William J Martini Financial Disclosure Report for 2009

8/3/2019 William J Martini Financial Disclosure Report for 2009

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A O 1 0 FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d l~, t h e E t h i c . ~in Government Act of 1978

R e v . Z / 2 O J O FOR CAL E NDAR YE AR 2009 ~ 5 u . s . c . a p p . , ~ § ! 0 1 - 1 1 1 )

!. Person Reporting (las~ n ame. first, middle initial) 2. Court or O~ganization 3. Date of Report

Martini, William J.District Court - New Jersey 05/14/2010

4. Title (Article III iudge.~ indicate active or senior status; 5a. Report Type (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or part-time)

[] Nomination, Date 01/01/2009

U.S. District Judge - Active~’l Initial -t_,.d~ A n n u a l

[] Final to

12/31/2009

5b. [] Ame~ded Report

7. Chambers or Office Address 8. On the basis of the informatima c ~ntained in this Report and anymodifications pertaining Ihereto, it is, in my opinion, in com pliance

50 Walnut Streetwith applicable laws and regulations.

PO Box 419

Newark, NJ 07101-t~19Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accom panying this form trust be followed. Complete alt parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e p o ~ , i . ~ individual only; see pp. 9-13 of filing instructions.)

~-q NONE (No reportable positions.)

PO SIT IO N N_A_.. O~ GANIZATION/ENTITY

~. Trustee Nicholas Martini Foundation

2. Trustee John Cabot University

4.

I I. A G R E E M E N T S . (Reporting indi,,idual only; see pp. 14-16 of fitlng instructions.)-

~ N O N E (No reportable agreements.)

PARSES AND TERMS



FINANCIAL DISCLOSURE REPORT N~,e of Person Reporting

Page 2 of 9 M a r t in i , W i l l i a m J .

I lL N O N - I N V E S T M E N T I N C O M E . ~Re~r,i.g i.aiv~l a.a ~, ..... ~,~ee

A..Filer’s N on-Investment Income

N O N E (No reportable non-invesm~ent income.)

DATE SOURCE AND ~PE(you~, not spouse’s)

I. 2~19 NICHOLAS MAR~NI FUNDAT1ON, TRUS~E 5;22_000.00

2.

3.

4.

B. S p o u s e ’s N o n - I n v es tm e n t I n c o m e - tyyou were ~rried during any ~aion of the r¢~o~ing year, complae the" sec6on.

(Dollar amoulff not required excerpt [or honoraria.)

~ N O N E (No reportable non-investment income.)

DAT E SOURCE A~ ~PE

L

2.

3.

4.

I V . R E I M B U R S E M E N T S . ., , ~ , . ,r o ~ a ,~ o , . lodging,fo~M, entertainment.(htctudes those to .~pous~ and dependent childr ~n: see pp. 25-27 of filing instraction~.)

N O N E (N o reportable reimbut:~ements.)

SOLJRCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1.

2.

3.

4.

5.



P a g e F I N A N C I A L 3 o f 9 D I S C L O S U R E R E P O R T I Martini, William J .0 5 / 1 4 / 2 0 1 0

V . G I F ’ I ~ S . a n e t u d e s , h o s e t o s p o u s e a n d dependent c h i l d r e n ; s e e p p . 2 8 - 3 I of filing instructions,)

N O N E (No reportable gifts.)

5OURCE DESCRIPTION VALUE

1 .

2.

3.

4.

5.

V I . L I A B I L I T I E S . a . c J u ~ t h o . , e o y ~ . .. . .. . . d dependent children; see p p . 3 2 - 3 3 of J-tling instructions.)

