Jon O Newman Financial Disclosure Report for 2010

8/3/2019 Jon O Newman Financial Disclosure Report for 2010

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A O 1 ~ 1Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10Report Re quired by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t, middle initial)N E W M A N , J o n O .

4 . T i t l e ( A r t i c le 1 1 1 j u d g e s indicate active o r s e n i o r status;magistrate judges indicate full- or part-time)S en io r C i r c u i t J ud ge

7 . C h a m b e r s o r O f f i ce A d d r e s sU.S. Cour thouse450 Main St ree tHar t ford, CT 06103

2. Court or Organizat ionU.S.C.A. , Second Circu it

3. Date of Report05/04/2011

5a . Repo r t Type ( check appro pr ia te type)

] N om ination, D ate[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the inform at ion contained in this Report and anymodif ications per tain ing thereto , i t is , in my op inion, in compliancewi t h a pp l i ca b l e l a ws a nd re g u l a t ions .

R e v i e w i n g O f f i c e r D a t e

6. Report ing Period01/ 01/ 2010to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. 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 . ( R e p o n i n g i n a i v i d u o i o n l y ; s e e p p . 9 - 1 3 of filing instructions.)~ NONE(N o reportable posit ions.)POSITION N A M E O F O R G A N I ZA T I O N / E N T IT Y

1. Corpora t 0r Hart ford Hos p i t a l2. Corpora t o r Ins t i tu t e of L iv ing3. E lecto r H ar tfo rd A then eu m4. Life R eg en t U n iv e rs ity of H ar tfo rd

5. Bo ard M e m b e r C o n n e c tic u t A p p le se e d F ou n d a tio n

6. Ch a ir Fr ie nd s o f the Lib rary o f the Su p rem e C o u r t o f Is r ae l, Inc .7. C o m m i t t e e M e m b e r Endowm ent Foundat ion o f the Jewish Federa t ion o f Greater Har t fo rd , Inc .8. Trus tee

I I . A G R E E M E N T S . ~ R e p o n i n g i n d i v id u o t o n t y ; s e e p p . 1 4 - 1 6 of f!ling instructions.)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 o f 26N a m e o f P e r so n R e p o r t i n gN E W M A N , J on O .

Date of Report05/04/2011

III. N O N - I N V E S T M E N T I N C O M E . ( ~ e p o . i . g individual and spouse; seepp. 17-24 of filing instructions.)A. Filer s Non-lnvestment Income

~ (No reportable non-investment income. )ONEDATE SOURCE AND TYPE

2.3.4.

.INCOME(yours, not spouses)

B . S p o u s e s N o n - ln v e s tm e n t I n c o m e - I f you were married during anyportion of the reporting year, complete this section.(Dollar amount n at required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

1.

2.3.4.

I V . R E I i M B U R S E M E N T S - transportation, lodging, s food, enter ta inment .(Includes those to spouse and depe ndent children; see pp. 2 5-27 of filing instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

1.2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDE


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 2 6

N a m e o f P e r s o n R e p o r t in gNEWMAN, Jon O.

Date of Report05/04/201 I

V . G I F T S . a . c t u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s those of spouse and dependent children;.seepp. 32-33 of filing instructions.)D N O N E (No reportable liabilities.)

CREDITORI. SmithBamey2.3.4.5.

Credit LineDESCRIPTION VALUECODE

0


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FINANCIAL DISCLOSURE REPORTPage 4 o f 26

Name of Person ReportingNEWMAN, Jon O.


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

A. B. C. D.Descr iption of Assets Income during Gross value at end Transac tions du r ing repor t ing per iod( including trus t assets) repor t ing per iod of reporting period

( 1 ) ( 2 ) (1) (2) (1) (2) (3) (4) (5 )Place "(X)" after each asset A mount Typ e (e.g ., V alu e V alu e Type (e.g., D a t e Va l u e Gain Identity ofexempt f rom pr ior disc losure Code 1 div., rent, Code 2 Method buy, sell , mm/dd/yy Code 2 Code 1 buyer/sel ler(A-H) o r i n t . ) ( J - P ) Code 3 redem ption) (J-P) (A-H) (if p rivate(Q-W ) transaction)

1 . B ANK ACCOUNTS AND CASH:2. Ba nk of America -- West Htfd . CT., A I n t e r e s t KChecking Acct.3. Smith Ba rney, New Ha ven, CT., Money A I n t e r e s t JMarket Acct.4. ~ P e o p l e s B a n k A Interest J5. ~ i ~ .~ S o v e r e ig n B a n k A I n t e r e s t K6. B O N D S :7. Houma La. Transit l I C I n t e r e s t L8. Lafayette La. Transit 11 B I n t e r e s t K9. W. Monroe La. 11 A I n t e r e s t J1 0 . Conn. Health 4.9 13 B I n t e r e s t K1 1 . Cheshire 5.010 B I n t e r e s t1 2 . Stratford 10 3.0 A I n t e r e s t1 3 . Meriden l l 3 .75 B I n t e r e s t L1 4 . Stamford 10 3.0 B I n t e r e s t1 5 . CT G.0I0 4.9 B I n t e r e s t1 6 . CT Tax12 4.3 A I n t e r e s t J1 7 . Seymou r CTI3 3 .5 A I n t e r e s t L

TTTT

T

T

T

T

TT

M a t u r e d 11/01/10 LM a t u r e d 02/16/10 K

M a t u r e d 09/01/10 LM a t u r e d 06/15/10 K

1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500( S e e C o l u mn s B l a n d D 4 ) F = $50,001 - $100,000 G = $ 100,001 - $ 1,000,000

2. Value Codes J = $ 15,000 o r les s K = $ 15,001 - $50.000(See Columns C I and D3) N =$250,001 - $ 500,000 O =$ 500,001 - $ 1,000,000

P3 -$25,000,001 - $50,000,0003. V alue M ethod Codes Q = A ppraisal R = Cost (R eal E s tate O nly )(See Column C2) U =Book Value V = O t h e r

c = $ 2 , 5 0 1 - $ 3 , 0 0 0H 1 =$1,000,001 ! $ 5,000,000L = $50,001 - $ 100,000P 1 =$1,000,001 ~ $5,000,000P4 = M ore than $50,000,000S = A s s e s s me n tW =Est imated

D =$5,001 = $15,000H2 = M ore than $5 ,000,000M = $ 100,001 - $250.000P2 =$5,000,001 - $25,000,000T = C a s h M a rk e t

E =$15,001 o $50,000


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FINANCIAL DISCLOSURE REPOR TPage 5 o f 26

Name of Person ReportingNEWM AN, Jon O.


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 dependent children; see pp. 34-60 of filing instructions.)D N O N E (No repor tab le incom e, asse t s , or t ran sac t ions .)

