richard d cudahy financial disclosure report for 2010

8/3/2019 Richard D Cudahy Financial Disclosure Report for 2010

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A O 1 0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report R equired by the Ethics

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

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t ia l )Cudahy, R icha rd D.

4 . T i t l e ( A r t i c l e I l l j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or part-time)Senior C i rcu it Judge

7 . C h a m b e r s o r O f f ic e A d d r e s sChambers 2648219 Sou th Dearborn S t ree tCh icago , IL 60604

2 . C o u r t o r O r g a n i z a t io nCour t o f A ppea ls /7 th C ircu i t

3. Date of Report05/13/2011

5 a . Repor t Type (check appropriate type)] Nominat ion , D a t e[] 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 i s R e p o r t a n d a n y

m o d i f i c a t io 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 ew i t h a p p l ic 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 ic e r D a t e

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this fortn mast be followea[ Complete all parts,checking the NO NE box for each part whe re you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of f il ing instructions.)~ (No reportable positions.)O N E

POSITION N A M E O F O R G A N IZ A T IO N / E N T I T YI. Chai rman o f t h e B oard o f D i rec to r s ~ Cudahy Fund2. Chairnaan Gender Bias Co mm i t te e /7 th Ci rcu i t Cour t o f Appea l s3. M e m b e r a n d F e l lo w Am er i can Bar Assoc i a t ion4. Member , Counc i l Group Amer i can Bar Assoc i a t i on Sec t i on on Pub l i c U t i l i t i e s , Communica t i ons &

Transporta tion5. M e m b e r The Lawyers Club o f Ch icago6. M e m b e r Fede ra l Judges Asso c i a t ion7. T r u s te e E m e r it u s a n d M e m b e r o f I n v e s t m e n t C o m m i t te e Cathol i c Theological Union, Chicago, I l l i noi s8. M e m b e r A m e r i can L e g i on9. Co-Trus tee Cudahy F T #I , #2

1 0 . M e m b e r U ni on L e agu e C l u b o f C h i cagoI I . M e m b e r Advi sory Comm i t te e t o t h e Cen t e r fo r I n t e rna t iona l Hum an Righ t s a tNo r thwes tern Un iver s i ty1 2 . M e m b e r Founda t i on Adv i sory Bo ard o f t h e I n t e rna ti ona l Av ia t ion Law Ins t i t u t e a tDePaul Un iver s i ty1 3 . M e m b e r Visi t ing C om mi t t e e o f t h e Unive rs i t y o f Ch icago Div in i ty Schoo l1 4 . Honora ry Judic ia l Mem ber IPLAC - I n t e l lec tua l P rope r ty Law Assoc i a t i on o f C h icago


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FINANCIAL DISCLOSURE REPORTP a g e 2 o f 1 6

N a m e o f Pe r s o n R e p o r t i n gCudahy, Richard D.

Date o f Repor t05/13/201 I

1 5 . M e m b e r Jud ic ia l Adv i sory Board o f t h e A me r i can Soc i e ty o f I n t e rna t iona l Law

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~ (No reportable agreements.)O N E

D A T E P A R T I E S A N D T E R M S


3/16

FINANCIAL DISCLOSURE REPORTPage 3 o f 16

N a m e o f P e r s o n R e p o r t in gCudahy, Richard D.

Date of Report05/13/2011

I II . N O N - IN V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 offiling instructions.)A. Fil e r s Non- lnves tmen t Incom eD (No reportable non-investment income.)ONE

DATE SOURCE AND TYPE INCOME(yours, not spouses)1. 2010 P r uden t i a l R e t i r em en t ( f o r m e r l y ) ] C uda hy P en s i o n P l a n B ) $1,451.402 . 2 0 1 0 West Se rv i ce s , book roya l t i e s $1,430.483.4.

B . S p o u s e s N o n - I n v e st m e n t In c o m e - If you were married during any portlon of the reporting year, complete this section.(Dollar amount not required except for honoraria.)D (No reportable non-investment income.)O N E

D A T E SO U R C E A N D T Y P EI . 2010 Salary as Med ica l Doc to r fo r Advoca t e N or th s ide Hea l th Sys t em

2.3.

4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainmenL(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)D (No reportable reimbursements.)ONE

3.4.5.

SOURCE D A T E _ _ ~ S LOCATIONThe Amer i can Soc i e ty o f F eb r ua r y 1 6 -1 7 , 2 0 1 0 W a s h i n g t o n , D CInternat ional Law

PURPOSEAnn ual Mee t i ng o f Jud ic i a lAdv i sory Board

I T E M S P A I D O R P R O VI D E Da i r fa re , lodg ing , m ea l


4/16


Na m e o f P e r son Repor t i ngCudahy, Richard D.

