R~,.

~’/20"t0

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I
]

FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009

Re~,o~t R~q,,~-ed by the Ethi.
in Govermnent Act of1978 (5 ~.s.c app. ~ lot-liD

I. Person Reporting (las~ name., f~st, mkidle initial) Gorton, Nathaniel M. 4. Title (Arlicle Ill judges indicate active or senior status; magistrate judges indicate Fall- or part-time) U,S. District Judge - Active

2. Court or organization District Court - Massachusetts 5a. Report Type (check op~opriate type) [] Nomination, [] Initial Date vt.X_l~ Annual [] Final

3. Date of Report 05/01/2010 6. Reporting Period 01/01/2009 to 12/31/2009

7. Chambers or Office Addre~ United States District Court 1 Coarthouse Way, Suite 3110 Boston, MA 02210

5b. [] Amended Report 8. On the basis of tEe information contained in this Report and any modifications pertaining thereto, it Is, in my opinion, in compliance ~th applicable laws and regalatlons. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying thi~ form must be followed Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on lo.~tpage.

I. POSITIONS. (Reporting individualonl.~; seepp. 9-13 offfd~ngtnstructlons.)
[~] NONE (No reportablepositionso) POSITION
1. See Attachment # 1

NAME OF ORGANIZATION/ENTITY"

~’-~ ,

NONE ~o reportable a~eements.) ~ PARTIES AND TE~S

Gorton, Nathaniel M.

FINANCIAL DISCLOSURE REPORT

Page 2 of 8

I
I

Name o! Per~oa Reporting

[

Date of Report

[ Gorton, Nathaniel M.

05/01/201o

HI. N ON-INVE STMENT INC OME. ~Re:o~ ~.~u~i,~ sp ....
A. Filer’s Non-Investment Income NONE (No reporlable non-investment income.) DATE 1. June 30

; s,e rp. 17-2~ o/:t~

SOURCE AND TYPE Slade Gorton & Co., Inc., (closely held ~ seafood business) corporate clerk/secretary, director, cust~i~i~,~trustee and accounting duties

~COME (yours, not spouse’s) $10,000.00

2. 3. 4.

B. Spouse’s NoR-Investment Income - if you were married during any parffon of the reflortlng year, eomplet~ this
(Dollar amount not required except for honoraria.)

[~]

NONE (No repotable non-investment income.) DATE SOURCE AND TYPE

1. 2. 3. 4.

IV. REIMBURSEMENTS - ~ranaport, tlon, Iodglng, food, ent~rtainmen~
(Includes those 1o spouse and dependenl children; see pp. 25-27 of filing instructions.)

[~

NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED reimbursement for lodging and travel by train from Boston to ,NYC to attend annual N.Y.I.P.L.A. dinner 3/27/09 at Waldorf,astoria

1. New York Intellectual Property Lawyers Association

2. 3. ~.. 5.

FINANCIAL DISCLOSURE REPORT

~..e of Per,on Repotting

Dat~ Of Report

Pag~ 3 of 8

Gorton, Nathaniel M.

05/01/2010

~

NONE ~o reportable g~s.) SOURCE DESC~PTION ~

1. 2,
3.

4, 5.

[~]

NONE (No reportable liabilities.) CRED1TOR DESCRIPTION

, VALUECOD~

1.
2.

3. 4.

FINANCIAL DISCLOSURE REPORT Page 4 of 8

~,.e o~ P .... mpo.ing
Gorton, Nathanlel M.

D, te
0510112010

~ NONE ~o reportable income, assets, or tramactiom.)
A. Description of A~ B. Inc~e ~ag 0) ~t C~e I (A-~ (2) T~e (e.g, dlv., r~L or ~t.) C. ~o~ value ~ ~ 0) Value C~e 2 U’D (2) Va~e M~ Code 3 0) T~e (e.g., buy, seB, ~mpfi~) D. Tra~ac~om during (2) Da~ ~ (3) Vatae Ga~ Code 2 (I-P) (A-~

Pla~ "(X)" ag~ e~h m~t exempt f~m prior disclos~

Identity of (~pd~

1. 2. 3. 4. 5. 6. 7. 8. 9. I0~’ I if 12. 13. 14. 15. 16. 17.

Slade Go,on & Co.. Inc (a MA co,option) (co--on st~k) Fideli~ ~ Rese~’es (indi~l) Fid~li~ Money M~ket Accoun~ (~tmstee)(A~l,~) Ch~imble Remainder T~t ~ca Cola Co. Syszo Co~ A T & T, Inc. United T~hnologics Co~. T~et Co~. CVS Co~. Bo~n Fin~cial Management, Inc. I~ Wells Fargo & Co. New ~Morgan Ch~e & Co. Hewlctt Pack~ Co. Avon Produca Peab~y Encr~ Co~. Fin~cial Select Sector SPDR

A A B E Dividend Dividend ~v.,~L

N K M

Q T T

S~ ~ction VIII

S~ Section ~II Buy Sold Buy Buy Sold ~Id 0~09 0~24109 ~23/09 108/04109 08/04109 08/~/09 J J J J J B C

None

Pl

T Sold Sold Buy Buy Sold Buy 0~5109 0~25/09 03/0~9 03103109 03/06109 ~107109 J J K K J

Name of Person Reporting

Date of Report

FINANCIALpage 5 of 8 DISCLOSURE REPORT I ~orton, N~th,miel M.

