POSlIION NAME OF ORGANIZATION/ENTITY
:2
PARTIES AND TERMS
·- ,, )
£
- ,
....... ,J
IAOJO Rev. 111010
FINANCIAL DISCLOSURE REPORT .FOR CALENDAR YEAR 2009
I. Penon Reportll K (last name, first, middle initial) 2. Court or Organization
Covello, Alfred \ U.S. District CoUit, CT
4. Tiiie (Article Ill judgc9 indicate active or senior status; Sa. Report Type (check appropriate type) magislrate judges indicate full- ot part-time)
D Nomination, Dale
U.S. District Judge ·Senior D Initial IZ] Annual
Sb. D Amended Report
D Final
Report Required by the Ethics i11Government1kt of1978, (5 U.S.C. opp.§§ 101-111)
l. Date or Report
05/16/2010
6. Reporting Period
01/0112009 to
12131/2009
7. Chambtn or Office Address 8. On the balls of Ille Information contained ID this Report and any modifications pertaining thereto, lt ls, ID my opinion, In compliance
450 Main Street wltli applicable !Inn and regulations.
Hartford, CT 06103
Reviewing Officer Date
IMPORTANT NOTES: The instrucdons ac:c:omplllfying thisform must be followed. Complete all parts, c:hec:king the NONE box for each part where you have no reportable inforfllation. Sign on lastpage.
I. POSITIONS. (ReportinglnJMd#11/only;.npp. 'J-1Jofjilingin.<tr1'd/qn:J.)
D NONE (No reportable positions.)
l. Director William & Alice Mortensen Foundation
2.
3.
4.
5. r-.
[Z]
I.
2.
3.
:../J =(-:> ........:--
II. AGREEMENTS, (/Upon"'8intilvld1111/only;supp. U-16offtllnglmtrlldlons.)
NONE (No reportable agreements.)
-- ,.. I :::) :::--:
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I'>•.)
2!
.... ., . ........ _ .r:::-i-r; :-)
.' > tJ.·,;- " i
C") ..,-1 f'll Cl
Covello, Alfred V.
SOURCE AND TYPE
( D<1/lor
SOURCE AND TYPE
SOURCE LOCATION PURPOSE
INCOME
ITEMS PAID OR PROVIDED
' FINANClAL DISCLOSURE REPORT
Page 2of17
Nunc of Ptnblt lttportlng
Covello, Alfred V. 05/16/2010
II I. N 0 N-INVESTMENT IN co ME. (Reporting indMdual and .<p(JU. .<ii! pp. 17-U of filing in.<1r11ctions.)
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
(yours, not spouse's)
I. 12/3 I /2009 State of Connecticut Pension $111,597.00
2.
3.
4.
B. Spouse's Non-Investment Income - lfyou,.,,,remarriedduringanyporrianofthortportingyear.completethiueCJ.ion.
am,,unt not requir.d e:r:ccplfor honorario.)
[Z] NONE (No reportable non-investment income.)
1.
2.
3.
4.
IV. REIMBURSEMENTS - transportation, lodging.food, entmainmm'
(includes thou ta spom ond dependent •·hildn'rt; .\'e<: pp. 25-1.7 ufjiling in.<Ini<'lion.•.)
[Z] NONE (No reportable reimbursements.)
I.
2.
3.
4 .
.s.
SOURCE QESCR!PTION
CREDITOR DESCRIPTION
VALUE
VALUE CODE
1 FINANCIAL DISCLOSURE REPORT
Page 3of17
N•me of Pennn Rrpllrting
Covello, Alfred V.
Date of Report
05/1612010
V. GIFTS. (lncludt'll tho.<e to spo11te and dtpendent childN!n; .ve pp. 28-JI of fdinff. in.ttruct/on:t)
[l] NONE (No reportable gifts.)
I.
2.
3.
4.
5.
VI. LIABILITIES. (lnclades tho.<e •f."J'oase and dependent children; see pp. 11-11 of filing in.<trucJiotU.)
[l] NONE (No reportable liabilities.)
I.
2.
3.
4.
5.
i I i I
FINANCIAL DISCLOSURE REPORT
Page 4of17
Name of Pcr<o Reporting
Covello, Alfred V.
Dale of ltrport
05/16/2010
VII. IN VESTMENTS and TR u STS - /nCO/lfl!, .al . transaction.< (Inc/Mm tht!St o/.tpoM>< and dcpt'ntknl cliitJren; '"'(If'. N-60 of filing UUlrMctionJ.)
