UNITED STATES COURTHOUSE 40 CENTRE STREET · disclosure report, dated May 7, 2007. In Part VII,...

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UNITED ST ATES DISTRICT COURT

SOUTHERN DISTRICT OF NEW YORK

UNITED STATES COURTHOUSE

40 CENTRE STREET

NEW YORK, NEW YORK 10007

(212) 805-6715

CHAMBERS OF

RICHARD M. BERMAN

UNITED STATES DISTRICT JUDGE July 10, 2007

Honorable Ortrie D. Smith § ::0--'

Chair, Committee on Financial Disclosure (..... rn (/)

c:: One Columbus Circle, N.E. ; i-- ()

(/J ;: rnWashington, D.C. 20544 c::-., CJ::::0 ...,_rriS2 < oJ';', 1J rnRe: Calendar Year 2006 Filing -nr -n 0l;P

Dear Judge Smith, l'1 ..0

Thank you for your letter dated June 15, 2007 regarding my 2006 annual financial disclosure report, dated May 7, 2007.

In Part VII, page 6, line 48, for "L-3 Communications Hldgs," the income amount code in column B(l) should be "A" and the income type in column B(2) should be "Dividend."

In Part VII, page 11, line 126, I listed "American Funds Capital Income Builder." This fund was purchased on September 13, 2006. The type of transaction for column D(l) is "Buy"; the date in column D(2) should be "9/13"; and the value code in column D(3) should be "J."

In Part VII, page 11, line 127, I listed "American Funds Washington Mutual Investments." This fund was purchased on August 25, 2006. The type of transaction for column D(l) is "Buy"; the date in column D(2) should be "8/25"; and the value code in column D(3) should be "K."

In Part VII, page 11, line 128, I listed "Merrill Lynch MM Fund," which was not listed on my 2005 annual report through inadvertence. This money market fund is a cash equivalent account.

Please contact me at (212) 805-6715 if you have any further questions.

TERMS

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Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AOIO in Government Act of 1978 Rev. 112007 FOR CALENDAR YEAR 2006 (5 U.S.C. app. §§JOI-I I I)

1. Person Reporting (last name, first, middle initial)

Bennan, Richard M

2. Court or Organization

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

3. Date of Report

05/07/2007

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

U. S. District Judge - Active

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial Annual

Sb. D Amended Report

D Final

6. Reporting Period

0110112006 to

12/31/2006

7. Chambers or Office Address

U.S. District Court 40 Centre Street (Room 20 I) New York, NY 10007

8. On the basis of the information contained In this Report and any modiOcatlons pertaining thereto, It ls, lo my opinion, In compliance with applicable laws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: 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. (Reporting individual only; see pp. 9-13 of instructions.)

[KJ NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I.

2.

3.

,._, CJ =

0 :::i:: rn r.,., ::.<> O:=-,; -< 0 (_f) ..,__ c:J:> rn :::oz

II. AGREEMENTS, (Reporting individual only; see pp. 14-16 of instructions.)

r'l C"J

D):> _.,.,,

)> <.....

rn

[KJ NONE (No reportable agreements.) -q -R 0 r•1 N

co PARTIES AND

I.

4.

5.

2.

3.

SOURCE

SOURCE DESCRIPTION

INCOME

5.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2of13 05/07/2007Berman, Richard M

III. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-U of Instructions.)

A. Filer's Non-Investment Income

[Kl NONE (No reportable non-investment income.)

AND TYPE (yours, not spouse's)

I.

2.

3.

4.

5.

B. Spouse's Non-Investment Income - If you were married during any portion of/he reporting year, complete this section.

(Dollar amount not required except for honoraria.)

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

I. 2006 Brand Consulting Firm I Partnership Income; College Administration I Salary

2.

3.

4.

IV, REIMBURSEMENTS -lransporlatlon, lodging,food, entertainment

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

NONE (No reportable reimbursements.) D

I. Federal Bar Council Oct. 27-29 - 2006 Fall Bench & Bar Retreat, Lennox, Mass (Lodging)

2.

