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Judicial Watch • Richard A Caputo Financial Disclosure Report for 2006

Richard A Caputo Financial Disclosure Report for 2006

Richard A Caputo Financial Disclosure Report for 2006

Page 1: Richard A Caputo Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:11

Date Created:September 14, 2007

Date Uploaded to the Library:November 13, 2013

Tags:Richard A Caputo, Caputo, ACCOUNTANTS, COMPILATION, Richard, Market, 2006, transactions, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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AOlO Government Act of1978
Rev. 1/2007 
FOR CALENDAR YEAR 2006 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Caputo, Richard Court Organization U.S. Dist. Ct. M.D. Date Report 05/01/2007 Title (Article III 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  Annual Final Reporting Period 01/01/2006 12/31/2006  
Sb. Amended Report Chambers Office Address 235 North Washington Avenue P.O. Box 1246 Scranton, 18501 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date  

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. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 instructions.)  NONE (No reportable positions.)  
POSITION  Co-Trustee .,.,
cnZ c:J> :::0 :r.: 
r"l C-) r-.> 
rr1
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) 
O)>
-rir 
[KJ NONE (No reportable agreements.) fTj 
PARTIES AND TERMS 
SEE ACCOUNTANTS' COMPILATION REPORT 

Date Report 
Caputo, Richard 
05/01/2007 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 ins/ructions.) Filer's Non-Investment Income [RJ 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 amowll not required except for honoraria.) 
NONE (No reportable non-investment income.) 
[RJ 

SOURCE AND TYPE 

IV, REIMBURSEMENTS --transportation, lodging, food, entertainment. (Includes those spouse and dependent children. See pp. 25-27 i11structio11s.) 
[RJ NONE (No reportable reimbursements.) 
DESCRIPTION 

SEE ACCOUNTANTS' COMPILATION REPORT 

05/01/2007
Caputo, Richard GIFTS. (lllcludes those spouse and dependent children. See pp. 28-31 instructions.) 
IBJ NONE (No reportable gifts.) 

DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
IBJ NONE (No reportable liabilities.) 

DESCRIPTION VALUE CODE 

SEE ACCOUNTANTS' COMPILATION REPORT 

Date Report 
Caputo, Richard 
05/01/2007 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Gross value end reporting period Transactions during reporting period  
(1) Type (e.g. buy, sell, redemption)  (2) Date Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) 
Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure Income during reporting period 
(1) 
Amount 
Code 

(A-H) 
(2) 
Type (e.g. 
div., rent, int.) 

(1) 
Value Code (J-P) 
(2) 
Value Method Code3 
(Q-W) 
Dividend  -Acco Brands Corp. -Common Stk  Sold  11/6  -Allergan Inc. -Common Stk  Sold  1/19  -Amgen Inc. -Common Stk  Buy  1/19 VIS Budget Group, Inc. (formerly Cendant Corp.)  -Bard C.R. Incorporated -Common Stk  Buy  1/19  -Bard C.R. Incorporated -Common Stk  Buy  2/22  -Burlington Resources, Inc. -Common Stk  Sold  4/3  -Carnival Corp k/n/a Carnival New Paired -Common Stk  
10.  -Chevron Corp. -Common Stk  Buy  11/17  
11.  -CISCO Systems Inc. -Common Stk  
12.  -Citigroup Inc. -Common Stk  
13.  -Chico's FAS Inc. -Common Stk  Sold  11/6  
14.  -ConocoPhillips -Common Stk  Partial Sale  2/22  
15.  -Cooper COS Inc. -Common Stk  Sold  1/19  
16.  -Dominion Res. Inc.VA NEW -Common Stk  Sold  11/16  
17.  -Dow Chemical Co. -Common Stk Income Gain Codes: {See Cotilrnns and 04) Value Code (See Columns and 03) Value Method Codes ($ee Column CZ) =$1,000 less =$50,001 -$100,000 =$15,000 Jess =$250,001 -$500,000 =$25,000,001 -$50,000,000 ==Appraisal ==Book Value =$1,001 -$2,500 =$100,001 -$1,000,000 =$15,001 -$50,000 0$500,001 -$!,000,000 =Cost (Real Estate Only) =Other =$2,501 -$5,000 =$1,000.001 -$5,000,000 =$50,001 -$100,000 =$1,000,001 -$5,000,000 =More than $50,000,000 =Assessment =Estimated =$5,001 -$15,000 =More than $5,000,000 =$100,001 -$250,000 =$5,000,001 -$25,000,000 =Cash Markel =$15,001 -$50,000  
SEE  ACCOUNTANTS'  COMPILATION  REPORT  

05/01/2007
Caputo, Richard 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.)  NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) duringIn corn reporting period ross value end reporting period  D. Transactions during reporting period  

