"~-

Ao 10 R~. 1/2010

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization US District Court MI (Eastern) 5a. Report Type (check appropriate type) [] Nomination, [] Initial Date ,t_r_a~ Annual [] Final

Rwortin GovernmentRequired Actb

(5 u.s.c, app. 1o1-111)
3. Date of Report 04~22/2010 6. Reporting Period 01/01/2009 to 12/31 I2009

Person Reporting (last name, first, middle initial) Ludington, Thomas L. 4. Title (Article IIl judges indicate active or senior status; magistrate judges indicate full- or part-time) U. S. District Judge

7. Chambers or Office Address U. S. Courthouse 1000 Washington Avenue Bay City, MI 48708

5b. [] Amended Repor~ 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on la~t page.

I. POSITIONS. :~,vorti,g i.aivid.~l ooty; ~e~ W. 9-t~ of ~ling instructions.)

D NONE (No reportablepositions.) POSITION
1. 2. 3. 4. Director Director Trustee Director

NAME OF ORGANIZATION/ENTITY
R.M. Gerstacker Foundation Saginaw Valley State University Foundati~ Albion College Thomas L. Ludington Foundation F--"

II. AGREEMENTS. (Reporting individual only; seevp. 14-16 of filing instructions.)

[~ NONE (No reportable agreements.) DATE
1.01/01/03 Michigan Judges Retirement System

PARTIES AND TERMS

Ludington, Thomas L.

FINANCIAL DISCLOSURE REPORT Page 2 of 2i

Name of Person Reporting

Date of Report

04122/2010

[ Ludington, Thomas L III. NON-INVESTMENT INCOME. (Reporting individualand spouse; seepp. 17-24 of filing instructions.)
A. Fliers Non-Investment Income
~-~ NONE (No reportable non-investment income.)

DATE
I. 2009 Federal Court Salary

SOURCE AND TYPE

INCOME
(yours, not spouses) $165,000.00

B. Spouses Non-Investment ! ncome - if you were married during any portion of the reportingyear, complete this sectio~
(Dollar amount not required except for honoraria.)

[~

NONE (No reportable non-investment income.)

DATE

SOURCE AND TYPE

IV. REIMBURSEMENTS - transportation, lodglng, food, entertainment.

(Includes those to spouse aM dependent children," see pp. 25-27 of filing instructions.)

[~]

NONE (No reportable reimbursements.) SOURCE DATES

November 6-12,2009

LOCATION
Arlington, VA

PURPOSE
Conference

ITEMS PAID OR PROVIDED

Air travel, ground transportation

I.

George Mason University School of Law

FINANCIAL DISCLOSURE REPORT Page 3 of 21

[ N .... I

fPerson Reporting

Date of Report

Ludington, Thomas L.

04/22/2010

V. G ~ FT~ (~nc~udes th~se t~ sp~use and de~endent chi~ren; see pp. 28-31~f ~ling insructi~ns)

NONE (No reportable gifts.) SOURCE

I. 2. 3.
4.

DESCRIPTION

VALUE

5.

VI. LIABILITIES. a,,~t,,d~ t~os~ o~ou~ ~n~ d~.z~n, ~; ~,, ~. 3~-33 of ~lit~g i~,~lr~ctiotl&)
NONE (No reportable liabilities.) CREDITOt{
1.
2. 3.

DESCRIPTION

VALUE CODE

4. 5.

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting Ludington, Thomas L.

Date of Report 04/22/2010

Page 4 of 21

VII. INVESTMENTS and TRUSTS - i~o~, ~t~, ,,~,io~ a~d~ ~o~ o/~o~ ~ d~, children; see pp. 34-60 of filing instructions.)
NO~E (No reportable income, assets, or transactions.)
........... A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure [ B. Income during [A reporting period (2) 0) mount Type (e.g., [Code I div., rent, i (A-H) or int.) ~ C. Gross value at end of reporting period 0) ] (~) 0) Value Value Type (e.g., Code 2 Method buy, sell, (J-P) Code 3I redemption) I (Q-W) [ 1. 2. 3. 4. 5. 6. Chemical Bank & Trust (checking & savings) Dow Chemical Employees Credit Union TD Ameritmde Money Market Merrill Lynch Money Market Amgen Stock Covance Stock A A A A A A Interest Interest Interest Interest Dividend Dividend K K L J J K T T T T T T D. Transactions during reporting period (2) Identity of Date Value Gain mm/dd/yy Code 2 Code 1 buyer/seller (J-P) (A-H) (if private laansaetion)

7.
8. 9. 10. |1. 12. 13. 14. 15. 16. 17.

Coruing Stock
IBM Stock Quest Diagnostics Stock Chemical Financial Stock Petoskey MI Condo Am Cent Real Est (Dow Savings Plan) KKL 401K Fidelity Contrafund (Dow Savings Plan) KKL 401K Fidelity Diversified lntl (Dow Savings Plan) KKL 401K Growth Equity (Dow Savings Plan) KKL 401K Interest Income Fund (Dow Savings Plan) KKL 401K Vanguard Convertible Sec (Dow Savings Plan) KY-.L 401K

A
A A B

Dividend
Dividend Dividend Dividend None None None None None None None

L
K K K M .I L K K M K

T
T T T W T T T T T T

I. Income Gain Codes: (Se Columns BI and I)4) 2. VaGue Codes (S~ Columns CI and D3) 3. Value Method Codes (Se~ Column C2)

A ~$1,000 or less F ~550,001 - $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 =51,001 - 52,500 G =5100,001 -$1,000,000 K =515,001 - $50,000 O =$500,001 - $I,0~1,000 R ~2os! (Real Estate Only) V =,Other

C =52,501 - $5,000 HI ~$l,000,00l - $5,000,000 L =$50,001 - $ 100,000 P! =$I,000,001 - $5,000,1)00 P4 =More than $50,000,000 S =Assessment W =Estimated

D =55,001 - 515,000 H2 =More than 55,000,000 M -5100,001 - $250,000 P2 T --Cash Market

E =515,001 - 550,000

""

FINANCIAL DISCLOSURE REPORT Page 5 of 21

I ~me of Co,son Repo~Ung

D~te
~2010

Ludington, Thomas L.

