0 p p financial disclosure repo - judicialwatch.org · on the basis of information contained in...

POSITION NAME OF ORQANIZATION/ENTIIY

f.8.B.IIES AND TERMS

(")

'1 0

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L..JI

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4.

., 'P equired by the Ethics FINANCIAL DISCLOSURE REPOt:A010 . • • · vernment Act of 1978

Rev. 112006 FOR CALENDAR YEAR 2005 · . · u.s.c. opp.§§ 101-111) 0 p I. Person Report! ng Out name, first, middle initial)

Elfvin, John T

2. Court or Organization

U.S.D.Cl, W.D.N.Y.

3. Date of Report

05/2212006

4. Title (Article Ill judges in!licate active or senior status; magistrste judges ind.late full- or part-time)

U.S.D.J. (Sr.)

5a. Report Type (check appropriate type)

D Nomination. Date

D Initial Annual D Final

6. Reporting Period

01/01/2005 to

12/31/2005

5b. D Amended Report

7. Chambers or Office Address.

68 Court Street Buffalo, NY 14202

8. On the basis of the Information contained In this Report and any modifications pertaining thereto, it ls, la my opinion, In compliance with applicable laws and regulations.

Reviewing Officer Date

IMPORT ANT NOTES: The instructions accompanying thir form must be followed. Complete all parts, checking the NONE box for each plll"t where you have no reportable information. Sign on last page.

I. POSITIONS. (Reporting lndMdual only; see pp. 9-JJ of instructions.)

0 NONE (No reportable positions.)

I. Co-Trustee Trust underLW&T

2. Director Allen F. Pierce Foundation

3.

0 - = =5. (/)

i:._r--,, c::: mo- :;::::(/):?.: (')c:::t> I:::v -.J mfTJ(J -oj;;

II. AGREEMENTS. (Reporting individual only; see pp. U-16 of instructions.) -.,.,r- )> < -[RJ NONE (No reportable agreements.) - m

rr1 0

I.

2.

3.

SOURCE AND IYPE

SOURCE AND TYPE

SOURCE DESCRIPTION

INCOME

5.

4.

I.

FINANCIAL DISCLOSURE REPORT

of21

Name of Penon Reportia11

Elfvin, John T

Date or Report

0512212006

III. N 0 N-INVESTMENT IN COME. (Reporting individual and spouse; see pp. 17-14 of Instructions.)

A. Filer's Non-Investment Income

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

I.

(yours, not spouse's)

2.

3.

4.

B. Spouse's Non-Investment Income - I/you were ma"led during any portion of the reporting year, complete th& section.

(Dollar amount not required except/or honoraria.)

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

I.

2.

5.

IV. REIMBURSEMENTS -trtznsportalWn, lodging,food, entertalnmen4

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

NONE (No reportable reimbursements.)

2.

3.

4.

5.

SOURCE DESCRIPTION

CREDITOR DESCRIPTION

VALUE

VAWECODE

4.

5.

Name of Person Reportln& Date of Report FINANCIAL DISCLOSURE REPORT

of21 Elfvln, John T 0512212006

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

IBJ NONE (No reportable gifts.)

I.

2.

3.

5.

VI, LIABILITIES. (lncludu those of spouse and dependent children.. See pp. 32-34 of Instructions.)

NONE (No reportable liabilities.)

I.

2.

3.

4.

Name of Person·Reportin1 Date or ReportFINANCIAL DISCLOSURE REPORT

of21 Elfvin, John T 05/2212006

VII. INVESTMENTS and TRUSTS -Income, volue, tnlnsactions (111t:liula those oftlrespouse and dependmt children. Su PP. 34-57 ofjiUng Instructions)

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

A. Description of Assets

(including trust assets)

Place "(X)" after each asset

exempt from prior di"."Josure

B.

Income during reporting period

c.

Gross value at end of reporting period

D.

Transactions during reporting period

(I) (2) (I) (2) (I) lfnot exempt from discl"'1lre

Amount

Code I

(A-H)

Typo(e.g. div., rent,

or inl)

Value Code 2 (J-P)

Value Method Codo3

(Q-W)

Typo(e.g. buy, sell, merger, redemption)

(2) Dato Monlb-Day

(3) Value Code 2 (J-P)

(4) Gain Code I

(A-H)

(S) Identity of buyer/seller

(ifprivate transaction)

I. Dupont 3 .50 Pfd B Dividend K T

2.

3. Bank of America MM - fonnerly Fleet - A Interest M T Jt acct

4. Bank of America Ckg- fonnerly Fleet Jt. A Interest K T acct

..

5. Energy East -Cmn. A Dividend J T

6. Mfrs & Traders Tr - Svgs A Interest K T

7.

8.

9.AT&TCmn A Dividend T merger 11129 L A

JO. Mechanicville NYC Sch. Dist 5.00 c Interest L T

11. Bank of NY-Cmn E Dividend 0 T

12.

13. Bell South -Cmn B Dividend K T

14.Chevron Texaco D Dividend M T

15. DTE Energy -Cmn B Dividend K T

16. Eastman Kodak -Cmn A Dividend K T

17. Gen. Elec. -Cmn D Dividend 0 T

I. Income Gain Codes: A =S 1.000 orl""" B =$1,001 -$2,500 c -$2.501 • $5,000 0=$5,001 -$15,000 E =$15,001 -$50,000

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

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

(See Colwnns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl -Sl,000,001 -$5,000,000 P2-S5,000,00I -$25,000,000

3. Value Mclhod Codes P3 =$25,000,001 -$50,000,000 R -C0>t (RealEstate Only) P4 =Mo,. than $50,000,000 T =Cash Marlcct (Sec Column C2) Q •Appraisal V-othcr S•Ancssmcnl

