Professional Documents
Culture Documents
AO IO Re*,. 1/2011
Report Required by the Ethics in Government Act ofl978 (5 U.S.C app. 101-111)
I. Person Reporting (last name, first, middle initial) Hayden, Katharine S. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
5b. [] Amended Report 7. Chambers or Office Address 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
United States District Court Frank R. Lautenberg Post Office & Courthouse Bldg Newark, New Jersey 07101
IMPORTANT NOTES: The instructions accompanying this form must be followe,; Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
Seton Hall University School of Law Federal Judges Association
Hayden, Katharine S.
Ill. NON-INVESTMENT INCOME. (Reporting individual andspouse; seepp. 17-24 of filing instructions.)
A. Filers Non-lnvestment Income D NONE (No reportable non-investment income.) DATE
I. 2010 2.2010 3. 4.
INCOME
(yours, not spouses) $6,000.00 $6,000.00
B. Spouses Non-I nvestm ent Income - If you were married during any portion of the reportlng year, complete this section.
(Dollar amount not required except for honoraria.)
1.2010 2. 3. 4.
LOCATION
Washington, DC
PURPOSE
Workshop
I.
National Workshop for District Judges Committee on Defender Services Committee on Defender Services
2.
10/21/10 to 10/22/10
Washington, DC
Committee Meeting
Hotel, Transportation
3.
12/7/10 to 12/10/10
Naples, Florida
Committee Meeting
4. 5.
V. GIFTS. ancludes those to spouse ~nd dependent children; see pp. 28-31 of filing instructions.) NONE (No reportable gifts.) SOURCE
I. 2. 3. 4.
DESCRIPTION
VALUE
5.
VI. LIAB ILITIES. andude, those olspouse and dependent children; see pp. 32-33 of filing instructiong)
NONE (No reportable liabilities.) CREDITOR
1. 2.
DESCRIPTION
VALUECODE
3.
5.
VII. INVESTMENTS and TRUSTS - income, ralue, transactions (Includes those of spouse and dependent children; see pp. 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
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 i Code I (J-P) ! (A-H) i
1. 2. 3.
BROKERAGE ACCOUNT #1 - Arbor Realty Trust Inc. Common Stock - Consolidated Edison Inc. Common Stock - Duke Energy Corp. (Holding Company) Common Stock A A A B A A A A A A A A A A A None Dividend Dividend Dividend Distribution Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J
J K K J J J J K J K J T T T T T T
5. 6. 7. 8. 9. 10.
- Encana Corp-Cad Common Stock - Enterprise Prods Partners LP Common Stock - GlaxoSmithKline PLC SP ADR Common Stock - JP Morgan Chase & Co. Common Stock - Kimberly Clark Corp. Common Stock - Newell Rubberrnaid Inc. Common Stock
I 1/04/10 06111/10 J
I 1. - Nokia Corp. Sponsored ADR Common Stock 12. 13. 14. 15. 16. 17. - Pentair Inc. Common Stock - Pfizer Inc. Common Stock - Sasol Ltd., Spons. ADR Common Stock - Walt Disney Co. Common Stock - Altria Group Inc. Common Stock - Aqua America Inc. Common Stock
01/26/10
1. Income Gain Codes: (See Columns B 1 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 ~$250,091 - $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 -$500,091 - $1.0~L000 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 PI =$1.000.001 - $5,000.0~0 P4 -More than $50,00~.000 S =As~:ssmcnl W =E~,timatcd
D :$5,001 - $15,000 H2 =Mone than $5.000.000 M =$ 100,001 - $250,000 P2 =$5.000,001 - $25.000,000 T =Cash Market
E =$15,001 - $50,0~O
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 (1) 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 (Q-W) K K J J T T T T
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
B A A A A A A A A
- Chesapeake Energy Corp. Common Stock - Honeywell Intl Inc. Common Stock - Microsoft Corp Common Stock - Mitsubishi UFJ Financial Group Inc. ADR Common Stock -Procter & Gamble Co. Common Stock - Wal-Mart Stores Inc. Common Stock -Citibank NA South Dakota Bank Deposit Program -CVS Caremark Corp. Common Stock -Foster Wheeler AG Common Stock
K J
-L-I Identity Solutions Inc. Common Stock - Transocean Ltd Switzerland Common Stock - Seaspan Corp Common Stock A
Sold
