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Oi~or, Hel~
4. Title (Article I11 judges indicate active of senior status; magi~fate judges indicate full- or pa~t-tin~) Senior U.S. Oistrictjudge
05/~010
6~ Repertlng Period 01t01/2009 to 12/31/2009
Sb. [] Amended Report 7. Chambers or Office Address 300 Ala Moana Blvd. Room C-400 HonoluhL Hawaii 96850 8. On the ba~ of the iufermatl~t contained in this Relmrt and any modifie.allens pextaining thereto, it is, in my eplni~n, in compliance with applicable laws and regulations. Reviewing Offker Date
IMPORTANT NOTES: The imtr~caons accompan~,tng this form must be fail.wed. Complete all pam,
checking the NONE box for each part witere you have no repartable informatio~ Sign on la~ page
Date o,~*~,
~or, Helen
0510912010
4.
B. Spouses N on-Investment Income - lf you ~o~ r~ri~ ,~n ~y ~on~n of the r~g ~, ~ ~ ~
(~llar ~ount not required ~c~ for hono~ia,)
~
1. 2. 3. 4.
2. 3. 4. 5.
Date of Report
2. 3.
4.
CREDITO!~
DESCRIPTION
VALUE CODE
2. 3. 4. 5.
Aecom Tech Aecom Tecb Apollo lnv Banco Santander Chicos Fas Cisco Systems Cifigroup Cohen & Steers R.EIT Cohen & Steers REIT Co, Vale de Rio Conoeo Phillips Deerfield Triare Diana Shipi~g Diana Shipping Diana Shipping Freeport McMoran C A A A B
None None Dividend None None None None Dividend Dividend Dividend Dividend None None None None None
T Sold 0 !/02 J B
(part)
J J J J J K T T T T T T T K J J l T T T T Sold Sold Merged (with line 23)
02/04
01/02
(pan)
J J T T Buy (addl)
02/05 t0/02
J J
05/09/20~0
NONE ~o repo~abte income, ~sets, or ~a~actions.) A. ~cfipfioa of ~s:~ (ino]uding t~t ~se~) PI~ "~)" a~ inch ~t B. hcome d~ng r~o~ing ~fi~ L ........... ~ Amour ~ (A-R) C. Gr~ value at eM o~ D. T~actioas d~g mpo~ng ~i~
~ Value~ ~ C~e3 i
T~ (e.g., r~em~ion)
Idenfi~ of (ifpriva~
18. 19. 20. 21 22. 23. 24. 25. 26, 27. 28. 29.
Gol~ Sachs Halliburtou HR Property Trust Prestige Brands Ruth Chris Sceakhouse Soverign Bancorp Thombe~g Mtge Windstream ~TO Energy BreTon Asset Fund G-abelli Asset Fond Janus Fund
A A B
K J J J J
J J K K L K K K
T T T T T T T T
A A B B B A A
301 Landus Intl Fund 3 I. 3Z 33. 34. B~oke~age Aconont # ! Money Market F~md Brokerage Money Market Fund
Disaibution
D~,eofRepo~t 05/09/2010
IRA #2 Advent Claymore ENHCD Fund Apollo 1or Apollo inv Apollo Iov A B A A A Dividend Dividend Dividend Dividend J J K J J J J .J J J T T T T T Buy T T T T T Buy Sold J T 03/30 10/29 J J B Buy B~ (addl) Buy (addl) 10/30 (addl) 03104 03/13 10102
44. Apollo lnv 45. 46. 47. 48. 49. 50. 51. Brasil Telecom Cohen & Steers REIT Crystal River Corp Deerfield Triarc HR Property Trust HR. Property Trus~ Isiton
exem~frompfiordisd~e
buy~/~ll~ (ifpfi~
Level 3 Co~ Level 3 Co~ Pato~ M~ Teeh Palom~ Meal Tech P~bo~ Ener~ Sea~ Holdings A
J J J
K K
~T T
S & P Covered C~ F~d S & P Cov~ ~11 F~d Te~s Roa~ouse Te~s R~ouse Thomb~g Mo~gage USG Corp Windstrean~" Wmdstream Cohen & Steers Intl R~iT Money
A A
J J
T T
J J J J J J
A A A A
~ket Fund
68.
(See Column~ Cl amt D3) 3r Value: MI~O~ C, Ofl~ IS~ Coluxrm C2)
U -B~ Value
Date of Report
~o~, ~aeu
o~t~/~o~o
C~ t
div., r~,
Code 2
M~
buy, ~l!,
Month
69.
