Dolores K Sloviter Financial Disclosure Report for 2010

8/3/2019 Dolores K Sloviter Financial Disclosure Report for 2010

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A O 1 0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010Report Required by the Ethicsin Government Act o f 1978

(5 U.S .C. app. .~ .~ 101-111)

I . Person Reporting (last name, f irst, middle initial)Slovi ler , Dolores K.

4. Title (Article III judge~ indicate active or senior status;magistrate judges indicate full- or part- time)U ni t ed St a t e s Ci rcu i t Judge - A c t ive

7. Chambers or Of f ice Address18614 Uni ted States Cour thouse601 Market St reetPhi ladelph ia , PA 19106

,2. Court or Organizat ionU n i t e d S t a t e s C o u r t o f A p p e a l s f o r t h e T h i r d C i r c u i t

3. Date of Report05/15 /201 I

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance, M t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

6. Repor ting Per iod01/01/2010

to12/31/2010

Reviewing Of f ice r Date

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

I . P O S I T I O N S . ~ R . ~ , o . i ,, g i . , t l v l a u a t o . t y : 5ee ~,~,. 9-13 of f i l ing instructions.)D N O N E (No reportable positions.)

POSITIONI. Trustee Trus t # I2.3.

4.5.

NAME OF ORGANIZATION/ENTITY

1 1 . A G R E E M E N T S . t R e p o n i . g individual only; see pp. 14-16 of fillng instructions.)~] NONE (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 3 of 9

N a m e o f P e r s on R e p o r t i n gSloviter, Dolores K .

D a t e o f R e p o r t0 5 / 1 5 / 2 0 1 1

V . G I F T S . a n c l , d ~ , h o ,e t o s~ o ,~ e a n d dependent chi ldren; see p p . 2 8 - 3 ! o f f i l i n g i n s t r uc t i o n s . )N O N E ( N o r e p or ta b l e g i f t s .)

SOURCg DESCRIPTION1.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c lu d e s t h o s e o /s p o ~ e a . d dependent children; see p p . 3 2 - 3 3 of filing instructions.)~ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPOR TPage 4 of 9

Name of Person Reporting I D a t e o f R e p o r ~Slov i ter , Dolores K.

I05/15/20

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 r ~ e , v a l u o , , ra , ~ e , io , ~ a n d u ~ e s , h o s e o / s p o u s e o n ~ d o p e . 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.)

D e s c r i p t i o n o f A s s e t s Income dur ing( 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[ (t) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t i A m o u n t T y p e ( g .,e x e m p t f r o m p r i o r d i sc l o s u re C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

I. AT& T - com. s t ock D D ivid en d2. Ben ef ic ia l Mu tu a l Ban co rp - co m. s to ck A D ivid en d3. Exelo n - co m . s to ck C Dividend4. GE - co m . s to ck B D ivid en d5. IT&T Indus t r ie s - com . s t ock A Dividend6. Han esBran d , In c . - co m. s to ck None7. Hart fo rd F in . Services - co m. s to ck A D ivid en d8. P S E G A Dividend9. Rayonie r - com. s t ock A D ivid en d1 0 . S a r a L e e - c o m . s t o c k A D ivid en d1 I. Van g u ard M u n . Bo n d Fu n d s - s ee VII I G Dividend1 2 . Van g u ard W in d so r I I - s ee VII I D D ivid en d1 3 . V a n g u a r d S t a r F u n d B D ivid en d1 4 . V a n g u a r d 5 0 0 I n d e x F u n d C D ivid en d1 5 . Al leg hen y H ig her Ed . , 4 .5% , 22 A Interest1 6 . Bucks County W & S, 5%, 22 A Interest1 7 . Chamber sburg S.D. ,4 .6%, 25 B Interest

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

C o d e 2 M e t h o d( Jo P) C o d e 3

( Q - W )

M TJ TL TO TJ TJ TJ TK TJ TJ T

Pl TO TL TM TJ TJ TK T

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

(1 ) (2) (3) (4) ( 5)T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fbuy, sel l , m m/dd/yy Code 2 Code I buyer/sel ler

