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Judicial Watch • James Knoll Gardner Financial Disclosure Report for 2003

James Knoll Gardner Financial Disclosure Report for 2003

James Knoll Gardner Financial Disclosure Report for 2003

Page 1: James Knoll Gardner Financial Disclosure Report for 2003

Category:Financial Disclosure

Number of Pages:12

Date Created:February 3, 2005

Date Uploaded to the Library:November 13, 2013

Tags:Knoll, Gardner, James Knoll Gardner, account, mutual, James, 2003, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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AMENDED  SECTION l'mn 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:r's Non-Investme11t Income :::oz rr'lC? 

NONE (No repmuLble non-investment income.)
l'TI 
CJl Spouse's 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.) N'ONE (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.) 
section the F'inancial Disclosure Report for Calendar Year 2003 amended change the ori an-s'er-11 w-o-neu-information reported-in Sectfifr1 ___rvIn all other respcts the original Financial Disclosre Report for Calendar Year 2003, filed May 15, 20041,-remains unchanged..  
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 repOrtabl'e 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 
1"'1'1? -nr 
-l"l 
rl'l 

Gardner. James Knoll 
5/1512004 
III.  NON-JNVESTiv.tE1'fT 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 
F'lace "(X)" after each asset' 1empt Amowtt Type (e.g. Valuefirom prior disclosure div. rent. 
Value T.l'Pe (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 Gov't 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.  rti'ficate 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
Gov't 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 Esl'Jte 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 IN'FORMATION 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