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Judicial Watch • A Caputo Richard – 2006

A Caputo Richard – 2006

A Caputo Richard – 2006

Page 1: A Caputo Richard – 2006

Category:Federal Judges

Number of Pages:11

Date Created:September 14, 2007

Date Uploaded to the Library:September 04, 2014

Tags:A Richard Caputo, Caputo, ACCOUNTANTS, COMPILATION, Richard, Market, 2006, assets, transactions, Codes, disclosure, reporting, report, Federal Judge, financial, income, Judge


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AOlO Government Act of1978 
Rev. 1/2007 
FOR CALENDAR YEAR 2006 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Caputo, Richard Court Organization U.S. Dist. Ct. M.D. Date Report 05/01/2007 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. District Judge -Active Sa. Report Type (check appropriate type) Nomination, Date Initial Annual Final Reporting Period 01/01/2006 12/31/2006 
Sb. Amended Report Chambers Office Address 235 North Washington Avenue P.O. Box 1246 Scranton, 18501 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date 
 
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 instructions.) NONE (No reportable positions.) 
POSITION Co-Trustee .,., 
cnZ c:J> :::0 :r.: C-) r-.> 
rr1 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) 
O)> 
-rir 
[KJ NONE (No reportable agreements.) fTj 
PARTIES AND TERMS 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Date Report 
Caputo, Richard 
05/01/2007 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 ins/ructions.) Filers Non-Investment Income [RJ NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) SpouseS Non-Investment Income -If you were married during any portion the reporting year, complete this section. (Dollar amowll not required except for honoraria.) 
NONE (No reportable non-investment income.) 
[RJ 
 
SOURCE AND TYPE 
 
 
 
IV, REIMBURSEMENTS --transportation, lodging, food, entertainment. (Includes those spouse and dependent children. See pp. 25-27 i11structio11s.) 
[RJ NONE (No reportable reimbursements.) 
DESCRIPTION 
 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
05/01/2007 
Caputo, Richard GIFTS. (lllcludes those spouse and dependent children. See pp. 28-31 instructions.) 
IBJ NONE (No reportable gifts.) 
 
DESCRIPTION VALUE 
 
 
VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
IBJ NONE (No reportable liabilities.) 
 
DESCRIPTION VALUE CODE 
 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Date Report 
Caputo, Richard 
05/01/2007 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Gross value end reporting period Transactions during reporting period 
(1) Type (e.g. buy, sell, redemption) (2) Date Month-Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (if private transaction) 
Description Assets (including trust assets) 
Place (X) after each asset exempt from prior disclosure Income during reporting period 
(1) 
Amount 
Code 
 
(A-H) 
(2) 
Type (e.g. 
div., rent, int.) 
 
(1) 
Value Code (J-P) 
(2) 
Value Method Code3 
(Q-W) 
Dividend -Acco Brands Corp. -Common Stk Sold 11/6 -Allergan Inc. -Common Stk Sold 1/19 -Amgen Inc. -Common Stk Buy 1/19 VIS Budget Group, Inc. (formerly Cendant Corp.) -Bard C.R. Incorporated -Common Stk Buy 1/19 -Bard C.R. Incorporated -Common Stk Buy 2/22 -Burlington Resources, Inc. -Common Stk Sold 4/3 -Carnival Corp k/n/a Carnival New Paired -Common Stk 
10. -Chevron Corp. -Common Stk Buy 11/17 
11. -CISCO Systems Inc. -Common Stk 
12. -Citigroup Inc. -Common Stk 
13. -Chicos FAS Inc. -Common Stk Sold 11/6 
14. -ConocoPhillips -Common Stk Partial Sale 2/22 
15. -Cooper COS Inc. -Common Stk Sold 1/19 
16. -Dominion Res. Inc.VA NEW -Common Stk Sold 11/16 
17. -Dow Chemical Co. -Common Stk Income Gain Codes: {See Cotilrnns and 04) Value Code (See Columns and 03) Value Method Codes ($ee Column CZ) =$1,000 less =$50,001 -$100,000 =$15,000 Jess =$250,001 -$500,000 =$25,000,001 -$50,000,000 ==Appraisal ==Book Value =$1,001 -$2,500 =$100,001 -$1,000,000 =$15,001 -$50,000 0$500,001 -$!,000,000 =Cost (Real Estate Only) =Other =$2,501 -$5,000 =$1,000.001 -$5,000,000 =$50,001 -$100,000 =$1,000,001 -$5,000,000 =More than $50,000,000 =Assessment =Estimated =$5,001 -$15,000 =More than $5,000,000 =$100,001 -$250,000 =$5,000,001 -$25,000,000 =Cash Markel =$15,001 -$50,000 
SEE ACCOUNTANTS COMPILATION REPORT 
 
 
05/01/2007 
Caputo, Richard 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) duringIn corn reporting period ross value end reporting period D. Transactions during reporting period 
 
