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Charles S Haight Jr Financial Disclosure Report for 2009

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  • 8/3/2019 Charles S Haight Jr Financial Disclosure Report for 2009

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    L Person R eport ing ( last ~ fro; t , middle ini t ia l) 2. Court or O~an~tlon 3 . Date of Repo~It~t, Jr., Chml~ S. D i s ~ c t C o ~ , S D N Y 05/12~010

    4 . ~ f l e ( A ~ i cl e ~ j ~ g ~ i n ~ c ~ e ~ i v e o r ~ i o r s ~ ; 5~ R epo~ T y~ (check ~propriam t~e) 6 . R epo~ng Periodmag is~te jud g ~ ~d i~le ~1 - o r p ~- t~e) ~ N o m i n a t i o n , D a~ 01/01~009Se~orUni~S~es~s~ctJ~ ~ l~i~,l ~ A .... 1 ~ Fill 1~310~9

    5b. ~ Amend~ Repo~7. Chtmbe~ o r O~e Ad d re l= ~. On the b=sl= of the Infarm aflon coat=tned In thl= R tpoa =nd =nymod~catlons pe~=lniag ther~o~ It 1~ In m y opin~n, In compli=nceU.S. Dis~ct Co~ with =ppllcable law= =ad regul=tion=.141 Chu~h S~tN e w ~ v e n , C T 0 6 5 1 0 Reviewing O~cer D a t e

    I M P O R T A N T N O T E S : T h e instructions accompanying this form must be fallowed. Complete all parts,checking the NO NE box for each pa rt where you have no reportable information. Sign on last page.

    I . POSIT IONS. (a,vo,~s~ NONE (No reportable positions.)

    POSITION NAME OF ORGANIZATION/ENTITY1 . A d v i s o r y T r u s t e e American Scandinavian Foundat ion

    ~ N O N E ~ o reporta#le~ PARTIES ~ ~S J

    1.

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    FINANCIAL DISCLOSURE REPORT ~.~o~o. aepo~,~g ~ , t ~ o ~ R ~ p o , ~P a g e 2 o f 1 0 H atg h~ J r . , Cha r les S . 05/1 ~2010

    IH. N O N - ~ V E S T M E N T ~ C O M E . ~o.~ i~,~ ~ ,~.~,; ~ ~. ~ 7-2, o~t~ ~,~,~.~A. FHers N o n - I n ve s t me n t I n c o me

    N O ~ ~ o repo~able non-investment incomeOD A T E SO~CE A~ ~E ~(yo~s, not spouses)

    I.2.3.4.

    B. Spouses Non-Investment Income - tf.u ~,, married during an),portion of the repor~ng year, complete this section.(Dollar amount nol requir~.d xcepf for honoraria.)

    [] NONE 0go repor t ab le non- i nves tm en t i ncom e . )DATE SOU RCE AND TYPE

    1 .2.

    3,4.

    I V . R E I M B U R S E M E N T S -,ra~,m,,ao^,toas~,~ooa , e,,,~ol .. .. -(lnclud~..r those to spouse and de_t~ndent ch ildren; see pp. 2.$-27 of filing lnstruetion.~.)

    [] N O N E (No rep o r ta b l e re imb u rsem en t s .)SO~CE D A T E S LOCA~ON PURPOSE I T E M S P A ID O R P R O V I D E D

    1.2.3.4.5.

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    FINANCIALDISCLOSUREREPORT[ ilaight, Jr ~ C h a r l e s S .age 3 of I0 os/~o~o

    ~ NONE ~o reportable g~s.)~ DESCR~TION

    1 .

    3.4.5.

    V I . L I A B I L I T I E S. a~a,a,, ~o,, oI ,ro,, ~ Z d~ , ,~na~,; ,,, rv. ~-~ *f Iiling instructions)NONE (No reportable l iab i l it ies . )

    C , R F , D . I T . .Q R DESCRIPTION1 .2,3 .4.5.

