united states court of app eals for the … states court of app eals . ... esb bank savings account...

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UNITED STATES COURT OF APP EALS FOR THE THIR D CIRCUIT

THOMAS M. HARDIMAN 2270 U.S. POST OFFICE & COURTHOUSE

CIRCUIT JUDGE 700 GRANT STREET

PITTSBURGH, PA 15219-1906

September 6, 2007

Honorable Ortrie D. Smith, Chair ,.___, Judicial Conference of the United States = --' Committee on Financial Disclosure (/')--·- rn11 rriOne Columbus Circle, N.E. _·) -- -0 ()(,•J

·washington, D.C. 20544 N rn,,"'-.' C)

:··,.-, _,.-..,

<-·, :·.·:_., J>Ri;::: Calerdar Year 2006 Filing rn-· ·· -1

\'':'/ -+='

Dear !udge Smith: N

!.:; respor:se to yom letter cf August 9, 2007, I submit '.;he fellowing in ameedment

of my nomination report dated January 11, 2007 and my annual report dated May 14,

2007. ! ' ,1.! . · . ·'

Dell was sold on November 10, 2006 and the Gain Code is C.

Embarq was sold on November 24, 2006 and the Gain Code is B.

As of December 31, 2006, I continued to hold both Arch Capital prefeiTed stock and Eaton Vance mutual fund. Fm' Arch Capital, the Income Code is A, the Type is Div., the Value Code is J, and the Value Method is T. For Eaton Vance, the Income Code is

blank, the Ty_pe is Div, the Value Cede. is Kand the Value Method is T.

Thank you for your assistance with these matters. I . • '

. ,; ·!" . J(. I ' ) ·-' '•I ' ! : ) i ",. . ) \ .., \ . .

412-208-7440

f'

((J

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

2

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---=- •-r)>

Report Required by the Ethics FINANCIAL DISCLOSURE REPORTAO-IO(WP) in Government Act of 1978, Rev. J/2004 (5 U.S.C. App. §§101-111)FOR CALENDAR YEAR 2005

I. Person Reporting (Last name, first, middle initial)

Hardiman, Thomas M.

4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-lime)

U.S. Circuit Judge - Active

7. Chambers or Office Address

2270 U.S. Post Office & Courthouse 700 Grant Street Pittsburgh, Pa. 15219

3. Date of Report 2. Court or Organization

Third Circuit Court of Appeals May 14, 2007

5. Report Type (check appropriate type) 6. Reporting Period

_ Nomination, Date

- Initial _x_ Annual - Final 0 l/O 1/06 to 12/31106

8. On the basis of the information contained in this Report and any modifications pertainin thereto, it is, in my opinion, in compliance with applicab e laws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying thisform must be followed. Complete all parts,

checking the NONE box/or each part where you have no reportable information. Sign on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-13 of Instructions.}

POSITION NAME OF ORGANIZATION/ENTITY

D NONE (No reportable positions.)

Director Big Brothers Big Sisters of Greater Pittsburgh, Inc.

r--> C"-:> C:C-'> ··--' ;o

(")r-·3 ·-,, •- ,,,..

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of Instructions.) r •,,i ....,u_ (_Fl

DA TE PARTIES AND TERMS

NONE (No reportable positions.)

r·• ·; ::-1 < u rn

0 C) CY'"

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of Instructions.) DATE SOURCE AND TYPE GROSS INCOME

A. Filer's Non-Investment Income

NONE (No reportable non-investment income.)

2

3

$

$

$

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria)

NONE (No reportable non-investment income.)

I 2006 The First City Company

2

K =$15,001 $50,000 L=$50,001-$100,000

D NONE (No such reportable gifts.)

Academy of Trial Lawyers of Allegheny County Honorary Membership

2

3

4

$ 500.00

$

$

$

, FINANCIAL DISCLOSURE REPORT Name of Person Reporting Thomas M. Hardiman

IV. REIMBURSEMENTS -- transportation, lodging, food, entertainment. (Includes those to spouse and dependent children. See pp. 2 5-2 7 of Instructions.)

SOURCE DESCRIPTION

Date of Report

May 14, 2007

0 NONE (No such reportable reimbursements.)

I

2

3

4

5

6

7

V. GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of Instructions.)

SOURCE DESCRIPTION VALUE

VI. LIABILITIES. (Includes those of spouse and dependent children See pp. 32-33 of Instructions.)

CREDITOR DESCRIPTION VALUE CODE*

0 NONE (No reportable liabilities.)

2

3

4

5

*Value Codes: J= 15,000 ofl.esll N==$250,001-$500,000 P2=$5,000,001-$25,000,000

0=$500,00 l-$ },000,000 P3=25',0QO,OO 1-50,000,000

M"'$100,001'.:$250,QOO · ·.· • p 1 $ l; ooo, 00 i.-$5 '000 ,000 P4"'50,0oO;qot or more

I

A . Description (includ1rig

J/£" .exempt. om

I

!

