Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 1 of 15 PageID #:
`38357
`
`
`
`
`
`EXHIBIT A
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 2 of 15 PageID #:
`38358
`FINANCIAL DISCLOSURE REPORT
`Report Required by the Ethics
`AO 10
`in Government Act of 1978
`Rev. 1/2017
`FOR CALENDAR YEAR 2020
`(5 U.S.C. app. §§ 101-111)
`
`1. Person Reporting (last name, first, middle initial)
`
`2. Court or Organization
`
`3. Date of Report
`
`Connolly, Colm F.
`
`United States District Court for the District of Delaware
`
`05/04/2021
`
`4. Title (Article III judges indicate active or senior status;
`magistrate judges indicate full- or part-time)
`
`United States District Court Judge
`
`5a. Report Type (check appropriate type)
`
`6. Reporting Period
`
`
`
`
`Nomination
`
`Date
`
`Initial
`
` ✔
`
`Annual
`
`
`
`Final
`
`5b.
`
`
`
`Amended Report
`
`01/01/2020
`to
`12/31/2020
`
`7. Chambers or Office Address
`
`844 King Street
`Unit 31
`Wilmington, DE 19801
`
`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.
`
`I. POSITIONS. (Reporting individual only; see pp. 9-13 of filing instructions )
`
`NONE (No reportable positions.)
`
`POSITION
`
`NAME OF ORGANIZATION/ENTITY
`
`Board Member
`
`Ministry of Caring
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions )
`
`NONE (No reportable agreements.)
`
`DATE
`
`PARTIES AND TERMS
`
`1.
`
`2.
`
`3.
`
`✔
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 3 of 15 PageID #:
`38359
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 2 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of filing instructions )
`
`A. Filer's Non-Investment Income
`
`NONE (No reportable non-investment income.)
`
`DATE
`
`SOURCE AND TYPE
`
`INCOME
`(yours, not spouse's)
`
`1.
`
`2.
`
`3.
`
`4.
`
`B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.
`(Dollar amount not required except for honoraria.)
`
`NONE (No reportable non-investment income.)
`
`DATE
`
`SOURCE AND TYPE
`
` salary
`
`1. 2020
`
`2.
`
`3.
`
`4.
`
`IV. REIMBURSEMENTS -- transportation, lodging, food, entertainment.
`(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
`
`NONE (No reportable reimbursements.)
`
`SOURCE
`
`DATES
`
`LOCATION
`
`PURPOSE
`
`ITEMS PAID OR PROVIDED
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`✔
`✔
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 4 of 15 PageID #:
`38360
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 3 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
`
`NONE (No reportable gifts.)
`
`SOURCE
`
`DESCRIPTION
`
`VALUE
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
`
`NONE (No reportable liabilities.)
`
`CREDITOR
`
`DESCRIPTION
`
`VALUE CODE
`
`1.
`
`2.
`
`3.
`
`4.
`
`5.
`
`✔
`✔
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 5 of 15 PageID #:
`38361
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 4 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and 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
`
`C
`Gross value at end
`of reporting period
`
`(1)
`Amount
`Code 1
`(A-H)
`
`(2)
`Type (e g ,
`div , rent,
`or int )
`
`(1)
`Value
`Code 2
`(J-P)
`
`(2)
`Value
`Method
`Code 3
`(Q-W)
`
`D
`Transactions during reporting period
`
`
`(1)
`Type (e g ,
`buy, sell,
`redemption)
`
`(2)
`Date
`mm/dd/yy
`
`(3)
`Value
`Code 2
`(J-P)
`
`(4)
`Gain
`Code 1
`(A-H)
`
`(5)
`Identity of
`buyer/seller
`(if private
`transaction)
`
`1. M&T Bank Accounts
`
`2.
`
`3.
`
`4.
`
`5.
`
`6.
`
`7.
`
`8.
`
`9.
`
`Capital One Money Market Accounts
`
`Retirement Savings Plan #1 (H)
`
`- T. Rowe Price Growth Stock Trust A
`
`- Vanguard Institutional Index Instl PI
`
`- American Funds EuroPacific Growth R6
`
`Retirement Savings Plan #2 (H)
`
`A
`
`C
`
`A
`
`C
`
`A
`
`Interest
`
`Interest
`
`Dividend
`
`Dividend
`
`Dividend
`
`K
`
`N
`
`K
`
`L
`
`K
`
`T
`
`T
`
`T
`
`T
`
`T
`
`10.
