mark r kravitz financial disclosure report for 2009

8/3/2019 Mark R Kravitz Financial Disclosure Report for 2009

1/9

A n J 0 [ FINANCIAL DISCLOSURE REPORT R e p o . r R e q u i r e d b y t h e E t h ic sin Government .4ct ~" 1978R e v , ~ / 2 0 ~ 0 [ FOR CALENDAR YEAR 2009 ~ u.s.c, app ..~ff lOl- ! l])1. Person Reporting (last nam e, first, middle initial) I 2. Court or Organization 3. Date of ReportKravi~z, Mark R, District Courl-Connecticut 05i03/20 l 0

4, Tifie (Article 111 judges indicate active or senior status; 5a. R eport Type (check appropriate t)Te) 6, Reporting PeriodmagisWalejudges indicate full- or pard-time)~ Nomination, Date 01/01/2009

U.S. DistrictJudge--Active [] Initial [] Annual [] Final 12/31/20095b. [] Amended Report

7. Chum bets or O f f i l :e Address 8. On the basis of the i :afnrmatiou contained in this Repor t and anymodifications pertaining thereto, it is, in my opinion, h~ compliance141 Church Stree t with applicable laws and regulations.NewHaven, CT 06510

Reviewing Officer Date

L M P O R T A N T N O T E S : The instructions accompanying thi.~ form mast he followed. (..~mplete aR parts,checking the NONE box for each part a,here you have n~ reportable infarmatio~ Sign on lazt page.

I . P O S I T I O N S . 1 ~ o ~ , i . ~ individual only; seepp. 9-13 of filing instructions.)~] N O N E (No reportable positions.)

POSITION NAME OF ORGANIZATION!~NTITY

2. Trustee T~t # 2 (trust

3. Custodian g I

4

1 1 . A G R E E M E N T S . m~,o,,i,,~N O N E (No reportable agreements..)

DAT~E PARTIES AND TERMSI.

2


2/9

FINANCIAL DISCLOSURE REPORT N .... ~ r . . . .. R ~ p o T , ~ n ~ t ~ , t ,~ o r R ~ p o r tPage 2 of 9 Kravit.z, Mark R. 05/03/2010

1 II. N O N - I N V E S T M E N T I N C O M E . :R,?oni.# i .divia. .~ a,a, , . . . . ; s e e p p . 1 7 - 2 4 o : , 1 i .~ ~ t ~ . ,i o . s .)A.Fliers Non-lnvestmen! Income

NONE (No reportable non-investment income.)DATE ,~OLIRCE AND TYPE INCOME(yours, not spouses)

1 . 1 1 / 1 I , " 0 9 University of Melbourne Graduate School of Law, b,~elbourne, Australia $8,239.50(see NOTE 6)2.3.4.

B, Spou seas Non-Investment Ineom e - ~/you were married during an),portion of the reporting year, complete this .~ectiora(I)ollar amount not required except for honoraria)

N O N E (Aro reportable non-investment income.)DATE S O U R C E A N D T Y P E

I.2.

3.4.

IV. REIMBURSEMENTS ..... ~ .... io,,, ~odgi.g.y,,oa, ...... i ......{Includes Itlose to spo tse o~ d depende~ children, see pp 25-27 r~/~Jlmg i~l~tructio~ts,)

[~ NONE (No reportable reimbz~rsements.)~ ~ LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. Am erican Bar A ssociation May 2009 Chicago, IL L ect ure : E -D is co ve ry T ra ns po rt at io n, l od gi ng , m ea lsConference2. Am erican Bar A ssociation, June 2009 lfot Springs. VA Lecture: Annual Meeting Transportation, lodging, mealsLitigation Section3. National Employment June 2009 Rancho Mirage. CA Lecture: Annual Meeting Transportation, lodging, mealsLawyers A ssociation4.5.


3/9

FINANCIAL DISCLOSURE I~EPO RT N ~ m e o t r e r~ o . R ~ p o ~ . ~ O a , , o f R ~ p o , ~Page 3 of 9 KravRz, M a r k R . 05/03/2010

V. GIFTS. a~,,ae.~,~ose,o ~o ,s~ o~ ~ ,e~, , chltf fren; see pp. 28-31 o.t~iling instructions.)N O N E (No reportable gifts.)

~ DESCRIPTION V A LI2.~.I.

