Marjorie O Rendell Financial Disclosure Report for 2010

8/3/2019 Marjorie O Rendell Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i ti a l )Rendell, Marjorie O.

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part- time)Circui t Cour t Judge (Ac t ive )

7. Chambers or Off ice A d d r e s sU.S. Cour t o f Appeal s601 Market S t r ee t, Room 21613Phi ladelphia , PA 191 06-1598

2 . C o u r t o r O r g a n i z a t i o nU SCA - 3CA - P h i l ade lp h ia

3. Date of Report04/28/2011

5a. Report Type (check appropriate type)] N o m i n a t i o n , Dat 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 compliancew 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 i o n s .

Reviewing Off icer Date

6. Repor t ing Per iod01/01/2010

to12/31/2010

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 bo x for each part where you have no reportab le information. Sign on last page.

I . P 0 S I T I 0 N S . (Repor t ing indiv idua l on ly; see p p . 9 - 1 3 of filing instructions.)~-~ (No reportable positions.)O NE

POSITION1 . Member, Board of Directors2. Director3. Mem ber , Board of Over see rs

4. Ex e c u t d x5.

NAME OF ORGANIZATION/ENTITYAvenue o f t he A r t s , Inc .Regiona l Pe r forming Ar t s Cente rSchool of Nursing, Univers ity of Pennsylvania

Est a t e o f Ger ry Harkavy

I I . A G R E E M E N T S . ~ , o r ~ n g individual only; seepp. 14 -16 of f i l ing ins t ruc t ions . )~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 12

N a m e o f P e r s o n R e p o r t in gR e n d e l l , M a r j o r ie O .

Date of R e p o r t0 4 1 2 8 1 2 0 1 1

I II . N O N - IN V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investment IncomeD NONE non- inves tmen t i ncome . )N o reportable

DATE SOURCE AND TYPE I N C OME( y o u r s , n o t s p o u s e s )1.07/15/10 Fee as E xec u t r ix o f Es t a t e o f G er ry Harkavy $3,500.00

2.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - l f you were m arried during any port ion of the report ing year, comple te this sec t ion.(Dol lar amount not required except for honoraria. )

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

1. 20102 . 201 03 . 201 04 . 201 0

D A T E SOURCE AND TYPEPhiladelphia Sports Media L.P. - TV Sports CommentatorComm onwealth of Pennsylvania - earnings for services as GovernorCity of Philadelphia - pensionUniversity of Pennsylvania - Instructor

I V . R E I M B U R S E M E N T S - transportation, lodging, food, e n t e r t a i n m e n g(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

~] (No repor tab leONE re imbursement s . )SOURCE DATES LOCATION PURPOSE

1 . Jack Miller Center 5/13/10 Chicago, IL Sympos ium for Civ icE d u c a t i o n2. Am erican Bar Assoc 0 8 / 0 6 / 1 0 - 0 8 / 0 8 / 1 0 San Francisco, CA Annual m eeting, Panal on Travel, lodgingCivic Education3.4.5.

ITEMS PAID OR PROVIDEDTravel


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N a m e o f P e r s o n R e p o r t in gRendell, Marjorie O.

D a t e o f R e p o r t0~/28/2011

V . G I F T S . (lncludesthosetospouseanddependentchildren;seepp. 28-31 offilinginstructions.)

D N O N E (No reportable gif ts. )SOURCE DESCRIPTION

1 . Philadelp hia O rchestra A cadem y B all tickets2.3.4.5.

VALUE$ 8 0 0 . 0 0

V I . L I A B I L I T I E S . ~ t n c l , , a e , t h o ~ e o Z ~ p o u ~ e und dependent children; see pp. 32-33 of fillng instructions.)[ N O N E (No reportable liabilities.)

C R E D I T O R DESCRIPTION1 . Cape Sav ings Bank , Cape M ay , N J Mortgage on rental proper ty2.3.4.5.

VALUECODEN


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Name of Person Repor t ingRe nde l l , Ma r j o r i e O.

D a t e o f R e p o r t04/28/2011

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 u t u e , ~ a n s a c a o n s a n c l u d e s t h o s e o f spouse and dependent ch i ld ren; see p p . 3 4 - 6 0 of filing instructions.)~-~ N O N E (No reportable income, assets, or transactions.)

