.

~oI0
Rev. 1/2010

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization U.S~Dislrict Court, E.D. Pa.
5a. Report Type I.heck approprialc lypc~. ~-] Nomiuahon, Date

Report Req.ir~,d by th~ Ethics

m Government Act o]t 97,~

~.~ U.S.C. app. ,~,~" lOt-lit)

3. Date ol Report 03/3012010
6, Reporting Period 01/01i2009 12/31/2009

I. Person Reporting (last name. first, middle miltal) Pratter, Gene E.

4. Title {Arliclc ill judges indicate acti\,c of senior status: magis~ate judges indkatc thll- t~r pa~t-ti~nc) U.S. Dislrict Judge ~ Initial

7. Chambers or Office Addres~ 76~4 Untied States Courthouse Sixth & Markel Streets Philadelphia, PA 19106-1752

[ 8, On lbe ba~s of the information contained hi this Re~rt ~nd any modifications perlaining ffierel~, il is, in my opinion, in compliance ~ith applicable la~*~ and rcgulallon~. Reviewing Officer

IMPORTANT NOTES: The instructions accompanying this form must be fotloned, Complete all parts, checking the NONE box for each part where you have no reprotable information, Sign on Io_~tpage.

I. POSITIONS. ~s.p...i.g
V--] NONE (No reportable positions.) POSITION
1. Co-Tntstee Trust

NAME OF ORGAN1ZAT1ON,"ENTITY

NONE (No reportable agreemenrs.] DATE PARTIES AND TERMS

Pratter, Gene E.

FINANCIAL DISCLOSURE REPORT Page 2 of 20

N.ame el" Person Reporting

D~fe of Repor~

Pratter, Ge,,e E.

A. Filers Non-lnvestmen! Income "--] NONE (No reportable non-investment income.) DATE 1. 2009 2. 3.
4.

~OURCE AND TYPE Univcrsity of Pcm~sylvama Law School (Adiunct Protbssor)

INCOM E (yours, not spouses) $10,000.00

B. Spouses Non-] nvestment Income - ~/.~,,, were married during any portion ~,f the reporting year. ~Oml, lel thi,~ section. ~--~ NONE (No reportable non-investment income.) DATE I. 2009 2. 3. 4. SOURCE AND TYPE Commonwealth of Pennsylvania (Executive Deputy General Counsel)

NONE (~ r~7~ortahle reimbursements.) ~ ~ LOCATION PURPOSE ITEMS PAID OR PRODDED

3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 20

N ....

f P .....Reporliag

Dale of Report;

Pratter,

Gene E.

03.;30,2010

[~

NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE

3.
4.

5.

VI. LIABILITIES. a.~z~,, t~,,,.~,.,,j,p .........

[~] NONE (No reportable lial~ilities.)

~ depeud,,,, childre,,: .*ee pp. 32-3_~ ,~ff!ling inslructi,,n.~.l

CREDITOR
1. Bank of America Crccht Card

D~SCRIPTION

VALUE CODE
J

2.
3.
,o,.

5.

F! NANCIAL DISCLOSU RE RE POllT

~ame o~~,s,~ ~pe~t~.~

Page 4 of 20

~ra.~, Gene E.

03/30/2010

NONE (~ report~tble incon~e, assets, or transactions.) ...... A, Descriplion of As~cts (including ~sl as~ts ) Place "1X)" a tier each asset exe)npt from prior d~sclosure B Income du~g rept~tling peri~ (1~ (2) Amotmt Type (c.g. C()de I div, rent. (A-H) or int.) (, Gro~s value at end o~ rcp~rling (1~ (2) Value Value (St)de 2 Meth~ ~J-P) Code 3 (Q-W) D Transactions during reposing per~ (t) Fy~ (e.g., buy, sell. ~edemplion) (2) 13i " (4) Date Value Gain nm)/d~yy :~ C~e 2 C~e I (A-H) ~ (J-P) ~ Iq 5109 4/t5/09 2~27/09 5!1/09 1/15/09 4/15/09 2/27/09 5/1109 1/15/09 4/15/O9 2/27/09 5/1/09 1/15/09 4~15/09 2/27/09 5il/09 J K C J K K J C C J 3 K K J J K K C C B (5) ldel]ti~, of buyerlseller 0fprtvale transacno~))

I. 9 3. 4. 5. 6. 7. 8. "9. I0. 11. 12. 13 14. 15. 16. 17

V~ard Total Bond Market Index Retirement #2 Vanguard Tolal Bond Market Index Retirement #2 Vanguard Total Bond Market lndcxRet~ement #2 Vanguard Total Bond Market Index Retiremen~ #2 V~guard Index 500 - Rctiren~enl #2 Vang~rd Index 5~) - Retiremenl ~2 Vanguard Index 500 - Retiren~enl #2 Vanguard Index 500 - Rctiren,e**t #2 Vanguard Windsor II - Retiremcn~ #2 Vangnard Windsor II - Retirement ~2 Vangaurd Windsor l[ - Retirement #2 Vanguard Windsor II - Retirement #2 Vanguard International Growlh - R etircmeol ~2 Vat,guard tnte~ational (}torah - Rctiremcn~ Va~lsuard h~tematiot~al Growth - Rctircn~cnt ~2 Vanganrd Inlemational Growth - Ret~remenl ~2 Ad~a Harness Small Growth - Rctircme~,~ #5

