Edward L Filippine Financial Disclosure Report for 2009

8/3/2019 Edward L Filippine Financial Disclosure Report for 2009

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V , ao t0 FINANCIAL DISCLOS URE REPORT R , .p , , ~ R e q , , i~ c , t ~ y a , ~ r a , i ~ : , .i n G m c rn m e n l d o t q f 1 9 7 8. Re,~ 1 / 2 ~ 8 FOR CALENDAR YEAR 2009 s u.s.c: ~m. ,~ m~-~t ~I . P e r s o n R e p o r t i n g ( l a s ~ n a m e , f i rs t , m i d d l e i n i t i a l ) 2 , C o u r ~ o r O r g a n iz a d o n 3 . b * ~ e o f R e p o r tFI LI PPI N E, ED WA R D L. US~, EDMO 05 / 05 / 2010

4. Ti t le (Ar t ic le l [I j~g~ indicale ~ t ivc or ~ nior s~us: 5a. Repo~ T)-~ (ch~k approp~te ty~ )ma~stm tc judg~ indica te ~11- ~ pad- t ime) ~ Nomination. Da~e 01/01/2~9U . S. D is r i c t J u d g e-Sen io r S ta t~ ~ Initial ~ Annual ~ Final5~. ~ Am~dcd

7. C h am~ or O W ~e A d d r~ 8. O n t h e b t * h a t t h e i n fo r m a t i o n c o a l ~ I n lhh Re~ ~d an ym ~ i f l ca f o n s ~ a i n l n g ~ e r e t o , it 1 ~ i n m ) o p l n l o ~ t n c o m p l i a n c eT.F . F ~ g l c ton Un i t e d S ~ t~ s C ou n ho~ with a~licable laws and r~ulat io~I I I S ou ~ I~ h S t ~ t , R ~ m 10.137S t . L o u i s , M i ~ o ~ 6 3 1 0 2 R e ~ i c ~ in g O ~ c c r D a ~ e

I M P O R TA N T N O T E S: T R e i a s t r u c ~ o n s a c c o m ~ n y i gg t h i s f o r m m u s t b e f o l l o w e g C o m p l e te a l lchecking the NONE b~ for each pa~ where jo~ have no re~able in format ion. Sign on last page.

1 . P O S I T I O N S . R ~ v o , i, ~ i ~ i ,. ~ a ~ o ~ o ~ t .r : .~ , ~ ~ - ~ o / ~ t i , ~ ~ , . ~ , , ~ , . ~ o ~ . . ~~ (No reporlablepositions.)O N EP O S I T I O N N A M E O F ORGANIZATION/ENTITY

4.

1-~ N O N E (No reportable agreemenm.)DATE PARTIES AND TERMS

I.


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Na 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 tF I NA N C I A L D IS C L O S U R E R E P O R T I ILIBPISE, EDWARDL. 0 5 / 0 5 / 2 0 1 0ag e 2 o f 1 0I I I . N O N - I N V E S T M E N T I N C O M E . ~R , ~ ,n , ~ i, di,,i~t ~na~u.~.,,,~. ~ z - ~~ Filers Non-lnv~tment Income

N O N E (No reportable non-imestment income.)S O U R C E A N D T Y P E

(you~, not spouses)

I.

2.

3.

4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - t7~ .~ ma~ed dudng any ~on of the re~ng )~ar,t~dlar ~ount no t r t q t~hed ~at t~t . /~w

N O N E ( N o reportable non-investment income.)~ O U R C E A N D T Y PE

2.3.4.

I V . R E I M B U R S E M E N T S - ,, ~ . ., : o ,t ~ # o , ~ t o ~ g~ , ~ o o ,~ , ~o.~.~.~,~{ Inclua~,s tho.~e to .~l~t~ ond depende~t ~hildren: see pp. 25-27 t! l" f! lin~g in.~truttions. ~[~] N O N E ( N o reportoble reimbursements.)

S O U R C E D A T E S L O C A T I O N P U R P O SE IT E M S P A ID O R P R O VI D E DI.2.

3.4.5.


