janet b arterton financial disclosure report for 2010

8/3/2019 Janet B Arterton Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor t ing ( las t name , f i r s t , middle ini t ia l )AR T E R T ON, J ANE T B .

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

ARTICLE II I JUDGE/ACTIVE

7. Chambers or Office AddressU.S. DISTRICT COURT1 4 1 C H U R C H S T R E ETNEW HAV EN, CT 065 I0

2. Court or OrganizationU.S. DISTRICT COURT

3. D a t e o f R e p o r t5/09/2011

5a. Repor t Type (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final

] 5b. [] Amended Report8.On the bas i s of the informat ion contained in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

Reviewing Officer Date

~ 6 . Reporting Period01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete ali parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . C R e p o n i n g i n d i v i d u a l o n t y ; s e e p p . 9 - 1 3 of filing instructions.)~] N O N E (N o reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

2.

3.

4.5.

I I . A G R E E M E N T S . m e p o r t l n g individual only; seepp. 14-16 of filing instructions.)~- ~ N O N E (No reportable agreements.)

D A TE1.05/13/95

PARTIES AND TERMSGarrison, Levin-Epstein, Chimes, Richardson & Fitzgerald, P.C.: Profit Sharing Plard401k Plan. (No control.)


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FINANCIAL DISCLOSURE REPORTPage 2 of 7

N a m e o f P e r s o n R e p o r t in gARTERTON, JANET B.

D a t e o f R e p o r t5/09/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestment Income~] N O N E ( N o reportable non-investment income.)

D A TE SO U R C E A N D TY P E

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 s tm e n t I n c o m e - l f you were m arried during anyportion of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)

NONE (No reportable non-investment income.)

1 .20102 .2 01 03.4.

DATE SOURCE AND TYPESalary-George Washington UniversityRoyalties-Rowman and Littlefield Publish ers

I V . R E I M B U R S E M E N T S - transportation, lodging, food, en ter ta inmen~(Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.)--] N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED1 . ~ o m e l l L a w S c h o o l , A v o n 3 /21 /201 0 -3 /28 /201 0 P h n o m P e n h , C a m b o d i a Acid V io lence Law P r o jec t Transporta t ion, lodging, food

G lob a l C e n te r fo r W ome nand Jus t i c e2. Feder a l Judges As s oc ia t ion 5 /21 /201 0 -5 /26 /201 0 W a s h ing ton , D .C . B oar d M ee t ing Transportat ion , food3. The Aspen Ins t i tu te 11/5/2010-11/7/2010 Q u e e n s to w n , M D I n t e rna tiona l Hu m a n R igh t s Transporta t ion, lodging, foodLaw Conf e r ence4.5.


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N a m e o f P e r so n R e p o r t i n gARTERTON, JANET B.

Date of Report5/09/2011

V . G I F T S . a n c l u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E (No repor ta ble gi f ts .)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a . c l u d e s those of spouse and dependent children; see pp. 32-33 of filing instruction~)N O N E (No re por table l iabi l i t i es .)

CREDITOR DESCRIPTION1 .2.3.

4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r ti n gARTERTON, JANET B.

Date of R e p o r t5/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i.come. ~,~,~. tr,.s,,io.s O.dna~s thos~ q~po.s~ ..a a~,~.~.t cllildre,; see pp. 34-60 of fili,g i,structio,s.)NONE (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s e t s Income during( 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 t n g p e r i o d

(1) (2)Place " (X )" after each assel Amount T y p e ( e . g .,exempt from p rior disclosure C o d e 1 d i v . . r e n t .( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(1) (2)Value ValueC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )

Transac t ions dur ing r epo r t ing pe r iod

O) (~ (3~Type (e.g., Date Value

buy, sell , m m / d d /y y C o d e 2redemption)

(4 ) (5 )Gain I d e n t i . t y o f

Code 1 buyer/seller( A - I - l ) (if private

transaction)

2.

3.

4.5.

6.

7.

Janus Ove r seas Fund ( fo rmer ly J anus Globa l A Div idendand Intl) MWells Fa rgo Adv . Opp. Fund (Form er lyS t ro n g Op p . Fun d ) A Div idend M

Third Avenue Va lue Fund A Dividend M TVangua rd Muni Bond Fund (Money Marke tAccount)Garrison , et al Prof i t Sharing Plan /401 k:A m e r i c a n F u n d s

B Div idendA Div idend

K

NTT

V a n g u a r d W i n d s o r F u n d A Div idend L TTIAA/CREF Growth Fund A Div idend M T

8. Exce ls ior ( former ly Columbia Value &Rest ruc tu r ing)9. Vangua rd Morgan Growth Fund1 0 . Vangua rd Capi ta l Growth1 I. People s Bank (CD)1 2 . People s Bank (CD)1 3 . V a n g u a r d M i d C a p I n d e x1 4 . V a n g u a r d S m a l l C o m p a n y G r o w t h1 5 . Vangua rd In te rna t iona l Va lue Fund1 6 . CT Highe r Ed Trus t (3 accounts )1 7 . In te rte rm Tax Exem pt Fund ( fo rmer lyV a n g u a r d M u n i B o n d F u n d )