`
`- William Blair Intnl Growth I
`
`A
`
`Dividend
`
`Sold
`
`05/01/20
`
`J
`
`11.
`
`- William Blair Intl Grwth CIF
`
`12.
`
`- Dodge & Cox Intl Stock
`
`13.
`
`- DFA US SMall Cap Port Instl
`
`14.
`
`- Goldman Sachs Global Income Fund Instl
`
`15.
`
`- Vanguard REIT Index Fund
`
`16.
`
`- Vanguard Intern'l Index
`
`17.
`
`- Vanguard Inst'l Index
`
`A
`
`A
`
`B
`
`C
`
`A
`
`A
`
`A
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`K
`
`K
`
`K
`
`L
`
`K
`
`K
`
`K
`
`T
`
`T
`
`T
`
`T
`
`T
`
`T
`
`T
`
`Buy
`
`05/01/20
`
`J
`
`Buy
`
`02/11/20
`
`Buy
`
`02/11/20
`
`K
`
`K
`
`1 Income Gain Codes:
`(See Columns B1 and D4)
`2 Value Codes
`(See Columns C1 and D3)
`
`3 Value Method Codes
`(See Column C2)
`
`A =$1,000 or less
`F =$50,001 - $100,000
`J =$15,000 or less
`N =$250,001 - $500,000
`P3 =$25,000,001 - $50,000,000
`Q =Appraisal
`U =Book Value
`
`B =$1,001 - $2,500
`G =$100,001 - $1,000,000
`K =$15,001 - $50,000
`O =$500,001 - $1,000,000
`
`R =Cost (Real Estate Only)
`V =Other
`
`C =$2,501 - $5,000
`H1 =$1,000,001 - $5,000,000
`L =$50,001 - $100,000
`P1 =$1,000,001 - $5,000,000
`P4 =More than $50,000,000
`S =Assessment
`W =Estimated
`
`D =$5,001 - $15,000
`H2 =More than $5,000,000
`M =$100,001 - $250,000
`P2 =$5,000,001 - $25,000,000
`
`T =Cash Market
`
`E =$15,001 - $50,000
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 6 of 15 PageID #:
`38362
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 5 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and 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
`
`C
`Gross value at end
`of reporting period
`
`(1)
`Amount
`Code 1
`(A-H)
`
`(2)
`Type (e g ,
`div , rent,
`or int )
`
`(1)
`Value
`Code 2
`(J-P)
`
`(2)
`Value
`Method
`Code 3
`(Q-W)
`
`D
`Transactions during reporting period
`
`
`(1)
`Type (e g ,
`buy, sell,
`redemption)
`
`(2)
`Date
`mm/dd/yy
`
`(3)
`Value
`Code 2
`(J-P)
`
`(4)
`Gain
`Code 1
`(A-H)
`
`(5)
`Identity of
`buyer/seller
`(if private
`transaction)
`
`18.
`
`19. Defined Contribution Plan #1 (H)
`
`20.
`
`- William Blair Intnl Growth I
`
`21.
`
`- William Blair Intl Grwth CIF
`
`22.
`
`- Dodge & Cox Intl Stock
`
`23.
`
`- DFA US Small Cap Port I
`
`24.
`
`- Invesco GI Real Estate R5
`
`- Vanguard REIT Index Fund Inst
`
`Sold
`
`05/01/20
`
`Buy
`
`05/01/20
`
`L
`
`L
`
`A
`
`A
`
`B
`
`A
`
`C
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`L
`
`L
`
`L
`
`L
`
`T
`
`T
`
`T
`
`T
`
`25.
`
`26.
`
`- Vanguard Intern'l Index
`
`27.
`
`- Vanguard Inst'l Index
`
`28.
`
`29.
`
`IRA #1 (H)
`
`C
`
`A
`
`A
`
`Dividend
`
`Dividend
`
`Dividend
`
`L
`
`K
`
`K
`
`T
`
`T
`
`T
`
`Buy
`
`02/12/20
`
`Buy
`
`02/11/20
`
`K
`
`K
`
`- Vanguard Emerging Markets Select Stock
`Fund
`
`B
`
`Dividend
`
`L
`
`T
`
`30.