Dividend Ntme None None

Buy (addl} Buy (addIt Sold Sold Buy (addl} ~ Bny (addIt Sold (part} Sold Buy (addlj Buy (addl) Sold Sold Buy (addIt Buy Sold (pa~) Sold J T

Dividend None None None None None None None None Nmlc None None None

FINANCIAL DISCLOSURE REPORT

" ....... fP ..... a~o,,~.~

Pralter, GeJle E. 03/30120].0

Page 5 of 20

VII. INVESTMENTS an d TRUSTS .- i .......... ~. ~a~,saction.~ Hnctudes those of sp ........ d depend ..... hittite,,: see pp. 34-60 o[fili,,g
NONE (No reportable income, assets, or tr~msoctiot~s,)
~ Dc~riplion of Asscls (including ~ms~ ~sets) Place "(X)" after each ;~ssel cxcmpl from prior disclosure Income during rcpt, rlh~g peri~ (1~ Amount Code I IA-H~ ~2) lype ~c.g.. div. rent. or intA Gro~s value at end of rep~rting pcfud II~ Value Code 2 O-P~ 12) Value Method C~e3 (I) Iy~ (c.g,, buy. selL. redemption) Traasacdons duriog rc~i~g pcr~ ~2) [ 13) (4) Date ~ Value Gait~ am~,t (L~ ~ C~Me 2 Ct~e I (I-P) (A-II) (5) Ide~t~ly of buycl,"~ller (if private

18. 19. 20. 2 l. 22. 23. 24. 25. [ 26. 27.

DFA US Small Cap Value - Retiremenl #5 DFA US Large Cap Value - Rctiremenl #5 Federated US Govq I - 3 - Rctircmc~t #5

A A A A A

Divideud I)ivide~d Dividend D~vidcnd Dividend Dividend

J J K J J

T T

First Eagle Overseas - Retirement 115 Jam~s Fund - Retirement #5 Janm Overse~- Retirement 05 Schwab Money Mark~ - Retiremem #5 Westcore MI~O Growth - Retirement #5 Jan~ M~d Cap Value - Rc~ircmcm #5 William Blair fml Small Growth Retirement #5 Federated US Govt I - 3 - Rclirement #6 Baron Growth- Retirement ~6 Fi~ Eagle Overseas - Retircmcn~ ~6 Royce Opportunity - Rct~reme~ #6 Schwab Money Market - Rcti~mcnt #6 Tho~nburg Value- Retirement #6

T T T T T T T

A A

J J J

Dividend No~e

D~vidcnd None

J J J J J J .! J J

28. 29. 30 31. 32 33.

A A A A A A A

D~vidend Dividend Dividend Dividend D~wtlcnd Dividend Dividend

T T T T T

34.

J~tl8 Overseas - Retirement ~6

FINANCIAL DISCLOSURE REPORT Page 6 of 20 VII. INVESTMENTS and TRUSTS - ~,, .......... ,a,,~.,

~a,,eorP~r~o~R~por,in~
Pratter, Gene E.

oa,~orR~t
03/30~20t0

NONE (No reportable income, assets, or trctnsactions.) A, (including tm.~l assets) Place "(X)" after each asset excmpl t~o~n prior disclosure B reporting period Amounl Code I
IA-H~

(, of reporting ~riud Value C~]c 2

~J-P}

D.

Type (c.g, div.. rent.

or int.)

Value Meth~ (ode 3 (Q-W) T T T T T T T

Type (e,g., buy. sell, redemption~

Date : Value mm.,df~ C(~e 2

(J-p)

Gain C~e I
(A-H)

idcnli~ of buyer/~llcr (if private

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

Jan~ Fund - Retirement g6 Sound Shore - Retirement #6 Third Avenue ln,l Value - Retirement #6 Baron Growlh - Reliremcnt #7 Brandywine- Retirement n7 DFA US Micro Cap- Retirement #7 DFA Emerging Markets Core Equity Retiremen~ #7 DFA Emerging Markets (7ore F.quity Retire~rtent #7 DFA httcmational Small Vahte - Retirement #7 DFA Inlernalional Value- Retirentem #7 DFA One Year Fixed- Rettrcmem #7 DFA One Year Fixed- Retirement #7 DFA US Smart Cap Vah~e - Retircmem #7 DFA US Large Cap Valne - Retireme~t #7 DFA Real Estale Sccurilics - Retirement #7 Dodge & Cox Sto~k - Relirement #7 Dodge & Cox Stock - Relircmcnt ~7

A A A A

Dividend Dividend Dividend Dividend N~,ne

J J J L M K L

Sold ~part}

5/13/09

A A

Dividend Dividend None

Sold ~part~ Sold (part) Sold (part)

9/29/09 5/13/09 9!29/09

J J J

A A A

A C ("

Dividend D~vidend Dividend None

K M N

"F T T Sold (part) Sold Ipart) Buy (addl) 9/29./09 7/30/09 9/29/09 J L K A A

A B 13 A

Divhlend Dividend Dividend D,vidcnd Noz]e

L M K L

T T T T Sold (part) Buy Sold (par0 Sold (pan) 5!13/09 5!13/09 5/15:09 9/29/09 .T K J J A A A

FINANCIAL DISCLOSURE REPORT Page 7 of 20 VII. INVESTMENTS and TRUSTS - i ............

