You are on page 1of 16

AO IO Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010


2. Court or Organization U.S. District Court
5a. Report Type (check appropriate ~pe) ] Nomination, Date [] Annual [] Final

Report Required by the Ethics in Government Act ofl978 (5 U.S.C. app. ,,~,~ 101-111)

I. Person Reporting (last name, first, middle initial) Sweet, Robert W. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or pan-time)

3. Date of Report 05/15/2011 6. Reporting Period 01/01/2010 to 12/31/2010

Judge (Senior status)

[] Initial

5b. [] Amended Report

7. Chambers or Office Address Federal Court House 500 Pearl St - Room 1920 New York, NY 10007

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 last pag~

I. POSITIONS. tRepor~.g individual only; see pp. 9-13 of fitlng instructions.)


--] NONE (No reportable positions.) POSITION
I. 2. 3. 4. 5. Member, Board of Directors Member, Board of Directors Member, Board of Managers

NAME OF ORGANIZATION/ENTITY The Constitution Works World Figure Skating Museum Havens Society

II. AGREEMENTS. me~,orti.g individual only; seepp. 14-16 of filing instructions.)


[~ NONE (No reportable agreements.) DATE PARTIES AND TERMS

Sweet, Robert W.

FINANCIAL DISCLOSURE REPORT Page 2 of 16

Name of Person Reporting S~veet, Robert W.

Date of Report 05/15/201 I

11I. NON-INVESTMENT INCOME. (Xero~ng individual andspouse; seepp, i 7-24 of filing instructions.)
A. Filers Non-lnvestment Income
~] NONE

reportable non-investment income.)


DATE SOURCE AND TYPE INCOME (yours, not spouses)

2. 3. 4.

B. Spouses Non-Investment Income - If you were married during any portlon of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.) DATE


I. 2. 3. 4.

SOURCE AND TYPE

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


(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.)


SOURCE
I. 2. 3. 4. 5.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 3 of 16

Name of Person Reporting S~veet, Robert W.

Date of Report 05/15/201 l

V. GIFTS. a.d.d~ ,hose to spo,s, o.d de~e.de.t ch~ldr,.; ,ee pp. 2s.3 t of filing instructions.)
NONE (No reportable g~s.)

SO~CE
I. 2. 3. 4.

DESCRIPTION

VALUE

5.

VI. LIABILITIES. a.ct.aes those of spouse and dependent children; see pp. 3~-33 of fillng ins~ruaions4
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 4 of 16

Name of Person Reporting Sweet, Robert \V.

Date of Report 05/15/201 I

VI I. INVESTMENTS and TRUSTS - ~nco,~e, votue. ,..,~aaio~ andud,~ those o/spouse and dependent children; see pp. 34-60 of filing instruction~ )
[]

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


Desc~ption of Assets (including trust assets) Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 Transactions during reporting period

Place "(X)" after each asset exempt from prior disclosure

(I) Type (e.g., buy, sell, redemption)

(2) Date mm/dd/yy

(3) (4) Value Gain Code 2 Code I (J-P) (A-H)

(Q-W)
I. 2. 3. 4. 5. 6. 7. 8. 9. 10. II. 12. 13. 14. 15. 16. 17. Pfizer IBM Walt Disney Company AT&T Corp Alcatel -Lucent 3M Imation Corp Proctor & Gamble Co General Electric Co. LSICorp ComcastCorp Smucker J M Company Citadel Broadcasting Amazon.corn Inc. Capital Assets Fund (a) Precision Castparts Precision Castparts A A A A B A B A A A A Dividend Dividend Dividend Dividend None Dividend None Dividend Dividend None None Dividend None None Dividend Dividend Dividend J K K J J L J L J J J J J K J T T T T T T T T T T T T T T T Sold (part) Sold (part) 08/06/10 M 10/12/10 M G G

(5) Identity of buyer/seller (if private transaction)

I. Income Gain Codes: (See Columns BI and 1)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes ISle Column C2)

A :$1.000 or less F :$50.001 - $100.000 J =S 15.000 or less N -$250.0OI - $500.0~O P3 =$25.00~.001 - $50.0~0.000 Q =Aplxaisal U -Book Value

B =$1,001 - $2.500 G ~$100.001 - $1.0~0.000 K =$15.001 - $50.000 0 =$500.001 . $ 1.000.000 R Cost (Real Eslatc Only) V =O~her

C -$2.501 - $5,000 III =$1.000.001 - $5.0~.000 L =S50.001 - $100.000 PI =$1.000.0OI - $5.000.000 P4 =More than $50.000.000 S =Asscssm.,:nt W =Estimated

D = $5.001 - $15.000 112 =More than $5.000.000 M =510~.001 - $250.00) P2 =$5.000.001 - $25.000.000 T =Cash Market

E =$15.001- $50.000

FINANCIAL DISCLOSURE REPORT Page 5 of 16

Name of Person Reporting Sweet, Robert W.

