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POSlIION NAME OF ORGANIZATJON.'ENIJTY
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PARTIES AND TERMS
--·------ ---------·------
Report Requin!d by the Ethics AO 10 FINANCIAL DISCLOSURE REPORT in G01•emment Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. H 101-l l l)
J, P1:rson Reporting (last name. far t. miJdk inilial)
St plelon, Walter K.
2. Court or Organizalion
U.S. Court of Appeals for the Third Circuit
3. Date of Report
05iJ5/2010
-1. Title (Anick Ill judgc:i indu::atc active or s nior status; magistrate judg s indi<.:alr.: full- or p3rt-tinu;}
Senior Starus
Sa. ltcport Type (check appnJpriatc type}
D N0mina1Jon. Date
D Initial [{] Annual O Final
6. Reporting Period
O!!OJ.'2009 to
12131/2009 5b. O Amended Report
7. Chambt:rs or Office Address
Federal Building 844 King Street - Luckbox 33 Wilmington. DE 19801
8. On the basis of the information contained in this Rrport and an)'· modificarions pert2ining tht>rcfo, it is. in my opinion. in complianrr \\oith applic::.ble l:no.·s and regulation .
RcYie\'lini:: Officer _ _ Oate
/Jf PORTA NT NOTES: Tire instrucrions accompurrying t/1isfor111 must be followed. Complete all parts, checki11g the NONE box for each part where you ha,•e "'' reportable i11/ormalion. Sign on /a, t page.
J. PQS ITJ ONS. (Rep11rting individual on r; supp. 9-1 J t>fjiling inslructiuns.)
NONE (No reportahle positions.) D
I. Chaim1an - Board of Directors
2.
4.
5.
Buck & Doc Trust, Inc. (non-prolit'conservation corporation) -- I have no beneficial intacst in the assets of this charitable corporation.
,...._,c-:,,
,- .
-· · · - 1 - C)
LU I ·· -
.I J. AG REE l\1. EN TS. (Rl'p1Jrtinx indfriduul on ·; see pp. l.J-1 fJ 11] jllinx i11srructfo11s.) .,
-o-r , ; - - )-· .. ,
[{_] NONE (No reportable agr.:ements.j 1 ;
n u Pl N
w
I.
2.
3.
Stapleton, Walter K.
SOURCE
------ ------ ----
INCOME
SOURCE AND TYPE
SOURCE
----------
---------·---- ------
LOCATION PURPOSE lIEMS PAID OR PROVIDED
Dal< of R<port Name of Prrs\m Reporting FINANCIAL DISCLOSURE REPORT
05/15/2010Stapleton, Waller K. Page 2of16
J II. N 0 N-JNVESTJ\IENT JN COME. (/frporting inJfridual and >pouse; '"pp. 17-U of filing in.<truaions.)
A. Filer's Non-Investment Income
[{] NONE (No reportahle non-investment income.)
-- ·---
AND TYPE
I.
2.
- ----------- . ·------ ---·------
(yours. not spou,c's)
-·---·-------
'·
4.
B. Spouse's Non-Investment lncOn1e - fj)'tJU Hll'l'e married during an)'{'flrlirm of the reporting }'l!tJT, L.0llmpleu thii .\-ectio11..
Q NONE (No reportahle 11011-invt?stment income.)
I. 2009 Chester County Country Properties (real estate brukeragc firm)
2.
3.
4.
IV• RE ( J\1 B lJ RSE J\1 ENT S -- trunsportatfon, lodxing.food, •'n/atuinment.
[ZJ NONE (No reportahle reimbursements.)
2.
3.
4.
--------
5.
SOURCE
----- -------------
----
-----
CREDITOR DESCRIPTION
---------- ---------
VALUE
VALUE CODE
--------
Namr of P rslJn Rt'porting Dale of ReportFINANCIAL DISCLOSURE REPORT
Page 3of16 Stapleton, Walter K. 05/15/201 ()
V. GIFTS. (lncfodes 1Jw:fe to spuu.'ie and dependent children,• su Pl'· 28-J l 1if fili11J( ;n_>;1ructimrs.)
[ZJ NONE (No reportable g£fts.)
I.
2.
3.
4.
5.
DESCRIPTION
--------------- -------
--- ----- -
VI .. lJ;\ BJ J .JTJ ES. (lncfuJ,·s //wu rtf...powoe unJ Jt•pe.ndenl chJdrrn: er pp . .n-.H 1)/ filing ittstructinns.)
7} NONE (No reportable liabilities.)
I.
2. ----- ---- - -- - - --
3.
5. -------------
D
j -- -- 1
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6.
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Name of Persun ll.tporting Datt of R port FINANCIAL DISCLOSURE REPORT
Page 4of16 Stapleton, Walter K. 05/1.5/2010
\'I I. INV ES TM ENTS and TRUSTS -income. ,..iue. rran>aaion., 11n<1udes '""·" '1 'P""" and depemten1ehildren: "'PP· 1i-60 oJJiling insrruufons.1 ·
NONE (No reportahle income. assets. or tra11sactions)
A B. c. 01..·scripllor: oJ Ass1.. 1:. Income during Gross value at end Transactron:> during reporting period
(including tru:.t a s:.:ts) rcponing period cf rcponing period,_ r -(1) -r-(2)i (1)- ' (2) (I) (.1) (4) (5)Pl<t..:e "(X)" ;)ncr c:ich asset 1 Amour.t 1 Type (e.g., \'aluc Value T)pe (e.g.. Oatc I \'a Jue Gain ldcniiry of
cxcmpl from prior discltJ urc Cude I . <liv., rent, CO<Je 2 Mcthnd buy. ;di, mm"ddiyy '. Co<lc 2 Code J h.uyer.'scller'(A-JI) QT mt.j (f-1') Code 3 rcdcmptionJ (J-P) CA-II) (if pri\":\k
trnn!>3l'."tii.m II CQ-\\')
1. fl,ntcr Int'] Com. A Dividend K T
Conoco Phillips Com. A Dividend K T
13. J&J Com. A Dividend K T
4. Marathon Oil Corp. Com. A Dividend K T
s. Merck Com. A Dividend K T I
Pepsico Com.
