Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization U.S. District Court, Eastern District of Pennsylvania
5a. Report Type (check appropriate t)ve) ] Nomination, Date [] Annual [] Final

Report Reqtdred b) the Ethics in Government Act ofl978 (5 U.S.C. app..~" I01-I11)

I. Person Reporting (last name, first, middle initial) Goldberg,, Mitchell S.

4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)

3. Date of Report 09/06/201 I

6. Reporting Period 01/01/2010 to 12/31/2010

U. S. District Judge -[ Active Status

[] Initial

5b. [] Amended Report

7. Chamber~ or Office Addrt~s Room 7614, U. S. Courthouse 601 Market Street Philadelphia, PA 19106

8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance svith applicable laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followe,t Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. mepo.ing individual only; seepp. 9-13 of filing instructions.)

~-] NONE (No reportable positions.)

POSITION

NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. ~Re~,o,,ing indi,idaal only; see ~,~,. t 4-16 of ~lin~ instructions.)

D
I. 2/03 2. 2010 3.

NONE (No reportable agreements.)

DATE
Pennsylvania Employee Retirement System

PARTIES AND TERMS

Drexel Law School (Teaching appointment to start September, 201 I)

Goldber_q, Mitchell S.

FINANCIAL DISCLOSURE REPORT Page 2 of 9

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 09/06/2011

III. NON-INVESTMENT INCOME. (,epo,ing individual andspouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income D
NONE

(No reportable non-investment income.)

DATE SOURCE AND TYPE

INCOME
(yours, not spouses) $2,500.00 $3,583.33 $13,818.00

I. 2010 2. 2010 3. 2010 4.

Drexel law School - Payment for teaching Trust Distribution Pennsylvania Employee Retirement System

B. Spouses Non-Investment Income - if you were married during any portion of the reporting.lear, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.) DATE SOURCE AND TYPE

Herstine Technology - salary

1.2010 2. 3. 4.

IV. REIMBURSEMENTS -transportation, lodging, food, entertainment

(Includes those to spouse and dependent children," see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.)

SOURCE American Bar Association DATES 4/29/2010 - 5/3/2010 LOCATION Half Moon Bay, CA PURPOSE Tort Trial & Insurance Practice Section - Speaker

ITEMS PAID OR PROVIDED Transportation, meals, hotel

3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 9

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 09106/2011

V. GIFTS. ancludes ,hose to spouse ond dependen, children; see pp. 28-31 of filing instructions.)
[-~ NONE (No reportable gifts.)
SOURCE
I. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. (includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.)
CREDITOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 9

Name of Person Reporling Goldberg. Mitchell S.

Date of Report 09/06/201 I

VI I. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 offiling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during Gross value at end of reporting period Transactions during repening period

(including trust assets) Place "(X)" after each asset exempt from prior disclosure

reperting period O) Amount Code I

(A-H)

(2) Type (e.g., div., rent,

or int.)

O) Value Code 2 (J-P)

(2) Value Method Code 3 (Q-W) W T T

(J) Type (e.g,, buy, sell, redemption)

(2) (3) (4) Date Value Gain mn,ddd/yy Code 2 Code (J-P) (A-H)

(5) Identity of buyer/seller

(if private

transaction)

Trust - I/3 Interest - property located in Stewart, FL American Fund # I - 529 - age or risk based - no control 3. 4. 5. 6. 7. 8. 9. 10. I1. 12. 13. 14. 15. 16.
17.