3.

4.

5.

SOURCE DESCRIPTION

CREDITOR DESCRIPTION

VALUE

VALUE CODE

3.

4.

Name of Person Repordng Date of Report FINANCIAL DISCLOSURE REPORT

Page 3of13 Berman, Richard M 05/07/2007

V, GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

[Kl NONE (No reportable gifts.)

I.

2.

5.

VJ, LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-33 of instructions.)

D NONE (No reportable liabilities.)

I. Greenpoint Bank Mortgage on apartment (investment) N

2.

3.

4.

5.

(I) (I) (2) (2) (3) (5)

(J-P)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See PP. 34-60 of filing instructions.)

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

A. B. c. D .

Description of Assets I nco me during Gr oss value at end o f Transactions du ring repor ting period (including trust assets) reporting pe riod reporting period

(I) (2) (4) Am ou nt Type (e.g. Value Value Date ValuePlace "(X)" after each asset Type (e.g. Gain Ide ntity of Code I div., rent, Code2 Method buy, sell, exempt fro m prior discl osure M o nth- Code2 Code I buyer/seller (A-H) or i nt.) DayCode3 redemptio n) (J-P) (A-H) (if private

tra nsactio n)(Q-W)

I. Apartment (NY City) E Rent N w

2. Property Sufffolk County, NY (House & Cottage)

c Rent N w

3. Property, Suffolk County,NY D Rent K w

4. Aztex Limited Partnershi (real estate) A Distribution J w

5. Vanguard Windsor B Dividend Sale 10/4 M E

6. Vanguard 500 Index Trust B Dividend Sale 1014 L B

7. Vanguard 500 Index Trust A Dividend M T Buy 11/27 M

8. Vanguard Strategic Equity B Dividend Sale I0/4 M G

9. Vanguard Total Int'! Index None L T Buy 12/26 L

10. Vanguard Total Stock Index None L T Buy 12/26 L

II. U.S. Treasury Notes A Interest 0 T Buy 10/26 0

12. NYC GO Municipal Bond (Water) A Interest K w

13. Blackrock Municipal Bond Fund B Distribution Sale 414 M

14. Muniyield Municipal Bond Fund B Dividend Sale 2/8 K c

15. NYC Municipal Bond (Series D) c Interest Sale 10/18 L A

16. Comcast Common Stock (A & K) A Dividend M T Buy 11/16 K

17. Comcast Common Stock (A & K) A Dividend M T Partial Sale 2/24 K

I. Income Gain Codes: A =S 1,000 or less B =$1,001 - $2,500 C =$2,501 -$5,000 D =$5,001 ·SI 5,000 E =$15,001 -$50,000

(See Columns BI and 04) F =$50,001 -$100,000 G =SI00,001 -Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L=SS0,001 -SI00,000 M =$100,00 I - $250,000

(See Columns Cl and DJ) N =$250,001 -$500,000 0 =$500,001 -Sl,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000

J. Value Method Codes PJ =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q=Apprsissl V=Other S =Assessment

U =Book Value W =Estimated

(2) (I)

19.

3/1

Name or Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS income, varue, transactions r1nc1udes those of the spouse and dependent children. see PP· 34-60 of fuing instructions.; -


A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (I) (2) (2) (3) (4) (5) Date Value Gain Identity of

Month- Code 2 Code I buyer/seller

Day (J-P) (A-H) (if private

transaction)

9/29 K A

Place "(X)" after each asset

exempt from prior disclosure

Amount Code I (A-H)

Type (e.g.

div., rent,

or int.)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)

Type (e.g.

buy, sell,

redemption)

