richard j holwell financial disclosure report for 2009

8/3/2019 Richard J Holwell Financial Disclosure Report for 2009

1/12

I l o - . I FINANCIAL DISCLOSURE REPORT Report Required by the Ethicsin Government Act of 1978R e v . 1 / 2 0 ~ 0 [ FO R C A L E N D A R Y E A R 2009 ( 5 u . s . c , a p p . 1 0 1 - 1 1 1 )1. Person Reporting (last name, first, middle initial) 2. Court or Organizat ion 3. Date of ReportHolwel!, Richard J, USDC/SDNY 06/14/2010

4. Title (Article 1~I judge~ indicate active or senior status; 5a. Report Ty pe (check appropriate type) 6. Reporting Periodmagistrate judges indicate fi~[I- or part-time)[] Nomination, Date 0110112009

U.S. District Judge - Active [] Initial ~ Annual 1--] Final to12/31/20095b. [] Amended Report

7. Chambers or Office Address 8. On the basis of the information contained In this R.eport and anymodifications pertaining thereto, it is, in my opinion, in compliance500 Pear! St. with appficable laws and regulations.Chambers 1950New York, New York 10007-1312 Revicwlng Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this farm must be followet Complete all parts,checking the NONE box for each part where you have no repo rtable informatior~ Sign on last page.

I . P O S I T I O N S . r n e p o . i n g individual only; seepp. 9-13 of filing instructions.)[] N O N E (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTI~1 Parmer Van Duyn Associates (SEE SECTION VIl~amgraph ~

ci I

I I . A G R E E M E N T S . (Reporting individual only; sgapp. 14-16 of filing instructionsO~ N O N E ( N o r e p o r t ab l e agr e e m e n t s . )

D A T E P A R T I E S A N D T E R M S1.08/01/2000 PLEASE SEE SECTION VIII, Paragraph 2.


2/12

N a 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 tF IN A N C I A L D I S C L O S U R E R E P O RT r~olwe~, Richard J. "age 2 of 1 1 0 6 / 1 4 1 2 0 1 0

I I I . N O N - I N V E S T M E N T I N C O M E . m e p o , n , g i. d ~ , U ~ a l ~ .~ ~ p o , se ; ~ e e p p . 1 7 - 2 4 of.t~ling instructions.)A . Filers N on-Investment Income

NONE (No reportable non-investment income.)DA TE SOU RCE A ND T Y P E I N C O M E(yours, not spouses)

1 . 2 0 0 9 White & Case LLP (post-retirement payments fixed at time of retirement $316,180on November 1, 2003).2.

3.

4.

B . S p o u s e s N o n - I n v e s t m e n t Income - i f you were married du ring any port ion of the report ing year, complete this sect ion-( 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 J b r h o n o r a r i a . )

D NONE (No r e p o r t ab l e no n- i nve s t m e n t i nc o m e . )D A T E S OU R C E A N D T Y P E

1. 2009 Self-employed architect2.

3.4.

I V. R E I M B U R S E M E N T S -( I n c l u d e s I h o s e t o s ~ o u s e a o 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 o f f ! li n ~ i n s t r u c t i o , .z . )

N O N E ( ~ 0 reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

!.2.3.4.5.


3/12

F IN A N C I A L D I S C L O S U R E R E P O RT n ~ e o f P e r s o n R e l ~ o r t in g D a t e o f R e p o r t ..Page 3 o f 11 H o ~ w e n , R i c h a r d J . 0 6 / 1 4 / 2 0 1 0

V . G I F T S . /Includes those to sp . . . .. . . d dependent ch ildren; see pp. 28-31 of f!ling instructions-)[] N O N E (No reportable gifts.)

S O U R C E DESCRIPTION VALUE

2.3.4.5.

1. l-~l/ll~l.lallL~.~ o (Includes those of sp ..... nd dependent child, en; see pp. 32-33 of filing inst,uctions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE1.2.3.4.5.


