,

.40 to ~c,.. #2oio

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

2. Court or Organization

in Govermaent Act of 1 0 ois.c, app ~.~ 1(1)-II

I. Person Reporting (last name, first, middle ioittal)

3. Date of Rrport

Sloviter, Dolores K.
4. Title I.M~Oe III Judges indicate zcme or scn:o~ status.

United States Court of Appeals for the Third Cir 05/15/2010

5z. Relmrl Type (check appr~ptiate type~ 6. Reporting Period

.... ~,.~,~,,~.~d~ .... ~~ ~- ~ P~""~ United States Circuit Judge -~ ~ ................ ~ ""~ Active

t~ ~ ~ ........

01 / 01 /,o 9 200 ~ ~"~ 12/31/2009

7. (?hambers or Office Address

18614 United States Courthous~ 601 Market Street Philadelphia, PA 19106

3. Ou the basis of the information containtd in this Rrport al~d any modificatio,~spertaini,,~thrreto, itis, in my opinion, i ...... pli .... with applicable laws and regulationx. Reviewing Officer Date

I3[PO R TANT NOTES: The instructions accompanying this form mast be followed. Complete all parts, checking the NONE box for each part u,here yott have no reportable information. Sign on last page.

!. POSITIONS. (Reporting individuM anl ; see pp. 9-13 oJfiling insteuctions.)

~-~

NONE (No re.portable positions.) POSITION NAME OF ORGANIZATION/ENITFY Trust # 1

Trustee

N O~ (No reportable agreements.)

DATg

PARTIES AND TERMS

Sloviter, Dolores K.

FINANCIAl, ])ISCI,OSURE REIORT ~ .........f"~ ..... ~o,,,,",~ Sloviter, Dolores K. Page 2 of 6

~,~,~of,~q,,,,., 05/15/201.0

A. Filers Non-Investment Income ~-1 NONE (A~, ,epo,table no,,-i,n,e.~t~ent I)ATE Annua 1 ~ary 2009
2

SOt IRCE .IND TYPE Temple Un2versi~y, PhYla., PA

~UOM E (yours, pot spouses) ~10,392.00

3.
4

B. SpollSe$ Non-lllvestrllerlt lllcome - i]you weremarriedduringat,yportitmoftherel~ortlngyear, co~npletthissectio~ ~Doftor amotmt not required excdpt for honor orta )

~
1 2 3 4

NONE (No reNortable non-investment income.)

DATE SOURCE AND TYPE

IV. REIMBURSEMENTS ....... -~, ...... ~,,,, ~,,,~gi,x, ~,,o~ ......... i .........
([nc!mtes those to .~;~.ttve and &pcndcv~t children. see ]~t~ 25-27 grilling ~n.~truc tio& )

NONE (No r~Tmrtable reimbursements.)

SOURCE DATES LOCATION PUR POSE ITEMS PAID OR PROVIDED The D$ckinson School gniversity Park, D~ckinson Schl. ~of Law - The Penn- 11120~2009 PA of La~ Nt. Ct. Airfar.. Taxis sylvania State gniv. Competition
2. 3
4

5.

FINANCIAL DISCLOSURE REPORT Page3of6

N ..... t~, ..... ~,z,0r~i,,~ $~_ovter, Dolores K.

~)~,eof~;,,0r, 05/15/201_0

~ NONE (No reportable gifts.) SOURCE

I.

DESCRIPTION

VAL(.II;

3 4 5

[~] NONE (No reportable liabilities.) (REDITOR DESCRIP]ION VALLIE CODE

2 3 4. 5

Page4of6 VI I. INVESTMENTS :~nd TRUSTS --~ ..........

~ NONE

I Sloviter, Dolores K.

05/15/2010

I
,

~.~, tratt.,attion.~ (Include_, tho.~e of .~p ........d d~endet,t hildr,n; seepl,. 34-60 of jiling i

reportable income, asset.s, or tran.~actiotts.)

