Source: https://www.scribd.com/document/74642836/Victor-Marrero-Financial-Disclosure-Report-for-2010
Timestamp: 2016-07-26 04:41:02
Document Index: 432470495

Matched Legal Cases: ['art)\n10', 'art)\n107', 'art)\n10', 'art)\n08', 'art) 06', 'art)\n06']

Victor Marrero Financial Disclosure Report for 2010
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2. Court or Organization U.S. District Court, S.D.N.Y.
3. Date of Report 08/23/2011
5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compfianee with applicable laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followecL Complete all parts,
I. POSITIONS. aepo,~ing indiviauat onty ; see pp. 9-13 of filing instructions.)
II. AGREEMENTS. (Reponing indiviau,t only; s~ ,p. 14-16 of filing instructions.)
Name of Person Reporting Marrero, Victor
Date of Report 08/23/2011
Ill. NON-INVESTMENT INCOME. (Reporting individual and spouse; seepp. 17-24 offillng instructions.)
B, Spouse’s Non-Investment Income - if you were married during anyportion of the reporting year, complete this section.
IV. REIMBURSEMENTS - transportation, lodglng, food, entertainmenL
DISCLOSURE REPORT PageFINANCIAL3 of 22
VI. LIABILITIES. ancludes those o/spouse und dependent children; see pp. 32-33 of filing instructions.)
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
CITIBANK KEOGH ACCOUNT: (see lines 2 and 3) CD’s A A Interest Dividend L T Sold 10/27/10 K C
3. Annuity-Transamerica
PUTNAM RETIREMENT IRA: (see line 6) Balanced Retirement C1-A B Dividend Sold 10/25/10 K C
SUN AMERICA IRA: (see lines 9 and 10) SunAmerica Balanced SunAmerica Goldman Sachs A A Dividend Dividend Sold Sold 10/18/10 K 10/18/10 K C C
12. ~ PUTNAM IRA: (see line 13) 13. Balanced Retirement C1-A 14. 15. 16. 17. DREYFUS (see line 16) N¥ Tax Exempt Fund D Dividend N T A Dividend J T
~ ~$50i00i- $100,000 2 valU~:~odel J --$15,000 or tess (See Columns C land D3)N =$250.001 - $500,000 .... P3 ~$25,000,001 - $50,000,000 32 value Method Codes Q =Appraisal (See Column C2) U =Book Value
G =$100~00i 2 $ii000~000 K ~$151001 - $50~000 O =$500.001 - $ 1.000,000 R =Cost (Real Estate Only) V =Other
H I =$i;000;001 ~ $5.000,000 L =$50;001 - $100,000 PI =$1,000,001 - $5;000,000 P4 =More than $50,000,000 S =Asscssracnt W =Estimatcd
M =$100~001 ~ $250~000 P2 =$5,000;00] -$25.000,000 T =Cash Market
SCHWAB (see line 19) ConEd - common stock B Dividend Sold 07/26/10 K D
NY STATE TUITION SAVINGS PLAN
JPMORGAN CHASE MONEY MARKET
25. ~ NYC DEFERRED COMP. IRA 26. 27. 28. 29. 30. 31. 32. 33. :34. FIDELITY ROLLOVER IRA: (see lines 35 through 170) CHASE TRADITIONAL IRA (see lines 28-32) JPMorgan High Yield Bd Fund JPMorgan Core Plus Bond Class A JPMorgan Emerg. Mkts Debt C1 A MFS Emerg. Mkts Debt C1 A Principal Global Diversified Inc. A
K J K K K
10/29/10 10/29/10 10/29/10 10/29/10 10/29/10
I. Income Gain Codes: (See Columns B 1 and D4) 2, Value Codes (See Columns (2’1 and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $100.000 J =$15.000 or less N =$250,001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001 - $1.000.000 K =$I 5.001 - $50.000 O =$500.001 - $1.000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1.000,001 - $5~000.000 L =$50,001 - $106.000 PI =$1,000,001 - $5,000,000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5.000,000 M =$100.00| - $250.000 P2 =$5,000,001 -$25,000,000 T =Cash Markel
E =$! 5.001 - $50.000
VII. INVESTMENTS and TRU S TS -income, value, transactions (lndudes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
Fidelity Strategic Advs. Value Fund (name change on line 40)
01/21/10 03/30/10 03/31/I 0 05/12110 06/25/10 06/25/10
K J J J J J J K
Strategic Advs. Value Fund (name change from line 35)
T Buy Buy
08/04/10 10/06/10 10/07/10 I 0/14/10 12/15/10
Fidelity Pas Small Cap Fund of Fds (name change on line 47) Strategic Advs Pas Small Mid-Cap Fd (name change from In 46) A Dividend
50. 51. FidelityPas lnt’l Fund of Funds (name change on line 54) A
