frederic block financial disclosure report for 2010

8/3/2019 Frederic Block Financial Disclosure Report for 2010

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.... R e v . 1 / 2 0 1 1 ]FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor t ing ( las t name , f i r s t , middle ini t ia l )Block, Frederic

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or p art-t ime)

U.S . Dis t r ic t Judge

7. Cham bers or Office Address225 Cadm an P laza E .Eastern Distr ict Court of NYBrooklyn, NY 11201

2. Court or O rganizationU.S. District Cou rt

3. Date of Report05/04/2011

5a. Repor t Type (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

R e v i e w i n g O f f i c e r D a t e

6. Repor t ing Per iod01/01/2010

to12/31/2010

IMPORTANT NOTES : The instruct ions accom panying this form m ust be followed. Com plete al l parts,checking the NONE box for each part where you have no reportable information. Sign on lastpage.

I , P O S I T I O N S . (Reporting individual only; seepp. 9-13 of f!ling instructions. )~] N O N E (No reportable positions.)

POSITION1. Officer

N A M E O F O R G A N I Z A T I O N / E N T I T YFre de r ic Block , P .C .

3.

4.5.

I I. A G R E E M E N T S . ( R e p o S i n g i n d l v i d u u l o . ly ; s e ~ p p . 1 4 - 1 6 of filing instructions)~] N O N E (No reportable agreements.)

DATE P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

N a m e o f P e r so n R e p o r t i n gBlock, Frederic

Date of Report05/04/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investment Income

~] (No reportable income. )O N E non-investmentDATE SOURCE AND TYPE

2.3.

4.

INCOME( 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 ve s tm e n t I n c o m e - lf you were married during anyportion of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e n t .(Includes those to spouse and dependent children; see pp. 25 -27 of f!ling instructions.)

~] (No reportable reimbursements.)O N E

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEM S PAID OR PROV IDED


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Date of R e p o r t05/04/2011

V . G I F T S . a n c l u d e s t h o se to sp . . . . . . d dependent children; see pp. 28-31 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE1.

2.

3.

4.

5.

DESCRIPTION V A L U E

V I . L I A B I L I T I E S . a n e lu d e s th o s e o y s p o u s e und dependent children; see pp. 32-33 of f i ling instructions.)N O N E ( N o reportab le liabilit ies.)

CREDITOR DESCRIPTION1.

2.3.

4.5.

VALUE CODE


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V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l .e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No 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 l u d i n g t r u s t a s s e t s )

exempt from prior disclosure

reporting period: of reporting period(1) (2) (1) (2) (3) (4) ( 5 )

Va l u e Value . . . . T ype (e.g., Date Va l u e Gain Identi ty ofCod e 1 d iv. , ren t~ Code 2 M E t h o d buy. sel l . m m /d d/y y C od e 2 Code 1 buyer/seller( A - I - D o r i n t . ) (J-P) Cod~ 3: : redemption) ( J - P ) (A -H ) (if private

( Q - W) transaction)

2.3.4.5.6.7.8.

9.1 0 .

1 1 .

1 2 .

t3 .

B E C T O N D I C K E N S O N C O A D i v i d e n d Sold 05/18/10 J A

B L A C K R O C K N Y M U N I I N C ( N A M EC H A N G E )B L A C K R O C K M U N I Y IE L D N YQ L T ( N A M E C H A N G E )C O H E N & S T E E R S C L O S E D E N DO P P T Y F DE A T O N V A N C E I N S N Y M U N

C Div idend L TC Div idend L TA Div idend J TC Div idend L T

Bu y 05/21/10(add l )

JK

CITIGRO UP CA P. VII I DEF INT TRUST APFD STK 6.950% 09/15/31E A T O N V A N C E R I SK M A N G D D I V R S CE Q I N C F DE A T O N V A N C E T X - A D G L D I V AGLOBA L DIV INC FDE A T O N V A N C E T A X D IV I N C D I V IN C CFDF 1 A C A R D S E R V IC E S N A A

