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8/3/2019 Thomas L Ludington Financial Disclosure Report for 2010
http://slidepdf.com/reader/full/thomas-l-ludington-financial-disclosure-report-for-2010 1/20
A O 1 0Rev . 1 /2011
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 20 10
Report R equired by the Ethics
in Government Act of 1978(5 U.S.C. app. §§ 101-111)
1 . Person Reporting (last name, firs t , middle init ial)
L u d in g to n , T h o m a s L .
4. Ti t le (Art icle I l l judges indica te act ive o r senior sta tus;magistrate judges indicate full- or part-time)
U. S . Dis t r ic t Judge
7 . Chamb ers o r Off ice Ad d res s
U. S . Cour thouse1 0 0 0 W a s h in g to n A ve n u eBay Ci ty , M148708
2 . Co ur t o r O rg a n i z a ti o n
U S D i s t r i c t C o u r t M I ( E a s t e m )
5a . Report Type (check approp ria te type)
]Nominat ion , D a t e
[] Initial [] Annual [] Final
5b. [] Amended Report
8. On the basis of the informat ion conta ined in this Report and any
modif ica t ions perta in ing there to , i t i s , in my opin ion , in com pliancew ith a pp l i c a b le l a w s a nd re gu la t ions .
R e v ie w ing Off i c e r Date
3. Date of Repor t
4/18/201 l
6. Report ing Period
1/1/2010
to
12/31/2010
I M P O R T A N T N O T E S : The instructions accompanying this form must be foilowe~L Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of f!ling instructions.)
D NONE(No re portable positions.)
I. Direc tor
2. Direc tor
3. Trustee
4. Direc tor
5.
POSITION N A M E O F O R G A N I Z A T IO N /E N T I TY
R . M . G e r s ta c k e r F o u n d a t i o n
S a g i n a w V a l l e y S t a t e U n i v e r s i t y F o u n d a t i o n
A l b i o n C o l l e g e
T h o m a s L . L ud i n g t o n F o u n d a t i o n
I I . A G R E E M E N T S . ( R e p o r t lu g i n d i v id u a t o n l y ; se ~ r r . 1 4 - 1 6 offiling instructions.)
D NONE(No reportable agreeme nts .)
DATE
I . 01/01/03 M i c h i g a n J u d g e s Re t i r e me n t S y s t e m
2.
3.
PARTIES AND TERMS
8/3/2019 Thomas L Ludington Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 2 of 20
N a m e o f P e r s o n R e p o r t i n g
Ludington, Thoma s L.
Date of Report
4/ 18 / 20 | !
I I I. N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instructions.)
A. Filer’s Non-Investme nt Income
--] N O N E (No reportable non-investment income.)
.DATE S O U R C E A N D T Y P E INCOME(yours, not spouse’s)
1.2010 F e d e r a l Co u r t S a l a r y $165 ,000.00
2.
3.
4.
B . S p o u s e ’s N o n - I n v e s tm e n t I n c o m e - if you were m arried during any portion of the reporting year, complete this section.
(Dollar am ount not required except for honoraria.)
~ N O N E (No reportable non-investment income.)
DATE SOURCE AND TYPE
1 .
2.
3.
4.
I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter ta inmen~
(Includes those to spouse a nd dependent children; see pp. 25-27 of filing instructions.)
~ (No reportable reimbursements.)O N E
2.
3.
4.
5.
SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDE
8/3/2019 Thomas L Ludington Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 3 of 20
N a m e o f P e r so n Re p o r t i n g
L u d i n g t o n , T h o m a s L .
D a t e o f Re p o r t
4/18/2011
V . G I F T S . a n e l u d e s t h o s e t o s p o u s e a n d dependent children; see p p . 2 8 - 3 1 of filing instructions.)
N O N E (No reportable gifts.)
SOURCE DESCRIPTION
1 .
2.
3.
4.
5.
VALUE
V I . L I A B I L I T I E S . a n c t u d e ~ t l , o s e o / s p o u s e a n d d e p e n d e n t children; see p p . 3 2 - 3 3 offiling instructions,)
N O N E (No reportable liabilities.)
CREDITOR DESCRIPTION
1 .
2.
3.
4.
5.
VALUE CODE
8/3/2019 Thomas L Ludington Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 4 of 20
N a m e o f P e r s o n R e p o r t i n g
Ludington, Thoma s L.
Date of Report
4/18/201 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 . c o m e , ,, .r u e , , r u . s .c t lo . s a . c tu d ~ s , h o s . o f s p o u s ~ . n d ~ p e n d e n t c h i~ d r e . ; s ~ r ~ . 3 4 - 6 0 of f i llng instructions.)
[] N O N E (No reportable income, assets, or transactions.)
2.
3.
4.
5.
6.
7.
8.
1 0 .
1 1 .
1 2 .
1 3 .
1 4 .
1 5 .
16 .
17 .
A. B. C.
D e s c r i p t io 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
(including t r u s t a s se 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
(I) (2) (I) (2)
Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e
exempt from prior disclosure Code I div., rent, 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 )
Chemical Bank & Trust (checking & A I n t e r e s t Ksavings)
Dow Chemical Emp loyees Credit Union A I n t e r e s t K
(1 )
Type (e.g.,
buy, se l l ,
redempt ion)
T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d
(2) (3) (4)D a t e V a l u e G a i n
m m / d d / y y Code2 Code I
( J - P ) (A-H)
T
T
TD Ameritrade Money Mark et A Interest K T
M e r r i l l L yn c h M o n e y M a r k e t A In t e re s t J T
Amgen Stock A Dividend J T
Covance Stock A Dividend K T
Coming Stock A Dividend
Blackr ock Global Stock None L T
IBM Stock A Dividend K T
Q uest Diagnostics Stock A Dividend K T
Sold 09/20/10 L F
B uy 09/21/10 L
Chemical Financial Stock B Dividend K T
Petoskey M I Condo None M W
A m C e n t R e a l E s t (Dow Savings Plan) -K K L 401K
F i d e l i ty C o n t r a f u n d (Dow Savings P l a n )KKL 401K
Fi d e l i t y D i ve r s i f i e d Intl (Dow Savings P l a n )KKL 401K
Gr o wth E q u i ty ( D o w S a v in g s P l a n ) K K L
401K
Interest Income Fund (Dow Sav ings P l a n )KKL 401K
None J
None L
None K
None K
None M
T
T
T
T
T
Identity of
b u y e r / s e l l e r
(if private
t r a n s a c t i o n )
1. Incom e Gain C od es: A = $1,000 or less B = $1,001 - $2,500 C = $2,501 - $5 ,000 D =$5,001 - $15,000
( See Col u m ns B 1 and D4) F =$ 50,001 - $100,000 G =$100,001 - $1,000,000 H 1 =$ 1.000,001 - $ 5.000,000 H2 =More than $5,000.000
2 . Va lue Code s J = $ 15 , 000 or l ess K = $15,001 - $50,000 L = $50,001 - $100,000 M =$100,001 - $250,000
(See C olum ns C 1 and D3) N =$250,001 - $500,000 O =$5 00,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P3 =$25,000,001 - $50,000,000 P4 = M ore t h an $ 5 0, 000, 000
3 . V alu e Met h od C odes Q = Appra i sa l R = Cost (Rea l Es t a t e O nl y ) S =As s e s s me nt T = C a s h M a r k c t
( S e e C o l u m n C 2 ) U =Book Va lue V =Othe r W =Es t ima te d
E =$15,001- $50,000
8/3/2019 Thomas L Ludington Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 5 of 20
N a m e o f P e r s o n R e p o r t in g
L u d i n g t o n , T h o m a s L .
