Leval, Pierre N - Judicial Watch€¦ · 0 OSlN E OF AITY S AP ES ' -· " : ' .. -· .. \ FINANCIAL DISCLOSURE REPORT . Repon Required by rhe Ethics AOJO . n Govemet Ace of 1978 Rv.12010

0

POSillQN NAME OF ORGANIZATION/ENTITY

PARTIES ANP TERMS

' -·

"

: '

..

- · .... \

Repon Required by rhe Ethics FINANCIAL DISCLOSURE REPORT AOJO in Government Ace of 1978 Rev.112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§JOI-I JI)

1. Person Reporting (last name, first. middle initial)

Leval, Pierre N.

4. Title (Article IIIjudges indicate active or senior status;

magistrate judges indicate full- or part-time)

Senior

l. Courtor Organization

U.S. Court of Appeals, 2nd Cir

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial Annual

Sb. D Amended Report

D Final

3. Date or Report

5/1512010

6. Reporting Period

01/0112009

to

12131/2009

7. Chambers or Office AddnlSS

40 Foley Square Rm 1901 New York, NY 10007

8. On the basis of the inCormatlon contained In this Report and any modifications pertaining thereto, It is, In my opinion, in compliance with applicable laws and regulations.

Reviewing O!flcer Date

IMPORTANT NOTES: The instructions aecompanying 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. POSITIONS. (Rsponing individual only; see pp. 9-13 offillng instructiom.)

D NONE (No reportable positions.)

I. Council member

2. Trustee, Executor

3. Member - Photography Committee

The American Law Institute

Museum of Modern Art

4.

5.

II. AGREEMENTS. (Reporting individual only; see pp. 14·16of filing instructions.)

[Z] NONE (No reportable agreements.)

I.

C!

; --

:·-··

( ') r q

......, ,.-

(. ..:..)

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LaJ

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2.

3.

Leval, Pierre N.

SOURCE AND TYPE

SOURCE AND TYPE

SOURCE LOCATION PURPOSE

INCOME

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT

Page2of13

Name or Person Reporting

Leval, Pierre N.

Date or Report

5/15/2010

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; m pp. 17-24 of filing instnu:tions.j

A. Filer's Non-Investment Income

0 NONE (No reportable non-investment income.)

(yours, not spouse ' s)

1. February Intellectual Property Visitor - Lewis & Clark Law School -Portland, OR - $5,000.00

2. June

3.

Teaching

Nice International Law Summer Abroad Program - Thomas Jefferson School of Law· Nice, FRANCE -Teaching

$3,000.00

4.

B. Spouse's Non-Investment Income - Ifyou were married during any portion ofthe nporlingyear, comp/de this section.

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

1. Jan-Dec. State St. Cultural Inst. Pension Plan - pension

2.Spring

3. January

4. Sprg/Fall

5. Fall

New York University - teaching

U.S. Institute of Museum & Library Services - arts funding panel

Pollock -Krasner Foundation

Hunger College

IV. REIMBURSEMENTS ·-transportation, lodging,food, entertainm<nl. (fr1c/udes those to spou.te and dependent children; S'f pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

1. American Bnr Assn Feb. 5-7. 2009 Phoenix, AZ Teaching traveinodging/food

2. Copyright Society June 2, 2009 Washington, D.C. Lecture travel/food

3.

4.

5.

SOURCE DESCRIPTION

2.

CREDITOR DESCRIPTION

YALUE

VALUE CODE

5.

FINANCIAL DISCLOSURE REPORT

Page3of13

Name of Person Reporting

Leval, Pierre N.

V. G JFTS. (lncluths tlwse to spouse anddepentknt children; set pp. 28-31 of filing instruclion.s.)

[ZJ NONE (No reportable gifts.)

1.

3.

4.

Date of Report

5/1512010

VI. LIABILITIES. (lncludeathose of spouse and dependent children; see pp. 31-33 of filing instructiona.)

D NONE (No reportable liabilities.)

1. MONY Loan on life insurance policy L

2.

