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FINANCIAL DISCLOSURE REPORT


FOR CALENDAR YEAR 2009
2. Court or Organization U.S. District Court. Eastern District of Pennsylvania 5a~ Report Type (check appropriate type) [] Nomination, : [] Initial Date [] Aonual [] Final

ReportRequiredbytheEthics
in Government Act of 197~

(5 u.s.c, app.

I, Person Reporting (fast name. first, rr~i~le initial) Goldberg, Mitchell S. 4. Title (Article ll! judges indicate active or senior status; magistrate judges indicate full- or part-time) U. S. District Judge- Active Status

I 3. Date of Report 5/12/2010 6. Reporting Period 01/01/2009 to 12/31/2009

7. Chamber~ or Office Address Room 4000, U.S. Courthouse 601 Market Street Philadelphia, PA 19106

8. Ola the basis of the information ontained In this Report and any modUicatlons pertaining theretol it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be fottowea~ Complete all parts.
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. tRe~or~ng individual only; see pp. 9-1.! of filing instruaions.)


~ NONE (No reportable positions.)

P_OSITION
I. Board of Directors

NAME OF ORGANIZATION/ENTITY
Bucks County Opportunity Council

2.

Advisor), Board

Friends of the Delaware Canal ~..

C73

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of fili.g inxtractfanx.)
~-] NONE (No reportable agreements.) DATE I. 203 Pennsylvania. Employee Retirement System PARTIES AND TERMS

2.1i97

Thrift Savings Plan

Goldberg, Mitchell S.

FINANCIALpagc 2 of 8 DISCLOSURE REPORT

I [ Goldberg,

Name of Person Reporting

Date of Report

Mitchell S.

5/12/2010

III. NON-INVESTMENT INCOME. ~e~o,~n~i,~lv~,otand~e: ,ee ~. ~-~d o/;~.~ ~.~ion~.~ A. Fliers Non-Investment Income [---] NONE (No reportable non-investment income.) DATE
1. 2009 2. 2009

SOURCE AND TYPE


Drexel Law School - Payment for teaching i ............. Trust- Distributions

INCOME
(yours, not spouses) $6,500.00 SI,615.00

3. 2009
4.

Pennsylvania Employee Retiremeat System

$13,818.00

B. Spouses Non-lnvestment Income - ~f ~,ou .ere married during any portion of the reponing year, complete this section.
(Dollar amount not required except ~>r honoraria.)

NONE (No reportable non-investment income.) DATE


1. 2009 Heartsine Technology -

SOURCE AND TYPE


]salary

2.

3.
4.

IV. REIMBURSEMENTS -,,a~ona~., toaa.g,[ood, e~ena~n~,e~


tlncludes tho~-e to s~use and de~ndent chil~en: see PP. 25-27 of filing mst~cttons.)

NONE (No reporcable reimbursements.) ~


1. 2. 3.
4. 5.

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 3 of 8

s,=, of v ..... acpoaing Goldberg, Mitchell S.

5/12/2010

V. GIFTS. a~,,,~o~,,o,po ..... ~ ~, ,~a~,; ,~ ~. 2~ ~ o/~,~ ~,~ao~.~


NONE (No reportable g~s.) ~
1.

VALUE

2.
3.
4.

5.

VI. LIABILITIES. a~.~ ~,o,, o~ .~ ~ ~i~,.~ ~,~ ~ n-~ o~,~ NONE (No reportable liabilities.) CRF~ITOR
I.
2.

DESCRIPTION

3.
4. 5.

Name of Pe~on Reporting

Date of Report 5/12/2010

PageFINANCIAL4 of 8 DISCLOSURE REPORT

Goldberg, Mitchell S.

