Charles S Haight Jr Financial Disclosure Report for 2010

8/3/2019 Charles S Haight Jr Financial Disclosure Report for 2010

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AO IORev. 1/2011FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. ~~ 101-I11)

I. Person Repor ling ( las t name, f ir s t , middle init ial)Haight , J r . , Char l e s S .

4. Tit le (Art ic le I I I judges ind ica te act ive o r sen io r s ta tus;magis t ra te j udges indicate fu l l - or par t - t ime)

S enior Un i t ed S ta t e s Di s t r ic t Judge

7. Chamber~ o r Office Addrt~sU.S. Dist r ict Court1 4 1 Churc h S t ree tN ew Haven , CT 0 6 5 1 0

2. Court or Organiza t ionDistric t Court , SDNY

3. Date of Repor t07/14/201 I

5a . Report Type (check appropria te I~ve )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] AmendedRepon8. On the basis o f the in fo rma tion con ta ined in this Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in com pliancewith appl icab le l aws and regu la t ions .

R e vie ,n ~n g O ff ice r Date

6. Report ing Pe riodOl /OI /2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe,! Complete a l i par ts ,checking the NONE box for each part where you have no reportable informat~on. Sign on last page.

I . P O S I T I O N S . ~ R , p o n i n g i n d i v id u a l o n ~ y ; s e e p s . 9 - I J o f ~ i in g~-] N O N E ( N o reportable p ositions.)

POSITION1 . Adv i so ry Tru s t e e2.3.

4.

5.

NAME OF ORGANIZATION/ENTITYAmerican Scandinavian Foundation

I I . A G R E E M E N T S . (Reporting individual only; seepp. I4-16 of filing instructionsO~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s on R e p o r ti n gHaight, Jr., Charles S.

D a t e o f R e p o r t07/14/2011

I I I . N O N - I N V E S T M E N T I N C O M E . t R o p o . i n ~ individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investm ent Incom e~ (No repor tab le income.)ONE non-investment

DATE SOURCE AND TYPE

2.

3.

4.

INCOM E( y ou r s , no t s pou s e s )

B , S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were ma rried during anyportion of the reporting)ear, complete this section.(D ollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

I.

2.

3.

4.

I V . R E I M B U R S E M E N T S - , ra n sp o rt u t io n , ~ o d g l n g , l o o d , e n te r ta i n m e n L(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

~] N O N E (No reportable reimbursements.)

2.3.4.5.

SOURCE DATES LOCATION PU RPO SE ITEMS PAID OR PROVIDED


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N a m e o f P e r so n R e p o r t in gHaigh t, Jr. Charles S.

D a t e o f R e p o r t07/14/201 I

V . G I F T S . a n c l u d e , t h o s e t o ~ p o u s e a n d dependent children; ~ e e p p . 2 8 - 3 1 of filing instructions.)NONE (No reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n d ~ d e ~ , h o s o o ~ s p o ~ s o o n d d e p e n d e n t children; see p p . 3 2 - 3 3 of fillng instructionx)N O N E ( N o reportable liabiBtieso)

CREDITOR DESCRIPTION

1 .2.

3.

4.

5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 4 o f 9 Ia m e o f P e r s o n R e p o r t i n gHaight, Jr., Charles S. D a t e o f R e p o r t07/14/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, ralue, transactions (Includes those of spouse and d~pendent children; seepp. 34-60 of filing instruction~)N O N E ( N o reportable income, assets, or transactions.)

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 i n g( 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) ( 2 )P l a c e "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e I div . , r e nt ,( A - H ) or i n t . )

I. B a n k o f A m e r i ca M o n e y M a r k e t A D i vi d e n d

2. W al t Di s ney C o . A D i vi d e n d

3. H o m e D e p o t I n c . A D i v i d e n d

4. C V S C a r e m a r k C o r p . A D i vi d e n d

5. D i a g e o P l c A D i vi d e n d

6. Ne s t l e s S . A . A D i vi d e n d

7. P r o c t e r & G a m b l e C o . A D i vi d e n d

8. E x x o n M o b i l C o r p . A D i vi d e n d

9. B er k s h i r e Ha t h aw ay N o n e

1 0 . J . P . M o r g a n C h a s e A D i vi d e n d

I I . Joh ns on & Joh ns on A D i vi d e n d1 2 . Q ue s t D i a g n o s t i c s A D i vi d e n d

