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SELF INITIATED
UNITED STATES COURT OF APPEALS AMENDMENT
UNITED STATES COURTHOUSE FOLEY SQUARE
NEW YORK, NY 10007
CHAMBERS OF
PIERRE N. LEVAL CIRCUIT JUDGE
(212) 857-2310
D ,...._, =
c.n =
C-) ;oSeptember 19, 2008
=
Hon. Ortrie D. Smith, Chair
, .. ,
(/)::: -
(/) rn.., -0 0
Committee on Financial Disclosure c ::::v>:. rri�·
N N m
of the Judicial Conference of the United States
Administrative Office of the U.S. Courts O '"·
..;---'11-·· )> <
m Suite 2-301 CJ
fTJ -.9 ..J::"
CJ
Columbus Circle, N.E. en
Washington, D.C. 20544
Re: Financial Disclosure Report for Year 2007
Dear Judge Smith:
Many thanks for your letter of August 12, 2008. Two items discussed in your letter have
called my attention to mistakes in my filings, which I am taking steps to correct.
1. You note that in Part VII, Line 60, I listed the partial sale of"U.S. T-bill due
5/31/08," a security which was not listed in my previous report. In identifying this security, I made a mistake as to the year of maturity. The security was in fact "U.S. T-bill due 5/31/07."
(As you note in your letter, furthermore, it is not necessary to report the maturity date of such a
security.) I am submitting a Supplemental Report for the year 2007 correcting my mistake as to
the year of maturity.
2. You note that in Part VII, Line 92, I list the sale of a Merrill Lynch money market
fund, which security was not listed in my prior report. Thanks to your letter, I have become
aware that by oversight I omitted this asset, held by a trust for which I serve as trustee, from prior
reports. I am now submitting Amended Reports for prior years correcting the error by adding
this security to the list in Part VII.
Together with this letter, I submit Supplemental Reports for the years 1996 - 2007 making the corrections noted above. With much gratitude for the thankless work done by you,
your committee and staff in checking over reports to guard against such mistakes,
H
U
I
D [Z) D
AMENnus::tJT 'k. 'qwre'c1"5yW/!'7!t i s
-
o:-
C:'.:
FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2007
1. Person Reporting (last name, first, middle initial) 2. Court or Organization
Leval, Pierre N U.S. Court of Appeals, 2nd Cir
4. Title (Article Ill judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time)
D Nomination, Date
Senior Init ial Annual
Sb. @' Amended Report
Final
SELF INITIATED Report
in Government Act of1978 (5 US.C. app. §§ 101-111)
3. Date of Report
o /1,/ofl
6. Reporting Period
01/01/2007 to
12/31/2007
7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pert»ining thereto, it is, in my opinion, in compliBnce
40 Foley Square Rm 190 I with applicable laws and regulations.
New York, NY 10007
Reviewing Ot'ricer Date
I}(.[PORTANT NOTES: The instructions accompanying thisjorm must befolfowed. Complete al/parts, . checking the NONE box for each part where you have no reportable information. Sign on last page. '
;oc:..:::;.>en =
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Page 7 of 11 f o'I YE"Ptf{ (
53.
54.
55.
57.
.63.
(l)
'1 i'>(.£g_ I(cU1<Qf£'6Ii ON vO / Name of Person Reporting Date
FINANCIAL DISCLOSURE REPORT I Leval, Pierre Nt#.00/ I
V Ii I I VII. II VESTivIBNTS and TRUSTS - income, value, 1ransacrions r1nc1udes those of spouse and. dependent c1iudren,· see pp. 34-60 of filing insrrucrions.J
D NONE (No reportable income, assets, or transactions.) A. B. c. D.
