Leval_Pierre_N 1
SOURCE ANP TYPE
SOURCE ANP TYPE
SOURCE DATES LOCATION PURPOSE ITEMS PROVIDED
3.
4.
Name of Penoo Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 2of10 Leval, Pierre N. 05/15/2009
IIJ. N 0 N-JNVESTMENT JN COME. (Reporting individual and spouse; supp. 17-U of filing instructions.)
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
INCOME (yours, not spouse's)
I. 117/08 University of Pennsylvania - Annenberg School (for teaching in Jordan - $2,100.00 Nov. '07)
2.
B. Spouse's Non-Investment Income - If you were marrkd during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
D NONE (No reportable non-investment income)
I. Jan-Dec 08 State St. Cultural Inst. Pension Plan - pension
2. Fall '08 New York University - teaching
3. Jan., '08 U.S. Institute ofMusewn & Library Services - arts funding panel
4. June, '08 New York City Dept. of Cultural Affairs- arts funding panel
IV. REIMBURSEMENTS - transportation, lodging, food, entertainmenL
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
D NONE (No reportable reimbursements.)
I. The State Bar of California March I - 4, 2008 S. Monica/S Francisco CA Lectures
PAID OR
travel/lodging/food
2. Stanford University March 5- 9, 2008 Stanford, CA Conference travel/lodging/food
3. The University of Michigan March 27 - 28, 2008 Ann Arbor, Ml Teaching travel/lodging/food
4. Aspen Institute July 2007 Aspen, CO Teaching travel/lodging/food
5.
SOURCE DESCRIPTION
CREDITOR DESCRIPTION
YA LUE
VALUE CODE
5.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
05/15/2009Leval, Pierre N. Page 3of10
V• GIFTS. (lnc/11du those to spouse and dependent children; see pp. 28-31 of filing instructions.)
[Z] NONE (No reportable gifts.)
I.
2.
3.
4.
VI. LIABILITIES. (lnc/11des those of spouse and dependent children; see pp. 32-33 of filing inst ructions.)
D NONE (No reportable liabilities.)
I. MONY Loan on life insurance policy
2.
3.
4.
5.
L
-
Date of Report Name of Penon Reporting FINANCIAL DISCLOSURE REPORT
Page 4of10 Leval, Pierre N. 05/15/2009
VII. INVESTMENTS and TR u STS - income, val11e, transactions (lncl11des those of spollSe and dependent children; see PP· JUO of ftling instructions.)
D NONE (No reportable income, assets, or transactions.)
A.
Description of Assets
(including trust assets)
B.
Income during
reporting period
c.
Gross value at end of
reporting period
D.
Transactions during reporting period
Place "(X)" after each asset
exempt from prior disclosure
(I)
Amount Code I
(A·H)
(2)
Type(e.g.,
div., rent,
or int.)
(I)
Value
Code 2
(J-P)
(2) Value
Method
Code3
(Q-W)
(I)
Type(e.g., buy, sell,
redemption)
(2)
Date
Month-
Day
(3) Value
Code 2
(J-P)
(4) Gain
Code I
(A-H)
(5) Identity of
buyer/seller
(if private
transaction)
I. Abbot Labs (common stock)(self E Dividend Pl T
2. Exxon Mobil (common) D Dividend 0 T
3. Schering Plough (com) (self- D Dividend
4. " "(self) None Sold 8/13 N G (part)
5. " "(self) None Sold 12111 L F
6. " " - None Sold 12/ll L E
7. Applera App!Biosys (ABI) formerly PE Bi B Dividend M T osystems (common)
8. Applera - Celera Gen (CRA) (formerly PE None K T Celera Genomics(com)
9. usx A Dividend J T
10. Daimler Chrysler (common) A Dividend J T
11. FMC Money Mkt (self (Dreyfus) A Interest J T
12. FMC Select Fund (common) (self G Dividend Pl T
13. FMC Select Fund - self None Sold 1/4 K A (part)
14. n . self None Sold 1128 J A (part)
15. " -self None Sold 3/26 L B (part)
16. " - self None Sold 3128 L A (part}
17. "-self None Buy 4/02 J
I. Income Gain Codes: A •$1,000 or less B =$1,00 I • $2,500 C =$2,501 • $5,000 D =$5,001 • $15,000 E =SIS,001 • $50,000
(See Columns Bl and 04) F =$50,00 I • SI 00,000 G =$100,001 • Sl ,000.000 HI =$1,000.001. $5,000,000 H2 =Mo"' than $5,000,000
2. Value Codes J •$15,000 or less K =$15,001 • $50,000 L=$50,00l -SIOO,OOO M =$100,001 • $250,000
(See Columns CI and 03) N =$250,001 - $500,000 0 •$500,00 I • SI ,000,000 Pl =$1,000,001 - $5,000,000 P2 -s5,ooo,001 - s25,ooo,ooo
PJ =$25,000,001 • $50,000,000 P4 =Mo"' than $50,000,000
3. Value Method Codes Q•Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Marke<
(See Column C2) U •Book Value V =Other W =Estimated
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 5of10 Leval, Pierre N. 0511512009
VII. INVESTMENTS and TRUSTS incom•, va1 .... transactions anc1udts rhos• of spous• and depen11tn1 children; see PP. 34-60 of fwng ins1ruc1wns.J -
0 NONE (No reportable income, assets, or transactions.)
A.
