I

ao t0
,~ev.//2010

I
I

FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009

Report Req.irea by the Ethics
in Government Act of 1978 (.s u.s.c. ,pp. ~§ 1O~-llt)

1. Person Reporting (last name. first, middle initial) Marrero, Victor 4, Title (Ar6cle I|l judges indicate active or senior stazus; magistrate judges indicate full- or part-time) U.S. District Judge - Active

2. Court or Organization U.S. District Court, S.D.N.Y. 5a. Report Type (check appropriate type) ] Nomination, [] Initial Date ~ Annual [] Final

3. Date of Report 0611 f2010 6. Reporting Period 01/01;’2009 to 12/31/2009

5b. [] Amended Report 7, Chambers or Office Address U.S. District Court, SDNY 500 Pear! Street New Y,wk. New York 10007 8, On the basis of the Information contained In this Report and any modiflcatton~ pertaining thereto, it is, in my opinion, In compliance . with applicable laws and regulations. Reviewing Officer Date

Iz~IPORTANT NOTES: The instructions accompanying this form must be followeCL Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

~

NONE (No reportablepositions.) PQSITION NAME QF ORGANIZATION/ENTITY
New York Public Library

1.

Trustee

~

NONE (No reportable agreements.)

~

~

~

~
1.

PARTIES AND TE~S

Marrero, Victor

FINANCIAL DISCLOSURE REPORT Page 2 of 24

Name of Person Reporl|ng Marrero, Victor

I

Date of Report 06/I/2010

[

IlL NON-INVESTMENT INCOME. rReponi.~ individual andsp ....
A. Flier’s Non-Investment Income
NONE (No reportable non-investment income.)

; aeepp. 17-24 of filing instructions.)

DATE
1,

SOURCE AND TYPE

INCOME
(yours, not spouse’s)

2. 3. 4.

B. Spouse’s Non-Investment Income - tfyou we,e married during a,y portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

~
1. 2009 2.

N ONE (No reportable non-investment incomeO

DATE

SOURCE AND TYPE
municipal government official

3, 4.

IV. REIMBURSEMENTS -,,o.~po.,.ao~ ~od~i.~, food. .....,.i ....~
(Includes those to spouse and dependent children; see pp. 25-27 of filing inst~tctions.)

NONE (No reportable reimbursemems.) ~ ~ LOCATIQN PU~OSE ITEMS PAID OR PRQVIDED

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 24

~a~ ot r~r~o. ~por.,,~ ,~r~cro, Victor

D.,e o~ ~o. 06/1/2010

V. GIFTS. a,,~,,a~ NONE (~Vo reportable g~s.) ~
1.
2.

DE~RIPT1QN

3. 4. 5.

VI. LIABILITIES. a,~,a.~ 1~o~ ,/~p~,~., ~,~ a~p,,d,,, ¢aiu,,,: .,,, ,~. ~-~ of f!ling instructions0
NONE (No reportable liabilities.)

CREDITOR
1.

DESCRIPTION

~

2. 3.
4. 5.

FINAINCIAL DISCLOSURE REPORT Page 4 of 24

~a,~e of Pe .... aepor..g
Marrero, Victor

Date
06/1/20

~

NONE (No reportable income, asset& or transactions.) Description of As~ts (including t~st a~ets) Place "(X}" a~er each asset exempt from prior disclosure Income during reporting period Amount Ty~ (e.g., Code I : div., rent.
(A-H) ~ or int.}

:,

Gro~ value a~ end of r~oning pedod Value Code 2
(J-P)

T~nsactions during ~ning ~dod

Value Method
Code 3

Ty~ (e.g., buy, sell,
redemption)

Date ~ Value Gain ~m~d~ ’. C~e 2 Code I ~

Identity of buyer/seller ~rans=cfion)

~ 1. 2. 3, 4. 5. 6. :: 7. 8. 9. 10. I l. 12. 13. 14. 15. CIT[BANK KE~H ACCOUNT: (s~e lines 2 and 3) CD’s Annuity-Transamerica PUTNAM RETIREMENT IRA: (see line 5) Balanced Retirement C 1 -A SUN AMERICA IRA: (see lines 7 and 8) SunArnerica Balanced SunArnerica Goldman Sachs ) PUTNAM IRA: (see line 10) Balanced Retirement CI -A DREYFUS NY TAX EXEMPT FUND SCHWAB: ConEd- common stock NY STATE TUITION SAVINGS PLAN JPMORGAN CHASE MONEY MARKET ) NYC DEFERRED COMP. IRA A D B A A A Dividend Dividend Dividend Dividend Interest Dividend J N K l J K A A Dividend Dividend K K B Interest K A A Interest Interest K K

(Q-W)

T T

T

T T

T T T T T T

16.
17.

(See Columri C2)

U -Book Value

V ,,Olhcr

W =Estimated

FINANCIAL DISCLOSURE REPORT I,N,me of P .....
Page 5 of 24
I

Reporting

Date of Report

06/1/2OI0 Marrero, Victor

VII. INVESTMENTS and TRUSTS - i~, ......t~. , ...... ,ion a~¢t,a,s ,,~
~ NONE (No reportable income, ~sets, or transaction.)
~scfiption of As~ts (including trust asse~) PIace"(X)"a~er each asset exempt from priordi~losu~ ~ ~ Income dufng reining peri~ Type (e,g., div., rent, or int.) Gross value at end of reposing (I) ~ (2) Value ~ C~e 2 (J-P) Value T~e (e.g,, buy,~ll, ~dempfion) T~nsactions du~ng ~ing

(I) ] (2) Amount ~ C~e I [ (A-H) [

,
,

~ Mefl~ ~ Code 3

~ Date ~ Value ~m~’d~t~ ~ Code 2 (J-P)

Gain C~e 1 (A-H)

Identity of buyer/seller (if private

........
18. 19, 20. 21. 22. 23. 24. 25. 26. 2% 28. 29. 30. 3 I. 32. 33. 34. Fidelity Pas Small Cap Fund FideliU Real Estate Invest, FIDELITY ROLLOVER I~A: Isee lines t9 throu~ 175) Puritan Magellan Conrafund Fidelity Cash Reserves Spartan 500 Index Fid Adv Class

~

~ .......

t...

