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AO JO Rev. 112008

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2008

1. Person Reporting (last name, first, middle initial) 2. Court or Organization

I< JokJAJ l. ,,,....., b1s 1c/ \<?Lo. 4. Title (Article illjudges indicate active or senior status; Sa. Report Type (check appropriate type)

magistrate judges indicate full- or part-time)

u .s. s'"'•" D 1sTt-1 r-:ru ofs.E D Nomination, Date

D Initial Annual D Sb. D Amended Report

Final

Report Required by the Ethics in Government Act of 1978 (5 u.s.c. app. §§ 101-111)

3. Date of Report

'·30 . o 6. Reporting Period

oJ... J..rJS to/J.-3/·0S

1· c.z3e

; or

:4d

; v. . c.u ,use' 8. On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance

<to I I 9 s.:f.D'11 Co <a"O 1

with applicable laws and regulations.

Reviewing Officer

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

Date

I. POSITI 0 NS. (Reporting individual only; see pp. 9-13 of filing i",,,.tructions.)

NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I.

2.

3.

4.

5. C'1

I.

PARTIES AND TERMS

I " ?t:

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P1

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·{110

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

NONE (No reportable agreements.)

3.

Kane Jr, John L

K1tN8)

SOURCE

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

3.

Date of Report

INCOME

Name of Person Reporting FINANCIAL l)ISCLOSURE REPORT

of11 J/.N L III. NON-INVESTMENT IN COME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

NONE (No reportable non-investment income.)

SOURCE AND TYPE

I.

(yours, not spouse's)

2.

3.

4.

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)

DATE

!.

AND TYPE

2.

4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainmenL

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.)

I.

2.

3.

4.

5.

CREDITOR

FINANCIAL DISCLOSURE REPORT

of11

V. GIFTS, (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

DESCRIPTION

Date of Report

VALUE

NONE (No reportable gifts.)

SOURCE

I.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 31-33 of filing instructions.)

!Xi NONE (No reportable liabilities.)

DESCRIPTION VALUE CODE

1.

2.

3.

4.

5.

JJ.N

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JCF 12.P i+v

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-··- JIJN-08-2009 MON 01 :03 PM U.S. DISTRICT COURT P. 05

Date oflU)IOrtl'{ame ofl'cnoa FINANCIAL DISCLOSURE REPORT of11 KJ.JJE l.

vn. INVES TS and TRUSTS -IMl>lff ..,,,,.,, l1""1UIJCIJ llli (lndlldu lht>HP/ $J10fl#ORJ/ ""114'nd nt e""4TQC; U4pp. 34-69 Pf Jlllnc i>mrJICll<1D$.)

0 NONE (No reportable income, assets, or transactions.) ·-··

P.A. B. Gro:ioal;atcndof·1 Tnmso Ollll dlll'ittg rcportigJ pllfi.)d Description c>f A88Cll (in•l, lldiilH ltUSl al&Cla)

Ir.eame durli1g inipcning periodI.

(l} (2)Amoun1 I Type (e.g., Vuluo VnlwCode I div., n:ni. c.odc2 Malhad

arint.) b

iu!

-·(l) 'fypc c ...s.

uy,111'!mption)

(,?)

I °'

Dale Value; MOll:h • Code :l

J)ny (Iv!')

Oain roonilyar C<>ilo!l baycdsollcr (A-1-1) (ifpriw!C:

lmnaactionlj(NH} Codc3(J-P)

(Q-W)

l. 1 1'i?S Sf:(> 50D fO•V +ll1.

2· Is 1-i r-e.'.? eo n - sTeev-s

3· Sif 1.S.k::.\\·-E'S 1-3 jl--

4. i '1 $ hcH"e::> S<Sell -

5• IWD ; s-l-\.:.l"e5> \Q....u..ssc 1 l - iOOO VAL-{..)..£ VA-NGUAi-D 5>'\il 6. V oK - c

1· v V!INC?t.l;j D S/'t..f -

l!. o...+'fMC/l.E./ Nj -

9. sioie..s 100 A-oA--

10.

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12.

