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Judicial Watch • Gene E Pratter Financial Disclosure Report for 2010

Gene E Pratter Financial Disclosure Report for 2010

Gene E Pratter Financial Disclosure Report for 2010

Page 1: Gene E Pratter Financial Disclosure Report for 2010

Category:Financial Disclosure

Number of Pages:19

Date Created:November 8, 2013

Date Uploaded to the Library:November 13, 2013

Tags:Pratter, Gene E Pratter, Brokerage, Growth, Retirement, 2010, Market, INVESTMENTS, EPA, transactions, dividend, IRS, Financial Disclosure, ICE, CIA, income, Judge


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Government Act 1978 FOR CALENDAR YEAR 2010 U.S.C. app.  101-1I1) Person Reporting (last name, first, middle initial) Pratter, Gene Court Organization U.S. District Court, E.D. Pa. Date Report 0412712011 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. District Judge  Sa. Report Type (check appropriate type) Nomination, Date Initial Annual Sb. Amended Report Final Reporting Period 01/01/2010 1213112010 Chambers Office Address 7614 United States Courthouse Sixth Market Streets Philadelphia, 19106-1752 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 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 filing instructions.) 	NONE (No reportable positions.) POSITION NAME ORGANIZATION/ENTITY Co-Trustee 	Trust#! 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[{] NONE (No reportable agreements.) 

PARTIES AND TERMS 

Pratter, Gene 

04127/2011 
Pratter, Gene 

III. N-INVES TMENT 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) 2010  University Pennsylvania Law School (Adjunct Professor)  $10,000.00 Spouse's Non-Investment Income -If 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 2010 Commonwealth Pennsylvania (Executive Deputy General Counsel) 

IV. REIMBURSEMENTS -transportation, /odging,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 

04127/2011
Pratter, Gene GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] 	NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) 	NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 
Bank America Credit Card 
East River Bank 	Mortgage Rental Property# Philadelphia, (Pt VII, Line 233) 

04/27/2011
Pratter, Gene 
VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

04/27/2011 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see pp. 34-60 filing instructions.J NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(I) 
(5) 
Place "(X)" after each asset exempt from prior disclosure  Amount Code (A-H)  Type (e.g., div., rent, int.)  Value Code2 (J-P)  Value Method Code3 (Q-W)  Type(e.g., buy, sell, redemption)  Date  Value Code  Gain Code  Identity blyer/seller (ifprivate transaction)  
18.  Schwab Money Market -Retirement  Dividend  

19. 
Thornburg Value -Retirement Dividend 

20. 
Janus Overseas -Retirement Dividend 

21. 
Janus Fund -Retirement Dividend 

22. 
Sound Shore -Retirement Dividend J11come Gain Codes:  A=$1,000or less =$1,001 -$2,500  c=$2,501 -$5,000 45,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04)  F=$50,00I -$100,000  G=$100,001 -$1,000,000 =$1,000,001 -$5,000,000  H2=More than $5,000,000 Value Codes  J=$15,000 less =$15,00I -$50,000  L=$50,001 -$100,000 =$100,001 -$250,000  
(Sec Columns and D3)  N=$250,001 -$500,000  0=$500,00I -$I ,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  T=Cash Market  
(See Column C2)  U=Book Value  V""Othcr =Estimated  

Date Report 
04/27/2011
Pratter, Gene 
VII. INVESTMENTS and income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value at.end  Transactions during  reporting per iod  
(including trust assets)  reporting period  ofreporting period  
(1).  (2)  (1)  (I)  (2)  
Place "(X)" after each asset  Amount  Type(e.g.,  Value  Value  Type(e.g.,  Date  Value  Gain    
exempt from prior disclosure  Code  div., rent,  Code2  Method  buy, sell,  Code2  Code  buyer/seller int.)  (J-P)  Code  redemption)  (J-P)  (ifprivate  