Description of Assets
(including trust assets)
B. Income during
reporting period
c. Gross value at end of
reporting period
D.
Transactions during-reporting period
Place "(X)" after each asset
exempt from prior disclosure
(1) Amount Code 1 (A-H)
(2)
Type (e.g.,
div., rent,
or int)
(1) Value
Code 2
(J-P)
(2) Value
Method
Code 3
(Q-W)
(1) Type (e.g.,
buy, sell,
redemption)
(2) Date
Month -
Day
(3) Value
Code 2 (J-P)
(4) Gain
Code I
(A-H)
(S) Identity of
buyer/seller
(if private
transaction)
18. " - self None Sold
(part) . 6/30 J
19. " -self None Sold
(part) 7116 L
20. "-self None Sold
(part) 8/14 N B
21. " -self None Sold
(part) 8128 J A
22. " -self None Sold
(part) 9/08 K A
23. " -self None Sold
(part) 9129 J
24. " -self None Buy 10/02 J
25. " - self None Sold
(part) 10129 J
26. " - self None Sold
(part) 11128 J
27. " - self None Sold
(part) 12111 N
28. " -self None Sold
(part) 12119 N
29. "-self None Sold
(part) 12129 J
30. " -self None Sold
(part) 12131 K
31. " -self None Buy 12131 J
32. .. __ None Buy Ill I J
33. " None Buy 4/2 J
34. " None Buy 6/23 J
I. Income Gain Codes: A •$1,000or less B =$1,001 • $2,500 c =$2,501 - $5,000 o-s5,001 -s15,ooo E =$15,001 - $50,000
(See Columns Bl and 04) F -s50,001 - s100,ooo G =$I 00,00 I • SI ,000,000 HI •Sl,000,001 • $5,000,000 H2 -More than $5,000,000
2. Value Codes } -Sl5,000 or less K =$15,001 - $50,000 L =$50,001 -$100,000 M-SI00,001-$250,000
(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,00 I - S 1,000,000 Pl -sl,000,001 - $5,000,000 P2 •$5,000,001 -$25,000,000
Pl =$25,000,001 - $50,000,000 P4 -More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V=Other W =Estimated
FINANCIAL DISCLOSURE REPORT
Page 6 oflO
Name of.Penon Reporting
Leval, Pierre N.
Date of Report
05/15/2009
VII. INVESTMENTS and TRUSTS -1ncome, vat"e· transactions <rnct"des those of spouse and dependent children; see PP· 14-60off.ang1nsrr"c1ions.J
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets)
B. Income during
reporting period
c. Gross value at end of
reporting period
D. Transactions during reporting period
Place "(X)" after each asset exempt from prior disclosure
(1) Amount Code I (A-H)
(2) Type (e.g., div., rent,
or int.)
(I) Value
Code 2 (J-P)
(2) Value
Method Code3
(Q-W)
(I) Type(e.g., buy, sell,
redemption)
(2) Date
Month -Day
(3) Value
Code 2 (J-P)
(4) Gain
Code 1 (A-H)
(5) Identity of
buyer/seller
(if private transaction)
35 . .. None Buy 7/02 J
36 . .. None Buy 10/02 J
37. .. None Sold
(part) 12/11 M
38. " None Sold
(part) 12/19 L
39. " None Buy 12/23 J
40 . .. .•
None Sold (part)
12/31 K
41. Fed. Hm Ln Bk Cons Disc Nt 6/4/08 -•
None Sold 5/15 N D
42. Fed Hm Ln Bk Cons Disc Nts 0.0% due 2/6/08
None Sold 2/06 Pl
43. Fed Hm Ln Bk Cons Disc Nts due 4/23/08 None Buy 217 Pl
44. Fed Hm Ln Bk Cons Disc Nts due 4/23/08 None Sold 4/23 Pl D
45. Fed Hm Ln.Bk Cons Disc Nts due 10/27/08 None Buy 4/23 Pl
46. Fed Hm Ln Bk Cons Disc Nts due 10/27/08 None Sold 5/19 Pl D
47. Fed Hm Ln Bk Cons Disc Nts 0.0% due 5/30/08
48. Lincoln St. Realty (limited partnership)
None
None J w
Sold 5/19 0 c
49. Hershey (common) • c Dividend L T
50. Smith Barney Liquid Res Fund (common) (
• B Dividend K T
51. Gen. Anierican Inv. (common) (GAM). c Dividend M T
1. lnc.ome Gain Codes: A •$ 1,000 or less B •S 1,00 I - $2,500 c =$2,501 - $5,000 0 =$5,001 - $15,000 E =$15,001 - $50,000
(S .. Columns BI and 04) F •$50,00 I -SI 00,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 · H2=Mo lhan $5,000,000
2. Value Codes J •SU,000 or less K=$15,001 - $50,000 L =$50,001 -SI00,000 M=SI00,001-$250,000
(See Columns Cl and 03) N •$250,001 -$500,000 0=$500,00 I - SI ,000,000 Pl •Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000
Pl -s25,ooo,001 - sso.000.000 P4 •Mo than SS0,000,000
3. Value Method Codes Q•Appraisal R=Cost (Real Estate Only) S •Assessment T =Cash Market
(See Column C2) U •Book Value V-other W =Estimated
(2) (3)
Date of Report Name of Penon Reporting FINANCIAL DISCLO_SURE REPORT·
Page 7of10 05/1512009Leva.I. Pierre N.
