FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010 Report Required by the E thics in Government Act of 1978 (5 U.S.C. app..~¢~q 101-111) 1. Person Reporting (last name, first, middle initial) Leval, Pierre N. 4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time) Senior Circuit Judge 7. Chambers or Office Address 40 Foley Square Rm 1901 New York, NY 10007 2. Court or Organization U.S. Court of Appeals, 2nd Cir 5a. Report Type (check appropriate type) ] Nomination, Date [] Initial [] Annual [] Final 5b. [] Amen ded Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and r e g u l a t io n s . Reviewing Officer Date 3. Date of Report 5/15/2011 6. Reporting Period 01/01/2010 to 12/31/2010 IMPORTANT NOTES: The instructions accompa nying this form must be followe~L C omplete ali parls, checking the NONE box for each part where you have no reportable informatior~ Sign on last page. I. P O S I T I O NS. me~,oning indivi,taal only; se, ~,~,. 9-~ of filing instructions.) D NONE (No reportablepo sitions.) POSITION 1. Council member - Emeritus NA ME OF ORGANIZATION/ENTITY The American Law Institute 2. T~stee, Executor ~~ 3. Member - Photography Comm ittee Museum of Modem Art 4. 5. I I . AG REEM ENT S. (Reporting individual only; seepp. 14-16 of filing instructions.) ~] NONE (No reportable agreements.) DATE PARTIES A ND TERMS Leval Pierre N.
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Pierre N Leval Financial Disclosure Report for 2010
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8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
I II . N O N - I N V E S T M E N T I N C O M E . meportl.g individualandspouse; seepp. ~-24 of filing instructions.)
A. Filer’s Non-lnvestment Income
~] (No reportable non- investment income.)ONE
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 - if you were married d uring anypo rtion of the reportingyear, complete this section.
(Dollar amount not required except for honorar ia . )
~ N O N E ( N o reportable non-investment income.)
DATE S O U R C E A N D T Y P E
1. Jan-Dec. Sta t e S t . Cu l tu ra l Ins t . P ens ion P l an - p e n s i o n
2 . Ja n .-D e c. P o llo ck-K ras n e r F o u n d a t io n - ad vis o ry
3. Jan. Colu m b ia Unive rs i ty - l ec tu re
4.
IV . R E I M B U R S E M E N T S -transportation, lodging, food, entertainment.
(Includes those to spouse and dependent children; see pp. 25-27 offifing instructions.)
~] N O N E (No reportable reimbursements.)
SOURCE DATES LOCATION PURPOSE
1 . U n ivers ity o f So uth e rn 3 /20 - 3 /28 L o s A n g e l e s , C a l i f o m i a T eachC a l i f o r n i a
2. Univers i ty of H ou s ton 6/03 - 6 /06 Sa n ta F e , N e w M e xico L e ctu re an d a t ten d T r a v e l a n d l o d g i n gc o n f e r e n c e
3. E u ro p ea n U n ive rs ily In s t itu te 10/15 - 10/I 6 Flo re n ce , Ita ly L ecture an d a tten d T r a v e l a n d l o d g i n gc o n f e r e n c e
4.
5.
ITEMS PAID OR PROVIDED
Travel and lodging
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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 , t ransac t ions ( In c ludes those of spouse a nd depend ent chi ldren; see pp. 34-60 of f i l ing ins t ruc tions . )
--’-] N O N E (No reportable income, assets, or transactions.)
