Arthur D Spatt Financial Disclosure Report for 2010

8/3/2019 Arthur D Spatt Financial Disclosure Report for 2010

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AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government Act of 1978( 5 U.S,C. app . ,Sq,Sq I01-111)

L P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i t ia l )Spat t , Arthur D.

4. T i t le (Ar t icle I I I judges indicate act ive or senior s ta tus;magislrate judges indicale full- or part-t ime)U.S. District Judge, Senior

7. Chambers or Office AddressLo n g I s l an d Fed er a l C o u r th o u seP . O . Bo x 9014Centra l I s l ip, New York 11722

2 . C o u r t o r O r g a n i z a t i o nEastern Distr ic t of New York

3 . D a t e o f R e p o r t05/05/201 I

5a. Report Type (check appropriate q,pe)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f th e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ym o d i f ic a t i o n s p e r t a i n i n g t h e r e t o , i t i s, i n m y o p i n i o n , i n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

R e v i e w i n g O f f i c er D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete all parts,checking the NONE box for each part where you ha ve no reportable information. Sign on las t page.

I . P 0 S I T 1 0 N S . R ~ p o , ~ , g in d i v i d u a l only; see p p . 9 - 1 3 of filing instructions.)N O N E (No reportable positions.)

POSITIONI.

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

II. AGRE EMENTS. ~ R ~ p o m n g i n d i v id u a t o . l ~ s t , p p . 1 4 - t 6 of filing instructions.)D NONE (No reportable agreements . )1.1979

2. 1979

3.

D A T E PARTIES AND TERMSPr io r pens ion and p ro f i t - shar ing p lan s ro l l ed over (See Rider I anne xed here to )Ind iv idua l Re t i remen t "Keogh" P lan (See Rider 2 annexed )


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FINANCIAL DISCLOSURE REPORTPage 2 of 12

N a m e o f P e r so n R e p o r t i n gSpatt, Arthur D.

D a t e o f R e p o r t05/05/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . (nepo . i .g ind iv idua landspou se ; seepp . 17 -24 of filing instructions,)A. Fliers Non-Investment Income

D ( N o r e p o r t a b le inc o me . )ONE n o n - i n v e s t m e n tDATE SOURCE AND TYPE INCOM E(yours, not spouses)

I. 2010 New York State Retirement Pension $18,820.002.

3.4.

B . S p o u s e s N o D - I n v e s t m e n t I n c o m e - If you were married during any portion of the reporting year, complete this sectiom( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t fo r h o n o r a r i a . )

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

1.2.3.

4.

I V . R E I M B U R S E M E N T S --transportation, Iodglng, food, entertai .... ~( Includes those to spouse and dependent chi ldren; see pp. 25 -27 of f i l ing instruct ions . )

~] (No repor tab le re imbursemen ts . )ONE

2.3.4.

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 2

Name of Person Report ingSpa t t , Ar t hu r D.

Date of Repor t05/05/201 I

V . G I F T S . a n c / , ,~ ~ , h o s e ~ , , s p o ,, s e ,~ , ,, ~ , ~ p ~ , ~ n ~ c ~ / , ~ n ; s o ~ p ~ ~ - ~ 1 , ,. r ./ ~ / in gN O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s ,h . o s e o / sp o , s e a , d ~ e ~ , e . d e n , children; see pp. 3 2 - 3 3 of f!llng instructlon~ )NONE ( ]go reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t i n gSpatt, Arthur D.

D a t e o f R e p o r t05/05/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i .... e, volue, transactiotts (Includes those of sp ...... d dependent children; seepp. 34-60 of filing instructlong)- - - - ] N O N E (No reportable income, assets, or transactions.)

Descript ion of Assets Transactions during reporting period(including trust assets)

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

Incom e during G ross value at end~porling period o f r e p o r t i n g p e r i o d

(I ) (2 ) (I) (2) (1 ) (2) (3) (4) (5 )A m o un t T y p e ( e . g ., V alue V alue T y p e ( e .g . , D a t e Value Gain I d e n t i t y o fCode I d i v . , r e n t , Code 2 M e t h o d buy, sel l , mm/dd/yy Code 2 C o d e I buyer /sel ler(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

I. STOCKS2. AIRTOUCH COMMUNICATIONS A Dividend J T3. A M E R I T E C H - CO M M O N A D iv id en d J T

4. A T & T - CO M M O N

5. B E L L A T L A N T I C - C O M M O N

6. C H E V R O N - T E X A C O

7. C O M C A S T - C O M M O N

8. E A S T M A N K O D A K - C O M M O N

9. P A C I F IC T E L E S I S - C O M M O N

1 0 . P E P S I C O - C O M M O N1 1 . S O U T H W E S T E R N B E L L - C O M M O N

1 2 . U . S. W E S T o C O M M O N

A D iv id en d J T

A D iv id en d J T

A D iv id en d K TA D iv id en d J TA D iv id en d J TA D iv id en d J T

A D iv id en d K TA D iv id en d J TA D iv id en d J T

1 3 . X E R O X - C O M M O N1 4 . U . S. W E S T M E D I A G R O U P1 5 . E A S T M A N C H E M I C A L C O .

1 6 . A I R T O U C H C O M M U N I C A T IO N S

A Dividend J TA Interest J TA Div idend J TA Div idend J T

17. NCRCORP. A D iv id en d J T

I. I ncome Ga in C odes :(See Co lumn s BI an d D4 )

2. Value C odes(See Co lumn s CI an d D3)

3. Value Method C odes(See Column C2)

A =$1,000 or lessF =$50.001 - $100,000J =$15.000 or IcesN =$250.001 - $500.000P 3 ~ $ 2 5 . 0 0 0 . 0 0 1 - $50.0~0.000Q = A p p r a i s a lU =B~o k Value

B =$ 1,0O I - $ 2 . 5 0 0G=$100.001 - $1.000.000K =$ I 5.001 - $50.000O =$500.001 - $1.000.000R =Cost (Real Estate Only)V :Olher

C =$2,501 - $5,000III =$1.000,001 - $5,000.000L =$50.0~1 - $100.000PI =$1,000.001 - $5.000.000P4 =More than $50.00~.000W =E s t ima ted

D -$5.0OI - $15.000112 =More than $5.000,000M :$100.001 - $250.000P 2 =$5.000.001 - $25.000.000T = C a s h M a ~ k c ~

E =$15.001 - $50,000


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FINANCIAL DISCLOSURE REPOR TPage 5 of 12

N a m e o f P e r s o n R e p o r t i n gSpate, Arlhur D.

