Richard L Nygaard Financial Disclosure Report for 2009

8/3/2019 Richard L Nygaard Financial Disclosure Report for 2009

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ao ~o F I NANCIAL DI S CL O SURE RE P O RT a e p o r t R e q u i r e d b y th e E t h i c sin Government Act of 1978R ~ v . t /2 o l o FOR CALENDAR YEAR 2009 ( s u . s .c , a p p . ~ ~ 0 t - H Ol . P e r s o n R e p o r t i n g ( l a s t n a m e , f r s t ~ m i d d l e i n i t i a l ) 2 . C o u r t o r O r g a n i z a t i o n 3 . D a t e o f R e p o r tNygaard, Richard L. T h i r d C i r c u i t C o u r t o f A p p e a l s 05/10/2010

4 . T i t l e ( A r t l c | l I l j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t ~ t y p e ) I 6 . R e p o r t i n g P e r i o dm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i n u r ) [ ] Nominat ion, D a t e 01/01/2009Senior U.S. Circuit]udg e [] Init ial [] Annual [] F i n a l tO12/31/2009

5b. [ ] Amended Report7 . C h a m b e r ~ o r O f f i c e A d d r e s s 8 . O n t h e b a s i ~ o f t h e in f o r m a t i o n c o n t a i n e d i n t h i s R e p o r ~ a n t i a n ym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , i n c o m p l i a n c e

17 South Par k Row w 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 ,S u i t e B - 2 3 0Erie, PA 16501 R e v i e w i n g O f f i c er D a t e

I M P O R T A N T N O T E S : T h e in s t ru a i e n s accompan ying this form must be followed, Complete all parts,checking the NO NE box for each part where you have no reportable information. Sign on last page.

~-~ N O N E (N o reportabl~ positions.)POSITION N A M E O F O R G A N I Z A TIO N / EN TI TY

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3.

I I . A G R E E M E N T S . (Repoltlng indlvidaal dilly; see pp. I16 Of filing ~nMrUcllO~)NONE ~o reportab& agreements,)

~ PARTIES AND TERMS

2.


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FINANCIAL DISCLOSURE REPORT N a m e o r P erao n R ep o rtin g D a te o f R ep o rtP a g e 2 o f 7 N y g a a r d , R ic h a r d L . 05/I 0/2010

I I I . N O N - I N V E S T M E N T I N C O M E . (Reparting individaM and spott~e; seg pp. !7-24 of flling instruction$.)A, Fliers Non-lnvestment lneom~[~ ~o reportable non-investment income.)ONE

D A T E S OU R C E A N D T Y P E ~COME( y o u r s , n o t s p o u s e s )1. 2009 P e n n s y l v a n i a S t a te R e t i r e m e n t S y s t e m $1 6,5422.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - l f ~ , o . ~ r e m a r r l ed d u r i n g a n y p o r t t o n o f t h e r e p m O n g y e a r , ~ o m p l e ~ e ~t~ :~ectio~(Dollar amount not required except.for honoraria.)

[~ N O N E ( N o reportable non-investment income.)D A T E S OU R C E A N D T Y P E

1.2.

3.

4.

I V . R E IM B U R S E M E N T S - t , * ~ s p o , t a a o n . to~gt~.Iood. ,~te,*~,~(Includes those to spo~e and depend ent children: see pp. 25-27"of filing i~t~tct~.)

N O N E (No reportable reimbursem ents.)~URCE ~ L O CA TIO N PURPQSE I TE M S P A I D O R P R Q V ID g D

1 ,2.3.4 ,5 .


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FINANCIAL DISCLOSURE REPORT N . m . o f P e s o . R e p o , ln g ] UateofRepo.P a g e 3 o f 7 N y g a a r d , R i c h a r d L .

I05/I 0/2010

~ N O~ ~ o reportable gifisO~ DESCRIPTION

1.2.3.

5 .

V I . L I A B I L I T I E S . a ,, a ~ , ~ , ~ o , o ~ e o f , ~ o , . .. . ~ dependent children; see pp. 3 2 - 3 ~ of fdlng Instructions.)NONE (i~ ro reportable liabilities.)

(~REDITOR D]~SCRIPTION1 .2.3.4.5 .


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N a m e o f P e r s o n R e p o r t i n g ] D a ~ e o f R e p o r tP a g e F IN A N C I A L 4 o f 7 D I S C L O S U R E R E P O R T N y g a a r d , R i c h a r d L.I 0 5 / 1 0 / 2 0 1 0

VII. INVESTMEN TS and TR USTS - ~o,~, ~t=, ,~,,~,c~o,~ a.a.~ t h o , ,[ - - - ] NONE (No reportable incom e, assets, or transaction.)

A. B. C. I D .D e s c ~ p t i o n o f A s s e t s Inc ome du dng G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r in g r ~ p o r t i n g p e r 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 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

P l a c e " ( X ) " a f t e r e a c h ~ s s e t I A m o u n t T y p e ( e . g . , Value l Value I T y p e ( e . g . . D a t e Value G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s cl o s u r e , Code I d i v , r e ~ t , C o d e 2 M e t h o d b u y , s ~ l l , ! m m / d d ty y i C o d e 2 Co de I b u yo dse lle~( A - H ) o r i n t , ) ( J P ) ! Code(Q.W)3I t e d e m p t l o n ) [ [ ( J - P ) ( A - H ) ( i f p r i v a t e1. Erie Federa l Credi t Union A In t er es t J T2. Sa vin g s A c c o u n t a t Lo s A n g e l e s F & A A In t er es t J TCredi t Union3. C h e ck i n g / S a v i n g A c co u n t a t P N C , N o a h B In t er es t J T

