William W Caldwell Financial Disclosure Report for 2009

8/3/2019 William W Caldwell Financial Disclosure Report for 2009

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a o ~ o FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c . . ~i n Gov e r nme n t A c t o f 1978Rev . ~ /~0 1 0 FOR CALENDAR YEAR 2009 ff u.s.c, app. 1o1-111)I . P~on Repor t ing ( las t no .me, l l t s t~ middle in i t ia l ) 2. Cour t o r Orgaoiza tion 3 . D a t e o f R e p o r tC a t d w e l l , W i ll i a m W . U . S .D . C . M i d d l e D i s L o f P A " 05/3/2010

4. T i t l e ( A r t ic l e I l I j u d g e s i n d i c a t e ~ c t i vo o r s en i o r s t a t u ~ ; 5 ~ . R e l ~ r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6 . R e p o r t i n g P e r i o dm a g i s t r a t e j u dge s i nd i c ~ l e f u l l - o r p a r t - ti m e )[] Nomination. Date 0 1 / 0 1 / 2 0 0 9

Senior Judge [] Initial [] Annual [] Final to.. 12 /3 I , r2 0 095b. ~ Amended Report

7. Chember~ or Office Address 8. On the bnsl~ of the i n f o r m a t i o n o n t a i n e d In IEL~ Report and anymudifieationa pertnlning thereto, it IF, In my opinion , in comp l ianceP.O.Box 11877 w i t h a p p l i c a bl e I n w l a n d r e g n l a t lo n l .Harrisburg, PA 17108-1877

Revicwin[ Officer Date

I M P O R T A N T N O T E S : T h e i n s t r u c t i o n s a c c o m p a n y i n g th i s fo r m m a s t he fo l lowecL Complete all parts,checking the NONE box for each part where you have no re p or t a M e t n f orma t i o t ~ S i gn on l a s tp a g~

I . P O S I T I O N S . o ~ ,~ o ,n . ~ ~ . u , .~ o ~ y ; a e , V ~ ~ - l S o ~ r a ~ g ~ , = t ~ o , ~ )N O N E (3[o r e po r t ab l e po s i t io n s . )

POSITION " NAME OF ORGANIZATION/ETNTITYI.

~ NO~ ~o reportable a~e~ents,)~ PAR~S A~ ~S


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FINANCIAL DISCLOSURE REPORT r~ .... t r e r , o n a , p o , , o gPage 2 of 8 Caldwell, William W . 05~/2010

III. NON-~ST~NT INCOME. ~o,~z ~,~a,~ ,~0~,; ,~,~.A. Filers Non-Investment Income :

NO~ ~o reportable non-investment incomeOSOURCE AND ~PE (yo~, not spouses)

1. (Monthly) Commonwealth ofPA - 2~9 Ret~ement income $19,368.602.

3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during anyportlon of the reportingyear, complett thlx stctlo~(Dollar amount not required except for honoraria.)

[~ NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

I.2.3.

4.

(Include~ thee to ~e ~ d~tnt ch~" see pp. 25.27 of fling ~t~c:~.)NO~ ~o repo~able reimbursements.)

S O U R C E ~ L O C A T I O N ~ ~EM S PA~ OR PRO~EDI.2.3 .

5 ,


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FINANCIAL DISCLOSURE REPORT [ ~,~, o t I . , ,~o. a ,po. ln~ D a t ,Page 4 of 8 C a l d w e l l , W i ll ia m W . 05/3~010

N O N E ~ o reportable income, assets, o r transactions.,)

Descript ion of Ass~ I n ~m~ d a r in g G r o s s v a l u e a t n ~ T ~ a s a c t i o n s d u r i n g ~ i n g(including ~st ~) re~Sing ~d~ o f r e p o ~ i a g

