

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 , lu e , tr , n s o c t io n s a n c l u d e s t h o s e o I , p o u ~ e , n d dependent children; see p p . 3 4 - 6 0 of f!ling instructions.)

~ NONE income, or transactions.)eportable assets,

A.B. C.

D e s c r i p t i o n o f A s s e t s Income dur ing G r o s s v a l u e a t e n d

( i n c l u d i n g t r u s t a s s e t s ) r e po rt i n g p er i o d o f r e p o rt i n g p er i o d

(1) (2) (1 ) ( 2 ) (1 ) (2) (3 )

Place " (X)" after each asset A m o u n t T y p e ( e . g ., Value V alue T y p e ( e . g ., D a t e . . Value

exempt from prior disc losure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d buy, sell , m m / d d ! y y Code 2

( A - H ) or i nL ) ( J - P ) C o d e 3 r e d e m p t i g n ) (J-P)

( Q - W )

1 . Webs te r Bank B Interest L T

2. M e r r il l L y n c h m o n e y m a r k e t a c co u n t A Interest K T

3. Ver i z on s tock (abs orbed Be l l S outh s tock ) A D i v i d e n d K T

4. A T & T s t ock A D i v i d e n d L T

5. V a n K a m p e n F u n d A D i v i d e n d J T

6. U.S. Ser ies E Bo n d s N o n e L T

7. N u v e e n C o n n . P r e m i u m I n c . M u n i c i p a l A Interest K T

Fund

8. D r e y f u s C o n n . M u n i c i p a l m o n e y m a r k e t A Interest K T

Fund

9. C o n n . S t a t e H o u s i n g F i n a n c e B o n d A Interest K T

I0 . N u v e e n L a r g e C a p V a l u e F u n d A A Interest K T

1 1 . R i d g e f i e l d C T L O T A B o n d A Interest J T

1 2 . U n i v . C T S e r i e s A B o n d A Interest J T

1 3 . El i Li l ly s tock A D i v i d e n d J T

1 4 . S p r i n t N e x t e l C o m m u n i c a ti o n s t o c k A D i v i d e n d J T

1 5 . Dre yfus Shor t I n t . Gov t . Fund A D i v i d e n d J T

1 6 .I BM s t ock A

D i v i d e n d K T

1 7 . Alca te l Lucent A D i v i d e n d J T

(~ (5 )

G ain Id entity of

Code 1 buyer/ se l le r

(A-H) (if private

transaction)

1. Income Gain Codes :

(Se e Co lun ms BI a n d I )4)

2.Value Codes

( S e e C o l u m n s C I a n d D 3 )

3. Value M eth od Codes

( S ee Column C2 )

A =$I ,0 0 0 or l es s B =$1,001 - $2,500

F =$50,001 - $100,000 G =$100,001 - $1,000,000

J =$15,000 or tess K =$15,001 - $50,000

N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,000

Q = Ap p r a i sa l R =Cos t ( R eal E s t a t e Only )

U =B ook Value V =Oth er

C =$2,501 - $5,000

H I =$1,000,001 - $5,000,000

L =$50,001 - $100,000

P 1 =$1,000~001 - $5,000,000

P4 =More than $50,000;000

S =A s s es s ment

W =E s t imated

D = $ 5 ; 0 0 1 - $ 1 5 , 0 0 0 E = $ 1 S , 0 0 1 - $ 5 0 , 0 0 0

H2~M6~eth~n$5,000~000

M ~ *i00 i001 : $ 250 ,000

~ 2 = $ 5 ~ o 0 0 ; 0 0 1 - $ ? 5 ,0 0 0 , 0 0 o

T ~ C a S h M a r k e t




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N a m e o f P e r s o n R e p o r t in g



5/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S -i . . . . e , value, t .... actions (Includes those of sp ...... d dependent children; seepp. 34-60 o:filing instructions.)

