walker k stapleton financial disclosure report for 2010

8/3/2019 Walker K Stapleton Financial Disclosure Report for 2010

1/16

AO 10Rev. 1/2011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010 Report Required by the Ethicsin Governrnent Act of 1978(5 U.S.C. app. ,6 101-111)I . P e r s o n R e p o r t i n g (last name, first, middle initial)S taple ton, Walter K.

4 . T i t l e ( A r t i c l e I I I j u d g e s indicate active or senior -~ itatus;magistrate judges indicate full- or part-time)Senior Slalus

7. Chambers or O f f i c e AddressFederal Bui lding844 King Street - Lockbox 33Wilmington , DE 19801

2. Court or OrganizationU.S. Cour~ of A ppeals for the Third Circuit

3 . D a t e o f R e p o r t 05/03/201 I

5a. Report Type (check appropriate type)] N om in ation , D ate[] Initial [] Armual [] Final5b. [] Amended Report8.On the basis of the information contained in thi~ Report and anymodifications pertaining thereto, it ix, in my opinion, in compliancew i t h ap p l i c ab l e l aw ~ an d r eg u l a t i o n s.

6 . R e p o r t i n g P e r i o d01/01/201012/31/2010

R e v i e w i n g O f f ic e r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea[ Complete ali parts,checking the NONE box for each par t where you ha ve no repor table informat ion. S ign on las t pag~

I . P O S I T I O N S . m e p o r a n g indiv idual only; seepp. 9-13 o f fd lng instructions. )~-~ (No reportable posi t ions. )ONE

2.

3.

4.

5.

POSITIONMember - Board of Directors

NAM E OF ORG ANIZATION/ENTITYBuck & Doe T rus t , Inc. (non-profi t /conservation corporat ion) -- ! have nobeneficia l interes t in the assets of th is chari table corpo rat ion.

I I . A G R E E M E N T S . m e p o r a n g i ndiv idual on ly: s eepp . 14-16 o f f i li ng in s t r uc t ions , )~] (No re por table agre e me n t s .)ONE

DATE PARTIES AND TERM S


2/16

FINANCIAL DISCLOSURE REPORTPage 2 of 16

N a m e o f P e r s o n R e p o r t in gStapleton, Walter K.

D a t e o f R e p o r t05/03/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . t S e p o ~ n g i n d iv i ~ u u l a n d s p o u s e ; s e e p p . 1 7 - 2 4 of filing instructionsOA. Filers Non-Investment Income[-~ NONE non-investment income.)N o reportable

DATE SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p o u s e s )

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 - I f you were married during an y portion o f the reporf fng year, complete th is section.(Dollar amount not required except for honoraria.)

[~ (N o re p orta b le in com e .)ONE non-investmentDATE SOURCE AND TYPE

1. 2010 Chester County Country Properties (real estate brokerage f irm)2.3.4.

I V . R E I M B U R S E M E N T S - t ransportat ion, lodging, food, enter tainment .(Includes those to spouse an d dependent children; see pp. 25 -27 of filing instructions.)

NONE (No reportable reimbursements.)SOURCE D A T E S LOCATION

1.

2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


3/16

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 6

Name of Person ReportingStap le to n , Wal te r K .

D~te o f ReportO~/OM201 I

V . G I F T S . a n c l u d e s those to spouse and dependent children; see pp. 2~-3 ! of filing instruction~.)N O N E ( ]g o reportable gifts.)

SOURCE 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 t u d , ~ ,h o s e o l s p o , ~ e u n d d e p e n d e n t children; see p p . 3 2 - 3 3 offillng instructions.)N O N E ( N o reportab le f iabil i t ies .)

C R ED IT O R D ESC R IPT IO N1.2.3.4.5.

VALUECODE


4/16

FINANCIAL DISCLOSURE REPORTPage 4 of 1 6

N a m e o f P e r s o n R e p o r t in gStapleton, Waiter K.

D a t e o f R e p o r t05/03 /201 I

V I I . IN V E S T M E N T S a n d T R U S T S - - in c o m e , , ,a l . e , t . a n s ~ c t i o n s ( Inc ludes those of spouse and dependent children; see pp. 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )D (No re por table asse t s , o rONE income , transactions.)

Descr ipt ion of Asse ts I n c o m e d u r i n g( inc luding t ru s t asse ts ) report ing period

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

ex em p t f r o m p r i o r d i s c l osu r e C o d e 1 div . , ren t ,( A - H ) or int.)

I. Baxter Intl Com. A Dividend2. Conoco Phillips Com. A Dividend3. J & J C o m . A Dividend4. Marathon Oil Corp. Com. A Dividend5. Merck Com. A Dividend6. Pepsico Com. A Dividend7. Kimberly Clark Com. B Dividend8. S o u t h e r n C o . C o m . B Dividend9. Exxon Mobil A Dividend

1 0 . General Electric A Dividend1 1 . 3M Corp. A Dividend1 2 . SEITax Exem pt Trust Account A Dividend1 3 . Allied Cap. Com. None1 4 . Ares Cap. Corp. A Dividend1 5 . Chubb Com. A Dividend1 6 . Cisco Sys. Com. None1 7 . Emerson Elec. Com. A Dividend

G r o ss v a l u e a t endof repor t ing per iod

(1) (2)V alu e V a lu e

C o d e 2 M e t h o d(J -P) C o d e 3(~-w)

