Thomas C Platt Financial Disclosure Report for 2009

8/3/2019 Thomas C Platt Financial Disclosure Report for 2009

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nO~0... " [ FINANCIAL DISCLOSURE REPORT n e p o r , R e q ~ t r e a b y t h e Z t m ~" in Gove~ment Act of 1978~. ~ / : 0 ~ 0 ~ FOR CALE~AR ~AR 2009 ( s u . s . c , a p p . f f f f 1 0 1 - I 1 1 )1. Person Rep ort ing (last name, first, middle initial) 2. Court or Organization 3. Date of ReportPLATT, THOMAS C, EASTERN DISTRICT OF NEW YORK 05/03/2010

4. T itle (Article 111 judges indicate active or senior stares; ~a, Report ~ype (~eck ~pp ropriate type) 6. Rep orting Periodmagistrate judges indicate full- or pard-time)t-"] Nomination, Date 01/01,2009

U.S. DISTRICT JUDGE (SENIOR) [] Initial ~[ff] A n n u a l [] Final to12,/31/20095b. [--] AmendedReport

7. Chambers or Office A ddress 8. On the basis of the information contained in this R ep ort and anymodifications pertaining thereto, it is, in my opinion, in complianceU.S. DISTRICT COUKT with app licable laws and regulations.P.O. BOX 9014CENTI~,,L ISLIP, NEW YORK 11722 Reviewing Officer Date

I M P O R T A N T N O T E S : 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 I~st page.

I . P O S I T I O N S . ~ p o . i .~ ~ . a ~ , , ~ a . ~ t o . ~ , ; ~ e p ~ , . ~ - . t s o f ~ U n g i .~ , , ~ . .~ o . s. )~ NO N E (No reportable positions.)POSITION NAME OF ORGANIZATION/ENTITY

1. Trustee U/W Charlotte Platt Lyman

I I . A G ~ E 3 ~ N T S . (Reporting individuul onlvz seepp. 14.16 offiling instruction~) ~ ~"" ~ ~ - ~ - ~~ N O N E (No reportable agreements.)

D A T ~ PARTIES AND TERMS


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FINANCIAL DISCLOSUR E R EPOR T i Name of P .....R ep o rt iag Date Of R ep or tPage 2 of 9 PLATT, T H O ! ! ,I A S C . 0 5 / 1 4 t 2 0 1 0

III. N O N - I N V E S T M E N T I N C O N I E . t R e ~ , o r , i . g individual and spouse; see pp. 17-24 of filing instructions.)A. Fi lers No n-Inves tme nt Incom e[] NONE (Noreportable non-investment income.)

]:)ATE S O U R C E A N D TYPE INCOME(yours, not spouses)

1. Trustee (Commissions i ]) $8,100.002.

3.

4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married daring anyportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E (No reportable non-investment income.)DA_D._&L~ SOURCE AND TYPE

1.

3.4.

I V . R E I M B U R S E M E N T S - transl~ortation , Iodglng, food, enlertai ..... t.(Includes those to spouse and d ependent children," see pp. 25-27 of filing instructions.)[ [ [ [ [ ] NONE (No repor table re imbursements . )

~ , D _ _ _ & T E ~ LOCATION PURPOSE ITEMS PA1D OR PROVIDEDi. Employment Law Seminar March 19, 2009 NYC Conference H, T, F, L

2. Judicial Colfference June 10, 2009 Boltons Landing, New Conference H & S, T, F, LYork3.

4.5.6.7.


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FINANCIAL DISCLOSURE R EPOR T ~ a m e o f P e r s o n R e p o r t in g I D a l e o f R e p o r tPage 3 o f 9 PLATT, THOMAS C.I

05/14/2010


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Iame o f P er son R epo r ting Date o f R ep o r tFINANCIAL DISCLOSURE R EPOR T[ P r ~ A r r , ~ I a o ~ I A S c .

Page 4 o f 9 o 5 ; ~ 4 / 2 o l o

V . G I F T S . W , c t .d e s , h o s . t o .~ , o ~ . ., , d d e , , , ,, , ,~ . , ,t children; s e e p p . 2 8 - 3 1 offiling instructions.)N O N E (No reportable giJts.)

SOURCE DESCPdPTION VALUEI.

3 .4.5 .

V I . L I A B I L I T I E S . :Includes those of sp ....... d dependent children; see pp. 32.33 of filing instructions.)N O N E (No reportable liabilities.)

CR EDITOR DESCR IP TION VALUE CODE1.2.3.4.5 .


