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Rr?port Required by the Ethics FINANCIAL DISCLOSURE REPORT AOJO in Government Act of 1978
Rev, lllOJ:l. FOR CALENDAR YEAR 2011 (5 U.S.C. app. H 101-111)
I. Person Reporting (last name, first, middle Initial) 2. Coun or Organization 3. Date of Report
STRAUB, CHESTER J.
4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
CIRCUIT JUDGE - SENIOR ST A TUS
U.S. COURT OF APPEALS, 2ND ClR
Sa. Report Type {check appropriate type)
D Nomination Date D Initial Ill Annual D Sb. D Amended Report
Final
04/2012012
6. Reporting Period
01/01/2011
to
12/3112011
7. Chambers or Office Address
UNITED STATES COURTHOUSE 500 PEARL STREET NEW YORK, NY 10007
IMPORTANT NOTES: The instructi"ns acc"mpanying this /"rm must be f"llowed. Complete all parts, checking the NONE box for each part where you have no reportable information. Insert signature on fast page.
I. POSITI 0 NS. (Reporting individual 011/y; see pp. 9-11 of filing instructions.)
[Z] NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
I.
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4.
5.
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JI. A GREE MENTS. (Reporting individual on(v; see pp. 14-16 of filing instruction.)
[Z] NONE (No reportable agreements.)
PARTIES AND TERMS
1.
2.
3.
SOURCE PURPOSE PROVIDED
Date of ReportName of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 2of18 04/20/2012STRAUB, CHESTER J.
III. N 0 N-INVESTMENT JN CO ME. (Reporting individu11/ 11nd spouse; see pp. 17-24 of filing instructions.)
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
SOURCE AND TYPE INCOME
(yours, not spouse's)
I. 2011 NYS RETIREMENT SYSTEM (RETIREMENT BENEFIT) $6,274.00
2.
3.
4.
B. Spouse's Non-Investment Income - I/you were married during anJ portion of the reporting year, complete this section. (Dollar amount not req11ired e.rc:eplfor honoraria.)
[{] NONE (No reportable non-investment income.)
SOURCE AND TYPE
1.
2.
3.
4.
JV. REIMBURSEMENTS - transportation, /odging,food, entertainment. (Includes those 10 spouse and dependent children; see pp. 25-27 of filing instructions.)
[{] NONE (No reportable reimbursements.)
DATES LOCATION ITEMS PAID OR
!.
2.
3.
4.
5.
5.
FINANCIAL DISCLOSURE REPORT
Page 3 of18
Name of Person Reporting
STRAUB, CHESTER J.
Date of Report
04/20/2012
V. GIFTS. (Includes those lo spouse and dependent children; see pp. 18-31 offiling ins/ructions.)
[{] NONE (No reportable gifts.)
SOURCE
I.
DESCRJPTION VALUE
2.
3.
4.
VI. LIABILITIES. (Includes those of spouse and depe,,dent children; see pp. 32-33 of filing instructions.)
[{] NONE (No reportable liabilities.)
CREDITOR DESCRIPTION VALUE CODE
I.
2.
3.
4.
5.
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112. i
114. I
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(2) (I) (I) (5)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT 04120/2012STRAUB, CHESTER J.Page 4of18
VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1iutes 111ose of spouse and depe11den1 children; see PP 34-60 of filing ins1r11c1umsJ
D NONE (No reportable income, assets, or transactions.) A. B. c. D.
Description of Assets Income during Gross val11e at end Transactions during reporting period (including trust assets) of reporting period reporting period __JI!{I) (4)ValueValue Type (e.g., DateType (e.g.,
div., rent,
(2) (2) (3) Identity of Value GainPlace "(X)'' after each asset /
IAmount Code! Code2 Code ICode2 Melhod buy, sell, mm/dd/yyexempt from prior disclosure buyer/sellerI
(ifprivateCode3 redemption)(A-H) i or int) (J-P) (A-H)(J-P)II transaction)(Q-W)I
I. UfJDELITY INVESTMENTS0
2. NY ST DORM AUTH REVS CITY UNIV c Interest Redeemed 07/01/1 l L A CONS-5TII GEN-C MBIA 4/10/03
3. NEW YORK ST TWY AU SVC CONT B Interest Redeemed 04/01/ll L A REV LOC HWY & BRIDGE 8/15/95
4. BERKSHIRE HA THA WAY INC. CLASS None L TB 5. HEWLETT PACKARD COMMON B Dividend L T
6. ENZO BIOCHEM INC COMMON None J T i
7. HEALTH CARE PPTY INVS INC B Dividend L T COMMON
8. GREAT PLAINS ENERGY - KANSAS A Dividend J T CITY POWER & LJGHT COMMON
'9. IBM COMMON c Dividend M T
I! 10. GENERAL ELECTRIC COMMON A Dividend J T
1 11. LOCKEED MARTIN COMMON A Dividend J T I
EXXON COMMON A Dividend J T ! i 13. COMMONWEALTH REIT COMMON A Dividend J T (FORMERLY HRPT PROPERTIES I i TRusn
