POSITION N,:\ME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

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Report Required by the Ethics AOIO FINANCIAL DISCLOSURE REPORT

in Govemmem Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C app. §§ 101-111)

I. Person Reporting (last name. first. middle initial)

Martini, William J.

2. Court or Organization

District Court - New Jersey

3. Date or Report

05/14/2010

4. Title (Article TH judges indi<..-.tte active or senior status; magistrate judges indicate full- or part-time)

U.S. District Judge - Active

Sa. Report Type (check appropriate type)

0 Nomination, Date

0 Initial 0 Annual

Sb. D Amended Report

D Final

6. Reporting Period

01/01/2009 to

12/3112009

7. Chambers or Office Address

50 Walnut Street PO Box419 Newark, NJ 07101-0419

8. On the ba"is of the information contained in this Rep@rt and any modifications pertaining thereto: it js: in m · opinion. in compliance "·ith applicable laws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: The i11structions accompa11yi11g this form must be followed. Complete all parts. checking the NONE box for each part where you have no reporu1ble information. Sign on last page.

J, POSJTI 0 NS. (Reporling inJi1•iJual only; see pp. 9-13 of filing ir1structions.)

D NONE (No reportable positions.)

J. Trustee Nicholas Martini Foundation

2. Trustee John Cabot University

3.

4.

5.

II. AGREEMENTS, (Reporting indfridual only; see pp. 1-1-16 of filing in.<lmclion.<.)

NONE (No reportable agreements.)

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1.

2.

3.

SOURCE AND TYPE INCOME

-------------- -·---·--···--------

SOURCE

--- ---·---------------------------------------

SOURCE LOCATION ITEMS

-------· ----------------------------

Dote of Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT

05/14/2010Martini, William J. Page 2of9

III. N 0 N-INVESTMENT JN CO ME. (Reporting individual and spou.<e; see pp. 17·24 of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reporiable non-investment income.)

l. 2009 NICHOLAS MARTINI FUNDATION, TRUSTEE

(yours, not spouse's)

2.

3.

4.

B. Spouse's Non-Investment Income ·If you were married duritrg ally portion of the reporting year, complete tlris section.

(Vol/or amount 1101 required except .for houoraritt.)

[{] NONE (No reportable non-investment income.)

AND TYPE

L

2.

3.

4.

JV. REIMBURSEMENTS lron.<parlation, lvdging,food, e11tertaimne111. ··

(lucludes 1hose 10 spouse und d1•ptmd1!111 childrtm: see pp. 25-27 offilin}Z in.wruction .}

[{] NONE (No reportable reimbursements.)

PURPOSE PAID OR PROVIDED

I.

2.

3.

4.

5.

SOURCE DESCRlPTION

CREDITOR DESCRIPTION VALUE

IZJ NONE (No reportable liabilities.)

].

2.

3.

4.

Nume of Person Reporting nate of Report FINANCIAL DISCLOSURE REPORT

Page 3of9 Martini, William.}. 05/14/2010

V. G IFI'S. (Includes those to spouse and depe·ndent c1'ildren; see pp. 28-31 of filing insrructitms.)

[ZJ NONE (No reportable gifts.)

VALUE

I.

2.

3.

4.

5.

VJ. LIA BJLJTJES. (Includes those of spouse and dependent children; see pp. 31-33 of filing in.,tructions.)

CODE

5.

D.

)

t

sell,

redemption)

-,-Ty·; 1:e.g:

)

i-- !;c :;�

11. 12. I

i3" 14.

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Dote of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 4 of 9 05/14/2010Martini, William J.

