AO FINANCIAL DISCLOSURE REPORT Report Required by the ...5. 3. AO FINANCIAL DISCLOSURE REPORT Report Required by the Ethics JO Rev. 111 Govenment Act of I 978 112012 . FOR CALENDAR

5.

3.

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO JO 111 Government Act of I 978 Rev. 112012 FOR CALENDAR YEAR 2011 (5 U.S.C app. §§ 101-1 I I)

J. Person Reporting (last name, first, middle initial)

Rendell, Marjorie 0.

2. Court or Organization

USCA - 3CA - Philadelphrn

3. Date of Report

08/06/2012

4. Title (Article Ill judges indicate active or senior status;

magistrate judges indicate full- or part-time)

Circuit Court Judge (Active)

Sa. Report Type (check appropriate type)

D Nommat1on Date

D lmt1al [Z] Annual

Sb. [{] Amended Report

D Final

6. Reporting Period

01/01/2011

to

12/31/2011

7. Chambers or Office Address

U.S. Court of Appeals 601 Market Street, Room 21613 Philadelphia, PA 19106-1598

IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Insert signature on last page.

J. POSITIONS. (Reporting individual only; see pp. 9-13 of filing instmctions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I. Director Kimmel Center for the Performing Arts

2. Member, Board of Overseers School of Nursing, University of Pennsylvania

3.

4.

IJ. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[{] NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

3.

4.

3.

5.

FINANCIAL DISCLOSURE REPORT

Page 2of12

Name of Person Reporting


Date of Report

08/06/2012

III. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

[2] NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

4.

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

[{] NONE (No reportable non-investment income.)

SOURCE AND TYPE

I.

2.

3.

IV. REIMBURSEMENTS -- transportation, lodging, food, entertainment.

(Include; those to spouse and dependent children; see pp 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. ABA Subcommittee on Civic Education

03/30/2011 -03/31/2011

Washington, D.C. Attend meeting Train, Hotel & Taxis

2. American Bar AssociatJon 05-19-2011-05/22/2011

Chicago, IL On panel - Appellate Practice Institute

Train, Hotel Food & Taxis

Practicing Law Institute 06/03/2011 - New York, NY Teaching CLE Tram, Hotel, Taxis & Food 06/04/2011

4. National Conference I 0113/2011 - Tampa, FL On panel Airfare, Hotel & Taxis

Bankruptcy Jgs. 10/15/2011

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3of12 08/06/2012Rendell, Marjorie 0.

V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[{] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

D NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I. Cape Savings Bank, Cape May, NJ Mortgage on rental property N

2.

3.

4.

5.

(2)


08/06/2012Rendell, Marjorie 0.Page 4of12

VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing insrructions.J -

D NONE (No reportable income, assets, or transactions.)

A. B. c. D.

Description of Assets Income during Gross value at end Transactions dunng reporting period

(including trust assets) reporting penod of reporting penod

(I) (2) (I) (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 pnor disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller

(A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

I. QUALIFIED

2. Adams Harkness Small Cap None K T

3. Baron Growth A Dividend K T

4. BlackRock Low Duration Bond c Dividend M T Buy 01/31/11 K

(add'l)

5. Brandywine None Sold 01/31/11 K B

6. DF A Emerging Mkts Core Equity A Dividend K T

7. DFA Intl Value B Dividend K T

8. DFA One Year Fixed A Dividend M T Sold 01/31/11 L A (part)

9. DFA Global Real Estate Securities None K T Buy 01/31/11 K

10. DFA US Large Cap Value A Dividend L T

11. DFA U.S. Micro Cap A Dividend K T

12. DFA U.S. Small Cap Value A Dividend K T

13. Dodge & Cox Stock A Dividend K T

14. Federated Gov. Ultrashort Duration A Dividend M T Buy 01/31/11 L

(add'!)

15. First Eagle Overseas A Dividend K T

16. Hotchkis & Wiley Large Cap Value A Dividend K T

17. Hotchkis & Wiley Mid Cap Value A Dividend L T

I Income Gam Codes: A =$1.000or less B =$1,001 - $2,500 c 42.501 - $5.000 D =$5.001 - $15.000 E =$15,001 - $50.000

(See Columns BI and D4) F =$50.001 - $I 00,000 G =$100.001 -$1,000.000 Hl =$1.000,001 - $5,000,000 H2 =More than $5,000.000

2. Value Codes J =$15.000 or less K =$15,001 - $50.000 L =$50.00I - $100,000 M =$100.001 - $250.000

(See Columns C 1 and 03) N =$250.001 - $500.000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $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=Apprmsal R =Cost (Real Estate Only) S =Assessment T=Cash Market

