Professional Documents
Culture Documents
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
SENIOR JUDGE
5b. [] Amended Report 7. Chambers or Office Address 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 regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followe~L Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
3. 4. 5.
II. AGREEMENTS. ~Re~,orting indiv~dnal o,ty; sce pp. 14-16 of filing instructions.)
Burns, Ellen B.
B. Spouses Non-Investment Income - lf you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
~
1. 2. 3. 4.
~-]
NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
2. 3. 4. 5.
V. GIFTS. ancludes those to spo ..... d dependent children; see pp. 28-31 of filing instructions.) NONE (No reportable gifts.) SOURCE
1. 2.
DESCRIPTION
VALUE
3.
4. 5.
VI. LIABILITIES. ancludes those o:spouse u,d de~,endent children; see pp. 32-33 of
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
filing instructions.)
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - income, v,lue, tr, nsoctions ancludes those oI,pou~e ,nd dependent children; see pp. 34-60 of f!ling instructions.)
NONE
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure
(~
Amount Code 1
(A-H)
Value Code 2
(J-P)
(A-H)
Webster Bank Merrill Lynch money market account Verizon stock (absorbed Bell South stock) AT&T stock Van Kampen Fund U.S. Series E Bonds Nuveen Conn. Premium Inc. Municipal Fund Dreyfus Conn. Municipal money market Fund Conn. State Housing Finance Bond Nuveen Large Cap Value Fund A Ridgefield CT LOT A Bond Univ. CT Series A Bond Eli Lilly stock Sprint Nextel Communication stock Dreyfus Short Int. Govt. Fund IBM stock Alcatel Lucent
B A A A A
L K K L J L K K K K J J J J J K J
A A A A A A A A A A A
Interest Interest Interest Interest Interest Interest Dividend Dividend Dividend Dividend Dividend
1. Income Gain Codes: (See Colunms BI and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$I,000 or less F =$50,001 - $100,000 J =$15,000 or tess N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal 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 (Real Estate Only) V =Other
C =$2,501 - $5,000 H I =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P 1 =$1,000~001 - $5,000,000 P4 =More than $50,000;000 S =Assessment W =Estimated
D=$5;001-$15,000
H2~M6~eth~n$5,000~000 M~*i00i001 :$250,000
E=$1S,001-$50,000
~2=$5~o00;001 -$?5,000,00o
T~CaShMarket
VII. INVESTMENTS and TRUSTS -i .... e, value, t .... actions (Includes those of sp ...... d dependent children; seepp. 34-60 o:filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) (1) ValUe Type (e.g.; MethOd : buy, sell; redemption): Cod~3 (Q-W) D. Transactions during rep0rting period (2) (3) I (4) Date Value Gain ngn/dd/yy Code2 Code 1 (J-P) (A-H) (5) Identity of buyer/Seller (if private transaction)
18.
A
A
Dividend
Dividend
J
J
T
T
19. 20. 21. 22. 23. 24. 25. 26. 27. 28.
29.
