RUGGERO J. LDSER SENOR CRCU JUDGE nifto fafts nurf nf l'pptals fnr f4t ij4iro irmif June 8, 2007 120 CREMON DRVE SUED SN BRBR, C 93117-5511 Phone: 805-685-7 466 Dear Members of the Committee: n Re Calendar Year 2006 Filing n response to the letter of the Chair inquiring about the absence of United Parcel Systems, nc., please amend my report dated pril 28, 2007, transmitting the annual Financial Disclosure Report for calendar year 2006, as follows: 1. Under the investment club category, one of the securities should have been listed as follows: D - - - United Parcel Systems, nc. Sell 1. trust that this will be satisfactory to the Committee. enclose three copies of this letter, as requested. Sincerely, Enclosures: (3) :: rn () rn - < m 0 he Committee on Financial Disclosure Judicial Conference of the United States One Columbus Circle, N.E. Washington, D.C. 20544
.. r- OJO l FNNCL DSCLOSURE REPOR Report Required by the Ethics in Government ct of 978 Rev. 11007 FOR CLENDR YER 2006 (5 U.S.C. app. O- ). Person Reporting (last name, fit, middle initial) Court or Organization ldisert, Ruggero J hird Circuit 04/28/2007 4. itle (rcle ll judges indicate active or senior status; magistrate judges indicate full- or part-time) Senior U.S. Circuit Judge Sa. Report ype (check appropriate type) D Nomiation, Date D nitial nnual D Final 6. Reporting Period 01101120- to 1213112006 7. Chambers or Offce ddress 120 Cremona Drive Suite "D" Santa Barbara C93117-5511 Sb. D mended Reprt 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. Reviewing Offr Date MPORN NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable informatin. Sign on last page.. POS 0 NS. (Reportig individual 011/y; see pp. 9-13 of instructns) D NONE (No reportable positions.) POSON NME OF ORGNZON/ENY l. Emeritus rustee University of Pittsburgh Board of Visitors, Law School University of Pittsburgh -0 - c::> c::: (/ -- :::0 C',_, :!!: rn?> O:; -< ( ) 4. (/ ). Cz rn - ::D rt_ < 5. o:i )> -rr rn _,, - <; CJ D rr a-. GREEMENS. (Reporting individual only; see pp. 14-16 of instrw:tions.) (K NONE (No reportable agreements.) PRES ND ERMS l.
FNNCL DSCLOSURE REPOR 'Page 2of10 Name of Person Reporting ldisert, Ruggero J 04/28/2007. N 0 N-NES MEN N CO ME. (Reporting individual and spouse; see pp. 17-24 of instructions.). Filer's Non-nvestment ncome D NONE (No reportable non-investment income.) SOURCE ND YPE NCOME (yours, not spouse's). 2/8 Nat'l nstitute of rial dvocacy (Publications Royalties) $ 6796.52 8/8 Nat'l nstitute of rial dvocacy (Publications Royalties) $ 5900.90 11319 West Group (Publications Royalties) $ 1595.20 4. March-Dec. uthorhouse and retail outlets (Publications Royalties) $ 5707 5. 617 Yoa Enterprises (Pubnlication (Royalties) $ 594.50 B. Spouse's Non-nvestment ncome - f you were marrd durig any portin of the reporting year, comp/ere this section. (Dollar amount not required except for honoraria.) [K NONE (No reportable non-investment income.) SOUCE ND YPE. 4. 5. JV. REMBURSEMENS - transportatin, lodging, food, entertainment. (ncludes those to spouse and dependent children. See pp. 25-27 of instructions.) [K NONE (No reportable reimbursements.) SOURCE DESCRPON. 4. 5.
FNNCL DSCLOSURE REPOR Name of Person Reporting Page 3of10 ldisert, Ruggero J 04/28/2007 V. GFS. (ncludes those to spouse and dependent chilren. See pp. 28-31 of instructions.) [ NONE (No reportable gifs.) SOURCE DESCRPON VLUE l. 4. 5. VJ. LJBJLJJES. (ncludes those of spouse and dependent children. See pp. 32-33 of instructins.) [ NONE (No reportable liabilities.) CREDOR DESCRPON VLUE CODE. 4. 5.
