Gustave Diamond Financial Disclosure Report for 2009

8/3/2019 Gustave Diamond Financial Disclosure Report for 2009

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A o ~0 I F IN AN CIAL D IS CLO S U RE REP O RT Re?o. Required by the EthicsI in Governmenl Act of 1978R o y . t / 2 0 ~ O [ F O R C A L E N D A R Y E A R 2 0 09 O u . s . c , o ? ~ , . s o l - t ; 1 )1. Person R eporting (last name. first, m~ddle initial) 2. Court or O rganization : 3. Date of Report

DIAMOND, GUSTAVE U.S. District Court, W.D, PA 05/11/2010

4. Title (A~c le Ill judges indicate active or s~nlor status; $a. Report Type (cheek ~p proprlate type) 6. Report ing Periodrnagistzatejudges indicate full- or pen-time) 01/01/2009] Nomination, DaleU.S. District Judge (Senior) [] Initial [] Annual [] Final to12/31/2009Sb. [] Amended Report

~. Chambers or Office Address 8. On the bash of the Inform ation contained in this Report and anymodifications pertaining thereto, it is, In my opinion, bt complianceU.S. District Court, W.D. PA with applicable laws and regulations.821 U.S.P.O. & CourthousePittsburgh, PA 15219 Reviewing O fficer Da t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be follow~a~ Complete all parts,checking the NO NE box for each part where you have no reportable information. Sign on last page.

~-] NONE (No reportable positions.)P O S I T I O N b lA M E O F O R G A N I ZA T I O N / E N T I T Y


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Iam e of Perlon Reporting Date of ReportF I N A N C I A L p a g e 2 o f 1 0 D I S C L O S U R E R E P O R T I D I A M O N D , GU S T A V E 05/11/2010I 1 1 . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; see pp. 17o24of filing Instruclions.)A. Fliers Non-Investment IncomeNONE (No reportable non-investment income.)

D A T E SOURCE AND TYPE ~(yours, not spouses)1.2.3.4.

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 - I f y o u w ~ r e m ~ r ~ d d u r i n g a n y p o r t io n o f t h e r c p o ~ g y e a r , c o m p l et e this sectlo~(Doll~ amoum not requl~d ~ccpt f~ honorarY.)

~ NONE ~o reportable non-inv~tment income.)~ ~O~CE A~ ~E

I.2.3.4.

I V . R E I M B U R S E M E N T S - ~,=~*rta,~n. Iod,~.food.,n,,~,,., ,~(lncludea thoa to apou~e and dependnt children; ace pp. 25.27 of filing lmtructions.)

NONE (No reportable reimbursements.)S O U R C E D A T E S LOCATION ~ I T E M S P A I D O R P R O V ID E D

1.2.3.4.5.


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FINANCIAL DISCLOSURE REPORTPage 3 of 10 D I A M O N D , G U S T A V E 0 5 / 1 1 1 2 0

V. GIFTS. a~, ~o~~ NONE ~o reportable gifts.)

SO~CE1.2.3,4.5.

~ N O N E (No reportable liabilia~.)CREDITOR DESC ~PTION V A L ~ C O D E

1.2.3.4.

5.


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P a g e F IN A N C I A L 4 o f 1 0 D I S C L O S U R E R E P O R T D I A M O N D . G U S T A V E 0 5 / 1 1 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - ~ n c o , ~ o . . .t ,, . rr .~c ao~ . (Includes ,hose of .p ...... d dependent chlld~n; ,~1 pp. 34~0 of filing lmw~ction~)

N O N E (No reportable income, assets, or transactions.)A. B. C.D e s c r i p t io n o f A s s ~ In~m~ during G r o s s v a l ~ a t ~ n d T~nsactions d~i~ g ~po~ing p~od(including ~s=

Place ~(X)" after ~h ~set A m o u n ~ T~ (e.g., Value : Valu~ T~ (~.g., D a t e Valu~ Gain ~ Idcnti~ ofexempt ~m p~or disclosur C~I day., ~ C o d e 2 ~ M~od b u y . s 11 , ~d~ C o d e ~ [ Co~ I [ b u y e r / s 0 i l c r, ( A - I t ) orim.) ( J - P ) ] C~3 r~emption) ( J - P ) ] (A-H) :: ( i f p f i v a ~

1. Fid~l i~ E qui~ Income Fund, I~ A Dividend I T R~em~ 12/01/09 J

2. Fo~crly Sm ith Barney cash ~dfolio now A Interest ~ TCi t iba~ HA S.D.3. AF~C, Stock A Dividend K T4. Am. Funds.American Balanced Fund A Dividend J T5. Am. Funds, Investment Co. of A m. B Dividend M T6. Microsoft Corp. A Dividend I T B u y : I 0 1 1 5 / 0 9 J7. EuroPacific Growth Fund A Dividend Sold 1/30/09 J (C)8. Proctcr& Gamble, Stock A Dividend K T9. Capital World Growth & Income A Dividend J T

