Jon O Newman Financial Disclosure Report for 2009

8/3/2019 Jon O Newman Financial Disclosure Report for 2009

1/27

I a o 1 o FINANCIAL DISCLOSURE REPORT R e p o , . t R e q u i r e d b y t h e E t h i c sin Government Act o f 1978R e ~ . i / 2 0 !0 FOR CALENDAR YEAR 2009 ( ~ u . s . c , a v p . , + " 1 0 1 - 1 # 1 ). P e r s o n R e p o r t i n g [ l a s t n a m e , f ir s t , m i d d l e i n i t i a l ) 2. Court or Organization 3 , D a t e o f R e p o r tNE WMAbI , J o n O. U.S.C.A., Second Circu i t 0 5 / I 1 1 2 0 1 0

4 . T i t l e ( A r t i c l e ] II j u d g e s i n d i c a t e a c t i v e o r s n n i o r s t a t u s ; 5 a . 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. Reporting Periodm a g i s t r a t e ju d g e s i n d i c a t e f u l l - o r p a r t - t im e )iV- ] No min a t i o n , Da ~ 01/01/2009Sen i o r C i r c u i t J udge [] initial [] A n n u a l [] Final tot 2 /31 /20095b. ,[---] Amended Repo rt ,

7 . C h a m b e r s o r O f f ic e A d d r e s s 8 . O n the basis of the information c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t i o n s pertaining thereto~ it i s , in m y o p i n i o n , i n c o m p l i a n c eU.S . Cou r t hou s e with app licable laws and regula t ions ,4 5 0 Main S t r e etHart ford, CT 06103 Reviewing Officer D a t e

I M P O R T ANT NO T E S : T h e i n s t ru c t io n s a c c o m p a n y i n g t h is f a rm m a s t b e f o l l o we d . Co m p l e t e a l l p a r~ s ,checking the NONE box for each part where you have no reporta ble in format ion . S ign on las t page.

~ N O N E ( N o r e p o r t a b l e p o s i t i o r ~ .)p O S I T I O N _NAM]~ OF ORGANIZATION/ENTITY

1 . Co rpo ra to r Har t f o rd Hosp i t a l2. Co rpo ra to r Ins t i tu te of Living

3. Electo r Hart ford Atheneum

4. Life Regen t Univers i ty of Har t ford5. Boa rd Membe r Connecticu t Appleseed Foundat ion6. Ch ai r Friends of the Library of the Supreme Cou rt ~f Israel, I ,no..7. Committee Member Endowm ent Foundat ion of the Jewish Federa t ion of Greater Har t f6 rd, Inc .8+ Tru s tee No.. Trus t "

I I . A G R E E M E N T S . # + + i , o , a , + + o ~ + , i + + o i o ~ + + : , e e p p . t 4 - U o / : t + n +~ N O N E ( N o r e p o r t a b l e a g r e e m e n t s . ) .

pARSES AND TE~SI .


2/27

FINANCIAL DISCLOSURE REPORT I 0 5 / 1 t / 2 o t oPage 2 of 27

I lL N O N - I N V E S T M E N T I N C O M E . ~ R ,~ o e n . ~ ~ n d ~ d . o ~ a ~ o . ~ ~ ~ 7 - 2 ~ o / ~ ~ n s t ru c t l o n ~ . )A. Filers Non-Investment Income[ ] N O N E (No reportable non-investment income,)

D A T E SOURCE AND TYPE I N C O M E(yours , not spouses)1, 10/I 1109 Hart ford Couran t - for ar t ic le $40.00

2.3.4.

B. Spouses Non- lnves tment Income - lfyou we,emarrteddurln8 anyportlonoflherportingyear, eompletethlssectior~( Dol l ar am ount no t requi red ex cept .f or honora r i a . )

NONE (No r e p o r t a b le n o n - i n v e st m e n t i n c o m e . )D A T E SOURCE AND TYPE

2.3,4.

I V . R E I M B U R S E M E N T S - - , , . .,~or~aao n. tod~ .~.Zoo~. ~. , , ,,o~. .e .~(Includes those to spouse ~d depen~nt chil~en: see pp, 25-27 ~l~f!ling inst~clions.)

N O N E ( N o r e po r ta bl e r e im bur s e m e nc s . )~ ~ L O C A TIO N PU~OSE I T E M S P A I D Q R P R O V I D E D

I.2.3.4.5.


3/27

Name o[ Pe r s o n Re po r t i ng Date o f Repurt [F I N A N C I A L p a g e 3 o f 2 7 D I S C L O S U R E R E P O R T I N E W M A N , Jon O . 0 5 / 1 1 / 2 0 1 0 I

~ N O N E (No reportable g~s,)~ D ES CR I P TI O N ~

I.2.3.4,5.

V I . L IAB ILITIES . a ,,~,~N O N E (No reportable l iabili ties.)

~ D ES CR I P TI O N V A L U E C O D E1.2.3.4.

5.


4/27

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 f R e p o r tPa geFINANCIAL4 of 27 DISCLOSURE REPORT [ N E W M A N , J o n O . 0 5 / 1 1 / 2 0 1 0

- " - ] NONE (No reporlable income, assets, or transactions.)A. B. C. D.

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 ri n g G ro s s v a l u e a t ~ nd T r a n s a c l i o n s d u r 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 ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

Date [ Value Gain ~ I d e n t i t y o fP|acc"(X)"aP, ereaehasset A m o u n t T y p e ( e . g . , Value [ Value T y p e ( e . g . . m,n/d&ty3, t Code2 i Code I i b u y e r / s e l l e re x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d i v . , r e n t , C o d e 2 [ M e t h o d b u y , s e l l,( A - H ) o r i n t . ) ( J - P ) Code3 r e d e m p t i o n ) 0-P) i(AH) i ( i f p r i v a t e

1 . BANK ACCOUNTS AND CASH:2. Bank of America -- West Ht fd. CT., A Interest L T Checking Acct.3. Smith Barney, New Haven , CT., Money A Interest M TMarket AccL4, ~ P e o p l e s B a n k A Interest J T5. : ,~ Sove re i gn Ban k A Interest K T

6. B O N D S :7. U.S. Treasu ry Bond I 1 .5 E Interest Redeemed 11/16/09 N8. H o u m a L a . T r a n s i t 1 1 C I n t e r e s t L T9. Lafayette La. Transit 11 B Interest K T

1 0 . W. Mo n ro e L a . 10 B Interest M atu red 08 /03 /09i J1 I. W. Monro e La. 11 A Interest J T1 2 . CT Health 12 6 .5 C Interest Redeemed 0 7 1 0 1 / 0 9 J

1 3. Conn. Health 4 .9 13 B Interest K T1 4 + Cheshi re 5 .010 B Interest L T1 5 , Conn . Refund ing 09 5 .25 B Interest M a t u re d 03/16/09 K1 6 . Stra t ford 10 3.0 A Interest K T1 7 . New Haven 17 6 ,0 B I n t e r e s t Redeemed 11/02/09 K

1 . I n c ome Ga i n C0 d c s : A ~$1.000 o r 1$s B2 . Va t ue C odes J =$15 ,000 or less K(See C ol um ns C I a nd O3~ N ~$ 25 0,001 - $ 500,000 O =$ 500.001 - $ t.00~ ,000 P I = $ 1,000,001 - $ 5,000.000 P2 =$ 5 ,~00 .00l - $25 .000 .000

~ P3 --$25 .000,001 - $50 ,000 .000 P4 =M or e Ih~ $50 .000,000


5/27

N a m e o f P e r s o n R e p o r t lu g D a t e o r R e p o r tP a g e F IN A N C I A L 5 o f 2 7 D I S C L O S U R E R E P O R T [ N E W M A N , J 0 n O . 0 5 / I 1 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S ~ n c ~ m ~ v a l u e ~ t r a r ~ a ~ m s ( ~ n ~ u d ~ s t ~ $ e ~ f s p ~ u s e t ~ n d d e p ~ t ~ d e n ~ c ~ i ld r e n ; $ e e p p ~ 3 ~ - 6 ~ f~ l in g i n M ~ a c t l ~ n ~ )NONE (No reportable income, assets, or transactions.)

