Pierre N Leval Financial Disclosure Report for 2010
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8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
http://slidepdf.com/reader/full/pierre-n-leval-financial-disclosure-report-for-2010 1/14
FINANCIAL DISCLOSURE REPOR T
FOR CALENDAR YEAR 201 0
Report Required by the E thics
in Government Act of 1978
(5 U.S.C. app..~¢~q 101-111)
1. Person Repor ting ( las t name, f ir s t , middle init ial)
Leval , P ie r re N.
4. Ti t l e (Ar t ic le I l l judges ind ica te ac t ive or senior s t a tus ;
magis t ra te judges indicate ful l - or par t - t ime)
Sen io r Ci rcu i t Jud g e
7. Chambers or Off ice Address
4 0 F o l e y S q ua r e R m 1 9 0 1New Yo rk, NY 10007
2. Court or Organization
U. S. Cou r t o f A ppea l s , 2nd Ci r
5a . Report Type (check appropria te type )
] Nom ination, D ate
[] Initial [] Annual [] Final
5b. [] Amended Report
8. On the basis o f the in fo rma tion con ta ined in th is Report and any
modif ica t ions pe rta in ing the re to , i t is , in my op in ion , in compliancew i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .
Reviewing Of f icer Date
3. Date of R e p o r t
5/15/2011
6. Repor t ing Per iod
01/01/2010
to
12/31/2010
I M P O R T A N T N O T E S : The instruct ions acco mpa nying this form mu st be followe~L C omplete a l i parls,
checking the NONE box for each part where you have no reportable informatior~ Sign on last page.
I . P O S I T I O N S . m e ~ , o n i n g i n d i v i , ta a l o n l y ; s e , ~ , ~ , . 9 - ~ of filing instructions.)
D N O N E (No reportablepositions.)
POSITION
1. C o u n c i l m e m b e r - E m e r i tu s
NAME OF ORGANIZATION/ENTITY
T h e A m er i can L aw I ns t i t u t e
2. T ~ s t e e , E x e c u t o r ~~
3. M e m b e r - P h o t o g r a p h y C o m m i tt e e M u s e u m o f M o d e m A r t
4.
5.
I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)
~] N O N E (No reportable a greements . )
DATE PARTIES AND TERMS
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 2 o f 14
N a m e o f P e r s o n R e p o r t in g
Leval, P i e r r e N .
D a t e o f R e p o r t
5/I 5/2011
I II . N O N - I N V E S T M E N T I N C O M E . meportl.g individualandspouse; seepp. ~-24 of filing instructions.)
A. Filer’s Non-lnvestment Income
~] (No reportable non- investment income.)ONE
DATE SOURCE AND TYPE
2.
3.
4.
INCOME( y o u r s , n o t s p o u s e ’ s )
B . S p o u s e ’ s N o n - I n v e st m e n t I n c o m e - if you were married d uring anypo rtion of the reportingyear, complete this section.
(Dollar amount not required except for honorar ia . )
~ N O N E ( N o reportable non-investment income.)
DATE S O U R C E A N D T Y P E
1. Jan-Dec. Sta t e S t . Cu l tu ra l Ins t . P ens ion P l an - p e n s i o n
2 . Ja n .-D e c. P o llo ck-K ras n e r F o u n d a t io n - ad vis o ry
3. Jan. Colu m b ia Unive rs i ty - l ec tu re
4.
IV . R E I M B U R S E M E N T S -transportation, lodging, food, entertainment.
(Includes those to spouse and dependent children; see pp. 25-27 offifing instructions.)
~] N O N E (No reportable reimbursements.)
SOURCE DATES LOCATION PURPOSE
1 . U n ivers ity o f So uth e rn 3 /20 - 3 /28 L o s A n g e l e s , C a l i f o m i a T eachC a l i f o r n i a
2. Univers i ty of H ou s ton 6/03 - 6 /06 Sa n ta F e , N e w M e xico L e ctu re an d a t ten d T r a v e l a n d l o d g i n gc o n f e r e n c e
3. E u ro p ea n U n ive rs ily In s t itu te 10/15 - 10/I 6 Flo re n ce , Ita ly L ecture an d a tten d T r a v e l a n d l o d g i n gc o n f e r e n c e
4.
5.
ITEMS PAID OR PROVIDED
Travel and lodging
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 3 of 14
Name o f Pe rson Report ing
Le v a l , P i e r r e N.
Date of Repor t
5/15/201 I
¥o ~Jlr l i fo (Includes those to spouse and dep endent children; see pp. 28-31 of filing instructions.)
N O N E ( ’N o reporta ble gifts.)
SO U R CE D E SCR IP T IO N
1.
2.
3.
4.
5.