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F I N A N C IA L D IS C L O S U R E R E P O R T ~ . . . . f ~ " . . .. . R ~ p o , ~ n ~ ~ , . , ~ o r R ~ p ~ r , P ag e 3 of l0 F I L I P P IN E , E D W A R D L , 0 5 / 0 5 , 2 0 1 0

V . G I F T S . (lncludes those to y4~ou.w and dependent childrcn~ see pp. 28-31 of filing ln.ttrucfion.~)N O N E (No reportable giJ?s.)

, S O U R C E D E S C R I P T I O N V A L U EI.2.3.4.5.

N O N E ( N o reportable liabilities.)

I.2.3.4.5.


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F IN A N C I A L D IS C L O S U R E R E P O R T r ~ m e r P r ~ * a * p o n n ~P a g e 4 o f 1 0 r lL I e e lr ~ E . E D W A R D L . 0 5 / 0 5 / 2 0 1 0

V I f. IN V E ST ME N T S a n d T RU ST S - i , co , , , . , a u ~ . , . .. .. . . , o , _ , [lnd~d~ ,ho.,e of~ ......d de~n~n, childr,n; .,11 p ~ ~ 4 - 6 f l of filing ln.,tructlonx.3N O N E (No reportable income, assets, or ~ansactions.)

A, B. C. D.~scr i~ ion of ~sc~s In c o ~ du rin g G r~ va l~ e a ~ c~ of T ~ n ~ t n i o m d o r ~ g ~ n i n g

e x ~ p t f ~ m p r i o r d i ~ l ~ u ~ div.. ~nt. C ~ e 2 Mcth~ b u y . ~ 1 1 . , Mon~ - C~ 2 C~c I b u y c r . s c l l c r( A - H ~ o r i r a . ) O - ~ ) C~ 3 ~ d e m p t i ~ ) ~ D a y(~W} ~ [ ~ tma~ct ion)I. B a n k o f A ~ r i c a . a c c o u n t A Interest J T2. B a n k o f A m e r i c a , I R A g l ( C D s ) A Interest J T3. B an k o f A me r i c a , I R A # 2 (CD s ) A Interest J T

4. Sou t hxv e s t B a nk , a c c oun t A Interest J T5 . B R O K E R A G E A C C O U N T # 1 ( I R A # 1 ) : A D i v i d e n d K T6. - A E E . c o m m o n s t o ck7. --Dreyfuss General Money Market

8. B R O K E R A G E A C C O U N T # 2 ( I R A # 2 ) : A D i v i d e n d J T9. - -D r e y f u g s G e n e r a l Mo o c y Mar k e t

1 0 . B R O K E R A G E A C C O U N T # 3:1 I. - S e l ig m a n G r o w t h F u n d C I A . m u t u a l f u n d N o n e J T1 2 . - -D r e y f u ss G e n e r a l G o v t Mo n e y Mar k e t A D i v i d e n d J T1 3 . - - A E E . c om m on s t oc k A D i v i d e n d J T1 4 . - -Mi ss o u r i S T H &E FC S A u th I I LT I t FA CS A Interest J TR V S T A N T t t O N Y , b o n d s1 5 . - - Mi s s o u ri S T E N V I R O N I M P T & E N R G Y A Interest J TRe s A u t h W a r P I I |n , b ond1 6 . B R O K E R A G E A C C O U N T

1 7 . -- T . c o m m o n s t o c k A D i v i d e n d So ld 03/17 J

I . I n co m e G a in Co d es : A -$1.000 or less B -$ 1.00 1 - $ .L50 0 C -$ 2 .5 0 1 - $5 .0 0 0 D = $ 5 , 0 0 1 - $ 1 5 . 0 0 0 E =$I L 0 0 1 . $5 0 . 0 0 0

P 3 ~ ~ . ~ 2 ~ , 1 X 3 0 , 0 0 1 - $ 5 0 , 0 0 0 . 0 ~ 0 P 4 = M o r e t h an $ 5 0 , 0 0 0 , 0 0 03, V a l u e : M e t h o d C o d ~ Q = A l ~ C l t i s a l g " C os t Ige a l E s t a t e O ~ l y ) S =~ment T -~ s.-& M a r k ~(See C o l u m n C 2 ) U = B o o k V ~ l o e V ~ , O t h c r W ~ E s t i n m t e d


