Ao lO ~.

,~o,o

I

I

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2~9
2. Court or Organization U.S. Court of Appeals, 2rid Cir 5a. Report Type (check appropriate type) [] Nomination, Date

Repa,~ Req,,ir~d by the Ethics in Gove~e~ Act of 1978 (5 u.s.c ~p. ~ ~omH)
3. Date of Report 5115/2010 6. Reporting Period

1. Person Reporting (last name, firsL middle initial) Leval, Pierre N, 4. Title (Article III judges indicate active or seni~ status; magistrate judges indic.ate full- or paa-time)

01/01/2009
I~I~009

5b. [] Amended Report 7. Chambers or Office Address 40 Foley Square Rm 1901 New York, NY 10007 8. On the basis of the information contained in this Report and any modifications pertaining there~o, it is, in my opinion, in compliance with applicable laws and regulations. Date

Reviewing Officer

IMPORTAfVT NOTES: The instructions accompanying this form ranst be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. rR,po~g ~v,~ o~; ,ce ~. ~ ~ of filing inxtruaiom.)
D NONE (No reportable positions,) POSITION
1. 2. 3. Council member Trustee, Executor Member - Photography Committee Museum of Modem Art

NAME OF ORGANIZATION/ENTITY
The American Law Institute

.

II. AGREEMENTS. (Reporffng ~ndlvidual only; s.e ~1~. 14.16 of filing instmalons.)
NONE (No reportable agreements.)_~: ..... .,." -[.j DATE
L

’~ .. PARTIES AND TERMS ~’..q t7-~ ~’---)

Leval, Pierre N.

IName ~NANCIALpage 2 of 13 DISCLOSU~ ~PORT ~e~e N.

I

of ~erson RepoSing

Date of

~v~,

5/15/2010

A. ~ler’s Non-lnv~ent Income

~

NONE (No reportable non-investment income.) ~ SOURCE ~D TYPE
Intell~tual ~ope~y Visitor - ~wis & Cl~k Law Sch~l -Po~d, OR Te~hing Ni~ In~ma~onal Law Summer Abroad ~ - ~omas Jeffe~on ~h~l of ~w - Nice, F~NCE -Teaching $5,~.~

1. Feb~

2. June

$3,~.~

3, 4.

B. Spouse’s Non-Investment Income - if you were r~ried during any porfion of the reporilng y~r, complete this section.
(Dollar amount not required except for Iwnora~ia.)

[]

NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
State St. Cultural Inst, Pension Plan - pension New York University - teaching U.S. Institute of Museum & Library Seawices - arts funding panel Pollock -Krasner Foundation Hunger College

1. Jan-Dec. 2. Spring 3, January 4. Sprg/Fall 5. Fall

IV. REIMBURSEMENTS -(Includes those to spouse and dependenl children¢ see pp, 2.5-27 of filing instructions,)
~’] NONE (No reportable reimbursements.) SOURCE
1. 2. 3. 4. 5. American Bar Assn Copyright Society

DATES
Feb. 5-7. 2009 June 2, 2009

LOCATION
Phoenix, AZ Washington, D.C.

PURPOSE
Teaching Lecture

ITEMS PAID OR PROVIDED
travel/lodging/food travel/fo~l

FINANCIALpage 3 of 13 DISCLOSURE REPORT

ILeval,

Name of Person Reporting

Date of Report

PlerreN.

511512010

V. GIFTS. o~a~a,~ t~,~ to ~, .... ,,~,t a~,~,~,~ ~,~; ~ ~,. zs.~ of ~ ~,~,~.~
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.

DESCRIFYION "

VALUE

VI. LIABILITIES. o~a~,, ~o~, o.t ,~,o~,, ,.d dop,~d,.t ,~U, Vo,; ,,, ~.~. 3~-~ o/m~s
[’--] NONE (No reportable liabilities°) CREDITOR
l. 2. 3. 4. 5. MONY

DESCRIPTION
Loan on life insurance policy L

FINANCIAL DISCLOSURE REPORT

r~am~ of Person Relmrthl8

Date of Report

Page 4 of 13

Leval, Pierre N.