Buy Dividend Buy
12/16/10 03/30/10
=$~5,ooo o~ ~ess
=$250,001- $500,000 P3 =$25,000,001 - $50:000,000 =Appraisal =Book Value
~$50,001 - $100;000
K --$~5;oo~ - $~oi000
O--~00~001- $i 1000iD06 R =Cost (Real Estate Only) V =Other
L ~$~0100i : $1001000 ~ =$i00;00i = ~0100~
PI L$1i000100i - $5~000,000 P4 =M0r~ than *50,000,000 S =Assessment W =Estimated P2 =$5i000~00i ~ $2510001000 T =Cash Mfirk~t i
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. Strategic Advs. Growth Fund A Dividend L T Fidelity Pas US Oppor Fund of Funds (name change on In 58) Strategic Advs Pas US Opp Fd of Fds (name change from In 57) Strategic Advs Core Fund A A A Dividend Dividend Dividend K M T T Strategic Advs. Pas Int’l Fd of Fds (name change from In 51) B Dividend M T
05/12/10 08/04/10 08/20/10
J J J J J J J K J J K J J J J J K A
10/06/10 10/14/10 06/25/10 08/20/10
Buy Buy Buy Buy Buy Sold Buy Buy Buy Buy
01/21/10 01/22/10 06/22/10 08/04/10 I 0/06/10 11/15/10 12/15/10 06/25/10 08/04/10 10/06/10
1. lnc0me ~ain C~d¢~: : : A=$ i;000 or i~s (See Co!umns B I and D4)F =$50;001: $100;000 2. ValUe Codes J =$15 000 or less N =$250;001 - $500,000 (See Columns C I and D3) P3 =$25,000;00] - $50,000,000 3. Value Method Codes Q =Appraisal (Sce Column C2) U =Book Value
~ =$15,o0~ ~o~0oo :
0 =$500~001 ~ $1 ;000,000 R =Cost (Real Estate Only) V =Other P I ~$1~000~001 ~ $5i000;000:P2 =$5i000;001 ~ $25i000i000 S =Asscssmc~i W =Eslirn~ted
VII. INVESTMENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79.
80. Fidelity Select Gold B Dividend K T
Buy Buy Buy Buy Strategic Advs. Emerg. Mkts. A Dividend K T Buy Buy Buy Fidelity Dividend Growth A Dividend J T Buy Sold
12/09/10 11/15/10 12/10/10 12/15/10 10/14/10 10/15/10 11/15/10 01/21/10 06/25/10 08/04/10 10/06/10
J J J J K J J J J
84. Fidelity Investment Grade B Dividend K T
! Income Gain Codes: (See Colunms BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Cedes tSce Column C22
A =$1.000 or tess F =$50.001 - $100.000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25,000.001 - $50.000,000 Q =Appraisal U =Book Value
B =$1,00t -$2,500 G =$t 00,001 - $I ,000,000 K =$15.001 - $50,000 O =$500,001 - $1,000,000 R =Cosl (Real Estate Only) V =Other
C =$2.501 * $5,000 H 1 =$1,000,00t - $5,000,000 L =$,50.001 - $100.000 PI =$1,000.00t - $5.000.000 P4-More than $50.000.000 S =Assessment W =Estimated
D =$5,001 -$15.000 H2 =More than $5,000,000 M =$ 100,001 - $250.000 P2 =$5.000,001 - $25,000,000 T =Cash Markct
86. 87. 88. 89. ] 90. 91. 92. I 93. 94. 95. 96. ]97. 98. 99. Fidelity Pas Income Opp Fd of Fds (name change on line 99) Strategic Advs Pas Inc Core Opp Fd (name change from In 98) C A A Dividend Dividend Dividend K J T T Strategic Advs Pas Core Inc. Fd (name change from line 90) B Dividend M T Fidelity Total Bond FidelityPas Core Income Fd of Fds (name change on line 93) B C Dividend Dividend L T Fidelity Short Term Bond A Dividend K T
Sold (part) Buy Buy Buy Buy Buy Sold
10/29/10 06/25/10 10/14/10 12/09/10 01/21/10 03/30/10 06/25/10 08/20/10
K J J J J J J L K K J J J K J J J
Buy Buy Buy Buy Sold (part)
10/06/10 11/15/10 11/16/10 12/15/10 01/21/10 08/20/10
100. FIMM MNIKT Port Inst. C1 101. 102. Fidelity Money Market
11/15/10 12/28/10 01/21/10
2. Val~ ~ (SeeC0!umnsCl and D3) 3. Value Method Codes (See ColUmn C2)
N =$250;001 ~ $500;000 P3 ~$25 000 001- $50 000;000 Q --Appraisal U =Book Value
: K =$151001, $50;000 O =$500;001 ~ $1i000;000 R =Cost (Real Estate Only) V =Other
L =$50i001 ~ $i00,000 M =$100,00i - $250,000 PI --$t;000,001 .-$5,000,000 P2 =$5,000;001 - $25;000~000 P4 --M0~e tha~ $50;000;000 T =Cash Market S =Assessm6dt W =Estimated
VII. INVESTMEN TS and TRU S TS - income, vutue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
104. Sold (part)
107. Buy
10/t4/10
109. Allianz NFJ Divident Value Sold (part) Sold
I1/15/10
A B B A A A A A A A A
111. Dreyfus Appreciation Fund
01/2 l/10
112. Goldman Sachs Large Cap Value
114. Sold (part) Sold 06/25/10 J
ll5.
