UNITED STATES DISTRICT COURT

Transcription

1 UNITED STATES DISTRICT COURT Eastern District of Pennsylvania United States Courthouse Independence Mall West Philadelphia, Pennsylvania (fa Anita B. Brody Judge July 6, 2007 CJ (f' C-J George D. Reynolds, Staff Counsel (j). c:: Committee on Financial Disclosure 0 Administrative Offce of the U.S. Courts Suites One Columbus Circle, N.E. 0 Washington, DC f'l f: o:j> -. r., )> 9 N.. Dear Mr. Reynolds: Enclosed please find my Financial Disclosure for year Additionally, the following corrections will need to be made to my Financial Disclosure for 2005: Asset reported in Part VII, page 7, line 62, for Summit Properties-common stock, should have been listed as sold in section D as follows: D( l) Sell D(2) 3/4 D(3) K D(4) D Asset reported in Part VII, page 7, line 65, for First USA Band-cd, should have been listed as sold in section D as follows: D(l) Sell D(2) 715 D(3) K D(4) blank Asset reported in Part VII, page 8, line 70, for Federal Home LN BK Bond, should have been listed as sold in section D as follows: D(l) Sell D(2) 6/15 D(3) K D(4) blank Imo enclosures

2 ...J Report Required by the Ethics AO JO in Government Act of 1978 Rev FOR CALENDAR YEAR 2006 (5 US.C. app I) 1. Person Reporting (last name, first, middle initial) 2. Court or Organization Brody, Anita B United States District Court 07/06/2007 Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge Sa. Report Type (check appropriate type) D Nomination, Initial D Date Annual D Final 6. Reporting Period 01/01/2006 to 12/31/ Chambers or Office Address United States Courthouse Independence Mall West Philadelphia, PA Sb. D Amended Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Rev.iewing Officer Date IMPORTANT NOTES: The'iilstructions accompanying this form mun befo/lowed. Complete all parts, checking the NONE box for each part wlrere you have no reportable information. Sign on last page. I. POSITIONS. (Reporting individual only; see pp of instructions.) 0 NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Member Board of Visitors, Columbia Law School 2. Trustee Trust.. 5. II. AGREEMENTS. (Reporting individual only; see pp of instructions.) Q[ NONE (No reportable agreements.) I. PARTIES CJ AND TERMS CJ ftj en (),-., (.-- :.: E ; a?> '""1[( ".,.. = = c_ c::.- J> U1 :: rn () j! < ITi 0 2.

3 Page 2of11 Brody, Anita B 07/06/2007 III. N 0 N-JNVES TMENT JN CO ME, (Reporting individual and spouse; see pp of instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I Commonwealth of Pennsylvania-pension $ 30, B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I TIAA-CREFF Pension Distribution JV, REIMBURSEMENTS - transportation, lodging, food, entertainment (Includes those to spouse and dependent children. See PP : of instructions.) [2 NONE (No reportable reimbursements.) SOURCE DESCRIPTION I

4 Page 3of11 Brody, Anita B 07/06/2007 V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-3I of instructions.) [K NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I VI. LIABILITIES. (Includes those of spouse and dependent children. See pp of instructions.) ' NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I

5 Page 4of11 Brody, Anita B 07/06/2007 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of the spouse and dependent children. see PP of filing mstructions.j A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. c. D. Income during Gross value at end of Transactions during reporting period reporting period reporting period (!) (2) (!) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) I. Brokerage Account #I 2. - Capital Southwest-common stock B Dividend N T - Covanta Holding Corporation formerly None M T Part Sale 8/15 K E Danielson Holding-cs - Dupont-common stock B Dividend L T 5. - NABORS-common stock None M T 6. - National Asset Bank-common stock None J w 7. - Royal Palm-common stock None J T 8. - Source Capital-common stock c Dividend L T 9. -Third A venue Value Fund G Dividend Pl T 10. -Third Avenue Small Capital Fund-mutual D fund Dividend M T 1 I. -Third Avenue Real Estate Fund-mutual E fund Dividend N T 12. -Third Avenue Intl Value FD E Dividend K T Buy 8/21 K 1 - Butler County PA - Bond B Interest K T 1 Brokerage Account # Citicorp- common stock A Dividend Sell 6/26 J A Dean Witter Liquid Asset-mutual fund c Interest L T Dow Chemical - Common stock A Dividend K T I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 -$1,000,000 H1 =$1,000,001 -$5,000,000 H2 =More than $5,000, Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$!00,001 -$250,000 (See Columns Cl and DJ) N =$250,001 - $500,000 0 =$500,001 -Sl,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) Q =Appraisal V=Other S =Assessment U =Book Value W =Estimated

