Arthur J Gajarsa Financial Disclosure Report for 2010

8/3/2019 Arthur J Gajarsa Financial Disclosure Report for 2010

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Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0

Report Reqztired b)’ the Ethicsin Government Act of 1978(5 U .S.C. app..~¢.~" 101-111)

I. Person Re porting (last name, first, middle initial) 2. Court or Organization 3. Date of Report

Gajarsa, Arthur J. U.S. Courl of App eals for the Federal Circuit 08/I 0/2011

4. Title (Article III judges indicate active o r senior status;

magistrate judges indicate full- or part-time)

U.S. Appeals Judge - Active

7. Chambers or Office Address

717 Madison Place, N.W.Washington, D.C. 20439

5a. Report T)ve (check appropriate

] Nomination, D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my o pinion, in compliance~vith applicable lairs and regulations.

Reviesving O fficer Date

6. Reporting Period

01/01/2010to

12/31/2010

I M P O R TA N T N O T E S :The instructions accompanying this form must be followe d Complete all pa rts,checking the NON E box for each pa rt where you have no reportab le information. Sign on last page.

I . P O S I T I O N S . t R o ~ , o r~ i ,gi n d i v i d . a l o n t y ; s c c p p . 9 - 1 3of filing instructions.)

D NONE (Noreportable positions.)

I. Board of Trustees

2. Board o f Visitors

3.

4.

5.

POSITION NAME O F ORGA NIZATION/ENTITY

Rensselaer Insti tute

Georgetown Un iversity

I I . A G R E E M E N T S .m , p o n i , gindividual only; see pp. 14-16 of filing instructions.)

1-~ N ONE(No re portable agre ements.)

DATE PA RT I ES A N D T E R M S



FINANCIAL DISCLOSURE REPORT

Page 2 of 10

N a m e o f P e r so n R e p o r t i n g

Gajarsa, Arthur J.

D a t e o f R e p o r t

08/10/2011

I I 1 . N O N - IN V E S T M E N T I N C O M E .(Reporling indi,,idual and spouse; see pp. 17-24 of filing instructions.)

A. Filer’s Non-Investm ent Incom e

~ N O N E(No reportable income.)on-investment

DATE SOURCE AND TYPE

1.2010 PRESIDENT & DIRECTORS OF GEORGETOWN CO LLEGE FORGEORGETOW N UNIVERSITY - W-2 WAGES

INCOME(yours , not spouse’s)

$7,700.00

B . S p o u s e ’sN o n - l n v e st m e n t 1 n c o m e- If .rou were married during any portion of the reporting year, complete this section.

(Dolla r amount not required except for honoraria.)

~] NONE(No reportable non-investment income.)

DATE SOURCE AND TYPE

2.

3.

4.

IV. R E I M B U R S E M E N T S- transportation, Iodglng, food, entertainment.(Includes those to spouse and dependent chil&’en; see pp. 25-27 of filing instructions.)

NONE(No reportable reimbursements.)

SOURCE

N E W Y O R K~ T E L L E C T U A LP R O P E RT Y L AWA S S O C I AT I O N

FRANKLIN PIERCE LAWCENTER ( UNIV OF NEWHAMPSHIRE)

D AT E S LOCATION

03/26/10 - 03/27/10 N E W Y O R K , N Y

CONCORD, NEWHAMPSHIRE

PURPOSE

H O N O R I N G F E D E R A LJ U D I C I A RY

ITEMS PAID OR PROVIDED

T R A N S P O RTAT I O N , M E A L S ,L O D G I N G

FEDERAL JUDICIALCENTER

06/10/10 - 06/15/10 PRINCETON, NEWJERSEY

S E M I N A R F O RF E D E R A L & S TAT EJUDGES

T R A N S P O RTAT I O N , M E A L S ,LODGING

04/21 / I 0 - 04124/I 0 PARTICIPANT- NAVIGATINGIP BOUNDRIES,FRONTIERS&O P P O RT U N I T I E S

T R A N S P O RTAT I O N




Page 3 of 10

N a m e o f P e r s o n R e p o r t in g

Gajarsa, Arthur J.


