Amalya L Kearse Financial Disclosure Report for 2009

8/3/2019 Amalya L Kearse Financial Disclosure Report for 2009

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~ A o - 1 0 FINANCIAL D ISCLOSURE REPOR T R e p o r t R e q u i r e d b ~ ~ h ~ = ~ h i = sRefo~n~Act of 198~, ~ub. ~. No.

R e v . I / % 7 101-194, November 30, 19~9

FOR CALENDAR YEAR2009c ~ u . s . c . A p p . 4 , I 0 1 - i 1 2 )

io Person Reporting (Last name, first, middle initial) 2, Court or Organiz ation 3, Date of Report

KEARSE, AMALYA L. COURT OF APPEALS, 2D CIRCUIT 0 4/1 2/1 0

4. Ti t l e ( A rti c l e l l I jud g e s i n d i ca t e ac t i ve o r 5. Report Type (check sppropriate type) 6. Repo rting Peri odsenior status; Magistrate judges indicatef u l l - o r p a r t - t i m e ) - - N o m i n a t i o n , D a t e / /

U. S. CIRCUIT JUDGE __ I n i t i a l _ ~_X A n n u a l - - F i n a l 01/01/09 - 12/31/09

7. Chambers or Of fice Addre ss 8. On the bas is of the information contained in this R eport andany modifications pertaining thereto, it is, in ~, opinion,

U.S. COUR THOUSE in compliance with applicable laws and regulations.

FOLEY SQUARENEW YORK NEW YORK 10007 R e v i e w i n g Officer

IMPORTANT ~OTES~ The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each sectlon where you have no reportable information. Sign on last page.

I. P O S I T I O N S . ( R e p o r t i n g individ~sl o n l ~ ; ~ e e pp. ~-~ o f : n s t = o t i o n s . ~

P OSIT ION NAME OF ORGANIZATION/ENTITY

~ ( N o r e p o r t a b l e p o s i t i o n s )ONE

Trustee, Director .~:~- , Kearse Memorial Scholarship Fund

I I . AGREEMENT S. ~ R o p o = t i n g i ~ d i v i d n a ~ o o l ~ ; s e e p ~ . :~ - ~ o f ~ n s t r ~ c t i o . s .>

DAT____~E P ART IES AND T ERMS -.,

NONE ( N o r e p o r t a b l e a g r e e m e n t s ) ;..o" ’.,~ ’ -

’ 6 9 , ’ 7 9 H u q h e s H u b b a r d & R e e d - A m a l g a L . K e a r s e : R e t u r n o f J u l y 1 9 7 9 R e

III. N O N - IN V E S T M E N T IN C O M E . (Reporti~ i n d i v ’ i d u a l and spouse; see pp. 3 . 8 - 2 5 Of :nstr~ctions. )

DATE SOURCE AND TYPE GROSS INCOME( ~ u r s , n o t s p o u s e " s )

~( N o r e p o r t a b l e n o n - i n v e s t m e n t i n c o m e )ONE

1

$2

$

$

$5



Name of Person Reporting Date of ~eport

FINANCIAL DISCLOSURE REPORTK E A R S E , A M A L Y A L . 04/12/10

IV . R E I M B U R S E M E N T S a n d G I F T S - - t r a n e p o r t s t i o . , L o d g i n g , ~ o o d , e n t e r t a i n m e n t .<Zncludee those to spouse and dependent children; use the parentheticals "{S)" and "(DC)" to indicate reportable

reimbursements and gifts received by spouse and dependent children, respectively. See pp. 26-29 Of Instructions.)

S O U R C E D E S C R I P T I O NNONE (No such reportable reimbursement s or gifts)

indicate other gifts received by spouse and dependent children, respectively. See pp. 30-33 of Instructions.)

SOURCE DESCRIPTION VA Lbrl

~ ~ONE ( N o s u c h r e p o r t a b l e g i f t s )

1

$ .

