James Knoll Gardner Financial Disclosure Report for 2009

8/3/2019 James Knoll Gardner Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/james-knoll-gardner-financial-disclosure-report-for-2009 1/11

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FINANCIAL DISCLOSURE REPORT R~p,,.in Go ¢¢rnmentRequired Ai~R o . ¢ / 2 o 1 0 FOR CALENDAR YEA R 2009

, L P erson R epor t i ng ( l a~ [ nam e, f i r s [ , m idd le i n i ti a l ) ; L C our t o r O rgsn~ zo tkm 3. D ate o f R epor t

Gardner. James, Knoll Eastern District of PA 0 7 1 0 6 1 2 0 1 0

4 . T i t l e { A r t i c l e I 1 ! j u d g e s i n d i c a t e a z t i v e o r s t n i o r s t a t u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a lo t y p e l 6. Reporting Periodm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o 1 p a r t - t i m e )

[ ] Nomina t ion, D a t e 1 / 1 / 2 0 0 9O.S. Distr ic t Judge - Act ive ~ Initial ~1"~ Annual [] Final to

12/3 !/2009

oh. [] Amcn dad Repor t

7 , C h a m b e r s or Office Addre s s 8. On the basis of the |aformatlon contained in this Report and anymodifications pertaining thereto, it is, |n my opinion, tn compliance

Edwaxd N. Cahn U .S. Courthouse with applicab le laws and regulations.

504 W . Hamilton Stxcct, #4701Allentown, PA 18101

Reviewing Officer Dale

I M P O R T A N T N O T E S : T~e instructions.accompanying this farm mgst be fallowe~l Complete all parls,

checking Me NONE box for each parr wker¢ you have no reportable information, Sign on last page.

I. P O S I T I O N S . ¢~oma.:i.~U .~o.; ,o. ~,. ~-ts offdingin~truction~)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I. Officer, Director Allentown Symphony Association

2. Director Boys and Girls Club of Allentown, Inc.

3. Director P olice Athetic League, Inc.

4. Gen~ral Parmc r (passive investment in Subchap ter "S" Corporation) t/6 share of Rental Property # I

~._.:.- __

D N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS

I. 2002 State Employees Pension Fund; r~tirement pension for former judicial position, inelude~ medical insurance andlong-term care benefits, no control



FINANCIAL DISCLOSURE REPORT I Name of Person Re port ing D a t e o f R e p o r t

Page ~- of 1 1

I G a r d n e r , J a m e s , K n o l l

07/06/2010

A. Filer’s Non-Investment Income

N O N E (N o reportable non-investment income.)

~ SOURCE AND ~pE ~CQME(you~, not spouse’s)

I. 20~ State Employ e~ Pension Fund re~aed in P~ II (fixed benefi~ from a 567,455.60

vested pension plan)

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e s t m e n t I n c o m e - t f ~ou were marrled durlng any porffon o f the report lng year, ompl~e :his ~ecaon.

( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f a r h o n o r a r i a . )

D NONE IWo reportable non-investment income.)

DATE SOURCE AND TYPE

I. 2009 self-employed piano teacher

2.

3.

4.

I V . R E I M B U R S E M E N T S - t ,~ n ~ ,, ,. Iodglng, food, entertab~ment

( I n c l u d e s t h o s e t o spouse a n d d e p e n d e n t c h i l d r e n : s e e p p . 2 5 - 2 7 o f f i l i n g i n s t ru c t i o n s . )

D N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. The New York Intellectual M arch 27-28, 20~9 New York City , NY 86 th Annual Dinner Transportation, Food and HotelProperty Law Associa tion

(NYIPLA)

2.

3.

4.

5 .



N a m e o f P e r s o n R e p o r ~ ia g D a t e o f ReportF I N A N C I A L D I SC L O SU RE RE PO RT

I G a r d n e r , James, Knob

Page 3 of l 1 o 7 / o ~ / ~ o ~ o

V . GIFTS. a,,a~#,~ t~o,~,o,~

N O N E ~ o reportable

~ DESCRIPTION

3.

4.