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

1. Income Gain Codes : A =$1.000 or less B =$1.001 - $2.500 C $2 .50 1 - $5.0 0 0 D =$5.001 - $15.000(Se e C o lu m n s B I a n d I )4 ) F = $ 50.001 - $ 100.009 G = $100.0~ 1 - $ 1.090.000 I ll = $ 1. 00 0. 00 1 - $ 5. 00 0. 0~ 0 1 12 =M o re th an $5 .0 00 .0 00

2. Value Codes J ~ $ 15.0~0 o r le ss K = $15.001 - $ 50.000 L = $50.0~1 - $100.0~0 M =$10~.001 - $2 50.000(Se e C o lu m n s C I a n d D 3) N -$250.001 - $500.0~1 O - $ 5 0 0 . 0 0 1 - $ I .O 0 O . 0 O O PI =$1.000.001 - $5.0~O.000 P2 = $5.000.001 - $25.000.000

P3 =$2 5.000.001 - $50.0~0,0~0 P4 =More than $50.0~0.0~03 . Value Method Codes Q =Appraisal R = Cos t ( R ea l E s t a t e O n ly ) S = As s es s men t T =C a s h M a rke t(Se e C o lu m n C 2 ) U =B c ~ k V a lu e V = O lhcr W -Es t im a te d

E =$15.001 - $50.000


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N a m e o f P e r so n R e p o r t i n gSlov ter, Dolores K.

D a t e o f R e p o r t05/15/201 I

V II. INV ESTM ENTS and TRUSTS -~ .... ~, , .~, , ,r . . . .i o n s ( l n c l u d a , h o s e o f s p o u s e a m t d e p e m t e n t c h i h t r e n ; s e e p p . 3 - 6 O o f f i l in g i n s t r u a i o n s )N O N E (No reportable income, assets, or transactions.)

A. B. D.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 T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d

( i ncl udi ng t r us t asse t s) r epor t i ng per i od(I) (2 ) (I) (2) (3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t I A m o u n t T y p e ( e . g . , Type (e.g., Date V a l u e G a i n Iden t i ty o fe x e m pt f ro m p r io r d is c lo su re i C o d e 1 di v . , r en t , b uy, se l l , m m ] d d P y y C o d e 2 C o d e I b uyer ! se l l er( A - H ) or i n t . ) r ed e m p tio n ) ( J - P ) (A - H ) ( i f p r iva te

t r ansact i on)

1 8 . Dauphin Cty., 4.4% , 19 A I n t e r e s t

1 9 . Dauphin Cty., 4.5% , 26 A I n t e r e s t20. Dauphin Cty., 4%, 26 B I n t e r e s t

21. Del. Port Auth . - N.J. Port Auth., 5.2%, 25 B I n t e r e s t

22. Greater Johnstown, 5% ,19 A I n t e r e s t23 . Lower M erion S.D.,4.8% ,25 A I n t e r e s t2 4. M u h l en be rg , PA , 5% , 23 A I n t e r e s t25. Northamp ton, 5% ,39 A I n t e r e s t26. Northeas tern York , 4 .5%, 26 B I n t e r e s t

27 . Pa. St. High er Ed. Fac. Auth., 5.25% , 10 A I n t e r e s t28 . Penna. Intergovt l, 5 1/4% ,17 A I n t e r e s t29. Pa. High er Ed., 6 1/8% , 10 A I n t e r e s t30 . Pa. Tump ike, 5%,23 A I n t e r e s t31 . Pa. Turnpik e, 5% ,23 A I n t e r e s t32 . Pa. 4th Series, 4.5% ,24 A I n t e r e s t

33 . Pa. St. HFA, 4.5% ,24 A I n t e r e s t3 4. Pa . Turnp ik e , 4 .75%, 27 A I n t e r e s t

G r o s s v a l u e a t endof r epo r t ing pe r iod(t) (2)

V a lu e V a lu eC o d e 2 M e t h o d( J - P ) C o d e 3( Q - W )