18. Cablevision Systems Common Stock None Sale

GE Common Stock A Dividend K T Buy 10/24 K

20. GE Common Stock A Dividend K T Partial Sale J A

21. Liberty Media Global (A & C) None K T Partial Sale 9/29 J D

22. Liberty Media Global (A & C) None K T Buy 12/21 K

23. Liberty Media Interactive (A & B) None Sale 9/29 J D

24. Microsoft Common Stock A Dividend K T Buy

25. Ebay Inc. Common Stock None K T Partial Sale

26. Exxon Mobil A Dividend K T Buy

27. John Nuveen Common Stock Fund (Class c Dividend M T Partial Sale A)

28. Scarsdale, NY Sch. Dist. Municipal Bond A Interest K w

29. Westchester County, NY GO Municipal c Interest L w Bond

30. Rye City, NY Pub Imp! Muncipal Bond B Interest L w

31. MAC Municipal Bond c Interest K w Partial Sale

32. NYS Mort Agency c Interest M w Partial Sale

33. NYS Power Authority c Interest K w Partial Sale

34. Providian Nat'! Bk - CD B Interest L T Sale

11/13 J

10/3 L E

10/24 K

10/18 L B

4/1 K A

Ill M A

1/1 K A

4/20 L

I. Income Gain Codes: A =$1.000or less B =$1,00 I -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns Bl and D4) F =$50,001 -$100,000 G:$100,001-$1,000,000 HI =$1,000.001 -$5,000.000 H2 =More than $50000,000

2. Value Codes J ><$15,000 or les• K =$15,001 -$50,000 L =$50,001 -$100,000 M =$I 00,00 I -$250,000

(See Columns Cl and DJ) N =$250,001 -$500,000 0 =$500,001 -$1,000.000 Pl =$1,000,001 • $5,000,000 P2 =$5,000,001 - $25,000,000

3. Value Method Codes PJ =$25,000.001 - $50,000.000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C 2) Q=Appraisal V =Other S =Assessment


D.

35.

36.

37.

39.

Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT

Page 6of13 Berman, Richard M 0510712007

VII. INVESTMENTS and TRusTS - income, value, transactions (Includes those ofthe spouse and dependent children. See pp. 34-60 offding instructions.)


Type(e.g.

buy, sell,

B. c. Inco meduring Gross val ue at end of

repor tingpe riod reporting period Transactions du ring reportingperiod

(I)

Amount Code 1

(A-H)

(2) (1) Value

div rent, Code2

) (J-P)

Type(eg

o r in t

(2)

Value

Method

Code3

(Q-W)

{l} (2)

Date

Month-

redem ption) Day

. . .

.

,

(3) Value

Code2

(J-P)

(4) Gain

Code 1

(A-H)

(5) Identityof

buyer/seller

(if p rivate

trans action)

A.

Descri ption of Assets

(includingtrust assets)

Place"(X)" after each asset

exem pt fro m p rio r disclosure

NYS Env Fae Corp St Clean Wtr & Drkg D Interest M T WtrRev 3.9%

NYS Env Fae Corp St Clean Wtr & Drkg B Interest L T WtrRev 3.75%

NYGO B Interest Sale 1/1 L B

38. Schwab MM/NY Muni Fund D lnt./Div. Sale 12/26 N c

Schwab Value Advantage Fund B Int./Div. Sale 10/23 0 B

40. Schwab Value Advantage Fund B Dividend 0 T Buy 10/10 0

41. Cohen & SteersRealty Fund A Dividend Sale 10/24 J B

42. Icon Energy Fund B Dividend K T Partial Sale 9/12 L D

43. Icon Healthcare Fund B Dividend K T Partial Sale 1014 L c

44. American Fund New Perspective Class F B Dividend K T Partial Sale 10/3 K c

45. Oakmark Global Fund A Dividend J T Partial sale 3/1 K D

46. TCW Galileo Value Oppty B Dividend K T Buy 12/22 J

47. TCWGalileo Value Oppty B Dividend K T Partial Sale 10/4 K B

48. L-3 Communications Hldgs Sale 8/14 K

49. Abbott Laboratories A Dividend Sale 10/3 K c

50. Caterpillar A Dividend K T Partial Sale 8/11 K c

51. Caterpillar A Dividend K T Buy 10/23 J

I. Income Gain Codes: A =S1,000 or less B =S1,001 • $2,500 c =$2,501-$5,000 D =$5,001 • $15,000 E =$15,001 • $50,000

(See Columns BI and D4) F =$50,00 I - SI 00,000 G =$100,001 • $1,000,000 HI =$1,000,001 • $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=$15,00l -$50,000 L =$50,001-$100,000 M =$100,001 • $250,000