3.

4.

5.

I

I

't,_(_ -t JI

c

Mkti9fii ll:i'l l>

(common); ;j>

I

·--------------------------

--

--�-- ---·---· · --�---�----

(part)

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Name of Person Reporting Date or ReportFINANCIAL DISCLOSURE REPORT

Page4of13 5/15/2010Leval, Pierre N.

VII. INVESTMENTS and TRUSTS -- income, ""Cue, transactions <tncludn those of spouse andthptndent children; see PP· Juooffinng instructions.>

NONE (No reportable income, assets, or transactions.) D A. B.

Description of Assets Income during

(including trus! assets) i reporting period ·--ili--T---i2i-

Place "(X)" after each asset Amount ; Type (e.g., Code I iexempt from prior disclosure div., rent. (A-H) J or int.)

c n Gross value at end Transactions during reporting period jof reporting period

(l) r·-(ll- - -- , (I) (3)-- i" (4) (5) Value I Value : Type (e.g., Date ' Value Gain Identity of

··r-(l) , .

Code 2 j Method ; buy, sell, mmfdd/yy . Code 2 I Code I buyer/seller

(J-P) Code 3 i redemption) 1 (J-P) 1 (A-HJ (ifprivare

(Q-W) : I transaction) -

1.

2.

3.

4_

5.

6.

Abbot Labs (common

Exxon Mobil (common)

Applera Ap plBiosys (ABI) (See Part VIII '")

.

Life Te hnologies

Applera - Celera Gen (CRA) (formerly PE Celera Genomics(com}

E

D

B

Dividend

Dividend

Dividend

None

None

None

0

N

M

K

T

T

T

T

Sold

Sold (part)

Sold (part}

Merged (with line6)

02/24/09

02124109

09/15/09

09/15/09

09/15/09

N

M

M

M

M

G

F

I

7. MRO A Dividend J T

8.

9.

Daimler Chrysler (common)

FMC Money (Dreyfus)

A

A

Dividend

Interest

J

J

T

T

10.

11.

12.

13.

14.

15.

16.

17.

FMC Select Fund

FMC Select Fund - self (See Part VIII **)

. - self

" - self

" - self

.. -self

' - self

" -self

E Dividend

None

None

None

None

None

None

None

N T

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Sold (part)

Buy

Sold (part)

01112/09

01113109

01/29/09

02124/09

03/30/09

04/02109

04/28/09

K

K

J

N

J

J

J

I

L lnaime Gain Codes: A =$1,000 or less B :.$1.00I - $2,500 c =$2.501 - $5.000 D =$5.001 • $15.000 E=StS.001 -$50.000 {Se< Columns Bl and04) F =$50.001- $100.000 G =$100.001 -$1,000,000 HI =S1.ooo.001 - ss.000.000 Hl =More 1han $5.000.000

2 Value Codes J =SIS.000 or le£s K =$15.()01- SS0.000 L =SS0.00! -S 100.000 M =$100,001 • $250.000 (Se< Columns Cl and 03) N =S2S0.001 - SS00,000 0 =$500,001 - $1 .000.000 Pl =St.000.001 • $5,000.000 P2 =$5.000.001 - $25.000.000

P3 =525,000.001 • sso.000.000 P4 =More than $50,000,000 3. Value Me1hod Code• Q AAppcaisa! R =Cost (Real Estaie Onlyl S &.'>rnent T =Cash Market

(Sec Colwnn C2) U =Book Value v ={)jhcf w =Es•imatcd

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0 r-· A. B. c. D.

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Description of Assets Income during Gross value at end i Transaetions during reporting period

\ I I

(including trust assets) l reporting period !-- .. -,--· -- -· of reporting period I

! {!) I (2) (1)Place "(X)" after each asset 1Amount 1 Type(e.g., Value

exempt from prior disclosure I Code! I div., rent, Code2I

I (A-H) I or int) (J-P)

18. "-self None

19, "-self None

20. •-self None

21. "-self None

22. "-self None

23. - self None

24, " - self None

25. •·self None

26. .