(2) 
(1) 
(2) 
(5) 
Amount 
Value
Place "(X)" after each asset 
Type (e.g. 
Value 
Gain
Date 
Value 
Identity 
Type (e.g. 
Code 
Code 
div., rent, 
Method 
Code 
buy, sell, 
Month-
Code 
buyer/seller
exempt.from prior disclosure 
(A-H) 
Code int.) 
(J-P) 
redemption) 
Day 
(A-H) 
(if private transaction)
(Q-W) 
18.  -Fortune Brands Inc. -Common Stk  
19.  -Fortune Brands Inc. -Common Stk  Buy  2/22  
20.  -General Electric Company -Common Stk  
21.  -Goldman Sachs Group Inc. -Common Stk  
22. 23.  -Ingersoll Rand Company Ltd Class -CommonStk -Johnson Johnson -Common Stk  Sold  11/16  
24.  -LPL Premier Money Market Shares  Sold  Var  
25.  -Microsoft Corp. -Common Stk  
26.  -Panera Bread Company -Common Stk  
27.  -Plantronics Inc. -Common Stk  
28. 29.  -Realogy Corp. (spinoff from Cendant Corp.) -Common Stk -SCP Pool Corp. -Common Stk  Sold  02/22  
30.  -Sovereign Bank -Insured Cash Account  Opened  
31.  -Symantec Corp. -Common Stk  Sold  11/16  
,32. 33.  -Veolia Environment Spon ADR -Common Stk -Watts Water Technology -Common Stk  Buy Buy  11/16 2/22  
34.  -Wyndham Worldwide Corp. (spinoff from Income Gain Codes: =-$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Oilumns 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 =$100,0QI -$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 Value Method Codes =$25,000,001 -$50,000,000 =Oist (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Oilumn C2)  Q=Appraisal  V::::Other =Assessment =Book Value =Estimated  

SEE ACCOUNTANTS' COMPILATION REPORT 

05/01/2007
Caputo, Richard 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those the 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 Transactions during reporting period  

(2)
(1) 
(2)
(1) 
Place (X)" after each asset  Amount  Type (e.g.  Value  Value  
exempt from prior disclosure  Code  div., rent,  Code  Method  
(A-H) int.)  (J-P)  Code  
(0-W)  

Type (e.g. buy, sell, redemption) Date Month-Day 
Value  Gain  Identity  
Code  Code  buyer/seller  
(J-P)  (A-H)  (if private  
transaction)  

Cendant Corp.)  
35. -Yahoo Inc. -Common Stk  Buy  02/22  
36. IRA#l  Dividend  
37. -Apollo Group Inc. -Common Stk  Buy  03/02  
38. VIS Budget Group, Inc. (formerly Cendant Corp.)  
39. -Bristol Myers Squibb Co. -Common Stk  Sold  11/16  
40. -Carlisle Companies Inc. -Common Stk  
41. -Chevron Corp. -Common Stk  Buy  11/17  
42. -Chico's FAS Inc. -Common Stk  Sold  11/03  
43. -Citigroup Inc. -Common Stk  
44. -Cooper COS Inc. NEW -Common Stk  
45. -Dell Inc. -Common Stk  Sold  11/03  
46. -Dupont E.I. Nemour Company -CommonStk  
47. -!shares NASDAQ Biotech Index Fund  
48. -JDS Uniphase Corp. -Common Stk  
49. -Leucadia National Corp. -Common Stk  
50. -LPL Premier Money Market Shares  Sold  Var Income Gain Codes: =$1,000 Jess =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,001 -$100,000 =$!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  
(See Columns and 03) =$250,001 -$500,000 =$500,00I -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Oilumn C2) =Apprajsal  V=Other =Assessment =Book Value =Estimated  

SEE ACCOUNTANTS' COMPILATION REPORT 

Date Report 
Caputo, Richard 
OS/0112007 
VII. INVESTMENTS and STS --i11come, value, transactions (Includes those the spouse a11d depende11t children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(inducting trust assets) 

Place "(X)" after each asset exempt from prior disclosure 
Income during period 
(2) 
Amount Type (e.g. Code 
div., rent, (A-H) int.)  
Gross value end  Transactions during reporting period  
reporting period  (1) Type (e.g. buy, sell, redemption)  (2) (3) (4) Date Value Gain Month-Code Code Pay (J-P) (A-H)  (5) Identity buyer/seller (if private transaction)  
(1) Value Code (J-P)  (2) Value Method Code (Q-W)  