[] N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

2.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT Name of P .... R e p o r t i n g D a t e n f R e p o r t

Page 4 of 9 Martini, William J. 0 . 5 / 1 4 . / 2 0 1 0

VII. INVESTM ENT S and TRU STS .. i

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

A . B. C. D .D e s c r l . p l ~ o n o f A s s e t s I n c o m e d u ri n g G ro s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p t ~ r ti n g p e r i o d

( i n c l u d i n g t r u s l a s s e t s ) r e p o r t i n g p e r i o d I o f r e p o r t i n g p e r i o d

I P E a c e " i X ) " a f t e r e a c h a s s e ! A m o u n t i T y p e t c ,g . , Value Value T y p e ( e . g . , Date ! Value G a i n I d e n t i t y o f~ e x e m p t f r o m p r i o r d i sc l o s u r e C o d e 1 ; d i v . , r e n t , C od e 2 ; M e t h o d b u y , s e l l, m m / d d ! y y i C o d e 2 C o d e 1 b u y e r / s e l l e r

]( A - H ) : o r i n t 3 ( J _ p ) i C o d e 3 r e d e m p t i o n ) i (.l-P) ( A - H ) / i f p r i v a t e

~ ................................................... i¯ ~ o - w ) . . . . .. . . . .. . . . .. . . . .. . . . .. . . . . . j . . . . . . ! .......... t ~ a ~ s L ~ ! i o ~ ....

I . B R O K E R A G E ACCOUWF#2

2. F ED ERA TED K~UF MA N N F UN D -K A Dividend K T

3. BROKERAGE ACC()tINT#6(34321

4. ISHARES TR RUSSELL 2(I(XI GROW TH A Dividend Sold 12/02/09 K C(648)

5, ISHARES TR RUSSELl., 201111 VALUE A Dividend Sold 12/02/09 K C(630)

6. ISHARES TR RUSSELL 100(.I VALU.’E A Dividend Sold 12/02/09 I L

7. 1SI-IARES TR RUSSELL 1000 GROW TH A Dividend Sold 12/02/09 K

8. ISHARES TR MSCI EAFE FD B Dividend 1_, "1" Buy 12/02/09 K(add’ l )

9. " POWERSHS EXCH T I~’XD FD TR (PRFZ) A Dividend K T Buy 12/02/09 K(567) (add’l)

1 0 . PO’WERSHS EX~q-I TRADE FD TR (PRF) A Dividend L TBuy 1 2 / ~ E / 0 9 I K(583) (add’l)

1 1 . PIMCO ALL ASSET (1821 B Dividend K T Bu y 1 Z / 1 1 3 / 0 9 K

1 2 . Charles Schwab - CASH and Money Markel A Int.!Div. J T

1 3 . VALLEY NATIONAL BANK A Interest J T "Buy 04/07/09 J(add’l)

1 4 . Buy 06/16/09 J(add’l)

1 5 . Bu y 0 9 / 1 1 1 / 0 9 J(add’ l )

[1 6 , Bay 10/22/09

(add’ l )

1 7 .Bu y 12/15/09 J

(add’l)



FINANCIAL DISCLOSURE REPORT N .... 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 t

Page 5 of 9 Martini, William J. 05/14/20 I0

VII. INVESTMENTS an d TRUSTS --i ......... t . ~ , transactions (Includes lhose of sp .... a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 . 6 0 o f f i li n g i n , ~ r u c t i o n ~ O

~--~ (No reportable income assets, or transactions.)ONE

A. B. C. I ......................................................................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 i G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r in g r e p o r t in g p e r i o d

i ( i n c l u d i n g t r u s t a s s e t s ) i reporting period i o f r e p o r t i n g p e r i o d

Place "IX)" an ..... h a s s e l [ A m o u n t T y p e ( e , g . . Value Value T y p e ( e . g . . Date Value [ Oaha I I d e n t i t y o fi e x e m p t f r o m p r i o r d i s cl o s u r e i C o d e 1 d i , . . . , r e a l , C o d e 2 M e th o d buy, sell, I m n ~ . i d d / y y C u d e 2 Code 1 . buyer/seller

(A-I-t) or inl.) (J’P) i C od e 3 r e d e m pt io n ) ( l - P ) (A-H) I ( i f p r i v a t e’ [ ( Q - W ) ! t r a n s a c t o n )

1 8 . VARIABLE [,l ie #1 None K T

!9. EQUITABLE - SEP None K T

!20 IRA#3(3836)

