UNITED STATES DISTRICT COURT FOR THE EASTERN DISTRICT OF PENNSYLVANIA EDWARD N. CAHN UNITED STATES COURTHOUSE JAMES KNOLL GARDNER

Transcription

1 UNED SES DSRC COUR FOR HE ESERN DSRC OF PENNSYLVN CHMBERS OF EDWRD N. CHN UNED SES COURHOUSE MES KNOLL GRDNER 504 WES HML ON SREE, SUE 4701 UNED SES DSRC UDGE LLENOWN, PENNSYLVN (610) uly 13, 2009 Committee on Financial Disclosure dministrative Office of U.S. Courts Suite One Columbus Circle, N.E. Washington, D.C Re: Honorable ames Kroll Gardner 2008 Financial Disclosure Report Gentlemen: he purpose of this letter is to correct a typographical error in my 2008 Financial Disclosure Report dated uly 9, 2009 covering the period anuary 1, 2008 through DecernQer 31, n Part V, Line 20, Column, Page 5 of 10, change "Nuster Energy, L.P.-Cornrnon Stock" to "Nustar Energy, L.P.-Cornrnon Stock". ll of the other Line 20 entries (Sections B, C and D) are unchanged. hank you for your attention. KG:ces (/) C),--- :.-:,> : -""7 Gardner, ames Knoll

2 UNED SES DSRC COUR FOR HE ESERN DSRC OF PENNSYLVN CHMBERS OF EDWRD N. CHN UNED SES COURHOUSE MES KNOLL GRDNER 504 WES HML ON SREE, SUE 4701 UNED SES DSRC UDGE LLENOWN, PENNSYLVN :-: ( pril 20, 2009 (-:1.. ' ' ' t: Otrie D. Smith, Chair t r-; -..., -- Q udicial Conference of the United States 1 Pl w Committee on Financial Disclosure One Columbus Circle, N.E. Washington, D.C rq ' :> ' - c.1 =,.,.-..,, N r > ' _... "".. Re: Financial Disclosure Report for Calendar Year 2007; mendment of Financial Disclosure Reports for Calendar Years 2002 through 2007 Dear Mr. Smith: his is in response to the anuary 30, 2009 lett from Staff Counsel George D. Reynolds and earlier letters con,. r.ning my Financial Disclosure Report for Calendar Year 2007 dat d uly 11, he purpose of this letter is to amend my 2007 report pursuant to your ugust 12, 2008 letter as follows: Section V., nvestments and rusts, Line 12, on page 4 of the report currently reads: [j B. c. ( 1) c. ( 2) D. ( 1) D. D. (3) D. (5) DescriQtion ncome Value Value ransaction Date Value dentity: of ssets Code Method Code of... buyer(_ seller mgen, nc. - None Sell 2/21 N/ common stock Please amend line 12 to eliminate the response "" and "" in boxes. follows ; -), C. (1) and C.. Please also complete box D. (4) as D. (4) Gain Code

3 ,1 Otrie D. Smith, Chair Committee on Financial Disclosure pril 20, 2009 Page 2 and D. (5) ll the remaining boxes., B. ( 2), D. ( 1), D. ( 2), D. ( 3) remain unchanged. Section V., Line 76, on page 8 currently reads!i_ B. (1) B. c. ( 1) c. ( 2) Descrigtion of ncome Value Code Value ssets mount Method Code Fun $ nvestment Club - Partnership he income from this asset reported on line 76 first became reportable in the report for calendar year Prior to that its income was below the reporting threshold. However, an "(X)" notation in column would be inaccurate because the yearend value of the asset was above the reporting threshold for each report period from the initial report for calendar year 2002 onward. he listing of this asset was inadvertently omitted from each report for calendar year 2002 through When the oversight was discovered, the asset was reported for the first time in the report for calendar year 2007 in the format indicated above. ccordingly, another purpose of this letter is to amend my Financial Disclosure Report for each calendar year 2002 through 2006 with the identical amendment in Section V., nvestments and rusts, by the addition of an additional line as follows: Report for Calendr Year Line Number

4 " Otrie D. Smith, Chair Committee on Financial Disclosure pril 20, 2009 Page 3 Each of the above lines should read: B. (1) B. Descrigtion of ncome ssets mount Code c. ( 1) c. ( 2) Value Code Value Method Fun $ nvestment Club - Partnership u Please also amend Section V., Line 76 of the report for Calendar Year 2007, Column c., Value Method, to change the designation from "" to "U". additional. Do not hesitate to contact me if your require anything Please acknowledge receipt of these amendments. hank you for your cooperation. KG:ces