A . B. C. D.D e s c r i p t i o n o f A s s e t s Income dudng 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 r e p o r t in g p e r i o d( i n c lu d i n g t r u s t a s s e ~ ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e t Amount I Type (e.g. . Value Valu e T y p e ( e . g , . Date i Value I Gain | I d e n t i t y o fe x e m p t f r o m p r i o r d i a c | o ~ u r e CodI [ d i v . . r e n t , Cod~2 I Method buy.~ell, m t r u dd / y ~ t C o de 2 ] C o de l| b u y e r l s e l l c r

~AHI_ ] o r i n t . )( J - P ) | Code3 r e x l e m p t i o n ) I 0-P) I (A-B)/ ( i f p r i v a t e

1 8 , Mer iden l l 3 . 75 B Interest L T1 9 , StamfordI0 3.0 B Interest L T2 0 . CT Rfdg 09 4 .5 B Interest Matu red 03/16/09 K21 . CT G.O104 .9 B Interest K T22. CT Tax 12 4 .3 A Interest J T2 3 . Seymou r CT ! 3 3.5 A Interest L T24. Brookf ield CT 11 4 .25 B Interest K T2 5 . CT Spl. Tax 12 5 .5 B Interest K T26. Groton 12 4 .0 B Interest L T

27. CT I3 4 ,25 B Interest L T28. Puer to Rico 14 5 .25 C Interest K T29. CT Refund i ng l l 5 . 5 C Interest Redeemed 12/15/09 K3 0 . Shrevepor t LA 10 6 .75 B Interest Redeemed 09/01/09 J31 , S.E. Texas Hosp t . 09 7 .5 B Interest Matu r ed 12/01/09 J32, Bridgepor t 11 4 .25 B I n t e r e s t L T33 . CT Clean Water10 4 .5 B Interest Redeemed 07/15/09 K34 . Bridgeport 12 5.0 B I n t e r e s t L T


6/27


7/27

N a m e o r " 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 ~FINANCIAL D I S C L O S U R E R E P O R T[ NEWMAN , Jon O.age 7 of 27 O S / l i / 2 O l O

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , ,~ t ,e , t,o.s.~,ions (:n~ua~ t~ose of S p o ; t s e a n d d e p e n d e n t h i l d r e n ; see pp, $4-60 Of filingN O N E (No reportable income, assets, or transactions.)

A. B. C.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 r o s s v a l u e a l 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 t t in g p e r i o d

( i n c lu d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d : o f r e p o r t i n g p ~ r i o d

. (A-H) olinL) (I-P) /~ode3 t + e d e m p l i n ) I I (J-I>) ! (A-t0 I ( i f p r i v a i , ~

~Z New H aven 12 4 .0 None L T Buy 08/20/09 L$3. CT I- leal ih 15 3.4 A l i 3 . t e r e s t L T B uy 08/14t09 i L54 . Hart ford 15 5 .25 Nor.e L T Bu y 0 9 1 1 4 / 0 9 L55 . No r th B ran fo rd 16 3 . 75 C Interest L T Bu y 11/01/09 L56 . CT G.0 16 4 .0 No n e L T Bu y 12/30/09 L57 . STOCKS:5 8 . Royal Dutch Petro leum D Div id en d M T59. Air P ro d u c t s C Dividend M T60. Johnson Con tr . C Div id en d M T6 I. Merck D Dividend L T62. Cumming s Eng i ne B Dividend L T63 , Min n . M in in g B Dividend L T6 4 . Johnson & Johl lso l l C Dividend L T6 5 . Microsof~ B Dividend K T66 . Cis~ o None L T6 7 . Total Fina D Dividend M T Sold 1 2 / 2 2 / 0 9 M F( p a r t )6 8 . Devon Energy A Dividend L T

A =$ 1,000 or le. , is B ~$ 1 ,001 - $ 2 ,51 )0 C =$2 , $0 1 - I 5 ,~ 0 D =$5 ,~1 -


8/27

N a m e o f P e ~ e a R e p o r t in g D a t e o f R e p o r tP a g e F I N A N C I A L 8 o f 2 7 D I S C L O S U R E R E P O R T NEWMAN, J o n O . 0 5 / I 1 / 2 0 1 0

V I I . IN V E S T M E N T S a n d T R U S T S - ~ u c o ~ , e 0 ~ o ~ , e ., . . . . .. . t~o~ , ( In cl u d e~ th os e o / s p ou ae an d d e~ n d em ch i l ~ : s ee pp. ~4-60 of filing instructions.)NONE ~o reportable income, ~sets, or transaction.)

D e s c r i p t i o n o f A s s e t s ~ In c~e d u r i n g Tr~c t i on s du r i ng ~ r dng p e r i odo f w p o n i n g p e r io dincluding ~st ~se~s) ~ reining period ....... ~ ....... ~---~/ ,, ....... ......... ...........e x e m p , f r o m p r i o r d i s c l o s u r c [C~el [ di . . . . n ~ C~e2 [Method ]

2~o r in t . ) . . . . ( J - P ) ~ Co d e3 tQ_W) r~empt io n ) : [ O-P) ] ( A -H ) [ ,mn~t ion ) ( i fphvate6 9 . FNMA None J T Sold 12/18/09 J(puff)7 0 . Medeo None L T7 1 , Calamoa Fund A Dividend L T72. Legg Mason Fund B Dividend Sold 07/30/09 L7 3 . G E A Dividend Sold 12/23/09 J74 . Hende r s on Fund A Dividend K T7 5 . Jenn i s on Fund None K T7 6 . Drey f u s Fund None J T77 . M a i n s t a y F u n d None K T7 8 . Arkema A Dividend Sold 12/15/09 J C

" ~ 9 . Fed Max Cap Fund A Dividend K T8 0 . Sch wab 1 000 Fn n d A Dividend K T8 1 . OTHE R:8 2 . ~1 /2 I n t . W . H t f d . , CT . , Condo pu r c ha s ed None L R8/9/88 $115 ,0008 3 . T hames & Hudson Roya l t y Con t r ac t C Royalty J W84 . ~Condo , Un i ve r s i t y P a r k , FL pu r cha s ed None M R~9/99, $179,00085 . A I G An n u i t y ( I R A) B Interest K T

I , I n c ome Ga i n Cod c a : A =$ 1.004) or Ices B ~ $ 1 ,001 - S2.5 00 C *$ 2.5 01 - $ 5 ,000 D =$5.O01 - $15,001) E =$15 ,001 - $ 50 .000(Sec C ohl nm s HI a nd D4] F =$50,001 - $1 00,000 G ~$ lO0,001 - $1 ,000,000 HI =$1,1~0 ,001 - $5 ,000,0~0 112 ~Mo r~ t h an2 . Va l ue C odes J -$1 5 ,000 o r Icss K ~ $ 1 5 .001 - $ 5 0.000 L -$50.001 - $100,000 bt =$100,001 -t S cc C ol um ns C I a nd D3) N =$ 250 .0~1 - $500 ,0 t~ O ~$5 00,001 - $1,000 .00~ I~l =$1,O00,001 - $5 ,000,000 P2 =$5 ,000,001 -

P3 =$25 ,O00,001 - $50 .000 .000 Pq =MOte Ihan3 . Va l ue Me thod C odes Q =Appra i sa l ~ =Coal (Real E~la te Only) S =Assessment T = Ca s h Ma rke t( Se e Co l un ~ n C2 ) U = Book Va l ue V =Gibe r r - "


9/27

Name of Person R eporting Date of ReportFINANCIAL D I S C L O S U R E R E P O R TI N E W M A N , J an O .