4/12

N a m e o f P e r so n R e p o r t i n g D a t e o f R e p o r tP a g e F I N A N C I A L 4 o f 1 1 D I S C L O S U R E R E P O R T Holwell , R i c h a r d J . 0 6 / 1 4 / 2 0 1 0

V I I . INVESTMENTS a n d T R U S T S - in com e , ,alue, t ...... t i o n s ( I n c l u d e s t h o s e o f s p ..... d depende nt children; see pp. 34-60 of fi l ing instructions0N ON E (N o reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p t i o n o f A s s e t s I n c o m e d u r h ~ g G r o s s v a l u e a t e n d T r a n s a c t io n s d u r i n g r e p o r t i 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 ) r e p or t i n g p er i o d o f r e p or t i n g p er i o d

(1 ) (2 ) (1) (2) (1 ) (2) (3) I (4) (5 )P la c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . , V alue V alue T y p e ( e . g . , D a t e Value Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c l o s u r e Code I d i v . , r e n t , C o d e 2 M e t h o d buy, sell, m m /d d / y y C o d e 2 C o d e I buyer/seller( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - 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 )

1. V an Duyn Assoc., NY, NY E Rent P 1 W2. Bell South A Dividend J T3. Brokerage Account #I

4. - Fidelity S&P 500 Sold 01/26/09 L A5. - Fidelity Contrafund Sold 01/28/09 M A6. - Fidelity Lo Pr Stk Sold 01/21/09 N A7. - First Eagle Overseas A Sold 02/06109 M A8. - US G lobal Inv Global Sold 01/21/09 K A9. - Schwab M. Mkt. Fund A Interest K T Sold 04/15/09 L Atart)

1 0 . - CGM Focus Sold 02/25/09 K A1 1 . - UltShort S&P 500 Sold 03/11/09 K A1 2 . - NY City Mun Wtr Fin, 6/15/31 E Interest N T1 3 . - NY C it Mun Wtr Fin, 6/15124 D Interest M T1 4 . - NYS Dorm Revs St Supp, 2/15/16 D Interest M T15 . - Comp Bond D Intcrcst M T B uy 04/24/09 M

16 . - Baird Muni M T B uy 01/26/09 M1 7 . - Baird Muni C Interest M T B uy 02/06/09 M

1. Income Gain Codes: A =$ 1,000 or less B =$ 1,001 - $ 2,500 C =$ 2,501 - $ 5,000 D =$ 5,001 - $ 15,000 E =$ !5,001 - $ 50,000(See Columns B 1 and D4) F =$ 50,00l - $100,000 G = $100,001 - $1,000,000 ftl ~$1,000,001 - $5,000,000 H2 =More than $5,000,0002. Value Codes J =$15,000 or less K =$15,001 - $50,000 L = $50,001 - $ 100,000 M = $100,0Ol - $ 250,000(See C 0[unm s C I and D 3) N =$ 250,001 - $ 500,000 O =$ 500,001 - $ 1,000,000 PI = $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 =Appraisal R ~Cost (Real Estate Only) S ~A ssessm ent T =C ash Market(See Column C2) U =B o o k Va lue V ~Other W =E stimated


5/12

FINANCIAL DISCLOSURE REPORT [ N a m e o f P e r so n R e p o r ti n g Date of ReportPage 5 of 11

[ Holwell, Richard J.06/14/2010

VII. INV ESTMENTS and TRUSTS - ;~ ....... ~ u , , t ,~ n s a ~ a o , ~ a n t i , d e , t ~ o ~ o / ~ o ~ ~ ~ , ~ ,~ t ~ , ~ , ,~ ~ r~.N O N E (No reportable income, asse~s, or transactions.)

A. B. C D.D~iption of Assets I n c o m e d u r in g G ro s s v a l u e a t e n d T~ sactions during r~ing(includ~g t~st asse~) re~mg p~i~ of reposing pe~od(1 ) (2 ) O~ (2) ( 1 ) (2) (3) ~

P l a c e ~ ( X ) " a f t e r e a c h a s s e t ~ A m o u n t T~ (e.g., V a l n ~ Value T~ (0.g, D a t e Value] Gain ] d e n t i t y o fe x e m p t f r o m p ~ o r d i s cl o s m e C~e 1 d i v . , ~ n t . C o d e 2 M e t h o d b u y , ~ I 1 , ~d~yy ~ode 2 C~e I buyer/seller( A - H ) o r in t . ) ( J - P ) C~e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i ~ a t e: ( Q - W ) tra~ction)1 8 . - Baird Muni Sold 02t05/09 M A1 9 . ~ SPDR D Dividend N T B uy 03/16109 M2 0 . - Vanguard B Interest M T B uy 08/11/09 M2 1 . iRA #1