·self None

27. " - self None

28. "

-self None

29. " • self None

30. ·self None

31. •self None

32. None

33. None

34. None

I. lnoome Gain Codes: A =Sl.000 or less 8 =Sl.001 - 52.500

(Sec Columns Bl andD4J F =SS0.001 • $100.000 G =SI00.001 • $1,000.000 2. Value Codes J =$15,000or less K =SIS,001 - $50,000

(Sec Colum"' Cl and 03) N =$250,001 - SS00.000 0 =$500.001 • s 1.000,000 P3 =$25.000.001 • $50.000,000

3. Value Method COO.• Q =Appraisal R .Cou (Real E.'il•te Only) (Sec Column OJ U =Book Value V=Other

i""

(I) - (3)·-1 · -(4)-(2) IValue I Type (e.g., Date ! Value I Gain

Method I ""· >l : COO< ' i Cod" Code 3 redemption) : (1-P) 1 (A-H)(Q-W)

-·---

Sold

(part)

Sold

(part)

Sold

(part)

Buy

Sold

(part)

Sold

(part)

Sold

(part)

Sold

(part)

Buy

Sold

(part) Sold

(part)

Sold

(part} Sold

(part)

Buy

Sold

(part)

Buy

Buy

c =$2,501- $5.000

HI =Sl.000.001 - SS.000,000 L =SS0.001 - $100.000

Pl =Sl.000.001-$5.000.000 P4 =More than SS0.000.000 s =Asse$stnent w =Estimated

05/28/09

06/08/09

06129109

07102/09

07/30/09

08128/09

09101/09

09/28/09

10/02/09

10/28/09

11123/09

12128/09

12/29/fY)

12/31/09

02124109

04102109

07102109

' '

J

K

J

J

J

J

J

J

J

J

J

J

K

J

M

J

J

D=SS.001-$15.000

Ill =Moie than $5.000.000

M =SI00,001 - $250.000 P2 =SS,000.001 - $25.000.000

T o=Cash Market

(5)Identity of

buyerlsellcr(ifprivate

transaction) ' ,_..____,..J

1i;

E =$15.001 - SS0.000

Date of Report Name of Person Repor11ng FINANCIAL DISCLOSURE REPORT Page 5of13 5/1512010Leval, Pierre N.

VII. INVESTMENTS and TRUSTS - ineome, value, transactions (lnchldes those of•puuse and dependtnl children; Stt pp. 34-60 of filing instructions.)

NONE (No reportable income, assets, or transactions.) ·--·--··--- 1

.L (4)

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Date of Report Name of Person Repoa1ingFINANCIAL DISCLOSURE REPORT

Page 6of13 5115/2010Lev11l, Pierre N.

VII. INVESTMENTS and TRUSTS - income, val .... , transactions (Jn eludes those of spouse and dependerrt children; Ue PP• 34-60 of filing instructions.)

D NONE (No reportable income, assets, or transactions.) -- A. B.

Description of Assets Income during

{including trust assets) reporting period !·-----·· ------ --· ·---··· ! (I) (2)

Place "(X)" after each asset 11Amount I Type (e.g •• eKempt from prior disclosure Code I div.• rent,

I (A-H) I or inL) , I

--r----·---------- -----·-----------Ic. : D. Gross value at end I Transactions during reporting period I of reporting period

- ·-<1>- ---1- (2) (1) "' T"j (5) Value I Value Type (e.g., Date Value Gain Identity of

Code 2 Method buy, sell, mmldd/yy : Code 2 Code 1 buyer/seller

(J-P) Code 3 redemption) : (J-PJ (A-H) (if private CQ-W) transaction)

---- ----- _______!I 35. None Buy 10/02/09 J

36. n None Sold 12'29/09 K (part)