D es c r i p t i on o f A s s e t s T rans ac t i ons du r i ng r epor t i ng pe r i od( i n c lu d i n g t r u s t a s s e t s )

I n c o m e d u r i n g Gros s v a l u e a t e n dr 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

(1 ) (2 ) (1) (2) (1 )Place "(X)" after each asset Amount Type (e.g., Value V a l u e Type (e.g.,exempt from prior disclosure Code l d iv ., r e n t , C o d e 2 M e t h o d bu y , s e l l ,

( A - H ) or int . ) (J-P)

(2) (3) (4)D a t e V a l u e G a i n

mm/dd/yy C o d e 2 C o d e 1( 5 )

1 8 . Bro o kf i e l d CT1 4 3 .51 9 . CT Spl . Tax 12 5.5

20. G ro to n 12 4.021 . C T 13 4 .2522 . Puer to Rico 14 5.2523 . Bridgepo rt l l 4 .2524 . Bridgepor t 12 5.025 . CT G.0 . I3 5 .026 . Hartford Cty . 13 3 .2527 . Fair f ie ld 15 4.2528 . Bridgepor t l 3 5 .029 . CT G.0 . I3 5 .37530 . CT G.0 . I4 5 .03 1. CT He a lth 1 0 4 .432 . Glastonbury 13 4.2533 . W es t Haven 1 0 5 . 534 . CT G.0. 20 5.0

C o d e 3(Q-W)

B I n t e r e s t K TB I n t e r e s t K TB I n t e r e s t L TB I n t e r e s t L TC I n t e r e s t K TB I n t e r e s t - L TB I n t e r e s t L TB I n t e r e s t L TC I n t e r e s t M TB I n t e r e s t L TB I n t e r e s t L TC I n t e r e s t M TC I n t e r e s t M TB I n t e r e s tB I n t e r e s t L TB I n t e r e s tC I n t e r e s t M T

redemption) ( J o P )

Matured 07/01/10 K

M a t u r e d 12/15/10 K

( A - H )Identity of

buyer/sel ler(if private

transaction)

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

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 = Appra i sa lU =Book Value

B =$1,001 - $2,500G =$100,001 - $1,000,000K=$15,001 - $50,000O =$500,001 - $ 1,0~0,000R =Cost (Real Es ta te Only)V = O t h e r

c = $ 2 1 5 0 1 - $ 5 , 0 0 0H I =$1,000,001 - $5,000,000L =$50,001 - $100,000P 1 =$1,000,001 - $5,000,000P4 =More than $ 50,000,000S = A s s e s s me n tW =Est imated

D = $ 5,001 - $15 ,000H2 =More than $5,000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a rk e t

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPOR TPage 6 of 26

N a m e o f P e r s o n R e p o r t in gN E W M A N , Jo n O .


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 dependent children; seepp. 34-60 of filing instructions.)N O N E (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 Transactions during reporting period( 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 in g p e r i o d o f r e p o r t i n g p e r i o d( 1 ) ( 2 ) (1) (2) (l ) (2) (3)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u nt T y p e ( e .g ., Value Value T y p e ( e . g ., D a t e Valuee x e m p t f r o m p r i o r d i sc l o s u re Code I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d ! y y C o d e 2(A- H) o r i n t . ) ( J - P ) Code 3 redem ption) ( J - P )

( Q -W )

35 . CT G.0 . I0 3.5 A Interest36 . U Co nn 1 0 2.9 A Interest37 . UC onn l 1 3 .2 A Interest J T38 . CT RF D G , 1 6 5 .0 C Interest M T39 . CT S p l . Tax 1 5 2 . 7 5 B Interest M T40 . CT HeaI th 1 6 5 . 0 C Interest M T41 . Ne w H a v e n 12 4 .0 B Interest L T42 . CT H ea l th 1 5 3 . 4 A Interest L T43 . Har t f o r d 1 5 5 . 2 5 C Interest L T4 4. N o rth B ra nf or d 1 6 3 .7 5 C Interest L T45 . C T G .0 I6 4 .0 B Interest L T46 . No r w c h 1 3 4 , 3 7 5 B Interest L T47 . UC onn . 16 5 .0 B Interest L T48 . D arien 14 2 .0 A Interest L T49 . Brookfie ld14 3.5 B Interest L T5 0. S tr atf or d 1 3 3.2 5 A Interest L T51 . CT H sg . F in . 1 2 0 .9 A Interest L T

Matured 12/01/10Matured 02/10/10

Bu y 01/19/10Bu y 01/19/10Bu y 01/22/10Bu y 03/03/10Bu y 03/03/10Bu y 03/3 I /10

K

LLLLLL

(4 ) (5 )Gain Identity of

Code 1 buyer/sel ler(A-H) (if p rivate

t ransact ion)

1 . Incom e Gain Codes : A = $ 1,000 o r les s B = $1,001 - $2,500 C =$2.501 - $5,000 D = $5,001 - $15 ,000(See Columns B I and D4) F =$ 50,001 - $100,000 G =$ 100,001 - $1 ,000,000 H 1 =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 = M or e t ha n $ 5, 00 0, 00 0

2. Value Codes J =$15,000 or less K =$ 15,001 - $ 50,000 L = $50,001 - $100,000 M =$100,001 - $250,000(S ee C olu mn s 1 71 a nd D 3) N =$ 25 0,0 01 - $5 00 ,0 00 O =$500,001 - $ 1,000,000 P I =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000~000

P3 ~ $25,000,001 - $50,000,000 P4 = M ore than $ 50,000,0003. Value Method 17odes Q = App ra i sal R =Cost (Real Es ta te Only) S =Assessment T =Cash Market(See Column C2) U =Book Value V = O t h e r W =Est imated

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 7 of 26

N a m e o f P e r s o n R e p o r t in gN E W M A N , Jo n O .


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 , v u l u e , transactions (Includes those of spohse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing Gross value at end Transac tions du r ing repor t ing per iod(inc luding trus t assets ) reporting period of reporting period

(1 ) (2) (1) (2) (1 ) (2) (3) (4)Place " (X )" after each asset Am ou nt Type (e.g., Va l u e Va l u e Type (e.g., Date Value Gain

exempt from prior disclosure Code I div., rent, Code 2 M e th o d bu y , sell, m m /dd/yy Code 2 Code 1(A-H) o r i n t . ) ( J - P ) Code 3 redemption) ( J - P ) (A-H)

52 . UConn 12 3 .053 . Shelton l 7 2.12554 . C T G .0 I6 5 .055 . CT Ser . C 16 5.056 . Danbury 19 2 .557 . ST O CK S:5 8. R o ya l D u tc h P etr ole um59 . A ir P ro du cts6 0. J oh ns on C on tr .61. M erck62 . C u m m i n g s E n g i n e63 . Minn. Mining6 4. Jo hn so n & Jo hn so n65. Microsoft66 . Cisco67 . Total Fina68 . D ev on Energ y

( Q - W )

Interest M T Bu yN o n e K T Bu yN o n e L T Bu yN one L T Bu yN one L T Bu y

07/08/10 M07/27/10 K07/23/10 L07/24/10 L08/24/10 L

D D iv id en d M TC D iv id en d M TC D iv id en d M TD D iv id en d M TB D iv id en d N . TB D iv id en d L TC D iv id en d L TB D iv id en d L T

N one L TD D iv id en d M TA D iv id en d L T

Identity ofbuyer/seller(if private

transaction)

I. Income Gain Codes:(See Columns B 1 and D 4)



A =$ 1,000 or lessF =$50,001 - $100,000J =$15,000 or lessN =$250,001 - $500,000P3 =$25,000,001 - $50,000.000Q = Appra i sa lU =Book Value

B=$1,001 - $2,500G =$ 100,001 - $1,000,000K -$15,001 - $50,000O =$500,001 - $ 1,000,000R =Cost (Real Estate Only)V = O t h e r

C = $ 2 , 5 0 1 - $ 5 , 0 0 0H 1 =$1 ,000 ,001 - $5 ,000 ,000L = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0P 1 = $ 1 , 0 0 0 , 0 0 1 - $ 5 , 0 0 0 ,0 0 0P4 -More than $50,000,000S = A s s e s s m e n tW = E s t i m a t e d

D = $ 5,001 - $15 ,000H2 =More than $5,000,000M = $100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a rk e t

E =$15 ,001- $50 ,000


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FINANCIAL DISCLOSURE REPORTPa ge 8 o f 26 Ia m e o f P e r s o n R e p o r t in gNEWMAN, Jon O. Date of Report05/04/201 I

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 , v a l u e , tr a n s a c t io n s anctud es those of spo~e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 of f i l ing ins t ruc t ions . )N O N E (No reportable income, assets, or transactions.)