K T

K T

K TK T

K T

K T

K T

T

T

T

J T

K TK TK T

Transac t ions du r ing repor t ing per iod

(I ) (2) (3) (4) ( 5 )T y p ( e . g . , D a t e Value Gain I d e n t it y o fbuy, sell , m r n / d d P ~ j Code 2 Code I buyer!seller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

M e r g e d 0 4 / 0 51 1 0 J(with l ine 14)04/05/10 J

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 Co l umns B I and D4) F =$50.001 - $ 100.000 G =$100.001 - $1.000.000 III =$1.000.001 . $5.000.000 112 =More than $5.000.000

2. Value Codes J =$15.000 or less K -$15.001 - $50.000 L = $ 5 0 . 0 0 1 - $ 1 0 0 .0 0 0 M = $ 1 0 0 . 0 0 1 - $ 2 5 0 . 0 00t See Co l umns C I and D3) N = $ 2 5 0 . 0 0 1 - $ 5 1 3 0 . 0 0 0 O =$5 00.001 - $1.000.000 PI $1.000.001 - $5.000.000 P2 =$ 5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000.000 P4 =M ore than $50.000.0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash M ar ket( See Co l umn C2) U = Book Va lu e V = O the r W =Estimated

E =$15.001 - $50.000


5/16


N a m e o f P e r s o n R e p o r t in gStapleton, \Valter K.

D a t e o f R e p o r t05/03/201 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 . c o ~ . e , ,, a l u . . t ra ~ s a a i o ~ a . c l u d e s , h o s e o/ spo.se an d depe.de., children; s e e p p . 3 4 - 6 0 of filing instructions.)D (No re por table asse t s , o rONE in com e , tra n sa ction s.)

A. B. C. D.Description of Assets Incom e during Gross value at end T ransac tions during reporting period

(including trust asse~} r e p o r t in g p e r i o d of reporling period(I) ( 2 ) (I) (2) (I) (2) (3) (4)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 . , Value Value T y p e ( e . g ., D a t e Value Gain

exempt from prior disclosure [ Code I d i v . , r e n t , Code 2 M e t h o d buy, sell , m m ! d c b ~ y Code 2 Code I~ , ( A - H ) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H)i (Q -W)

1 8 . Te le f le x Com . A Div id en d J T

1 9 . A c orn II L P (*org . inv . Ponz i sc h em e; None L Tp r e s e n t v a lu e u n k n o w n )20 . P A St. B d . None R e d e e m e d 03/15/10 K

21 . W e s t V i e w P A B d . B Interest L T

22 . Clarco Inc. A Div id en d K T

23 . W rig ley C o. C om . (sa le 1 0/0 7 /0 8 om itted None S ol d K Efrom prior report)24 . Fleetwood PA Bd. 6 /1/16 B Interest K T

25 . J .M .Sc hm uc k er C o . A Div id en d K T

26. Van g uar d E mg . M k t . E T F A Div id en d K T

27 . Van g uar d FT S E A l l Wo r ld ex . U .S . A Div id en d K T

28 . IShar es M SC I P ac . ex . J ap an A D i v i d e n d K T

29 . Hewlett Packard A Div id en d K T

30 . A T & T B Div id en d K T

31 . Hu mm e ls tow n PA B d . 1 1 / 1 5 / 24 B Interest K T

32 . We s t Ch e s t e r A re a S ch . A Interest R e d e e m e d 05/17 /10 L

33 . Sp r in g Fo r d A r ea Sc h . A Interest K T

34 . War wic k P A Sc h . C Interest M T

(5 )I d e n t i ty o f

buyer!seller( i f p r i v a t e

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

I . Income Gain Codes: A = $1.000 or less B = $ I ,001 - $ 2 .500 C = $ 2 ,501 - $ 5 .000 D = $ 5.001 - $ 15.000(5cColumns B I and D4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0 G = $ 10 0.0 01 - $ 1.0 00 .0 00 I t I =$ 1.0 00 .0 01 - $ 5 .0 00 .0 00 1 1 2 = M o r e t h a r t $ 5 ,0 0 0 . 0 0 0

2. Valu e C odes J = S15 .0~0 or h :ss K = $ 15 .001 - 150.000 L = $ 50.001 - $ 100.000 M =$100.001 - $ 250.000( See Co l umns C I and D3) N = $ 2 5 0 . 0 0 1 - $ _ ,0 0 . 0 0 0 O =$5 00.00( - $1.000.000 P[ =$1.000.~01 - $5.000.000 P 2 = $ 5 . 0 0 0 . 0 0 1 - $ 2 5 , ~ O O . 0 0 0

P3 =$25.000.001 - $50.000.000 P4 =M ore Ihan $50.000.0003. Value Method Codes Q -Appraisal R -Cost (Real E~tate Only) S =Assessment T =Cash M ar ket( Scc Co l umn C2) U = Book Va lu e V =O~h c t W =Estimated

E =$15,001 - $50.000


6/16


N a m e o f P e r s o n R e p o r t in gStapleton, Walter K.

