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TRANSCRIPT
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UNITED STATES COURT OF APP EALS FOR THE THIR D CIRCUIT
THOMAS M. HARDIMAN 2270 U.S. POST OFFICE & COURTHOUSE
CIRCUIT JUDGE 700 GRANT STREET
PITTSBURGH, PA 15219-1906
September 6, 2007
Honorable Ortrie D. Smith, Chair ,.___, Judicial Conference of the United States = --' Committee on Financial Disclosure (/')--·- rn11 rriOne Columbus Circle, N.E. _·) -- -0 ()(,•J
·washington, D.C. 20544 N rn,,"'-.' C)
:··,.-, _,.-..,
<-·, :·.·:_., J>Ri;::: Calerdar Year 2006 Filing rn-· ·· -1
\'':'/ -+='
Dear !udge Smith: N
!.:; respor:se to yom letter cf August 9, 2007, I submit '.;he fellowing in ameedment
of my nomination report dated January 11, 2007 and my annual report dated May 14,
2007. ! ' ,1.! . · . ·'
Dell was sold on November 10, 2006 and the Gain Code is C.
Embarq was sold on November 24, 2006 and the Gain Code is B.
As of December 31, 2006, I continued to hold both Arch Capital prefeiTed stock and Eaton Vance mutual fund. Fm' Arch Capital, the Income Code is A, the Type is Div., the Value Code is J, and the Value Method is T. For Eaton Vance, the Income Code is
blank, the Ty_pe is Div, the Value Cede. is Kand the Value Method is T.
Thank you for your assistance with these matters. I . • '
. ,; ·!" . J(. I ' ) ·-' '•I ' ! : ) i ",. . ) \ .., \ . .
412-208-7440
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Report Required by the Ethics FINANCIAL DISCLOSURE REPORTAO-IO(WP) in Government Act of 1978, Rev. J/2004 (5 U.S.C. App. §§101-111)FOR CALENDAR YEAR 2005
I. Person Reporting (Last name, first, middle initial)
Hardiman, Thomas M.
4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-lime)
U.S. Circuit Judge - Active
7. Chambers or Office Address
2270 U.S. Post Office & Courthouse 700 Grant Street Pittsburgh, Pa. 15219
3. Date of Report 2. Court or Organization
Third Circuit Court of Appeals May 14, 2007
5. Report Type (check appropriate type) 6. Reporting Period
_ Nomination, Date
- Initial _x_ Annual - Final 0 l/O 1/06 to 12/31106
8. On the basis of the information contained in this Report and any modifications pertainin thereto, it is, in my opinion, in compliance with applicab e laws and regulations.
Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying thisform must be followed. Complete all parts,
checking the NONE box/or each part where you have no reportable information. Sign on last page.
I. POSITIONS. (Reporting individual only; see pp. 9-13 of Instructions.}
POSITION NAME OF ORGANIZATION/ENTITY
D NONE (No reportable positions.)
Director Big Brothers Big Sisters of Greater Pittsburgh, Inc.
r--> C"-:> C:C-'> ··--' ;o
(")r-·3 ·-,, •- ,,,..
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of Instructions.) r •,,i ....,u_ (_Fl
DA TE PARTIES AND TERMS
NONE (No reportable positions.)
r·• ·; ::-1 < u rn
0 C) CY'"
III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of Instructions.) DATE SOURCE AND TYPE GROSS INCOME
A. Filer's Non-Investment Income
NONE (No reportable non-investment income.)
2
3
$
$
$
B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria)
NONE (No reportable non-investment income.)
I 2006 The First City Company
2
K =$15,001 $50,000 L=$50,001-$100,000
D NONE (No such reportable gifts.)
Academy of Trial Lawyers of Allegheny County Honorary Membership
2
3
4
$ 500.00
$
$
$
, FINANCIAL DISCLOSURE REPORT Name of Person Reporting Thomas M. Hardiman
IV. REIMBURSEMENTS -- transportation, lodging, food, entertainment. (Includes those to spouse and dependent children. See pp. 2 5-2 7 of Instructions.)
SOURCE DESCRIPTION
Date of Report
May 14, 2007
0 NONE (No such reportable reimbursements.)
I
2
3
4
5
6
7
V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of Instructions.)
SOURCE DESCRIPTION VALUE
VI. LIABILITIES. (Includes those of spouse and dependent children See pp. 32-33 of Instructions.)
CREDITOR DESCRIPTION VALUE CODE*
0 NONE (No reportable liabilities.)
2
3
4
5
*Value Codes: J= 15,000 ofl.esll N==$250,001-$500,000 P2=$5,000,001-$25,000,000
0=$500,00 l-$ },000,000 P3=25',0QO,OO 1-50,000,000
M"'$100,001'.:$250,QOO · ·.· • p 1 $ l; ooo, 00 i.-$5 '000 ,000 P4"'50,0oO;qot or more
I
A . Description (includ1rig
J/£" .exempt. om
I
!