Rent None None None None

M K K

American Fund #2 - 529 - age or risk based - no control American Fund #3 - 529 - age or risk based - no control American Fund #4 - 529 - age or risk based - no control
Morgan Stanley Smith Barney #1 - Commor stocks & options:

Redeemed K T Redeemed

09/2 I110 09/21/10

K K

(part)

Bank Deposit Program #BDP Baxter Intl. Inc. Bristol Myers Squibb Co. HCP Inc. Kimberly Clark Corp. Metlife Inc. Microsoft Corp. Pepsico Inc. Sysco Inc. WaI-Mart Stores Inc.
CVS Caremark Corp. Stock

Interest

None None None None A A Dividend Dividend None None None

None

K K K J K K J J K

T T T T T T T T T

Buy Buy

05/10/10 02/03/I 0

J J

Buy Buy

02/18/10 02/03/10

K K

Sold

04/22110 K

I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Mcthod Codes [See Column C2}

A -$ 1.000 or less F =$50.001 - $100.0~0 J =$15,000 or less N -$250.001 - $500.0~O P3 $25.000.0~)1 - $50.000.000 Q =Apprai:,al U =B~,k Value

B =$1,001 - $2,500 G =$10~.001 - $1.0~0,0~0 K -$15,0~1 - $50,0~0 O =$500,001 - $1,000.0~0 R =Co~t (Real Estate Only) V :Olhcr

C =$2,501 - $5,000 H I =$ 1.0~9.0~ I - SS.0~).0O0 L=$50,001 - S 100.000 PI =$1,0~0.001 - $5,0~0.090 P4 =More than $50.(~).0~0 S =Asses,meal W =Estimated

D =$5,001 - $15.000 H2 =More than $5,000,00~ M =$100.0~1 - $250,0~) P2 -$5.000.1~| T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 5 of 9

Name of Person Reporting Goldberg. Mitchell S.

Date of Report 09/06/201 I

VII. INVESTMENTS and TRUSTS - income, ,at.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period 0) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.)
Gross value at end

Transactions during reporting period O) Type (e.g.,

buy, sell,

of reporting period O) Value Code 2 (J-P) (2) Value Method Code 3

(Q-W)

redemption)

(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (A-H) 0-P)

(5) Identity of buyer/seller (ifprivme transaction)

18.
19.

Morgan Stanley Smith Barney Corporate Bonds:

General Electric Cap Corp. A Interest K Buy

02/03/10

20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

Berkshire Hathaway Fin. Corp. Pepsico Inc. Morgan Stanley Smith Barney GSE Bonds: Federal Home Loan Mortgage Corp. Morgan Stanley Smith Barney Certificates of Deposit: Ally Bank-UT (Formerly GMAC Bank) #1 Ally Bank-UT (Formerly GMAC Bank) #2 Ally Bank-UT Formerly GMAC Bank) #3 Morgan Stanley Smith Barney #2 Financial: Management Acct. IShares TR S&P 500 Index Fd Powershares QQQTR Ser I Capital Income Builder Fund Growth Fund of America Class A Exxon Mobil Corp LMP Shot-Term bond Fund Class C

B B

Interest Interest

K K

T T Buy (addl) 02/18/10 K

Interest

Buy

04/07/10

A A A

Interest Interest Interest

K K K

T T T

Open Open Open

04/13/10 04/19/10 06/29/I 0

K K K

None None None None None None J J T T

Sold

02/25/I 0

Sold Sold Buy Buy

02/25/10 02/25/I 0 02/25/I 0 01/05110

J J J J

I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (SeeColumnsCI and D3) 3. Value Method Codes ISce Column C2)

A =$1,000 or less F =$50.1)01 - $100,000 J =$15,000 or less N-$250.001 - $50~,000 P3 -$25.000,001 - $50,000,000 Q =Appraisal U =Book Value

B =$1.001 - $2,500 G =$100.001 - $1.000.0~ K =$15,001 - $50,000 O $500,001 - $1,000.090 R =Cost (Real Estale Only) V =Other

C =$2,501 - $5,000 It I =$1,000,001 - $5,000,0~0 L =$50.001 - $10~.000 PI =$1,000,001 - $5.000,0~0 P4 =More than $50.0~0,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5.000,0~) M =$100,001 - $250,00~ P2-$5,000,001 -$25,000.000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 6 of 9

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 09/06/2011

VII. INVESTMENTS and TRUSTS - inco,.e, ,,.l.e, ,r.n,ac,io.s ancl.de, those oIspo~.e ~nd depende.t children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trus! assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period

O)
Amount Code I (A-H)

(2)
Type (e.g., div., rent, or int.)

