Kevin P Castel Financial Disclosure Report for 2009

8/3/2019 Kevin P Castel Financial Disclosure Report for 2009

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F L N A N C I A L D I S C L O S U R E R EP O R T R,portin GovernmentRequire[ , ,. ~ i g e v ~ o ( 0 F OR CA LENDA R YEA R 21109 1 5 u . s . c , a p p . l O 1 . 1 1 1 )I . Person Report ing ( las t name, f i rs t , middle ini t ia l ) 7 . C o ur t o r O r g a n iz a t io n 3 . D a t e o f R e p o r t

C a s t e l , P . Ke v i n S . D . N . Y . 07/08/20104 . T i t l e ( A r t i c l e 1 1 1 j u 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 t e t y p e ) i 6 . R e p o r t i n g Pe r i o dm a g i s t r a : e ju d g e s i n d i c a l e f u l l - o r p a r t -t i m e )

[ ] N o m i n a t i o n , D a t e 0 1 / 0 1 / 2 ~ g 9 9U . S . D i s t r i ct J adge ( ac t i ve ) [] Initial [] Annual [] Final to12/31/20095 b. [] A m e n d e d R e p o r t7 . C h a m b e r s o r O f f ic e Ad d r e s s 8 . O n t h e b a s i s o f t he I n f o r m a t i o n co n t a l o e d I n t h i s R e p o r t a n d a n ymodif icat ions per taining thereto, i t i s , In my opinion, In complianceU n i t e d S t a t e s C o u r t h o u s e with app licable laws and regula t ions."500 Pear l St ree tNe ; v Yo r k , NY I ~ 0 0 7 R e v ie win g O f f ic e r D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,check ing the NONE box for each par t where you have no r epo r tab le in farmat io t~ S ign on las t page .

~ N ON E ~ o reportable positions.)P O S I T I O N NAME OF ORGANIZATION~ITY

1 . Director (ex o~cio ~ fo~ pr~ident) S t . J o h n s S c h o o l o f L a w , A lu m n i A s s o c i a ti o n ( ~ c o m p e n s a t e d )2. T ~ t e e ( e x o f f i c i o ~ f o ~ e r p r e s i d e n t ) F e d e r a l B a r C o u n c i l ( u n c o m p e n s a ~ d )3. B o ~ d o f M a n a g e ~ H a v e n s R e l i e f F u n d S o c i e ~ (~ c o m p e n ~ t ~ )4. A d j ~ ct P r o F e s s o r N~ Sch~l of Law (compen~/ed; ~mmencln~l/I/10)

f ~ - II I. A G ~ E M E N T S . ~,po~i,g indiv~ual m,&; s


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F IN A N C I A L D I SC L O S U R E R E P O R T ] r ~ ....fP .... R e p o r t i n gPage 2 of 1 7

] C~stel, P .Kevln| 0 7 / 0 8 / 2 0 1 0

III. N O N - I I ~ E S T M E N T I N C O M E . ~ e ~ o . i . g individual and spouse; seepp. 17-24 of filing instructions.)A. Filers N o n - In v e s tm e n t I n c o m e

N O N E ( N o r e p o r t a b l e n o n - in v e s t m e n t i n c o m e . )DATE SOURCE AND TYPE

(:ours, not spouses)1.

2.

3.

4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married during any ponion of the reporting year, complete this section(Dol lar amoun t hal required excep l for honorar ia . )

[] N~-~iE (No reportable non-investment income0 .....................................D A T E SOURCE AND TYPE

I.

2.

3.

4.

I V . R E I M B U R S E M E N T S - + , .nsvo ,+ . t+o~, +oa++~ z, /oo~. + .~e, t .i .~+~t( Includes those to spouse and dependen t ch i ldren; ,~ee pp , 25-27 of fi l ing ins truct io~.)

N O N E ( N o r e p o r t a b l e r e i m b u r s e m e n t s )SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I.2.3.4.5.


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F IN AN C I AL D I S C L O S U R E R E P O R T J Castel, P .Kevln07/08/? .010a g e 3 o f 1 7

V . G I F T S . a n e W , d e s th o , o t o n , o . s e .n d ~ e p e . d e n t childrent s e e p p . 2 8 - 3 1 o ] f d l n z instructions.)N O N E (N o repor table g i f ts . )

SOURCE DESCRIPTION VALUIiI.

V I . L I A B I L I T IE S . a n t e , d o , ,hos~ of spouse and dependent children; see pp. 32-33 of fding instructions.)N O N E (No r epo r t ab l e l i ab i l i t i e s . )

CREDITOR DESCRIPTION VALUE CODE1 .


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Ia m e o f P e r s o n R e p o r t i n gI N A N C I A L D I S C L O S U R E R E P O R T [ C ~ s t e l,Page 4 of 1 7 07/08/2010VII. ~ESTMENTS and TRUSTS _ i~o~,

N O N E ~ o reportable income, assets, or tra~actions.)D e s c r i p t io n o f A s s e t s I n ~ m d ~ h ~ g G ~ o s s v a l u ~ a t e n d [ T r a n s a c k ,~ s d u r in g r c ~ in g p e r io d~ i n c l u d i n g t r u s t a s s ~ ) ] ~ p o ~ i n g p e r i o d o f r c p o ~ n g p e r io d