6

7

8

9

a, ; I J 0, ·:;.· ,.;l•}\\} Oros of period

JI) (2)

Amt.

----- ----- .•

(4) Gam

(J�P)

(5) Identity

i ..

001-$250,000 PI =$1,000 h00Ic$5;(JOO;OOO

O

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Thomas M. Hardiman May 14,2007

VII. Page 1 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children. See pp. 34-57 of Instructions.)

ofAssets · trust assets)

Place after each asset prior disclosure.

D NONE (No reportable income,

f 1 PNC Checking Account

!2 ESB Bank Savings Account

3 PNC Money Market Account

4 Vanguard Prmcp Mut. Fund (MF)

5 Fulton Financial Stk (CS)

Evoxis Convertible Debt

WACHOVIA EQUITY ACCT. -----

Evergreen Money Market (MM)

American Axle & Mfg CS

American Int'! Grp. CS

JO Apria Healthcare Group CS

II Bank of America CS

12 Borders Group CS

13 Cisco Systems CS

14 Citigroup CS

.. ·.•·.· : ··.. ..Income. • · value . . .. .d.urirtg . .· at end ·

reporting penod . reporting ' • .· . (I) , (2) . ' • (I)/'

Type Value Type .

(e.g., (e.g.,div., Value Method buy, sell,

Code I rent or Code2 Code3 merger,(A-H) int.) (J-P) (Q-W) redemption)

A Int. L T

c Int. M T

c Int. M T

A Div. K T

A Div. K T

None J T

D Int. N T

A Div. K T Buy

A Div. K T Buy

None J T

A Div. Sell

A Div. Sell

None K T Buy

A Div. K T

tli?e:Month

Day

316 4110 5/17 5/30

6/22 9/29

1/25

818

(3)ValueCode Code!

2 (A-H)

J J

J J

J B K c

J A

J

ofbµyer/seJler

(ifprivate transaction .

! 15 Coca-Cola CS A Div. J T

I

2

3

Income/Gain Codes: (See Col. Bl, D4) Value Codes: (See Col. Cl, D3)

A=$1 000 or less F=$50,00I- $100,000

B=$1,00l -$2,500 G=$100,001-$1,000,000

1=$15,000 or less K'=$15,00I-$50,000N=;;$250,00I-$500,000 0=$500 001-$1,000 000 P3=$25,000,001-$50,000,000

Value Method Codes: <t:Appraisal(See Col. C2) =Book value

R--'Cost (real estate only) V=Other

C=$2,50l-$5,00Q . . .HI=S1,900,001 $ ,ooo,ooo

D=$5,00I-$15,000H2=More than $5,000,000

E--$15,001-$50,000

L=$50,001- $I 00,QOO M"'$IOO :''\'o.:./·•·P2'=$5,000,001 $25,000,000 P4=More t an $50,QOO,OOS=Assessment T=Cash/MarketW=Estiinated

A. B. c. D. A

(2} (2) Jype . . ,·· ·

:val Tyjle {e;g.; (3) dtli · {$) Amt o Value . · . ".{j;" cJiV., buy, Identity

exempt om merger, , buyer/seH r .. (A�H) irit:) <H1 (Q;W) ( ct{) f!Y#te;tfaj!.*cfion J(i

i

G3

I

i I

I

.. ·--- ---·------

i

'b:Appraisal =Book

:

Description of ssets Income Gross value(including trust assets) dµring . at end of Transactions during reporting period reporting penod reporting period

(1) (1). (l) .. ·If not exe!npt from disclosufe ... (e.g.,·. (2)

·. · · .. · . Value Meth d Date:

.. . ..· ..

; > ... Place ajtereach asset sell, of ·. pripr dis.closure. Cod et .rent or Code2 · Cooe· . Month- Code2 Codel . • • • ·. .

. .. r,edemption) . .Day, (J-P) (if •


assets, or transactions)

16

17

18

19

20

121

IIf 22

24

25

26

27

128 I !' f 29

! 30

131

1

2

3

Cooper Tire & Rubber CS A Div. J

Direct TV CS None K

Ebay CS None J

Fairchild Semiconductor CS None K

Fannie Mae CS A Div. K

Freescale Semiconductor B CS None

(Motorola spinofl)

General Electric CS A Div. K

Hasbro CS A Div. K

Helix Energy CS None K

Home Depot CS A Div. K

Magellan Health Svcs. CS None K

Microsoft CS A Div. K

Motorola Inc. CS A Div. K

NCR CS None K

Newell Rubbermaid cs A Div. I J

Newmont Mining CS A Div.