~

~Q-W)

t

~

tran~fion) .t ..................

Sold Sold Sold A A Interest Dividend J T Buy Sold (part) Sold (part) Sold (part) Sold (part) Sold A Dividend Buy Sold (part) Sold A Dividend K T Buy Buy Sold (part)

1i7/09 1/7/09 1/7/09

N ¯ N L

I/8/09 3/5/09 3/7/09 7/23/09 8/27/09 !0/14/09 i 1/8/09 3/5/09 3/27/09 I/8i09 3/5/09 6/3/09

K J J J J J J J J A B B

i

Income Gain Codes:

A =$1,000 or less

B =$1,0OI - $2,500

C =$2.501 - $5,000

D =$5.001 - $t 5.000

E -$15,001 - $50,000

3. Value M¢~od Codes (See Colu~ ~)

Q =Apprai~l U =Book Value

R Cost (Real Es~ Only) V =Other

S =As~ssment W ~Estimaled

T =Cash M~et

FINANCIAL DISCLOSURE REPORT Page 6 of 24

r~ ....fe ..... R~porti.g
Marrero, Victor

~,.,e a~eport
06/1/2010

NONE (No reportable income, assets, or transactions.)
Desefption of Asset~ (including trust assets) Place "(X)" after each as~t exempt from pdor di~losure ~ Income during re~ ng p*ri~ (2) Gross value at end of reposing period (t) ~2) , {I) Value Value C~e 2 (J-P) Method Code 3 ] <2) [ ~3) ~ ~ Ty~ (e.g., buy, s¢tl, redemption) ~ Date ~ ~ (4) Value ] (J-P) Gain C~e I (A-H) Identity of buyer/seller (if private Transactions during reining

: ~1) ’: Amount ~ Code I ~ (A-H)

"r~e (e.g,,
div.. rent, or int.)

m~’dO~~l Code 2

~ranmction) 35. Fideliw Pas Small Cap F~d (eont’d) Sold 7/23/09 J A

(pa~) 36.
37. 38. 39. 40. 4 I. Fideli~ P~ lnt’l Fund A Dividend M T

Sold
Buy Buy Sold (part) Sold

8/27/09
1/8/09 3/5/09 3/27/09 6/3/09 7123/09

J
K J J J K

B

(part)
Buy

A

42.
43. 44.

Buy
Buy Sold

8;27/09
8/28/09 1 O/14i09

K
J J A

Ipart) 45.
46. 47. 48. 49. 50. 5 I. Fidelity. Select Gold Fidelity Capital & Income C Di’,’idend J K T Y

Fidelity Pas US Opp. Fund
Fidelity Dividend Growth

A
A

Dividend
Dividend

K
3

T
T

Buy
Buy Buy Buy Buy Buy Sold

I/8/09
10/14/09 10/14/09 3/5/09 1/8/09 3/27/09 6/3/09

K
J J

K J J A

(part)

FINANCIALpage 7 of 24 DISCLOSURE REPORT

I I Marrero, Victor

Nam¢ of Person Reporting

Date of Report I

06/I/20~0 I

NONE ~ro reportable income, assets, or transactions.)
Description of As~s (including t~st ~scts) Place "(X)" after each ~set exempt [~om prior disclosure ~ [ Income during ~ing pefi~ ~ Gro~ value at end :: of reposing pe6~ T~nsacfions during reining

i (~ ~ (2)

Dat~ Value Gain A~oun~ i Ty~ (e.g., ~ Vah*e ] Value ~ T~ (~.g., " C~e I ~ div. renl, ~ Code 2 buy, ~II, Me~h~ .m~d~ C~ 2 :~ Co~ (A-H~ ~ or ira3 (J-P) Code ~ ~ redemption) , 0-P) {A-H) (Q-W) . .~ ~ ~nsaction) I [

~ O) ~ {2) :

{~}

(2) ] O)

(~)

~)
(if private

52.

Fidelib-Capital & Income cont’d)

Sold (pa~) Sold

7/23/09

]

B

53.

10/14/09

J

A

~4.

Fideli~ Inves~ent Grad~

B

Dividend

L

T

Buy

I/8/09

K

55. 56. 57. 58.
59. Fidelity Short Term Bond K

Sold (part) Buy Sold (part) Buy
Sold

3/5/09 3/27/09 5/19109 6/3/09
10/I 4/09

J J J J
J

A

A

(part)
A Dividend T Buy

A

60. 6ii

t,"8/09

K J

Buy

3/27/09

62. 63. 64. 65,
66.

Buy Sold (part) Buy Fidelity Total Bond B Dividend L T Buy
SoId

6/3/09 7/23/09 10/14/’09 I/8/09
3/5/09

J J J K A

(part)
Buy

67.

3/27/09

68.

Buy

6/3/’09

J

FINANCIAL DISCLOSURE REPORT Page 8 of 24 VII. INVESTMENTS and TRUSTS - ~ ....

