in for 200t 3. - judicial watch · name o(

A0 ·10 R ev. l/?QO.I

(5 U SC opp §§ 101 llll . . .

3. GARAU FTS. l\"ICHOLAS G EASTERN DISTRICT OF NEW YORK 7/3112005

.i , Title (Article Il l Judges indic l ( utive or senior Jta.tus; ; . RepoctTypc: (check :ippropri:Ltc type) 6 . Reporting Period

12131/2()(µ 8. On the basis of the" infonmtion ooamined in this Rcpon and y

KOat<

. - · . .,. . • • Cllf't ' .. ·.:i .: • . );- : .. . . • ; " . "'

··=i- , ,• • .• ��\'t . . .... <·. \.:. . · . .. .!;-, ��·- ...: "' ! · 4. :» .. :\,> .. , . . . .

eosmoN N6ME OF ORGAN IZATJON!ENTITX

Specuux Publishing Company, In c.

PARTIES AND TERMS

C 0 ..., = =

(") ..-

,,,.. m

m ,..,,(")

< <"')> -; .-...., n <;?

.

,. .:-···" ... 0: . " ' .

.. .;:_-

-:.:'#" '"t: ;;..��·"...'i.

= NONE · CNon: bkpositi00$.)

I.

?.

3.

Member. Bo.rd of Oitteton

Me�:r. E."<ecutive Committee United St3.ie:s Tconis Assoc111.tion

0

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 200-t

Report Rcquir-cd by the Ethics

In Govern"°""t ACI or 197S

l. Person Reporting (Wt n:une. First n:unc. Middle initial) Coun or Orpniz:aDon D:ueor Rcpon

giscr.uejud 6 iudi te full· or part-time) Q 1'omin:1tioa, Date 212812000 11112004

l�ITEO STATES DISTRICT JUDGE t oQ Initial @ Annu;aJ Q Arol

7. Cll:unbers or Office Address

l:S DISllUCT COURT EONY mocUficatioos pertaining thereto. it is. in my opinion, in compli:incc 'With applicable IJ"''S and regulations.

CADMAJ\" PLAZA EAST BROO LYN. "SY 11201 Reviewing Officu

., .. .:.."· CMPORTANT NOTES: The instnactions accompanying Ws form mu.st be followed. Completean pa.ru, checking theNONE box for each p:art where you have no rcporuble iafonnatioa.. Sign oo last p:ige.

.{�.�?' -:·- ;f,Z-:. '7(·" L POSIDONS. (Reporting iodividu>.Iooly; see pp. 9·13 of filing instructions)

Il. AGREE1'.1ENTS. (Rcponing individual only. see pp. 14-16 orlitiasiastructionsl

::J NONE · \No rcportoblc agrttmenl5.)

1.

0<>0919S

ABC, INC. PE."SION Pl.AN MOl'ffiiLY SURVIVOR BENEFIT.

CITY OF NEW YORK DEFERRED OMPENSATION PLAN.

.-..,, = c- C> (')(J)Zc> I ="Z r

)> rn

· O ., U'I

:ame of Petson Rc:pof'tiog

SO\'RCE AND TYPE

-YC Deferred Comp ensa tion

ABC lnc. Retirement Plan

GROSS 1:-;COME

S2,S33

S t3, 0S;

SOI !RCE AND TYPE

2004 S<lf-emptoy ed • Coasullant

DESCRIPTlON

U . S . Tennis A$Soc:i tion Rcctived S.562 expense reimburse ment to attend the Annual UST A Meeting

- 2004

. . ..... ... . -·····-··· -----·


QARAUFIS. NICHOLAS()

Ill NON-INVESTlVlEJ'lfT INCOi:vm. {Reporting individu:tl "'1dspouse: s<e pp. 17-24 of filing insuuetions)

A. Filer's Non -Investment Income

C NONE · lNO rcpon:i.blc non·investment income.)

I.

0.1te of Rq1on

7131/2005

()'OW$, not spouse's)

B. Spouse's Non-Investment Income. (If you V1Crc m:uried durin& any portion of the n:portiogyc;lf. please complete this section. Doll::tr amount not rcqu.ircd except for bonoraria.)

CJ NONE - (No reportab!c non·invescmcnt income.)

I.

IV. REIMBURSE1\1ENTS -- lr.lllspom1ion, 1o<1g;ng. roo<1,cn"'13inmcn1.

(Includes those lO .spouie 3nd dependent chiklrcn. Sec pp. 25·27 of instrui:tioas.)

0 NONE · {No such r<pombi.. t<imbur;emcnl$.)

SOURCE

I.

PESCRll'f!ON

CREDITOR CODE

1.