Da te o f Repor t05/I 3/201 I

V . G I F T S . a , , . t ~ d e s t h o s e , o s p o u s e a n d d e p e n d e n , children; see p p . 2 8 - 3 ! of filing instructions.)N O N E (No reportable gif ts .)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l n d e s t h o s e o f s p o u s e and dependent children; see pp. 32-33 of filing instructlong)N O N E (No reportable l iabil it ies .)

CREDITOR DESCRIPTIONI.2.3.4.5.

VALUE CODE


5/16



Date of Repor t05/13/201 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 Oncludes those of spouse a nd depende nt children; see pp. 34-60 of f il ing instructions.)D NONE(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 Income during G r o s s v a l u e a t e n d( inc luding t rus t asse ts ) re po rt in g p erio d o f re po rt in g p erio d

(I ) ( 2 ) (I) (2)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 Valuee x e m p t f ro m p r i o r d is c l o s u r e C o d e 1 div., rent, C o d e 2 M e th o d( A - H ) o r i n t .) ( J - P ) C o d e 3( Q - W )

2.3.4.5.6.7.8.9.

1 0 .II.1 2 .

1 3 .1 4 .

15 .1 6 .

1 7 .

-Cash N or the rn Trus t Ch icago-Cash Marshal l&llsley MilwSchwab Govt Money Fund-U S Trea s No te-U S Treas See S t r ippedTulsa Coun ty OK Indp Sch DisSan ta Clara CA Uni Sch Di s t-Ma ine St GO BN DS

-NJ GO BNDS- M A S t G O B N D S-Bos ton , MA GO BD S-Los Ang e l e s CA Uni Sch l D i s t

A In te r es t JA In te r es t JA In te r es t OC In te r es t M

T

T

T

T

DDC

CCCC

In te r es tIn te r es tIn te r es t M

In te r es t MIn terest MIn te r es t MIn te r es t M

T

TT

TT

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 io d(I ) (2) (3)

Type (e.g. , D a t e Valuebuy, se ll, m m/dd/yy Code 2

r e d e m p t i o n ) (J-P)

- T N S t G O B N D S-Por t Sea t t le W A-Salt Lake Cnty UT-Hawai i Sta te GO BND S

CCCB

In terest MIn te r es tIn terest MIn terest M

T

T

Matured 0 2 /1 5 /1 0 MMatured 08/01/10 M

Sold 07/01/10 M

Bu y 04/29/I 0 M

Sold 12/01/10

Bu y 12/02/10 M

( 4 ) ( 5 )Gain Iden tity o f

Code 1 buyer/se l le r(A-H) (if private

transaction)

F Marke t D i sc t Accr Co lB

I.Income G ai n Cedes :(See Co lumns BI and D4 )

2.Value Codes(See Co lumns CI and D3 )

3. Value Method Codes(See Co lumn C2 )

A =$1.000 or lessF =$50.001 - $100.000J =$15,000 or lessN =$250.001 - $500.000P3 =$25.000.001 - $50.000.000Q =Ap p ra isalU = Book V alue

B =$1.001- $2.500G =$100.001 -$1,000.000K =$15.001- $50,000O =$500J)01- $1.000.000R ~Cos t ( Rca lEs ta te Only )V ~( ) thc r

C =$2,501- $5,000HI =$1,000.001 - $5,000,000L -$50,001- $100,000PI = $1.000.001- $5,000.000P4 =More than $50.000,000S = As s es s men tW= E s t i matcd

=$5.001- $15.000H2 =Mo re than $5,000,000M=$100.001- $250.000P2 =$5.000,001- $25.000,000

= Cas h Mar kct

E =$15,001- $50.000


6/16

FINANCIAL DISCLOSURE REPO RTPage 6 o f 16 Ia m e o f P e r s o n R e p o r t in gCudahy , R i ch ard D . Date of Repor t05/13/2011

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 , 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 e sc r i p t i o n o f A s s e t s I n c o m e d u r in g( in c lu d in g trus t a ss e ts ) re p o r tin g p e r io d(l) (2)

Place "(X)" after each asset A m o u n t Type (e.g.,exempt from prior disclosure Code I d i v . , r e n t ,( A - H ) or in t . )

18 . -Jordan UT School C I n t e r e s t

19 . -Albuquerque NM MSD GO SCH BL A I n t e r e s t20. -Mississ ippi ST C I n t e r e s t21 . -Arlington TXISD C I n t e r e s t22. -Gulf Coast WasteTX C I n t e r e s t23 . - New Y orkNY .GO B DS C I n t e r e s t24 . -Ma r icopa Cnty AZ Dist No-re fBd C I n t e r e s t25 . - New Y orkS T C I n t e r e s t26. -ArlngtonTX Perm IMPT B I n t e r e s t