05/11/2010age 9 of 27V I I . I N V E S T M E N T S a n d T R U S T S - ~ , , ~ o ,, ,~ , , ,a ~ , , .. .. .. a o , ,~ (Includes those o f s p o u s e a ~ d deptadtn children; see p l x 3 4 - 6 0 of filing instructio#l,~)

NONE (No repo r ta ble inco me , a sse ts , o r t ra n sa ct io n s. )A. [ B. C. D .

Description of Assets Income during Gross va!ue at end Transactions during reporling period(including Irust assets) r epo r ~ i n_ g pe r i od of reporting period

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t ~ T y p e ( e . g ., V a l u e / Value] T y p e ( g ., Date Value I Gain ! I d e n t i t y o f. e x e m p t f r o m prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 ] Method b u y , s e l l , m m / d d / y y C o d e 2 [ C o d e I b u y e r / s e l l e rI (AH)

orint.) ( J - P ) ~ Code3i

redemption) (J-P) [ (A-H) [ (if private

8 6. A IG A nn u it y ( IRA ) A I n t e r e s t J T87 . TRUST # 1 E InL/Div. PI T88 . - Conn . Bond09 5 .4 M a t ur e d 0 3 1 1 6 / 0 9 J89 . -CT G.0 . 105 .0

9 0. - Co nn . G. 0. 5 .0 0 9 M a t u re d 06/15/09 K

91 , - Notwalk09 4~25 M a t u re d [01/15/09 K

92 . - Dupont

93 . - Exxon Mobil

94. - G.E.

95 . - Norfo lk S o u t h e r n9 6 . - M & T B ank

97. - P f i ze r98 , - l n s t e e l

9 9 . - Al exan d e r an d Bald win1 0 0 . -C o m i n g1 0 1 . - Ho n eywel l

02. - Lucent


10/27

FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t in g [ Da te o f ReportPage I0 of 27 NEWMAN, Jon O .[

05/11/2010

N O N E ( N o r e p o r t a b l e i n c o m e , a s s e ts , o r t r a n s a c t i o ~ OA . ] ~.,i c.~r ip t ion of Asse t s i n c o m e d u r i n g ~ Gross value al end T r an~e t lo~ du r i ng m ~n ing ~ r i od( i n c l u d i n g t r u s t ~ s s e t s ) ! m p o O i n g p e r io d ~... of r~ming ~ri~ ...........

Pla~ " (X)" a~er ~ch as~t Amount ~ T~ (e.g . ,Co~ I I die., ren~ Code 2 ] Method I buy, ~ll, m~d@~ ICode 2 IC~e I b u y e r t s e l l e rexempt from~ior disclosure[ IA-H) orint.) I (JP) ~ C~e3 ] ~emption) [ ( J -P ) [ (A-H) I ( i f p r i v a t e

103 . - P i t n ey Bow es

105 . - Tyco106. - Hart ford Cry. 12 3.125107 . - CT H eal th 27 5 .125108 . - New Caanan 13 3 ,7 51 0 9 ~ - CT New Money 11 3 .6 25110. - Wa llingford 09 5 .0 Matured 06/15/09 K111 . - Newt own*15 3 .5

112 . - Ledya rd13 5 .0 Bu y 01/28/09 M113 . , New Hav en 20 5 .0 Bu y 01/28/09 K114 . - Cov id i en J T Sp in o f f 07/06/09 J( f rom line 105)1 i 5 . i N T R U S T # 2 G Int./Die. PI T116 . - Fede r a t ed Gov t . Fund Sold 02/28/09 N1 1 7 . - H a n e s b r a n d s Sold 0 6 / 1 6 / 0 9 J D118 . - Home Depo t

119 . - McDona ld s

(Sec C ol um ns B I a nd D4) F =$50.001 . $100.000 O =$100 .001 - $1 .000 .000 H I =$1,000,001 - $5 ,000.000 H2 =Mo re thlm $5 .000 .000


11/27

Name of Person Repo~ting ] Date of ReportF I N A N C I A L p a g e 1 1 o f 2 7 D I S C L O S U R E R E P O R T ] N E W M A N , J on O .: I o ~ / , , / 2 o , o

V I I . I N V E S T M E N T S a n d T R U S T S - ~o~e, ~ , , ~ .~ a ~ a ~ d e ~ , ~ o ~ . of spouse and dependent c h i l d r t n ; se e p p . J 4 - 6 0 of fillng[-] N O 1 N E (N o reportable income, assets, or transactions.)...................... -A-7 .................. B . T o .D a s e r i p t io n o f A s s e t s 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 , r e p o r t in g p e r i o d(including trust assets) reporting period of reporting period ,

Place "(X)" after each asset Amount I Type le.g., V a l u e Value Ty p e (e , g . , Date Value Gain i Identity of.... pl from prior disclosure Code l I div., rant, Code2 I Method [ buy, sell, [mroddd/yy [ Code2 [ Code l I buyer/seller{A-H) ] print.) ( J - P ) i Code3 [ redemplion) [ I (J-P) I(A-H) [ (ifprivate

1 2 0 . - General M il ls

t21. - Peps ico

22. - P r o c te r & G a m b l e23 . - S ara Lee

i ~24 . - BP A mo co1 2 5 . - American Express

1 2 6 . - P l u m C r e e k T im b e r

1 2 7 . - T r a n s a t l a n t ic t t o l d i n g s

t28. ~ S t , P a u l T r a v e l e r s

1 2 9 , - Wells Fargo S o l d I2/15109 Ki30 . - B a x t e r I n t e r n a t i o n a l

13t. -Cigna

1 3 2 , - Edwards Lifeseience

1 3 3 , - Medco Heat th Solut ions1 3 4 . - TEVA P h a rma ceu tica l Bu y 10/13/09 J(addl )1 3 5 . - Wyeth Merg ed 1 1 0 1 1 6 / 0 9 K E(with line 192)1 3 6 . - Do v e r

1 . In ~ o m e Ga in Co des : A =$ 1 .000 o r les s B =$ 1 .001 - $2,500 C = $ 2.5 01 - $ 5 .000 D =$ 5 ,001 . $ 1 5 ,000 E =$15 ,0Or - $5 0( Se e C olu m ns B I a nd D 4) F = $5 0,00 1 - $ 100 ,0 00 G =1 100,001 - $ 1.000. 000 H I = $1 .0~ O. 001 - $ 5,000. 000 1 !2 ~ Mo r t ha n $ 5,000. 000