1 3 . C i s c o S y s t e m s N o n e

1 4 . Mi cr o s o f t Co r p . A D i vi d e n d

1 5 . I S ha re s S &P M i d ca p 4 0 0 I n d e x Fun d A D i vi d e n d

1 6 . T ho rn be rg I n t l V a l ue Fun d B D i vi d e n d1 7 . C o n n S t G e n R e v B o n d s C In te re st

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 r t i n g p e r i o do f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (3)Value Value T y p e (e.g., D a t e Value

C o d e 2 M e t h o d b u y , s e l l , m m /d d /y y C o d e 2(J-P) C o d e 3 r e d e m p t i o n ) (J-P)

( Q - W )

M T

J T

J T

J T

K T

K T

J TJ T

L TK T

J TJ T

J TJ T

J T

Sold 10/05/10 LM T

( 4 ) ( 5 )G a i n I d e n t i t y o fC o d e I b u y e r / s e l l e r( A - H ) ( i f p r i v a t e

t r a n s a c t i o n )

I . Income Gain C odes : A =$ 1,000 or less B =$1,001 - $2,500 C = $ 2 ,501 - $ 5 ,000 D = $ 5,001 - $ 15,000(Se e Co lumn s B I a n d D4 ) F = $ 50,0O I - 5100.000 G = $ 100,001 - 51,000.000 H I = $ 1 ,000,001 - $ 5,000,000 H2 =More than $5,000,(X}0

2 . Valu e C odes J $ 15.000 or l ess K 515.001 - $50.000 L =$50,001 - $100,000 M =5100.001 - $250,000(Se e Co lumn s CI a n d D3) N 5250.001 - 550~.01RI O 5500,001 - $1.000.000 PI =$1.000,0~1 - $5,0(I~,00~ P2 =$5,000.0~1 - $25.000.0n0P3 525.000.001-550.000.000 P4 =Mor e th an $ 50 ,000,00 0

3. Value ~tcthod Codes Q = A p p r a i sa l R =C os t ( R eal E s t a t e Only ) S =As s es s ment T =Ca sh Ma rke t(See Column C2) U =Book Valu e V =Oth er W =E s t imated

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gHaight, Jr. Charles S.

D a t e o f R e p o r t07/14/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, t r a n s a c t io n s ( I n c l u d e s t h o s e of spouse and dependent c h i l d r e n ; see p p . 3 4 - 6 0 of filing instruction.SN O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Income dur ing( 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) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o un t T y p e ( e . g . ,e x e m p t f r o m p r i o r d is c l o s u r e Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(1) (2)Value ValueC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )

T y p e ( e .g . ,b u y , s e l l,r e d e m p t i o n )

Transac tions during report ing period(2) (3) (4)

D a t e Value Gainmm/dd /yy Cod e 2 Co d e I

(J-P) (A-H)I d e n t i t y o fbuy~/sellcr( i f p r i v a t e


1 8 . N Y S t a t e D o r m A u t h B o n d s B Interest1 9 . Niag ara F a l l s NY Ci ty Scho o l Dis t Bo n d s B Interest20 . N ew Y o rk S ta t e GO Bonds 7 /1 5 /98 B Interest

K T

Redeemed 05/14/10

21 . N ew Y ork S ta t e Tw y Auth Bonds B Interest2 2 . C o n n S t a t e G O B o n d s 6 / 2 6 / 0 8 C Interest M T

Redeemed 04/01/10 K

23 . S t a m f o r d C o n n G O B o n d s C Interest M T24 . Conn S ta t e HS G Auth Bonds D Interest M T25 . C o n n S t a t e S p c T a x O b I i g R e v B o n d s D Interest M T26 . V anguard Money Mkt . Fund A Interest27 . I N G Di rec t S av ings Bank B Interest M T28 . U S T r u s t C o o f N Y B a n k o f A m e r i ca N o n e J TC h e c k i n g A c c o u n t29 . G u i l fo r d S a v i n g s B a n k N o n e J T30 . C o l u m b i a S e l e c t L a r g e C a p . F u n d N o n e L T31 . A m a z o n . c o m , I n c. N o n e

Clos ed 05/30/10

S old 01/12/10 J C

32 . L e m e r C o r p .

