Nora B Fischer Financial Disclosure Report for 2009
Content
R~. 1/~010
ao 10
[
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
GovernmentRcquircd Remr~in AbYcttheof IEthics978
IMPORTANT NOTES: The ~tructions accompanying this form mu~t be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
I. POSITIONS. tR,~g ~,~v~,u o,~ s,,r~ ~-1~ of filing im-tructtonx)
~] NONE (No reportable positions.) POSITION NAME QF QRQANIZATIQ~I/ENTITY
[~]
NONE (No reportable agreements.) ~ PARTIES AND ’Il~RMS
Fischer, Nora B.
FINANCIAL DISCLOSURE REPORT Page 2 of 11
Name of Person Reporting
Date of Report
Fischer, Nora B.
~3t2olo
HI. NON-INVESTMENT INCOME. (~e~or~ ~,~.~’ ~ ~o~; see r~ 17-24 vf flling lnstruction~)
A. Filer’s Non-Investment Income NONE (No reportable non-investment income.) DATE
I.
2.
SOURCE AND TYPE
(yours, not spouse’s)
I~(~OME
3. 4.
B. Spouse’s Non-Investment Income ~[]
lf you were married during an.v portion of the reporting.rear, complete this section.
(Dollar amount not required except for honoraria.)
NONE (’No reportable non-investment income.) DATE ~OURCE AND TYPE
Highmark Inc. - salary
1. 2009 2.
3. 4.
IV. REIMBURSEMENTS - ~,an,po~. tndV-S,/oog enre,~.e~
(Includes tho~e to spo~e and dependent children; see pp. 25-27 of filing instructions.)
[’~ NONE (No reportable reimbursements.) SOURCE
I.
DATES
LOCATION
Farmington, PA
PURPOSE
Activity of professional assoe or civic organization
ITEMS PAID OR PROVIDED
Tram~riation, meals, hotel
Academy of Trial Lawyers of 9/30/09 to 10/I/09 Allegheny County
2. 3. 4.
5.
FINANCIAL DISCLOSURE REPORT Page 3 of 11
Name of rer~on Reporting
D,teofRepert
Fischer, Nora B.
5/3/2010
~’] NONE (No reportable gifts.)
SOURCE
1. 2.
P2.ECI~,D.~
VALUE
3.
4. 5.
VI. LIAB IL ITIES. a,~,~, ~ho~ o~o~, ~ ~p~,,~,~ ~U,~,~: ~ rp. ~ o~ ~,~
NONE ~o reportable liabiliti~3 ~RED~OR
1.
2.
DESC~ION
~
3. 4. 5.
FINANCIAL DISCLOSURE REPORT
NaraeefPersun Reporting
DateofR~rt
Page 4 of 11
Fischer, Nora B.
5/3/2010
3. 4.
5.
Qualified Plan//3 - American AMCAP Fund
- American Europacific Growth
A
B
Dividend
Dividend
L
L
T
T
6.
7.
- Dodge & Cox Stock
A
Dividend
Dividend
L
L
T
T
- Federated Kaufman Small Cap Fund CL A A
8.
. FPA New Income
B B A A A A A B B A
Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend
L K K K L L L L L L
T T T T T T T T T T
Buy
9/4i2009 K
9. - T Rowe Price International Bond 10. - Prime Fund Cap Reserves
i I. - Champlain Small Company Fund Adv CI 12. - Chesapeake Core Growth Fund
Sold
09/01109
L
13. - Eaton Vance Large-Cap Value CI A 14. 15. 16. 17. - Forward Intemt’l Small Co-lnstit shs - Oakmark Intemt’l Small Cap I - Pioneer Equity Income Cl A - SouthemSun Small-cap N/C
I. Income Gain Cod~: (See Colurnrm B I lind IM) 2. Value Cod~s (Se~ Colum~ CI atu;I D3) ~. Va.hm Method Coder (See Coltmalt C2)
A -$1,000 or ~ess F -$ 50,001 - $100,000 J -$15,000 m" less N -$250,001 - $500,O00 P3 -g2~,0OO,001 - $50,000,000 Q -Al~pntisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $ 1,00O,000 K ~$15,001 - $50,0~0 O =$500,001 ¯ $1,000,000 R ~st (Real Estate Only) V~
C =$2,501 - $5,0~0 H I ~$1,000,001 - $5,000,000 L,-$$0,001 - $ I(X),000 PI "$1,000,O01 - $5,000,000 P4 =Mot¢ than $ =Asaeesmeat W =Estitrmted
D =$5,0OI - $15,000 142 *Mc~ than M =$100,001 - $250,000 1’2 =$~,000,O01 * $25,000.O00 T ~.ash Mar~t
£ =$15,~1 -$50#00
FINANCIAL DISCLOSURE REPORT
P~gC 5 Of 1 1
Name°fPer~°nReimrttng
DateofReport
Fischer, Nora B.
5/3/2010
VII. INVESTMENTS and TRUSTS - ~,o,~ ~,~ ~,~,,~o,~ (itwlua~ thost of egoist ~nd dtp¢mfirnt c.h]ldrtn; st~pp. J4-60 of fillng Instructions.)
NONE (No reportable income, assets, or transactions.)
A, Description of Asse~s (including trust assets) Place "(X)" fftcr cash ~s¢* ¢xemptfrompriordiselosur¢ B. Income during r~ot~ing period c. Gross value at end of reporting p~fiod D. Transa~Jun$ during reporting period
Amount Type (e.g., Value ] Value COd¢I die .... t, Co~2 [ Method iA-H) or int.) (J-P) Code 3 ¯ (Q-W) A A B C B A B C B Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend K J L L K J L L L T T T T T T T T T
Type (e.g., ] Valu~ I Gain l Date buy, sell, mm/dd/yy Code2 ]Cod¢l ] rcdemptiun) (J-P) (A-If)
Identity of Imycr/seller (if private transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26, 27.
-T Rowe Price Real Estate Fund - Van Eck Global Hard Assets Class A -Virtus Foreign Opportunities CI A - Eaton Vance Floating Rate Advantage Ad~ . Loomis Sayles Bond Retail Shares - PIMCO Comm Real Return Slrat Cl A - PIMCO Real Return Class A - Vanguard Short Term Invmt Grade Investor - Vanguard Short Ten’n Federal
Buy (add’~)
09/04/09 K
29. 30. 31. 32. 33.
Qualified Plan #4 - TIAA Traditional - CREF Global Equities - CREF Money Market D A A Interest Dividend Dividend M J J T T T Distributed 03/06/09 K
34. Qualified Plan #5
I. ’Income Gain Codm: (Se~ Columns BI and IM) 2. Valtt¢ Cod~ (~t~ Colttm~ CI and DS) 3. Vala~ Melhod Cod¢~ (See Column C2)
^ -$1,000 or less F .,$50,001 . S | DO,000 J "SI ~,000 ~ I~ N ~$250,001 - $500,000 p~ -$25o000,001 - $50,000,000 Q .Aplr~sal O -Book VaI~e
13 -$1,001 - $2,500 G -$100,001 o $1,000,000 K ~$15,001 - S50,000 0 -$~00,001. $1,000,000 R ,~7.ost (Real Estate Only) V~
C =$2.50 ! - $5,000 HI ~SI,000,001 - $5,~00.~00 L -$50,~01 - $100,000 p! =$|,000.001 - $5,000,000 P4 =Mor~ than $ =Asr, cssmenl W =E~imatrd
D H2 =More than $5,000,00~ M =$100,001 - $250.000 P2 ~$$,000,001 - $25,00~,000 T ~Cash Mark~
FINANCIAL DISCLOSURE REPORT
N.=~ ol Person Reperttng
Date of Reoert
Page 6 of 11
F|~her, No,-,, n.
NONE (No r~ortable income, assets, or ~a~ac~o~.)
~ D~pfion of ~ (incl~ng ~st ~m) PI~"(X)" a~ =~ m~t B. In.me d~ng re~ing ~ (1) (2) ~o~l ~ (~.g., (A-H) ~ in~) C. ~ss ~ue at ~d of~po~Mg (1) (2) Value Value (J-P) C~ 3 D. T~sacfions d~ ~g p~ (1) T~ (e.g., ~pfi~) ~ (2) ~ D~te (3) Value (J-P) (4) Grin (A-~
l~fi~ of (if pdv=~
35. 36. 3?. 38. 39. 40. 41. 42. 43. ~. 45. 46. 47. 48. 49. 50. 5 I.
