Professional Documents
Culture Documents
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. ~ 101-111)
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 page.
II. AGREEMENTS. ~Reponin~ individual only; see pp. 14-16 of filing instructions.)
~-~ NONE (No reportable agreements.)
DATE PARTIES AND TERMS
Covello, Alfred V.
B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria..)
DATES
LOCATION
PURPOSE
V. G IFTS. an,ludes those to spouse und dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
I. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. anctudes tho~e olspouse and depen,~en~ children; see pp. 32-33 of filing instructiotls.)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 oyfiling 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 Gross value at end of reporting period (1) Value Code 2 (J-P) Code(Q.W)3 (2) Value Method (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) i (4) Date Value / Gain mm/dd/yy Code 2 [ Code 1 (J P) (A-H)
(i)
Amount Code 1 (A-H)
(2)
Type (e.g., div., rent, or int.)
(5)
Identity of buyer/seller (if private transaction)
RMA Tax Free Money Market 2. 3. 4. 5. 6. 7. 8. 9. Bk of New England CH. 7 Bankruptcy (8/23/2004) HP A SWK MCD PEP SCI UBS IRA MMF UBS Bank Deposit IRA Real Estate, Bidderford, ME (1/2 Interest) Real Estate, Naple FL (I/2 Interest) Real Estate, Farmington CT Schwab Brokerage # I
T AAPL Schwab Money Market (MMF)
Dividend None
K J J J J J J J J J M O PI
T U T T T T T T T T W W W
A A A A A
B A C D C
Dividend None
J K M
Dividend
1. Income Gain Codes: (See Columns BI and D4) 2. Value (odes (See Columns CI and 3. Value Mcthed (A~des IScc Column (2)
A =$1,000 or less F =$50,001 . $100,000 J =$15.000 or less N =$251),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 H 1 =$1,000,001 - $5,000,000 L $50,001 - $100,000 P I =$ 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 F2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15.001 - $50,000
VII. INVESTMENTS and TRUSTS - inco,.e, vat.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure 13. Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) Date Value mm/dd/yy Code 2 (J-P)
(4) (5)
(Q-W)
18. CATO A Dividend
K K K J K K K J K
T T T T T T T T T
J J K
19.
DTE
Dividend
20.
ETN
Dividend
121.
GOOG
None
122.
GS
Dividend
23.
HPQ
Dividend
09/28/10 04/29/10
J J
B B
24.
IBM
Dividend
25.
KFT
Dividend
26.
MRK
Dividend
27.
MS
Dividend
Sold Sold
J
09/28/10 09/28/10
J K
A A
28.
NE
Dividend
29.
NVT
Dividend
T T T T
Sold 04/29/10 K A
30.
PG
Dividend
3 I.
PM
Dividend
J J
32.
PTV
Dividend
33.
RTN
Dividend
34.
SCHW
Dividend
I. Income Gain Codes: (See Columns BI and 1341 2. Value Codes (See Columns C I and D31 3. Value Method Codes ~Sce Column C21
A =$1.000 or less F =$50,001 - $100.000 J =$15.0011 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 -O~hcr
C =$2.501 - $5,000 HI =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P 1 =$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 o $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15.001 - $50.000
VII. INVESTMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D 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) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption) Transactions during reporting period
(2)
(3) O-P)
(4)
Gain Code I (A-H)
(5)
Identity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
TNC VZ YUM MA 5.625% ST Port Rev MA 5.5% Pt Auth Rev XLP VFH YUM TRV NKE CT State Gen Rev 4% Stamford CTGO4% VTI VHT CVY XLE EFG
A A A A B A A A A A B B A A A A A
Dividend Dividend Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend
K J J
T T T Matured 07/01/10 J A
T Sold 09/28/10 J A
K K K J L L L K L K K
I. Income Gain Codes: ( See Columns B 1 a nd D4 ) 2. Value Codes (See Cohmms CI and D3) 3, Value Method Codes (Scc Column C2)
A =$1,000 or less F =$ 50,001 - $100.000 J =$15,01)0 or less N =$250.001 - $500,000 P3 -$25,000,001 - $50,000,000 Q =Appraisal U =Book Vuluo
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 H 1 =$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 =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 Y =Cash Marke~
E =$15,001 - $50,000
e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66, 67. 68.
