Paul L Maloney Financial Disclosure Report for 2009

8/3/2019 Paul L Maloney Financial Disclosure Report for 2009

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UNITED STATES DISTRICT COURTWESTERN DISTRICT OF MICHIGAN

PAUL L. MALONEY 410 W. Michigan Ave.CHIEF JUDGE Kalamazoo. MI 49007 (269) 381 4741

August 3, 2010

Honorable Bobby R. BaldockChairman, Committee on Financial Disclosure

---Y)ne-Coltrtrrbus Circle NEWashington DC 20544Re: Your ~tter of July 26, 2010Dear Judge Baldock:In response to your letter, the undergraduate university

United States District Court.. Western ~:-=- -~~!s_tr~.~t..~l Michigan .................................

PLM/ab


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. ~ o 1 0 I FINANCIAL DISCLOSURE REPORT a e p o r t R e q u i r e d b y t h e E t h i c sin Government Act ~1978R e v . 1 /2 0 1 0 ] FOR CALENDAR YEAR 2009 ( 5 U . S .C . a p p . .~ , ~ " I 0 1 - 1 1 I )I. Person Reporting (last name, first, middle initial) 2. Court- or Organization 3. Date of ReportMaloney, Paul L. District Court, WD M I 05/I 8/20t0

4. Title (Arlicle 111 judges indicate active or senior status; 5a. Report Type (check appropriate type) 6, Reporting Periodmagistrate judges indicate full- or parMime) [] Nomination, Date 01/01/2009District Judge-Active [] initial [] Annual [] Final to12/31/2009

5b. [] Amended Repor t7. Chambers or Office Address 8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in com pliancc410 W. Michigan Ave. with applicable laws and regulations.Kalamazoo, MI 49007

Reviewing O[ficer Date

IMPORTANT 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. Sign on last page.

I . P O S I T I O N S . (Reporting individual onlyz see pp. 9-13 of filing instructions.)N O N E (No reportablepositions.)

POSIT ION NAM E OF ORGANIZATION/ENTITY1.

II. A G R E E M E N T S . (Reporting individual nnly; see pp. 14-16 offiling instructions.)~ N O N E (No reportable agreements.)

PARTIES AND TERMS1. 1995-2007 State Judicial Pension calculalcd based on years of sewice

2. 1995-2007 Berrien County Pension calculated based on years of service


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FINANCIAL DISCLOSURE REPORT [ N ....fPe ....Reporting Date of ReportIPage 2 of 1 1 I ~ , .. ,o . e y . v . u , t . o,/isno,o

I I l . N O N - I N V E S T M E N T I N C O M E . g.,o.i.g individual and s~,use; see pp. 17-24 of filing instruction~OA. Filers Non-lnvestmen~ Income

NONE (No r~7~ortable non-investment income.)D A T E SOURCE AND TYPE INCOME(yours, not s~uses)

1.2.3 ,4.

B . Spotlsevs Nail-| Ilvestmellt | iiom e - i]3,ou were married during any portion of the reporting ye~, complete Ibis(Do]A rt ,~o~on~tt not required eaeepl,/br honoraria.)

~ N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1 . 2 0 0 9 Teachcr, River Valley School D istrict2.3.

4.

IV. REIMBURSEMENTS -(Inchules tho.~to.Vn)u.~e,tm]depend~:nt :hiMren" ~eepp 25-270/~filing in.Wructirms ~

NON g (No r~7)ortable reimbursements.)SOURCE D AT ES LOC AT ION PURPOSE ITEMS PAID OR PROVIDED

1.2.

3.4.5.


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FINANCIAL DISCLOSURE REPORT [ N . . .. o ~ P e . o u R e p t , , t i n ~IPage 5 of I l ] r ~ , , ~ o ,, ~ y , ~ a u ~ L .

VII. INVESTMENTS and TRUSTS - i~o ...... ~, tra,,.~actions (tnauges ttwse of sp ....... d ~ e p e n a e n t c h i t a r e n ; s e e p p . 3 4 -6 0 o l ~ t i n gN 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 ts I n c o m e d u r i n g (}~ ss value at end T~nsaetions during re~aing ~-riod(including t~sl asse~s) reposing peri~ ( ~ f r e p o s i n g p e r i o d ~) .....P l a c e " {X ) " a l ie f ea c h a s s e ~ A~onnl Type (e.g,, Val~le Value Ty~ {e.g., Date Value G~i~ ~e x e m p t / ? r im p r i o r d is c l o s u r e C o d e ! d iv . . r e n t , C od e 2 Meth ~ b u y , s e l l , m n ~ d d l y y C o d e 2 ~ C o d e I b u y e r ~ s e l l e r~ ~ A - H ) o r i n t . ~ l IJ-P} C ~ K ~ e 3 r e d e m p t i o n ) : 0 - P) {A-H) ( i f p r i w a c~ (Q-W) ..... ~ . . . . . . t r a n ~ c l i o n )