27 . -St. Louis Co. M O Pkwy SDGOBDS A I n t e r e s t28 . -Newcrest Mining A Dividend29 . -LIHIR Gold Ltd. A Dividend3 0.3 1. -First EagleG old C Dividend3 2. -Ma rket V ectors ETF TR Gold M iner ETF A Dividend3 3 . -AgnicoEagle Mines A Dividend3 4. -Kinross Gold A Dividend

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)

V a l u e V al u eC o d e 2 M e t h o d(J-P) C o d e 3( Q -W )

M T

M TM T

M TM T

M TM TM T

M T

M TM T

M

K

LL

T

T

T

T

T r an sac 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(4 ) (5 )Gain Identity of

Code 1 buyer/se l le r(A -H) (if p rivate

transaction)

(I ) (2) (3)T y p e ( e . g . ~ Date Value

buy, se l l , mm/dd/yy Code 2redempt ion) (J-P)

B uy 11/29/10 M

Reinv. Div

Reinv

B uy 11/29/10 M

B uy 11/30/10 MB uy 09 /24 /10 MB uy 01/19 /10 KSold 09 /24 /10 KB uy 12/16/10 J

(addl)B uy 12/02/10 K

1. Incom e Gain Codes: A = $1,000 o r less B = $1.001 - $2,500 C = $2,501 - $5 ,000 D = $5,001 - $15,000(See Co lunms B I and D4 ) F =$50.001 - $ 100,000 G =$ 100.001 - $ 1,000.000 H 1 =$ 1,000,001 - $5,000,000 H2 =Mo re than $5,000,0002 . V alue 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 D 3) 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 00P3 -$25,000.001 - $50.000.000 P4 More than $50,000.0003. Value Method Codes Q =Ap p ra isal R =Cost (Real Es tate Only} S = As s es s men t T =Cash Marke t(See Co lunm C2 ) U = Book V alue V = ()thor W = E s t i maled

E -$15.001 - $50,000


7/16


Name of Person ReportingCudahy , R ichard D .

Date of Report0.5/13/2011

V I I. IN V E S T M E N T S a n d T R U S T S - i n eo ,~ e , v al .e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction&)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descrip tion of Asse ts Inco m e during Gross value a t end Transactions during reporting period(including trust assets) reporting period of reporting period

(l) (2) (1) (2) (I) (2) (3) (4)Place "(X)" after each asset A m o u n t Type (e.g., Value V al u e Type (e.g., D a t e Value Gainexempt from prior disclosure Code l d iv . , ren t , Code 2 . M e th o d b u y , s e l l , mm/dd/yy C o d e 2 C o d e 1( A - H ) or in t . ) (J-P) C o d e 3 r e d e m p t i o n ) ( J -P ) ( A - H )

( Q - W )

35 . -Bar r ick Go ld Corp . A Div idend L T Bu y 12/02/101 K(add l )36 . -Frank l in G o ld E Div idend M T Bu y 12/01/10 K(add l )

~37. Bu y 12/30/10 J(add l )38 . - [SPDR] St ree t t racksGoldTr N o n e M T Bu y 12/02/10 K(add l )39 . -Genwor th Li f e In s . Co . D Distr ibution M T40 . - U S Ba n k I R A C a s h A In terest K T41 . - N u v e e n T a x E x U n i t T m s t s (3 ) (W e l l s F a r g o ) B Div idend J T42 . - A G E Ba n k D e p P r o g r a m (W e l l s F a rg o ) A In terest J T43 . -Har r isBnkWinne tka Cash /CashEq A In terest J T4 4. - H ar ri sB n kW i nn ct ka C/ D B In terest M T45 . -Har r isBnkWin tka Prem Save rs A In terest K T46 . -Mar sh l / ll s lyBnkMilw C /D ( IRA) A In terest K T4 7 . - N u v e e n P r em I n c. M u n iF u n d 1 V (S t if e l) C Div idend K T48 . -Gene ra lMuni MM (S t i fc l ) A Dividend J T49 . VanKam pen Advtg M un i Inc Tr II (St i fe l ) A Div idend K T( I N V S C O )50 . -NuveenSe l ec tTaxFrec lncome (Tr 625 ) A D iv ide n d J T(We l l s Fargo)51 . -Nuveen M unic ipa l Value Fund (We l l s A Dividend K TFargo )

Identity ofb u y e r / s e l l e r(if private

t r an sac t i o n )

Reinv.

