Bruce W Kauffman Financial Disclosure Report for 2007
Number of Pages:9
Date Created:November 19, 2008
Date Uploaded to the Library:November 13, 2013
Autogenerated text from PDF
Government Act 1978 Rev. 112008 FOR CALENDAR YEAR 2007 U.S.C. app. 101-111) Person Reporting (last name, first, middle initial) KAUFFMAN, BRUCE Court Organization W.S. DISTRICT COURT, EASTERN Date Report 05/05/2008 Title (Article Ill 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 [ZJ Annual Sb. Amended Report Final Reporting Period 01/01/2007 12/31/2007 Chambers Office Address ROOM 5613, U.S. COURTHOUSE 601 MARKET STREET PHILADELPHIA, 19106 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date IMPORTANT NOTES: The instructions accompanying thisfonn must be--foUowed. Complete all parts, checking the NONE box for each part where you have reportable infonnation. Sign 011 last page. SITI NS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) POSITION DIRECTOR FEDERAL JUDGES ASSOCIATION II. AGREEMENTS, (Reporting irtdividrrnl only; see pp.14-16 offilirtg instructions.) ..,., o-U):Z c::l> c:o :3:: ;l;> ::0 (") [ZJ NONE (No reportable agreements.) PARTIES AND TERMS :::0 ;z: O)> .,, "'() Date Repor1 KAUFFMAN, BRUCE 05/05/2008 III. N-INVESTMENT ME, (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) 2007 PENN MUTUAL LIFE INSURANCE -ANNUITY DISTRIBUTION 00,000.00 Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. (Dollar amo11nt 1101 required except for honoraria.) SOURCE AND TYPE 2007 SELF-EMPLOYED MARKETING DESIGNER (SEE NOTE 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 FEDERAL JUDGES ASSOCIATION ANNUAL MEETING NEW YORK INTELLECTUAL PROPERTY LAW ASSOCIATION MAYS, 2007 MARCH 23,2007 WASHINGTON, D.C. NEW YORK,NY ANNUAL BOARD MEETING ANNUAL DINNER MEALS AND HOTEL MEALS AND HOTEL Date Report KAUFFMAN, BRUCE 05/05/2008 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) [2J NONE (No reportable gifts.) SOURCE VALUE VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE ACS INC. STUDENT LOAN SUNBANK TRUST MORTGAGE MORTGAGE DAUFUSKIE ISLAN, PROPTERTY HELD FOR None INVESTMENT Date Report KAUFFMAN, BRUCE 05/05/2008 VII. INVESTMENTS and TRUSTS --income, vatue, transactions 11nctudes those spouse and dependent children; see pp. 34-60 filing instructions.1 NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income during Gross value end Transactions during reporting period reporting period reporting period (2) (2) (1) (3) (1) (5) Amount Type (e.g., Value Value Type (e.g., Identity Code buy, sell, Method buyer/seller (A-H) int.) (J-P) (J-P) redemption) Code (if private (A-H) transaction) (Q-W) PENNSYL ANlA BUSINESS BANK CHECKING Interest WOMEN'S INVESTMENT NETWORK Int./Div. CANTONE RESEARCH -IRA see note lnt./Div. CANTONE RESEARCH -IRA (SEE NOTE Distribution SELIGMAN COMUI FDB SELL 1/17 WESTERN ASSET EMERGING MARKETS INCOME INC (SEE NOTES) SELL 1/17 FIRST TRUST SENIOR LOAN HIGH YIELD BUY 1/17 ADVANTAGE ENERGY INCOME BUY 1/18 BONA VISTA ENERGY TRUST BUY 1/18 10. ENTERRA ENERGY TRUST BUY 1/18 11. TRA VELCENTER AMERICA SELL 2/06 12. CAROLINA