jeremy d fogel financial disclosure report for 2010

8/3/2019 Jeremy D Fogel Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/jeremy-d-fogel-financial-disclosure-report-for-2010 1/15

AO 1 0Rev. 1/2011

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0

Report Required by the Ethics

in Government Act o f 1978(5 U.S. C. app, , s q~ q 101-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r st , m i d d l e i n i ti a l)

Fo g el , J erem y D .

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;

magistrate judges indicate full- or part-time)

U. S. Di s t r i c t J udg e - a c t i v e

7 . C h a m b e r s o r O f f i c e A d d r e s s

Uni t ed St a t es Co ur t h o use

280 South First StreetSa n J o se , Ca l i fo rn i a 95113

2 . C o u r t o r O r g a n i z a t i o n

N. D. C a l i fo rn i a

3 . Date o f Report

05/03/2011

5a. Repo r t Ty pe (check appropr ia te type)

] Nomination, D a t e

[] Initial[] Annual

[] Final

5b. [] Amended Report

8 . O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a in e d i n t h i s R e p o r t a n d a n y

m o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c e

with applicable laws and regula t ions.

R e v i e w in g O f f i c e r D a t e

6. Report ing Period

01/01/2010

12/31/2010

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,

check ing the NONE box for each pa r t where you have no repor table in formation . S ign on las t page.

I . P O S I T I O N S . ( R o p o . i n g individual only; seepp. 9-13 of f il ing instructions. )

~ - ~ N O N E (N o reportable positions.)

POSITION

1. Lecturer in law

2, T r u s te e Trust # I

N A M E O F O R G A N I Z A T I O N / EN T I T Y

S t a n f o rd L a w S c h o o l

I I . A G R E E M E N T S . (R e por t ing individual only; see pp. 14-16 of filing instructions.)

~ NONE (No repor tab le agreemen ts . )

I . 9 /30/81

D A T E PARTIES AND TERMS

Ca l i fo rn i a J ud i c i a l Ret i rem ent Sy s t em : en t i t l ed t o a ppro xi m a t e l y 61% o f t h en-c u rren t s a l a ry o f Super i o r Co ur t J udg e

a s o f m y 63rd b i r t h da y

P a g e 2 o f 7

N a m e o f P e r s o n R e p o r t i n g

Fogel, Jeremy D.

D a t e o f R e p o r t

05/03/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ( n e p o . i .g i n d i , ’ id u a l a n d s p o u s e ; s e e p p . 1 7 - 2 4 of filing instructions.)

A. Filer’s Non-Investm ent Incom e

D (No reportable non-investment income.)O N E

D A T E S O U R C E A N D T Y P E INCOME

(you r s , n ot s p ou s e ’s )

I . 2010 S tanford Law S chool ( t e ach ing) $10350

B . S p o u s e ’ s N o n - ! n v e st m e n t I n c o m e - i f y o u w e r e marr ied d u r i n g a n y p o r t i o n o f t h e r e p o r t i n g y e a r , c o m p l e t e this section.

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

I. 2OlO

S O U R C E A N D T Y P E

L o s Ga t o s -Sa ra t o g a J o i n t Un i o n Hi g h Sc h o o l Di s t r i c t

I V . R E I M B U R S E M E N T S - t ra ns por ta t i on , l od gi ng, food , entertainment-

( I n c l u d e s those to spouse a nd depen dent chi ldren; see pp. 25 -27 of f i l ing ins t ruct ions . )

NONE (No reportable reimbursements.)

S O U R C E D A T E S LO C A T IO N P U R P O S E I T E M S PAID OR PROVIDED

I. Pe p p e r d in e Un ive r s i ty Law 3/I 8/2010-3/19/2010 Malibu , C A S pea k a t c on feren ce T ra ns po rta tio n, m ea ls a nd lo dg in gSc h o o l

2. Ge orge Wash ington 5 / 10 /2 0 10 - 5/ I 1 /2 0 10 W a s h in g to n , D C S pea k a t c on feren ce T ra ns po rta tio n, m ea ls a nd lo dg in gUnivers ity

3. F e de ra l C i rcui t B ar 6 /2 5/2 010 -6 /2 6/2 01 0 C olo ra do S prin gs , C O S pe ak a t c on fe ren ce Transpor t a t ion , me al s and lodgingAssociation

4. IN TE RP OL, U nd e~ vriters ’ 1 0/16 /2 01 0- 10 /22 /2 01 C , H on g K on g, C hin a S pe ak a t c on fe ren ce Transpor t a t ion , me al s and lodgingLaboratories

5. St a t e Ba r o f C a l i fo rn i a , I0 / 29/ 2010-10/30/ 201C Napa , C A Spea k a t c o nferenc e Transpor t a t ion , me al s and lodgingIntel lectual Property LawSec t i o n

P a g e 3 o f 7

N a m e o f P e r s o n R e p o r t in g

Fogel , Jeremy D.