I. In co m e Gain C o des : A =$1.000 o r le ss B =$1,001 - $2.500 C =$2,501 - $5,000 D -$5,001 - $15,000(See Co lumns BI and D4 1 F =$50,!101 . $ I00.000 G =$100.001 - $1,000,000 HI =$1.000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Co des J ~ $15,000 o r less K = $15,001 - $50,000 L =$50.001 - $ 100,000 M =$100,001 - $250,000(See Colunms CI and I13) 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 o $50,000.000 P4 =More than $50,000,0003. Value Method (odes Q = A p p r a i s : d R =Cost (Real Es tate Only) S = As s es s men t T = Cas h Mar ke t

( S c c { . o t u l ~ ln C 2 ) tl = : [ ~ o o k V ~ l h lc V - Other W = E s t imated

E =$15,001 - $50,000


8/16


N a m e o f P e r s o n R e p o r t in gCudahy , R ichard D .

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 = e , v a t . e , t r a n s a c t i o n s a . c t a d e s t h o s e o f s p o u s e a n n dependent children; see pp. 3 4 - 6 0 of filing instructions.)NOblE (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f Asse ts In com e durin g Gro ss value at en d Tran saction s durin g rep orting perio 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 io d o f r e p o r t i n g p e r i o d(1 ) (2 ) (I) (2) (1 ) (2) (3) (4) (5 )

Place " (X )" afte r each asse t Am oun t Type (e.g. , Value V alue Type (e.g. , Date Value Gain Identity ofe x e m p t f r o m p r i o r disc losure C o d e 1 d i v . , r e n t , Code 2 Method buy, sell, rnm/dd/yy Code 2 Code 1 buyer/sel ler(A-H) o r i n t . ) ( J - P ) Co de 3 redem ptio n) ( J - P ) (A-H) ( i f p r i v a t e

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

52 . -Neuberger Berman M un Fund B Dividend(Intermediate) (Stifel)53 . -Black rock Muni Tr. II (St i fel ) B Dividend

KK

TT

N O R T H E R N T R C O - T T E55. -Short-term Investments & Cash I n t e r e s t

P2 TT

B2=div , in t , c ap ga indistributions

56. -MFB Northern SmallCaplndexFnd Dividend(NSIDX)57 . -MFB Northern Mid -Cap Index Fnd Dividend(NOMIX)58 . -MFB Norther n Fnds Stk Ind Fund (NOSIX) Dividend

TTT

r e inv o f d iv

59 . - M F B Nor th emEmerg Mk t s Fund( N O E M X )

60 . - M F B Northern Int l Equ Fnd Index( N O I N X )6 1. - M FB N o r~ h e m Fu nd s La r ge C a p In de x( N O L V X ) ( X )62. -Orono, M N, Indpt Schl Dist

Dividend

Dividend

I n t e r e s t

TT

am or t / acc r e t e63 . -Santa Fe NM Com Coil I n t e r e s t64 . - Un iv SC H R Ed Re v. I n t e r e s t65. -Wa shoeCty NV Schl Dist . I n t e r e s t66. -At lantaG A Dev Auth I n t e r e s t67 . - P o r t la n d , O R S e w S y s Rev. I n t e r e s t

6 8. - G le n da l e, A Z W t r & Sw r Re v . I n t e r e s t amor t / accre t e

I . Income Gain Codes:(See Co lumns B 1 a n d D 4 )

2, Value Codes(Scc (olunms C I and D3)3.Value Method Codes

(See Co lumn C2 )

A = $ 1 . 0 0 0 or lessF =$50,001 - $ 100,000J =$15,000 or lessN = $250.001 - $500,000P 3 = $ 2 5 , 0 0 0 , 0 0 1 - $50.000.000Q =Ap p ra isalU = Book V alue

B=$1.001 - $2,500G =$ 100.001 - $ 1,000.000K = $15,001 - $50,000O =$500.001 - $1,000,000R =Cost (Real Es tate Only)V : O t h c r

C =$2,501 - $5,000H 1 = $1,000,001 - $5,000,000L -$50,001 - $100,000P I =$1,000,001 - $5,000,000P4 =More than $50,000,000S = As s es s men tW = E s t i mated

D =$5,001 - $15,000H2 =More than $5,000,000M =$ 100,001 - $250,000P2 =$5,000,001 - $25,000,000T = Cas h Mar ke t

E =$15,001 - $50,000


9/16

FINANCIAL DISCLOSURE REPORTPag e 9 o f 1 6


Date of Repor t05/13/201 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 n e o ,~ e , v a ~ a e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f il ing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross va lue a t end Transactions during reporting period(including trust assets) reporting period of repo rting period