Descnptiot~ of Assets ~including trust as~ct~I I~c,gmc ~ul itlg reparlmg peric~ J: Gross ~,al~e ~I cn~t [ of reposing pcn~ Value gtefl~od "Me 3 IO-W) T)pe (e g. buy, sell. redemt~ on~ 1 ~ai35actlons dt~rit~a~ repoOing period

Place "(X)" a~er ca~l~ assc~ exemlr~ born prior disclost~e

~.,Xmotmt I Type (e g ~,~lue Code I I div,ren~. ~ ~7o,fc2 I~-HI ~ o~ mt I (J-I)

Da~e ka~uc GainI rmm.:d~~ C~Ic2 ~ Code I ~ (J-ITM) (A-Ill

ldent~t~. hu)e~!sell~r (if pr0d, ate

I.SEE ATTACHED PAGES I-i0

2

I0

!2.

I,.1.

15. 16
17

(See (o}umns CI a~ D3}

N ~1250.001 - $500.000

O =$500.01)1 - ~l.000,,o, O0

Pl =$1,(K~O,001. $1.01~.000

P2 =$5.~~30.001 - $25.000,00~3

Dolores K. Sloviter- 1 VII. INVESTMENTS AND TRUSTS -- income, value, transactions A. I)escription of Assets 13. Income during period C. Gross Value at end of period D. Transactions during period If not exempt from disclosure Value Gain ldenDate: Month- Code- Code~ lily tiom Day (J-P) (A-H) buyer/ seller

Place "(X)" after each asset exempt prior disclosure AT&T - com. stock Beneficial Mutual Bancorp - com. stock Exelon - com. stock GE - com. stock IT&T Industries com. stock

Amt. Type Code~ (e.g., (A-H) div.) D A C C A Div. Div. I)iv. Div. Div. None

Value Code- (J-P) M J M K J ~1

Value Type Melhod (e.g., Code~ sold) (Q-W) T T T T T T

HanesBrand, Inc.com. stock

1. lncome/Gain Codes: A = $t,000 or less B = $1,001 to $2,500 C = $2,501 to $5,000 D = $5,001 to $15,000 E = $15,001 to $50,000 F = $50,001 to $100,000 G = $100,001 to $1 million H = over $1,000,000 2. Value Codes: J = $15,000 or less K = $15.001 to $50,000 L = $50,001 to $100,000 M " $100,001 to $250,000 N = $250,001 to $500,000 O = $500,001 to $1,000,000 P = over $1,000,000 3. Value Method Codes: Q = Appraisal R = Cost (real estate only) T = Cash/market U = Book value V = Other S = Assessment W = Estimated

Dolores K. Sloviter - 2

VII. INVESTMENTS AND TRUSTS -- income, value, transactions A. Description of Assets B. Income during period C. Gross Value at end of period D. Transactions during period If not exempt tiom disclosure Value Gain IdenDate: Month- Code- Code~ tity fiom Day (J-P) (A-I!l buyer/ seller

Place "(X)" aticr each asset exempt prior disclosure Hartford Fin. Services com. slock PSEG

Amt. Type Code~ (e.g., (A-H) div.) A Div.

Value Code~(J-P) L

Value Type Method (e.g., Code~ sold) (Q-W) T

Div.

I"

Rayonier- com. stock

Sara Lee - com. stock

A
A

Div.
Div.

J
J

T
T

Vanguard Mun. Bond Funds

Loss

l)iv. & cap. loss

see VIII

1. Income/Gain Codes: A =$1,000 or less B = $1,001 to $2,500 C=$2,501 to$5,000 D=$5,001 to$15,000 E=$15,001 to$50,000 F = $50,001 to $100,000 G = $100,001 to $1 million H = over $1,000,000 2. Value Codes: J = $15,000 or less K = $15,001 to $50,000 L = $50,001 to $100,000 M = $100,001 to $250,000 N = $250,001 to $500,000 O =$500,001 to $1,000,000 P = over $1,000,000 3. Value Method Codes: Q = Appraisal R = Cost (real estate only) T = Cash/market U = Book value V = Other S = Assessment W = Estimated

Dolores K. Slovitcr - 3 VII. INVESTMENTS AND TRUSTS -- income, value, transactions A. Description of Assets I~. Income during period C. Gross Value at end of period D. Transactions during period If not exempt from disclosure Date: Value Gain IdenMonth- Code2 Code~ tity frown Day (J-P) (A-H) buyer! seller

Place "(X)" after each asset exempt prior disclosure Vanguard Windsor 1I

Amt. Type Code1 (c.g., (A-H) div.) D Div.