(See Columns Cl and DJ) N =$250,001 • $500,000 0 =$500,001-$1,000,000 PI =$1,000,00 I • $5,000,000 P2 =$5,000,001 • $25,000,000

3. Value Method Codes PJ =$25,000,001-$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(Sec Column C2) Q =Appraisal V=Othcr S =Assessment


Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 7of13 05/07/2007Berman, Richard M

VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See PP• 34-60 o/ftling instructions.) -


A. B. c. D.

Description of Assets Income during Gross value at end of Tramactions during reporting period

(including trust assets) reporting period reporting period

(1) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

52. Chevrontexaco Corp A Dividend Sale 9/1 I K c

53. Conocophillips A Dividend Sale 916 K c

54. Danaher Corp. A Dividend Sale 10/3 L D

55. Discovery Hldgs Ser B A Dividend Sale 8/8 J B

56. Discovery Hldgs Ser A A Dividend Sale 8/8 K D

57. Fed Ex Corporation A Dividend L T

58. Google Inc. Class A None Sale J/20 K

59. Google Inc. Class A None K T Buy 11/30 K

60. Lockheed Martin A Dividend L T Buy I1/14 L

61. Lockheed Martin A Dividend K T Partial Sale 5/24 J

62. Medtronic Inc. A Dividend Buy 3/29 L

63. Medtronic Inc. A Dividend Sale 8/8 L

64. Pfizer lncoroporated B Dividend Sale 10/3 L D

65. Proctor & Gamble, Co. B Dividend J T Partial Sale 10/3 L D

66. Proctor & Gamble, Co. B Dividend J T Buy 10/24 J

67. Alpine US Real Estate Fund A Dividend Sale 2/24 K

68. Amer. Funds Fundamental (F) B Dividend K T Partial Sale 10/3 K D

I. Income Gain Codes: A =S 1,000 or leSi B =$ 1,001 - $2,500 c =$2,501 • $5,000 D =$5,001 • $15,000 E =$15,001 • $50,000

(Sec Columns B1 and D4) F =$50,001 • $100,000 G =$ 100,001 • $ 1,000,000 HI =Sl,000,001-S5,000,000 H2 =More than $5,000,000

2. Value Codes J=Sl5,000 orless K =$ 15,001 - $50,000 L =$50,001 • $!00,000 M =$100,001 • $250,000

(See Columns Cl and D3) N =$250,001 • $500,000 0 =$500,001. Sl,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Meth od Codes P3 =$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =Mo"' thsn $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V --Other S :Assessment


70.

Date of Report Name of Person Reportlog FINANCIAL DISCLOSURE REPORT Page 8of13 0510712007Berman, Richard M

VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.) -


A.

Descri ption of Assets

(inclu di ng trust assets)

P lace "(X)" after each asset

exem pt from prior disclosure

69.

B. c. D .

Income du ring G ross value at en d of T ra nsactions d uring repor ti ng period reporti ng period reporti ng period

(I) (2) (I) (2) (I) (2) (3) (4) (5) A mou nt Type(e.g. Va l ue Value Ty pe (e.g. Date Value Gai n Identity of Code I div ., ren Code2 Method buy, sell, Month- Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redem ption) Day (J-P) (A-H) (i f private

(Q-W) t ransaction)

