Mitchell S Goldberg Financial Disclosure Report for 2010

8/3/2019 Mitchell S Goldberg Financial Disclosure Report for 2010

1/18

Rev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0Report Reqtdred b) the Ethics

in Government A ct o f l978(5 U.S.C. app. .~" I01-I11)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t ia l )Goldberg,, Mitchell S.

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or pa rt-time)

U. S. District Judge -[ Active Status

7. Chamber~ or Off ice A d d r t ~ sRoom 7614 , U. S . Courthouse601 Market StreetPhiladelphia, PA 19106

2 . C o u r t o r O r g a n i z a t i o nU.S. District Court , Eastern District of Pennsylvania

3 . D a t e o f R e p o r t09/06/201 I

5a. Report Type (check appropriate t )ve)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n fo r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c e

s v 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 .

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

R e v i e w in g O f f i c e r D a t e

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

I . P O S I T I O N S . m e p o . i n g individual only; seepp. 9-13 of filing instructions.)~-] N O N E ( N o reportable positions.)

PO SIT IO N N A M E O F O R G A N IZ A T IO N /E N T IT Y

2.

3.

4.

5.

I I . A G R E E M E N T S . ~ R e ~ , o , , in g i n d i , id a a l o n l y ; s e e ~ , ~ , . t 4 - 1 6 o f ~ l i n ~ instructions.)D NONE (N o repor table agreements . )D A T E P A R T I ES A N D T E R M S

I . 2 /03 Pen n sy lvan ia E m p loyee R etirem en t System2. 2010 Drexel Law School (Teaching app oin tment to s t a r t Sep tember , 201 I )3.


2/18

FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r t in gGoldberg, , Mitchel l S .

I I I. N O N - I N V E S T M E N T I N C O M E . (,epo,ing individual andspo use; seepp . 17-24 of f i l ing ins t ruc t ions . )A. Filers Non-Investment Income

D (No reportable income.)ONE non-investmentDATE SOURCE AND TYPE

I . 2010 Drexel l aw School - Paym ent for teaching2. 2010 Trust Distribut ion3. 2010 Pennsy lvan ia Em ployee Ret irement System4.

Date of Report09/06/2011

I N C O M E(yours, not spouses)

$2,500.00$3,583.33

$13,818.00

I

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 - if you were married during any portion of the reporting.lear, complete this section.(Dollar amount not required except for honoraria.)

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

1.20102.3.4.

D A T E S O U R C E A N D T Y P EHerst ine Technology - sa l a ry

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 t(Includes those to spouse and dependent children," see pp. 25-27 of filing instructions.)D NONE (N o reportable reimbursements.)

3.4.5.

SOURCE DATES LOCATION PURPOSEA m eric an B ar As so cia tio n 4 /2 9/2 01 0 - 5 /3 /2 01 0 Hal f Moon Bay , CA Tor t Tr ia l & Insurance

Prac t ice Sec t ion - Speaker

ITEMS PAID OR PROVIDEDTransportation, meals, hotel


3/18


N a m e o f P e r s o n R e p o r t i n gGoldberg,, Mitchell S.

D a t e o f R e p o r t09106/2011

V . G I F T S . a n c l u d e s , h o s e to s p o u s e o n d d e p e n d e n , children; s e e p p . 2 8 - 3 1 of filing instructions.)[-~ N O N E ( N o repor table gi f ts. )

SOURCE DESCRIPTIONI.

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . ( inc lude s thos e o f s pous e and dependent ch i ldren; see pp. 32-33 of filing instructions.)N O N E ( N o repor table l iabi li t ies . )

CREDITOR DESCRIPTIONI.

2.

3.

4.5.

VALUE CODE


4/18


N a m e o f P e r s o n R e p o r l i n gGoldbe rg . Mi tc he l l S .

Date of R e p o r t09/06/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 offiling instructions.)N O N E (No reportable income, assets, or transactions.)

Descr i pt ion of Asse t s I n c o m e d u r i n g( i n c l u d i n g t r u s t a s s e t s ) r e p e r t i n g p e r i o d

O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . ,e x e m p t f ro m p r i o r d is c l o s u r e Code I d i v . , r e n t ,( A - H ) or in t . )

Gross value at endof r epor t i ng per iodO) (2)V alu e V alu e

C o d e 2 M e th o d( J - P ) Code 3

( Q - W )

(J )T y p e ( e . g , ,b u y , s e l l,

r e d e m p t i o n )

T r an s ac t i o n s d u r i n g r e p e n i n g p e r i o d

(2) (3) (4)D a t e Va lu e Gain

m n , d d d / y y Code 2 Code( J -P ) (A -H )

(5 )I d e n t i t y o fbuyer/seller( i f pr ivat e

t r a n s a c t i o n )

3.