lO/06/lO
116. Sold (part) Sold 10/14/10 J
118. Hartford Growth Opp Class A
119. Hartford Capital Appreciation Class A
1. Income GainCodes: (See Columns BI and D4"~ 2. Value Codes (See Colurmas CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $I00.000 J =$15.000 ar less N =$250.001 - $500.000 P3 =$25,000,001 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2.500 G =$100,001 - $I.000.000 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R =Cost (Real Estale Only) V =Other
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 =More than $50.000.000 S =Asscssmcnt w =Esumatcd
=$5,001 - $15,000 H2 =More than $5,000,000 M =$ 100,001 - $250.000 P2 =$5.000.001 - $25,000,000 =Cash Markel
(part) Sold (part) Sold
l 1/15/lO
125. Hotchkis & Wiley Large Cap Value Class A 126. 127. 128. 129. 130. Perkins Mid Cap Value Fund CI J 131. 132. JPMorgan US Lg Cap Core Plus 133. Lazard Emerging Mkts Open C1
134. Legg Mason CBA Lg Cap Growth A 135. 136. A Dividend
01/21/10 05/12/10 10/06/10 10/14/10 11/15/10 01/21/10 10/06/10
(part) (part)
Sold Sold (part) Sold (part) Sold
01/21/10 K
10/14/10 K 06/25/10 08/04/10 10/06/10
1. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes {See Column C2)
A =$1.000 or less F =550.001 - $100.000 J =515.000 or less N =$250.001 - $500.000 P3 =$25.000.001 - $50,000.000 Q =Appraisal U =Book Value
B =$1.001 - $2.500 G =$] 00.001 - 51.000.000 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - 55,000,000 L =$ 50.001 - $ 100.000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =Mere than $5,000,000 M =5100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
VII. INVES TMENTS and TRU S TS --i.eome, vutue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
[~ NO~E (No reportable income, assets, or transactions.)
137. MFS Int’l Value Fund Cl A 138. 139. MFS Research Int’l Class A 140. 141. Mainstay Lg Cap Growth Fund CI A 142.
10/06/10 10/14/10 10/06/10 10/14/10 06/25/10 08/04/10 lO/06/lO 11/15/lO ! 12/09/10 06/25/10 08/04/10 lO/06/lO 10/06/10 10/14/10 03/30/10 J
143. 144. 145. 146. Marsico Focus 147. 148. 149. Master’s Select Int’l Invest 150. 151. Merger Fund 152. Morgan Stanley Mid Cap Gr Port C1 P 153. A Dividend
Sold Sold (part) Sold (part) Sold Sold (part) Sold Sold
06/25/10 08/04/10
1. Income Gain Codes: (See Columm B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
N =$250 001 -$500,000: :
P3 =$25,000,001 - $50,000;000 Q =Appraisal
O =$500;001 ;$1;000 000
R =Cost (Reai Estate Only)
P1 =$ii000,00i ~ S5,000,000 : : P2 =S5;000,001 +$25100011?06
P4 =M0r~ iha~ ~5o;o00,000
S =Assessmcnt T --Cash Market i
[~ NOblE (No reportable income, assets, or transactions.)