................... A. " Description of Assets (inck~ding tnlst ~sets) Place "(X)" al~er eah ~1 excmp~ from prior disclosure B Income duri~lg
reporting per~

N .... f P ..... Reporting [ Pratter, ~ene E.

~.,. t .......... gto,ct,~a~.~" thase ri,,n~

C. ...... Gro~ value at end o~ re~tng period ~1) (2) Value Value C*)de 2 Method (~ 3 O-P) ~Q-W~ M L M T T T D~ ........... Transactions duriug reposing period (1) Type ~e.g.. redemplion~ ~ Buy (addl) Sold (pan) Sold (pan) Sold (pan) L M L 2 K T T T T T Sold ~pan) Sold K K M ~..! L f_ L Y T T T T T T gold (pat~) (parl)Sld ~par0Sld 9,"29/09 5/13/09 5,"13/09 J A Sold (part) Sold 9/29~09 9i29/I)9 J J A A 5/I 3/09 9/29/09 J J A A Sold (part) 5/13/09 J A 9/29/09 5/13/09 5/13/09 9/29/09 K J J J A A B (2) Dale, (3) (41 Value Gab* (J-P) (A-H) (5) Identity of (if private wa~aclion)

~ NONE (No reportable income, assets, or trmsactions.)

(I) Amoum Code I ~A-H)

(2) Fype (.~., div, re~l, or ~nl.)

52. 53. 54. 55. 56. 57. 5~. 59. 60. 6 I. 62. 63.

Federated US Govt I - 3 - Retirement ~7 First Eagle Overseas - Retirement #7 Hotchkis & Wiley Mid Cap Value Reti~ment #7 Hotchkis & Wiley Mid Cap ValueRetiremen~ #7 Anio International Equip" - Retirement #7 Morgan Stanlev International Equity Retirement #7 Morgan Stanley Emergiog Markels Retiremem #7 Royce Micro Cap - Retirement # Royce Opportunity - Retirement #7 Royce Opportunily - Retirement #7 Schwab Money Market - Reti~ment ~7 Westcore Inlernational Frontier- Retiremen~ #7

C B A

Dividend Dividend Dividend None

C C A A A

Dividend Dividend Divklcnd Dividend Dividend Nooe

A A A

Dividend Dividend Dividend No~e

l
665.

6"-I. Westcore Mid Cap Value - Refireme~t #7 Westcor~ MIIXO Grt~wth - Rctiretnent #7 William Blair International Growth Retirement #7 Janus Fund - Retirement #7

67.

A A A

Dividend Dividend Dividend

K .... A K B

.68 Janus Overseas - Retirement #7

FINANCIAL DISCLOSURE REPORT Page 8 of 20

VII. INVESTMENTS and TRUSTS - i. ..........

.~ .... fP ..... Reportin.g

Da,e of Report

eratt~r, C,e,e r.
,i~, ~,,. , ....... ~t.~t,,a,, t~o.,~ ols~ ......
~ depend~nt children: see pp. 34-60 qfiting

NONE (No r~ortable income, assez~, or transactions.)

A~
~scriplion of Assels (including t~sl ~) Place "(Xt" afi~ each as~t eaempt from prior disclosure

a
Income darin8 rescuing ~ri~ iI~ (2} Amottt~l Type fc.8.. Code I div.. rent. IA-I[) or int.)

t. ........
Gross value at end o~reporting peri~ {i) (2) Value Value Code 2 Method [J-P) (~e 3 (I) Yype (e,g,. buy. ~11, r~emption)

6~ ...........
Trm~sactio~ during re~in (2) ~ ~31 (41 Gain Date ~ Value nm~/ddt~ ~ C~e 2 C~e I , (J-P) (A-H) (5) Idcnli~ of buyer/seller (Jrprivate

69. 70. : 7 I. 7~. 73. 74. 75. 76. 77. 7g. 79. ~0. 81. 82. 83. 84. 85.

Jan~ Over,as - Relirement #7 Hotchkis & Wiley Lurge Cap Value Ret~menl #7 Royce Value PI~ - Retirement #7 Royce Value Plus - ~etir~ment ~7 Third Avenue International Value Retirement #7 Third Avenue International ValueRefi~ment #7 Tum~ Core G~wth- Retiremeot #7 William Blair Large Gro~h - Retirement #7 Schwab Value Advantage - Retirement #7 Schwab Value Advantage - Retirement #7 Adams ltarkness Small Growth- Retiremeo~ #7 William Blair lntl Small Growth Retirement #7 Metropolitata West Total Return Retirement g7 Metropolitan West Total Ren~rn Retirement #7 Metropofitan West Total Return Retirement #7 BlackRock Low Duration - Retiremeut #7 BlackRock Low Duration - Retiremen~ #7 D A D A A A B

None Dividend None Notre Dividend None Dividend [ No~e Dividend None None Dividend Dividend None Nooc Dtvideod None N T L K M T Y T L L T T L T L K T

Sold (pan}

9/29/09

Sold Sold (pan) Sold ~pa~) Sold (pa~) Sold (part)

5/t 3/09 9/29/09 5113109 9/29109 5/13/09

J J J J J

A A A A A

Sold (part) Sold

4/30/09 7/30/09

M M

A A

Buy Buy (addl) Buy (addt) Buy Buy (addl)

5/13/09 7/30/09 9!29!09 4/30/09 7/30/09

M M K M L

FINANCIAL DISCLOSURE REPORT Page 9 of 20 V lI. INVESTMENTS and T RUSTS - ~ ..........

