Leonard I Garth Financial Disclosure Report for 2010

8/3/2019 Leonard I Garth Financial Disclosure Report for 2010

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AOIORer. 1/2011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10 Report Required by the Ethicsin Government Act o fl978(5 U .S.C. app. ,~~ 101-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t, m i d d l e i n i t i a l )GARTH, LEONRD I .

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magis t ra te judges ind ica te fu l l - o r p ar t - t ime)

SENIOR CIRCUIT JUDGE

7. C h a m b e r ~ o r Off i c e Add re s sU.S. Cour t o f Appea l s - Rm . 5040MKL, J r . Fed . Bldg . & U.S. Cour thouse50 Walnu t S t r e e tNewarl , NJ 07102

2 . C o u r t o r O r g a n i z a t i o nTHIRD CIRCUIT COURT OF APPEALS

3. Date of Report03/30/201 I

5a. Report Type (check app ropr iate t )pe)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n fo r m a t io n c o n t a i n e d i n t h is R e p o 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 s , i n m y o p i n i o n , i n c o m p l i a n c es s i th app licable laws and regu la t ions .

6. Report ing Per iod01/01/2010

to12/31/2010

Reviewing Officer Da t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe ,! Complete all parts,checking the NONE box for each pa rt where you have no reportable information. Sign on last page.

I . P O S I T I O N S . t R o p o ~ i n ~ i , d ~ v ~ a u u t o n t y ; s , , ~ , ~ , . 9 - t 3 o [ ~ t i n g i n s ,r u c t ~ o n s . )[~] N O N E (No reportable posit ions.)

POSITION NAME OF ORGANIZATION/ENTITY

2.

3.

4.5.

I I . A G R E E M E N T S . m e p o . i n ~ ~ . d ~ v i d . a ~ o . ~ ; s e ~ r , . ~ - ~ 6 of filing instructions.)~1 N O N E ( N o reportable a greements.)

DATE PARTIES AND TERM S


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FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r so n R e p o r t i n gGARTH, LEONRD I.

D a t e o f R e p o r t03/30/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investme nt Income~] N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE

2.3.4.

INCOME( y o u r s . n o t s p o u s e s )

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 you were ma rried during any portion of the reporting year , complete this section.(Dollar amount not required excepl for honoraria.,)~] N O N E (No reportable non-investment income.)

DATE SOU RC E AND TY PE1 .2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment(Includes those to spouse and dependent children," see pp. 25-27 of filing instructions.)~ (No reportable reimbursements.)ON E

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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Nam e o f P e r son Repo r t i ngGARTH, LEONRD I.

D a t e o f R e p o r t03/30/2011

V . G I F T S . (Includes those to spouse and dependent children; seepp. 28-31 o.filling instructions.)N O N E (N o repor tab l eg~s . )

SOURCEI.2.3.4.5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a . c lu d e s t h o s e o l s p o u s e a n d d e p o . d e n t c h i l d r e n ; s e e p p . J 2 - J 3 o f ~ l i ~ g i n ~ , ~ c , ~ o ~ . )D N O N E (No reportable liabilities. )

2.3.

4.5.

CREDITORGuardian Li fe Insura nce Co . , whole l i feCrown Li fe Insuran ce Co. , ord ina ry l i fe

DESCRIPTIONLoan a ga i n s t c a s h v a l u eLoan a ga i n s t c a s h v a l u e

VALUECODEJ

J


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N a m e o f P e r so n R e p o r t i n gGARTH, LEONRD I.

D a t e o f R e p o r t03/30/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income dur ing Gross value at e n d(inc lud ing trus t asseLs) reporting period of reporting period

(1) (2) (I) (2)Place "(X)" after each asset Am ou nt Ty pe (e.g., V a lu e V alu e

e x e m p t f rom pr ior disclosure C ode I div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) C ode 3(Q-W)

(1 )Type (e.g.,buy, sel l ,

redempt ion)

Tran s a c t i o n s d u r i n g r e po r t i n g p e r i o d

(2) (3) (4)D a te V a lu e G a i n

m m /d d/yy Cod e 2 Code 1( J - P ) (A-H)

I d en t i t y o fbu y e r / s e l l e r

( i f p r i v a t et r a n s a c t i o n )

I. General Electric Common B Dividend L T

2. AT &T In c . Comm on A Div idend K T

3. Exxon Mobil Corp. Common B Dividend K T

4. Israel Bonds A I n t e r e s t J T

5. Israel Bonds A I n t e r e s t Redeemed I 0/I 0/I 0 J A

6. Verizon Common A Dividend

7. Chase B ank Checking

1 8 . Dreyfus Growth & Income (IRA) A Dividend

9. AARP Growth & Income Fund (DWS A DividendInvestments)

1 0 . Dreyfus Growth & Income (IRA) A Dividend

II. NuveenReinvestme nt Acct (CT M un) C I n t e r e s t

1 2 . Phoenix Common A Dividend

J

J

J

LJ

TTTTT

Cl o s e d 10/21/10 A See Part VIIi

1 3 . Comcast Common A Dividend J

1 4 . WachoviaChecking

1 5 . AlcateI-Lucent Comm on

1 6 . Capmark B ank Utah-CD (Y)1 7 . Discover Bank DE - CD (Y)