33. M cK ess on C orp .34 . C u m m i n s In c .

N o n e

A DividendA Dividend

T

K TSo ld 02 /19/10

I. Inonle Gain Codes:(Se e Co lun m, B I a n d I )4 1

2. Valu e C odes( S ee C olu mn~ C I and D 3)

3. Value Method Codc~(Se e Co lumn C2)

A ~$1,000 or lessF =$50,001 - $100,000J = $ 1 5 . 0 0 0 o ~ " l e s sN =$250,001 - $500,0~0P 3 -525.000,001 - $50.000.000Q =AppraisalU =Book Valu e

B =$1,001 - $2.500G -5100.001 - $1,000,OOOK =$15,001 - $50.000O- 5500,001 - $ 1 . 000. 000R Co s t (Re a l Es ta te On ly)V =Oth er

C =$2,501 - $5,000HI =$1,000.001 - $5.000,000L -$50.001 - $ 1 0 0 , 0 0 0PI =$1,000.001 - $5,000,000P4 =More than $50,000,000S =As s es s mentW =Estiraalcd

D =55,001 - $15.000H 2 = M o r e t h a n $ 5 . 0 0 0 . 0 0 0M =SI00.001 - $250.000P2 =55,000.001 - 525,000,000T =Ca sh Ma rke t

E =$15.001 - $50.000


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N a m e o f P e r so n R e p o r t in gHaight, Jr., Charles S.

D a t e o f R e p o r ~07/14/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)[~ N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income dur ing Gross va lue a t e n d

( includ ing t rust a sse ts) repor t ing per iod of repor t ing per iodO} (2) (1) (2)P lace "(X )" after each asse t A m ount Type (e.g. , Va lu e Va lu e

exempt f rom pr ior d isc losure Code I div. , rent, C o d e 2 Method( A - H ) o r i n t . ) ( J - P ) C o d e 3(Q-W)

35 . Accenture Ltd. A Dividend J T36 . MasterCard Inc. A Dividend J T37 . B ar ric k G old C or p. A Dividend K T38 . Oracle Corp. A Dividend J T39. FPL G rou p A Dividend40 . IShares China Index Fund A Dividend K T41 . IShares Australia Index Fun d B Dividend K T42 . IShares Brazil Index Fun d B Dividend K T43. IShares Canada Index Fund A Dividend K T44 . IShares South K orealndex Fund A Dividend45 . PimcoTotal Return Fund D Dividend M T46 . Discovery Communications Inc. None J T47 . Apache Corp. A Dividend J T4 8 . L it ch fi el d , C TG O B o n d s C I n t e r e s t M T49 . Cheshire, CTGO Bond s C I n t e r e s t M T

5 0 . M a n ch es te r, CT G O B o nd s C I n t e r e s t M T51 . Southington, CTGO Bond s C I n t e r e s t M T

T r a n s a c t i 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) (2) (3)T y p e ( e . g ., D a t e V a l u eb u y , s e l l , m m / d d / y y C o d e 2

r e d e m p t i o n ) ( J - P )

S o l d 01/14/10 K

S o l d 05/25/10 K

(4) ( 5 )Gain Identity of

Code I buye r/ se l le r(A-H) (if private


I . Income Gain C o d e s : A =$ 1,000 or l es s B = $ 1.001 - $ 2 ,500 C = $ 2 ,501 - $ 5 ,0~ 0 D = $ 5,001 - $ 15,000( S ee C olu mns BI and D - I ) F =$50.091 - $ 100,000 G =$100.001 - $1,0~,000 H 1 =$1,000,001 - $5,0~1,000 H2 =M o re tha n $5 .0 ~ ,0 0 0

2. Value COdes J =$15.000 or less K =$15,001 - $50.000 L = $50,001 - $ 100,000 M = $ l 0~,001 - $ 250,000( S e e C o l u m n s C I and D3) N =$ 25 0 ,0 0 1 - $5 0 0 .0 ~ O =$50(*.001 - $1,000.0~0 PI =$ 1 ,000,001 - $ 5 ,000,0~) P2 =$5,000,001 -

P3 -$25,000.0~1 - $50.000.000 P4 =More than $50,000,0003. Value Method Codes Q = A p p r a i sa l R =C o~l ( R eal E s t a l c Only ) S =As s ~s s mcnl T =Ca sh Ma rke t(Se c Co lumn C2) U =Book Valu e V =Oth er W =E s t imated

E =$15,001 - $50.000


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N a m e o f P e r so n R e p o r t in gHaight, Jr . Charles S.