De sc r ip t io n o f Asse t s Inco m e d u r ing(in c lu d ing tru st a sse ts ) r e p o r tin g p e r iod

(l) (2)PIa ce "(X )" a Re r e a ch a sse t Am ou n t Type (e.g.,

ex em pt f rom pr i or d i s c lo s ur e Code 1 div . , r en t ,(A-H) or int . )

69 . FNMA None70 . Medco None71 . Calamos Fund A Dividend72 . Henderson Fund A Dividend73. Jennison Fund None

74 . Dreyfus Fund None75 . Mainstay Fund None76. Fed Max Cap Fund A Dividend77 . Schwab 1000 Fund A Dividend78. OTHER:79 . ~~ 1/2 Int. W. Htfd ., CT., Condo p urcha sed None8/9/88 $115,00080. Thames & Hudson Roya l ty Contract A Royal ty81[ ~! Condo, Univers ty Park, FL purchased None4/9/99, S 179,00082 . A IG A nn u it y (IR A) B I n t e r e s t83 . A IG A nn u it y (IR A) A I n t e r e s t84. TRUST# 1 E Int./Div.

85. - CT G.0. 10 5.0

G r o s s v a l u e a t e n do f r e p o r t in g pe r iod(1) (2)

Valu e Val ueC o d e 2 M e t h o d

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

J TM TM TK TK T

K T

K T

K T

K T

T rans ac t i ons d ur i ng r epor t i ng p e r i o d

(1) (2) (3) (4) (5)Type (e.g., D a t e V a l u e G a i n I d e n t i t y o f

b u y , s e l l , m m / d d / y y C o d e 2 C o d e 1 b u y e r / s e l l e rr e d e m p t io n ) ( J - P ) (A-H) ( i f p r i v a t e

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

LJMK

JPI

R

WR

T

T

T

Matured 06/15/10 K

I. I n c o m e G a i n C o d e s: A =$1,000 or less B =$1,001 - $2,500 C = $2 .501 - $5 ,000 D :$5 ,001 - $15 .000( S e e C o l u m n s B I a n d D 4 ) F =$ 50,001 - $ 100,000 G =$ 100 ,0 01 - $ 1,00 0,00 0 H I = $1,00 0,00 1 - $ 5 ,0 00 ,000 H 2 =More tha n $ 5 ,000,000

2. Value Codes J = $ 15,000 o r les s 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 =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 -$25,000.001 - $50.000,000 P4 -More than $50,000,0003. Value Method C o d e s Q = A ppra i sal R = Cos t (Real Estate Only) S =Asses sment T =Cash Market(See Column C2) U =Book Value V =Other W =Estimated

E = $15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPa ge 9 o f 26



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

A. B. C. D,Descr iption of Assets Incom e during Gross valu e at end Transac tions du r ing repor t tng per iod

( including trus t assets) reporting p eriod of rep orting p eriod( 1 ) ( 2 ) (1) (2) (1) (2) (3) (4) (5 )Place "(X)" after each asset Am ou nt Type (e.g., V alu e V alu e Typ e (e.g ., D ate V a l u e Gain Identity ofexempt from prior disclosure Code 1 div.. rent. Code 2 Method buy, sell , m m/dd /y y Co de 2 Code 1 buyer/sel ler(A-H) o r i n t . ) (J-P) Code 3 redemption) (J-P) (A-H) (if private

(Q-W ) transaction)

86. -Dupon t87. - ExxonM obil88. - G.E.89 . - No rf olk So u th e rn90 . - M & T B a n k91 . -Pfizer92 . - lnsteel93 . - Alexander and Baldw in94 . -Coming95 . - Honeywel l96 . -Lucent97 . - PitneyBowes98 . - Philips99 . - Tyco lntl .100. - Hartford Cry. 12 3.125I01. - CT He alth 27 5.125 Redeemed 03/18/10 K1 02 . - New Caan an 1 3 3 . 7 5

1. 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 B I and 1)4) F = $50,001 - $ 100,000 G = $ 100,001 - $ 1,000,000 H 1 = $1 ,000,001 - $5 ,000,000 H2 =More than $5,000,000

2. V alu e Codes J = $ 15,000 o r les s K = $15,001 - $ 50,000 L = $ 50,001 - $100,000 M ~ $ 100,001 - $ 250,000(See Columns C I and D3) N = $ 250,001 - $500,000 O = $ 500,001 - $ 1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$ 25.000,001 - $50,000,000 P4 = M ore than $ 50,000,0003. Value Method Codes Q = Appra i sa l R =Cost (Real Es ta te Only) S =Assessment T =C a s h M a r ke t(See Column C2) U ~Book Value V = O t h e r W =Est imated

E =$15 ,001- $50 ,000


10/26

FINANCIAL DISCLOSURE REPORTPage 10 o f 26 Iame of Person ReportingN E W M A N , J o n O . Date of Report05/04/201 I


A. B. C. D.D escrip tion of A ssets Incom e du ring Gross value at end Transac tions du r ing repor t ing per iod

( including trus t assets) reporting p eriod of rep orting p eriod(1) (2) (1) (2) (1 ) (2) (3) [ (4) (5 )

Place "(X)" after each asset Amount Type (e.g., V alu e V alu e Type (e.g., Date Va l u e Gain Identity ofexempt from prior disclosure Code I div., rent, Code 2 Method buy, sell , mm/dd/yy Code 2 Code 1 buyer/sel ler(A-H) o r i n t . ) (J-P) Code 3 redem ption) ( J - P ) (A-H) (if p rivate

(Q - W) transaction)

103. - CT New M oney 11 3 .62510 4 . - Ne wtown 15 3 .5105 . - Ledyard 13 5 .010 6 . - Ne w H a v e n 20 5 .01 07 . - Co v i d i en1 0 8 . - T y c o1 09 . - CT H l th & Ed . 2 7 5 . 1 2 5110. - CT Sp l. Tax 20 3.9I 11. - SmithBamey Bank D epos i t Program112~ TRUST # 2113. - Home Depo t114 . - McD ona ld sI 15. - General Mills116. - Pepsico117. - Procte r & Gamble118. -Sara Lee119 . - BP Am oco

G lnt./Div. PI

Sp ino f f 07/06/07 J( f rom l ine 99)Bu y 03115/10 KBu y 08/11/10 LBu y 01/15/10 M

T

Distributed 06/09/10 J

S o l d 05/19/10 M G

I . Income Gain Codes : A = $1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000(See Columns B I and D4) F = $ 50,001 - $100,000 G = $ 100,001 - $1,000,000 H 1 = $ 1,000,001 - $5,000,000

2. V alu e Codes J = $15,000 or less K = $15,001 - $50,000 L =$50,001 - $100,000( S e e C o lu mn s C I a n d D 3 ) N =$250,001 o $500,000" O = $500,001 - $1 ,000,000 PI =$ 1,000,001 - $5,000,000

P3 -$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q = Appra i sa l R =Cost (Real Es ta te Only) S =Assessment(See Column C2) U =Book Value V = O t h e r W =Est imated

D = $5,001 - $15 ,000H2 = M ore than $5 ,000,000M = $ 100,001 - $250,000P2 =$5,000,001 - $25,000,000T =C a s h M a r ke t