Description of Assets Income during Gross value at end of rransactions during reporting period
(including trust assets) reporting period reporting period
Place "(X)" after each asset exempt fr:om prior disclosure
(A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private
(Q-W) transactio )
(2) (I) Amount Type (e.g., Value Code I div., ren Code 2
(2) (I) Value Type (e.g.,
(2)
Method buy, sell,
(3)
·Month-Date Value Gain Identity of
Code 2
(4)
Code I
(5)
buyer/seller
" 52. Buy 5/31 0
·" A Interest Sell part 615 J
" A Interest Sell part 6/28 J
" A Interest Sell part 7/30 J
" .56. A ·Interest Sell part 9/12 J
" A Interest Sell part 9/28 J
" " 58. A Interest Sell part I0/29 J
59. " E Interest Sell 11129 N
60. U.S. T bill due 5/31 7 A Interest Sell part 1/29 J
61. Inter.est Sell part 2/2
62. " A Interest Sell part 3/28 J
" B Interest Sell part 4/12
64. " A Interest Sell part 4/27 J
" 65. E Interest Sell 5/31 0
66. Lincoln St. Realty (limited partnership) None J w
67. Hershey (common)• c Dividend L T
68. Smith Barney Liquid Res Fund (common) B•
I. Income Gain Codes: A =SI ,000 or less
(See Columns BI and D4) F =S50,00l - S!00,000
2. Value. Codes J =$15,000 or less
(See Columns Cl and DJ) N =S250,00 l - 5500,000
P3 =S25,000,00I -S50,000,000
3. Value Method Codes Q =Appraisal
(See Column C2) U ""Book Value
Dividend K
B =S 1,00 l - S2,JOO
G =$I 00,00 I - S! ,000,000
K =Sl5,00! - $50,000
0 =S500,00l -Sl,000,000
R =Cost (Real Estate Only)
V=Other
T
C =S2,50 l - Sl,000
HI =Sl,000,001 - Sl,000,000
L =SJ0,00 l - SI 00,000
'Pl =Sl,000,001 - SS,000,000
P4 =More than Sl0,000,000
S =Assessment
W =-Estimated
D =$5,001 • Sll,000
H2 =More than SS,000,000
M =SI 00,00 I - $250,000
P2 =S5,000,00l - S25,000,000
T=Cash Market
E=Sl5,00I. SJ0,000
FINANCIAL DISCLOSURE REPORT
{r;Jr l./€rrflr aoo 7
Name of Person Reporting Date of Report
VIII. ADDITIONAL li'l"FORMATION OR EXPLANATIONS. (J Jicate parto/Reporl.)
In Part VII, lines 60-65 I refer to sales of "U.S.T-bill due 5/31/08." I made an error as to the due date of
these bills, which was in fact 5/31/07. I have submitted the page from Part VII of my original report, amended to show the correct due date of these securities .
. .
SttP?L'E:W\ (IA- L FINANCIAL DISCLOSURE REPORT
iao/1 Fo "fii:A 1'
IX. CERTIFICATION.
Name of Person Reporting Date of Report
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions perntitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts 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 FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.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
ORGANIZATION/ENTITY
AND
Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO JO in Government Act of 1978 Rev. 112008 FOR CALENDAR YEAR 2007 (5 U.S.C. app. §§ 101-111)
l. Person Reporting (last name, first, middle initial)
Leval, Pierre N
2. Court or Qrganization
U.S. Court of Appeals, 2nd Cir
3. Date of Report
05/14/2008
4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
Senior
Sa. Report Type (check appropriate type)
0 Nomination, Date
0 Initial [Z] Annual
Sb. 0 Amended Report
0 Final
6. Reporting Period
01/0112007
to 12/3112007
7. Chambers or Office Address
40 Foley Square Rm 1901 New York, NY 10007
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.
Reviewing Officer Date
IMPORT ANT N 0 TES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
I. POSITIONS. (Reporting individual only; see pp. 9-13 of filing instructions.)
D NONE (No reportable positions.)
POSITION
!. Council member
2. Trustee, Executor
3. Member - Photography Committee
NAME OF
The American Law Institute
Museum of Modem Art
4.
5.
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)
D NONE (No reportable agreements.)
!. 2/10/05 As executor, contract with Christie's, Inc. for sale of works of art.
2. 5/8/07 Contract with Lester Walker for architectural services.