I 8 . Buy 07/I 4 / 0 9(addl)19 . --Allianz NFJ Sin-Cap Value A A DMdend Buy 01/12/09 J

2 0 , Sold 07/14/09 J A2 1 . --Amer Cent Growth AD\" A Dividend J T Buy 01/12/09 J2 2 . Sold 07/14/09 J A(part)2 3 . --Blackrock Inflat Prt~t Rond A A Dividend J "F Buy 0 1 / 1 2 . , 0 9 J2 4 . Sold 0 7 / I 4 , 0 9 J A(part)2 5 . --Blackrock Equity Dividend A A Divider~d J T Buy 01t12/09 J2 6 . Buy 07/14,09 J(addq)2 7 . American Euro Pacific Growth F A Dividend J T Buy 01/12/09 J2 8 . Sold 07/14/09 J A(part)2 9 . --American (;r FD of America F A Dividend J T Buy 01/I 2/09 J3 0 . Sold 0 7 ; 1 4 1 0 9 .I A( p a r t ~3 1 , --ING Global Real Estate A A Divideml J T Buy 01i~2/09 J3 2 . Buy 07/14/09 J(.addl)3 3 . --Perkins Mid Cap V al [NV A Dividend Buy 01/12/09 J3 4 . Sold 07/14/09 J A


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F I N A N C I A L D I S C L O S U R E R E P O R T I Name of Person Reporting [ Date of ReportPage 6 of 11

V II. INVESTM ENTS and TRUSTS -i ..... ., value, , ...... tions (Incl.des those of spouse and dependent children; see pp. 3 4 - 6 0 o ~ , l i n g instruction,~)~ NONE (No reportable income, assets, or transactions..)- . . . . . . . . . . . . . . . . . ~. ............... . . . . . . . . . . ~ . [ c. D .D e s c r i p t i o n o f A s s e t s I n c o m e d u r in g [ G r o s s v a l u e a t e n d Transactions during reaming ~riod(including ~mst assets),1 repo~ing period [ ofrepo~ing period] P l a c e " ( X ) " a f t e 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 . , [Date Value ~l Gain I d e n t i ty o f~ e x e m p t ~ o m p r i o r d i s c l o s u r e ~ , C o d e I d i v . . r e n t . C o d e 2 Metb~ b u y , s e l l , [mm/d~y Code 2 ~ Code I buyer/sdler,~ ( A - H ) orint.) ] ( J - P ) C~e 3 r e d e m p t i o n ) (J-P) (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 )3 5 . --Jennison Mid Cap G raph A A Dividend J T Buy 01/12/09 J3 6 . Sold 07/14/09 J A(part)3 7 . --JP Morgan HtBRG STAT MKT NEU A A Dividend .I T Buy 01/12/09 J38. Buy 07/14/09 J(addl)3 9 . JP Morgan Mid-Cap A Dividend J T Buy 7/14/09 J40. --Lazard Emerging Markets Open A Dividend J T Buy 01/t9/09 J4 I. Sold 0 7 1 t 4 / 0 9 I A(part)42. --Pimco Low Duration FD A A Dividend J T Buy 01/12/09 J43. Sold 07/14/09 J A(part)44. --Pimco Total Rerttm A A Dividend J T Buy 01/12/09 J45. Sold 0 7 / 1 4 1 0 9 J A(part)46. --Thornburg Intl Value A A Dividend J T Buy 01/12/09 J47. Sold 07/14/09 J A(part)48. --Van Kampen Small Cap Growth A A Dividend J T Buy 01/12/09 J49. Buy 07/14/09 J(addl)5 0 . --First American Real Estate SEca A Dividend J T Buy 01/12/09 J

5 1 . Buy 07/14/09 J(addl)

