paul l friedman financial disclosure report for 2009

8/3/2019 Paul L Friedman Financial Disclosure Report for 2009

1/18

t R n i tt d ~ t ~ t t s : D i ~ t -r i { t ( ~ o u r tf o r t h t ~ D i e t r i~ t o f g o l u m b i o

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~nitcd ,~mt~ ~i~tn{t 3uflgt August 13.2010

The Honorable Bobby R. BaldockChairJudicial ContErence of the United StatesCommi~ee on Financial DisclosureOne Columbus Circle, N.E.Washington, D.C. 20544Dear Judge Baldock:

In response to your July 22, 2010 leRer to me regarding your desire for ~herinfo~ation on why H~bor Capital Appreciation Instl was listed in Pa~ VII, page 6, line 39 andpage 7, line 65 in my 2008 Financial Disclosure Repo~ (dated May 15, 2009) but not in my 2009FinanciM Disclosure Report (dated May 14, 2010), please be advised of the tbllowing:

~. I-I~bor Capital Appreciation Instl was listed in P~ VII, page 6, line 37 ~dpage 7, line 67 of my 2007 Fin~cial Disclosure Repo~ (dated May 15, 2008). In both lines, thepositions were reposed in Column D (Transactions) as sold on June 7, 2007.

2. As you noted in your July 22, 2010 leRer Harbor Capital Appreciation waslisted in my 2008 Repo~ (with no Colum B, C or D Income, Value or Transactions intb~ation)but was not listed in my 2009 Report. ~ explanation (that the positions were sold on June 7,2007 and thus were no longer reportable) should have been provided in my 2008 Report (datedMay 15, 2009) under "Pa~ VII Additional Information or Explanations" but was inadvertentlyomitted;

c o n t r o l o r f i n a n c i a l i n t r e s t h a s o m + d H a r b o r C a p i t a l A p p r e c i a t i o n I n s t ] + i n c ~ J u n 7, 2 0 0 7s a l o f H a r b o r C a p i t a l A p p r e c i a t i o n I n s t I w a s r + p o ~ e d i n m y 2 0 0 ? R p o M ( d a t e d M a y 1 5 , 2 0 0 8 ) .

H o p e ~ I I y t h e a b o v ~ i n f o r m a t i o n a d d r e s s e s t h t s s u y o u n o t e d i n y o u r J u l y2 0 1 0 l ~ r ,

S i r


2/18

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FINANCIAL DISCLOSURE REPORT Reportin GovernmentRequired ActbY the1/2010 FOR CALENDAR YEAR 2009 (s u.s.c ,pp. ~0-I H)! I , P e r s o ~ R e p o r t in g ( l a s t n a m e , f i r s t, m i d d l ~ i n i ti a ~ ) 2 . C o u r ~ o r O r g a n i z a ti o n 3 . D ate o f R e p o r t

Friedman, Paul L. U.S. District Court 05 /14 /20104 , T it l e (A r t i c le II I ju dg es in di c at e a c ti v e o r s e ni o r s t a tu s; 5 a. Re po r t Ty pe (c h ec k a p pr o p ria te ty p e) 6. Reporting Periodm a g i s t r a te j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e ) [ ] Nomina t i on , D a t e 01/01/2009Active Judge [] Initial [] Annua l [] Final. to1 2 / 3 1 1 2 0 0 95b. [] Amonded Report

7 . C h a m b e r s o r O f f i ce A d d r e s s 8 . O i l t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f ic 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 i s, i n m y o p i n i o n , i n c o m p l i a n c eU.S. Courthouse, Rm. 60 12 with applicable laws amd regulations.333 Constitution Ave.Washing ton, D.C. 20001 Reviewing Officer D a t e

I3tPORTANT NOTES: The instructions accompanying this form must be followed Complete all parts,checking the NONE box for each part where you ha~,e no reportable informadom Sign on lust pag~

/1 . P O S I T I O N S . ( R e m r a . , ~ a ~ u n a o n O ; ~ e ,~ 9 - ~ of fdingNONE ~o reportable position.)