6
7
8
9
a, ; I J 0, ·:;.· ,.;l•}\\} Oros of period
JI) (2)
Amt.
----- ----- .•
(4) Gam
(J�P)
(5) Identity
i ..
001-$250,000 PI =$1,000 h00Ic$5;(JOO;OOO
O
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Thomas M. Hardiman May 14,2007
VII. Page 1 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children. See pp. 34-57 of Instructions.)
ofAssets · trust assets)
Place after each asset prior disclosure.
D NONE (No reportable income,
f 1 PNC Checking Account
!2 ESB Bank Savings Account
3 PNC Money Market Account
4 Vanguard Prmcp Mut. Fund (MF)
5 Fulton Financial Stk (CS)
Evoxis Convertible Debt
WACHOVIA EQUITY ACCT. -----
Evergreen Money Market (MM)
American Axle & Mfg CS
American Int'! Grp. CS
JO Apria Healthcare Group CS
II Bank of America CS
12 Borders Group CS
13 Cisco Systems CS
14 Citigroup CS
.. ·.•·.· : ··.. ..Income. • · value . . .. .d.urirtg . .· at end ·
reporting penod . reporting ' • .· . (I) , (2) . ' • (I)/'
Type Value Type .
(e.g., (e.g.,div., Value Method buy, sell,
Code I rent or Code2 Code3 merger,(A-H) int.) (J-P) (Q-W) redemption)
A Int. L T
c Int. M T
c Int. M T
A Div. K T
A Div. K T
None J T
D Int. N T
A Div. K T Buy
A Div. K T Buy
None J T
A Div. Sell
A Div. Sell
None K T Buy
A Div. K T
tli?e:Month
Day
316 4110 5/17 5/30
6/22 9/29
1/25
818
(3)ValueCode Code!
2 (A-H)
J J
J J
J B K c
J A
J
ofbµyer/seJler
(ifprivate transaction .
! 15 Coca-Cola CS A Div. J T
I
2
3
Income/Gain Codes: (See Col. Bl, D4) Value Codes: (See Col. Cl, D3)
A=$1 000 or less F=$50,00I- $100,000
B=$1,00l -$2,500 G=$100,001-$1,000,000
1=$15,000 or less K'=$15,00I-$50,000N=;;$250,00I-$500,000 0=$500 001-$1,000 000 P3=$25,000,001-$50,000,000
Value Method Codes: <t:Appraisal(See Col. C2) =Book value
R--'Cost (real estate only) V=Other
C=$2,50l-$5,00Q . . .HI=S1,900,001 $ ,ooo,ooo
D=$5,00I-$15,000H2=More than $5,000,000
E--$15,001-$50,000
L=$50,001- $I 00,QOO M"'$IOO :''\'o.:./·•·P2'=$5,000,001 $25,000,000 P4=More t an $50,QOO,OOS=Assessment T=Cash/MarketW=Estiinated
A. B. c. D. A
(2} (2) Jype . . ,·· ·
:val Tyjle {e;g.; (3) dtli · {$) Amt o Value . · . ".{j;" cJiV., buy, Identity
exempt om merger, , buyer/seH r .. (A�H) irit:) <H1 (Q;W) ( ct{) f!Y#te;tfaj!.*cfion J(i
i
G3
I
i I
I
.. ·--- ---·------
i
'b:Appraisal =Book
:
Description of ssets Income Gross value(including trust assets) dµring . at end of Transactions during reporting period reporting penod reporting period
(1) (1). (l) .. ·If not exe!npt from disclosufe ... (e.g.,·. (2)
·. · · .. · . Value Meth d Date:
.. . ..· ..
; > ... Place ajtereach asset sell, of ·. pripr dis.closure. Cod et .rent or Code2 · Cooe· . Month- Code2 Codel . • • • ·. .
. .. r,edemption) . .Day, (J-P) (if •
D NONE (No reportable income,
assets, or transactions)
16
17
18
19
20
121
IIf 22
24
25
26
27
128 I !' f 29
! 30
131
1
2
3
Cooper Tire & Rubber CS A Div. J
Direct TV CS None K
Ebay CS None J
Fairchild Semiconductor CS None K
Fannie Mae CS A Div. K
Freescale Semiconductor B CS None
(Motorola spinofl)
General Electric CS A Div. K
Hasbro CS A Div. K
Helix Energy CS None K
Home Depot CS A Div. K
Magellan Health Svcs. CS None K
Microsoft CS A Div. K
Motorola Inc. CS A Div. K
NCR CS None K
Newell Rubbermaid cs A Div. I J
Newmont Mining CS A Div.
