Download pdf - Alfred V Covello Financial Disclosure Report for 2010

8/3/2019 Alfred V Covello Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/alfred-v-covello-financial-disclosure-report-for-2010 1/30

FINANCIAL DISCLOSURE REPORT

FOR C A LEN D A R Y EA R 2010

Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. §~ 101-111)

1. Person R eport ing (las t name, f irs t , middle ini t ia l)

Cove l l o , Al f r e d V.

4. T i t le (Art ic le 111 judges indicate act ive or senior status;

magistrate judges indicate full- or part- time)

U .S. D i s t r ic t J udge - Se n i o r

7 . C ha mbe rs o r O f f i ce Addre s s

450 Ma i n S t r e e t

H ar t f or d , CT 0 61 0 3

2. Cour t or Organization

U.S. Dist r ic t Court , CT

3. Date of R e p o r t

05/09/2011

5a, Repor t Type (check appropr ia te type)

] Nomination, Date

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the bas is of the informat ion conta ined in th is Repor t and anymodif ica t ions per ta in ing there to , i t i s , in my o pinion, in compl iance

w 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 io n s .

6. Repor t ing Per iod

01/01/2010

to

12/31/2010

Reviewing Office r Date

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 IO N S . t R e , o n l n g individual only; seepp. 9-13 of filing instructions.)

[~ N O N E ( N o reportablepositions.)

P O S I T I O N

1 . Director

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

W il liam & Al ice Mor tensen Founda t ion

I I . A G R E E M E N T S . ~ R e p o n i n ~ individual only; see pp. 14-16 of filing instructions.)

~ -~ (No reportable agreements.)O N E

DATE PARTIES AND TERMS




Pa ge 2 o f 1 5 Iame of Person Report ing

C o v e l l o , A l f r e d V .

Date of Report

05/09/201 I

I II . N O N - I N V E S T M E N T I N C O M E . ~eeror, i,,~ i, dJvid,,al a,d spo,se; seepp.

A. Fi l e r ’s Non-Inves tm ent Incom e

~-] (No reportable non-investment income.)ONE

DATE SOURCE AND TYPE INCOME(yours, not spouse’s)

I . 12/31/10 State of Connecticut Pension $111,597.00

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e st m e n t I n c o m e - if you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria..)

N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE

1 .

2.

3.

4.

I V . R E I M B U R S E M E N T S -- ,.a.spor,atio.. Iodgi.g. lood. entertainment.

(Includes those to spouse and dependent children; see pp. 2.$-27 oJ f!ling instructions.)

N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION

1 .

2.

3.

4.

5.

PURPOSE ITEM S PAID OR PROVIDED




P a g e 3 o f 1 5

N a m e o f P e r s o n R e p o r t i n g

Covel lo , Alfred V.

Date of Report

05/09/2011

V . G I F T S . a n , ’l u d e s those to spouse und dependent children; see pp. 28-31 of filing instructions.)

N O N E (No reportable gifts.)

SOURCE DESCRIPTION

I.

2.

3.

4.

5.

VA L U E

V I . L I A B I L I T I E S . a n c t u d e s t h o ~ e o l s p o u s e a n d d e p e n , ~ e n ~ children; s e e p p . 3 2 - 3 3 of filing instructiotls.)

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUECO DE




Page 4 o f 15

N a m e o f P e rs o n R e p o r t i n g

Covel lo , Alfred V.

Date of Report

05/09/2011

VII. I N V E S T M E N T S a n d T R U S T S - in come , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 oyfiling instructions.)

[~ N O N E (No reportable income, assets, or transactions.)

2.

3.

4.

5.

6.

7.

8.

9.

A. B. 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 i n g 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 i n g p e r i o d

(i) (2)

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

exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) or i n t . )

RMA Tax Free Money M arket

Bk o f New England CH. 7 Bankruptcy

(8/23/2004)

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

(1) (2) (1 ) (2) (3) i (4)

V a lu e V a lu e Type (e.g., D a t e Value / Gain

C o d e 2 M e t h o d b u y , s e l l , m m /d d /y y Code 2 [ Code 1

(J-P)

C o d e ( Q . W ) 3

r e d e m p t i o n ) (J P) (A-H)

H P

A

S W K

M CD

PEP

SC I

U B S I R A M M F

UBS B ank Depos i t IRA

Real Estate, Bidderford, M E (1/2 Interest)

Real Estate, Naple FL (I/2 Interest)

Real Estate, Farm ington CT

Schwab Br okerage # I

T

AAPL

S c h w a b M o n e y M a r k e t ( M M F )

A Dividend

None

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

None

B Dividend

A Int . /Div.

C Rent

D Rent

C Rent

A Dividend

None

D Dividend

K

J

J

J

J

J

J

J

J

J

M

O

PI

J

K

M

T

U

T

T

T

T

T

T

T

T

W

W

W

T

T S old

(par t)T

04/29/10 J D

( 5 )Identity of

b u y e r / s e l l e r

( i f pr iva t e

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

1. Income Gain Codes:

( S ee Colu mns B I and D 4 )

2. Valu e ( ’odes

( S ee Colu mns CI and

3. Value Mcthed (A~des

IS c c Colu mn ( ’2 )

A =$1,000 or less

F =$50,001 . $100,000

J = $ 1 5 . 0 0 0 or less

N = $ 2 5 1 ) , 0 0 1 * $500,000

P3 : $25,000,001 - $50,000,000

Q =Appraisal

U =B ook Valu e

B=$1,001 - $2,500

G =$ 100.001 - $1 ,000,000

K =$15.001 - $50,000

O =$500,001 - $ 1 ,000,000

R =Cos t ( R eal E s t a t e O nly )

V ~ Other

C =$2,501 - $5,000

H 1 = $1,000,001 - $5,000,000

L $50,001 - $1 00,000

P I =$ 1,000,001 - $5,000,000

P4 - M or e than $50 ,000,000

S =As s es s ment

W =E s t imated

D =$5,001 - $15,000

H 2 = M o r e t h an $ 5 , 0 0 0 , 0 0 0

M =$100,001 - $250,000

F2 =$5,000,001 - $25,000,000

T = C a s h M a r k e t

E =$15.001 - $50,000




Page 5 o f 15

Name of Person Report ing

Cove l l o , A lf r e d V .

Date of Report

05/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - inco,.e, vat.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!ling instructions.)

N O N E (No reportable income, assets, or transactions.)

A. 13. C. D.

Descr ipt ion of Assets Income dur ing Gross value a t end Transact ions dur ing repor t ing per iod

( including t rus t asse ts ) reporting period of reporting period

( 1 ) ( 2 ) (1) (2) (1 ) (2) (3)

Place "(X)" after each asset A m o u n t Type (e.g. , V a l u e Va l u e Type (e.g. , Date Value

exempt f rom pr ior d isclosure C ode 1 div., rent, C o d e 2 Method b uy, sell, m m/dd /y y Code 2(A-H) o r i n t . ) (J-P) Co de 3 redem ptio n) (J-P)

1 8. CATO A Dividend

1 9. DTE A Dividend

20. ETN A Dividend

1 2 1 . GOOG None

122. GS A Dividend

23. HPQ A Dividend

24. IBM A Dividend

25. KFT A Dividend

26. MRK A Dividend

27. MS A Dividend

28. NE A Dividend

29. NVT A Dividend

30. P G A Dividend

3 I. PM A Dividend

32. PTV A Dividend

33. RTN A Dividend

34. SCHW A Dividend

( Q - W )

K T S old(part)

K T Sold

(part)

K T Buy

J T

K T

K T S o l d

(part)

K T Sold

(part)

J T

K T

J

J

J

J

T

T

T

T

04/29/10

04/29/10

09128/10

09/28/10

04/29/10

S o l d 09/28/10

S o l d 09/28/10

S o l d 04/29/10

J

J

K

J

J

J

K

(4 ) (5 )

G a i n Identity o f

C o d e 1 buyer /seller

( A - H ) ( i f p r i v a t e

t ransaction)