D a t e o f R e p o r t05/03/2011

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 m e . , a l u , . t r a n s a e ~ o , ~ a n c t a d ~ I h o s e of spouse and degndent children; see pp. 34-60 of filing instructions.)D (No repor table income, assets, or transactions.)ONE

Descr iption of Asse ts Inc om e d ur ing( inc luding trus t a s s e ts ) repotaing per iod

[ (I) (2)Place " (X)" af te r each as se t I Amou nt Type ( e . g . ,exem pt from pr ior di s c lo sure Code 1 d iv. , rent ,

(A-H) or int.)

3 5. ISh ar es H KCh in a A Dividend36 . I S h a r e s M a l a y s ia A Dividend3 7 . ISh a re s Ru s se ll 1 00 0G r . A Dividend3 8 . / Sh a re s S& P Eu r op e A Dividend3 9 . ISh are s Dow J ones Se le c t A Dividend40 . S t r e e t T r a c k s I n d e x ( W i ls h i r e I n t e r n a t i o n a l ) None41 . Duke Energy A Dividend42 . Nuveen Fd. B Dividend43 . B u c k e y e P a r t n e r s D I n t e r e s t

44 . Johnson &Johnson Com. B Dividend45. Merck & Co. Com. B Dividend46. Real Estate Chester Co. PA (App.Date None4/12/94)47. S ta r Ba nco rp . A Dividend

48 . U.S. Bancorp (formerly Firstar Corp) A Dividend49 . Polymedix None50. Fleetwood PA Bd . B I n t e r e s t51. PA-exempt Mu n. Bd . B I n t e r e s t

Gros s v a l u e a ! endof report ing per iod(1) (2)

V alu e V alu eCode 2 M e t h o d

( J -P) Code 3

J T

J TJ TK TJ T

K T

K TM T

L TK TN QL TK T

J TL TL T

Transact ions dur ing report ing per iod

(I) (2) (3) (4) (5 )T y p e ( e . g ., D a t e V a lu e G a i n I d e n t i t y o f

b u y , s e l l , m m ! d d ~ y C o d e 2 C o d e I b u y e r / s e l l e rr e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

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

S o l d 02/24/10 J A

I. n c o m e G a i n C o d e s : A -$1.000 or less B = $ 1,001 - $ 2 .500 C = $ 2 .501 - $ 5 ,0~0 D =$5,001 - $15,000( S e e C o l u m n s B I a n d D 4 ) F =$50,001 - $ 100,000 G = $100.001 - $ 1,000,000 I t I = $ 1 .0 00 ,0 01 - $ 5. 00 0. 00 0 1 12 = M or e I ha n $5 ,0 00 ,0 00

2. Value Co~s J =$15.000 or less K = $ 15.001 - $ 50.00~ L =$ 50.001 - $ 100.000 M =$100.001 - $250.000( See Co l umns C I and D3) N =$250.001 - $ 500.000 O -$500.001 - $1,000.000 PI =$1.000.001 - $5 .000,000 P2 =$5.000,001 - $25.000,000

f 3 =$25.000.001 - $50.000.000 P4 =M ore ihan $50.000.0003. V alu e M ethod C odes Q = A ppraisal R =Cost (Real Estate Only) S =Asscssn~:n! T = ~ h Marke t(See Column C2) U - B o o k Val ue V = O l h ~" r W -Estimated

E =$15.091 - $50.000


7/16

FINANCIAL DISCLOSURE REPOR TPage 7 of 16

N a m e o f P e r so n R e p o r t i n gStapleton, Waiter K.

D a l e o f R e p o r t0~/03/201 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 , v o t u e , ~ a . ~ o e , io ~ ( I n c l u d e s t h o s e of spouse and dependent children; see p p . 3 4 - 6 0 of filing i n s t r u c t i o n s : )N O N E (No reportable income, assets, or transactions.)

Descr ipt ion of Asse ts Transac t ions du r ing repor t ing per iod( inc luding t ru s t asse ts )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

I n c o m e d u r i n g Gross va lue a t endrep orting p eriod o f re po rtin g perio d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y p e ( e . g . , V a l u e V a l u e Type (e.g., Date V a l u e Gain Iden t i ty o fC o d e I div . , ren t , C o d e 2 M eth o d buy , se l l , m m ! d d ~ y C o d e 2 C o d e I buyer / se l le r( A - H ) or in t . ) (J -P) C o d e 3 redem p tion ) (J-P ) (A - I I ) ( i f p r ivate

(Q-W) t ransac t ion)

52. Bucks Co. Water & Sewer B I n t e r e s t53. South B utler Co. PA Sch. None

KRedeemed 03/11/10 K

54. M onroeCo. PA A I n t e r e s t K55. Po we rs h ar es E xc h. A I n t e r e s t J56 . Phoen ix v il le PA S ch . Bd . B I n t e r e s t L57 . B e r k sh i re H ath a w ay C LB ( e x c h fo r A Divid end JBerk shire Hathaway, Inc. )58 . ISha r es Na sdaq B i ot e ch None J59 . Powershare sTr . Wi lder None J

TTTTTT

01/21/10

60. IShares U.S. Aerospace PTF A Dividend61 . IShare s S& PGlobal A Dividend

J

J

T

T62.

63 . IRA- D lnt./Div. N T64. - S treetTracks Gold Trus t

65. - IShares S& P Mid. Cap.

