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UNITED STATES DISTRICT COURT
EASTERN DISTRICTOF PENNSYLVANL<\.
10613 UNITED STATES COURTHOUSE
601 MARKET STREET ' .
PlllLADELPHIA, PENNSYLVANIA 19106-1705 ' . - . .
STEWART DALZELL, (215) 597-9m RIDGE FAX (215) 580-2156
August 12, 2004 .
0,
o-
=Honorable M J M. Lisi' ' m8 Chair Judicial Conference oftheUnited States -·
.... ,, Committee on Financial Disclosure C>'
One Columbus Circle, N.E. Washington, J? C. 20544
Re: Year 2003
' ·. '
Dear Judge Lisil:
In response to your letter of August 4, it certainly did not leap off the page to me how to make the disclosure of what was tantamount to a money :fund (Vanguard PA Tax Free Bond Fund) that was,, over the course of my judgeship, gradually liquidated to zero. That is to say, there was no 1'sale" in the sense of liquidating sales on NASDAQ or the New York Stock Exchange. In any event, that account is, regrettably, now a distant memory.
I trust that this response will suffice to close out your Commission's examination of my 2003 report.
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0 Initial @Annual 0 Ffual
1-----------------------------------------+-------------------------------''-------- ·
__________ _
POSIDON NAME OF ORGANIZATION/ENTITY
PARTIES AND TERMS
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SOURCE AND TYPE INCOME
1.
Report Required by the Ethics FINANCIAL DISCLOSURE REPORT in Government Act of 1978
Calendar Year 2003 (S U.S.C. app. §§ 101-111)
1. Person Reporting (Last name, First name, Middle initial) 2. Court or Organization 3. Date of Report
Dalzell, Stewart U.S. District Comt 5/3/2004
4. Title (Artic:le m Judges indicate ac:tive or senior status; 5. ReportType (check appropriate type) 6. Reporting Period
magistrate judges indicate full-or pairt-time) · ·Q Nomination, Date 1/112003
Article ill Judge - Active to
12/3112003
7. Chambc:rs <11' Office Address 8. On the basis of the hriformation contained in this Report and any modifications pertaining thereto, it is, u1 my opinion, in compliance
10613 U.S.Courthouse with applicable laws and regulations. 601 Markc:t S1ieet
Reviewing Officer Date Philadelphia, IPA 19106
IMPORTANT NOTES: The fostructions accompanying this form nmst be followed. Complete all parts, checking NONE box for each part wberie you have no reportable ·infonnation. Sign on last page.
I. POSITlONS. (Reportir11g individual only; see pp. 9-13 offiling instructions) .
D NONE - (No reportablt: positions.)
Teacher
2.
.....
,,&:'
Il. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions)
NOJNE - (No reportable agreements.)
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1.
ID. NON-INVESTME'l\fT INCOME. (Reportingindividua1and spouse;seepp.1?-24offilinginstructions)
NONE - (No reportabile lllon-investment income.)
1.
GROSS (yours, not spousc:'s)
u m_ __ _P_O_R_T_ :_ _ _:_ _ _n_R_ _o_rt_ _g ____________ _ _= I
DESCRJPTION
DESCRIPTION
1.
IV. REIMBURSEMENTS - transportation, lodging, food, entertainment.
NONE (Noreportableliiabiliti.es.)
$300
,,,,.,"'
Qm:ludes those to spouse and ck:pendent children. ·See pp. 25-27 ·of instructions.)
NOl'IB (No such reportable reimbursements.) -
DESCRIPTION
1.
V. GIFTS. Qncludes those to si•ouse and dependent children. See pp. 28-31 of instructions.) D NOJ E - (No such reportalbfo gifts.)·
1. P1J1sel Partnership Value of Free Movie Pass
2. Dlink:er Biddle & Reath Tax Retmn Preparation $500
VI. LLl\BILITIES. Qncludc:s those of spouse and dependent children. See pp. 32-34 of instructions.)
R Datel)fRepo11 S/3/20CM ___j
A.
.
DNON.E
3.
7.
B.
-(2)
Code!
c
-c. D.
(1) If
(2) Date:
Method
redemption)
J T
(4) Gain
H\
I
. FINANCL DISCLOSUlllE REPORT NameofPerson eporting
5.
13.
(l) (3)
. .
. Page 1 of 4 Dalzell, Stewart
- income. va1ue. ttanscations Cincludes those ofthe spouse and dependent children. see PP· 34-s1 offiling mstruc:tions.)VII. INVESTMENTS and. TRUSTS·
-
Income during · Gross value at end of Transactions during il:porting period Dc:scription of Assets reporting period reporting period(inc:luding trust assets)
(1) (2) not exempt from disclosure
(5) Place "(X)" after each asset ex.empt frol111 prior disclosure
-(No reportable income, a.'ISets, Ill' transactions)
Amount
(A-H)
Type (e.g. div. rent. or int)
Value Code2 (J-P).
