kosik, edwin - judicial watch€¦ · the basis ofthe inormation contained in this report and any...
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Report Required by the EthicsFINANCIAL DISCLOSURE REPORT •!O IO in Governmenr Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ 101-111)
I. PerliOD Reporting (last name, first, middle initial)
Kosik, Edwin M.
2. Court or Organization
U.S. District Cowt/M.D. Pa.
Sa. Report Type (check appropriate type)
D Nomination Date
D Initial Annual
Sb. Amended Report
D Final
3. Date of Report
05/0512010
6. Reporting Period
01/01/2009
to
12/3112009
4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate ful I- or part-time)
Senior U.S. District Judge
7. Chambers or Office Address
William J. Nealon Federal Bldg. & U.S. Courthouse North Washington and Linden Streets P.O. Box 856 Scranton. PA 1850 I
8. On the basis ofthe information contained In this Report and any modifications pertaining thereto, it is, in my opinion1 in compliance with applicable laws and regulations.
Re>iewing Officer Date
IMPORTANT NOTES: The instructw11s accompanying this form must be followed. Complete all parts, checking the NONE bo:xfor each part where you have 110 reportable i11formation. Sig11 on last page.
I. POSITIONS. (Reporting indMdual only; see pp. 9-13 of filing ins/ructions.)
[ZJ NONE (No reportable positions.)
POSITION NAME OF
2.
3.
4.
5.
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)
D NONE (No reportable agreements.)
I. 7/l6/1986
··7
<fl 2.
3.
Kosik, Edwin M.
SOURCE AND IYPE
DATES
INCOME
ITEMS PAID OR PROVIDED
, FINArNCIAL DISCLOSURE REPORT
Page 2of9
Name of Penon Reporting
Kosik, Edwin M.
III. N 0 N-INVEST MENT IN co ME. (Reporting im!Mdtcal and spouse; see pp. 17-24 of filing instructions.)
A. Filer's Non-Investment Income
D NONE (11/o reportable non-investment income.)
I. 01-12/09 Commonwealth of Pennsylvania Retirement
Date of Report
05/05/2010
(yours, not spouse's)
$53,300.00
2.
3.
4.
B. Spouse's N on-lnvestm ent Income - Ifyou were married during any porti011 of the reporting year, complete this section.
(Dollar amoun1 not required except fOr honoraria.j
[{] NONE (No reportable non-investment income.)
SOURCE AND TYPE
l.
2.
3.
4.
IV. REIMBURSEMENTS -transportation, lodging,food, entertainmenL
(Includes those to spouse and dependent children; see pp. 25-2 7 of filing instructions.)
[{] NONE (No reportable reimbursements.)
SOURCE LOCATION
I.
PURPOSE
2.
3.
4.
5.
SOURCE DESCRIPTION
CREDITOR DESCRIPTION VALUE CODE
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 3 of9 Kosik, Edwin M. 05/0512010
V, GIFTS. (Includes those to spouse and dependent children; seepp. 18-31 of filing instructions.)
[ZJ NONE (No reportable gifts.)
VALUE
l.
2.
3.
4.
5.
VI. LIABILITIES. (Includes those of>pouse and dependent children; see pp. 32-33 of filing instructions.)
[ZJ NONE (No reportable liabilities.)
I.
2.
3.
4.
5.
of filing
div Method Code
! . :rst : :lrung (Q· W)
Premiurr I i
I I
_i __
t
l
I
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 4 of9 Kosik, Edwin M. 05/05/2010
A. D.c.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure i Code I , rent, Code 2 p:��:-.: (I)
Type (e.g., buy, sell,
(2) --,--(3)--!-(4) ! -Date I Value Gain . 1mmldd/yy i Code 2 i Code I
(5) Identi y of
buyer/seller (A-H) or mt) (J-P) 3 redemption) I (J-P) (A-H) (if private
_l_ --- -
transaction)
VII. INVESTMENTS and TRUSTS - income, l'Olue, transtU:tions (lnc/uJ/e.< those ofspouse and dependent children; see PP• 54-60 instructions.)