GROUP PARTIAL SELL 2/06 13. HOSPITALITY PROPERTIES REIT TRUST SELL 3/5 14. MORGAN STANLEY MTNRO SELL 04/10 15. GENERAL ELECTRIC CO. PARTIAL SELL 04/11 16. GENERAL ELECTRIC CO. PARTIAL SELL 6/12 17. GENERAL ELECTRIC CO. PARTIAL SELL 7/9 Income Gain Codes: =Sl,000 Jess =Sl,001 -$2,500 =S2,501 -$5,000 =S5,001 -$15,000 =515,001 -S50,000 (See Columns and 04) =$50,001 -$100,000 =Sl00,001 -Sl,000,000 =Sl,000,001 -$5,000,000 =More than $5,000,000 2-Value Codes =SIS,000 less =$15,001 -$50,000 =S50,001 -SJ00,000 =SI00,001 -$250,000 (See Columns and 03) =$250,001 -$500,000 =$500,001 -$1,000,000 =Sl,000,001 -$5,000,000 =55,000,001 -$25,000,000 =S25,000,00I -$50,000,000 =More than $50,000,000 Value Method Codes Q=Appraisal =Cost (Real Estate Only) =Assessmenl =Cash Market (See Column C2) =Book Value =Other =Eslimaled Date Report KAUFFMAN, BRUCE 05/05/2008 Vil INVESTMENTS and TRUSTS -income, vatue, transactions rinctudes those spouse and dependent children; see PP 34-60 filing instructions.; NONE (No reportable income, assets, transactions.) :-Descripti Assets 1-Gr:ss val end (including trust assets) reporting period reporting period Place "(X)" after each asset Amount Type (e.g (2) Type Value Gain Identity Iexempt from prior disclosure Code div., rent, Code buy, sell, -Code Code buyer/seller (A-H) int.) Day (A-H) (if private (J-P) (J-P) L__L___ _13!1=ctoJ_- 18. CAROLINA GROUP PARTIAL SELL 9/21 19. CAROLINA GROUP BUY 9/21 20. GENERAL ELECTRIC CO. PARTIALSELL 12/10 21. ADVANTAGE ENERGY INCOME SELL 12/12 22. BONA VISTA ENERGY TRUST BUY 12/12 23. FIRST TRUST HIGH YIELD C/E PORT BUY 12/12 24. EVERGREEN INSTITUTION FD(SEE NOTE 25. ANNALY MTG MGMT INC. REIT 26. EMERGE INTERACTIVE, INC. 27. HEALTHFUSION.COM 28. SAFEGUARD SCIENTIFIC 29. PUBLIC STORAGE CUMULATIVE PERPETUAL PFD 30. GENERAL MOTOR ACCEPTANCE NOTES 31. NUVEEN QUALITY PREFERRED INCOME FUND 32. CSP DEBT ACCOUNT LLC None 33. HPH -POPLAR STREET ASSOCIATES Distribution 34. HOLLIDAYSBURG ASSOCIATES, L.P. Distribution Income Gain Codes: 1,000 Jess =Sl ,001 -$2,500 =$2,501 "$5,000 =S5,001 -$15,000 =$15,001 -$50,000 (See Columns and 04) =S50,001 -$100,000 =5100,001 -s1,ooo,ooo =$1,000,001 -$5,000,000 =More lhan $5,000,000 Value Codes 15,000 less =515,001 -$50,000 =$50,001 -SI00,000 =SI00,001 -$250,000 (See Columns and 03) =5250,001 -$500,000 =$500,001 -$1,000,000 =Sl,000,001 -$5,000,000 =$5,000,001 -$25,"IJ0,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes (Seo Column C2) =Appraisal =Book Value :=Cost (Real Estate Only) =Olher =Assessment =Estimated =Cash Market Date Report KAUFFMAN, BRUCE 05/05/2008 VII. INVESTMENTS and TRUSTS --income, ,,a1ue, transactions r1nc1udes those spouse and dependent children; see pp. 34-60 filing instructions.; NONE (No reportable income, assets, transactions.) Description Assets Income during (including trust assets) reporting period (1) Place "(X)" after each asset Amount exempt from prior disclosure Code (A-H) ___.