IJK IJJ IJT IJS IWB HYG EMB FXI DBC PID SCHV XLY XLB XLK SDY VWO VNQ
A A A A A C C A A B B A A A B A A
Dividend Dividend Dividend Dividend Dividend Int./Div. Int./Div. Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
Sold (part)
09/28/10
Sold (part)
09/28/10 K
1. Income Gain Codes: (See Columns B 1 and 194) 2. Value Codes (See Columns C I 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 H 1 =$1.000.001 - $5,000,000 L -$50,001 - $ 100,000 P I -$ 1.000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimalcd
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 Markct
E =$15.001 - $50.000
tions (Includes those of spouse and dependent children; seepp. 34-60 of f!ling instructions.)
69. CTGO3.5% 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. Pinal County AZ 5% NY City 5.25% GO Louisiana ST Correc 5% MidlandTX 5% GO Vernon CT 4% GO CitizensPPty FI Rev 5% Reagan Cty TX 4% GO Utah Wtr Auth Rev 5% MagnoliaTX 5%GO NY State Dorm 5%
A A D B B C C C C C c A A B B D B
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest
K M L K K M M M M M M M M L K M K T T T T T T T T T T T T T
80. Northside TX 3.5%GO 81. 82. 83. 84. 85. Mass. State Health 5% CA State Econ 5% San Fran CA Rev4% Tarrant County TX 5.75% UCONNGO 5%
I. Income Gain (odes: (See Columns B I and D4) 2. Value Codes (See Colunms C I and D3 ) 3. Value Melhod Codes (See Column (2)
A=$1,000 orlcss F ~$50.001. $100,000 J =$15.000 orlcss N =$250,001- $500,000 P3 ~$25,000,001- $50.000.000 Q=Appraisal U =Book Valuc
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 - $5,000 H I =$ 1,000,001 - $5,000,000 L $50,001 - $100.000 P 1 =$ 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 Markct
E =$15.001- $50,000
VII. INVESTMENTS and TRUSTS -income, value, ira .... tlons (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 D. Transactions during reporting period
(l)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(1)
Type (e.g., buy, sell, redemption)
(2)
Date
(3)
Value
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
Glastonbury 4.5% Schwab Brokerage #2 Schwab MMF ACN AKZOY AHKSY BUD ALU MT BSBR ABX BACH BRGYY BJINY
Interest
A A A A A A A A
K J J J J J J J
T T T T T T T T Sold 03/I 1/10 02/01/10 01/26/10 01/27/10 04/29/10 03/10/10 03/10/10 J J J J J J J A A Buy Buy Sold (part) 03/08/10 11/24/10 06/23/10 J J J A
A A A A A
J J J J J
T T T T T
1. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C 1 and D3) 3. Value Melhod Codes (See Column C2)
A =$1,000 or lc,s F =$50,001 - $100.000 J -$15,000 or less N - $250.001 - $500.000 P3 $25,000.001 - $50,01)0.000 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 Eslale Only) V :Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P 1 =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15.000 [t2 =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
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)
(]) (2)
Amount Code I (A-H) Type (e.g., div., rent, or int.)
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3
(Q-W)
103. BHP 104. BZLFY 105. CCJ 106. CAJ 107. CYOU 108. CVE 109. CNIT 110. C.IREF 111. CHL 112. CEO 113. CS 114. DBOEY 115. DEO 116. EGO 117. EXPGY 118. FMS 119. FJTSY A A A A A A A A A A A None Dividend Dividend Dividend Dividend Dividend None Dividend None None Dividend Dividend Dividend None Dividend Dividend Dividend J J J J J J J J J J J J T T T T T T T T T T T T Buy 03/16/10 J Buy 03/15/10 J J T Sold Buy Buy Buy 12/07/10 04/27/10 04/06/10 01/07/10 J J J J A J T Sold 05/03/10 J A Sold I 1/10/10 J B
I, Income Gain Codes: (See Columns B I and D4) 2. Value Codes (Sec Columns C I and D3) 3. Value Mclhod Codes (Scc (oIunm C2)
A=$1,000 orless F =$50,001- $100.000 J =$15,000 orless N =$250.001- $500.000 P3 -$25,000.001- $50.000.000 Q =App~isal 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 ~Olhcr
C =$2,501 - $5,000 H I =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P I =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D=$5,001- $15,000 H2 =Morethan $5,000,000 M=$100,001- $250,000 P2 =$5,000,001 - $25,000,000 T Cash Market
E =$15.001- $50,000
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.)