1 0 . PNC. Stock A Dividend Sold 10/15/09 J BI I . Allegheny Co. PA Sanitary Auth. Bond A Interest K T1 2 . Suntrust Banks A Dividend J T1 3 . Am. Funds, Growth Fund of A merica A Dividend K T1 4 . PA State Second Sec. Bond A Interest K T1 5 . Lancaster, PA General Oblig. Bond A Interest Sold 05/04/09 K A1 6 . State Public School Bldg Authority Bond A Interest K T B u y 05/07/09 K1 7 . Am. Funds, Amcrican Balanced Fund B Dividend K T Buy 12/31/09 J

t I . tn c o m c G ~ d n C o d s : A = $ 1 , 00 0 m I ~ B - $ 1 , 0 0 1 - $ 2 ,5 0 0 C = $ 2 ,~ 0 1 - $ 5 ,0 0 0 D = $ 5 ,0 0 1 - $ 1 5 ,0 D 0 E = $ 1 5 ,0 ~ ! - $ 5 0 , f l0 0( S o C o l u m n s B 1 e a ~ d D 4 ) F 5 5 0 , 0 0 1 $ 1 0 0 , 0 0 0 G - $ 1 0 0 , 0 0 l - $ I . 0 0 0 , 0 0 0 H I " 5 1 , 0 0 0 , 0 0 1 $ 5 , 0 0 0 , 0 0 0 H 2 = M o r e th a n $ 5 0 0 0 0 . 0 0 02 . V a l u e C o d ~ J -$ I 5 . 0 0 0 or lets K = $ I$,001 - $50,000 L "$50,001 - $ 100.000 M " $ 1 0 0 , 0 0 1 - $ 2 5 0 . 0 0 0~ ( $ C o l u m n ~ C I a n d D 3 ) N - $ 2 5 0 . 0 0 1 - $ 5 0 0 . 0 0 0 O = $ 5 0 0 . 0 0 1 - $ 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 = $ L 0 0 0 , 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0P 3 = $ 2 5 . 0 0 0 , 0 0 1 - $ 5 0 , 0 0 0 ,0 0 0 P 4 = M o r th a n3 , V a l u e M e t h o < l C o d e r R - C o s t ( R e a l E s t a t O n l y ) S = A s s e s s m e n t T = C : a s h M a r k e t

L (See Colvenn C2) U -Book Vatu~ V -OthcI W -EstimateM


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FINANCIAL DISCLOSURE REPORT 1 Name o f Person Report ing Date cf Report IPage 5 of 10 I D I A M O N D , G U S T A V E 0 5 / 1 1 / 2 0 1 0VII. INVE STM EN TS and T RU STS - ~,co, ., ,, ,~t . ., , ...... aons(tndudesa, osaofs~o .... d d e p a n d e n t c h i l a r e n t s e e p p . 3 4 - 6 0 o f ~ l i n g i m t r u c t i o . s . )

N O ~ ~ o reportable income, assets, or transaction.)Desc~pfion of Asset~ ln~m~ during Gros~ v~o~ at end Transactions during reposing period

{including ~st ~t~) r~po~iag p~dod ofr~g p~fiod

~xcmpt~omprior~sclosure Co d~ I div.,ren~ Cod*2 ] Method buy. sell, m~d~ Code2] Code I buyer/seller( A - H ) or in~) (J-P) C ode 3 redemption) (J-P) (A -H ) (if pfivat~( Q - W) . ~ansaction)

1 8 . Am . Funds,~pi~l In~meBuilder C Divided M T B u y 01/30/09 J1 9 . Am. Funds, Fundamental Investors Fund A Dividend K T

2 0 . PA Public School Building Bond A Interest K T2 1 . PA S tate Higher Edu. Bond A Interest K T2 2 . Philadelphia, PA H osp. Bond A Interest K T2 3 . Income FundofAm cfica B Dividend L T2 4 . Daimler Chr~,sler Bond A Interest Sold 05/26/09 K A2 5 . BGE-Capital Trust II B Interest K T2 6 . G-M Acceptance Corp Bond A Interest Sold 05/26/09 K A2 7 . American lligh Income Trust Fund A Interest J T B u y 0 1 1 3 0 / 0 9 J2 8 . American lligh Income Trust Fund D Dividend L T Bu y 0 6 1 0 8 1 0 9 K(addq)2 9 . American Funds, Cap. Income Builder C Dividend L T3 0 . American Mutual Fund A Dividend J T Bu y 01/30/09 J3 1 . Legg Mason Value Trust A Dividend K T3 2 . Bond Fund of A merica A Dividend J T Bu y 01/30/09 J