N,me of Person Reporting

D,le of Report

Marrero, Victor

06/1/2010

e, value, transactions (Includes those of s~ouse and dependent children; see pp. 34-60 o/fitlng instructions.)

~]

NONE

reportable income, as’sets, or transactions..)
i ~ income du~ng re~ing p~iod Gross value at end 3f rcpomng {I) (2) Value Value CMe 2 MethM Code 3 {J-P) (Q-W) T~ {e.g., _ ~demption} {J-P) (A-H) (if private tr~ction)

Desc~ption of Assct~ (including t~st zsse~s)

~ {t) ~ (2} ] Amount ’ Ty~ {e.g., Place "{X}" after each ~set exempl from prior disclosure. ; Code I :, div., rent. (A-H} or int.)

69.

Fidclfly Total Bo~d (cont’d)

]

Buy

8i27/09

J

!
70, Fidelity Pros Core Income Fund C Dividend L T Buy I/8/09 K 71. Buy 3/27/09 J

72.

Buy

6/3109

J

73.

Buy

7/23/09

J

74, 75.
76.

Buy Fidelity Pas Income Opp Fund C Dividend K T Buy
Sold

10/14/09: 1/8/09
7/23/09

J K
J A

{part)
Fidelity Money Market A Dividend J T Buy

77.

7123Ar’3

J

78.’’

Sold (part) Buy

8/18/09

J

79.

8127/09

J

80. 8I. A]lianz NFJ Divident Value Dividend K T

(p~)
A Buy

Sold

1 I/24109

J

I/8!09

K

82.

Buy

3/5/09

J

83.

Sold

(part) (part)
Sold
Buy

6/3/09

8,1.
85. Dreyfus Appreciation Fund A Dividend K Y

8/27/09
1/8/09

Value Me~od Codes (See Col~n C2)

Q ~ Apprai~l U -~B~k Value

R ~Co~t (Rcal E~ate O~ly) V -Other

S W =Estimat~

FINANCIAL DISCLOSURE REPORT Page 9 of 24

~ame or ~erson Repor~|ng
Marrero, Victor

O~.e of aepo.
0611/2010

VII, INVESTMENTS and TRUSTS -inco,.e....t~... ...... ,io.. a~a~ae. ,~ose o~.~ ...... ~ ~.~.~, ~iu~.; .~. ,p. ~-6o oy~ti~a
NONE (No reportable income, ~sets, or transactions.)
Description of As~ts (including t~st ~se~) t*lace"(XF aftereach ~s~t exempt from prior ui~tosure Income during reining peri~ ~Amount ~ CtM¢ 1 [A-H) T~(¢.g., div.. rent, or int.) Gross value at end ~ of reposing ~fi~ T~nsactions d~ng ~ing ~fiod

~-~) ~ d~ ........ ~ .........(~ ................ ~)
Value C~e 2 0-P) ~ Value ~ Meth~ ~ Code 3 T~ (e.g., buy, sell, redemption)

~ (~) ~ (~) (4)
~ Date ~ Value Gain ~m~d~’yy ~ C~e 2." C~e I . (j.p~ i (A-H) ~

(~)
Identity of buyeu’selIer (if private

86. 87. 88. 89. 90. 91. 92.

Droy~sAp~reciation Fund(cont’d)

Buy Sold (part) Sold

3/5/09 3/27/09 6/3/09 7/23/09 8/27/09 1/8/09 6/3/09 7/23/09 8/27109 I/8/09 3/27/09 6/3109 7/23/09

J J .r J J K J J J K J J J A A A A A A A A

(part)
Sold (’part)

(part)
Goldman Sachs Large Cap Value A Dividend K T Buy Sold Sold

Sold

l

(part) (pan)
Sold (part) Hartford Growth Opp Class A J T Buy Sold

93.

:. 94. I 95. 96. 97. 98.

(P~)
(part)
Sold Sold

(~an)
Sold (part)
J T Buy Sold

99.
100. Hartford Capital Appreciation Class A 101.

8/27/09
1/8/09 3/5/09

J
K

A

(pan) 102. Sold (part) 3/27/09

FINANCIAL DISCLOSURE REPORT Page ! 0 of 24 VII. INVESTMENTS and TRUSTS -i ....
]~

N .... ,Pe .... .epor.ng
Marrero, Victor

Dateof
06/1

e, value, , ......

tions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructionsO

NONE (No reportable income, assets, or transactiom~)

¯

~ .......... i ............c. ~.
Description o~ Asse~s (including tms~ a~ets) elacc "(X)" a~er each asset exempt from prior dimlosure Income during ~ing period ,Amount C~e 1 (A-H) Type(e.g,. div., rein, or int,) Gross value at end of repoaing ~n~ Value Code 2 (J-P) : Value Meth~ Code 3 ~

"

" ~i ...................
Transactions d~ng ~ing

[ Ty~{e.g.. ’. buy, sell, [ ~demplion)

~ Da~e ~ Value m~d~ [ Code 2 ~ (J-P)

Gain Code 1 (A-H)

Idemityof buy~seller

103. Ha~ford Capital Appreciation Cl~s A (cont’d) l~. Hotchkis & Wiley Large Cap Value Cl~s A A Dividend K T

Sold (p~) Buy

613/09

J

A

I/8/09

K

105. 106. 107. Perkins Mid Cap Value Fund C1J
108.