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N a m e o f P ~ r s o a R e p o r t in g

I

D a t e o r R e p o r tF~CIALDI$CLOSU~ ~PORT[ PLATT, THOMAS C.age 5 of 9 0 5 / i 4 / 2 0 1 0

VII. IN~STMEN TS and TRU STS --i~o~ .... ~ , ~ ..... lions (fncludes those orsr .... .d dependent children; seepg. 34-60 of fillng instruction& )~ NONE (No reportable income, assets, or transactions.)

A. E. [ C. D .~seription of A~ets I n c o m e d u r in g ~ G ross value al end T r a n s a c t i o n s & ~ r i n g r e p o s i n g p e r i o d(including ~sI assets) reposing period of reposing peri~o) ~t (~) o) (~) ~ [ (~ (3) ~ a)~Place "~)" a~er each asset :~oumI T)ge(e.g., Value Value T~e(e.g., Date ~ V alue [ Gain Idegtityofe x e m p t f ro m p r i o r d is c l o s u r e ~ Code 1 ] div., rent, , C o d e 2 M e t h o d buy, sell, ~d~ ~ Co~ 2 ~: Code 1,: buyerlseller: (A-H) o r i n t . ) J ( J - P ) C o d e 3 r e d e m p t i o n ) (J-P) (A -H) ~ ( i f p r i v a t e(Q-~ ~ t r a n s a c t i o n )1 . A lls~ le C o~. C om mo n B Dividend K T2. Black & Decker Common A Dividend K T3. Canadian Pacific (Ltd.) Common A Dividend K T4. Coaoo Philips C Dividend M T5. Direct TV G roup lnc. None J T6. Discover Financial Services A Dividend J T7. Dup ont de Nemours Common A Dividend K T8. Ei Paso Corp. Common A Dividend K T9. Encana Corp. Common C Dividend L T

Exxon Mobil Common E Dividend P1 T1 1 . G eneralElectric Common E Dividend N T1 2 . Halliburtoo Co. Common D Divideod 0 Tt 3 . Hartford Fin. Serv. G roup Common A Dividend J T1 4 . Host Hotels & R esorts A Dividend J T1 5 . IBM. Common C Dividend M T1 6 . International Paper Co. Com~non A Dividend J T

1 7 . lIT Industries Common A Dividend J T

21 Value C~e$ J =$15,~0 or mess K =$15,001 - 150,~)0 L =$50,~1 - $I~,000 M =$100,~1 - 1250,000


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FINANCIAL D I SC L O SU RE REPORT[ PLATT, THOMAS C.age 6 of 9 o 5 / 1 4 / 2 o 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - inco.,e, ,,.l.e, tr..~.cao,~ a.e~.a,, t~o,~ , o/w o,,~ ~ a,p~.t c h i ld r e n ; s e e p p . 3 4 - 6 0 of f!li~g instructions.)NONE ~o reportable income, assets, or transactions.)

A. B. C. : D. ............Desc ription of ~sets Income during ~ G ross valne at e~d Tran~ctions dnring reposing period(including t~st assets)(repo~gl) .riod ~

of reposing pefi~ ]~ (2) (t) (2) 0) ~ 2 ) (3) (4) (5)

Pla~ "~)" after each asset .~ount T~e (e.g., Value Value Type (e.g., D ate Value G ain Jd~ntiD ofexemp t from prior ~selosure Code I div., r~t, Code 2 Method bny, sell. i ~/d~D, Code 2 Code I bnyer/selter(A-H) or int.) (J-P) Code 3 redemption) ~ (J-P) (A-H) (if private~ (Q-W) transaction

~8. Morg~ Stanley Common A Dividend K T1 9 . News Corp. Ltd. Preferred None J T

~ 2 0 Pepsico Common C Dividend M T 21. Progress Energy Common A Dividend J T22. Sears Holding None K T2 3 . Starwood Hotels Common A Dividend J T_4 . Sun Trust Common A Dividend J T25 . Yum Brands Common A Dividend K T26. UBS (Paine Webber) Cash Fund B lnt.,q)iv. PI T2 7 . Chase Bank A Interest L T

2 8 . US Series H Bonds B Interest M T2 9 . IRAs- Chase B Interest J T30.

3 1 . Trustee-Trust Aunt F Dividend Pl T3 2 . DirectTV G roup Inc.

3 3 . DuPontDeNemours3 4 . Exon Mobil Corp.