3 3 . Am. Funds, Small Cap World Funds B Dividend K T Sold 01/30/09 K A3 4 . Am. Funds, NewPcrspcctive Fund Sold 01/30/09 J A( p a r t )

Valuo Co~ J "$1 $.~ or lest K ~ I$,~1 - $$0,~ L -150,001 - $1~,~ M = $10O.001 - 1250,000

(See Col~n C2) O =B~ k Valu V ~her W = E s t im a ~d


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FINANCIAL DISCLOSURE REPORT N .... rV~r,on Reporting ] D a , ~ o f I e q ~ a r !Page 6 of 10 D I A M O N D ,VI I. ~E STMENTS and TRU STS -

NONE ~o reportable income, assets, or tra~actionsODes~ipfion of Asse~ 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 Transactions dunng ~ing period(incl~[~ ~st ~sets) r~oning peri~ o f r e p o r t i n g

Place "(X)" a~er each ~et ~t T~ (e.g., Value Value T~ (e,g,, . I Dale :: Value Gain ld~ti~ ofexempt ~om prior ~los~e ~e I d i e . , r e n t , C o d e 2 [ M e t h o d buy. sell, Im~d~ C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) or i~) ( J - P } ~ 3 re~mption)

~( J - P ) ( A - H ) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n ) j

3 5 . Am. F unds, New Pe~p~five Fund B ~vidend L T Sold 10~0/09 J A3 6 . In~meFundofAmefica A Di~dend J T Bu y 01~0109 J

~ 3 7 . Am Fun~, lnves~entCo, of~. B Di~dend L T3 8 . Pimco Real Return Fund A Dividend J T Bu y 02/04109 J3 9 . Am. F unds, American Balanced Fund A Dividend .I T

4 0 . Am. Funds, Europacific Growth Fund A Dividend Sold 01/30/09 J A

41. Am. Funds, Growth Fund of America A Dividend J T4 2 . Investment Co. o f America A Dividend J T Bu y 1 0 / 2 0 1 0 9 J43. Citibank NA S.D. A Interesl J T44. Allegheny Co . Fed Credit Union -- CD A D ividend R edeem ed 03/05/09 J A

A Dividend K T Sold I0/15/09 K5. Fundamental Investors Fund ( p a r t )46. Tax Ex empt Bond Fund of America A Interest J T Bu y 1 0 ! 1 5 1 0 9 J47 . Income Fund of Am edea B Dividend K T48. American High Income Bond Fund A Interest J T Buy I0/15/09 J49. Am Funds. Capital World Growth Inc. B Dividend K T50. Fed Ex C arp Stock A Dividend J T5 1 . Investment Co. of America A Dividend K T

I. Income Oai(See Col~ BI and D4) F ~50,~1 - 1100.~ G ~$100.~l $1,~,000 Ill =$1,~0,~1. $5,~0,~ 112-M~e than $5,~0,000(See Columm CI ~nd D3) N =$250,~1 - $~,~0 O -$500,~1 $1,~,0~ . PI "$1,~,001 - $$,~,000 ~ -$~,~.0Ol * $25,000,0~

(See Column C2) U ~ Book Valu~ V ~Oth~ W =~ t lmated


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N a m e o l r e r lo n R e p o r t in g D a t e ~ f R e p o r tF IN A N C I A L D I S C L O S U R E R E P O R T ] DIAMOND, GUSTAVE 0 5 / 1 t / 2 0 1 0Page 7 of 10V I 1 . I N V E S T M E N T S a n d T R U S T S - ~ , c o , . , , ~ , ~ . , , r . . . . . . n o . s (Includes those of sp ...... d dependent children; see pp. 34-60 of filing instructions.)[~] NONE (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s ~ t s G r o s s v a l u e a t c o d T r a n s a c d o n s d m i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) [ reporting period o f r e p o r t i n g p e r i o dO) 1 2 ) 0) i2-S--- (i) (2) O) (4) ] ( ~ )P I ~ ~ " ( X ) " a f t . . . . h asset A m o u n l Type (e.g.,a l ~ l Value Type ( e . g . , i D~.t ] VMu ] G a i n I Idcntity of= ~ p , r r o ~ ~ , i o . d i s o | o , ~ . o I Code ti . ., = , . C o ~ o 2 I ~ o ~ h o d ~ . y , ~ , . l m ~ d d ~ . [ C o d : I C o ~ t / ~"Y/~~

5 2 . National City Bank - Bank Acct. A Interest J T53. Washington Mutual Inv~tors Fund 529A A Dividend K T5 4 . Capital Wo rld Growth and Income 529A A Dividend J T5 5 , Fundamental Investors 529A A Dividend J T5 6 . Investment Co. of America 529A A Dividend J T57 . Fidelity, Equity Incom e, IRA B Dividend. K T Past Redeem 1 2/01/09 Jzap gax~5 8 . Fidelity, Equity Income Individual A Dividend J T : r a n s f e r 12101109 J

from IR~5 9 . Fiddity, Canada A Dividend K T Bu y 1 2 1 0 4 1 0 9 J6 0 . Fidclityo Latin Amcrica A Dividend K T Bu y 1 2 1 3 0 / 0 ! J