A

B

B

A

A

K A

I . Inc ome G ain Codes : A = $1 .000 o r le ss B = $ 1 ,001 - $ 2 ,500 C =$2.501 - $5,000

(See C o lum ns BI an d 1341 F = $ 50,001 - $ 100.000 G = $ 100.001 - $ 1 ,0 00,000 HI =$ 1 ,000,001 - $ 5 ,000,000

2 . Valu e Codes J = $ 1 5 . 0 0 1 1 o r l e s s K= $ 15,001 - $ 50,000 L = $ 50,001 - $ 100,000

(See Co lu m ns C I an d D31 N =$250,001 - $ 500,000 O =$ 500,001 - $ 1,000,000 P 1 =$ 1,000,001 - $5!000,000

P3 ~$ 25,000,001 - $50,000.000 P 4 = M o r e t h an $ 5 0 , 0 0 0 , 0 0 0

3. V a l ue Met h o d C o d es Q = A p p r a isa l R =Cos t ( R eal E s t a t e O nly ) S =As s es s ment

~ S c e C o l u m n C 2 1 U =B ook Valu e V - O ~ h c r W =E s t imated

D =$5,001 - $15,000

H 2 = M o r e t h an $ 5 , 0 0 0 , 0 00

M =$100,001 o $250,000

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

T = C a s h M a r k e t

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




Page 6 o f 15

N a m e o f P e rs o n R e p o r t in g

Cove l l o , A lf r e d V .

Date of Report

05/09/2011

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 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 i n g 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 ) re po rt in g p erio d o f r e po rt in g p erio d

(l) (2) ( 1 ) ( 2 ) (l)

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g.,

exempt from prior disclosure C o d e 1 div., rent, C o d e 2 M e t h o d b u y , s e l l ,( A - H ) o r i n t . ) (J-P) C o d e 3 redemption)

( Q - W )

35 . T N C A Divid en d K T

3 6. V Z A Div idend J T

3 7. YU M A Dividend J T

3 8. MA 5.625% S T Port Rev A I n t e r e s t M a tu r e d

39 . MA 5.5% Pt Auth Rev B I n t e r e s t K T

40. X LP A Dividend Sold

41 . V FH A Dividend K T

42. YU M A Dividend K T

43 . T RV A Dividend K T

44. NK E A Dividend J T

45. CT State Gen Rev 4% B I n t e r e s t L T

46. S ta m fo rd C TG O 4% B I n t e r e s t L T

47 . V T I A Dividend L T

48 . V H T A Dividend K T Sold(part)

49. CV Y A Dividend L T B u y

50. X LE A Dividend K T

51. EFG A Dividend K T

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

(2) (3)D at e Value

m m / d d / y y C o d e 2

O - P )

0 7/ 0 1 / 1 0 J A

09/28/10 J A

09/28/10 K C

09/28/10 L

( 4 ) (5 )

Gai n Identity of

Code I b u y e r / s e l l e r

( A - H ) (if private


I. Income Gain Codes: A =$1,000 or less B = $1,001 - $2 ,500 C = $2 ,501 - $ 5,000

( See Columns B 1 a nd D4 ) F =$ 50,001 - $100.000 G = $ 100,001 - $ 1 ,000,000 H 1 =$ 1,000,001 - $5,000,000

2 . Valu e Codes J = $15,01)0 or less K = $ 15,001 - $ 50,000 L =$50,001 - $ 1 00,000

( S e e C o h m m s C I a n d D 3 ) N =$250.001 - $500,000 O = $5 00 ,0 01 - $ 1, 00 0,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00

P3 -$25,000,001 - $50,000,000 P4 =M or e than $50 ,000,0003, V a l ue Met h o d C o d es Q = A p p r a i sa l R = C o s t (Real E s t a t e O n l y ) S =As s es s ment

( S c c Colu mn C2 ) U = Bo o k V ul uo V = O t h e r W =E s t imated

D =$5,001 - $15,000

H2 =M o r e than $5 ,000,000

M =$100,001 - $250,000

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

Y = C ash Mar ke~

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




Pa ge 7 o f 1 5

Name of Person Report ing

Covel lo, Alfred V.

Date of Report

05/09/201 I

V l l. IN V E S T M E NT S a n d T R U S T S - i .... e, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

D N O N E (No reportable incom e, assets, or transactions.)

A. B. C.

D e s c r ip 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

( 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

(l ) (2 ) (l) (2)

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. , V a l u e V a l u e

e x e m p t f ro m p r i o r d i s c l o s u r e C o d e l d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

( Q - W )

52 . IJK A Dividend K T

53 . I J J A Dividend K T

54. IJT A Dividend K T

55. I J S A Dividen d J T

56. IW B A Dividend K T

57. H YG C Int./Div. L T

58 . EM B C Int . /Div. L T

59 . FX I A Dividend K T

60. DB C A Dividend K T

61. PID B Dividend K T

62. SC H V B Dividend K T

63 . X L Y A Divid en d K T

64. X LB A Dividend K T

65. X LK A Dividend K T

66, S DY B Dividend K T

67. V W OA Dividend K T

68. V NQ A Dividend K T

Tr an s ac t i on s d u r i ng r epo r t i ng p e r i o d

(l ) (2) (3)

Type (e.g. , D a t e V a l u e

bu y, se ll, m m/dd /y y Code 2

r e d e m p t i o n ) ( J - P )

So ld 09/28/10 K(par t )

Sold 09/28/10 K

(part)

So ld 09/28/10 J(par t)

So ld 09/28/10 J

( p a n )

So ld 04/29/10 J( p a n )

(4 ) (5 )

Gain Identity of

Code 1 b u y e r / s e l l e r

(A-H) ( i f p r i v a t e


D

C

1. Income Gain Codes: A = $ 1 . 0 0 0 or l e ss B ~$1.001 - $2.500 C = $2 .501 - $ 5 .000 D =$ 5,001 - $15,000

(See Columns B 1 and 194) F =$50.001 - $100.000 G = $ 1 00 .0 01 - $ 1.0 00 .0 00 H 1 = $1 .0 00 .0 01 - $ 5,0 00 ,0 00 H2 - M or e than $ 5 . 000,000

2. V a l u e C o d e s J =$15.000 or l e s s K -$ 15,001 - $50.000 L -$50,001 - $ 100,000 M =$ 100.001 - $250.000

( Se e C olu m ns C I a nd D3 ) N =$ 25 0.0 01 - $ 50 0.0 00 O =$500.001 - $ 1.000.000 P I -$ 1 .000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P 3 = $25.000.001 - $50.000,000 P4 = M ore than $ 50,000,000

3 . Valu e M ethod Codes Q = A p p r a i sa l R =Cos t ( R eal E s t a t e O nly ) S =As s es s ment T = Ca sh M a rkc t

(Se e Co lumn C2) U =B ook Valu e V = O t h e r W =Est imalcd

E =$15.001 - $50.000




Pa ge 8 o f 1 5

N a m e o f P e rs o n R e p o r t i n g


Dote of Report

05/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - ineo,,e, value, t ...... tions ( Inc ludes those of spouse and dependent chi ldren; seepp. 34-60 of f ! l ing instructions.)

D N O N E (No reportable income, assets, or transactions.)