`
`31.
`
`32.
`
`IRA #2 (H)
`
`33.
`
`34.
`
`- Vanguard Emerging Markets Stock Index
`Admiral CL
`
`- Vanguard Mid Cap Value Index Admiral
`CL
`
`A
`
`A
`
`Dividend
`
`Dividend
`
`K
`
`K
`
`T
`
`T
`
`1 Income Gain Codes:
`(See Columns B1 and D4)
`2 Value Codes
`(See Columns C1 and D3)
`
`3 Value Method Codes
`(See Column C2)
`
`A =$1,000 or less
`F =$50,001 - $100,000
`J =$15,000 or less
`N =$250,001 - $500,000
`P3 =$25,000,001 - $50,000,000
`Q =Appraisal
`U =Book Value
`
`B =$1,001 - $2,500
`G =$100,001 - $1,000,000
`K =$15,001 - $50,000
`O =$500,001 - $1,000,000
`
`R =Cost (Real Estate Only)
`V =Other
`
`C =$2,501 - $5,000
`H1 =$1,000,001 - $5,000,000
`L =$50,001 - $100,000
`P1 =$1,000,001 - $5,000,000
`P4 =More than $50,000,000
`S =Assessment
`W =Estimated
`
`D =$5,001 - $15,000
`H2 =More than $5,000,000
`M =$100,001 - $250,000
`P2 =$5,000,001 - $25,000,000
`
`T =Cash Market
`
`E =$15,001 - $50,000
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 7 of 15 PageID #:
`38363
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 6 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and 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
`
`C
`Gross value at end
`of reporting period
`
`(1)
`Amount
`Code 1
`(A-H)
`
`(2)
`Type (e g ,
`div , rent,
`or int )
`
`(1)
`Value
`Code 2
`(J-P)
`
`(2)
`Value
`Method
`Code 3
`(Q-W)
`
`D
`Transactions during reporting period
`
`
`(1)
`Type (e g ,
`buy, sell,
`redemption)
`
`(2)
`Date
`mm/dd/yy
`
`(3)
`Value
`Code 2
`(J-P)
`
`(4)
`Gain
`Code 1
`(A-H)
`
`(5)
`Identity of
`buyer/seller
`(if private
`transaction)
`
`35.
`
`- Vanguard High Yield Corp Investor CL
`
`A
`
`Dividend
`
`K
`
`T
`
`36.
`
`37. Roth IRA #1 (H)
`
`- Vanguard Capital Opportunity Find Invst
`CL
`
`- Vanguard Emerging Markets Select Stock
`Fund
`
`A
`
`A
`
`Dividend
`
`Dividend
`
`K
`
`J
`
`T
`
`T
`
`38.
`
`39.
`
`40.
`
`41. Roth IRA #2 (H)
`
`- Vanguard Capital Opportunity Fund
`Investor
`
`A
`
`Dividend
`
`K
`
`T
`
`42.
`
`43.
`
`44. Brokerage Account #1 (H)
`
`45.
`
`- Vanguard Federal Money Market Fund
`
`46.
`
`47.
`
`- Vanguard Dividend Appreciation Index
`Fund Admiral CL
`
`- Vanguard Small Cap Growth Index Fund
`Admiral CL
`
`48.
`
`- Vanguard Comsumer Discretionary ETF
`
`49.
`
`- Vanguard Consumer Staples ETF
`
`50.
`
`- Vanguard Energy ETF
`
`51.
