James Knoll Gardner Financial Disclosure Report for 2010

8/3/2019 James Knoll Gardner Financial Disclosure Report for 2010

1/11

AO IORe~. 1 /2011

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10

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

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l)Gardner, James, Knoll

4 . T i t l e ( A r t i c l e I I I 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 r s t a t u s ;magistrate judges indicate full- or p art-time)

U.S. Distric t Judge - Act ive

7 . C h a m b e r s o r O f f ic e A d d r e s sEdward N. Cahn U.S. Cour thouse504 W. Hamilton Street , #4701Allentown, PA 18101

2 . C o u r t o r O r g a n i z a t io nEastern Distric t of PA

3 . Date o f Report07/15/201 I

5 a. R e p o r t T y p e ( c h e c k a p p r o p r i a t e type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the b a s i s o f t h e i n fo r m a t i o n c o n t a in e d i n t h i s R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n , i n c o m p l i a n c ew 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 .

R e ~ , ie ~ , , i n g O f f i c e r D a t e

6 . R e p o r t i n g P e r i o dI /1 /2010

to12/31 /2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea~ Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of f i l ing ins tructions . )D (No reportablepositions.)ONE

POSITIONI. Officer , Director2. Director3. Director4. General Partner (passive investment in Subchapter "S" Corporat ion)5.

N A ME O F O RGA N I ZA TI O N / EN TI TYAllentown Symphony Associat ionBoys and Girls Club of Allentown, Inc.Pol i ce A the t i c League , Inc .1/6 share of Rental Property # 1

I I . A G R E E M E N T S . ~ R o t , o r ti n g i n d i v l d a a t o n l y ; s ,e ~ , ~ , . 1 4 - 1 6 of filing instructions.)---] N O N E (No reportable agreements.)

1.2002D A T E P A RTI ES A N D TERMS

Sta te Employees Pens ion Fund; r e t ir ement pens ion for former judic ia l po s i t ion, inc ludes medica l insurance and long-term care benefi ts, no control


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FINANCIAL DISCLOSURE REPORTPage 2 o f 11

N a m e o f P e r so n R e p o r t i n gGardne r , J ames , Kno l l

D a t e o f R e p o r t07115/2011

I ll . N O N - I N V E S T M E N T IN C O M E . tnepo.i.g individual andspouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investm ent Incom eD (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

1.2010 State Employees Pension Fund reported in Part 11 (f ixed benefi ts from avested pension plan)

INCOME(yours, not spouses)

$67 ,455 .60

B . S p o u s e s N o n - l n v e s t m e n t l n c o m e - I f you were m arried during any portion of the reportlng year, complete this section.(Dollar amount not required except for honoraria.)D (No reportable non-investment income.)ONE

1 .20102.3.4.

DATE SOURCE AND TYPEself-employed piano teacher

IV . R E I M B U R S E M E N T S - transportation, lodging, food, entertai ....(Includes those to spouse and dependen t children." see pp. 25-2 7 of filing instructions.)D (No reportable reimbursements.)ONE

3.

4.

5.

SOURCE DATESThe New York Inte l lectua l Mar c h 26 -27 , 2010P rope r l y La w Assoc i a l i on(NYIP LA)

LOCATIONNe w Y ork C i t y , NY

PURPOSE88th Annual Dinner (seePar t VIII )

ITEMS PAID OR PROVIDEDTransporta t ion, Food and Hote l


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FINANCIAL DISCLOSURE REPORTPage 3 o f 1 1

N a m e o f P e r s o n R e p o r t in gGardner, James, Knoll

V . G I F T S . a n c l , , d e s 1 h o s e I o s p o u s e o n d d e p e n a e , t c h i l d r e n ; s e e p p . 2 8 - 3 1 of filing instructions.)

2.

3.4.5.

N O N E (No reportable gifts.)S O U R C E DESCRIPTION VALUE

D a t e o f R e p o r t07/I 5/201 I

V I . L I A B I L I T I E S . a n c t u d e s 1 h o s e o l s ~ ,o ~ s e , ~ n d d e ~ , e n d e n t c h U d r e , ; s e e ~ , ~ , . 3 2 - 3 3 of filing instructions.)--] N O N E (N o reportable liabilities.)