! 2 1 . Charles Schwab - ADV CASII RE SRV A l n t . , , ’ D i v . K TPR EM

,_.: ")’~DUKE ENERGY 6.3% 2/1!14 A Interest K T Bu y 0 2 . / 0 2 / 0 9 K

2 3 , GOLDMAN SACHS 4.75%. 7115/13 A lnteresl K T Bu y 02/06/09 J

2 4 . BANK O F AMER 7.4% 1/15/11 A lnlerest K T Bu y 05/07/09 K

: 2 5 US TREA SURY N OTE 5.125% 5/15/16 A Interest K T

26. FED HM LN MTG 5.375%1/9/14 A Interest Redeemed 0’1/09/09 K

iiAT & T BROADBAND 8.375% 3/15/13 C lnt.!Div. K T

, ~ . CISCO SYSTEMS 5.25% 02./22/’11 A Interest J T

2 9 . APACHE CORP 5.625% 1/15/17 B Interest K T

! 30. INTL LEASE FINAN CE 5% 4/15/1(.I B lnl./Div. Sold ]0/22/t19 K(part)

3 1 . Sold 12/29/09 K

3 2 . US TRE AS N~r 4.25% 8/15/14 None K T Bu y 1 0 , ; 2 3 ! 0 9 K

3 3 . MORGAN STANLEY 4.75% 04/01/14 A [nt./Div. K T

3 4 . SBC COMMItNICATIONS 4.125% 9/15/0!:A l n t . . i ’ D i v . Redeerned 09/15/09 : J A



" ] Name of Person Repor|iltgI

Date of ReportFINANCIAL DISCLOSURE R EPOR T

Page 6 of 9

V I I . I N V E S T M E N T S a n d T R U S T S - . i . . .o . , ~ . , , .t .~ , ~ r . .~ . . ~ , ~ , . . ~ a , ,~ . t . ~ O , o ~ o ~ s ~ o ~ ~ d ~ . ~ . ~ ~ , it ~ . ~ . ; ~ ~ . ~ 4 . ~ 0 o / ~ . , ,g i ~ , ~ . io , , ~ . ~

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

A . ~ . C .Des~ipfion of A~ets I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g ~ e p o ~ i n g p e r i o d

( i n c l u d i n g I ~ u s t ~ s e t s ) . reposing peri~ of repofling peri~ ................

P l a c e " ( X ) " a f t e r e a c h a s s e t Amounl T y p e ( e . g ., V a t u e Value [ T y p e ( e . g . Date ] Value Gain I d e n t i ~ v o f

.... pt t$om prior discl ...... : ~ C ~ e I di ....... t, Code, M e t h o d ~ buy, ~ll, [~#dd!yy ~. C~e 2 Code I :: b u y g r / s e l l e r~ ( A - H ) o r i n t , ) ( J - P ) C~e 3 r e d e m p t i o n )

I:

...................................................... L ....................................( O - W ) [

~ ~I ..... t i o n )

3 5 . J P M OR G~ C H A S E 3 . 7% 1/20/~5 N o n e J T B uy 09/15/09

3 6 . B uy 09 / 16 N 9 J

37. AMERICAN EXP CR ? .3% 8 /20 /13 N o n e K T B uy 09/24/09 K

3 8 . BB AN D T 3 .85% ?/27/12 N o n e J T B uy 0 9 /24 /~ J

3 9 . T IME WA R~R 5 .8?5 % D UE 1 1 / 1 5 / 1 6 A lmeres t K T

4 0 . TIME WARN ER 6.2% DUE 7/1!13 A Interest J T

41. WACH OVtA CORP 5.75% 6/15/17 B Int./Div. K T

42. FHI..MC G0-8200 6% 5/1/37 B lnt.[Div. K T

43. FHLM C G1-2228 5.5% 7 /1/21 B Int./Div. K T

4 4 . FNMA PL#254048 6.5% 11/01/16 A Interest J T

4 5 . FNMA PL938721 5 5% D UE 15/01/22 B Interest K T

46. IRA#6 (4367)

47. CH A RLES SCH WA B-SCH A D V CA SH A Interest J T Bu y ! 1 2 / 0 2 / 0 9 LRESRV PREM (add’l)

4 8 . Distributed 1 2 / I ) 3 / 0 9 M(part)

49. LOOMIS SAYLES BOND C L 1 D Dividend M T Sold 1 2 / 0 2 & K(pan) ,

50. PIMC O R EAL R ETUR N FUND B Dividend Sold 12/02/09 L AINSTITUTIONAL CLASS

51. TEMPLETON G LOBAL BOND FUND C Dividend L T Sold ~ 2/02/09 KAADV CL:TG BA,X part)



FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t in g ] D a t e o l ’ R e p o f l