0 NONE (No reportable income, assets, or transactions.)
A. 0.:.cription of Asset•
(including trust assets)
Place "(X)" after each asset
exempt from priot disclosure
I. RMA Tax Free Money Market
2. Dk of New England CH. 7 Bankruptcy (S/23/2004)
3. HP
4. A
5. SWK
6. MCD
7. PEP
8. SCI
9. UBSIRAMMF
10. UBS Bank Deposit IRA
11. Real Estate, Bidclcrford, ME (1/2 Interest)
12. Real Estate, Naple FL ( 112 Interest)
13. Real Estate, Farmington CT
14. Schwab Brokerage #I
15. T
16. AAPL
17. ABB
I. hh.'<>me Gain Codes: A•Sl.OOOorl•"ll (See Columns Bl aJ>d 04) f •SS0,001- SI00.000
2. Value Codes J •SI S,000 or less (Sec ColununCl and DJ) N •$250,001 • $500,000
B. c. Income during Gross value at end
reporting period of reporting period
(I) (2) (I) Amount Typc(c.g., Valoe Code I cfjv.,rent, Code2 (A-H) 01 int) (J-P)
A Dividend K
None
A Dividend J
A Dividend J
A Dividend J
A Dividend J
A Dividend J
None J
B Dividend J
A IntJDiv. J
c Rent M
D Rent 0
c Rent Pl
A Dividend J
None K
A Dividend
B •Sl.001 - S2.SOO G =SI00,001-$1.000.000
K •SIS.Oil! - 550.000 0 =5500.00 l - SI .000.000
(2) (I) Value Type (e.g.,
Method buy, sci Code3 tcdcmption) (QW)
T
T
T
T
T
T
T
T
T
w
w
w
T
T Buy
Sold
C •S2,50! - $5,000
Hl =s1 .ooo.001 - ss.ooo.ooo
l =SS0.00 I • $I00,000 Pl =Sl.OOO,OO! -SS.000,000
Pl -125.000.00 I • SS0,000,000 P4 or< lhan S.S0,000.000 l. Value M<thod Coo.Jct Q•APl'fllisal R =0..t (R ..I E•.- Only) S •A!scssmeut
(5«: ColwnnC:?) U •llouk Vah.c V=Other w •Estimated
D. Transactions during reporting period
Date Value (4)
Gain(2) I (3)mmldd/yy Code 2 Code I
(J-P) (A-H)
05/28109 K
05/28/09 J A
D •SS.001 • Sl.1.000
Hl •More liw> ss.000.000
M =U00,00 I • $250.000 P! =SS,000,001 • $25,000,000
T=CashMuiet
(5) Identity of
buyer/seller (ifprivale
transaction)
E •SIS,001 • Sl0,000
(I) (2) (3) (4) (5)
·-
• FINANCIAL DISCLOSURE. REPORT
Page 5of17
Name or Penon Repnrtlag
Cm'cllo, Alfred V.
Date of Report
05/16/201()
VII. INVESTMENTS and TRUSTS - ;,.,,o,,,e, vi/Jue, 1ran.•aC1inn• r1nc1uJ•.• 1h • of.-pou... """ d•peni1cn1 cJiildr•n: su rP. J.t-60 of filing 1n.•trucnnrn.J
0 NONE (No reportable income, assets, or transactions.)
A. B. c. D. Description of As•cts Income during Gross value at end Transaction• during reporting period
(including trust assctS) reporting period of reporting period
(I) (2) (I) (2) Place "(X)" after each asset Amowit Type (e.g., Value Value Typc(c.g .. Date Value Gain Identity of
exempt from prior disclo>"lll'C Code I div., rent, Code2 Method buy, sell. mm/dd/yy Code 2 Code I buyer/seller (A-H) or'int.) (J-P) Codd redemption) (J-P) {A-H) (if private
(QW) transaction)
18. APOL None Sold 05/28109 J A
19. Schwab Money Market (MMF} D Dividend M T
20. CATO A Dividend K T Buy 05/28/09 J
21. CME A Dividend Sold 05/28/09 J A
22. DTE A Dividend K T Buy 07120(09 K
23. DOV A Dividend Sold 09109109 J A
24. EL A Dividend Sold 05/28/09 J A
25. EMN A Dividend Sold 09/09/09 J A
26. EP+C A Dividend Sold 05/28/09 J A
27. XOM B Dividend Sold 05/28109 K c
28. GOOG None J T
29. GS A Dividend K T Buy 05/28/09 K
30. HPQ A Dividend K T
3 1 . IBM A Dividend K T Buy 05/28/09 K
32. HON A Dividend Sold 12/16/09 J A
33. JDSU None Sold 05/28109 J A
34. JNPR None Sold 05/28109 J B
I. locome Ga.in C-Odes: A •Sl.000 ot l<t1 B •SI .001 - Sl.SOO C =$2.';0t - SS.000 o ss.oot - ui,ooo E=S15,00l ·$50,000
(Sec Columns BI and D4) F •1.50,001 - SI00.000 G•SI00.001 • Sl.000,000 HI ctt,000,001-Sl.OOO.OOO H2 =More duw SS,000.000
2. Value Codn J •$15.000or lcu K kSI S.001 - SS-0,000 L='S.10.001 • $100.!XXl M=SI00.001-S250.000 tSeeColumruCI and DJ) N •SZS-0.00I -$500,000 0 =$500,001 -$1,000.000 Pt =Sl.000,001-SS.000,000 P2 =U.000,001- 525.IJOO,OOO
PJ •$25.000.00 I - SS0.000,000 P4 =More 1han $50,000.000 3. Value Method CodC1 Q•Appnlisal R<oot (Real&t.I< Ool l S •Asse$smcnt T <CashManu:t
(Sec Colwno C2l U t[look Value v •-Oll>CI' W =Estimated
nf /ilirtg
I i
MRK
NE
NVT
PTV
;-r:---dun Gross pen of
T
T
]
]
T
i
I i I
K
35.