4.

5.6.

7.

8.

9.1 0 .

Trust - I/3 Interest - property located inStewart , FLAm erican Fund # I - 529 - age or r i sk ba sed- no controlAm erican Fund #2 - 529 - age or r i sk ba sed- no controlAm erican Fund #3 - 529 - age or r i sk ba sed- no controlAm er ican Fun d #4 - 529 - age or r i sk based- no controlMorgan S t an l e y Sm i t h Ba rne y #1 - C om m ors tocks & options :Bank Deposi t Program #BDP

B R e n t M WN o n e K T

N o n e K T

N o n e R e de e me dN o n e K T R e de e me d( p a r t )

A Interest K T

09/2 I110

09/21 /10

K

K

Baxter Intl . Inc. - N o n e K T Bu y 05/10/10 JBristol Myers Sq uibb Co. N o n e K T Bu y 02/03/I 0 JH C P Inc. N on e K T

I1 . Kimberly Cla rk Corp .1 2 . Metl i fe Inc.1 3 . Microsoft Corp.1 4 . Pepsico Inc.

1 5 . Sysco Inc .

1 6 . WaI-M ar t S to res Inc .

N o n e J TA Dividend K TA Dividend K T

N o n e J TN o n e J T

N o n e K T

B u y 02/18/10

B u y 02/03/10

K

K

1 7 . C V S C a r e m a r k C o r p . S t o ck None Sold 04/22110 K

I. Income Gain Codes:(See Columns B I and D 4 )

2 . Value Codes(See C o lumn s C I and D3)

3. Value M cthod Codes[See C o lumn C 2}

A -$ 1.000 or lessF =$50.001 - $100.0~0J =$15,000 or lessN -$250.001 - $500.0~OP3 $25.000.0~)1 - $50.000.000Q = Apprai : ,alU = B ~ , k V a l u e

B=$1,001 - $2,500G =$10~.001 - $1.0~0,0~0K -$15,0~1 - $50,0~0O =$500,001 - $1,000.0~0R =Co~t (Real Estate Only)V :Olhcr

C =$2,501 - $5,000H I =$ 1.0~9.0~ I - SS.0~).0O0L=$50,001 - S 100.000PI =$1,0~0.001 - $5,0~0.090P4 =More than $50.(~) .0~0S =Asses ,mea lW =Es t imated

D =$5,001 - $15.000H2 =M ore than $5,000,00~M =$100.0~1 - $250,0~)P2 -$ 5 .000.1 ~ | -T =Cash Market

E =$ 1 5 , 0 0 1 - $ 50 , 0 0 0


5/18


N a m e o f P e r s o n R e p o r t in gGoldbe rg . Mi tc he l l S .

D a t e o f R e p o r t09/06/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, ,at.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)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

0) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . ,exempt from p rior disclosure Code I d i v . , r e n t ,( A - H ) o r i n t . )

Gr 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 dO) (2)V alu e V alu e

C o d e 2 M e th o d( J - P ) C o d e 3

( Q - W )

O)T y p e ( e . g .,buy , se l l ,


Transactions during reporting period(2) (3) (4)

D a t e V alu e Ga inmm/dd/yy Code 2 Code I

0-P) (A-H)

(5 )I d e n t i t y o fbuyer/seller(ifpr ivmet r a n s a c t i o n )

1 8 . Morgan S tan ley Sm i th Barney C orpora teBonds:1 9 . Ge ne ra l E l e c tr i c C ap C orp . A Interest K B u y 02/03/10 K

20 . Berkshire Hathaway Fin. Corp. B Interest K21 . Pepsico Inc. B Interest K22 . Morgan S tan ley Smi th Barney GSE Bonds:

23 . Federa l Home Loan Mortgage Corp . A Interest K

24. Morgan S tan ley Smi th Barney C ert if i ca tesof Deposi t :25 . Al ly Bank-UT (Former ly GMAC Ban k) #1 A Interest K26 . Al ly Bank-UT (Former ly GMAC Bank) #2 A Interest K27 . Al ly Bank-UT Former ly GMAC Bank) #3 A Interest K28 . Morgan S tan ley Smi th Barney #2 -Financia l : Management Acct .29 . ISha res TR S&P 500 I ndex Fd N o n e

TT Bu y 02 /18 /10 K(addl)