Page 7 of 9 M a r t in i , W i ll ia m J "

I

0 5 1 1 4 1 2 1 1 1 ( 1

VII. INVESTMENTS and TRUSTS -- i .... ,, vtdue, I ra .... tions (Includes th ose of sp ......d d , 9 e n d e n t c h i l d r e n : s e e p p . 3 4 - 6 0 o y f i l i n g i n s t r u c t i o n s . )

N O N E (No reportable income, asse~s, 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 G ro s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r ti n g p ~ r i o d ’( 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 in g p e r i o d o f r e p o r t i n g p e r i o d

~ i i . . . . . . . . . . . . ~ - . . . . . . . . . . . 0 3 . . . . . . . . . . . i ~ . . . . . . . . . . . . . . . . . . . . . . ~ S ) . . . . . . . . . . . . . . . .P l a c e " ( X ) " a f t e r e a c h a , s s e t i A ~ n o u , t I T y p e ( e .g . , I Value Value " ty p e ( e . g . , D a t e Value Gain l d e r ~ t i ty o f

e x e m £ 1 f r o m p r i o r d is c l o s u r e : C o d e 1 d v, reot, ! C o d e 2 M e t h o d i b u y , a e 1 , m m / d d /y y C o d e 2 ~ C o d e I buyer/seller( A - l - l ) o r i r a . )

i!(j.p) Code3 il r e d e m p | i u n ) (J -P) (A-H) ( i [ p r i v a t e

[ ( O - W ) i |ran.~ction)

52. IRA#7 (2679)

5 3 . SCI-I~NAB MONEY MARKET FU ND A Interest J T B uy 12/03/09 M(add’It

5 4 , Sold 12/03/09 M( p a r t )

55. PIMC O C OMMODI’IW R EAL R ETUR N B Int.!Div. K TSTR ATEGY F’UND

56. A Distribution

57. DIAMOND HILL LONG SHOR T FUND None K T

58. KEELY SMALL C./~P VALUE FU ND CL 1 None Sold 12/02/09 K

5 9 . THIR D AVE R EAL ESTATE VALUE A Int./Die. K T Sold 12/02/09 JF U N D (part)

6 ( 1 . JP MOR G AN STR AT INC M A Dividend L T Bu y 12/02!09 L

6 1 . A D i s t r i b u t i o n

6 2 . RY D EX SGI MGD FUTUR ES None K T Bu y 12/tl2/09 K

6 3 . TFS MARKET NEUTRAL I~JND A Distribution K T Buy 12/02/09 K

6 4 . CHARLES SCHWAB- CASH(2951 ) A Interest J T Distributed 04/07/09 J(part)

6 5 . Distributed 06 /16 /09 J(part)

6 6 . Distributed 09/01/09 J(part)

6 7 . Distributed 10/22/09 J(part)

6 8 . Distributed I Zq 5/09 J

(part)



FINANCIAL DISC L OSU R E R E P OR T N .... f P ....Reporting [ Date Or Report

Page 8 of 9 Martini, William J"

I

05/14/2010

VIII. ADDITIONAL INFORMATION OR EX PLANATIONS. a,,aic~,~



FINANCLA_L DISCLOSURE REPORT ~ m ~ o f ~ ’ e ~ o ~ ~ o . i n ~ D a , ~ o r U e p o .

Page 9 of 9 Marlini, William J. 0 5 / 1 4 / 2 0 1 1 )

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my sp ouse’and minor or d ependent children, if any) isaccurate, t~ue, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable staltltoFyprovisions permitting non-disclosure.

I further certify 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 et. seq., 5 U .S.C. § 7353, and Judicial Conference regulations.

N O TE: A N Y IN D IV ID UA L W H O KN O W IN GLY A N D ~IVIL

AND C RIMINA L SANCT IONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed o riginal and 3 additional copies to:

Committee on Financial DisclosureAd ministrative Office of the U nited States CourtsSuite 2-301One C olurnbus Circle, N.E.W ashington, D.C . 20544

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William J Martini Financial Disclosure Report for 2009