P l m e " ( X ) " a f l e r ~ c h ~ s e t [AmountI T~(e.g . , V a lue V a l u e T y ~ ( e . g . , Date Value I Gain [ l d e n t i ~ o fexempt f rom pr io r d isc /os~ ~ C o d e I d i v . , r e n ~ C o d e 2 M e t h t~ buy, sel l , m m / d d y y C ~ e 2 ~ C o d e I ] b u y s / s e l l e r" (A-rl) or int . ) ( J - P ) C o d e 3 r ~ e m p t i o n ~ ~ ( J - P ) ( A - tO ~ ( i f p r i v a t e~ , ( Q - W ) t r m s a c t i o n )1 . Brk Act #1 Fideli~ World,de ~FX] A D i v i d e n d M T2. B r k Ac t #1 F i d e l i ty C a p i t a l Ap p r e c n M u t u a l A D i v i d e n d N TF d [ F DC / L X ]3. B r k Ac t # I F i d e l i t y C a s h R e s e r v e s [ F DR X X D D i v i d e n d P 1 T

,4 . B r k Ac t #1 F id e l i t y As s e t M a n a g e r M u t u a l D D i v i d e n d N TFd [ FA S G X]5. Br k A c t # 1 F i de l i t y A ggr es s i ve G r ow l h C D i v i d e n d N "FMutual Fd [FAMR:X] ................6. B r k Ac t #1 F i d e l i t y B a l a n c e d [ F B AL X ] D D i v i d e n d N T7. Fi de l i ty E xpor t & Mu l t i na t l ITEXPX] A D i v i d e n d L T8. B r k A c t #2 F i r s t E a g l e O v e r s e a s F u n d C l a s s A D i v i d e n d K TA9. B r k Ac t #2 L M [ S B ] Ap p r e c i a t i o n F d C L C D i v i d e n d M TM e a n v l ~ r )1 0 . Br k A c t #2 LM [ S B] Lar ge C ap G r w l h FD N o n e M TC L AI. B r k Ac t #2 W s t r n As s e t NY M u n i M o n e y A I n t e r e s t N T Bu y 02,03/09 KM k t F d C L A

1 2 . B r k Ac t 0 2 W s t m As s e t M o n e y M a r k e t F d A I n t e r e s t L T Bu y 0 1 / 0 6 / 0 9 LC L A1 3 . B r k Ac t #2 C i t i I n s t R e s e r v e s T a x F r e e A D i v i d e n d M T R e d e e m e d 01/05/09* L( p a r t )1 4 . B r k A c t # 2 U ts N uv e e n T E Lr l" T R # 6 1 M A D i v i d e n d J TN Y I N S D $ 6 1 ( P a r t V I I I)5. B r k A c t # 2 V F H A D i v i d e n d J T

1 6 . B r k Ac t #2 S C D D D i v i d e n d M T1 7 . B r k A c t # 2 N Y S T AU L O C C I n t e r e s t M TH G HW Y & B R I D G E 5 / 0 9

1 . I n c o m e G a i n C o d e s : A =$ 1 .0 0 0 o f l e s~ B = $ I .0 0 1 - $ 2 ,50 0 C ~ $ 2 ,50 1 - $ 5,0 0 0 D -$5,001 - $15,~ E = $ 1 5 , 0 0 1 - $ ~ 0 , 0 0 0

P3 -$2S,0~,001 . $50,000,~ P4 :More th~ $50.~0,000(~ Column ~) U -B~k Val~ V = O ~ e r W = E s l i m a t c d


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F IN A N C I A L D I SC 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 i n g DatenfRepartPage 5 of 1 7 C a s t e , , , . ~ : e , ~ n 0 7 / 0 ~ n 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m , , . a ~ t ..... ctions (Include t h o s e o f s p o u s e and dependent children; seepp. 34-60 of filing instructions.)

[] NO NE ( No r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c t i o n s . )A . B . [ C . D .D e s c r i p t io n o f A s s e ts I n c o m e d u r i n g I,. 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 ~ p o r t i n g I ~ r i o d( including t rust assets) r e p o r t i n g p e r i o d o f r e p o r l i n g p e r i o d

P l a c e " t X ) " a f t e r e a c h ~ s e t A m o u n t T y p e ( e . g . , V a lue [ Value T y p e ( e . g ., D a t e Value | Gain I d e n t i t y o fex em p t U , ~ , r n r , a ,, , , ti ~ . . . .. C o , ~ e l di . . . . . . . . t . C o d e : I M e ~ h oa ~ , . , y . a , : I ~ , Im~d a~ . lCo~e" Co~e~ I buye , / s e l l e ,"i

I( A I I )[ o r i n t . ) ( J - P , . Code3 (O-W)e d e m p t i n )t I(J-p) I (AtI, transactI i i J

1 8 . B r k A ct # 2 N Y S D o r m A u R e v s N e w I s l a n d D I n t e r e s t M THosp 5.2/091 9 . B r k A c t # 2 N Y N Y S E R J 4 . 6 2 5 / 1 0 B In te res t R e d e e m e d 08/04/09 K A20 . B r k Ac t #2 NYC G / O S e t G 3 . 1 2 5 1 1 0 [ 4 /I 0 ] C In te res t M T

1 2 1 , Br k A c t # 2 N as s au C o S e t C 5 . 25/10 C In te res t M T22 . Brk Act #2 NYS Dom~ AU Staten lsl LI B I n t e r e s t L T- tlosp 4~9/10 .........................................................23 . Brk Act #2 NYC G /O SER C 4 .375/11 C I n t e r e s t M T2 4. Brk Act #2 NYS ENV F AC S 5/11 A In t e re s t K T25 . Brk Act #2 NYNY Ser F 5.125/11 B In te res t K T