154. 155. 156. 157. Pimco Total Return Adm Shs
Sold (part) Sold (part) Sold C Dividend L T Sold (part)
10/06/10 11/15/10 12/15/10 06/25/10
A A B Dividend Dividend Dividend K J K T T T Sold (part) Sold Sold (part) Sold (part) Sold Buy Sold
159. Pimco Short Term Adm Shs 160. Pimco Comm Real Ret Strat Adm 161. T Rowe Price High Yield Adv C1 162. Royce Penn Mut Fund 163. 164. Selected American Shs CI S 165. 166. 167. 168. Templeton Global Bond C1 A 169. Westport Select Cap C1 R 170. Fidelity Cash Reserves
06/25/10 i J
10114/10 12/15/10 01/21/10 06/25/10 08/04/10 10/06/10
Sold Dividend K Sold (part) Interest
10/06/t 0 J
1. Income Gain Codes: (See Columns B 1 and D4-, 2. Value Codes {See Columns C 1 and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250.001 - $500.000 P3 =$25.000,001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$I 00,001 - $1,000,000 K =$15.001 - $50.000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5,000 H l =$1,000,001 - $5~000,000 L =$50,001 - $100,000 P1 =$1,000,001 - $5,000,000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5,001 - $I 5,000 H2 =More than $5.000.000 M =$100.001 - $250,000 P2 =$5.000.001 - $25,000,000 T =Cash Market
VII. INVES TMENTS and TRU STS -- i.eome, volue, trunsactio.s (lndudes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
171, 172. (S) FIDELITY ROLLOVER IRA: (see lines 173 through 220) 173. Fidelity Strategic Advs. Value Fund (name change on In 175)
Buy Buy A Dividend J T Buy Sold
02/10/10 06/16/10 06/25/10 09/21/10 10/27/10 08/20/10
175. Strategic Advs. Value Fund (name change from line 173) 176. 177. 178. Fidelity Pas Small-Mid Cap Fd of Fds (name change on In 179) 179. Strategic Advs Pas Small-Mid Cap Fd (name change froln ln178) 180. Fidelity Pas Int’l Fund of Funds (name change on line 181) 181. Strategic Advs Pas Int’l Fd of Fds (name change from In 180) 182. Fidelity Pas US Opp Fd of Fds (name change on line 183) 183. Strategic Advs Pas US Opp Fd (name change from In 182) 184. Fidelity Strategic Advs. Core Fund 185. 186. Strategic Advs. Growth Fund 187. Strategic Advs. Emerg. Mkts
08/20/10 08/20/10
Dividend Dividend Dividend Dividend J J
T Sold (part) T T Buy Buy
08/20/10 03/30/10 08/20/10 03/30/10 06/16/10 06/16/10 10/27/10
2. Val~ COdes : :: (See Columns C ! andD3) 3: Value Method Codes (See C01unm C2)
.1 =$15,000 0r i~S~ N =$250,001 ~ $500,000 P3 =$25,000,001 ~ $50;000;000 Q =AppraiSal U =Book Value
~ Z~i06i i $i00;000 P]--$l~000~001 ~ $5;000,000 ~ ~MO~ than $50,000i000 S _-AsSeSsment R ~C9~t (Rea! Estat~ On!y)i V =Other W--Estimated O =$500;001 ~ $1,000~000 :
M =$1001001 ~ $250i000 P2 =$5,0001001 - $25;000,000 T =Cash Market
188. Fidelity Real Estate Inc. 189. Fidelity Select Gold 190. Fidelity Capital & Income 191. Fidelity Invest Grade 192. Fidelity Total Bond 193. Fidelity Pas Core Inc Fd of Fds (name change on line 194) 194. Strategic Advs Pas Core Inc Fd (name change from In 193) 195. Fidelity Pas Income Opp Fd of Fds (name change on In 196) 196. Strategic Advs Pas Income Opp Fd (name change from In 195) 197. Fidelity Money Market 198. 199. AQR Diversified Arb. Class 1 200. American Beacon Lg Cap Invest 201. Credit Suisse Commd Rtrn Strtgy Sh 202. Goldman Sachs Lg Cap Val Instl 203. 204. Janus Fund CI J Shs
T T Sold 10/27/10 J A
T T 08/20/10
T T T T Sold (part) Sold (part)
08/20/10 08/20/10 08/20/10 10/27/10 11/02/10 09/21/10
06/16/10 J
Sold (part) Sold Sold 02/10/10 03/30/10 J J A A
1. Income Gain Codes: ISee Columns BI and IM) 2: Value C~des (See Columns C1 and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J -$15.000 or tess N =$250,001 - $500,000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