6 6. - ISha r es DJ US Uti l.67 . - ISharesUS Healthcare68 . - IShares FTSE Xinhua

I . Income Gain Codes: A = $1.000 or tess B = $ 1,001 - $ 2 ,500 C =$ 2.,501 - $5 .000 D =$5.001 - $15.000( See Co l umns B I and IM) F = $ 50.001 - $ 100,000 G = $100.001 - $1.000,000 III =$1,000,001 - $5.000,000 1 1 2 = M o r e I h an

2. Value Codes J -$15.000 or less K = $15 .001 - $ 50.000 L = $50.001 - $ 100.000 M :$ 100.001 - $250.000( See Co l umns C I and D3) N = $2 50.001 - $ 500.000 O = $5 00.001 - $1.000.000 PI =$1.000.1301 - $5.000.000 P2 -$5.000.001 - $ 25.009.000P3 =$25.000.0OI - $50.0~0,000 P4 =More than $5 0.000.0~0

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S = A ssessmen t T = Cash Markc~( See Co l umn C2) U = Book Va lu e V =O~her W -E~ ima tcd

E =$15,001- $50.000


8/16


N a m e o f P e r so n R e p o r t i n gStapleton, Walter K.

D a t e o f R e p o r t05/03/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i. c o m e , v a l u e , ~ a n ~ o a i o ~ s a . c l u d ~ t h o s e o l s p o u s e o . d a e p e . a c . t children; see pp. 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descr ipt ion of Asse ts Transac t ions du r ing repor t ing per iod( inc luding t ru s t asse t~)

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m p r i o r d i s c l o s u r e

I n c o m e d u r i n grepor t ing per iod(I) (2)

A m o u n t T y p e ( e . g . ,C o d e I div . , ren t ,( A - H ) or in t . )

Gross va lue a t endof repor t ing per iod(I) (2)

V alu e V a lu eC o d e 2 M eth o d

(J -P) C o d e 3

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

r e d e m p t i o n )

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

m m / d d ! y y C o d e 2 C o d e I b u y e r / s e l l e r(J -P) ( A - H ) ( i f p r ivate

t ransac t ion)

69 . - IShares Tm st-Dow J Sel. Div.70 . - IShares T NASDAQ71 . - IShares Russel l 1000Gw th.72 . - Vanguard TotaI Market73 . - Plum Creek Timber Co.74 . - ML Bank US A RASP ac c ount75. - Powersh ares Tr. Wilder Hill Clean Energy76 . - ISharesM SCl Japan Ind.7 7 . - IShar es S&P Latin. Am.

7 8 . - Po w e rs h ar e sDB C om m o d it y79 . - I S h a r e s S i n g a p o r e8 0 . - IShar es So . Afr i ca

S ol d 11/09/10 J A

81. - IShare s Trust DJ US Ind .82 . - Powershares Exchange

83 . - Sector SPDR Consum ers8 4 . - Re ti r eme n t Res . CLI ac cou n t85 . - Berkshire Hathaway CLB (exch. forBerkshire Hathaway Inc. 01/21/10 J

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 Co l umns B I and D4) F = $ 50.001 - $ 100.000 G = $100,001 - $1,000.000 Il l =$1.000.001 - $5.000.000 112 =More than $5.000.000

2. Valu e C od ~ J = $15.0~O or less K = $15.001 - $ 50.000 L =$5 0 .001 - $100 .0~ M =$ 100.001 - $250.000( See Co l umns C I and D3) N = $2 50.001 - $ 500.000 O = $5 00.001 - $1.000.000 PI ~$1.000.001 - $5 .000.000 P 2 = $ 5 . 0 0 0 .0 0 1 - $ 2 5 . 0 0 0 . 0 O OP3 =$2 5.000.001 - $50.000.000 P4 =More than $50.000.0(K)

3. V alu e M ethod C odes Q = A ppraisal R =Cost (Real Estate Only) S =Assessment T = ~ h M a r k et(See C olum n C 2) U -Book V alu e V =Ot her W =Eslimatcd


9/16


N a m e o f P e r s o n R e p o r l in gStapleton, Walter K .

D a t e o f R e p o r t05/03/201 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, tran~actiot~ (Includex those of spouse and dependent children; seepp. 34-60 of filing instruction~)

86 .

87 .

88 .

89 .

90 .

91 .

92 .

93 .

94 .

95 .

96.

97 .

98 .

99 .

N O N E (No reportable income, assets, or transactions.)A. B. C.Description of Assets Income during Gross value at end

(including trust assets) r e p o rt i n g p ~r i o d o f r e p o r t i n g p e ri o d(0 (2) O) (2 )

Transac t ions du r ing repor t ing per iod

(1 ) (2) (3) (4)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 ( g ., V alue V alue T y p e ( e . g ., D a t e Value Gain

exempt from prior disclosure Code I div., r~t, Code 2 M e t h o d buy, sell , m m/dd/yy Code 2 C ode I(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H)

- IS h a re s T r . Dow U S- IShar es S&P Glo ba l

- Powershares Cleantech

- Powershares Wilterhi l l

- Powershares Global Water

- Alps A le r i a n M L P ET F B uy 09/17 /10

( 2 )Iden t i ty o f

buyer / se l le r( i f p f ivale

t ransac t ion)

Ches. Co. Country Properties SEP -- Berksh ireHathaway CLB (exch forBerk shire Hathaway, Inc- US Treas. Inflation Note 4/15/10- B AC STEPS F- Templeton Glob al Total- US Treas. Inflation Note- US Treas. Inflation Note 1/15/15

