Post on 20-Jun-2018
• v
(S U.S.C app. §§ 101-111)
r R 2. Court o r Organir.ati on
District Court · Connecticut
3. Date of Report
51612005
4. Titl e (Article Ill Judges indicate active or senior status; magistrate judges indica te full- or part-time)
i 6. Reporting Period
111/2004
C 8. On the b asis oflhe information contained i n lhis Report and any modification s pertaining thertto. it is , in my cpinion, in comp liance witb applicabl¢ la 'S nn d reguJations.
to 1 213 1/2004
__________ _ Oa!O. ____ _
?. • - •• • i• IMPORTANT NOTES: The insttuctions accompanying this f onn must be followtd. Co111>letc all parts, cbocking the NONE b ox for eac h part
· m you havcnorcpot1ablc information . Sign on last page.
, . -
· • I:· . - ' ... .. , -)':
NAME OF OROAN17..AJJON/ENT!IY
'-''
, ...,, ocn Z
PARTIES hND'fERMS
-
a y
AO·IO Rev.1/2004·
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2004
Report Required by theEthics
in G·ovcrlllrltnt Act of 1978
1. Pe son eponing(Last namo, Pint name, Middle initi'11)
Kravitz, Mark R
5. ReportType (check appropr ate type)
0 Nomlnao"" Date U.S. District Judge· Active
7. hamben or Office Addles$
141 Church Stred
NcwHaven,CT 06510
Q htitial O nnol
Rc\icwing Officer.
J. POSITIONS. (Reporting individual only; see pp. 9 13 of filing ln ctioos)
0 NONE - (Norqiortablc positions.)
PQSIDON
,TrusteeI.
2 Trustee
3. Custodian
II. AGREEMENTS.
Trust # 1 (trust
Child# 1
'
_,,.-(Reporting iodividual only;see pp. 14-16 offili!ii iosttuctiom)
ONONE - (No reportable ogrccmenlS.)
c>::x>z rn o> ...,, -.,
g ffi I. Wiggin & Dana. Paymentfor portnc:rship intcrcot and p rtncnhip real es1ate. Amoun $313,465,pa abl• in
installments ofvmying 1nX>Unts tlrough 2006.
C)
• l
SQURCE AND IDE CROSS INCOME
./
TYPE
NONE
SOURCE
I. NONE
51612005
SOURCE AND
I.
NameoCPen;on Reporting FINANCIAL DISCLOSURE REPORT Date of Report
Knvitz, Mark R
UL NON-INVESTMENT INCOME. (Reporting individual and spouse; ... pp. 17-24 offiling instructions)
A. Filer's Non-Investment Income
0 NONE - (Noreporiablenon-invC$tmenlincome.)
(yours. not spou.sc'a)
I. 2004 Wiggin& Dana, p0$t�Juae 2003 payments for partnership interest and interest $186,700 in partnership real estate.sec Agreements
.
B. Spouse's Non-Investment Income-(If youweremonied duringany portion of the reponing year, pleaseCOO>plote this secilon.Dollaramount not i<quired except li>rhoooraria.)
NONE · (No reportable oon-im·estmentincome.)
,
IV. REIMBURSEMENTS -innspo<1lltioa, lodgins. food, entertainment
(Includesthose to spouse and dcpendmt children. See pp. 25-27 of insttuetions.)
!!! NONE · (No such reponable reimbur>erncnts.)
QESCRJP11QN
NONE
Date of Report
516/2005
'-,
FINANCIAL DISCLOSURE REPORT NamoofPcnon Reporting
Kravit., Muir R
V. GIFTS. Onctudesllme ro spousc and dc;icodcnt childn:a. See pp. 21-J 1 ofinslructions.)
:;a NONE . (Nosuch n:polt>blc gifts.)
SO!!RCR QESCRIPTION
I.
VI. LIABILITIES. (lncludes those of spouse and depoodcntchildren. Soo pp. 32-34 of instructions.)
ftii5NONE <No n:po<table 1iabmues.J •
VA!.!!EqID•CREP!IO!I I. NONE
Name of Person Reportin g
Kra vi tz, Mark R Da w of Report
SJtS/2005 - mcome. \-.IJ.tC , Lransc:alions (iDCludos t bose o r the s pouse and dtpc«idc m childrctt. Sec pp . .. 57 offllina imct\lctioos . )
I.