`
`- Vanguard Health Care ETF
`
`A
`
`A
`
`A
`
`A
`
`A
`
`B
`
`A
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`K
`
`K
`
`K
`
`K
`
`K
`
`K
`
`K
`
`T
`
`T
`
`T
`
`T
`
`T
`
`T
`
`T
`
`1 Income Gain Codes:
`(See Columns B1 and D4)
`2 Value Codes
`(See Columns C1 and D3)
`
`3 Value Method Codes
`(See Column C2)
`
`A =$1,000 or less
`F =$50,001 - $100,000
`J =$15,000 or less
`N =$250,001 - $500,000
`P3 =$25,000,001 - $50,000,000
`Q =Appraisal
`U =Book Value
`
`B =$1,001 - $2,500
`G =$100,001 - $1,000,000
`K =$15,001 - $50,000
`O =$500,001 - $1,000,000
`
`R =Cost (Real Estate Only)
`V =Other
`
`C =$2,501 - $5,000
`H1 =$1,000,001 - $5,000,000
`L =$50,001 - $100,000
`P1 =$1,000,001 - $5,000,000
`P4 =More than $50,000,000
`S =Assessment
`W =Estimated
`
`D =$5,001 - $15,000
`H2 =More than $5,000,000
`M =$100,001 - $250,000
`P2 =$5,000,001 - $25,000,000
`
`T =Cash Market
`
`E =$15,001 - $50,000
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 8 of 15 PageID #:
`38364
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 7 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and 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
`
`C
`Gross value at end
`of reporting period
`
`(1)
`Amount
`Code 1
`(A-H)
`
`(2)
`Type (e g ,
`div , rent,
`or int )
`
`(1)
`Value
`Code 2
`(J-P)
`
`(2)
`Value
`Method
`Code 3
`(Q-W)
`
`D
`Transactions during reporting period
`
`
`(1)
`Type (e g ,
`buy, sell,
`redemption)
`
`(2)
`Date
`mm/dd/yy
`
`(3)
`Value
`Code 2
`(J-P)
`
`(4)
`Gain
`Code 1
`(A-H)
`
`(5)
`Identity of
`buyer/seller
`(if private
`transaction)
`
`52.
`
`- Vanguard REIT Index ETF
`
`53.
`
`- Vanguard S&P 500 Index ETF
`
`54.
`
`- Vanguard Communication Services ETF
`
`55.
`
`- Protara Therapeutics
`
`56.
`
`57. Brokerage Account #4 (H)
`
`A
`
`A
`
`A
`
`Dividend
`
`Dividend
`
`Dividend
`
`None
`
`58.
`
`- International Business Machines
`
`A
`
`Dividend
`
`59.
`
`- Fidelity Blue Chip Growth Fund
`
`J
`
`K
`
`K
`
`J
`
`J
`
`T
`
`T
`
`T
`
`T
`
`T
`
`T
`
`Donated
`(part)
`
`A
`
`A
`
`Dividend
`
`Dividend
`
`60.
`
`- Microsoft
`
`61.
`
`62.
`
`529 #1 (H)
`
`63.
`
`- NY's 529 Moderate Growth Portfolio
`
`64.
`
`- NY's 529 Interest Accumulation Portfolio
`
`65.
`
`- NY's 529 Conservative Growth Portfolio
`
`None
`
`None
`
`None
`
`66.
`
`67.
`
`529 #4 (H)
`
`J
`
`J
`
`J
`
`J
`
`T
`
`T
`
`T
`
`T
`
`Donated
`(part)
`
`Sold
`(part)
`
`Sold
`(part)
`
`Sold
`(part)
`
`07/08/20
`
`07/08/20
`
`07/08/20
`
`J
`
`J
`
`J
`
`68.
`
`- NY's 529 Conservative Growth Portfolio
`
`None
`
`Sold
`
`01/06/20
`
`J
`
`1 Income Gain Codes:
`(See Columns B1 and D4)
`2 Value Codes
`(See Columns C1 and D3)
`
`3 Value Method Codes
`(See Column C2)
`
`A =$1,000 or less
`F =$50,001 - $100,000
`J =$15,000 or less
`N =$250,001 - $500,000
`P3 =$25,000,001 - $50,000,000
`Q =Appraisal
`U =Book Value
`
`B =$1,001 - $2,500
`G =$100,001 - $1,000,000
`K =$15,001 - $50,000
`O =$500,001 - $1,000,000
`
`R =Cost (Real Estate Only)
`V =Other
`
`C =$2,501 - $5,000
`H1 =$1,000,001 - $5,000,000
`L =$50,001 - $100,000
`P1 =$1,000,001 - $5,000,000
`P4 =More than $50,000,000
`S =Assessment
`W =Estimated
`
`D =$5,001 - $15,000
`H2 =More than $5,000,000
`M =$100,001 - $250,000
`P2 =$5,000,001 - $25,000,000
`
`T =Cash Market
`
`E =$15,001 - $50,000
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 9 of 15 PageID #:
`38365
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 8 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and 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
`
`C
`Gross value at end
`of reporting period
`
`(1)
`Amount
`Code 1
`(A-H)
`
`(2)
`Type (e g ,
`div , rent,
`or int )
`
`(1)
`Value
`Code 2
`(J-P)
`
`(2)
`Value
`Method
`Code 3
`(Q-W)
`
`D
`Transactions during reporting period
`
`
`(1)
`Type (e g ,
`buy, sell,
`redemption)
`
`(2)
`Date
`mm/dd/yy
`
`(3)
`Value
`Code 2
`(J-P)
`
`(4)
`Gain
`Code 1
`(A-H)
`
`(5)
`Identity of
`buyer/seller
`(if private
`transaction)
`
`69.