A. B. C.

D e s c r ip t io n o f A s s e ts In c o m e d u r in g G r o s s v a lu e a t e n d

(in c lu d in g tr u s t a s s e ts ) r e p o r t in g p e rio d o f r e p o r t i n g p e r i o d

( 1 ) (2 ) (1) (2)

P l a c e " ( X ) " a i d e r e a c h a s s e t A m o u n t Type (e.g., V a lu e V a lu e

exempt from prior disclosure C o d e I d i v . , r e n t , C o d e 2 M e th o d( A - H ) or i n t . ) (J-P) C o d e 3

( Q - W )

69. CTGO3.5%

70 . P i n a l C o u n t y A Z 5 %

7 1 . N Y Ci ty 5 .25% GO

72 . Louisiana ST Corre c 5%

73 . M i dla nd TX 5% G O

74 . Vernon CT 4% GO

75. C i t i z e n s P P t y F I R e v 5 %

76 . R e a g a n C t y T X 4 % G O

77 . U t a h W t r A u t h R e v 5 %

78 . M a g n o l ia T X 5 % G O

79 . NY State Dorm 5%

8 0. N or th s id e TX 3 .5% G O

81 . Mas s. State Health 5%

8 2. C A S ta te Ec on 5%

8 3. S an Fr an CA Re v4%

84 . T a r r a n t C o u n t y T X 5 . 7 5 %

85. U C O N N G O 5%


A I n t e r e s t K

A I n t e r e s t M

D I n t e r e s t L

B I n t e r e s t K

B

C

C

C

C

I n t e r e s t K

I n t e r e s t M

I n t e r e s t M

I n t e r e s t M

I n t e r e s t M

T

T

T

T

T

(l ) (2) (3)

Type (e.g. , D a t e Va l u e

buy, se l l , m m /d d/y y C od e 2

r e d e m p t i o n ) (J-P)

C

c

A

A

B

B

D

B

I n t e r e s t M

I n t e r e s t M

I n t e r e s t M

I n t e r e s t M

I n t e r e s t L

I n t e r e s t K

I n t e r e s t M

I n t e r e s t K

T

T

T

T

T

T

T

T

(4 ) (5 )

Gain Ident i ty of

Code 1 buyer /se l l e r

(A-H) ( i f p r i v a t e

transaction)

I. Inc ome G ain ( ‘odes :


2. Valu e Codes

( S ee Colu nms C I and D 3 )

3. Valu e M elhod Codes

(Se e Co lumn ( ’ 2 )

A= $ 1 ,0 0 0 o r lc s s

F ~$50. 001 . $1 00,000

J =$15.000 orlcss

N =$2 50,001 - $500,000

P3 ~$25,000,001- $50.000.000

Q = A p p r a i s a l

U =B ook Valu c

B =$1,001 - $2.500

G =$ 100.001 - $ 1.000.000

K =$15.001 - $50,000

O =$500,001 - $ 1 , 0 0 0 , 0 0 0


V - Oth e r

C =$2,501 - $5,000

H I =$ 1,000,001 - $5,000,000

L $50,001 - $100.000

P 1 =$ 1,000,001 - $5,000,000

P4 =M or e than $50 ,000,000

S =As s es s ment

W =E s t imated

D =$5,001 - $1 5 ,000

H2 =M or e than $5 ,000,000

M = $ 10 0 ,0 0 1- $ 25 0 ,0 0 0

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

T - C a s h M a r k c t

E = $ 15 .0 0 1- $ 5 0 ,0 0 0




Pa ge 9 o f 1 5


Covel lo, Alfred V.

Date of Report

05/09/2011

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, ira .... tlons (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)


A.B. C. D.

D e s c r ip t io n o f A s s e ts In c o m e d u r in g G r o s s v a lu e a t e n d T r a n s a c tio n s d u r in g r e p o r t in g p e r io d

( i n c l u d i n g t ru 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

(l) (2) (1 ) ( 2 ) (1 ) (2) (3)Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., D a te V a lu e

exempt from prior disclosure 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 , mm/dd/yy C o d e 2( A - H ) or i n t . ) (J-P) C o d e 3 r e d e m p tio n ) ( J - P )

( Q - W )

86 . Glastonbury 4.5% C I n t e r e s t L T

87 . Schwab Brokerage #2

88 . S c h w ab M M F A Dividend K T

89. ACN A Div idend J T

90 . AK ZO Y A Dividend J T B u y 03/08/10

91. AH K S Y A Dividend J T B u y 11/24/10

92 . B U D A Dividend J T Sold 06/23/10(par t )

93 . ALU A Dividend J T

94. M T A Dividend J T

95. B S B R A Dividend J T

96 . A B X None Sold 03/I 1/10

97 . B A C H ¥ A Dividend J T B u y 02/01/10

98 . B R G Y Y A Dividend J T B u y 01/26/10

99. B JINY A Dividend J T B u y 01/27/10

100. BNPQY A Dividend J T B u y 04/29/10

101. B C S A Dividen d JT Sold 03/10/10(par t)

102 . BAES Y Non e S old 03/10/10

J

J

J

J

J

J

J

J

J

J

(4 ) (5)

Gain Iden tity o f

C o d e 1 buyer /se l l e r

(A-H ) (if private

transaction)

A

A

A

1. Income Gain Codes: A =$1 ,000 or l c , s B =$1,001 - $2.500 C = $2,501 - $5 ,000 D =$5,001 - $15.000

( S ee Colu mns B 1 and D 4 ) F = $50,001 - $100.000 G = $ 100,001 - $1 ,000,000 H 1 = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 [ t2 = M or e th a n $ 5.0 00 ,0 00

2 . Valu e Codes J -$15,000 or less K :$15,001 - $50,000 L =$50,001 - $100,000 M $ 10 0 ,0 0 1 - $ 25 0 ,0 0 0

( S ee Colu mns C 1 and D 3 ) N - $250.001 - $500.000 O= $500.001 - $ 1 .000,000 P 1 =$1,000,001 - $5,000,000 P2 -$5,000,001 - $25,000,000

P3 $25,000.001 - $50,01)0.000 P4 =More than $50,000,000

3 . Valu e M elhod Codes Q = A p p r a i sa l R :Co s t (Re a l Es la le On ly) S =As s es s ment T = Ca sh M a rke t

(Se e Co lumn C2) U =B ook Valu e V : O t h e r W =E s t imated

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



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

Page 10 of 15


Covel lo, Alfred V.

Date of Report

05/09/2011

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 f illng instructions.)

D NONE(No repo rtable 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 In c o m e d ur in g G ro s s va lu e a t e n d

( in c lu d i n g t ru s t a s s e t s ) re 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

(]) (2) (1 ) ( 2 )

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Value

exempt from prior disclosure Code I d iv ., r e n t , C o d e 2 M e t h o d(A-H) or i n t . ) (J-P) C o d e 3

( Q - W )

A

A

A

A

A

A

A

A

A

A

A

1 0 3 . B H P

1 0 4 . B Z L F Y

1 0 5 . C C J

1 0 6 . C A J

1 0 7 . C Y O U

1 0 8 . C V E

1 0 9 . C N I T

110. C. IRE F

1 1 1 . C H L

112. C E O

1 1 3 . C S

1 1 4 . D B O E Y

1 1 5 . D E O

1 1 6 . E G O

1 1 7 . E X P G Y

1 1 8 . F M S

1 1 9 . F J T S Y

None

Dividend J T

Dividend

Dividend J T

Dividend

Dividend J T

None J T

Dividend J T

None J T

None J T

Dividend J T

Dividend J T

Dividend J T

None J T

Dividend J T

Dividend J T

Dividend J T


(1 ) (2) (3)

Type (e.g. , Date Va l u e

buy, se l l , mm!dd!yy C o d e 2

redempt ion) (J-P)

S old I 1/10/10 J

S old 05/03/10 J

S o ld 1 2 /07 /1 0 J

B uy 04/27 /10 J

B uy 04/06/10 J

B uy 01/07 /10 J

B uy 03/15/10 J

Buy 03/16/10 J

( 4 ) ( 5 )

Gain Iden tity o f

C ode 1 buyer /se l l e r

(A-H) (if private

transaction)

B

A

A

I, Income Gain Codes:


2. Valu e Codes

( S ec Colu mns C I and D 3 )

3. V al ue Mcl h o d C o d es

( S c c ( ’oIu nm C2 )

A= $ 1 ,0 0 0 o r le s s

F = $50,001 - $1 00. 000

J =$15,000 or less

N =$250.001- $500.000

P3 -$25,000.001- $50.000.000

Q =App~ i s a l

U =B ook Valu e

B =$1 ,001 - $2 ,500

G =$1 00,001 - $1 ,000,000

K =$15.001- $50,000

O =$500. 001 - $1 . 000. 000


V ~ O l h c r

C =$2 ,501 - $5 ,000

H I =$1,000,001 - $5,000,000

L =$50,001 - $ 100,000

P I =$1,000,001 - $5,000,000

P4 =M or e than $50 ,000,000

S =As s es s ment

W = E s t im a t e d

D= $ 5 ,0 0 1- $ 15 ,0 0 0

H2 =M or ethan $5 ,000,000

M = $ 10 0 ,0 0 1- $ 25 0 ,0 0 0

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

T C a s h M a r k e t

E = $ 15 .0 0 1- $ 5 0 ,0 00




Pa ge 1 1 o f 1 5


Covc l l o , Al fr ed V .