Income/Gain Codes: A=$ I 000 or less B=$l,OOJ-$2,500(See Col. Bl, 04) F=$50,001- $100,000 G=$100,001-$1,000,000Value Codes: (See Col. Cl, D3) J-$15,000 or less K=$15,001-$50,000

N=$250,001-$500 ,000 0=$500,001-$1,000 ,000 P3=$25,000,001-$50,000,000

Value Method Codes: (See Col. C2) value

R=Cost (real estate only) V=Other

T

T

T Buy 8/1 J

T

T

Sell 4/3 J B

7/13 JT Buy 7/20 J

T

2/13 K T Buy 9119 J

10/3 J

T Buy 7/20 J 8115 J

T

T Buy 5/19 K

T

T Buy 1/6 K

T Buy 11/18 J

Sell 5/1 K A

C=$2,50 k$5,QOO 0=$5,001-$15,000 E=$!5,00i $5Q OOO HI=c$1,000,001-$5,000,000 H2=More than $5,000,000 . . L=$50,001-$100,000 M=$100,001-$250,000 . · Pl=$1,000h001-$5,000,000 P2=$5 ,000,00 l-$25,000,000 P4'=More t an $50,000,000 S=Assessment T=Cash/Market W=Estimated

Name of Person Reporting FINANCIAL DISCLOSURE REPORT Thomas M. Hardiman Date of Report

May 14, 2007

VII. Page 2 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of

spouse and dependent children. See pp. 34-57 of Instructions.)

·'

A.> De$cription:ofASsets

' iilclud1iig

"(X) "

from

J r

durin riod

·,,

c_.

(l)

p,_,.·,·, > . reportirig period

(5) Id\)ntityof l>uyet/seller

(ifprivafo transaction)

�-��·��-+��-+-��-+��-1-��-+��+--�-+-��-+-�-+��- 1

J !

A=$1 000 F=$56,00I-

M-$100

..

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

Thomas M. Hardiman

Date of Report

May 14, 2007



' .·

' •

tr\lst assets).

Place after each asset exempt prior disclosure.

NONE (No reportable income, ! assets, or transactions)L I 32 Nokia Corp. ADR

33 Peak Int'! CS

34 Pfizer CS

35 Pharmion Corp. CS

36 Plato Leaming CS

37 PNC Financial Svcs CS

".' " ·. .

B. .

-Income ··

reporting, ' L

. '

(!) (2)

Amt. Code! (A-H)

A

A

A

Type(e.g.,div.,

rent or int.)

Div.

None

Div.

None

None

Div.

" . . .. .,,

: GToss value '

atend ·of · . rewrting period

(2)

Value Code2 (J-P)

K

K

Value Method Code (Q-W)

T

T

T

T

T

·.

(l}

Type(e.g.,

buy, sell, merger,

redemption)

Buy Buy

Buy

Sell

· . ..:- > . ;: \, ,_ · - ··1 : Transactfons during .

Ifnot exempt from discfosure

(2) (3)Date: Vajue

Month- Code2 Dl!Y (J•P)

2/24 8/10

5131 10/31

6130 K D

, ,

I

· 38 Sprint Corp. CS A Div. K T

I

39 Tyco CS

40 United Online Inc. CS

4 I UST Inc. CS

42 U.S. Treasury Bill

43 Wal-Mart CS

44 Waste Management CS

i 45 Wilson Leather Exp. CS I

46 Winn-Dixie CS

1 Income/Gain Codes: (See Col. BI, D4)

or less $100,000

A Div. K

B Div.

B Div.

None M

A Div.

A Div.

None

None

B=$1,00I-$2,500G=$!00,00I-$1,000 000

2 Value Codes: (See Col. Cl, D3)

J-$15 000 or less K-$15 001-$50,000 . N=$2SO,OO 1-$500,000 0=$500,001-$1,000,000

3 P3=$25,000,001-$50,000,000

Value Method Codes: 1):Appraisal (See Col . C2) =Book value


T

Sell 4/25 K B

Sell 8/24 K D

T

T

Sell 1/27 K D

T

T Buy 11/29

C=$2,50I-S5,000 .. .

HI=$1,00G,001-$5,000,QOO 0=$5,001-$15,000 ·. .

H2=M6fo than $5,000,000 E7$ i5,001-$50,000

L=$50,00!- $100,000 001-$250,000P1=$1,000

h001-$5,000,000 P2;,,$5;000,00I-$25,000,000

P4=More t an $50,000,000 S=Assessment T=Cash/MarketW=Estiniated

"()(). e

·

t exeniptjrmn disc{osin:e,. I (A,H) 1, it*)

C.