3. 9/28/07 Contract with Porcelli Construction Co. for construction services.
PARTIES TERMS
SOURCE
SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
2.
3.
4.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 2of11 Leval, Pierre N 05/14/2008
Ill. N 0 N-JNVES TMENT JN C 0 ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filer's Non-Investment Income
l2J NONE (No reportable non-investment income.)
SOURCE AND TYPE INCOME (yours, not spouse's)
I.
3.
4.
B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
D NONE (No reportable non-investment income.)
AND TYPE
I. State St. Cultural Inst. Pension Plan - pension
2. 7/25/07 CIG (Assoc. of NYC Public Cultural Institutions) - fee for report.
JV. REIMBURSEMENTS -transportation, lodging,food, entertainmenL
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
D NONE (No reportable reimbursements.)
I. U.S. Courts
2. Aspen Institute
3. U.S. State Dept.
4. U.S. Courts
June 7 - 10, 2007
Lake George, NY
July 25 -Aug. 2, 2007
Aspen, Colorado
Sept. 13 -21,2007
Moscow, Russia
Oct. 26 -27,2007
Marlboro, Vermont
Court conference
Teaching
See Part VIJI
J. Oakes memorial SVC
$1336.45
$2939.92
$6062.00
$342.68
5. Annenberg School for Nov. 2 - 11, Amman, Jordan See Part VIII $4615.15 Communication 2007
SOURCE DESCRIPTION
CREDITOR DESCRIPTION VALUE CODE
1.
FINANCIAL DISCLOSURE REPORT
Page 3of11
Name of Person Reporting
Leval, Pierre N
Date of Report
05/14/2008
V• GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 offiliitg instructions.)
[ZJ NONE (No reportable gifts.)
VALUE
l.
2.
3.
4.
5.
VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
D NONE (No reportable liabilities.)
MONY Loan on life insurance policy L
2.
3.
4.
5.
•
I
i
K
I
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 4of11 Leval, Pierre N 05/14/2008
VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 offlting instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. C. D.Description of Assets lncome during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period (I) (2) (!) (2) (I) (2) (3) (4) (5)
Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date
I V
•'"'
Gain ldentity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller
(A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction)
I. Abbot Labs (common stock)(self E Dividend Pl T
2. Exxon Mobil (common) D Dividend 0 T
3. Schering Plough (common)(self D Dividend 0 T
4. PE Biosystems (common)(Perkin B Dividend M T Elmer)(PKI)
5. PE Celera Genomics (common) (CR) None T
6. usx A Dividend J T
7. usx Sell part 7/20 J A
8. Daimler Chrysler (common) A Dividend J T
9. FMC Money Mkt (self (Dreyfus) A Interest J T
10. FMC Select Fund (common) (self - G Dividend Pl T
11. FMC Select Fund (self) Buy 2/6 J
12. "
Buy 2/20 J
13. " Sell part 2126 J A
14. "
Buy 312 K
15. "
Buy 3/15 J
16. "
Buy 413 J
17. " Buy 4/19 J
I. Income Gain Codes: A =S 1,000 or less B =Sl,001 - $2,500 c =$2,501 - $5,000 0 =$5,00 I · S 15,000 E =S 15 ,00 I - $50,000
(See Columns BI and 04) F =S50,00I - $100,000 G =$100,001 - $1,000,000 HI =Sl,000,001 - S5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =S50,00I - $100,000 M =S 100,00 I - $250,000
(See Columns Cl and 03) N =$250,00 I - $500,000 0 =$500,00 I - SI ,000,000 Pl =Sl,000,001 - $5,000,000 ,P2 =$5,000,001 - S25,000,000
Pl =$25,000,001 - S50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =<Assessment T =Cash Market
(See Colwnn C2) U =Book Value W =Estimated,V=Otber
(3)
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 5of11 Leval, Pierre N 05/14/2008
VIL INVESTMENTS and TRUSTS - i11come, value, tra1isactions (l11c/udes those of spouse and depe11dent children; see PP· 34-60 of filing instructions.)
