Pierre N Leval Financial Disclosure Report for 2009

8/3/2019 Pierre N Leval Financial Disclosure Report for 2009

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A o l O I FINANCIAL DISCLOSURE REPORT R e p a , ~ R e q , , i r ~ d b y t h e E t h i c sin Gove~e~ Act of 1978~.,~o,o I FOR CALENDAR YEAR 2~9 (5 u.s .c ~p. ~ ~om H )1. Person R eporting (last name, firsL middle initial) 2. Court or Organization 3. Date of ReportLeval, Pierre N, U.S. Court of Appeals, 2rid Cir 5115/2010

4. Title (Article III judges indicate active or seni~ status; 5a. Report Type (check appropriate type) 6. Reporting Periodmagistrate judges indic.ate full- or paa-time) [] Nomination, Date 01/01/2009

I~I~0095b. [] Amended Report

7. Chambers or Office Address 8. On the basis of the information contained in this Report and anymodifications pertaining there~o, it is, in my opinion, in com pliance40 Foley Square Rm 1901 with applicable laws and regulations.New York, NY 10007

Reviewing Officer Date

IMP OR TAfVT N OT ES: Th e instructions accom panying this form ranst be followed. Com plete all parts,checking the NO NE box for each part w here you have no reportable information. Sign on last pa ge.

I . P O S I T I O N S . r R , p o ~ g ~ v , ~ o ~ ; , c e ~ . ~ ~ of filing inxtruaiom.)D N O N E (No reportable positions,)

POSITION NAME OF ORGANIZATION/ENTITY1. C o u n c i l m e m b e r The American Law Inst i tute

2. Trustee, Executor

3. M ember - Photography Committee M useum of M odem Art

.I I . A G R E E M E N T S . (Reporffng ~ndlvidual only; s.e ~1~. 14.16 of filing instmalons.)

NONE (No reportable agreements.)_~: ..... .,." -[.j ~ ..D A T E PARTIES AND TERMS ~ . . q t 7 - ~ ~ - - - )

L


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INamef ~erson RepoSing Date of~NAN CIALpage 2 of 13 DISC LOSU~ ~PORTI~v~, ~e~e N. 5/15/2010A. ~l e r s Non - lnv~ e n t I n c o m e~ N O N E (No reportable non-investment income.)

~ SOURCE ~D TYPE1. Feb~ Intell~tual ~ope~y Visitor - ~wis & Cl~k Law Sch~l -Po~d, OR - $5,~.~Te~hing2. June Ni~ In~ma~onal Law Summer Abroad ~ - ~omas Jeffe~on $3,~.~~h~l of ~w - Nice, F~NCE -Teaching

3,

4.

B . S p o u s e s N o n - In v e s t m e n t I n c o m e - if you were r~ried during any porfion of the reporilng y~r, complete this section.( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f o r I w n o r a ~ i a . )

[] N O N E (No reportable non-investment income.)D A T E SOURCE AND TYPE

1. Jan-Dec. State St. Cultural Inst, Pension Plan - pension

2. Spring New York University - teaching

3, January U.S. Institute of M useum & Library Seawices - arts funding panel

4. Sprg/Fall Pollock -Krasner Foundation

5. Fall Hunger College

IV. REIMBURSEMENTS - -( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n l c h i l d r e n s e e p p , 2 . 5 - 2 7 o f f i li n g i n s t r u c t i o n s , )~] N O N E (No reportable reimbursements.)

SOURCE D A T E S LOCATION PURPOSE ITEMS PAID OR PROVIDED1. American Bar Assn Feb. 5-7. 2009 Phoenix, AZ Teaching travel/lodging/food

2. Copyright Society June 2, 2009 W ashington, D .C . Lecture travel/fo~l

3.4.5.


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Name of Person Reporting Date of ReportF I N A N C I A L p a g e 3 o f 1 3 D I S C L O S U R E R E P O R T ILeval , PlerreN. 511512010

V . G I F T S . o~a~a,~ t~,~ to ~, ... . ,,~,t a~,~,~,~ ~,~; ~ ~,. z s.~ of ~ ~,~,~.~N O N E (No reportable gifts.)

