roger j miner financial disclosure report for 2010

8/3/2019 Roger J Miner Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDA R YEAR 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , fi r s t , m i d d l e i n i t ia l )Miner, Roger J.

4. T i t l e ( A r t i c l e 1 1 1 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 ;magistrate judges indicate full- or part-time)U.S. Ci rcui t Judge (Senior)

7 . C h a m b e r s o r O f f ic e A d d r e s sUnited S ta tes Cour thouse445 B roadway , R oom 414Albany, NY 12207

2 . C o u r t o r O r g a n i z a t io nU.S. Cour t of Appea ls

3. Date of Report05/04/2011

5a. Report Type ( check appropr ia t e t ype )] Nomina tion, Da t e[] Initial [] Annual [] Final5b. [] Amended Report8 . O n t h e b a s i s o f th e i n 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 t a n d a n y

m o d i f i c a ti o n s p e r t a i n i n g t h e r e t o , it i s , in m y o p i n i o n , i n c o m p l i a n c ew 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 i o n s .

R e v i e w i n g O f f i c e r D a t e

6. Report ing Period

01/01 /2010to12/31/2010

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 last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)~] NONE (No reportable positions.)

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

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 agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r s o n R e p o r t in gMiner, Roger J.

Date of Report05/04/201 l

I II . N O N - IN V E S T M E N T I N C O M E . (RepoSing i . d i v l d u a t a . d s p o u s e ; s e e p p . I 7 - 2 4 of filing instructions.)A. Filers N o n - l n ve s t m e n t I n c o m eD NO NE (No reportable non-investment income.)

DATE SOURCE AND TYPE I N C O M E( y o u r s , n o t s p o u s e s )1. 12/31/2010 N .Y .S. E m p loyees R e tirem en t Sys tem - Pens ion $17 ,796.482.3.4.

B . S p o u s e s N o n - I nv e s tm e n t In c o m e - lf you were married during anyportlon of the reporting year, complete this section.(Dollar amount not required except for honoraria,)

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.3.4.

I V . R E I M B U R S E M E N T S --transportation, Iodglng, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-27 offiling instructions.)

N O N E ( N o reportable reimbursements.)SOURCE DATES LOCATION

1 .2.3.4.5.

P U R P O S E ITEMS PAID OR PROVIDE


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FINANCIAL DISCLOSURE REPORTP 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 gMi ne r , R og e r J .

Date o f Report05/04/201 I

V . G I F T S . a n c l u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1.

2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a u d .d e s th o s e o ~ ~ p o .s e a .d dependent children; see p p . 3 2 - 3 3 of filing instructiong)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t in gMi ne r , R og e r J .

Date o f Report05/04/2011

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; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D es c r i p t i o n o f A s s e t s In c o m e d u rin g Gro s s va lu e a t e n d T ra n s a c t io n s d u rin g re p o rtin g p erio d(inc luding t rus t asset s ) repor t ing per iod o f r e po r t i n g pe r io d

(1 ) (2 ) (1) (2) (1 ) (2) (3) [ (4) (5)Place "(X)" after each asset Amount Type(e.g., Value V alue Type(e.g., D a t e Value I Gain Identityofexempt from prior disclosure Code I d iv., ren t , C o d e 2 M et ho d b uy , s e l l , mm/dd/yy Code 2 ! Code 1 buyer/seller

( A - H ) or in t . ) (J-P) C o d e 3 r e d e m p t i o n ) (J P) (A-H) (if private(Q-W) t r an sac t i o n )

1. Amer ican Elec tr i c Power Co . A Dividend J T2. AT&T Inc . D Dividend M T3. B ank o f Ame r i c a A Div idend K T4. Centu tyLink ( former ly Century Tel . ) A Dividend J5. CH E ne r gy G r ou p , In c . A Dividend K T6. C omcas t A Dividend K T7. Exxon Mobi l Corp . E Div idend O T8. FairPo int Communica t ions (Y)9. First Energy B Div idend K T

1 0 . Fron ti er C om m. A Dividend1 1 . Gencorp Inc , N one

J

J

TT

Spinoff 07/01/10 J V e r i z o n s p i n o f f

1 2 . (The ) Har t ford Financ ia l Servi ce s Group, A DividendInc .1 3 . Hess Corp. ( formerly Am erada Hess Corp. ) A Dividend K1 4 . Hos t H o t e l s an d Re sor t s (S p in o f f f r om A Dividend J TStarwood Corpora t ion)1 5 . I .B.M. B Dividend L T1 6 . ITT Corp. (formerly I.T.T. Industries, Inc. ) A Dividend J T1 7 . Ke y Corp . A D iv id e n d K T

