anita b brody financial disclosure report for 2009

8/3/2019 Anita B Brody Financial Disclosure Report for 2009

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. ~ o # o I FINANCIAL DISCLOSURE REPORT R e ~ r t R ~ . i, ~ a b y a , e E , m e sin Gov~me~ Act of 197~~. t~olo [ FOR CALE~AR YEAR 2009 0 u . s , c , a p p . ~ 1 o 1 , 1 1 0I . P e r s o n R e p o r t i n g ( l ~ s ~ n a m e , f i rs t , m i d d l e i n i ti a l ) 2. Cour t or Organl -at ion 3 . D a t e o f R e p o r tB ro d y , An i t a B . Untied Sta tes Dis tr ic t Court 0 5 1 0 4 / 2 0 1 0

4 . T i t l e ( A r t i c l e I l l 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 ; 5 a . R e p o r t T y p e ( c h e c k a p p m p r l a t e ty p e ) 6. Repor t ing Per iodm a g i s a a t e j u d g e s i n d i c a te f ~ l l - o r p a r t -t l m e )[ ] Nom i na t i on , D a r n 01 / 01 / 2009U . S . D i s ~ t J u d g e [] Initial [] A n n u a l [] Final to12/31/20095 b . [ ] A m e n d e d R e p m t

7, Chambe~ or Office Addres~ 8. On the basis of the informat ion conta ined In th i s Repor t a~d anymodifications pertaining thereto, it i~, In my opinion, In c o m p l i a n c eU n i t e d S t a t e s C o u r t h o u s e with app l icable law~ and regulat ions,I n d e p e n d e n c e Ma l l W e s tPhi l ade l ph i a , PA 191 06 Reviewing O ff icer Date

I M P O R T A N T N O T E S : ~he instructions accompan)~ng this form must be followe,~ Complete all parts,checMng the NONE box for each part where you have no reportable information. ~ign on last page.

~ NONE ~o reportable positions.)P O S I T I O N NAME OF ORGANIZATION~N~

1 . Me m be r B o a r d o f V i s it o r , C o l u m b i a L a w S c h o o l2, T~e ~ T~t3. T~s~ U n d e r A g r e e m e n t o f T ~ t . . . .. . . . ] ~

~ NONE ~o reportable agreements.)~ PAg~ES AND TE~S ~r ....

1. .~2.


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FINANCIAL DISCLO SURE REP O RT [ N .... f P e r s o n R e p o r t in g I D a t e o f R e p o r tPage 2 of 8 [ Brody, Anita B. I

0 5 1 0 , ~ f 2 0 1 0

IH . N O N - I N V E S T M E N T I N C O M E . tre~,o,~ I n ~ ~ . t u ~ , p o u , ,: s e e r ~ , . i Z - 2 of fdin, tnstructlons4A. Fliers Non-lnvestment Income

NONE 0Vo reportable non-investment income.)D A T E SOURCE AND TYPE I N C O M E(yours , not spouses)

1 . 2 0 0 9 C o m m o n w e a l ~ o f P e n n s y l v a n i a -p e n s i o n $ 3 0 ,691 . 002.

3.4.

B . S p o u s e s N o n = I n v e s t m e n t I n c o m e - i / y o u w~,~ married during a~y portion of the reporttng year. complete thL~ section.( D o l l a r a m o u n t n o t r e q u i r e d r _ r c e p t f o r h o n o r a r i a . )

[] N ON E (N o reportable non-investment income.)D A T E SOURCE AND TYPE

I.

2.

3.4.

IV. REIMB URSEM ENTS -t,~o.~,(Includ~ ~ose to s~e and ~nden~ chil~en: ~e~ pp. 25 -27 offding ~t~ctio~.)

~ NONE ~o reportable reimbursemencs.)~ ~ L O C A T I O N ~ ITEMS PAID OR PROVIDE~

1 . N ew Y o ~ In te! lee t~l M ~ h 2 7 , 2 0 0 9 N e w Yo rk , N Y ~tl. B~ A~. F~e~on Trans~atio~ ~ging & MealsP r o p e ~ L a w A s ~ c i a fi o n

2.3.4.5.