Sl.  -Lucent Technologies Inc. -Common Stk  Sold  04/25  
52.  -Microsoft Corp. -Common Stk  
53.  -Pfizer Incorporated -Common Stk  
54.  -Plantronics Inc. -Common Stk  
SS.  -Precision Castparts Corp. Common Stk  
56.  -PHH Corporation -Common Stk  Sold  11/03  
57.  -Realogy Corp. (spinoff from Cendant Corp.) -Common Stk  
58.  -Sirius Satellite Radio Ind -Common Stk  
S9.  -Sovereign Bank -Insured Cash Account  Opened  
60.  -Symantec Corp. -Common Stk  Sold  04/2S  
61.  -Veolia Environment Spon ADR -Common Stk  Buy  11/16  
62.  -Wheeling Pittsburgh Corp. -Common Stk  Sold  11/08  
63.  -Wheeling Pittsburgh Corp. -Common Stk  Sold  11/08  
64.  -Wheeling Pittsburgh Corp. -Common Stk  Sold  11/08  
65.  -Whole Foods Market Inc. -Common Stk  
66.  -Wyndham Worldwide Corp. (spinoff from Cendant Corp.)  
67.  Eastern Penn S.D. Bond  Interest Income Gain Codes: =-$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See lumns and D4) =$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  
(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 Value Method Codes =$25;000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(Sec Column C2) ::::Appraisal =Other =Assessment ::::Book Value =Estimated  
SEE  ACCOUNTANTS'  COMPILATION  REPORT  

Date Report 
Caputo, Richard 
05/01/2007 
VII. INVESTMENTS and TRUSTS --income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure 
Income during reporting period 
(1) 
Amount Code (A-H) 
(2) 
Type (e.g. 
div., rent, int.) 
Gross value end reporting period 
(1) Value Code (J-P) (2) Value Method Code 
(Q-W) 
(1) Type (e.g. buy, sell, rede!T!plion) 
---- Transactions during reporting period 
(2) Date Month-Day 
(3) 
Value Code (J-P) 
(4) 
Gain Code (A-H) 
(5) 
Identity buyer/seller (if private transaction) 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) =$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  
(See Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001-$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Esta Only) More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal  V;::::Other =Assessment =Book Value =Estimated  

SEE ACCOUNTANTS' COMPILATION REPORT 
Caputo, Richard 
05/01/2007 
VII. INVESTMENTS and STS income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets 
Gross value end Transactions during reporting period 
(including trust assets) reporting period 
(3) 
Value exempt"from prior disclosure 
Place "(X)" after each asset Code (J-P) 
Income during  
eporting period  
(1) Amount Code (A-H)  (2) Type (e.g. div., ren int.)  (1) Value Code (J-P)  

(2)  (1)  (2)  
Value  Type (e.g.  Date  
Method  buy, sell,  Month- 
Code  redemption)  Day  
(Q-W)  

(4) 
Gain Code (A-H) 
(5) 
Identity buyer/seller (if private transaction) 
85. Wheeling Pittsburgh Corp. -Common Stk  None  Sold  11/08  
86. Capital One FSB McLean Certificate Deposit  None  Buy  11/16  
87. Discover Bank Greenwood Certificate Deposit  Interest  Redemption  05/11  
88. Federal Trust Bank Certificate Deposit  Interest  Redemption  10/16  
89. Georgian Bank Atlanta Certificate Deposit  None  Buy  11/16  
90. GMAC Automotive Bank Midvale Certificate Deposit  None  Buy  09/28  
91. Irwin Union Bank Trust Certificate Deposit  Interest  
92. Mercantile Bank West Michigan Certificate Deposit  Interest  Redemption  10/16  
93. Lehigh County IDA Municipal Bond  Interest  
94. Line Mountain Municipal Bond  Interest  
95. Northampton ASD Bond  Interest  
96. Westmont Hilltop Municipal Bond  Interest  
97. cres vacant land -Orange County, ida  None Income Gain Codes: =$1,000 orless =$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 '450,001 -$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 Value Method Codes =$25.000,001 -$50.000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2)  Q=Appraisal  V=Other =Assessment ==Book Value =Estimated  

SEE ACCOUNTANTS' COMPILATION REPORT 
Caputo, Richard 
05/01/2007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Indicale parlofReport.) 
Part VII -Line -Information reported, prior years, represents 100% the trust assets. However, the reporting person's one three equally the trust. 
Part VII -Lines 24, 50, 73, 78, -LPL Premier Money Market Shares cash account that used hold funds until investment assets are purchased. such, there were multiple purchase and sale transactions during the year (never gain loss) until these accounts were eventually liquidated during 2006. 
-Line -Orange County, Florida property -Information reported, prior years, represents 100% the value. However, the reporting person's one three individuals who own the property equal shares. 
SEE ACCOUNTANTS' COMPILATION REPORT 
05/01/2007
Caputo, Richard 

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 

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 

SEE ACCOUNTANTS' COMPILATION REPORT