I. Income Gain Codes: A =$ 1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Columns B I and D4) F =$50,001 - $100,000 G -$100,001 - $1,000,000 HI = $1,000,001 - $5,000,000 tt2 = More tha n $5,000,000

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 C olu m ns C I a nd D 3) N =$250 ,00 1 - $5 00 ,0 00 O =$500,001 - $1,000,000 P 1 = $ 1,000,001 - $5,000,000 P2 -$5,000,001 - $25,000,000P3 =$25,000.001 - $50.000.000 P4 = M ore than $50,000,0003 . Value Method Codes Q =Appra isa l R =Cost (Real Est a t e On ly ) S =Assessmen t T = C a sh M a rk et(See Column C2) U =Book Value V =Othe r W =Est imated

E =$15 ,001- $50 ,000


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N a m e o f P e r s on R e p o r t in gMiner , Rog er J .

Date o f Repo r t05/04/201 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.eo,.e, rot.e, t r a . s . c , l o . s a.da,tes t h o s ~ o f s p o a ~ a n d , t~ p ~ n d e m children; see pp. 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D es 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 ng G r o s s v a l u e a t en d T r a n s a c t i o n s d u r i n g r e p o m n g p e r io d(inc luding t rus t asset s ) repor t ing per iod o f r e po r t i n g pe r io d

I ~ 1 a c e " ( X ) " a f te r e a c h a s s e texempt from prior disclosure

A m o u n tC o d e 1( A-H)

1 8 . MetLife A1 9 . Nat iona l Gr id Group A20. NCR

21. Omnova S o lu t ions , Inc .22. P.S .E.G. Inc . A23 . Qwes t Comm . Inte rnat iona l Inc . A24 . Rayon i er B25 . Southern Co .(The ) B26 . Sprin t -Nextel27. SPX Corp . A28. Starwo 0d Hote ls & Resor t s A29 . Teradata Corp .

30. Verizon Communicat i ons D31. Vod a fon eAi r t ouch PLC B32. W i n d s t r e am A3 3 . Al li anc e Cap i t a l A -G r owth & Inc ome Fu nd A3 4. B la c k Ro c k La r g e C a p. Eq u it y Fu n d A

(2 ) (1) (2)T y p e ( e . g . , V a l u e V a l u ed iv . , r e n t , C o d e 2 M e t h o d

o r i n t . ) ( J - P ) C o d e 3( Q - W )

Div idend J TDiv idend J T

None J TNone J T

Div idend J TDiv idend J TDiv idend K TDiv idend K T

None J TDiv idend K TDiv idend J T

None J T

Div idend M TDiv idend K TDiv idend J TDiv idend L TDiv idend L T

(I) (2) (3)Type (e.g., Date V alue

buy, se l l , mm/dd/yy Code 2redemption) ( J -P )

(4 ) (5)Gain Id entity o f

Code I buyer/sel ler(A-H) ( i f p r i v a t e

transaction)

I . Income GainCodcs: A = $1,000 or less B = $1,001 o $2.500 C = $2,501 - $5,000(Se~ ColumnsB 1 and D4) " F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000

2. Value Codes J =$15,000 or less K = $15,001 o $50,000 L = $50,001 - $100.000(See Colunms C" I a n d D 3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000 P 1 =$ 1,000,001 - $5,000,000

P3 -$25,000,001 - $50,000,000 P4 -More than $50,000,0003. Valu e M ethod Codes Q = A ppra isal R =Cost (Real Est a t e On ly ) S =Assessmen t(See Colunm C2) U =Book Value V = O t h er W =Est imated

D =$5,001 - $15,000H2 =More than $5,000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a sh M a rk et

E =$15 ,001- $50 ,000


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F I NA N C I AL D I S C L O S U R E R E P O R TP a g e 6 o f 8

N a m e o f P e r s o n R e p o r t in gM i n e r , R o g e r J .