05/0 lr201o

NONE ~o reportable income, assets, or tra~actiom.)
~ ~s~ption of Ass~ (in,lading ~st ~) Ph~ "(X)" ~ ~¢h ~s~t exempt ~m ~fior ~1o~ B. Income d~ng ~g p~od 0) (2) T~e (~g., ~o~t C~ I div., ~ C. Gro~ valu~ at ~ of~g period 0) Valu~ Co~ 2 ~2) Val~ Me~od 0) T~e (e.g., buy, ~11, D. T~¢fiom d~ng rep~ag ~riod (2) (3) (~) Da~ Value ~de 2 ~

G~a C~e 1

Identity of buyff/sdl~

] 8.

SPDR ~ld T~st

Buy

~/2 I/0P

J

19. 20. 21. 22,

Avalonbay Communities, Inc. FPL Group, Inc. Apple Computer Walgreen Company

Buy Buy Sold Sold

05/04/09 06/16/09 07/I5/09 08/11/09 [

J J J K D

23.
24. 25. 26. 27.

American Express Co.
Avalonbay Communities, Inc. Teva Pharmaceutical Industries, Ltd. Devon Energy Corp. Caterpillar, Inc.

Buy
Buy (add’l) Buy Buy Sold

08!11/09
08/11/09 08/11/09 0g/11/09 08/20/09

J

K J

28.
29.

Omnicom Group
Apple Computer

Sold

10’07/09
11/05/09

J
K D

(part)S°ld

30.
31.

Amt~rican Express Co.
Boston Financial Management, Inc. revocabl~ trust B Int./Div. L T

Sold

12/16/09

J
S Section ¥]II

32. 33. 34.

Bank of Amflea Corp. Coca Cola Co. Sysco Corp.

Sold Buy Sold

02/03/09 02/24/09 02/24/09

J J

FINANCIAL DISCLOSURE REPORT Page 6 of 8

Na~e of V ....Reporting

~orton, Nathaniel M.

05/01/2010

VII. INVESTMENTS and TRUSTS - ~ ,~tuo, tro~c,~s a.ctu~ r~o~ o~. ...... ~ dtpendent children; see pb $4-60 of fding instructions.)
[--] NONE (No reportable income, assets, or transactior~.)
A. Description of Assets (including trust assets) Place ~(X)~ m’~er each asset exornpt from prior disclosure B. Income during reporting period (I) (~) [Amount I Type (e.g., Code 1 ] die., rent, (A-H) ] or int.) C. Gross value at end of reporthag period 0) Value Code 2 (J’-P) (~) Value Method Code 3 0) T~,pe (e-g. buy, s~ll, redemption) D. Transac6oas during reporting period (~) (3) Date Value mm/dd/yy Code 2 (l-P)

Gain Code 1 (A-H)

Identity of buycr/sellrr (if private

(~W)
35. CaterpiIl~r, Inc. Sold 03/05/09 J

36. 37. 38. 39.

American Express Co. Peabody Energy Corp. Omnicom Group Chubb Corp.

Sold Sold Sold Buy

03/05/09 03/06/09 05/18/09 08/18/09 J J J

40. 41. 42.
43, 44. 45.

Boston Financial Management, Inc. revocable tr~t~ Gilead Sciences Abbott Labs
Teva Pharmaceutical Industries Financial Select Sector SPDK Bank of America

A

lnt./Div.

L

T Sold Buy
Buy (add’I) Buy (add’l)

See Section VIII 03106/09! 08/04/09!
08/04109 08/18/09

J J
J J

A

Interest

J

T

I. Income Gain Cod~: (See Coluttrmt BI and D4) 2. Value Codea (See Colnrnn~ C1 and Dg) (g~ Column C2)

A -St.000 or k~ F -’$$0,001 - $100,000 N P] -$25,000,001 ¯ $50,000,0~0 U ~Book V~lue

B -’$ I,OOL. $2.500 G -$1O0,00I - $1,000,000

C-$2,501 - $5,~0 Ill =$1,000,001 - $5,~0,000

D ~15,001 - $15,000 tt2 =Mov: ~aa $~.,000,000

g -$I$,00t - $50,000

P4 ~Mon~ tl’mn $50,000,000 V -O~her W -Estimated

FINANCIAL DISCLOSURE REPORT Page 7 of 8

n~e of Perion Reporting Gorton, Nathaniel M.