D a t e o f R e p o r t05/05/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)~ ( No reportable asse ts , orONE income, transact ions. )

A. B. C.D esc r i p t io n o f A s s e t s I n c o m e d u r in g Gr o s s v a l u e a t e n d( i ncluding t rust asset s ) repor t i ng per i od o f r ep o r t i n g p e r i o d

(1) (2) (I) (2)P l ac e " ( X ) " a f t e r e ac h a s s e t [ A m o u n t T y p e ( g ., V a lue V a lue

e xe m p t f r o m p r i o r d i s c lo s u r e C o d e I div . , rent , C o d e 2 M e t h o d~ ( A - H ) or i n t . ) ( J -P ) C o d e 3[ ( Q - W )

1 8 . T R I C O N G LO B A L A Dividend J T19 . SBC COMMUNICATIONS A Dividend J T

20. C O M PA Q COMPUTER A Dividend J T21. GENERAL ELECTRIC CO. A Dividend J T

22. AGERE SYSTEMS, INC. A Dividend J T

23. YUM BRANDS, INC. A Dividend .1 T

24. HEWLETTPACKARD CO. A Dividend J T

25. QWEST COMMUNICATIONS A Dividend J T26. CHESAPEAKE UTILITIES CORP. A Dividend J T

27. VODAFONE A Dividend J T

28. iDEARC iNC. A Dividend J T

29. LSI Corp. A Dividend J T30 . LIMITED PARTNERSHIP

31 . BERKSHIRE LAND VENTURE CO. A Dividend J U

32 . BERKSHIRE LAND VENTURE CO. A Inlerest J U

33. INTEREST

34. N O R T H F O R K B A N K , i n c l u d i n g IRA A Interest L Taccounts & cash

T r a n sa c t i o n s d u r i n g r ep o r t i n g p e r i o d

(I) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, sell, rnm/ddiyy Code 2 Code I buyer /sel ler

r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

I . Income Gain Codes: A =$1,000 or less B =$1.001 - $2.500 C =$2.501 - $5 ,000 D =$5 .001 - $15 ,000(See C olumns B 1 and D4) F =$50.001 - $100,000 G =$I00.001 - $1.000.000 I I I = $1.000.001 - $5.000.000 1 1 2 = M o r c t h a n $ 5 . 0 0 0 . 1 ~ 0 0

2. Value Codes J = $15 .000 o r less K =$15.001 - $50.000 L =$50.001 - $100,0~ ) M =$100.091 - $250.000(S~c Columo .s CI and D3) N = $ 2 5 0 . 0 ( 3 1 - $ 5 0 0 . 0 ~ 0 O = $5 00 .001 - $1 . 000 .0~ PI =$1.0~ . (XH - $ 5 .0~ .0(}0 P 2 = $ 5 . 0 ( X ) . 0 O I - $ 2 5 , 0 0 0 . 0 O O

P3 =$25.000.001 - $50.000.000 P4 =Mo re than $50.000,0003. Value Method Codes Q =Appraisal R = C o s t 1 R e a l E s t a t e . O n l y ) S = A s s c ss m ~ n t T =Cash M ar ket(See Cohlmn C2) U =Book Va lue V =Olhcr W -Est imated

E =$15,001 - $50.0~


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D a t e o f R e p o r t05/05/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e .. a l ,, e. ~ a ,.s a c ti o ,~ a . c l u d ~ t h o s e o / sr ~ u s e a n d d e p e . d e n t children; see pp. 34-60 of filing instructions.)---] N O N E (No reportable income, assets, or transactions.)

A. B. D.D esc r i p t io n o f A s s e t s I n c o m e d u r i n g T r a n sa c t i o n s d u r i n g r ep o r t i n g p e r i o d

( inc lud ing t ru s t a sse t~ ) repor t i ng per i od(I) (2)

Place "(X)" after each asset I A m o u n t T yp e ( e . g . ,e x e m p t f r o m p r i o r d i s c l o s u r e [ Code I div . , rent ,

i (A-H) or i n t . )

G r o s s v a l u e a t e n dof report ing pe r iod

(1) (2)V alue V a lu eC o d e 2 M e t h o d

( J -P ) C o d e 3

(I) (2) (3) (4) (5 )Type (e .g . , Date V a lue G a in Identity ofbuy, se l l , m m / d d t y y C o d e 2 C o d e I buyer! se l l er

re d e m p tio n ) ( J-P ) (A -H ) ( i f p r ivatet ransact i on)

35. Port ion of Pens ion Plan Rol led Over (SeePart II)36. BONDS37.3 8 .39.

NEW Y ORK STATE HOUSINGFINANCE AG ENCYPOW ER AUTHORITY OF NY

D

CI n t e r e s t

I n t e r e s t

LK

TT

DORM ITORY AUTHORITY OF NY D I n t e r e s t L So ld 12/21/10 J A

40. DORM ITORY AUTHORITY OF NY D I n t e r e s t L41. STATE OF ISRAEL BONDS A I n t e r e s t J42. NY STATE THRUW AY AUTHORITY A I n t e r e s t J43 . NYS DEPT. OF H EALTH A I n t e r e s t J44. N.Y. STATE DORM ITORY AUTH . A I n t e r e s t KROCHESTER45 . DUTCHESS COUNTY DEV. AGENCY A I n t e r e s t46. OTSEG O COUNTY A . I n t e r e s t K47 . NEW Y ORK STATE ENVIRONM ENTAL, A I n t e r e s t J48. BRIAR CLIFF M A NOR A I n t e r e s t J4 9. G REECE NY CS D A I n t e r e s t50 . SCOTIA GLENVILLE, NY A I n t e r e s t K5 1. Ro ch es te r, NY A I n t e r e s t J

T

T

T

T

TS o l d

T

T

T

So ld

T

T

08/02/10

:06/15/10 K

I . Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 C =$2,501 - $5 ,000 D =$5.001 - $ I 5,000(See Co lumn s BI an d D4 ) F =$50.001 - $100.0~0 G =$100.001 - $1.000.000 III =$1.000.001 - $5 .D ~0.000 112 =More than $5.000.000

2. Value Cod, .s J -$15.000 or less K =$15 .001 . $50.000 L =S50.001 - $100.000 M =SIO0.001 - $250.000( .See Columns CI and D3) N =$250.001 - $5(X).000 O = $5 0~ .0 01 - $ 1.0 00.0 00 P I = $1 .0 00 .0 01 - $ 5.0 00 .0 0~ P2 = $5 .00 0.0 01 - $ 25 .0 00 .00 ~

P3 =$25.000.0OI - $50.000.000 P4 =Mo re than $50.000.0003. Value Method Codes Q ~ Appraisal R -~:ost (Real Estate Only) S =Assessment T -~?ash Markcl(S~e Colnmn C2) U -Bo o k Value V = Other W = Eslim atcd

E = $ 1 5 , 0 0 1 - $ 5 0 . 0 0 0


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FINANCIAL DISCLOSURE REPOR TPage 7 of 12 Ia m e o f P e r s o n R e p o r t i n gSpatt, Arthur D. D a t e o f R e p o r t05/05/2011

V I I . I N 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 , ~ a . ~ a c t i o n ~ (Includ~ those of spouse and dependent children; s c e p p . 3 4 - 6 0 of f i li ng i nstr uc t i on ~)N O N E (No reportable income, assets, or transactions.)

