Norma L Shapiro Financial Disclosure Report for 2010

8/3/2019 Norma L Shapiro Financial Disclosure Report for 2010

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AO IORev . 1 /2011

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app..~.~ 101-111)

I . P e r s o n Reporting (last name, first , middle init ial)S h ap i r o , N or ma L .

4 . T i t l e ( A r t i c l e I I I ju d g e s indicate active o r s e n i o r status;magistrate judges indicate full- or part-time)

2. Court or OrganizationEDPA, Phi lade lphia

5a . Report Type (check appropria te q , pe )] N o m i n a t i o n , D a t eSenior Judge

7. Chambcr~ or Of f i ce A d d r e s sU.S. C our th ous e601 M arke t S t ree tPhiladelphia, PA 19106

[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained In this Report and any

modifications pertaining thereto, it i~, in my opinion, in compliancew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Revie~ ing Off i cer Date

3. Date of Report05/13 /201

6. Repor t ing P e r i o d01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instruct ions accom panying th is form must be fo l lowea Complete ali parts,checking the NONE box for each pa rt where you have no reportable informa tion. Sign on last pag~

I. P O S I T I O N S . ~ R e p o r a , g i n a l v i ~ . a l o , t ~ : s e , p , . 9 - 1 3 of filing instructions.)D (No reportable positions.)O N E

P O S I T I O N1 . Life Trustee2. Mem ber , Commit tee on Wom en in the Pr o fess ion ( WI P)3. Chai r , Leader ship Developmen t & R ec r u i tmen t Comm it tee

4. Mem ber , Sandra Day OConnor Awar d Comm it tee5. Chair , Board of Director6. Chai r , S tand ing Comm it tee on Feder a l Cour t I mpr ovem en ts7. Mem ber , 2010 John Mamhal l Awar d Selec tion Comm it tee8. Representat ive, Appellate Judges Educat ion Ins t i tute, Board of Directors9. Execu t r ix

NAME OF ORGANIZATION/ENTITYJewish Publication SocietyPennsylvania Bar AssociationPennsylvania Bar Association

Philadelphia Bar AssociationViole t te De M az ia F ounda t ionAmer ican Bar Assoc ia t ionAmer ican Bar Assoc ia t ionAmer ican Bar Assoc ia t ionEstate~[~l~ (See Part VIII)

I I . A G R E E M E N T S . t ,~ e ~ , o, a ng ind iv idual on ly; see pp . 14-16 o f f i l ing instruct ions. )~ NONE (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r so n R e p o r t i n gShapiro , Norm a L.

D a t e o f R e p o r t05/13/2011


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FINANCIAL DISCLOSURE REPORTPage 3 of 8 Ia m e o f P e r s o n R e p o r t i n gShapiro, Norma L . D a t e o f R e p o r t0.5/13/2011

1 1 1 . N O N - I N V E S T M E N T I N C O M E . rRepor , i .g i .divUuala,dspouse; seepr , 17 -24 o f~l ingi .s~,uc, lo.~)A. Filers Non-Investment Income

2.3.4.

N O N E (No repor tab le non- inves tment income . )D A T E SOURCE AND TYPE INCOME( y o u r s , n o t s p o u 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 married during any portion of the reporting year, complete this section~(Dol lar 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 - t r a n s p o r t a ti o n , l o d g i n g , f o o d , entertainment.( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n : s e e p p . 2 5 - 2 7 o f f il i n g i n s t r u c t io n s . )

D (No reportable reimbursements.)ONES O U R C E DAT ES LO C AT IO N PURPOSE ITEM S PAID OR PROV IDED

1 . AB A 8 /6 /2 01 0- 8/7 /2 01 0 S an Fr an cis co , C A Appe l l a t e J udges Educa t ion Tr anspor ta t ion , Food & Lodg ingInstitute2. AB A 1 0/2 0/2 01 0- 10 /2 1/2 01 {) W a sh in gto n, D .C . C o mm is sio n o n A m er ic an T ra ns po rta tio n, F oo d & L od gin gJury Project3. AB A 11 /13 /2010-11 /14/2011) Philadelphia , PA Sta nd in g C om m ittee T ranspor ta tion , Food & Lodg ingon Feder a l Jud ic ia lImprov em ent s - F a llMee t ing4. AB A I 1 /18/20 10-11 /2 1/201 13 Dalla s, T X Ap p ella te Ju d ges Edu c atio n Tr anspor ta t ion , Food & Lodg ingIns t it u t e Summ i t5.


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Name of Pe r~an R eport ingS h a p i r o , N o r m a L .

Date of Report05/13/201 I

V . G I F T S . a n c lu d ~ , h o s e to s p o ~ e a n d d e p e n d e n t children; see p l x 2 8 - 3 1 of filing instruction~)N O N E ( N o reportab le gifts.)

SO U RC E DESC R IPT IO N1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l u d , s t h o s e o / s p o u s e a , d dependent children; see p p . 3 2 - 3 3 of filing in~tructlons.)N O N E (]go rep ortable liabilities.)