Sold (part) Sold (part) A Dividend J T Buy
Sold

3i27/09 8/27/09 1/8/09
6/3/09

J J J
J A

A

{P~)
109.
I t0. JPMorgan US Lg Cap Core Plus A Dividend K T

(pro)
Buy

Sold

7/23/09
1/8/09

J
J

A

l I 1. 12. 13. 14. ~ 5. 16. ! 7. Legg Mason CBA Lg Cap Growth A 18. 19. J T Lazard Emerging Mkts Open CI ¯A Dividend J T

Buy Buy Buy Buy Buy Buy Buy Sold Sold. (part)

3/5/09 6/3/09 6/23/09 7/23/09 8/27/09 10/14/09 1,"8,"09 3/2709 8/27!09

J J J J J J K J J A B

E Income Grin Codes:

A =$1,000 or less

B ~$1 J)01 - $2.51)0

C =$2,501 - $5.000

D ~$~1 - II5,~ ................................

FINANCIAL DISCLOSURE REPORT

N ....

f P ..... Reporting

Date of Report

Page 1 1 of 24

marrero, Victor

06/1i2010

VII. INVESTMENTS and TRUSTS - i .... e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
[] NONE (No reportable income, assets, or transactions.) Description of Assets (including t~st ~se~) Place "(X)" aRer each ~set .... pt from prior di~! ..... Income duang [ re~aing peri~ Gross value at end , of reposing ~fi~ ~ Value ~ Method [ Ty~(¢.g., buy,~t,, T~nsactions dufng ~aing ~6od

[ Value [Amo~t[ T~(e.g., CMe I di ...... 1, [ Code 2

Date l Valu¢ ]m~d~. ]

120. MFS lnt’l Value Fund CI A 121. 12I MFS Research [nt’l Ct~s A 123. 124. Mainstay Lg Cap Growth Fund CI A 25. 126. 127. Marsico Focus 128. 129. 130. 131, M~ter’s Select Int’l Invest t32. 133. Merger Fund 134. 135, 136.

A

Dividend

J

T

Buy Buy

7123/09 8/27/09 7/23/~ 8/27/09 3/5/09 3/27109 K J j J

A

Dividend

J

T

Buy Buy

K

T

Buy Buy

Buy A

8/27/09 Dividend J T Buy Sold Sold Sold (p~) 118/09 3/5/09 6/3/09 7/23/09 7/23/09 8/27/09 I/8/09 3/5[09 613/09 10/14/09 J

K J J]A J]A J J

A

Dividend

J

T

Buy Buy

A

Dividend

K

T

Buy Sold Buy Buy

J

(See Columns BI and D4) 2, Value Codes (See Colun~ats C1 and D3) 3. VMu¢ Method Codes (see Column C2)

F =$50,001 - $100,0OO J =$15,000 or [¢s$ N =$250,0OI - $500.000 P3 =$25,000.OO1 - $50,000,000 Q ~Appraisal U =Book Value

G =$100,001 - $I,0~O,000 K =$15,00| - $50,000 O =$500,~OI - $1,0OO.0OO R =Cost (Real Estalc Only) V =Other

HI =$1,000,001 - $5,0OO.000 L P1 =$I,O00,001 - $5,000,000 P4 =More Ihan $50,000,0OO S =As:sessmeat W =Estimated

H2 =Mor~ than $5,0OO,000 P2 =$5.6OO,0OI - $25,000.000 T =Cash Market

FINANCIAL DISCLOSURE REPORT

[ N ....
]

f P ..... Reporting

Date of Rcpor,

Page 12 of 24
Marrero, Victor

06/1/2010

NONE ~o reportable income, ~sets, or transaction.)
Description of As~ts (including t~st assc~) Place "(X}" a~er e~h as~t exemp~frompriordi~losu~ Income d~ri~g re~ing period Amount ~ Ty~ (.g., ~ C~ ] ~ div.,rent, ~ (A-H) orinl.) ~ ~ Gross value al of reposing Value C~~ (J-P) Value Merh~ Code 3 T)~ (.g., ] Da~ : Value redemption) [ Gain Iden~i~" of

137. Morgan S~ley Mid Cap Gr Po~ C1 P 138, 139. 140. 14 I. 142. 143. Pimco Total Return Adm Shs 144. 145,
146.

K

T

Buy Sold

1~8109 315/09 3/27/09 6/3/09 7/23/09 8/27/09 1/8109 3/5/09 3!27/’09
8/27/09

K J J J J J L A A A B

(pa~)
~par,) (p~)
Sold Sold Sold

(part)
Sold (part) C Dividend L T Buy Sold Buy
Buy

(part)

J

147. I48. Pimco Short Term Adm Shs 149. 150. 15 I. 52. 53. A Dividend K T

Sold

10/14/09 t/8/09 3/5/09 3/27/09 6/3/09 7/23/09 10/14/09

J K J J J J J

A

(part)
Buy Buy Buy Buy Sold Buy

(pa~)

A

FINANCIAL DISCLOSURE REPORT Page 13 of 24

Name of Person Reporting Marrero, Victor

Date of Report

06/i/2010

VII. INVESTMENTS and TRUSTS -income, v*~.o, , .....
NON E (No reportable income, assets, or transactions.) .............A . DescmFtion of Assets (including test ~sets) Place "{X)" a~er each ~t exempt f~m ~fior disclosure .................................. :. ...... 15~. Pinto Come Real Ret S~at Adm 155. 156. Pimco Foreign Bond Fund Unhedged 157. 158. T Rowe Price Gr Stock Adv CI A Dividend A Dividend B Dividend i~ "a. ~ Income dumng ~ning period Ty~ (e.g., div., rent. orint3

,ions (Incl.des those of w ..... nd dependent childn; see pp. J4-~ of filing instructlon~)
C . - ........... ~ Gross value at end of reposing ~ Value C~e 2 (J-P) Value Meth~ Code3 (Q-WJ T T~e (e.g,, buy, sell, redemptionj O. " ......... "rr~sactions d~ng ~ing ~n~