(Sec Column C2) U=Book Value V=Other W=Estnnatcd

(1) (1)



VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those of spouse and dependent c1ti1dren; see PP· 34-60 of filing instructions.) -


A. B. c. D.

Description of Assets Income during Gross value at end Transactions dunng reporting penod

(including trust assets) reporting penod ofreporting period

(2) (I) (2) (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, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (1fp1ivate

(Q-W) transaction)

18. Ivy Mid Cap Growth None K T Buy 01/31/11 K

19. Janus Fund A Dividend L T Sold 01/31/l l J c (part)

20. Janus Overseas Fund c Dividend K T Sold 01/31/1 I J B

(part)

21. Metropolitan West Total Return D Dividend M T Buy 01/31/11 J

(add'!)

22. Morgan Stanley Inst Emerging Markets None K T

23. Morgan Stanley Inst International Equity B Dividend L T Sold 01/31/11 J

(part)

24. Royce Opportunity None K T Sold 01/31/I I J

(part)

25. Royce Value Plus A Dividend K T

26. Schwab Adv Cash Reserve Prem A Dividend J T

27. Third Avenue Intl Value A Dividend K T

28. Thornburg Intl Value A Dividend K T

29. Westcore lnt't (Frontier) Small Cap A Dividend K T Sold 01/31/1 I J B (part)

30. Westcore Mid Cap Value A Dividend L T Sold 01/31/11 J B (part)

31. Westcore M1dco Growth B Dividend K T Sold 01/31/11 K A (part)

32. William Blair International Growth A Dividend K T

33. William Blair Lg Cap Growth A Dividend L T

34. William Blair Intl Small Cap Growth A Dividend J T

1 Income Gam Codes· A =$1.000 or less B =$1,001 -$2,500 c =$2.501 - $5,000 0=$5.001. $15.000 lo 415.001 - $50.000

(Sec Columns Bl and D4) F =$50,001 • $100,000 G =$100,00I - $1.000,000 Iii =$1.000,001 -$5.000.000 112 =More than $5.000.000

2 Value Codes J=$15.000or lcss K =$15.001 - $50.000 L =$50,001 - $!00.000 M =$!00.001 - $250.000

(Sec Columns CI and 03) N =$250.00 I - $500.000 0 =$500,00 I - $1.000.000 Pl =$1.000.001 - $5.000,000 1'2 =$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 =Cash Market

(Sec Column C 2) U =Book Value V=01her W =Estimated

• . ,

(I) (2)



VII. INVESTMENTS and TRUSTS -- income, va1ue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instmctions.J


A B. C. D.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reportmg period of reporting period

(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, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

35. William Blair Mid Cap Growth B Dividend K T Buy 01/31/11 K

36. First Eagle Global B Dividend K T

37. Janus Perkins Mid Cap Value None Sold 01/31/11 J A

38. William Blair Growth A Dividend J T

39.

40. Baron Growth Fund A Dividend J T

41. DFA Emerging Markets Core Equity A Dividend K T

42. DFA Short Term Muni Bond A Dividend K T Sold 06124111 K A (part)

43. DFA Tax Managed Int'! Value A Dividend J T

44. DFA Tax Managed US Marketwide Value A Dividend J T

45. DFA Tax Managed US Targeted Value A Dividend J T

46. OF A US Micro Cap A Dividend J T

47. Dodge & Cox Stock A Dividend J T

48. Fannie Mae None Sold 11/28/11 J A

49. Federated Short lnterm Muni B Dividend K T

50. First Eagle Overseas A Dividend J T

51. General Electric Company B D1v1dend J T Donated

(part)

I Income Gam Codes. A 41.000 or less B 41,001 -$2.500 c=$2.501 - $5.000 D=$5.001 - $15,000 E=$15,001 - $50,000

(See Columns BI and 04) f 450,001 - $100,000 G =$100,001 - $1.000.000 HI =$1.000,001 - $5.000.000 112 =More than $5,000,000

2 Value Codes J=$15.000 or less K=$15,001 -$50.000 L=$50.00 I -$I 00.000 M =$ I00.00 I -$250.000

(See Columns CI and 03) N=$250.00 I - $500.000 0=$500,001 -$1.000.000 Pl =$1.000.001 -$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

(Sec Column C2) U=Book Value V=Othcr W =l:.stm1atcd

(I)

(J-P) (J-P)

54.


