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Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
Reviewing 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 information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
Platt, Thomas C.
III. NON-INVESTMENT INC OME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
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1.04/16/10 2. 3. 4.
B. Spouses Non-Investment Income - lf you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
NONE (No reportable reimbursements.) SOURCE Employment Law Seminar DATES March 16, 2010 NYC LOCATION PURPOSE Conference ITEMS PAID OR PROVIDED
H,T, F, L
2. 3. 4. 5.
V. GIFTS. andudcs those to spouse and dependen, children; see pp. 28-31 of filing instructions.)
~
1. 2. 3. 4. 5.
VALUE
VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of f!ling instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
~]
(4)
(A-H)
(5)
(if private transaction)
Allstate Corp. Common Stanley, Black & Decker Common (name "Stanley" added) Canadian Pacific (Ltd.) Common Cenovus Energy, Inc. Conoco Philips Direct TV Group Inc. Discover Financial Services Dupont de Nemours Common E1 Paso Corp. Common Encana Corp. Common Exxon Mobil Common General Electric Common Halliburton Co. Common Hartford Fin. Serv. Group Common Host Hotels & Resorts IBM Common International Paper Co. Common
A A A B D
K K K L M J J K K L P1 O PI J J M K
A A A B E E D A A C A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
L income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Colunms C I and D3) 3. Value Method Codes (See Colunm C2)
A =$1,000 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
13 =$1;001 - $2;500
C =$2,501 - $5,000
D =.$5,001 -$15,000
E =$15,001 - $50,000
o ~$5oo,ool- $~;ooo,ooo
R =Cost (Real Estate Only) V =Other
n =$5,oo0~ool
T --Cash Market
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
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18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
ITT Industries Common Morgan Stanley Common News Corp. Ltd. Preferred Pepsico Common Progress Energy Common Sears Holding Starwood Hotels Common Sun Trust Common Yum Brands Common UBS (Paine Webber) Cash Fund Chase Bank US Series H Bonds IRAs - Chase ******** Trustee - Trust~ Direct TV Group Inc. Du Pont De Nemours
A A
J K J M J J J J K PI J L J
T T T T T T T T T T T T T Redeemed 04/20/10 K
C A
A A A B A B B
(part)
Dividend
P1
1. Income Gain C0d~s: (See Columns BI and D4) 2. Value Codes (See Columns Cf and D3) 3. Value Melhod Codes (See Column C2)
A ~$i;000 ~ i~
B =$1,00t ~ $2,500
C =$2,501 - $5,000 HI --$ ;000,001 = $5 000 000 L =$50i001 - $100i000 : el =$i~000,00i:: $~;0661~66 P4 =More thah $50 000i060 S =Assessment w =Estimated
D =$5,001 - $15,000 H2 =Mrrelthan $5i000 000 i M --$100~001 ~ $250~000 P~:~$~I~00;001 !:$25 0061000 : Y:~Ca~h ~rket
E =$15,001 - $50,000 :
F =$5o,ool- $1o0;o0o
J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
G =$1oo,001 - $1,000,0o0
K =$15,001 - $50~000 O =$500,001 - $ 1,000;000 R =Cost (Real Estate Only) V =Other
VII. INVESTMENTS and TRU STS -income, vatac, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
35. 36.
37. Intl Paper Co 38. 39. 40. 41. 42. 43. 44. 45. News Corp. Ltd. Pepco Holdings, Inc. Raytheon Co CL A Xcel Energy Inc. (formerly Nthn States Power Minn) UBS (Paine Webber) RMA-Govt Cash Fund U.S. Treasury Note
income Oai~ Cbd~s: ~S~ ~;IU~ B i ~d 2. Value Codes (See Colums CI and D3) 3. Vatue Method Codes (See Colum C2)
A=$i 000 0r tess ; F :$501001 i ~i~0~0O0 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001- $50,000,000 Q =Appraisal U =Book Value
B=$i ool ~ $~i~00 : K =$15~00~ . $50,000 O =$500~001 - $1 000 000 R =C0si (Real Estate Onty) V =Other
: c =$2;:501 -$5,000 ~i ~*l ~0 00i ~ ~000,000 L =$50~001 ~ $ 00 000 PI =$i 000~001: $5~000;000 P4 =More th~a $50,000~000 S =Ass~ssmen( W =Estimated
D =$5,001 - $15,000 . =More ~an ~51000;000 ...... M =$i00;0012 $250 000 :~ ~$51000,001 $25,000 000 T ~CaSh Market
E =$15,001 -$50,000
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.
Signature:
S/THOMAS C. PLATT
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