SOURCE DESCRIFYION " VALUE1.2.3.4.5.

V I . L I A B I L I T I E S . o ~ a ~ , , ~ o ~ , o . t , ~ , o ~ , , , .d d o p , ~ d , .t ,~ U , V o , ; , ,, ~ . ~ . 3 ~ - ~ o / m ~ s[--] N O N E (No reportable liabilities)

CREDITOR DESCRIPTIONl. MONY Loan on l i fe insuran ce pol icy L2.3.4.

5.


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FINANCIAL DISCLOSURE REPORT r ~ a m ~ o f P e r s o n R e l m r t h l8 D a t e o f R e p o r tPage 4 o f 13 Leval, Pierre N. 5/I5/2010

V I I . I N V E S T M E N T S a n d T R U S T S .- ~e .... ~,~. ~,~,cao~s a,,~d,, ~o,, o/ ,po~,, ~ ~,~ ~; ~,, ~. ~o oi #n,~ i~.~N O N E (No report~le income, assets, or transaction.)

A. ~ B. C. D.~d~on of A~ ~ Inco~ during G ross v~u at end Tr~fio~ during r~ng ~

~ - - ( ~ i . . . .. . . .. . . .~ ...... ii3 .....S~i ............. ~ i j . . . . . . . . .. . . . .di" r-. 5)-- ~ ~) ..........PI~ "(X)" after ~ch ~t ~ A m o u n t T~ (e.g.. V~ue Value T~ (e,g., ~ ~ V~ue Gain ld~fi~ ofexempt ~om ~or di~l~ure ~[ C~ 1 div., ~aL C ~ e 2 Met~ b u y , ~ 1 1 , m~d~yy " Co~ 2 [ C~e I buy~/~ll~~ ( A - H ) o r i n t . ) ( J - P ) C~ 3 ~em~i~) ~ (J-P) ~ ( A - H ) ( i f p r i v a t e

~ ( ~W ) ~ ! ~s~tion,

1. Abbot ~bs (eo~on~:: E ~vidend O T Sold 0~4~ N G(~)2. Ex xon M obil (co~on) D ~vi~nd N T Sold 0~ M F

3. App[e~ ApplBiosys (ABI) (S~ ~ VIII *) B Di~dend Sold ~/15/~ M

4. None Merged 09/15~ M(with line 6)5. Life T~logie~ None M T 09/15/~ M

6. Applera - Celera Gen (CRA ) (formerly PE None K TCelera Genomics(com)7. M RO A Dividend J T

8. Daimler Chrysler (common) A Dividend J T9. FM C M oney Mkt ~ i: 1) (Dreyfus) A Interest J T

1 0 . FM C Select Fund (commony~!~, E Dividend N T

1 I. FM C Select Fund - self (See Part VIII **) None Sold 01/12/09 K(part)1 2 . "- self None Sold 01/13/09 K(part)1 3 . "- self None Sold 01/29/09 J(part)1 4 , "- self None Sold 02/24!09 N(part)1 5 , "- self None Sold 03/30/09 J(part)1 6 , " - self None Bu y 04/02/09 J

1 7 . "- self None Sold 04/28./09 J(part)

1, Interne Gain Codes: A --$1.0(~ or less B =,~ 1.001 - ~,500 C --~;2.50 ! - $5,0~0 D =$5,001 - $15.000 E=$I5.001 - $50.000(Se,Columns B I a.ut IM) F --$50.~| - $11~).900 , G = $10t3.00 i - $1,000,000

2. Value Co~es J =$15.0~0 or legs K ---$15,~01 - S5t3.000 L(See Columns CI and D3) N -~25~,~301 - $500.000 O =$500.001 - $1.000.000 P! ---$1.000.001 - $5.000.000 P2 -~$5.000.001 - $25.0(:0.000P3 --$25.000.00! - $50.000,000 P~ =M ore thart $50,1~00,030

3. Value Melhod Cr~de~ Q-_Aplx-ai~| R =Cost (Real Estate Only} S --Asses.~menl T --C~h Manet[See Cnlunm C2) U = B o o k Valu V --O~ha" W :E~t im,~ed


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Ia m e o f P e r s o n R e p o r t in g I D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT LevaI, PierreN.]