Descr ip t i on of Asset s I n c o m e d u r in g( i ncluding t rust asset s ) repor t i ng per i od

(I) (2)A m o u n t T yp e (e .g .,C o d e I div . , rent ,


Gr o s s v a l u e a t e n do f r ep o r t i n g p e r i o dO) (2)

V alue V a lueC o d e 2 M e th o d

T r a n sa c t i o n s d u r i n g r ep o r t i n g p e r i o d

(I ) (2) (3) (4)T y p e ( e .g . , D a t e Value Gainbuy, sel l , m m /dd /yy C o d e 2 C o d e I

( A - H ) or i n t . ) ( J -P ) C o d e 3( Q - W )

52. North Colonic School Dist. A Interest K T

53. Port Authorily NY & NJ A Interest K T

54 . L.I. Power A uthori ty A Interest J T55. Triborough Bridge & Tunnel Author i ty A I n t e r e s t K T56 . NY STATE DORM ITORY AUTH ORITY B I n t e r e s t K T57. NORTHPORT-E.NORTHPORT A I n t e r e s t K T58 . SyracuseNY UGO A I n t e r e s t J T59 . Sa ch em Cen t . Sch . Di st . A I n t e r e s t J T60. NYSTATE POWER AUTHORITY A I n t e r e s t J T61. NY State Environm entalFACS A I n t e r e s t J T62. Bu ffalo , NY A I n t e r e s t J T63 . Niagara Wheatfield, NY Central A I n t e r e s t K T64. HAV ERSTRAW STRONG POINT A I n t e r e s t J T65 . RENSSELEAR NY M UN. A I n t e r e s t J T66. IRA STOCKS67. ALLEGHENY ENERGY INC. A Dividend J T

68 . AMERICAN ELECTRIC POWER CO., A Dividend J TINC.

r e d e m p t i o n ) (J-P) (A-H)Identity o f

buyer/seller( i f p r i v a t e

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

I. I n c o m e G a i n C o d e s : A =$1,000 or less B =$1,0~1 - $2.500 C =$2.501 - $5 ,000 D =$5,001 - $15.000[See Columns B I and D4) F =$50,001 - $ 100,000 G =$100.001 - $ 1.000.0~0 I I I =$ 1.000.001 - $5.0(~ .000 112 =More than $5,000,000

2. Value Codes J =$15.000 or less K = $ 1 5 . 0 0 1 - $ 5 0 . 1 3 0 0 L =$50.001 - $100.000 M =$100.001 - $250.000| Se e Co lumn s CI an d D3) N =$250.001 - $500.000 O =$.~0.001 - $1,0~ .000 P I = $ 1. 00 0. 00 1 - $5 ,0 00 ,0 ~ 0 P 2 = $ 5. ~) 0. 00 1 - $2 5, 0~ 0 .0 00

P3 =$25,000.001 - $50.000.000 P4 =More than $50.000.0~03. Value Method Codes Q =Appraisal R =(Sost (Real Estalc Only) S =As s es s men t T =Cash Marke~ISce Colmnn C21 U =Book Va lue V =Olhc r W =Es l ima ted

E =$ 1 5 . 0 0 1 - $ 50 . 0 0 0


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N a m e o f P e r s o n R e p o r l in gSpatt, Arthur D.

D a t e o f R e p o r t0 5 / 0 5 / 2 0 1 1

V I I . I N V E S T M E N T S and T R U S T S - i.co,.e, vat.e, , , o n s a t i o r . ~ a n c t u d ~ t h o s e o f s p o u s e a n d a e p e n a e n t c h i t a r e . : s e e p r , 3 4 - 6 0 o f f i t i . g instructions.)D (No reportable asse ts , orO NE i ncome , transact ions. )

A. B. C.D e s c r i p t i o n o f A s s e t s I n c o m e d u r in g Gr o s s v a l u e a t e n d( i n c l u d i n g t ru s t as se ts ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o di (i) (2) (l) (2)

Place "(X)" after each asset I A m o u n t T y p e (e .g ., V a lue V a luee xe m p t f r o m p r i o r d i s c lo s u r e ] C o d e 1 div . , r ent , C o d e 2 M e th o dI (A-H) or in t.) ( J- P ) C o d e 3~ ( Q - W )69 . CA S CA D E NA TU RA L GA S CO RP . A Div idend J T70 . CENTRAL & SOUTH WESTCORP. A Dividend J T

71 . CONNECTIV INC. A Dividend J T72 . CONNECTIV INC. CL A A Div idend J T73. E NE RGY E A S TCO RP . . A Div idend K T74 . EN O VA C O R P . A Div idend J T75 . FP L GRO U P INC. A Dividend J T76 . F I R ST EN ER G Y C O R P . A Div idend J T77. M I D A M ER I C A N EN ER G Y H O LD I N G S A Div idend J TCO .78 . N EVA D A PO W ER C O . A Dividend J T79 . NEW ENGLAND ELECTRIC SYSTEM A Dividend J T

8 0 . POTOMAC ELECTRIC POWER CO. A Dividend J T

8 1 . TEXAS UTILITIES CO. (Holding Co.) B Dividend K T

8 2. TEXAS UTILITIES A Dividend J T

8 3. WESTERN RESOURCES INC. (Western A Dividend J TEnergy, Inc . )8 4 . PMC CAPITAL INC. A Dividend J T

85. ROCHESTER GAS & ELECTRIC CORP. A Dividend J T

T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d(I) (2) (3) (4) (5 )

T y p e ( e .g . , D a t e Value Gain I d e n t i t y o fbuy , se ll, m m /dd/yy Code 2 Code I buyer /sel ler

t ~ : l e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

I . Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 C =$2,501 - $5 ,000 D =$5.001 - $15 .000(See Columns BI and 1)4) F =$50,001 - $100,0~) G =$100.001 - $1.000.000 III =$1.000.001 - $5.000,000 112 =More than $5.000.000

2. Value Codes J =$15.000 or h.ss K = $15 .001 - $50.000 L =$50.001 - $100,0~ ) M =$100.001 - $250.000(See Co lumn s CI an d D3) N =$250,001 - $500.000 O -$500.001 - $1.CO0.000 PI =$1,000.001 - $5 ,0~0.000 P2 ~$5.000,001 - $25,000.000

P3 =$25,000.001 - $50.000.000 P4 =More than $50.000.0~03. Value Method Codes Q =Appraisal R =Cos! {Real Estate Only) S = A s s c s s r t ~ * n t T =Cash MarkdISce Column C2) U =Book Va lue V =Olhe r W :Eslimatcd

E =$ 1 5 . 0 0 1 - $ 50 ,0 0 0


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D a t e o f R e p o r t05/05/201 I

N O N E (No reportable income, assets, or transactions.)

D esc r i p t io n o f A s s e t s T r a n sa c t i o n s d u r i n g r ep o r t i n g p e r i o d( i ncluding t rust asset s )

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m prior disclosure

I n c o m e d u r in g Gr o s s v a l u e a t e n d~ : p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(I) (2 ) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y p e (e .g ., V alue Va l u e Type (e.g., D ate V a lu e G a i n I d e n t i ty o fC o d e 1 div . , rent , C o d e 2 M e th o d buy, se l l , mm/dd~ C o d e 2 C o d e 1 buyer / se l l er( A - H ) or i n t . ) ( J -P ) C o d e 3 r e d e m p t i o n ) ( J -P ) ( A - H ) ( i f p r ivate(Q-W) t ransact i on)

86 . S E M P A E N E R G Y A Div idend87 . SIERRA PACIFIC A Div idend88 . PEPCO HO LDINGS, INC. A Div idend89 . EA G LE M ER G ER C O R P . A Div idend90 . R G S EN ER G Y G R O U P, I N C . A Dividend91 . O C C ID EN T A L PET R O LEU M C O R P . A Div idend92 . KI M B ER LY - C LA R K C O R P . A Div idend93 . CISCO SYSTEMS INC. A Div idend9 4 . J O H N SO N & J O H N SO N A Div idend95 . PM C C O M M ER C I A L T R U ST A Div idend96 . T H E SO U T H ER N C O M PA N Y A Div idend97 . W E S TS TA R E NE RGY A Div idend98 . PU G ET EN ER G Y I N C. A Div idend99 . C H ESA PEA KE U T I LI T IES C O R P . A Div idend1 0 0 . VERIZON COMMUNICATIONS A Div idendI 01 . Q U E ST D I A G N OS T IC S A Div idend1 0 2 . C H E V R O N C O R P . A Div idend