Date of Report 05/15/201 I

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Asse~s (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 Transactions during reporting period

j O)
[ Amount i Code I (A-H)

(2)
Type (e.g., div., rent. or int.)

i
18. 19. 20. 21. 22.
23.

(I) Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm/dd!yy Code 2 Code I (J-P) (A-H)

(5) Identity of buyerlseller (if private transaction)

PrecisionCastparts Wells Fargo Company General Electric Schlumberger Lid Schlumberger Lid
Transocean Inc

A B B A A

Dividend Dividend Dividend Dividend Dividend


None M T

Sold

10/26/10 M

Sold Sold (part) Sold


Sold
M T

09/22/10 K 08/06/10 L 09/14/10 M


05/07/10 K

E F F E

24. 25. 26. 27. 28.

Amazon.com Inc IsharesComexGold Trust Raytheon Microsoft L3 Communications C B B

None None Dividend Dividend Dividend None D A Interest Dividend None D E Distribution Distribution

29. Proshares Ultrashort 30. 31. 32. 33. 34. USTN 1.375% TIP 7/15/18 Fidelity Trust Co Intl Money Market Fund

Sold

[10/12/10 K

O
PI

T
T

(a)
Knolls I1 Villa LP Estes- Sheridan LP NPStratham LLC

J J M

U u U

I. Income Gain Codes: (See Column:~ B I and D4) 2. Value Codes (See Columns CI 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 - $50.090.0<)0 Q =Appraisal U =~rook Value

B =$1.001 - $2.500 G =$ 100.001 - $ 1.0~0.000 K =$15.001 - $50.000 O -$500.001 - $1.000.000 R =Cosl (Real Eslawc Only) V =Olh...ar

C =52.501 - $5.000 I I I =$ 1.090.001 - $5.000.000 L :$50.001 - $100.00~ PI =$1.000.001 - $5.000.00) P4 =More Ihan $50.000.0~0 S =Assessment W =Estimated

D -$5.001 - $15.000 I 12 = M ore than $ 5.000.000 M =$100.001 . $250.000 P2 =$5.000.001 - $25.00~.000 T -Cash Market

E =$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 6 of 16

Name of Person Reporling Sweet, Robert W.

Date of Report 05/15/2011

VII. IN VESTMENTS and TRUSTS -income, value, transactiom (Includes those of spouse and dependent children; seeplx 34-60 of filing instruction~)

[~]

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


Description of Assets (including trust assets) Income during reporting period (It (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period O) (2) Value Value Code 2 Method Code 3 (J-P) Transactions during refitting period

())
Type (e.g., buy, sell, redemption)

Place "(X)" after each asset exempt from prior disclosure

(2) (3) (4) Date Value Gain mm/dd~,y Code 2 Code I (J-P) (A-H)

(Q-W)
35. 36. NP DoverLP NPNashua LLC

(5) Identity of buyer/seller (if private transaction)

G D G

Distribution Distribution Distribution


None

J M J
J N

U U U u U U U

37.
38. 39.

NPFairhaven LLC
NP Hanson LLC NP Portfolio Account LLC

E Distribution

40. NPS2LLC 41. 42. 43. 44. Trust#1 (lines44- l15)(b) Abbott Labs Execwest LLC

None None

J J

E Distribution

45. Accenture Ltd 46. Ace Limited 47. 48. 49. 50. 51. AesCorp AesCorp Altera Corp Amgen Applelnc
Buy Sold (pan) Sold Buy

04/12/10 06/08/10 11/24/10

J J K

05/20/I 0

I. Income Gain Codes: (Sc Columns BI and D4) 2. Value Code* ISee ColumrLs C[ and D J) 3. Value Method Codes ISee Column C2)

A $1.000 or less F =$50.001 - $ I 0~,000 J =$15.000 or I,:~s 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 -$15.0OI - $50.000 O =$500.001 - $ 1.009.000 R -Cost (Real Estate Only) V -Otho"

C =$2.501 - $5.000 I I I =$I.000.001 - $5.0(~.000 L =$50.0~I PI =$1.000.001 P4 =More tlmn $50.000,000 S =Asscssntent W Eslimated

=$5.001 - $15.000 12 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000.000 =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 7 of 16

Name of Person Reporting Sweet, Robert W.