J TJ TK TK TJ TK TK TK T

K T

J T

J T

K T

K TJ T

S o l d 03/15/10 J

Sold 03/24/10 JSold 01/04/10 J

B uy 01/05/10 K

I . Income Gain Codes: A = $ 1,000 or less B = $ 1,001 - $ 2 ,500 C -$ 2 .501 - $ 5 ,000 D =$5,0~1 - $15,000(See Columns BI and D4) F = $50,001 - $ 100,000 G =$ 100.001 - $1.000,000 I1 1 =$ 1.000,001 - $ 5,000,000 1 1 2 = M o r e 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 =$5.1)00.001 - $25.00~.000

P3 =$25.000.001 - $50.000.000 P4 =More than $50 .0 0 0 .0 0 03. Value Method Codes Q = Appr a i sa l R :Cos t (R ea l Es ta te O n l y ) S =Asscssmer~t T :C a s h M a rkc ~1 S ~ : C o lu m n C 2 ) U =Book Value V - O l h c r W -Es l im a te d

E =$15.001 - $50.000


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FINANCIAL DISCLOSURE REPOR TPage 6 of 9

N a m e o f P e r so n R e p o r t in gSIoviter, Dolores K .

D a t e o f R e p o r t05/15 /2011

V I I . I N V E S T M E N T S a nd T R U S T S - i n c o m . , .a ~ u e , t .a , ~ o . ~ o , ~ a . d .d , ~ , h o s e o / s p o u s , o . d d e p e , , , ~ e , , t c h i ta r e . ; se e W 3 ~ - 6 o o / ~ t i .g instructions.)D NONE income, or transactions.)N o reportable assets,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

( 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 dO) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t t A m o u n t T y p e ( e . g .,e x e m p t f r o m p r i o r d i sc l o s u re [ C o d e I d i v . , r e n t ,i o r i n t . )A-H)

35 . Pa. F i r s t Ser ies B,4 .375%,27 B Interest36 . Pa . S t . Pu b . Sch . B ld g . , 4 . 3% , 27 A Interest37 . Pa . F i rs t Ser i es B /E , 4 . 375% , 28 B Interest38 . Pa . Tu rn p ik e , 5% , 39 A Interest39 . Pa . Hsg . F in . Ag en cy , 4 .75% , 39 None40 . Phi la . Park in g , 5 .125% , 24 A Interest41 . R e a d i n g , 4 . 4 5 % , 2 7 B Interest42 . R e a d i n g S . D . ,4 . 7 5 % , 3 8 B Interest43 . Somerset S .D. ,4 .2%,22 A Interest44 . Southeas t Delco S.D. ,4 .30%,26 A Interest45 . Susq ueh anna Twp. A uth . Pa . , 6%, 13 A Interest46 . Wach ovia Acc t s . A Interest47 . Temple Universi ty Chari table Gift Annui ty A Interest48 . Tru s t # 1 W acho via Ban k F Interest49 . Un iv. o f Pen n sy lvan ia Char i t ab le G i r l A InterestAnnui ty50 .

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

V a l u e V a l u eC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )K TJ TK TJ TK TJ TK TK TK TK T

K TK TO TK 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

(I) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, sel l , m m ! d d ? y y Code 2 Code I buyerlscl ler

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

Bu y 11/16/10 K

So ld 11/15/10 J

51.

I . Income Gain Codes: A $1 ,0 0 0 o r le s s B = $ 1,001 - $ 2 ,500 C = $ 2 .501 - $ 5,000(5 c C o lu m n s B I a n d D 4 ) F -$ 50,001 - $ 100.00~ G = $100,001 - $ 1,0~0,000 III =$1,000,001 - $5.000.000

2 . Value Codes J = $ 15.000 o r le ss K = $15.001 - $ 50.000 L = $50.0~ 1 - $ 100.000tg e c C o lu m n s C I a n d D 3) N =$250.001 - $500.0~0 O :$500.001 - $1.000.000 PI =$1.000.001 - $5.000.000P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 , 0 0 0 . ( X } 0 P4 =Morc than $50.000.0(}03 . Value Method Codes Q =Appraisal R = Cos t tR ca l E s t a t e O n ly ) S =Asscssrnt~t(Se e C o lu m n C 2 ) U =Bc, ok Value V O ~ h e r W - E s t i m a t e d

D =$5.0OI - $15.000112 =More than $5.00~.000M =$10~.001 - $2 50,000P2 =$ 5,000,001 - $25,000.000T =C a s h M a rke t

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


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N a m e o f P e r so n R e p o r t in gSIoviter, Dolores K .