- Ca~eway Int~Uonal - F~e~ US Go~ Sec - PIMCO ~w ~tion - F~ated FD US Go~ S~ - PIMCO Total Rcmm CI A - P~CO Fcreign Bond - ~ Capi~l World Bond - Da~sN~York V~m - ~i~ Int~atio~l - MFS Int~afional New ~sc CI A - Royce Micmcap Inws~t CI~s - Fidcli~, ~mc F~d - Ph~nix Real Es~tc Value - ~ird Av~uc ReM ~m~e Value - Prime Cap Od~sey ~h F~d - T Rowe Pfic~ ~ui~ In,me - T~chs~ Mid C~ Gro~ ~ A
A B C A C A B A A A B A A A A A A
Dividend Divided Divided Di~d Divided Divided Divided Di~d~d Di~dend Divided Divided Di~dcnd Diddend Di~d~d Dividend Divided Dividend
L L L K L J K L L L M L K K L L M
T T T T T T T T T T T T T T T
T
I. Income Glin Codes: (See Coh~mr~ B I and D4) 2. Value Cod~ (See Co~.m n~ CI tr~ D3) 3. ValUe Med~od Co~ (Se¢ Column C2)
A -$1,000 or te~s F -$50,001 - $ I 0~,0~ J =$15,000 ot 1~ N ~$250,001 - $500,000 P3 -$25,UO0.001 - $ $0,000,000 Q =Appraisal U -Book Value
B -$1,001 - $2,500 G "$100,001 - $1,000,000 K =$15,001 - $50,000 O -$500,001 - SI,000,000 R "Cost (Real Estate Only) V "Othe~
C "$~,~101 - $5,000 HI =$1,000,001 - 55,000,000 L =$S0,001 - $ |00,000 P I =$1,000,001. S$.000,000 P4 -More d~m $ 50,000.0OO S =A.sse~ 1~t W-Estimated
D -$5,00! - $15.000 H2 =Moo ~han $5,000,000 M =$100,001 - $~50,000 P2 =$5,000,001 - S25.000,000 T ~’C~h Market
E -$15,0~1 - $.~O ,0~0
FINANCIAL DISCLOSURE REPORT
[ N.m, of re,’,o,, Repo~.~
a.te ut Rno~t
5~010
Page 7 of 11 [ VII. ~VESTMENTS and TRUSTS NONE ~o repo~able income, ~sets, or transactions.)
A. Desc~pfion of~ (including ~t ~) Pla~ "~)" after ~h ~s~ ¢x~pt ~om prior di~lo~ B. r~aing ~6od (t) (2) Am~t T~ (e.g., C~ 1 ~v., ~ (A-~ or int.) C. of~o~ng p~ (2) O) Val~ Value CMe 2 Me,or (J-P) ~3 D.
~scher, Nora ~
(0 T~ (e.g.. b~, ~11, ~d~ption)
(2) Date ~d~
(3) (~) V~ Gain ~e 2 C~ I (J-P) (A-~
(5) Id~fi~ of b~=/~ll~ (if pfiva~
(Q-W)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. Qualified Plan #7 - PIMCO Tolal Return Fund (Admin) - BGI Small Cap Domestic Equity Index - Marsico Focused Growth Portfolio - MFS Inst International Equity Fund B A A A Dividend Dividend Dividend Dividend L K L L T T T T Qualified Plan #6 - Artisan Mid Cap - Hewitt, Cash Balance Plan A A Dividend Interest J J T T - Van~d G~A - Pioneer ~llen V~ue FuM Cl A - Van Eck Global Ha~ ~s~ Cl~s A - P~CO Co~ Real R~ S~at CI A - IVA Wodd~de F~d Cl A B A A A A Divided Di~dend Divided ~vidend Dividend L L J J L T T T T T Buy 09~4/~ L
!67. 168. Qualified Plan #8
(~ Col~ C2)
O -B~k Val~
V~
W
FINANCIAL DISCLOSURE REPORT I ~her, Nora B. Nam© of Person Reporting Page 8 of 1 1
I
D,tc of n,port 5/3~010
VII. INVESTMENTS and TRUSTS - ~,co~.o, ~a.o, ~,.~o~s
NONE ~o r~o~able income, asse~, or tramactions.)
A, ~on of As~ (inclu~ng ~st ~s¢~) PI~ "(X)" ~ ~ ~ B. Income d~g ~g ~ (0 (2) ~o~t T~ (e.g., (A-H) : ~ int.) C. Gross value of ~i~ (2) 0) V~u¢ Value (~-O C~ 3 (Q-W) T D.
(0 T~ (e.~, ~d~pfion)
(~) ] Da~ :
O) Value (J’D
(4) G~n (A-~
(5) ]d~fiU of {if private
69.
- PtM~ To~ R¢~ F~d (Admin)
None
L
70. 71,
72. 73.
- MFS Inst Intematiorml Equity Fund - Dreyfus Premier High Income - Class I
- Evergreen Intrinsic Value - Institutional shares - BGI Mid Cap Domestic Equity Index
B B
B B
Dividend Dividend
Dividend Dividend
L K
L L
T T
T T
74. "/5.
76. 77. 78. 79. 80.
- GMO Intemationa! Intrinsic Value - M Shares
B
Dividend
K
T
Brokerage Account #1 - American Funds, Fundamental Investors - Federated Kaufmann Cl K - Royce Pcnnsyl Mutual Invs! - T Rowe Price Intl Disc A A A A Dividend Dividend Dividend Dividend K K K K T T T T
81.
82. 83. 84.
- T Rowe Price Real est Fund
- Thomburg Inv Income Builder - Thomburg Inter Muni Class A - Thomburg Ltd Term US Govt
A
B B A
Dividend
Dividend Interest Dividend
K
K
T
T Sold 11105109 K
K
T
85.
- Thomburg Value Class A
A
Dividend
K
T
FINANCIAL DISCLOSURE REPORT
N,,~ or r,~,on ~pom.g
Fischer, Nora B. 5~010
Page 9 of 11
VII. ~VEST~NTS and ~USTS - ~,~,,. ~.,. ~=~= a~,~ ~o,, of s~e and ~e~ent children; ,¢e p~ 34~0
NONE ~o repomable income, ~sets, or tramactions0
A. ~fipfion of As~ (inclu~ng ~st ~) Plac¢ "(~" after och ~ *x~pt~mpdor~losm B. Incom~ dung r~ing ~ O) (2) ~o~t T~ (.g., C~e I : div.,~L (A-H) ~ int.) C. Gms~ value ~ ~d of ~ng pefi~ (2) O) Value Value C~e2 Meth~ C~* 3 (J’P) (Q’~ K K J K K J K K T T T T T T T T Buy 11103/~ K D. T~n~ctions d~ng r~ng .(0 ] (X) O) (4) T~ (e.g., Date Val~ Gain ~y, sell, m~dM~ C~¢2 ’ C~* I ~¢mpti~) (J-P) (A-~
ld~fiW 0f (if pfiva~
86. 87. 88. 89. ~. ’ 91. 92. 93. 94. 95. 96. 97.
- Tw~dy Bm~e Global VMue - Willi~ BI~ Inel ~ Cl~s - ~ge & Cox In.me - PIMCO Forei~ In~ SHS - ~o~b~g L~ Te~ Income - Prime F~d Capi~ Res¢~ - Col~bia M~i¢o 21~t C~y CI A - F~in F~e~l In~ Te~ T~ F~e A
A A A B B A
Di~dend Di~d~d Divided ~vid~d Divided Dividend None
A
Di~d~d
M~s Mutual Life lmmme Poli~ M~ Mural Li~c Immnce Poli~
A A
In~ In~
K K
T T
98. HSA ~1 99. -~dge ~dCox Mt~afio~l 1~. - ~$~ S~ll Cap 101. - PFPC, C~h a~o~t 102. A A A Di~dend Di~dcnd Int~t J J J T T T
I. Income Gain Codes:
^ -$ 1,000 or Ics.s
n -$ 1,001 - $2,500
C
(S~ ~ CI ~d D3) 3. Va~ Me~ ~ (S~ Col~a C2)
N -12~0,~1 - $5~,~ P3 =$25,~0,~1 - $50,~.~0 Q -A~i~ U -B~k Value
O ~$5~,~1 - Sl,~,~ E ~ (R~ ~mm Only) V~
PI -$1,~.~1 - $5,~0,~ P4 -M~ ~ $50,~,0~ S =~ W
~ =$5,~,~1 - $2~,0~.~ T ~h Mmk~
FINANCIAL DISCLOSURE REPORT [ Fischer,Name of Person Reporting Nora B.