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    FINANCIAL DISCLOSURE REPORT NameofP . . . . R e p o r t i n g I Dateo,P a g e 4 o f l 0 H aig ht , J r . , Char les S . 05112/20NONE ~o reportable income, assets, or tra~actions.)

    A. B. C. [ D.D e ~ p f i o n o f A ~ In,me d~g G r o s s v a l u e a t e n d I T ~ s ~ o n s d u r ~ g r e ~ n ~ g p e f i ~(~ ) (~ ) 0) ~2) 0) (2) 0) (4) [P la~ "(X)" ~ each ~s e t A m o u n t T~ (e .g . , Value Value ~ (e.g., D a t e Vd ue G~n[ I d en ~ W o fexempt ~m ~or dislos~e C~e 1 div., ~nt, C o d e 2 Me~ b~, ~11, m ~ d @ ~ C ~ e 2 C ~ e I buyer/sell~( A - H ) o r i n t . ) ( J - P ) ~ 3 ~empl ion) ( J - P ) ( A -H ) (ifp~vat~( Q - W ) ~mact ion)

    1. B ~ o f A m e ~ c a M o n ~ M a r k e t A Dividend M T2. Comcast Corp. A Dividend Sold 1 1 1 1 0 / 0 9 J B

    3. Wa l t D i sne y C o . A Dividend J T 4 . Home D epot Inc. A Dividend J T5. Staples Inc. A Dividend S old 0 5 1 0 4 1 0 9 J6. CVS Caremark Corp . A Dividend J T7. Diageo P i e A Di vi de nd K T8. Nestles S.A. A Di vi de nd K T9. Proc te r & G a mbl e C o . A Dividend J T

    1 0 . Exxon Mobi l Corp. A Dividend J T1 1 . Berkshi r~ l la thaway None K . T1 2 . J.P. Morgan Chase A Dividend K T1 3 . Markel Corp. None S old 04/29/09 K1 4 . T. R owe P Hc e G roup A Dividend S~ld 07/07/09 J

    1 5 . Gilead Sciences Inc. None S old 1 1 t 1 0 / 0 9 J1 6 . Johnson &Johnson A Dividend J T1 7 . Quest D iagnostics A Dividend J T

    (S~ Columns BI and IM) F ~$ 50 ,001 - $ 100 .000 G - $100. 001 $1,000. 000 H I -$1,000.1~01 - $5,000.000 H2 =Mort= than SS.000.000(See Co lu m n= CI and D 3 ) N =$25 0 .00 1 - 15 0 0 ,0 0 0 O =S50 0 ,00 1 - $1 .0 0 0 .0 0 0 P I -$! ,000 ,001 . $5 ,000 ,000 P2 =$S,0o0.O01 - $25,00[),000P 3 =$ 2 5 ,000 ,00! - $ 50 ,000 ,000 P 4 =Mor e t h an $ 50 .000 .000

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    F I N A N C I A L D I S C L O S U R E REPORT[ Ha lgh t , J r . , Ch a r le s S ,

    05/12/2010a g e 5 o f 1 0

    NONE (No reportable income, assets, or transactions.)A. B. C. [ D .D e s c r i p t i o n o f A s s e ~ I n c o m e d u r i n g G r o s s v a l u e a t 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 a i n g p e a " i o d

    ( i n c l u d i n g t r u s t a s s e t s ) r e p o r t 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 d( 2 )

    e x e m p t f r o m l : n - l o r d i ~ e l o s u re Code I d i v . , ~ e n t , C o d e 2 | M e t h o d b u y , s e l l , mm/ dd / yy C ode 2 buyer/seller( A - H ) o r i n t . ) ( J - P } 1 C o d e 3 I r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )1 8 . Stryker Co~p. A Dividend Sold 06/01/091 9 . Genera l Electric Co. A Dividend Sold 07/31/09