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

D e s c r i p t i o n o f A s s e t s

( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" after each asset

exempt f rom pr ior d isc losure

B. C. D.

Income dur ing Gross va lue a t end Transac t ions dur ing rep0r t ing per iod

reporting period of repor t ing per iod

(1 ) (2 ) (1) (2) (1) (2) (3) I (4) (5 )

A m o u n t Type (e.g. , V alue V alU e Type (e.g.; Date Value Gain Identity of

C ode 1 div. , rent, Code 2 MethOd : buy, sell; ngn /dd /yy C o d e 2 ’ C o d e 1 buyer/Seller

(A-H) o r i n t . ) ( J - P ) C o d ~ 3 redempt ion) : ( J - P ) (A-H) ( i f p r i v a t e

(Q-W) transaction)

1 8 . M at te l , Inc . s tock A D i v i d e n d J T

1 9 . Pfizer, Inc. s tock A D i v i d e n d J T

20 . S ara Lee Corp . s t ock A Dividend J T

21 . Vodaphone Ai r Touch s tock A D i v i d e n d J T

22 . Conn. S ta t e S e r i e s F Bond A Interest K T

23 . C T H E F A R e v . F a i r fi e ld B o n d A Interest J T

24 . S o . C e n t r a l C o n n . R e g i o n a l W a t e r A u t h o r i t yB o n d

N o n e J T

25 . U n i t e d I l lu m i n a t i n g H o l d i n g s C o r p . A D i v i d e n d J T

26 . Hart fo rd F in an c ia l Serv ices A D i v i d e n d J T

27 . C o n n . S T S e r i e s B B o n d A Interest J T

28 . C o n n . S T . S P L T a x O b l . B o n d A Interest K T

29 . K r af t F oods s t oc k A D i v i d e n d J T

30 . N o v a r t is A g . S p o n A D R A D i v i d e n d J T

31 . B a n k o f A m e r i c a ( fo r m e r l y M B N A A m e r i c a C Interest L T

B a n k C D )

32 . A I G A m e r i c a C l a s s ic V a n u i t y N o n e J T

33 . Com cas t Corp . s tock N o n e J

34 . C o n n . S t a t e H o u s i n g F i n a n c e B o n d A Interest K T

1. Income Gain Codes :

( S e e C o l u m n s B I a n d D 4 )

2.Value Codes



( S ee Column C2 )

A =$L 0 0 0 or l es s

F =$50,001 - $100,000

J =$15,000 or less

N =$250,00I - $500,000

P3 =$25,000,001 - $50,000,000

Q = Ap p r a i sa l

U =B ook Value

~ = $ 1 , o o i

G=$100, 00i -$ i , 000, 000

K=$15 ,0 0 1 - $5 0 ,0 0 0

O=$500,001 -$1,000,000

R =Cos t ( R eal E s t a t e Only )

V =Oth er

C =$21501 ;$5,000 D =$5,001 - $15,000

H 1 = $ i ; 0 0 0 ; 0 0 1 ~ $ 5 ; 0 0 0 i 0 0 0 H2 =More than $5;000,000

L =$50;001 ~$100 000 M ~$100,001 ~ $950;000

PI =$1,000,001.$5;1300,000 P2 =$5;0~0,~01 .$25,000,000

P4 =M ore than $50,000,000

S =A s s es s ment T = C a s h M a r k e t

W =E s t imated

E =$15,001- $50,000




of 9



Date of Report

5/12/2011

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


D e s c r i p t i o n o f A s s e t s

( i n c l u d i n g t r u s t a s s e t s )

B. ::~

C. D.

Income during G r o s s v a I u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

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 )

Place "(X)" after each asset A m o u n t Type (e.g. , Va l u e Value ¯ Type (e.g. , D a t e Va l u e Gain Identity of

exemp t f rom pr ior d isc losure C ode 1 div.. rent, C od e 2 M ethod buy, se l l , m m / d d / y y C o d e 2 Code 1 buyer/se l le r