, 2 6 . Brk Act #2 NYC Trans i t ional Auth 4 .6111 A In te res t R e d e e m e d 0 3 / 1 8 / 0 9 K A27 . B r k Ac t # 2 E i r e C n t y NY P u b I m p t S e r A B In te res t K T5/11 (Par t VII I )28 . B r k Ac t #2 NY NY S e t J 4 / 1 2 C In te res t M T29 . B r k Ac t #2 NYS D0 r m Au t h C i t y U n i v C I n t e r e s t R e d e e m e d 0 7 / 0 9 / 0 9 L A5.75/12 ( /09 )30 . Brk Act ;#2 NYC G/O Set 11 5.25/13 ( /09) A ln tcrcs t K T31 . Br k A c t If 2 N Y N Y S e t J FG I C -TC R S A In te res t R e d e e m e d 0 3 / 1 6 / 0 9 K A5 . 3 5 1 1 232 . B r k Act #2 NYS Do r m Au t h U p s t a t e C n m m B I n t e r e s t L TC o i l R e v B 5 / 1 3 [ / 1 0 ]33 . B r k A c t #2 N Y N Y R F D G S e t B - F G I C C I n t e r e s t L TTCRS 5.75/1334 . Brk Act ;#2 Medina NY Cent Sc Dis t 4 .75/13 B I n t e r e s t K T

1 . I a c o m e G ~ i n C o d e s : A =$1 ,000 o r less B =$1 ,001 - $2 ,500 C =52,501 - $5,000 D =55,001 - $15,000 E -$15,001 - 550,0OO( Se e C o lu m ns B I a nd IM ) F ~ $50 ,0 01 - $ 10 0,0 00 G = $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 ,0 0 0 I l l -$ 1,000.00l - $ 5 ,000,000 H2 =More than $5,000,0002 . V a l u e C o d e s . I = 5 1 5 , 0 ~ 3 0 o r l ~ s K =$15,001 - 550 ,000 L =550.0~1 - $100,000 M =5100,001 - 5250 ,000( S ee C o[u nms C I and D 3) N ~ $ 2 5 0 , 0 0 1 - $ 5 0 0 , 0 0 0 O =$500,001 - $1,000.000 P I = 51 .0 00 ,0 0 1 - $ 5, 00 0 ,0 0 0 P 2 =$ 5, 00 0 ,0 0 1 - $ 25 ,0 0 0, 00 0I P 3 = 5 2 S , 0 0 ~ , 0 O I - $ 5 0 . 0 0 0 , 0 0 0 P4 =More than $50,000,000

3 . Valu e Method C odes Q = A p p r a is a l R ~C os t ( R ea l E s t a t e Only } S -Assessmev.t T = Ca sh Ma rke t( S e e C o l u m n C 2 ) U ~Boo k V a lu e V =O the r W ~E s : imated


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FINANCIAL DISCLOSURE REPORT ] N .... fP e ra o n R e p o r t in g Da ,e ~f R e p o r tPage 6 of 17 } Castel, P K e v t n

0 7 / 0 q / 2 0 1 0

N O N E ~ o r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c t io n s . )D e s c r ip O o a o f A s s e ~ ; I n c o m e d ~ a g , Gross value at end ~ T ~ s a c t i o n $ d u r i n g r e ~ a i n g ~ r i o dr c ~ i n g p e r i ~ o f r e ~ i n g p e f i ~

P l a c e " ~ " a ~ e r ~ c h ~ s e t A m o u r T~ e( e . g . , V a l u e [ V a lue T~(e.g., /Date [ Value Gain l d c ~ t i ~ o fe x e m p t f r o m p r i o r d i s c lo s ~ C M e l d i . , r e n k C~e2 M et h o d b u y , s e l I , Im m / d b ~ / C o d e 2 ~t~ b uy , d s e l l e r( A - I f ) or ~ t . ) ( J P } ! C o d e 3 ~ d e m p t i o n ) / ~ (J-P) , ._, ( i f p r i v a t e

35 . B r k A c t # 2 N Y S D o ~ A U ~ D G S E C D C In te res t L THOSP ~DT~ 5.2/01436 . Brk Act #2 ~S Do~ AU Revs ~ird Gen C I n t ~ e s t L TRes 5.25/1337 . B r k A c t #2 ~ S D o ~ A U R e v s L u f l ~ e r e m C I n t e r e s t L TMed 5/I 338 . Br k A c t g2 N Y C G O S e t J 4/13 C I n t e r e s t M T

39 . B rk A c t #2 B u f fa l o ~ Se t B 5 . 3 7 5 / 1 3 [ 1 2 ] B I n t e ~ s t K T40 . B r k Ac t #2 Na s s a u C r y I F A S e t A 5 /1 3 B I n t e r e s t K T

41 . B r k Ac t #2 NYC G O S e x A 4 / 1 3 C I n t e r e s t M T

~ 2 . B r k A ct # 2 C a m d e n N Y C e n t S C h D I S T /3 In te res t L TSER A 4.5/14, I43 . B r k Ac t #2 NYC M U N W T R F I N 0 0 / 1 4 A I n t e r e s t R e d e e m e d 12/15/09 K A44. B r k A ct # 2 N Y S D O R M A U I o n a C o i l B I n t e r e s t L T4.3/1445. Brk Act #2 NYC Ser J 5 .25114 ( /09) A I n t e r e s t R e d e e m e d 05tl5109 K A

46 . B r k Ac t #2 S ha r o n S p r i n g s M u n W t r 4 . 8 / 1 4 13 I n t e r e s t K T47 . B r k Ac t #2 NYS Do r m Au C o l g a t e 4 .62 5 / 1 4 B I n t e r e s t K T