T Bu y 04/07 /10 K

T Open 04/13/10 K

T Open 04/19/10 K

T O pen 06/29/I 0 K

Sold 02/25/I 030 . Po w er sh a re s Q Q Q T R S er I N o n e31 . C ap ita l I n com e B u ilder Fu n d N on e32 . Growth Fund of Am erica Cla ss A N o n e

SoldSold

02 /25 /1002/25/I 0

JJ

33 . Exxon Mobi l Corp N o n e34 . LMP Shot -Term bond Fund C la ss C N o n e

JJ

TT

Bu yBu y

02/25/I 001/05110

JJ

I. Income Gain Codes: A = $1,000 or less B =$1.001 - $2 ,500 C = $2,501 - $5 ,000 D =$5,001 - $15 ,000(See C o lumns B I and D4 ) F =$50.1)01 - $100,000 G =$ 10 0.0 01 - $ 1.0 00 .0 ~ It I = $1,0 00 ,0 01 - $ 5,0 00 ,0 ~0 H2 =More than $5.000,0~)

2 . V alue C odes J = $15,000 or less K = $15,001 - $50,000 L = $50.001 - $10~.000 M =$100,001 - $250,00~( S e e C o lu m n s C I a n d D 3 ) N -$250.001 - $50~ ,000 O $500,001 - $1,000.090 PI =$1,000,001 - $5.000,0~0 P2 -$ 5 ,000,001 -$ 25 ,000.000

P3 -$25.000,001 - $50,000,000 P4 =More than $50.0~0,0003. Value Method Codes Q = A pp ra i sa l R =Cost (Real Estale Only) S =As s e s s ment T =C as h Marke tISce C o lumn C 2 ) U =Book Value V =Othe r W =Es t imated

E =$15,001 - $50,000


6/18


N a m e o f P e r s o n R e p o r t i n gGoldberg,, Mitch ell S.

Date of R e p o r t09/06/2011

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 , .e , ,, . l .e , ,r . n , a c , i o . s a n c l .d e , t h o s e o I s p o ~ . e ~ n d d e p e n d e . t children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descr i pt ion of Asse t s I n c o m e d u r i n g( includ ing t ru s! a ssets ) repo rt ing per iod

O) (2)Place "(X)" after each asset A m o u n t Type (e.g.,exempt from prior disclosure Code I div . , r ent ,( A - H ) or in t . )

Gross v a l u e a t e n dof r epor t i ng per iod(l) (2)

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

( Q - W )

(1 )T y p o ( e . g .,

buy, sell,redemption)

Transac t ions dur i ng repor t i ng per iod

(2) (3) (4)Date V a l u e Gain

mm/dd/yy C o d e 2 Code I( J - p ) ( A - H )

( 5 )Ident i ty o f

buyer / sel ler( i f pr ival e

t ransect ion )

35 . Well s Fa rgo #1 - Harford Ann ui ty :36 . AMR Blue Chip I ncome and Growth T

37 . AMR Global Growth None T

38 . AIM Mid Cap Core Equity Fund None

39. F-T Small-Mid Cap G rowth None

40 . AM R G row th -ln com e None

J

JJ

TTT

41 . Newell Rubbermaid Inc. NWL None Sold 08/02/10 J A42 . Oppenheimer Fund- Retirement IRA None43 . Sirius X M Radio, Inc. - Stock None

44 . Wells Fargo #2 - H artford Annuity:

45 . AM R G row th -ln com e None

J

J

TT

S o l d 03/i 1/10 J A46 . AMR Blue Chip Income and Growth None4 7 . F -T S m al l- M id Ca p G ro w th None4 8 . A IM M i d C ap C or e Eq u it y Fu n d None4 9. AM R G lo ba l G ro wt h None

Sold 03/11/I 0 J ASold 03/I 1/10 J ASold 03/I 1/10 J ASold 03/I 1/10 J A

50 . Ann ui t ie s , Savings & Ch ecking Accounts:51 . ING A nnui ty & Li fe I ns . (Y)

I. Income Gain Codes: A -$1,000 or less B = $1,0~1 - $2,500 C = $2,501 - $5 ,000 D =$5,001 - $15,000( see Columns B I and D 4 ) F =$50.001 - $10~.0~ G =$100,001 - $1,000,0(~ HI =$1,000.001 - $5,000,000 H2 = More than $5.0~0 ,0~

