richard a caputo financial disclosure report for 2009

8/3/2019 Richard A Caputo Financial Disclosure Report for 2009

1/9

I Ao/o FINANCIAL DISCLOSURE REPORT R , p o r , R c q t d r e d b y t h e E t h i c si~ ; Go v~rnment ,4 t - r ~" 1978~ e v . t / 2 O t O FOR CALENDAR YEAR 2009 0 u.s c. , ,pp...~" toe-;tOi . Person R epor, i ng ( tas~ na mc, f iTst , m idd lc i n i t ia l ) 2 . C o ur t o r O r g a n i z a t io n J . i )a t ~ o f R epor lCaputo, A. Richard U.S. Dist. CI. MD. of PA 04128/2010

4. ~ttl (Amcl I11 judges indicate active or se.ior status; 5a . Repe l Type (check appropria te lypcJ 6. Rcporl ln~ Periodma~islratc judges indicate full- or paa-Iime} ~ Nomination, I)a~e 01/01/2009U.S~DistrictJudge-Senior ~ ~ I n i t i a l ~ A ..... I ~ Final ,o12131/2009

5b. ~ Amended Re~

modif ica t ions perta in ing ~here~o, i t Is , in my o pin ion , in compliane197 South Main Street with applicable laws ~nd regulations.Wilk es -~a~e . PA 18701

Reviewing Office r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~ C~mplcte all parts,checki.g the NONE box for each part where you have no reportable information. Sign o. lust l,age.

I . P O S I T I O N S . (Reporting indi~,idual only; see pg. 9-13 of filing instructions.)[~ N O N E (No reportable positions.)

POSITIQN N A M E O F O R(I;A N IZA T IO N /EN T IT YI. Co-Trustee ] Trus t

2. Co-Executor Estate # I

4.

I I . A G ~ E M E N T S . ~ o . , . x i . a~ . ia .o~ o .O; . . . ~ 1 4 -16o: f i l ing ins .uc t ionx)~ N O N E 6 V o reportable agree~nents.)

DATE P~TI ES AND TERMS

SEE ACCOUNTANTS" COMPILATION REPORT


2/9

I ame o f Pe r s on Repor t i ng Date of Rcpor,FINANCIAL DISCLOSURE REPORFPage 2 of 9III. N O N - I N V E S T M E N T I N C O M E . (Repom.g individual andsp .... ; see pp . 1 7 -24, , f i l ling ins truc t ionv . )A. Filers Non-investment Income

N O N E (No reportable non-investme.t income.)D A T E SOURCE AN[) "lypE ~

(yours. n o t spouses)I.

2.

3.

4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - i [y o# were married during any porHon of the reporting year, complete tfii~ section.(Dollar amount rot required e. tccpt ]br honoraria.)[~] NONE (No reportable non-investment income.)

D A T ~ S O U R C E A N D T Y P E

2.

3.

4.

I V . R E 1 N I B U R S E M E N T S --,r~,~,o.o,io., ~gi,,g. ~,~ ....... i . . . .( Inc ludes those to spous e t~nd dependent ch i ldren, s ee pp 25 -27 qf f i ling insm~c t ions )

NONE (No reportable reimbursements.)~ D A T E S L O C A T I O N pURPOSE I T E M S P A I D O R , p R O V ID E D

2.3.

4.

5.

SEE ACCOUNTANTS COMPILATION REPORT


3/9

FINANCIAL DISCLOSURE REPORT a . . . . r P e . . . . . ~ , . p o , i . g D . , , o f , ~ p o r ,Page 3 of 9 O p u , 0 , A . R i c h a r d 0 4 / 2 8 / 2 ( 1 ! 0

o ~Jlr I ~o (Inch,de s tht ,a to spouse and de pe nde nt , hihlre n; se e pp. 28-31 o f f i l ing ins trnc t ions . )

N O N E (No repor table g~ s . )S O U R C E D E S C R I P T I O N

1.2.3 .4.5.

[~] N O N E (No reportabl.e liabilities.)C R EDITOR DESCRIPTION VAL U E C O DF,

I.

2.

3 .4.5.



4/9

F I N A N C I A L D I S C L O SU R E R E P O R T i ..... fP ...... R t - p o r t i n g Dllleoflleporl"Page 4 o f 9V I I . I N V E S T M . E N T S a n d T R U S T S - i ........... t . . . . . . . . . . . , , ~ , , . . ~ ( t , ,c l n a e s , ; , o s e o f s p ....... d dependent ch i tdren; s e e p p . 3 . 1 - 6 0 of ~l ing in .wruc tion~.)