: 4 8 . B r k Ac t #2 NYC S e x A G / O 4 . 3 / 1 4 C I n t e r e s t L T

49 . B r k A ct # 2 N Y S D o r m A u L e a s e R e v M u n B I n t e r e s t K THlth 5.5/1450. B r k A c t #2 B u f f a l o N Y G e n l m p S e r A C I n t e r e s t M T4.7/14 [11]51. Br k A c t # 2 N Y C G O S e r 1 4 . 5114 [13] B In te res t K T

I . I n c o m e G a i n C o d e s : A - $ 1 . 0 0 0 o r l e s s B -$ 1 ,0 0 1 - $ 2 ,50 0 C -$ 2 ,50 1 $ 5,0 0 0 D - $ 5 , 0 ~ 1 - $ 1 5 , 0 0 0 E = $ I 5,001 - $50,~

(~e Cotu~s CI ~d D3) N ~250,001 - $5~,~ O -$5~,001 - $1,~.000 PI "$1 ,~0,~1 - $5,0~,0~ P2 ~$5.~,001 - $25,0~,000P3 ~$25,~.~1 - $50,000,0~ P4 ~Mo~e t~ $50.000,000


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F I NA NCI A L DI SCL OSURE RE P ORT I N a m e o f | ~ r s o nPage 7 of 17 c ~ f e ~ , P . ~ : e , ~ o 7 / t . 8 / ~ 0 1 oV I I. I N V E S TM E N T S an d T R U S T S _ i

N O ~ ~ r o reportable income, ~sets, or tratuactions.)A. ~ B, C. ~ D .

D~cfipt ion of Assels I n c o m e d ~ n g G r o s s v a l u e a t e n d ~, T~nsact ion~ during ~poning per iod( including t rust ~sem) ~ r e p o a i n g p ~ o d o f r e p o r t i n g p e f i ~(2 ) (1) ~ (2) (I ) (2) (3) (4) (5 )P i a e e " ( X ) " a f t e r ~ c h ~ t I A m o u n t ~ (~.g. V a ~ u ~ / Value T ~ ( e . g . , D a t e V a l u e [ G a i n Id . n t i~ o fe x ~ p t ~ o m p r i o r d i s c lo s ~ e [ C ~ e 1 div. , rent , C o d e 2 / M e ~ o d b u y , ~ l l , m t ~ d ~ w . " ~ C o d e 1 I,tl~ o r / s e l l e r~ (A-~ orinL) ( J - P ) ~: C o d e 3 ~ ~ e m p t i o n ) ~ ( A - H ) ( i l p r i v a t e= : (Q-~3 I t z a r , ~ a c t i o n )

52. B r k Ac t #2 W e s t S e n e c a C e n t S c h 4 . 1 2 5/ 1 4 C In te res t M T53. B r k A c t # 2 N Y C G O ~ r G 4 / 1 4 C I n . r e s t M T54. Brk Act #2 No Babylon Sch Dt 5 .25/15 B I n t e r e s t K T55. Brk Act #2 NYS TWY AU 5/15 ( /09) C I n t e r e s t R e d e e m e d 04/01/09 M A56 . Brk Act #2 NY,NY Ser 1 5.25/15 (/09) B In l e re s t R e d e e m e d 04/15/09 L A57 . Brk Act #2 NYC R EF Se t B G/O 5, 75/15 C In t e re s t L T58. Brk Act 02 NY ]qY R-F.DG Ser G 5/15 A I n t e r e s t R e d e e m e d 1 1/05/09 K A59. Brk Act #2 LI Pw r Au[LIPA] 4/15 B In t e re s t K T6 0. Brk Act #2 NYNY Se t A 5.25115 B I n t e r e s t K T

61 . Brk Act #2 M TA 5.25/15 C I n t e r e s t L T6 2. Brk Act#2 NYC Trans Fin 4 /15 C I n t e r e s t M T63 . Brk Act #2 NYS Dorm Pres 4 .2/15[14] B I n t e r e s t L T64 . Brk Act #2 NYC Ser C 5.25/15[14] B In te res t K T65 . B r k Ac t #2 NYC H e a l t h & | l o s p 4 . 55 / 1 6 C I n t e r e s t M T

66 . B r k Ac t # 2 NYC G / O S e r H 5 . 2 5 / 1 6 C I n t e r e s t L T

67 . Br k A c t # 2 N Y S D or a A u S t J oh ns U 5 /16 B I n t e r e s t K T6 8 . B r k A ct # 2 N Y . N- Y Tr a n s Fi n An 4 .7 5/ 1 6 R e d e e m e d 05/18/09 J A( p a n )

( S e e C o l m ~ s B I ~ d D 4 ) F - $ 5 0 . C ~ 1 - $ 1 0 0 . 0 0 0 O - $ 1 ~ . O 0 1 - $ 1 . 0 0 0 .0 0 0 H I - 1 1 . 0 0 0 . ~ 1 - $ 5 . ~ 0 . 0 0 0 I I 2 = M o r e ~ a n2 . V a l u e C o d ~ J =$15,~ ~ less K = $ 1 5 . ~ 1 - $ 5 0 , 0 ~ L =$50,~1 - $1~,~ M = $ 1 ~ , ~ 1 - $2 ~ 0 , ~ 0(~ C o l u m n s C I ~ n d D 3 ) N - $ 2 5 0 ,~ 1 - $ 5 0 0 , 0 D 0 O = $ 5 0 0 , 0 01 - $ ~ , 0 0 0 .0 0 0 P 1 = $ 1 , 0 0 0 ,~ 1 - $ 5 , 0 ~ , ~ P 2 ~ $ 5 , 0 00 , ~ 1 - $ 2 5 , ~ 0 , 0 ~P 3 = ~ 2 5 , 0 ~ . 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0 P4 -More ~ $50.~ .0~( S e e C o lu~ ~ ) U - B o o k V a l u ~ V - O ~ e r W