5 / 1 5 / 2 0 1 0P age 5 o f 13

--] N O N E (No reportable income, assets, or transactions.)i B . c . .I D .D e s c r i p t i o n o f A s s e t s t lncon~ during G ross value at end i Transactions during reposing period( i n c l u d i n g t r u s t a s . r o t s ) I r e p o r t i n g p e r i o d of reponlng period t] (l)-~I (2) (1 ) ,: (2 ) ]" " (1 > ] (2> : (3) (4) ( 5 )~ A m o u n t T y p e ( e , g , ~ ~ Ident i ty ofV a l u ~ ~ Value Type (e .g . , / Date , V a l ue I G a i nP l a c ~ " ( X F a f t e r e a c h a s s e ti C o d e t div., rent,o d e 2 i M e t h o d

I b u y . s e l l . - m m / d d / y y i C o d e 2 C o d e [ b u y e r / s e l t c re x e m p t f ~ x ~ m p d o r d i s c l o s u r e +! ( A + H ) orint,) ( J - P ) i C o d e 3 r e d e m p t i o n ) ! ( J - P ) ! { A - H ) ( i f p r i v a t e. , i t r a n s a c t i o n )L

1 8 . "- self None Sold 05/28/09 J(part)1 9 , " - self None Sold 06/08/09 K(part)20. "- self None Sold 06/29/09 J(part)21. "- self None Buy 07/02/09 J2 2 . "- s e l f N o n e S o l d 0 7 / 3 0 1 0 9 J(P~)23 . "- self None Sold 08/28/09 J( p a r t )24 , "- self None Sold 09/01/09 J(part)25. "- self None Sold 09/28/09! J(part)26. " - self None Buy 10/02t09 J

2 7 . "- self None Sold 10/28/09 J( p a r t )2 8 . "- s e l f N o n e S o l d I L f 2 3 1 0 9 J( p a r t )29 . "- self None Sold 12/28/09 J(pan)30. "- serf None Sold 12/29/09 K(part)31. "self None Buy 12/31/09 J

32. "-~ None Sold 02/24/09 M(part)33 . "~ None Buy 04/02/09 J

34. "-~ None Bu y 07/02/09 J

I. Income Gain COd~: A =$1,000 ta- less S =$L001 - 52,500 C - . . ~ 2 , 5 0 1 - $ 5 , 0 0 ( I D -~5.001 - $15.000 E :$15.001 - $50.000( S e e C o l u m a ~ B I a n d D 4 ) F = $ 5 0 o 0 0 1 o $ 1 ~ O . O 0 0 G = $ 1 0 0 . 0 0 1 * $ I , O O O . O 0 0 H I = $1 .000 .001 - $5 .000 ,000 H 2 =M or~ th an $ 5, 000. 000

2. Value Coder, . I = $ 1 5 , 0 O O o r l e s s K =$15,U01. $50,000 L = $ 5 0 , 0 0 1 - $ 1 O 0 , O 0 0 M --$100,001 - $250,000{ S e e C o lu m n ~ C 1 a n d D 3 ) N =$2~0,001 - $500.000 O = $ 5 0 0 . 0 0 1 . S 1 .0 ( ] O , 0 0 0 PI --$1J~00.001 - $5.000.0~1 P2 =$5,000.001 - $25.060.000P 3 - ~ t 2 5 . 0 U O . 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0 P4 =More fftafl $50.000.000

3. Value Method Code~ Q = A p p r* t L m i R =~ost (Real F_~ate OMy) S =Assessmem T--Cash Market(See Column C2) O =Book Value V =Other W =Estimated


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F I N A N C I A L D I S C L O S U R E R E P O R T Name of Person Reporting Date of ReportPage 6 of 13 5 1 1 5 / 2 0 t 0~val, Pierre N.

