arthur j schwab financial disclosure report for 2009

8/3/2019 Arthur J Schwab Financial Disclosure Report for 2009

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I ~ o l0 I FINANCIAL DISCLOSURE REPOR T R e p o r t U e q , a . - a ~ y t h e E a , i c . ~i n Gov e r nme n t A c t o f 1978Roy. 1/2010 [ FOR CALENDAR YEAR 2009 f .~ us .c . app. 3" 101-111)t . P e r s o n R e p o r t i n g ( la s t n a m e . f i r s t, m i d d l e i n i t i a l) 2. Court or Organl/.afion 3 . D a t e o f R e p o r tSchwab, Arthnr J. Western Dist r ict of Pennsylvan 05 /12 /2 010

4. Ti t l e [ Art i c le I i l j udges i ndica t e ac t i ve o r sen in r s t a t us ; 5 z. Re po r t Ty pe (check a ppro pr ia te ty pe ) 6. Repo r t in g Pe r io dmag i s l ra t e j udges i ndica t e t~II- or par t - t ime)[] Nornir,ation. Date 01/0]/2009District Judge-Active [] InitiM [] A ..... I [] Final to12/31120095b, [] Amended Report

7.C ha m be r ~ o r O f f i c e Ad d r e ss 8. On the basis of the information contained in this Repor~ and anymo difications pe rtaining thereto, it is, In my op inion, In complianceU,~. C o u r t h o u s e w i t h a pp l i ca b l e l aw s a n d regulations.700 Grant Street, Suite 7280Pi t t sbu r g h , PA 1521 9 Rev i ew ing Of f i ce r Date

IMPO RT ANT NO T ES: T he ins t r uc t ions accompanying th i s f or m mus t be fo l lowed Comple te al l par t s ,checking the NONE box for each part where you have no reportable in form ation . Sign on last page.

1. POSITIONS. ~,~.o,~x[~] N O N E (No reportable positions.)

POSITION NAIVlE OF ORGANIZATION/ENTITYI. Part-time Professor (evening course) Grove City College

Secre ta ry a nd me mbe r o f the B oa rd o f Tru stees (n on -co mpen sa ted) G ro ve City Co lle ge3. Facu l ty member (non -compen sa t ed) Universi ty of Vi rginia School of Law - Tr ia l Advocacy Progra m

I I . A G R E E M E N T S . t ,~ o ~ , o- i - ~ r i n ~ , , i d . o ~ o . t ~ : ~ o . p p . 1 4 o l 6 of ~fing instructions.) ~ ][---] NONE (No reportable agreements.) : . " , i .. ~

~ PARTIES AND "IE~IS ~, i< ~ ~I 07/11/91 Sing le l i t~ mmui t~ Ihroogh a l i f e ms t t r a ncc company throu gh pr i o r employer , l~e t~mi lb k~cg inn ing mo n th ly on0 1 / 0 1 ~ 2 0 1 2 .

2 . 2 0 0 9 Grove Ci ty Col lege - Par t -t ime Professor - even ing cou rse- in te l l ectua l proper ty l ay, (compensat ion i s w i th in theappl i cab l e jud ic i a l gu ide l i n es )


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tP a g e F IN A N C I A L 2 o f 9 D I S C L O S U R E R E P O R T S c h w a b , A r th u r J . 0 5 / 1 2 / 2 0 1 0

I II . N O N - IN V E S T M E N T IN C O M E . :R.po,,ing i.di,,iaual a.d ,: .... : s c o p e , t ; - 2 4 o : : i i . # i .. , # . e a o . s . ~A . F i l e r s N o n - I n ve s t m e n t I nc o m e[~] NONE non-investment income.)N o reportable

DATE SOURCE AND TYPE INCOME(you r s , no t spouse s)1 . 2 0 0 9 Grov e Ci~ Col l ege - t e ach i ng $12 ,500

B . S p o u s e s N o n - l n v es t m e n t i n c o m e - tf yo~ . ,ere married during any portion o f the reporting year, complete this sect ion.(Dollar amount not required except for honoraria.)~ NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE1 .

IV . R E IMB U R S E ME N T S - ,. .. ~ . .. .. ~ , , . , t o a r i . x , z . o a . . . . . . 1 ~ . . . , . ~( I n c l u d e s t h o s e t o s p o u s e o n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f i l i n g i n s t r u c t i o n s )[--"] NONE (No reportable reimbursements.)