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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 .... fr . . . . . . , p o r . n g V a t , , o r R e p o , , ~Page 8 of 1 7I Castel, P .Kevin 0 7 / 0 8 ~ 0 1 0

V I I . IN V E S ~ N T S a n d T R U S T S - income, va lue , t . . . .. c t ions o,a,a ~ t~o,~ o f ,,o. ,, . .a depe~ent children; sttp~ 34-60 of filing t~,ructiong)N O N E ~ o reportable income, ~sets, or transactions.)

A. I n. ~ c. ~ ~.D e s c r i p t i o n o f A s s e ~ ] n c o m ~ d ~ n g Gro~ va lue a t cad Transactions during r~ing(in loding t~st ass~) r e p o . i n g p e f i ~ o f r e p o ~ n g p ~ r i ~Place "~)" a~er each =se t A m o = t T~ e (e .g ., V a lue Value ~ T ~ ( e . g . , [Date [Value {Gain I d e n t i t y o re x e m p l ~ m p f i o r d i ~ l o ~ e C ~ e 1 ~.,r en t , ] C o d e 2 Mea~ b u y, ~ l l , m n ~ d t[/ ~ [ C ~ te 2 / C ~ a le 1 buyer/ sel ler. ( A - t I ) o r i n Q ~ ( J - P ) C o d e 3 [ r e d e m p t i o n ) ~ ~ (J-P) [ (A-t t ) ( i f~f ivate

69 . s a m e ~ a b o ve B I n t e n s e R e d e e m e d 09/28/09 K A70 . B r k Ac t #2 NY NY S e r J 5 . 2 5/ 1 6 D I n t e r e s t M T71 . B r k a c t # 2 N Y S E n v F a c C o r p S t C l e a n W t r B Interest L T5/177 2 . B rk Ac t # 2 NY N Y P .F D G S e t 1 5/ 1 7 B Interest R c d e e m e d I 1/16/09 K A

7 31 Br k A c t 02 N Y C S e t G G /O 5 /17 C In te res t M T

74 . B r k Ac t #2 NYC G O S e ~ O 5 / 1 7 [ 1 5] C In te res t M T75 . B r k Ac t #2 NYC S E R B G e n 0 b l 5 .3 7 5 / 1 8 A I n t e r e s t J T

1 0 8 ]7 6 . B r k A c t #2 ! q Y S D o r m A u S t J o s e p h s H A In te res t J T5.25fi 87 7 . B r k A c t # 2 B in g h a m to m 4 .2 51 1 8 [ 1 6 ] C I n t e r e s t M T

7 8 . Brk Act #2 NYS Thin 1 - t & B 5/18115] C I n t e r e s t M T

79 . B r k Ac t #2 NYC G O S e r A1 5 /1 8 [ 1 7 ] D In te res t M T80 . B r k Ac t #2 NYNY R F DG S e t 1 5 / 1 8 [ 1 4 ] C I n t e r e s t M T

81 . Br k A c t # 2 N Y C 1 TA FU T TA X FGIC D I n t e r e s t M TSE C D Se re 5 . 2 5 / 1 882 . B r k A c t #2 / q e w Y o r k S t a t e D o r m A u t h S t B In te res t M TPers Income Tax 4/1883 . B r k A c t #2 ! q e w Y o r k N Y C i t y I I S G D e v C I n t e r e s t M TC o r p M u l t i Fa m 5 . 3 5/ 1 884 . B r k A ct # 2 C i t y M W F A U W K S S y s R e v A I n t e r e s t M TS e r D 0 1 1 885. B r k Ac t g 2 L I P A NY E l e c S y s S e r E 5 / 1 8 C I n t e r e s t lV l T

I . I n c o m e G ~ t i n C o d c s : A - $ 1 , 0 0 0 o r l eas B =$ 1 ,0 0 1 - $ 2 .5D0 C = $ 2 .50 1 - $ 5,0 0 0 D =$ 5.0 0 1 - $ 1 5,0 0 0 E =$15,0 0 1 " $ 50 ,( S e e C o l u m n s I ~ l t a d D 4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 . 0 0 0 G = $ 1 0 0 , 0 0 | - $ 1 , 0 0 0 , 0 0 0 H 1 = $ 1 . 0 0 0 ,0 0 1 - $ 5 . 0 0 0 , 0 0 0 I " / 2 = M o r e d e a n $ 5 , 0 0 0 . 0 0 0

2 . V a l u e C o d e a J = $ 1 5 ,0 0 0 o f le z s K -$ ! 5 .0 0 I - 2 5 0 ,0 0 0 L = $ 5 0 ,0 0 1 - $ 1 0 0 , 0 O 0 M - $ 1 0 0 , 0 0 1 $ 2 5 0 ,0 0 0( S e e C o l u t ~ n s C I t a d D 3 I q =$ 2 50 ,0 0 1 - $ 50 0 ,~0 0 O - $ 5 0 0 . 0 0 1 - $ 1 , 0 0 0 . 0 0 0 p ! = $ 1 , 0 0 0 , 0 0 1 - $ $ , 0 0 0 , 0 0 0 P2 =$ 5.0 1 ~ ,0 0 1 - $ 2 S ,0 0 0 ,0 0 0 P3 =$ 2 5,0 0 0 ,0 0 1 - $ 50 ,0 0 0 .0 0 0 P 4 = M o r e t h e m3 . V a l u e M e t h o d C o d e s Q = A p p r a i s a l R = C o s t ( R e al E s t a te O n l y ) S = A s s c s~ m ~ * m T = C a s h M a r k ~l ( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h e r W = F . ~t i ma t e d


