Stewart Dalzell Financial Disclosure Report for 2009

8/3/2019 Stewart Dalzell Financial Disclosure Report for 2009

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~ I , t o . ~ 0 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 ~in Governmen t Act o f 1978~. 1~olo FOR CALENDAR YEAR 2009 0 u.s .c ~p, . H IO I-HOI. Perim l Repo riing {la s t n am e, fi~ t> midd le in it ia l) i 2 . Coa ti o r Organ iza tion 3 . D o t e o f R e p o r tDalz e l l , S t ewar t U.S. Dislrict Cour t 0 5 1 0 4 / 2 0 1 0

4 . T i t l e ( A r t i c l e I l l ju d g e s i n d i c a t e a c t iv e o r ~ c n i o r s t a t u s ; S i t . R e p o r t T y p e ( c h e c k a p p r o p r i a te t y p e ) 6. Reporl lng Periodm a g i s t r a te j u d g e s i n d i c a t e f u l l - a t p a r d - ti m e )r - [ Nomin a t i o n , D a t e 0 1 1 0 1 / 2 0 0 9Art icle I l l Judge * Act ive IJ] l n i l i a l ~ Annual [--] Fina l to! 2 / 3 1 / 2 0 0 9Sb . [ ] Ame n d e d R e p o r t

7. Chambe~ o r Omen Addres s 8 . O n t he basi s of t he i nformat i on cont a i ned I n t h i s Repo r t a n d a n ym 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 ~ , i n m y o p i n i o n , i n c o m p l i a n c e1 5 6 1 3 U , S . C o u r t h o u s e w i t h a p p l i c a b l e l a w ! a n d r e g u l n t l o a o .60 | Market S tree tP h i l a d d p h i a , P A 1 9 1 0 6 R e v i e w i n g O f f i c e r D a t e

I M P O R T A N T N O T E S : l #,e ins t r uc t ions ac c o m pany ing th is fo r m m us t be fo l lowe d. Com pl e te all par ts ,checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. ~R~,a~[--I NONE (No repo r table posi t i on s.)

POSITION NAME OF OP, G ANIZATIONfENTITYI . Sec r e t a ry o f t he Ves t ry Saint Marks Church, Phi lade lphia , PA

3,4.5.


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

III. NON-INVESTMENT INCOME. (R~,,n~A. Filers Non-Investment Income

NONE (No r e p o r t ab le n o n - i n v e s t m e n t i n c o m e . )DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

I.2,3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - i f you were married during any portion of the r e p a r f f n g y e a r , o m p l e t e t h is(~11~ ~ount not requi~d ~cept for ho~ra~a.)

~ NONE ~o r e p o r t ab le n o n - i n v e s tm e n t i n c o m e . )~ SOURCE AND ~PE

~ :~ : ~ ~ ~ : , ~ :~L Teach i ng Fee s

2.3.

4.

IV . R E IM B U R S E M E N T S - ,,.~,~o,.#o~. todV~,. /oo~. ,,,,,**~,~,.t(Includes t~s~ to s~use a~ de~nt chil~en: see pp. 25-27 of filing l~t~ctio~.)

N O N E (N o re p o r t a b l e re i mb u rse me n c s . )~OURCE ~ LOCATION P~POSE ITEMS P~ID OR PROVIDED

I.2.3.4.5.


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P a g e 3 o f 1 0 Dalzdl ,$tew,r t 0 5 / 0 4 / 2 0 1 0

V . G I F T S . a.~,~o~.o,~..~.~.~.,~.,~.~.~,~N O N E ~o reportable

I.

5.

Vl. LIABILIT IES. t l , ,d = ~NO NE ( 7~ o r~portable liabilities.)

I.2.3.4.5.