1 . I R A # 12. - A d a m s H a r kn e s s S m . C a p3. -Art io Int l Equity Fund4. -Baron Growth5. -Blac kRoc k Low Durat ion Bd6. -Brandywine7. -DFA Emerg ing Mk t s Core Equ i t y8. -DFA In t l Value9. -DFA one year f ixed

1 0 . - D F A U S L a r g e C ap V a l u e1 1 . -DFA U .S . Mic ro Cap1 2 . - D F A U S S m a l l C a p V a l u e1 3 . -Dodge & Cox s tock1 4 . -Federa t ed 1 -3 year US Gov t Sec .1 5 . -Federated Gov. Ult rashor t Durat ion1 6 . -F i r s t Eagle Over seas1 7 . -Hotchk is & Wiley Large Cap Va lue

Dividend P1

S01d 08/i 1/10Bu y 09 /17 /10

Sold 04/29/10(part)Bu y 04 /29 /10(addl)

Bu y 04 /29 /10(addl)

KK

J

J

Sold 10/29/10 KBu y 11/01/10 K

1. InCOme Gain c~i : A~$1,000o~leS~ : B=$1,00i 75 2;500 C =$2,50i : $5;000 D_-$5,00! r $!5,000 E = $ 1 5 , 001 - $ 5 0 , 000(se~c0i~Bi ~a~)=$100~i rSl,000,~0 HI ~i~;O~ ~$5;~,~0 : H2~M0retha~$5:~0,~o

2. V a lue Cod~ J =$15,~ or l~s K = $ 1 5 , ~ 1 - $ 5 0 , ~ 0 L = $ 5 0 ~ 0 0 1 :(See Col ....C1 and D3) N =$250 ~i ~$5~ ~ 0 ~ $ 5 o 0 , ~ 1 : $ 1 , ~ 0 , ~ 0 P1 g$~;~,~i ~0 ....

3 . Value Method C~es Q =Appraisal R ~ost (Rea l ~ t a t e on ly ) s =As~fii : : : : T~mh Market(See Column C2) U = B ~ k V a l u e V = O t h ~ W =Eai~at~d


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D a t e o f R e p o r t04/28/2011

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.)~-~ NONE income, assets , or transact ions . )N o reportable

1 8 . -H o t chk i s & W i ley Mid-Cap Va lue

1 9 . - J a n u s F u n d

20 . - J a n u s O v e r s e a s F u n d

21 . - M e t r op o l it an W es t T o ta l R e tu r n

22 . -Mo rg a n S t a n l e y In s t E me rg i n g M a rk e t s

23 . -Morg an Stanley Ins t In te rna t ional Equi ty

24 . -R o y c e O ppo r t u n i ty

25 . - R o y c e V a l u e P l u s

26 . - S c h w ab A d v C a s h R e s e r v P r em & C a s h

27 . -Th i rd Av e n u e In t l V a l u e28 . - T h o m b u r g I n t l V a l u e

29 . -Tu rn e r S m a l l C a p E qu i t y I

30. -Westcore Int l Frontier

31 . -W e s t c o re Mi d -C a p O ppo r t u n i t y

32 . -W e s t c o re Mi d o G ro wt h

33 . -Wil l iam Bla ir In te rna t ional Growth

34 . -W i l l i am B la i r Lg Cap G r ow t h

S o l d 04/29/10 J( p a r t )

Bu y 04/29/10(add l )

Sold 09/16/10 K

B uy 08/12/10 K

A

2 V a u eC o d es J=$ iS 0 0 0 0 r le s s K--~i5,00i ~$~0;000 1.=-$5000[ $ : M~$i00;001-$250,000 :(seec ....C a n d D 3 ) N = $ 2 5 0 0 0 1 L$500000 0~$500001~$i000i000: : P2--$~ i000 , 001"$2~000 ,0 0 0

P3 =$25 000.00 -$501000~000 ....3. Value Method Codes Q=Appraisa l .... R =Cost (Real Estate ohi~) S~i : : T ~ C a s h M a f k e t( s ee Column C2) U = Book va lue ~ ~Othe r W =Estimated


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N a m e o f P e r s o n R e p o r t i n gRendell, Marjorie O.