37.
47.
49.
(2) (1) (4)
Dile cir Rc:por1 Name of P<non Reportlng FINANCIAL DISCLOSURE REPORT 05116/2010Covello, Alfred V. Page 6of17
hi/Jren; .<UPP· 34-60 in.Urudinn.<.)VII. IN VESTMENTS and TRUSTS - inc""'"· valuc, transae1/nn.< (Include.<'""" lif.,pou."' unJ Jepenrlen/
D NONE (No reportable income, assets, or transactions.)
A. B. C. D.
Description of Assets Income value ut end Trunsactioll!I during reporting period
reporting period reporting(including trust assets)
(1) (3)(2)(I) Value Identity ofGain
buyerisellerCode IValue Type(e.g.,Value DateType(e.g.,Amount
Code I mm/dd/yyMelhod buy, sell, Code2 (2)div.,l'Clll, Code 3 redemption)or int)
Place "(X)" after each asset exempt from prior disclosure Code 2 (3).
(A-HJ (J-P) (A-HJ(J-P) (if private transaction)(Q-WJ
36.
K A05/28/09SoldJPM DividendA
KFT Dividend JA
J BSold 07/20/09MON DividendA
38. A
39. MS A
40. NKE A
41. NTAP
42. NTRS A
43. A
44. A
Dividend K T
Dividend J
Dividend
None
Dividend
Dividend K T
Dividend T
45. PG A Dividend ] T
4-0. PM Dividend TA
Buy
Sold
Sold
Sold
Buy
K05/28/09
J A05/28/09
05128109 J A
J A11/05/09
05/28/09
48.
Dividend J TA
RTN Dividend J T Sold 12/16/09 J AA
(part)
50.
RIMM None Sold 05/28/09 J A
SCllW Dividend ]A
51. SWY Dividend Sold 05128109 J AA
I. ome Ga.in Coda: A =Sl,0000<1<>1 B =$ 1,00 I - $2.100 C =$2,.501 - SS,000 D =SS,001 - $15.000 E =$15,001-SSO.OOO
{S.C Column• Bl aod 04) F •SS0,001 - SI00.000 G =SI00.001. Sl,000,000 HI =SJ,000,001 -SS.000,000 112 •Mocc thaa SS,000.000
2. V•lue Code< J •SIS,000 orl ... K =$15,001 -$50.000 L .-SS0,001-SI00,000 M=SIOO,OOl - S2SO.OOO(See Colwnns Cl aod DJ) N •$250,001 - SS00.000 0 •SS00.001 - Sl.000.000 Pl =Sl,000,001 • SS.000,000 l'2 "15,000,00 I - $25.000,000
Pl •$25.000,001 - $50.000,000 P4 =More than $50,000.000 J. V•lue Mtthod Cadet Q •AppW.al R =CosqReal Est.ii< Only) S =Ancsmient T =Cash M.ri<et
(See Colwnn C2) U •llool Value v =Other W Estunated
A.
I
SNA
vz
D.
FINANCIAL DISCLOSURE REPORT
Page 7of17
Name ofl'cnon Kcpurtlng
Covello, Alfred V.
Date of llepan
05/16/2010
VII. IN YEST l\tlE NT s and TR u STS -income, 1•a/11e, tram action.• (lnclud thou of>p<>u.<e anJ dtp..n<knt children; Ut Pl'· 14-60 nf filing in.</rucdnn.<.)
0 NONE (No reportable income, assets, or transactions.)
B. c. Dc:scription of Assets Income during Gross value al end
(including trusl assets) reporting period of reporting period
(I) (2) (l) (2) (I) Place "(X)" after each asset Arnounl Type (e.g., Value Value Typc(e.g.,
exempt from prior disclosure Code I div., rent, C-Ode 2 Method buy, sell, (A-H) or int) (J-P) CodeJ rcdi:mption)
(Q.W)
52. A Dividend Sold
53. IMO A Dividend Sold
54. TWX A Dividend Sold
55. TNC A Dividend K T Buy
56. A Dividend J T
57. WMI A Dividend Sold
58. YUM A Dividend J T
59. XMSR None Sold
60. Julius Baer Intl B Int.IDiv. Sold
61. F+S A Divid.:nd Sold
62. MA 5.625% ST Port Rev A Interest J T
63. MA 5.5% Pl Auth Rev B Interest K T
64. XLP A Dividend J T
65. VFH A Dividend K T
66. YUM A Dividend K T
67. TRV A Dividend K T
68. PCG A Dividend Sold
Transactions during reporting period
-
(2) (3) (4) Date Value Gain
mm/ddlyy Code 2 Code I (J-P) (A-H)
05/28/09 J A
12/16/09 J A
05/28/09 J A
11/05/09 K
05/28/09 K A
05/2&'09 J A
05/28/09 M A
05/28109 J A
07/20/09 K A
D •SS.001 • Stl.000
(S) Identity of
buyer/seller
(if private transaction)
I. Income Gain Codi.."t: A•Sl,OOOorl<>S 0 •Sl,001 • $2,500 C •$2.501 • SS,000 E •SlS,001 • $50.000
(See Colwnns Bl and 04) F 0$50,001. Sl00,000 G •SIOO.OOl -Sl.000.000 HI <$1,000,001 • SS,000,000 H2 •Mn lhan !5 ,000.000 2. Value Codes l •SIS,OOOoclm K ·SIS.001 -SS0,000 L •SS0.001-SIOO.OOO M <$I 00,00 I - S250,000
(Sec Columris CI and DJ) N •P.50,00 I - SS00.000 O •$500,00l -Sl.000,000 Pl oSl,000.001 • Sl.000.000 P2 •Sl.000.00 I • SlS.000,000
Pl -S25,000,00I • $50.000.000 P4 •More thllJI $50.000.000 J. Value Mc:thod Codes Q·A i,.I R -,,C0>1 (Reol E<tate CllllyJ S .:::AsSl..°'Went T<ashMark<t
(See Column CZ) U <Book Value V -other W •Es1ima1cd
I
i i
XLE
J
HYG
EMB
l
-------
i
I
69. NKE A Dividend J T
70. CT State Gen Rev 4% B Interest L T
71. Stamford er GO 4% B Interest L T
72. Vfl A Dividend L T
73. VHT A Dividend K T
74. VDC A Dividend Sold 05/28/09 K A
75. A Dividend K T Buy 05/28109 K (add1)
76. EFG A Dividend K T Buy 05/28/09 K
77. IJK A Dividend K T Buy 05/28/09 K
7&. UJ
79. UT
A
A
Dividend
Dividend
K
K
T
T
Buy
Buy
05/28/09
05/28/09
K
K
80. !JS A Dividend 1 T Buy 05/28/09 1
81. IWB
82.