`
`- NY's 529 Income Portfolio
`
`70.
`
`- NY's 529 Moderate Growth Portfolio
`
`None
`
`None
`
`Sold
`
`01/06/20
`
`Sold
`
`01/06/20
`
`71.
`
`72.
`
`529 #5 (H)
`
`- Fidelity DE Aggressive Growth Portfolio
`(Fidelity Indx)
`
`- Fidelity DE Aggressive Growth Portfolio
`(Fidelity FDS)
`
`None
`
`None
`
`L
`
`L
`
`T
`
`T
`
`Sold
`(part)
`
`Sold
`(part)
`
`07/14/20
`
`07/14/20
`
`73.
`
`74.
`
`75.
`
`529 #6 (H)
`
`K
`
`J
`
`J
`
`J
`
`76.
`
`77.
`
`- Fidelity DE Conservative (Fid. Index)
`
`- Fidelity DE Moderate Growth Portfolio
`(Fidelity Indx)
`
`78.
`
`79.
`
`80.
`
`529 #7 (H)
`
`None
`
`None
`
`81.
`
`- Fidelity DE Conservative (Fid. Index)
`
`None
`
`82.
`
`83.
`
`84.
`
`85.
`
`- Fidelity DE Moderate Growth Portfolio
`(Fidelity Indx)
`
`None
`
`J
`
`J
`
`J
`
`J
`
`T
`
`T
`
`T
`
`T
`
`Sold
`(part)
`
`Buy
`
`Sold
`(part)
`
`Sold
`(part)
`
`Buy
`
`01/06/20
`
`07/14/20
`
`07/16/20
`
`01/06/20
`
`07/14/20
`
`J
`
`J
`
`J
`
`J
`
`J
`
`1 Income Gain Codes:
`(See Columns B1 and D4)
`2 Value Codes
`(See Columns C1 and D3)
`
`3 Value Method Codes
`(See Column C2)
`
`A =$1,000 or less
`F =$50,001 - $100,000
`J =$15,000 or less
`N =$250,001 - $500,000
`P3 =$25,000,001 - $50,000,000
`Q =Appraisal
`U =Book Value
`
`B =$1,001 - $2,500
`G =$100,001 - $1,000,000
`K =$15,001 - $50,000
`O =$500,001 - $1,000,000
`
`R =Cost (Real Estate Only)
`V =Other
`
`C =$2,501 - $5,000
`H1 =$1,000,001 - $5,000,000
`L =$50,001 - $100,000
`P1 =$1,000,001 - $5,000,000
`P4 =More than $50,000,000
`S =Assessment
`W =Estimated
`
`D =$5,001 - $15,000
`H2 =More than $5,000,000
`M =$100,001 - $250,000
`P2 =$5,000,001 - $25,000,000
`
`T =Cash Market
`
`E =$15,001 - $50,000
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 10 of 15 PageID #:
`38366
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 9 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and 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
`
`C
`Gross value at end
`of reporting period
`
`(1)
`Amount
`Code 1
`(A-H)
`
`(2)
`Type (e g ,
`div , rent,
`or int )
`
`(1)
`Value
`Code 2
`(J-P)
`
`(2)
`Value
`Method
`Code 3
`(Q-W)
`
`D
`Transactions during reporting period
`
`
`(1)
`Type (e g ,
`buy, sell,
`redemption)
`
`(2)
`Date
`mm/dd/yy
`
`(3)
`Value
`Code 2
`(J-P)
`
`(4)
`Gain
`Code 1
`(A-H)
`
`(5)
`Identity of
`buyer/seller
`(if private
`transaction)
`
`86.
