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Judicial Watch • Graham C. Mullen – 2010

Graham C. Mullen – 2010

Graham C. Mullen – 2010

Page 1: Graham C. Mullen – 2010

Category:Federal Judges

Number of Pages:20

Date Created:September 13, 2013

Date Uploaded to the Library:November 27, 2014

Tags:Graham C Mullen, mullen, GRAHAM, Estate, 2010, Market, assets, transactions, Codes, dividend, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Government Act 1978 
Rev. J/20Jl 
FOR CALENDAR YEAR 2010 U.S.C. app. JOI-JI Person Reporting (last name, first, middle initial) MULLEN, GRAHAM Court Organization WESTERN DISTRICT N.C. Date Report 7/25/2011 Title (Article III judges Indicate active senior status; magistrate judges indicate full-or part-time) U.S. DISTRICT JUDGE -SENIOR Sa. Report Type (check appropriate type) Nomination, Date Initial [lJ Annual Final Sb. Amended Report Reporting Period 01/01/2010 12/31/2010 Chambers Office Address 230 CHARLES JONAS BUILDING 401 WEST TRADE STREET CHARLOTTE, 28202 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date 
 
IMPORT ANT 0TES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITI NS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Horary Life Member Duke University Law School Board Visitors 
Member adjunct faculty Department Political Science UNC Charlotte 
Member HOA Board Royal Crest Home Owners 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 
 
PARTIES AND TERMS 
 
Mullen, Graham 
 
 
 
 
Name Person Reporting 
Date Report 
MULLEN, GRAHAM 
7/25/2011 
III. N-INVES TMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income [{] NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) Spouses Non-Investment Income -If you were married during any portion t/re reporting year, complete tlris section. (Dollar amount not required except for lronoraria.) 
[{] NONE (No reportable non-investment income.) SOURCE AND TYPE 
IV REIMBURSEMENTS -transportation, lodging, food, entertainmenL 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED GIFTS. (Includes tlwse spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] 	NONE (No reportable gifts.) SOURCE DESCRIPTION 
VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE Bank America Credit Card 
 
 
 
Name Person Reporting 
Date Report 
 
7/25/2011 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
(2) (I) (2) 
(4) 
(2) (3) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code 
Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) 
(A-H) (if private 
transaction) 
(Q-W) BRANCH BANK TRUST CO. (Bank Accounts) Interest Smith Barney Money Market Fund (See explanation) Int./Div. Smith Barney Money Market Fund (See explanation) Dividend Central Fund -Canada Dividend Intel Corp. Dividend 
10. 
11. Merck Co. Dividend 
12. 
13. Proctor Gamble Dividend 
14. 
15. General Electric Dividend Buy (addI) 04/06/10 
16. 
17. Chart Indus None Buy 11/22/10 Income Gain Codes: =$1,000 less =$1,00I -$2,500 =$2,50I -$5,000 =$5,001 -$15,000 =$15,00 -$50,000 
(Sec Columns and 04) =$50.001 -$100,000 =$!00,001 -$1,000,000 =$1,000,001 -$5,000.000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$!00.000 =$100,00 -$250,000 
(See Columns and DJ) =$250.001 -$500,000 =$500,00  $1,000,000 =$1,000,001-$5,000,000 =$5,000,001 -$25,000,000 =$25.000.001 -$50.000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column =Book Value =Other =Estimated 
 
 
 
 
VII. INVESTMENTS and TRUSTS 
income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period ofreporting period (I) (2) (2) 
(3) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) 
 
18. 
19. Sun Microsystems None Sold 01/28/10 
20. 
21. Capital World Dividend Sold 04/13/10 
22. 
23. Capital World G.B. Dividend Sold 10/18/10 
24. 
25. Euro Pac Bond Fund Dividend Sold 04/13/10 
26. 
27. 
28. IRA (See Explanation) Dividend 
29. Blackrock Funds -Large Cap Value Sold (part) 03/31/10 
30. Sold (part) 06/09/10 
31. Buy (add!) 06/10/10 
32. 
33. John Hancock -Large Cap Equity Fund 
34. Income Gain Codes: =$1,000 less =Sl,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(Sec Columns and 04) =$50,001 -$100,000 =$100,00I -$1,000,000 =$1,000,00 -$5,000,000 =More than $5,000,000 Value Codes 15,000 less =$15,00 -$50,000 =$50,001 -$100,000 100,00 -$250,000 
(Sec Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,00 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Apprisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
VII. INVESTMENTS and TRUSTS income, vatue, transactions r1ncludes those spouse and dependent c11ildren; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(1) (2) (I) (2) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code 
Code buyer/seller 
(A-H) int.) 
Code redemption) (J-P) 
(A-H) (if private 
transaction) 
(Q-W) 
35. 
36. Goldman Sachs Fin Mkt Fund 
37. 
38. 
39. 
40. Loomis Sayles Funds Strategic Inc. Fund Sold (part) 03/31110 
41. Sold (part) 06109110 
42. Buy (add!) 06109110 
43. Buy (add!) 06/l 0/10 
44. Buy (add!) 06/10/10 
45. 
46. 
47. MFS Resh Int! Fund Sold (part) 07/09/10 
48. Buy (add!) 06/10/10 
49. 
50. Oppenheimer Int! Bond Fund 
51. Income Gain Codes: =$1,000 less ,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(Sec Columns and D4) =$50.001 -$100.000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$I 00,001 -$250,000 
(Sec Columns and D3) =$250,001 -$500,000 =$500,00 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,00 -$50.000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
 