08/06/2012Rendell, Marjorie 0. Page 7of12

VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children; see PP· 14-60 of filing instructions.J


A. B. c. D.

Description of Assets Income dunng Gross value at end Transactions during reporting period

(includmg trust assets) reportmg period of reporting penod

(I) (2) (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 div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code 1 buyer/sellerCode 1

(A-H) or int.) Code3 redemption) (A-H) (if private

(Q-W) transaction)

52. Donated

(part)

53. Donated

(part)

GlaxoSmithKline PLC B Dividend K T

55. Hotchkis & Wiley Large Cap Value A Dividend K T

56. Hotchk1s & Wiley Mid Cap Value A Dividend K T

57. Janus Fund A Dividend K T

58. Janus Overseas Fund B Dividend J T

59. Metropolitan West Total Return Bond c Dividend K T

60. Morgan Stanley Inst Int'! Equity A Dividend J T

61. Royce Opportunity Investment None J T

62. Schwab Advisor Premium Cash Reserve A Dividend L T

63. Sound Shore A Dividend J T

64. Third Avenue Int'! Value Fund A Dividend K T

65. Thornburg International Value A Dividend J T

66. Thornburg Limited Term Muni A Dividend K T

67. Turner Large Cap Growth None J T

68. Wal-Mart Stores, Inc. A Dividend J T Donated

(part)

l Income Gam Codes A =$1.000 or less B 41.001 • $2.500 c =$2.501 . $5,000 D =$5,001 - $15,000 c 415.001 - $50.000

(Sec Columns Bl and D4) f =$50.001 - $100.000 G =$100.001 - $1.000.000 HI =$1.000,001 - $5,000.000 HZ =More than $5.000.000

2 Value Codes J =$15.000 or less K 415.001 - $50.000 L =$50.001 -$100.000 M =$100.00 I - $250,000

(Sec Columns Cl and D3) N =$250.001 - $500 000 0 =$500.00 I • $1.000.000 Pl =$1.000.001 -$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

(Sec Column C2) U =Book Value V =Other W =Estimated

(2) (2) (2) (4)


Page 8of12 Rendell, Marjorie 0. 08/06/2012

VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.J -


A B. c. D.

De;cription of Assets Income during Gross value at end Transactions dunng reporting period

(including trust assets) reporting period ofreporting period

(I) (I) (I) (3) (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, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

69. Westcore Int'! Small Cap A Dividend J T

70. Westcore Mid-Cap Value A Dividend J T

71. Westcore M1dco Growth B Dividend K T

72. William Blair Mid Cap Growth B Dividend K T

73. William Blair Small Cap Growth None J T

74. William Blair Large Cap Growth A Dividend J T

75.

76. Beckman Coulter, Inc.

77.

A Dividend Donated (part)

Sold 0910111 I K D

78. Coca Cola A Dividend Donated

79. Federated Short-Interim Dur Muni B Dividend Sold 06/24/11 J A

80. Janus Perkins Mid cap Value None Sold 01/31/1 I K A

81. McDonald's Corp

82.

83.

A Dividend Donated

(part)

Donated

(part)

Donated

84. Schwab Advisor Premmm Cash Reserve A Dividend J T

85.

I Jncome Gam Codes A =$1.000 or Jess B =$1,001 -$2.500 c =$2,501 - $5.000 D =$5.001 - $15,000 E =$15,00 I - $50.000

(Sec Columns Bl and 04) f =$50.001 -$100,000 G =$100,001 -$1,000,000 tll =$1,000,001 -$5.000.000 H2 =More than $5.000.000

2 Value Codes J =$15.000 or Jess K =$15,001 -$50.000 L =$50.00 I -$I 00.000 M =$100.001 -$250.000

(Sec Columns Cl and 03) N =$250.00 I - $500.000 0=$500,001 -$1,000.000 Pl =$1.000.001 - $5,000,000 P2 =$5 000,001 -$25,000,000

P3 =$25.000.00 I - $50.000.000 P4 =More than $50.000,000


(Sec Column C2) U =Book Value Y=Other W =Estimated

(2) (I) (2)

90.

91.

92.

93.

94.

96.

97.

99.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT 08/06/2012Rendell, Marjorie 0.Page 9of12

VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.J


A. B. c. D.


(including trust assets) reporting period ofreportmg period

(1) (2) (I) (3) (4) (5) Place "(X)" after each asset

exempt from prior disclosure

Amount Code 1

(A-H)

Type (e.g.,

div., rent,

or int.)

Value

Code 2

(J-P)

Value

Method Code 3

(Q-W)

Type (e.g.,

buy, sell,

redemption)

Date

mm/dd/yy

Value

Code2

(J-P)

Gain

Code I (A-H)

Identity of

buyer/seller

(if private

transaction)

86.