ID·+ iN}f!pfA.si)f"M 10/J.oEA Its AJ;v- €\F

VA,Nbvf74.b SM 3/jD A /J-13• r-s , --e J_D t" Yr. $.e_ l lA J !Ict ; · v J A 14. '1s •·e-:> l'.2.M.s?el I (/A -

; 5'1 1'-t'.5 7-IO yr It::rA Se { ll ef- r> %u '

16.

17_

l.lz:ocmaOoinCurlc>I: A-Sl,OOll or 1"'111 0-Sl,001 ·Sl.500 C•S2,SDl • $s,!lil0 D-SS.DOJ ·$1,,000 H l 1.000.11111-JS,000,0llO

2, v.i.o Ccdoo J ..jlS,QllO ar Jc:a ):: -$)$,001 • S..<o.oDO (r,.eQ!...,,.,Cl mid03l N c$23u,OOl - 000 0 .001 ·Sl.000.000 Pl o.$1,DCC,M! • SS.000.000 1'2 001 .ru.oos.ooo

Pl .Dll>,llOI -$$0.000.COO M -M ·lllJll S!C,D00.000 :I. VAiue Mdl>ad Codol Q "11fK>fUl R<oo! {R.al OQ))I) S·- T<ooh Mlnkcr

(SCCc.tumn Cl) U=lloo Vllhte V-othar W•l!lldmlni:d

(Sr:o C 81 ondo+) f -SSO.(llll • $100.000 GaSl00,001 ·Sl,Ql)(),OOO L-SSO,OOl •SI00,008

H2-Mmv1ilooM "'5100.001 -515!1,DflO

/.....


Page 10of11

Name of Person Reporting

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (IndicatepartofReport.)

Date of Report


Page 11of11

Date of Report

IX. CERTIFICATION.

I certify that all information given above (including information 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 statutory provisions permitting 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 ofS U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Sign

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIF AND CRIMINAL 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 Suite 2-301 One Colwnbus Circle, N.E. Washington, D.C. 20544

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AO 10 Rev. 112008


FOR CALENDAR YEAR 2008

I. Person Reporting (last name, first, middle initial) 2. Court or Organization

Kane, John L. District of CO

4. Title (Article IIIjudges indicate active or senior status; magistrate judges indicate full- or part-time)

Sa. Report Type (check appropriate type)

D Nomination, Date

US Senior District Judge D Initial !ZI Annual

Sb. !ZI Amended Report

D Final

Report Required by the Ethics in Government Act of 1978 (5 US.C. app. §§ JOJ-111)

3. Date of Report

0911612009

6. Reporting Period

01/01/2008 to

12/31/2008

7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance

838 Arraj US Courthouse with applicable laws and regulations.

901 19th St Denver, CO 80294

Reviewing Officer Date

IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITJ ONS. (Reporting individual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

NAME OF ORGANIZATION/ENTITY

I. ADRD BLDRS 100 ADR Index

POSITION

2.IVW ishares S&P 500 Growth Index

3. IEF ishares 7-10 yr Treasury Bond Index

4. SHY ishares 1-3 yr Treasury Bond Index

5.IWR ishares Russell Mid Cap Index

6.IWD ishares Russell 1000 Index Value

7. VBK

8. VBR

9. EEB

IOJLT

ILVB

12IWB

Vangliard MSC! US Sm Cap Index

Vanguard Sm Cap ValueETF

Claymore Exchange Traded Fd NBNY BRIC

ishares 2o+ yrTreasury Bond Index

Vanguard Sm Cap VIPERS ETF

ishares Russell I 000 Index

........,

\) gs

rr-,u:

rq

·.-

11.=---()

I::;

.I::

C.11 -.J

S''..... f

(""'• ' I -.,.,

13ICF ishares Cohen & Steers Realty ETF

14IVW ishares S&P 500 Growth Index

15JDH TDAX Independence 2020 ETF

I6JD Money Mkt TD Money Market cash sweep account

Kane, John L

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

[{] NONE (No reportable agreements.)

PARTIES AND TERMS

!.

2.

3.

CREDITOR DESCRIPTION VAWECODE


Page 4of10


Kane, John L.

Date of Report

0911612009

V, GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[{] NONE (No reportable gifts.)

DESCRIPTION VALUESOURCE

I.