(l)
Value Code 2 (J-P)

(2)
Value Method Code 3 (Q-W)

(1) Typo (e.g., buy, sell, redemption)

(2) (3) (4) Date Value mm/dd/yy Code 2

(5)
Gain Code I Identity of buyer/seller (if privale transection)

(J-p)

(A-H)

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

Wells Fargo #1 - Harford Annuity: AMR Blue Chip Income and Growth AMR Global Growth AIM Mid Cap Core Equity Fund F-T Small-Mid Cap Growth AMR Growth-lncome Newell Rubbermaid Inc. NWL Oppenheimer Fund- Retirement IRA Sirius XM Radio, Inc. - Stock Wells Fargo #2 - Hartford Annuity: AMR Growth-lncome AMR Blue Chip Income and Growth F-T Small-Mid CapGrowth AIM Mid Cap Core Equity Fund AMR Global Growth Annuities, Savings & Checking Accounts: ING Annuity & Life Ins. (Y) None None None None None Sold Sold Sold Sold Sold 03/i 1/10 J 03/11/I 0 03/I 1/10 03/I 1/10 03/I 1/10 J J J J A A A A A None None None None None None None J J T T J J
J

T T T T Sold 08/02/10 J A

I. Income Gain Codes: (see Columns B I and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (see Column C2)

A -$1,000 or less F =$50.001 - $10~.0~ J =$15.000 or less N =$250.001 - $500.000 P3 =$25,000.001 o $50.000.000 Q =Appraisal U =Book Value

B =$1,0~1 - $2,500 G =$100,001 - $1,000,0(~ K -$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estale Only) V =Other

C =$2,501 - $5,000 HI =$1,000.001 - $5,000,000 L $50,001 - $ 100,0~O PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessmcnl W =Estimated

D =$5,001 - $15,000 H2 =More than $5.0~0,0~ M =$ 100,001 - $250.000 P2 =$5,0003)01 - $25,000.000 T =Cash Market

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 7 of 9

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 09/06/201 I

VII. INVESTMENTS and TRUSTS - inco,.e, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A.
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure

B.
Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.)

C.
Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption)

D.
Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 i Code 1 (J-P) (A-H) i (5) Identity of buyer/seller (if private transaction)

52.
53.

ING Direct Savings Account (X)

TD Bank Checking Account (X)

Interest
None

J
J

I. Income Gain Codes: (See Columns BI and 194) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50,001 - $100.000 J -$15.0~0 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value

B =$1.001 - $2,500 G =$100,001 - $1,0OO,000 K = $15,001 - $50.000 O =$500,001 - $1,000,000 R -Cost (Real Estale Only) V Other

C =$2,501 - $5,000 HI -$1.000.001 - $5.090.000 L =$50.0~ I - $ 100,000 PI =$1.000.001 - $5,000,000 P4 -More than $50,000.000 S =As~cssmenl W ~Estimated

D = S5,001 - $15.000 H2 =More than $5,000.000 M =5100,001 - $250.000 P2 =$5.000.001 - $25,000.000 T =Cash Markcl

E =$15.001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 09/06/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of report.)

Part VII, page 6, line 51 - inadvertently omitted from my 2009 reporl. Part VII, page 7, lines 52 and 53, the value of these assets were below the reportable value in 2009.

FINANCIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 09/06/201 I

1 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 ~vhich 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/Mitchell S. Goldberg,

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

I
I. Person Reporting (last name, first, middle initial) Goldberg,, Mitchell S.

