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Judicial Watch • Richard A. Caputo – 2012

Richard A. Caputo – 2012

Richard A. Caputo – 2012

Page 1: Richard A. Caputo – 2012

Category:Federal Judges

Number of Pages:10

Date Created:January 3, 2014

Date Uploaded to the Library:May 22, 2014

Tags:Richard A Caputo, Insured, Caputo, ACCOUNTANTS, COMPILATION, account, Richard, 2012, states, united, assets, Codes, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Rev. 112013 
FOR CALENDAR YEAR 2012 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) 
Caputo, Richard Title (Article III judges indicate active senior status; 
magistrate judges indicate full-or part-time) 
U.S. District Judge -Senior Court Organization Date Report 
U.S. Dist. Ct. M.D. 
05/06/2013 
Sa. Report Type (check appropriate type) Reporting Period 
Nomination Date 
01/01/2012
Initial Annual Final [{) 
12/31/2012 
Sb. Amended Report 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 for each part where you have reportable information. POSJTJ ONS. (Reporting individual only; see pp. 9-13 filing instructious.) NONE (No reportable positions.) POSITION NAME ORGANIZATION/ENTITY 

TrustI. Co-Trustee 
Co-Executor Estate 

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

PARTIES AND TERMS 

SEE ACCOUNTANTS' COMPILATION REPORT 

05/06/2013
Ill. 0N-INVESTMENT ME. (Reporting individual and spouse; see pp. I7-24 filing instructions.) Filer's Non-Investment Income [{] NONE (No reportable non-investment income.)  
SOURCE AND TYPE  INCOME (yours, not spouse's) 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 
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 

0510612013 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 

SEE ACCOUNTANTS' COMPILATION REPORT 

Caputo, Richard 
05/06/2013 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  lncome during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(2) (3) 
Place "(X)" after each asset exempt from prior disclosure  Amount Code (A-H)  Type (e.g., div., rent, int.)  Value Code (J-P)  Value Method Code (Q-W)  Type (e.g., buy, sell, redemption)  Date mm/dd/yy  Value Code (J-P)  Gain Code (A-H)  Identity buyer/seller (if private transaction)  :Trust  Int./Div.  -Bard C.R. Incorporated-Common Stk Income Gain Codes: =$1 .000 less  B=$1.001 -$2.500  c=$2.501 -$5.000  0=$5.001 -$15.000 =$15.00 -$50.000  
(See Columns and 04)  f=$50.00l -$100.000 I00.00 -$1.000.000  Ill =$1. 000.001 -$5.000.000  H2=More than $5.000.000 Value Codes  J=$15.000 less  K=$15.001 -$50.000  L=$50.00 I00.000 I00.00 -$250.000  
(Sec Columns and 03) =$250.00 -$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  T=Cash Market  
(Sec Column C2) =Book Value  V=Other =Estimated  

SEE ACCOUNTANTS' COMPILATION REPORT 

05/06/2013 
VII. INVESTMENTS and TRUSTS
income, value, transactions r1nc1udes t1tose spouse and dependent children; see PP 34-60 instructions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (including tntst assets) reporting period reporting period 
(2) (I) (2) (I) (2) (3) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior discJosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction) Income Gain Codes: =$1.000 less =$1,001 -$2.500  c=$2.501-$5,000  D=$5,001-$15.000 =$15.001 -$50,000  
(Sec Columns and 04) 450.001 -$100.000 =$100.001 -$1.000.000  Ill =$1.000.001 -$5.000.000 =More than $5.000.000 Value Codes =$15.000 less  K=$15.001 -$50.000  L=$50.00 -$100.000 =$100.00 -$250.000  
(See Columns and 03) =$250.001 -$500.000  0=$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 tate Only) =Assessment  T=Cash Market  
(Sec Column C2)  U=Book Value  V=Othcr =Estimated  

SEE ACCOUNTANTS' COMPILATION REPORT 

05/06/2013
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 instr11ctions.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) (2) 
(3) (4) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) Code redemption) (J-P) (A-H) (if private 
transaction) 
Goldman Sachs Bank USA, 3.05% Cert Interest Redeemed 02/13/12 Dep, Due 02113112 
36. LPL Financial Insured Cash Account Interest 
Luzerne Bank Accounts None 
38. Wells Fargo Bank -Insured Cash Interest Income Gain Codes: =$1,000 less =$1,001 -$2.500  c=$2.501 -$5.000 =$5.001 -$15,000 =$15.001 -$50 .000  
(See Columns and 04)  F=$50.00I -$I00.000 100.00 -$1.000.000 =$1.000.001 -$5.000.000  H2=More than $5.000.000 Value Codes  J=$15.000 less =$15.001 -$50.000  L=$50.00 -$I 00.000 =$100.00  $250.000  
(Sec Columns and 03)  N=$250.00 -$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  

Caputo, Richard 
05/06/2013
VII. INVESTMENTS and uSTS income, value, transactions (Includes those spouse and dependent children; see PP 34-60 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 
(I) (2) 
(2) (I) (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,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  

transaction) 
52. LPL Financial Insured Cash Account Interest 
vacant land -Orange County, 
None 
Florida 
54. Estate vacant land, Slocum
None
Twp, Luzerne Cty,PA Income Gain Codes: =$1.000 less (See Columns and 04) 50.001 -$100.000 Value Codes J=$1 5.000 orless 
(See Columns and D3) 	N=$250.00 -$500.000 =$25.000.001 -$50.000.000 Value Method Codes =Appraisal (Sec Column C2) U=Book Value =$1 ,001  $2,500 =$2.501 -$5.000  0=$5.001-$1 5.000 =$1 5.001 -$50. 000 =$100.001 1.000.000 =$1.000.001 -$5.000.000  112 =More than $5.000.000 =$15.001 -$50.000 50.00 -$I 00.000 100.00 -$250. 000  
0=$ 500.00 -$1.000.000 =$1. 000.001 -$5.000.000 =$5.000.001 -$25.000.000 =More than $50.000.000 =Cost (Real Estate Only) =Assessment =Cash Market =Other =Estimated  

SEE ACCOUNTANTS' COMPILATION REPORT 

Name Person Reporting 
Date Report 
Caputo, Richard 
05/06/2013
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Jndicate part ofreport.) 
Part VII -Line Trust -Information reported, prior years, represents 100% the trust assets. However, the reporting one three beneficiaries who share equally the trust. 
Part VII -Line 10-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 23-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 52-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 53-Orange County, Florida property -Information reported, prior years, represents 00% the value. However, the reporting person's one three individuals who own the property equal shares. 
Part VII -Line -This property Estate #I. 

SEE ACCOUNTANTS' COMPILATION REPORT 

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 of5 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 ACCOUNT.ANTS' COMPILATION REPORT 

ACCOUNTANTS' COMPILATION REPORT 
The Honorable Richard Caputo 
United States District Court 
Scranton, Pennsylvania: 
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 April 29, 2013