Date of Report
4/18/2011
V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a l u e , transactions (Includes those of spouse a nd depe ndent children; seepp. 34-60 of f i l ing instructions.)
[~ N O N E (No reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s Transact ions during report ing period
( i n c l u d i n g t r u s t a s s e t s )
Place "(X)" after each asset
exempt f rom pr ior di sclosure
Income during G r o s s v a l u e a t e n d
r e p o r t in 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)
A m o u n t T y p e ( e . g . , Value ValueCode I 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 )
(i ) (2) (3)
Type (e.g., D a t e Value
b uy, sell, m m/dd /yy C ode 2
redempt ion) (J-P)
(4 )
Gain
Co d e I
(A-H)
( 5 )
Identity of
buyer/seller
(if private
transaction)
1 8 .
19 .
20 .
21 .
22 .
23 .
24 .
25 .
26 .
27 .
28 .
29 .
30 .
31 .
32 .
V a n g u a r d Co n v e r t i b l e S e c ( D o w S a v i n g sP la n ) K K L 40 1 K
V a n g u a r d G l o b a l E qu i t y ( D o w S a v i n g sP la n ) K K L 40 I K
SSgA Stab le Value - S t a te o f M i c h ig a n 4 5 7P la n ( T L L )
P I M C O T o ta l R e tu rn - S ta te o f M ic h ig a n 45 7P la n ( T L L )
D o d g e & Co x S t o c k - S ta t e o f M i c h i g a n 4 5 7P la n ( T L L )
S S g A S t a b l e V a l u e - S ta t e o f M i c h ig a n401K plan (TLL)
PIMCO To ta l Return - State of Michigan
40 1 K p l a n ( T L L )
O a k m a r k E qu it y & I n c o me F u n d - S ta t e o fM ic h ig a n 40 1 K ( T L L )
M F S T o t a l Re t u m- S t a t e o f M i c h ig a n 4 01Kplan (TLL)
D o d g e a n d Co x S t o c k - S t a te o f M i c h i g a n40 IK plan (TLL)
L o r d A b b e t t M id - C a p Va lu e A ; S t a t e o f
M ic h ig a n 40 1 K ( T L L )
T Ro w e P r i c e M i d Ca p V a l u e Fu n d - S t a te o fM i c h i g a n 401K (TLL)
RidgeWor th Funds - Sta te of Michigan
401K (TLL)
Am e r i c a n F u n d s E u r o p a c i fi c G r - S t a t e o fM ic h ig a n 40 1 K ( T L L )
C h e m i c a l B a n k S a v i n g s - F B O #1
N o n e K T
N o n e K T
N o n e K T
N o n e J T
N o n e J T
N o n e K T
N o n e K T
N o n e J T
N o n e K T
N o n e K T
N o n e
N o n e K T
N o n e K T
N o n e K T
A In te r e s t K T
S o l d 03/22/10(par t)
B uy 03/22/10
B uy 03/22/10
S o l d 03/22/10(par t)
B uy 03/22/10
Sold 02/26/10
B uy 02/26/I 0
J
J
J
J
J
K
K
3 3 . F ed e r a t e d B a l a n c ed ( C F C ) - F B O # 1 A D i v i d e n d K T
3 4 . M I E d u S a v in g s P r o g r a m - F B O # 1 N o n e L T
1. Incom e Gai n Codes :
( Se e Columns B I a nd D4)
2.Va lue Code s
( Se e Columns C I a nd D3)
3.V al u e Met h od Codes
( S e e C o l u m n C 2 )
A =$1,000 or less
F =$50,001 - $ 100,000
J = $ 15 , 000 or l ess
N =$250,001 - $500,000
P3 =$25.000.001 - $50,000.000
Q =Appraisal
U =Book Va lue
B = $1 ,001- $2 ,500
G =$100,001- $1,000,000
K =$15,001- $50,000
O=$500 ,001- $1 ,000 ,000
R =Co s t ( Re a l Es ta t e Only)
V = O l h e r
C =$2 ,501- $5 .000
HI =$1,000,001- $5,000,000
L =$50,001- $100,000
PI =$1,000.001- $5,000,000
P4 =Mor e tha n $50 ,000 ,000
S =As s e s s me nt
W = E s t i m a t c d
D =$5,001 - $15.000
H2 =Mor e tha n $5 ,000 ,000
M $ I 0 0 , 0 0 1 - $ 2 5 0 ,0 0 0
P2 -$5,000,001 -$25,000,000
T = C a s h M a r k e t
E =$15,001 -$50 ,000
8/3/2019 Thomas L Ludington Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 6 of 20
Name of Person Reporting
Ludington, Thomas L.
Date of Report
4/18/2011
V ll. INVESTM ENTS and TRU STS -i.co ..... lue, transactions (Includes those of spouse an d depen dent children; see pp . 34-60 of f!ling instructions.)
N O N E (No reportable income, assets, or transactions.)
35 .
37 .
38 .
39 .
40 .
41 .
42 ,
43 .
44 .
45 .
46 .
47 .
48 .
49 .
50 .
51 .
A. B. C. D,
Descrip tion of A ssets In com e durin g Gross va lue a t en d Transact ions d ur ing repor t ing per iod
( including t rust assets) repor t ing per iod of repor t ing per iod
( 1 ) ( 2 ) (1) (2) (I ) (2) (3) (4) (5 )
Place "(X)" after each asset Am ou nt Type (e.g., Value Value Type (e.g ., Date Value Gain Ident i ty of
exempt f rom pr ior d i sc losure Co d e 1 div., rent, C ode 2 Method buy, se l l , mrn/dd/yy C ode 2 Code 1 buyer/se l ler(A-H) o r i n t . ) (J-P) C ode 3 redempt ion) (J-P) (A-H) (if private
(Q-W) transaction)
Ch e m i c a l Ba n k S a v i n g s - F BO # 2 N o n e
M I E d u S a v in g s P l a n - F B O # 2 N o n e L
S c h wab M o n e y M a r k e t
Alger Hl th Sci Fund
C a n a d ia n T i r e C o r p ’ A ’
Apple Ine
F B R Ga s U t i l In d e x F u n d
F B R S m a l l C a p F u n d
Fide l i ty S lc t Por t fFund
F i r s t Ea g l e O ve r s e a s A F u n d
C a n a d i a n N a tu r a l R e s o u r c e s
Ge n e r a l D y n a m ic s , l n c
C h u r c h & D wig h t C o
C i t i g r o u p l n c
Dolla r Tree S tores Inc
In te r e s t
N o n e
D iv id e n d
K
N o n e
A D iv id e n d
A D iv id e n d
A D iv id e n d
A D iv id e n d
A D iv id e n d
A D iv id e n d
A D iv id e n d
N o n e
N o n e
J
K
J
J
K
K
J
J
J
T
T
T
T
T
T
T
T
T
T
S o l d 11/17/10 J
B uy 03/11/10 J
( a d d ’ l )
S o ld 07 /19 /10 J
B uy 07/19/10 J
B uy 03/11/10 J
( a d d ’ l )
S o l d 11/17/10 J(par t)
B uy 03/I 1/10 J
S o l d 11/17/10 J
B uy 07/19/10 J
B uy 07/I 9/I 0 J
B uy 07/19/10! J
I. Incom e Gai n Codes :
(See Col u m ns B I and I )4 )
2.V al u e Codes
( S e e C o l u m n s C I a n d D 3 )
3.V al ue M et h od Codes
( S e e C o l u m n C 2 )
A =$1,000 or less
=$50,001 . $100.000
=$15.000 or less
N =$250,001 - $500,000
P3 =$25.000,001 - $50,000,000
Q =Appraisal
= B ook V al u e
B =$1,001 -$2,500
G =$100,001- $1,000.000
K -$15,001 -$50 ,000
O-$500 ,001- $1 ,000 ,000
R =Cost(Real Es ta l e Only)
V =Othe r
C ~$2,501- $5,000
HI =$1,000,001- $5,000,000
L -$50,001- $100,000
PI -$1 ,000 ,001- $5 ,000 ,000
P4 = M ore t h an $ 5 0, 000, 000
S = A s s e s s m e n t
W = E s t i m a t e d
D=$5,001 -$15,000
H2 = More t h an $ 5 , 000,000
M= $100 ,001- $2 50 ,000
P2 =$5,000,001 o $25,000,000
T = C a s h M a r k c t
E =$15,001- $50,000
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FINANCIAL DISCLOSURE REPORT
Page 7 of 20
Name of Person Reporting
Ludington, Thomas L.