CREDITOR DESCRIPTIONI. Pr ude nt i al A sse t R e sou r c e s, Inc . (S e e I / 6 shar e Mor t gage on R e n t al P rope rt y # 1 , Tor re nc e , C a li f o rn i a (Pa rt V II ,Par~ VIII) l iae 1)2. C hase C ard S erv ic es C redit C ard (Visa) J3.4.5.

VALUECODEO


4/11


N a m e o f P e r so n R e p o r t i n gGardne r , J ames , Kno l l

Dale of Report07/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and de penden t chi ldren; see pp. 34-60 of fi l ing instruct ions.)NONE ( No reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p t i o n o f A s s e t s Income during G r o s s v a l u e a t e n 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 in 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 ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(I) (2) (I) (2 ) (I) (2) (3). (4) (5 )

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 p e ( e . g . , Value Value T y p e ( e . g ., D a t e Valu e [ Ga in I d e n t i ty o fexempt from prior disclosure Code I div.,rent, Code2 M e th o d b u y , s e l l , m m /d d / y y Code2 [ Code I buyer/seller( A - H ) orint.) ( J - P ) C o d e 3 r e d e m p t i o n ) (J-P) It (A-H) ( i f p r i v a t e( Q - W ) i t r a n s a c t i o n )

2.

3.

4.

5.6.

8.

9.1 0 .

1 2 .

1 4 .

1 5 .

1 7 .

Rental Propeny #1, Torrence, Call fomia(1997 $533,333)Time Share i l l , Wil l iamsburg , Virg in ia(1999 $18,700)Sovere ign Bank Accou nts

D Rent O Qc R e n t K R

A Interest L TBrokerage Acc ount # I :CITIBANK NA Sou th Dakota- BankDeposi t ProgramLM C learbr idge Apprec . Fd . CI . A - Mut .Fd. (See Part VIII)Calamos Conver t ib le & High Income Fund -Closed End Fund

A InterestA Div idendA Div idend

JJJ

TTT

Wells Fargo & Com pany - Common S tock A Dividend JWells Fargo Company - Corporate Bond A Interest .ICalamos St ra t eg i c Total Return Fund -Closed End Fund A DividendEaton Vance Tax Eqty. Inc. Fd.- Closed End B DividendFundNuStar Energy L.P. - Common S tock A Int.,Div. JBT G ro u p P L C A D R - U SD - Co m m o nStockBlackRock Global Al loc . Fd - Mu t . Fd. (SeePart VIII )BlackRock Global Alloc. Fd. - Mut. Fd. (SeePart VIII )CITIBANK NA -NV *C* - Cer t . o f Depos i t(Y) (See Part VIII)In t el Corporation - Com mon Stock

A DividendA Div idend

None

A Dividend

JK

K

T

T

T B u y

Ma t u re dT

I 1 / 1 8 / 1 0

07/22/I 0

J

J

N /A

N /A

I. Income Gain Codes:(See Columns B I and 04)

2.Value Codes(See Columns C I and D3)

3. Value Method Codes(See Column C2)

A =$1,000 or lessF =$50.001 - $100.000J =$15,000 or lessN =$250.001 - $500.000P3 =$25,000,001 - $50.000.000Q =A pp ra i sa lU =Book Value

B =$1,001 - $2,500G -$100,0OI - $1.000.000K $15,001 - $50.0OOO = $ 5 0 0 . 0 0 1 - $ 1 , 0 O O , 0 0 0R :Cost (Real Estate Only}V O t h e r

C =S2.501 - $5.000HI S 1.000.001 - $5.000.000L $50.001 - $100.000PI =$1.000.001 - $5.000.000P4=More than $50.000.000S Asscssmcnl\V-Eslimated

D =$5.001 - $15,000H2 =M ore than $5,000,000M -$100,001 - $250.1)00P2 =$5.000.001 - $25,000.000T =Cash Market

E =$15,001 - $50,000


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D a t e o f R e p o r t07/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , , a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 o/filing instructions.)N O N E (No reportable income, assets, or transactions.)