J Tj T

J TJ T

J T

J TJ TJ T

J T

J TJ T

J T

J T

J T

J T

K T

K T

I . Income Gain Codes: A =$1.000 o r less [3 =$1.001 - $2,500 C =$2,501 - $5,000 O =$5.0OI - $15.000(See Co lumn s BI an d D4 ) F =$50.001 - $100.000 G =$100.001 - $1,000,000 I t I = $1 ,0 00 .0 01 - $ 5. 00 0. 00 0 1 12 = Mo re th an $ 5,0 00 .0 00

2. Value Codes J =$15.0(10 or Ices K =$15,001 - $50.000 L =$50.1)01 - $10~.000 M =$100.001 - $250.0~0(See Co lumns CI and DJ ) N = $250.001 - $ 500.000 O = $5 00,001 - $1.000.00~ P I = $ 1, 00 0, 00 1 - $ 5. 00 0, 00 0 P 2 = $ 5. 00 0, 00 1 - $2 5, 00 0. 00 0

P3 =$25.000,001 - $50.090.000 P4 =More than $50.0~).0003. Value Method Codes Q =A ppraisal R =Cost (Rcal Estate Only) S =Asse s smcm T =Cash M ar kcl(See Column C2) U =Bo o k Value V =O~her W =Esf imalcd

E =$15 ,001 - $50 .000


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N a m e o f P e r s on R e p o r t i n gSpatt, Arthur D.

D a t e o f R e p o r t05/05/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a t u . , . a ~ a . i o ~ a n c l u d e s ,h o s e o / ~ p o a s e a n d d e p e n d c n , c h i l d r e n ; see pp. 34-60 o f f i l i n g i n s t r u c t i o n s . )NONE ( I Vo r e por t ab l e i n com e , a s s e t s , o r t r an sac t i on s . )

D esc r i p ti o n o f A s s e t s Transact i ons dur ing repor t i ng per i od( i ncluding t rust asset s )


I n c o m e d u rin g G ro s s v a lu e a t e n drepor t i ng per i od of repor t i ng per i od

(i ) (2 ) (i) (2)A m o u n t T y p e (e .g ., V alu e V a l u eC o d e I d iv ., re n t, C o d e 2 M e t h o d( A - H ) or int.) ( J -P ) C o d e 3(Q-w)

(i )T yp e ( e . g . ,buy, se l l ,

r e d em p t i o n )

(2) (3) (4) (5 )D a t e Value Gain I d e n t i t y o f

m r n ! d d . / y y Code 2 Code I buyer /sel ler( J - P ) (A-H) ( i f p r i v a t e


103 . ENERGY TRANFER PARTNERS A Dividend K T104. NV ENERGY INC. A Dividend K T1 0 5 . C O R P O R A T E B O N D S

1 0 6 . TENESSEE VALLEY AUTHORITY Pow er ABond 1993 Series C1 0 7 . COMM ONWEALTH EDISON CO. 8.625% ADue 2/1/2002

I n t e r e s t

I n t e r e s t

J

JTT

108. O P P E N H E IM E R H I G H Y I E LD F U N D A B(S ee R id er 2 )

1 0 9 . W A R W I C K NY CENT. A

Dividend M

I n t e r e s t K

TT

I . Income Gain Codes: A =$1.000 or less B =$1 ,001 - $ 2 . 5 0 0 C =$2.501 - $5.000 D =$5.001 - $15,000(Sce Columns BI and 1)4) F =$50.001 - $100.000 G =$100.001 - $1.000.000 Ill =$1,000.001 - $5.0~0.000 112 =More than $5.000.1~0

2 . Value Co d ~ J =$15.000 o less K =$15.001 - $50.00) L =$5 0 .001 - $10~.0~ M =$100.001 . $250.000ISee Co lumm CI and D3) N = $250.001 - $ 500.000 O =$ 500,001 - $ 1.000.00~ P I = $ 1. 0~ 0 .0 01 - $ 5 .0 00 .0 ~ 0 P 2 = $ 5. 0~ 0 .0 01 - $ 25 .0 00 .0 00

P3 =$25.000.001 - $50,000,000 P4 =M o~e ti tan $50.000.0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Asscssm~mt 1" =Cash Market~See Column C2) U =Book Va lue V =Olhc r W =E s t ima ted

E = $ 1 5 , 0 0 1 - $ 5 0 . 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 11 of 12 Ia m e o f P e r s o n Repor t ingSpa t t , Ar t hu r D. D a t e o f R e p o r ~05/05/201 I

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS. (Indlcatepar~ofreport)RIDER I (Response to " I1 - AGR EEM ENTS" - - f i rs t page )As a former partic ipating member of the Spatt & Bauman, P.C. pension and prof i t- sharing plan, when I withdrew from the f i rm an d the practice of law in 1978, myshare o f the pens ion p lan w as s evered and " ro l led ov er ." The funds were no t u sed and were p laced in ind iv idua l re t i remen t accoun t s in two t ypes o f inve s tmen t sas fol lows:a) bonds and stocks in the aggregate value o~ as of December 31, 2010.b ) c a sh i n t he C a p it a l On e S a v ing s B a nk , Gr e a t Ne c k , Ne w Yo r k b r a nc h , i n t he e s tima t e d sum o f~a s o f D e c e m be r 31 . 2 010 .RIDER 2 (Response to "11 - AGRE EMENT S" - - f i rs t page )Prior to entering into the Spat t & Baum an, P.C. pension plan, when I was a s ingle pract i t ioner I s tarted an individual ret irem ent "Keog h Plan." When I withdrewf rom the p rac t ice o f l aw, 1 " ro l l ed over" t he Keog h P lan , and i t r emain s in t ha t unused cond i t ion . The "Keogh" funds a re in an O ppenhe imer H igh Yie ld Fund andare in the value of approximatelyI as of December 31, 2010.


12/24


Name of Person Report ingSpa t t , Ar t hu r D.

Date of Repor t05/05."2011

IX. CERTIFICATION.I c e r t if y t ha t al l i n f o rma t ion g iven a bov e ( i nc lud ing in f o rm a t ion pe r t a in ing t o m y spouse a nd m ino r o r dependen t ch i ld r en , i f a ny ) i s

a c cu ra t e , tr ue , a nd com p le t e t o the b e s t o f m y know ledge a nd b e l i e f , a nd t ha t a ny in f o rm a t ion no t r epo r t ed ~va s w i t hhe ld b e ca us e i t me t a pp l i c a b l e s t a t u to ryp rov i s ions pe rmi t t i ng non -d i sc lo su re .I f u r th e r c e r t if y t h a t e a rn ed i n co m e f r o m o u t s id e em p lo y m e n t an d h o n o ra r i a an d t h e a ccep t an ce o f g i f t s ~ v h i ch h av e b een r ep o r ted a r e i ncom pl iance wi th the prov is ions o f 5 U .S.C. app . 501 et . seq . , 5 U.S.C. 7353, and Jud ic ia l Confe rence regu lat ions .