Kimberly Clarl Com.
. Southern Co. C,1111.
9. Exxv:i Mobil
10. (icncral Ekctric
I II 3M Corp.
1 11. SEI Tax Exempt Tru>t Account
n. Aliicd Cap. C,1m. I
14. Chubb Corn.
15. Cisco Sys. Com.
16. EMC Corp. Com.
17. Emerson Elcc. Com.
------ ---------------
A
A
B
A
A
A
A
A
A
Dividend K
Dividend K
Dividend K
OiviJentl K
DividcnJ K
OiviJend K
IJi»idcnJ J
None J
Dividend K
None K
None
Dividend K
T
T
T
T
T
T
T
T
T Sold
(part)
T
Sold
T
()J/04.'09 J B
03104/09 K
;
I
I !n;,;om.; {i;iin C ck' A• SJ ,flDO or k" B - S l.l>fll - S2. 0o C-=-52.501 -S.".000 0 ..:S .fiOI - '\I "i,OflO 1:. =- I .0(11 - i O.OOll /Sc..:: (tJ:i..;111ns Bl ;m<l 1)4) t --isu.flOI - >100,000 G s1ri<1,0<11 - Sl.OOli,Ol)t} 111 -SI Jtt/t)J)i)I - S 'U ).000 112 \1:JrL· 1han $ .000.((IO
2 \".:1lu.,:0C:. ..k..; J -S 15,000 ·r ks K "')15.l)l)I -S50,00o L = 5fl.Oo I • JI D0/>00 M "'SHHl.001 - iZ5n.ooo tSi.:i.: Cuhmm-. Cl and IJ1J !'-. =\250,1101 - SSOO,iJ.00 O =S 110.i:if1J - 51.Mn.u•){) Pl Sl.Ot)OOol-$5.ooo.ooo r:!"' S5.0fl{J,Ofll - S25.000.000
PJ .:.) \OOO,uo: - S5<J.1.l(Jl),OoO I'-' =Mf•TI.." thdn S8l,OOQ,OOO J. \'all..!c M1."thi..'ll CoJt's Qco.AppJa:">.al H \1.,.1 (Re-al ha,1:..: Only) S =.A scssrnL'l"ll
1s ..: t't•l1.mn CZ) l =B.1.)t1k Valu" V::..01h1·r \\· i:st1mJh.:d
c ,-
_J -
j --·
:
I 123.
124. I
126.
I
129. 1 30
131.
133. I
I
ln-:::;mcGo•;;(o<lc>:.
J
K
--
--
I
- - --(!) (2) (3)
i
I . i
(5)
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Date of Rt:por1Name of Pt.-S(Jil H.tportingFINANCIAL DISCLOSURE REPORT Page 5of16 0511512010Staplctnn, Walter K.
v 11. I NV EST J\1ENTS and l'R u STS -- income, l'ulue, trun\actiom llnclude\ tho.\e •if.1pouse and dcpemlenl children; .<ee Pl'· 3./-60 ojfiUng instructions.)
C NONE (No reportable income, assets, or lransacrions.) - IA. B. n.
Description of Assets Jncomc tlunng Gross valut: ai cr.d Tr:.ms:ictions during rcportmg paiod
(including trust a"s..:1s) rl'porting period of reporting p rioJ ·-- · (ll (Cl
- ·-
(I)Place "(X)" af:.cr each as::ict '1\moulll 1 Type (e.g., Valu
exempt from pnor d1::;clo$urc < Codo I div., rent, Code 2 (A-11) or int.) il-P)
C.I 1- t4i Yalu Typl! {e.g .• Date Value: tiain Idcrni1y of I I1'.kthoJ buy, !> ll. 1mm/dJ/yy 1Cudo2 I Code I buycr: i:Jkr·
· C\.Jc 3 rcdc1nption) ' \l-P) (A-II\ (if privah: (Q-Wi lfJn53Ctio:i)i_ -
1s. Teleflex Com.
19. Pcrbomcn Valley Pa. SD
20. Acom II LP
21. PA St. Bd.
22. West View PA Bd.
Clarco Inc. I
Wrigley Co. Com. '
2s. Fleetwood PA Bd. 611116 I
J.M.Schmucker Co. I '
Vanguard Emg. Ml<l. ETF . 27.
. 28. Vanguard FTSF All World ex.US . I
!Shares MSCJ Pac. ex. Japan
lk\\kll Pacbnl
AT&T
32. J!urnrndstown PA Bd. 11/15124
West Chester Arca Sch.
34, Bucks Co. Water & Sewer
A
A
A
A
13
A
A
B
A
A
A
A
/\.
B
B
A
A
Di\'idend
Interest
Dividend L
lnt rest K
Interest L
Di,iJcnJ K
Di,·idcnJ K
Interest K
Dividend K
Dividend K
Dividend K
Dividend K
Diqdcnd K
Dividend K
Interest K
Interest L
Interest
T S"ld (part)
RedeemecJ
T
T
T
T
T
T Bu;·
T Buy
T Buy
T Buy
T Buy
T nuy
T Buy
T Buy
T
Redeemed
01/04/09
OSiOJ/09
01/12/09
03/09/09
03/09i09
03/09/09
03!09/09
03:09,09
0309/09
06il5i09
06'01/09
J
L
K
J
K
K
K
K
J
K
L
B
I
-I ·1 .A. .=\!.0•-)()urkss H ==:!.J.mH - $.2.500 C t ,501 - S.".tJil,ij1 D =$5.t.1111 - I S,0()(1
fScl· Columns ill am.! U·I) r =\50.flOt - \lflOJJf>O G )l!l(l,"ll • Sl.»l<JWtl 111 · - il ,OU0.001 • $5.000.fJfH) fl2 ==More than 'I. \000.000
: V;1hH.·C1"l,--; J =.SI 5.noo ur k s K =$1\00J - 50_tJli(J L - l).f)(}J - $ :00.000 M '='J!l)O,flOI • 1.2.50,r11x.1 iS l·Co!umnsCI andUJ) \ --) 50,001 · SOO,Ot>O () -)j!Ml.! ll . Sl.il<IP.t• l r1 =St.ri1 1.001 - si.nr;1.r · P2 -Sl.000.001 · W.il<)J.1l!JO
P3 .;_'525,000JlO! - $ 0.00t>,000 N "'Mnre rh,m 15iJ.t1tltl,11tto J. v ..Juc !\kthod Co·l ·s Q Appr:mal 1-t =Ctr.I (Ri.:;il l:-,1;111.: Onlyj S =/\ $C'\Stn<::nl
(Scc Column C1) C =B;)(1k \'J!ui= V·Otha
of filing
141.