U =Book Value Wz&timatcd


of21

Name ofPerson Reportln1

Elfvln, John T

Date of Report

05/2212006

VII. INVESTMENTS and TRUSTS -income, villue, lnlnsaaions (lncllllks those o/thespousetlnd dqnndenl children. See PP. 34-57 o/fUing instructh>ns)


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) (2) (I) (2) (I) If not exempt from disclosuro

Place "(X)" after each asset Amount Type(e.g. Value Value Typc(e.g. (2) (3) (4) (5) exempt from prior disclosure Code I div., rent. Code 2 Method buy, sell, Date Value Gain Identity of

(A-H) or ioL) (J-P) Code 3 merger, Month- Code 2 Code I buyer/seller

(Q-W) redemption) Day (J-P) (A-H) (if private

transaction)

18.IBM-Cmn c Dividend N T

19. International Paper-Crim A Dividend K T

20. Mineola NY Unfree SD 5.00 B Interest L T

21. JP Morgan Chase -Crnn E Dividend N T

22. Scudder Gr. & Inc-Crnn A Dividend K T

23. Sears Roebuck- Cmn. A Dividend K T partial sale 3/30 J D

24. merger 417 J A

25. NYS Env. FACS Clean Wtr. & Drink B Interest L T 5.000

26. Triboro Brdg. & Tun! 5.00 c Interest L T

27. Whirlpool - Cmn B Dividend L T

28.

29. Key Bank Savings A Interest L T

30.

31. Buffalo Water Fin. of 5.5 Bond B Interest T Redemption 7/1 K A

32 .

33.

34.

I. Income Gain Coda: A =$1,000 or lcss B-S l,001 -$2,500 c =$2,501 -$5,000 0=$5,001-$15,000 E=$15,00 l -$50,000

(Sec Columns BI and 04) F=$50,001 -$100,000 G -SI00,001 41,000,000 HI -s1,ooo,001 -s5.ooo,ooo H2 •Moro than $5,000,000

2. Value Codes I =$15,000 or lcsa K=$15,001 -$50,000 L --$50,001 - $100,000 M •$100,001 - $250,000

(Sec Columns Cl and 03) N =$250,001-$500,000 o-s500,001-s1,ooo.ooo Pl =Sl,000,001-$5,000,000 P2=$5,000,001 -$25,000,000

3. Value Mclhod Coda Pl =$25,000,001 -$50,000,000 R =Coot (Real Estate Only) P4 =Moro than $50,000,000 T=CashMarlcet

(Sec Column C2) Q •Appraisa l V=Olher s -Assessment U=BookValuc W •Estimated

35.

37.

40.

Date or ReportName or Person Reportlnc FINANCIAL DISCLOSURE REPORT

of21 05/2212006 Elfvtn, John T

VII. INVESTMENTS and TRUSTS -wome. value. 1ransoaions finctudes those a/me spouse and dq1enden1 children. seePP. 14-s1of.filing1nstructiansJ

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

D.

Description of Assets

(inclu d i ng trust a s sets}

Pl ace "(X)" after each asset

exempt from prior disclosu re

B. Income during reporting period

c. Gross value al end of

reporting period T ransactions du ring reporti ng period

.A

{I) (2) (I} (2) (I) If not excmpl liom disclosure

Amou nt CodeI (A-H)

Type(e.g. div., rent, or inl)

Value Code2 (J-P}

Value Method Code3

(Q-W)

Type (e.g. b uy, sci merger,

redemption)

(2} Date Mon th-Day

(3) Value Code2 (J-P}

(4} Gain Code I

(A-H)


(if private transaction}

36.

38. -

39.

41. NYS Med. Care (St. Peters) 5.375 bond c Interest L T

42.

43. Eastman Chemical A Dividend K T

44.

45: NYS DA Revs 5.5 Bond B Interest K T

46. NYS Med. Care (St. Lukes) 5.625 bond B Interest T Redemption 12121 K B

47.

48.

49. Allstate Corp. B Dividend K T

50. SBC Comm. c Dividend T merger 11123 J A

51. Burlington & No SF A Dividend K T

I. Income Gain Codes: A =$I ,000 or less B =$1,001 • $2,500 C •S2,501-S5,000 0=$5,001 ·$15,000 E=$15,00I -$50,000

(See Columns BI and 04) F =$50,001-$100,000 G =$100,001 -Sl,000,000 HJ =$1,000,001 -SS,000,000 112 =Mor< lhan $5,000,000

. 2. Value COO.. J =SIS,000 or less K=$15,001 -$50,000 L =$50,00t -$100,000 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 =$5,000,001 -$25,000,000

3. Value Mclhod Codes PJ =$25,000,001 -$50,000,000 R =Cost (Real Eslaic Only) P4 •More lhan $50,000,000 T =Cash Markel (See Column C2) Q•Appraisal V=Othcr s =AJscssmout

U =Book Value W =Estimated

55.

57.

FINANCIAL DISCLOSURE REPORT Name or Penon Reportin& Date or Report

of21 ElfVin, John T 05/2212006

VII. INVESTMENTS and TRUSTS -incom11, .a1,.,,, transactions (Includes those ofmespouseand dependent children. su PP. 1-1-s1 of filing instructions)


A .




exempt from prior disclosure

52. E. Glenville FB 5.6 Bond

B.

Income during

reporting period

c.

Gross value al end of

reporting period

D.


(I) (2) (I) (2) (1) !foot exempt fiom disolosure

Amount

Codc l

<A-H)

Typc(c.g.

div., rent, or int)

Value

Codc2

(J-P)

Value

Method

Codc3

(Q-W)

Typc(c.g.

buy, sell,

merger,

redemption)

(2)

Date

Month-

Day

(3) Value

Codc2

(J-P)

(4) Gain

Code 1 (A-H)

(5) Identity of

buyer/seller

(if private

transaction)

c Interest L T

53. Erie Co. 5.6 Bond c Interest L T

54. Monroe Cty. Wtr. Auth. 5.25 bond c Interest L T

56. NYS Prof. Fin ag. HUD 4.85 bond A Interest T Redemption 1/28 K D

58. N. Bellmore UfSd 5.625 bond B Interest K T Part. Redemp 813 K A

59.