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Ia m e , o f P e r s o n R e p o r t i n g Date of ReportFINANCIAL DISCLOSURE REPORTI ~ o ~ y , A , ,J t - B . o ~ / o ~ / 2 o J oa g e 3 o f 8

~ NO ~ ~o repomable~ D E S C R IP T ION

1 .2.3.4.5.

~ N O N E ~ o reportable liabiliti~.)~ D E S C R IP T ION

I.2.3.4.5.


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N a m e o f P e r so n R e p o r t in g [ D a l e o f R e p o r tI NANCI AL DI SCLOSURE REPORT. Brody , Anita B.

[05/04/2010age 4 of 8

V I I . I N V E S T M E N T S a n d T R U S T S - ~ ,, ~ ,, ,, ~ , ~ , ~ , r , ~ , , . , , , ~ o ~ t ~ , , , ~ , ~ , - , , ~ o , , ~ f ~,o~ o~ , ~ , ~ , , d o , , ~ n , ~ , ~ , , ; ~ , o ~ , ~ , . s ~ . ~ o o / s ~ u , , ~ ~ , , ~ , ~ , ~ o , ~NONE (No reportable income, assets, or transactions.)

A. I B. C . D.De sc f i l~ io n o f A~ Ii I a c o m ~ d u r in g Gr oss v ~ u e at end 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( i n c lu d i n g t r u s t ~ s s e t s ) I r e p o z ~ a g p er i o d o f r e p o rt i n g p e r i o dO) ( 2 ) O) (2) (1 ) (2) (3) (4) ( 5 )P l a c e " ( x ) " a f te r e a c h a s s e l A m o u r a T y p e ( e - R . , V a lu e V a l u e T y p e ( e . g . , D a t ~ V a l u e G a i n I d e n t i ~ y o re x e m p t f r o m p r io r is c l o s u r e C o d e 2 M e t h o d b u y , s e l l , m m ldd / yy C o d e 2 C o d e I b u y e r / s e l l e rC o d e I I d i v . , r , m t , (A -H ) o r i n t . ) ( J - P ) C o d e 3 re d~ npt io n) ( J - P ) (A - I I ) ( i f pr ivate(Q -W ) I tr~ction)

1 , Brokerage Aeeotmt # l2. - C o v a n t a Ho l d i n g C o rp o ra t i o n fo rm e r ly N o n e L T S o l d 10/ I 6 /09 K ED a n i e l s o n Ho l d i n g -c s (par t )3. - Dupont-common stock B D i v i d e n d K T

4. - N AB O R S -c o m mo n s t o c k N o n e K T5. - National Asset Bank-common stock None J W6. - R oyal Pa lm-common s tock None J T7. - Source Capital-common stock B Dividend K T8. - T h i rd Av e n u e Va l u e F u n d E D i v i d e n d O T9. - T h i rd Av e n u e S m a l l C a p i t a l F u n d -m u t u a l B Div idend M Tfu n d

1 0 . - Third Avenue Real Es ta te Fund-mutual B D i v i d e n d M Tfu n d1 I, - Third Avenue Int l Value FD B D i v i d e n d M T S o l d 10 / 16 / 09 K(p~)1 2 . - But l e r C oun t y PA - Bo nd E l Inte rest K T1 3 . - JP M or gan T R I 1 M o ne y M ar ke t Fund None J T

1 4 . B a n k Ac c o u n t s1 5 . W ac hov i a - b ank ac c oun t s A Interest K T1 6 . D i m e S a v i n g s -ba n k a c c o u n t A Interest J T1 7 . TIAA R etirement K T


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Na me o f Per so n R epo r t in g Date otReportDI SCLOSURE REPORT[ Brody, Anita B. 05/04/2010

age 5 of 8V I I. I N V E S T M E N T S a n d TRUSTS -,.co.,., . . t . . , t r a n s a c t t o n ~ a n c t ~ t a t h . . . . f . ~ , ~ . a n d dependent chltdren see p p . 3 4 - 6 0 of flltng btctructlons.)