D a t e o f R e p o r t05/15/201 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 m e , v u t u e , ~ a n s o c , lo n s a n a a d e s t h o s e o / s p o u s e a n d dependent children; see pp. 34-60 o f f i l lng ins truc t io ns . )

52.

53.

54.

55.

56 .

57.58.

59.

60.

61.

62 .

63 .

64 .

65.

66 .

67 .

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 I n c o m e d u r i n g G ro s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t ~ ) r e p o r t in g pe r i o d o f r e p or t in g p e r i o d

[ (I) (2) (I) (2) (1 ) (2) (3) (4) (5 )P l a c e " ( X ) " a f t e r ea c h a s s e t I A m o u n t T y p e ( e . g ., V a l u e V a l u e T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i ty o f

e x e m p t f r 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 M e t h o d b u y , s e l l , m m / d d / ~ 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 )

68 .

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(See Columns BI and D4) F = $50,001 - $ 100,000 G = $100,001 - $1,000,000 III =$1.000.001 - $5.000.000 112 =More than $5,000.000

2. V a l u e C o d e s l =$15.000 or less K =$15.001 - $50.000 L =$50.0OI - $100,000 M =$100.001 -(Sc Colum ns CI and D3) N $250,001 = $500.000 O = $500.001 - $1.000,000 p I = $ 1 .0 00 .0 01 . $ 5 ,0 03 ,0 C 0 P 2 = $ 5. 00 0, 00 1 - $2 5, 00 0. 00 0

P3 =$25.000,001 - $ 50.000.000 P4 =More I lmn $50.000,0003. Value 8.tcthod Codes Q =Appraisal R = C o s t I R c a l Es ta te On ly ) S = As s es s men t T = Cas h Mar k c~(Se e C o lu m n C 2 ) U = Book Value V = ( h h e r W =Eslimatcd

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


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Name of Person Report ingS l o v i t e r , D o l o r es K .

D a t e o f R e p o r t05/15/201 I

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. tl.dlca,epa,,olro~,or~T h e Va n g u ar d M u n i c i p a l B o n d F u n d s i n V I I h ave ch eck i n g acco u n t f ea t u r es an d w er e u sed f o r va r i o u s tr an sac t i o n s t h ro u g h o u t t h e y ea r .Th e Tr u s t #1 i n V I I - o n l y a s s e t i s a W a c h o v i a B a n k a c c o u n t .


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Name of Per son R epor tingS l o v i t e r , D o l o r es K .

Dale of Repor l05/15/2011

IX. CERTIFICATION.

I c e r t i fy tha t a l l i n fo rma t io n g iv e n a bo v e ( i n c lu d in g in fo rma t io n p e r t a in in g to my sp o u se a n d min o r o r d e p e n d e n t c h i ld re n , i f a n y ) i sa c c u r a t e , tr u 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 th h e l d b e c a u s e i t m e t a p p l i c a b le s t a t u t o r yp ro v i s io n s p e rmi t t i n g n o n - d i sc lo su re .! further cert ify that earned income from outside em ploym ent and honoraria and the acceptance of gifts wh ich h ave been reported are incom pliance w ith th e prov isions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Jud icial Conference regulations.

Signature: S] Dolores K. SIoviter

N O T E : A N Y I N D IV I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A L 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 I 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 )

C o m m i tt e e o n F i n a n c i a l D i sc l o s u r eA d m i n i s t r a t i v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544

Dolores K Sloviter Financial Disclosure Report for 2010

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