Marvin J Garbis Financial Disclosure Report for 2010

8/3/2019 Marvin J Garbis Financial Disclosure Report for 2010

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AO IORev . 1 /2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 20 10Report Required by the Ethicsin Government Act of 1978(5 U.S .C . app. 101-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i ti a l )G A R B I $ , M A R V I N J .

4 . T i t l e ( A r t i c l e I l l 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 ;magis t ra te judges indicate fu l l - or pan- t ime)

S E N I O R D I S T R I C T J U D G E

7. Chambers or O f f i c e A d d r e s sU . S . C O U R T H O U S E1 0 1 W . L O M B A R D S T R E E TB A L T I M O R E , M D . 2 1 2 01

2. Court o r O r g a n i z a t i o nD I S T R IC T O F M A R Y L A N D

3. Dale o f R e p o r t06/15/201 I

5a. Repor t Type (check appropriate t y p e )] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n f o rm a t i o n c o n t a i n e d i n t h i s R e p o r t and anym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

R e v ie w in g O f f i c e r D a t e

6. Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,checking the NONE box for each part where you have no reportable information. S ign on last page.

I . P O S I T I O N S . ( R e p o r , in g i n d i v i a , a t o n l y ; , e , p , . 9 - I S o f ~ l i n ~ i n , , r o c , l o n s . )[~] N O N E (No reportable positions.)

POSITION1. M E M B E R , B O A R D O F A D V IS O R S2. M E M B E R , B O A R D OF DIRECTORS I N TE R N A T I O N A L J U D I C I A L A C A D E M Y3.

4.5.

N A M E O F O R G A N I Z A T I O N / E N T IT YU N I V E R S I TY O F B A L T IM O R E L A W S C H O O L

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions.)~ N O N E (No reportable agreements.)

I . ONGOINGD A T E P A R T IE S A N D T E R M S

T H O M S O N ( W E S T S E R V I C E S , IN C . ) R O N A L D R U B I N A N D P A T R C I A M O R G A N ( D E C E A S E D ) ,R O Y A L T I E S P A I D A U T H O R S O F C A S E B O O K


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FINANCIAL DISCLOSURE REPORTPage 2 o f 7

N a m e o f P e r so n R e p o r t i n gGARBIS, MARVIN J.

D a t e o f R e p o r t06/I 5/201 I

I 1 1 . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17o24 of filing instructions.)A. Fil e r s Non-Inves tmen t Incom e

~] N O N E ( N o reportable income.)on-investmentDATE SOURCE AND TYPE

2.3.4,

I N C O M E(you r s , no t spouse s )

B . S p o u s e s N o n - l n v e s tm e n t I n c o m e - If you were m arried during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)D A T E SO U R C E A N D TY P E

I.2.3.4.

I V . R E I M B U R S E M E N T S - t ranspor tat ion , lodg ing , food , entertainment.(Includes those to spouse and dependent children," see pp. 25-27 offiling instructions.)

D N O N E (N o repor table re imbursements . )SO U R C E D A TE S LO C A TIO N P U R P O SE I T E M S P A I D O R P R O V I D E D

I. In te rn a t io n a l Ju d ic ia l M a rc h I - 5 M e xico C ity , M ex ico S em in a r, F ac u l ty T ra ve l, M ea ls , R o o mA c a d e m y2. In te rn a t io n a l Ju d ic ia l A o ril 5 - 19 Ch ina , va r ious c i t i e s Semina r , Facu l ty , Jud ic i a l T rave l , Mea l s , RoomA c ad e m y & C h in a S u p re m e E d cu a t io nPe op l e s C our t3. A m e r i c a n B a r A s s o c i a t io n Ju ly 7 - 9 Chicago , I l l ino i s S e m in a r , F ac u l ty T ra ve l, M ea ls , R o o m4. In t e rna t ioa l Jud ic i a l Academy Augus t 6 - 21 Argen t ina , Chi le , Peru S e m i n a r , F a c u l t y Trave l , Mea l s , Room5. ALI -ABA O cto be r 6 - 8 N e w Y o rk, N .Y . S em in a r, F ac u l ty T ra ve l, M ea ls , R o o m6. G eo rg e M aso n U nive rs ity N ovem ber I I - 17 Capt iva I s l and , F lor ida S e m i n a r Trave l , Mea l s , Room


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FINANCIAL DISCLOSURE REPORTP a ge 3 o f 7

Name of P e r son R epor t ingG A R B I S , M A R V I N J .