Signature: S/Arthur D. Spatt

N O T E: AN Y I N DI V I DUAL WH O K N O WI N G LY AN D WI LF ULLY FALSI F IES O R F ALLS T O F I LE T H I S R EPO R T M AY BE SUBJ EC T T O C I V I LA ND CR IMINA L S A NCT IO NS (5 U .S .C . ap p . 104 )

C om m i tt e e on F i na nc ia l D i s c lo s u reAdm ini s t ra t i ve Of f i ce o f the Uni ted Sta tes Cour tsSui te 2-301One Columbus Ci rc l e , N.E .Washington, D.C. 20544


13/24

AO I0Rev. 1/2011FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 2010Report Re quired by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

I . P e r s o n Reporting (last name, first , middle init ial)Spat t , Arthur D.

4. Title (Article III judges indicate active or se nior status;magistrate judges indicate full- or part-time)U.S. Distr ict Judge, Senior

7 . C h a m b e r s o r O f f i ce A d d r e s sLong Is land Feder a l Cou r th ou seP.O. Box 9 0 1 4C ent ra l I s li p , New Y ork 1 1 7 2 2

2. Court or OrganizationEas te rn Di s t ri c t of New York

5a. Report Type (check appropriate type)] N o m i n a t i o n , Da te[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliance

w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Reviewing Off i cer Date

3. Date of R e p o r t07/11/2011

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed[ Complete all parts,checking the NONE box for each part where you ha ve no reportable information. Sign on last pag~

I . P O S I T I O N S . t R e p o ~ a n g individual only; see pp. 9-1 3 of f i l ing instructions.)~ NONE(No reportable posi t ions .)POSITION NAM E OF ORG ANIZATION/ENTITY

2.

3.

4.

5.

I I . A G R E E M E N T S . m e ~ , o r , in ~ i n d l v id a a t o n l y ; s e e p p . 1 4 - 1 6 of filing instructions.)D NONE(No reportable agreements . )1 .19792. 19793.

DATE PARTIES AND TERMSPr io r pens ion and p r o f i t - sh ar ing p lans r o l led ov er ( See R ider l annexed h er e to )Ind iv idu al Ret i r emen t "Keogh " Plan ( See Rider 2 annexed)


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FINANCIAL DISCLOSURE REPORTPage 2 o f 12


D a t e o f R e p o r t07/I 1/2011

I II . N O N - IN V E S T M E N T I N C O M E . ~nepor~nglnd lv ldua londspo ,~e;seep~ 17-24of~ l lng ins ,~u~ ion~)A. Filers Non-Investm ent Incom eD NONE n o n - i n v e s t m e n t i n c o m e . )N o repor tab l e

DATE SOURCE AND TYPE INCOME(yours, not spouses)

1.2010 New York State Retirement Pension $18,820.002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during any portion of the reporting year, complete this section.( D o l la r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a . )[] NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE1.2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertal .... L( In c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 2 5 - 2 7 o f f i l i n g i n s t r u c ti o n s . )

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

I.

2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


15/24

N a m e o f P e r s o n R e p o r t i n gFINANCIAL DISCLOSURE REPORT I Spa tt, Arthu rD.Page 3 o f 12

V . G I F T S . a n c l a , ~ , ,hose to xpottse and dependent children; $ee pp. 28-31 of fillng lnstructlons.)NONE (No reportable gifts.)

SOURCE DESCRIPTIO NI.2.3.4.

5.

D a t e o f R e p o r t07/I 1/2011

VALUE

V I . L I A B I L I T I E S . a n c i ,, d e s th o s e o f s p o ~ e a n d dependent children; see p p . 3 2 - 3 3 of filing instruction&)NONE (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.4.5.

VALUECODE


16/24

FINANCIAL DISCLOSURE REPORTPage 4 o f 12 Ia m e o f P e r s o n R e p o r l in gSpate, Arthur D. D a t e o f R e p o r ~07/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i , c o m , . v a t , , , tr a , ~ a a i o , ~ ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n , children;see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G ro s s v a lu e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p or t in g p e r i o d o f re p o r t i n g pe r i o d

( I ) ( 2 ) ( I ) ( 2 ) ( I ) ( 2 ) ( 3 ) ( 4 ) (5)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., V a l u e V a l u e T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d ! y y C o d e 2 C o d e 1 b u y e r / s e l l e rIA - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q -W ) t r a n s a c t i o n )1. S T O C K S2. AIRTOUCH COM M UNICATIONS A Divid end J T3. AM ERITECH - COMM ON A Dividend J T4. AT&T - COMMON A Dividend J T5. BELL ATLANTIC - COMM ON A Divid end J T6. CHEV RON - TEXACO A Dividend K T7. COMCAST - COMM ON A Divid end J T8. EASTM AN KODAK - COMM ON A Dividend J T9. PACIFIC TELESIS - COM M ON A Dividend J T

1 0 . PEPSICO- COM M ON A Dividend K T1 1 . SOUTH W ESTERN BELL- COM M ON A Dividend J T1 2 . U.S. W EST- COMM ON A Divid end J T1 3 . XEROX- COMM ON A Divid end J T1 4 . U.S. WEST M EDIA G ROUP A I n t e r e s t J T1 5 . EASTM AN CHEM ICAL CO. A Divid end J T1 6 . AIRTOUCH COM M UNICATIONS A Dividend J T1 7 . NCRCORP. A Dividend J T

I. I n c o m e G a i n C o d e s : A = $ 1 , 0 0 0 or less B = $ 1,001 - $ 2 .5 00 C = $ 2.501 - $ 5 .0~ 0 D =$5.001 - $15.000(See Co lumn s B I and D4) F =$50,001 - $100,000 G =$ 10 0,0 01 - $ 1.0 00 .0 00 II I = $1 ,0 00 .0 01 - $ 5.0 00 .0 00 112 =M ore than $5.000.000

2. Value Codes J =$15 ,000 ~ I c e s K =$15.001 . $50.000 L =$50.00| - $100.000 M = $ 100.001 - $ 25 0.000{ Se e C o l u m n s C I a n d D 3 ) N =$250,001 - $ 500.000 O =$ 5 00.001 - $1 .000.000 PI =$1,000,001 - $5.0~0,000 P2 =$5.0~O.001 - $25.000.000P3 =$25,000,001 - $50,000,000 P 4 = M o ~ t h a n $ 5 0 . 0 ~ O . 0 0 03 . Valu e Meth od C odes Q =Appraisal R =Cosl (Real Estate Only) S = A s s c s s m ~ " n t T -C~sh M arke t(See Co lumn C2) U -B o o k V a lue V =O~ h er W = Es t imated

E =$15,001 - $50,000


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D a t e o f R e p o r t07/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i.eom., rot.,, ~ ...., i o . s (Includes those of sp ......d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s OD NONE i n c o m e , o r t r a n s a c ti o n s . )e p o r t a b l e assets,A. B . C. D .De s cr ipt i on of As s e t s I n c o me d u r in g G ro s s v a lu e a t e n d T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d

( including t rus t a s s e t s ) re p ort in g p erio d o f re po rt in g p erio d(I) (2 ) (I) (2) (I) (2) (3) (4)

P la c e "C A )" a f te r e a c h a ss e t A m o u n t T y p e ( e . g . , V a l u e V a l u e Type (e.g., Da te V a l u e G a i ne x e m p t f r o m p r io r di s c los ure i Code I d iv ., re n t , C o d e 2 M e t h o d buy , se ll , m m /d c l~ ,y C o d e 2 C o d e 1( A - I t ) o r i n t . ) I J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ), ( Q - W )