East , PA4. R e a l E s t a t e , Mi n a T w n s h p , C h a u t a u q u a N o n e M SC o u n ty , N Y~ $ 15 3 , 7 0 05 . Safe ty Kleen - Stock N o n e J T6. Je t ronic Indust r ies - Stock N o n e J T

[ 7 . C R O X - S h a r e s N o n e Sold 0 2 1 2 3 / 0 9 ! Ai8 . CTX - Shares N o n e So l d 09/17/09 J A9. G E - S h a r e s N o n e Sold 03/21/09 J A1 0 . CIT - Shares N o n e Sold 02/23/09 J A1 1, CAB . - Shares N o n e J T B u y 12/21/09 J

1 2 . 10 ACF, Jan 17 .5 Pu t N o n e .r T B u y t2/08/09 J1 3 . 10 ACF, Jan t 5 Pu t N o n e S o l d 1 2 / 0 8 / 0 9 J A1 4 . 3 AKS, Jan 20 P ut N o n e So l d 1 2 1 0 8 / 0 9 J A1 5 . 5 B ID U, Ja n 370 P u t N o n e J T B u y 12/28/09 J1 6 . 5 B ID U, Ja n 380 P u t N o n e Sold 12/28/09 J A

1 7 . 1 CAB, Jan 12.5 Call N o n e Sold 12/7/09 J A

(~e Column ~) U =B~k Val~ V ~r W = E s t i m a t ~


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FINANCIAL DISCLOSURE REPORT N a m e o f 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 tPag e 5 of 7 N y g a a r d , R i c h a r d L . 05/10/2010VII. INVESTMENTS and TRUSTS -

N O N E ~ o reportable income, ~sets, 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 Inc ome du r i ng G r o s s v a l u e a t e n d T ~ n s a c t io n s d u r i n g ~ i n g ~ d o d(including t~t ~) r e i n i n g0) (~) 0) (2) (D (2) (3) (a) (5 )Plac e " (X)" af t er ~eh ~et Am o ~t T~ e (e .g ., Va lu e Va lu e T~ e (e .g ., D a t e Value G a i n I d e n t i t y o fexempt f r om pr i or ~s elos u ~ C ~e 1 ~v., r~ C~ 2 Me~ b u y , ~ 1 1 , m ~ d & y y C~ e 2 C~ e I buyer / ~ l le r( A - ~ o r i n t . ) ( J - P ) C ~ e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i fp fva te

(Q-~ ~tion)

1 8 . 5 C A B , J ~ 1 2 . 5 Pu t N o n e Sold 12/7/09 J A1 9. 1 0 C A T , J ~ 5 0 P u t N o n e J T B u y 12/11/09 J

2 0 . 10 CAT, Jan 52.5 ~t N o n e So l d 12/11/09 J A2 1 . 5 CME, Jan 300 P ut N o n e J T B u y 12/I 6/09 J22. 5 CME, Jan310 Pu t N o n e Sold 12/16/09 J A2 3 . 1 0 D K Y S, J a n 5 ~ t N o n e J T B u y 1~23/09 J2 4 . 10 DKYS, Jan 6 Put N o n e So l d 12/23/09 J A2 5 . 5 F S L R , J a n 1 2 0 P u t N o n e J T B u y I~1109 J

] 2 6 . 5 F SLR , Ja n 1 25 P u t N o n e So l d 12~ 1/09 J A2 7 . 5 ~ M M , J a n 5 0 P u t N o n e Sold 12/29/09~ J A2 8 . 20 ~G, J~ 5 Put N o n e Sold 1 2 / 7 1 0 9 J A2 9 . 10 YZC, Jan 17.5 ~t N o n e J T B u y 12/29/09 J3 0 . 10 YZC, J~ 20 Pu t N o n e S o l d 12~910 9 J A

I . I n c o m e G a i n C o d ~ s : A = $ I . 0 0 0 o r l e ~ s B = $ 1 . 0 0 1 * ~ . 5 ~ C ~ $ 2 . 5 0 1 - $ 5 . ~ 0 D ~ 5 , ~ I - ~ 1 5 , ~ E ~ 1 5 . ~ I - $ 5 0 . ~

3. VMue M~ Cod~ Q =App~i~l R ~ost (R~I ~tat Only) S =A~m~t T ~h


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FINANCIAL DISCLOSURE REPORT a ~ m e o f ~ , ~ o n a e p o ~ i n ~ D a t e o f R e p o r tPage 6 of 7 N y g a a r d , R ic h a r d L . 05/10/2010V I II . AD D I TI O N A L I N F O R M A T IO N O R E X P L A N A T I ON S . On~,~,tofRe~or~


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FINANCIAL DISCLOSURE REPORT Name of Pe . . . . R e p o r t i n g D a t e o f R e p o r tP a g e 7 o f 7 N y g a a r d , R i c h a r d L . 05110/2010

IX. CERTIFICATION.I c e r t i f y t h a t a l l 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 , i f a n y ) i sa c cu 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 he 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 to r yp r o v i s i o n s p e r m i t t in g n o n - d i s cl o s u r e .I f u r t h e r ce r t i f y th 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 ce o f g i f t s w h i ch 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 ia l C o n f e r e n c e r e g u l a t i o n s .

S i g n a t u

N O T E : A N Y I I q 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 L Y F A L S I F I 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 J E 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 )

FILING INSTRUCTIONSM a i l s i g n e d o r i g i n a l a n d 3 a d di t io n a l c o p i e s t o :

C o m m i tt e e o n F i n a n c i a l D i s cl o s u r eA d m i n i s t r a t i v e Of t i e e o f t h e Un i t e d S t a t e s C o ur t sS u i t e 2 - 3 01O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

Richard L Nygaard Financial Disclosure Report for 2009

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