VALUE
V I . L I A B I L I T I E S . ( i n c / u ~ , ,h o ~ e o Z ~ p o , ~ e ,- ~ ~ e ~ e n ~ . t children; see pp. 3 2 - 3 3 ofjqling instr.ctions.)
D NONE (No reportable liabilities.)
CREDITOR DESCRIPTION
1. M O N Y Lo an o n l i fe in suran ce p o l icy
2.
3.
4.
5.
VALUECODE
L
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 4 o f 14
N a m e o f P e r s o n R e p o r t in g
L e va l , P i e r re N .
D a t e o f R e p o r t
5/15/2011
V I I . I N V E S T M E N T S a n d T R U S T S - income, value , t ransac t ions ( In c ludes those of spouse a nd depend ent chi ldren; see pp. 34-60 of f i l ing ins t ruc tions . )
--’-] N O N E (No reportable income, assets, or transactions.)
A. B. C.D e s c r i p t i o n o f A s s e t s Income dur ing G r o s s v a l u e a t e n d
( i n c l u d i n g t r u s t a s s e t s ) 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
O) ( 2 ) (l) (2)
Place ,(X)" af ter each asset A m o u n t T y p e ( e . g ., Value Valueexempt f rom p r ior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d
( A - H ) o r i n t . ) ( J - P ) C o d e 3
( Q - W )
( 1 )
Type (e.g.,
buy, se l l ,
redempt ion)
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
(2) (3) (4)
D a t e V a l u e G a i n
mm /dd/yy Code 2 C o d e 1
(J-P) ( A - H )
(5 )
I d e n t i t y o f
buyer/seller
( i f p r i v a t e
t r a n s a c t i o n )
I. A b b o t L a b s ( c o m m o n s t o c k ~ ~ ; : , ; ; - * E
2. E x x o n M o b i l (c o m m o n ) ’ D
D i v i d e n d O
D i v i d e n d N
T
T
So ld(par t )
10/15/10 J
3. L i f e T e c h n o l o g i e s - C o m m o n N o n e M
4. A p p l e r a - C e l e r a G e n ( C R A ) ( f o r m e r l y P EC e l e r a G e n o m i c s ( co m )
N o n e
5. M R O A D i v i d e n d J
6. D a i m l e r C h r y s l e r ( c o m m o n ) A D i v i d e n d J
7. FMC Money Mkt~"~’~/~/z~ (Dreyfus) A I n t e r e s t J
8. F M C Se lec t F u nd (com mon)~ ~, ~: .o ~ i , . ; ~ C Div id en d N
9. FMC Se lec t Fund - se l f (See * in Pa r t VI I I) N o n e
1 0 . N o n e
1 1 . "-self N o n e
1 2 . "- self N o n e
1 3 . "-self N o n e
1 4 . "-self N o n e
1 5 . "-self N o n e
1 6 . "-self N o n e
1 7 . "-self N o n e
S o l d
(p a n )
S o l d(p a n )
Sold
(par t )
B uy(a d d ’ l )
S o l d(p a n )
Sold
(par t )
Bu y
(a dd’ l )
S o l d(p a n )
Bu y
( a d d ’ l )
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
1 . I ncome G ain Codes : A = $ 1,000 or less B = $ 1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000
(S e e C o lu mn s B I a n d D4) F = $ 50,001 - $100,000 G =$ 100,001 - $1,000,000 H 1 = $1,000,001 - $ 5,000,000 H 2 = Mo re th an $5,000,000
2 . Va lu e C o d e s J $1 5, 0 0 0 or l css K=$15,001.$50 ,000 L $50 , 0 0 1 -$1 0 0 , 0 0 0 M=$100,001-$250 ,000
(S e e C o lu mn s C I a n d D3) N $250 , 0 0 1 -$50 0 , 0 0 0 O=$500,001-$1 ,000 ,000 P I - $ 1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 P 2 =$ 5 ,0 00 ,0 01 - $ 25 ,0 00 ,0 00
P3 = $25,000,001 - $50,000,000 P4 -More than $50,000,000
3. Va lu e Mc tho d C o d e s Q = Appr a i sa l R -C o s t (Re a l Es ta te On ly) S =A sse ssme n t T =C a sh Ma rke t
(S e e C o tu mn C 2) U =B o o k Va lu e V Othcr W =Es t ima te d
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPO RT
Page 5 of 14
N a m e o f P e r s o n R e p o r t i n g
Leval, Pierre N.
D a t e o f R e p o r t
5/15/2011
V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a ~ . e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
N O N E (No reportable income, assets, or transactions.)