VII. INVESTMENTS and TRUSTS - income, value, transactions (/ncluda those of spouse and dependent children; see PP. 34-60 off.Ong instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(I)(1) (2) (I) (2) (4) (5)
52. Chase Bank (acccount) •
53. Chase Bank account self
A Interest
None '
J
K
T
T
54. Chase - to Citibank None 1/10 J
55. Citibank account • from Chase None J T 1/10 J
56. Chase - to Fidelity None 1/10 N
57. Fidelity - from Chase None 1/10 N
58. Chase - to Fidelity None 8/27 N
59. Fidelity - from Chase None 8127 N
60. Art Works None J Q
61. Chase (Bank of NY) account & money mark et fund (estate)
None J T
62. Vanguard GNMA Fixed Income Fund (trust c Interest L T J
63. FHKCX A Dividend J T Buy 1/14 K
64. FEMKX A Dividend J T· Buy 1/14 K
65. "
A Dividend J T Sold (part)
12/12 J
66. FSMAX
67. .
A Dividend
None
K T Buy
Sold (part)
1/14
12/12
K
K
68. FLGEX A Dividend K T Buy 1/14 K
Place "(X)" after each asset Amount Type (e.g., Value Value
exempt from prior disclosure Code I div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3
(Q-W)
Type (e.g.,
buy, sell,
redemption)
Date
Month·
Day
Value Gain Identity of
Code 2 Code I buyer/seller
(J-P) (A-H) (if private
transaction)
I. Income Gain Codes: A •Sl,000 or less B=Sl,001-$2,500 C •$2,501 • SS,000 D •$5,001 • $15,000 E =SIS,001 -$50,000
(Se e C olumns BI and 04) F •$50,00 I • $I 00,000 G =$I 00,00 I -SI ,000,000 HI =Sl,000,001 • SS,000,000 H2 =Mon: than $5,000,000
2. Value Codes J=$I 5,000 or less K •SIS,001-$50,000 L=$50,001 • $100,000 M =$100,001 • $250,000
(See Columns Cl and 03) N •$250,001 • $500,000 0=$500,00 I • SI ,000,000 Pl =$1,000,001 • $5,000,000 P2 =S5.ooo,001 - s25.ooo,ooo
P3 =S25,ooo.001 -s5o.ooo,ooo P4 =Mon: than $50,000,000
3. Value Method Codes Q•Appra iaal R=Cost (Real Estate Only) S •Assessm ent T =Cash Market
(See Co lumn C2) U •Book Value V=Other W =Estimated
c.
"
FINANCIAL DISCLOSURE REPORT
Page 8of10
Name of Penon Reporting
Leval, Pierre N.
Date of Report
05/15/2009
VII. INVESTMENTS and TRUSTS - income, •at11e, transactions (lnct11des those of spouse and dependent children; see PP. 34-60 of fding instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. D. Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int) (J-P) Code3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
69. None Sold 12/12 K
(part)
70. HGOCX None K T Buy 1116 K
71. IHSAX None K T Buy 1116 K
72. HNSCX None K T Buy 1116 K
73. HIOCX A Dividend K T Buy 1116 K
74. HCACX A Dividend K T Buy 1/16 K
75. IGINCX B Dividend J T
76. TILFX None K T Buy 1115 K
77. "
None Sold 12/12 J
(part)
78. VTRIX A Dividend J T
79. "
None Buy 1115 K
80. "
None Sold 12/12 K
(part)
81. FNYXX c Interest N T Buy 8127 N
82.
83.
I. Income Gain Codes: A =$ t ,000 or less B =St,001 • $2,SOO C =$2,SOI -SS,000 D =SS,001 -SIS,000 E •SIS,001 -SS0,000
(See Columns Bl and 04) F =SS0,00 I • SI 00,000 G =$100,001 • Sl,000,000 HI =$1,000,001 • SS,000,000 H2 •More than ss.000,000
2. Value Codes J -SIS,000 or less K =SIS,001 -SS0,000 L•SS0,001-$100,000 M •SI 00,00 I • S2SO,OOO
(Sec Columns Cl and 03) N =S2S0,00 I • SS00,000 o =ssoo.oo 1 • s 1,000,000 Pl =Sl,000,001 • SS,000,000 P2 =SS,000,001 - S2S,OOO,OOO
P3 -s2s,ooo,001 - sso, 000,000 P4 =More than SS0,000,000
3. Value Method Codes Q•Appraisal R =Cost (Real Estate Only) S =Assessment T -C.Sh Market
(See Column Cl) U •Book V aluc V -other W =Estimated
FINANCIAL DISCLOSURE REPORT
Page 9of10
Nome of Penon Reporting
Leval, Pierre N.
Date of Report
05/15/2009
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReport..)
In Part VII, item no. 60, "Art Works," the date of the appraisal was Jan. 20, 2005.
FINANCIAL DISCLOSURE REPORT
Page 10of10
Name of Person Reporting
Leval, Pierre N.