FNNCL DSCLOSURE REPOR Name of Person Reporting Page 4of10 ldisert, Ruggero J 04/28/2007 V. NSMENS and RUSS - D NONE (No reportable income, assets, or transactions.) l. c. Description of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure m= uring. reportng period (-H) ; i income, value, transactins (ncludes those of the spouse and dependent children. See pp. 34-60 of fiing instructions.) <1i t. (2) ype (e.g. div., rent, or int.) Gross value at end of reporting period () (2) () (2) Value Code 2 - -' -- L_- ---' Value Method (Q-W) (3) D. ransactions during reporting period ype(e.g. Date Value Gain dentity of buy, sell, Month - Code 2 Code buyer/seller (J-P) Code3 redemption) Day (J-P) (-H) (4) (5) (if private transaction). Blair Cty Hosp. Bond nterest J Santa Barbara Banl & rust Co nterest L Morgan Stanley Dean Witter R Sell 10/04 K 4. --Div. Growitb Mutual Fund Sell 10/4 J 5. -Utilities Mutual Fund Sell 10/04 J 6. -Global Fund Sell 10.04 J 7. Cantella & Co. R (New R broker) B K 10/04 K 8. --Columbia Marsico 21st Fund 10/04 J 9. --Davis New York Venture 10/24 J 10. --Pimco FDS Pac nvt Mgmt Serv 10104 J 11. --Van Kampen Equity & ncome 10/04 J 1 -lliance Berstein Balanced 10/24 J 1 -Growt Fund mer nc. 10/04 J 14. MUL FUNDS 15. Gabelli sset K 16. Davis New York Venture K 17. Columbia com Fund Cl J. ncome Gain Codes: $1,000 orless B $1,001 -$2,500 c $2,501 -$5,000 o s5,00 -$15,000 E $15,00 -$50,000 (See Columns B and D4) F $50,001 -$100,000 G SOO,OO -$1,000,000 H s1,ooo,001 -$5,ooo,ooo H2 =More than $5,000,000 Value Codes J $15,000 orle. K S5,00 -$50,000 L $50,001 -$100,000 M $100,001 - $250,000 (See Columns Cl and 03) 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 s25,ooo,001 -s5o,ooo,ooo R e{ost (Real Estate Only) P4 =More than $50,000,000 =Cash Market (See Column C2) Q ppraisal V=Other S =ssessment U =Book Value W ""Estimated
FNNCL DSCLOSURE REPOR Name of Person Reportig Page 5of10 ldisert, Ruggero J 04/28/2007 V. NVSMENS and RUSS - D NONE (No reportable income, assets, or transactions.) income, value, transactions r1nc1udes those of the spouse and dependent children. See PP 14-60 offuing instructions.) 18.. B. c. D. Description of ssets ncome during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period (!) (2) (!) (2) (!) (2) (4) (5) P lace "(X)" after each asset mount ype (e.g. Value Value ype (e.g. Date Value Gain dentity of Code exempt from prior disclosure div., rent, Code2 Method buy, sell, Month- Code 2 Code buyer/seller (-H) or int.) (J-P) Code3 redemption) Day (-H) (if private (Q-W) transaction) Growth Fund of merica i, L L (3) (J-P) 10/31 J 19. merican Funds ax Exempt "F" B nterest L 20.. Rowe Price High Yield nterest L Sell 8/16 K 21. empleton Foreign L Sell 8/16 L 2 MCPFund L 2 Royce otal Return K 24. First Eagle Overseas Fund K 25. Van Kampen High Yield Muni nterest K 26. Van Kampen Comstock Cl K 27. Franklin nvs Sec. r. Flltg J 28. Pimco FDS Pac nt. Mgmt J 29. lliance Bernstein C.F. nterest K Sell 1126 K 30. Franklin Mutural Recovery FD J 8/16 J 31. lliance Berstein ntl J 8/16 J 3 lliance Bernstein Muni ncome nterest K 10/23 K 3 Diamond Hill Long-Short Fund nterest J 12/18 J 34. Bear Stears empfund nterest J 10/04 