D esc ri p t ion of A ssets In c o m e d u rin 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

O) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o un t T y p e ( e . g . ,e x e m p t f ro m p r io r d i s c l o s u r e Code I d i v . , r e n t ,( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(t) (2)

V alu e V alu eC o d e 2 M e th o d

( J -P ) C o d e 3( Q - W )

(t )T y p e ( e . g . ,b u y , s e l l ,r e d e m p t i o n )

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(2) (3) (4)D a t e Value Gain

m m/ dd/ yy C od e 2 Code I(J-P) (A-H)

(5 )I d e n t i ty o fbuyer/seller( i f p r i v a t e

t r a n s a c t i o n )

1 8 .

1 9 .

20 .21 .

McDonalds Corporat ion - C ommon Stock A Div idend J TMerck & Comp any, Inc . - Common Stock(Y) (See Part VIII)Teva Pharmaceut i ca l Indus t r ies - C ommonStockBaron Growth Fund-Mutual Fund

A Dividend

A DividendNone

JJ

TT

Sold 04123110 N /A

22 .23 .

24 .25 .26 .27 .

Ea ton V ance Large -Cap V a lue F und C las s A A D iv idend- M u t u a l F u n dT

Janu s Forty C lass S - M u tu al Fu nd N one JLazard Emerg ing M arkets Por t Fund - A DividendMutual FundPimco Total Return Fund Class D - M utual A Div idendFundPimco Comm odi ty Real Re tum Fund C lassD - Mu tua l Fund A DividendT Rowe In t l Bond Fund - Mutual Fund A Div idend J

28 .29 .30 .31 .32 .

133.

Royce Premier Fund - Mutual Fund A D iv idend JWest Perry Schl. Dist . Bond - MunicipalBondNew York Comm un. Bank-NY - Cer t . ofDep. (Y) (See P t . VI I I )Branch Bank ing & Trus t Co.- Cer t . o f Dep .(Y) (See Pt. VIII)Midfirst Bank-OK - Cert . of Dep. (Y) (SeePart VII1)Johnson & Johnson - Common S tock

A InterestA Interest

A Interest

A Dividend

TMatu red 01/22/10 JMatured 04122110 J

N /AN /A

34 . M a g e l la n M ids t r e a m Pa r tner s LP - Com m o n AStock Div idend

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2 ,500 C =$2 ,501 - $5,000 D =$5,001 - $15,000(S ee C olu mn s B I an d D 4) F =$5 0.0 ~1 - $1 00 ,0 ~) G =$100,001 - $1,00~.00~ HI =$ 1,0~0.001 - $ 5 .000.0~) H2 =M ore than $5.000,000

2. Value Codes J =$15,000 or less K = $15.001 - $ 50.000 L = $50.001 - $ 100.000 M =$ 100,001 - $250,000(See Columns CI and D3) N =$250.001 - $500.000 O $500.001-$1,000.0OO P I =$ 1.000.001 - $5,000,0OO P2 =$5,000,001 - $25,000.00 0

P3 -$25,000,0OI . $50.000.000 P4 -More than $50,000,0003. Value Method Codes Q =A pp ra i sa l R =C osl (Real Estale Only) S =A ssessment T =Cash Market(Sc Column C2) U =Book Value V Olhcr W =E:, t imated

E =$15,0OI- $50.000


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FINANCIAL D ISCLOSURE REPORTPage 6 o f 11

N a m e o f P e r s o n R e p o r t i n gGardne r , James , Kno l l

D a t e o f R e p o r t07/I 5/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, ,alue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descr i p t ion of Asse t s I n co me d u r i n g( in c lud ing t rus t assets) r epor t ing per iod

0) (2)Place ~(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I div . , r en t ,(A-H) o r i n t . )

Gross value at en dof r epor t ing per iod(i) (2)

V a l u e V a l u eC o d e 2 M et h o d(J-P) C o d e 3

( Q - W )

Type (e.g.,buy, sell ,

r e d e mp t i o n )

Transact ions dur ing repor t ing per iod

( 2 ) (3) (4)D a t e Value Gain

mm lddlyy Code 2 Code I(J-P) (A-H)

(5 )Iden t i ty o f

buyer/seller( i f p r ivate

t r ansact ion)

35 .

36 .

37 .

38 .

39 .

40 .

41 .

42 .

43 .

