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POSITION NAME OF ORGANIZAIION/ENTITY
�ARTIES AND TERMS
(Q Ga :::0 ("")
Report Required by the Ethics FINANCIAL DISCLOSURE REPORT in Government Act of 19 78
FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§JOI-Ill)
1. Person Reporting (last name, firs middle initial)
Haight, Jr., Charles S.
2. Court or Ori:snl.Zlltlon
District Court, SONY
3. Dale or Report
05/12/2010
4. Title (Article Ill judges indicate active or &enior status; magistrate judges indicate full- or part-time)
Senior United States District Judge
Sa.. Report Type (check appropriate !ypc)
D Nomination, Date
D Initial IZJ Annual D Final
6. Reporting Period
01/0112009 to
1213112009 Sb. 0 Amended Report
7. Chatnben or Ofr e Addrus
U.S. District Court 141 Church Street New Haven, CT 06510
8. On !he basb ofthe lnformallon contained In !his Report ind any modifications pertaining thereto, it Is, in my opinion, In compliance with applicabl< laws and rci;ulations.
Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form must befollowed. Complete all parts, checking the NONE box for each part where you have no reporlab/e information. Sign on last page.
I. POSITIONS. (R portlnt Individual only; supp. 9-13 of filing instructions.)
NONE (No reportable positions.) 0
I. Advisory Trustee American Scandinavian Foundation
2.
3.
4.
(:::J ......., =5.
II, AGREEMENTS, (Rtportint individual only; Ste pp. U-16 of filing instruction<.)
[Z] NONE (No reportable agreements.)
, . C·
<":' · .. L_ :. :.i ... ·-r·ri . c:.:;:..· 'lr -·
.,
("") l'l
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-0 ¥.J w _J
rn 0 r; I
< r;1 0
I.
2.
3.
Haight Jr., Charles S.
SOURCE ANP IYPE
SOURCE AND IDE
SOURCE LOCATION PlJRPOSE
INCOME
ITEMS PAID OR PROVIDED
I.
4.
FINANCIAL DISCLOSURE REPORT
Page 2of10
N amt of Person Reporting
Haight, Jr., Charles S.
Date of Report
05/1212010
Ill, N 0 N-INVESTMENT IN CO ME. (Reporting indfridual and •po11•e; see pp. 17-U of filing instructions.)
A. Filer's Non-Investment Income
[Z] NONE (No reportable non-investment income.)
(yours, not spouse's)
2.
3.
4.
B. Spouse's Non-Investment Income - Qyou ""'re married during anyportion of the r.porting year, complete thi$ section.
(Dollar amount not required exceptfor honoraria.)
NONE (No reportable non-investment income.) [Z]
I.
2.
3.
4.
IV. REIMB u RSEMENTS - traruportation, lodging, food, enterlainm•nL
(Includes those to spouse and dependent children; set pp. 15-17 of filing lnstructloru:.)
[Z] NONE (No reportable reimbursements.)
I.
2.
3.
5.
of fWng
SOURCE DESCRIPTION
CREDITOR DESCRIPTION
VALUE
VALUE CODE
s.
4.
FINANCIAL DISCLOSURE REPORT
Page 3 of IO
Na mt of Penon Reporting
Haight, Jr Charles S.
Date of Report
05/12/2010
V. GIFTS, (lnduda those to spoia• and d•pouf•nt children; supp. 18-3/
[Z] NONE (No reportable gifts.)
Instructions.)
I.
2.
3.
4.
VI. LIABILITIES. (lndudes llrose of spouse and dependent children; see pp. 32-33 of filing instructions.)
[Z] NONE (No reportable liabilities.)
l.
2.
3.
5.
'
I
I I
FINANCIAL DISCLOSURE REPORT
Page 4of10
Name of Pc.non Reporting
Haight. Jr., Charles S.
Date or Report
05/12'2010
VII. INVESTMENTS and TRUSTS - income, •abu, transactions (lnc/•ul<J tho .. ofspouu anti dependent children; Se< pp. 34.(!0 offWng Instructions.)
D NONE (No reportable income, assets, or transactions.)
