Rot Requird by rhe Etics (5 U.. pp. §§ 101-1 I I)€¦ · 2. 720/09 Nat1 Isiute of Trial Advcacy...
Transcript of Rot Requird by rhe Etics (5 U.. pp. §§ 101-1 I I)€¦ · 2. 720/09 Nat1 Isiute of Trial Advcacy...
POSITION NAME OF ORGANIZATION/ENTITY
PARTIES AND TERMS
' -·
' I : C) I . . .--> r:c
; . - -:i r-·
Report Required by rhe Ethics FINANCIAL DISCLOSURE REPORT AO JO in Government Act of 1978 Rev.112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ 101-1 I I)
l. Penon (last name, first, middle initial)
Aldisert, Ruggero1.
4. Title (Article 111 judges indicate active or seniorstatus; magistrate judges indica1c full- or part-time)
Senior U.S. Circuit Judge
:Z. Court or Organization
Third Circuit
SL Rrport Type (check appropriate type)
D Nominatioo. Dote
D Initial ll1 Annual
Sb. D Amended Report
D Final
3. Date of Rrport
05/11/2010
6. Reporting Period
01/0112009
lo 1213112009
7. Cbambcn or Office Address
120 Cremona Drive Suite "D"
Santa Barbara
CA 93117-5511
8. Ou the bun of the Information contained In thb Rtport aad any modiftca&ns pertaining thereto, It Is, In 111y opi•ion, In compllan<:e wltb applicable laws and regulations.
Reviewing Officer Dote
IMPORTANT NOTES: Theinstr11ctions accompanying thisform must befollowd Complete all parts, checking the NONE box for eachpart where yo11 have rro reporlllble infonnation. Sign on lastpage.
I. POSITIONS. (Reporlmg iNIMdul only; seepp. 9-13 offdbtg Utstr•ctlom.)
D NONE (No reportable positions.)
1. En;ieritusTrustee University of Pittsburgh
2. Board of Visitors, Law School University of Pittsburgh
3.
4.
5.
,...._, ..:
= "" .. : ...... .,I I ...... -_
.....
)>
-.'? ;--1 ,._.,
r:· ' en
n. AGREEMENTS. (ReportingindivUlaaltmly;:supp. U-16offilinginstr•ctians.)
[{] NONE (No reportable agreements.)
I.
2.
3.
Aldisert, Ruggero J.
SOURCE
SOURCE AND TYPE
SOURCE DATES LOCATION
4.
PURPOSE
INCOME
ITEMS PAID OR PROVIDED
FINANCIAL DISCLOSURE REPORT
Page 2of 10
Name of Penon Reporting
Aldisert, Ruggero J.
Date of Report
05/11/2010
III. NON-INVEST.MENT INCO.ME. (Rqortbrgim/MdlUl/andspo11M;sttpp. l7-Uoffi/inginstmtiom.)
A- Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
AND TYPE (your.;, n ot spouse's)
$9,775.85I. 2/20/09 Nat'! Institute of Trial Advocacy (Publications Royalties)
2. 7120/09 Nat1 Institute of Trial Advocacy (Publications Royalties) $3,236.00
3. 12/3/09 AuthorHouse (Publictions Royalties) $3,819.25
4. 12/3/09 AuthorHouse (Publications Royalties) $15.75
5. 3/20/09 Thompson Reuters (Publications Royalties) $1,641.78
6. 8/19/09 Yao Enterprises (Publications Royalties) $73.58
7.
B. Spouse's Non-Investment Income - I/you ""'re "'4Trkd during anyportion of the N!porting y r. complete this section.
(Dollar amount not required except for honor aria.)
[Z] NONE (No reportable non-investment income.)
I.
2.
3.
4.
IV. REIMBURSE.MENTS -t7rlnsportation, lodging, food, rtaimnenL
(Includes those to spouse and dependent children; see pp. 25-27 of.filing instructions.)
[Z] NONE (No reportable reimbursements.)
I.
2.
3.
5.
SOURCE DESCRIPTION
CREDITOR DESCRIPTION
VALUE
VALUE CODE
Dale of ReportName of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 3of10 Aldisert, Ruggero J. OS/I 112010
V. GIFTS. (I11d11da tlros to sp<>RH IUUI depend nt cloil4lln; stt pp. 28-31 of fllbtt: bt<tr11dUms.)
[Z] NONE (No reportable gifts.)
I.