A. B. C.D e s c r i p t i o n o f A s s e t s Income dur ing G r o s s v a l u e a t e n d
( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d
O) ( 2 ) (l) (2)
Place ,(X)" af ter each asset A m o u n t T y p e ( e . g ., Value Valueexempt f rom p r ior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d
( A - H ) o r i n t . ) ( J - P ) C o d e 3
( Q - W )
( 1 )
Type (e.g.,
buy, se l l ,
redempt ion)
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)
D a t e V a l u e G a i n
mm /dd/yy Code 2 C o d e 1
(J-P) ( A - H )
(5 )
I d e n t i t y o f
buyer/seller
( i f p r i v a t e
t r a n s a c t i o n )
I. A b b o t L a b s ( c o m m o n s t o c k ~ ~ ; : , ; ; - * E
2. E x x o n M o b i l (c o m m o n ) ’ D
D i v i d e n d O
D i v i d e n d N
T
T
So ld(par t )
10/15/10 J
3. L i f e T e c h n o l o g i e s - C o m m o n N o n e M
4. A p p l e r a - C e l e r a G e n ( C R A ) ( f o r m e r l y P EC e l e r a G e n o m i c s ( co m )
N o n e
5. M R O A D i v i d e n d J
6. D a i m l e r C h r y s l e r ( c o m m o n ) A D i v i d e n d J
7. FMC Money Mkt~"~’~/~/z~ (Dreyfus) A I n t e r e s t J
8. F M C Se lec t F u nd (com mon)~ ~, ~: .o ~ i , . ; ~ C Div id en d N
9. FMC Se lec t Fund - se l f (See * in Pa r t VI I I) N o n e
1 0 . N o n e
1 1 . "-self N o n e
1 2 . "- self N o n e
1 3 . "-self N o n e
1 4 . "-self N o n e
1 5 . "-self N o n e
1 6 . "-self N o n e
1 7 . "-self N o n e
S o l d
(p a n )
S o l d(p a n )
Sold
(par t )
B uy(a d d ’ l )
S o l d(p a n )
Sold
(par t )
Bu y
(a dd’ l )
S o l d(p a n )
Bu y
( a d d ’ l )
01/28/10
02/25/10
03/30/10
04/01/10
04/28/10
05/28/10
06/11/10
06/28/10
07/01/10
J
J
J
J
J
J
J
J
J
1 . I ncome G ain Codes : A = $ 1,000 or less B = $ 1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000
(S e e C o lu mn s B I a n d D4) F = $ 50,001 - $100,000 G =$ 100,001 - $1,000,000 H 1 = $1,000,001 - $ 5,000,000 H 2 = Mo re th an $5,000,000
2 . Va lu e C o d e s J $1 5, 0 0 0 or l css K=$15,001.$50 ,000 L $50 , 0 0 1 -$1 0 0 , 0 0 0 M=$100,001-$250 ,000
(S e e C o lu mn s C I a n d D3) N $250 , 0 0 1 -$50 0 , 0 0 0 O=$500,001-$1 ,000 ,000 P I - $ 1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 P 2 =$ 5 ,0 00 ,0 01 - $ 25 ,0 00 ,0 00
P3 = $25,000,001 - $50,000,000 P4 -More than $50,000,000
3. Va lu e Mc tho d C o d e s Q = Appr a i sa l R -C o s t (Re a l Es ta te On ly) S =A sse ssme n t T =C a sh Ma rke t
(S e e C o tu mn C 2) U =B o o k Va lu e V Othcr W =Es t ima te d
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a ~ . e , 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.Descr ipt ion of Assets Income during Gross va lue a t end
(including trust assets) rep orting period o f reportin g p erio d
(1) (2) (1) (2)
Place "(X)" af ter each asse t A mo un t Typ e (e .g ., Value Value
exempt f rom p r ior d isc losure Code 1 div., rent, Code 2 Method
(A-H) o r i n t . ) ( J - P ) Code 3
(Q-W)
( 1 )
Type (e.g.,
buy, sell ,
redempt ion)
Transact ions d ur ing repor t ing per iod
(2) (3) (4)
Date Value Gain
m m /d d /y y Code 2 C o d e 1
( J - P ) (A-H)
Identity o f
buyer/se l le r
( i f p r i v a t e
t r a n s a c t i o n )
1 8 . "-self
1 9 . "-self
20 . "-self
21 . "-self
22 . "- self
23 . "-self
24 . "-self
25 . "-self
26 . "-self
27 . "-self
28 . "-self
2 9 .
33 .
