Frank J Santoro Financial Disclosure Report for 2009

8/3/2019 Frank J Santoro Financial Disclosure Report for 2009

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I a o m I FINANCIAL DISCI,OSURE REPORT R e p o r l R e q u i r e d b y t h e E t h i c sin Government Act of l978~ e v ~ J / 2 o t o [ FOR CALENDAR YEAR 2009 ~ 5 u . s . c , a p t ,, , ~ , ~ 1 0 1 - 1 1 1 )1. Person R eporting (last name. first , middle initial) 2. Court or Organization 3. Date of ReportSantoro, Frank.J. U.S. Bankruptcy Cc:urt, EDVA 0 , S L L 2 , 1 , 2 ~ 0 ~

4. Title (A rticle Itl judges indicate active or senior status; 5a. Report Type (check appropriate ~ge) 6. Reporting Periodmagistrate judgcs indicate fuil- or part-time)[--] Nomination. Dale 01/01/2009

U.S. BankntplcyJudge [~ lni6al ~ Annual [] Final to1 2 1 3 1 [20095b. [-~ Amended Report

7. Chambers or Office Ad dress 8. On the basis of the in forn:,ation contained in this Report and anymodifications pertaining therclo, i t is, i l l my opinion, in com pliance600 Granby Street with applicable laws and regulations.Norfolk, Virginia 23510

Review ing Officer Date

IMP ORT .4NT N OTE S: Th e instructions accomt, anying this form must be followed. Complete all parts,checkh~g the NO NE b ox fi~r each part wh ere you hat,e no reportable information. Sign on last page.

I. P O S I T ! O N S . m , m ~ i , g i , ,a i . i ~ , . l o . ~ , : , . e a p . ~ - l ~ of filing n s t r u c t i o n s . )N O N E (No reportable positions.)

POSITION NAME OF ORGANIZATI~ENTITY

3. L ~ "2 . "~

N O N E (No reportable agreements.)DATF, PARTIES AND TERMS


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F I N A N C I A L D I S C L O S U R E R E P O R T[ ~ . . . . . .

t P . . . . .. r ~ . o o ~ . , , g] t~tc of ae , , , ,r ,

Page 2 o f 8 s a .t o ~ o , F r a n k J . 0 5 / 1 2 / 2 0 1 0

l lI . N O N - IN V E S T M E N T I N C O M E . (x~p.,,i,~ i, si,la,,I,.~ ,p ...... ; . ~ , , p p . 17-24 0ffilit,g i ....... t i o n s . )A. Fliers Non-Investment Income

NONE (No reportable non-investment income.)D A T E SOURCE AND TYP~ INCOME( y o u r s , n o t s p o u s e s )

I.2.3,

4.

B. Spouses NOll-lllVestmellt lilCOllle - If you were married dudog any portion of the rcporting year, complete this sectiott(190liar amount not required except for honoraria.)

N O N E (No reportable non-investment income.)D A T E SOURC E AND TYPE

12.3.4.

IX;. REIMBURSEMENTS ...... eo,t,ao,, Iodglng, food, .......i~ ......(bzeh*des those to spouse and depende,nt children: see pp. 25.2 7 of filing inst~tctions.)

N O N E (No r~Tortable reimbursements.)~ ~ LOCATION p URPOSE IT EM S PAID OR PROVIDED

I.2.3,4_5.


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[~ a m e o f I rs~ n Rep o rt in g 1 D~te of Repor~P a g e F I N A N C I A L 3 o f 8 D I S C L O S U R E R E P O R TI S a n t o r o , F r a n k J " I

0 5 ! 1 2 / 2 0 1 0

V . G I F T S . a ~ c t ,a ~ s , h a s . , to spo.se ~.a a e e , , a , ~ children; see pp. 28-31 of fillng instructionsON O N E (No reportable

SO U R C E D ESC R IPTIO N VALUE1 .2.

3 .4.

5.

V I . L I A B I L I T I E S . a , , a , , ~ , , ; , , n o , , . , ,/ ~ . . . .. . d d , , ~ , o , a ~ . , ~ n U d . . . ; ,. . ~ , p . ~ Z - ~ o f ~ i . g i . . . .. . . , ~ o . ~ . )N O N E ( N o reportable liabilities..)

C R ED ITO R D E SC R IPT IO N V A L U E C O D E12

3 .4.

5 .


