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Judicial Watch • James Gardner Knoll – 2003

James Gardner Knoll – 2003

James Gardner Knoll – 2003

Page 1: James Gardner Knoll – 2003

Category:Federal Judges

Number of Pages:12

Date Created:February 3, 2005

Date Uploaded to the Library:October 21, 2014

Tags:Knoll, Gardner, James Knoll Gardner, account, mutual, James, 2003, Codes, dividend, disclosure, reporting, report, Federal Judge, financial, income, Judge


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AMENDED SECTION lmn Reporting (Last name, first, middle initial) Court Organization Date Report 
Gardner, James Knoll Eastern District P.A 5/15/2004 Titlt= (Article mjudges indicate active senior Sta; 
U.S. Distrit Judge -Active Chainbers 
Edward Courthouse 504 Hamilton Street, #4701 Allentown, 18101 Reporting Period 	type)._ 
1/1/2003 
_Nomination, Date 
_.Initial .Annual Final 
12/31/2003 tile basis the information contained this and any mod fications thereto, Is, compl ance laws aad 	POSIDONS. (R9ortbig indtvidual on1J1:seepp. 9-13of1nstruct1ouJ SB..F llITIATED AMENDMENT 
NONE (No repc1rtable positions.)  
[]. ll. AGREElfENTS. (Jleporttngindtviduatoniy:seepp.14-160/Imtrw:tions.J TERMS NONE (No n..-poirtable agreements.) :;o-- NON-INVESTMENT INCOME. (Reporting individual and spouse; ieepp. 17-24 a/ImtructionsJ 
 .iul:..m 	AND 
 RO 
.c:::.> Flle:rs Non-Investme11t Income :::oz rrlC? 
 
NONE (No repmuLble non-investment income.) 
lTI 
CJl Spouses Non-lnvestn1ent Income -If you were married during any portion the reporting year, please comJ>lete this 
 
s1ection. (dollar amow1t not required except for honoraria) NONE (No repor1table non-investmentinc.) 
 
Nqie orPeqon Reporting 
FINANCIAL DISC:LOSURE REPORT 
Gardner, James Knoll 
IV. H.EIMBURSEMENTS -transportatio lodging, food. entertainment  
(lncludei those spouse and dependent children. See pp. 25-27 JnstructionsJ 
Q!HtCE[ DESCRIPTION 28-29, New York, NY-st Annual DinnOr inLaw Association (NYIPLA) Honor.of the Federal Judiciary and GIFJrS. (Includes tho_!.f!! spouse qnd dependenichildren. See pp. 28-31 Instructions.) 
 NONE (No such reportable gifts.) 
 
 
VI. LIAlBll.,ITIES. (lnclirdes those spouse and dependent children See pp. 32-33 oflnsiructions.) NONE (No reporta1bl.e liabilities.) 
 
Name Person Reporting 
Date Report 
 
FINANCLU. DISCLOSURl REPORT 15/2004 
Gardner, James Knoll 
VIIl. AI>DITIONAL Ulf.FORMATION EXPLANATIONS (Indicate part Report.) 
IX. CERTIElCATION. certif:y that all informatio11 given above (including information pertaining spouse and minor dependent clu1dren, any) accurate, 1roc. and complete the best myknowledge andbelief, andthat anyinformation not reported was withheld because itmet applicable statutory 1>rovisions pennitting 111.on-disclosure. furthc:r certify that eamed income from outside employment and honoraria and the acceptance gifts which have been reported are complianc:e with the pr_ovisions U.S.C. app.,  501 seq., U.S.C.  7353 and Jt!dicial Conference regulations. 
 Governmenlt Actof :1978 Calendar Year 2003 U.S.C.  101-lllr 	Person Re:porting (Last name, First name, Middle initial) Court Organization Date Report Gardner, James Knoll Eastern istric tof 
5/1512004 Title (Article III Judges indicalte ac:tive senior status; ReportTYJ>e (check appro priate type) Reporting Period magislralte judges indicate full-or part-time) Nomination, Date 	11112003 
U.S. District Judge -Active 	toQ Initial @Annual Ffual 
12/31/2003 	Chambers Office Address the basis the infonnation contained this Report and any modifications pertaining thereto, is, opinion,in compliance 
Edward Cahn U.S. Courthouse 
with applicable laws and regulations. 
504 Hamilton Street, #4701 
Allentowi!, 18101 
IMPORTANT NOTES: Ihie instructions accompanying this form must followed. Complete all parts,checking the NONE box. for each part where you have reportable infonnation. Sign last page. POS:ITIONS. (Reporting individual only; see pp. 9-13 filing instructions) NONJB -(No repOrtable p1m;itions.) O:flicer, Director 	Allentown Symphony Association Diirector 	Boys and Girls Club Allentown, Inc. 
Diirector 	Police Athetic League, Inc. 
Custodian 	Brokerage Account #2: UIPA/UGMA 
Custodian 	Brokerage Account #3: UPIA/UGMA 
Gmcral Partner (passive investment) 	116 share ofRental Property#l AGREEMENTS. (Rei1orting individual only; see pp. 14-16 offiling instructions) NONE -(No reportable agn=rients.) 
State Employees Pension Fund; 	position, incl ;medic allunm1. 2002 
long-term care benefits, control U>z 
cl> 
::oz 
111? -nr 
-ll 
rll 
 