Date of Report
4/18/201 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 (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.
D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G r o ss v a lu e a t e n d T r a n s a c t io n s d u rin g r e p o r t in g p e r io d
( in c lu d in g t ru s t a s s e ts ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d
(l) (2 ) (1) (2) (l) (2) (3) (4) (5 )
Place "(X)" after each asset A m o u n t Type (e.g, Value V a l u e Type (e.g., D a t e V a l u e G a i n Identity of
exempt from prior disclosure Code l d iv ., r e n t , C o d e 2 M e t h o d b u y , s e l l . mm/dd/yy C o d e 2 C o d e I buyer/seller
( A - H ) o r i n t . ) (J-P) C o d e 3 r e d e m p tio n ) ( J - P ) ( A - H) (if private
( Q - W ) I t r a n s a c t i o n )
52 . L - 3 Co mmu n i c a t i o n s , l n c A D i v i d e n d S o l d 11/17/10 J C
53 . Flower Foods A Dividend J T B uy 07/19/10 J
54 . M e r i d i a n V a l u e F u n d N o n e S o ld 03 /11 /10 K D
55 . I N G G l o b a l N a t u ra l Re s o u r c e s A F u n d N o n e J T B uy 11/17/10 J
56. M FS Utilities Fund None K
57 . Ro y c e L o w - P r i ce d S t F u n d N o n e K T B uy 03/11/10( a d d ’ l )
58 . T B uy 11/17/10( a d d ’ l )
59 . C o l u m b i a S e li g m a n C o m m F u n d N o n e K T
J
J
60 . 1TT E duca t ion Ser v ices Inc N o n e J T B uy 07/19 /10 J
61 . V a n g u a r d E n e r g y F u n d A D i v i d e n d K T Sold 03/11/10(part)
62 . T B u y 07/19 /10
( a d d ’ l )
63 . V a n g u a r d S p c H I th F u n d N o n e S o l d 07/19 /10
J
J
J
6 4. J an us O ve rs ea s T F un d A D i v i d e n d K T B uy 07 / 19 / 10 K
65 . M SCI Canada Index Fund None J T B uy 07/19/10 J
66. D o d g e & Co x l n t l S t o c k F u n d N o n e B uy 03/11/10 J
( a d d ’ l )
67 . S o ld 07 /19 /10 K
68 . M e t r o l n c C l a s s A N o n e J T B uy 11/17/10 J
1. In com e Gain C o des : A = $1,000 or less B = $1,001 - $2,5 00 C = $2,5 01 - $5 ,000 D = $5,001 - $15,000
( Se e Columns B I a nd D4) F = $5 0,001 - $100,000 G = $100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 = More t h an $ 5 , 000,000
2 . Va lue Code s J = $15 ,000 o r l ess K = $15,001 - $50,000 L = $5 0,001 - $100,000 M =$ 100,001 - $250,000
( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $5 00,000 O = $5 00,001 - $1,000,000 P I = $1,000,001 - $5 ,000,000 P 2 = $5,000,001 - $25,000,000
P3 =$25,000,O 01 - $50,000,000 P 4 = M o re than $50,000,000
3 . V alu e Met h od Cod es Q =Appraisal R = Cost (Rea l Es t a t e O nl y ) S =As s e s s me nt T = C a s h M a r k e t
(Se e C o lum n C 2 ) U = B o o k Va lue V : O t h e r W =Es t ima te d
E =$15,001- $50 ,000
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FINANCIAL DISCLOSURE REPORT
Page 8 of 20
Name of Person Re p o r t i n g
L u d i n g t o n , T ho m a s L .
Date of Report
4/18/201 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, v a l u e , transactions (Includes those of spouse an d depe ndent children; see p p. 34-60 of filing instructions.)
N O N E (No reportable income, assets, or transactions.)
A. B. C, D.
Descr ip tion of Asse t s Incom e during Gro ss va lue at end Transactions during rep o rung period
(including trust assets) reporting period of reporting period
(l) (2) (1) (2) (1 ) (2) (3) (4) (5 )
Place "(X)" after each asset A mo un t Typ e (e .g ., Value Value Type (e.g., D a t e Value Gain Ident i ty of
exempt f rom pr ior d i sc losure C o d e l div., rent, C ode 2 Method buy, se l l , m m /d d/yy C od e 2 Co d e 1 buyer/se l le r(A-H) o r i n t . I (J-P) C ode 3 redem ption) ( J - P ) (A-H) (if private
( Q - W ) transaction)
69 . M F S I n t l N e w D is c o ve r y A F u n d N o n e K
7 0. Pepsico Inc A D i v i d e n d J
7 1.M o r g a n S t a n l e y I n s t I n t l R e a l E s t a t e F u n d N o n e K
T
T
Buy 07/19/10 J
7 2. T P r i c e M e d ia & T e l F u n d N o n e K T S o l d 11/17/10 J(par t)
7 3. O we n s & M in o r In c N o n e J T B uy 11/17/101 j
7 4. A l e x a n d e r ’ s l n c N o n e K T B uy 11/17/10 K
7 5. A TC O Ltd Cla ss I A D i v i d e n d K T S o l d 03/11/10 ! J(par t)
7 6. B a n k o f N o va S c o t i a A D i v i d e n d J T S o l d 07/19 /10 J( p a r t )
7 7 . P o we r F in a n c i a l C o r p A D i v i d e n d S o l d 03/11/10 J
B
B
C
7 8. S h o p p e r s D r u g M a r t C o r p A D i v i d e n d J T B uy
( a d d ’ l )
7 9 . Har ri s Cap P FD A D i v i d e n d J T
07/19/10 J
8 0. P e r m ia n B a s in R o y a l ty T r N o n e K ¯ T B uy 03/11/10
( a d d ’ l )
8 1. T S o l d 03/11/10(par t)
8 2. T S o l d 07/19 /10(par t)
8 3. Ce n o v u s E n e r g y In c A D i v i d e n d S o l d 11/17/10
J
J
J
J
B
B
B
84 . E n C a n a C o r p A D i v i d e n d S o l d 11/17/10 J
85 . Sabine Ro ya l ty Trus t N o n e S o l d 03/11/10 J(par t)
1. Incom e Gain C o des : A = $1,000 o r less B = $1,001 - $2,5 00 C = $2,501 - $5 ,000 D = $5,001 - $15,000
(S ee Co lum ns B 1 an d D 4) F =$50,001 - $ 100.000 G= $ 10 0.0 01 - $ 1 .0 00 ,0 00 H 1 = $1 .0 00 ,0 01 - $5 ,0 00 ,0 00 H2 =More than $5,000,000
2. Value C od e s J = $15 ,000 or less K = $15 ,001 - $50,000 L = $5 0.001 - $I00,000 M =$100,001 - $250,000
( S e e C o l u m n s C I a n d D 3 ) N =$25 0.001 - $5 00,000 O = $500,001 ~ $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P3 =$25,000,001 - $50,000,000 P4 = M ore t h an $ 5 0, 000, 000
3 . V al ue M et h od Codes Q = Appra i sa l R =Co s t ( Re a l Es ta t e Only) S = A s s e s s m e n t T = C a s h M a r k e t
( Se e Column ( ’2 ) U =Book Va lue V =Othe r W = Est i m at ed
E =$15,001 -$50,000
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FINANCIAL DISCLOSURE REPORT
Page 9 of 20
N a m e o f P e r s o n R e p o r t in g
Ludington, Thomas L.