2.3.4.5.

[~] N O N E ( N o reportable liabilities.)CREDITOR DESCRIPTION VALUE CODE

3.4.5.


4/9

N a m e o f terson Reporting [ D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORTI K r a ~ t ~ , M a r k r ~ . I 0 5 J 0 3 / 2 0 1 o

age 4 of" 9V I I . I N V E S T M E N T S a n d T R U S T S - i , , c . . . . . . ~ , , e , tra~actions a ncludes those of sp . . .. .. . d dep enant children; seen,. 34-60 of f i l ing in. ,muctions 0

NONE 6Vo reportable income, assets, or transactions.)

Description of As~s l n c ~ m e d u r i n g ~ Gross value al end " f r a n s a c l i o n s d u r i n ~ r e p o s i n g p e r i o d( i n c l u d i n g t ~ s ~ a s s e t s ) r e p o r l i n g p e r i o dP l a c e " ( X ) " a f t e r e a c h a s s e t i A m o u n t ~ T ~ g e ( e . g . .e x e m p t t ? o m p r i o r d i s c l o s u r e ] C~e I ~ d i v . . r e n ~ . C o d e . 2 M eth o d I b u y . s e l l , mm/dff)V C~e 2 C~e I ~ b u y c r l s c ~ l c r( A - H ) ~ o r i n l . ) ( J - P ) :. C o d e 3 ~ ~ c d e m p t i o n ) .:: ( Q - W ) ~ ~ t r a n s a c t i o n )

1 . T hir d A ve nu e V al ue Fm ~d A Dividend M T2. Third Avenue Real Es~te Value A Dividend K T3. Fidelity Contrafund A Dividend L T4 . FMelity AMT Tax-Free Money Market Func C Distribution M T Sold 05/07/09 K A~ p a r ~ )5. Fidelity Cash Reserves D Distribution M T6. Fidelity Cash Management A ccount A Dividend K T7 . Conn. Bond Due 06/15/I 0 B I n t e r e s t K T

i 8 . Guilford Savings B ank A I n t e r e s t J T9. Pacific Ethanol Inc. A Dividend J T

10 Fidelity Intl Discovery, Fund A Dividend K TI 1. Fidelity Spartan Mk! Index Investor Class B Distribution K T12 . Fidelity Cash Management Money Market B Distribution Sold 2/11/09 PIFund lsee note 5)

1 3 . Fidelity lnstittutionat Money Mkt Fund (see E Distribution PI T B uy 2/ I 1 / 0 9 PIn o t e 5 )1 4 . Fidelity Spartan 500 Index Advantage Class B ! Distribution k T

1 5 . Awbury Partners (see note !) G Distribution P2 T1 6 . P2 Capital Fund IV, L .P. (see note 2) A Distribution M T B uy 09/t 8/09 L

[ ~ 7 1Saugatuck Capital Vl LL C (see nte 3)

lA Distribution__

.T B uy 0 7 / 0 6 1 0 9 L


5/9

FINANCIAL DISCLOSURE REPORT r ~ a m e o ~ " ..... Reporting Dateo fRepor t IIage 5 of 9 Kravitz, Mark R. 05/03/2010VII. INV ESTMENTS and TRU STS -~, ....... t .......... a o , ~ (Includes tbose of sp ...... d d e p e n d e n t e h i l d r e r t ; $ e e p p . 3 # ~ O o f f i l i n g i n s ~ u c t i o n s . )~ NONE (No reportable income, assets, or transactions.)............................ X ........... ~ . I c. ............................... D~ ........................D e s c r i p t i o n o f A s ~ t s I n c o m e d u r i n g G r o s s v a l u e at en d T ~ a n s a c t i o n s d u r i n g r e p o s i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) , reining period ~ of reining[ (l) = (2) :: (~) (2) (I) I (2) ~3) (4)Place "[X)" a ~ e r e a c h ~ s e l Amount [ T~e (e.g., i V a lu e V a l u e Type (e.g., l Date ~ alue [ Gain Idenhty o f

exempt from prior di~losure C ~ e I t div., rent. C o d e 2 M e ~ h o d buy, sell, m~d&tyy C~c 2 I Code I buyerlsellcr(A-H) [ or int . )~ O - P )