`
`87.
`
`529 #8 (H)
`
`88.
`
`- Fidelity DE Conservative (Fid. Index)
`
`- Fidelity DE Aggressive Growth Portfolio
`(Fidelity Indx)
`
`89.
`
`90.
`
`91.
`
`92.
`
`93.
`
`None
`
`None
`
`K
`
`K
`
`T
`
`T
`
`Sold
`(part)
`
`Sold
`(part)
`
`Sold
`(part)
`
`Sold
`(part)
`
`Sold
`(part)
`
`Buy
`
`07/16/20
`
`01/06/20
`
`03/02/20
`
`01/06/20
`
`03/02/20
`
`12/01/20
`
`J
`
`J
`
`J
`
`J
`
`J
`
`J
`
`J
`
`- Fidelity DE Moderate Growth Portfolio
`(Fidelity Indx)
`
`- Fidelity DE Aggressive Growth Portfolio
`(Fidelity FDS)
`
`94.
`
`95.
`
`96.
`
`97. UTMA #3 (H)
`
`98.
`
`- Fidelity Blue Chip Growth Fund
`
`99.
`
`- International Business Machines
`
`100.
`
`- Microsoft Corp.
`
`101.
`
`None
`
`None
`
`L
`
`J
`
`T
`
`T
`
`Sold
`(part)
`
`Sold
`(part)
`
`Buy
`
`01/06/20
`
`03/02/20
`
`12/01/20
`
`B
`
`D
`
`D
`
`Dividend
`
`Dividend
`
`Dividend
`
`Distributed
`
`12/08/20
`
`Distributed
`
`12/08/20
`
`Distributed
`
`12/08/20
`
`J
`
`J
`
`J
`
`J
`
`J
`
`102. College Avenue Student Loans, LLC units
`
`None
`
`M
`
`U
`
`1 Income Gain Codes:
`(See Columns B1 and D4)
`2 Value Codes
`(See Columns C1 and D3)
`
`3 Value Method Codes
`(See Column C2)
`
`A =$1,000 or less
`F =$50,001 - $100,000
`J =$15,000 or less
`N =$250,001 - $500,000
`P3 =$25,000,001 - $50,000,000
`Q =Appraisal
`U =Book Value
`
`B =$1,001 - $2,500
`G =$100,001 - $1,000,000
`K =$15,001 - $50,000
`O =$500,001 - $1,000,000
`
`R =Cost (Real Estate Only)
`V =Other
`
`C =$2,501 - $5,000
`H1 =$1,000,001 - $5,000,000
`L =$50,001 - $100,000
`P1 =$1,000,001 - $5,000,000
`P4 =More than $50,000,000
`S =Assessment
`W =Estimated
`
`D =$5,001 - $15,000
`H2 =More than $5,000,000
`M =$100,001 - $250,000
`P2 =$5,000,001 - $25,000,000
`
`T =Cash Market
`
`E =$15,001 - $50,000
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 11 of 15 PageID #:
`38367
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 10 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and 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
`
`C
`Gross value at end
`of reporting period
`
`(1)
`Amount
`Code 1
`(A-H)
`
`(2)
`Type (e g ,
`div , rent,
`or int )
`
`(1)
`Value
`Code 2
`(J-P)
`
`(2)
`Value
`Method
`Code 3
`(Q-W)
`
`D
`Transactions during reporting period
`
`
`(1)
`Type (e g ,
`buy, sell,
`redemption)
`
`(2)
`Date
`mm/dd/yy
`
`(3)
`Value
`Code 2
`(J-P)
`
`(4)
`Gain
`Code 1
`(A-H)
`
`(5)
`Identity of
`buyer/seller
`(if private
`transaction)
`
`103.
`
`104.
`
`IRA #3 (H)
`
`105.
`
`- Diamond Hill Large Cap
`
`106.
`
`- Eaton Vance Atlanta Cap
`
`107.
`
`- Edgewood Growth Instl
`
`108.
`
`109.
