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FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

1. Person Reporting (last name, first, middle initial) Leval, Pierre N.


4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time)

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app..~~q 101-111)

2. Court or Organization U.S. Court of Appeals, 2nd Cir


5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final

3. Date of Report 5/15/2011 6. Reporting Period 01/01/2010 to 12/31/2010

Senior Circuit Judge

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 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 followe~L Complete ali parls,
checking the NONE box for each part where you have no reportable informatior~ Sign on last page.

I. POSITI ONS. me~,oning indivi,taal only; se, ~,~,. 9-~ of filing instructions.)
D NONE (No reportablepositions.) POSITION
1. Council member - Emeritus

NAME OF ORGANIZATION/ENTITY
The American Law Institute

2. 3. 4. 5.

T~stee, Executor Member - Photography Committee

~~ Museum of Modem Art

II. AGREEMENTS. (Reporting individual only; seepp. 14-16 of filing instructions.)


~] NONE (No reportable agreements.)
DATE PARTIES AND TERMS

Leval, Pierre N.

FINANCIAL DISCLOSURE REPORT Page 2 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/I 5/2011

III. NON-INVESTMENT IN COME. meportl.g individualandspouse; seepp. ~-24 of filing instructions.)


A. Filers Non-lnvestment Income ~]
NONE

(No reportable non-investment income.)


DATE SOURCE AND TYPE

INCOME (yours, not spouses)

2. 3. 4.

B. Spouses Non-Investment Income - if you were married during anyportion of the reportingyear, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)


DATE
1. Jan-Dec.

SOURCE AND TYPE


State St. Cultural Inst. Pension Plan - pension Pollock-Krasner Foundation - advisory Columbia University - lecture

2. Jan.-Dec. 3. Jan. 4.

IV. REIMBURSEMENTS -transportation, lodging, food, entertainment.


(Includes those to spouse and dependent children; see pp. 25-27 offifing instructions.)

~]

NONE (No reportable reimbursements.)


SOURCE DATES 3/20 - 3/28 LOCATION Los Angeles, Califomia Teach PURPOSE

ITEMS PAID OR PROVIDED Travel and lodging


Travel and lodging

1.

University of Southern California University of Houston

2.

6/03 - 6/06

Santa Fe, New Mexico

Lecture and attend conference Lecture and attend conference

3.

European Universily Institute

10/15 - 10/I 6

Florence, Italy

Travel and lodging

4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/15/201 I

o ~Jlr lifo (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

NONE (No reportable gifts.) SOURCE


1. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. (inc/u~, ,ho~e oZ~po,~e,-~ ~e~en~.t children; see pp. 32-33 ofjqling instr.ctions.)
D NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5. MONY

DESCRIPTION
Loan on life insurance policy

VALUECODE
L

FINANCIAL DISCLOSURE REPORT Page 4 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/15/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (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 O) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) O N M T T Transactions during reporting period
(1) Type (e.g., buy, sell, redemption)

(2) (3) Date Value mm/dd/yy Code 2


(J-P)

(4) Gain Code 1


(A-H)

(5) Identity of buyer/seller (if private transaction)

I. 2. 3. 4. 5. 6.
7.

Abbot Labs (common stock~ Exxon Mobil (common) Life Technologies - Common

~;:,;;-*

E D

Dividend Dividend None None

Sold (part)

10/15/10 J

Applera - Celera Gen (CRA) (formerly PE Celera Genomics(com) MRO Daimler Chrysler (common)
FMC Money Mkt~"~~/~/z~ (Dreyfus) A

A A

Dividend Dividend
Interest

J J
J

8. 9. 10. 11. 12. 13. 14. 15. 16. 17.

FMC Select Fund (common)~ ~,~:.o

~i,.;~

Dividend None None

N
Sold (pan) Sold (pan) Sold (part) Buy (addl) Sold (pan) Sold (part) Buy (addl) Sold (pan) Buy (addl)

FMC Select Fund - self(See * in Part VIII)

01/28/10 02/25/10 03/30/10 04/01/10 04/28/10 05/28/10 06/11/10 06/28/10 07/01/10

J J J J J J J J
J

"-self "- self "-self "-self "-self "-self "-self

None None None None None None None

1. Income Gain Codes: (See Columns B I and D4) 2. ValueCodes (See Columns CI and D3) 3. Value Mcthod Codes (See Cotumn C2)

A =$1,000 or less F = $ 50,001 - $100,000 J $15,000 or lcss 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 Othcr

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 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 5 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/15/2011

VII. INVESTMENTS and TRUSTS - i.come, va~.e, 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 (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 (Q-W) Transactions during reporting period

(1)
Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)

Identity of buyer/seller (if private transaction)

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28.