(;Qde2 o n ····< W1

period

diS'tib;llr

B=$1,001 $2,500 f-- (S ee_Co J. B_l _,D_4) F=$50,001_-_$l o_o,o_oo G=- $ 1 _00,_ 00_1-$!,o-oo ,o_o _o H_I_=_$1,o_o_o,o-01_- $_5 ,o-o_o,_oo_o_ H

M._

_=$M10

o0re

0t h0_.1

an_··

$2$5s

0,o,

·00_

00

0.oo o

2 Value Codes: 1=$15,000 or Jess K=$15,00J-$50,000 L=$50,00I· $100,000 P l=$1,0001001-$5,000,000 P2=$5,000,00!-$25,000 ,000

tnan 3 Q=Appraisal

D=Book M

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Thomas M. Hardiman May 14, 2007



A. Description of Assets (including trust assets)

Pla

.

ce "after e

.

ar::h ass

..

. priqt

D NONE (No reportable income ,

assets, or transacllons)

WACHOVIA BOND ACCT.

53 Investment Co. MF

54 Putnam New Opp. MF

55 UnumProvident PF

56 Wash. Mut. Inves. MF

4 0I (k) ACCOUNT# I

57 Principal M M

58 Principal Large Cap MF

59 Principal Med. Co. Bid MF

B. Income

·duringreporting period (1) (2}

Type(e.g.,

Amt .. Oiv., Co<lel ren{ot. .

A Int.

B Int.

A Div.

B Div.

B Div.

A Div.

A Div.

A Div.

A Div.

A Div.

A lnt.

A Div.

A Div.

Gross value .• at end of

reporting period

( I) (2) Vaine

Value Method Code, ..

T

K T

K T

T

K T

J T

K T

K T

T

K T

J T

Sell

Sell

. . D; :.> .. · Transactions during reporting

6/1 K

5130 K

Ifficit exempt from ' : ' '· ' ,

A

B

Income/Gain Codes: A=$1,000 or Jess C=$2,501-$5,000 D=$5,00l-$15,000 E=$J5,001-$50,000

(See Col. Cl, D3) N=$250,001-$500,000 0=$500,001-$1,000,000P3=$25,000,001-$50,000,000 P 4=More $50,000,000

Value Meth od Codes: R=Cost (real estate only) S=Assessment(See Col. C2) value V=Othe r W=Estimated

I-Cash/ arket

I -----------�----��-------�

Type (e.g., 'JJ2" div., ompriar

.. .

I·

·-·

-�·

I ' ···-------------1-·-·--:----·-

'

·111r)2 Code (Q-W)

--

(l) Type

D.

{2) Date: DaY

(3) Value J4)

·Code'! (A H)

°''(5) ·<: . Identi . · "

tfa ertRuer c private transa¢ii&n Y.

I L


Thomas M. Hardiman Date of Report

May 14, 2007


A. B.Description of Assets Income(includmg trust assets) during reporting period (I ) (2)

Plac.e after each asset Amt. ·exempt . <jisclosure. Godel rent or

(A-H) int.)



60 Principal Sm. Co. Grwth MF A Div.

61 Principal lnt'I Stock MF A Div.

162 Principal Fin. Grp Inc. A Div.

40J(k) ACCOUNT #2

63 Merrill Lynch A Int.

64 Agere Sys Inc. Class A CS None

1 65 Agere Sys Inc. Class B CS None ··--

I166 Central Europe & Russia MF A Div. >-·

!67 Cisco Systems CS None

68 Citigro up CS A Div.

69 Connetics CS None

70 Dow Chemical CS A Div.

71 EMC Corp CS None

C. Gross value

at end of reporting period

(I) (2)

Value Value Method

•

J T

J T

J T

J T

J T

J T

J T

J T

J T

J T

J T

(e.g.,buy, sell, merger;!'¢emption}·

Merger

Transactions d uring reporting period

M'.orith-

12/29

If not exeiript from disclosure · . . . '

, ' .

" ' ' · ' :·

.

· · : ·' . · . .. · . Code2· (J-P}·

J

tun

A

< .• • . •. . of ,:

· · :.,,; . . . . • Ir. . , . :. . ·. ,, ' . . ' . . .