Artisan Mid Cap Value Fund A Dividend K T Partial Sale 3/29 K A

Artisan Int'! Value A Dividend Buy 3/29 K

71. Artisan Int'! Value A Dividend Sale

72. Dodge & Cox Int'! Stock Fund A Dividend L T Partial Sale

73. Driehaus Int'! Discovery Fund A Dividend Sale

74. American Growth Fund A Dividend K T Buy

75. 3M Company None Buy

76. 3M Company None Sale

77. Johnson & Johnson A Dividend K T Buy

78. Johnson & Johnson A Dividend K T Partial Sale

79. Lockheed Martin A Dividend K T Partial Sale

80. Publicis N.A. A Dividend L T Partial Sale

81. Sunrise Senior Living A Dividend K T Partial Sale

82. Sunrise Senior Living A Dividend K T Buy

83. Amer Funds New Economy A Dividend K T Partial Sale

84. Amer Funds New Economy A Dividend K T Buy

85. Calamos Growth Fund A Dividend K T Sale

1014 K c

10/31 L E

9/28 K A

12/18 J

3/29 K

8/8 K

10/24 K

5124 J A

5124 J B

4/10 M G

2/8 J B

8/4 J

2/8 J A

8/4 J

8/4 K B

I. lne-0me Gain Codes: A 41,000 or less B =S 1,00 I • $2,500 C =$2,50 I - $5,000 D 45,001 - $15,000 E =$15,001 - $50,000

(See Columns BI and 04) F =$50,001 - $100,000 G =SI00,001-$1,000,000 HI =$1,000,001 • $5,000,000 H2 =More than $5,000,000

2. Value Codes J415,000 orless K=Sl5,00l -S50,000 L =$50,00 I - S I00,000 M =$I 00,00 I - $250,000

(See Columns Cl and DJ) N =$250,001 - $500,000 0 =$500,001 - SI ,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 • $25,000,000

3. Value Meth-Od Codes PJ =$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q=Appra isal V =Other S =Ass essment


87.

89.

90.

91.



VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)


A.

Description of Assets

(including trust assets)



86.

B. c. D.

Income during Gross value at end of Transactions during reporting period reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

Chesapeake Core Growth Fund A Dividend J T Sale 2/8 J A

Dodge & Cox Stock Fund A Dividend K T

88. Wasatch Heritage Growth A Dividend Sale 2/8 J B

Publicis Group ORAs None N T

Publicis Group Warrants None M T

Sony None Buy 2/8 L

92. Sony None Sale 8/24 L

93. Oppenheimer Main Street Small Cap Fund A Dividend J T Buy 3/29 K Class A

94. Oppenheimer Main Street Small Cap Fund A Dividend J T Partial Sale 819 K Class A

95. Firsthand Technology Value Fund None K T Buy 4/28 K

96. Firsthand Technology Value Fund None K T Partial Sale 8/9 K

97. RS Info. Fund None Buy 2/24 K

98. RS Info. Fund None Sale 5124 K

99. Waste Management Inc. A Dividend J T Buy 10/19 J

100. United Technologies A Dividend J T Buy 10/24 J

IOI. Raytheon None J T Buy 10/24 J

102. Pepsico None J T Buy 10/24 J

I. Income Gain Codes: A =$1,000 or lcsa B =$1,00 I -$2,500 C =$2,50 I -$5,000 D =$5,001 -$15,000 E =$15,00 I - $50,000

(Sec Columns BI and 04) F =$50,001 -$100,000 G =SI 00,00 I -S 1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. V alue Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 -SI00,000 M =SI00,001 -$250,000

(Sec Columns Cl and DJ) N =$250,001 -$500,000 0=$500,001-$1,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,00 I - $25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cosl (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q=Appraisal V =Other S =Assessment


Name of Person Re p orti ng Date of Report FINANCIAL DISCLOSURE REPORT

Page IO of 13 Berman, Richard M 05/07/2007

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)

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

A. B. c. D.

Description of Asset s Income during G r os s value a t en d of Tra nsac tions du ring reporting period (inclu ding trust asset s) reponing period reporting period

Place "(X)" after each asset exempt from p rior disclosure

(I) Amou n t Code I

(A-H)

(2) Type(e.g. div . , rent, or i nt.)