A. B. C.Descr ipt ion of Assets Income during Gross va lue a t end
(including trust assets) rep orting period o f reportin g p erio d
(1) (2) (1) (2)
Place "(X)" af ter each asse t A mo un t Typ e (e .g ., Value Value
exempt f rom p r ior d isc losure Code 1 div., rent, Code 2 Method
(A-H) o r i n t . ) ( J - P ) Code 3
(Q-W)
( 1 )
Type (e.g.,
buy, sell ,
redempt ion)
Transact ions d ur ing repor t ing per iod
(2) (3) (4)
Date Value Gain
m m /d d /y y Code 2 C o d e 1
( J - P ) (A-H)
Identity o f
buyer/se l le r
( i f p r i v a t e
t r a n s a c t i o n )
1 8 . "-self
1 9 . "-self
20 . "-self
21 . "-self
22 . "- self
23 . "-self
24 . "-self
25 . "-self
26 . "-self
27 . "-self
28 . "-self
2 9 .
33 .
34 . Lin co ln S t . Rea l ty ( l im i ted p ar tn ersh ip )
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
S o l d
(part)
S o l d(part)
S o l d
( p a r t )
S o l d(part)
B u y
(a d d ’ l )
S o l d(part)
S o l d(par t )
S o l d
(par t )
Sold
(par t )
B u y
(a d d ’ l )
Sold
(part)
B u y( a d d ’ l )
B u y
(a d d ’ l )
B u y(a d d ’ l )
B u y
(a d d ’ l )
B u y(a d d ’ l )
W
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
J
J
J
1 . I ncome G ain Codcs : A =$1,000 or Icss B = $1,001 - $ 2,500 C = $2,5 01 - $ 5 ,000 D = $5,001 - $15,000
(S e e C o lu mn s B I a n d D4) F = $ 50,001 - $100,000 G = $100,001 - $1,000,000 H 1 = $1,000,001 - $5 ,000,000 H2 = M ore th an $ 5,000,000
2 . V alue Codes J $1 5.0 0 0 or l ess K = $15,001 - $ 50,000 L = $50,001 - $100,000 M =$100,001 - $250,000
(S c e C o lu mn s C I a n d D3) N $25 0 , 0 0 1 -$50 0 , 00 0 O=$500,001-$1 ,000 ,000 P 1 = $ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 = $ 5, 00 0, 00 1 - $2 5, 00 0, 00 0
P 3 $25 ,000,001-$ 50 ,000 ,000 P 4 M o re th a n $5 0,000 ,0003. Va lu e Me tho d C o d e s Q = Appr a i s a l R = Cos t ( R eal E s t a t e O nly ) S =A sse ssme n t T =C a sh Ma rke t
(S e e C o lu mn C 2) U = Book V alue V Other W =Es t ima te d
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPO RT
Page 6 of 14
N a m e o f P e r s o n R e p o r t i n g
Leval, Pierre N.
D a t e o f R e p o r t
5/15/2011
V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of.filing instructions.)
D N O N E (No reportable incom e, assets, or transactions.)
A. B. C.D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g Gross value at en d
( i n c l u d i n g t r u s t a s s e t s ) r e po rt in g p erio d o f r e po rt in g p er io d
(1) (2) ( 1 ) (2 )
Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Value
exempt from prior disclosure C o d e 1 div. , r e nt , C o d e 2 M e th o d
( A - H ) or i n t . ) (J-P) C o d e 3
( Q - W )
35 .
36 .
37 .
38 .
39 .
40 .
41 .
42 .
43 .
44 .
45 .
46 .
47 .
48 .
49 .
50 .
51 .
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
Hershey (common~ S,~ B Dividend L T
Smith Barney Liquid Res Fund (common) B Dividend K T
Ge n. Ame r i can Inv . (comm on) (GAM ) ~ C Dividend M T
Chas e Bank ( a cccount )~ A I n t e r e s t J T
C h a s e B a n k a c c o u n t~ None L T
Citibank a ccount None J T
Art Works None L W
Chase bank account (trust) None J T
Vanguard GNMA Fixed Income Fund (trust~ C I n t e r e s t L T
F H K C X A Div id en d K T
F E M K X A D i v i d e n d J T
F U S V X ( f o r m e r l y F SM A X ) A D i v i d e n d J T
(l ) (2) (3)Type (e.g., D a t e V a l u e
bu y , s e l l , mm/dd/yy C o d e 2
r e d e m p t i o n ) (J-P)
F L G E X A D i v i d e n d J T
H G O C X None J T
I H S A X None J T
H N S C X A D ivid en d J T
H I O C X A D i v i d e n d J T
( 4 ) ( 5 )
Gain Identity of
Code 1 buyer/se l le r
(A-H) (if private
t r a n s a c t i o n )
1. I ncome G ai n Codes: A = $1,000 o r less B = $1,001 - $2,500 C = $ 2,501 - $ 5 ,000 D = $ 5,001 - $ 15,000
( See Column s B 1 and D 4 ) F =$ 50,001 - $100,000 G =$ 100,001 - $ 1,000,000 H 1 - $1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 H 2 = M o re th a n $ 5 ,0 00 ,0 00
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $ 100,000 M =$100,001 - $250,000
(Se e Co lum ns C 1 an d D 3 ) N =$250,001 - $500,000 O =$5 00,001 - $1,000,000 P 1 = $1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000
P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3. Va lu e Me tho d C o d e s Q = Appr a i s a l R = Cos t ( R eal E s t a t e O nly ) S =A sse ssme n t T =C a sh Ma rke t
(S e e C o lu mn C 2) U = Book V alue V - O t h e r W =Es t ima te d
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 7 o f 14
N a m e o f P e r s o n R e p o r t in g
Leval, Pierre N.