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 Estate Only) V =Other
C =$2,501 - $5,000 HI =$t,000,00t - $5,000.000 L =$50.001 - $100,000 PI =$1,000,001 - $5.000.000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$I00.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Market
205. Perkins Mid Cap Val Fd Inv Shs 206. LazardEmerging Mkts Open C1 207. Mainstay Lg Cap Gr Fd CI A 208. Merger Fund 209. 210. Metropolitan West Low Duration M 211. Pimco Total Return Adm Shs 212. Pimco Short Term Adm Shs 213. 214. T Rowe Price High Yld Adv C1 215. T Rowe Price Short Term Bd Fund 216. T Rowe Price Mid Cap. Value 217. Templeton Global Bd CI A 218. FIMM MMKT Port Inst CL 219. 220. Fidelity Cash Reserves 221. A
Sold A Dividend Sold Sold A Dividend Buy Sold A A A Dividend Dividend Dividend J J J
03/30/10 10/27/10 06/16/10 03/30/10 09/21/10
02/10/10 09/21/10
T T Buy Buy 10/27/10 03/30/t 0 J J
T T Buy Buy T 10/27/10 11/02/10 J J
1. Income Gain Codes: (See Columns BI and D41 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2/
A =$1.000 or less F =$50,001 - $100.000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25.000,001 - $50.000.000 Q =Appraisal U =Book Value
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 Estate Only) V =Othcr
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~than $50,000,000 S -Assessment W=Estimated
D=$5,001 -$15,000 H2 =More than $5.000.000 M=$100.001 -$250.000 P2=$5,000,001 -$25,000,000 T =Cash Market
~] NO~IE (No reportable income, assets, or transactions.)
222. ~ FIDELITY SEP IRA: (see lines 223 through 286) 223. Fidelity Strategic Advs Value Fund (name change on line 226) 224. 225. 226. Strategic Advs Value Fund (name change from line 223) 227. 228. 229. Fidelity Pas Small-Mid Cap Fd (name change on In 230) 230. Strategic Advs Pas Small-Mid Cap Fd (name change from ln229) 231. Fidelity Pas 1nt’l Fd of Fds (name change on line 233) 232. 233. Strategic Advs Pas Int’l Fd of Fds (name change from In 231) 234. 235. Fidelity Pas US Oppor Fd of Fds (name change on line 236) 236. Strategic Advs Pas US Opp Fd (name change from In 235)
237. Fidelity Strategic Advs. Core Fund A A A Dividend Dividend Dividend J J T T
Buy Buy Buy A Dividend J T Buy Sold (part) A A Dividend Dividend J T
02/10/10 03/30/10 03/31/10
06/25/10 J
09/21/10 J 10/27/10 08/20/10 08/20/10 J J J J J
102/lO/lO
Buy A Dividend J T Sold (part) Sold 06/16/10 08/20/10 10/27/10 03/30/10 08/20/10 Buy Buy 03/30/10 06/16/10
i. lnc0me Gain c0des: (See Columns B! and D4) 2. Value codes (See c61umns Cl and D3) 3. Value Method Codes (See Column C2)
A =$1;000 or less F =$501001 ~ $100,000 J =$15;000 or less
K--$i~;ool-$50;000
O--$500,001 ~ $1,000~000 PI =$1 000~001 ; $5i000,000
P4 =Mor~ than $50i000;000
N =$~5o,oo~ - $500,000 P3 =$2s,ooo,ool - $50,000,000
P2--$5;000;001- $25 000;000 Y =Cash Market
R :Cost (Real Estate Only)S--Assessment v =Other W =Estimated
VII. INVE S TMEN TS and TRU S TS - income, v, lue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructlon~)
239. 240. 241. Strategic Advs. Growth Fund
242. Strategic Advs. Emerg. Mkts
Buy Buy A A A Dividend Dividend Dividend J J J T T T Buy Buy Sold (part) Sold (part) A A Dividend Dividend J T Sold
06/17/10 09/21/10 06/16/I 0
10/27/10 J 02/10/10 10/27/10 J J
243. Fidelity Real Estate Income 244. 245. Fidelity Select Gold 246. Fidelity Capital & Income 247. 248. 249. Fidelity Invest Grade 250. Fidelity Total Bond 251. Fidelity Pas Core Inc Fd of Fds (name change on line 252) 252. Strategic Advs Pas Core Inc. Fd (name change from In 251) 253. Fidelity Pas lnc Oppor Fd (name change on In 254) 254. Strategic Advs Pas Inc Opp Fd (name change from In 253) 255.