2.

3.

4.

5.

VI, LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

[{] NONE (No reportable liabilities.)

I.

2.

3.

4.

5.

!WR

(5)

A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period

( including trust assets) reporting period reporting period

(I) (2) (!) (2) {I) (2) (3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type ( e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, Month- Code2 Code I buyer/seller (A-H) or inL) (J-P) Code 3 redemption) Day (J-P) (A-H) {if private

(Q-W) transaction)

18. IWR A Dividend J T Buy 3/20 J

19. A Dividend J T Sold 4/24 J A (part)

20. SHY A Dividend K T Sold 3/20 J A (part)

21. SHY A Dividend K T Buy 3/31 J (add'!)

22. SHY A Dividend K T Sold 4/24 J A (part)

23. TDH A Dividend Sold 10/20 J A

24. TLT A Dividend J T Buy 3/20 J

25. TLT A Dividend J T Buy 3/31 J

26. TLT A Dividend J T Sold 4/24 J A

(part)

27. VB A Dividend Sold 3/20 J A

28. VBK A Dividend J T Buy 3/20 J

29. VBK A Dividend J T Sold 3/31 J A

(part)

30. VBK A Dividend J T Sold 4/24 J A

(part)

31. VBR A Dividend J T Buy 3/20 J

32. VBR A Dividend J T Sold 3/31 J A (part)

33. VBR A Dividend J T Sold 4/24 J A

(part)

34. WELLS FARGO BANK ACCT A lnt./Div. J T

I. Inco me Gain Codes: A=$1,000orless B=Sl,001 -$2,500 c =$2,501 -$5,000 D=$5,001 -$15,000 E =$15,001 -$50,000

(See Columns Bl and 04) F =$50,001 • SI00,000 G =$100,001 • $1,000,000 HI =$1,000,001 • $5,000,000 H2 =More tban $5,000,000

2. Value Codes J =$15,000orless K=$15,001 -$50,000 L=$50,00I • $100,000 M =$100,001 • $250,000

(See Columns Cl and DJ) N=$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =$1,000,001-$5,000,000 P2=$5,000,001 -$25,000,000

P3 =$25,000,001 • $50,000,000 P4 =More tha n $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Re al Estate Only) S =Assessment T =Cash M arket

(See Column C 2) U=Book Value V=Other W=Estimated


Page 6of10


Kane, John L.

Date of Report

09/16/2009

VII. INVESTMENTS and TRUSTS income, value, transacdons <Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.J -

D NONE (No reportable income, assets, or transactions.)

I I I I I I I I I


Page 8of10


Kane, John L.

Date of Report

09/16/2009

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see pp. 34-60 of filing instructions.)


A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

l. Income Gain Codes: A =Sl,000 or less B =$1,001 -$2,500 c=$2,501 - $5,000 D =S5,001 -$15,000 E =S 15,001 -$50,000

(See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001- $1,000,000 Hl =$1,000,001 - $5,000,000 H2=More than $5,000,000

2. Value Codes J=$15.000 or less K =$15,001 -$50,000 L=S50,001-$100,000 M=$100,001 -$250.000

(Sec Columns Cl and D3) N =$250,001 -$500,000 o =$500,001 - s1.ooo.ooo Pl =$1,000,001 - $5,000,000 n =$5.000.001 -s2s,ooo,ooo

P3 =$25.000.001 -$50.000.000 P4 =More tbao $50,000.000

3. Value Method Codes Q=Appraisal R =Cost (Real Estate Ooly) S =Assessment T =Casb Market

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

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 9of10 Kane, John L. 0911612009

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate parto/Report.)

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page lOoflO 09/16/2009Kane, John L.

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, trne, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting 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. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signatur

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIE AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS


Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

POSITION NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

· . .

<;;\�

"- "

---

· \. · - .

,

r-.· ..