Date of Report 05/15/2011

VI I. INVESTMENTS and TRUSTS - i.co,.e, vatue, ~a,~.,~io,~ a.ctud~ those of spouse o.,t depe.de.I children; seepp. 34-60 of filing instruction~.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)

Place "(X)" after each asset exempt from prior disclosure

Income during reporting period (~) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)

Gross value at end of reporting period (~) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)

Transactions during reporting period

(i) Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm!dd/yy Code 2 Code I (J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

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

Applelnc Apollo Group BMC Software Inc. BMC Softwarelnc Burlington Northern Capital One Financial Cardinal Health Inc Cardinal Health Inc Computer Science Cooagra Food Exxon Mobil Corp Exxon Mobil Corp Exxon Mobile Corp Freeport-Mcmm Freeport-Mcmm Freeport-Mcmm Hershey

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

08/19/10 01/14/10 05/20/10 07/22/10

J K J J K K K J J 3 J J J K J J J C B D D D B A E

Redeemed 02/17110 Buy Buy Buy (addl) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Buy Buy (addl) Sold (part) Buy 04/13/10 03/05/10 04/09/10 05/28/10 06/3 O/I 0 04/08/10 04/12/10 05/20/10 04/30/10 06/I 7/10 07/29/10 10/28/10

I. Income Gain Codes: (See Columns Bt and I)4) 2. Value Codes ISce Columm CI and D3) 3. Value Mcwhod 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 ~3 =$100.001 - $1.000.000 K :$15.001 - $50.000 0 :$500.001 - $1,000.000 R =(ost (Real Estate Only) V =O~hcr

C =$2,501 - $5,000 I11 =$1,000.001 - $5.0~0.000 L :$50.001 - $100.000 PI =$1,000.001 - $5.000.000 P4 =More than $50.000.000 W =Estimated

D =$5.001 - $15.000 112 =More lhan $5,000,000 M =$109,001 - $250.000 P2 =$5.000,001 - $25.000,000 T =Cash Market

E :$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 8 of 16 VII. INVESTMENTS and TRUSTS - inc ......

Name of Person Reporting Sweet, Robert W.

Date of Report 05/15/201 I

lue, tr .... lions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)

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


Description of Assets Income during Gross value at end Transactions during ~orting period

(including trust assets) Place "(X)" after each asset exempt from prior disclosure

reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)

of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W)

0) Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.

Hewlett Packard ttewlett Packard ITT Industries IBM IBM International Paper Co IntemationalPaper Co Kraft Foods Kruger Lauder Estee Co Lauder Estee Co Lauder Estee Co. Lauder EsteeCo. Lauder EsleeCo. Limited Brands Lowes Marathon Oil

Sold (part) Sold

04/12/10 J 09/21/10 K

B C

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

04/12/10 06/17/10 03/04/10 05/28/10 04/12/10 04/12/10 01/21/I0 01/29/10 06/04/10 07/01/10 12/22/10 06/03/10 07/15/10

J J J J K J J J J J J K J

B C

A B D

I. Incomc Gain Codes: (See Columns BI and D4) 2. Value Codes (see Columns CI and D3) 3. Value Method Codes (See Column C2)

A-$1.000 or less F =$50,001 - $100,000 J :SI5,000 or less N =$250.001 - $500.000 P3 =$25,000,001 . $50,000,000 Q =Appraisal U =Book Value

=$1.001 - $2.500 =$100.001 - $1.000.000 =$15.001 - 350.00~ =$500:301 - $l.00O.000 ~Cost IRcal Estate Only)

C =$2.501 I t I =$ 1.0~0,001 - $5.0~).000 L =$50.001 PI =$I.0~0.001 - $5.01~I.000 P4 =M~e lhan $50.000.000 S ~Asscssmcrlt W Estimated

D =$5.001 - $15.000 112 =More than $5,000,000 M =$10~.001 - $250.000 P2 =$5.0~0,001 - $25,000.000 T Gash Market

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 9 of 16

Name of Person Reporting Sweet, Roberl W.

