Edwin M Kosik Financial Disclosure Report for 2009

8/3/2019 Edwin M Kosik Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/edwin-m-kosik-financial-disclosure-report-for-2009 1/9

I . ~ o 1 0 [ FINANCIAL DISCLOSURE REPORT ~ e p o , - t R e q u i r e d b y t h e E t h i c s¯ in GovernmentAct of 1978

R e v . ] / 2 0 1 0 ] FOR CALENDAR YEAR 2009 ( 5 u . s , c , a p p . ~ . ~ 1 o 1 - 1 1 1 )

I . Per son Repnrdng ( l as t name, f i r s t , middle in i t i a l ) 2. Cour t or Organizat ion 3. Date of Report

Ko s i k , E d w i n M . U.S. Dis t r ic t C o u r t / M . D . Pa. 05/05/2010

4 . T i t l e ( A r t i c l e I 1 1 j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a . R e p o r t T y p e ( c h o c k a p p r o p r i a te t y p e ) 6. Repor t ing Per iodmagistrate judges ind icate ful l - o r par t - t ime)

[] Nomination, D a t e 01/01/2009

Sen io r U .S . D is t r ic t Judge [] Initial ~[’~ Annua l [] Final to

12/31/2009

5 b , [ ] A m e n d e d R e p o r t

7. Cham bers or Off ice Address 8. On the bas i s of the informat ion on~t tned In this Rep o r t a n d a n ymo di f ica t ions per t a in ing there to , it is, i n my op i n i on~ i n c ompl i nnc e

Wil l i am J . Nea lon Fed e ra l B ldg . & U.S . Co t l r thous e wi th app l i c abl e l aws an d r egu l a t i ons .

Nor th Wash ing ton and L inden S t r ee t s

P.O. Box 856Scranton, PA 18501

Reviewing Off icer D a t e

I M P O R T A N T N O T E S : The instructions accompanying thisJbrm must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . ~ R e . O . ~ . ~ ~ , , ia o o ~ o . t~ ; ~ e e . .. 9 - " o f ~ 1 ~ o ~ i . ,~ . . c, io ~ )

N O N E (No reportablepositions.)

POSITION N A M E O F . .O R Q A N I Z A T I Q N / E N TI T Y

I.

I 1 . A G R E E M E N T S . (n~o,i,s.~.ai~ia..t o~ty; ~,~,. 14-16 of filing in~lructionn;)

~ NONE (No reportable a~eements.) :,~.- ..r~’: .., ~ ~ ~ " ?

P~TIES

I. 7/16~1986 Blue Cms~Blue Shield ~!ly paid ~,,-

2.



FIN&NCIAL DISCLOSURE REPORT ] N a m e of P ....Reporting Date of Report

!Page 2 of 9 I Kosik , E d w i n M . 05/05/2010

III . NON-INVESTM ENT INCOM E. (R~o~i.u

A. Filer’s Non-Investment Income

NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE I N C OME(yours, not spouse’s)

1.0 I- 12/09 Commonwealth of Pennsy lvan i a Re t i r emen t $53,300 .00

2.

3.

4.

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 - If you were married during anyportio*~ of the reporting year, complete this section.

(Dollar amourtt not required e.A’cepl~fbr honoraria.)

N O N E (N o rep o r tab l e n o n - in ves tmen t i n co me , )

DATF~ SOURCE AND TYPE

I.

2.

3.

4.

IV. REIMBURSEMENTS - transporlatlon, Iodglng,food, entertai

(Includes those to spouse and dependent children; see pp. 25-27 of Jiling instructions.)

N O N E (N o reportable reimbursements . )

SOURCE DATES LOCATION PUP_POSE ITEMS PAID OR PROVIDED

I.

2.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT N .... fPe .... R e p o r t i n g D a t e o f R e p o r ~

Page 3 of 9 Kosik, Edwin M . 05/05/2010’

V . G I F T S . a n c t o a ~ those to spouse and dependent children; seepp. 28-31 of flling itlstructions,)

[~] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

2.

3.

4.

5.

~-] NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE COD~

I.