A.Description of Assets (including trust assets) Place "(X)" after each asset
exempt from prior disclosure
1. Bank of America Money Market
2. Comcast Corp.
3. Walt Disney Co.
4. Home Depot Inc.
s. Staples Inc.
6. CVS Caremark Corp.
7. Diageo Pie
8. Nestles S.A.
9. Procter & Gamble Co.
10. Exxon Mobil Corp.
11. Berkshire 1 lathaway
12. J.P. Morgan Chase
13. Markel Corp.
14. T. Rowe Price Group
15. Gilead Sciences Inc.
16. Johnson & Johnson
17. Quest DiagnosJics
J. lncome Gain Codes: A •S 1,000 or lc.<11
B.Income during reporting period (I) (2)Amount Type(e.g.,Code I div... rent,(A-H} or int.)
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
None
A Dividend
None
A Dividend
None
A Dividend
A Dividend
B•Sl,001-$2,500
c.
Gross value at end of reporting period (I) (2)Value Value
Codc2 Method(J-P) Codc3
(Q-W)
M T
J T
J T
J T
K T
K T
J T
J T
K T
K T
J T
J T
(I)Type(e.g., buy, sell,redemption)
Sold
Sold
Sold
Sold
Sold
C •$2,50 I - Sl ,000
D.
Transactions during reporting period (2} (3)Date Valuemm/dd/yy Code 2(
J-P)
11/10/09 J
05104109 J
04129/09 K
07/07/09 J
11/10/09 J
D •SS,001. Sll.000
(4) ,, Gain
Code I(A-H)
B
(5) Identity of
buyer/seller (if private
transaction)
E =Sll,001- SS0,000 (See CQlumn1 Bl and 0"4) F •Sl0,001-SI00,000 G ·SI 00,00 I • S 1,000,000 HI •SI ,000,001 -Sl,000.000 H2 =More than Sl,000.000
l. Value Coda J su.ooo or lcu K •S 1 l,001 • $5-0,000 L-=S50.001-s100.ooo M -=SI00,001 -$250.000 (See Columns Cl Ind DJ) N •$2l0,00I • $500,000 O •Sl00,001 - Sl,000.000 Pl •Sl ,000,001 - $5,000,000 P2 •Sl,000,001 • $25,000,000
P3 •$25,000,001 • $50,000,000 P4 =Mono than $50,000,000 3. Value Method Codes Q cAppraisal R •Cast (Real Estate Only) S -=Assessment TaCashMarket
(See CGhunn Cl) U•Book Value V=Oth.,. W -EstimalC"d
(l)[-·-(2)""" ---- -----
! '
29.
33.
(2)
Date or Report Name of rcnon Reporting FINANCIAL DISCLOSURE REPORT
Page 5of10 05/1212010Haight, Jr., Charles S.
VII. INVESTMENTS and TRUSTS - inconu, •alue, IT'tlnsactions (Includes those uf spouse and depend<nt children; ... PP· 31 0 offiling inscructions.)
D NONE (No reportable income, assets, or transactions.) ---·· ·-
A. B. c. D.
Description of Assets Income during Gross value at end Transactions during reponing period
(including trust assets) reporting period of reporting period -· ·---·- - -- . ----- --- ··-·
(1)(1) (2) (3) (4) (l) PlBGe "(X)" after each asset
exempt from prior disclosure
18. Sttyker Corp.
19. General Electric Co.
20. Lockheed Martin Co.
21. Cisco Systems
22. Microsoft Corp.
23. Baron Growth Fund
24. Columbia Marsico Focused Equities Fund ClassZ
25. Eaton Vance Structured Emerging Mkts Fund
26. !Shares S&P Midcap 400 Index Fund
27. Royce FWld Premier Ser
28. Thornberg Intl Value Fund
Amount Code I
(A-H)
A
A
A
A
A
A
B
Type (e.g., div., rent.
or int.)