VII. INVESTMENTS and TRUSTS .. income. ""'"'·transactions anc1udes those of spouu and dependent children; ...pp. 34-60 of filing illsrruc1io11s.J

0 NONE (No reportable income, assets, or transactions.) - ... ··-------T-····--·-·---·· · ·-· ··-;A. B. c.•• I

Description of Assets ! Jncome during Gross value at rnd Transaction during reporling period

(including trust assets) repor ing period I of reporting period I (5)

Place '1(X " after each asset ; A;; : -Typ i::.g.,1--;- -, c - i-�� e

. - -:��- Identity of

Code 1 div, rent, Code 2 l\.·lethod buy, mmldd/yy 1 Code 2 l Code I buyer/seller

: 1.A·H) or mt) (J-P) 1 Code 3 (J-P) ' (A-H) (if private

trJnsaction)

exempt from prior discJosure

L_ ·- -·· __;_ -- - (Q-W) l_···--·-·-··--···-- ...

BROKERAGE ACCOUNT#2

FEDERATED KAUFMANN FUND-K

BROKERAGE ACCOUNT#6(3432)

ISHARES TR RUSSELL 2000 GROWTH (648) ISHARES TR RUSSELL 2000 VALUE (630)

6. !SHARES TR RUSSELL 1000 VALUE

l 7. !SHARES TR RUSSELL 1000 GROWTH

8. !SHARES TR MSC! EAFE FD

! 9 .

POWERSHS EXCH TRAD FD TR (PRFZ) (567)

10. POWERSHS EXCH TRADE FD TR (PRF) (583)

11. PIMCO ALL ASSET (182)

: 12. Charles Schwab • CASH and Money Markel

13. VALLEY NATIONAL BANK

14.

; 15.

: 16.

; 17.

A

A

A

A

A

B

A

A

B

A

A

Dividend K

Dividend

Dividend

Dividend

Dividend

Dividend L

Dividend K

Dividend L

Dividend K

lnt.!Div. J

Interest J

T

Sold

Sold

Sold

Sold

T Buy (add'l)

T Buv (add'I)

T Buy (add'!)

T Buy

T

T Buy(add'I) Buv

(add'I)

Buy (add'!)

Buy (add'l)

Buy(add'!)

12/02/09 K c

12/02/09 K c

12/02/09 L

12/02/09 K

12/02!09 K

12/02/09 K

12/02/09 K

12/03/0'1 K

04/07/0'1 J

06/16109 J

09/01/09 J

10/22/09 J

12!15/09 J

I

L lneorilc Gain C'odc..-s: ,\ =.5 I.HOO or It::-. (Sec Columns BJ and [)4) F =S5UJMll • $ ltlO.IXX>

2. Value Code!= J -::S 15.0CX> or less (See Columns Cl and D'.\) N =5250.IXll • $5011,0IXl

l'.> =$25.UUOJXIJ - S51l.OOO.IXKJ 3. Voiluc Method Code () App1:.iisal

{See Column C2) V =Houk Value

U.::Sl,(IOI - $2,500 G =S 100.lHJl - SJ,000.IJOOK =i 15.(KJJ - 550,0011 () =551)0.'101 - $1,000.0<Wl

R =Ct)st (Real Estall! Only) V =Other

C =S.2.501 - .55.000 Ill =Sl,000.lXll • S5.IHJ0,000L =S50,00l - S JOU,fXlO Pl =-!El.O< l.llOJ • 55.000.000 1'4 =More than SSU,000.000 S =Asst:s:;mentW =F -.1ima1ed

D =S5.00l - :S.15,UOO E-::$15,(J01-S50.000 H2 =Mon: than $5,000.000 M =Slllil.Olll • S:!.50,iliMlP2 =S5,000/)l.ll - $25.000.000

T =C-llsh Market

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r1_e)poni e(r-:o)d I______ , T

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FINANCIAL DISCLOSURE REPORT Page 5of9

Name of Person Reporting

Martini, William J.

Date of Re!Xlrt

05/14/2010

VII. INVESTMENTS and TRUSTS .. income, »alue, 1ransac1ions (Includes those of spouse and dependent children; see pp. -14-60 of filinc instructions.)

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

-- -- ---------------------- ------------ ----A.

Def'cription of Assets

(including trust assets)

B. c.

Income during Gross value at end ;

D.