SOURCE DATE~ LOCATION PURPOSE ITEMS PAID OR PROVIDEDI. Uni \c ts i l y o f V i r g i n i a , 01/0209 to 01 ~05!09 (ha rk~nesv i ll e , V i r g i n i a I - a c ~ t h y mileage , ~ol l s (27th Annu al Naf ior~al Tr ia lSchoo l o f Law Advocacy Col lege)2. Al legheny Coun t y B a~ 06118/09 to 06/19/09 Champio n, Penn sy lvan ia (I) Presen ta tio n to ADR mileag e, to llsAsso cia tio n Sec tio n ; a n d (2 )Presenta t ion to Federa lCour t Sect ion3. Cour t 09/23/09 to 09/25,;09 Co o ks bu rg , Pe nn s yl va n ia D is tr ic t Co u rl M e et in g mileag e, meals , lodgin g, t ips


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N a me o f P e r son R epor t i ng D ate o f Re por tPageFINANCIAL3 o f 9 D I S C L O S U R E R E P O R T Schwab, A r t h u r J . 0 5 / 1 2 / 2 0 1 0

V . G I F T S . t~.~t .a~, ~,o,e ,o ~o.,~ . .~ d~,*~ *,,t chitdren; see p p . 2 8 -3 1 of f!ling instructions.)N O N E (No reportable gifts.)

DESCRIPTION1 .2 .3 .4.5

V I . L I A B I L I T I E S . t ~ . a , d , .J . o ~ q . ~ p ....... d depe,dent htldreng see p, o. 32-33 of f!tb,g tnstructio.sON O N E (No reportable liabilities.)

~ DESCRIPTION VALUE CODE1 .2.3 .4.

5.


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N a m e o f P e r s o n R e p o r l in g D a t e o f R e p o r tF I N A N C I A L p a g c 4 o f 9 D I S C L O S U R E R E P O R T S c h w a b , A r t h u r J . 0 5 / 1 2 / 2 0 1 0

VII. INVESTM ENTS an d TRUSTS - i ......... ~ , , , . , . . . . . .. ,ion~ (Includes th . . . . ,f sp ...... d depend .. . . h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l in g i n s t r u c t i o n s . )--"-] N O N E (No reportable income, assets, or transactions.)............... ~ ........................~i ........... c. ............. ~iD e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g ( G r o ss v a l u e a t e n d Transactions during reporting ~iod{ i n c l u d i n g t r u s t a s s e t s ) r~on ing parred o f r e p o s i n g p e r i o d...................... i~ ..... . . . . .:-~ . . . . . .{a~ ............g ....

Place "{X}" a~cr each ~sm Amount Type (eg,. { Va[ue Val~c T)pe ( g,, D a l e Va l~e Ga in Id~nlily ofexe~pl {}o~prior d i s c l o s u r e C o d e t : d i v . , r e a l ~ C o d e 2 Meth~ b u y . s e l l , Im~d~yy C o d e 2 C o d e I i buyer/~ller( A - H ~ o r i n t - )

~{ l-P) C o d e 3 r e d e m p t i o n ) I . { J - P ) ( A - H ) ( i f p r i v a t e{ ( Q - W ) ; t r a n s a c t i o n )

I. ROLLOVER I~ NO. I : E Dividend O T2. -SPDR Trust Uni t Ser I (S&P 500 lndm( Sold 03/I 1/09 LFund)

: 3 . -SPDR Trust Un it Ser I (S&P 50 0 hlde x So ld 03/12 /09 Li Fund)4. .Fide l it y Go , / t Money Marke t5. -Rivetfron t Capital Fund (A) See VIII Dist r ibuted 0 3 1 2 3 1 0 9 K

6. .Ba ron Smal l Cap Fund Sold 02/04/09 J(par t)7. -Ata i s an Smal l Cap V a l ue B u y 02/04/091 J8. -Ca l amos Gro wth Fund