2 . Vah t C odes J =$ | 5 .000 o r l e s s K =$ IS,001 - $50,b~00 L =$50,001 - $ !00,000 M =$ 100,001 - $250 ,000(See C ol um ns C | a nd D3) N =$ 25 0.001 - $ 500,000 O =$ 500,001 - $ 1,000,000 PI ~$t .O00,00! - S5,~)0,000 P2 =$ 5 .000,001 - $25fl00 .000

P 3 =$ 25 ,000,001 . $ 50.000,000 P ,* =M o re th a r t $ 50.0003 ~3 Va l ue Me th t~d C od~s Q =Ap p ra isa l R --Co s t (Rea l Es ta te On ly) S = A s s e s sme n t T = Ca s h Ma rke l( Se e Co l un m C2 ) L? =8ook Value V =Othe r W ~ Es t imme d


12/27

FINANCIAL DISCLOSURE REPORT [ N a m e o f P e r so n Reporting D a t e o f R e p o r tPage 12 0f27

I N E W M A N , J o n O .05/I 1/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ta c o s , e . , a l~ o , , ,~,,.aons ancl,S~ t* o,e of spouse and dependent children; see pp. 34-60 of filing insIrucdons.)[~] NONE (No reportable income, assets, or transactions.)

A - ]/ B, C. D .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 in g ( . t r e 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 ~ r i n g r e p o r t i n g p e r i od( i n c l u d i n g t r t r s t a s . s e t s ) L r e o o r l in g p e r i o d o f r e p o r t i n g p e r i o do) (2) ] ( l )

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . , Value/ Value T y p e ( e . g . , Date ] Value | Gain ] I d e n t i t y o fe x e m p t f r o m p r i o r d i s c lo s u r e Code I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l, mmidd/yy ICode 2 | COde I | buyer/seller( A - H ) o r i n t . ) (JP) i Code 3 r e d e m p t i o n ) i ( J P ) ] (A-H) ! ( i f p r i v a t e,i ( Q - W ) i [ ! t . . . . t i o n )

137. - Emerson Electr ic138 . - Tex t ro n Sold 6/11/09 J A139 . - M i nne s o t a M i n i ng140 , - Ag i len t141, - Automat ic Data142. - In te l1 4 3 . - Microso ft1 4 4 . - RPM In t l

1 4 5 . - Windstream Sold 0 6 ] 1 1 1 0 9 J C1 4 6 . - Do min io n Reso u rces

1 4 7 : - Un iv ers ity CT09 3 .35 M a tu red 02/17/09 K1 4 8 . - Co lch es ter CT09 3 .37 5 M a tu red 06/16/09 K1 4 9 . - Stamford CT 09 4 .0 Matu red 11/02/09! K

1 5 0 . - CT Housing 09 3.6 Matu red 1 I l l 6 / 0 9 K1 5 1 . - Sou thbury CT 10 3 .2

1 5 2 1 - Windsor CT 10 4 .0 Redeemed 07/15/09

1 5 3 . - CT State 10 3.45

(See C olnm ns B I a nd D4 1 F =$50,~1 - $1~,~ G ~$t~,~l - $1.0~.~ HI =$1.~.~1 - $5.~,0~) H 2 = M o ~ t h a n

Q =Appra i sa l R ~os t (R ea l E s l a t c Only ) S = A ~ e s sme m T ~C~h Ma~


13/27

I" I 1I N A N C I A L D I S C L O S U R E RE P O R T Same of Perso, Reporting Date of ReportPage 13 of 27 N E W M A N , J o n O . 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 - i n , o , ~ e , ., t ,~ . r , a , , ~ t: o n $ a n e ~ , d ~ , ~ o ~ o f , p o ~ , ~ ~ , d dependent children; see p ~ 3 4 - 6 0 of filing

N O N E (No reportable income, ~set& or transaction.)A. B. [ C.

D~fiption of Assels Income during ] G~ss value at end T~sacfio~ during reposing peri~(i~luding I~st ~ts) topping period I ofrepofli~ pvri~ - ]~ -~ ~ ) [--~-~- ~,~ ~-~~t~ ........ 1 ~ . . . . . . . . . . .

e x e m p t f r o m p r i o r d i s c lo s u r e Code I[ d~., ~nl, C o d e 2 I Mel~d b u y , s e l l , [mm /d~fl [ Code 2 [ Code [ [ b u y e r l ~ l l e r( A - H ) o r i n t , ) O - P ) [ C~e3 ~ d e m p ~ i o n ) [ ~ (J -P) [ (A-H) t ( i f p r i ~ t

"TJ4. - CT s,,~~o ~.9155, - Cromwell CTIO

1 5 6 . - Simsb ury CT 11 3~75157. - Glastonbury CT 11 3 .75

1 5 8 , - Ledyard CT 11 3.5

1 5 9 ~ - Waterbury CT 11 4.0

1 6 0 . - CT State 11 4.4 R e d e e m e d 09/01/09 L A

I 6 1 , - Stonington CT 11 4.0

1 6 2 . - Bristol CT 11 3.0

1 6 3 . - W e t h e r sf ie ld C T 1 2 3 .1

1 6 4 . - CT State 12 4.0

1 6 5 . - Regidn al Sch ool 12 3.65

166. - Easton CT q2 ~i5

1 6 7 . - CT State 13 3,5

" 1 6 8 . - CT State 13 4,0

1 6 9 . - Regional Sch ool 13 3.751 7 0 1 - O r a n g e C T 1 3 3 1 ~


14/27

F I N A N C I A L D I S C L O S U R E R E P O R TI N E W M A N , n o . O .age 14 of 27 o s n ~ / 2 O l O

VII. INVESTMENTS and TRUSTS -N O N E (No reportable income, assets, or transactions,)

^.D~scripfion of Assets Income during Gross value at end Transactions during reporting period(including in, st assets) reporting period of reporting period

Place "iX)" after each asset Amountexempt from prior disclosure Code I

171: - T.! l~md CT 13 4 .01 7 2 . - Univers i ty CT 14 3,7

1 7 3 , - CT State 14 4.0

1 7 4 . - Glastonbury 1 4 3 .75

1 7 5 . - CT State14 4.0

1 7 6 . - S ou th C e n tr a l W a t e r 1 5 4. 0

1 7 7 . - Groton CT 15 3.75

1 7 8 , - CT State 15 3 .5

1 7 9 . - Becton

1 8 0 . - T. R~we Pr ice1 8 1 . CT Hsg. Fin. 16 3.9

1 8 2 . - ~T Heal th IS 3 .5

1 8 3 . - CT Health 17 3.5

1 8 - I . - Har t ford County 1 8 3 ,5i 1 8 5 . - Watertown CT 17 4.0

8 6 . - Den tsply B u y 02/03/098 7 . - CT Elee. 16 4.0 Bu y 04/03/09

I.tncomeGamCodes A=$ 000or ess B=$ ,0O -$2~00 C~$2,501-$5,000 D=$5001-$15000 E=$15001 SsO~0


15/27

N a m e o l P e r s o n R e p o r t in g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT[ N E W M A N , J o n O .

05/I 1/2010P a g e 1 5 o f 2 7V I I . I N V E S T M E N T S a n d T R U S T S - i ~ , .e , ~ l u e , , , ~ , ,, ,e t ~ , ~ (Includes those of spouse a n d dependent chlldeen; see pp. 34-60 of filing instructions,)

N O N E ( N o r e po r ta bl e inc o m e , a s s e ts , o r t r a ns a c t io ns . )A. B. C.