05/03/201 I

V . G I F T S . a n c h , d , ~ t h o s e t o s p o u s e , , n d d e p e n d e n , e h i l , ~ ’ e n : ~ e e p p . ~ s . s ~ of filing instructions.)

N O N E (No reportable gifts .)

S O U R C E D ES C R IP T IO N

V l . L I A B I L I T I E S . a n c l u d e s those of spouse and d ependent children; see pp. 32-3 3 of f i l ing instructions.)

[~] N O N E (No reportable l iabil ities.)

CREDITOR DESCRIPTION

VALUE CODE

Fogel, Jeremy D.

Date o f Report

05/03/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - inc o ,~e . , ’a lu e . t r ansac t ions (Inc lu des t hose of spou se and dependen t c hi ldr en; see pp . 34-60 of f i ling ins t r u c t ions . )

NONE (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s Income during

( i n c l u d i n g t r o s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r io r d i s c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

0) (2)V alu e V alue

C o d e 2 M e t h o d

( .I-P) C o d e 3

( Q - W )

0)Type (e.g.,

buy, sell,

redemption)

T r a n s a c t i o n s d u r i n g r e p o r t in 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 C o d e 2 C o d e I

( J - P ) (A -H )

I d e n t i~ y o f

buyer/seller

( i f p r i v a t e

t r a n s a c t i o n )

I. Fi rs t Wes t ern I nv es t m en t s ( a s se t s b e l o w)

3. -Russe l l Co re Equ i t y Fund CI I ( fm r Russe l l A Distr ibution

Equity I )

4. - R u s s e l l T a x - M a n a g e d L g C a p F u n d C Dis t r ibu t ion

5. -Russe l l l n t l Dev el o ped Ma rket s Fund I N on e( fm r Ru sse l l I n t l I)

6. - -Russe l l Em erg i ng Ma rket s A Distr ibution

7. - R u s s e l l T a x E x e m p t B o n d B In t. /Div.

8. --Fidel i ty Cash A In t. /Div.

9. - - R u s s e ll T a x - M g d M i d & S m C a p F u n d C Dis t r ibu t ion

1 0 . Mo rg a n St a n l ey Dea n Wi t t er I RA # 1 ( a s se t s

b el o w)

1 1 . - -MSDW L i qu i d Asse t Fund A In t. /Div.

1 2 . - P i o n e er M i d - C a p F u n d A Di v i dend

1 3 . - -Mo rg a n St a n l ey Ba nk A Interest

1 4 . - - J o h n Ha nc o c k Reg i o na l Ba nk B A Interest

1 5 . - - U n i t V a n K a m p e n E A F E S e l ec t 2 0 A In t. /Div.Portfolio 2007- I

1 6 . Mo rg a n St a n l ey Dea n Wi t t er I RA # 2 ( a s se t sbelow)

1 7 . - -MSDW L i qu i d Asse t Fund A I m . /Div.

R e d e e m e d(par t)

R e d e e m e d( p a n )

O4/01/10 K

09/09/I 0 K

1. Income Gain Codes: A = $ 1 . 0 O O o r le s s B =$1.001 - $2 ,500 C = $2.501 - $5.000 D =$5.001 - $15,000

(Se e Co l umns B I and D4 ) F = $50.001 - $10~ .000 G = $100,001 - $1.000,000 Ill =$1,000.001 - $5.00).090 H2 =More than $5,0~0.000

2. Value COd¢~ J=

$15,000 or less K =$15.001 - $50.000 L = $ 5 0 . 1 ) 0 1 - $ 1 0 0 . 0 0 ~ M=

$ 100.001 - $250,1)00

( s e e C o lum ns C I a n d D 3) N -$250.0OI - $500,00~ O=$500.001-$1.000.000 PI $ 1.000.001 - $ 5.090,000 P2 =$5.000,001 - $25.0~O.0~0

P3 =$25,000.001 - $50.00~.000 P4 =More than $50,000,0~0

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S = A , : . s e s ~ , m c n t T - C a s h Ma r ke t

(Se e Co l umn C2) U = B o o k Val ue V = O t he r W =Est in talcd

E =$15,001 - $50,000

P a g e 5 o f 7

Fogel , Jerem y D.