$ .V I . L I A B I L I T I E S . ~Includes those of spouse and dependent children; indicate where applicable, person responsible

f o r l i a b i l i t y b y u s i n g t h e p a r e n t h e t i c a l " ( S )"

f o r s e p a r a t e l i a b i l i t y o f t h e s p o u s e , " ( J )"

f o r j o i n t l i a b i l i t y o f

zeporting individual and spouse, and "(DC)" for liability of a dependent child. See pp. 3~-36 of Instructions.)

C R E D I T O R D E S C R IP T IO N V A L U E C O D

~ ~ T O ~ ( N o r e p o r t a b l e l i a b i l i t i e s )

1

I*Value C odes: J ~$ 15,0 0 0 or less0=$500,001-$1,000,080 . P l = ~ I ~ 0 0 0 , O 0 1 - ~ 5 , 0 0 0 , 0 0 G " P2=$5,000,001-$25,000,00~

. P3=$25,O00,00I-$50,0QO,000 P4=$50,000,001 Or more ’



Name of Person Reporting I D a t e o f R e p o r t

FINANCIAL DISCLOSURE REPORT KEARSE, AMALYA L. 04/12/10

V I I. P a g e I IN V E S T M E N T S a n d T R U S T S - - i n c o m e , v a l u e , t r a n s a c t i o n s ( I n c l u d e s t h o s e o f s p o u s eand dependent children. See pp. 37-54 of Instructions.)

A . B . C. D .Descripti o n o f ;~e e t s I n c o m e Cross value( i n c l u d i n g t r u s t a s s e t s ) during a t e n d o f Transactions during reporting period

reporting reportingperiod periodIndicate where applicable, owner of

the asset by usin~ the parenthetical"(J)" for Joint ownershlp Of report- ’ . . . . . i

( I ) . I ~ n o t e x e m p t f r o m d i s c l o s u r eing indiviaual and Spouse, "(S)~ for ( i ) ( 2 ) ( I ) ( 2 ) " i . T y p eseparate ownership by spouse, "(DC)"~or ownership by dependent child. Type ( e . g . , ( 2 ) ( 3 ) ( 4 ) ( 5 )

( e . g . , V a l u e b u y , s e l l , D a t e : I d e n t ~ y o fPlace "(X)" after each asset A m t . l d i v . , v a l u e 2 M e t h o d 3 m e r g e r , M O n t h - V a l u e 2 G a i n l b~yer/sellerexempt from prior disclosure. C o d e rent or’ Code C o d e r e d e m p - D a y c o d e C o d e ( i f p r i v a t e ,

( A ~ H ) i n t . ) ( J - P ) ( Q - W ) t i o n ~ ( J - p ) ( A - H ) t r a n s a c t i o n )

~ N O N E ( N o r e p o r t a b l ei n c ome, a s s e t s , or

t r a n s a c t i o n s )

1 C l i n t o n A s s o c . P t n p A D i s t r i b ~ J W ,

2 Int’l Cons tructors Pt n p N o n e J W

3 T Rowe Price Eq Inc Mutual A D i v i d e n ~ J TFund

4 Janus Twenty Mutua~ ~und None J T

5 IRA Janus Fund A D i v i d e n ~ J T

6 IRA Perkins Mid-Cap Value Fund A D i v i d e n ~ L T- S e e N o t e s

7 IRA T Rowe Price MidCap Value N o n e K TFund

8 Janus Money Market Fund A D i v i d e n ~ J T

9 T Rowe Price Money Market Fund A D i v i d e n ~ J T

I 0 T Rowe Price MidCap Growth A D i v i d e n ~ L TFund

1 1 Citi b a n k Mon e y Market A I n t e r e s t J T

1 2 Legg Mason Value Fund N o n e Sold 1 1 / 6 K A

1 3 JP Morgan Clearing Corp. Money B D i v i d e n ~ J TMarket Fund

1 4 IndyMac B a n c orp N o n e J T

1 5 Selected American Shares A D iv iden~ L T

1 6 Selected Special Shares A Dividen d K T

1 7 T Rowe Price Media & Telecom. A D i v i d e n ~ J TFund

1 8 Checkpoint Systems Inc. N o n e K T

1 Inc/Gain Cds~ A=$I,060 or’less B=$I,001-$2,500 C=$2 501-$5 000 D~$5,001-$15,000~ E=$i5,001-$500000( C o l . B I , D 4 ) ’ F=$50,~01-SI00,000 G = $ ! 0 0 ~ 0 0 1 ~ $ I , 00 0 , 0 0 ~ ¯ ’ HI~$~,000,001-$5,000,000 H 2 = ~ 5 0 0 0 0 , 0 0 1 " o r m o r e