34 . Lin co ln S t . Rea l ty ( l im i ted p ar tn ersh ip )
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
N o n e
S o l d
(part)
S o l d(part)
S o l d
( p a r t )
S o l d(part)
B u y
(a d d ’ l )
S o l d(part)
S o l d(par t )
S o l d
(par t )
Sold
(par t )
B u y
(a d d ’ l )
Sold
(part)
B u y( a d d ’ l )
B u y
(a d d ’ l )
B u y(a d d ’ l )
B u y
(a d d ’ l )
B u y(a d d ’ l )
W
07/28/10
08/30/10
09/09/10
09/28/10
10/01/10
10/15/10
10/28/10
11/29/10
12/28/10
12/31/10
12/23/10
04/01/10
05/20/10
07/01/10
10/01/10
12/31/10
J
J
J
J
J
J
J
J
J
J
K
J
J
J
J
1 . I ncome G ain Codcs : A =$1,000 or Icss B = $1,001 - $ 2,500 C = $2,5 01 - $ 5 ,000 D = $5,001 - $15,000
(S e e C o lu mn s B I a n d D4) F = $ 50,001 - $100,000 G = $100,001 - $1,000,000 H 1 = $1,000,001 - $5 ,000,000 H2 = M ore th an $ 5,000,000
2 . V alue Codes J $1 5.0 0 0 or l ess K = $15,001 - $ 50,000 L = $50,001 - $100,000 M =$100,001 - $250,000
(S c e C o lu mn s C I a n d D3) N $25 0 , 0 0 1 -$50 0 , 00 0 O=$500,001-$1 ,000 ,000 P 1 = $ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 = $ 5, 00 0, 00 1 - $2 5, 00 0, 00 0
P 3 $25 ,000,001-$ 50 ,000 ,000 P 4 M o re th a n $5 0,000 ,0003. Va lu e Me tho d C o d e s Q = Appr a i s a l R = Cos t ( R eal E s t a t e O nly ) S =A sse ssme n t T =C a sh Ma rke t
(S e e C o lu mn C 2) U = Book V alue V Other W =Es t ima te d
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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; see pp. 34-60 of.filing instructions.)
D N O N E (No reportable incom e, assets, or transactions.)
A. B. C.D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g Gross value at en d
( i n c l u d i n g t r u s t a s s e t s ) r e po rt in g p erio d o f r e po rt in g p er io d
(1) (2) ( 1 ) (2 )
Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Value
exempt from prior disclosure C o d e 1 div. , r e nt , C o d e 2 M e th o d
( A - H ) or i n t . ) (J-P) C o d e 3
( Q - W )
35 .
36 .
37 .
38 .
39 .
40 .
41 .
42 .
43 .
44 .
45 .
46 .
47 .
48 .
49 .
50 .
51 .
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
Hershey (common~ S,~ B Dividend L T
Smith Barney Liquid Res Fund (common) B Dividend K T
Ge n. Ame r i can Inv . (comm on) (GAM ) ~ C Dividend M T
Chas e Bank ( a cccount )~ A I n t e r e s t J T
C h a s e B a n k a c c o u n t~ None L T
Citibank a ccount None J T
Art Works None L W
Chase bank account (trust) None J T
Vanguard GNMA Fixed Income Fund (trust~ C I n t e r e s t L T
F H K C X A Div id en d K T
F E M K X A D i v i d e n d J T
F U S V X ( f o r m e r l y F SM A X ) A D i v i d e n d J T
(l ) (2) (3)Type (e.g., D a t e V a l u e
bu y , s e l l , mm/dd/yy C o d e 2
r e d e m p t i o n ) (J-P)
F L G E X A D i v i d e n d J T
H G O C X None J T
I H S A X None J T
H N S C X A D ivid en d J T
H I O C X A D i v i d e n d J T
( 4 ) ( 5 )
Gain Identity of
Code 1 buyer/se l le r
(A-H) (if private
t r a n s a c t i o n )
1. I ncome G ai n Codes: A = $1,000 o r less B = $1,001 - $2,500 C = $ 2,501 - $ 5 ,000 D = $ 5,001 - $ 15,000
( See Column s B 1 and D 4 ) F =$ 50,001 - $100,000 G =$ 100,001 - $ 1,000,000 H 1 - $1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 H 2 = M o re th a n $ 5 ,0 00 ,0 00
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 Co lum ns C 1 an d D 3 ) N =$250,001 - $500,000 O =$5 00,001 - $1,000,000 P 1 = $1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000
P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3. Va lu e Me tho d C o d e s Q = Appr a i s a l R = Cos t ( R eal E s t a t e O nly ) S =A sse ssme n t T =C a sh Ma rke t
(S e e C o lu mn C 2) U = Book V alue V - O t h e r W =Es t ima te d
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , , e , v a l u e , t r a n s a c t i o n s (lncludes those of spouse and dependent children; see pp. 34-60of filing instructions.)
---] N O N E (No repo rtable income, assets, or transa ctions.)