2.
3.
4.
s.
VI. LIABILITIES. (Inctut1es 0w ofspolill! ,,nJ nJmt childrrn: supp. 32-33 of filmt: wtr•ctions.J
[Z] NONE (No reportable liabilities.)
I.
2.
3.
4.
5.
i I
i i
A.-------T·--e-.
_I___
18.
21
ecColumnC:,J
I
FINANCIAL DISCLOSURE REPORT Page 4of10
Name of Penon Reporting
Aldisert. Ruggero J.
Date or Report
05/11/2010
VTI. INVESTMENTS and TRUSTS - u.co-. warue. transoctiom (lncituks "fspoiue """dq>nulent c1ru4"n; ur,,,,.. J4-6(J vf fJing u.s1ructiom.J
0 NONE (No reportable income, assets, or transactions.) -
--- I -·-c;_ --T--Description of Assets l Income during 1· Gross value at end i
(including trust assets) reporting period of reporting period I
Place "(X)" after each asset
exempt from prior disclosure
(1) - !{2) -
-(I) --(2) (I)
Code I div, rent, Code 2 Method buy, sell,
L____ ----- · ·--·------· -
Amount l Type (e.g., Value Value Type (e.g,
(A-H) or int) (J-P) Code 3 redemption)
- _l_ (Q-W) __ J _ - - - --
I. Blair Cty Bond A Interest Redeemed
2. Santa Barbara Bank & Trust Co. A Interest L T
3. Cantella & Co (lRA) B Dividend K T
4. --Columbia Marsico 21 stFund A Dividend Sold
5. --Davis New York Venture
6. --Van Kampen Equity & Income
7. ---Al liance Bernstein Balaned
---Growth Fund America Inc.
9. --Pimco Commodity Real Return A Dividend Sold
10. --Pimco Global Multi-Asset A Dividend J Buy
11. -Columbia Acorn. class C A Dividend J Buy
12.
13. MUTUAL FUNDS
14. Gabclli Asset A Dividend K T
15. Davis New York Venture A Dividend K T
16. Columbia Acorn Fund Cl A A Dividend K T
17. American Funds:.Growth Fund of America A Dividend K T
D.
Transactions during reporting period
(2) (3) (4} Date V aluc Gain
mmfdd/yy Code Code I
-----. (J- (A-H)J__ .
.
07101109 J
11125/09 J
06/20/09 J
I 1125/09 J
I 1/25/09 J
(5)Identity of
buyer/seller
(if private
tran"3ction)
I
I
I. Income; 0.ain Cod : A -il.000 or I= B -Sl.001 - $2,500 C -102.501 -SS,000 D =$5,001 -$15,000
·· -···-----1 E=SIS,001-$50,000
(Sec Columns Bl and 04)
i 2. Va.Jue Codes
I (Sc<oColumotCI ondDJ)
3. Value Method Code•
F =$50.001 - $l00,000
J=Sl5.000orless
N =$250,001 - $500,000
Pl =S25.ooo.001 - sso,000.000
Q=Appraisal __ ·-·----
-· · 'kValue
G =SlOO,OOl -Sl.000,000
K =$15.001 - $50,000
O =$500,001- Sl.ooo.000
R -<:as! (Rc:al Estate Only) v
Ill =Sl.000,001 • $5,000.000
L=SSO,OOl-$100,000
Pl -St,000,001- $5,000,000
P4 =More lhan $50,000,000
s-A=ssm<nt
w •Estimated
Ill rMore than $5.000,000
M =Sl00,001 -$250,000
l"2 -ss.000.001 -s25.ooo,ooo
Ii-- -- c--:--,----I
( ning��-- o :'rting�� I -r-I
---- - · ··-------·-·----
i I I i
-
Type (e_g,
Dale of Report Name of Person RtportingFINANCIAL DISCLOSURE REPORT Page 5of10 05/11/2010AJdisert., Ruggero J.