Dividend
D ividend
Dividend
None
Dividend
None
Dividend
None
Dividend
None
Dividend
Value
Code2
(J-P)
J
J
J
L
Value
Method Code3
(Q-W)
T
T
T
T
Type (e.g.,
buy, sell, redemption)
Sold
Sold
Sold
Sold
Sold
Sold
Sold
Date mm/dd/yy
06/01/09
07131/09
07131109
04/29/09
11/12/09
11112/09
07/28/09
Identity of
Code2
Value Gain buyer/sellerCode I
(ifprivate transattion)
(A-H)(J-P)
J
J
J
J
K
L
J B
US Treas NT Due 03/15/09 D Interest Redeemed 03/15/09 0
30. New York NY GO Bonds 3/18/99 A Interest Redeemed 03/16/09 K
31. Conn St Gen Rev Bonds Interest M Tc
32. NY State Dorm Auth Bonds Interest K TB
Niagara Falls NY City School Dist Bonds B Interest K T
34. New York State GO Bonds 7/15/98 B Interest K T
I. Income GiMn Cocks: (See Columns Bl an.l 04)
2. Value Cod"s (See CJlumns Cl and DJ)
3. Value Mcihod Codes
(Sec Column Cl)
A •S1,000 or Im F •SS0,001 • Sl00,000 J • !I l,000 °'kn N •Sll0,00 I • SS00,000
Pl •Sll,000.001 • SS0,000,000 Q•Appraiul U •Book Value
B =S 1,00 I· S2,SOO
G ·SI00,001 ·Sl,000.000 K s I S.00 I • SS0.000
0 =SlOO.UO I • S 1,000,000
R ..Cosl (Real E.!tate Only) y --O:hcr
C =S2,l0 I - SS,000
HI •Sl ,000,00 1 -Sl,000,otlO
L--SSO.OOl -Sllltl,000 Pl =Sl.OOO,OOl -SS,000,000
P4 =Moro than 550,000,000 S =Assessment Wc:Estimated
D=SS,OOl -Sll,000
H2 -=More than $5,000,000 M •Sl00,001 • SlS0,000 Pl =SS,000,001 - S2l,OOO,OOO
T-C..h Mar et
E •SI S,001- Sl0,000
--
J
T
·-
I
0
(1)
Dalt of Report Nam< of Perso11 ReportJn2FINANCIAL DISCLOSURE REPORT
Page 6of10 0511212010Haight, Jr., Charles S.
VII. INVESTMENTS and TRUSTS - income, '""''· transactions c1nc1uJc rhose of spouu ant1 dependent children; su PP· 14 0 "'filing ins1ruc1ions.1
NONE (No reportable income, assets, or transactions.)
D.A.
Transactions during reporting periodDescription of Assets
redemption)
(including trust assets)
(2) DatePlace "(X)" after each asset Type (e.g.,
buy, sell, exempt from prior disclosure mm/dd/yy
B.
Income during
reporting period
c.
Gross value at end
of reporting period
(I) Amount Code I
(A-H)
(2)
Typc(c.g.,
div., ren
or int.)
(l) Value
Code2
(J-P)
----·-
(2) Value
Method
CodcJ
(Q·W)
(3) (5)(4) Identity of GainValue
Code I buyer/sellerCodc2 (if private (J-P) (A-ff)
transaction)
35. New York State Twy Auth Bonds B Interest K T
36. Conn State GO Bonds 6/26/08 c Interest M T
37. Stamford Conn GO Bonds c Interest M T
38. Conn State HSG Auth Bonds D Interest M T
39. Conn State Spc Tax Oblig Rev Bonds D Interest M T
40. Pimco Foreign Bond Fund B Interest Sold 04130109 M
41. Pimco Commodity Real Return Fund A Dividend Sold 05/04/09 K
42. Baron Fifth Ave Growth Fund None Sold 04/30/09 K
43. Pimco Total Return Fund Insl Class A Dividend Sold 01/14/09 J
44. HSBC CJD A Interest Closed 03/01/09 J
45. Vanguard Money Mkt Fund A Interest K T
46. ING Direct Savings Bank B Interest L T
47. US Trust Co of NY Bank of America None ] T Checking Account
48. HSBC Checking Account A Interest Closed 03/01/09 ]
49. Guilford Savings Bank None T Open 03/01/09 ]
50. Columbia Select Large Cap. Fund None K T Buy 04/30/09 K
51. Amazon.com, Inc. None J Buy 05/04/09 J
l. Income Cain Codes: A •Sl,000 o<leu B-Sl,001-$2,SOO c •$2,501 • $5.000 D •SS.00 I • SI 5,000 E •SIS,001 • $50.000 (See Colwnn> BI end 04) F•SS0,001-$100,000 a--s100.001- s1.ooo.ooo H1 s 1.000,001 - ss.000.000 lil a:More than SS,000,000
2. Value Codea J •I I S1000 or less K •SIS,001 • SS0.000 L •SS0,001 • SI00,000 M •SI00,001 • $250.000 (Sec C0Jumn1 Cr and 03) N •$250,001 • S500.ooo o •ssoo,001- s1.ooo.ooo Pl •Sl,OOO,OOl -$5,000.000 r2 -ss.000,00 1 - s2s.ooo,ooo
PJ -s2s.ooo.001 • sso,000,000 P4 ,,..Mon: than SS0,000,000 ). Value Method Codc!i Q •Appraisal R -CO.I (Real Estate Only) S '""Assessment T =Cash Mukct
(See Colwnn C2) U•Book Value V=Other W -Estima1cd
!
