Professional Documents
Culture Documents
1/2010
1MPOR TANT NOTES: The instruc6ons accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have ~o reportable information. Sign on last page.
~AME OF ORGANI~TION/E~!~
Unive~i~ of Pi~b~ U~vc~i~ of~b~h
~..: ~
5.
",-
_._~ ..-
~, :-~
Aldisert, Ruggero J.
INCOME
(yours, not spouses) $9,775.85 $3,236.00 $3,819.25 $15.75 $ 1,641.78 $73.58
B. Spouses Non-Investment Income - if you were married during *myportion of the reporfing year, complete this sectio~
(Dollar amount not required except for honoraria) [~ NONE (No reportable non-invesOnent income.)
DATE
1. 2. 3. 4.
~
1. 2. 3. 4. 5.
LOCATION
PURPOSE
Da~e of Report
~a~ser~ Ruggero J.
05/11/2010
DESCRIPTION
VALUE
DESI~RIPT1ON
VALUE CODE
3. 4. 5.
Date of Rel~rt
Page d of 10
VII. INVESTMENTS and TRUSTS -/~.~,
05/11/2010
T~ (e.g.,
T~
I. 2. 3, 4, 5. 6.
Blair C~ Bo~d Santa Barbara Bank & Trust Co. Cantella & Co (IRA) --Columbia Marsico 21stFund --Davis New York Venture --Van Kampen Equity & Income
A A B A
Red~m~
07101109
Sold
11/25/09
7.
8. 9. I0. I 1. 12. 13. 14. 15. 16. 17.
MUTUAL FUNDS Gabelli Asset Davis New York Venture Colm-nbia Acorn Fund CI A American Ftmds:.Growth Fund of America A A A A Dividend Dividend Dividend Dividend K K K K T T T T
Date of Report
Page 5 of 1 0
05/i 1/2010
VII. INVESTMENTS and TRUSTS -~=o,,~ ~. =,~=t~,~ a~,a~ ~o~ o~,~,~ ,~ ~.a~,~ ~u,~,~: ~ ~ ~-~ o~,,,z ~.a~,~)
---] NONE (No reportable income, assets, or tra~actions.) A. ~p~a of Ass~ B. I~o~ ~ng C. ~ ~ Gr~ value ~ ~d D. T~ ~g ~ing ~
~t C~e I
IdeatiWof ~yer/sel~r
w) ............ .....
18. 19. 20. 21. 22. 23. 24. 25. 26. Am~can F~&:T~ Exempt CA "F" Royce Total Return First Eagle Overseas Fund Franklin Mutual Recovery Fd Alliance Bernstein Muni Income Diamond Hill Long-Short Fund Bear Stearns Temp Fund Van Kampen Strategic Muni American Funds Fundamental Invs Inc F-1 A A A A A A A Interest Dividend Dividend None Interest Interest Dividend None Dividend K T K J T T Sold Sold !06/30/09i 0(a/30/09 J J K J K T T T Sold 06/30/09 J
27. 28.
29. 30. 3 I. 32. 33. 34.
None A Dividend
None None Dividend Dividend Interest Dividend J K L J T T T T
Sold J T
Sold Sold Buy Buy Buy Buy
6/30/09
J J J K L K
Date of
I
~ 3~
offOing
D. T~ctions d~ng ~g ~ (I) buy, sell, r~ption)
0s,~ it2010
~;~(X)a~er~h~
exempt fmmpfiordi~los~
~t T~(e.g.,
~e 1 (A-H) div., ~nt, or int.)
~i$ I ",
V~e
C~e2 (J-P)
V~
Meth~ C~ 3
W~(e.g.,
(2) "[-~-~--y
(5)
ldentltyof
~yer/~ller (if
V~ K~ ln~-T~ Muui P~CO Unco~in~ Bond A Block Rock Liquidity Fed-Fund Select
A A A
K K J
T T T
38. 39.
40.
41.
42. 43. 44. 45. 46. 47. 48. 49. COMMON STOCKS Johnson & Johnson Bank of New York Melllon Corp Pfizer General Electric IShares FTSE/Xinhau China 25 Fund Schlumberger LTD Antilles Apple. Inc. A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend None K J J J T T T T K K T T Sold 05/!1/09 J B
50.
51. INVESTMENT CLUB Mission Impossible ParSers C Dividend L T
(See Columm nl and 04) 2. Value Codes (See Colurons CI and D3)
F ~50,001 - $1~0.000 J -~$15,000 or less N =$250,001 - $500,000 P3 =$25,000.001 . $50.000,000 U =Book Value
Ill =$I,000,O01 - $5,~00,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =Mo~ lhan $50,000,000 W =Estimated
V =Other
Date of Report
---B~s~ Ha~way --Exxon Mobil Corp ---Schlumberger Ltd ---Apple,lnc ---Nueor Corp. --United Technologies None Sold 01/20/09 J None Sold 11/20/09 J
58.
59. 60. 61. 62. 63. 64. 65. 66.
67.
68.
A
A
Dividend
Dividend
J
J
Buy
Buy
11/30/09
: 11/30/09
J
J
~e I [ div~ ~L
C~ 2 [
Meth~
buy, sell,
~y~/~ller
(A~2
or int.)
(J-P),
C~3
~ptioa)
(J-P) t (A-H) j
(if pd~
69. 70.
71. 72. 73. "/4. 75. 76. 77. 78. LIFE INSURANCE POLICIES MONEY MARKET FUNDS UBS Financial Services Fidelity Muni Money Market FedFund Select Shares Cantella & Co. Privileged Access Gold Account A A A A Interest Interest Interest lnt./Div. L J J T T Closed Buy (addI) Merged (with line 75) 01/05/09 01/05/09 J 01/01109 J
79.
80. 81.
A
A A
Dividend
Dividend Dividend
J
K J
T
T T
82.
U =B~k Value
V~
W =~i~
In Section VII 1 previously erroneous,y listed line 74 as a separte entity. Rather line 75 is the name ofthe account; 74 is the a.c, se! in the account. I will no longer make n~ferenc~ to Line 74 Line 17: Added family of funds, to wit, American Funds: Growth Funds of America. Line 28: Added family of funds, to-wit, "American funds: Fundamental Inv. Inc. F-I."
Dat.fReport
A~Use~, Ruggero J.
05/11/2010
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, ff 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 provis|ons 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 Tills REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Adminis~ative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Wa~shington, D.C. 20544