D NONE (No reportable non-investment income.)

Transcription

1 Berzon_Marsha_S

2 FNANCAL DSCLOSURE REPORT Page 2of10 BERZON, MARSHA S ll N 0 N-NVESTMENT N COME. (Reporting individual and spouse; see pp of filing ins/ructions.) A. Filer's Non-nvestment ncome D NONE (No reportable non-investment income.) SOURCE AND TYPE NCOME (yours, not spouse's) !27(tJ8 COLLEGE OF WLLAM AND MARY - LECTURE FEE $ B. Spouse's Non-nvestment ncome - f you were married during any portion of the reporting year, complete this section. (Doi/or amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE SELF-EMPLOYED ATTORNEY V. REMBURSEMENTS -transportation, lodging, food, enlerlainmeni (ncludes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATON PURPOSE TEMS PAD OR PROVDED. YALE UNVERSTY 05/04/ NEW HA VEN, CT 08 CVC ORG. ACTVTY TRAVEL, LODGNG, MEALS 2. AFL-CO LA WYERS CO ORDJNA TNG COMMTTEE SEATTLE, WA 08 CVC ORG. ACTVTY TRAVEL, LODGNG, MEALS 3. AMERCAN CONSTTUT 06/12/ WASHNGTON, D.C. PROFESSONAL ASSOC. TRAVEL, LODGNG, MEALS ON SOCETY 08 ACTV 4. COLLEGE OF WLLAM AN 09/25/ WLLAMSBURG, VA CVC ORG. ACTVTY TRAVEL, LODGNG, MEALS OMARY YALE UNVERSTY 11/06/ /08/20 NEW HA VEN, CT CVC ORG. ACTVTY TRAVEL, LODGNG, MEALS 08

3 FNANCAL DSCLOSURE REPORT Page 3 of O BERZON, MARSHA S. 05/14/ NEW YORK UNVERSTY 11/08/ /11/20 08 NEW YORK, NY CVC ORG. ACTVTY TRAVEL, LODGNG, MEALS 7. HARVARD LAW SCHOOL 11/ /19/20 08 CAMBRDGE, MA CVC ORG. ACTVTY TRAVEL, LODGNG, MEALS

4 FNANCAL DSCLOSURE REPORT Page 4 of O BERZON, MARSHA S. il5/ 4/2009 V. GFTS. (ncludes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRPTON VALUE V. LABLTES. (ncludes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDTOR DESCRPTON VALUE CODE 2. 5.

5 FNANCAL DSCLOSURE REPORT Page 5of10 BERZON, MARSltA S. 05/14/2009 V. NVESTMENTS and TRUSTS - income, value, transactions (ncludes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets ncome during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period Place "(X)" after each asset! exempt from prior disclosure i (1) Amount Code (A-H) (2) Type (e.g., div., rent, or int.) () Value Code 2 (J-P) (2) Value Method Code3 (Q-W) (1) (2) (4) Type (e.g., Value Gain l! buy, sell, redemption) \ Date Month - (3) Code 2 Code Day (J-P) (A-H) (5) dentity of buyer/seller (if private transaction)!. BANK OF AMERCA ACCOUNT A nterest M T 2. COCA COLA COMPANY - COMMON ST B Dividend K T OCK 3. COMCAST CORP NEW CL A - COM A Dividend J T MON STOCK 4. CORNNG NC - COMMON STOCK B Dividend L T 5. LS CORPORATON - COMMON STOCK None J T 6. NSTAR- COMMON STOCK A Dividend J T 7. PEPSCO NCORPORATED - COMMON A Dividend K T STOCK 8. PUB SVC ENT GROUP NC - COMMON A Dividend J T STOCK 9. SOURCE NTERLNK COMPANY - COM None J T MON STOCK 10. VERZON COMMUNCATONS - CO A Dividend 1 T MMON STOCK 11. VODAFONE GROUP NEW ADR F A Dividend J T 12. DREYFUS APPRECATON FD B Dividend K T 13. DREYFUS EMERGNG LEADERS FUND c Dividend K T 14. DREYFUS PREMER NEW LEADERS FU B Dividend L T ND CLASS A 15. EMBARCADERO ALL CAP GROWTH None K T FD (FMR VAN WA GONER SMALL CAP GF) 16. EMBARCADERO SMALL CAP GROWT None J T H FD (FMR VAN WA GONER EMERG NG) 17. RS MD CAP OPPORTUNTES FUND D Dividend N T 1. ncome Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =S 15,001 -$50,000 (See Columns Bl and 04) F =$50,001 -$100,000 G =SJ00,001 - $1,000,000 H =$1,000,001 -$5,000,000 H2 =More than $5,000, Value Codes J =$15,000 orless K =$15,001 - $50,000 L =$50,001 -$100,000 M =$ 00,00 -$250,000 (See Columns C and 03) N =$250,00 - $500,000 0 =$500,00 - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