V I I . IN V E S T M E N T S a n d T R U S T S - i ,~ o , , e . ~ t ~ . ~ a e a o ~ , a . a ~ d , ~ t h o , e of spo . . . . d dependent children; see p p . 3 4 - 6 0 of filing instruenons.)N O N E (No reportable income, assets, or transactions.)

A. ! B. C. D.D e s c r i p t i o n o f A s s e t s Income during Gross value at end T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d(including trt~t ~s~ts) ~l r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d! (1 ) (2 )

P ] a c ~ " ( X ) " a f t e r e a c h a s s e ~ A m o u n t T y p e ( e . g ., Value I V a ] n c T y p e { e . g . . | Date :, Value Gain I d e n t i t y o fC o d e 1 d i e . , r e n t , Code 2 i M e t h o d buy. sell. [mnddd/yy i C~3e 2 C o d e 1 buyer/sellerexemptfmm prior disclosureI (A-H) o r i n t . ) ( J - P ) I C o d e 1 3 r e d e m p t i o n ) | ! (J-P) ( A - H ) ( i f p r i v a t e

35. ". None Buy 10/02/09 J

3 6 . ". None Sold 12/29/09 K

37 , "- None B uy 12/31/09 l

38. Lincoln St. Realty 0imited partnership) None J W39 . Hershey (common)(s) B Dividend L T Sold 02/24/09 K E( p a r t )40. Smith Barney Liquid Res Fund (common) B Dividend K T

41. G en. American Inv. (common) (G AM ) (s) C Dividend M T

42. Chas~ Bank (acccount) (s) A Interest J T

43 . Chase Bank account self None M T

~. C itibank account None J T

45. Art Works None L W

46. Chase (Bank of N Y) account (trust) None J T

47 . Vanguard G NM A Fixed Income Fund (trustl C Interest L T

48, FHK C X A Dividend J T Sold 01/12/09 J(part)49 , F E M K X A Dividend J T SoM 01112/09 J(part)5 0 . FSMAX A Dividend J T Sold 0 1 1 1 2 A F ) K(part)51. F L G E X A Dividend J T Sold 01/12/09 J(part)


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N a m e o f P e r s o n R e t m r t ln g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT Leva I , Plerre N. 5 / 1 5 / 2 0 1 0Page 7 o f 13VH. INVESTMENTS an d TRUSTS"-] N O N E (No reportable income, assets, or transactions.)

; B. C. D.A.Description of Assets ! Income during Gross value at end Transactions during repo~ng period[ re porting p eriod of re tx ~rti ng pe rio d(including trust

Place "00" after each asset Awamnt Type (e.g., Value Value Type (e.g., Date ; Value [ Gain Identity ofexempt from prior disclosure Code 1 div., real Code 2 Method buy, sell, mm/dd/yy I Code 2 :I Code 1 buyer/sellerI (A-H) orint.) (J-P) Code3 redemption) i (.l-P) i (A-H) 0fprivatet r a n s a c t i o n )

L

-52. HGOCX No n e J T Sold 01/13/09 J( p a r t )53 . IHSAX None J T Sold 01113/09 J( p a r t )54 . HNSCX None J T Sold 01/13/09 K(part)55 , HIOCX None J T Sold 01/13/09 K(part)56 . HCACX None J T Sold 01112/09 K(part)57. IGINCX A Dividend J T Sold 01113109 J( p a r t )58 . TILFX A Dividend K T

59. VTRIX A Dividend J T Sold 01113/09 J(part)60. FN Y X X B Interest O T Buy 01114/09 M(addl)61, Alabama 5.25 bond 1 I11115 A Interest K T Buy 05/22/09 J(addl)62. Catifomla 4.90 bond C Interest L T Buy 03103/09 L

63. Detroit 5.5 bond B Interest Sold 04122/09 L

64. E. Rochester 5.375 bond D Interest M T6 5 . E. Rochester 5.00 8/15/27 C Interest L T Buy 04/22/09 L

66. Farmington 5.7 bond B Interest K T

67 . Kentucky 6.0 bond C Interest L T Sold 10101109 J( p a r t )68 . Mahoning 5.5 bond B Interest K T