Transactions during reporting period

I reporting period _ _of(___ ____ (!'_I;·w-r---- (2) (3) ____ (4) ____ 1 __ ------(5) _____ _ \ Date Value Gain 1Place "(X)" after each a5set

exempt from prior disclosure

IA ount . Type (e.g .. i Cude 1 i div., rent!

(A·H) [ or int.)

Value

Code 2

(J-P)

.. -· --··--------··-----......_____ .._______ . ' ·-···-···--'·-- -------- ----------

18. VARIABLE LIFE #l I . 19. EQUITABLE - SEP

20. IRJ\#3(3836)

121. Charles Schwab - ADV CASI! RESRV PREM

: 22. DUKE ENERGY 6.3% 2/J/14

23. GOLDMAN SACHS 4.75% 7/15/13

24. BANK OF AMER 7.4% 1/15/ll

i 25. US TREASURY NOTE 5.125% 5/15/16

I \ 26. FED HM LN MTG 5.375%1/9/14

27. AT & T BROADBAND 8.375% 3/15/13

i 28. CISCO SYSTEMS 5.25% 02/22/'l 1

29. APACHE CORP 5.625% 1/15117

: 30. INTL LEASE FINANCE 5% 4/15/JU

3J.

32. US TREAS NT 4.25% 8/15/14

33. MORGAN STANLEY 4.75% 04/01/14

34. SBC COMMUNICATIONS 4.125%

I. Income Uain Clldc.:s: 1\ .::SJ.llOOor kss

F=S50,00I • St00,000

J =SJS,000 m k.-ss

(Sc.I.'. Col mnos BI anJ 1)4 I

2. Value CoOei:.

(Ste C.:olumm CJ <iml 0.l)

.1 \.';thit· ]...·ktho<l Co<li:::.

(Sec Column C2)

N =S250,001 • S51Ki,O!KI

P3 =li.2..\000,CM) I -

S50.000.00ll

0 =Appraisal

U =Book V;iJm;

A

A

A

A

A

A

c

A

B

B

A

A

None K

None K

lnt./Div. K

I nterest K

Interest K

Interest K

Interest K

Interest

lnt./Div. K

Interest J

Interest K

lnl./Div.

None K

lnt./Div. K

lnt./Div.

fl =S 1.001 • 52... °'00

G :;:$11KJ.OUI - $1,000.000

K =SJ5.lMlt - S50.l XJ

0 =So<Xl,lll]I - Si.000,000

R =Cost (Rc;il E:;1:i1e Only)

V -(Hhe1

Value Type (e.g ..

Method buy. sell, jmm/dd/yy : Cod 2 Code 1

Identity of

buyer/seller

Code 3 redempiion) (if private

(Q-W) I I (J-P) (A-1-1) '

__ ----···· ·-··---· ··· . . ......_L ____ -· ________! T

T

T

T Buy

Buy

T Buy

T

Redeemed

T

T

T

Sold (part)

Sold

T Buy

T

Redeemed

C =S2.501 - S5JJOO

Hl =Sl.000.001 - S5.{t00.000

L =$50,001 - $100.0CK<

Pl =Sl.000,iHll . 55.000.(){ I

P4 =M11rc- th;m S50.000.00(1

S =A<>sessmr.:n!

W =fatimatc:d

02/02/09 K

02/06/09

05/07/09 K

01/09/09 K

10/22109 K

12129/09 K

10/23/09 K

09!15109 J A

D =S5JJOI - S 15.000

H2 =More 1han SS,000,000

M =$100.fJf>J - $250,000

1'2 =S5.f100J)Ol - $25.000.(l(Kl

·1 =Cash fark<:-1

E.=Sl.5.001-S50,0f)(t

A.

(2) (2) l (3) (5)

-----

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FINANCIAL DISCLOSURE REPORT Page 6of9

Name of Person Reporting

Martini, William J.

Date of Report

05/14/2010

VII. INVESTMENTS and TRUSTS .. income, .. a1ue, 1ransac11,,,,., (1,,c1udes tilose of spouse and dependent c1ti/dren; sec pp. 34-60 of fili11c 1ns1rue1io11s.>

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

r ..