"-self "-self "-self "-self "- self "-self "-self "-self "-self "-self "-self

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

Sold

07/28/10 08/30/10 09/09/10 09/28/10 10/01/10 10/15/10 10/28/10 11/29/10 12/28/10 12/31/10 12/23/10 04/01/10 05/20/10 07/01/10 10/01/10 12/31/10

J J J J J J J J J J K J

(part)
Sold

(part)
Sold

(part)
Sold (part) Buy (addl) Sold (part) Sold (part) Sold (part) Sold (part) Buy (addl) Sold (part) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) W

29.

J J J

33. 34.

None Lincoln St. Realty (limited partnership) None

1. Income Gain Codcs: (See Columns B I and D4) 2. Value Codes (Sce Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or Icss 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 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

FINANCIAL DISCLOSURE REPORT Page 6 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/15/2011

VII. INVESTMENTS and TRUSTS - 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 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

(l)
Type (e.g., buy, sell, redemption)

(2)

(3)

Date Value mm/dd/yy Code 2 (J-P)

(4) Gain Code 1 (A-H)

(Q-W)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. Hershey (common~S,~ Smith Barney Liquid Res Fund (common) Gen. American Inv. (common) (GAM)~ Chase Bank (acccount)~ Chase Bank account~ Citibank account Art Works Chase bank account (trust) Vanguard GNMA Fixed Income Fund (trust~ FHKCX FEMKX FUSVX (formerly FSMAX) FLGEX HGOCX IHSAX HNSCX HIOCX A A C A A A A B B C A Dividend Dividend Dividend Interest None None None None Interest Dividend Dividend Dividend Dividend None None Dividend Dividend L K M J L J L J L K J J J J J J J T T T T T T W T T T T T T T T T T

(5) Identity of buyer/seller (if private transaction)

1. I ncome G ai n Codes: (See Column s B 1 and D4) 2. Value Codes (See Columns C 1 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 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

FINANCIAL DISCLOSURE REPORT Page 7 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/I 5/2011

VII. INVESTMENTS and TRUSTS - inco,,e, value, transactions (lncludes those of spouse and dependent children; see pp. 34-60of 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 (l) Amount Code I (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 (Q-W)

Transactions during reporting period (1) Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value Gain mm/dd/yy Code2 Code 1 (J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.

HCACX IGNCX TILFX VTRIX FNYXX Alabama 5.25 bond 11/1/15 Califomia4.90 bond Elizabethton 7.00 7/1/20 Jacksonville 5.375 8/15/23 " (See * in Part VIII) Bd. Man. Guadalupe* 5.375 8/15/27 " (See * in Part VIII) " E. Rochester 5.375 bond E. Rochester 5.00 8/15/27 Farmington 5.7 bond Kentucky 6.0 bond 10/1/19 D D B D A A B C C C B

None None None Dividend Interest Interest Interest Interest Interest None Interest None None Interest Interest Interest Interest

K J K J O L

T T T T T T Buy (addl) Sold 08/26/10 12/30/10 01/l 1/10 01/15/10 05/28/10 07/15/10 08/03/10 10/25/10 L L M L K K L K

M M

T T

Buy Buy Buy (addl)

Buy Buy (addl) Buy (addl)

M L

T T Sold 06/09/10 10/01/10 K J

Sold (part)

1. Income Gain Codes: (See Colunms B I and 134) 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 Estale 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,!)00,001 o $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 8 of 14

Name of Person Reporting Leval, Pierre N.

Dale of Report 5/15/201 I

VII. INVESTMENTS and TRUSTS --income, value, transactions ancludes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset

Income during reporting period (1) (2)


Amount Type (e.g.,

Gross value at end of reporting period


(1) (2)

Transactions during reporting period (1) Type (e.g., buy, sell,


redemption) (4) (2) (3) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

exempt from prior disclosure

Code 1 (A-H)

div., rent, or int.)