Pag~ 10 of 11
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.
1) Part VII, p. 1 - Qualified plans #1 and #2 wcr~ liquidated in full in 2008.
Date of Reper~
FINANCIAL DISCLOSURE REPORT Page 11 of 11 IX. CERTIFICATION.
Name of Person Reporting
J
Date of Report
Fischer, Nora B.
5/3/2010
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 permlt~ng non-disclogure. ! further certify that earned Income from outside employment and honoraria and the acceptance ef gifts which have been reported are In compliance with the provisions el5 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
Ao w
1/2olo
]
]
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
2. Court or Organization District Court, Western PA 5a. Report Type (check app~epriate b’PO) [] Nomination, [] Initial Date ~ ~ Annual [] Final
Report Requir~a by the Ethics
in Government Act of 1978 (5 U.S.C. app. §§ 101-111)
!. Person Repot’ring (last ha.me, first, middle initial) Fischer, Nora B. 4. Title (Article Ill judges indicate a~tive or senior sm~s; magistrate judges indicate full- or part-time) Federal District Court Judge - Active
3. Date of Report 5/3/2010 6. Reporting Period 01/01/2009 to 1.2/3 t/2009
7. Chamber,s or Office Address Suite 5260, US Post Office & Cotnthouse Seventh Avenue & G-rant Street Pittsburgh, PA 15219
5b. [] Amended Report : 8. On the basis of the Information ontained In this Repor~ and any modifications pertaining thereto, It is, in my opinion, in compliance with applicable laws and regulations. , Reviewing Officer Date
IMPORTANT NOTES: The instructio~ accompanying this form must be followecL Complete all parts,
checking the NONE box for each part where you have no reportable informatiot~ Sign on lastpag~
I. POSITIONS. ~n,~o,n,g ~,a~na o,~y: ~,~ w. ~-~ ~ of filing instructions.)
NONE (No reportable positions.) POSITION 1. 2.
NAME QF QRQANIZATIQN/ENTITY
4.
CI ....
[~]
NONE (No reportable agreements.) DATE PARTIES AND TERMS
FINANCIAL DISCLOSURE REPORT Page 2 of 11
~a~e of Person Reporting
Fischer, Nora B.
Date of Report
5/3/2010
lit. N O IN-INVESTMENT IN COME. (R~por~ ~dl,ld,at and ~ro,~; ,~e p~ ~ ~-~ o!~d~g i~.~,c~to,~.~
A, ~iler’s Non-lnvestment Income NONE (No reportable non-investment income.) DATE
1. 2. 3. 4.
SOURCE AND TYPE
(yours, not spouse’s)
INC,,.QME
B. Spouse’s Non-lnvestment Income - If 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.)
DATE SOURCE AND TYPE
Highmark Inc. - salary
1, 2009 2.
3. 4.
IV. REIMBURSEMENTS (Includes those to s~e and dependent children: see pp, 25-27 of filing i~ctions.)
~
NONE (No reportable reimbursements.) ~ ~ ~
Fa~ington, PA
P~OSE
Activi~ ofprofessi~al ~oe or cite org~ation
ITEMS PAID OR PRODDED
TriseCtion, m~ls, hotel
1.
Academy of Trial ~e~ of 9130/09 to 10/1109 Allegheny Coun~
2. 3. 4. 5.
FINANCIAL DISCLOSURE REPORT Page 3 of i 1
] N.~e of Pe,~o. Re~o,t~ I Fischer. Nora B.
D.te or R~o~ 5/3/2010
V. GIFTS. a.~,d~ ,~o,~ ,o ,po~s, ~d ~.~,,~ children; se~ pp. 28-31 of ~g i~trUct~)
NONE ~o reportable g~ts.) ~
1, 2.
DESC~P~ON
~
3.
4. 5.
~
NONE (No reportable liabilities.)
~REDITOR
DESCRIPTION
VALUE CODE
2.
3. 4.
PageFINANCIAL4 of 11 DISCLOSURE REPORT
I
Name of Person Reporting
Date of Report 5/3/2010
[ Fischer, Nora B.
i
VII. INVESTMENTS an d TRUSTS - ~,co.,, .~.., .~,~.~o,~ andudes those of sm~ and #tpendent eh##rts; su ~ ~4~0 of ~#ng ~uct~m)
NONE ~o reportable income, assecs, or tra~actions.)
A. Description of A~c~ (including ~t ~s) Plac~ "(X)" aRc~ each ~ excmpl ~om prior di~los~c ~ 1. i2 3. Qualified Plan #3 - American AMCAP Fund - American Europacific Growth - Dodge & Cox Stock - Federated Kaufman Small Cap Fund CL A - FPA New Income - T Rowe Price International Bond - Prime Fund Cap Reserves - Champlain Small Company Fund Adv CI - Chesapeake Core Cn-owth Fund - Eaton Vance Large-Cap Value CI A - Forward Intemt*l Small Co-lnstit shs - Oakmark Intemt’l Small Cap I - Pioneer Equity Income CI A - SouthernSun Small-cap N/C A B A A B B A A A A A B B A Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend L L L L L K K K L L L L L L T T T T T T T T T T T T T ~T Sold (part) 109/01/09 L Buy (add’l) 9/4/2009 K PNC B~k ~coun~ B. C, In,me d~ng Gto~ value al ~nd oft~ng ~fi~ r~po~ing ~fi~ ~) (2) {~) (2) Amo~l T~ (e.g., Valuo Value ~ C~¢ l div, mn~ Code 2 M~th~ orint.) (J-P) C~c3 ~(A-H) ; (Q-W) A Intreat K T D. T~sactions d~ng ~ing period O) ~ (e.g., ~ buy, ~ll, ~ redemption) l ~ (~) O) (4) ~ Date Value Gain ~ m~d~ C~e 2 C~c I (J-P)(A-H) ~ [ (~) Idoti~ of buyerls~llor (ifpfivatc ~saction)
i4.
5. 6. 7. 8. 9. 10. i I. 12. 13. 14. 15. 16. 17.
t
2. Value Cod~
J =115,~ or t~
K =$15,~t - S50,000
L ~$50,~1 - $1~.~
M =$1~,~I - $250,~0
FINANCIAL DISCLOSURE REPORT
Page 5 of 11
I
Name of Person Reporting
Date of Report
s/3nox0
[ Fischer, Nora B.
VII. IN VEST MENTS an d TRUSTS - ~o,.,, ~t~ ~,.~,cao.~ (i,~.~ sho,, o1 ~o ..... a d~en~nt chlld~n¢ see pp.
NONE ~o reportable income, assets, or ~ansactions.)
Description of As~ (~cluding ~st ~ls) Pla~ "(X)" afl~ ~eh ~sel exempt ~m p~or di~los~ Income d~ng ~po~ing period ~-- (2) A~o~t T~c (.g., div., ~n~ ~ Code 1 ¯ ~ (A-H) orint.) ~ ~oss value at end I~ of repoaing ! -- ~~3 .... ’ VaIue ~ Value C~e 2 Method C~e3 (J-P) (Q-W) K J L L K J L L L T T T T T T T T T Buy (add’l) :09104/09 K Transactions d~ng ~ng pefi~ (1) T~e (.g., buy, sell, ~dcmplion) [ (2) (3) [ (4) : [ Date Val~~ Gain ~ m~d~ C~e 2 ~ C~e 1 (J-P) ~ (A-H) ; ~ _ (5) ldentiW of buycr/~ller (ifp~vatc ~n~etion)
18. 19. 20, 21. 22. 23, 24. 25. 26. 27. 28. 29. 30. 31. 32. 33, 34.