Date of Report

05/09/2011

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.)

---] 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 I n 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

(in c lu d in g tr u s t a s s e ts ) r e p o r tin g p e r io 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 A m o u n t Type (e.g., V a l u e V a l u e Type (e.g.,

exempt from prior disclosure C o d e 1 d i v . , r e n t . C o d e 2 M e th o d b u y , s e l l .( A - H ) o r in t .) ( J- P ) C o d e 3 r e d e m p t i o n )

( Q - W )

120. GVDN¥

121. HBC

1 2 2 . J U P I Y

1 2 3 . K D D I Y

1 2 4 . K C R P Y

1 2 5 . A H O N Y

126. LNEGY

1 2 7 . L V M U Y

1 2 8. M T N O Y

1 2 9 . M K T A Y

130. NSRGY

1 3 1 . N T D O Y

132. NBHGY

133. NVS

134. NVO

135. PBR

1 3 6 . P U B G Y


(2) (3)D a t e V a l u e

mm/ddlyy C o d e 2

(J-P)

(4 ) (5 )

Gain Ident i ty of

Code 1 buyer /se l l e r

(A-H ) (if private

transaction)

A D i v i d e n d J T

A D i v i d e n d Sold 0 2/ 0 9 / 1 0 J A

N o n e J T

N o n e J T

N o n e J T


A D i v i d e n d J T B u y 01/13/10 J

A D i v i d e n d J T B u y 05110/10 J

N o n e J T

N o n e J T B u y 05/06/10 J


N o n e S o l d 03/15/10 J A

N o n e S o l d 08/05110 J A


N o n e J T

A D i v i d e n d Sold 11/10/10 J A

A D i v i d e n d S o l d 0 7/2 2 /1 0 J A

I, Inc om e Ga in Co de s: A = $1,000 o r less B = $ 1,001 - $ 2 ,500 C = $2,501 - $5 ,000 D =$5,001 - $15,000

( S ee Colu mns B I and D 4 ) F = $ 50,001 - $ 100,000 G =$ 100.001 - $1 ,000,000 H 1 = $ 1, 00 0, 00 1 - $ 5, 00 0, 00 0 H 2 =M o re t ha n $ 5, 00 0, 00 0

2 . V alue C o d es J = $1 5,000 o r le ss K = $15.001 - $ 50,000 L =$50,001 - $ 100,000 M -$ 100,001 - $250,000

( S ee Colu mns C I and D 3 ) N =$ 250,O 01 - $ 500.000 O =$ 500.O 01 - $1 ,O 00,000 P 1 =$1,O 00,001 - $ 5,000.O O 0 P2 =$5,000,001 - $25,000,000

P3 =$25.000,01) I - $50.000.000 P4 =M o r e than $50 ,000,000

3 . Valu e M ethod Codes Q =Appr a i s a l R =Cos t ( R eal E s t a t e O nly ) S =As s es s ment T = Ca sh M a rke t

(Se e Co lumn C2) U =B ook Valu e V O t h e r W = E s t im a t e d

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




Page 12 o f 15


Covel lo, Alfred V.

Date of Report

05/09/2011

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.)

N O N E (No reportable incom e, assets, or transactions.)

A. 1 3 . C.

Des c r i p t i on o f As s e t s I n c o m e d u r i n g G r o s s v a l u e a t end

(in c lu d in g tr u s t a s s e t s ) r e p o r tin g p e r io d o f r e p o r tin g p e r io d

(1) (2) (1) (2) (I) (2) (3)

P l ac e " (X)" a f t e r e a c h a s s e t A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., D a te V a lu e

e x e m p t f r o m p r i o r d i s c lo s u r e Code 1 d i v . , r en t , Co de 2 M eth o d b uy , s e l l, mr n / d d / yy C o d e 2( A - H ) or in t . ) (J-P) Co de 3 r e dem p tion ) (J-P)

( Q - W )

1 3 7 . R U K A Dividend J T

1 3 8 . R H H B Y A Dividend J T

139. RDSA A Dividend J T B uy 11/10/10 J

140. SAP None J T

1 41. S G PY Y A Dividend J T

142. SVNDY A Dividend J T

1 43 . S B G S Y A Div idend J T

144. SGS OY A Dividend J T

145. SI A Dividend J T

146. SNN A Dividend J T

147. SNE A Dividend J T B u y 10/29/10 J

148. SQ M A Dividend J T

149. SCGLY A Dividend S o l d 03/17/10 J

1 50. S D X A Y A Dividend J T

151. SLW None J T B u y 01/12/10 J

152. SLT A Dividend Sold 12/10/10 J

153 . ST D A Dividend S o l d 04/27/10 J

T ra n sa c t i o n s d u r i n g r e p o r t i n g per i od

( 4 ) ( 5 )

G a i n I d e n t i t y o f

C o d e 1 b u y e r / s e l l e r

( A - H ) ( i f p r i v a t e


B

A

I. I n c o m e G a in C o d e s : A = $ 1 , 0 0 0 or l e s s B = $1 ,001 - $2 ,500 C = $ 2,501 - $ 5,000 D =$5,001 - $15,000

(See Columns B I a n d D 4 ) F =$50,001 - $100,000 G =$100,001 - $1 ,000,000 H 1 =$1,000,001 - $5,000,000 H2 =M or e than $5 ,000,000

2. V a l u e C o d e s J =$15,000 or l e s s K = $ 15,001 - $ 50,000 L = $ 50,001 - $ 100,000 M =$100,001 - $250.000

( S e e Colu mns C I a n d D 3 ) N =$250,001 - $500,000 O =$500,001 - $1 ,000,000 P 1 = $ 1, 00 0, 00 1 - $ 5, 00 0, 00 0 P 2 = $ 5, 00 0, 00 1 - $2 5 ,0 00 ,0 00

P3 = $ 25,000,001 - $ 50.000,000 P 4 = M o re th an $ 50,000,0003 . Valu e M ethod Codes Q = A p p r a i sal R = C o s t (Real Eslate Only) S =Asses sment T = C a s h M a r k e t

IScc ( ’o lomn C2 ) U =B ook Valu e V = O t h e r W =Est imat ed

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




Pa ge 1 3 o f 1 5



Date of Report

05/09/2011

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 , v a lu e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

1 5 4 . S U H J Y

1 5 5 . S W B D Y

1 5 6 . T C K

1 5 7 . T L M

1 5 8 . T E V A

1 5 9 . T S C D Y

160. T N T T Y

1 6 1 . T K G B Y

1 6 2 . T M

1 6 3 . U G P

164. U N

1 6 5 . O U V E ¥

1 6 6 . V L E E Y

1 6 7 . V O D

1 6 8 . W S H


Description of Assets Income during

(in clu din g tru st asse ts ) rep ortin g period

(l ) (2 )

Place "(X )" after each asse t A m ou nt Type (e .g .,

exempt f rom pr ior d isclosure Code 1 div., rent,(A-H) o r i n t . )

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

(1) (2)V a lu e V a lu e

C o d e 2 M e t h o d

( J - P ) C o d e 3

( Q - W )

A Dividend J T

A Dividend J T

None J T

A Dividend

None J T

A Dividend J T

A Dividend J T

A Dividend J T

A Dividend

None J T

None J T

A Dividend

A Dividend J T

A Dividend J T

None J T

O )Type (e.g.,

b u y , s e l l ,

r e d e m p t i o n )


(2) (3) (4)

Date Va l u e Gain

m m / d d / y y C o d e 2 Code 1

(J-P) (A-H)

(5 )

Identity of

b u y e r / s e l l e r

(if private


B uy 12/02/10 J

So ld 0 4 / 26 / 1 0 J A

B uy 0 6/ 21 / 1 0 J

B uy 08/02/10 J

So ld 01/28/10 J A

So ld 12/10/10 J B(par t)

So ld 03/05110 J A

B uy 10/22/10 J

169.