    20 . Lockheed Mart in Co. A Dividend Sold 07 /31 /09 J21 . Cis co Sys t ems None J T22 . Microsoft Corp. A Dividend J T23 . B a r o n G r o w t h F u n d None Sold 04/29/09 J2 4 . Columbia M ars ico Focus ed Equi t i e s Fund A Dividend Sold 11/12/09C l a s s Z25 . Eaton Vance Structured Emerging Mkts None Sold 11/12/09 LF u n d26 . IShares S&P Midcap 400 Index Fund A Di vi de nd J T27 . Royce Fund P rem ie r Se r None S old 07/28/09 J B28 . Thom berg In t l Va lue Fund B Dividend L T2 9 . U S Tre ss NT Du e 03 / 15 / 09 D Interest R e d e e m e d 03/I 5/09 O30 . Ne w York NY G O B onds 3 / I 8 / 99 A Interest R e d e e m e d 03/16/09 K31 . C o n n S t G e n R a y B o n d s C Interest M T3 2 . NY Sta t e Dorm A u t h B onds B Interest K T33 . Niagara Fal ls NY City School Dis t Bonds B Interest K T34. Ne w York S t at e G O B o nds 7/15/98 B Interest K T

    | . I r ~ o m e G ~ i n C o d a : A - $1,000 or2 . V al u e Codes J

    (S~ ~lumn C2) U "B~k Value V ~ W =E~ima~

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    F I N A N C I A L N a m e o f P e r s o n R e p o r a n g[

    D a t e o f R e p o r tD I S CLO S U RE R EP O R T[ H alght, Jr., Charles S.

    0.5 /12/2010age 6 of I0

    V I I . I N V E S T M E N T S a n d T R U S T S - ~ ,o . . . . . ~,~o t . . . . . t~on$ ( Includes rhoxe of $t~ . . . . . d depetldet= tuldren; $~ pp. 34-60 of lil ing instJuctionx.)[] NOHE (No reportable income, assets , or t ransact ions.)

    A. B. C o D.D e s c r i p t io n o f A s s e ts l n c o m e d u r i n g G ro s s v a l t ~ a~ en d T r a n s a c ~ 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 l u d i n g m i n t a s s e t s ) r e p or t i n g p ex i o d o f r e p o r t i n g p ~ r l o dP l a c e " ( 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 ( e . g . , Value [ Value T y p ~ ( e . g ., D a t e Value C 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 s c l o s a r e C o d e I d i v . , r e n t , COde2 t M e t h o d buy, sdl, m m / d d / y y Code2 C o d e I( A - H ) o r i n t . ) ( J - P) ] C o d e 3 r e d e m p t i o n ) [ J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) W a n s a ~ l io n )

    35 . New York Sta te Tw y Auth Bonds B interest K T36 . C orm St a t e G O B onds 6 / 2 6 / 08 C Interest M T

    3 7. S t a m f o r d C o n n G O B o n d s C I n t e r e s t M T38 . Corm Sta t e HSG Auth B onds D Interest M T3 9 . Corm Sta t e Spe Tax Ob l ig Rev Bonds D Interest M T40. P imco Fore ign Bon d Fund B Interest Sold 04/30/09 M41. Pi mc o C omm odi t y R e a l R e t u rn F u nd A Dividend Sold 05/04/09 K42. Baron F i f t h Ave Growth Fund None S old 04/30/09 K43 . Pimco Tota l Return Fund Inst . Class A Dividend Sold 01/14/09 J44. H S B C C / D A Interest Clo sed 03101/09 J45. Vanguard M oney M kt Fund A Interest K T46. ING D i rect Savings B ank B Interest L T47. US T t~ast Co of NY Bank of America None J TChecUng Account48. HSBC Check ing Account A Interest Clos ed 03/0110949. Gui l fo rd Savin g s B an k None J T O pen 03/0110950 . Columbia Se lec t La rge Cap . Fund None K T B uy 04/30/0951 . Amazon.corn, Inc. None J T B uy 05/04/09