Income/Gain Codes: A=$ I 000 or less B=$l,OOJ-$2,500(See Col. Bl, 04) F=$50,001- $100,000 G=$100,001-$1,000,000Value Codes: (See Col. Cl, D3) J-$15,000 or less K=$15,001-$50,000
N=$250,001-$500 ,000 0=$500,001-$1,000 ,000 P3=$25,000,001-$50,000,000
Value Method Codes: (See Col. C2) value
R=Cost (real estate only) V=Other
T
T
T Buy 8/1 J
T
T
Sell 4/3 J B
7/13 JT Buy 7/20 J
T
2/13 K T Buy 9119 J
10/3 J
T Buy 7/20 J 8115 J
T
T Buy 5/19 K
T
T Buy 1/6 K
T Buy 11/18 J
Sell 5/1 K A
C=$2,50 k$5,QOO 0=$5,001-$15,000 E=$!5,00i $5Q OOO HI=c$1,000,001-$5,000,000 H2=More than $5,000,000 . . L=$50,001-$100,000 M=$100,001-$250,000 . · Pl=$1,000h001-$5,000,000 P2=$5 ,000,00 l-$25,000,000 P4'=More t an $50,000,000 S=Assessment T=Cash/Market W=Estimated
Name of Person Reporting FINANCIAL DISCLOSURE REPORT Thomas M. Hardiman Date of Report
May 14, 2007
VII. Page 2 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-57 of Instructions.)
·'
A.> De$cription:ofASsets
' iilclud1iig
"(X) "
from
J r
durin riod
·,,
c_.
(l)
p,_,.·,·, > . reportirig period
(5) Id\)ntityof l>uyet/seller
(ifprivafo transaction)
�-����·���������-+��-+-��-+��-1-��-+����+--�-+-��-+-�-+�������- 1
J !
A=$1 000 F=$56,00I-
M-$100
..
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Thomas M. Hardiman
Date of Report
May 14, 2007
VII. Page 3 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-57 of Instructions.)
' .·
' •
tr\lst assets).
Place after each asset exempt prior disclosure.
NONE (No reportable income, ! assets, or transactions)L I 32 Nokia Corp. ADR
33 Peak Int'! CS
34 Pfizer CS
35 Pharmion Corp. CS
36 Plato Leaming CS
37 PNC Financial Svcs CS
".' " ·. .
B. .
-Income ··
reporting, ' L
. '
(!) (2)
Amt. Code! (A-H)
A
A
A
Type(e.g.,div.,
rent or int.)
Div.
None
Div.
None
None
Div.
" . . .. .,,
: GToss value '
atend ·of · . rewrting period
(2)
Value Code2 (J-P)
K
K
Value Method Code (Q-W)
T
T
T
T
T
·.
(l}
Type(e.g.,
buy, sell, merger,
redemption)
Buy Buy
Buy
Sell
· . ..:- > . ;: \, ,_ · - ··1 : Transactfons during .
Ifnot exempt from discfosure
(2) (3)Date: Vajue
Month- Code2 Dl!Y (J•P)
2/24 8/10
5131 10/31
6130 K D
, ,
I
· 38 Sprint Corp. CS A Div. K T
I
39 Tyco CS
40 United Online Inc. CS
4 I UST Inc. CS
42 U.S. Treasury Bill
43 Wal-Mart CS
44 Waste Management CS
i 45 Wilson Leather Exp. CS I
46 Winn-Dixie CS
1 Income/Gain Codes: (See Col. BI, D4)
or less $100,000
A Div. K
B Div.
B Div.
None M
A Div.
A Div.
None
None
B=$1,00I-$2,500G=$!00,00I-$1,000 000
2 Value Codes: (See Col. Cl, D3)
J-$15 000 or less K-$15 001-$50,000 . N=$2SO,OO 1-$500,000 0=$500,001-$1,000,000
3 P3=$25,000,001-$50,000,000
Value Method Codes: 1):Appraisal (See Col . C2) =Book value
R=Cost (real estate only) V=Other
T
Sell 4/25 K B
Sell 8/24 K D
T
T
Sell 1/27 K D
T
T Buy 11/29
C=$2,50I-S5,000 .. .
HI=$1,00G,001-$5,000,QOO 0=$5,001-$15,000 ·. .
H2=M6fo than $5,000,000 E7$ i5,001-$50,000
L=$50,00!- $100,000 001-$250,000P1=$1,000
h001-$5,000,000 P2;,,$5;000,00I-$25,000,000
P4=More t an $50,000,000 S=Assessment T=Cash/MarketW=Estiniated
"()(). e
·
t exeniptjrmn disc{osin:e,. I (A,H) 1, it*)
C.