, Amount C~e 1 (A-H)

~ Date Value ~ Gain ] m~’d&yy C~e2 C~e I ] ~: (J-P) leA-H) ] ] ~ ~ I/9/09 3/27/09 I/8/09 6/3/09 1/8/09 K J K K K A

ldentiW Ol buyer!seller 0fpfivate t~n~ction)

K

Buy Sold (part) Buy Sold Buy

159. 160. 161. 162.
163. T Rowe Price High Yield Adv CI 164. 165. 166. Selected American Shs C1S 167. 168. 169. Templeton Global Bond C1 A 170. A Dividend K T A Dividend K. T Royce Penn Mut Fund B Dividend K J T T

Sold (part) Sold Sold (part) Sold
Buy Buy Sold Buy Sold (part) Sold (part) Buy Buy

3/5/09 6/3/09 7/23/09 8/27/09
1/8/09 3/5/’09 6/3/09 1/8/09 6/3/09 8127/09 6/3/09 6/4/09

J J J J
K J J K A

A A B

(part)

I
J J K J A A .

FINANCIAL DISCLOSURE REPORT Page 14 of 24 VII. INVESTMENTS and TRUSTS - income, ~aJus, , ......

N ....

fPerson Repnrt|ng

DateofReport

~zrrero, Victor

06/1/2010

tio~ (Includes those of spouse ,rid dependent children; see pp, 34-60 of filing inMruc~on~)

~ NONE (No reportable income, ~sets, or tra~action~.)

.............. ~. - ..................... ~. .... ~ ........
l~sc~ption of Assets (including t~st ass~) Place "(X)"a~r each as~t exempt from priordi~[osure ~ ~ Income during ~ing period

~ ..... c: .... ~ ........
Gro~ valu~ at end

~. .........................
T~saetions dunng ~po~ing

~Amoun~ [ T)~ (~.g., ’ Code I ~ dW.,renL (A-8) or int.)

Value [ Value [ Code 2 ~ Mcth~ [

T~ (e.g., buy, sell,

~ Date Val~ :: Gain mm!d~ Code 2 C~e I

Identi~ of buyer/seller

17 l. Te~p!~ton Global Bond C[ A (cont’d) 172. Wes~o~ Select Cap CI R 173. t 74. 175. !76. 177. ~ FIDELITY ROLLOVER IRA: (see lines i98 through 228) 178. Amedstock Fund 179. Artisanlnt’l. 180. FMI Focus Fund 181. Oakmark Equity & Income Fund 182. Royce Stock Fund 183. Fidelity (Sash Reserves 184. Fidelit Pas Small Cap Fund 185. Fidelity Pas lnt’I Fund 186. 187. A A A Interest Dividend Dividend J J J T T T A Dividend 3 T

Sol~ Buy Sold

7/23/09 1/8/09 3/5/09 7/23/09 8/27/09

J K J J J

A

(pan)
Sold (part) Sold (part)

A A

Sold Sold Sold Sold Sold

1/7/09 1i7/09 I17/09 I/7/09 I/7i09

J K J K J

Buy Buy Buy Buy

1/8/09 1/8/09 7/29/09 8/27/09

J J J

I Income Gain Codes: (See Colunms B 1 and D4) 2, Value Codes (S¢c Columns C1 and D3) 3. Value Mc~hod Co<its (See Column C2)

A ~$1,0~0 o¢ le~s F =$50,001 - $100,00~ J =$15,0~ or less N =$250,001 - $500,000 P3 =$25.000.0OI - $50,000,000 Q ~Appraisal U ~8ook Value

B =$1,001 - $2,500 G ~$I00,0OI - $1,0~dO,0~O K =$15,001 - $50,~O(~ O ~$51~0,~O1 - $1,000,000 R -Cost (Real Eslale Only) V =O~her

C =$2.501 - $5,0~ ttl =$1,000,~O1 - $5,000.000 L "=$50,001 - $100,000 PI =$1,000.001 - $5,000,000 P4 =More tl~n ~ -Assessment W "~Estimated

D -$5,001 - SIS,000 H2 =More than M =$100,001 - $250,000 P2 *$5~000,0~1 - $25,000,000 T =Cash Market

E =$15,0OI - $50,000

FINANCIAL DISCLOSURE REPORT Page 15 of 24
VII. INVESTMENTS and TRUSTS - i ....

Marrero, Victor
., .a~.~, ~ ...... ao.~ ~.¢~.do~,nos~ o;~,~...~ a~,~.~.t,,~u~.~.~

06/1/2010

~

N ONE (No reportable income, ~sets, or transactions.)

....................... ~.
Descoption of As~ts (including t~t assets) Place "(X)"afler each asse~ exempt ~m prior disclosure ............................ ~ ..... 188. Fideli~ P~ US Opp Fund 189. Fideli~ Real Estate Inc. 190, Fidelity Capital & Income 191. Fidelity Invest Grade 192, 193. 194. 195, 196. 197, Fidelity Money Market t198, 199. 200. 20 I, 202. 203, American Beacon Lg Cap Invest 204. Allianz NFJ Dividend Value Fund Fidelity Pas Core Inc Fund Fidelity Pas Income Opp Fund Fidelity Total Bond

~
t[ ;

~.
Income dunng m~ing peri~

~ .....

c.
Transactions during ~ning

Gross value at end ~ of reposing period ~ Value ~ C~e 2 , (J-P) ~ Valu~ ~ Met~ ~ Code 3 ~: (Q-W) ~ ............. T T T T T T~e (e.g., buy, sell redemption)