05/03/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - inc om e, r a lu e , tr ansac t ions (Inc lu des t hose of spou se and dependen t c hi ldr en; see pp . 34-60 of fi l ing ins t ru c t ions . )

N O N E (No reportable income, assets, or transactions.)

Des c r i p t i on o f A s s e t s I n c o m e d u r i n g

( inc luding t r u s t a s s e t s ) r e p o r t i n g p e r i o d

(1) (2)

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

exempt from prior disclosure Code I di v . , re n t ,

(A-H) o r i n t . )

o f re po rt i ng pe r i o d

(1) (2)

V a lu e V a lu e

(J- P ) C o d e 3

( Q - W )

(] )Type (e.g.,

b uy , se l l ,

r e d e m p t i o n )

T r a n s a 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

mm/ dd/ y y C o d e 2 Co de I

( J - P ) { A - H )

I d e n t i t y o f

bu yeN s el ler

(ifprivate

t m n s a c t i o n )

1 8 . -Mor gan Stan l ey Bank A I n t e r e s t

1 9 . - M S D W Gl ob a l A d van t ag e B A Dividend

20 . --Pioneer Mid-Cap Fund A Dividend

2 1. - -J o h n H an c o ck Re gi o na l B a n k A A I n t e r e s t

22 . --MS Spectrum Tech A Dividend

23 . --MS Spectr um Select A Dividend

24 . World Savings lRA (CD) A I n t e r e s t

25 . World Savings IRA (CD) A I n t e r e s t

26 . Trust #1 (assets below)

2 7. - -C it y Na t io n a l B an k L a dd e r Ac c o un t C I n t e r e s t

2 8. L TCQ , In c . c o m mo n st oc k None

I . Income Gain Codes: A =$1,000 or less B =$1.001 - $2 ,500 C = $2,501 - $5.000

(Se e Co lumns B I a nd I ) 4 ) F =$ 50.001 -

2. Val ue Co de s J =$15.000 or less K = $15,001 - $50.000 L = $50,001 - $100,000

(Se e Co l umns CI and D3 ) N -S250.001 - $500.090 O = $50 0.0 ~1 - $ 1,0 ~) .0 00 P I = $1, 00 0,0 01 - $ 5, 00 0.0 90

P3 =$25.00~.001 - $50.00~.000 P4 =More than $50,000,0~0

3. Value Method Codes Q =Appraisal R -Cosl (Real Estate Only) S = A sse ssme n t

(Se c Co l umn C2) U = B o o k Val ue V Other W = E sl imat cd

= $ 5 , 1 1 0 1 - $ 1 5 , 0 0 0

H2 =More than $5,000.000

M =$100,0~1 - $250,000

P2 $5,0~1,001 - $25.000,000

- C a s h Ma r ke t

E =$15,001 - $50,000

P a g e 6 o f 7

N a m e o f P e r s o n R e p o r ti n g

Fogel , Jeremy D.

05/03/2011

V III . ADDITIONAL INFORM ATION OR EXPLANATIONS.

Name of Person Repor ting

F oge l , Je re my D .

Date of Report

05/03/2011

IX. CERTIFICATION.

I c e r t i f y t h a t a l l 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 i n 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 ) i s

a c c u r a t e , t r u e , a n d c o m p l e t e to 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 rt e d ~ v a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t or yp r o v i s i on s p e r m i t t in g n o n - d i s c l o s u r e .

I f u r t h e r c e rt i f y t h a t ea r n 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 t s w h i c h h a v e b e e n r e p o r t e d a r e inco mp l ian ce wi th the p r o v is io n s o f 5 U.S.C. ap p . § 501 e t . seq . , 5 U.S.C. § 7 353 , an d Ju d ic ia l Co n fer en ce r eg u la t io n s .

Signature: S] Jerem y D. Fogel

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S I F IE S O R F A L L S T O F I LE T H I S R E P O R T M A Y B E S U B J E C T 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 )

C o m m i t te e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t ra t i v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sSu i te 2 -301O n e C o l u m b u s C i r c l e , N .E .W a s h i n g t o n , D . C . 2 0 5 4 4

AO 1 0Rev. 1/2011

FOR CALENDAR YEAR 201 0

Report Reqtdred by the Ethics

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

I . Person R eport ing (last name, f i rst , middle ini t ia l )

V o g el , J e rcmy D .