(;Qde2 o n ····< W1
period
diS'tib;llr
B=$1,001 $2,500 f-- (S ee_Co J. B_l _,D_4) F=$50,001_-_$l o_o,o_oo G=- $ 1 _00,_ 00_1-$!,o-oo ,o_o _o H_I_=_$1,o_o_o,o-01_- $_5 ,o-o_o,_oo_o_ H
M._
_=$M10
o0re
0t h0_.1
an_··
$2$5s
0,o,
·00_
00
0.oo o
2 Value Codes: 1=$15,000 or Jess K=$15,00J-$50,000 L=$50,00I· $100,000 P l=$1,0001001-$5,000,000 P2=$5,000,00!-$25,000 ,000
tnan 3 Q=Appraisal
D=Book M
FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Thomas M. Hardiman May 14, 2007
VII. Page 4 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-57 of Instructions.)
A. Description of Assets (including trust assets)
Pla
.
ce "after e
.
ar::h ass
..
. priqt
D NONE (No reportable income ,
assets, or transacllons)
WACHOVIA BOND ACCT.
53 Investment Co. MF
54 Putnam New Opp. MF
55 UnumProvident PF
56 Wash. Mut. Inves. MF
4 0I (k) ACCOUNT# I
57 Principal M M
58 Principal Large Cap MF
59 Principal Med. Co. Bid MF
B. Income
·duringreporting period (1) (2}
Type(e.g.,
Amt .. Oiv., Co<lel ren{ot. .
A Int.
B Int.
A Div.
B Div.
B Div.
A Div.
A Div.
A Div.
A Div.
A Div.
A lnt.
A Div.
A Div.
Gross value .• at end of
reporting period
( I) (2) Vaine
Value Method Code, ..
T
K T
K T
T
K T
J T
K T
K T
T
K T
J T
Sell
Sell
. . D; :.> .. · Transactions during reporting
6/1 K
5130 K
Ifficit exempt from ' : ' '· ' ,
A
B
Income/Gain Codes: A=$1,000 or Jess C=$2,501-$5,000 D=$5,00l-$15,000 E=$J5,001-$50,000
(See Col. Cl, D3) N=$250,001-$500,000 0=$500,001-$1,000,000P3=$25,000,001-$50,000,000 P 4=More $50,000,000
Value Meth od Codes: R=Cost (real estate only) S=Assessment(See Col. C2) value V=Othe r W=Estimated
I-Cash/ arket
I -----------�----��-------�
Type (e.g., 'JJ2" div., ompriar
.. .
I·
·-·
-�·
I ' ···-------------1-·-·--:----·-
'
·111r)2 Code (Q-W)
--
(l) Type
D.
{2) Date: DaY
(3) Value J4)
·Code'! (A H)
°''(5) ·<: . Identi . · "
tfa ertRuer c private transa¢ii&n Y.
I L
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Thomas M. Hardiman Date of Report
May 14, 2007
VII. Page 5 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children. See pp. 34-57 of Instructions.)
A. B.Description of Assets Income(includmg trust assets) during reporting period (I ) (2)
Plac.e after each asset Amt. ·exempt . <jisclosure. Godel rent or
(A-H) int.)
D NONE (No reportable income,
assets, or transactions)
60 Principal Sm. Co. Grwth MF A Div.
61 Principal lnt'I Stock MF A Div.
162 Principal Fin. Grp Inc. A Div.
40J(k) ACCOUNT #2
63 Merrill Lynch A Int.
64 Agere Sys Inc. Class A CS None
1 65 Agere Sys Inc. Class B CS None ··--
I166 Central Europe & Russia MF A Div. >-·
!67 Cisco Systems CS None
68 Citigro up CS A Div.
69 Connetics CS None
70 Dow Chemical CS A Div.
71 EMC Corp CS None
C. Gross value
at end of reporting period
(I) (2)
Value Value Method
•
J T
J T
J T
J T
J T
J T
J T
J T
J T
J T
J T
(e.g.,buy, sell, merger;!'¢emption}·
Merger
Transactions d uring reporting period
M'.orith-
12/29
If not exeiript from disclosure · . . . '
, ' .
" ' ' · ' :·
.
· · : ·' . · . .. · . Code2· (J-P}·
J
tun
A
< .• • . •. . of ,:
· · :.,,; . . . . • Ir. . , . :. . ·. ,, ' . . ' . . .
172 Ford Motor CS A Div. J T
I
2
3
Income/Gain Codes: (See Col. Bl, 04)Value Codes: (See Col. C l, D3)
A=$ l,OOO or less F=$50,00I- $100,000
B=$ l,001-$2,500 G=$ I 00,001-$1,000,000
]=$15,000 or less K-$15,001-$50,000N=$250,001-$500,000 0=$500,001-$1,000,000P3=$25,000,001-$50,000,000
Value Method Codes: Appraisal(See Col. C2) =Book value
R-Cost (real estate only) V=Other
C=$2,501-$5,000 HI =$1,000,001-$5,000,000
0=$5,001-$15 ,000 E=$15,00J-$50,000 H2=More than $5,000,000
L-$50,001- $100,000 M-$100,001-$250,000 P l =$1,000
hOO l-$5,000,000 P2=$5,000,001-$25,000,000
P4=More t an $50,000,000 S=Assessment T=Cash/MarketW=Estimated
l
-------------·
i
17
-- --
o
------- --- '----------- ----------- ----�
J=$15 N=$2$0,00l-$500,000
?):Appraisal =Book
.M=$100,00H250J>OO P2'=$5,000,001-$25,000,000
" ,.
