Ruggero J. Aldisert – 2012
Category:Federal Judges
Number of Pages:11
Date Created:January 3, 2014
Date Uploaded to the Library:May 22, 2014
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Government Act 1978 Rev. 112013 FOR CALENDAR YEAR 2012 U.S.C. app. 101-111) Person Reporting (last name, first, middle initial) Aldisert, Ruggero Court Organization Third Circuit Date Report 0612112013 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) Senior U.S. CircuitJudge Sa. Report Type (check appropriate type) Nomination Date Initial [{] Annual Sb. [{] Amended Report Final Reporting Period 01/01/2012 12/31/2012 Chambers Office Address 120 Cremona Drive Suite "D" Santa Babara 93117-5511 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. POSIT! ONS. (Reporting individual only; see pp. 9-13 filing instructions.) [{] NONE (No reportable positions.) POSITION NAME ORGANIZATION/ENTITY II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) [{] NONE (No reportable agreements.) PARTIES AND TERMS Aldisert, Ruggero III. NON-INVESTMENT 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) 02/03/2012 Nat'! Institute Trial Advocacy (Publication Royalties) $3,568.01 07/27/2012 Nat'! Institute Trial Advocacy (Publication Royalties) $1,613.85 04/23/2012 Author House (Publication Royalties) $127.00 06106120 Author House (Publication Royalties) $228.78 09/07/2012 Author House (Publication Royalties) $167.92 09/27/2012 Carolina Academic Press (Publication Royalties) $445.22 Spouse's Non-Investment Income -I/you were married during any portion the reporting year, complete this section. (Dollar amount not required except for honoraria.) [Z] NONE (No reportable non-investment income.) SOURCE AND TYPE [Z] ITEMS PAID PROVIDED Date Report Aldisert, Ruggero 06/21/2013 SOURCE DESCRIPTION VALUE VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing ins/ructions.) [{] NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE Date Report Aldisert, Ruggero VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.; NONE (No reportable income, assets, transactions.) Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (I) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller (A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private transaction) Income Gain Codes: =$I .000 less =$1 ,001 -$2.500 c42.501 -$5.000 045.001 -$15.000 E415.001 -$50.000 (Sec Columns and 04) F=$50.00l -$100.000 =$I 00.00 -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000 Value Codes =$15.000 less K=$15.001 -$50.000 L450.00 I00.000 =$100.001 -$250.000 (Sec Columns and 03) N4250.00 -$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 Estate Only) =Assessment =Cash Market (Sec Column C2) =Book Value V=Other =Estimated Date Report Aldisert, Ruggero VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes 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 ofreporting period (I) (I) (I} (3) (4) (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) 18. Columbia Acorn Fund Dividend Sold 05112/12 American Funds: Growth Fund America Dividend Sold 05112/12 20. Royce Total Return Dividend Income Gain Codes: ,000 less =$1.001 -$2.500 42,501 -$5.000 0=$5.001 -$15.000 415.001 -$50.000 (Sec Columns and 04) =$50.00 -$100.000 =$100.00 -$1.000.000 Ill 41,000.001 -$5.000.000 112 ""More than $5.000.000 Value Codes =$15.000 Jess =$15.001 -$50.000 L=$50.00 -$100.000 =$100.001 -$250.000 (Sec Columns and 03) N=$250.00 -$500.000 0=$500.00 1.000.000 =$1,000.001 -$5.000.000 =$5.000.001 -$25.000.000 P3=$25.000.001 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Cash Market =Assessment (Sec Column C2) =Other U=Book Value =Estimated Date Report Aldisert, Ruggero 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 Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (I) (3) (4) (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) (A-H) (if private transaction) 35. Morgan Equity Interest Buy 07/16/12 36. Alliance Berstein High Income Municipal Interest Buy 07/25/12 37. MFS Value (USA) Dividend Buy 03/12/12 38. Invesco Van Kampen Small Cap Value Dividend Buy 04/12/12 Invesco Van Kampen Intermediate Muni Interest Buy 06/25/12 Inc. Income Gain Codes: =$1.000 less =$1,001 -$2.500 c=$2.501 -$5.000 =$5.001 -$15.000 =$15.001 -$50.000 (Sec Columns and 04) F=$50.00 -$I 00.000 I00.00 -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000 Value Codes =$15.000 less =$15.001 -$50.000 L=$50.00I I00.000 I00.00 -$250.000 (Sec Columns and 03) N=$250.00 -$500.000 0=$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 (Sec Column C2) =Book Value V=Othcr =Estimated VII. INVESTMENTS and uSTS -income, va/ae, 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 period (I) (2) (I) (Sec Columns and 04) F=$50.001 -$100.000 =$100.001 -$1.000.000 Ill =$1,000.001 -$5.000.000 =More than $5.000.000 Value Codes J=$15.000 less =$15.001 -$50.000 L=$50.00 J00.000 J00.00 -$250.000 (Sec Columns and D3) N=$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 (Sec Column C2) =Book Value V=Othcr =Estimated Date Report Aldisert, Ruggero 06/21/2013 VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes 111ose spouse and dependent children; see PP 34-60 filing ins1ruc1ions.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) (I) (2) (3) (4) 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, mm/dd/yy Code Code buyer/seller (A-H) int.) (J-P) Code redemption) (J-P) (A-H) (if private Income Gain Codes: =$1.000 less =$1.001 -$2.500 c=$2.501 -$5.000 D=$5.001 -$15.000 415.001 -$50.000 (Sec Columns and 04) F450.00 -$I 00.000 4100.001 -$1.000.000 Ill 41.000.001 -$5.000.000 =More than $5.000.000 Value Codes J=$15.000 less K=$15.001 -$50.000 L450.00 -$100.000 4100.00 -$250.000 (Sec Columns and 03) N=$250.00 -$500.000 =$500.00 -$1.000.000 =$1.0oo.001 -$5.000.000 P2=$5.000.001 -$25,000.000 P3=$25.000.00 -$50.000.000 P4=More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market (Sec Column C2) U=Book Value =Other =Estimated Name Person Reporting Aldisert, Ruggero VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicatepartofreport.) previous report, inadvertently omitted from Section VIL INVESTMENTS and TRUSTS the following assets "American Funds Tax Exempt and "SPDR Gold Gold SHS." have now amended the Section. Please refer Line for the status "American Funds Tax Exempt F." Please refer Line for the status of"SPDR Gold Gold SHS." Date Report Aldisert, Ruggero 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: Ruggero Aldisert 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