VII. INVESTMENTS and TRUSTS -- i ....... lueo tra .... tions (lnclud~ tho,e of sp ..... ml depertdent childrcn; see pp. J4-60 of filing instrallons.)
NONE (No reportable i~come, assets, or transactions.) De~ption ofAss~s (including ~st assc~) Place "(X)" after each asset exempt from p~or di~losure ~ Income d~ng ~ing period ~ount [ Code 1 i~ (A-H) I. 2. 3. 4. 5. 6. 7. 8. .... ~ T~st - 1/3 interest- prope~ located Wells Fargo ~1- Hartford AnnulS: AMR Blue Chip Income and Growth AMR Global Growth AIM Mid Cap Core Equity Fund F-T Small-Mid Cap Growth AM R Growth-Income Wells Fargo #2 - Hartford Annuity: None None None None None J J J J .I T T T T T B Rent M T~e (e.g.. div., ~nL or int.) Gross value ~t ~d of repo~ng period V~ue Code 2 (J-P) " Va~e Me~od T~sactio~ d~ng r~ing ~od . Value [ Date mm~d&~ Code 2 (J-P) Gain C~e I (A-H) ld~ti~ of b~;se]]er ~n~ction)(if phrase

T~ (e.g., buy, ~ll, redemption) Code(Q_W)3 W

9.

AMR Growth-Income

None None
None None None None None None None

K K
J J K K K K K

T T
T T T T T T T

10. AMR Blue Chip Income and Growth


11. ! 13. 14. 15. 16. 17. F-T Small-Mid Cap Growth AIM Mid Cap Core Equity Fund AMR Global Growth American Fund ~1 - 529 - age or risk based no control American Fund #2 - 529 - age or risk based no control American Fund #3 - 529 - age or risk based no control American Fund 04 - 529 - age or risk based no control

I. Income Gum Cozies: (See Colu~! B I and D4) 2. Value C~

A -$1,0~O o~ kst F "$50.~1 - $1~.~ J =11 $.~ ~ Jess

t:1 -[1.00 | - S2~ G ~ I~.001 - $ l.~.~ K ~ 15,~1 - S50.~

C ~2.~1 - $~.~0 HI =$l.~0.~l $5.~0.~ L =S50,~1 - *1 ~.~

3 ~$5,001 112 =Mo~ M ~ t~.~l -

3, Value Method C~eI ~S~ Column C21

Q -Ap~aisal U ~B~k VaI~

R ~ost (Real ~te Only) V ~her

S =As~ss~nt W =Esl~tcd

T =Cash Mark~

I PageFINANCIAL5 of 8 DISCLOSURE REPORT [ Goldberg, blitchell S.


Name of Person Reporting I

Date of Report

5/12/2010

NONE (No reportable income, assets, or transactions.)


Descriplion of A~sets (including trust assctz) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Amount , Type (e.g., Code 1 div., rent, (A-H) ~ or int.) Gross value at end of reporting period Value Code 2 (/.p) Value , Method i Code 3 i ~ Type (e.g., Transactions during reporting period

buy, lL

redemption)

Gain / Date [ Value mmd~~ I Code 2 Code I / [ I (/P) (A-H)

Identity cf buyer,seller (if private

18.

Oppenheimer Fund- Retirement IRA

None

19.

Newell Rubben~aid Inc. NWL - Stock

None

20.
21. 22. 23, 24. 25. 26. ,27. 28. 29. 30.

Sirius XM Radio, Inc. Stock


Morgan Stanley Smith Barney-el Financial Management Account: IShares TR S&P 500 Index FD - Mutual Fund Poweshares QQQ TR SER 1 - Mutual Fund Capital Income Builder Fund Class A Mutual Fund Growth Fund of America Class A - Mutual fund Morgan Stanley Smith Barney #2 - IRA: Wal*man Stores, Inc. - Stock Bershire Hathaway Fin. Corp. GTD SR ,NIT Bond Citibank- Bank Deposit CVS Caremark Corp.- Stock

None

None None None None

J J J J

T T T T

None None None None

K K K K

T T T T

31.
32. 33. 34.

HCP Inc.- Stock


Kimberly Clark Corp.- Stock Pepsico Inc. - Stock Sysco Corp. - Stock

None
None None None

K
J J J

T
T T T

I. laco,-ne Gain Codes! iSee Col~s BI and D4) ~ Val~ C~ (See Columm CI and D]) 3. Vat~ Meted C~ts (Se~ Col~ C2)

A -$1.000 o less F -S50.~1 - $1~,~ J "$15,~ or l~s N =$250.001 - $5~,~ P3 "$25,~,~1 - $50,~,~ Q =Ap~ai~l U -B~k Value

B -$ I.O01. [2,500 G ~1~.~1 - $ I,~,0~ K =$15.~1 - $~0.~ O ~$5~,001 - $1,~,~ R ~ost (~al E~ale O~y) V ~h~