Date of Report0 7 / 1 4 / 2 0 1 I

V I I . I N V E S T M E N T S a n d T R U S T S - inco,.o, ,alue, transactions (Includes ,hose of spouse and dependent children; see pp. 34-60 of filing ins,rue,ions.)D (No rep or table income , asse t s , orONE transactions.)

A. B. C.Description of Assets Income dur ing Gross va lue a t end

( inc luding t rus t asse ts ) reporting period o f rep orting p eriod( I ) ( 2 ) ( 1 ) ( 2 )

P 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 . , V a l u e V a l u ee x e m p t f r o m pr ior d i sclosure C o d e I div., r e n l ~ C o d e 2 Method(A-H) o r i n t . ) ( J - P ) C o d e 3

(Q-W)

Type (e.g.,buy , s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)D a t e Value Gain

mm]dd/yy Cod e 2 Co d e I(J-P) (A-H)

(5 )Identity of

buyer/ se l le r(if private


5 2. Ea st on , CT G O B o nd s5 3. W e s t H a rt fo rd , C T G O B on d s

54 . Regional School District 18 CT Bonds

55 . Wethersfield, CTGO Bonds5 6 . La s V eg as S an d s C or p .5 7. M c Do na ld s Co rp .58 . Teck Resources Ltd.59 . M illicom Intl. Cellular SA

C I n t e r e s t

C I n t e r e s t

D I n t e r e s t

D I n t e r e s t

NoneB DividendA DividendA Dividend

M T

M T

M T

M T

L TK T

K T

K T

B uyB uyB uyB uy

10/08/1009/27/1004/15/1004/15/10

LK

K

K

I. Income Gain Codes: A = 51,000 o r less B = $ 1.001 - $ 2 ,500 C = 52 ,501 - $ 5 ,000( Se e C ol um n s B I a nd D- l) F =$ 50 ,0 01 - $ 10 0.0 00 G =$100.0Ol - $1.0O0.C(30 HI =$1.000.001 - $5.000.0(~)

2. Value Codes J = 515,000 or less K = $ 1 5 , 0 0 1 -(Se c Co lumn s CI a n d D J ) N =5250.0O I - $500.000 O =5500,001 - $ 1,000.000 PI =$1,000,001 - $5.000.000

P3 =$25,000.001 - 550,000,000 P4 =M ore than $50.000.13003. Value Method Codes Q = A p p r a i sa l R =C os t ( R eal E s t a l e Only ) S =Ass~s,-,mcnl(Se e Co lumn C2) U =Book Valu e V =Olh cr W =E s t imated

D =$5.001 - 515.000H2 =More than $5.000.000M =$100.001 - $250,000P2 =55.000,001 - $25.000.000T =C as h Mar k c l

E = $ 1 5 . 0 ~ I - $ 5 0 . 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 8 o f 9

N a m e o f P e r s on R e p o r ti n gHaight, Jr., Charles S.

D a t e o f R e p o r ~07/14/201 I

V I I I . 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 A N A T I O N S . (Indicate part olrepo~t.)


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N a m e o f P e r s o n Re p o r l i n gHaight, Jr., Charles S.

Date of Repor t07/14/201 I

IX. CERTIFICATION.

1 c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n 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 e p e n d e n t c h i l d r e n , 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 e s t o f m y k n o w l e d 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 e p o r t e d ~ v a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o 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 e r c e r t i f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o ) a n e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s ~ v h i c h h a v e b e e n r e p o r t e d 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 i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: $/Cha rles S. Haight, Jr.

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 F U L L Y F A L S IF I E S O R F A I L S T O F I L E 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 ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 10 4 )

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

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Charles S Haight Jr Financial Disclosure Report for 2010

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