1. Inc~tne Galn Cedes: A = $ ! , 0 0 0 ~ r t e s s B = $ 1 .0 0 1 - $ 2 . 5 0 0 C - - $ 2 . 5 0 1 - $ 5 . 0 0 0 D - - - $ 5 . 0 0 1 - $ t ~ , 0 0 0 E =$15.001 - S50.000{ S e ~ C o l t tm n * B I ~ n d D 4 ) F = $ 5 0 , O 0 1 - $ 1 0 0 . 0 0 1 3 G - - ~ 1 0 0 . 0 0 1 - $ 1 , 1 3 0 0 . 0 0 0 H I =$ 1 .~ 00 ,0Ol - $5 .000 .000 H 2 =M ore th tm S 5, 000, 0002, Val~ Ced~ J =$15,000 or less g --$15,001, $50.000 L - - - $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 M =$100.001 . $250.000(See 12olumm (21 a~d D3) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 . 0 0 0 0 r. $5 00 ,0 01 - $ 1. 00 0,0 00 P l = $1 .0 00 .0 01 - $ 5. 00 0,0 00 P 2 = $ 5 , 0 0 0 ,0 0 1 - $ 2 5 , 0 0 0 ,0 0 0P3 =$~.000,~01 - $50.000,000 P4 =Mor~ than $50,000.000

3. Val~M~d Cedes Q = A p p t - a l s a l R =Cost (Real Estate Only) $ = Assessment T - - - C a s h M a r k e t(See Column C2) U =Book Value V =Other W =E stimated


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INamef P e r s o n R e p o r t i n g D a t e o f R e p o r t[

FINAN CIALpage 8 of 13 DISC LOSURE R E P O R T [ Leval, Pierre N. 5/tsrzoi0

V I I. IN V E S T M E N T S a n d T R U S T S - i n e o ~ , ~ u ~ , ~ n s a n e ~ d e s ~ o ~ e o a ~ ~ e ~ ~ ~ e ~ n d ~ children; see p p . 3 4 6 0 of fili~g i n s 6 " u c t i o n s . )N O N E (No reportable incom e, assets, or transactions.)

D e s c r i p t i o n of A . ~ s e t s I Income during G ross value at end T r a m u l c t i o n s d o t i n g p e t i o d( i n c l u d i n g t r u s t a s s e t s ) r e p or t i n g p e r i o d o f r e p o tt l n g p e r i o dP l a c e " ( X ) " a f t e r e a c h a s s e t , A m o u n t T y p e ( e . g ., Value Value T y p ee x e m p t f l o r a p r i o r d i s c l o s u r e iI C o d e I d i v . , ~ e r t k Code 2 M e t h o d buy, sell, mm/dd!yy i Code 2 Code I buyvrlselleri (A-H) orint.) ( J - P ) i Code3 r e d e m p t i o n ) ! (J-P) I A - H ) ( i f p r i v a t e! ( Q - W ) : t r a n s a c t i o n )

69. N M TA 5.25 4/1/14 bond D Interest M T Buy 03/05/09 L(addl)70. " None Buy 07/~4/09 K(addS)71. N M TA 5.0 ~)I/15 bond D Interest M T

72. NY MTA 5,625 7/1/16 bond C Interest L T

73 . Michigan Hosp. 5.0 811/22 bond C Interest L T Buy 03/04/09 L

74 . M ission Viejo 6 bond C Interest L T

75 . Mississippi Hosp. 5.25 5/15/26 bond B Interest L T Buy 07117/09 L

76. M uskingum 5.4 bond B Interest K T

77 . NYC 5.375 6/1/23 bond D Interest M T Buy 11/09/09! L

78, None B uy 12/02/09: K(addl)79 . NYS Bridge 5.125 1/1/12bond B Interest K T

8 0 . NY Dorm 5.1 2/15126 bond D Interest M T

8 1 . NY Dorm 6.45 8/15/24 bond D Interest M T8 2 . NY Dorm 5.25 8/1/25 bond D Interest M T8 3 . NY Dorm 5.25 811119 bond D Interest M T B uy 03/04/09 L(addl)8 4 . " None Sold 02/02/09 J( p a r t )8 5 . NY Dorm 5.25 8t1119 bond None Sold !08/03t09 J( p a r t )

