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Judicial Watch • A Caputo Richard – 2011

A Caputo Richard – 2011

A Caputo Richard – 2011

Page 1: A Caputo Richard – 2011

Category:Federal Judges

Number of Pages:10

Date Created:February 26, 2013

Date Uploaded to the Library:September 04, 2014

Tags:A Richard Caputo, Insured, Caputo, ACCOUNTANTS, COMPILATION, deposit, account, Richard, 2011, stock, Codes, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Government Act 1978 FOR CALENDAR YEAR 2011 U.S.C. app. IOI-! II) Person Reporting (last name, first, middle initial) Caputo, Richard Court Organization U.S. Dist. Ct. M.D. Date Report 05/08/2012 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. District Judge -Senior Sa. Report Type (check appropriate type) Nomination Date Initial [{J Annual Sb. Amended Report Final Reporting Period 01/01/2011 12/31/2011 Chambers Office Address 
197 South Main Street 
Wilkes-Barre, 18701 
 
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box/or each part where you have reportable information. Insert signature last page. POSIT! ONS. (Reporting individual only; see pp. 9-13 filing instructions.) 	NONE (No reportable positions.) POSITION NAME ORGANIZATION/ENTITY Co-Trustee 
 
Trust Co-Executor 	Estate# 
 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 
 
instructions.) 
[{] NONE (No reportable agreements.) 
 
PARTIES AND TERMS 
 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income [{] NONE (No reportable non-investment income.) 
SOURCE AND TYPE INCOME (yours, not spouses) Spouses Non-Investment Income you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
[{] NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 
 
IV. REIMBURSEMENTS -transportation, lodging, food, entertainment. 
(Includes those spouse and dependent children; see pp. 25-27 filing instructions.) [{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Date Report 
Caputo, Richard 
05/08/2012 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) [{] NONE (No reportable gifts.) SOURCE DESCRIPTION 
 
 
VI, LIABILITIES, (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) [{] NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 
 
 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Name Person Reporting 
Date Report 
Caputo, Richard 
05/08/2012 
VII. INVESTMENTS and TRUSTS --income, vatue, transactions (Includes 11tose spouse and dependent c1tildren; .ee PP 34-60 filing instructfons.J NONE (No reportable income, assets, transactions.) Description Assets Income during Gross value end Transactions during reporting period (including tfust assets) reporting period reporting period 
(2) (I) 
(2) (4) (5) 
Place after each asset Amount Type(e.g., Value Value Type (e.g., Date Value Gain Identity 
exemptfroin prior disclosure Code dlvii rnt, Code2 Mefhod buy, sell, mm/dd/yy Code2 Code buyer/seller 
(A-H) orfot.) Code3 redemption) (J-P) (A-H) (if private 
transaction) Trust Int./Div. -Bard C.R. Incorporated -Common Stk -Bank Whitman Colfax, WA, 3.00% Cert Dep, due 03/12/12 -Carnival Corp Paired CTF common stock Redeemed 08/10/11 -Chevron Corp. -Common Stk -ConocoPhillips -Common Stk -Coming, Inc. -Common Stock -Dow Chemical Co. -Common Stk -Intel Corp -Common Stock 
10. -Johnson Johnson -Common Stk 
11. -LPL Insured Cash Account 
12. -Merck Company, Inc. -Common Stock 
13. -Microsoft Corp. -Common Stk 
14. -Noble Corp -Common Stock 
15. -PPL Corp -Common Stock 
16. 17. -Veolia Enviroment Spon ADR -Common Stock -Waste Management, Inc. -Common Stock Income Gain Codes: =$1.000 less =$1,00 -$2,500 =$2,501 -$5,000 0=$5,001 -$15,000 =$15,001 -$50.000 
(Sec Columns and D4) =$50.001 -$100,000 =$100.00 -$1,000.000 =$!,000,001-$5.000,000 =More than $5.000,000 Value Codes =$15,000 less =$15.001 -$50,000 =$50,001 -$100,000 =$100.00 -$250.000 
(Sec Columns and D3) =$250.001 -$500.000 =$500,00 -$1,000.000 =$1.000,001 -$5,000,000 =$5,000.001 -$25,000.000 =$25.000.001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value V=Othcr =Estimated 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Date Report 
Caputo, Richard 
05/08/2012 
VII. INVESTMENTS and TRUSTS --income, va/11e, transactions (lnc/11des tltose ofspo11se anti dependent cltiltlren; see PP 34-60 filing instr11ctions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreporting period 
 
(I) (2) (I) (I) (2) (3) (5) 
Place (X) after each sset Amount Type,(e.g., Value Value Type (e.g., Date Value Gain Identity 
exempt from prior disclosure Code div:fent, Code2 Method buy, sell, mm/dd/yy Code2 Code buyer/seller 
oririt.) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) 
 