(A-H) O r i n t3 ( J -P ) Co de 3 redenip tio n) (J -P) (A-H) (if private

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

35 . C o n n . S t a t e S e r i e s D B o n d B Interest K T

36 . C o n n . S t a t e S e r i e s D B o n d A Interest J T

37 . P eople ’ s Bank C Interest J T

38 . J o h n H a n c o c k T a x A D V A T G F u n d A Interest J T

39 . M FS In t e rna t iona l New D is cove ry FD A D i v i d e n d J T

4 0. P r o c t e r & G a m b l e s to c k A D i v i d e n d J T

41 . T o r r i n g to n C o n n . B o n d A Interest K T

42 . S e y m o u r C o n n . B o n d A Interest J T

43 . G las tonbury Conn. Bond A Interest K T

44 . E m b a r q C o r p . A D i v i d e n d J T

45 . L SI C o rp . N o n e J T

46 . Conn. S T.H ea l th Bond A Interest J T

47 . J P M o r g a n I n t ’l A Interest J T

48 . C o n n . S T . O l D S E R C E Interest K T

49 . Conn. S T: S P L O BLIG B Interest K T

50 . D r e y f u s P e m . S ta t e M u n . B o n d F D C T S e r A Interest J T

C LA

51 . T r u m b u l l C T B o n d A Interest J T

1. l ncome Gain Codes :

( S e e C o l u m n s B I a n d D 4 )

2 . Value Codes



( S ee Column C2 )

A =$1;000 0~ less B =$1;00t - $2,500

F =$50,001 - $100,000 O =$100,001- $1,000,000

J =$15,000 or less K =$15;001 - $50~000

N =$250,001 - $500,000 O =$500,001 - $1;000,000

P3 =$25,000,001 - $50,000,000

Q = Ap p r a i sa l R =Cos t ( R eal E s t a t e Only )

U =B ook Value V =Oth er

C =$2,501 - $ 5,000

H 1 = $ 1 , 0 0 0 ~ 0 0 1 = $ 5 1 0 0 0 1 0 0 0

=$50,001 - $]00,000

l =$ ~ ,000,001 - $5,000;000

P4 =Mo re than $50,000,000

--Assessm en t

W =E s t imated

D =$5,001 - $15,000

H2 =More than $5,000,000

M =$ 100,001 - $250,000

P2 =$5,000,001 - $25,000,000

T = C a s h M a r k e t

E =$15,001 - $50,000




of 9

N a m e o f P e r s o n R e p o r t i n g

BURNS, ELLEN B.


5/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of sp ...... d depe ndent children; see pp. 34-60 of f!ling instructions.)

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

A. B. C,

D e s c r i p t i o n . o f A s s e t s In co m e d u r in g G ro s s v a lu e a t e n 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)

Place "(X)" after each asset A m o u n t Type (e.g., Value Value

exempt from prior disclosure ........Code l d iv .. r e n t . C o d e 2 M e t h o d

( A - H ) : or i n t , ) 0-P)

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(!) (2) (3) ’ (4) (5 )

Type (e.g. , Date Va l u e Gain I d e n t i . t y o f

buy, se l l , m m /d d/y y C od e 2 Code 1 buyer/ se l le r

Code 3 redem ption) (J-P) (A-H) (if private

(Q-W) transaction)

5 2. B la ck R oc k G lo ba l Fu n d A

5 3. Time Warner A

5 4. Frontier Communicat ions A

5 5 .

I n t e r e s t

Dividend

Div idend

K

J

J

T

T

T S p i n o f f

( f r o m l i n e 3 )

07/06/10 K

]0 conte Gan Codes A --$1~000 or less B =$1, 00! . $2 ~500: :

( 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

2 . Value Codes J =$15i000 o r less K =$15,001 - $50,000

(Se e C olum ns C I a nd D 3) N =$250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003 . Value M eth od Codes Q = Ap p r a i sa l R =Cos t ( R eal E s t a t e Only )

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

C =$2,501 - $ 5,000

H 1 -$1 i000,001 - $5,000,000

L =$50,001 - $100,000

P I =$1,000,001 - $5,000,000

P4 =More than $50,000,000

S =A s s es s ment

W =E s t imated

=$5,001- $15,000

H2 =More than $5,000,000

M =$10 0 ,0 01- $2 5 0 ,0 00

P2 =$5,000,001- $25,000,000

=Cas h M ar k c t

E =$15,001- $50,000




of 9

Name of Person Report ing


Date of Repor t

5/12/2011

V I II . A D D I T IO N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicatepart of report.)




of 9

Name of P e r son Repo r t ing


Date o f Report

5/12/2011

IX. CERTIFICATION.

1 c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .

I f u r t he r c e r t if y t h a t e a rn e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i n

c o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q . , 5 U . S .C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/ELLEN B. BURNS

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . § 10 4 )

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544



Rev 1/2011

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethics

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

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


4. Ti t le (Art ic le 111 judges ind ica te ac t ive o r s en io r s ta tus;

magis t ra te judges indicate fu l l - or par t - t ime)

S E N I O R J U D G E

7. Chambers or Off ice Address

U N I T E D S T A T E S C O U R T H O U S E1 4 1 C H U R C H S T R E E TN E W H A V E N , C T 0 6 5 1 0

2. Court or Organization

U . S . D I S T R I C T C O U R T , C T

3. D a t e o f R e p o r t

8 /221201 l

5a . Report Type (check ap propria te type )

] Nominat ion, D a t e

[] Initial [] Annual[] Final

5b. [] Amended Report

8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in compliance

with appl i cab le l aws and regula t ions .

Reviewing Off icer Date

6. Report ing Pe riod

01 /01 /2 01 0

to

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,

check ing the NONE box for each par t where you have n o repor table information. S ign on las t page.

I . P O S I T I O N S . ( R e p o r t i n g in div idual on l y ; se e pp . 9 -13 o f f i l in g in s truc t ion s . )

~] N O N E (No reportable positions.)

P O S I T I O N

1 . T rus t ee Emer i t a

2.

3.

4.

5.

N A M E O F O R G A N I Z A T IO N / E N T IT Y

A l b e r t u s M a g n u s C o l le g e

II. AGREEMENTS. m e ~ , o n i n g i n d l v ld u a l o , l y ; se e ~ , ~ ,. 1 4 - 1 6 of filing instructions.)

~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS




Page 2 of 9


BURNS, ELLEN B.


8 /2212011

I ll . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of j~ding instructions.)

A. Filer’s Non-Investment Income

~ (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE INCOM E( y o u r s , n o t s p o u s e ’ s )

1. 2010 State of Conn ecticut p ension $62,435.40

2.

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 c o m e - if you were married during anyportion of the reporting year, complete this section.

( D o l la r a m o u n t n o t required except for honoraria.)

N O N E (N o reportable non-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 -- tra.sportation, lodging, food, e n t e r t a i n m e n t .

( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t children; see pp. 25-2 7 of fil ing instructions.)

[~] N O N E (No reportable reimbursements.)

2.

3.

4,

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED




Page 3 of 9




8/2212011

V . G I F T S . a n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t children; see p p . 2 8 - 3 1 of filing instructions.)

N O N E (No reportable gifts.)

SOURCE

1 .

2.

3.

4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T IE S . a n d u d e s those of spouse and dependent children; seevv. 32-33 of f il ing instructions. )

N O N E ( N o reportable liabilit ies.)

CREDITOR DESCRIPTION

1 .

2.

3.

4.

5.

VALUE CODE




Page 4 of 9




8 /2 2 /2 011

V I I . IN V E S T M E N T S a n d T R U S T S - income~ value, transactions (Includes those of sp ..... and de penden t chi ldren; see p p. 34-60 o f f! l ing ins t ruct ions .)

N ON E (N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s

( i n c l u d i n g t r u s t a s s e ts )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

B. C. D.

Income dur ing Gross va lue a t end Transac t ons dur ing repor t ing per iod

reporting period of reporting period

(1 ) (2 ) (1) (2) (1 ) 12) (3) I (4) (5)

A m o u n t T y p e ( e . g ., V a l u e Va l ue T y p e ( e . g .~ D a t e Va l ue Gain Identity of

Code 1 div., re in , C o de 2 Method b u y , s e l , m m /d d/y y C od e 2 C o d e 1 buyer /se l l e r

