Laura T Swain Financial Disclosure Report for 2010

8/3/2019 Laura T Swain Financial Disclosure Report for 2010

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AO I0Rev. 1/2011

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the Ethicsin Government Act o f 1978(5 U.S.C. app. 101-111)

I. Person R epor t ing ( las t name, f i r s t , middle in i t ia l )S w ai n , Laur a T .

4. Title (Article I ll judge~ indicate active or senior status;magistrate judges indicate full- or part- time)U S D i s t r ic t Judge (A c t i ve )

7. Chambers or Office AddressD a ni e l Pa t r i c k Moyn i ha n U . S . Cour l house500 Pearl St re tSui te 755Ne w York , NY 1 0 0 0 7

2. Court or Organizat ionUS Di s t r i c t C our t - S DN Y

3 . D a t e o f R e p o r t05/11/2011

5a. Repor t Type (check appropr ia te type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Finol5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in this Report and anymodif ica t ions per ta in ing there to , i t i s , in my opinion, in com pl iancewith app l icab le laws and regu la t ions.

Reviewing Officer D a t e

I 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 followetL Complete all parts,checking the NONE b ox for each part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . r R e p o r~ . g i .~.~ o.ty; s e e p p . 9 4 3 of filing instruction~)D (No reportableposit ions. )O N E

POSITIONI. Board Member

2. B o a r d M e m b e r3.

4.5.

NAME OF ORGANIZATION/ENTITYH av ens R e l i e f Fund Soc ie tyFede ra l Ju dges As s oc i a t i on

1 1 . AGREEMENTS. m e p o r a . g i , a i v l a , a t o.~y; see t ,~, . l~-16 of filing instructions.)D NONE(No reportable agreements . )D A T E PARTIES AND TERMS

1.5/95 P ens ion P l an ofDeb ev o i s e & P l impton LLP ( fmr l aw f irm) , no cont ro l2.3.


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FINANCIAL DISCLOSURE REPORTPage 2 of 7

N a m e o f P e r s o n R e p o r t in gS~vain, Laura T.

D a t e o f R e p o r l05/11/2011

I l i . N O N - I N V E S T M E N T I N C O M E . t R e p o r ~ n g indiv idual andspouse; seepp. 17~24 of f i l ing instructions.)A. Filers Non-Investment Income~] NONE non- inves tmen t income . )N o reportable

DATE SOURCE AND TYPE

2 .3.4.

I N C O M E( y o u r s , n o t s p o u s e s )

B , S p o u s e s N o n - I n v e s t m e n t I n c o m e - I f you were married during any port ion of the report ing year, complete this sect ion.(Dollar am ount not required except for honoraria.)~-~ (No reportable income.)ONE non- inves tmen t

1.20102.3.4.

DATE SOURCE AND TYPE, _2 2 ~ ~ : ~ A " S a l a r y and B onus

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainment(Includes those to spouse ond dependent children: see pp. 25-27 of filing instructions.)~ NO N E ( No r epor tab l e r e imbursem en t s .)

SOURCE DATES LOCATION1. F e d e r a l J u d g e s A s s o c i a t io n 5 / 2 -3 / 2 0 1 0 5 / 2 3-2 4/2 0 1 0 W as h i ngo n , D C

2.3.4.5.

PURPOSEB o a r d M e e ti n g

ITEM S PAID OR PROVIDEDT r a v e l , f o o d , l o d g i n g f o r s e l f .


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 7

Name o f Pe rson Report ingS w a i n , L a u r a T .

Date of Repor t05/11/2011

V . G I F T S . a n c l u d e s th o ~ e , o s p o ~ e a n d dependent children; see p p . 2 8 - 3 1 of fillng instruc~ion~)N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L I A B I L I T IE S . a n c l u d e s th o s e o / s p o u s e a n d d e p e n d e n t children; see p p . 3 2 - 3 3 of filing instructlon~)N O N E ( N o reportable liabilities.)