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 Transactions during 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
(1)
Type (e.g., buy, sell. redemption)
(2)
(3)
(Q-W)
120. GVDN 121. HBC 122. JUPIY 123. KDDIY 124. KCRPY 125. AHONY 126. LNEGY 127. LVMUY 128. MTNOY 129. MKTAY 130. NSRGY 131. NTDOY 132. NBHGY 133. NVS 134. NVO 135. PBR 136. PUBGY A A A A A A A A A Dividend Dividend None None None Dividend Dividend Dividend None None Dividend None None Dividend None Dividend Dividend J J T T Sold Sold 11/10/10 07/22/10 J J A A J J J J J J J J J T T T T T T T T T Sold Sold 03/15/10 08/05110 J J A A Buy 05/06/10 J Buy Buy 01/13/10 05110/10 J J J T Sold 02/09/10 J A
I, Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns C I 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,O01 - $500.000 P3 =$25.000,01) I - $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.O01 - $1,O00,000 R =Cost (Real Estate Only) V Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P1 =$1,O00,001 - $5,000.OO0 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =M ore than $ 5,000,000 M -$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15.001 - $50,000
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.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure 13. Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (I) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) Date Value mrn/dd/yy Code 2 (J-P)
(Q-W)
137. RUK 138. RHHBY 139. RDSA 140. SAP 141. SGPYY 142. SVNDY 143. SBGSY 144. SGSOY 145. SI 146. SNN 147. SNE 148. SQM 149. SCGLY 150. SDXAY 151. SLW 152. SLT 153. STD A A A A A A A A A A A A A A A Dividend Dividend Dividend None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None Dividend Dividend J J T T Buy Sold Sold 01/12/10 12/10/10 04/27/10 J J J B A J J J J J J J J J J J J T T T T T T T T T T T T Sold 03/17/10 J Buy 10/29/10 J Buy 11/10/10 J
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes IScc (olomn 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 Eslate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P 1 =$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 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (l) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.)
Gross value at end of reporting period Transactions during reporting period
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3
O)
Type (e.g., buy, sell,
redemption)
(2) (3) (4) Value Date Gain mm/dd/yy Code2 Code 1 (J-P) (A-H)
(5)
Identity of buyer/seller (if private transaction)
(Q-W)
154. SUHJY 155. SWBDY 156. TCK 157. TLM 158. TEVA 159. TSCDY 160. TNTTY 161. TKGBY 162. TM 163. UGP 164. UN 165. OUVE 166. VLEEY 167. VOD 168. WSH 169. A A A A A A A A A A Dividend Dividend None Dividend None Dividend Dividend Dividend Dividend None None Dividend Dividend Dividend None J J J T T T J J T T Sold Buy 03/05110 10/22/10 J J A J J J J T T T T Buy Sold Sold (part) 08/02/10 01/28/10 12/10/10 J J J A B J J J T T T Buy Sold Buy 12/02/10 04/26/10 06/21/10 J J J A
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns 1~1 aad D3) 3. Value Method Codes (See Column C2)
A =$ 1,000 or loss 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 Estale Only) V =Other
C =$2,501 - $5,000 H I =$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 =Assessment W =Estimated
=$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 -Cash Market
E =$15,001 - $50,000
1 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. 1 further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance ~vith the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY 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
AO 10 Rev. 1/2011
Report Required by t)~e F.Ihlc.v in Government dct of 1978 (5 U.S.C. app. 101-111)
: 4. Titk (Arid Ill Judg~ Indicate active or senior ststus; magi~ ~udg~ indicate f~lt- or
U.S. District Judge - Senior
IMPOR TANT NOTES: Ti~e ~nstrncaons accompanying tht~ form mu.~ be followed. Complese all par~,
eheeMng the NONE box for each part where you hm, e no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