(A-H) o r i n t . ) ( J - P ) C o d e 3 redempt ion) (J-P) ( A - H ) (if private

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

1 . W e b s t e r B a n k B Interest L T

2. M e r r i ll L y n c h m o n e y m a r k e t a c c o u n t A Interest K T

3. Ver i z on s tock (abs orbed B e l l Sou th s tock ) A D i v i d e n d K T

4. A T & T s t o ck A D i v i d e n d L T

5. V a n K a m p e n F u n d A D i v i d e n d J T

6. U .S . Ser ies E Bo n d s N o n e L T

N u v e e n C o n n . P r e m i u m I n c . M u n i c i p a l

Fund

D r e y f u s C o n n . M u n i c ip a l m o n e y m a r k e tFund

C o n n . S t a t e H o u s i n g F i n a n c e B o n d

A

A

A

Interest K T

Interest K T

Interest K T

1 0 . N u v e e n L a r g e C a p V a l u e F u n d A A Interest K T

I 1 . R i d g e f i e l d C T L O T A B o n d A Interest J T

1 2 . U n i v . C T S e r i e s A B o n d A Interest J T

1 3 . E l i L i l l y s t o c k A D i v i d e n d J T

1 4 . S p r i n t N e x t e l C o m m u n i c a t io n s t o c k A D i v i d e n d J T

15 ; Dre yfus Sho r t I n t . Govt . Fund A D i v i d e n d J T

1 6 . I B M s t o c k A D i v i d e n d K T

1 7 . A l c a t e l L u c e n t A D i v i d e n d J T

i in co m e G a in C o d e si A = $1 ,000 0r !ess

(Se e C o lun ms BI a n d I )4 ) F =$50,001 - $100,000

2 . V alu e C o d es J = $1 5,000 or le ss

( Se e C o lu mn s C 1 an d D 3) N =$ 250,0 01 - $ 500,0 00

P3 =$25,000,001 - $50,000,000

3 . Valu e Meth od Codes Q =A p p r a i sa l

( S e e C o l u m n C 2 ) U = Book Valu e

B= $ 1,0 0 1- $ 2 ,5 0 0

G =$100,001- $1,000,000

K =$15,001- $50,000

O -$500,001- $I ,000,000

R - Cos t ( R eal Es t a t e Only )

V - O t h e r

C = $ 2 ,5 0 1- $ 5 ,0 0 0

H 1 =$1,000,001- $5,000.000

L =$50,001- $I00.000

PI =$1 ,000,001 - $5,000,000

P4 =Mo re than $50,000,000

S = As s es s mc nt

W = E s t i m a t c d

D =$5,001 - $15,000

H2 =More than $5,000,000

M =$ 100,001 - $250;000

P2 =$5,000,001 - $25;000,000


E =$15,001- $50,000




Page 5 of 9


BURNS, ELLEN B.


8 / 2 2 / 2 0 1 1

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 a,d dependent children; see pp. 34-60 of filing instructions.)


D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

(1 ) (2 )

Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosureC o d e 1 div . . r e nt ,

( A - H } o r i n t . )

G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

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

(1) (2) (1 ) (2) (3) ’ (4) (5 )

V a lu e V a lu e Type (e.g., D a t e Value G a i n I d e n t i t y o f

C o d e 2 M e t h o d buy , s e l l , mm/dd/yy C o d e 2 C o d e 1 b u y e r / s e l l e r

(I-P) C o d e 3 r e d e m p t i o n ) ( J- P ) (A - H ) ( i f pr iva t e

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

1 8 . M attel, Inc. s tock A Dividend

1 9 . Pfizer, Inc. stock A Dividend

20 . Sara Lee Corp. stock A Dividend

2 1. V o d ap h on e A ir To u ch s to ck A Dividend

22 . Conn. State Series F Bond A I n t e r e s t

J T

J T

J T

J T

K T

2 3 . CT HEFA Rev. Fa ir fi el d Bon d A I n t e r e s t J T

2 4 .

25 .

2 6.