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Iu 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 tFINANCIAL DISCLOSURE REPORTPage 4 of 1 0 Dalzell, St~a~ 05104/2010VII. I N V E S T M E N T S a n d T R U S T S -~n~e~a~ue~tra~a~ns(~"c~ud~th~se~f~e~ndd~endentch~dren;seep~4~f~g~w~n~)

~ ~o reportable income, assets, or transactions,)ONEA. B. C, D.

~ption of A~ I~o~ du~8 G r ~ s v a l u e a t e n d T~nsactio~ d~ng ~e~ing(i~luding ~t ~) ~ing ~6~ of rc~ing

Place "(X)~ after each ~ Am~n~I T~ (e.g., Val~ l Va l u e T~ (e.g., Date Value [ Gain ~ Id~ti~ ofexert ~om prior ~ C~e I d i v . , ~ n ~ C~ 2 M~ buy, $et l , [~d~ [ C~2 [ C~ I [ bwer/~llcr

I. Cape Cod Five Cent Savings A I n t e r e s t J T

2. Be~, Steam~JP Morgan Fed. Fund A Interest J T

3, P N C B a n k A I n t e r e s t J T4. RMA/Smith Ba rney Tax Free Fund A Divid end J T5. B R E Propert ies, Inc. C Divid end K T6. Vangau rd PA Tax Fr e e Mone y Fund A Div idend J T7. C la ud e R e s o u r c e s None Sold 0 4 / 2 3 1 0 9 J s e l l o n Tomo t o SE8. Prime Fund-Cash Reserve Trus t A Divid end J T

9. P~ps ico A Div idend K T

; 1 0 . Merck & Co . A Div idend K T Bu y 05/13/09 J buy on NYSE!1. J.P. Morgan Bonds B Interest Redeemed 01/15/09 K A matured

12 . Cisco System Notes A I n t e r e s t K T

1 3 . Genera l Elect r ic Capi ta l Note~ A Int er es t K T1 4 . Pf ize r , Inc . A Divid end J T

1 5 . Gene r a l E l e c t r ic A Divid end So ld 03/25/09 J s~le o n N Y S E1 6 , B a n k A m e r i c a Notes A Int er es t J T1 7 . Genera l Electr ic Cap. Notes A I n t e r e s t K T B u y 02/09/09 J buy in offe r ing


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IN,me[ Person Report|n~ Date of ReportFINANCIAL DISCLOSURE REPORTP a g e 5 o f 1 0 D ~ l z e l l , S t e w a r t 0 ~ / 0 4 / 2 0 1 0VII. I N V E S T M E N T S a n d T R U S T S - i.o,,e. ~.s~t. ~,,,~ct~,~ an ct, d~,

N O N E ( N o r e p o r t a b le i n c o m e . ~ s e t s, o r t r a n s ac t i o n s .)Dcscfiplion of As~ l~ome d~fing Gr o s s v a l u e a t e n d Tmns~ctio~ du~ng ~i~(incl~ing t~t ~) rc~ning ~6~ of ~poning p~

P~e "(X)" after ~ch ~t A m o u n t Vnlue Val u e Dateexempt from prior di~u~ C~e I d i v . , ~ n ~ C~ 2 [ Me~ ~y,(A-~ o r in t . ) (J -P) C~ 3 ~dempl~n) I (JP) (A-H) (if~v~e

18 . Exxon Mobil A D i v i d e n d K T So l d 12117109 J C pa~ialsaleonNYSE(pa~)19 . SE1 Daily Incom~T~st A D i v i d e n d K T

2 0. W a ste M an age me nt A D i v i d e n d K T B u y 05 /12 /09 J b u y o n N Y S E21 . Chevron B Dividend L T

22. Johnson & Johnson A D i v i d e n d K T

23 ~ Goldman Sachs Group Notes D Interest Redeemed 10/01/09 K A matured

24. Odyssey Re Holdings A D i v i d e n d Redeemed 09/08/09 J D merger

25. General Dynamics " A Div i d e n d Sold 08125109 J D sale on NYSE

26. Inte| A D i v i d e n d K T

27. AT&T A D i v i d e n d K T Buy 05112/09 J buy on NYSE( a d d l )28. McD~nalds Corp, A Div i d e n d K T B u y 10/02/09 J buy on NYSE