(1) (2) (1) (2) (1) (2) (3) (4) (5 )Place "(X )" afte r each asset Am ount Type (e .g., V alue V alue Type (e.g. , Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Cod e 2 Method buy, se ll, m m/dd/yy C ode 2 Co de I buyer/se l le r(A-H) o r i n t . ) (J-P) Co de 3 redem ptio n) (J-P) (A-H) (if private(Q-W) transaction)

69 . -C o l um b i a , MO S c hD i s t Interest T70 . - N J E n v i ro n m e n t a l In terest71 . -Maryland State Interest T72 . -Henr i co Cn ty VA Interest T7 3. - C ac he C o. U T Sc h D is t Interest T74 . -Eagan , MN In terest T75 . - U n i v o f Ne b . F ac s C o r p . h~teres t T76 . - U o f C o l oEn t e r p r Sy s R e v . In terest T77 . -Union Cn ty , NJ In terest T

78 . -VA St Pub SchlAuth In terest T79 . -Norwalk , CT Interest T80 . - T X S t In terest T81 . -St . Louis Cnty, MO Pkw y Schl Dist In terest T82 . -Ove r l and Park , KS In terest T83 . -Bou lde r , CO In terest T84 . -N .C. S ta t eCap Imprv . In terest T85 . -Johnson Ci ty, KS Uni Schl Dist In terest T

Matured 09/01/10 K am or l ! acc r e t e

am or t / acc r e t e

1, In com e Gain C0dcs: A = $1,000 o r less B =$1.001 - $2,500 C = $2,501 - $5 ,000 D = $5,001 - $15,000(.gee Colunw~s BI and 134) F =$50,001 - $100,000 G =$100,001 - $1,000,000 H I =$1,0~0,001 - $5,000,0~0 H2 =glore than

2 . V alue Codes J =$15,000 or less K = $15,001 - $ 50,000 L =$ 50,001 - $100,000 M =$ 100,001 - $250,000( See Columns CI ~nd D 3) 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 = M o re than $50,000,0003, Value Method Codes . Q =Ap p ra isa l R = Cos t (Real E s t a l e On ly) S = As s es s men t T =Cash Marke ttScc Column C2) U = Book V alue V = Other W = E s t i mated

E =$15,001 - $50.000


10/16

FINANCIAL DISCLOSURE REPORTP a g e 1 0 o f 1 6

N a m e o f P e r s o n R e p o r t in gCudahy , R ichard D .

Date of Repor t05/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 - 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.)

86 .

87 .

88.

89 .

90 .

91 .

92 .

93 .

94 .

95 .96 .

97 .

98 .

99.

A. B. C.D e sc r i p t i o n o f A s s e t s I n c o me d u r i n g G r o s s v a l u e a t e n d( in c lud in g tru s t as s e ts ) re p o r tin g p e r io d o f r e p o r t i n g p e r i o d

(l) (Z) (t ) ( 2 )Place "(X)" after each asset A m o u n t Type (e.g., Value Value

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

-Iowa Ci ty, IA- M A State

-DeSotu Co., Miss-Che rokee Co . , GA

-Schwab G ovt . Money Fund

-U.S. Trea s Note

-U.S. Treas. Note

-lshares Msci Emer g. Mkts Ind. Fund

-Barc lays IPATH M SCI India-TX St Pub Fin. Auth Rev.

- B o s t on, MA Go B n ds-Ma ricopa Cnty AZ Sch Dist NSI

I n t e r e s t TI n t e r e s t TI n t e r e s t TI n t e r e s t T

F PI TI n t e r e s t TI n t e r e s t

I n t e r e s t TDividend T

None TI n t e r e s t T

lnt. /Div. TI n t e r e s t T

T r an sac 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( 1 ) (2) (3)T y p e ( e . g . , D a t e Valueb u y , s e l l , m m /d d / y y C o d e 2r e d e m p t i o n ) ( J - P )

Matured 03/15/10 L

Bu y 08/25/10 L

Bu y 04/29/10 M(addl)

-TN State G O B n d s1 0 0 . - Sapu lpa OK C ap l m p r101. -Kentucky In te r local Sch Trans A uth .102 . - I share s MSCI XNHUA IDX

I n t e r e s t

I n t e r e s t

I n t e r e s t

I n t e r e s t

TT

Bu y 11/17/10 M

So l d 07/01/10 M A

(4 ) (5 )Gain Identity of

C o d e 1 b u y e r / s e l l e r( A - H ) (if private

t r an sac t i o n )

B2=di , i n t , cap gaindistribut ions

I. In com e Gain Codes: A = $1,000 o r less B = $1,001 - $2,500 C =$2,501 - $5,000(See Co lumn s B I and IM) F =$ 50,001 - $ 100,000 G =$ 100,001 - $ 1,000,000 H 1 = $1,000,001 - $5,000,0002. Value Codes J = $15,000 o r less K = $15,001 - $50,000 L = $50,001 - $100,000