Value Code- (J-P) O

Value Type Mclhod (e.g., Code3 sold) (Q-W) T T T T see VIll

Vanguard Star Fund Vanguard 500 Index Fund C

C Div. K & cap. gain Div. Div. M J

Allegheny Higher Ed. A 4.5%, 22

Bucks County W & S, 5%, 22

int.

1. Income/Gain Codes: A -- $1,000 or less B - $1,001 to $2,500 C=$2,501 to$5,000 D -- $5,001to $15,000 E=$15,001 to$50,000 F = $50,001 to $100,000 G = $100,001 to $1 ~nillion II = over $1,000,000

2. Value Codes: J = $15,000 or less K = $15,001 to $50,000 1, = $50,001 to $100,000 M = $100,001 to $250,000 N= $250,001 to $500,000 O = $500,00t to $1,000,000 P = over $1,000,000 3. Value Method Codes: Q = Appraisal R = Cost (real estate only) T = Cash/market U= Book value V = Other S = Assessment W = Estimated

Dolores K. Sloviter - 4 VII. INVESTMENTS AND TRUSTS -- income, value, transactions A. Description of Assets B. Income during period C. Gross Value at end of period I). Transactions during period If nol exempt frown disclosure Value Gain ]denDate: Month- Code~ Code~ tity from Day (J-P) (A-]l) buyer/ seller

Place "(X)" alter each asset exempt prior disclosure Chambersburg S.D., 4.6%, 25 Dauphin Cry., 4.4%, 19 Dauphin Cry., 4.5%, 26 Dauphin Cty., 4%, 26 [)el. Port Auth. - N.J. Port Auth., 5.2%, 25

Amt. Type Code~ (e.g., (A-If) div.) B A A Int. Int. Int. None B Int.

Value
Code2

(J-P) K

Value Type Method (e.g., Code~ sold) (Q-W) T

J K K

T T T Purch. 1018 K

1. lncmne/Gain Codes: A = $1,000 or less B =$1,001 to $2,500 C=$2,501to$5,000 D=$5,001 to$15,000 E=$15,001 to$50,000 F = $50,001 to $100,000 G -- $100,001 to $1 million H = over $1,000,000 2. Value Codes: J = $15,000 or less K = $15,001 to $50,000 L = $50,001 Io $100,000 M- $100,001 ~o $250,000 N = $250,001 to $500,000 O = $500,001 to $1,000,000 P = over $1,000,000

3. Value Method Codes: Q = Appraisal R = Cost (real estate only) T = Cash/market U = Book value V = Other S = Assessment W = Esti~nated

Dolores.K. Sloviter- 5 VII. INVESTMENTS AND TRUSTS -- income, value, transaclions A. Description of Assets B. Income during period C. Gross Value at end of period D. Transactions during period If nol exempt from disclosure Value Gain ldenDate: Month- Code2 Code~ tity fiom Day (J-P) (A-It) buyer/ seller

Place "(X)" after each asset exempt prior disclosure Greater Johnstown, 5%, 19 Lower Merion S.I)., 4.8%, 25 Muhlenbcrg, PA, 5%, 23 Northampton, 5%, 39 Northeastern York, 4.5%, 26

Amt. Type Code (e.g., (A-I-l) div.) A A A A B Int. Int. Int. Int. Int.

Value Code~ (J-P) J K K K K

Value Type Method (e.g., Code~ sold) (Q-W) T T T "1" T Purch.

319

1. Income/Gain Codes: A = $1,000 or less B = $1,001 to $2,500 C=$2,501to$5,000 D--$5,001 to$15,000 E-$15.001 to $50,000 F---- $50,001 to $100,000 G - $100,00! to $1 million H -:: over $1,000,000 2. Value Codes: J = $15,000 or less K = $15,001 to $50,000 L = $50,001 to $100,000 M = $100,001 to $250,000N = $250,001 to $500,000 O - $500,001 to $1,000,000 P-- over $1,000,000 3. Value Method Codes: Q = Appraisal R = Cost (real estate only) / S = Assessment T = (.ash, market U = Book value V = Other W = Estimated

Dolores K. Slovitcr- 6 ~II. INVESIMENTS AND TRUSTS -- income, value, transactions A. Description of Assets B. Income C. Gross Value at end of D. Transactions during

during period

period
l fnot exempt from disclosure Date: Value Gain ]denMonth- Code2 Code~ tity from

period

Place "(X)" after each asset exempt

Amt. Type Code (e.g.,

Value Code-"

Value Type Method (eo .~.,

prior disclosure Pa. St. Higher Ed. Fac. Auth., 5.25%, 10 Penna. Intergovtl. 5 1/4%, 17 Penna., 5 314%, 18 Pa. Higher Ed., 6 118%, 10 Pa. Turnpike, 5% 23

(A-I-I) div.)
A Int.