6 1 . Fidelity, Nordic A D ividend R edeemed 12/16/09 J62. Fidelity, Southeast A s i a A D ividend R edeemed 1 2 1 1 6 / 0 9 K (D)63. Fidelity, Convertible Se curities A Dividend Redeemed 12/16/09 K (D)6 4 . Fidelity, International Discovery A Dividend Redeemed 12/16/09 J (C)6 5 . Fidelity Fifty A Dividend J T66 . W a l - M a t t S t o r e s , I n c . , s t o c k A Dividend J T6 7 . National City Bank - C.D. A Interest Redeemed 12/09/09 J A68. PNC Money Market Bu y 1 0 1 2 4 / 0 8 J Footnote 1

I, Income Gain Codes: A -$1,000 or le~s B -$1,~01 - $2,S00 C -$2,501 - $5,0~0 D -$5,~ I - $1 ~,0~ E =$15,~1 - $50,0~2. Value Codes J ~$15,000 or(See Colum~ CI ~nd D3) N -$250,001 - $500,~ O ~,001 - $1,~,0~ P I =$1,~,00t - ~,~,~ P2 = $~,~,~1 - S25,00a,0~P$ "$2~,~0,001 - $~0.~.~0 P4 =M~e than $50,~,0003. Value Mc~od C~ Q -A ppIai~al R - C o d ( R ~ I E ~ t a t e O n l y ) S -Ass~ment T -C~h Market


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F I N A N C I A L D I SC L O S UR E R E P O R T Name of Person Reporting ] Date of ReportPage 8 o f I0 DIAaMO ND, GUS TAVE ] 05/11/2010V I I . I N V E S T M E N T S a n d T R U S T S - ; n c o m , . v = t ,~ , t . . . . ,a o , ~ (Includes those o f s p o . . . . . . d dependent hi ldrgn; $t p p . J 4 ~ O of f i l ing ins t ructions .)

NONE ~o r e por table incom e , asse ~ , or t r ansac t ion s . )A. ~] B. C. D.Descrip tion of ~ls ] In~mo d~ng G r o s s v a l u c ~ t e n d T~sactions during ~ning pcfiod

(including t~t assets) ro~ing ~l~ of reposing p~od(I) (2 ) (I) [ (2)- (I) ~-~ (3) ~ (4) ~ (~)

Placo"(X)e~ere~chasset Amount T~(~.g., Value [ Valuo T~(e.g., Dat~ ]Valug [ G~n Idcnti~of

69 . P N C M o n e y ~ r k e t B uy v~ rious j( a d d 0 200970 . PNC Money Ma rket A In.rest K T B~ 06~09 J( a d d l )71 . Citizens B~k Savings Account A lnt~st K T Buy K F~mote 2

03/09

P) =$2L~0.~1 - $50,~0,~ ~4 =Mo~ than


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FINANCIAL DISCLOSURE REPORT ~ .... tP~rsaa Repot,lag Date ofR~portPage 9 of I0 D I A M O N D , G U S T A V E 0 5 1 1 1 1 2 0 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a,,~i~,~r~.

Footnote 1: Line 68: This savings account was opened in October 2008 with a $10,000 deposit from funds which had accumulated in our checking account intowhich my monthly government check is directly deposited. It was inadvertently omitted from my 2008 ethics report which I hereby request be amendedaccordingly. We now make regular deposits from our checking account throughout the year into this account, plus a $12,429 deposit in June 2009 from an incometax reffmd.Footnote 2: Line 71 : This consists oftho proceeds of redemption of Mass Mutual life insurance in January 2008. Those proceeds had been held in a non-interestaccount until this investment.


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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 [ D I A M O N D , GUSTAVE D a t e afRcportPage 10 of 10 0 5 / ~ I / 2 o ~ oIX. CERTIFICATION.

1 certify that all Information given abnve (including information pertaining tn my spouse and minor or dependent children, If any) Isaccurate, true, and com plete to the best of my knowledge and belief, and that any Inform ation not reported w as withheld because It met applicable statutoryprovisions 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 w ith the provisions of 5 U .S.C. app. 501 et. seq., 5 U.S.C. 7 353, and Judicial Conference regulations.

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L E T H I S R E P O R T b l A Y B E S U B J E C T T O C I V ILAND CRIMINAL SA NCTIONS (5 U.S.C . app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One C olumbus Circ le , N,E.W ashington, D.C. 20544

Gustave Diamond Financial Disclosure Report for 2009

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Transcript of Gustave Diamond Financial Disclosure Report for 2009