Value Code 2
(J-P)

Value Method Code 3 (Q-W) T T T T T T

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

Louisiana 5.250 7/1/24 Mahoning 5.5 bond MTA 5.25 4/1/14 bond MTA 5.0 7/1/15 bond MTA 5.625 7/1/16 bond Michigan Hosp. bond Mission Viejo 6 bond Mississippi Hosp. bond Muskingum 5.4 bond NYC 5.375 6/I/23 bond NYS Bridge 5.125 1/1/12 bond NY Dorm 5.1 2/15/26 bond NY Dorm 6.45 8/15/24 bond NY Dorm 5.25 8/I/25 bond NY Dorm 5.25 8/I/19 bond "(See * in Part VIII) NY Dorm 5.45 8/I/29 bond

A A D D C C B B B D B D D D D

Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest None

L K M M L L

Buy

10/12/10 L

Buy (addl)
Sold

10/12/10 K
01/11/I 0 K

L K M K L M M M

T T T T T T T T Sold (part) Sold (part) 02/01/10 J 08/02/I 0 J

Interest

1. Income Gain Codes: (See Colurans 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 -$15,000 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 =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

FINANCIAL DISCLOSURE REPORT Page 9 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/I 5/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 o:filing instructions.)
[~ NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" alter each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)

Transactions during reporting period


(I) Type (e.g., buy, sell, redemption) (2) (3) Date Value mm/dd/yy Code 2 (J-P)

(4) Gain Code 1 (A-H)

(5) Identity of buyer/seller (i f private transaction)

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

NY Dorm 5.5 8/1/38 bond N Dorm 5.4 2/1/31 bond NY Dorm 5.625 8/1/22 bond NY Dorm 6.25 2/1/36 bond

D D B D

Interest Interest Interest Interest None None

M M

T T
Sold Sold (part) Sold (part) Sold 01/07/10 02/01/10 08/02/10 10/07/I 0 L J J L

NY Dorm 5.75 8/1/24 bond NY Dorm 5.375 2/1/17 bond NY Dorm 5.0 bond 4/1/12 NY Dorm 5.45 8/1/35 bond NY Dorm 5.45 8/1/27 bond 5.0 of 2/1/12 $3513 NY Dorm 5.0 2/I/12 bond NY Dorm 5.0 2/I/18 bond NY Dora 5.0 2/I/28 bond

D C C C D C C B C D

Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest None

T
Sold Sold 09/08/10 12/23/10 L L

K M L L K L M L

T T T T T T T T
Buy 12/29/10 K Sold 12/27/10 L

100. NYS Energy 5.5 bond 1/1/21 101. NYS Envir. 5.125 bond 6/15/19 102. NYS Mtg. Ag. 5.0 4/I/25

1. Income Gain Codes: (See Columns BI and IM) 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 =$250,001 - $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 PI $1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Asscssmcnt W =Estimaled

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

FINANCIAL DISCLOSURE REPORT Page 10 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/15/201 I

VII. INVESTMENTS and TRUSTS - income, value, 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 (l) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period
(I) (2)

Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) Date Value mm/dd/yy Code 2 (.l-P) (4) Gain Code 1 (A-H) (5) Identity of buyer/seller (if private transaction)

Value Code 2 (J-P)

Value Method Code 3


(Q-W)

103. NYS Urban 5.5 bond 7/1/16 104. " (See * in Part VIII) 105. Norfolk 5.75 bond 11/1/13 106. NC Med 5.5 bond 10/1/24 107. NC East Mun 5.5 bond I/1/21 108. Peninsula 8.7 bond 8/1/23 109. Pima 5.0 12/15/36 110. RI Dep 6.0 bond 8/1/17 I 11. RIS Health 5.5 bond 5/15/16 112. Sacramento 5.0 bond 12/1/16 113. St. Paul 5.5 bond 11/1/23 ! 14. Triborough 5.25 1/1/13 bond 115. Triborough 5.25 1/I/14 bond 116. Washington 5.25 8/1/23 bond 117. Washington 6.25 8/1/28 118.." (See * in Part VIII) i 19. Bd. Man. Guadalupe bond 5.375 8/15/27 -

Interest None

Sold (part) Sold (part)