09/24/I 0 J
J J J J
None
Sold
I. Income Gain Code~: (see Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes ISee Column C2)
A =$1,000 or less F =$50.001 - $100.000 J =$15.000 or Ic,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 $15.001 - $50.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V Other
C =$2,501 - $5,000 HI =$1.000.1301 - $5.000.000 L =$50.001 - $100.0~O PI =$1.000.001 - $5.000.000 p4 = More t ban $50.000.000 S =Assessment W -Estimated
D =$5.001 - $15,000 H2 -More than $5.000.000 M -$I00.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Market
E =$15.001 - $50.000
VI I. IN VESTMENTS and TRU STS - 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 0) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (I) (2) Value Value Me~hod Code 2
(J-P) Code 3
(s)
Identity of
Type (e.g.,
buy, sell,
redemption)
(Q-W) 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. - Bristol Myers Squibb Co. Common Stock - Conagra Foods Inc. Common Stock - Deere & Co. Common Stock - El Paso Corp. Common Stock - General Electric Co. Common Stock - H J Heinz Co. Common Stock - Hewlett Packard Co. Common Stock A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J J J J K J T T T T T T T Buy (addl) 12/08110 - Darling Intl lnc Common Stock - Energy Transfer Partners LP Common Stock - Aercap Holdings NV Common Stock - Home Depot Inc Common Stock - Layne Chrislensen Co Common Stock - Lowes Companies Inc Common Stock - McDonalds Corp Common Stock - Wells Fargo & Co Common Stock - BP PLC Spons ADR Common Stock A A A A A B None Distribution None Dividend None Dividend Dividend Dividend Dividend K J J J J K J T T T T T T T Buy (addl) Sold 03/12/10 06/07/10 J J Sold (part) 11/12/10 Sold 02/I I110
I. Income Gain Codes: ISce Columns B I and D4) 2. Value Codes (Scc 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 - $1,000.00~ R =Cost (Real Estate Only) V Other
C =$2,501 - $5,000 HI =$1,000,001 - $5.000.0~0 L =$50.001 - $100,000 PI =$1,000.001 - $5,000.000 P4 -More than $50,000,000 S =Asscssmcnl W =Estimated
D :$5.001 - $15,000 H2 =More than $5,000,000 M -$100,001 - $250,000 P2 =$5,0~),001 - $25,000,000 T =Cash Market
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS - i.co~,o, ,,atuo, 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) Amount Type (e.g., Code 1 div., react, (A-H) or int.)
Gross value at end of reporting period
52.
A A A A B A A A
J J J J K J K K J J
Buy (addl)
08/18/10
53. - Kraft Foods Inc. Class A Common Stock 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. - Marathon Oil Corp. Common Stock - National Oilwell Varco Inc. Common Stock - Nustar Energy LP Common Stock - Otter Tail Corp. Common Stock - Parker-Hannifin Corp. Common Stock - Philip Morris Intl Inc. Common Stock - Quanta Services Inc. Common Stock - Raytheon Company Common Stock - Hudson County NJ Impt Auth Municipal Bond - Cenovus Energy Inc. Common Stock - General Cable Corp Comon Stock - Louisiana Pacific Corp Common Stock - Unilever NY NY Shs Common Stock - Florida Citizens Ppty Ins Corp Sr Sec Municipal Bond
A C A
10/01/10 K
J J J
A A
I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Code~ (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A ~$1,000 or less F =$50.1~ I - $ 109.0~ 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 - $2,500 G =$ 100,091 - $ 1,0~0,0~0 K = $15,001 - $50,1)00 O =$500.001 - $1,000,000 R -Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,00~,001 - $ 5,0~1.000 L =$50,001 - $ 100,000 PI =$1,000,091 - $5,000,000 P4 =More than $50,000,000 S -Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,00~,09~ M =$ I 0(I,0~ I o $250,00~ P2 =$5,000,001 - $25,000.000 T =Cash Markct
E =$15,001 -$50.000
VII. INVESTMENTS and TRUSTS - ineo,,e. ,alue, transuctlons (Includes those of spoase and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during
(including trust assets) Place "(X)" after each asset exempt from prior disclosure
reporting period O) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.)
Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) K K J T T T
Transactions during reporting I~riod (i) Type (e.g., buy, sell, redemption)
(2) Date mm/dd/yy (3) (4) Value Gain Code2 Code I (J-P) (A-H)
69. - New Jersey ST Edl Facs Auth Rev Refdg Kean Univ Bond
A B
Interest Interest
71. - AXT Inc. Common Stock 72. 73. - The Babcock & Wilcox Company
Common Stock None
11/04/10 11/09/10 J J J J J J J J J K J J J K See Note in Part VIII See Note in Part VIII
Spinoff 05/13/10 (from line 77) Sold (part) 08/02/10 11/12/10 12/08/I 0 05/13/10 12/08/10 02/04/10 01/26/10 10/13/10 01~6/10 10/13/10 12/23/10 03/02/10
74. 75. - Boeing Co. Common Stock 76. 77. - McDermott Intemantional Inc. Common
Stock None T None K T
81. - Total S.A Spons ADR Common Stock 82. - Tupperware Corp. Common Stock 83. - Vodafone Group PLC Spons ADR New
Common Stock
84. - Whirlpool Corp Common Stock 85. - Casino Reinvestment Dev Auth NJ Bond
I. Income Gain Codes: (See Columns B I and DA) 2. Value Codes ISce Columns C I and D3) 3. Value I,,tcthod Codes (S~e Column C2)
A =$1,000 or less F =$50.001 - $100.000 J =$15,0~0 or less N =$250.001 - $500,000 P3 $25,00~,001 - $50,000,0~0 Q =Appraisal U =Book Value
B =$1,0~1 - $2,500 G =$100,001 - $1,00~,000 K =$15,0~1 - $50,000 O =$500,001 - $1,0~0.000 R =Cost (Real Eslale Only) V =Other
C =$2,501 - $5,000 H I =$1,0~0,001 - $5,090.00~ L $50,001 - $100,000 P I =$1,000.0Ol - $5,000.000 p4 =More than $50,00~.00~ S =Assessment W =Estimaled
D =$5.001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250.000 P2 =$5.0~.0~1 - $25,000.000 T =Cash Market
VII. INVESTMENTS and TRUSTS - income, ralue, 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 ~ach asset exempt from prior disclosure Income during repening period (I) (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) (Q-W) K Transactions during reporting period (~) Type (e.g.,
buy, sell.
redemption)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97.
- NJ Higher Ed Assistant Auth Bond - Western Asset Municipal Money Market Fund BROKERAGE ACCOUNT #2 - Fidelity Investments Money Market Account - Western Assset Municipal Money Market BROKERAGE ACCOUNT #3 - Citibank NA Bank Deposit IRA/401K ACCOUNTS - IRA Franklin Templeton Mutual Shares Fund Class A - IRA Smith Barney Money Funds Inc. Class A - IRA Smith Barney Money Funds Class A - Guardian Whole Life
B A
Interest Interest
Buy
01114/10 K
See Note in Part VIII
A B
Dividend Interest N
Interest
C A C E
Redeemed 11/30/10
Redeemed 11/30/10 M
1. 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 =$15.000 or les$ N =$250.001 - $500,000 P3 =$25,000,001 - $50.000,000 Q =Appraisal U =Book Value
B -$1.001 - 52.500 G :$100.001 - $1,000.000 K $15.1901 - $50,000 O =$500.001 - $1,000,000 R =Cost (Real Eslale Only) V =Other
C =52,501 - $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 =Asses~.mcnt W =E~timated
D =$5.091 - $15.000 H2 -More than M $100,001 - $250.000 P2 -$5,000,001 - $25,000.000 T -Cash Market
E =$15.001- $50.000
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.
! further certify that earned income from outside employment and honoraria and the acceptance of gifts ~vhich 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.