~ " ~. D~ri~tion tff Assets (ml~ing tn~sl ~se~s)

~ ..... fP .... Reporting

DateufRepor! [

~,-atte,-, ~;~.e E.
~,~. ~ra,,SactiOnS (Includes those qsp ......

[
d dependent ,.kildrru: seepp. 34-~0 of~ding instructions.)

NONE (No reportable income, assets, or transactions.) B Income daria~ repo~i~g per~ Amount Code I IA-It} ly~ le.g.. div, rent. or int.) C. Gross v~[uc at end ~f re~ing period Value Ct~e 2 O-P) Value Melhod C~ 3 (Q-W) Ty~ (e.g.. buy, sell, redemplion) . Buy ~addl) J K T T Sold K K K J K K K K K K K K K T T T T T "1" T T T T T T T Buy (add!) 9/15/I)9 J 12/17/09 J A 9/30/09 K D. Trao~ctions duriug repo~in8 ~ri~ Date ~ VMu ~ ~J-P) Gain , (A-H) ldcnlity of (if private tmnsactioo~

Place "{Ky after each asset exempl from prior disclosure

86. 87. 88. 89. 90. 91. 92. 93. 94. 95. "~. 97. 98 99.

BlackRock Low Duration - Retirement g7 Schwab Money Market - Trust #1 Dodge & Cox Stock - Trust #1 Schroder Shut, Term Mtmi - Trust # I Baron Growth- Trust #i Federated Short Term Muni - Trust # I First Eagle Overseas - Trust #l Hotchkis & Wiley Large Cap Value - Trust #1 Hotchkis & Wiley Mid Cap Va]ttc - Trusl #l Janus Fund - Trust #1 Janus Overseas - Ttatst # t Ar~io haemational Equity - Trust #1 Morgan Stanley lntematioual Equi~ - Trust Morgan Stanley Emerging Markets - "Frost #1 A A A A A A A A A A B A .,\ A A A

None Divide~d Dividend Dividend Dividend Dividend Dividei~d Dividend Di,~ldcnd Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

100. Royce Opportunity - Trust # 1 10 I. Turner Core Growth - Tnast #1 102. Westcore Mid Cap Value - Trust #1

FINANCIAL DISCLOSURE REPORT Page t0 of 20

Name of Person Reporting

Dale or" Report

rru.er,~e,,. E.

03/30~2010

NONE (No reportable income, assets, or transactions.) A. Description of Assets 0ncluding tmsl ~) Place "~X)" a~er ezch asset exempt from p6or disclosure B. hlcomc during rc~cting peri~ Amotmt C~e I I A-H) : 10Y Westcore MIDCO Growth - T~sl #1 ~04. DFA Tax Managed Markctwide Value Trtlsl ~1 105. DFA US Micro Cap - T~st #1 106. Third Avenne InlernationM Value - T~st ~1 107. Westcorelmernationat Frotttier-Trust ~l 10g. DFA lrttl Value- Trust #1 109. DFA US Small Value - Trust #l 1 t 0. Turner Small Cap Equity -"lms~ #I I 11. William Blair Mid Growth - Trusl #1 112. DFA Short Ten~ Muni - Trust #I 113 A A A A ..\ A A None Dividend Dividend Dividend Dividend Dividend Dividend Nooe No,~c Dividend None A A A A Dividend Dividend l)ivtdend Dividend None A Dividend K T K K K K T T T q" K K K K K J J J K K Type ~c.g.. div. rent. or int.l C. Gross value ~t end ofrepotling period Vatuc (N~de 2 O-P) Value Method Ct~e 3 ~Q-W) T T T T "1T T T T T Buy Buy Buy {addl} Buy Sold (part) Sold (parO Buy (addq) Sokt (part) Sold Ipart) 9115/09 5/13/09 ~-~/l 5/119 7/30109 1 t/18/09 1/18/09 J 5/13/09 9~9/09 9;29/09 J J J 13 B J J J K J A A Ty~ le.g.,
buy, ~1,

" D~ ....... Trmtsacrions duril~g

redemp~ionl

D~e Value nm~d~~ C~e 2 ~ (J-P) i

Gala C~e ~ ~A-H)

Identity of buyer!seller (if private ~ansactmn)

,, DFA Short Term Mttm- Trust #i

11,1. Metropolitan West Total Return - Trust )tl I t5. Ban)n Growth - Brokerage #1 116. DFA Tax Mgd US Marketwide Value Brokerage # I 17 DFA bS Small "vahtc - Brokerage #1 18. DFA US Small Vah~e - Brokerage #1 19. DFA Emerging Markets (:ore Equity Brokerage # I

FINANCIAL DISCLOSURE REPORT

Sam, o~P ....

