sandra l townes financial disclosure report for 2009

8/3/2019 Sandra L Townes Financial Disclosure Report for 2009

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I 4o to ] FINANCIAL DISCLOSURE REPORT a~?o~t R e q u i r e d b y t h e E t h i cin Government Act of1978Roy. Z/2010 I FOR CALENDAR YEAR 2009 (s u.s.c, app.I . P e r s o n R e p o r t i n g ( l ~ t n a m e . , f i r x l , m i d d l ~ i ~ i t i a l ) 2. Con r t o r Organiza t ion 3 . D a t e o f R e p o r tT O W N E S , SA N D R A L . U . S . D i s t r ic t C o ur t , ED N Y 6 / 1 0 / 2 0 1 0

4 . T i t l e ( A r t i c l e I l l ju d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a te l y p c ) 6. Repor t ing Per iodm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t im e ) [ ] N o m i n a t i o n , D a t e 01 /01 /2009U . S . D i s t r i c t J udg e - A c t i v e [] Inidal [] Annual [] Final t o1 2 / 3 1 / 2 0 0 95 b , [ ] A m e n d e d R e p o r t

7. Chamber, or Off ice Addres , 8. On ,h; b , , is of the information contai~/d in this R,port and anymodif ica t ions per ta in ing there to , i t i s , in my opin ion, in complianceU n i te d S ta t e s C o u r th o u s e with appl icable l aws Ind r egula t ions.2 2 5 C a d m a n P l a z a E a s tB r o o k l y n , N Y 1 1 2 0 1 Reviewing Off ice r D a t e _

I~IPOR TAN T NO TES: The instructions accompanying this form must be followe"l Com plete all parts,checking the NONE box for each part where you have no reportable information. Sign on las t pag~

I . P O S I T I O N S . ~ s , r o , # , , ~ a i , .i ~ o t o ~ y : ~o,~. ~-~ o / : t i o ~ ~ , , , ~ , ~ a o , ~ . )N O N E (No repor tableposi t ions.)

p O S I T I O N N A M E O F O R G A N I ZA T I O N / E N T IT YI.

~ N O N E (No reportable agreemen ts.)~ PARTIES AND TE~S

I. 20~ Ne w Yo r k S~ a nd ~ a l Re t i ~ m e nt P l a n , no c o ntr o l


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N a m e o f P e l io 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 2 o f 8 D I S C L O S U R E R E P O R T I T O ~ V N E S , S A N D R A L . 6 / 1 0 / 2 0 1 0

I l L N O N - I N V E S T M E N T I N C O M E . (R++ o+~+ + i , i i .~d ,~,~z.~o~; s~,pp. ~.~4 of ~i~z instructionS-)A. Fi l e r s No n -I n v e s t m e n t I n c o m e[ ] N O N E (No reportable non-investment income..)

D A T ~ S O U R ( ~ E A N D T Y P E I N C O M E( y o u r s , n o t s p o u s e s )I. 2009 NYS and Local Retirement Systems benefit. $66,556.26

2.3.

4.

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 - lf you swre married during any potffon of the reportlng year, complete this section.(Dollar amount not required except for honoraria.)

[] N O N E (No reportable non-investment income.)D A T . _ _ _ . . ~ S O U R C E A N D T Y P E

2.3.4.

I V . R E I M B U R S E M E N T S - , . . . s r o ~ o . , ~ o~ .z , /ooa, . . ,e~.~ . .. .~(Includes those to spouse and dependent children: see pp. 25-27 of filing instruction~.)

N O N E (N o reportable reimbu rsements.)SOU__Q_U__~.C~ D A T E ~ L OCA TION P UR P Q S E I TE M S P A I D OR P R O V ID E D

I.2.3.

4.5.


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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 ~PageFINANCIAL3 of 8 DISCLOSURE REPORT I T O W N E S , S A N D R A L . 6 / 1 0 / 2 0 1 0V . G I F T S . a n , r u d e , ~ h o , o , o s p o . . .. . d dependent children; see p p . 2 8 - 3 1 of filing instructions.)

N O N E (No reportable gifts.)S O _ _ Q _ [ d . t ~ 7 ~ D E S C R I P T I O N VALUE

I.2.3.4.5.

V I . L I A B I L I T I E S . a ,, a ,, d e s th o s e o / , ~ o ,, s , o , ., ~ d c p e . d e ~ t c h ~ a , ~ n ~ e . ~ -~ offil~ginstrucfions.)N O N E ( N o reportable liabilities.)

CR ED ITOR D ES CR IP TION V A L U E C O D EI.2.3.4.5.


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P a g e 4 o f 8 T O W r ~ r s, S A N D R A L . 6 / 1 0 / 2 0 1 0

V I I . I N V E S T M E N T S an d TRUSTS -N O N E ~ o reportable income, ~sets. or transaction.)