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. 1/2010
Rel~ort Required by the Ethics in Government Act of 1978 (5 U.S. C. app. 101-111)
I. Person Reporting (last name, first, middle initial) Hayden, Katharine S. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) Article Ill Judge - Active
5b. [] AmendedRepon
United States District Court USPO & Courthouse Building Newark, New Jersey 07101
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.
Revie~dng Officer
Date
IMPORTANT NOTES: The instructions accompanying this form must be followe~L Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
DATE
Havden, Katharine S. A
III. NON-INVESTMENT INCOME. (Reporffng individual andspouse; seepp. 17-24 of filing instructions.)
A. Fliers Non-Investment Income [~ NONE (No reportable non-investment income.) DAT~E
I. 2009 2. 2009 3. 4.
INCOME
(yours, not spouses) $6,000.00 $4,500.00
B. Spouses Non-lnvestment Income - If you were married during any portlon of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
I. 2009 2. 3. 4.
~]
PURPOSE
2. 3. 4. 5.
V. GIFTS. ancludes ,hose ,o spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIAB ILIT IES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.)
CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - i .... e, 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 O) (2) I 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
(J-P) Code 3
(A-H)
(Q-W) 1. 2. 3. 4. 5. 6. BROKERAGE ACCOUNT # I - Alcoa Inc. Common Stock - Arbor Realty Trust Inc. Common Stock A Dividend Sold 08/26/09 J
()
- Consolidated Edison Inc. Common Stock - Duke Energy Corp. (Holding Company) Common Stock - Encana Corp-Cad Common Stock - Enterprise Prods Partners LP Common Stock
T T
K K J K J J J J J J J J
B A A A A A A A A A A
Dislribution Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
8. 9.
- GlaxoSmithKline PLC SP ADR Common Stock - JP Morgan Chase & Co. Common Stock - Kimberly Clark Corp. Common Stock
- Newell Rubbermaid Inc. Common Stock - Nokia Corp. Sponsored ADR Common Stock - Pentair Inc. Common Stock - Pfizer Inc. Common Stock - Sasol Ltd., Spons. ADR Common Stock - Walt Disney Co. Common Stock - Altria Group Inc. Common Stock
T T T
T T
I.IncomcGain 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 =$15.009 or less N =$250.001 - $500.000 P3 =$25,000,001 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2500 G =SI00.001 - $1,000.000 K =$15,001 - $50.000 O =$500.001 - $1.0(30,000 R =Cost (Real Eslate Only) V =Other
C =$2.501 - $5.000 HI =$1.000.001 - 15,000,000 L =$50,001 - $100.0OO PI =$1.000.001 - $5.0~,000 P4 =More than $50.000,000 S =Asses:,mcnl W =Estimated
actions (Includes those of spouse and dependent children: see pp. 34-60 of filing instructions.)
Income during reporting period (I) (2~ : Amount Type (e.g., i Code I div., rent, ii (A-H) [ or
Gross value at end of reporting period O) (2) Value Value Code 2 Method Code 3 0-P) (Q-W) J K T T
18.
A B
Dividend Dividend
Buy (addl)
10/13/09 J
Dividend
Dividend Dividend Dividend Dividend Dividend
K
J J
T
T T Buy (addl) 06/04/09 J
22. - Microsoft Corp Common Stock 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. - Mitsubishi UFJ Financial Group Inc. ADR Common Stock -Procter & Gamble Co. Common Stock - Wal-Mart Stores Inc. Common Stock -American Intl Group Inc. Common Stock
K J
(Y)
-Citibank NA South Dakota Bank Deposit Program -CVS Caremark Corp. Common Stock -Foster Wheeler AG Common Stock -L-I Identity Solutions Inc. Common Stock -Nabors Industries LTD-USD New Commot Stock - Citicorp Trust Bank FSB Bank Deposit Program (Y) - Transocean Lid Switzerland Common Stock - Seaspan Corp Common Stock A None Dividend T T A Interest Dividend None None None K J K J T T T Sold 05/15/09 See Note in Part VIII See Note in Part VIII See Note in Part VIII
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (S~c Colunms CI and D3) 3. Value Method Codes (See Column C2)
A =$ 1,000 or less F =$50,001 - $100.000 J =$15.000 or less N :$250,001 - $500,000 P3 =$25.000.001 - $50.000.000 Q Appraisal U -Book Value
B =$1.001 - 52.500 G =$100.001 - $1.000.000 K =$15,001 - 550.000 O $500.001 - $1,000.000 R =Cosl (Real Estale Only) V =OIhcr
c =s2,50 t - $5,0oo
HI =$1,000,001 - $5.000,000 L =$50.001 - $100,0013 PI =51.000,001 - 55,0Q0,000 P4 =More than $50,000,000 S =As~ssment W -Estimated
o =55,00 ~ - s ~ 5,0~o
H2 =More than $5,000,000 M =$ 100.001 - 5250,000 P2 =$5.000,001 - $25.000,000 T =Cash Market
z =s 15,0o i - sso,0oo
VII. INVESTM ENTS and TRUSTS - inco.,o, ,at.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructionx)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
Code I (A-H)
Gross value at end of reporting period O) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) T
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46.