`
`- Pear Tree Polaris
`
`110.
`
`- Vanguard Intl Growth FD Admiral Shares
`
`111.
`
`112. Brokerage Account #5 (H)
`
`D
`
`D
`
`D
`
`B
`
`E
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`M
`
`M
`
`N
`
`L
`
`M
`
`T
`
`T
`
`T
`
`T
`
`T
`
`Buy
`
`02/12/20
`
`Distributed
`(part)
`
`02/11/20
`
`J
`
`K
`
`113.
`
`- Vanguard High Yield Tax Exempt Fund
`
`114.
`
`- Vanguard Interim Tax Exempt Fund
`
`115.
`
`- Vanguard LTD Term Tax Exempt Fund
`
`116.
`
`- Eaton Vance Atlanta SMID Cap
`
`117.
`
`- Harding Loevner Inst Emerg Mkts
`
`118.
`
`- Vanguard Tax Managed Small Cap
`
`119.
`
`- Chevron
`
`A
`
`B
`
`A
`
`E
`
`B
`
`A
`
`A
`
`Dividend
`
`Dividend
`
`Dividend
`
`Distribution
`
`Dividend
`
`Dividend
`
`Dividend
`
`L
`
`N
`
`M
`
`M
`
`M
`
`L
`
`T
`
`T
`
`T
`
`T
`
`T
`
`T
`
`Sold
`(part)
`
`03/10/20
`
`L
`
`Buy
`(add'l)
`
`03/26/20
`
`L
`
`Sold
`(part)
`
`Sold
`
`03/26/20
`
`08/11/20
`
`L
`
`J
`
`1 Income Gain Codes:
`(See Columns B1 and D4)
`2 Value Codes
`(See Columns C1 and D3)
`
`3 Value Method Codes
`(See Column C2)
`
`A =$1,000 or less
`F =$50,001 - $100,000
`J =$15,000 or less
`N =$250,001 - $500,000
`P3 =$25,000,001 - $50,000,000
`Q =Appraisal
`U =Book Value
`
`B =$1,001 - $2,500
`G =$100,001 - $1,000,000
`K =$15,001 - $50,000
`O =$500,001 - $1,000,000
`
`R =Cost (Real Estate Only)
`V =Other
`
`C =$2,501 - $5,000
`H1 =$1,000,001 - $5,000,000
`L =$50,001 - $100,000
`P1 =$1,000,001 - $5,000,000
`P4 =More than $50,000,000
`S =Assessment
`W =Estimated
`
`D =$5,001 - $15,000
`H2 =More than $5,000,000
`M =$100,001 - $250,000
`P2 =$5,000,001 - $25,000,000
`
`T =Cash Market
`
`E =$15,001 - $50,000
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 12 of 15 PageID #:
`38368
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 11 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and 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
`
`C
`Gross value at end
`of reporting period
`
`(1)
`Amount
`Code 1
`(A-H)
`
`(2)
`Type (e g ,
`div , rent,
`or int )
`
`(1)
`Value
`Code 2
`(J-P)
`
`(2)
`Value
`Method
`Code 3
`(Q-W)
`
`D
`Transactions during reporting period
`
`
`(1)
`Type (e g ,
`buy, sell,
`redemption)
`
`(2)
`Date
`mm/dd/yy
`
`(3)
`Value
`Code 2
`(J-P)
`
`(4)
`Gain
`Code 1
`(A-H)
`
`(5)
`Identity of
`buyer/seller
`(if private
`transaction)
`
`120.
`
`- Colgate-Palmolive
`
`121.
`
`- Exxon Mobile
`
`122.
`
`- McDonalds
`
`123.
`
`- Schwab S&P 500 Index
`
`124.
`
`- Vanguard Int'l Growth Adm
`
`125.
`
`- Edgewood Growth Inst'l
`
`A
`
`A
`
`B
`
`B
`
`A
`
`B
`
`Dividend
`
`Dividend
`
`Dividend
`
`Dividend
`
`Distribution
`
`Distribution
`
`L
`
`M
`
`K
`
`K
`
`T
`
`T
`
`T
`
`T
`
`Sold
`
`08/11/20
`
`Sold
`
`08/11/20
`
`Buy
`
`03/10/20
`
`Buy
`
`08/11/20
`
`Spinoff
`(from line 108)
`
`08/11/20
`
`K
`
`J
`
`L
`
`K
`
`K
`
`126.
