FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2012 I

advertisement
Reporl Required by the Ethics
FINANCIAL DISCLOSURE REPORT
AO 10
112013
Rev.
in Government Act of 1978
(5 U.S.C. app. §§/OJ-/ 11)
FOR CALENDAR YEAR 2012
I. Person Reporting (last name, first, middle initial)
2. Court or Organization
McMahon, Colleen
3. Date of Report
US District Court-Southern Dis
4. Title (Article Ill judges indicate active or senior status;
08/13/2013
6. Reporting Period
Sa. Report Type (check appropriate type)
magistrate judges indicate full- or part-ti�e)
D
D
US District Judge-Active
Sb.
Nomination
D
01/01/2012
Date
[{]
Initial
D
Annual
to
Final
12/31/2012
Amended Report
7. Chambers or Office Address
500 Pearl Street
New York, NY 10007
Chambers 640 Moynihan Courthou
IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all
checking the NONE box for each part where you have no reportable information.
I. POSIT! ONS.
D
NONE
(Reporting individual only; see pp.
9-13 offiling instructions.)
(No reportable positions.)
POSITION
NAME OF ORGANIZATION/ENTITY
I.
Trustee
Trust# 1
2.
Trustee
Trust#2
3.
Trustee
Foundation#1
4.
Director
Music Bridges lntematinal Inc
5.
Advisory Council
Ohio State University
II. AGREEMENTS.
[{]
NONE
(Reporting individual only; see pp.
14-16 offiling instructions.)
(No reportable agreements.)
PARTIES AND TERMS
I.
2.
3.
parts,
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
Page 2 of28
D•te of Report
McMahon, Colleen
Ill. NON-INVESTMENT INCOME.
08113/2013
(Reporting individ11al and spouse; see pp. 17-14 offiling instr11ctions.)
A. Filer's Non-Investment Income
[Z]
NONE
(No reportable non-investment income.)
SOURCE AND TYPE
INCOME
(yours, not spouse's)
I.
2.
3.
4.
B. Spouse's Non-Investment Income - Ifyo11 were married d11ring any portion of the reporting year, complete this section.
(Dollar amount not required exceptfor honoraria.)
D
NONE
(No reportable non-investment income.)
SOURCE AND TYPE
I.
2012
Director Fee
:
..�¥:
=w1am.1lwltl-
2. 2012
«i.\l1ll
\i Inc-Director Fee
. \�
,,,
3.2012
4.2012
·: Inc -Director Fee
5. 2012
\�
· jf�lm Corp-Director Fee
6. 2012
Ltd-Employee
7. 2012
8. 2012
Morgan Stanley-Pension Income
9.2012
Morgan Stanley-Deferred Compensation
IV. REIMBURSEMENTS
-
transportation, lodging.food, entertainment.
(Includes those to spouse and dependenr children; see pp. 25-27 a/filing instructions.)
D
NONE
(No reportable reimbursements.)
SOURCE
I.
2.
Federal Bar Council
DATES
Feb
4-11 2012
LOCATION
Kona, Hawaii
PURPOSE
Conference Speaker
ITEMS PAID OR PROVIDED
Travel, Food and Lodging
FINANCIAL DISCLOSURE REPORT
Page 3 of28
3.
4.
5.
Name of Person Reporting
McMahon, Colleen
Date of Report
08/13/2013
FINANCIAL DISCLOSURE REPORT
[{]
NONE
Date of Report
McMahon, Colleen
Page 4 of28
V. GIFTS.
Name of Person Reporting
08/13/2013
(Includes those to spouse and dependent cltildren; see pp. 28-31 offiling instructions.)
(No reportable gifts.)
DESCRIPTION
SOURCE
VALUE
I.
2.
3.
4.
5.
VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 offiling instructions.)
D
NONE
(No reportable liabilities.)
DESCRIPTION
CREDITOR
VALUE CODE
I.
Internal Revenue Service
Federal Income Taxes
0
2.
New York State
NYS Income Tax
Pl
3.
4.
5.
McMahon, Colleen
Page 5 of28
VII. INVESTMENTS and TRUSTS
D
NONE
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
-
08/13/2013
income, value, transactions (Includes those ofspouse and dependent children; see PP· 34-60 offiling instructions.)
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Tr ansactions during reporting period
reporting period
ofreporting period
(including trust assets)
(1)
(2)
(1)
(2)
(1)
(2)
(3)
(4)
(5)
Place "(X)" after each asset
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
exempt from prior disclosure
Code I
div., rent,
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
or int.)
2
(J-P)
Method
(A-H)
Code 3
redemption)
(J-P)
(A-H)
Code
(Q-W)
I.
ThornburgLtd. Term Muni. Fd Nat'!
8
Dividend
L
T
2.
Kohl's Corp. Com (IRA)
E
Dividend
0
T
None
0
T
None
K
u
Dividend
M
T
K
u
Thornberg Value Fund Class A Mui Fd.
3.
(if private
transaction)
(IRA)
4.
Morgan Stanley Venture Investors III LP
(IRA)
5.
Kohl's Corp Com (Trust #2)
6.
Morgan Stanley Venture Investors III LP
None
7.
EES 1986LP
None
8.
Skyline Venture Partners, LP.
8
Distribution
L
u
See Note # I
9.
MSCP IIIL.P.
8
Distribution
J
u
See Note# I
JO.
ff'"::. ; MA(1998 300,0000)
None
N
R
None
N
R
•
11.
12.
D
MA (1998 300,000)
Bond Finance International Con Due
Closed
None
Closed
12/31/12
12/31/12
See Note#
3
See Note# 3
l l/23/2058(1RA)
13.
Northwestern MututalLife
14.
EVL
I COLife lnsurnace (Trust #
I)
None
K
T
None
J
T
15.
Northwestern Mututal Life (Trust#!)
None
N
T
16.
Northwestern MututalLife(Trust #I)
None
M
T
17.
Madison NationalLife lns(Trust #
Interest
N
T
I. Income Gain Codes:
(Sec Columns Bl and 04)
2. Vnluc Codes
(Sec Columns Cl and 03)
l)
A
A =$ J.000 or less
B=$1,001-$2.500
c =$2.501 -$5.000
D = $5,001 - $15.000
F =$5 0.001 -$100.000
G $100. 00 I -$1.000.000
I ll =$1.000.001 -$5.000.000
112 =More than $5.000.000
J =$15.000 or less
K =$15,001 -$50.000
L • $50.001 -$100.000
M =$I 00.00 I - $25 0.00 0
N =$2 50. 001 -$500.000
0 =$500,001 -$1.000.000
rt =$1.000.001. $5.ooo.ooo
P2 =$5.000,001 -$2S,000.000
=
P3 =$25.000.00 I -$50.000.000
3. Value Method Codes
(Sec Column C2)
P4 = Mor e than $50.000.000
Q=Appraisal
R =Cost (Real Estate Only)
S ==Assessment
U ::Book Value
Y =Other
W =Es1imatcd
T =Cash Market
E=$15.001-$50,000
Page 6 of28
08113/2013
McMahon, Colleen
VII. INVESTMENTS and TRUSTS
D
Date of Report
Name of Person Reporling
FINANCIAL DISCLOSURE REPORT
-income, value, transactions (Includes those of spouse and dependent children; see PP·
34-60 offiling instructions.)
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reponing period
reporting period
of reporting period
(including tmst assets)
(I)
( 2)
(I)
(2)
(1)
(2)
(3)
(4)
(5)
Place "(X)" after each asset
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
exempt from prior disclosure
Code I
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code3
redemption)
(J-P)
(A-H)
(if private
transaction)
(Q-W)
18.
Passport Money Market Fund (IRA)
None
19.
SFM Domestic Investments LLC
None
J
T
Distributed
02/14/12
0
See Note# 5 To line#
03/26/12
Pl
See Note# 5-To line#
(part)
20.
Distributed
328
330
(part)
21.
22.
CSG Systems International Inc.Com
N
None
T
Sold
08/31/12
K
Buy
08/28/12
M
07/25/12
K
09/11/12
M
01118/12
K
(add'!)
23.
24.
Summit Mariner, LLC
None
Pl
u
Skyline Venture Partners Qualified Purchase
None
L
u
Distribution
K
u
Fund
25.
II
Trident Capital Fund-IV LP
G
Sold
See Note#
I
(part)
26.
Sold
(part)
27.
Sentinel Capital Partners II LP
28.
Summit Mariner LLC/JP Morgan Checking
29.
Rental# 1 /JPMorgan Checking
30.
Rental# 2 New York, NY(1999 $ 900,000)
3 I.
Rental# 2/JP Morgan -Checking
32.
33.