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F I NA N C I A L D IS C L O S U R E R E P O R T r~ ....~ p e ~ o . R 0 p o , a ,~ Page 5 of 10 F I L I PP I N E , E D W A R D L . 05/05/2010

V II . IN V E S T M E N T S a n d T R U S T S - i .... ~ . , ~ l u e , ~ansac~ons (Includ e,, th~,t of .,~ .. . . . . d d~tndtnl chiMrtn; ,ep~ 34-~ of filing in.~rucdo~g)N O N E ( N o reportable income, assets, or transactions.)

K B. C. D.~pdon of A~cts [ ~ o m e d u ~ n g G~ss va lue a t end of T m n ~ c t io n s d u r i n g ~ i n g0nduding I~st a~mls) r c ~ a i n g ~ f i~ ~ing ~

{1) (2) (I ) (2 ) (1 } (2) (3) (4) { 5 )P l a ~ " ( X ) " a f l ~ e a c h a s ~ c ~ A m o u n ~ T)~ ( .g . . Va l~ Va l~ T)~ (e .g . . ~e Value Gain [ d c m i ~ y o fe x e mp t f ~m p r i o r d i ~ lo ~ C~ 1 div.. ~nt. C ~ e 2 Meth~ b u y . s e l l , Moa~ - C~ 2 ; C~( A - H I o r i n t , ) ( J - P } C ~ c 3 r ~ m ~ i o n ) D a y ( J - P ) ( A - H )

1 8 . - -BMY, ~mmon s tock A Dividend Bu y 09/18(addl)1 9 . ~ld 1 2 / 1 5 J

2 0 . - - G E . c om m on s t oc k A D i v i d e n d Bu y 03/17 J( a d d l )2 1 . So ld 06/03 J2 2 . - -H B C, c o mmo n s to c k A D i v i d e n d Bu y 03;17 J( a d d l )2 3 . S ol d 09 / 18 J2 4 . - - V Z , c om m on s t oc k A D i v i d e n d J T So ld 03/17 J(part)25 . Bu y 09 / 18 J( a d d l )2 6 . - - A P D . com m on s t oc k A D i v i d e n d J T S ol d 03/17 J A(part)2 7 . - - A L L . c om m on s t oc k A D i v i d e n d J T Bu y 03/17 J( a d d l )2 8 . S ol d 09 / 18 J( p a r t )2 9 . - -- (, A T , c om m o n s to c k A D i v i d e n d S ol d 03/17 J30 . - - C N P , c om m on s t oc k ( Se e P t . V II I ) A D i v i d e n d S ol d 0 3 / 13 1 . - - C P B , c om m on s t oc k ( Se e P t . VI I I) A D i v i d e n d J T Bu y 09 / 18 J( a d d l )3 2 . - -CVX , c o mmo n s to c k A Di~.idcnd S ol d 03/17 J3 3 . - - D D . co m m o n s t ~ k A D i v i d e n d J T Bu y 0 3 i l 7 J( ad d l )3 4 . S ol d 09 / 18 J(par t )


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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 !NameofP ....R e p o r l l n g [ D a e e o f R e p o r t I" Page 6 of 10 F I L I P P 1 N E , E D \ V A R D L.I 05/{)512010I

V I I . I N V E S T M E N T S a n d T R U S T S - in ....... I ~ , t ...... "tions (lncludt~ tho,e ,~.,Fo ...... d deptndent childrtn; see ~. ~4-60 ,iling inxtructi~n~)N O N E (No reportable income, asset, v, or transactions.)