60. Lucent - Cmn None J T

61. NYS dorm (St Univ. Fae) 5.25 bond c Interest T Redemption 7/1 L B

62. NYS HFA - Rev -RFDG 5. 75 bond c Interest L T

. 63.

64. NYS Thruway 5.25 bond B Interest K T

65. NYS Utban Dev. 5.25 Bond B Interest K T

66.

67.

68. Yonkers B/E 5.125 bond B Interest K T

I. Income Gain Codes: A =Sl,000 or Jess B =$1,001 -$2,500 C•S2,501-SS,OOO D=SS,001-SIS,OOO E=SJS,OOJ -SS0,000 (See Columns BI and 04) F =SS0,001 -$100,000 G=SI00,001-$1,000,000 HI =$1,000,001 -SS,000,000 H2 =Mon: than SS,000,000

2. Value Codca J =SJS,000 orless K'.' IS,001-SSO,OOO L =SS0,001 -$100,000 M •$100,001 -$250,000 (Sec Columns Cl and 03) N =$250,001 -SS00,000 0 =SS00,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =SS,000,001 -$25,000,000

3. Value Method Codes P3 -$25,000,001 -SS0,000,000 R '"Cost (Res! Esta!e Only) P4 =More than $50,000,000 T-Cash Marlcct (Sec Column Cl) Q=Appnisal V-Clther s •Assessment

U •Book Value w =Ertim>tcd

-·

70.

Name or Person Reportin1 Date or Report FINANCIAL DISCLOSURE REPORT

of21 Elfvln, John T 05/22/2006

VII. INVESTMENTS and TRUSTS - Income, value, tronstlClions (incluks those of th.spouse anddq1enden1 chUdren. Su pp. 34-57 of filing instructions)


A.





B. Income during

reporting period

c. Gross value at end of

reporting period

D.


(I) (2) (I) (2) (I) If no< CJ<en.,I from disclosure

Amount

Code I (A-H)

Type (c.g. div ., rent,

or int)

Value

Codc2

(J-P)

Value

Method

CodcJ

(Q-W)

Typc(c.g. buy, sci

merger,

redemption)

(2) Date

Month-Day

(3) Value

Codc2

(J-P)

(4) Gain

Code I

(A-H)


(if private

transaction)

69. Gallaher D Dividend M T

71. NYS Dorm (Barnard) 5.25 bond B Interest K T

72. NYS Dorm (Cornell) 5.4 bond B Interest K T

73. NYS Dorm (Ment Hlth.) 5.3 bcind c Interest L T

74. NYS Dorm (Ment. Hlth.) 5.0 bond c Interest L T

75. NYS Dorm (St Jos. Hosp.) 5.25 bond B Interest K T

76. NYS Loe. Gov'I Asst. 5.32 bond B Interest K T

77. NYS Loe. Gov't Asst. 5.375 bond c Interest L T

78. NYS Thruway 5.0 bond c Interest M T

79.

80. Troy MAC 5.0 bond B Interest K T

81. Citigroup - Cmn D Dividend N T

82.

83. First Union - Wachovia E Dividend 0 T

84. Morgan Stanley DW A Dividend K T

85. Fortune Brands c Dividend M T Spin Off 8124 M A

I. Income Gain Codes: A c::SJ,000 or less B •$1,001-$2.SOO C -Sl.501 • SS,000 D=SS,OOl-SIS,000 E =SIS,001 -SS0,000

(Sec: Columns BJ and 04) F -sso.001 -s100,ooo G =$100,001 -$1,000,000 HI =Sl,000,001 • SS,000,000 H2-Mo.. than SS,000,000

2. Value Codes J -SIS,000 orlcu K •SIS,001 -SS0,000 L-SS0,001 -$100,000 M •$100,001 - $250,000

(Sec: Columns Cl and 03) N -$250,001 -SS00,000 0 =SS00,001 -$1,000,000 Pl a.$1,000,001 -SS,000,000 P2 -SS,000,001 -$25,000,000

3. Value Method Codes Pl -S2S,000,001 • SS0,000,000 R -cost (Real Esta!e Only) P4 •Moio than SS0,000,000 T-c..ti Marb:t (See Cohunn C2) Q•Appraisal V-other s -Asscumcnt

U •Book Value W•Estimated

A.

-

97.

Name of Person Reportiac Date of Report FINANCIAL DISCLOSURE REPORT

of21 Elfvln, John T 05/2212006

VII. INVESTMENTS and TRUSTS -wo"'e. vaJ,,e. tronsadlons (inctiu1a 111ose ofmespouse am1depenJent clrildr•n. supp. 14-s1 of filing instrgct1onsJ


Description of Assets (including lrust assets)


exemp t from prior d is closure

B.

Income d u ring r eporting period

c.