D NONE (No reportable income, assets, or transactions.)
\I. Pennstar Bank, Carbondale, PA (Savings)
2. Penn Security Bank, Moscow, PA (Savings)
B
A
interest
Interest
L
K
T
T
! 3. Mutual of New York (1987) Single Policy
4. First Credit Union, Scranton, PA (Savings)
B
B
Dividend
Interest
K
M
T
T
5. PNC Bank, Scranton. PA (Checking) A Interest 1 T
6. Pennstar Bank, Carbondale. PA (Cert. Dep.) B
A
Interest
Dividend
L
J
T
T7. PNC. Pittsburgh, f>A
I 8. Prudential Equity Fund, Class B
9. Prudential World Fund, Global Series B
IO. Cisco Systems. Inc.
A
A
Dividend
Dividend
None
J
J
K
T
T
T
11. Coca Cola Co. Delaware A Dividend K T
12. General Electric Co. A Dividend J T Buy 3i25/09 K
13. Hershey Foods Corp.
14. Intel Corp.
15. Lucent Technologies, Inc.
A
A
Dividend
Dividend
None
K
J
T
T
Sold 3125109 K D
16. Merck&Co. A Dividend K T
17. MicrosoftCorp. Washington None L T
I. income Gain Codes: A =$1,000 or less B -$1,001 • $2,500 C =$2,SOI • SS,000 D =$5,001 - Sl5,000 E =$15,001 -$50,000 (Sec c,,1umns Bl Md 04} F =$50,001 - $100,000 G -$100,001 -$1,000,000 HI =$1,000,001. $5,000,000 H2 =More Lhan $5,000,000
2. Value Codes J =$15,000 or less K=$15,001-$50,0DO L =$50,001. SI00,000 M =$100,001 -$250,000 (See Columns Cl and 03) N =$250,00 I • $500.000 0 =$500.001 -$1,000,000 Pl =$1,000.001 -$5,000,000 P2 =$5,000,00! • $25.000,000
P3 =·$25,000,00 I - S50,000,000 P4 =More than $50,000,000 3. Value Method Codos Q=Apprnisal R =Cost (Real Estate Only) S =Asses:i.111ent T =Cash M>trket
(Sec Column C2) U =Book Value V -Other W =Estimated
(I) l{i) --, -·-·m · ·-r- (2J (3)1' (4-) -1· !
_<_o_-w l
I
I
'
I
;
I I
> ( ) .. . (Zl--reporting period
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 5 of9 Kosik, Edwin M. 05/0512010
VII. INVESTMENTS and TRUSTS - income. vaf11e, transactions (Includes those of spollSe and dependent children; see PP· 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.) D --c.-·· -- ----- ---A. B. D.
Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
. of reporting period
(5)Value Value Type(e.g., Date .1 Value Gain ! Identity of· '!Arnount Type (e.g ..
I MethodCode 2 Code 2 Code ICode I div., rent, buy, sell, rnmldd/yy · buyer/sellerIredemption) (ifprivate transaction)
---·. .. __J___ ___.. ___ _L_ _l _ _j _ _J....
(A-H) Code 3 (J-P) (A-H)i •or int.) (J-P)
18. Pepsico, lnc. A Dividend K T
119. Praxair, Inc. A D ividend K T
20. Schering Plough Corp.
21. Tricon Global Restaurants, Inc. I
22. Union Carbide Corp.
23. Prudential World Fund, Inc. Global Series
I Class A
24. Command Money Fund
25. Prudential Special Money Market Fund Inc .
26. Alliance Quasar fund Class B
27. Target, Large Cap fund
28. Southern Union Co.
29. PA Intergovernmental Corpomtion
30. Strategic Partners New ERA Growth Fund, Class B
31. Philadelphia General Obligation
32. Prudential Financial Inc.
! 33. Wachovia Corp.