87. Baron Growth (Y)

88. DFA Emergina Markets Core Equity (Y)

89. DFA Int'! Value (Y)

DFA One Year Fixed (Y)

Federated Gov Ultrashort Duration (Y)

Hotchkis & Wiley Large Cap Value (Y)

Janus Overseas (Y)

Metropolitan West Total Return (Y)

95. Morgan Stanley Int'! Equity (Y)

Royce Opportunity Fund (Y)

Royce Value Plus (Y)

98. Schwab Adv Cash Reserve Prem & Cash

(Y)

Third Avenue Int'! Value (Y)

I 00. Turner Core Growth (Y)

I 0 I. Turner Small Cap Equity (Y)

102. Westcore Mid Cap Opportunity (Y)

1. Income Gam Codes

(Sec Columns Bl and 04) 2. Value Codes

(Sec Columns Cl and D3)

3 Value Method Codes

(Sec Column C2)

A =$1,000 or less

F=$50.00I -$100,000

J =$15.000 or less

N =$250.00 I - $500.000

P3 =$25.000.001 • $50.000.000

Q =Appraisal

U =Book Value

B 41.001 - $2.500

G =$100,001 - $1,000.000

K =$15,001 -$50.000

0 =$500,00 I - $1,000.000

R =Cost (Real Estate Only)

V =Other

c =$2.501 -$5,000

HI =$1.000,001 -$5.000.000

L =$50,001 -$100,000

Pl =$1.000,001 - $5,000,000

P4 =More than $50.000.000

S =Assessment

W =Estimated

D =$5,001 - $15,000

H2 =More lhan $5,000,000

M =$100.001 -$250.000

P2 =$5,000,001 -$25,000,000

T =Cash Market

E =$15,001 -$50,000


Page 10of12 Rendell, Marjorie 0. 08/06/2012

VII. INVESTMENTS and TRUSTS - income, va111e, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B. c. D.


(including trust assets) reportmg period of reporting period

(I) (2) (!) (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, mm/dd/yy Code 2 Code 1 buyer/seller (A-H) or mt.) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

103. Westcore Midco Growth (Y)

104. Adams Harkness Small Cap Growth (Y)

105. Brandywine Fund (Y)

106. Dodge & Cox Stock (Y)

107. Morgan Stanley Int'! Equity (Y)

108. Rental property in Ocean City, NJ E Rent Pl w

109.

1. Income Gam Codes· A =$1.000 or less B =$1,001 -$2.500 c =$2,501 -$5,000 D =$5,001 • $15,000 E 415,001 -$50,000

(Sec Columns Bl and 04) F 450.001 -$100,000 G =$100,001 - $1,000.000 HI =$1,000,001 -$5.000.000 H2 =More than $5.000,000

2. Value Codes J 415.000 or less K =$15,001 -$50.000 L =$50.001 -$100.000 M =$100.001 -$250.000

(Sec Columns Cl and 03) N =$250.00I - $500.000 0 =$500,001 -$1,000.000 Pl =$1.000.001 -$5,000,000 P2 =$5.000,001 · $25,000.000

P3 =$25.000.00I -$50.000,000 P4 =More than $50.000,000


(Sec Column C2) U =Book Value V=Othcr W =Estimated

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate partofreport.)

AMENDED: Part VII, Line 38 - William Blair Growth was accidentally omitted from 2011 Federal Disclosure Report. It appeared on the 2010 Federal Disclosure Report in Section VII, Line 42. It has been included in the amended version.

AMENDED: Part VII, Line 80 - Janus Perkins Mid Cap Value was not completely sold in 2010; it should have been indicated in the 2010 Federal Disclosure Report Section VII, Line 92 as Sold (Part) - Value Code (J).

Part IIIB - Spouse's Non-Investment Income, Lines 1-4: We will not be reporting these items as shown in 2010.

Part VII - Investments and Trusts, Lines 02-37: Judge Rendell combined her two IRA's during 2011. These assets are representative of all assets shown in her two

IRA accounts from 2010.

Part VII - Investments and Trusts, Lines 39-73: These assets were part of Judge Rendell's• account in 20 I 0. During Calendar Year 2011, this account was split, with these holdings transferring to Judge Rendell.

Part VII - Investments and Trusts, Lines 75-83: These assets represent transactions in Judge Rendell's• account before assets were moved to her personal ,,,_,,, ·

account. The residual cash balance is represented in line #83.

FINANCIAL DISCLOSURE REPORT

Page 12of12

Name of Person Reporting


Date of Report

08/06/2012

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.

Signature_

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL

AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

Documents

AO FINANCIAL DISCLOSURE REPORT Report Required by the ...5. 3. AO FINANCIAL DISCLOSURE REPORT Report Required by the Ethics JO Rev. 111 Govenment Act of I 978 112012 . FOR CALENDAR