CREDITOR DE S CRI PTI ON1 .2.3.

4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r l i n gShapiro, Norma L.

D a t e o f R e p o r t05/13 /201 I

V l l . I N V E S T M E N T S a n d T R U S T S - i ....... . a t . e . tr ....tions (Included,host of sp ...... d dependent children; see plt 34-60 of )qllng instructlon&)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e ts I n c o m e d u r in 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

(i ) ( 2 )P l a c e " ( X ) " a f te r e a c h a s s e t ; A m o u n t T y pe (e .g . ,e x e m p t f ro m p r i o r d i sc l o s u r e C o d e I d i v . , r e n t ,i (A-H) o r i n t . )

G r o s s v a lu e a t e n do f r e p o r t i n g p e r i o d(i) ( 2 )V alue V alue

C o d e 2 M e th o d( J - P ) C o d e 3(Q-w)

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(I ) (2) (3) (4) ( 5 )T y p e ( e .g . , D a t e Value G a i n I d e n t i t y o f

b u y , s e l l , m m / d d ~ / y C o d e 2 C o d e I b u y e r / s e l l e r~demption) ( J -P) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

1 . Mel lon Bank ( Checking Acc t ) None2. F i rs tru s t Bank (C h eck ing) A Interest3. F i rs tru s t Bank (Sav ings ) A Interest4. St i fe l Nico laus Gener a l M oney A Div idend5. Sta te o f I s r ae l Sav ings Bond A Interest6. V v F i n a n c e None7. Calamus Global Dynamic None8. Oppenh e imer PA Munic ipa l Bond B Div idend9. Advisors Disciplined TR~ A Div idend

1 0 . Firstrust~ A Dividend1 I . Firstmst~[[[~ B Dividend1 2 . V angu ard Life Stra tegy M ud . G rowth-IR A None1 3 . Vanguar d STAR Fund- I RA None1 4 . V a n g u a r d G N M A F u n d A d m i r al B Div idend1 5 . Renta lPr oper ty , H al landale , FL None1 6 . U n i t I n v e s t m e n t T r u s t F i r s t T r u s t [ j ~ [[ ~ B Dividend1 7 . Unit Investment Trust First Trust~ A Div idend

JJKJJJ

M

MM

KK

T Not now interes tbea t ingT

TTTT

So ld 01 /10 /10 K AT

So ld 08/25 /10 K ASo ld 08/25 /10 J ASold 10/10/10 K B

T

T Sold(part)T R e d e e m e d 0 2 / 0 1 / I 0 K A

So ld 05 /17 /10 M F E mil io Auto r eT Bu y 01 /12 /10 KT Bu y 08/25/10 K

I. Income Gain Codes: A = $1.000 or bess B = $ 1 ,001 - $ 2 .5 00 C = $ 2 .5 01 - $ 5 .000 D =$5 . 001 - $15 . 000(S ee Co lu mn s B I an d D4) F = $5 0.0~1 - $100 .000 G =$ 100 ,00 l - $1 .000 .090 I I I =$1 .0~.001 - $5 .0~0 .000 112 =More than $5.000.000

2 . V a l u e C o d c s J = $ 1 5 . 0 0 0 o r l e s s K = $ I 5 . 0 0 1 - $ 5 0 . 0 0 ~ L =$ 5 0 . 0 0 1 - $ I ( ~ . 0 ( ~ M = $ I0 0 . 0 01 - $ 2 5 0 . 0 0 0(S c Co lu mn s CI an d D3) N = $ 2 5 0 . 0 0 1 - $ 5 0 ~ 1 . 0 0 0 O =$500.001 - $1.009.00~ P I =$ 1 ,0 00 .0 01 - $ 5 ,0 00 ,0 00 P 2 =$ 5 .0 ~0 ,0 01 - $ 25 ,0 00 .0 00

P3 =$25.000.001 - $50.000.000 P4 =More than $50.000.0003 . V alue Melhod C odes Q =Appraisal R =Cost (Real Estate Only) S = A s s c s s n ~ t T . =C as h Mar k et(S ee Co lu mn C2 ) U = B o o k Va lu e V = O lho" W = Estim ated

E = $ 1 5 . 0 9 1 - $ 5 0 , 0 0 0


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N a m e o f P e r s o n R e p o r t in gShapiro, Norma L.

D a t e o f R e p o r t05/13/2011

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 , . e , .a l u e , , , .. . . , i o , ~ (Includes those of spouse and dependent children; see p t x 3 4 - 6 0 o f f i l i n g i n s t r u c t l o n s . )N O N E (No reportable income, assets, or transactions.)