E =$ 15 ,001- $50 ,000


11/26



Date of Report05/04/201 l

I N V E S T M E N T S a n d T R U S T S - i n co me , v a l u e , transactions (Includes those of spo u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l in g i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

A. B. C.Descr iption of Assets Incom e during Gross valu e at end( including trus t assets) repor t ing per iod of reporting period

(t ) (2 ) (1) (2)Place "(X)" after each asset Amount Type (e.g., V alu e V alu e

exempt f rom pr ior disc losure Co d e l div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3(Q - W)

(I)Type (e.g.,

bu y , s e l l ,redemption)

T rans ac t i ons du r i ng r epor t i ng pe r i od(2) (3) (4) (5 )

D a t e Value " Gain Identityofmm/dd/yy Code 2 Code l bu ye r / s e l l e r

(J-P) (A-H) (if privatet r ans ac t i on)

120 . - Am e r ica n E x p re s s121. - Plum Creek Timber122. - Transatlantic Holdings123. - St. Paul Trave lers124 . - Baxte r In t e rna t iona l

125. - Cigna126. - Edwa rds Lifescience1 2 7 . - M e d c o H e a l t h S o l u t i o n s

128 . - T E VA Ph a rm a ce u t i ca l1 2 9 . - D o v e r130. - Emer son E lec t r i c

131. - Minnesota Mining132. - Agilent133. - Automa tic Data134. - In te l

1 3 5 . - Mic r o so f t136 . - RPM ln t l




A=$1,000 or lessF= $50,001 - $100,000J =$15,000 or lessN =$250,001 - $500.000P3-$25,000,001 - $50,000,000Q= Appra i sa lU =Book Value

B=$1,001 : $2,500G =$100,001 - $ 1,000,000K= $15,001 - $50,000O =$500,001 - $ 1,000,000R =Cost (Real Es ta te Only)V =O th e r

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50.001 - $ 100,000P 1 =$1,000,001 - $5,000,000P4 =More than $50,000,000S = A s s e s s me n tW =Est imated

D = $5,001 - $15 ,000H2 =More than $5,000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a rk e t

E =$15,001 - $50,000


12/26


N a m e o f P e r so n R e p o r t i n gNEWMAN, Jon O.

Date of Report05 /04 /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 dependent children; seepp. 34-60 of filing instructions.)D NONE(No re portable income, a sse ts , or t ransact ions . )A. B. C.

D escrip tion of Assets Incom e du ring Gross value at end( including trus t assets) repor t ing per iod of reporting period

(1 ) (2) (I) (2)Place "(X)" after each asset A m o u n t T y p e ( e . g . , Va lue Va l u eexempt f rom pr ior disc losure Code 1 div., rent, Code 2 Method

Tr 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

(1 ) (2) (3)Type (e.g., Date Value

1 3 7 . - D o min io n Reso u r c e s138. - Southbury CT 10 3 .2139. - CT State 10 3 .45140. - CT State 10 2 .91 41 . - Cr o mw el l CT 1 0 3 . 7 51 42 . - S imsb u r y CT 1 1 3 . 7 5143. - Glastonbury CT 11 3 .75144. - Ledyard CT 1 1 3 .5145. - Waterbury CT 11 4.0146. - Stonington CT 1 1 4.0147. - Bri s to l C T 11 3 .01 48 . - W e the r s fi e ld CT 1 2 3 . 11 49 . - C T Sta te 12 4 .015 0 . - Re g iona l Sch oo l 12 3 .65i 51. - Easton CTI 2 3 . 5152. - CT State 13 3.5

(A-H) or int . ) (J-P) C o d e 3( Q - W )buy, sell , mm/dd/yy Code 2

redemption) ( J - P )

Matured 02/01/10 KM atu red 11 /15/10 KM atu red 12/01 /10 KMatured 12/15/10 K

( 4 ) ( 5 )Gain Identity of

Code I buyer/sel ler(A-H) (if private

transaction)

A

153. - CT State 13 4.0

I. Income Gain Codes:(See Columns B l and D4)2. Value Codes(See ColumnsCI and D3)


A = $1 ,000 o r l e s sF =$50,001 - $ 100,000J =$15,000 or lessN = $250,001 - $500,000P3 =$25,000,001 - $50.000,000Q = Appra i sa lU =Book Value

B= $1 ,001 - $2 ,500G= $100,001 - $ 1 ,000,000K=$15,001 - $50,000O=$500,001 - $ 1,000,000R =Cost (Real Es ta te Only)V = O t h e r

C = $2 ,501 - $5 ,000H 1 =$1,000,001 - $5,000,000L -$50,001 - $ 100,000P I =$ 1,000,001 - $5,000,000P4 = M ore than $50,000,000S =AssessmentW =Est imated

D = $5,001 - $15 ,000H2 = M ore than $5 ,000,000M =$ 100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a rk e t

E = $15,001 - $50,000


13/26

FINANCIAL DISCLOSURE REPOR TPage 13 o f 26

N a m e o f P e r s o n R e p o r t in gNE~VMAN, Jon O.



A. B. C. D.Descr iption of Assets Income dur ing Gross value at end Transac tions du r ing repor t ing per iod( including trus t assets) reporting period of reporting period

(l ) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset A mo un t Ty pe (e.g ., Va l u e Value Type (e.g., D a t e Va l u e Gain Identity ofexempt f rom pr ior disc losure Code ] div., rent, Code 2 Method buy, sell , m m / d d Y y y Code 2 Code 1 buyer/sel ler(A-H) o r i n t . ) ( J - P ) Code 3 redem ption) (J-P) (A-H) (if p rivate(Q-W ) transaction)

154. - Regional School 13 3 .75155. - Orange CT13 3.4156. - Tolland CT 13 4.0157. o University CT 14 3 .7158. - CT State 14 4.0! 59 . - Glastonbury 14 3 .75

160. - CT State 14 4.0161. - South Central Water15 4.0162. - Groton CT 15 3.75163. - CT State 15 3.5164. - Be cton165. - T. Rowe Price166. - CT HSG. FIN. 16 3.9167. - CT Heal th 15 3 .5168. - CT Hea lth 17 3.5169 . - Har t ford County 1 8 3.5

Redeemed ,08/15/10 K A

170. - Watertow n CT 17 4 .0

1. Income Gain Codes:(See Columns B 1 and D 4)

2. Value Codes(See Columns C 1 and D3)


A =$ 1,000 or lessF =$50,001 - $ 100,000J =$15,000 or lessN =$250,001 - $500,000P3 -$25,000.001 - $50,000,000Q = Appra i sa lU =Book Value

B=$1,001 - $2,500G =$ 100,001 - $1,000,000K=$15,001 - $50.000O =$500.001 o $ 1,000,000R =Cost (Real Estate Only)V = O t h e r

C =$2,501 - $5,000H I =$ 1,000,001 - $5,000,000L =$50,001 - $ 100,000P 1 =$ 1,000,001 - $5,000,000P4 -More than $50,000,000S =AsscssrncnlW =Est imated

D=$5,001- $15 ,000H2 =More than $5,000,000M=$1 00 ,001 -$250 ,000P2 =$5,000,001- $25,000,000T =Cash Marke t

E =$15 ,001- $50 ,000


14/26

FINANCIAL DISCLOSURE REPORTP a g e 1 4 o f 2 6



V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)D NONE(No re portable income, asse ts , or t ransact ions . )A. B. C.