Date of Repor t06/15/2011

V . G I F T S . a n c l ~ ~ , h o s o , o s p o u s o a . d d e p ~ e n t c h U ~ r e ~ ; s e e ~ . 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

SOURCE

2.3.4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T IE S . a . c l u ~ e s , h o s e o / s p o u s ~ ~ . ~ ~ , ~ n ~ . , children; see p p . 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.3.

4.

5.

VALUECODE


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N a m e o f P e r so n R e p o r t i n gGARBIS, MARVIN J.

D a t e o f R e p o r t06/I 5/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, ,alue, , ...... , ions (Inc ludes those o f spouse and dependent ch ildren; see pp . 34-60 of f i l ing ins truc tion~)[ ~ ] N O N E (No reportable income , assets , or transact ions.)

D e s c r ip t io n o f A sse ts In c o m e d u r in g( 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 t e r e a c h a s s e t Amount T y p e ( e . g . ,

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

V a l u e V a l u eC o d e 2 M e t h o d

( J - P ) C o d e 3(Q - W )

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

r e d e m p t i o n )

T r 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 V a l u e Gain

mtrddd/yy C o d e 2 Code 1(J-P) ( A - H )

(5 )Identity of

buyer/ se l le r(if private

transaction)

I. PERSONALLY OW NED (HEADER)

2. M & T BANK CHECKING (FORMERLY[PROVIDENT)3. T ROWE PRICE TAX FREE BOND FUND

4. ROYCE PENN MUTUAL FUND RYPCX

5. FED KAUFMAN FUND KAUBX

6. PINNACLE NORTHEAST, INC.

A I n t e r e s t

A Int./Div.

None

None

None

J

K

TT

SoldSold

01/01/10 K01/01/10 K

M & T ACQUIREDPROVIDENT

A SALE IN 2009, SEEVIIIA SALE 1N 2009, SEEVIll

7. BAIRD MONEY MARKET None J

9. IRA-I (HEADER)

1 0 . L E G G MASON VALUETRUST LMVTX A D i v i d e n dI1 . ROYCE FUND PENNSYLVANIA RYPCX A Dividend M1 2 . TEMPLETON GROWTH FUNDTMGBX A Dividend K13. ROYCE FUNDS MICRO CAPRYMCX A I n t e r e s t J

T

TSold(part) 12/13/10

1 4 . BAIRD MONEY MARKET A I n t e r e s t J

1 5 .

16 . IRA-2 (HEADER)1 7 . L E G G MASON SPECIAL INVESTMENTTRUST LMASX Dividend M

I . Income G ain Codes : A = $1,000 or less B =$1,001 - $2,500 C -$2,501 - $5,000 D = $ 5,001 - $15,000(See C o lumns BI and IM) F =$50.001 - $100.000 G =$ I00,001 - $1,000,000 HI =$1,000.001 - $5.000.000 H2 =More than $5.000.000

2 . V alue Codes J = $15,000 or less K -$15,001 - $5 0.000 L = $50,091 - $ 100.000 M =$ 100.001 - $25 0.000( S e e C o l u m n s C I a n d D 3 ) N = $250,001 - $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 =Mo re than $50,000,0003 . V alue Method Codes Q =Appr a i sa l R = Cos t ( Real Es t a l Only) S =As:,cssmcnt T = Cas h Mark clt . Scc Column C2) U = Book V alue V Olhcr W = Es t imaled

E =$15.001- $50,000


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N a m e o f P e r s o n R epor t ingG A R B I S , M A R V I N J .

D a t e o f R e p o r t06/15/201 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 r ~ e , , a l u e , t ransact ions ( Includes those of spouse and dependent chi ldren; see pp . 34-60 of f i~ing instructions.)[ ~ N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income dur ing Gross va lue a t end

( including t rus t asse ts ) reporting period of reporting period(0 (2) O) (2)Place "(X)" after each asset A mo unt Ty pe (e.g., V alu e V alu e

exempt f rom pr ior d isc losure Code I div., rent, Code 2 M e th o d(A-H) o r i n t . ) O-P) C o d e 3(Q-W)

T y p e ( e . g .,b u y , s e l l ,r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(2) (3) (4)

D a t e Value Gainm a d d d / y y C o d e 2 Code 1

( J - P ) ( a - ~ )

I d e n t i t y o fbuyer/seller( i f p r i v a t e

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

1 8 .