18. -Western Digital Corp-Common Stock 
19. IRA#! lnt./Div. 
20. -Am. Exp. Centurion Bank, 1.75% Cert Dep, due 09/16/11 Redeemed 09/16/11 
21. -Bank Whitman, 3.00% Certificate Deposit, due 03/12/12 Redeemed 08/10/11 
22. -Chevron Corp. -Common Stock 
23. -Frontier Communications Corp. -Common Stock 
24. -Leucadia National Corp. -Common Stock 
25. -LPL Insured Cash Account 
26. -McDonalds Corp. -Common Stock 
27. -PPL Corp. -Common Stock 
28. -Verizon Communications, Inc. -Common Stock 
29. -Whole Foods Market Inc. -Common Stock 
30. -Am. Exp. Centurion Bank, 1.15% Cert Dep, due 12/09/13 Buy 11/30/11 
31. Ally Bank, 2.00% Certificate Deposit, due 05/14/13 Interest 
32. Branch Banking Trust Co., 3.00% Cert Dep, due 03/ 12/12 Interest 
33. Goldman Sachs Bank USA, 3.05% Cert Dep, due 02/13/12 Interest 
34. LPL Financial Insured Cash Account Interest Income Gain Codes: =$1.000 less B=$1,001 -$2.500 c=$2.501 -$5.000 0=$5,001 -$15,000 =$15,001-$50.000 
(Sec Columns and D4) F=$50.001 -$100,000 G=$100.001-$1.000.000 =$1,000.001 -$5.000.000 =More than $5.000.000 Value Codes J=$15.000 Jess K=$15,00! -$50,000 =$50,00I-$I 00.000 =$100.001 -$250.000 
(Sec Columns and 03) N=$250.00 -$500,000 0=$500,001 -$1,000.000 =$1,000,001 -$5,000,000 =$5,000.001 -$25.000.000 =$25.000.001  $50.000,000 P4=More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value V=Other =Estimated 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
 
Date Report 
Caputo, Richard 
05/08/2012 
VII. INVESTMENTS and STS --income, va/11e, transactions (lnc/11des those spo11se and dependent children; see PP 34-60 filing 
instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period ofreporting period 
 
(I) (2) (4) (5) 
Ainount  Place 
asset Type (e.g., 
after e.ach 
Code 
xempt from priotdisclosure 
(A-H) int.) (J-P) Code} redemption) (A-H) 
35. East West Bank, 0.45% Certificate Deposit, due 02/23/12 Interest Buy 02/15/11 
36. Luzerne Bank Accounts None 
37. Wells Fargo Bank -Insured Cash Acct (formerly Wachovia Bk) None 
38. Wachovia Bank -Money Market Account Interest Closed 01/18/11 
39. Wells Fargo Bank -Savings Account Interest Open 01/18/11 
40. IRA#2 Dividend 
41. -Whole Foods Market Inc. -Common Stk 
42. -LPL Financial Insured Cash Account 
43. Direct Group Inc. -Common Stk None 
44. NEWS Corp. -Common Stk Dividend 
45. Ally Bank, 2.05% Certificate Deposit, due 05/07/13 Interest 
46. Am. Express Centurion Bank, Cert Dep, due 09/16/11 Interest Redeemed 09/16/11 
47. Citi Bank, 3.8% Cert Deposit, due 05/14/12 Interest 
48. Goldman Sachs Bank USA, 3.05% Cert Deposit, due 02/13/12 Interest 
49. Keybank NA, 2.40% Certificate Deposit, due 11/14/11 Interest Redeemed 11/14/11 
50. LPL Financial Insured Cash Account Interest 
51. MBank, 1.60% Certificate Deposit due 1/28/11 Interest Redeemed 01/28/11 Income Gain Codes: =$1.000 less =$1,001  $2.500 =$2.501  $5,000 =$5,001-$15.000 =$15,00 -$50.000 
(Sec Columns and D4) F=$50.00I  $100.000 =$100.00 -$1.000.000 Ill =$1.000,001 -$5.000.000 112 =More than $5.000.000 Value Codes =$15.000 less K=$15,001 -$50.000 =$50.001  $100.000 =$100.001 -$250.000 
(See Columns and D3) =$250,00 -$500.000 =$500,001  $1,000.000 =$1.000.001 -$5,000,000 =$5,000.001  $25,000.000 =$25.000.00 -$50.000.000 =More than $50,000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value V=Othcr =Estimated 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Name Person Reporting 
Date Report 
Caputo, Richard 
05/08/2012 
VII. INVESTMENTS and STS --income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instr11ctions.) NONE (No reportable income, assets, transactions.) 
Description Assets. 
Income during Gross value end Transactions during reporting period (including trus.t 
assets) reporting period ofreportfog period 
(2) (2} (2) (5) Place (X) after 
each asset Amount Type (e.g., Valrie Valrie Type (e.g,, Dte Value Gain ldentity 
exemptfrom prio.r disclosure Code div., rent, Code2 Method buy, sell, mmldd/yy Code2 Code1 buyer/seller 
(A-H) int.) Code3 .redemption) (J-P) (A-H) (if private 
transaction) 
 