-T Rowe Price Real ~te F~d - Van Eck Global Hard Assets Class A - Virtus Foreign Opportunities CI A - Eaton Vance Floating Rate Advantage Adv - Loomis Sayles Bond Retail Shares - PIMCO Comm Real Return Swat CI A - PIMCO Real Return Class A - Vanguard Short Term Invmt Grade Investor - Vanguard Sho~t Term Federal
A A B C B A B C B
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
Qualified Plan#4 - TIAA Traditional - CREF Global Equities - CREF Money Market D A A Interest Dividend Dividend M J J T T T Distributed 03i06/09 K
Qualified Plan #5
(See Column~ BI ~d D4)
F -$50.001 - $1~,~0
G =$1~.~1 - $1 ,~0,0~
H 1 =51,~,~1 - $5,0~,~
H2 =More th~
P3 -$25,~,~ I - $50,000,000
P4 =More than $50,~,0~
FINANCIAL DISCLOSURE REPORT
N.,.e of Person Reporting
Date of Report
Page 6 of 11
Fischer, Nora B.
5/3/20t0
VII. INVESTMENTS and TR U STS -.co~e, ~ ~,~anaons (tnc~ud~, ,~o,~ o~s,o.,o and ~r*~e~, ¢~d.*n;
--] NONE (No reportable income, assets, or transactions.)
A. Description of ASset~ (including trust assets) PLace "(X)" after each asset exempt from prior disclo .... B. Income during reporting period C. [ Gross value at ’nd of reporting period [ D. Transaetions during reporting period
i o)
I Amount ’ Code l ! (A-H) ~
Type (e.g., di ..... t, orim.)
~)
~l)
~z)
(l)
Gain i Date i Vahle mm/dddyy Cod’l C¢~o~.~e? ~,~ ] (A-H) ! . I i ! i
Value Code 2 (.!-P)
Value Method Code3 (Q-W) T T T T T T T T T T T T T T T T T
’ [ Type (e.g., i buy, sell, [ redemption) i
(5) Identity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. 40. 41.
- Causeway International - Federated US Govl Sac - PIMCO Low Duration - Federated FD US Govt Sac - PIMCO Total Return CI A - PIMCO Fereign Bond - American Capital World Bond
A B C A C A B A A A B A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
L L L K L J K L L L M L K K L L M
i42.Davis New York Venture 43. 44. 45. 46. 47, 48. 49. 50. 5 t. - Artisan International - MFS International New Disc CI A - Royce Mierocap Investment Class - Fidelity, Prime Fund - Phoenix Real Estate Value - Third Avenue Real Estate Value - Prime Cap Odyssey Growth Fund - T Rowe Price Equity Income - Touchstone Mid Cap Growth CI A
FINANCIAL DISCLOSURE REPORT Page 7 of 11
N~e of Per*on Reporting Fischer, Nora B.
Date of Report 5/3/2010
VII. INVESTMENTS and TRUSTS - i~co.~, ~at.~, ~,~.~n, anct.~,, tho,~ o~ ~d ~.~,
NONE ~o reportable income, assets, or tr~sactions.)
A. Description of As~ (incl~ing ~t ~) place "(x)" a~cr each ~sct ~x~mpt ~om prior di~l~e B. In~m~ during re~ing pc~ (t) ~ (2) Amc~t ~ V~ (e.g., Cod~ 1 j div., ~n~ (A-H) [ or int,) C. ~ Gro~s valu~ at end offering [ (0 (2) ~t) Value V~lu~ T~ (-8Code 2 Method buy, ~ll. (J-P) C~c 3 redemption) D. Transactions during ~ing p~fiod
Date ~ m~d~ i C~ 2 C~e 1
buy~/~ll~r
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63, 64. 65. 66. 6"/.
- Van~d G~A - Pioneer C~llen Value Fund CI A - Van Eck Global Hard Assets Class A - P1!vICO Comm Real Return Strat CI A - IVA Worldwide Fund CI A
B A A A A
Divided Dividend Dividend Dividend Dividend
L L J J L
T T T T T Buy 09/04/09 L
Qualified Plan #6 - Artisan Mid Cap - Hewitt, Cash Balance Plan A A Dividend Interest J J T T
Qualified Plan #7 - PIMCO Total Return Fund (Admin) - BGI Small Cap Domestic Equity Index - Marsico Focused Growth Portfolio - MFS Inst International Equity Fund B A A A Dividend Dividend Dividend Dividend L K L L T T T T
68. Qualified Plan #8
(See Col~n C2~
U =B~k Value
V =O~
W :~tima~d
FINANCIAL DISCLOSURE REPORT Page 8 of 11
[ Name of Person Reportil~g Fischer, Nora B.
Da,e of Report 5/3t2010
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during i reporting p~riod (1) I (2) ::Amount11 Type (.g., die., rent, i Code 1~| orint.) (A-H) i [ None Gross value at end of reporting period (i~ (2) Value Value Code 2 Method Code3 (J~P) (Q-W) L T Transactions dturing reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) [ Date ! Value I Gain imm/ddgyy I Code 2 Code 1 :: (J-P) / (A-H) [ (5) Identity of buyer/seller (if private transaction)
69.
- PIMCO Total Return Fund (Admix)
70.
71. 72, 73.
- MFS last International Equity Fund
- Dreyfus Premier High Income - Class I - Evergreen Intrinsic Value - Institutional shares - BGI Mid Cap Domestic Equity Index
B
B B B
Dividend
Dividend Dividend Dividend
L
K L L
T
T T T
74. 75. 76.
77,
- OMO International Intrinsic Value - M Shares
B
Dividend
K
T
Brokerage Account #1
- American Funds, Fundamental Investors A Dividend K T
78.
79. 80. 81. 82. 83. 84. 85.
- Federated Kaufmann CI K
- Royce Pennsyl Mutual lnvst - T Rowe Price Intl Disc - T Rowe Price Real est Fund - Thomburg Inv Income Builder - "l’homburg Inter Muni Class A - Thomburg Ltd Term US Govt ~ Thomburg Value Class A
A
A A A B B A A
Dividend
Dividend Dividend Dividend Dividend Interest Dividend Dividend
K
K K K K
T
T T T T Sold 11/05/09 K
K K
T T
(See Col~m C2)
U ~B~k Value
V ~r
W =Esii~ted
FINANCIAL DISCLOSURE REPORT Page 9 of 11
Name of Person Reporting
Date of Report
5/3/201o ] Fischer, Nora B.
VII. INVESTMENTS and TRUSTS - ~o~.,e, v,#,,~, ,r~,~uc~o,~ a.a,,a~ a,o~. ofspou$¢ and depend, at children; $pp. 34-60 offillng ~$tructl~)
NONE (No reportable income, assets, or transactions.)
A.
Description of As~ts (including trust assets) Place"(X)"aflereaehassel exempt from prior flisclosur~
i
[ l
a,
Income during reporting period Type(e.g.. div., r~nk or int.)
C,
Gross value at ~ad of ~eportlng period i V,lue i Value Code 2 i Method (J-P) Code 3 Type(e.g., buy, sdl, redemption) Transactions during reporting p~riod
iA,"aolmt Code I ! (A-H)
i Date ]Vaiu¢ G~in t mm/dd/yy I Code 2 C~t¢ 1 t (A-H) ] (J-P)
Identityof buyer/seller (ifprlvat~
86, 87. 88. 89. 90. 9 I. 92. 93. 94. ! 95. 96. 97.
- Tweedy Browne Global Value - William Blair Iiit’l Growth Class - Dodge & Cox Income - PIMCO Foreign Inst SHS - Thornburg Ltd Term Income - Prime Fund Capital Reserves - Columbia Marsico 21st Centruy CI A - Franklin Federal late Term Tax Free A
A A A B B A
Dividend Dividend Dividend Dividend Dividend Dividend None
K K J K K J K K
T T T T T T T T Buy 11/05/09 K
A
Dividend
Mass Mutual Life Insurance Policy Mass Mutual Life Insurance Policy
A A
Interest Interest
K K
T T
98. HSA # 1 99. - Dodge and Cox International Artisan Small Cap 101. - PFPC, Cash account 102. A A A Dividend Dividend Interest J J J T T T
FINANCIAL DISCLOSURE REPORT
~am, of Persott Reporting
Date of Report
Page 10 of 11
vl,~her, Nora B.
S/S~0i0
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. and~,t, pono/~,vo,~
1) Part VII, p. l - Qualified plans #1 and #2 were liquidated in fi~ll in 2008.
FINANCIAL DISCLOSURE REPORT Page 1 1 ofll IX. CERTIFICATION.
Name of Person Reporting ] Fischer, Nora B.