2. Value Codes J = $15.000 or less K -$15,001 - $50,000 L $50,001 - $ 100,0~O M =$ 100,001 - $250.000( Se e C olu m ns C I a nd D 3) N = $2 50 .0 01 - $5 00 .0 00 O =$5 00 ,0 01 - $1,0 00 ,0 00 P I = $1,0 00 ,0 01 - $ 5,0 00 ,0 00 P2 =$5,0003)01 - $25 ,000.000

P3 =$2 5,000.001 o $50.000.000 P4 =More than $50,000,0003. Value Method Codes Q = A pp ra i sa l R =Cost (Real Estale Only) S =As s e s s mcnl T =C as h Marke t

( s ee C o lumn C 2 ) U =Book Value V =Othe r W =Es t imated

E =$15,001 - $50.000


7/18


N a m e o f P e r s o n R e p o r t in gGoldberg,, Mitch ell S.

D a t e o f R e p o r t09/06/201 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 , . e , v a l a e , transactions (Includes those of spouse and dependent ch ildren; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr i pt ion of Asse t s I n c o m e d u r i n g Gr o s s v a l u e a t e n d Transac t ions dur i ng repor t i ng per iod( includ ing t ru s t a ssets ) repo rt ing per iod of r epor t i ng per iod

(I) (2 ) (I) (2) (I) (2) (3) (4) (5 )Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., Date Value Gain Ident i ty o f

exempt from prior disclosure Code I d iv ., ren t, C o de 2 M ethod bu y , se ll, m m / d d / y y Code 2 i Code 1 buyer / sel ler( A - H ) or in t . ) (J-P) C o d e 3 r e d e m p t i o n ) (J-P) (A-H) ( i f pr ivat e

( Q - W ) i t ransact ion )

52 . ING Direct Savings Account (X) A I n t e r e s t J53 . T D Ban k C he c k i ng Ac c oun t (X) N o n e J

I. Income Gain Codes: A = $1,000 or less B = $1.001 - $2,500 C = $2,501 - $5,000 D = S5,001 - $15.000(See Columns BI and 194) F =$50,001 - $100.000 G =$100,001 - $1,0OO,000 HI -$1.000.001 - $5.090.000 H2 =M ore than $5,000.0002. Value Codes J -$15.0~0 or less K = $15,001 - $50.000 L =$50.0~ I - $ 100,000 M =5100,001 - $250.000(See C o lumn s C I and D3) N =$25 0,001 - $500,000 O = $5 00 ,0 01 - $1,0 00 ,0 00 P I = $1 .0 00 .0 01 - $5 ,0 00 ,0 00 P2 =$5.000.001 - $25,000.000

P3 =$25,000,001 - $5 0,000,000 P4 -More than $50,000.0003. Value Method Codes Q = A pp ra i sa l R -Cost (Real Estale Only) S =As~cssmenl T =Cash Markcl(See C olu m n C 2 ) U = Book V a lu e V O t h er W ~Es t imated

E =$15.001 - $50,000


8/18

FINANCIAL DISCLOSURE REPORTPage 8 o f 9

N a m e o f P e r s o n R e p o r t i n gGoldberg , , Mitchel l S .

Date of R e p o r t09/06/201 I

V II I . ADDITION AL IN FORMATION OR EXPLAN ATION S. (Indicate part of report.)Part VI I , page 6 , l i ne 51 - i nadver ten t ly om i tted f rom m y 2009 repor l .Pa r t VI I , page 7 , l i nes 52 a nd 53 , the va lue of these a sset s were below the repor tab le va lue in 2009 .


9/18


Name of Person ReportingGoldberg , , Mitchel l S .

Date of Report09/06/201 I

IX. CER TIFICATION.1 ce r t ify t h a t a l l i n fo r m a t io n g iv en ab o v e ( i n c l u d in g i n fo r m a t io n p e r t a in i n g to m y s p o u s e an d m in o r o r d ep en d en t ch i ld ren , i f a n y ) i saccu r a t e , tr u e , an d co m p le t e t o t he b e s t o f m y kn o w led g e an d b e l i e f , a n d th a t an y i n fo r m a t io n n o t r ep o r t ed was w i th he ld b ecau s e i t m e t ap p l i c ab le s t a t u to ryprov is ions permit t ing non-d isclosure .I f u r th e r ce rt i fy th a t e a r n ed i n co m e f r o m o u t s id e em p lo y m en t an d h o n o r a r i a an d th e accep t an ce o f g i f t s ~ v h ich h av e b een r ep o r t ed a r e i ncom pliance with the p rov is ions o f 5 U.S .C. app . 501 et . seq . , 5 U.S .C. 7353, and Judicia l Conf erence regu lat ions .