1. Income Gain Codes: A =$1,000 m less B =11,001 - $2,500 C =$2,S0~ - $5,000 D = $5,001 - $15,000 E =$15,001 - $50,000(See Columm B l and I)4) F =$50,001 - $10O,000 G ~$t00,001 - $1,000,000 HI =$1 ,O00,~OI - $5,000,000 |~2 =More than $5,000,0002. Value C0dea J =$L5,000 or less K =$15,001 - $50,000 L =$50.001 . $100.000 M =$100.O01 - $250.000(See Columns C1 and D3) N =$ 250,001 - $500.000 O = $500.00l - $ 1.000,000 P! ~$1,000.001 - $5,000,00~ P2 =$ 5.O00.001 - $25,000,000P3 =$ 25,000.001 - $50.000,000 p4 ~M ore than $50,000,0003, Value ~,t ~thod Codes Q =A ppraisal R =Cost (R eal Estate Only) S =Assessment T --Cash Market(See Colurtm C2) U -Book Value V =Otb~:r W =Estimated


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F I NA N C I A L D ISC L O SU R E R E P O R T N .... o f P e r s o n R e p o r t in gPage 7 of 9 PLATT , THOMAS C. 05/14/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . e , value, transactions (Includes those of spouse a n d a e p e . a e . t c h l t a r ~ . ; s e e v p . 3 4 - 6 o of . t i r ing ins truc t ions . )NONE (~ro reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s ~ I n c o m e d u ri n g G ross vaIue at end ] T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( i a ~ l u d i n g t r u s t a s s e t s ) l r e p o r t i n g p e r i o d i o f r e p o r t i n g p e r i o d: ( [ I ) ( 2 ) (I) (2)Place "(X)" a:[~er each assetm o u n l Type (e.g.,a l u e V a l u e T y p e ( e . g . , I D a t e i V a l u e G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e ~ C o d e I div., rent,o d e 2 M e t h o d i b u y , s e l l , l r n m / d d ~ y [ C o d e 2 C o d e I b u y e r / s e l l e r

IlA - H )or int) (JP) Code3[redempti~) i(Q-W)

3 5 . G enl Electric Co

3 6 . IntlPaper Co

3 7 . News Corp. Ltd.3 8 . Pepco Holdings, Inc.

3 9 . Raytheon Co CL A4 0 . Xc el Energy Inc. (formerly N thn StatesPower Minn)4 1 . UB S (Paine Webber) RMA -G ovt Cash Fund

4 2 . U.S. Treasury Note

4 3 .4 4 .

IIncome Gain Codes: A =$ 1,000 or les~ B = $1,091 - $2.500 C =$2.501 - $5,0A) D =$5,001 - $15~000 E =515,001(S ee C olum ns B I an d D 4 ) F ~$ 50 ,0 01 - $ 10 0,0 O0 O =$100,001 - $i ,000.000 H I ~$1,0~9,0{I 1 - $5,009,000 H2 =More than $5,000,0002 V alue Codes J =$15,000 or te~ K -~$15,001 - $50,000 L =$50,001 - $100,09D M =$100,0Ol - $~50.000I (See Columns C l and D3) N =$250,001 - SS00,000 O ~$ 501 ].0 01 - 51 ,0 00,0 00 P t = $1 ,0 ~O ,0 01 - $ 5,0 00 ,0 00 P2 =$5,(M)0,001 ~ $25,000,0~0, P3 -$25,000,001 - $50,~)0,000 P4 =Mo~ than $50~000,000! 3. Value Method Codes Q =Appraisal K =Cost (Rear Estate O~ty) S ~Assessmens T =Cash Market(Se~ Column C2) U =B ook Value V =Other W =Estimated


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FINANCIAL DISCLOSUR E REP OR T N ~ e o f P e r s o n R e p o r t in g D a t e o f R e p o r tPage 8 of 9 PLATT, T H O M A S C . 0 5 / 1 4 / 2 0 ] 0VIII. AI)DITIONAL INFORMATION OR EXPLANATIONS. a.dic.,,oa,

V. GiftsForbes Magazine annual subscription - a gift from Mr. Steve F orbes - value $59.95.VII. Investments and TrustsLines 3!-42: A co~ple of years ago, Conmaittee rep agreed with me, trust assets need ot~ly be disclosed - no further details required.


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FINANCIAL DISCLOSUR E REP OR T N ~ m e o f ~ e ,s o n a e p o , t i n g [ D ~ , e o f R e p o r tPage 9 o f 9 PLATT, THOMAS C.

[05/14/2010

IX. CER TIFICATION.I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my k nowledge and beliei; and that any information not repo rted was withheld because it met ap plicable statutoryprovisions permitting non-disclosure.I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are 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 INDIVIDUA L WHO KNOW INGLY A ND W ILFULLY FALSIFIES OR FA ILS TO FILE THIS REPORT MA Y BE SUBJECT TO CIVILAN D CR I~IINAL SANCT IONS (5 U.S.C. app. 104)

F 1 L IN G IN S T R U C T I O N SMail signed original and 3 additional copies to:Committee on Financial DisclosureA dministrative Office of the U nited States CourtsSuite 2-301One Columbus Circle, N.E.W ashington, D .C. 20544

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Thomas C Platt Financial Disclosure Report for 2009