(See Co lum ns C I and D31 N =$250,001 . $500,000 O =$500,001 - $1,000,000 PI = $1,000,001 - $5,000,000P3 =$25,000,001 - $50,000,000 P4 =Mo re than $50,000,0003. Value Method Codes Q =Ap p ra isa l R = Cos t (Real E s t a l e On ly) S = As s es s men t(See Co lunm C2 1 U = Book V alue V =Othe r W ~E s t i matcd

D =$5,001 -$15,000H2 =Mo re than $5,000,000M $100,001 -$250,000P2 -$5,000,001- $25 ,000,000T =Cash Marke t

E =$15,001 - $50,000


11/16


N a m e o f P e r s o n R e p o r t in gCudahy , R i ch ard D .

Dat e o f Repor t05/I 3/201 I

VII. 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 de penden t children; see pp. 34-60 o f f iling 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 Income during 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 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

(t) (2) (t) (2)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 Valuee x e m p t f ro m p r i o r d is c l o s u r e C o d e 1 d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t .) ( J - P ) C o d e 3( Q - W )

1 0 3 . - Sh aw ne e K S I n t e r na l Interest T104. -Gul f Coas t Was te TX Interest T1 0 5 . - T a c o m a W A W a t e r Interest T106. -Pu laski Cnty AR In terest107. -Marke t Vectors ETF Gold Mine r ETF Dividend T108. - I shares MSCI A us t ra l ia Div idend T109. - I shares MSCI B razi l Div idend T1 1 0 . - I sh a r e s M SC I S i ngapo r e Dividend T111. -F ide lity E quity In c. Fun d D ivide n d

I 1 2 . DividendI 1 3 . DividendI 1 4 . Dividend115. -SPDR Gold Tr . Gold Shs In terest T116. -MA St Bnds In terest T117. -Denver Co . C i ty & Co. SD In terest T1 1 8 . - NY G O B nd s In terest T1 1 9 . - A l b uq N M C O G e n P U In terest

T r a n s a c t io n s d u r i n g r e p o r t in g p e r io d( 4 ) ( 5 )

Gain Iden tity o fCode 1 buyer/se l le r(A-H) (if private

transaction)

O) (2) (3)Type (e.g., D ate V a lu ebuy , se l l , mm/dd/yy C o d e 2r e d e m p t i o n ) ( J - P )

Bu y 11/29/10 M

So ld 03/22 /10 LBu y 12/02/I 0 M

Bu y 04/09/10 J( add l )Bu y 07/09/10 J( add l )Bu y 10/01/10 J(addl)So l d 11/30/10 M

Matured 07/01/10 K

R ei n v S ha r e s

1. In co m e Gain C o des: A =$1,000 o r le ss B =$1,001 - $2,500 C =$2,50.1 - $5,000 D -$5,001 - $15,000(See Co lumns B 1 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 Co des J = $15,000 o r less K =$15,001 - $50.000 L =$50,001 - $100.000 M -$ 100,001 - $250,000(See Co lumns CI and D3 ) N =$250.001 - $500,000 O =$500.001 - $1,000,000 P I =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 -$ 5. 00 0, 00 1 - $2 5, 00 0, 00 0P3 =$25,000,001 - $50,000.000 P 4 =M o re than $50,000,0003. Value Method Codes Q =Appraisal R ~ Cosl (Real Es tale Only) S = As s cs s men l T = Cas h Mar ke t[See C o lum n C 2) U = Bo o k V alue V O l h c r W = E s t i mated

E =$15,001 - $50,000


12/16


N a m e o f P e r s on R e p o r ti n gCudahy , R i ch ard D .

Dale 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; 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 Gross value at end Transactions during reportmg period(including trust assets) rep ortin g period o f reporting period

(1 ) (2 ) (l) (2) (l ) (2) (3) (4) (5 )Place "(X )" after each asse t A m ount Type (e.g ., Value Value Type (e.g., Date Value Gain Identity ofexempt from prior disclosure C o de l div., rent, C o de 2 Method buy, sell, m m !d d/yy C ode 2 Code 1 buyer/se l le r(A-H) o r i n t . ) (J-P) Code 3 redem ption) (J-P) (A-H) (if private( Q -W ) transaction)

t 2 0 . - OH S t G O H w y C A I n t e r e s t121. -Fair f a x Co VA RefPub I I n t e r e s t122. -Vanguard Intna t lGroPofo l i o Dividend1 2 3 . -Va n g ua r d l n dex 50 0 P o fo l i o124.

125.126.

127 . -Vanguard Hea l thcar e Por t fo l i o

128.

