FINANCIAL DISCLOSURE REPORT. Report Required by the Ethics in Government Act of 1978 Rev FOR CALENDAR YEAR 2007 (5 US.C. app.

Similar documents
[Z NONE (No reportable positions.)

D NONE (No reportable positions.)

[Z NONE (No reportable positions.)

D NONE (No reportable positions.)

[{ NONE (No reportable positions.)

D NONE (No reportable positions.)

FINANCIAL DISCLOSURE REPORT Report Required by the Ethics FOR CALENDAR YEAR 2005

II. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) l2j NONE (No reportable agreements.) PAR TIES AND TERMS!.

D NONE (No reportable positions.)

[K NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

[{ NONE (No reportable positions.)

[{] NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

[{ NONE (No reportable positions.)

D NONE (No reportable positions.)

2. Court or Organization. Western District of Texas. Sa. Report Type (check appropriate type) D Nomination, D Initial. [{ Annual. Amended Report. Sb.

[{ NONE (No reportable positions.)

[{ NONE (No reportable positions.)

[{ NONE (No reportable positions.)

D Nomination, D Initial

D NONE (No reportable positions.)

D NONE (No reportable non-investment income.)

[{ NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

[Z NONE (No reportable positions.)

D Nomination, Initial

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable non-investment income.) IZ NONE (No reportable non-investment income.) IZ NONE (No reportable reimbursements.

Report Required by the Ethics AOlO FINANCIAL DISCLOSURE REPORT. in Government Act of 1978 Rev FOR CALENDAR YEAR 2006 (5 U.S.C. app.

D NONE (No reportable positions.)

D NONE (No reportable positions.)

FINANCIAL DISCLOSURE REPORT. in Government Act of 1978 Rev FOR CALENDAR YEAR 2005 (5 U.SC. app. /0/-11/) 2. Court or Organization

2009. Holwell, Richard J UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK. ;u,-, ;:,,. o : - r11. August 14, 2009

(1) (2) I. Trustee Thomas L. Ambro Revocable Trust. 2. Member Georgetown University Alumni Admissions Program Board of Advisors

UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ILLINOIS 219 SOUTH DEARBORN STREET CHICAGO, ILLINOIS May 13, 2009

YAVArJAUG-U, SRETI IV

Report Required by the Ethics AOlO FINANCIAL DISCLOSURE REPORT. in Government Act of 1978 Rev FOR GALENDAR YEAR 2008 (5 U.S.C. app.

UNITED STATES DISTRICT COURT

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

[{ NONE (No reportable positions.)

D NONE (No reportable positions.)

UNITED STATES COURT OF APPEALS FOR THE NINTH CIRC UIT 125 SOUTH GRAND AVENUE

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

W.D.N.Y. 3. Date of Report

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

FINANCIAL DISCLOSURE REPORT. Report Required by the Ethics AO-IO(W) in Government Act of I978, Rev. 1/2004 FOR CALENDAR YEAR 2004

[{ NONE (No reportable positions.)

D NONE (No reportable positions.)

[{ NONE (No reportable positions.)

D NONE (No reportable positions.)

[Z NONE (No reportable non-investment income.) D NONE (No reportable non-investment income.) D NONE (No reportable reimbursements.

D NONE (No reportable positions.)

Q NONE (No reportable positions.)

July 16, Please accept this correspondence in response to your June 24, 2008 request for additional information.

[{ Annual. D Amended Report

[{ NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.}

[R NONE (No reportable positions.)

D NONE (No reportable positions.)

[{ NONE (No reportable positions.)

D NONE (No reportable non-investment income.)

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR Q Q Final

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

D NONE (No reportable positions.)

[K NONE (No reportable positions.)

[{ NONE (No reportable positions.)

!2 NONE (No reportable positions.)

D NONE (No reportable positions.)

Report Required by the Ethics AOJO FINANCIAL DISCLOSURE REPORT. in Government Act of 1978 Rev FOR CALENDAR YEAR 2005 (5 U.S.C. app.

United States Court of Appeals AMENDMENT. B. Spouse's Non-Investment Income: I Suntrust Bank Salary

[{ NONE (No reportable positions.)

[{ NONE (No reportable positions.)

