Download - Pierre N Leval Financial Disclosure Report for 2010

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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



FINANCIAL DISCLOSURE REPORT

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




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




o f 14


L e va l , P i e r re N .


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






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



FINANCIAL DISCLOSURE REPO RT

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.


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


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




of 14


Leval, Pierre N.


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 .


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


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




o f 14


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)


(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


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




of 14



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


( 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


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




o f 14


L e v a l , P i e r r e N .


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


(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


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




o f 14

N a m e o f P e r so n R e p o r t i n g



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


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




of 14


Leval, Pierre N.


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


( 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


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




o f 14


Leval, Pierre N.


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


( 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 )


(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


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




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 .




o f 14


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