Date of R e p o r t
5/I 5/2011
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , , e , v a l u e , t r a n s a c t i o n s (lncludes those of spouse and dependent children; see pp. 34-60of filing instructions.)
---] N O N E (No repo rtable income, assets, or transa ctions.)
A. B. C.Descr ipt ion of Assets Incom e during G ro ss value a t end
(including trust assets) rep orting period of reporting period
(l) (2) (1) (2)
Place "(X)" af ter each asse t A mo un t Typ e (e .g ., Value Va lue
exempt f rom p r ior d isc losure Code I div., rent, Co d e 2 Metho d
(A-H) o r i n t . ) (J-P) Code 3
(Q-W)
(1 )
T y p e ( e . g . ,
b u y , s e l l ,
redemption)
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
(2) (3) (4)
D a t e Value Gain
mm/dd /yy C o d e 2 Code 1
( J - P ) (A-H)
(5 )
I d e n t i t y o f
b u y e r / s e l l e r
( i f p r i v a t e
t r a n s a c t i o n )
52 . H C A C X N o n e K
53 . I G N C X N o n e J
54 . T IL F X N o n e K
55 . V T R I X A D i v i d e n d J
56 . F N Y X X B Interes t O
57 . A l a b a m a 5 . 2 5 b o n d 1 1 / 1 /1 5 C Interes t L
58 . C a l i f o m ia 4 . 9 0 b o n d C Interes t
59 . El izabe th to n 7 .00 7 /1/20 C Interes t M
60 . Jackso n v i l l e 5 .375 8/15/23 B Interes t M
61 . " (See * in P ar t VIII ) N o n e
62 . Bd . Man . Guad alup e* 5 .375 8/15/27 A Interes t M
63 . " (See * in P ar t VIII ) N o n e
64 . " N o n e
65 . E . R o c h e s t e r 5 . 3 7 5 b o n d D Interes t M
66 . E. Ro ches te r 5 .00 8/15/27 D Interes t L
67 . F a r m i n g t o n 5 . 7 b o n d B Interes t
68 . Ken tucky 6.0 bo n d 10/1/19 D Interes t L
T
T
T
T
T
T Bu y 08/26/10 L
(ad d ’ l )
So ld 12/30/10 L
T Bu y 01/l 1/10 M
T Bu y 01/15/10 L
Bu y 05/28/10 K
(ad d ’ l )
T Bu y 07/15/10 K
Bu y 08/03/10 L(ad d ’ l )
Bu y 10/25/10 K
(ad d ’ l )
T
T
So ld 06/09/10 K
T Sold 10/01/10 J(par t )
1. I n c o me Ga in C o d e s : A = $1,000 o r less B = $1,001 - $ 2,500 C = $2,5 01 - $ 5 ,000 D = $5,001 - $15,000
( See Colunms B I and 1 3 4 ) F =$ 50,001 - $ 100,000 G =$100,001 - $1,000,000 H 1 =$1,000,001 - $ 5,000,000 H2 =More than $5,000,000
2 . Va lu e C o d e s J $1 5, 0 0 0 or l ess K = $15,001 - $ 50,000 L = $50,001 - $100,000 M =$100,001 - $250,000
(S e e C o lu mn s C I a n d D3) N =$250.001 - $500,000 O =$5 00,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,!)00,001 o $25,000,000
P 3 $25 ,000 ,001-$50 ,000 ,000 P 4 Mo re tha n $50 ,000 ,000
3. Va lu e Me tho d C o d e s Q = Appr a i s a l R -C o s t (Re a l Es ta le On ly) S = As s es s ment T = Cas h Mar k et
( S e e C o l u m n C 2 ) U =B o o k Va lu e V - O t h e r W = E s t im a t e d
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPO RT
Page 8 of 14
N a m e o f P e r s o n R e p o r t in g
Le v a l , P i e r r e N.
D a l e o f R e p o r t
5/15/201 I
V I I . I N V E S T M E N T S a n d T R U S T S --income, value, transactions ancludes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D N O N E (No repo rtable income, assets, or transa ctions.)
