Académique Documents
Professionnel Documents
Culture Documents
1/2011
Report Required by the Ethics in Go ~ermn en t A ct of 1978 (5 U.S.C. app. ~.~ 101-111)
!. Person Reporting (last name, first, middle initial) FELDMAN, MARTIN L.C.
4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
7. Chambers or Office Address 500 POYDRAS STREET, Rm. 555 NEW ORLEANS, LA 70130-3313
8. On Ihe basis of the information contained in this Repor~ and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Revie~ving Officer Date
IMPORTANT NOTES: The instructions accompanying this form must be followed Complete all parts,
checking the NONE box for each part where you have no reportable informatiot~ Sign on last page.
NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
II. AGREEMENTS. mevo.ing individual only; see pp. 14-16 of filing instruction~)
~] NONE (No reportable agreements.)
DATE
Feldman, Martin L. C.
Ill. NON-INVESTMENT INCOME. (Repo.ing individual andspouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
D
INCOME
(yours, not spouses) $10,000.00
I. I/I 1/2010 2. 3. 4.
B. Spouses Non-Investment ! ncome - If ).ou were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
DATE
I. 2. 3. 4.
D
1.
2.
PURPOSE
Lectures at Zurich University Lectureer, Cambridge University
3. 4. 5.
V. GIFTS. a.ctudes those,o spouse ond depe.dent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
I. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. anctudes ,hose of spouse und dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.)
CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
(1)
Value Code 2 (J-p)
(2)
Value Method Code 3 (Q-W)
0)
Type (e.g., buy, sell, redemption)
(2)
Date
(3)
Value
(4)
Gain Code I (A-H)
O)
Identity of buyer/seller (if private transaction)
Home Life Ins. Co. Dreyfus.-Geneml Money Market CI B, name changed FHLMC CMO SER 1505-CL Q FHLMC #1993-82, 1200 FHLMC #1505 CL-Q, 1200 Helios Strategic Income, formerly RMK Senior Housing Properties,former HRPT 1200 Highland Credit Strategies Fd. (X) Commonwealth REIT (X) Pulaski Co. GNMA#407107 (Y) GNMA #1924 JUMBO Ocean Energy Notes DCA Total Return Fd, Formerly Dividend Capital FNMA CMO SER 1990-78 FNMA CMO SER 1992-195
GNMA#1995-4CL
None
A A A A A A A
K J J J J J J J J
T T T T T T T T T
Interest
I. Income Gain Codes: (See Columns BI and 2. Value Codes (See Colurrms CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $100.000 J =$15.000 or less N =$250.001 - $500.00~ P3 =$25.0~0,001 - $50.0~0.000 Q =Appraisal U =Book Value
B =$ 1.001 - $2,500 G =$100.0~1 - $1,000.000 K =$15,001 - $50,000 O =$500,0~1 - $1,000,000 R =Cost (Real Estate Only) V Other
C =$2,501 - $5,0~0 HI =$1,000,001 - $5,00~,0~) L =$50,0~ I - $ 100.000 PI =$1,0~,0~1 P4 =More Ihan $50,000,0~0 S =Assessment W =Estimated
D =$5,001 - $I 5,000 H2 =More than $5,000.000 M =$ 100,001 - $250.000 P2 =$5,0OO.001 - $25.0OO.0OO T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructiong)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) B. Income during reporting period C. Gross value at end ofreponing period Transactions during reporting period
(l)
Place "(X)" after each asset exempt from prior disclosure Amount Code I (A-H)
(2)
Type (e.g., div., r~nk or int.)
O)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(I)
(2)
(3)
(4)
(5)
Identity of buyer/seller (if private transaction)
Date mmldd!yy
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
FNMA #2005-27 Alliance Bernstein, 1218 Watson Pharmaceuticals 1200 FHLMC#2173 CL(Y) FNMA #1990-78 CL-J, 1200 FNMA #2006-43WA(X) FHLMC #3052 CL - 4G (Y) HCA, Inc. Tyco International FHLMC #2758 CL CC Citigroup GNMA #2005-5 ea FHLMC #2876 CL-DQ (Y) GNMA SER #2005-39 (Y) FHLMC #3055-CL AH (Y) Provident Energy Trust 1200 Blackrock FLTG Rate Inc. SIrategies Fd II
A A B
B B
Interest Interest
J J
T T
B B B A D
Sold J K T T
03/15/10
A B
Dividend Dividend
J J
T T
1. Income Gain Codes: (See Columns B I and I)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes [See Column C21
A ~$1,0~0 or less F =$50,001 - $100,000 J $15.000 or less N =$250.001 - $500,000 P3 =$25.000,001 - $50.000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,1~O,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R -Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 HI =$1,0~O,001 - $5,000,000 L =$50,001 - $100.000 PI =$1,000.001 - $5,000,000 P4 -More than $50,000,000 S =Assessment W =Eslimatcd
D =$5,001 - $15,00~ H2 =More than $5.000.000 M =$100,001 - $250,000 P2 -$5,000.001 - $25.000,000 T =Cash Markcl
E =$15.001 - $50.0~O
VII. INVESTMENTS and TRUSTS - income, vMue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions)
[~]
(2)
Value
Code 2
(J-P)
Method
Code 3 (Q-W)
Date mm/dd/yy
35.