    1 . I nc ome Cai n Cod ez : A "$1,0OO o~ les~ B "$1 ,0 0 1 - $2 ,5 0 0 C "5 2 ,5 0 1 5 5 ,0 0 0 D 5 5 5 ,0 0 1 - $1 5 ,0 0 0 E -$ I .~,001 - $50,000

    P 3 " $ 2 5 ,000 ,001 - 150 ,000 ,000 P 4 :Mor e t h an $ ~0 ,000 ,000( S ee Co l u mn C2 1 U rB o o k Va l~ e V =O th ~ W -Es t i mal ed

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    Ja 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 tFINANCIAL D I S C L O S U R E R E P O R T[ Ha lgh t , J r . , Ch a r le s S . [

    05I!2r2010a g e 7 o f 1 0V I I . I N V E S T M E N T S a n d T R U S T S - ~ o . ~ ~ , t . ,, , . . . . , ~ . s (Includes Ihose of s p o u s e a n d dependent hildre.n; ae pp, 34-60 of fi l ing

    [] NONE (No reportable income, assets , or t ransact ions.)A. B. C. D.D e ~ c r i p l io r t o f A s s e t s I n c o m e d u r i n g G ro s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p i n 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 ) r e p o r t i n g p er i o d o f r e p or t i n g p e r i o d

    (1) (2) (i) (2) (t ) (2) (3) (4) (5 )P l a c e " ( X ) " a ~ v r e a c h a s s e t A m o , . m t T y p e ( e . g . , Value V a l u e : T y p e ( e .g . , D a t e Value Gaine x e m p t f ~ r n p r i o r d i s c lo s w r ~ C o d e 1 d i v . , r u n t , C o d e 2 M e t h o d buy, sell, m m /d d/ y y C od e 2 Code ! buyer/seller(A-H) o r i n t . ) ( J - P ) C o d e 3 r v d e m p t i o n ) ( J - P ) ( A - H ) ( i f p d v a t e( Q - W ) ! aaas~lion)

    52 . Le me r C orp . None J T B uy 0 5 / 0 4 1 0 9 J53 . McKesson Corp. A Dividend J T B uy t I 1 1 6 / 0 9 J

    54. Cummins Inc . A Dividend J T B uy 08/07/09 J55 . Accenture L td. A Dividend J T B uy 08/07/09 J56 . MasterCard Inc. A Di vi de nd J T B uy 1 I/16/09 J57 . Bar r ick Gold Corp . A Dividend J T B uy 1 I / 1 6 / 0 9 J58 . Orac le C orp . A Di vi de nd J T B u y 05/04/09 J59 . F P L G r o u p A Dividend K T B uy 05/04/09 J60 . ISha res Ch ina Index Fund A Di vi de nd K T B u y I 1 / I 6 / 0 961 . ISha res Aus lra l i a Index Fun d B Dividend K T B uy 1 1 1 1 6 / 0 9 K62 . ISha res Braz i l Index Fund A Dividend K T B uy i 11/16/09 K63 . I Sha xe ~ C a na da I nde x F u nd A Dividend K T B uy 1 I/16/09 K64. ISha res Sou th K orea Ind ex Fund A Dividend K T B uy I 1/16/09 K65 . Pt me o T o t a l ge tu m F u nd D Dividend M T B uy 1 1 1 2 / 0 9 M66 . Diseovm7 C orunmnicat ions Inc. None J T B uy 1 1 1 1 6 / 0 9 J67 . Apache Corp. A Dividend J T B uy 11/16/09, J6 8 . Li tch f i e ld , CT G O B onds C Interest M T B uy 112/17/09 M

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    F I N A N C I A L D I S C LO S U R E R E P O R T Name of P ..... Reporting [ Dalte or ReportP a g e 8 o f 1 0 Ha|ght. Jr., Charles S. I 05 / 12 / 2 010

    N O ~ ~ o repo~able income, ~sets, or transactions.)A. B. C. ] D.