37. None B uy 12131/09 J

38. Lincoln St Realty (limited partnershlp) None J w

39. Hershey (common)(s) B Dividend T Sold 02/24/09 K E {part)

40. Smith Barney Liquid Res Fund (common) B Dividend K T (s)

41. Gen. American Inv. (common) (GAM) (s) c Dividend M T

42. Chase Bank (acccount) (s) A Interest J T

43. Chase Bank account self None M T

44. Citibank account None J T

45. Art Works None L w

46. Chase (Bank of NY) account (trust) None J T

47. Vanguard GNMA Fixed Income Fund {trust c Interest L T

48. FHKCX A Dividend J T Sold 01/12109 J (part)

49. FEMKX A Dividend J T Sold 01/12109 J (part)

50. FSMAX A Dividend J T Sold 01/12/09 K (part)

51. FLGEX A Dividend J T Sold 01112/09 J (part)

!.Income Gain Codes: (See Columns Bl and 04)

A =$1.000or less f=$50,001 • SI00.000

B =$1.001 • S2.SOO G =$100.001 -$1.000.000

C =$2.SOI - $5,000 HI =Sl.000.00l • SS.000.000

0 =$5.001 • $15,000 H2 =Mon: than $5.000.000

E =SIS.OOt • SS0.000

2. Valoe Codes J =$15.000 <>rlesa K =$15,001 -SS0,000 L :$50.001 • $100.000 M =$!00,001. $250.000 (SecColumruCl and03J

3. Value Method Codes

N=S250.00l -SS00.000 P3 -$25,000,001 • .$50.000,000 Q ..Appraisal

0=$500.00l · Sl.000.000

R =Cost (Real Estate Only)

Pl =$1.000.001-$5,000.000 P4 =More ll1an SS0.000.000 S A."""-<ment

P2=SS.000.00l · S2S.OOO.OOO

T =Cash Market (Sec Colwnn Cl) U •Book V aluc V =Other W =Estimated

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----

5/1512010

Name or Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT Page 7of13 Leval, Pierre N.

VII. INVESTMENTS and TRUSTS .. income, value, transactions (Includes those ofspouse and deptndent children; SU PP· 34 0of filing instructions.)

0 NONE (No reportable income, assets, or transactions.) I! A. B.

Description of Assets Income during

(including trust assets) I reporting period I __ -(2i -'II Place "(X)" after each asset I Amount ,1• Type (e.g., exempt from prior disclosure i Code 1 div.• rent,

I (A-H) ! or int.)i j

c. D. Gross vlllue at end Transactions during reporting period

of reporting period -- ii) . -, ··-cil·-· (I) 1- c2> - c3) - £4> <s>

Value Value Typc(e.g .• Dale · Value Gain Identity of Code 2 Method buy, sell, mm/dd/yy I Code 2 Code I buyer/seller

(J-P) Code3 redemption) I {1-P) (A-H) (ifprivatei (Q-W) I : transaction) jL.....----------·----·---'

52. HGOCX

53. ffiSAX

54. HNSCX

55. HIOCX

56. HCACX

57. IGINCX

58. TILFX

59. VTRIX

60. FNYXX

61. Alabama 5.25 bond 1111115

62. California 4.90 bond

63. Detroit 5.5 bond

64. E. Rochester 5 .3 75 bond

65. E. Rochester 5.00 8/15127

66. Fannington 5.7 bond

67. Kentucky 6.0 bond

68. Mahoning 5.5 bond

None

None

None

None

None

A Dividend

A Dividend

A Dividend

B Interest

A Interest

c Interest

B Interest

D Interest

c Interest

B Interest

c Interest

B Interest

J

J

J

J

J

J

K

J

0

K

L

M

L

K

L

K

T

T

T

T

T

T

T

T

T

T

T

T

T

T

T

T

Sold

(part)

Sold

{part)

Sold

(part)

Sold

(part)

Sold

(part)

Sold

(part)

Sold

(part)

Buy (add'!)

Buy (add'!)