Date of Report
4/18/201 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 c o m e , v a t u e , transactions ( I n c l u d e s those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. C.
Descr ipt ion of Assets In co m e d urin g Gro ss value at en d
(including t rust asse ts) repon ing p eriod of repo rting period
(1) (2) (1) (2) (1 )
Place "(X)" after each asset Am ou nt Type (e.g., Va lue Va lue Type (e.g.,
exempt f rom pr ior di sclosure Co d e I div., rent, C ode 2 M e th o d buy, se l l ,(A-H) o r i n t . ) (J-P) C ode 3 redem ption )
(Q-W)
T r a n sa c t i o n s d u r i n g r e p o r t i n g p e r i o d
(2) (3) (4)
D a t e V a l u e G a i n
mm/dd/yy C od e 2 C o d e 1
( J - P ) ( A - H )
( 5 )
Identity of
b u y e r / s e l l e r
(if private
t r a n sa c t i o n )
86 . M a g e l l a n M id s t r e am N o n e K T S o ld 03/11 /1 0 J A(par t)
87 . T S o l d 11/17/10 J B
(par t)
88 . N u S ta r E n e r g y N o n e K T S o ld 03 /11 /10 J A(par t)
89 . T S o l d 11/17/10 J A
(par t)
9 0. Nat ionaIHeal th Inves to rs A D i v i d e n d K T B uy 08131/I0 K
91 . T Sold 11/17/10 J( p a r t )
9 2 . S u n o c o L o g i s t ic s P a r t n e r s None K T Sold 0 3 / 1 1 / 1 0 J( p a r t )
9 3 . T Sold 0 7 / 1 9 / 1 0 J( p a r t )
9 4 . C & S Realty Fund A Dividend K T Sold 0 7 / 1 9 / 1 0 J(part)
9 5 . T S o ld 11/17 /10 J "
( p a r t )
9 6 . E n e r g y T r a n s f e r P a r tn e r s None K T Sold 0 3 / 1 1 / 1 0 J( p a r t )
97. T Sold 11/17/10 J(part)
98 . Entertainment PptysTr B Dividend S o l d 07/19/10 J(part)
99 . Sold 08/31/10 K
A
B
B
A
A
A
A
1 0 0 . H e a l th C a r e P p t y l n v , l n c B D i v i d e n d B u y
( a d d ’ l )
101. S o l d(part )
102. S o l d
03/11/10 J
07/19 /10 J
11/17/10 K
1. Incom e Gain C odes: A = $1,000 o r less B =51,001 - $2,500 C = $2,5 01 - $5 ,000 D = $5 ,001 - $15,000
( Se e C olum ns B I a nd D4 ) F = 55 0,0 01 - 5 10 0,00 0 G =$100,00! - $! ,000,000 H1 =$1,000,001 - $5,000,000 H2 = More t h an $ 5 , 000,000
2. V al u e Codes J =$15,000 or less K = 5 15,001 - $5 0,000 L = $50,001 - 5100,000 M =$ 100,001 - $250,000
(See C o lum n s C I an d D3) N =$250,001 - $5 00,000 O =5 500,001 - 5 1,000,000 P I = $1,000,001 - $5,000,000 P 2 = $5,000,001 - $25,000,000
P 3 =5 25,000,001 - $50,000,000 P 4 = M ore than $5 0,000,000
3 . V al ue Met h od C odes Q = Appra i sa l R =Co s t ( Re a l Es ta t e Only) S =As s e s s me nt T = C a s h M a r k e t
( S e e C o l u m n C 2 ) U ~Book Va lue V = O t h e r W =Es t ima te d
E =$15,001 - $50,000
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FINANCIAL DISCLOSURE REPORT
Page 10 of 20
N a m e o f P e r s o n R e p o r t i n g
Ludington, Thomas L.
Date of Report
4/18/2011
V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
N O N E ( N o reportable income, assets, or transactions.)
Descr ipt ion of Assets I nc om e d u r ing
( including t rust assets) repor t ing per iod
(1) (2 )
P lace " (X )" a fte r each asse t A m ount Type (e .g .,
exempt f rom pr ior d i sc losure Co d e 1 div., rent,(A-H) o r i n t . )
1 0 3 . Ho m e P r o p e r t i e s o f N Y
104.
1 0 5 . R a y o n i e r I n c
1 0 6 . S L G r e e n R e a l t y
107.
108.
1 0 9 . T h o m b u r g I n t l V a lu e F u n d
1 1 0 . Ame r ic a n G e n F in - B ond 1 21 1 5 1 1 1
1 1 I . A m e r i c a n G e n F i n - B o n d 6 1 1 5 / 1 0
1 1 2 . A n d r e w s C o , T X - B o n d 8 / 1 5 1 1 5
113. Ber ksh i r eHathaway- Bond 8 /15113
1 1 4 . C a m d e n , N J - B o n d 1 1 1 5 1 1 5
1 1 5 . C a p i t a l O n e B a n k - C D 1 2 / 1 9 1 1 4
1 1 6 . C a t e r p i l l a r F in - B o n d 7 / 1 5 / 1 0
1 1 7 . C a t e r p i l l a r F in - B o n d 7 / 1 5 / 1 2
1 1 8 . C a ry , IL -B ond I I1 1 1 1 3
1 1 9 . C o o k C o , I L - B o n d 1 2 / 1 1 13
Gross value at end
of repor t ing per iod
(t) (2)
V a lu e Value
C ode 2 Method
(J-P) C ode 3
(Q-W)
N o n e
A D i v i d e n d K
A D i v i d e n d K
A D i v i d e n d K
B Inte res t K
A Inte res t
N o n e K
N o n e K
N o n e K
N o n e J
A Inte res t
A Inte res t K
N o n e J
N o n e J
(1 )
Type (e.g.,
buy, se l l ,
redempt ion)
Transact ions d ur ing repor t ing per iod
(2) (3) (4)
Date Va lue Gain
m m / dd/ y y C ode 2 Code 1
(J-P) (A-H)
Sold 07/19/10 J
(part )
Sold 11117110 K
T B uy 11/17/10 K
T S o ld 03/11 /10 J(par t)
T S o ld 07 /19 /10 J(par t)
T Sold I 1/17/10 J(par t)
T
T
M a tu r e d 06/15/10 K
T B uy 11/19 /10 K
T
T B uy 11/29/10 K
T B uy 08/10/10 J
M a tu r e d 07 /15 /10 J
T
T B uy 03/I 1/10 J
T B uy 07 /2 7 /10 J
C
B
B
A
( 5 )
Ident i ty of
buyer/se l le r
(if private
t ransact ion)
1. Incom e Gai n Codes :
(See Col u m ns B I and D4)
2.V al u e Codes
( S e e C o l u m n s C I a n d D 3 )
3.V al ue M et h od Codes
[See Col u m n C2)
A = $ 1, 000 or l ess
F =$50,001 - $100,000
J -$15 ,000 or l e s s
N =$250,001 - $500.000
P3 =$25,000.001 o $50.000,000
Q =Appraisal
U =Book Va lue
B = $1 ,001- $2 ,500
G = $ 100.001 -$ 1, 000,000
K = $ 15 , 001 -$ 5 0, 000
O=$500 ,001 -$1 ,000 ,000
R =Co s t ( Re a l Es ta t e Only)
V =Othe r
C = $2 ,501- $5 .000
HI =$1,000,001- $5,000,000
L = $ 5 0.001- $ 100, 000
PI =$1.000,001- $5,000,000
P4 = M ore t h an $ 5 0, 000,000
S = A s s e s s m e n t
W=Es t ima te d
D =$5,001 -$15,000
tt2 -More than $5,000,000
M=$100 ,001- $2 50 .000
P2 =$5,000,001- $25,000.000
T - C a s h M a r k c t
E =$15,001- $50,000
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FINANCIAL DISCLOSURE REPORT
Page 12 o f 20
Name of Person Reporting
L u d i n g t o n , T h o m a s L .