A. B. C. D.~plion of A~cts I n c o m e d u r ~ g Gro~ value at ~ of Tr~ctiom during ~ning ~ri~(i~luding tmgt a~ts) rc~ing ~fi~ re~ing( 1 ~ t 2 ) ~ 1 ~ 1 2 ) { 1 ~ t2 ) 1 3 1P l a c e " ( X ) " a f te r e a c h a ~ c l A m o u n t Ty~ ( .g . V a l u e V a l ~ T y ~ (e.g.. ~lc Value Gain I ~ n t i t y o fe x e m ~ f r o m p r i o r d ~ u ~ C ~ I d i v . , r c n L C ~ c 2 M c t ~ b u y . g c l l. M o n l h - C~ 2( A - H ) o r i n L ) ( J - P ) C~3 ~ d c m p f i o n ) ~ a y ( J - P ) ~ A - H ) ( i f p ~ v a t ( Q - W ) I~gaction~3 5 . - D T E . c o m m o n s t o c k A Divide nd B u y 03/17(add l )36. Sold 06/03 J37. - E M g . c o m m o n s t ~ k A Divide nd J T ~ld ~/18 J A( pan)3 8 , -IGT.~mmonst~k A Divide nd Sold 06 /03 J C3 9 . - K M B , c o m m o n s t ~ k A Divide nd J T B u y 09 /18(add l )40 . -MCHP. com m on s tock A D i v i d e d Sold 09 /18 J41 . - MO . c o m m o n s t ~ k A Divide nd Sold 03/17 J( pan)42. Sold 0617 J43 . - P F E , co m m o n s t ~ k A Divide nd J T B u y ~/18 J( add l )~. - T E G . c o m m o n s t~ k A Divide nd Sold 09 /18 J45 . - T O T . c m n m o a s t~ k A Divide nd J T B u y 09/18 J(add l )~. - U S T , c o m m o n s t~ k N o n e Sold 0l/~ J A47 . - - W D R , c o m m o n s l ~ k A Divide nd So ld 0 3/17 . J48 . - W M . c o m m o n s l ~ k ( S ~ P t . VI I I) A Divide nd J T49 . - W R l . c o m m o n s t~ k A Divide nd J T B u y 03/17 J( add l )5 0 . Sold ~/18 J A(~)5 1 . - I N T C , c o m m o a s t ~ k A Divide nd J T B u y 09/18 J


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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 ,~e of P .... R e p o r t i n g I D a l e o f R e p o r t IP a g e 7 o f 1 0 F I L I P P IN E , E D W A R D L .I

05 / 05 / 2010 IV I I . I N V E S T M E N T S a n d T R U S T S - i. co , ~e , , , a l ~ e , ~ , . . . . . . ,no..,-a.c1.~e.~ , ~ , , . ,~ , . , ~ . . . .. . ~ a ~ . . ~ , . , ~ i ~ . . ~ . , ~ ~ .

N O N E (No reportable income, assets, or oansactions.)A. B. C. D .~ h p t i o n o f A g ~ e ~ I n c o m e d u r i n g G r o s ~ v a l u e a t e n d o f T~n~clio~ during ~ing ~ri~l i ~ lu d in g t~s t ag a r s ) ~ing ~6~ r c ~ O i ng

(I) (2) 1 1 ) (2 ) (I ) 1 2 ) { 3) ( 41 (5 )P l a c e " ( X ) " a f t e r e a c h a s ~ l A m o u n t Ty~ (e.g . . Value Valu e T y ~ (e.g .. D a t e Value Gain I d e n t i t y o fexempt f~m pr ior d i scl~u~ C ~ c I d i v . . r e n t . C t ~ c 2 Mc lh ~ b u y . s e l l . M o n t h - C ~ e 2 C ~ e 1 b u y c r / s e l k ~{ A - H I o r i n t . ) ( J - P ) C~ 3 ~ d e m p t i o n ) ~y ( J - P ) ( A - H } ( i f p r i v a t e( Q - W ) t m ~ c t i on )5 2 . - - A B T , c o m m o n s t ~ k N one J T Bu y 1 2 / 1 55 3 . - - C T L . c o m m o n s t ~ k A D i v i d e n d J T Bu y 09 / 18 J~. --DBD, co~on st~k A D i v i d e n d J T Bu y ~/17 J5 5 . - - ~ 1 ~ c o m m o n s t o c k A D i v i d e n d J T Bu y 03/17 J5 6 . Bu y 09/18 J( ad d l )5 7 . - - E X C , c o m m o n s t ~ k A D i v i d e n d J T Bu y 03/17 J5 8 . Bu y 09/18 J( ad d l )