5/I5/2010

VII. INVESTMENTS and TRUSTS .- ~e .... ~,~. ~,~,cao~s a,,~d,, ~o,, o/ ,po~,, ~ ~,~ ~; ~,, ~. ~o oi #n,~ i~.~
NONE (No report~le income, assets, or transaction.)
A. ~d~on of A~ ~ B. ~ Inco~ during C. Gross v~u¢ at end D. Tr~fio~ during r~ng ~

PI~ "(X)" after ~ch ~t exempt ~om ~or di~l~ure

~ij ..............di" r-. 5)-- ~ ~) .......... ii3 ~--(~i ............ ~ ...... V~ue .....S~i ............. (e,g., T~ (e.g.. Value T~ ~ ~ V~ue Gain ld~fi~ of
~Amount ~[ C~ 1 ~ (A-H) ~ div., ~aL or int.) C~e 2 (J-P) Met~ C~ 3 (~W) T T buy, ~11, ~em~i~) m~d~yy " Co~ 2 [ C~e I ~ (J-P) ~ (A-H) ~ ! 0~4~ 0~ ~/15/~ 09/15~ 09/15/~ N M M M M G F buy~/~ll~ (if private ~s~tion,

1. 2. 3. 4. 5. 6. 7.

Abbot ~bs (eo~on~:: Exxon Mobil (co~on) App[e~ ApplBiosys (ABI) (S~ ~ VIII *)

E D B

~vidend ~vi~nd Di~dend None

O N

Sold

(~)
Sold Sold Merged (with line 6) M K J T T T

Life T~logie~ Applera - Celera Gen (CRA) (formerly PE Celera Genomics(com) MRO A

None None Dividend

8.
9. 10. 1 I. 12. 13. 14, 15, 16, 17.

Daimler Chrysler (common)
FMC Money Mkt ~i: FMC Select Fund (commony~!~, FMC Select Fund - self (See Part VIII **) "- self "- self "- self "- self " - self "- self 1) (Dreyfus)

A
A E

Dividend
Interest Dividend None None None None None None None

J
J N

T
T T Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Buy Sold (part) 01/12/09 01/13/09 01/29/09 02/24!09 03/30/09 04/02/09 04/28./09 K K J N J J J

1, Interne Gain Codes: (Se, Columns B I a.’ut IM) 2. Value Co~es (See Columns CI and D3) 3. Value Melhod Cr~de~ [See Cnlunm C2)

A --$1.0(~ or less F --$50.~| - $11~).900 , J =$15.0~0 or legs N -~25~,~301 - $500.000 P3 --$25.000.00! - $50.000,000 Q-_Aplx-ai~| U =Book Valu©

B =,~ 1.001 - ~,500 G =$10t3.00 i - $1,000,000 K ---$15,~01 - S5t3.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only} V --O~ha"

C --~;2.50 ! - $5,0~0 L P! ---$1.000.001 - $5.000.000 P~ =More thart $50,1~00,030 S --Asses.~menl W :E~tim,~ed

D =$5,001 - $15.000

E=$I5.001 - $50.000

P2 -~$5.000.001 - $25.0(:0.000 T --C~h Manet

FINANCIAL DISCLOSURE REPORT ¯ LevaI, PierreN. Page 5 of 13

I

Name of Person Reporting

Date of Report I

5/15/2010

]

--]

NONE (No reportable income, assets, or transactions.) Description of Assets (including trust as.rots) Plac~ "(XF after each asset exempt f~x~m pdor disclosure

i t

B.

c.

lncon~ during Gross value at end of reponlng period I reporting period ] (l)-~I (2) (1) ,: (2) Valu~ ~ Value ~ Amount’ Type (e,g, div., rent, 2 i Method Code i Code t ! (A+H) orint,) (J-P) i Code3 .
L