A. B. C.Descr ipt ion of Assets Incom e during G ro ss value a t end
(including trust assets) rep orting period of reporting period
(l) (2) (1) (2)
Place "(X)" af ter each asse t A mo un t Typ e (e .g ., Value Va lue
exempt f rom p r ior d isc losure Code I div., rent, Co d e 2 Metho d
(A-H) o r i n t . ) (J-P) Code 3
(Q-W)
(1 )
T y p e ( e . g . ,
b u y , s e l l ,
redemption)
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)
D a t e Value Gain
mm/dd /yy C o d e 2 Code 1
( J - P ) (A-H)
(5 )
I d e n t i t y o f
b u y e r / s e l l e r
( i f p r i v a t e
t r a n s a c t i o n )
52 . H C A C X N o n e K
53 . I G N C X N o n e J
54 . T IL F X N o n e K
55 . V T R I X A D i v i d e n d J
56 . F N Y X X B Interes t O
57 . A l a b a m a 5 . 2 5 b o n d 1 1 / 1 /1 5 C Interes t L
58 . C a l i f o m ia 4 . 9 0 b o n d C Interes t
59 . El izabe th to n 7 .00 7 /1/20 C Interes t M
60 . Jackso n v i l l e 5 .375 8/15/23 B Interes t M
61 . " (See * in P ar t VIII ) N o n e
62 . Bd . Man . Guad alup e* 5 .375 8/15/27 A Interes t M
63 . " (See * in P ar t VIII ) N o n e
64 . " N o n e
65 . E . R o c h e s t e r 5 . 3 7 5 b o n d D Interes t M
66 . E. Ro ches te r 5 .00 8/15/27 D Interes t L
67 . F a r m i n g t o n 5 . 7 b o n d B Interes t
68 . Ken tucky 6.0 bo n d 10/1/19 D Interes t L
T
T
T
T
T
T Bu y 08/26/10 L
(ad d ’ l )
So ld 12/30/10 L
T Bu y 01/l 1/10 M
T Bu y 01/15/10 L
Bu y 05/28/10 K
(ad d ’ l )
T Bu y 07/15/10 K
Bu y 08/03/10 L(ad d ’ l )
Bu y 10/25/10 K
(ad d ’ l )
T
T
So ld 06/09/10 K
T Sold 10/01/10 J(par t )
1. I n c o me Ga in C o d e s : A = $1,000 o r less B = $1,001 - $ 2,500 C = $2,5 01 - $ 5 ,000 D = $5,001 - $15,000
( See Colunms B I and 1 3 4 ) F =$ 50,001 - $ 100,000 G =$100,001 - $1,000,000 H 1 =$1,000,001 - $ 5,000,000 H2 =More than $5,000,000
2 . Va lu e C o d e s J $1 5, 0 0 0 or l ess K = $15,001 - $ 50,000 L = $50,001 - $100,000 M =$100,001 - $250,000
(S e e C o lu mn s C I a n d D3) N =$250.001 - $500,000 O =$5 00,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,!)00,001 o $25,000,000
P 3 $25 ,000 ,001-$50 ,000 ,000 P 4 Mo re tha n $50 ,000 ,000
3. Va lu e Me tho d C o d e s Q = Appr a i s a l R -C o s t (Re a l Es ta le On ly) S = As s es s ment T = Cas h Mar k et
( S e e C o l u m n C 2 ) U =B o o k Va lu e V - O t h e r W = E s t im a t e d
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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 ancludes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D N O N E (No repo rtable income, assets, or transa ctions.)
D e s c r i p t i o n o f A s s e t s Income dur ing
( i n c l u d i n g t r u s t a s s e t s ) repor ting per iod
(1) (2 )Place "(X)" after each asset A m o u n t Type (e.g.,
exempt f rom pr ior disclosure C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )
L o u i s i a n a 5 . 2 5 0 7 / 1 / 2 4
M a h o n i n g 5 . 5 b o n d
MTA 5.25 4/1/14 bo n d
MTA 5.0 7 /1/15 bo n d
MTA 5.625 7 /1/16 bo n d
M i c h i g a n H o s p . b o n d
M i s s i o n V i e j o 6 b o n d
M is s i s s ipp i H o s p. b ond
M u s k i n g u m 5 . 4 b o n d
N Y C 5 . 3 7 5 6 / I / 2 3 b o n d
N Y S B r i d g e 5 . 1 2 5 1 / 1 / 1 2 b o n d
N Y D o r m 5 . 1 2 / 1 5 /2 6 b o n d
N Y D o r m 6 . 4 5 8 / 1 5 /2 4 b o n d
N Y D o r m 5 . 2 5 8 / I/ 2 5 b o n d
N Y D o r m 5 . 2 5 8 / I/ 1 9 b o n d
" ( S e e * i n P a r t V I I I )
N Y D o r m 5 . 4 5 8 / I /2 9 b o n d
69 .