29. Powe~shar"es ETF A Div i d e n d J T Buy 10/02/09 J buy on NASDAQ

3Of " Dominion Resources B D i v i d e n d K T Buy ; 10t02109 J buy on NYSE( ~ d l )3 1 . N a tq R u ra l U t il it y N o te s A I n t e r e s t J T B u y 01t l 5 / 09 J buy in offering3 2. D i a g o P L C . A D i v i d e n d J T Ba y 0 5 1 1 2 / 0 9 J : b u y A D R s o n N Y S E33 . Chubb Corp. A Dividend J T B u y 05/12/09 J buyonNYSE3 4. W i n d s t r e a m B D i v i d e n d K T

G a i n Co d o : A = $ 1 , 0 0 0 o ~ l e ss


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F IN A N C I A L D I S C L O S U R E R E P O R T r~ .... f P ~ r , o a R e p o r H n g .Ia g e 6 o f 1 0 V a l z eU , S * e ~ a ~ 0 5 / 0 4 / 2 0 1 0NONE ~o reportable income, ~sets, or ffansactions.)

A. B. ~.D ~ d p l i o n o f A s ~ l n e o ~ d u r i n g G ~ v a l u ~ a t ~ d T ~ n ~ c t io ~ d u r i n g r c ~ i n g( i n c l u d i ng trust ~n) rc~ng ~fi~ of ~ing(I) (2) O) (z) O) (2) (~) ~ (4)Pl~ce " (x ) " a f t e r ~h ~ A m o u n ~ T~ ( e . g . , V~I~ Va~ T~ ( e , g . , D a ~ e V a g u e G ~ i~ I d e n t i t y o fexemp t f rom pr i or d i~ l~urc C~ I div., ~ C~e 2 Mc~ b u y , s e l l , m~ C~ 2 C~c I buyer/~l l~( A - H ) o r i n L ) ( J - P ) C~c 3 ~ d e m p t i o n ) ( ~ - P ) ( A - H ) ( i f p r i v a t e

35 . B a n k o f A m ~ i c a A Divid end So ld 08/15/09 J A ~ I o n H Y S E36 . Conoco Ph i l l i p s A Divid end K T37 . In t l Bu s i n e s s Mach i n e s A Divid end K T38 . Bank New York Notes A Interest K T39 . Fed . Home Loan Bank Bonds A I n t e r e s t Redeemed 07tl7/09 J A ~ z l l c a l l4 0. Fe d e ra l Fa r m C re d it B an k No t es A I n t e r e s t Redeemed 0 3 / 1 1 1 0 9 J A ful l cal f41. Korea Elect r ic Powe~ Co~p . A Divid end K T42 . Sou thwes t e r n Be l l Te l . Bond s A Interest J T

43 . Fa i f f ax Fi n anc i a l Ho l d i ng s A Div i d e n d K T44. H elm rlch & Pa yn e A Divid end K T

45. Hend e r s on Globa l Equ i ty A Divid end J T

46 . Plum C re ek T imbe r A Divid end J T So ld 03/10/09 .! b. pa r t i a l s a l e on NYSE(par t)47 . Chesape ak e Ene r gy A Divid end So ld 11/16t09 J A s a l e on NYSE48. BP PIe A Divid end J T B uy 05/12/09 J buy ADR~ on NYSE49 . FFCEI Bonds B Interest K T

50. F HLB Bond s B Interest K T

51. D o w Chem ic a l Not e s A Interest J T


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P a g e F I N A N C I A L 7 o f 1 0 D I S C L O S U R E R E P O R T Dalze l l , S t ewa r t 0 5 1 0 4 / 2 0 1 0

