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Salvador E Casellas Financial Disclosure Report for 2009

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  • 8/3/2019 Salvador E Casellas Financial Disclosure Report for 2009

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    . ~ o 1 o I FINANCIAL DISCLOSURE REPOR T R e m , t R e q u i r e d b y th e E t h i c sI in Governmenl Act of 1978Roy. 1/2010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. .~ 101-110I I. P e r s o n R e p o r t i n g 0 a s t n a m e , f i r st , m i d d l e i n i t i a l ) 2. Cour t or Organizat ion 3 . D a t e o f R e p o r t

    C A S E L L A S , S A L V A D O R E . U, S . D , C . P u er t o Ri co 04/30/204 . T i t l e ( A r ~ l ~ [ ] j u d g e s i n d i c a t e a c t i v e o r s e n i o c s t a t u s ; " ~ . R e p o r t T y p e { c h e c k a p I ~ r o r r d a te t y p e } -~iReporting Period

    m a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e ) [ ] N o m i n a t i o n , D a t e 0 1 1 0 1 / 2 0 0 9U.S. SEN~OR DISTRICT JUDGE [] Init ial 12/31 /20095 b . [] A m e n d e d R e p o r t

    7 . C hambers o r o ffice Ad d ress g . O n th e basis o r the In fu rmatl:n con tained in th~ Rep ort and saymodifications pert~lning thereto) It Is, In my opinion, in complianceU . S. C O U R ~ T H O U S E with appl icable laws a nd regalat loas.300 RE C I N I O S UR - S UI TE 342S A N JUA N. P UE RTO RI C O 00 901 Reviewing Off icer D a t e

    I M P O R T A N T N O T E S : The instructions accompanying this form must be followeg Complete ali parts,C heck ing the N ON E box for each par t w here you have no reportable i n form at to~ Sign on las t pagc .

    I . P O S I T IO N S . ~ e v o r t i ,, g ~ , ~ i a ~ t o ~ t > , ; * e e w . ~ - t s o ~ I ~ t ~ , t . .t , ~ o . . l[-"] NONE (No reportable positions.)

    POSITION N A M E O F O R G A N I ZA T I O N / E NT I T Y1 . D I R E C T O R A NG E L RA M O S F O UND A TI O N ( NO N- P RO F I T I NSTI TUTI O N )

    I I . A G R E E M E N T S . (Reporting lmdivldual only; $eapp. ]4-16 of flllng lnstructlon&)~ NONE (No reportable a~eemen~.)

    P A R T I E S A N D T E R M S

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    [Namef Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORTI CASELLAS, SALVADOR E.

    Page 2 of 8 o 4 ~ 3 o / 2 o i o

    IIl. NON-INVESTM ENT INCOME. ~,om.~A. Fliers Non-Inve s tme nt Inc ome

    NONE (No rep or ta b le non- inves tm en t i ncom e . )

    I.2.3.4.

    B . S p o u s e s N o n - In v e s tm e n t I n c o m e - If you were ~rded d~g any ~ion of the repo~ng year, complete 1~ sectio~(Dollar amount no t requ ired ~cept for honorar ia .)

    N O H E (No reportable non-investment income.)SO~CE AND TYPE

    I.

    2.

    3.

    4.

    IV. REIM BURSEMENTS -~,o~,pon ,ao,~(Includ~ those ~o spousz ond dependent children; see pp. 25-27 of filing instructlcms.)

    NONE (No reportable reimbursements.)SOURCE ~ LOCATION PURPOSE ITEM S PAID OR PROV IDED

    1.

    2.3.4.5.

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    FINANCIAL DISCLOSURE REPORT N .... fPcrsolt Report ing DateofReportPage 3 of 8 j CASELLAS, S A L V A D O R E . 0 4 / 3 0 / 2 0 1 0

    V. GIFTS. ( I n c l ~ t d e s , h o $ , 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 c n ~ $ e e l ~ p . 2 8 - 3 1 o f f l l ln g l n s , r ~ t c t l o n g )N O N E (No reportable gifts.)

    I.2.3.4.5.

    V L L I A B I L I T I E S . ( l n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t c h l l d r e n ; $ e e p p . 32-3J of flllng lnstructlon~)[~] NONE (/go repo rtable l iabil i ties.)

    CREDITOR DESCRIPTION1, UBS MARG IN LOAN PI2.3.4.

    5.