William & Alice Mort~nsen Foundation
II. AGREEMENTS. rs~o,~s ~m~,1~; ~,rp. ++-++ off+-+ ~=~ ~] NONE (No reportable agreements.)
PARTIES AND TE[UVIS
Covello, Alfred V. A
INCOME
(yours, not ~Dou~~)
$ I 1 !,597.00
B. Spouses Non-Investment Income - If you v,~ere m~rh~d daring any po~ton of tl~ reptm~Ig year,
(Dollm" amounl ~ot r~uired zoept for honoraria.)
~]
1. 2. 3. 4.
~]
2. 3, 4. 5.
NONE ~o re~rtableg~s.)
SOURCE
1. 2.
3.
4.
VL LIABILITIES, a~
NONE (No reportoble liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
(2) o) (4)
Date Val~e Oata mmMd/yy Code 2 ~_xxle i O-P) (A-~)
(5)
Idemity of buye.r/seiler (~f prate tnmsacfion)
RMA Tax Free Money Market Bk of New England CH. 7 Bankraptey (8/23/2004) HP A SWK MCD PEP SCI UBS IRA MMF UBS Bank Deposit IRA Real Estate, Bidderford, ME (1/2 Interest) Real Estate, Naple FL (1/2 Interest) Real Estate, Farmicgton CT Schwab Brokerage #t A Dividend None D Dividend
None A A A A A Dividend Dividend Dividend Dividend Dividend None B A C D C Dividend Int~Div. Rent Rent Rent
U T
T J T T J J T T T M O PI W W W
J K M
T T T Sold 04/29/10 J D
E ~$15,00t - $50,000
Transactions ~ reporting
O)
Amount Code I (A-H)
(2)
Type (e.g., div., rm3t, or ira.)
(t)
(2)
"[yp~ (=g., buy, redemption)
(Q-W)
18. CATO 19. 20. 21. DTE ETN GOOG
A A A
K K K J K K K J K
T T T T T T T T T
(part)
Sold B-F
Sold
J J K
22. GS
A A A A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividcnd Dividend Dividend Dividend
23. HP~
24. IBM 25. KFT 26. MRK
Sold 09/28/10
B B
(part) (part)
Sold 04/29!10
27. MS 28. NE 29. 30. 31. 32. 33. 34. NVT PO PM PTV RTH SCHW
Sold 09/28/10 J
Sold J J J J
T T T T
A
A
09/28/10 K
Sold
04129/I 0 K
A F -L~0,001 - $100,000 J -~-$15D00 or le~ N -$250,001 $500,000 P3 -$25.000D01 - $50,000,000 q U -Bt~. Value
35. TNC 36. VZ 37. 38. 39. 40. 41. YUM MA 5.625% ST Pofl MA 5.5% Pt Aath Re,/ XLP ~l~l
A A A A B A A A
Dividend Dividend Dividend Irttere,t interest Dividend Dividend Dividend Dividend Dividend Interest Interest Dividend Dividend Dividend Dividend Dividend
K J J T Matured 07/0tit0 J K T A
Sold
K K K I L L L K L K K T T T T T T T T Sold Buy T
09/28/10 J
TRV NKE CT State Gen Rev 4/o Stamford CT GO 4"/, VTI VHT CVY
A A B B A A A A A
09/28/10 09/28/10
B -$1.fl01 - $2.500 G "$1 0O,IIOi - $ 1,0O0.00O K =$15.001 - $50.000 0 ~500,001 - $1,0OO.0O0 R =,Cost (Real Eamte Ofly) V =Other
C =$2,501 - f,3,0oO HI w$1,0o0,00l - 15,000,0OO L --$5o,001. $100,0130 PI =$1.0O0,001 - $5,000,000 P4 =Mot* thnn $50,00O,000 S W
D -~.S,U0I - $15,0O0 142 -Mere dana $5,000,(300 M =$J00,00l - $250,000 12 =55,00(3,001 - S25,0O0,0O0 T ,,~._ash bl~ket
E ~$15DO I - $50,000
52,
53.