.I

D.
Transactions during reposing period ] (2> : (3) (4) ~Value I~Gain ’ / Date i, Code 2 Code [ -mm/dd/yy ! (J-P) ! {A-H) , i (5) Identity of buyer/seltcr (ifprivate transaction)

i t (1> ]"" Type(e.g., I buy. sell. + redemption)

18. 19, 20. 21. 22. 23. 24, 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

"- self " - self "- self "- self "- self "- self "- self "- self " - self "- self "- self "- self "- serf "self "-~ "~ "-~

None None None None None None None None None None None None None None None None None

Sold (part) Sold (part) Sold (part) Buy Sold (P~)

05/28/09 06/08/09 06/29/09 07/02/09 07/30109 08/28/09 09/01/09 09/28/09! 10/02t09 10/28/09 I Lf23109 12/28/09 12/29/09 12/31/09 02/24/09 04/02/09 07/02/09

J K J J J J J J J J J J K J M J J

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

Sold

(part)
Sold (part)

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

Sold

I. Income Gain COd~: (See Columa~ B I and D4) 2. Value Coder, {See Column~ C 1 and D3) 3. Value Method Code~ (See Column C2)

A =$1,000 ta- less F =$50o001 o $1~O.O00 .I =$15,0OO or less N =$2~0,001 - $500.000 P3 -~t25.0UO.001 - $50.000.000 Q =Appr*tLmi O =Book Value

S =$L001 - 52,500 G =$100.001 * $ I ,OOO.O00 K =$15,U01. $50,000 O =$500.001. S 1.0(]O,000 R =~ost (Real F_~ate OMy) V =Other

C -..~2,501 - $5,00(I H I =$1.000.001 - $5.000,000 L =$50,001 - $1O0,O00 PI --$1J~00.001 - $5.000.0~1 P4 =More fftafl $50.000.000 S =Assessmem W =Estimated

D -~5.001 - $15.000 H2 =Mor~ than $5,000.000 M --$100,001 - $250,000 P2 =$5,000.001 - $25.060.000 T--Cash Market

E :$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting L~val, Pierre N.

Date of Report

Page 6 of 13

5115/20t0

VII. INVESTMENTS and TRUSTS - i,~o,,e. ~t~. ~aeao~, a.a~d,~ tho, e of spo .... d dependent children; see pp. 34-60 of filing instruen’ons.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trt~t ~s~ts) P]ac~ "(X)" after each asse~ exemptfmm prior disclosure B. Income during reporting period ~l ! (1) (2) Amount Type (e.g., Code 1 die., rent, or int.) I (A-H) ! C. Gross value at end of reporting period Value Code 2 (J-P) I Va]nc i Method I Code 13 Type {e.g.. buy. sell. redemption) D. Transactions during reporting period ¯ Identity of buyer/seller (if private

| Date :, Value [mnddd/yy i C~3e 2 | ! (J-P)

Gain Code 1 (A-H)

35. 36. 37, 38. 39. 40. 41. 42. 43. ~. 45. 46. 47. 48, 49, 50. 51.

". ". "Lincoln St. Realty 0imited partnership) Hershey (common)(s) Smith Barney Liquid Res Fund (common) Gen. American Inv. (common) (GAM) (s) Chas~ Bank (acccount) (s) Chase Bank account self Citibank account Art Works Chase (Bank of NY) account (trust) Vanguard GNMA Fixed Income Fund (trustl FHKCX FEMKX FSMAX FLGEX C A A A A B B C A

None None None None Dividend Dividend Dividend Interest None None None None Interest Dividend Dividend Dividend Dividend J L K M J M J L J L J J J J W T T T T T T W T T T T T T

Buy Sold Buy

10/02/09 12/29/09 12/31/09

J K l

(part)

Sold

02/24/09

K

E

Sold (part) SoM (part) Sold (part) Sold (part)

01/12/09 01112/09 01112AF) 01/12/09

J J K J

FINANCIAL DISCLOSURE REPORT ’ LevaI, Plerre N. Page 7 of 13 VH. INVESTMENTS and TRUSTS
"’-] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust Place "00" after each asset exempt from prior disclosure ; ! [ B. Income during reporting period Type (e.g., div., real orint.)