Buy

Sold

Buy

Sold

{part)

01/13/09 J

01/13/09 J

01113/09 K

Olfl3/09 K

01/12/09 K

01/13/09 J

01113/09 J

01/14/09 M

05122109 J

03/03/09 L

04/22/09 L

04122109 L

10/01/09 J

2. Income Gain Coda: A =$1.000 or !cu II =Sl.001-S2.500 C =$2.501 • SS.000 (Sec CDlumns BI and D4J F=SSl>.001 • $100.000 G=$100.001 ·Sl.000.000 HI =$1.000.001 ·SS.000.000

2. Value C-Odts I =Sll.000 or loss K =SIS.Olli• $50.000 L=SS0.001-$100.000

(Sec Columns Cl ond 03) N =$2l0.00l • $500,000 0 =$500,001 • s 1.000.000 Pl =$1,000,001 • $5.000.000 P3 :$25.000.001 • $50.000,000 P4 =Mon: lhllll SS0,000.000

3. Val11e Motbod Cedes Q=Appnisal R =Cost(Rcal Estate Only) S =Assessment (See Column C2) U=BookValuc V=Other W=Estimat.d

D =$5.001 • SIS,000 E=SIS.001 · $50.000 H2 =Mo"' thM $5,000,000 M =S 100,00I • $250.00J P2 =SS.000.001 • $25.000,000

T=CashMarkct

-----------------

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- !-----�----�- -- ___ __,_l __ -'-__ 1_ran_sac_t_io_n_> _

(part)

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--------· ----1

A. Description ofAssets (including truSt assets)

! Place "(X)" after each asset

exempt from prior discl sure

I'----

69. NY MTA 5.25 4/1/14 bond

70. .

71. NY MTA 5.0 7/1/15 bond

72. NY MTA 5.625 7/1/16 bond

73. Michigan Hosp. 5.0 8/1122 bond

74. Mission Viejo 6 bond

75. Mississippi Hosp. 5.25 5115126 bond

76. Muskingum 5.4 bond

77. NYC 5.375 6/1123 bond

78 .

79. NYS Bridge 5.125 111/12 bond

80. NY Dorm 5.1 2115/26 bond

81. NY Dorm 6.45 8/15124 bond

82. NY Dorm 5.25 8/1/25 bond

83. NY Dorm 5.25 8/1/19 bond

! 84. "

85. NY Donn 5.25 811119 bond

t. Income Gain Codes:: A =SI ,000 or less (Sec Columns Bl andD4) F =SS0.001- $I 00.000

2. V;11ucCode! I =$15.IJOOorlcss

(Sec Columns Ct and 03) N =$250,001 - S500.000

B. c. Income during Gross value at end reporting period of reporting period

D. Transaclions during rcponing period

- -- '- �: •---- ;::e.g.,- -- - ! c- J �� r : -- lde :yof i Code I div., rent. Code 2 Method buy, sell. mm/dd/yy : Code 2 I Code I buyer/seller! (A-H) i or inL) (J-P) Code 3 redemption) (J-P) I

(A-H) (if private

D Interest M T Buy 03/05/09 L (add'))

None Buy 07/14/® K (add'!)

D Interest M T

c Interest L T

c Int.erest L T Buy 03/04/09 L

c Interest L T

B Int.erest L T Buy 07/17/09 L

B Interest K T

D Interest M T Buy 111\E/09 L

None Buy 12102109 K (add'!)

B Interest K T

D Interest M T

D Interest M T

D Interest M T

D Interest M T Buy 03/04/W L (add'!)

None Sold 0'2102/W J

None Sold 08103/@ J (part)

8 =S UJOI • $2.500 c =$2.501 -$5.000 D =$5.001 - $15,000 E =$15.001 • $50,000 G =SI00.001 • Sl.000,000 HI =Sl.000.001-SS.OOO.OOO H2 =Mon: Chan $5.000.000

K =$15,001 • $50.000 L=S50,00I -$100.000 M =SI00,001 -$250.000

0=$500.00 I - Sl.000.000 Pl =$1.000.00t - $5.000,000 P2 =SS.000.001 - $25.000.000 Pl =$25.000.001 - $50.000.000 P4 =More thall $50.000.000

3. Value Method Code,, Q=Appraisal R ..Cost(Rcal Estate Only! S .;::Assessment T =Cash Market

(Sec Column C2) U=Book Voloe V=O!her W:Estimated

FINANCIAL DISCLOSURE REPORT Page 8of13

Name of Person Reporting

Leval, Pierre N.