`
`127.
`
`128.
`
`129.
`
`130.
`
`131.
`
`132.
`
`133.
`
`134.
`
`135.
`
`136.
`
`1 Income Gain Codes:
`(See Columns B1 and D4)
`2 Value Codes
`(See Columns C1 and D3)
`
`3 Value Method Codes
`(See Column C2)
`
`A =$1,000 or less
`F =$50,001 - $100,000
`J =$15,000 or less
`N =$250,001 - $500,000
`P3 =$25,000,001 - $50,000,000
`Q =Appraisal
`U =Book Value
`
`B =$1,001 - $2,500
`G =$100,001 - $1,000,000
`K =$15,001 - $50,000
`O =$500,001 - $1,000,000
`
`R =Cost (Real Estate Only)
`V =Other
`
`C =$2,501 - $5,000
`H1 =$1,000,001 - $5,000,000
`L =$50,001 - $100,000
`P1 =$1,000,001 - $5,000,000
`P4 =More than $50,000,000
`S =Assessment
`W =Estimated
`
`D =$5,001 - $15,000
`H2 =More than $5,000,000
`M =$100,001 - $250,000
`P2 =$5,000,001 - $25,000,000
`
`T =Cash Market
`
`E =$15,001 - $50,000
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 13 of 15 PageID #:
`38369
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 12 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and 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
`
`C
`Gross value at end
`of reporting period
`
`(1)
`Amount
`Code 1
`(A-H)
`
`(2)
`Type (e g ,
`div , rent,
`or int )
`
`(1)
`Value
`Code 2
`(J-P)
`
`(2)
`Value
`Method
`Code 3
`(Q-W)
`
`D
`Transactions during reporting period
`
`
`(1)
`Type (e g ,
`buy, sell,
`redemption)
`
`(2)
`Date
`mm/dd/yy
`
`(3)
`Value
`Code 2
`(J-P)
`
`(4)
`Gain
`Code 1
`(A-H)
`
`(5)
`Identity of
`buyer/seller
`(if private
`transaction)
`
`137.
`
`138.
`
`139.
`
`1 Income Gain Codes:
`(See Columns B1 and D4)
`2 Value Codes
`(See Columns C1 and D3)
`
`3 Value Method Codes
`(See Column C2)
`
`A =$1,000 or less
`F =$50,001 - $100,000
`J =$15,000 or less
`N =$250,001 - $500,000
`P3 =$25,000,001 - $50,000,000
`Q =Appraisal
`U =Book Value
`
`B =$1,001 - $2,500
`G =$100,001 - $1,000,000
`K =$15,001 - $50,000
`O =$500,001 - $1,000,000
`
`R =Cost (Real Estate Only)
`V =Other
`
`C =$2,501 - $5,000
`H1 =$1,000,001 - $5,000,000
`L =$50,001 - $100,000
`P1 =$1,000,001 - $5,000,000
`P4 =More than $50,000,000
`S =Assessment
`W =Estimated
`
`D =$5,001 - $15,000
`H2 =More than $5,000,000
`M =$100,001 - $250,000
`P2 =$5,000,001 - $25,000,000
`
`T =Cash Market
`
`E =$15,001 - $50,000
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 14 of 15 PageID #:
`38370
`Name of Person Reporting
`
`Date of Report
`
`FINANCIAL DISCLOSURE REPORT
`Page 13 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of report.)
`
`Part VII, Column B: Lines reflecting no income are so reported because none was attributed to those particular holdings during the reporting period, whether
`taxable, tax exempt, or tax deferred, or because the investments do not allocate income to individual holdings, but instead are credited only in unit value, per
`page 42 of the filing instructions.
`
`

`

`Case 1:18-cv-00966-CFC-CJB Document 995-1 Filed 12/02/22 Page 15 of 15 PageID #:
`38371
`FINANCIAL DISCLOSURE REPORT
`Name of Person Reporting
`Date of Report
`Page 14 of 14
`
`Connolly, Colm F.
`
`05/04/2021
`
`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/ Colm F. Connolly
`
`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
`
`