nathaniel m gorton financial disclosure report for 2009

8/3/2019 Nathaniel M Gorton Financial Disclosure Report for 2009

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~ o 1 0 I FINANCIAL DISCLOSURE REPORT R e ~ , o ~ t R ~ q , , ~ - e d b y t h e E t h i .in Govermnent Act of1978R~, . ~ /20"t0 ] FOR CALENDAR YEAR 2009 (5 ~.s.c app. ~ lot-liDI . P e r s o n R e p o r t i n g ( l a s ~ n a m e . , f ~ s t , m k i d l e i n i t ia l ) 2. Court or organiza t ion 3. Date of R e p o r tG or ton , N a than ie l M . Di st r i ct C o u r t - Ma s s a chus e t t s 05/01/2010

4. Title (A rlicle Ill judges indicate active or senior status; 5 a . R e p o r t T y p e ( c h e c k o p ~ o p r i a t e t y p e ) 6. Report ing Per iodm a g i s t r a t e ju d g e s i n d i c a t e F a l l - o r p a r t - t i m e )[ ] N o m i n a t i o n , D a t e 01/01/2009U,S. Di s t r ic t Ju dg e - A c t i ve [] Initial v t . X _ l ~ A n n u a l [] Final to12/31/20095 b . [] A m e n d e d R e p o r t

7. Chambers or Off ice Addre~ 8. On the basis of tEe information contained in this Report and anymodifications pertaining t h e r e t o , i t I s , i n m y o p i n i o n , i n c o m p l i a n c eUnited States Distr ict Court ~th appl icable laws and regalatlons.1 Coa r thouse Way , S u i te 3 1 1 0B o s t o n , M A 0 2 2 1 0 R ev iew ing O fficer Date

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

I . P O S I T IO N S . (Report i ng i nd i v idualonl .~; seepp. 9-13 o f f fd~ngtnst ruc t l ons. )[~] N O N E ( N o re por tab le pos i t ions o )

POSITION N A M E O F O R G A N I ZA T I O N /E N T I T Y "1 . See Attachment # 1

~ - ~ ,

N O N E ~ o reportable a~eements.)~ PARTIES AND TE~S


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Iam e o! Per~oa Reporting [ D a t e o f R e p o r tFINANCIAL D I SC L O S U R E REPORT[ Gor t on , Na t h a n i e l M .a g e 2 o f 8 0 5 / 0 1 / 2 0 1 oI

HI . N ON- IN VE S T M E N T I N C O M E . ~ R e : o ~ ~ . ~ u ~ i ,~ s p . . . . ; s ,e r p . 1 7 - 2 ~ o / : t ~A. Filers Non-Investment Income

N O N E (No reporlable non-investment income.)DATE SOURCE AND TYPE ~COME(yours, not spouses)

1. June 30 Sl a d e Go r t on & C o . , I nc ., ( c los e l y h e l d ~ s e a f ood b us ine s s ) $10 ,000 .00corporate clerk/secretary, director, cust~i~i~,~trustee and accountingduties2.3.4.

B . S p o u s e s N o R - I n v e s t m e n t I n c o m e - if you were married during any parffon of the re flortlng year, eomplet~ this(Dol lar amount not required except for honoraria. )[~] N O N E ( N o repotable non-investment income.)

D A T E SOURCE AND TYPE1 .2.3.4.

I V . R E I M B U R S E M E N T S - ~ranaport, tlon, Iodglng, food, ent~rtainmen~(Includes those 1o spouse and dependenl children; see pp. 25-27 of filing instructions.)

[~ N O N E ( N o reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1 . New York In te l lectual reimbursement for lodging and travel byProper ty Law yers Associa t ion t r a in from Boston to ,NYC toattend annual N.Y.I.P.L.A. dinner3 /27/09 a t W aldorf ,as to r i a

2.3.~ ..5.


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FINANCIAL DISCLOSURE REPORT ~..e of Per,on Repotting Dat ~ Of ReportP a g ~ 3 o f 8 Go r t o n , N a t h a n i e l M . 05/01/2010

~ N O N E ~o reportable g~s.)SOURCE DESC~PTION ~

1 .2,3.4,5.