36.
Dividend
GNMA Series 2006-10 JB(Y) Shoretel, Inc. Allis Chalmers Corp Blackrock FLTG Rate Income Strategies Fd II (Y) Helios Advantage Income Fd, formerly RMK Bank of America Blackrock Global FTG Rate Income Trust 1200 RAIT Investment Trust - 1200 FHLMC SER 3112 CL-KQ - 1200 B A B A A A Dividend Dividend Dividend Int./Div. Interest Interest Int./Div. Interest Interest Dividend Interest J J J J K J J J J J T T T T T T T T T A A Dividend Dividend J T T
46. FNMA SER 2007-70 CA- 1200 47. 48. 49. 50. 51.
Blackrock Global FLTG Incom Trust - 1200 A Chase Bank Dreyfus Money Market name changed Eaton Vance Ltd. Duration Income Fund FHLMC CMO Series 3290 A A B B
I. Income Gain Codes: (See Columns B I and IM) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes tSee Column C2)
A =$ 1,000 or Jess F =$50,001 - $100.000 J =$15,000 or less N =$250,001 - $500,00~ P3 =$25,~0~,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001 - $1,000,009 K $15,001 - $50.000 O =$500,0~1 - $1,000,000 R =Cost (Real Estal Only) V =Other
C = $2,501 - $5,000 HI =$1.000.001 - $5,000.090 L =$50,001 - $100,000 Pl =$1,000,001 - $5.0~0.000 P4 -More than $50,000.000 S =Asscs.-,menl W =Estimated
D =$5.001 - $15,000 H2 -More than $5,000.000 M -$100,0~1 - $250.000 P2 =$5,090,001 - $25.000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTM ENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instruction~.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) Value Code 2 (.I-P) (2) Value Method Code 3 (Q-W)
(I) Transactions during reporting period
(2)
(3)
(4)
(5)
Identity of buyer/seller (if private transaction)
Date mm!dd/yy
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
Colonial Bancgroup Inc. Barclays Bk PLC PFD Regions Financing TR Ill PPD, 8,875 MFS Govt. Markets Income Trust SB[ EV Energy Partners LP GNMA CMO Series 2008-60 DG(Y) GNMA CMO Series 2008-58 UE (Y) FHLMCCMO Series3417 FNMA CMO Series 2008-17 MA Macquarie Intrastruct El Paso Corp. 12% Regions Financial Corp, formerlyUnion Planters 7.5% Eaton Vance Ltd. Duration Income Fd. FNMA1993-82H, 1200 Proshares Trust-IRA QWESTCommunications Intl.-IRA Vishay Intertechnology Inc.-IRA
B A A B A
A A A A A A A A A A
Interest lnlerest Dividend Interest Interest Dividend Interest Distribution Dividend Dividend
J J
T T
Sold 05/11/10
J J J J J
T T T T T
Sold Sold
J J
A A
I. Income Gain Codes: (Sce Columns B I and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes {Scc Column C2)
A =$1,000 or Icss F =$50.001 - $ I00,0~ J =$15,000 or less N ~$250.0~1 - $500.000 P3 =$25,000.0~1 - $50.00~.000 Q ~Appr-aisal U =Book Value
B =$1.001 - $2,500 G =$ 100,001 - $1.000.000 K -$15.1~)1 - $50.000 O =$500.001 - $1.000.000 R :Co~t (Real E~tatc Onlyl V Olhcr
C =$2,501 - $5,000 HI =$1,0(~.001 - $5,0~0.00~ L =$50,001 - $100.000 PI :$1.000.001 - $5,000,0~ P4 -More than $50,000,000 S :As~ssmcnt W =Estimated
D =$5,001 - $15.000 H2 =More than M =$10~,001 - $250,000 P2 =$5,000,0~1 - $25,000,0~ T =Cash Markct
E =$15.091 - $50,000
(5)
Identity of buyer/seller (if private transaction)
69. 70. 7 I. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81.