FINANCIAL DISCLOSURE REPORT '.'ame orPC1$o)ll Reponing

GAAAUFIS. NICHOLAS G

V. GIFTS. (Includes tho;< to spouse and dcpcndtot cl>ildn:n. Sec pp. 28-31 ofinsuuctions.)

7 NONE · (No such "-'J'.''lt:lble girts.)

SO\'R(E

VI. UABII.ITIES. (b:dudcs th0« oi spouse and depudent children. See pp. 32·34 of insttuctions.)

·:la NONE . (No repom !c liabilitics.l

pESCRIITIOts

i.

O:itt of Rcpcxt

713112005

VALUE

Name o( P<oon Reporti ng

GARAU FlS. NICHOLAS G

Dote of R tpcm 7131/!00S

A.

( !'-'o portable i CICOttt. asse ts. or tr.mA«i()OS)

Opp enheimer NY Munici I A

Oppen heimer Quest Opponuoity Value Fund A

Opp<nhdmcr Equity Fuad CJ. A

Pcrshiog Govt. Acct

Walt Disney Company c.ommon S toc k

Fidtli1 y Advisor ln fla tioo· l'!oo:cted Bd RI Cl A

Alli ance R.enl Estate Investment Fund Class A

Oppenheimer Quest SnuU Cap V ot l uc Fund

9. AIU.nee Tecbo ology A Fuad

10. Alli•nee Growtll & Income Fuad C lass B

II. Allia.ncc Bcmsiein Cap Rcsv

1 2 . Alliance Premier Growlh Fund Cass B

13. AUinocc Q ua5:1r Fund Class D

1 4 . City of Sew Yor k OcJcrrcd Compen.ution Pb. o

IS. Equivcst Vari::ible Ano uni t y

16. Trust#!

ABC Pension Plln'

1 8. Aim Glob aJ Tren d$ Cl. 8

l. ln..;ome /C:1.in Co.Jes: A

(Sc Ctt!U J 1'91 c : . 0

• l) • Dool: Value

8 .

tq)Ol1foc period

(t) (!)

Tl'P' div. rcor. or i.N.)

lntc-rcst

Dhidcod

Di\idcnd

Di\idend

A Dividc1Jd

A [); vid<nd

Dividend

Dividend

Oi\ idcnd

Dividend

Dividend

[);yjdtod

Dividend

A Dividend

Di vidend

-·

None

Dividend

B

R t-.. v : OOk."f

c. o.

rtporcint pctiod

(t\ (l) (l) If OOl c.ice"1'! :tom discto !) O > (4) l!°I

V is ttlC' Co:le Code I

(J.I'\ "" '1"· pri ... •ate

J T

L T P:irtial S ale 61 1 S 0 A

T P>rtial Sale 3118 E

L T

J T

K T

K T

K T

T

K T Purchase 11126

J T

J T Partial Sale 11126 J A

J T So ld 11126 J

K T

L T

J T

c D E

w ='t::.tirn: ucd

li'INANCIAL DISCLOSURE REPORT

Page 1 of3

i/II. INVESTJl.IBNTS and TRUSTS

Ots..Tiption ofASKO (inclwli�cruse ts)

Pt.1Clie IX)" after c:ich :ass.ttexemptfrom prior disclosin

]NONE

I.

2.

3.

4.

s.

6.

lncon-.: OJ.Tins

A,,.,.,. c i:. Code I (A·H)

A

A

A

A

Gron v;i,tuc r.u end ol Tr.w.,.;1lona dl.lring rcponiu: period

Vol"' Voiluc Type (e.;, 0 11:: �tn tcknci1y or Cod<: Method buy, seU. Mo)ftlll· 'tt'5<11cr

Codd o.., (J·P) v\•H) (if(Q.W) -donl tr.11\ACtioo)

L A

7.

8.

17.

• Sl,000 or kn

<5" C'Olu•l'llb 81 and D.a)

'.!.. Valluc Codes: (See Columns C'I and03)

J N

sSS0.00 1.S I ()().000

•SJ 5.000 or ku

= ruo.ooo.ssoo.ooo

A

A

A

A

A

A

A

A

A

•Sl.OOl·S2,$00 G •s100.001.s1.ooo

x • 515.001-s.50.000

0 = SSOO.OCll·Sl.000.000

J

J

A

K T

K T

= S!30l ·S .OOO • SS.OOl·SIS.000 s SIS,O::U·S!<l.000

HI • SI .U00.001..SS.000.000 H'.! = MOl.'C �-SS.000.000

L = S..(().OOJ·Sl00,000 M = $l(J().00I•S!.\O.CXX>

1'1 =Sl.OOO.Olll·S.S.000.000 r: a: ss.000.001-$ .ooo.ooo

Pl = S .000.00l·S30,000.000 PJ • S.\lfJf'C thiln SS0.000.()()0 •C;isb. l:;utcc)., V:iluic kli.00 COO..:s aAppr.aiul = Cust tRc;il u: Onl») s = A»cs 1\ m T

,'\ame of PetSOn Reporting

GARAU FI S. NICHOLAS G

D•te of R e p o n

713 1/2005

I\.

n:r-W•a P<ri<>"

en C>

"""""'

illt.)