Report Required by the Ethics AO 10 in Government Act of 1978 Rev FOR CALENDAR YEAR 2005 (5 U.S.C. app ) FINANCIAL DISCLOSURE REPORT

D NONE (No reportable positions.)

[Z NONE (No reportable non-investment income.)

FINANCIAL DISCLOSURE REPORT. Report Required by the Ethics A010. in Government Act of 1978 Rev FOR CALENDAR YEAR 2005 (5 U.S.C. app.

[{ NONE (No reportable positions.)

UNITED STATES DISTRICT COURT DISTRICT OF NEW JE RSEY

D NONE (No reportable positions.)

Transcription:

AO JO FINANCIAL DISCLOSURE REPORT Report Required by the Ethics in Government Act of 1978 Rev. 112008 FOR CALENDAR YEAR 2007 (5 US.C. app. IOII JI) l. Person Reporting (last name, first, middle initial) 2. Court or Organization 3, Date of Report UCHWALD, NAOMI R SOUTHERN DISTRICT OF NEW YORK' 05/13/2008 4, Title (Anicle llj judges indicate active or senior status; magistrate judges indicate full or parttime) u.s DISTRICT JUDGE (Active) Sa, Report Type (check appropriate type) D Nomination, Date D Initial [Z Annual D Sb. Amended Report D Final 6, Reporting Period 01/01/2007 to 12/31/2007 7. Chambers or Office Address UNITED STATES COURTHOUSE 500 PEARL STREET ROOM 2270 NEW YORK, NY 100071312 8. On the basis of the information contained in this Report and any modifjcations pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. J. POSJTJ 0 NS. (Reporting individual only; see pp. 9J 3 of filing instructions.) (2 NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. 2. 3. 4. 5. JJ. AGREEMENTS. (Reporting individual only; see pp. 1416 of filing instructions.) (2 NONE (No reportable agreements.) PARTIES AND TERMS :::0 ;;;,: r115.:. l. C)p.., 11 2. C" 0.9 3. C. (/) C') r'i i 3:::.::: m ;J < ti 0 22.. m )> < m

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 2of6 UCHWALD, NAOMI R 05113/2008 III. N 0 NINVESTMENT INC 0 ME. (Reporting individual and spouse; see pp. 1724 of filing instructions.) A. Filer's NonInvestment Income [2 NONE (No reportable noninvestment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I. 2. 3. 4.. Spouse' S NonInvestment Income If you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) 0 NONE (No reportable noninvestment income.) SOURCE AND TYPE I. 2007 SELFEMPLOYED LA WYER (Through June 30, 2007) 2.2007 PARTNER AT LAW FIRM (From July I, 2007 to present) 3. 4. IV, REIMURSEMENTS transportation, lodging,food, entertainmen (Includes those to spouse and dependent children: see pp. 2527 of filing instrnctions.) 0 NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. Federal ar Council 10/12/07 10/14/07 Lenox, Massachusetts ench and ar Meals and lodging Conferenc"e: pro g ram 2. chair 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 3of6 UCHWALD, NAOMI R 0511312008 V GIFTS. (Includes those to spouse and dependent children; see pp. 283 I of filing instructions.) [2 NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. 2. 3. 4. 5. VI. LIAILITIES. (Includes those of spouse and dependent children; see pp. 3233 of filing instructions.) [2 NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Name or Person Reporting Date or Report Page 4of6 UCHWALD, NAOMI R 05/13/2008 VII. INVESTMENTS and TRUSTS income, value, transactions r1nctudes those of spouse and dependent children; see pp. 1460 of filing instructions.; 0 NONE (No reportable income, assets, or transactions.) A.. C. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month Code2 Code 1 buyer/seller (AH) or int.) (JP) Code 3 redemption) Day (JP) (AH) (if private (QW) transaction) I. SEE A TT ACHED RIDER 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. I. Income Gain Codes: A =$1,000 or Jess 8 =$1,00 I $2,500 c =$2,501 $5,000 D =$5,001 $15,000 E =$15,001$50,000 (See Columns 8 I and D4) F =$50,001 $100,000 G =$100,001 $1,000,000 HI =SI,000,00 I $5,000,000 H2 =More than $5,000,000 2. Value Codes J =$15,000 or less K => 15,00I.. $50.000 1. =$50,00! S!00,000 fa slod,odl $250,000 (See Columns Cl and DJ) N $250,001 $500,000 Q 00.;F;SQQ,OOJ SIJ'!l0,(lil0 PI =S 1,000,00 I $5,000,000 P2 45,000,001 $25,000,000 P3 =$25,000,001 $50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =ook Value V =Olher W =Estimated

