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Rev, ~/20~0

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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
I 2. Court or Organization District Courl-Connecticut 5a. Report Type (check appropriate t)Te) ~ Nomination, [] Annual [] Final 5b. [] Amended Report Date

Repo.r Required by the Ethics

in Government .4ct ~" 1978

~ u.s.c, app..~ff lOl-! l])

3. Date of Report 05i03/20 l 0 6, Reporting Period 01/01/2009 12/31/2009

1. Person Reporting (last name, first, middle initial) Kravi~z, Mark R, 4, Tifie (Article 111 judges indicate active or senior status; magisWalejudges indicate full- or pard-time) U.S. DistrictJudge--Active [] Initial

7. Chum bets or O ffil:e Address 141 Church Street NewHaven, CT 06510

8. On the basis of the i:afnrmatiou contained in this Report and any modifications pertaining thereto, it is, in my opinion, h~ compliance with applicable laws and regulations. Reviewing Officer Date

LMPOR TANT NOTES: The instructions accompanying thi.~ form mast he followed. (..~mplete aR parts,
checking the NONE box for each part a,here you have n~ reportable infarmatio~ Sign on lazt page.

I. POSITIONS. 1~o~,i.~ individual only; seepp. 9-13 of filing instructions.)

~] NONE (No reportable positions.) POSITION NAME OF ORGANIZATION!~NTITY

2. Trustee 3. 4 Custodian

T~t # 2 (trust gI

11. AGREEMENTS. m~,o,,i,,~

NONE (No reportable agreements..) DAT~E
I. 2

PARTIES AND TERMS

Kravitz, Mark R.

FINANCIAL DISCLOSURE REPORT Page 2 of 9

N .... ~r ..... R~poT,~n~

Kravit.z, Mark R.

t~,t,~ or R~port
05/03/2010

1 II. N ON-I NVESTMENT IN COME. :R,?oni.# i.divia..~ a,a,, ....

A. Fliers Non-lnvestmen! Income NONE (No reportable non-investment income.) DATE

; see pp. 17-24 o:,1i.~ ~t~.,io.s.)

,~OLIRCE AND TYPE University of Melbourne Graduate School of Law, b,~elbourne, Australia (see NOTE 6)

INCOME (yours, not spouses) $8,239.50

1. 11/1 I,"09

2. 3. 4.

B, Spou seas Non-Investment Ineom e - ~/you were married during an),portion of the reporting year, complete this .~ectiora
(I)ollar amount not required except for honoraria)

NONE (Aro reportable non-investment income.)

DATE
I. 2. 3. 4.

SOURCE AND TYPE

IV. REIMBURSEMENTS ..... ~ .... io,,, ~odgi.g.y,,oa, ...... i ......

{Includes Itlose to spo tse o~ d depende~ children, see pp 25-27 r~/~Jlmg i~l~tructio~ts,)

[~

NONE (No reportable reimbz~rsements.) ~ ~ May 2009 LOCATION Chicago, IL PURPOSE Lecture: E-Discovery Conference Lecture: Annual Meeting ITEMS PAID OR PROVIDED Transportation, lodging, meals

I.

American Bar Association

2.

American Bar Association, Litigation Section National Employment Lawyers Association

June 2009

lfot Springs. VA

Transportation, lodging, meals

3.

June 2009

Rancho Mirage. CA

Lecture: Annual Meeting

Transportation, lodging, meals

4. 5.

FINANCIAL DISCLOSURE I~EPORT Page 3 of 9

N~meotrer~o. R~po~.~ KravRz, Mark R.

Oa,, of R~po,~
05/03/2010

V. GIFTS. a~,,ae.~,~ose,o ~o,s~ o~ ~,e~,, chltffren; see pp. 28-31 o.t~iling instructions.) NONE (No reportable gifts.) ~ I. 2. 3.
4.

DESCRIPTION

V ALI2.~.

5.

[~]

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

3. 4. 5.

FINANCIAL DISCLOSURE REPORT

Name of terson Reporting

Date of Report

Page 4 of" 9 I Kra~t~, Mark r~.

VII. INVESTMENTS and TRUSTS - i,,c ...... ~,,e, tra~actions ancludes those of sp ....... d depenant children; seen,. 34-60 of filing in.,muctions0
NONE 6Vo reportable income, assets, or transactions.) Description of As~s (including t~s~ assets) Place "(X)" after each asset exempt t?om prior disclosure lnc~me during reporling period i Amount ~ T~ge (e.g.. ] C~e I ~ div.. ren~. (A-H) ~ or inl.) ~ Gross value al end "fransaclions durin~ reposing period

05J03/201 o I

Code. 2 (J-P)

Method :. Code 3 :: (Q-W) T T T T T T T T T T T

I buy. sell, ~ ~cdemption)

mm/dff)V C~e 2 ~ .