34. N BT Bank Corp.
A
A
c
A
A
A
B
B
A
Dividend K
None J
Dividend K
None K
Interest L
Interest J
None K
None K
Dividend M
Interest
None J
Interest K
None J
Dividend K
Dividend K
T
T
T
T
T
T
T
T
T
Sold
T
T
T
T
T
6115109 J
!;
I
I. Income Grun Codes: A =$ 1.000 or less B =$1,00 I • $2.500 C =$2.511I - $5,000 0=$5,001-$15,000 E =$15,001 -$50,000 (Sec C-0\umns Bl and D4) F -sso.001 - s100,ooo G =S I00,00 I - S l .000,000 HI =Sl,000,001 -$5,000,000 H2 =More th'1Jl SS,000,000
2. V:aluc Codes J =$15,000 orlc5' K =$15,001 -$50,000 L =S50.001 - s100,ooo M =-.$ !00,00 I - $250,000
(Soc Cohunn• CI and 03) N =S250,00I - $500,000 0 500,00 I - $1,000,000 Pl =$1,000,001. $5,000,000 P2 =$5,000,001 • $25,000,000
P3 =$25,000,00 I • S50.000,000 P4 =More than $50,000,000
3. Value Mctllod Codes Q=Apprai.<al R =Cost (Real Esll1tc Only) S =Assessment
(See Column C2) U =Book Value V=Othcr W=Estimatcd
G(2) ·-,-(!)
!
I
I I
FINANCIAL DISCLOSURE REPORT Page 6 of9
Name of Person Reporting
Kosik, Edl'lin M.
Date of Report
05/05/2010
VIL INVESTMENTS and TR US TS - income, vatue, transactions <Tndudes those of spouse and dependent children; seePP· 34-60 ofJUing instructions.)
D NONE (No reportable income, assets, or transactions.) A. ,---
B. c. ··--;--0.
Description of Assets (including trust assets)
Income during
reporting period
Gross value at end
of reporting period Transactions during reporting period
,--m· (2)
Type (e.g., div.J rent.
or int.)
(I) --. '(2) (3) (4)
35.
36.
37.
38.
Place "(X)" after each asset
exempt from prior disclosure
M&T Bank Corp.
Alger Midcap Growth Fund
Alliance Bernstein Growth Fund
BadgerTOB Asset Scrutinization
i 39. !DEX Mutual Fund
40. Pimco Small Cap Fund
141. Strategic Partners Large Cap
42. Lord Abbett Midcap
43. YUM Brands
44. Cohen & Steers REIT Utility Fund
45. John Hancock Tax-Adv Dividend Fund
46. Ta ldex Asset Allocation (!MOX)
47. Evergreen International (EB!)
48. NFJ Dividend Interest Premium Strategy Fund
49. Allianz NFJ Small Cap
50. Colgate Palmolive
51. Seligman Target Fund
I. Income Gain Codes: A =$1,000 or less
(Seo Columns BI und 04)
2. Value Codes
(Sec Columns Cl and 03)
F =$50,00 I - SI 00,000
J =SJ 5,000 or loss
N =$250,001 - $500,000
.1.Amount Code I
. (A-H)
I_
c
A
c
c
A
A
A
B
B
c
A
B
A
3. Vuluc Method Codes (Sc<: Column C2)
P3 =s2s,ooo.001 • sso,000.000
Q =Appraisal U =Book Vafue
Dividend
None
Dividend
!nterest
Dividend
Dividend
None
Dividend
Dividend
Tnterest
Dividend
Dividend
Interest
[nterest
None
Dividend
None
Value Value I Type (e.g.. Date Value Gain Code 2 Method buy, sell, 'Imm/dd/yy Code 2 i Code I
(J-P) Code 3 ; redemption) (J-P) ' (A·H)
-'----Q-W)
- __j_ -- - _I__ _
L T
K T
K T
L T
L T
J T
K T
J T
J T
K T
K T
K T
L T
K T
K T
J T
L T
B =$1,001 • $2,500 C=$2,501 • SS.000 D =$5,00J - SIS,000
G =$100,001 • $1,000,000
K=$15,001-$50,000
0 =$500,001 -$1,000,000
R =Cost (Real Esta!c Only)
V =Other
HI =$1,000,001 -$5,000.000
L =$50,001 - S!00,000
Pl =$1,000,001 • $5,000.000
P4 =Moro than $50,000,000
S =Assessment
W =Estimated
H2 =More lhan SS,000,000
M=$l00,001- 250,000
P2 =SS.000,00 I • $25,000,000
T =Cash Mari<ct
(5) Identity of
buyer/seller (if private
transaction) [ __, ·--·-
E=$15,00l -S50,000
II
___ __ _ __ _______
! I
I
!
