-

CJ

R1charu"Nr.Bennan

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF NEW YORK

UNITED STATES COURTHOUSE

40 CENTRE STREET

NEW YORK, NEW YORK 10007

1212) 605-6715

CHAMBERS OF

RICHARD M. BERMAN

UNITED STATES DISTRICT JUDGE

June 14.2010 r-.>0 c:::> Ul a :;:o n '-- rnHonorable Bobby R. Baldock, Chair I c::: o::.: :z: 0

Committee on Financial Disclosure LJ):;.. N rnc: -:; -Adminisnative Office of the United States Courts :;D -rn J> rn

One Columbus Circle, N.E. ,., , _.,., CJ-P.

Washington, D.C. 20544 C>rT1 (.fl

Re: Calendar Year 2009 Filing

Dear Judge Baldock:

Thank you for your letter dated June 9. 20 I 0 regarding my 2009 an nual financial disclosure report, dated May 3, 2010.

It appears that Part VII of the 2008 annual financial disclosure report contained duplicate entries for New Perspective Fund, , American fund New Perspective Class F (page 6, line 46) and New Perspective Fund (page 11, line 120). Part VII of the 2009 annual financial disclosure report (page 9, line I 02) correctly renects the 2009 holdings for New Perspective Fund.

Berman, Richard M.

Re ...

ORGANIZATION/ENTITY

PARTIES

-----------------------------------------------·----·----

I.

--71

I . .

AO JO 1120/0

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009

Report Required by the Ethics in Go.. rnmrnl Act of 1978 (5 USC app. §§ 101-1 JJ)

I. Person Reporting {last name. firsl. rnitldle initial)

Bennan, Richard M.

2. Courl or Organiutioo

U.S. District Court -S.D.N.Y.

3. D•I< or Rrport

513/2010

4. Tith (Artld Ill judges md1cate active or nior status; magistral(' judges inJical full- or pan-timd

U.S. Di>trict Judge - Active

Sa. Report l)'pt (1..·h L"I.. appropri:tle type)

D NominJtion, Date:

0 tn;tiJ! lZl Annual 0 Final

6. Rrporllog Period

Oi1011c009 lo

12131/2009 Sb. D A me:nde:t.J Report

7. Chambers or Office Addrr"

U.S. District Court 40 Centre Street lRoom 20 I) Now York. NY 10(J(J7

8. On tht hash. of the informaHon contained In this Report and any modiflcutions pcrtalnlnt: therelo. it is. In my opinion. in compUanct "ifh applicable l2ws and rtgulatfon,.

Revit lng OffirC'r Dale--

l f PORTAl\lT NOTES: The insrruclions accompanying rhis form must be followed. Complelt! all parts, checking the NONE box for each part ,..here you ha1·e no reportable information. Sign on la>t page.

I. POSJTJ ON S. (Reponing indi1'idual only;'" pp. 9-11 of filin in.Jlrucrion>.)

[Z] NONE (No reportable positions.)

POSITION NAME OF

2.

3.

4.

5.

J J. A GREEM ENTS. (R pnrring individual rm/}·: .'IU pp. l.J-16 of filing imlrut•/illn .)

NONE (il/o reportable agreements)

AND TERMS

I.

2.

3.

SOURCE INCQM.f;

-----

-

--

-

-

-

-----

-------- -----------

-

------ --

----

--

- -

-· -

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AND

4

----- ---------- ------ -----------------------------

---- ---------------

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FINANCIAL DISCLOSURE REPORT

Page 2of18

Name or Perron Reporting

Bfrmon, Richard I.

Oat• of R-idual a11d spou.«;..,. pp. J 7-U of filing instru.·tions.)

A. Filer's Non-Investment Income

[Z NONE (No reportable non-im•es1111e11t income.)

AND TYPE

I Y''""· 1101 spouse's)

2.

4.

B. Spouse's Non-Investment lnco1ne - I/you H!trt marri J during any porfi4m of tlu up,}r/lnK .l"""· t:umplt'U this section. ( f>flllar amuunt not rt!q111rl'd except for h"nnraria.)

-:J NONE (No reportable 11011-inveslment income.)

SOURCE TYPE

I. 2009 Barnard College

2. 2009 Wellesley College

J.