2 V a l C d s : J=~15,000 or less . K=$15,001-$50,000 L~$50,001-$I~’0,000 M=$I00,001-$~50,000 N=$250,001-$500,000( C o l . C I , D 3 ) 0=$500,001-$i,000,000

P 3~ $2 5 ,0 00 ,0 01 - $5 0 ~0 0~ , 0~ 8 P 4= $5 0 ,0 00 ,0 01 o r m o re

~ V a l M t h C d s: Q = A p p r a i s a l R = C o s t ( r e a l e s t a t e o n l y ) S = A s s e s m e n t " ’ T = C a s h / M a r k e t( C o l . C 2 ) U = B o o k V a l u e V = O t h e r " " W=Estimated



Name of Person Reporting I D a t e o f R e p o r t

F I N A N C I A L DISCLOSURE REPORTK E A R S E , A M A L Y A L .

I04/ 12/ 10

Vll. Page 2 INVESTMENTS and TRUSTS -- inc ome, value, transactions (Inc ludes tho se of spou seand dependent children. See pp. 37-54 of Instructions.)

A . B . C . D .Description of Assets I n c o m e Gross value( i n c l u d ~ n 9 t r u s t a s s e t s ) d u r i n g at end of Transacti ons during reporting period

reportlng reportingperiod p e ri odndicate where applicable, owner of

the asset by using the parenthetical"(J)" for joint ownershzp of report-ing individual and spouse, "(E)~ for ( 1 ) ( 2 ) ( I } ( 2 ) ( i ) If not exempt from disclosures~parate ownership by spouse, "(De)" ~!pe ’for ownership by dependent child. T y p e ( e . g . ( 2 ) ( 3 ) ( 4 ) ( 5 )

( e . g . , Value b u y , ~ e l l , D a t e : I d e n t i t y o fPlace -(x)" after each asset Amt.l d i v . , V a l u e 2 M e t h o d 3 m e r g e r , Month- Value2 G a i n l buyer/seller~xempt from prior disclosure. C o d e r e n t o r C o d e C o d e r e d e m p - Day C o d e C o d e ( i f p r i v a t e

( A : H ) i n t : ) ( J - P ) ( Q z W ) t i o n ) ( J - P ) ( A - H ) t r a n s a c t i o n )

~ N O N E ( N o r e p o r t a b l eincome, assets, or

t r a n s a c t i o n s )

1 9 Cisco Systems N o n e K T

2 0 I n t e l Co r p . A D i v ± d e n ~ K T

2 1 Perkins MidCap Value Fund A D i v i d e n c J T( n o n - I F - A ) - S e e N o t e

2 2 Citadel Broadcasting Co. N o n e J T

2 3 Nokia Corporation N o n e Sold 1 2 / 2 J A

2 4 American Express Money Market A D i v i d e n c J TFund

2 5 Janus Capital Management - See A D i s t r i b %Note

2 6 T Rowe Price Small Cap Value N o n e J T B o u g h t 1 2 / 2 8 JFund

2 7 S o c i e d a d Q u i m i c a y M i n e r a A D i v i d e n c J T B o u g h t 9 / 0 2 J

