Professional Documents
Culture Documents
1. Person Reporting (last name, first, middle initial) Walker, John M. 4. Title (Article III judg~ indicate active or senior status; magistrate judges indicate full- or part-time)
] 2. Court or Organization
Report Required by the Ethics in Government Act ofl978 (5 U.S. C. app..~.~ 101-III)
US Court ofAppeals : Second Circuit 157 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 ~ith applicable laws and regulations.
Re,,~ewing Officer
Date
IMPORTANT NOTES: The instructions accompanying this form mast be followe.t Complete ail parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
DATE
Walker, John M.
III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of filing instruction~)
A. Filers Non-Investment Income
~] NONE (No reportable non-investment income.)
DATE
I. Jan-April 2. Sep-Nov 3. Sep-Dec 4.
INCOME
(you~,notspouses) $26,250.00 $26,250.00 $47,500.00
B. Spouses Non-Investment Income - If you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
LOCATION
Washington, DC
PURPOSE
Board Meeeting
I.
2.
7118110 - 7/23/10
3. 4.
5.
V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE
I. 2. 3.
4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. (includes ,hose oI~pouse a.d dependent children; see pp. 32-33 of filing instructions.)
NONE (]go reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
e, ralue, transaclions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction~)
Income during reporting period (I) (2) Amount T3,pe (e.g., Code I div., rent, (AdD or int.)
Gross value at end of reporting period (I) (2) Value Value Method Code 2 (J-P) Code 3
(Q-W)
AES Corp American Tower Corp AMN Healthcare Svcs Arctic Glacier Income Fund Athenahealth Inc corn AT & TInc com Becton Dickinson & Co Bed Bath & Beyond lnc Bed Bath & Beyond lnc Berkshire Hathaway lnc CL B BHP Billiton Ltd Sponsored ADR Brookfield Asset Mngt Inc CL A Carmax Celgence Corp Chesapeake Energy Chevron Corp Cisco Syst Inc A B B A A A
L L
T T
Buy
05/26/10
03/09/10
05/28/10
J K J K K J J
A A
Sold
03/24/10
Sold (part)
05/26/10
I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Codes tScc Columns CI and D3) 3. Value I~.telhod Codes |See Column C21
A =$1,000 or less F =$50.001 - $ 100.000 I =$15,000 or less N =$250.001 - $500.000 P3 =$25.000.0OI - $50.000.000 Q :Appraisal U Book Value
B =$1,001 - $2.500 G =$ 100.001 - $ 1.000.000 K =$15.001 - $50.O9~ O $500.001-$1.000.000 R :Cost (Real Estate Only) V -Other
C $2.501-$5,000 111 = $ 1,0(10,001 - $5,000.000 L =$50.0OI - $100.000 P I =$1.000.001 - $5.000,000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5,001 - $15,000 112 =M ore than $5,000,000 M =$100.001 - $250.000 P2 = $5.000.001 - $25,000.0O0 T --Cash Markc~
E =$ 15.001 - $50.000
V I 1. I N V E S T M E N TS a n d T R U S TS - income, ,alue, ~ansaetior~ a,e/udes those olspouse and dependent children; see pp. 34-6a of filing instruction&)
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 i (l) (2) ~, Amount Typ~ (e.g., [ Code I div., rent, i (A-H) or int.) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd,~y Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
i
18. Clear ChanneIOutdoor 19. Clear Media Ltd 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Crown Holdings Discovery Communications- A Discovery Communications-C Emerson Electric Emerson Electric Energy Transfer Partners LP FPIC Insurance Group Inc General Electric Co Gladstone Comm Corp Infinera Corp lnfinera Corp International Business Machines Corp Iridium Communications Inc Iridium Communications Inc K12 Inc Corn
K J K
T T T
Sold (part)
05/25/10
Buy Sold
K K K L L J C
Dividend None
J J J K
T T T T
Buy
A A
Buy Sold
J J K J J C D
Dividend None
None
I. Income Gain Codcs: (Scc Columns B 1 and D4 ) 2. Value Codes (See Colunm,~ CI and D3) 3. Value Method Codes (See Column C2)
A $1.000 or less F -$50.0<) I - $ 109.000 J =$15.000 or less N =$250.001 - $50~.0~ P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$ 100.001 - $1.000.0~0 K =$15.001 - $50.000 O -$500.001 - $1.00~.000 R ~Sost (Real Estate Only) V =O~her
C =$2,501 - $5,0~0 I I I =$ 1.0OO.0~ I - $5.0~0.009 L =$50.001 - $100.000 PI =$1.000.001 - $5.0~,000 P4 =More than $50.000.0~0 S =Asscssmcrtt W =Estimated
D =$5.001 - $15.000 112 = More tha n $5,000.000 M =$100.001 - $250.000 P2 ~$5,000.001 - $25,000.000 T =Cash Markc~
E =115,0OI - $50.000
e, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income. assets, or transactions.) B. Income during reporting p~riod
(2)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44.