83.
A
c
c
Dividend
lntJDiv.
lnt./Div.
K
L
L
T
T
T
Buy
Buy
Buy
07/20/09
05/28/09
05/28/09
L
K
84. FXI A Dividend K T Buy 05/28/09 K
85. DBC A Dividend K T Buy 05/28/09 K
FlNANCIAL DISCLOSURE REPORT
Page 8of17
Name uf Penon Rtportlni
Covello, Alfred V.
Date of Report
05/16/2010
VII. INVESTMENTS and TRUSTS -inco,,.,,, va1ue, 1ran.•ac1ions r1nc1udes tho.•• of.•pou and d•penJJ.n1 ehildren; ue PP· 31..r,o of filing in .• rucwm.•.J
D NONE (,'Vo reportable income, assets, or transactions.)
A. Description of Assets
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
B. c. 0. Income during Gro•• value ot end Transactions during reporting period
reporting period ofICPQrting period
(I) (2) (I) (2) (I) (2) (3) (4) (S) Amount Typc(e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code2 Method buy, se!L mmldd/yy Code 2 Code I buyer/seller (A·H) or int.) (J-P) CodeJ redemption) (J-P) (A-H) (if private
(Q-W) transoclion)
I. lm:ome Gaio Cuda; A ... Sl.())(),V'k":ll B •SI.DOI - n.soo C =Sl. I -S5.000 D •$5.001 - SIS,000 E =SIS,001-$50,000
(See Colwnn• Bl and 04) F •$50,001 - $100,000 G•SlOO,OOl -Sl,000.000 111 =s1.ooo.001 - ss .000.000 H2 =More tt.... SS,000,000
2. Value Codes 1 •$15,000 or lc'5 K =SIS.001 -tl0,000 l =$50,001 -SI00.000 M <S l 00,00 l - S250.000 (Sec Colwnn•CI and DJ) N =$250,001 -S500.CJOO 0 •SSOO.OOl -Sl,000.000 Pf <Sl,000,001 -SS.000.000 P2 <SS.000,001 - $25.000.000
PJ •SlS,000.00 I • $50,000,000 P4 -More than 550,000,000 J. Value Method COO.. Q •Aptnisal R =Cost (R""l [:ltlle o..ty) S •Assc•!llllClll r =Ca.n MarL:t
(S Culumn C2) ll •!look Value V-Othcr W "-Estimated
-·
A.
ALU
I
l
FINANCIAL DISCLOSURE REPORT
Page 9 of li
Name of Pmoa Rl:portlag
Co\'ello, Alfred V.
Dale nf Report
05/16/2010
Vil. INVESTMENTS and TRUSTS - ;nc,,me. ""111-. transactions r1nc11111 tho ... of.•pou.•e an11 "'"endm1 children: se• PP. 1uo •fflllng ;,. .• ,,,,cti,ms.J
D NONE (No reportable income, assets, or transactions.)
De.cription of Assets
(including trust assc:ts)
Place "(X)" after each asset
exempt from prior disclosure
86. PIO
87. SCHV
88. XLY
89. XLB
90. XLK
91. SDY
92. vwo
93. VNQ
94. Schwab Brokerage #2
95. SchwabMMF
96. ACN
97. AIB
9&. BUD
99.
100 . .MT
IOI. BSBR
!02. SZEVY
I. Income Gaio Code!i:
B. T: C. Income during Gross value at end
reporting period 1 of reporting period
(I) (2) I (I) (2) Amount Typc(e.g.,
I Value Value
Code l div., rent. COOe2 Method (A-H) or int.) (J-P) Code3
(Q-W)
B Dividend K T
B Dividend K T
A Dividend K T
A Dividend K T
A Dividend K T
B Dividend K T
A Dividend K T
A Dividend K T
A Dividend K T
A Dividend J T
A Dividend
A Dividend J T
A Dividend J T
A Dividend J T
A Dividend J T
None
(I) Type(e.g., buy, sell.
redemption)
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Buy
Sold
Buy
Buy
Buy
Buy
Sold
B •SJ.DOI· 12. 00
D.