9. -T Rowe Pr ic e Mid Cap Va lue

1 0 . -Harbor Inte rna t ional Fund Sold 03/10/09 K(part)I I . -Dodge & Cox l n t l Fund Sold 03/10/09 J(part)t2 . -Arti san Inte rna t ional Fund So ld 03/10/09 J(par t)13 . -MFS Core Gro wth Fund So ld 12/04/09 K

1 4 . - (a) IShares TR MSCI Emerging M kts Sold 02/06/09 JIndex Fund { p a r t )1 5 . - (b) IShares TR M SCI Emergio g M kts B u y ~ 0 6 . : 1 5 . . 09 Jh~dcx Fund1 6 . - {c) lShares TR MSCI Emerging Mkts B u y 12/08 /09 J

Index Fund1 7 . -1Shares US Treasury B u y 02/09/09 J

I . Inc o rn~ G a in Cod~: A =$ 1 ,0 0 0 o r le s s B =$ 1 ,0 0 1 - $ 2 .5 0 0 C : $ 2 , 5 0 1 - $ 5 . 0 0 0 D =$5,09l - $15,000 " tS =$15,D01 - $50,000

(See Columms CI and D3) N =$ 25 0.0 0 t - $ 50 0,0 0 0 O =$ 50 0,0 0 1. $ 1 ,0 00 .0 00 P | ~ $ 1 , 0 0 0 ,0 0 1 - $ 5 . 0 0 0 . 0 0 0 P2 =$5 , 0~O.001 - $ 2 5 , 000 , 000


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F IN A N C I A L D I S C L OS U R E R E P O R T N .... f ~ . . . . . ~,po~ v , ~ e o r R e p o , ~P a g e 5 o f 9 S chw ab, A rthur J . 0 5 /12/20 10

V II. INV ESTM ENTS an d T R U S T S - ~ ........ t~, t .......ionx (Include~ those o f spouse an d dependent chi ldren: ~ee pp . 34-60 o f f i l ing ins t ruc t ion~3~ N O N E (No reportable income, assets, or transaclions.).................... ~. ~ -- , - - ~ 7 - ~ c . " . . . . . . . . ~7 ..............Descr ip t ion o f Asse ts Inc ome du r i n g Gro s s va l u e a t en d ~ Tran s ac l i o n s du r i n g r c ~ , r t i n g pe r i od

( inc lud ing t~s t a s se~s) ~ ~po~in8 per iod o f r epo s i n g per iodPl a ce " (X)" a~ r c a c t i a s s e t Amount Type ( g.. V a lu e V a lu e ~ T~c (c.g, Date V a lu e G a ia Idcm i t y o f

Code 2 ~ M e tho d bu ~.s c l l , ] m m / d ~ y y ~ C o d e 2 Code 1 buyer / se l l e rxemp t f r om p r i o r d i ~ t o su r c : C o d e ( A . H ) l : d i V . , o r i n t d r c m " (J-P) ] Code 3 ~ ~cdemption) I ~ (J-P) (A-H) { i f ~ r i v m c..................1 8 . - M F S V a lu e F u n d S o l d 1 ~ / 0 8 ~ 0 9 K1 9 . -JP Morgan US Large Cap Sold 03/09:09 L2 0 . -Ivy Glbl Nat Resources ~D B u y 0 3 ;1 0 /0 9

2 1. -Pimc~ Funds To~al Rcm~ B u y 06111~09

2 2 . -BllSouth Comp. No~ B u y 0 3 / 27~0 9 K2 3. -Vcrizon Corm Inc. No~ B u y 05 ,q3 / 09 K

2 4. dP Morgan Chase Nol~ B u y 0 3 ~27 ; 0 9 K

2 5 . -Morgan S~nlCy Note B u y 03~30109 K

2 6. -Goldman Sach~Not B u y 0 5 ~1 3 / 0 9 K

2 7. -W e s te rn Un io n No te B u y 04 / 0 2 / 09 J2 8 . -AT&T B u y 1 2 / 0 8 / 0 9 J2 9. -8P PLC B u y 1 2 i 0 8 / 0 9 J30 . -Bristol Myers Squibb B n y 1 2 / 0 8 / 0 9 J