2.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT Nam e of Person Report in g Date of Report

Page 4 of 9 Koslk, E d w i n M . 0 5 / 0 5 / 2 0 1 0

~ N O N E (No repo r table incom e, asse ts , or transact ions. )

...... A. ~ ~. c. ~ D .~ s c ~p d o n o f A s ~ t s I n . m e d u ~ n g ¯ Gros s va l ue a t ~d T ~ a ct i ~ f l ~ in g r ~ p o ~ i n g p ~ o d

( including t rus t ~seB) [ ~ing peri~ ~ of ~po~ng pe r i od ’

’, O) (2 ) O) ~ (2) O) (2) ~ (~) (~) (5 ) ¯

F l a c e " ( X } ~ after ~ch ~set :Amou r I Type ( e . g . , Value ] Value T y p e ( e . g ., [ Date ! Value ’ Gain l d ~ t iD’ of

exempl f rom pr ior d i~ losur~ [ C od~ 1 d i v . , r e n t , Code 2 [ Meth~ buy, sell [~/d~ ~ C~e 2 i C~e I buyer l~l l~r~, (A-H) [ o r i n t . )

(J’P) l C~e 3~demp t i on ) I i ( J=P) " (A-H) ( i fp6vam

I. P e n n s ~ r B a n k , C a & o ~ l ~ , P A ( S a v in g s ) B Interes t L T

2. P~n n Secur i ly Bank , Moscow, PA (Sav ings ) A In.rest K T

3. M u t u a l o f N ~w Y o r k ( 1 9 8 7) S i n g l ~ P r ~m i u ~ B D i v i d e n d K TPol icy

4, F i~ t C r e d i t Un i on , S~n t on , P A ( Sav i ng s ) B Interes t M T

5. PNC Ban k , Scran ton , PA (Che ck ing ) A Interes t J T

6. Penn s t a r Bank , Carbonda l e , PA (Cer t . Dep . ) B Interes t L T

7 . PNC, P i t t sbu rgh , PA A D i v i d e n d J T

8. Prude n t i a l Equ i ty Fund , Cla s s B A D i v i d e n d J T

9. Prude n t i a l Wor ld F tmd , G loba l Se r i e s B A D i v i d e n d J T

1 0 . Cisco Systems, Inc. N one K T

I 1 . Coca Cola Co , Delaware A Dividend K T

1 2 . Gene ra l E l ec t r ic Co . A Div i d e nd J T B u y 3/25/09 K

1 3 . Hershey Food s Co rp . A D i v i d e n d So ld 3 /25 /09 K D

1 4 . In t e l Co~ . A D i v i d e n d K T

1 5 . Lucen t Techno log ies , I nc . N one J T

1 6 . " Merck & Co. A Div idend K T

1 7 . Microsof t Corp. Wash ington N one L T

I . Incom e Gain Codes: A =$1.000 or les s B =$1.00l - $2,500 C -~;2,5C,1 . $5,000 D =$5,001 - $ I 5 , 0 0 0 E ~15,001 - $50 ,000( Se e Co lu n’m s B 1 an d IM ) F =$ 5( 1,0 0! - $ 10 0,0 00 G -$100,0Ol - $1.000.000 H1 =$1,000,001 * $5,000,000 H2 =More than $5,000.000

(See Co lunms CI and D3) N =$250,001 - $500.000 0 =$ 5~ 0. 00 1 - $ 1,0 00 ,0 00 P | =$ t, O0 0, 00 1 - $ 5,0 00 .0 09 P2 ~$5,000,001 - $25.000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Va lue Method Codes Q =Appraisal R :~Cosl (Real Estate Only) S = A s s ~ : s ~ ’ m e m T =Cash Mm’km



N a m e o f P e r so n R e p o r t in gI

D a t e o 1 " R e p o r tFINANCIAL DISCLOSURE REPORT

P a g e 5 o f 9 o 5 / o 5 ~ o t o

NONE ~o reportable income, ~sets, or transactions.)