I.Income Gain Codes:


2.V al ue C o d es

(See Columns 1~1 aad D3)

3. V al ue Met h o d C o d es

( S ee Colu mn C2 )

A =$ 1,000 or loss

F =$50,001 - $100,000

J =$15,000 or less

N =$250,001 - $500,000

P3 =$2 5,000,001 - $50,000,000

Q =Appraisal

U =B ook Valu e

B=$ 1.001 - $2,500

G =$ 100.001 - $1,000,000

K =$15,001 - $50,000

O =$500,001 - $ 1,000,000

R : Cos t ( R eal E s t a l e O nly )

V = O t h e r

C =$2,501 - $5,000

H I =$1,000,001 - $ 5,000,000

L =$50,001 - $ 100,000

PI =$1,000,001 - $5,000.000

P4 =M or e than $50 ,000,000

S =As s es s ment

W =E s t imated

=$5,001 - $15,000

H2 =M or e than $5 ,000,000

M =$100,001 - $250,000

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

- Ca sh M a rke t

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




Page 14 of 15

N a m e o f P e r so n R e p o r t in g


Date o f Report

05/09/2011

V I II . A D D IT 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 . (lndlcate part of report.)




Page 15 of 15

IX. CERTIFICATION.

Iame of P e r son R epor t ing


Date o f Report

05/09/2011

1 c e r t i f y th a t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .

1 f u r t h e r c e r ti f y 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 ft s 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 nc o m p l i a n c e ~ v i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q . , 5 U . S .C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S[ Alfred V . Covel lo

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 I E S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I VI LA 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 )

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544



A O 1 0

Rev. 1 /2011


FO R CAL E NDAR YE AR 2 0 10

Report Required by t )~e F .Ihlc.v

in Government dc t o f 1978(5 U.S.C. app. §§ 101-111)

[ 1 . P e r s o n R e p o r t i n g ( i t s { n m e , t i n t , mkklle Jn l t ln l)

Covel lo, Alfred V.

: 4. Titk ( A r i d © Il l J u d g ~ Indicate act ive or senior s t s t u s ;

magi~ ~udg~ indicate f~lt- or

U.S. Dis tr ic t Judge - Senior

450 M~ Stree tHa rtford, CT 06103

2, Court or Organization

U.S. District Court, CT

5n, l~l~rt Type (clt~k appropriate type)

3. Dsle of R e p o r t

05/09/2011

6. Re~r~ng period

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : T i ~ e ~ n s t r n c a o n s accompanying th t~ fo rm mu .~be fo l lowed . Complese a l l par~,

eheeMng the NO NE box fo r each par t where you hm , e no repor tab le info rma t ion. S ign on las t page .

N O N E (No reporlable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

1. Director Will iam & Alice Mort~nsen Foundation

2.

3.

4.

5.

II. AGREEM ENTS. r s~o,~s ~m ~,1~; ~ ,rp . + + - + + o f f + - + ~ = ~

~] N O N E ( N o re por tab le agre e me n ts .)

P A R T I E S A N D T E [ UV IS



F I N A N C I A L D I S C L O S U R E R E P O R TPage 2 o f 15

N a m e D f P e r s o n R ~ p o r t fo g

Cove l l o , Al fred V .

D a t e o f R e p o r t

0S1091201 t

H I . N ON - IN VE S TM E N T IN C OM E . , ’ ~ .o , , -a , , ~

A. Fli er’s Non- Inves tme nt Incom e

[~ N O N E (N o repor table non-inves tment income. )

DATE SOURCE AND TYPE INCOME(yours, n o t ~ D o u ~ ’ ~ )

1.12/31/10 State of Connecticut Pension $ I 1 ! ,597.00

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e s tm e n t I n c o m e - If you v,~ere m~rh~d daring any po ~ton o f t l~ reptm~Ig year,

(Dollm" amounl ~ot r~uired ¢z oept for honoraria.)

~] N O N E (N o repor lab le non- investment income.)

DATE_ SOURCE AND TYPE

1.

2.

3.

4.

I V . R E I M B UR S E M E N T S - ~ao~ ~,~/oo~ =~,~( l n ~ ’ l u d e . , th o a e t o s p o u s ¢ a n d d e p e n d ~ n t c , ~ i / d r e n ; s e e p p . 2 . L 2 7 o f f i l i n g i n s tr u c t i o n s . )

~] N O N E ( N o repor tab le re imbursements .)

2.

3,

4.

5.

SOURCE DATES LOCATION P U RP O S E ITEMS PAID OR PROVIDI~D




Page 3 o f 15

Name of Pmo.~ Reporting

Cove l l o , Alf red V ,

Date of Repots

05/091201 !

NONE ~o re~rtableg~s.)

SOURCE

1.

2.

3.

4.

V L L I A B I L I T I E S , a ~

N O N E (N o reportoble l iabilit ies.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUE CODE



F I N A N C I A L D I S C L O S U R E R E P O R TPage 4 o f 15

I~ame of Person R ~ p e r f l n g

Covelle~ Alfred V.

D a t © o f R ~ p e r ~

05/09/2011

V I I. IN V E ST M E N T S a n d T R U S T S -

~-] NONE (No reportable income, assets, or transactions.)

O)T y p e ( e . g .,

b u y , sel l ,r e d e m p t i o n )

Transactions daring reparting period

(2) o) (4) (5 )Date Val~e Oata Idemity of

mmMd/yy Code 2 ~_xxle i b u y e . r / s e i l e r

O-P) (A-~) (~f prate

tnmsacfion)

1, RMA Tax Free Money Market

2. Bk of New England CH. 7 Bankraptey None(8/23/2004)

3. H P A Dividend

J U

T

4. A A Dividend

5. SW K A Dividend

6. MC D A Dividend

7. PE P A Dividend

8, S C I None

9. UBS IRA MMF B Dividend

1 0 . UBS Bank Deposit IRA A Int~Div.

1 1 . R e a l Estate, B idderford, ME (1/2 Interest) C R e n t

1 2 . Real Estate, Naple FL (1/2 Interest) D R ent

13 . Real Estate , Farmicgton CT C Rent

J

J

J

M

O

PI

T

T

T

T

T

T

W

W

W

1 4 . S ch w ab Bro kerage # t

1 5 . T A Dividend J

1 6 . AAPL None K

1 7 . Schwab Mo~ey Market (MMF) D Dividend M

¯

T

T

T

Sold 04/29/10 J D

E ~$15,00t - $50,000




P a g e 5 o f 15

Name of Pel~oa R eporl~g

Covello, Alfred V.

Date of Rq~rt

05/09/2011

VII. INVESTMENTS and TRUSTS -


A.