V I. LIA BILITIES. a~t.a,

~ NO~ (No repomable liabilities.)

~ DESCR]P~ON

1. Johnson Capi~l I /6 sh~Mo~g age on Ren~] Pro~ ~ 1 , T~nce, Cal ifo rn ia (Pa~ VII, Oline 1)

2. Ch~e C~d S~ic¢s C~di t C~d (Visa ) J

3.

4.

5.



Name of P e r son Repor Ti ng Da t e o f Repor t

PageFINANCIAL4 of 1 1 DISCLOSURE REPORTGardner , Jamea , Knol l 0 7 / 0 6 / 2 0 1 0

VI I. I N V E S T M E N T S a n d T R U S T S - ~ .co~, .~e , # .,~=~o. , a=t~d~, ~o ~e o /~ ~ ~.~ ~a~,,~: ., ~ u ~ o o f ~ ~ , , . ~

~ NO~ (No reportable income. ~sets. or ~sactions.)

A. B. C. ) D.

~ription of A~ ~ l~ome during Gross value at ~nd ~ T~ctio~ during ~ning ~d~(including ~fl ~e~}

~ ~ng ~ of reposing p~od~

[ O) ~~) (0 (~) ~ o) (2) ~ (3) (~) 7 ....... (~) ..........P~e ~(~ after each ~ct ~Am~nt ~ T~ (e.g. Valu~ Val~ ~ T~ (~.&. Date , Val~ G~n ’) l~tiiy ~f

cxe mp t f rom p r i o r 8 i s c I~u~ ~ C ~ e ~ div., rein. C~e 2 Me~ ~ buy , ~I I, ] m~ ’ C~ 2 C~ I [ buy~/~llet~ ( A- H) or int . ) (J-P) C~e 3 ~ redemption) ) ’, {J-P) (A-H} t ( i fpf ivat~

I. Rental Pm~ #1, To.nee, California C Rent O Q

0997 $533,333)

2. Time Sh~ ill, WiHia~hmg, Vi~inia C Rent K R(1999 $18,700)

3. Sove~ign B~ Acco~ A ~temst K T

4. IRA #1 (Evergreen Foundation Fund Class A Di vi dend Redeemed 0g/27109 J A N/AB)

5. Brokerage Account #1:

6. CITIBANK NA South Dakota- Bank A Interest K TDeposit Program

7. Disney - Common Stock (Y)

8. LM * Clearbddge Appre¢. Fd. CI. A - Mut. A Dividend J TFd. (See P art VIII)

9. Calamos Convenlbl¢ & t t igh Income Fund A Dividend J TClosed End Fund

!0. W ells Fargo & Company - Conunoa Stock A Dividend l T

1 1 . W ells Fargo Company - Corporate Bond A IntdDiv. J T

1 2 . C a l a m o s S t r a t e g i c T o t a l R e t u r n F u n d - B D i v i d e n d J TCloscd End Fund

1 3 . LuzcmcCountyPAWatcrRcvcnueBond A I n t e r e s t FU]’] C~11 12/01/09 J NIA

1 4 . Eaton Vance Tax Eqty . Inc. Fd.- Closed End B Dividend J TFund

1 5 . NuStar Energy L.P. - Common Stock (Scc A Dividend J TP a r ~ V I H )

16 , BT Group PLC ADR- USD - Common A Dividend J T

Stock (See Part VIII)

17 . BlackRock Global Allocation Fund - MumaJ A Interest J T

Fund

* LH = Legg ~..~

t . Income G ain Co~ A -$1.000 or le, B -$ I.~01 o $2.500 C =$2.501 - 15.000 D - $ $ . 0 0 1 - $ 1 5 . O 0 0

(Se~ Col umn.! BImd D4) F w ~. 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0 G -$ 1 0 0 , 0 0 1 - $ 1 .0 O O ,0 0 0 I I I = $ 1 . O 0 0 . U 01 - $ 5 ,0 0 0 . 0 O t) 112 " M o ~ t M n $ 5 , 0 0 0 .0 ~ 0

