mitchell s goldberg financial disclosure report for 2009

8/3/2019 Mitchell S Goldberg Financial Disclosure Report for 2009

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l A O t O [ FINANCIAL DISCLOSURE REPO RT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act o f 197~R e , , . 1 / 2 o ~ o FOR CALENDAR YEAR 2009 ( 5 u . s . c , a p p .I, P e r s o n R e p o r t i n g ( f a s t n a m e . f i rs t , rr ~ i ~ l e i n i t i a l ) 2 . Cour t o r O r g a n i z a t io n I 3 . D a t e o f R e p o r tGoldberg, Mitchel l S. U.S. Distr ic t Cour t. Eastern D istr ict of Pennsylvania 5/12/2010

4 . T i t l e ( A r t i c l e l l ! 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 ; 5 a ~ R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6. Repo rting Periodm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e ) [ ] Nomina t ion, D a t e 01 / 01 / 2009U. S. Dis t r ict Judge- Active Status : [] In i t ia l [] A o n u a l [] Final to12/31/20097 . C h a m b e r ~ o r O f f i c e A d d r e s s 8 . O l a t h e b a s i s o f t h e i n f o r m a t i o n 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 U i c a tl o n s p e r t a i n i n g theretol it is, in my o p i n i o n , i n compliance

R o o m 40 0 0 , U.S . Co u r tho u se with applicable laws and regulations.601 Market StreetPhiladelphia , PA 1910 6 Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompa nying this form must be fottowea~ Co mplete all parts.checking the NONE box f or each part where you have no repo rtable information. Sign on last page.

I . P O S I T I O N S . t R e ~ o r ~ n g individual only; see pp. 9-1.! of filing instruaions.)~ NONE (No reportable positions.)

P _ O S I T I O N NAM E OF ORG ANIZATION/ENTITYI. Board of Directors Bucks County Opportunity Council

2. Advisor), Board Friends of the Delaware Canal~ ..

C 7 3I I . A G R E E M E N T S . (Reporting individual only; see pp. 1 4-16 o f f ili.g inxtractfanx.)~-] N O N E (No reportable agreements.)

DATE PARTIES AND TERMSI. 203 Pennsylvania . Employee R etirement System2.1i97 T h r i f t S a v i n g s P l a n


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Iame of P e r s o n R e p o r t ing Date of ReportFINANCIALpagc 2 of 8 DISCLO SUR E REP OR T [ Goldberg, Mitchell S. 5 / 12 / 2010III . NO N-INVES TM ENT INCO ME . ~e~o,~n~i,~lv~,otand~e: ,ee ~. ~-~d o/ ;~.~ ~.~ion~.~A. Fliers Non-Investment Income[---] N O N E ( N o reportable non-investment income.)

D A T E S OU R C E A ND T Y PE INCOME(yours, not spouses)1. 2009 Drexel Law School - Payment for teaching $6,500.00

2 . 2009 i . . . . . . . . . . . . . Trust- Dis t r ibut ions SI,615.00

3 . 2009 Pennsylvania Employee Retiremeat System $13,818 .004.

B . S p o u s e s N o n - l n v e s tm e n t I n c o m e - ~ f ~ , o u .ere married d u r i n g a n y p o r t io n o f t h e r e p o n i n g y e a r , c o m p l e te this section.(Dollar amount not required except ~>r honoraria.)

~ N O N E (No reportable non-investment income.)DATE S OU R C E A ND T Y PE

1. 2009 Heartsine Technology - ]salary2.3.4.

I V . R E I M B U R S E M E N T S -,,a~ona~., toaa.g,[ood, e~ena~n~,e~tlncludes tho~-e to s~use and de~ndent chil~en: see PP. 25-27 of filing mst~cttons.)

N O N E (No reporcable reimbursements.)~ ~ L OC A T I ON PU R POS E ITEMS PAID OR PR OVIDED

1 .2.3.4.5.


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FINANCIAL DISCLOSURE REPO RT s , = , o f v . . . . . a c p o a i n gPage 3 of 8 G o l d b e r g , M i t c h e l l S . 5 / 1 2 / 2 0 1 0

V. G IFTS. a~,, ,~o~,,o,po . . . . . ~ ~, ,~a~,; ,~ ~. 2~ ~ o/~,~ ~,~ao~.~NONE (No reportable g~s.)

~ ~ VALUE1 .2.3.4.