0 NONE (No reportable income, assets, or transactions.)
A.
(including trust assets)
B.
Income during
reporting period
C.
Gross value at end of
-- reporting period
(I)
Amount Code I
(A-H)
(2)
Type (e.g.,
div., rent,
or int.)
(I)
Value
Code 2
(J-P)
(2)
Value
Method
Code 3 (Q-W)
D.
Transactions during reporting period
(I) (2) (4) (5)
Description of Assets
Place "(X)" after each asset
exempt from prior disclosure
" 18. Buy 5/23 J
Date ValueType (e.g., Gain Identity of
buy, sell, Month- Code 2 Code I buyer/seller
redemption) Day (J-P) (A-H) (if private
transaction)
19. .. Buy 6/12 J
20. " Buy 7/3 J
21. .. Buy 7110 J
22. " Buy 8/7 J
23. .. Buy 10/3 J
24. " Buy 12/5 J
25 . .. Buy 12/14 L
26. " Sell part 12/26 K A
27. " Buy 12/31 J
28. FMC Select Fund • Buy 216 K
29 . .. Buy 2/20 J
30 . .. Buy 4/3 J
31. .. Buy 5/23 J
32. .. Buy 6122 J
33. " Buy 713 J
34. n Buy 9/14 J
I. Income Gain Codes: A ""$ l ,000 or less B =$1,00 I - $2,500 C = $2,50 I - $5,000 D =$5,001 - Sl5,000 E =$15,001 -$50,000
(See Columns BI and 04) F =$50,001 • $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 · $5,000,000 H2 =More than $5,000,000
2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - SI00,000 M =$100,001 -$250,000
(See Columns CJ and D3) N =$250,00 l - $500,000 0 =$500,001 - $1,000,000 Pl =s1.ooo.001 - s5,ooo,ooo P2 =$5,000,001 - $25,000,000
P3 =S25,000,00l - $50,000,000 l I P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Eslate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
I (I) (3) (5)
FINANCIAL DISCLOSURE REPORT
Page 6of11
Name of Person Reporting
Leval, Pierre N
Date of Report
05/14/2008
VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 11-60 of filing i11s1ruc1ions.;
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(1)(2) (2)(2) (I) (4)
Value ValueAmount Type (e.g.,Place "(X)" after each asset Code 1 Code 2 Methoddiv., rent, exempt from prior disclosure (A-H) Code 3
(Q-W)
or int.) (J-P)
"35.
Date
buy, sell, Month-
redemption) Day
Type (e.g.,
Buy 10/3
Value Gain Identity of
Code 2 Code 1 buyer/seller
(J-P) (A-H) (if private
transaction)
J
36. "
Buy 12/14 J
37. "
Buy 12/31 J
38. "
Sell part 12/26 K c
39. Fed Hm Ln Bk Cons Disc Nts due 2/28/07 A Interest Sell part 1/10 M
40. " E Interest Sell 2/28 Pl
41. Fed Hm Ln Bk Cons Disc Nts 6115107 D Interest Sold 6/15 N
-42. Fed. Hm Ln Bk Cons Disc Nt 12/05/07 E Interest Sold 12/5 N
-
43. Fed. Hm Ln Bk Cons Disc Nt 6/4/08 None N T Buy 12/5 N
-
44. Fed. Hm Ln Bk Cons Disc Nt 12/5/07 Buy 6/15 N
45. " D Interest Sell 12/5 N
46. Fed Hm Ln Bk Cons Disc Nts 0.0% due None Pl T Buy 8/17 Pl 216108
47. Fed Hm Ln Bk Cons Disc Nts 0.0% due None 0 T Buy 11/29 0 5/30/08
48. Fed Hm Ln Bk Cons Disc Nts due 8/17/07 E Interest Buy 2/28 Pl
49. Fed Hm Ln Bk Cons Disc Nts due 8/17/07 E Interest Sell 8/17 Pl
50. U.S. T-bills 0.0% due 11/29/07 Buy 5/31 0
51. " E Interest Sell 11/29 0
L Inco me Gain Codes: A=$ t ,000 or less B =Sl,001 • $2,500 c =$2,501 • $5,000 D =$5,001 • Sl5,000 E =$15,001 • $50,000
(See Columns B t and D4) F =$50,00 I • $100,000 G =SI00,001 - SJ,000,000 Ht =Sl,000,001 - S5,ooo,ooo H2 =More than $5,000,000
2. Value Codes J $15,000 or less K =S 15,001 - S50,000 L =$50,001 - S 100,000 M=$100,001 • $250,000
fSee Columns Cl a nd DJ) N =$250,001 - $500,000 0 =$500,001. $1,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000
PJ =$25,000,001 • $50,000,000 P4 =More than $50,000,000
imate
3. Value Method Codes Q =Appraisal R =Co st (Real Estate Only) S =A ssessmen t T =C a sh Market
(See Column C2) U =Book Value V=Otber W =Est d
I
I I
I
53.
I Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 7of11 Leval, Pierre N 05/14/2008
VIL INVESTMENTS and TRUSTS - income. value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c.
Description of Assets Income during Gross value at end of
(including trust assets) reporting period reporting period
(I) (2) (!) (2) (I) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.,
exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code3 redemption)
(Q-W)
D.
Transactions during reporting period
(2) (3) (4) (5) Date Value Gain Identity of
Month-
ICode 2 Code I buyer/seller
Day (J-P) (A-H) (if private
transaction)
52. "
Buy 5/31 0
"
A Interest Sell part 615 J
"54. A Interest Sell part 6/28 J
55. "
A Interest Sell part 7/30 J
56. "
A Interest Sell part 9/12 J
57. "
A Interest Sell part 9/28 J
58. "
A Interest Sell part 10/29 J
59. "
E Interest Sell 11/29 N
60. U.S. T-bill due 5/31/08 A Interest Sell part 1/29 J
61. " n Interest Sell part 212 L
62. "
A Interest Sell part 3/28 J
63. "
B Interest Sell part 4/12 L
64. "
A Interest Sell part 4/27 J
65. "
E Interest Sell 5/31 0
66. Lincoln St. Realty (limited partnership) None J w
67. Hershey (common)• c Dividend L T
68. Smith Barney Liquid Res Fund (common) B Dividend K T
•
I. Income Gain Codes: A =$1,000 or less B =$ l ,00 I - $2,500 C =$2,50 I - $5,000 D=S5,001-Sl5,000 E =SI 5,001 -$50,000
(See Columns BI and D4) F=$50,001 - $100,000 G =$100,001 -Sl,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000
2. Value Codes J=$15,000 or less K=$15,001 - $50,000 L=S50,00l -SIOO,OOO M =S 100,00 I • $250,000
(See Columns Cl and D3) N=$250,00 I - $500,000 0=$500,00 I • $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I - $25,000,000
P3 =$25,000,00 I -$50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market
(See Column C2) U=Book Value V =Other W=Estimated
(5)
--
(2) (I) (4)
Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT
Page 8of11 Leval, Pierre N 05/14/2008
VII. INVESTMENTS and TRUSTS - income, value, transacuons (111e1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.J
D NONE (No reportable income, assets, or transactions.)
A. B. C.
Income during Gross value at end of
reporting period reporting period
(I) (2)
Amount Type (e.g., Value Value Code I div., rent, Code 2 Method (A-H) or int.) (J-P) Code 3
(Q-W)
D.