(J-P)
J

Code3 (Q-W)
T

sold)

Day

(J-P)

(A-H) buyer/
seller

Int.

Int. & cap. gain Int. J

Sold

1011

Int.

1. ]ncome/Gain Codes: A = $1,000 or less t?, = $1,001 to $2,500 C = $2,501 to $5,000 D = $5,001 to $15,000 E = $15,001 to $50,000 F = $50,001 to $100,000 G = $100,001 to $! million It = over $1,000,000 2. Value Codes: J = $15,000 or less K = $15,001 to $50,000 L = $50,001 to $100,000 M = $!00,001 to $250,000 N = $250,001 to $500,000 O = $500,001 Io $1,000,000 t = over $1,000,000 3. Value Method Codes: Q = Appraisal R- Cost (real estate only) T - Cash/market U = Book value V = Other S = Assessment W = Estimated

Dolores K. Sloviler - 7 VII. INVESTMF~NTS AND TRUSTS -- income, value, transactions A. Description of Assets B. Income during period C. Gross Value at end of period D. Transactions during period

Place "(X)" after each asset exempt prior disclosure Pa. Turnpike, 5%, 23 Pa. 4th Series, 4.5%, 24 Pa. Turnpike, 4.75%, 27 Pa. First Series B, 4.375%, 27

Amt. Type Code~ (e.g., (A-H) div.) A hat.

Value Code"~ (J-P) J

Value Type Method (e.g., Code~ sold) (Q-W) T

If not exempt from disclosure Date: Value . Gain ldenMonth- Code~ Code tit): fiom Day (J-P) (A-It) buyer/ seller

Int.

Int.

Int

Pa. St. Pub. Sch. Bldg., A 4.3%, 27

Int.

1. lncome/Gain Codes: A = $1,000 or less B = $1,001 to $2,500 C-$2,501 to$5,000 D = $5,001to $15,000 E--$15,001 to$50,000 F = $50,001 to $100,000 G =$100,001 to $1 million H = overS1,000,000 2. Value Codes: J = $15,000 or less K = $15,001 to $50,000 L= $50,001 to $100,000 M = $100,001 to $250,000N= $250,001 to $500,000 O = $500,001 to $1,000,000 P= over $1,000,000 3. Value Method Codes: Q = Appraisal R = Cost (real estate only) T = Cash!market U = Book value V = Other S = Assessment W = Estimated

Dolores K. Sloviter - 8

\~I1. INVESTMENTS ANI) TRUSTS -- incolne, value, transactions A. Descriptiou of Assets B. Income during period C. Gross Value at end of period D. Transactions during period If not exempt from disclosure Value Gain Date:
Month- Code~ Code

Place "(X)" after

cach asset exmnpt

Amt.
Code1

Type
(e.g.,

Value
Code~-

Value Code3 (Q-W) T T T T T

Type sold)

Idenlily from

Method (e.g.,

prior disclosure Pa. First Series B!E, 4.375, 28 Pa. Turnpike, 5%, 39 Phila. Parking, 5.125%, 24 Reading, 4.45% 27

(A-H) div.) B A A B Int. Int. Int. Int. Int.

(J-P) K J J K K

Day

(J-P)

(A-If) buyer/ seller

Purch.

319

Reading S.D., 4.75%, B 38

1~ lncome/Gain Codes: A = $I,000 or less B = $1,001 to $2,500 C = $2,501 to $5,000 D = $5,001 to $15,000 E- $15,001 to $50,000 F = $50,001 to $100,000 G = $100,001 to $1 million tI = over $1,000,000 2. Value Codes: J = $15,000 or less K = $15,001 Io $50,000 L = $50,001 to $100,000 M = $100,001 to $250,000 N = $250,001 to $500,000 O = $500,001 to $1,000,000 P = over $1,000,000 3. Value Method Codes: Q = Appraisal R = Cost (real estate only) T = Cash/market U = Book value V = Other S = Assessment W = Estimated

Dolores K. Sloviter - 9 Vii. INVESTMENTS AND TRUSTS -- income, value, transactions

A. B. C. D.

Description of Assets

Income during period

Gross Value at end of period

Transactions during period If not exempl from_ disclosure Value Gain IdenDate: Month- Code2 Code~ tiw from l)ay (J-P) (A-It) buyer/ seller

Place "(X)" atier each asset exempt prior disclosure Somerset S.D., 4.2%, 22

Anat. Type Code~ (e.g., (A-H) div.) A Int. Int. Int.