4. Title (Ar tic le i l l judges ind ica te ac tive or sen ior s ta tus ;

magist rate judges indicate fu l l - or p ar t - t ime)

U. S , D is t r i c t J ud g e - ac t ive

7 . C ha m be r s o r O f f i ce A d d r e s s

Un i ted S ta tes Co ur tho use280 South Firs t StreetS an . lo se , Ca l i fo rn ia 95113

2. Court or Organizat ion

N. D . Ca l i fo rn ia

D a t e of Repor t

06/09/201 I

5a . Repor t Type (check appropr ia te type)

] Nomination, D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the bas is o f the in formation conta ined in th is Repor t and anymodification~ pertaining thereto, it is , in my opinion, in compliancewith appl icable laws and regulat ions .

Reviewing Of f ice r Date

6. Repor ting Per iod

01/01/2010

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe ,! Complete all parts,

check ing the NONE box for each par t where you have no repor table in formatiot~ S ign on las t page.

I. P O S I T I O N S . C R e V o , ’ , in g in d iv idua l on ly ; seepp . 9 - I 3 o f f i l in g in s truc t ion s . )

~-~ N O N E (No reportable positions.)

POSITION

1. Lecturer in law

2. Trustee Trust # I

N A M E O F O R G A N I Z A T I O N /E N T I T Y

S t a n f o r d L a w S c h o o l

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions.)

[~ NONE (No reportable agreements.)

1.9/30/81

DATE P A R T I E S A N D T E R M S

Cal i fo rn ia Jud ic ia l Ret i r em ent Sys tem: en t i t led to approx imately 6 1 % o f t h e n - c u r r e n t s a l a r y . o f S u p e r i o r C o u r t J u d g eas o f my 63rd b i r thd ay

Fogel, Jeremy D.

06/09/201 I

I II . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer’s Non-Investment Incom e

D NONE (No reportable non-investment income.)

D A T E S O U R C E A N D T Y P E INCOME

(yours , no t spouse ’s )

I. 2010 S t a n f o r d L a w S c h o o l ( t e a c hi n g ) $10350

B . S p o u s e ’ s N o n - l n v e s t m e n t I n c o m e - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

D (NO reportable non-investment income.)O N E

I. 2010

S O U R C E A N D T Y P E

Lo s Gato s -S ara to g a J o in t Un io n Hig h S cho o l D is t r i c t

IV . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainment.

( Inc ludes those to spouse a nd dependen t chi ldren: see pp . 25-27 of f i l i ng ins truct ions . )

D NONE (N o reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. Peppe rd ine U nive rs i ty Law 3/18/2010-3/19/2010 Mal ibu , CA S p ea k a t co nfe re nce T ra nsp or ta tio n, m ea ls an d lo dg in gS c h o o l

2. G eo rg e W ash in g to n 5/10/2 010 -5/11/2 0 10 W ashin g to n , D C S p ea k a t co nfe re nce T ra nsp or ta tio n, m ea ls an d lo dg in gUniversi ty

3. Fed era l Ci rcui t Bar 6 /2 5/2 010 -6 /26 /2 0 10 C olo ra d o Sp rin gs, CO S p ea k a t co nfe re n ce T ra n sp orta t io n, m ea ls an d lo dg in gA ssoc i a t i on

4. INTERPO L, Un d erwri t e rs’ 10/16/2010-10/22/201C H o n g K o n g , C h in a S p ea k a t co n fe re n ce T ra n sp o rta t io n , m ea ls a n d lo d g in g

Labo ra to r i es

5. S ta te Bar o f Ca l i fo rn ia , 1 0/29 / 201 0- 1 0/3 0/201 C N apa , CA S p ea k a t co nfe re nce T ra nsp or ta tio n, m ea ls an d lo dg in gIntel lectual Property Law

S ec t io n

P a g e F I N A N C I A L 3 o f 8 D I S C L O S U R E R E P O R T I Fogel, Jeremy D.

~] N O N E (No reportable g~s.)

SOURCE DESCRIPT|ON

D a ~ e o f R e p o r f

06/09/2011

V I . L L A B I L I T I E S . a n e l u d e s , h o s e o l sp o u s e a , d d e p e n d e n , children; see p p . 3 2 - 3 3 of filing instructionsO

NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

VALUE CODE

Fogel, Jerem y D.