70 .
71 .
72 .
73 .
74 .
75 .
76 .
77 .
78 .
79 .
80 .
81 .
82 .
83 .
84 .
85 .
A Interes t
A Interes t
D Interes t
D Interes t
C Interes t
C Interes t
B Interes t
B Interes t
B Interes t
D Interes t
B Interes t
D Interes t
D Interes t
D Interes t
D Interes t
N o n e
C Interes 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)
Value Value
C o d e 2 M e t h o d
( J - P ) C o d e 3
( Q-W)
L T
K T
M T
M T
L T
L T
L T
K T
M T
K T
L T
M T
M T
M T
L T
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
( 1 ) (2) (3)
T y p e ( e . g ., D a t e Value
b u y , s e l l , m m / d d / y y C o d e 2
redempt ion) (J-P)
Bu y 10/12/10 L
Bu y 10/12/10 K
(ad d ’ l )
S o l d 01/11/I 0 K
Sold 02/01/10 J
(par t )
Sold 08/02/I 0 J(par t )
(4 ) (5 )
Gain I d e n t i t y o f
C o d e 1 buyer/seller
(A-H) ( i f p r i v a t e
t r a n s a c t i o n )
1. I ncome G ain Codes :
(S e e C o lu ra n s B I a n d D4)
2.V alue Codes
(S e e C o lu mn s C I a n d D3)
3.V alue Meth od Codes
(S e e C o lu mn C 2)
A =$1,000 or less
F =$50,001 - $100,000
J -$15,000 or less
N =$250,001 - $500,000
P3 $25,000,001 - $50,000,000
Q = Appr a i s a l
U = Book V alue
B=$1.001 - $2,500
G =$100,001 - $1,000,000
K-$15,001 - $50,000
O=$500,001 - $ 1,000,000
R = Cos t ( R eal E s t a t e O nly )
V =Othe r
C =$2.501 - $5,000
H 1 =$1,000,001 - $5,000,000
L $50 ,001 - $100 ,000
P I =$1,000,001 - $5,000,000
P4 - Mor e th an $ 5 0 ,0 0 0 ,00 0
S =A sse ssme n t
W =Es t ima te d
D =$5,001 - $15,000
H2 =More than $5,000,000
M =$ 100,001 - $250,000
P2 =$5,000,001 - $25,000,000
T -C a sh Ma rke t
E =$15,001 - $50.000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 o:filing instructions.)
[~ N O N E (No reportable income, assets, or transactions.)
86 .
87 .
88 .
89 .
90 .
91 .
92 .
93 .
94 .
95 .
96 .
97 .
98 .
99 .
100.
101.
102.