 
Date Report 
Name Person Reporting 
7/25/2011 
MULLEN, GRAHAM 
VII. INVE TMENTS and -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
Income during Gross value end Transactions during reporting period 
 
(including trust assets) reporting period reporting period 
(2) (!) (2) (I) (3) (5) 
Place (X) after each asset Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) 
 
52. 
53. Oppenheimer Small Cap Value Fund 
54. 
55. Oppenheimer Int! Small Fund 
56. 
57. 
58. 
59. Satuit Cap Micro Cap Fund Buy (addl) 06/10/10 
60. 
61. American Funds Gr. Fund Sold (part) 06/09/10 
62. Sold (part) 03131/IO 
63. 
64. Keeley Funds Small Cap Value Sold (part) 03/31/10 
65. Buy (addl) 06110110 
66. 
67. Oppenheimer Gold Sp. Minerals Buy (addl) 06/09/IO 
68. Sold (part) 06109110 Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,00 -$50,000 
(See Columns and 04) =$50,001  $100,000 =$100,001  $1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,00 -$250,000 
(Sec Columns and D3) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50.000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
 
 
 
Name Person Reporting 
Date Report 
 
 
MULLEN, GRAHAM 
7/25/2011 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and dependent children; see PP J4-6o filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
(1) (2) (1) 
(2) (I) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) 
 
69. Sold (part) 10/08/10 
70. 
71. Fidelity Advisor SPR Leveraged Fund Buy (addI) 06/10/10 
72. Sold (part) 06/10/10 
73. Sold (part) 03/31/10 
74. 
75. Permanent Portfolio Buy 06/09/10 
76. 
77. 
78. 
79. 
80. ISORAY None 
81. 
82. Lattice Semi None Sold 05/04/10 
83. 
84. 
85. Income Gain Codes: =$1,000 Jess =$1,001 -$2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$15,00 -$50,000 
(See Columns and 04) =$50,001 -$100,000 =$100,00 -$1,000,000 =$1,000,00 -$5,000.000 =More than $5,000,000 Value Codes =$15,000 Jess =$15.001 -$50,000 =$50,00 -$100,000 =$100.00 -$250,000 
(Sec Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1.000,001 -$5,000,000 =$5,000,00 -$25,000,000 =$25,000,001 -$50.000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cos! (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(I) (2) (I) (2) (I) 
(3) 
(4) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
Gain Identity 
Code 
Code buyer/seller 
exempt from prior disCiosure div., rent, Code Method buy, sell, mm/dd/yy Code 
(A-H) int.) (J-P) Code redemption) (J-P) 
(A-H) (if private 
transaction) Income Gain Codes: =$1,000 less =$1.001 -$2,500 =$2,50 -$5,000 $5,001 -$15,000 
(See Columns and D4) =$50,001 -$100,000 =SI00.001-$1.000,000 s1,ooo,001 -$5,ooo,ooo More than $5,000,000 Value Codes =$15,000 less =$15,00 -$50,000 =$50,001 -$100,000 00,001 -$250,000 
(Sec Columns and D3) =$250,001 -$500,000 =$500.00 -$1,000,000 ,000,00 -$5,000,000 =$5,000,001 -$25,000,000 $25,000,001 -$50.000.000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value ==Other =Estimated $15,001 -$50,000 
 
 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
 
(including trust assets) repor ting 
period ofreporting period 
(I) (2) (1) (2) 
(2) (3) 
(4) (5) 
Place (X) after 
each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code 
Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) 
(MI) (if private 
transaction) 
(Q-W) 
103. NML WholeLifeXXX510 Dividend 
104. 05. NML Whole Life XXX698 Dividend 
106. 
107. NML Extraord. Life 403 Dividend 
108. 
109. NML Adjustable Comp XXXI Dividend 
110. 
111. NML Life 913 (see explanation) Dividend 
112. 
113. NML Life 473 (see explanation) Dividend 
114. 
115. NML Whole Life 437 (see explanation) Dividend 
116. 
117. NML Whole Life 800 None Buy 10/14/10 
118. 
119. Kinross Gold Dividend Income Gain Codes: =$I ,000 Jess =$1,001 -$2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$I 5,00 -$50,000 
(Sec Columns and D4) =$50,001 -$100,000 =$!00,001 -$1,000,000 =$I ,000,00 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,00 -$I 00,000 =$100,001 -$250,000 
(Sec Columns and D3) =$250,001 -$500,000 =$500,00 -$I ,000,000 =$1,000,001 -$5,000,000 =$5,000,00 -$25,000,000 =$25,000,001 -$50,000.000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment T=Cash Market 
(Sec Column C2) =Book Value V=Othcr =Estimated 
 
