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FINANCIAL DISCLOSURE REPORT

FOR CALE~AR YEAR 2009
I 2, Court or Organization U.S. District Court, EDPA 5a. Report Type (check appropriate type) [] Nomination. [] Initial Date [] Annual [] Final

R~ort Req~ir~ by the Ethics

in Government ~ct ofl978

~s u.~c. app. ~ 1o1-110

3. Dare of Report 05112/2010 6. Rcporttu[ Period 01/0112009 to 12/31/2009

Person Reporting (last name, first, mic~le initial) Norton, Shapiro L. 4. Title (Arlicle III judges indicale activ or s~nior status; magistrate judges indicate full- o par,-time) Arlicle III Judge (Senior)

7. Chombera or Offieo Addresl 10614 United States Courthouse 601 Market Srseet Philadelphia, PA 19106

5b, [] Amended RcpoR 8. On the bails of the In[ormatioo contained In this Report amd any modifications pertaining thereto, it Is, In my opinion, In compliance with appflcoblo laws and regulation*. Reviewing Ofllc~r Dole

IMPORTANT NO TES: The ins~u~ons accompanying this form must be followed Complete all part&
checking the NONE box for each part where you have no reportable information. Sign on last page~

!. POSITIONS. m~,~.t ~u~u~ o~; ~ ~ ~-. of , u~, i~.~s

D NONE (No reportablepositions.) POSITION I. 2. Trustee Member, Commitlee on Wome~ in the Profession C~IP) NAME OF ORGANIZATION/ENTITY Jewish Publication Society Pennsylvania Bar Association Pennsylvania Bar Association Pennsylvania Bar Association Pennsylvania Bar Association Pennsylvania Bar Association Violette De Mazia Foundation American Bar Association American Bar Association Appellate Judges Education Institute, Board of Diroctors Estate of I(S~ Part VII1)

3. Chair, Leadership Development & Rec~itment Committee 4. 5. 6. 7. 8. 9. Co-Chair, Goverance Committee (WIP) Member, Nominating Committ~ (WIP) Member, Awards Committee (WlP) Chair, Board of Directors Member, Standing Commitlee on Judicial Independence Member, ABA 2009 John Marshall Award Selection Committee

10. American Bar Association Representative 1 I. Executrix

~~

NONE (No reportable agreements.) DATE PARTIES AND TERMS

I.

Norman, Shapiro L.

FINANCIAL DISCLOSURE REPORT Page 2 of 8

Name of Person Reporting

Date of Report

Norma, ShaplroL.

05/12!2010

FINANCIAL DISCLOSURE REPORT Page 3 of 8

Normo, Shapiro L.

05112/2010

Ill. NO!~-INVESTMENT INCOME. :~,~ea~#~,~,na~,,e:,,,n~

A. Filers Non-lnvestment Income [] NONE (No reportable non-investment income.) DATE
I. 2. 3. 4.

-SOURCE AND TYPE

INCOME
(yours, not spouses)

B. Spouses Non-Investment Income - If you were married during any portlon of the reporting year, complctt thl~ section.
(Dollar amount not required e-r.cept for honoraria.)

[-~

NONE (No reportable non-investment income.)

DATE
I. 2. 3. 4,

SOURCE AND TYPE

IV. REIMBURSEMENTS (Includes those to spouse and dependent children; ~ee pp. 25-27 of filing instructiowt.)

NONE (No reportable reimbursements.) SOURCE DATES

05/21/09 - 05/23/09

LOCATION
Fort Lauderdale, FL

PURPOSE
Smdng Comra.Jud.lndepend. Fall Planning Mtg., Stndng Carom.Judicial Inde~ndence

ITEMS PAID OR PROVIDED

Transportation, meals & lodging.

1.

ABA

2.

ABA

10/15109 - 10/17/09

Washington, D.C.

Transportation, meals & lodging.

3. 4.

5.

FINANCIAL DISCLOSURE REPORT I Norm~,ShaplroL. Name or Person Reporting Page 4 of 8

Da~e el Report

05/12/2010

V. GIFTS. a.a.~, tho~ xo sp~,~e ~ d~ae.t,hua, t.~ ~,~ ~-~ o/1~ ~,~,.~o,~
NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE

2. 3. 4.

5.

VI. LIABILITIES. a~:,~,

[7] NONE (No reportable liabilities.)

I.

3.
4.

5.

FINANCIAl. DISCLOSURE REPORT

Nama of Peraon Reporting

Date of Report

Page 5 of 8 VII. I N VESTMENTS and TRU STS - ~o~,

[ ~o~,~,. S~.pl~o L

o~/t212o~ o

~ONE ~o reportable income, ~sets. or ~amactions.)

A. ~fipfion of Am (i~l~ing~m) P~ "(X)" a~ ~h ~t ~ B. ~ng~d~ ~ount T~ (e.g., ] C. of~a~g~fiod V~I~ [ V~l~ I T~ (e.g., Date Val~ ~n l~n~ of D.

I.