3 I . -Chevron Comp B u y 1 2 / 0 8 / 0 9 J32 . -U q~ a Co la [h ty 1 2 !0 8 / 0 9 J

33 . -ConocoPhi l l i p s B u y 12 / 0 8 / 09 J

34 . - C o n s o l i d a t e d Ed i s o n B u y 12 / 0 8 / 09 J

I I nc ome Ga in Codes A =$1 ,00 0 o r les s B =$ 1 .Ofll - $ 2 ,5 00 C


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FINANCIAL DISCLO SURE REPO RT S ~ m e o f l e r s o n R e p o , ~ n ~[

D ~ , e o f R , p o ~ tP a g e 6 o f 9 S chwab , A r thu r J . 05/12.:20

V I I. I N V E S T M E N T S a nd T R U S T S - i ........ t.., , ...... ,i,,., (Includ,s ,ho~ of spouse and dp~nd~nl children; $ e e p p . 3 4 . 6 0 Of filing lnstructiong)~ N ONE (No reportable income, assets, or transactions.)................ ~ ............... . ..... ~ ................. c. ..... : ............. ~7 ...........................Description of Assets Income during Gross value at end Transactions during rc~rtlng period

(including trust assctsl reporting period of reposing period

P l a c " ( 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 ( c g , Va lu e Value Type (cg, [ Da t e Va lu e G a i n I d e n t i t y o f~ e x e m p t f r o m p r i o r d i s c l o s u re ~ C o d e I d i e , r e n t , C o d e 2 M e t h od b u y . s e l l , [mm:d~ C o d e 2 C o d e I buycrlse[lcr( A - H ) o r i n t . ) ( I - P ) ~ Code 3 ~ rcdcmptlon) ] ( J - P } ( A - H ) ( i f p r i v a t e....................... .... 2 2 _ : . ~ ............. J , . . . . . . ,~o.~3 5 . -Domin i on Resources B u y ~ 1 2 ; 0 8 / 0 9 JI3 6 . -gmerson Elect r ic B u y 1 2 1 0 8 / 0 9 J3 7 . - (a ) Exxon M ob i l B u y 12/08 /09 J38 . - (b) Exxon Mobil B u y 1 2 / 3 0 / 0 9 J

3 9 . -Heahhcare REIT Inc. B u y 12/08 /09 J4 0 . -Home Depot Inc. B u y 12/08 /09 J4 1 . -lntcl Corp B u y 1 2 / 0 8 . 0 9 J4 2 . -Inte rna t ional Business Machs Corp. B u y 12/08 /09 J4 3 . - J oh n s on&John s on B u y 1 2 / 0 8 1 0 9 J4 4 . -Johnson Cont rol s Inc. B u y 12/08 /09 J4 5 . -Kimber ly-Clark Corp. B u y 1 2 / 0 8 1 0 9 J4 6 . -Li l ly Eli& Co . B u y 12/08 /094 7 . -Linn Energy LLC Uni t s B u y 12/08 /09

4 8 . -McDona l ds Corp . B u y 12/08/094 9 . -McKc,;son Corpor t ion ., Bu y 12/08095 0 . -Medco H ea l t h So lu t i on s I nc . B u y 12/08 /095 1 . -Microsof t Corp. B u y 1 2 / 0 8 / 0 9 J


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F IN A N C IA L D IS C L O S U R E R E P O R T N , m , o f P e r s o n R e l : , o r ti n gPage 7 of 9 Sch~ab, Arthur J.l

0 5 /12/20 10

VII. INVESTM ENTS an d T R U S T S - i ........ ~,, ,, . . . . . ~ o , ~ o , a ~ , , , ,o ~ , o y . , ~ . . . . .. ~ ~.,~it~.~; ~. ~-~oNONE (No reportable income, assets, or transactions~)

..... A. B. C. - D.D e s c r i p ti o n o f A s g c ~ s I n c o m e d u r i n g G r o ss v a l u e a t e n d T r a n s a c t i o n s d u ~ i n g r e p o s i n g p e r io d( i n c l u d i n g ~ n ~ s , a s s e t s ) r e p o s i n g p e r i o d o f r e p o r t i n g p e r i o dt~ ) ~ 2 ) O) (-) ( ~ (2~ (3) (4) (5 )P h c e " ( x ) " a f t e r e a c h a s s e t , A m o u m T~ (e.g., Value V a l u e ~c (c g, ~dtc Value G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i sc l o s u r e , C o d e I d i v . , r e a l , C o d e 2 M e t h od b u y . s e l l . ~n/dd/yy " Code 2 C ~ d c 1 buyer/sel ler( A - H ) o r i n t . ) I J - P ) C o d e 3 ~ r c d e m p t m n ) ~ ( J - P ) ( A - H } ~ (ifpri~ate( Q - W ) ~ r a n s a c f i o n )