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 5of6 UCHWALD, NAOMI R 05/13/2008 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/report)

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 6of6 UCHW ALO, NAOMI R 05/13/2008 IX. CERTIFICATION. I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting nondisclosure. I further certify that earned income from outside employment and hoporaria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY E SUJECT 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 2301 One Columbus Circle, N.E. Washington, D.C. 20544

2007 Financial Disclosure Statement Part VII: Investments and Trusts A. Description. Income C.Value (D)Transactions During Year (1) Amt (2)Type (l)code (2)Method (1) (2) (3) (4) \ Q_ 1 Citibank Accounts c Interest M T Citibank (IRA) 1 A Interest K T Citifund Cash Reserves Class N 0 ia:. Citibank (IRA) 2 Interest 0 T E Dividends Citifund Cash Reserves Class N Analogue Devices (Common) Applied Materials (Common) Time Warer (Common) Dell Computer (Common) 1123 L Gateway (Common) (tendered) 10/16 J Intel (Common) 10/19 M Palm Inc (Common) International Rectifier (Common) Microsoft (Common) Sun Microsystems (Common) CMGI (Common) c. JPMorgan Chase Accounts D Interest N T,_ Q_ Schwab Account NY Muni Money Mkt c Dividends M T b ank of America A Dividends J T Columbia Cash Reserves (formerly Prime Reserves) ':{ Treasury Direct Account E Interest 0 T i Time W amer Div. L T Common Stock (also in IRA)

i Applied Materials Common Stock (IRA) None L T lo I LL L 12 it?y t Lt t lount None J T Common Stock Dell Computer None 1125 N Common Stock Partial 1125 M A 1131 K A 10/19 M 10/19 M '\.b Lt' 1 l'\ Intel E Div N T 1/3 0 Common Stock (also in IR) Partial 0 Pl 1/3 1/4 Partial 1/4 Pl 1/10 0 Partial 1/10 0 c 1111 0 Partial 1111 Pl D Partial 1112 M c 1/16 N Partial 1/16 0 D 1/18 N 1/22 0 1124 0 1/29 N Partial 1129 M 2/5 Partial 1131 M A 2/1 M 2/2 N 212 N 0 215 0 c 216 Pl 216 Pl A 217 Pl 217 Pl c 2/8 Pl Partial 2/8 Pl c 219 0 219 Pl 2

I L{7 Lq1)i la l?l I fi'? 7JG; I g h 51 t.l b'a b i \ I le \ ::r I I {J 6. li :: f "' \ ('( i l,, ;; 15?sl 4? lf «I I Parial Partial Parial Partial Partial Partial Partial Partial Partial Partial 2112 2/13 2/14 J K K A 2114 2/15 M M 2/21 N 2/21 2/22 M A M 2/23 2/26 3/13 3/14 N N N 0 3/14 3115 0 N 3/19 M 3/26 412 K N A 413 413 415 Pl Pl 0 c 415 0 4/12 4/12 4/13 N N 0 A 4/13 4/16 0 0 4/17 4/18 4/18 4119 4/20 0 N N 0 Pl D 4120 4/23 Pl N D 4/23 4/24 N 0 4/24 4/25 0 0 4/27 Pl 4/27 4/30 512 A 512 513 A 0 Pl Pl Pl Pl 3