VIL INVES TMEN TS and TRUSTS - ~.~o~, ~lue, t .....

NOHE ~o reportable income, ~sets, or tra~vactio~.)
Description of Assets (including t~st ~ets) P~a~ "(X)" a~r ~h as~t exert ~om prior disclosure [ In,me d~ng reining peri~
Amo~l [ T~ {e.g.,

tions ancludes those ef ~ .... d dependent children; see pp. 34-60 of f!llng t~truc~o~)

Gro~ value at end of repofling Valu~ Code 2 (J-P) Value Me~h~ C~c3 (Q-W) T T T T T T T T T T T T T T T T T Sold (P~) Ty~ (e.g., buy, ~1t, ~demption)

T~sactions during ~ing

C~e I [ div., ~n% ] (A-H) [ ~ orin~) ~

~ Da~ Valu~ Gain ~ ~ m~d~ ~ C~e 2 ~ C~e 1 ] (J-P) ~ (A-H) ~

fd~ of ~y~tselier (ifpfiva~ ~n~etion)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33.

Vang~rd Glo~l Equi~ (~w Savings PI~) ~ 401K SS~ S~ble Value - State of Michigan 457 PI~ (TLL) SSgA S~ble Value - State of Michigan 401K pl~ (~L) PIMCOTotal Ream - State of Michigan 401K pl~ (~L) MFSTotal Ream - State ofMichig~ 401K pl~ fiLL) Dodge ~d Cox Stock - S~te of Michig~ 401K pl~ (TLL) Lord Abbett Mid~ Value A; Sm~ of Michig~ 401K (TLL) RidgeWo~ FunAs - State of Michigan 40~ ~ (~) American F~ Europacific Gr - State of Michig~ 401K (~L) Chemical B~k Savings- FBO #1 Federated Balanced (CFC) - FBO #1 MI Edu Savings Program - FBO #1 Chemical Bank Savings - FBO f12 MI Edu Savings Plan - FBO #2 Schwab Money Market AIgerHlth Sci Fund Canadian Tire Corp A A A A A

None None None None None None None None None Interest Dividend None None None lnteresl None Dividend

K K K K K K K K K K K L J L K J J

03/05/09

1. Income Gain Codes: (S~ Colurrms BI and D4) 2. Value Codes (S~e Columns CI and D3) 3. Value: Method Codes (S~: Column C2)

A ~$1,000 or lets F J =$15.000 or less N =$250.001 - $500,000 P3 =$25,000.001 - $50,1)00.000 Q =Appraisal U -Book Valu~

B ~il.00t - $2.500 K =$ I 5,001 - $50,000 O ~$500,001 - $1,000.00~ R =Cost (Real Eshate Only) V =O~her

C ~$2.501 - $5.000 L =$50.001 - $!00,000 PI =$1.000.001 - $5.000.000 pa =More than $50,000.000 S ~As.sessmcnt W .~F.~t irnated

D =$5,001 - $15,000 M =$100,~ I - $250,000 P2 =$5,0(KI,001 - $25,000,000 T --C~h Market

E =$15,001 - $50,0~0

FINANCIAL DISCLOSURE REPORT Page 6 of 21

N .... f Person Repo[ting

Date of Report 04/22/2010

Ludington, Thomas L.

VII. INVESTMENTS and TRUSTS - iocome, vat.e, t ..... tions (Includes those of ap .... and dependent children; ~ee pp. 34-60 Of filiog instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assetz) Place "(X)" after each asset exempt from prior disclosure l B. ~I Income during I reporting period (i) (2) I Amount Type (e.g., [ Code ] div., rent, or int.) i (A-H) [ I C. Gross value at end of reporting period O) Value Code 2 i (J-P) (2) Value Method Code 3 (Q-W) T T FBR Gas Util Index Fund FBR Small Cap Fund Fidelity Slct Portf Fund First Eagle Overseas A Fund A A A A Dividend Dividend Dividend Dividend J J J K T T T T T Franklin Templeton General Dynamics, Inc J B Hunt Transport Svsc A None Dividend None J T T Buy (addl) Sold Johnson Controls, lnc L-3 Communications, lnc Lowes Companies, Inc Meridian Value Fund A A None Dividend None Dividend K T T MFS Utilities Fund None J T J" T Sold Buy (addl) Sold 03/05/09 03/05/09 11/10/09 J J J A A Sold 03/05/09 11/10/09 03/05/09 J J J C Sold Buy 03/05/09 11/10/09 03/05/09 J J K (i) Type (e.g., buy, sell, redemption) , D. Transactions during reporting period ! (2) 1(3) (,~) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) i Sold 07/08/09 1 I/10/09 J J (s) Identity of buyer/seller (if private transaction)

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

(part)
Sold (part)

(pan)
(addl)
Sold

(part)

I. Income Gain Codes: ........ A=~ Ii~O--o-rl~ F =$50,001 - $100,04)0 (S Colurtlns B I and D4) J =$15,000 or less 2. Value Codes N =$250,001 - $500,000 (See Colanms CI and D3) P3 =$25,00(I,001 - $50,000,000 Q =Appraisal 3. Value Method Codes (See Colur~ C2) U ~Book Value

B =$1,001 - $2,500 G =$1~0,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,~00,000 R ~:ost (Real Estate Only) V ~)ther

C =$2,501 - $5,000 HI :$1,000,001 - $5,000,0~0 L =$50,001 - $ 100,000 PI =$I,000,001 - $5,000,000 P,~ =More ban $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than M =$I00,001 - $250,000 P2 =$5,000,0OI - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT

N .... fPerson Reporting

Date of Report

Page 7 of 21
VII. INVESTMENTS and TRUSTS - income, value, t ......
D

Ludington, Thomas L.

