kevin t duffy financial disclosure report for 2010

8/3/2019 Kevin T Duffy Financial Disclosure Report for 2010

1/7

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the Ethic~in Government Ac t of!978(5 U.~C. app. , ( ,~; I01-111)

I . Person R eport ing ( last name, t int , middle ini t ia l )D U F F Y . K E V I N T .

4. Title (Article IlK Judges indlcute afi*e or senior status;magistrate judges indicate full- or part- time)U . S . D I S T R I C T J U D G E , S e n ~ o r

7. Chambers or Office AddressU N I T E D S T A T E S D I S T R I U r C O U R T5 0 0 P E A R L . S T R E E T , R O O M 2 5 4 0N E W Y O R K , N Y 1 0 0 07

Cour t or OrganizationU S D C , S D N Y

5a. Report T)~e (cherk appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5 b . [] A m e n d e d R e p o r t

On the basis of the Informat ion co nta ined in this R e p o r t a nd a nym o d L q c o t l o m pertaining thereto, it is, I n m y o p i n i o n , I n c o m p l i a n c ew i t h a p p l i c a b l e l a w * a n d . r e g u l a t i o n s .Reviewing Off ice r Date

3. Date of R e p o r t0 5 / 0 ~ 2 0

6. Report ing Pe riod01/01/2010

to

I M P O R T A N T N O T E S : The ins t r uc t ions a ccom pa ny ing th is f o r m mus t be followe,~ Co mple te a l l par ts,checldng the NONE box for each pa rt , ,here you have no reportable information. Sign on last pag,,

POSITION NAME OF ORGANIZATION/ENTITY

2.3.

4.5.

D i r e c t o r E m e d t u s F o r d h a m L a w A l u m n i A s s o c ia t io n

I I . A G R E E M E N T S . cxe~,o,~.gV ~ N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


2/7

FINANCIAL DISCLOSURE REPORTPage 2 o f 7

N a m e o f P e r s o n R e p o r t in gDUFFY, KEVIN T.

D a t e o f R e p o r t05/02/2011

III. NON-INVESTMENT INCOME. (R,po,~.g i~,~d.,t=,dspo,3,; ,ep~. tr-U omi.~ ~.~A. Fflers Non-lnvestment Income~ NONE non-investment income.)o r~po~b]e

DA~ SO~CE A~ ~E1.2010

2.3.

( y o u r s , not spouses)West Group - Royal~Paymcn ~ $286 .67

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If.t~u were married daring any povUon oldie repordng year, complete thi.~ sect~(Dol lar amount not r~/uired ~xcept for honoraria.)

NONE (No reportable non- inves tm ent 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 - u = , , . ~ ,o . ~ ,~ , tods~.oo ~, . , . . .a.~..~(Includes those to apo~e and dependent children; see pp. 25-27 of filing instructions.)

~] N O N E ( N o reportable reimlmrsem~nts.) ""

2.3.4.

5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


3/7


N a m e o f P e r s o n R e p o r t in gD U F F , K ~ V I N T .

D a t e o f Report05102/2011

V . GIFTS. ( I n c l u d e s t h o s e ~ o s p o u s e a n d d ~ p e n d e n t c h i l d r e n ; s e e l o p . 2 8 - J I o f f i r i n g I n s W u c t i o n s . )

N O N E ( N o reportable gif ts. )SOURCE DESCRIPTION

1.2.

3.4.

5.

V A L U E

V I . L I A B I L I T I E S . a , ~ t . d , , O , o , , o f , r e ., , o ~ , t d ~ , ,~ . , c h u r l , , .; ,,, ~,~ J 2 . J J of filing imtruaiona.)~ (No reportableO N E liabilities.)

2.

3.

4.

5.

C R E D I T O R DESCRIPT~N VAL~


4/7

FINANCIAL DISCLOSURE REPORTPage 4 of 7

N a m e o f P e r s o n R e p o r t in gDUFFY, KEVIN T.

D a t e o f R e p o r t05/02/2011

V I I . I N V E S T M E N T S a n d T R U S T S - ~,o~,~ ~.~,. ,~,,a,,~,,, a,a,d~. ,ho,e o/~o.,, o.~ ~e~ ,,~ chU d, e,; ,ee W ~-~o of filing in,tructlons.)~ . NONE (N o reportable incom e, assets , or t ransact ions .) . ""Description of Assets Income during( including m m ~ t~ ) r t lxming p e r i o d

O) (2)P l a c e " ( X ) " a / ~ e r e a c h s s s e t A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r i o r d i s c l o s u r o C o d e 1 d i v . , r e n t ,( A - H ) o r i n t )

1. B P B Div2. ML BANK B I n t e r e s t3. UTS NISOURCE A Dividend4. ERICSON LM TEL A Dividend5. ML BANK A Dividend6. H E W L H T PA C K A R D A Dividend7. . INTEL, CORP. B Dividend8. PFIZER INC. B Dividend9. HALLIBURTON COMPANY A Dividend

