nicholas g garaufis financial disclosure report for 2009

8/3/2019 Nicholas G Garaufis Financial Disclosure Report for 2009

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i ~ O 1 0 FINANCIAL DISCLOSURE REPORT e p o ~ t R e q u i r e d ~ ) , t h e E t h i c sin Go vernment dct of 1978R e ~ . . 1 / 2 0 ~ 0 FOR CALENDAR YEAR 2009 (5 u .S .C, a~, . + . ~ t0 ~ - H 0

~. Person Reporting (last nam e, first, middle initial) 2. Court or Organization 3. Date of ReportGAR_AUFIS, NICHOLAS G, EASTERN DISTRICT OF NEW YORK 07/30/2010

4. Title (Article IlI judges indicate ac ti~.e or senior status: 5~. Report Type (check appropriate type) 6. Reporting Periodmagi~.trate judges indicate ~ll- or pa~-time) [] Nomination, Date 01/01/2009UNITED STATES DISTRICT JUDGE [] initial [] ,Annual [] Final to12/31/2009

5b. ~ Amended Repurl7. Chanlbers or Office A ddress 8. On the basis of the inform ation contained in th is Report and anymodifications pertaluiug thereto, it is, in my opinion, in complianceUS DISTRICT COURT EDNY with applicable la~s and regulations.225 CAD MAN PL AZ A E ASTBROOKLYN, NY 11202 Reviewing Officer ........................................ Date

I ]f fP O R T A N T N O T E S : The instructions accompanying this fornt must be fo!lowed. Complete all part.~,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e , o a i ~ g imtivid*,at onty; seepp. 9-13 ,y fiting instructions.)[~ NONE (No reportable positions.)

pOSITION NAM_E OF ORGANIZATIQN/E~TITYI. MEMBER, BOARD OF DIRECTORS SPECTATOR PUBLISHING COMPANY, INC.

~ N O N E (No reportable agreements.)~ PARTIES A~ TERMS

I. 02/09/1997 ABC, INC. PENSION PLAN MONTHLY SURVI~ OR BENEFIT


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,FINANCIAL DISCLOSURE REPORT~ame of ~erson ~eportin~

[

D a l e o f R e p o r t

[Page 2 of 9 GA~UF IS, NICHOLAS G. 07/30/2010

I II . N O N - I N V E S T M E N T I N C O M E . ~o. , i~g ~d~ g~ , , .~ro~; ~ ~ . ~ ~ -~4 o/y~ i~g ~ ,~ . . . . .. .o~4A. Fliers Non-Investment Income~ NONE non-investment income.)N o reportable

D A T E SO~CE A~ TYPE ~COME(yours, not spouses)1 . 2 0 0 9 ABC ~C. I~TI~MENT PLAN $13,0~3

2.3,4.

B. Spouses Non-Investment Income - ~f ~,,, . were married doting any portion of ~he reporting year, complete this sec~o~( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t ./ b r h o n o r a r i a . )

~ NONE (No reportable non-im,estment income.)D A T E SOURCg AND T, .YPE

~. 2009 C1TIZENS BUDGET COMMISSION, FORM 1099-MISC~ - CONSULTING INCOME2. 2009 FORESTD ALE, INC., FORM !099-MISC. - CONSULTING INCOME3. 2009 NATIONAL JA ZZ MUSEUM IN HARLEM, FORM 1099-MISC. - CONSULTING INCOME4. 2009 NEW YORK UNIVERSITY, FORM 1099-MISC - CONSULTING INCOME

I V . R E I M B U R S E M E N T S . . . . . . ~,, , , ,~ , io. , ~oa~i, ,s . . / , ,o, t , . , , ,e , ,~i ..... ,.( I n c l u d e s t h o a c t o s p o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 2 5 - 2 7 t ~ / ~ / i l i n g i t s o " i c t i o t * )[~] NONE (No reportable reimbursements.)

~ DAT~ LOCATION PURPOSE ITEMS PAID OR, PROVIDED1. UNITED STATES TENNIS 01108/09 -01/10/09 KIAWAIt ISLAND, SC CONFEI/.ENCE TRAVELA SSOCIATION2. LFNITED STATES TENNIS 0 3/14 //09 - 0 3/17 /0 9 PA LM SPRING S, CA CONFERENCE TRAV EL

ASSOCIATION3. UNITED STATES TENNIS 09/05/09 - 09/07/09 NEW YORK, NY CONFERENCE TRAVELASSOCIATION4.5.