2 8 S ociedadQ uim ica y M iner a A D i v i d e n ( J T Bought 1 2 / 0 2 J

29

3 2

3 4

3 5

3 6

1 [nc/Gain Cds: A=$!,000 or less B-$I,001-$2,500 C=$2,501-$5,000 D=$~,001-$15,000 " E~$15,001-$50 000( C o ~ . B I ~ D 4 ) ’ F=$50~001-$100,000 ,. G = $ I 0 0 , 0 0 1 - $ I , 0 0 0 , 0 0 0 HI=$I0000,001-$5,00~,000 H 2 = $ 5 , 0 0 0 , 0 ~ 0 ~ ’ o r m o r ~

2 V a l C d s : J=$15,000 or less K=$15,001-$50,000- L=$50,001-$I00,000 M=$100,001-$250,000 N=$250,001-$500,000( C o l . C I , D 3 ) 0= $5 00, 001 -$i, 000, 000 P I=$I, 000, 001 -$5 ,000, 000 - . P2=$5,000,001-$25,000,000

P ~ =$ 25 , 00 0, 0 01 -$ 50 ~0 00 ,0 00 P ~ =$ 50 ,0 00 ,0 01 o r m or e

3 V a l M t h C d s: Q = A p p r a i s a l " R & C o s t . ( r e a l e s t a t e o n l y ) S=Assesment T=Cash/Marke t. ( C Q I . C 2 ) O = B o o k V a l u e , V ~ q t h e ~ .. W , E s t i m a t e

d "



Name of Person Reporting Date of Report

FINANCIAL DISCLOSURE REPORT

I K E A R S E , A M A L Y A L .04/12/I0

ADD|T|ONAL NFORMAT ON Or EXPhANAT ON$. pa =

All Expla n a t i o n s a r e r e P a r t VII:

A l l i n v e s t m e n t s s h o w n i n p r e v i o u s r e p o r t a s h a v i n q n o v a l u e a t e n d o f t h e

p r i o r r e D o r t i n q p e r i o d w e r e s o l d , d i s s o l v e d , o r o t h e r w i s e d i s p o s e d o f d u r i n q

t h a t p e r i o d a n d h a v e b e e n d e l e t e d f r o m t h e f o r m .

T h e J a n u s C a p i t a l M a n a q e me n t d i s t r i b u t i o n w a s r e c e i v e d a s a r e s u l t o f a n

a d m i n i s t r a t i v e D r o c e e d i n q r e l a t i n q t o t h e m u t u a l f u n d f o r m e r l y k n o w n a s J a n u s

M e r c u r y Fu n d , a l l m y s h a r e s o f w h i c h h a d b e e n s o l d i n 2 0 0 3 .

T h e B e a r S t e a rn s d i v i d e n d w a s r e c e i v e d i n 2 0 0 9 a s D a r t o f t h e s e t t l e m e n t o f a n

a d m i n i s t r a t i v e p r o c e e d i n q a g a i n s t t h a t c o m p a n y ; t h a t c o m p a n y w a s a c q u i r e d b y

J P M o r qa n C h a s e i n 2 0 0 8 .

A n y m u l t i p l e e n t r i e s f o r t h e s a m e s e c u r i t y , r e qu i r e d i n p r i o r r e p o r t b e c a u s e

t h e r e w e r e t r a n s a c t i o n s o n d i f f e r e n t d a t e s , h a v e b e e n c o n s o l i d a t e d t o t h e

e x t e n t a p p r o p r i a t e .



V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S (I ndicate part of R eport.)

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dcpsndent children, if an

accurate, true, and com plete to the best ofmy knowledge and belief, and that any information not reported was withheld because it met applicstatutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which h ave been reported arcompliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353 and Judicial Conference regulations.

S i g n a t u r e D a t e A p r ~ l 1 2 , 2 0 1 0

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B ES U B J E C T T O C I V I L A N D C R I M I N A L S A N CT I O N S ( 5 U . S . C . a p p . § 1 0 4 . )

F I L I N G I N S T R U C T I O N S :

M ail Signed original and 3 additional copies to: Committee on F inancial DisclosureAdministrative Office of the

United States CourtsSuite 2-301One Columbus Circle, N.E .W ashington, D.C. 20544

Amalya L Kearse Financial Disclosure Report for 2009

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