02/10/10 03/30/10 10/27/10
T T Sold (part) 06/16/10 08/20/10 08/20/10 J K K K J A
08/20/10 10/27/10
1. Income Gain Codes: (See Columns B 1 and D41 2. Value Codes ~Sce Columns C l and D3) 3. Value Method Codes /See Column C2)
A =$1,000 or less F=$50.001-$100.000 J =$15.000 or less N =$250,001 - $500,000 P3 =$25.000.001 - $50,000,000 Q =Appraisal U =Book Value
B =$1.00t : $2:500 G=$100,001-$1,000~000 K -$15.001 - $50.000 0 =$500~001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 HI=S1.000.001 -$5.000.000 L =$50.001 - $100.000 Pl =$1,000,001 - $5,000,000 P4 -More than $50.000.000 S -Assessmenl W =Estimated
D =$5,001 :- $t5.00~3 : H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25.000,000 T =Cash Market
VII. INVES TMENTS and TRU S TS - i.co,.e, val.e, tra.soetio.s a.ciudes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
256. FIMM MMRT Port Inst. CL 257. 258. ~59. 260. Fidelity Money Market 261. 262. 263. 264. 265. AQR Diver. Arb. Class 1 266. 267. American Beacon Lg Cap Invest 268. Credit Suisse Commd Remm Strtgy Shs 269. 270. Goldman Sachs Lg Cap Val Instl 271. 272. Janus Fund CI J Shs
10/27/10 10/28/10 11/02/10 : 11/03/10 02/10/10 06/16/10 ’ 09/21/10 10/27/10 11/02/10 09/21/10 09/22/10
Buy Buy Buy Sold (part) Sold (part)
06/16/10 J 02/10/10 06/16/10 02/10/10 03/30/10 06/16/10
J J J J A A A
(see co!umns c! and D3) 3: Value Mrthod 0dds (See Column C2)
N =$250;00155500;000
O =$500;001 ~ $1;000i000 :
Pt --$1~000~001 ; $5i000i000
V3 =$25;o0o;o01 L $50,oo0;ooo
Q =Apwaisal U =Book value
~ ~g~ ina~ $50;0661033 .....
P2 ~$5~000~00] ~$25;000~000 ~ ~Cash Market
R =Cost (Reai E~taie oniy)~ ~A~ V =Other W ~E~tim~md
273. Perkins Mid Cap Value Fd CI T 274. Lazard Emerging Mkts Open CL 275. Mainstay Lg Cap Gr Fd C1 A 276. Merger Fund 277. 278. Metropolitan West Low Dur M 279. Pimco Total Retrn Adm Shs 280. Pimco Short Term Adm Shs 281. 282. T Rowe Price High Yld Adv CI 283. T Rowe Price Short Term Bd Fund Adv C1 284. T Rowe Price Mid Cap Value 285. 286. Templeton Global Bd C1 A A Dividend A A Dividend Dividend J J T T A B A Dividend Dividend Dividend J K K T T T A Dividend
Sold Sold Sold Buy Sold
103/30/10 10/27/10 06/16/10 03/30/t 0 09/21/10
Buy Buy Sold (part) Buy Buy Sold
02/10/10 09/21/10 02/10/10 10/27/l 0 03/30/10 09/21/10
2. Vai~codes (see c0lumns c! and DJ) 3. Value Method Codes (See Column C2)
J~$isi0000ri~ : K ~]~i~0i~$~riO0~ L~5~i~i ~i001o00 --$10~i001 ~$250,000 N =$2~0;00i ~ $~00~0~ ~ ~$~00 ~1 ~ $~1~00~00:0 Pi ~$i~000~0~1, $5~000~000 P~ ~3r~ ih~n Sgo~dbo;ooo P3 ~$25~000~001 - ~50~000~006 :: R =C~i (~1 ~state o~ii)s ~e~g~ni Q =Appraisal V =Oiher U =Book Value W &Estimated
P2 =$5,000,001- $25,000,000 T =Cash Market
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indlcatepart of report.)
In part VII, several transactions are recorded with respect to specified Fidelity Investments funds the names of which as reported in the 2009 Report were changed by Fidelity on June 25, 2010 and August 20, 2010. As to each transaction, the fund is reflected on the line with the original name on the first transaction of the year and on the line with the new name on the date of the change.
Signature: S/Victor
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