Date of Report05/04/2011

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; seepp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B, C.D escrip tion of Assets Incom e du ring Gross value a t e n d(including trust assets) rep orting period of rep orting period

( 1 ) ( 2 ) ( 0 (2)P l a c e "(x)" af ter each assel Amount Type (e.g., Value Valueexempt from prior disclosure Code l div., rent, Code 2 Method

( A - H ) o r i n t . ) ( J - P ) C o d e 3(Q-W)

(l )Type (e.g.,buy, sel l ,

redemption)

T ran sac t i o n s d u r in g r e po r t i n g pe r io d(2) (3) (4) (5 )

D a t e V a l u e G a i n Identity ofmm/dd/yy Code 2 Code 1 buyer/sel ler

(J-P) (A-H) (if privatetransaction)

3 5. C e n t u r y S h a r e s T r u s t A Div idend K3 6 . For t Dearbom Inc om e Secur i t i e s (F.D.I .) A Div idend J3 7 . Drey fu s Fun d (K EOGH P LAN) C Div idend N3 8. Leg g-M aso n B Div idend M3 9. Midas Sp ec . Equi ti e s Fund None J40 . Ne u be rg e r -B e r man Mid Cap G r owth None KInves tor s Clas s Fund, Inc .41 . Oppe nhe ime r B ond Fu nd Cla ss A A Div idend J42 . Rive r Sou r c e (RV S B a lanc e d Fu nd ) A Div idend K43 . R o b e c o W P G L a r g e Ca p G r o w t h ( f o r m . B Div idend KW e i s s P e ck G r e e r oWP G Inc .44 . Frankl in b lew York Tax Free A Incom e B I n t e r e s t LFund45 . Oppenh e imer -Roches te r Fund Munic ipa ls A I n t e r e s t K46 . Key B ank, N .A. (va rious a c c ou n t s , i n c lud in A I n t e r e s t LIRAs)47 . U.S . Sav ing s B ond s " C . In teres t M

TTTTTTTTT

TTTT

1. I ncome Gain Codes: A = $1,000 or less B --$1,001 - $2,500(See Colu mn s B I a nd D 4) F =$50,001 - $100,000 G =$100,001 - $ 1,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000(See C~ lumns C I and D3) N =$250,001 - $500,000 O = $500,001 - $ 1,000,000P 3 =$25.000,001 - $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Est a l e On ly )

(See Column C2) U =Book Value V - O t he r

C =$2,501 - $5,000 D =$5,001 - $15,000H 1 =$1.000,001 - $5,000,000 t t2 =More than $5,000,000L =$50,001 - $100,000 M =$100,001 - $250,000P 1 =$ i ,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P 4 =More than $50,000,000S =Assessmen t T =Cash Marke tW =Est imated

E = $15.001 - $50,000


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Nam e o f Pe r son Repor t i ngMiner, Roger J.

Date o f Repor t05/04/201 I

VIII. ADDITIONAL INFORMAT ION OR EXP LANATIONS. O~,t~ca,par, o/re~,o~t.~Capi ta l ga ins di s tr ibutions f rom m utua l funds are inc lud ed wi th ordinary dividends a nd reported as "D ividend" in Par t VIII Column B ("Incom e during report ingper iod") .


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FINANCIAL DISCLOSURE REPORTPage 8 of 8

Name of Person Report ingMiner, Roger J.

Da te of Report05/04/2011

I X . C E R T I F IC A T I O N .1 c er t i fy t ha t a l l i n fo rma t ion g iven a bove ( inc l ud ing in forma t ion p er t a in ing t o m y spou se a nd m inor o r dependen t c h i l d r en , i f a ny) i sa c c u r a t e , t r ue , a nd c om ple t e t o the bes t o f my know ledge a nd be l i e f , a nd t ha t a ny in forma t ion no t r epor t ed wa s wi thhe ld bec a u se i t m e t a pp l i c a b l e s t a t u to ryprov i s ions p ermi t t ing non-d i s c losu r e .I f u r th e r c e r ti f y t h a t e a rn 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 ts 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 om pl i a nc e wi th t he p rov i s ions o f 5 U . S . C . a pp . 501 e t . s eq . , 5 U . S . C . 7353, a nd J ud i c i a l Confer enc e r egu l a t ions .

S igna tur e : S /Roge r J . Mine r

N O T E : A N Y I N D I VID U A L W HO K N O W IN G L Y A N D W IL F U L L Y F A L S IF IE S O R F A I L S T O F IL E T H IS R E P O R T M A Y B E S U B J E C T T O C IV ILAN D CRIM INAL S AN CT IO N S (5 U .S .C. app . 10 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

roger j miner financial disclosure report for 2010

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