D. Transactions during repor ting period

(I) Am ou nt Code I (A-H)

(2) Type(e.g. div., rent,

or int)

(I) Value

Code2 (J-P)

(2) Value

Method Code3 (Q-W)

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

If Dot exempt fiom disclosure

(2) Date M onth-Day

(3) Value Code2

(J-P)

(4) Gain CodeI (A-H)


(if private transaction)

86. Albany Co. Airport 4. 75 bond B Interest L T

87. Buffalo Mun. Water 4.625 B Interest L T

88. LI Power Authority 5.0 bond A Interest K T

89. Metro trans. Auth 5.0 bond B Interest K T

90. NYS Donn Auth. Res. Hosp. 4.75 bond B Interest L T

91. NYS Donn Auth. (Vassar) 5.25 bond c Interest L T

92. No. Colonie (KSD) 4.9 bond c Interest L T

93. Otsego Co. IDA 5.125 bond c Interest L T

94. Otsego Co. IDA 5.125 bond c Interest L T

95. Constellation Energy - Cmn B Dividend L T

96. Exxon/Mobil - Cmn. E Dividend 0 T

98. Nassau Co. 5.1 bond c Interest L T

99. NYS Com. Adv. 5.125 bond c Interest L T

100. NYS SER 5.00 bond c Interest L T

IOI. NYS Donn (City Univ.) 5.00 bond B Interest L T

102. NYS Dorm (Ment Hlth.) 5.00 bond c Interest M T

I. Income Gain Codes: (Sec Columm Bl and 04)

2. Value Codes (See Columm Cl and 03)

3. Value Method Codes (See Column C2)

A =Sl ,000 or less F =$50,001 -$100,000

1 =$15,000 or less N =$250,001 -$500,000

Pl-SlS,000,001 -$50,000,000

Q•Appraisal

U •Book Value

B =$1,001 -$2,500

G=SIOO,OOl-Sl,000,000

K =$15,001 -$50,000

0 •$500,001 -Sl,000,000

R =<Ast (R<ll Estate Only) V=Odier

c =$2,501 -$5,000

HI •$1,000,001 -$5,000,000

L-S50,001 -s100,ooo

Pl =SJ,000,001-SS,000,000

P4 •More than $50,000,000

S•As=smcot w•Estimated

D=SS,001-$15,000

H2 =More than $5,000,000

M-SI00,001 -$250,000

P2 -SS,000,001 -$25,000,000

T -ca.ii Maskct

E=SIS,OOJ -$50,000

Date or ReportName or Person Reportia& FINANCIAL DISCLOSURE REPORT of21 Elfvin, John T 05/2212006

VII. INVESTMENTS and TRUSTS -income. value. trtmsactioru ruu:1iu1a those ofthespous• am1 depen.un1 c1rudren. see pp. 1+.s1 of filing instructions)


A.



Place "(X)" after each asset exempt from prior disclosure

!03. NYS Donn (Mt. Sinai Med. Sch.) 5.00 D Interest M T bond

B.


c.


D.


(I) (2) (I) (2) (I) lfootcxcmpt fiom disclosuJc

Amount

Code I

(A-H)

Typc(e.g. div., rent,

or int)

Value

Code 2

(J-P)

Value

Method Code 3

(Q-W)

Type (e.g. buy, sell, merger,

redemption)

(2) Date Month-Day

(3) Value Codc2

(J-P)

(4) Gain Code I

(A-H)

(5) Identity of buyer/sell..-

(if private transaction)

!04. NYS Donn (No: Shore Hosp.) 5.25 c Interest L T bond

!05. NYS.Donn (Menl Hlth.) 5.00 bond c Interest M T

106. NYS Thruway 5.0 bond c Interest M T -

107. NY NY Ser D 5.25 c Interest L T

I 08. Clymer CSD 5.2 bond B Interest K T

I 09. Longwood CSD S.O bond B Interest L T

110. NYC Hlth & Hosp. 5.0 c Interest L T

111.

112.

113. NYS Env. Faes 5.0 bond c Interest L T

114. NYS Energy (Lilco) 5 .15 bond D Interest M T

115. NYS Thruway 5.0 bond B Interest K T

l l6. Yonkers 5.0 bond c Interest L T

117. Verizon - Cmn B Dividend K T

118. Exelon - Cmn B Dividend L T

119. Qwest Communiucations None J T

I. Income Gain Codes: A =S 1,000 or less B=Sl,001-$2,500 C =$2,501 - SS,000 D=SS,OOl ·SIS,000 E =StS,001 -SS0,000

(See Columns BI and 04) F-$50,001 • $100,000 G-SIOO,OOt-Sl.000,000 HI =$1,000,001 -$5,000,000 H2 •Mo than $5,000,000

2. ValucCodco J =$15,000 or less K •$15,001 -SS0,000 L-SS0,001 • $100,000 M =$100,001 • $250,000

(See Columns Cl snd 03) N =$250,001 - $500.000 0 =SS00,001 • $1,000,000 Pl -Sl,000,001 -$5, 000,000 P2 -S5,000,001 • $25,000,000

J. Value Method Codco Pl =$25,000.001 • $50,000,000 R -CO.I (Real Estate Only) P4 •Mo than $50,000,000 T =Cash Market (S<cColwnn C2) Q•Appnisal V--Othcr s •A5scasmcnt


A

(I)

(4)


of21

Name or Penon Reportin1

Elfvln, John T

Date or Report

0512212006

VII. INVESTMENTS and TRUSTS -inca,..., •"'ue. tnursactions rmcJw1a 1hosuf11re spouse 11114 dependent children. see PP. 14-s1 a/filing ins1r11ctionsJ


A. B. c. D. Description of Assets Income during Gross value at end of Transactions dlD'ing reporting period

(including trust assets) reporting period reporting period

Ifnot exempt fiom disclosure (I) (I)(2) (2) Amount ValuePlace "(X)" after each asset Value Type (e.g.Typc(e.g. (3)(2) (5) Code I div., rent, Methodexempt from prior disclosure Code2 buy, sell. Value GainDate Identity of (Ml) or int) Code 3 merger,(J-P) Month- Code2 Code I buyer/seller

rcdcroption) Day (ir°privatc transaction)

(Q-W) (A-H)(J-P)

120. Dominion Resources - Cmn D Dividend M T

121.