 
Gardner. James Knoll 
5/1512004 
III. NON-JNVESTiv.tE1fT INCO:M:E. (Reporting individual and spouse; see pp. 17-24 offiling instructions) FilEr Non-Investment Incom NONE -(No reportable non-investment income.) AND TYPE GROSS {yom:s, not spouse:s) SpolllSE Non-Investment com (If you were married during any portion the reporting year, please complete this section. (dollar am1unt 
not required 1except for honoraria) NONJE (No reportable non-investment income.) 
SOURCE AND TYPE 
2003 self-employed realtor 
2003 self-employed piano teacher 
 
 
(Indudes those spouse and dependent children. See pp. 25-27 instructions.) NON::E (No such reportable reimbursements.) 
 GIFTS. 
 NONJE 
 
 
 
 
Name Person Reporting 
Dalte ofReport ].>age 1of4 
Gardner, James, Knoll 
511512094 VIl. INVESTMENTS and TRUSTS -income, value, traoscations (includes those the spouse and dependent clu1dren. See pp. 34-S7 filing inst11ctions.) 
Description Assets Income during reporting period Gross value end reporting period Transactions during reporting eriod 
(including trust assets) 
 
(1) (2) (I) (2) not exempt fiomdisclosure 
(2) (3) Pllace (X) after each asset ex1:mp1 Amount Type (e.g. Value Value Type (e.g. Dale: Value ain Identity from prior disclosure Code2 Metlilod buy, sell, Month- 
Code! div. telll. Code2 Code buyer/seller Codel rnelJ!Cr. Day 
(A-H) inL) (J-P) (A (ifinivate(J-P)redemption) 
(Q-W) transaction} 
DNONJE (No reportable im:om:. aets, transactions) Rental $53:3,33 roperty#l Torrence, California (1997 TimeS:h $18.,700 are #l, Williamsburg, Virginia 999 Rent Rent Sovereign Banlc Ac:cow1ts Interest IRA#l (Evergreen Foundatilon Fund Class Dividend Broke111ge Account #1: NKNACITIBA -Banilc Deposit Program Interest Disr1ey-Common Stock -(X) Dividend c Value Fund Aim Basi Cfa1Ss -Mutual Fund None Small Cap Value Fund Class -Mutual Fund Dividend 
10. Fund amental Value Fund! Class -Mutual Fund None 
11. 12. Mur Funcl 1icipal High Income Fund Class L-Mutual Dividend None Sell Sell 8/19 8120 NIA NIA 
13. Con vertible Fund Clas:s -Mutual Fund Dividend Buy 8120 NIA 
 
Royc:e alue Trust Inc. Mutual Fund Dividend 
Philadephia Water and Sewa Revenue Bond None Sell 10/1 NIA 
Coupon 
16. Altocml! City Authority Watell Revenue Bond Interest 
17. General MolDrs _.cceptance Corp -SmartNotes Interest 
Bond 
18. Ford tor Company -Bond Interest Income/Ga Codes: $1,000 Q1rless $1,001-$2.500 $2,SOl-$5,000 $5,00J-$15,000 $15,001-$50,000 
(See Columns 13l and D4} S:SO,OllJ..$100,000 $100,001-$1,000,000 $1,000,001-$5,000,000 =More than ,000.000 Value Codes: $15,000 less $15,001-50,000 $50,001-$100,000 $100,00J-$250,000 
(See Colwnns and D3) $250,000-$500,000 $S00,00l-Sl,OOO,OOO Sl,000,001-$5.000.000 $5,000,001-$25,000,000 $25.000.001-$50,000,000 $More tha11 $50,000,000 Value Method Code Appraiisal =Cost (Real Estate Only) Assessment Cashf111arket 
(See Coiunm C2) =Bonk Value =Other =Estimated 
 
Name Person Reporting 
.Page 
 VII. INVESTMENTS :andl TRUSTS -income, value, lranscations (includes tlDse the spouse atld dependent children. See pp. 34-57 offilinginslructions.) D.Income during Gross value end Transactions during reporting period 
:Description Assets reporting period reporting period 
(including trust assets) 
 
