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UNITED STATES DISTRICT COURT

EASTERN DISTRICTOF PENNSYLVANL<\.

10613 UNITED STATES COURTHOUSE

601 MARKET STREET ' .

PlllLADELPHIA, PENNSYLVANIA 19106-1705 ' . - . .

STEWART DALZELL, (215) 597-9m RIDGE FAX (215) 580-2156

August 12, 2004 .

0,

o-

=Honorable M J M. Lisi' ' m8 Chair Judicial Conference oftheUnited States -·

.... ,, Committee on Financial Disclosure C>'

One Columbus Circle, N.E. Washington, J? C. 20544

Re: Year 2003

' ·. '

Dear Judge Lisil:

In response to your letter of August 4, it certainly did not leap off the page to me how to make the disclosure of what was tantamount to a money :fund (Vanguard PA Tax Free Bond Fund) that was,, over the course of my judgeship, gradually liquidated to zero. That is to say, there was no 1'sale" in the sense of liquidating sales on NASDAQ or the New York Stock Exchange. In any event, that account is, regrettably, now a distant memory.

I trust that this response will suffice to close out your Commission's examination of my 2003 report.

SD:jt

.. . - ;. . -' .: .... • - .

. : -- .; _·: . . : •. .

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·------·

0 Initial @Annual 0 Ffual

1-----------------------------------------+-------------------------------''-------- ·

__________ _

POSIDON NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

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SOURCE AND TYPE INCOME

1.

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT in Government Act of 1978

Calendar Year 2003 (S U.S.C. app. §§ 101-111)

1. Person Reporting (Last name, First name, Middle initial) 2. Court or Organization 3. Date of Report

Dalzell, Stewart U.S. District Comt 5/3/2004

4. Title (Artic:le m Judges indicate ac:tive or senior status; 5. ReportType (check appropriate type) 6. Reporting Period

magistrate judges indicate full-or pairt-time) · ·Q Nomination, Date 1/112003

Article ill Judge - Active to

12/3112003

7. Chambc:rs <11' Office Address 8. On the basis of the hriformation contained in this Report and any modifications pertaining thereto, it is, u1 my opinion, in compliance

10613 U.S.Courthouse with applicable laws and regulations. 601 Markc:t S1ieet

Reviewing Officer Date Philadelphia, IPA 19106

IMPORTANT NOTES: The fostructions accompanying this form nmst be followed. Complete all parts, checking NONE box for each part wberie you have no reportable ·infonnation. Sign on last page.

I. POSITlONS. (Reportir11g individual only; see pp. 9-13 offiling instructions) .

D NONE - (No reportablt: positions.)

Teacher

2.

.....

,,&:'

Il. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions)

NOJNE - (No reportable agreements.)

C'")t-'T1 o-(J):Z:c:::)>:.:oz

c...... c:: :z:

m (') m

f'Tl O)> ...,, ,

< rn

1.

ID. NON-INVESTME'l\fT INCOME. (Reportingindividua1and spouse;seepp.1?-24offilinginstructions)

NONE - (No reportabile lllon-investment income.)

1.

GROSS (yours, not spousc:'s)

u m_ __ _P_O_R_T_ :_ _ _:_ _ _n_R_ _o_rt_ _g ____________ _ _= I

DESCRJPTION

DESCRIPTION

1.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainment.

NONE (Noreportableliiabiliti.es.)

$300

,,,,.,"'

Qm:ludes those to spouse and ck:pendent children. ·See pp. 25-27 ·of instructions.)

NOl'IB (No such reportable reimbursements.) -

DESCRIPTION

1.

V. GIFTS. Qncludes those to si•ouse and dependent children. See pp. 28-31 of instructions.) D NOJ E - (No such reportalbfo gifts.)·

1. P1J1sel Partnership Value of Free Movie Pass

2. Dlink:er Biddle & Reath Tax Retmn Preparation $500

VI. LLl\BILITIES. Qncludc:s those of spouse and dependent children. See pp. 32-34 of instructions.)

R Datel)fRepo11 S/3/20CM ___j

A.

.

DNON.E

3.

7.

B.

-(2)

Code!

c

-c. D.

(1) If

(2) Date:

Method

redemption)

J T

(4) Gain

H\

I

. FINANCL DISCLOSUlllE REPORT NameofPerson eporting

5.

13.

(l) (3)

. .

. Page 1 of 4 Dalzell, Stewart

- income. va1ue. ttanscations Cincludes those ofthe spouse and dependent children. see PP· 34-s1 offiling mstruc:tions.)VII. INVESTMENTS and. TRUSTS·

-

Income during · Gross value at end of Transactions during il:porting period Dc:scription of Assets reporting period reporting period(inc:luding trust assets)

(1) (2) not exempt from disclosure

(5) Place "(X)" after each asset ex.empt frol111 prior disclosure

-(No reportable income, a.'ISets, Ill' transactions)

Amount

(A-H)

Type (e.g. div. rent. or int)

Value Code2 (J-P).