(2) 
(1) 
(2) 
(5) 
Amount 
Value 
Place (X) after each asset 
Type (e.g. 
Value 
Gain 
Date 
Value 
Identity 
Type (e.g. 
Code 
Code 
div., rent, 
Method 
Code 
buy, sell, 
Month- 
Code 
buyer/seller 
exempt.from prior disclosure 
(A-H) 
Code int.) 
(J-P) 
redemption) 
Day 
(A-H) 
(if private transaction) 
(Q-W) 
18. -Fortune Brands Inc. -Common Stk 
19. -Fortune Brands Inc. -Common Stk Buy 2/22 
20. -General Electric Company -Common Stk 
21. -Goldman Sachs Group Inc. -Common Stk 
22. 23. -Ingersoll Rand Company Ltd Class -CommonStk -Johnson Johnson -Common Stk Sold 11/16 
24. -LPL Premier Money Market Shares Sold Var 
25. -Microsoft Corp. -Common Stk 
26. -Panera Bread Company -Common Stk 
27. -Plantronics Inc. -Common Stk 
28. 29. -Realogy Corp. (spinoff from Cendant Corp.) -Common Stk -SCP Pool Corp. -Common Stk Sold 02/22 
30. -Sovereign Bank -Insured Cash Account Opened 
31. -Symantec Corp. -Common Stk Sold 11/16 
,32. 33. -Veolia Environment Spon ADR -Common Stk -Watts Water Technology -Common Stk Buy Buy 11/16 2/22 
34. -Wyndham Worldwide Corp. (spinoff from Income Gain Codes: =-$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Oilumns and 04) =$50,001 -$100,000 =$100,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,0QI -$250,000 
{See Columns and 03) =$250,001 -$500,000 =$500,001-$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001  $25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Oist (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Oilumn C2) Q=Appraisal V::::Other =Assessment =Book Value =Estimated 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
05/01/2007 
Caputo, Richard 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing 
instructions.) NONE (No reportable income, assets, transactions.) 
-- Description Assets (including trust assets) Income during reporting period Gross value end reporting period Transactions during reporting period  
 
(2) 
(1) 
(2) 
(1) 
Place (X) after each asset Amount Type (e.g. Value Value 
exempt from prior disclosure Code div., rent, Code Method 
(A-H) int.) (J-P) Code 
(0-W) 
 
Type (e.g. buy, sell, redemption) Date Month-Day 
Value Gain Identity 
Code Code buyer/seller 
(J-P) (A-H) (if private 
transaction) 
 
Cendant Corp.) 
35. -Yahoo Inc. -Common Stk Buy 02/22 
36. IRA#l Dividend 
37. -Apollo Group Inc. -Common Stk Buy 03/02 
38. VIS Budget Group, Inc. (formerly Cendant Corp.) 
39. -Bristol Myers Squibb Co. -Common Stk Sold 11/16 
40. -Carlisle Companies Inc. -Common Stk 
41. -Chevron Corp. -Common Stk Buy 11/17 
42. -Chicos FAS Inc. -Common Stk Sold 11/03 
43. -Citigroup Inc. -Common Stk 
44. -Cooper COS Inc. NEW -Common Stk 
45. -Dell Inc. -Common Stk Sold 11/03 
46. -Dupont E.I. Nemour Company -CommonStk 
47. -!shares NASDAQ Biotech Index Fund 
48. -JDS Uniphase Corp. -Common Stk 
49. -Leucadia National Corp. -Common Stk 
50. -LPL Premier Money Market Shares Sold Var Income Gain Codes: =$1,000 Jess =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,001 -$100,000 =$!00,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001-$250,000 
(See Columns and 03) =$250,001 -$500,000 =$500,00I -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Oilumn C2) =Apprajsal V=Other =Assessment =Book Value =Estimated 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Date Report 
Caputo, Richard 
OS/0112007 
VII. INVESTMENTS and STS --i11come, value, transactions (Includes those the spouse a11d depende11t children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(inducting trust assets) 
 
Place (X) after each asset exempt from prior disclosure 
Income during period 
(2) 
Amount Type (e.g. Code 
div., rent, (A-H) int.) 
Gross value end Transactions during reporting period 
reporting period (1) Type (e.g. buy, sell, redemption) (2) (3) (4) Date Value Gain Month-Code Code Pay (J-P) (A-H) (5) Identity buyer/seller (if private transaction) 
(1) Value Code (J-P) (2) Value Method Code (Q-W) 
 