D a t e o f R e p o r t04/28/2011

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 l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)[] NONE income, assets, or transactions.)eportable

35 . -Wil l iam Bla i r In tl Sm ll Cap G rowth36 .37 . I R A # 238 . -Firs tEagle Global Class I39 . -Perk ins Mid Cap Value4 0. - S ch wa b A dv C a sh R es er v Pr em & C a sh4 1. - T h o m b e r g V a l u e F u n d4 2 . - W il li am B l ai r G r ow th4 3.

44. IRA #34 5. -Art io Int l Equity Fund4 6. - Baron Growth4 7. -DFA Em erg ing Market s Core Equ i t y48 . -DFA In t l Value4 9. -DFA O ne Yr F ixed50 . -Federa ted 1-3 Y r . U .S. Gov t See .51 . -Federated Gov Ultrashor t Durat ion

A Dividend L T

Bu y 04 /29 /10

Sold 04/29/10 J C

B Dividend M TSold 08/! 1/10Bu y 09 /17 /10

JJ

Sold 10/29/10 KBu y 11/01/10 K

A

A

2. Va lue Co d es J =$15,000 Or .... ~i5;00i ; $50.000 L : ~ - - $ i 0 0 . 0 0 1 - $ 2 5 0 . 0 0 0( See Co lumn s C1 ao d D 3) P 1 = $1 i ~; 0 0! ~ $5 i0 0 0; 00 0 1 P 2 = $5 ,0 00 ,0 0 1 : $ 25 ,0 0 0, 00 0

P3 =$25.000.001 - $50 000~000 P4 --M6re than $50i000i0003. Value Method Codes Q - - A p ~ i s a i R :=Cost (Rea l Estate Only) S =Assessment ..... T =Cash Market(See Column C2) U ~ B ~ k V a l U e V ~ 0 t h e r W ~ Est ima t ed

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gR e n d e l l , M a r j o r ie O .

Date of Report04/28/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o ~ e , v a t . e , t ra n s ~ a i o n s a . c l u d e s t h o s e o f s p o u s e ~ .d dependent ch i ldren; see p p . 3 4 - 6 0 of filing instructions.)D NONE income, assets, or transactions.)N o reportable

52 . -Hotchk is & Wiley Large Cap Va lue53 . - Janus Over seas54 . -Metropolitan West Total Return55 . -Morgan Stanley Int l Equity56 . -Royce Opportuni ty Fund57 . -Royc e Value Plus58 . -Sc hwab Adv Cash Reserv Prem & Cash59 . -T h i rd Ave In t l Value60 . -Turner Core Growth

61 . -T urner Smal l Cap Equ i t y62 . -Wes tcore Mid C ap O ppor tuni ty63 . -Westcore Midco G rowth64 .65 . IRA #466 . -Adams Harkness Smal l Cap Growth67 . - Brandywine Fund68 . -Dodge & Cox s tock

Bu y 08 /12 /10

Sold 09 /16 /10

Dividend K

2 . v a | u e c o d e s J = $ 1 5 i 0 o o 0 ~ l e s s K = $ 1 5 , 0 o l , $ 5 0 , 0 0 0(See Columns CI and D3) N --$250,001 - $500,000 ..... O:=$500~00i. $ i,000.000

3. Value Method Codes Q =A p praisal R =C ost (R eal E state O nly)( S e e C o l u m n C 2 ) U = 8 o o k V a l u e V - - O t h er

C =$2,50~ - $5;000 D = $ 5 , 0 0 1 - $ 1 5 . 0 1 ~ 0 E --$15,001 - $50,000H i =$1.000,001 - $5,000,000 H 2 =M ore t han $5 ,000 ,000 . . . .L =$50.001 - $100.000P I = $ 1 , 0 0 0 . 0 0 i - $ 5 , 0 0 0 , 0 0 0 P 2 = S 5 ; 0 0 0 ; 0 0 1P4 =More than $50.000.000S =Asse ssmen t T =Cash MarketW =Estimated


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D a t e o f R e p o r t04/28/2011

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 u i u e , ~ n . s u c ti o n s a n c l u d e s t h o ~ e n I ~ p o u s e ~ n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)~-~ N O N E (No reportable income, assets, or transactions.)