Amount ~ Type (e.g., Code I ~ div.,rent, ~ (A-H} ~ or int.) ~ : A A A A A Divideo~ Dividend Dividend Dividend Dividend

: D~te Valu~ Gain ldentiw of ~m~d~)D’ C~g 2 C~e I buyer/~ller ~ (J-P) ’ (A-H) ;, (if private ~ tran~ction) ~ ....... ~ ................................... * t/8/09 1/8/09 1/8/09 1/8/09 I/8/’09 7/29/09 I/8/09 I/8/09 5/28/09 I/8/09 3/27/09 5/28/09 1/8/09 7t29/09 8/27/09 7/29/09 8/27/09 J J J J J J J J J A J J J

J J J J J

Buy Buy Buy Buy Buy Buy

A A

Dividend Dividend

J J

T T

Buy Buy Sold (part)

A

Dividend

J

T

Buy Buy Buy

A

Dividend

Buy Sold (part) Sold

A

Dividend

J

T

Buy Buy

FINANCIAL DISCLOSURE REPORT
Page 16 of 24

~,me of Person Reporting Marrero, Victor

Date of Report 06/D2010

NONE (No reportable income, assets, or tra~actions.) De~dption of As~ts (including trust ~se~) Place "(X)" after ~ch ~set exempt from prior di~losnr¢ ......................................... ~ 205. Credit Suisse Commd Rim St~ Sh 206. Goldman Sachs Lg Cap Val fnstl 207. John HancockUSGlobLeadGrCIA ~ [ Income during ~oning period (~) (2) Amount T>~e (e.g, Co~ I div., rent, ~ (A-H) or int.) .. A A Dividend Dividend Gro~ value at end ] of reposing ~ri~ O) ’ t2) Value ~ Value ~ C~e 2 Meth~ Code 3 ~ (J-P) (Q-W) J J T T "F~nsactions d~ng m~ing period (~) Ty~ (e.g., buy, sell, redemption) ’: (2) ’ ~3) (4) Value Gain ~ Date ;mm!dff’~ C~ 2 ~ Code I (J-P) ] (A-H) (5) ldentiU of buyer/seller (if private t~n~ction)

~

Buy Buy Buy

!/8/09 1i8/09 I;’8,’09

J J J

208. 209. 210. 211, Janus Fund CI J Shs 212. Perkins Mid Cap Val Fd lnv Shs
213. Lazard Emerging Mkts Open C1 214. 215. 216. 217. 218. 219. 220. Pimco Total Return Adm Shs 221. Pimco Short Term Adm Shs A A Dividend Dividend J J T T Mainstay Lg Cap Gr Fd C[ A Merger Fund Metropolitan West Low Duration M A A Dividend Dividend J J J T T T

(part) Sold (part) Sold A A
A

3/27/09 7129/09 8/27/09 I/8!09 1/8/09
7/29/09 8/27/09 1 114/09 I/8/09 1/8/09 1t8109 3/27/09 1/8/09 1i8;’09 J J J J J J J J J

Sold

Dividend Dividend
Dividend

J J
J

T T
T

Buy Buy
Buy Buy Buy Buy Buy Buy Sold (part) Buy Buy

1, Income Gain C,~vdcs:

A =$1,00~ or less

B =$ !,001 - 52.300

C =$2,501 - $5,000

D =$5,1~1 -

3 V~lue Method C~ (~c Colu~ C2)

Q =Apprni~l O "’flook Value

R =Cosl (R~[ Estate Only) V =~her

S =A~ssmenl W -Estimated

T =Cash Mark~

FINANCIAL DISCLOSURE REPORT Page 17 of 24

r~ .... f P ..... Reporting Marrero, Victor

Date of Report 06/1/2010

NONE ~o reportable income, ~sets, or tra~actions.) Description of As~ts (including trust ~se~) Pla~ "(X)" after each ~set exempl from prior disclosure Income during re~ing peri~ :Amount Code 1 (A-H) Ty~ (e.g., div., rent, or int.) Gross value at end of re~ing ped~ Value Code 2 tJ-P~ Value Method Co~ 3 (Q-W) "Vy~ (e.g., buy, sell, redemption) Transactions dufng re~oing ~fi~

Date ~m~d~ ~ [ I/8/09 7/29/09 8/27/09 I/8/09 5/28/09 I/8/09 5/28/09

Value :~ Gain C~e 2 ~ C~e I (I-P) ~ (A-H)

Identity of buyeri~[ler (if private transa¢lion)

222. Pimco Total Return Mtg¢ Adm CI 223. 224. 225. Pimco Foreign Bd Fd Unhedged Adm CL 226. 227. T Rowe Price High Yld Adv C1 228. Templeton Global Bd Cl A 229. 230. ~ FIDELITY SEP IRA: (see lines 230 through 320) 23I. Baron Small Cap Fund 232. Columbia Value and Rest C1 (Excelsior) 233. Fidelity Floating Rate High Income 234. [qde|ity Contraftmd 235. Tweedy Brown Global Value Fd 236. 237. 238. Fidelity Pas Small Cap Fund Fidelity Cash Reserves

A

Dividend

I

Buy Sold (part) Sold (part)

~ J J J J J J A A A

A

Dividend

Buy Sold

A A

Dividend Dividend

J J

T T

Buy Buy

Sold Sold Sold Sold Sold A Interest J T Buy A Dividend J T Buy

I/7/09 1/8/09 I/7/09 I/7/09 I/7/09

J

K J K

1/9/09 I/7/09

J J

FINANCIAL DISCLOSURE REPORT Page 18 of 24

] Name of Perso. Reporting [ Marrero, Victor

Date o[ Report

06/I/2010

NONE ~o reportable income, assets, or tram’action.)
Description of Assets ~including t~st ~els} Place "(X)" after ~ch as~l excmpl [rom prior di~losur¢ ~ [ Income du~ng ~po~ing period ~ Gro~ value al ~nd of repomng Value ~ Code 2 (J-P) Valu~ M¢~h~ Cod~ 3 Type (e.g., buy, ~ll, mdempl~on) T~n~clions d~ng ~pomng

Amount ~ Type (c.g., C~e I ~ div.,renl, ~ (A-H) ~ or int.)