Date of Report
4/1 8 /20 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 n c o m e , value, transactions (Include s those of spouse an d depe ndent children; see pp. 34-60 of fi ling instructions.)
N O N E (No reportable income, assets, or transactions.)
A. B. C.
Description of Assets Income dur ing Gross va lue a t end
(including trust assets) reporting period of repor t ing per iod
(i) (2 ) (1) (2) (i)
P lace "(X )" a fte r each asse t Am ount Type (e.g., Va lue Va lue Type (e.g.,
exempt f rom pr ior d i sc losure C o d e 1 div., rent, C o d e 2 Method buy, se l l ,
13 7 . I n d i a n a Bo n d Ba n k - Bo n d 7 / 15 / 15
13 8 . An c h o r L i f e P o l i c y
13 9 . T r u s t M a r k L i f e P o l i c y
14 0 . I n d i a n a p o l i s L i f e P o l i c y
14 1 . M e t L i f e P o l i c y
14 2 . O a k m a r k E qu i ty & I n c o m e 1 F u n d
143.
1 4 4 . C a p m a r k B a n k C D 7 / 2 3/ 1 2
14 5 . C i t i ze n s F i rs t Ba n k C D 12/28/12
14 6 . D i s c o v e r Ba n k CD 9 / 2 4 /13
14 7 . G E Ca p i t a l F i n CD 9 / 18 / 12
14 8 . G E M o n e y Ba n k CD 11/ 2 0 / 12
1 4 9 . G o l d m a n S a c h s B a n k C D 1 1 / 1 9 /1 3
15 0 . G o l d ma n S a c h s Ba n k CD 12 / 17 / 13
1 5 1 . W a c h o v i a B a n k C D 9 / 30 / 1 3
15 2 . W e s t e mb a n k CD 11/ 2 0 / 14
15 3 . W e s t e mb a n k CD 11/ 2 0 / 14
Transact ions during report ing period
(2) (3) (4) (5 )
Date Value I Gain Ident i ty of
m m / dd / y y Co d e 2 I Co d e 1 buyer/se l ler
(J-P) (A-H) (if private
transaction)
( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemption)
( Q - W )
N o n e K T B uy
N o n e K T
N o n e L T
N o n e K T
N o n e K T
N o n e
N o n e
N o n e J
N o n e J
Inte res t K
N o n e J
Inte res t J
N o n e L
N o n e K
N o n e J
In te r e s t
N o n e
T
T
T
T
T
T
T
T
B uy
S o l d
B uy
S o l d
S o l d
07/20/10 K
03/11/10 K
07 / 19 / 10 K
0 5 /1 8 /1 0
05/10/10 L
05/10/10 K A
1. Incom e Gai n Codes :
( S e e C o l u m n s B I a n d D 4 )
2. Value C o d e s
( S e e C o l u m n s C I a n d D 3 )
3.V al u e Met h od Codes
( S e e C o l u m n C 2 )
A = $ 1, 000 or l ess
F =$50,001 - $ 100.000
J = $ 15 , 000 or l ess
N =$250.001 - $500,000
P3 -$25,000.001 - $50.000.000
Q =Appraisal
U = B ook V al u e
B=$1,001 - $2,500
G =$ 100,001 - $1,000,000
K=$15.001 - $50,000
O =$500,001 - $1,000,000
R = Cost (Rea l Es t a t e O nl y )
V =Othe r
C =$2,501 - $5,000
HI =$1,000,001 - $5,000,000
L =$50,001 - $100,000
PI =$1,000,001 - $5,000,000
P4 -Mo re t h an $ 5 0, 000, 000
S = A s s e s s m e n t
W = Est i m at ed
D =$5,001 - $15,000
H2 = More t h an $ 5 , 000,000
M -$ I00,001 - $250,000
P2 =$5,000,001 - $25,000,000
T = C a s h M a r k e t
E =$15,001 - $50,000
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FINANCIAL DISCLOSURE REPORT
P a g e 1 3 o f " 2 0 Iame of Person Reporting
L u d i n g t o n , T h o m a s L .
Date of Report
4/18/2011
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, t ransac t ions ( Includes those o£spouse an d depen den t ch i ldren ; s ee pp . 34-60 of fi l i ng ins t ruct ions .)
154.
155.
156.
157.
158.
159 .
160.
161.
162.
163.
164.
165.
166.
167.
168.
169.
170.
N O N E (No reportable income, assets, or transactions.)