InterestDiv idendDiv idendDiv idend

Interest

K TK TJ T

Sold 09 /10/10 JSo ld 0 1 /0 5/1 0 K

Bu y 11/05/10 KBu y 01/08/10 K

F R O N T I E R C O M M C O R PN U V E E N N Y I N V Q U A L M U N IN U V E E N N Y P R E F P L S M U N I

A Div idend JC Div idend KC Div idend L

T

T

T

Spinof f 05/07/10 J( f rom l ine 21)Sold 11/02/10 K(part) A

1 4 . N U V E E N N Y Q U A L t N C M U N I C Div idend L1 5 . N U V E E N N Y S E L Q U A L M U N I B Div idend K1 6 . P 1 M C O N Y M U N 1 N C F D B Div idend K1 7 . P R I N C I P A L IN V E S T O R S P R F S E C C FD A Div idend K

TTT

T

Bu y 05/21/10

Bu y 09/15/10

K

K

1. Income Gain C0des: A ~$L000 0r te ss : B =$1;001 : $2,500(See C o lu mns B I and D 4) F =$50,001 - $100,000 G =$] 00,00i - $1,000,000

2. V alue C odes J = $15,000 or less K =$15;001 - $50;000( See Col umns C I and D3) . N =$250,0 01 - $ 500,000 O =$500,001 - $1 ,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appra i s al R =Cost (Real Estate Only)(See C o lu mn C 2 ) U =Book Value V = O t h e r

C =$ 2,50 1 - $5 ,0 0 0H 1 -$1 ;000,001 - $5,000,000L =$50,001 - $100,000P 1 =$1,000,001 - $5,000,000P4 =More than $50,000,000S =AssessmentW = E s t ima ted

D -$5 , 001 -$15 , 000H2 =More than $5,000,000M= $100 ,001 - $2 5 0 ,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k et

E =$15,001- $50,000


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V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.G r o s s v a l u e a t e n d T r a n s a c t o n s d u r n g r e p o r t in g p e r i o dDescr ip t ion o f Asse t s , I n c o m e d u r i n g

( includ ing t rus t a s se t s ) r epo r t ing pe r iod o f r e p o r t i n g p e r i o dO) (2) (1) (2) (1 1 (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a l u e Type (e.g., Date Value G ain Id en tity O fexempt from prior disclosure C o d e 1 div . , ren t , C o d e 2 M e th o d b u y , s e l l , mm/dd/yy Code 2 C o d e 1 b u y e r / s e l l e r( A - H ) or in t . ) (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 iva te

( Q - W ) t ransac t ion)

1 8 .

1 9 .20 .21 .22 .

23 .24 .25 .26 .

27 .28 .

29 .

30 .31 .

32 .

33 .

34 .

ISHARES DOW JONES US RE INDEX FE A Div idend Sold 05/06/10 K DSATUR NS-GS 2004 -2 SER GS 5 .75% B Interest So ld 0 9/1 0/1 0 K2/15/33R E S E A R C H IN MOTION LT D N o n e J TV E R I ZO N C O M M C O M B Div idend Sold 10/12/10 J BW E S T E R N A S S E T / C L A Y M O R E I N F L . -L N K D O P T & I N C F D Div idend K T Sold 09/10/10 J(part)

A L L I ED C A P I T A L C O R P N E W )A R E S C A P I T A L CORP.

AA

Dividend Merged 04/05/10 J(with l ine 25)Dividend J T

A N N A L Y C A P M G M T 1 N C B Dividend Sold 01/04/10 K B

E A T O N V A N C E D I V I D EN D B L D R FDC L CP I M C O T O T A L R E T U R N F D C L C- M O R G A N S T A N L E Y - T R V D E F IN TT R PFD 5 .75 % 7 /15 /3 3CBS CO RP. 7 .25% 06/30/51

A Div iden d So ld 01/14/10 KB Div idend K T So ld 0 4/22/1 0 K(part)A Interest J T So ld 0 9/1 5/1 0 J(part)B Interest So ld 0 8/24 /1 0 K

B

-CITIGROUP CAP V III DEF INT TR PFD CSTK 6.95% 09/I 5/31-V ORNADO REALTY TRUST SER F BCUM PFD SHS 6.75% PERPAM ERICAN EURO PACIFIC GR FD CL C A

Interest J T Sold 09/15/10 J(part)Interest J T Sold 09/15/10 J(part)