172 Ford Motor CS A Div. J T

I

2

3

Income/Gain Codes: (See Col. Bl, 04)Value Codes: (See Col. C l, D3)

A=$ l,OOO or less F=$50,00I- $100,000

B=$ l,001-$2,500 G=$ I 00,001-$1,000,000

]=$15,000 or less K-$15,001-$50,000N=$250,001-$500,000 0=$500,001-$1,000,000P3=$25,000,001-$50,000,000

Value Method Codes: Appraisal(See Col. C2) =Book value

R-Cost (real estate only) V=Other

C=$2,501-$5,000 HI =$1,000,001-$5,000,000

0=$5,001-$15 ,000 E=$15,00J-$50,000 H2=More than $5,000,000

L-$50,001- $100,000 M-$100,001-$250,000 P l =$1,000

hOO l-$5,000,000 P2=$5,000,001-$25,000,000

P4=More t an $50,000,000 S=Assessment T=Cash/MarketW=Estimated

l

-------------·

i

17

-- --

o

------- --- '----------- ----------- ----�

J=$15 N=$2$0,00l-$500,000

?):Appraisal =Book

.M=$100,00H250J>OO P2'=$5,000,001-$25,000,000

" ,.

FINANCIAL DISCLOSURE REPORT of Person Reporting

Thomas M. Hardiman

Date of Report

May 14, 2007

VII. Page 6 INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children. See pp. 34-5 7 of Instructions.)

...

A.Description ofAssets

(includmg .trust assets)



73 General Electric CS

: 74 Intel CS

;75 Merck CS

Nektar Therapeutics CS

77 Panacos Pharm. CS

78 Pfizer CS

79 Qwest CS

80 Sirius CS

8 I Time Warner CS

TRUST #I

82 PNC Trust Account

AMCAP MF

Fundamental Inv. MF

B. . . C.Income Gross value during . . . at end of

reporting period re rtirig period ·

A Div. T

A Div. T

A Div. T

None T

None T

A Div. J T

None T

None T

A Div.

A Int. T

A Div. T

A Div. K T

Sell

---

, . ·,. . . ·,_ Transactions during reportin

3/13 A

i 85 Growth Fund of America MF A Div. K T [____ ------ -- -------- --------·-- - ---- -·- ---- - --- ---- ----------·

1

2

3

Income/Gain Codes: (See Col. Bl, D4) Value Codes: (See Col. C l, D3)

A=$1 000 or less B=$1,00l-$2,500F=$50,001- $100,000 G=$100,001-$1,000 000

000 or less K=$15,0.01-$50,000 .()=$500,001-$1,000,000

P3=$25,000,001-$50,000,000 Value Method Codes: (See Col. C2) value

R-Cost (real estate only) V=Othet

C=$2,so 1-$5,ooo HI =$1,QOO,OO 1-$5,000,000

D=$5,001-$15,000H2=More than $5,000,000

E=$ I 5,001-$50,000

L=$5Q,00J- $100,000 ·Pl=$1,000h00lc$5,000,000P4=More.t an $50,000,000 S--Assessment T--Cash!Mar et W"=Estimated

!

--

"(X)" exemptfromprior

i :

..

I

B.

(I}. 'fype (e.g.,

(2)

f----T

(l).

D.

Ji/e: JJ e (4) Gain (5)' Identity buyer/seller

f-· ti

--f--- -- - -·

1-----------------+---+----1--- - -----l----------1---+-----1---1-----------j

PNC TrustA : :- _ ________ _ __ -1-nt_.


Thomas M. Hardiman Date of Report

May 14, 2007

VII. Page 7 INVESTMENTS and TRUSTS income, value, transactions (Includes those of spouse and dependent children. See pp. 34-57 of Ins/ructions.)

A.Description of Assets

(including trust assets)

Place after each asset disClosure.



186 Investment Co of America MF

87 New Perspective MF

88 Washington Mutual Inv. MF

TRUST#2

89 PNC Trust Account

90 AMCAP MF

91 Fundamental Inv. MF

Income . dµring .reporting penod

> (2)

Amt. Codel (A-H)

A

A

A

A

A

A

:

div.,rent or

int.)

Div.

Div.

Div.

Int.

Div.

Div.

c.Gross value

at end of reporting period (1}

Vall)eCode2 (J-P)

K

T

T

T

T

K

.. ·

Type .(e;g.,

buy, sell,merger,

redemption)

Transactions during reporting period

Month- COde2 Dily (J�P}

..

Code! (A-H)

. . .. , of.

(ifpri17ate transaction)

' K

92 Growth Fund of America MF A Div. K T

93 Investment Co of America MF A Div. K T

94 New Perspective MF A Div. K T

95 Washington Mutual Inv. MF A Div. K T

..