5 9 . - - H D , c o m m o n s t ~ k A D i v i d e n d J T Bu y 0 ~ 0 3~. - - JN J , c o m m o n s t ~ k A D i v i d e n d J T Bu y 0 3 / I 7 J6 1 . Bu y 09/18 J( ad d l )6 2 . - - MT B , c o m m o n s t ~ k A D i v i d e n d J T Bu y ~/18 J6 3 . - - MC D , c o m m o n s t ~ k A D i v i d e n d J T Bu y 0 ~ 0 3 J~" Bu y 09 / 18 J( ad d l )6 5 . - - N S C , c o m m o n s t ~ k A D i v i d e n d J T Bu y 03/17 J~. - P G , c o m m o n s t ~ k A D i v i d e n d J T Bu y 03/17 J6 7 . Bu y 09/ 18 J( ad d l )6 8 . - - S U G . c o m m o n s t ~ k A D i v i d e n d J T Bu y 09/18 J

I . I n co m e G a i n Codes: A - $ 1 , 0 0 0 o r l e s s r4 ~ . 1 ,0 0 1 - $2 . 5 0 ~ C - $ 2 , 5 0 1 . $ 5 . 0 0 0 D - $ 5 . 0 0 1 - $ 1 5 . 0 0 0 E - $1 5 . 0 0 1 . $5 0 ,0 OO( S e e C o l u m n s B I a n d I M ) F - $ 5 0 . 0 0 1 . $ 1 0 0 . 0 ~ 0 G = $ 1 0 0 . 0 0 1 . S I , 0 0 0 , 0 0 0 H 1 ~ $ I . 0 0 .0 0 1 . $ 5 . 0 0 0 . 0 0 0 H 2 = M o e ~ t h a ~ $ 5 , 0 0 0 , 0 0 02 . V a l u e Co d ~ J =$15.1~O0 or les4, g ~ $ 1 5 . 0 0 1 . $ 5 0 . 0 0 0 L ~ $ 5 0 , 0 0 1 . $ 1 1 3 0 . 0 0 0 M = $1 0 0 . 0 0 1 - $2 5 0 . 1 ) 0 0( S C o l u r t m s C I a n d D 3 ) N = $2 5 0 ,0 0 1 - $ 5 00 .0 0 0 O ~$ 50 0 .0 01 - $ 1.0 0 0.0 0 0 P I - $ 1 , 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0 P 2 = $ 5 . 0 0 0 . 0 0 1 - $ 2 5 . 0 0 0 , 0 0 0PJ - $2 5 . 0 0 0 . 0 0 1 . $ . 5 0 . 0 0 0 . { g lO P4 - M o r e th a n $ 5 0 ,0 0 0 . 0 0 03 . V a lu e M et | r o d C ( z J es Q - A p p r a i s a l R =4 ~ os l ( Re a l E s t a t e O nJ y ) S -A~ssmeut T * =C a s h M a r k e t( S e e C o lu m a C 2 ~ U - B o o k V a l o e V ~O t he r W ~ E s t i n t a ~ n d


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P a g e 8 Of 10 FILIIelNE, E D W A R D L . 05/05/2010V I I. IN V E S T M E N T S a n d T R U S T S - i . . .. ~ , .u~ o, ~ o. ,a,-~ . . .~ a, ct~d~ ~ , , . , . ~ , . , ~ . . . . . . .