J l. ncome Gain Codes: =$1,000 orless B =Sl,001 -$2,500 c =$2,501-$5,000 0=$5,001-$15,000 E =$15,001 -$50,000 (See Columns Bl and D4) F =$50,001 -$100,000 G =$100,001 -Sl,000,000 Hl =$1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes J=$15,000orless K oo$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 -S 1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000 Value Method Codes (See Column C2) P3 =$25,000,001 -$50,000,000 Q =ppraisal U =Book Value R ost (Real Estate Only) V cr P4 =More than $50,000,000 S =ssessment W=Estirated ash Market
FNNCL DSCLOSURE REPOR Name of PerS-n Reporting 'Page 6of10 ldisert, Ruggero J 04/28/2007 V. NSMENS and RUSS - income, value, transactions (ncludes those of the spouse and dependent children. See pp. 34-60 of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets ncome during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period (2) () (2) () (2) (3) (4) (5) Place "(X)" after each asset mount ype (e.g. Value Value ype (e.g. Date Value Gain dentity of exempt from prior disclosure Code div., rent, Code 2 Method buy, sell, Month- Co Code buyer/seller (-H) or int) (J-P) Code 3 redemption) Day (J-P) (-H) (if private 35. (Q-W) transaction) 1 L---- L 36. 37. COMMON SOCKS 38. ntel K Sell 8/10 J 39. Johnson & Johnson K 40. Mellon Finl Corp K 41. Pfizer K 4 General Electric K 4 Citigroup J 44.!Shares FSE/Xiuhua China 25 Fund J 8/10 J 45. Starbucks Corp J 8/10 J 46. Schlumberger LD ntilles J 10/24 J 47. 48. NVESMEN CLUB 49. Mission mpossible Partners M 50. --Johnson & Johnson 51. --Citigroup. ncome Gain Codes: =$ l,000 or less B =$1.00l -$2,500 c =$2,501 -$5,000 D=$5,00l-$l5,000 E 9il5,00l - $50,000 (See Cohunns Bl and 04) F 9;50,00l -Sl00,000 G =$100,00l -$1,000,000 Hl =Sl,000,001 - $5,000,000 H2 =More than $5,000,000 Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,00l -Sl00,000 M 9;100,00l -$250,000 (See Columns Cl and 03) N =$250,00l -$500,000 0 =$500,00l -$1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,00l -$25,000,000 Value Method Codes P3 =$25,000,00l -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 =Csh Marlee! (See Column C2) Q =ppraisal V =Other S =ssesment U =Book Value W =Estimated
FNNCL DSCLOSURE REPOR Name of Person Reporting 'Page 7of10 ldisert, Ruggero J 04/28/2007 V. NSMENS and RUSS - D NONE (No reportable income, assets, or transactions.) income, vatue, transactions r1nc1udes those of the spouse and dependent children. &e PP 34-60 of filing instructins.j. B. C. D. Description of ssets ncome during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period Place "(X)" after each asset exempt from prior disclosure 5 --Berkshire Hathaway 1(11. () (2) (2) (!) (2) (4) (5) mount ype (e.g. Value Value ype (e.g. Date Value Gain dentity of Cod div., rent, Cod2 Method buy, sell, Month- Cod2 Cod buyer/se1ler (-H) or int) (J-P) Co redemption) Day (J-P) (-H) (if private (Q-W) transaction) t (3) 5 --J.M. Smucker 54. -General Electric Sell 01102 J 55. -Proctor & Gamble 56. --Costco Wshl Corp 57. --3M Co 58. -Pfzer, nc. 59. --First Data Corp. 60. --Exxon Mobil Corp 61. --Valero Energy Corp. 6 --Lowes Companies nc 6 --Schlumberger Ltd. 64. --pple Computer Co 65. --Goldman Sachs