°

.~o ]o Re~. 1/2010

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

~o~o,~ ~q~i~ by t~ Et~i~
in Government Act of 1978

0 u.s.c. ~p. §§ ;ol-tH)

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.

I. POSI’rlONS. a~n~ ~*-~. ,e,~ ~-IJ ,]’faz~g
~ NONE ~o reportablepositio~.) POSITION
1. Emef~T~ 2. Bo~d ofV~i~, ~w ~h~l

~AME OF ORGANI~TION/E~!~
Unive~i~ of Pi~b~ U~vc~i~ of~b~h
~..: ~

5.

"’,-

_._~ ..-

~, :-~

~

NONE ~o reportable agreementsO ~
I.

PARTIES AND TE~S

Aldisert, Ruggero J.

t

FINANCIAL DISCLOSURE REPORT Page 2 of 1 0

N,m* ot l’e~* R,Ooai~ AIdisert. Ruggero J.

Dire ot a,r*~ 03/11/2010

HI. NON-INVESTMENT INCOME. cR~,a~ ~a ~,d~o~; ~p~ ir-u oIf~ ~.~o~
A. Filer’s Non-Investment Income
[---1 NONE (No reportable non-investment income.) DATE

~OURCE AND TYPE
Nail Institute of Trial Advocacy (Publications Royalties) Nail Institute of Trial Advocacy (Publications Royalties) AuthorHouse (Publictions Royalties) AuthorHouse (Publications Royalties) Thompson Reuters (Publications Royalties) Yao Enterprises (Publications Royalties)

INCOME
(yours, not spouse’s) $9,775.85 $3,236.00 $3,819.25 $15.75 $ 1,641.78 $73.58

I. 2/20/09 2.7/20/09 3.12/3/09 4. 12/3/09 5.3/20/09 6. 8/19/09 7.

B. Spouse’s 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.

~OURCE AND TYPE

IV. REIMBURSEMENTS -t,~o,~,ao.,
(Incl~ t~se to ~ome a~ de~ent chil~n; s~ pp. 2~-27 o filling i~t~o~.) NO~ ~o reportable reimbursements.)

~
1. 2. 3. 4. 5.

~

LOCATION

PURPOSE

ITEMS PAID OR PRQVIDgD

r~nme of Person Reporting

Da~e of Report

FINANCIALpage 3 of 10 DISCLOSURE REPORT

~a~ser~ Ruggero J.

05/11/2010

V. GIFTS. O.d.d~ ~ho~ ,o ~o,~ ,~ d~,~o,~ ~U,~.: ,~ r~ ~-~ ~ of fdlng tnstr.caons.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. an~tu~
NONE (No reportable liabilities.) CREDITOR
1.
2.

DESI~RIPT1ON

VALUE CODE

3. 4. 5.

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting Aldisert, Ruggero J.

Date of Rel~rt

Page d of 10
VII. INVESTMENTS and TRUSTS -/~.~,

05/11/2010

NONE ~o reportable income, ~sets, or tra~actions.)
A. ~pfi~ of A~ (mcl~g ~st ~se~) ela~ "(X)" after ~ch ~$ ~t (A-H) B. ln~ ~ng C. Gm~ va~ at ~D.

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

Inle~ Interest Dividend Dividend L K T T

Red~m~

07101109

J

Sold

11/25/09

J

7.
8. 9. I0. I 1. 12. 13. 14. 15. 16. 17.

---Alliance Bemstein Balaned
---Growth Fund America Inc. --Pimco Commodity Real Return --Pimco Global Multi-Asset -Columbia Acorn, class C A A A Dividend Dividend Dividend J J Sold Buy Buy 06/20109 11/25/09 11/25/09 J J J

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

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting J Aldisert, Ruggero Z.

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 ~

Pla~"~)’afl~h~et ex~pt f~m prior discl~

~t C~e I

T~(e.g. div., ~nt,

Value [ V~ue ~ 2 [ Me~

T~(~g~ buy, s~ll,

~

~le Value [Gain ] ~e 2 ~ C~ I [ J

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.