I
L ---
149.
L_
.. 11.:
I
(I) . (I) Value
Code 2 CcH.k 3 (()-WJ
(IJ
huy. sell, (ifprivJtC
Date of Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT
Page 6of16 Stapleton, Walter K. 05115;2010
VI I. I NVEST!Vl ENTS and TR u STS - in.·ome. 1•aluc, lran.<actio11.< (lncbufe.< tlrose of.<p11use and depe11dent children; see PP· N-60 in..iruaion. )
[j NONE (,Vo reportable income. assets. or transactions.)
. .\. B . c. D. Dcscripuon of AsscL Income Jurm C.Jro.-;" vJluc at end T rnns;actions during rcporti11g period
(indudmg: trust <i SCL'i) r..."Porting pi::nod of rcponmg pcnoJ
(2) (2) (:'!) (3) (4) f5)! ; ValueT)pc (e.g . . Typ (e.g . .Place "CX)" afkr c<ich as ct Date Valu...· I Gain Identity t)f .:\muunt I c,,Jc I i 1 Code 2 i Code 1 iMctho
tl-P) mm!dd/yydiv.. rent, buyer!!\ellcrexempt from prior d1sclo ...urc
i (A·l!l I or int.) (J-ri i (,\-HJrcJcmptilm) I
tran:..:tcli\)11)
35.
3&.
37.
38.
39.
40.
I
42.
43.
44.
45.
46.
47.
48.
Spring ford Arca Sch.
\Van.v11.:k PA Sch.
!Shares llK China
!Shares Malaysia
!Shares Singapore
!Shares Russell ItlOO Gr.
!Shares S&P Europe
!Shares S&P Europe
!Shores Dow Jones Select
A
c
A
A
A
A
A
StrcetTracks Index (Wilshire International) A
Ou ke Energy A
Nuvccn Fd. B
Buckcy-c Partners I)
Johnson &Johnson Com. l:l
Interest
Interest
Dividend
Dividend
None
Dividend
}.Jone
Dividend
Dividend
Dividend
Dividend
Dividend
lnteresl
Di\idcnd
K
M
J
J
J
J
J
J
K
K
M
L
).krck & Co. Com. R Dividend K
50. Real Estate Chester Co. PA (App.Date 4/12.'94)
51. Star Bancorp. A
None N
Di,idend L
T
T
T
T
T
T
T
T
T
T
T
T
T
Q
T
Sold
Sold
Huy
02:wo9 J
02-'24109 J A
11:10!09 K
I
I
I
I lncem..: {l;,.m Cmko;;: :\ ..--SJ.OO(Jor IL><i<> tl ·$J/Xll -$1,YJ() C -S2.>0I .. $5.()\)l:l U-)5,tlOI .t;J5JM)0 f-. -S ! 5.00 I • 1511.000 1Sc Colt1mn3' Bl anJ D4} F SSO,OIJ l - S IC(1_(;10 G =.,100,001 - l,000.0<IO 111--'it,Of)oj,001 - \1}00,flOO 112 ,. 1vn: 1han S.5.000.000
1. Value (\'>:ks J .,...SJ .S,OUO or k s K-)15.001 -$50,0t}(l ""S)o/iOJ -.$100,0no 1 =$ lOO.OIJI • S150.()t)lllS.C..: Columns Cl :md DJJ N ==S::!50,00I - }.'iOO.lll:fl 0 >SoO.WI .. SJ ,1}(JO,(}(i!J Pl -=St,Ol)fl,(kJJ. $5,f.11)(1_i")OJ P:! =S'i,000.WI · S::!5JXlOJ.i{lt)
P3 ,$2\000,IJlll - l L)J)l)!)J}IJI) !'·I - \k,rc- !hJn '!..'0.0(10,00fi .l Va!u:: f\1dm<l Ce>tks Q =-Appr.ii,;:d R -C1-1 tRcal F:::.t On:yl S :.._.\,,,,;:,.;m1.·n1
($..: Column C2.l l I Bou \'aluc \' -Cnhl..°r \\' =-l::,111n:1rl·d
i ! I
I
I
I
168. L___.
-----
c21
J 1-.
r I
i
I
I I
!
I
i
Date of Report Name or Person Rt'.'porting FINANCIAL DISCLOSURE REPORT Page 7 ofl6 Stapleton, Walter K. 05115/2010
VII. INVESTMENTS and TRUSTS -- inccnne, ""'"'·transaction,, (Includes''""' "/.>rouse and dcpend.ntchildren; see PP· 14-60 of Jilin;: imtructiom.)
NONE (No reporlable income, a.l'Se/s, or transactions.) D ii.
--1 B. c. D. Dc c1iption cf Asset;;;. lncomt:: during Grl\:\.S value 3l end Tr.m Jct1ons during reporting pcnod Ipoduding lrus.t a.s....1.:ts} rcporling perio<l of rcp:1rtir:g rx:rir'IJ
(I) (21 ti) 11) ----;- T iJ> 1(4) (5)Place "(X)" after each ass1.:t A mom: I Typc(cg. \IJfuc \'a Jue Type (e.g . . : Dale / Valui: I Gain ILkntil) of
exempt from prior d1sclusun; Code I i div.,n:nt, Cude 2 Method huy. •ell, ! mm'dd:'yy Code:! ' Code I buycr/.scllcr(A-11)
or ir,t} \l·P) Code .:l r.;dcmp1ion) (J-P) i (A-H) lif privatt
(Q-\\') tran-:;;1..:1inn)_j .--1_f (2)
52 53.