A. B. C. D.
Descr ipt ion of Assets Incom e during Gross value a t end Transactions during repo rting period
( including t rust assets) reporting period of repor t ing per iod
(l ) (2 ) (l) (2) ( l) (2) (3) (4) (5 )
Place "(X)" after each asset A mo un t Typ e (e.g ., V a lu e Value Type (e.g., D a t e Value Gain Ident i ty of
exempt f rom pr ior di sclosure C o d e 1 div.. rent. C o d e 2 Method buy, se l l , m m / dd/ y y C ode 2 C o d e l buyer/se l ler(A-H) o r i n t . ) (J-P) C ode 3 redem ption ) (J-P) (A-H) (if p rivate
(Q-W) transaction)
G E Ca p F i n a n c ia l CD 10 / 16 /12
P a r a g o n C o m m B a n k C D 1 2 / 1 5 /1 4
S y r a c u s e , N Y Bo n d 10 / 15 /14
W y a n d o t t e C o , K S B o n d 8 /1 /1 1
R o y c e P e n n M u tu a l F u n d
S c h wa b M o n e y M a r k e t - F B O # 1
FBR Sn~al l Cap Fnc l Fund - FBO #1
Firs t Eagle Overseas A Fund-FBO# 1
I N G Glo b a l N a tu r a l R e s o u r c e s A F u n d
M a g e l l a n M id s t r e a m - F B O # 1
C o l u m b i a S e li g m a n C o m m F u n d - FB O # 1
R o y c e L o w- P r i c e d S to c k F u n d - F B O # 1
M F S ln t l N e w D is c o ve r y A F u n d - F B O # 1
Stra t ton Sm Cap Value Fund-FBO# 1
T R o we P r i c e M e d ia & T e le F un d - F B O # 1
N o n e K T
N o n e K T
A Inte res t K T
A In te r e s t K T
N o n e
N o n e
N o n e J T
A D i v i d e n d J T
A D i v i d e n d J T
N o n e J T
A D i v i d e n d J T
N o n e J T
A D i v i d e n d J T
A D i v i d e n d J T
N o n e
A D i v i d e n d J T
T
B uy 03/26/10 K
B uy 05/26/10 K
B uy 05/17/10 K
B uy 03/11/10 K
S o ld 03/11/10 J(pa r t )
S o l d 11/17/10 J
B uy 1 !/16/10 J
Buy 07/20/10 J
Sold 11/16/10 J
(pa r t )
Sold 07120/10 J
B u y 07/20/10 J
B uy 11/16/10 J
( a d d ’ l )
I . Income G a in Cod e s : A = $ 1, 000 or l ess B =$1,001 - $2,500 C = $2,5 01 - $5,000 D 65 5,001 - $15 ,000
( See Col u m ns B 1 and D4) F = $50,001 - $ 100,000 G = $1 00 ,0 01 - $1,0 00 ,00 0 H I = $1 ,0 00,0 01 - $5,0 00,0 00 H2 =M ore tha n $ 5,00 0,00 0
2. Va lue C o d e s J = $15,000 o r le ss K = $15,001 - $50,000 L = $50,001 - $100,000 M =$100,001 - $250,000
( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P3 =525,000,001 - $50,000,000 P4 -More than $50,000,000
3 . V alu e Met h od C odes Q =Appraisal R =Co s t ( Re a l Es ta t e Only) S = Assessm ent T = C a s h M a r k e t
(Scc C o lum n C 2) U = B o o k Va lue V Other W = Est i m at ed
E =$15,001 - $50,000
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FINANCIAL DISCLOSURE REPORT
Page 14 o f 20
Name of Person Reporting
Ludington, Thomas L.
Date of Report
4/18/2011
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 , v a l a e , 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.
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
( in c lud in g t ru s t a s s e ts ) r e 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) (2 ) (1) (2) (l) (2) (3) (4) (5 )
Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e Type (e.g., D a t e Value G a i n Identity of
exempt from prior disclosure Code l d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , mm/dd/yy C o d e 2 Code I b u y e r / s e l l e r
( A - H ) o r i n t . ) (J-P) C o d e 3 redemption) (J-P) ( A - H ) (if private
( Q - W ) i t r a n s a c t i o n )
17 1 . T h o mb u r g I n t l V a l u e A F u n d - F BO # 1 A D i v i d e n d
172.
17 3 . J a n u s O v e r s e a s T F u n d - F BO # 1 N o n e
174. Morgan Stan ley Ins t In t l Real Es t - FBO #1 A D i v i d e n d
175. Vanguard Energy Fund - FBO #1 A Dividend
176. ATCO Ltd Class I - FBO #1 A Dividend
177. Canadian Natural Resources-FBO#1 None
178. Power Financial Corp - FBO #1 A Dividend
179. American G en Fin - Bond 5/15110-FBO#1 A Interest
180 . C a t e r p i l l a r F i n - B o n d 2 1 1 5 /1 I -FBO#1 A Inte res t
181. GE Cap Corp Bond-FBO#1 8/15/15 None
182. Metro Inc A -FBO#1 None
183. Harris Cap- FBO #I A Dividend
184. C & S R e a l t y Inc A F u n d - FBO #1 A Dividend
185. MSCI Canada Index Fund-FBO#1 A Dividend
186. Avalon Bay Communities Inc-FBO#1 A Dividend
187. Cenovus Energy-FBO#1 A Dividend
J
J
J
J
J
K
J
J
J
J
J
J
B uy 03/10/10 J( a d d ’ l )
Sold 07/20/10 J A
T B uy 07/20/10 J
T
T
T S o l d 03/10/10 J(pa r t )
T B uy 1 ! 1 1 6 1 1 0 J
A
Sold 03/10/10 J B
Matured 05/15/10 K A
T
T B uy 12/20/10 J
T B uy 11/16/10 J
T
T S o l d 07/20/10 J(pa r t )
T B uy 11/16/10 J
T S o l d 11/16/10 J(pa r t )
B uy 03/10/10 J( a d d ’ l )
A
1. Inco m e Gain C o des : A = $1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000
(See Col u m ns B 1 and D4) F =$ 50,001 - $ 100,000 G = $1 00 ,0 01 - $ 1,0 00 ;0 00 H 1 = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00
2. Va lue C o de s J -$15 ,000 o r le s s K = $15 ,001 - $5 0,000 L = $5 0.001 - $100,000
(See Col u m ns C’ I and D3 ) N =$250,001 - $500,000 O = $ 5 00, 001 - $ 1, 000, 000 PI =$1,000,001 - $5,000,000
P3 ~$25,000,001 o $50,000,000 P 4 = M o re t han $50,000,000
3 . V al ue Met h od C odes Q = Appra i sa l R =Co s t ( Re a l Es ta t e Only) S =As s e s s me nt
( Se e Colunm C2 ) U ~Book Va lue V = O t h e r W =Es t ima te d
D =$5,001 - $15,000
H2 = Mo re t h an $ 5 , 000, 000
M = $ 100, 001 - $ 25 0, 000
P2 =$5,000,001 - $25,000,000
T = C a s h M a r k e t
E =$15,001 - $50,000
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FINANCIAL DISCLOSURE REPORT
Page 15 of 20
Name of Person Reporting
L u d i n g t o n , T h o m a s L .
D a t e o f Re p o r t
4/18/2011
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 , v a t a e , 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 Income during Gross value at end Transactions during reporting period
(including trust assets) r e p o r t in g p e r i o d of report ing period
(1 ) (2 ) (|) (2) (1 ) (2) (3) (4)
Place "(X)" after each asset A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g . , D a t e Value G a i n
exempt from prior disclosure C o d e 1 d i v . . r e n t . Code 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( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemptionj ( J - P ) ( A - H )
( Q - W )
188. S o l d 11/16/10 J A
18 9 . En Ca n a C o r p - F BO # 1 A S o l d 11/16/10 J A
19 0 . S h o p p e r s D r u g M a r t Co r p - F BO # I A B uy 03/10/10 J
191. S o l d 11/16/10 J
19 2 . F i r s tb a n k P u e r to R i c o CD - F BO # 1 7 / 11 / 13 A Inte res t J T
19 3 . G E M o n e y Ba n k CD - F BO # 1 12 /13 /10 A In te re s t M atured 12/13/10 J
1 94 . S t B a n k o f l n d i a , N Y , C D - FB O# 1 9 / 2 6 / 1 2 A Inte res t J T
1 9 5 . W a c h o v i a B a n k C D - F B O # 1 8 / 15 / 13 A Inte res t J T
19 6 . W e s t e r n b a n k CD - F BO # 1 11 / 2 0 /14 A Inte res t S o l d 04/30/10 J A
19 7 . F t . W a l t o n D e f Bo n d - F BO # 1 6 / 15 /12 N o n e K T
19 8 . S u p e r i o r , W I Bo n d - F BO # 1 3 /1 / 14 A Inte res t K T B uy 05/21/10 K
1 9 9 . M a r l b o ro T w p , N J B o n d - F B O # 1 1 2 / 1 /1 3 A Inte res t J T B uy 05/18/10 J
2 00 . G o l d ma n S a c h s Bo n d - F BO # 1 10 / 15 / 15 N o n e J T B uy 12/21/10 J
201. Sab ine Royal ty Trus t - FBO #1 A D i v i d e n d J T
2 02 . Al g e r H l t h S c i F un d - F B O # 1 N o n e S o ld 11/16/10 J A
203. MFS U t i l it i es Fund - FBO #1 A D i v i d e n d J T
2 04 . T Ro w e P r i c e F i n c l S rv c F d - F BO # 1 A D i v i d e n d J T
D i v i d e n d
D i v i d e n d
Identity of
buyer/seller
(if private
transaction)
I . Income G a in Codes: A = $1,000 o r less B = $ 1,001 - $2 ,5 00 C = $2,5 01 - $5,000 D =$5,001 - $15,000
( Se e Columns B I a nd D4) F =$50,001 - $100,000 G = $1 00 ,0 01 - $ 1 ,0 00 ,0 00 H 1 = $1 ,0 00 ,0 01 - $5 .0 00 ,0 00 H2 = Mo re t h an $ 5 , 000, 000
2. Value C o d es J = $15,000 or less K = $15 ,001 - $50,000 L = $5 0,001 - $100,000 M = $100,001 - $250,000
( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $5 00,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P 3 -$25 ,000,001 - $5 0,000,000 P 4 = M o re t han $50,000,000
3 . V al ue M ct h 0d Codes Q = Appra i sa l R =C os t ( Re a l Es t a te Only) S =As s e s s me nt T = C a s h M a r k e t
( Se e Column C2 ) U =Book Va lue V = O t h e r W =Es t ima te d
E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0
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FINANCIAL DISCLOSURE REPORT
Page 1 6 of 20
Name of Person Reporting
Ludington, Thomas L.