6 Page 5of11 Brody, Anita B 07/06/2007 VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (l) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) DPL - common stock A Dividend K T General Dynamics- common stock A Dividend J T Greenwood Trust -CD None Sell 10/30 K McDonalds- common stock A Dividend K T Pepsico- common stock A Dividend J T 2 - Discover Bank - cd A Interest K T Part Sale 5/30 K 2 -Amcore - cd A Interest Sell 8/9 K Littlestown - Municipal Bond B Interest K T Lancaster PA Area Sch Distrist Bond B Interest K T Fed Home Loan Bk Bond B Interest K T Franklin RSD A Interest K T Providian National CD A Interest Sell 6120 J 30. Bank Accounts 31. Wachovia - bank accounts A Interest K T 32. Dime Savings-bank account A Interest J T 3 IRA#! D Dividend N T 3 - Greenwood Trust-cd I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns Bl and 04) F=$50,00I - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 $5,000,000 H2 =More than $5,000, Value Codes J =$15,000 or less K =$15,001 $50,000 L =$50,001 SI00,000 M =$I 00,00 I $250,000 (See Columns Cl and 03) N =$250,001 $500,000 0 =$500,001 $1,000,000 Pl =Sl,000,001 $5.000,000 P2 =$5,000,001 $25,000,000 Value Method Codes (See Column C2) P3 =$25, $50,000,000 Q =Appraisal U =Book Value R =Cost (Real Estate Only) V=Otber P4 =More than $50,000,000 S =Assessment W =Estimated T =Cash Market

7 Page 6ofl1 Brody, Anita B 07/06/2007 VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of the spouse and dependent children. see PP of fuing instructions.; 0 NONE (No reportable income, assets, or transactions.) A. B. c. Description of Assets Income during Gross value at end of (including trust assets) reporting period reporting period (I) (2) (I) (2) (I) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption) (Q-W) D. Transactions during reporting period (2) (3) (4) (5) Date Value Gain Identity of Month- Code 2 Code I buyer/seller Day (J-P) (A-H) (if private transaction) Bristol Myers Squid- common stock Sell 10/11 J Capital One-cd Sell 4/24 K Dean Witter Liquid Asset-mutual fund FPL-common stock Sell 10/11 K D Keycorp-common stock Sell 10/11 J B McDonalds - common stock Sell 10/11 K D Limited Duration Fund (was tcw/dw N Am Gov Tr)-(mutfund) Equity Residential-common stock Sell 10/11 K E 4 - H & R Block - common stock Sell 10/11 J D 4 - Walt Disney- common stock Sell 10/11 J Lehman Brothers Bank FSB CD Sell 6/12 K Citgiroup Inc - common stock Sell 6/26 K Federal Home Loan Mtg Corp Med Term Note Midfurst Bank Oklahoma City CD Buy 4/26 L 49. IRA#2 E Dividend 0 T AIM Weingarten-mutual fund Sell 10/11 K AOL Time Warner Sell 10/11 J I. Income Gain Codes: A =S or less B =$1,001 -$2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =SI 5,001 -$50,000 (See Columns Bl and D4) F =$50,001 -$100,000 G =$100,001 - Sl,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000, Value Codes J =$15,000 or less K =$15,001-$50,000 L =$50,001 - $100,000 M =$100,001 -$250,000 (See Columns Cl and DJ) N =$250,001 -$500,000 o =$500,001 -s1,ooo,ooo Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000 Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) Q =Appraisal V =Other S =Assessment U =Book Value W =Estimated

8 Page 7of11 Brody, Anita B 07/06/2007 VII. INVESTMENTS and TRUSTS - income, varue, transactions r1nc1udes those of the spouse and dependent children. see PP of f"uing mstruc11ons.j D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (1) (2) (l) (2) (1) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) Citigroup-common stock Sell 6126 K D 5 - Dean Witter Liquid Asset-mutual fund 5 -DPL Sell 10/11 J A Federal Realty Inv Trust- common stock Sell 10/11 K E Home Depot-common stock Sell JO/I I J IBM - common stock Sell J0/11 K Intel-common stock Sell J0/11 K E Johnson and Johnson - common stock Sell 10/16 J c Magna International-common stock Sell JO/I I J A Motorola-common stock Sell J0/11 J Public Service Enterprises-common stock Sell JO/II K D 6 - Ameren(formerly Union Electric)-common Sell 10/11 K D stock 6 - US Treasury-bond Sell 5/11 K UTD Dominion Realty Trust-common Sell JO/I I K E stock Discover Bank - cd- Sell 10/30 K International Lease Finance Corp Bond Sell 11/15 K st Signature Co 1. Income Gain Codes: A =S 1,000 or less B =$1,001 -S2,500 c=$2,501 - $5,000 D=S5,001-$15,000 E =$15,001 -$50,000 (See Columns BI and D4) F=$50,00l -$100,000 G=$100,001 $1,000,000 HI =Sl,000,001 $5,000,000 H2 =More than $5,000, Value Codes J=$15,000 or less K=$15,001 - $50,000 L=$50,001 $100,000 M =$100,001 -$250,000 (See Columns Cl and DJ) N=$250,001 $500,000 0=$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 Value Method Codes P3 =$25,000,001 $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=Cash Market (See Column C2) Q =Appraisal V =Other S =Assessment U =Book Value W=Estimated