[ Date ~mm;d~

Value Code 2 (J-P)

Gain Code I (A-H)

ldcnli~ of buyer~sell~r (ifprivale

i
239. Fideli~ P~s lnt’t Fund 240, 24 I. 242. 243. Fidelity Pas US Opp Fund 244. 245. 246. 247. 248. 249, [250, 251. 252. 253. 254. 255. Fidelity’rotal Bond A Fidelity, Invest Grade A Fidelity Select Gold Fidetity Capital & Income A A Fidelity’ Real Estate Income A A A

~
Dividend J

(Q-W) ............................
T Buy Buy Buy Buy Dividend J T Buy Buy Buy Dividend J T Buy Buy Dividend Dividend J J T T Buy Buy Buy Dividend K T Buy Buy Buy Sold (part) Dividend K T Buy I/7/09 I/9/09 7/29/09 1 I/4/09 117/09 1/9/09 3/27/09 1/7/09 I/9/09 3/27/09 Ii7/09 1/9/09 1/7109 I/9/09 7,;29/09 1 I14/09 1/7109 J I J J J J J J J J J J J J l

i ...............................

A

3. Value Method Codes

Q =Apprai~l

R ."Cost tReal Estate Only)

S =Assessment

T =Cash MarkeI

FINANCIAL DISCLOSURE REPORT Page 19 of 24

aep,,r,ing N .... f e .....
Marrero, Victor

D,te of Re,,or, 06/1/2010

VII. INVESTMENTS and TRUSTS - i.,o.,. ..l~.. ,~..s.c,io.~ a.d~a.s ,~o,. o~o~ ..a a¢~.~,.t .~i~,.~; ~,, ~ ~.~o o[m.~ ~.~,.,ao~)
NONE (No reportable income, ~sets, or transaction.)

~.

- ........................

a

~ .............................................. ~.
Gro~ value at end of reoomng pen~ Value Code 2 (J-P) Value Meth~ Code 3 (Q-W$ Type (e.g., buy, sell, ~demption) T~nsactions du~ng ~po~ing ~fi~

Description of As~ts (including 1~81 ~~}

Income during re~mng peri~

Place "(X)" a~er ~ch ~t exempt from prior dtsclosure

~ Amoum C~e l {A-H)

Type (e.g., dry,. rent. or mr.)

t

Date m~/d~’~

Value C~e 2 (J-P)

Gain C~e 1 (A-H)

IdentiW of buyer!seller (tf p~vate transaction)

256. 257. 258. 259.

Fidcli~Toml Bond (cont’d)

Buy Buy Buy Buy 13 Dividend K T Buy Buy B Dividend J T Buy Buy Sold

I/9/09 7/29/09 8/27/09 8/28/09 I/7/09 1/9/09 I/7/09 1/9/09 5/28/09 7/29/09 I/7/09 I/9/09 3/27/09 5/28/09 1/7/09 I/9/09 I/9/09

J J J J K J J J J J J J J J J 3 J A A

260. Fidelity Pas Core lnc Fund ,261. ¯ 262. Fidelity P~ lnc Opp Fd 263. 264. 265. 266. Fidelity Money Market 267. 268. 269. 270. Allianz NFJ Dividend Val Fd 27 I. 272.

(part)
Sold
(pm~)

A

Dividend

J

T

Buy Buy Buy Buy

A

Dividend

Buy Buy Buy

i

2. Value Codes (See Colurp~s CI and D3]

J =$15.0(K) or less N ~$250,001 - $500,000

K -$15,001 - $50.000 O =$50~,001 - $1,0~0.000

L ~$50.001 - $10~.0OO PI -$1,000,00! - $5,000,0~O

M =$100,001 - $250.000 P2 =$5,12’00,001 - $25,000,000

FINANCIAL DISCLOSURE REPORT Page 20 of 24

,~ .... fPerson Reporting

DaceofReport

~r~r,, vie(or

o6/1.,’2o~o

VII. INVESTMENTS and TRUSTS - i ..... e, ,,,~,,e, ,, ..... ao~ a,ct~a,., ,ho.,, pimp ...... d a,p,~,., ~hUa,,,:
NONE (No reportable income, ~sets, or transactions.)
De~nption of As~ts (including ~1 assets)

~ ~.

Income d~ng ~po~ing period .

~

Gross value at end of repoSing pen~

;

T~sactions during ~po~ing ~od ........

Place "(X)" a~er each a~et
exempt f~m prior di~los~e

.................................. ~ ......

T~ (e.g., Code I ’ div., renL (A-H) or int.) ~ : : ..............

Value [ Value T~e (e.g.,~ Code 2 ’: Me~ buy, sell, Code 3 redemption) (J-P) (Q-W) ~ ................ ~

Date i Value Gain i mmid~’~ :’ Code 2 Code I ; (J-P) (A-H) ~ ] .....