I 1
Date of Report 5/3/2010
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 WILF!3LLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.Co 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
ao 10
[
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
GovernmentRcquircd Remr~in AbYcttheof IEthics978
IMPORTANT NOTES: The ~tructions accompanying this form mu~t be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
I. POSITIONS. tR,~g ~,~v~,u o,~ s,,r~ ~-1~ of filing im-tructtonx)
~] NONE (No reportable positions.) POSITION NAME QF QRQANIZATIQ~I/ENTITY
[~]
NONE (No reportable agreements.) ~ PARTIES AND ’Il~RMS
Fischer, Nora B.
FINANCIAL DISCLOSURE REPORT Page 2 of 11
Name of Person Reporting
Date of Report
Fischer, Nora B.
~3t2olo
HI. NON-INVESTMENT INCOME. (~e~or~ ~,~.~’ ~ ~o~; see r~ 17-24 vf flling lnstruction~)
A. Filer’s Non-Investment Income NONE (No reportable non-investment income.) DATE
I.
2.
SOURCE AND TYPE
(yours, not spouse’s)
I~(~OME
3. 4.
B. Spouse’s Non-Investment Income ~[]
lf you were married during an.v portion of the reporting.rear, complete this section.
(Dollar amount not required except for honoraria.)
NONE (’No reportable non-investment income.) DATE ~OURCE AND TYPE
Highmark Inc. - salary
1. 2009 2.
3. 4.
IV. REIMBURSEMENTS - ~,an,po~. tndV-S,/oog enre,~.e~
(Includes tho~e to spo~e and dependent children; see pp. 25-27 of filing instructions.)
[’~ NONE (No reportable reimbursements.) SOURCE
I.
DATES
LOCATION
Farmington, PA
PURPOSE
Activity of professional assoe or civic organization
ITEMS PAID OR PROVIDED
Tram~riation, meals, hotel
Academy of Trial Lawyers of 9/30/09 to 10/I/09 Allegheny County
2. 3. 4.
5.
FINANCIAL DISCLOSURE REPORT Page 3 of 11
Name of rer~on Reporting
D,teofRepert
Fischer, Nora B.
5/3/2010
~’] NONE (No reportable gifts.)
SOURCE
1. 2.
P2.ECI~,D.~
VALUE
3.
4. 5.
VI. LIAB IL ITIES. a,~,~, ~ho~ o~o~, ~ ~p~,,~,~ ~U,~,~: ~ rp. ~ o~ ~,~
NONE ~o reportable liabiliti~3 ~RED~OR
1.
2.
DESC~ION
~
3. 4. 5.
FINANCIAL DISCLOSURE REPORT
NaraeefPersun Reporting
DateofR~rt
Page 4 of 11
Fischer, Nora B.
5/3/2010
3. 4.
5.
Qualified Plan//3 - American AMCAP Fund
- American Europacific Growth
A
B
Dividend
Dividend
L
L
T
T
6.
7.
- Dodge & Cox Stock
A
Dividend
Dividend
L
L
T
T
- Federated Kaufman Small Cap Fund CL A A
8.
. FPA New Income
B B A A A A A B B A
Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend
L K K K L L L L L L
T T T T T T T T T T
Buy
9/4i2009 K
9. - T Rowe Price International Bond 10. - Prime Fund Cap Reserves
i I. - Champlain Small Company Fund Adv CI 12. - Chesapeake Core Growth Fund
Sold
09/01109
L
13. - Eaton Vance Large-Cap Value CI A 14. 15. 16. 17. - Forward Intemt’l Small Co-lnstit shs - Oakmark Intemt’l Small Cap I - Pioneer Equity Income Cl A - SouthemSun Small-cap N/C
I. Income Gain Cod~: (See Colurnrm B I lind IM) 2. Value Cod~s (Se~ Colum~ CI atu;I D3) ~. Va.hm Method Coder (See Coltmalt C2)
A -$1,000 or ~ess F -$ 50,001 - $100,000 J -$15,000 m" less N -$250,001 - $500,O00 P3 -g2~,0OO,001 - $50,000,000 Q -Al~pntisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $ 1,00O,000 K ~$15,001 - $50,0~0 O =$500,001 ¯ $1,000,000 R ~st (Real Estate Only) V~
C =$2,501 - $5,0~0 H I ~$1,000,001 - $5,000,000 L,-$$0,001 - $ I(X),000 PI "$1,000,O01 - $5,000,000 P4 =Mot¢ than $ =Asaeesmeat W =Estitrmted
D =$5,0OI - $15,000 142 *Mc~ than M =$100,001 - $250,000 1’2 =$~,000,O01 * $25,000.O00 T ~.ash Mar~t
£ =$15,~1 -$50#00
FINANCIAL DISCLOSURE REPORT
P~gC 5 Of 1 1
Name°fPer~°nReimrttng
DateofReport
Fischer, Nora B.
5/3/2010
VII. INVESTMENTS and TRUSTS - ~,o,~ ~,~ ~,~,,~o,~ (itwlua~ thost of egoist ~nd dtp¢mfirnt c.h]ldrtn; st~pp. J4-60 of fillng Instructions.)
NONE (No reportable income, assets, or transactions.)
A, Description of Asse~s (including trust assets) Place "(X)" fftcr cash ~s¢* ¢xemptfrompriordiselosur¢ B. Income during r~ot~ing period c. Gross value at end of reporting p~fiod D. Transa~Jun$ during reporting period
Amount Type (e.g., Value ] Value COd¢I die .... t, Co~2 [ Method iA-H) or int.) (J-P) Code 3 ¯ (Q-W) A A B C B A B C B Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend K J L L K J L L L T T T T T T T T T
Type (e.g., ] Valu~ I Gain l Date buy, sell, mm/dd/yy Code2 ]Cod¢l ] rcdemptiun) (J-P) (A-If)
Identity of Imycr/seller (if private transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26, 27.
-T Rowe Price Real Estate Fund - Van Eck Global Hard Assets Class A -Virtus Foreign Opportunities CI A - Eaton Vance Floating Rate Advantage Ad~ . Loomis Sayles Bond Retail Shares - PIMCO Comm Real Return Slrat Cl A - PIMCO Real Return Class A - Vanguard Short Term Invmt Grade Investor - Vanguard Short Ten’n Federal
Buy (add’~)
09/04/09 K
29. 30. 31. 32. 33.
Qualified Plan #4 - TIAA Traditional - CREF Global Equities - CREF Money Market D A A Interest Dividend Dividend M J J T T T Distributed 03/06/09 K
34. Qualified Plan #5
I. ’Income Gain Codm: (Se~ Columns BI and IM) 2. Valtt¢ Cod~ (~t~ Colttm~ CI and DS) 3. Vala~ Melhod Cod¢~ (See Column C2)
^ -$1,000 or less F .,$50,001 . S | DO,000 J "SI ~,000 ~ I~ N ~$250,001 - $500,000 p~ -$25o000,001 - $50,000,000 Q .Aplr~sal O -Book VaI~e
13 -$1,001 - $2,500 G -$100,001 o $1,000,000 K ~$15,001 - S50,000 0 -$~00,001. $1,000,000 R ,~7.ost (Real Estate Only) V~
C =$2.50 ! - $5,000 HI ~SI,000,001 - $5,~00.~00 L -$50,~01 - $100,000 p! =$|,000.001 - $5,000,000 P4 =Mor~ than $ =Asr, cssmenl W =E~imatrd
D H2 =More than $5,000,00~ M =$100,001 - $250.000 P2 ~$$,000,001 - $25,00~,000 T ~Cash Mark~
FINANCIAL DISCLOSURE REPORT
N.=~ ol Person Reperttng
Date of Reoert
Page 6 of 11
F|~her, No,-,, n.
NONE (No r~ortable income, assets, or ~a~ac~o~.)
~ D~pfion of ~ (incl~ng ~st ~m) PI~"(X)" a~ =~ m~t B. In.me d~ng re~ing ~ (1) (2) ~o~l ~ (~.g., (A-H) ~ in~) C. ~ss ~ue at ~d of~po~Mg (1) (2) Value Value (J-P) C~ 3 D. T~sacfions d~ ~g p~ (1) T~ (e.g., ~pfi~) ~ (2) ~ D~te (3) Value (J-P) (4) Grin (A-~
l~fi~ of (if pdv=~
35. 36. 3?. 38. 39. 40. 41. 42. 43. ~. 45. 46. 47. 48. 49. 50. 5 I.