transaction) 
35. 
Federated Gov't -Retirement Dividend Sold 10/29/10 

36. 
Federated Gov't Ultrashort -Retirement Dividend Buy 11/01/10 

37.  First Eagle Overseas -Retirement  Dividend  
38. 39.  Hotchkis Wiley Mid Cap Value Retirement Artio International Equity -Retirement  Dividend None  Sold  08/ll/10  
40. 41. 42.  Morgan Stanley International Equity Retirement Morgan Stanley Emerging Markets Retirement Royce Micro Cap -Retirement  Dividend Dividend Dividend  
43.  Royce Opportunity -Retirement  None  
44.  Schwab Money Market -Retirement  Dividend  
45.  Westcore International Frontier -Retirement  Dividend  
46.  Westcore Mid Cap Value Retirement  Dividend  
47.  Westcore MIDCO Growth -Retirement  None  
48. 49.  William Blair International Growth Retirement Janus Fund -Retirement  Dividend Dividend  
50.  Janus Overseas -Retirement  Dividend  
51.  Hotchkis Wiley Large Cap Value -Retirement  Dividend Income Gain Codes:  A=$!,000 less =$1,001 -$Z,500  c=$Z,501 -$5,000  D=$5,001 -$15,000  E=$15,001 -$50,000  
(See Columns and D4)  F=$50,001 -$100,000 =$100,001 -$1 ,000,000 =$1,000,001 -$5,000,000  HZ=More than $5,000,000 Value Codes  J=$15,000 less  K=$15,001 -$50,000  L=$50,001 -$100,000  M=$100,001 -$Z50,000  
(Sec Columns and 03) =$Z50,00I -$500,000  0=$500,001 -$1 ,000,000 =$1,000,001 -$5,000,000 =$5,000,00 -$Z5,000,000 =$Z5,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Apprnisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column CZ)  U=Book Value  V=Othcr  W=Estimated  

0412712011 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those 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  TransactiOils during reporting period  
Place "(X)" after each asset exempt from prior disclosure  (1) Amount Code {A-H)  Type (e.g., div., rent; int.)  Value Code2 (J-P)  Value Method Code (Q-W)  Type(e.g: buy,8"!1, redemption)  Date  Value Code2 (J-P)  Identity buyer/seller (if private transaction)  
52.  Royce Value Plus -Retirement  Dividend  

53.  Third venue International Value  Dividend  
Retirement  
54.  Turner Core Growth -Retirement  Dividend  
55.  William Blair Large Growth -Retirement  Dividend  

56. Adams Harkness Small Growth -Retirement None 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)  F=$50,00J -$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 03) =$250,001 -$500,000 =$500,001 -$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  Q=Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

Pratter, Gene 
04/27/2011 
VII. INVESTMENTS and -income, va1ue, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets  Income during  Gross vallle end  Transactions during reporting period  
(including trust assets)  reporting period  
(2)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Type.(e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Metbotf  sen;  Code2  Code  buyer/seller int.)  (J-P)  redemption)  (if private  
transaction)  

Janus Overseas -Trust Dividend 
70. Artio International Equity -Trust# None Sold 08/11/10 
Morgan Stanley International Equity -Trust Dividend Income Gain Codes: =$1,000 less 41,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,00 -$100,000 =$100,00! -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes ,000 les =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000  
(Sec Columns and D3) =$250,00I -$500,000 =$500,001 -$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 =Other =Estimated  

Date Report 

04/27/2011 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
86. 
Metropolitan West Total Return -Trust Dividend 

87. 
Thornburg International Value -Trust# Dividend Buy 08/12/10 

88.  William Blair Small Cap Growth -Trust#  None  Buy  09117/10  
89.  Baron Growth -Brokerage  None  Sold  06/10/10  
(part)  

90. 
Baron Growth -Brokerage None Buy 12/09/10 (add'!) 

91. 
DFA Tax Mgd Marketwide Value-A Dividend Sold 06/10/10 

Brokerage 

J.. Income GainTQdCS:  A=$l ,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000  E=$15,001-$50,000  
(See Columns and 04) =$50,00 -$100,000 =$100,001 -$1,000,000 =$I,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  
(Sec Columns and 03) =$250,001 -$500,000 =$500,001 -$I ,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  R=Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

04/27/2011
Pratter, Gene 
VII. INVESTMENTS and income, value, transactions (Includes those spouse 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 
(2) (2) 	(2) 
Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity exempt from prior diclosure div.,rent, Code2 Method buy, sell, Code2 Code buyer/seller
Code 
(A-H) int.) (J-P) 	Code redemption) (J-P) (if private (Q-W) 
transaction) 
103. 	
Federated Short Term Muni -Brokerage Dividend Sold 06/24/10 
(part) 