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Cour~ or Organization U.S. District Court, Eastern District of Pennsylvania
5a. Report T)]~e (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. ~ IOl-I l l)

3. Date of Report 06/09/2011 6. Reporting Period 01/01/2010 to 12/31/2010

4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or pan-time)

U. S. District Judge -[ Active Status

5b. [] Amended Report

7. Chambers or Office Address Room 7614, U. S. Courthouse 601 Market Street Philadelphia, PA 19106

8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.

Reviewing Officer

Date

IMPOR TA NT NO TES: 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.

I. POSITIONS. mcporting individual only; seepp. 9-13 of:ling instructions.)

~

NONE (No reportablepositions.) POSITION NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instruction~)
D

NONE (No reportable agreements.)

DATE

PARTIES AND TERMS

Pennsylvania Employee Retirement System Thrift Savings Plan Drexel Law School (Teaching appointment to start September, 201 I)

I. 2/03 2. 1/97 3. 2010

Goldberq, Mitchell S. A

FINANCIAL DISCLOSURE REPORT Page 2 of 9

Name of Person Reporling Goldberg,, Mitchell S.

Date of Report 06/09/201 I

I II. NON-INVESTMENT INCOME. (Reporting indi,idual andspouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income D NONE (No reportable non-investment income.) DATE
I. 2010 2. 2010 3.2010 4.

SOURCE AND TYPE

Drexel law School - Payment for teaching Trust Distribution Pennsylvania Employee Retirement System

INCOME
(yours, not spouses) $2,500.00 $3,583.33 $13,818.00

B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar omount not required except for honoraria.)

NONE (No reportable non-investment income.)

DATE
1.2010 2. 3. 4.

SOURCE AND TYPE

Herstine Technology - salary

IV. REIMBURSEMENTS --transportation, Iodglng, food, entertalnmen

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.) D NONE (No reportable reimbursements.) SOURCE American Bar Association DATES 4/29/2010 - 5/3/2010 LOCATION Half Moon Bay, CA PURPOSE Tort Trial & Insurance Practice Section - Speaker

ITEMS PAID OR PROVIDED

Transportation, meals, hotel

3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 9

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 06/09/201 I

V. GIFTS. ancludes,l, ose ,o s~,o,,se ~nd de~,ende,, children; see pp. 28-31 of filing instructions-)
NONE (No reportable g~s.)
SOU RCE
I. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. ancludes ,hoso o:spouse ~nd dependen, children; see pp. 32-33 of fillng instructions.)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 4 of 9

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 06/09/201 I

VII. INVESTMENTS and TRUSTS - income, ,atue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 Transactions during reporting period

(including trust assets)

Place "(X)" after each asset exempt from prior disclosure

reporting period (I) (2)

Amount Code I (A-H) Type (e.g., div., rent, or int.)

O) Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value mm/dd/yy Code2 (J-P)

Gain Code I (A-H)

Identity of
buyer/seller (if private transaction)

(Q-W) Trust - I/3 Interest - property located in Stewart, FL American Fund # I - 529 - age or risk based - no control 3. 4. 5. 6. 7. 8. 9. 10. II. 12. 13. 14. 15. 16. 17. American Fund #2 - 529 - age or risk based - no control American Fund #3 - 529 - age or risk based - no control American Fund #4 - 529 - age or risk based - no control Morgan Stanley Smith Barney #1 - Common stocks & options: Bank Deposit Program #BDP Baxter Intl. Inc. Bristol Myers Squibb Co. HCP Inc. Kimberly Clark Corp. Metlife Inc. Microsoft Corp. Pepsico Inc. Syscolnc. Wal-Mart Stores Inc. CVS Caremark Corp. Stock A A A Interest None None None None Dividend Dividend None None None
None

Rent None None None None

T Redeemed !09/21/10 T Redeemed (part)

09/21/10 K K

K K K K J K K J J K T T T T T T Sold : 04122110 K Buy Buy 02/18/10 K 02/03/10 K Buy Buy 05/I 0/I 0 J