9/17

F IN A N C I A L D I S C L O SU R E R E P O R T r ~ . , ~ , o f P e r s o n R e p o r t i n g D.te of Repot!Page 9 of 17 Castel. P . K e v i n 0 7 / 0 8 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - into,,,, ~,~ue, t ransact ions a nctuaes those of spou se and dependa nt c l , itdre~; ., ,~ r~" S 4 - 6 0 o [ f i t i n g i n s t r u c t i o n . S

N O N E ( N o r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c t i o n s . )A. B. C. 1D e s c r i p t i o n of Assets I n c o m e d u r in g Gross value at end T r a n s a c t i o n s d u r i , t 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 ) i 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 e r i o d ~

P l a c e " ( X ) " a t ~ e r e a c h ~ s s e t Amount ] Type (e .g. , V a lue V a lue T y p e ( e . g ., Date Value | Gai,a I d e n t i t y o fe x e m p t f r o m p r io r d i s e lo s u r e ICdel ! div. , rent , C o d e 2 N l e th o d buy, sell, I r a m ~ d d i y y l C o d e 2 | C o d e l buyer/ sel lerIA - H ) [ o r i n t ) ( J - P ) C o d e 3 [ r e d e m p t i o n ) i (J-P) | (All) ( i f p r i v a t ei ( Q - W ) I I _.j. t r a n s a c t i o n )86 . B r k A c t # 2 N S T h r u w a y A u G e n R e v S e t C I n t e r e s t M TH 5/1987 . Br kA c t # 2 Buf f a l o S e r C 5 /19 C I n t e r e s t M T88 . Brk Act #2 MTA Set A5.5/19112] D I n t e r e s t M T89 . B r k Ac t #2 NYC T F A S e t AI 5/ 1 9 [ 1 6] C I n t e r e s t M T

9 0 . ~ _ B ~ k A ~ c ! ~ _ ~ _ _ M i d d ! e. to w n N Y _ 4 . 1 2 5 / _ 1 9 ~ ! _ 6 ] . .. .. .. . _ C _ . _ !n!e_r .e~t . . . . . . . . ~! ......... T .....................91 . Brk Act#2 PR Sales Tax 4 .65/19 A I n t e r e s t M T B u y 0 6 / 1 1 / 0 9 L92 . B r k A ct # 2 N Y S E n v F A C S C o r p S t C l e a n D I n t e r e s t N TW T R & Dr i n k i n g 5 . 2 5/ 2 093 . Brk Act #2 Met ro T SPTN Au NY TSPN C I n t e r e s t M TR E V S E R A A 5 /2 094 . B r k Ac t #2 b I YC G O S e r A 5 / 2 0 [1 6] C I n t e r e s t M T

9 5 6

Brk Act#2 LIPA Set E 5/20 [16] C I n t e r e s t L T B r k Ac t #2 l q Y G e n O b l i g B DS - G I 5 . 5 /2 1 C I n t e r e s t L T

9 7 . B r k Ac t # 2 N YC T r an s F /A R e v 5. 25 .r 2 1 C . Interest L T

98 . Drk Act 2/qYS Pers lnc Tax 5/21[16] C I n t e r e s t M T

9 9 . B rk Ac t # 2 N e w Yo r k N Y Se t A C I FG D I n t e r e s t M TTCRS 5/211 0 0 . Br k A c t / /2 Met r o Tr as A u N Y R ev R FD G D I n t e r e s t M TSerA 5.125/21101 . Br k A c t # 2 br ew Y or k C i t y G /O S er A 5 /22 C I n t e r e s t M T1 0 2 . B r k Ac t #2 M o n r o e C n t 3 I DA 5 / 2 2 A I n t e r e s t L T B u y 1 2 2 0 4 / 0 9 K

2. Valu~ ~ J "$15,~ ~ I~s K =$15,001 -$50 ,~ L =$50 ,001 - $1~ ,0~ M = $ 1 0 O , ~ l - $ 2 5 0 , ~ 0( S e ~ C o ] ~ s C I m d D 3 ) N =$250 .001 - $5~.~0 O ~$5~,001 - $1,~,~ P 1 = $ 1 , ~ . 0 0 1 - $ 5 , 0 0 0 , ~ P2 -$5,~0,~1 - $~,~0,~0P 3 = $ 2 5 . 0 ~ , ~ 1 - $ 5 0 ,~ , 0 6 0 P4 = M~ re t l~ $ 5 0,00{1,~ 0 3 . V a l u e M e ~ C o ~ e s Q =Appr~ R ~ost ~a[ ~le Only) S ~ A s s e ~ m ~ l T = Ca sh M~ ke l[ (S~ Col~ ~) O " B ~ k V ~ u V = O t h e r W = E s t i m a t ~


10/17

F IN A N C I A L D I SC L O S U R E R E P O R T S a m e o f V ePa g e 1 0 o f 1 7 C a s t e ~ , v . K e v i n , 7 / 0 8 / 2 0 1 0

V I I . I N V E S T M E N T S a nd T RU S T S - i . c O m e o ~ u o o t r ~ . ~ a . l o ~ a n i ~ d e ~ , ~ o ~ . o~ . . . .. ~ d dependent ehiMren; seepp- 3 4 - 6 0 of fi l i , q~-] NO NE ( No r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c t io n s . )