54.
5
5
.
! 56.
57.
58
5<1
'60.
i ,61. I I
62.
! 63.
64.
U.S. Bancorp (formerly Firstar Corp)
Polymcdix
FketwuoJ PA BJ.
PA-exempt Mun. Bd.
Bucks Co. Water & Sewer
South Butler Co. PA Sch.
Monroe Co. PA
Powershares Exch.
Phoenixville PA Sch. Ad
Berkshire Hathaway Class B
!Shares Nasdaq Biotech
Powcrslures Tr. Wilcler
!Shares U.S. Acro,pace PTF
! 65. !Shares S&P Global ' I
66.
; 67. IRA-
- StrcetTracks Gold Trust
A
0
B
fl
A
A
A
[l
A
,\
A
D
Dividend
None
Interest
Interest
lnterest
lnteresl
Jnterc$t
lnterl!'st
Interest
Dividend
Norn:
None
D 1vid nd
D"itlrnJ
lnt.'lliv.
K
J
L
L
K
K
K
J
L
J
J
J
J
J
N
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
Buy
Huy
Buy
Buy
Buy
11/10/09 J
02/24.'()9 J
l) /24/09 J
02i24.'09 J
02;24109 J
i
I !n..:ur.:11.: (ia1n Cndc.-.: .\ ··Sl,Uoocn fc,.., u -S1,001 - :.'.'\Clf1 c =S .5.)1 - Sli.OOH D =$5.001- Sl5.(l{l(I
tSec Column" H) anJ D-1) I- )50.tll:I - SIOCi,(1(10 G. ilf}l),OtJI. Sl,OOC,000 II! -=$1,00IJ.001 • '\5,(JO(\fJ(XJ 112 "'l\ti.>r..: than S5,000.0VO
V:lluc CnJ s J = 15.000t)r 1r.: t...; "'"$()Jiil\ - $5\J.OUI) L "''ViO.(J{JI - J, lf.lfJJJ()() 1=SI00,001.1250,000
(S t: Column:; Cl and U.l) N -\250.001 - S511tl,t/OO l) )5()().001 - il .000,000 l'I -$1,t 'JO.OOI - il.lllxl.(l(l(i 1'2 =15.000.UOI - m.oOO.O<lO r1 -52;,noo.001 . .> o.ooti ooo P<J -"Mure 1han o.OhO,t.llJO
3. V31l..-.· Mc1hod C1 3 (.} =Appr:J1 il I< =C"11Rol h!:.it(' C>nfy1 S =As r.:'>srm·nr r =Ca.->h \farkct IS..:1'." Cl•lunin t.···21 t: t;l,vok \"..ill11.: \' Oibrr W-t. ll!iWtt:tl
171
I 182
i 184.
I I
1
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.... k'lo
FJNANCIAL DISCLOSURE REPORT Page 8of16
Name of Person Report in
Stapleton, Walter K.
Date of Rt:port
05/15/20! 0
VII. INVESTMENTS and TRUSTS - inwme. value. rra••acaons anc111des 11iose of.•P""·" and dependent children:,,. PP· 14-60 offilinr: in.<1rue1ions.1
D NONE (No reportable income. assets. or transactions.)
69.
70.
72.
73.
74.
75.
76.
77.
78.
79.
X(I
S I
83.
I
A Description of Asset...
{including trust :i :'C1 )
PkKc "(XJ" alkr t:Jch as=-ct exempt from pri,1r J1::;do ... un:
- !Shares S&P Mid. Cap.
-!Shares DJ US lltil.
- !Sh;ucs US lfcalthcare
- !Shares FTSE Xinht1:i
- !Shares Trust-Dow J Sel. Div.
- !Shares T NASDAQ
- !Shares Russell 1000 Gwrh.
- \'anguard Total Market
- Plum Creek Timber Co
- ML Bank USA RASP account
- Puwe1sharcs Tr. \\ii!dcr llill Ckan Energy
- !Shares MSCI Japan Ind.
- !Shares S&P Europe
- !Shares S&P Laton. Am.
- Powc1shares DB Commodity
- )Shares Singapore
B. c. In tm1c during Ciross vuluc al end
r p..:irting period ofn.:porting p..:riod -· - - -· - - - - ---J - - - . -,- - - -
TII) I t2) 'ti) (2)i Amoum : Type (e.g.,
Code I Jiv., rent, (A-Hi or int.)
, ;:, I iE�
(I)Type (e.g .. huy. sell,
red..:mp1ion)
Sold (part)
Sold
D. Tr:.m actiou\ <luring reporting period
tll - T (3j- -, --(4) -;-D<Jt I Value • Gaini
: mm:'dd'yy J CoJ.:: 2 : Code 1 ! , (J-P) (A-II) '
OJ/27,09 J
02,18.'09 J
(5)Identity of
buycr/sdkr
{ifpnvatc transaction)
'
I
I
I Ixs. - !Shares So. Arrica
_J
I. Jrn:u111;;-Ga1nCod . ISn:Ce>lwnn.,,H\ .mJ )
2 \"alul· (\ \Sci:C:o!umno;CI :mdD1)
J \. Jlue M.:thc>J ("oJc:li. tSc .. • C11iumn C2J
:\ =) 1.000 or k':. t· -=S.50.f)tll - SlUU.OGll J '--Sl5,000 or k N = 150.001 - \500.000 PJ =-$ 5.000.tHJI - ! f!JJf/fJ,000 {}-=Apprnt-.al l; ,..H\...,ib. VJ!u ·
H=<)l.Otll -S2."i00 (i srno,001 - l.OOCi.flOO I< ·$15.001. \l0.000 0 =$'1XJ.OOI - $1.000.000
R "'-C\1s1 IR..:al btatl.'. Only1 V =..t)tha
C =S1,<;fli - 1;5 ,fl(lfl JI I =! 1.000.00 I - !l,:lOO,(l(l(j l ·0S51l,OOI • JOOJIOG Pl =$1.0il-0.001 - Sl.000.00fJ f4 -=tl.fo1c: 1ha11 $50.f)(Jl).f,I()() S =A::.)o.c-,smcnt W =btimarcd
I) $5.00J. S.15.1).1(} H1 =='.\.tore than S.5,000.0(.IO \It =-S 100.001 • S2'>0.000 r2 =15,0oo.001 • s 1.1Km.ooo
.I:. -"\l).lM)\. \Sl),(!IM)
i I
I
I 198.