N O N E (No reportable income, assets, or transactions.)A. B. C. D.~plion of A~-~ I ~ o m e d u r i n g G r o x s v a l u e a ~ e n d o f T~n~ctio~ d~ring m~ing ~i~(i~luding ~1 ~scLs) ~ing ~fi~ ~nmg ~ri~

(1) ] (2) (I) ~2) (I) 12) {3) (41 (5)Pla~ "(X)" afl~ c~h ~1 A~unl ~ Ty~ (c.g,. V a l u e Val~ Ty~ {e.g., Date V a l u e G a i n I d c m i l ye~cmpl from prior di~tos~ C~ I ~ d l v . . ~ n t . C~ 2 Mc~ buy. ~11 , Monlh - C~ 2 C~c I buye r ;s e l l e r( A - H ) ~ or i r a . ) O - P ) C~3 ~mpt~n ) Da y U -P ) ( A - t t ) ( i f p r ivate(Q-W)6 q. --MMM. common st~k A D i v i d e n d J T B u y ~/0370 . --AVP. t~on sZ~k A D i v i d e n d B u y 0 1 , 1 6 J71 . S o l d ~/18 J C72 . -Dr~fuss Genii Money Manet A D i v i d e n d J T73 . Ph~nix Life Ins. Co.. whole life A I n l ~ D i v , J T7 4 . Great West Lie & Ann. Ins. Co.. whole life A IntJDiv, J T


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FINANCIAL DISCLOSUR E REPORT [ tlLlee~,,~a, ~nWAa~ L." P a g e 9 o f 1 0 0 5 / 0 5 ~ 2 0 t 0V III . A D D I T I O N A L I N F O R M A T I O N O R E X PL A N A T IO N S .

Par t V I1 , l ine 30 : On m y 2008 FD R, the re was a "buy" e nt ry on 03/18 /08 for C NP tha t was du p l ic a te d on l ine s 44 and 83. The re was a l so a ~ le on I ~ l &{)8 se tout on l ine 84 wh ic h was ac tua l ly a "par ( sa le " and did no t d i spose ofa l l the share s of C NP. The re maining share s we re sold on 03/17/09 as se t o~t on l ine 30 ofthis report .Par t V I1 . l ine 3 I : On my 2008 FDR . the re was a "buy" e nt ry on 03/18 /08 for C PB tha t was dup l ic a te d on l ine s 45 and 78 . Also . sa le s we re l is te d on l ine s 79 and80 but only one ( l ine 79 ) use d the c on -e e l de s igna t ion o f par t sa le ." In fac t , the y we re both par t sa le s and did no t d i spose of a l l the share s of s toc k . C un. -~que nt ly .our own e rsh ip of share s of C PB c ont inue d in to 2 009 and was inc re ase d in tha t ye ar by an add i t iona l buy as l i s te d on l ine 31 .Par t V II , l i ne 48 : The c ur re ut s toc k symbol for W aste Manage me nt Inc . i s "WM": c hange d f rom "WMI a s u . ~ d in m y 2 0 0 8 F D R .


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F I NA N C I A L D IS C L O S U R E R E P O R T[ F i ~ I ep l~ , E D W A R D L

D , * e o .t ~ o aPage 10 ell0 05/05,2010I X. C E R T I F I C A T I O N .

I c e r t i fy t h a t a l l i n f o r m a ~ l o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s e a n d m i n o r o r d e p e n d P h i c h i l d r e n , i f a naccu.rn.te" true, and complete to the best of my knowledge and belief, and that any informalio- -~" ..... a ...-_ ........... Y) ~ ....pro~lstorts permitting non-disclosure. . , . , o ~ . ~p~,~ tcu n as w~mae~i because 1! met appllcame s t a t u l o ~ .

1 f u r t h e r c e r t if y t h a t e a r n e d i n c o m e ~ 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 i a 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 t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o r s U . S . C . a p p . 5 0 1 e t . s t q , S U , S ,C , 7 3 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 .

N O T E : A N Y I N D I VI D U A L W H O K N O W I N G L Y A N D 3 A I L F U L L V F A L SI F IE S O R F A I L S T O F I L E T H I S R E P O R T . MA Y B E S U B JE C T T O C I VI LA N D C R I M I N A L S . ~ N C T I O N S ( 5 U . S. C . a p p . 1 0 4 )

F IL I N G I N ST R U C T I O N SM 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 io n a l c o p i e s t o :

C o m m i tt e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t r a ti v e O f fi c e o f t h e U n i l e d S ta t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

Edward L Filippine Financial Disclosure Report for 2009

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Transcript of Edward L Filippine Financial Disclosure Report for 2009