A. B. C.Descr ipt ion of Assets Incom e during G ro ss value a t end
(including trust assets) reportin g period o f repo rtin g p erio d
(1) (2) (l) (2)
Place "(X)" a l ter each asse t A m o u n t Type (e.g., Va lue Value
exempt f rom pr ior d isc losure Code I div., rent, Code 2 Method(A-H) o r i n t . ) ( J - P ) Code 3
( Q - W )
N Y D o r m 5 . 5 8 / 1/ 3 8 b o n d
N¥ D o r m 5 . 4 2 /1 / 3 1 b o n d
N Y D o r m 5 .6 2 5 8 /1 /2 2 b o n d
N Y D o r m 6 . 2 5 2 /1 /3 6 b o n d
N Y D o r m 5 . 7 5 8 /1 /2 4 b o n d
N Y D o r m 5 . 3 7 5 2 / 1/ 1 7 b o n d
N Y D o r m 5 . 0 b o n d 4 /1 / 12
N Y D o r m 5 . 4 5 8 /1 /3 5 b o n d
NY Do rm 5 .45 8/1/27 bo n d 5 .0 o f 2 /1/12$ 3513
N Y D o r m 5 . 0 2 / I /1 2 b o n d
N Y D o r m 5 . 0 2 / I/ 1 8 b o n d
N Y D o r a 5 . 0 2 / I /2 8 b o n d
NYS En erg y 5 .5 bo n d 1/1/21
NYS En v i r . 5 .125 bo n d 6/15/19
N Y S M t g . A g . 5 . 0 4 / I/ 2 5
D Interes t M T
D Interes t M T
B Interes t
D Interes t
N o n e
N o n e
D Interest M T
C Interes t
C Interes t
C Interest K T
D Interes t M T
C Interes t L T
C Interes t L T
B Interes t K T
C Interest L T
D Interest M T
N o n e L T
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
(I ) (2) (3)
Type (e.g., D a t e Value
buy, se ll, m m /dd /yy Code 2
redempt ion) ( J - P )
S o l d 01/07/10 L
S o l d 02/01/10 J
(part)
S o l d 08/02/10 J
(part)
S o l d 10/07/I 0 L
S o l d 09/08/10 L
S o l d 12/23/10 L
S o l d 12/27/10 L
Bu y 12/29/10 K
( 4 ) (5 )
G a i n I d e n t i t y o f
C o d e 1 buyer/seller
( A - H ) ( i f p r i v a t e
t r a n s a c t i o n )
1. I n c o me Ga in C o d e s : A = $1,000 o r less B = $1,001 - $2,500 C $2, 50 1 - $5, 0 0 0 D = $5,001 - $15,000
(See Col um ns BI and IM ) F =$50,001 - $100,000 G =$100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H 2 Mo re tha n $5 ,000 ,000
2 . Va lu e C o d e s J = $ 15 ,000 o r le ss K =$15,001 - $50,000 L =$50,001 - $ 100,000 M =$100,001 - $250,000
( S e e C o l um n s C I a n d D 3 ) N =$250,001 - $500,000 O =$5 00,001 - $1,000,000 PI $1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P 3 = $25,000,001 - $ 50,000,000 P4 = M ore than $50,000,000
3. Va lu e Me tho d C o d e s Q = Appr a i s a l R = Cos t ( R eal E s t a t e O nly ) S = As s cs s mcnt T =C a sh Ma rke t
(S e e C o lu mn C 2) U = Book V alue V =Othe r W = E s t imaled
E =$15,001- $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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; see pp. 34-60 of filing instructions.)
N O N E (No reportable income, assets, or transactions.)
D e s c r i p t i o n o f A s s e t s Income dur ing
( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d
(l) (2)
Place "(X)" after each asset A m o u n t T y p e ( e . g .,
exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) o r int.)
1 0 3 . N Y S U r b a n 5 . 5 b o n d 7 / 1 / 1 6 B Interest
104. " (See * in Pa r t VI I I ) N o n e
105. No rfo lk 5 .75 bo n d 11/1/13 C Interest
1 0 6 . N C M e d 5 . 5 b o n d 1 0 / 1 / 24 B Interest
107. NC Eas t M un 5 .5 bo n d I /1/21 D Interest
1 0 8 . P e n i n s u l a 8 . 7 b o n d 8 / 1 / 2 3 C Interest
1 0 9 . P i m a 5 . 0 1 2 / 1 5 /3 6 B Interest
1 1 0 . R I D e p 6 . 0 b o n d 8 / 1 /1 7 C Interest
I 1 1 . R I S H e a l t h 5 . 5 b o n d 5 / 1 5 / 1 6 C Interest
1 1 2 . S a c r a m e n t o 5 . 0 b o n d 1 2 / 1 / 1 6 C Interest
1 1 3 . S t . P a u l 5 . 5 b o n d 1 1 / 1 / 2 3 D Interest
! 1 4 . T r i b o r o u g h 5 . 2 5 1 / 1 / 1 3 b o n d C Interest
1 1 5 . T r i b o r o u g h 5 . 2 5 1 / I / 1 4 b o n d D Interest