Repartiag

DateofReport

Page 1 [ of 20

Pratter. Gene E.

03/30.2010

N ONE (No reportable income, assets, or trunsactions.)

B. l~comc during
reporting peri~

............... A. ~scrip~ion of Assc~s

(including ~s~ ~sscls)

C. ................ (}ross value at end

uf rep~ing period

D. ............ Transactions du~ing reposing pcri~ (I) Type (e.g., buy, sell redemption) (2) : ~3~ (4) Date . Value Gaiu mmMdyy (J-P) (A-H) ~ ~ I 1/18/09 I B (5) .... Idcnti~ of (ifpnvar~ ~nsaction~

Pla~ "(X}" afle~ e~h asset exempt flora prior disclosure

(I) ~21 Amouut " Type (e.g., Code 1 div, rein. ~A-[l~ ~ or int.)

(11 Value Code 2 (J-P

(2) V~lue Methvd C~e3 (~Wt

120. DFA Emerging Markets Core Equity Brokerage # 1 121. DFA Tax Mgd lfitema~ional Value Broke~ge #l 122. East River Ba~k St~k - Brokerage #1 ! 23. Federated Short Term Muni - Brokerage # I 124. Federated Sheet Term Mtmi - Brokerage #1 125. First Eagle Overseas - Brokerage #I 126. Janus Fund - Brokerage//I 127. Janus Overseas - Brokerage #l 128. Janus Mid Cap Value - Brokerage #l 129. Arlio Intematioanl Equh) - Brokerage #l
130 Morgan Stanley lniematioual Equiw Brokerage #1

] [ A

None Dividend None B Dividend None A A A A A

A

Sold K K M T U T Buy Buy (add~) K K K K J

K

4/30/09 5/13."09

L K

Dividend Dividend DivMend Dividend D,vidend

Dividend None

T T T T T
T Buy (addl) Sold I part) 5!13109 9!29/09 J

Sold (pa~) So{d (part)

11120/09 9/29/09

J J

A A

131. Morgan Stanley International Equity Brokerage #l 132. Schwab Money Market - Brokerage/1 133. Sound Shoce - Brokerage ,~ 1 134. Wcstcore MIDCO Gro\,~th - Brokerage #1 135. Schroder Short Term Muni - Brokerage #1 136. Hotchkis & Wiley L:trt,,e Cap Value Brokerage # I A A

Dividend Dividend None

K K K

T T T Sold (part) Sold I I!I 8/119 12./17/09 J K

A B

Dividend Dividend J

FINANCIAL DISCLOSURE REPORT Page 12 of 20

~ ..... ~e ..... a~porti.~ Pralter, Gene g. I

03,30/2010

NONE (No reportable income, assets, or transactions.)

.... ~.
Description of Assets (~cluding tnlst ~ts) ~iace "(x)"at~er each asset exempl from prior disclosure

~.
Iacom during reporling peri~t (~) (2) Amount Type c.~., Code ] div ~ rcnL (A-t.I) or int)

~. ..................... O. ...............
Gross value at end of rep~=ling peri~ ~~ ~2) Vaiuc Value Code 2 Meth~ (.I-P) (ode 3 Transactions during repomng (~) ~y~ (e,g., buy. sell redemption) (2) (3~ (4) Date Value ; Gain n~d~ [ C~e 2 C~e 1 ~ O-P) (A-H) (5) Identity of buyer/sdler (itpovare

137. Horchkis & Wiley Mid Cap Value Brokerage # I 138. Royce Valu~ Plus - Brokerage ::1 139~ Third Avenue International Value Brokerage #1 140. Thomburg lnll Value- Brokerage #I 141. William Blair lntq Small Growth Brokerage # 1 142. Wcstcore lntematkmal Frontier- Brokerage #I 143. William Blair Large Growth - Brokerage #l 144. Witliara Blair Large Growth - Brokerage # I 145. William Blair Mid Growth - Brokerage #1 "i~16. William Blair Small Growth - Brokerage d ! 147. Westcore Mid Cap Value - Brokerage #1 148. DFA [nll Small Value - Brokerage #t 149. DFA Short Term Muni - Brokerage ~/t 150. DFA Short Term Moni - Brokerage #1 151. DFA Short Term Mu~)i - Brokerage #1 152. Metropolitan West Total Return - Brokreage 153. Metropolitan West Total Retain - Brokerage #1

Dividend None

K J K J J J K

A A A A A

Dividend Divktend Dividend Dividend Dividend None None None

T T T T T Buy (addl) Sold (part) Buy (addl) Sold (part) 5.:13/09 ! I 1/18/09 5/13/09 1 I/t8/09 5/13/09 5/I 3/09 5/13/09 5113109 4/30/09 5113t09 10/21/I)9 7/30709 9/29:09 L J K K B J J J J K J J A B

K 3 K J M

T T T T T

Buy (addl) Buy Buy Buy Buy Buy (~ddl) Sold (part)

A A D

Dividend Dividend Dividend Nol)e None

Dividend None

Buy Buy (add])

FINANCIAL DISCLOSURE REPORT Page 13 of 20

Name of Person Reportiog

eratler,

Date of Repot!