Place " (X)" a~er ea~ ~se t A m o u n t T ~ e ( e . g ., V alue V a lue T~e (e.g . , D a t e { V t l u e Grin I d e m i ~ o fexemp t f r o m p d o r d i s c lo s ~ C~c I I d i v . , r e n t , C o d e 2 Meth~ buy ,~ l l , m ~ d ~ y y C ~ e 2 C ode I buyer!seller(A-H) I o r i n t . ) ( J - P ) ~de3 r ed emp t i~ ) I O P ) ( A - H ) ( i f p r i v a t e( Q - W ) ~ nsac t i on )1 . F u lto n Fin ~ci al C o ~. s to ck E Di v i de nd N T S o l d 0~0/09 M G(p~)2. Al l i ed I d sh B~k s t o ck N o n e Sold 0~ 09 / 09 K E3. I n t e l Co~ . s t oc k B D i ~ d e n d K T So ld 0 ~ 2 ~ 0 9 K E( p an )4. M o r g a n S m d e y S m i ~ -B ~ e y B o n d F ~ d D In teres t M T5. Tyco In~:mafiona l , s tock A Divid en d J T6. Ha r s o Co r p . , s to ck A Divid en d J T7. Ma xim I n teg r a ted , s to ck A Divid en d S o l d I 1/13/09! J8. Car l i s l e Cor p . , s t oc k A Divid en d J T~. He~lett-Packard , s tock A Divid en d K T

1 0 , Jo hn s o n & Jo lms o n , s to ck A Divid en d K T i I . Tidewater , Inc. , s tock A Divid en d K T

1 2 . C a p i t a l W o r l d Growth F u n d A Di v i de nd Sold 06/09/09 K 1 3 . Ame r i c an I nve s t me n t Co . o f Ame r i c a -Fund A Di v i de nd S o l d 06/09109 J1 4 . Lit te lXts , , Inc . s tock N o n e J T1 5 . Zi mme r Ho l d i ngs , I nc . s t oc k N o n e J T1 6 . Eur oPac i f i c Gr ow t h Fund A Di v i de nd S o l d 06/09/09 K1 7 . G M O F o r e ig n F u n d A Di v i de nd S o l d 06/II109! K

1 . I n c o m e G t ta


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]N a m e o r " P e r s o n R e p o r ti n g D a t e o f R e p o r tF I N A N C I A L DISCLOSUREREPORTI C = ~ d w e ~ l, W m l= m w .

P a g e 5 o f 8 o s / 3 ~ o ~ o

N O N E ( N o reportable income, aszels, or transactions.)

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 n g G r o s ~ v a l u e a t e n d T r a n s a c t i o n s d u r i n g r ep o r t i n g p e r i o d( i nc lud ing t rus t assc~ z) re po rtin g ,p crio d o 1" r ep ortin g p erio d

0) (~ ) O) (2) 0) (2) i O) (~) (~ )Place " (X) " af te r each a s~t A m o u n t Type (e.g. , Va lue Va lue Type (e .g., Date Va lu e G a in Ide n t ity o fexempt f rom pr io r d isc los~ t : C o d e I div., rent, Code 2 Met hc~ buy, ~11, rnnddd?yy Code 2 Code I buyer/se l ler(A -H) or in t . ) (J-P) Code 3 redemp t i on ) ( I -P) (A- I t ) ( i f pr iva te( Q- W) ] t r a n s ac t i on )

1 8 . Blairsvil le-Saltzburg School District- Bond A In teres t ~ T1 9 . Eastern York School Dist r ic t - Bond A In t eres t J T20 . Hano ver P ubl ic School Di s t r i ct - Bond A In terest ] T

21 . Fox Chapel Area School Dist r ic t - Bond A In terest K T2 2 1 Shaler Area School Dist r ic t - Bond A In terest K T23 . ~ r ~ b u ~ g S a l e m S c ho o l D i ~ c t - B o n d A In terest Sold 09/15/091 K24 . Wyom ing Area School Di s t r i ct - Bond B In terest K T25 . l t anover Area School Di s t r i ct - Bond A In terest K T26 . No r theas t Bradford SchoolDis t r ic t - Bond A I n t e res t K T2 7 , Muhlenberg School Dist r ic t - Bond A In t eres t K T28 , Unionvi l l e-Chadds F ord School Di s t r i c t - A I n t e res t K TBond29. B l a c k h a w k P e n n School Dist r ict - Bon d A I n t e res t K T30 . Lower Merion School Dist r ic t - Bond B In t eres t L T3 1 . Seneca V L, PA Schoo l Dist r ic t - Bond A In t eres t K T32 . Proc to r & Gamble- s t ock A Dividend J T3 3 . Qual i ty Systems, Inc - stock N o n e J T3 4 , Covidien LTD - stock A Dividend J T