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Page 3 of 9 ~ ;A ~ t ~ S , N I C H O L A S G . 0 7 1 3 0 / 2 0 1 0

~ N O N E (No reportable g~s.)~ ;DESCRIPTJON

2.3.4.

5.

~] N O N E (No reportable liabilities.)CREDITOR .... D E S C I ~ I P T I O N V A L U E C O D E

1 .2.3.4.

5.


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FINANCIAL Ia m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tDISCLOSURE R E P O R T[ GARAUFIS, NICHOLAS G .

Page 4 of 9 0 7 / 3 0 / 2 0 1 0VII. INVESTMENTS and TRUSTS - ~ .... e , v a l u e , t ...... l i o n s ( I n c lu d e s t h o s e o f s p ....... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f l lt i n g i n s t ru a i o n s . )

~ N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s ~ t s I n c o m e d u r i n g ~ G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p ~ , n i n g p e r i o d

P I a ~ e " ( X ) " a f t e r e a c h a s s e ~ . A m o u n t ] T y p e ( c . g ., ~ Value Value T y p e ( e . g ., j Da~c ~ Value . Gain identi~:ofe x e m p t f r o m p r i o r d i s c l o s . . . . ~ , C o d e I : d i v . , r e n t , C o d e 2 M et h o d b u y , s e l l, ~ m m / d ~ y y ~ C o d e 2 ! , C o d e I b u y e r / s e l l e r( A - H ) ~ o r i n t . ) ( J - P ) C~e 3 r c d e m p l i o n ) ~ ( . ! - P ) ~ ( A - H ) ( i f p f i , a t e~ ~ [ ( Q - W } I t r a n s a c t i o n ~1. PRIME FUND - CAPITAL RESERVES D Inlerest N T2. DAVIS NEW YORK VENTURE CLASS A A Dividend K T

3. NEUBERGER BERMAN FOCUS FUND A Dividend L T4. BLACKROCK MID CAP VALUE FUND A Dividend K TCLASS A5. VAN KA MPEN GLOBAL FRANCHISE A Dividend Sold 05/01/09 J A6. FIDELITY ADVISOR DIVIDEND A Dividend J TGROWTH7. AIM LARGE CAP G R O W T H F D C I . , . B .A Div idend ,1 T8. AIM GLOBAL GROWTH F D CL B A Dividend K T9. ALLIANCE BALANCED SHARES CL B A Dividend j I T Sold 12/14/09 J A(part)t0. AMERICAN FUNDS: AMERICAN A Dividend K TCAPITAL WORLD GROWTH & INCOMEFUN Dl t. ISHARES TR , RUSSELL 1000 A Dividend K T1 2. WA LT DISNEYCOMPANY CS A Dividend J T1 3 . FIDELITY ADVISOR INFLATION A Dividend K TPROTECTED BD FD CL A

1 4 . ALLIANCE REAl. ESTATE A Dividend K. TINVESTMENT FD A1 5 . OPPENHEIMER SM & MID CA P VALUE A Dividend K T Sold 08it0t09 J AFUND (part)1 6 . ALLIANCE GLOBAL TECHNOLOGY A A Dividend J TFUND1 7 . ALl.lANCE G[~OWTH & INcoME FUND A Dividend K T Sold 02/02/09 J ACL B (part)


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F I N A N C I A L D I S C L O S U R E REPORTI GARA UFIS, NICHOLAS G.

07/30/2010age 5 of 9

~ N O N E (No reportable income, assets, or transactions.)