Date ofReport

5/1512010

VII. INVESTMENTS and TRUSTS - income, ,,,,Jue, transaction• <1nctudes those ofspouse am1 depent1en1 children; see PP· Juo of filing in•rmction•.)

D NONE (No reportable income, assets, or transactions.) ·i----·-

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Date of ReportName of Person Reporting FINANCIAL DISCLOSURE REPORT Page 9of 13 5/15/2010Leval, Pierre N.

VII. INVESTMENTS and TRUSTS - income, •alue, trans1U:tions (/ncbulesthose of spouse and dependent children; see PP· 34-60 of filing instructions.)

NONE (No reportable income, assets, or transactions.) D ...

I A. B. Description of Assets Income during

I (including trust assets) reporting period

(ii -r - (2)--

Place "(X)" after each asset Amount i Type (e.g., •exempt from prior disclosure Code I div., rent.

(A-H) ! or int.)

c. D. Gross value at end Transactions during reporting period

of rcponing period

"' - ,-ii, (4) (5)Type (e.g., Dale i Value Gain Identity of

buy, sell. mm/ddl)ly Code 2 Code I buyer/seller

{J-P) Code 3 redemption) , (J-P) (A-H) (if private

(Q-W) transaction)

··=�,-����-- - "'

86.

87.

88.

89.

90.

91.

92.

93.

94.

95.

96.

97.

9&.

99.

100.

101.

102.

NYDonn 5.45 8/1/29 bond

NY Dorm 5.5 8/1/38 bond

"

NYDorrn5.42/1/31 bond

NYDorm 5.625 811122 bond

NY Dorm 6.25 211/36 bond

NY Dorm 5.75 811/24 bond

NY Dorm 5.375 2/l/I7 bond

NY Dorm 6.0 811135 bond

NY Dorm 5.375 811127 bond

NY Dorm 5.0 bond 4/1/12

NY Dorm 5.45 8/1/35 bond

NY Donn 5.45 8/1/27 bond

H

NY Dorm 5.0 211/18 bon<l

NY Dorm 5.0 211128 bond

NYS Energy 5.5 bond 1/1/21

c Interest L T Buy 08/01/09 L

D Interest M T Buy 03/03/09 L

None Buy 03104/09 (add'l)

D Interest M T

D Interest M T

D Interest M

D Interest M T

c Interest L T

c Interest Sold 07109109 M

c Interest Sold ll/12109 L

c Interest L T

B Interest L T Buy Cl7/21/09 L

D Interest M T Buy 03/03/09 L

None Buy 03104109 K (add'!)

Interest L T Buy 03/03/09 L

B Intere.. t L T Buy 02/04/09 L

B Interest L T

' I. Income Gain Codes: A =$1,000 or lesa B =Sl.001 • $2.SOO C =S2,SOJ - $5,000 D =$5.001-Sl .OOO E =$15.001 - $50.000

(See Column• BI and 04) F =SS0.001 - $\00.000 G =$100,001- $1.000.000 HI =Sl.000.001-$5.000.000 H2 =More than $5.000.000

2. ValucCodca J =SIS,000 or less K =SIS.DOI - SS0.000 L =S50Jllll - SI00.000 M =S 100.001 - $250.000 (See Columns Cl and 03) N =$250.00I - $500.000 0 =SSOO.OO I • $1,000.000 Pl =Sl,000.001 • $5,000.000 P2 =$5.000.001 • $25,000.000

P3 =S2S.000.00I • SS0.000.000 P4 =Mon: than $50,000.000

3. Value Method C()dd R =Cost (Real E.•tate Only) S= nl T =Cash Market (Sec Column C2) U=BookValue V =Other W=Esrimaled

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; (Q-W)

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 10of13 5/15/2010Leval, Pierre N.