AO JO Rev. 1/2008

FINANCIAL "DISCLOSURE REPORT FINAL FILING

Reporr Required by the Ethics in Government Act of 1978 (5 U.S.C. app. §§ 101-111)

I. Person Reporting (last name, first, middle initial) 2, Court or Organization 3. Date of Report

KAUFFMAN, BRUCE W. W.S. DISTRICT COURT, EASTERN P 0911612009

4. Title (Article IH judges indicate active or senior s1atus; Sa. Report Type (check appropriate type) 6. Reporting Period magistrate judges indicate full· or pan-time)

Nominalion. Date 01/01/2009DU.S. DISTRICT JUDGE - RETIERD toInitial Annual FinalD D [l] 07/20/2009

Sb. Amended Report D 7. Chambers or Office Address 8. On the basis of the information contained in Ibis Report and any

modiflcations pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. 2 LIBERTY PlACE

50 S l 6TH STREET - STE 2960 PHILADELPHIA. PA 19102

Reviewing Officer Date

H1PO RT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no rtporlab/e information. Sign on last page.

I. POSITI 0 NS. (Reporting individual only; see pp. 9-13 of filing instruclions.)

D NONE (No reportable positions.)

1. DIRECTOR FEDERAL JUDGES ASSOCIATION

2.

3.

4. ...- :

cfi 5.

1 -·- .

c:.=·u fY c<

.//J:..-. r.

ff\

II. AGREEMENTS. (Reporting individual only; see pp. 14·16 of filing instructions.} 0 -.-,-CJ 0"·

[{] NONE (No reportable agreements.)

I.

2.

3.

AND

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

4.

3.

(Dollar amount not required except for honoraria.)

[ZJ NONE (No reportable non-investment income.)


Page.2 of 7


KAUFFMAN, BRUCE W.

Date of Report

09/16/2009

III. N 0 N-INVESTMENT IN COME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

SOURCE TYPE INCOME (yours, not spouse's)

1. 2009 JUDICIAL RETIREES & SURVIVORS. VESTED PENSION $115,608.00

2.

3.

B. Spouse'S Non-Investment Income - if you were ma"ied during any portion of the reporting year, complete this section.

SOURCE AND TYPE

1.

2.

4.

IV• REIMBURSEMENTS ··transportation, lodging, food, entertainment.

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

1. FEDERAL JUDGES ASSOC! MAY 3 & 4, 2009 WASHINGTON, D.C. ANNUAL BOARD ME MEALS AND HOTEL A TION ANNUAL MEETING ETING

SOURCE DESCRIPTION VALUE

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3of7 09/16/2009KAUFFMAN, BRUCE W.

V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[{] NONE (No reportable gifts.)

I.

2.

3.

4.

5.

VI, LIABILITIES. (Includes those of spouse and dependent children; see pp. 32·33 of filing instructions.)

D NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

I. EDUCATION SERVICES STUDENT LOAN

VALUE CODE

K

2.

3.

4.

5.

I

!

I '

I

rede

.

mption) J _o_a _y_ 'l _(_J_-P _) -(-A-- H-) -(if private __J__

CORPORATI


Page 4of7

Name of Person Reporting Date of Report

KAUFFMAN, BRUCE W. 09/16/2009

VII. INVESTMENTS and TRUSTS --income, vatue, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B.Description of Assets Income during (including trust assets) reporting period

{I) (2)Place "(X)" afler each asset .Amount Type (e.g., exempt from prior disclosure I Code I div., renl,

or int.)

c.Gross value al end of reporting period {I) (2)

Value I ValueCode2 Method(J.P) Code 3

D.Transactions during reporting period --------

-,----TJ3>

Typ 1 e.g., I ;e I V e ::n lde Y of buy, sell, I Month - I Code2 Code I buyer/seller

.... --j

I (A-H) (Q-W) _ -

sactio __j

1. PENNSYLVANIA BUSINESS BANK - C A Interest J T HECKING

2. PNC BANK B Interest K T --

3. MOSAIC FUNDS None J T

4. WOMEN'S INVESTMENT NETWORK None Sold J A (SEE NOTE 2) (X)

5. HOLLIDAYSBURG ASSOCIATES, LP. None J u

6. HOLLIDAYSBURG LAND ASSOCIAT None J u ES,LP

7. CANTONE RESEARCH -IRA D Int./Div. M u

8. - EVERGREEN INSTITUTION MM FD IS Sold 4/24 K A CL(X)

9. -EVERGREEN US GOVT MONEY M Sold 4/24 K A ARKET FD CL A (X)