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    FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t i n gP a g e 4 o f 8 C A S E L L A S ~ S A L V A D O R E .[

    0 4 / 3 0 / 20 1 0

    VII . INVES T MENT S an d T RU S T S - ~, ...... I,o., ..... r ~ , ~ a n a . a , ~ , ~ o ~ o o I ~ pN O N E (N o rep or ta b le i ncom e, a sse t s, o r t ra nsa c t ions . )

    A. B. C. I D.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 G ro s s va lu e a t en 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 d( i n c l u d i n g t r u s t a s s e t s ) ~or t i ng p e r i od o f r e p o r t i n g p e r i o dP l a c e " ( X ) " a f t e r e a c h a s s e t Antount ] Type (e.g., Value Value T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fexemptf iompdordisclosure C od e 1 ] d i v . , r e n ~ , C o d e 2 M e t h o d buy, sell, m m / d d ! y y C o d e 2 C o de I ] buyer!seller

    ( Q - W ) t r a n s a c t i o n )

    1. Ac c ount a t Banc o S an t and e r A Interest K T2. Account at Popular Secur i t ies, Inc, A Interest J T3. Ac c 0 unl a t Banc o P op ul a r A Interest J T4. Ta x F ree F u n d - UB S A Interest K T"~ . Tax Exempt Fund a t Santander Securi t ies A Interest J T6. IRA- Universa! L i fe Insu rance Co . C Interest M T7. Cash Value Insurance Policies Met Life & D Interest N TEquitable8. Internat ional Hosp i tal i ty S.E. No n e J W9. Anna i t y U ni v e r sa l L i f e Ins . C o . D Interest N T

    1 0 . GN MA Se r ia l Bond s C Interest K T1 I. C M O Le h man B Interest J T1 2 , P . Ri G o vem men t & A g en cy B o n ds G Interest P2 T B u y 0 i 1 0 2 1 0 9 PI Santande r Se c ur i t ie s1 3 . B u y 01/30/09 M Santand e r Se c ur i t ie s1 4 . " B u y 01/08/09 PI U B S1 5 . B u y 0 2 / 0 6 1 0 9 K Santande r Se c ur i t ie s1 6 . B u y 03/02/09 L Santand e r Se c ur i t ie s1 7 . B u y 06/29/09 N U B S

    1 . ln o o m G a i n C o d e s : A = $ 1 . 0 0 0 o ~ l e s s 1 ] ~ $ 1.001. $2 ,500 C = $ 2 ,501 - $5.000 D ~ 1 5 , 0 0 1 - $ 1 5 .0 ~ 0 E -$15,001 - $50,000(See Columns BI and D4) F = $ 50,001 - $ 1 00 ,f~ 0 G ~ $1 00 ,00l - $1 .000 ,~ 30 H I = $ 1 ,0 00 .0 O l - $ 5 . 0 00 ,0 ~ 0 I L 2 = M o r e th an2 . V a l v e C o d e s J = $ I 5 , 0 ~ O o r l e s s g ~$15,001 - $50,000 L = $ 5 0 , 0 0 1 - $ 1 D 0 , O 0 ~ M = $ 1 0 0 , 1 9 0 1 . $ 2 5 0 ,0 0 0(See Columns CI and 133) N = $2 5 0 , 0 0 1 - $ 50 0 , 0 0 0 O - $ 5 0 0 . 0 0 1 - $ 1 , 0 0 0 ,1 ~ 3 0 P l - ~ 1, 0 O O , 0 01 . $ 5. 0 00 ,0 00 P 2 - $ 5 , ~ 0 D ,0 0 1 -P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 , 0 0 0 , 0 0 0 P4 -More than $ 50,000,0003. Value Method Codes Q = A p p r a l s al R...Cost (Real Eslat Only) S -Assessmen t T "C ash Mankct(See Column (22) U = B ook Value V . < ) t he r W ~ Esl i r r~ ed

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    FINANCIAL DISCLOSURE REPORT N a m e o r V e r , o uPage 5 of 8 C A S E L L A S , S A L W , D O R E " I 0 4 / 3 0 t ~ 0 1 0 I

    ~I. ~ES~NTS and TRUSTS - ~o~ ~,~,,,~,~o~N O N E ( No rep o r ta b le incom e, ~ se~ , or t ra nsa c t ionsO

    A. B. C. D.De.priori of Ass~ ~come d~ng G r o ~ v a l u e a t e n d T~ns~tions during re~ng ~fiod(~cluding ~st ~se~) r e p o s i n g p e r i o d of r~ning period

    (0 [ (2) (0P~ "~)" a~r e~h ~ct Amour [ T~ (e.g., Value Value T~e (e.g.) Da~ ~ Value G~ I d c n f i ~ y o f