Description of Assets Transactions during reporting period
(including trust assets)
(1) (2) (3)
pe (e.g.,
y, sell,
Date Value Gain
bu
Ty
Month - Code 2 Code I
Day (J-P) (A-H)
Identity of
exempt from prior disclosure
Place "(X)" after each asset
buyer/seller
redemption) (if private
transaction)
69. Gen. American Inv. (common) (GAM). E Dividend N T
70. Chase Bank (acccount). A Interest ] T
71. Chase Bank (formerly Bank of New York) None 0 T
72. Warburg Pincus (Credit Suisse) Funds A Dividend Sold 1118 (common) (trust)
73. Art Works (estate) None J Q See VIII
74. "
Sell part 7110 ]
75. Chase (Bank of NY) account & money E Interest ] T Transfer 8/29 Pl See VIII market fund (estate)
76. Vanguard GNMA Fixed Income Fund (trust c Interest L T Buy 1/22 L
77. " Buy 2/1 ]
78. " Buy 217 J
79. FSMAX None K T Buy 12/24 K
80. FLGEX None K T Buy 12/24 K
81. HGOCX None ] T Buy 12/27 ]
82. IHSAX None ] T Buy 12/27 ]
83. HNSCX None ] T Buy 12/27 ]
84. HIOCX None K T Buy 12/27 K
85. HCACX None K T Buy 12/27 K
I. Income Gain Codes: A =$1,000 or Jess B =$1,001-$2,500 C=$2,501 -$5,000 D =$5,001 -Sl5,000 E =S 15,00 I . S50,000
(See Columns Bl and D4) F=$50,001 -$100,000 G =$!00,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000
2. Value Codes J=$15,000 or Jess K=$15,00l -S50,000 L=$50,001 - $100,000 M=SI00,001-$250,000
(See Columns Cl and D3) N=$250,00 I • $500,000 O =$500,001 • Sl,000,000 Pl =$1,000,001 • $5,000,000 P2 $5,000,001 -$25,000,000
P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market
(See Column C2) U=Book Value V=Other W=Estimated
-
(I)
___J
( ! ) (2) (3) (4)
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 9of11 Leval, Pierre N 0511412008
VIL INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.;
NONE (No reportable income, assets, or transactions.) D A. B. c. D.
Description of Assets Income during Gross value at end of Transactions during reporting period
(including trust assets) reporting period reporting period
(1) (2) (2) (5) Place "(X)" after each asset
exempt from prior disclosure
Amount Code I
(A-H)
Type (e.g.,
div., rent,
or int.)
Value
Code 2
(J-P)
Value
Method
Code 3
(Q-W)
Type (e.g.,
buy, sell,
redemption)
Date
Month -
Day
Value
Code 2
(J-P)
Gain
Code I
(A-H)
Identity of
buyer/se!ler
(if private
transaction)
86. JGINCX None J T Buy 12/24 J
87. TILFX None K T Buy 12/24 K
88. FNYXX A Interest K T
"89. Buy 12/21 M
"90. Sell part 12/24 L
"91. Sell part 12/27 K
92. Merrill Lynch money market fund (trust) A Interest JSold 1/17
93.
94.
95.
96.
97.
98.
99.
JOO.
IO I.
102.
I. Income Gain Codes: A =$1,000 or less 8 =S l ,00 I - S2,500 c =$2,501. $5,000 D =S5,00I • $15,000 E =SI 5 ,00 I -S50,000
(See Columns BI and D4) F =$50,00 I • SI 00,000 G =$100,00 I - $1,000,000 HI =$1,000,001 • $5,000,000 H2 =More than $5,000,000
2. Value Codes J =S 15,000 or less K =S15,00I -$50,000 L =$50,001 • S!00,000 M =SIOO,OOI -$250,000
(See Columns CI and 03) N =$250,00 I - $500,000 ? =SS00,00 I • S 1,000,000 Pl =$1,000,00I -S5,000,000 P2 =$5,000,001 - S25,000,000
P3 =$25,000,00 I • S50,000,000 P4 =More than SS0,000,000
3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 10of11 Leval, Pierre N 05/14/2008
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofReport.)
In Part VII, item no. 73, "Art Works," the date of the appraisal was Jan. 20, 2005.
In Part IV Line 3: Lectures to and meetings with Russian judges. Line 5: Lectures to and meetings with Jordanian judges. Line 7 5: Transfer from estate to beneficiaries.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 11 of 11 Leval, Pierre N 05/14/2008
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts 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 AND CRIMINAL SANCTIONS (5 U.S.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