D escrip tion of Assets Incom e du r ing Gross value at end (including trust assets) rep orting p eriod of rep orting p eriod

( 1 ) ( 2 ) (1) (2)Place " (X )" after each asset Am ou nt Type (e.g., V a lu e V alu eexempt from prior disclosure Code 1 div., rent, Code 2 M e th o d(A-H) o r i n t . ) (J-P) Code 3

(Q - W)

1 7 1 . - D en t sp ly172 . - C T E le c . 16 4 .0173 . - C T 14 3 .3174 . - IBM1 7 5 . - Sou th ing ton C T 18 3 .51 7 6 . - P ly mo u th CT 1 7 3 . 01 7 7 . - P f i ze r1 7 8 . - Bet he l CT 1 7 3 .0179 . - G u i l fo rd C T 18 3 .01 8 0 . - P eo p le s U n i t ed F in .181 . - Ne w A l l i ance Ba nk182. - Newton CT 16 2 .25183. - A d o b e184 . - Sm i th Ba m e y Ba nk D e p os i t P rog ra m1 8 5 . ~ I T R U S T # 3186. - Stap les

T r a n s a c t io n s d u r i n g r e p o r t m g p e r i o d

(I) (2) (3) (4) (5 )Type (e.g., D ate Va l u e Gain Identity ofbu y , se ll, m m /dd/yy Code 2 Code 1 buyer/sel ler

redemption) (J-P) (A-H) (if privatet r a n s a c t i o n ~

Sold 11/18/10 M

Int./Div. PI

Bu y 02/24/10 LBu y 07/23/10 KBu y 11/18/10 M

187. - Target

1 . Incom e Gain Codes : A =$ 1,000 o r les s B =$1,001 - $2,500 C = $2,501 - $5.000 D = $5,001 - $15,000(See Columns B 1 and D 4) F ~ $50,001 - $ 100.000 G = $ 100.001 - $1 ,000,000 H I =$ 1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 H 2 = M or e t ha n $ 5, 00 0, 00 0

2. Valu e Codes J = $15,000 or less K = $ 15,001 - $ 50,000 L -$50,001 - $ 100,000 M =$100,001 - $250.000(See ColumnsCI and D3) N =$ 250,001 - $500,000 O =$ 500,001 - $1 ,000,000 Pl =$1.000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 = $25,000,001 - $50.000,000 P4 = M ore than $ 50,000,0003. Value Method Codes Q = App ra i sal R =Cost (Real Es ta te Only) S =Assessment T =C a s h M a r ke t(See Column C2) U =Book Value V =Other W =Est imated

E =$15 ,001- $50 ,000


15/26




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 , v a l a e , t r a n s a c t i o n s (Includes those of spouse a n d depen den t c h i ld r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g instructions.)D N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income dur ing Gross value at end

( including trus t assets) reporting period of reporting period(] ) (2 ) (1) (2)

Place "(X)" after each asset A mo un t Ty pe (e.g ., Va l u e Valueexempt from prior disclosure Code I div., rent, Code 2 Method(A-H) o r i n t . ) ( J - P ) Code 3(Q-W )

188. - Pepsico189 . - P roc te r & G a m ble190 . - Ap a ch e191. - ExxonMobi l192 . - W e a th e r fo rd193 . - J P Morg a n C h a s e194 . - Ba nk o f Ne w Y ork195 . - W e l l s Fa rg o1 9 6 . - Ab b o t t L ab s1 9 7 . - J o hn so n & J o hn so n1 9 8 . - M ed t r o n ic199 . - Sch e in He nry2 0 0 . - T E V A P h a r m a c e u t i ca l201. - Min n eso ta M in ing2 0 2 . - D a n a h e r20 3 . - E m e r s on E le c t r i c

( l)Type (e.g.,

bu y , s e l l ,r e d e m p t i o n )

T rans ac t i ons du r i ng r epor t i ng pe r i od

(2) (3) (4) (5 )Date Value Gain Identity of

m m /d d/y y C od e 2 [ C od e 1 buyer/sel ler(J-P) (A-H) (if private

transaction)


2 0 4 . - G . E .

1 . Income G a in C ode s : A = $ 1 , 0 0 0 o r l e s s B =$1,001 - $2,500 C = $ 2 , 5 0 1 - $ 5 , 0 0 0( S e e C o l u m n s B l a n d D 4 ) F =$ 5 0 ,0 0 1 - $ 1 0 0 ,0 0 0 G =$ 1 0 0 ,0 0 1 - $ 1 ,0 0 0 ,0 0 0 HI =$1,000,001 - $5,000,000

2. V a lu e C o d es J = $ 1 5 ,0 0 0 o r le s s K = $ 1 5 ,0 0 1 - $ 5 0 ,0 0 0 L = $ 5 0 ,0 0 1 - $ 1 00 ,0 0 0( S e e C o l u m n s C I a n d D 3 ) N = $ 2 5 0 ,0 0 1 - $ 5 0 0 ,0 0 0 O =$ 5 0 0 ,00 1 - $ 1 ,0 00 ,00 0 P I = $ 1 ,0 0 0 ,0 0 1 - $ 5 ,00 0 ,0 00

P3 -$25,000,001 - $50,000,000 P 4 = M o r e t h a n $ 5 0 , 0 0 0 , 0 0 03 . V a l u e M c l h o d C o d e s Q = A p p r a i s a l R = C o s t ( R e a l E s t a te O n l y ) S ~ A s s c s s m c n t

( S c e C o l u m n C 2 ) U = B o o k V a l u e V -Other W = E s t i m a t e d

D =$5,001 - $15,000H2 = M ore than $5 ,000,000M =$ 100,001 - $250,000P2 =$5,000,001 - $25,000,000T =Cash Market

E =$15,001 - $50,000


16/26




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

A. B. C. D.Descr iption of Assets Income during Gross value at end Transac tions dur ing repor t ing per iod( including trus t assets) rep orting p eriod of rep orting p eriod

(1 ) (2) (1) (2) (l ) (2) (3) (4) (5 )Place " (X )" after each asset Amount Type (e.g., V a lu e V alu e Type (e.g., Date Va l u e Gain Identity ofexempt from prior disclosure C o d e 1 div., rent, Code 2 Method buy, se l l , m m/dd]yy C ode 2 Code 1 buyer/sel ler(A-H) o r i n t . ) (J-P) Code 3 redemption) ( . I - P ) (A-H) (if private(Q -W ) transaction)

20 5 . - Un i te d T e ch no log ie s20 6 . - Acce n tu re2 0 7 . - A d o b e208. - Auto mated D a ta P r o c e s s in g209 . - I n t e l210. - IBM211 . - Mic ros o f t212 . - A i r P rodu c t s2 1 3 . - Eco l ab2 1 4 . - M D U R e s o u r c e s215. - Fide li ty Int l Fund216. - CT Sta te 10 3.0217. - B risto l l I 3 .0

218. -CTStatel13.1252 1 9 . - S o u thb u r y CT 1 1 3 . 7 5220. - Wethersf ie ld CT 12 3 .1

Sold 01/12/10 KMatured 07/01 / 10 K

221. - CT State 12 4.0

1. Income Gain Codes:(See Columns B 1 and D4)

2. Value Codes(See Columns C I and D 3)


A =$1,000 or lessF ~$50,001 - $100,000J =$15,000 or lessN = $ 250,001 - $500,000P3 =$25,000,001 - $50,000,000Q = App ra i salU =Book Value

B=$1,001 - $2,500G =$100,001 - $1,000,000K~$15,001 - $50,000O ~$500,001 - $ 1,000,000R =Cost (Real Es ta te Only)V =O th e r

C =$2,501 - $5,000H 1 ~$ 1,000,001 - $5,000,000L =$50,001 - $100,000PI =$1,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW =Est imated