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FINANCIAL DISCLOSUREREPORT [ r~a,~e 0~o, ~,po~P a g e 6 o f 8 I Caldwll, William W. 05/3/2010V I I . ~ E S T ~ N T S a n d T R U S TS - i ........ t ~ , , ~ . . .. ~ o ~ a ~ a ~ a , ~ , ,o ~ , o 1 ~ . .. .. ~ ~ , ~ , ~ d ~ . , , ,~ t ~ , ,, ; , ,, r ~ . 3 ~ - ~ o o f ~ i ~ . . .. .. ~ . ~ . ~

N O N E ~ o reportable income, assets, or transaction.)g. B. [ C. D .~ c f ip t i on of Asse ~ I n c o m e d u ri n g

IG r o s s v a l u e a t e n d T~nsacfions dur ing rein ing per iod

( i ~ l u d ia g ~ s t a s s c ~ ) r~o~ing ~od o f ~o f l i n g p c r i~O) I (2) (0 ( ~ ) O) ~2) O~ (4) I ( 5 )Pt~ "(~" ~er each as~t ~ m o u n t } T ~ ( e . g ., V alue Va lu e T y p e ( e . g ., D a t e Value Gain] td~ti~ofe x ~ p t f ~ m p r i o r d i ~ l o ~ e C~ I I div., r~t, CMe 2 M e th o d buy, sell, ~ ~ d ~ yy I C od e 2 I C od e I bu ys /s e l le r

( A H )I or inL) ( J - P ) { C o d e 3r~ption) ~ ( J - P ) ( A - H ) . (if ply,re

( Q - W ) ~an~ctlon)

3 5 . Tyc o E l e c ~ on i c s - s t oc k A Divid en d Sold 09122/09 J

3 6 . O ~ t o ~ F i n a n c i a l S ~ .- s t o c k A Di v i de nd J T37 . N~ PA A~a SD- ~nd A [nte rcst K T3 8 . Flee~o~ ~ea Sch~l Dis~ct-bond A [ n t e r ~ t K T Bu y 0 1 /0 5 /0 9

3 9 . G o l ~ a n S a c h s I n t er n a t i o n a l E q u i ~ F ~ d B I n t e~s t M T B u y 06/19/09 M

40 . ~l~an Sachs Emerg~g M~k~ F~d A I n t e r~ t K T Bu y ; 0~19/09 K

41 . Gol~an SacM U.S.Equi~, Div. F~d B l n m m s t M T Bu y ~ !1 9/0 9 M42 . G o l d m ~ S a c h s H i g h Y i e l d F ~ d B I n m o s t L T B u y 0 6 /1 @ 0 9 ] L43 . Gol~ Sachs High Yield M=i F~d C I n t r u s t M T Bu y 0~ 1 ~ 09 M

~. ~er#ng M~ke~ C~cy Note N o n e K T Bu y 09101/09 K45 . G10 C~yNote N o n e K T Bu y 09/01109


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N a m e o f P e r so n R e p o r t i n g Dale of ReportFIN ANCIALpage 7 ef 8 DISCLOSURE REPO RT I C a l dwe t l , William W. 0 5 / ~ / 2 0 1 0

VIII. AIII3ITIONAL INFORMATION OR EXPLANATIONS.

Section VII Line 4 - Smith-Barney merged with Morgan Stanley "


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FINANCIAL DISCLOSURE REPORTP a g e 8 o f 8 C o , d w e ll , W L i L i a m W . 0 5 / 3 t 2 0 1 0IX. CERTIFICATION.

I c e r t if y t h a t a l l in 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 il d r e n , I f a n y ) I sa c c u r a t e , t r u e , a n d c o m p l e t e t o t h e be s t o f m y k n o w l e d g e a n d b e l ie 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 ec a u s e i t m e t a p p l i c a b l e s t a t u to r yprov is ions permi t t ing non-d isc losu re .I f u r t he r c e r t if y th 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 ep t a n c e o f g i f t s w h ic h ha 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 he p r o v i s i o n s o r s 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 .

S i g n a t u r e t

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 LL Y F A L SI F I E S O R F A I L S TO F I L E T H I S R E P O R T M A Y B E S U BJ E C T T O C I V I LAND CRIMIN AL SANCTIO NS {5 U.S.C , app . 104)

FILING INSTRUCTIONSM a i l s i g n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s to :

C o m m i tt e ~ o n F i n a n c ia l D i sc lo s u r eA d m i n i s t r a t i v e O ff i ce o f t he U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i rc le , N . E .W a s h in g t o n , D. C . 2 0 5 4 ~

William W Caldwell Financial Disclosure Report for 2009

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