122. BP PLC (fonnerly ARCO) c Dividend M T

123. Long Island Power 4.75 c Interest L T

124. Peru CSD 4.625% c Interest M T

125. Albion CSC 5.00% c Interest M T

126.

127. New York NY Ser. G 5.0 c Interest L T

128. NYC Mun. Wtr. 5.375 B Interest K T

129.

130. New York State 4.75 % (1111123) c Interest L T

131. NY NYC Trans Fin Auth 5.00 c Interest L T

132. NYS Donn Auth. (Fordham) 5.00 c Interest M T

133. NYS Donn Auth. Rev. SID Fing Ser c Interest L T 5.00

134. Comcast Corp. Cl. A. - Cmn (PPE) None J T

135. Pepco Holdings Inc. - Cmn A Dividend J T

136.

J. Income Gain Codes: A •$1,000or I..,. B =Sl,OOl -S2,500 C •$2,501 -SS,000 D=SS,001 -SIS,000 E =$15,001 -$50,000 (SecCoJwnn. Bl and 04) F >$50,001 -$100,000 G =SIOO,OOl -Sl,000,000 JI] =$1,000,001 -$5,000,000 H2 -More than $5,000,000

2. Value Codco J =$15,000 orlcsa K -Sl5,00I -$50,000 L =SS0,001 -SI00,000 M=SI00,001-S2SO,OOO

(Sec Cohunn. CJ and 03) N =$250,001 -S500,000 O=S500,00l ·Sl,000,000 Pl =$1,000,001 -$5,000,000 P2 =SS,000,001 • $25,000,000

3. Value Method Codes Pl =$25,000,00 I -$50,000,000 R =Cost (RealEstate Only) P4 •More than $50,000,000 T-Casb Market (See Colwnn C 2) Q=Appniisal V-Gthcr S=A5scmncnl

U •Book Value W•Estimaled

A.

Date of Report Nome of Penoa Reporting FINANCIAL DISCLOSURE REPORT

of21 05/2212006EIMn,JobnT

VII. INVESTMENTS and TRUSTS - income. value, rransar:Jions (inctw1a those of thespo.,,,eant1 dependent child,.,. see PP. 1-1-s1 otfitin,"w1r11ct1onsJ


Description of Assets (including trust assets)



B. Income during

reporting period


reporting period

D.


(I) (2) (I) (2) (I) Ifnot ex from disclosure

Amowit

Code I (A-H)

Type (e.g.

div., rent,

or inL)

Value

Code 2 (1-P)

Value

Method

Code 3

(Q-W)

Type(e.g. buy, sell,

merger.

redemption)

(2)

Date

Month-

Day

(3)

Value

Code 2 (1-P)

(4) Gain

Code I (A-H)

(S) Identity of

buyer/seller

(if private

transaction)

137.

138.

139.

140. AT&TCmn. A Dividend T Merger 11129 J A -·

141. BP - Amoco -Cmn c Dividend M T

142. Bell South A Dividend J T

143. Dupont - Cmn. B Dividend K T

144. Bank of America- Money Market A Interest J T

145. Bank of America - Savings A Interest M T

146.

147. Ford Mtr. - Cmn A Dividend J T

148. Gen Mtrs. - Cmn A Dividend J T

149. Halliburton - Cmn A Dividend K T

150. IBM -Cmn D Dividend 0 T

151. Lockheed Martin - Cmn c Dividend N T

152. Lucent Technologies - Cmn None J T

153. Comest Corp. Cl A - cmn None J T

I. Income Gain Codes: A=$ 1,000 or less B =$1,001 -$2,500 C -$2,501 -SS,000 o-s5,001 -Sl5,ooo E=S15,00l -S50,000

(Sec Columns BJ and 04) F =$50,001 - $100,000 G=SIOO,OOJ-$1,000,000 HI -Sl,000,001 -$5,000,000 H2 =Moro than $5,000,000

2. Value Codes J =$15,000 or less K -Sl5,00J -$50,000 L-SS0,001 -$100,000 M =SIOO,OOJ -$250,000

(See Columns CJ and 03) N •$250,001 -$500,000 0 =$500,00J -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 -S5,000,00J -$25,000,000

3. Value Method Codca Pl "'$25,000,001 • $50,000,000 R =Cost (Real Estate Only) P4 •More than $50,000,000 T =Cash Mukct (See Column Cl) Q=Apptllial V-<lthcr s •Asscssmcut


-

Name or Penoa Reportla1 Date or Report FINANCIAL DISCLOSURE REPORT

of21 0512212006i1fvln, John T

VII. INVESTMENTS and TRUSTS -income. va1ue. tronslldions (includes 1hoseofthespousund dqmuJm1 chiUJnn. su PP. 1-1-s1 of filing w1ruct1ons;



{including trust assets)

Place "{X)" after each asset exempt from prior disclosure

154. Raytheon - Cmn A Dividend J T

B.


c.


D.


( I) (2) {I) (2) {I) lfno< exempt from disclosun:

Amount Code I (A-1-1)

Typc( e.g. div., rent,

or int)

Value Code2 (J-P)

Value Method Code3

{Q-W)

Typc{e.g. buy, sci merger, redemption)

(2) Date Month-Day

(3) Value Code2 (J-P)

(4) Gain Code I {A-1-1)

(5) Identity of buyer/seller ( if private transaction)

155. AT&T Inc. Com None ] T Merger 11129 J A

156. Partial Sale 12/12 ] A

157.

158.

159.

160. NYS Donn (Cornell) 5.4 bond B Interest K T

161. NYS Donn (Ment Hlth.) 5.0 bond A Interest ] T

162. NYS Donn (Vassar) 5.25 bond A Interest J T

163.

164.

165. Verizon- Cmn. A Dividend ] T

166. Delphi Auto - Cmn. A Dividend ] T

167.