[~] NO NE ( No reportable liabilities.) ,C R E D 1 T O R D ESCRIPTION VALUECOD~

1.2.3.4.


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FINANCIAL DISCLOSURE REPORT ~,.e o~ P . . . . m p o . i n g D , t eP a g e 4 o f 8 G o r t o n , N a t h a n le l M . 0 5 1 0 1 1 2 0 1 0

~ N O N E ~ o reportable income, assets, or tramactiom.)A. B. C. D.

Descr i p t i o n o f A~ Inc~e ~ag ~o~ value ~ ~ Tra~ac~om during0) (2 ) 0) (2) 0) (2) (3)Pla~ " (X )" ag ~ e~h m~t ~t T ~ e ( e . g , Value V a ~ e T ~ e (e.g ., Da~ Vatae Ga~ I d e n t i t y o fexempt f~m pr ior d isclos~ C ~ e I dlv . , r~L C ~ e 2 M~ b u y , s e B , ~ C o d e 2( A - ~ or ~t.) U D Code 3 ~mpfi~) ( I - P ) ( A - ~ (~pd~

1 . S l a d e G o , o n & C o . . I n c ( a M A c o , o p t i o n ) A N Q S ~ ~ c t i o n V I I I(co--on st~k)

2. Fideli~ ~ Rese~es (indi~l) A Di vi den d K T3. F i d ~ l i ~ M o n e y M ~ k e t A c c o u n ~ B Di v i de nd M T(~tmstee)(A~l,~)4. C h ~ i m b le R e m a i n d e r T ~ t E ~ v . , ~ L S~ Section ~II

5. ~ca Cola Co. B u y 0~09

6. S y s z o C o ~ S o l d 0 ~2 4 10 9 J C

7. A T & T , I n c . B u y ~23/09 J

8. U n i t e d T ~ h n o l o g i c s C o ~ . B u y 1 0 8 / 0 4 1 0 9 J

9. T~et Co~. S o l d 0 8 / 0 4 1 0 9 J

I 0 ~ CVS Co~. ~Id 0 8 / ~ / 0 9 J BI if Bo~n Fin~cial Management, Inc. I~ N o n e P l T1 2 . W e lls Fa rgo & Co . Ne w S o l d 0 ~ 5 1 0 9 J

1 3 . ~ M o r g a n C h ~ e & C o . Sold 0 ~ 2 5 / 0 9 J1 4 . H e w l ct t P a c k ~ C o . B u y 03/0~9 K1 5 . A v o n P r o d u c a B uy 0 3 1 0 3 1 0 9 K1 6 . Peab~y Encr~ Co~. S o l d 0 3 / 0 6 1 0 9 J1 7 . F in ~c ia l Se l ec t Sec to r SP D R B uy ~10 710 9


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tF I N A N C I A L p a g e 5 o f 8 D I S C L O S U R E R E P O R T I ~ o r t o n , N ~ t h , m i e l M . 0 5 / 0 l r2 0 1 o

N O N E ~ o reportable income, assets, or tra~actiom.)~ B. C. D.

~s~ption of Ass~ Income d~ng Gro~ valu~ at ~ T~fiom d~ng rep~ag ~riod(in,lading ~st ~) ~g p~od of~g period0) (2) 0) ~ 2 ) 0) (2) (3) (~)Ph~ "(X)" ~ ~h ~s~t ~o~t T~e (~g., V a l u ~ Val~ T~e (e.g., Da~ V a l u e G~a I d e n t i t y o f

exempt ~m ~fior ~1o~ C~ I div., ~ Co~ 2 Me~od buy , ~11 , ~ ~de 2 C~e 1 buyff/sdl~

] 8 . SPDR ~ld T~st Bu y ~/2 I/0P J

1 9 . A v alo n bay C o mmu n ities, I n c. B u y 05/04/09 J20 . FP L G r oup , Inc. B u y 06/16/09 J