04/22/2010

tions (Includes those of sp ...... d dependent children; see pp. 34-60 of filing instruction~)

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

AI Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period Amount Code I (A-H) Type (e.g., div., rent, or int.) _] C. Gross value at end of reporting period Value Code 2 (J-P) Value Method Code 3 (Q-W) T T Seligman Comm Fund United Health Group, Inc Vanguard Energy Fund A None None Dividend K T T Vanguard Spc Hlth Fund Amcent: Intl. Disc Fund None None J T T K T Type (e.g., buy, sell, redemption) D. Transactions during reporting period

[ Date l mm/dd!yy i [ 04/03/09 I 1/I 0/09 11/10109 03/05/09 07/08/09 11/10/09 03/05109 03/05/09 07/08/09 07/08/09 1 t/10/09 11/10/09 03/05/09 ] 11/10/09

Value Gain Code 2 I Code I [ (J-P) [ (A-H) i J J J J J J J J J J J K J J C C A

Identity of buyer/seller (if private transaction)

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.

Royce Low-Priced St Fund

None

Buy (addl) Sold (part) Sold

(pan)
Sold Buy (addl) Sold

(part)
Buy (addl)

(part)
Sold

Sold

Dodge & Cox Intl Stock Fund

Dividend

T T

(p~)
Sold (part) Sold

Sold

Julius Baer Intt Eqty (now Artio Intl Eqty Fund A) MFS Intl New Discovery A Fund

None None K T T

Sold (part) Sold

(part)

Morgan Stanley lnst Intt Real Estate Fund T Price Media & Tel Fund

None None

K K

T T T Sold (part) Sold (part) 03/05/09 07/08/09 J J A A

FINANCIAL DISCLOSURE REPORT Page 8 of 21 VII. INVESTMEN TS and TRUSTS - i. ...... ................................................. 2. .........................~ .... ~
~scfiption of As~s (incl~ing t~t ~ts) Place "(X)" after ~h ass~ exempt from prior disclo~ ........................ ~ ............................... 69. Income during ~[ ~poaing ~fiod [

~ .... fP .... Reporting Ludington, Thomas L.

DatenfReporl

04/22J2010

I.~, t ...... lions (lnelude~" those of sp ..... d dependent children; see pp. 34-60 of filing instructions.) c.
Gross value at end of reposing period Value Code 2 (J-P) Value Me~od Code 3 (Q-W) T~ (e.g.; buy. sell, redemption)

[~] NONE (No reportable income, assets, or trar~actions.)

- ................. ~ ...........................
Tmnsac6ons d~ng m~ing ~riod

~ Amount [ "ly~ (e.g., C~e I ~ div., rent, (A-H) [ or mr.) ~ ........ L .........

Gain j Date ~ Value ]m~d~ ~ C~e 2 Code I (A-H) ~ (J-P) ~

Identi~y of bayer/seller (ifpfvate t~n~ction)

Sold

11/10/09

(pan)
70. ATCO Ltd Cl~s I A Dividend J T Sold 03/05/09 J C

(P~)
71. T Buy

(arial)
Sold

07/08/09

72.

11/10/09

73.

B~ofNova Scotia

Dividend

Buy

03/05/09

(addl)
74. T l Sold ~old 07/08/09 J B

75,

~a~)
76. Pe~o-O~ada A ~ivi~d Sold

77. Power Financial Corp

Sold

07/08/~ J

78.

Dividend

(part)
(p~)
Buy (addl) Sold Sold

Sold

11/10/09

79.

Shoppers Drug Mart Corp

Dividend

03/05/09

80.

T Suncor Energy lnc

I 1/10109

81,

None

03/05/09

(part)
82.

Sold
Harris Cap PFD A Dividend J T

07/08/09

83.

84.
85.

Permian Basin Royalty Tr

None

T
T

Buy (addl)

03/05/09 J
07/08/09 J

(pan)

Sold

FINANCIAL DISCLOSURE REPORT Page 9 of 21 VII. INVESTMENTS and TRUSTS -i ....

NameofPerson Reporting Ludington, Thomas L.

DateofRepor~ 04/22/2010

e, value, t ..... tions (Includes those of sp ...... d dependent children; seepp. 34-60 of filing i~structiong)

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

Description of Assets (including trust assets) Place "(X)" aft .... h asset [ I Income during reporting period Gross value at end of reporting period

I
I

Transactions during reporting period

~(i)
I Amount

(2)
Type (e.g.,

(l) ]-(2)
Value

Value

! (1)
[

(2) : (3) (4)

Date : Value i Gain i J J

(5)
Identity of

Type (e.g.,

I
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. Plains All American Pipelines None None K NuStar Energy None K Magellan Midstream None K Sabine Royalty Trust San Juan Basin Royalty None None K Cenovus Energy Inc EnCana Corp A A Dividend Dividend J J

/(Q-w~ [
T T T T T T T Buy (addl) Buy (addl) Spinoff (from line 89) Buy Sold (pro)

~
07/08/09 12/08/09

j.

transaction)

07/08/09 11/10/09 11/10/09 07/08/09 ! l l/l 0/09 03/05/09 07/08/09 07/08/09 03/05/09 11110/09 03/05109 03/05/09 07/08/09 11/10/09