C u r ie 3 r c d e m p l i o n ) [ (J-P) ] (A-H) ( i f p r i v a t e

1 8 . Saugaluck Capital V LLC (see note 3) C Distribution L T1 9 . IRA # I (Roll-Over IRA created 7/1/03)

2 0 . --Fidelity (?ash Reserves C I n t e r e s t L T2 1 . --Fidelity Diversified lntl Fund A Dividend K T2 2 . --Spartan 500 Index Fid Advantgae B Dividend L T

2 3 . --Fidelity Contrafimd A Dividend K T2 4 . --Fidelity Puritan Fund B Dividend K T2 5 . --Fidelity Value Fund A Dividend K T

: 2 6 . --Third Avenue V alue Fund A Dividend M T

2 7 . --Alpine Dynamic Dividend Fund D Dividend Sold 0 1 / 1 0 . . 0 9 L A2 8 . --Spartan lnt] Index Investors B Distribution L T

2 9 . -- Fidelity Inflation Protected Bond fund A Distribution L T B uy 10/11/09 L3 0 . --Goldman Sachs A Dividend K T B uy 01/20/09 J(addl)~ I. --Goldman Sachs A Dividend K T Sold 09,01/09 K( p a r t )3 2 . --General Electric A Dividend J 7 "

3 3 . --Genzyme Corp. A Dividend K T3 4 . --Genzyme Corp. A Dividend K T B uy 04/22/09 J(addt)

I I Income Ga inCode s: A =$1.0@) or less B=$1 .001-$2,500 C=$2,501-$5.0~O D=$5.00)$15,lIOn) E=$15.04U $50 ,000

j P3 =$25.@,~1 - $50,~.000 P4 =More than


6/9

FINANCIAL DISCLOSURE REPORT [ IN ..... f Person R e p o r t i n g [ Date of ReportPage 6 of 9[1 Kravitz, Mark R, ]

05/03/2010

V I 1. INVESTMENTS and TRUSTS - i~ ....... t.e, t ..... dons (Includes those oysp ...... d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 , i li n g i n s tr u c t i o n s . )N O N E (No reportable income, assets, or wansactions.)

D 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 in g G r o s s v a l u e a l e n d T r a n s a c t i o n s d u r i n g r e p o s i n g p c 6 o d(inctuding ~ assms) re~ing peri~ o f r e p o ~ i n g p e r i o dP l a c e " ( X ) " a f t e r e a c h a s s e l Amount~ Type(e.g, Value V a l u e T~e(e.g.. ~ Dale [Value [ Gain I d e n f i t v 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~e I :: d i v . . r e n t , C o d e 2 M e th o d b u y . s e l l . ]mm/d~ ~ Code 2 I Code I i b u y e r ! s e l l e r, ( A - H ) ~ o r i n l . ) ( J - P ) C o d e 3 ) e d e m p t l o n ) [ ~ {J-P) (A-ll) ( i f p r i v a t e) ( Q - W ) ~ : [ t r a n s a c t i o n )

3 5 , 1~ # 23 5 . --Janus Orion Fund A Distribu(ion K T3 7 . Custodian Account # I

--Fidelity Cash Management Account A luteresl K T3 9 . --Spaaan 500 Index Investor Class A Dividend K T4 0 . --Third Avenue Value Fund A Distribution L T4 1 . --AmericanCapilal Strategies A Dividend J T

4 2 . --Fidelity Contmfund Fund A Dividend K T4 3 . --Fidelity Cash Reserves A Distribution J T

4 4 --Awbury Partners (see hotel) D Distribution O T4 5 . Trust # 4

4 6 . --Awbury Partners (see note 1) D Distribution O T4 7 . --Fidelity Cash Management Account B Interest M T 4 8 , --Third Avenue V alue Fund A Distribuliou L T

4 9 , --American CenturyUltra Fund A Distribution J T5 0 . Trust #55 1 . - - A w b u r y Partners (see note I ) E Distribution P 1 T


7/9

FINANCIAL DISCLOSURE REPORT ~me of P . . . . . R e p o r l i n g D a l e o f R e p o r tPage 7 of 9 K ravitz, Mark R. 05/03 /2010

V I 1 . I N V E S T M E N T S a n d T R U S T S - ~co ..... t~e, ,ransactions (Includes those ofsp ...... d dependent children; seep~ 34-60 of]iling instruction,)N O N E (N o reportable income, assets, or transactions.)