FINANCIAL DISCLOSURE REPORT of Person Reporting
Thomas M. Hardiman
Date of Report
May 14, 2007
VII. Page 6 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children. See pp. 34-5 7 of Instructions.)
...
A.Description ofAssets
(includmg .trust assets)
D NONE (No reportable income,
assets, or transactions)
73 General Electric CS
: 74 Intel CS
;75 Merck CS
Nektar Therapeutics CS
77 Panacos Pharm. CS
78 Pfizer CS
79 Qwest CS
80 Sirius CS
8 I Time Warner CS
TRUST #I
82 PNC Trust Account
AMCAP MF
Fundamental Inv. MF
B. . . C.Income Gross value during . . . at end of
reporting period re rtirig period ·
A Div. T
A Div. T
A Div. T
None T
None T
A Div. J T
None T
None T
A Div.
A Int. T
A Div. T
A Div. K T
Sell
---
, . ·,. . . ·,_ Transactions during reportin
3/13 A
i 85 Growth Fund of America MF A Div. K T [____ ------ -- -------- --------·-- - ---- -·- ---- - --- ---- ----------·
1
2
3
Income/Gain Codes: (See Col. Bl, D4) Value Codes: (See Col. C l, D3)
A=$1 000 or less B=$1,00l-$2,500F=$50,001- $100,000 G=$100,001-$1,000 000
000 or less K=$15,0.01-$50,000 .()=$500,001-$1,000,000
P3=$25,000,001-$50,000,000 Value Method Codes: (See Col. C2) value
R-Cost (real estate only) V=Othet
C=$2,so 1-$5,ooo HI =$1,QOO,OO 1-$5,000,000
D=$5,001-$15,000H2=More than $5,000,000
E=$ I 5,001-$50,000
L=$5Q,00J- $100,000 ·Pl=$1,000h00lc$5,000,000P4=More.t an $50,000,000 S--Assessment T--Cash!Mar et W"=Estimated
!
--
"(X)" exemptfromprior
i :
..
I
B.
(I}. 'fype (e.g.,
(2)
f----T
(l).
D.
Ji/e: JJ e (4) Gain (5)' Identity buyer/seller
f-· ti
--f--- -- - -·
1-----------------+---+----1--- - -----l----------1---+-----1---1-----------j
PNC TrustA : :- _ ________ _ __ -1-nt_.
FINANCIAL DISCLOSURE REPORT Name of Person Reporting
Thomas M. Hardiman Date of Report
May 14, 2007
VII. Page 7 INVESTMENTS and TRUSTS income, value, transactions (Includes those of spouse and dependent children. See pp. 34-57 of Ins/ructions.)
A.Description of Assets
(including trust assets)
Place after each asset disClosure.
D NONE (No reportable income,
assets, or transactions)
186 Investment Co of America MF
87 New Perspective MF
88 Washington Mutual Inv. MF
TRUST#2
89 PNC Trust Account
90 AMCAP MF
91 Fundamental Inv. MF
Income . dµring .reporting penod
> (2)
Amt. Codel (A-H)
A
A
A
A
A
A
:
div.,rent or
int.)
Div.
Div.
Div.
Int.
Div.
Div.
c.Gross value
at end of reporting period (1}
Vall)eCode2 (J-P)
K
T
T
T
T
K
.. ·
Type .(e;g.,
buy, sell,merger,
redemption)
Transactions during reporting period
Month- COde2 Dily (J�P}
..
Code! (A-H)
. . .. , of.
(ifpri17ate transaction)
' K
92 Growth Fund of America MF A Div. K T
93 Investment Co of America MF A Div. K T
94 New Perspective MF A Div. K T
95 Washington Mutual Inv. MF A Div. K T
..
