# Graham Calder Mullen

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/17994

## Record

- **Judge:** Graham Calder Mullen
- **Year:** 2015
- **Report type:** Annual
- **Pages:** 19

## Text

BRANCH BANK & TRUST CO. (Bank Accounts) — Interest
Smith Bamey Money Market Fund (See explanation) — Int/Div
Smith Bamey Money Market Fund (See explanation) — Int/Div
Central Fund - Canada — Int/Div
Intel Corp — Int/Div
Merck & Co — Int/Div
Proctor & Gamble — Int/Div
General Electric — Int/Div
Starbucks — Int/Div — Buy
TEVA Pharmaceuticals — Int/Div
Permanent Portfolio — Int/Div
Apple — Int/Div
Goldman Sachs Rising Div — Int/Div
IRA (See explanation) — Int/Div
Loomis Sayles Funds IT Strategic Inc Fund — Buy (add'l)
Loomis Sayles Funds IT Strategic Inc Fund — Sold (part)
Columbia Contrarian Core Fd Cl Z — Buy
Columbia Contrarian Core Fd Cl Z — Sold (part)
Columbia Contrarian Core Fd Cl Z — Sold (part)
Oppenheimber Int'l Bond Fund — So«¢
Oppenheimer Int'l Small Co. Fund — Buy (add'l)
Oppenheimer Int'l Small Co. Fund — Sold (part)
Oppenheimer Int'l Small Co. Fund — Sold (part)
Oppenheimer Int'l Small Co. Fund — Sold (part)
Oppenheimer Gold & Sp. Minerals — Sold
Fidelity Advisor SPR 1 Leveraged Co Hb Fund — Buy (add'l)
Fidelity Advisor SPR 1 Leveraged Co Hb Fund — Sold (part)
Permanent Portfolio Fd — Sold
Blackrock Global Allocation — Sold (part)
Blackrock Global Allocation — Sold (part)
Columbia Select Large Cap Growth Fd — Buy (add'l)
Columbia Select Large Cap Growth Fd — Sold (part)
Columbia Select Large Cap Growth Fd — Sold (part)
Delaware Pooled TR Diversified Inc Fd — Buy (add'l)
Delaware Pooled TR Diversified Inc Fd — Sold (part)
First Eagle Fds Global Fd — Sold (part)
First Eagle Fds Global Fd — Sold (part)
Yacktman Fd — Sold (part)
Pimco Fds - Total Return Fd — Sold
Pimco AllAsset AllAuthority — Sold
Rovee Premier Fd — Sold
Templeton Fds - TR Global Bd Advisor — Buy (add'l)
Templeton Fds - TR Global Bd Advisor — Sold (part)
Templeton Fds - TR Global Bd Advisor — Sold (part)
MFS « Int'l New Discovery Fd — Buy (add'l)
MFS « Int'l New Discovery Fd — Sold (part)
MFS « Int'l New Discovery Fd — Sold (part)
JP Morgan Core Bond FD Select — Sold
Neuberger Berman Income New Strategic Fd — Buy (add'l)
Neuberger Berman Income New Strategic Fd — Sold (part)
John Hancock Fds 11 Strategic Income Opptys — Buy (add'l)
John Hancock Fds 11 Strategic Income Opptys — Sold (part)
John Hancock Fds 11 Strategic Income Opptys — Sold (part)
Paxworld FDS SER TRI-PRSIX — Buy (add'l)
Paxworld FDS SER TRI-PRSIX — Sold (part)
Putnam FDS TR Capital Spectrum FD PVSYX — Buy (add'l)
Putnam FDS TR Capital Spectrum FD PVSYX — Sold (part)
Undiscovered Mgr Behavioral Val UBVLX — Buy (add'l)
Undiscovered Mgr Behavioral Val UBVLX — Sold (part)
Undiscovered Mgr Behavioral Val UBVLX — Sold (part)
Undiscovered Mgr Behavioral Val UBVLX — Sold (part)
ISORAY — None
Mosaic — Int/Div
NORTHWESTERN MUTUAL (NML) INSURANCE POLICIES
Whole Life XX> 30 — Int/Div
NML Whole Life XX> 30 — Int/Div
NML Whole Life XX" gl — Int/Div
NML Whole Life XX 3 — Int/Div
NML Extraord. Life Jl — Int/Div
NML Adjustable Comp XX 30 — Int/Div
NML 65 Life pl — Int/Div
NML 65 Life gm — Int/Div
NML Whole Life ml — Int/Div
NML Whole Life ml — None
Chart Indus — None
Nanoviricides — None
Neural Stem Inc — None — Sold
International Stem Cell Corp. — None
Galectin Therapeutics — None
Brigus Gold / Primero Mining (See Explanation) — None — Sold
Mast Therapeutics — None
Alliance Grain Traders (AGXXF) — Int/Div
Clearbridge Energy (EMO) — Int/Div
Parkway Properties — Int/Div
Blackstone Group — Int/Div
Twitter — None
lconix Brand — None
Alexza Pharm — None — Sold
Clearbridge Ener MLP — Int/Div
US Global Inv — Int/Div
Brocade Comm — Int/Div — Sold
Capital Sr. Living — None
First Trust MLP — Int/Div
Freeport McMoran — Int/Div
Northfield Bank — Int/Div
Oculusinnovi Sciences (This has fallen below reportable value.) — None
Anthera Pharm — None
Silver Wheaton — Int/Div
Morgan Stanley Discretionary Joint Account (See Explanation.) — Int/Div — Open
Sprott Platmum ETF (See Explanation.) — None — Sold
Aegerion Pharm (See Explanation.) — None — Sold
Coach — Int/Div — Buy
S&W Seed — None — Buy
SELF<INITIATED AMENDMENT - 2013
Sprott Platmum ETF — None — Buy
SELF-INITIATED AMENDMENT - 2014
Sprott Platmum ETF — None
Aegerion Pharm — None — Buy
Brigus Gold / Primero Mining {See Explanation ref Line 144, ) — None
Homorary Lite Member, Duke Umiversity Law School Board of Visitors
Liability — American Express — Gold Card
Liability — LSAA — MasterCard
EXPLANATION OF LINE ITEMS CONTAINED IN PART VIL

Lines 3 and $ - Smith Barney Money Market fund includes deposits in that fund which the broker has moved into their Bank Deposit program.

Line 27 - The IRA was established from my Thrift Savings Plan, all capital gains and dividends are re-invested. Periodically, small numbers of shares are sold to

pay the trustee's fees. These are reported. This income is aggregated and not reported for each separate fund.

Line 144 - Brigus Gold was acquired by Primero Mining in March 2014.

Line 192 « Per instruction via e-mail from the Financial Disclosure Office, Morgan Stanley Discretionary Account is listed rather than individual stocks that do

not exceed $1,000,

Lines 195 and 197. See Self-Initisted Amendments to the 2013 and 2014 Report

Line 206 - SELF-INITIATED AMENDMENT TO THE 2013 REPORT

Line 209

- SELF-INITIATED AMENDMENT TO THE 2014 REPORT

On lines 37 and 38 of my 2014 annual report, | inadvertently listed Satuit Cap Micro Cap Fund as Sold (part) when it was sold in

full, Thus, this asset does not appear on my 2015 annual report,

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/17994. Public record. Not legal advice.