TRUST #3

t_ - -

A -- -

I

2

3

Income/Gain Codes: (See Col. BI, D4)Value Codes: (See Col. CI, D3)

A=$1 000 or less 8=$1,001-$2,500F=$56,00I- $100,000 G=$ I00,001-$1,000,000 J-$15,000 or less K-$15,001-$50,000N=$250,001-$500,000 0=$500,001-$1,000 000P3=$25,000,001-$50,000,000

Value Method Codes: ?;:Appraisal(See Col. C2) =Book value


T

C=$2;501-$5,000 HI=$ I ,000,0Q 1-$5,000,000

D=$5,00H15,ooo H2=Morethan 5,000,000

E=$15,00l-$50,000

L=$50,00h $100,000 . · PI=$1,000,001-$5,000,000P4=More than $50,000,000

M=$100;00 l-$250,000P2=$5,000,00I $25,000,000

S"'Assessment T=Cash/MarketW=Estimated

I _L_

"(X)" exempt.from

I

c of pt;riod

:

i¥et

(

or · 'fype'

(e:g,; m ()} Date: Value

inerger, fedt;mPt!Qn).

1----------------·---------1--------- -T---- -

1----------·----------+------+-------+----+----+-----+----+---·--+--+------------j

i -----------------1-----f-------+----+-----+-------+---+-----l---+----------j J

2 VaIUe

A=$J 000 or less B=$1,001-$2,500 F=$50,001· $100,000 G=$100,00h$1,000,000 J;o$l5,000, ·N=$25o;oo J -$soo;ooo

I -$so,ooo,ooo \):Appraisal

'=Book

L=$50 $100 000 ·'

p1:;.s(ooofioor s5,ooo,ooo P4'=More

FINANCIAL DISCLOSURE REPORT Date of Report

May 14, 2007



. . . ·• A. Description of Assets (includmg trus.t asset;;)

Place after each asset prior disclosure.

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

97 AMCAP MF

98 Fundamental Inv. MF

99 Growth Fund of America MF

I 00 Investment Co of America MF

I 0 I New Perspective MF


TRUST#4

I 03 PNC Trust Account

104 AMCAP MF

I 05 Fundamental Inv. MF

I 06 Growth Fund of America MF

Amt.Code! (A-H)

A

A

A

A

A

A

A

A

A

A

Div.

Div.

Div.

Div.

Div.

Div.

Int.

Div.

Div.

Div.

.··· . ; .. ·· Gross value

at end ·. . Jeport,ing

ValueCode2 (J-P)

K

K

L

K

K

K

L

L

L

·. ·· . ' .-

·

T

T

T

T

T

T

T

T

T

T

' D.. . . Transactions during reporting period· ·

·' . ·.

buy; sell, · Month- Co<le2

Day (J-P)

---- ------

i 107 Investment Co of America MF A Div. L T

1 I 08 New Perspective MF ! A Div. L T


I

3

I!icome/Gain Codes: (SeeCoJ:Bl, D4)

Codes:; . (SeeCol. CT, D3)

B Div. L

·. or less . K=$15,001 $50,000 0;=s500,oo 1-$1,000,000

p3:.:s2s;ooo,ooValue Method Codes: (See Col. C2) value

R-Cost (real estate only) V=Other

T

C=$2,50 I $5,000 H1=$1,000,001-$5,000,000

1)=$5,00I-$15,000 E=$15,00l-$50,000 H2"'More than $5,000,000

OOl· M=$J00,001;$250,0Q-O . P2""$5,000,001-$25,000,000

t an $50,ooo,ooo S-Assessment T -Cash/Market W=Estimated

'

I

" J?es<,friptiqn (mcludmg I

, . r\,J'.' ri.• • . iX:tfo '.·

period · .. :.'

(I) (l) If > .

· •. (2) (3) d4)

( ) .

"j/2" Valµe Date: Identity om Code2

D

·-

-

-------- -----

FINANCIAL DISCLOSURE REPORT Thomas M. Hardiman

Name of Person Reporting Date of Report

May 14, 2007


spouse and dependent children. See pp. 34-57 of Ins/ructions.)

.... •C • .. •. ,.. • .' ·A... '

ofAssets tiiist' assets)

B. ncome

.. . . ·c: ' · . ;;<,.:·.-Gross value · Tr.bisactions during rtimr:ting. during at'end'of

reporting period· reptirtiitg . . ·. • . ' > (1) (2) (2) not' exempt frorii qisclosJre ·

Type Value

Type

. .(e.g., (e.g.,Place after each asset Amt. div., Method buy, sell, Value am of

exempt prior disclosure. Codel rent or Code merger, Month- Code2 Codel buyer/seller(A-H) int.) (J-P) (Q-W) redemption) Day (J-P) (A H) (if pfh;ati: transaction)