Date of Report
05/15/2009
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned Income 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. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILF AND CRIMINAL 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 Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
Leval_Pierre_N 2
___ O.__""' n_ '!_ inv!! _tm_e_ inc_o_m_ e.)_
SOURCE AND TYPE
)
SOURCE
)
SOURCE DATES LOCATION PURPOSE
INCOME
ITEMS OR
3.
4.
Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 2of13 Leval, Pierre N. 05/20/2009
Ill, NON-INVESTMENT IN COME. (Reponing individual and spouu; supp. 17-24 of fding instructions.)
A. Filer's Non-Investment Income
NONE (No reportable --------------- - ____ _______ _ _____________________ _
(yours, not spouse's)
I. 117/08 University of Pennsylvania - Annen berg School (for teaching in Jordan - $2,100.00 Nov. '07)
2.
B. Spouse's Non-Investment Income - I/you were marrkd during any ponion of the reponing year, complete this section.
(Dollar amount not required except/or honoraria.)
D NONE (No reportable non-investment income.
AND TYPE
1. Jan-Dec 08 State St. Cultural Inst. Pension Plan - pension
2. Fall '08 New York University- teaching
3. Jan., '08 U.S. Institute of Museum & Library Services - arts funding panel
4. June, '08 New York City Dept. of Cultural Affairs - arts funding panel
I V. REIMBURSEMENTS - transponation, lodging, food, entenainment
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
D NONE (No reportable reimbursements.
PAID PROVIDED
I. The State Bar of California March 1 - 4, 2008 S. Monica/S Francisco CA Lectures travel/lodging/food
2. Stanford University March 5 - 9, 2008 Stanford, CA Conference travel/lodging/food
3. The University of Michigan March 27 - 28, 2008 Ann Arbor, Ml Teaching travel/lodging/food
4. Aspen Institute July 2007 Aspen, CO Teaching travel/lodging/food
5.
-------- n------SOVRGE----- ------------- DESCRIPTION-------------------------------- VALUE
CREDITOR DESCRIPTION VALUE CODE
5.
FINANCIAL DISCLOSURE REPORT
Page 3of13
Name !'r Penon Reporting
Leval, Pierre N.
Date of Report
05/20/2009
V• GIFTS. (lncluda those to spoUJe and dependenl children; see pp. 18-31 off.Ung instructions.)
[ZJ NONE (No reportable gifts.)
- - - -- --·
I.
2.
3.
4.
5.
VI. LIABILITIES. (Includes those ofspoUJe and dependent children; see pp. 31-33 of filing instructions.)
D NONE (No reportable liabilities.)
I. MONY
2.
3.
4.
Loan on life insurance policy L
>---·-----uncJudmg ffiiSI asseiS}--··---·- -- reporting penoo repomng penoo --·-----
(self"iiiiiii
FINANCIAL DISCLOSURE REPORT
Page 4of13
Name of Penon Reporting
Leval, Pierre N.
Date of Report
05/20/2009
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; SU pp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets
Place "(X)" after each asset exempt from prior disclosure
B. C. D. Income during Gross value at end of Transactions during reporting period
(I) (2) ( I) (2) (I) (2) (3) (4) (5) Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of Code I div., rent, Code2 Method buy, sell, Month· Code2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day ( J-P) ( A-H) ( if private
(Q-W) transaction)
I. Abbot Labs (common stockXself E Dividend Pl T
2. Exxon Mobil (common) D Dividend 0 T
3. Schering Plough (com) (sel D Dividend
4. " "(self) None Sold (part)
8113 N G
5. " "(self) None Sold 12/11 L F
6. ""- None Sold 12/11 L E
7. Applera ApplBiosys (ABI) formerly PE Bi osystems (common)
B Dividend M T
8. Applera· Celera Gen (CRA) (formerly PE Celera Genomics(com)
None K T
9. usx A Dividend J T
10. Daimler Chrysler (common)
11. FMC Money Mkt (self (Dreyfus)
12. FMC Select Fund (common)
A
A
G
Dividend
Interest
Dividend
J
J
Pl
T
T
T
13. FMC Select Fund - self None Sold (part)
1/4 K A
14. "-self None Sold (part)
1128 J A
15. " - self None Sold (part)
3126 L B
16. "-self None Sold (part)
3/28 L A
17. "-self None Buy 4/02 J
I. Income Gain COOcs: A •Sl,000 or less B =Sl,OOJ -S2,500 C •Sl,501 • SS,000 D •SS,001 -SJS,000 E •SIS,001 -SS0,000
(Sec Columns Bl and 04) F •SS0,00 I • SI 00,000 G =SI 00,00 I - S 1,000,000 HI =Sl,000,001 • SS,000,000 H2 =More than SS,000,000
2. Value Codes J =SIS,000 orless K =SIS,001 • SS0,000 L •SS0,00 I • SI 00,000 M =SJ00.001 • S250,000
(See Columns Cl and DJ) N =S250,00I • SS00,000 0 =SS00,001 - Sl,000,000 Pl =Sl.000,001 • SS,000,000 P2 =$5,000,001 • $25,000,000
Pl -s2s,ooo.oo 1 - sso,000,000 P4 =More than SS0,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S •Assessment T =Cash Market
(See Column Cl) U •Book Value v =Other W -=Estimated
------------{including-trust-assets)-------- --reporting-period-- -
Datt of Report Name of Penon Rtportlng FINANCIAL DISCLOSURE REPORT
Page 5of13 05/20/2009Leval, Pierre N.