Microsof t Corp . - Common Stock A Dividend J TD W S F l o a ti n g R a t e F u n d C l a s s C - M u t u a lF u n dD W S M u n i c i p a l B o n d F u n d C l a s s C -M u t u a l F u n dM ains t ay Corpora te Bond F u nd Clas s A -M u t u a l F u n dEn d of B roke rage Acc oun t # 1

Brokerage A ccount #2 (Cus tod i a l A ccount# I ) redeemed 5/20/04Brokerage A ccount #3 (Cus tod i a l A ccou nt# 2 ) r e de e m e d 8 /28 /0 7B roke ra ge Accoun t # 4 :

A D iv idend

A Interest

A D iv idend

J

J

T

T

T

B uy 04/23/10

Johnson & Johnson - Common Stock A Dividend J T

N /A

44 .45 .46 .47 .48 .49 .

LM Clearbr idge Apprec . Fd . CI. A-Mu t .Fund (See Part VIII)LM CBA Equi ty Inc . Fd. CI. B - Mu tua lFund (See Part VIII)Ea ton Vance Globa l Return Fund - Mutua lFundEnd o f Brokerage Account #4

A Dividend

A DividendA Dividend

T

SoldT Bu y

04/23/1004/26/I 0

J

J

Time Share #2 , W il l iamsburg , Virg in ia(2002 $19 ,900 )IRA #2

C R e n t R

N/ AN/ A

50 .51 .

Royce Total Return Fund Consultant -Mutual Fund A Dividend

Invesco Va n Kam pen Eq.& Inc. Fd. CI. C-Mu t. Fd. (See VIII) A Dividend

1. Income Gain Codes: A =$1.000 or less B -$1,001 - $2,500 C =52,501 - 55 ,000 D =$5,001 - 515,000(See Columns B I and D4) F -S50.001 - $100,000 G =$100.001 - $1,000,000 HI =$1,0OO,001 - $5.000,000 H2 =M ore than $5,000.000

2. Valu e C odes J =$15,000 or less K =$15,001 - $50.000 L =$50,001 - $ 100.000 M =$ 100,001 - $250,0(~(See C olu m ns C I and D 3} N -$250.0~1 - 550~ .009 O =$500.0~ 1 - 51 ,0~ },000 PI =$1,000.001 - $5 ,0~),000 P2 =$5,0~0.001 - $25,000.00~

P3 =$25,0~0.0~1 - $50.000.000 P4 =More than $50.0~0,00~3. Value Method Codes Q =App raisal R =C ost (Real Estate Only) S =Assessment T =Cash Markett see Column C2) U =Book Va lue V -O ther W =Estimated

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


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FINANCIAL DISCLOSURE REPORTPage 7 o f 1 1

N a m e o f P e r s o n R e p o r t in gGardne r , J ames , Kno l l

D a t e o f R e p o r t07/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , , e . , , a l u o , t r a n s a c t io n s (Includes those of spouse and dependent children; see pp. 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )NONE ( No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Income during( 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 )~ after each asset A m o u n t T y p e (e . g . ,

exempt from prior disclosure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(t) (2)Value Value

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

(i)T y p e ( e . g .,b u y , s e l l ,r e d e m p t i o n )

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(2) (3) (4)

D a t e Value G a i nm m / d d / y y C o d e 2 Code I(J-P) ( A - H )

I d c m i ty o fbuyer/seller( i f p r i v a t e

t r a n s a c t i o n )

52 .53 .54 .

55 .56 .57 .

58 .59 .60 .

61 .62 .63 .64 .65 .

66 .

Ameri can Funds-Growth Fund of Am eri caClass C - Mutual FundOp penheimer Develop ing Market s FundClass C - Mutual FundLincoln Nat iona l Li fe Insurance Co -AnnuityLord Abbet t Cap. Str. Fd. CI . C - Mut. Fd.(See Part VII1)Government Nat ional Mortgage Assoc ia t ionClass JB - BondCITIBANK NA Sou th Dakota - BankDeposi t ProgramCisco Sys tems Inc . - Common Stock

A Div idend K TNone J TNone L T

A Interest RedeemedA Interest K T

None J T

08/20/10 :

BlackRock Global Al loca t ion Fu nd Inc . -Mutual FundPutnam Asset Al locat ion Balanced C lass C -M u tu a l FundConsol ida ted Edison Inc . - C ommon S tock