I 1 101.
I i
I . _l
c
!I)
-
_I.
I
I
I
I
I
I
I I
i
i i I I
I t
...._____ _ ---------
I Codo I I div., rent. (J-P) Code 3
Date of Rrport Name or Person Reporting FINANCIAL DISCLOSURE REPORT Page 9of16 05/15i2010Stapleton, Wallor K.
VII. INVESTI\-IENTS and TRUSTS - income, l'U/ue. rramaction• (!ncludt'> those of spouse and dependent children; see PP· 3./-60ofjili11 instru.·tiom.)
D NONE (No reportable income, assets, or transactions)
A. B. D. Dcscnpt1on of Assr!s I nc(1m1; during Gro5S. \ aluc at end Trnnsac:1ons dtJring reporting period
(including trust a.i:;:o;cts) rcportmg x:rioJ _ uf reportmg pcri1..1d J -121 - T-(:iJ ·--: ·14) : I (I} ' ( )
_
(21 tll)I (5) Vah.1c
Mctho,I
T)'pc (e.g., Date Value Gain!:\mount 1 Type lc.g ..
orint.)
Va.Jue Code 2
Pl;icc "(X)" after each asset I<lcn!ily of
i mm·dd:yy ' Code 2 ' Code I '
n.cmpr from prior dist..·losurc buy. sell. buycr/s.clkr
(J-P) (A-II)iA·ll) rcdcmption} I (ifpnvalcI II 1Q-W) transaction)
86.
87.
88. I
89.
90.
91.
92.
93.
94.
i 95.
9(,.
'97.
99.
100.
w2.
- !Shares Trust DJ US Ind .
• Powershares Exchange
• Sector SPDR Consumers
- Retirement Res. Cl.I account
• Berkshire Hathaway CLB
- !Shares MSCI CDA Ind
- I Shares Tr. Dow US
- !Shares S&P Global
- Powrrshares Cleantech
• Powcrshares Wiltcrhill
- Powershares Global Water
- S&P U.S. Pfd Index
·Sector SPRD Fin.
- VanguarJ REIT ETF
Ches. Co. Country Prope11ies SEP -
- Berkshire Hathaway
- US Treas. Inflation Note 411Sil0
D lnuDiv. 0 T
Sold
Sold (pan)
Sold
Sc1ld
Sold
Oli27/09 J
01/27/09 J
OJln/09 J
1)1127/09 J
01127/09 J
I
I
I II
I
I
_j
I. lnct•m · (hin Co<l.;s A :oS 1.000 or k <> B ::::o)l.nn: - $2.50() c $:?.501. )'.",i100 lJ -S5,00I - $1 ,fioO E 'S\5,001-150,f.00 ($...-c (\1!umns U I antJ U4; F ::.S50J)(_lJ - SI00,000 G .. Sff>OJ)l!i -Sl.OOOJ1t)O 111 •SI ,iM l.ll<J I - 5.'XX1,{)()l1 11 =Mor.; thi3n S .OOU,Odt}
- V:iluc Codes J -S 15.00fJ m kss. K .:Sl5,00I - S50,l>OO I. =$50,00l - S ID0.01:x1 M 00SI01},1)1JJ -1.:! ll,OOO (See Co:umn'S CI nd 03) N -JZ)t).fl(lt · \500,• lil U ··)!O!J.001 • SJ.OOOJltJU l't •$1 ,000,001 - Sl.IKK),OIMI r: -u.000,0<11 - s-: .ono.ooo
P.l =i.!5,000,fXJl - )50,0U0.000 N More.:: :h;m JS0,000,flf)O J. V<iluc McthCld Cndc Q -Apprnisal R =l )'i (Real btale Onl;·J S =As!>i:S"mr:nt T-Ci-;h/l.1:tJLct
1Si.::e Cvlumn C::) V -=Hook Value V""'Oth ·r \\' ""Esfi111ated
- _j
l'
I
! i I
I I
i
I
1119.
Lo .. k-:..:·
-
I
I ' I I I I ;
!
I
I
( )
. Cude l J div., rent,
(Q-W/
(I)
buy. sell.
n.
(J-P) (A-Iii
FINANCIAL DISCLOSURE REPORT '.'lame of Pt"rson Rl' Jorting D;atr or Rl'port
Page 10of16 Stapleton, Walter K. 05/15/2010
VII. INVESTMENTS and TRUSTS -incom<, ""'"'· tran.,actions 1tnd11des those ,,f.>pouu anu dependent ,·huurrn; see PP· 1-1-woJfiling ;n,1ruc1iuns.1
D NONE (No reportable income. assets, or transactions.) -
,- --A. n.
Dcsl.'.'ription of As...cts / 1ncvmc during firoit:-. v3h1e ;,ii end TransJctions dunng r1.. fAming period
(including trn..;,t :i.;;.... ct•;) j rcporfrig period of rcp{lrtmg period
I tlJ r t"l ii) (21 (3) (4) (5)ValueII D..itcAmount Type (cg .• Value Gain Jdcnt1t)' ofValuel'l:tcc ''(Xf aflcr ca•:h a ... scl Typ1. (c.g. I
Code I orin1.)
mm.'dcVyy Cude 2 1 huycr'sclh:rCode Methodcx::mp! fnnn prior disdnsurc 1 il-P) r(:d mption) r.ifprivat.:Co<lc 3 I
(A-I!) :Ii trans:lction)l
103. - lJS Treas. lntlation Note 1115115 --·--i
104.
105.
!06.
101. IDS.
109.
110.
Ill.
I 12.
113.
114.
' 115.
116.
117.
118.
- ML llank USA RASP account
- CD Western Bank PR
- CD Discover llank
- UST reas. Inflation Note 4/15/ 12
. ML&Co. SRN ML.fl-TR
- ML&Co. PPN F.URO IJSD
- Endowment TEI Fund
- U.S. Treas. Inflation Note 1/15118.