Dividend None
J J" J
T T
A A A
75. 76.
J J
T T
03/02
Savient Pharm
Distribution
.1
A A
Dividend Dividend
None
J J
T T
Sold 01t05 J
J J J
T T T
85,
Date of Report
05/09/2010
Gr~s value at cad of I reporth~g period Value Code 2 (l-P) Value Method Code3 Type (e.g_, buy, ~11, redemption)
Date MonthDay
86.
Andarko Pete
A A
J J J
T T T T
A A
Dividend None
(part)
J J T T T
Sold
01105
Dividend None
A A
Dividend Dividend
J K
A A A
J K K
J J
T T T
T T Sold 01/05
None Dividend J T
Dividend
B -$ 1,001 - $2,500
C =S2,501 - $5,000
D ~,,$5,001 - $15,000
E =$15,001 - $50000~
O ~500,0~ 1 - $1,000,000
P2 =$5,000.001. $25,000.000
V -Ot~er
Page 10 of 17
Date of Report
05/09/2010
VII. INVESTMENTS and TRUSTS - ~o,.., ~,,~ ....~no.s a.ci~d~ So,. of spo~e a~tl ~f~de.t ehiMren; see plx 3440 of f!lh~g inslruc~o~.v.)
NONE (No reportable income, assets, or transactions.)
Dezcription of Ansets (i~cluding trust aszets) Place "(X)" after each asset ~xemptfroml~riordiselosur~ ! Income during I reporting period Amount Codel (A-H) II 103. Hewl~tt Packard t 04. Honeywell lni 105. IBM 106. lntel Corp 107. JP Morgan 108. Lincoln National 109. Lovces C0rp 110. Medtronic Inc 1 i 1~ 3M Co 112. Oracle Corp I13. Pepsico 114. Pfizer Praxair lnc A A A A A A A A A A A A A A None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None Dividend Dividend Dividend Dividend None K K J J T T T T Sold 01/05 J A J J K J .I T T r T T Sold 01/05 J J K J J T T T T Sold 1 t/30 Type (e.g., div.>reat, or iat) i Gross valueperiod of i ! ! reporting at end Value | Value "lyp~ te.g., Cod2 | Meth.od buy,~ll, (J-P) redemption) [ Code 3 I (t~-W) .... Sold Transactions during reporting period V~hae Gain I Identity of buyer/seller C~:le2 ICod, I i (J-P) (A-H) i (if private ~_ ......................... transaction) .I D
Date MonthDay
01/05
115.
l 16. P~octor & Gamble 117. Southern Co I ! 8. Target Corp 119. Travlers Cos
Value
[ [
I ~
~ T~ (e.g., ~ b~,~ll, ~emption) [ ~te Month~ ~y
~.
120. Vefizon []21. Wallgreen 122. Wells Fargo 123. Western Union 124. Key Bank Small Cap Fund 125. Key Bank Tax Exempt 126. K T Dizigo Short Term Tax Exempt 127. ~/arbor Intl Fund t 28, Inshares Emerging Mkts 129~ Powershares Commodity Index 130. SPDR GoldTrust 131. 132. Penobscot Trading Co Ltd, Honokd, HI 133. 134. Insurariee Policies 135. New York Life 136. New York Life
A A
J J
T T Sold 01/05 J B
A B C A A A
J K L K J J J J
None
B B
Dividend Dividend
M L
U U
05/o9no10
VII. INVESTMENTS and TRUSTS -~,..,., ~a~,, ~,,~,~io,~ a,,~ t,o,, O~,,~e ~ ,~,~,t a,u~,~,; tee p~ ~-~0 o~ ~,~,~o,~
NONE ~o reportable income, assets, or ~a~actions.)
A. ~cfipfion of ~ (~cludiag ~t ~~) Place "~)" a~ ~ ~t ex~pt from phor di~:l~e . i B. ~ ~ng r~g ~ C. G~oss v~e at ~d of r~ing p~ Value ~e 2 (J-P) Value , Me~ ~ C~e 3 ~ T~ (~.g., ~, ~11, [ ~ r~em~n) D. T~sacfions ~ ~ng ~fi~
Value C~ 2 (J-P)
~in ~1 (A-H)
~i~de~d
i39.