Trnnsactions during r<:poning period
(2) (3) (4) Date Value Gain
mmidd/yy Code 2 Code I (J-P) (A-H)
05128/09 K
12/16/09 K
07/20/09 K
07/20/09 J
05/28109 K
07/20/09 K
05/28/09 K
05/28/09 J
07/06/09 J
01/06/09 J A
07/06/09 J
09/09/09 J
08/27/09 J
12111/09 J
12/21/09 J A
(5) ldentiry of
buyer/seller (if private
transaction)
A •11,000ocl""' C •U.501 • SS,000 D •$.l.OOl - SIS,000 E IS.001 ·S O.OOO
(SeeColuml\sBI andD4) F •™.001 - SI00.000 G •$100.001 • $1.000,000 Ht t.000.001 -SS.000,000 H2 =M""' 11w1 ss.000.000 2. Value Code> J ·'SIS.OOOor IC> K •SlS.001 - $50.000 L •SS0,001 • St00,000 M •$100.001 - $250.000
(See Columns Cl and Dll N 250,001 • $500.000 0 "'SS00.00 l - S l ,000,000 Pl "'11,000,001 - SS.000.000 P2 -SS.000.00 l • $25.000.000
Pl •S2S.uoo.oo t - sso.000.000 P• •More than SS0.000,000 J. Value Method Codes Q•Appni..t R =Cost (Real EsUte Only) S sMsessmcnt T =Cub Marl<t
(See C<>lwm C2) U •Boul.. Value v Otha W·•Esti!ruited
Namt of P on !«porting Ible of Report FINANCIAL DISCLOSURE REPORT
Covello, Alfred V. 0511612010Page 10of17
VII. lNVESTME NTS and TRUSTS - income. •atue. 1ran.m·11on .. 11n<111de.• 1hou of.<r•u.u and t1epmdcn1 children: • .,. rP· J-t-60 of fdinc in.•'fr•ction ...J.
0 NONE (No reportable income, asset-;, or transactions.)
A. Description of Assets
(including trust assets)
Place "{X)" after each asset
exempt from prior disclosure
B. c. 0. Income during Gross value !I! end Transactions during reporting period
reporting period of reporting period
(1) (2) (1) (2) (!) (2) (3) (4) (5) Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of
Code 1 div., rent, Code 2 Method buy, sel mmlddlyy Code 2 Code I buyer/seller (A-H) or int) IJ·P) Code3 redemption) IJ.P) (A·H) (ifprivalc
(Q-W) transaction)
103. EJPRY None Sold 08/24109 J A
104. ABX None J T
105. BCS A Dividend J T Buy 06/11/09 J
106. CHKP None Sold l1/12/09 J A
107. ABB None Sold 01106/09 J A
!08. BAESY None J T
109. BHP None J T Buy 02117109 J
110. BZLFY A Dividend J T
111. CCJ A Dividend J T Buy I0/22/09 J
112. CAJ A Dividend ] T Buy 07/28109 J
113. CYOU A Dividend ] T Buy 10/14/09 J
114. CHL None J T Buy 07/17/09 J
115. CEO None J T
116. cs A Dividend J T Buy 08/19109 J
117. DBOEY A Dividend J T Buy 03/09/09 J
llS. DEO A Dividend J T Buy 06/24/09 J
119. EXPGY A Dividend J T
I. Income G.Un C\Jdes: A -Sl,OOOurlcu B •SI .001 • Sl.WO C •Sl,501 • SS,000 D •SS,001- US,000 E •115,001 ·SS0,000 ( S.C Column• BI and 04) F •S50.00I • SI00.000 G •SI 00,00 I -$I ,000,000 Ill •Sl,000,001-SS,OOO,OOO H2 •More than SS.CJ00,000
2. Value Cod .. J •Sl',000 or less K•$15.00l ·SSO.OOO L450,00l-$100.000 M "1100.001- $250,000 (S<c ColummCt .uid OJ) N •$250,001 - SS00.000 0 •$500,00 l •St .000,000 Pl •Sl,000,001 - SS.000.000 P2 ss.000,001 • ns,000,000
Pl •$25,000,001 -SS0.000,000 P4 •More man $50.000,000 l. Value Mothod COO.. .. Q•Appni,.I R •Co;t (Real Estate Only) S As""'1llCllt T o.{'ashMarka
{Sc. Column CZJ u •Dool v &Jue v >Other W•Estimaed
-A.
FMS
--
FINANCIAL DISCLOSURE REPORT
Page 11of17
Name of Penon Reporting
Covello, Alfred V.
0.te or Report
05/16/2010
VII. INVESTMENTS and TRUSTS -incom•, ,.,,1uc. tran.•acrion.• r1nc1ut1ts 1ho.«· of.•pou.•• un<I t1epent1en1rh1tt1rrn: •u PP· J-1-60 •/filing m.vm:tivn•.>
D NONE (No reportable income, assets, or transactions.)