VII. INVESTMENTS and TRUSTS - income, value, transactions <Includes those of spouse and dependent children; see PP. 34-IJo of filing instructwns.J
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets
- ·---
Place "(X)" after each asset exempt from prior disclosure
B. c. D. Income during Gross value at end of Transactions during reporting period
---reporting-period-- - - -·-·---------- -------· ·-···-- -----------
(I) (2) (I) (2) (I) (2) (3) (4) (5) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (l-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
18. " -self None Sold
(part) 6130 J
19. "-self None Sold
(part) 7/16 L
20. " -self None Sold
(part) 8/14 N B
21. " -self None Sold
(part) 8/28 J A
22. "-self None Sold
(part) 9/08 K A
23. "-self None Sold
(part) 9129 J
24. "-self None Buy 10102 J
25. "-self None Sold
(part) 10/29 J
26. "-self None Sold
(part) 11/28 J
27. "-self None Sold
(part) 12/11 N
28. "-self None Sold
(part) 12/19 N
29. "-self None Sold
(part) 12/29 J
30. "-self None Sold
(part) 12/31 K
31. "-self None Buy 12/31 J
32. " None Buy 1111 J
33. " None Buy 412 J
34. " None Buy 6/23 J
I. Income Gain Codes: A •Sl,000 or less B =Sl,001 • S2,SOO C •S2,SOI • SS,000 D=SS,001-SIS,OOO E=SIS,001 -SS0,000
(Sec Columns BI and 04) F =SS0,001 • SI00,000 G =SI 00,00 I • S 1,000,000 HI =Sl,000,001 • SS,000,000 H2 =More than SS,000,000
2. V aluc Codes J •SIS,000 or less K=SIS,001-SS0,000 L =SS0,001 • SI00,000 M =SI 00,00 I • S2SO,OOO
(Sec Columns Cl and 03) N =S2SO,OO I • SS00,000 0 =SS00,00 I • S 1,000,000 Pl =Sl,000,001 • SS,000,000 P2 =SS,000,001 - S2S,OOO,OOO
P3 •S25,000,00I • SS0,000,000 P4 =More than $50,000,000
3. Value Method Codes Q•Appraisal R =Cost (Real Estate Only) S =Asscssmcnl T =Cash Market
(Sec Column Cl) U •Book Value V=Othcr W=Estimatcd
, - --ri ..J -porting-period
Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 6of13 Leval, Pierre N. 05/20/2009
VII. INVESTMENTS and TRUSTS - Income, value, ;ansactions (Includes those of spouse and dependent children; se'e PP· :u o of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A.
Description of Asset s
ineluding-trusl-&ssets)
B. Income d u ring
c. Gr oss value a t end of
D.
Transactions du ring reporting period
Place "(X)" after each a sset
exempt from prior disclos ure
(I) Amou nt Code 1 (A-H)
(2) Type (e.g.,
div., rent,
or int .)
(1) Value
Code2
(J-P)
(2) Va lue
Method
Code3
(Q-W)
(I) Type (e.g.,
buy. sell,
redemption)
(2) Date
M onth -
Day
(3) Value
Code2
(J-P)
(4) Gain
Code 1 (A-H)
(5) Identity of
buyer/seller
(if private
transaction)
35 . ..
None Buy 7/02 J
36 . ..
None Buy 10/02 J
37. ..
None Sold (part)
12/11 M
38 . ..
None Sold (part)
12/19 L
39 . ..
None Buy 12123 J
40 . ..
None Sold (part)
12/31 K
41. Fed. Hm Ln Bk Cons Disc Nt 6/4/08 -•
None Sold 5/15 N D
42. Fed Hm Ln Bk Cons Disc Nts 0.0% due 2/6
/08 None Sold 2/06 Pl
43. Fed Hm Ln Bk Cons Disc Nts due 4/23/08 None Buy 2n Pl
44. Fed Hm Ln Bk Cons Disc Nts due 4/23/08 None Sold 4/23 Pl D
45. Fed Hm Ln Bk Cons Disc Nts due 10/27/08 None Buy 4/23 Pl
46. Fed Hm Ln Bk Cons Disc Nts 0.0% due 5/3
0/08 E Interest Sold 5/30 0 c
47. Lincoln St. Realty (limited partnership) None J w
48. Hershey ( common) . c Dividend L T
49. Smith Barney Liquid Res Fund (common) (
• B Dividend K T
50. Gen. American Inv. (common) (GAM). c Dividend M T
51. Chase Banlc (acccount) f A Interest J T
I. Income Gain Codes: A •Sl,000 or less B •S 1,00 I -S2,500 c =S2,501 - $5,000 o •S5,001 - Sl5,000 E =SIS ,00 I -$50.000
(See Columns BI and 04) F •$50.00 I -SI 00,000 G •SI00,001 -Sl,000,000 HI •Sl,000,001 -S5,000,000 H2 •More than $5,000,000
2. Value Codes J•Sl5,000orless K •Sl5,00I • $50,000 L -$50,00 I • $I 00,000 M •SI 00,00 I • $250,000
(See Columns Cl and 03) N •S250,00I • $500,000 O •S500,00I. $1,000,000 Pl •$1,000,001 • $5,000,000 n -s5,ooo,001 • s25,ooo.ooo
ePJ •$25,000,001 • $50,000,000 P4 •Mor than $50,000,000
3. Value Method Codes Q•Appraisal R •Cost (Real Estate Only) S •Assessment T -Cash Market
(See Column Cl) U •Book Value V-other W =Estimated
-----------{including-IDISl-assets}------- eponing.peri"" ---'ngpod-- - -(I)
l'i•me of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 7of13 Leval, Pierre N. 05/20/2009
VII. INVESTMENTS and TRUSTS - income, ...,,,,,e, transactions r1nc1ades those of spowe and dependent children; see PP. 34-60 of flung insrr11c1ions.J