Columbia FDS Set Tr Alliance-Bemstein Small/MD
Pimco FDS Van Kampen Equity & Income Van Kampen Harbor Va~Kampen Comstock A Van Kampon High Yield Muni CA Columbia Maraico 21st Cent A A A A A

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

06/30/09 06/30/09 07/20/09 07/20/09 07/20/09 07/20/09

J J J K L K

Name of Person Reporting

FINANCIALpage 6 of 10 DISCLOSURE REPORT

I

Date of

AIdisert, Ruggero J"

I
~ 3~
offOing
D. T~ctions d~ng ~g ~ (I) buy, sell, r~ption)

0s,~ it2010

vii. ENVESTMENTS and TRUSTS -~,co~,o, ~,~, t~,~.a~o,~ a.a.,~ ,ho.e *f
NO~ ~o reportable income, ~sets, or tra~actions.)
A. ~ption of~e~ (including ~ ~) B. In,me during ~ing ~fi~ .... "~J ........

sp ..... d ~.de~ c~; ,*e

~;~’(X)’a~er~h~
exempt fmmpfiordi~los~

~t’ T~(e.g.,
~e 1 (A-H) div., ~nt, or int.)

~i$ I ",

C. G~ss vflue at end of ~g ~ (I) ~

V~e
C~e2 (J-P)

V~
Meth~ C~ 3

W~(e.g.,

D~m Iw~ IG~in 1
~ I ~e2 I C~e I 1 l(J’P) I (A-tO 1

(2) "[-~-’~--y

(5)

ldentltyof
~yer/~ller (if

35. 36. 37.

V~ K~ ln~-T~ Muui P~CO Unco~in~ Bond A Block Rock Liquidity Fed-Fund Select

A A A

In~e~st Interest Dividend

K K J

T T T

Buy Buy Buy

~1201~ K ~/20/09 09/20/09 J

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

G ---$I00,001 - $1,000,000 K =$15,001 - $50,000 O ~$500,001 - $ 1,000,0GO

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

112 =More titan M ~$100,001 - $250,000 P2 -$5,000,001 -

(See Column C2)

V =Other

Name of Pcr~n Reportin~

]

Date of Report

~ONE ~o reportable income, ~sets, or tra~actions.)
~pfion of A~ ] l~om¢ d~g G~ value at ~d ~ T~n~ctions during ~ing ~

52. 53. 54. 55. 56. 57.

---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.

--- Bank of America
--Chesapeake Energy Corp -Alcoa --Abbott labs --BP PLC ADR -Caterpillar Inc ---Cliffs Nat Res Inc --Ford Motor Co --Johnson & Johnson A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J I J J J J Buy Buy Buy Buy Buy Buy Buy 01/20/09 01/20/09 03/10/09 03110/09 10/20/09 11/30/09 11/30t09 J J J J J J J

67.
68.

---Masse), Energy Co.
--Annaly Capital Mang. Co

A
A

Dividend
Dividend

J
J

Buy
Buy

11/30/09
: 11/30/09

J
J

FINANCIAL DISCLOSURE REPORT I
Page 8 of ] 0
05/11~010 [ Mdi~r~ Ru~e~ J.

~I. ~ST~NTS and TRUSTS - ~ ~.., t~ a~ ~.~
NONE ~o reportable income, ~se~, or tr~actions.)
A. ~t~n of~e~ B. Income d~ng C. G~ vaMe D.

exmpt from prior ~los~

~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 (add’I) Merged (with line 75) 01/05/09 01/05/09 J 01/01109 J

79.
80. 81.

Phoenix Whole Life
Transarmetica Life Companies Whole Life Penn Mutuial Whole Life

A
A A

Dividend
Dividend Dividend

J
K J

T
T T

82.

{S~ C~Iu~ C2)

U =B~k Value

V~

W =~i~

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a,,~,,,~o~’a~,~

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."

FINANCIAL DISCLOSURE REPORT Page 10 of 10 IX. CERTIFICATION.

Name ofPermn R~po~tng

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

Sign up to vote on this title
UsefulNot useful