    ~o r i n t . ) ~S-P) , Co~3 r~ption,

    [ (J-P) ~(ifpfivat~ I r an sacf io n )

    1 8 . Bu y ~/06/09 M Sanlander Secur i~es1 9 . B u y 06/02/09 N S a n t a n de r S ecu r i t ie s20 . B u y 1 0 / 2 1 1 0 9 K Santande r Se c ur i t ie s21 . AFIeA Bonds (P.R. Financia l Authori ty) D Interest M T B u y 0 3 / 3 I 1 0 9 L I santander Securi t ies2 2 . Re de e m e d [ 0 6 / 2 2 / 0 9 K U B S2 3 , Re de e m e d 0 7 1 0 1 1 0 9 J U B S2 4 . Univ. ofP.R. Bonds C Interest L T Buy 0 3 / 0 2 1 0 9 L Santandcr2 5. P.R. E m p l o y e e s Assc. Notes A Interest J

    2 6 . First Bank P.R. Notes (Step up) D Interest M Ti27.

    P.R. Public,Bldg. Authority D Interest M T2 8. P.IL Public Finance Co. Bonds E Interest N T Buy 0 3 1 0 2 / 0 9 L Santander Securities

    2 9 . Sold 0 6 / 0 2 / 0 9 L Santander Securities3 0 . P.R. Highway Bonds C Interest N T Buy 0 2 f 1 7 1 0 9 M Santander Securities3 I. Sold 0 6 / 0 2 / 0 9 L Santander Securities3 2 . First P. R. Target Notes E Interest Redeemed 0 1 t 0 2 / 0 9 PI Santander Securities

    3 3 . Re de e m e d 02/02/09 N Santande r Se c ur i t ie s3 4 . So l d 02/20/09 M Santande r Se c ur i t ie s

    1 . I n c o m e G a i n C _ . ~ d e s : A =$1,000 or less B - - $ 1 . 0 0 1 - $ 2 , 5 0 0 C =$2 ,501 - $5,000 D ~ $ 5 , 0 0 1 - $ I $ ,0 9 0 E =$1 5,001 - $50,000( S e e C o l u m n s B 1 a n d D 4 ) F -$50.001 - $100,000 G = $ ! 0 0 , ~ O 1 - $ 1 , 0 0 0 , 1 ~ 0 0 I I 1 -$ 1 , 0 0 0 , 0 0 1 $ 5 , 0 0 0 , 0 0 0 tt2 =More than $5,000,0002. Value Codes J =$15,000 ot less K ~ $ I L O G 1 - $ 5 . 0 ,0 0 0 L ~ $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 M =$100,001 - $250,000( Sc C o lumns C t and D3) N -$ 250.001 - $ 500 ,000 O =$500 .001 . $ 1.000 .000 P I - - $ 1 , 0 0 0 , 0 0 1 - $ 5 . 0 0 0 . 0 0 ( } P 2 - $ ~ 1 . 0 0 0 . 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0P 3 ~ - $ 2 5 , 0 0 0 , 0 0 1 . $ 5 0 , 0 0 0 , 0 0 0 P 4 = M o r e t h a n $ 5 0 , 0 0 0 .0 0 0L Vslu Method C odel Q -Ap p ra isa l R -Cost (Real EstatOMy) S =Assessment T ~ . a s h M a r k l( S e e C o l t m a n C 2 ) U -B ook Value V = O th er W =Estimated

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    FINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n Repor t ing Date efRtper tP a g e 6 o f 8 C A S E L L A S , S A L V A D O R E . 0 4 / 3 0 / 20 1 0V I I. I N V E S T M E N T S a n d T R U S T S - ~om ,, ~al.e, t,a~,*aion s anctud,~ ,h . . . . ~ ~ .. . . .. ~ ~ ~ ~ r r . ~ - , o o y ~ ~ , ~ a t o ~ . ~

    NONE ~o r e p o r t a b l e i n c o ~ n e , a s s e ~ , o r t r a n s a c t io ~ . )A. B. C, D.

    D e ~ d p t l o n o f A s s e s I n c o m e d u r i n g Gro ss va lu e a t en d Transacho~ during ~ning period(including ~t ~sc~) r~ing p~ ofr~oaing period

    (I) (2) (I) (2) (1) ~ (3) I-~ r (~)Place "~)" afl~ each asset Am~nt J T~e (e.g., V a lu e V a lu e T~e (e.g., Da~ Value~ Gain~ ld~tity ofCode ] ~ did ~nL m~d~ ~de2 [~e 1 ~ b u y ~ / s e l l e rxempt ~m prior di~lo~ C~e 2 Meth o d bu y , sell,

    (Q-~ t m n s a c f i o n )

    3 5. Redeemed 03/0~09 N Santandcr Securities

    36. S o l d 0 3 / 3 1 / 0 9 M Santander Securities

    3 7 . Redeemed 0 4 / 0 1 / 0 9 M I Santander Securities

    3 8. Redeemed 0 5 / 0 1 / 0 9 J Santander Securities

    3 9 . Shares ofPopula r , lne . B D i v i d e n d L T B u y !02 /25 /09 K Popular Securit ies40 .41.