2 .
3.
4.
s .
6 .
7.
8.
9.
10.
11.
12.
13.
14.
IS.
A.
BEU. SOUTH COMMON S TOCK
CIBC'OSYSCOMMONSTOCK
NA SDAQ 100 TRU (QQQ)
THlRD AVENUE VALVE FUND
THlRD A VENUE REAL ESTA TE VALUE
FIDELITY CASH RESERVES
F ID E LITY CASH MANAGEMENT ACCOUNT
CONN. BOND DUE 3/15/04
NAUGATUCK BOND DUE8/15/04
WATllRBURY CT SPEC. CAPITAL BOND DVE 4/01/05
C ON N. BOND DUE 4/JS/05
CONNTAXOBUGBONDDUE 10/01/0S
CONN. BONDDVE06/15110
GUILFORD SA VINOS BANK
PQ CORPORATION
1 6. IRA# l(ROLL-OVER IRA, CREATED 711/03)
17. -FIDEUTY CASH RESERVES
18 . -FIDEUTY DIVERSIFIED INTL FUND
B. Income dwini
repoiting period
(I) (2) (I) (2)
"'"'""' Code! (A-H)
A
A
D
D
B
A
A
A
G
B
A
lm.)
Dividend
Dividend
Dividend
i
Dividend
Dividend
Dividend
1
1
i
M
L
0
L
K
1
Interest ,, K.
lnt<=I L
lnt=st K
......... J
Dividend P2
lnt<=I M
Dividend L
T
T
T
T
T
T
T
T
T
T
T
T
v
T
D.
Type (e .g. buy, s<l l 1n«$Cf", ttdcmprion)
NONE
NONE
NONE
BUY
BUY
NONE
NONE
(2)
6/08
12114
REDEEME 3/04
REDEEME 8/04
NONE
NONE
NONE
NONE
NONE
(J)
K
L
K
1
GNn Code I (Ml)
.
,, ., __ ,.... _ ._ _ ,.. .. , . - "' -·' · " '
FINANCIAL DISCLOSURE REPORT
Pagel o{S
VII. INVESTMENTS and TRUSTS
Ttao.sactions during reportfoc period Ocsaiptiooof Auel$ (W>ciudlo1tnnt W<'IS)
(5)Pbcc ·oey after each asset cxempe Type (e.g. Value Vafuc C>.1tc: Valtic ldeOO!yof from prior di&clON'll div. renL or Cod&2 Method Month· CO<lcl blyedscllcr(J.P) "CodcJ Day {l·P) (if private (Q-W) """"'°°")
A T
A T
A Dstribution
D
A
D
A
A
T
I. in Codes: 'A ·,-SI.COOer less B · sl,OOl·'.12)00 C •.$2,SOl·Sl,000 ,D • S5.00l·SI l.000 E ; .. ',001 .$50,000 • S,1.(Soe Cdumns Bl and 04) 'F x$50,00l·SI00,000 0 •SIOO.OOl·Sl.000,000 . HI •Sl,0®,001 SS,000,000 H2 -More lhar.i S:S,000,000 ·:-. ..
2. V11fuc Codes: · J • SU,000 orlei! K cSlS,001-SSO,OOO .
L •S50.00l-it00,000 .M • SIOO,OOl·S250.000 {See Columng Cl 411Ml OJ) N - S2SO,OOO-S OO.OOO 0 - SSOO.OOJ-Sl.000,000 Pl .. 51,000,001-ss.ooo .. ooo p� • SS,000,00J-$25.000,000
P3 •S::!S.OOO,OOJ-SS-0,000,000 P4 • S fort than.SS0.000,000 l. VaJucMctbodCod:s Q •AppOlis>I R •C0&(RealEoa100aly) S •AMcssmcnl T aC.Sf�ke<
N 1 111 0 oC Pcnon Reporting D a te of Report
S/61200S
A.