5 FNNCL DSCLOSURE REPOR Report Required by the Ethics OO in Government ct of 1978 Rw FOR CLENDR YER 2008 (5 US.C. app. 10/-l ll) 1. Person Reporting (last name, fit, middle initial) 2. Court or Organization 3. Gardner, ames Knoll Eastern District of P 07/09/ itle (rticle ll judges indicate active or senior status; Sa. Report ype (check appropriate type) magistrate judges indicate full- or part-time) U.S. District udge - ctive 6. Reporting Period 01/01/2008 Nomination, Date D nitial nnual Final to D [{ D 12/31/2008 Sb. D mended Report 7. Chambers or Office ddress 8. On the basis of the nformation contained in this Report and any modifications pertaining thereto, it s, in my opinion, in compliance Edward N. Cahn U.S. Courthouse with applicable laws and regulations. 504 W. Hamilton Street, #4701 llentown, P Reviewing Offcer Date MPOR N NOES: he instructins accompanying this form must be followed. Complete all part, checking the NONE box for each part where you have no reportable information. Sign on last page.. PQS 0 NS. (Reporting individual only; see pp of filing instructions.) 0 NONE (No reportable positions.) POSON NME OF ORGNZON/ENY. Offcer, Director llentown Symphony ssociation 2. Director Boys and Girls Club of llentown, nc. 3. Director Police thetic League, nc. 4. General Partner (passive investment in Subchapter "S" Corporation) 116 share of Rental Property #1 C. GREEMENS. (Reporting ndividual only; see pp. U-16 of filing instructions.) 0 NONE (No reportable agreements.). o ::" -nr.., 0 r',, =.. (.._ = (',-.- C: -. (.0 :- - c : rn.- ( ) i - L,_ > rn 0.. PRES ND ERMS State Employees Pension Fund; retirement pension for former judicial position, includes medical insurance and long-tenn care benefits, no control 2. 3.

6 FNNCL DSCLOSURE REPOR Name of Person Reporting Page 2of10 Gardner, ames Knoll 07/09/2009, N 0 N-NVESMEN N CO ME. (Reporting individu11/ 11nd spouse; see pp of filing instructions.). Filer's Non-nvestment ncome D NONE (No reportable non-investment income.) SOURCE ND YPE NCOME (yours, not spouse's) State Employees Pension Fund reported in Part (fixed benefits from a vested pension plan) $67, B. Spouse's Non-nvestment ncome - (Dollar amount not required except for honoraria.) 0 NONE (No reportable non-investment income.) /[you were m11rrled during 11ny portion of the reporting ye11r, complete this section. SOURCE ND YPE self-employed piano teacher V. REMBURSEMENS - tr11nsportotlon, lodging, food, entertainment (ncludes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DES LOCON PUOSE EMS PD OR PRODED. he New York ntellectual March 28-29, 2008 New York City, NY 86th nnual Dinner ransportation, Food and Hotel Property Law ssociation (NYPL) 5.

7 FNNCL DSCLOSURE REPOR Page 3of10 Name of Person Reporting Gardner, ames Knoll 07/09/2009 V, GFS. (ncludes those to spouse and dependent children; see pp of filing nstructions.) [Z NONE (No reportable gifts.) SOURCE DESCRPON VLUE V. LBLES, (ncludes those of spouse and dependent children; see pp. 32- /flling nstructions.) D NONE (No reportable liabilities.) CREDOR DESCRPON YLUECODE. ohnson Capital 1/6 share Mortgage on Rental Property #, orrence, California (Part V, 0 line ) 2. Chase Card Services Credit Card (Visa) 3. 4.