21 . A p p l e C o m p u t e r Sold 07 / I 5 /09 J D2 2 , Walg r een C o mpan y S o l d 0 8 / 1 1 / 0 9 [ K23 . A m e r i c a n E x p r e s s C o . Bu y 08!11/09 J24 . Av alo n bay C o mmu n i t i es, I n c . B u y 08/11/09( add l )25 . Te v a P ha r mac e ut ic a l I ndus t r ie s , L td . B uy 08/11/0926 . D e v o n E n e r g y C o r p . B u y 0g/11/09 K

27 . Caterp il lar , Inc . So l d 08/20/09 J28 . Omnicom Group Sold 1007/09 J29. Apple Computer ( p a r t ) S l d 1 1 / 0 5 / 0 9 K D

30 . Amt~r ican Express Co. Sold 12/16/09 J3 1 . Boston Financial Management, Inc. B Int./Div. L T SSection ]IIrevocabl~ trust32 . B ank o f A m lea C o rp . So ld 02/03 /09 J33 . C o c a C o la C o . Bu y 02/24 /09 J34 . Sysco Corp . Sold 02 /2 4 /09


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F I N AN C I AL D I SC L O S UR E RE P O R T Na~e of V ....R e p o r t i n gP a g e 6 o f 8 ~ o r t on , N a t h a n i e l M . 0 5 / 0 1 / 2 0 1 0

V I I . I N V E S T M E N T S a nd T R U S T S - ~ , ~ t u o , t r o ~ c , ~ s a . c t u ~ r ~ o ~ o ~ . . . .. .. ~ dtpendent children; s e e p b $ 4 - 6 0 of fding instructions.)[--] NONE (No re por tab le inc om e , a s s e t s, o r t rans ac t io r~ . )

A. B. C. D.Descrip t ion of Assets I n c o m e d u r in g G ro ss v a lu e a t en d T ra n sa c6 o a s d u r in g rep o rt in g p er io d( incl ud ing t rus t asse ts) rep ortin g p er io d o f rep o rtha g p er io d

(I) (~ ) 0) (~ ) 0) (~) (3)Pl ace ~(X)~ m ~ e r e a c h a s s e t [ A m o u n t I T yp e ( e .g . , V alu e V a l u e T ~ , p e ( e - g . Date V a l u e Gain I d e n t i t y o fe x o r n p t f r o m p r io r d i s c l o su r e C o d e 1 ] d ie . , r en t , C o d e 2 M eth o d buy, s~l l , mm /d d/y y C od e 2 C o d e 1 buycr/sellrr( A - H ) ] or int . ) (J-P) C o d e 3 re d e m p tio n ) ( l-P ) ( A - H ) ( i f p r i v a t e(~W)

35 . C a t e r p i I l ~ r , I n c . Sold 03 /05 /09 J

3 6 . Amer i can Expr ess C o . Sold 03/05/0937 . Peabo dy En er g y C o r p . Sold 0 3/ 0 6 / 0 9 J

38 . O mn ic o m Gr o u p Sold 05/18/09 J39 . C h u b b C o r p . B u y 08/18/09 J40 . Bo s t o n Fina ncia l M a na gem ent , Inc . A lnt. /Div. L T S e e S e c t i o n V I I Ir e v o c a b le t r ~ t ~41 . Gilea d Sciences S o l d 0 3 1 0 6 / 0 9 ! J42 . Abbott Labs B u y 08/04/09! J43 , T eva Ph ar maceu t ica l I n du s t r i es B u y 0 8 / 0 4 1 0 9 J( a d d I )4 4 . F i n an c i a l Se lect Sec to r SPD K B u y 08/18/09 J( a d d l )4 5. Ban k o f A mer i ca A Interest J T

I . Income Gain Cod~: A - S t . 0 0 0 o r k ~ B - $ I ,O O L . $ 2 . 5 0 0 C - $ 2 , 5 0 1 - $ 5 , ~ 0 D ~ 1 5 , 0 0 1 - $ 1 5 , 0 0 0 g -$I$,00t - $50,000(See C olut t rmt B I an d D4 ) F -$$0,001 - $100,000 G -$1O 0,00I - $1,000 ,000 I l l =$1 ,000,001 - $5 ,~0,000 t t2 =Mov: ~aa $~. ,000,0002. Va lue C od ea(See Colnrnn~ C1 and Dg) N