}\'. REIMBURSEMENTS - /fansportulion, /odging,Jood, enlerlainmenl. r /ridiu/(·1 rho c 10 spo1i>c (lm/ Jrpt"1dent chilJrc'n. St't..' l'P :5-! 7 nl_liling imtnn tron.'i)

-�/1 NONE (No reportable reimbursements.) ---- I

SOURCE LOCATION PURPOSE

I.

ITEMS PAID OR PROVIDED

J.

4.

---

-

------ -··-· ···----

SOURCE

COOE

5.

FINANCIAL DISCLOSURE REPORT

Page 3 of 18

Name or Person Reporting

Berman. Richard M.

Date of Report

51312010

V• GIFTS. (/ncfudes those ro .tpous and depend nl children; Jee pp. 18-31 of filing ifutructions.)

NONE (No reportable gifts) [{J

I.

2.

4.

5.

DESCRIPTION

VI. LJABJLJTJES. (/ndudes 1ho.'ie of.'P"U.'il! and depl!ndent t·hildrl!h; ., · e¥ pp. JZ-JJ of filinx im;trur.:tion.t.)

D NONE (No reportable liabilities)

CREDITOR

I. Bank of America

2.

3.

DESCRIPTION

Mortgage on Rental Prop. (Pl. VII. line I)

VALUE

N

4.

J.

b

(2) ( I )

D

l (5)

I 1

I

I

FINANCIAL DISCLOSURE REPORT Page 4of18

Name of Ptrson Reporting

Berman, Richard M.

Dalt or Report

5/J/2010

VII. IN VESTMENTS and TRUSTS -incom,, va/u,, ITanm·tion.• (/nc/udn thou of.

- -

i !

FINANCIAL DISCLOSURE REPORT Page 5 of 18

Name of Person Rrportlng

Berman, Richard M.

Dato of Roport

5/3/2010

VII. INVESTMENTS and TRUSTS - incom,, ••1.,, trans•ction.• rinctudes thou ofspouu and dependent children;,,, pp. H.f>o of filing instructions.) D NONE (No reportable income. assets, or transactions.)

A. D. Description of AsS.t:ls , - lncom during Gros. v ue ar end · 1-- - - Transactions during reponmg period

(including lrust assets) _ ! i_ng peno _ or reporting penod L (I) 12) 11)---i-(2i___ T ___ (1) ___ 1 m : (3)--(4)--T (5)

Place "(X)" after each asset IAmoun• I Type (e.g .. Value Value : Type (e.g.. ! Da•e ! Value I Gain I Identity of exempt from prior disclosure i Code I div, rent, Code 2 .I Method I buy. sell. ! mm/dd/yy I Code 2 Code I I buyer/seller, ' •ItA-H) or int) 11-P) Code 3 redemption) (J-P) (A-Ill (if private

jIQ·W) rran act1on)----- - ---· _J _ 18.

19.

20.

21.

22.

23.

24.

25.

26.

27.

NYS Donn Authority

NYS Donn Authority Mental Health

Metro Trans Authori1y

NYS Env Fae Corp St Clean Wtr & Drkg W1r Rev

NYS Env Fae Corp St Clean Wtr & Drkg W1r Rev

Icon Energy Fund

Icon Healthcare Fund

Oak mark Global Fund

Berkshire Hathaway B

28. Goldman Sachs

I

i 29.

30. Frmklin Income Fund

j31. ProclOr & Gamble Co.

32.

33. Amer. l'unds Fundamental F

34. American Growth Fund

B Interest

B Interest

B (merest

A lnlerest

None

None

None

None

None

A Dividend

A Dividend

A Dividend

A Dividend

None

K

K

K

J

K

I.