6 - FNANCAL DSCLOSURE REPORT Page 6of10 BERZON, MARSHA S. 05/14/2009 V. NVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions r1nc1udes those of 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. i c. ncome during Gross value at end of reporting period reporting period (!) (2) (!) (2) () Amount Type (e.g., Value Value Type(e.g., Code div., rent, Code 2 Method buy, sell, D. Transactions during reporting period (2) (3) (4) (5) Date Value Gain dentity of Month- Code 2 Code buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (Q-W) Day (J-P) (A-H) (if private transaction) 18. SCHWAB PREMER EQUTY SELECT S HARES A Dividend L T 19. SCH CA MUN MONEY FD (SWEEP) B Dividend L T SCHWAB CA MUN MONEY FD (NON-S WEEP) FDELTY CA AMT TAX FREE MMKT NST CLASS PSP# B Dividend L T F nt./div. Pl T D Dividend M T 23. -AM CONSTELLATON FUND-CLASS A DOMESTC EQUTY FUNDS Sold L D 24. -AM CAPTAL DEVELOPMENT FUND- CLASS A 25. -AM NTERNATONAL SMALL CO FD -CL A 26. -AM GLOBAL EQUTY FUND - CLASS A 27. -AM MULT-SECTOR FUND - CLASS A 28. RA#! D Dividend M T 29. -AMCAP FUND - CLASS A 30. -WASHNGTON MUTUAL NVESTORS FUND - CLASS A 31. PSRP# D Dividend N T 32. -AMER1CAN FUNDS - EUROPACFC GROWTH FUND - CL A" 33. -AMERJCAN FUNDS - THE GROWTH FUND OF AMER1CA - CL A" 34. -AMERJCAN FUNDS - THE NEW ECO NOMY FUND - CL A" 1. ncome Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,501 -$5,000 (See Columns Bl and D4) f =$50,001 - $100,000 G =$100,001 -$1,000,000 H =$1,000,001 -$5,C00, Value Codes J =$15,000 or less K=$15,00 -$50,000 L =$50,001 - $100,000 (See Columns Cl and D3) N =$250,00 - $500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P3 =$25,000,001 - $50,000,000 P4 =More th $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment (See Column C2) U =Book Value V =Other W =Estimated D =$5,001 -$15,000 H2 =More than $5,000,000 M =$100,001 -$250,000 P2 =$5,000,001 -$25,000,000 T =Cash Market E =$15,001 - $50,000