100. - M L Bank USA RASP account101. - US Treas. Inflation Note 1/15/20102. - CD Discover Bank

D Int./Div. O01/21/10 J

R e d e e m e d 04/15/10 M

B u y 02/24/10 K

B u y 10/22/10 L

B u y 08127/10 L

Bu y 12/14/10R edee med 0 3/0 1/1 0

LK

1. Incom e Gain C odes: A = $1.000 or less B = $ 1,001 - $ 2 .500 C = $2 .501 - $ 5 ,000 D = $ 5 .001 - $ 15 .000( Se e C o lu m ns B I a nd [3 4) F = $5 0.0 01 - $ 1 00 ,0 00 G = $1 00.001 - $ 1.000.00 0 I I I =$ 1.00 0.001 - $ 5,000 m~ 0 112 =M ore th an $5 .000.000

2. Value Codes J =$15.000 or less K =$15.001 - $50.000 L = $ 5 0 . 0 9 1 - $ 1 0 0 . 0 O O M =$ 100.001 - $250.000( see Co l umns C I and D3) N - $ 2 5 0 . 1 9 0 1 - $ 5 0 0 . 0 ~ 0 O =$500.1301 - $1.0~).000 PI :$1.000.001 - $5.000.000 P 2 = $ 5 . 0 0 0 . 0 0 1 -

P3 =$25.000.001 - $50.0~0.000 P4 =More than $5 0.000.0003. V alu e M ethod C odes Q = A ppraisal R -~ost (Real Estate Only) S =Asscssm~mt T -~?ash Markc~( See Co l umn C2) U = Book Va lu e V =Ol hcr W = Es t ima ted

E = $ 1 5 , 0 0 1 - $ 5 0 . 0 00


10/16


N a m e o f P e r so n R e p o r t i n gStapleton, Walter K.

Date of R e p o r t05/03/201 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; see pp. 34-60of filing instructions)---] N O N E (No reportable income, assets, or transactions.)

Descr ipt ion of Asse ts Transac t ions du r ing repor t ing per iod( inc luding t ru s t asse ts )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

I n c o m e d u r in g Gro ss v a lu e a t e ndrep orting period o f re por tin g p erio d

(I) (2 ) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y p e ( e . g . , V a lu e V a lu e Type (e.g., Date V a l u e Gain Iden t i ty o fC o d e I d iv ., re n t, C o d e 2 M eth o d b u y , se ll, m m /d d? yy C o de 2 C o d e I buyer / se l le r(A-tl) or int.) (J -P) C o d e 3 r e d e m p t i o n ) (J -P) ( A - H ) ( i f p r ivate

( Q - W ) t ransac t ion)

103. - US Treas . Inflation Note 4/I 5/I 21 0 4 . - M L & C o . S R N M L F I - T R

105. - US Treas. Inflation Note 7/15/20106. - Endowm ent TEl Fund107. - U.S. Treas. Inflation Note I/I 5/I 8108. - Natix is ASG Global

B uy 08/27 /10

1 0 9 . - B A C C a p p ed L I R N110. - CD Discove r B a n k

Redeemed 08/31 / I 0 K

111. - BAC Cl im. Rogre re1 1 2 .

Bu y 10/29/10 K

113 . T . Rowe Pr i ce Sci .&Tech.Fd . None J1 1 4 . E x x o n C o m . A Div id en d J1 1 5 . 9.5/120th Int. Ptship (App. 01/15/98)(Randolph Co. GA)1 1 6 . Acorn II LP (* org. inv. Ponzi schem e;present value unknown1 1 7 . Real Estate Hancock Co. ME (2001-$280,000)118. Ge n. Elec. Com.

A R e n t LNone L

C R e n t OA Dividend K

QT

R

T119. SEI Tax Exem pt Trust account A Dividend K T

I. Income Gain Codes:( See Co l umns B I and D4)

2 . Value CodesISee Co l umns C I and D3)

3. Value Mclhod CodesISec Co l umn C2)

A=$1.000 or lessF =$50.0~1 - $100,000J =$15.000 or l e s sN =$250.001 - $500.000P3 = $ 2 5 . 0 0 0 . 0 ~ 3 1 - $ 5 0 . 0 0 0 . 0 0 0Q=AppraisalU =Book Value

B $1.001 - $2 .500G =$100.001 - $1.000.000K =$15.001 - $50.0(~O -$500.001 - $1.000.O00R -~?ost lRcal EslaI Only)V O t h e r

=$2,501 - $ 5 , 0 0 0I =$1,000,001 - $5.000.000=$50.001 - $10~.000

PI =$1.000.001 - $5.0~1,000P4 =M ore titan $50.00~,000

=AssessmentW =Estimaled

D =$5.0~1 - $ 1 5 . 0 0 01 1 2 =More lhan $5.000.000M =$10~.001 - $250,000P2 =$5 ,000.001 - $25,000.000T =Cash M ar ket

E = $ 1 5 . 09 1 - $ 5 0 . 0 0 0


11/16


Name of Peraon R e p o r t i n gS t a p l e t on , Wa l t e r K .

Date of R e p o r t05/03/2011

V 1 1 . I N V E S T M E N T S a n d T R U S T S - i .c o ~ , . , v . l. e , , r .n s o c t i o .~ a . c l. d e s a , o s e o / ~ p o . ~ e o .d d e p ~ . d ~ . t c h i ldren; see p p . 3 4 - 6 0 of filing instruc#ons:}D (No reportable assets, orONE income, transactions.)