2. V~ue Code, J = ~ I ~ . 0 0 0 o ~ ~ : ~ s K =$ 1 5 . 0 0 1 * $ 5 0 . 0 0 0 L "d ; $ 0 .0 0 1 - $ 1 0 0 . 0 0 0 M -$100.00! - $250.000

[Se~ Colm’~m$ CI ~ad [)3| N -$250.001 - $ 500.000 O =$5 00.0OI. $!.000.000 PI -$l.000,O0l - $ $.flO0.000 P 2 -$5.000.001 - $7.5,000J)00

P 3 = $ 7 2 . 0 0 0 . 0 0 1 , $ ~ . 0 , 0 0 0 . 0 0 0 P 4 = M o t e t h a n $ 5 0 . 0 0 0 . 0 0 0



Name of Persoa Reporting Dat e o f Repor t

PageFINANCIAL5 of 11 DISCLOSURE REPORT G a e d n e r , J am © s , K n o l l 07/06/2010

VII. INVESTM ENTS and TRUS TS -~,o~ ,

~ N O N E (No reportable income, ~sets, or ~ansactionsO

K B . C. D .

Decept ion of A~ I~m¢ ~g(incl~ing ~st ~) re~ ~ ~ of roping ~od

Pl~"(X)" afl~ ~ch ~t Amount [ T~ (g., Val~~ Val~ T~ (~. ~ Da~ Valu~ ~ Gain I d e n t i t y o f

...........................

1 8 . Blackg ~k Global All~a t ion Fund - M ut~l A lnt~cst J T B u y 01!151~ J N/AFund

1 9 . A In,st J T B u y 02 / 1 3 / ~ J N/A

20. A Interest J T B u y 03/13/09 J N/A

2 I. A Int~’¢st J T B u y 04/15/09 J N/A

22. (See Part V III) A Interest J T B u y 05 /15109 J N/A

23 . ClTIBANK NA-NV *C* - Certificate of A Interest M atured 04/22/09 K N/ADeposit

24 . None J T B uy 07/14109 .I N/A

25 . A Interest M atured 08/19109 K N/A

26 . Compass B ank-AL - Cedric°t ," of Deposit A Interest Matured 06/17/09 K N/A

2 7 ~ TotalBank-FL - Certificate of Deposit A Int~st M a t ’ ~ r ~ d 01109/09 K N/A

28 . GE M oney Bank-UT - Cen if ic a t~ o f D~posi ! A lnt~resl Matured 02/06/09 K N/A

29. Intvl Corporation. Common Stock A Dividend J T B u y 07108/09 J N/A

30 . McDonaldiCorporat ion-Common Stock A Dividend J T B uy 0 7 1 0 8 1 0 9 J N/ A

! 3 1 . Merck & Company, Inc. - Common Stock A Dividend J T B uy 0 7 1 0 8 1 0 9 J NIA

3 2 . Teva Pharmaceutical Industries - Common A Dividend J T Buy 0 7 1 0 8 1 0 9 J N/AStock

33 . Baron Growth Fond-Mutual Fund None J T B u y 07/09/09 J N/A

3 4. Eaton Vance Large-Cap Value Fund Class A A Dividend J T B u y 07/09/09 J N/A- Mutual Fund



FIN A N C IA L D ISC L O SU R E R E P O R T r ~ . m e o f

Page 6 of 11 G a r dn e r , J a m ~ K n o ll 0 7 / 0 6 / 2 0 1 0

Vll. INVESTMENTS a nd TRUSTS - ~o~,

N O N E (No reportable income. ~sets, or ~a~actio~.)

& B. C. O .