104. 	
Federated Short Term Muni -Brokerage# None Buy 11/08/10 
(add'!) Jncome Gain Codes: =$1,000 Jess =$1,001  $2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See ColUII1lls and 04)  F=$50,00I -$100,000 =$100,00 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 Jess =$15,00I -$50,000 =$50,001 -$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 =$25,000,001  $50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Jue =Other =Estimated  

04/27/2011
Pratter, Gene 
VII. INVESTMENTS and TRUSTS income, vatue, transactions (Includes those spouse and dependent children; see PP 14-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during  reporting period  
(including trust assets)  reporting period reporting  
(!)  (!)  (2)  (!)  (2)  (5)  
Place "(X)" after each asset  Amount  Type(e.g.,  Value  Value  Type(e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code2  Method  buy, sell,  Ccide2  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (ifprivate  
transaction)  

120. 
Sound Shore -Brokerage None Buy 11/08/I (add'l) 

121. 
Sound Shore -Brokerage None Buy 12/09/10 (add'!) 

122. 
Westcore MIDCO Growth -Brokerage None Sold 06/10/10 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 D4) =$50,00 I00,000 =$!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  
(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 =Other =Estimated  

Date Report 

04/27/2011 
VII. INVESTMENTS and income, value, transactions (Includes those 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 ofreporting period  Transactions during reporting period  
Place "(X)" after each asset exempt from prior disclosure  Amount Code (A-H)  (2) Type (e.g., div., rent, int.)  Value Code2 (J-P)  (2) Value Method Code3 (Q-W)  Type(e;g;, redemption)  Date  Value Code2 (J-P)   . buyer/seller priyate transaction)  
137.  William Blair Large Growth -Brokerage  Dividend  Sold (part)  06/10/10  

138. 
William Blair Large Growth -Brokerage None Buy 11/08/10 (add'!) 

139. 
William Blair Large Growth -Brokerage None Buy 12/09/10 (add'!) 

140. 
William Blair Mid Growth -Brokerage None Sold 06/10/10 (part) 

141. 
William Blair Mid Growth -Brokerage None Buy 11/08/10 Income Gain Codes: =$I 0000 less =$10001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,00I -$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 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those spouse and dependent children; see pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

04/27/2011
Pratter, Gene 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 

04/27/2011
Pratter, Gene 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent children; see pp. 14-60 filing instructions.)  NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  
(2)  (4)  
Place "(X)" after each asset  (e.g.;  Value  Type (e.g.,  Date  Value  Gain,  Identify of,  
exempt  prior disclosure  Code,!  div.,rent,  Code2  Method  ,buy, sell,  mmldd/yy  Code  Code  buyer/seller int.)  (J-P)  Code3  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

188. Emerging Markets Core Equity Dividend Retirement Income Gain Codes: =$1,000 less  B=$1,001-$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001-$50,000  
(See Columns and D4)  F=$50,001-$l00,000 =$J OO,OOl-$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 =$5,000,00 -$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  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
Pratter, Gene 
04/27/2011 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactfons during  reporting period  
(including trust assets)  reporting period  ofreporting period  
(1)  (2)  (1)  (2)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type(e:g.,  Date  Value  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy; sell,  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (if private  
(Q-W)  transaction)  

205. 
Royce Value Plus -Retirement Dividend 

206. 
Schwab Money Market -Retirement Dividend 

207. 
Third venue International Value Dividend Retirement 

l.Income Gain Codes: =$1.000 less =$1,001 -$2,500 =$2,50 -$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  J=$15,000orless =$15,001 -$50,000 =$50,001 -$100,000 100,001 -$250,000  
(Sec Columns and 03) =$250,001 -$500,000 =$500,00 -$1,000,000 =$1,000,001 -$5,000,000  P2=$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 =Other =Estimated  

04/27/2011
Pratter, Gene 
VII. INVESTMENTS and -income, value, transactions (Includes those spouse 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 reporting  
(2)  (4)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  -Type(e.g.,  Date  value  Jdentiiy  
exempt from prior disclosure  Code  div., rent,  Code2  Method  buy, sell,  Code2  Code  buyer/seller  
(A-H)  oririt.)  (J-P)  Code  redemption)  (J-P)  (if private  
(Q-W)  transaction) Income G.Un 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  
(Sec Columns and 03) =$250,001 -$500,000 =$500,001 -$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  
(See Column C2) =Book Value =Other =Estimated  

Date Report 

04/27/2011 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicatepartofreport.) 

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: Gene Pratter 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY 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