Name of Person Retmrtlng

Date of Report

5/15/2010

C. Gross value at end of retx~rting period Value Code 2 (J-P) Value Method Code3 Type (e.g., buy, sell, redemption)

D. Transactions during repo~ng period

Awamnt Code 1 I (A-H) L

Date ; Value [ Gain mm/dd/yy I Code 2 :I Code 1 i (.l-P) i (A-H)

Identity of buyer/seller 0fprivate

transaction)
01/13/09 J

-52.

HGOCX

None

J

T

Sold

(part) (part)
Sold Sold 01113/09 J

53.

IHSAX

None

J

T T

54.

HNSCX

None

J

01/13/09

K

(part)
T Sold (part) Sold (part) Sold 01/13/09 K

55,

HIOCX

None

J

56.

HCACX

None

J

T

01112/09 K

57.

IGINCX

A

Dividend

J

T

(part)

01113109

J

58.

TILFX

A

Dividend

K

T

59. 60. 61, 62. 63. 64. 65. 66.
67.

VTRIX FNYXX Alabama 5.25 bond 1 I11115 Catifomla 4.90 bond Detroit 5.5 bond E. Rochester 5.375 bond E. Rochester 5.00 8/15/27 Farmington 5.7 bond
Kentucky 6.0 bond

A B A C B D C B
C

Dividend Interest Interest Interest Interest Interest Interest Interest
Interest

J O K L

T T T T

Sold (part) Buy (add’l) Buy (add’l) Buy Sold

01113/09 01114/09 05/22/09 03103/09 04122/09

J M J L L

M L K
L

T T T
T Sold 10101109 J

Buy

04/22/09

L

(part)

68.

Mahoning 5.5 bond

B

Interest

K

T

1. Inc~tne Galn Cedes: {Se~ Colttmn* B I ~nd D4) 2, Val~ Ced~ (See 12olumm (21 a~d D3) 3. Val~ M~d Cedes (See Column C2)

A =$ ! ,000 ~r tess F =$50,O01 - $100.0013 J =$15,000 or less N =$250,001 - $500.000 P3 =$~.000,~01 - $50.000,000 Q =Appt-alsal U =Book Value

B =$ 1.001 - $2.500 G --~ 100.001 - $1,1300.000 g --$15,001, $50.000 0 r.$500,001 - $1.000,000 R =Cost (Real Estate Only) V =Other

C --$ 2.501 - $5.000 HI =$1 .~00,0Ol - $5.000.000 L ---$50.001 - $100,000 Pl =$1.000.001 - $5.000,000 P4 =Mor~ than $50,000.000 $ =Assessment W =Estimated

D ---$5.001 - $ t ~,000 H2 =More thtm S5,000,000 M =$100.001 . $250.000 P2 =$5,000,001 - $25,000,000 T ---Cash Market

E =$15.001 - S50.000

IName FINANCIALpage 8 of 13 DISCLOSURE REPORT [ Leval, Pierre N.
NONE (No reportable income, assets, or transactions.)
Description of A.~sets (including trust assets) Place "(X)" after each asset exempt flora prior disclosure I ’ Income during reporting period Type (e.g., div., ~ertk orint.) Gross value at end of repottlng period Value Code 2 (J-P)

of Person Reporting

Date of Report

5/tsrzoi0
[

VII. INVESTMENTS and TRUSTS - ineo~, ~u~, ~ns ane~des ~o~e oa~ ~e~ ~ ~e~nd~ children; see pp. 3460 of fili~g ins6"uctions.)