1 2 9 . T Rowe P r i c e M idCap Grow th

130.

Div idend T Bu y 03/29/10 J(add l )D iv idend T Bu y 06/28/10 J(addl )D iv idend T Bu y 09/23/10 J(add l )D iv idend T Bu y 12/23/10 J(add l )D iv idend T Bu y 03/22/10 J(add;l)

T Buy 12~16/10 K(add l )N o n e T Bu y 12/14/10 J(add l )

R ei n vD i v i den ds

131. 1976 TRUST/132 . -Char le s Schwab Gov t . Mon ey Fund1 3 3 . - L e and e r , T X I nd . Sch .134.

135.136.

-L.A. Calif Comm Coil GO BDS

-Mar icopa Cry AZ Sch Dist NSITX St Pub Fin Auth

I n t e r e s t

I n t e r e s t

I n t e r e s t

I n t e r e s t

I n t e r e s t

PI TT

T

T

T

T

B uy 11/22/I 0B uy 11/17/10

LL

B2=div , i n t , cap gaindistribut ions

I . I ncome G ai n Codes : A =$1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Co lunms B 1 and D4 ) F =$50,001 - $ 100,000 G = $ 100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H2 =Mo re than $5,000,000

2. Value Codes J =$15.00(I or less K = $15,001 - $50,000 L =$50,001 - $ 100,000 M =$ 100,001 - $250,000(See Co lunms CI and D3 } N ~$250.001 - $500,000 O =$500.001 - $1,000,000 PI =St,000,001 - $5 ,000,000 P2 =$5,000.001 - $25.000,000P3 =$25,000.001 - $50.000.01}0 P4 -More than $50,000,0003. Value Mclhod Codes Q =Appraisal R =Cost (Real Es tate Only) S = As s es s men t T = Cas h Mar ke l(Scc Co lumn C2 ) U =Book Value V = Olhcr W = E s l i mated

E =$15,001- $50.000


13/16


N a m e o f P e r s on R e p o r ti n gCudahy , R i ch ard D .


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 a 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.D e s c r i p t i o n of Asse ts Income during Gross value at end( 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)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 Valuee x e m p t f ro m p r i o r d is c l o s u r e C o d e 1 d i v . , r e n t , Code 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

( Q - W )

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

T y p e ( e . g . , D a t e Valueb u y , s e l l , m m / d d / y y Code 2r e d e m p t i o n ) ( J - P )

( 4 ) ( 5 )G a i n Identity ofC o d e 1 buyer/seller

( A - H ) ( i f p r i v a t et r a n s a c t i o n1 3 7 . - T e m pe A Z In terest138. -CT St Bonds In terest139 . -L .A . CA Un i Sch Dis t GO Bn ds In terest1 4 0 . - A l b uq N M G O G E N P U In terest141. -NY GO Bonds Interest142 . -Ken tucky In t l oc Sch Trans Au th In terest143 . -Pu lask i Cn ty AR In terest144. -Beaufor t Cnty . S.C . In terest1 4 5 . - Bo s t o n M A G O BD S In terest146 . - Ishare s Msci Em erg . Mkt s I nd . Fund . Div idend147 . -I share s MSCI XNH UA IDX Div idend148. - l shares MSCI B razi l Div idend149. - I shares MSCI Singap ore Div idend

Matured 07/01/10 LTT

Matured 07/01/10 KTT Sold 03/01110 J(part)

So ld 03 /22/10 KTT Bu y 04/29/10 LTTTT

150. -Barc l ays IPATH MSCI Ind ia N o n e Bu y 08/25/10 K15 I . -F ide l it y Equ i ty I ncom e Fund Div idend152. Dividend153. Dividend

B uy 04/09/10(ad d l )B uy 07/09/10

( a dd l )B uy 10/01/10( a dd l )

JJ

J

Reinves t ed Div idends

I. Income Gain C0dcs: A = $1,000 or less B =$ 1,001 - $2.500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Co lunms BI and D4 ) F =$50,001 - $100.000 G =$1 00,00 1- $1 .00 0,0 00 H I = $1 ,0 00 ,0 01 -$ 5,0 00 ,0 00 H2 =Mo re than $5,000,0002. Value Codes J ~ $15.000 or less K =$ [ 5,t)0 [ - $50,000 L =$50,001 - $ 100,000 M =$100,001 - $250,000( Se e C ol um n s ( | a nd D3 } N :$2 50,00 1 - $5 00 ,00 0 O =$500,001 - $ I,~00,000 P | = $ 1, 00 0, 00 | - $5 ,~ 00 ,~ 30 P 2 = $ 5, 00 0, ~0 | - $2 5, 00 0, 00 0

P3 -$25,000.001 - $50,000,000 P4 ~More than $50.000,0003. Value Mcthl~d (odes Q = Ap p ra isal R ~ Cost (Real Estate OnlyJ S = As s es s men t T = Cas h Mar ke t(See Co lunm ( 2 ) U : Book Value V = Other W = E s t i mated

E =$15,001 - $50,000


14/16


N a m e o f P e r s o n R e p o r t i n gCudahy , R i c ha rd D .