C R E D | T O R DESCRIPTIONI.2.3.

4.5.

VALUE CODE


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FINANCIAL DISCLOSURE REPOR TPage 4 of 7

N a m e o f P e r so n R e p o r t i n gS~vain, Laura T.

D a t e o f R e p o r t05/11/2011

V I I. I N V E S T M E N T S a n d T R U S T S - in c o m e . , al u e . t r a ,~ u c t io ~ t t, c lu d e , t h o s , o I s p o , ~ e ~ n d dependent children; see pp. 3 4 - 6 0 o f f i l in g i n s t r u c t i o n ~ . )N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i nc l ud i ng t rus t asse t 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 p r i o r d i sc l o s u r e

Income d u r i n gr e p o r t i n g p e r i o d(i) (2)

A m o u n t T y p e ( e . g . ,C o d e I di v . , ren t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)

V a l u e V a l u eC o d e 2 M e t ho d

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

(0T y p e (e.g. ,buy, sell,

r e d e m 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 n v d d / y y Code 2 Co de I b uye rlse ller( J - P ) (A-H) ( i f p r i v a t e

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

I. Barclays B ank PLC - Account

2. HSBC Bank - account

A I n t e r e s t JA I n t e r e s t K

TT

3. Charles Schwab Rollover IRA

4. - Dreyfus Appreciation Fund

5. - W ells Fargo Adv. Income Plus Fund

6. - DWS Growth & Income Fund7. - Newberger & Berman Socially Resp. Fund

8. - Old Mutual Select Growth Fund

9. - Neuberger & Berman Genesis Fund

1 0 . -TCW Select Equities Fund

I 1 . - Firsthand Technology Value Fund

1 2 . - FMI Focus Fund

C Dividend M

Merged(with line 16)

01/01/10

1 3 . - Allianz RCM Glob a l Technology Fund1 4 . - GAMC O Gr ow th Fund

1 5 . - M anagers Bond Fund

1 6 . - Old M utual Large Cap G rowth Fund

1 7 . - Schw ab Money M arket .Fund

I . I nc ome Gain C odes : A =$1,000 or less B -$1,001 - $2,500 C = $2.501 - $ 5 ,000 D -$ 5.001 - $ 15.000( See C olumns BI and D 4) F = $ 50,001 - $ 100,000 G = $100.001 - $1 ,000.000 III =$1.000,001 - $5.000.000 112 -More lhan $5.000.000

2. Value Codes J =$15.000 or less K =$15.0O I - $ 50.000 L = $50.0O I - $ 100.000 M =$100.001 - $250,000( See C olumn~ C I and D 3) N =$250.0OI - $500.000 O =$500.0OI - $1.000.O00 PI -$1,000.001 - $5.000.000 P2 -$5,000.001 - $25,000,000

P3 =$25,0OO.0OI - $50.000,0~) P4 =More lhan $50.0~O,0003. Value Method Codes Q = A p l : n . a i s a I R ~Cost (Real Estate Only) S = A s s c ss m ~ . ~ n ! T =C as h Mar ket( See C olumn C 2 ) U -Book Value V -O ~ hc r W = E st i m a t ed

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 gS~vain, Laura T.

D a t e o f R e p o r ~05/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 - income, volue, ,, .... , ~ o n s ( 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 t c h i ld r e n ; s e e p p . 3 4 - 6 0 of f i l ing ins truc t ions . )

1 8 .

1 9 .

N O N E (N o reportable income, assets, or transactions.)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

( i nc l ud i ng t rus t asse t s ) r e p o r t i n g p e r i o d" (I) (2)

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

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

O) (2)V a l ue V a l ue

C o d e 2 M e t h o d( J - P ) C o d e 3(Q-w)

( 1 )T y p e ( e .g . ,buy, sell,

r e d e m p t i o n )

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

(2) (3) (4) (5 )D a l e V a l u e Gai n I d e n t i t y o f

rrmddd~ C o d e 2 C o d e I buyer / sl l e r(J -P ) ( A - H ) (if p r iv a te

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

7 ~ 40 1 ( k ) P l an D Dividend M T- John Hancock M oney Market Fund

20. - John H ancock Equity Income Fund

21 .22 .23 .24 .