Signature: S/Mitchell S. Goldberg,

N O T E : A N Y I N D I V 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 I F IE S O R F A I 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 TI ON S ( 5 U .S . C . a pp . 10 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544


10/18

I FINANCIAL D ISCLOSURE R EPORTFOR CALENDAR YEAR 20 10 Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. ~IOl-I l l)I. P e r so n Re p o r t in g ( l a s t n a me , first, middle init ia l)Go l d b e r g , , M i t c h e l l S .

4. T i t le ( A r t i c l e 1 1 1 ju d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magistrate judges indicate full- or pan-time)

U. S. District Judg e -[ Active Status

7. Chambers or Off ice AddressRoom 76 1 4 , U. S . Cou r th ou se6 0 1 Mar k e t S t r ee tP h i lade lp h ia , P A 1 9 10 6

2. Cour~ or Organiza t ionU.S . D is t r ic t Cou r t , E as te r n D is t r ic t of P enn sy lv ania

3. Date of Report06/09/2011

5a. Report T)]~e (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 compliancewith applicable laws and regulations.

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

R e v ie w i n g O f f i c e r D a t e

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 box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m c p o r t i n g individual only; seepp. 9-13 o f : l i n g instructions.)~ (No reportablepositions.)ONE

P OS ITION NAM E OF ORGANIZATION/ENTITY

2.

3.

4.

5.

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instruction~)D (No reportable agreements.)ONE

DATE PARTIES AND TERM SI. 2/03 P e n n s y l v a n i a E m p l o y e e R e t i r e m e n t S y s te m2. 1/97 Thri f t Savi ngs P l an3. 2010 D r e x e l L a w S c ho o l ( T e a c h in g a p p o i n t m e n t t o s t a r t S e p t e m b e r , 2 0 1 I )


11/18

FINANCIAL DISCLOSURE REPORTP a g e 2 o f 9

N a m e o f P e r so n R e p o r l i n gGoldberg , , Mi tche l l S .

D a t e o f R e p o r t06/09/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting indi,idual andspouse; seepp. 17-24 of fi l ing i n s t r u c t i o n s . )A. Fil er s Non-Inves tment Incom eD (No reportable income.)O NE non-investment

D ATE SO U R C E AND TY P E

I. 2010 D r e x e l l a w S c h o o l - P a y m e n t f o r t e a c h in g2. 2010 Trust Distr ibution3 .2 01 0 P e n n s y l va n i a E m p l o y e e R e t i r e m e n t S y s t e m4.

I N C O M E(yours , no t s pous e s )$2,500.00$3,583.33

$13,818.00

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - i f you were married during any portion of the reporting year, complete this section.(Dollar omount not required except for honoraria.)~ (No reportable non-investment income.)ONE

1.20102.3.4.

DATE S O U R C E A N D TY P EHer s t ine Tech nology - s a la r y

I V . R E I M B U R S E M E N T S --transportation, Iodglng, food, entertalnmen(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)D (No reportable reimbursements.)ONE

3.4.5.

SOURCE DATES LOCATION PURPOSEA m e ri ca n B a r As s o ci a ti o n 4 /2 9/ 20 10 - 5 /3 /2 010 Ha l f Moon Ba y , C A Tor t Tr i a l & Insurance

Pract i ce Sect i on - Speaker

I TE M S P A I D O R P R O V I D E DT r a n s p o r t a t io n , m e a l s , h o t e l


12/18


N a m e o f P e r s o n R e p o r t i n gGoldberg , , Mi tche l l S .

Da t e o f Re p o r t06/09/201 I

V . G I F T S . a n c l u d e s , l, o s e ,o s ~ , o , , s e ~ n d d e ~ , e n d e , , children; see p p . 2 8 - 3 1 of filing instructions-)N O N E ( N o reportable g~s.)

SOU RCE DESCRIPTIONI.2.3.4.5.

V A L U E

V I . L I A B I L I T I E S . a n c l u d e s ,h o s o o : s p o u s e ~ n d d e p e n d e n , children; see pp. 3 2 - 3 3 of fillng instructions.)N O N E ( N o reportable liabilities.)

C R E D I T O R D E S C R I P T I O NI.2.3.

4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t i n gGoldberg , , Mi tche l l S .