168.

169. LI P ower Auth 5.0 bond B Interest K T

170. NYS Donn (RIT) 5.3 bond B Interest K T

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

(Sec Columns BI and 04) F =$50,001 -$100,000 G-SI00,001 -Sl,000,000 HI •Sl,000,001-$5,000,000 H2 •M.,. than $5,000,000

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

(Sec Columns Cl and DJ) N "1250,001 -$500,000 0=$500,001-Sl,000,000 Pl -Sl,000,001 -$5,000,000 P2 =S5,000,00I -$25,000,000

3. Value Method Codca P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 •More than $50,000,000 T=CashMarlcct (Sec Column C2) Q•Appraisal V=Othcr s •AsJcssmcnt

U •Book Value w •Estimated

L=- -

mpt

Date or Report Name or Person Reportia1 FINANCIAL DISCLOSURE REPORT

of21 05/2212006Elfvln, John T

VII. INVESTMENTS and TRUSTS - lncom., V<UU .. transaCIWns (mcluJa those of the spouse and dqendent clrildrtlL Su PP. 34-57 of filing instruCIWns)


A.



from prior disclosure

B.

Income during

n:porting period

c.

Gross value at end of

reporting period

D.

Transactions during n:porting period

(I) (2) (I) (2) (I) If not cxCIJl>l from disclosure

Amount

Code I

(A-fl)

Typc(e.g. div., n:nt,

or int)

Value

Code 2 (J-P)

Value

Method

CodeJ (Q-W)

Typc(e.g. buy, sci merger,

redemption)

(2)

Date

Mondi-

Day

(J) Value

Code 2 (J-P)

(4) Gain

Code I

(A-H)

(S) Identity of

buyer/seller

(if private

transaction)

171.

172. Foot Locker Inc. - Cmn A Dividend J T

173. Evergreen Fund Dividend transfer Ill J A

174. NYC Metropolitan 5.0 B Interest K T ..

175. Electronic Data Sys Coip. NEW - A Dividend J T Cmn

176.

177.

178. Eastman Chemical - Cmn A Dividend J T

179. Emerson Elec. - Cmn B Dividend K T

180. General Electric - Cmn D Dividend N T Part Donate 6129 K A

181. Gallaher Group - Cmn D Dividend N T

182. Fortune Brands - Cmn. c Dividend M T partial sale 6/1 J D

183. Part Donate 6/29 L A

184. Spin Off 8/24 J A

185. Eastman Kodak- Cmn. A Dividend K T

186. General Motors - Cmn. B Dividend K T

187. Whirlpool-Cmn B Dividend L T

I. Income Gain Codes: A -Sl,000 or lcss B =Sl,001 -$2.500 c -s2,501 -·s5,ooo D =$5,001 -$15,000 E =SIS,001 -SS0,000 (See Columna BI and 04) F-$50,001 -SI00,000 G "'5100,001 -$1,000,000 Ill =$1,000,001 -$5,000,000 H2 =Mo,. than SS,000,000

2. Value Codes J "115,000 or leas K=$15,00J -S50,000 L•$50,00I -SI00,000 M -SI00,001 -$250,000 (See Columna Cl and 03) N •$250,001 -$500,000 O =SS00,001 -Sl,000,000 Pl -Sl,000,001 • $5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes Pl •$25,000,001 -$50,000,000 R =Cost (Real E.tatc Only) P4 =Moro than $50,000,000 T =Cash Market (See Column CZ) Q•Appnisal V=Other s -AJsemncnt

U •Book Value w =Estimaled


of21

Name or Person Reportln&

Elfvin. John T

Date or Report

0512212006

VII. INVESTMENTS and TRUSTS - u.co111e. value. trtuuaetions (inc1wa 11tose of11te spouse and dqnnden1 c1tildre1L seepp. J4-s1 off.ung u.s1ruawnsJ

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


(i ncluding trust a s sets)

Place "(X)" after each asset exem pt from prior disclos ure

B.

I ncome du ring reporting period

c.

Gross value at end of reporting peri od

D.

Tra n sactions during reporting period

(I) (2) {I) (2) (I) If no< cxCll!jll linm disclosure

Amount C ode I (A-H)

Type(e.g. div.• rent, or int)

Value Code2 (J-P)

Value Method Code3

(Q-W)

Typc(e.g. buy, sell, merger, redemption)

(2) Date Month-Day


(4) Gain Code I (A-H)

{5) Identity of buyer/seller

(i f priva te transaction)

I 88. IBM - Cmn c Dividend N T

189.

190.

191. Raytheon - Cmn. A Dividend J T

192. Bristol Myers - Cmn. B Dividend K T

193.

194. Chevron Texaco c Dividend M T

195.

196.

197. AT&T-Cmn A Dividend T merger 11/29 J A

198.

199. Bell South - Cmn. c Dividend L T

200. DQE Inc. - Cmn. c Dividend K T

20 I. DTE Energy - Cmn. c Dividend L T

202. Energy East - Cmn D Dividend M T

203.