POSITION NAME OE ORGANIZATION~NTI~

.7 C :D - " -

5. -.

~ NONE ~o reportable agreements.)~ P~TIES ~D TE~S

2.


3/18

IV. REIMBURSEMENTS -(Includes thee to s~e ond depe~ent chil~en; see pp. 25-27 of filing i~t~ctio~.)

NONE ~o repo~able reimbursements.)~ ~ L O C A T I O N P~OSE ITEMS P~ OR PROVIDED

2.3.4.

5.


4/18

N ame of P erson R eporl i sg D a t e o f R e p o n

JP a g e F I N A N C I A L 3 o f 1 1 D I S C L O S U R E R E P O R T I Friednl~n, Paul L. 0 5 / 1 4 / 2 0 1 0

V. GIFTS. a~m ~o~ ,o ~o~ ~ d~ r~~,~ ~ ,~ ~ ~ ~-~ o f~ ~ t ,~ ,~o~;~ NONE ~o reportable g~s.)

~ DESC~PTION ~

2.3 .4.5.

~ NONE ~o repotable liabilities.)C~DITON ~ V A L UE C O D E

1.2.3.4.

5.


5/18

F I N A N C IA L D I SC L O S U RE R E P O R T N a m e o f P e r s o * R e p o r t i n g D a t e o f R e p o r tP a g e 4 o f 11 F r i ed m a n , P a u l L . 05/14/2010

V II. INVESTM ENTS and TRUSTS - t n ~ o ~ , , ~ u ~ , ~ , .~ a ~ a n ~ . ~ ~ o ~NONE ~o reportable income, assets, or ~ansactions.)

A. B. C, D.~edp t ion o f As~ I~ome du~ng G~ value a t end T~tions ~ng r~ning(including ~st ~) r~aing ~ of r e~a~gPhee " (X)" a f l~ ~ch ~e i Amou nt T~ (e .g . , Value V a l ~ T~ (e,g.,I Date" [ Value Gain~ l d e n ~ t y o fexemptfiompfior~losure IC~e 1 I lv.,~; C~ 2

t ~ Me l ~~t;) " (JP) i C~e3 ~m p t i o n ) (J-P) (A-~ (ifp~vate

s~ ~w.-ass~SLIGHTLY2. LiSTeD INVESTMENT FUNDS:3, BROKERAGE ACCOUNT4. -Gabelli Small Cap Fund A Dividend L T5. -Gab elli Asset Fund A Dividend I. , T6. -Third Avenue Value None Sold 03/03/09 K7, -Harbor International B Dividend M T8. -Fidelity Spartan Tax Free Bond Fund C Dividend L T Bu y 03/03/09 J

19 , Bu y 07/16/09 K(addl)I0 . - iShaxes Russell 1000 Value Index Fund B Dividend L T See Part Vll l

I I , - iShares Cohen & Steers Realty M ajors B Dividend K TIndex Fd12 . - iShares Russel l 1000 G iowth Index Fund A Dividend L T13 . -iShares Russell 2000 O~ov/th Index Fund A Dividend K T1 4 . -iShares Russell 2000 Value Index Fund A Dividend K T1 5 . -Goldman Sachs Bk CD 1.75% 1 2/31/09 A Interest Buy 01/06 /09 K16 , Matured 12/31/09 K17 , -Vanguard Intermediate Tax Exempt Fund B Dividend L T Bu y 03/20!09 K