A. B. C. D .D e s c r i p t i o n o f A ~ s e t s Income during G ro 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 n 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 a ) 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 e r i o dP l a c e " ( X ) " a f t e r e a c h a s . ~ e t A m o u n t i T y p e ( e . g ., V a lue V~lue T y p e ( e . g ,, I D a t e V a lue Gain 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 I d i v . , r e n t , C o d e 2 M e t .h o d buy, roll, ! m r r ~ & i ly y C o d e 2 C o d e I , u y c r / s e l l e r( A - H ) o r i n t . ) ( JP) ii C o d e 3 r e d e m p t i o n ) : ( J - P ) ( A - H ) . ( i f p r i v a t ei (Q-W) ...... r a n s a c t i e n )

! 0 3. B r k A ct # 2 NJ E co n o m i c D e v Au S c h A In te res t L T Bu y 1 0 / 0 7 1 0 0 LC o n s t r S e t O 5 .2 3 / 2 3104. B r k A ct # 2 P R E l e c P w r R e v R F D G S e r P P A I n t e r e s t L T Bu y I 1/13/09 L5/23I 0 5 . B rk A c t // 2 N Y G e n O b l i g B D S E 6 1 2 3 D I n t e r e s t M T

1 0 6 . B r k Ac t #2 T r ib o r o u g h B r i d g e & T Au S e r C I n t e r e s t M TD 5 1 2 31 0 7 . B r k Ac t # 2 N e w Y o r k S ! D o r m A t t R e v s D I n t e r e s t M T---- Ho-sp FHA Insd A 6:45/24 .....................108 . Br k A c t # 2 Tr i bor ough B & T A U 5/24 C I n t e r e s t M T109. B r k A ct # 2 N Y S T h w y A u 2 d H W Y & B D C C I n t e r e s t M T5/25 (Par t VI I I )1 1 0 . B r k Ae t # 2 N Y C M W A W I x& S w r R e v S e r D I n t e r e s t M TC 5 / 2 5 ( P a r t V I l l )I l l . B r k A c t #2 N Y N Y I D A R e v A G C 6 . 1 2 5 F 2 9 A I n t e r e s t K T

1 1 2 . B r k Ac t #2 l s ha ~ e s T R De w J o n e s S e l e c t B D i v i d e n d K TD i v I n d e x F u n d1 1 3 . B r k Ac t #2 X L F B D i v i d e n d K T1 1 4 . B r k Ac t #4 ~ YS Do r m M t g H o s p 4 . 9 5 / 0 8 B I n t e r e s t K T1 1 5 . Brk Act #4 ]qqqY Ser H MBIA 5/09 B I n t e r e s t R e d e e t n e d 0 8 / 0 3 / 0 9 K A1 1 6 . Brk Act #4 IqYS Thtavy 5.1 /10 C I n t e r e s t L T1 1 7 . B r k Ac t #4 NYC G / O S e r C 4 . 3 5 / 1 1 B I n t e r e s t L TI 1 8 . Br k A c t # 4 IqY C R FD G S er H , s ubs e r H 6 C I n t e r e s t L Tf l o a t ] 1 21 1 9 . B r k Ac t #4 M T A F R DG S e t A 4 . 3 1 1 3 B In te res t L T

1. Income Gz~n Codes: A $1,000 less I 3 = $ 1 , 0 0 1 - $ 2 , 5 0 0 C = $ 2 , 5 0 1 - $ 5 , 0 0 0 D = $ 5 , 0 0 1 - $ 1 5 , 0 0 0 E = $ 1 5 , 0 J 1 - $ 5 0 . 0 0 ~[ 2 . V a l t~ e C o d e ~ J - $ 1 5 , 0 ~ 0 o r l e z s K - $ 1 5 , 0 0 1 - $ 5 0 , 1 ~ ) 0 L =$ 5 0 ,0 0 1 - $ I 0 0 ,0 0 0 M = $ 1 0 0 ,0 0 1 - $ 2 5 0 ,0 0 0( S e e C o lu m n ~ C I ~ n d D 3 ) N -$ 2 5 0 ,0 ~ 1 - $ $ 0 0 ,0 9 0 O =$ 5 0 0 ,0 0 1 . $ I 0 0 0 ,0 0 0 P 1 = $ 1 ,0 0 0 ,0 0 1 - $ 5 ,0 0 0 ,~ 0 0 P 2 ~ $ 5 ,0 0 0 ,0 0 1P 3 - $ 2 5 , ~ , 0 0 1 - $ 5 0 , 0 0 0 , 0 ~ P 4 = M o ~ t h a n ~ 5 0 ,~ 0 , ~3 . V a l ~ M e ~ M C ~ c ~ Q : Ap p ~ l R = C o s t ~ a l E s ~ te O n l y ) S - A s s e ss m e n t T ~ h M ~ e t


11/17

N = m e o f P e r s o n R e p o r t i n g D s t e o f R e p o r tF IN A N C I A L D I SC L O S U R E R E P O R Tc,ste,a g e 1 1 of 17 o 7 / o s ~ 2 O l O

V I I. IN V E S T M E N T S a nd T R U S T S - ~ ,~o , . ,. v , t .o , t ,c , , ,a lo ,~ a.ct.aes thou. o/ ~ ...... d o e n d e n t c h i l d r e n ; s e e P P . 3 4 - 6 0 , f i l l i n g i n s t r u ca o n ~)N O N E ~ o reportable income, assets, or transaction)