(See C~tumns B 1 and D4) I ~ = $ 5 0 . ~ 01 - $ I O 0. f l ~ 3 G = $ I 1 ~ ). 0 0 1 - $ 1 .0 0 0 ,0 0 0 H 1 =$1.000.001 - $ 5.~0.00~ n 2 =M ore than2, Value Cod~ ,1 = $ 1 5 . 0 0 0 o r I ~ .~ K - - - $ 1 5 . 0 O r - $ 5 0 . 0 0 0 L - - . $ 5 0 .0 0 1 - $ 1 O 0 .O 0 0 M ~ 100,001 -(Se~ Columns CI and D3) N --$250,001. $500.~0 O - - ~ 5 0 0 . 0 0 J - $ 1 .0 0 0 . I X I 0 P l - - - $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 ~ 0 P 2 = $ 5 . ( ,K D . 0 0 1 . $ 2 5 , 0 0 ~ . 0 0 0P 3 - - - $ 2 5 , 0 0 0 . 0 0 1 - $ : T O J ~ 0 . 0 0 0 P4 ----More ~ $,~.(~0.000

3 . V a i , .~ M f l ~ o d C o d e s Q =Appraisal R --Cost (Real Est~e: Only) S =Asse~menl T ~ Market(See Column C2) U =Book VaJu~ V - - - O ~ b e r W


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Name of Persee Reporting D a t e o f R e p o r tF INANC IAL DISCLOSURE REPORT Levat, P~erre N . 5 / 1 5 / 2 0 1 0Page 9 o f 13V I I. IN V E S T M E N T S a n d T R U S T S - i n c o m e . . a l~ , . ~ a n . .c ~ n . ( ~ n ~ e . , n o . . o f ,p ~ . e ~ . d d e ~ d . . ~ h U d . . ~ ; ,~ ~. ~ 4 - ~ 0 o f f i l i n g instr~CtiOt~.)

blONE (No reportable income, assets, or transactions,)D ~ s c f ip t i o n o f A s s e t s Incom e during G ross value at end i T r a n s a c t i o n s d u r i n g r e p o r t i n g ~ e r i o dI (including trua asset~) i reporting period of relx~ng period

e x e r a p t f r o m p r i o r d i s c l o ~ u r i C o d e I d i v . , r e n t , C o d e 2 . M e t h o d i b u y , s e l l , m / d d / y y C o d e 2 C o d e l b u y e r / s e l l e r[ ](AH)I ~int,) ( J - P ) ! C ode3 i redempt ion) ]( J - P ) ( A - H ) (ifprivate

86. NY Dorm 5.45 8/1129 bond C Interest L T Buy 108/01/09 L

87. N~ D orm 5.5 8/1/38 bond D Interest M T Buy 03/03/09 L

88. " None B uy 03/04/09 L(addl)8 9 . NY Dorm 5,4 2/i/31 bond D Interest M T

90. NY Dorm 5.625 8/1/22 bond D Interest M T

91. NY Dorm 6.25 2/1/36 bond D Interest M T

92. NY Dorm 5.75 8/1/24 bond D Interest M T93 , NY D orm 5.375 2/I/17 bond C Interest L T

94. NY Dorm 6.0 8/1/35 bond C Interest Sold 07/09/09 ! M

95. NY Dorm ~1375 8/1/27 bond C IntereSt Sold 11!12/09 L

96, NY Dorm 5.0 bond 4/1/t2 C Interest L T

97 . NY Dorm 5.45 811/35 bond B Interest L T Buy 07 /21/09 L

9 8 . NY Dorm 5.45 8/1/27 bond D Interest M T Buy 03/03/09 L

9 9 . " None Buy 03/04/09 K(addl)100, NY Dorm 5.0 2/I/18 bond" C Interest L T Buy 03/03/09 L