I . I nc o m e G a i n C o d e s : A = S t , 0 0 0 o r l e s s B = S t .0 0 1 - $ 2 .5 0 0 C = $ 2 .5 0 1 - $ 5 .0 t~ t D = $ 5 .0 0 1 - S t 5 ,0 0 0 E = $ 1 ~ . ~ ) l~ - 5 ~ . ~ - f f -( S e e C o l u m n s B I a n d 1 3 4 ) F - $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 G = $ 1 0 0 , 00 1 - $ 1 . 0 0 0 , 0 0 0 H I = 5 1 . 0 0 0 .0 0 1 - $ 5 . 0 0 0 . 0 0 0 1 - 1 2 = M o r e t h a n $5.000,0002 . V a l u e C o d e s J : $ 1 5 . 0 0 0 o r l e s s K = $ 1 5 , 0 0 1 - 5 0 , 0 0 0 L ~ $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 M = $ 1 0 0 , 0 O I - 2 5 0 . 0 0 0(See C o l l t m n s C l a n d D 3 ) N - $ 2 5 0 . 0 0 1 - $ 5 0 0 , 0 0 0 O = $ 5 0 0 , 0 0 1 - S [ , 0 0 t ) , 0 0 I ) P l = $ 1 , 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0 P 2 - $ 5 . 0 0 0 . 0 0t - $ 2 5 . 0 0 0 . 0 0 0P 3 = $ 2 5 , 0 0 0 , 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0 P 4 = M o t e I h an $ 5 0 , 0 0 0 . 0 0 03 . V a l u e M e t h o d C o d e s Q = Appraisal R C o s l [ R e a l E s l a l Only) S : = A s s e s s m e n t T - C a s h M a rk e t(S COlullln C2) I! ";t~ook Value V =Other W Estimated


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FINA1NCIAL DISCLOSURE REPORT N a m e o f P . . .. . R e p o r . . g G a t e a t a ,p o .Page 7 of 1 1 M a l o n e y , Paul L. 05/18/2010VII. INVESTMENTS an d T R U S T S - in ......... l u e , t ....... t i G r i S ( I n c l u d e s t h o s e o f s p ....... 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 li n g i n s t r u c t i o n s . )

N O N E (No reportable income, assets, or transactions.)......... -A-.-- ................ -~. -Z .....................

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g Gross value at end T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) 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(~) " (2) (l~ .... ( 2 ) ( ~ ) ( 2 ) " ] (3) (-i) .............. i~-JP l a c e " { X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . , V a lu e V a lu e T y p e ( e . g , , i Date i Value G a i n I d e n t i t ye x e m p t f r o m p r i o r d i s c lo s u r e C o d e 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 C o d e I b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ! (J-P) ( A -H ) ( i f p r i v a t e( Q - W ) ! t r a n s a c t i o n )....................................... J5 2 . - - T C W T o t a l R e t u r n B D N A Div id e n d J T Bu y 0 1 / 1 2 / 0 9 J5 3 . Sold 07/14/09 J A(part)5 4 . --UBS Bank USA Dep Acct A Interest J T Open 0!/12/09 J5 5 . --UBS Pace Money Market 1NV Fund Class A Dividend J T Buy 07/14/09 JP5 6 . Sold 07/31/09 J A(part)5 7 . Sold 1 0 1 2 3 / 0 9 J A(part)5 8 . Brokerage Account #2

5 9 . --Apple Computer common stock A Dividend J T Sold 06/29/09 J C(part)6 0 , --UBS Deposit Acct A Int./D/v, J T Open 4/9/09 J6 1 . Brokerage Account #3

6 2 . --Morgan Stanley MoneyMarket A Dividend Sold 04/06/09 J A6 3 . --S & P 500 Index Fund B A Dividend J T6 4 .

6 5 . --Dividend G rowth Secttrities B A Dividend J T6 6 . --MS Global DividendGro~vth Security A A Dividend J T6 7 . --MS Global Dividend Growth Security B A Dividend J T

6 8 . State of Michigan 401k

I, Income Gain Codes: A =$1.lll)0 or less B ~ $1.001 - $2,500 C = $2.501 - $5.000 D -$5.001 - $15.000 E =$15.001 - $50,000(See Columns BI and 04) F ~$50,001 - $100.000 G =$100.001 - $1,000,000 III =$1,000.001 - $5.000,000 H2 =Mor~ than $5.000.0002, Value Codes J ~$ [ 5,000 or less K ~$ 15,001 - $50.000 L ~S50.001 - $ 100.000 M ~$ 100.001 - $ 250.000(See Colti01n:~ CI and 03) N =$2503101 $500,000 O =$500,001 - $1.000.000 P I ~ $ 1 .0 0 0, 00 1 - S 5. 0~ 0 .0 00 P 2 $ 5 ,0 0 0 .0 0 1 - $ 2 5 ,0 0 0. 00 0P3 =$2 5.000.001 - $50.000.000 P~ = More than $50.000.0003. Value Method Ctxles Q =Appraisal R =Cost [ Real Estate Only} S =AsscssmcnJ T =C ash h~larkct(See ColtlnlB C2) L ~Book Value V "Other W -Estimated


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FIN&NCIAL DISCLOSURE REPORT | 1 N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tPage 8 of 1 1 M a l o n e y , P a u l k 0 5 / 1 8 / 2 0 1 0

V 1 ! . I N V E S T M E N T S a n d T R U S T S - ~ . . . . ,. value, transactions attcludes those of spouse und dependent children; see pp. .74-60 of f!li,,g instructions.)----] NONE (?Vo reportable income, assets, or transactions.)