C~e I ~ ~

buycrlsc~lcr transaction)

1. 2. 3. 4. 5. 6. 7. i 8. 9. 10 I 1. 12. 13. 14. 15. 16.

Third Avenue Value Fm~d Third Avenue Real Es~te Value Fidelity Contrafund FMelity AMT Tax-Free Money Market Func Fidelity Cash Reserves Fidelity Cash Management Account Conn. Bond Due 06/15/I 0 Guilford Savings Bank Pacific Ethanol Inc. Fidelity Intl Discovery, Fund Fidelity Spartan Mk! Index Investor Class Fidelity Cash Management Money Market Fund lsee note 5) Fidelity lnstittutionat Money Mkt Fund (see note 5) Fidelity Spartan 500 Index Advantage Class Awbury Partners (see note !) P2 Capital Fund IV, L.P. (see note 2)

A A A C D A B A A A B B E B G A A .l

Dividend Dividend Dividend Distribution Distribution Dividend Interest Interest Dividend Dividend Distribution Distribution Distribution ! Distribution Distribution Distribution Distribution

M K L M M K K J J K K

Sold ~par~)

05/07/09

Sold PI k P2 M T T T T T Buy Buy Buy

2/11/09 2/I 1/09

PI PI

09/t 8/09 07/06109

L L

Saugatuck Capital Vl LLC (see nte 3) L__ [~71

FINANCIAL DISCLOSURE REPORT Page 5 of 9 VII. INVESTMENTS and TRUSTS -~, .......
............................ X ...........
Description of As~ts (including trust assets)
Place "[X)" a~er each ~sel exempt from prior di~losure

r~ameo~" .....

Reporting

DateofReport

Kravitz, Mark R.

05/03/2010

t .......... ao,~ (Includes tbose of sp ...... d dependent ehildrert; $ee pp. 3#~O of filing ins~uctions.)
I c. ...............................
(I)
Type (e.g., buy, sell,

~ NONE (No reportable income, assets, or transactions.)

~.
Income during , reining period [ (l) = (2)
Amount [ T~e (e.g., C~e I t div., rent.

D~ ........................

(A-H) [ or int.)

Gross value at end ~ of reining (2) :: (~) i Value Value Code 2 Me~hod Curie 3 O-P) ~ L T

T~ansactions during reposing period I Date l (2) [ ~3) (4) ~ alue [ Gain C~c 2 I Code I (J-P) ] (A-H)

m~d&tyy

Idenhty of buyerlsellcr

rcdemplion)

(if private

18. 19. 20. 21. 22. 23. 24. 25. : 26. 27. 28. 29. 30.

Saugaluck Capital V LLC (see note 3) IRA # I (Roll-Over IRA created 7/1/03) --Fidelity (?ash Reserves --Fidelity Diversified lntl Fund --Spartan 500 Index Fid Advantgae --Fidelity Contrafimd --Fidelity Puritan Fund --Fidelity Value Fund --Third Avenue Value Fund --Alpine Dynamic Dividend Fund --Spartan lnt] Index Investors -- Fidelity Inflation Protected Bond fund --Goldman Sachs A

Distribution

C A B A B A A D B A A

Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Distribution Distribution Dividend K

L K L K K K M

T T T T T T T Sold 01/10..09 L A

L L K T J K K

T T T Sold 7" T T Buy (addt) 04/22/09 J Buy Buy (addl) 09,01/09 (part) 10/11/09 01/20/09 K L J

~ I. --Goldman Sachs 32. 33. 34. --General Electric --Genzyme Corp. --Genzyme Corp.

Dividend A A A Dividend Dividend Dividend

I I IncomeGainCodes:

A =$1.0@) or less

B=$1.001-$2,500

C=$2,501-$5.0~O

D=$5.00)$15,lIOn)

E=$15.04U $50,000

P3 =$25.@,~1 - $50,~.000

P4 =More than

FINANCIAL DISCLOSURE REPORT

[ IN ..... f Person Reporting

[1 Kravitz, Mark R,

Date of Report 05/03/2010

Page 6 of 9
]

VI 1. INVESTMENTS and TRUSTS - i~ .......

t.e, t ..... dons (Includes those oysp ...... d dependent children; see pp. 34-60 ,filing instructions.)

NONE (No reportable income, assets, or wansactions.) Description of Assets (inctuding ~ assms) Place "(X)" after each assel exempt from prior disclosure Income during re~ing peri~ Amount~ Type(e.g, " C~e I :: div.. rent, , (A-H) ~ or inl.) ) Gross value al end of repo~ing period Value Code 2 (J-P) Value Method Code 3 (Q-W) T~e(e.g.. buy. sell. )edemptlon) Transactions during reposing pc6od

~ Dale [Value [ Gain ]mm/d~ ~ Code 2 I Code I ~ {J-P) (A-ll) [ : ~ [

Idenfitvof buyer!seller (if private transaction)

35, 35. 37.