18 . TRICON GLOBAL A Dividend J " T

19 . SBC COMMUNICATIONS A Dividend J T

20. COMPAQ COMPUTER A Dividend J T

21. GENERAL ELECTRIC CO. A Dividend J T

22. A G E R E S Y S T E M S , I N C . A Dividend J T23. YUM BRANDS, INC. A Dividend J T

24. HEWLETI" PACKARD CO. A Dividend J T

25. Q W E S T C O M M U N I C A T I O N S A Dividend J T26. CHESAPEAKE UTILITIES CORP. A Dividend J T

27. VODAFONE A Dividend J T

28. iDEARC iNC. A Dividend J T

29. LSI Corp. A Dividend J T30. LIMITED PARTNERSHIP

3 1 . BERKSHIRE LAND VENTURE CO. A Dividend J U

32. BERKSHIRE LAND VENTURE CO. A Interest J U

3 3 . INTEREST

34. N O R T H F O R K B A N K , i n c l u d in g IRA A Interest L Taccounts & cash

( 5 )I d e n t i ty o fb u y e t Z s e l l e r( i f p r i v a t e


I . Income Gain Codes: A = $1.000 or less B = $ 1,001 - $ 2 .5 00 C ~ $ 2.5 01 - $ 5 .000 D = $ 5.001 - $ 15 ,000(See Columns B I and D4 ) F = $ 5 0 .0 0 1 - $ 1 0 0 ,0 0 0 G = $ 1 0 0 .0 0 1 - $ 1 .0 0 0 ,0 0 0 ! I I =$ 1.000.001 - $5.000.000 1 1 2 = M o r e t h a n $ 5 . 0 0 0 . ( ~ 0 0

2. V alue C odes J = $ 15.000 or less K = $15 ,001 - $ 50.000 L =S50,001 . $100.000 M =$100.001 o $250.000(See Co lumn s CI an d D3) N = $25 0.001 - $ 500,000 O =$5 00,001 - $1 .000,000 P I =$ 1. 00 0, 00 1 - $5 .0 00 ,0 00 P 2 =$ 5.0 00 .0 01 - $ 25 .0 ~O .0 00

P3 =$25.000.001 - $50.000.000 P4 = M or e th an $ 5 0,000.0003 . Valu e Meth od C odes Q =Appraisal R Co s t (Rea l E s ta te On ly) S =As~ssm. . mt T = C as h Mar kc~(See Co lumn C2) U = Book Valu e V = O ~h cr W = Es l imated

E = $ 1 5 .0 0 1 - $ 5 0 .0 0 0


18/24



Date of R e p o r t07/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . c .. .. .. l u e , t r a n s a c t io n . v (Includes t h o s e o f s p o u s e a n d d e p e n d e n t c h il d r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t l o n s . )~] NONE income, assets, or transactions.)N o reportable

A. B. C. D.Description of Assets Incom e during G ross value at end Transactions during reporting period(including trust asse~,) reporting period ofreporting period

i (I) (2) (I) (2) (I) (2) (3) (4) (5 )Place "(X)" after each asset i A m o u n t T ~ : ~ e ( e . g ., Value V al u e T y p e ( e . g ., D a t e Value Gain I d e n t i t y o f

:r C o d e I d i v . , r e n t , Code 2 M e t h o d buy , se ll, m m ldd/yy Code 2 Code I buyer!sellerexempt from prior disclosure ii (A-I I ) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

35 . Por t ion o f Pens ion Plan Ro l led Ov er ( SeePart II)36 . B O N D S37 . N E W Y O R K S T A T E H O U S IN G D Interest L T

F I N A N C E A G E N C Y3 8. P O W E R A U T H O R I T Y O F N Y C Interest K T3 9. D O R M I T O R Y A U T H O R I T Y O F N Y D Interest L T Sold 12/21/10 J A40 . D O R M I T O R Y A U T H O R I T Y O F N Y D Interest L T41 . S T A T E O F I S R A E L B O N D S A Interest J T42 . N Y S T A T E T H R U W A Y A U T H O R I T Y A Interest J T4 3. N Y S D E PT . O F HE AL TH A Interest J T

44 . N.Y. S TATE DOR MITOR Y AUTH . A Interest K TR O C H E S T E R45 . D U T C H E S S C O U N T Y D E V . A G E N C Y A Interest Sold 08/02/10 J A46 . O T S E G O C O U N T Y A Interest K T4 7. N E W Y OR K S TA T E E N V IR O NM E N T A L A Interest J T4 8. B RI AR CL IF F M A N OR A Interest J T49 . G R E E C E N C S D A Interest So ld 06 /15 /10 K A50 . S C O T I A GLENVILLE, N A Interest K T51 . R oches t e r , NY A Interest J T

I . Income Gain Codes: A $1.000 or l ess B = $ 1,001 - 5 2 .5 00 C = $ 2.5 01 - $ 5 ,000 D =$5,001 - $15.000(See Columns B I and D4) F -$50.001 - 5100,0DO G =$ 10 0.0 01 - $ 1.0 00 ,0 00 II I = $1 .0 00 ,0 01 - $ 5,0 00 .0 00 112 =More than 55.000.000

2. Value Codes J =SI 5 .000 or less K =515.1~)1 - $50.000 L =.$50.001 - $100,000 M =510O.001 - 5250.000ISc e Co lumn s CI an d D3) N =5250.0~1 - $500.000 O 5500.001- $1 , 000.000 P I = $1 .0 00 .0 Ol - $ 5.0 00 .0 00 P 2 =$ 5. 00 0. 00 1 - 5 25 ,0 00 .0 G O

P3 =$25.000.001 - $50.000.000 P4 = M or e th an $ 5 0.000.0003 . Valu e Melh od C odes Q -Appraisal R =Cost {Real l :~tatc Only) S =Asscssrm.~t T = C as h Mar ket{See Column C2) U -B o o k V a lue V = O ~h cr W = Es l imated

E =515,001 - $50.000


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FINANCIAL DISCLOSURE REPOR TPage 7 o f 12


D a t e o f R e p o r t07/11/201 I

V II. INV ESTM ENTS an d TRUSTS -into ..... ~ . e , t r a n s a c t i o n s (Includes those of spouse and dependent children; see pp. 34-60 of f i l lng instructions.)D NONE income, assets , or transactions. )N o reportableA. B . D .D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d(i) (2)

i A m o u n t T y p e ( e . g .,C o d e I d i v . , r e n t ,(A-It) o r i n t . )P l a c e " ( X ) " a f t e r e a c h a s s e t

e x e m p t f r o m p r i o r d i s c lo s u r e

52. North Colonie School Dist. A I n t e r e s t53 . Port Authority NY & NJ A I n t e r e s t54 . L.I. Powe r Authority A I n t e r e s t55 . Tr ib orough Br idge & Tun n el Author it y A I n t e r e s t56. NY STATE DORMITORY AUTH ORITY B I n t e r e s t57. NORTH PORT-E.NORTHPORT A I n t e r e s t58 . SyracuseNY UGO A I n t e r e s t59 . Sachem Cen t. Sch . Di st . A I n t e r e s t60. NY STATE POW ER AUTHORITY A I n t e r e s t

61. NY State EnvironmentalFACS A I n t e r e s t62. B uffa lo , NY A l n t e r e s t63 . Niagara Wheatf ield, NY Central A I n t e r e s t64. HAV ERSTRAW STRONG POINT A I n t e r e s t65. RENSSELEARNY M UN. A I n t e r e s t66. IRA S T O C K S67 . ALLEGH ENY ENERG Y INC. A Dividend68. AM ERICAN ELECTRIC POW ER CO., A DividendINC.