8 FNNCL DSCLOSURE REPOR Name of Penon Reporting Page 4of10 Gardner, ames Knoll 07/ V. NVESMENS and RUSS - income, vaiue, transactions (nctudes those of spouse and dependent children; see PP of filing 1nstruct1ons. D NONE (No reportable income, assets, or transactions.)! ' ;. Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure () mount Code (-H) B. ncome during reporting period ype (e.g., div., rent, or int.) c. Gross value at end of reporting period () Value Code 2 (-P) Value Method Code 3 (Q-W) () ype (e.g., buy, sell, redemption) D. ransactions during reporting period Date Month - Day (3) Value Code2 (-P) (4) Gain Code (-H) (5) dentity of buyer/seller (if private transaction) i _. Rental Property #, orrence, California E Rent 0 Q (1997 $533,333) 2. ime Share #, Williamsburg, Virginia c Rent K R (1999 $18,700) 3. Sovereign Bank ccounts nterest K 4. R # (Evergreen Foundation Fund Class B) 5. Brokerage ccount #: 6. CBNK N South Dakota-Bank Deposit nterest Program 7. Disney - Common Stock 8. LMP* ppreciation Fund Class - Mutual Fund 9. Calamos Convertible & High ncome Fund - B Closed End Fund 10. Wells Fargo & Company - Common Stock 11. Calamos Strategic otal Return Fund - B Closed End Fund 12. Luzerne County P Water Revenue Bond nterest 13. Microsoft Corporation - Common Stock Sold 8114 N 14. Safra National Bank - NY - Certificate of nterest 411 N Deposit Full Call 15. B Group PLC - Common Stock Sold 117 N 16. Western Union - Common Stock None Sold N 17. Eaton Vance ax Eqty. nc. Fd.-Closed End B Fund *LM = Legg.Mason; artnrs. ncome Gain Codes: =S 1,000 or less B =S 1,00 - S2.500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =S 15,00 -$50,000 (Sec Columns B and D4) F =S50,001 -S00,000 G =Sloo.001 -S,000,000 Ht =Sl,000,001 -$5,000,000 H2 =More tha n $5,000, Value Codes =$15,000orless K =$15,001 $50,000 L =$50,00 - S00,000 M =$100,00 - $250,000 (See Columns Cl and D) N =S250,00 -$500,000 0 =$500,001 - S,000,000 Pl =$1,000,001 - S5,000,000 P2 =$5,000,001 - S25,000,000 P3 =S25,000,00 - $50,000,000 P4 =More tha S50,000, Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =sssment =Cash Market (See Column C2) U =Book Value V=Oer W =Estimated

9 FNNCL DSCLOSURE REPOR Page 5of10 Name of Person Reporting Gardner, ames Knoll 07/ V. NVESMENS and RUSS - income, v111ue, trans11cdons r1nc111t1 those ofspo11e and dependent children; see PP 4-6o of filing instructions.> D NONE (No reportable income, assets, or transactions.) r. Description of ssets i (including trust assets) ; ' B. c. D. ncome during Gross value at end of ransactions during reporting period reporting period reporting period ()! () () (3) (4) (5) ---W Place "(X)" after each asset ype (e.g., Value Value ype (e.g.. Date Value Gain dentity of =... -,mm $, ; div., rent, Code 2 Method buy, sell, Month- Code 2 Code buyer/seller or int.) (-P) Code3 redemption) Day (-P) (-H) (if private (Q-W) transaction) 18. Legg Mason nternational Equity rust - None Sold 1114 N Unilever PLC - Common Stock None Sold 1114 N 20. Nuster Energy L.P. - Common Stock Buy 1/14 N he Private Bank and rust Co. - Certificate nterest Buy 1114 K N of Deposit 22. Matured 7123 K N 23. First Bank of Puerto Rico - PR - Certificate of Deposit nterest Buy 1114 N 24. Full Call 4118 N 25. B Group PLC DR - USO - None Buy N Sold 9118 N 27. B Group PLC DR - USO - Buy 816 N 28. Carolina First Bank - SC - Certificate of nterest Buy 9118 K N Deposit 29. Matured K N 30. BlackRock Global llocation Fund - Mutual nterest Buy N Fund 31. nterest Buy N 32. Buy N 33. CBNK N-NV *C* - Certificate of None K Buy K N Deposit 34. None K Buy 1114 K N. ncome Gain Codes: =S 1,000 or less B =S 1,00 -$2,500 c =$2,50t -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Colwnns Bl and D4) F =S50,00 -S 00,000 G =S00,001 -$1,000,000 H =$ 1,000,00 - S5,000,000 H2 =More than $5,000, Value Codes =$15,000or less K =$15,001 - $50,000 L =$50,001 -S00,000 M =$100,001 -$250,000 (See Colwnns Cl and 03) N =$250,00t -$500,000 0 =$500,001 -$1,000,000 Pl =S,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000, Value Metho Code Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