0 NONE (No reportable income, assets, or transactions.)
A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period
(I) (1)(2) (2) (2) (3) (4) (5) Value Gain Identity of
Code 2 Code 1 buyer/seller (J-P) (A·H) (if private
transaction)
Place "(X)" after each asset Amount Type(e.g., Value Value exempt from prior disclosure Code I div., rent, Code 2 Method
(A-H) or int.) (J-P) Code 3 (Q-W)
Type (e.g., buy, sell,
redemption)
Date Month-
Day
52. Chase Bank account self None K T
53. Citibank account (see Part VIII) None J T
54. Art Works None J Q
55. Chase (Bank of NY) account & money mark A Interest J T et fund (estate)
56. Vanguard GNMA Fixed Income Fund (trust c Interest L T
57. FHKCX A Dividend J T Buy 1/14 K
58. FEMKX A Dividend J .T Buy 1/14 K
59. " A Dividend J T Sold 12/12 J
(part)
60. FSMAX A Dividend K T Buy 1114 K
61. " None Sold 12/12 K
(part)
62. FLGEX A Dividend K T Buy 1114 K
63. " None Sold 12/12 K
(part)
64. HGOCX None K T Buy 1/16 K
65. IHSAX None K T Buy 1116 K
66. HNSCX None K T Buy 1116 K
67. HIOCX A Dividend K T Buy 1116 K
68. HCACX A Dividend K T Buy 1/16 K
I. lrlCome Gain Codes: A =S 1,000 or Jess B •SJ,OOJ -S2,500 C =$2,501 • S5,000 D •$5,001 • $15,000 E •SJ5,00J - S50,000
(See Columns BI and 04) F =$50,001 • SJ00,000 G =SIOO,OOJ • Sl,000,000 HJ =Sl,000,001 • $5,000,000 H2 =Mon: than $5,000,000
2. Va Jue Coda J •$15,000 or Jess K •SI 5,001 • $50,000 L =S50,00 I • SI 00,000 M •$I 00,00 I • 5250,000
(See Columns CJ and 03) N •$250,001 • 5500,000 0 =$500,00J - SJ ,000,000 Pl •Sl,000,001 • $5,000,000 Pl •$5,000,001 - $25,000,000
P3 •$25,000,001 • $50, 000,000 P4 =More than $50,000,000
3. Value Method Codes Q •Appraisal R •Cost (Real Estate Only) S •Assessment T -C.Sh Market
(See Column C2) U •Book Value V=Otber W =Estimated
•eporting--=-� ....... ---:---..: .... A
Date of Report N1me of Penon_ Reporting FINANCIAL DISCLOSURE REPORT
Page 8of13 05/2012009Leval, Pierre N.
VII. INVESTMENTS and TRUSTS -income, vatue, transactions (lnctudes those of•po,,.e and dependent children; see PP. 34-60 offiling wtructwns.J
D NONE (No reportable income, assets, or transactions.)
Iden tiType (e.g.,Type (e.g.,
Description of Asset s
(inclu din .assets}
Place "(X)" after each as set exemp t from p rior discl osu re
A. B. c. D. Income during Gr os s value at end of Transaction s du ring reporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5) Amou nt Value Value Date Value Gain ty of Code I div., rent, Code2 Method buy, sell, M on th- Code2 Code I buyer/seller (A·H) or int . ) (J-P) Code3 redemp tion) Day (J-P) (A-H) (if private
(Q·W) transaction)
69. IGINCX B Dividend J T
70. TILFX None K T Buy 1/15 K
71. " None Sold
(part) 12/12 J
72. VTRIX A Dividend J T
73. " None Buy 1/15 K
74. " None Sold
(part) 12/12 K
75. FNYXX c Interest N T Buy 8127 N
76. Alabama 5.25 bond A Interest K T Buy 619 K
77. Detroit 5.5 bond B Interest L T Buy 6/4 L
78. E. Rochester 5.375 bond None L T Buy 12124 L
79. Farmington 5.7 bond A Interest K T Buy 6/18 K
80. Kentucky 6.0 bond c Interest M T Buy 614 M
81. Mahoning 5.5 bond A Interest K T Buy 6/17 K
82. NYMTA 5.25 4/1/14 bond None M T Buy 12/18 M
83. NY MTA 5.0 7/1/15 bond c Interest M T Buy 6/6 M
84. NY MTA 5.625 7/1/16 bond B Interest L T Buy 6/5 L
85. Mission Viejo 6 bond B Interest K T Buy 6/10 L
J. lllCOOle Gain Codes: A •$1,000 or less B •$1,00 I -$2,500 C •$2,501 -$5,000 D •$5,001 • $15,000 E =SI S,00 1 • $50,000
(See Colwnns BI and 04) F =$50,00 I • $100,000 G =$I 00,00 I • $ J ,000,000 HI =$1,000.001 • $5,000,000 H2 =More than $5,000,000
l. Value Codes J •$15,000 or Jess K=SJ5,00l ·S50,000 L •$50,00 I • $I 00,000 M =SJ00,001-$250,000
(See Colwnns Cl and DJ) N •$250,00 I • $500,000 0 =$500,00 I • $1,000,000 Pl •Sl,000,001 -$5,000,000 P2 •$5,000,001 -$25,000,000
P3 =$25,000,00 I • $50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q •Appraisal R •Cost (Real Estate Only) S •Assessment T =Cash Market
(See Column C2) U •Book Value V-other W •Estimated
.-.--· .: .. g-perioc:t----reporting-period-- -
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 9of13 05/20/2009Leval, Pierre N.