A K
T
T K
i (1J_[. c2>· -- ·-c1)-1 (i)T--rn-' a>-'(3)-1(4)1
Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT Page 7 of9 Kosik, Edwin M. 05/05/2010
VII. INVESTMENTS and TRUSTS - income, va1ue, 1ransact1ons <1ncfodes those of.'JJouse and dependent children; see PP· J4-6o of filing instructions.)
0 NONE (,Vo reportable income, assets, or transactions.)
A. C. D. Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets)
Plare "(X)" after each asset exempt from prior disclosure
of reporting period i
i Value Value I Type (e.g., I Date Value I Gain Code 2 Method buy, sell, I mm/dd/yy Code 2 Code I
. , (J-P) Code 3 1 redemption) (J-P) I {A-H) I
(Q-W) I ' J__ l
I I
reporting period
Amount Type (e.g., Code I div., renr, {A-H) or int.)
·'---··
I
(5.) Identity of
buyer/seller (if private
transaction)__; _______ L_ __;_
I I:!
,-· -·-·
s2. Medco Health Solutions
53. Goldman Sachs TR High Yield Municipal B
None
Interest
J
K
T
54. Eaton Vance Insured Municipal Bond Fund
55. Pfizer Inc.
c Dividend
Dividend
K T
·Buy 03/25/09
56.
57.
I. Income Gain Codes: [Sec Colunm' Bl ond 04)
Z. Value Codes (Sec Columns Cl and 03)
J. Vllluc Method Codes (Sc Colunm C2)
A =$1,000 or less F =$50.001 - $100,000
J =$15,000 or less N =$250,001 -$500,000
Pl =$25,000,00 I - $50,000,000
Q=Appraisal
U =Book Value
B =$1.001 -$2,500
0 =$I 00,00I - $1,000,000
K =$15,001 • $50,000
0 =$500,001 -$1.000,000
R =Cost (Real Estate Only)V=Olho:?r
C =$2,501 - SS,000
HI =$1,000,001 -$5,000.000
L =$50,001 • $100.000
l'I =$1,000,001 -$5,000,000
P4 =More than SS0,000,000
S =Assessment
W ::::E:;t.imatcd
D =$5,001 -$15,000
H2 =More than $5,000,000
M =$100,001 - $250,000
P2 =$5,000,001 -$25,000,000
T =Ca>h Markel
E =$15,001 -$50,000
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 8 of9 Kosik, Edwin M. 05/05/2010
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (TndicatepartofReport.)
All stocks reported are common stocks.
No. 21 Increase purchase of General Electric.
. ..
Name of Person Reporting Date of Report, F.INANCIAL DISCLOSURE REPORT
Kosik, Edwin M. 0510512010Page 9 of9
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 p rovisions 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.
Signature
NOTE: ANY L DIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE TIIlS REPORT MAY BE SUBJECT TO CIVIL . AND CRIMINAL S.Ai'l"CTIONS (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 Columbus Circle, N.E. Washington, D.C. 20544