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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 tP a g e F I N A N C I A L 4 o f 8 D I S C L O S U R E R E P O R T S a n t o r n ,

VII. INVESTMENTS and TRU STS - ~o.,~, ~,~ ~o reportable income, assets, or transactionsJONE

A. B C. - ...................... D~ .......................D e ~ f i p t i o n o f A s s e a I n c o m e d u r i n g G r o s s v a l u e a t ~ n d T r a n s a c t i o n s d u r i n g l e p o ~ i n g p e r i o d [( i n c l u d i n g t ~ s [ a s s e t s ) r e p o r t i n g p e r i o d of reining

V alue Gain IdenlilyP l a c e " ( X ) " l f i ~ r ~ a c h a s s ~ Amou,l ~ T)~e (e.g.. ] Valu~ ~ Value } T~e(e.g., ~ Date i " of

................. k ............ ~ ........... ] ~ a n s a c t i o n )

!. Fa~, 1t2 interest, Isle of Wight County, None N WVirginia July 032. FSNC, LLC, 88% Membership Interest None N W3. Campostella Self Storage (Y)4. Milcamp Self Storage None5. Geeks on Call, Convertible Prefe~xed Stc~k None6. UBS Pace M oney Market Investment Fund A Dividend J TClass P7. Waterside Capital Corporation None K T8. Towne Bank Debenture Convertible A lnt./Div. Sold 01/25/09 J Warren D. Kozak9. Loomis Sayles Investment Grade B ond Fun< A Dividend K TClass A (at UBS)

1 0 . UBS Global Allocation Fund Class A A Dividend J T11 . LJBS M2 Fund LLC A Dividend J T1 2 . UB S Pace Money Market Inves tmen t Fund A Div idend K TClass P Y13 . UBSPaee Large Company Valuc Equity None J TInvestment Fund Class P Y14 . UBS Pace International Equity Investment A Dividend J TFund Cl~s P Y

1 5 . UBSPaceSmallBvledium Co Growth Equity A Dividend J TInvestment FundClass Y16 . UBS Pace SmalVMedium Co V alue Equity A Dividend J TInvestment Class P Y17 . Alliance/Bemstein Growth and Ineorne Fund A Dividend J TUGMA Fund Y


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FINANCIAL DISCLOSURE REPORT I N ..... fP ..... Reporting D a t e o f R e p 0 r tPage 5 o f 8 I Sa.toro, Vra.k S.0 5 / 1 ~ 2 0 ~ 0

~ NONE ~o reportabl~ income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g ~ Gross valuea~ end/ T r a n s a c 6 o n s d u r i n g r c ~ a i n g(i~luding ~st ~sets) r e p o r t i n g p e r i ~ ofre~ing pe~o~ _ _P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u m [ T y p e ( e. g .. [ Value I Value T k ~ e ( e . g , , [ Da~e Value ~ Gain I d e n t i t y

e x e m p t f l o ra p 6 o r d i ~ l o s u r e C o d e 1 d i v . , r e n t , C~e 2 [ M e t ho d b u y . s e l l , ~t~d~37 ~ C~e 2 C o d e I b u y e d s e t l e r( A - f 1 ) or in t .~ [ ( J - P ) C o d e 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 ) ] I r a n s a c t i o n )

18 . Gateway Financial l loldings Co~poration A Dividend K TUGMA ac~unt Y1 9 . Gateway Fund Class A None K T2 0 . L~mis Sayles Investment B ond Class A B Dividend N T2 1 . Iv> Global Natm-al Resources Fund Class A None L T2 2 . American Funds Capital Income B uilder None L TFund Class F2 3 . Blacktock Global Allocation Fund InA None L T2 - 1 , l ,,y Asset Strategy Fur~d Class A None M T2 5 . Growth Fund of Am erica Class A A lntJDiv. L T2 6 . American Mntual Fund Class A A Int./Div, K T2 7 . New Pcrspeclive Fund Inc. Class A B Int./Div. K T2 8 , Washington Mutual Inv. Fund Inc. Class A B Dividend K T2 9 . Capital World Growth and Income Fund Inc B I n t . / D i v . K T3 0 . New W orld Fund h|c. Class A A I n t . l D i v . K T3 1 , Prime Cash Trust at Davenport & Co. Y D I n t e r e s t N T

i32. Growth Fund of Am erica Class A Y A Int./Div. J T3 3 . Ame[ican Mutual Fund Inc. Class A Y A I n t . / D i v , J T3 4 . New Perspective Fund Inc. Class A Y A I n t . / D i v . J T

Income Gain Cod~s: A "$ I ~) or less B = $1.001 - $2,500 C =$2,501 - $ 5,0t> J D =$ 5.01) I - $15.000 E =$15.00 | * $50.000


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FINANCIAL DISCLOSURE REPORT ~ .... [ P ..... Reporting Dale o| ReportPage 6 of 8 Saotoro, F r a n k J . 0 5 1 1 2 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i.co,~,, ,~lu ......... aon~" (Includes those of sp ......a d,pendent children: see pp. 34-60 of filing ins~uctions.)~ N O N E (No reportable income, assets, or transactions.)A. B C. D.