2 2 . - ML Pacific Fund A Dividend L T2 3 . - PiMCO Total Return D Sold 08/06/09 L A2 4 . - Brandywine Sold 02/26/09 L A2 5 . - PLMCO Conml, Real Sold 02/23/09 ,~ A2 6 . - P[MCO Total Ret. lnst M T2 % - First Eagle Overseas Sold 02/26/09 L E2 8 - Dodge & C ox Intq Stk I Sold 01/26/09 K A2 9 . - RS G lobal Net Res Sold 02/23/09 K A3 ~ ) . - US G ]obat Inv. Global Sold 02/23/09 K A3 1 . - U ltra Short S&P 500 Sold 05/li/09 K A3 2 . - Schwhb Money Market Fund M T

3 3 . , Dew (Bond) M T B uy 06/04/09 M3 4 . - Morgan Stanley (Bond) M T B uy 03/11/09 L

1, Income Gain Codes: A = $1,000 or less B ~$1,001 - $2,500 C =$2,501 - 55,000 D =$ 5,001 - $15,000(~ee Colamns B I and D4) F =$ 50,001 - 5100,000 G =$ 100,001 - $ I,000,000 HI ~$ I,000.,001 - $ 5,000,000 1-12 =More th~Lrt $5,000,0002. Value Codes J ~$ 15,000 or less K ~$15 )00 ] - $50,000 L =$50,00 ! - 5100,000 M =$ 100,001 - $ 250,000(Se e C olum ns C I aad D 3) N = 525 0,001 - $500,000 O =$5~ 30,001 - 51,000,000 P I = $ 1 .0 00 .0 01 - $ 5, 00 0, 00 0 P 2 = $ 5 ,0 00 ,0 01 - $ 25 ,0 00 ,0 00P3 =$ 25,000,001 - 5 50,000,000 P4 =More than $50,000,0003. Value ldelhod Codes Q =A ppraisal R =C o~t (R eal E state Only) S =Assessmem T =Cash Market(See C0luma C2) U =B o o k Va lue V =Other W ~Estimated


6/12

F IN A N C I A L D I S C L O S U R E R E P O R T Name of Person Reporting .... D a t e o f R e p o r t .Page 6 o f 11 H o lw e U , R ic h a r d J . 0 6 / 1 4 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i . . .. e , v a l u e ~ t ..... lions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N ON E (N o reportable income, assets, or transactions.)

A. B. C. D.D e s c r ip t i o n o f A s s e t s I n c o m e d u r in 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 o r t i 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 ) r e po rt i n g p e r i o d o f r e po rt i n g p er i o dP l a c e " ( X ) " a f t e r e a c h a s s e t Amount [ Type (e.g., Value Value T y p e ( e . g ., ] Date [ Value i Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c l o s u r e Code 1 [ d i v . , r e n t , C o d e 2 M e t h o d buy, sell, /m m / d d ] y y I Code 2 i Code 1 buyer/seller~ o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) (JP) I ( A - H ) ( i f p r i v a t e( Q - W ) I t r a n s a c t i o n )3 5 . - Terex (Bond) M T B uy ] 03/11/09 L3 6 . - Baird Int L T B uy 06/10/09 L3 7 . - JP Morgan Em Debt L T B uy 07/27/09 L

3 8 . - JP Morgan S. Inc. M T B uy 11/05/09 M3 9 . -Pimco F. Bond L T B uy 07/27/09 L4 0 . -Pimco Mtg B M T B uy 08/06/09 M41. - Matt. India L T B uy 08/24/09 L4 2 . - I Shares TR L T B uy 06/12/09 L4 3 . - Morgan Stantcy (Bond) L T B uy 01/08/09 L4 4 . - Morgan Stanley (Bond) Sold 08/05/09 L A4 5 . - Proshares B uy 06/22/09 K4 6 . - Proshares Sold 07/24/09 K A4 7 . - G.E. Bond B uy 03/11/09 M4 8 . - G.E. Bond Sold 09/15/09 M A4 9 . - PIMCO Em Mkt Sold 07/27/09 L A

5 0 . - PIMCO Em Mkt Sold 11/02/09 L A5 1 . IRA #2

I. IncomeGain Codes: A =$1,000 or less B =$ 1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000 E =$15,00I - $50.000(See Colum ns B t an d D 4) F =$ 50,001 - $ 100,000 G = $1 00 ,00 1 - $ 1,0 00 ,0 00 H 1 = $1 ,0 00,0 01 - $ 5,00 0,0 00 1-12 =Move tha n $ 5,000,0002. Value Codes J =$ 15,000 or less K =$ 15,001 - $ 50,000 t. = $ 50,001 - $ 100,000 M =$ 100,00 i - $ 250,000(See C0[urans C1 and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000 P 1 = $ 1 ,0 00 ,0 01 - $ 5 ,0 00 ,0 00 P 2 - $ 5 ,0 00 ,0 01 - $ 2 5 ,0 00 ,0 00 "