Description of Assets (induding trust a..;;scts)

Income <luring reporting period

Gross value at end of reporting period

D. Transactions. during reporting period

(I) (2) Type (e.g., div.i rent,

or int.)

(l) (1) Type (e.g.,

buy, sell, redemption)

--T--(4)

Place "(X)" after each asset exempt from prior disclosure

L..... i 35.

36.

i 37.

38.

1 39.

40 . !. 41.

42.

43.

1 44.

45.

46.

47.

48.

49.

50.

51.

JPMORGAN CHASE 3.7% 1/20115

AMERICAN EXP CR 7.3% 8/20/13

BB AND T 3.85% 7/27112

TIME WARNER 5.875% DUE 11115!16

TIME WARNER 6.2% DUE 7/1/13

WACHOVIA CORP 5.75% 6/15/17

FHLMC G0-8200 6% 511/37

FHLMC Gl-2228 5.5% 7il/21

FNMA PL#254048 6.5% 11/01116

FNMA PL938721 5.5% DUE 05/01/22

fRA#6 (4367)

CHARLES SCHWAB-SCH ADV CASH RES.RV PREM

LOOMIS SAYLES BOND CL 1

PIMCO REAL RE11JRN FlJND

INSTITUTIONAL CLASS

TEMPLETON GLOBAL BOND FUND

ADV CL:TGBA.X ...... -·-

1. lm:llme Gain Cndcs: A =SI ,000 or ks. (See Columns BI antl D4 J

2. Villue Codes (See Column Cl and DJ)

F =$50,001 llM),( XI

J =S 15.000 or lt's5 I' =S!S0,(1(11 - SSllll.t>Kl

Amounl i Code l 1 (A-H)

A

A

B

B

B

A

B

J\

D

B

c

J. Value Mcth(Jd Codes (S::c Column C2J

1'3 =$25.0UO.!Xl!. S51l.(llNJ.000 () """rrralo;.;iJ I) =H ·nk Va]u(·

Value

Code 2 (J.P)

None J

None K

None J

Interest K

Interest J

lnt./Div. K

lnt.iDiv. K

lnl./Div. K

Interest J

Interest K

Interest J

Dividend M

Dividend

Dividend L

ll =S l.IXH - S2.500 G-=SJOO.OOJ · $L000,000 K =SIS,IKll • :150.0fJO o =s;oo.0111 - J.000.000

R =Cos1 (Real E,<.1111..: Only} V =Other

Value Method Code 3 (Q-W)

T Buy

Buy

T Buy

T Buy

T

T

T

T

T

T

T

T Buv (add'l)

Distributed (pan)

T Sold (part)

Sold

T Sold (part)

C =Sc.50l -55.000 Hi =S 1.000.001 - $5.ooo.mo l. =o>tl,IHJJ -$100.000 Pl =:S 1.000.tKJl - S5,(HKJ.000 N ::::Morl: 1ht1n S5f).OOO,OOO S =Assessm1:nl W =fa.tima1cJ

Date Value GainI

m.m/dd/yy t Code 2 Code I (J-P) (A-H)

___ _ _ _ _ L______

09il5/09 I

09/16/09 J

09/24/09 K

09/24/09 J

---· · -

12/02/09 L

1 2/03/09 M

12/02109 K

12/02/09 L A

12/02/09 K A

D =S.:i,OOJ - Sl..5.000 112 =More than S:'l.fllKJ.tX>O !\1 =SJOU.OOI • $250.000 P2 =$5.(XKl.OOI - Sl"i.000,000

T ..::Cash Markci

Identity of

buyer/seller (if private

lr.anfiaction)

E = 15.fJ()J - SO,tKHJ

···I

I

152.

!

: i

.

I

I

!

I r·

··(i>-------(-2)----+-- (1) (2)

---------

(2)

l_._I

! I

i

··-�-------·--

(J-P)

Type (e.g .. buy. sell,

Date or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 7 of9 05/14/2010Martini, William J.