Description of Assets
('including trust assets)
Place "(X)" after each asset
aempt from prior disclorurc
B. c. D. Income during Gro.s value at end Transactions during reporting period
reporting period ofreporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5) AmoWlt Type (e.g., Value Value Type(c.g., Date Value Gain Wentityof
Code I div., rent, Code2 Method buy, sell, mm/dd/yy Codc2 Codel buyer/seller (A-H) orinL) (J-P) Codc3 re<kmplion) (J-P) (A-II) (if priv.te
(Q-W) transaction)
120.
121. GVDNY
A
A
Dividend
Dividend
J
J
T
T Buy 06/24/00 ]
122.
123.
124.
HBC
JUPIY
KDDJY
A Dividend
None
None
J
J
J
T
T
T
Buy
Buy
Buy
04/21/09
o6n6/o9
06/23/09
J
J
J
125. KCRPY None 1 T Buy 06116109 J
126. AHONY A Dividend 1 T
127. MlNOY None J T Buy 12123/09 J
128. NSRGY A Dividend J T Buy 07131/09 J
129. NTDOY None 1 T
130. NBHGY None J T Buy 09/03/09 J
131. NVS A Dividend 1 T Buy 04/07/CS J
132. NVO None 1 T
133. PBR A Dividend J T Buy 04/07/09 J
134. PUBGY A Dividend J T Buy 08/05/09 J
135.
136.
RUK
RHHBY
A
A
Dividend
Dividend
J
J
T
T
Buy 07/09/09 J
l. ln.c.:ome Gai.A CodC1: /\=SI ,000 ot I"" B =Sl.001·12. 00 c s2,.so1 • ss,ooo D •SS,001 - SIS,000 E 0SIS.OOl ·S O.OOO
(5'< Column• Bl •ad 04) F cSS0,001 • SHI0.000 G SI00.001 • St.000,000 HI =Sl,OOO,OOl ·S5,000.000 H2 •MO<C tlwi $5,000,000 2. Value Codes l •StS,OOOocten K •SlS,001 • $50.000 L 450,001-StOO,OOO M "1100,001 • S250.000
(Sec Colwnos Ct •od DJ) t; •S2SO.OOI. $500,000 0=$500,001 -St.000.000 Pl =tt.000.00t -SS.000,000 P2 ss,000.001. s2s.ooo,ooo
Pl •$25,000.001- $50,000.000 P4 •Mon: than $50.000,000 J. Value Method C•>d<S Q •/\prnisal R 4.:wt (Real Estate Only) S As""""""1 T--.CashMatl<<t
(See Column C2) U .rBool Value V •Other W =Estimated
r I
(S)
I i
J
J
--
I I
FINANCIAL DlSCLOSURE REPORT
Page 12of17
Name of Pcnon Reporting
Covello, Air red V.
Dale of Report
05/1612010
VII. lN VESTMENTS and TRUSTS -income. ,.,,r,,,, tran.•acrion.• r1nc1"""-' '"ou nf.•pouu and de{Nn.tmrcJi11d"n; .tee l'P· J.t-60offuing1ns1n1cr1nns.J
NONE (No reportable income, assets, or transactions.) D A. B. c. D.
Dc:-1cription of Assets Income during Gross value at end Transactions during reporting period
(including !rust assets) reporting period of reporting period
(l) (2) (I) (2) (I) (2) I (3) (4) Place "(X)" after e•ch assel Amount Type(e.g., Value Value Type(e.g., Date
I Value Gain Identity of
exempt from prior disc losurc Code I div., rent, Code2 Method buy, scl rnm/dd/yy . Code 2 Code I buyer/.eller (A-H) or int) (J.P) Code3 redemption) (J.P) (A-H) (if private
(Q-W) transaction)
137. SAP None J T Buy 10/16/09 J
138. SGPYY A Dividend J T Buy 12114/09 J
139. SVNDY A Dividend J T Buy 03/31/09 J
140. SBGSY A Dividend J T Buy 09/16/09 J
141. SGSOY A Dividend J T Buy 08/19/09 J
142. SI A Dividend T
143. SNN A Dividend J T Buy 01/15/09 J
144. SQM A Dividend J T Buy 10/16/09 J
145. SCGLY A Dividend J T Buy 09/21/09 J
146. SDXAY A Dividend J T Buy 05/22/09 J
147. SLT A Dividend J T Buy 01/09/09 J
148. SUHJY A Dividend J T Buy 11/11/09 J
149. SWBDY A Dividend J T Buy 08/21/09 J
150. TLM A Dividend J T Buy 05/08/09
151. TSCDY A Dividend I T
152. TNTTY A Dividend J T Buy 01/08/09 J
153. TM A Dividend I T Buy 12/15/09 1
I. !noome C'J&Jn Codes: A =$1,00C><.- less B •Sl.001 - SUOO C -S2,50t · Sl.000 D •Sl,OOt - Sll,OOQ E =Sll,001 • Sl0.000 (See Columnt RI .and 04) F •ll0.001 • $100,000 G =SI00,00 I - S 1.000,000 Ill =Sl,000.001 -U,000.000 Hl =More lhM Sl,000.000
2. Value Code• J•Sll,OOOorl.,,. K =S15.00I - SS0.000 L =$50,001-SIOO.OOO M =SIOO.(lOI - $2l0,000 (See C<>lwnnsCl aod 031 N •Sll0,00 I - SS00.000 O =SS00,001- U,000.000 Pt =Sl.000.001 - Sl.000,000 P2 =SS.000.001 - $25.000,000
Pl •S!S,000,001 - Sl0,000.000 P4 •0More than $50,000.000 3. Valu< Method CoJc. Q •Appraisal R c"" (Real Estiie Onlyl s -"'A!ik."Slmenl T-OohMJrlet
(So: Colwnn C2) U =llool. Value V -<Jthcr W =Esiimated
A.