Gene E.

o3;3o~2olo

NONE (No reportable income, assets, or transactions.) A. De~nption of Assels 0nduding m~sl :~sets) Place "(X)" after each asset exempt from p~or disclosure B Income duriug reporting ~ri~ ~1~ t2) Amotua "ly~ (e.g. Code I div.. ~.al. [A-H~ or int.J " ~~ ............. ~. Gross value at end ~ of re~rlmgl~ri~ ~(~ ~2) O~ Value Valttc Yy~ (e.g., C~e 2 Meth~ boy. sell, J-P) Code 3 redemptionl D. ............... Trm~ac6o~s during repoamg peri~ (~) ~ ~3~ (4) Date Value Gain nmxld~ ~ U~Me 2 Crate I
(J-P) (A-Hi

(5~ Idcnti~ of
buyerlsefler (if private

154. Baron Growth - Broke=ge a2 155. DFA US Micro Cap - Brokerage #2

156. DFA Tax Mgd Marketwidc Value Brokerage #2 157. DFA [JS Small Value - Brokerage #2

A A
A A

Dividend Dividend
Dividcad Dividend

J J
K K

T T
T T

Donated (paa)

158. DFA Tax Mgd lntl Value - Brokerage a2 159. Dodge & Cox Stock - Brokerage it2

A A B

Dividend Dividend Dividend Noue

K K L T.

T T Buy 4t30/09 (addl) K K

i60. Federated Short Term Muni - Brokerage r2 i61. Federated Short Term Muoi - Brokerage #2 162. First Eagle Overseas - Brokcragc #2 163. Hotchkis & Wiley Large Cap Value Brokerage #2 164. Hotchkis & Wiley Mid Cap Value Brokerage//2 165. Janus Fund - Brokerage//2 166. Janus Fund - Brokerage #2 167. Janus Overseas - Brokerage ,~2 168. Janl.ts Overseas - Brokerage ~2 169. Arlio International Equity - Brokerage #2 170. Morgan Stanley lntcntational EquityBrokerage/t2 B A A A A A A

Buy K J K K T T T T

5/13/09 (addl)

Dividend Diwdend Divider~d Dividend None Dividend None Dwidend Dividend

Sold part) Sold part) Donated (pact}

9/29/09 9/29/09

J J

A A

Sold (part) Donated (part}

9/29~09

K K

T T

Donated (part)

FINANCIAL DISCLOSURE REPORT Page 14 of 20

N .... fP ...... Reporliog Pralter, Geue E.

DateofReporl 03/30,2010

NONE (No reportable income, assets, or transactio~is.) A, ~scliplion of ASSets (including ml,~l asseL~) Place "(X)" after each as~t exempt froJn prior disclosure B Inco~nc during
~epor~ing period

C. Gross value ~l end

of re~rling p~riud

D. Transactions during ~ing ~riod

Amount Code I eA-H~

.Ty~ (e.g.. div. rent. or intJ

Value Ct~Ie Z O-P)

V~h~ Mctht~ Code 3

{Q-W)

Type (e.g.,
buy, sell, r~emplion)

Dat~.~ Value mnxid~L")~ ~ C~ 2

(J-P)

GMn C~c 1
(A-H)

identity of buyerlseller

(if private transacnon)

171. Morgan Slanley Emerging Markets Brokerage #2 172. ~oyce Oppo~nity - Brokerag~ #2 ] 73. Royc~ Oppo~nity - Brokcxa~c ~2 174. Schwab Money Market - Brokerage ~2 175. Schwab Muni Value Advantage - Brokerage #2 176. Schroder Short Term Muni - Brokerage :,~2 177. Third Avenue International Value Brokerage #2 178. Turner Core Growth - Brokerage #2 179. Turner Small Cap Equity - Brokerage #2 180. Westcore Mid Cap Value - Brokerage #2 181. Weslcore MIDCO Growth - Brokerage #2 lg2. Westcore International Frontier- Brokerage #2 183. Metropolitan West Tota! Retarn - Flrokerage #2 184. Metropolitan West Total Return - Brokerage #2 185. Metropolitan West Total Return - Brokerage ~2 186. DFA Short Term Mtmi - Brokerage #2 187. DFA Short Term Muni - Brokerage #2

A A

Dividend Dividend None

K K

T T Sold Donated 9129109 J B

A A B A A

Divideud Dividend Dividend Dividend Dividend None

T Sold Sold 4/30109 IZ/17/09 K L A A

K K J K K J K

T T T T T T T Buy Buy (addl} Buy (addl} 7130/09 9/15/09 9/29/09 4/30109 9/29/09 J J l K J

Dividend None

A A

Dividend Dividend No,~e None

Diwdend None

Buy Buy (addl)

FINANCIAL DISCLOSURE REPORT Page 15 of 20

~r~tt, r, Get,e E. ~

03/30i2010

NONE (No reportable income, assets, or transaction.s.) A. De~riplion of Assets

(il~luding mtst ~sets)