Healthways, Inc.-IRA Enterprise Product Partners LP Energy Transfer Equity FNMA CMO Series 2007-70, 1200 Bunge LTD Finance Co. 8.5% (Y) Bunge LTD Finance Co. 8.5% BB&T CapitaITrust VI 9.6% Triangle Capital Corporation Partnerre Fin A LLC 6.75% FHLMC CMO Series 3329TC GNMACMO Series 200%95 Pfizer Inc. Petrohawk Energy Corp
A B B B
A A B A B A A A A A A
Interest Interest Dividend Interest Interest Interest Dividend Dividend Dividend Dividend Distribution Interest
J J J J J K J
T T T T T T T T Sold 12/06/10 J A
82. Kraft Foods 83. 84. Baxterlntemational Inc. Boardwalk Pipeline Partnership LP
.I
T Sold T 04/27/10 J A
I. Income Gain Codes: (See Columns B1 and D4) 2. Value Codes (SceColumns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $100.0O0 J -$15.000 or less N =$250.001 -$500.000 P3 =$25.000.001 - $50.009.000 O =Appraisal U =Book Value
B =$1.001 - $2,500 G =$100,001 - $1,000,0~ K =$15,001 - $50,000 O $500.001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 HI =$1.0~.001 - $5.000.000 L =$50,001 - $ 100.000 PI =$1,000.001 - $5,000,0~0 P4 =More than $50.000,000 S =Assessment W =Estimated
D =$5.001 - $15,000 H2 =More than $5.000,000 M -$ 100,001 - $250.000 p2 =$5,000.001 -$25,000,000 T =Cash Market
E =$| 5,001
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
(0
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)
(])
Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value Gain mm!dd/yy Code 2 Code I (J-P) (A-H)
(5)
Identity of buyer/seller (if private transaction)
86.
87.
Verizon Communications
Protective Life Corp. 8.0%
A
A
Dividend
Dividend
J
J
T
T
88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
BB&T Capital Trust VI 9.6% Blackrock Enhanced Dividend Achievers Trust Triangle CapitalCorporation (Y) Five Star Quality Care (X) Sandridge Energy Inc. 8.625% Boardwalk Pipeline Partners LP FNMA CMO 2009-70 WA Blackrock Global Floating Rate lnc. Trust 1200 FHLMC CMO 3325 CK 1200 Anixter International 1200 Omnicare Inc. 1200 GTE Ca Inc. Set F 1200
A A
Dividend Dividend
J J
T T
None A A A A A A A A A A A Interest Distribution Interest Dividend Interest Dividend Dividend Interest Dividend Dividend Interest
T Sold Sold
03/09110 04/27/10 J J A B
T T
01/19/10 J
100. Wesco International, Inc. 1200 I01. Exxon Mobil Corp. 1200 102. Pimco Corp Income Fd. 1200
I. Income Gain Codes: (see Columns BI and 2. Value Codes (See Columns CI and D3) 3. Value Method Codes Scc Column C2)
A =$1.000 or less F=$50,001 - $ 100.000 J=$15.000 or less N =$250.001 - $500,000 P3=$25,00~.0~1 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G=$10~.001 - $1.0~0,000 K=$15,001 - $50,000 O=$500,001 - $1,000,000 R =Cost (Real Estate Only) V Other
C =$2,501 - $5,00~ H I =$1,000,001 L =$50,001 - $100,000 PI =$1,000,0~1 - $5,0~0,000 P4 =More than $50,00~,00~ S =Assessment W =Estimated
=$5,001 - $15,000 H2 =More than $5,000,0~) M =$100.~11 - $250.000 12 =$5,000,0~ I - $25,000,000 =Cash Market