A. B. D.Description of Assets Income during Transactions during reporting period(including trust assets) r e p o r t in g p e r i o d

(t) (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 prior disclosure C o d e 1 d i v . , r e n t ,(A-H) o r i n t . )

G r o s s v a lu 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 alue V alue

C o d e 2 M e t h o d( J - P ) C o d e 3(Q-w)

(I) (2) (3) (4) ( 5 )T y p e ( e . g ., Date Value Gain I d e n t i t y o fbuy, sell , m m/ dd /y y C od e 2 C o d e 1 buyer/seller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

120 . Kimber ly Clark Com. B Dividend K T121. C incinnat i F in . Corp . Com . A Dividend K T122 . SEI Inves tmen t s Co . A Dividend K T123 . EMC C orp . Mass . Com. None Sold 05/04/10 K A124. Colgate Palmol ive A Dividend K T125 . M ed t ron i cs A Dividend K T126. Duke R ea l ty A Dividend J T127 . Rayonier , Inc . B Dividend K T128. S ter i cyc le , Inc . None K T129 . C larcor , Inc . None Sold 05 /04/1 0 K D130. Fleetwood PA Bd. B Interest L T131. RPM In t ern . Inc . None Sold 05 /04/1 0 K132. Polymedix Inc . None J T133. C i tyNat . Bank None Sold 05 /04/1 0 K134. Graco Inc . A Dividend K T135 . Pine Grove Sch . Bd. A Interest K T Bu y 06/08/10 K1 3 6. A T & T I n c . B Dividend K T

I . Income Gain Codes: A = $1,000 or less B = $ 1,001 - $ 2 ,500 C = $2 .501 - $ 5 ,000 D = $ 5 .001 - $ 15 ,000(Sc Columns B I and D4 ) F = $ 5 0 . 0 ( I I - $ 1 0 0 , 0 0 0 G = $ 100,001 - $ 1.000.000 I I I = $ 1 .0 0 0. 0~ I - $ 5 .0 00 ,0 0 0 1 12 = M or e t ha n $ 5 .0 00 .0 00

2. Valu e C odes J = $ 15.000 or less K -$15,001 - $50.000 L =$50.001 - $100.000 M =$100,001 - $250.000(See Columns CI and D31 N =$250,001 - $500,000 O -$500.001 - $1,000,000 PI =$1.000,001 - $5,000.000 P2 =$5,000,001 - $2 5,000.000

P3 =$25.000.001 - $50.000,000 P4 =More than $5 0.000.0003. V alu e M elhod C odes Q = A ppraisal R =Cost (Real Estate Only) S =A ss~ssracn! T = C a s h M z x k ~

( See Co l umn C2) U = Book Va lu e V = O l h t? r W = Es t ima ted

E =$15,001 - $50,000


12/16

FINANCIAL DISCLOSURE REPORTP a g e 1 2 o f 1 6Name of Person Reporting

S t a p l e ton , W a i t e r K .Date of Report

05/03/2011

V I 1 . 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 . ,. a l u e . , ,a , ,~ u c t lo , ,~ O ncludex those of spoase and depe.de,u children; see p l ~ 3 4 - 6 0 of filing instructlonsa)NONE (No reportable income, assets, or transactions.)

A. B. C. D .Descr ipl ion o f A s s et s I n c o m e d u r i n g G r o s s v a lu e a t e n d T r a n s a c t i o n s dur ing repor t ing per iod( 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 pe r i o d o f r e p o r t i n g pe r i o d

(I) (2 ) (I) (2) (I) (2) (3) (4) (5 )P l a c e " ( X ) " a f te r e a c h a s s e t i A m o un t T y p e ( e . g ., V a lu e Value T y p e (e.g. , D a t e Value G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e I C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e rII ( A - H )o r i n t . ) ( . I - P ) C o d e 3 r e d e m pt i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

137. Spect ra Energy Corp .138 . Genesee & W yo. Inc .139 . Donaldson Inc .140. Flowserve Corp.141. BP PLC Spons AD R142 . IShares MSC I Pac. ex . Japan143 . Bar Harbor Bankshares1 4 4 . C M A P A M u n . ac co u n t145 . Phi l a . PA Sc h. Di s t . Bd .146. Perk iomen S ch. D i s t. Bd .147. W es t Shore Sch . Di s t . Bd .148 . Warwick PA Sc h. Di s t . Bd .149. N. Pocono Sch. Dist . Bd.150. Counc i l Rock Sch . Di s t . Bd .151. PA St . Firs t152 . CD Wes tern Bank PR153 . Ind i ana Cn ty . PA Bd .

