ruggero j aldisert financial disclosure report for 2009

8/3/2019 Ruggero J Aldisert Financial Disclosure Report for 2009

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. ~ o ] o FINANCIAL DISCLOSURE REPORT ~ o ~ o , ~ ~ q ~ i ~ b y t ~ E t ~ i ~ inGovernment Act of 1978R e ~ . 1 / 2 0 1 0 F O R C A L E N D A R Y E A R 2 0 09 0 u .s .c . ~p . ;o l - tH)

1 M P O R T A N T N O T E S : T h e i n s t ru c 6 o n s a c co m p a n y i n g this form m u s t b e f o l l o w e d . C o m p l e t e a l l p a r t s ,c h e c k i n g t h e N O N E b o x f o r e a c h p a r t w h e r e y o u h a v e ~o repor table informat ion . S ign on la s t page .

I. PO SIrlO N S. a~n~ ~*-~. ,e,~ ~-IJ ,]faz~g~ NONE ~o reportablepositio~.)

POSITION ~AME OF ORGANI~TION/E~!~1. Emef~T~ Unive~i~ of Pi~b~2. Bo~d ofV~i~, ~w ~h~l U~vc~i~ of~b~h

~ . . : ~

5. ",-_._~ . . - ~, :-~

~ NONE ~o reportable agreementsO~ PARTIES AND TE~S

I.


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t

F I N A N C I A L D I SC L O S UR E R E P O R T N , m * o t l e ~ * R , O o a i ~ D i r e o t a , r * ~Page 2 of 1 0 A I d i s e r t . R u g g e r o J . 0 3 / 1 1 / 2 0 1 0

HI. NON-INVESTMENT INCOME. cR~,a~ ~a ~,d~o~; ~p~ ir-u oIf~ ~.~o~A. Filers Non-Investment Income[---1 NONE (No reportable non-investment income.)

DATE ~OURCE AND TYPE I N C O M E(yours, not spouses)I. 2/20/09 Nail Institute of Trial Advocacy (Publications Royalties) $9,775.85

2 .7 /20 /09 Nail 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 R euters (Publications R oyalties) $ 1,641.786. 8/19/09 Yao Enterpr ises (Publications Royalties) $73.58

7.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - i f y o u w e r e m a r r i e d d u r i n g * m y p o r t i o n o f t h e r e p o r f i n g y e a r , c o m p l e t e t h i s s e c t i o ~( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a )

[~ NONE (No reportable non-invesOnent income.)D A T E ~OURCE AND TYPE

1 .2.

3.

4.

IV. REIMBURSEMENTS -t,~o,~,ao.,(Incl~ t~se to ~ome a~ de~ent chil~n; s~ pp. 2~-27 o filling i~t~o~.)

NO~ ~o reportable reimbursements.)

~ ~ L O C A TIO N PUR PO SE ITEMS PAID O R PRQ VIDgD1.2.3.4.5.


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r~nme of Person Reporting Da~e of ReportF I N A N C I A L p a g e 3 o f 1 0 D I S C L O S U R E R E P O R T ~ a ~ s e r ~ R u g g e r o J . 0 5 / 1 1 / 2 0 1 0

V. GIFTS. O.d.d~ ~ho~ ,o ~o,~ ,~ d~,~o,~ ~U,~.: ,~ r~ ~ - ~ ~ o f f d l n g t n s t r . c a o n s . )NONE (No reportable gifts.)

SOU R C E DESCRIPTION VALUE1 .2.3.4.5.

VI. LIABILITIES. a n ~ t u ~N O N E ( N o reportable liabilities.)

C R E D I T O R DESI~RIPT1ON VALUE CODE1.2.3.4.5.


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F IN A N C IA L D I SC L O S U R E R E P O R T N a m e o f P e r s o n R e p o r t in g Date of R el~rtPage d of 10 Aldisert, Ruggero J. 0 5 / 1 1 / 2 0 1 0VII. INVESTME NTS and TRUSTS -/~.~,

NONE ~o reportable income, ~sets, or tra~actions.)A. B. C. ~- D.~pfi~ of A~ ln~ ~ng Gm~ va~ a t

(mcl~g ~st ~se~)ela~ "(X )" after ~ch ~$ ~t T~ (e.g., T~

( A - H )

I . B l a i r C ~ B o ~ d A Inle~ Red~m~ 0 7 1 0 1 1 0 9 J

2. Santa Barbara Bank & Trust Co. A Interest L T

3, Cantella & Co (IRA) B Dividend K T4, - -Columbia Mars ico 21s tFund A Dividend Sold 11/25/09 J5. --Davis New York Venture6. --Van Kampen Equity & Income7. ---Alliance Bemstein Balaned8. ---Growth Fund A merica Inc.

9. --Pimco Com modity Real Return A Dividend Sold 06/20109 JI0. --Pimco Global Multi-Asset A Dividend J B uy 11/25/09 JI 1 . -Columbia Acorn , c la ss C A Dividend J B uy 11/25/09 J1 2 .