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 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 ) r e p o rt i n g p e ri o d o f re p o r t i n g p e r i o dP l a c e " ( X ) " a f t e r e a c h a s s e t ] A m o u n t I T y p e ( e . g . , Valu e Value T y p e ( e , g . , | Date ] V a ~ u e Gain I d e n t i t y o f, C o d e 2x e m p t f r o m p r i o r d i s c l o s u r e C o d e ~ | d i v . , r~nt, C~e 2 M e t h o d b u y , s e l l, [ m t r d d d l y y [ [ C o d e I buyer;seller

1 8 8 . - CT I 4 3 .3 Bu y 05/04/09 L189, - IBM Bu y 06/11/09 K

90. - Southington CT 18 3.5 Bu y 07/02/09 L91 . - Plymouth CT 17 3.0 Bu y 09/09/09 K

1 9 2 . - Pf izer Distr ibu ted ! 0 / I 6 / 0 9 K1 ~ 3 ~ - Bethel CTI7 3 .0 Bu y 1 1 / 3 0 1 0 9 Li 94 . - Guil fo rd CT 18 3 .0 B u y 12/07/09 L1 9 5 . - Peoples Uni ted Fin, Bu y 12/15/09 K

" 1 9 6 1 - New All iance Bank Bu y 02/28/09 M

1 9 7 , ~ TRUST #3 F int .ff)iv, PI T1 9 8 . , S taples1 9 9 . -Ta rge t200. - Peps ico

20i~ - Procter & Gamble202. - Apach e203. - ExonMob i l

204. - Weatherford


16/27

F I N A N C I A L D I S C L O S U R E R E P O R T ] Nam e of Person Repor t ing ] DateufRelm rtPage 16 of 27I NEWMAN, JunO. I 0 5 . 1 1 2 0 1 o

VII. INVESTMENTS and T R US T S -N O N E (No reportable income. ~sets, or transactiom.)

A, B. C. D.~ption of Asse~ I n co m e d u r i n g G r o s s v a l u e a t e nd T r a n ~ c t io n s d u r i n g ~ p o r f in g ~ r i ~

( i n e l ud ~g t~ s t a ~e t s ) , ~ o g i n g p e r i o d of ~po~ing ~ri~Place "(X)" after c~h as~t A m o u n texem p t f i om p r i o r d i s c l o s u r C~ I ~ div.,~nt, C~2 Method ~ buy,~[L m~d~ C~e2 C~I 1 buy~/selle~

~-H) ~ or,re.) ( J . p ) . C o d e 3 1 r ~ , m p , , o n ) [ l ( J - P ) ~ C A - H ) ~ ( i f p r i v a t e.......20~, - JP Morgan Ch~e

206 , - B a n k o f N ~ w Y o rk2 07 . - W el ls F a rg o

208. - A b b o t t Lab s

1209, - J o h n s o n & J o h n s o n210. - M e d t r o n i c

2111 ~ Schein Hemy

212. -TEVA Pha rmaceudca l213. - M in n eso t a M in in g

214 . - Dan ah e r215. - Emerson Electric

216. G,E.

2t7. - United Technologies

2 18 , - Accenture Sold 02/25/09 J(part)

219." - Adobe

220, - Automated Data Processing

221. - Intel

Value Me~od C~es Q =Apprai~ R ~ost (Real ~tate Only) S =~se~mcr , t T =C~h Mark~(See Column C2) U =B~k Value V :,Oth~ W ~ F~t i~ ted


17/27

F I N A N C I A L D I S C L O S U R E R E P O R T r~ame or~*r,on Reporting [ DateofReportP a g e 1 7 of 27 r ~ W r ~ A N , a on o. I 0 5 / 1 1 / 2 0 ~ 0V I I. IN V E S T l V l E N T S a n d T R U S T S - ~ . o o ~ ~ t . . , t , , , ,ocn o,~ ( In cl u d es th ee o f ,p o~ e a~ d e~ n d en t ch i l d r en ; s ee p ~ 34 - 6 0 o f f i l in g

~ N O N E ( N o r e p o r t a b l e i n c o m e , a s s e ts , o r t r a n s a c t i o ~ O................................................. ~ B . c .A. I n c o m e d u r i n g Gro~ value at end Tran sac t i o n s ~ r i n g r~ f l in g ~ r i~~ser io t ion of As~ts( includ ing t~ t ~se~) ~ re~ing ~fi~ o f r e p o g i n g p e r i o d

P l a c e " ( X ) " a f t e r ~ c h a ~ e t A m o u n t T y p e ( e .g , Value ~ Value T~e (e.g., Date ~ Vnl~ Gain [ I d e n t i t y o fexempt ~m prior disclosure ] C~I div.,mn~ Code2 [ M e t h o d bud .sen , ~d~ ~ Code2 Co~ I [ - buyer!~ller~ o r i n t . ) (JP) t C~e 3 ~demption) (JP) / trms~ti0n)

222, - IBM223. - Mic ros o f t224. - Qua lcomm Sold 051|9/09 K225. -Ai r P r oduc t s226, - Eeolab227. - MDU Resou r c e s228. - Fidel i ty In tl Fund229. - Federated Gov t . Fund Sold 02/28/09 M230. - Colches ter CT 09 3.375 Matu red 06/15/09 K

231. - CT Sta te 10 3.0232. - Br is tol 11 3~0233. - CT State I 1 3.125234. - Sou thbuD, CT 11 3 .75

235. - Wethers f ield CTI2 3 ,11 2 3 6 . - CT S ta~e 12 ~ .0

1 2 3 7 . - Jacksonville FL 12 5.375 Redeemed 07/01/09 J A( p a r t )238. - Reg ional School 12 3 .65

3 , Va l ue Mer hod C odes O =Appra i sa l R "*Cost (Rea l Esta te Only) S =Assessmen! T ~ C ~ h M a r k e t


18/27

F I N A N C I A L D I S C L O S U R E R E P O R T Na,,~e of Perso~l Reporting [ Date of ReportPage 18 of 27 NEWMAN, Jon O.[

0 5 / I 1 / 2 0 10

V I I . I N V E S T M E N T S a n d T R U S T S - ~,,.ome. ~u~. ,ro~,a~on, a,d,~,~, o/,~ .... o~ de~nden, chil~en; ~e p p . 3 4 - 6 0 of filing i~truetions.)NONE ~o reportable income, assets, or transactions.)