(I} 
(1) 
(2) 
(1) (2) (4)1 
Flace (X) after each asset 1empt Amowtt Type (e.g. Valuefirom prior disclosure div. rent. 
Value T.lPe (e.g. Date: 
Value Gain ldenHtyof 
buy, sell, 
Code2 
Method 	Month 
Code3 	Day 
(J-P) 
Code 
(A-H) 
Code2 Code buyer/seller 
(J-P) (A-(if1>riVBte 
merger,redemption) 
(QW) 
transaction} 
SBI Appreciation Fund -ClllSli -Mutual Fund Dividend 
20. 21. C;Lpital Preservation F1111d -Class -Mutual FUlnd Calamios Conv. High Income Fund-Bond Dividend Dividend Buy Buy 8122 8/19 NIA NIA 
22. Bmkeirage Account (Custdial Account# See Paitvm 
23. Brokerage Account (Clllstc ial Account #2): 
24. CffIBANK NA-Bank Depos Program Interest 
25. Progress Energy Inc. -Comm Stock Dividend 
26. 27. 28. General Motors Acceptance C0rp SmartNotes Bond due 3/15/04 SmartNotes 0GenmLI Motors Acceptance Bo11d due 3/15/05 Aggressive Growth Fund class -Mutual Fund lnterest lnterest None 
29. Small Cap Value Fund -Mutual Fund Dividend 
30. Fundamental Value Fund li!ss -Mutual Fund None 
31. 32. Premium Total Return Fund Class A-Mut. Fund See Part VII Convertible Fund Class Mutual Fund Dividend Dividend Mid Cap Core Fund Class -Mutual Fund 	None 
34. 
Royce Value Trust lnc. -Mut ual Fund Dividend 
 
35. 
Household Finance Intemotes Bond Interest 
 
 
Dividend Capital and Income Fund c:lass A-Mut. Fund 
36. See Patt VII Income/Gain Codes: S1.000 Jess $1,00i-$2,500 $2,501-$5,000 $5.001--$15,-000 $15,001-$50,000 (See Colutnmr. and D4) $50,IXl J--$100,000 $100,001-$1,000,000 Sl,000,001-$5,000,000 =More than $5,000,000 Value Codes: $15,000 orless $15,001-$50,000 $50,00J-$100,000 $100,001-$250,000 
(See Columns and 03) $250,000-$500,000 $500,001-$1,000,000 Sl,000,001-$5,000.000 $5,000,001-$25,000,00G $25,000,001-$50,000,000 $More than $50.000,000 Value Me1fr1od Codes App1aioal Cost (Real Estate Only) Assessmem CashlMarlret (See Colu1m11 C2) =Book Value Ot11er Es!imated 
 
Name ofPerson rting 
... Page 3of4 
Gardner, James Knoll 	5/1 
-income. value, transcatioos (includes those the spouse and dependent cbildnm. See pp. 34-57 tiling instructions.) 
 