~pt~n of A~ ~o~ dung Gr~s valu~(including ~ ~) ~ng ~fi~ of ~o~g period

(I) (2) (t) ~2) U) (2) (3) I (4) (5 )

P~ "~)" after each ~A m o ~ t ~ I ~ T ~ v . ,xempt from prior di~l~ C~e 2 M¢~ ~y. ~11, m~d~ C~ 2 C~ 1 bufr/~ll~~A - ~ [ or i~) (J-P) r~¢m~ion) ( J - P ) ( A - H ) (if~vate

35 , Jan~ Fo~ Cl~s S - Mu~l F~d None J T B uy 07/~9/~ J N/ A

36 . La.zard Emerging M arket~ Port Fund - A Dividend J T B uy 07109/09 J N/ AM utual Fund

37 . Pimco Total Return Fund Class D - Mutual A Dividend J T B uy 07109/09 J N/ AFund

38 . A Dividend J T B uy 08/21/09 J N/ A

39 . Pimco Comraodi ty Real Rct~’n Fund Class A Dividend J T B uy 0 7 1 0 9 1 0 9 J N/ AD - M utual Fund

40 . T Rowe Int ’ l Bond Fund - M utua l Fund A Dividend J T B uy 07/09/09 J i N/A

41 . A Dividend J T B uy 0 8 / 2 1 / 0 9 ~ J N/A

42. Royce Prem ier Fund - Mutual Fund None J T B u y 07 /09/09 J N /A

43 . W est Per ry Sch l . Dis t . Bond- M unic i pa l None K T B uy 12/17/09 K N/ AB o n d

44 . New York Communi t y Bank-NY - A Interest J T B uy 07/14/09 J N/ ACertificate of Deposit

45 . Branch Banking and Tn~st Co. o Ccrtificat~ A lnterost J T B uy 07/14/09 J N/A .of Deposi t

46 . Midfirst Bank-OK-Cert i f icate of Deposi t A Interest J T B uy 09/15/09 J NIA

47 . End of BrokcrageAccount #1

48 . Brokerage Acc ount #2 (Custodial Account#1 ) redeemed 5 /20/04

49. Brokerage Account # 3 (Custodial Account#2) t’edeemed 8 / 2 g / 0 7

50. Brokerage Accoant #4:

5 1 . G e n c r a l E le c t r ic C o r p o r a t io n . - C o m m o nS t o c k ( Y )



F INA NC I A L D I S C L O SU RE RE PO RT Na,,, of tee|on Reporting D . t e o f R e p o r ~

P a g e 7 o f 1 1 G n r a n e r , J a m , = , Knoll 0 7 / 0 ~ 0 1 0

VII. INVESTMENTS and TRUSTS - t~o~..t.¢, ,~,=ao.. a,,a.,~. ,~o ,o o¢-~ ~ t~e¢~, , ~ ,~,~ ~ ~

N O N E (No reportable income. ~sets. or ~ansactio~.)

T . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . .plion of ~ Inco~ during G~ s val~ at ~d I T~n~Zio~ du r i ng ~n i~g{i~luding~ ~) ~ng ~ ~ ofr~o~ing~n~ i

( A -H ) ~ o r mt . ) [ ( J - P ) ~ C~3 ~ ~emplbn) ~ ~ (J-P) ( A - H ) (ifpriv~

5 2 . ~o hn so n ~ Jo hn s~ - Co m~n S t~k A Divldrnd J T

5 3 . LM* Clearbr idge App~cc. Fd. CI. B-Mut. A Dividend J TFund (See P art Vll l )

54 . LM * Clearbr idge Cap.& Inc. Fd. CI. B-M ut. A Dividend J TFd. (See PL V III)

55 . CITIBANK NA - B ank Deposit Program

5 6 . En d o f Brokerage A c c o u n t # 4

57 . Time Share #2, W il l iamsburg, Virginia C Rent K R(2002 $19,900)

5 8 . IP,,A. #2 (CitiGroup Global Markets)

59. Royce Total Return Fund Consultant - A Dividend J TM utual Fund

60 . Van Kampen F.,quipj & I n c o m e Class C - A Dividend J TM utual Fund

61 . American Funch-Growth Fund of America A Dividend K TClass C - Mutual Fund

62 . American Balanced Fund Class C - Mutual A Dividend Sold 10/09/139 J N/ AFund (See P art VIII)