Aim Mid.c.p OX< Eq ui · Cl B Dividend

Aim Constellation Fd. Cl B Dividend

Oppenheime r Qucsr BalaDced Value Fuod ClaS$ A 8 Dividend

" Davis New York Vcoturc Class A

, __

I_,, :-.:euberga Bennaa Foc us Fuad

:.i. Stare Street Mid Cap Value Fund Class A

::.s. Growth Fwwl of Am:ric• CI.us F

: 6. V&D Kampen Globe! Fnactuse

: 1 . Fidelil)' .\dvisor Dividend Growth

;s. Aim Buie Value Fu nd B

: 9. Aim lo t. Govt. fu..nd

;o. Aim Blue Chip Fd . Cl. 8

: I. Aim Gl<>bal Growth Fd a 8

., Alliance Bmaced Sha= a 8

33. AlliAc ce Bernstein NY :O.twii Tr

3-l. ()ppeohcilllCf Qucs1 Opportunity V>lue Cl A

35. Capiul \Vorld Growth &:: lnc:ome

36. Gabelli Asset Fund

I. ll\,,.."OITICIGa in C cdts: A = S 1.000 or b

.

l \':s !V'l.:tf'.oo C n-s

(Stt Cot1111v1 c: ; , Q : """""''" l' •Book Vciliac

Di.,,idead

A Divicknd

Dividend

A Divid<nd

Dividend

Dividend

Dividend

A Dividend

A Dividend

Oividead

Dividend

Dividend

Divi dend

Dividen d

Dividcad

8 •Sl.001-D.. SOO

" • °""'

ttport!n; period

(I) (Zl Ill It not CXC!l'pf iiomdis'°s un:

M<lhod

K T

K T

L T

T

M T

L T

M T

L T

T

I T

I T

K T

J T

T

L T

D T

D T

T l)C \seU .

rn.-1\,r. ttckmptioo}

P:utial Sale

p,na1 Sale

P;utial S ale

Purchase

Purctuse

l )

811 2

311 6

4129

12116

41 8

(3) v , ru.

Code?

D

E

E

D

D

\\' • B.timucd

,,) ($1 Win Code I

A

A

A


Page 2 of3

VII. INVES "TS and TRUSTS

B.

�1tol.A$scts lo.;ume durifli

( inrlWitlg tt\IM3SKts)

Pb:<' -.xr after acb ;l;>ft_v:Cflllt T)'P' (c.s.front pioc discios c-' div. rent. or (A·Hl

19. A

:o. A

I.

1-·

, ..

(S<c('Ol1,1:11111)8l nd ) F •SSO.oot.$100.000

!. Value Cod::): ""SIS, 000 orleu ( Columu Cl :uld 03) = S"..50.0QO SS00,000

P = S .OOO.OOl·S tl.000.000

A

A

A

A

A

A

A

A

A

A

A

G • SI00.001-Sl,OIX).OCX>

K • SIS.OOl·SS0.000

0 = S... .OOl·Sl.000.00J

c. o. Gro5' '-;alue ac. ct1d or T�ioas during in: period

v • .., Value Code: (l·Pl Codel

(Q-W)

K

I

J T

K

(�g. c..., r..tonth• O:ay

C •SL<Ol-SS,000 0 •S$.OOl·Sl5.000

Cl·PJ

HI • SIJJ00.001-$5.000,00U H! ; tore tlnft S.S.000. 000

L = S!<0.001-$100.000 M • SlOO.OOl·S .000

Pl • Sl.OOO.OOl..$5.000.000 I"'! = S!i.000.UOt· S .ooo.oov

P4 • S.\ton: cNin s.so.ooo.oo:>

ldetlllr O>f buycrtst

\A•H) (if pri\ k tr:ln$a..'1ioo:l

E =-Sl�,O()J.S..((l/JOO

Name o f Person Rcpoc1i:1

GARA U FIS. N ICHOL•S G

DateofRc\'<)lt

7/31/c OOS

A.

lslwcs Tr Russell IOOO

Isham: tidcap

Mu1ual Series Shares CJus A

S tandard & Poon

Roches1er Umited Tenn

Pimco Low Duration

Oppcohcimcr Global F®d

E

Ameri c .in B:al cc

l. lncom:/Cia in C s:: A =SI . 000 or Jc,s:

N

Q

( S1.'<' Column C 1 L' • Uoot \' a.lix

8.

rcponlng P<riod

( I) ( °Z)

'f"" C od e I div. rcnc. OI (A-H)

A Dlvicknd

Dividend

A Dividend

A Divid""d

Di v idend

A Dividend

A Divicknd

A Dividend

A Dividend

•

\' • O t her

c. 0 .

porting period

'll ( 2) (I) If DOI o:cn'Ql l tOm disc

( 3 > Type V•hJc buy. $Ctl. Co.Jc mcri:er.

rc<lcmp<ion)

K Pu.rch a.se S/17 K

D T Purchase 10/20 D

D T Purchase 7/I S D

E Pwohase 311 8 E

D T Purchase 811 2 D

K T Purchase 418 J

K T Purchase 1r28 I

K T Purchase S/4 K

D T Pu.rc h ll.SC 3/10 D

< •>

COde l (A· HJ


Page3 of 3

III. INVESTMENTS and TRUSTS

Dcs.:ri.ption ofA.nets (i-lk:h,ading ll\.t$lOJSC.IS)

Pl31."c (X)" llft.ernch:isiet c.xcmpt fi"oo1 prior disclosurr

37.

38.

39.

.w.

41.

•2.

43.

44. . van K>mpeo quity & IDcoole

4S.

-rocomc. v:JllC. 1r.anse:uions {includes thost of the: .s.pouu: ;ind Jcpcndc-.nt childrtn. S..."C pp. J.a.-S1 of fiilns: instrUCtionsJ

(l'.'ICOn'leduring

Amount (e.g.

i1111.)

A

A

G"°" value at end of T on:s dt.1ri1"1g n; period

(2) \'U., Value (c.;. 0-.i.te: C(IJt 2 :-.ielhod fODth • tJ·P'l Codd O>y (/·I'>

(Q-W)

T

T

,,.,

Gain lJcnDty of bllycrlsc:11cr (li private !r'J.llSaCtioa,

{S« C"olumrw Bl ;rnd ().ll = .OOl·SI00.000

!. V;ih:ie Codc5; =SJ$,000« Im

(Se.: Colutn111 Cl ;u1d 03> =S2.SO.OOO·SS00.000

pj =s .ooo.oot-S50.ooo..ooo

;\.Value: M. d:.id CUI.ks =Appr-.usal

•Sl.OOl·S1. . .SOO

c =SIOO.OOJ-Sl.()C(l.<XX>

K = SIS.001 .000

0 =SSOO.OCll·Sl.000,000

R =Cost tRcat Es.ttie On!y)

(' • S .SOl·S!'i,000 D = SS.001-SIS.ClOO

HI = Sf,OO(>,OCU.SS.000.000 H? = r-.1cn than SS..000.WO

L =SSQ.OOl·SI00. 000

l'I =Sl.OOO.OOl·S.1.000.000

P4 =$.\t 11un Sl0.000,000

S =A nen!

�1 = SIOO.OOl·CW.000

=S.1.000.001.s=s.ooo.ooo

T • C.a$1�1:artct

E wSIS.001.$50. 000

Nam ¢. Q t' Pe rson Rtponing

1 •••• under•

FINANCIAL DISCLOSURE REPORT DaltofRtpM

GARAUAS. NICHOU\S G minoo:

�"";"'""'"01R<pon.l VDI. ADDmONALINFORMATION OR EXPLANATIONS

VU, Page I. line 16: Trusl #l is funded with an Equitable Life Insurance Company life insurance policy with a cash surrender value :u 12131/04 ofS4S.1SO

vn. P>gc 1. Lio< 17: ABC. Inc. Pension Plan. lam designated to receive monthly pensioo. benefits ension plaa. Section lll. Line 2 for income received. These paymeau will cease u.poa my death.

O:itc of R pon

Date A_...,.__f_3 1_lo_D_ __


GARAUFlS. NICHOLAS G 11311200S

IX. CERTIFICATION.

I cenify that all information given above (including information pertai ning 10 my spouse and minor or dependent children, if any) is accurate, 1tue, and complete to the best of m y knowledge and belief. and that any information not reponed \VOS wilhheld . because it met applicable staiutory provisions permitting non-disclosure.

I funher certify !hat earned income from outside employment and honor.ma and the acceptance of gifls which have been reported are in compliance with the provisions of 5 U.S.C. § 501 eL seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signa.ture

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULL y FALSIFIES OR FAILS TO FILE nns REPORT MAy BE SUBJECT TO CNIL 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

in for 200t 3. - judicial watch · name o(

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