P3 =$ 25,000,001 - $ 50,000,000 P4 -More than $50,000,0003. Value Method Codes Q =Appraisal R --Cost (Real Estate Only) S =Assessment T =Cash Market(See C olumn C 2) U =Book V alue V =Olher W =Estimated


7/12

F IN A N C I A L D I S C L O S U R E R E P O R T I N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tPage 7 o f I 1

I H o l w e l l , Richard J. 0 6 / 1 4 1 2 0 1 0V II. INVE STMENTS and TRUST S -~" ........ l u e , t ransact ions (Includes t h o s e o f s p ...... d d e p e n d e n t c h i ld r e n ; see pp. 34-60 of filing i n s t r u c t i o n s . )[ NONE (No reportable income, assets, or transactions.)

A . B, C. D.D e s c r i p t io n o f A s s e t s Income dur~g G r o s s v a l u e a t o n d T r a n s a c t i o n s d u r i n g r e p o r t i 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 ) r e p o r t i n g p e r i o d o f r e p o r t i n g p o r i o d(1) (2) ( 1 ) ( 2 ) ( 1 ) ( 2 ) (3) (4)P l a c e " ( X ) " a i d e r e a c h a s s e t A m o u n t T y p e ( e . g . , V alue V alue T y p e ( e . g ., D a t e V alue G ain I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d buy, sell, m m / d d / y y C o d e 2 C o d e 1 buyer/seller( A - H ) o r in t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - 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 )

5 2 . - First Eagle Overseas A A Dividend Sold 02/09/09 K A5 3 . - bietroWest Total Ret A Dividend J T5 4 . - Cash J T5 5 . - "rCW Bond J T B uy 05/20/09 J5 6 1 - Proshares B uy 05/08/09 L5 7 . - Proshares Sold 10/15/09 L A5 8 . - JP Morgan S. Inc. K T B uy 04/02/09 K5 9 . - Perm Port K T B uy 11/25/09 K6 0 . - E.V. Global J T B uy 12/07/09 J6 1 . Fidelity Annuity

62. - Fidelity Contrafund Sold 02/27/09 L A63. - Fidelity Adv. G r. Opp. t (formerly Fidelity Sold 02/27/09 K AG rowth Opps.)6 4 . - Cash M T65. W hite& Case RIP Pension F Dividend L W See Att . VIII -A ofReport6 6 . W hite & Case 401(K) See Att. V[II-A ofReport6 7 . - Turner Midcap Gr. Sold 01/09/09 M A "68. - AxiomIntl Inv. Sold 01/09/09 O A

I . Income Gain Codes: A =$ 1,000 or less B =$ 1,001 - $ 2,500 C =52,501 - 55,000 D -$ 5,001 - 515,000 E =$ 15,001 - $ 50,000(See Columns B I and D4) F =$ 50,001 - $ 100,000 G =$ 100,001 - $1,000,000 H 1 = $ 1 ,0 00 ,0 01 - $ 5 ,0 00 ,0 00 H 2 =M o re th a n $ 5 ,0 00 ,0 002. Value Codes J = $ t 5.000 or less K =$15,001 - $50,000 L =$ 50,001 - 5100,000 M ~$ 100,001 - $ 250,000(See Colum ns CI and D3) N = $25 0,001 - $ 500,000 O ~5500,001 - $1,000,000 P I = $ 1 ,0 00 ,0 ~ 1 - $ 5, 00 0, 00 0 P 2 = $ 5 ,0 00 ,0 01 - $ 2 5, 00 0, 00 0P3 -$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =A ppraisal R =Cost (Real Estate Only) S =A ssessment T =Cash Market(See Column C2) U =B o o k Va lue V =Other W =Estimated


8/12

F IN A N C I A L D I S C L O S U R E R E P O R T NameofPerson Reporting ........... D a : t e o f R e p o r tPage 8 of 1 1 Holwell , R i c h a r d J . 0 6 / 1 4 / 2 0 1 0V H . I N V E S T M E N T S a n d T R U S T S - i ,co ,~e , ~ , t~ , , t r , , s ,cao ,~ anctuaes those ospouse ~a aep ,~a~t ~n i taren; su ~p . ~4-~0 o f ~ t~g ins t rucaon~)