- Ca~eway Int~Uonal - F~e~ US Go~ Sec - PIMCO ~w ~tion - F~ated FD US Go~ S~ - PIMCO Total Rcmm CI A - P~CO Fcreign Bond - ~ Capi~l World Bond - Da~sN~York V~m - ~i~ Int~atio~l - MFS Int~afional New ~sc CI A - Royce Micmcap Inws~t CI~s - Fidcli~, ~mc F~d - Ph~nix Real Es~tc Value - ~ird Av~uc ReM ~m~e Value - Prime Cap Od~sey ~h F~d - T Rowe Pfic~ ~ui~ In,me - T~chs~ Mid C~ Gro~ ~ A
A B C A C A B A A A B A A A A A A
Dividend Divided Divided Di~d Divided Divided Divided Di~d~d Di~dend Divided Divided Di~dcnd Diddend Di~d~d Dividend Divided Dividend
L L L K L J K L L L M L K K L L M
T T T T T T T T T T T T T T T
T
I. Income Glin Codes: (See Coh~mr~ B I and D4) 2. Value Cod~ (See Co~.m n~ CI tr~ D3) 3. ValUe Med~od Co~ (Se¢ Column C2)
A -$1,000 or te~s F -$50,001 - $ I 0~,0~ J =$15,000 ot 1~ N ~$250,001 - $500,000 P3 -$25,UO0.001 - $ $0,000,000 Q =Appraisal U -Book Value
B -$1,001 - $2,500 G "$100,001 - $1,000,000 K =$15,001 - $50,000 O -$500,001 - SI,000,000 R "Cost (Real Estate Only) V "Othe~
C "$~,~101 - $5,000 HI =$1,000,001 - 55,000,000 L =$S0,001 - $ |00,000 P I =$1,000,001. S$.000,000 P4 -More d~m $ 50,000.0OO S =A.sse~ 1~t W-Estimated
D -$5,00! - $15.000 H2 =Moo ~han $5,000,000 M =$100,001 - $~50,000 P2 =$5,000,001 - S25.000,000 T ~’C~h Market
E -$15,0~1 - $.~O ,0~0
FINANCIAL DISCLOSURE REPORT
[ N.m, of re,’,o,, Repo~.~
a.te ut Rno~t
5~010
Page 7 of 11 [ VII. ~VESTMENTS and TRUSTS NONE ~o repo~able income, ~sets, or transactions.)
A. Desc~pfion of~ (including ~t ~) Pla~ "~)" after ~h ~s~ ¢x~pt ~om prior di~lo~ B. r~aing ~6od (t) (2) Am~t T~ (e.g., C~ 1 ~v., ~ (A-~ or int.) C. of~o~ng p~ (2) O) Val~ Value CMe 2 Me,or (J-P) ~3 D.
~scher, Nora ~
(0 T~ (e.g.. b~, ~11, ~d~ption)
(2) Date ~d~
(3) (~) V~ Gain ~e 2 C~ I (J-P) (A-~
(5) Id~fi~ of b~=/~ll~ (if pfiva~
(Q-W)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. Qualified Plan #7 - PIMCO Tolal Return Fund (Admin) - BGI Small Cap Domestic Equity Index - Marsico Focused Growth Portfolio - MFS Inst International Equity Fund B A A A Dividend Dividend Dividend Dividend L K L L T T T T Qualified Plan #6 - Artisan Mid Cap - Hewitt, Cash Balance Plan A A Dividend Interest J J T T - Van~d G~A - Pioneer ~llen V~ue FuM Cl A - Van Eck Global Ha~ ~s~ Cl~s A - P~CO Co~ Real R~ S~at CI A - IVA Wodd~de F~d Cl A B A A A A Divided Di~dend Divided ~vidend Dividend L L J J L T T T T T Buy 09~4/~ L
!67. 168. Qualified Plan #8
(~ Col~ C2)
O -B~k Val~
V~
W
FINANCIAL DISCLOSURE REPORT I ~her, Nora B. Nam© of Person Reporting Page 8 of 1 1
I
D,tc of n,port 5/3~010
VII. INVESTMENTS and TRUSTS - ~,co~.o, ~a.o, ~,.~o~s
NONE ~o r~o~able income, asse~, or tramactions.)
A, ~on of As~ (inclu~ng ~st ~s¢~) PI~ "(X)" ~ ~ ~ B. Income d~g ~g ~ (0 (2) ~o~t T~ (e.g., (A-H) : ~ int.) C. Gross value of ~i~ (2) 0) V~u¢ Value (~-O C~ 3 (Q-W) T D.
(0 T~ (e.~, ~d~pfion)
(~) ] Da~ :
O) Value (J’D
(4) G~n (A-~
(5) ]d~fiU of {if private
69.
- PtM~ To~ R¢~ F~d (Admin)
None
L
70. 71,
72. 73.
- MFS Inst Intematiorml Equity Fund - Dreyfus Premier High Income - Class I
- Evergreen Intrinsic Value - Institutional shares - BGI Mid Cap Domestic Equity Index
B B
B B
Dividend Dividend
Dividend Dividend
L K
L L
T T
T T
74. "/5.
76. 77. 78. 79. 80.
- GMO Intemationa! Intrinsic Value - M Shares
B
Dividend
K
T
Brokerage Account #1 - American Funds, Fundamental Investors - Federated Kaufmann Cl K - Royce Pcnnsyl Mutual Invs! - T Rowe Price Intl Disc A A A A Dividend Dividend Dividend Dividend K K K K T T T T
81.
82. 83. 84.
- T Rowe Price Real est Fund
- Thomburg Inv Income Builder - Thomburg Inter Muni Class A - Thomburg Ltd Term US Govt
A
B B A
Dividend
Dividend Interest Dividend
K
K
T
T Sold 11105109 K
K
T
85.
- Thomburg Value Class A
A
Dividend
K
T
FINANCIAL DISCLOSURE REPORT
N,,~ or r,~,on ~pom.g
Fischer, Nora B. 5~010
Page 9 of 11
VII. ~VEST~NTS and ~USTS - ~,~,,. ~.,. ~=~= a~,~ ~o,, of s~e and ~e~ent children; ,¢e p~ 34~0
NONE ~o repomable income, ~sets, or tramactions0
A. ~fipfion of As~ (inclu~ng ~st ~) Plac¢ "(~" after och ~ *x~pt~mpdor~losm B. Incom~ dung r~ing ~ O) (2) ~o~t T~ (.g., C~e I : div.,~L (A-H) ~ int.) C. Gms~ value ~ ~d of ~ng pefi~ (2) O) Value Value C~e2 Meth~ C~* 3 (J’P) (Q’~ K K J K K J K K T T T T T T T T Buy 11103/~ K D. T~n~ctions d~ng r~ng .(0 ] (X) O) (4) T~ (e.g., Date Val~ Gain ~y, sell, m~dM~ C~¢2 ’ C~* I ~¢mpti~) (J-P) (A-~
ld~fiW 0f (if pfiva~
86. 87. 88. 89. ~. ’ 91. 92. 93. 94. 95. 96. 97.
- Tw~dy Bm~e Global VMue - Willi~ BI~ Inel ~ Cl~s - ~ge & Cox In.me - PIMCO Forei~ In~ SHS - ~o~b~g L~ Te~ Income - Prime F~d Capi~ Res¢~ - Col~bia M~i¢o 21~t C~y CI A - F~in F~e~l In~ Te~ T~ F~e A
A A A B B A
Di~dend Di~d~d Divided ~vid~d Divided Dividend None
A
Di~d~d
M~s Mutual Life lmmme Poli~ M~ Mural Li~c Immnce Poli~
A A
In~ In~
K K
T T
98. HSA ~1 99. -~dge ~dCox Mt~afio~l 1~. - ~$~ S~ll Cap 101. - PFPC, C~h a~o~t 102. A A A Di~dend Di~dcnd Int~t J J J T T T
I. Income Gain Codes:
^ -$ 1,000 or Ics.s
n -$ 1,001 - $2,500
C
(S~ ~ CI ~d D3) 3. Va~ Me~ ~ (S~ Col~a C2)
N -12~0,~1 - $5~,~ P3 =$25,~0,~1 - $50,~.~0 Q -A~i~ U -B~k Value
O ~$5~,~1 - Sl,~,~ E ~ (R~ ~mm Only) V~
PI -$1,~.~1 - $5,~0,~ P4 -M~ ~ $50,~,0~ S =~ W
~ =$5,~,~1 - $2~,0~.~ T ~h Mmk~
FINANCIAL DISCLOSURE REPORT [ Fischer,Name of Person Reporting Nora B.