Pfizer, Inc. stock Sara Lee Corp. stock Vodaphone Air Touch stock Conn. State Series F Bond CT HEFA Rev. Fairfield Bond So. Central Conn. Regional Water Authority Bond United Illuminating Holdings Corp. Hartford Financial Services Conn. ST Series B Bond Conn. ST. SPL Tax Obl. Bond
Kraft Foods stock
A A A A
J J K J J J J J K J J L J
J
T T T T T T T T T T T T T
A A A A A A C
Novartis Ag. Spon ADR Bank of America (formerly MBNA America Bank CD) AIG America Classic V anuity Comcast Corp. stock Conn. State Housing Finance Bond
Interest
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$L000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,00I - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
~=$1,ooi
G=$100,00i-$i,000,000 K=$15,001 -$50,000 O=$500,001 -$1,000,000 R =Cost(Real Estate Only) V =Other
C =$21501 ;$5,000 H 1 =$ i;000;001 ~ $5;000i000 L =$50;001 ~$100 000 PI =$1,000,001.$5;1300,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5;000,000 M ~$100,001 ~ $950;000 P2 =$5;0~0,~01 .$25,000,000 T =Cash Market
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - ~ncome, v.l.e, 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 B. :: Income during reporting period C. Gross vaIue at end of reporting period D. Transactions during reporting period
(1) (2) Value Type (e.g., buy, sell, Method Code 3 redeniption) (Q-W)
(2) (3) (4) Value Gain Date mm/dd/yy Code 2 Code 1 (J-P) (A-H)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
Conn. State Series D Bond Conn. State Series D Bond Peoples Bank John Hancock Tax ADVATG Fund MFS International New Discovery FD Procter & Gamble stock Torrington Conn. Bond Seymour Conn. Bond Glastonbury Conn. Bond Embarq Corp. LSI Corp. Conn. ST.Health Bond JP Morgan Intl Conn. ST. OlD SER C Conn. ST: SPL OBLIG Dreyfus Pem. State Mun. Bond FD CT Ser CLA Trumbull CT Bond
B A C A A A A A A A
Interest Interest Interest Interest Dividend Dividend Interest Interest Interest Dividend None
K J J J J J K J K J J J J K K J J
T T T T T T T T T T T T T T T T T
A A E B A A
1. lncome Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1;000 0~ less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1;00t - $2,500 O =$100,001- $1,000,000 K =$15;001 - $50~000 O =$500,001 - $1;000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000~001 = $510001000 =$50,001 - $]00,000 l =$ ~,000,001 - $5,000;000 P4 =More than $50,000,000 --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 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of sp ......
[~]
Code 3 (Q-W)
(2) (3) (4) Value Gain Date mm/dd/yy Code 2 Code 1 (J-P) (A-H)
A A A
K J J
]0conte Gan Codes : : (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A --$1~000 or less F =$50,001 - $100,000 J =$15i000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,00!. $2~500 G =$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 -$1 i000,001 - $5,000,000 L =$50,001 - $100,000 P I =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
=$5,001- $15,000 H2 =More than $5,000,000 M=$100,001- $250,000 P2 =$5,000,001- $25,000,000 =Cash Markct
E =$15,001- $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 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., 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
Rev 1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
SENIOR JUDGE
7. Chambers or Office Address UNITED STATES COURTHOUSE 141 CHURCH STREET NEW HAVEN, CT 06510
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 regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followetL Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
Albertus Magnus College
II. AGREEMENTS. me~,oning indlvldual o,ly; see ~,~,. 14-16 of filing instructions.)
~] NONE (No reportable agreements.) DATE PARTIES AND TERMS
Burns, Ellen B. A
Ill. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of j~ding instructions.)
A. Filers Non-Investment Income ~
2. 3. 4.
B. Spouses Non-Investment Income - if you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
[~]
PURPOSE
2. 3. 4, 5.
V. GIFT S. ancludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. andudes those of spouse and dependent children; seevv. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
VII. INVESTMENTS and TRUSTS - income~ value, transactions (Includes those of sp .....
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure
B. Income during reporting period (2) (1) Type (e.g., Amount Code 1 div., rein, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W)
D. Transact ons during reporting period (1) Type (e.g.~ buy, sel, redemption) 12) Date mm/dd/yy (3) I (4) Value Gain Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private ~ransaction)
1. 2. 3. 4. 5. 6.
Webster Bank Merrill Lynch money market account Verizon stock (absorbed Bell South stock) AT&T stock Van Kampen Fund U.S. Series E Bonds Nuveen Conn. Premium Inc. Municipal Fund Dreyfus Conn. Municipal money market Fund Conn. State Housing Finance Bond