Int.

Value
Code2

(J-P) K K

Value Type Mclhod (e.g., Code~ sold) (Q-W) T T T Sold

Southeast Delco S.D., A 4.30%, 26 Springficld, 5.2%, 17

Susquehanna Twp. Auth. Pa., 6%, 13

A
A

5/15

Wachovia Accts.

Int. Int.

K K

T T

Temple University Charitable Gift Annuity A

1. Income/Gain Codes: A = $1,000 or less B = $1,001 to $2,500 C=$2,501to$5,000 D= $5,001to $15,000 E = $15,001to $50,000 F = $50,001 to $100,000 G =$100,001 to $1 million I1 = over $1,000,000 2. Value Codes: J = $15,000 or less K = $15,001 to $50,000 I, = $50,001 to $100,000 M = $100,001 to $250,000 N = $250,001 ~o $500,000 O = $500,001 to $I,000,000 P = over $1,000,000

3. Value Method Codes: Q = Appraisal R = Cost (real estate only,) T = Cash/market U = Book value V = Other S = Assessment W = Estimated

Dolores K. Sloviter - 10

VTI1. INVESTMENTS AND TRUSTS -- income, value, transactions A. Description of Assels B. Income during period C. Gross Value at end of period D. Transactions during period If not exemp_t from disclosure Value Gain IdenDate: Month- Codee Code~ tit? from Day (J-P) (A-H) buyer/ sell er

Place "(X)" aiier each asset exempt prior disc l osure

Amt. Type Code~ (e.g., (A-H) div.) Int.

Value Code2 (J-P) K

Value Type Method (e.g., Code3 sold) (Q-W) T

Univ. of Pennsylvania A Charitable Gift Annuity

1. Income/Gain Codes: A--S1,000 or less B = $1,001 to $2,500 C = $2,501 to $5,000 D = $5,001 to $15,000 E = $15,001 to $50,000 F = $50,001 to $100,000 G = $100,001 to $1 million H = over $1,000,000 2. Value Codes: J = $15,000 or less K =$15,001 to $50,000 L =$50,001 to $100,000 M =$100,001 to $250,000 N = $250,001 to $500,000 O = $500,001 to $1,000,000 P = over $1,000,000

3. Value Method Codes: Q = Appraisal R = Cost (real estate only) T = Cash/market U = Book value V = Other S = Assessment W = Estimated

FINANCIAL DISCLOSURE REPORT Page5of6

N ....... fP .....

R~portin~

I
105/15/2010

Slovter, Dolores K.

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. l,~i~.~,~,~,oz~o~,.~ The Vanguard Fluncpal Bond Funds n V~ have check2ng account features and were used for various cransac~2ons throughou~ the year.

FINANCIAL DISCLOSURE REPORT Page6of6 IX. CERTIFICATION.

Sloviter, Dolores K.

05/15/2010

I certify tbat all information given above (inrludiug infi;rmation perlaining to my spouse aud minor or dependent childrea, if any) is accurate, t~:ue, and complete to the bes{ of my knnwledg~ and belief, and that any information not reported was ",vithhchl b~cause it met applicable statutory, provixion~ permilting non-disclosure. I further certi~ that earned income from out~ide employment and honoraria and the acceptance of gifts which have been reported are in ~:ompliauc~ with {he provisions of 5 U.S.C. app. 501 et. seq., S [!.S.C. 7353, aud Judicial Conference regolations.

NOTE: ANY INDIVIDUAL WHO KNO\VINGioY ANI) WlLFULIA" FALSIFIES OR FALLS TO FILE TIllS REPORT MAY BE SUBJECI" TO C]\IL AND CRI~.IINAL SANC*IIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Commillee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 2054-1