NONE ~o repor t a b l e i n com e , a s se t s , o r t ra n sa c t ion s . )D e s c r i p t io n o f A s s e t s h~come d~ing G r o s s v a l u e a t e n d Transactions d~ing reining ~riod(including t~st ~se~) m~ag period of r~o~ng ~fiod

(1) l (2) (1) (2) ~ (I) (2) i (3) (4) ~---~- ..............Place"(X )" aff~ ~ch asset Amount [ Type (e.g., V alue V flue T~e (e.g., D a t e V M u e G a in [ I d e n t i t y o fexempt from prior ~sclo~e C o d e 1 [ d i v . , r e n t . C~e 2 M e t h o d buy, sell, m~ d& yy ~ C ode 2 C~e ~ [ buyer!seller( A - H ) o r i n t .) ( J - P ) C~e 3 r e d e m p t i o n ) ~ (J-P) ( A - H ) [ ( i f p r i v a t e(Q-~) ~ [ tran~ction)69. - SSG A Sold 01/09/09 K A70. - Davis NY Venture Sold 02/09109 N A "71. - PIMCOTotal Ret. O T B uy 01/09/09 M "7 2 . - Columbia V al & R Sold 01/27/09 L A "7 3 . - Royce Low Price Sold 02/24109i K A7 4 . - V anguard lnfl-Prot K T Sold 06/I 1/09 K A75 . - SPDP~ Sold 03/04/09 K A "

7 6 . - t Shares Broil M T B uy 05/14/09 L7 7 . - SPDR Energy L T B uy 05/11/09 L7 8 . - TFSMarket L T B uy 01/27/0979. - PIMCO NY L T B uy 05/11/09 1_. "8 0 , - PIMCO Mtg B M T B uy 05/14/09 L8I. - SPDR China B uy 0 5 1 1 1 1 0 9 L "8 2 . - SPDR China L T Sold 08/25/09 K A(part)i83. L Tanguard8 4 . - Wintergreen L T B uy 10/29/09 K "85, - Pro Shares US B uy 01129/09 K

! I . Income Gain Codes: A =$ !,000 or less B =$ 1,001 - $ 2,500 C =$ 2,501 - $ 5,000 D =$5,001 - ~:15,000 E =$ t 5,001 - $50,1~0I( See C olumns BI and D 4) F =$ 50,001 - $ 100,000 G -~ll00,001 - $ 1,000,0~0 HI =$ 1 0~0,001 - $ 5,000,000 H2 =More titan $ 5.000,0002. Value Codes aI =$15,000 or less K =$15,001 - $50,d0~ L = $50,001 - $ 100.000 M ~ $100,t~ 01 - $ 250,000(See C olum ns C I and D 3) N =$ 250,001 - $ 500,~90 O =$ 500,001 - $ 1,000.000 PI ~$1,000,001 - $5,000,000 P2 =$ 5,000,001 - S25,000,000P3 =$ 25,000,001 - $ 50,000,000 P4 =More lhzn $50,000,0003. Value Method Codes Q =Appraisal R =C ost (Real Estate Only) S ~Assessment T =Cash Market(See Colatrm C2I U =~o o k V a lue V - - ~ O t b ~ e r W =Estimated


9/12

IF IN A N C I A L D I SC L O S U R E R E P O R T ] Name of P ..... Reporting ........ Date of ReportPage 9 o f 11 I Holwe|l, Richard J.06/14/2010V I I. IN Y E S T M E N T S a n d T R U S T S - i .... , , v a t , s , t .~ a ~ o ~ , a . e z ~ $ t h o s e o : s ~ . . . .. . ~ d~,,t ~i~;

N ~ N E ~ o reportable income, ~sers, or transactions.)A. B. C D.