None
L
u
Interest
L
T
None
J
T
E
Rent
Pl
R
A
Interest
J
T
JP Morgan(Checking)-
None
M
T
Andex Resources LLC
None
J
u
A
Sold
(part)
34 i
�"6�
1
�.,nfl&'m:YS
)
v.WLmv >
I. Income Gain Codes:
(Sec Columns Bl and
u
D4)
2. Val e Codes
(See Columns CJ and
D3)
MA (1999 $
(Sec Column Cl)
R
A =$1.000 or less
B =$1.001 - $2.500
c =$2.501 - $5.000
D=$5.00t -$15.000
f =$50.001 - $100.000
G =$100.001
fl! =$1.000.00t -$5.000.000
112 = Mo
-
$!.000.000
re than $5.000.000
J =$t5.000 or less
K =$15.001 - $50.000
L 450.001 - $100.000
M =$I 00.00 I
N =$250.00 I - $500.000
0 =$500.00 I - $1.000.000
Pl =$t.000.00t - $5.000.000
P2 =$5.000.001 - $25.000.000
Q ""Appraisal
R =Cost (Real Eslatc Only)
S =Assessment
U =Book Value
V::::Q1hcr
W::::Es1imatcd
1'3 =$25.000.001
3. Value Mclhod Codes
N
None
•
-
$250.000
re than $50.000.000
P4 = Mo
$50.000.000
T :::Cash Markct
E =$15.001 - $50.000
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
08/13/2013
McMahon, Colleen
Page 7 of28
VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes t110se of spouse and dependent c11udren; see PP· 34-60 offiling instructions.)
-
D
NONE
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting pe1iod
of reporting period
(including tmst assets)
Place
"(X)" after each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
Code I
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
(J-P)
(A-H)
Code
3
redemption)
(if private
transaction)
(Q-W)
35.
Five Point Fund LLC
D
Distribution
36.
Trident Capital Fund V LP
E
Distribution
N
u
Sold
12/31/12
J
Sold
07/25/12
M
See Note# I
See Note#
I
(part)
37.
Linx Partners (Q) LP
G
Distribution
Pl
u
See Note#
I
38.
Grove Capital Commitment Partners LP
A
Distribution
M
u
See Note#
I
39.
Martha's Vineyard Golf Partners LLC
None
K
u
40.
Silvaris Corp Preferred B
None
N
u
41.
JP Morgan (Checking)
A
Interest
Pl
T
42.
NY State Dorrn.Auth
E
Interest
43.
Oneida Cnty NY
E
Interest
See Note#
I
See Note#
5
6.1% due 07/19
6.25% due 06/15
N
T
Sold
03/28/12
0
Sold
06/01/12
K
12/01/12
L
06/19/12
K
07/26/12
N
08/07/12
L
10/J 6/12
K
D
(part)
44.
Sold
(part)
45.
JK & B Capital IV QIP LP
G
Distribution
Pl
u
Buy
(add'!)
46.
Sold
(part)
47.
Sold
(part)
48.
Distributed
49.
""'"'
Investor LP
t+.w,.;=w,; . .,.
F
Distribution
0
u
Buy
to line#
326
(part)
12/21112
L
07/16/12
J
12/21/12
N
See Note#
I
(add'!)
50.
Sold
(part)
51.
Sold
(part)
I. Income Gain Codes:
(See Columns Bl and 04)
2. Value Codes
(See Columns Cl
and 03)
A =$1.000 or less
B41.00l -$2.500
C =$2.50 I
F =$50.001 -$100.000
G =$I 00,00 I
Ill =$1.000.001 -$5.000.000
112 =More than $5.000.000
·
$1.000.000
(Sec Column C2)
$5.000
D =$5.001
•
$15.000
J =$15,000 or less
K =$15.00t - $50.000
L =$50.00I - $100.000
M =$100.001 - $250,000
N =$250.001 - $500.000
0 =$500,001 -$1.000.000
Pl 41,000.001 - $5,000.000
P2 =$5.000.001
P4 =More thnn $50.000.000
p) =$25.000.001 -$50,000.000
3. Value Method Codes
•
Q =Appraisal
R =Cost (Real Estate Only)
S =Assessment
U =Book Value
V =Other
W =Estimated
T =Cash Market
·
$25,000.000
E =$15.001 • $50.000
Dale of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
McMahon, Colleen
Page 8 of28
08/13/2013
VII. INVESTMENTS and TRUSTS -- income, va111e, transactions r1nc111des those of spouse and dependent children; see PP· 34-60 offiling instructions.)
D
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Grossvalue at en d
Transactions during reporting pe riod
reporting period
of reporting period
(including trust assets)
Place
"
(X )
"
after each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Code I
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
G a in
Identity of
div., rent,
Code2
Method
buy, sell,
mm/dd/yy
Code2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code 3
redemption)
(J-P)
(A-H)
(if private
(Q-W)
52.
Skyline Venture Partners Qualified
G
Distribution
M
transaction)
u
Sold
Purchaser Fund III LP
07/25/12
M
03/28/12
K
53.
Distributed
I
54.
Distributed
10/16/12
K
II LP
G
Distribution
J
u
Sold
See Note#5-To line
334
(part)
Towerbrook Private Equity Partners
See Note#5 - To line
332
(part)
55.
See Note#
(part)
09/12/12
N
See Note# I
09/12/12
N
See Note#
12/13/12
L
(part)
56.
SPEP Limited Partners LLC
G
Distribution
Pl
u
Sold
I
(part)
57.
Sold
(part)
58.
Grove
59.
Tactics II LP (N/C}Tactics II Venture LP
60.
JP Morgan Checking(Foundation #I}
61.
MM Community Funding
62.
II LP
Distribution
J
u
None
0
u
Interest
J
T
None
N
T
ORMusic LLC
None
K
u
63.
SFM Participation LP
None
J
u
64.
Capital Income Builders Fd Cl
B
Dividend
L
T
65.
Kinderhook Capital
HI
Distribution
Pl
u
A
A
Ill Sub Note
A(IRA)
I LP
See Note# I
Buy
03101112
K
03/01/12
L
06/04/12
N
06/28/12
L
See Note#
I
(add'!)
66.
Sold
(part)
67.
Sold
(part)
68.
Sold
(part)
I. Income Gai n Codes:
(See Columns BI a nd
04)
2. Value Codes
(Sec Columns Cl and
A 41.000 o r Jess
B 41.00l - $2.500
c =$2.501 - $5.000
0=$5.001 -$15.000
F =$50.001 - $100.000
G =$100.001 -$1.000.000
111 =$1.000.001 - $5.000.000
fl2 =More 1han $5.000.000
K=$l5,00l -$50.000
L =$50.00 I -$100.000
M =$100.00l - $250.000
0 =$500.00 I - $1.000.000
Pl =$1.000.001 - $5.000.000
1'2 =$5.000.001 -$25.000.000
J =$15.000 or less
03)
N =$250.00 I
- $500.000
P3 =$25.000.00 I - $50.000.000
3. Value Method Codes
(Sec Column C2)
P4 =More than $50.000.000
Q =Appraisal
R =Cost (Real Es1a1c Only)
S =Assessment
U = Book Value
V =Other
W =Es1ima1cd
T =Cash Market
E =$15.001 - $50.000
McMahon, Colleen
Page 9 of28
VII. INVESTMENTS and TRUSTS
D
NONE
Dale of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
-
08/13/2013
income, vat11e, transactions r1nr111des those ofspo11se and dependent children; see PP·
34-60 offiling instr11ctions.J
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reponing period
of reporting period
(including tmst assets)
Place "(X)" after each asset
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
or int.)
(J-P)
Code3
redemption)
Code
exempt from prior disclosure
I
(A-H)
(J-P)
Code
I
(A-H)
(Q-W)
69.
buyer/seller
(if private
transaction)
Sold
12/03/12
0
12/28/12
M
(part)
70.
Capital World Grth & Income Fd Cl
71.
Thornburg CRE GWT
72.
JP Morgan Tax Free MM Premier Sweep
73.
R Thompson Trucking(Com)
74.
ill�'· •'::'"ff®!i Captial
A(IRA)
c
Dividend
M
T
A
Interest
M
T
I (Y)
None
Partners Ltd
Sold
None
75.
--Dynova Laboratories Inc (Com)
None
76.
Camulos Partners LP
None
K
J
G
See Note.# 2
u
u
Sold
04/03/12
J
Sold
01/23/12
J
03/05/12
M
12/28/12
J
05/02/12
M
10/05/12
0
12/19/12
0
08/24/12
J
12/05/12
Pl
See Note# 2
(part)
77.
Sold
(part)
78.
Sold
(part)
SU Group LLC
79.
Capital
80.
CGJ Partners,LP
None
J
u
None
P2
u
Buy
(add'I)
81.
Miceli Technologies lnc.(Com)
82.
L inx Partners II LP
G
None
K
u
Distribution
Pl
u
Buy
See Note#
I
(add'I)
83.
Buy
(add'I)
84.
Sold
(part)
85.