Value
Code3 (Q-W)
Type (e.g. buy, sell, merger,
Month-Day
Value Code2 (J·P)
Code I (A·
Identity of buyeir/seUer (if private trmiSaction)
1. Cape COd Five Cents Savini:s A Interest J T
2. Bear, Steams Cash Account -
A Interest J T
Mellon Bank -
A Interest
4. PNCB:ank 'A Interest J T
6.
RMA Tax Free Fund A Dividend J T
-BRE Plroperties, Inc. Dividend L T
-Vanguard PA Tax Free Money F'und B Dividend K T
8. Household International -
A Dividend sell 1122 J A sale Oil NYSE
9. Village: Super Market -
A None 1 T
10. Cash Reserve Trust -
A Dividend J T
11. U.S. Treasmy strips --
D Interest M T mature 2/18 K D -
partial maturity
12. Pep,sico -
A Dividend K T
-Americ:an International Group A Dividend J T
.
-
14. MBNA Corp. A Dividend K T
-
15. FNIMABonds B Interest K T
-
16. J.P .. M1cirgan Bonds B Interest K T
17. Bank One Corp.Bonds B Interest K T
18. Ho111selilold Capital Trust A Dividend buy 1/8 1 buy on NYSE
l. Income1Gam1 Codes: A = Sl,00.1.l or less B = Sl,00 J-$2,500 C = $2,501-SS,OOO D = $5,001-$15,000 E =$15,001-$50,000
{See Columtis Bl and 04) F = S50,001'Sl00,000 G = $100,00I-Sl,000,000 Hl = $1,000.001°$:5,000,000 H2 = More than $5,000,000
2. Value C<ides = Sl 5,000 or less K =$1S,00l-$SO,OOO L = $50,00l-Sl00,000 M =$100,001-$250,000
(See Co!umtis Cl and D3) N = S250,00 $500,000 0 =SSOO,OOJ-SI,000,000 Pl = SI,000,001"$5,000,000 P2 = $5,000,001 $25,000,000
P3 = $25,000,001 $50,000,000 P4 =$More than $50,000,000
3. Value Mi:thod Codes Q =Appraisal R = Cos1 (Real Estate Only) S =Assessment T = Cash/Market
(See Colwnn C2) U = BO(>k Value V =Other w =Estimated
I ofReport
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_ s1312004___J
B. c.
(1) -
(2) (I) (2) u trom isclosurc
up
--
-
Amount
int.)
A
Method Code2
(Q-W)
K
(4) (S) Gain Code
m
31.
3/25
. · FINANCIAL DISCLOSURE REPORT Name of Person Reporting D. ate .
. Page 2 o:r 4 natzen, stewart
, VII. INVESTMENTS and TRUSTS -income. va1ue. transcations cmc1w1es those ort1ie spouse aru1 dependent c1u1c1re11. See pp. 34-s1 offiling instructions.)
-
A. D. Income during Gross value at end of Transactions during reporting pe!liod
Descriplion ofAssets reporting period reporting period(induding trust assets)
(I}
1::c "(X)" after each asset exenipt Type (e.g. Pia Type (e.g. Value Value froJn prior disclosure Code! div. rent. or Code2 buy, sell,
{A -H) (J-P). Code3 merger, redemption)
19. Household Capital Trust A Dividend sell .
20. Citigro B Dividend K T
-
21. Pfizier, line. A Dividend K T
General Electric A Dividend K T buy22.
-
23. GTI Sciuth, Inc. Bonds B Interest T
-COip.Bonds B Interest K T
-
25. Wac:ho'�ia C'..orp. Bonds A Interest matured
26. Exxon !Mobil A Dividend K T buy
-
(2)
Date: Month-Day
8/15
3/25
4/15
4/11
-not exempt
(3)
Value Identi of buyedseller
(J-P) 1 (A- (ifpriwte ttansllction)
J A sell on :NYSE
-
J buy adid"l shares on NYSE
K A matured
J buy add'! shares on NYSE
21. Ammsource Bergen A Dividend buy J buy add'! shares on NYSE
-9114 K A sell on NYSE Ami:risource Bergen A Dividend sell28.
-
29. SEIDaily Income Trust D Dividend M T
-919 K A sale ooNYSE30. Federal1 Home Loan Mortgage Dividend sell
-
32.