1 1 6 . W a s h i n g t o n 5 . 2 5 8 / 1 / 2 3 b o n d D Interest
1 1 7 . W a s h i n g t o n 6 . 2 5 8 / 1 / 28 C Interest
118. . " (See * in P a r t VI I I )N o n e
i 19. Bd . Man . Guad alup e bo n d 5 .375 8/15/27 - A Interest
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
(I) (2)
Value Value
C o d e 2 M e t h o d
( J - P ) C o d e 3
( Q - W )
K T
L T
M T
L T
L T
L T
L T
M T
L T
M T
M T
M T
L T
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d
(1 ) (2) (3)T y p e ( e . g . , D a t e Value
b u y , s e l l , m m / d d / y y C o d e 2
r e d e m p t i o n ) ( . l - P )
So ld 01/04/10 J
(par t )
So ld 03/22110 J(par t)
So ld 01/14/10 L
So ld 10/21/10 K(par t )
So ld 09/01/10 K
Bu y 09/08/10 L
Bu y 03/25/10 K
(ad d ’ l )
Bu y 01/12/10 L
Bu y 02/02/10 L(ad d ’ l )
Bu y 07 /15 /10 K
(4 ) (5 )
G a i n I d e n t i ty o f
C o d e 1 b u y e r / s e l l e r
( A - H ) ( i f p r i v a t e
t r a n s a c t i o n )
1. Inco m e G ain Co d es: A = $1,000 o r less B = $1,001 - $ 2,500 C = $ 2,5 01 - $ 5 ,000 D =$5 , 001 - $15 , 000
( Se e C olu mn s B 1 a nd D 4) F =$ 50,001 - $ 100, 000 G =$100.001 - $ 1,000.000 H 1 = $ 1,000,001 - $ 5,000,000 H 2=
Mo re tha n $5 ,000 ,000
2 . Va lu ¢C o d e s J $1 5, 0 0 0 or l ess K $1 5, 0 0 1 -$50 , 0 0 0 L = $ 50,001-$100,000 M =$100,001-$250 ,000
(S e e C o lu n ms C I a n d D3) N =$250.001 - $500,000 O -$ 50 0, 001 - $ 1,0 00 ,0 00 P I - $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 P2 =$5,000,001 - $25,000,000
P 3 $25 ,000 ,001-$50 ,000 ,000 P4 =More thzn $50,000,0003 . V alue Meth od Codes Q =Ap p r a i sa l R = Cos t ( R eal E s t a t e O nly ) S = As s es s ment T = Cas h Mar k et
(S e e C o lu mn C 2) U = Book V alue V = O t h e r W = E s t imated
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , t ransact ions ( Includes those of sp ouse a nd dependent ch i ldren; see p p . 34-60 of f i ling instructions,)
--] NONE (No reportable income, assets, or transactions.)
A. B. C.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 G r o s s v a l u e a t e n d
( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d
( 1) ( 2 ) (1) (2)
Place "(X)" aRer each asset A m o u n t T y p e ( e . g ., Value Value
exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3
(Q -W)
T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d
(l ) (2) ( 3 )
T y p e ( e . g . , D a t e Value
b u y , s e l l , m m /d d / y y C o d e 2
r e d e m p t i o n ) ( J - P )
1 2 0 . " ( S e e * i n P a r t V I I 1 ) N o n e Bu y 10/25/10 K
(ad d ’ l )
121. Cal i fo r . 4 .9 10/1/13~!~ C Interes t L T
122. NY MTA 5.25 4/1/14 bond -~,~ C Interest L T
123. Michigan 5.75 8/15/26i l i ~~=o~::: B Interes t K T
124. Muskin g um 5.35 bo n d -~ ~’[~’ i’~ A Interes t J T So ld 02/16/10 J(par t)
125. NY C ~ 6/15/13 B Interest K Tu n 5 . 7 5 b o n d ~ ~ . ~
126. NYC Ind. 5.375 6/1/23 ~’~ ond B Interes t L T
127. N Y D o r m 5 . 1 2 / 1 5 / 2 6 b o n d - ~ C Interes t K T
128. N Y D o r m 6 . 4 5 8 / 1 5 /2 4 b o n d ~ C Interest L T
129. N Y D o r m 5 . 25 8 / 1 /2 5 b o n d - ~ ,! ~ C Interes t L T
130. N Y D o r m 5 . 5 8 / 1 /3 8 ~ C Interes t L T
131. NY Dorm 5.375 2/I/17 bond~i~ B Interest Sold 09/09/10 K
132. NY Dorm 5.0 2/I/12 bond~!ii~ B Interes t K T
133. N Y D orm 5 . 0 2 /1 /28 b ond " ~’~! i~. it C Interest L T
134. N o r f o l k 5 . 7 5 b o n d - ~ o ~ i ~ C Interes t L T
135. Nor th C a r . 5 .5 I /I /21 bond i~ ! ! i l iC Interest K T So ld 10/21/10 K(par t)
136. RI Heal th 5 .5 bo n d C Interes t L T
(4 ) (5 )
Gain Identity of
C o d e 1 bayer/se l le r
(A-H) (if private
t r a n s a c t i o n )