- :>latixis ASG Global
- BAC Capped URN
- CD Discover Bank
T. R,mc Pric:c Sci.&Tcch.Fd
Ex:xon Com.
9.511201h Int. I Ptship (App. 0 I /I 5i98)tRandolph Co. GA)
Acom II LP
Real Estate Hancock Co. ME (2001-$280,000)
A
A
A
c
None J
Dividend J
Rent L
Dividend L
Rent ()
Redeemed
Buy
Sold
Buy
Buy
Buy
T
T
Q
T
R
06.22/09 K A
02fl7.'1)9 K
02/08/09 L D
l:Yllf09 K
02.126'09 K
02!) 8;'09 K
I
I
I. ln.:c>me Gain A .::Sl,000 or lcs:. D S 1,00 ! - s:z.500 C =-$2,501 - °'>5JJ00 D =S .f,1fJI - 1.15,UOU E-$1."i.()..!I. $50,000 /Sec Column'> HI and 04) f ,,,S.50,001 - SIGO.ooo G =SIO<J.f ll -Sl.Of-0.ll(IO lH :Sl,000.'Jlil -$.S.l.111\1,000 J 12 =r..·h11t"" 1h.:tn Ss.ooo. XJ
2 Value Cn.tes J =S 15,000 nr kJi5 K SI 5.001 -1."lu.O<JO 1. =S:'in.001 - SlOf),tJf)I) M-110il,f)(}l -\:!<iO,OOfl !Sccl'iJlumnsCI ant! DJ) N =lUU,001 · . 51)(),IJ{JO o =S'.·00,1XJ1 . st .1. ;u_nw Pl c$1.(IO<!,lHll -15WO.i ' f' =15.'>10.001 -1:1.0<)l. lOO
PJ ""S::! .000,0IH - .l!-O.OOlJ,000 r.t =-fo..1l•rt: lb,m \"i0.0(t1).()I)() 3 Valu-.- 1'.:t!;lxl Codes I) "' . .\ppra1...;at R -C"'' lRc01I L tJH" Chi>> S "'A <:.;!>m ... ·11t
iScc Column C2} \J=Jk1,.1k V::iluc V =Oth r \l.'=-h1i:mtcJ
---1-
I
I !
J !
:
!
(ll
I
I I
I I
:
Date of Report ame of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 11 of 16 05'15/2010Stapleton, Walter K.
V 11. INVEST!\>1ENTS and TRUSTS - income, value, 1ransaaions 11nc1udcs those vf 'P"""'' and depenaent chudrm: ""PP· N-60 of filing ins1ructi,,11s.J
D NONE (No reportable i11cmJ1e, assets, or transactions.)
A. B. C. ll. Description of A:-.sc I Incom d rmg Gross\ aluc at end Transactions during reporting period
(mduding trust aS'.'io(:L..;.) 1 reporting period oi rt:porling. pcr; )d
(") (I) (2} (I) (2i T-OJ-1 ('l) (5) Pl;.u;c "(X)" atkr each n:.scl : AnH.lUnt · Typ fc.g .. \'.ilu.: -1 Valu-: Typc(c.g., 1 DJtc : Value , U..iin Identity l.1f
t:.\empt from prior dis.clo urc i Co<lc l div . . rcr:t, Codi: 2 Mcth,.J huy. sell, mm'd&yy Code 2 Code J buycr/ cllcr(/\-HJ Nml.} (J-Pl Code 3 rcd.:mption) . !I (J-P) (A-11) (if private
1Q-Wj tr3nsac!io:'I)
120.
1121. ; 122.
123. 124
12s. 126.
127.
1128. 129.
1130. 131. 132
133.
134.
135
136.
Gen. Elcc. Com.
SEI Tax Exempt Trust account
Kimberly Clark Com.
Cindnnali Fin. Corp. C�:m1.
SE! Jnvestmenls Co.
EMC Corp. Mass. Com.
Colgate Palmolive
Mcdtronics
Duke Realty
Rayonier, Inc.
Stcricycle, Inc.
Clarc0r, Inc.
Fleetwood PA Bd.
RPM Intern. Inc.
Polymcdix Inc.
City Nat. Dank
Graco Inc.
A
A
A
A
A
A
A
II
B
A
[3
A
A
A
Di,·idcnd K
Di, idcnd K
Dividend K
Dividend K
Dividend K
Nont:" K
Dividend K
D1vidcn..! K
Di,idend J
Dividend K
'.'Jnnc K
Di,idcnd K
Interest L
Dividend K
'.'Jone J
Dividend K
Dividend K
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
I:
' '
I
I. ln.:omc Gain C..xit"> :\ - i.OrlO or '.<:s.; H Sl.l lf/l 12.500 C -s .511 I · :ts.ooo [) "' 5.001 - jl 5,000 E =$ ! \001 - $-lH,OflD
lS.:c Columns lll and I.HI F o.or;; . $100,UOO G-Sl00.001 • Sl.flC•O.O(I!) 111 Sl.'I00,001 - S5.0fl0,000 112 -\for1: than S<;,OfM\000 2. Ynluc Cod.:s J :::S 15.000 1>r ks K ·Jl5.l10J • S 0.000 L =\ O.OOl . SI00,0011 M z\100.(Jlll. \2'i0,000
lS.:\! Columns Cl and 03) N -=$250.0ill • \.\flO,O(l{J o =.S501 .1>r:1. $1.(J{10,00il rt SJ _il(J0,1,01. '\\.000.00o r =S .000.0111 - 115.000,( f(I
J. Yalu:.: 1k\l\()(1 CoJL.°s PJ =S15,i)0tJ.(;<il · \ 0.000.0oO Q-Arrra1 l K :::('0,1 \Re.ii blah: Onl)·i
N -Morr! th:m .'t'"io.ono.or.o
(St'c Culurnn C 1 l 1 =B...... l \".ilu: \'=Oth1.:r
-
dn . .