A Div idend KA Div idend JA Dividend J

TTT Bu y 04/27/I 0

GNMA REMIC-Ser i es 2004 -75 Class 75 -NG-Asset Backed Secur i tyGinnie Mae Ser i es 2009-88 Class KD-AssetBacked Secur i tyBond Fund of Ameri ca Class C - MutualFundGNMA REMIC-Ser i es 2010 -59 Class CA-Asset Backed Securi tyEnd of IRA #2

A Interest K TA Interest J TA Dividend K TA Interest J T Bu y 04/27/I 0

N /A

N /A

N /A

67 . New York Li fe Wh ole Li fe A Dividend L68 . Brokerage Account #5 :

I. Income Gain Codes:(See Columns B I and D4)

2.Value Codes{See Co lum ns CI and D3 )

3. Value Method CodesIScc Co lunm C2)

=$1,000 or less=$50.001 - $10O,000= $ I 5.000 or less

N =$250.001 - $500.00~P3 =$25.000.001 - $50.000,000Q =A pp ra i sa l

=Book Value

B=$1,001 - $2,500G =$100.0~1 - $1.000,000K=$15.001 - $50.000O -$500.001 - $1,000.000R =Cosl (Real Estate Only}V =Oth e r

C =$2,501 - $5,000H I =$ 1.0O0.001 - $5.000.000L $50.001 - $100,0, i~)PI =$1,00O.~01 - $5.000,000P4 =M ore than $50.000,000S =A ssessmentW =Estimated

D =$5,001 - $15,000H2 =M ore than $5,000.000M =$100,001 - $250.0~OP2 =$5,000,001 - $25.0~0,000T =Cash Market

E =$15.001 - S50,000


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D a t e o f R e p o r t07/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a lu e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s Income during G r o s s v a l u e a t e n d( 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 o f r e p o r t i n g p e r i o d0) (2) (i) (2)Place "(x)" after each asset A m o u n t T y p e ( e . g . , Value Valuee x e m p t f ro m p r io r d i s c l o s u r e Code | d iv . , r e n t , C o d e 2 M e th o d( A - H ) or in t . ) ( J -P ) C o d e 3

( Q - W )

O)T ~ (e.g.,b u y , s e l l ,

r e d e m p t i o n )

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(2) (3) (4) ( 5 )

Date Value Gain Iden t i ty o fmm/ d d / y y Code2 i Code l buyer/ sel ler

(J-P) [ (A-H) (ifprivateWansac t ion)

69 .

70 .

72 .

73 .

AB ln termed. Bond Fund Class A - M ut . Fd .(See Part VIII)AB G rowth & Income Fund Class A -Mutual Fund

A Div idendNone

Sold 04/22/I 0Sold 04/22/10

JJ

AB Smal l and Mid Cap V alue Fund - ClassA - Mu tual Fund

None Sold 04/22/10 JAB Intl Growth Fund Class A - Mutu alFund None Sold 04122/10 JAB Growth Fund Class A - Mutual Fund None Sold 04/22/10 J

N /AN /AN /AN /AN /A

74 . AB Sm al l Cap Growth Fund C lass A -Mutual Fund75 . End of Brokerage Account #576 . KNBTBank Accounts

None

B Interest K

Sold 04/22/10 J N /A

77 . Rental Property #2, Lehigh County, PA D Rent M(2006 $250 ,000 )78 . Fun $ Investment Club - Partnership A Int. /Div. J79 . U.S. Savings Bonds A Interest J80 . Fidel ity Mutual L i fe Insurance Co. - whole A Dividend Jlife

RTTT

I. Income Gain Codes: A =$1,000 or less B =$ 1,001 - $2,500 C =$2 .501 - $5,000 D =$5.001 - $15,000(See Columns BI and D4) F =$50.001 - $100.000 G =$100.001 - $1,000.0~0 HI =$1.000.001 - $5.00,00~ H2 =M ore than $5.000.000

2. Val ue Codes J = $15.000 or less K -$15,001 - $ 50,000 L =$ 50,001 - $ 100.000 M = $ 100,001 - $250,000(See Columns CI and D3) N =$250.001 - $500,000 O =$500.001 - $1,000.000 PI =$1.00~,001 - $5.000,000 P2 =$5,000,001 - $25,000.1)00