B. C,D e s c r i p t i o n o f A s s e L * Income during C - r o s s v a l n e 1 1 e n d

(~ ndi~g t rust as~) r e p o r t i n g 1 x * i o d of reporting period

O) (2) (t ) ( 2 )place’(X)" after each asset Amount Type (e.g., V a l u ~ VaMe

exempt flora prior disclo~re Code I d i v . , r m 3 t , Co d e 2 M e t h o d(A-H) or ira.) ( J - P ) Code 3

( Q - W )

"[yp~ (=g.,

b u y ,

redemption)

DoTransact ions ~ repor t ing

18. CATO

19. DT E

20 . ET N

21 . GOOG

A Div idend K

A Div idend K

A Dividtmd K

N o ne J

T

T

T

T

Sold 04/29110 J( p a r t )

Sold O4/29/10 J

B-F 09/28/10 K

C

22. GS A Dividend K T

23 . HP~

24. IB M

25. KFT

26. MRK

A

A

A

Dividend K

Dividend K

Dividend J

T

T

T

Sold 09/28/10

( p a r t )

Sold 04/29!10

( p a r t )

A Dividend K T

B

B

27. MS A D i v i d e n d Sold 09/’28/10 J A

28. NE A Dividend Sold 09/28/10 K A

29 . NV T

30 . P O

31 . P M

32 . PT V

33. RTH

34 . SCHW

A Dividend

A Dividend

A Dividcnd

A Dividend

A Dividend

A Dividend

J

J

J

J

T

T

T

T

Sold 04129/I 0 K

A

F -L~0,001 - $ 1 0 0 , 0 0 0

J -~-$15D00 or le~

N -$250,001 ¯ $500,000

P3 -$25.000D01 - $50,000,000

q

U -Bt~. Value

G ~1100 ,1~I - $1,000,000

g -11 ~.ooI - $50,000

O =$500,001 - $;,0o0,000

C =t2,501.

HI =11,000,001 - $5,000,000

L =$50,001 -

PI =$1,000,00| - $5,J000,000

P4 ~Mam ~

D -$5,00J - $15,000

~ - -Mct ’e ~s aa $5 ,0¢0#00

P2 ~5,000.00! . $25,000D00

T -~7.ash Market

E = $l 5 ,001 - $50,000




P a g e 6 o f 1 5

N a m e o f P e f s e a R e p o r t i n g D a t e of Report

Cove l lo , Alfr td V. 05/09/201 !

VII . INVESTMENTS and T R U S T S - ~o,,,. ~. ~,~,~,

[~] N O N E (No reportable income, assets, or transactions.)

T y 0 e ( e . g -,

bay, sell,

Transactions duriag regoRiag p~kx l

(2) O) (4) (5)

Dat e V a l u e C - r a i n l~ntity of

mm/ddlyy Code 2 Code ! buy er/seller

( J - P ) (A-H) ( i f p ~ i v a t e

35. TNC A Dividend K

36. VZ A Dividend J

37 . Y UM

38 . MA 5.625% ST Pofl

3 9. M A 5.5 % Pt Aa th Re ,/

40 . X LP

41 . ~l~l

43 . T RV

44. NK E

A Dividend J T

A Irttere,t

B i n t e r e s t K T

Matured 07/0tit0 J A

A Dividend Sold 09/28/10 J A

A Dividend K T

A Dividend K

A Dividend K

A Dividend I T

45 . C T State Gen Rev 4 ° / o

46 . Stamford CT GO 4"/,

47 . VT I

48 . VH T

49 . CV Y

B I n t e r e s t L T

B I n t e r e s t L T

A D i v i d e n d L T

A Dividend K T

A Dividend L T

Sold 09/28 /10

Bu y 09/28/10

50 . X L E

51 . EF G

A Dividend K

A Dividend K

T

T

B-$1.fl01 - $2.500

G " $ 1 0 O , I I O i - $ 1 , 0 O 0 . 0 0 O

K=$15.001 - $50.000

0 ~500,001 - $1,0OO.0O0

R = , C o s t ( R e a l E a m t e O ¢ f l y )

V = O t h e r

C =$2,501 - f,3,0oO

HI w$1,0o0,00l - 15,000,0OO

L --$5o,001. $ 1 0 0 , 0 1 3 0

PI =$1.0O0,001 - $ 5 , 0 0 0 , 0 0 0

P4 =Mot* thnn $50,00O,000

S

W

D - ~ . ’ S , U 0 I - $ 1 5 , 0O 0

1 4 2 - M e r e d a n a $ 5 , 0 0 0 , ( 3 0 0

M = $ J 0 0 , 0 0 l - $ 2 5 0 , 0 0 0

1 ’ 2 = 5 5 , 0 0 (3 , 0 0 1 - S 2 5 , 0 O 0 , 0 O 0

T , , ~ . _ a s h b l ~ k e t

E ~$15DO I - $50,000




Page 7 o f i 5

D , q © of Report

0~/09/20! L

V II. IN VE S T ME N T S a n d T R U S T S - ~,¢o~.

N O N E (No repo rtable incom e, assets, or t ransact ions.)

A. B. C.D e s c r i p t i o n o f A s s e l s L ~ c o m c d u r in g G r a s s v a l ~ e a t ca d

(including =rust as~ts) r epor t in g p ~ ofrepozl~ period

0) (~) (D 1~)Race’ (X)" a~ each a~e t A m o un t T y p e ( e .g ., Valu~ V a . h ~

e x e m p l f ~ o m p r i o r d i ~ c l o s u r ~ C o d e 1 d i v . , r e ~ t, C od e 2 M e t h o d( A - H ) o r i n t . ) O - P ) C o d e 3

( ~ W )

T y p e (e.~,b u y , s e l l ,

r e d e m p t i o n )

52 , IJK

53. lJJ

54 . IJT

57 . B Y G

~8 . EM B

59 . FX I

"60. DB C

A Dividend K

A Dividend K

T

T

S o l d(pro)

09/28/10 K

A Dividend K

A Dividend J

T

T

Sold 09/28/10 K

A Dividend K

C Int./Div. L

C IntJDiv. L

A Dividend K

T

T

T

T

Sold

S~ld( p a r t )

09/28/10 J

0 9 / 2 8 1 1 0 J

A Dividend K

D

B

B

6 t. P 1 D

62 . SCHV

B

B

Dividend K T

Dividend K T

63. X L Y

64 . X L B

65. X L K

66 . SD Y

A

A

A

B

Dividend K T

Dividend K T

Dividend K T

Dividend K T

67 . VW O

68 . VN Q

A

A

Dividmad K T Sold( p r o )

Dividend K T

04/29/10

I.Intone G~

(S ee C olumm B I an d

2.V~ue Ca~-s

I . Ve J = M e ~d ( ~ode s

A d l , 0 0 0 o r l a s

F - $ 5 0 , 0 0 1 - ] I 0 0 , 0 0 0

J - t l 5 , 0 0 0 m " I ~

N - ~ 2 5 0 , 0 0 1 - $ 5 0 0 , 0 0 0

U =Book

O ’ - I lOOJlOI.

K= $ 1 ~ [ , 0 0 1

O , , l l gO,~l -

R ~ ~eal F. . .mite O~y)

C -12,501 -

I!1 ell,000,001 -

PI = , $ 1 , 0 0 0 . 0 0 1 - $5,000,000

P 4 ~ M ~ e d m o

S =As~ssm~

W

D -iS,01il - $1k5,000

H 2 =Mc~e ~ "15,000,000

M =$ 100.001 -

P2 ~15,000.001 - 525,000.0OO

T ,~.a_ ~ MaA et

E ~ i 1 5 $ 3 0 1 -




Page 8 o f 15

Name of Perum Reper~ng

Cove l lo , Al fred V.

Date of Report

05/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - ~o,,~ ,~_. ~.~,~ a,~ada t~ of ~, ~,~ de~d~ ~,~; .~ pp. 34-60

~-~ N O N E (No reportable income, a~sets, or transactions.)

(1)

Type

buy.