' 14) i I
(5)
! i
Date of RrportName of Person n.eporting FINANCIAL DISCLOSURE REPORT Page 12of16 Stapleton, Walter K. 05/J 5120 )()
\'I I. INV ES'rl\'I ENTS and TRUSTS - income, value, rransac1ions 1rnc1ud.s 1hose of spouse and depmden1 children: see pp. 14-00 ··tJili111: imrruc1ion. !
-D NONE (No reportable income, assets, or transactions.)
A fl ll.i-- ,.Description of Assets Income during : (iross vabc at end 1. - Transaction:; during reporting r;:rllld
{including lrust assets) reporting p<:riuJ tif rcpurting pcriud
01-:- - (2) ti)V<llucPlace "(X)" after each asset i\rtllJUnl : Type iq;., ' Cc,Jc I Code 2 cxcmpl from prior disclo'!iurc , rcnj.
! (.'\-1!1I or int.) (J-P) iI
1.2! ii) (21 (3) Value- Type (e.g., Date Valu<: Gaiil ldcntiry l)f
Mcthn<l buy. sell, : mm'JJ'yy Code I f-.uycr/sclkrc; J;/Code 3 rcdcmp:ion) <A-Ill ! (if privatL'
;Q-Wl I I l_____tran:-.a ilin) ·-- l
137.
138.
139.
140.
141.
142.
143.
144.
145.
146.
147.
148.
149.
150.
151
152.
153.
AT&T Inc.
Spectra Energy Corp.
Genesee & Wyo. Inc.
CMA PA Mun. account
Ph1la. PA Sch Dist. Bd.
Olucridge Sch. Dist. Ild.
Perkie>mcn Sch. Dist. Ild.
\'v'est Shore Sch. Dist. Bd.
Warwick PA Sch. Dist. BJ.
N. Pocono Sch. Dist. Bd.
Council Rock Sch. Dist. Bd.
PA St. F1rs1
CD Western Bonk PR
lnJi.rna Cnty. PA BJ.
Phoenixville f'A Sch. Ild.
Somerset PA Auth. Bd.
Sigma Aldrich
n
A
u
u
A
B
A
c
c
B
B
c
B
A
A
Dividend K
Dividend J
:'-Jone K
Interest M
Interest L
Interest
Interest K
lnterest K
lntcrc t 1'1
lntercsr ]If
lntcrest L
Interest L
lnlt:rc::-1 K
UTH.: K
Interest L
Interest L
Dividend K
T
T
T
T
T
Redeemed
T
T
T
T
T
T
T
T
T
T
T
05120!09 K A
I. Income G:lin Cl,cks (S t' C'•lumns BI and f'4)
2. \'ahu.: (r11!.:
A =S 1.000 ir k f- -\50.<IOl - SIOO,fit)O 1 ""\15,0()1) or Jess
H =-t LUO] - 12,500 l1 -$100,fl<H - $ 1Jll. J.DOU K =SI 5,<.<JJ • Sl0,000
C S2.)UI - $'.'.1100 111 =SJJl(>'l.OOJ -SS.fklO,Oqo
L -})IJ,L'OI • SIOO,DrlrJ
ll cS5.00I - Stl.r.JO
I !2 -More than. S.5 .000.000 1 =s J00,00 I • \2'0.!ltlO
fS ·.: l olun1r,, Cl and 03)
3 V:il11 ... kth..>tlCu.:IL:s tSi!it c,,lu:nr, C1)
:-. ==S.2 0.0D I - 1 00.UOO PJ :\ 5.f){JfJ.f;UI · S 0,1){)0.(JIJOl} =Appr.u.;:11t' ==Bt ... •k \';1Ju
t) -1 00.on 1 . s 1.000.000
Ct• t iRr:I blJh: Pnly l V Uthi.:r
Pl ·Sl,O!JO.Ool -S5/Kll){M'J[1 P4 M•>tc 1h,m S:'iO.ooo.nno S -A,, -, mt:nl\l..'=-J-,1t111;1h.: .. I
P2 =15.000,001 - :?S//(}l)_UOO
c
1165.
:
(:)
I
I (5)
• .m}
'
I
!
I i !
Code I di'"· rent.
Date of Report :.mr of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 13of16 05iJ5!2010Stapleton, \\'alter K.
VI I. INVESTMENTS and TRUSTS - income.""'" · 1ransac1io11s 11nc1udes those ofspouu and dependm1 chi/dun: "u PP· JJ-60 ofJilirii: ;,,.,1ruc1ion. J
0 NONE (No reportable income, assets. or transactions.)
A. B. Description of A s<.:t!' lnl·ome during Tmn->admns during reporting period (including trust assets) rcp(n1ing pt"riod of rcpon ing period
-----·
(I) ('.!J (I) (I) 12) l
(3) (4) Place "(X)" after each asset !
c1cmpt from prior disclosure
Amount Identity of Value Typ.: (e.g., D:::itc Value GninT>pc tc·E·· V.Jlu.:-
buyer/sellerMethod buy, sell. mm1dtt:yy Code2 1Code1Codi.•:! (A-Hi or tnt.) U-1'1 Code rcdl.."mption) (J-1') tA-11) (if private
transaL·titQ-Wl
154.
155.
156.
157.
I 58.
159.
160.
161.
162.
163.
164.
166.
167.
168.
169.
170.
Stcncyclc
Kinder Morgan Energy
CMA PA Municipal account
Phila. Sch. Dist. Bd.
Blue Ridge Sch. Dist. Bd.
Del. Valley Sch. Dist. Bd.
Perkiomen Sch. Dist. lld.
Nashaminy Sch. Dist.
Pa. TPK CML OIL
ML&Co. Capped LIRN
Pa. St. Bond
.
V.'esl Chester Pa. Area Sch. Dist. Ud.
Spring-Ford Pa. Ihl.
Pa. State Dd.
Eric lndmnity Co.