D e s c r i p t i o n o f A s s e t s Income dur ing
( i n c l u d i n g t r u s t a s s e t s ) repor ting per iod
(1) (2 )Place "(X)" after each asset A m o u n t Type (e.g.,
exempt f rom pr ior disclosure C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )
L o u i s i a n a 5 . 2 5 0 7 / 1 / 2 4
M a h o n i n g 5 . 5 b o n d
MTA 5.25 4/1/14 bo n d
MTA 5.0 7 /1/15 bo n d
MTA 5.625 7 /1/16 bo n d
M i c h i g a n H o s p . b o n d
M i s s i o n V i e j o 6 b o n d
M is s i s s ipp i H o s p. b ond
M u s k i n g u m 5 . 4 b o n d
N Y C 5 . 3 7 5 6 / I / 2 3 b o n d
N Y S B r i d g e 5 . 1 2 5 1 / 1 / 1 2 b o n d
N Y D o r m 5 . 1 2 / 1 5 /2 6 b o n d
N Y D o r m 6 . 4 5 8 / 1 5 /2 4 b o n d
N Y D o r m 5 . 2 5 8 / I/ 2 5 b o n d
N Y D o r m 5 . 2 5 8 / I/ 1 9 b o n d
" ( S e e * i n P a r t V I I I )
N Y D o r m 5 . 4 5 8 / I /2 9 b o n d
69 .
70 .
71 .
72 .
73 .
74 .
75 .
76 .
77 .
78 .
79 .
80 .
81 .
82 .
83 .
84 .
85 .
A Interes t
A Interes t
D Interes t
D Interes t
C Interes t
C Interes t
B Interes t
B Interes t
B Interes t
D Interes t
B Interes t
D Interes t
D Interes t
D Interes t
D Interes t
N o n e
C Interes t
G r o s s v a l u e a t e n d
o f r e p o r t i n g p e r i o d
(1) (2)
Value Value
C o d e 2 M e t h o d
( J - P ) C o d e 3
( Q-W)
L T
K T
M T
M T
L T
L T
L T
K T
M T
K T
L T
M T
M T
M T
L T
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
( 1 ) (2) (3)
T y p e ( e . g ., D a t e Value
b u y , s e l l , m m / d d / y y C o d e 2
redempt ion) (J-P)
Bu y 10/12/10 L
Bu y 10/12/10 K
(ad d ’ l )
S o l d 01/11/I 0 K
Sold 02/01/10 J
(par t )
Sold 08/02/I 0 J(par t )
(4 ) (5 )
Gain I d e n t i t y o f
C o d e 1 buyer/seller
(A-H) ( i f p r i v a t e
t r a n s a c t i o n )
1. I ncome G ain Codes :
(S e e C o lu ra n s B I a n d D4)
2.V alue Codes
(S e e C o lu mn s C I a n d D3)
3.V alue Meth od Codes
(S e e C o lu mn C 2)
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 = Appr a i s a l
U = Book V alue
B=$1.001 - $2,500
G =$100,001 - $1,000,000
K-$15,001 - $50,000
O=$500,001 - $ 1,000,000
R = Cos t ( R eal E s t a t e O nly )
V =Othe r
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 - Mor e th an $ 5 0 ,0 0 0 ,00 0
S =A sse ssme n t
W =Es t ima te d
D =$5,001 - $15,000
H2 =More than $5,000,000
M =$ 100,001 - $250,000
P2 =$5,000,001 - $25,000,000
T -C a sh Ma rke t
E =$15,001 - $50.000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 9 o f 14
N a m e o f P e r s o n R e p o r t i n g
L e v a l , P i e r r e N .
D a t e o f R e p o r t
5/I 5/2011
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 o:filing instructions.)
[~ N O N E (No reportable income, assets, or transactions.)
86 .
87 .
88 .
89 .
90 .
91 .
92 .
93 .
94 .
95 .
96 .
97 .
98 .
99 .
100.
101.
102.