Gro s s v a l u e a t e ndof report ing per i od(1) (2)

V a lue V a lu eC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )

K T

K T

J TK T

K T

K T

J T

J T

J T

J T

J T

K T

J T

J T

J

JT

T

(I) (2) (3) (4) ( 5 )T y p e ( e . g ., D a t e V a l u e G a i n I d e n t i ty o fbuy , s e ll , m m/d d h y y C o d e 2 C o d e I buyer /se l l er

r e d e m p t i o n ) (J -P) (A-H ) ( i f p r i v a t et~ansaction)

I. I n c o m e G a i n C o d e s : A = $1.000 or less B = $ 1,001 - $ 2 .5 00 C = $2.5 01 - $ 5 ,000 D =$5.001 - $15.000( S ee C olu mns B I a n d D 4 ) F = $50.001 - $ 100.000 G = $100.001 - $ 1.000.000 I I I = $ 1. 00 0. 00 1 - $5 .0 00 .0 00 I 12 =M ore than $ 5 .000.000

2. Val u e C od~ J =$15.000 o~ less K = $ 15 .001 - $ 5 0.000 L =$50.001 - $100.000 M = $ 100.001 - $ 25 0.000I S ce C olu mr ~s C I and D3 ) N =$250.001 - $ 500.000 O =$5 00.001 - $1 .000.000 P I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 1 X ~ 0 . 0 0 0 P2 =$5.000.001 - $25,000.000

P3 =$25.000.001 - $50.000.0~0 P4 = M ote th an $ 5 0.000.0003 . Valu e Meth od C odes Q =Appraisal R =Cost (Rcal Estate Only) S = As s es s ment T = C a s h Mar kc l(See Co lumn C2) U = Book Value V =Other W =Estimated

E =$15.0~1 - $50.000


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D a l e o f R e p o r t07/11/2011

V l I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (lnclude~ those of spouse and dependent children; seepp, 34-60 of filing instructions.)NONE i ncome, or transactions. )N o reportable assets,

A. B. C.De s cr ipt i on of As s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d(in c lu d in g tru st a ss e ts ) re p o rt in g p e rio d o f re p o rt in g p e rio d

(I) (2) (I) (2)Place "(X)" after each asset i A m o u n t Type (e.g., V a l u e V a l u ef r o m p r i o r d i s c l o s u r e i Code I d iv ., re n t , C o d e 2 M etho dxempt ( A - H ) or i nt . ) ( J - P ) C o d e 3( Q - W )

69 . C A S C A D E N A T U R A L G A S C O R P . A D iv idend J T70. CENTRAL & SOUTH WEST CORP. A Dividend J T

71 . C O N N E C T I V I N C . A D iv idend J T72 . C O N N E C T I V I N C . C L A A D iv idend J T73 . E NE RG Y EA ST CO RP .. A D iv idend K T74 . E N O V A C O R P . A D iv idend J T75 . F P L G R O U P I N C . A D iv idend J T76 . F I R S T E N E R G Y C O R P . A D iv idend J T77 . M I D A M E R I C A N E N E R G Y H O L D I N G S A D iv idend J TCO .78 . N E V A D A P O W E R C O . A D iv idend J T79 . N E W E N G L A N D E L E C T R I C S Y S T E M A Dividend J T80. P O T O M A C E L E C T R I C P O W E R C O . A D iv idend J T81 . TEX A S U TILITIES CO. ( Hold ing Co .) B D iv idend K T82. T E X A S U T I L I T IE S A D iv idend J T83 . W E S T E R N R E S O U R C E S I N C . ( W e s t e r n A D iv idend J TEner gy , Inc . )84. P M C C A P I T A L I N C . A D iv idend J T8 5 . R O C H E S T E R G A S & E L E C T R I C C O R P . A D iv idend J T

T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d

(I ) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, sell, m m / d d ~ Code 2 Code I buy er/se llerr e d e m p t i o n ) ( J - P ) (A-tl) ( i f p r i v a t e


I . Income Gain Codes: A =$1,000 or less B=$1,001 - $2,500 C = $ 2,5 01 - $ 5 ,000 D =$5,001 . SI5.000(See Co lumn s B I an d D4) F = $ 50,001 - $ 100.000 G =$100,001 - $1 .000.000 II I =$1.000.001 - $5,000.000 112 =More than $5.000.000

2. Value Codes l =$15.000 or less K = $ 15 ,001 - $ 5 0.000 L =$50.001 - $100.000 M = $ 100.001 - $ 25 0.000(Set: Columns CI and D3) N -$ 25 0.001 - $ 5 00.000 O = $5 00.001 - $1 ,000.000 PI = $ 1,000.001 - $ 5 ,000.000 12 =$5.000.001 - $25.000.000

P3 =$25.000.001 - $50.000.0~O P4 = M or e th an $ 5 0.00~ .0003 . Valu e Meth od C odes Q :Appraisal R =Cost (Real Estate Only) S = A s s e s s rr u . m t T =Cash M arke t(See Column C2) U = Book Valu e V =Other W = Es t imated

E =$15,001 - $50,000


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N a m e o f P e r so n R e p o r t i n gSpatt, Arlhur D.

D a t e o f R e p o r t07/I 1/9011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o , ,, e , ,, ,, I ,, e , ,, , , , ~ ,, c ti o n ~ a n c l u d . s t h o s o o / s p o u s , o n d d . p e n d e . t children; see p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s OD (No r epor table asse ts , orONE incom e, transac tions.)

A. B . C.D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G r o s s v a lu e a t e n d( i n c l u d i n g t r u s t a s s e t s ) r ep or t i n g p er i o d o f r ep or ti n g pe ri o d

(1) (2) (1) (2)P l a c e " 0 0 ~ a f t e r e a c h a s s e t h a n o u n t T y l : ~ ( e . g . , V a l u e V a l u e

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d i v . , r e n t , C o d e 2 M e t h od(A - H ) o r in t.) (J -P) C o d e 3I ( Q - W )

86 . SEMPA ENERG Y A Divid end J T87 . SIERRA PACIFIC A Dividend J T88 . PEPCO HOLDINGS, INC. A Dividend J T89 . EAGLE M ERGER CORP. A Dividend J T90 . RGS ENERGY GROUP, INC. A Dividend J T91 . OCCIDENTAL PETROLEUM CORP. A Dividend J T92 . KIM BERLY-CLARK CORP. A Dividend J T9 3 . CISCO SYSTEM S INC. A Dividend J T94 . J O H N S O N & J O H N S O N A Dividend J T

95 . PM C COM M ERCIAL TRUST A Dividend J T96 . THE SOUTHERN COMPANY A Dividend J T97 . W ESTSTAR ENERGY A Dividend J T98 . PUGET ENERGY INC. A Dividend J T99 . CH ESAPEAKE UTILITIES CORP. A Dividend J T1 0 0 . VERIZON COMM UNICATIONS A Dividend J T1 0 1 . Q UEST DIAGNOSTICS A Dividend K T102. CHEVRON CORP. A Dividend K T

Transac t ion s dur ing repor t ing per i od

(I) (2) (3) (4) (5 )T y p e ( e . g . , D a t e V a l u e G a i n I d e n t i t y o fbuy, sell, m m / d d ~ y y Code 2 Code I buy er/selle r