B Income dudn8
~epofflng ~ri~

C. ............. (irOns value at end

~freptnti~tg i~riod

~. ............... Transactio~ during ~aing peri~ (1) Ty~ ~e.g., buy, ~11, (2) :~ ~3) (4~ Date Value Gain nmvd~~ ~ C~e 2 C~ t ] Sold (part) Buy (addl) 7130/09 9/29/09 4/30/09 M K L C B (5) Identity of buyer/seller t~nsactiou}

Place "X)" after each asse~ e~cmpt from pour dtsciosurc

(~) Amount Ct~e 1 (A-H

~2) Ty~ (e.g., div, rent. or int)

o) Value Code 2 IJ-P

~2) Value Mctlu~ (Q-W)

188. DFA One Year Fixed - Retirement a8 189. DFA One Year Fixed - Retirement V8 190, Federated US Govt I - 3 - Retirement ~8 191. Adams Harness Small Growth - Retirement ~8 192_ Baron Growth- Refirem~m ~ ~193. B~and~ine Fund - Retiremem #8 194. DFA Emerging Markets Core Equity Retirement #8 195. DFA Emerging Markets Core Equity Retirenteot #8 196. DFA International Value - Retircmem ~8 197. DFA US l,arge Value - Retirement ,~8 198. DFA US Small Cap Value - Retirement #,~ t99. DFA US Micro Cap - Retirement t/;~

D~vidend None

Dividend None

M K K L K

T T T T T

Sold

Dividend None

Dividend No!~e

Sold (part) Sold Ipart}

5/13/09 9/29/I)9 9/29/09

J J J

A B A

B B A A A A A

Dividend Dividend Dividend Dividend Dividend Divitle~d Dividend Nonc

L L K K K K K

T T T T T T "f

Sold {part)

200. Dodge & Cox Stock - Retirement #8 201. DFA Intl Small Cap Value - Retirement ~8 202. First Eaglc Overseas - Rctircmcm #8 203. First Eagle Overseas - Retirement #8 204. Hotchkis & Wiley Large Ciq~ Value Retirement #8

Sold (part) Sold (part)

5/13/09 9129:09

J J

A A

Dividend

FINANCIAL DISCLOSURE REPORT Page 16 of 20

V II. INVESTMENTS and TRUSTS .. ~ ..........

DaleofReport

era.er, Gene E.
INamefPersn Reprting I

)3/30;2010

I,,. t ....... lions (Includes those ,ffsp ....... d depenant children: see pp. 34-60 aff!ling instructions.)

NONE (No reportable income, as.~ets, or tracesactions.) Descrip*ion otAs~ (including r~st iL~sets) Place "(X)" alier eacl~ asset exemp~ from prior disclosure Income duriug repoaing peri~ ~1) (2) Amount T~e (c,g., (?~e t div. rent. {A-H) or int.) Gr~s value at end of repu~ling peri~ tl) (2~ Value Value Code 2 Method (J-P) (~ 3 (Q-W) L L K T T T Sold (pan) Sold Sold L Y Sold fpa~} Sold K K L K K K L T T T T Sold (part) Sold (part) K K K T T T Sold (part) 5/13/09 J A 5/t3/09 9t29/09 J J A A T T T Sold 9/29/{19 {paa) Sold (patti J A J A Sold (part) 9/29/09 J A 5/13/09 5/I 3/09 9129/09 5/I 3/09 9129/09 J J J J J A A A Transactions during re,fling ~ri~ (1~ Type (e.g., buy, sell, redemption) (2) ~3~ Date ~ Value Gain n~/dtF~ ~ C~e 2 C~e I ~

IdcntiW of buyeti~ller ~ansaction)

205. Ho~chkis & Wiley Mid Cap Value Retirement #8 206. Jan~ Fund - Retirement #8 207. Janus Mid Cap Value - Retirement ~8 208. Janus Mid Cap Value - Retirement ~8 209. Janus Oversems - Retirement #R 210. Janus Overseas - Retirement ~8 21 L A~io Ialernational Equity - Retirement a8 212. Morgau Stanley Emerging Markets Retiremettl #8 Morgan Stanley lutcmational Equity 213. Retirement #8 214. Royce Opportunity - Retirement #8 "~ 15. Royce Value Plus - Retirement #g 2t6. Schwab Money Market - Relircmenl #,q 217. Third Avenue International Value Retirement #8 218. Third Avenue htternatioual Value Retirement #8 219. Turner Core Growth - Retirement #8 ~_0. Turner Small Cap Equity - Retirement #8 221. Westcore International Frontier- Retiremcm #8

A A A

Dividend Dividend Dividend None

Divklend None

C A B A

Dividen~ Dividend Dividend Dividend None

9/29/09

A A

Dividend Dividend None

D~vidcnd None

Dividend

FINANCIAL DISCLOSURE REPORT Page 17 of 20 VII. INVESTMENTS and TRUSTS - ~, ..........