J J J J J J 1 J 1 J K J J J C B A

(addl)
Sold

Buy

(part)
Sold

T T T T T

Sold (part) Sold (part) Buy (addl) Sold (pa~) Buy (addl) Sold

100. Sunoco Logistics Partners I 01. 102.

T T T

Sold (pa~) Buy (addl) Buy (addl)

I. Income Gain Codes: (See Colunms BI mad D4) 2. Value Codes (S~ Columns CI and D3) 3. Value Method Codes (Se Colunm 02)

A =$1,000 or less F =$50,001 - $100.000 J =$15,1100 or less N =$250,001 - $500.000 P3 =$25,00~,001 - $50,000.000 Q =Appraisal U =Book Value

B :$1,001 - $2,500 G =$100,001 - $1,1~)0,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R -Cost (Real Estate Only) V =O~-r

C =$2.501 - $5,1300 HI =$1,000,001 - $5,000,000 L ~$50,00! - $100,000 P1 =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5.001 - $15,000 H2 =More than $5,01)0,000 M =$100.001 - $250,000 P2 =$5.000,001 $25,000,000 T -Cash Market

E =$15,001 - $50.0~O

FINANCIAL DISCLOSURE REPORT Page 1 0 of 2 1

NameofPersonReporting

DateofReport

Ludington, Thomas L.

04122/2010

VII. INVESTMENTS and TRUSTS. income, value, transactions (Includes those of spo ..... d dependent children; see pp. 34-60 of filing instructions.)
[] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during , reporting period - (1} ---~Amount I Type (e.g., Code I I div., rent, (A-H) ]or int.) .... 103. AMB Property 104. C & S Realty Fund 105. 106. Energy Transfer Partners 107. Entertainment Pptys Tr 108. 109. Health Care Ppty Inv, lnc 110. I I 1. Home Properties of NY I 12. ! 13. 114. Prologis 15. SL Green Realty 16. 17. 18. Weingarten Realty htv 119. Thornburg Intl Value Fund A A Dividend Dividend K T A None Dividend K T T T None K A Dividend K B None Dividend K K A None Dividend K T T T T T T T T T T C. I! Gross value at end of reporting period ~ (1) [ (2) Value Value Method I[ Code 2 [ (J-P) Code 3 (Q-W) i D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) -- "-i~"~" (3) (4) Date [ Vaue Gain mm/dd/yy[ ICode 2 Code I (A-H) I (JP) ] Sold Buy (addl) Buy (addt) Buy Buy (addl) Buy (addl) Sold 07/08/09 07/08/09 11/10/09 1 I110/09 03/05/09 11/10/09 03/05/09 07/08/09 03/05/09 07/08/09 11/10/09 03/05/09 03/05/09 07/08109 I l/10/09 07/08/09 03/05/09 J J J K J J J J J J J J J J J J J C (5) Identity of buyer/seller (if private transaction)

(part)
Buy (addl) Sold Buy

(part) (addl)
Buy (addl) Sold Sold

(part)
Buy (addl) Sold (part) Sold Sold

(part)

FINANCIAL DISCLOSURE REPORT Page 11 of 21

Name of Person Reporting Ludington, Thomas L.

Date of Report 04/22/2010

VII. INVESTMENTS and TRUSTS - i .... e, ~atue, t ...... tions anctudes ,hose of spo ..... d dependent children; sec pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.) A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure : [ i B. Income during reporting period ~ C. i Gross value at end i of reporting period Value : Code 2 " ..... ~.. ............................. Transactions during ~eporting period

i (2) I(,)
[ Value Method Type (e.g., buy, sell,

(5)
Date Code 2t Gain mmidd/yyi~Value [Code 1 Identity of buyer/seller

Amount ~ Type (e.g., i Code I ! div., rent,

120. 121. American Gen Fin - Bond 12/15tll B A Interest Interest None A Interest None None A A Interest Interest K K K K J

T T T

@art)

Sold

07108/09

122. American Gen Fin - Bond 6/15/10 123. American Gen Fin - Bond 6/15/09 124. Bank Georgia CD 2/17/09 125. BerkshireHathaway- Bond 8/15/I 3 126. Caterpillar Fin - Bond 2/I5/09 i27. Caterpillar Fin - Bond 7/15/10 128. Caterpillar Fin - Bond 7/15/12

Matured Matured T Buy Matured T T

06/15/09 02/17/09 04102/09 02/15/09

J J K K

129. Dayton OH - Bond 10101/09

130. Fairfax Cnty VA - Bond 6/01t09 131. GE Capital Coo-Bond 11/14/14 132. John Hancock - Bond 2/15112 133. Letunan Bank - Bond 1118/12 134. Merrill Lynch -Bond 3/15/11 t35. NStar Elec Co - Bond 5115/10 136. NStar Elec Co-Bond 5/15/10

A
A

Interest
Interest None K J J K L J T T T T T T

Matured
Matured Buy

10/01109
06/01/09 I 1/20109

J
J K

Interest None

A C

Interest Interest None

I. Income Gain COdes: (See Columns B I and IM) 2. Value Codes (See Colu~t~ C I and D3) }. Value Method Cod~s {See Column C2)

A =$ 1,000 or less F =1:50,001 - $ I1~0,000 J ~$15,000 o l~s N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,0~0 Q =Appraisal U =Book Value

B =$ 1,001 - $2,500 G =$100,00I - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,00~ R =Cost (Real Estate Only) V ~Other

C =$2,501 - $5,000 H I =$!,000,001 - $5,000,000 L =$50,001 - $t 00,000 Pl =$1~000,00t - $5,000,000 P4 =More than S =Assessment W =Estimated

D =$5,001 - $15.000 H2 =More than $:5,000,000 bl =$100,00! - $250,000 P2 =$5,0(10,001 - $25,000,000 T =Cash Market

E =$ ! 5,001 * $50,0~O

FINANCIAL DISCLOSURE REPORT N .... fPersonReport~ng Page 12 of 21 Lu dlngton, Thomas L.

