rot requird by rhe etics (5 u.. pp. §§ 101-1 i i)...2/20/09 nat'! istitute of trial advacy...

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

of 10

Name of Penon Reporting


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

of10 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 of10

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 of10 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 of 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 of10 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 ----- · ·


of10

N amc of Peno a Reporting


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. 05/11/2010of 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."


of10

NameofPenonRcportlog


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

rot requird by rhe etics (5 u.. pp. §§ 101-1 i i)...2/20/09 nat'! istitute of trial advacy...

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