D ¥ iptiJa c-. ... ...... 1
1 9. -SPART AN S OO INDEX
20. -PIDl!UTY CONTRAFUND
21. -FIDEUTY PURITAN FUND
22. -FIDl!UTY VAWE FUND
23 . -.AMSRICAN CAPIT .U.S'TRA TEGIES
24 . -1HIRD A VENUI! V AW!! l'VND
2S. IRA#2
26. -JANUS OLYM P US FUND
27. CUSTODIAN ACCT # I
2&. -FIDEUTY CASH MANAOEM&IT ACCOUNT
29. -SPAil.TAN SOO INDEX FUND
30. -1HJJU> A VENUE V .u.UE FT.IND
31. - PQ CORP. STOCK
32. TRUST# I
33. -JANUS TWENTY
34. JANUS OLYMPUS FUND
3S. -FIDWTY CASH MANAGEMENT ACCOUNT
36. -TRUST HELD PQ CORP. COMMON STOCK
A -- S 1.000 or less 8
F 0
I l
I c.i . ... U • Dool: V""' y --·-
L c. Gros& - • CDd ..
..,,..,.. period ._,;og period
(I) (2) (I) (7)
-· 'fype div. rent. ot Codo l Mclhod
(A·IQ r.t . )
A Dividend L T
Dividend K T
A Dividmd K T
Dirida>d K T
A Distn� T
Dlsulbu tlon M T
A Dlsllibu on 1 T
Dividend I(
A Diwidcll d , 1 T
,,..
A DIJ1ribu�0n K T
E Dividend M v
A O ls trlbutlon K
A D!smbution K T
A In- K T
Dividend N
•$ 1 ,00l Sl.SOO c
•OIJKY
.
•Esl•mtf!ili
0.
(I) """ """""'
(2) (l) (4) (SJ vo1 .. Gain
buy, •oil. Codol Code! bu)at .. 0er (l·P) (/\-HJ (it private
Ctamactioa)
BUY 12/02 L
BUY 11/JO L
D E
'·
FINANCIAL DISCLOSURE REPORT Page 2 of 5 Ktaviu, Matk R
VII. INVESTMENTS and TRUSTS --.... .u...1no-.M11a...,..,r..._...,..,..,..,......idq>adtol.-... s....,.:u-,,.a111mwm........_1
or Assm:
Plloo W after c.ach ltSSC1.ecttnpt &om prior dlJClop,n
1. ID in Codn: . (SceCatu:rnnsBl 111d 04) •sso,001.s100.ooo ••
:?. Vnh.r CCldct: J • S!.S,OOOorlc&s K
{See Co uml\ICI ind Dl) 11 • mo,ooo.ssoo.ooo 0
Pl •�5,000,00J-SS0,000,000
3. VaJiae: Me!Md C«lcs Q •App>Oal R
(Sec C2)
_.....,.
(o.g. Value Value Codo I
(J-P) CodcJ (Q-W)
A
A
M
A
A T
T
E v
-n.so1-ss.ooo •S100,001.SI.000.000 HI •Sl,000,001.SS.OOO.OOO
• SIS,001-SSO,OOO
• SSOO.OOl·Si,000,000
•Cost(Rcol ...,..,. Ooly)
L • SS0.001·$100,000
Pl •$1,000,001 SS.000,000
P.C cSMort tNn SS0,000,000
5 •Asscssmet'll \V
___ ._..period
'fype <•·•· DG!o: ldentityolMonlll
mcrge:r. DoyredC1t1pdon)
•U,001.SIS,000 · IS,001-SSO,OOO H2 •MolO ila• $$ ,000.000
M •$100,001.SZSO,OOO
!':! • Sl,000,001.sll,OOO.OOO
T •Cuh/Mlfto1
Name o f Pcnon Reporti ng Date ofR.cpon
A.