So. Central Conn. Regional W ater Authority

Bond

N o n e J T

United Illuminating Holdings Corp. A D i v i d e n d J T

Hartford Financial Services A D i v i d e n d J T

2 7. C o n n . S T S e r ie s B B o n d A In teres t J T

2 8 . C o n n . S T . S P L T a x O b l . B o n d A In te re st K T

29 . K ra f t Foods s t ock A D i v i d e n d J T

30 . Novar t i s Ag. Spon AD R A D i v i d e n d J T

31 . B a n k o f A m e r i c a ( fo r m e r l y M B N A A m e r i c a C Interest L T

B a n k C D )

32 . A I G A m e r i c a C l a s s i c V a n u i t y N o n e J T

33 . C omcas t C orp . s t ock N o n e J T

34 . C o n n . S t a te H o u s i n g F i n a n c e B o n d A Interest K T

I . Inc ome Gain C odes : A =$1i000 or less B =$ 1,001 - $2 ,500 C = $ 2 ,501 - $5,000

(See C olum ns B 1 and D4 ) F = $50,001 - $100,000 G = $100,001 - $1 .000,000 H 1 =$ 1,000,001 - $5,000i000

2 . Valu e Codes J =$15,000 or less K =$15.001 - $50.000 L =$50,001 - $100;000

( See Colu mns C 1 and D3) N =$2 50,001 - $500,000 O =$500,001 - $ 1 ,000,000 P 1 =$1,000,001 , $5,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50~000,000

3 . Valu e Meth od Codes Q =A p p r a i sa l R = Co s t ( R eal Es t a t e Only ) S = As s es s ment

(Se e C o lu m n C 2 ) U = B oo k V alue V = O th er W = Estim ated

D =$5 ,001 - $1 5 ,000

H2 =Mo r e t h h n $5 , 000~ 000

M=$100,001 - $250;000

P2 = $5,000,001 -$25,000,000


E =$15,001- $50,000




Page 6 of 9


BURNS, ELLEN B.

Date of Report

8 / 2 2 / 2 0 1 1

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


A.D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d "

(1 ) (2) (1) (2) (1 ) (2) (3)

Place "(X)" after each assel Amount Type (e.g., Value V a l u e Type (e.g., D a te Value

exempt from prior disclosure Code I div . , r e nt , C o d e 2 M e t h o d buy, sell, m m /d d/y y C o de 2

( A - H ) or in t .~ (J-P) C o d e 3 redemption) (J-P)

( Q - W )

G ro ss value a t e n d T ran saction s d urin g repo rting perio d

(4 ) (5 )

Gain Identity of

C o d e I buyer/se l le r

(A-H) ( i f p r i v a t e

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

35 . Conn. State Series D Bond B I n t e r e s t K T

36 . Conn. State Series D Bond A I n t e r e s t J T

37 . People’s Bank C I n t e r e s t J T

3 8 . J o h n H a n c o c k T a x A D V A T G F u n d A Interest J T

39 . M FS International New Discovery FD A Dividend J T

4 0. P r o c t e r & G a m b l e s t o c k A D iv idend J T

41 . Torrington Conn. Bond A I n t e r e s t K T

42 . Seymour Conn. Bond A I n t e r e s t J T

43 . Glastonbury Conn. Bond A I n t e r e s t K T

44 . E m b a r q C o r p . A D iv idend J T

45 . L S 1 C o rp . N o n e J T

46 . Conn. ST.Health Bond A I n t e r e s t J T

47 . Conn . ST. DID SER C E I n t e r e s t K T

48 . C o n n . S T . S P L O B L I G B In te re st K T

49 . D r e y f u s P e r n . S t a te M u n . B o n d F D C T S e r A I n t e r e s t J T

C L A

50 . T r u m b u l l C T B o n d A Interest J T

51. Black Rock Globa! Fund A In te re st K K

1 . l n co m c Ga i n C o d es : A - $ 1 ,~0 0 or t es s B =$1,0~)1 - $2,500 C =$2 ,501 - $5,000 D =$5,001 - $1 5,000

( See Colu mns B 1 and D4 ) F =$50,001 - $ 100,000 G =$ i 00,001 - $1 ;000,000 H 1 = $1,000,001 - $5,000;000 H2 -More than $5;000,000