Identi~ of buys/seller (if private

273. All~anz NFJ Divident Vat Fd (con’t) 274, 275, 276. American Beacon Lg Cap Invest 277, 278. Credit Suisse Commd Return Strtgy Shs 279. 280. Goldman Sachs Lg Cap Val lnstl 281. 282. 283. John Hancock US Glb Lead Gr CI A 284. 285, i286, 287, 288. Janus Fund CI J Shs A Dividend J T A Dividend J T A Dividend J T A Dividend J T

Buy Sold

3/27/09 7/29/09 8/27/09 7/29/09 8/27/09 1/7/09 1/9/09 I/7/09 1/9/09 7/29/09 I/7/09 1/9/09 7/29/09 8/27/09 1/7/09 1/9i09

J

(pan)
Sold Buy Buy Buy Buy Buy Buy Sold (part) Buy Buy Sold (par~) Sold Buy Buy

J J J J J

’289.

Sold (part)

7/29/09

J

A

FINANCIAL DISCLOSURE REPORT Page 21 of 24

Name of Person Reporting Marrero, Victor

Date of Report

06/I/2010

VII. INVESTMENTS and TRUSTS - in ....... i,,, t ....... ~ion$ aneludes those of sl~O ..... d dependent children; set pp. 34-60 of filing instruction.s0
NONE (No reportable income, assets, or transactions.) Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior diselosure Income dunng reporting period !AmountI Typet.e.g., i~(A-H) I i : div.. rent, Code or int.) Gross value at end of reporting period I Value Ct~e 2 (J-P) value Method Code 3 (Q-W) Type(e.g., buy, sell, redemption) Transactions during reporting period

Date t Value mn~’dd!yy i Code 2 i i (J’P) i [ I,’7/09 I/9/09 8/27/09 J J J

Gain i Code i (A-H) ! 1

ldemityof buyer/seller (if private transaction1

290. Janus Mid Cap Value Invest Shs : 291. 292. 293. Perkins Mid Cap Value Fd C1 J (merged with line 290) 294. Lazard Emerging Mkts Open CL 295. 296. 297. Ivlainstay Lg Cap Gr Fd CI A 298. 299. 30’~’. Merger Fund 301. 302. Metropolitan West Low Dur M 303. 304. 305. Pimco Total Reran Adm Shs

A

Dividend [ /

Buy Buy Merged (with line 293)

A

A A

Dividend Dividend

J J

T T Buy Buy Buy 7/29/09 8/27i09 11/04/09 I/7/09 I/9/09 8/27/09 I/7/09 1/9/09 t/7/09 I/9/09 3/27/09 I/7/09 J J J J J J J J J J J J A

J

T

Buy Buy Sold

A

Dividend

J

T

Buy Buy

A

Dividend

J

T

Buy Buy Sold

B

Dividend

K

T

Buy

306.

Buy

1/9/09

J

i 2. ValucCedes

J=$!5.000orless

K-$15,001 -$50.000

L =$50,0~1-$100.000

M=-$100,001-$250,000

FINANCIAL DISCLOSURE REPORT Page 22 of 24 VII. INVESTMENTS and TRUSTS -i. .......

N ....f ee.o. R~por.n~ M,.rer,,, Vieor

O.t0 of Repot. 06/I/2010

~.. . ......,~o~ a~a~a.~ ,~o,. oZ~ ...... d a.~a.., ~hU~,.~; ~.. ~ ~4-~0 of ,~i.~ ~.~,,..~o.~)
c.
Oro~ value at end of reporting ~ri~ ~ Value ~ Code 2 Value Meth~ T~e (e.g., buy, ~tl, redemption) Da~e m~’d~)~ Value C~e 2 (J-P) Gain C~e 1 (A-H) Ident~W of buyer/seller (ifp~vate ~ ............................

~ NONE (No reportable income, assets, or transactions.) ..... ~. ........... ~ ~.
Description of As~ts (including t~st a~ets) Place "(X)" a~er each ~t exempt from prior disclosure ) Income du~ng ~po~iag peri~ Ty~ (e,g., div., ~nt, or inL)

: .....................~.
T~asactions d~ng reining ~fi~

Amount ~ C~e 1 : (A-H) ~

............................ ~

,~ ~J-P) C~e 3 ~ (Q-W) ~ ..................................

tr~ction)

307. Pimco Shon Te~ Adm Shs 308. 309. Pimco Total Rtrn Mtge Adrn CI 310. 311. 312. 313. Pimco Foreign Bd Fd Unhedged Adm CI 314. 315. 316. T Rowe Price High YId Adv C[ 317. 318. 319. 320. Ternpleton Global Bd C1A

A

Dividend

K

T

I

Buy Buy

1/7,’99 1/9/09 I/7/09 I/9/09 7/29/09 J

J

A

Dividend

Buy Buy Sold (part) Sold

8/27,,’09 J 1/7/09 1/9/09 5/28,’09 1/7/09 1/9109 7/29/09 5i28/09 5/29/09 J J J J J J A A A A

A

Dividend

Buy Buy Sold

A

Dividend

J

T

Buy Buy Sold (pa~)

A

Dividend

J

T

Buy Buy

P3 -$25,0~,~1 - $50,@,~

P4 =More

FINANCIAL DISCLOSURE REPORT
Page 23 of 24

N ....

f Person Reporting

Date of Report

Marrero, Victor

06/1/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 24 of 24 IX. CERTIFICATION.

Na,~e of Pe .... Reporting

Date or Report

~larreru, Victor

06/112010

! certify that all information given above (Including information pertaining to my spouse and minor or dependent children, if any) is accurate, tru e, and complete to the best of my knowledge and belief, and that any information not reported was with held because it met applicable statutory provisions permitting non-disclosure. 1 further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 el. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Si

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE Tills REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

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