Professional Documents
Culture Documents
1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app..~~ 101-111)
3. Date of Report
5/10/2011
6. Reporting Period 01/01/2010 to 12/31/2010
Date
[] Annual [] Final
7. Chambers or Office Addrt~s U.S. District Court 915 Lafayette Blvd. Bridgeport, CT 0661M
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance s~Jth applicable laws and regulations.
Revie~ving Officer
Date
IMPORTANT NO TES: The instructions accompanying 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.
NAME OF ORGANIZATION/ENTITY
St. Francis Home for Children
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)
~] NONE (No reportable agreements.) DATE PARTIES AND TERMS
Hall, Janet C.
III. NON-INVESTMENT INCOME. tnepo.i.g in~i,idaal o.dspouse~ seepp, w-:~ of filing instructions.)
A. Filers Non-Investment Income
~
2. 3. 4.
B. Spouses Non-[ nvestmen t ! ncome - If you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
PURPOSE
FBC Law Day Event Thanksgiving luncheon for the Federal Judiciary
ITEMS PAID OR PROVIDED Dinner for myself and my spouse Luncheon expense
2.
3. 4. 5.
V. G I FTS. anelude, those ,o spouse and dependent children; see pp. 28-31 of filing instruction.~)
NONE (No reportable gifts.)
SOURCE I. 2. 3. 4. 5. DESCRIPTION
VALUE
Vl. LIABILITIES. aneludes those o/spouse ond dependen, children; see pp. 32-33 of filing instructions.)
D NONE (No reportable liabilities.) CREDITOR 1. 2. 3. 4. 5. U.S. Dept. Education Citizens Bank Citizens Bank Sallie Mae Student Loan Line of Credit Student Loan Student Loan
DESCRIPTION
VALUECODE L M L L
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructionx)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (l) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method
(J-P) Code 3 (Q-W)
Transactions during reporting period (i) Type (e.g., buy, sell, redemption)
(2) (3) (4) Date ValueI Gain mm/dd/yy Code2 i Codel (J-P) (A-H)
I. 2. 3. 4. 5. 6. 7. 8. 9.
State oflsrael Bond - Exp. 1/01/13 Ternpleton Dragon Fund Templeton Global Small Cos Growth Fund Mutual Quest Fund Charllinks, L.P. Strips-tprp Pmt on 10.625 2015 T/ Bond-8/I 5/2015 Strips Tint-US Treasury Mat. I 1/I 5/20 Vanguard Windsor 11 Fund Mutual Discovery Fund CL2
B B A D
K K J M J J J L K M L J K L J K
A A B A
10. ~ .,.,.,,~ P.C. (Note) I1. 12. 13. 14. 15. 16. 17. Partnership Interest in Whitney-Humphrey Assc. (Note) U.S. Savings Bonds MetLife Ins. Co. of CT (universal life) AXA Equitable Life Ins. Co. (life policy) Columbia Value Rest. Fund Schwab US Treas Money Fund A B B A A
I. Income Gain Codes: (see Columns B I and 2. Value Codes (See Columns CI and D3) 3. Value Mcthod Codc~ (See Column C2)
A =$1,000 or less F =$50.001 - $100.000 J =$15,0~0 or less N =$250.0~1 - $500.00~ P3 =$25,0~.001 - $50.000.000 Q =Appraisal U =Book Value
B =SI,001 - $2,500 G =$1~.001 - $1,0~0,0~ K =$15,001 - $50,000 O =$500,001 - $1,000,0~0 R -Cost (Real Estate Only) V =Other
C =S2,501 - $5,000 H I =$ 1,00~.001 - $5.000,090 L -$50,001 - $100,000 P I =$ 1,000,001 - $5,0~0,00~ P4 =More than $50,000,00~ S =Assessment W =Estimated
D = $ 5.001 - $15,000 H2 =More than $5,00~.000 M -$100,0~1 - $250.0~K~ P2 =$5.000,001 - $25.00~.0~0 T =Cash Market
E =$15.001- $50,0~O
VI I. INVESTMENTS and TRUSTS - income, ,at.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assels) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period Transactions during reporting period