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s b ) c o m c dur;ng ~ G r o s s v a h r e a l e n d Tran~ctions during ~ c ~ r t m g peri~

flacc"fX)"aricreackasset ...... t! l!pclcg., Value V a l u e "ly~(e.g., ! o:,e [wlu I Gai. Idcnii,yol~ e ~ e m p t f r o ~ l i p r i o r d i s c l o s u r e /Code I [ t l i ~ , r e n t , , C~e 2 Mclh~ b u y , s e l l , Im~ /d~~ I Code 2 C~e I b u y e r l s c l l e r(Q-W) transaction)

1. ~T~st C I n t . / D r y . N T2, - Bard C.R Incorporated - Common Stk3. - Bank Whitman Coll., WA, 3.00% Ceri ot lJuy 02/26/09 LDep, due 03/12/124. - Carnival Corp Paired CTF commo n stock

5. - Chevron Corp. - Common Stk6. - Comerica B ank, 2.9% Cert of Deposit, due Redeemed 04/08/09 K4 1 8 1 0 9

,7. - ConocoPhillips - Common Stk

8 . - Dove Chemical Co. - Common Stk

9. - Johnson & Johnson - Common Stk1 0 . - LPL Financial Insured Cash Account

II. - Microsoft Corp.- Comm on Sik1 2 . - Veolia Hnviroment Spon ADR - CommonStock1 3 . I RA#1 D I n t . l D i v . M T1 4 . - Am . Exp. Centurion Bank, 1.75% Ccrt of B uy 09/10!09 LDep, due 09/I 6/1 I1 5 . - Baak Whitmart, 3.00% Certificate of B uy 02/26/09 : LDeposit, due 03/12/121 6 . - Chevron Corp. - Common Stk

1 7 . - First Choice Cnty. Bank, Cert of Deposit, Redeemed 02/13109] Ldue 2/13/09



5/9

FINANCIAL DISCLOSURE REPORT ..... fP .... . Reporllng Dateof Repot!Page 5 of 9 C . ,p u ~ o , A . R i c h a r d 0 4 / 2 8 / 2 1 ) 1 0VII. INVESTMENTS and TRUSTS -- in ....... ~ , , , , , . . . . . . .lions (I,wludes tl ...... ~ f s p o u s e a , d , l , ,e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f il ln g i n s t r u c t i o n s . )~ N O N E (No reportable income, assets, or transactions.)

A . r n . c. " . . . . . . . . . . . . . . .D c s c ~ i p l i o n o f A s s e t s ] I n c o m e d u r i, g G r o s s v a l u e a t e n d $ra,~act,ms during rcpo~mg pett~ ii n c l u d i n g I r u s l a s s e t s } repo~ing ~riod of repoOing ~ri~~ii~ ~ ~ ~) ....~; .......~ ] ~) .....~,~ ...........~i ......l la c c " I X ) " a f t e r e a c h a s s e t Am ount[ l y~ le .g , Value V a l u e " r y ~ ( c g . . D a t e [ Value G a i n I d e n t i t y o fe x e m p ~ [ ? o r e p r i o r d i s l o s u ie i ( . . o d e 2 Mclh~ r e d e m p t i o n ) I ~ (I-P) b u y e r / s e l l e rC o d e I ~ d i v . . r e n t , b u y , s e l l . m m / d d /y y / C o d e 2 C~e I( A - I IA-H) [ or inl.) (J-P) C~Jc 3 [ (ifpriv:ac1 8 . - Lehman Bros. Ban k, 3.7% Ce~ ofDeposit, Redeemed 08/14/09due 8/13109

1 9 . - I.eucadia Nalion~d Corp - Common Stk

20 . - LPL Financial Insured Cash Account

2 1 . - McDonalds Corp. - Comm on Stk B uy 09/10/09 J2 2 . - PPL Corp. - Common Stk B uy 09/10/09 J2 3 . - Verizon Communications, Inc. - Common B uy 0 9 / 1 0 / . 0 9 JStk2 4 . - Whole Foods Market Inc. - Common Stk

2 5 . Branch Banking & Trust Co., 3.00% Cert of A I n t e r e s t K "1" B oy 03/02]09 KDep, due 03/12/122 6 . Chewy Chase Bank, 4.2% Cert of Deposit, B Interest L Tdue 10/15/10

2 7 . CIT Rank. Cerlificate of Deposit B I n t e r e s t Redeemed 02/27/09 K2 8 . Goldman Sachs Bank USA, 3.05~,o Cert of A I n t e r e s t K T B uy 0 2 1 0 4 / 0 9 KDep, due 02/13/122 9 . Federated Pa Muni Cash Tntst Money A Interest Closed 1 0 2 / 2 4 / 0 9 JMarket Fund3 0 . LPL Financial Insured Cash Accou nt A Interest J T Open 02/24/09 J3 1 . Wachovia Bank 3.6% insured cash account, C I n t e r e s t L Tdue4/16!10