None

None S o l d 07/01/10 A Open Market

See Part V IIISee Part V III

I.Income Gain Codes :(See Co lum ns B I and I )4)

2.Value Codes(See Columns CI and D3)

3.Value Method Codes{S e e C o l u m n C 2 )

A =$1,000 or IcssF =$50.001 - S 100.000J =$15,0110 or lessN =$250.001 - $500.000P3 $25.000.001 - $ 50.000.000Q =App ra i sa lU =Book Value

B =$1,001 - $2,500G =$I00,001 - $1,000,0~0K $15.001 - $50.000O =$500.001 - $ I.OO0.000R -Cos t (Rea l Es t a t e Only )V O~ hc r

C =$2,501 - $5,000H 1 = $ 1,000,001 - $5,000,000L =$50.001 - $ 100,000PI =$1,000,001 - $5,000,000P4 =More than $50,000,000S =As s cs smcn lW =Es t imat ed

D =$5,001 - $15,000H2 =More than $5.000.000M =$100.001 - $250,000P2 =$5,000,001 - $ 25,000,0001 Cash Marke l

E ~ $ I 5,001 - $50,000


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N a m e o f P e r s on Repor t ingGARTH, LEONRD 1.

Dale of Report03/30/201 I

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 , . o , , , a l u o , t r a n s a c t io n s (Includes those of spouse and dependen t children; s e e p p . 3 4 - 6 0 of filing instructions.)D N O N E (No reportable income, assets , or transa ctions.)

A. B. C.D e s c r i p t i o n o f A s s e t s Income during G r o s s v a l u e a t e n 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

O) (2) O) (2)Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e

exempt from prior disclosure Code I div. , ren t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

1 8 . D ora l l Bank P R-C D (Y )1 9 . Eag l e N a t iona l Bank o f Mi am i F L-C D (Y )20 . Fi r s t Na t iona l Bank o f Omaha - CD (Y)21 . W as h i ng t on Mu t ua l Bank N V - C D (Y )22 . Prof i c i o Bank U tah (Y)23 . P a rk A v enue BankN Y (Y )24 . I n dym a c Ba nk FSB, CA ( Y )

25 . Eurobank PR (Y)26 . V i r tu s l nv e s tmen t P a r t n e r s , In c . C om mon27 . Fa i rPo i n t Com m un i c a ti o n s Com m on28 . G ui l f o r d S av i ng s Bank , C TC D29 . ING Direct CD30 . M org a n S t a n l e y Ba nk CD31 . M org a n S t a n l e y Ba nk CD32 . G oldman S a ch s C D

33 . GE Money B ank, Sa l t Lake Ci ty , UT CD34 . JB Hanaue r Fede ra t ed Money M arke t (Y)

A Interest K TA Interest K TA Interes t K T

A Interest K T

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o dO) ( 2 ) (3)

T y p e ( e . g ., D a t e Valueb u y , s e l l , m m / d d / y y C o d e 2r e d e m p t i o n ) (J-P)

So ld 07/01/10 J AS o l d 07/01/10 J A

R e d e e m e d 0 3 / 0 1 / 1 0 O AR e d e e m e d 09/01/10 K A

(4 )G a i nC o d e I(A -H )

(5 )I d e n t i ty o fbuyer/seller( i f p r i v a t e

t r a n s a c t i o n )

See Pa r t VIIISee Pa r t VIIISee Pa r t VIIISee Pa r t VIIISee Pa r t V l l lSee Par t VII iSee Pa r t VIIISee Pa r t VIII

See Pa r t V l l lSee Part VIII

See Part VIII

I. In co m e Gain Co d es : A -$1,000 o r less B =$1,001 - $2.500 C =$2,501 - $5,000 D =$5,001 - $15,000(5c Co lumns B I and D - l ) F =$50,001 - $100,000 G =$100,001 - $1,00~,0~)0 HI =$1.0~.0~1 - $5.000.090 H2 =More than $5,000,000

2 . Value Codes J =$15,0~0 or less K =$15,001 - $50,000 L = $ 5 0 . 0 0 1 - $ 1 0 0 .O O 0 M -$ 100,001 - $250,000(See Co lumn s C I and D3) N =$250.0~1 - $500,0~0 O = $5 00 ,0 ~1 - $1.0 0~ .0 00 PI = $1.0 00 .0 01 - $ 5,0 00 ,0 00 P2 =$5,000.001 - $25,000.000p3 = $25,000.001 . $50.000.000 P4 More th an $50.000,000

3 . Value Method Codes Q =App ra i sa l R =Cost (Real Estate Only) S =As s es smen t ] =Cash Marke t(S~ :c Co l umn C2) U =Book Value V =Other W =Es t imal cd

E =$15.0~ I - $50.090


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N a m e o f P e r s o n R e p o r ti n gGARTH, LEONRD I .

D a t e o f Report03/30/201 I

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 . ~ e , , a t u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction~.)NONE (No reportable income, assets, or transactions.)