Sold
(part)
l. Income Gain Codes:
(Sec Columns BI and
04)
2. Vtil uc Codes
(Sec Columns Cl and
03)
A =$1.000 or less
B=$1.00t -$2.500
c =$2.50 1 - $5,000
D =$5.001 - $15,000
F =$50,00t - $100.000
G =$100.001 - $1.000.000
Ml =$1.000.001 -$5.000.000
112 =More than $5.000,000
L =$50,001 - $100.000
M =$100.001 - $250.000
Pl =$1.000.001 -$5,000.000
P2 =$5.000.001 - $25,000.000
J =$15.000 or less
K =$15.001
N =$250.00 I - $500.000
0 = $500.00 I -$1.000.000
1'3 =$25.000.00 I
3. Value Method Codes
(Sec Column C2)
Q =Appraisal
U =Book Value
-
$50.000
- $50.000.000
P4 =More than $50.000.000
R =Cost (Real Estate Only)
S =Assessment
V=Othcr
W =Estimated
T =Cash Markel
E =$15.00t - $50.000
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
Date of Report
McMahon, Colleen
Page 10of28
08113/2013
VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc111des those ofspouse and dependent c1tildren; see pp. 34-60 offiting instructions.)
D
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during repo11ing period
reporting period
of reporting period
(including rmst assets)
(I )
(2)
(I)
(2)
(I )
(2)
(3)
(4)
(5)
Place "(X)" after each asset
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Dare
Value
Gain
Identity of
exempt from prior disclosure
Code I
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code 3
redemption)
(J-P)
(A-H)
Lone Cypress Company Ltd
86.
E
Distribution
Pl
(if private
transaction)
(Q-W)
u
Sold
06/26/12
M
See Note#
I
01/03/12
J
See Note#
I
02/17/12
M
04/27112
K
08/09/12
J
11/0l/12
M
12/13112
M
02/01/12
M
05/15/12
L
09/14112
K
02/01112
L
05/15/12
K
09/14/12
M
11/13/12
N
01/30/12
J
(part)
Sentinel Capital Investors III LP
87.
G
Distribution
N
u
Sold
(part)
88.
Sold
(part)
89.
Sold
(part)
90.
Sold
(part)
91.
Sold
(part)
92.
Sold
(part)
SFM Participation
93.
II LP
G
Distribution
P2
u
Buy
See Note# I
(add'!)
94.
Buy
(add'!)
95.
Buy
(add'!)
96.
Sold
(part)
97.
Sold
(part)
98.
Sold
(part)
99.
Sold
(part)
100.
North Salem Acquisition
&
Development
None
J
u
Sold
Fund2005 LP
(part)
I 01. Thornburg Core Growth Cl A (IRA)
None
N
T
I 02. Thornburg lnvt Tr Intl Value Cl I (Y )
I. Income Gain Codes:
(Sec Columns BI and 04)
2. Value Codes
(Sec Columns CI and 03)
A =$1.000 or Jess
B =$1,001 -$2,500
c =$2,501 -$5.000
D =$5,001
F =$50.001 -$100.000
G =$100.001 -$1,000.000
Ml =$1.000.001
M2 =More 1han $5.000.000
J =$15.000 or Jess
K=$15,00l -$50.000
L =$50.001 - $100.000
M =$l00.00 I - $250.000
N =$250.00 I - $500.000
0 =$500,00 I -$1.000.000
Pl =$1.000.001 - $5.000.000
P2 =$5.000.001 - $25.000,000
1'3 =$25.000.00 I - $50.000.000
3. Value Method Codes
(Sec Column C2)
P4 =Mo
·
$5.000.000
·
$15.000
re 1han $50.000.000
Q ==A pprnisal
R =Cost (Real Estate Only)
S =Assessment
U =Hook Value
V =Other
W =Estimated
T =Cash Markct
E =$15.001 - $50.000
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
08/13/2013
McMahon, Colleen
Page 11of28
VII. INVESTMENTS and TRUSTS -- income, va111e, transactions r1nc111des those ofspouse and dependent children; see PP· 34-60 offiling instruclions.J
D
NONE
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
(including trust assets)
(I )
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Place "(X)" after each asset
Amount
Type (e. g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
exempt from prior disclosure
Code I
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code3
redemption)
(J-P)
(A-H)
(if private
(Q-W)
103. Jetblue (Com)
None
N
T
104.
None
Pl
u
West 12th St LLC
transaction)
Buy
11/15/12
K
09/10/12
J
10/04/12
J
01/23/12
L
02/14/12
K
12/19/12
L
12/19/12
N
03/16/12
J
06/04/12
L
08/14/12
N
11/26/12
L
10/02/12
L
12/21/12
0
01/19/12
M
01113/12
J
(add'I)
105.
Sold
(part)
106.
Sold
(part)
107. Aisling Capital II LP
G
Distribution
Pl
u
Buy
See Note# I
(add'I)
108.
Buy
(add'I)
109.
Buy
(add'I)
110.
Sold
(part)
111. By The Way Productions LLC
J
None
u
Sold
(part)
112. J K & B Capital V LP
Pl
None
u
Buy
(add'!)
113.
Buy
(add'I)
114.
Buy
(add'!)
115. SEEF II LP
G
Distribution
Pl
u
Buy
See Note# I
(add'!)
116.
Sold
(part)
117. Towerbrook Investors II Executive Fund LP
G
Distribution
Pl
u
Sold
See Note# I
(part)
118. Trident VI LP
N
None
u
Distributed
119. Kinderhook Capital Fund II
LP
G
Distribution
P2
u
Buy
See Note# 5 to line#
340
(part)
01/30/12
M
See Note# I
(add'l)
I. Income Gain Codes:
(Sec Columns Bl and 04)
2. Value Codes
(See Columns Cl and 03)
A =$1.000 or less
B 41.001 • $2.500
c =$2.501 - $5.000
0=$5.001 -$15.000
F =$50.001 • $100.000
G =$I 00.00 I
HI =$1.000.001 • $5.000.000
B2 =More than $5.000.000
M =$100.001 • $250.000
·
$1.000.000
J =S 15.000 or less
K =$15,001 -$50.000
L=$50.00I
N =$250.001 • $500.000
0 =$500.00 I
Pl =$1,000.001 • $5,000.000
•
$1.000.000
P3 =$25.000.00 I - $50.000.000
3. Value Mc1hod Codes
(Sec Column C2)
•
$100,000
P2 =$5,000.001 -$25,000.000
1'4 =More than SS0.000.000
Q =Appraisal
R =Cost (Real Estate Only)
S =Assessment
U = Boo k Value
V =Other
W =Estimated
T =Cash Market
E =$15.001 • $50.000
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
McMahon, Colleen
Page 12of28
08/1 3/2013
VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those ofspo11se and dependent children; see PP· J4-6o offitinc instructions.)
D
NONE
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
(including tmst assets)
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Place "(X)" after each asset
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
exempt from prior disclosure
Code I
div., rent,
Code2
Method
buy, sell,
mm/dd/yy
Code2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
(J-P)
(A-H)
Code
3
redemption)
(if private
transaction)
(Q-W)
120.
03/28/12
L
12/11/12
0
05/11/12
K
Buy
07/30/12
0
Buy
12/20/12
M
Buy
(add'!)
121.
Sold
(part)
E
122. Kohls Corp (Com).
Dividend
0
T
Buy
(add'!)
123. KPB Partners LP
A
Interest
124. --App Orchard LLC
None
125.
None
Pl
u
(add'!)
c
Interest
Sold
05115112
L
127. City ofNY Gen! Pur 5 % due 8/1/12
E
Interest
Redeemed
08/01/12
N
128. NYS Dormitory Adj rate due 11/15/29
D
Interest
Sold
05115112
N
129. Thornburg-Income Builder CI 1
c
Dividend
L
T
130. Thornburg Global Opportunity Cl I
A
Dividend
K
T
None
L
T
Interest
J
T
None
J
T
135. lnavein LLC
None
J
u
136. Ironwood Management Partners Fund II LP
None
N
u
Buy
04116/12
J
126. NYS Dormitory Authority 5.25% due
11/15/23
131. Thornburg CRE GWT
1 (Trust# 2)
132. Morgan Stanley Bank (Savings)
A
133. Thornburg CRE GWT (IRA)
134. Morgan Stanley Bank-(Savings)(Y)
(add' I)
I. Income Gain Codes:
(Sec Columns BI nnd D4)
2. Value Codes
(See Columns CI and D3)
A =$t.000 or less
B =$1,001
F =$50.001 -$100.000
G =$I00.00 t -$1,000,000
HI =$1.000,001
J =$ 15.000 or less
K =$15.001 - $50.000
L =$50.00I - SI00.000
re than $5.000.000
M =$I00.00 I - $250.000
N =$250.001 - $500.000
0 =$500,001 -$1.000.000
Pl =$1.000.001 -$5.000.000
P2 =$5.000.001 - $25.000.000
•
$2.500
P3 =$25.000.001 - $50.000.000
3. Value Mc1hod Codes
(Sec Column Cl)
c =$2.501
•
$5.000
•
$5.000.000
D=$5,00i - $t5.000
H2 =Mo
P4 =More than $50.000.000
Q=Apprnisnl
R =Cosl (Real Estate Only)
S =Assessment
U =Book Value
V =Other
W ::Estimated
T =Cash Market
E =SI 5.001 - $50,000
Page 13of28
McMahon, Colleen
VII. INVESTMENTS and TRUSTS
D
NONE
Date of Report
Name of Person Reporring
FINANCIAL DISCLOSURE REPORT
08/13/2013
--income, va/11e, transactions (lnc/11des those ofspo11se and dependent children; see PP·
34-60 offiling instr11ctions.)