1 -{2J (3) (4) (S)
T
J
FINANCIAL DISCLOSURE REPORT
Page 13of17
Name of Pcnon !Uportlng
Covello, Alfred V.
Dale of R"Por1
05/16/2010
vu. INVESTMENTS and TRUSTS - htcome, •·afut, tran.<adion.< (lnc/udN lhnu nf.\'f"lll•t and dtpendenl children: .<ee pp. U-60 of/ding in<lructlon.1.)
D NONE (No reportable income, assets, or lransactions.)
B. c. D.
Description of Assets lncomc during Gro.<s value at end Transactions during reporting period
(including trust assets) n:poning period of rcportmg period
(I) (2) (I) (2) (!) Place "(X)" after each asset Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity of
exempt from prior disc lo sure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code l buyer/seller (A-H) or int.) (J-P) Code3 mption) (J-P) (A-H) (if private
(Q-W) transaction)
154. UGP None J Buy 04107/09 J
155. UN None J T
156. OUVEY A Dividend J T
157. VOD A Dividend J T Buy 07/01/09 J
158. WSH None J T
159. CCH None Sold 08103/09 J A
160. TEVA None Sold 08/03/09 J A
161. RDY None Sold 09111109 A
162. LOGI None Sold 03113/09 J A
163. VE None Sold 09/22/09 J A
l 164. DOX A Dividend Sold 12/l0/09 J A
165. UBS A Dividend Sold 08/19/09 J A
166. SAN A Dividend Sold 02/13/09 J A
167. TSM None Sold 09/22'09 J A
168. CEDC A Dividend Sold 03/03/09 J A
169. OCPNY A Dividend Sold 02/17/W J A
170. BZLFY A Dividend Sold 03/03/09 J A
I. !.ocum< G.un Cod.:s: A •Sl,000 udc5' B •SI ,OOt -$2,SOO C =S2..l0t - SS,000 D ss.001 • $15.000 E 0StS,OOt · S-'I0,000 (See Columns BI and 04) F •S.S0,001 - Sl00.000 G =SIOO,OOl -Sl.000.000 HI =Sl.000,001- SS.000,000 H2 More than SS,000,000
2. Value Codes J •Sl5.000orlm K ·s1s,001 - o.ooo L •$50,001 -SI00,000 M ..SI00.001 -S2SO,OOO
(S«ColumnsCI Jod DJ) N •S2SO.OOI • S.100,000 O =SS00,00 t • St .000.000 Pl =s1 .ooo,001 - ss.000.000 P2 =$5.000.00t .. $2.l.000,000 Pl •S2S,000,001- S.10.000,000 P4 .,M.,.. lb.an sso.000.000
J. Value Mctl1od CodL'S 0 •Appraisol R•Cuot(R<>I E".uo Only) S =Atseumcnt T >C"h M1rktt (S«CulwnoC2) U "Dool Va•uc V•Olhcr w =-Estimated
(1) (2) (I) (2) (I)
lmm/dd/yy
--
I
FINANCIAL DISCLOSURE REPORT
Page 14of17
Name or Penoa Reporting
Covello, Alfred V.
Date ol Rtport
05/16/2010
VII. INVESTMENTS and TRUSTS -incmne. '""""' 1ran.•uoionsr1ncriu1e.t11to ... nf•pou•e rznduependen1cJ1ildnn; .. epp. u-6oof/Wnxin."rucDr>n.•.J
D NONE (No reportable income, assets, or transactions.)
A. Description ofAssets
(including trust assets)
Place "(X)' after each asset
exempt from prior disclosure
B. Income during
reporting period
Amount Code I (A-H)
Type(e.g., div., renl.
or int.)
c. Gross value at end
ofreporting period
Value
Codc2 (J-P)
Value
Method Code3 (Q-W)
D. Transactions during reporting period
Type(e.g., Dare buy, sel I (2)
redemption)
(4)(3) Value Gain
Code2 Cooe 1 (J-P) (A-H)
(5) Identity of
buyer/seller
(if private transaction)
171. LITOY A Dividend Sold 11/27/09 J A
1 72. TV A Dividend Sold 07/08/09 J A
173. NJ A Dividend Sold 09111109 1 A
174. sxc A Dividend Sold 07/08/09 J A
175. SWCEY A Dividend Sold 02/11/09 J A
176. TEF A Dividend Sold 07121/09 J A
177. Schwab Brokerage #5 Merged (with line 14}
178.
179.