VII. INVESTMENTS and TRUSTS - income, value, 1ransact1011s r1nctude• those of spouse anddependent children; see PP· 34-tio of filing instructwns.J

0 NONE (No reportable income, assets, or transactions.)

B. D. Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) , reporting period of reporting period - ;r (i)_r_ ·(2>-- 1 · -<1)·-r··-(il (I) (2) ' (3) ' (4) -

(5) I Plaoe "(X)" after each asset ; Amount I Type (e.g.. Value Value Type (e.g., Date Value ! Gain Identity of i

exempt from prior disclosure i Code l I div., rent. Code 2 Method buy, sell, mm/dd/yy . Code 2 ! Code I : buyer/seller f (A·H) 1 or int.) (J·P) Code3 redemption) : (J·Pl J (A-H) ' (ifprivate :-------r:·-·- - "'--· - - -------

103. NYS Envir. 5.125 bond 6/15/19 MInterest TD

104. NYS Urban 5.5 bond 7/1/16 T Sold 06/01/09B Interest K J (part)

105. Norfolk 5. 75 bond 1111/13 Interest Tc L

106. NC Med 5.5 bond 10/1124 Interest L Tc

107. NC East Mun 5.5 bond 111121 Interest M T Buy 03/03/09 LD (add'!)

i 10s. Peninsula 8. 7 bond 8/1/23 Interest K Tc i

109. RI Dep 6.0 bond 811117 Interest L Tc

llO. RIS Health 5.5 bond 5fl5/16 Interest TLc

ll I. Sacramento 5.0 bond 1211116 c Interest TL

112. St. Paul 5.S bond 1111123 Interest L Tc

[ !13. Triborough 5.25 1/1113 bond Interestc L T

114. Triborough 5.25 1/l/14 bond Interest MD T

Jl5. Washington 5.25 811123 bond Interest MD Buy 03/04/09 M

116. NY Donn 5.375 2/1117 bond c lnterest Buy 01/07/09 M

" 117. None Sold 11/12/09 M

ll8. Califor. 4.9 c Interest L T Buy fJ2./03/09 L

119. NY MTA 5.25 4/1/14 bond-·J;j Interest Tc

I. lnromc Clain Codes1 A =Sl.OOOor lcS5 B =Sl.001 • $2.SOO C =12.50 I • $5.000 0 =SS.001 • SIS,000 - . . - • E=SIS.001 •

1 ! . , trJ.ns;terion) :. .. )..:.______ I __ '

$50.000 (See Col•mm BJ and 04) f'=SSO.OOl ·SI00.000 0 =SI00,001 St 000 000 HI :$1.000.001 $5.000,000 H2 =Moreman $5.000.000

2. Value Codes J =$15.000 or less K =$15.001- $50.000 L =SS0,001 -$100.000 M =$100,001 $250.000 (See Columns Cl and 03) N =$250.001 • $500.000 0:$500.001-$1.000.000 Pl =Sl,OOO.OOl -$5.000.000 P2 =SS.000,001 - $25.000.000

P3 =$25.000.001 • $50.000.000 P4 =M0<e lhan $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Est•te Only) S =Asses&mcnt T =Cash Market (See Column C2) U =Book Value V =Olher w =Estimaled

i-------A-. ------r·--n.--

1

I --- --- ----- ----·

8/15126li: ;flll

-;Rj J

bondiJ:fJ&f!ll9ill5/13

.. /f!I

-lllfl

bom:J. A,al L T

-fill

8/1138 \JI

boncla<rJ

bond!¥i;

bondMLil T

-lllfl L

-ii."11

bond-J

-118

I

I

FINANCIAL DISCLOSURE REPORT Page 11of13

Name of Person Reporting

Leval, Pierre N.