A. B. C.Descr ipt ion of Assets Incom e during G ro ss value a t end
(including trust assets) reportin g period o f repo rtin g p erio d
(1) (2) (l) (2)
Place "(X)" a l ter each asse t A m o u n t Type (e.g., Va lue Value
exempt f rom pr ior d isc losure Code I div., rent, Code 2 Method(A-H) o r i n t . ) ( J - P ) Code 3
( Q - W )
N Y D o r m 5 . 5 8 / 1/ 3 8 b o n d
N¥ D o r m 5 . 4 2 /1 / 3 1 b o n d
N Y D o r m 5 .6 2 5 8 /1 /2 2 b o n d
N Y D o r m 6 . 2 5 2 /1 /3 6 b o n d
N Y D o r m 5 . 7 5 8 /1 /2 4 b o n d
N Y D o r m 5 . 3 7 5 2 / 1/ 1 7 b o n d
N Y D o r m 5 . 0 b o n d 4 /1 / 12
N Y D o r m 5 . 4 5 8 /1 /3 5 b o n d
NY Do rm 5 .45 8/1/27 bo n d 5 .0 o f 2 /1/12$ 3513
N Y D o r m 5 . 0 2 / I /1 2 b o n d
N Y D o r m 5 . 0 2 / I/ 1 8 b o n d
N Y D o r a 5 . 0 2 / I /2 8 b o n d
NYS En erg y 5 .5 bo n d 1/1/21
NYS En v i r . 5 .125 bo n d 6/15/19
N Y S M t g . A g . 5 . 0 4 / I/ 2 5
D Interes t M T
D Interes t M T
B Interes t
D Interes t
N o n e
N o n e
D Interest M T
C Interes t
C Interes t
C Interest K T
D Interes t M T
C Interes t L T
C Interes t L T
B Interes t K T
C Interest L T
D Interest M T
N o n e L T
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
(I ) (2) (3)
Type (e.g., D a t e Value
buy, se ll, m m /dd /yy Code 2
redempt ion) ( J - P )
S o l d 01/07/10 L
S o l d 02/01/10 J
(part)
S o l d 08/02/10 J
(part)
S o l d 10/07/I 0 L
S o l d 09/08/10 L
S o l d 12/23/10 L
S o l d 12/27/10 L
Bu y 12/29/10 K
( 4 ) (5 )
G a i n I d e n t i t y o f
C o d e 1 buyer/seller
( A - H ) ( i f p r i v a t e
t r a n s a c t i o n )
1. I n c o me Ga in C o d e s : A = $1,000 o r less B = $1,001 - $2,500 C $2, 50 1 - $5, 0 0 0 D = $5,001 - $15,000
(See Col um ns BI and IM ) F =$50,001 - $100,000 G =$100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H 2 Mo re tha n $5 ,000 ,000
2 . Va lu e C o d e s J = $ 15 ,000 o r le ss K =$15,001 - $50,000 L =$50,001 - $ 100,000 M =$100,001 - $250,000
( S e e C o l um n s C I a n d D 3 ) N =$250,001 - $500,000 O =$5 00,001 - $1,000,000 PI $1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P 3 = $25,000,001 - $ 50,000,000 P4 = M ore than $50,000,000
3. Va lu e Me tho d C o d e s Q = Appr a i s a l R = Cos t ( R eal E s t a t e O nly ) S = As s cs s mcnt T =C a sh Ma rke t
(S e e C o lu mn C 2) U = Book V alue V =Othe r W = E s t imaled
E =$15,001- $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 10 o f 14
N a m e o f P e r so n R e p o r t i n g
Le v a l , P i e r r e N.
D a t e o f R e p o r t
5/15/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
N O N E (No reportable income, assets, or transactions.)
D e s c r i p t i o n o f A s s e t s Income dur ing
( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d
(l) (2)
Place "(X)" after each asset A m o u n t T y p e ( e . g .,
exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) o r int.)
1 0 3 . N Y S U r b a n 5 . 5 b o n d 7 / 1 / 1 6 B Interest
104. " (See * in Pa r t VI I I ) N o n e
105. No rfo lk 5 .75 bo n d 11/1/13 C Interest
1 0 6 . N C M e d 5 . 5 b o n d 1 0 / 1 / 24 B Interest
107. NC Eas t M un 5 .5 bo n d I /1/21 D Interest
1 0 8 . P e n i n s u l a 8 . 7 b o n d 8 / 1 / 2 3 C Interest
1 0 9 . P i m a 5 . 0 1 2 / 1 5 /3 6 B Interest
1 1 0 . R I D e p 6 . 0 b o n d 8 / 1 /1 7 C Interest
I 1 1 . R I S H e a l t h 5 . 5 b o n d 5 / 1 5 / 1 6 C Interest
1 1 2 . S a c r a m e n t o 5 . 0 b o n d 1 2 / 1 / 1 6 C Interest
1 1 3 . S t . P a u l 5 . 5 b o n d 1 1 / 1 / 2 3 D Interest
! 1 4 . T r i b o r o u g h 5 . 2 5 1 / 1 / 1 3 b o n d C Interest
1 1 5 . T r i b o r o u g h 5 . 2 5 1 / I / 1 4 b o n d D Interest
1 1 6 . W a s h i n g t o n 5 . 2 5 8 / 1 / 2 3 b o n d D Interest
1 1 7 . W a s h i n g t o n 6 . 2 5 8 / 1 / 28 C Interest
118. . " (See * in P a r t VI I I )N o n e
i 19. Bd . Man . Guad alup e bo n d 5 .375 8/15/27 - A Interest