37. TRUST#2
38. -JANUS 1WOOY
39. -FIDE UIY CASH MANAGEMENT ACCOUNT
4 0 . -TRUST HELD PQ CORP. COMMON S TOCK
41. TRUST#J
42. -TRUST HELD PQ CORP. COMMON S TOCK
43. -AM E RICAN INTI.GROUP COMMON STOCK
44. -cHARTER ON!! FINANCIAL COMMON
-GENERAL ELECTRIC COMMON STOCK
46. -MBNA COMMON STOCK
47. -NEXTEL COMMON STOCK
48 . -ORACL6 COMMON STO CK
49. -JANUS W ORLD WIDE MUTUAL FUND
S-0. -FIDEUTY CASH RESERVES
SI. -FIDEUTY CASH MANAGEMENT ACCOUNT
52. -FIDELITY NEW MARKETS INCOME FUND
53. -FIDEUTY SMAIL CAP STOCK FUND
FIDEUTY MID CAP STOCK FUND
Q
u - Boot Vaiac
B
y
Kravitl, Mark R 51612005
B. c
RpO nmg period "P"'ti"I period (I) (2) (1) (2)
..._... 1')11< . v.i. .. Code I div, red. Oil Mc<llod (A.JI) int.) (J-1') -OwkJ
(Q-W)
A Dimoution K
A Dividend J T
c Dividend M v
. , . ./
I! Divid en d 0 v
Dividend
(I)
......... ""°"""ioo)
SOLD
D.
(Z) D81c:
D1y
4121
ll oot exempt
(3) (4) Valuo o.m
Ccdc2 Code! (J-1') (A.ff)
J B
. ....
(S) ldeulityof
A Dividend I T MERGER- 9/01 c
Dividend
A Di vidend J T
Dividend . , J T
. r
A D i viclcitd I T
Distnbution J T
A lnlemt K T
A Interest l
A Dis moution l T BUY 12127
A Di.51noulion J BUY 12127 J
A DiSlnbulion BUY 1 2127
D E
•O\it -i::-;...e.
.•
FINANCIAL DISCLOSURE REPORT
Page 3 ofS
Oescris>«m or Assc:u (inclndingtrusl mc1S)
Plxe Wallet..dt""'=mi>< fiom prior disdosin
STOCK
45.
(SEECOMMENT)
54.
-1. ·btcomeGaiD Codes: A -$1P'JO orless
(Seo Cd"""" 91 "'4 DC)
:?. v,111.: Codes:
.(See CoW:inl1$ Cl DDd OJ)
3. V:ah.e li.Ceihod Cocks
(Seo Cdumm C21
F -m,OOl.SI00.000
i -StS.OOOotkss
N -$250,000-SlOO,OOO
Pl -s s.000,001-sso,ooo.ooo
•A
0
K
0
R
Income durin.f Gtots vallJCl 11 end or
(e.g. vai.. Code2
T
A J T
1).,,. (e.g. buy• ..U.
Toosacdoos !biog rq>Ortillgperiod
Mo.Cb· bu)u/scllcr (if' private lran$�oa)
J SALE
A K T
A
A
T
J
T .