l q tt ctg Cf q_: 4LA '14 L<VE) tvl ( ;2.. \ k:lf l\ Lt Partial 513 Pl 514 Pl Partial 514 Pl 517 N Partial 5/8 N 519 Pl Partial 519 Pl E 5110 Pl 5111 0 Partial 5111 0 5/14 0 Partial 5/14 0 5115 0 5115 Pl 5116 Pl Partial 5116 Pl D 5117 0 Partial 5117 M Lf.b Partial 5/18 Pl E 5121 Pl LO. Partial 5123 Pl E LlX 5124 Pl LLO Partial 5125 Pl I,,{.\, 5129 0 Ll'? Partial 5/29 K A 5130 N L\vt Partial 5130 N t u 5131 0 Partial 5131 0 Li,, 6/4 Pl [,L $' Partial 6/4 Pl it 615 Pl l Partial 615 Pl L'?., l 6/11 0 l Partial 6/11 0 A \? 6/13 Pl L Partial 6/13 Pl D 1 6/18 0 l iq.b Partial 6/18 0 l 6/21 0 i Partial 6/21 Pl E l 6122 0 i*7 Partial 6122 0 A L "\ Partial 6127 N E t,,?j 4

7119 0 Partial 7119 0 8/3 Pl Partial 8/3 Pl 8/8 P2 Partial 8/8 P2 E l. 8/14 P2 t 8/14 P2 i ttl 8/22 Pl lw 8/22 Pl D c_ 8/27 Pl 8/28 Pl 8/30 0 8/30 0 c 8/31 Pl 8/31 Pl 915 0 Partial 916 0 D 9/13 Pl Partial 9113 Pl c 9/18 N 9124 L 9125 P2 9125 P2 D 9126 L 10/1 0 Partial 10/1 0 D 10/2 N Partial 10/2 N A 10/3 N 10/3 0 10/4 0 10/8 Pl Partial 10/8 Pl 10/12 0 Partial 10/12 M A Partial 10116 0 E 10118 M 10/19 Pl Partial 10/19 Pl Partial 11/2 0 E 11/5 0 Partial 1115 0 11/9 Pl 5

L'9 Partial 11/9 Pl Partial 11112 0 11/14 0 I : Partial 11114 0 l 11115 0 c LC6V Partial 11/15 0 A l t.t 11/16 0 11/27 0 Partial 11/27 0 D Partial 12/4 Pl E 12/4 N 12/7 0 Partial 12/18 0 Partial 12/21 0 Analogue Devices Div. L T Common Stock (IRA) \ q_o CMGI Common Stock (IRA) None J T lctl International Rectifier None L T Common Stock (IRA) Microsoft Div. N T 1/8 M Common Stock (IRA) 1/9 0 1/9 0 c 1/10 M Partial 1/10 M 1/11 M c 1/16 N 1/16 N 1/29 N 1/29 N 1/30 0 1/30 0 211 N 2/1 N A 2/2 Pl 2/2 Pl 2/5 Pl 2/5 Pl 6

216 Pl 216 Pl 217 Pl 217 Pl c 2/8 N 2/8 N 219 Pl 219 Pl 2/21 M 2/21 M 4126 M 4127 0 8/3 0 8/3 0 8/8 0 8/8 0 8/14 0 8/14 0 9/21 0 9124 0 E 9125 Pl 9125 Pl 9126 J 9/28 0 9/28 0 10/3 0 10/3 0 10/8 Pl 10/8 Pl D a,\1 3c.:;, Gateway Common Stock (IRA) Palm Inc. Common Stock (IRA) Sun Microsystems Common Stock (IRA) None None J T None K T ;gt... Whirlpool A Div 4124 L Common Stock HPQ A Div 2126 M 7

Common Stock Yahoo 0. t? L ';;;/j V\ 9f ;y &v J >, "(' ;!:l rj.. ; Common Stock None J T 113 Pl Partial 113 Pl 1/4 Pl 114 Pl 1/5 0 0 1/5 1/9 Pl 1/9 Pl 1/11 N 1111 N 1116 0 1116 0 1119 0 1123 M Partial 1/23 0 1/24 L 216 M 2121 0 2121 0 4112 0 Partial 4112 0 4113 N 4113 0 4/16 0 4/16 0 4119 M 4/19 M 4/20 N 4120 N 4/27 0 4/27 0 4/30 0 4130 0 5/1 0 Partial 512 N 513 0 513 0 514 0 519 0 519 0 5110 N 5/14 0 8 c c c A c D A D c