Pag~ 10 of 11
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.
1) Part VII, p. 1 - Qualified plans #1 and #2 wcr~ liquidated in full in 2008.
Date of Reper~
FINANCIAL DISCLOSURE REPORT Page 11 of 11 IX. CERTIFICATION.
Name of Person Reporting
J
Date of Report
Fischer, Nora B.
5/3/2010
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 permlt~ng non-disclogure. ! further certify that earned Income from outside employment and honoraria and the acceptance ef gifts which have been reported are In compliance with the provisions el5 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
Ao w
1/2olo
]
]
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
2. Court or Organization District Court, Western PA 5a. Report Type (check app~epriate b’PO) [] Nomination, [] Initial Date ~ ~ Annual [] Final
Report Requir~a by the Ethics
in Government Act of 1978 (5 U.S.C. app. §§ 101-111)
!. Person Repot’ring (last ha.me, first, middle initial) Fischer, Nora B. 4. Title (Article Ill judges indicate a~tive or senior sm~s; magistrate judges indicate full- or part-time) Federal District Court Judge - Active
3. Date of Report 5/3/2010 6. Reporting Period 01/01/2009 to 1.2/3 t/2009
7. Chamber,s or Office Address Suite 5260, US Post Office & Cotnthouse Seventh Avenue & G-rant Street Pittsburgh, PA 15219
5b. [] Amended Report : 8. On the basis of the Information ontained In this Repor~ and any modifications pertaining thereto, It is, in my opinion, in compliance with applicable laws and regulations. , Reviewing Officer Date
IMPORTANT NOTES: The instructio~ accompanying this form must be followecL Complete all parts,
checking the NONE box for each part where you have no reportable informatiot~ Sign on lastpag~
I. POSITIONS. ~n,~o,n,g ~,a~na o,~y: ~,~ w. ~-~ ~ of filing instructions.)
NONE (No reportable positions.) POSITION 1. 2.
NAME QF QRQANIZATIQN/ENTITY
4.
CI ....
[~]
NONE (No reportable agreements.) DATE PARTIES AND TERMS
FINANCIAL DISCLOSURE REPORT Page 2 of 11
~a~e of Person Reporting
Fischer, Nora B.
Date of Report
5/3/2010
lit. N O IN-INVESTMENT IN COME. (R~por~ ~dl,ld,at and ~ro,~; ,~e p~ ~ ~-~ o!~d~g i~.~,c~to,~.~
A, ~iler’s Non-lnvestment Income NONE (No reportable non-investment income.) DATE
1. 2. 3. 4.
SOURCE AND TYPE
(yours, not spouse’s)
INC,,.QME
B. Spouse’s Non-lnvestment Income - If 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.)
DATE SOURCE AND TYPE
Highmark Inc. - salary
1, 2009 2.
3. 4.
IV. REIMBURSEMENTS (Includes those to s~e and dependent children: see pp, 25-27 of filing i~ctions.)
~
NONE (No reportable reimbursements.) ~ ~ ~
Fa~ington, PA
P~OSE
Activi~ ofprofessi~al ~oe or cite org~ation
ITEMS PAID OR PRODDED
TriseCtion, m~ls, hotel
1.
Academy of Trial ~e~ of 9130/09 to 10/1109 Allegheny Coun~
2. 3. 4. 5.
FINANCIAL DISCLOSURE REPORT Page 3 of i 1
] N.~e of Pe,~o. Re~o,t~ I Fischer. Nora B.
D.te or R~o~ 5/3/2010
V. GIFTS. a.~,d~ ,~o,~ ,o ,po~s, ~d ~.~,,~ children; se~ pp. 28-31 of ~g i~trUct~)
NONE ~o reportable g~ts.) ~
1, 2.
DESC~P~ON
~
3.
4. 5.
~
NONE (No reportable liabilities.)
~REDITOR
DESCRIPTION
VALUE CODE
2.
3. 4.
PageFINANCIAL4 of 11 DISCLOSURE REPORT
I
Name of Person Reporting
Date of Report 5/3/2010
[ Fischer, Nora B.
i
VII. INVESTMENTS an d TRUSTS - ~,co.,, .~.., .~,~.~o,~ andudes those of sm~ and #tpendent eh##rts; su ~ ~4~0 of ~#ng ~uct~m)
NONE ~o reportable income, assecs, or tra~actions.)
A. Description of A~c~ (including ~t ~s) Plac~ "(X)" aRc~ each ~ excmpl ~om prior di~los~c ~ 1. i2 3. Qualified Plan #3 - American AMCAP Fund - American Europacific Growth - Dodge & Cox Stock - Federated Kaufman Small Cap Fund CL A - FPA New Income - T Rowe Price International Bond - Prime Fund Cap Reserves - Champlain Small Company Fund Adv CI - Chesapeake Core Cn-owth Fund - Eaton Vance Large-Cap Value CI A - Forward Intemt*l Small Co-lnstit shs - Oakmark Intemt’l Small Cap I - Pioneer Equity Income CI A - SouthernSun Small-cap N/C A B A A B B A A A A A B B A Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend L L L L L K K K L L L L L L T T T T T T T T T T T T T ~T Sold (part) 109/01/09 L Buy (add’l) 9/4/2009 K PNC B~k ~coun~ B. C, In,me d~ng Gto~ value al ~nd oft~ng ~fi~ r~po~ing ~fi~ ~) (2) {~) (2) Amo~l T~ (e.g., Valuo Value ~ C~¢ l div, mn~ Code 2 M~th~ orint.) (J-P) C~c3 ~(A-H) ; (Q-W) A Intreat K T D. T~sactions d~ng ~ing period O) ~ (e.g., ~ buy, ~ll, ~ redemption) l ~ (~) O) (4) ~ Date Value Gain ~ m~d~ C~e 2 C~c I (J-P)(A-H) ~ [ (~) Idoti~ of buyerls~llor (ifpfivatc ~saction)
i4.
5. 6. 7. 8. 9. 10. i I. 12. 13. 14. 15. 16. 17.
t
2. Value Cod~
J =115,~ or t~
K =$15,~t - S50,000
L ~$50,~1 - $1~.~
M =$1~,~I - $250,~0
FINANCIAL DISCLOSURE REPORT
Page 5 of 11
I
Name of Person Reporting
Date of Report
s/3nox0
[ Fischer, Nora B.
VII. IN VEST MENTS an d TRUSTS - ~o,.,, ~t~ ~,.~,cao.~ (i,~.~ sho,, o1 ~o ..... a d~en~nt chlld~n¢ see pp.
NONE ~o reportable income, assets, or ~ansactions.)
Description of As~ (~cluding ~st ~ls) Pla~ "(X)" afl~ ~eh ~sel exempt ~m p~or di~los~ Income d~ng ~po~ing period ~-- (2) A~o~t T~c (.g., div., ~n~ ~ Code 1 ¯ ~ (A-H) orint.) ~ ~oss value at end I~ of repoaing ! -- ~~3 .... ’ VaIue ~ Value C~e 2 Method C~e3 (J-P) (Q-W) K J L L K J L L L T T T T T T T T T Buy (add’l) :09104/09 K Transactions d~ng ~ng pefi~ (1) T~e (.g., buy, sell, ~dcmplion) [ (2) (3) [ (4) : [ Date Val~~ Gain ~ m~d~ C~e 2 ~ C~e 1 (J-P) ~ (A-H) ; ~ _ (5) ldentiW of buycr/~ller (ifp~vatc ~n~etion)
18. 19. 20, 21. 22. 23, 24. 25. 26. 27. 28. 29. 30. 31. 32. 33, 34.
