Jr Harold Baer Financial Disclosure Report for 2009

8/3/2019 Jr Harold Baer Financial Disclosure Report for 2009

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nay. t /2o to FOR CALENDAR YEAR 2009 (5 u s, c. app H lo t-tel)

I . Perso , Repor t io ( las t name. f i rs t , midd le in i t ia l) 2. Co ur t o r Or ga n i za t i o n 3 . D i re o f R e p o r tBAER, JK, HAROLD US DISTRICT 0510712010

4. Title (Article Ill judges indicate active o r senior status; So. Report Type (check appropriate type) 6. Report ing Periodmagistrate judg~ indk:ate full- or part-firm) [] Nomination, Date 0 t/01/2009

JUDGE [] Initial - 1 2 . . , 1 1 7 1 A n n u a l [] Final to12/31/20095b. [] AmendcdReport

7. Chombers orOff ice Address 8. On the bas is of the informttt ion conlained in this Report and anymod if icat ions perta ining thereto, i t |t , in my opinion, in com plianceROOM 2230 US COURTHOUSE with appl icable laws and regula t ions.500 PEARL STREETNEW YORK, MY 10007 [ Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be follonwd~ Com plete all parts,checking the NO NE box for each part where you have no reportable information. Sign on laxt page.

I . P O S I T I O N S . ~ , p o m , ~ ~ , ~ d ~ o t o , O . ; , o o W . ~ - ] J o f ~ ~ ~ r ~ e a o ~ . ~NONE (No reportable positions.)

pOSITION N A M E O F O R G A N I Z A T I O N / E N T I T Y1.

I I . A G R E E M E N T S . rReporting i, di~idual onO.; s,epp, il-I~offiltng jnstrttctiom.) ~ ~ ~~

~ N O N E (No reportable agreements.) ~ ~ ~D A T E PARTIES AND TE~S

I. NEW YO~ MANAGEM~ WELFA~ F~D


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FINANCIAL DISCLOSURE REPORT ! N . m . o ~ P ~ , , o , , ~ . p o ~ . , ,g I n.t . of R.p~,-, IIage 2 o f 7 BAE R, JR ., HAROLD 05/07/2010III . N ON-INV ESTMEN T IN COME. t~,~,o,,~,~A. F i le r s N o n - In v e s tme n t In c o me

~ ~o reportable non-investment income.)ONEDATE SOURCE AND TYPE ~COME(you~, not spouses)

I. MICHI & ~O., ~ . - BOOK ROYALTIE~ $~,062.~2. P E N S I O N - N Y S T A ~ E M P L O Y E E S ~ T I ~M E ~ S Y S T E M $2~,9~0.003. N EW YOKK STATE BAR ASSOCIATION - BOOK ROYALTI~ $35?.00

B. Spouses No n-lnves~ment Income - ~ I~.u ~,, m~rr~d~ ~o reportable non-investment income.)ONE

D A T ~ SOURCE A~ ~PE1.2.

3.

4.

I V . R E I M B U R S E M E N T S - trunsportation, lodging.food, tnt~rtainmen~( I n c l u d e s t h o ~ e t o ~ p o u s e a n d d e p e n d e n ! c h i l d r e n ; s e e p l ~ . 2 5 - 2 7 o f f i l i n g i t m t r u c t l o t m . )

D N O N E ( N o reportable reimbursements.)SOURCE D A T E S L O C A T I O N PURPOSE ITEMS PAID OR PROVIDED

I. FJC EDUCATI ONA L 03/11/2009-3/13/2009 RA LE IGH, N C LOD GIN G &S E M I N A R TRANSPORTATI ON2. NON-FJ(2 EDUCATIONAL 0 6 1 1 0 1 2 0 0 9 - 6 1 1 2 1 2 0 0 9 N E W ORLE A N S, la LOD GIN G &S E M I N A R TRANSPORTATI ON3. NON-FJC: EDUCATIONAL 0 6 ~ 1 5 / 2 0 0 9 - 0 6 / 1 6 1 2 0 ~ t / BOSTON , MA LOD GIN G &S E M I N A R TRANSPORATION4.5.


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FINANCIAL DISCLOSURE REPORT Name of Per,on Reporting ] Date ef Repot!Iage 3 of 7 BAER, JR., IIAROLD 0 5 1 0 7 / 2 0 1 0V . G I F T S . a n c l .d ~ ,I,o,e to ,,o~,, and dependent children; see ptx 28-31 of filing instructlonx,)

N O N E (No reportable gifts.)SOURCE DESCRIPTION VALUE

1.2.3.4.5.

~ N O N E (N o reportable liabilities.)CREDITOR DESCRIPTION

I. WELLS FARGO - ADVISORS (t[) SECURI~ES MARG~ ACCO~

2.3.4,

5.