TRUST #3
t_ - -
A -- -
I
2
3
Income/Gain Codes: (See Col. BI, D4)Value Codes: (See Col. CI, D3)
A=$1 000 or less 8=$1,001-$2,500F=$56,00I- $100,000 G=$ I00,001-$1,000,000 J-$15,000 or less K-$15,001-$50,000N=$250,001-$500,000 0=$500,001-$1,000 000P3=$25,000,001-$50,000,000
Value Method Codes: ?;:Appraisal(See Col. C2) =Book value
R=Cost (real estate only) V=Other
T
C=$2;501-$5,000 HI=$ I ,000,0Q 1-$5,000,000
D=$5,00H15,ooo H2=Morethan 5,000,000
E=$15,00l-$50,000
L=$50,00h $100,000 . · PI=$1,000,001-$5,000,000P4=More than $50,000,000
M=$100;00 l-$250,000P2=$5,000,00I $25,000,000
S"'Assessment T=Cash/MarketW=Estimated
I _L_
"(X)" exempt.from
I
c of pt;riod
:
i¥et
(
or · 'fype'
(e:g,; m ()} Date: Value
inerger, fedt;mPt!Qn).
1----------------·---------1--------- -T---- -
1----------·----------+------+-------+----+----+-----+----+---·--+--+------------j
i -----------------1-----f-------+----+-----+-------+---+-----l---+----------j J
2 VaIUe
A=$J 000 or less B=$1,001-$2,500 F=$50,001· $100,000 G=$100,00h$1,000,000 J;o$l5,000, ·N=$25o;oo J -$soo;ooo
I -$so,ooo,ooo \):Appraisal
'=Book
L=$50 $100 000 ·'
p1:;.s(ooofioor s5,ooo,ooo P4'=More
FINANCIAL DISCLOSURE REPORT Date of Report
May 14, 2007
VII. Page 8 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-57 of Instructions.)
. . . ·• A. Description of Assets (includmg trus.t asset;;)
Place after each asset prior disclosure.
D NONE (No reportable income, assets, or transactions)
97 AMCAP MF
98 Fundamental Inv. MF
99 Growth Fund of America MF
I 00 Investment Co of America MF
I 0 I New Perspective MF
102 Washington Mutual Inv. MF
TRUST#4
I 03 PNC Trust Account
104 AMCAP MF
I 05 Fundamental Inv. MF
I 06 Growth Fund of America MF
Amt.Code! (A-H)
A
A
A
A
A
A
A
A
A
A
Div.
Div.
Div.
Div.
Div.
Div.
Int.
Div.
Div.
Div.
.··· . ; .. ·· Gross value
at end ·. . Jeport,ing
ValueCode2 (J-P)
K
K
L
K
K
K
L
L
L
·. ·· . ' .-
·
T
T
T
T
T
T
T
T
T
T
' D.. . . Transactions during reporting period· ·
·' . ·.
buy; sell, · Month- Co<le2
Day (J-P)
---- ------
i 107 Investment Co of America MF A Div. L T
1 I 08 New Perspective MF ! A Div. L T
109 Washington Mutual Inv. MF
I
3
I!icome/Gain Codes: (SeeCoJ:Bl, D4)
Codes:; . (SeeCol. CT, D3)
B Div. L
·. or less . K=$15,001 $50,000 0;=s500,oo 1-$1,000,000
p3:.:s2s;ooo,ooValue Method Codes: (See Col. C2) value
R-Cost (real estate only) V=Other
T
C=$2,50 I $5,000 H1=$1,000,001-$5,000,000
1)=$5,00I-$15,000 E=$15,00l-$50,000 H2"'More than $5,000,000
OOl· M=$J00,001;$250,0Q-O . P2""$5,000,001-$25,000,000
t an $50,ooo,ooo S-Assessment T -Cash/Market W=Estimated
'
I
" J?es<,friptiqn (mcludmg I
, . r\,J'.' ri.• • . iX:tfo '.·
period · .. :.'
(I) (l) If > .
· •. (2) (3) d4)
( ) .
"j/2" Valµe Date: Identity om Code2
D
·-
-
-------- -----
FINANCIAL DISCLOSURE REPORT Thomas M. Hardiman
Name of Person Reporting Date of Report
May 14, 2007
VII. Page 9 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of
spouse and dependent children. See pp. 34-57 of Ins/ructions.)