" .......... A. Description of Ak~cls {is~lu~ng m~st ~s~) Place "(X)" aRer each ussel ~mpt flora prior d~sclosur

.~ .... f~o. ~opor,i.~ eratter, Gene E.

t,,,., ........ .,~o,., Hncludes thox~ of sp ....... d dependent childr,,;

03/30,2010

NONE (No reporlahle ir~cotne, assets, or tr~msactions.) B. Income during reporlmg ~ri~ t2) tl) Amount Type (c.g,. Code I div.. rcnk
{A-II) or hll.)

C. Gross va~uc a~ end ~ of repoz~ing : ~t~ (~) Value Value Ct~c 2 Method
O-P] (~e 3

D. Fransactions during rcpo~nfl pcri~ 11 Type ~e.g., buy, sell,

rede, np6o~a)

(2) ~3~ ~4} Da~ Value Gaia mn~d~~ C~e 2 Ct~e 1

O-P) (A-H)

(5) Identity of b~ycr/scller

(ifprwa~e

Q-w)

~ansacfion} Sold (par0 9/29/09 ~ A

222. Westcore Intema,ional Frontier - Reliremem ~8 ~ 223. Westcore Mid Cap Value - Retiremcnl #8 224. Wcstcorc MI~O Growth - Rc~ircmcnl ~8 ~ 225~ William Blair International Growth Retirement #8 ~26 . William Blair Large Cap Growth ~ Retirement #8 227. William Blair lntl Small Growth Retircmeut #8 228. BlackRock Low Duration - Retirement ~8 229. BlackRock Low Durg~ion - Retirement ~8 230. BlackR~k Low Duration- Rctircmcnl ~8

None A Dividend Nnnc A A A C Dividend Dividend Dividend Dividend None Nonc C ~w~dend None None None None None None None K T L T M T L L L L K M T T T T T T

Sold (paR)

9/29/09

Buy Buy (addl) Buy (addl) Buy Buy (addl) Buy addl ) Buy (addl! Buy (add!) Buy (addq) Buy (addl) Buy (addl)

4/30/09 5/13/09 9/29/09 7/30/09 9,29/09 1./21/09 4/17/09 7/I3/09 10/16/09 t/21/09 4/17/09

L L K M K

~ ~ 231.

Melropolfl~ Wes~ To~a~ Re~um Retirement ~8

232. Me~opolitan West Total RelumRetirement #~ ~233. Equitable Variable Life - Alliance Common St~k 234. Equitable Variable Life - Alliance Common St~k 235. Equitable Variable Life- Alliance Commo~ St~k 236. Eqoitablc ~ ariable Lilh - Alliance Common Stock 237. Equitable Variable Life- Alliance International 23~. Equitable Variable Li~e - Atliancc hdema*iooal

I. income Gain Codes:

A -SI .g~t or tcs~

B :.S! ,OIB - S2.500

U =$2.501 - $5.000

D =$5.001 - SI 5,fhqO

E ~$15,00~ - $50,0Ofl

FINANCIAL DISCLOSURE REPORT Page 18 of 20

Name of Person Reporting

Date of Report
03/30i20[0

J Pratter, Gene E.

VII. IN~STMENTS and TRUSTS -- ~ ........... ~,~, t ........ tions (Im-tudes those ,~p ........ d dependem chffdren: seepp, 34-~0 ,~f!ling ~structions.)
NONE (No reportable income, assets, or transactions.) ~scription of A~Is {including t~st ;~ets~ Place "{X)" after each asset xemp~ from prior disclosure (~ro~s value at cad of re~rtin~ period ~1) ~2) Value Value Code 2 Meth~ (J-P) Code 3 (Q-W) Transactions {luring reposing pcfi~i 1) Ty~ (e.g., buy, sell, redemption) (2) [ ~3~ ~4~ Gain Date ~ Value nm~&~ [ C~xle 2 C~e t , (J-Pj (A-H) ~ 7/13/09 10i16109 J (5) Identity of buyer/seller (if private t~nsaction)

[acomc du~IIg

reposing period ~t) (2) Am,o~mt : Type (e.g, Code I div. rent. ~A-8] or imA

239. ~uit~le Variable Life - Alliance International 240. Equitable Variable Life - Alliance International 24t. Carlyle Real Estate LLP 242. Wheeler Terrace LTD 243. PNC Bank Accounts 244, Nantucket Bank Account 245, WescottNova LP A A A A

None None Dividend Dividend Dividend Dividend None J J J J K T T T T T

Buy (addl) Buy (addl)

Distributed 9/30/09

FINANCIAL DISCLOSURE REPORT Page 19 of 20

DateofReport

Pratter, ~-;e~e E. J Name of Person Reporting

~3/30,2010

[ VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. rt, oai~,,,m,,oya~,o,t.~

FINANCIAL DISCLOSURE REPORT

Page 20 of 20
I Pratter, Gene E.

03/30/20!0

IX. CERTIFICATION.
1 certify that all information given above (including infnrmation pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my kuowledge and belief, and that any information not reported ~vas withheld because it met applicable statutory provisions permitting non-disclosure. I 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 ofS U.S.C. app. 50! et. seq., 5 U.S.C. 7353, and Judicial Conference regulation$~

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

FILING INSTRUCTIONS Mail signed originx[ 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

"