Value

Code3 (Q-W)

Type (e.g. buy, sell, merger,

Month-Day

Value Code2 (J·P)

Code I (A·

Identity of buyeir/seUer (if private trmiSaction)

1. Cape COd Five Cents Savini:s A Interest J T

2. Bear, Steams Cash Account -

A Interest J T

Mellon Bank -

A Interest

4. PNCB:ank 'A Interest J T

6.

RMA Tax Free Fund A Dividend J T

-BRE Plroperties, Inc. Dividend L T

-Vanguard PA Tax Free Money F'und B Dividend K T

8. Household International -

A Dividend sell 1122 J A sale Oil NYSE

9. Village: Super Market -

A None 1 T

10. Cash Reserve Trust -

A Dividend J T

11. U.S. Treasmy strips --

D Interest M T mature 2/18 K D -

partial maturity

12. Pep,sico -

A Dividend K T

-Americ:an International Group A Dividend J T

.

-

14. MBNA Corp. A Dividend K T

-

15. FNIMABonds B Interest K T

-

16. J.P .. M1cirgan Bonds B Interest K T

17. Bank One Corp.Bonds B Interest K T

18. Ho111selilold Capital Trust A Dividend buy 1/8 1 buy on NYSE

l. Income1Gam1 Codes: A = Sl,00.1.l or less B = Sl,00 J-$2,500 C = $2,501-SS,OOO D = $5,001-$15,000 E =$15,001-$50,000

{See Columtis Bl and 04) F = S50,001'Sl00,000 G = $100,00I-Sl,000,000 Hl = $1,000.001°$:5,000,000 H2 = More than $5,000,000

2. Value C<ides = Sl 5,000 or less K =$1S,00l-$SO,OOO L = $50,00l-Sl00,000 M =$100,001-$250,000

(See Co!umtis Cl and D3) N = S250,00 $500,000 0 =SSOO,OOJ-SI,000,000 Pl = SI,000,001"$5,000,000 P2 = $5,000,001 $25,000,000

P3 = $25,000,001 $50,000,000 P4 =$More than $50,000,000

3. Value Mi:thod Codes Q =Appraisal R = Cos1 (Real Estate Only) S =Assessment T = Cash/Market

(See Colwnn C2) U = BO(>k Value V =Other w =Estimated

I ofReport

.---i

_ s1312004___J

B. c.

(1) -

(2) (I) (2) u trom isclosurc

up

--

-

Amount

int.)

A

Method Code2

(Q-W)

K

(4) (S) Gain Code

m

31.

3/25

. · FINANCIAL DISCLOSURE REPORT Name of Person Reporting D. ate .

. Page 2 o:r 4 natzen, stewart

, VII. INVESTMENTS and TRUSTS -income. va1ue. transcations cmc1w1es those ort1ie spouse aru1 dependent c1u1c1re11. See pp. 34-s1 offiling instructions.)

-

A. D. Income during Gross value at end of Transactions during reporting pe!liod

Descriplion ofAssets reporting period reporting period(induding trust assets)

(I}

1::c "(X)" after each asset exenipt Type (e.g. Pia Type (e.g. Value Value froJn prior disclosure Code! div. rent. or Code2 buy, sell,

{A -H) (J-P). Code3 merger, redemption)

19. Household Capital Trust A Dividend sell .

20. Citigro B Dividend K T

-

21. Pfizier, line. A Dividend K T

General Electric A Dividend K T buy22.

-

23. GTI Sciuth, Inc. Bonds B Interest T

-COip.Bonds B Interest K T

-

25. Wac:ho'�ia C'..orp. Bonds A Interest matured

26. Exxon !Mobil A Dividend K T buy

-

(2)

Date: Month-Day

8/15

3/25

4/15

4/11

-not exempt

(3)

Value Identi of buyedseller

(J-P) 1 (A- (ifpriwte ttansllction)

J A sell on :NYSE

-

J buy adid"l shares on NYSE

K A matured

J buy add'! shares on NYSE

21. Ammsource Bergen A Dividend buy J buy add'! shares on NYSE

-9114 K A sell on NYSE Ami:risource Bergen A Dividend sell28.

-

29. SEIDaily Income Trust D Dividend M T

-919 K A sale ooNYSE30. Federal1 Home Loan Mortgage Dividend sell

-

32.