G r o s s v a l u e a t e n d
o f r e p o r t i n g p e r i o d
(I) (2)
Value Value
C o d e 2 M e t h o d
( J - P ) C o d e 3
( Q - W )
K T
L T
M T
L T
L T
L T
L T
M T
L T
M T
M T
M T
L T
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d
(1 ) (2) (3)T y p e ( e . g . , D a t e Value
b u y , s e l l , m m / d d / y y C o d e 2
r e d e m p t i o n ) ( . l - P )
So ld 01/04/10 J
(par t )
So ld 03/22110 J(par t)
So ld 01/14/10 L
So ld 10/21/10 K(par t )
So ld 09/01/10 K
Bu y 09/08/10 L
Bu y 03/25/10 K
(ad d ’ l )
Bu y 01/12/10 L
Bu y 02/02/10 L(ad d ’ l )
Bu y 07 /15 /10 K
(4 ) (5 )
G a i n I d e n t i ty o f
C o d e 1 b u y e r / s e l l e r
( A - H ) ( i f p r i v a t e
t r a n s a c t i o n )
1. Inco m e G ain Co d es: A = $1,000 o r less B = $1,001 - $ 2,500 C = $ 2,5 01 - $ 5 ,000 D =$5 , 001 - $15 , 000
( Se e C olu mn s B 1 a nd D 4) F =$ 50,001 - $ 100, 000 G =$100.001 - $ 1,000.000 H 1 = $ 1,000,001 - $ 5,000,000 H 2=
Mo re tha n $5 ,000 ,000
2 . Va lu ¢C o d e s J $1 5, 0 0 0 or l ess K $1 5, 0 0 1 -$50 , 0 0 0 L = $ 50,001-$100,000 M =$100,001-$250 ,000
(S e e C o lu n ms C I a n d D3) N =$250.001 - $500,000 O -$ 50 0, 001 - $ 1,0 00 ,0 00 P I - $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 P2 =$5,000,001 - $25,000,000
P 3 $25 ,000 ,001-$50 ,000 ,000 P4 =More thzn $50,000,0003 . V alue Meth od Codes Q =Ap p r a i sa l R = Cos t ( R eal E s t a t e O nly ) S = As s es s ment T = Cas h Mar k et
(S e e C o lu mn C 2) U = Book V alue V = O t h e r W = E s t imated
E =$15,001 - $50,000
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FINANCIAL DISCLOSURE REPORT
Page 11 of 14
N a m e o f P e r s o n R e p o r t in g
Leval, Pierre N.
D a t e o f R e p o r t
5/15/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , t ransact ions ( Includes those of sp ouse a nd dependent ch i ldren; see p p . 34-60 of f i ling instructions,)
--] NONE (No reportable income, assets, or transactions.)
A. B. C.D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d
( i n c l u d i n g t r u s t a s s e t s ) 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 ) (1) (2)
Place "(X)" aRer each asset A m o u n t T y p e ( e . g ., Value Value
exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3
(Q -W)
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d
(l ) (2) ( 3 )
T y p e ( e . g . , D a t e Value
b u y , s e l l , m m /d d / y y C o d e 2
r e d e m p t i o n ) ( J - P )
1 2 0 . " ( S e e * i n P a r t V I I 1 ) N o n e Bu y 10/25/10 K
(ad d ’ l )
121. Cal i fo r . 4 .9 10/1/13~!~ C Interes t L T
122. NY MTA 5.25 4/1/14 bond -~,~ C Interest L T
123. Michigan 5.75 8/15/26i l i ~~=o~::: B Interes t K T
124. Muskin g um 5.35 bo n d -~ ~’[~’ i’~ A Interes t J T So ld 02/16/10 J(par t)
125. NY C ~ 6/15/13 B Interest K Tu n 5 . 7 5 b o n d ~ ~ . ~
126. NYC Ind. 5.375 6/1/23 ~’~ ond B Interes t L T
127. N Y D o r m 5 . 1 2 / 1 5 / 2 6 b o n d - ~ C Interes t K T
128. N Y D o r m 6 . 4 5 8 / 1 5 /2 4 b o n d ~ C Interest L T
129. N Y D o r m 5 . 25 8 / 1 /2 5 b o n d - ~ ,! ~ C Interes t L T
130. N Y D o r m 5 . 5 8 / 1 /3 8 ~ C Interes t L T
131. NY Dorm 5.375 2/I/17 bond~i~ B Interest Sold 09/09/10 K
132. NY Dorm 5.0 2/I/12 bond~!ii~ B Interes t K T
133. N Y D orm 5 . 0 2 /1 /28 b ond " ~’~! i~. it C Interest L T
134. N o r f o l k 5 . 7 5 b o n d - ~ o ~ i ~ C Interes t L T
135. Nor th C a r . 5 .5 I /I /21 bond i~ ! ! i l iC Interest K T So ld 10/21/10 K(par t)
136. RI Heal th 5 .5 bo n d C Interes t L T
(4 ) (5 )
Gain Identity of
C o d e 1 bayer/se l le r
(A-H) (if private
t r a n s a c t i o n )
1. In co m e G ain Co d es: A = $1,000 o r less B = $1,001 - $ 2,500 C = $ 2,5 01 - $ 5 ,000 D =$5 , 001 - $15 , 000
(See Co lum n s B I a n d D 4 ) F =$ 50,001 - $100,000 G =$100,001 - $ 1,000,000 H 1 =$1,000,001 - $ 5 ,000,000 H 2 = M o re than $5 ,000,000