08/10/201 I

UNIVERSITY O FH O U S T O N L AW C E N T E R -IP INSTITUTE

09/30/10 -10/02/10 G A LV E S TO N , T E X A S K E Y N O T E S P E A K E R T R A N S P O RTAT I O N

7. PHILADELPHIA I I/I 8/2010INTELLECTUALPROPERTY L A WASSOCIATION

6. AUSTIN AIPLA ANNUAL 1 I/I 1/10 -11/13/10DINNER

T R A N S P O RTAT I O N ,MEALS,LODGING

AUSTIN, TEX AS K EYNOTE SPEAK ER TRANSPORTATION, MEALS

PHILADELPHIA,PENNSYLVANIA

JUDGE’S DINNER -LOURIE HONOREE

TRANSPORTATION, M EALS,LODGING

5. H ARVARD LAW IP 10/13/10 - 10/14/10 B O S TO N , SPEAKERCONFERENCE M ASSACH USETTS



FINANCIAL DISCLOSURE REPORTPage 4 of 10


Gajarsa, Arthur J.


08/10/2011

V. G I F T S .(Includes those to spouse and dependen t children; see pp. 28-31 of filing instructions-)

N O N E(No repo rtable gifts.)

SOURCE

I.

2.

3.

4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S .a n c t u a e s t h o s e o f s p o u s e a n d d e p e n a e . tchi ldren; see p p. 32-3 3 of f i l ing instruct ions.)

D N O N E(No reportable liabilit ies.)

3.

4.

5.

C R E D I TO R

M O R G A N S TA N L EY S M I T HB A R N E Y

DESCRIPTION

P O RT F O L I O C R E D I T L I N E

VA L U E C O D E

M




Page 5 of 10

N a m e o f P e r so n R e p o r t i n g

Gajarsa, Arthur J.


08/10/201 I

V I I . IN V E S T M E N T S a n dT R U S T S -i .c o , ~ e , , ,o l u e ,t .... actions (Includes those of spouse a nd depen dent children; seepp. 34-60 o f f i l ing instructions.)

~ ] N O N E(No repor table income, a ssets , or t ransact ions . )

A. B.C.

Description of Assets Incom e during Gross value at end(including trust assets) reporting period of reporting period

(1) (2) (i) (2)

Place "(X)" after each asset Amount Type (e.g., Value Valueexempt from prior disclosure Code I div., rent, Code 2 Method

(A-H) o r i n t . ) ( J - P ) Code3

I. C O I N C O L L E C T IO N None L W

2. B A N K O F A M E R I C A A Interest K T

3. R O C K Y W O L D D E E P H AV E N C A M P S A Div idend K T

4. S P E C I A L S I T U AT I O N S L I F E S C I E N C E SF Int./Div. M UF U N D L P

5. O RT E C T H E R A P E U T I C S IN C None K T

6. C H A S E PA C K A G I N G C O R P T E X None K T

7. E A G L E B A N C O R P l N C M D None K T

8. H O L O G I C I N C None K T

9. I N S U L E T C O R P None L T

1 0 . C O N S O L I D AT E D E D I S O N C Div idend L T

1 I . N S TA R B Div idend K T

1 2 . U D R I N C A Div idend K T

1 3 . U N I V E R S A L H E A LT H R E A LT Y D Div idend M TI N C O M E T R U S T

1 4 . M A S S M U T U A L C O R P O R AT E D Div idend M TI N V E S T O R S

1 5 . M A S S M U T U A L PA R T I C I PAT I O N IN V SD Div idend M T

1 6 . E ATO N VA N C E G R E AT E R I N D I A F U N D None M T

1 7 . C I T I B A N K N A S O U T H D A K O TA B N K A Interest J TD E P O P R G M " A C C O U N T "

Transactions during reporting period

(I ) (2) (3)