TI.owes A Dividend J
-ChcMll 111Texaco A Dividend K T
-
33. Johnson&Johnson A Dividend K T sale
34. Goldman Sachs Group Notes c . Interest L T
35. Fortun1eBrands A Dividend K T buy
-
36. Geneniii Dynamics A Dividend K T buy
-616 J c partial sale on
NYSE
4124 K buyonNYSE
4/24 K buy on NYSE
L Incomef(Jain Codes: A = $1,00I, or less B "'Sl,001-$2,500 C =S2,501•$5,000 D ..£5,001-$15,000 E =:$15,001-lS!l,OOO
(SeeCollin11lisBl and D4) F = S>SO,Olll-Sl00,000 G =SJOO;OOI.$1;000,000 HI = Sl,000,001-$5,000,000 H2 =More than $5,000,000
2. Value Codes: J = Sl5,0lil0 or less 1::. = $15 ,00.l ...SSO;OOO L =SS0,001-$1()0,000 M =$100,001-$250,000
(SeeColunmisCl andD3) N =$2S0,1 oo.ssoo,ooo o =Ssoo,001.s1.ooo,ooo Pl =51,000,001-ss,ooo,ooo P2 =SS,ooo,001.s2s,ooo,ooo
P3 = $25,0il0,001·$50,000,000 P4 =$More than $50,000,000
3. Value M:lhod Codes Q = Appn1isal R =Cos! (Real Estate Only) S =Assessment T = Cash/Market
(See Column C2) U =Book Value \I =Other W =Estimated
Page3 ·-------·
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A.
Pia froi
-
Vod
- -
Dor niru
USJ•
Safi.
Xer ox
Mal rsh
FNl
-
A
F
B.
-(2)
Type Code l
B
c.
(1) (2) (I) If
Day
J
-
c D
Gain,
H\
E
Date ofRepor1l ·· FINANC IAL DISCLOSURE REPORT. Name of Person Reporting
5/3/2004Dalzell, Stewart . of4.
-income, vatue, traoscations (includes those orthe spouse and dependent children. see pp. 34-s1 orfiling instructions.)·.VII. INVESTMENTS and TRUSTS -
D. hlcome during Gross value at end of Transactions during reporting period
Description of Assets reporting period reporting period (IDc uding trust assets)
ce "(X)" after each asset exempt n prior disclosure
(1) '
Amount '
(A-H)
(e.g. div. 1'1:111. or int.)
Value, Code2 (J-P)
Value Method Code3 (Q-W)
Type (e.g. buy, sell, merger, redemption)
(2) Date: Month-
not exempt from diSCiOsiire" (3)
·Value Code2 (J-P)
(4)
Code 1 (A-
(5) Identity of buyer/seller (ifprivate tnuiSaction)
37.
38.
39.
40.
41.
Meti ck &Co. .
-lOile Airtouch
-lntell
-AutA ltic Data Processing
-Well sF 'argo
A
A
A
A
A
Dividend
Dividend
Dividend
Dividend
Dividend
J
J
J
J
T
T
T
T
buy
sell
buy
4/24
3/18
4/24
J
J A
buyor1NYSE
-
sell on NYSE
buyonNYSE
42.
43.
44.
45.
46.
47.
48.
49.
so.
Med co Health Solutions
Med co Health Solutions
-J.P. Mcirgan Chase
--'ion Resources
-
-·ud Scientific Bonds
-Credit Notes
-She rritl l International Colp .
-Fler nin gCos.Notes
A
A
B
A
B
A
None
None
Dividend
Dividend
Dividend
Interest
Interest
None
Interest
J
J
J
K
K
T
T
T
T
T
spin-off
sale
sell
sell
buy
8121
10/15
10/20
2/10
2114
J
J
K
K
K
D
A
spin-offfrom Metiek
sale at1111kt
sale on U.S. Exchmge
partial sale on U.S. Exchange
buyan U.S. Exchange
51. Fler nin gCos. Notes
-
A Interest sell 8/15 J A sale an U.S. Exchange
52.
53.
54.
& McLennan Cos.
-.Bonds
Gen era lMiills
A
B
A
.Dividend
Interest
Dividend
K
K
T
T
sell 11113 K A sale on NYSE
l. Income/Gain Codes: = Sl,000 or less = Sll,001-$4,500 = $2,501-$5,0-00 ... $5,001-$15,000 -=$15,00l•SSCl,OOO {See Cal1lllllllsBl andD4) = $50.,00I;.$100,000 G = SI00,001-$1,000,000 HJ = Sl,000,001-$5,000,000 H2 = More than $5,000,000
2. Value Codes: J ='Sa 5,000 or less K =$15,001-SSO,OOO L = $50,001-$100,000 M =$100,001-$250,000
{See Columns Cl and D3) N = $250,000-SSOO,OOO 0 = SS:OO,OOl-Sl,000,000 Pl = s1,ooo.001-ss,ooo,ooo P2 = $5,000,001-$25,000,000 P3 = .000,001-sso,ooo,ooo P4 = $More than SS0,000,000
3. Value :thod Codes Q =Appraisal R = Cost (Real Estate Only) s = Assessment T = C-ash/Matket (See Coilllilll C2) u =Book Value v =Other w =Estimated
Datec>fRepon:J. ·
.. 5/3/2004
·---------· , _________ ...... ______________________________ I--___ , _
A. B. c. D.
-(I) It
(3) (4) Jpl Amount Type Gain
Code2 etexen
int.) Day transaction)
--
-
A
a
a
a
M
(1)
55.