N O N E (No reportable income, assets, or wansact lons.)~ B ~ C. D.D ~ d p t i o n o f A ~ I n .m e d u ~ n g G r o s s v a l u e a t e n d T ~ n ~ t i o n s d u ~ n g(including t~t ~) ~ing ~ ] ofre~ing

O) .... (2 )~

O) (2 ) (l~ (2) (3) (4) (5 )P l~ e " ~ ) ~ a f l ~ ~ c h ~ t ~ A m e n T~ ( e . g ., va lu e vsl~ T~ ( ~ . Da ~ Val~ G a i n Id~ t i ~ o fc x ~ p t f rom p ~ o r d i ~ l o ~ C~ d i v . , r e n L C~ 2 Mc~ buy. ~l~ m~d~ C~ 2 C~ I b uycd ~ l ~( A - H ) o r i n t . ) . ( l - P ) C~ 3 ~ d e m p t l o n ) ( J - P ) ( A - H ) ( i f p dv t~

52 : 3M Co . A Dividend J T B uy 05/12/09 J buy on NYSE53 . Automa t i c Dam Proce s s i n g A Divided J T B uy 05/12/09 J buy on54. ~Pont A Dividend J T B uy 05/IU09 ] buy on NYSE55: Nat ion a l Fu l G~ A Divided J T B uy 05/1~ J buy on HYSE5 6 . Go l d m a n S a ch s G r o u p N o te s A I n t e r e s t K T B uy 05/22/09 K buy in o f fe r ing5 7 . iSh a rc s Ba rc l ay s Agg . Bo nd Fund A Dividend K T B u y 07131/09 K buy on m arke t58. K r a f t F o o d s A Dividend J T B uy 0 9 1 2 2 / 0 9 J buy on NYSE59 , Simon Prope r t i e s Group A Dividend J T B uy 09/22/09 J buy on NYSE6 0. Emer son E l ec . Co . A Dividend J T B uy 09/22/09 J buy on NYSE

6 1 , Cat e r p i l l a r F i n anc i a lNo t e s A Interest K T6 2 . 3M Co . A Dividend J T B uy 05/12/09 J buy o n NSE6 3 . Automatic Data Processing A Divid end 1 T B u y 05/12/09 J buyonNYSE64. DuPont A Dividend J T B u y 0 5 1 1 2 1 0 9 1 J buyon NYSE65. Nat iona l Fue lGas A Dividend J T B u y 05t12/09 J buy onNYSE66 . Goldman Sachs Group Notes A I n t e r e s t K T B u y 05/22/09 K buy in offe r ing67. iShares Barclays Agg. Bond Fund A I n t e r e s t K T B u y 07/31/09 K buy on m arket68. Kra f t Foods A Dividend J T B u y 09/22/09 J buy on NYSE


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F IN A N C IA L D I S C L O S U R E R E P O R T Name efP .... R e p o r t i n g D a l e o f R e p o r tP a g e 8 o f 1 0 Da lzel l , St ewa rt 0 5 1 0 4 1 2 0 1 0Vl I. I N V E S T M E N T S an d T R U S T S - i .~o. , , . ~, lu, , . . . . . ~ o ~ a ~ , h e , , o / , ~ o ~ . . ~ ~ , ~ , . , ~ s ~ , ~ . ~ ~ . J~-60 o ~ t t . s ~ , ,~ , ~ o ~

NONE ~o reputable income, assets, or transactions.)A. ! B. C, D.