IJK
lJJ
A A A A A
Dividend Dividend Dividend Dividend Dividend Int./Div. IntJDiv. Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividmad Dividend
K K K J K L L K K K K K K K K K K
Sold (pro)
09/28/10 K
54.
IJT
T T T T
Sold S~ld
C C A A B B A A A B A A
09/28/10 09/28110
J J
B B
(part)
"60. DBC 6t. 62. 63. 64. 65. 66. P1D SCHV XLY XLB XLK SDY
T T T T T T T T Sold 04/29/10
(pro)
E ~i 15$301 -
VII. INVESTMENTS and TRUSTS - ~o,,~ ,~_. ~.~,~ a,~ada t~ of ~, ~,~ de~d~ ~,~; .~ pp. 34-60
~-~ NONE (No reportable income, a~sets, or transactions.)
A
A D
Interest
Interest Interest
K
M L
T
T T
Pinal County AZ 5%
NY City 525% GO Louisiana ST Corr~c 5% Midlend TX 5% GO VemonCT 4/9 GO CitizensPPty FI Rev 5% Reagan Cty TX 4/o GO Utah Wtr Auth Rv 5% Magnolia "IX 5% GO ICY State Dorm 5% Northside TX 3.5%GO Mass, State Health 5% CA State Econ 5%
I~terest L~terest
Interest
K K
M
T T
c C C C C
A
M M M M M
M
T T T T T
T
A B B D
83.
K M K
T T T
85.
UCOI~N GO 5%
2. V~ue Cod~
E -$15,001 - S.SOD(X)
86.
87.
G]axtonbury 4.5%
Schwab Brokmag~ #2
Interest
A A A A A A A A
K J
J J J J J
T T Buy T T T
Buy Sold
03/08/10 J
11124110 06/23/10
Sold
A A A
J J J J
T T T
98. BR O~"
99. BJINY I00. BNPQY |0l. BCS lO2, BAESY
A A
Bay
04/29/10
J A A
(pro)
(~e ~o1~ B t a~l D4) 2o V~d~e Ced~s (See O~nm C! ~xJ D3)
O =55,001 H2 =Mote Ik~ iS,000,000 M =5100,OOt - $25O,0O0 P2 ---~5,000,001. $25,000,000 T ,.Cash b~.et
E ~-115,001 -
{I)
Anmuat Code I (A-H)
(~)
Type (e.g., div.,r~t, ~ lut.)
O)
value Cede2 (J-P)
{2)
(t)
(2)
(3) (4)
Gain Code I (A-H)
(5)
Identity of lrayex/sdlcr (ff private
{Q-W)
103. BHP 104. BZLFY 105. CCJ 106. CAJ 107. CYOU 108. CVE 109. CHIT
| I0. CJREF A None Dividend J T
tmsac~)
Sold 11/10/10
A A A
Sold
05/03/10 J
Said
12/07/I0 J
J J J
Dividend
111.