101. NY Dorrn 5.0 2/I/28 bond B Interest L T Buy 02/04/09 L

102. NS E nergy 5.5 bond 111/21 B Interest L T

1. Income Gain Code~: A --$L000 ~ less B(~ ~u~t B I and ~) F =$~,~ I - Sl~ G{~e Cdu~s C] ~d D3) N ~1 - $5~.~ O ~1


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F IN A N C IA L D ISC L O SU R E R E PO R T I N ~ ~ V e , ~ n ~ e p o ~ gPage 10 o f 13 ] ~ ~ N.

VH . I~~NTS and TRUSTS - i.~o~,, ,~, ~..,,~ao.~ Ct.a~d,, ,ho~,N O~ (No reportable i~ome, ~sets; or transaction.)

~ ! B . C. D.~ption of A~B [ I ~ o ~ d u 6 n g O r o ~ v ~ u ~ a t e n d T ~ n s a c f o n s(includi~ ~ ~ts) ~ ~ng ~fi~ of r~ng] (I) (2 ) (I) (2)Pla~ "(X)" a~ ~ch ~ ~ A m o a n t ~ (e.g.. Value V~u Ty~ ( .g,. Da~

exempt ~m prior di~i~u~ ~ C~ I div.. ren~ C~ 2 Me~od buy. sell. m~ ~ C~e 2 ~ C~ I buyer/~ller[ (A-~ o r i n t . ) ( J - P ) C~e 3: (~W) [ I~ans~fion)t03. NY S ~vir. 5.1~ bond ff15/19 D lnte~st M Tt~. NYS U~ 5.5 ~M 7/1116 B lnmmst K T Sold ~01~9 J(~)105. Noffo~ 5,75 bond 11/1/13 C ln~st L T106. NC M ed 5.5 bond 10/1/24 C Interest L T107. NC E ast Mun 5.5 bond 1/1/21 D Interest M T B uy 0 3 1 0 3 1 0 9 L(addl)108. Peninsula 8.7 bond 8!1/23 C Interest K T109. R.I Dcp 6.0 bond 8/1/17 C Interest L T110, RIS Health 5.5 bond 5!I 5/16 C Interest L T11 I. Sacramento 5.0 bond 12/1116 C Interest L T

112, St. Paul 5.S bond 11/1/23 C Interest L T113. Tfiborough 5.25 1/1/I 3 bond C Interest L T

14. Triborough 5.25 1t1114 bond D Interest M T15. Washington 5.25 8/I/23 bond D Interest M T B uy 03/04/09 M

116, NY Dorm 5.375 2/1117 bond C Interest B uy 01/07/09 M117, " None Sold 1 1 1 1 2 / 0 9 M118. Califor. 4,9 10!1113~ C Interest L T Buy 02/03/09 L119. NY MTA 5.25 4/1/14 bond-~ C Interest L T

(~ Co~ CI and D3) N =$~.~1 - $~ O ~.~1 - $1.~,~ Pl ~ I,~,~1 - Sg~.~ ~ =$5,~1 - $25,~.~P3 ~,~1 - 150.~,~ P4 =M~e ~ $~.~,~3. V~ M~ ~ Q =A~ R ~og (~ ~tat ~ly) S ~nt T ~h Mark~


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Name of Person Reporting Date of ReportP a g e F I N A N C I A L I I of 13 DISC LOSURE R E P O R T I Leval, Pierre N. 511512010

V H . I N V E S T M E N T S a n d T R U S T S - i.oo~. ~.e. ~an.. < ,.c*.~s ,ho.e of s p o u s e a n d dependent c~ldrenl tee pp. 34-60 of fiiingN O N E (No reportable income, assets, or transactions.)