(I)
Value Code 2 (J-P)
(2)
Value Method Code 3
(5)
Gain Code I (A-H) Identity of buyer/seller (if private transaction)
(Q-W)
18. 19. Sound Shore Fund 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Citizens Bank Muhlenkamp Fund AMRCorp. Artisan Intl Small Cap Calamos Growth Fund- A Third Ave. Real Est. Value Fund ThirdAve. International Value Fund Buffalo Sm. CapFund T. Rowe Price MidCapGrowth T. Rowe PriceCap.App.Fund MarsicoGrowth Fund A C A A A A A Interest None None Dividend None Dividend Dividend None Dividend Dividend Dividend J M M J K J J M M T T T T Buy Sold (pan) 10/28/10 09/27/I 0 K L T T T T Sold (part) 09/27/10 B T Sold 08/I 8/10 A Thomburg Value Fund CL.A Westport Select Cap.CL.R Schwab Value Advantage Money Fund A
B Dividend M
Sold (part)
10/26/10 O
M M J
I. Income Gain Codes: (See Columns B I and 2. Value Codes (See Colunms C I and D3) 3. Value Melhod Codes (See Column C2)
A =$ 1,000 or le~s F =$50.001 - $100.0~0 J =$15.000 or less N =$250.001 - $500,000 P3 = $25,0~0,001 - $ 50.00),000 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G=$100,001 K =$15,001 - $50,000 O =$500.001 - $ 1,00~.0~ R =Cosl (Real Estate Only) V =Other
C =$2,501 - $5,000 H I =$1,0~0,001 - $ L =$50.001 - $ I PI =$1.0~0.001 - $5,000,00~ P4 =More than $50~0~0.00~ S =As~s~.mcnt W =Estimated
D =$5.001 - $15,@ H2 :More than $5.000.000 M $100.001 - $250.000 P2 =$5.000.0~1 T =Ca,h Markcl
E =$15,0~1- $50.00~
VII. INVESTMENTS and TRUSTS - income, ralue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions,)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt frorn prior disclosure B. Income during reporting period (I) (2) Amount Type (e.g., Codel div.,rent, (A-H) or int.) C. Gross value at end of reporting period (I) Value Code2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) (2) (3) i (4) Value i Gain Date mm/dd/yy Code2 i Codel (J-P) [ (A-H) i (5) Identity of buyer/seller (if private transaction) D. Transactions during reporting period
A
A
Dividend
Interest
J
J
T
T
Buy
10/27/10
37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
Bank of America Schwab Bank Davis NT Venture Fd- A Artisan Mid-Cap Value FD
A A B C
J J M M
T T T Sold (part) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) 09/23/10 10/22/10 11/08/10 11/16/10 12/02/10 12/13/10 10/27/10 11/08/10 11/16/10 12/02/10 L K K J J J .I J J J
Dividend
A A
Dividend Dividend
J M
T T
1. Income Gain Codes: (see Columns BI and 134) 2. Value Codes (See Columns CI and D3) 3. Value Me~hod Codes (See Column C2)
A =$1,000 or less F =$50,001 - ,$100,00~ J =$15.000 or less N -,$250.0(I I - ,$500.000 P3 =$25.0~0,0OI - $50.000.0~0 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G =$100,001 - ,$1,000.000 K $15.0OI - $50.0OO 0 =$500.001 - $ 1.000.000 R Cost (Real E,talc Only] V =Olhcr
C =$2.501 - $5.000 H I =$1,000.0OI - $5.000.000 L -$50.0OI - $100.000 PI =$1.000.0Ol - $5.000.000 P4 =More than $50.000,000 S =Assessment W = E~,timatcd
D =$ 5,0~ I - $15,0~0 H2 =More than $5,000,000 M =$ 100,001 - $250,0~) P2 =,$5.000,001 - $25.000.0~ T Cash Market
E =,$15.001- $50.000
VII. INVESTMENTS and TRUSTS - i .... e, ralue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period 0) (2) Amount Type (e.g., Code I div., rent,