-T Rowe Price Real ~te F~d - Van Eck Global Hard Assets Class A - Virtus Foreign Opportunities CI A - Eaton Vance Floating Rate Advantage Adv - Loomis Sayles Bond Retail Shares - PIMCO Comm Real Return Swat CI A - PIMCO Real Return Class A - Vanguard Short Term Invmt Grade Investor - Vanguard Sho~t Term Federal
A A B C B A B C B
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
Qualified Plan#4 - TIAA Traditional - CREF Global Equities - CREF Money Market D A A Interest Dividend Dividend M J J T T T Distributed 03i06/09 K
Qualified Plan #5
(See Column~ BI ~d D4)
F -$50.001 - $1~,~0
G =$1~.~1 - $1 ,~0,0~
H 1 =51,~,~1 - $5,0~,~
H2 =More th~
P3 -$25,~,~ I - $50,000,000
P4 =More than $50,~,0~
FINANCIAL DISCLOSURE REPORT
N.,.e of Person Reporting
Date of Report
Page 6 of 11
Fischer, Nora B.
5/3/20t0
VII. INVESTMENTS and TR U STS -.co~e, ~ ~,~anaons (tnc~ud~, ,~o,~ o~s,o.,o and ~r*~e~, ¢~d.*n;
--] NONE (No reportable income, assets, or transactions.)
A. Description of ASset~ (including trust assets) PLace "(X)" after each asset exempt from prior disclo .... B. Income during reporting period C. [ Gross value at ’nd of reporting period [ D. Transaetions during reporting period
i o)
I Amount ’ Code l ! (A-H) ~
Type (e.g., di ..... t, orim.)
~)
~l)
~z)
(l)
Gain i Date i Vahle mm/dddyy Cod’l C¢~o~.~e? ~,~ ] (A-H) ! . I i ! i
Value Code 2 (.!-P)
Value Method Code3 (Q-W) T T T T T T T T T T T T T T T T T
’ [ Type (e.g., i buy, sell, [ redemption) i
(5) Identity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. 40. 41.
- Causeway International - Federated US Govl Sac - PIMCO Low Duration - Federated FD US Govt Sac - PIMCO Total Return CI A - PIMCO Fereign Bond - American Capital World Bond
A B C A C A B A A A B A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
L L L K L J K L L L M L K K L L M
i42.Davis New York Venture 43. 44. 45. 46. 47, 48. 49. 50. 5 t. - Artisan International - MFS International New Disc CI A - Royce Mierocap Investment Class - Fidelity, Prime Fund - Phoenix Real Estate Value - Third Avenue Real Estate Value - Prime Cap Odyssey Growth Fund - T Rowe Price Equity Income - Touchstone Mid Cap Growth CI A
FINANCIAL DISCLOSURE REPORT Page 7 of 11
N~e of Per*on Reporting Fischer, Nora B.
Date of Report 5/3/2010
VII. INVESTMENTS and TRUSTS - i~co.~, ~at.~, ~,~.~n, anct.~,, tho,~ o~ ~d ~.~,
NONE ~o reportable income, assets, or tr~sactions.)
A. Description of As~ (incl~ing ~t ~) place "(x)" a~cr each ~sct ~x~mpt ~om prior di~l~e B. In~m~ during re~ing pc~ (t) ~ (2) Amc~t ~ V~ (e.g., Cod~ 1 j div., ~n~ (A-H) [ or int,) C. ~ Gro~s valu~ at end offering [ (0 (2) ~t) Value V~lu~ T~ (-8Code 2 Method buy, ~ll. (J-P) C~c 3 redemption) D. Transactions during ~ing p~fiod
Date ~ m~d~ i C~ 2 C~e 1
buy~/~ll~r
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63, 64. 65. 66. 6"/.
- Van~d G~A - Pioneer C~llen Value Fund CI A - Van Eck Global Hard Assets Class A - P1!vICO Comm Real Return Strat CI A - IVA Worldwide Fund CI A
B A A A A
Divided Dividend Dividend Dividend Dividend
L L J J L
T T T T T Buy 09/04/09 L
Qualified Plan #6 - Artisan Mid Cap - Hewitt, Cash Balance Plan A A Dividend Interest J J T T
Qualified Plan #7 - PIMCO Total Return Fund (Admin) - BGI Small Cap Domestic Equity Index - Marsico Focused Growth Portfolio - MFS Inst International Equity Fund B A A A Dividend Dividend Dividend Dividend L K L L T T T T
68. Qualified Plan #8
(See Col~n C2~
U =B~k Value
V =O~
W :~tima~d
FINANCIAL DISCLOSURE REPORT Page 8 of 11
[ Name of Person Reportil~g Fischer, Nora B.
Da,e of Report 5/3t2010
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during i reporting p~riod (1) I (2) ::Amount11 Type (.g., die., rent, i Code 1~| orint.) (A-H) i [ None Gross value at end of reporting period (i~ (2) Value Value Code 2 Method Code3 (J~P) (Q-W) L T Transactions dturing reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) [ Date ! Value I Gain imm/ddgyy I Code 2 Code 1 :: (J-P) / (A-H) [ (5) Identity of buyer/seller (if private transaction)
69.
- PIMCO Total Return Fund (Admix)
70.
71. 72, 73.
- MFS last International Equity Fund
- Dreyfus Premier High Income - Class I - Evergreen Intrinsic Value - Institutional shares - BGI Mid Cap Domestic Equity Index
B
B B B
Dividend
Dividend Dividend Dividend
L
K L L
T
T T T
74. 75. 76.
77,
- OMO International Intrinsic Value - M Shares
B
Dividend
K
T
Brokerage Account #1
- American Funds, Fundamental Investors A Dividend K T
78.
79. 80. 81. 82. 83. 84. 85.
- Federated Kaufmann CI K
- Royce Pennsyl Mutual lnvst - T Rowe Price Intl Disc - T Rowe Price Real est Fund - Thomburg Inv Income Builder - "l’homburg Inter Muni Class A - Thomburg Ltd Term US Govt ~ Thomburg Value Class A
A
A A A B B A A
Dividend
Dividend Dividend Dividend Dividend Interest Dividend Dividend
K
K K K K
T
T T T T Sold 11/05/09 K
K K
T T
(See Col~m C2)
U ~B~k Value
V ~r
W =Esii~ted
FINANCIAL DISCLOSURE REPORT Page 9 of 11
Name of Person Reporting
Date of Report
5/3/201o ] Fischer, Nora B.
VII. INVESTMENTS and TRUSTS - ~o~.,e, v,#,,~, ,r~,~uc~o,~ a.a,,a~ a,o~. ofspou$¢ and depend, at children; $pp. 34-60 offillng ~$tructl~)
NONE (No reportable income, assets, or transactions.)
A.
Description of As~ts (including trust assets) Place"(X)"aflereaehassel exempt from prior flisclosur~
i
[ l
a,
Income during reporting period Type(e.g.. div., r~nk or int.)
C,
Gross value at ~ad of ~eportlng period i V,lue i Value Code 2 i Method (J-P) Code 3 Type(e.g., buy, sdl, redemption) Transactions during reporting p~riod
iA,"aolmt Code I ! (A-H)
i Date ]Vaiu¢ G~in t mm/dd/yy I Code 2 C~t¢ 1 t (A-H) ] (J-P)
Identityof buyer/seller (ifprlvat~
86, 87. 88. 89. 90. 9 I. 92. 93. 94. ! 95. 96. 97.
- Tweedy Browne Global Value - William Blair Iiit’l Growth Class - Dodge & Cox Income - PIMCO Foreign Inst SHS - Thornburg Ltd Term Income - Prime Fund Capital Reserves - Columbia Marsico 21st Centruy CI A - Franklin Federal late Term Tax Free A
A A A B B A
Dividend Dividend Dividend Dividend Dividend Dividend None
K K J K K J K K
T T T T T T T T Buy 11/05/09 K
A
Dividend
Mass Mutual Life Insurance Policy Mass Mutual Life Insurance Policy
A A
Interest Interest
K K
T T
98. HSA # 1 99. - Dodge and Cox International Artisan Small Cap 101. - PFPC, Cash account 102. A A A Dividend Dividend Interest J J J T T T
FINANCIAL DISCLOSURE REPORT
~am, of Persott Reporting
Date of Report
Page 10 of 11
vl,~her, Nora B.
S/S~0i0
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. and~,t, pono/~,vo,~
1) Part VII, p. l - Qualified plans #1 and #2 were liquidated in fi~ll in 2008.
FINANCIAL DISCLOSURE REPORT Page 1 1 ofll IX. CERTIFICATION.
Name of Person Reporting ] Fischer, Nora B.
I 1
Date of Report 5/3/2010
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 WILF!3LLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.Co 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