A Div idend LA Div idend MA Div idend LA Interest JA Interest JA Div idend LA Div idend LA Div idend LA Div idend JA Interest K

T

T

T

T

T

T

T

T

T

T

i in~e Gai~ C0des: A =$11000 or less B =$1 ,001 - $2 ,500 C =$2,501 - $5,000(See Colunms B I and EM) F =$ 50 ,001 - $ 100,000 G =$ i 00,001 - $ 1,000,000 H 1 = $ 1,000,001 - $5,000,000

2. V alue Codes J = $15,000 or less K =$15,001 - $50,000 L =$ 50,001 - $100,000(See Co lu mns C 1 and D3) N =$250,001 - $50~,~30 O =$500,001 - $ 1,000,000 P 1 =$ 1,000,001 - $ 5 ,000,000P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Asscssmcnt(See Co lu mn C2 ) U =Book Valu e V =Oth er W =Est ima ted

D = $ 5,001 - $ 15,000 E = $ 15 ,001 - $ 50,000H2 =More than $5,000~000M =$100i00l - $250~000P2 =$5,000,00l - $25;000,000T =Cash Mark e t


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IName of Person Reporting ] Date of ReportARTERTON, JANET B.

I5/09/2011

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 ransact ions (Includes those of spouse and dependent children; seepp. 34-60 of fi l ing instruct ions.)N O N E (No reportable income, assets, or transactions.)

Desc r ip t ion o f Asse t s I n c o m e d u r i n g( inc lud ing t rus t a s se t s ) r epo r t ing pe r iod

( l ) ( 2 )Place "(X)" after each asset A m o u n t Type (e.g..exempt from prior disclosure C o d e 1 div . , ren t ,( A - H ) o r in t . )

G r o s s v a l u e a t e n d Transac t ions dur ing r epo r t ing pe r iodo f r e p o r t i n g p e r i o d

2 3 (4 ) (5 )(1) (2) ( 1 ) ( ) ( )V a l u e V a l u e Type (e.g., D a t e Value G a i n I d e n t i t y o f

C o d e 2 M e th o d b u y . s e l l , m m / d d / y y C o d e 2 C o d e 1 buye r /se l l e r( J - P ) C o d e 3 r e d e m p t i o n ) ( J- P ) (A -H ) ( i f p r iva te

( Q - W ) t r ansac t ion l

1 8 . Vangua rd Sm a l l Cap Growth (2 accounts ) A Div idend K T1 9 . Vanguard International A Dividend M T

20 . Vanguard Institutional Index A Dividend L T

1: IncOme Gain COdes: A =$ i ,000 o r le ss B = $ 1,001 - $ 2 ,500 C = $ 2i501 - $ 5,000(See Co lu mns B 1 and D4 ) F =$50,001 - $100,000 G =$ 10 0,0 01 - $ 1,0 00 ,0 00 H 1 = $1 ,00 0,0 01 - $ 5,0 00,0 00

2. V alue Codes J = $ 15,000 or less K =St 5,001 - $ 50,000 L = $50;001 r $ 100,000(See Co lu mns C 1 and D3) N = $ 250,001 - $500,000 O = $ 500,001 - $ 1,000,000 P 1 ~$ 1 ,000,001 - $5,000,000

P3 = $25,000,001 - $50,000,000 P4 = MOre than $ 50,000;0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment(See Co lu mn C2 ) U =Book Valu e V =Olh er W =Est ima ted

D =$5,001 - $15,000H2 =More than $5,000,000M =$100,00t - $ 2 50,000P2 =$5,000,001 - $25,000,000T =Cash Mark e t

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 00


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FINANCIAL DISCLOSURE REPO RTPage 6 of 7

N a m e o f P e r so n R e p o r t i n gARTERTON, J ANE T B.

D a t e o f R e p o r t5/09/2011

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 part of report.)VII, Paragraph 5 : Gar r ison, Levin-Epste in , Chimes, Richardson & F i tzgera ld , P .C. and 401 k Am er ican Funds: The f i le r has no author i ty or control to se lec t thefunds within this plan, therefore the funds listed in the 2008 report are being deleted from this and future reports.


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FINANCIAL DISCLOSURE REPORTP a ge 7 o f 7

IX. CERT IFICATION.

Name of Person Report ingA R T E R T O N , J A N E T B .

Date of Report5/09/2011

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 in 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 , i f a n y ) i saccu rate , t rue , and complete to the bes t o f my knowledge and bel i ef , and that any in format ion no t repor ted was wi thheld because i t met app l i cab le s t a tu to ryprov i s ions permi t t ing non-d i sc losu re .

1 f u r t h e r c e r ti 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 id 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 ncom pl iance wi th the p rov i s ions o f 5 U.S .C . app . 501 e t . seq . , 5 U.S .C . 7353, and Jud ic ia l Conferenc e regu la t ions .

Signature: S/JANET B. ARTERTON

N O T E : A N Y IN D I V I D U A L W H O K N O W I N G L Y A N D W 1 L F U L L Y F A L S I F I E S O R F A I L S T O F I L E T H I S RE PO R T MA Y B E S U B J E C T T O C I V ILAND CR IMINAL SANCTIONS (5 U .S .C. app. 104)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

janet b arterton financial disclosure report for 2010

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