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
(including trust assets)
reporting period
of reporting period
Place "(X)" after each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Type (e.g.,
Value
Value
Type(e.g.,
Date
Value
Gain
Identity of
Code I
div., rent,
Code
Method
buy, sell,
mm/dd/yy
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code3
redemption)
2
Code
2
(J-P)
(if private
(A -H )
(Q-W)
transaction)
137.
Buy
06/25/12
K
04/17/12
J
06/01/12
K
11/23/12
0
02/08/12
L
03/26/12
M
10/22/12
M
04/10/12
J
04/02/12
J
07/02/12
K
09/17/12
J
11/26/12
J
06/25/12
L
(add'I)
138.
Linx-Cimarron Energy Co-Invest, LLC
G
Distribution
0
u
Sold
See Note# I
(part)
139.
Sold
(part)
140.
Sold
(part)
141.
RGI Partners II B
LP
None
Pl
u
Sold
(part)
142.
RGI Partners Ltd
None
Pl
u
Buy
(add'I)
143.
Buy
(add'!)
144.
Sold
(part)
145.
SC Capital (P) LP
None
Pl
u
Buy
(add'!)
146.
Buy
(add'!)
147.
Buy
(add'!)
148.
Buy
(add'I)
149.
""·'
='•"•'•"�''"'----""' _,,,=� ,..,,.,,__,,-,o-·;- .co"-"""'"�=.v
HI
LP
Distribution
P2
u
Buy
150.
Buy
See Note # I & Note
#4
(add'!)
11/26/12
N
03/27112
N
07117/12
0
09/28112
L
(add' I)
151.
Sold
(part)
152.
Sold
(part)
153.
Sold
(part)
I. Income Gain Codes:
(Sec Columns Bl and 04)
2. Value Codes
(Sec
Columns Cl and 03)
3. Val ue Mc1hod Codes
(Sec Column C2)
A =$ 1.000 or less
8=$1.001-$2,500
c 42.501 -$5.000
D =$5.001 - $15.000
F =$50,001 - $I 00.000
G =$100.00 I - $1.000.000
Ill =$1.000.001 -$5.000.000
112 =More than $5,000.000
K =$15,001 -$50,000
L =$50.001 -$100.000
M =$I 00.00I -$250.000
0 �$500.00 I -$1.000.000
Pl =$1.000.001
r2 =$5.000.001 - $25.ooo.ooo
J =$15.000
or
less
N =$250.00 I -$500.000
PJ =$25.000.001-$50.000.000
·
$5.000.000
P4 =More than $50.000.000
Q =Appraisal
R =Cost (Real Estate Only)
S =Assessment
U =Book Value
V �Other
W =Es1ima1cd
T =Cash Market
E =$15.001 - $50.000
McMahon, Colleen
Page 14of28
VII. INVESTMENTS and TRUSTS
D
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
08/13/2013
--income, vatue, transactions r1nc1udes those ofspouse and dependent children; see PP·
34-60 offilinc instructions.)
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
(including tmst assets)
reporting period
of reporting period
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Place "(X)" afler each asset
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
exempt from prior disclosure
Code 1
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code 3
redemption)
(J-P)
(A-H)
(if private
(Q-W)
15 4 .
transaction)
Sold
11/15/12
Pl
12/27/12
N
(part)
155.
Sold
(part)
156.
fllal,;t? �...- LP
(GP) LP
157.
G
Distribution
Pl
u
HI
Distribution
Pl
u
See N ote#
Sold
04113/12
0
06/29112
N
07/20/12
Pl
10/03/12
M
11/16/12
P2
(part)
158.
Sold
I
See Note# I & Note
#4
(part)
159.
Sold
(part)
160.
Sold
(part)
161.
Sold
(part)
162.
--Apex Companies LLC
See Note#4
None
See Note #4
163. --Archway Marketing Services Inc
None
164. -- Transit Wireless LLC
None
I 65. --Freedom Innovations LLC
None
166. --Hamilton State Bancshares Inc
None
See
167. --Oceus Networks Inc.
None
See note# 4
168. --Nautilus Neurosciences Inc
None
See
None
See Note#4
169.
--Optimal Solutions Integration,lnc
170.
--TowerCo
II Holdings LLC
I. Income Gain Codes:
{Sec Columns Bl and 04)
2. Value Codes
(See Columns Cl and 03)
{Sec Column C2)
07/10/12
Pl
See Note#4
Sold
None
Sold
02/16112
10/01/12
Pl
P2
A =$1.000 or less
B =$1.001 -$2.500
c =$2.501 - $5.000
D =$5.001 -$15.000
f =$50.001
G =$100.00 I - $1.000.000
Ml =$1.000.001 - $5.000.000
112 =More than $5.000.000
-
$100.000
J =$15.000 or less
K =$15.001 - $50.000
L =$ 50.001 -$t00.000
M =$100.001 - $250,000
N =$250.001 - $500.000
0 =$500,001 - $1.000.000
Pl =$1.000.001 -$5.000.000
P2 =$5.000.001 - $25,000.000
P4 =More than $50.000.000
P3 =$25.000.001 - $50.000.000
3. Value Method Codes
Sold
Q =Appraisal
R =Cost (Real Estate Only)
S =Asscssmen1
U =Book Value
V =Other
W =Es1ima1ed
T =Cash Market
See Note#4
Note#4
Note#4
See Note #4
E =$1 5 .001 - $50.000
McMahon, Colleen
Page 15of28
VII. INVESTMENTS and TRUSTS
D
NONE
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
-
08/13/2013
income, va111e, transactions r1nc1udes 11rose ofspouse and dependent c1rudren; see PP· 34-60 offiling ins1ruc1ions.J
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
( including trust assets)
(1)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Place "( X)" after each asset
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
exempt from prior disclosure
Code I
div., rent,
Co<le2
Method
buy, sell,
mm/dd/yy
Code2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code 3
redemption)
(J-P)
(A-H)
(Q-W)
(if private
transaction)
171.
--Versaphann
None
See Note#4
172.
--Cumberland Consulting Group LLC
None
See Note #4
173.
--RE Transportation Inc
None
See Note#4
174. --West Texas Plastics
None
Buy
07/10/12
N
See Note#4
1 75 .
--Northeast Comm of Wisconsin Inc
None
Buy
I 1/I2/12
Pl
See Note# 4
176.
Camulos Special Situations Fund LP
None
J
u
177.
Wall Street Sources Inc(Com)
None
0
u
None
Pl
T
Buy
04/11/12
L
03/13112
M
04/17/12
L
12/24/12
K
07/19/12
J
12/24/12
M
12/21/12
K
07/02/12
N
08/01/12
N
178. Navagate lnc (Promissory Note)
(add'!)
179. Omnilink Systems Inc (Ser B Preferred
None
Pl
u
Buy
Stock)
(add'!)
180.
Buy
(add'!)
181. American Home Food Products Inc (Com)
182.
g& :jil!l�1' Partners
E
None
N
u
Distribution
N
T
Buy
See Note#
I
(add'!)
183.
Sold
(part)
184.
Sold
(part)
185.
Syndicate Holdings Corp(Com)
None
N
u
Sold
(part)
E
186. NYS Dorm 5.75 Due 7/1/13
Interest
N
T
Sold
(part)
187.
City of NY 5.5 % Due 8/1/12
I. Income 1Gai n Codes:
(See Colu1nns BI and D4)
2. Value Codes
(Sec Colunlns Cl and 03)
B
(Sec Colunrn C2)
Redeemed
A =$1.000 or less
B =$1.001 -$2.500
c =$2.501 -$5.000
D =$5.001 - $15.000
F =$50.001 - $100.000
G =$I 00.00I - $1.000.000
111 =$1.000.001 -$5.000,000
H2 =More than $5.000.000
J =$15,000 or less
K =$15.001 - $50.000
L =$50,001 - $100.000
M =$100.001 - $250.000
N =$250.00I
0 =$500.00 I -$1.000.000
t>I =$1.000.001 - $5.000,000
P2 =$5.000.001 -$25,000.000
•
$500.000
P3 =$25.000.00 I
3. Value Mclhod Codes
Interest
•
$50.000.000
P4 =More than $50.000.000
Q �Appraisal
R c::Cost (Real Estate Only)
S =Assessment
U =Book Value
V =01hcr
W -=Estimated
T =Cash Market
E =$15.001 -$50.000
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
Date of Report
McMahon, Colleen
Page 16 of28
08/13/2013
VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those ofspouse and dependent children; see PP· 34-60 offiling instructions.)
D
NONE
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
(including trust assets )
reporting period
of reporting period
Place
"(X)" after each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
Code I
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code3
redemption)
(J-P)
(A-H)
188.
NYS Donn 5.7 Due 7/1/13
189.