I, Inco m e G ain Codes: A ~ $1 ,0 0 0 o r less B =$1 ,0 0 1 - $2 ,5 1 ~ C =$2 ,501 - $3 ,00 0 D =$5 ,00 i - $15 ,0 00 E =~$15,001 - $50,000( Se e Co ltm m s B I a nd D4 ) F -$ 50 .0 01 . $ 10 0.0 00 G -$10@,001 - $1 .000 .000 I f | =$1 .000 ,00 l . $5 ,0~0 .000 t t2 =More than2 . V al~ e Codes J ~$15 .00 0 or less K =$1 5 ,0 0 1 - $5 0 ,0 0 ~ L =$5 0 ,0 0 1 - $1 0 0 ,0 0 0 M =$ 100 .O01 - $250 ,000(See Colurrats CI ~ D3) N =$250 ,001 - $501),0~0 O =$500 ,001 - $1 o000 ,000 PI =$1,000,00 1 - $5,000,000 P2 =$5,000 .001 -

P3 -$23 . 000 . 001 - $50 , 000 , 000 P4 =M ore th~a $50 , 0 0 0 , 0 0 03. Value Method Codes Q =Aptx~alsal R -=Co~t (Rca| Eltale O~ly) S =Asse~sme~l T =C~h M~ket(See Column C2) O =Book V a l ue V ~et W


6/18

F I N A N C IA L D I SC L O S U R E RE P O R T r ~ . , ~ o f P , ~ , , r t . ~ , o , . t i . g n , t ~ a R , . o .Page 5 of l ] Friedman, Paul L. 05/14/2010V I I. IN V E S T M E N T S a n d T R U S T S - S h o o . . , . ~ t , ,. ~,~,, a~and~ ~o~ of spoas and ~e~M chiM~n;

NONE (No reportable income, ~sets, or ~ansactions.)~. ~. ~ c. D .~s~pt ion of Asse~ In.me during ~ Gro~ value at end T~fio~ d~ng r~ing(including ~t ~) re~ai~ ~fi~ of~o~ing ~od Phc~ "(X)" a~ ~h ~t ~ m o u m T~ (e.g . , Value~ Val~ T~ (e.g . , ~ty, ~ Val~ Gain I d c n t i ~ o f ]~e~t @ore prior di~l~ur~ C o d ~ 1 ~v. reng C~e 2 M e ~ M buy, sell, :~ C~e 2 C~ I ~yer /~ll~r [( A - H ) o r i r a . } ( J - P ) C~e 3 r M e m p t io n ) ( J - P ) ( A - H ) ( i f p f i v a t ~ [

1 8 . B u y 07/16/09 K19 . -Vaned Shun "Fe~ T~ Exempt Fund A Dividend K T Bu y 07/16/09 K

2 0 . Buy 12/31/09 K2 i. -B ro~ Ca p i t o l M~ t Sma l l Comp l y Fd None J T B u y 12/31/092 2 . -Pe~ ins Mid Cap Va lue F~d None J T Bu y I~31/092 3 . -Royce S~ial ~ui~ Fund Non~ J ~ Bu y 1~3 ! /09 J2 4 . IRA ACCOUNT#I F Dividend Pl T2 5 . :T. Row e Price Equity Income26 . -American Beacon lntl Equity Fd Sold 03/03/09 K( l~t)2 7 . Sold 03/I 1 / 0 9 K28 . -Longleaf Partners B u y 07/16/09(addl)29 . -LongleafPartners SmalICapFd Sold 03111/09 L3 0 . -PIM Co Real Ret~m3 1 . -Schwab M oney Marke t Fd

3 2 . -Mo rgan Stanley US RE

33 . -American Funds EuroPacific Growth Fd. F

3 4 . -T. Rowe Price M id Cap Grow th


7/18

F I N A N C I A L D I S C L O S U R E Ia m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tR E P O R T[ Friedman, Paul L.