D e s c r i p n o n o f A s ~ l s ~ I n c o m e d u r i n g ~ G r o s s v a l u e a t c n d [ T r a n s a c t i o n s d u r in g r e p o ~ } n g p e r i o d :( i n c l u d i n g t r u s t a s s e t s ) reining peri~t i o f r e p o r t i n g p e r i o d ~1 ~) t2 ) (~) -[ (2) (~ ) ~ (2) ~ (3) (4)P l a c o " ( X ) " a f i e r e a c h a s s e t ~Amount ]~e (e.g., ; Value Value T y p e ( e .g . ~ Dale ~ Value ~ Ga n.... pt f~m prior disc ] ..... Code I i di ......1. , Cod. 2 [ Method b u y , s e l l, ~mm ld~ . . Codo 2 [ Code l

(Q- ~ . ; . ~ t r a n s a c t i o n )]8 . Cl~ OFNEW YO~DEFE~D A ~ Dividend K T tCOMPENSATION PLAN1 9 . EQUIVEST VARIABLE ANNUI~ N o n e C l o s e d 2 0 0 8

2 0 . ABC PENSION PLAN N o n e J T

~ .... .2 1 . AIM GLOBALEQUI~F~DCLB A Dividend K " r

i22. ISIIARES MIDCAP A "] Dividend K T "2 3 . ISHARES TRMSCI A ] Dividend K T2 4 . ISHARES RUSSELL 2000 A "] Dividend K T2 5 . ISHARES MSCI EMERG~G MKT A I Dividend J T Buy 02!03/091 J

MURA L SERIES CLASS C A Dividend J T27. STANDARD & POORS DEPOSITORY A ] Dividend K T Sokl 1 1 1 1 7 / 0 9 1 J A~CEIPTS ( p a r e )28 . P1MCOTOTAL R E~RN CL C A ] DMdend K T Buy 08/31/091(addl)2 9 . OPPENHEIMER GLOBAL FUND A [ Dividend J T30. VAN KAMPEN EQUITY & 1NCOME g [ Dividend L T Sok! 0 4 2 0 / 0 9 1 J A(part)

Sold 06!29/091 J A~ ~ .... (parl) ,3 2 . Sold t 1 1 2 5 / 0 9 [ J ~ A(parl)I 3. AMERICAN FU~S: A~RICAN A Dividend J T ~ IBALANCED CLASS C

I3 4 . OPPENHEIMER LTD. TERM NY MUNI A I Dividend J T Sold 02/05/09I J ~ A


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FINANCIAL DISCLOSURE REPORT [ ~ ..... f e . . . . . . ~po~i~Page 6 of 9[| G A R A U F I S , N I C H O L A S G . 0 7 / 3 0 1 2 0 1 0

N O N E (No reportable income, assets, or transactions)

D e s c r i p ti o n o f A s ~ t s ~ I n c o m e d u r i n g G * ~ s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o s i n g p c h o d~ (including t~st ~scts) ~ r e p o ,~ in g p~ io d o f r e p o a i n g pe ~ od I~ P a c e " ( X ) " a f t e r ~ c h a s s e t ~ A m o u n t T y p e ( e . g ., Value Value T ) ~ e ( e . g . , [ Dale [ Value G a i n I d e n t i t y u f ~ e x e m p t f r o m p r i o r d i s c l o s u re ~ C o d e 1 d i v . , r c a t , C o d e 2 M e t h o d b u y , s e l l , ~ m~d~ [ Code 2 C o d e 1 b u y e r ] s e l l e r (A-H) o r i n t . ~ ( J - P ) Code3 r e d e m p t i o n ) ~ ( J - P ) ( A - H ) ( i f p r i v a t e[ ~ ( Q - W ) l r a n s a c t i o ~ )

3 5 . ALLIANCE BE~STE~ LG CA P A Dividend K "1"GROWTH B3 6 . AMERICAN F~NDS: ,AMERICAN A Divideod J T Sold ~ 1 0 / 0 9 / 0 9 J ACAPITAL INCOME BUILDEK.CLASS C ( p a ~ t )3 7 . ROCHESTER FD. MUNI A A Dividend J T

" 3 8 . OPPENHEIMER GLOBAL CLASS C A Dividend K T3 9 . AMERICAN GROk~H FD OF AMERICA B Dividend M T Sold 09/21/0~ J AC (part)4 0 . AMERICAN F~DS: AMERICAN H IGH B Dividend K T~COME CLASS FUND41. ALLIANCE GROW TH INCOME CL A A Dividend J T4 2 . AIM DEVELOP~G MKT CL A A Dividend K T4 3 . OPPENHEIMER ]NTBD FD A Dividend J T4 4 . VANGUARD INT TEKM TAX A Dividend J T Sold 0 5 / I 3 / 0 9 J A(part)