02/03/10 J

I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes tScc Columns CI and D3) 3. Value Method Codes (Sc Column C2)

A =$1,090 or less F-$50.001 J -S 15,000 or less N =$250.0OI - $500,000 P3 =$25,000,0OI - $50.000.000 Q =Appraisal U =Book Value

B =$1.001 - $2.500 G =$100,001 - $1.000.000 K =$15,001 - $50,000 O =$500,001 - $1,009.00~ R =Cost (Real Estate Only) V -Other

C =$2.501 - $5,000 H I =$ 1.000,001 - $5.000.000 L =$50.001 - $100,000 PI =$1.000,001 - $5.000,000 P4 =More than $50.000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 -More than $5.~O0,000 M $ 100,001 - $250,000 P2 =$5,000,001 - $25.000.000 T =Cash Market

E =$15.001- $50.0~O

FINANCIAL DISCLOSURE REPORT Page 5 of 9

Name of Person Reporting Goldberg. Mitchell S.

Date of Report 06/09/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of ~pouse and dependent children; seepp. 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset

Income during reporting period 0)

Amount

(2)
Type (e.g.,

Gross value at end of reporting period (1) (2)

Value Value

Transactions during reporting period 0)

Type (e.g., buy, sell, redemption)

exempt from prior disclosure

Code I (A-H)

div., rent, or int.)

Code 2
(J-P)

Method Code 3 (Q-W)

(2) (3) (4) Date Value Gain mrrddd/yy Code 2 Code I (J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

18.
19.

Morgan Stanley Smith Barney Corporate Bonds:

General Electric Cap Corp. A Interest Buy 02/03/10 K

20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33.

Berkshire Hathaway Fin. Corp. Pepsico Inc. Morgan Stanley Smith Barney GSE Bonds: Federal Home Loan Mortgage Corp. Morgan Stanley Smith Barney Certificates of Deposit: Ally Bank-UT (Formerly GMAC Bank) #1 Ally Bank-UT (Formerly GMAC Bank) #2 Ally Bank-UT Formerly GMAC Bank) #3 Morgan Stanley Smith Barney #2 Financial: Management Acct. IShares TR S&P 500 Index Fd Powershares QQQ TR Ser I Capital Income Builder Fund Growth Fund of America Class A Exxon Mobil Corp

B B

Interest Interest

K K

T T Buy (addl) 02/18/10 K

Interest

Buy

04/07/10 K

A A A

Interest Interest Interest

K K K

T T T

Open Open Open

04113/10 04119/10 06/29/I 0

K K K

None None None None None None J J T T

Sold

02/25/I 0

Sold Sold

02/25/10 02/25/10 02/25/10 101/05/10

J J J J

Buy Buy

34. LMP Shot-Term bond Fund Class C

I. Income Gain Codes: (see Columns BI and IM) 2. Value Codes (See Columns CI and D3) 3. Value Method Codc~ (See Colunm C2)

A =$1,00~ or I~s F =$50.001 - $100.000 J =$15,00~ or less N =$250.0~1 - $500,000 P3 $25,000.001 - $50,000.000 Q =Appraisal U =Book Value

B =$1.001 - $2,500 G =$100.091 - $1,000.0~0 K -$15,001 - $50,000 O -$50~.001 - $1,000,00O R :Cost (Real Estate Only} V -Other

C =$2,501 - $5,000 HI =$1.000.001 - $5.000.000 L =$50,001 - $ 100,0~0 PI -$1,0~0,001 - $5,000,090 p4 = More than $50.0~0,000 S =Assessment W =Estimated

D =S5,001 - SI5.000 1t2 =More than $5.000.000 M =$ I 0~.001 - $250.000 P2 =$5.000.001 - $25,0~.00~ T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 6 of 9 VII. INVESTMENTS and TRUSTS - i.c ....