Div idend K T Bu y 01/14 /10 KA M E R I C A N B O N D FD OF A M E R I C A C L CC Div idend So ld 0 4/0 9/1 0 L C

L income Gain Codes: A ~ $!1600 0r l ess B =$1,001 - $2,500 C =$ 2,501 - $5,000 D = $5,0 01 - $ 15,000(See C o lu mns B I and I M) F =$50,001 - $ i 00,000 G =$ 100,001 - $1 ~000,000 H I =$ 1,000,001 - $5,000.000 H2 =More ihan $ 5,000,000

2. Value Codes J =$15,000 Or less K = $15,001 - $50,000 L =$50,001 - $100.000 M = $ 1 0 0 , 0 0 1 ~ $ 2 5 0 1 0 0 0(See C o lu mns C I and D 3) N =$250,001 - $500,000 O =$500,001 - $1 ,000,000 P 1 =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =Appra i s al R =Cost (Real Estate Only) S =Assessment T = C a s h M a r k e t(See C o lu mn C 2 ) U = B ook Valu e V = O t h e r W = E s t ima ted

E =$15,001 - $50,000


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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, vulue, transact ions (Includes those of spouse and dependent children; see pp. 34-60 d ril l ing instruct ions.)N O N E ( N o reportable income, assets, or transactions.)

Descr ip t ion o f Asse t s I n c o m e d u r i n g( includ ing t rus t a s se t s ) r epo r t ing pe r iod

(D (2)Place "(X)" after each asset A m o u n t T y p e ( e . g . .exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) or in t . )

G r o s s v a l u e a t e n d Transactions during reporting period

Va l u e V al ue T ype (e.g., Date V al ue Gain Identity ofC ode 2 M ethod buy, sel l , mm/dd/yy Code 2 C ode I buyer/seller

( J - P ) Code 3 r e d e m p t i o l ~ ) (J-P) (A-~ (if private( Q - W) transaction)

35 . A M E R I C A N E U R O P A C I F I C G R F D C L C A Div idend Sold 05/12/10 K36 . A M E R I C A N G R O W T H F D O F A M E R IC A A Div idend KC L C37 . A R R O W D W A B A L A N C E D F D C L A A Div idend M38 . A R R O W D W A B A L A N C E D F D C L A A Div idend M39 . BLAC KROC K EQUITY DIV FD C A Div idend L40 . B L A C K R O C K E Q U T Y D I V F D C A Div idend L41 . B L A C K R O C K H L S C O P P C None

T Bu y 05/12/10 KT Sold 02/11 /10 K(part)T Bu y 08/03/10 L( add l )T Sold 04/22/10 K(pm)T Bu y 08/03 /10 L( add l )

Sold 02/11/10 K4 2. C A L A MO S C O N V O P P IN C FD C Div idend4 3 . C A L A M O S C O N V E R T I BL E F D C L C A Div idend

Sold 06/04/10 KSold 02/1 t/10 K

44 .45 .

46 .47 .

48 .49 .

i50 .51 .

C A L M O S ST R A T T O T R E T R E T U R N F D A Div idend K Bu y 01/04/10 KC O H E N & S T E E R S C L O S E D E N D B Div idendO P P T Y F DE A T O N V A N C E R I SK M N G D D I V .E Q A Div idend K1NCM FD- E V E R G R E E N M A N A G E D IN C O M E C Div idendFUND Multi SectorW E L L S F A R G O A D V A N T A G E M U L T I B Div idend KSECTO R INC. FD.INVESCO VA N KMPN BD FD INC A Div idend L

Sold 10/07/10 KT Bu y 06/04 /10 K

M erged 0 7 /1 3 /1 0 K(with line 48)TT Bu y 02/11 /10 K

INVESCO VA N KMPN BD FD INCI V Y A S S E T S T R A T E G Y F D C L C

A Div idendNo n e

Sold 10/19/10 K(part)Sold 08/03/10 L

A

I InCome Gain Codes: A =$1;000 or tess B =$1,001 - $2,500 C = $2 ,5 01 - $5 ,000(See C o lu mns B I and D 4) F =$50,001 - $100,00 0 G =$1 00,001 - $1 ,000 ,000 H 1 =$1,000,00 i = $5,000,0002. V alue C odes J = $15.000 or less K =$15,001 - $50,000 L =$50, 001 - $ 100, 000(See C o lu mns C 1 and D 3) N =$250,001 - $500,000 O =$ 50 0,0 01 - $ 1,0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00