Groups nc. buy 4/28 J 66. --ntel buy 4/28 J 67. -NEC Corp buy 8/02 J 68. --Nucor Corp buy 8/02 J. ncome Gain Codes: $1,000 or less B 41,001 - $2,500 c $2,501 - $5,000 D $5,001 - Sl5,ooo E $15,001 -$50,000 (See Columns B1 and D4) F sso.001 -s100,ooo G $100,001 -Sl,000,000 m s1,ooo,001 -S5,ooo,ooo H2 More than $5,000,000 Value Codes J $15,000 or less K s15,001 -S5o,ooo L s50,001 -s100.ooo M 100,001 - $250,000 (See Columns Cl and DJ) N $250,001 - $500,000 0 4500,00 l - $1,000,000 Pl s1,ooo,001 -S5,ooo,ooo P2 $5,000,001 - $25,000,000 Value Method Codes P3 $25,000,001 - $50,000,000 R ost (Real Estate Only) P4 =More than $50,000,000 ashmarket (See Column C2) Q ppraisal V=Ocr S =ssessment U =Book Value W=Estimated
FNNCL DSCLOSURE REPOR Name of Person Reporting Page 8of10 ldisert, Ruggero J 04/28/2007 V. NSMENS and RUSS -income, value, transactions (ncludes those of the spouse and dependent children. See pp. 34-60 of filing instructions.) D NONE (No reportable income, assets, or transactions.) i. i B. c. D. reporting period reporting period () (2) () (2) () (2) (3) (4) (5) Description of ssets ncome during Gross value at end of ransactions during reportng period (including trust assets) Place "(X)" after each asset exempt from prior disclosure mount ype (e.g. Value Value ype (e.g. Code div., rent, Coe 2 Method buy, sell, ( -H ) or int) (J-P) Code 3 redemption) i i (Q-W) 69. -Wester Union Spino ff Date Value Gain dentity of Month- Co2 Code l buyer/seller Day (J - P) (- H ) (if private 1211 J transaction) 70. --!Shares FSE/XNHU China 25 buy 8/02 J 71. --Simpson Mgf Co J buy 8/02 J 7 MONEY MRKE FUNDS 7 UBS Financial Services nterest J 74. Bear Steans Securities Corp nterest J 75. LFE NSURNCE POLCES 76. Phoenix Whole Life J 77. ransamerica Life Companies Whole Life K 78. Penn Mutual Whole Life J. nco me Gain Codes: =$l,000 or less B =il,001 -$2,500 c $2,501 -$5,000 D $5,001 -$15,000 E $15,001 -$50,000 (See Columns B and D4) F $50,001 - $100,000 G 4100,001. Sl,000,000 H $1,000,001 $5,000,000 1- =More than $5,000,000 Value Codes J $15,000 or less K $15,001 -$50,000 L S50,00 -$100,000 M $100,001 $250,000 (See Columns Cl and D3) N $250,001 -$500,000 0 $500,001 -$1,000,000 Pl s1,ooo,001 -$5,ooo,ooo 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 =Cash Market (See Column C2) Q ppr aisal V er S =ssessment U =Book Value W =Estimated
FNNCL DSCLOSURE REPOR Name of Person Reportng Page 9of10 ldisert, Ruggero J 04/28/2007 Vl. DDONL NFORMON OR EXPLNONS. (ndicate part of Report) Section V Lines 3 and 7.Changed Brokers for R accounts 8/10. Securities under Margan Stanley De Witter sold 8/10 and account closed.. Open new R account 8/10 with Cantellas & Co. on 8/10 and puirchsed new securities. Line 69 On December Western Union was a spin off company from First Data Line 59.
... r FNNCL DSCLOSURE REPOR Name of Person Reportng Page 10of10 ldisert, Ruggero J 04/28/2007 X. CERFCON. certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, tre, 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. Date '( {J_'--f./,"_2_.J _,_ V_ j v_,) FLNG NSRUCONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure dministrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544