2 . V alue Codes . I =$15,000 or less K = $15,001 - $ 50,000 L = $ 50,001 - $100,000 M $1 0 0 , 0 0 1-$250 , 0 0 0
( S e e C o l um n s C I a n d D 3 ) N = $25 0,001 - $ 500,000 O = $5 00,001 - $1,000,000 P 1 = $1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3 . V alue Mcth od Codes Q =Ap p r a i sa l R = Cos t ( R eal E s t a l e O nly ) S = As s es s ment T = Cas h Mar k et
(S e e C o lu mn C 2) U = Book V alue V = O t h e r W ~E s t imatcd
E =$15,001 - $50,000
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FINANCIAL DISCLOSURE REPORT
Page 12 o f 14
N a m e o f P e r s o n R e p o r t in g
Leval, Pierre N.
D a t e o f R e p o r t
5/15/201 I
V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~ NONE(No reportab le incom e, assets , or transa ct ions . )
A, B. C.D e s c r i p t io n o f A s s e t s Income during G r o s s v a l u e a t e n d
( i n c l u d i n g t r u s t a s s e t s ) 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 ) (1) (2)
Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Value
exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d
( A - H ) or i n t , ) ( J - P ) C o d e 3
( Q - W )
O)Type (e.g.,
b u y , s e l l ,
r e d e m p t i o n )
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
(2) (3) (4)
D a t e Value G a in
m m /d d/yy Co de 2 Code 1
( J - P ) ( A - H )
(5 )
I d e n t i t y o f
b u y e r / s e l l e r
( i f p r i v a t e
t r a n s a c t i o n )
1 3 7 . W a c o T X b o n d 5 . 0 8 / 1 /3 1
1 3 8 . N e w P r o v i d e n c e A s s o c . L P f u n d ~
1 3 9 . J P M o r g a n T a x F re e B o n d V A N T X ~
A Interest K T
None N T
I n t e r e s t K T
Buy 09/09/10 K
1. I nconte Gain Codes: A =$1,000 o r less B = $1,001 - $ 2,500 C = $ 2,501 - $ 5,000 D = $5 ,001 - $15,000
( See Colunms B 1 and D 4 ) F =$50,001 - $ t 00,000 G =$100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Va lue Co de s J = $ 15 ,000 o r less K -$15,001 - $ 5 0,000 L =$50,001 - $ 100,000 M = $100,001 - $250,000
(S e e C o lu mn s C I a n d D3) N =$250,001 - $ 500,000 O $ 500,001 - $1 ,000 ,000 PI =$1,000,001 -$5,000,000 P2 = $5,000,001 -$25,000,000
P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3 . V alue Meth od Codes Q =Ap p r a i sa l R = Cos t ( R eal E s t a t e O n ly ) S = As s es s ment T = Cas h Mar k et
(S e e C o lu mn C 2) U = Book V alue V = O t h e r W = E s t im a t e d
E =$15,001 - $50,000
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FINANCIAL DISCLOSURE REPORT
Page 13 of 14
N a m e o f P e r so n R e p o r t i n g
L e v a l , P i e r r e N.
Date of R e p o r t
5/15/2011
V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate port of report.)
* The f i r s t l in e re la t in g to th i s s ecur i ty rep o r t s the year’s en d ho ld in g s an d the d iv id en d s an d in te res t rece ived d ur in g the ye ar f ro m th i s s ecur i ty . Subsequen t l in es
fo r the same se cur i ty rep o r t p urchases , s a les an d g a in s f ro m such sa les .
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FINANCIAL DISCLOSURE REPORT
Page 14 o f 14
N a m e o f P e r s o n R e p o r t i n g
Le v a i , P i e r r e N.
Date o f Repor t
5/I 5/2011
IX. CER TIFICATION.
1 c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r y
p r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .
I f u r t h e r c e r t i f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . § 5 0 1 e t . s e q ., 5 U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .
Signatu re: S/Pierre N. Leval
N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S I FI E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B JE C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . § 1 0 4)
Committee on Financial Disclosure
Administrative Office of the United States Courts
Suite 2-301
One Columbus Circle, N.E.
Washington, D.C. 20544