1~ # 2 --Janus Orion Fund Custodian Account # I --Fidelity Cash Management Account A A A A A A D luteresl Dividend Distribution Dividend Dividend Distribution Distribution K K L J K J O T T T T T T T A Distribu(ion K T

39. 40. 41. 42. 43. 44 45. 46. 47. 48, 49, 50. 51.

--Spaaan 500 Index Investor Class --Third Avenue Value Fund --AmericanCapilal Strategies --Fidelity Contmfund Fund --Fidelity Cash Reserves --Awbury Partners (see hotel) Trust # 4 --Awbury Partners (see note 1) --Fidelity Cash Management Account --Third Avenue Value Fund --American CenturyUltra Fund Trust #5 --Awbury Partners (see note I )

D B A A

Distribution Interest Distribuliou Distribution

O M L J

T T T T

Distribution

P1

FINANCIAL DISCLOSURE REPORT

~me of P ..... Reporling Kravitz, Mark R.

Dale of Report 05/03/2010

Page 7 of 9

V I 1. INVESTMENTS and TRUSTS - ~co ..... t~e, ,ransactions (Includes those ofsp ...... d dependent children; seep~ 34-60 of]iling instruction,)
NONE (No reportable income, assets, or transactions.)
Description of As~ts [including t~st ~sets) Placc"(X)"afi .... .... h t exempt from pr[or disclosure Income during reporting period A .... t Type(e.g., C~Ie I I div,,renk ~ (A-II) ~ ori~t,) ~ Value C~e2 (J-P) Value Method T~e{e.g., [ Dale [Value ~ Cain ~ buy, sell, ~:n~dO~ [ C~e2 [ Code I j Iden~ityof buyer!seller

52. 53. 54.

--Ora~le (:onamon Stock --Spaaan 5~ hadex Investors Cl~s -Fidelity Cash ReseBes

A A C

Dividend Distribution Dividend

K J K

T T

55. 56. 5?.

--lhird Avenue Value Fund --Fidelity Contrafund --Fidelity Cash Management Account

A A B

Distribution Distribution Interest

K K L

T T T

FINANCIAL DISCLOSURE REPORT Page 8 of 9

N ....

fP ..... Reporting

Dateof Report

Kravitz, Mark R.

05/03/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

NOTE l: Awbury Partners, L.P. is a large diversified investment partnership that is managed by one overall fund manager and several investment advisors. Awbury Partners is, in effect, a privately held mutual fund. Neither the reporting person i~;~ .: ? I or any trust in which he is a trus ee controls or determines either (I) who the fund manager or investruent advisors are or (2) what invest~~:~:P~:~rs purchases or sells or when it does so Thus, neither the reporting person, ~i~ ~ ~i! i~I or trusts in which he is a trustee has any control regarding the investments of Awbury Partners. The value of Awbury Partners investmen~ ~ ~le~rh~i~ c~arterly on the basis of the value of the partnerships underlying investments. NOTE 2:P2 Capital Fund IV, L.P., is a pooled investment partnership, which is not controlled by either the reporting party or: NOTE 3: Saugatuck Capital V LLC and Saugatuck Capital VI LLC are private equity partnerships, which are nol contro led by e tter the reporting party or~ The Capital Vpartnership is current y who y nvested in Femco Hod ngs LLC, a privately held company located in Pennsylvania and the Capital ~]s :::~::,~i~d in Exocor, Inc., a Canadian corporation. NOTE 4: Trusts ##1 and 2, which were shown on previous reports, were terminated effective as of 02/15/06 and all of the assets (which were cash) then held by the trusts were distributed in their entirety to the beneficiaries of the trusts, so that as of December 31,2006, neither of these trusts existed. The other trusts will continue to be numbered from #3 to avoid confusion with prior reports. Trust #3 was terminated effective 06/21/08 and the assets within the trust were distributed in kind to the beneficiary of the Trust. As a result, as of December 31, 2008, Trust # 3 held no assets and nwas terminated. Trust #3 will not appear in future reporls. Trust # 5 will terminate in 2010. NOTE 5: The CT Municipal Money Market was transferred electronically to Fidelity Institutional Money Market Fund in on February I I, 2009. NOTE 6: Payment for teaching at University of Melbourne was split between 2009 and 2010. The second payment of $7952.60 was made on Febrt~ary 17, 2010 and will be shown on next years report. The payments differed in amount because of currency fluctuations, as the teaching stipend was based on Australian dollars. The payment was intended to cover the reporting persons travel expenses, lodging and food.

FINANCIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

N ..... fP ..... Reporting

DateofRepor

Kravitz, Mark R.

05103/2010

i certify thal 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. ! filrlher certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions off U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulation~.

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 oflhe United States Cougars Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544