Tramulctions doting

petiod

, Amount iI Code I i (A-H)

Value Method i Code3 ! (Q-W) T

Type buy, sell, redemption)

mm/dd!yy i Code 2 ! (J-P) : 03/05/09 07/~4/09

Code I IA-H)

buyvrlseller (if private transaction)

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

N¥ MTA 5.25 4/1/14 bond " N¥ MTA 5.0 ~)I/15 bond NY MTA 5,625 7/1/16 bond Michigan Hosp. 5.0 811/22 bond Mission Viejo 6 bond Mississippi Hosp. 5.25 5/15/26 bond Muskingum 5.4 bond NYC 5.375 6/1/23 bond

D

Interest None

M

Buy (add’l) Buy (addS)

L K

D C C C B B D

Interest Interest Interest Interest Interest Interest Interest None

M L L L L K M

T T T T T T T Buy Buy (add’l) 11/09/09! 12/02/09: L K Buy 07117/09 L Buy 03/04/09 L

NYS Bridge 5.125 1/1/12bond NY Dorm 5.1 2/15126 bond NY Dorm 6.45 8/15/24 bond NY Dorm 5.25 8/1/25 bond NY Dorm 5.25 811119 bond " NY Dorm 5.25 8t1119 bond

B D D D D

Interest Interest Interest Interest Interest None None

K M M M M

T T T T T Buy (add’l) 03/04/09 02/02/09 !08/03t09 L J J

(part) (part)
Sold

Sold

(See C~tumns B 1 and D4) 2, Value Cod~ (Se~ Columns CI and D3) 3. V ai,.~ M¢ fl’~od Codes (See Column C2)

I~ =$50.~01 - $ I O0.fl~3 ,1 =$15.000 or I~.~ N --$250,001. $500.~0 P3 ---$25,000.001 - $:TOJ~0.000 Q =Appraisal U =Book VaJu~

G =$ I 1~).001 - $1.000,000 K ---$15.0Or - $50.000 O --~500.00 J - $ 1.000.IXI0 R --Cost (Real Est~e: Only) V ---O~ber

H 1 =$1.000.001 - $ 5.~0.00~ L --.$50.001 - $1O0.O00 Pl ---$1.000.001 - $5.000.0~0 P4 ----More ~ $,~.(~0.000 S =Asse~menl W

n 2 =More than M ~ 100,001 P2 =$5.(,KD.001. $25,00~.000 T ~ Market

Name FINANCIAL DISCLOSURE REPORT ¯ Levat, P~erre N.of Persee Reporting

Date of Report

Page 9 of 13 VII. INVESTMENTS and TRUSTS - income..al~,. ~an..c~n. (~n~e. ,no.. of ,p~.e ~.d de~d..~ ¢hUd..~; ,~ ~. ~4-~0 of filing instr~CtiOt~.)
blONE (No reportable income, assets, or transactions,)
D~scfiption of Assets (including trua asset~) ’ Income during i reporting period i Code I div.,rent, ](A’H)I ~’int,) Gross value at end i of relx~ng period Transactions during reporting ~eriod

5/15/2010

I

exeraptfrompriordisclo~ur¢ [

Code2 (J-P)

. Method i buy, sell, ! Code3 i redemption) ]

m/dd/yy Code2 Code l (J-P) (A-H)

buyer/seller (if’private

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

NY Dorm 5.45 8/1129 bond N~ Dorm 5.5 8/1/38 bond " NY Dorm 5,4 2/i/31 bond NY Dorm 5.625 8/1/22 bond NY Dorm 6.25 2/1/36’ bond NY Dorm 5.75 8/1/’24 bond NY Dorm 5.375 2/I/17 bond NY Dorm 6.0 8/1/35 bond NY Dorm ~’1’375 8/1/27 bond NY Dorm 5.0 bond 4/1/t2 NY Dorm 5.45 811/35 bond NY Dorm 5.45 8/1/27 bond "