(1) Value Code2 (J-P)

(2) Value

Method Code3

(Q-W)

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

(2) Date M onth-Day

(3) Value Code2 (J-P)

(4) Gain Code I

(A-H)

(5) Identity of buyer/seller

(if p rivate transaction)

103. PPG Industries A Dividend J T Buy 10/24 J

104. Kimberly Clark None J T Buy 10/24 J

105. Forest City Ent. (A) A Dividend J T Buy 10/24 J

106. Duke Energy A Dividend J T Buy 10/24 J

107. E.I. Dupont A Dividend J T Buy 10/24 J

108. Cisco None J T Buy 10/24 J

109. BP A Dividend J T Buy 10/24 J

110. American Express None J T Buy 10/24 J

111. Liberty Media Capital (A & B) None L T Buy 12/18 K

112. Rogers Communications None L T Buy 12/18 L

113. ITT Industries None Buy 519 K

114. ITT Industries None Sell 8/8 K

115. Ingersoll Rand None Buy 519 K

116. Ingersoll Rand None Sell 8/8 K

117. Lowes Corp None Buy 2/8 K

118. Lowes Corp None Sell 8/9 K

119. Teva Pharmaceuticals None Buy 5110 L

I. Income Gain Codes: A =$1,000 or less B =Sl,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns BI and 04) F =$50,001 • $100,000 G =$100,001 -$1,000,000 HI =$1,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=Sl5,00l -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and DJ) N =$250,00 I - $500,000 0 =$500,001 -$1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000

3. Value Method Codes PJ =$25,000,00 I - $50,000,000 R =Cost (Res! Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q=Appraissl V =Other S =Assessment




VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those of the spouse and dependent children. See PP• 34-60 of filing instructions.) -


A.

Description of Assets

(including trust assets)



B. c. D.

Income during Gross value at end of Transactions during reporting period

reporting period reporting period

(I) (2) (I) (2) (!) (2) (3) (4) (5) Amount Type(e.g. Value Value Type (e.g. Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

120. Teva Pharmaceuticals None Sold 8/8 L

121. Encana Corp. A Dividend Buy 10/18 J

122. NYS Twy Auth. Muni Bond A Interest L T Buy 11/29 L

123. MTA Muni Bond A Interest M T Buy 11/29 M

124. NYS Dorm Auth. Muni Bond None K T Buy 9/12 K

125. Triborough B & T Auth. Muni Bond A Interest N T Buy 12/18 N

126. American Funds Capital Income Builder A Dividend J T

127. American Funds Washington Mutual A Dividend K T Investments

128. Merill Lynch MM Fund B Int./Div. M T

129. Turner Strategic Growth Fund None Buy 3129 K

130. Turner Strategic Growth Fund None Sale 619 K

131. U.S. Global Resources Fund None Buy 2/8 K

132. U.S. Global Resources Fund None Sale 9/12 K

J. Income Gain Codes: A =$1,000 or less B =S 1,001 • $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =S 15,001 - $50,000

(See Columns B1 and D4) F =$50,001 - S 100,000 G =S 100,001 - S 1,000,000 HI =Sl,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =Si 5,000 or less K =$15,001 - $50,000 L =$50,001 - Sl00,000 M =S 100,001 - $250,000

(See Columns Cl and DJ) N =$250,00 I - $500,000 0 =$500,001 -$1,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

J. Value Method Codes PJ =$25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Markel

(See Column C2) Q=Appraisal V=Olher S =Assessment


Name of PerS-On Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicale partofReport.)

Most transactions in 2006 resulted from a change in financial advisors.

__ Date_s-.----./7A __ o7_



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

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

UNITED STATES COURTHOUSE 40 CENTRE STREET · disclosure report, dated May 7, 2007. In Part VII,...

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Transcript of UNITED STATES COURTHOUSE 40 CENTRE STREET · disclosure report, dated May 7, 2007. In Part VII,...