1 0 . C O C A - C O L A A DividendI I . AT&T A Dividend1 2 . HONEY~,VELL INT. B Dividend1 3 . J P MORG AN CHASE A Dividend1 4 . ZIMM ER HOLDINGS None1 5 . B L A C K P , O C K C Dividend1 6 . YAH OO Non e1 7 . TRAVELERS A Dividend

G r o s s v a l u e a t e n do f n : p o r t i n g p e r i o dO) (2)

Value ValueCode 2 Method

( J - P ) C o d ~ 3

K TN T

J TK TK TK TL T

K TK TJ TK TK TJ TK T

K TJ T

T r a n s a c d o n s d m i n g r e p o r t i n g p e r i o d(l ) (2) (3) (a) ( s )

Type (e.g., Da~e Value Gain Id~mity ofbuy, sell, mm/dd])7 Code 2 Code 1 buyet/~eller

r e d e m p t i o n ) (J-P) (A-H) (if privatetransaction)

E =$ 1 5 . 0 0 1 - $50.000


5/7

FINANCIAL DISCLOSURE REPORTPage 5 of 7

Name of Person Reporting

DUFFS, K EVIN T.D a t e o f R e p o r t

0 5 / 0 2 f 2 0 1 1

VII. INVESTMENTS an d TRUSTS - i,,co,,,e, ,~tue, = . = = # o , ~D N O N E ( N o reportable incom e, assets, or transactions.)

D e s c ~ p Z i o n o f A s s ~ I n c o m e d m ; . n g( i n c l u d i n g u u s t a s s ~ ) ~g ~

(0 (2)Pla~ "(X)" ~ ~ch ~t ~unt T~ (e.g.,ex~pt ~m ~or discI~ ~ I ~ v . , r e n ~

(A-H) ~ int)

G r o s s v a l u e a t e n d T r a z s a c ~ i o n s d u r i n g r e p o r t i n g p e r i o do f r ~ p o r ~ n g p e r i o dO) (2 ) (0 (2) (3) (4) (5 )

Valt~ V a lu e T y p o (e .g ., D a t e V a l u e G a i n I d e n t i t y ofC o d e 2 M e th o d b u y , se l l , m m / d d / y y C o d e 2 C o d ~ I b u yer /se l l e r

( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) { A - H ) ( i f pr iva t e( Q - W ) t r a n s a c t i o n )

1 8 . Ci t i GroupInc .19 . Merek & Co. Inc,

20. M L & C o . S T R I D E S (Jet Blue)21. VERIZON COMMUNICAIIONS22 . B A T I E R Y P A R K C i T Y23 . C O R N I N G I N C .24. EATON V A N C E25. SLM STUDENT LOAN TRUST 2026 . Re n l a l P rope n y , S uf f o lk C oun t y , Ne w York

A Di vi de nd JA Dividend K

~One J

. B Div idend K .None

A Di vi de nd JA Di vi de nd K

None

D R e n t N

T

TT

SoldTT

SoldW

01/11110 M

01/01/10

I. Inc o m e G a in C o d es: A ~$ 1,000 o r less B =$1.001 - $2,500 C = $ 2 . 5 0 1 - $ 5 . ~ D = $ 5 , ~ 1 - S I(~ CoI~ BI and ~) F =$50,~1 - $1~.~ G =$ I~.~ I - $1.~.~ HI -Sl,~,~l - 15,~.~ H2 =Mine than

Z Value C~ J -$15,~ ~ k~ K ~15.~1 - SSO,~ L =~0,~1 - $1~.~ M =$ I~ . ~1 S250 ,~

(S~ ~l~n ~) U = B ~ k V a l ~ V -~ W =~imat~


6/7

FINANCIAL DISCLOSURE REPORTP a g e 6 o f 7

Name of PerloM Rel~rflng

D U F F Y , K E V I N T .D ate o f R ep or t

05/02~ 011

V III . ADDITIONAL INFORM ATION OR EXPLANATIONS.N O N E


7/7


Na m e o f Pe r son Re po~ngD U F F Y , I ~ V I N T .

D a t e o f R e p o r t0 5 / 0 2 / 2 0 1 1

IX. CERTIFICATION.! c e r t i fy t h a t a l l In f o rm a t i o n g i v e n a b o v e ( i n c l ud 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 sp o u se a n d m i n o r o r d e p e n d e n t ch i l d r e n , I f a n y ) I s

a c c u r a t e , U u e , a n d c o m p l e t e t o t h e b e st o f m y k n o w l e 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 i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yprovisions permitting non-disclosure. ..I f u r t h e r c e r t i f y t h a t e a rn e d In co m e f ro 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 ra r t a a n d t h e a cce p t a n ce o f g i f t s w h i ch h a v e b e e n r~ p o r t e d a r e i nco m p l i a n ce w i t h t h e p ro v i s i o n s o f 5 U . S . C . a p p . 501 e t . s e q . , 5 U . S . C . 7 353 , a n d J ud i c i a l C o n f e r e n c e r e g u l a t i o n s .

S l g n a

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S I F IE 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 J E 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 ( $ U . S .C . a p p . 1 04 )

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s t r at i v e O f f i c e o f t h e U n i t e d S t a t es C o u r t sSui te 2 - 301O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

kevin t duffy financial disclosure report for 2010

Documents