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

I. I n c o m e G a i n C o d e s : A = $1,000 or less B = $ 1,001 - $ 2 ,5 00 C = $ 2,501 - $5 ,000 D = $ 5,001 - $15.0~0(See Columns B I and I)4 ) F = $50.0~ [ - $ 100.000 G =$ 100.001 - $ 1.000.000 t l I =$ 1.000,001 - $5.0~0.000 1 1 2 = M ore than $5 . 090 . 000

2. Value Codes J = $ 15 .000 or Ices K = 5 15.001 - 5 50.000 L = 5 5 0 . 0 0 1 . 5 1 1 3 0 . 0 0 0 M = 5 100.0~1 - $ 25 0.0~0(See Co lumn s CI an d D3) N = $ 2 5 0 . 0 0 1 - $ 5 0 0 . 0 ( ~ 0 O =$500.001 - $1,000.000 PI =$1,000.001 - $5.000,000 P 2 = $ 5 . 0 ~ O . 0 0 1 - $ 2 5 . 0 0 0 . 0 ~ O

P3 =$25.00~.0OI - $50.000,000 P4 =More than $50 ,0~0 . 0 (~3 . V alue M ethod C odes Q =Appraisa l R .: :Cost (Real E~tate Only) S =Assessment T = C ~ h M a r k e t( see Co lumn C2) U = Book Valu e V = O ~ e r W = Es aimatcd

E =$15.001 - $50.0~0


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N a m e o f P e r so n R e p o r t i n gSpatt, Arthur D.

D a t e o f R e p o r t07/11/2011

N O N E (No reportable income, assets, or transactions.)A. B. C. D.

De s cr ipt i on of As s e tS I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d(in c lud in g tru st a sse ts) re p o rtin g p e rio d of r e por t i ng pe r iod

(i) (2) (l) (2) (D (2) (3) (4) (~ )P l a c e " ( X ) " a t a e r e a c h a s s e t A m o u n t T y p e ( e . g . , V a lu e V a lu e T y p e ( e . g . , D a t e V a l u e G a i n Iden t i ty o f

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d iv ., re n t , C o d e 2 M eth o d buy , se l l , m m / d d / y y C o d e 2 C o d e I buyer/sel ler( A H ) or i nt . ) ( J - P ) C o d e 3 t~ -d emp l io r t ) ( J - P ) ( A - H ) ( i f p r iva te( Q - W ) t r a ns a ct i on)

103 . ENERGY TRANFER PARTNERSIO4. CORPORATE BONDS105. TENESSEE VALLEY AUTHORITY Powe~

Bond 1993 Series C106. COMM ONWEALTH EDISON CO. 8.625%Due 2/I/20021 0 7 . OPPENH EIMER HIG H Y IELD FUND A(See Rider 2)108. WARW ICKNY CENT.

A Dividend

A I n t e r e s t JA I n t e r e s t JB Dividend MA I n t e r e s t K

TTT

T

I . Income Gain Codes: A = $1,000 or Ices B = $ 1,001 - $ 2 .5 00 C = $ 2.501 - $ 5 .000 D ~$ 5.001 - $15,000(See Co lumn s B I an d D4) F =$50,001 - $10O,000 G =$I00.001 - $1,000,000 I I I =$1.000,001 - $5,000.000 112 =M ore than $5.000,000

2. Valu e C odes J ~$15.000 or less K =$15.001 - $50,000 L =$ 5 0.001 . $100.000 M = $100,001 - $ 250,000(See Co lumn s CI an d D 3 1 N =$250.001 - $ 5 0 0 . 0 ~ 0 O =$500 . 001 - $ 1 . 0 0 0 . 0 0 0 PI =$1,000,001 - $5.000,000 P2 =$5.000,001 - $25,000.(~0

P3 =$25,000,001 - $50.000,000 P4 =More than $50.000.0003. V a lue M e tho d Co d ~ Q =Appraisal R -~Cost (Real Estate Only) S = As s es s ment T =Cash M arke t(See Co lumn C2) U = Book Valu e V =O~hcr W = Es t imated

E = $ 15 ,001- $ 5 0,000


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Name o f Per s on Rep or t i ngSpatt, Arthur D.

D a t e o f R e p o r t07/I 1/201 I

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 . (indicate part of report)RID E R I (Re sp o n se t o "I f - A G RE E M E N T S " - - f ir s t p a g e )A s a f o r m er pa r t i c ipa t i ng mem b er o f t h e Spa t t & Bau man , P . C . pens i on and p r o f i t- s h a r i ng p l an , wh en I w i t h dr ew f r om t h e f i rm an d t h e p r ac t i c e o f l aw i n 1 9 7 8 , mysh a re o f t h e p e n s i o n p l a n w a s se v e re d a n d " ro l l e d o v e r . " T h e fu n d s w e re n o t u se d a n d w e re p l a ce d i n i n d i v i d u a l r e ti r e m e n t a cco u n t s i n t w o t yp e s o f i n v e s t m e n t sa s fo l l o w s :

a ) bo n d s a n d s t o ck s i n t h e a g g re g a t e v a l u e o f $2 7 6 , 4 9 8.7 2 a s o f D e ce m be r 31 , 2 0 1 0 .b) ca sh i n t h e Ca p i t a l O n e S a v i n g s B a n k , G re a t N e ck , N e w Y o rk bra n ch , i n t h e e s t im a t e d su m o f $2 4 , 62 6 .0 0 a s o f D e ce m be r 3 l , 2 0 1 0 .RID E R 2 (Re sp o n se t o " ll - A G RE E M E N T S " - - fi r s t p a g e )P r i o r t o en t e r i ng i n t o t h e Spa t t & Bau m an , P . C . pens i on p l an , wh en I was a s i ng l e p r ac t i ti one r I s t a r ~ed an i nd i v i du a l r e t i r ement " Keogh P l an . " W h en I w i t h dr ewfrom the pract ice of law, I "ro l led over" the Keogh Plan, and i t remains in tha t unused condi t ion. The "Keogh" funds a re in an Oppenheimer High Yie ld Fund andare in the value ofapproxi raately $29 ,983.14 as of De~ember 3 I , 2010 .


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Name of Person Repor t ingS p a t t , A r t h u r D .

Date of Report07/I 1/2011

IX . CERTIFICATION.I c e r t i fy th a t a l l i n fo rma t ion g ive n a b ove ( inc lu d ing in fo rma t ion pe r t a in ing to my s pou s e a nd minor o r de pe nde n t c h i ld re n , i f a ny ) is

a c c u ra te , t ru e , a nd c omp le te to th e be s t o f my kn ow le d ge a nd b e l i e f , a nd th a t a ny in fo rma t ion no t re por t e d w a s s v i th h e ld b e c a u s e i t me t a pp l i c a b le s t a tu to ryprov i s ions pe rmi t t ing non- d i s c los u re .I further cer t ify that earned incom e from outs ide em ployment and honorar ia and the acceptance o f g i f t s which have been reported are incom pliance w ith the provis ions of 5 U.S.C. app. 501 et. seq, 5 U.S.C. 7353, and Judicial Conferen ce regulations.

Signa ture: S/Arthur D. Spatt

N O T E : A N Y I N D I V I D 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 IF I E S O R F A L L S T O F I LE T H IS R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

Committee on Financial DisclosureAdmin istrative Office of the United States CourtsS u i te 2 - 3 0 1One Columbus Circle, N.E.W ashington , D.C. 20544

Arthur D Spatt Financial Disclosure Report for 2010

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