1 3 . MUTUAL FUNDS1 4 . Gabel l i Asse t A Dividend K T1 5 . Davis New York Venture A Dividend K T

1 6 . Colm-nbia Acorn Fund CI A A Dividend K T1 7 . Ame rican Ftmds:.Growth Fund of America A Dividend K T


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Name of Person Reporting Date of ReportIN A N C IA L D ISC L O SU R E REPORTJ Aldisert, Rugge ro Z.age 5 of 1 0 0 5 / i 1 /2 0 1 0

VII. INVESTMENTS and TRUSTS -~=o,,~ ~ . = , ~ = t ~ , ~ a ~ , a ~ ~o~ o~,~,~ ,~ ~.a~,~ ~u,~,~: ~ ~ ~ -~ o ~ , , , z ~ . a ~ , ~ )---] NONE (No reportable income, assets, or tra~actions.)

A. B. ~ C. D .~p~a of Ass~ I~o~ ~ng ~ Gr~ v a l u e ~ ~ d T~ ~g ~ing ~

Pla~"~)afl~h~et ~t T~(e.g. Value [ V~ue T~(~g~ ~le Value [Gain ] IdeatiWofex~pt f~m p rior d i sc l~ C ~e I div., ~nt, ~ 2 [ Me~ buy, s~ll, ~J

~e 2 ~ C~ I [ ~yer/sel~rw) ............ .....

1 8 . A m ~ can F~ &: T~ Exem p t CA "F" A Interest K T1 9 . Royce Total Return A Dividend J T20. First Eagle Overseas Fund A Dividend K T21. Franklin Mutual Recovery Fd None Sold 06/30/09 J22. Alliance Bernstein Muni Income A Interest K T23 . Diamond H ill Long-Short Fund A Interest J T2 4 . Bear Stearns Temp Fund A Dividend Sold !06/30/09i J25 . Van Kam pen Strategic Muni None Sold 0(a/30/09 J2 6 . American Funds Fundamental Invs Inc F-1 A Dividend K T27 . Columbia FDS Set Tr None Sold 6/30/09 J2 8 . Alliance-Bemstein Small/MD A Dividend J T2 9 . Pimco FDS None Sold 06/30/09 J3 0 . Van Kampen Equity & Income None Sold 06/30/09 J3 I . Van Kampen Harbor A Dividend J T B uy 07/20/09 J3 2 . Va~Kampen Comstock A A Dividend K T B uy 07/20/09 K

3 3 . Van Kampon High Yield Muni CA A Interest L T B uy 07/20/09 L3 4 . Columbia Maraico 21st Cent A A Dividend J T B uy 07/20/09 K


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N a m e o f P e r s o n R e p o r t in g I D a t e o fF I N A N C I A L p a g e 6 o f 1 0 D I S C L O S U R E R E P O R T AIdisert, R u g g e r o J " I 0 s , ~ i t2 0 1 0v ii . E N V E S T M E N T S a n d T R U S T S - ~ , c o ~ , o , ~ , ~ , t ~ , ~ . a ~ o , ~ a . a . ,~ , h o . e *f sp ..... d ~.de~ c~; ,*e ~ 3 ~ offOing

NO~ ~o reportable income, ~sets, or tra~actions.)A. B. C. D.~ption of~e~ In,me dur ing G~ss vflue at end T~ctions d~ng ~g ~(including ~ ~) ~ing ~fi~ of ~g ~

. . . . ~ i $ I " , " ~ J ........ (I) ~ (I) (2) "[-~-~--y (5 )~;~(X)a~er~h~ ~t T~(e.g., V~e V~ W ~(e.g., D~m Iw~ IG~in 1 l d e n t l t y o fexempt fmm pfiordi~los~ ~e 1 div., ~nt, C~e2 Meth~ buy, sell, ~ I ~e2 I C~e I 1 ~yer/~ller( A - H ) o r i n t . ) ( J - P ) C~ 3 r~ption) l(JP) I (A-tO 1 (if

35 . V~ K~ ln~-T~ Muui A In~e~st K T B uy ~1201~ K

36 . P~CO Unco~in~ Bond A A Interest K T B uy ~/20 /09

37 . Block Rock L iquidity Fed-Fund Select A Dividend J T B uy 09/20/09 J

38 .39 .40 .

41 .42. COMMON STOCKS43 . Johnson & Johnson A Dividend K T44 . Bank of New York Melllon Corp A Dividend K T45 . Pfizer A Dividend Sold 05/!1/09 J B46 . General Electric A Dividend K T47 . IShares FTSE/Xinhau China 25 Fund A Dividend J T48 . Schlumberger LTD A ntilles A Dividend J T49 . Apple. Inc. None J T

50 .51 . INVESTMENT CLUB Mission Impossible C Dividend L TParSers

(See Co lu mm nl a nd 04 ) F ~5 0,0 01 - $ 1~ 0.00 0 G ---$I00,001 - $1,000,000 Il l =$I,000,O01 - $5,~00,000 112 =More titan2. Value Codes J -~$15,000 or less K =$15 ,0 0 1 - $ 50 ,0 0 0 L =$5 0 ,0 0 1 - $ 10 0 ,0 0 0 M ~$100 ,001 - $250 ,000