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VI. LIABILITIES. a~.~ ~,o,, o~ .~ ~ ~i~,.~ ~,~ ~ n-~ o~,~N O N E (No reportable liab ilities.)

CRF~ITOR D E S C R I P T I O NI.2.3.4.

5.


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N a m e o f P e ~ o n R e p o r t in g D a t e o f R e p o r tP a g eF I N A N C I A L 4 o f 8 D I S C L O S U R E R E P O R T G o l d b e r g , M i t c h e ll S . 5/12/2010

V I I . I N V E S T M E N T S a n d T R U S T S -- i ....... lueo tra .... tions (lnclud~ tho,e of sp ..... ml depertdent childrcn; see pp. J4-60 of filing instrallons.)N O N E (No reportable i~come, assets, or transactions.)

De~ption ofAss~s ~ I n c o m e d ~ n g Gross value ~t ~d T~sactio~ d~ng r~ing ~od(including ~st assc~) ~ing period of repo~ng period .P l a c e " ( X ) " a f t e r e a c h a s s e t ~ount T~e (e.g.. V~ ue " V a ~ e T~ (e .g ., [ Date Value Gain ld~t i~ of

e x e m p t fr o m p ~ o r d i ~ l o su r e [ C o d e 1 div., ~nL C o d e 2 Me~od buy, ~ll, mm~d&~ C o d e 2 C ~ e I b~;se]]eri ~ ( A - H ) o r i n t . )

( J - P ) Code(Q_W)3r e d e m p t i o n ) ( J - P ) ( A - H ) ~n~ction)(if phrase

I. .... ~ T~s t - 1 /3 in teres t - p rope~ located B Rent M W2. Wells Fargo ~1- Hartford AnnulS:

3. A MR B lu e Chip Inco m e a nd G r o wth None J T

4. A M R G l o b a l G r o w t h None J T

5. AIM Mi d Cap C ore Equi t y Fund None J T6. F- T S m a l l- Mid Ca p G r o w th None J T

7. AM R Growth-Income None .I T

8. Wells Fargo #2 - H ar tford Annuity:

9. AM R Grow th-Income None K T1 0 . AMR Blue Chip Income and Growth None K T1 1 . F- T S m a l l -Mid Ca p G r o wth None J T

! A IM Mid Ca p C o r e E q u i ty Fu nd None J T1 3 . A M R G l o b a l G r o w t h None K T1 4 . American Fund ~1 - 529 - age or r isk based - None K Tno control1 5 . American Fund #2 - 529 - age or r isk based - None K Tno control1 6 . American Fund #3 - 529 - age or r isk based None K Tno control1 7 . American Fund 04 - 529 - age or r isk based - None K Tno control

I. Income Gum Cozies: A - $ 1 , 0 ~ O o ~ k s t t:1 -[1.00 | - S2~ C ~2.~1 - $~.~0 3 ~ $ 5 , 0 0 1 -(See Colu~! B I a n d D 4) F "$50.~1 - $1~.~ G ~ I~.001 - $ l.~.~ HI =$l.~0.~l $5.~0.~ 1 1 2 = M o ~2. Value C~ J =11 $.~ ~ Jess K ~ 15,~1 - S50.~ L =S50,~1 - *1 ~.~ M ~ t~.~l -

3 , V a l u e M e t h o d C ~ e I Q -Ap~aisal R ~ost (Real ~te Only) S =As~ss~nt T = C a s h M a r k ~~ S ~ C o l u m n C 2 1 U ~B~k VaI~ V ~her W =Esl~tcd


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Iame of Person ReportingI

Date of ReportP a g e F IN A N C I A L 5 o f 8 D I S C L O S U R E R E P O R T [ G oldber g, blitchell S. 5 / 1 2 / 2 0 1 0

N O N E (No reportable income, assets, or transactions.)