~ s c r i p t io n o f A s s e ~ ~ [ n c om e d u r i n g Gros s value a t end( includ ing t r a s t ~ sets ) r~.ing pefi~ of r~aing peri~Ptace"(X)an ..... h~set Amoont T~e(e.g,. V al ue ] Value T~e(e,g., DaZ [ Value ~Gain / I d en t i t yo fC~e 1 div.,~nt. C od e 2 [ Meth~ buy.~ll, ~d~[ Code 2 ~Code 1[ buyer /~l l e r( J -P) , Code 3 ( i f p r iva tet~saction)

239. - N.J. State13 5,7 R~eemed 05t01/09 J A

240. - Or~ge CT 13 3.4

241. - Easton CT 13 3.625

242. - University CT 14 3,7

243. - Glastonbury CTI4 3.75

244 . - ATT245 . - The r r a o F i s he r246 . - Gene r a l Dynami c s247 . - T I Rowe P r i c e

248 . - Den t sp ly249. - Telefon ica250. - Kraft Foods Sold 05112/09 K

251. -App l e252. - CT ST 14 3,02 5 3 . - CT HSG, 17 5.350

254. - Noble

2 5 5 . - Oracle

I. In com e Ga in Co de.s : A ~$ L000 o r le~s B = $ 1 ,001 . $ 2.5 00 C =$ 2.5 01 - $ 5 ,000 D =$5 ,0o i - $15 .000 E =St 5 .001 - $30 , t~O(Sc Colun~rm B I and D4~ F =$50 .001 - $ 100 ,000 (i =$ 1 00.00 t - $ 1,000,000 FI 1 =$ 1.000.00 t - $ 5.000.000 t l2 = More tha~ $5 ,000,000

2 . Va l ue C odes J = $1 5 .000 o r less K =$1 5 ,001 - $ 50.000 L =$5 0.O01 - $ 1 00,000 M =$ !0O,O01 - $250.090(See Co lm nn s C I a n d D3 ) N ~ $25 0.001 - $ 500,000 O =$ 500.001 - $ 1,000,000 P I = $ 1.000,001 - $ 5,000.000 P 2 =$5 ,O00.001 . $ 25 ,000,000P3 ~ $25.O~RI.00t - $50,b~)0,000 P4 = Mo t e t h a n $5 0 .0 00 .0 00

3 . Va l uc Me thod C odes Q =Ap p ra is a l R --Co st (Rea l Esta te On ly ) S = A s s e s sme n t T = Ca s h Ma rke t


19/27

F IN A N C I A L D I S C L O S U RE R E P O R T N ameof Person Report|rig D a te o fRe po r tPage 19 of 27 N E W M A N , ao n O . 0 5 / I 1 1 2 0 1 0

N O N E ( N o r e p o r t a b l e i n c o m e , a s s e ts , o r t r a n s a c t i o n . )A. B. C, D.

Descr ip t ion o f A~ts lnc~e during Gros s value a t end T r a n ~ t i o n s d u r i n g ~ p o ~ i n g ~ r i ~(including ~st ~ts) re~ing period of r~rfing pefi~

e x e mp t f r om p r i o r d i s c l o s n r e Co~ l ] div . , r en t , Code 2 ~ Method buy, sell, m~d*~ C~e 2 Code ! [ buy~ / seller(A-~ or in t . ) ( J -P) [C~e3(Q_W)

r ~ em p t i o n )(JP) all (A-H)....... L[! ..................tmnsaction)(if private~ ]

256. - CVS B u y 02/23 /09 K

257. - Niko CI~s B B u y 05 /1 2/09 K

258. - Southington CT 18 3.5 B u y 07. /02 /09 L

259. - Peoples United Fin. Buy 0 7 / 13 / 0 9 K

260. - Research in Motion Buy 0 7 / 13 / 0 9 K

261. - CT High 17 3.85 B u y 081 06 /09 K

262. - New Alliance Bank B u y 02/28 /09 M

263. ~ TRUST #4 E l n t . / D iv . Pl T

264 . - S t aples

265. - Target266. - Pepsico

2 6 7 . - Procter & Gamble

2 6 8 . - ExxonMobil

2 6 9 . - Noble

~ 270. - JP Morgan Chase

271. - Ban k o f New Yo rk

272. - Wells Fargo

C o l u m n s B I a n d D4) F =$50,001 - $|00,000 G =$1@.~1 - $ I,~,~ HI =$I,~,~1 - $5,~,~ H2 =Mo~ ~n $5,~,~

............................................................................................................................................................. ]


20/27

F IN A N C I A L D I S C L O S U R E R E PO R T N a m e e f P e r s o a R e p o r t i n g ] D a t e o f R e p o r tPage 20 of 27 N E W M A N , J o n O .I

05/1112010

V I I . I N V E S T M E N T S a n d T R U S T S -N O N E (N o reportable income, a~sets, or transactio~O

A. T B. C, ~ D.D e ~ d p t i o n or Assets [ I n c o m e d u r i n g Gross value at end [ Tr~ctio~ during reposing ~dod

e~ "(x }" ~a~ ~h ~exempt from prior di~losure [ C~e } ] div., rant. buy, roll,(A-H) ~ orint.) ( J - P ) Code3[ re0~ption) [ ] (J-P) ] (A-H) ] (ffpfivate

~ 7 ~ . - A ~ t t L a b s2 7 4 J - J o h n s o n & J o h n s o n

2 7 5 . " M e d t r o n i c

276. - Schein Henry

277. - TEVA Pharmaceut ical

" ~ 7 8 . - Danaher

2 79 . - E m e rs on E l ec t ri c

280. - G.E .

281. - United Technologies

282. - Aceenture S o l d 02/25!09 J(pa~)283. - Autom atic Data Processing

28 4. - Cis co

285. - lntel~86 . -IBM287. - M i c r o s o ft288. - Ecolab

289. -MDU Resources

1 . h l com e Ga i n C tx t c s : A =$1.000 or less B = $ 1 ,001 - $ 2,5 00 C =$ 2.5 0! - $ 5 .0~ O D = $ 5 .001 - $ 1 5 ,000 E =$15.001 - $50,000 - -2(So: Co lu mn s B I and D4 ) F =$ 50,001 - $ 100,000 O =$ 100,001 - $ 1,000.000 ! l I ~ $ 1. 00 0. 00 1 - $ 5 ,0 00 .0 00 t t2 = M o re t ha n $ 5 .0 00 ,0 00

2 . Va l ue C odes J .=$15,1)00 or le~s g =$15,001 - $50.000 L =$ 50,001 - $ 100.000 M =$ 100.001 - $ 25 0.000(See C ol uam s C I a nd D31 N -$250 .001 - $5 00 .090 O =$51YO.001 - $1.000.000 P I =$t.O00,001 - $5.O00.000 P2 -$5 .000,001 - $ 25 ,000,000

P 3 =$ 25 .000.001 - $5 0,000,000 P 4 =M o~ c th a n $ 50,0~ 0,000 [3 . Va l ue Me thod C odes Q ~ A p p ra i s a l R --Cost (Rea l Esta te Only) S =As.se.&sment T = Ca sh Ma rke t

(See Co lu m r~ C2) U =Bo o k V alue V =Othe r W =Est ima ted I


21/27

lName of Person Reporting Dote of ReportFINANCIAL D I S CL O S URE R EP O RT[ N E W M A N , J o . O .

P a g e 2 1 o f 2 7 0 5 n 1 / 2 0 1 0V I I . IN V E S T M E N T S a n d T R U S T S - i. c o~ , , , v a l u e , t r a n s a c t i o n s a n c l u d e s t h o s e o f s p o u s e and de~ndent chlldren: see pp. 34-60 of flllng lns~uaionx.)

