Stanley Marcus Financial Disclosure Report for 2010

8/3/2019 Stanley Marcus Financial Disclosure Report for 2010

1/8

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Reporting (last name, firs t , middle init ial)Marcus, Stanley

4. Ti t le (Ar t icle 111 judges indicate act ive or sen ior s ta tus;magistrate judges indicate full- or part*time)U.S. Ci rcui t Judge - Act ive

7 . Ch a mb e rs o r Of f ic e A ddre s sU.S. Cour t of Appea ls99 N E 4 th S t r e e t , R o o m 1 2 3 5M ia m i , F L 3 3 1 3 2

2. Court or Organization11 th Circui t Cour t o f Appea ls

5a . Report Type (check appropria te type)

] Nominat ion , D a t e[] Initial [] Annual [] Final5b. [] Amended Report

3. Date o f R e p o r t4/26/20 i I

6 . Re p o r t i n g P e r i o d01 /01 /201 0

to19/31/2010

8. On the basis of the informat ion conta ined in this Report and anymod if ica t ions perta in ing there to , i t i s , in m y opin ion , in compliancew ith a pp l i c a b le l a w s a nd re gu la t ions .

Re vi e wi n g O f f i ce r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all 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 . R e p o , i n g i n d i ~ i d u u t o , t y ; s , ~ p p . 9 - 1 3 of filing instructions.)~] N O N E ( N o reportable positions.)

POSITION

2.

3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . R ~ p o n i n g i n d i ,i a u o t o n t y ; s ~ , ~ , ~ , . 1 4 - 1 6 of filing instructions.)[-~ N ON E (No reportable agreements.)

DATE PARTIES AND TERMS


2/8

FINANCIAL DISCLOSURE REPORTPage 2 of 8

Name of Person ReportingMarcus , Stan l ey

Date of Report4 /26/201 1

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; seepp. 17-24 offiling instructions.)A. Fl ier s Non- lnvestm ent Incom e~ NO NE (No reportable non-investment income.)

DATE SOURCE AND TYPE INCOME(yours, not spouses)1 . 2010 A d j u n c t P r o f e s s o r o f L a w - B r o o k ly n L a w S c h o o l $10,000.002. 201 0 A d ju n ct P ro fe s s o r o f L a w - S t. T h o m a s U n iv e rs ity S ch o o l o f L a w $16,500.003.4.

B . S p o u s e s N o n - l n v e st m e n t I n c o m e - if you were married during anyportlon of the reporting year, complete this section.(Dollar amount not required except for honoraria3

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

I.2.3.4.

I V . R E I M B U R S E M E N T S -transportation, Iodglng, food, e n t e r t a i n m e n t .(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

~] N O N E (No reportable reimbursements.)

3.4.5.

SOURCE DATES LOCATION PURPOSEBrooklyn Law School Au gu st -Oc tober 2 01 0 Br ook ly n , NY Teach law school class

ITEMS PAID OR PROVIDE2 0 1 0 L o d g i n g @ B L S a n d t r a n s p o r t a t i o na s s o c i a t e d w i t h t e a c h i n g o n d a t e s :8/24-26; 8/31 -9 /2 ; 9 /1 4 -1 6; 9 /21 -23;9/28-9/30; 10/5-7; 10/19-21.


3/8


Name of Person ReportingMar cus , Stanley

Date of Report4/26/2011

V . G I F T S . a n c l u d e s those to spouse and d e p e n d e n t children; seepp. 28-31 of filing instructions.)N O N E (No reportable gifts.)

SOURCE1 .2.3.4.5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n c l u d e s those of spouse and dependent children; see pp. 32-33 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5.

VALUECODE


4/8


Name of Person ReportingMar cus , S tanley

Date of Report4/26/201 I

VII. INVE STM ENTS and TRUSTS - i .... e, value, transactions (Includes those o.f spouse and dependent children; seepp. 34-60 of filing instructions.)N O~E (No reportable income, assets, or transactions.)