Date of Report 05/15/2011

VI I. IN VESTMENTS and TRU STS -income, value, transactions (Includes those of spouse and dependent children; see plx 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including ha~t assets) Income during repoaing period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-VO (I) Type (e.g., buy, sell, redemption) (2) Date (3) Value (4) Gain Code 1 (A-H) (5) Identity of buyer/seller (if private transaction) Transactions during reporting period

Place "(X)" after each asset exempt from prior disclosure

mm/dd;3y Code 2 (J-P)

86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.

McDonalds Corp Microsoft Microsoft Microsoft Motorola Motorola NRG Energy Inc Prudential Qwest Comm Qwest Comm Qwest Comm Sara Lee Target Target Buy (addl) Buy (addl) Sold (part) Buy Buy (addl) Sold (part) Buy Sold (part) Sold (part) Sold (part) Buy Buy Buy (addl) Sold (part) Sold (part) Sold (part) 01126110 01/15/10 10/28/10 09/21/10 10/28/10 04/12/10 06/04/10 01/29/10 04/12/10 08/19/10 07/01/10 03/05/10 04/09/I 0 04/29/10 04/08/10 04/12/10 J J J K J J J J J J J J J J K J B E D B C B

100. Travelers Co 101. United Technologies 102. United Technologies

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

A =$1.000 or less F =$50.001 - $ 100,000 J =SI 5.000 or less N =$250.001 - $500.000 P3 =$25.000.001 - $50.0~0.000 Q -Appraisal U -Book Value

B =$1,001 - $2.500 G =$100.001 - $1,000,000 K ~$15,0OI - $50.000 O =$500.001 - $1.000.000 R =Cost {Real Estate Only) V =O~her

C =$2,501 111 =$ 1.000.001 - $5.000.000 L =$50.001 - $100.000 PI =$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Asscssmcm W =Eslimalcd

D ~$5,001 - $15.0OO 112 =More lhan $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =C~h Markc~

E =$15.001 - $ 50.000

FINANCIAL DISCLOSURE REPORT Page 10 of 16

Name of Person Reporting S~veet, Robert W.

Date of Report 05/15/2011

VII. INVESTMENTS and TRUSTS - i,come. ,alue. ~ra~ctio,~ anel,des thos, o/spous, o,d dependent children; see pp. 34-60 of filing instructionx)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period (I) (2) Amount T:ype (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value mm/dd?yy Code 2 (J-P) Gain Code I (A-H) (5) Identi~y of buyer/seller (if private transaction) Transactions during reporting period

Place "(X)" after each asset exempt from prior disclosure

103. United Technologies 104. United Technologies 105. Unitedhealth Group 106. WSTN Digital 107. Walgreen 108. Walgreen 109. Walgreen I I 0. Walgreen 111. Wal Mart 112. Xilinx lnc 113. Xilinx Inc 114. Yum Brands 115. Yum Brands 116. CMA Money Fund (a) 117. 118. Trust #2 (lines 119 -151) (b) 119. USTN 1.875% due 7/15/19 G Distribution P1

Sold (part)
Sold

05/20/10
08/19/10

J
K

D
E

(part)

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


Sold

04/12/10 K 06/04/10 J 06/18/10 08/19/10


10/14/10

J J
J

Sold (part) Sold

04/12/10 J 03/05/10 K

C C J J A A

Sold (part) Sold (part)

06/04/10 07/15/10

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

A =$1.000 or less F=$50.001 - $100,000 J =$15.000 o~ less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.0~0 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G =$100,001 - $1.0~),000 K =$15.001 - $50,000 O =$50~.001 - $1.00~.00~ R =:Cos! (Real Estate Ordy) V =O~ho"

C =$2.501 - $5,000 I I I =$ 1.000.001 - $ 5.000.000 L =$50.0~1 - $100.0~0 PI =$1.000,001 - $5.0~0.000 P4 =More than $50.0~0.000 S =Ass~ssmo~l W Eslimatcd

D =$5,001-$15,0~0 112 =More lhan $5.000.000 M=$100.001- $250.000 P2 =$5,000.001- $25.000.000 T::Ca.sh Market

E ~$15.001-$50.000

FINANCIAL DISCLOSURE REPORT Page 11 of 16

Name of Person Reporting S~veet, Robert W.