TI.owes A Dividend J

-ChcMll 111Texaco A Dividend K T

-

33. Johnson&Johnson A Dividend K T sale

34. Goldman Sachs Group Notes c . Interest L T

35. Fortun1eBrands A Dividend K T buy

-

36. Geneniii Dynamics A Dividend K T buy

-616 J c partial sale on

NYSE

4124 K buyonNYSE

4/24 K buy on NYSE

L Incomef(Jain Codes: A = $1,00I, or less B "'Sl,001-$2,500 C =S2,501•$5,000 D ..£5,001-$15,000 E =:$15,001-lS!l,OOO

(SeeCollin11lisBl and D4) F = S>SO,Olll-Sl00,000 G =SJOO;OOI.$1;000,000 HI = Sl,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes: J = Sl5,0lil0 or less 1::. = $15 ,00.l ...SSO;OOO L =SS0,001-$1()0,000 M =$100,001-$250,000

(SeeColunmisCl andD3) N =$2S0,1 oo.ssoo,ooo o =Ssoo,001.s1.ooo,ooo Pl =51,000,001-ss,ooo,ooo P2 =SS,ooo,001.s2s,ooo,ooo

P3 = $25,0il0,001·$50,000,000 P4 =$More than $50,000,000

3. Value M:lhod Codes Q = Appn1isal R =Cos! (Real Estate Only) S =Assessment T = Cash/Market

(See Column C2) U =Book Value \I =Other W =Estimated

Page3 ·-------·

-

A.

Pia froi

-

Vod

- -

Dor niru

USJ•

Safi.

Xer ox

Mal rsh

FNl

-

A

F

B.

-(2)

Type Code l

B

c.

(1) (2) (I) If

Day

J

-

c D

Gain,

H\

E

Date ofRepor1l ·· FINANC IAL DISCLOSURE REPORT. Name of Person Reporting

5/3/2004Dalzell, Stewart . of4.

-income, vatue, traoscations (includes those orthe spouse and dependent children. see pp. 34-s1 orfiling instructions.)·.VII. INVESTMENTS and TRUSTS -

D. hlcome during Gross value at end of Transactions during reporting period

Description of Assets reporting period reporting period (IDc uding trust assets)

ce "(X)" after each asset exempt n prior disclosure

(1) '

Amount '

(A-H)

(e.g. div. 1'1:111. or int.)

Value, Code2 (J-P)

Value Method Code3 (Q-W)

Type (e.g. buy, sell, merger, redemption)

(2) Date: Month-

not exempt from diSCiOsiire" (3)

·Value Code2 (J-P)

(4)

Code 1 (A-

(5) Identity of buyer/seller (ifprivate tnuiSaction)

37.

38.

39.

40.

41.

Meti ck &Co. .

-lOile Airtouch

-lntell

-AutA ltic Data Processing

-Well sF 'argo

A

A

A

A

A

Dividend

Dividend

Dividend

Dividend

Dividend

J

J

J

J

T

T

T

T

buy

sell

buy

4/24

3/18

4/24

J

J A

buyor1NYSE

-

sell on NYSE

buyonNYSE

42.

43.

44.

45.

46.

47.

48.

49.

so.

Med co Health Solutions

Med co Health Solutions

-J.P. Mcirgan Chase

--'ion Resources

-

-·ud Scientific Bonds

-Credit Notes

-She rritl l International Colp .

-Fler nin gCos.Notes

A

A

B

A

B

A

None

None

Dividend

Dividend

Dividend

Interest

Interest

None

Interest

J

J

J

K

K

T

T

T

T

T

spin-off

sale

sell

sell

buy

8121

10/15

10/20

2/10

2114

J

J

K

K

K

D

A

spin-offfrom Metiek

sale at1111kt

sale on U.S. Exchmge

partial sale on U.S. Exchange

buyan U.S. Exchange

51. Fler nin gCos. Notes

-

A Interest sell 8/15 J A sale an U.S. Exchange

52.

53.

54.

& McLennan Cos.

-.Bonds

Gen era lMiills

A

B

A

.Dividend

Interest

Dividend

K

K

T

T

sell 11113 K A sale on NYSE

l. Income/Gain Codes: = Sl,000 or less = Sll,001-$4,500 = $2,501-$5,0-00 ... $5,001-$15,000 -=$15,00l•SSCl,OOO {See Cal1lllllllsBl andD4) = $50.,00I;.$100,000 G = SI00,001-$1,000,000 HJ = Sl,000,001-$5,000,000 H2 = More than $5,000,000

2. Value Codes: J ='Sa 5,000 or less K =$15,001-SSO,OOO L = $50,001-$100,000 M =$100,001-$250,000

{See Columns Cl and D3) N = $250,000-SSOO,OOO 0 = SS:OO,OOl-Sl,000,000 Pl = s1,ooo.001-ss,ooo,ooo P2 = $5,000,001-$25,000,000 P3 = .000,001-sso,ooo,ooo P4 = $More than SS0,000,000

3. Value :thod Codes Q =Appraisal R = Cost (Real Estate Only) s = Assessment T = C-ash/Matket (See Coilllilll C2) u =Book Value v =Other w =Estimated

Datec>fRepon:J. ·

.. 5/3/2004

·---------· , _________ ...... ______________________________ I--___ , _

A. B. c. D.

-(I) It

(3) (4) Jpl Amount Type Gain

Code2 etexen

int.) Day transaction)

--

-

A

a

a

a

M

(1)

55.