69 . -Morgan Stanley Int l Equity70 . -Sc hwab Adv Cash Reserv Prem & Cash71 .72 . Art io Int l Equity Fund N one73 . Baron Growth None K74 . B e c k m a n C o u l t er A Dividend K75 . Coca Cola B Dividend L

TTT

S o ld 08/11/10 K AS o l d 04/29/10 : K C(par t )

76 . DFA Em erg ing Market s Core Equ i t y A Dividend K7 7 . D F A S h o r t Te r m M u n i B o n d I B Dividend L

TT

Sold 04/29/10 J(part)

78 . DFA Tax Managed In t l Va lue A Dividend K T79 . D F A T a x M g d U S M k t wi d e V a l u e A Dividend K T80 . D F A T a x M g d U S T a r g e t ed V a l u e A Dividend K T81 . DFA US M ic ro Cap A Dividend J T82 . D o d g e & C o x S t o c k A Dividend J T83 . F ederal Natl M ortg ag e A ssoc . None J T84 . Federa t ed Short T erm M uni Bond Fund B Dividend L T85 .

Sold 04/29/10(part)

Buy 01/28/10(addl)S o ld 04 /29/1 0(part)

K

J A

2. Va lue Co d es J =$15.000 or less(See Columns CI and D3) N =$250.001 - $500.000

P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $50.000.0003 . Value Method C~es Q =Appraisal

(See Column C2) U =Bo o k Va lue

B ~$1,001 - $2,500 C - - $ 2 ~ 5 0 1 ; S 5 ~ 0 0 0 1 : D--$5.001 - $15,000 E =S IS ,001 - $50,000G =$100,00i, $i,000~000 HI - -$i . 000,00i ~ $~i009,000 : H2 =More than $5,000,~00O =$500.001 - $1,000.000 Pi --Sli0O0;00i ; P2 : $~ ;~ i001 2525 ;0001000R -~nst (Real Estate Only) S =Asse ssmen t : T- - ca sh Ma rke tv = O ther W = E s t i n ~ a t ed :


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N a m e o f P e r s o n R e p o r t in gR e n d e l l , M a r j o r i e O .

D a t e o f R e p o r t04/28/2011

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 n l u e , transactions (Includes those of spouse and dependen t children; see pp. 34-60 of fillng instructions.)D NONE(No reportable income, assets, or transactions.)

86 . Fir s t Eagle Over seas CLI A Dividend K T87 . Genera l E lec tr ic - comm on s tock A Dividend K T88 . GlaxoSmithKline B Dividend K T89 . Hotchkis & Wiley Large Cap Va lue A Dividend K T Bu y 04 /29 /10 K(addl)90 . Hotc hk is & Wiley Mid Cap Value A Dividend K T Bu y 04 /29 /10 K(addl)91 . Janus Fund A Dividend K T92 . Janus Mid Cap Value A Dividend Sold 04 /29 /10 J

93 . Janus Over seas Fund A Dividend K T9 4. M c Do na ld s C orp . A Dividend K T95 . Metropolitan West Total Return D Dividend L T Bu y 01 /28 /10 J(addl)96 . Morgan Stanley Int l Equity A Dividend K T97 . Royce Opportuni ty Fund N one K T "98 . Sc hwab Money Market & Cash A Dividend K T99 . Sound Shore A Dividend J T Sold 04 /29 /10 J(part)1 0 0 . Third Avenue In t l Va lue A Dividend L T Bu y 04/29/10 J(addl)101. -Thornburg In te rna t iona l Va lue A Dividend K Bu y 0 8 1 1 2 1 1 0 K1 0 2 . -T hornburg L imi t ed T erm Muni A Dividend K Bu y 04/29/10 K

A

A

1. lncome Gain Codes:, See Columns BI and D4)