(A-H) or int.) Gross value at end
Transactions during reporting period (J) Type (e.g., buy, sell, redemption)
(2) Date mm/dd/yy (3) Value Code2 (J-P) (4) Gain Code 1 (A-H)
of reporting period (l) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) L L L W W T
Storage Inn Ltd. Arcadia Wind Farms Energies Ltd Limited Partner, Cummings DriveS~,~i~i L.P. Marisco International B
None None Dividend None None None A Dividend None A Dividend None D Dividend
Sold T J J J J L M T T T T T T Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy (addl)
09/27/10 L
56. iShares INC MSCI EMU Index Fund 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. Intrepid Small Cap Fund B Plug Power Inc. T. Rowe Price Group A Buffalo Mid-Cap Pax World Balance Fund Marisco Focus Fund Fairholme Fund
L K J K K K L D
Dividend
Sold (part)
I. Income Gain Codes: (See Colunms BI and IM) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Codc~ (See Column C2)
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 = A pprai,.al U =Book Value
B = $1.001 - $2.500 G -$100.001 - $1,000.0~0 K $15.001 - $50.000 O $500.001-$1,000,000 R -Co~t (Real Estate Only) V Other
C =$2,501 - $5,000 H I =$1.000,001 - $5,000,000 L =$50,001 - $100,000 PI =$1,000.001 - $5,000,000 P4 =More than S =Assessment W =Estimated
D =$5,001 - $15.000 H2 =More than $5.000,000 M -$100.001 - $250.000 P2 =$5,000,001 - $25,000.000 T =Cash Market
E =$ 15,001 - $50,0~0
(2) (3) (4) Gain Date Value mm/dd/yy Code 2 Code I (J-P) (A-H)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.
Matthews Asia Pacific Schwab S&P 500 Index Fund Schwab EFTS lntl Equity ETF (Note) Schwab ETFS - US Large Cap ETF Petrobank Energy & Res LTDF iShares TR Russell 3000 Schwab Total Stock Market Conoco Philips Greenspring Fund Nicholas II Fund Nicholas Ltd Edition Fund Schwab Investor Money Fund Schwab Advantage Cash B A A A A A A A A
None Dividend Dividend Dividend None Dividend Dividend Dividend Dividend Dividend Dividend None None K K K K K T T T K J T T
Sold
Sold (part) Sold
09/27/10 L
09/29/10 09/27/10 L J
D
D
A B
Sold (part)
09/29/10
Sold
09/27/I 0
J J J J J J
Vanguard Russell 2000 Growth Index Fund Vanguard Russell 2000 Value Index Fund Vanguard REIT ETF
A A A
J J J
T T T
I. Income Gain Codes: (Sce Columns B I and D-I) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Cc~dcs tScc Column C2)
A =$1,000 or less F ~$50.001 - $100,0~ J =$15.000 or less N ~$250,001 - $500.000 P3 -$25.0(~.091 - $50,000.0~0 Q ~Apprai:,al U ~Book Value
B =$1,001 - $2.500 G =$100.001 - $1.000.000 K $15.001 - $50.000 O $500,001 - $1,000.000 R =Cost (Rc~I Estate Only) V =Other
C =$2.501 - $5,000 HI ~$l.000.00l - $5.000.000 L =$50,001 - $100.000 PI =$1.000.001 - $5.00~,000 P4 =More than $50,000,0~0 S =As~ssmcnt W =E~.limated
D =$5.001 - $15,000 H2 =More than $5,000.000 M =$100,001 - $250.000 P2 =$5,0~0,001 - $25,000.0~ T =Cash Markel
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS - i.co.,, ,,at.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assels (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (i) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period O) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (0 Type (e.g., buy, sell, redemption)
Transactions during reporting period
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. 100. 101.