! (2) (3) (l)
I
T
T
]
(I) (I)
54.
55.
67.
Date ofReport Name of Penon Reporting FINANCIAL DISCLOSURE REPORT
Page 7of10 0511212010Haight, Jr., Charles S.
VII. INVESTMENTS and TRUSTS - Income, value, ITOllSactiDllS (Includes those of spouse anti dependent childun; ...pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end Transiu:tions during reporting period
(including trust assets) reporting period of reporting period
(2) (4) Ga.in ldenlily of
(2) (I)
IValueAmount Type (e.g., Value ValuePlace '(X)" after eiu:h asset Type(c.g., Date
ICode I buyerliellerCode 2 I Code I div., rent, buy, sci MethodCode2 mm/dd/yyexempt from prior disclosure (A-H) (ifprivate(J-P) (A-H)or int.) CodeJ redemption)(J-P)
I transaclion)(Q·W)
52. Lerner Corp. None J T Buy 05/04/09 J
53. McKesson Corp. A Dividend J T Buy 11116/09 J
Cwnmins Inc. A Dividend J T Buy 08/07/09 J
Accenture Ltd. A Dividend J T Buy 08/07/09 J
56. MasterCard Inc. A Dividend J T Buy 11/16/09 J
57. Barrick Gold Corp. A Dividend J Buy 11/16109 J
58. Oracle Corp. A Dividend J T Buy 05104109 J
59. FPL Group A Dividend K T Buy 05/04/09 J
60. IShares China Index Fund A Dividend K T Buy 11/16/09 ]
61. !Shares Australia Index Fund B Dividend K T Buy 11/16/09 K
62. IShares Brazil Index Fund
63. I Shares Canada Index Fund
64. IShares South Korea Index Fund
65. Pimco Total Return Fund
66. Discovery Communications Inc.
A
A
A
D
Dividend
Dividend
Dividend
Dividend
None
K
K
K
M
J
T Buy 11116/09 K
Buy 11/16/09 K
T Buy 11/16/09 K
T Buy 11/12/09 M
T Buy 11116/09 J
Apache Corp. A Dividend J T Buy 11116/09
68. Litchfield, CT GO Bonds c Interest M
I. Income Gaia Codes: A -S 1.000 or lcu B •Sl,001 • S2.SOO
(See Columns DI and 04) F •SS0,001-$100,000 G -i100,001 -$1,000,000
2. Value Codes J •SI S, 000 orlou K •$15,00t • SS0,000
(See Columns Cl and DJ) N •S250,00I - SS00,000 o •s500,001-s1.ooo.ooo
Pl •$25.000,001 - SS0.000,000 3. Value Method Codca Q•Apprai&1I R -Cost (Real E.late Only)
(See Column C2) U •Book Value v --Other
T Buy 12/17/09 M
C •S2,SOI • SS,000 D sSS,OOt • SIS,000 E "'SIS,001 · SS0,000
HI -s1.ooo,001. ss.000.000 Hl •More than SS,000,000
L sso.001- s100.ooo M •SJ00,001 • $250,000 P I -S 1,000,00 I - SS.000,000 P2 ss,000.001 -s2s,ooo,ooo
P4 •Mou than SS0,000,000
S cAs5 sme"t T=CashMartet
W Estimated
of 1wng
T
V-othcr
M
Date of Report Name of Person ReportlnFINANCIAL DISCLOSURE REPORT
Page 8of10 05/1212010Haight, Jr., Charles S.