NONE ~o reportable income, assets, or transaction.)A . B . c.~scdpt i0n of As~ts I n c o m e d u r in g Oro~ value a t ~d( includ ing t~ t ~s e~) reporting pcri~ of r e~ i ng pc r i ~

P lace " (X)" a f t e r e~h ~ se t Amou n t Typ e (e . g . . Va lueC o d e 1( A - H ) o r i n t . ) ( J - P )

j 2 9 0 . - D o d g e & C o x I n t l F u n d

2 9 1 . - F i d e ~ t y I n t l

292 . - Fede ra t ed Gov t . Fu nd Sold 02/28/09 L293, - Colchester CT 09 3 .375 Matu red 06/15/09 K294. - CT Sta te 10 3.0295, - Bxi s tol CTI 1 3 .0296. - CT Sta te 11 3.8297 . - Weth ers f ie ld CTI2 3.1298. - CT State 12 4.0 ....299. - Regiona l School 12 3.65300 . -Orang e CT13 3 . 4301 . - Ea s t on CT I3 3 .625

"~02. "- University CT 14 3.7

303 . - G las to n bu ry CT 14 3 . 75304. - U . S , Treasury18 9.0 i

305 . - Some r s C ~ 4 .0 10

~06. - CT State 11 3.125 ....

i (See C ol tlm ns B I a nd D4 ) F =$50 .001 - $100,000 O =$1 00,001 - $1,000,000 H I =$ 1.000,00t - $5,000,009 H2 =Mo re lhan $5 ,000,000i 2. V a luc Code . s J =$15 ,000 or lcss K~ $15 ,0OI .$ 50 ,000 L =$50 .001 - S I00 , ( h30 M=$ 100 ,0~I - $250 ,00~(Scc C ol um ns C I a nd 03) N =$250 .001 - $ 500,000 O =$500,~)1 - $1 .0D0,IRXI P I =$ 1 .0 00 ,0 01 - $5 ,0 00 ,0 00 P 2 =$ 5 ,0 00 ,0 0t - $ 2 5, 1 ~0 ,0 00 P3 =$25 .000 .001 - $50 .000,00 t1 P4 =M ore than $50 .000,0003 . Va l ue Me th~d C odes Q - App r a i s a l R =~s t ~ R ca l E s la t e Only ) S =Asscssmcnt T =Cash Marke~(See C ol um n C 2) U ~B ook Va l ue V - - ~ q ~ h c r W =Est imaled


22/27

F IN A N C I A L D I S C L O S U R E RE P O R T Nam e of Persou Report ing ] DateofReportPage 22 of 27 NEWMAN, Jan O.[

05 / 1 1 1 2 01 0

N O N E (No reportable income, assets, or transaction.)De~r ip t ion o f Assets ] Income du r ing [ Gross value at end Tmn~tion~ duriog ~ing period( inc lud ing t r us t as s e t s )

(~) ] e) ~ O) (2) O) ( 2 ) ~ ( 3 ) ~ ( 4 ) (5)Place"(X)"aacreaehas~, [ A m o u n tI T~e(c.8., ~ Value[ Value I T~e(e.g., Da ~ [Value: Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i ~ lo s u ~ C~ I die., r~t, Code 2 [ M etho d bu y , s e ll, ~d~ ~ Co~ 2 [ Code I b~er/se!ler(A-H) or int.)[ ( J - P ) [ C od e 3 [ r ~ e m p , i o n )2 (2-P~2(A-H)

(ifp~va,~

307. - ATT

308. - Theme Fisher

309, - Ebay Sold 02 /20109 J3 I0. - G e n e r a l ~ n a m i c s31 I. - Oracle

[312 . - Kra~ Foo~ Sold 05 /~2 /09 K313. - Apple

314. - D en t sp l y B u y 02/06/~9 J --3 1 5 , - Nik CI~ B B u y 05101/09 J316. - South ington C T I 8 3.5 B u y 07102/09 L317 , - New Alli~ce Bank B u y 02 /28 /09 L3 1 8 . ~ IRA consisting of Stoc~ and Co,orate E Pl TB o n d s :319. - W~lt Disney

~20. - MCDonalds

321. - Staples

322. - Pepsico

323. -Procter & Gamble

/See Cohlmns CI a~ D3) N =$250.~1 - $5~ .0~ O =$ 5~ , ~ 1 - $ 1 , 0 ~ .0~ Pl =$1.~ ~1 - $~ 0~ 0~ P2 =$5 ~ 000 t - $25 ~0 ~ l


23/27

F IN A N C I A L D I S C L O S U R E RE P O R T Same of" P . . . . R e p o r t | r i g [ Date of ReportPage 23 of 27 N E W M A N , J o n O , IVII. INVESTMENTS and TRUSTS -

HONE (No reportable income, assets, or transactio~3A. [ B . C. D.~f i p t i on o f As~ t s I n c o m e d u r in g G~ss value at end Tran sacd o ms d u r i n g ~ in g ~ r i o d(including t~sl asse~) . rep osin g perio d o f r~o rtin g p erio d

Place " (X)" af l~ ~h as~t " [Amount [ T~e (e.g.. Value Valu e T~e (e.g, 1 Da~ ] Value ~ Gain [ I d e n t i t y o fexem~ from prior discl~urc [ Co~ 1 [ d i v . , f e n ,. C o d e 2 M e m o d b u y , s e l l , [m~d~ [ Cod~ 2 I C~e I [ bwer/seller~A H) or mt) J-p) -(Q-W) , ~ .... ~ ~ ..... ~ ~sactlon)324 . - ExxonMob i l325 . - Bank o f New York32 6 . -J ohn son & J ohn son327. - Medtron ic

328. - Emerson Electr ic329. -G .E .330. -Aumrna t edDam3 31 . - In tel

332. - I .B,M,333 . - M ic ro so f t

334. - Oracle335. - Ecolab336 . - Ver i zo n

337. - Federated Gov t . Fund Sold 02/28/09 L338. - Morgan Stanley 09 3,875 Matu red 01/15/09 K339. - Anheuser Busch 10 5,6253 4 0, - P ru d en t ia l 1 I 5 ,1

(See Co lu mn s U I a n d D4 ) F ~ $5 0.0OI . $ I 0 0 , 0 0 0 G ~$100.0OI - $ I .O00.000 [11 =11.000 .001 - $5 ,000 .000 H2 =Mo re than $5 ,000,000 iV alue Cod~ J = $1 5 .000 o r le~ s K =$1 5 .001 - $ 50.000 L =$50 .001 - $ 100,900 M =$ 100,001 - $250 ,000 [(S~J Cohlll~l~18 C[ ~,nd D3) N ~$ 25 0,001 - $ 500.000 O =$ 500,001 - $ 1,000,000 PI =$ 1,000,001 - $5 .000,000 P2 =$ 5 ,000,001 - $25 ,000,000 !3 "4 25,000,001 - $50,000,00n P4 =M ere than $50 .000 .009V a l t i c M e t h o d C t ~ e s Q =Appra i sa l R = C o s t ( R e a l E s t a t e 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 I(See C ol unm C 2) U = B o o k V a lu e V = O l h ! W = E ~ t i m e t ed |1


24/27

F IN A N C I A L D I S C L O S U R E RE P O R T ~ , , , ~ o f r e . o . R e p o , ~ t , , g!

~ . t ~ o f a , p o .

[Page 24 of 27 N E W M A N , J a n O . 05/I 1/2010

VlI . I N ~ S T ~ N T S a n d T R U S T S -~.~o ~. ~. t . , , . . .. ,do, . a.~t~ . , t~o. . o/ ,r . . . . . ~ decadent childr~ see p p . 3 4 -6 0 of flUng i n s ~ u a i o n ~ )N O N E (No rearable income, assets, or transactions.)