 
Name Person Reporting 
Date Report 
 
7/25/2011 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP J4-6o filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period ofreporting period 
(4) (5) 
(2) (1) (2) (1) (2) (3) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code 
Code buyer/seller 
(A-H) int.) (J.P) Code redemption) (J-P) 
(A-H) (if private 
transaction) 
(Q-W) 
120. 121. Potash Corp. Dividend Sold 10118110 
122. 
123. Tesco Corp. None Sold 01/13/10 
124. 
125. Powershares Wilderhill Clean Energy None Sold 12/22/10 
126. 
127. Select SPDR Energy Dividend 
128. 
129. Prudent Bear Fund None 
130. Janus Short Term Bond Fund Interest Sold 09/20/10 
132. 33. Nuveen Ltd Term Muni Bond Fund Interest Sold 12/08/IO 
134. 
135. Advanced Analogic Technologies None Sold 01/21/10 
136. Income Gain Codes: =$1 ,000 less =$1,001 -$2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$I 5,00 I-$50,000 
(Sec Columns and 04) =$50,001. $100,000 =$100,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100.000 =$100,001 -$250,000 
(Sec Columns and D3) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001-$5,000,000 =$5,000,001 -$25,000,000 =$25.000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec ColumnC2) =Book Value =Other =Estimated 
 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(2) (!) (2) 
(2) (3) 
(4) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code 
Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) 
(A-H) (if private 
transaction) 
(Q-W) Income Gain Codes: =$1.000 less =$1,001 -$2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$15,00 -$50,000 
(See Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(Sec Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,00 -$5,000,000 =$5,000,00 -$25,000,000 =$25,000,001 -$50,000.000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
Income during Gross value end Transactions during reporting period 
 
(including trust assets) reporting period ofreporting period 
(I) 
(2) (2) (2) 
(4) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(Sec Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$I ,000,001 -$5,000.000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(Sec Columns and 03) =$250,001 -$500,000 =$500,00 -$I ,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25.000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes 11tose ofspouse and dependent children; see PP 34-60 offilinc instructions.) NONE (No reportable income, assets, transactions.) 
Gross value end 	Transactions during reporting period Description Assets Income during 
(including trust assets) reporting period reporting period (2) 
(3)(I) 
(2) (I) (2) 
(5) 
Gain Identity 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code 
Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (A-H) (if private 
transaction) 
(Q-W) Income Gain Codes: =$1,000 less =$1.001 -$2,500 =$2,501 -$5,000 D=S5,00l -$15,000 =$15,00I -$50,000 (See Columns and D4) =$50,001 -$!00,000 =$100,001 -$1,000,000 =$1,000,00I  $5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$!00.000 =$!00,001 -$250,000 
(Sec Columns and DJ) =$250,001 -$500,000 =$500,00I -$1,000,000 =$1,000,00 -$5,000,000 =$5,000,00 -$25,000,000 =$25.000.001  $50.000.000 =More than $50,000,000 =Cost (Real Estate Only) =Assessment =Cash Markel Value Method Codes =Appraisal 
(See Column C2) =Book Value =Other =Estimated 
 
 
 
Name Person Reporting 
Date Report 
MULLEN, GRAHAM 
7/25/2011 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes tiwse spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(I) (2) (I) 
(2) (2) 
(4) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value 
Gain Identity 
Code 
exempt from prior disclosure div., rent, Code Method buy, sell, mm/dd/yy Code 
Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) 
(A-H) (if private 
transaction) 
(Q-W) 
188. First Trust High Income Long/Short Dividend Buy 09/27/10 
189. 
190. CenturyLink Inc. None Buy 12/08/10 
191. 
192. Morgan Stanley Smith Barney Unified Managed Acct-estl2/IO/I 
193. Cambiar Small Cap None Buy 12/10/10 
194. Buy (addI) 12/15/10 
195. 96. Blackrock Inflation Preferred Bond Port Dividend Buy 12/10/10 
197. Distribution Buy (addI) 12/15/10 
198. 
199. Eaton Vance Commodity Strategy Dividend Buy 12/10/10 
200. Distribution Buy (addI) 12/15/10 
201. 
202. Eaton Vance Large Cap Value Fund Dividend Buy 12/10/10 
203. Buy (addI) 12/15/10 
204. Income Gain Codes: =$1.000 less =$1,001 -$2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$15,00 -$50,000 
(See Columns and D4) =$50,001 -$100,000 =$JOO,OOl -$1.000.000 =$1.000,00I -$5.000,000 =More than $5.000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(See Columns and DJ) =$250,00 -$500,000 =$500.00I -$1,000,000 =$1,000,001-$5,000,000 =$5,000,00 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(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 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) 
 