- Align Technology Inc Common Stock - Annaly Capital Management Inc Common Stock - Darling Intl Inc Common Stock - Energy Transfer Partners LP Common Stock - Genesis Lease Ltd ADR Common Stock - Home Depot Inc Common Stock B A A
Sold
10/05/09
T
T T T Buy (addl) Buy (addl) Buy (addl) 01/22/09 06/04/09 11/05/09
J J J
- Layne Christensen Co Common Stock - Lowes Companies lnc Common Stock - McDonalds Corp Common Stock - Wells Fargo & Co Common Stock A A A A A A A A
T T T T T T Buy (addl) Sold T T 10/13/09 11/02/09 J J A Sold (part) 01/02/09 J See Note in Part VIII
47. - BP PLC Spons ADR Common Stock 48. - Bristol Myers Squibb Co. Common Stock
49. - Colgate Palmolive Co Common Stock 50. 51. - Conagra Foods Inc. Common Stock - Deere & Co. Common Stock
I. Income Gain Codcs: (See Columns B I and D4) 2. Value Codes (See Columns C I and D3) 3. Value Mcthod Code~ (See Colunm C2)
A =$1,000 or less F =$50.001 - $100.000 J =$15.0~0 or less N =$250.001 - $500.0~0 P3 =$25.0~0.0~1 - $50.000.000 Q =Apprai~l U -Book Value
B =$1,001 - $2.500 G =$100.001 - $1,000.000 K =$15.001 - $50.000 O =$500.001 - $1.000.00~ R -Cost (Real Estalc Only) V =Other
=~:~, - s~.~
H | =$1.0~0,001 - $5.000.0~0 L =$50.001 - $109.090
P I =$ 1.000.001 - $ P4 =More than
e =s..o~- s So.~
S =Assessment W -Estimated
Gross value at end of reporting period O) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) J J T T
Transactions during reporting period O) Type (e.g., buy, sell, redemption) (2) i (3) (4) Date I Code 2 Gain ! Value mrrddd/yy , Code I (j_p) (A-H) (5) Identi~y of buyer/seller (if private transaction)
52. 53.
A A
Dividend Dividend
54.
55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66.
A
A A A A A B A A A
Dividend
Dividend Dividend Dividend Dividend Dividend Distribution Dividend Dividend Dividend None
K
J J J J J K J J K J J L J J
T
T T T T T T T T T T T T T T Spinoff 112/09/09 (from line 6) Buy 08/06/09 J J See Note in Part VIII
- Hewlett Packard Co. Common Stock - Kellogg Co. Common Stock - Kraft Foods Inc. Class A Common Stock - Marathon Oil Corp. Common Stock - National Oilwell Varco Inc. Common Stock - Nustar Energy LP Common Stock - Otter Tail Corp. Common Stock - Parker-Hannifin Corp. Common Stock - Philip Morris Intl Inc. Common Stock - Quanta Services Inc. Common Stock - Raytheon Company Common Stock - Hudson County NJ Impt Auth Municipal Bond
A C A
67. - Cenovus Energy Inc. Common Stock 68. - General Cable Corp Comon Stock
I. Income Gain Codes: (See Columns BI and 134) 2. Value Code~ ~See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100.000 J = $15,0Q0 or less N =$250,001 - $500.0~0 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 - $1,0~).000 R :Cost (Real Estate Only) V =Other
C =$2.501 - $5,000 HI =$1,000,0(}1 - $5,000,000 L =$50,001 - $ I 0O,000 PI =$1,000.001 - $5,000,000 P4 =More than S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M = $ 100,0O I - $250,000 P2 =$5.000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,00Q
VII. INVESTMENTS and TRUSTS - i .... o. ,alue, t ...... tions (Includes those of spouse and dependent children; seepp. 34-60 of f!ling 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 (1) Amount Code I (A-H) (2) Type (e.g., div., rent., or int.)
Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) l (3) i (4) Date i Value i Gain [mnddd/yy I Code 2 l Code I
(J-P) i! (A-H)
Code 2
(J=P)
Method
Code 3
(Q-W) 69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85. BROKERAGE ACCOUNT #2 - Fidelity Investments Money Market Account - Western Assset Municipal Money Market BROKERAGE ACCOUNT #3 - Citibank NA Bank Deposit IRAY401K ACCOUNTS - IRA Franklin Templeton Mutual Shares Fund Class A - IRA smith Barney Money Funds Inc. Class A - IRA Smith Barney Money Funds Class A A C Dividend Interest Interest L J M T T T A Interest J T A B Dividend Interest J N T T - Florida Citizens Ppty Ins Corp Sr Sec Municipal Bond - NJ Edu Facs Auth Rev Rfndg Bonds - Uni o f Med/Den of NJ - New Jersey ST Edl Facs Auth Rev Refdg Kean Univ Bond - California St Var Purp Genl Oblig Municipal Bond A B A Interest Interest Interest Interest K L K K T T T T - Louisiana Pacific Corp Common Stock (X~ - Unilever NY NY Shs Common Stock A None Dividend J J T T Buy Buy (addl) Buy Buy Buy Buy ! 01122/09 J 02/04/09 05101/09 04/02/09 06/19/09 03/25/09 J K K K K
(5) Identily of buyer/seller (if private transaction) See Note in Part VIII
! I. Income Gain Codes: (See Columns B I and D4) 2. Value Codc~ (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100.000 J =$ I 5,000 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 - $1,000,000 K =$ I 5,001 - $50,000 O =$500.001 - $1,000,000 R =Cosl (Real Estale Only) V =Other
C =$2,501 - $5.000 HI =$I,000,001 - $5,00~,000 L =$50,001 - $I00,000 PI =$I .000.0~I - $5.000.000 P4 =More than $50,000.000 S =Asscssracnt W =Eslimated
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 - i .... e, value, t ......tlons (Includes those of spouse and dependent children; see pp. 34-60 of filing instructiong)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period Gross value at end of reporting period Value Code2 [ Value [ Method (Q-W) Transactions during reporting period
~-- (2)
Place "(X)" after each asset exempt from prior disclosure
~mount Code I (A-H) Type (e.g.. div., rent, or int.)
(2) (3)
(4)
Gain Code (A-H)
(5)
Identity of buyer/seller (if private transaction)
I. Income Gain Codes: (See Columns B I and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1.00~ or less F =$50.001 - $ 100.000 J =$15.(~0 or less N =$250.001 - $500.000 P3 =$25.0~).0~1 - $50.000.090 Q =Appraisal U =Book Value
B =$1.0OI - $2.500 G =$100.001 - $ 1.0~).0~) K =$15.001 - $50.00~ O =$50(1.0~1 - $1.00~.0~) R =Cosl (Real Eslale Only) V =Other
C =$2.501 - $5.000 H 1 =$1.000.001 - $5.0~0.0OO L =$50.0~1 - $100.00~ PI =$1.00~.0OI - $5.090.000 P4 =More than $50.0~).000 S =Assessment W =Estimated
D =$5.001 -$15.000 H2 =More than S5.04~.0OO M =$100.001 - S250.000 P2 =$5.000.0OI - $25.000.000 T =Cash Market
E =$15.0~1 - $50,000
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 ~vhich 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
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)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544