D e s c r i p t i o n o f A s s e t s i I n . m e d ~ i n g G~ss va l ue a t end T~ n ~ c t i o n s d u r i n g ~ [ n g( i nc lud ing t~ s t a s~ ) ] ~ o ~ i n g p e r i o d of repo~ing

O) ~’ <E ..... ~) < 2 ) O) ~ <~) ~ O) (4) ( 5 )Place "(X)" af i~ each asset [ A m o u n t ] T ~ e (e.g.. Value V a lue Ty~ (e ,g ., D a t e Value , Gain I d~ t i ~ o f

e x e m p t f r o m p r i o r d i s c l o s u r e C~e I ]div. ~t. Code 2 M e t h o d buy, sell ,] ~d~

C ~ e 2 : C o d e I buys ! se l l e r

~ ( A - H )o r i n t . ) [ ( J - P ) Code 3 r e d e m p t i o n ) : (J-P) (A-H) ( i f p r i v a t e

............. ~~

( Q - W ) ~ ~ j ~ansac t io, )

1 8 . P ep s i n , I nc . A D i v i d e n d K T

1 9 . Praxa i r , Inc. A D i v i d e n d K T

20 . Scher i ng P lough Co rp . A D i v i d e n d K T

21 . Tr i t on Globa l Res t au ran t s , I nc . None J T

22 . Union Carb id e Co rp . A D i v i d e n d K T

23 . Pruden t ia l Wor ld Fund , I nc, Global Ser ies None K TClass A

24 . Co m m an d M on ey Fu nd C In te res t L T

2 5_ Pruden t i a l Spec i a l Money Ma rke t Fund Inc . A Interes t J T

26 , All i ance Quas a r Fund Cla s s B None K T

2 7 . Targe t , Larg e Cap Fund None K T

28 . S ou th em Un i on Co . A Dividend M T

29 . PA ln t e rgovemmen~ a l Co rpo ra ti o n A Interes t S o l d 6/15/09 J

30 , St ra t eg ic Pa r t a e r s New ERA Grow th Fund , None J TClas s B

3 I. Ph i l ad e l ph i a Genera l Obl i g a t i o n B Interes t K T

32 . Pruden t ia l Financia l I nc. None J T

33 . Wachov ia Corp, B Div idend K T

34 . NBT Bank Corp . A Div idend K T

I . Income Gm n Code~: A =$1,000 or less B =$ I,~01 - $2.500 C =$2.501 - $5,000 D ~$5.001 . $ t 5,000 E =$15.001 - $50 .~0( ~c Co l u~ s B ] and D4) F =$50,0~ I - $ I ~ ,~0 G =$ t 00 ,~ l - $1 ,0~ .00O H 1 ~ 1 ,~,~ 1 - $5.~.~0 ~ ~More ~ $5.~0,~

2. Va lue Codes J = $15 , 0~ ~ l e s s K = $15 ,~1 - $50 .~ L = $~0 . 001 - $100 , ~ M ~ ! 0 0 , ~ 1 - $ 2 5 0 , 0 ~(~ Co hu ~ ns C I ~ d D 3 ) N =$ 250 .00 1 - $5~ .~ O ~5~,~1 - $1,000,~ P I = $ 1 , ~ 0 , 0 0 1 - $ 5 , ~ . 0 ~ P2

P3 =$25,0~ ,001 * $50 .000 ,0~ P4 =More than3. V~uc Mc~ C~es Q = Appa r e l R ~oa (R~I Es~ Only) S =A~e~nt T ~ M~

( S e e C o l um n ~ ) U = B~k Va l u e V ~ W =f is t i~tcd



Ia m e o f P e r s o n R e p n r t in g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT

] K o s i k , E d w i n M .

Page 6 of 9 0 5 ; 0 5 / 2 0 1 0

V 1 1 . I N V E S T M E N T S a n d T R U S T S - i n co m e , ~ , iu e , t r a n s a c t i o n s (Includes t h o s e o f s p o u s e u n d dependent ch i ldren; seepp. 34-60 o f fd ing inst ruct ion&)

NONE (No reportable income, assets, or transactions,)

A. B, C. ’ D.

D e s c r i p t i o n o f A s s e t s Income dur ing Gross va lue a t end ’ Transact ions during repo rt ing per iod(including trust assets) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d i :