1. In co m e G ain Co d es: A = $1,000 o r less B = $1,001 - $ 2,500 C = $ 2,5 01 - $ 5 ,000 D =$5 , 001 - $15 , 000
(See Co lum n s B I a n d D 4 ) F =$ 50,001 - $100,000 G =$100,001 - $ 1,000,000 H 1 =$1,000,001 - $ 5 ,000,000 H 2 = M o re than $5 ,000,000
2 . V alue Codes . I =$15,000 or less K = $15,001 - $ 50,000 L = $ 50,001 - $100,000 M $1 0 0 , 0 0 1-$250 , 0 0 0
( S e e C o l um n s C I a n d D 3 ) N = $25 0,001 - $ 500,000 O = $5 00,001 - $1,000,000 P 1 = $1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3 . V alue Mcth od Codes Q =Ap p r a i sa l R = Cos t ( R eal E s t a l e O nly ) S = As s es s ment T = Cas h Mar k et
(S e e C o lu mn C 2) U = Book V alue V = O t h e r W ~E s t imatcd
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
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; see pp. 34-60 of filing instructions.)
~ NONE(No reportab le incom e, assets , or transa ct ions . )
A, B. C.D e s c r i p t io n o f A s s e t s Income during G r o s s v a l u e a t e n d
( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d
( 1 ) (2 ) (1) (2)
Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Value
exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d
( A - H ) or i n t , ) ( J - P ) C o d e 3
( Q - W )
O)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)
D a t e Value G a in
m m /d d/yy Co de 2 Code 1
( J - P ) ( A - H )
(5 )
I d e n t i t y o f
b u y e r / s e l l e r
( i f p r i v a t e
t r a n s a c t i o n )
1 3 7 . W a c o T X b o n d 5 . 0 8 / 1 /3 1
1 3 8 . N e w P r o v i d e n c e A s s o c . L P f u n d ~
1 3 9 . J P M o r g a n T a x F re e B o n d V A N T X ~
A Interest K T
None N T
I n t e r e s t K T
Buy 09/09/10 K
1. I nconte Gain Codes: A =$1,000 o r less B = $1,001 - $ 2,500 C = $ 2,501 - $ 5,000 D = $5 ,001 - $15,000
( See Colunms B 1 and D 4 ) F =$50,001 - $ t 00,000 G =$100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Va lue Co de s J = $ 15 ,000 o r less K -$15,001 - $ 5 0,000 L =$50,001 - $ 100,000 M = $100,001 - $250,000
(S e e C o lu mn s C I a n d D3) N =$250,001 - $ 500,000 O $ 500,001 - $1 ,000 ,000 PI =$1,000,001 -$5,000,000 P2 = $5,000,001 -$25,000,000
P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000
3 . V alue Meth od Codes Q =Ap p r a i sa l R = Cos t ( R eal E s t a t e O n ly ) S = As s es s ment T = Cas h Mar k et
(S e e C o lu mn C 2) U = Book V alue V = O t h e r W = E s t im a t e d
E =$15,001 - $50,000
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate port of report.)
* The f i r s t l in e re la t in g to th i s s ecur i ty rep o r t s the year’s en d ho ld in g s an d the d iv id en d s an d in te res t rece ived d ur in g the ye ar f ro m th i s s ecur i ty . Subsequen t l in es
fo r the same se cur i ty rep o r t p urchases , s a les an d g a in s f ro m such sa les .
8/3/2019 Pierre N Leval Financial Disclosure Report for 2010
1 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 i n 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 l d r e n , if a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h 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 y
p 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 t h e r c e r t i f 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 t . s e q ., 5 U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .
Signatu re: S/Pierre N. Leval
N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S I FI E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B JE C T T O C I V I LA 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)