Partial 5/14 0 5/16 0 Partial 5116 0 c 5117 0 Partial 5/18 0 E 5/21 0 5/23 0 Partial 5123 0 5/24 0 Partial 5/24 0 A Partial 5125 Pl 5129 N 5130 N Partial 5/30 N 5/31 0 Partial 5/31 0 614 N Partial 6/4 0 A 615 N Partial 615 N 6115 N Partial 6115 N 6/18 Pl Partial 6/18 Pl D 6/21 N Partial 6/21 N 7/20 0 8/3 Pl 8/8 Pl 8/8 Pl C 8/14 Pl 8/14 Pl 8/22 Pl Partial 8/22 0 A 8/28 0 8/30 N 8/30 N 8/31 Pl Partial 8/31 A A 9125 M 9125 N E 9/28 0 9/28 0 10/4 0 9

10/4 11/14 0 Pl Partial 11/27 Pl D 11/28 Pl Partial 11/29 M C 11130 0 Partial 11130 Pl F 12/4 Pl Partial 12/4 Pl C 12/5 Pl Partial 12/21 N Partial 12/24 0 A. Description C. Income D.Value Transactions During Year (1) Amt (2)Type (l)code (2)Method (1) (2) (3) (4) dvanced Micro Devices Common Stock None old 1/12 0 1/12 0 4/19 M 4119 M 5116 M 5/16 5/18 0 5/18 0 M A?;>6;J <361 7 06: p$ t.a Qbt? t f, '? None 1/4 K 1/4 K A 1/5 M 1/23 M 2/21 N 2/21 N A 414 M 414 M A 4/13 M 4113 M A 4/23 L 4123 L A 4124 K 4/24 L 4127 Pl 4/27 Pl D 6/18 N 6/18 N A 10

6/21 N 6/21 N A 6/27 N 6/27 N 9/13 0 9125 N 9/25 Pl F 9/26 N 10/2 0 Partial 10/2 0 10/3 0 Partial 10/3 0 10/4 0 Partial 10/5 0 D 10/8 Pl 10/8 Pl D 10111 0 10/19 0 10/24 N 10/24 N c 10/31 N 10/31 N c 11/2 0 11/2 0 11/5 M 11/7 M 1118 M 11/27 0 Apple Computer None 1/12 Pl Common Stock 1/12 Pl 1/18 N 1/18 N 1119 0 1/23 0 1/29 Pl 1/29 Pl C 1/30 Pl 1/30 Pl 1/31 Pl Partial 1/31 Pl D 2/1 Pl Partial 211 Pl c 11

ft( e> 212 Pl tll 2123 0 2126 0 o 4118 Pl 4/18 Pl 215 N 217 N D 2/8 N ui0 2/8 N c '{l 219 L &tlf5 219 L ULb 2/13 L 1\1,. 2114 L A i{g 4' ltf 2115 0 2116 N Partial 2/16 0 2/21 0 E 2122 N L/XJ 2122 N c 4/23 M H 4123 M A iuq 4124 M lk 4124 M l it:?6l 4/25 M Partial 4125 M w 5/1 N ct? q :m Partial 511 M A Partial 512 M 514 L q4f1 ff Applied Materials A Div L T 6/13 K Common Stock (also in IRA) 6/13 K A c.q Cisco None 0 T 1/1 Pl L{ l Common Stock Partial 1/11 0 1/12 Pl t{d. Partial 1112 Pl c?; 1/16 0 1/19 0 5 1125 0 + Partial 1/25 M A '{ 1/26 N 1130 N fk..ef 1/30 M '+t: 12

, aef r 1/31 0, \r?j 2/5 0 l{ 215 0 c # 216 Pl Partial 2/6 Pl E 5«217 0 HJ4 Partial 217 0 D 2/8 Pl t+l Partial 2/8 Pl a 2/12 M 2/13 M 4: 2/14 N A ' 2/14 M I 2/15 N 2/15 0 i+.6 2116 N zt 1 2116 0 A J 2/21 N :2 2/23 0 4 z.1& 1.; 81. i:<ol? Y: (..\ t'b 4;6t1{ < t..t1 45 'tc?ll 13 1131 0 c 2/1 0 211 0 c 219 0 2/23 Pl c 3/14 N 3/14 N A 3/21 Pl 3/21 Pl c 3/23 Pl Parial 3/23 L 3/26 Pl 3/28 Pl 3/28 Pl 3/29 N 4/2 N 413 0 D 414 N 414 N 415 0 415 0 c 419 Pl 4/10 0 4/11 4112 0 Pl