.... •C • .. •. ,.. • .' ·A... '
ofAssets tiiist' assets)
B. ncome
.. . . ·c: ' · . ;;<,.:·.-Gross value · Tr.bisactions during rtimr:ting. during at'end'of
reporting period· reptirtiitg . . ·. • . ' > (1) (2) (2) not' exempt frorii qisclosJre ·
Type Value
Type
. .(e.g., (e.g.,Place after each asset Amt. div., Method buy, sell, Value am of
exempt prior disclosure. Codel rent or Code merger, Month- Code2 Codel buyer/seller(A-H) int.) (J-P) (Q-W) redemption) Day (J-P) (A H) (if pfh;ati: transaction)
NONE (No reportable income, assets, or transactions)
REAL ESTATE PARTNERSHIPS
110 West Moon Twp. Assoc. D Dist. M u
Il l Bensalem Realty Assoc. F Dist. N u
I 12 Rodi Land Assoc. D Dist. L u
I 13 FC Donegal Assoc. A Dist. J u
114 First City GA Partners E Dist. M u
I 15 First City WV Partners A Dist. J u
I 16 Mcintyre Square Associates B Dist. M u
I 17 FC Hampton LP A Dist. K u
SCHWAB ACCOUNT
1118I 3M CS None J T
I 19
I
2
3
Allegheny County Bond BO B Int. K
Iiw.ome/Gain Codes: (See Col. Bl, 04) Value Codes: (See Col. Cl, 03)
---···--· --- ----·- --· -- ·--··---
A=$1,000 or lessF=$50,001- $100,000
B=$1,001-$2,500G=$100,001-$1,000,000
J-$15,000 or less K-f15,001-$50,000 N=$2so,oo 1-$500,000 0= 500;001-$1,000,000P3=$25,000,001-$50,000,000
Value Method Codes: \):Appraisal(See Col. C2) =Book value
R=Cost (real estate only) V=Other
T Buy 3/3 I K ______J_
C=$2,501-$5,QOO H1=$1,000,001-$5,000,000
D=$5,001-$15,000lf7=More thiiri $5,000,000
E=$15,001-$5o,ooo
L=$50,001- $100,000 Pl =s1,000
6001-$5,ooo,ooo
P4=More t an $50,000,000
M=$100 001-$250,000 P2=$5,000,001-$25,000,000
S=Assessment T=Cash/MarketW=Estimated
Description (includnig during.
periOd (1) .(2)
Type
c. end
repofii/ig periOd (l) (2) (f) .
Type
D:
. ..
(2)
·.
'(5) '"
.,
'\
']!2" Amt. Date: Identity om ',,, .Codt;i7 Month- rr" btiy¢i'/S,eller
(A•H) (JcP) (Q-W) ·oaY (if pfiyat6, friinsaction) ;
I
1123
t ..
I
I
I I
M=$100 001-$250,000 -,
P2=$5,000,001-$25,000,000
, ·.
..
A. of Assets
trust assetS) B,
Iiicome . :
ft!POrti ·
(e..g;,
Gross value · , at of
Value Value
(e.g.,
'transactions <luringr porting period . .
Jfnot exempt from diScfosure . . . . .·:·· ·:. .
(3).Value . · d1l�.
·. : Place after each asset .. ·div,, Mt;itbod buy, sell; of;
. exempt priordisc/9s7f1"e. €0de1 rent or · Code' . >merger, Code2 . . . .··• . · · int.r·· ·:. J'e<lemption} · (J"P) .
D NONE (No reportable income,
assets, or transactions)
120 Amer. Pwr. Conv. CS A Div.
121 Bard CR Inc. CS None K
i 122 Becton Dickinson CS None K i
Bentworth School Dist. BO B Int . K
I 124 BP PLC ADR A Div. J
125 CBL & Assoc REIT None J
126 Clarcor CS None K
127 Comcast CS None K
128 Dell CS None
129 Dentsply CS None J
: 130 Dowington Pa. School Dist. BO B Int. K I 1----------------- -------
1131 !
1132
133
134
I
2
3
Eaton Corp CS None J
Emerson Elec. CS A Div. K
Exxon Mobil CS A Div. K
Fox Chapel School Dist. BD B Int. K
Income/Gain Codes: A=$ I 000 .or less (See Col. Bl, D4) F=$50,001- $100,000
B=$l,001•$2,500Cf--$1 OO,OOI-$1,000,000
Value Codes: (See Col. Cl, D3)
1=$15,000 or less K=$15,00I-$50,000 N=$250,00!-$500,000 0=$500 001-$1,000 000 P3=$25,000,001-$50,000,000
Value Method Codes: 'D:Appraisal (See Col. C2) =Book value
R=Cost (real estate only) V=Other
Sell 3/23 J A
T
T
T Buy 5/11 K
T
T
T
T
Sell 7/27 J A
T
T Buy 4/21 K
T Buy 616 J
T
T
T Buy 3/27 K
C""$2,501-$5,000 . . D=$5,00l-$15,000 . E=$15,001-$50,000H1=$1,000,001-$5,000,000 H2=More than$5,000,000 L=$50,001 $100,000 . . P1=$1,000h001-$5,000,000P4=More t an $50,000,000 S=Assessment T=Cash/MarketW=Estimated
May 14, 2007 Name of Person Reporting Date ofReport
FINANCIAL DISCLOSURE REPORT Thomas M. Hardiman
VII. Page 10 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children. See pp. 34-57 of Instructions.)
Value J:/." Amt. Metl1Qd
exempt .pm 18$)2
jllergei:; <• (Q!-W)" re<l riJption)>
-
1144
t
(2) Month-·· y
(3) Value
o Pl I
JM • am
<NJI) I
> (5) Identity Of.