63 . Oppcnheim~" Dcveloplng M arkets Fund A Dividend J TClass C - Mutual Fund

64 . Lincoln Nat ional Life Instance Co - None L TAnnuity

65 . AF* - Capita l W orld Growth & Income A Dividend Sold 03/20/09 J N/ AFund Class C - Mut . Fund

6 6 . Lord AbbeR America’s Value Fund Class C- A Dividend J TM utual Fund

67 . Government National Mortgage Associa tion B Interest K T

Class JB - B ond

68 . CITIBANK NA South Dakota- Bank A I n t c r ~ - ’ t J TD e p o s i t P r o g r a m

*I.M : L e g g M a s o n

*~. = - - ~ . F u n d s - ................................................................................t . I n c o m e G a i n C o d c a : A - $ 1 , 0 ~ o r k : s s E l , . $ 1 , 0 0 1 - $ 2 . 5 0 0 C =$2,501 - $5,0o0 D

( S ¢ ~ C o t u r r m s B I ~ n d [ ~ 1 ) F = ’ 1 , $ 1 ) .0 0 1 - 1 1 0 0 . 0 0 0 O - $ t 0 O , 0 0 t - $ 1 ,0 O O . O O 0 I n = $ 1 , o 0 ~ . 0 o 1 . $ 1 , 0 0 o , o 0 o | ~ 2 * M o r e t h a n $ I . 0 0 0 .0 0 02 . Y £ u ~ C o d c ~ J ~ 1 1 .0 0 0 or Ic ~ K = S l S,001 o I50,000 L =4 50,001 - $ 100,0~0 M =$100 ,001 - $250 ,000

( S e e C o l u r n m C l t n d D $ ) N -$ 2 5 0 .0 0 1 - 1 5 0 0 .0 0 0 O -$ 5 0 ~ ,(~ 1 - $ I ,C O 0 .O 00 glP 3 - $ Z 5 . ~ 0 0 ,~ 0 1 - $ 5 0 , 0 0 0 , 0 0 0 P 4 = M , o ~ t h ~ $ 5 0 . 0 0 0 , 0 0 0

(S~ Column C 2) U - B o o l t Va I~ : V =O the r W



70 . M anitowoc Co., Inc. - Common Stock A Dividend Sold 03 /20/09 J N ! A

71 . Ginni¢ M ac Series 2007-30 Class JG - Asset A Interest Full C~ll 01/21/09 J N/AB a c k e d S e c u r i t y

72 . BlackRock Global Allocation Fund Inc. - A Dividend K TM utual Fund

73 . Pu tnam Asset All oca ti on Ba l an ced C la ss C A Dividend J TM utual Fund

74 . Select Sector SP DR TRX Financial - Closed A Dividend Sold 03/20/09 J N/AEnd Fund

75 . Consolidatod Edison Inc. - Common Stuck A Dividend J T B u y 03/20/09 J N/A

76 . GNMA R.EMIC-Series 2004-75 Class A Interest K T B u y 03/20/09 K N/A75-NG-Asset Back~ Security

77 . Ginnie M ac Seri~ 2009-88 Class KD-Asset A Interest J T B u y 10/09/09 J N/ABacked Security

78 . Bond Fund of Americ a Class C - Mutual A Dividc’nd K T B u y 10/09/09 { K N/AFund

79 . A Dividend .1 T B u y 10/02/09 .1 N I A

80 . F~d of l lL~ #2

81 . New York Life W hole Life A Dividend L T

8 2. B r ok er ag e A cc ou nt # 5 :

83 . AB* Intermcd. B ond Fund Class A - Mutual A Dividend J TFund

84 . AB* Growth & Income Fund Class A - A Dividend J TMutual Fund

85 . AB* Small and Mid Cap Value Fund - Clas: A Dividund J TA - Mutual Fund

* A B = A l l i a n c e B e r n s t e i n

I. Incom¢ Gain Codc~ A = $ 1 . 0 0 0 o r Ie s ~ B =$1.001 - $2,500 C ’ , ~ $ 2 ~ 0 1 - $ ~ . 0 0 0 D -$~.001 - $15.000( .~ Colur~ns BI m ~d D .4) F "$~,O.001 - $1 00.000 O =$ iIDO.001 - $1 .000.000 HI =$1 .000.001 . $5 .000.000 It2 =Mo,e lima