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 06/09/201 I

value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

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

Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period (I) (2) Value Code 2 (J-P) Value Method Code 3 (Q-W) Type (e.g., buy, sell, redemption) Transactions during reporting period

O)
Amount Code I (A-H)

(2)
Type (e.g., div., rent. or int.)

(2) (3) Date Value mmldd/yy Code2 (J-P)

(4) Gain Code I (A-H)

Identity of buyer/seller (if private transaction)

35. 36.

Wells Fargo #1 - Harford Annuity: AMR Blue Chip Income and Growth None T

37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

AMRGlobal Growth AIM Mid Cap Core Equity Fund F-T Small-Mid CapGrowth AMR Growth-lncome Newell Rubbermaidlnc. NWL Oppenheimer Fund- Retirement IRA Sirius XM Radio, Inc. - Stock Wells Fargo #2 - Hartford Annuity: AMR Growth-lncome AMR Blue Chip Income and Growth F-T Small-MidCap Growth AIM Mid Cap Core Equity Fund AMR Global Growth Annuities, Savings & Checking Accounts: ING Annuity & Life Ins. (Y)

None None None None None None None J J J

J

T
T T T

Sold T T

08/02/10 J

None None None None None

Sold Sold Sold Sold Sold

03/I I/I0 03/11/10 03/11/10 03/11/10 03/I I/I0

J J J J J

A A A A A

I. Income Gain Codes: (See Columns BI and 194) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (see Column C2)

A ~$1,000 or less F =$50.001 - $100.00~ J =$15,0~0 or less N =$250.001 - $50~.000 P3 :$25.00~.001 - $50.000.009 Q ~Appraisal U =Book Value

B =$1,001 - $2,500 G =$100.001 - $1.0~.099 K =$15.001 - $50.000 O =$500.001 - $1.009.0~0 R Cost (Real Estate Only) V =Other

C -$2,501 - $5,000 HI $1.009,001 - $5.0~0.000 L =$50,001 - $100.000 PI $1.00~.001 - $5.000,000 P4 =More than $50,000.000 S =Asscssnlent W =Estimated

D =$5.001 - $15,000 H2 =Mo~. than M =$100,001 - $250,0~0 P2 =$5,000,001 - $25.000,000 T =Cash Market

E =$15.001- $50,000

FINANCIAL DISCLOSURE REPORT Page 7 of 9

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 06/09/2011

VI I. INVESTMENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~

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

A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period C. Gross value at end of reporting period Transactions during reporting period

(J)
Amount Code I (A-H)

(2)
Type (e.g., div., rent, or int.)

(i)
Value Code 2 (J-P) Value Method Code 3

(0 Type (e.g., buy, redemption)

(2) (3) (4) Date Value Gain mm/ddYyy Code 2 Code I (J-P) (A-H)

(s) Identity of buyer/seller (if private transaction)

52.
53.

ING Direct Savings Account

TD Bank Checking Account

Interest
None

J
J

T
T

I. Income Gain Codes: (See Columns B I and D4) 2. Value Codc~ (See Columns C I and D3) 3. Value Method Codes (See Column C2)

A =$ 1.000 or Ins 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

B =$1.001 - $2,500 G =$100.001 - $1,000.000 K =$15,001 - $50.000 O =$500.001 - $1,000.000 R =Cost (Real Estate Only) V =Olhcr

C =$2,501 - $5,000 H I ~$1,000,001 - $5.000,000 L =$50.001 - $100.000 PI =$1.000,001 - $5.000,000 P4 =More than $50,000.000 S =As~ssmcnt W =Estimated

D =$5,001 - $15,000 H2 =More than $5.000,000 M -$100.001 - $250,000 P2 =$5.000.001 - $25.000.000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Name of Person Reporting Goldberg,, ,Mitchell S.

Date of Report 06/09/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate part of report.)

FINANCIAL DISCLOSURE REPORT Page 9 of 9

Name of Person Reporting Goldberg,, Mitchell S.

Date of Report 06/09/201 I

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/Mitchell S. Goldberg,

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