1) " ~--- (i) " ~2) O)i

(2) ’~ (3) t (4)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 T y p e ( e .g . , Va l ue VI .lue T y p e ( e . g ., Date ! Value t Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i sc l o s u re [ Code I div, rent , Code 2 ~ ( Q M e t h o d buy, sell , [ m m / d d /y y C o d e 2 i C o d e 1 buyer/seller" (A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) i (j.p) : (A-H) ( i f p r i v a t e

’

35 . M&T Bank Co rp . C D i v i d e n d L T

36. Alge r .M idc apGr ow th Fund N o n e K T

37 . All i ance Bem s te in Growth Fund A D i v i d e n d K T

38. Badge r TOB Asse t Scru t in iza t ion C Interest L T

3 9. ID EX M u t u a l F u n d C D i v i d e n d L T

40 . P i m co S m a l l C a p F u n d A Div i d e nd J T

41 . St ra t eg ic Par t n e r s Larg e Cap N o n e K T

4 2 . Lord Abbet t Midcap A D i v i d e n d J T

4 3. YUM Brands A D i v i d e n d J T

4 4. Cohen & Stee r s REIT Ut i l it y Fund B Interes t K T

4 . 5 " i John Hancock Tax -Adv Div id end Fund B D i v i d e n d K T

4 6, Ta [d ex Asse t A l l oca t io n ( IMOX ) C D i v i d e n d K T

4 7. Everg reen In t e rn a t i o n a l (EBI ) A Interes t L T

48 . NFJ Div id end In t e r es t P r em ium St r a t egy B Interes t K TFund

4 9. All i anz NFJ Sma l l Cap None K T

50 . Colga t e Pa lmo l iv e A D i v i d e n d J T

51 . Se l igman Ta rge t Fund None L T

! I . Incom e Ga in Codes: A =$1.0D0 o r l~ s B =$1,601 - $2.500 C =$2,501 - $5,000 D =$5,001 . $15,0.90 E =S15,001 . $50,000

(Se~ Colu~’ms B I and D4) F =$50,001 - $100,090 G =$100,~01 - $1,000,000 HI --$!.000,001 - $5,000.000 H2 =M~re than $5 ,000 ,000¯ 2 . V a lu eC0d e s J=$lS,000or l es s K=$15,001 -$50,0,~0 L ~50 , 001 -$100 , 000 M=$100,001 .$250 ,000! (S e e Co tm m s CI a n d D 3 ) N =$250,001 - $500,000 O =$500,0~1 - $!.0~0.000 P[ =$1.000,001 - $5,D00.000 P 2 = $ 5 , 0 0 0 , 0 0 1i P3 =$25,000,00! - $50,000,000 P4 =More than $50,000,000I 3 , Value Method . Codes Q ~Appra i~ l R =Cost (Real Eslatc Only) S =Asses sm en t T =Cash M ad ce t, (See Coiulrm C2) U =Book Value V =Othe r W =Es t ima ted



Name of Person Reporting Da~e of ReportFINANCIAL DISCLOSURE REPORT

[. Kosik, Edwin M.age 7 of 9 0 ~ / o s i 2 0 ~ 0

V I I . I N V E S T M E N T S a n d T R U S T S - z,~o~. ~. ,,~ao~ a~ ,~o~ o/.~o~ ~ ~ ¢ ~ t ~ u ~ , ~ ; ~ . ~ ~ . ~ 4 - 6 o o y , ~ i~ g instructions.)

NONE (No reportable income, assets, or transactions.)

A. B. C.

Des c r i p t ion o f As s e t s l n co m ~ d u r i n g G r o s s v a l u e a ~ e n d Tr a n s a c ti o n s d u r i n g r e p o r t i n g p e r i o d

( in clu d in g tru s t a s s e ts ) re p o r t in g p e r io d o f r e p o r t i n g p e r i o d

0) (2) 0) ~:~T 0) 7 (2) (3) [ (4)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 T y p e ( e . g . , V a l u e V a l u e ] T y p e ( e . g , , ! Date . Value t Gain I d en t i t y o f

C o d e I ’d iv . , r en t , C o d e 2 Me t ho d i buy, se l l , !mm/dd/yy [ Code 2 Code 1 buyer / se l l e rx e m p t f r o m p r i o r d i s cl o s u r e

[ (A-H) or i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) i (J-P) [ (A-H) ( i f p r i v a t e[ ( Q - W ) [ I : [ t r ansac t ion )

52. M e d c o H e a l t h S o l u t io n s N o n e J T

53 . G oldman Sachs TR H igh Yield Municipal B I n t e r e s t K T

5 4 . Eaton Vance Insured Municipal Bond Fund C Dividend K T

5 5 . Pfizer Inc. A Dividend K T ̄Buy 03/25/09 K

5 6 .