Date of Report 05/01/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.
Line I -During 2009 Rocky Bay Trust, a Massachusetts Business Trust, of which the reporting party was a shareholder, and which had owned all of the stock of Slade Gorton & Co., Inc., a Massachusetts corp. ("the Company") was diasolved and ownership of the Company reverted to its steckholders. The re’porting paxty owns the same proportion of stock in the Company as he had owned sha~es of the Trust. Income of the reporting party reported in Section VII is atwibutable to his pro rata share of the income of the Company which is taxed as an S corporation whereby all corporate income is deemed passed tl~ough and taxable to the individual stockholders whether or not such income is, in fact, distributed. The value of the stock holdings is appraised biennially by a csrtified financial analyst. Line 4 - In 1997 the reporting party tight to principal. funded a charitable remainder trust of which they are the income b~neficiaries for Life but in which th~ raain no

Lines 4, 1 I, 31 and 40 - The assets listed on these lines (and the transactions noted in the lines that follow) are managed by Boston Financial Manag~raent, lnc., Boston, MA and consist of stocks and bonds in publicly held companies and equity holdings based on indices listed in Artachm~nt #2.

FINANCIAL DISCLOSURE REPORT Page 8 of 8 IX. CERTIFICATION.

I

Name of Person Reporting

Date of Re~rt 05/01/2{~10

[ Gotten, Nathaniel NL

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 ststutory 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 eL seq, 5 U.S.C. § 7353, ~md Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CML 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

Financial Disclosure Report Nathaniel M. Gorton May i, 2010 Attachment #I

I.

Positions

Position i.

Name of Orqanization/Entity

Stockholder, Clerk/Secretary Slade Gorton & Co., Inc., and Director Boston, MA (closely held iiiiiiiiiiii!iiiii!iiiiiilil, ill seafoo MA corporation and successor of Rocky Bay Trust, a MA Business Trust, which formerly owned all of the stock of the Corporation Clerk and Director Cambridge Animal Aid, Inc. Floral City, FL (non-profit animal aid organization managed by reporting party’s

2.

3.

Member of the Corporation

The New England Home for Little Wanderers, Boston, MA (non-profit, private child welfare agency)

NOTE: None of the beneficiaries of the following trusts and accounts of which the reporting party is a trustee (or holds a power of attorney) is a ill, ............. ~ii ................................ of the reporting party and neither the reporting party nor ii~ has any beneficial interest in or control over the disposition of assets of such trusts and accounts. 4. Power of Attorney/Trustee Fidelity money market accounts (for all stockholders of Slade Gorton & Co., Inc.,all of whom are

5.

Trustee

Irrevocable Trust (created in connection with the estate plan of the reporting party’s

6.

Trustee

1989 Irrevocable Trust and Irrevocable Sub S Trust (both created in connection with the estate plan of reporting party’ s iiiiii~iiiii!ii~]

Financial Disclosure Report NathanieI M. Gorton May 1, 2010 Attachment #2

All of the listed holdings are of common stock unless otherwise noted. Abbott Labs (stocks & bond) Air Products & Chemicals, Inc. American Express Co. Anadarko Pete Co. A T & T, Inc. Automatic Data Processing, Inc. Avalonbay Communities, Inc. Avon Products, Inc. (bond) Chubb Corp. Cisco Corp. Citrix Systems, Inc. Coca Cola Co. Costco Wholesale Corp. CVS Corp. Devon Energy Corp. Dodge & Cox FDS Intl Stk Fund Eaton Vance Corp. Emerson Electric Co. Exelon Corp. Exxon-Mobile Corp. F P L Group, Inc. Fedex Corp. Federal Home Loan Bank (bond) Federal Home Loan Mortgage Corp. (bond) Financial Select Sector SPDRfETF Georgia Power Co. (bond) Google, Inc. Hewlett Packard Co. (bond) IBM Int’l Group (bond) Johnson & Johnson Lowes Companies, Inc. National Rural Utilities (bond) New York Telephone Co. (bond) Nike, Inc. Novo-Nordisk AS ADR-B Pepsico, Inc. Pitney Bowes, Inc. (bond) Powershares Global Water Portfolio Procter & Gamble Co. RPM, Inc. (Ohio) Royce Fund Penn Mut Inv SBC Communications, Inc. (bond) Sigma Aldrich Corp. SPDR Gold Trust Staples, Inc. Stryker Corp. Target Corp. Teva Pharmaceutical Industries, Ltd. United Technologies Corp. Vodafone Group, Inc. Walgreen Company WalMart Stores, Inc. (bond) Western Union Co.

Equityholdings based on indices: IShares, Inc. Morgan-Stanley Capital Int’l (MSCI) Pacific Rim ex-~’apan Index IShares, Inc. MSCI Emerging Market Index IShares, Inc. Russell 2000 Index IShares Tr EAFE Index

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