205. Eaton Vance Income Fund Boston Dividend Buy 12/10/10 
206. Buy (addl) 12/15/10 
207. 
208. Goldman Sachs Growth Opp. Fd. None Buy 12/10/10 
209. Buy (addI) 12/15/10 
210. 
211. Goldman Sachs Absolute Return Tracker None Buy 12/10/10 
212. Buy (addI) 12/15/10 
213. 
214. Ing Global Real Estate Dividend Buy 12/10/10 
215. Buy (addl) 12/15/10 
216. 
217. Morgan Dynamic Small Cap Growth None Buy 12/10/10 
218. Buy (addl) 12/15/10 
219. 
220. Lazard Emerging Mkts Port Dividend Buy 12/10/10 
221. Buy (addl) 12/15/10 Income Gain Codes: =$1,000 less 1,00 -$2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$15,00 -$50,000 
(Sec Columns and D4) =$50.001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000.000 =More than $5,000,000 Value Codes 15.000 less =$15,001 -$50,000 =$50.001 -$100,000 100,00 -$250,000 
(Sec Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,00 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Markel 
(Sec Column C2) =Book Value =Other =Estimated 
 
 
 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreporting period 
 
(I) (2) (1) (2) 
(2) (3) 
(4) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
 
transaction) 
222. 
223. Legg Mason Western Asset Int. Muni. Dividend Buy 12/10/10 
224. Buy (addl) 12/15/10 
225. 
226. Mainstay Large Cap Growth None Buy 12/10/10 
227. Buy (add!) 12/15/10 
228. 
229. Pimco Funds Emerging Local Bond Dividend Buy 12/10/10 
230. Buy (addl) 12/15/10 
231. 
232. Rydex SGI Managed Futures Strategy None Buy 12/10/10 
233. Buy (addl) 12/15/10 
234. 
235. TCW Value Opportunities Fund Dividend Buy 12/10/10 
236. Buy (addl) 12/15/10 
237. 
238. Templeton Global Bond Fund Advisor Class Dividend Buy 12/10/10 Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,00 -$50,000 
(Sec Columns and D4) =$50,001 -$100,000 =$100,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15.000 less =$15,00 -$50,000 =$50,00 -$100.000 =$100,001 -$250,000 
(Sec Columns and D3) =$250.001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,00 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estimated Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(Sec Columns and 04) =$50,001 -$100,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(Sec Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value ::oQthcr =Estimated 
 
 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(I) (2) (2) (I) (2) 
(4) 
Place (X) after each asset Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) 
 
239. Buy (addI) 12/15/10 
240. 
241. Thornburg Intl Value Fund Dividend Buy 12/10/10 
242. Buy (addl) 12/15/10 
243. 
244. 
245. 
246. 
247. 
 
 
 
 
 
 
 
Name Person Reporting 
Date Report 
MULLEN, GRAHAM 
7/25/2011 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofreport.) 
Explanation ofline items contained Part VII. 
Lines and Smith Barney Money Market fund includes deposits that fund which the broker has moved into their Bank Deposit program. 
Line -The IRA was established from Thrift Savings Plan, all capital gains and dividends are re-invested. Periodically, small numbers shares are sold pay the trustees fees. These are reported. This income aggregated and not reported for each separate fund. 
Lines 15-These policies were inadvertently omitted from previous reports. The line entries are accurate for years 2005-2009 inclusive and this selfintitated amendment those reports. 
Line 113 This policy was inadvertently omitted from previous reports. The line entry accurate for the years 2008 and 2009 inclusive and this self-initiated 
amendment those reports. Line 147 -Terra Nova Royalty Corp. This sale transaction the result the split-up ofKHD Humbolt WEDAG. That security was exempt from reporting (see 2008 Report line 163 and explanation) and remained until the divisive reorganization. The resulting share KHD remains exempt. The Terra Nova Realty reported here exchange and sale. 
Line 143 -Frontier Comm. The initial transaction spinofffrom Verizon followed additional purchase and sale. 
Line 139 -Contango Oil Gas. This company spun off Contango Ore. The spun off shares are exempt from reporting. 
Line 182 ARGENTEX Mining. This actually additional purchase. This has been exempt from reporting but has now reached level that reporting 
required. 
 
 
 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature: GRAHAM MULLEN 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544