City of NY Health
& Hosp 4 % Due 2/15/13
190. NYS Mtg Agency 5
% Due 10/1/17
E
Interest
E
Interest
0
T
E
Interest
L
T
( if private
transaction)
(Q-W)
Sold
01/18112
Pl
Sold
05103112
N
Redeemed
09/01/12
0
Buy
12/21112
J
07/16/12
J
12/31112
J
01/12112
K
04/11112
K
07/05/12
K
10/08/12
K
04/16/12
L
12112/12
12/12/12
(part)
% Due 9/1/12
191.
State of NY Donn 4
192.
State of NY Donn 4.125
% Due 4/1/13
..........
�
Fund LP
..
E
Interest
E
Interest
N
T
A
Distribution
J
u
See Note#
I
M
See Note#
I
M
See Note#
I
(add'!)
194.
Sold
(part)
195.
Sold
(part)
196. Safe Bulkers Inc(Com)
D
Dividend
L
T
Buy
(add'!)
197.
Buy
(add'!)
198.
Buy
(add'!)
199.
Buy
(add'!)
200.
-�·.
.
West 12th Street LLC(Working
None
M
T
Capital Loan)
201. Artisanal Cheese LLC(Bridge Loan)
202.
Buy
(add'!)
G
Nassau Point Partners I LP
None
N
T
Distribution
J
u
Sold
(part)
203.
G
Nassau Point Partners II LP
Distribution
J
u
Sold
(part)
204.
Camulos BioEnergy Debt Holdings LLC
I. Income Gain Codes:
(Sec Columns BI and 04)
2. Value Codes
(Sec Columns Cl and 03)
(Sec Column C2)
u
A =$1.000 or less
B =$1,001 - $2.500
C =$2.SOI - $5.000
0=$5.001- $t5.000
F =$50.001 - $I 00.000
G =$I 00,00I - $1.000,000
Ill =$1,000.001 - $5.000.000
112 =More than $5.000.000
L =$50.001 - $100.000
M =$I00.001 - $250.000
Pl =$1.000.001 - $5.000.000
1'2=$5.000.00t - $25.000.000
J 415.000 or less
K =$15,001
N =$250.00 I - $500.000
0 =$500,00 I - $1.000.000
1'3 =$25.000.00 I
3. Value Method Codes
K
None
-
•
$50.000
$50.000.000
P4 =More lhan $50.000.000
Q =Appraisal
R =Cos1 (Real Estate Only)
S =Assessment
U =Book Value
V =Other
W =Estimated
T =Cash Market
E =$15.001 - $50.000
08/13/2013
McMahon, Colleen
Page 17 of28
VII. INVESTMENTS and TRUSTS
D
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
- - income, va/11e, transactions (Includes those ofspouse and dependent children; see PP· 34-60 offiling instructions.)
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
(including trnst assets)
Place "(X)" after each asset
exempt from prior disclosure
(1)
(2)
(I)
(2)
(1)
(2)
(3)
(4)
(5)
Amount
Code 1
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
div., rent,
Code
Method
buy, sell,
mm/dd/yy
(A-H)
or int.)
Code 3
redemption)
2
(J-P)
Code 2 "Code I
(J-P)
(A-H)
(Q-W)
205. Camulos BioEnergy Partners LLC
None
K
u
206. Camulos Fountain Hills Partners LLC
None
J
u
207. Camulos Gateway HI Partners LLC
None
J
u
208. Camulos Gateway RH Partners LLC
None
J
u
Distribution
N
u
209. Asling Investors JII LP
c
buyer/seller
(if private
trnnsaction)
Buy
03/01/12
K
06/25/12
J
07/19/12
K
08/14/12
M
12/05/12
K
12/10/12
K
02/09/12
J
03/27/12
L
12/28/12
K
03/27/12
M
12/28112
L
03/30/12
J
See Note#
I
(add'I)
210.
Buy
(add'!)
211.
Buy
(add'!)
212.
Buy
(add'I)
213.
Buy
(add'!)
214.
Sold
(part)
215.
Distributed
See Note
#5 to line 336
(part)
216. Eastern Growth Capital I LP
None
N
u
217. Eastern Growth Capital II LP
None
N
u
Sold
(part)
218.
Sold
(part)
219. Eastern Growth Capital II LP(IRA)
None
0
u
Sold
(part)
220.
Sold
(part)
221. Linx-Metaltech Co Investment LLC
D
Interest
M
u
Sold
(part)
I. Inc o me Gain Codes:
(Sec Columns Bl and 04)
2. Value Codes
(See Columns Cl and 03)
A =$1.000 or less
6=$1.001-$2.500
c =$2.501 - $5.000
0=$5.001 -$15.000
F =$50.001 -$I 00.000
G =$ I00.00 I - $1.000.000
Ill =$1.000.001 -$5.000.000
112 =More than $5.000.000
K =$15.001 -$50.000
L =$50.00 I - $ I00.000
M =$ I00.00 I
Pl =$1.000.001 - $5.000.000
P2 =$5.000.001 - $25.000.000
J =$15.000 or kss
N =$250.00 I
-
$500.000
. 0 =$500.001 - $1.000.000
P3 =$25.000.001 - $50.000.000
3. Value Method Codes
(Sec Column C2)
-
$250.000
P4 =More than $50.000.000
Q =Appraisal
R =Cost (Real Esta1c Only)
S =Assessment
U =Bo o k Value
V=Othcr
W =Estimated
T =Cash Market
E =$15.001 - $50.000
Date of Report
Name of Person Rep orting
FINANCIAL DISCLOSURE REPORT
McMahon, Colleen
Page 18of28
08/13/2013
VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 offli ing instructions.)
D
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income <luring
Gross value at end
Transactions during reporting period
(including tmst assets)
reporting period
of reporting period
Place
"(X)" after each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I )
(2)
(3)
(4)
(5)
Amount
Type (e.g.,
Value
Value
Type ( e.g.,
Date
Value
Gain
Identity of
Code I
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code3
redemption)
(J-P)
(A-H)
( if private
(Q-W)
transaction)
222.
Sold
05/30/12
J
12/17/12
J
01/03/12
N
06/11/12
M
09/17/12
M
12/12/12
N
12/12112
M
01/17/12
J
03/13/12
J
06/01/12
N
(part)
223.
Sold
(part)
224. Olympus Capital Asia
IV LP
None
Pl
u
Buy
(add'I)
225.
Buy
(add'!)
226.
Buy
(add'!)
227.
Buy
(add'!)
228.
Sold
(part)
229.
Stag Investments IV LP
D
Sold
Distribution
See Note#
I
(part)
230.
Sold
(part)
231.
Distributed
See Note#5 to line
#338
232. UBS RMA Tax Free
233.
(MM)
Safe Bulkers Inc (Com)(IRA)
234. Towerbrok Investors
Ill Executive Fund LP
235. Tactics II Stem Cell Ventures
A
Interest
K
T
D
Dividend
L
T
E
Distribution
0
u
None
Pl
u
None
L
u
None
J
T
None
M
T
QP LP
236. Cellular Dynamics International lnc(Pref A)
237.
lnves Van Kampen Equities (401K)
238. Thornburg Intl Val Fd R#(40Ik)
See Note# 1
Buy
04102112
K
(add'!)
I. Income Gain Codes:
{See Columns B t and 04)
2. Value Codes
{Sec Columns C l ond 03)
A =$ l.000 or less
B =$1.001 -$2,500
c =$2. 501 -$5,000
0=$5.001 -$15.000
f =$50.001 -$100.000
G =$100.001 -$1.000.000
HI =$1.000.001 -$5.000.000
112 =More than $5.000.000
J =$ t 5.000 or less
K =$15,001 -$50.000
L =$50,001 - $100,000
M 4100.001 - $250.000
N =$250.001 -$500.000
0 =$500,00 I -$1.000.000
Pl =$1.000,001 - $5.000.000
P2 =$5,000.00 I
P3 =$25.000.001
3. V alue Mc1hod Codes
{Sec Column C2)
•
P4 =More than $50.000.000
$50.000.000
Q =Appraisal
R =Cost (Real Estate Only)
S =Assessment
U =Book Vaine
V =Other
W =Es1imated
T =Cash Market
-
$25,000.000
E =$15.001 -$50.000
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
Page 19of28
McMahon, Colleen
VII. INVESTMENTS and TRUSTS
D
NONE
Date of Report
08/13/2013
- income, va111e, transactions r1nc111des those of spouse and dependent children; see PP·
-
34-60 offilinc instructions.)
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
(including tmst assets)
Place
"(X)" after each asset
exempt from prior disclosure
(1)
(2)
(1)
(2)
(1)
(2)
(3)
(4)
(5)
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
Code 1
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
Code 1
buyer/seller
(A-H)
or int.)
(J-P)
Code 3
redemption)
(J-P)
(A-H)
(Q-W)
239.
Vanguard lnterm Corp FD(Foundation#I)
D
Dividend
M
T
(if private
transaction)
03/28/12
M
E
Sold
03/14/12
L
B
Sold
02/15/12
K
04/16/12
0
08/15/12
J
01/03/12
K
06107112
K
Sold
(part)
240.
241.