lj 1*ct6 44?:: 41 444 p00 bl t:b '[ o? '5'i?I 6' L'1 bl::: l,?jl q 5D 6Rt 411213 0 c 4/16 M 4/17 M A 4/18 N 4/18 N A 4/19 Pl 4/19 Pl 4/23 Pl ffu Partial 12/21 0 519 4/23 Pl A 4/24 Pl ::oo 4/24 Pl o:b N 501; 519 N Go1f 5110 N 1)ott 5115 N S:tc: 5117 N 5/31 N bl \y $"l Partial 5131 N c fsl 615 N D l > 6/18 N b Partial 6/18 N A 9/13 0 9/18 0 9125 Pl 9125 Pl D 1012 0 1012 0 10/3 0 10/3 0 5 10/4 0 :a!:0l<6 11127 0 Partial 11/27 A 11/30 N Gt 11130 0 D C?J.::: 12/4 N 12/5 N 1014 0 A 1119 Pl 11/9 Pl Partial 12/5 N 1217 N '5 12/24 0 14

?g?q 1kO J;l!) f:i 15"vc a a:ri 5 MJ :; ~ 10/2 0 10/2 0 A 6 10/4 0 ;;:::J 10/4 0 D 10/5 0 10/8 Pl 10/8 Pl @r6 64:::P ;: Ebay None J T 1/26 M Common Stock 1/29 M 1/29 N 1/30 0 1/30 0 1/31 M 1/31 M _6lf 2/1 M ': 2/2 MA }fhi/: 2/21 N Of 1) l i?jb 'J 6.h4 6*0?;:: t 2/21 N 4/4 N 4/10 N 4/11 0 4/23 N 4/23 N 4/27 Pl 4/27 Pl 5/16 Pl 5/16 Pl c 5/18 N Partial 5/18 M A 5/23 M 5/23 N 6/18 N Partial 6/18 N A 6/21 M Partial 6/21 M A 6/31 Pl Partial 6/31 Pl 9/13 Pl 9/13 Pl E 9/25 Pl 9/25 Pl E 10/19 0 Partial 10/19 0 r: 11/2 0 15

5!Q. Partial Partial Partial ff? Partial 15q Ford None Common Stock '{l?5"6<7 5 615b 1112 0 D 11/5 N 11/7 N 11/9 0 11/13 N 11/13 N 11/14 N 11/14 N 1/3 K 1123 K c btoa \ p btt k1 bl tl{ l:t5 bl6 htr l ic:,( k;\ None 113 N 113 N 114 N 1/4 N 115 Pl 1/5 Pl 1/8 Pl 119 Pl 1/10 Pl 1/10 Pl 1/11 0 1111 0 1/12 Pl 1/12 1/16 1117 Pl Pl Pl Partial 1117 Pl. 1/18 0 Partial 1118 Pl 1122 N 1/23 N Partial 1123 0 1/25 N Partial 1/23 0 E 1129 0 A D 1129 Pl 1/30 N 1130 N A 1/31 0 211 Pl Partial 2/1 Pl 212 Pl 16

Partial 2/2 Pl Partial 216 M 2/7 0 Partial 2/7 0 2/8 0 2/9 0 219 0 2/13 M 2/13 M 2/14 0 Partial 2/14 M 2115 Pl Partial 3/15 0 2/16 0 2/16 Pl 2/21 0 Partial 2/21 0 2/22 0 Partial 2/22 N 2/23 N 2/26 Pl 414 N 414 N 415 0 Partial 415 N A 4/13 Pl Partial 4/13 Pl A 4116 0 4/16 Pl 4117 N Partial 4/17 M A 4/18 M A 4/20 Pl 4/20 Pl 4/23 N 4/23 N 4/24 0 Partial 4/24 N 4/25 K 517 0 5/8 0 519 0 519 0 5/10 0 A A D c A A A D 17