204. Bank America - Cmn. E Dividend N T partial sale 1/25 K D

I. Income Gain Codes: A =SJ ,000 or Jess B a$J,OOI -$2,500 C =$2,501-SS,OOO D=S5,00J -$15,000 E-Sl5,00I -$50,000

(Sec Columns BI and 04) F -$50,001 -SI00,000 G=SJOO,OOJ-Sl,000,000 Ill =SJ,000,001 -$5,000,000 H2 •More than $5,000,000

2. Value Codes J =$15,000 or Jeu K=S15,00J -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(Sec Columns CJ and 03) N -S250,00 I -$500,000 o •$500,001 -Sl,000,000 Pl -Sl,000,001 -SS,000,000 P2 •$5,000,001 -$25,000,000

3. Value Method Codes Pl =S25,000,00J -$50,000,000 R =Cost (Real Estate Only) P4 -More than $50,000,000 T-cashMarlcet (Sec Column C2) Q•Appraisal V=Othcr s •Aucssmcut

U =Book Value w •Estimated

Name or Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT

of21 Elfvin, John T 05/2212006

VII. INVESTMENTS and TRUSTS - income. value. rransiu:tions rmcruaa those ofthespouse an11 dependent children. see PP. J4-s1 of filing instructU>nsJ






B. Income during

reporting period


reporting period

D. Transactions during reporting period

(I) (2) (I) (2) (I) Ifno1 exempt from disclosUJc

Amount Code I

(A-H)

Typc(e.g. div., ren

or inL)

Value Codc 2 (J-P)

Value Method Code 3

(Q-W)

Typc(c.g. buy,sel merger. redemption)

(2) Date Month-Day


(4) Gain Code 1

(A-H)

(S) Identity of buyer/seller (if private transaction)

205.

206. First UC -CmnJWachovia B Dividend K T partial sale 2/25 L F

207.

208. PNC Fin. Corp. -Cmn. c Dividend M T ..

209. 1st Union Tr. Mon. Mkt/Wachovia A Interest J T

210.

2l 1. BP PLC Sponsored ADR c Dividend M T

212. Exxon/Mobil D Dividend N T Part. Donate 6/29 L

213. partial Sale 11/29 K E

214. Constellation Energy Group Cmn. B Dividend L T

215.

216.

217. Verizon-Cmn. D Dividend M T Part. Donate 6/29 K

218. Schwab -Cmn B Dividend M T Part. Donate 6/29 K

219.

220. Xcel Energy - Cmn. B Dividend K T

221.

I. Income Gain Codes: A =SJ,000 or lcs.s B •SJ,001 -$2,500 C •$2,501 -SS,000 D =SS,001 • SIS,000 E=SJS,001 -$50,000 (See Columns BI and 04) F =$50,001 -$100,000 G •$100,001 -$1,000,000 HI c$1,000,001-S5,000,000 H2 =Morc than $5,000,000

2. Value Coda J-SJ5,000 or Jess K -$U,OOI -$50,000 L-$50,001 - SJ00,000 M =$100,001 -$250,000 (See Columns Cl and 03) N =$250,001 -$500,000 0 •$500,001 -$1,000,000 Pl ·-s1,ooo,001-ss,ooo,ooo P2 -SS,000,001 -$25,000,000

3. Value Method Codes Pl -$25,000,001 - $50,000,000 R -Cost (Real Eslaie Only) P4 •More than SS0,000,000 T-ca.h Market

(Sec Columo Cl) Q•Appraisal V=Othcr s •Aslesrmcnt

U•Book Value W =Estimat<d

..

Name of Person Reportin1 Date of Report FINANCIAL DISCLOSURE REPORT

of21 EIMn,JobnT 05/22/2006

VII. INVESTMENTS and TRUSTS -income. value, transactions (uu:1w1a 11rose oft1re spouse and d.,,em1en1 c1radnn. seePP. 14-s1 offwng u.s1ructionsJ


A.


(including !rust assets)


exempt from p rior disclosure

B.

Income during

reporting period

c.

G ross value at end of

reporting period

D.

T ransactions during reporting period

(I) (2) (I) (2) (I) If not exempt ftom disclo=

Amount

Code I

(A-H)

Type (e.g.

div., rent,

or inl)

Value

Code2

(J-P)

Value

Method

Code 3

(Q-W)

Typc(e.g. buy, sell,

merger,

redemption)

(2)

Date

Month·

Day

(3)

Value

Code2

(J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

222.

223. JP Morgan Chase & Co. - Cmn. D Dividend M T

224.

225.

226. Mt. Vernon NYC 4.2 c Interest L T

227. Suffolk Cnty. NY 4.5 c Interest M T

228. NYS Env. FDS 2nd Res-I 4. 75 D Interest M T

229. Mt. Vernon NYC 4.0 A Interest K T

230. Amherst 5.0 c Interest M T

231. Triborough Sub 5.0 D Interest N T

232. Metro Trans. Auth. 5.0 c Interest L T ,

233. Metro Trans. Auth. Ded. Tax 5.0 c Interest M T

234. Valhi Inc. - Cmn. A Dividend J T

235. Bank Of America Corp. (F/K/A Fleet B Dividend K T Boston)

236. St Paul (F/K/A Travelers Prop Class A Dividend K T A&B)

237. Syosset NY - Cent. Sch Dist. 4.625 A Interest K T ( AFP)

238. Madison Cnty NY 4.375 (AFP) A Interest K T

I. Income Gain Codes: A -SI ,000 orlcu B -Sl,001 -$2,500 c =$2,501 -$5,000 D •$5,001 -$15,000 E =$15,001 -$50,000 (Sec Columns BI and 04) F -SS0,001 -SI00,000 G•SI00,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 -More than $5,000.000

2. Value Codco J•$15,000 or less K•Sl5,00l -SSO,OOO L =$50,001 -$100,000 M SI00,001-$250,000 (Sec Columns CJ and DJ) N =$250,001 -SS00,000 0 •$500,001 - $1,000,000 Pl -Sl,000,001-$5,000,000 P2 "'55,000.001 -$25,000,000

3. Value Method Codca Pl -S25,000,00I -$50,000,000 R =Cost (RealEsla1< Only) P4•Mon: than $50,000,000 T -cash Market (Sec Column C2) Q•Appnisal V=Othcr s •Aslcslmcnt

U =Book Value W•Estimatcd

-

4/7

Dale or Report Name or Person Reportin11 FINANCIAL DISCLOSURE REPORT

of21 05122/2006Elfvln, John T

VII. INVESTMENTS and TRUSTS -income, value, tronsaarons (includa those oftlte spollSe and dependent clri/Jnn. Su PP. 34-57 of filing instrllCIWns)

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

A. Descrip tion of Assets

(inclu ding lrusl assets)


exemp t from p rior dis closu re

239. Syosset NY - Cent. Sch. Dist. 4.625

B. Income d uring

reporting period

c. Gr oss value al end of

reporting period

D.