1 3 2 . Luzerne Bank Accounts None K T 3 3 . Wachovia Bank Accoun t - Insured cash A lntcrest K Taccount

3 4 . Wachovia Bank Money Market Account A I n t e r e s t K T Open 01t14/09 L

ISEE ACCOUNTANTS COMPILATION REPORT


6/9

F I N A N C I A L D I S C L O S UR E R E P O R T N .....f Persa . R t*porl l .g Oateo rRepo .Page 6 of 9 Caputu, A . R i c h a rd 0 4 / 2 8 / 2 0 1 0VII. INVESTMENTS and TRUSTS -

N O N E (No reportable income, assets, or transactions)

O c ~ f i p l i o n o f A ~ s c l s Inco m e d t l r lng ( 3 r o s s v a l u e a t e n d [ Transaclion5 during r c ~ O m g p e r i l e d( i n c l a d i n g t ~ s l a s s e t s ) r c p o ~ i n g p e r i o d o f ~ po n i ag pe r~Ie x e m p t f io m p r l o r d is c l o s , , rc C o d e I di~,... nt. C o d e 2 I Mdh~ ] b u y . s e l l , l . ,n ~d d , y v Co d e 2 C~ l c I [ b u y c r l s c l l e r

3 5 . I~#2 None J T3 6 . - Whole Foods Market Inc. - Cootmon Stk3 7 . Direct "rv Group Inc. - Common SIk None J T3 8 . NEWS Corp. CI A - Com mon Stk A Dividend J T3 9 . Am . Express Centurion Ban k, 1.75% Cert oI Nonc L T B uy 0 9 1 1 0 / 0 9 LDep, due I)9/16/I I

4 0 . Adv anta Bank Corp., Draper UT Ceaificate C I n t e r e s t Redeemed 05/04/09 Lof Depusit4 1 . Capital One, 3.8% Cert of DeposiL due B I n t e r e s t L T06/04/104 2 . Citi Ba.nk, 3.8% Cer~ of Deposit, due A h t t e r c s t L T B uy 0 5 1 0 5 1 0 9 L0 5 / 1 4 / 1 24 3 . Discover Bank Greenwood, DE Certiticate D I n t e r e s t M Tof Deposit4 4 . Federated PA Mun i Cash Trust Money Mkt A I n t e r e s t Closed 02/24/09 JFund4 5 . FirstGuaranty Ban k & Tr. Jacksonville. FL A I n t e r e s t Redeemed 04/17!09 LCert. of Deposit4 6 . Go ld,~an Sachs Bank USA, 3.05% Cert of B I n t e r e s t L T B uy 02!04/09 LDepogit, due 02/13/t24 7 . Keybank NA , 2.40% Certificate of Deposit. B lntcrcst b , . | T B uy 05/06!09 Md u e 1 1 1 1 4 / 1 14 8 . Lehman Bro s. llank FSB Wihnington, DE - C I n t e r e s t Redeemed 08/31/09 LCert of Deposit4 9 . LPLFinanciallnsured Cash Acco unt A I n t e r e s t J T Open 02/24/09 J

~ 0 1 MBank, 1.60% Certificate of Deposit, due A I n t e r e s t M T B uy 0 7 1 2 2 / 0 9 M0 1 / 2 8 / 1 15 1 . Mutual Bank, H arvey, IL - Certificate of B I n t e r e s t Redeemed 04/27/09 LDeposit



7/9

FINANCIAL DISCLOSURE REPORT NameofPerson Repo rl ing Dale of Repor!Page 7 of 9 C a p u t o , A . R i c h a r d 0 4 / 2 8 / 2 0 0

~] (No reportable income, assets, or transactions.)O N EDescription of Assets | n eDhe du ring. G ro ss value z tt ,. .nO lransafions during teporl lng period| including trust assets) rcporti~g period of reporting pcriod

Place "{X)" aft .... cha .... s, ......t[ Fylx:(eg.. Val ue | Value | Typc{e.g,. I D a t e [Value Gain Idcn,i~yof( A - H ) or int.) (if privale

e x e m p t h o m p r i o r d i s c l o s u r e( J - P I [ Code3 i , c d c m p t i o n ) ] i (J-P) (A-Ill

buvcdscllcrode I div., toni. Code 2 / Method ] buy,~ll, mm /dd, ; yy ] Code 2 Code I

5 2 , Nor~hstar Bank, Bad Axe, MI - C~rfificate o~ g I n t e r e s t K TDeposit5 3 . Sallie Mac Bank, 2.35% Certificate of A lnteresl L T B uy 04/28,09 LDel~sit, due 05/06/1 I5 4 . Wachovia Bank 3.6% Cert of D eposit due C I n t e r e s t I.4/16,rio5 5 . Westmc~nt Hilltop PA Municipal Bond B I n t e r e s t Redeemed 07115/09 L5 6 . 10 acres vacant land - Orange County. None M WFlorida5 7 . Estate #1- 16 acres vacant land, Slocum Twt~ None K W