Vanguard Russell 3000 Index Fund Vanguard Emerging Markets SPDRS&PEmergingAsia CMG Focus Fund
A A A
J K K L
T T T T
I0127/10 10/28110 10128/10 10127/10 I 1/01/10 I 1/01/10 10/26/10 l 0/28/I 0 1 I109110 11/17/10 12/03110 12114/10 I0/27110 I I108/10 11116110 12113110 10127110
J K K K J J O M L M K L K K J K K
A A
Dividend Dividend
K L
T T
Buy Buy Sold (part) Sold (part) Sold (part) Sold (part) Sold (part)
Dividend
Dividend
Buy
1. Income Gain Codes: ( See Columns B I and IM ) 2. Value Codes {See Columns C I and D3) 3. Value Mclhod Codes {See Column C2)
A =$1,000 or less F = $50.0~ I - $ 100,0~ J -$15,000 or less N =$250.0~1 - $500,000 P3 =$25,000,0~1 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2,500 G -$ 100,0~ I - $ 1,0~0,000 K =$15,001 - $50.0~O O -$500.001 - $1.000,000 R =Cost (Real Eslale Only) V =Other
C =$2.501 - $5,000 H 1 =$ 1,000,001 - $5,000.000 L =$50,001 - $100,000 PI =$1,000,0~1 - $5,09~,000 P4-More than $50,000,000 S =Assessment W =Estimated
D =$5.001 - $15,000 H2 =More than $5,00~,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15.001 - $50.000
VII. INVESTMEN TS and TRUSTS - income, valuo, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
O)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(i)
Value Code 2 (J-P)
(2)
Value Method Code 3
O)
Type (e.g., buy, sell, redemption)
(2)
Date
(3)
Value Code 2 (l-P) Gain Code I (A-H)
(s)
Identity of buyer/seller (if private transaction)
mm/dd/yy
(Q-W)
103. 104. 105. 106. Vanguard Small Cap Fund 107. Thomberg Intl Value Fund 108. 109. II0. III. 112. Vanguard Emerging Markets 113. Vanguard Wellesley Fund 114. Vanguard GNMA Fund 115. 116. A A A Dividend Dividend Dividend J J J T T T A A Dividend Dividend J L T T Buy Buy Buy Buy Buy Buy (addl) Buy (addl) Buy (addl) Buy (addl) Buy Buy Buy 11/08/10 11/16/10 12/13/10 I 1/01/10 10/27/10 11/08/10 11/16/10 12/02/I 0 12/13/10 03/09/10 03/09/10 03/09/10 J K K J J J J J J J J J
I. Income Gain Codes: (See Columns B I and I)4) 2. Value Codes (See Columns C I and DI) 3. Value Method Codes {See Column C2)
A :$1,000 or less F =$50.001 - $100.000 J =$15,0~1 or less N -$250.001 - $500,000 P3 =$25,0~0.001 - $50.00~.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,0~0.0~} K =$15,0~1 - $50,1)00 O =$500,001 - $1,0~),00~ R =Cost {Real Estale Only) V Other
C =$2,501 - $5,000 HI =$1,000.001 - $5.000.000 L =$50.001 - $10~.000 PI =$1,000.001 - $5,0{~,6~) P4 =More than $50,000.000 S =Assessment W =Estimated
D =$5,001 - $15,00~ H2 =Mor~ than $5,00~,0~O M =$100.001 - $250.000 P2 =$5,000,001 - $25.0G~,000 T =Cash Market
E =$15.0~1 - $50.000
IX. CERTIFICATION.
1 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 kno~vledge 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, 5 U.S.C. 7353, and Judicial 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)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544