III Harvey Bartle Financial Disclosure Report for 2009

8/3/2019 III Harvey Bartle Financial Disclosure Report for 2009

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FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978FOR CALENDAR YEAR 2009 ( 5 u s . c . a p p . . ~ . ~ " I O l .l l l )I. Perton Reporting {last name. frrsk middle initial) :L Co,,*r~ or Orglnizafion 3. D~I of R e p o ~BaHIe Ill. Ha~ey U.S. District Coup, ED Pa. 05112/2010

4. Title (Aaicle Ill judges indica~ nctive or senior s~tus; ~ . RrpoO Type (check appropriate type) ~ 6. Repo~ ingPcri~magis~ate judg~ indicate ~11- or paa-time)~ Nomina~n, Date 01/0112~)

ChiefU.S. District Judge ~ lnnial ~ Annual ~ Final Io12/3112~9fib. ~ Am~ded Rcpoa

7. Ch~mbe~ or Office Addre~ 8. On the b~sis of the In[orm~tion c0nttln~ ~n this Repo~ tnd ~n ~modificttlons perltining thereto, i t i s . in my opinion. In compliance16614 U.S. Cou~house with applicable lawl and regulations.601 Market SueetPhiladelphia . PA 1 9106

IMPOR TANT N OTES: the instructions accompanying this form must be fot/owe,t Complete alt parts,checking the NONE box]or each part where you have no reportable ir~formatior~ Sign on la.~t page.

[~ N O N E (No reportable positions,)POSITION NAM E QI~ ORGANIZATION/EN~ ]TY

2. Co-Trustee Trusts under Wil l

3. Co-Executor Estate

5. ~ . - " ~ : 2 " "

[ N O N E (No reportable agreements )DAT]~ pARTIES AND T~R3,1S


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FIN A N C IA L D ISC LO SU R E R EPO R TPage 2 of 10

111. NON-INVESTMENT INCOM E. ts,,o,a,~A. Filers Non-Investment Income

NONE (Wo repotable non-investment income.)DATE SOURCE ~ND TYPE ~OMI~(yours. no~ spouses)

I. 2009 Co-Executor Fee

2 .3.4

[~] NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

I. 2 0 0 9 Texa.~ Teachers Retirement System - Pension2 2009 I" Salary3.4

I V . R E I M B U R S E M E N T S ..... sportoao,.. ~g~,t,~ooa, ,~,,~o . . . .NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDEDI.2.3.4.5.


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F I N A N C I A L D IS C L O S U R E R E P O R T ] ~ . , ~ e o r v . . . . R c p o , ~ i ~ 1 u..,of~cpo.Page 3 of I0 I "o~,,~.,~~ N O N E (No reportable g~s.)

~ DESCRIPTION V A L U EI. The Philadelphia Bar As~ iation Membership (ex~cnded to all judgesl S383~2 .34.5.

[~ N O N E (No reportable liabilities.)CRgDITOR DESCRIPTIQN VALUE CODF.

I.2 .3.4.5.


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FINANCIAL DISCLOSURE REPORT N f P a ,p o , ~ n = .... .....Page 4 of 1 0 n.,-m IlL Ii.r-.,ey

[ 105:1212010VII. INVESTMENTS and TRUSTS - ~ ........~,., ..... ~ , Ct.ctud., ,~os. oysp . . . . . . a d e p e n d e n t ch~drtn; s e e p p . 3 4 - 6 0 of filing t ...... t ion~)

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

~ (including t~sl ~sets) re~lng ~ri~ olrcpemng periodPlace "(X)" n~r ~h as~t Amouet T~ (e g. , Value Value T~e (eg.,exempt from prior disclosure : C~c I div, rlll. Cotlc 2 Me~;~ buy. s11. ~tnr~d~yy C~Ic 2 ~ C(~e I ~yer~llcr~ (A-H) or i~t.) (J-P} Code 3 redcmplion) (J-P} (A-II)

I. ~astlnan K~zk (Com.) None J "l2. General Molors None Sold 04,"08/09 J A3 IBM {Com) A Dividend K T4. Xerox (Com.) A Dividend ~ T5. Johnston & Johnson [" A Dividend J T B uy 05/14/091 j

6. ~lphi Automotive Systems (Com.) None J T7. TD Bankno~h (previo~ly 8anknoah) A Interest L T8. Vanguard-Windsor 11 (IRA ~ol lovcr) None M

9. Me,ill L~ch (Mercu~ US. Large Cap None J TFund CI~s B)10 TIAA/CREF fRetirement F~d) C Dividend N TI I , Vanguard (WelLington Fund) B Dividend L T12 . Vanguard (Wellington Fund Admr) D Dividend bl T13 Vanguard(Pa Long TcnnTax Exempt A Imerest J TFund)14 American Mut Fd Inc. A (X) B Dividend L 1 B uy 04/08,09 L