2 . Va lu e C od es J = $15,000 or less K =$15,001 - $50,000 L =$50,001 - $ 100,000 M =$ 100,001 - $250,000

( Sec Colu mns C 1 and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1,000,00] - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 -$25,000,001 - $50,000,000 P4 =More than $50,000,000

3 . Valu e Meth od Codes Q =A p p r a i sa l R = C os t ( R eal Es t a t e Only ) S = As s es s ment T = C a s h M a r k e t

(See C o lu m n C 2) U = B oo k V alue V = O t h e r W = Es t imated

E =$15,001 - $50,000




Page 7 of 9


BURNS, ELLEN B.


8/22/2011

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.)


A. B. C. D.

Description of Assets Income dur ing G ro ss value a t en d T ran sactio ns durin g rep orting p eriod

( inc luding t rus t asse ts ) reporting pe riod of reporting period

(1) (2) (l) (2) (1 ) ( 2 ) . . . . . . . . . . . . (3 )

A m o u n t Type (e.g., V a lu e V alue Type (e.g., D a t e =:=== V a l u e

C o d e 1 div., rent, C o d e 2 Method b uy , s e 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 redem ption) (J-P)

( Q - W )

Place "(X)" after each asset

exempt f rom pr ior d isc losu re

( 4 ) o)

Gain ¯ " l d e n t i~ o ~

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

( A - H ) ( i f p r i v a t e

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

52 . Time W arner (formerly AOL

53 . Frontier Communications

5 4 . P eop le s Un i t ed F inanc ial , In c .

A

A

C

Dividend J T

Dividend J T

I n t e r e s t J T

Spinoff

( f r o m l i n e 3 )07/06/10 K

I. I nc ome Gain Codes :

( See Colu mns B 1 and D4 )

2.Valu e Codes


3. Valu e Meth od Codes

( S e e C o l u m n C 2 )

A =$1 , 000 o r l e ss

F =$50,001 - $100,000

J =$15,000 or less

N =$250,001 - $500,000

P3 =$2 5,000,001 - $50,000,000

Q =A p p r a i sa l

U = Book Valu e

=$1 , 001 - $2 , 500

=$ 100,001 - $1,000,000

=$15,001 - $50,000

=$500,001 - $1,000,000

=C o s t ( Rea l E s t a t e On l y)

- O t h e r

C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000

HI =$1,000,001 ~ $5,000,000 --M0r~ tha~ $~,0001000

L =$50,001- $100,000 M- - $ i0 0 i0 0i ~ $ 25 0 ;0 0 0

P~ =$1,ooo,001 ~ $5;000,o00~ ~ $ ~ i ~ o O ; o O l - ~ i0 o o ; o o oP4 =More than $50,000,000

S = As s es s ment T - - C a s h M a r k e t

w = Es t imated




Page 8 of 9

Name o f Pe rson Report ing



8/22/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepart of report.)

L i n e N u m b e r 5 1 B l a c k R o c k G l o b a l F u n d C o l u m n D 2 w a s b o u g h t J a n u a r y 3 0 , 2 0 0 8 , n o t in t h e R e p o r t i n g P e r i o d .




Page 9 of 9



Date of Report

8/22/2011

IX . CERTIFICATION.

I cert i fy that al l informat ion given above (inc lud ing informat ion pertain ing to my sp ouse and min or or dependent ch i ldren, i f any) i s

accurate, true, and com plete to the bes t of m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y information not reported was withh eld because i t met applicable statutoryprovis ions permitt ing non-disclosure.

1 further cert ify that earned in com e from outsid e em ploym ent and honoraria and the acceptance of gifts which have been reported are incomp liance w ith the p rovisions of 5 U.S.C. app. § 5 01 et . seq. , 5 U.S.C. § 7353, and Judic ial Conference regulat ions.

Signatu re: S/ELLEN B. BURNS

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . § 1 0 4 )

Comm ittee on Financial DisclosureAdm inist rative Office of the United States Court s

Suite 2-301

One Colum bu s Circle, N.E.W ashin gton, D.C. 20544

ellen b burns financial disclosure report for 2010

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