52. Sallie Mae Bank, 2.35% Certificate Deposit, due 0510611 Interest Redeemed 05/06/11 
53. East West Bank, 0.45% Certificate Deposit, due 02/23/J Interest Buy 02/15/J 
54. Am. Exp. Centurion Bank, 1.15% Cert Dep, due 12/09/13 None Buy 11/30/1 
55. acres vacant land -Orange County, Florida None 
56. Estate acres vacant land, Slocum Twp Luzerne Cty -PA None Income Gain Codes: =$1.000 less B=$1,001-$2.500 c=$2,501  $5,000 0=$5,001-$15,000 =$15,001 -$50,000 
(Sec Columns and 04) F=$50,001 -$100.000 =$100.00 -$1.000.000 =$1,000.001-$5.000.000 112 =More than $5.000,000 Value Codes J=$15.000 less K=$15,001 -$50,000 =$50,001  $!00,000 M=$100.001  $250.000 
(Sec Columns and 03) N=$250.001 -$500.000 0=$500,00I -$1,000.000 =$1,000,001 -$5,000,000 12=$5,000.001-$25,000,000 =$25.000.001 -$50.000.000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment T=Cash Market 
(Sec Column C2) =Book Value =Other W=Estimated 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Date Report 
05/08/2012 
Caputo, Richard 
Part VII -Line 
Trust -Information reported, prior years, represents 00% the trust assets. However, the reporting persons one 
three beneficiaries who share equally the trust. 
Part VII -Line -LPL Financial Insured Cash Account -Bank account(s) maintained LPL Financial which are made deposits various FDIC banks. Cash the insured cash account transferred various banks throughout the year the discretion LPL Financial. LPL Financial does not provide information the filer with respect the dates that the interbank transfers occur. Therefore, the filer precluded from indicating the open and close dates the underlying bank accounts where the cash has been invested. The filer cannot direct, influence any other manner control the transfer the cash from one financial institution another. 
Part VII -Line -LPL Financial Insured Cash Account -Bank account(s) maintained LPL Financial which are made deposits various FDIC banks. Cash the insured cash account transferred various banks throughout the year the discretion LPL Financial. LPL Financial does not provide information the filer with respect the dates that the interbank transfers occur. Therefore, the filer precluded from indicating the open and close dates the underlying bank accounts where the cash has been invested. The filer cannot direct, influence any other manner control the transfer the cash from one financial institution another. 
Part VII -Line LPL Financial Insured Cash Account -Bank account(s) maintained LPL Financial which are made deposits various FDIC 
banks. Cash the insured cash account transferred various banks throughout the year the discretion LPL Financial. LPL Financial does not provide information the filer with respect the dates that the interbank transfers occur. Therefore, the filer precluded from indicating the open and close dates the underlying bank accounts where the cash has been invested. The filer cannot direct, influence any other manner control the transfer the cash from one financial institution another. 
Part VII -Line -LPL Financial Insured Cash Account -Bank account(s) maintained LPL Financial which are made deposits various FDIC banks. Cash the insured cash account transferred various banks throughout the year the discretion LPL Financial. LPL Financial does not provide information the filer with respect the dates that the interbank transfers occur. Therefore, the filer precluded from indicating the open and close dates the underlying bank accounts where the cash has been invested. The filer cannot direct, influence any other manner control the transfer the cash from one financial institution another. 
Part VII -Line LPL Financial Insured Cash Account -Bank account(s) maintained LPL Financial which are made deposits various FDIC 
banks. Cash the insured cash account transferred various banks throughout the year the discretion LPL Financial. LPL Financial does not provide information the filer with respect the dates that the interbank transfers occur. Therefore, the filer precluded from indicating the open and close dates the underlying bank accounts where the cash has been invested. The filer cannot direct, influence any other manner control the transfer the cash from one financial institution another. 
-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. 
 
Part VII -Line This property Estate# 
 
 
SEE ACCOUNTANTS COMPILATION REPORT 
 
Date Report 
05/08/2012 
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: Richard Caputo 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
 
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 
 
 
ACCOUNTANTS COMPILATION REPORT 
The Honorable Richard Caputo 
United States District Court Scranton, Pennsylvania: 
 
designed for those who are not informed about such differences. 
The report intended solely for the information and use the Honorable Richard Caputo and The Committee Financial Disclosure, Administrative Office the United States Courts, and not intended be, and should not be, used anyone other than these specified parties. 
 
Wilkes-Barre, Pennsylvania May 2012