A. B. C. D.Descr ipt ion of Assets Income dur ing Gross va lue a t end Transact ions dur ing repor t ing per iod( i n c l u d i n g t rust asse ts) reporting period of repor t ing per iod

(l ) (2 ) (1) (2) (l) (2) (3) (4)Place "(X)" after each asset A m ou nt Type (e.g., Va lue V a l u e Type (e.g., D a t e V alu e G ain Iden tity o fexempt f rom pr ior di sclosure C o d e l div., rent, Code 2 Method buy, se l l , mm/dd/yy Code 2 Code l b uye r / s e l l e r( A -H) o r i n t . ) (J-P) Code 3 redem ption ) (J-P) (A -H ) (if p rivate

( Q - W ) f ~ransaction)

J T

J TJ TK T

J T

K T Sold 03/19/10(pa r t )J T Sold 03/19/10(pa r t )J T

L T

J T

W achovia - Checking Account A I n t e r e s tT. Rowe Price Sci & Tech M utual Fund - A DividendIRAVanguar d Index 500 Mutual Fund - IRA A DividendFidelity SoftWCom Mutual Fun d - IRA A DividendFideli ty Contrafund M utual Fund - IRA A DividendVanguard Index 500 Mutual Fund A DividendVanguard Index Developed Mkts Mutual A DividendFundVanguard Index Emerg ing Mkts Mutual A DividendFundBan k Uni ted Accounts B l n t e r e s tTIAA-CREF A DividendSun Tr~st Accounts - MM A I n t e r e s tGrea t Florida Ban k - Accounts C I n t e r e s t

M e t r o B a n k - C D s B In te rest

2.

3.4.5.6.

7.8.9.1 0 .

1 1 .

12 .

1 3 .

1 4 .

1 5 .

16 .

17 . P r im e M o n e y M a r k e t F un d R B C I n v e s to r A In te r e s t JClass

K T

JJ

A

S o l d 09/09/10 J

Sold 07/12/10 M(par t)S o l d 01/01/10 K(par t)S o ld 01 /2 3 /1 0 KSold 01/28/10 L

I . I ncom e G a i n C o d e s : A =$ 1,000 or Icss B = $1,001 - $2 ,500 C = $2,501 - $5,000 D = $5,001 - $15 .000(See Col um ns B 1 and D4) F =$ 50,001 - $ 100,000 G =$1 00,001 - $1 ,000,000 H 1 = $1,000,001 - $ 5,000,000 H 2 = Mo re tha n $5,000,000

2 . Va lu e C ode s J = $15,000 o r less K = $15,001 - $50,000 L = $50,001 - $100,000 M =$1 00,001 - $250,000(See Co lum ns C 1 an d D 3) N = $250.001 - $500,000 O = $500,001 - $ 1 ,000,000 P 1 =$ 1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000P3 = $25,000,001 - $50.000,000 P4 -M or e tha n $5 0,000,0003. Val ue Met hod Codes Q =Appra i sa l R =Cost (Rea l Es t a t e Onl y) S = A sse ssm e n t T = C a sh M a rk e t( S e e C olu mn C 2 ) U =Book Va lu e V = O t h c r W = E s t im a t e d

E =$15,001 - $50,000


5/8

FINANCIAL DISCLOSURE REPORTP a g e 5 o f 8

Name of Person ReportingMar cus , S tanley

Date of Report4/26/201 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 m e , v a l u e , transactions (Includes those o.f spouse and dependent children; see pp. 34-60 of fil ing instructions.)D NO!qE (No reportable incom e, 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 t e n d( in c lu d in g t ru s t a s s e ts ) 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 d

(1) (2) (1 ) ( 2 )Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e

exempt from prior disclosure C o d e I d iv . , r e n 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 )

Apple Comm on Stock A Dividend K T8 .1 9 .

20 .21 .22 .23 .24 .25 .26 .

127.28 .29 .30 .31 .32 .33 .34 .

Kraft Foods Inc. Bonds A I n t e r e s t K TL-3 Comm unicat ions Corp. Bonds

B P P L C

Dallas Tex Wtrwks & Swr Sys Bonds ASeat t le W ash G /O RFDG Bonds BMaryland ST GO Bonds BCity of Houston Texas Publ ic Improvem ent BRef inan c ing BondsTexas ST GO Bonds AFort Worth Tex Indpt Sch Dist GO Bon ds AA u s t i n Tex Wtr & W astewater Sy Bonds A

A

B I n t e r e s t K T

L e g a c y B a n k - A c c o u n t s

I n t e r e s t J TI n t e r e s t K T

I n t e r e s t K TI n t e r e s t K TI n t e r e s t K TI n t e r e s t J TI n t e r e s t K T

Dividend

A Interes t J

T r a n sa 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 d

(1 ) (2) (3)Type (e.g., D a t e V a l u ebuy, se l l , m rrd dd /yy C od e 2

redempt ion) ( J - P )