5 Capl~al World Growth & Inc. Fd. Class A B Dividend L r u ~ , y 0q,.08/09 L16 Europca~ Gro~h Fd Cl~s A {X) B Dividend L $ B uy 04t08/09 L17 . Franklin Pa Tax Free In~-. Fd. (X) D Dividend M T B uy 05/14.~09


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FINANCIAL DISCLOSURE REPORT n .... rP .... R . p o . i . ~ D . , , 0 f R . p o .Page 5 of 1 0 B a r . , ~ l l . H , . " , e y 0 ~ a 2 , 2 0 ~ 0

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

D e s c n p t i o ~ o f A s s e ~ i I ~ o m ~ d u r in g ~ G r o s s ~ a l u e a t e n d " l r a n s a ~ t io n s d u r i n g r e ~ ) ~ l ~ n g(including I~st as~tsI ~e~Oing ~n~ : o f r e p o ~ m g ~ r ~ o dP l a c e " ( X } " a l t e r e a c h a s s e t ~ A m o u m T~ leg. . V a l u e [ V a l u e T)~ (~ g. ~ Date Value Gain I d c n ! , y o fe 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 d ~ v . . r e n t . (~c 2 [ M e t h o d buy . ~11 , I m m ~ d ~ y y C~e 2 , (ode I b u ~ c r t s c l l e r: (A-H) or ml ) I J-P} C~e 3 redemption} (J-P) [A-II} {~f private

....................... J ....... j ..... (O W) i Uansactl~n)

1 8 . Ftankli~ Pa. T~x Free Inc. Fd. (X) D Dividend M " I Bu y 1 2 / 2 3 1 0 9 Jt9 . Fundamemal lays. luc. Cl~s A (X) A Dividend L I Bu y 0 4 1 0 8 / 0 9 L

2 0 . Growlh Fund Amefca Class A (X) A Dividend L I l]uy 0 4 / 0 8 , O 9 I.21 Eve~greenPa. MuniMoneyM kt. Fd (X) A Interest J T j

I2 2 ~ton V~ce Pa Mun. Income T~st A, . Interest Sold O4/08/~ J2 3 . VanKemper Am. Capital Trust A I n t e r e s t Sold 0 4 / 0 8 1 0 9 1 J A2 4 . Trusts under Will

2 5 . - Abbott Laboratories* A Dividend Distributed ! 0 3 1 1 6 / 0 9 K2 6 . Sold 0 3 ; 2 0 1 0 9 ) A

2 7 . - Altri~ Group* A Dividend Distributed 03/16;09 K2 8 Sold 03/20/09 J B2 9 . - Aqua America A Dwidcnd Sold 0 2 / 2 6 1 0 9 k E30 - Bristol Myers Squibb" D I)i,idend Sold 02/26/09 K A(part)31 D~stributed O3/I 6/09 M

3 2 . Sold O 3 / 2 0 / 0 9 K A3 3 . - Capital World Growth & Inc. Fd None Sold 01/08/09 J A34 . - C~sco Systems None Distributed 03!16109 J

A portion was distributed to other beneficiaries. Any sales after distributionreference those of the undersigned.


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FIN A N C IA L D ISC LO SU R E R EPO R T i ] N,m of P .....Reporting [ D,te of ReporllPage 6 of 10

[ a~,,~1 m, H,~.e~, Io s ; ~ 2 ! 2 o ~ o

N O N E ( N o reportable income, assets, or transactions.)A - B C - -D~ripuon of Asse~ lnco~ ne dunng (;ross ~ alu al end T~nsacnun~ dur ing r t~ning ~r~od

(i~cIuding {ms~ assets) reining ~riod ofr~oning period(I) (2) (I) 1 2 ) (I} (2~ 13j (4) ~)Place "(X)" after ~ach asset ~ Amounl T~ (.g. V~luc Value T~ (e g. ~, Da~c ~ V~lu G~ m I~nmy ofexempt from pn~ disctosu~ C~c I div,. real, Cod( 2 Melhod buy, sell. ~m~dd~yy C~ 2 C~ I

35 Sold 03i20/09 1 A36. - Europ~cific Growlh Fd. CI. A N one Sold 0 I,08/09 J A

37. - Exxon Mobil* A D~vidend Sold 01/09!09 J D(part)38. Sold 02/26/09 J (7(parl)39 Distributed 03116:09 K40 . Sold 03120109 J U41 . - Federal Home Loan Mtg. Corp.* None D is tr ib ut ed 0 3/I 6.0 9 K42 . Sold 03,~20,09 J A

43 . - General Electric* B Dividend Sold 02126 /09 K A(part)44 Distributed 03II6/09 M45 . - Ftanesbrand" None Distributed 03t 16.09 J

Sold 03,2 0/09 J A47 - I Iospira None Distributed 03; 16:09 J48 Sold 03/2 0/09 3 A49 - IBM* A Dividend Distributed 03,"16/09 J50. - Kraft I=oods A Dividend D is tri bu te d 0 3/1 6: 09 K51 Sold 03/2 0/09 J I I


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IN,mef P ~ r s o n R e p o r l i n R ] D . I e o f R e p o r tFINANCIAL DIS CLOS URE REP ORTPage 7 of 10NO~E ~o reportable income. ~sets, or transactions.)