Descriplion of A~sets Income during Gross value a t end Transact ions dur ing repor t ing per iod(including t rust assctz) repor t ing per iod of report ing period

Place " (X)" af ter each asset Amount , Type (e.g., V a l u e V alu e i Ty p e ( e . g ., / Date [ Value Gain Identi ty c fexempt f rom p rio r disc losure Code 1 div. , rent , C o d e 2 , M e t h o d ~ b u y , l L /mmd~~ I Code 2 C o d e I buyer,seller( A- H ) ~ or in t . ) (/.p) i C o d e 3 redemption) [ I (/P) (A-H) ( i f pr iva te

18 . Oppenheimer Fund- Retirement IRA None J T

1 9 . Newell Rubben~aid Inc. NWL - Stock None J T2 0 . S i r iu s X M R a d io , I n c . S t o c k N o n e J T

21 . Morgan Stanley Smith Barney-el FinancialManagement Account:2 2 . IS ha r e s TR S & P 5 0 0 Index FD - Mu tu a l None J TF u n d2 3 , Powes hares QQQ T R SER 1 - Mut ua l Fund None J T2 4 . Capi tal Income Bui lder Fund Class A - None J TMut ua l Fund2 5 . G r o wth Fu nd o f A m e r ica Cla ss A - Mu tu a l None J Tfund26 . Morgan Stanley Smith Barney #2 - IRA:

, 27 . W a l* ma n St or es , In c. - St oc k None K T28 . Bershire Hathaway Fin . Corp . GTD SR ,NIT - None K TB o n d29 . Ci t iba nk - B a nk De po s i t None K T3 0 . CVS C aremark Corp . - S tock None K T3 1 . HCP Inc.- Stock None K T3 2 . Ki mber ly C l a rk Corp . - S t ock None J T3 3 . Pepsico Inc. - Stock None J T3 4 . Sysco Corp. - S tock None J T

I. laco,-ne Gain Codes! A -$1.000 o less B -$ I.O01. [2,500 C ~ $ 2 . 5 0 1 - 5 5 . ~ D = $ 5 , ~ 1 - $ 1 5 , ~ 0 E ~ $ 1 5 ,0 0 1 - [ ~ ,~iSee Col~s BI and D4) F -S50.~1 - $1~,~ G ~1~.~1 - $ I,~,0~ II1 =$1.~,~1 - $5,~,0~ 1t2 =Mo~ ~an $5.~.~~ Val~ C~ J "$15,~ or l~s K = $ 1 5 . ~ 1 - $ ~ 0 . ~ L =$~0.~1 - $1~,~ M-~l~.~ I - $250,~(See Columm CI and D ]) N = $ 2 5 0 . 0 0 1 - $ 5 ~ , ~ O ~$5~,001 - $1,~,~ P IP3 "$25,~,~1 - $50,~,~ P4 ~More ~a $~0,~,~3 . V a t ~ M e t e d C ~ t s Q =Ap~ai~l R ~ o s t ( ~ a l E~ a l e O ~ y ) S -~s~cnt T ~ash Marke t(Se~ Col~ C2) U - B ~ k V a l u e V ~h~ W


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FINANCIAL DISCLOSURE REPORT r ~ . .. .t P . , ~ o o a ~ p o , ~ t n g O a t a o f a . p o .Page 6 of 8 Goldberg, M i t c h e l l S . 5/12/2010V I I . I N V E S T M E N T S a n d T R U S T S - ].com e. v.~,,. ~ ..... tion, (t.c~.a~ ~o,~ oy ~,o,~, ~,d ~,n,,~,.t ~~,~: ~,, ~. ~-~0

N O N E (No re~rtable income, ~sets, or transactions.) A. ~ B. C. . D.

Description of As~e~ ~ Income du~ng G~ value at end ; Tra~ctio~ d~ng ~poning ~od( in c l u d i n g ~ s t a s s e ~ ) ~ .-. ~d.. -- o f r e p o r t i n g p e r i o d/ ~) : ~ -ii~ .....~ ........(,i -1-~1~~-0)--I ..... b~ ......P l a c e " ( X } " a ~ r , c h ~ s e t IAm~t T~(e.g., v a t u "value ~ T)~(e.g. . I Da~]Value "Gaine x e m p t f r o m p r i o r d i s c l o s u r e ] C o d e I d i v . , ~ n ~ ~d 2 M~ . b u y , s e l l, ] m ~ d d ! ~ { Code 2 . Code 1 i b u y ~ / s e l l e r~A - H ) o r i n t 0 ( J - P ) C o d e 3 r e d e m p t i o n ) ] ~ ( J - P ) (A-H) ] 0 f p 6 v a t e(~W) : ] 1 ] t ~ n s a c t i ~ a )