VII. INVESTI\IENTS and TRUSTS -inco""" va1ue, trtUUoctions andllJks 11sose of spollSe """depaulen1clUltlrm:11« PP. JUI of filing ins1r11ciW1u..J
NONE (No reportable income, assets, or transactions.) - - - . --- -- -- ···---1
D. Income during Gross value at end I Transactions during rq>0ning period i
- · 1 _ · 1 - - ---.<4>{I) (5) Identity of
(3)(2) ValueDateAmoWlt Type (e.g, Value Value Gain j
Code I mm/dd/yy Code 2 Code I buyer/sellerdiv., rent, Code 2 Method buy, sell, or inL) {J-P) redcmrtlon) (J-P) I'{A-H)
___;1_.. . .. · -(if private (A-H)
J___ transact��)._l_··-· j___
18. American Funds: Tax Exempt CA "F"
19. Royce Tomi Return
20. First Eagle Overseas Fund
21. Franklin Mutual Recovery Fd
22. Alliance Bernstein Muni Income
23. Diamond Hill Long-Short Fund
24. Bear Stearns Temp Fund
25. Van Kampen Strategic Muni
26. American Funds Fundamental Invs Inc F-1
27. Columbia FDS Ser Tr
28. Alliance-Bernstein Small/MD
29. PimcoFDS
30. Van Kampen Equity & Income
31. Van Kampen Harbor
32. VanKampen Comstock A
33. Van KMnpcn High Yield Muni CA
34. Columbia Marsico 21st Cent A
_A Interest K T
A Dividend J T
A Dividend K T
None
A Interest K T
A Interest ] T
A Dividend
None
A Dividend K T
None
A Dividend J T
None
None
A Dividend J T
A Dividend K T
A Interest L T
A Dividend J T
Sold
Sold
Sold
Sold
Sold
Sold
Buy
Buy
Buy
Buy
06/30/09 ]
06/30/09 ]
06/30/09 ]
6/30/09 J
06130109 J
06130109 ]
07/20/09 ]
07120109 K
07120109 L
07/20/09 K
· --I. Income Garn Codes: A :.$J ,000 or less B -S l,001 • S2,500 C -S2.SOI - SS,000 D =$5,001-SIS,OOO E =SIS,001 - SS0,000
(Soc Columns DI and 04) F =$50.001 - SI00.000 G =SIOO,OOl -Sl.000,000 HI =Sl.000.001 - SS,000,000 112 =Mon: lb.an $5,000,000 2. Value Codes J -SI S,000 or less K-SIS,001 -SS0.000 L-Ss0,001-Sl00,000 M =$100.001- $250,000
(SceC<>iumnsCI and DJ) N •$250,001 - SS00,000 0 =$500.001 - s 1.000.000 Pl =S 1,000.001 - SS,000,000 P2 =SS.000,001 - $25,000,000 PJ ·s2s.ooo,001 • sso.000.000 P4 =More than SS0,000,000
3. Value Method Codei; Q •Appn.isal R -Cost (Real Estate Only) s =Asses.meot T-CashMari<et(See Column C2) U =Book Value V =-Other W =Estimated L__ . ____ , , _ I
I
.. ,,
--1-nco_m_=--u-rin_g __ ,__G_ro_s_s_v
_--e
--.-r tion
------ -
(l�i
ngpe(: _o
- -Trti ng �� j
t
t
----·-·-- ---�-- --
l.· omeGain : ---- --
------ ------------
Date of ReportName of Person Reporting FINANCIAL DISCLOSURE REPORT Page 6of 10 05/11/2010Aldisert, Ruggero J.
VII. INVESTMENTS and TR US TS - income, va111e, transacdons (lnct.. m 11tose of spouse and .upenden1 c1tllJrrn; PP. 1 -60 offiling i11S1Tacdons..)
D NONE (No reportable income. assets, or transactions.)
A. -- - - ---Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
__ _ · ---- _
:t-:n - -- -- --- == - = . . . -- - : duri
-T1 (I) ____-l(J)-- (4) _f___<s> Amount Type (e.g.. Value 1 Value , Type (e g., Da e Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, mm/ddlyy Code 2 Code I buyer/seller(A-H) or int.) (J-P) I Code 3 I redemption) (J-P) (A-II) (ifpnva e
transaction)I (Q-W) l - - l-- --- ---- ____
35. Van Kampen Intcnn-Trdm Muni
36. PIMCO Unconstrained Bond A
37. Block Rock Liquidity Fed-Fund Select
38.
39.
40.
41.
42. COMMON STOCKS
43. Johnson & Johnson
44. Bank of New York Melllon Corp
45. Pfizer
46. General Electric
47. IShares FTSE/Xinhau China 25 Fund
48. Schlumberger LTD Antilles
49. Apple. Inc.
50.