Description of As~ts Income during[including t~st ~sets) reporting periodPlacc"(X)"afi ....h .... A .... t Type(e.g., V alue V alue T~e{e.g., [ Dale [Value ~ Cain ~ Iden~ityofexempt from pr[or disclosure C~Ie I I div,,renk ~ C~e2 Method buy, sell, ~:n~dO~ [ C~e2 [ Code I j buyer!seller~ (A-II) ~ ori~t,) (J-P)

52 . --Ora~le (:onamon Stock A Dividend K T53. --Spaaan 5~ hadex Investors Cl~s A Distribution J T54 . -Fidelity Cash ReseBes C Dividend K T5 5 . --lhird Avenue V alue Fund A Distribution K T

5 6 . --Fidelity Contrafund A Distribution K T5 ? . --Fidelity Cash Management Account B Interest L T


8/9

FINANCIAL DISCLOSURE REPORT N .... fP ..... R e p o r t i n g D a t e o f R e p o r tPage 8 of 9 K r a v i tz , M a r k R . 0 5 / 0 3 / 2 0 1 0

V III. ADDITIONAL INFORMAT ION OR EXPLANATIONS.NOTE l: Awbury Partners, L.P. is a large diversified investment partnership that is managed by one overall fund manager and several investment advisors.Awbury Partners is, in effect, a privately held mutual fund. Neither the reporting person i~;~ .: ? I or any trust in which he is a trus ee controls ordetermines ei ther (I) who the fund manager o r investruent advisors are or (2) what invest~~:~:P~:~rs purchases or sells or when i t does so Thus,neither the reporting pe rson, ~i~ ~ ~i! i~I or trusts in which he is a trustee has any control regarding the investments of Awbury Partners. The value ofAw bury Partners investmen~ ~ ~le~rh~i~ c~arterly on the basis of the value of the partnerships underlying investments. NOTE 2:P2 Capital Fund IV, L.P., is a pooled investment partnership, which is not controlled by either the reporting party or:NOTE 3: Saugatuck Capital V LL C and Saugatuck Capital VI L LC are private equity partnerships, which are nol contro led by e tter the reporting party or~The Capital Vpartnership is current y who y nvested in Femco Hod ngs LL C, a privately held company located in Pennsylvania and the Capital ~]s:::~::,~i~d in Ex ocor, Inc., a Canadian corporation.NOTE 4: Trusts ## 1 and 2, which were shown on previous reports, were terminated effective as of 02/15/06 and all of the assets (which were cash) then held bythe trusts were distributed in their entirety to the beneficiaries of the trusts, so that as o f December 31,2006, neither of these trusts existed. The o ther trusts willcontinue to be numbered from #3 to avoid confusion with prior reports. Trust #3 was terminated effective 06/21/08 and the assets within the trust were distributedin kind to the beneficiary of the Trust. As a result, as of December 31, 2008, Trust # 3 held no assets and nwas terminated. Trust #3 will not appear in futurereporls. Trust # 5 will terminate in 2010.NOTE 5: The CT Municipal Money Market was transferred electronically to Fidelity Institutional Money Market Fund in on February I I, 2009.NOTE 6: Payment for teaching at University of Melbourne was split between 2009 and 2010. The second payment of $7952.60 was made on Febrt~ary 17, 2010and will be shown on next years report. The payments differed in amount because of currency fluctuations, as the teaching stipend was based on Australiandollars. The payment was intended to cover the reporting persons travel expenses, lodging and food.


9/9

FINANCIAL DISCLOSURE REPORT N ..... fP ..... Reporting I DateofRepor Iage 9 of 9 K r a v i tz , M a r k R . 0 5 1 0 3 / 2 0 1 0IX. CERTIFICATION.

i certify thal all information given above (including information pertaining to my spouse and minor or dep endent children, if any) isaccurate, true, and complete to the best of my know ledge and belief, and that any information not reported w as withheld because it met applicable statutoryprovisions permitting non-disclosure.! filrlher certify that earned income from outside employm ent and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions off U.S.C. app. 501 et. seq., 5 U .S.C. 7353, and Judicial Conference regulation~.

NOTE: ANY INDIVIDUAL W HO KNOW INGLY AND WILFUL LY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUB JECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office oflhe United States CougarsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

mark r kravitz financial disclosure report for 2009

Documents