P3 $25.000.001 - $50.000.000 P4 =M ore than $50,000.0003. Value Method Codes Q =A pp ra i sa l R =C ost (Real Eslate Only) S =A ssessment T =Cash Market

(See Co lum n C2 ) U =Book Value V - O t h e r W =Estimated

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


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FINANCIAL D ISCLOSURE REPORTPage 9 o f 11

N a m e o f P e r so n R e p o r l i n gGardne r , J ames , Kno l l

D a l e o f R e p o r t07/15/201 I

V I II . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . flndicate part of report.)I . Re Par t IV, Line I : The Annual D inner a t the mee t ing of the New Y ork Inte llec tua l Proper ty Law Assoc ia t ion (NYIPLA) he ld March 26 and 27 , 2010 inNew Y ork City, NY, is properly descr ibed in the within 2010 Financ ial Disclosure Rep ort in Part IV, Line I (Page 2 o f I I ) as the "88th Annual Dinn er". In PartIV, Line I of the 2009 F inanc ia l D isc losure Repor t (Page 2 of I I ) , the Annual D inner a t the mee ting of N YIPLA, he ld March 27 and 28 , 2009, was incor rec t lydescr ibed as the "86 th Annual D inner" . However , Part IV, Line 1 , Column H eading "PURP OSE " in the 2009 F inanc ia l D isc losure Repor t should read" "87 thAnnual D inner".

2. Re Par t VI , L ine I : In Par t VI , L ine I of the w i th in 2010 F inanc ia l D isc losure Repor t (Page 3 of I I ) , the "CREDITO R" i s descr ibed as Prudent ia l Asse tResources , Inc . In Par t VI , L ine I of tbe 2009 F inanc ia l D isc losure repor t (Page 3 of I I ) the "C REDIT OR i s descr ibed as Johnson C api ta l . Ef fec t ive Ap r i l 16 ,2010 , the serv i c ing of t h i s mortgage was t rans ferred f rom Johnson Cap i t a l Group , Inc . t o Prudent i a l Asset Resources , Inc .3. Re Part VII, Line 6: The abbreviation "LM" means Legg Mason.4. Re Par t VI I , L ines 14 and 15: Shares of BlackRock G lobal Al loca t ion Fund - M utua l Fund ("BlackRock") were purchased each month f rom October 2008through M ay 2009, and in November 2010. The 2008 p urchases were repor ted on Par t VI I , L ines 30 , 31 and 32 of the 2008 F inanc ia l D isc losure Repor t (Page 5of 10); and the 2009 purchases were reported in Part VII, Lines Ig, 19, 20, 21 and 22 of the 2009 Financial Disclosure Report (Page 5 of I I ).

The shares purchased in October, November and December 2008 were re-reported in the 2009 Financial Disclosure Report where they were consolidated in o n eent ry on Par t VI I , L ine 17 (Page 4 o f I 1 ) .The shares purchased in November 2010 are reported in the within 2010 Financial Disclosure Report in Part Vll, Line 15 (Page 4 of I I ). The shares purchasedin 2008 and 2 009 are re-reported in the within 2010 F inancial Disclosu re Report in Part VII, Line 14 (Page 4 of I 1). (All of the shares purchased in 20 08, 2009and 2010 were retained through December 31, 2010 and reported in the within 2010 Financial Report as assets held at the end of 2010.)In Par t VI I , L ines 17 through 22 , Column B. (2) (Type of Incom e earned dur ing the report ing per iod) in the 2009 F inanc ia l D isc losure Repor t (Pages 4 and 5 of1 I) the type of income is mistakenly designated "Interest". However, i t should read "Dividend " in each ofthose places. Similarly, in Part VII, Lines 30 and 3 I ,Column B.(2) in the 2008 Financial Disclosure Report , "Interest" should read "Dividend".