2 . V ~ l ~ C o d e s J , ’ $ 1 5 , 0 0 0 ~ k . ~ g - $ I 5 . O O I - $ $ 0 , 0 ~ 0 L ~ 3 0 . 0 O l . $ I O 0 , O 0 0 M - $ l O O . 0 0 l - $ 2 5 0 , 0 0 0( . S ~ C o l u ~ n a ~ C I ~ n d D 3 ) N = $ 2 5 0 , 0 ~ I - S S O 0 , O 0 0 O - $ ~ O 0 , 0 0 [ - $ 1 , 0 0 0 , 0 0 ( } P I = $ I , 0 0 0 , 0 0 1 - S L 0 O ~ , 0 0 0 P 2 - $ ~ . , 0 0 0 , 0 0 1 . . $ 2 5 , 0 0 0 .0 0 0

3. Value Method Code~ Q -Appraisal R = C o s { ( R ~ . a ! E t m t l e O n l y } $ ~Asacssment T ~Cash Mark~(.~Coh.~nn C2) }d -Book Value V =Oth~ W E E s l i m a t ed



I~:me[ P e r s o nFINA NCIA L DISCLOSURE REPORT [ G ard ner, James , K n o l l

Page 9 of 11

V I I. I N V E S T M E N T S a n d T R U S T S - l,,o,~. ~,~ t~,~,cao,, a.~i.~ no.,

NONE ~o repomable income, resets, or Wamactiom.)

A, B. C. D.

~fiptlon of A~ l~ome during G~ v M ~ a t en d

PI~ "{X)" a~ each ~ t A m o u n t T~ (g., Value Valu~ T~ (e.~, Da ~ V~u~ G~n I d ~ n t i t ~ o fe x e m p t f r o m p r i o r d i ~ l o s u re C~ e I 6v.. ~a~ C~e 2 M¢~ ~y , ~ IL ~d~ C~ 2 C~ I buyrailer

( A - H ) o r i r a . ) ( J - P ) ~ ~ ~mp t i on ) ( J - P ) ( A - H ) (if ~tc

86 . AB* lnt’l G~ Fund Cl~s A - MumM A Dividend J T

87 . AB* G~h Fund Cl~s A - Mull Fund None J T(~ (S~ ea~ Vll0

88 . AB* S~ll Cap G~h Fd. CI. A - Mut. Fd. None ] T(~ (S~ Pt. Viii)

g g . End o f Br ok ~ge A ~oun t a 5

90. KNBT Bank A c c o u n t s C Interest L T

91. Rental Property #2, Lehigh County, PA D Rent M R(2006 $250,000)

92. Fun $ Investment Club - Par tnership A Dividend J T

93 . U.S. Sav ings Bonds A Interest J T

94. Fidel i ty M utual Life Insurance Co.- whole A Dividend J Tlife

A lliance Bernstein

I. Income Gain Co&s: A -St.000 o¢ less B = $1.001 - $2~00 C -$2.5OI - $5,000 O =$5.0OI - $15.000 E -$15,001 ¯ $5 0,000(S ~C oh~ nna BI and D4 ) f -$ }0,001 - $ 100,000 G -$100.001 - $|,000,000 I l l d l. 0 O O , O Q l - $ .S , 0 00 .0 O 0 1 12 - M i x I h m l

2. Value Codes J - $ I $ , 0 ~ 0 o r I o t a K = $ I S . 0 0 1 - $ ~ 0 , 0 0 0 L , , $ 5 0 ,0 0 1 - $ 1 0 0 ,O O 0 M - $ 1 0 0 , 0 0 1 - $ 2 5 0 ,0 0 0(S¢c Cotura~)t CI and D3) N -$25 0.001 . $ .s00,000 O = $~ O,00l - $ 1.000,000 PI =$1,0(Xg0O! - $~ .000.000 P’2 -$5,000,001. $2L000,000