Date of Report 05/15/2011

VII. INV ESTMENTS and TRU STS - inco,,,e, votue. ,,unsac,ions and,des,hose o/spouse ond dcpc,~e,, ch it~re.: see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period (I) (2) Type (e.g., Amount Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period Transactions during reporting period

(])
Value Code 2 (J-P)

(2)
Value Method Code 3

Place "(X)" aller each asset exempt from prior disclosure

Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mrrddd/yy Code 2 Code I (J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

120. Apple Inc 121. BPPLC 122. BP PLC 123. Comtech Telecomm 124. Dell Inc 125. Enro Pharmaceuticals 126. Forest Labs 127. Garmin 128. General Dynamics 129. Gilead Science 130. Gymboree 131. Herman Miller 132. Korn/Ferry Intl 133. Korn/Ferry Intl 134. Medco Health Solutions 135. Microsoft 136. National Oilwell

Sold (paa) Sold (pan) Sold


Buy Sold Sold Sold

09/22/10 06/15/10 06/29/10


12/29/10 05/11/101 09/28/10 08/06/10

M L L
L L M L

F F F

F E

Buy Sold Sold

12/10/10 04/06/10 10/12/10

M M L F E

Sold (paa) Sold

08/06/10: L 09/21/10 L

Sold

12/06/10 M

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

A =$1,000 or less F =$50.001 - $10~.000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25,009.0OI - $50.000.0~0 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G =$100.001 - $1,000.000 K =SI5.0OI - $50.000 O =$500.0OI - $1,000.000 R =Cosl (Real Estate Only) V

C =$2,501 - $5.000 I I I =$ 1.000,001 - $5,000.000 L =$50.0~1 - $100.000 PI =$1.000.001 . $5.000.000 P4 =More than $50.0~O.0~0 S = Asscssnlenl W =Eslimatcd

D =$5,001 - $15.000 112 =More Ihan $5,000.000 M =$100.001 , $250.000 P2 =$5.000.0OI o $25,000.000 T =Cash Markcl

E =$15.0~1- $50.1)00

FINANCIAL DISCLOSURE REPORT Page 12 of 16

Name of Person Reporting Sweet, Robert W.

Date of Report 05/15/201 I

VII. INVESTMENTS and T RUSTS - i,cor~,, vato,, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period
(I) (2) Gross value at end

Transactions during reporting period


(i) Typ~ (e.g., buy, sell, redemption) (2) (3) (4) Dale Value Gain mm/dd~ Code 2 Code I (J-P) (A-H) (~) Identity of buyer/seller (if private transaction)

, Amount i Code I i (A-ID

Type (e.g., div., rent, or int.)

of reporting period (D (2) Value Value Code 2 Method


(J-P) Code 3

137. Nucor 138. North Colorado Springs Land & Irnprovemnet Co. 139. Power-One Inc 140. Proshares Ultrashort 141. Sandisk 142. Terra Industries 143. CF Industries 144. Western Digital 145. Fiduciary Trust Intl Money Market (a) 146. MW Global Partners LP 147. Pershing Sq LP 148. Australian Govt 5.75% due 06/15/201 I 149. Canadian Govt 2.0% due 09/01/12 150. Norweign Govt 6.0% due 05/16/201 I 151. European Bank Recon & Dvlp 9.25% due 09/10/2012 152. 153. Trust #3 (lines 154- 176)(b) None PI T

Sold

10/12/10 L

Buy Sold Buy

12/06/10 05/20/10 09/24/10

L M M M K G B

04/16/10 I Merged I (with line 143) Sold 10/12/10 Buy

10/12/10 M

Buy Buy Buy Buy Buy

08/31/10 08/26/10 08/26/10 08/20/10 11/17/10

PI L L L M

I. Income Gain Codes: (See Columns BI and IM) 2. Value Codes (S~c Columns CI and D3) 3. Value Method Codes (See Cohlmn 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 - $50.000.090 Q =Appraisal U =Book Value

B $1,001 - $2.500 G = $ 100.001 - $ 1.000.000 K =$15.001 - $50.000 0 :$500.001 - $ 1.00~.0OO R =Cosl IRcal Eswatc Only) V -Other

C =$2.501 - $5,00(] Ill =$1,000.001 - $5,000.000 L =$50.001 - $100.000 PI =$1.000.001 - $5,000.000 P4 =More than S ~Asscssmen! W =Eslimated

D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.00~.000 T =Cash Market

E :$ 15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 13 of 16

Name of Person Reporting S~veet, Robert W.