05/14/2010a g e 6 o f 1 1V I I . IN V E S T M E N T S a n d T R U S T S - ~ o ~ , . ~ , t~ , o ~ , c ~ o ~ , a n a , ~ ~ o s e o f s ~ o ~ e , n d dependent children; see p p . 2 1 4 - 6 0 of filing ~$tr~cl~ttt)

N O N E ( N o reportable income, assets, or transactions.)A . I ~. i c. D .D e s c r i p t io n o f A s s e t s i I n c o m e d u r in g l 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 in 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 t t i n g p e r i o d ! o f r e p o r t i n g p e r i o d(I) (2 ) (1) V~~ i (l) (2) (3) (4) i (5 )P l a e e " ( X ) " m q c r e a c h a s s e t A m ou nt T y p e( e .g ., Value [ Value T y p e ( a , g . , ] Date ]Value Gain 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 l o s u r e C O d e I d i v . . r e n t , Code2 , Me lhod buy, sell,]mmidd/yy Code 2 | COde ! b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) ] Code 3 . r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t ei [ m m s a c t i o n )J . (Q-W ) ~

3 5 , -Third Avenue Value Sold 03/03/09 L36 . -Davis NY Venture A Sold 10/19/09 J C( p a r t )37 . -Dodge & Cox Stock Sold 07/16/09 K

( p a n )3 8 . -American Funds Growth Fund of AmericaF3 9 . -PIMCo Total Return

4 0 . - A m e r ic a n B e a c o n S m a l l C a p V a l u e I n s t S o l d 07/16/09 K41 . -Firs t Eagle Glob al Sold 07/16/09 J A( p a r t )42 . -Harbor International4 3 . -Loomis Sayles Investment Gr Bond Fd Buy 01/14 /09 L(addl)44 . -US Treasury STRIP 0% 1 111 5/14 Sold 01/14 /09 L E4 5 . -American Fed Bank CD 3.0% 01/09/13 Bu y 01/09/09! L46 . -Ohio Valley Bk CD 3.45% 07 /15/14 Buy 0!/ l 5 /09 L47 . -Vang uard Short Term Federal Fd Bu y 06/29 /09 L48 . -Columbia V alue & Restructur ing Fd Bu y 07/16/09 K4 9 . -Royce Special Equity Fd Bu y 07/16/09 K5 0 . -T. Row e Price Capital Appreciation Fd Buy 03/03/09! K

5 1 . -Vang uard PRIMECAP Core Fd Bu y 03/20/09 : K

1 , In com e G ain Co ~ s : A =$1 ,0 0 0 o r le~ B -5 1 ,00 1 - $2 ,5 0 0 C --$2 ,501 - $5,000 D

(S~e Col~s CI ~d D3) N =$2~0,~1 - $5~,~ O =$5~.~1 - $1 ,~,~ PI ~ l,~,~l -

~ (~eCol~ C2) U =B~k Val~ V ~ W =E~i~t~


8/18

F I N A N C I A L D I SC L O S U RE Ia m e o f P e r ~ o l t R e p o r t i n g D a t e o f R e p o r tR E P O R TI F r i e d m a n , P a u l L.

0 5 / 1 4 / 2 0 1 0age 7 of 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 - i. ~ o , ~ , ~ o t u e , ,. ~ , ~ a ~ n s a . a ~ a ~ ~ o ~ e 0/ ~,,~ o ~ a a ~ n d ~ ~ U a , e .; ~ e p p , S 4 - ~ O o / m , ~ ,, ~ a o ~ SN O N E (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s e t s 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 t w i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p c d o d o f r e p o r t i n g p e r i c ~ t ~P l a c e " ( X ) " a f t e r e a c h a s s e t Amount [ Type (e.g., j Value Value T y p e ( e . g ., Da t e ~ V a l u e I Ga i n 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 I [ die. r~nt, C o d e 2 M e t h o d b u y , s e l l , mm/dd/yy [ Code 2 ! Code 1 buyer/seller(A-H) [ o r i n t . ) ( J - P ) I Code3 r e d e m p t i o n ) (J-P) ~ (A-H) ( i f p r i v a t e( Q -W ) i t r a n s a c t i o n )