D =$5,001 - $15,000H2 =More than $5,000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T =Cash Market

E =$15,001 - $ 50,000


17/26

FINANCIAL DISCLOSURE REPORTPa ge 17 o f 26 Iame of Person ReportingNEWMAN, Jon O. Date of Report05/04/2011

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 dependent children; see pp. 34-60 of filing instructions.)D N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr iption of Assets Income dur ing Gross v alu e at end Transactions du ring reporting period

( including trus t assets) rep orting period of rep orting period( 1 ) { 2 ) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset Amount Type (e.g., V alu e V alu e Type (e.g., D a t e Va l u e Gain Iden tity of

e x e m p t f rom prior d isclosure Code ] div., rent, Code 2 Method b u y , sell, mm/dd/yy Code 2 Code ] buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 redemption) (J-P) (A -H ) (if private(Q-W ) transaction)

222. - Jacksonvil le FL 12 5 .375 R ed eem ed 07 /08 /1 0 J223 . - Re g iona l Sch oo l 12 3 .65224. - N.J . S tate 13 5 .7 R ed eem ed 05 /03 /1 0 J(part)225 . - O ra ng e C T 13 3 .4 Re de e m e d 08/16/10 K2 2 6 . - Ea s to n CT 1 3 3 . 6 2 5227. - Univers i ty CT 14 3 .72 2 8 . - G la s to n b u r y CT 1 4 3 . 7 5229 . - AT T2 3 0 . - The r a~o F i she r231 . - G e ne ra l D y na m ic s2 3 2 . - T . Rowe P r i c e2 3 3 . - D en t sp ly234 . - T e le fon ica235 . - Ap p le2 3 6 . - C T S T 1 4 3 . 02 3 7 . - CT HS G , 1 7 5 . 3 50 R e d e e m e d 04/15/10 L2 3 8 . - N o b l e

A

AA

I. Incom e Gain Codes : A = $1,000 or les s B =$1,001 - $2,500 C =$2.501 - $5,000 D = $5,001 - $15 ,000(See Colunm s 131 and D 4) F ~ $ 50,001 - $ 100,000 G = $100,001 - $ 1,000,000 HI =$1,000,001 - $5,000,000 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 ,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 =$25,000,001 - $50,000,000 P4 = M o r e than $50,000,0003. Value Method Codes Q = Appra i sal R =Cost (Real Es ta le Only) S =Assessment T - C a s h M a r ke t(Sc Column C2) U =Book Value V = O t h e r W =Est imated

E = $15,001 - $50,000


18/26


Name o f Per so n R epo r t in gN E W M A N , J on O .



D e s c r i p t i o n o f A s s e t s T rans ac t i ons du r i ng r epor t i ng pe r i od( i n c lu d i n g t r u s t a s s e t s )

In c o m e d u r in g G ro s s v a lu e a t e n dr e p o r t i n g p e r i o d of r epor t i ng pe r i od

(1 ) (2 ) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e Type (e.g.,exempt from prior disclosure C o d e I d iv ., r e n t, C o d e 2 M e t ho d bu y , s e l l ,

( A - H ) or in t . ) (J-P) C o d e 3 r e d e m p t i o n )( Q - W )

(2) (3) (4)Date Va l u e Gain

mrrddd/yy Code 2 Code 1(J-P) (A -H)

( 5 )l den t i ~ y o f

bu ye r / s e l l e r(if private

t r ans ac t i on)

2 3 9 . - O rac l e2 4 0 . - C V S241. -Nike Class B

242. - Southington CTI8 3.5243. - Peoples United Fin.244. - Research in Motion24 5 . - C T Hig h 17 3 .8524 6 . - Ne w Al l i a nce Ba nk24 7 . - Dodg e & C ox In t l Fu nd24 8 . - Dodg e & C ox In t l Fu nd2 49 . - G r i sw o ld CT 1 8 3 . 025 0 . - Au tode s k25 1 . - M e t l if e2 52 . - Mar lb o r o ugh CT 1 6 4 . 02 53 . - S mi thB amey B an k D epo s i t P r o g r am2 5 4 . ii ~ T R U S T # 4255. - Stap les

Int . /Div . PI

SoldBu ySoldBu yBu yBu yBu yBu y

T

11/18/10 N01/13110 KI1 /10/10 L02/01/10 L03/10/10 K03/10/10 K04/22/10 L11/18 /10 M

A

1.1 ncome Gain Codes: A =$ 1,000 or less B =$1,001 - $2,500 C = $ 2,501 - $5 ,000 D 255,001 - $15 .000(See Columns B 1 and D 4) F = $50,001 - $ 100,000 G = $ 100.001 - $ 1,000 ,00 0 H 1 =$ 1,000,001 - $ 5,000,000 H 2 - M o re th an $ 5,0 00 ,0 00

2. V alu e Codes J = $ 15,000 o r les s K = $1 5,001 - $ 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 P 1 = $1 ,000.001 - $5 ,000,000 P2 =$5,000,001 - $25,000,000P3 =$ 25,000,001 - $50,000,000 P4 = M ore than $ 50,000,0003. Value Method Codes Q = A ppra i sal R =Cost (Real Es ta te Only) S =Assessment T = C a s h M a rk e t(See Column C2) U =Book Value V =Other W =Est imated

E = $15 ,001- $50 ,000


19/26



Date of Report05 /04 /2011

VII. INVESTMENTS an d TRU STS - i .... e , value, t ......i o ns ( Inc l udes t ho se o f sp o use and dep enden t ch i l d r en; s e e p p . 34-60 of f il ing i n s t ruc t i o ns . )N O N E (No reportable income, assets, or transactions.)

De 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(including trust a s s e ts ) re p o r tin g p e r io d

( 1 ) ( 2 )Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e 1 div. , rent ,( A - H ) or in t . )

256. - Target

Gros s v a l u e a t endof r epor t i ng pe r i od(t) (2)

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

( Q - W )

T rans ac t i ons du r i ng r epor t i ng pe r i od

(I) (2) (3) (4)Type (e.g., D a t e V a l u e Gain

b u y , s e l l , mm/dd/yy C o d e 2 C o d e 1r e d e m p t i o n ) (J-P) ( A - H )

(5 )Identity of


t r ans ac t i on)

2 5 7 . - P e p s i c o258. - Procter & Ga mb le2 5 9 . - E x x o n M o b i l2 6 0 . - N o b l e261 . - J P Morg a n C h a s e262 . - Ba nk o f Ne w Y ork2 6 3 . - W e l l s F a rgo2 6 4 . - Ab b o t t L ab s2 6 5 . - J o hn so n & J o hn so n266 . - Me d t ron ic267 . - Sch e in He nry2 6 8 . - T E V A P h a r m a c e u ti c a l2 6 9 . - D a n a h e r270 . - E m e r s on E le c t r i c271. -G.E.


272. - United Tech nologies

1. Income Gain Codes:(See Columns BI and D4)

2. Value Codes(See Columns CI and D3)


A=$1,000 or lessF=$50,001 - $100,000J=$15.000 or lessN =$250.001 - $500,000P3=$25,000,001 - $50,000,000Q =AppraisalU =Book Value

B= $1 ,001 - $2 ,500G =$ 100,001 - $ 1,000,000K =$15,001 - $50,000O =$500,001 - $ 1,000,000R =Cost (Real Estate Only)V =Other

C = $2 ,501 - $5 ,000H 1 = $ 1,000,001 - $5,000,000L =$50,001 o $ 100,000P 1 =$ 1,000,001 - $5,000,000P4 -More than $50,000,000S =AssessmentW =Est imated

=$5 ,001- $15 .000H2 =M orethan $5 ,000 ,000M=$100 ,001- $250 ,000P2 =$5,000,001- $25,000,000

= C a s h M a rk e t

E =$1 5 ,001- $50 .000


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Name of Person ReportingN EW MA N , Jo n O.