VII. INVESTMENTS and TRUSTS ,.... income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP. 34-60 of filing instructions.J
D NONE (No reportable income, assets, or transactions.)
A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period
------ - -:-{including trust11sse1S)--- --------------
(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month· Code 2 Code I buyer/seller (A·H) or int.) (J-P) Code 3 redemption) Day (J-P) (A·H) (if private
(Q·W) transaction)
86. Muskingum 5.4 bond B Interest K T Buy 6/18 K
87. NYS Bridge 5.125 l/l/12 bond None K T Buy 6/17 K
88. NYDorm5.1 2/15/26bond None L T Buy 12/22 K
89. NY Dorm 5.1 2/15126 bond None L T Buy 12123 K
90. NY Dorm 6.45 8/15/24 bond None M T Buy 12/19 M
91. NY Dorm 5.25 8/1125 bond c Interest M T Buy 6/2 L
92. NY Dorm 5.25 8/1/19 bond None M T Buy 12/19 M
93. NY Dorm 5.4 2/1/31 bond None L T Buy 12131 M
94. NY Dorm 5.625 8/1/22 bond None L T Buy 12/19 M
95. NY Dorm 6.25 211136 bond c Interest L T Buy 6/17 M
96. NY Dorm 5.75 8/1124 bond None M T Buy 12/24 L
97. NY Dorm 5.75 8/1124 bond None Buy 12/31 L
98. NY Dorm 6.0 8/1/35 bond c Interest L T Buy 6/17 M
99. NY Dorm 5.375 8/1/27 bond B Interest L T Buy 613 L
100. NY Dorm 5.0 bond4/1/12 None L T Buy 12/19 L
101. NYS Energy 5.5 bond B Interest L T Buy 619 L
102. NYS Envir. 5.125 bond D Interest M T Buy 619 M
I. Income Gain Codes: A -Sl,000 or less B •Sl,001-$2,SOO C •$2,SOI • $5,000 D z$5,00I • $15,000 E •$15,001 • $50,000
(See Columns BI and 04) F =$50,00 I • $I 00,000 G =SI 00,00 I • S 1,000,000 HI =$1,000,001 • $5,000,000 H2 =More than SS,000,000
2. Value Codes J=Sl5,000orless K =S IS,001 • $50,000 L=$50,00l -SI00,000 M -SI 00,00 I • $250,000
(See Columns Cl and 03) N -s2so,oo 1 • s5oo,ooo o -s500,001. s1 ,000,000 Pl =Sl,000,001 • $5,000,000 P2 •$5,000,001 • $25,000,000
PJ -s25,ooo,001 • s5o.ooo,ooo P4 =Morethan $50,000,000
3. Value Method Codes Q-Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U •Book Value V=Other W •Estimated
-------·- ·(including t-assets}------ ·
N•me of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 10of13 Leval, Pierre N. 05/20/2009
VII. INVESTMENTS and TRUSTS - income, value, transacdons r1nc1w1es those of spouse and dependent children; see PP· 34..fio of filing instructwns.J
0 NONE (No reportable income, assets, or transactions.)
D.A. Description of Assets
-·---
Place"(X)" after each asset exempt from prior disclosure
B. Income during
· ··-repGrting-periOO--. -
c. Gross value at end of
----reporting.period--Transactions during reporting period
------------------------------- --- ---·-·--------- -(I)
Amount CodeI (A-H)
(2) Type (e.g.,
div., rent,
)or in
(I) Value
Code2 (J-P)
(2) Value
Method Code3 (Q-W)
(I) Type(e.g., buy, sell,
redemption)
(2) Date
Month-Day
(3) Value
Code2 (J-P)
(4) Gain
CodeI (A-H) .
