roger j miner financial disclosure report for 2009

8/3/2019 Roger J Miner Financial Disclosure Report for 2009

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A O t O FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i re d by t h e E t h i c sin Government Act of 197~eev . ~oos FOR CALENDAR YEAR 2009 t 5 v . s , c , a p p . J o t - l t l ~1 . 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 s t , m i d d l e i n i t i a l ) 2 . Cour t o r Organ iza t ion 3 . D a t e o f R e p o r ~M i n e r , R o g e r J U,S. Court o f Appeals 05 /03 /2010

4 . T i t l e ( A r t i c l e I l l ju d g e s i n d i c a t e a c t i v e o t s e n i o r s ~ a t u s ; 5 a . R e p o r t T y p ~ ( c h e c k a p p r o p r i a t e t y p e ) 6. Reporting Periodm a g i s ; r a t e j u d g e s i n d i c a t e f u l l - o r p a t t - ti n ~ ) [ ] N om i na t i on , D a t e 01 /01 /2009U .S . C i r c u i t J u d g e ( S en i o r ) [] Initial [] A n n u a l [] Final. to12 /31/20095 h , ~ A m e n d e d R e p o r t7, Chambers or Off ice Address 8. On the basis of the informalion contained in this Report and anym o d i f i c a t i o n s p e r t a i n i n g th e r e t o ~ i t I s , i n m y o p i n i o n , in c o m p l i a n c e

U n i t e d S t a t e s C o u r t h o u se with appl icable l aws an d regula t ions ,4 4 5 Br o a d w a y , R o o m 4 |4Albany, N Y 12207 Reviewing Officer D a t e .

I M P O R T A N T N O T E S : The instructions accompanying th~s form must be followed. Complete all parts,checking the NO NE box for each part where you have no reportable informatioa, Sign on last page,

I. P O SIT IO NS. teero~gNONE (No reportable positions.)

P O S I T I O N N A M E O F O R g A N IZ A T I O N /E N T i T yIo2.

I I . A G R E E M E N T S . ~ s o ~ , o , n n ~ individual only; see pp. t4.16 of filing instructions.)NONE (No reportable agreements.)

PARTIES AND TE~IS1 .


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Name of Person Reporting ] Date of ReportP a g eF I N A N C I A L 2 o f 8 D I S C L O S U R E R E P O R T I Miner, Roger J 0 5 / 0 3 / 2 0 1 0

I II . N O N - I N V E S T M E N T I N C O M E . ~ R ~ p o r n . g ~ .~ ; v ~ d u o t o .d , ~ o u ~ e ; s ~ e ~ p , ~ V - ~ 4 o S ~ i n g i ~ , ~ c ~ o , t s .~A. Fliers Non-Investment Income

NONE (No reportable non-investment income.)~ SQURCE AND TYPE INCOME(yours , not s p o u s e s )

1. 12/31/2009 N.Y.S. Employees Retirement System - Pension $17,604.48

2.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n co m e - t~you ~e~ married during an) portion of the reporting year, complete this section.(Dollar amount no~ reqotred except for honoraria.)

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.3.4.

IV. REIMB URSEMENTS --( I n c l u d e s those to spouse and dependent chlhtren; see pp. 25-27 of filin 8 instructions.)[~] N O N E (No reportable reimbursement.~.)

SOURCE ~ LOCATION PURPOSE ITEMS PAID O~ PROVIDEDI,

2.3.4.5.


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FINANCIAL DISCLOSURE REPORT Name o[Person Report ingI Date of Reportage 3 of 8 Miner, Roger J 05 /03/2010

V . G I F T S . a , ~ u d ~ , h o ~ t o ~ p o . ~ a ~ d , ~ , ~ . t ~ u ~ , ~ ; ~ ~ . z s .~ o ~ u ~ instructions.)NONE (No repo~able gifts.)

~ DESCRI~ION1 .2.3.4.

5.

VI. LIABILITIES. a~,t,,a~,N O N E (No reportable liabili t ies.)

C R E D I T O R ~ESCRI~ION VALUE CODE1 .2 .3.4.5.