2. Va lue Co d es| S ee Columns CI and D3)

3. Value Method C o d e s(See Column C2)

A =$1.000 or less B --$L001 - $2.500 C =$2.501 - $5.000 D =$5 .001 - $ |5 .000 E =$15.001 - $50.000F =$50,001- $100,000 O =$ t00,001 - $ 1 .000 000 H I =$ 1.0 00 .0 01 - $5 .0 00 .0 00 H 2 =M ore th anJ =$15.000 or less K =$15.001 - $50.000 L =$50.001 - $100.000 M =$100,001 - $250,000 "N =$250.001 - $500.000 O =$500,001 - $ | .000.000 PI =$1,000,001 - $5,000,000 P2 =$5.000,001 - $25,000,000P3 =$25.000.001 - $50.000.000 P4 =More than $50,000.000Q =Appraisal R -~;os! (Real Estate Only) S =Asse ssmen t T =Cash MarketU =Bo o k Va lue V = O ther W =Estimated


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N a m e o f P e r s o n R e p o r t in gR e n d e l l , M a r j o r i e O .

Date of Repor t04/28 /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 t u e , transact ions ( Inch,des those o f spouse and dependent chi ldren; see pp. $4-60 of filing instructions.)[] N O N E ( N o reportable income, a ssets , or transactions.)

103 . Tumer Core Growth A Div idend K T104. Turner Smal l Cap Equi ty None Bu y105. S o l d106 . W al-Mar t Stores , Inc . A Div idend K T107. W es tcore In t l F ront ie r Fund A Div idend K T1 0 8 . W e s t c o re M i d C a p V a l u e A Div idend K T1 09 . W es tc o re M idc o G rowth None K T110 . Wil l iam Bla i r La rge Cap G rowth A Div idend K T1 1 1 . W i l li a m B l a i r M i d C a p N one K T

112. Wi l l i am Bla i r Smal l Cap None K T Bu y113.114. Rental proper ty in Ocean C ity, NJ (2000 - E Rent P1 S$645,000)

04 /29 /10 K09/16/10 K

09/17/10 K

1 1 5 .1 1 6 .

117.118.

State Street Inst i tut ional Reserve A Div idend

A

Distributed 07/15/10 J A(part)Di s t r i bu te d 09 /15 /10 J A

2. Value Codes J =$15 00~ or less K =$15,001 -$ 50,000(See Col ....CI and D3) N =$250,00i ~ $500.000 0 =$500,00i r $1,000,000 ~i ~$ii000;~i ~i~i~0 ~!~! ~ $2~;0001000

P3 =$25;000,001 - $50,000,0003. V alue M ethod C odes Q =A ppraisal R =Cost (Real Estate Only)(See Column C2) U =Bo o k Va lue V =Other


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N a m e o f P e r s o n R e p o r t i n gRendell, Marjorie O.

Date of R e p o r t04/28/2011

V III. ADDITIONAL INFORMATION OR EX PLANATIONS. (lndlcatepartofrepor~)P a rt I V . R E I M B U R S E M E N T SAs F i r s t Lady o f t he Com m onweal th o f Pennsy lvan ia , I have founded t he Pennsy lvan ia Coal i t ion fo r Represen t a t ive Democ rac y (PennCO RD), whic h i s c omm i t tedto im prov ing c iv ic learn ing fo r s t uden t s in g r ades K-12 . T he o ther found ing par t ner s o f t he c oal i t ion inc lude t he Pennsy lvan ia Depar tmen t o f Educ at ion , t hePennsy lvan ia Bar A ssoc ia t ion , and t he N at ional Cons t it u t ion Cen t er . T ravel in and around P ennsy lvan ia fo r PennCORD is pa id fo r by t he C om m onweal th o rPennC ORD; t ranspo r tat ion is via state owned car , bus, or plane.

P a r t V I I . I NV E S T M E N T S A N D T R U S T S

T he i t em l i s ted in Sec t ion V II , on l ine 116 , i s an inves tmen t asse t o f t he Es t a t e o f Ger ry H arkavy , Dec eased , o f whic h I am the Exec u t r ix. Funds were d i s t r ibu t ed t othe beneficiaries on 7/15 and 9/15, and es tate was closed in 2010.


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Marjorie O Rendell Financial Disclosure Report for 2010

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Transcript of Marjorie O Rendell Financial Disclosure Report for 2010