P] -$25,000,001 $50,000,0~0 P 4 ~ M o n ~ t l m n $ 5 0 , 0 0 0 , 0 0 0( g ~ C o l u m n C 2 ) U ~Book V~lue V -O~h er W -Estimated


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FINANCIAL DISCLOSURE REPORT n~e of Perion Reporting D a t e o f R e p o r tP ag e 7 o f 8 Gorton, N athanie l M. 05/01/2010V III . A D D IT I O N A L IN F O RM A T I ON O R E X P L AN A T I ON S .

Line I -During 2009 Rocky Bay Trust, a Massachusetts Business Trust, of which the reporting party was a shareholder, and which had owned all of the stock ofSlade Gorton & Co., Inc. , a Massachusetts corp. ("the Company") was diasolved and ownership of the Company reverted to its s teckholders. The reporting paxtyowns the same propo rtion of stock in the Company a s he had own ed sha~es of the T rust. Income of the reporting party reported in Section V II is atwibutable to hispro rata share of the income of the Company which is taxed as an S corporation whereby all corporate income is deemed passed tl~ough an d taxable to theindividual stockholders whether or not such income is, in fact, distributed. The value of the stock holdings is appraised biennially by a csrti fied financial analyst.Line 4 - In 1997 the repor t ing par ty funded a chari table remainder trust of which they are the income b~neficiaries for Life but in which th~ raain notight to principal.Lines 4, 1 I, 31 and 40 - The assets listed on these lines (and the transactions noted in the lines that follow) are managed by Boston Financial Manag~raent, lnc.,Boston, MA and consist of stocks and bonds in publicly held companies and equity hold ings based on indices listed in A rtachm~nt #2.


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Iame of Person Report ing Date of Re~r tFINANCIAL DISCLOSURE REPORT[ Got t e n , Na t ha n i e l NL

0 5 / 0 1 / 2 { ~ 1 0age 8 of 8IX. CERTIFICATION.

I ce r t i fy t ha t a l l in fo rm a t i on g i ve n a bov e ( i nclud i ng i n fo rm a t i on pe r t a i n i ng t o m y s pou s e a nd m i nor o r de p e nde n t ch i ld re n , I f a ny ) i sa ccura t e , t rue , a nd com p le t e to t he be s t o f m y know le dge a nd be l i e f, a nd t ha t a ny i n fo rm a t i on no t re p or t e d w a s wi t hhe ld be ca us e i t m e t a ppl i ca ble st s t u t o ryprov i s i ons pe rm i t t i ng non-d i s c los ure .I fu r t he r ce r t ify t ha t e a rne d i ncom e f rom o u t s i de e m ploym e nt a nd honora r i a a nd t he a cce pt a nce o f g i f t s whi ch ha ve be e n re por t e d a re Incom pl i a nce wi t h t he prov i s i ons o f 5 U.S.C. a pp . 501 e L s e q , 5 U.S.C. 7 3 5 3 , ~ m d J ud i c i a l Con fe re nce re gu la t ions .

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 I L F U L L Y FA L S I F I E S O R F A I L S T O F I L E T HI S R E P O R T M A Y B E S U B JE C T T O C M LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4 )

FILING INSTRUCTIONSM a i l s i gne d o r i g i na l a nd 3 a d d i t i ona l c op i e s t o :

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t r a t iv e O f f ic e o f t h e U n i t e d S t a t e s C o ur t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4


9/11

Financial Disclosure ReportNathaniel M. GortonMay i, 2010

Attachment #I

I . Positions

Position Name of Orqanization/Entityi . Stockholder, Clerk/Secretary Slade Gorton & Co., Inc.,

and Director Boston, MA (closely heldiiiiiiiiiiii!iiiii!iiiiiilil, ill seMA corporation and successorof Rocky Bay Trust, a MABusiness Trust, which formerlyowned all of the stock of theCorporation