VII. INVESTMENTS and TRUSTS - inco,~, va~u~, t
~ NONE (No reportable income, assets, or transactions.)
.................. ~ ...................... ~scription o~ Asse~ (including t~ a~ets) l lace"(X)"afiereach~t exempt from prior dl~logure B. lnco~ne dur~g re~ng peri~ ,~Amum~ Ty~(e.g.. [LA-H) [ [ 137. PPG Indus~es - Bond 8/I$/09 138. Principal Life - ~ond 6/I~/2012 139. Pm~ctive Life - Boad 7/I$II0 140. Pue~ Rico-Bond 811/II 141. Rb~elsl~d -Bond 10i0l/~ 142. S~den ~ngdom - ~ond 4/I/09 143. Leman Bros B~k CD 12/7/09 144. Ldunaa Bros Bank CD l ~7/~ 145. General Motors Ace - Bond 5/15/09 146. Household Finite - Bond 1~15/11 147. tiSBC-Bond 7/15/~2 148. HSBC - Bond 7115/12 t49. Indima H~al~ - Bond 1 l/l 5/I0 150. Anchor Life Policy 15 I. Trust Mark Lif~ Policy 152. lndimapolis Life Poliw 53. MetLife Policy B A A B A orint) " C. [ Gro~ value a~ end ~ of reposing Value (J-P) Value C~e3 W T~(e.g., =de=ption) D. T~ctions during ~ing ~riod

Date of Repor! 04/22/2010

~ ~te

~ Value Gain :

Identi~of {ifpfivate .

~
08/I$/09

~O-m ;(A-H) ~ ~ t

A A A A k

Interest interest Imerest Interes~ In~erest ~on~ None Interest Inter~t Interest ln{erest None Interest None None None None K J J K K L K K T T T T T T T T J J T T

Matored Sold

I ~[I ~/09~ J

Buy ~a~

07/08/09 I0/0~109

J J

Mamr~ Mamr~ Mamr~

1 2/07109 1 ~07/09 05/I 5/09

J J J

1. Income G~in Codes: (See Columns B 1 and D4) 2. Val~ Codes (See Columns C 1 and D$) 3. Value Melhod Codes (set Coltmm C2)

A =$1,0OO ot less F =$50,OO1 - $100,000 J ~$15,000 or less N =$250,001 - $500,0OO P3 =$25,000.OO1 - $50,0~0,000 Q =Appraisal 13 =Book V~lue

B =$1,001 - $2,5~0 G =$100,~OI - $1,00~.000 K =$15,001 - $50,000 O =$500,0OI - $1,000,000 R =Cosl (Real Eslat~ O~ly) V =O~her

C --$2,501 - $5,OO0 HI =$1,000,0OI - $5,0~),000 L =$50,0OI - $100,0~O PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,00| - $15,OOO H2 =More than M =$tO0.O(Jl - $250,1300 P2 =$$,00~J,0~1 - $25,0OO,0OO T =Cash

E =$15,00! - $50,000

"

FINANCIAL DISCLOSURE REPORT [ Name of Person Reporting

Page 13 of 21 Ludington, Thomas L.

Date of Report
04/22/2010

VII. INVESTMEN TS and TRUSTS - i.eome, ~.tueo transactions (Includes ,hose of spouse and dependent children; see pp. 34-60 of filing in, struetgons.J
~-] NONE (No reportable income, assets, or transactions.)

................................ ~ ............... [ ..............-ill ......

Description of Assets (inchldiug wast assets) [ ] Income duriv.g reporting period

~
i O)

c.
(2)
V,due Method Code3

...................~ ....................................
Transactions during reporting period

i Gross value at end i [ of reporting period

i (~) l t2)
Phce "(X)" after each asset exempt from pr or disclosure i Amount [ Type (e.g., i Code I / div rent, i(A-rI)!i orint.)

(~)
Type buy se I reaemption)

, Value i Code 2 i (!-P)

(e.j., I ~e i Value I Gain

I (~) ; (3/ [ (4) t

(5)
Identity of buyer/sailer (ifpfivate

!mmtddd)3 I Code 2 i Code 1 ! I(J-P) [A-H)I

154. Oakmark Equity & Income I Fund 155. 156. 157. Capmark B,mk CD 7123/12 158. Discover Bank CD 9/24/13 159. GE Capital Fin CD 9/18/12 160. GE Money Bank CD 11/20/12 161. Goldtmm Sachs Bank CD 11/19/13 t62. Goldman Sachs Bank CD 12/17/t3 163. Waehovia Bank CD 9/30/13 164. Westerobank CD 11/20/14 165. Westernbank CD 11/20/14 166. Wright Express Fin CD 12/15/09 167. 168. Firstbank Puerto Rico CD 10/22/09 169. 170. Boardwalk Pipeline Partners A A

None None None None Interesl None None None None None Interest None None J K J J L K J L K

T T

Buy Sold (part) Sold

03/05/09 07/08/09 11il0/09 07/15/09 103/06/09 12/09/09 11/16/09 03/06/09 07/09/09 07/13/09 I I/t3/09 11/12/09 07t09/09 12/15/09 07/14/09 10/22/09 03/05/09

K J J J K J J L K J L K K K J J K B B

T T T T T T T T T T

Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy Sold

None

Buy Matured

None

Buy

(.S~ Colunm~ BI and D4) 2. Value Ced~ (See Coltmms CI and D3) 3. Value Method Codes ~Sce Colunta C2)