Date of Reporl 05/15/2011

V 11. IN V ESTME NTS and T RU STS - income, ,olue, ~a,~actio~ anclud~ those o/spo,,se 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 (l) Amount Code 1 (A-H) I (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method Code 3 (J-P) (Q-w)
Transactions during reporting period

(0
Type (e.g., buy, sell, redemption)

(2)

(3)

(4)
Gain Code I (A-H)

(5)
Identity of buyer/seller (if private transaction)

Date Value mm/dd?yy Code 2 (J-P)

154. Fiduciary Trust Intl Money Market (a) 155. Berkshire ttathaway 156. Cephalon 157. Comtech Communications 158. Commtech Communications 159. Flour 160. Forest Labs 161. Natl Oilwell Varco 162. Proshares Ultrashort 163. PSRQ Partners 164. PSRQ Partners 165. SPDR Gold Trust 166. Terra Induatries 167. CF Industries 168. Estes- Sheridan LP 169. NP Strathan LLC
170. NP Dover LLC

Buy Buy Sold Sold

12/06/10 M 12/06/10 M 12/29/10 L 12/06/10 M E

Sold Sold Buy Sold

12/06/I 0 10/12/10 04/09/10 10/08/10

L K O O

Merged 04/16/10 (with line 167), Sold 10/12/10 K

I. Income Gain Codes: (See Colunms BI and D4) 2. Value Codes (S~ Column5 CI and D3) 3. Value Melhod Codes (See Column

=$1,000 or less =$50.001 - $100.000 =$15.000 or Itss =$250.001 - $500,000 P3 =$25,000.001 - $50,000.000 Q Appraisal =Book Value

B =$1,091 - $2.509 G=$100.001 - $ 1.000.000 K =$15,001 - $50.000 O =$500,001 - $ 1,000.000 R -~ost (Real Eslate Ol~ly) V =Other

C =$2,501 - $5,000 I I I =$ I .OO~,O01 - $5.000,000 L =$5,0.001 - $100.000 PI =$1.000,001 - $5.000,000 P4 =More Ihan $50.000,000 W =Esfimalcd

D =$5,001 - $15.000 112 =More lhan $5,000.1~00 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000.000 Y =C~h Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 14 of 16

Name of Person Reporting S~veet, Robert \V.

Date of Report 05/15/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (lnclude~ those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting p~riod Gross value at end of reporting period Transactions during reporting period

! (I)
] Amount i Code I ~ (A-H)

(2)
Type (e.g.. div., rent, or int.)

(1)
Value Code 2 (J-P)

(2)
Value Method Code 3

(i) Type (e,g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm/dd/hyy Code 2 Code I (J-P) (A-H)

(Q-w)
171. NP Nashua LLC
172. NP Fairhaven LLC

(5) Identity of buyer/seller (if private transaction)

173. NP Hanson LLC 174. NP Portfolio Account LLC


175. NPS2 LLC 176. Execwest LLC

177. 178. Citibank money market account 179. Citibank checking account 180. JPMorgan Chase checking account 181.
182.

Interest None None

J J J

T T T

183.

I. lncomc Gain Codes: (See Columns BI and 2. Value Codes IScc Columm CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or tess F =$50,001 - $100,009 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 - $50.00~ 0-$500.001 - $1.000,000 R =Cost IRcal I~tate Only) V = Oth,"r

C =$2,501 - $5,000 I I I =$ 1.000.0~ 1 - $5.0~.000 L =$50,001 PI =$1.000,001 - $5.000.000 P4 =More than $50.000.0~0 S =Assessment W =Eslimated

D -$5.001 - $15,000 t12 =More than $5,000,000 M =$10~.001 - $250.000 P2 =$5.000,001 - $25,000.000 T =Cash Market

E =$15,001 - $50.000

FINANCIAL DISCLOSURE

REPORT

] NameofPer~on Reporting

Dale of Report

Page 15 of 16

I Sweet, Robert \V.

05/15/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


VII. Investements and Trusts (a) = This is a money market type fund with shares remaining at a constant value of $1.00. Purchases and sales, with no gain or loss, were made throughout the year. (b) = Income beneficiary only.

FINANCIAL DISCLOSURE REPORT Page 16 of 16 IX. CERTIFICATION.

Name of Person Reporting S~veet, Robert \V.

Date of Report 05/15/201 I

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 ~vas ~vithheld because it met applicable statutory provisions permitting non-disclosure. ! 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] Robert W. Sweet

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS 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

You might also like