Georgia Gulf Corp Com(Foundation#I)
Morgan Stanley Bank(Saving )(Foundation
None
A
Interest
J
T
#1)
242.
NYS Dormitory
4 % due 10/1/15
E
Interest
0
T
243.
NYS Dormitory
5.25 due 8/15/15
E
Interest
N
T
(part)
244.
Sold
E
(part)
245.
Sold
(part)
246.
NYS Dom1itory
247.
Morgan Stanley Bank (Trust#2)
248.
First Republic Bank( Checking)(Trust#2)
249.
First Republic Bank (Checking)
250.
251.
5.5 due 7/1116
E
Interest
0
T
A
Interest
J
T
None
J
T
Interest
M
T
The West Africa Fund LP
None
0
T
NuCana Biomed Ltd (Ordinary Shares)
None
0
T
None
N
T
A
(IRA)
252.
Cookstr LLC(Convertible Unsecured
Promissory Note)
253.
Cordia Bancorp Ser B(Com)(IRA)
None
L
T
254.
ConnectEdu lnc(Com)(IRA)
None
M
T
Buy
(add'!)
255.
Buy
(add'!)
I_ Income Gain Codes:
(Sec Col umns Bl and 04)
2. Va lue Codes
(Sec Column s Cl and 03)
A =$1.000 or less
ll =$t,OOI -$2.500
c =$2.501 - $5.000
D=$5.00t -$t5.000
F =$50.00t -$100.000
G =$100.001 - $1.000.000
flI =$1.000.00t - $5.000.000
t12 =More 1han $5.000.000
J =$t 5.000 or less
K =$t5,00I -$50.000
L =$50.00t - $100.000
M =$t 00.00t - $250.000
N =$250.001 -$500.000
0 =$500,001 -$ l.000.000
Pl =$1.000.00t - $5.000.000
Pl =$5.000.001 - $25.000.000
1'4 = More than $50.000.000
P3 =$25.000.00t -$50.000.000
3. Value Method Codes
(Sec Column C2)
Q =Appraisal
R =Cost (Ren I Estate Only)
S =Assessment
U =Book Value
V =Other
W =Estimated
T =Cash Market
E =$I 5.00t -$50.000
v II. INVESTMENTs and TRusTS
NONE
08/13/2013
McMahon, Colleen
Page 20of28
D
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
-- income, value, transactions (Includes tltose ofspouse and dependent children; see PP•
34-60 offiling instructions.)
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
(including trust assets)
Place
"(X)" after each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code2
or int.)
(J-P)
Code
I
(A-H)
Code
3
Code
(J-P)
redemption)
I
(A-H)
None
Pl
T
Receivable)
(if private
transaction)
(Q-W)
256. Michael Walsdorf- (Personal Loan-Note
buyer/seller
10/02/12
N
Closed
01/02/12
N
Buy
03/15/12
L
06/04/12
L
09/04/12
L
11/26/12
K
12/20/12
L
12/20/12
L
01/25/12
M
07/16/12
M
01/03/12
K
06/25/12
L
08/01112
L
Buy
(add'!)
257. Leo DeSorcy-(Personal Loan-Note
None
Receivable}
258. MV Beach Strei Realty(Mortgage Note)
Interest
0
T
None
J
u
Distribution
0
u
E
259. Beryllium LLC
260. Kinderhook Capital Fund Ill LP
F
See Note #I
(add'!)
261.
Buy
(add'!)
262.
Buy
(add'!)
263.
Buy
(add'!}
264.
Buy
(add'!)
265.
Sold
(part)
266. Omnlink Systems Inc(Bridge Loan)
267. NYS Dormitory 5.25 due 5/15/15
E
None
M
T
Interest
N
T
None
N
T
268. Nuclea Biotechnologies Inc-Convertible
Note
Buy
(add'!)
269. Cordia Bancorp Inc Ser B (Com)
None
0
T
Buy
(add'!)
270. ConnectEDU Ser D (Com)
None
M
T
Buy
(add'!)
271. Rapid Ratings International Inc (Com)
None
0
T
Buy
(add'!)
272.
Buy
(add'!)
I. Income Gain Codes:
(See Columns Ill and 04)
2. Value Codes
(See Columns CJ and D3)
A=$1.000 or less
ll=$1.00 I - $2,500
c =$2.501 - $5.000
D=$5.001 - $15.000
F=$50.001 - $100.000
G=$ t 00.00 I - $1.000.000
111 =$1.000.001 - $5.000.000
H2 =More than $5.000.000
J =$15,000 or less
K
L =$50.001 - $!00.000
M =$100.001 -$250.000
N=$250.001 • $500.000
0=$500,00 I - $1.000.000
Pl =$1.000.001 - $5.000.000
Pl =$5.000.00 I
=
$ t 5.001 - $50.000
P4=More than $50.000.000
P3=$25.000.00 I - $50.000.000
3. Value Method Codes
(Sec Column Cl)
Q=Appraisal
R ::0Cos1 (Real Estntc Only)
S "'"Assessment
U =Hook Value
V=Othcr
W=l:.stimatcd
T =Cash Market
•
$25.000.000
E=$15.001 -$50.000
Page 21of28
08/13/2013
McMahon, Colleen
Vil. INVESTMENTS and TRUSTS
D
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
- income, vat11e, 1ransac1ions (1nct11des 11rose ofspo11se and dependent clri/dren; see PP·
34-60 offiling instr11c1ions.J
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
{including tmst assets)
(I)
(2)
{I)
(2)
(I)
(2)
(3)
(4)
(5)
Place "{X)" after each asset
Amount
Type {e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
exempt from prior disclosure
Code I
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
(A-H)
or int.)
(J-P)
Code3
redemption)
(J-P)
Code
I
(A-H)
buyer/seller
(if private
transaction)
(Q-W)
273.
Buy
10/02/12
M
11/15/12
J
08/01/12
J
04/16/12
N
07/03/12
J
Sold
06/22/12
0
Sold
05/15/12
L
04/17/12
0
(add'!)
274.
West 12th Street Manager
LLC
None
J
u
Buy
(add'I)
275. Parkstone Capital Partners
LLC
D
Distribution
N
u
Sold
See Note# I
(part)
276. Lone Peak Partners Fund LP
277. UBS Bank USA Dep MM
(IRA)
A
278. Thornburg Core Growth A (Trust# 2)
279. NYS Dorm 5.625 % due 6/1/16
F
None
Pl
u
Interest
M
T
None
L
T
Interest
Pl
T
Sold
E
(part)
280.
Sold
(part)
281. NY NY St Enviommental FAC 4.5 % due
E
Interest
c
Interest
4/15/15
282.
NYS Dorm 5.25 % due 11/15/23
L
T
(part)
283. NYS Dorm 5.25 % due 1/1/13
D
Interest
M
T
284. NYS Dorm 5.25 % due 2/15/13
E
Interest
N
T
Sold
D
(part)
285. City ofNY GO 5.5 due 8/1/12
D
Interest
Redeemed
08/01/12
M
286. NYS Dorm 6 % due 8/15/12
E
Interest
Redeemed
08/15/12
0
D
Dividend
Sold
01/02/12
K
287.
Tidewater Acquisition lnc(Pref)
288.
289.
Group LLC
m•�
Emerald Biostructures lnc.(Loan)
I. Inc ome Gain Codes:
(Sec Columns Bl and
04)
2. Value Codes
(Sec Columns CJ and
03)
D
None
K
u
Interest
K
T
A =$1.000 or less
B =$1.001 - $2.500
c =$2,501 - $5.000
D =$5.001 - $15.000
F =$50.001 -$100.000
G =$I 00.00 I - $1.000.000
HI =$1.000.001 -$5.000.000
112 =More than $5.000.000
J =$15.000 or less
K =$15.00 I - $50.000
L =$50.001 - $100.000
M =$100.001 - $250,000
N =$250.00 I - $500.000
0 =$500.001 -$1.000.000
Pl =$1.000.001 - $5.000.000
r2 =$5,000.001 - $25.ooo.ooo
Q ""Appraisal
K =Cost (Real Es1a1c Only)
S =Assessment
U =Book Value
V=Othcr
W =Estimated
P4 =More than $50.000.000
PJ =$25.000.00 I - $50.000.000
3. Value Mclhod Codes
(Sec Column C2)
T =Cash Market
E =$15.001 -$50.000
Page 22of28
NONE
08/J 3/2013
McMahon, Colleen
VII. INVESTMENTS and TRUSTS
D
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
--income, value, transactions r1nc1udes those ofspouse and dependent children; see PP·
34-60 offiling instructions.)
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
(including trust assets)
Place
"(X)" after each asset
exempt from prior disclosure
(1)
(2)
(I)
(2)
(I)
(2)
(3)
Amount
Type (e.g.,
Value
Value
Type (e.g.,
Da te
Value
(4)
Gain
Identity of
Code 1
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
( A-H)
or int)
(J-P)
Code 3
redemption)
(J-P)
(A-H)
(Q-W)
290. Empowered World Ventures LLC(Preferred
A)
None
M
T
291. CSL Energy opportunity Fd I LP
None
N
u
(5)
(if private
transaction)
Buy
01/03/12
J
04/J 6/12
K
07/10/12
L
11/26/12
L
(add'!)
