peter t fay financial disclosure report for 2010

8/3/2019 Peter T Fay Financial Disclosure Report for 2010

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A O I O

Rev. 1/2011

FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 2010

Report Re quired by the Ethics

in Government Act of1978(5 U.S.C. app. §§ 101-111)

1. Person R eport ing (las t name, f i rs t , middle ini t ia l)

F A Y , P E T E R T .

4. T i t le (Ar t ic le I l l judges in dica te ac t ive or sen ior s ta tus ;ma~strate judges indicate full- or part-t ime)

Se n i o r U .S. Ci r c u i t Judg e

7 . C h a m b e r ~ o r O f f i ce A d d r e s s

Fed er a l Ju s t i ce Bu i l d i n g

99 N.E. 4 Street , Sui te 1255Mi ami , F l o r i d a 3 3 13 2

2. Court or Organiza t ion

U . S. Cour t o f A ppea l s , 1 1 Ci r .

3. Date of Repor t

04/15/2011

5a . Repor t Type (c hec k appropr ia te type )

] N o m i n a t i o n , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8.On the bas is of the informat ion conta ined in this Repor t and anymodi f ic a t ions pe r ta in ing the re to , i t is , in my op in ion , in c om pl ianc e

with app l icab le laws and regulat ions.

R e v i e w i n g O f f i c e r Date

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 instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on las t pag~

I . P O S I T I O N S . (Repo rt ing individual onl);" see pp. 9-13 of f i l ing ins truct ions .)

~ -~ N O N E ( N o reportable po sitions.)

P OS ITION

1 . E m e ri ti s Me m b er o f Bo a rd o f T ru st ee s

2. E m e r i t is M e m b e r o f B o a r d o f T r u s t e e s

3. S t . T h o ma s S c h o o l o f L a w B o a r d o f A d v i s o r s

NAME OF ORGANIZATION/ENTITY

Un i v e r s i ty o f M i a m i , M i a mi , F l o r i d a

Un i v e r s i t y o f F l o r i d a S c h o o l o f L a w , Ga i n e s v i l l e , F lo r i d a

S t . T h o m a s S c h o o l o f L a w , M i a m i , F l o r id a

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 o f : l i n g instructions.)

~ (No re por table agre e m e nts . )O N E

DATE PARTIES AND TERMS



FINANCIAL DISCLOSURE REPORT

Page 2 of 8

’ N a me o f Pe r s o n R e p o r t i n g


Dal e o f Rep o r t

04/15/2011

III. N O N - I N V E S T M E N T I N C O M E . ( R o ,o ~ .g individual andspouse; seepp. 17-24 of fding instructions.)

A. Filer’s Non-lnvestment Income

~’] NONE non- inv e s tme nt income . )N o reportable

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 - t f y o u were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

~] N O N E ( N o reportable non-investment income.)

D A T E SOURCE AND TYPE

1 .

2.

3.

4.

I V . R E I M B U R S E M E N T S - ~ r a . s p o ~ n o ~ . l o d g i ~ g , lo o d , e n t e r ta i n m e n t .

(Includes those to spouse and dependent children; see pp. 25-27 of fil ing instructions.)

N O N E ( N o reportable reimbursements.)

SOURCE DATES LOCATION

1 .

2.

3.

4.

5.

PURPOSE ITEMS PAID OR PROVIDED




P a g e 3 o f 8

N a m e o f P e r s o n R e p o r t in g


Date of Report

04/1512011

V . G I F T S . a , ~ ,, d es ,h o ~ e t o ~ . . . .. d d e p e . d e ~ c h U Z r o n ; ~ e e p ~ , . 2 ~ - 3 1 o f . t’ a i n g i n ~ t r u ~ o n s . ~

N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION

1 .

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n el u d ,~ , h o se o / s p o ~ , , a n d dependent children; s e e p p . 3 2 - 3 3 of filing instructions.)

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

1 .

2.

3.

4.

5.

VALUECODE




Page 4 of 8


FAY, PETER T.