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 ome , v a l u e , transactions ( i n c lu d e s t h o s e o f s p o u s e and d e p e n d e n t children; see pp. 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing Gross value at end Transac tions dur ing repor t ing per iod(inc lu ding tru s t assets ) repoiting period of reporting period

( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 )[lace "(X)" after each asset Amount Type (e.g., V alu e V alu e Type (e.g., D a t e Va l u e Gain Identity ofexempt f rom pr ior disc losure Code I div., rent, Code 2 Method bu y , sell. m m/dd/yy Code 2 Code I buyer/sel ler(A-H) o r i n t . ) (J-P) Code 3 redemption) (J-P) (A-H ) (if p rivate(Q-W ) transaction)

2 7 3 . - A ccen t u re274 . - Au tom a t ic Da ta P roce s s ing2 7 5 . - Ci s co 276 . - I n t e l2 7 7 . - I BM278 . - Mic ros o f t2 7 9 . - E c o l a b2 8 0 . - M D U R e s o u r c e s2 8 1 . - D o d g e & C o x l n t l F u n d282. - Fide li ty Int l Fund2 8 3 . - C T S t a t e 1 0 3 . 0284 . - Br i s to l C T 11 3 .0285 . - C T S ta te 11 3 .8286 . - W e th e rs f i e ld C T 12 3 .1287 . - C T S ta te 12 4 .0288 . - Re g iona l Sch oo l 12 3 .652 8 9 . - O r a n g e C T I 3 3 . 4

Sold 11/10/10 J

Sold 01/ 11/ 10 K

M a t u r e d 07 / 01/ 10 K

Redeemed 08/15/10 K A

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

2. Value Codes( S e e C o lu mn s C I a n d D 3 )

3.Value Mcth0d C0dcs(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 ppra i salU =Book Value

B=$1,001 - $2.500G =$100,001 - $1,000,000K=$15,001 - $50.000O =$500,001 - $1.000,000R =Cost (Real Es ta te Only)V =Other

C =$2,501 - $5,000H 1 =$1,000,001 - $5,000,000L = $50,001 - $100,000P 1 =$ 1,000,001 - $ 5,000,000P4 -More than $50,000,000S =AssessmentW =Est imated

D =$5,001 - $15,000H2 =More than $5,000.000M -$100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a rk e t

E = $15 .001- $50 ,000


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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 , v a ~ u 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.D escription of Assets Incom e du ring Gross value at end Transac tions dur ing repor t ing per iod

( including trus t assets) reporting period of repor t ing per iod( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 )

Place "(X)" after each assel Amounl Type (e.g., V alu e V alu e Type (e.g ., D ate Va l u e Gain Identity ofexempt f rom p r ior disc losure Code t div., rent, Code 2 Method buy, sell . m m/d d/y y Co de 2 Code 1 buyer/sel ler(A-H) o r i n t . ) (J-P) Code 3 redem ption) (J-P) (A-H) (if p rivate

(Q - W) transaction)

290 . - E a s ton C T 13 3 .625291 . - Un iv e r s i ty C T 14 3 .7292. - Glas t0nbury CT 14 3.752 9 3 . - U .S . T rea s u ry 1 8 9 .0294 . - Som e r s C T 4 .0 10 Matured 08/15110 K2 9 5 . - CT S t a t e l 1 3 .1 2 52 9 6 . - A T T297 . - T h e rna o F i s h e r2 9 8 . - Gen e ra l D yn ami cs2 9 9 . - O r a c l e3 00 . - A pp l e30 1 . - De n t s p ly3 02 . - N i ke Cl a s s B30 3 . - Sou th ing ton C T 18 3 .53 04 . - N ew A l l i an ce Ban k Sold 11/18110 M3 0 5 . - D o d g e & C o x I n t l F u n d Bu y 01/13/10 K3 0 6 . - D o d g e & C o x I n t l F u n d Sold 11110/10 L

I. Incom e Gain Codes : A =$1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000(See Columns B I and D4) F = $ 50,001 - $ 100,000 G = $ 100,001 - $ 1,000,000 H 1 =$ 1,000,001 - $ 5,000,000

2. V alu e Cod es J = $15 ,000 or less K = $15,001 - $50,000 L = $50,001 - $100,000(S ee C olu m ns C 1 a nd D 3 ) N =$ 25 0,00 1 - $ 50 0,0 00 O =$ 50 0,001 - $ 1,0 00,00 0 P 1 = $1 ,0 00,00 1 - $5,000 ,0 00P3 -$25,000,001 - $50,000,000 P4 -M ore than $50,000,0003. Value Method Codes Q = Appra i sa l R =Cost (Real Es ta te Only) S = A s s e s s me n t(See Column C2) U =Book Value V = O t h e r W =Est imated

D = $5,001 - $15 ,000H2 =More than $5,000,000M = $100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a rk e t

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


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Name of Person ReportingN E W M A N , J o n O .


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 , v a l u e , transactions (Includes those of spouse and d e p e n d e n t children; seepp. 34-60 of filing instructions.)NO~E (No reportable income, assets, or transactions.)

D es c r i p t i on o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" after each assetexempt from prior disclosure

3 0 7 . - A d o b e30 8 . - Sm i th Ba m e y Ba nk De p os i t P rog ra m30 9 . [~ j IRA cons i s t ing o f S tock s a nd Corpora teBonds:310 . - W a l t D i s ne y3 1 1 . - M c D o a a ld s312. - S taples3 1 3 . - P eps i co314 . - P roc te r & G a m ble3 1 5 . - E x x o n M o b i l3 1 6 . - B a nk 0 f N e w Y o r k317 . - J oh ns on & J oh ns on318 . - Me d t ron ic3 1 9 . - Em ers o n E l ec t r i c3 2 0 . - G . E .321 . - Au tom a te d Da ta322 . - I n t e l

B . C. D.Income dur ing Gross value at end Transac tions du r ing repor t ing per iod

reporting period of reporting period(I ) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )

Amount Type (e.g., V alu e V alu e Type (e.g., D a t e Va l u e Gain Identity ofCode 1 div., rent, Code 2 Method buy, se l l , m m/dd /y y Code 2 Code 1 buyer/sel ler(A-H) o r i n t . ) (J-P) Code 3 redem ption) (J-P) (A-H) (if private(Q - W) t r a n s a c t i o n ~

Int./Div. P1 T

Bu y 07/23/10 KBu y I1118/10 M

323. -I.B.M

I. I ncome Gain Codes: A = $1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$ 5,001 - $15,000(See Columns B I and D4 ) F =$ 50,001 - $100,000 G =$100,001 - $1,000,000 H 1 =$ 1,000,001 - $ 5,000,000 H2 =More than $ 5,000,0002. V alu e Co des J = $15,000 or less K = $15,001 - $ 50,000 L = $ 50 ,001 - $100,000 M = $ 100,001 - $ 250,000( S e e C o lu mn s C I a n d D 3 ) N =$250,001 - $500,000 O ~$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 -$25,000,001 - $50,000,000 P4 =M ore than $50,000,0003. Value Method Codes Q = Appra i sa l R =Cost (Real Es ta te Only) S = A s s e s s me n t T = C a s h M a rk e t(See Column C2) U =Book Value V =O th e r W =Est imated

E =$15,001 - $50,000


23/26




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 dependent children; seepp. 34-60 of filing instructions.)[~] N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s T rans ac t i ons du r i ng r epor t i ng pe r i od( inc luding t rus t as se t s )

Place "(X)" after each assetexempt from prior disclosure

3 2 4 . - M i c r o s o f t

3 2 5 . - O r a c l e

3 2 6 . - E c o l a b3 2 7 . - V e r i z o n3 2 8 . - A n h e u s e r Bu s c h l 0 5 . 6 2 5

329 . - P ru dent i a l I 1 5 .1

3 3 0 . - G o l d m a n S a c h s 1 2 5 . 7

3 3 1 . - K i m b e r l y C l a r k 1 3 5 . 0

332 . - P i tney Bowes 14 4 .875

333. -Abbott Labs

3 3 4 . - U n i t e d T e c h n o l o g i e s

3 3 5 . - D a n a h e r C o r p .