Kinder Morgan Energy Partners Lamar Advertising Inc LowesCo Inc. Markel Corporation Massey EnergyCo Massey Energy Co Micro Systems Inc Microsoft Corp Millicom International Neogen Corp
Dividend
Buy
09/10/10
J L K
K L K K K K
T T T T T T
Buy
09/13/10
45. Newalta Income FD Trust Unit .46. 47. 48. 49. 50. 51. Novartis AG Sponsored ADR Novartis AG Sponsored ADR Odyssey Healthcare Oracle Corporation Penn National Gaming Pepisco Inc
A
04/23/10 06/04/10
K J F E
I. Income Gain Codes: (See Columns B I and IM) 2. Value Codes (S~e Columns CI and D3) 3. Value Method Codes (See Colu~nn 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
B =$1.001 - $2.500 G =$100.001 - $1.1900.000 K =$15.001 - $50.000 O =$500.001 - $1.~O0.000 R =Cost |Real Estate Onlyl W
C =$2.501 - $5.000 III =$1,000,001 - $5.000.000 L =$50.001 - 1100.000 PI =$1,000.001 - $5 P4 =More than $50.000.0~0 W :Estimated
D =$5.001 - $15,000 112 =More than $5,000.000 M =$100.001 - $250.000 P2 =$5.000,001 - $25,000.000 T =Cash Mark,el
E =$15,001 -$50,000
VII. INVESTMENTS and TRUSTS - i.come, value, ~o~acao~ a.clud~ those of spouse and dependent children; see pp. 34-60 of filing instroction~)
[]
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63.
Philip Morris Intl Inc Com Pioneer Natural Pool Corp Pozen Inc Prime Infrastructure Holdings Proctor & Gamble Six Flags Entmt Corp Smucker JM & Co Solarwinds Inc Com SPDR Gold Tr Shs Strayer Ed Inc Com Super Micro Computer Inc
A A A
L K K J K L J L K L K K K K K K K
09/09/10 05/25/10
L J
B
Sold (part)
05/27/10
B C A B
J J K K K K D
B
Dividend None
64. Taiwan Semiconductor 65. 66. 67. 68. Thenno Fischer Scientific Inc United TechnologiesCorp Universal Display Corp Urstadt Biddle PPT A
Dividend None
Sold (part)
05/26/10
Dividend None
Dividend
I. Income Gain Codes: (See Columns BI and D4) 2. Vahle Cod,=s {See Columns CI and D3) 3, Value Melhod 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
B =$1,001 - $2,500 G =$100.001 . $1.000.000 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R -Cos( (Real Estate Only) V =Olher
C =$2,501 - $5,000 Itl ~$1.000,001 - $5.000.000 L =$50,001 - $100.000 PI =$1.000,001 - $5.000.000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5.001 - $15.000 112 =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
V II. INVESTMENTS and TR U STS -income. volue, t~u~ac,io.~ and.des ,hose olspo.se ond depe.d, nt children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets
(including trust assets) (I)
B. Income during
reporting period (2)
D. Transactions during reporling period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd!yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
[ Amount Type (e.g., Value Code I div., rent, Code 2 (A-H) (J-P) or int.)
I
I
Varian Medical Systems WalMariStores Inc Wells Fargo & Co New Pershing Government Account Fidelity Cash Dreyfus Treasury Prime Inv Sh American Express Bank FSB 3.150% Bank of America
Citibank
None B A A A A B A
A
K L L K L K L
T T T T T T T
Sold (parl)
05/25/10 L
78.
Peoples Bank
Interest
79.
I. Income Gain Codes: (See Columns BI and D4 2. Value Codes [See Columns CI and D3 3. Value Method Cod~ 1Sc Column C2)
A =$1,000 or less F =$50,001 - $10~,000 J =$15.0~0 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 =O~ho"
C =$2,501 - $5.000 III =$1.000.001 . $5.000.0~0 L ~$50.091 - $100.000 PI -$1.0~0.001 - $5.000.000 P4 =More Ihart $50.000.000 S =Assessment W =Estimated
D =$5.001 - $15.000 112 =More than $5.000,000 M $100.0~1 - $250.0~) P2 -$5.000.001 - $25.000.000 T -Cash Market
E =$15.001- $50.000
Date of Report
\Valker, John M.
5/I 1/2011
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.
! 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 FALLS 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