D N O N E (N o reportable income, assets, oi" transactions.)A. I B. C. D.

De s ~ p t l o n o f A s s e t ~ I n c o m e d u r i n g G ro ss v a lu e a t en d Tran sac tio n s du r in g t~-p o rtin g p er io d(including trust ~) t~lmort ing period o f rq~3t t in 8 p~r io d(I) (2 ) (I) (2 ) (I) (2) (31 (4) (5 )P la c e "(X )" a l~er e a ch a sse t A mo tu ~ T y p e ( e , g . , V a l u e V a l u e T y p e ( e . g ~ D a t e V a l u e G a i n I d e n t i t y o fe x e m p t f r o m p d o r d i s c l o ~ a ~ r Codel d iv . , r e n t , C o d e 2 M e t h o ~ buy, se l l , m m / d d / y y C o d e 2 Codel buyer lse l ler( A - H ) o r in t.) (l-P ) C o d e 3 r e d e m p t i o n ) (J-I) ( A - H ) ( i f p r i v a t e

( Q - W ) ~ n s ~ c a o n )1 8 . M~ulife (formerly John H~cock Life) None K T

1 9 . T r u s t # 1 D D ~ v i d e n d O T2 0 . - Rese rve Fund P r imary Po r t fo l io

21 . - Third Avenu e Smal l Cap Va lue Fund2 2 . - T h i r d A v e n u e R e a l E s ta t e V a lu e F u n d2 3 . - T h i r d A v e n u e I n tl V a l u e F u n d2 4 . - Third Avenue Value Fund lnc2 5 . - J P Mo rg a n T R I I M o n e y Ma rk e t F u n d2 6 . [Trust#2 C Dividend M T2 7 , - V a n g u a r d F e d e r a l M o n e y M a r k e t F u n d

2 8 . - Va n g u a rd E m e rg i n g M a rk e t s S t o c k I n d e xInves tor Shares2 9 . - Va n g u a rd Mi d -C a p I n d e x F u n d I n v e s t o r B u y 1 2 / 2 4 1 0 9 , JS h a ~ a (add l )3 0 . - Vanguard Tota l In terna t iona l Stock IndexF u n d3 1 . I R A # 3 E D i v i d e n d PI T

3 2 . - Vanguard Tota l In terna t iona l Stock Index Dis t r ib u ted 01 / 21 / 09 KF u n d (par t )3 3 . - Va n g u a rd W e l l i n g t o n F u n d Ad m i ra lS h a re s3 4 . - Va n g u a rd E q u i t y I n c o m e F u n d Ad m i ra lS h a re s

I . Income Gain Cod e~. A ~I.IX)0 ~" leu B ~ 1.001 - $2,~0,0 C - $ Z 5 0 1 - ~ 5 , 1 X ~ O D - - - ~ 5 D O I - $ 1 5 . 0 0 0 E -$1 ~ ,0 0 1 . $5 0 ,0 0 0(Se Colum~ B l aa, d D4) F -$.5~001 - $100,000 G , . $ I O 0 , 0 ( q - $ 1 . 0 O . 0 0 0 H I ~ $ 1 . 0 0 0 , { X ) I - S J ,O 0 0 , 0 O O H 2 ~ M ~ n ~ I l u m 1 5 , 00 0 . 0~ 02 . Va lue C od ~ . I -- ~ I $ , 0 ~ O o r l e ~ K ~ - $ I S , O 01 - $ $ 0 , 0 0 0 L = $ 5 0 , O 0 1 - $ I 0 0 . 0 0 0 M ~ $ 1 0 0 , 0 0 1 - $ 2 5 0 ,0 0 0(S ee Col ura~ CI In~ D3) N -~$250.001 - $ ~,000 O ~500,001 - $1,0~O,000 PI =$1,000,001 - $5,000,000 P 2 ~ $ 5 . 0 0 ~ . 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0P 3 - g 2 5 . 0 ~ O , 0 O l - $ 5 0 , 0 0 0 , 0 ~ O P 4 = M m ~ d ~ m l $ 5 0 . 0 0 0 .0 0 03. Value Mlb0d Codes Q -A~f~] R "~o~ (R~al Fa;tare Only) S(S ee Cohnm C2) U -B o ok Valu e V -O ch er W-E~im ~ted