Type (e.g., D a t e Valuebuy, sell, m m/d d/y y C od e 2

redemplion) ( J - P )

(4 ) (5 )

Gain Identity ofC o d e 1 buyer/seller(A-H) (if private

transaction)

I . Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000

(See Columns BI and D-l) F =$50,001 - $100,000 G =$100,001 - $1,000,0~0 HI =$1.000.001 - $5.000,000

2. Value Codes J =$15.0~O or less K =$15,001 - $50.000 L -$50,001 - $ 100.000

(See Columns C I and D3) N =$250,001 - $50~,000 O =$500,001 - $1,000,0~0 PI =$1,000,001 - $5,000.000P3 $25,000.001o$50.000.000 p4 = More than $50.000.000

3. Value Mclhod Codes Q =A ppraisal R =Cost (Real Estate Only) S =Asscssmcnl(See Column C2) U ~Book Value V -Olhcr W =Estimated

D =$5,001 - $15,000H2 =More than $5.000.000M =$100,001 - $250.000P2 =$5,0~0,001 - $25.000.000

T =Cash Market

E -$15,0~I - $50.000




Page 6 of 10


Gajarsa, Arthur J.


08/10/201 I

V I I . I N V E S T M E N T S an d T R U S T S -i n c o , .e , ,. o t u e , tr o . s o c , io n s a n c t u d e s t h o s eof spouse and dependent children; see pp. 34-60of filing instructions.)

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 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 i n g p e r i o d

(1) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o un t T y pe (e .g . ,

exempt from prior disclosure Code I d i v. , r e n t ,( A - H ) or int .)

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

(i) (2)Value Value

C o d e 2 M e th o d(J -P ) C ode 3

( Q - W )

(l )Ty p e ( e . g . ,b u y, s e l l ,

r e d e m p t i o n )

Tr a n s a c t i o n s d u r in g r e p o r ti n g p e r i o d

(2 ) (3) (4)D a t e Value Gain

m m/dd /yy C od e 2Code( J - P ) (A-H)

I d e n t i t y o fb u y e r / s e t l e r( i f p r iva te

t r a n s a c t i o n )

1 8 . ANAD IGICS INC None K T

1 9 . C O R N I N G I N C A Dividend K T

20 . RUMSON-FAIR HAVEN BK &TRUST

CO21 . TGC INDUSTRIES INC

None K T

None L T

22 . POWERSHARES EXCHANGE- TRADEDFD

23 . CPI CAPITAL NORTH AMERICA SER A

None J T

None L T

24 .

25 .

26 .

27 .

28 .

CAPITOL PRIVATE OPP LP

MORGAN STANLEY SMITH BARNEYIRA -20-12

- CITI BANK NA BANK DEPO SITPROGRAM "ACCOUNT"

-CITIBANK NA SOUTH D AKOTA BNKD E P O P R G M " A C C O U N T "

- BANK OF AMERICA CORP

None N T Bu y(add’l)

A Int./Div. J T

09/01/10

29 .

30.

31.

32.

MORGAN STANLEY SMITH BARNEYIRA - 80-16

-CITIBANK NA SOUTH D AKOTA BNKD E P O P R G M " A C C O U N T "

-CVCICAYMEN OFFI ICLA

AMERITRADE IRA

A Int./Div.

E Int.d)iv. PI

T

Open

Bu y(add’l)

T

12/23/10

05/03/10

J

J

33. -CASH INSURED DEPOSIT "ACCOUNT"

34. -ANADIGICS INC

I. Incom e Gain C odes: A -51,000 or less B =$1.001 - $2.500 C =$2,501 - $5,000 D =$ 5,001 - $15.000

(See C olum ns B I and IM ) F =$50.001 - $106,009 G =$100.001 - $1.0~0.000 H I =$1.0~0,001 - $5.0¢0.000It2 =More than $5.000.000

2. Value C odes J =$15,000 or less K $15.001 - $50.000 L -$50.001 - $100.000 M =$100,001 - $250.000

(See Columns CI and D3) N =$250.D01 - $500,000 O =$500.001 . $1,000,000 p I =$1,000,001 - $5.000.000 P2 $5.000,001-$25.000.000P3 =$25.000,001 - $50.000.000 P4 =More than 550.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U -Book Value V =Other W =Eslimated

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 ~ O





Gajarsa, Arthur J.