Mellon B~k (Checking Aect,)

~temst

2. 3.

Firstrust Bank (Checking) Firstrust Bank (Savings)

A A

Interest Interest

J J

T T

4. 5. 6. 7.
8.

Alliance Bemstein Cap Reserve Stme ofisrael Savings Bond.s Ba.nkofAmerica Calam0s Global Dynamic
Eaton Vance Enhanced Equity

A A A A
A

Dividend Interest Interest Dividend

Dividend

J J J K

T T T T
Sold 08/23/09 K A

Sold (pan)

05/01/09

9.
10, i I 1.

Vv Finance
Oppenheim~ PA Municipal Bond Van Kampen Cohen & Steers. Inc. Fd.

A
B B

Dividend
Dividend Dividend

J
K

T
T Sold 08/I 8/09 J A

12. 13. 14.

15.

Advisors Disciplined TR Unit 224 Advisors Disciplined TR Unit 390 Fi~tmst Unit 2104
Firs~ust Unit 2174

B A A
A

Dividend Dividend Dividend

Dividend

Sold K J
K

08118/09 08/18/09 08/18/09

08/23/09

K K J
K

T T
T

Buy Buy
Buy

16.

LifeStrategy Mod. Growth - IRA

Dividend

(part)
Sold

Sold

oz/o6/091
02306/09

17.

STAR. Fund - IRA

Dividend

(part)

FINANCIAL DISCLOSURE REPORT Page 6 of 8

NameofPer$ol Report|ag

DateofRelmrt

Norton, Shapiro L.

05II2/2010

VII. INVESTMENTS and TR U STS -~o~ ~l=e, ..,~oc~,. a.ct.~., ~o.e ~, ,~ ~,,~ ,~ ~, ~. ~ ~/~ ~,~
NONE (No reportable income, ~sets, or ~ansactions.)
A.
~pfion of As~ (including ~t ~) PI~ "(X)" a~r ~h ~ exempt from prior di~los~

B.
Income during ~ng ~ Amount C~e I ~ (A-~ T~ (e.g., ~v.. r~k or inL) Value C~ 2 (J-P) V~ue Me~ C~ 3 (~ T~ (e.g., buy, ~B. ~m~n) [

D.
T~n~tiom d~ng ~ing ~

Date ~

VaI~ C~ 2

~in C~ I (A-~

~_ (J-P)

Id~fi~ of bu~r/~l~ (if~te ~tion)

18. 19. 20. 21. 22.

GNMAF~d- I~ G~A F~d A~i~l - I~ Rental Prope~, Hallm~le, FL~

B D D

Dividend Dividend R~t

J M M

T T V

Buy Buy

02/06/~ 0~/~

L M

FINANCIAL DISCLOSURE REPORT

Na~e of Per,on Reporting Norma, Shapiro L.

Date of Report 05/I 2~010

Page 7 of 8

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Additional information re: Part I - Positions: Numbers I, 2, 3, 4, 5, 6, 8.9, 10 are non-profit organizations. I have no control over the expenditures of these organizations, although with effort I could ascertain their assets. Number 7 This is a 50 I(cX3) charitable organization. I do vote on the expenditure of funds together with the other four Directura; I receive no compensation. The total assets of this organization at the end of 2009 was the amount of approximately $9,000,000.

[ died on November 27, 2007. His Will names me the Executrix and sole beneficiary of his Estate. His assets, listed under Section VII, became assets of the Estate ~ in 2008, they were transfecred to a Tax Exempt Marital Trust and rolled over into my Vanguard IRA. All assets listed in Section VII which W~re in his name__p__~or to his death wer~ in the Estate lat year end and transferred to the ~fax Exempt Marital Trust in 2008. Bank accounts that were previously~accounts ~re now titled in my name only, except l"or the Estate account of less than :$500 to keep the account open. No interest was received.. Certain insurance proceeds were received from Metropolitan Life and Northwestern Mutual Insurance Company. Minimal amounts of interest on accounts opened by the insurance companies were received until I withdrew the funds and transferred them in 2008 to savings or checking accounts in my name. Section VII Line 20. The appraisal date is 2/11/08. The rental property was placed under an Agreement of Sale early in 2010. The value was determined by the market price, i.e., the sales amount.

FINANCIAL DISCLOSURE REPORT

NameofPe.on Rep~rtlag

Dt~eofRlmzl

Page 8 of 8
IX. CERTIFICATION.

l~orma, Shapiro L. [

05/12/2010

I certify that all information given above (Including information pertaining to my spouse and minor or dependent children, if any) is accurate, t~ue" and complete to the be~t of my knowledge and belief, and that any information not reported was withheld because It met applicable statutory provisions permitting non-disclosureo I further certify that earned Income from outside employment and honoraria and the acceptance of gtft~ which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 eL seq., 5 U.S.C. 7353, and Judicial Conference regulationz.

NOTE: ANY INDIVIDUAL WilO K~O~/INGLY AND WILFULLY" FALSIFIES OR FALLS 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