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FINANCIAL DISCLOSURE REPORT r ~ . , . , o t P .... Report ing DateofReportPage 6 of 8 B r o d y , A n i t a 8 . 0 5 / 0 4 / 2 0 1 0

VII. INVESTMENTS and TRUSTS -NO NE ~o repomable income, ~sets. or tr~s~tiom.)

& B. ~ D.~i~of As~ In~ed~ng(~cl~ing ~t ~) ~ing

(0 (2) (I) (2 ) (0 (2~ (3) (4) (5 )P~ "(~ ~ ~ch ~t Am~nt T~e (e.g., V~e V a l u e T~ (~g., Da~ Value Ga~ Idenfi~ ofex~pt ~m pfi~ dhclosu~ Co~ I d iv . , ~ n ~( A - H ) o r ~ L ) (J-~ C~ 3 r~ion) (J-P) (A-H) (if pilate( Q - W ) ~tion)3 5 . - Vangu~d ~set All~ation Fund AdmiralS h a ~ s3 6 . - Vm~d Mid-~p I~ex ~d A~i~S~rcs3 7 . - Vang~d P~me Money Market F~d Buy ~/15/09 M

3 8 . Buy 10/29/09 K3 9 .


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FINANCIAL DI SCLOSURE REPORT Na me o f Per so n R epo r t in g D a te o f R epo r t] B rod y , Anita B . 05/04/2010age 7 o f 8

VIII. ADDITIONAL INFORM ATION OR EXPLAN ATIONS. a,~~,~,~,~oZ Repor ,)1) Asset r epor ted in Pa r t VI I , page 4 , l ine 17 , fo r " I IAA Ret i rement ," is r e t ir ement funds for which I have no cont ro l o f i t s investments and am not p rov ided wi thany informat ion on the ea rn ings f rom th is account . I am only p rov ided w i th an account va lue w hich is r epor ted in Pa r t VI I ,2) Assets reported i n P a r t VII, page 5, lines 31-40 of pr ior year reporl under Trust #3, were distr ibuted in 2009 to a new trust pursuant to my responsibility ast r u s t e e o f I e s ta t e . I a m n o t t h e b e n e f i c i a r y o r h a ve a n y c o n t r o l o ve r t h e s e a s s e t s .3) Asset r epor ted in Pa r t VI I , page 6 , l ine 37 , was p urchased wi th ro l tover fun ds rece ived f rom a non- repor table re t i r ement account


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FINANCIAL DISCLOSURE REPORT ~ . ~ , ~ o f P ~ t r ~ o n R e p o r t i n g V . t c o f R e p o r lPage 8 o f 8 B r o d y , A n i t a B . 05 / IM/2010IX . CERTIFICATION .

I c e r t i f y th a t a l l I n f o r mat io n g ive n abo ve ( I n c lu d in g I n f o r mat io n pe r ta in in g to my spo u se an d min o r o r d e pe n d e n t c h i ld r e n , I f an y ) i sac c u r a te , t r u e , an d o mple te to th e be s t o f my kn o wle d g e an d be l ie f , an d th a t a n y I n f o r mat lo n n o t r e po r te d wa s wi th h e ld be c au se I t me t app l ic able s ta tu to r ypr o v is io n s pe r mit t in g n o n - d isc lo su r e .

I f u r t h e r c e r t i fy t h 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 l f t ~ 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 nc o m p l i a n c e w i t h t h e p r o v i s io 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 i g n a t u r e

N O T E : A N Y I ND 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 I [A 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 )

FILING INSTRUCTIONSM a i l s ig n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s to :

C o m m i tt e e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t r a ti 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 sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c le , N .E .W a s h i n g t o n , D .C . 2 0 5 4 4

anita b brody financial disclosure report for 2009

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