5 2 . -NYSE Eurone xt ] B u y 03/12 /095 3 . -Pa rke r I l ann i f i n Co~ . B u y 03/12/09 J

5 4 . -Pepsico Inc. B u y 1 2 t 0 8 / 0 9 J5 5 . -Pr ice T Rower Gro up Inc. B u y 12/08 /09 J5 6 . -Proct~r & Gamble Co. B u y 12/08/095 7 . -Qua l comm Inc . B u y 1 2 , ~ 0 8 / 0 9 J5 8 . -Rio Tinto PLC B uy 12/08 /09 J

5 9 . -Uni ted Tethnologies Co~. B u y 12/08 /09 J6 0 . -Ve r i zon Commun i ca t i on s I nc . B u y 12/08 /09 J

[~ 1. -W a I- M an S to re s In c. B u y 12/08/09 J6 2 . -Waste Management Inc. B u y 12/08 /09 J

6 3 . -Wisconsin Energy Cop. B u y ~ 1 2 / 0 8 / 0 9 J6 4 . - JP Morgan Chase & Co . B ~y 1 2 / 3 0 , ~ 0 96 5 . RIVERFRONT CAPITAL F~D (A) See F Dist r ibut ion K UVIII

~6 RIVER~RONT CAPITAL FUND (B ) See G Distribution K U


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F IN A N C IA L D I S C LO S U R E R E P O R TP age 8 of 9V II I. A D DI T I ON A L I N F O R M A T I O N O R E X P L A N A T I O N S .

PAR.T 2: Par t ies and Terms re: Gro ve Ci ty Col lege , cntd. . . (st a r ted par t -time teaching o n 01 /21/02 ) .PAR.T 7: Investmen ts and Trust s, cn td. . . (Limi ted Par tnersh ip wi th inve stment in CENTRIA) through River f ron t Capi ta l Fund. Two di f fe ren t investmen ts - -(a ) he ld wi t h i n IRA un t i l d is t r i bu t ed a r ound 03 / 2312 009 , and (b) a lways he ld ou t s i d e IRA. Both (a ) and (b) a r e no w he ld (a s of 03/23/2009) a s tw o s t a nd - a l o n ei nvestments, I have no management responsib i l i t i es there in -- sole ly passive investment ,


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N a m e o f P e r s o n R e p o r t in gP a g e F IN A N C I A L 9 o f 9 D I S C L O S U R E R E P O R T Schwab, A r t h u r J . Da,e05/of12/201

I X . C ER T I FI C A T I O N .I cer t ify tha t a l l i n fo rma t i on g iven a bove ( i nc lud ing i n fo rma t i on per t a i n i ng t o m y spouse a nd m ino r o r dependen t ch i ld ren , if a ny ) i sa ccu ra t e , t r u e , a nd comple t e t o the bes t o f my know ledge a nd be l i e f , a nd tha t a ny i n fo rm a t i on I~o t r epo r t ed wa s wi thhe ld becau se i t met appl i cab l e s t a t u t o ryprov i s i on s permi t t i ng non -d i sc lo su re .I fo r ther ce r ti fy tha t ea rned i ncome f rom ou t s ide employmen t a nd hono ra r i a a nd the a ccep t a nce o f g i f t s which have been repo r t ed a re i ncompl i a nce wi th the prov i s i on s o f 5 U .S.C. app. 501 e l . s eq. , 5 U .S.C. 7353, a nd Jud ic i a l Con ference regu l a t i on s .

S i g n a t u r e ]

NOTE: ANY INDIVIDUAL W tlO KNOW INGLY AND W ILFULLY FALSIFIES OR FALLS TO FILE TIIIS REPORT MAY B E SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed origina! and 3 additioual copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSu i t e 2 -30 1One Columbus Circle, N.E, ,,W a s h i u g t o n , D , C. 2 1 ) 5 4 4

arthur j schwab financial disclosure report for 2009

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