- .................................... ~ ...... ~ C. D .~ s c f ip f i o n o f A ~ ~ I n c o m e d u r i n g Gross value a{ ~d T r a n s a c t io n s d u r in g r c ~n g p e r iM( i n c l ud i n g ~ t a s s e ~ )P l a c e " ( X ) " a ~ e r ~ c h a s s e t ~ A m o u n t T ~ ( e , g . , Value V a ~ e T~ (e .g ,, D a ~ V al u e ~ G ai n I d e n t i t y o f~ C ~ I d i v . , t e n ~ C ~ e 2 M o n a d buy, sell, m~d~ [ C~e 2 ~d I buyer l~l lc rexempt from prior discl~ure ~ (A-H) or int.) (J-P) C~3 r~emptlon) [ (J-P) (A-~ (if private

!. TI A A R e t i r e m ~ t A n n ui t y C I n t e r ~ t M T

2. St a t e Empl oyees Fede ra l C red i t U n i on A In terest J TAccounts3. MONY C a sh Va l ue L i fe Insura nc e A Di vi dends K T4. B l a c k R o c k Mo n e y Ma r k e t A c c o u n t A D i v i d e n d J T5. Me tL i f e S e c u r i ti e s I R A # 3 ( c o m p o n e n ts i n A D i v i de n d N Ti tems 6-18) below)6. - P I MC O T o ta l R e tu r n A D i v i de n d K T7. - Mo r g a n S ta n l e y E A FE I n d e x P o r t f o l i o A D i v i de n d K T8. -MFS Tota l Return Por tfo l io A D i v i de n d K T9. -MetLife S tock Index Por tfo l io A D i v i de n d K T

1 0 . - L o r d A b b o t t B o n d D e b e n tu r e P o r t f o l i o B D i vi d e nd K T1 1 . - Lo o m i s S a y l e s S m a l l C a p P o r t fo l i o A D i v i d e n d K T1 2 . B a r c l a y s C a p B o n d I n de x F / K / A Le h m a n N o n e L TB r o s . A g g r e g a t e B o n d I n

1 3 . - H a r r i s O a km a r k F o c us e d V a l ue P o r t fo l i o N o n e S o l d 02/18/09 J1 4 . - Me t /A r t i s a n Mid C a p Va l u e P o r t f o l i o B D i v i d e n d K T B uy 02/18/09 K1 5 . - B l a e k R o c k Mo n e y Ma r k e t N o n e J T1 6 . - A m e r i ca n F un ds G r o wt h I n c o m e B D i v i de n d K T1 7 . - A m e r i c a n F un ds G l o b a l S m a l l C a p B D i v i de n d K T

( S e e C o b , t o r ts B 1 a n d 0 4 ) F =$$0 ,0 0 1 - $1 0 0 ,0 0 0 G =$1 0 0 ,0 0 1 - $1 ,0 0 0 .0 0 0 H I =$1 .0 00 ,0 01 - $5~ 00 0,0 00 H 2 =Mo re th an( S e e C o l u m n s C I a n d O 3 ) N - $ 2 5 0 ,0 0 1 - $ 5 0 0 ,0 0 0 0 = $ 5 0 0 , 0 0 1 . $ 1 , 0 0 0 , 0 0 0 P ! = $ 1 ,0 0 0 ,0 0 1 - S L0 0 0 .0 0 ~ P 2 =$ L 0 0 0 , 0 0 1 - $ 25 . 0 0 0 , 0 0 0Value Method Codes Q -Appraisal R ~Cosl (Real Estate Only) S -Assessmeln "1 " Gash M~k~t


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Page 5 of 8 r O W N E S , S A r ~ D R ~ L . 6 t 1 0 / 2 0 ~ 0

N O N E (No repor table inco me, asse ts , or transac t ions .)A . [ B . C. D .D e s c r i p t i o n o f A s s e t ~ I n c o m e d u r i n g G ro s ~ v a l u e a t e n d T r a n ~ a e t i o r t 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 l I r e po rt i n g p er i o d o f r e p or t i n g p er i o d

P l a c e " ( X } " a f t e r e a c h a s s e t A m m m t T yp e (e .g . , Va lue Va lue T y p e ( e .g . , D a t e Value I Gain I I d e n t i ty 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 r C o d e 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 i C e d e I buyerlseller! (AIt) I o r i n t . ) ( ! - P ) C o d e 3 r e d e m p t i o n ) I { J - P } {A-H) ! ( i f p r i v a t e

1 8 . -MFS Value Por tfo l io B D i v i de n d K T1 9 . - C l a r io n Gl o b a l R e a l E s ta t e P o r t f o l i o A D i v i de n d J T

20 . MetLife Universal Var iable Li fe N o n e K Tl ns .(components 20-34 )21 . - Me tL i fe F ixe d c a s h a c c o u n t

22 . - B l a c kR o c k D i v e r s i f i e d F un d S o l d 0 3/ 30 / 0 9 J23 . - Me tL i fe S to c k I n d e x P o r t f o l i o

2 4: - f t a r r is O a km a r k La r g e C a p V a l ue S o l d 0 3/ 30 / 0 9 J2 5 . - Mo r g a n S ta n l e y E A FE I n d e x P o r t f o l i o S o l d 0 3/ 30 / 0 926 . - B l ack Rock St r a t e g i c V al u e Fu nd S o l d 03/30/09 J