C ~$2.501 - 55.~ II1 =$1.~,~1 - $5,~,0~ L =$~0.~1 - $1~,~ PI P4 ~More ~a $~0,~,~ S -~s~cnt W

D =$5,~1 - $15,~0 1t2 =Mo~ ~an $5.~.~ M -~l~.~ I - $250,~

E ~$15,001 -[~,~

T ~ash Market

FINANCIAL DISCLOSURE REPORT r~ ....tP.,~oo a~po,~tng Goldberg, Mitchell S. Page 6 of 8


VII. INVESTMENTS and TRUSTS - ].come. v.~,,. ~ ..... tion, (t.c~.a~ ~o,~ oy~,o,~, ~,d ~,n,,~,.t ~~,~: ~,, ~. ~-~0
NONE (No re~rtable income, ~sets, or transactions.)
A. Description of As~e~ ~ ~ B. Income du~ng C. . G~ value at end ;

Oataofa.po.
5/12/2010

D. Tra~ctio~ d~ng ~poning ~od

(including ~st asse~)

~ .-. ~d.. ]Code I (A-H)

-- of reporting period div., ~n~ orint0 ~d 2 (J-P)

Place"(X}"a~r,ch~set
exempt from prior disclosure

/ ~) : ~ IAm~t T~(e.g.,

-ii~ .....~ ........ (,i -1-~1~~-0)--I ..... vatu "value ~ T)~(e.g..


I Da~ ]Value "Gain
M~ . Code 3 (~W) : buy, sell, redemption) ]m~dd!~ { Code 2 . Code 1 i (A-H) ] ~ (J-P) ] 1 ] ]

b~ ......
buy~/seller 0fp6vate t~nsacti~a)

(See Columns B I and 04) Value Codes (Set Columns C I and 0.1} Value Method Codes (See Colurrm C21

F -$50.001 - $100.000 ) -$ I 5.000 or less N =1250,001 - $500.000 P.1 -$~,000.001 - $50,000,000 Q =Appraisal U =Book Valuc

G -$100,001 - $1,000,000 K ~$15,001 - $50.000 0 =1500,001 - $ 1,000,000 R =Cost (Real Estate Only) V -~Olh~

111 -$1,000,001 - $5,000,0~0 L -$50,001 - $I00,000 PI =$1,000,001 - $5.000.000 P4 =More ~han $50.000.000 S =Asscssme]at W =Estimated

t!2 -More M -$ 100,001 - $250,000 P2 =$5.000,001 T =C~sh

FINANCIAL DISCLOSURE REPORT

[ N,me or Per~oa Reporting


[ Goldberg, Mitchell S.

D~t~ otRz~ort 5112/2010

Page 7 of 8

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicatepar~ofRtport)


Items listed in Section VII - Investments and Trusts in my previously submitted Nomination Report that do not appear in this report were liquidated/disposed of to pay college tuition,

FINANCIAL DISCLOSURE REPORT Page 8 of 8


IX. CERTIFICATION.

Goldberg, Mitchell S. I

5/12/2010

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 befief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. 1 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__

NOTE: ANY INDIVIDUAL WltO KNOWINGLY AND WLLFULLY FALSIFIES OR FAlLs TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRI~,IlNAL 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

UNITED STATES DISTRICT COURT


EASTERN DISTRICT OF PENNSYLVANIA CHAMeERS OF

MITCHELL S. GOLDBERG
JUDGE

UNITED STATES COURTHOUSE

6ol MARKET STREET


PHILADELPHIA, PA 19106
(267) 299-7500

August 1 l, 2010

Honorable Bobby R. Baldock, Chair Judicial Conference of the United States Committee on Financial Disclosure One Columbus Circle, N.E. Washington, D.C. 20544 RE: Financial Disclosure Report - Calendar Year 2009

~: ,:~:.. .:~:-.: i-~q

I write in response to your July 30, 2010 letter requesting additionalln~gtlon" - ..... ~ --o.% regarding my financial disclosure report dated May 12, 2010. ~; ~
-- .77 k_~

You note that in Part VII, page 5, lines 18-21 and 26-34, I listed assets fflaich v~re not listed in my prior nomination report. Please be advised that these assets were obtainec~after the filing of my nomination report, but prior to the submission of my 2009 report. Please do not hesitate to contact me should you have any further questions.

MSG:cjl