06/09/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - in c ome, va lue , t ra n sa c t ion s ( I n c ludes those o f spouse a n d de pen den t c h i ldren ; seepp . 34 -60 o f f i l in g in s truc t ion s . )

[ ~ ] NONE (No reportab le income, asse ts , or transact ions . )

D e s c r i p t i o n o f A s s e t s Income during

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e (e . g . ,

exempt from prior disclosure Code I d i v . , r e n t ,( A - H ) o r i n t . )

of repor ling per iod

(D (2)

Value Value

C o d e 2 M e th o d

(J-P) C o d e 3

( Q - W )

O)T y p e ( e . g .,

buy , s e l l ,

Transactions during reporting period

( 2 ) ( 3 ) (4)

D a t e Value G a i n

m n ’ d d d / y y C o d e 2 C o d e 1

( J - P ) (A-H)

I d e n t i t y o f

buyer/seller

( i f p r i v a t e

Fid e l i ty In ves tmen t s (as se t s l i s t ed be lo w)

-Russe l l Co re Equi ty Fun d CI 1 ( fmr Russe l l

Equity 1)

- - R u s s e ll T a x - M a n a g e d L g C a p F u n d

- -Russe l l In tl D eve lo p ed M arke t s Fun d 1(fmr R usse l l In t l I )

- - R u s s e l l E m e r g i n g M a r k e t s

- -Russel l Tax Exempt Bond

--Fideli ty Cash

- - R u s s e ll T a x - M g d M i d & S m C a p F u n d

A Distr ibut ion J

C Distribution K

N o n e

A Distribut ion J

B ln t . /Div.

A Int . /Div, J

C Distribut ion K

T Sold 04/05/10 J A

(part )

Sold 09110/10 J A

(par t )

Sold 12/31110 J A( p a r t )

T Sold 04/05110 J A

(par t )

Sold 09/10/10 J A

(par t )

Sold 12131/10 J A

(par t )

T Sold 04/05110 J A

(par t )

Sold 09110/10 J A(par t )

T Sold 04/05110 J A

(par t )

S o ld 09/10/10 J A

(part )

T Sold 04/05/I 0 J A

(par t )

Sold 09/10110 J A

(par t )

Buy 12/31110 J( add’ l )

T Sold(par t )

S o ld

(par t )

04/05/10 J A

09/10/10 J A

I . I n co m e Ga in Co d e s : A $ 1,0 0 0 o r Ic ss B=$1,001-$2 ,500 C =$2,501 - $5,000 D=$5,001"$15,0O 0

(S e e Co lum n s B I a n d [M) F =S50,0~1 * $100.009 G -$100.001 * $1,009.00~ HI =$1.0(~.001 - $5,0OO,0~9 H 2 - Mo re th a n

2 . Va lue Co d e s J $1 5 . 000 or l ess K :$15,001 - $50,000 L =$50.001 - 5100,000 M =$100,001 - $250,000

(See Co lurnns CI a n d D 3 ) N =$250.001 -$500.000 O 5500.0~1 - 51,00~,000 PI -$1,0OO,001 - $5,000,0~0 P2 =$5,000.001 - 525,000.00~

P3 - 5 25 .0~ .0~ 1 - $5 0.000.0~ 0 P4 =More than $50,000.000

3. Value Method Codes Q =Appra i~ l R =Cost (Real Estate Only} S = A s s e s s m e n t T =Cash Marke t

( s e e C o l u m n C 2 ) U =Book Value V :Other W = Es t im a te d

E =515,0~1 - 550,00(I

Fogel, Jeremy D.

D a t e o f R e p o r ~

06/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g

( i nc luding t r u s t a s s e t s ) r e l ~ r t i n g p e r i o d

(l) (2)

exempt from prior disclosure Code I d iv. , r en t ,

( A - H ) o r int . )

Gross value at end

(n (2)

V a l u e V a l u e

C o d e 2 Method

(J-P) C o d e 3

( Q - W )

Type (e.g.,

buy , s e l l ,

redempt ion)

T r a n s a c t i o n s d u r i n g r e p o r l i n g p e r i o d

(2) (3) (4)

D a t e V a l u e G a in

mm/dd/yy Code 2 Code 1

( J - P ) (A- IT)

Ident i ty of

buy er / se l l e r

( i f p r i v a t e

1 9 . Morgan Stanley Dean W itter IRA #1 (assets

belo\v)

20 . --MSDW Liquid Asset Fund A Int./Div.

22 . --Morgan Stanley B ank A I n t e r e s t

23 . --John Hancock Regional Bank B A I n t e r e s t

24 . --Unit Van Kampen EAFE Select 20 A IntJDiv.Porl folio 2007-1

25. Morgan Stanley Dean W itter IRA #2 (assets

below)

2 6 . - -MS DW Liq u id As se t Fund A Int./Div.