27 . - A m e r i c a n F un ds G r o wt h I n c o m e2 8 . - A m e r i c a n F un ds G l o b a l S m a l l C a p S o l d 03/30/09 J2 9 . - H a r r i s O a km a r k F o c us e d V a l ue P o r t fo l i o S o l d 03/30f09 J30 . - W A M S t r a t e g ic B o n d O p p o r tu n i ty

3 1 . - P I MC O T o ta l R e tu r n P o r t f o l i o

3" - A m e r i c a n F un ds B o n d F un d B uy 03130/09 J33 . - Lo r d A b b e t B o n d D e b e n t u r e Bu y 03130/09 J34 . -MFS VaIue Por tfo l io B uy 03130/09 J

3. Vat~ Meted C~ Q = A p p r M ~ R ~t { R~I ~atc ~1},) S -A~cnl T ~h


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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 N a m e o f P erso n R e po rt in g D a le o f R epo rtPage 6 of 8 TOWNES, S A N D R A L . 6 / 1 0 / 2 0 1 0

VII. INVESTMENTS and TRUSTS -N O N E (No reportable income, ~sets, or tra~actio~.)

A. B, C. [ D.D e s ~ i p l i o n o f A s s e t s I n c o m e d u r i n g G~ss value at ~d/ T~ns~tions during repo~ng p~(including ~ asse~) r~ning ~od of ~o~ing ~fiod

(3) [ (~ ~ (5) .....Place "(X)" after each ~et Amount ~ t~e (e.g., Val ue j Value ] T)~e (e.g.,e x e m p t f r o m p d o r d i s c l o s u r e C~e I r~k C o d e 2 ! Me~ b u y , s e l l ~ buy~/~ilcr( A - H ) j d iV., o r i~ .) (J - P } [ (~W)~[ Code 3

I r ~ c m p t i o n) m ~ d ~ . ~ ( J - P ) I C ~ 2 (A-H) [] t r ~ s a c t i o n l ( i f o r i v a t e

3 5. -PIMCO Inflation Protected Bond Po~folio Buy 03/30/09 J

36. ~G Direct Savings A Interest K T

I . In c o me Gai n Co des : A -$1,000 or less B ~ $ 1 , 0 0 1 - $ . 2 . 5 0 0 C -$2 .50 1 - $$,00 0 D -$5.0 0! - $ l 5.0 0 0 E ~ $ I $ , 0 0 1 - $ 5 0 . 0 0 0( S e e C ~ o l u t n n $ B I a n d D 4 ) F =S50.001 - $100,000 O = ~ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 ,O O 0 1tl ~$1,000.001 - $5.000,000 H2 ~Mo~ than $5.000.090(Se e C ol t tmnt C ! e nd D3 ) N =$250.001 - $500,000 O = ~00,00 l - $1 ,000 ,000 P I = ~ l , 0 0 0 , 0 0 t $ 5 , 0 0 0 , 0 0 0 P 2 = $ 5 , 0 0 0 , 0 0 1 $ 2 5 , 0 0 0 , 0 ~ 0P3 -$25.000.00t - $50,000,000 P4 =More Ihzn $50,000.0003 . Va lue Meth o d C o des Q =App ra isa l R =C o st (Rea l Esta te O n ly ) $ =A~e~smenl T = C ash M ar ke t(Se e C oh tme C 2) O =B o o k Val ue V = . O l h e r W =Esf m a ted


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Isme of P .... e p o r t | r i gI Dste of ReporlP a g e F I N A N C I A L 7 o f 8 D I S C L O S U R E R E P O R T I TO~ANES S A N D R A L . 6/10/201

V I I I . A D D I T I O N A L I N F O R . ~ I A T I O N O R E X P L A N A T I O N S . # , # i c a ~ e p ~ , , o / R , ~ , o , ~ )


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F IN A N C I A L D I S CL O S U R E R E P O R TP a g e 8 o f 8 T O WN E S , S A N D R A L . 6/10/2010

IX. C E R T I F I C A T I O N . I c e r t if y t h a t a l l i n f o r m a t io n g i v e n a b o v e ( i n c l u d in g I n f o r m 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 t e , tr u e , a n d c o m p l e t e t o t h e b e s t 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 l d b e c a u s e t t m e t a p p l i c a bl e s t a t u to r y

p r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r th e r c e r t i fy 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 c e 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 nc o m p l i a n c e w i t h t h e p r o v i s i ~ o f 5 U . S .C . a p p . 50 1 e L s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d 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 .

N O T E : A N Y I N D I VI D U A L W H O K N O W I N G L Y A N D W I T , 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 J E C T T O C I V I LA N D C R I M IN A L S A N C T I O N S ( 5 U ~ S . C . a p p . 1 0 4)

FILING INSTRUCTIONSM a i l si g n e d o r i g i n a l a n d 3 a d d i t i o n a ! c o p i e s to :

C o m m i t te e o n F i n a n c i a l D i s c l o s u reA d m i n i s tr a t i ve O f f ic e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m bu s C i r c le , N . E .W a s h in g t o n , D . C . 2 0 5 4 4

sandra l townes financial disclosure report for 2009

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