58.

914

63.

3/25

= C11sb/Marke1

' FINANCM.L DISCLOSURE REPORT Name ofPerson Reporting

. Page 4 o:f 4 Dalzell, Stewart

- income, value, traoscations (iocludes those of the spouse and dependent children. See pp. 34-S.7 of filing instructions.} VII. INVESTMENTS and TRUSTS -

Gros5 value at end of Transactions during reporting period mcome dmingDescription of Assets reporting periodreporting period (inc:Juding ttust assets)

not exempt from discloSIU'e (2) (1)(2)

(5)(2)

56.

Pla1i:e "(X)" after each ass from prior disclosure

Ptizt::r, Irie.

Bank of America

Code] (A-H)

A

(e.g. div. rent. or

Dividend

None

Value

(J-P)

K

J

Value Type (e.g. Mdbod buy, sell, Code3 merger,

redemption)(Q-W)

T

T buy

Date: Value Identity of Month- Code2 Code buyeiiseller

(ifpniwte(J-P) I (A-m

11125 I buy on NYSE

sellNone 2126 J sell on NYSE 57. L-3 Cotmrnmications

59.

Conoco Phillips None J T buy 11/25 I buy onNYSE

-ID.t'l Bw&iness M chines None I T buy 11125 I buyor1NYSE

Senicemastcr T buyJA Dividend J buyon NYSE60.

T buyA 1/16Dividend J I buy on NYSE 61. PNM Resources

I T buy 11862. Utilitiei; SPDR Trust A Dividend I buy 011 Arnex:

soldA Dividend 3/17Johnson Controls I A sell on NYSE

64. Omi11icorn Group

65. Kotica Electric Power Corp.

66. Dominiion Resources

67. Duke Realty Corp.

68. Uni•oo P cific Corp.

A

A

A

None

None

Dividend

Dividend

Dividend

K

K

J

sell

T buy

T

T

-sell

2126 I A sell on NYSE

10120 K buy on NYSE

10131 K A sell 0111 NYSE

I buy dd'l shares 69. Verizon Conununications A Dividend J T buy on NYSE

70. Charter One Financial A K·Dividend T buy 4/11 buy add'I shares on NYSE

I. lncome/Ciain Codes: A = Sl,000 or less B =$1,001-$2,SOO c = .$2,501-$5,000 D = $5,00J-SlS,000 E = l'15,001-$50,000

(See Cohlllllls Bl and D4) F = $50,001-$100;000 G = Sl00,001·$1,000,000 HJ = $1,000,001·S5,000,000 H2 =More 1han $5,000,000

2. Value Codes: J = $15,,000 orless K = $15,001-$50,000 L = $50,001 $100.000 =$100,001-$250,000

{See Columns CI and D3) N = $251),00()..$500,000 0 =$500,001-$1,000,000 Pl = Sl,000,001-$5,000,000 P2 = S5,000,001-$2S,OOO,OOO

P3 = $25,000,001"$50,000,000 P4 =$More than SS0,000,000

=3. Value Method Codes Q Appraisal R = Cost (1>.eal Estate Only) s = Assessment T

(S"" Column C2) u = Bt>ek V aloe v =Other w Estimated=

W --- P_O_R_T J :_:_e _:_:_ _oo_R_._ _ ___________ il_· -· , VIII. ADDITIONAL INFORMATION OR EXPLANATIONS (IndicatepartofReport.)

' '

5/3/2004 . .

ofRepo]Jt •..

-������.i.-������������������---IL...--

Name of Person Reporting Dat1:. 'FiNAJNCIAL DISCLOSURE REPORT Dalzell, Stewart

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, u any) is accwrate, true, and coirnplete to the best of my knowledge and belief. and that any information not reported was witbhc ld . because it met applicable statutory provisions permitting non-disclosure.

I further certify that eamc d i:i11come :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.

Signatur

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES ORF.AILS TO FILE TIIlS REPORT MAY BE SUBJECT TO CIVIL AND CRIMIN.AL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts

Suite2-301

One Columbus Circle, N .E.

Washmgton, D.C. 20544