Descrip~on of As~ Inc ome du r ing Gross value at end Transactions dudng reposing pe~(including t~st assets) reposing peri~ of repoaing period

(D (2 ) (0 ~ (2)~ (l) (2) (3) (~) (~ )PlaceiX)"aftereach~set Amount I Type(e.g., Value I Value Type(e.g., Date Value Gain ldentiwofCode 1 div., reaK Code 2 ] Method buy, sell, m~d~ Code 2 Code I buyer/sellerexempt f rom pr io r d isc losu re (A-H) or inE ) (J-P) Code 3 redempt ion) (J-P) (A -H) (if private

( Q - W ) ~ansaction)

3 5 . W ashington Mural inv. Fund Inc. CI~s A A Int.~iv . J TY3 6 . Capital World Growth and Income F und Inc A Int.~iv. J TY3 7 . New W orld Fund Inc. Cl~s A Y A lnt.~)iv. J T3 8 . Prime Cash Trust at Davenport & Co. Y A I n t e r e s t L T3 9 .

I. Income Gain Codes: A =$1.000 or less B =51.001-$2.500 C =S2.501 - $5 .000 D =55,001- $|5,000 E -$15.001 -$50.000 !(See (~olum ll$ B I and D4} F =$ 50.001 - $ 100.000 G =5 ~ 00.001 - 51.000.000 H 1 =$ 1. 00 0. 0O I - $5 .0 00 ,0 00 H 2 = Mo re th an $ 52. Value Cod~s J -515,000 or tess K =$15,001 - $50,000 L :$50,001 - $100,000 /~f ~5100,001 - 5250.000(See Colum~ CI ~d D3) N =$250,001 - S500,O00 O =5500,001 - $1.000,000 PI =$1,000,00l - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 ~$25,000.0OI - $50.000.000 P4 =More than $50.0~K),O0O3. Value Method C o d ~ s Q =A ppraisal R =C0sl (Real Estate Only) S =A sse~sm enl T -C~sh Market(See Column C2) t l =Book Value V =Othel W -Estimated


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FINANCIAL DISCLOSURE REPORT I N .... f P ..... R e p o r t i n g [ D a t e o f R e p o r tPage 7 of 8 I Sant ....F r a n k = . I o ~ , , ~ , ~ 0 , o

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a..~.c.t~p.,, otRo~,or~

Part Vll.Lines 3. I2, 13. 14. 15. 16, 31, 32, 33, 3~.. 35. 36. 37. and 38~:~|~/~L i n e s 17 and 18 ~~{~~~1f loldings in lines 9. 10. 1 l, 12, 19.20, 2 I, 22, 23, and 2~ are mural ~n&s maintained at UBS.Holdings in lines 25 th~ 30 inclusive are mural ~nds maintained at Daven~a & Com pany.


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F IN A NC IA L D IS CL OS UR E R E PO R TI S a n t n r o , ~ r a . k J .

0 ~ / ~ 2 / 2 0 1 0a g e 8 o f 8 _

I X . C E R T I F I C A T I O N .I certify that all information given above (iucluding itff(~rmation pertaining to my spouse and m inor or dependent children, if any) isaccurate, true, and complete to the best of my kno wledge and belief, and that any information n ot reported was withheld because it met applicable statutoryprosqsions permitting nun-disclosure.I further certi~ that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C, app. 501 eL seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL ~,VltO KNOXVINGLY AND VvqLFULLY FA LSIFilAND CRIMINAL SANCTIONS (5 U,S.C. app. 104)

FILING tN 5TRUCTIONSMail signed original and 3 additional cop~es to:

Committee on Financial DisclosureAdministrative Office of the U|fited Stales CourtsSuite 2-301One Columbus Circle, N,E.Washington. D.C. 20544

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Frank J Santoro Financial Disclosure Report for 2009