5 . Re Par t VI I , L ine 16 : The CITIBANK NA-NV *C* Cer t i f i ca te of Deposi t r epor ted in Par t VI I , L ine 16 was bou ght on July 14 , 2009. Tha t purchase wasreported in Part VII, Line 24 of the 2009 Financial Disclosure Report (Page 5 of I I ). The Cert ificate of Deposit matured and was redeemed on July 22, 2010. Thatmaturi ty is reported in Part VII , Line 16 of the within 2010 Financial Disclosure Report (Page 4 of I 1). 1 inserted "(Y)" to indicate that this previously reportableasse t is otherwise not reportable in 2010. While the asset remained above the asset value threshold in 2010, i t was not owned at the end of the year 2010, and theasse t never exceeded the income threshold.6 . Re Par t VI I , L ine 19: The Merck & Com pany, Inc . Common S tock repor ted in Par t VI I, L ine 19 was boug ht on July 8 , 2009. Tha t purchase was repor ted inPar t VI I , L ine 31 of the 2009 F inanc ia l D isc losure Repor t (Page 5 of I I ) . A l l shares of the C ommon S tock were sold on A pr i l 23, 2010. Tha t sa le i s r epor ted inPart VII, Line 19 of the within 2010 F inancial Disclosu re Report (Pag e 5 of I 1). I inserted a "(Y)" to indicate that this previously reportable asset is otherwise notreportable in 2010. W hile the asset remained abov e the asset value threshold in 2010, i t was not owned at the end of the year 2010, and the asset did not exceedthe income threshold in 2010.

7. Re Par t Vl l , L ine 30: The New Y ork Commu ni ty Bank-NY Cer t i f i ca te of Deposi t r epor ted in Par t VI I , L ine 30 was bough t on July 14 , 2009. Tha t purchasewas reported in Part VII, Line 44 of the 2009 Financial Disclosure Report (Page 6 of 11). The Cert ificate of Deposit matured and was redeemed on January22, 2010 . That matur i ty is reported in Part VII, Line 30 of the within 2 010 Financ ial Disclosure Rep ort (Page 5 of I I ). I inser ted a "(Y)" to indicate that thispreviou sly reportable asset is otherwise not reportable in 2010. While the asset remained above the asset value threshold in 2010, i t was not own ed at the end ofthe year 2010, and the asset never exceeded the inco me threshold.8. Re Part VII, Line 31 : The Branch Banking and Trust Co. Cert ificate of Deposit reported in Part VII, Line 31 was bought on July 14, 2009. That purchase wasreported in Part VII, Line 45 of the 2009 Financial Disclosure Report (Page 6 of I I ). The Cert ificate of Deposit matured and was redeemed on April 22, 2010.That maturi ty is reported in Part VII , Line 31 of the within 2010 Financial Disclosure Report (Page 5 of I I ) . 1 inserted a "(Y)" to indicate that this previouslyreportable asset is otherwise not reportable in 2010. While the asset remained above the asset value threshold in 2010, i t was not owned at the end of the year2010, and the asset never exceeded the inco me threshold.9 . Re Par t VI I , L ine 32: A Midf i r s t Bank-OK C er t if i c ia te of Deposi t was pu rchased September 15 , 2009 and repor ted in the 2009 F inanc ia l D isc losure Repor tin Par t VI I , L ine 46 (Page 6 of 11) . The C er t if i ca te of Deposi t was ca l lable, and was redeemed through a Ful l Ca l l on December 23, 2009. Th is r edempt ion ~vasinadvertent ly omit ted from the 2009 Financial Disclosure Report , which should have contained another l ine in Part VII . Column D.( I ) (Type of t ransact ionsdur ing repor t ing p er iod) of th i s addi t iona l line should have read "Ful l Ca l l" . Column D. (2) (Da te ) shou ld have read "12/23/09" . Column D. (3) (Value Code)should have read "J". And Co lumn D .(5) (Identi ty of buyer/seller (i f pr ivate transact ion)) shou ld have read read "NA".I0 . Re Par t VI I, L ine 44: The abbrevia t ion "LM" means Legg M ason. From O ctober 1 , 2009 to Augus t 31 , 2010 th i s Mu tua l Fund was des igna ted "Legg M asonClearbridge Ap prec ia t ion Fund Class B" . On Sep tember I , 2010 the fund was redes igna ted "Legg M ason Clearbridge Ap prec ia t ion Fund Class A" . Pr ior toOctober I , 2009, the fund was des igna ted "Legg M ason Par tners Apprec ia t ion Fund C lass B" . (See Part VI I I , Footnote 5 in the 2009 F inanc ia l D isc losure Repor t( P ag e 10o f I 1 ) . )I I . Re Par t Vl l, L ine 45: The abbrevia tion "LM" m eans Legg M ason. From October I , 2009 to January 31 , 2010 th i s Mu tua l Fund was des igna ted "Legg MasonClearbridge Capi ta l and Income Fu nd Classs B" . On February 1 , 2010 the fund w as redes igna ted "Legg Mason C BA E qui ty Income Bui lder Fund C lass B" . Priorto Oc ober 1 , 2009, the fund w as des igna ted "Legg M ason Par tners Capi ta l and Income Fu nd Class B" . (See Par t VI I I . Footnote 6 in the 2009 F inanc ia l D isc losureRepor t (Page 10 of I I ) . )