D a t e o f R e p o r t06/09/201 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 , , a t u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s cr ip t io n o f As s e ts In co m e d ur in g( in 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

(I) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I d i v . , r e n t ,( A - H ) o r i n t . )

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(J-P) C o d e 3

( Q - W )

O)Type (e.g.,buy, sell ,

r e d e mp t io n )

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

(2) (3) (4)D a t e V a l u e G a in

m m / d d / y y Code2 C o d e I(J-P) (A- H)

I d e n t it y o fbu ye r / s e l l e r( i f p r i v a t e


3.

4.

5.

6.

7.8.

9.1 0 .

T rus t - I /3 I n t e re s t - p ro pe r ty loc a te d inSte wa r t , FLAm er ican F u nd # I - 5 2 9 - age or r i sk b ased- no c on t ro lA me r i can Fund #2 - 529 - age o r r i sk based- no c on t ro lA me r i can Fund #3 - 529 - age o r r i sk based- no c on t ro lA me r i can Fund #4 - 529 - age o r r i sk based- no c on t ro lM o r g a n S t a n l e y S m i t h B a r n e y # 1 - C o m m o ns toc ks & op t ions :B a n k D e p o s i t P r o g r a m # B D P

B R e n tN o n eN o n eN o n eN o n e

M

A I n t e re s t K

W

TR e d e e m e d

T R e d e e m e d(part )

!09/21/10 K

09/21/10 K

B ax te r I n t l . I nc . - N o n e K Buy 05/I 0/I 0 JB r is to l My er s S q uib b Co. N o n e K Buy 02/03/10 JH C P I n c. N o n e K

II . K i m b e r l y C l a r k C o r p .1 2 . Metlife Inc.1 3 . Micros o f t C o rp .

1 4 . Pe p s ic o I nc.

1 5 . S yscolnc .

1 6 . W al- Mar t S tor es I nc .

N o n e JA D iv idend KA D i v i d e n d K

N o n e JN o n e J

N o n e K

TTT

TT

T

Buy 02/18/10 KBuy 02/03/10 K

1 7 . C V S C a r e m a r k C o r p . S t o ck N o n e Sol d : 04122110 K

I. In c o me G a i n C o d e s :(Se e C o l u mn s B I a n d D 4 )

2. V a l ue C o d e st S cc Co l umn s CI and D 3 )

3. Value Method Codes(Sc C o l u mn C 2 )

A =$1,090 or lessF-$50.001 -J -S 15,000 or lessN =$250.0OI - $500,000P3 =$25,000,0OI - $50.000.000Q =AppraisalU = B o o k V a l u e

B=$1.001 - $2.500G =$100,001 - $1.000.000K =$15,001 - $50,000O =$500,001 - $1,009.00~R = C o s t (R e a l Es t a t e O n l y)V - O t h e r

C =$2.501 - $5,000H I =$ 1.000,001 - $5.000.000L =$50.001 - $100,000PI = $1.000,001 - $5.000,000P4 =More than $50.000,000S = Asse ssme n tW = Es t i ma t e d

D = $5,001 - $15,000H2 -More than $5.~O0,000M $ 100,001 - $250,000P2 =$5,000,001 - $25.000.000T = C a sh M a rke t

E =$15.001- $50.0~O


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N a m e o f P e r s o n R e p o r t i n gG o l d b e r g . M i t c he l l S .

Da t e o f Re p o r t06/09/2011

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 ~pouse and dependen t children; seep p. 34-60 of filing instruction~)NONE (No reportable income, assets, or transactions.)

D e s c r i pt io n o f A s s e t s Income during( in c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d

0) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from pr ior disclosure C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

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(1) (2)

V a l ue V a lueC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

0)Type (e.g.,

buy , se l l ,r e d e m p t i o n )

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(2) (3) (4)

D a t e Value Gainm rr dd d/y y C o de 2 C o d e I

(J-P) (A-H)

(5 )I d e n t it y o fbuyer/seller( i f p r i v a t e


1 8 . M o r g a n S t a n l e y S m i t h B a r n e y C o r p o r a t eB o n d s :1 9 . Ge n e r a l E l e c t r i c Ca p Co r p . A I n t e r e s t B uy 02/03/10 K

20 . B er k sh i r e Ha th away F in. Cor p. B I n t e re s t21. P eps ico I nc . B I n t e re s t22 . M o r g a n S t a n l e y S m i t h B a r n e y G S E B o n d s :23 . F e d e r a l H o m e L o a n M o r t g a g e C o r p . A I n t e re s t24 . Morgan St an l ey Smi t h Barney Cer t i f i ca t esof D e pos i t :25 . Ally B ank - UT ( F or m er ly G MAC B an k ) #1 A I n t e re s t26 . Ally B ank - UT ( F or m er ly G MAC B ank ) #2 A I n t e re s t27 . Ally B ank - UT F or m er ly G MAC B an k ) #3 A I n te r es t28 . M o r g a n S t a n l e y S m i t h B a r n e y # 2 -Fi nanci a l : Managemen t A cct .29 . IShares TR S& P 500 Index Fd N o n e