112. CEO 113. US 114. DBOEY 115. DEO
A A A
Buy
03115/10
A A A
119. FJTSY
Buy
03/16/10 J
-$1.001 -
=$lOO,.00z
~$J$,001 - $50,000
C -$2,501 - $5,000 Hi =Sl,o0o,ool - $S,o00,o00 L ~$~oOOt - $100,0~0 PI ~11,000,001 - $5,000,000 P4 -M~e than $ 3o,00o,000 S =Assessment W =EstimaSed
D =$~o~J - $15,000 !t2 ~4we than M =S 100,0Ol ~2 ~5,0O0,e0i "f .~7.ash MaAet
,-$1s,oo t -
A A
124. KCRPY 125. AHONY 126. LNEGY 127. LVMLrY 128. MTNOY i29. MKTAY 130. NSRGY
131. NTDOY
.l J
B uy
05106/I o J
A A
Dividend None
J J
A A
Dividend Dividend
A -$1 ,l~00 ~r It~ F o$50.001 - $100~0 J =$15,000 or Im N-$250/)01 Q ~AppmJ~l U -Book Valve
B =$1,0~1 - $2,500 G ~$100,001 . $1,000,~)0 K=SI5,001 - $50,000 O=$5oO,00 ! - $1,0O0,000 R ~ (R~I Estate Only)
E =115,0Ol - $50,0flo
W =Estimat~
VIL IN VE S T M E N T S a n d T R U S T S - ~,,~,,,, ,,~,~ =~,~.~,~ a,~,~ ~o,, o/~o,,,, ,~ ,~,,~,,,, ~,~n; ~, p~ s~o o!m,,, ~=~,~o,,.,.~
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (i~c~ding trim mse~) Place "(X)" ~ ~h a~et exemptfmm~iordisclosure B. Income during r~x, niag ~riod C. Gm~s wlue at end of rqxming period D. Transactions dining rel~rtin8 period
(I)
Amotmt Cxxle ! (A-H)
(2)
Type (e.g., div.,rent, or ~.)
(t)
Va.,Me Cede2 (J-F)
(2)
Valae Method ~de 3
(I)
Ty0e (e.g., buy, sen, redemption)
(2)
(3)
(4)
Gain Code 1 (A-R) Identity of buyer/seller (if~riva~e
(Q-W)
137. RUK
138. RHHBY 139. RDSA 140. SAP 141. SGPYY 142. SVNDY 143. SBGSY 144. SGSOY 145. SI 146. SNN 147. SiNE A A A A A Divided Dividend None Dividend Dividend Dividend 3" J J J J J T T T T T T Buy 11110/10 J
tma~)
A
A A
Dividend
Dividend Dividend
J
J I
T
T T
A A A A
Buy
10/29/10 J
Sold
03/IWI0
JA
J J
T
Buy 01112/10 J
A A
Dividend Dividend
Sold Sold
12/10/10 04/27110
J J
B A
B =$1.001. $2,500 0-$100D01 - $1.000.000 K ,-115,0Ol - $50,0O0 O -$500.00! - $!,000,~00 R =co,a (R~I Ema~ Oa~)
,-~2.501 =$ J,000.00l - $5,o00,000 -~50D01 - 51 ---------~ 1,000,00 I -More t~an ~$O,000.0G0 -Estimated
D --$5,0~ I - $15,000 H2 =Mere tim= $5,000,000 M =5100.001 - $250,000 P2 ~$5.000.00|. $25.000,000 "i" ~._.tsh Market
E =~15.001 - $~ODO0
VH. INVESTMENTS and TRUSTS - j,,,,o,,,,. ~,,,.. ,r,,,,,,,,~= a,,a,a~, 1~o,, of#,,,,,,. ,~,~,..,~..~, di~,~,; ..,,~,,,, ~)..o o,:,ra~,, i,,~,,,~,,,~)
~-~ NONE (No reportable income, assets, or transactions.)
154. STD 155. SUHJY 156. ,~WBDY 157. TCK 158. TLM 159. TEVA 160. TSCDY
A A A
Buy
01/25/10 J
Buy Sold
J J J
A
Dividend Nc~e J
Buy
A A A A
Dividend Dividend Dividend Divid(md jNone Dividend T T Sold J J T T T Dividend Matured 07/15/10 L Buy 03/05/I 0 1~22/|0 J A J Buy Sold Sold 08/02/10 01/28/10 12/10/10
J J
A B
A A
Dividend Dividend
E ~$15,00| - $50,000
Date ef 05/09/201
IX. CERTIFICATION.
! certify that all information given above (including information pertaining tn 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 becou~e it met applicable statutory p~ovisiona permitting non-disclmure.
! further certify that earned Income from oat~ide employment and honoraria and the acceptance of gfft~ which have been reported are in compliance with the provisions of $ U.S.C. app. 501 et. seq., ~ U.S.C. 7353, and Judie|al Conference regulations.
Signature
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FMLS 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, I~.E. Washington, D,C. 20544