Schwab MMF
CTG03.5%
A
A
Dividend
Interest
1
K
T
T
Merged (with line 19}
180. Pinal County AZ 5% A Interest M T
181. NY City 5.25% GO D Interest L T
182. Louisiana ST Carree 5% B lntcrcst K T
183.
184.
185.
CT St5%GO
Midland TX 5% GO
Vernon CT 4% GO
B
B
c
Interest
Intere t
Interest
K
K
M
T
T
T
186. Citi:;r.ens PPty Fl Rev 5% c Interest M T
187. Reagan Cty TX 4% GO c Interest M T
1. Iocumc Gain Codes: A •$1,000 or le B =Sl.001·52,500 C =S2..IO I • s.'1.000 D •SS,001 - SI S,000 E "115,0:ll -S ,OOO (5<e Colwnns BI and ) F •SS0.001- SI00.000 G =SI00.001 • Sl.000.000 Ill '"11,000.001 - s.'1.000.000 IU =M""' lhan $5,000,000
2. Value Code> I •Sl5.000 or lets K •$15.001 - SSO.llOO L ..SS0.001 • SI00.000 M "1100.001 • SlS0,000 (See Columns CI and DJ) N •S250.00 I • $500.000 0 =s.'100.001 - s I .(l00.000 Pl ;$1,000.001-s.'l,OOO,OOO P2 "15.000.001 • $2..5.000,000
Pl =$25,000.001 • $50,000,000 P4 •M""' than $50,000.000 l. Value Methvd Code• Q •Ap(lraisal R •Cos< (Rul EIUte Only) S•A,.....,,.nl T =C•sbMarlr.et
1Sce Columo C2) t; =llool Value v -<lther W ""'Esti1nated
T
(4) (2)
{J-P)
FINANCIAL DISCLOSURE REPORT
Page 15of17 . ' . •'
Name of rcnon Reporting
Covello, Alfred V. 05116/2010
VII. INVESTMENTS and TRUSTS -Income, •·aiue. 1tan•ac11an.•t1nc1ut1,.• ,h.unfv"'"-"ant1aepmt1en1r11;1t1rm;.•upp. J4-60•ffillngin.•1ruc1irin<-1
D NONE (No reportable income, assets, or transactions.)
A. Description of Assets Transactiollli during reporting period (including trust assets)
B. c. D. Income dw1ng Gross value al end
reporting period of reporting period
(I) (2) (I) (2) (I) (3) Amount Type(e.g., Value Value Type (e.g., Date Value Code l div., rent. Code2 Method buy, sell, rrun/dd/yy Code2 (A-H) or int.) (J-P) Code3 redemption)
(Q-W)
(S) Place "(X)" after each asset Gain Identity of
exempt from prior disclosure Code I buyer/seller (A-H) (if private
transaction)
188. Utah Wtr Auth Rev 5% c Interest M T
189. Magnolia TX 5% GO c Interest M T
190. NY State Dorm 5% c Interest M T
191. Nonhside TX 3.5'%GO A Interest M T
192.
193.
Mass. State Health 5%
CA State Econ 5%
A
B
Interest
Interest
M
L
T
Buy 11/04/09 L
194. San Fran CA Rev 4% B Interest K T Buy 05/13/09 K
195. Tarrant County TX 5.75% D Interest M T Buy 01123/09 M
196.
197.
UCONNG05%
Glasronbury 4.5%
B
c
Tntcrcst
Interest
K
L
T
T
Buy
Buy
02123/09
05/20/09
K
L
198.
I. Incomt Gain Codes: A •Sl.OOOor le.. B =Sl.001- Sl.SOO C •$2.50 I • SS,000 D •SS.001 - Sll,000
(SeeColwnns nt and 04) F •SS0.001 • SI00,000 0 =SI00,001 - Sl,000,000 HI -Sl,000,001 - SS.000,000 H2 <Mure than SS.000,000 :t Valuc Codet I s I S,000 or le-n K =$15,001 -$50.000 L-Sl0,001 • St00.000 M =SI00,001 • Sll0,000
(See Columau Cl aod DJ) N •$250.00 I - S 00.000 0 •Sl00.001 • Sl,000,000 Pl •$1,000,001-Sl.OOO.OOO P2 •SS,000,001 • $25.000,000
Pl -s2s.ooo,001 - sso.000.000 P4 •More than SS0,000.000 l. Valut Method Codes Q "Ai>l"'isal R •Cost (Real E•!ate Only) S 4-Ancssment T-<°ISbM.det
(See Colwno C21 U •Book Vak"' v •Other W =Estimated
E =Sll,001 • IS0,000
Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Covello, Alfred V. 0511612010Page 16of17
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/nJi<:atepRrtOfReport.)
FINANCIAL DISCLOSURE REPORT
Page 17of17
Name of Pcnon Reporting
Covello, Alfred V.
Date of ltep11rt
05/16/2010
IX.CERTIFICATION.
I certify that all information given above (including informlltion pertaining to my spouse and minor or dependent children, IC any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld bccau. e lt met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of lc!iflS which have been reported are In compliance with the provisions of 5 U.S.C. app. § 50 l et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFVLLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIl. AND CRIMINAL SANCTIO!'iS (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 Suile 2-301 One Columbus Circle, N .E. Washington, D.C. 20544