1 ’ 3 ~ $ 2 ~ . 0 0 0 . O 0 1 - $ $ 0 . 0 0 0 . 0 0 0 P4 -M or~ than3 V~Iu~ M ethod Coder O -Ap~al R ~ (Rtml Es ta te O~ly ) 5 -As*c~’r~m T =Cash Mmitct

(Se* Column C2) O -Book Valo¢ V =Other W



Na me o f P e r son Re po r t ing Date

P a g e F I N A N C I A L 1 0 of 1 1 D I S C L O S U R E R E P O R T J G a r d n e r, J a m e t, K n o l l 07/00/20100rRe

V I II . A D D I T IO NA L INF O RM A T I O N O R E X PL A NA T I O NS . ~ , , r ~ , o /~ o~ o~

I. Re Part VII, Line 8: Legg M ason Parmers Ap preciation Fund Class A - M utual Fund was purchased Octob er 29, 2002 and was reported in each FinancialDisclosure Report thereafl~- in that name through calwadar year 2008. In October 2009. the fund changed its name to Legg M ason Clearbridge App reciation FundClass A - Mutual Fund and is rep orted in its new name in the w ithin 2009 Financial Disclosure Report on llne 8 (Page 4 of I 1).

2. Re Part VII, Line 15: NuStar Energy L.P. - Cerumen Stock w as incorrectly designated as Nustcr Energy L.P. on Pa~ VII, Line 20 ofthe 2008 FinancialDisclosure Report. I report the asset in Pa~ VII, Line 15 of the within 2009 Financial Disclosure Report (Page 4 of I I). How ever, I changed the desc~p tion of theasset in Column A from "lquster Energy L.P. - Common Stock" to "NuStar Energy L.P. - Comm on Stock’.

3. Re P art VII, Line 16: On January 7, 2008 1 sold of BT Group P LC ADR-USD common stock {"B T Group’). I repoaed that sale on Part VII,Line 15 of the 2008 Financial Disclosure gepoa

On July 9, 2008 i boug ht of BT Group common stock. I reported that purchase on PaR VII, Line 25 of the 2008 F nanc al Disclosure Report (Page 5of I O) (but I erroneously la~i~d i i "M utual Fund" in Column A). On Septemb er I2008. I repoaed that sale on Part VII, Line 26 of the 2008 Financial Di sclosure Rep ort (Page 5 of 1 0)~ ............................

On August 6, 2008 ! bought of BT Group common stock. I reported that purchase on Part VII, Line 27 of the 2008 Financial Disclosure Report

(pPaartg,e,,5,o.f ! 0) .gut.!.err~. e,o.us~ly~ la..~!ed st..M~u.ma! Fund_m Column A). I renamed those through Decem.ber 31o 2009 and reported that a~set onr v a~, Line l o o~ me w~mm zo~, rmancta~ LaSCZOSm’~ Keport (Pag e 4 of I I), together w~th the mcome earned dunng the 2009 reporting period (in Column B)and the gross value at the end of the reporting p eriod (in Column C). However, I changed the description of the asset in Column A from "M utual Fund’to"Common Stock’.

4. Re PaR VII, Line 22: Shares of BlackRock Global Allocation Fund - Mutual Fund ("BlackRoek") were purchased each month from October 2008 throughM ay 2009. The 2008 purc hases were reported on P art VII, Lines 30, 31 and 32 of th~ 2008 Financial Disclosure Report (Pag e 5 of 1 0); and the 2009 purchases arereported in P aR VII, Lines 18, 19, 20, 2 ! and 22 of the 2009 Financial Disclosure Report (Pag e 5 of I I). The shares purchased in Octob er. Novemb er a~dDecemb er 2008 are re-reporled in the within 2009 Financial Disclosm~ Report w h~re they are consolidated in one entry on P art VII, Line 17 (Pag e 4 of I I).(All of the shares purchased from Oclober 2008 through M ay 2009 were retained through Decemb er 3 I, 2009 and reported in the within 2009 Financial Disclosure

Report as asss,qs held at the end of 2009.