Buy 01/25/10 J

Sold 05/24/I 0 K(part)B uy 05/24/10 K

Buy 03/19/10 J

Buy 04/08/10 K

Buy 01/21/10 J

Sold 04/30/10 J

Buy 08/23/10 J

( 4 ) ( 5 )Ga i n Ident i ty of

Code 1 buyer/sel ler( A - H ) (if private

transaction)

A

1. Incom e Gai n Codes:( S e e C o l um n s B 1 a n d D 4 )

2.V a l u e C o d e s( S e e C olu mns C I a nd D3 )

3. Val ue Met hod Codes( S e e C olu mn C 2 )

A = $ 1, 000 or l essF =$50,001 - $ 1 00,000J =$15,000 or lessN =$250.001 - $500,000P3 = $25,000,001 - $50,000,000Q =Appra i sa lU = B o o k V a l u e

B =$ 1,001 - $2,500G =$ 100,001 - $1,000,000K=$15,001 - $50,000O =$500,001 - $1,000,000R =C os t ( Re a l E s t a t e Only )V = O t h e r

C =$2,501 - $5,000H I =$1,000,001 - $5,000,000L -$50,001 - $ 100,000P 1 =$ 1,000,001 - $ 5,000,000P4 = More t han $ 50 , 000, 000S =As s e s s me ntW = E s t im a t e d

D =$5,001 - $15,000H 2 = More t han $ 5 , 000 , 000M =$1 00,001 - $250,000P2 =$5,000,001 - $25,000,000T C a s h M a r k e t

E =$15,001 - $50,000


6/8


N a m e o f P e r s o n R e p o r t in gMar cus , Stanley

Date of Report4 /26/201 1

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 , v a l a e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)D NOllE(No reportable incom e, 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 co m e d u r in g G ro ss v a lu e a t e n d( in clu d in g t ru s t a s s e ts ) 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 d

( l) ( 2 ) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., Value Value

exempt from prior disclosure C o d e I d i v . , r e n 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 )Type (e.g.,buy, se l l ,

redempt ion)

T r a n sa 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 d

(2) (3) (4)D a t e V a l u e G a i n

m m / d d / y y Code2 C o d e 1(J-P) ( A - H )

( 5 )Identity of

b u y e r / se l l e r(if private

t r a n sa c t i o n )

35. Trust #3:

36 .37 .38 .39 .40 .

- Grea t Flor ida Bank - Account s

- Charles Schwab One Trust Account- Sun Trust Account - MM

AA

I n t e r e s t M

InterestI n t e r e s t

TS o l d(par t)S o l dS o l d

01/26/10 L02/16/10 J05/10/10 K

41 .

1 . Incom e Gai n Codes:( S e e C o l um n s B I a n d D 4 )

2.Val ue Codes( S e e C olu mns C I a nd D3 )

3.Val ue Met hod Codes( S e e C olu mn C 2 )

A =$1 ,000 or l e s sF =$50,001- $100,000J =$15 ,000 or l e s sN=$2 5 0,001- $5 00,000P3 -$25,000,001 o $50,000,000Q =Appra i sa lU =Book Va lu e

B =$1 ,001- $2 ,5 00G=$100,001 -$1 ,000,000K-$15,001 -$50 ,000O=$5 00,001- $1 ,000.000R =C o s t ( Re a l E s t a t e Only )V = O t h e r

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50.001 - $I00,000P 1 =$1,000,001 - $5,000,000P4 = More t han $ 50 , 000, 000S =As s e s s me ntW = E s t im a t e d

=$5,001- $15,000H2 -Mor e tha n $5 .000,000M=$I00 ,001 -$250.000P2 =$5,000,001 -$25.000,000

=C a s h Ma r ke t

E =$15,001- $50,000


7/8


Name of Person ReportingMarcus , S tanley

Date of Report4/26/2011

V I I I . 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 P L A N A T I O N S . (ln,licate part of report.)


8/8


Na m e o f P e r so n R e p o r t in gMarcus, Stanley

Da t e o f Re p o r t4/26/2011

IX. CERTIFICATION.I c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v 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 in i n 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 e n t c h i l d r e n , i f a n y ) isa c c u r a te , t r ue , 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 ~ v i t hh e l d b e c a u s e i t m e t a p p l i c a bl e s t a t u to rp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u re .I f u r th e r c e r t if y t h a t e a rn 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 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 ro v 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 o n fe re n c e r e g u l a t i o n s .

Signature: S/Stanley M a r c u s

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 FU L L Y F A L S IF IE S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E CT T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4 )

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

Stanley Marcus Financial Disclosure Report for 2010

Documents

Transcript of Stanley Marcus Financial Disclosure Report for 2010