292.
Buy
(add'!)
293.
Buy
(add'!)
294.
Buy
(add'!)
295. CSL Europe Energy Services LP
None
M
u
296. KCM Long Only Fund LP
G
Distribution
Pl
u
297. Parkstone Capital Partners ll LP
G
Distribution
Pl
u
Buy
01/03/12
M
07/301 12
M
06/01/ 12
L
04/16/12
M
04/16/12
0
See Note#
I
See Note#
I
(add'!)
298.
Sold
(part)
299. Tactics 11 CD! Ser B (Pfd)
None
0
u
300. Highland Investment Group LLC
None
J
u
301. Peaks Capital Partners LLC (Promissory
None
M
T
Buy
Note)
(add'!)
302. Syracuse NY Ind Dev 3.0 5/11/13
E
Interest
0
T
303. NYS auth Rev Nonst 5 % J0/1/14
E
Interest
0
T
304. NYS Energy Res & Dev 2.25 % 12/1115
E
Interest
0
T
Sold
c
(part)
305. Patchogue Hetford NY Un 4.25 10/1/15
D
Interest
306. Suffolk Cnty NY Trans 1.5 % 9/1/12
D
Interest
0
T
Sold
(part)
I. Income Gain Codes:
(Sec Columns BI and 04)
2. Value Codes
(Sec Columns Cl and 03)
A =$1.000 or less
B =$1.001 -$2.500
c =$2.501 -$5.000
D =$5.001 -$15.000
F =$50.001 -$100.000
G =$100,001 -$1.000.000
Hi =$1.000.001 -$5.000.000
112 =More than $5.000,000
J =$15.000 or less
K=$15,00l -$50.000
L =$50.001
M =$100.00 I
N =$250.001 -$500.000
0 4500.001 - $1.000.000
Pl =$1.000.001 - $5.000.000
Q =Appraisal
R =Cost (Real Estate Only)
S =Assessment
U =Book Value
V =Olhcr
W =Estima1cd
1'3 =$25.000.001
3. Value Mcrhod Codes
(Sec Column C2)
•
•
$100.000
-
$250.000
P2 =$5.000.001 - $25.000.000
P4 =More than $50.000.000
$50.000.000
T ""Cash Market
E =$15.001 -$50.000
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
McMahon, Colleen
Page 23of28
08/13/2013
VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those of spouse and dependent c1iildren; see PP· 34-60 offiling instructions.)
D
NONE
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description ofAssets
Income during
Gross value at end
Transactions during reporting period
reponing period
of reponing period
( including trust assets)
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Place "(X)" after each asset
Amount
Type (e.g.,
Value
Value
Type (e .g.,
Date
Value
Gain
Identity of
exempt from prior disclosure
Code I
div., rent,
Code2
Method
buy, sell,
mm/dd/yy
Code2
CodeI
buyer/seller
(A-H)
or int.)
(J-P)
(J-P)
(A-H)
Code
3
redemption)
(Q-W)
307.
308. Ceres Inc (Com)
309.
Redeemed
09/01/12
0
Sold
10/02/12
K
Sold
04/23/12
L
07124112
M
09/11/12
K
09/28/12
N
12/10/12
N
12/20/12
J
Sold
12/31/12
J
Buy
10/15112
L
08/09/12
J
09/28/12
K
None
Artiman Venture Fund LP
G
Distribution
M
(if private
transaction)
u
See Note# I
(part)
Interest
N
T
Vocalocity Inc (Ser-B-1)
None
N
T
3 I 2.
EOS Sleep Management LLC
None
0
u
3 I 3.
SRO Systems Inc (Preferred Stock)
None
M
T
314.
SRO Systems Inc (Promossory Note))
None
L
T
310.
lnavien LLC(PromissoryNote)
311.
E
Buy
(add'I)
315.
OD Funding Partners LLC
None
M
u
316.
Prollie Inc (Preferred St)
None
K
T
Buy
(add'!)
317. Nextremity Solutions LLC
None
Pl
u
Buy
(add'I)
318.
Buy
(add'!)
319. Linx-Ad Co-Invest LLC
D
Interest
N
u
Sold
(part)
320. Kumani EsentialS LLC
None
321. Collision Funding Partners LLC
None
M
u
(add'l)
322. Clean Pool
& Services LLC
None
N
u
Buy
(add'!)
323.
Buy
(add'!)
I. Inco me Gain Codes:
(Sec Columns B l and 04)
2. Value Codes
(See Colunins CI and 03)
3. Val ue Method Codes
(Sec Column C2)
A =$1.000 or less
H =$1.00t - $2.500
C =$2.50I - $5.000
D =$5.00t - $15.000
f =$50.001 -$100.000
G =$100.001 -$1.000.000
HI =$1.000.001 - $5.000.000
H2 =More than $5.000.000
J =$15.000 or less
K =$15.001 -$50.000
L =$50.001 -$100,000
M 00$I 00,00I -$250,000
N =$250.001 -$500.000
0 =$500.00 I - $1.000.000
Pl =$1.000.001 -$5,000.000
P2 =$5.000,001 - $25.000.000
P3 =$25.000.00I - $50.000.000
Q =Appraisal
U =Book Value
R =Cos1 (Real Estate Only)
V =01hcr
P4 =More than $50.000.000
S =Assessment
W =Estimated
T =Cash Markel
E =$15.001 -$50.000
McMahon, Colleen
Page 24of28
VII. INVESTMENTS and TRUSTS
D
NONE
Date of Report
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
08/13/2013
- income, vat11e, transactions r1nc111des those of spouse and dependent children; see PP·
34-60 offitinc instructions.)
(No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
Transactions during reporting period
reporting period
ofreporting period
(including trust assets)
Place "(X)" aller each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Code I
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
div., rent,
Code 2
Method
buy, sell,
mm/dd/yy
Code 2
Code I
buyer/seller
(A-H)
or int.)
(J-P)
Code 3
redemption)
(J-P)
(A-H)
(Q-W)
(if private
transaction)
11/01/12
K
Sold
01/02/12
J
Spinoff
10/16/12
K
See Note# 6
02/14/12
0
See Note# 6
03/26112
Pl
See Note# 6
Sold
04/23/12
Pl
Spinoff
03/28/12
K
See Note# 6
10/16/12
K
See Note# 6
02/09/12
J
See Note# 6
06/01112
N
See Note# 6
01/13/12
J
See note# 6
324.
Buy
(add'l)
325.
Verisign Inc (Com)
None
326.
Splunk ,Inc (Com)
None
(from line 48)
327.
Donated
328. Bluefly lnc(Com)
Spinoff
None
(from line 19)
329.
Donated
330. Cyoptics Inc. (Com)
Spinoff
None
(from line 20)
331.
332.
MAP Pharmaceuticals lnc.(Com)
None
(from line 53)
333.
Donated
334.
Spinoff
None
(from line 54)
335.
Donated
336. Clovis Oncology Inc (Com)
Spinoff
None
(from line 215)
337.
338.
Donated
STAG Indus trial Inc (Com)
Spinoff
None
(from line 231)
339.
340.
Donated
Homeaway Inc (Com)
Spinoff
None
(from line 118)
J. Jncomc Gain Codes:
(Sec Columns BI and 04)
2. Value Codes
(Sec Colmnns Ci and 03)
A =$1.000 or less
6=$1.001-$2.500
c =$2.501 - $5.000
D =$5.001 - $15.000
F =$50.001 - $100.000
G =$ l00.00 I - S 1.000.000
HI =$1.000.001 - $5.000.000
112 =More than $5.000.000
J =$ l 5.000 or Jess
K =$15.001 - $50.000
L =$50.001 - $!00.000
M =$I 00.00I - $250.000
N =$250.001 - $500.000
0 =$500,00I - $1.000.000
Pl =$1.000.001 - $5.000.000
P2 =$5.000 .001 - $25.000.000
P4 =More than $50.000.000
P3 =$25.000.00I - $50.000.000
3. Va lue Mcrhod Codes
(Sec Column C2)
Q =Appraisnl
R =Cost (Real Estate Only)
S =Assessment
U =Book Value
V =Other
W =Estimated
T =Cash Market
E =$15.001 - $50.000
Page 25of28
McMahon, Colleen
vII. INVESTMENTs and TR usTS -
-
D
Date of Report
Name or Person Reporting
FINANCIAL DISCLOSURE REPORT
08/13/2013
income, value, transactions (/nc/11des those ofspo11se and dependent clti/dren; see PP·
34-60 offiling instr11ctions.)
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description ofAssets
Income during
Gross value at end
Transactions during reporting period
reporting period
of reporting period
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Type (e.g.,
Value
Value
Type ( e.g.,
Date
Value
Gain
Identity of
div., rent,
Code2
Method
buy, sell,
mm/dd/yy
Code2
Code I
buyer/seller
or int.)