! Income during G ross value at end i Transactions during repo~ng pe~odDescription of A s s e s(including trust assets) i ~epo~ng period o f r e p o r t i n g p e r i o dPlace"(X)"aftere~chasset Amount Type(e.g. Value Value i Type(e.g.. / Date ,Value [Gain IdentityofCod e I div.. r~nt, Code 2 M e t h o d buy, sell, ]mnffd~yy [ Code 2 [ Cod~ I buy~/s~lere x e m p t f r o m p r i o r d i s c lo s u r e ( A - H ) o r i n L ) ( J - P ) Code3 i r~emption) | i (J-p) i (A-H): " t n m s s ~ d o n )( Q - W ) I L ,

1 2 0 . M i c h i g a n 5 . 7 5 8 / ] 5 ~ 2 6 B I n t e ~ s t K T B u y 1 0 / 0 2 / 0 9 K12L Musldngum 5.35 5ond -~ A I n t e r e s t ~ T S o l d 0 2 / 1 7 / 0 9

122. NY C M un 5.75 bond 1 5 1 1 3 A Interest K T

t23. NYC Ind. 5.375 6/1/23 bond B Interest L T Buy 1 1 / 0 9 1 0 9 1 L

124. NY Dcrm 5.1 2/15/26 bond -~ C Interest L T

125. NYD orm 6.45 8115/24 bon C Interest L T

126. NY D orm 5.25 8/1/25 bond - C Interest L T

127 NY Dorm 5.5 8/1/38 B Interest L T Buy 03/03/09 L

128. NY Dorm 5.375 8/I/27 bon~ B Interest Sold 11t12/09 L

i29. NY Dorm 5 375 2/~/17 bond B Interest K T Buy 01/12/09 K

30, NY Dorm 5.0 2/1/12 bond B Interest K Ti31. NY Dorm 5.0 2/i/28 bond - C Interest L T Buy 03103/09 L132. Norfolk 5 75 bond - L T

13~ North Car. 5.5 1/t/21 bondl~ C Interest L T Buy 03/03/09 L

134. RI Health 5.5 bond -~ C Interest L T Buy 06/03/09 L

135. N w Providence Assoc. LP fund self None N T Buy 1 0 9 / 0 1 1 0 9 N

136. JPMorgan Tax Free Bond VANTX self A Interest K T Buy 10/09/09 K

(Sin: Columm CI and D3 } N =.$250,001 $500,0~ O =$500 ,001 . 51.000,000 PI =$ I ,(~t,001 - $5.000.000 P2 -.~5.000.001 - $25,000.0~0P3 =$25,000.001 - $50,0~k0~0 P4 =Mor~ Ihan $50.000.000

3. Value Metlmd Cod~ Q =Ai~sal R =C ost {Real Estam Only) S = Assessment T---Cash MaAet(Sv C oM nm C 2) U =Bvek V alue. V =Oth~ W =Esf lma~l


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F IN A N C IA L D ISC L O SU R E R E PO R T Na~o~Pe~o~o~g aa t e o f a e~Page 12 o f 13 L e v a l , P i e r r e N . 5 1 1 5 1 2 0 1 0

VHI. A D D ITIO N A L IN F O R MA TIO N O R E X PL A N A TIO N S.* 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 bcompleted for each asset owned on the last day of the repiort period.~ On the first line relating to each asset, I have filled in C olumn C showing my holding in thatasset at the close of the year. Repeating that information on su bsequent lines that report an additional p urchase or a partial sale of that asset would result in doublecounting.


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F IN A N C IA L D ISC L O SU R E R E PO R T N~e of Person Rep orting D a t e o f R e p o t ~Page 13 o f 13 t~val, Pierre N . 5 / t s r 2 o ~ o

IX. CERT IFICATION.I certi~ that all information given above (including information pertaining to my spou se and minor or depende nt children, If any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclusure.I further certify that earned income from outside employm ent and honoraria and the acc eptance of gifts which have been repo rted are incompliance 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 KN OWING LY AND WILFULLY FALSI~"IES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to:C omm ittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus C irc le, N.E.W ashington, D,C. 20544

Pierre N Leval Financial Disclosure Report for 2009

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