(5) Identity of
buyer/seller ( if private transaction)
t
103. NYS Urban 5.5 bond A Interest K T Buy 7/3 K
104. Norfolk 5.75 bond B Interest L T Buy 6/3 L
105. NC Med 5.5 bond B Interest L T Buy 616 L
106. NC East Mun 5.5 bond B Interest K T Buy 6/4 L
107. Peninsula 8.7 bond B Interest K T Buy 6/2 . K
108. RI Dep 6.0 bond B Interest L . T Buy 6/18 L
109. RIS Health 5.5 bond B Interest K T Buy 6/3 L
110. Sacramento 5.0 bond B Interest L T Buy 6111 L
111. St. Paul 5.5 bond B Interest L T Buy 616 L
112. Sl Paul 5.5 bond A Interest K T Buy 8/12 K
113. Triborough 5.25 1/1/13 bond None L T Buy t2/19 L
114. T riborough 5.25 1/1/14 bond c Interest M T Buy 619 M
115. NY MTA 5.25 4/1/14 bond -- None L T Buy 12/18 L
116. Muskingum 5.35 bond - - A Interest K T Buy 6/3 K
117. NYC Mun 5.75 bond-- A Interest K T Buy 6/4 K
118. NY Donn 5.1 2/15/26 bond-- None K T Buy 12123 K
119. NY Donn 6.45 8/15124 bond-- None L T Buy 12119 L
I. Income Gain Codes: A •SI ,000 or less B =SI ,00 I • $2,500 c •$2,501 -$5,000 D =$5,001 -$15,000 E-515,001 • $50,000
(Sec Columns BI and 04) F =$50,00 I • SI 00,000 G =$I 00,00 I - S 1.000,000 HI =Sl,000,001 • $5,000,000 HZ =More than $5,000,000
2. Value Codes J =SI 5,000 or less K=Sl5,00l • S50,000 L •$50,00 I - SI 00,000 M =$100,001 - $250,000
(Sec Columns Cl and 03) N =$250,001 - $500,000 0 =S500.00l -Sl,000,000 Pl •$1,000,001 • $5,000,000 P2 =$5,000,001 - $25,000,000
Pl =$25,000,001 • $50,000,000 P4 =More than SS0,000,000
). Value Method Codes Q •Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(Sec Column C2) U •Book Value V =Other W •Estimated
f--t'eporting-peri<>d-- reporting f--·
Nome of Penon _Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 11 of13 Leval, Pierre N. 05120/2009
VII. INVESTMENTS and TRUSTS - income, va11u, transactions <1nc1udu those of spouse and depmaen1 children; see PP. 34-60 of fwng ins&.uctions.J
0 NONE (No reportable income, assets, or transactions.)
A.
Description of Assets
---------·(including-tnlSlasscts} -
Place "(X)" after each asset
exempt from prior disclosure
B. C. D.
Income during Gross value at end of Transactions during reporting period
period-. ------- ---------------- ---------
(I) (2) (I) (2) (I) (2) (3) (4) (5) Amount Type(e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or inl) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transaction)
120. NY Donn 5.25 8/1/25 bond-- B Interest K T Buy 612 L
121. NY Donn 5.375 8/1127 bond._. B Interest K T Buy 6/3 L
122. NY Donn 5.0 2/1/12 bond -- None K T Buy 12119 K
123. Norfolk 5.75 bond -- B Interest L T Buy 6/3 L
124. RI Health5.5 bond-_. B Interest K T Buy 6/3 L
125. NY MTA 5.5 7/1/12 bond c Interest Buy 619 M
126. NY MTA 5.5 7/1/12 bond None Sold 8113 M
127. FedHmLnBkl0/27/08 c Interest Sold 619 0 ? when bought ? (part)
128. Fed Hm Ln Bk 10127/08 c Interest Sold 6/17 N ?
129. NY HSG Fin 5.875 None Buy 6/17 M
130. NY HSG Fin 5.875 None Sold 8/13 M A
131. NY Donn 6.25 211/36 None Sold 8/1 J (part)
132. Kentucky 6.0 None Sold JO/I J (part)
133. NY Urban 5.5 None Sold Jl/24 J (part)
I. Income Gain Codes: A •S 1,000 or less B •Sl,001 -$2,500 C •$2,SOI -$5,000 D=S5,00J -S15,000 E •Sl5,00I-$50,000
(See Columns BI and 04) F •$50,001 - SJ00,000 G =SI00,001-Sl,000,000 HI =Sl,000,001 • $5,000,000 H2 •More than $5,000,000
2. Value Codes J •$15,000 or less K =S IS,001 -$50,000 L =$50,001 -SJ00,000 M =SI 00,00 I • $250,000
(See Columns Cl and 03) N •$250,00 I -$500,000 0 •$500,001-Sl,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000
P3 •$25,000,00t 550,000,000 P4 •Mono than SS0,000,000 •
3. Value Method Codes Q •Appraisal R •Cost (Real Estate Only) S •Ass essment T =Cash Market
(See Column Cl) U •Book Value V-other W •Estimated
--- --
------
--"·--·----
Page 12 of13
FINANCIAL DISGLOSURE REPORT Name of Person Reporting
Leval, Pierre N.
Date of Report
05/20/2009
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndkateparto/Reporl.)
--------
In Part VII, item no. 54, "Art Works," the date of the appraisal was Jan. 20 2005.ln Part VII, line 53, the funds in Citibank were transferred from Chase Bank.
---- - ---- - ------- ----------- --- - - --
further certifflliat earned lrom outmleem)>Joymennmd l>llllrarl1nnnl-ttre-acceptam:e-of whlc have-been-reported-11re-in
Date of Report Nome of Penon Reporting FINANCIAL DISCLOSURE REPORT
Page 13of13 05/20/2009Leval, Pierre N.
IX. CERTIFICATION.
I certify that all Information given above (including Information pertaining to my spouse and minor or dependent children, if any) Is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I mcome compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL 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 Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544