Luzem Cry PA

SE E A CCO UNT A NT S CO H P~K T ~O N RE PO RT


8/9

FINANCIAL DISCLOSURE REPORT N .... f P . . . . . R e p o r l i n g D a t ~ o [ R e p o r tPage 8 ot"9 Caputo, A. Richard 04/28/2010

VIII. ADDITIONAL INFORM ATION OR EXPL ANATIONS.Part VII - Line 1 - ~ Trust - lnfomratiun reported, as in prior years, represents I00% of the trust assets. [Io, ,vcver, the reporting persons ~ is one ofthree beneficiaries who share equally in the trust.Part VII - Lioe 10 - LPL Financial Insured Cash A ccount - Reported in prior year as "LPL Financial (fka Suvcteign Ba nk) - Insmed c ash account," B ankaccoun t(s) ~naintained by LPL Financial which are made u p of deposits at various FDIC ban ks, cash is transferred to vario us banks througho ut the year at thediscretion of LPL Financial. LPL Financial does no t provide information to the filer with respect to the dates that the interbank transfers occur. Therefore. the fileris precluded from indicating the open and close dates of the underlying bank accmmts where the cash has bccn invested. Tile filer cannot direct intlnencc or in anyother ~anner control the transfer of the cash flora one financial inslitution to another.Part Vll - Line 2(I - LPL Financial Insured Cash Accoun t - P, eported in prior year as "I,PL Financial (Ika Discover B ank) - Insnred cash accou nt" Ban k account(s}maintained by LPL Financial which are made u p of deposits at various FDIC banks, cash is tt-an~ fer~cd It) various banks throughout the year at tile discretionLPL Financial. LPL Financial does no t provide inform ation to the filer with respect to the dates that the interbank transfers occur. Therefore the filer is precludedfrum indicating the open an d close dates of the und erlying bank accounts where the cash has hccn invested. The filer cannot direct, influence or in any o thermanner control the transfer of the cash from one financial instirutiou to another.Part Vll - Line 30 - LPL Financial Insured Cash Account - Bank acconnt(s) maimained by LPL Financial which are made up of deposits at various FDIC banks,cash is transferred to various banks throughout the year at the discretion of LPL Financial. LPL Financial does not pro vide infom aation to the filer with respect tothe dates that the interbank transfers occur. Therefore the filer is precluded from indicating the open and close d ates of the underlying bank accou nts where thecash has been invested. The filer cannot direct, influence or in any o ther manner control the transfe~ of the cash from one financial institution Io another.Part VII - Line 49 - LPL Financial Insured Cash Accou nt - Bank acco unt(s) maintained by LPL Financial which arc made up o f deposits .it various FDIC banks,cash is lransferred Io various banks throughout the year at the discretion of LPL Financial. L PI, Financial does not provide information to the filer with respect tothe dates that the interbank transfers occur, Therefore the filer is precluded from indicating the open and close d ates of the underlying bank accuun ts where thecash ha:i been invested. The filer cannot direct, influence or in any other man ner control the transfer of the cash tiom one financial institution to another.Part VII - Line 56 - Orange County, Florida property - Information reported, as in prior years, represents 100% of the value. H owever, the reporting persons~ is one o f three indiv idua ls who own the proper ty in equa l sha res .Part VII - Line 57 - This is property in Estate # I.



9/9

FINANCIAL DISCLOSURE REPORT ~ m ~ o ~ ...... Reporting Dale otRepori"Page 9 of 9 C a p o , , . A . R i c h a r d 0 4 , 2 8 t 2 0 1 0IX. CERTIFICATION.

I certify that all information given above ( including information pertaining tu m y spo,se and m inor or depeudc, t ~:bildren, if any) isaccurate, true, and comple{e to the best of m y knowledge an d belief , and that an) information no t reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.i further certily that earned i,come from o utside employmen t and hono raria and the acceptance of gif ts which have been reported are incom pliance with the provisions of 5 U.S.C. app. 501 et . seq. , 5 I ,) .S.C. 7353, and Judicial Conference regulations.

Signature.

NO[E: ANY" INDIVIDUAL WHO K1NOWINGLY AND WILFULLY FAI,SIFIES OR FALLS TO FILE TillS REIOR1 MAY BE SUBJECT TO CIVIl,AND CRIMINAl, SANCTIONS (5 U.S.C. app. 104)

FILING INS]RUCT IO NSMail signed original and 3 addit ional copies to:

Comm it tee o n Financial DisclosureAd ministrat ive Office o f the United Statcs CourtsSuite 2-301One Co lumbu s Circle , N.E.Washington , D.C. 20544


richard a caputo financial disclosure report for 2009

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