4 6 . .klM CONSTELLATION FD CL B A Dividend Sold 07/27/09 3 A4 7 . GA BEI,LI ASSET FLeD A lnl./Div. J T

4 9 . I SHARES S&P S~AP 600 A Dividend J5 0 . COLUMBIA SM CAP VAL II C[A A Dividend J T

5 1 . EAGLE SM CAP FD A A Dividend J T


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F IN A N C I A L D I S C L O S U R E R E P O R T ~ .... f P .....Reporl ing [ Date of ReportPage 7 of 9 ~ A ~ V F ] S , N I C H O L A S G .V I I . I N V E S T M E N T S a n d T R U S T S - i, . . . . . . . ~o t . . . . . . . finns (Includes tho~e o]sp ..... d dependent chitdren; seepp. 34.~0

N O N E (No reportable i~come, assets, or transactions.)

] Description of As~ts ~ Income during ~ Gross value at end Transactions during repoaing period[ (including t~st assets) ~ reporting p~riod ! of reporting period [~ Place "(X)" after each asset Amount Type (e g, Value V ue [ Type (e g Date Va ue ~ Gain ldent ~ of Code I ~ " 9 : [: exempt ~om pr or d sc osure ~ d u , t e n Code _ Method _[ buy, sell, I m~d~~ C~e _~ Code 1 buv er/seller~ (A-H) or int.) ~ Q-P) Code3 [ redemption) ] (J-P) ~ (A-H} ~ (if private

] 52. 1 SHA~S RUSSELL 2000 VALUE A Dividend J T

53 , 2(~4 T~UST None J T54 . RYDE~ SGI ~GE ~S A Dividend J T Bu y 04/09/09 J ..........55 , Bu y 05it 3/09(addl)56 . Bu y 06/02/09 J(addl)

[ 5 7 . PiMCO ON~bNSTRA~ A Dividend K T Bu y 05/12/09 J58 . Buy 06/12/09(addl)59 . Bu y I 0/15/09 J

[ 60. (addl) ,.Buy 12/29/09 J(addl)[ 61. ARTISAN I~L ~VESTOR A Dividend J T Bu y I I/05/09 J62.


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Ia m e o f P e r s o n R e p o r t in g[

D a t e o [ R e p o r tI N A N C I A L D I S C L O S U R E R E P O R T[ GARAUFIS, NICHOLAS G.

07/30/2010age 8 of 9VIII . ADDITIONAL INFORMATION O R EX PLANATIONS. andi~a,ep,,,erRem~

VII, PAGE 5 OF 9, LINE 20 :ABC, INC. PENSION PLAN. I AM DESIGNAT ED TO RECEIVE MONT HLY PENSION BENEFITS UNDER~IIi g~g~~ ~ I~a] PENSION PLAN.PART III, LINE 2 DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON MY DEATh. ~: ::: "~ :::~ .......VII. PAGE 5 OF 9, LINE !9:EQUIVEST V ARIABLE ANNUITY W AS TERMINATED IN PRIOR YEAR. A ND ERRONEOUSLY INCLUDED IN 2008 FINANCIAL DISCLOSUREREPORT AS ACTIVE ACCOUNrF.


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F I , N A ~C I A L D I S C L O S U R E R E P O R T ~ or~, ~opo~t~.g.....l D a t e o f R e p o r t [

Page 9 of 9 G A R A U ~ lS , N I C H O L A S G . 0 7 / 3 0 / 2 0 1 0I X . C E R T I F I C A T I O N .

I certify that all information giv en above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my kuowledge and belief, aud that any information not reported was withlteld because i! met applicable statutoryprovisions permitting non-disclosure.I further certify that earued income from outside employment and hono raria and the acceptance of gifts which hav e been reported are incompliance with the prov isions of 5 U.S.C. app. 50I et. seq., 5 U .S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL \VHO KNOW INGLY AND W ILFUI.LY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuile 2-301One Columbus Circle, N.E.Washington, D.C. 20544

nicholas g garaufis financial disclosure report for 2009

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