3 3 6 . - A T T3 3 7 . - T h e r ~ o F i s h e r3 3 8 . - D o d g e & C o x F u n d

339. -CVS

In c o m e d u r in g G ro s s v a lu e a t en dr 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

(1 ) (2 ) (l) (2)A m o u n t Type (e.g., V a lu e V a lu eC o d e 1 di v . , r en t , C o d e 2 M e t ho d( A - H ) or int . ) (J-P) C o d e 3

( Q - W )

( 1 )T y p e ( e . g . ,buy, se l l .

redemption)

(2) (3) (4)D a t e Va l u e Gain

mm/dd/yy Code 2 Code 1O-P) ( A - H )

( 5 )Identity of


t r ans ac t i on)

M atu red 10/01 /10 K A

Dist r ibuted 06/10/I 0 J

Sold 1 !/10/10 L A

340. - G.E. 14 5 .65


2. Value Codes( S e e C o lu mn s C I a n d D 3 )


A = $1 ,000 o r l e s sF =$50,001 - $100,000J =$15,000 or lessN = $ 250,001 - $500,000P3 -$25,000,001 - $50,000,000Q = App ra i salU =Book Value

B=$1,001 - $2,500G=$100,001 - $1,000,000K=$15,001 - $50,000O 2~$500,001 - $1 ,000,000R =Cost (Real Es ta te Only)V =O th e r

C =$2,501 - $5,000H 1 =$ 1,000,001 - $ 5,000,000L =$50,001 - $100,000P I =$1,000,001 - $5,000,000P4 =More than $ 50,000,000S =AssessmentW =Est imated

= $5,001 - $15 ,000H2 =More Ihan $5,000,000M -$ 100,001 - $250,000P2 $5,000,001-$25,000.000

=Cash Market

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


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FINANCIAL DISCLOSURE REPORTPage 24 o f 26Name of Person ReportingNEWMAN, Jon O.


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 , v a ~ a 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.)

D es c r i p t i on o f A s s e t s T rans ac t i ons du r i ng r epor t i ng pe r i od( i n c lu d i n g t r u s t a s s e t s )

I n c o m e d u r i n g Gros s v a l u e a t endrep ortin g pe r iod o f r e p or tin g pe r io d

(l) (2 ) (l) (2) (1 ) (2) (3)Place "(X)" after each asset Amoum Type (e.g., Value V a l u e Type (e.g., Da t e Valueexempt from prior disclosure Code I div., rent, C o d e 2 M e t h o d b u y , s e ll, m m /d d /y y C o d e 2

( A - H ) or int . ) (J-P) C o d e 3 r e d e m p t i o n ) (J-P)( Q - W )

(4 )Gain

Code l(A- H)

( 5 )Identity of


t r ans ac t i on)

341 . - Targe t342. - Wa lt Disney 11 5 .73 43 . - A ccen t u re3 4 4 . - B e l l S o u t h 1 6 5 . 2

345. - Lowe s 15 5 . 0

346. - Caterpi l lar 15 4 .75347 . - B an k o f Am er i c a 1 6 5 .7 5348 . - Goldman Sachs M/C Fund349 . o TEVA35 0 . - Ne w A l l ia nce Ba nk351. - Frontie r Corp .352. - Frontie r Corp .3 53 . - A d o b e35 4 . - Sm i th Bam e y Ba nk D e p os i t P rog ra m

Sold I 1/18/10 MS p i n o f f 07/02 /10 J

( f rom l ine 327 )Sold 08/04/10 J

Bu y 07/23 /10 JBu y I 1/18/10 M

A

I . Income Gain Codes : A = $1 ,000 o r l e s s B =$1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15 ,000(See Columns B I and D4) F = $ 50,001 - $100,000 G = $ 100,001 - $ 1,000,000 H I = $ 1 ,000,001 - $ 5,000,000 H2 =More than $5,000,000

2. V alu e Codes J = $15,000 or Icss K = $15,001 - $50,000 L =$ 50.001 - $ 100,000 M = $ 100,001 - $ 250,000(See Columns C I and D3) N =$ 250,001 - $500,000 O =$ 500,001 - $1 ,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 -More than $50 ,000 ,0003. Value Method Codes Q = App ra i sal R =Cost (Real Es ta te Only) S = A s s c s s me n t T =Cash Market(See Column C2) U =Book Value V =O th e r W =Est imated

E =$ 15 ,001- $50 ,000


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N a m e o f P e r s o n R e p o r t in gNEWMAN, Jon O.

Dale of Report05/04/2011

V I I I . 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 . (lndicate part of report.)Line 18: This bond was inadver tent ly previously rep or ted as "Brookf ield CT 11 4.25."L in e s 9 9 an d 1 08 : T he s to c k l i s ted o n l i n e 9 9 a s " Ty c o " sho u ld have b een l i s ted a s " T y c o In t l. " Ty c o w as a sp in o f f f r o m Ty c o In t l o n 7 / 6 / 07 a s n o w r e f l ec t ed o nl ine 108. The s imilar i ty of names cau sed the inadver tent omiss ion of the spinof f on previous form s.Lines 115,202, 269, 335: These d is t r ibut ions resul ted f rom stock spl i t s .


26/26


IX. CER TIFICATION.Iame of Person Report ingN E W M A N , J on O . Da t e o f Re por t05/04/2011

1 ce r t i fy t ha t a ll i n fo rma t i o n g i ven ab o ve ( i n c l ud i n g i n fo rm a t i o n pe r t a i n in g t o m y s po us e an d m i n o r o r d epen d en t ch i ld ren , i f an y) i sa ccu ra t e , true , an d co m pl e t e t o the b e s t o f m y kn o w l ed ge an d b e l i e f , an d t ha t an y i n fo rm a t i o n n o t repo r t ed w as w i t hhe l d b ecau s e i t me t app l i cab l e s ta t u t o ryp ro v i s i o n s pe rm i t ti n g n o n -d i s c l o s u re .1 f u r t h e r c e r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i nco m pl i an ce w i t h t he p ro v i s i o n s o f 5 U .S .C. app . 501 e t . s eq . , 5 U .S .C. 7 3 53 , an d Jud i c i a l Co n fe ren ce regu l a t io n s .

Signa ture : S] Jon O. NEWMAN

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S IF IE S O R F A I L S T O F IL 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 ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S. C . a p p . 1 0 4)

Com m i tt e e on F i na nc i a l D i s c l o s u r eA dm ini s t ra tive O f f ic e o f the Un i ted S ta te s Cour t sSu i te 2 -301O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C . 20 5 4 4

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Jon O Newman Financial Disclosure Report for 2010