P3 =$25,000,001 - $50,000,000 P4 =More than $50;000,0003. Value Method Codes Q =Appra i s al R = Cost (R eal Estate O nly) S = Assessm en t(Sec C o lu mn C 2 ) U =Book Value V = O t h e r W = E s t ima ted

D =$5,001 - $15,000H2 =Mo re than $5~000,000M =$100,001 - $250~000P2 =$5,000;001 - $25~000,000T = C a s h M a r k et

E =$15,001- $50,000


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D a t e o f R e p o r t05/04/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C.Description of Assets Incom e du ring Gross va lue at end(including trust assets) reporting period of reporting period

Place "(X)" after each assetexempt from prior disclosure

T ~ a n s a e t io n s d u r i n g r e p o r t in g : p e r i o d

(A-H) o r i n t . ) (J-P) Code 3 r e d e m p t i o n ) (J-P) (A -H ) (ifprivate( Q - W) t r a n s a c t i o n )

52 . J H A N C O C K I N C S E C A53 . J H A N C O C K P R E F IN C 2 A54 . SATUR NS-GS 2004 -2 SER GS 5 .75% B

2/15/3355 . TH ORN BURG INC BUILDER FD CL C B

Div idend J T Bu y 08 / 3 1 / 1 0 JDiv idend K T Bu y 08/24/10 KDiv idend K T R e d e e m e d 11/05/10 K

( p a r t )Div idend L T56 . F I A C A R D S E R V I C E S N A R A S P A57 . U S B C A P I T A L V I 5 . 7 5 % 3 / 9 /3 5 B58 . - L O O M I S S A Y L E S IN V G R A D E B O N D CFD CL C59 . L O O M 1 S S A Y L E S ST R A T I N C F D C L C C60 . L O R D A B B E T T F L O A T I N G F D C L C A61 . MFS UTILITIES FD SER TR VI UTL C L BC62 . NUVEEN BUILD AMER BD FD A63 . NUVEEN BUILD AMER BD FD A64 . N U V E E N Q U A L P R E F I N C 2 A6 5. N U V E E N Q U A L P R E F I N C 3 A66 . P I M C O A L L A S SE T A L L A U T H F D C L C C

67 . P R I N C I P A L I N V E S T O R S P R F S E C C F D A68 . P 1 M C O R E A L R E T U R N F D C L C B

Interest J T

Div idend So ld 0 3/0 5/1 0 KDiv idend So ld 0 1 /0 4 /1 0 JDiv idend L T Bu y 03 /05/10 K(addl)Div idend L T Bu y 09 /28/10 KDiv idend Sold 12/17/10 LDiv idend K T Bu y 04/27/10 KDiv idend K T Sold 0 8 / 3 1 / 1 0 K(part)Div idend K T Bu y 08/24/10 ~ KDiv idend J T Bu y 08/24/10 JDiv idend M T Bu y 01/25/10 L( add l )Div idend K T Bu y 09/15/10 KDiv iden d So ld 02/25/10 M

A

1. lncomc Gain Codes: A = $I ,000 o r le ss B = $1 ,001 ;$2,500 C = $2,501 -$5,000(See C o lu mns B I and D 4) F =$50,001 - $100,000 G =$t00,001 - $1,000,000 H 1 = $i~000,001 - $5,000,000

2. V alue C odes J = $15,000 or less K = $15,001 - $50,000 L =$50,001 ~ $ 100,000(See C o lu mns C I and D 3) N =$250,0 01 - $ 500,000 O =$500,001 - $ 1,000,000 P 1 =$1,000;001 - $5,000,000

P3 =$25,000,001 - $50i000,000 P4 =More than $50,000;0003. Value Method Codes Q =Appra i s al R =Cost (Real Estate Only) S = Assessmen t(See C o lu mn C 2 ) U =Book Value V = O t h e r W = E s t ima ted

D =$5,001 - $15,000 E =$15,001 - $50,000H2 =Mo re than $5~000,000M =$I00,001 ~ $250~000P2 =$5,000,001 - $25,000,000T = C ash Marke t


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D a t e o f R e p o r t05/04/201 l

V I I . I N V E S T M E N T S a n d T R U S T S - income, v a l u e , transactions (Includes those of sp ouse and dependent children: see pp. 34-60 of f iling instructions. )NONE ( No reportable income, assets, or transactions.)