- John Hancock Fundam entl Inv Fnd (fmrUS Large Cap Fund )o John Hancock AIM Sml Cap Growth (fmrEmerg Smal Co Fund )- John H ancock Sht Term Fed (fmr US GovtS e e s F u n d )- John Hancock Strategic Bond Fund

Merged(with line 26)

01/01/10

2 5. - J ohn Hancock ln t l Core Fund

26 .27 .28 .29 .30 .

- John H ancock Small Cap Growth Fund(Fmr All Call Growth )- John H ancock Mid Cap Stock Fund

P r o f i t S h a r i n gP l a nEmployees StockO w n e r s h ip P l a n

C i t i b ank i n t e r e s t b ea r i ng accoun t s A

Dividend

None

I n t e r e s t

J

J

K

T

T

T

I. I n co m e Ga i n Co d es :( SC olumns BI an d D 4)

2. Value Codes( See C olumns C I and D 3)

3. V al uc M et h o d Co d esISc e C olumn C 2 )

A =$1,000 or lessF=$50.001 - $100,000J=$15.000 ot lessN =$250.001 - $500.000P 3 =$25.000.001 . $50.000.0~1Q=AppraisalU =Book Value

B=$1,001 - $2.500G =$100.001 - $1.000.000K =$15.0OI - $50.0~O

R =Cos! |Real [ :stale Only)V =Olhcr

C =$2.501 - $5.0~0I I I = $ 1 . 0 0 O . 0 0 1 - $ 5 . 0 O Q . 0 0 0L =$50.001 - $ 1 0 Q . 0 O OP4 =More than $50.000.000

D =$5,001 - $15.000112 =More than $5,090.~00M =$100,001 - $250.000

P 2 = $ 5 . 0 ~ O . 0 O I - $ 2 5 ,0 0 0 . 0 O OT ~ Sazh Mar ket

E =$15.001- $50,000


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Name o f Pe rson Report ingS w a i n , L a u r a T .

Date of Repor t05/I 1/2011

V II I. A D D I T IO N A L IN F O R M A T I O N O R E X P L A N A T I O N S . (lndicatepartofrepor~)(Part VII, l ine 28) The investments of this prof i t sharing plan are not par t ic ipant -di rected and the posi t ions held by the plan are not reported in the sta tements i ssuedto par ticipants .(Part VII, l ine 30) The inves tments of this ESOP, which was es tabl ished in 2009, are not part icipant-directed.


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FINANCIAL DISCLOSURE REPORTP a g e 7 o f 7IX. CERTIFICATION.

Iame of Person Repor tingS w a i n , L a u r a T . Date of Report05/11/2011I c e r t i fy t h a t a l l i n fo rm a t i o n g i v e n a b o v e ( i n c l u d i n g i n fo rm a t i o n p e r t a i n i n g t o m y sp o u se a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a te , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f, a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp ro v i s i o n s p e rm i t t i n g n o n - d i sc l o su re .I f u r th e r c e r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nco mp l ian ce wi th the p ro v i s io n s o f 5 U.S .C. ap p . 501 e t . s eq . , 5 U.S .C. 7353, an d J ud ic ia l Co n feren ce reg ula t io n s .

Signatur e: S/Laura T. Sw ain

N O T E : A N Y I N D I VI D U A L W H O K N O W I N G L Y A N D W 1 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 L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V ILA 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)

C o m m i tt e e o n F i n a n c i a l D i s c lo s u r eA d m i n i s tr a t iv e O f f ic e o f t h e U n i t e d S t a t e s C o u r t sSuite 2-301O n e C o l u m b u s C i r c l e , N . E .Washington , D .C. 20544

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Laura T Swain Financial Disclosure Report for 2010