58.
914
63.
3/25
= C11sb/Marke1
' FINANCM.L DISCLOSURE REPORT Name ofPerson Reporting
. Page 4 o:f 4 Dalzell, Stewart
- income, value, traoscations (iocludes those of the spouse and dependent children. See pp. 34-S.7 of filing instructions.} VII. INVESTMENTS and TRUSTS -
Gros5 value at end of Transactions during reporting period mcome dmingDescription of Assets reporting periodreporting period (inc:Juding ttust assets)
not exempt from discloSIU'e (2) (1)(2)
(5)(2)
56.
Pla1i:e "(X)" after each ass from prior disclosure
Ptizt::r, Irie.
Bank of America
Code] (A-H)
A
(e.g. div. rent. or
Dividend
None
Value
(J-P)
K
J
Value Type (e.g. Mdbod buy, sell, Code3 merger,
redemption)(Q-W)
T
T buy
Date: Value Identity of Month- Code2 Code buyeiiseller
(ifpniwte(J-P) I (A-m
11125 I buy on NYSE
sellNone 2126 J sell on NYSE 57. L-3 Cotmrnmications
59.
Conoco Phillips None J T buy 11/25 I buy onNYSE
-ID.t'l Bw&iness M chines None I T buy 11125 I buyor1NYSE
Senicemastcr T buyJA Dividend J buyon NYSE60.
T buyA 1/16Dividend J I buy on NYSE 61. PNM Resources
I T buy 11862. Utilitiei; SPDR Trust A Dividend I buy 011 Arnex:
soldA Dividend 3/17Johnson Controls I A sell on NYSE
64. Omi11icorn Group
65. Kotica Electric Power Corp.
66. Dominiion Resources
67. Duke Realty Corp.
68. Uni•oo P cific Corp.
A
A
A
None
None
Dividend
Dividend
Dividend
K
K
J
sell
T buy
T
T
-sell
2126 I A sell on NYSE
10120 K buy on NYSE
10131 K A sell 0111 NYSE
I buy dd'l shares 69. Verizon Conununications A Dividend J T buy on NYSE
70. Charter One Financial A K·Dividend T buy 4/11 buy add'I shares on NYSE
I. lncome/Ciain Codes: A = Sl,000 or less B =$1,001-$2,SOO c = .$2,501-$5,000 D = $5,00J-SlS,000 E = l'15,001-$50,000
(See Cohlllllls Bl and D4) F = $50,001-$100;000 G = Sl00,001·$1,000,000 HJ = $1,000,001·S5,000,000 H2 =More 1han $5,000,000
2. Value Codes: J = $15,,000 orless K = $15,001-$50,000 L = $50,001 $100.000 =$100,001-$250,000
{See Columns CI and D3) N = $251),00()..$500,000 0 =$500,001-$1,000,000 Pl = Sl,000,001-$5,000,000 P2 = S5,000,001-$2S,OOO,OOO
P3 = $25,000,001"$50,000,000 P4 =$More than SS0,000,000
=3. Value Method Codes Q Appraisal R = Cost (1>.eal Estate Only) s = Assessment T
(S"" Column C2) u = Bt>ek V aloe v =Other w Estimated=
W --- P_O_R_T J :_:_e _:_:_ _oo_R_._ _ ___________ il_· -· , VIII. ADDITIONAL INFORMATION OR EXPLANATIONS (IndicatepartofReport.)
' '
5/3/2004 . .
ofRepo]Jt •..
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Name of Person Reporting Dat1:. 'FiNAJNCIAL DISCLOSURE REPORT Dalzell, Stewart
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, u any) is accwrate, true, and coirnplete to the best of my knowledge and belief. and that any information not reported was witbhc ld . because it met applicable statutory provisions permitting non-disclosure.
I further certify that eamc d i:i11come :from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. § 501 et seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signatur
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES ORF.AILS TO FILE TIIlS REPORT MAY BE SUBJECT TO CIVIL AND CRIMIN.AL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure Administrative Office of the United States Courts
Suite2-301
One Columbus Circle, N .E.
Washmgton, D.C. 20544