A. E B. C, D. IDes~ption of Assets j Income d~ring Gross value at end Tr~saetions during ~rling period(including trust ~s*ts) ~ ~po~ing p~i~ of ~po~ing period ..... ~ ...................... ]V a l u el a c e " ( X ) " after each asset A m o u n t T ~ ( e .g . , Value [ T~e(e.g., I Date I Value I Gala Identity of lexempt from prior dlslosure t Code I air., real C~* 2 ] Method b u y . ~ 1 1 . lm~ I Code 2 I Code I buy~ll~ I

341~ - Go ldman Sach s 12 5 .73 4 2 . -K i m ~ d y c1 ~ " t 3 5 . 034 3 . - P i t n ey Bo wes 14 4 .875

3~. - Abbot t Labs345. - United Technologies346, - Danaher Co~.347. - ATT348. - Thermo Fi she r349. - Dodge & Cox Fund350. - C V S351. - G.E. 14 5.65352, - Ta rg e t353. - Walt Disney 11 5 .7354 . - Accen tu re355. - Bel l Sou th 1 6 5.2

356 . - L o wes 15 5 .0

357 . - Fidelity Sold !04/08/09 J

Income Ga in Code.s : A =$1.000 or less B = $1 .0 0 1 - $ 2 . 5 00 C =$2 .501 - $5 ,000 D =$5 ,001 - $15 .090 E =$15 ,001 - $ 50 ,000( Se e Co lumn* H I a n d D 4 ) F =$ 50.001 - $ 100.000 G =$ 100,001 - $ 1,000.000 HI ~$t ,000.001 - $~.000,000 H2 =More thaa

P3 ~$25 .000,001 - $50 .000 .000 P4 =Marc than $50 ,0~0 .009


25/27

Iame of Person Reporting Data of ReportF[N A N C LA L D I S CL O S U RE R E P O R T[ N E W M A N , J o n O .

05/11/2010age 25 of 27

V I I . I N V ESTM EN TS a nd TRUSTS - i h , o~ ,~ ,N O N E (No r ep or tab l e i ncome, asse ts, or t r ansac t i ons . )

A, B. l C. D.Dcser ip l io~ . of As se t s Income during I Gros s v a lu e a t en d T ran s ac t ion s d u rin g rep ort in g p eriod( in c lu d in g I r u s t a s s e t s ) r e p o r t in g p e r io d [ o f r e p o r t i n g p e r i o dPlace"(X)" aft . . . . h a s s e t Amount Type (e.g., / V a l u e I Value Typ e ( e .g . , i Da te i Va lue I Gain I I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e Code I ! div,,rent, ] C o d e 2 I M e t h o d buy, se l l , lmm/d d!yy ] Code2 [ Code I I b u y e r / s e l l e r(A-H) [ o r i n t . )

I ( J P ) { ~:-W) Code3redemption)[ [ ( I=P) { (A-H) ] t .....ifprivatelion)

358 , - Caterpillar 15 4.75359. - Bank of America 16 5 .75

360. - Goldm an Sachs M!C Fund B u y 04/08 /09 J361. - T E V A B u y 10/13/09 J3 62 . - N ew A ll ia nc e B a n k B u y 02/28/09 L

1. Incon~Gain Cod~: : A =$1.000 or less El =$1,001 - $ 2 ,500 C -$2.501 - SS.~0 D =$5.001 - $!5,~ ----~-~.~- ---]

3. Val~ Mclh~d C~cs Q =Appr ~ i~ l R =Cost (Real Estate Only] S =Asscs sn~cnl T = C ~ h M a r k e tI S c e C o lu m n C2) U = B ~ k V a l u e V ~lher W =~ti~ted


26/27

[Namef 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 N A N C I A L D I S C L O S U R E R E PO R T ] NEWMAN,.Ion O.0J/I 1/2010age 26 of 27

VII I . AD D ITION AL IN FORMAT ION OR E X PL ANAT ION S . a ,,~ .t . ~,. , of S~o.~Par t VII , l ine 85: Ident i f ica t ion of Trus t chan ged per ins t ruc t ions .Part V II, line 135: Wyeth sha res were exchan ged in merger fo r shares o f Pfizer and cash . See also l ine 192.Par t VII , l ine 152: The en t ry fo r Windsor CT ~ 10 4 .0 appeared as a duplica te ent ry on lines 162 and 163 of Pa r t VII of my 2008 repor t , and now ap pears as a s ingleent ry on l ine 152 of th is repor t .Part Vl l, l ine 155: In terest rate is 3 .75 ; i t wa s inco rrectly l is ted prev iously as 2 .9 .Part VII, l ine 192: Pfizer shares w ere d ist r ibu ted in connect ion w ith the merger o f Wy eth in to Pfizer . See al so l ine 135.The entry for Thetmo Fisher , wh ich was l i s ted in Par t VII , l ine 192, of my 2008 repor t , has not been l i s ted on th is repor t because tha t ent ry wa s incorrec t ; ThermoFisher i s an asse t of Trus t No. 3 ( l ine 245) , T rus t No. 4 ( l ine 308) and the IRA account ( l ine 348) , and wa s not pu rchased for Trus t No. 2.The ent ry for Ecolab , which w as l i s ted in Par t VI! , line 268, of my 2008 repor t , has not been l i s ted on th is repor t because the ent ry on l ine 268 w as an addi t iona lpurchas e , which shou ld have appeared on the ent ry for Ecolab on l ine 236 of the 2008 repor t . Ecolab now appears a s a s ingle ent ry on l ine 226 of th is repor t .


27/27

F IN A N C I A L D I S C L O S U R E R E PO R T N . m e o r V e r , o n a e p o . i .g[

Date of Report

1Page 27 of 27 N ~ W M A N , J on O . 0 5 / I | / 2 0 1 0

I X . C E R T I FI C A T I O N .I c e r ti f y t h a t a l l i n f o rma t i on g i ven above ( i nc l ud i ng i n f o rma t i on p e r t a i n i ng t o m y s pou s e a nd m i no r o r dependen t c h i ld r en , i f a ny ) i sa c cu r a t e , tr u e , a nd c om p le t e to t h e b e s t o f my know ledge a nd b e li e f , a nd t h a t a ny i n f o rma t i on no t r e po r t ed wa s w i t hhe ld b ec au s e i t me t a p p l i c ab le s t a t u t o r yp rov i s i ons pe rmi t t i ng non-d i sc losu r e .! f u r t he r c e r ti f y t h a t e a r ned i ncome f r om o u t s i de emp loymen t a nd h ono r a r i a a nd t he a c cep t a nce o f g i f t s wh i c h h av e b een r e po r t ed a r e i ncompliance wi th the p rovi s ions of 5 U.S.C. app . 501 e t . seq . , 5 U.S.C. 7353, and Judic ia l Conference regula t ions .

NOTE: ANY INDIVIDUAL WHO K NOWINGLY AND W ILFULLY FALSIFIES OR FALLS TO F ILE THIS REPORT M AY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S .C . a p p . 104 )

F I L IN G I N S T R U C T I O N SM ai l s i g n ed o r i g i n a l a n d 3 a dd i t io n a l c o p i e s t o :

C omm i t te e o n F i n anc i a l D i s c lo s u r eAdmin i s t r a t i ve Of f ice o f the Un i ted S ta tes Cou r t sSui te 2-301O ne C o lumbu s C i r c le , N .E ,W as h i n g t o n , D .C . 205 44

Jon O Newman Financial Disclosure Report for 2009

Documents

Transcript of Jon O Newman Financial Disclosure Report for 2009