1 9 .

20 .21 .

L E G G M A S O N O P P O R T U N I T Y T R U S TL M O P XF E D E Q K A U F M A N F U N D K A U B XF E D E Q K A U F A N F U N D K A U B XL - I I D E N T I T Y S O L U T I O N S I D

A Div idendA Div idend

A Div idendN o n e

M

K

K

TTT

So ld 09/30/10 K(par t)Sold 12/13/10 K(par t)So ld 09/30/I 0 K

A

A S a m e a s s e t a s l in e 1 9A

22 .23 .24 .25 .26 .27 .

LEGG MA SON, INC. LMH E N D E R S O N I N T E R N A T I O N A LO P P O R T U N I T Y F U N D H P O B XF E D I N T S M A L L - M I D C O M P A N Y F DISCAXB A I R D M O N E Y M A R K E TF R A N K L I N G O L D F H R C XC O M P U G E N C G E N

A Dividend K TA Div idend K TA Div idend K TA Interest J T

N o n e K TN o n e J T

Bu y

Bu y

09/30/I 009/30/I 0

K

J

1. Income G ain Codes : A = $1,000 o r less B = $1,001 - 52,500 C = 5 2,5 0I - 5 5 .000 D =$5,001 - $15,000(See C o lumns BI and D 4) F = $50,001 - $100.000 G =5100,001 - $1,000.000 H I = $ 1. 00 0. 00 1 - $5 ,0 00 .0 00 H 2 = M o re th a n $ 5, 00 0, 00 0

2. V alu e C o d es J = $15 ,000 or le ss K =515,001 - $50,000 L =$50.001 - $100.000 M $ 100,001 - 5250.000( See Col t~mns CI and D3} N =$25 0.001 - 5500,000 O = $ 5 0 0 . 0 0 1 . $ 1 ,0 O O . O 0 0 p I =$ 1.000.001 - $5,000,000 P2 $ 5,000,001 - 525,000,000

P3 -$25.000.001 - $50.000.000 p4 =M ore than $50,000,0003 . V alue Method Codes Q =Appr a i sa l R = Cos l ( Real Es t a t e Only l S : Asse s smen t T =C ash Marke t{ . See Column C2) U = Book V alue V = O the r W = Estim ate d

E =$15,001 - 550,000


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N a m e o f P e rs o n R e p o r t i n gGARBIS, MARVIN J.

D a t e o f R e p o r t06/15/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (indicate part of repor~)P A R T V l l , L IN E 4 - A S S E T S O L D 0 8 / 2 5 /0 9 B U T S A L E I N A D V E R T E N T L Y O M I T F E D O N 2 0 0 9 R E P O R T A N D A S S E T I N C L U D E D A S O W N E D A T T H EE N D O F 2 0 09 . U S E D 0 1 /0 1 /1 0 S A L E D A T E T O M A K E S O F T W A R E W O R K .P A R T V I I , LI N E 5 - A S S E T S O L D 0 9 / 15 / 0 9 B U T S A L E I N A D V E R T E N T L Y O M I T T E D O N 2 0 0 9 R E P O R T A N D A S S E T I N C L U D E D A S O W N E D A T T H EE N D O F 2 0 09 . U S E D 0 1 /0 1 /1 0 S A L E D A T E T O M A K E S O F T W A R E W O R K .


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Na m e o f Pe r son Re por l ingG A R B I S , M A R V I N J .

Dale of Repor t06/15/2011

IX. CERTIFICATION.l c e r t i f y t ha t a l l i n f o r ma t i o n g i v e n a bo v e ( i n c l u d i n g i n f o r ma t i o n p e r t a i n i n g t o my s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t he be s t o f my k n o w l e d g e a n d be l i e f , a n d t ha t a n y i n f o r m a t i o n n o t r e p o r t e d w a s ~ v i t hhe l d be c a u s e i t me t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r ia a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r te d a r e i nc o m p l i a n c e w i t h t he p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 73 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S I F I E S O R F A I L S T O F I LE T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S (5 U . S . C . a p p . 1 0 4 )

C o m m i t te e o n F i n a n c i a l D i s c l o s u r eAd m i n i s tr a t iv e O f f i c e o f t he U n i t e d S t a t e s C o u r t sSui t e 2 -301O n e C o l u m b u s C i r c le , N . E .Wa s h i n g t o n , D . C . 20 54 4

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Marvin J Garbis Financial Disclosure Report for 2010