A Dividend J TNone K T

A Dividend K TA Dividend K T

None K TB Dividend K TA Dividend K TB Interest M TA InterestB Interest K TA Interest K TC Interest M TC Interest M TC Interest M TB Interest L TC Interest K T

None K T

Bu y 05 /00/10 KBu y 05100/I 0 K

Bu y 05/04110 K

Bu y 05 /04 /10 KBu y 05 /00/10 K

Redeemed 06/01 / I 0 L

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 Co l umns B I and D4) F =$50,001 - $100,000 G = $1 00 ,00 1 - $ 1.0 00.0 00 I I1 ~ $1 .0 00 .0 01 - $ 5,0 00 .0 00 112 = More th an $ 5.00 0. 00

2. Va lue Cod~ J =$15.000 or less K = 115 ,0O I - $ 50.000 L = $50.001 - $ 1 0 0 . 0 0 0 M -$100.001 - $250.000( See Co l umns C I and D3) N =$250.001 - $500.0~0 O =$5 00.001 - $1.000.000 PI =$1.0~0,001 - $5,000,000 P2 =$5.000.001 - $25,000,000

P3 =$25.00~.001 - $50.000,0~0 P4 =More ihan $5 0.009.0003. Value Method Codes Q :A ppraisal R =Cosl (Real Estate Only) S =A ss~ssmcn! T =Cash M ar ket

ISce Co l umn C2) U = Book Va lu e V - O~her W = Es l ima ted

E =$15,001 . $50.000


13/16


N a m e o f P e r s o n R e p o r t i n gStapleton, Walter K .

D a t e o f R e p o r t05/03/2011

V I 1 . I N V E S T M E N T S a n d T R U S T S - i n co m e , v a lu e , tr a n s a c ti o n s ( I n c lu d e s th o s e of s p o u s e a n d dependent children; see p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t io n s . )N O N E (No reportable income, assets, or transactions.)

A. B. C. D.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 value a t e n d T r a n s a c t io n s during reporting period

( i n c l u d i n g t r u s t a s s e t s )

P l a c e "(X)" after e a c h a s s e te x e m p t f r o m p r i o r d i s c l o s u r e

r e p o rt i n g p er i o d o f r e p o rt i n g p er i o d( I ) ( 2 ) ( I ) ( 2 ) (I) ( 2 ) ( 3 ) ( 4 ) (5)

A m o un t T y p e ( e . g . , Value Value T y p e ( e . g ., D a t e Value Gain I d e n t i ty o fCode I d i v . , r e n t , Code 2 M e t h o d buy, sell, m m/ddiy) C ode 2 C od e I buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e( Q -W ) t r a n s a c t i o n )

154. Phoenixv il le PA Sch. B d. B I n t e r e s t155. Somerse t PA Auth. B d. C I n t e r e s t156. M onroeville PA Bond A I n t e r e s t157. Unionville-Chadds Ford B d B I n t e r e s t158. Lower Allen PA Bd B I n t e r e s t159. Unionville-Chadds Ford B d A I n t e r e s t160. Sigma Aldrich A Dividend161. Stericycle None162. Kinder M organ Energy B Dividend163. CMA PA Municipal account B I n t e r e s t164. Phila. Sch. Dist. Bd . A I n t e r e s t165. Del. Valley Sch. Dist. Bd. A I n t e r e s t166. Perkiomen Sch. Dist. Bd . B I n t e r e s t167. Nashaminy Sch. Dist. A I n t e r e s t1 6 8. P a . T P K C M L O I L C I n t e r e s t169. Pa. St. B ond B I n t e r e s t170. West Che ster Pa. Area Sch. Dist. Bd. A I n t e r e s t

L TL TK TK TL TK TK T

K TK TL T

K T

L T

J T

L T

K T

Bu y 03/22/10 KBuy 03/19/10 LBu y 02/22/I 0 LB uy 03/19/10 K

Redeemed 06/01/I 0 L

Redeemed 05/17/10 L

I . Income Gain Codes: A = $ 1,000 or less B = $ 1,001 - $ 2 ,500 C = $ 2 ,501 - $ 5 ,0~ 0 D =$5,001 - $15,000(S ee Columns BI and D4) " F =$50.001 . $I00,000 G =$100.001 - $1.000.090 III =$1.000,001 - $5.0~0,000 112 =More than $5.000.000

2. Value Codc~ J =$15.000 ~ less K ~ $ 15,001 - $ 50,000 L = $50.001 - $ 100.000 M = $ I 0 O . 0 0 1 - $ 2 5 0 . 0 ( ~(S ee C olu mn s C I a nd D 3) N $ 25 0,0 01 - $ 50 0.0 00 O-$500.001 - $1.000.000 PI =$1.000.001 . $5.0~0,000 p2 =$5 .000.001 - $25.000.000

P3 =$25,000,001 - $50.000,000 P4 =/.tore t~an $50,000.0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only) S =As~ssmen t T =Cash Mar kc l(See Column C2) U =B o o k Val ue V = O ~ h , - r W -Est imated

E =$15.001- $50.000


14/16

FINANCIAL DISCLOSURE REPOR TPage 14 of 16 Ia m e o f P e r s o n R e p o r t in gStapleton, Waiter K. D a t e o f R e p o r t05/03/2011

V II. INVESTM ENTS and TRUSTS -i.co ..... ~ u e ~ t r a n s a c t i ~ n s ( ~ n d u d e ~ t h ~ e ~ f s p ~ u s e a n d d e p e n d e n t c h i ~ d r e n ~ s e ~ p p ~ 3 4 ~ 6 ~ f ~ i n g i n s t r u c t i ~ n s - )N O N E (No reportable income, assets, or transactions.)

Descr ipt ion of Asse ts Transac t ions du r ing repor t ing per iod( inc lud ing t rust assets)

Place "(X)" after each assetexempt from prior disclosure

I n c o m e d u r i n grepor t ing per iod

(t) (2)A m o u n t Type (e.g.,C o d e I div . , ren t ,

( A - H ) or int.)