J

K

T

T

T

T

T

T

T

T

Sold 06/09/09

Sold 06109109

Sold 02/02/09

Sold 02/11/09

Sold 02/03/09

Buy 08111/09

Buy 03/23/09 (add'I)

Buy 08111/09 (add'I)

Sold 02/13/09

Sold 01/06/09 {pan)

Sold 08/05109 (pan)

Sold 01/15/09 (pan)

L

L

K

J

K

K

J

K

K

J

J

K

c

c

B

A

A

I ln..:0111\'. Gain CoJc A s 1.000 or l.:ss u ::=Sum . 12.soo · C •ll.lOI · 15.000 D •Sl.001 · lll,000 E •I 1 l,00 I - ll0.000 (See Culumn HI anJ 04) r "ll0.001 ·I I 00,0UO u •1100.!)()I l!,000,000 Ill •11.000,001. 15,000.00-0 H2 =-More than U.000,000 2 Value (Jo 1 •Sl5.0CQor less K •111.001 · ll0.000 L •ll0.001 - 1100.000 M •1100,001 -lll0.000

(See Columns Cl atld 0)) N •S250.00 I - Sl00.000 -0•ll00,001.11.000.000 Pl •11.000,001-Sl.000,000 P2 °ll.OOO.OOt - Sll.O

(I)

I

(I)

-- --- -- -- -- ---

. 38

i

i :41

i 1 42 '

f

48

51

--

I -(4)

----------

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A.

(2) (2) (S)

·-·---·

Name of Person Reporting Date ol Rrport FINANCIAL DISCLOSURE REPORT Page 6of18 Berman, Richard M. 513/2010

VII. INVESTMENTS and TRUSTS - income. •alue, 1run.••oion.• 11n..ruJe.• 1huu uf•P""" and J•pender11chi/drm: ..,, pp. JJ-60 offilinc im1ruc1ioru.J

LJ NONE (No reportable income, assets. or transaclions.) B. c. D.

Description of Assets lncome during Gross value a[ end Transactions during rcrort1ng penoSI.DOI· SZ,500 C =SZ.501 · lH>OO 0 ·S5.fl01 - Sl5.000 E •115.001. Sl0.000 tScc (ol1.1mns Bl and ()4) f ·S50.00I -1100.000 G >SI00.001·11.00'J.[J()() 111 •S 1.000.001 · Sl,000.000 llZ ··More: 1ha11 S5.000.000

2 ViiilUC Codes J =S 1,,000 or less K •lll,001 -ll0.000 L •Sl0,001 · SI0-0,000 M •1100.00t - lllO.OUO (Se-e (oltJmns Cl and DJ) N •S2l0,00 I. Sl00.000 0 •Sl00.001 . SI .om.1»0 Pl •Sl,000.001 · Sl,000.000 Pl •15.000.001·125.000,000

Pl •Sll,000,00t - 150,000.000 P4 =More 1han SS0.000.000 l V.i.luc: Mc1h0tJ Code.-. 0-'Apprai I R :Cosi (Re.al b1:i1c Only) S =Assc:ssmt!'nl T =Cash Markel

(Sci.'. Column C2l ll "[loo\r. Value V =Oihc:r W=-Est1ma1eJ

i

t

A

:

(!} (I)

-··

·-

---------·

I (3) I

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FINANCIAL DISCLOSURE REPORT Page 7 of 18

Name of Pt>rson Reporling

Berman, Richard 1\1.

Da It ol Rt port

5/)12010

VII. IN VESTMENTS and TRUSTS -- income.... 1.,, lnm.•aclion.• (/nc/uJes tho ... ofspouse and dependent chi/Jrm: SU PP· JJ-60 nf filing inSlrNClions.)

NONE (No reporlable income. asse/s. or transaclions.)

! 52

53

'54.

55.

i 56.

57.

58

59.

! 60

61.

[ 62 ! 163

64

65.

66.

67.

Descnption of Assets.

(including trust assets)

Place "lX)" after each a55et exempt from prior disclosure

Roytheon

Pepsico

Spe

El.

i

(I)

-

--

J

-- -.

--· -----

i

FINANCIAL DISCLOSURE REPORT

Page 8of18

Name of Person Reporting

Berman, Richard M.

Date or Rrport

5/312010

VII. INVESTMENTS and TRUSTS - income, ...1••• tran.

.. 1

Dividend

None J

None

Jnten.�sl L

lntc-resl

Interest

Interest M

Interest L

Dividend

Inrerest

B =S 1.001 - 2.500 G •SlOO.ClOl !1.C>O

(2)

-·--

I

0"'Awr.w •. JI

--

;

'

I

i

(I)

A

Description of Assets

(including trust assers)

Place "(X)" aftcr each asset exemp1 from prior di do'.'.!ur

B.