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F I N A N C IA L D I S C LO S U R E R EP O R T N . m e o r V . .. .. R e p o r t i n g D a t e o f r ~ p o r tPage 4 of 7 BAE R, JR . , HAROLD 05/07/2010

N O N E ( N o 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 ts I n c o m e d ur 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 l i o n s d u r i n g r e p o r ti n 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 ts ) r e p or t i n g pe r i o d o f r e p or t i n g pe r i o d(I) I (2) 11) (2) (I ) (2) (3)-- 14) (5 )

P l a c e " ( X ) " a f t e r , e a c h a s s e t Amount Type(c.g., Value Value T y p ~ ( e . g .. D a t e Value I Gain I Idcntityofe 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 I d i v . , r e n l , C o d e 2 M et h o d b u y , s ~ l l , m m / d d / y y C o d e 2 Code I buyer/scller( A - H ) o r i n l . ) ( J - P ) C o d e 3 r o d e m p l i o n ) ( J - P ) (A-I{) ] ( i f p r i v a t e( Q - W ) ~ t r a n s a c t i o n )

I. ROCHESTER FD ( W) D Dividend M T

2. EXX ON MOBI LE CORP ( W) A Dividend K T3. HOME DEPOT INC, (W) A Dividend K T4. PROCTOR & GAMBLE CO. (W) B Dividend K T

5. DW S SCUDDE R GLOBAL FUND A Dividend J T6. INTEL CORP A Dividend J T7. FI RST ENE RGY CORP B Dividend K T8. PFIZER, INC B Dividend K T

9. CYPRESS SEMI CONDUCTOR COKP N o n e K T

i0 . OPPENHE 1MERCAPITAL APPRE. FD N o n e K TIR ~1 1 . 3.67% I NTE REST BUI LDI NG B Rent J WBROOKLYN, N Y1 2 . PLAI NS ALLAMERtCAN PI PELI NE LP B Dividend K T

1 3 . MEDCO HEA LTH SOLUTI ONS ( W) A Dividend J T1 4 . G E N E R A L E L E C T R I C (W ) A Dividend J T Sold 10/09/09 J A(par t )15 . ICtCIBANK LTD A Dividend J T16 . I D E A R C I N C J T17 , I SHARES MSCI A Dividend J T

I . ]r . o r~ G ~i n Co ~e s : A -$1 . 000 o r l e~s B -$] .00! - $2~5 00 C ~$2. 501 - $5 . 000 D ~$5,001 - $15.(X)0 E -$15.KX) I -

(See Colu~~1 U =~k Vm)~ V ~er W -Esli~


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Name of Persun Reporting

I

Ll*tt of ReportP a g e F I N A N C I A L 5 o f 7 D I S C L O S U R E R E P O R T [ B A E R , J R . , IIAROLD 0 5 / 0 7 / 2 0 1 0

NO NE ~ o repomable income, assets, or transactions.)A. B. C. D.~cripti~ offers In.me during Gross value at end ~n~ctions during repofling

(including t~st as~) re~ing ~fi~ of~poOing ~ri~(I) 12) (I) (2] (I) (2) (3) (4)

Place ~(X)" a~r each ~set Amount T~e (e,g., Value Value T~ (e.g.. D a l e Value Gain Identityexempl f~m prior discl~ure C~e I div., ~L C~e 2 Meth~ buy, sell, m~d~ C~c 2 C~c I ~ycr/~ellcr( A - H ) o r i n t . ) ( J - P ) C~c 3 ~ O c m p t ~ n ) ( J - P } ~ A - H ) f i r p r l v a t

1 8 . CAPITAL.WORLD GROWTH IN COME A Dividend K T Sold 09/09/09 K AFUND1 9 . I SHARES TR S&P GLOBAL FINLS A D i v i d e n d J T

2 0 , SUNPOWER CORP None J T

2 1 . O P PE N H E I M E R A M I -F R E E N Y B Dividend K TMUNICIPAL FUND2 2 . OPPEN HEI MER NE W YORK C Dividend L TMUNICIPAL FUND2 3 . FIRST EAGLE SOGANGLOBAL FD A Dividend K T Bu y 09/09/09 K24 . INTERACTIVE BROKERS CORP J T2 5 .

2 6 .


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Page 6 of 7 BAE R, JR . , HAROLD 0 5 1 0 7 / 2 0 1 0

VIII . ADDITIONAL INFORMATION OR EXPLANATIONS.


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Ia m e o f P e r s o n R e p o r t i n g I D a t e o f R e p o r tF I N A N CI A L D I S C L O SU R E R E P O R T IPage 7 of 7 B A E R , J R . , I t A R O L D I o~,0~0,oi x. C ER TI F I C A TI O N .

1 certify that all information given above ( including information pertaining to my spo use and mino r or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because It met applicable statutoryprovisions permitting non-disclosure.

I further certify that earned income from outside employm ent and hono raria and the acceptance of gifts which have been reported arc Incompliance 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 ~,VILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAN D CRIMINAL SAN CTIONS (5 U.S ,C. app. 104)

F IL I N G I N S T R U C T I ON SMail signed original and 3 addit ional copies to:

Commit tee on Financial DisclosureAdministrat ive Office of the United States CourtsSuite 2-301On e Co lu mbu s C i rc le , N .E .Washington, D.C. 20544

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Jr Harold Baer Financial Disclosure Report for 2009