10. -BONA VISTA ENERGY TRUST

11. -EMERGE INTERACTIVE INC CL A

12. -ENTERRA ENERGY TRUST

13. - HEALTHFUSION.COM INC

14. -LORILLARD INC. Sold 5/28 J A (part)

15. - SOUTHERN COPPER CORP Sold 3/23 J A (part)

16. -JP MORGAN CHASE BK NA CD Buy 4/24 K

17. -MAINSTAY HIGH YIELD Buy 5/29 J BOND FD CL B

1. Income Gain Codes: A =SJ ,000 or less B =$1,001·52,500 C =S2,501 • 55.000 D =S5.00I -515,000 E =Sl5.00J -$50.000

(See Columns Bl and D4) F =S50,00I -SI00,000 G =SI 00,00 I -$1,000,000 HI =SJ.000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =515.001 - S50.000 L =550.001 - 5100.000 M =5100.001 -$250.000

(See Columns Cl and D3) N =5250,001 -$500,000 0 =$500.00 I -$I ,000.000 Pl =St.000.001 -s5.ooo.ooo P2 =55.000.001 -$25,000,000

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

3. Value Method Codes 0 =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U =Book Value V =Olher W =Estimated

YL

-----

--

_I

(3) (4)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Pag 5 of 7 KAUFFMAN, BRUCE W. 09/16/2009

VII. INVESTMENTS and TRUSTS .. income, vatue, transactions (Inctudes those of spouse and dependent children; see PP· 34-60 of filing instructions.;

0 NONE (No reportable income, assets, or transactions.)

A. Description of Assets

(including trust assets)

B. c. D. Income during Gross value al end of Transactions during reporting period

reporting period reporting period

(2)(1) (2) (2)(I) (!) (5) Place "(X)" after each asset

exempt from prior disclosure Amount Code I

(A-H)

18.

19.

- FIRST TRUST SENIOR LOAN HIGH DC/E6 CASH

- BANK DEPOSIT SWEEP

20. CSP DEBT ACCOUNT LLC

Type (e.g., ""di ., ent,

or int.)

None

Value Code 2 (J-P)

J

Value Method Code3 (Q-W)

Type (e.g., buy, sell,

redemption)

Open

u

Date Month·

Day

4/24

Value Gain Code 2 Code l

(J-P) (A-H)

J

Identity of buyer/seller

!(if private transaction) i

------ -·--- ..---·

21.

22.

23.

24.

25.

1. Income Gain Codes: A =SJ ,000 or Jess B =Sl,001 -$2,500 c =$2,501 -$5,000 D=S5,00I -S 15,000 E =$15,001 -$50,000

(See Columns BJ and 04) F =$50,001 -$100,000 G =$100,001-$1,000,000 Hl =Sl,000,001 -$5,000,000 H2 =More lhan SS,000,000

2. Value Codes J=$15,000 or less K=S 15,001 - $50,000 L =$50,001 -SJ00,000 M =SI00,001 -$250,000

(See Columns C l and 03) N=$250,00 1 - $500,000 0 =$500,001 - $1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

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

3. Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Markel

(See Column C2) U=Book Value V=Other W =Eslimated


Page 69f7

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of Report.)

!.) FROM 2009 REPORT, PART VII, LINE 19, BANK DEPOSIT SWEEP ACCOUNT USED TO HOLD IDLE CASH.

2.) FROM 2009 REPORT, PART VII, LINE 2, THE ACTUAL SALE DA TE OF THIS ASSET WAS UNABLE TO BE LOCATED. FOR PURPOSES OF THIS

REPORT WE HA VE DISCLOSED THE ASSET OF BIENG SOLD, HOWEVER HAVE LEFT urn SALE DATE BLANK.


KA N, BRUCE W.

Date of Report

09/16/2009

F1NANCIAL DISCLOSURE REPORT

Page 7 of 7


KAUFFMAN, BRUCE W.

Date of Report

09/16/2009

IX. CERTIF1CATION.

I certify that all information given above (including information 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 statutory provisions permitting 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 S U.S.C. app. § SOI et. seq., S U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (S U.S.C. app. § 104)

FILING INSTRUCTIONS


Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

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