10 FNNCL DSCLOSURE REPOR Page 6of10 Name of Person Reporting Gardner, ames. Knoll V. NVESMENS and RUSS - income, value, ''"nsacnons r1nctudes those of spouse find dependent children; see PP of filing ins1ruc11ons. D NONE (No reportable income, assets, or transactions.) i L. Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure () mount Code (-H) B. ncome during reporting period ype (e.g., div., rent, or int.) c. Gross value at end of reporting period () Value Code 2 (-P) Value Method Code 3 (Q-W) () ype (e.g., buy, sell, redemption) D. ransactions during reporting period Date Month- Day (3) (4) (5) Value Gain dentity of Code 2 Code buyer/seller (-P) (-H) (if private transaction) 35. Compass Bank-L - Certificate of Deposit None K Buy, l0/14 K N 36. otalbank-fl - Certificate of Deposit None K Buy 1114 N 37. GE Money Bank-U - Certificate of Deposit None K Buy 11/4 N 38. End of Brokerage ccount # 39. Brokerage ccount #2 (Custodial ccount #) redeemed Brokerage ccount #3 (Custodial ccount #2) redeemed Brokerage ccount #4: 42. General Electric Corporation - Common Stock 43. ohnson & ohnson - Common Stock LMP* ppreciation Fund Class B - Mutual 1 Fund 45. LMP* Capital and ncome Fund Class B CBNK N - Bank Deposit Program nterest End of Brokerage ccount #4 48. me Share #2, Williamsburg, Virginia $19,900) (2002 c Rent K R 49. R #2 (CitiGroup Global Markets) 50. Legg Mason Special nvestment rust - Mut ual Fund None Sold N 51. Royce otal Retu Fund Consultant - *Legg Mason Partnrs. ncome Gain Codes: =$1.000 or less B =Sl.001 -$2.500 C =$2,SO -SS,000 (See Columns Bl and 04) F =SS0,00 -S 00,000 G =S S 1.000,000 H =Sl,000,001 -SS,000, Value Codes =$15,000 or less K =$15,001 -$50,000 L =$50,00 - S 00,000 (See Columns Cl and 03) N =$250,00 -$500,000 0 =$500,001 -Sl,000,000 Pl =Sl,000,001 - $5,000,000 P3 =$25,000,00 -$50,000,000 P4 =More than $50,000, Value Method Cod es Q =ppraisal R =Cst (Real Estate Only) S =ssessment (See Column C2) U =Book Value V=O W=Estimated D =SS.001 -S S,000 ll2 =More than $5.000,000 M =s100,001 - mo,ooo P2 =$5,000,001 -$25,000,000 E =S S,00 - SS0,000 =Cash Market : j l

11 FNNCL DSCLOSURE REPOR Name of Penon Reporting () () () Place "(X)" after each asset mount ype (e.g., Value Value ype (e.g., Date Value Gain dentity (5) of j exempt from prior disclosure Code, div., rent, Code 2 Method buy, sell, Month - Code 2 Code buyer/seller (-H) or int.) (-P) Code3 redemption) Day (-P) (-H) (if private (Q-W) transaction) c ---'---'---'---'---' c. (3) (4) P ge 7of10 Gardner, ames, Knoll V. NVESMENS and RUSS - income, value, transactions r1nc1udes those of spouseand dependent children; see PP of fiing 1nstructions. D NONE (No reportable income, assets, or transactions.) B. Description of ssets ncome during Gross value at end of ransactions du reporting pen: , (including trust assets) reporting period reporting period 52. Van Kampen Equity & ncome Class C Putnam Mid Cap Value Fund Class C- c K Sold 3112 N (part) 54. None Sold 3/14 N 55. merican Funds-Growth Fund of merica Class C Legg Mason Value rust - None Sold 3112 N 57. merican Balanced Fund ncome Class C Legg Mason Opportunity rust - Mutual None Sold 3112 N Fund 59. Oppenheimer Developing Markets Fund Class C Lincoln National Life nsurance Co - None K nnuity 61. Zebra echnologies Corporation Class - None Sold 3/12 N Common Stock 62. F* - Capital World Growth & ncome Fund Class C-Mut. Fund 63. Lord bbett merica's Value Fund Class C 64. Government National Mortgage ssociation B nterest K Class B - Bond 65. CBNK N - Bank Deposit Program Merged 3/31 N (Y) - See Part V (with line 66) CBNK N South Dakota - Bank nterest Deposit Program 67. Cisco Systems nc. - Common Stock None Buy 3/14 N 68. Manitowoc Co., nc. - Common Stock Buy 3/13 N 2. Value Codes =$15,000 or less K =Sl5,00 - $50,000 L =$50,00 S 00,000 M =$ 00,00 $250,000 (See Columns Cl and 03) N =$250,00 SS00,000 0 =$500,00 - S l,000,000 Pl =Sl,000,001 - $5,000,000 PZ =$5,000,001 $25,000,000 P3 =$25,000,001 $50,000,000 P4 =More th $50,000, Value Metho Code Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market *F rrerican Funds =. nco me Gain Codes: =Sl,000 or less B =S1,00 - SZ,500 C =SZ,50 - $5,000 D =$5,001 -$15,000 E=Sl5,00l -S50, t (See Columns Bl and D4) F =S50,00 - $100,000 G =S00,001 -S,000,000 H =Sl,000,001 - $5,000,000 HZ =More than $5,000,000 (See Column CZ) U =Book Value V=O W =Estimated j