Date of Report
4/18 /2011
V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D NONE(No reportable income, assets, or transactions.)
A. B. C.
Descr ipt ion of Assets Income during Gross va lue a t end
(including t rust asse ts) rep orting p erio d o f rep ortin g p eriod
( 1 ) ( 2 ) (1) (2)
Place "(X)" after each asset Am ou nt Type (e.g., Va lue Va lueexempt f rom pr ior di sclosure Co d e 1 div., rent, C o d e 2 Method
(A-H) o r i n t . ) (J-P) C ode 3
(Q-W)
( i)Type (e.g.,
b u y , s e l l ,
r e d e m p t i o n )
T r a n sa c t i o n s d u r i n g r e p o r t i n g p e r i o d
(2) (3) (4)
D a t e Value Gain
m m / dd! y y C o d e 2 Code 1
(J-P ) (A -H)
Identity of
b u y e r / s e l l e r
(if private
t r a n sa c t i o n )
2 05 . S u n o c o L o g i s t i cs P a r t n e r s - F BO # 1
206.
2 0 7 .
208.
209 .
2 10 . S c hw a b M o n e y M a r k e t F un d - F BO # 2
A Dividend
None
T
T
T
T
T
T
Buy 03/10/10
( a d d ’ l )
B u y 05/17/10( a d d ’ l )
B u y 08/I 6/10
( a d d ’ l )
B u y I 1/15/10
( a d d ’ l )
Sold I 1/16/10
(pa r t )
J
J
J
J
J A
211. FBR Small Cap Fncl Fund - FBO #2 A Dividend J
212. Mer id ian Value Fund - FBO #2 None S o l d 03/10/10 J
213. Columbia Seligman Comm Fund - FBO #2 None
2 1 4 . V a n g u a rd En e rg y Fu n d - FB O # 2 A Dividend J
2 1 5 . M FS I n t l N e w D i s c o ve ry A - F B O # 2 A Dividend J
2 1 6 . T h o rn b u rg I n t l V a l ue A - FB O #2 A
2 1 7 . O a k m a r k E q u it y & I n c o m e F u n d - FB O # 2 A
Dividend
Dividend
J
J
T
T
S o l d 11/16/10 J
(part)
B uy 03/10/10 J
A
2 18 . AT CO L t d C l a s s I - F BO # 2
2 1 9 . P o w e r F i n a n c i a l C o rp - FB O #2
A Dividend
A Dividend
Sold I 1/16/10 J A
(pa r t )
Sold 03110/10 J C
220. Royce Low-Priced Stock Fund-FBO#2 A Dividend J Buy 07/20/I 0 J
221. Stratton Small Cap Value Fund-FBO#2 None Sold 07/20/10 J B
I . Income G a in Co de s : A = $ 1, 000 or l ess B = $1,001 - $2,500 C = $2,501 - $5 ,000 D =$5,001 - $15,000
(See C o lum ns B I and 19 4) F = $5 0,001 - $100,000 G = $ 100,001 - $1,000,000 H 1 -$ 1,000,001 - $5,000,000 H2 = More t h an $ 5 , 000,000
2 . Va lue Code s J = $15 ,000 o r less K = $15,001 - $5 0,000 L = $50,001 - $100,000 M ~$100,001 - $250~000
( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $500,000 O = $500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P3 =$25,000,001 - $50,000,000 P4 -M or e tha n $50 ,000 ,000
3 . V al ue Met h od Co des Q =Appraisal R =Co s t ( Re a l Es ta t e Only) S =As s cs s me nl T = C a s h M a r k e t
( S e e C o l u m n C 2 ) U =Book Va lue V = O t h e r W =Es t ima te d
E =$15,001- $50,000
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FINANCIAL DISCLOSURE REPORT
Page 1 7 of 20
N a m e o f P e r s o n R e p o r t in g
Ludington, Thomas L.
Date of Report
4/18/2011
V II. INVESTM ENTS and TRU STS - i .... e , value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D NOllE (N o reportable income, assets, or transactions.)