    Des~ption of~s~ In.me d~ing ~oss v~ue at end~

    T~n~actions d~ing ~ning ped~(including ~ ~sets) r~ng ~od of r e pon i ng

    O) (2 ) (0 (2 )

    6 9 . ~eshirc, CT GO ~on~ C [ntcrvst M T B~ 06~09 M

    70 . M~chv~tcr, ~ GO Bon~ C In~cst M T B u y 07/0~09 M

    71 . Sou~ington. CT GO Bonds C I n t e r e s t M T B oy 0 6 1 0 5 1 0 9 M7 2 . E aston , CT G O B on d s C I n t e r e s t M T B u y 0 5 /2 8 /0 9 M

    73 . W e s t H a r t f or d , C T G O B o n d s C Interest M T B uy 07/21/09 M7 4 . Regiona l School D i s tr ict 18 CT Bonds D Interest M T B uy 0 9 / 1 5 1 0 9 M

    75 . W ethe rs f i e ld , CT GO Bo nds D Interest M T B uy 06/18/09 M

    (See ~lumn~) U -B~k Val~ V ~ W = E s t i m a t ~

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    N a m e o f P ~ : r s o n R e p e r t l n gI N A N C I A L D I S C L O S U R E R E P O R T[ H a l g h t , J r ., C h a r l e s S .

    D*te of I ~ . e p o r tPage 9 of 10 0 5 / ~ 2 / 2 0 ~ 0V I II . A D D I T I O N A L I N F O R M A T I O N O R E X P L AN A T I O N S .

    Page 4, Part VII , l ine 1 of the 2008 Report l i st s "Columbia Govt . Plus Reserves Trust Class" as an asse t . This i s a money market fund. D uring 2009 our f inancia ladviser replaced Colum bia wi th a Bank of Am~-rica Money Market Savings Account, w hich is l i sted on Page 4, Part VII , l in t 1 of the 2009 Report in pla~e ofColumbia . Th is was a t ransfer of cash from o ne fund to the other . I t d id not gen~at~ any g a ins or losses.

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    Ia m e o f P r ~ o n R e p o r t in g[

    FINANCIAL DISCLOSURE REPORT[ Halght, Jr., Charles S.

    D a t e o f R e p o r tPage 10 of 10 0 5 1 1 2 / 2 0 1 0IX. C E R T I F I C A T I O N .

    1 ce r t i fy t ha t a l l i n forma t ion g iven above ( i nc lud ing in forma t ion pe r t a in ing to m y s pous e an d m inor o r dep endent ch i ld ren , i f any ) i saccura t e , true , and comple t e t o t he bes t o f my k now ledge and be l i e f , and t ha t any in forma t ion no t repor t ed w as w i thhe ld becaus e I t me t app l icab le s ta tu toryp ro vis io n s p ermi t t in g n o n -d i sclo sure .I fu r t he r ce rt i fy t ha t ea rned Income f rom ou t s ide employm ent and ho nora r i a and t he acceptance of g i f t s wh ich have been repor t ed a re i ncompl i ance w i th t he p rovi s ions o r s U .S.C. app . 501 e t . s cq. , 5 U .S.C. 7353 , and Judic i a l Confe rence regu la t ions .

    S l g n a t ~

    N O T E : AN Y I N D I V I D U A L W I t O K N O W I N G L Y A N D W I L F U L L YAND CR IMINAL SANCTIONS (5 U .S .C. ap 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 co p i e s t o :

    Co m m i t te e o n F i n a n c i a l D i s cl o s u r eAdminis t ra t ive Off ice of the Uni ted Sta tes Cour tsS u i te 2 -3 0 1One C olu m bu s C i rc l e , N.E .W a s h i n g t o n , D . C . 2 0 5 44


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