140. Brokerage Act #4 141. Apache Corp 14~. Apple Corp t43. Black&D~eker 144. CVS/Caremark
145. CVS/Caremark 146. Camden National 147. Camden National t481 Costco Wholesale
Dividend Nose
K K J J
T T T T
Sold T 09/10 J D 9/10 J A
A A
A
Dividend Dividend
Dividend Dividend
(pan)
L
B A A A
(part)
Sold
I
A Dividend Dividend J J T T t51. Exelon Corp 152. Exxon Mobil A A
Dividend None
K ]
T T
A *$ 1,000 o~ l~
B -$1,001 - $2,500
C -12>501 - $5>000
D ~$5,001 - $15,000
E ~ 15,001 - $50,0~0
T ~7.ash Mark~
os/o9/2OlO
NONE (No re~rtable income, assets, or ~a~actions.) ~cfipfi~ of~ ] ~me ~ G~ value at
(A-H) ot~)
154. Fones* ~bs lnc 155, FPL Group 1.56. General Dynarmes 157. Gen MilEs t58. Gilead Sciences 159. Granger. W.W. Inc 160, Honeywell Inc 16!. IIImios Tool Works [62. Keycorp 163. Leggett & Platt 164. Liacoln National 165. Lowes Corp 166. Lowes Corp I67. Nokia Corp 168. Pepsico i 69. Praxair 1170. Praxaix A A A A A A A A A A A A A A A
None Di~d~d Dividend Dividend None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J K K T T T J T J T K J J J J J J T T T T T T T
Sold
09110
Sold
09/10
Sold
10130
Sold
09110
(part)
Sold
09110
~t~efaepo~t 0s/~/~0~0
PI~ "~" a~ ~b ~t
(~) : (~)
(D ....
Value (J-P)
(z)
~e3
. Value
T~ (e.g., ~tion)
O)
I~fi~ of
(~)
171, Proctor & Gamble 172. Seimens AG Co~ 173. Southern Co 17~. Staples Inc t75. S~r Co~ 176. T~ger Co~ 177. Te~ Ph~ceuticles 178, Teva Pha~ceuti~ls 179. Texgon ~c 180. 3M Corp 181~ Travelers Cog 182. US Bancorp I183. Utdted Health Group t84. Verizon t85. Wellp0inl 186. Wells Fargo t87. Western Union
A A A A A A A A A A A A A A A A A
Dividend Dividend Divid~fl Di~nd Di~dend Di~dend Divided ~vidend ~dend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
J J J J J J K
T T T T T T T Sold 01/09 J A
J K 1 J J J J J
T T T T T T T T Sold 10/03 J
I. Income Gain Code~: ($e Cotufr~$ BI and D4) 2. Value Cod=~ (See Colurans CI a~l D3) 3. Valt~e Mefl~xt Codes (See Column C2)
A ~31,000 or le~s F ~$50,001 - $ 100,000 J -$1S,000 o l~s N ~1250,001 - $500,000 P:~ -$25,000,001 - $50,000,000 Q -Appraisal U -Bool Value
B -$|,001 - $2.500 G :$ 100,001 - $1,0~0,0@0 g-$ I 5,001 - $50,1200 O =~500,001 - $I,D00 000 R *~o~t (Real Estate Onb/) V .<Sther
C n$2,501 - 15,000 H1 =$1,000,001 - $5,000,1)00 L -$50,001 - $I00,000 PI .~ 1,000,00 l - $5:000,000 P4 =Mote than $ ~Asse~meat W ~Estix~ted
D -$5,001 - $15,0(]0 H2 =More ~hm M -$100,001 - $250,000 P2 ~$5,000,001 - $25,000,0~0 T -"Cash Meaket
E =$15,001 - $5(~O00
Date of Report
B.
]Bcom~ during reposing p,~od
C.
I Gross value at end of r~porting p,~riod I
D.
Trar, sactions during
C~ 3 ~~tion)
Way [
IgS. Vic~o~ Special Val~ F~d 89. Vanguard Emerging Markets Fund 90. Victory Tax Free Money Market 191,
A A A
J J K
T T T
B~I,~I - $2:~
C ~2,501 - $5,~
D ~5,~1 - $15,~
E ~15,~1 - $~,~ ~
GUtmo~, aden
I certify that all information given above ~lnclnding information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belie[, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income f~om outside employment and honoraria and the acceptance of glfts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY" INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CML AND CRIMINAL SANCWIONS (5 U2~C. app. 104)
FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544