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tame of Person Reporting ( D a t e o f R e p o r tFINANCIAL D IS CL O SU R E R E PO R TI M i n e r , R o g e r J

P a g e 4 o f 8 o 5 / o 3 , " z o ~ o

~ (No reportable income, assets, or transactions.)ONE~ion of As~ ~ I n , m e d u ~ n g G r o s s v a l u e a t e n d o f T r a n s a c t i o n s d o t i n g r e ~ i n g( i n c l u d i n g ~ u s t ~ s e l s ) ~ reposing ~ r e ~ i n g p ~ i ~

e x e m ~ ~ o m p r i o r d i ~ l ~ u ~ C o d e l ; ~ ] d i v . . r e n t . C o d e 2 M e t h ~ buy. sel!.o n ~ - j C ~ e 2 ~ C ~ ] ~ y c r / s e l l e r~ ( A - H ) orint.) (J-P) C ~ e 3 ~ d e m p t i o n ) D a y ~ ( J - P ), ( Q - W ) i t r a n s a c t i o n )

( ! , A m e~ ca n E le e~ c P ow e r C o . A Dividend J T2. AT&T Inc , D Dividend M T

~ 3 . Bank of Ame~ca C Dividend L T( 4 . Centu~ Tel. ( fonner l~ Embarq Co~orat ion) A Divi~nd J T Merger 0 7 1 0 15. cH Energy Group , I nc . A Dividend K T6. Comcas t None K T7, E x x on M ob i l Co~ . E ~v idend O T8. FairPoint Communicat ions None J T

. 9 . ~ rs t En e r~ B Dividend K T) " " 1 0 . Genco~ [nc , None J T

1 1 . (The) Ha~ford Financial Servic~ Group, A Divide~ J T1 2 . Hess Co~. ( formerly Amerada Hess Uo ~.) A Dividend K T

1 3 . Host Hotels a~ R eso~s (Spinoff t )om A Dividend J TSt~d Corporation)1 4 . ~ .B .M. B Dividend L T "1 5 . Idearc (Spinoff f rom V e6zon A D ividend S ell 09 /28 J ACommunicat ions)1 6 . I~ Co ~. ( f o~e r ly I .T .T . Indus t r ies , Inc . ) A Dividend J T17. Key Corp. A D i v i d e n d K T


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FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t in g D a t . o f R e p e r tPage 5 of 8 M i n e r , R o ge r J 0 5 1 0 3 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S .. i . c o m e , , .l .e , r r ~ . , o c ~ o n , l n < l , ,d e * ~ o , ~ o : , ~ o ~ , o ~ d ~ , ,d . ~ , children; s e e p p . 3 4 - 6 0 of filingN O N E (N o reportable income, assets, or transactions.)

A . ~ a. C. ~ D.~scription of As~ts ~ I n c o m e d u ~ n g Gross va lue a t end o f [ T r a n~ c t i on~ d u r i ng ~ ng( i n c lu d i n g ~ s t a ~ t s ) ~ ~ing ~fiod re~ng ~[--i;-~ ....... ~ q 7 . . . . . .. . . .~) . . . . . .. . . . . . . ~ ~ 7 . . . . . . . . .. 7~7 -T-77)-7-~3-] . . . . ..s ~ . . . . . . . . . . . . . .! C ~ 1 i d i v . , r e n t C~ 2 mt~ buy, I l l , M o n t h - i C/2 i C~e I ] buyer!lllerx e m p t f r o m p r i o r d i s c h ~ u r e ~ ( A. H ) ] o r i n t . ) ( J - P ) C ~ e 3 federa t ion) D a y O - 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 )1 8 . M e t L i f e A ~vidend J T1 9 . N a t io n a l G r i d G r o n p A Di v i d e n d J T20 . NC R None J T21 . Omnova So lu t ions, Inc . N o n e J T22 . P . S . E . G . I n c . A Di v i d e n d J T23 . Qwest Comm. Inte rnat ional Inc . A Di v i d e n d J T24 . R a y o n i e r A Di v i d e n d K T25 . Southern Co. (The) B Di v i d e n d K T2 6 . Sprin t-Nextel N o n e J T2 7 . S P X C o r p . A Di v i d e n d K T2 8 . S t a r wo o d H o t e ls & R e so r t s A Di v i d e n d J T2 9 . T e r a d a t a C o r p . None .1 T3 0 . Verizon Communicat ions D Di v i d e n d M T3 1 . V o d af o n e A i r t o u c h P L C A Di v i d e n d K T3 2 . W i n d s t r e am A Di v i d e n d3 3 . All iance Capital A -Growth & Income Fund A Di v i d e n d L T

3 4 . B l ac k R o c k L ar g e C ap . E q u i t y Fu n d A Di v i d e n d L T

I, IntaCtlie Gain C~Ie~: ................................................................