~scriplion of Assc~ lncon~ during ~ (]ross vatu at end T~nsacllons during rc[~rlmg perusal(including t~s~ .. . .~) 7~n~r,~ I of reporting period

Place "(X)" a~er each asset ~Amounl T~ (eft, Value Value = T~ 1~ g., ~ Da~e ~ Value ~ Gain Idcn~=ly ofbuy. sell. . m~d~yy ~ C~c 2 C~c I buycr/~llcrmpt From prior disclosure C~c I div. renL C~c 2 Mcth~ = "~ (A-II] ot int.) (j-p~

~2. - MB1A* None D is trib ute d 0 3/1 6 /0 9 K

53 Sold 03/20/09 ~ J A

54 . - Medco Heal th Solut ions" None Dislribuled 03116 /09 J

55. Sold 03/20/09 ~ J A

5 6 . - M e r c k & C o . * A Dividend D i s t r i b u t e d 03/16/09 J57. Sold 03/20/09 J A58. - PNCCorp.* A D~vidend Sold 02,26109I J A(parl)59. Distributed 03116/09 1 K

60. Sold 03120/09 J A

6ll - PPL Corp. A Dividend Sold 02126/09 I, D

62. - Philip Morris International* B Dividend Distributed 03/16/09 L

63 Sold 03/2 0!09 K D

64 . - PPG Induslr ics* A Dividend I)~stribu ted 03/16;09 L

65 Sold 03120./09 K

66 - Sara Lee* A Dividend Distribu ted 03,16109

67 . Sold 03/20~09

68 - Verizon Communications A Dividend Sold 02/26/09


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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 N .... r ~ . . . . . R . ~ , o , - t ~ . ~ Page 8 of 1 0 n . , - t ~ e . , , u . ~ yVII. INVESTMENTS and T R U S T S - ~ ........ ~,,. ~ ...... aons ancludt, ~os, o/,p ......d deptndtnt child ....... pp. 34~ 0 of fil ing

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

Place "(X)" ariel each asset Amount ~ T~ {e.g.. Value Value fy~ (e.g. ~ Dale Valueexempt from prior d~sclosure " C~ 1 ] di~., rc~l, (?~ 2 M~ buy. sell. mr~Mff~y Code 2 , C~e I buyer/~eller(A-It) ~ or inl} (J -P) Code 3 redemption) (J-P) ,

69. - PA lnsd Mun Inc ]r I st Set None Sold 01108/09 J A

70 . - South East PA qtansi~ 5%" A EX Distributed 03.:03/09 K

71 . - PAInt Govl 5% A Ex Dis~ibuled 03;03..09 K72 . Sold 05. 14i09 J A

"73. - Wahovia Command Man Mkt A Dividend J r Distributed 01105109 K(pa~)

74 - Bank ofllolland CD ~%* A Interest Distributed 03/03/09 K

75 Redeemed 12/29/09 J A

76 . - Discover Bank CD 4 2% A Interest Distributed 03103109 J(parl)77 . Redeemed 06129109 J A

79. - Wachovia Command Money Mkt A Dividend J T

80 - World Savings Bank (~ D 4.7%* A Imeresl Distributed 03.q9/09

81 - World Sa.i~~gs Bank f.?D 4 85% A Inleresl I" Dislributed 103/05/09

** Distributed to another beneficiary.


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FINANCIAL DISCLOSURE REPORTPage 9 of 10VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


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FINANCIAL DISCLOSURE REPORT JN tP,r~oa R~por..gPage 10 of 10

IX. CERTIFICATION.I certify that all information given above (including information pertaining to my spouse and m inor or dependen! children, if any) isaccurate, true, and com plete In the best of my knowledg e ~nd belief, and that any Infnrmatinn no t reported was withheld because it reel applicable statutoryprovision~ permitting non-disclosure.I further certify that corned income from o utside employment and honoraria and |he acceptance of gifts which have be~n reported are incompliance with the provisions of 5 U .S.C. app. 501 el. seq., 5 U.S.C. 7353, and Jud ldal Conference regulations.

Sig[

NOTE: ANY |NDIVIDUAL WIlO KNOW INGLY AND W ILEULLY FALS|FIES OR FALLS TO FiLEIIiIS REPORT MAY B E SUBJECT TO CIVILAND CRI/~|NAL SANCTIONS (5 U.S.C. app. 104~

FILING INSTRUCTIONSMail signed original and 3 additional copies

Commiuee on Financial DisclosureAdministrative Ofrice of the United Slates CourtsSuite 2-301One Columbus Circle.Washington, D.C. 20544

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III Harvey Bartle Financial Disclosure Report for 2009