K

K

KK

K

TT Buy( a d d l )

T Buy

02/18/10 K

04/07/10 K

T O p e n 04113/10 KT O p e n 04119/10 K

T O p e n 06/29/I 0 K

So ld 02/25/I 030 . P o w e r sha re s Q Q Q TR Se r I No n e

31. C a p i t a l I n c o m e B u il d e r F u n d N o n e32 . G r o w t h F un d o f A m e r i c a C l a s s A N o n e

S o l d

S o l d

02/25/1002/25/10

JJ

33 . E x x o n M o b i l C o r p N o n e3 4 . L M P S h o t - Te r m b o n d F u n d C l a s s C N o n e

JJ

TT

BuyBuy

02/25/10101/05/10

JJ

I . In c o me G a i n C o d e s : A =$1,00~ or I~ s B = $1.001 - $2,500 C = $2,501 - $5,000 D =S5,001 - SI5.000( s e e C o l u m n s B I a n d I M ) F =$50.001 - $100.000 G =$100.091 - $1,000.0~0 HI = $1.000.001 - $5.000.000 1t2 =More than $5.000.000

2. Value Codes J = $15,00~ o r le s s K -$15,001 - $50,000 L =$50,001 - $ 100,0~ 0 M =$ I 0~ .001 - $250.000( S ee Co l umns CI and D 3 ) N =$250.0~1 - $500,000 O -$50~.001 - $1,000,00O P I -$ 1, 0~ 0 ,0 01 - $ 5, 00 0, 09 0 P 2 =$ 5.0 00 .0 01 - $ 25 ,0 ~ .0 0~

P3 $25,000.001 - $50,000.000 p4 = More than $50.0~0,0003. V a lue Me tho d Co d c~ Q = Ap p ra isa l R :C o s t (R e a l Es t a t e O n l y} S = Asse ssme n t T = C a sh M a rke t

( S e e C o l un m C 2 ) U = B o o k V a l u e V - O t h e r W = Es t i ma t e d

E =$15,001 - $ 5 0 , 0 0 0


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N a m e o f P e r s o n R e p o r t in gGoldberg , , Mi t che l l S.

D a t e o f R e p o r t06/09/201 I

VII. INVESTM ENTS and TRUSTS - i.c .... v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s cr i p t io n o f As s e ts In co m e d ur i n g( i n c l ud i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d

O) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e I d i v . , r e n t .( A - H ) o r i n t . )

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 lue V a lueC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

Type (e.g.,buy , se l l ,



(2) (3) (4 )D a t e Value G a i n

m m l d d / y y C o d e 2 C o d e I( J - P ) (A-H)

Identi ty ofbuy er /se l le r

( i f p r i v a t et r a n s a c t i o n )

35 . W e l l s F a rg o # 1 - H a r f o rd A n n ui ty :

36 . A M R B l ue C h i p I n c o m e a n d G r o w t h N o n e T

37. A MR G loba l G row th None T3 8 . AIM M i d Ca p Co r e Eq u it y Fu n d None

39. F-T Smal l -Mid CapG rowth None40 . AM R G r ow th -ln co m e None

J

J

J

T

T

T

41 . N ew e ll R u bb e rm a i d ln c . N W L None Sold 08/02/10 J A

42 . Op p enhe im er Fu nd - Re tirem ent IRA No ne

4 3 . Si r iu s X M Ra d i o, In c . - St o ck None

44. Wel l s Fargo #2 - Har t fo rd Annui ty :

45 . AM R G r ow th -ln co m e None

J

J

TT

S old 03/I I/I0 J A46 . AMR Blue Chip Income and G rowth None

47 . F-T Smal l -MidCap G rowth None

4 8. A IM M i d Ca p Co r e E qu i ty Fu n d None

49. AM R G lo ba l G r ow th None

S o l d 03/11 /10 J A

Sold 03/11 /10 J A

Sold 03/11 /10 J A

Sold 03/I I /I0 J A

50 . A nnui t i es , Savings & C hecki ng A ccoun t s :51. I N G Annu i ty & Life I ns . ( Y )