D a t e o f R e p o r ~

04/15/2011

N O N E ( N o reportable income, assets, or transactions.)

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

(including trust a s se t s ) r e p o r t i n g p e r i o d

O) (2)

Place "(X)" after each asset Amount Type (e.g.,

e x e m p t f r o m p r i o r d i s c l o s u r e Code I ̄ d i v . , r e n t ,( A - H ) o r in 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)

V a lu e V a lu e

C o d e 2 M e t h o d

( J - P ) C o d e 3

~ Q - W )

O)T y p e ( e . g .,

buy, se l l ,

r e d e m p t i o n )

T r ’ ~ s a c f 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) (5 )

D a t e V a l u e Gain I d e n t i t ) ’ o f

m m t d d / y y C o d e 2 C o d e 1 b uye r / s e l le r

(J-P ) (A -H) ( i f p r i v a t e

t r a n sa c t io n )

1. C o m m o n s t o c k - Central Ill. Pub. Service A Dividend

Corp.

2.

3. Land near M ilton, Florida None

4. M ineral lease on land near M ilton, Florida A Royalty

5. Coca Cola Co. A Dividend

6. NewYork City M un. Water&Sewe r Sys. A I n t e r e s t

7. Nuveen M un. Fund B Dividend

8. New York City M unicipal W ater Authority A I n t e r e s t

9. Fidelity H igh Yield Tax Free A Dividend

1 0 . M onster W orldw ide Inc. None

1 1 . Spartan Florida M un. Fund changed nam es A Dividendto Fidelity M un. Inc

1 2 . Nuveen Mun. M arket Opportunity Fund A Dividend

1 3 . Ha rbor Capital Appreciation Fund A Dividend

1 4 . Vanguard Group, 500 Portfolio A Dividend

1 5 . Va nguard Group, Europea n Portfolio A Dividend

1 6 . W ells Fargo acct. now at Bank of Am erica A Dividend

1 7 . T i m e W a r n e r A Dividend

K

J

J

K

K

K

K

J

J

J

K

K

K

W

W

T

T

T

T

T

Sol d

T

T

T

T

T

T

Sol d

04/ 1 9 / 1 0

04/ 1 9 / 1 0

L ef t b l an k i n t e n t i o n a l l y

I. In co m e Ga in Co d e s: A = $|,00 ~ o r le ss B -~J 1,001 - $2,500

( S ee Co l m r m s BI an d I ) 4 ) F =$50,1XII - $109,0~0 G =$100,001 - $I ,000.000 HI =$1,000,001 o $5,000,000

2. Value Codes J =$15,0~O or le~s K =515.001 - $50 .00~ L = $50.001 - $ I00 .0~ )

( .See Co l u m n s CI an d D 3) N --5250.001 - $500.000 O =$500,001 - $1,000.009 PI =$1,0(~.0~1 - 55,000.000

P3 =$25,[email protected] - $50.000,0~0 P4 =More than $50,000,090

3. V a l u e M e~o d Co d es Q =A p p ra i s a l R =Cost (Real Esta te Only) S = Assessm en t

(.see Cnlurrm C2) U =Book Value V =Othe~ W = E ~ i m a t e d

D =$5,0~1 - $15,000

H2 =More than $5,000,000

M =$100.001 - $250.000

P2 =$5,000.001 - $25,000.000

T = C a s h M a r k e ~

E = $ 1 5 . 0 ’ 0 1 - $50.000



FINANCIAL DISCLOSURE REPOR T

Page 5 of 8



D a t e o f R e p o r t

04/15/2011

V II. INVESTM ENTS an d TRUSTS - inco ..... t . e , t ransac t ions ( Inc ludes those o f spouse and depen den t ch i ldren; see pp . 34 -60 o f fd ing ins t ruc t ions . )

1 8 .

1 9 .

20 .

21 .

22 .

23 .

24 .

25 .

26 .

27 .

28.

29 .

30 .

31 .

32 .

33 .

34 .