7 FNANCAL DSCLOSURE REPORT Page 7of10 BERZON, MARSHA S V. NVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) 0 NONE (No reportable income, assets, or transactions.) A. Description of Assets (including trust assets) Place "(X)'' after each asset exempt from prior disclosure B. c. ncome during Gross value at end of reporting period reporting period 1 - (2) Amount Type(e.g., Value Value Type (e.g., ( ) Code 1 div., rent, Code2 Method buy, sell, (1) (2) () (A-H) or int.) (J-P) Code 3 redemption) (Q-W) D. Transactions during reporting period (2) (3) (4) (5) Date Value Gain dentity of Month- Code2 Code 1 buyer/seller Day (J-P) (A-H) i (if private transaction) 35. -AMERCAN FUNDS - NEW PERSPEC TVE FUND - CL A" 36. -AMERCAN FUNDS - CAPTAL WOR LD GROWTH AND NCOME FUND - CL Buy L 37. -AMERCAN FUNDS- FUNDAMENTAL NVESTORS - CL A" 38. -AMERCAN FUNDS - THE NVESTM ENT COMPANY OF AMERCA-CL A" 39. -AMER1CAN FUNDS - WASHNGTON MUTUAL NVESTORS FUND - CL A" 40. -AMERCAN FUNDS - THE NCOME FUND OF AMERCA -CL A" 41. -AMERCAN FUNDS - AMERCAN BA LANCED FUND - CL A" 42. -AMERCAN FUNDS - THE CASH MA NAGEMENT TRUST OF AMERCA - CL 43. -VAN GUARD NDEX FUND Buy (add'!) 05/23 J 44. -VANGUARD EMERGNG MARKETS STOCK NDEX FUND Buy 05/23 K 45. RA#2 E Dividend 0 T 46. -AMERCAN FUNDS- EUROPACFC GROWTH FUND - CL A 47. -AMERCAN FUNDS - THE GROWTH F UND OF AMERCA - CL A AMERCAN FUNDS - NEW PERSPECT VE FUND - CL A -AMERCAN FUNDS --CAPTAL WOR LD GROWTH AND NCOME FUND-CL A -AMERCAN FUNDS --FUNDAMENTAL NVESTORS - CL A -AMERCAN FUNDS - THE NVESTME NT COMPANY OF AMERCA - CL A. ncome Gain Codes: A =$1,000 or less (See Columns B and 04) F =$50,001 -$ 00, Value Codes J =$15,000 or less (See Columns Cl and 03) N =$250,001 -$500,000 P3 =$25,000,001 $50,000,000 B =$1,00 - $2,500 G =$100,001 -$1,000,000 C =$2,501 -$5,000 H =$1,000,001 -$5,000,000 K =$15,001 - $50,000 L =$50,001 - $!00,000 0 =$500,001 -$1,000,000 Pl =$1,000,001- $5,000,000 P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment (See Column C2) U =Book Value V=Other W=Estimated D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 $25,000,000 T =Cash Market E =S15,001 -$50,

8 -- FNANCAL DSCLOSURE REPORT Page 8of10 BERZON, MARSHA S. 05/14/W09 V. NVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets ncome during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period () (2) (1) (2) (3) (5) Place "(X)" after each asset Amount Type(e.g., Value Value Type(e.g., Date Value Gain dentity of exempt from prior disclosure Code l div., rent, (A-H) or Code 3 int.) (J-P) redemption) Day Code 2 Method buy, sell, Month- Code 2 Code buyer/seller (J-P) (A-H) (if private (Q-W) transaction) (1) (2) L (4) l ' i i i j 52. -AMERCAN FUNDS - CAPTAL NCO ME BULDER - A 53. -AMERCAN FUNDS - THE NCOME F UND OF AMERCA - CL A 54. -AMERCAN FUNDS - AMERCAN BAL ANCED-CLA CAPTAL ACCOUNT N LAW FRM PARTNERSHP * D nterest J u. ncome Gain Codes: (See Columns Bl and D4) 2. Value Codes A =$1,000 or less F =$50,001 -$100,000 J =$15,000 or less B =$1,00 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50,000 c =$2,501 -$5,000 D=$5,001 -$15,000 E =S 15,00 - $50,000 H1 =$1, $5,000,000 H2 =More th $5,000,000 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 P3 =$25,000,001 - $50,000,000 P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

9 FNANCAL DSCLOSURE REPORT Page 9of10 BERZON, MARSHA-S V. ADDTONAL NFORMATON OR EXPLANATONS. (lndicateparlofreporl.) * THE EARNNGS REPORTED N PART V REPRESENT T

10 FNANCAL DSCLOSURE REPORT Page O of O BERZON, MARSHA S. 05/14/2009 X. CERTFCATON. 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 Judicial Conference regulations. Signature NOTE: ANY NDVDUAL WHO KNOWNGLY AND WLFULLY FALSFES OR FALS TO FLE THS REPORT MAY BE SUBJECT TO CVL AND CRMNAL SANCTONS (5 U.S.C. app. 104) FLNG NSTRUCTONS 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