Date of R e p o r t

08/10/201 I

V I I. I N V E S T M E N T S a n d T R U S T S -i n c o m e ,, ,alue, transactions (Includes those of sp ouse and depende nt children; seepp. 34 -60 o f filing instructions.)


Description of Assets Income during(including trust assets) reporting period

O) (2)Place "(X)" after each asset A mo unt Ty pe (e.g.,

exempt from prior disclosure Code I div., rent,(A-H) o r i n t . )

Gross value at endof reporting period

O) (2)Value Value

Code 2 Method(J-P) Code 3

(Q-W)

(] )Type (e.g.,buy, sell,

redemption)

Transactions during reporting period

(2) (3) (4)D a t e Value Gain

mm!dd/yy Code 2 Code I( J - P ) (A-H)

(5 )Idemity of

buyer/seller(if private

transaction)

35 . -AOL INC (SPIN-OFF FROM TIMEWARNER , INC.)

36 . - B A N K O F A M E R I C A C O R P

Sold 01/14/10 J

37. -CHASE PACKAGING CORPORATION

CM

38 . - D I A N A S H I P P I N G I N C

39. -DISCOVER FINL SVCS

40 . -GENERAL ELECTRIC COMPANY

41 . -GOLDCORP INC

42 . -ENERGY CONVERSION D EVICES IN

43 . -HEALTH CARE R EIT INC

Bu y 10/07/10 K

Bu y 01106110 K

T R A N S TO R O T HIRA LINE 61

44. -IDEARC INC Closed 12 /31 / I 0 J

45 . - INSULET CORPOR ATION

C O W E N TB A N K R U P T N OS A L E

46 . - INTERMEC INC

47 . - INTRAOP MEDICAL CORP

48 . -LEGG MASON INC

49 . -MASSMUTUAL CORPOR ATE INVS IN

50 . -MASSMUTUAL PARTICIPATION INVSH BEN INT

I. Incom e Gain Codes: A -$1,000 or less B -$1.001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000

(See Columns 81 and I)4) F =$50.001 - $100.000 G =$100.001 - $1,000,000 H I =$1,000.001 - $5,000,000H2 =More than

2. Value Codes J =$15,000 or less K =$15.001 - $50.000 L =$50.001 - $100,000 M =$100,O0l - $250,0CO

(SecColur rmsClandD3) N=$250.001o$500,000 O $500.001-$1 .000 .000 PI $1.000.001-$5,000,000 P2=$5,000,001-$25,000.000

P3 $25,000.001 - $50,000,000 P4 = More than $50.000.000

3. Value Method Codes Q =Appraisal R =Co,,,I (Real E~,tate Only) S =A:,sc.,.sment T =Cash Market

ISec Column C2) U =Book Value V O t h e r W =Estimated

E =$15,00| - $50,000



FINANCIAL DISCLOSURE REPORTPage 8 of 10 I

a m e o f P e r s o n R e p o r t in g

Gajarsa, Arthur J.


08/10/2011

V I I. IN V E S T M E N T SandT R U S T S- income, value, t ransa ct ions (Includes those of spouse and dependent chi ldren; see pp . 34-60 of f i l ing instruct ions.)