(See Co lu mns B I a nd 04 ) F - $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0 G - $ 1 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 1 1 1 - $ 1 , 0 0 0 ,0 0 1 - $ 5 , 0 0 0 , 0 ~ 0 t ! 2 - M o r eValue Codes ) - $ I 5 . 0 0 0 o r less K ~ $ 1 5 , 0 0 1 - $ 5 0 . 0 0 0 L - $ 5 0 , 0 0 1 - $ I 0 0 , 0 0 0 M - $ 1 0 0 , 0 0 1 - $ 2 5 0 , 0 0 0( S e t C o l u m n s C I a n d 0 . 1 } N = 1 2 5 0 , 0 0 1 - $ 5 0 0 . 0 0 0 0 = 1 5 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 P I = $ 1 , 0 0 0 , 0 0 1 - $ 5 . 0 0 0 . 0 0 0 P 2 = $ 5 . 0 0 0 , 0 0 1 -

P . 1 - $ ~ , 0 0 0 . 0 0 1 - $ 5 0 , 0 0 0 , 0 0 0 P 4 = M o r e ~ h a n $ 5 0 . 0 0 0 . 0 0 0V a l u e M e t h o d C o d e s Q = A p p r a i s a l R = C o s t ( R e a l E s t a t e O n l y ) S = A s s c s s m e ] a t T = C ~ s h(See Colurrm C21 U = Bo o k V a lu c V -~ Olh~ W =Estimated


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FINANCIAL DISCLOSURE REPORT [ N,me or Per~oa Reporting D~t~ otRz~ortP a g e 7 o f 8 [ Goldberg, Mitchell S. 5112/2010VIII. A DDITIO N A L IN FO R M A TIO N O R E XPLA N A TIO N S . (Indicatepar~ofRtport)

Items listed in Section VII - Investments and T rusts in my p reviously submitted Nomination Repor t that do not app ear in this repor t were liquidated/disposed of topay college tuition,


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FINANCIAL DISCLOSURE REPORTPage 8 of 8 Goldberg, Mitchell S.I

5 /12 /2010

IX. CERTIFICATION.I cer ti~ tha t a l l information given above ( inc luding information p er ta ining to my spouse an d minor or dependent chi ldren, if any) I s

accurate , t rue, and complete to the bes t of my know ledge and bef ief, and that any informat ion n ot repor ted w as w i thheld because i t met appl icable s ta tutoryprovis ions permit t ing non-disclosure.1 fur ther cer t i fy that earned income f rom ou ts ide employment and hono rar ia and the acceptance of gi f t s which have been repo r ted are incompliance wi th the provis ions of 5 U.S .C. app . 501 et . seq . , 5 U.S .C. 735 3, and Judicial Con ference regulat ions .

S i g n a t u r e _ _

N O T E : A N Y I ND I V ID U A L W l tO K N O W IN G L Y A N D W L L F U L L Y F A L S I F IE S O R F A l 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 ILA N D C R I ~ ,I lN A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

FILING INSTRUCTIONSMail s igned or ig inal and 3 addi t ional copies to :

Co mmit te e on F in a n c ia l D i s clo s u r eAdminis t ra t ive Off ice o f the Uni ted Sta tes Cour t sSui t e 2 -3 0 1O n e C o l u m b u s C i r c le , N .E .W a s h in g t o n , D . C . 2 0 5 4 4


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UNITED STATES D ISTRIC T C OURTE A S T E R N D I S T R I C T O F P E N N S Y L V A N I ACH AMeERS OF UNITED STATES C OURTHOUSEM ITC H ELL S. GOLDBERG 6 o l M A R K E T S T R E E TJUDGE PHILADELPHIA, P A 1 9 1 0 6

(267) 299-7500

A u g u s t 1 l , 2 0 1 0

Honorable Bobby R. Baldock, ChairJudicial Conference of the United StatesCommittee on Financial DisclosureOne Columbus Circle, N.E.Washington, D.C. 20544 ~:RE: Financial Disclosure Report - Calendar Year 2009 ,:~:.. .:~:-.: i - ~q

I w r i t e in r e sp o nse to yo u r Ju ly 3 0 , 2 0 10 le t te r r eq u es t ing a dd i t io na l ln~g t lo n" - . .. . . ~ - -o .%regarding my financial disclosure report dated May 12, 2010. ~; ~-- .77 k_~You note that in Part VII, page 5, lines 18-21 and 26-34, I listed assets fflaich v~re notlisted in my prior nomination report. Please be advised that these assets were obtainec~after the

filing of my nomination report, but prior to the submission of my 2009 report.Please do not hesitate to contact me should you have any further questions.

MSG:cjl

mitchell s goldberg financial disclosure report for 2009

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