A. B. C. D.Des cr ipt i on of As s et s Inc ome dur ing Gross va lue a t end Transactions during reporting period

(including trust assets) rep ortin g pe rio d o f rep ortin g p erio d

(1) (2) (I) (2) (1 ) (2) (3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e (e . g . , Value Value T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

exempt f r om pr ior d i s c los ure C o d e 1 d i v . , r e n t , Code 2 M ethod buy, se l l , m m ! d d J y y Code 2 C o d e 1 buyer /se l l e r

(A-It) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) ( A -H ) ( i f p r i v a t e

( Q - W ) l ~ a n s a c t i o n )

A mer i can I n t e r n a t i o n a l Gr o u p I n c . N o n e Sold 04/19/10

A m g e n I n c . N o n e Sold 04/19/10

B ro a d co m Co rp . Cla s s A N o n e Sold 04/19/10

H o m e D e p o t I n c . A Di v i d en d So ld 0 4 /19/10

M e l b o u r n e , F l a . W a t e r & S e w e r R e v . A Interes t K T

J

J

J

J

Micr os of t Cor p . Was h ing ton

B r eva r d County F la . G / O LTD B / E

C a p e C o r a l, F l a . W S T W T R & I R R

Wal mar l St o r es I n c .

B a n k o f A m e r i ca T i m e D e p o s i t (C D )

A l aska U n i v . R ev s Ge n l . Ser .

A

B

A

A

A

A

Di v i d en d So ld 0 4 /19/10

Interes t K T

Interes t K T

D i v i d e n d K T

Interes t Sold 08/20/10

Interes t K T

K

Po r t Pa l m Beach Di s t . F l a . R ev .

P i n a C N T Y A Z S T R & H W Y R E V

B

A

I n t e r e s t K T

I n t e r e s t K T

L ef t b l an k i n t en t i o n a l ly



Lef t b lank in ten t iona l ly

I. Income Gain Codes:

( S ee Co l u m n s BI an d D 4 )

2 . Value Codes

( S ~e Co l u rt m s CI an d D 3)

3. V a l ue M e t ho d C o d e s

( S ~ C o l u m n C 2 )

A = $ I , 0 0 0 o r l e ss

F =$50,001 - $100,000

J =$15,0~0 or less

N =$2 5 0.001 - $5 00 .0~ 0

P3 =$25,D00,0~1 - $50,000.000

Q = A p p r m s a l

U =Book Value

B =$1,001 - $2,500

G =$100,001 - $1,000.000

K =$15.0~1 - $50,000

0 =$500,001 - $1.000,000

R =C o s l (R e a l E s t a t e O n l y )

V =Other

C = $ 2 , 5 0 1 - $ 5 , 0 0 0

H 1 = $ 1 . 0 0 0 , 0 0 1 - $ 5 , 0 0 0 , 0 0 0

L = $ 5 0 , 0 ~ 1 - $ 1 0 ~ , 0 0 0

PI =S1,000,001 - $5,000,0~

P 4 = M o r e t h a ~ $ 5 0 , 0 0 0 ,0 0 0

S = A s s e s s m e n t

W = E s t i m a te d

D = $ 5 , 0 0 1 - $ 1 5 , 0 ~ 1

H 2 = M o r e t h a n $ 5 , 0 0 ~ , 00 0

M = $ 1 0 0 . 0 0 1 - $ 2 5 0 , 0 0 0

P 2 = $ 5 , 0 0 0 , 0 0 1 - $ 2 5 . 0 0 0 . 0 0 0

T , = C a s h M a r k e t

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0




Page 6 of 8


FAY, PETER T.