Income during : r portmg period , . (I)--] (2) Amount I Type (e.g ..

j Code I I div. rt."nl, ' (A-fl) , or tnt)

c.

Gro'\s v:ilue ar (nd

(•f r por11ng period

Vi!luc Va!ue

CoJc l kthoJ

1J.P) Code 3 IQ·W)

(I) Type (cg .•

buy. sell.

redemption)

D.

Transactions during rC'portmg period

Date Value

mm/dd!yy I Code 2 I (J.P)

Gain

Code I

(A-fl)

(5) Identify uf

buyer/seller

(1fpnvarr fr3nc;ac1mn)

I

j

---86.

87.

88.

89.

90.

'91.

92.

93.

94.

95.

96.

97. Spartan 500 Index Fid Adv A Dividend L

98. Websler Dank 8-mo CD B Interest

99. Fundamental Investor> Fund A Dividend

100.

JOI IBM A lntercsl

102. New Perspective Fund A Dividend K

lncom..: r..a1n Code · A. :S l,()(X) or 1....-ss H ·il,OUI · S-2.5().1 tScc Columns ll I and D4) F ll0.001 1100.000 G •1100.001. \1.000.000

' Value Ccxks J =.SI}.{)()() or less K ·Sll.001 · ll0.000 jScc Columns Cl and DJ) N •lll0.001 -llOU.000 0 •ll00.001 · ll.fJOt}.000

PJ -SH.(){)(),00 l - S O.O,f.t

m 12)

I

\ --- -- --...---

i

!

I

J i : i

i i

;

- .._ L_._

·1 !

B.

FINANCIAL DISCLOSURE REPORT Page IO of 18

Name of Person Rt>porelne

Berman, Richard M.

Dalt or Rtporl

51312010

VII. IN VESTMENTS and TRUSTS -incomt, valut, frotr.00.000 M "1100.001 · Sll0.000

(See Columns C 1 Jnd Dll N "'S250,00I · S$00,o00 0 = SI0.1.001 · Sl.000,000 Pl =11.000.00 I · Sl.000.0

m

i

i

(3)

rcd.:mpr•on_)

_L

I ------·· --

i

i

:

!

I

i

! '

' I

---

I

--

FINANCIAL DISCLOSURE REPORT Pagellof18

Name of Penon Rrporting

Berman, Richard M.

Dat< of Rt port

5/3/2010

VII. IN VESTMENTS and TRUSTS - inc,,me, ··alue, tran.

r poning period (I)

·Amount ; Code I

IA-II)

12) Typ

B

I

I

0

(2) (5)

:

i

i

i

i

i :

FINANCIAL DISCLOSURE REPORT Page 12of18

N.amr or Person Reportin

Brrman, Richard M.

Datr or Rrporr

5/J/2010

VII. INVESTMENTS and TRUSTS -in!'amr. valur, tromactinn> (lndud.s th"" o/v10u. ).

,,., ....

(II

r-----· - .

! i

(2) (I)

·----

(2)

·-

I

:

I

i

' j

I

Na mt of Pus.on Reporring Date of Rrport FINANCIAL DISCLOSURE REPORT

Page 13of18 Berman, Richard 1\1. 5/J/2010

VII. INVESTMENTS and TRUSTS - incnmr. , .•1u•• crion.• rtndud•.• rh'"' of.•p•uu unJ dependent rhi1J,.n: ,., rr· 11-60 offilinx ;,.,,,,ucrions.1

NONE (Nu reportable income. assets, or transactions.) A. B. c. D.

lXscnp11on of As rs Income during GrC"s::. value at nd Transactions dunng rcponing pt"noJ (including: trust asse[s) repuning period of reporting periud

Place "(X)" afler each assel

eumpt from pnor dlsclm;ure

ill Amount i Code 1 (,\.fl)

(2) Type (

. ..L

··--r-----r-- ---r--

j

I

'----- --·--

i

I

I !

l

i

i

I !

I

A. Dt: cription of A sds

(indut..ling trust assers)

PIJ..:e "(Xl"' after eal.'.h asset cl( empt from pnor disclosure

B. lnl:ome during

reporting period

(I) tn Amounl : Type (e.g., Code I div.. renl, IA-H) : or in!)

c. Gros \.ahJC al rnt of reporting period

ii) (2l VJ\uc Va rue

CoJe Me1hod Pref-Mental Hllh Fae

IX6. Metro Transn Au NY-Dedicated Tax rll-FSA

187.