De s cr ipt i on of As s e t s 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( inc l uding t r us t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m p r i o r d i s c lo s u r 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 dre por t i ng pe r iod of repor t ing pe r iod

(I) (2 ) (I) (2) (1 ) (2) (3) (4) (5 )A m o u n t T y p e ( e .g . , V a lu e V a lu e T y p e ( e .g . , Dat e V a l u e Ga in I d e n t i t y ofC o d e I d iv ., r e n t , C o d e 2 M e tho d b u y , s e l l, mm/dd~ C o d e 2 C o d e I buye r / s e l l e r( A - H ) or i nt . ) (J -P ) C o d e 3 red e m p tio n ) ( J - P ) ( A - H ) ( i f p r iva te( Q - W ) a a n s a c t i o n )

1 8 . Unit Trust First Trust I A Div idend J19. Unit Trust First Trust I A Dividend K

TT

B uy 08/25/10 JB uy 10/08/10 K

I. Income Gain Codes: A = $ 1,000 or less B = $ 1 ,001 - $ 2 .5 00 C = $ 2 ,50 1 - $ 5 ,0 0 0 D =$5.0OI . $15.000(S c Co lu mn s B I an d D4) F =$50,001 - $ I 0~.000 O = $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 , 00 0 I 11 =$1.000.001 - $5.000.000 1 1 2 = M o r e th a n $ 5 . 0 0 ~ . 0 O O

2. V alu e C odes J = $ 15.000 or less K =$ 15 ,0OI - $5 0 . 000 L = $ 50 ,0O I - $ 100,000 M =$ 100 ,001 - $250 .000(Sc Co lu mn s CI an d D3) N = $ 25 0.001 - $5 00 .000 O =$ 5 00.001 - 5 1.000 .000 Pl = 51.000 .001 - 5 5 .000 .000 P2 =$5.000.001 -

P3 =525.000.001 - 550.0~0.000 P4 = M o re th an $ 50 . 0 ~ . 0 0 03. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Asscssm,-m! T = Cash M arkc l(S ee Co lu mn C2 ) U = B o o k Va lu e V = Olh e r W =Eslimated

E =$15,001 - $50.0~O


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N a m e o f P e r s o n R e p o r t in gS h a p i r o , N o r m a L .

Date of R e p o r t05 /13/201 I

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS.Additional Information - Par t 1 - Posit ionsNum ber s I , 2 , 4 and 6 . T hese ar e non -p r o f i t o r gan iza t ions . I have no con t r o l over the expend i tu r es o f these o r gan iza t ions , a lthough wi th ef f o r t I cou ld ascer ta intheir assets.Num ber 5 i s a 501 ( c ) ( 3 ) char i t ab le o r gan iza t ion . I do vo te on the expen d i tu r e o f f unds together wi th the o ther f our Di r ec to r s . I r ece ive no compensat ion . The to ta las se t s o f th is o r gan iza t ion a t the end o f 2010 was the amoun t o f appr oximate ly $9 ,000 ,000 .~"~~ 7 : H i s W i l l n a m e s m e t h e E x e c u t r i x a n d s o l e b e n e f i c i a r y o f h i s e st a t e .H i s a s s e t s , li s te d u n d e r S e c t i o n V I I , b e c a m e a s s e t s o f t b e E s t a te ~ i n 2 0 0 8 , t h e y w e r e t ra n s f e r re d t o a T a x E x e m p t M a r i ta l T r u s t a n d r o l le d o v e ri n t o m y V a n g u a r d I R A . A l l a s s e t s l is t e d i n S e c t i o n V I I w h i c h w e r e i n h i s n a m e p r i o r t o h i s d e a t h w e r e i n t h e E s t a t e ~ a t y e a r e n d a n d t r a n s f e r r e dt o t h e T a x E x e m p t ~ T r u s t in 2 0 0 8 . B a n k a c c o u n t s t h a t we r e p r e v i o u s l y ~ a c c o u n t s a r e n o w ti t le d i n m y n a m e o n l y .Part VII Investments and Trusts .#7 . VvFinance . M y s tockbr oker c a n g ive me no in f o r mat ion abou t th i s f o r mer ho ld ing o r even whether i t ex i s t s . I r ece ive no incom e f r om i t . I know no th ingabout this except the amount invested was minimal and i t is probably worthless.1


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FINANCIAL DISCLOSURE REPORTP a g e 8 o f 8Name of Person Reporting

S h a p i r o , N o r m a L .D a t e o f R e p o r t

05/13/2011

IX. CERTIFICATION.I c e r t if y t h a t a l l i n fo 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 , t ru 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 w a s w it 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 ta t u t o r yp r o v i s i o n s p e r m i t ti 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 ti f y t h 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 y m 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 w h ic h h a v e b e e n r e p o r t e d a r e i ncom pl ia nce wi th the p rov i s ions o f 5 U . S . C . a pp . 5 01 e t . s e q , 5 U . S . C . 735 3 , a nd J u d ic i a l Confe re n ce re gu la t ions .

Signature: S/Nor ma L. Shapiro

N O T E : A N Y I N D I V ID 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 L 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 I LA 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 . 1 0 4 )

C o m m i t t e e o n F i n a n c i a l D i s c lo s u r eAdm ini s tr a t i ve Of f i ce of the Uni t ed S ta t es Cou r t sSu i t e 2-301O n e C o l u m bu s C i r c le , N . E.Washing ton , D.C. 20544

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Norma L Shapiro Financial Disclosure Report for 2010

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