Date of R e p o r t

04/15/2011

V II. INVESTM ENTS a nd TRUSTS - i ....... o ~ . e , t r a n s a c t i o n s ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 ~ - 6 0 o / J ’ d i n g i n ~ t r u c t i o n ~ )


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

( inc lud ing t r us t as s e tS) r e p o r t i n g p e r i o d

(1) (2)

Place "(X)" after each asset A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t ,( A - H ) o r in t . )

o f r e p o r t i n g p e r i o d

(1) (2)

V a lu e V a lu e

C o d e 2 M e th o d

(J-p) C o d e 3

( Q - W )

(x)

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) (5 )

D a t e V a l u e Gain I d e n t i D ’ o f

m m / d d / y y C o d e 2 C o d e 1 b uye r / s e l le r

( J - P ) ( A - H ) ( i f p r i v a t e

35 . Gr e e n e C i t y O h i o S p e c i a l A s s e s s me n t

36 .

I n t e r e s t

Left blank ~ntent ional l )

37 .

38.

39 .

40 .

41 .

42 .

43 .

44 .

45 .

46 .

47 .

Condo unit, M elbourne Beach, Fla.

Ft. Mye rs Fla. Gas Tax Revenue

Orlando Fla., Wa ste Wa ter

Lauderhill, Fla. W ater & Sewer

Tamp a Sports Authority

Breva rd County Fuel Tax Revenue Bond

None

B l n l e r e s t

A I n t e r e s t

B I n t e r e s t

B I n t e r e s t

B I n t e r e s t

M

K

K

K

K

w

T

Sold

T

T

T

04/01/10

Houston TX Independent School District

Petroleo B rsileim Spon Adr

Central Puget Sound WA. Regl Tmn.Auth.Sales & Use Tax

M errill Lynch PIA Conservative Portfolio

B I n t e r e s t

A Dividend

B I n t e r e s t

C Dividend

K

M

T

Sol d

T.

T

04/ 1 9 / 1 0

L ef t b l an k i n t en t i o n a l l )

I . In c o m e Ga i n Co d es : A =$1,000 or less B =51,001 - 52,500 C =$2,501 - $5,000 D =$5,001 - $15,000

( S ee Co lu m n s B1 an d D 4 ) F =550,001 - $100,0~0 G = $ 1 1 3 ( I , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 HI =$1,000.001 - $5,000,000 112 =More than $5,000,000

2. Value Codes J =515.000 o r le ss K =$15,001 - 550 .000 L =$50 ,001 - 5100.000 M = $10~ ,001 - $250 ,000

( S ee Co lu m n s C1 an d D 3) N ~$250.D01 - $500.000 O =5500 ,001 - $1,000 ,000 P I =$1.000,001 - $5.000,000 P2 =$5.000,001 - $25,000,000

P3 =$25,000.001 - 550.090,000 P 4 =More than $50,000,000

3. Value M e tho d Co d es Q =A p p rais al R =Cost (Real Esta te Only) S =A s s e s s me n t T :~S.ash Market

( S ee Co l u m n C2) U = Bo o k V al u e V = Ot h e r W =Es t i ma t e d

E =$15.001- S50.000




Page 7 of 8

N a m e o f P e r s o n R ep o r t i n g


D a t e of Repor t

04/I 5/2011

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS.andica,e~,ar~of,epor~)

The Bo a r d s o f T r u s t ees r e f e r r ed t o i n Par t I a r e g o v er n i n g bo ar d s o f u n i v er s i ti es an d n o t t r u s ts o r es t a t es ho l d i n g as se t s .




Page 8 of 8

N a me o f Pe r s o n R e p o r t i n g


Date o f Repor t

04/15/2011

IX . CERTIFICATION.

I 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 in 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 ld r e n , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o th 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 yp 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 th e r c e r t if 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 L 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 io n s .

Signature: S/PETER T. FAY

N O T E : A N Y I N D I V ID 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 IF I E S O R F A L L S T O F I L E T H IS R E P O R T M A Y B E S U B J E CT T O C I V ILA 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 )

C o m m i tt e e o n F i n a n c ia l D i s c lo s u r eA d m i n i s tr a t i v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sSu i te 2-301

O n e C o l u m b u s C i r c l e , N .E .W a s h i n g t o n , D . C . 2 0 5 4 4

peter t fay financial disclosure report for 2010

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