I . Income Ga in Codes : A =$1,000 or tess B :$1.001 - $2,500 C =$2 ,50I -[ ’ S e e C o h u r m s B | ~ a ~ d D 4 ) F ~$50,001 - $100.000 G = $ 1 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 H I =$ 1,000.001 - $5,000,000 H2 =More than $5,000,000

2. Va lue Codes J =$15,000 or less K =$15,001 - $50,000 L =$50.001 - $100,000 M =$100.001 - $250,000( S e e C o l u m n s C 1 z ~ n d D 3 ) N =$250,001 - $500.000 O =$500,001 - $1,000 ,000 PI =s t ,e00 ,001 - $5 ,000 ,000 P2 =$5,000,O01 - $25,000,000

P 3 - - $ .2 5 , 0 0 0 , 0 0 1 - $ 5 0 . 0 0 0 , 0 0 0 P4 =More than S50,000,0003. Va lue Melhod Codes Q :Appraisal R =Cost (Real Estate Only) S =Asses smea l T =Carla Mark~

(See Colunm 122) U =Book Value V =Othe r W :Est imated



FINANCIAL DISCLOSURE REPORT N~e of Person Reporting Date of Report

Page 8 of 9 K o s i k , E d w i n M . 05/05/2010

VIII . ADDITIONAL INFORM ATION OR EXPLANATIONS.

All s tocks repor ted a re com mo n s tocks .

No, 21 Increase purchase o f G eneral Elect r ic ,



¯ F, INANCIAL DISCLOSURE REPORT ~ - ~ o f P e r $ o n R e p o r t i n g D a t e o f R e p o r t

Page 9 of 9 Kosik, E d w i n M . 0 5 / 0 5 / 2 0 1 0

IX . CERTIFICATION.

I ce r t i f y t h a t a l l i n f o r m a t i o n g i v e n above ( i nc l ud i ng i n f o r m a t i o n p e r t a i n i n g t o m y s po u s e a nd m ino r o r d e p e n den t c h i l d r e n , i f a ny ) i sa c c u r a t e , t r u e , a nd c om p l e t e t o t h e b e s t o f m y k now l e dge a n d b e l i e f , a nd t h a t a ny i n f o r m a t i o n no t r e po r t e d w a s w i t h h e l d b ec au s e i t m e t a pp l i cab l e s t a t u t o r y

p r ov i s i o n s p e r m i t t i n g non - d i s c l o s u r e .

I f u r th e r c e r ti f y th a t e a r n e d i nc om e f r om ou t s i d e em p l oy m en t a nd h o no r a r i a a nd t h e a c c ep t a nc e o f g i f ts w h ic h h ave be e n r e po r t e d a r e i nc om p l i a nc e w i t h t h e p r ov i s i o n s o f 5 U .SoC . a pp . § 5 0 1 e t . s e q , 5 U .S .C . § 7 3 5 3 , a nd J ud i c i a l C on f e r e nc e r e gu l a t i o n s .

Signature

NOT E : ANY L NDI VI DUAL WH O I ~NOW I NGL Y ANq 3 W I L FUL L Y FAL SI F I E~ OR FAI L S T O F I L E TH I S R E P OR T MAY B E SUB J E C T T O C I ~q LAND CRIMIN AL SAaNCTIONS (5 U .S .C. app . § 104 )

FILING INSTRUCTIONS

M a i l s ig n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o m m i t te e o n F i n a n ci a l D i s cl o s u r eA d m i n i s t r a ti v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 01O n e C o l u m b u s C i r cl e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

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Edwin M Kosik Financial Disclosure Report for 2009