9 Page 8of11 Brody, Anita B 07/06/2007 VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp of/ding instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (1) (I) (2) (2) (4) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of exempt from prior disclosure Code I div., ren Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 (Q-W) redemption) Day (J-P) (A-H) (if private transaction) (2) (3) (5) 69. -MBIA Sell 10/11 J B Anheuser Bush Cos Inc Sell 10/11 J 71. -Freescale Semiconductor (X) Sell 10/11 J A Citigroup Inc Bond Sell 6/26 K 7 - Washington Mutual Bank CD Buy 5/15 L 7 TIAA-CREF-retirement(s) Pl T 75. TIAA Retirement L T 76. Manulife (formerly John Hancock Life) A Interest K T 77. Japan Fund - mutual fund A Dividend K T 78. Trust#! F Dividend 0 T Reserve Fund Primary Portfolio Third Avenue Small Cap Value Fund Third Avenue Real Estate Value Fund Third Avenue Intl Value Fund 8 - Third Avenue Value Fund Inc 8 ;Trust#2 D Dividend M T Vanguard Federal Money Market Fund Part Sale 1/13 J l. Income Gain Codes: A=$ l,000 orless B =Sl,001. $2,500 c=$2,501 - $5,000 D =$5,001 $15,000 E =$15,001 $50,000 (See Columns Bl and D4) F=$50,001 $100,000 G =$100,001 $1,000,000 HI =Sl,000,001. $5,000,000 H2 =More than $5,000, Value Codes J=$15,000 or less K=$15,001 $50,000 L=$50,001 $100,000 M =$100,001. $250,000 (See Columns Cl and D3) N =$250,001 $500,000 0=$500,001. $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 Value Method Codes P3 =$25,000,001 $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) Q =Appraisal V =Other S =Assessment U=Book Value W =Estimated

10 Date or Report Page 9of11 Brody, Anita B 07/06/2007 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of the spouse and dependent children. See PP of filing instructions.) A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. c. D. Income during Gross value at end of Transactions during reporting period reporting period reporting period (1) (2) {l) (2) (!) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code l div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-) Code3 redemption) Day {J-P) (A-H) {if private (Q-W) transaction) 86. Part Sale 2115 J 87. Part Sale 3/15 J 88. Part Sale 4/13 J 89. Part Sale 12/5 K Vanguard Short Term Federal Admiral Shares Part Ssle 1/13 J 91. Part Sale 2115 J 92. Part Sale 3/15 J 9 Part Sale 4/13 J 9 Part Sale 4/19 M Emerging Markets Stock Index Investor Shares Buy 4/19 J 96. Buy 1215 K Mid-Cap Index Fund Investor Shares Buy 4/19 L Total International Stock Index Fund Buy 4/19 L Income Gain Codes: A =S 1,000 or less B =$1,001 -S2,500 C =S2,501 - $5,000 D =$5,001 -$15,000 E 415,001 - $50,000 (See Columns Bl and 04) F=SS0,001 - $100,000 0=$100,001 -$1,000,000 HI =Sl,000,00t $5,000,000 H2 =More than $5,000, Value Codes J =SI 5,000 or less K =$15,001 -$50,000 L =$50,001 - St00,000 M =$100,001 $250,000 (See Columns Cl and 03) N =$250,001 -SS00,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000 Value Method Codes PJ -$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=Cash Market (See Column C2) Q =Appraisal V=Other S =Assessment U =Book Value W =Estimated

11 Page 10of11 Brody, Anita B 07/06/2007 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate parto/report.) my.! I) Assets reported in Part VII, page 8, lines 74 and 75, for "TIAA-CREFF-retirement(s)" and "TIAA Retirement," are etirement funds for which. has no control of its investments and is not provided with any information on the earnings from those accounts. s only prov1 ed with an account value which is reported.

12 Page 11of11 Brody, Anita B 07/06/2007 IX. CERTIFICATION. I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. 1/b/o1 NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C