J T J
•SJ.00141..SCll C .•S2.$01-SS,000 ... .OOl-SJS.000 •$1S,001.Sl0.000
-s100.001-s1.ooo.ooo Ill •Sl,000,001.SS,000,000 H2 •More than $5, 000. 000
• SIS.001-$$0,000 .I. • SlO.OOl·SI00,000 M •S100,001-S:tS0.000
• S-'oo.001.s1. ooo.ooo Pl -s1.000.001-ss.ooo,ooo P2 • SS,000,001-S2S,000,000
p; -!Men .... 150.000,000
• Cost (R"'1 £auoOnly) s _......,._ T -c�w-=
w
N ame of P rso n Reportlng
Kravitz. MaTk R Date of Rcpon
S/612005 VII. INVESTMENTS and TRUSTS - mcome, ...i .. . · -""'<""'odes those or11>e '"""" and depcnck111 childteu. s.c w . 34-51 or ru;.g in.<rn.coons.J
A. a c
irq>oniog period ....... period
(I} (2) (1) (2) (I} rr rux cxunp t 6'om .. . ... (2) (J ) (•} (S)
AmOUI• 'l)'l)O Dote: Valuo Galo ldenlily of i Codel buy, sci Month. Code2 Codel inl.) • Code) IJ'IC flct"• O.y ·(J-1') (A·ll) ndcmpfloa)
55. FIDELITY SHORT TERM BOND FUND Interest J T BUY 12127 J
56. FIDELITY FIITY FUND Oistnbution I T BUY 12127 1
51. VANGUARD lNTER·TERM BOND INDEX FUND Dimi>ution 1 BUY 12127
58. TRUST#4
59. -TRUST llEl.D PQ CORP. COMMON STOCK c 0 v
60. -JANUS 1WENTY FUND Distrib ution 1 T
61. -FIDEUTY CASH MANAGEMENT Interest 1 T U
62. TRUST#S
63. -TRUST HEID PQ COMMON STOCK Dividend
64. -AMERICAN INn OROUP COMMON STOCK Dividend 1 SOLD 412 1 B
65. -BELL SOUTH COMMON STOCK A Dividend , 1 T
/'
66. -CHARTER ONE FINANCIAL COMMON A "
Dividen d 1 T MERGER· 9/01 1 S
f!I. -MBNA COMMON STOCK A Dividend 1 T
68. -NEXTEL COMMON STOCK Dividend
69. -ORACL E COMMON STOCK A Dividend 1 T
70. -SP AR TAN 500 INDEX A Distribution T
71. -FIDELITY CASH RESERVES A Interest L T
72. -JANUS WORLDWIDE MUTUAL FUND A Distribution I T
: A • S l ,OOO or less: .' ' ..
.c Sl,OOl ·S2, SOO : c D . E
F G
,J K
- N 0
Q { Sc, Coiun:n C2 ) u c Rool: Val1>e v c O U 1 et \V c. F.11;1 iinlllNf
FINANCIAL DISCLOSURE REPORT
Page4ofS
D. tkseriptioa of Aucti J.n.oomedwing Gross 'taluc at encl or "f'ransactions during rqxirtina period
( nctuding1rust auets)
Pl1co ·cxrafter each usct exempt Ce.i.. v..... Value 1)pc (e.g. ftom prior d sclOS\ltC Code I div. rmt. or Mell>od
buycrlscller(A·H) (J.P) (ifpriwtc
(Q-W) traimetion)
A
A
A T 1
Di�d5"a·
A
A ACCO NT(SEE COMMENT)
B 0 v
A T 1
c STOCK ALE
A 1 T
1
·1. lnoome/GainCodes: · B • $2,SOl-SS,000 ss.001.su,ooo $15,00J..SSO,OOO
'.(See ColumnsBl am! 04) ·•.$50,001·SI00,000 cSIOO.OOl-Sl,000.000 : HI • Sl,000,00l.$5,000,000 H2 •M0<¢ than SS,000.000 ·
l. Voloe Codel: •SIS,OOOotless -s.1s,1?Q1.tso,oci:o L •SS0,001.SIOO,OOO M •SI00,001-$250,000
(SecColunw Cl ond 03) cs2so.ooo.ssoo,ooo c SS00.001-$1,000,000 .p, : Sl,000,00l-SS.000,000 Pl css. 000.001.sis.ooo,ooo
p; -m.000.001.sso.ooo.ooo P ... SMore tltan SJ0,000,()t)(l
;i. Vduc tvicdxid Coder; -�· R -C<»: (Reol C-C Only) s · merit T •C'ula!M:tk:ct
A.
Nan1< of PCl$Oll Reporti ng
Kr>vitz, Murlc R.
B. c. D.
D at e of Report
S/612005
Gross value 11 end ot ._,qpcriod RpOrling period
(I ) (2) { I) (2) (I) U 1IOl e:Jtem;lt rrnm .....
(2) (l) Type <•i. . Dole: Value
Code I Method boy.sci Codc2 (A-II) 0. , ) ) ""'F· o .,.