(2) (3) (4) (5)Date VaIne Oaia Identity of

mm /dd/y y C ode 2 Code I l m y e r / ~ e l l e ~

( J - P ) ( A - H ) ( i f p x i v a l ~

t r a n s a c l ~ o n )

69. CT GO3.5% A I n t e r e s t K T

7 0. P i n a l C o u n t y A Z 5 % A Interest M T

7 1. N Y C i t y 5 2 5 % G O

7 2. Louisiana ST Corr~c 5%

7 3. M i d l en d T X 5 % G O

7 4. V e m o n CT 4° / 9 GO

7 5. C i t iz ensPPt y F I R ev 5 %

76 . Reagan C’ ty TX 4 ° /o GO

77 . Utah Wtr Auth R©v 5 %

78 ,Ma g nol i a " IX 5 % G O

79 , ICY State Dorm 5%

80 , N orth s i de TX 3 . 5 %G O

81 . Mass, Sta te Hea l th 5%

82 , C A State Econ 5%

D Interest L T

B I~terest K T

L ~ t e r e s t K T

Interest M

c

C

Interest M

In te r~ t M

T

T

C

C

C

In t ~c , t M T

I n t e r e s t M T

ht~t M T

A ~t~est M T

A

B

Interest

I n t e r c m t

M T

8 3 . Sa~ FranCA Rev 4%

8 5. UCO I~N GO 5%

B I n t e r e s t K T

D I n t e r e s t M T

B I n t e r e s t K T

2. V~ue Cod~

3. V~Jue Mettmd Cod~

D ~ $ . ~ , 0 0 ! - $15,000

H~ =M~ae than

M -~ 100,001 - [250.000

P2 =$5.000,001 - ~5,000.000

E - $ 1 5 , 0 0 1 - S . S O D ( X )




Page 9 o f 15

Name ef l?et~a Rtl~rt lag

Covel l o , Al f red V .

Dale tar Report

05/09/2011

V I I. IN V E S T M E N T S a n d T R U S T S - ~ o ,~

[-~ N ON E ( N o r e p o r t a b l e i n c o m e , a s s e ts , o r t r a m a c t i o n s . )

8 6. G ]a xt on bu ry 4 .5 % C Interest

87 . S c h w a b B r o k m a g~ # 2

8 8 . S c h w a b M M F

89 . A CN

90. A K Z O Y

9|. A H K S Y

92 . B U D

93, A L U

94. M T

95 . BSBR

96 . AB X

97 . B A C H Y

98. BR O’~"

99. BJINY

I 0 0 . B N P Q Y

|0l. BCS

lO2, BAESY

A Dividend

A Dividend

K

J

T

T

A Divided J Bu y 03/08/10 J

A DNidend

A Dividend

A Dividend

J

J

J

T

T

T

B uy 1 1 1 2 4 1 1 0

Sold 06/23/10

A Dividend J

A Dividend

None

A ’ Di vi dend

A Di vi dend

A Dividend

J T

J T

J T

Sold 03/11/10

B ~y 0 2 / 0 1 / 1 0

B oy 01/26/10

B uy 01/27/10

J

A Div idend J Ba y 04/29/10 J

A Divided

None

Sold 03110/I0 J

( p r o )

Sotd 03/10/10 l

A

A

A

(~’e ~o1~ B t a~l D 4 )

2o V~d~e Ced~s( S e e O ~ n m C ! ~ x J D 3 )

C f f i $ 2 , $ 0 1 -

HI =51,000,001

L -550,001 ° $100,000

Pl

O =55,001 -

H2 =Mote Ik~ iS,000,000

M = 5 1 0 0 , O O t - $ 2 5 O , 0 O 0

P2 ---~5,000,001. $25,000,000

T ,.Cash b~.et

E ~-115,001 -




Page 10 of 15

Name of Parian Ret~rtlng

Co, , e l l a , Al f red V .

Date of R e p o t ~

0.5/09/2011

V II . IN V E ST M E N T S a n d T R U S T S -~o~,


A. B. C. D.

D e s c r i p t io n o f A ~ s e t ~ bx:ome dining C-rots v a l u e at end Transactions dm’ing reporting period

(including trust a s s e t s ) rqxn’tlug period af ~elxming period

{I) (~) O) { 2 ) (t ) (2) (3) (4) ( 5 )Haze"(X)" afl~ each asset Anmuat Type (e.g., value Valae Type (e.g., Date Value Gain Identity of

¢XCml~f~ompriordiselosure Code I div.,r~ t , Ce de 2 M e t h o d b~y, sell, mm/dd/yy Code2 Code I lrayex/sdlcr(A-H) ~ lut.) (J-P) C k ~ t e 3 ] ’ ~ - - m ~ d o n ) (J-P) ( ’ A - H ) (ff private

{ Q - W ) tmsac~)

1 0 3 . B H P

1 0 4 . B Z L F Y

None

A D iv id e n d J T

Sold 11/10/10

1 0 5 . C C J

106. CAJ

A

A

Dividend

Dividend

Sold 05/03/10 J A

1 0 7 . C Y O U A Dividend Said 12/07/I0 J A

1 0 8 . C V E

109. CHIT

Dividend

None

J

J

T

T

Bu y 04/27/10 J

Bu y 04106/10 J

| I0. CJREF

111.

112. C E O

113. US

1 1 4 . D B O E Y

115. D E O

!16. EGO

I i 7 . E X P G Y

18. FM S

A Div idend

None

A Dividend

A Dividend

A Dividend

None

A Dividend

A Div idend

l

J

J

J

J

J

J

T

T

T

T

T

T

T

T

T

Bu y 01/07/10

Bu y 03115/10

J

119. FJTSY A Dividend Bu y 03/16/10 J

-$1.001 -

= $ l O O , . 0 0 z

~$J$ ,001 - $50 ,000

- $ 5 0 0 , 0 0 1 - $ 1 , 0 ~ , 0 0 0

( R e d E s t a te O ~ b ’ )

V..O~

C -$2,501 - $5,000

Hi =Sl,o0o,ool - $S,o00,o00

L ~ $ ~ o O O t - $1 0 0 ,0 ~0PI ~11,000,001 - $5,000,000

P 4 -M~e th an $ 3o,00o,000

S = A s s e s s m e nt

W =EstimaSed

D = $ ~ o ~ J - $15,000

! t 2 ~4we t han

M =S 100,0Ol -

~2 ~5,0O0,e0i -

"f .~7.ash MaAet

£ ,-$1s,oo t -



F I N A N C I A L D I S C L O S U R E R E P O R TPage 1 | of 15 Covelio, Alfrtd V.

D a t e o f R e p o t ’ /

05/0912011

V I I. I N V E S T M E N T S a n d T R U S T S -N O 1 N E (No reportable income, assets, or transactions.)

A. B. C. D.Dcscriplion of Assets I r a " v i n e d u r i n g Gross v’zd~e at end Transactions durinft repotting period

( i n c l u d i n g t r u ~ t a s s e t s ) reporting p~iod of reputing period

(1) (2) (I) (2 ) (I ) (2 ) (3) (’D (5 )

P1~¢"(X)" af ter ~ ~se t Amount T y p ~ ( e . g ., V a l n , , . V ~ f l u e T y p e ( e . g . , D~te Value Gain Id~t i ty of

exera~iromprio~disc]osure ~ 1 div.,rent, Code2 Method buy , sen , m m /dd/y y Code2 Code I buyer/se l l er(A-H) o r i n t . ) ( 2 - P ) Co d e 3 r e d e m pt io n ) (J-P) (A-H) (if private

1 2 0 . G V D N Y A D i v i d e n d

121. HBC A Dividend Sold 0~09/10 J A

12 2 . J U PI Y None J T

None J T

1 2 4 . K C R P Y

125. A H O N Y A

None J

Dividend J

T

T

126. LNEGY

127. LVMLrY

1 2 8 . M T N O Y

i 2 9 . M K T A Y

1 3 0 . N S R G Y

A

A

A

Dividend

Dividend

None

None

D i v i d e n d

J

J

J

J

T

T

T

T

T

B uy 01/13/10

B uy 05/10110

.l

J

B uy 05106/I o J

1 3 1 . N T D O Y

133, NVS

134. N V O

A

None

Dividend

None

J

J

T

T

Sold 0 3 1 1 5 / I 0 J

Sold 08/05/I 0 J

A

A

1 3 5 . P B R

1 3 6 . P U B G Y

A

A

Dividend

Dividend

Sold 1 Ill0/10 J A

Sold 07/22/10 J A

A -$1 ,l~00 ~r It’~

F o$50.001 - $100~0

J = $15,000 or Im

N - $ 2 5 0 / ) 0 1 -

Q ~ A p p m J ~l

U -Book Valve

B=$1,0~1 - $2,500

G ~ $ 1 0 0 , 0 0 1 . $1,000,~)0

K=SI5,001 - $50,000

O= $ 5 o O , 0 0 ! - $1,0O0,000

R ~ ( R ¢ ~ I E s t a te O n l y )

~ : = $ 2 . 5 0 1 -

141 ~n,ooo,OOl

L -~50,001 - $ 1 0 0 , ~ 0 0

PI = ~ I , 0 ~ O , 0 0 1 ¯

W =Estimat~

D =s~.~t - $15#00

i £ 2 ~ [ ¢ t ’ ~ ~ h a a

M -~ 100,O01 - $ 2 5 0 , 0 0 0

P 2 = ~ 5 , 0 0 0 , 00 1 . $ 2 5 , 0 0 0 , 0 0 0

T ~ I ¢ ~ i d t e ~

E =115,0Ol - $50,0flo




P a g e 12 o f 15

N a m e o f P er s o n Reporting

CovclIo, Alfred V.