VII. INVESTMENTS and TRUSTS -facom•, "a1 ••• 1ransucr1uns <1nc1udes 1hau of•pouu ant1 dependent children; see PP· J4-6o insrructwns.J
D NONE (No reportable income, assets, or transactions.}
A.
Description of Assets
(including trust assets)
Place "(X)• after ea.ch asset
exempt from prior disclosure
B. c. D.
Income during Gross value at end Transactions during reporting period
reporting period of reponing period
(I) Amount Code I
(2) Type (e.g.,
div., rent,
(I) Value
Codc2
(2) Value
Method
(I) Type (e.g.,
buy. sell.
(2)
I (3)
Date Value rnm/dd/yy Code 2
(4) Gain
Code!
(.S) Identity of
buyer/seller {A-H) or int.) (1-P) Codc3
{Q-W)
redemption) I (1-P) (A-1-1) {if private transaction)
69. Cheshire, CT GO Bonds c Interest M T Buy 06/26/09 M
70. Manchester, CT GO Bonds c Interest M T Buy 07/02/09 M
71. Southington, CT GO Bonds
72. Easton, CT GO Bonds
c
c
Interest
Interest
M
M
T Buy
Buy
06/05/09
05/28109
M
73. West Hartford, CT GO Bonds c Interest M T Buy 07/21/09 M
74. Regional School District 18 CT Bonds D Interest M T Buy 09115/09 M
75. Wethersfield, CT GO Bonds D Interest M T Buy 06/18/09 M
J. looome Gain Codes: A •$1,000 or Im B •S l ,001 • $2.SOO C •S2,50 I - SS ,000
( e Columns ll I ond D-1) F •SS0,001 • SJ00,000 G •SI00,001 -Sl,000,000 HI =SJ ,000,001 -$5,000,000 2. Value Codes J •SI S,000 or lc:s.s K•SIS,001-SSO.OOO L =$50,001-SIDO,ooo
(Set Columns Cl aod 03) N =SlS0,001 -SS00,000 O•sl00,001-Sl,000,000 Pl •Sl.000,001 - $5,000,000 Pl •Sll,000,001 - SS0,000,000 P4 •Mor< than SS0,000,000
J. Value Method Cod<1 Q•App<a;,al R •Cost {Real Estale Only) S =Assessment (See Column 0) U •Book Value W =Estimated
D •SS,001 -SIS,000
Hl •Mon: th.on Sl,000,000
M.-,SI00,001-$250,000
Pl =SS,000,001 - $25,000,000
T-i:ash Marl:et
E =$15,001- SS0,000
D1te or Report Name or Pttson Reporting FINANCIAL DISCLOSURE REPORT
05/1212010Haight, Jr., Charles S. Page 9of10
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. {lndicatqarto/Report.)
Page 4, Par1 VII, line I of the 2008 Report lists "Columbia Govt. Plus Reserves Trust Class" as an asset. This is a money market fund. During 2009 our financial adviser replaced Columbia with a Bank of America Money Market Savings Account, which is listed on Page 4, Part VII, line I of the 2009 Report in place of Columbia. This was a transfer of cash from one fund to the other. It did not generate any gains or losses.
FINANCIAL DISCLOSURE REPORT
Page 10 oflO
Name or Penon Repor!lni
Haight, Jr., Charles S.
Date of Report
05/1212010
IX. CERTIFICATION.
I certify that all Information given above (including lnformatlon pertaining to my rpouse and minor or dependent children, if any} ls accurate, true, and complete to the best or my knowledge and belief, and that any Information not reported mu withheld because It met applicable statutory provisions permitting non-disclosure.
I further certify that earned Income from outside employment and honoraria and the acceptance or gifts which have been reported are in compliance with the provisions or 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Sign at
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSI AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
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