Vanguard Erner. Mkts ETF
Vanguard fTSE All-WPrld fa. US
NL'OC
n Dividend
D Interest
H Interest
A Interest
A Interest
II lnten t
None
c Interest
None
ll lnt rest
A Interest
A Intere.st
A Interest
,\ Dividend
A Di1.-id nd
,\ Oi\'idcnd
K
K
L
L
K
L
J
L
K
K
K
K
K
K
K
T
T
T
T
Redeemed
T
T
T
T
SolJ
T
T
T
T
T
T
T
05120i09 K A
03/13109 K
l :
Income Cam C.'l<.ic. A =Sl,Oflfl · • k ll $1.001 - !2.5f(• C: S:Ufll. i .("lllcl IJ=15Jl0J -Sl5,00V l-. =11 ,00 I • )50.IXIO ($n!Colt1m1:.: Bl ar-d [).i) F =-\S0,001 - \IOU,000 Ci =-il(;(J,(llJI - S l ,f.tOO,Ot)(} lfl "'-$ !.Of(l.()IH . S:SJ!.111.000 H =\1urc dun S.5,000.000
2 \" Jue (\,.k,. J-$15,000'01 k:i.:t K ==Sl .tXJ! -\Sf•.OOC1 L --=$5U.1)l)J -1l!JCJ.O!i0 M SJOO/,OJ - S250,000 (S,·.:o (\1ltm1n'> ('J .md D.'l) N -s 50/'4H - ssoo.noo 0 ==!500,00! - ti.l)•)).(l(l() Pl -SJ.f.M l.f.•OJ • $5.IYJO.Oo.)0 F'2 -1 .llPO.OCJl . S25.000.0110
P3 .-.$25,000,001 $50,000.fJOf) N -!'-fori; !h,m S50.00!.l.(1(1() -
3. Value P\kthf j C1•(k"S Q-Aprra1i;:il R '"-C<..•'.'>"i 1l<cal t::.1a1...: Only) --.'\-...:.t·s!>m..:nl {Sn· Cnlunn c:; U -l:fr1o-1k \a:u V ·t)1hc:r W l:, 11rn.lll'd
I
i
I
A T
n .. ·dcmp11on)
D
l
ll.
(2)
Date of Report Namr of Person Reportin:= FINANCIAL DISCLOSURE REPORT
Page 14of16 05/1512010Stapleton, Walter K.
VI I. INVESTJ\-IENTS and TRUSTS - inwm'" ""1""· 1ramuc1i<111s (Jn..iuJes 11iose •>fspo11se and dependent children: see pp. 34-60 offilinx instru•·tions.J
D NONE (No reportable income, assets. or transactiom.)
A. c. Grnss \·aluc at end Tro.ns:J\.·tions during rcponing period Income during Dcscrip:ion of Assets of re-porting pcnod -(including trust a cts) TL"porting pi.::riod
(I)11) 12) (I) 12) (3) ( ) \Si Date i Valu Gam ldcn:ity ofjValue Type (e.g.,Pl.3.CC "(xr· after C<lCh as:id A:nounl Type te g., Valu-.-:
CL'<.ic I di;,·.• rent, uy, sell. !exempt fn..'m pril•r Jtsdosurc Code :! :kthod mm.'dd1n· : Code 2 : (\>de 1 buycri:;cllcr
(A H/ or mU 11-P) (\)Jc J (J-P) i•\-11) {if pnva c lQ-WJ i trnn n.:tiLin)
L. ..
171. Graco Dividend K
172. SPDR SP Bric 40 A Dividend J T
i 173. Lower Gwynedd TWP 13d. A Interest K T
' 174. Duke Energy B Div idend K T
I 75. \'anguarJ All World E . US A lli,idend K T
176. Vanguard Emer. r-.·1kts ETF A Dividend K T
177. U.S. Bancorp A Dividend K T
1
178. SECTOR SPDR fin. None Sold 02124/09 J
! 179.
ISO.
I lm;ome (1a:n CoJc:·> A -SIJ11>l..1rk :i: 8 41.001 - \ .500 C =$ . "i! I -S5,000 D 15.DIJI · SIS.iJ(I() I ·SI 5.f>ll - 150.{lllll
fSci.:Coh;mn HI and l>4) r "'"iso.001 - \ ino.ooo Ci- lliO.OiH -Sl.OOO.(lf'-0 Ill •Sl.OIJO.O<ll - Sl.tx>J.000 IJ= -fl,.forc than SS,000,()(1(1 ?:. v,1luc Code� J =$)5,01)4) L'r !.:" '\ K ,,,5, .nor - ssn.om L S50.fH.ll -Slt)0,000 M •1100.0<li - 1250,< l
fS<:c Cnlmnn.' ( J and DJ) N \.!50,l)(JI - :i lltl.UlJIJ O :S5tJH.(kll - SIJlll i.OtlO Pl =\l.000,DOI - S5,D00,000 r:.'. -\5.000.001 - : .000.000 113 H5,000,001 - $50.000,ftfro P·! -Mon.: than S50J>l>t.l.OOO
1 :I. \:"hi..: Mc1h1°d CoJc Q =Apprn1'J.J! K · (.'m.t i Rt:.il E'-1.Jtr.: Only) S """As: cs .. nwm IS.:1,: C •ilm;n C.::'.) l' -U,1..1k V:1lu · V -01hc.:r W - L t11nc111.·tl
---i I
ame of Ptnon Reporting Date or ReportFINANCIAL DISCLOSURE REPORT
Page 15of16 Stapkton. Walter K. 05/15/2010
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/ndicaltparto/Report)
The of timberland in Randolph County, GA. I am a general partner. My total interest is 9.5/l 20th. Partnership income is partnership owns derived from hunting leases and the sale of timber.
FINANCIAL DISCLOSURE REPORT
Page 16of16
Name of Person Reporting Oati: or Report
Stapleton, Walter K. 05/1512010
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children. if any) is accurate, true, and cornplete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which han been reported are in compliance with the pro\1sions of5 U.S.C. app. § 501 ct. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signa tun
Non:: ANY INDIVIDUAi. WllO KNOWINGLY A!\D WILFULLY FAl.SIHES OR FAILS TO FILE THIS REPORT l\IAY BE SUBJECT TO Cl\'11. AND CRIMINAi. SANCTIONS (5 U.S.C. app. § !04)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosme Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544