VII. INVESTMENTS and TRUSTS -- income, miue, rransactwns (Includes 1hv.e •if spouse anc1 dependent children: ... pp. 34-60 of Ji11trg instructions.>

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

D.A. B. c. ,Dc criplion of Assets '. Income during Gross value at end Transa<:liom; during reporting period

(including trus1 ::is cts) repo11ing period of reporting period

·1(1) (3) (4) (5) ! Date Value Gaini Ide1itity ofAmount Type (e.g., Value ValuePlace '"(X)" after each asset

f. buyeri.sellerCode 1 di\',, rent, Code 2 Method Code 2 lmm/dd/y) 'Code 1 exempt from prior disclosure ; (A-H) fredemption) (A-H) (if privateor int.) (J-P)0>de3 , i

(0-W) trans;lction) I··-------·· . . !

53 .

54.

: 55.

56.

57. i ! 58.

59.

60. i

161.

62.

63.

64.

65.

66.

67.

68.

IRA#7 (2679)

SCHWAB M01'<1W MARKET FUND

PIMCO COMMODITY REAL RETURN STRATEGY FUND

DIAMOND HILL LONG SHORT FUND

KEELY SMALL CAP VALUE FUND CL I

THIRD AVE REAL ESTATE VALUE FUND

JP MORGAN STRAT INCM

RYDEX S(il MGD FUTURES

TFS MARKET NEUTRAL FUND

CHARLES SCHWAB- C:ASH(295 l)

"·-··

A

B

A

A

A

A

A

A

.. --···

Interest

lnt./Div.

Distribution

None

None

lnt./Div.

Dividend

Distribution

None

Distribution

Interest

J T

K T

K T

K T

L T

K T

K T

J T

Buy (add'I)

Sold(part)

Sold

Sold(part)

Buy

Buy

Buy

Distributed(part)

Distributed (parlj

Distributed (part)

Distributed (part)

Distributed (part)

12/03/09

12/03/09

12/02/09

12/U210lJ

12/02/09

12/ll2/09

12/02/0'l

04/07/09

06/16/09

09f()J.i09

10/22/09

12/15/09

M

M

K

J

L

K

K

J

J

J

J

J

1. Income Gain Col.IC":.: (S e Column:- Bl and ()4)

2. Value Code:-tSce Columns CJ ani.t IH_)

3. Vahu· Mc.th<'d Cu.;h::. (See (\llumn C2)

/\=-Scl.OOOm kss F ·S50,IMIJ - $ llXJ,()( l J -..S.l_'.),Of)Oor lt::.s N =S25tl,(1lll • S500.lt00 PJ =525,000.fX!l - S50,000.000 O=Apprnisal l'. =Bi>ok Value

D 41.001 . s2,;oo Ci =$100,0IJI - Sl.000,0UO K =-Sl.5.00J • S:'i0,000 o 1s1x1.1w11 - $Lrnxi,1rn

R =Cost (Rl!al hc;rntc Only} V =Other

C ,.,.S:?.501 - SS,000 Ill •Sl,IXlll.00! - S5.1Xl0.0l J L sso.001 - s100.ooo Pl =$ t ,tM!OJJOI - $5.rn ),(){lj P4 =More than $50,00(tOOO S :.L\SSt!SSllll:!IC W'='Cs.limatt:ll

D =55,001 - S15.000 L =Sl5.00I -S50,{K>O H2 =�fore 1ban 55.000JlOil M :S HIO.OOJ - S2SO.OOO P2 =$ .000.001 • S25,000.0CJO

T =-C.:1:-;h Mark ti

Name of Person Reporting Date or Rep<rt FINANCIAL DISCLOSURE REPORT

Page 8 of9 Martini, William J. 05114/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (l11dic4iepartofRep()rt.)

Name of Person Reporting Date or Report FINANClt\L DISCLOSURE REPORT

Page 9 of 9 Martini, William J. 05/14/2010

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse ·and minor or dependent children. if anyl 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-disclosnre.

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 Confe rence regulations.

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

Signatu

...

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 Columbus Circle, N .E. Washington, D.C. 20544