B A A A A
L K K L J L K K K K J J J J J
K
T T T T T T T T T T T T T T T
T
A A A
10. I 1. 12.
Nuveen Large Cap Value Fund A Ridgefield CT LOT A Bond Univ. CT Series A Bond
A A A A A A
A
15; Dreyfus Short Int. Govt. Fund 16. IBM stock 17. Alcatel Lucent
Dividend
i income Gain Codesi (See Colunms BI and I)4) 2. Value Codes (See Columns C 1 and D3) 3. Value Method Codes (See Column C2)
A =$1,000 0r !ess F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001- $2,500 G =$100,001- $1,000,000 K =$15,001- $50,000 O -$500,001- $I,000,000 R -Cost(Real Estate Only) V -Other
C =$2,501- $5,000 H 1 =$1,000,001- $5,000.000 L =$50,001- $I00.000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessmcnt W=Estimatcd
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- $50,000
VII. INVESTMENTS and TRUSTS -income~ value, transactions (Includes those of spouse a,d 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 (1) Amount Code 1 (A-H} (2) Type (e.g., div.. rent, or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method (I-P) Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) (5) Identity of buyer/seller (if private transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
Mattel, Inc. stock Pfizer, Inc. stock Sara Lee Corp. stock Vodaphone Air Touch stock Conn. State Series F Bond CT HEFA Rev. Fairfield Bond So. Central Conn. Regional Water Authority Bond United Illuminating Holdings Corp. Hartford Financial Services Conn. ST Series B Bond Conn. ST. SPL Tax Obl. Bond Kraft Foods stock Novartis Ag. Spon ADR Bank of America (formerly MBNA America Bank CD) AIG America Classic V anuity Comcast Corp. stock Conn. State Housing Finance Bond
A A A A A A
J J J J K
T T T T T
J J
J J J K J
T T
T T T T T
A A A A A
A C
J L J J K
T T T T T
Interest
I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C 1 and D3) 3. Value Method Codes (See Column C2)
A =$1i000 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 =Appraisal 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 (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000i000 L =$50,001 - $100;000 P 1 =$1,000,001 , $5,000,000 P4 =More than $50~000,000 S =Assessment W =Estimated
D=$5,001- $15,000 H2 =More thhn$5,000~000 M=$100,001 - $250;000 P2 =$5,000,001 -$25,000,000 T =Cash Market
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS -income, value, 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 assel exempt from prior disclosure Income during reporting period (1) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.~
35. 36. 37. 38. 39. 40. 41. 42. 43. 44.
45.
Conn. State Series D Bond Conn. State Series D Bond Peoples Bank John Hancock Tax ADVATG Fund MFS International New Discovery FD Procter & Gamble stock Torrington Conn. Bond Seymour Conn. Bond Glastonbury Conn. Bond Embarq Corp.
LS1 Corp.
B A C A A A A A A A
Interest Interest Interest Interest Dividend Dividend Interest Interest Interest Dividend
None
K J J J J J K J K J
J
T T T T T T T T T T
T
46. 47.
48.
A E
B
Interest Interest
Interest
J K
K
T T
T
49. 50.
A A
A
Interest Interest
Interest
J J
K
T T K
1. lncomc Gain Codes: (See Columns B 1 and D4) 2. Value Codes (Sec Columns C 1 and D3) 3. Value Method Codes (See Column C2)
A -$1,~00 or tess F =$50,001 - $ 100,000 J =$15,000 or less N =$250,001 - $500,000 P3 -$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,0~)1 - $2,500 G =$ i 00,001 - $1 ;000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000;000 L =$50,001 - $ 100,000 PI =$1,000,00] - $5,000,000 P4 =More than $50,000,000 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 - $50,000
VII. INVESTMENTS and TRUSTS - income, value~ 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 from prior disclosure B. Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (l) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) ............ (3) Date=:=== Value mm/dd/yy Code 2 (J-P)
(4)
Gain Code 1 (A-H) "
o)
ldenti~ o~ buyer/seller (if private transaction)
Time Warner (formerly AOL Frontier Communications Peoples United Financial, Inc.
A A C
J J J
I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (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 =Appraisal U =Book Value
=$1,001 - $2,500 =$ 100,001 - $1,000,000 =$15,001 - $50,000 =$500,001 - $1,000,000 =Cost (Real Estate Only) -Other
C =$2,501 - $5,000 HI =$1,000,001 ~ $5,000,000 L =$50,001- $100,000 P4 =More than $50,000,000 S =Assessment w =Estimated
E =$15,001 - $50,000
IX. CERTIFICATION.
I 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 knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
1 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