5 2 , -Vang uard Small Cap Grow th Index Fd Buy 03/20/09 K5 3 . IRA ACCOUNT#2 D Dividend O T5 4 . -Schwab M oney M arke t Fund

5 5 . -T. Rowe Price M id Cap Grow th Fd Sold 10/19/09 K B( p a r t )5 6 . -PIMCo Total Return

5 7 . -Dodge & Cox International Stock Fd Sold 03/03/09 K5 8 , -Loomis Sayles Investment Gr Bo nd Fd Bu y 01/14 /09 K5 9 . Bu y 07/ t6/09 J(addl)6 0 . -T. Rowe Price Growth Stock Fd

6 1 . -US Treasury STRIP 0% l 1/15 /18 Sold 01/14 /09 L D6 2 , -Gabeili Small Cap Growth Fund Sold 10/19/09 K6 3 . -American Funds EuroPacific Growth Fd

6 4 . -Columbia Value & Restruc turing Fund

6 5 . -GE Capita l Fncl CD 5% 0 8/27/13 Buy 0 t/1 6 /0 9 K 6 6 . -GE Money Bk CD 4.15./o 12/18/12 Bu y 01116 /09 K

6 7 , -Ohio V alley Bk CD 3.45% 07/15/14 Bu y 01/15 /09 K6 8 . -Bmwn Cap i t a l Mgm t Sma l l Company Fd Bu y 10/19 /09 K

!. Income (ra in Codes: A =$1.000 or" less B =$1 ,0 0 1 - $2 .5 0 0 C =1 2 ,5 0 1 - $5 ,0 0 0 D ~$5 . 001 - $15 , 000 E =$ t5,001 - $50 ,000(S~e Co l umns BI a nd LM) F = $50 , 001 . $100 . 000 G ~ 1 0 0 , 0 0 1 . $ 1 , 0 0 ~ , 0 0 0 HI =$1,000 ,001 - $5,000 .000 H2 = M o re t h n a $5 , 000 ,0002. Value Codes J - -$15,000 or l e~s K =$1 5 ,0 0 1 - $5 0 ,0 0 0 L =$30 ,0 0 1 - $1 0 0 .0 0 0 M ~$100 . 001 - $250 . 000( So e Co lu mn s CI a rid D3 ) N *$ 25 0.0 01 . $ 50 0,0 00 O = $5~0 . 001 . $1 . 000 , 000 PI ~$!.O00,001 - $5,000,0{10 P2 = $5 . 000 . 001 -

P3 ~$25 ,00 0 ,0 01 - $50 .00 0 .000 P4 =M o~ thatt $5 0 .000 .00 03. Value Method Codes Q =Appra i sa l R ~(7ost (R~} Estal Only) S =As.~ess-ment T =Cash Market(See Cohmm C2) U =Book Value V =Othc~ W =Estimated


9/18

F I N A N C I A L D I SC L O S U R E R E P O R T N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tPage 8 o f 1 t F r i ed m a n , P a u l L . 05/14/2010

NONE (N6 reportable income, assets, or transactions.)A. B. C. D.D e s c r ip t i o 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 e a s t a s s e t s ) r e po rt i n g p er i o d o f r e po rt i n g p er i o d(I) (2) (1 ) ( 2 ) 0) [ (2) (3) (~)P l a c e " ( X ) " a f t e r e a c h a s ~ t A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g ., ] Date [ Value Gain ! 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 l o s u r e C o d e 1 d i e . , r e n t , C o d e 2 M e t h ~ x t buy, sell, ] m m ] d d ~ y [ C o d e 2 C o d e I buyer/seller(A-H) . o r i n t . ) ( J - P ) Code3 r e d e m p t i o n ) , , (J-P) (A,H) i ( i f p r i v a t e[ ( Q - W ) . ~ _ _ ~ [ t r a n s a c t i o n )