F =$50,001 - $100,000 J =$15,1100 or less N =$250.001 - $500,000 P3 ~$25,000.001 - $50,000,N10 Q ~Appraisal U =Book Value

G -$100,001 - $1,0t/O,000 K ~$|5.001 - $50.000 O =$$00.lYJ I - $1.000,0~0 R -~ost (Real Estate Only) V =Other

H 1 =$1,000,0Ill - $5,000,0~0 L =$50,001 - $100,000 P1 =$|,00~3,001 - $5.000,000 P4 =More than $50,l?00.000 S =Asse~ment W =Estimated

H2 =Mor~ than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,0~0,000 T =Cash Maxket

FINANCIAL DISCLOSURE REPORT Page 14 of 2 1

] ~ameO~rer~on Reporting
[ Ludington, Thomas L.

Dat~ofR~po.
~/22/20t0

NONE ~o reportable income, assets, or ~a~actions.)

Descfption of As~u (including trust a~) Haee"(X)"afiereach~t exempt from prior disclosure ~ :: Income d~ng ~aing ~fi~ Ty~(e.g., div., rent, orint.) Gro~ value at end of r~oaing pefi~ Value ~ Value C~e 2 Meth~ (J-P) [ Code3 1 (Q-W) T ~ T~(e.g., ~ buy, ~11, [ ~demption) Transactions ~fing repoaing period

L~mount C~e I (A-H)

/ Date [Value [ Gain ~ m~dO~ C~e 2 ~ C~e I ] ~ (J-P) [ (A-H) ~ ~ : ~ [ ] 07/08/09 1 i/10/09 11/10/09 J K J D A

ldentityof buyer/sell~ (if private t~a~~ion)

171, 172. 173. Royce Petm Mutual Fund 174. Schwab Money Market - FBO # 1 175. FBR Small Cap Fncl Fund - FBO #1 176. First Eagle Overseas A Fund-FBO# l 177. A A A Dividend None Dividend Dividend J J J J

Buy (addl) Sold

T T T T T

Sold (part)

Sold (part) Buy Sold Sold Sold

11/12/09 { 03/02/09 07/07/09 03102/09 : { 1/12/09 03102/09 03/03/09 03/02/09 07/07/09 1/12/09 03109/09 03/02/09 11/12/09

J J J J J J J J J J J J J A A A

"
17g Magellan Midstream - FBO#1 179. Seligman Comm Fund - FBO #l 180. SL Green Real~ - FBO #1 181. MF8 lntl New Discover2,. A Fund - FBO #l 182. Stratlon Sm Cap Value Fund-FBO#I 183. 184. 185. Thomburg lntl Value A Fund - FBO #1 186. William Blair Intl Gr Fund - FBO #1 187. Morgan Stanley lnst lntI Real Est - FBO #1 A A Dividend None Dividend J J A A Dividend None None Dividend None J J J J

(part)

T T

(pm)
(part)
Sold

T T T T T

(pan)
Buy Buy (addl) Sold (part) Sold (part) Sold

Sold

Sold

(part)

l,

Colu~s C md

P2

FINANCIAL DISCLOSURE REPORT Page 15 of 21 VII. INVESTMENTS and TRUSTS -

NameofPerson Reportiug Ludington, Thomas L.

DateofReport

04122/2010

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

A.
De~dption of As~ts (including w~t ~se~) Place "(X)" afi~ ~ch ~t exempt from ~ior disclo~m

- ........
Income ~ng [ rep0aing peri~ Amount Ty~ j Code I ] div., renL ~ (A-H) I orint.) Gro~ value at end of" r~oning T~nsaetions d~ng reining ~ri~

C~e 2 (J-P)

Me~ ~ Code3

~uy, ~11, redemption)

m~d~ :

C~e 2 (J-P)

C~e 1 (A-H)

buyer/seller (if private

188. Vanguard En~ Fund - FBO # 1 189. 190, ATCO Ltd CIm~s I - FBO #1 19 I. Petro-Canada FBO #1 192. Power Financial CoW - FBO #1 193. American Gen Fin - Bond 5/15110-FBO#I 194. Cme~il[~ Fin - Bond ~! 5/I 1 -FB~I 195. Honeywell lntl lnc - Bond/FBO #1 8/I/09 196. Bac Cap "1 I1 - FBO #1 197. Harris Cap - FBO #1 198 C & $ Realty [nc A Fund - FBO #l

Dividend

T T

Sold

07/07/09 11/1~09 07/07/09 07/07/09 11/I ~

J J J J J

A A

~m)
Sold (pa~) Sold (pan) Sotd J K K T T T Matured Sold J J T T Sold (part) Sold J J T T T J J T T Buy Spinoff (from line 202~1 Buy Sold 07/07/09 I112/09 03/02/09 J J J A 11/12/09 07/07/09 07/07/09 J J J 08/01/09 10/28/09 K J B Sold

Dividend None

A A

A A A

Dividend Interest Interest None

~m)

A A A

Dividend Dividend Dividend None

199. Home Properties of NY-FBO#I 200. Avalon Bay Communities Inc-FBO#l 201. Cenovus Energy-FBO#t 202. EnCana Corp-FBO#I 203. 204. Firstbank Puerto Rico CD-FBO#I 7/11t13 A A A A

Dividend Dividend Dividend None Interest

(part)
Buy

I. Income Gain Codes: (See Colum~ BI and D4) 2 Value Codes (S Columns CI and D3) 3. Value Method Codes (S.e Column C2)

A =$I.000 or Ics~ F =$50,001 - $100,000 J ~$ I 5,000 o~ less N ~$250,001 - $50~,000 P3 ~$25,000,0OI - $50,000,0~0 Q ~Apprdsal U =Book Valu~