Sl. -Lucent Technologies Inc. -Common Stk Sold 04/25 
52. -Microsoft Corp. -Common Stk 
53. -Pfizer Incorporated -Common Stk 
54. -Plantronics Inc. -Common Stk 
SS. -Precision Castparts Corp. Common Stk 
56. -PHH Corporation -Common Stk Sold 11/03 
57. -Realogy Corp. (spinoff from Cendant Corp.) -Common Stk 
58. -Sirius Satellite Radio Ind -Common Stk 
S9. -Sovereign Bank -Insured Cash Account Opened 
60. -Symantec Corp. -Common Stk Sold 04/2S 
61. -Veolia Environment Spon ADR -Common Stk Buy 11/16 
62. -Wheeling Pittsburgh Corp. -Common Stk Sold 11/08 
63. -Wheeling Pittsburgh Corp. -Common Stk Sold 11/08 
64. -Wheeling Pittsburgh Corp. -Common Stk Sold 11/08 
65. -Whole Foods Market Inc. -Common Stk 
66. -Wyndham Worldwide Corp. (spinoff from Cendant Corp.) 
67. Eastern Penn S.D. Bond Interest Income Gain Codes: =-$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See lumns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001-$250,000 
(See Columns and D3) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 ,,$5,000,001 -$25,000,000 Value Method Codes =$25;000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(Sec Column C2) ::::Appraisal =Other =Assessment ::::Book Value =Estimated 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Date Report 
Caputo, Richard 
05/01/2007 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 
 
Place (X) after each asset exempt from prior disclosure 
Income during reporting period 
(1) 
Amount Code (A-H) 
(2) 
Type (e.g. 
div., rent, int.) 
Gross value end reporting period 
(1) Value Code (J-P) (2) Value Method Code 
(Q-W) 
(1) Type (e.g. buy, sell, rede!T!plion) 
---- Transactions during reporting period 
(2) Date Month-Day 
(3) 
Value Code (J-P) 
(4) 
Gain Code (A-H) 
(5) 
Identity buyer/seller (if private transaction) Income Gain Codes: =$1,000 less =$1,001 -.$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1;000;001 -$5,000,000 =More than $5,000,000 Value Codes :::$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(See Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001-$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Esta Only) More than $50,000,000 =Cash Market 
(See Column C2) =Appraisal V;::::Other =Assessment =Book Value =Estimated 
 
SEE ACCOUNTANTS COMPILATION REPORT 
Caputo, Richard 
05/01/2007 
VII. INVESTMENTS and STS income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets 
Gross value end Transactions during reporting period 
(including trust assets) reporting period 
(3) 
Value exemptfrom prior disclosure 
Place (X) after each asset Code (J-P) 
Income during 
eporting period 
(1) Amount Code (A-H) (2) Type (e.g. div., ren int.) (1) Value Code (J-P) 
 
 
(2) (1) (2) 
Value Type (e.g. Date 
Method buy, sell, Month- 
Code redemption) Day 
(Q-W) 
 
(4) 
Gain Code (A-H) 
(5) 
Identity buyer/seller (if private transaction) 
85. Wheeling Pittsburgh Corp. -Common Stk None Sold 11/08 
86. Capital One FSB McLean Certificate Deposit None Buy 11/16 
87. Discover Bank Greenwood Certificate Deposit Interest Redemption 05/11 
88. Federal Trust Bank Certificate Deposit Interest Redemption 10/16 
89. Georgian Bank Atlanta Certificate Deposit None Buy 11/16 
90. GMAC Automotive Bank Midvale Certificate Deposit None Buy 09/28 
91. Irwin Union Bank Trust Certificate Deposit Interest 
92. Mercantile Bank West Michigan Certificate Deposit Interest Redemption 10/16 
93. Lehigh County IDA Municipal Bond Interest 
94. Line Mountain Municipal Bond Interest 
95. Northampton ASD Bond Interest 
96. Westmont Hilltop Municipal Bond Interest 
97. cres vacant land -Orange County, ida None Income Gain Codes: =$1,000 orless =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,001 -$100;000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,-000 450,001 -$100,000 =$100,001 -$250,000 
(See Columns and 03) =$250,001-$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25.000,001 -$50.000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Column C2) Q=Appraisal V=Other =Assessment ==Book Value =Estimated 
 
SEE ACCOUNTANTS COMPILATION REPORT 
Caputo, Richard 
05/01/2007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Indicale parlofReport.) 
Part VII -Line -Information reported, prior years, represents 100% the trust assets. However, the reporting persons one three equally the trust. 
Part VII -Lines 24, 50, 73, 78, -LPL Premier Money Market Shares cash account that used hold funds until investment assets are purchased. such, there were multiple purchase and sale transactions during the year (never gain loss) until these accounts were eventually liquidated during 2006. 
-Line -Orange County, Florida property -Information reported, prior years, represents 100% the value. However, the reporting persons one three individuals who own the property equal shares. 
SEE ACCOUNTANTS COMPILATION REPORT 
05/01/2007 
Caputo, Richard 
 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 
Signature 
 
AND CRIMINAL SANCTIONS U.S.C. app.  104) 
 
FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 
 
SEE ACCOUNTANTS COMPILATION REPORT