171. Spring-Ford Pa. B d. A I n t e r e s t172. Pa. State Bd . A I n t e r e s t173. Erie Indmnity Co. A Dividend174. Vanguard Emer. M kts ETF A Dividend175. Vanguard FTSE All-Wor ld Ex. US A Dividend176 . Graco A Dividend177. SPDR SP Bric 40 A Dividend178 . Low er G w ynedd TW P B d . A I n t e r e s t179. Duke Energy B Dividend180. Vanguard All Wor ld Ex. US A Dividend181. Vanguard Emer. M kts ETF A Dividend182. U.S. Banc orp A Dividend183. Alps Alerian M LP ETF A Dividend184. Mechanic sburg Pa Bd. A I n t e r e s t185. Chester Co. Pa Bd. A I n t e r e s t186. Real Estate Chester Co. Pa (4/27/10) None

G r o ss v a l u e a t endof repor t ing per iod(t) (2)

V a l u e V a l u eC o d e 2 M e t h o d

(J -P) C o d e 3( Q -W )

K TK T

K T

K T

K T

K T

J T

K T

K T

K T

K T

S o l d

K T B uy

K T B uy

K T B uy

N R B uy

(t)T y p e ( e . g . ,b u y , s e l l,r e d e m p t i o n )

(2} (3) (4) (5 )Date V a l u e Gain Iden t i ty o f

m m /d d? yy C od e 2 C o d e I buyer / se l le r(J -P) ( A - H ) ( i f p r ivate

t ransac t ion)

05/04/10 K

11/23/10 K

02/19/10 K

02/12/10 K

04/27/10 N

I . Income Gain Codes: A = $ 1.000 or less IJ = $ 1,001 - $ 2 ,500 C -52,501 - $5.000 D -55.001 - $15.000( See Co l umns B I and I ) 4) F = $ 50,001 - $ 100.000 G = $100.001 - $1.000.000 1 11 = $1 .0 00 .0 01 . $5 .0 00 .0 00 1 12 = M or e th an $ 5. 00 0.0 00

2. Value Codc~ J =$15.000 or less K = $ 1 5 , 0 0 1 - $ 5 0 , 0 O O L = $ 50,001 - $ 100.0(~ M =5100.0~ 1 - $250.000ISee Co l umns C I and D3) N =$250.001 - $500,000 O =$500.001 - $1,000.~ P1-51,000.001 - 55.000.000 P 2 = $ 5 . 0 0 0 . 1 3 0 1 - $ 2 5 . 0 ~ 0 . 0 0 0

P3 =$25.000.001 - $ 50,0~0.000 P4 =M ore than $50,000.00~3. V alu e M ethod C odes Q =A ppraisal R -~Sosl (Real Estate Only) S =Assessment T =Cash M ar ket

t.Sce C olu m n C 2) U = Book V alu e V = O ~hc r W =Estimated

E = $ 1 5 . 0 0 1 - $ 5 0 . 0 00


15/16


N a m e o f P e r s o n R e p o r t in gStaple ton, Wal ter K.

D a t e o f R e p o r t05/03/2011

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. andica,epartolr,po,~Th ~ . ~ ~ ~ . pa r tne r sh i p owns~~ t i m b e r l a nd i n Ra ndol ph C oun t y , G A . I a m a ge ne ra l pa r tne r . My t o t a l in t e r e s t i s 9 . 5 /1 20 t h . Pa r t ne r sh i p i ncom e i sder ived f rom hunting leases and the sale of timber .


16/16


Name of Person ReportingStaple ton, Wal ter K.

Date of Report05/03/2011

IX. C ERTIFICATION.I ce r t i f y t h a t a ll i n fo rm a t ion g i ve n a b ov e ( i nc l ud i ng i n form a t i on pe r t a in i ng t o m y spouse a nd m i nor o r de pe nde n t ch i l d re n , i f a ny ) i sac c u r a te , t r u e , an d c o mp le te to the bes t o f my k n o ~ v led g e an d b e l ie f , an d tha t an y in f o r mat io n n o t r ep o r ted was ~v i thh e ld bec ause i t me t ap p l i c ab le s ta tu to r yprovis ions pe rmit t ing non-disclosure.I f u r t h e r ce r t i fy t h a t e a rne d i ncom e f rom ou t s i de e m pl oy m e n t a nd h onora r i a a nd t h e a cce p t a nce o f g i f t s wh i ch h a ve b e e n r e por t e d a r e i nc o mp l ian c e ~ v i th the p r o v is io n s o f 5 U .S .C . ap p . 5 01 e t . s eq ., 5 U .S .C . 73 5 3 , an d J ud ic ia l C o n f e r en c e r eg u la t io n s .

Signatur e: S/Walter K . Stapleton

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G LY A N D W I L FU L L Y F A L S I FI E S O R F A L L S T O F I LE 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 T I O N S ( 5 U . S. C . ap p . 10 4 )

Co mm i tt e e o n F in a n c i a l D i s c lo s u r eA d mi n i s tr a ti ve O f f ic e o f t h e U n i te d S t a t e s Co u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.W a s h in g t o n , D . C . 2 0 5 4 4

walker k stapleton financial disclosure report for 2010

Documents