____________________ _J_______...... ___ (2) Type (e.g., div., rent, int.) Gross value end reporting period Value Code (J-P) (2) Value Method Code (Q-W) (1) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) Date Month Day ----------l (3) (4) (5) Value Gain Identity Code Code buyer/seller (J-P) (A-H) (if private transaction) 35. HOLLIDAYSBURG LAND ASSOCIATES, None 36. INVESTMENT PROPERTY, DAUFUSKIE ISLAND, (SEE NOTE SALE 10/5 37. CAPE SAVINGS BANK Interest 38. MOSAIC FUNDS Dividend Income Gain Codes: =$1,000 less ,om -s2,5oo =52,501 -55,000 =S5,001 -SJ5,000 =515,001 -550.000 (See Columns and 04) =S50,001 -$100,000 =SI00,001 -SJ ,000,000 =Sl,000,001 -$5,000,000 1-12 =More than $5,000,000 Value Codes =SlS,000 Jess =515,001 -S50,000 =S50,00J -SJ00,000 =SI 00,001 -$250.000 (See Columns and 03) =5250,001 -$500,000 =S500,001 -s1,ooo.on 1,000.001 -$5,000,000 =S5.000,00J -525,000,000 =$25,000,001 -S50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessmcnl =Cash Market (See Column C2) =Book Value =Other =Es1ima1ed Date Report KAUFFMAN, BRUCE 05/05/2008 VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicalepartofReport.) FROM 2007 REPORT, PART Vll, LINE AND -SAME ACCOUNT. BROKEN OUT SHOW DIFFERENT ASPECTS INCOME. TOTAL VALUE ACCOUNT REPORTED LINE 2.) FROM 2007 REPORT, PART VII, LINE -EVERGREEN INSTITUION -MONEY MARKET ACCOUTN USED HOLD IDLE CASH. 3.) FROM 2007 REPORT, PART VII, LINE -INVESTMENT PROPERTY, DAUFUSKIE ISLAND SC, WAS SOLD DURING Tiffi YEAR. Tiffi PROPERTY REPORTED THE I.R.S. HAD COST BASIS $76,316 AND GROSS SALES PRICE $85,000. THERE CREATING GAlN $8,684, ADDITIONAL INCOME WAS EARNED THIS PROPERTY DURING Tiffi YEAR. 4.) FROM 2006 REPORT, PART VII LINES AND -BANK DEPOSIT SWEEP EVERGREEN INSTITUTION -TRANSFER MONEY SHOWN 2006 REPORT. 5.) FROM 2007 REPORT, PART VII LINE -RENAMED WESTERN ASSET EMERGING MARKETS FROM SALOMON BROS EMERGING MKTS SEE 2006 REPORT. 6.) FROM 2006 REPORT, PART VII, LINE 16, ADVANTAGE ENERGY TRUST REPORTED ADVANTAGE ENERGY INC. 2007 REPORT. 7.) FROM 2007 REPORT, PART lll-B, LINE -SELF-EMPLOYED MARKETING DESIGNER-DURING THE YEAR THIS COMPANY MADE DIVIDEND DISTRUBTUION $15,000. Date Report KAUFFMAN, BRUCE 05/05/2008 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. NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FlLE THIS REPORT MAY SUBJECT CIVIL 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 July 18, 2008 ,_.., (.!) t.--:; ;;J Honorable Ortrie Smith, Chair r11 I'- Judicial Conference the United States Committee Financial Disclosure :.-. ,,.., .... 'f', One Columbus Circle, N.E. Washington, 20544 a:. '1r -::: l'TI Re: Calendar Year 2007 Filing Response Letter Dated July 2008 Dear Judge Smith: page the letter you reference Part VII, page line 11, and page Jines and 38, "Travelcenter America," "Cape Savings Bank," and "Mosaic Funds". All these assets were previously own'ed, but were exempt from disclosure because their income and values were below the reporting thresholds, and should have had parenthetical "(X)" alongside the name each asset instructed the heading Column have included copy the original letter that this letter formally responding to. requested, three copies this letter are being included with the response.