C D

Interest Interest None

L M

T T

Buy Buy Buy (add’l)

108/01/09 03/03/09 03/04/09

L L ’L

D D D D C C C C B D

Interest Interest Interest Interest Interest Interest IntereSt Interest Interest Interest None

M M M M L

T T T T T Sold Sold 07/09/09 ! 11!12/09 M L

L L M

T T T Buy Buy Buy (add’l) 07/21/09 03/03/09 03/04/09 03/03/09 02/04/09 L L K L L

100, NY Dorm 5.0 2/I/18 bond" 101. NY Dorrn 5.0 2/I/28 bond 102. N¥S Energy 5.5 bond 111/21

C B B

Interest Interest Interest

L L L

T T T

Buy Buy

1. Income Gain Code~: (~ ~u~t B I and ~) {~e Cdu~s C] ~d D3)

A --$L000 ~ less F =$~,~ I - Sl~ N ~1 - $5~.~

B G O ~1

FINANCIAL DISCLOSURE REPORT Page 10 of 13

I N~ ~ Ve,’~n ~epo~g ] ~ ~ N.

VH. I~~NTS and TRUSTS - i.~o~,, ,~, ~..,,~ao.~ Ct.a~d,, ,ho~,
NO~ (No reportable i~ome, ~sets; or transaction.) ~ ~ption of A~B (includi~ ~ ~ts) Pla~ "(X)" a~ ~ch ~ exempt ~m prior di~i~u~ ! [ B. I~o~ du6ng ~ ~ng ~fi~ (2) ] (I) ~Amoant ~ (e.g.. ~ C~ I div.. ren~ [ (A-~ or int.) : D B C C D C lnte~st lnmmst ln~st Interest Interest Interest C. Oro~ v~u~ at end of r~ng (I) (2) Value V~u¢ C~ 2 Me~od (J-P) C~e 3 (~W) M K L L M K T T T T T T Buy (add’l) 03103109 L Sold ~01~9 J D. T~nsacfons

Ty~ (¢.g,. buy. sell.

Da~ m~ ~ C~e 2 ~ C~ I [

buyer/~ller I~ans~fion)

t03. NYS ~vir. 5.1~ bond ff15/19 t~. NYS U~ 5.5 ~M 7/1116 105. Noffo~ 5,75 bond 11/1/13 106. NC Med 5.5 bond 10/1/24 107. NC East Mun 5.5 bond 1/1/21 108. Peninsula 8.7 bond 8!1/23

(~)

109. R.I Dcp 6.0 bond 8/1/17
110, RIS Health 5.5 bond 5!I 5/16 11 I. Sacramento 5.0 bond 12/1116 112, St. Paul 5.S bond 11/1/23 113. Tfiborough 5.25 1/1/I 3 bond 14. Triborough 5.25 1t1114 bond 15. Washington 5.25 8/I/23 bond 116, NY Dorm 5.375 2/1117 bond 117, " 118. Califor. 4,9 10!1113~ 119. NY MTA 5.25 4/1/14 bond-~

C
C C C C D D C

Interest
Interest Interest Interest Interest Interest Interest Interest None

L
L L L L M M

T
T T T T T T Buy Buy Sold 03/04/09 01/07/09 11112/09 02/03/09 M M M L

C C

Interest Interest

L L

T T

Buy

(~ Co~ CI and D3) 3. V~ M~ ~

N =$~.~1 - $~ P3 ~,~1 - 150.~,~ Q =A~

O ~.~1 - $1.~,~ R ~og (~ ~tat¢ ~ly)

Pl ~ I,~,~1 - Sg~.~ P4 =M~e ~ $~.~,~ S ~nt

~ =$5,~1 - $25,~.~ T ~h Mark~

Name of Person Reporting

Date of Report

PageFINANCIALI I of 13 DISCLOSURE REPORT I Leval, Pierre N.