y··1·u· (ifp y hs cti1>11;
----
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Thomas M. Hardiman May 14, 2007
VII. Page 11 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children. See pp. 34-57 of Instructions.)
A. B. C.Description of Assets Income Gross value (including trust assets) during at end of reporting period reporting period
(1) (2) (1) (2) (1)
Type Type(e.g., (\l.g.,
Place after epch asset i:liv., Value bµy, $ell, .prior disclosure.: Code! ·rent or · Code
(A�H)·· ··•.int)·. . " : ·
D NONE (No reportable income,
assets, or transactions)
135 Gallagher Arthur CS None J
136 General Electric CS A Div. J
137 IBM CS A Div. J
138 ITT Corp. CS A Div. J
139 Johnson & Johnson CS A Div. J
140 Kimberly-Clark CS None K
141 Leggett & Platt CS None J
142 Liberty Property REIT None J
/ 143 Lower Menion Twp. BD B Int. K
Mantech lnt'I CS None
145 McGraw Hill CS A Div. K
146 NokiaCS A Div. K
147 Northhampton Cty BD B Int. K
148 Pennsylvania State BD B Int.
I 149 Pepsico CS None J - -----·- - ·--
2
3
Income/Gain Codes: (SeeCol. B l,04) Value Codes: (See Col. C l, D3)
A=$ l 000 or less 8=$1,001-$2,500F=$50,001- $100,000 G=$100,001-$1,000,000 1=$15,000 or less K-$15,001-$50,000N=$250,001-$500,000 0=$500 001-$1,000 000 P3=$25,000,001-$50,000,000
Value Method Codes: \):Appraisal(See Col. C2) . =Book value
R=Cost (real estate only) V=Other
- """ - -
T
T
T
T
T
T
T
T
T
T
T
T
T ---- -- ---· -
Buy
Buy
Buy Sell
Buy
Buy
Buy Sell
----
C=$2,501-$5,000
-
HI =$1,000,001-$5,000,000 L=$50,001- $100,000 Pl=Sl,OOO
hOOl-$5,000,000
P4=More t an $50,000,000 S=Assessment W=Estimated
D. Transactions during reporting period
If not exempt from disclbsure
Date:
3/24
2/3
3/24 616
10/3
3/22
211 5 417
., · .
Gode2· . .. · .
J
K
J J
J
K
K K
. Code!. .
A
A
.. . . : . ·· .. ·· . ·
.·. •··
--·- --· -- -- - - ---·
0=$5,001-$15,000 H2=More than $5,000,000
E=$ l 5,001-$50,000
M-$100;001-$250,000P2=$5,000,001-$25,000,000
T=Cash/Market
. A scriptipn pfAsse!s
(mc:Iudmg ass tS)
flilpf! !'(XJ.(' aftet ea<;h exemptj'rom prior disclosure;
I
-----------··----·--- ----
1.·.·.
3 '{;:Appraisal· (See =Book
.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Thomas M. Hardiman May 14, 2007
VII. Page 12 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children. See pp. 34-57 of Instructions.)
· ·• · , trust
(1) (2) (I) (2)
; (l,sset ·. : :
D NONE (No reportabl income,
assets, or transactions)
150 Pfizer CS A Div. T Buy 10/3
1 151 Schwab MM A Int. J T
! 152 Somerset Cty BD A Int. T Buy 414
153 Unilever CS A Div. T
l Income/Gain Codes: A=$1,000 or less 8"=$1,001-$2,500 C=$2,501-$5,000 0"=$5,001-$15,000 E=$15,00J-$50,000 (See Col. BI, 04) F=$50,001- $100,000 0=$100,001-$1,000,000 H1=$1,000,001-$5,000,000 H2=More than $5,000,000
2 Value Codes: J=$15,000 or less K=$15,001-$50,000 L=$50,001- $100,000 M=$100,00l-$250;000 . (See Col. Cl, 03) N=$250,00l-$500,000 0=$500,001-$1,000 000 P1=$1,000h001-$5,000,000 P2=$5,000,001-$25,000,000
P3=$25,000,001-$50,000,000 P4=More t. an $50,000,000 Valile Method Codes: R-Cost (real estate only) S-Assessment T=Cash/Market . Col. C2) · · value V�her· · W=Estimated
ofRepo J May l4,2
f'f,
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT Thomas M. Hardiman
Date
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS (Indicate part of Report.)
lX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is iccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable ;tatutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in ;ompliance with the provisions of5 U.S.C. app., § 501 et. seq., 5 U.S.C. § 7353 and Judicial Conference regulations.
)ignature Date :J-Dc.'J
WTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE :UBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. App.,§ 104.)
Mail signed original and 3 additional copies to:
FILING INSTRUCTIONS:
Committee on Financial Disclosure Administrative Office of the
United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.<::;. 20544