27 . --Morgan Stanley B ank A I n t e r e s t

28. --MSDW Global Advantage B A Dividend

3 0 . - -John Han cock Reg iona l B an k A A I n t e r e s t

3 1. - -M S Sp ec tr um T ec h A Dividend

3 2 . - -M S Spect ru m Se lect A Dividend

33 . W orld Savings IRA (CD) A I n t e r e s t

34 . W orld Savings IRA (CD) A I n t e r e s t

Sold( p a n )

12/31/10 J A

I . I n co m e Ga in Co d e s : A =$1,000 or less B = $1,001 - $2 ,500 C = $2,501 - $5,000 D = $5,001 - $15,000

(S ee Co lum ns B I a n d D4) F = $50,001 - $100.000 G =$100.001 - $1,000,000 H I = $1,000,001 - $5.00~ .0~ 0 H 2 = M o re th a n $5 ,000,0(~

2. V alue C o d es J = $15,000 or le ss K =$15,001 - $50,009 L =$50,0OI - $100,0~0 M =$100,001 - $250,00~

( S e e C o l u m n s C I and D3) N =$250.0(11 - $50~.000 O =$500,001 - $1,00~,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,091 - $25,000,000

P3 $25.000,001 - $50.000.000 P4 =More than $50.000,0~0

3. Value ~tcthod Codes Q =Appr a i s a l R =Cost (Real E., . tate Only) S =As: . ,cssment T = Ca s h M a r k e t

tSc e Co lumn C2 ) LI =Book Valu e V - O t h e r W = Es l tm a lcd

E =$15,001 - $50,0OO

Fogel, Jerem y D.

06/09/2011

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 . , e , , ’ .l . e , t r a n s a c t i o n s (Includes those of spouse and dependent children; s e e p p . 3 4 - 6 0 of filing in structions.)

D e sc rip tio n o f A sse ts In c o m e d u rin g

( in c lu d in g tru s t a s se ts ) r e p o rt in g p e r io d

(1) (2)

exempt from prior disclosure C o d e I d iv . , r en t ,

( A - H ) o r in t . )

(i) (2)V a lu e V a lu e

( . I -P ) C o d e 3

O)Type (e.g.,

buy . s e l l ,

T r a n s a 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)Dat e Value Gain

m n d d d / y y Code 2 Code I

I d e n t i l y o f

buy e r / se l l e r

( i f p r i v a t e

35 . Trust #1 (assets below)

36 . - C i t y N a t i o n a l B a n k L a d d e r A c c o u n t I n t e r e s t PI T

37 . L T C Q , I n c . co m m o n s t o c k None K U

I. In co m e Ga in Co d e s :

(S e e Co lum n s B I a n d IM)

2. Value Codes

(See Co lumns CI and D 3)

3. Value Method Codes

( see Co lumn C2 )

A :$1,000 or less

F =$50.001 - $100.000

J -$15,000 or less

N =$250,001 - $500.000

P3 =$25.000.001 - $50.000.000

Q =Appr a i s a l

U = Bo o k Va lue

B=$1.001 - $2.500

G =$100.091 - $1.000.000

K -$15,001 - $50,000

O =$500,001 - $1.000,000

R =Cost (Real Estale Only)

V :Other

C =$2.501 - $5.000

H I =$1.009,001 -

L =$50,001 - $100,000

PI =$1.000.0~1 - $5.000.000

P 4 More than $ 50 .0 ~0 .00 0

S = A s s e s s m e n t

W = Es t im a te d

D =$5,001 - $15,000

H2 =More than $5.000,000

M =$100,001 - $250,000

P2 =$5.0~0,001 - $25.000.000

T =Cash Marke t

E =$15.001- $50,000

Name of Per son Repor ting

F o g e l , J e re m y D .

06/09/201 I

VII I. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of report.)

Name o f Per so n R ep o r t i n g

F o g e l , J e r e m y D .

Date of Report

06/09/201 l

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 i n 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 ) i sa c c u r a t e , tr u e , 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 w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .

I f u r t h e r c e rt i f y th a t e a r n 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 t s 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 n

c o m p l i a n c e w i t h t h e p r o 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 f e r e n c e r e g u l a t i o n s .

Signature: S] Jerem y D. Fogel

N O T E : A N Y I N D I V I D 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 I E 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 C T 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 . § 10 4 )

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

jeremy d fogel financial disclosure report for 2010

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