(See Colu ron s C I a nd D3 ) N =$ 25 0,0 01 - $ 50 0,0 00 O ~$500,001 - $ 1 ,000,0GO PI =$ 1,0 00 ,0 01 - $ 5,0 00 ,0 00 P 2 -$ 5,0 00 ,0 01 -P3 =$2 5 ,0 0 0 .0 0 1 . $ 50 .0 0 0 ,0 0 0 P4 =Mo~ l han $50 , 000 ,000

(See C olum n C 2 ) U =Book Value V =Other W =Estimated


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N a m e o f P c r ~ n R e p o r t in ~ ] D a t e o f R e p o r t

~ONE ~o reportable income, ~sets, or tra~actions.)~pfion of A~ ] l~om d~g G~ v a l u e a t ~ d ~ T~n~ctions during ~ing ~

52 . ---B~s~ Ha~way

5 3 . --Exxon Mobil C o r p

54 . ---Schlumberger Ltd None Sold 11/20/09 J

55 . ---Apple,lnc

56 . ---Nueor Corp.

57 . --United Technologies None Sold 01/20/09 J

58 . --- Bank of America59 . --Chesapeake Energy Corp

60 . -Alcoa A Dividend J B u y 01/20/09 J61 . --Abbott labs A Dividend J B uy 01/20/09 J62 . --BP PLC ADR A Dividend I B uy 03/10/09 J63 . -Caterpillar Inc A Dividend J B u y 03110/09 J64 . ---Cliffs Nat Res Inc A Dividend J B u y 10/20/09 J65 . --Ford Motor Co A Dividend J B u y 11/30/09 J66 . --Johnson & Johnson A Dividend J B uy 11/30t09 J67 . ---Masse), Energy Co. A Dividend J Bu y 11/30/09 J68 . --Annaly Capita l Mang. Co A Dividend J B uy : 11/30/09 J


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FINANCIAL DISCLOSURE REPORT IPage 8 of ] 0[ M d i ~ r ~ R u ~ e ~ J .

05/11~010

~I. ~ST~NTS and TRUSTS - ~ ~.., t~ a~ ~.~NONE ~o reportable income, ~se~, or tr~actions.)

A. B. C . D.~t~n of~e~ Income d~ng G~ vaMe

exmpt fromprior ~los~ ~e I [ div~ ~L C~ 2 [ Meth~ buy, sell, ~y~/~ller(A~2 o r i n t . ) (J-P), C~3 ~ptioa) (J-P) t (A-H) j (if pd~

69 .70 .71 . MONEY MARKET FUNDS72 . UBS Financial Services A I n t e r e s t C l o s e d 01/05/09

73 . Fidelity Muni Money Market A I n t e r e s t L T Bu y 01/05 /09 J(addI)" / 4 . F e d F u n d S e l e c t S h a r e s A I n t e r e s t J Merged 01/01109 J(with line 75)75 . Cantella & Co . Privileged A c c e s s Gold A lnt./Div. J TAccount76 .

77 .

78 . LIFE INSURANCE POLICIES

79. P h o e n i x W h o l e L i fe A Dividend J T8 0 . Transarmetica Life Companies Whole Life A Dividend K T81 . Penn Mutuial Whole Life A Dividend J T82 .

{S~ C~Iu~ C2) U =B~k Value V ~ W =~i~


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VIII . AD DITION AL INFO RM ATION O R E X PLA NA TIO NS. a,,~, ,,~o~a~,~

In Section VII 1 previously erroneous,y listed line 74 as a se parte entity. Rather line 75 is the nam e ofthe account; 74 is the a.c, se! in the accoun t. I will no longermake n~ferenc~ to Line 74Line 17: Add ed family of funds, to wit, American Funds: Growth Funds of Am erica .Line 28: Added family of funds, to-wit, "Ame rican funds: Fundamental Inv. Inc. F-I."


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F IN A N C I A L D I SC L O S UR E R E P O R T N a m e o fP e r m n R ~ p o ~ t n g Dat.fReportPage 10 of 10 A ~ U s e ~ , R u g g e r o J . 0 5 / 1 1 / 2 0 1 0I X . CE R TIF I CATI ON.

I cert ify that all information given abov e (including information pertaining to my spouse and minor or de pendent children, ff any) isaccurate, t rue, and complete to the best of my kno wledge and be lief , and that any information not reported was withheld b ecause it met applicable s tatutoryprovisions permitting non-disclosure~

i further cert ify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance w ith the provis |ons of 5 U.S.C. app. 501 et . seq., 5 U.S.C. 7353 , and Judicial Conference regulat ions.

NOT E : ANY I NDIVI DU AL W HO K NOW I NG L Y AND W I L F U L L Y F A L S IF I E S OR F A I L S TO F I L E T i ll s R E P OR T M AY B E S U B J E C T T O C I VILAND C RIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail s igned o r igina l and 3 addi t ional copies to:

Com m i tt e e on F inanc i a l Di sc lo su reAd minis~a t ive Off ice of the Un i ted Sta tes Cour tsSui te 2-30 1One Colum bus C i rc l e , N.E .W a~shington, D.C . 20544

ruggero j aldisert financial disclosure report for 2009

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