D~scfipti~n of Assgts Income du~g Gross valae at end T~nsactions d~ing r~ing(Jn~lud~g t~st ~se~) repoaing peri~ of r~o~ing

Plac~ "(X)" after ~ch ~se~ [([) (2) (1) (2) (1) (2) ~-~3fAmo ur T ~e (e.g., Valu~ V a l u e Type (e.g., Da~e ~ Value ~in ld~ati~ ofexempt from prior ~losur* C~ 1 div., ~nh Code 2 Me~od buy, s~lL mm/d~ ] Code 2 C~ 1 buyer!~lMr~A - H ) or int.) (J-P) Code 3 redemption) (J-P) (A -H ) (ifpfiv~e~ ~ (Q-W) tran~cfion)

8 6 . - Pro Shares US [ [ Sold 05/11/09 K A I,,I I I

I . Income Gein Codes: A =~ 1,000 o~ less B

(~ COI~s C I and 93) N =$2~0,~l - $5~,000 O


10/12

|F IN A N C I A L D I SC L O S U R E R E P O R T [ Name of Person Reporting .................... D a t e o f R e p o r t [Pag e 10 o f 11 ~ o t w a l , R i c h a r d J . 0 6 1 1 4 / 2 0 1 0V II I . A D D I T I O N A L I N F O R MA T I O N O R E X P L A N A T I O N S . a~d~,tep,,,oIR,~,o,,)

1. Regarding Section I:Partner, Van D uya Associates. V an Duyn A ssociates is a general partnership formed under New Y ork law pursuant to a restated and amended agreementdated Decem ber 21, 1979. !~ own w i th~ a 60% inte res t in the partnership which owns the bui lding in which we res ide .

2. Regarding Section 1I:W hite & C ase Savings and Investment Plan ("SIP"). White & Case is my fonner law firm. The W hite & C ase SIP was originally established in 1983. tt is aqualified 401(K) plan. Subject to certain qualifications, all employees can participate in the plan and may remain in the plan after retirement. Participants are ableto select tl~eir investments from among a limited list of mutual funds only.W hite & C ase Retirement Income Plan ("Pd-P"), W hite Case is my former law firm. The W hite & C ase RIP is a defined benefit pension originally adopted in1985 and is limited to certain partners and employees of the Firm. The RIP provides upon retirement an annual benefit which is a percentage of the totalcompensation earned by a participant during membership in the plan, The contributions to PdP are actuarially determined and are paid by the Firm to a tt-ust fund.I am fally vested in the plan Participants have no control over the trust funds investment.W hite & C ase Partnership Agreement. W hite & C ase is my former law finn. The amended and restated pamxership agreement dated August 1,2000 governs

the operation of the Firm. The equity partners of the Firm are parties to the agreement. "Upon ceasing to be an equity partner, such partners capital account isfixed and distributed in monthly payments over a term of six years. All such payments were made by Decem ber 31,2009.3, Regarding Section VII, Item N os. 65; 66-86.

SEE ATTACHMENT VIII-A


11/12

N a 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 tF I N A N C I A L D I S C L O S U R E R E P O R T] H olwell , Richard J.age 11 o f 11 o 6 / ~ 4 / a O l O

IX. CERT~ICATION.I certiiy that all information given above (including information pertaining to my spouse and mluor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature

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 L Y F A L S I F IE S O R F A I L S T O F I L E T H IS R E P OR T M A Y B E S U B J E C T T O C IV I LAND CRIM INA L SANC TIONS (5 U .S,C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies m:

Com mittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus C irc le , N.E.W ashington, D.C. 20544


12/12

R i ch a r d J . H o l w e l l

F ORM A 0 -1 0ATTACHMENT VIII-A

Item 65 White & Case Retirement Income Plan ("RIP"). The W hite & Case RIP isa defined benefit pension originally adopted in 1985 and is limited tocertain partners and employees of the Firm. The RIP provides uponretirement an annua! benefit, which is a percentage of the totalcompensation earned by a participant during membership in the plan. Thecontributions to R IP are actuarially determined and are paid by the F irm toa trust fund. I am fully vested in the plan. Participants have no controlover the trust funds investments. My armual accrued benefit is ~

Items 66-86 W hite & Case 401(K) Plan. The plan administrator, CitiStreet RetirementPlan, does not provide plan participants with periodic income informationon either an aggregate or per-fund basis. The only information provided isthe change in valuation over time, This information is provided below:

F U N D V A L U A T I O N V A L U A T I O NTurner Mid Cap G rowth ~.~!~. -0-SSGA Emerging ~ -0-

Columbia Val & R ~}::~!}}: ~ - O -Royce Low Pr ice : :~. : ~ -0-

S P D R E n e r gy -0-T F S M ~ k e t -0 -P~CO HY -0-P~CO Mtg B -0-S P D R C h in a -0-V~guard -0-Wintergeen -0-Proshare U S -0-

richard j holwell financial disclosure report for 2009

Documents