Part VII, Line 32 of the 2008 Financial Disclosure Rport lists the Blac kRock shares that were purchased on Dec emb er 15, 2008. Both Columns B (I) and 8(2)are blank in the 2008 Report, Lin~ 32. H owever, Part Vll. Column B(2) (Typ e of Income earned during the reporting p eriod) in Line 32 of the 2008 Report shouldread: "None" .

5. Re Part Vll. Line .53: Leg g M ason Partners App reciation Fund Class B - M utual Fund was purchased August 6, 2002 and was reported in each FinancialDisclosure Report thereaRer in that name through calendar year 2008. In October 2009, the fired changed its name to Legg M ason Clearbridge Ap preciation FundClass B - M utual Fund and is reported in its new name in the w ithin 2009 Financial Disclosure Report on line 53 (P age 7 of I I).

6. Re PaR VII, Line 54: I.egg Mason Partners Capital and Income Fund Class B - Mutual Fund was purchased January 31, 2005 and was reported in eachFinancial Disclosure Report thereafter in that name through calendar year 2008. In October 2009, the fund changed its nara¢ to Legg M ason Clearbridg¢ Cap ital

and Income Fund Class B - M utual Fund and is reported in its new name in the w ithin 2009 Financial Disclosure Report on line 54 (Pag e 7 of I I ).

7. Re Part VII, Line 62: This asset was incorrectly describ ed as "American B alanced Fund Income Class C - Mutual Fund" in the 2008 Financial DisclosureReport, on Line 57, Column A (Pag e7 of 10). It is correctly described as "Am erican B alanced Fund Class C - M utual Fund" in the within 2009 FinancialDisclosure Report on Line 62, Column A (Page 7 of 11).

8. Re Part VII, Line 87: This asset, "Alliance 8emstein G rowth Fund Class A - M utual Fund’, was inadvertently omitted f rom the listing of assets in the 200"/and2008 Financial Disclosure Reports. It should have been reported in those years w ith the identical information which appears in P aR VII, Line 87, in Columns A,B(2), C(I) and C(2) of the within 2009 Financial Disclosure Report on Pag e 9 of I I.

9. Re Pa~ VII, Line 88: This asset, "Alliance Bemstein Sm all Cap Growth Fund Class A - Mutual Fund", was inadvertently orniued from the listing ofassets inthe 2007 and 2008 Financial Disclosure Reports. It should have been reported in those y~ars w ith the identical information which appears in P art VII, Line 88, inColumns A, B (2), C(I) and C(2) of the within 2009 Financial Disclosure Report on P age 9 of I I.

IO. Re Part VII, Line 90: "KNBT B ank", reported on Line 90 of the within 2009 Financial Disclosure Report (Page 9 of ! I), is now known as "K NBT, a Divisionof Natiunal Penn Bank".



F INA NC I A L D I S C L O SU RE RE PO RT N a m e o f P e r s o n R e p o r t i n g D a , e o f R e p o r t

Page 1 1 of 11 Gardner, James, K noll 0 7 / 0 6 / 2 0 1 0

IX. CERTIFICA TION.

I cert i fy that all information given above (including informa tion pertaining to my spo use and minor or dependent children, If any) isaccurate, true, and complete to the best of my know ledge and bel ief, and that any information not reported was withheld because i t met app l icable statutoryprovisions permit t ing non-disclosure.

I further cert i fy that earned income from outside emp loyment and honoraria and the acceptanc e of g ifts which have been reported are Incomp liance with the provisions of 5 U.S.C. app . § 501 et . seq., 5 U.S.C. § 735 3, and Judicial Conference regulat ions.

NOTE: ANY INDIVIDUAL WH O KNOW INGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT M AY BE SU BJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app . § 104)

FILING INSTRUCTIONS

M ail s igned or ig ina l and 3 addi t iona l cop ies to :

Comm it tee on Financ ia l Disc losureAdminis t ra tive Off ice o f the Uni ted Sta tes Cour tsSuite 2-301One Colum bus C i rc le , N.E .W ashington, D.C. 20544

Documents

James Knoll Gardner Financial Disclosure Report for 2009