COHEN & STEERS REALTY SHARES A Dividend K T Buy 03/31/J l J (add 'l}
15. Buy 06/30/l l J (add'!)
16. Buy 09/30/l J J (add'!)
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l. Income Gain Codca: A =$1,000 or lc&s B =11,001 - S2.500 c =$2.501 - $5.000 D =$5,001 - Sl5,000 E=S15,001-$50,000 (See Columns Bl and 04} F =$50,001 - $100,000 G=SI00,001-$1,000,000 111.:s1.ooo,001 - S5,ooo,ooo 112 More thn $5,000,000
2 Value Codes J =SI 5.000 oc l
I
ADVISOR
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(2)
D.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT 04120/2012STRAUB, CHESTER J. Page 5of18
VII. INVESTMENTS and TRUSTS - income, alue, transactions tznc1w1es t1tose of spouse a11d dependent children; see PP 34-60 of fili11g instrucrions.J
D NONE (No reportable income, assets, or transactions.)
A. B. Gross val11e at end Transactions during reporting period Description of Assets Income during of reporting period (including trust assets) reporting period
(I) (2) (1) (2) (3) (4) (5)(1) I
!'
Place "(X)" after each asset Value Value Type(e.g., Date Value Gain Identity ofAmount Type(e.g., exempt from prior disclosure Code l div. rent, Code2 Method buy, sell, rnm/dd/yy Code 2 Code I buyer/seller
(A-H) or int,) (J-P) Code3 redemption) (J-P) (A-H) (if private
(Q-W) transaction)
17. Buy (add'!)
18. NEW YORK ST URBAN DEV CORP REV B Interest Redeemed CORP6.5%
19. FIDELITY MUNICIPAL MONEY A Interest M T MARKET
20. NEW YORK NY GO BDS SUBERIES 5% c Interest M T BOND
21. METROPOLITAN TRANSN AUTH NY c Interest L T 5.5%BOND
22. FORTE SCUE METALS GROUP LTD A Dividend J T COMMON
23. GOLDMAN SACHS GROUP INC A Dividend K T COMMON
24. WALMART STORES INC COMMON A Dividend K T
25. FIDELITY NY MUNl MM I A Interest K T I
26. EATON VANCE LG CAP FUND A Dividend Buy (add'I)
27. Buy (add'!)
28. Sold
29. FIDELITY INSTL TREASURY MONEY A Dividend Closed FUND
30. TEMPLETON GLOBAL BOND c Dividend L T Buy FUND (add'!)
31. Buy (add'I)
32. Buy (add'l)
33. Buy (add'!)
12/16/11 J
01/03/11 L
01/17/1I L
03/09/11 J
06/111 J L
03/21/11 M
01/20111 J
02/17/11 J
03/17/11 J
04/19/11 J
A
A
I. Income Gain Codes; A =SI ,000 or less B=Sl.001-$2,500 C =S:Z.SO 1 - $5,000 o ss,001 - s15,ooo E =SIS,001 - SS0,000 (See Columns Bl ond 04) F =$50,001 -$100,000 G =$100,00! - Sl,000,000 HI =SJ,000,001-SS,OOO,OOO 112 =More tl1an SS,000.000
2. Value O>dcs J =$ JS,000 or less K = lS,00! - SSO,OQO L =SS0,001 -$100,000 M =SI00,001 - $250,000 (Sec Column> Cl and 03) N =$250,001 - $500,000 0 =SS00.001 - Sl,000,000 Pl =Sl,000,001 -SS,000,000 P2 =$5,000,001 - $25.000.000
(I) (2) (I) {2) {1) (2) (3)
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(J-P) (A-H)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 6of18 04/20/2012STRAUB, CHESTER J.
VII. INVESTMENTS and TR us TS - income, value, transactions (Includes t/10.
(I) (5) I
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A.
(J) (3)
!-i. Jncome Gain Code&:---------- A -st,Ooo or; - -
Date of Report Name of Persoo Reporting FINANCIAL DISCLOSURE REPORT 04/20/2012STRAUB, CHESTER J, Page 7of18
VII. INVESTMENTS and TRUSTS - income, alue, transac11ons (lnciuues 111ose of spouse ant1 dependent chitdren; see PP 14.r.o offiting in. trucrions.J
D NONE (No reportable income, assets, or transactions.)
Description of Assets
B. c. D.
Income during Gross vaI11e at end Transactions during reporting period
(including trust assets) reporting period of reporting period
(2) (2) (1) (2) (4) Type(e.g., DatePlace "(X)" after each asset Amount 1 TYPe(e.g., Value Value
Code l buy, sell, mm/dd!YYexempt from prior disclosure div., rent, Code2 Method redemption)Code3(A-H) I or int.) (J-P)
(Q-W)
51. BLACKROCK EQUITY DIV FUND B Dividend L T Buy 06/1/1I
52. Buy 7121/11 (add'!)
Value Gain Id entity of
Code2 Code 1 buyer/seller (J-P) (A-H) (ifpnvate
transaction)
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53. Buy 10/20/11 J (add'!)
54. Buy 1218/11 J (add'!)
55. AMERICAN GROWTH FUND OF A Dividend K T Buy In/II K AMERICA
56. Buy 12/21/11 J (add'l)
57. ROYCE TOTAL RETURN FUND A Dividend K T Buy 1/7/11 K