51. INVESTMENT CLUB Mission Impossible Partners
A
A
A
A
A
A
A
A
A
c
Interest K
Interest K
Dividend J
Dividend K
Dividend K
Dividend
Dividend K
Dividend J
Dividend J
None J
Dividend L
T Buy
T Buy
T Buy
T
T
Sold
T
T
T
T
T
09/20/09 K
09/20/09 K
09/20/09 J
05/11/09 J B
1[ ---- A=SLOOOorless B =Sl,001- S2,500 -
C =S2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Columns Bl ruid 04) F =S50,00l -SIOO,OOO G =SI00,001 - Sl,000,000 Ill =Sl,000,001 - S5,000,000 1!2 Mon: lb.an $5,000,000 I 2. Value Qxles J =$15,000 or less K =$15,001 - $50,000 L =$50,001- $100,000 M $100,001- $250,000
I (See Columns Cl and DJ) N =$250,001 - $500,000 0 =S500,00l. Sl,000,000 Pl =$1,000,001-$5,000,000 P2 45.000,001 • $25,000,000 P3 =S25,000,00I • S50,000,000 P4 =More than $50,000,000 I I 3. Value: Method Codes Q=Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(Sec Columa C2) U =Book Value Vo-Other W =-Estimated
NONE
pll --i--lncom ·during r-:ross du�� ; peri.
I_ r <•ITJ>O> nrpc<n2od>
c ,2 I buy,s ) lmm/dd/yy -----·
(A·m- 1.> < :J_;�_J :::i_ ! :_;:,_·_> ___ .
t < > -< 1 .. <2>
Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT Page 7of10 05/1112010Aldisert, Ruggero J.
VII. INVESTMENTS and TRUSTS -income, pa/ue, trilltS4CtWns (Includesthoseof>po"3e tkpnukfllchiJJnn; SU pp. J -(,0 offdbtgbutructions.)
(No reportable income, assets, or transactions.) . - -- - -D
- .. \·-· &t·.:-r-- fonsactiono; =-- ---· . v e
-•repo ningpc<n2·00.> ...L1 ,->· _ (3)°- . . (4)-,---- (5) ---
Amount Type (e.g., I Date l, IOxlcl
(inc1udingtrus1asse1s>
Place "(X)" after each asset Identity ofValue Value II G3inType (e.g., Value Code2 Codcl
- CA·m Method buyer/sellerdiv.,rent,Cllcmptfrompriordisclosure
1 __ _ _ ... _ . ··------...
52.
53.
54.
55.
56.
---Berkshire Hathaway
--Exxon Mobil Corp
---Schlumberger Ltd
---Apple.Inc
--Nucor Corp.
None Sold 11/20/09 J
57.
58.
--United Technologies
--- Bank of America
None Sold 01120/09 J
59. --Chesapeake Energy Corp
60. -Alcoa A Dividend J Buy 01120/09 J
61. --Abbott labs A Dividend J Buy 01120/09 J
62.
63.
--BPPLCADR
-Caterpillar Inc
A
A
Dividend
Dividend
I
J
Buy
Buy
03/10/09
03/10/09
I
J
64. ---Cliffs Nat Res Inc A Dividend J Buy 10/20/09 J
65. -Ford Motor Co A Dividend J Buy 11/30/09 ]
66. --Johnson & Johnson A Dividend J Buy 11/30/09 J
67.
68.
---Massey Energy Co.
--Annaly Capital Mang. Co
A
A
Dividend
Dividend
]
J
Buy
Buy
11/30/09
11/30/09
]
]
1. locome Gairt Codes: (Se< Columns Bl ond D4)
2. Value Coda (Soc Cohurru Cl ond DJ)
3. Value Method Codes (Se< Column C2)
A •$1,000 or le.s
f 0$50,001. s 100,000
J""SlS,OOOorless
N •$250,00t • $500,000
Pl -$25.000,001 • $50.000,000
Q-AP!""isal U •Book Value
B-=$1.00t -$2,500 G 0$100,00t - Sl,000.000 K •StS,001 -SS0.000
o -ssoo,001 - s 1,000,000
R -=Cost (Real Eslllle Only)V -()!her
C .-S:?.50t - $5,000
Ill -SI.000,001-15,000,000
L -sso,001 . uoo.ooo Pl -Sl,000,001. SS,000,000
P4 -Mon: than $50,000.000 s •Assalsment w Estimated
o-ss.001 • su.ooo -· . ---- E -sts,001 • S50,ooo
-- · 1
H2 -Mon: than $5,000,000 I M =$100,001. $250,000
l'2 •$5,000,001 • $2.S,000,000
. - -------· . . ... l -
pe_ri_od _ __,"""
n:ic I I _ ____
��rT��? 11 ·::,,, --T- ; : ;: lpen-. od- J c( )2 I -- �;�- A-H)-
I ----- · ·
FINANCIAL DISCLOSURE REPORT
Page 8of10
N amc of Peno a Reporting
Aldisert, Ruggero J.