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FINANCIAL DISCLOSURE REPORTP a g e 10 o f 1 1


D a t e o f R e p o r t07/I.5/201 I

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. an~ica,opa~ of report.)12. Re Par t VI I , L ine 51: In Par t VI I , L ine 60 of the 2009 F inanc ia l D isc losure Repor t (Page 7 of I I ) , th i s Mu tua l Fund was des igna ted "Van Kamp en Equi ty &Income Class C" . On M ay 28 , 2010, the fund changed i t s name to " lnvesco Van Kampen Equi ty & Income Fund Class C" and i s r epor ted in i t s new name in thewi th in 2010 F inanc ia l D isc losure Repor t in Par t Vl l , L ine 51 (Page 6 of I I ) .13. Re Part VII, Line 55: In Part VII, Line 66 of the 2009 Fin ancial Disclosure Rep ort (Page 7 of I 1), this Mutu al Fund was design ated "Lord Abbett Am ericasValue Fu nd Class C". On July I , 2009, the fund chang ed i ts name to "Lord Abbett Cap ital Structure Fund C lass C" and is reported in i ts new name in the within2010 F inanc ia l D isc losure Repor t in Par t VI I , L ine 55 (Page 7 of I I ) . On O ctober 9 , 2009 Lord Abbe t t Capi ta l S t ruc ture Fund Class C was sold, but the 2009Financial Disclosure Report inadvertently failed to reflect ei ther the name change or the sale. Part VII, Line 66 of the 2009 Financial Disclosure Report shouldhave read as fol lows: Column A . (Descr ip t ion of A sse t s) : Lord Abbe t t Capi ta l S t ruc ture Fund Class C - Mu tua l Fund; Column B. (2) (Type of Income du r ingrepor t ing per iod) : None; Column D . (I ) (Type of t r ansac t ion) : Sold; Column D. (2) (Da te ) : 10 /09/09; Column D . (3) (Value Co de) : J ; and Column D . (5) ( Identi tyof bu yer/seller (i f pr ivate transact ion)): N/A.14 . Re Par t VI I , L ines 69, 70 , 71 ,72, 73 and 74: Th e abbrevia t ion "AB" means A l l iance Berns te in.


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FINANCIAL DISCLOSURE REPORTPage I1 of 11

Name of Person Report ingGardner, James, Knoll

Date of Report07/15/201 I

IX . CERTIFICATION.I cer t i fy tha t a l l in format ion g iven above ( includ ing in format ion per ta in ing to my spouse and minor or dependent ch i ldren , i f any) i s

accu ra te , t rue , and com plete to the bes t o f my knowledge an d bel ief , and that any in format ion no t repor ted was w i thheld because i t met ap p l icab le s ta tu toryprov is ions permi t t ing non-d isclosure .I f u r t h e r ce r t i fy t h a t e a r n ed i n co me f r o m o u t s i d e emp lo ymen t an d h o n o r a r i a an d t h e a ccep t an ce o f g i f t s wh i ch h av e b een r ep o r t ed a r e i ncomp l iance wi th the p rov is ions o f 5 U.S.C . app . 501 e t . seq ., 5 U.S.C . 7353 , and Jud ic ia l Conference regu la t ions .

Signature: S /Knol l Gardner , Jam es

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L LY F A 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 PO 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 MI N A L S A N C TI O N S (5 U . S .C . a pp . 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Documents

James Knoll Gardner Financial Disclosure Report for 2010