Date of Report

5/15/2010

VII. INVESTMENTS and TRUSTS - inco,,.,,, wz1.,., 1ransac1ions <1nc1uths 1hose ofspouse and dependen1 chfldren1 see pp. 34-60 of filing instructions.>

D NONE (No reportable income, assets, or transactions.) c. -n,------------·:

Description of Assets (including trust assets)

Income during Gross value at end Transactions during reporting period

Place "(X}" after each asset exempt from prior disclosure

1 reporting period of reporting period I :-·<l)_T __ (2) (1) r <2i"" T (I) (2) .. (3)- ·1 c4i-IAmount i Type (e.g., Value

1 Value i Type (e.g.. Date i Value ) Gain

'! Code I \ div., rent, Code 2 Method i buy, sell, mm/dd/yy 1Code2 iCode I !1

(A-H) or inL) (J-P) Code3 ) redemption) (J-P) 1 (A-HJ

(Q-W) : i____L_,

120. Michigan 5.75 B Interest K T Buy 10/02/09 K

121. Muskingum 5.35 bond A Interest T Sold 02/17/® J (part)

! 122. NYC Mun 5.75 A Interest K T

123. NYC Ind. 5.375 6/1123 bond B Interest L T Buy 11/09/09 L

124. NY Dorm 5.1 2115/26 bond c Interest L T

125. NY Donn 6.45 8115124 c Interest

126. NY Dorm 5.25 8/J/25 bond c Interest L T

127. NY Dorm 5.5 B Interest L T Buy 03/03/® L

128. NY Donn 5.375 811127 B Interest Sold 11/12109 L

129. NY Dorm 5.375 211117 B Interest K T Buy 01/12109 K

130. NY Donn 5.0 211112 B Interest K

131. NY Donn 5.0 2/1/28 bond c Interest L T Buy 03/03/W

132. Norfolk 5.75 bond c Interest L T

133. North Car. 5.5 111121 c Interest L T Buy 03/03i09 L

134. RI Health 5.5 bond c Interest L T Buy 06/03/09 L

135. New Providence Assoc. LP fund self None N T Buy 09/01/® N

136. JPMorgan Tax Free Bond VANTX self A Interest K T Buy 10/09/09 K

I. Income Gain Codes: A =-S 1 000 or lel!..."I B =S!.001 • $2,500 c =$2.501 - $5.000 () =$5.001 - SIS,000 {See Column• 81 and D4) I' =$50,001- $100,000 G =$100.001 - Sl.000.000 H l =$1,000.00 I - SS.000.000 H2 2Morc than $5.000.000

2. Value Codes I =$15.000 or I= K =$15,001- SS0.000 L =$50.001 • S 100.000 M :$100,001 • $250.000 (See Columns Cl and DJJ N =$250.001 • $500,000 0 =$500.001 -$1.000.000 Pl =Sl.000,001 - SS.000.000 P2 =$5.000,001 - $25.000.000

P3 =$25.000.001- $50.000.000 P4 =Morelhan $50.000.000 3. Value Melhod Codes Q =Appniisal R =Cost (Real &tate Only) S =Assessment T =Cash Market

(Sec Column Cl) U =Book Value V =Other W=Estlmaled ·----

(5) Identity of

buyer/seller(if private

transaction)

E =$15.001 • SS0.000

·-------

I

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 12of13 Leval, Pierre N. 5/15/2010

VID. ADDITIONAL INFORMATION OR EXPLANATIONS. and1ca1epartofReport.)

* My end of year holding for this security is reported in Column C of Line 5, addressing the security I received on account of merger.

** The audit function comments in relation to numerous lines in which I report additional purchases and partial sales that "Column C( I) and C(2) should be completed for each asset owned on the last day of the repiort period." On the first line relating to each asset, I have filled in Column C showing my holding in that asset at the close of the year. Repeating that information on subsequent lines that report an additional purchase or a partial sale of that asset would result in double counting.

Page 13of13

Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT 5/1512010Leval, Pierre N.

IX. CERTIFICATION.

I certify that all Information given above (including information pertailling to lily spouse and lllinor or dependent children, trany) 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-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U .S.C. app. § 501 et. seq., S U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDMDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE TIDS 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. Washington, D.C. 20544