Date of Report
05/11/2010
VII. INVESTJ.\IENTS and TRUSTS - u.co-. ....r.,,, tnurs;u:tlons (Incl.Jes t1ro. .,, of•P"""" "'"'Jepnuknt chlJJnn; ,_PP. 3,-60 "f fillnt: 1 ... m-.. <:tWns.J
NONE (No reportable income, assets, or transactions.) D · ·----·- ·!····------ -A. B.
I Desmption of Assets Income during
I (including trust assets) reporting
Value Value Type (e.g., Value Gain Identity of c<empt fr
o m prior disclosure Code I div., rent,
"="{XJ"""""'- T,::i.,.
----- ---- - --· _ _____ .._, , 1. fQ o: t.:_.
"'
Method buy, sell, mm/ddlyy Code 2 Code I j buyer/seller Il rcdanption) (J-P) - ___;���=) . _I 69.
70.
71. MONEY MARKET FUNDS
72. UBS Financial Services
73. Fidelity Muni Money Market
74. Fec!Fund Select Shares
75. Cantella & Co. Privileged Access Gold Account
76.
77.
78. LIFE INSURANCE POLICIES
79. Phoenix Whole Life
80. Transannerica Life Companies Whole Life
81. Penn Mutuial Whole Life
82.
A
A
A
A
A
A
A
Interest
Interest L
Interest J
Int/Div. J
Dividend J
Dividend K
Dividend J
Closed
T Buy (add'!)
Merged (with line 75)
T
T
T
T
01105109 l
01105109 J
01/01/09 l
-··---- ---- - · -I. lnc.ome Ga.in Codes; (See Colurrnli Bl and 04)
2. Varue Codes (See Colum11S Cl and 03)
3. Value Method Code& (Sec C'.olumll C2J
-A =Sl,000 or less
f 450,001 • SI00,000 J =$I 5.000 or less
N -$250,001 • $500,000
P3 =$25,000,001 - $50,000,000
Q-APl'f!li&alU =Book\' a.luc
---- -e s 1.001 . s2.soo
CJ -Sl00,001. Sl,rul,000
K s1s.001 -S5o.ooo
o s$500,001-Sl.000,000
R =CO<t (Real Estate Only)
V <Other
c -S2,50 l . $5,000
Hl =$1,000,001 -$5.000,000
L =$50,001. $100.000
Pl =Sl,000,001 - $5,000,000 P4 -More than $50,000,000
S =Ass.cssment w =Estimated
D-SS,001 -$15,000
112 MOf'C lhan $5,000,000
M =Sl00,001 • $250,000
P2 =$5,000,001. $25,000.000
T=CashMari:et
£ =S l 5,00 I • $50,000
··--------··
Dale of Report Name of Ptn0n ReporfurgFINANCIAL DISCLOSURE REPORT
Aldisert, Ruggero J. 05/11/2010Page 9of 10
VTII. ADDIDONAL INFORMATION OR EXPLANATIONS. r1ndicatL,_.tofRq10rt.)
In Se<:tion VII I previously errooeous;y listed line 74 as a separte entity. Rather line 75 is the name of the account; 74 is the asset in the account I will no longer make reference to Line 74
Line 17: Added family of funds, to wit, American Funds: Growth Funds of America.
Line 28: Added family of funds, to-wit, "American funds: Fundamental Inv. Inc. F-1."
FINANCIAL DISCLOSURE REPORT
Page 10of10
NameofPenonRcportlog
Aldisert, Ruggero J.
Date of Report
05111/2010
IX. CERTIFICATION.
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 statutory provisions permitting non-disclosUTe.
I further certify that earned income from outside employment and honorarla and the acceptance of gifts which have been reported are In compliance with the provisions ofS U.S.C. app. § 501 et. seq., S U.S.C. § 7353, and Judiclal Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL 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. Wa'>hington, D.C. 20544