D esc 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( inc luding trust a s s e t s ) r e p i n i n g p e r i o d

(l) (2)Place "(X)" after each asset A m o u n t Type (e.g.,exempt from prior disclosure Code I div. , ren t ,(A -H ) o r i n t . )

G ros s v a l u e a t e ndo f r e po r t i n g p e r i o d

(I) (2)V a l u e V a l u e

C o d e 2 M e t h o d(J-P ) C o d e 3

( Q - W )

(i)T y p e ( e . g . ,b u y , s e l l ,

redemption)

Tran s a c t i o n s d u r i n g r e po r t i n g p e r i o d

(2) (3) (4)Date V a l u e Gain

m m /d d /y y C od e 2 Co d e 10 -~) (A-~)

I d en t i t y o fb uy e r / s e l l e r

( i f p r i v a t et r a n s a c t i o n )

35 . Guardian Life Insurance A Dividend J T36 . C r o w n L i f e I n s u r a n c e ( X ) A D i v i d e n d J T

37 . Guilford Savings B ank A I n t e r e s t

38. RBC Inves tments D I n t e r e s tJ

J

TT

39 . Ally Bank A I n t e r e s t M

40 . ING Direct A I n t e r e s t J

41 . Frontier Commu nications (Y)

TT

So ld 07 /01 /10 A See Part VIII

1. Income Gain Codes : A =$ 1,000 or less B =$ 1,001 - $2,500 C =$2,501 - $5,000 D =$5.001 - $15.000( See Colum ns B I and D-l) F =$50.001 - $ 100,000 G =$100,001 - $1.000,0~0 H I : $ 1. 00 0. 0~ 1 - $ 5. 00 0. 00 0 t l2 - Mo r n t ha n $5 .0 00 .0 OO

2. Value Codes J =$15,000 or less K =$15,001 - $50.000 L $50,001 - $100.000 M -$100.001 - $250.000( S e e C o l u m n s C I a n d D 3 ) N =$ 250.0OI - $500,0~ 0 O = $500,001 - $1,0OO,000 PI =$1.000.001 - $5.000.000 P2 =$5.000,0OI - $25.000.1)00

P3 =$25.000.001 - $ 50,000.000 P4 =More than $50,000.0003 . Value Method Codes Q =App ra i sa l R :Cosl (Real Estate Only) S =As s es smen t T =Cash Marke t( s e e Colunm C2) U =Book Value V -Othe r W =Es t imat ed

E =$15 , 001 - $50 , 000


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N a m e o f P e r so n R e p o r t i n gGARTH, LEONRD ! .

D a t e o f R e p o r t03/30/201 I

V III. ADDITIONAL INFORMATION OR EX PLANATIONS. tlmticatepar~ofreport.)

P a r t V II # 7 In O c t obe r 2010 , I c lo s e d ou t my che ck i ng a c c oun t i n C ha s e Bank a nd t r a n s f e r r e d a l l t h e f und s t o t h e G u i l f o r d S av i ng s Bank (S e e # 37 ) .Part VI i # 16 - 25 I tem s 16 - 25 inc lu s ive, were a s se t s o f the Es ta te l . .. .. .. .. .. .. ~ which w as c lo s ed in Oc tober 200 9.Par t VII #28 The Gui l ford Sav ings Bank CD m atured in M arch 2010 a~d the pr inc ipa l was t rans fe r red to the Al ly Bank #39 .Par t VII #29 The ING CD ma tu red i n Sep t embe r 2010 and the p ro ceeds xve re t r ansfe r r ed t o ING Di rec t Savings Accoun t #40 .Par t VII #34 JB Hanauer was t aken o ver by RBC Inves tment s ( s ee #38)Par t VII #41 I don t know how or when I acqui red Fro nt i e r Com m unica t ions . I t was a lways wor lh l e s s than $1,000 and I so ld i t th roug h RBC Inves tment s toge the rw i t h A l c a t e I - L u c e n t ( # 1 5 ) , V i r t u s ( # 2 6 ) a n d F a i r P o i n t ( # 2 7 ) .


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Name of Pe rson Repor t ingGARTH, LEONRD 1.

Date of Report03/30/201 t

IX . CERTIFICATION.1 c e r t i fy t h a t a l l in f o r m a t i o n g i v e n a b ov e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s po u s e a nd m i no r o r d e p e nd e n t c h i l d r e n , i f a ny ) is

a c c u r a t e , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s s v i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .! f u r t h e r c e r t i f y th a t e a r n e d i n c o m e f 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 t s 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 om p l i a n c e w i t h t h e p r ov i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t. s e q ., 5 U . S .C . 7 3 5 3 , a n d J u d i c i a l C on f e r e n c e r e g u l a t i o n s .

Signatu re: S/LEONRD I. GARTH

NOTE: ANY INDIVIDU AL W H O KNOW INGLY AND W ILFU LLY FALSIFIES OR FALLS TO FILE THIS R EPOR T MAY B E SU B JECT TO CIVILAND CRIMINAL SANCTIONS (5 U .S .C. app. 104)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Leonard I Garth Financial Disclosure Report for 2010

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