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FINANCIAL DISCLOSURE REPORT N a m e o f P erson Repor t ing D a t e o f R e p o t |P a g e 6 o f 8 M i ne r , Roge r J 0 5 / 0 3 1 2 0 1 0

N O N E (N o reportable income, assets, or transactions.)...............................................A . ~ . . . . .. . . . . ~ 7 . . . .. . . . .. . . c ~ D .Descr ipt ion of As~ ~ Income du~ng G r o s s v a l u e a t e n d o f T r a n ~ t i o n s d u r i n g r ~ i n g ~ o d( i nc lud i ng ~ s t ~ t s ) ] ~ing ~od repo~ng ~fi~ ...................................

Pl~e "(X)" aft~ e~h as~t A m o u a ~ T y ~ (e.g ., V alue V alu e Ty~ (e,g., D a ~ 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 H o r d i ~ l o s a r e ~ C ~ I d i v . , r a n t , C o d e 2 Meth~ b u y , ~ 1 1 , M on t h - C~ 2 C~ 1 b u y e r l s e l l e r[ [ ( A - H ) o r i n L ) ( J - P ) C M 3 r e d e m p t i o n ) D a y ( J - P ) ( A - H ) ( i f p r i v a t e

C e n t u~ S h ~ e s T r us t A Di v i d e n d K T36 . For t Dearborn Income Secur i t i es (F.D.1.) A Di v i d e n d J T

D r e y f u s Fu n d ( K E O G H P L A N ) C Di v i d e n d N T38 . L , e g g - M a s o n C Di v i d e n d M T3 9 . M i d a s S p ec . E q u i t i es Fu n d None J T40 , N e ube rge r -B er m an M id C ap G r owth None K TInvestors Class Fund, Inc.41 . Oppenheimer Bond Fund Class A A Dividend J T42 . R i v er S o u r c e ( R V S Ba l a n c ed F u n d ) A Di v i d e n d K T43 , R o b e c o W P G L ar g e C ap G r o wt h ( t b r m . A Di v i d e n d K TW e i ss P e e k G r e e r - W P G I n c .44. Fr an k li n N e w Y o r k T ax Fr e e A I n c o m e B Interest L TF u n d45 . O p p e n h e i m e r - R o c he s t e r Fu n d M u n i c i p a l s A Interest K T ii46 . Key Bank, N.A. (var ious accoun ts, ineludin~ B Interest M TI R A s )47 . U .S , S a v i n g s Bo n d s C Interest M T I

t , In c o m e G a i n


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FINANCIAL DISCLOSURE REPORT N a ~ o f P e r s o n R e p o r t i n g [ Date of Repor tP a g e 7 o f 8 M i n e r , R o g e r JI

0 5 1 0 3 / 2 0 1 0

VIII. ADDITIONAL INFORM ATION OR EXPLANA TIONS.C a p i t a l ga i n s d i s tr i b u t io n s f r o m m u t u a l f u n d s a r e i n c lu d e d w i t h o r d in a r y d i v i d e n d s a n d r e p o r t e d , a s " D i v i d e n d " i n P a r t V I I C o l u m n B ( " I n c o m e d u r i n g r e p o r t in gper iod").


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FINANCIAL DISCLOSURE REPORT N a ~ o ~ P c ~ o n ~ e p o ~ t i . g n ~ , e o r a e ~ o r lPage 8 of 8 Miner, Roger J 05/03/20i0IX. CERTIFICATION.

I c e r t if y t h a t a l l in f o r m a t i o n g i v en 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 ep en d en t c h il d r en , 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 es t o f m y k n o w l ed 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 ep o r t ed w a s w i t h hel d b ec a u s e i t m et a p p l i c a b l e s t a t u to 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 er c e r ti ~ t ha t ea r n ed I n c o m e f r o m o u t s i d e em p l o y m en t a n d h o n o r a r i a a n d t h e a c c ep t a n c e o f g i f t s w h i c h ha v e b een r ep o r t ed 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 . 501 e t . s eq. , 5 U ~ .C . 7 353 , a n d J u d i c i a l C o n f e r en c e r eg u l a t i o n s .

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 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 ( $ U . S .C . a p p . 1 0 4 )

F I L I N G I N S T R U C T I O N SM a i l s i g n e d o r i g in a l a n d 3 a d d i ti o n a l c o p ie s t o :

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 is t r a t iv e O f fi ce 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 lu 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

roger j miner financial disclosure report for 2009

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