NONE (No reportable income, assets, or transactions)

REAL ESTATE PARTNERSHIPS

110 West Moon Twp. Assoc. D Dist. M u

Il l Bensalem Realty Assoc. F Dist. N u

I 12 Rodi Land Assoc. D Dist. L u

I 13 FC Donegal Assoc. A Dist. J u

114 First City GA Partners E Dist. M u

I 15 First City WV Partners A Dist. J u

I 16 Mcintyre Square Associates B Dist. M u

I 17 FC Hampton LP A Dist. K u

SCHWAB ACCOUNT

1118I 3M CS None J T

I 19

I

2

3

Allegheny County Bond BO B Int. K

Iiw.ome/Gain Codes: (See Col. Bl, 04) Value Codes: (See Col. Cl, 03)

---···--· --- ----·- --· -- ·--··---

A=$1,000 or lessF=$50,001- $100,000

B=$1,001-$2,500G=$100,001-$1,000,000

J-$15,000 or less K-f15,001-$50,000 N=$2so,oo 1-$500,000 0= 500;001-$1,000,000P3=$25,000,001-$50,000,000

Value Method Codes: \):Appraisal(See Col. C2) =Book value


T Buy 3/3 I K ______J_

C=$2,501-$5,QOO H1=$1,000,001-$5,000,000

D=$5,001-$15,000lf7=More thiiri $5,000,000

E=$15,001-$5o,ooo

L=$50,001- $100,000 Pl =s1,000

6001-$5,ooo,ooo

P4=More t an $50,000,000

M=$100 001-$250,000 P2=$5,000,001-$25,000,000

S=Assessment T=Cash/MarketW=Estimated

Description (includnig during.

periOd (1) .(2)

Type

c. end

repofii/ig periOd (l) (2) (f) .

Type

D:

. ..

(2)

·.

'(5) '"

.,

'\

']!2" Amt. Date: Identity om ',,, .Codt;i7 Month- rr" btiy¢i'/S,eller

(A•H) (JcP) (Q-W) ·oaY (if pfiyat6, friinsaction) ;

I

1123

t ..

I

I

I I

M=$100 001-$250,000 -,

P2=$5,000,001-$25,000,000

, ·.

..

A. of Assets

trust assetS) B,

Iiicome . :

ft!POrti ·

(e..g;,

Gross value · , at of

Value Value

(e.g.,

'transactions <luringr porting period . .

Jfnot exempt from diScfosure . . . . .·:·· ·:. .

(3).Value . · d1l�.

·. : Place after each asset .. ·div,, Mt;itbod buy, sell; of;

. exempt priordisc/9s7f1"e. €0de1 rent or · Code' . >merger, Code2 . . . .··• . · · int.r·· ·:. J'e<lemption} · (J"P) .



120 Amer. Pwr. Conv. CS A Div.

121 Bard CR Inc. CS None K

i 122 Becton Dickinson CS None K i

Bentworth School Dist. BO B Int . K

I 124 BP PLC ADR A Div. J

125 CBL & Assoc REIT None J

126 Clarcor CS None K

127 Comcast CS None K

128 Dell CS None

129 Dentsply CS None J

: 130 Dowington Pa. School Dist. BO B Int. K I 1----------------- -------

1131 !

1132

133

134

I

2

3

Eaton Corp CS None J

Emerson Elec. CS A Div. K

Exxon Mobil CS A Div. K

Fox Chapel School Dist. BD B Int. K

Income/Gain Codes: A=$ I 000 .or less (See Col. Bl, D4) F=$50,001- $100,000

B=$l,001•$2,500Cf--$1 OO,OOI-$1,000,000

Value Codes: (See Col. Cl, D3)

1=$15,000 or less K=$15,00I-$50,000 N=$250,00!-$500,000 0=$500 001-$1,000 000 P3=$25,000,001-$50,000,000

Value Method Codes: 'D:Appraisal (See Col. C2) =Book value


Sell 3/23 J A

T

T

T Buy 5/11 K

T

T

T

T

Sell 7/27 J A

T

T Buy 4/21 K

T Buy 616 J

T

T

T Buy 3/27 K

C""$2,501-$5,000 . . D=$5,00l-$15,000 . E=$15,001-$50,000H1=$1,000,001-$5,000,000 H2=More than$5,000,000 L=$50,001 $100,000 . . P1=$1,000h001-$5,000,000P4=More t an $50,000,000 S=Assessment T=Cash/MarketW=Estimated

May 14, 2007 Name of Person Reporting Date ofReport



Value J:/." Amt. Metl1Qd

exempt .pm 18$)2

jllergei:; <• (Q!-W)" re<l riJption)>

-

1144

t

(2) Month-·· y

(3) Value

o Pl I

JM • am

<NJI) I

> (5) Identity Of.