6 9 , -Perkins M id Cap Value Fd Buy 10/19/09 K7 0 . -Royce Specia l Equity Fund Buy ! 0 / l 9 / 0 9 K7 1 . -T. R.owe Price Capital Appreciation Fund Buy 03/20/09 K

7 2 . Sold l 0/19/09 K D7 3 IILA ACCOI..INT #3 B Dividend L T7 4 . -Firs t Eagle Glob al Sold 10/19/09 K C(p~)7 5 . -Discover Bank CD 3.5% 05113/14 Bu y 05 /13/09 J7 6 . -PIMCo Real Return Fd Buy 10/19/09 K7 7 . -Vang uard STAR Fund Buy 10/19/09 K7 8 . IRA ACCOUNT #4 B Dividend L T7 9 . -First E~gle G lobal Sold 1 0 1 1 9 / 0 9 K C( p ~ r t )

8 0 . -Discover BankCD 3.5% 05 /13 /14 Buy 05 /13/09 J8 1 . -PIMCo Real Return Fd Bu y 10/19/09 K

8 2 . -Van guard STAR Fund Buy 10/19/09 K8 3 . M ONEY M ARKET ACCOUNTS:

8 4 . T. Rowe Price Tax Exempt Fd A Interest K T

8 5 . Schwab US Treasury Money Fd A Dividend J T

(See Co lum C~) U =~k Va~ V ~r W =~t~


10/18

F I N A N C IA L D I SC L O S U RE R E P O R T ] N a me o f P er s o n R ep o r t in g D a t e o f R e l m r tP a g e 9 o f 1 1

[ Friedman, Paul L.05/14/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~ , .: .e , = a ~ o c a o ~ a . a u d ~ ~ o u o / .~ e n.a dependent children; see p p . 3 4 - 6 0 DrillingNONE (No reportable income, assets, or transactions.)

A. : B. C. T r a n s a c t i o n s ( : l ~ r n D ~ ~ p o ~ n g I ~ r i 0 ~e s c r i p t io n o f A s . ~ t s l . n e o m e d u r i n g G r o s s v M 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 p o r t i n g p e r i o d o f ~ x ) r t i n g p e r i o dP l a c e ) ( X ) " a f t e r e a c h a s s e t )Amount ) Type (e.g., Value Valnc T y p e ( e . g , Date Value ] Gain ] I d e n t i t y o fexemptfr~mpriordJsclosure i Code ] d i v . , r ~ n L ~ Code2 M e t ho d buy,~ll) I m m ] d d / y y Code2 ] CA~e l buyer/~ller(A H) o r in t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) (J-P) i (A-Ii) ( i f p r i v a t e

86 . TAX EXEM FT FUNDS - BROKERAGEACCOUNT8 7 . Will County 5 .25% C Interest L T

8 8 . DeKalb GO 0% None K T8 9 , Southern IL Univ 0% None K T9 0 . Mass GO 5 .5% A Interest Sold 03/30/09 K9 1 . New York Thrwy 5,25% B Interest K T92 . Anne Arandel Cnty 4 . 2 % B I n t e r e s t K T Buy 0 3 1 3 1 / 0 9 K9 3 . STOCK WARRANTS:

9 5 . INVESTM ENT PARTNERSHIPS:

9 9 . LIFE INSURANCE1 0 0 . Secmity Mutual Life lns. Co. of NY C Dividend M T See Part VIllUniversal Life Policy101. M ass M utual Life Ins Co B Dividend K W See Part VIII


11/18

F I N A N C IA L D I SC L O S U R E R E P O R T ] N a me o f P er ~ l~ R ep o r t in g D a t e o f R e p o r tP a g e 1 0 o f 11

I Friedman, Paul L. 0 5 / 1 4 / 2 0 1 0VIII. *AD D ITIONAL INFORMATION OR EXPL ANATIONS. an~ p~, o/R~po n)