B ~$i,001 . $2.~ G =$100,00l - $1,000,000 K =$15.001 - $50,000 O ~$500,001 - $1.0~0,000 R -~Cost (Real Estate Oniy~ V =(3thcr

C ~$2,501 - $5,000 HI =~;I,000,001 - $5,000,000 L =$50,001 - $100.000 P! =$l,000.00l - $5,0,90,00~ p4 =Mo~ ttum $50,000,0e0 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More thnn $5,0~0,000 M ~$100,001 - $250,00~ P2 ~$5,000,001 - $25,000.000 T .~.Cash Market

E =$15.001 - $50,000

FINANCIAL DISCLOSURE REPORT [ Name of Person Reporting Page 16 of 21 I

Date of Report

Ludington, Thomas L.

04/22/201

VII. INVESTMENTS and TRUSTS - ~,co,~, ,~t~e, transactions tlnCl,des tho~e of ~ouse end dependznt chil~en; see pp. 3-60 o/f!li~ i~truct~nx)
NONE ~o reportable income, assets, or transactions.)

Description of Assets (including trust ~mts) Place "(xy after ~ch asset exempt from prior ~losu~ ................................................... i 705. GEMoneyBa~CD-FBO#I 12/13/10 206. St Bank oflndia, NY,CD-FBO#1 9/26112 207. Wachovia Bank CD-FBO#1 8/15/13 208. Westernbunk CD-FBO#1 11/20/14 209. Ft. Walton DefBond-FBO#1 6/15/12 210. Schwab Money Market Fund - FBO #2 21 |. FBR Small Cap Fncl Fund - FBO #2 212. Meridian Value Fund - FBO #2 213. Seligman Comm Fund - FBO #2 214. Vanguard Energy Fund - FBO #2 215. MFS lntl New Discovery, A - FBO #2 216. Thoraburg Intl Value A - FBO #2 217. William Blair Intl Gr Fund - FBO #2 2t 8. ATCO Ltd Class 1 - FBO #2 219. Power Financial Corp - FBO #2 220. Honeywell Intl Inc - Bond/FBO #2 8/I/09 221. Stmtton Small Cap Value Fund-FBO#2

Income during ~ing p~

Gross value at end of repoaing ~aod

T~sactions during ~ing ~fiod [

; Amount T~ (e.g., Value Value C~e I div., r~ Code 2 Meth~ (A-H} : or int.) (J-P) C~e 3 (Q-W) A A A A Int~t Interest Interest Interest None None A A Dividend Dividend None A A A Dividend Dividend Dividend None A A Dividend Dividend Nooe None J T J J T T J J J J J J .1 .I J .I J .I T T T T T T T T T T T T

r- .......... .... ......I .....

~ T}~ (e.g., buy ~II, j ~em~tion) ~ Date ~ alue I Gal, j~d~ C~e 2 ~ CMe I (J-P) ~i (A-H) ~ [ ~ 08/17/09 08/04/09 08/04/09 11/13/09 0t/06/09 J J J J J

Identity of buyerlseller (ifp6vate t .... tion)

Buy Buy Buy Bny Buy

Sold

03/02/09

Matured Buy

08/01/09 03/02/09

J J

P3 =$25,~,~1 - $50,~,~ (~ Colu~ ~) U =~ V~ue V ~r

P4 =More th~ W ~E~ima~

FINANCIAL DISCLOSURE REPORT Page 17 of 2 1

Name of Person Reporting

Date of Report

Lud~ngto., Thomas L.

04/22/2010

VII. INVESTMENTS and TRUSTS - i .... ,, v~l,,, t ...... ,ions a.auae~ ,ho$~ o/~vo ..... a a~ae., c~ua~.; ~ ~. ~-~
~ NONE ~o reportable income, a~sets, or transactions.)

.......... ~
~scfiption of As~ (including t~t ~e~) Pia~ "~)" a~ ~ch as~t esempt l~om prior di~losm

""

c.
(t) T>~e (e.g., buy, sell, redemption) i

~ Gross value at end Income during repol~ing ~riod ~ of repoSing (2) (1) (2) , (1) , Amour T~ (e.g., Value Value ~Me I div., rant, C~ 2 Melh~ (A-H) or int.) (J-P) C~e3 i (Q-W) A A A A A A Interest Interest Dividend Dividend Dividend Dividend None A Dividend None None A A A Dividend Dividend Dividend J J J T T T T None J J T T J J J T T T J T

D.
Trausactions during ~e~r tiug (2) ~ (3) (a) Date [ Value Gain m~d~ty~ ~ C~e 2 Code I [ (J-P) (A-H) (~) id~li~ of buyerlse]]er (if pnvam ~=saction)

222. Me~[I L~ch Bond - FBO #2 3/291] I 223. Miami Dade Cnty - FBO #2 4/1110 224. Bac Cap Tr II - FBO #2 225. Sabine Royalty Tr - FBO #2 226. Magellan Midstream - FBO #2 227. C & S Realty Fund - FBO #2 228. Weingarten Realty - FBO #2 229. Sabine Royalty Trust - FBO #1 230. Alger Hlth Sci Fund - FBO #1 231. JB Hunt Transport Svsc - FBO # 1 232. MFS Utilities Fund - FBO #1 233. T Rowe Price Fincl Srvc Fd - FBO #1 234. Sunoco Logistics Partners - FBO # 1 235. 236. Royce Penn Mutual Fund - FBO # I

Sold

10/28/09

(part)
Buy (addl) Sold

Sold

03/02/09 07/07/09 07/07/09

Sold Sold (part)

07/07/09 I 1/12/09

J J A

(pan)
Buy (addl) Sold

Sold

03/02/09 07/07/09 03/02/09

237. Alger Htth Sci Fund -FBO #2

238. First Eagle Overseas A Fund-FBO#2 A

None
Dividend

J
J

T
T Buy 03102/09 J

(See Colunms BI and I)4) (S* Coluran~ C I and D3)

F =$50,001 - $100.000 N =$250,00] - $500,000

G =$100,001 - $1,e~.00~ O ~d;500,001 - $ 1,000,000

H I =$1,000,001 - $5,000.000 P I =$ 1,0~0,001 - $5,000,000

H2 =Mote ~an P2 =$5,000,001 - $25.000,090

FINANCIAL DISCLOSURE REPORT Page 18 of 21

[ Name of Person Reporting

I[ Ludington, Thomas L.