    42.

    43 .

    45 .

    46 .

    47 .

    48 .

    50.

    I1. I n co m e G ain C o des : A ~ $ 1 ,0 0 0 o r l es s B = $ 1 , 0 0 1 - $ 2 , ~ 0 0 C ~ $ 2 , 3 0 1 - $ 3 , 0 0 0 D ~ $ 5 , 0 0 1 - $ 1 5 , 0 0 0 E =$ [ 5,00 t - $50,000(S e C o l u m n s B I an d D 4 ) F - $ 5 0 . 0 0 t . $ 1 0 0 . 0 0 0 G = $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0 H [ "$1,000,001 - $ 5,0 00 .1 )0 0 H 2 = Mo re th an2 . V a l tm C o des J = $ 1 5.0 0 0 o t le s s K = $ 1 5.0 0 1 - $ 50 .0 0 0 L =$ 5 0 ,0 0 1 - $ I 0 0 ,0 O 0 M = $ 1 0 0 . 0 0 1 - $ 250 , 0 0 0(S ee C o lu mn s C I a n d D3 ) N = $ 2 50 ,0 0 1 - $ 50 0 ,0 0 0 O = $ 50 0 ,0 0 1 - $ 1 ,0 0 0 ,0 0 0 P I - ~ 1 , 0 9 0 , 0 0 1 - $ 5 . 0 0 0 , 0 0 0 1 2 - $ 5 . 0 0 0 . 0 0 1 - $ 25 , 0 0 0 , 0 0 0.

    P 3 - $ 25 , 0 0 0 , 0 0 1 - $ 50 , 0 0 0 , 0 0 0 P4 =-More ttxaa $50.000,0003 , V a l u e M e~ h o d C o des Q = A p p r ~ s a l R ~ C o s ~ (R e~ I Es t a te O n l y ) S =A s s es s m cm T = C a s h M a r k e t(S ~ C o l u m n C 2 ) U ~ B o ~ k V a M c V ~:)Ih~ W =Fst imalcd

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    FINA1NCIAL DISCLOSURE N a m e o f P e r s o n R e p o r t i n g Date of I]eportEPORT[ C A S E L L A S , SA L V A D O R E .

    0 4 / 3 0 ~ 2 0 1 0a g e 7 o f 8VIII. ADDITION AL IN FOR MATION O R E XP L AN ATION S. a~#i~,~r~,~o/~@o,~)

    PART I I - A GREEM EN T S.

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    FINANCIAL DISCLOSURE REPORT [ ~ . ,~ e o f P e ~ R , p o , io g ~.~, o~,~Page 8 of 8[ C A S E L L A S , S A L V A D O R E .

    O 4 1 3 0 / 2 0 1 0

    IX. CERTIFICATION.1 c e r t i fy t h a t a l l I n f o r m a ti o n g i v e n a b o v e ( i n c lu d i n g I n f o r m a ti 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 , if a n y ) l gaccu r a te , t r u e , an d co mp l e te to th e bes t o f my k n o w l ed g e an d be l ie f , an d th a t an y In f o r mat io n n o t r ep o r ted w as w i th h e l d becau se I t me t ap p l icable s ta tu to r y

    p r o v i s i o n s p e r m i tt i n g n o n - d i s c l o s u r e.I f u r th e r ce r t i f y th a t ea r n ed in co me f r o m o u ts id e emp l o y men t an d h o n o r ar ia an d th e accep tan ce o f g i f t s wh ich h av e been r ep o r ted a r e inc om pl ianc e w i th the p rovi s ions o f 5 U .S .C . app . 501 e t . s e q , 5 U .S .C . 7353, and J ud ic ia l Conf e re nc e re gu la t ions .

    S i g n a t u r e _

    N O T E : A N Y IN D I V I D U A L W H O K N O W I N GL Y A N D W I L F U L L Y FA L S I F IE 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 NA L S A N C T I O N S ( S U . S . C . a p p . 1 0 4 )

    FILING INSTRUCTIONSM a i l s i g 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 c o p i e s t o :

    C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t r a t iv e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4


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