511512010

VH. INVESTMENTS and TRUSTS - i.oo~. ~.e. ~an.. <,.c*.~s ,ho.e of spouse and dependent c~’ldrenl tee pp. 34-60 of fiiing
NONE (No reportable income, assets, or transactions.)
Description of Asses (including trust assets) Place"(X)"aftere~chasset exempt from prior disclosure ! Income during i ~epo~ng period Amount Type(e.g. Code I div.. r~nt, (A-H) orinL) Gross value at end i of reporting period Value Code 2 (J-P) Value i Type(e.g.. Method buy, sell, Code3 i r~emption) Transactions during repo~ng pe~od

/
L

Date ,Value [Gain

;
120. Michigan 5.75 8/]5~26
12L Musldngum 5.35 5ond -~ 122. NYC Mun 5.75 bond t23. NYC Ind. 5.375 6/1/23 15113 bond

(Q-W) I
T
T T T T T T T Buy Sold Buy

]mnffd~yy [ Code 2 [ Cod~ I i (J-p) i (A-H) " | :

Identityof buy~/s~ler tnmss~don)

,

B
A A B C C C B

Inte~st
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest

K
~ K L L L L L

Buy
Sold

10/02/09 K
02/17/09

11/091091

L

124. NY Dcrm 5.1 2/15/26 bond -~ 125. NYDorm 6.45 8115/24 bon 126. NY Dorm 5.25 8/1/25 bond -

03/03/09 11t12/09 01/12/09

L L K

127 NY Dorm 5.5 8/1/38 128. NY Dorm 5.375 8/I/27 bon~ i29. NY Dorm 5 375 2/~/17 bond 30, NY Dorm 5.0 2/1/12 bond i31. NY Dorm 5.0 2/i/28 bond 132. Norfolk 5 75 bond 13~ North Car. 5.5 ’1/t/21 bondl~ 134. RI Health 5.5 bond -~ 135. N©w Providence Assoc. LP fund self 136. JPMorgan Tax Free Bond VANTX self A C C Interest Interest None Interest B B B C

K K L L L L N K

T T T T T T T T

Buy

Buy

03103/09

L

Buy Buy Buy Buy

03/03/09 06/03/09 109/01109 10/09/09

L L N K

(Sin: Columm CI and D3} 3. Value Metlmd Cod~ (Sv¢ CoMnm C2)

N =.$250,001 ¯ $500,0~ P3 =$25,000.001 - $50,0~k0~0 Q =Ai~sal U =Bvek Value.

O =$500,001 . 51.000,000 R =Cost {Real Estam Only) V =Oth~

PI =$ I,(~t,001 - $5.000.000 P4 =Mor~ Ihan $50.000.000 S =Assessment W =Esflma~l

P2 -.~5.000.001 - $25,000.0~0 T---Cash MaAet

FINANCIAL DISCLOSURE REPORT Page 12 of 13

Na~o~Pe~o~o~g Leval, Pierre N.

aateofae~
511512010

VHI. ADDITIONAL INFORMATION OR EXPLANATIONS.
* My end of year holding for this security is reported in Column C of Line 5, addressing the secudty I received on account of merger.

** The audit function comments in relation to numexous lines in which ! report additional purchases and partial sales that "Column C(I) and C(2) should b¢ completed for each asset owned on the last day of the repiort period.~ On the first line relating to each asset, I have filled in Column C showing my holding in that asset at the close of the year. Repeating that information on subsequent lines that report an additional purchase or a partial sale of that asset would result in double counting.

FINANCIAL DISCLOSURE REPORT
Page 13 of 13

N~e of Person Reporting

Date of Repot~

t~val, Pierre N.

5/tsr2o~o

IX. CERTIFICATION.
I certi~ 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-disclusure. 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 provisions of 5 U.S.C. app. § 501 eL seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSI~"IES OR FAILS 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

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