D~ripti~ of A~ I n c o m e d u ~ n 8 Gro s s v a l u e a t ~ d T~tio~ during t~ing ~(i~ludlng ~t~) ~ng ~ri~ of ~ing pedod(l) (2) (l) [ (2) (l) (2) (3) (4)" (5 )

P~e "~)" after ~h u~t A m o u n t T~ (e.g., Value J Vat~ T~ (e.g., Date Val~ Gai~ M~lity of(A-H) o~ int.) O-P) C~3 ~mption) (J-P) (A-H) (if private

69 . Simon Pro~ni~ Group A Dividend J T Bu y 09122109 J buy on HYSE

70 . Eme r s o n E l e . Co , A Divid end J T B uy 09/22/09 J buy on NYSE

I. In c e m e G a in Co d ~ : A -$1 ,0~ 0 0k-s t B -$ 1,001 - $2 ,500 C -$ 2 ,501 - $ 5,000 D -$5 ,001 - $ 15,0/)0 F. -$ t5,001 - $50,000(S , ~ Coha nm BI ~md D4 ) F-$50,001 - $100,000 G -$ 10 0, 00 1 - $ 1, 00 0. 00 0 t ll - $1 ,0 00 ,0 OI - $ 5, 00 0, 00 0 112 -Mo~ t h an $5 , 000 ,0~O

2 . V a l u ~ C o d ~ , J -$ t $ ,000 o~ I~v, J K -$15.001 - $ 50.000 L -$50,001 - $100,000 M - $100 .001 . $250 ,000(S~ Coltwlml CI tad D3) N -$250.001 - $500.000 O - $500,001 - $ 1.000,000 P I = $ 1, 0 0 .0 01 - $5 ,0 00 ,0 Q 0 P 2 =$ 5 ,0 00 .0 01 - $ 25 .0 00 .0 00

P3 - $ 2 5 ,000 .001 . $50 ,000 ,0~ P 4 - M o ~ t h a n3 . V a l u e Me t h o d Cod e~ Q -Ap~~r t i s t l R - ,Cos / (R~ l Es~ t~ Only ) S =Assctsrr~ T -Ct sh MaA~I

(S~ Columo C2) U -B~ok Va l ue V ".O~hcr W


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FINANCIALD IS C L O S U R E R E P O R T NP a g e 9 o f 1 0 Dalz e l l , S t ewar t 0 5 / 0 4 / 2 0 1 0VllI. ADDITIONAL INFORMATION OR EXPLANATIONS.


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F IN A N C IA L D I S C L O S U R E R E P O R T P C m a e o f V e r $ o n R e p o r t i n g [ Da,eofReportP a g e 1 0 o f 1 0 t ~ a ~ z e l t , S te w a r t I

IX . C E R T IF IC A T I O N .! c e r t if y t ha t a l l I n f o rm a t i o n g i v e n abov e ( In c l u d i n g i n f o rm a t i o n p e r t a i n i n g t o m y s p ou s e a n d m i n o r o r d e p e n d e n t c h i ld r e n , i f a ny ) i sa c c u r a te , t r u e , a n d c om p l e t e t o t h e b e s t o f m y k n ow l e d g e a n d b e l ie f , a n d t h a t a ny i n f o rm a t i o n n o t r e p o r t e d w a s w i t hh e l d b e c a u s e i t m e t a p p l i cab l e s t a t ut o r yp r ov i s i o n s p e rm i t t in g n o n - d i s c lo s u r e .I f u rt h e r c e r ti f y th a t e a r n e d i n c om e f r om ou t s i d e em p l oy m en t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a ve b e e n r e p o r t e d a r e i ncom pl i anc e w i th t h e p rov i s i ons o f 5 U .S.C. app . 501 e t . s eq ., 5 U .S .C. 7353 , and Jud ic i a l Confe r en c e r egu l a t i on s .

Slgna t u :

NOTE: ANY INDIVIDUAL WH O KNOW INGLY AND WILFULLY FALSIFIES OR FAILS TO FILE TillS REPORT MAY BE SUB JECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. ap p. 104)

FILING INSTRUCTIONSM 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 :

Com m i t te e o n F i n a n c i a l Di s c l o s u r eAdm i n i s t r a ti v e Of f i c e o f t h e Un i t e d S t a t e s Cou r t sSu i t e 2 -301One Co l u m b u s C i r c le , N .E .Wa sh i n g t o n , D . C . 20544

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Stewart Dalzell Financial Disclosure Report for 2009