I 111

C -S2.SO! · S5,l)()Q 111 =11.000.001-ll.000.000 l •ll0,001-llOO.OOO r1 sr.000.001 - si.000.000 N :More' 1han SWJXXl,000 S "As;.es06105109

12101109

IJ6/tl9/09

09117109

06123/09

06.'05!09

10/01/09

06105/09

09117109

06110/09

011n109

07116/09

07130109

IO/Oli09

12101109

12108109

12108/09

---· -

M

\1

M

M

M

M

M

L

L

K

L

M

M

L

M

M

L

D =ll.001 - ll 5.000

A

c

B

c

H2 "'More 1tun S-5.000.000 M =SllJ0.001 -l2l0,IJOO P2 =l .000.001 - l2l.ll00.000

T =Cash Market

(S) lden1i1y of

buyi:r/seller

(1fprivate lran ction)

!

FINANCIAL DISCLOSURE REPORT Page 14of18

Name or Person Rrporting

Berman. Richard!\!.

Date or Rtporl

51312010

VII. INVESTMENTS and TRUSTS - incomt. ••IMr. tramaction< (lnclud•.< tlro« ofspou.« and dep

L

1 188.

!

!

1 195. : !

I ! 1 200. i

i --

I

-- ---

(I)

---

!4)

'

!

! i I

l

I

I

I

!

(2)

Name of Pcnon Reporting Dile of Report FINANCIAL DISCLOSURE REPORT

Berman, Richard 1\1. Page 15of18 51312010

VII. INVESTMENTS and TRUSTS - incoMe, o•a/ue, rransaai ..ns (/nrludc.• llro" of•pouuand dtpendmtdri/dren: SU pp. 14-60 offilinf( insrruclions..)

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

A. B. c D. Description of Assets Income: dunng Gross valuc: at c:nd Transactions dunng n:porling rx-nml

(including rrnst ass.

!

I

!

!

:

I

(4) I

I

I :

I

I

I

I

------·-·-------··-·

(2) (I)

(JP)

N11me of Person Reporting Dale of Report FINANCIAL DISCLOSURE REPORT Page I 6of18 Berman, Richard M. 5/3/2010

VII. INVESTMENTS and TRUSTS -incom••••,,,,, ,,ansar1ions 11nc1ude .• 11um ofspouuand dep•nden1chitdrm; ·'"Pf' u-60 offilini: insrructir>n.

FINANCIAL DISCLOSURE REPORT

Page 17of18

Name of Person Reporting

Berman, Richard M. 513/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lrulicaUparto/ReporL)

Par1 VII. Dodge & Cox lnt'I Stock Fund, "'hich wJs sold in 2008. wa> inadver1ently included on the 2003 report ( line 60). We have been un;i blc tu locate the value and gain'loss infonnation. The value m 2007 was L.

Par1 VII. Oppenheimer Main Street Small Cap Fund was listed twice on the 2008 rep11rt (fines 69 and 70) and the second entry appears to be a duplicate included in error.

Par1 VII. Forest City Ent. (A) was listed on the 20(!8 report (line 82) as being Sold. rather than Sold (partial). The value code for 2008 was correctly listed as J.

Part VII. TIAA-CREF was inad,cr1entl)' omittetl from the 2008 report. The v"lu rnJ for W08 was K. TIAA-CREF's constituent funds CREF Money Market and T-C Lifecycle 2020-Rtmt also were inodvertcntly omitted from the 2008 report. The value code for 2008 was K for both CR EF Money Market and T-C Lifecycle 2020-Rtrnt.

Washington, D.C. 20544

. ...

FINANCIAL DISCLOSURE REPORT

Page 18of18

Namt of Ptnon Rep-0r1ing 011< ol Rrport

Berman, Richard M. 5.13/2010

IX. CERTIFICATION.

I certify that all informatfon given abon (including information pertaining to In} 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 rrported ,..., withheld because it mrt opplicable statutory provisions permilling non-disclosun.

I further certify that earned income from outside employment and honoraria and the acceptance of lfrs "hich han h