Date o f l~parl

05/09/20

V I L I N V E S T M E N T S a n d T R U S T S - ~,,~,,,, ,,~,~ =~,~.~ ,~ a,~,~ ~o ,, o/~o,,,, ,~ ,~,,~,,,, ~,~n; ~, p ~ s ~ o o ! m , , , ~ = ~ ’ ,~ o , , . , . ~


A. B. C. D.Description of Assets Income during Gm~s wlue at end Transactions dining rel~rtin 8 period

(i~c~din g trim m se ~) r~x , n iag ~riod of rqxming period

(I) (2) (t ) ( 2 ) (I ) (2) (3) (4)Place " ( X ) " ~ ~ h a ~ e t A m o t m t Type (e.g., V a . , M e Valae Ty0e (e.g., Dale Vakt~ Gain Identity of

exemptfmm~’ iordisclosure C x x l e ! div.,rent, Ce d e 2 Method buy, sen, mm /dd/y y C ode 2 Code 1 buyer/se l l er(A-H) or ~.) (J-F) ¢~de 3 redemption) O ’ g ) (A-R) (if~riva~e

( Q - W ) tma~)

1 3 7 . R U K

1 3 8 . R H H B Y

139. RDSA

1 4 0 . S A P

1 4 1 . S G P Y Y

142. SVNDY

143. SBGSY

144. SGSOY

145. SI

146. SNN

A Divided 3" T

A D iv id e n d J T

N one J T

A D ivide nd J T

A Dividend J T

A Dividend J T

A Div idend J T

A Dividend J T

A Dividend I T

B uy 11110/10 J

147. SiNE A Dividend J T Buy 10/29/10 J

148 . SQM

1 4 9 . S C G L Y

1 5 0 , S D X A Y

1 5 1 . S L W

A Dividend

A Dividend

A Dividend J

J

T

Sold 03/IWI0

Buy 01112/10 J

J A

152 . SLT

153. STD

A

A

Dividend

Dividend

S o l d 12/10/10 J

S o l d 04/27110 J

B

A

1. Iace~e ~

(Soe Columm~ BI a~d D4)

2.Val~e C4xl~

3.Vahe Me~od C0d~

(S~e C o l u m n

B =$1.001. $2,500

0-$100D01 - $1.000.000

K ,-115,0Ol - $50,0O0

O -$500.00! - $! ,000,~00

R =co,a (R~I Ema~ Oa~)

,-~2.501 -

=$ J,000.00l - $5,o00,000

-~50D01 - 51

-’-’-’-’-’-’-’-’-’~ 1,000,00 I

-More t~an ~$O,000.0G0

-Estimated

D --’$5,0~ I - $15,000

H2 =Mere tim= $5,000,000

M =5100.001 - $250,000

P2 ~$ 5.000.00| . $25.000,000

"i" ~._.tsh Market

E = ~ 1 5 . 0 0 1 - $ ~ O D O 0




Page 13 o f 15

Name of Person Repor~ng

Covello, Alfred V.

D ~ l © o f R e p o r ~

05/09/201 L

V H . I N V E S T M E N T S a n d T R U S T S - j,,,,o,,,,. ~,,,.. ,r,,,,,,,,~= a,,a,a~ , 1~ o,, of#,,,,,,. ,~,~,..,~..~, di~,~,; ..,,~,,,, ~)..o o ,:,ra~,, i,,~’ ,,,~,,,~)

~ -~ N O N E (No rep ortable inco me, assets, or t ransact ions.)

1 5 4 . S T D

1 5 5 . S U H J Y

156. ,~WBDY

1 5 7 . T C K

1 5 8 . T L M

1 5 9 . T E V A

A Dividend

A Dividend J

A Dividend J

None J

A Dividend

Nc~e J

T

T

Bu y 01/’25/10 J

Bu y 12/02/10

Sold 04/26/10

Bu y 06/21/10

J

J

J

A

160. TSCDY A Dividend

161. TNTI’Y A Dividend J

1 6 2 . T K G B Y

163. TM

164. UGP

165.

166, Oi.lVg¥

A

A

Dividend

Divid(md

None

Dividend

j- T

T

Bu y 08/02/10

Sold 01/2 8 /10

Sold 12/10/10

Sold 03/05/I 0

J

J

A

B

A

1 6 7 . V L E E Y

16 8. V O D

169 . W SH

1 7 0 . C T s t. 5 % G O

A Dividend J

A Dividend J

T

T

Buy 1~22/|0 J

Dividend

T

Matured 07/15/10 L

B -$1,001 -

G =$| 00,001

K’$15,001 - $50,000

o - - s s o o , o o t -

R -~o~ (P , ea l E~e O ~J) , )

V

H I = ~ t . 0 0 0 ,0 0 1 - $ ’ ~ o o 0 0 , 0 0 0

L = $ 5 0 , 0 0 J - $ 1 0 0 . 0 o 0

P t , . ’ t t , O 0 0 , 0 0 t -

P , t ,. ~ M o ~ e t h a n

SW

O - $ 5 , 0 O J .

I42 -Mo~ earn $ 5,000,000

1~-$~,000.001 -

T =Otsh lvlmt.e~

E ~ $ 1 5 , 0 0 | - $ 5 0 , 0 0 0




Page 14 o f 15

l~an~ of gem.on Reporting

Covello, ,Mired V.

D ~ t © o f R e p o r t

05/09/20 ! 1

VIII. ADDITIONAL INFORMAT ION OR EXPLANATIONS. (lndicat~pat~ofrcpo~)




P a g e 1 5 o f 1 5

I X . C E R T I F I C A T I O N .

Date ef

0 5 / 0 9 / 2 0 1

! ce r t i fy tha t a l l informat ion g iven above ( inc lud ing inform at ion per ta in ing tn my spouse and m inor o r dependent chi ld ren, i f any) i s

accura te , t rue , and com ple te to the bes t o f m y k nowledge and be l i e f , and tha t any informat ion no t reported was wi thhe ld becou~e i t m e t app l i cable s ta tu to ryp~ovi s iona perm i t t ing n on-d i sc lm ure .

! f u r t h e r c e rt i fy t h a t e a r n e d In c o m e f ro m o a t ~ id e e m pl o y m e n t a n d h o n o r a r ia a n d t h e a c c e p t a n c e o f g f f t~ w h ic h h a v e b e e n r e po r te d a r e incompliance with the provis ions of $ U.S.C. app. § 501 e t . seq . , ~ U.S.C. § 7353, and Judie |a l Conference regulat ions .

Signature

N O T E : A N Y I ND I V ID U A L W H O K N O W I NG L Y A N D W I L F U L L Y F A L S I F IE S O R F M L S T O F I L 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 ILAND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Comm ittee on Finan cial Disc losure

Adm inistrat ive Off ice of the United States Courts

Suite 2-301

One Columbus Circle, I~.E.

W ashington , D,C. 20544