01/04/10 J 03/22110 J

C B D C B C C C D C D D C

Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest None

T Sold 01/14/10 10/21/10 09/01/10 09/08/10 L K K L

Sold (part) Sold

L L L L M L M M M

T T T T T T T T T

Buy

Buy (addl)

03/25/10 K

Buy Buy (addl)

01/12/10 02/02/10 07/15/10

L L K

Interest

Buy

1. Income Gain Codes: (See Column s B 1 and D4) 2. ValuCodes (See 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 - $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 thzn $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

FINANCIAL DISCLOSURE REPORT Page 11 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/15/201 I

VII. INVESTMENTS and TRUSTS - income, value, transactions (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)

B. Income during
reporting period (1) (2)

C. Gross value at end


of reporting period (1) (2)

Transactions during reporting period (l) Type (e.g., buy, sell,


redemption)

Place "(X)" aRer each asset exempt from prior disclosure

Amount Code 1 (A-H)

Type (e.g., div., rent, or int.)

Value Code 2 (J-P)

Value Method Code 3 (Q-W)

(2) (3) (4) Value Gain Date mm/dd/yy Code 2 Code 1


(J-P)

(A-H)

(5) Identity of bayer/seller (if private transaction)

120. " (See * in Part VII1) 121. Califor. 4.9 10/1/13~!~ 122. NY MTA 5.25 4/1/14 bond -~,~ 123. Michigan 5.75 8/15/26ili ~~=o~::: 124. Muskingum 5.35 bond -~ ~[~i~ 125. NYC Mun 5.75 bond~ ~.~ ~ 6/15/13 126. NYC Ind. 5.375 6/1/23 ~~ ond 127. NY Dorm 5.1 2/15/26 bond -~ 128. NY Dorm 6.45 8/15/24 bond~ 129. NY Dorm 5.25 8/1/25 bond -~,!~ 130. NY Dorm 5.5 8/1/38 ~ C C B A B B C C C C B B C C C C

None Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest K L L K L T T T T T L L K J K L K L L L T T T T T T T T T T

Buy (addl)

10/25/10

Sold (part)

02/16/10

131. NY Dorm 5.375 2/I/17 bond~i~ 132. NY Dorm 5.0 2/I/12 bond~!ii~ 133. NY Dorm 5.0 2/1/28 bond "~~!i~.it 134. Norfolk 5.75 bond -~o~i~ 135. North Car. 5.5 I/I/21 bondi~ !! ili 136. RI Health 5.5 bond

Sold

09/09/10

Sold (part)

10/21/10

1. Income Gain Codes: (See Column s B I a nd D4 ) 2. Value Codes (See Columns CI and D3) 3. Value Mcthod Codes (See Column C2)

A =$1,000 or less F =$ 50,001 - $100,000 .I =$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 1 =$1,000,001 - $ 5,000,000 L =$50,001 - $100,000 P1 =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W ~Estimatcd

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

FINANCIAL DISCLOSURE REPORT Page 12 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/15/201 I

VII. INVESTMENTS and TRUSTS - income, value, transactions (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 (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int,) C. Gross value at end of reporting period (1) (2) Value Value Code 2 (J-P) Method Code 3 Transactions during reporting period

O)
Type (e.g., buy, sell, redemption)

(2) (3) (4) Value Gain Date mm/dd/yy Code 2 Code 1 (J-P) (A-H)

(5)
Identity of buyer/seller (if private transaction)

(Q-W)
137. Waco TX bond 5.0 8/1/31 138. New Providence Assoc. LP fund~ 139. JPMorgan Tax Free Bond VANTX~ A Interest None Interest K N K T T T Buy 09/09/10 K

1. I nconte Gain Codes: ( See Colunms 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 - $ t 00,000 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 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 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 13 of 14

Name of Person Reporting Leval, Pierre N.

Date of Report 5/15/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate port of report.)


* The first line relating to this security reports the years end holdings and the dividends and interest received during the year from this security. Subsequent lines for the same security report purchases, sales and gains from such sales.

FINANCIAL DISCLOSURE REPORT Page 14 of 14

Name of Person Reporting Levai, Pierre N.

Date of Report 5/I 5/2011

IX. CERTIFICATION.
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. 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 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature: S/Pierre N. Leval

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