Transactions d u ring reporling period

(I) (2) (I) (2) (I) lfno<exempt from disckmm:

Am ou nt

Code I

(A-H)

Type(e.g .

div., rent,

or int.)

Value

Code2

(J-P)

Value

Met hod

Code3

(Q-W)

Type(e.g. buy, sell,

mer ger,

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)

c Interest M T (PPE)

240. Freeport NY Ser A 4.5 c Interest M T

241. Madison Cnty NY 4.375 (PPE) c Interest L T

242. Metro Trans Ded. Tax Ser A 5.0 c Interest M T -

243. NYS Env. Clean Water Drink 5.0 c Interest M T

244. Albany NY Mun Wtr. Fin Auth. 5.0 c Interest M T

245. NYS Donn Auth. (St. Univ) 4.500 c Interest L T

246. LI Power Auth 5.125 c Interest L T

247. ACCO Brands Corp Cmn- BNP A Dividend K T spin off 8124 K

248. partial sale 8124 J A

249. Sears Holding Corp None K T merger J A

250. partial sale 4/11 J A

251. AT&Tlnc. -Cmn None L T Merger 11/23 L

252. Merger 11129 L

253. ACCO Brands Corp - Cmn (PPE) None J T Spin Off 8124 J

254. Livingston 4.5% 5/1/2033 c Interest L T Buy 5111 M

255. Metrop Trans 4.375 B Interest K T Buy 9/16 K

I. Income Gain Codes: A =$ 1,000 or less B-Sl.001 -$2,500 C =$2,50 I -$5 .000 0=$5,001 -$15,000 E=S15,00l -S50,000

(Sec Columns BI and 04) F -$50,001 -$100,000 G-$100,001 -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•Sl5,00l -S50,000 L-SS0,001 -$100,000 M -SI00,001 -$250,000

(Sec Columns Cl and 03) N -$250,001 - $500,000 o-s500,001 -s1,ooo,ooo Pl -Sl,000,001-$5,000,000 P2 -SS,000,001 -$25,000,000

J. Value Method Codes Pl =$25,000,00 I • $50,000,000 R -cost (Real Estate Only) P4 •More than $50,000,000 T-cash Market (Sec Column C2) Q•Appraisal V-other s •Assessment

U •Book Value W •Estimated

'

Name or Person Reportin& Date or Report FINANCIAL DISCLOSURE REPORT

of21 Elfvin, John T 0512212006

VII. INVESTMENTS and TRUSTS - income, volue, tromactlom (me/rules those ofthespouu and dependent childn1L See pp. J'-57 offllin!f lnstruc:lions)


A.





B. Income during

reporting period


reporting period

D.


(I) (2) (I) (2) (I) lfnot exempt &om discl0$UJ'C

Amount

Code I

(A-H)

Type(c.g. div., rent,

or inL)

Value

Codc2

(J-P)

Value

Method

Code 3

(Q-W)

Type(e.g. buy,sel

merger, redemption)

(2) Date Month-

Day

(3) Value

Code 2

{J-P)

(4) Gain Code I

{A-H)

(S) Identity of

buyer/seller

(ifprivate

lransaction)

256. Monroe CTY 4.25% 6/1/2025 D Interest M T Buy 7/8 M

257. NY NY Muni Water 5% 6/15/2036 B Interest L T Buy 7122 L

258. NY 4.5% 11115/2007 B Interest K T Buy 9/22 K

259. NY NY CTY 4.5% 2/112034 c Interest M T Buy 212 M

260. Suffolk CTY 4.5% 6/112027 c Interest M T Buy 12/19 M

261. wachovia (PPE) None K T transfer 111 K A

262. AT&T Inc. - Cmn (BNP) None J T Merger 11/29 J A

263. Partial Sale 12/1 J A

I. Income Gain Codes: A =$1,000 or less B =SJ,001 -$2,500 c =$2,501 -$5,000 D=S5,00J-SI5,000 E=SI5,00I -$50,000

(Sec Columns BI and 04) F -$50,001 -SJ00,000 G =$100,001 -SI,000,000 HJ -SI,000,001 -$5,000,000 H2 -More !ban $5,000,000

2. Value Codes J =$15,000 or lcsa K=Sl5,00l -SSO,OOO L•S50,00l ·SIOO,OOO M -$100,001 -$250,000

(Sec Columns Cl and DJ) N =$250,001 - $500,000 0 =$500,001 -$1,000,000 Pl -SI,000,001-$5,000,000 P2-S5,000,00I -$25,000,000

3. Value Method Codes Pl -$25,000,001 -$50,000,000 R =Cost (R<al Estate Only) P4 •More than $50,000,000 T-cash Market (See Colmnn C2) Q=Appraisal V"Olher s •Asscssmenl

U =Book Value W•Estimaled

Date or Report Name or Penoa Reporting FINANCIAL DISCLOSURE REPORT

of21 OS/22/2006Elfvin, John T

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndkateputofReporL)

�11'\. f'liuw V suk": CIVIL

........ John T. Elfvin

Date of Report Name or Penoa Reportln& FINANCIAL DISCLOSURE REPORT

of21 05/22/2006Elfvln, John T

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 honorarla 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.

.... B,Cl::t:Xo NOTE: ANY INDI IDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MA y BE 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

0 p p financial disclosure repo - judicialwatch.org · on the basis of information contained in...

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