b&f 6q. :; l Ggz02 &>;; (o. 0::f te b'*c:. I 5/11 0 5/14 N 5/14 N 5/15 0 5/15 0 6/13 0 6/13 0 6/15 0 6115 0 c 11114 N 11/23 N D None 1/26 M 1/26 M A 1/29 M 1129 M 217 M 217 M A 2/16 N Partial 2116 M A Partial 2/22 M c 2/26 M 3/8 N 3/12 N Partial 3/12 N A 3/13 0 Partial 3/13 N A 3/14 Pl Partial 3/14 Pl 3115 0 Partial 3115 M A 3/16 0 3/19 0 Partial 3119 Pl E 3120 Pl 3120 Pl E 3/21 N 3/26 Pl Partial 3126 Pl c 3/27 N 3127 0 3/28 N 3/28 N 3129 N 18

3/29 N D 3130 0 Partial 3/30 M 412 N 4/2 0 c 413 Pl 4/3 Pl 4/11 Pl 4111 Pl 4/12 Pl c Partial 4/12 Pl D 4113 0 4/13 0 A 4/16 M 4116 M A 4/18 M Partial 4/18 J A 4/19 M 4/20 0 Partial 4120 N 4/23 Pl 4/23 Pl D 4/24 0 4/24 0 4/30 0 4/30 5/1 0 A 5118 M 5118 M A 10/8 0 Partial 10/8 0 11/9 M 12/28 0 12/28 0 6 q; ResearchInMotion None 1/3 M Common Stock 1/3 M 1/4 M 1/4 M A 1/5 N 1/5 N c 1/9 0 1/9 0 1/10 0 1/10 0 c 4 l.::r5;l 19

Partial Partial Partial 1/11 0 1/11 N 1/12 N 1112 N A 1/17 0 1/17 N 1/18 N 1/18 Pl 1/19 0 1/19 0 D 1/22 N Partial 1/23 N D Partial Partial Partial 1/24 Pl 1124 0 1/25 N 1125 N A 1/26 0 1126 0 2/2 Pl Partial 212 Pl E Partial 215 M C 216 M A 217 0 217 0 D 2/8 0 2/8 0 A 219 N 219 N 2/13 M 2114 M 2/15 M 2/16 M 2116 N 2/21 N 2/21 N 2/22 N 2/22 N 2/23 N 2/23 N 4/13 0 4113 0 4123 0 Partial 4123 0 4/25 M 20

' alero A Div N T 1126 0 lib, Common Stock 1/26 0 4/bl 1/29 M t?:: 1/29 M go2, 217 0.?tf4:. n: otp q $ : gq '11 217 0 2/8 N 2/8 N A 2/13 M 2/14 M A D(5 2/23 N 8le. 2/26 N L\ 3/8 N 3/12 0 Partial 3/12 N 14 3/13 0 L.0 3/14 N g Partial 3/14 N A '6=i 3/15 0?s Partial 3/15 Pl c '6ct 3/16 0!! /2? 75 Partial 3/16 Pl 3/19 N 3/19 Pl D 3/20 Pl 3/20 Pl crt? 3/21 Pl,, 75 1:: 3/21 3/23 Pl M C? 3/23 M A 4: 3/26 Pl <S? 3/26 Pl c 3/27 N g:?;; 75fi ":.b 3/27 N A 3/28 0 Partial 3/28 N 3/29 N c 3130 0 3130 0 412 Pl 412 Pl 413 Pl Partial 413 Pl c 21

413 M 4/10 0 4/11 Pl 4/11 Pl C 4112 0 4112 0 A 4113 0 Partial 4/13 0 4/16 0 4/16 0 4/18 N 4/18 N 4/19 M 4/19 M 4/20 0 4/20 0 4/20 N 4/20 N A 5/18 Pl 5/18 Pl 6127 0 6127 0 7/19 N 7119 N 8/8 M 8/8 M 8/22 N 8/22 N 8/27 N 8/27 N A 8/28 M 8/28 M 8/31 0 Partial 8/31 M A Partial 9/18 N D 9124 M C 9/25 N 10/8 Pl Partial 10/8 Pl D 10/10 N D 10/11 M 10119 M Partial 10/19 M 1119 M 22

11129 M 11/29 M A 12/28 0 23