2. Clerk and Director Cambridge Animal Aid, Inc.Floral City, FL (non-profitanimal aid organizationmanaged by reporting partys

3 . Member of the Corporation The New England Home forLittle Wanderers, Boston, MA(non-profit, private childwelfare agency)

NOTE: None of the beneficiaries of the following trusts andaccounts of which the reporting party is a trustee ( or holds ap o w e r o f a t t o r n e y ) i s a i l l , . . . . . . . . . . . . . ~ i i . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . o f t h e r e p o r t i n g p a r t y a n dneither the reporting party nor ii~ has any beneficialinterest in or control over the disposition of assets of suchtrusts and accounts.4. Power of Attorney/Trustee Fidelity money market accounts

(for all stockholders of SladeGorton & Co., Inc.,all ofwhom are


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5 . Trustee Irrevocable Trust (created inconnection with the estateplan of the reporting partys

6 . Trustee 1989 Irrevocable Trust andIrrevocable Sub S Trust (bothcreated in connection with theestate plan of reportingp a r t y s i i i i i i ~ i i i i i ! i i ~ ]


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Financial Disclosure ReportNathanieI M. GortonM a y 1 , 2 0 1 0Attachment #2

A l l o f the l i st ed ho ld ings a r e o f c ommon s t oc k un less o t her wise no t ed .A bbo tt L a bs ( sto ck s & bo n d ) I B M I n t l G ro u p ( bo n d )A i r P r o du c t s & Ch emic a l s, Inc . Johnson & JohnsonA m e ri ca n E x p r e ss C o . L o w e s C o m p a n i e s , In c .A n a d a rk o P e t e C o . Na t iona l R ur a l Ut i l it ies (bond )A T & T , I n c. N e w Y o rk T e le p h o n e C o . ( b o n d )A u t omat ic Da t a P r oc ess ing , Inc . Nike , Inc .A v a l o n b a y C o m m u n i t i e s , I n c . N o v o - N o r d i sk A S A D R - BA v o n P r o d u c ts , I n c . ( bo n d ) Pepsico, Inc.C h u b b C o r p . Pi t ney Bo wes , Inc . (bond )C i s c o C o r p . Po wersha res G loba l W a te r Por t fo l ioC i t rix Sy s t ems, Inc . Proc te r & G a m b le C o .C o c a C o l a C o . R P M , In c . ( O h i o )Cos t c o Wholesa le Cor p . R o y c e F u n d P e n n M u t I nvC V S C o rp . SBC Co mmunic a t ions , Inc . (bond )D e v o n E n e r g y C o r p . S i g m a A l d r ic h C o r p .D o d g e & C o x F D S I n t l S t k Fu n d S P D R G o ld T r u stE a t o n V a n ce C o r p . Staples , Inc.E mer son Elec t ri c Co . Stryker C orp .E x e l o n C o r p . T a r g e t C o r p .E x x o n - M o b i l e C o r p . T eva P har mac eu t ic a l Indus t r ies , L t d .F P L G r o u p , I n c . U n i t ed T e c h n o lo g i e s C o r p .F e d e x C o r p . V o d a f o n e G r o u p , I n c.F e d e ra l H o m e L o a n B a n k ( b o n d ) W a lg r e en C o m p a n yF e d e r a l H o m e L o a n M o r t g a g e C o r p . ( bo n d ) W a lMa r t S tores , I nc . (bond )Financ ia l Selec t Sec t o r SPD R fET F W e s te r n U n i o n C o .G e o r g i a P o w e r C o . ( b o n d )G o o g l e , I n c.H e w l e t t P a c k a r d C o . ( bo n d )E q u i t y ho ld ing s based on ind ic es :I S h a r e s, I n c . M o r g a n - S t a n le y C a p i ta l I n t l (M S C I ) P a c i f ic R i m e x - ~ a p a n I n d e xI S h a r e s , I n c . M S C I E m e r g i n g M a r k e t I n d e xIShar es , Inc . R usse l l 20 00 In dexI S h a re s T r E A F E I n d e x

nathaniel m gorton financial disclosure report for 2009

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