A. B. C. DDescription of Assets Income during Gross value at end lransactions du ring rgporting period

(including trust assets) reporting period of reporting period( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5)

Place "(X)" after each asset A m ount Type (e.g., V al ue V a l u e Type (e.g., Date Value Gain " I d e n t i t y o fexempt from prior disclosure . Code I div., rent, C o d e 2 : : :: M e t h o d bt i# , sel l , mm/dd/yy C ode 2 C ode 1 buyer/seller( A - H) o r i n t . ) (J-P) C ode 3 redemptioo) O-P) (A-H) ( i f p r i v a t e

( Q - W) t r a n s a c t i o n )

69 . P R U D E N T IA L J E N N I SO N E Q I N C F D C L B Div idendC70 . P R U D E N T IA L T O T A L R E T U R N B D F D A Div idendC L C71 . P U T N A M V O Y A G E R F D C L C A Div idend7 2 . BA N K O F S M I T H T O W N N o n e

LKKJ

T Bu yT Bu yT Bu yT

04/22/10 K04/22/10 K12/17/10 K

1 . Incom e Gala C odes: A = $1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000( See Col umns BI and I ) 4 ) F = $50,001 - $100,000 G = $100 ,001 - $1,000,000 H I =$ 1i 00 0~ 00 i ~ $5 10 00 ,0 00 H 2 -- Mb r~ th ~a $5 i0 00 ~0 00

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L :$50 00i~ $i00 000 .... ...... M = $100 ,001 $2 5 0;000(See C o lu mns C I and D 3) N =$250,001 - $500,000 O =$500 ,001 - $1,000,000 P 1 = $ 1, 00 0, 00 i z $5 ;0 00 ,0 00 P 2 = $ 5, 00 0, 00 ! - $ 25 ~0 00 ~0 00

P3 =$25,000,001 - $50,000,000 P4 =More than $50;000,000 ....3. Va lu e Method C odes Q = Appra i s al R =C ost (R ea l Esta te Only) S = A ssessm en t T - - C ash Marke t(See C o lu mn C 2 ) U =Book Valuc V = O ther W = E s t ima ted

E =$15,00 l - $50,000


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FINANCIAL DISCLOSURE REPORTP a ge 9 o f 10Name of Person Repor t ingBlock, Frederic


VIII . ADDITIONAL INFORMA TION O R EXPLA NATIONS. (lndlcate part of report.)


10/10

FINANCIAL DISCLOSURE REPORTP a ge 10 o f 10

IX. CERTIFICATION.Iame of Person Report ingBlock, Freder ic Date of Report05/04/2011

1 c e r t i fy t h a t a l l i n f o r m 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 f o rm a t i o n p e r t a i n i n g t o m y s p o u s e 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 le t e t o t h e b e s t o f m y k n o w le 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 io n n o t r e p o r t e d w a s w i th h e ld b e c a u se i t m e t a p p l i ca b l e s t a t u to r yp r o v i s io n s p e r m i t t i n g n o n - d i sc lo su r e .

I f u r t h e r c e r ti f y 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 ce 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 ncompliance with the prov is ions of 5 U.S.C . app. 501 e t . seq . , 5 UoS.C. 7353 , and Judic ia l Conference regu la t ions .

Signature: S/Frederic B l o c k

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S I FI E S O R F A I 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 JE C T T O C I V I LA 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 mm i t te e o n F i n a n c ia l D i s cl o s u r eA dm inis t ra tive O ff ice of the Uni ted Sta tes Cou r tsSui te 2-301O n e C o l umb u s C i r cl e , N . E .W a s h i n g t o n , D . C . 2054 4

frederic block financial disclosure report for 2010

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