Date of Reporl 04/22/2010

VII. INVESTMENTS and TRUSTS -i~com~, vulue, , ..... tions (Includes ~hose of sp ..... d dependent children; see pp. 34-60 of 3~dlng
~0~ ~0 reportable income, assets, or tra~actions.)

~scfip~ion ofA~s (including t~t a~s)

.~ Income d~ng ~ reposing period ~C~ I ~ di ...... ~

Gross value at end [ of reposing period

Transaclio~ during ~ing

en~pt~mpriordi~lo ....

~ Cod2 ] M~lhod ]

buy, seII,

[m~d~ C~e2 ~ C~ 1 ~

buyer/s~ller

239. Capital One CD - FBO ~2 9/4/12 240. MFS Utilities Fund - FBO #2 241. T Rowe Price FincI Srvc Fd - FBO #2 242. GE Money Bank CD-FBO#2 10/9/13 243. Royce Penn Mutual Fund-FBO#2 244. AFLAC lnc 245. Columbia Vlue & Rst Fun 246. Landstar Systems Inc 247. T Rowe Price Finc! Srvc Fund 248. AvalonBay Communities Inc 249. 250. 251. Essex Property Trus! 252. 253. Archer Dan Midland Bond semi 4/15/1 I 254. Bankers Trust Bond semi 10/15/I I

A A A A

Interest Dividend Dividend Interesl None

J J J K

T T T T Buy Sold 08/05/09 03/02/09 K J

Dividend None None

T Sold Sold 07/08/09 11/10/09 I 1/10/09 03/05/09 07/08/09 11fl0/09 03/05/09 07/08/09 K J J J J J J J

A A

Dividend Dividend

J K

T T T T

Sold (pan) Bny (addl) Buy (addq) Buy (addl)

Dividend

(pan)
Sold

Sold

None None

K K

T T

255. Oregon State Bond maty 6/1/12

None

I, Income Gain C~xtes:

A =$1,000 or lex$

B =$1,001 - $2,50~

C -~2,501 - $5.1~XI

D =$5,~1 - $15,~

~ ~$15.~t - $50,~

FINANCIAL DISCLOSURE REPORT Page 19 of 21

: Name of Person Reporting Ludington, Thomas L.

DateofReport

04/22/2010

VII. INVES TMENTS and TRUSTS - ~o,~e, ~.t~e, t ..... ,ions (lncludel~ those of SpOuSe and dependent ch~ren; see pp.
NONE (No reportable income, assets, or tramactions.)
Description of As~ts (including t~t asse~) [ In.me dung reposing pefi~ Gross value at cad [ of ~po~ing ~fi~

Tr~ctio~ during re~aing

~ {~)
Place "(XY aRer each ~s~t exempt f~m p~ior disclosure Amount Code I ] (A~H)

(~)
Ty~ (e.g., div., rear, orint.)

(~)
Value Code 2 O-P)

(~)
Value Med~od Coae 3

,
[ [ ] [

(~)
T~e (e.g., buy, ~11, ~emption) :

~ (2)
i Dale

(3) ; (~)
(if

(5)
ld~ti~ of buys/seller

V~ue . Gain

[ mnffd~ C~e 2 I C~e I (J-P) [ (A-H)

~ ........... 256. Pepsico Bond maty 4/1/t 2 257. Wachovia Corp Bond semi 10/15/1 I B None Interest

~ ....... J K

(Q-W) T T

~ction)

FINANCIAL DISCLOSURE REPORT

Name of Person Rl~rting [ Ludington, Thomas L.

Date of Report 04/2272010

Pagc 20 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a,,,~i~o~

1. Deleted all ~sets from 2008 report that bad been sold or matured. 2. Line 146 Cha~ged maturity date from 2/15/1 ] to correct date of 12/15/11 on Household Finance Bond. 3. Line ~93 should be listed as FBO~I for American Gen Fin bond. 4. Line 194 should be listed as FBO# 1 for Caterpillar Fin Bond, 5. Line 199 should be listed as FBO#1 for Home Prop of NY. 6. Deleted Line 210 from 2008 report of Royce Penn Mutual Fund due to reported again.on Line 236 in the 2009 repotS. This was orginially reported in error without the FBO#l. 7. Deleted Line 245 from 2008 report of C&S Realty Rund FBOg2 due to already reported on Line 229 on the 2008 report or Line 227 on the 2009 report. 8. Deleted Line 255 from 2008 report of Royce Penn Mutnal Fund due to already recorded on Line 173 on the 2009 report.

FINANCIAL DISCLOSURE REPORT Page 21 of 21 IX. CERTIFICATION.

[ ~eofPe~on Repo~g
l Ludington, Thomas L.

l)ate of Report

04/2:2/2010

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 pro~isions permitting non-disclosure. I further certi~ 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., S U.S.C. 7353, and Judicial Conference regulations.

Si

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

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544