E =SI5,001- $50,000
VII. 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.)
Description of Assets (including trust assets)
Place "(X)" after each asset
(2)
Type (e.g.,
Code I (A-H)
Gross value at end of reporting period (i) (2) Value Value Code 2 Method
(J-P) Code 3
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (l-P) (A-H)
(Q-W) 103. Quicksilver Resources 1200 104. Frontier Communications 105. 106. Inergy LP 107. GNMA CMO Series 2010-3 GA 108. XTO Energy Inc. 109. 110. Old Republic Int. Corp III. 112. Prudential PLC 113. 114. Axis Capital Holdings 115. 116. Bank of America 117. FNMA CMO Series 2010-44 HA 118. PACTIV Corp 119. A A A Dividend Interest Dividend J K T T Dividend A Dividend A Dividend A A A Distribution Interest Distribution J J T T A A Dividend Dividend J T T Buy Sold Buy Buy Buy Sold Buy Sold Buy Sold Buy Sold Buy Buy Buy Sold 01/05/I 0 09/28/10 01/28/10 01/29/10 02/24/10 06/22/10 03/04/I 0 04119/10 03/17/10 06/01/10 03/31/10 05/04/I 0 04/09/10 04/30/10 05/03/10 05/17/10 J J J J J J J J J J J J J K J J
(part)
I. Income Gain Codes: (See Coltmms B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes IScc Column C2)
A =$1.000 or le~s F =S50.001 - $100.000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2.500 G =$100.001 - $1.000.000 K =$15,001 - $50.000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5.000 HI =$1.000,001 - $5,000,000 L =$50.001 - $100.000 PI =$1,0~0,001 - $5,000,000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5.001 - $15.000 H2 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5,000,001 - $25.000.000 T =Cash Market
E =$15.001 - $50.000
VII. INVESTMENTS and TRUSTS - i.co,.e, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period O) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (i) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) Transactions during reporting period
(2) (3) (4) Date Value Gain mm!dd/yy Code 2 Code 1 (J-P) (A-H)
120. PAA Natural Gas Storage LP 121. 122. Snovus Financial Corp Conv. Pfd. 123. 124. GNMA CMO Series 2010-57 JE 125. GNMA CMO Series 2010-62 HA 126. First Union Capital Ser-A 127. Baxterlntemational Inc. 128. Sun Life Financial 129. FHLMC CMO Series 3699 LA 130. GNMA CMO Series 2010-105 LC 131. FHLMC CMO Series 3740 JB 132. FLIR Systems Inc. Prior typo 133. KKR and Co. LP 134. General Electric Co. 135. Eaton Vance Insured Municipal Bond Fund 136. Hercules Technology Growth B A A A A B B B A A A A A
Dividend
Buy Sold
05/05/10 05/06/10 05112/10 11/03/10 05/28110 05/28110 06/07/10 06118/10 08109/10 08130/10 08/30/10 I 0/29110 11/01/10 11/12/10 12/09/I 0 12/10/10 12/29/10
J J J J K J J J J K
K K J J J J J A
Dividend
Buy Sold
K J J J J K K J J J J J J
T T T T T T T T T T T T T
Buy Buy Buy Buy (addl) Buy Buy Buy Buy Buy Buy Buy Buy Buy
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Mcthod Codes (See Colunm C2)
A =$ 1.000 or less F =$50,091 - $100.000 J =$15.000 or less N =$250,0OI - $500,000 P3 =$25,0~O,0OI - $50,0~0,000 Q =Appraisal U =Book Value
B = $1.001 - $2,500 G =$100,001 - $1,000.000 K =$15.001 - $50.000 O =$500,0OI - $1,000,000 R =Cost (Real Estate Only) V =Other
C -$2,501 - $5,0~0 HI =$1.000.001 - $5.000.0OO L =$50,001 - $100,000 PI =$1,000,0~1 - $5,000,000 P4 =More than $50.000,000 S =Assessment W =Estimated
D =$5.0~ I - $15,0~0 H2 =More than $5.0OO.0OO M =$100,001 - $250.000 P2 =$5,000,001 - $25,000.000 T =Cash Markct
E =$15.001 - $50.0~O
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) Amount Code I (A-H) (2) Typo (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W)
(I) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 J Code I (JP) i (A-H)
(5)
Identity of buyer/seller (if private transaction)
137. FHLMC CMO Series 3772 NA 138. CACI International Inc. 139. 140. Medical Properties Trust Inc. 1200 141. Medical Properties Trust Inc. 1200 142. GNMA CMO Series 2010-6 NA 1200 143. GNMA CMO Series 2010-30 LE 1200
A A
Interest Dividend
Buy
Buy
12/30/10
02/26/10
J
J
J J J J J
I. Income Gain Codes: IS Columns BI and D-l) 2. Value Codes (S~ Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F -$50,001 - $100.000 J =$15,000 or less N =$250.001 - $500,0~9 P3 =$25.000,001 - $50,0~O.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G $100,001 - $1,00~.000 K =$15,0~1 - $50,000 O =$500.001 - $1,000.000 R =Cost (Real Estate Only"1 V Oahcr
C =$2,501 - $5,000 HI =$1.00~.001 - $5.000.00~ L -$50,001 - $100,000 PI =$1.0~0.001 - $5.000.000 P4 -More than $50.0~0.000 S Assessment W =Estimated
D =$5,001 - $15,000 H2 -More than $5.000,000 M =$100,0~1 - $250,000 P2 =$5.000,001 - $25.000.000 T -Cash Market
E =$15,001- $50,000
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 WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544