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

e 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 i v . , r e n t , C o d 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 1 b u y e r / s e l l e r( A - H ) o r in t .) ( J - P ) C o d e 3 r e d e m p t i o n ) O - 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 )

154. Dividend Sold 11/30/10 L B155. -VanguardWor ld lntna t lGrowth Dividend T156. -Va nguard Index Tr 500 Dividend T B uy 03/29 /10 J(addl)157. Dividend T B uy 06/28/10 J

(addl)158. Dividend T B uy 09/23 /10 J

(addl)159. Dividend T B uy 1 2 1 2 3 1 1 0 J

(addl)160. -V a nguard H ea lth Car e Dividend T B uy 03/22/10 J(addl)161. Dividend T B uy 12/16/10 J

(addl)162. -T Rowe Pr i c e M idCap Gro wth None T B uy 12/14/10 K

(addl)163 . -M ark e t V e c to r s EFT G o ld M iner EFT Dividend T B uy 12/02/10 K164, -SPDR Gold Tr Go ld Shrs N o n e

I . Income Gain Codes: A = $ 1 , 0 0 0 o r l e s s B =$ 1.001 - $2,500 C =$2,501 - $5,000 D = $5,001 - $15,000(See Co lunms BI and I )4 ) 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. V a l u e C o d e s J = $15,000 o r les s K =$15,001 - $50.000 L -$50,001 o $100,000 M =$ 100,001 - $250,000( S e e C o l u m n s 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 :$25.000.001 - $50,0~,00~ P4 :More than $50,000,0003. V a l u e M e t h o d C o d e s Q = A p p r a i sa l R :Cosl (Rczl Es lale Only) S =Asse ssmen t T =Cash M arke t

~SceColunmC2) U =Bo o k Va l ue V O t h e r W =Estimated

E =$15,001 - $50,000


15/16


N a m e o f P e r s o n R e p o r t in gC u d ah y , R i ch a r d D .

Da te o f R e p o r t05/13/2011

V I I I . A D D I T I O 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 . (lndicate part of report.)Ill B . ~ r e t i re d o n D e c e m b e r 3 1 , 2 0 1 0.VII . L ine 49 - nom enc la tu re change a t 6 / I/10.VIL L ine 61 con ta i ns an en t i t y wh ich was l i s t ed in e r ro r i n 2009 due t o n om enc la tu re confu s i on . I t w i ll b remo ved fo r 201 I .


16/16

FINANCIAL DISCLOSURE REPOR TPage 16 o f 16

Nam e o f Pe r son Re po r t i ngC u d ah y , R i ch a r d D .

Date of Report05/I 3/2011

IX . CERTIFICATION.l c e r t if y t h a t a ll i n f o r m a t i on g i v e n ab ov e ( i nc l u d i ng i n f o r m a t i on p e r t a i n i ng t o m y s pou s e an d m i no r o r d e pe n d e n t ch i l d re n , i f any ) i saccu r a t e , t r u e , and com p l e t e t o t h e b e s t o f m y know l e d ge and b e l i e f , and t h a t any i n f o r m a t i on n o t r e po r t e d w as w i t h h e ld b e cau s e i t m e t app l i cab le s t a t u t o r y

p r ov i s i on s p e r m i t ti ng no n - d i s c lo s u r e .I f u rt h e r c e r t if y t h a t e a r ne d i ncom e f r om ou t s i d e e m p l oy m e n t and h on o r a r i a and t h e acce p t ance o f g i f t s w h i ch h av e b e e n r e po r t e d a r e i ncompl i ance ~v i th the p rov i s i ons o f 5 U .S .C. app . 501 e t . seq . , 5 U .S .C. 7353 , and Jud ic i a l Confe rence regu la t i ons .

S igna t~ r~ : S /R i cha rd D . Cudahy

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 IF 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 ILA N D C R I M I N A L S A N C T I O N S (5 U . S . C . ap p . 1 0 4 )

C om m i t te e on F inanc i a l D i s c l o s u r eA dm in i s tr a t ive O f f ic e o f t h e U n i t e d S t a t e s C our t sSui te 2 -301O ne C o l um b us C i r c l e , N . E .W as h ing t on , D . C . 2 0544

richard d cudahy financial disclosure report for 2010

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