VII. INVESTMENTS andl TRUSTS 
lucome during 
Gross value end Transactions during reporting period 
Descriptionof Assets 	reporting period 
reponing period 
(iincluding trust assets) 
(1) (2) (2) (1) not e.tempt :fro:m discloswie 
Place (X) after each asset ,exempt Atmllllt 
Date: 
Value Value Type (e.g. 
Type (e.g. 
Value 
Identity 
Gain 
buy, sell, 
fi:omprior disclosure 
Code2 Method 
CIX!e 
div. nmt. 
Month 
Code2 
bu)leirlseller 
Code 
(J-P) Code3 
(A-H) 
inL) 
Day 
(if private 
(J-P) 	(A- 
redemption) 
transaction) 
Interest Buy 
Wc:stern Bank Puerto Rico ertificate Deposit 
8/18 
NIA 
38. S.P 500 Index Shares Illtua!Fund Dividend Buy 8/19 NIA 
39. 40. Brokeirage Account -Common Stock Dividend 
41. 42. Joh.1n Johnson -Comrnon Appreciation Fund Class  Mutual Fund Dividend None 
43. 44. Ca11>ital Preservation Fuirid Fund End Brokerage Account ;1/4 Class -Mutual Dividend 
Rent 
Tme Share #2, Williamsburg, irginia (2002 
$19,900) 
46. JRA #2: (Legg Mason) Buy 
Dividend 
3/10 
NIA 
47. Americ:an Funds Govt GtCI. Secs. Fund Class C-A 
Multual Fund Buy 
None 
3/10 
NIA 
48. Legg Mason Special Jnvestmen Trust -Equity Fund Buy 
None 
3/10 
Royce Total Return Fund Oons ultant -Equity Fund 
NIA 
50. Van IU1II1pen Equity Income: Class -Mutual Fund Dividend Buy 3/10 NIA 
51. rtificate ofDepositFlorida Community Bank -Ce Interest Buy 3/14 NIA Buy 
None 
Putnam Mid Cap Value Fund class -Mutual Fund 
NIA 
52. Buy 
3/31 
Interest 
NIA 
Govt Nat! Mtg. Assn. Class Buy 
4/2 
None 
NIA 
Amc:ric:an Funds: Growth F111ndl America, Inc. Class 
54. 
C-Mut.Fund 	Income/Gaiu Codes: $1.000 less =$1,001-$2,500 $2,501-$5,000 $5,001-$15,000 $15,001-$50,000 (See Columns.Bl and D4) $50,IJOl-$100,000 $100, 1-$1,000,000 Sil.OOO,OOI-$5,000,000 =Morethan$5,000,000 Value Codes: $!5,000 less SlS,001-$50,DOO $50,001-Sl00,000 $100,001-$250,000 (See Colunms and 03) =$250,000-liSOO.OOO =$500,00!-$1,000,000 Sl,000,001-$5.000,000 $5,000,00J-$25,000,000 $25,00G,001-$50,000,000 $More than $50,000,000 Value Method Codes =Appraisal =Cost (Real EslJte Only} Assessment Cashlhfarket (See Colunm C2) Book Value =Otlier =Estimated 
FfNANClAL DISCLOSURE REPORT 
Name Person Reporting 
Date Report 
511512004_ VII. INVESTMENTS and TRUSTS -income, value, tmnscations (includes those tile spouse am!. dependent cluldreo. See pp. 34-57 filing iostmctions.) Iocome during Gross value end Transactions during reporting period r>escription Assets 
reporting period reporting period 
(iieluding trust assets) 
(2) not exempt from disclosw-e 
(2) (1) 
(1) 
Place (X) after each asset exempit Amount fu))11prior disclosure Code 
(A-H) 
Legg!ilason Value Trust -Equity Fund 
(3) (4) Type (e.g. Value Value Type (e.g. Date: Value Gain Identity div. nmlor Code2 MelllOd buy, sell, Month 
Code2 Code buyer/seller 
inl} (J-P) Code3 merger, Day (J-P) (A (if1irivate 
redemption} 
(Q-W) 	transaction) 
None Buy 4/14 NIA 
fat! Mtg. Assn. Class -Bond 
Interest 	Buy 4/30 NIA 
Part 10120 
57. 
NIA 
Redeem 
Part 11120 NIA Redeem 
58. 
Final 12120 NIA Redeem 
59. Income!G11in Codes: $1.00-0 less Sl,001-$2,500 $2,501-$5,000 $5,00 l-Sl5,00-0 =$15.001-$50,000 
(See Colw1111s and D4) =$50,0-0l-:100.000 $100,001-$1,000,000 $1,000,001-$5,000,000 =More than $5,000,000 Value Cod1es: $15,0-00 less $!5,001-$:5{),000 $50,001-$100,000 !00,00J-$250,000 
(See Colwnns and D3) $250,000-$500,000 $500,001-$1,000,0lA0 Pl_= $1,000,001-$5.000.000 $5,000,001-$25,000,0DO $25,000,00J-$50,000,000 =$More than $50,000,00() Value Method Codes =Appr.iisal =Cos!(RealEstateOnly) =Assessment CashlMarket 
(See Coll.mm C.2) =Book Value =Other Estima1ed 
 
 
 
Name Person Reporting 
 
Date Report 
Gardner, James Knoll 
5/15/2004 
 
(Indicate part Report.) 
VIll INFORMATION EXPLANATIONS Part VII, Line 22: Brokerage Account (Custodial Account #I) does not qualify for reporting this period because the account owner over age and not d1ependent the reporting person within the meaning the Internal Revenue Code 1986 (26 U.S.C. 152), and therefore not dependent 
-as defined section 102(e)(2) ,fthe Ethics Government Act 1978, amended U.S.C. 102(e)(2). Moreover, the account does not qualify for reporting this period because its sole asset (City Bank,_NA, Bank Deposit Program) did not have fair market value excess ,000 the end the current year (December 31, 2003) and because income excess of$200 from the asset was not received during the current reporting period. Part VII, line March il, 2003 Smith Barney Premium Total Return Fund Class mutual fund changed its name Smith Barney Capital 
and Income Fund Class {See Part VII. line 36). Part VII, line 36: March 311, 2003 the former Smith Barney Premium Total Return Fund Class mutual fund (See Part VII, line changed its name Smith Barney Capital and lnC