E X P L A N A T O R Y C O M M E N T S fo r P A R T VII ( b y L i n e It e m N u m b e r ) :1) The order in w hich assets are listed for calendar year 2009 has changed slightly f rom the order listed in the 200 8 report. Mutual Beacon Fund, Cohen & SteersRealty, Dodge & Cox Balanced Fund, Torray, Nuveen M uni Value, Opp enheimer Capital Appreciation, PIMCo Comm odity Real Return lnstl, Vang uard LongTerm Tax Exempt Fund, iShares Russell 2000 ludex Fund, M anagers Special Equity Iustl, T. Rowe Price Grow th Stock Fd, T. Rowe Price Equity Income,Americal Beacon Small Cap V alue Instl and Loomis Sayles Bond Fd w ere deleted f rom the list , because they w ere completely sold in 2 008 (as indicated in the2008 Financial Disclosure Report). PIMCo Low Duration, American Century Target 2020 and M organ Stanley US RE were deleted from the list beeaase theywere com pletely sold in 2007 (as indicated in the 20 07 Financial Disclosure Report). Other than the aforementioned changes, the order is close to that of the 2008report as ai! new investment funds for 2009 are l is ted at the bottom oft .he appropriate account.I 0) iShares Russell t000 V alue Index Fund w as inadverlently listed as iShares Russell 2000 V alue Index Fund on the 20 08 Financial Disclosure Report. Thecorrect fund nam e is listed in the 2009 Financia! Disclosure Report.94) ~ ! ~ s tock w ar rants . Four Cont ingent Payment Rights i s sued to former l imi ted par tner s ~J in 1993.96) W as allocated interest income of $12 and Other Deductions of $6.97) W as allocated ordinary loss of$218 from rental real estate activities, interest income of $3, and an AMTf adjustment ors 17 .98) Was allocated ordinary loss of $218 from rental real estate activities, interest income of $3 and an AMT adjustment orS17.100) 13niversal Life Policy taken out on 08/18/05 as a result of a Section 1035 Exchange f rom tw o existing W hole Life Policies issued by same insurancecomp any. Person Reporting is Insured and Owuer;~ is Beneficiary. No underlying investment op tions. The gain on the pol icy for 200 9 w as $3,353.78 andwas n ot currently taxable

~ Flexible Premium Adjustable Life Insurance Policy issued by former em ployer in 1993 . Person Report ing is Insured and Own er. ~


12/18

F I N A N C IA L D I SC L O S U R E RE P O R T [ N a m e o f P e r s o n R e p o r t in g D a t e o f R e l m ~ [i Ia g e l ! o f 1 1 F r i e d m a n , P a u l L . 051t4/2010I X . C E R T I F IC A T I O N .

! cer t ify that all in formation g iven above (including in form atien per tain ing to my spouse and m inor or dependent ch ildren , if any) isaccurate, true, and comp lete to the bes t of my know ledge and belief , and that any in formation not repor ted w as withheld because it met app licable s tatu toryp rovis ion s p e rmi t t in g non -d is c losu r e .I fur ther cer t i ly that earned incom e f rom outs ide em ploym ent and honorar ia and the acceptance o f g if ts which have b een repor ted are incomp liance with the p rovis ions of 5 U.S.C. app . 501 et . seq. , 5 U.S.C. 7353, and Judicial Conference regulations .

NOTE: ANY INDIV IDUAL WH O KNOV ClNGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY B E SUBJECT TO CIV ILAND CREVIINAL SANCTIONS (5 U.S.C. ap p. 1 04)

FILING INSTRUCTIONSM ai l s igned o r ig ina l and 3 add i t iona l cop ie s to :

Comm i t tee o n Financ i a l Di sc losureAdm inis tra t ive Off ice of the United States CourtsSui te 2 -301One Colum bus Ci rc l e , N.E.W ashing ton , D.C. 2054 4

paul l friedman financial disclosure report for 2009

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