(J-P)
3
(Q-W)
redemption)
(J-P)
(A-H)
Code
I
(A-H)
Code
( if private
transaction)
341.
Donated
342. Tactics JI CD! Series B Investors III LLC
None
0
u
Buy
11 /05/12
0
343. adTheorent Inc Convertible Promissory
None
K
T
Buy
09/14/12
K
None
N
T
Buy
02/29/12
M
Buy
09/20/12
L
Note)
344. 4DK Technology Inc (Ser B)
345.
(add'!)
346. Double Dog Dare MediaLLC (Convertible
None
J
T
Buy
10/04/12
J
347. Figue Holdings LLC (Promissory Note)
None
M
T
Buy
11/05/12
M
348. Jonathan Kully (Personal Loan-Notes
None
N
T
Buy
10/02/12
N
None
M
T
Buy
11/08/12
M
None
L
T
Buy
07/30/12
L
Promissory Note)
Receivable)
349.
JustFamily.Com,lnc.Ppreferred Stock)
J50. Kenesto Corp (Preferred C)
351.
MogilityCapital Fund LP
None
M
u
Buy
04/09/12
M
352.
OpenFin lnc.(Preferred Stock)
None
M
T
Buy
04/11/12
M
353. Remedy Pharmaceuticals Inc
None
0
T
Buy
05/08/12
0
354.
None
K
T
Buy
03/12/12
K
None
K
u
Buy
03/12/12
K
Tyrogenex Inc.(Ser B Convertible Preferred)
355. XCovery Holdings LLC
356. NYS Dorm 4
% Due 7/1/16
D
Interest
N
T
Buy
02/08/12
N
%
B
Interest
N
T
Buy
03/15/12
N
357. NYS MlgAuth 1.2
I. Income Gain Codes:
(See Columns Bl and D4)
2. Value Codes
(Sec Columns Cl and D3)
Due 4/l/16
A =$ l .000 or less
B =$1.001 - $2.500
c =$2.501
F =$50.001 -$100.000
G =$100.001 • $1.000.000
Ill =$l.000.001
J =$15.000 or less
K =$15.001 - $50,000
l =$50.001. $!00.000
M =$100.001
N =$250.001 -$500.000
0 =$500.00 I
Pl =$1.000,001
P2 =$5.000.001 - $25,000.000
•
$1.000.000
P3 =$25.000.001 - $50.000.000
3. Value Method Codes
(See Column C2)
•
$5.000
•
•
$5.000.000
$5,000.000
D =$5.001 - $15.000
H2 =More than $5.000.000
•
$250.000
P4 =More than $50.000.000
Q =Appraisal
R =Cost (Real Estate Only)
S =Assessment
U =Book Value
Y =Other
W =Estimated
T =Cash Market
E =$ J 5.001 - $50.000
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
Page 26 of28
McMahon, Colleen
VII. INVESTMENTS and TRUSTS
D
NONE
Date of Report
-
08/13/2013
income, vafite, transactions (/nclutfes those ofspouse anti dependent children; see PP•
34-60 offiling instructions.)
(No reportable income, assets, or transactions.)
A.
B.
C.
D.
Description of Assets
Income <luring
Gross value al end
Transactions during reporting period
reporting period
of reporting period
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
(I)
(2)
(I)
(2)
(I)
(2)
(3)
(4)
(5)
Amount
Code I
Type (e.g.,
Value
Value
Type (e.g.,
Date
Value
Gain
Identity of
div., rent,
Code 2
Method
buy, sell,
Code I
buyer/seller
( A-H)
or int.)
(J-P)
Code 3
redemption)
mm/dd/yy Code2
(J-P)
(A-H)
(Q-W)
A
Interest
0
T
Buy
03/2l/12
0
359. Mo nroeCounty NY 4 %Due6/l/15
D
Interest
0
T
Buy
04/23/12
0
360. NYSMuniBdBank5%Due2/15/14
c
Interest
N
T
Buy
06/26/12
N
361. NYSMtg5 %Due11/l/16
c
Interest
N
T
Buy
08/07/12
N
362. Batavia NY 4%Due 3/1/17
B
Interest
0
T
Buy
08/17/12
0
363. Dryden NY Cent School 4%Due6/15/16
c
Interest
N
T
Buy
08/17/12
N
364. NY NY 5 %Due9/1/13
A
Interest
N
T
Buy
08/17/12
N
None
M
T
Buy
08/27/12
M
D
Interest
0
T
Buy
08/27/12
0
367. NYSMtg2 %Due4/l/16
A
Intee
r st
M
T
Buy
09/04/12
M
368.
A
Interest
N
T
Buy
09/07/12
N
B
Interest
0
T
Buy
11/13/12
0
None
N
T
Buy
11/15/12
N
358. NYSDorm4 %Due 7/l/17
365. Rochester NY Unliited Tax 3.25%Due
(if private
transaction)
211116
366. NYSMuni B d 5 %Due 5/15/16
Hampton Bay NY 4%Due9/15/13
369. Buffalo NY 3% Due12/l/13
370.
East Rochester NY 3 % Due J 0/20/l5
371.
Gain Codes:
Columns Bl and 04)
I. Income
(See
2. Value Codes
(Sec
Columns Cl
and
D3)
A 41.000 or less
B =$1. 001 - $2.500
c =$2 .501 - $5.000
D =$5,001 - $15.000
F =$50.001 - $!00.000
G =$ l00.00 I - $1.000.000
HI =$1.000.001 -$5.000.000
112 =More than $5,000.000
J =$ l 5,000 or less
K =$15.001 - $50.000
L =$50.00! - $I 00.000
M =$ l00,00 I - $250.000
N =$250.001 - $500.000
0 =$500,00 I
I'! =$1,000.001. $5,000.000
P2 =$5.000,001
PJ =$25.000.001
3. Value Method Codes
(See
Column C2)
-
$1.000.000
- $50.000.000
Q =Appraisal
R =Cost (Real Estate Only)
U =Book Value
V =Other
P4 = More than $50.000.000
S =Assessment
W =Estimated
T �ash Market
•
$25.000,000
E =$15.001 - $50.000
FINANCIAL DISCLOSURE REPORT
Page 27of28
Date of Report
Name of Person Reporting
08/13/2013
McMahon, Colleen
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.
(lndicate partofreporl.)
Note#I
Explanation Re:Section VII ,
Item#' 8,9,25,35,36,37,38,45,49,52,55,56,58,65,82,86,87,93, I 07, 115,I 17,119,138, 149,156,157,182,193,202,203 209,229,234,260,275,296,297 ,309
The income from investments in Limited partnerships usually contain more than one type of income. For income valuation purposes,the various amounts were
combined to determine the amount code in column B(l )The type of income in column B(2)is labeled "distribution", to denote more then one categol)' of income
indicated on schedule K-1 received from the partnership.
Note#2
UlI\lili•,,y;;i\llllii�l'J�lililif:'tt?:d;I Ltd is a Sub -chapter S corporation owned
100%
�;-
The corporationd sold the secuities during 2012
corporate name
Note#3
Explanation Section VII
Item# 7,12
These investmennts are worthless as of December 31, 2012. The assets are listed as "Closed" in Column D(l). The date in Column D(2) is December 31, 2012.
The value in Colum D(3) is blank since no value was derived from the worthless investment. .
Note#4
Explanation Section Vil
Item # 149- 155, 157-175
is a Managing partner
or;:��•?U•U:••:.�ra1�·�·'.Jl�P andaJl.lk�'ll!l��- (GP) L� ,..The pa�n:rships ha�e owners �ip ����rests
costs of the
m the Gross value at the end of the reportmg penod md1cated on hoe# 149
LP Column C(l ) and line#
149 & 157 from line l 74 & 175..
GP) LP, Column C(I).In addition,the cost of the
E:•
the additional investments are
are listed on lines 162 thru 175..
Note#5
Explanation Section Vil
Item# 19,20,48,53,54, 118,215,231
The Limited Partnership distributed shares of securities that were purchased and held by the partnership. This infomration is noted as "Distributed" in Column
D(I). The date the shares were distributed is listed in Column D(2). The value in Column 0(3) is the distributee's pro rata share of the aqusition cost
of the assets
by the Limited Partnership , as reported by the General Partner . The transfer relates only to the specific security The entire partnership was not transferred.
Note#6
Explanation Section VII
Item# 326,328,330,332,334,336,338,340
These securities were not purchased but were received from time to time as in -kind distributions from the various Limited Partherships. These securities are listed
as "Spinoff' in column D(l ).The date in column D(2) is the effective date of the distribution. The Value in Column D (3) is the distributee's pro rate share of the
acqusition costs
of the assets by the Limited Partnership , as reported by the General Partner.
,.
FINANCIAL DISCLOSURE REPORT
Page 28of28
Name of Person Reporting
M cMahon, Colleen
Date of Report
08/J 3/2013
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is
accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory
provisions permitting 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 of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature:
s/ Colleen McMahon
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL
AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
Committee on Financial Disclosure
Administrative Office of the United States Courts
Suite 2-301
One Columbus Circle, N.E.
Washington, D.C. 20544
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