""'=prioo)
73. -THIRD AVENUE VALIJE MlmJAL FUND Distribution K T
74. -F!OEUIY CASH MANAGEMENT A lnter<SI K T A
/
. -
• cB • S l.OOl·s:?.lOO
(4) (') Ca.in Cod< I {Ml)
• • $15.001 -SSO. OOO
... '
FINANCIAL DISCLOSURE REPORT Pages ofS
VII. lNVES:rMENTS and TRUSTS
"'"""' 1-.r.ring T-&rilc ._,mapcdocl
(""'Wo''""'..,.,'>
Place W after cacb asset exempt """"'" Val,. V8luc Type (e.g.&om pjor disclosure div. rmt. ot Code2 -lh·
(S.P ·Cod�3 (l·P)(Q-W)
A
CCOUNT(SEECOMMENT)
Identityor bll.yalldler(ifpriva1c tr'al:t$ac:Cbt)
.r-
1. lncomdOain°'*"' ._A ·•Sl,OOOorlcss C • $2.501-SS,OOO D •SS.OOl-SIS.000: :
(See Columns Bl ...S [)4) 'F •SS0,001-SI00.000 G -SIOO.OOl-Sl.000,000 ,. 1( •$1$,001..S O,OOO
·HI ,•Sl,000.001-SS,000,000 Ill •Moo:-SS,000,000
2. Volut Codes; J •S1S.000orku L • SS0.001-S I000000 M •SI00,(l(ll.S2SO,OOO
(See Columns Cl andDJ) N •• S2so.ooo.ssoo.ooo 0 .•SS00.001-Sl .000,000 P1 • s 1.000.001.ss.ooo,ooo r2 -s.s.ooo.001.s2s,ooo,ooo
3. VahicMt:thodCodes (S.. Column C2)
P3 -ns.000.001.sso.ooo,ooo . . P• •.SMorc a..., sso.000.000
Q • AA'.W'isal R •Cost {Re:al Esr• Oni)') S s-A.!.scss1l'IClll T •Casbft.WW.
U •Boot.Value V •Otbet \I/ .. i!Aicmed
Name of P erso n Reportini --·----·
Kravi iz. Mark R
-.
.r
·--·
S/612005
.. ...
DateofReportFINANCIAL DISCLOSURE REPORT
-
VIII. ADDIDONAL INFORMATION OR EXPLANATIONS
VALUATION OFP Q CORPORATION COMMON SlOCK: THE VAWE OF PQ CORPORATION COMMON STOCK. A PRJV ATELY HEW COMPANY, IS ESTABLISHED ANNVAU.Y OR MOR.E FR EQUENT!. Y BY THE BOARD OF DIREClORS OF THE COMP ANY IN CONSULTATION wm! ITS ADVISERS. THE VALVE ESTABLISHED BVTHED!RllClORS IS THE VALUE THATIS USED FOR PURPOSES OF THE COMPANY'S REPURCHASE OF THE COMMON SlOCK OF SHAREHOLDERS.
LINES 51, 61 AND74 UST 'FIOELITY CASH MANAGEMENT ACCOUNT." THlS IS IDENTICAL TO THll "FIDELITY MONEY MARKET" ENTRY IN THE2003 REPORT BUT FOR CONSISTENCY, I HAVEUSEDTHE CASHMANAGEMENT ACCOUNTNOMENCLATlJRE. THERE HAS BEEN NO CHANGE IN THE INVESTMENT ITSELF
,...
··- - -·- -... .. ....
- ·
Name of Person Reporting
Kravitz, M a rk R ..
Sl61200S
---::,/'
FINANCIAL DISCLOSURE REPORT - .
-
. ,
...... . -.. ..
-.. . . . . ·-·-.
Dile of Report . . . - -
IX. CERTIFICATION.
Icertify that all information given above (including infoanation pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief; and that any information not reported was withheld because it met applicable starutory provisions pennitting non-disclosure ..
.. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been
reported are in compliance with the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations .
FILlNG INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure
Administrative Office of the United States Courts
Suite 2-301
One Columbus Circle, N.E.
Washington, D.C. 20544
. .
Signature
NOTE: ANY INDNIDUAL WHO KNOWINGLY WILFULLY FALSIFIES OR FAlLS TO Fll.E TIUS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (SU.S.C. app ..§ 104)
'
. . .