I. In co m e Ga in C o d e s : A ~ $1,000 o r le ss B = $1,001 - $2,500 C -$2,501 - $5,000 D = $5.001 - $15,000(Se e C o l u mn s B I a n d 1 9 4 ) F =$50.001 - $100.00~ G = $100.001 - $1.0~ .099 H I $1.009,001 - $5.0~0.000 H2 =Mo~. than

2. Value Codes J =$15,0~0 or less K =$15.001 - $50.000 L =$50,001 - $100.000 M =$100,001 - $250,0~0( S e e C o l um n s C I a n d D 3 ) N =$250.001 - $50~.000 O =$500.001 - $1.009.0~0 PI $1.00~.001 - $5.000,000 P2 = $5,000,001 - $25.000,000

P3 :$25.00~.001 - $50.000.009 P4 =More than $50,000.0003. Value Method Codes Q ~ A ppra i s a l R C o s t ( R e a l E s t a te O n l y ) S =Asscssnlent T = C a sh M a rke t( s e e C o l u m n C 2 ) U = B o o k V a l u e V = O t he r W = Es t i ma t e d

E =$15.001- $50,000


16/18


N a m e o f P e r s o n R e p o r t in gGo ldberg , , Mitche l l S .

Date of R e p o r t06/09/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, v a lue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~ (No reportable incom e, assets, or transactions.)ONE

A. B. C.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 r o s s v a l u e a t e n d

( in clud in g t rus t a s s e t s ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d(J) (2) (i )

Place "(X)" after each asset A m o u n t Type (e.g., V a lue V a l ueexempt from prior disclosure C o d e I d i v . , r e n t , C o d e 2 M e t h o d

(A- H) o r i n t . ) (J-P) C o d e 3

(0T y p e (e .g. ,buy,

r e d e mp t io n )


(2) (3) (4)D a t e Value Gain

m m / d d Y y y C o d e 2 C o d e I(J-P) (A-H)

(s )Identi ty ofbuyer/seller(i f private

transact ion)

5 2. I NG Di re c t S av i ng s A cc o u nt A I n t e r e s t J T53 . T D B a n k C h e c k in g A c co un t N o n e J T

I . In co me G a i n C o d e s : A =$ 1 . 0 0 0 o r In s B = $1.001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(Se e C o l u mn s B I a n d D 4 ) F =$50.001 - $100,000 G = $100.001 - $1,000.000 H I ~ $1,000 ,001 - $5.000,000 H2 =More than $5.000,000

2. V a lue C o d c~ J -$15.000 o r le s s K =$15,001 - $50.000 L = $50.001 - $100.000 M -$100.001 - $250,000(Se e C o l u mn s C I a n d D 3 ) N ~$250.001 - $500.000 O = $50 0.0 01 - $1,0 00 .0 00 P I =$1.0 00 ,0 01 - $5.0 00 ,0 00 P2 =$5.000.001 - $25.000.000

P3 $ 25.000.001-$50.000.000 P4 =More than $50,000.0003. Value Method Codes Q =Appraisal R = C o s t (R e a l Es t a t e O n l y) S =As ~ s s mcn t T = C a sh M a rke t(See Col um n C2 ) U = B o o k V a l u e V = O l hcr W = Es t i ma t e d

E =$15,001 - $50,000


17/18


N a m e o f P e r so n R e p o r t i n gGold berg , , ,Mitchel l S.

D a t e o f R e p o r t06/09/201 I

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)


18/18


Na me o f Pe rs on R e por t ingGoldberg , , Mi tche l l S .

D a t e o f R e p o r t06/09/201 I

IX . CERTIFICATION.I c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c ur a t e , t ru e , a n d c o m p l e t e t o t h e be 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 t h he l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r th e r ce r t i f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a cc e p t a n c e o f g i f t s w h i ch ha v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t he p r o v i s io n s o f 5 U . S .C . a p p . 5 0 1 e t . s e q . , 5 U . S. C . 7 3 5 3 , a n d J u d i c ia l C o n f e r e n c e r e g u l a ti o n s .

Signatur e : S /M itche l l S. G o ldberg ,

N O T E : AN Y I N D I V I D U A L W H O K N O W I N GL Y A N D W I L F U L L Y F A L S IF I E S O R F A IL 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 CR IMIN A L SAN CTION S (5 U . S.C. app . 104)

C o m m i t te e o n F i n a n c ia l D i s c lo s u reA d m i n i s t r a t iv 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 sSuite 2-301O n e C o l u m b u s C i r c le , N .E .W a s h i n g t o n , D . C . 2 0 5 44

Mitchell S Goldberg Financial Disclosure Report for 2010

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