12 FNNCL DSCLOSURE REPOR Name of Person Reporting Page 8 of O Gardner, ames, Knoll V. NVESMENS and RUSS - income, va111e, 1ransactins <ncludes those of spouse and dependent children; see PP of filing 1ns1ructians. D NONE (No reportable income, assets, or transactions.) l. Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure () B. c. ncome during reporting period () mount ype (e.g., Value Code div., rent, Code 2 (-H) or int.) Gross value at end of reporting period (-P) () Value Method Code 3 (Q-W) ---- ype (e.g., buy, sell, redemption) D. ransactions during reporting period (3) (4) Date Value Gain Month- Code2 Code Day (-P) (-H) (5) dentity of buyer/seller (if private transaction) 69. Ginnie Mae Series Class G - sset Backed Security nterest Buy 3112 N 70. BlackRock Global llocation Fund nc - 'bividend K Buy 3114 K N 71. Putnam sset llocation Balanced Class C - Buy 3/14 N 72. Select Sector SPDR R Financial - Closed End Fund Buy 5115 N 73. End of R #2 74. New York Life Whole Life L 75. Brokerage ccount #5: 76. B* ntermed. Bond Fund Class - Mutual Fund., 77. B* Growth & ncome Fund Class B* Small and Mid Cap Value Fund - Class B* nt'l Growth Fund Class - Mutual Fund 80. End of Brokerage ccount #5 81. KNB Bank ccounts D nterest M 82. Rental Property #2, Lehigh Valley, P (2006 $250,000) c Rent M R 83. Fun $ nvestment Club - Partnership f\ 84. U.S. Savings Bonds nterest 85. Fidelity Mutual Life nsurance Co. - whole life * lliance Bernstein. ncome Gain Codes: (See Columns B and D4)! 2. Value Codes (See Columns C and D) 3. Value Method Codes =S,000 or less F =$50,00 - $ 00,000 =$15,000 or less N =$250,00 -$500,000 P3 =$25.000,00t - $50,000,000 Q =ppraisal B =Sl.001 -$2,500 G =$100,001 -Sl,000,000 K =$15,001 - $50,000 0 =$ S 1.000,000 R =Cost (Real Estate Only) c =$2,501 - $5,000 H =Sl,000,001 -$5,000,000 L =$50,001 - S00,000 Pl =Si,000,001-$5,000,000 P4 =More than $50,000,000 S =ssssment D =$5,00 - $ t5,000 H2 =More than $5,000,000 M =S 00,00 - $250,000 P2 =$5,000,001 -$25, =Cash Market E =$15,001-$50,000 (See Column C2) U =Book Value V=Oher W=Estimated i

13 FNNCL DSCLOSURE REPOR Page 9of10 Name of Person Reporting Gardner, ames Knoll 07/09/2009 V. DDONL NFORMON OR EXPLNONS. (lndicate partofreporl). Re Part V, Line 65: Previously, CBN N Bank Deposit Program was reported "rith a parenthetical "(Y" (as reported in Part V, Line 64 of the Financial Disclosure Report). his is because this asset was reported in previous years as a qualifying asset. However, in 2007 this asset failed both qualifying requirements. {hat is, in 2007 this asset had a value of less than $1,000 on December 31, and eared less than $200 interest.) n the within 2008 Financial Disclosure Report this asset is again reported with a parenthetical "(Y" (as reported in Part V, Line 65 of the within 2008 Financial Disclosure Report. his is because once again the asset in 2008 never had a value of $1,000 or more and eared less than $200 in interest. n March 2008 this asset ceased to exist because it merged into CBN N South Dakota - Bank Deposit Program which was reported as a qualifying asset with a value greater than $1,000 on both December 31, 2007 and December 31, 2008, and which eared more than $200 interest in 2007, but less than $200 interest in 2008 (as reported in Part V, Line 65 of the 2007 Financial Disclosure Report and in Part Vi, Line 66 of the 2008 Financial Disclosure Report).

14 FNNCL DSCLOSURE REPOR Page O of O Name of Person Reporting Gardner, ames, Knoll 07/09/2009 X. CERFCON. 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. 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 udicial Conference regulations. NOE: NY NDVDUL WHO KNOWNGLY ND WLFULLY FLSF ND CRMNL SNCONS (5 U.S.C. app. 104) FLNG NSRUCONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C