D e s c r i p ti o n o f A s s e t s Income during( in c lu d in g tru s t a s s e ts ) re p o rt in g p e rio d

O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t Ty p e ( e . g . ,

exempt from prior disclosure C o d e 1 d i v. , r e n t ,( A - H ) or in 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 Value

C o d e 2 M e th o d(J-P) C o d e 3

( Q - W )

O)Ty p e ( e . g .,b u y, s e l l ,

r e d e m p t i o n )

Tr a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)

D a t e Value Gainm rrd dd /y y C od e 2Code I

(J-P) (A-H)

I d e n t i t y o fbuyer/seller( i f p r iva te

t r a n s a c t i o n )

51 . -MOTOROLA INC

52 . -ROSE’VrA STONE, INC

T R A N S TO R O T HIRA LINE 62

53 . - RUMSON-FAIR HAVEN BANK&

T R U S T54. -STECINC

55 . -TGCINDS INC

56 . -TIM E W ARNER CABLE INC So ld04/27110 J

57 . -TIME WARNER INC Sold 04/27/10 K

58 . -UNIVERSAL HEALTH REALTY INCMT SH BEN INT

59 . -VALE S.A. ADR Sold 10/07/10 K

6 0. A ME RIT RA D E R O TH IR A

61 . - ENERGY CONVERSION D EVICES INC

62. -M OT OR OLA IN C

63 . E U R O PA C I FI C G R O W T H F U N D

64 . G R O W T H F U N D O F A M E R I C A

65 . NEW PERSPECT IVE FUND CL 529-A

66 . WASHINGTON MUTUAL INVESTORSFUND CL 529-A

67 .

None

None

None

None

None

K T Open

J

J

J

J

12/30/I 0

T Bu y 10/01/10

T Bu y I0/01/10

T Bu y 10/01/10

T Bu y I0/01/10

J

J

J

J

T R A N S F R O M I R ALINE 42

T R A N S F R O M I R ALINE 51

I . Income Gain Codes: A $1,000 or Icss B =$1,001 . $2,500 C =$2,501 - $5,000 D = $5,001 - $15,000

(See Columns B I and D 41 F : $ 50.001 - $ 100 .000 G =$ 100 .00 1 - $1 ,0 00 ,0 00 H 1 =$1.0 00.0 01 - $5,0 00 .0 00H 2= More than $5,000,000

2. Value Codes J =$15,0~O or less K :$15,001 - $50.000 L -$50.001 - $ 100.0~0 M =$100.001 - $250.000

(See Columns CI and D3) N $250 .001-$500 .000 O =$50 0,0 01 . $ i .0 00 .0 00 p I = $ 1,0 00 .0 Ol . $5,0 90 ,0 ~0p2 = $5.000,001 - $25.000,000

P3 $25.000,001 - $50.0~0.000 P4 = More than $50.000,000

3. Value Method Codes Q =A ppraisal R =Cost (Rcal Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =Book Value V =Other W =E~timated

E =$15,001 - $50.000




N a m eof Person Reporting

Gaja r sa , Ar thur J .

Date of Report

08/10/2011

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS.(lndicate part of report.)

D uring the year, there was a conversion from a regular Ira to a Roth Ira. Two stocks we re converted to the Roth account, Energy Con veto l ine 61) and M otorola Inc (l ine 51 to l ine 62).




Page 10 of 10

Name of Person Reporting

Gaja r sa , Ar thur J .

Date of Report

08/10/201 I

IX. CERTIFICATION.

I cer t i fy that a l l informat ion given above ( including informat ion per ta ining to my spouse and minor or dependent chi ldren, i f a

accurate , true , and com plete to the bes t of my kno wledge an d bel ief , and that any informat ion n ot repor ted ~vas wi thheld because i tprovis ions permit t ing non-disc losure .

1 fur ther cer t i fy that earned income from outs ide emplo)anent and honorar ia and the acceptance of g i f ts which have been reporcomp liance ~vi th the provis ions of 5 U.S.C. app. § 501 e t . seq, 5 U.S.C. § 7353, and Judic ia l Conference regula t ions .

Signature: S/Arthur J. Gajarsa

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G LY A N D W I L F U L LY FA L SI F IE S O R FA L L S TO F I LE T H I S R E P O RT M AY B E S U BAND CRIM INAL SANC TIONS (5 U.S.C. app. § 104)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301

One Columbus Circle, N.E.Washington, D.C. 20544

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Arthur J Gajarsa Financial Disclosure Report for 2010