y··1·u· (ifp y hs cti1>11;

----

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT



A. B. C.Description of Assets Income Gross value (including trust assets) during at end of reporting period reporting period

(1) (2) (1) (2) (1)

Type Type(e.g., (\l.g.,

Place after epch asset i:liv., Value bµy, $ell, .prior disclosure.: Code! ·rent or · Code

(A�H)·· ··•.int)·. . " : ·



135 Gallagher Arthur CS None J

136 General Electric CS A Div. J

137 IBM CS A Div. J

138 ITT Corp. CS A Div. J

139 Johnson & Johnson CS A Div. J

140 Kimberly-Clark CS None K

141 Leggett & Platt CS None J

142 Liberty Property REIT None J

/ 143 Lower Menion Twp. BD B Int. K

Mantech lnt'I CS None

145 McGraw Hill CS A Div. K

146 NokiaCS A Div. K

147 Northhampton Cty BD B Int. K

148 Pennsylvania State BD B Int.

I 149 Pepsico CS None J - -----·- - ·--

2

3

Income/Gain Codes: (SeeCol. B l,04) Value Codes: (See Col. C l, D3)

A=$ l 000 or less 8=$1,001-$2,500F=$50,001- $100,000 G=$100,001-$1,000,000 1=$15,000 or less K-$15,001-$50,000N=$250,001-$500,000 0=$500 001-$1,000 000 P3=$25,000,001-$50,000,000

Value Method Codes: \):Appraisal(See Col. C2) . =Book value


- """ - -

T

T

T

T

T

T

T

T

T

T

T

T

T ---- -- ---· -

Buy

Buy

Buy Sell

Buy

Buy

Buy Sell

----

C=$2,501-$5,000

-

HI =$1,000,001-$5,000,000 L=$50,001- $100,000 Pl=Sl,OOO

hOOl-$5,000,000

P4=More t an $50,000,000 S=Assessment W=Estimated

D. Transactions during reporting period

If not exempt from disclbsure

Date:

3/24

2/3

3/24 616

10/3

3/22

211 5 417

., · .

Gode2· . .. · .

J

K

J J

J

K

K K

. Code!. .

A

A

.. . . : . ·· .. ·· . ·

.·. •··

--·- --· -- -- - - ---·

0=$5,001-$15,000 H2=More than $5,000,000

E=$ l 5,001-$50,000

M-$100;001-$250,000P2=$5,000,001-$25,000,000

T=Cash/Market

. A scriptipn pfAsse!s

(mc:Iudmg ass tS)

flilpf! !'(XJ.(' aftet ea<;h exemptj'rom prior disclosure;

I

-----------··----·--- ----

1.·.·.

3 '{;:Appraisal· (See =Book

.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT



· ·• · , trust

(1) (2) (I) (2)

; (l,sset ·. : :

D NONE (No reportabl income,


150 Pfizer CS A Div. T Buy 10/3

1 151 Schwab MM A Int. J T

! 152 Somerset Cty BD A Int. T Buy 414

153 Unilever CS A Div. T

l Income/Gain Codes: A=$1,000 or less 8"=$1,001-$2,500 C=$2,501-$5,000 0"=$5,001-$15,000 E=$15,00J-$50,000 (See Col. BI, 04) F=$50,001- $100,000 0=$100,001-$1,000,000 H1=$1,000,001-$5,000,000 H2=More than $5,000,000

2 Value Codes: J=$15,000 or less K=$15,001-$50,000 L=$50,001- $100,000 M=$100,00l-$250;000 . (See Col. Cl, 03) N=$250,00l-$500,000 0=$500,001-$1,000 000 P1=$1,000h001-$5,000,000 P2=$5,000,001-$25,000,000

P3=$25,000,001-$50,000,000 P4=More t. an $50,000,000 Valile Method Codes: R-Cost (real estate only) S-Assessment T=Cash/Market . Col. C2) · · value V�her· · W=Estimated

ofRepo J May l4,2

f'f,

Name of Person Reporting


Date

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS (Indicate part of Report.)

lX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is iccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable ;tatutory provisions 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 ;ompliance with the provisions of5 U.S.C. app., § 501 et. seq., 5 U.S.C. § 7353 and Judicial Conference regulations.

)ignature Date :J-Dc.'J

WTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE :UBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. App.,§ 104.)

Mail signed original and 3 additional copies to:

FILING INSTRUCTIONS:

Committee on Financial Disclosure Administrative Office of the

United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.<::;. 20544

united states court of app eals for the … states court of app eals . ... esb bank savings account...

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