A. t3 . C. ~ D .D e s c r i p t io n o f A s s e ts h l c o m e d u r i n g 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 t ~ s d u r i n g r e p o r t i n g ~ 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 in g p e r i o d of reining periodP la c e " ( X ) " a t ~ e r e a c h a s s e t A m o u n t X ~ p e ( e . g ., Value V alue [ Ty~ (e.g., Dale ] Value Gain ~ I d e n t i ty o fe x e m p t l ~ o m p r i o r d i s c lo s u r e Code i d i v . , r e n t , C o d e 2 M e th o d ~ buy, sell, mm/d~/vv I Code 2 Code t I b u y e r . s e l l e r(A-H) orint.) ( J - P ) Code3 r e d e m p t i o n ) ~ (J-P) (A-H) [ ( i f p r a y a t e( Q - W ) ] ~ ~ r a n s a c t i o n )

69. --SSgA Bond Market Index A Dividend J T70. --MFS Total Return A A Dividend K T

7 1 . --Dodge and Cox Stock Fund A Dividend L Ti 7 2 . --Rather Lg Cap Growth Equity Fund A Dividend J T

7 3 . --Columbia Acorn Z A Dividend J T7 4 . --American FundsEuro Pacitic A " Dividend K T75. --Alliance Bernstein Int Value I A Dividend J T7 6 . --Pimco Total Return Fund I A Dividend J T7 7 . --UBS Deposit :\cct A Int.iDiv. J T Open 4 , 9 ! 0 9 J

7 8 . 457 Retirement Acct

7 9 . --Nationwide Fixed Acct B tnt./Div. L T! ~ t ) . --Newberger Genesis Fund T C A Dividend J T

8 1 . 403bAccount8 2 . --New Perspective Fund A A Dividend J T8 3 . --Capital World Growth A A Dividend J T8 4 . --US Govt Securities A A Dividend J T8 5 . Fifth Third Bank Account A Interest J T


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FINANCIAL DISCLOSURE REPORT_1 NamefPersn Reprting 1

Date of ReportP a g e 9 of 1 1 [ M a l o n ey , P a u l L. 0 5 / 1 8 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ;neo,. ,,.;.., transttctinns (Includes those of sponse and dependent children; see pp. 34-60 tyf!ling instructions.)---] NONE (No reportable income, assets, or transactions.)

........... A. ........................... B. C. " ......................... D. " .............Descriptiou of As~,ets Incom e during G ross value at end i Transat:ttons during reporlmg period(iuctuding trust assets) reporting period of reporting period :

(I) (2) ~ l~ ~2 ~ 0) 12 ~ (3~ ~4~ (5)Place ~(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity ofexempt from prior disclosure Code [ div., rent. Code 2 Method buy. sell. mm.~dd/yy ( _ o d e 2 Code 1 buyer/seller(A-H) or iutA (J-Pl Code 3 I redemption~ (J-P, ( A - H ~ (ifprtvate

(O-W) ~ , transaclion t

8 6 . D O J F e d e r a l C r e d i t U n i o n A I n t e r e s t J T8 7 . 403b(.7) Account8 8 . --New Perspective FundA A Dividend J T Open !2/18/09 J8 9 . --Capital World Grov,~h A A Dividend J T " Open 1 2 / I 8 / 0 9 J

9 0 . --US G o;t Securities A A Dividend J T Open 12;!8/09 J


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FINANCIAL DISCLOSURE REPORT [ Name of Person Reporting Dale of ReporlPage 10 of I 1 I [ r ~ t a ~ o , ,~ y . ~ ~ , , I L .

V III . ADDITIONAL INFORM ATION OR EXPLANATIONS.


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Name of Person Reporting D a t e o f R e p o r tINANCIAL DISCLOSURE REPORTPage 11 of 11IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and m inor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.I further certify that earned income from outside employment and honnraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 el. seq,, 5 I_ J.S.C~ 7353, and Judicial C onference regulations.

Signatu~

NOTE: AbiY INDIVID UAL WHO KNOWING LY AND WlLFULLY FALSIFIES OR FALLS TO FILE "[HIS REPORT MAY BE SUBJECT TO CIV ILAN[) CRIt~IINAL SANCT IONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Com mittee on Financial DisclosureAdministrative Office or" the United States CourtsSuite 2-3!)1One C olumbus Circle, N.E.Washington, D.C. 20544

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Paul L Maloney Financial Disclosure Report for 2009