A. B. C.
D e s c r i p t io n o f A s s e t s In c o m e d u r i n g G ro s s v a lu e a t e n d
( in c lud in g t rus t a s 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
( 1 ) (2 ) (1) (2) (1 )
Place "(X)" after each asse! A m o u n t Type (e.g., V a l u e Value Type (e.g.,
exempt from prior disclosure C o d e 1 d i v . , r e n t . C o d e 2 M e tho d b u y , s e l l ,( A - H ) o r i n t . ) (J-P) C o d e 3 r e d e m pti o n )
( Q - W )
2 2 2 . M e t r o I n c A - F B O # 2 N o n e J T B uy
2 2 3 . M S C I C a n a d a I n d e x F u n d - F B O # 2 A D i v i d e n d J T B uy
2 2 4 . M e r r i l l L y n c h Bo n d - F BO # 2 3 /2 9 / 11 A Inte res t J T
2 2 5 . M i a m i l) a d e C n t y - F BO # 2 4 / 1 / 10 A Inte res t Matured
2 2 6 . S a b i n e Ro y a l t y T r - F BO # 2 A D i v i d e n d J T B uy
( a d d ’ l )
227. T S o l d
(par t)
2 2 8 . M a g e l l an M i d s tr e a m - F B O # 2 A D i v i d e n d J T B uy( a d d ’ l )
229 . T S o l d(par t)
230. C & S R e a l t y F u n d - F BO # 2 A D i v i d e n d J T
2 3 1 . S ho p p e r s D r u g M a r t Co r p F BO # 2 A D i v i d e n d B uy
232. S o l d
2 3 3 . A l g e r H l th S c i Fu n d - FB O # 2 S o l d
2 3 4 . F ir s t Ea g l e O v e r s e a s A F u n d - F BO # 2 B uy
( a d d ’ l )
2 3 5 . Ca p i k a l O n e CD - F BO # 2 9 / 4 / 12
236. M FS Utilities Fund - FBO #2
237. T Rowe Price Fincl Srvc Fd - FB O #2
238. GE M oney Bank CD-FBO#2 10/9/13
None
A Dividend J T
A I n t e r e s t J T
A Dividend J T
A Dividcnd J T
A I n t e r e s t K T
T r a n sa c t i o n s d u r i n g r e p o r t i n g p e r i o d
(2) (3)
D a t e Value
mm/dd/yy C o d e 2
( J - ~ ’ )
11/16/10 J
07/20/10 J
04/01/10 J
07/20/10 J
11/16/10 J
07/20/10 J
11/16/10 J
03/10 /10 J
11/16/10 J
11/16/10 J
03/10/10 J
( 4 ) ( 5 )
Gain Ident i ty of
Co d e 1 buyer/se l ler
(A-H) (if private
t ransact ion)
A
A
A
A
1. Incom e Gain C od es : A = $1,000 or less B = $1,001 - $2 ,500 C = $2,5 01 - $5 ,000 D = $5 ,001 - $15,000
(Se e C ol um ns B ! an d 19 4) F = $5 0,001 - $100,000 G ~$100,001 - $1,000,000 HI =$1,000,00t - $5,000,000 H2 = More t h an $ 5 , 000,000
2. Value C o de s J = $15.000 or less K = $15 ,001 - $5 0,000 L = $50,001 - $100,000 M -$100,001 - $250,000
( Se e Columns C I a nd D3) N = $250,001 - $500,000 O = $500,001 - $1,000,000 P I = $1,000,001 - $5,000,000 P 2 = $5,000,001 - $25,000,000
P3 =$25,000,001 - $50,000,000 P4 -M or e tha n $50 ,000 ,000
3 . V al ue Met h od C odes Q =Appraisal R = Cost (Rea l Es t a t e O nl y ) S - A s s e s s m e n t T = C a s h M a r k e t
( S e e C o l u m n C 2 ) U = B ook V al u e V = O t h e r W =Es t ima te d
E =$15,001- $50 ,000
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FINANCIAL DISCLOSURE REPORT
Page 18 of 20 Iame of Person Reporting
Ludlngton, Thomas L.
Date of Report
4/18/2011
V II. INV ES TM ENTS and TRU S TS - i .... e , value, transac t ions (Includes those of spouse and dependent children; see p p . 3 4 - 6 0 of.fi llng in struct ions.)
N O N E (No reportable income, assets, or transactions.)
D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g
( in c lud in g t rus t a ss e ts ) r e p o r tin g p e r io d
(1) (2)
Place "(X)" after each asset A m o u n t Type (e.g.,
exempt from prior disclosure C o d e 1 d i v . , r e n t ,(A-H) o r i n t . )
239. Blount Co, TN-FBO#2 6/1/15 A I n t e r e s t
240. AFLAC Inc None
241. Boston, M A Bond-FBO#2 1 /1 /14 A I n t e r e s t
2 4 2 . JP M o r g a n B o n d - F B O # 2 6 / 1/ 1 4
2 43 . T R o w e P r i c e F i n c l S rvc Fu n d
2 4 4 . A v a lo n B a y C o m m u n i ti e s I n c
2 4 5 . Ar c h e r D a n M i d l a n d B o n d s e m i 4 /15 / 11
2 4 6 . Ba n k e r s T r u s t Bo n d s e m i 10 / 15 /11
2 4 7 . O r e g o n S t a t e Bo n d m a t y 6 / 1 /12
2 4 8 . P e p s i c o Bo n d m a t y 4 /1 / 12
2 4 9 . W a c h o v i a C o r p B o n d s e m i 1 0 /1 5 /1 1
G r o s s v a l u e a t e n d
o f r e p o r t i n g p e r i o d
(1) (2)
Value V a l u e
C o d e 2 M e t h o d
(J-P) C o d e 3
( Q - W )
J T
J T
A I n t e r e s t J T
None J T
A Dividend K T
None K T
None K T
None K T
None K T
B I n t e r e s t K T
(l )
Type (e.g.,
b u y , s e l l ,
r e d e m p t i o n )
T r a n sa c t i o n s d u r i n g r e p o r t i n g p e r i o d
(2) (3) (4)
Date Value Gain
mm/dd/yy C ode 2 Co d e 1
( J - P ) (A-H)
B uy 11/18/10 J
Sold 07/19/10 J
B uy 04/09/10 J
B uy 04/09/10 J
Sold 07/19/10 J(part)
(s )
Identity of
b u y e r / s e l l e r
(if private
t r a n sa c t i o n )
I. In co m e Ga in C o d e s: A -$1,000 o r le ss B =$1,001 - $2,500 C = $2,5 01 - $5 ,000 D = $5,001 - $15,000
( Se e C olum ns B 1 a nd D4) F = $50.001 - $100,000 G =$ 100,001 - $1,000,000 H 1 = $ 1,000,001 - $5,000,000 H2 =M ore than $5 ,00 0,0 00
2 . Va lue Codcs J $15,000 o r lc ss K $15,001-$50 .000 L= $5 0,001-$100,000 M =$10 0,001-$25 0,000
( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $500,000 O $500,001-$1,000,000 P I -$ 1,000,001 - $5,000,000 P2 =$5.000,001 - $25.000,000
P3 = $25,000,001 - $5 0.000,000 P 4 = M o re than $5 0,000,000
3 . V alu e Met h od Cod es Q =Appraisal R = Cost (Rea l Es t a t e O nl y ) S =As s e s s me nt T = C a s h M a r k e t
( S e e C o l u m n C 2 ) U =Book Va lue V =Othe r W =Es t ima te d
E =$15,001 - $50,000
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FINANCIAL DISCLOSURE REPORT
Page 19 of 20
Name of Person Reporting
L u d i n g t o n , T ho m a s L .
D a t e o f R e p o r t
4/18/2 011
V II I. A D D IT IO N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicatepart ofreport.)
I. D e l e t e d a l l a s s e ts f r o m 2 009 r e p o r t t h a t ha d b e e n s o l d o r m a t u r e d .2. Line 7 Coming Stock was sold due to conflict ofinterest~
3.L i n e 8 B l a c k r o c k G l o b a l S t o c k b o u g h t a s p a r t o f t h e c o n f l i c t o f i n t e r e s t s e l l o f Co m i n g S t o c k .4. L i n e s 5 9 ,1 6 5 , a n d 2 1 3 Fu n d h a d a n a m e c h a n g e t o C o l u m b i a S e l ig m a n C o m m F u n d .
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FINANCIAL DISCLOSURE REPORT
Page 20 o f 20
N a m e o f P e r so n Re p o r t i n g
L u d i n g t o n , T h o m a s L .
D ate o f Rep o r t
4/18/201 I
IX. CERTIFICATION.
1 c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a in i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a te , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f, a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r y
p r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .I f u rt h e r c e rt i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i n
c o m p l i a n c e w i t h t h e p ro v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q . , 5 U . S .C . § 7 3 5 3 , a n d Ju d i c i a l C o n fe re n c e r e g u l a t i o n s .
Signature
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 LY F A L S I FI ES O R F A L L S T O F I LE T H IS 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 . a p p . § 10 4 )
Committee on Financial Disclosure
Administrative Office of the United States Courts
Suite 2-301
One Columbus Circle, N.E.
Washington, D.C. 20544