A. n.~sc6plion of Ass~s ~com~ ~ i G r o s s v a l u ~ a ~ e n d Transactions du ring rc~ing pcfiod(hc lud~ng ~st ~ ls) rrpe~ing period o f r r p o ~ i n g p ~ f io d

~ (2 ) ~ (I ) ~ ( 2 ) ( 1 ) f ~ ~ ~ ~-- (~ )P l a ~ " ~ ) " a ~ e r e a c h ~ s e t A m o u n t ] T~ e( c . g . , [ ~Value V a lue T ~ ( e . g . , D a t e ~ V a l u e Gain ] I d e n t i t y o fe x e m p t f ro m p r i o r d is c l o s ~ e C o d ~ 1 ~ d i v . , r ~ q ,, C ~ e 2 M e th o d buy, sell, ~d&~ Code 2 C ~ I ~ b u y s / s e l l e rI ~ ( Q -W ) [ ~ ~ s a c t i o n )

1 2 0 . B r k A c t ~ N Y S D o ~ C o I ~ b ia U . 5 . 2 51 1 3 B I n t e r e s t K T1 2 1 . B r k Ac t #4 Ne w Yo r k C i t y G / O S e a " E 5 1 1 4 B I n t e r e s t L T1 2 2 . Br k A c t #4 N ew R oc h eI l e S c h D i s t S e t A B I n t e r e s t K TFSA 51141 2 3 . Br k A c t # 4 N ew R o c h e l l e N Y S c h ool B I n t e r e s t K T5.25/141 2 4 . B r k Ac t #4 NYC R e f S e r B G / O 5 . 7 51 1 5 B I n t e r e s t K T

1 2 5 . B r k Ac t #4 NYC H e a l f l i & t l o s p A I n t e r e s t K T4 . 5 1 4 . 5 5 ] 1 1 61 2 6 . B r k A c t // 4 H u d s o n F a l l s N Y C e n t S t h B I n t e r e s t K T4.625/161 2 7 . Br k A c t # 4 N ew Y or k G /O BD B! E S e t J C I n t e r e s t M T4/16128. BrkAct#4NYCG/OSerESII6 B I n t e r e s t L T

129 , Br k A c t # 4 N Y C G i O S er B 5 . 25/18 C I n t e r e s t L T

1 3 0 . B r k A ct # 4 N e w Y o r k N Y R F D G S e t H B I n t e r e s t L T5 1 1 61 3 I . B r k Ac t / 1 4 P o r t Au t h 1 2 5 t h S e t 5 1 1 8 B I n t e r e s t K T

1 3 2 . B r k A c t # 4 MTA 4.5/18 B I n t e r e s t K T1 3 3 . B r k Ac t #4 NYS Do r m Au R e v K a l e i d a H l t l ~ B I n t e r e s t L T4.25/18i 3 4 , B rk Ac t #41 3 i n g a m t o n NY 4 . 2 5 / 1 8 1 1 6] C I n t e r e s t L T

135. Brk Act #4 New Yor k Ci t y G!O Se r A C I n t e r e s t M TSubset A-1 5/I 91 3 6 . B r k Ac t #4 NYS T w y R e v A 5 1 2 0 [ I 5 ] B In te res t L T

(See ~l~n~ C I ~nd D3 N =$250.~1 - $500.~0 O = $ 5 0 0 . 0 0 1 - $ 1 , 0 0 0 . 0 ~ P I = $ 1 , 0 0 0 , ~ 1 - $ 5 , 0 0 0 , ~ 0 P2 =$5,0~,001 - $25,~,~P~ =$25,~0,~1 - ~50,0~,~0 P4 =Mo~ t~ $50,0~.000

3. Value Me~ ~es Q -App~i~l R ~ost ~eaI Estate Only) S ~ A s s e s sm e n t T = C a s h M ~ k e t


12/17

Page I2 o f 17 Castel, P . K e v t n 0 7 / 0 8 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i , , c o ,. , , ,~ z . , , ~ , .. . . c a o ,~ a,a,a,s tho., of svo.s, a,a a,p~.a,~t ~hit,t,,~; m vv. ~ .~o o f ~ n ~ t ~ a o ~ )

N ON E ~ o reportab& income. ~sets. or transactions.)A. ~ B. C . D.

Dcs~pt ion of Assets I n c o m e d u r in g Gross value at end T r a n s a ct i o n s d u r i n g r e ~ g p e r i o d( i n c l u d i n g t ru s t ~ s e ~ s ) ~ o n i n g p ~ i ~ o f r e p o ~ n g p e r io dPl~e~)"a~er~h~l t A m o u n t J T ~ ( e .g . , V a l u e V a lue T~e(e.g.,[ Date [Value [ Gain[ [ , n t i w o fe x e m p t ~ m p ~ o r a i s c lo s ~ e [ C ~ l e 1 a i r . , r e n t , C o d e 2 M e th o d buy, sell .... ~ t t & y y ] C ~ e 2 I C ~ e l ] I , c r / s e l l e r( A - t O o r i n L ) ( J - P ) C ~ e 3 m d e m p t i n n ) I - - , "pr ivatej l (Q-~ ~ r . : ~ s a c t i o n )

137. BrkAct~ Po~Auhq&NJ4.5/25 B I n t e r e s t L T B u y 0 8 / 1 7 / 0 9 L1 3 8 . B r k A c t # 4 W e s t e m A s s e t M k t F D A D i v i d e n d K T1 3 9 . B r k Ac t #4 L M [ S B ] L a r g e C a p G r o w h F t m d N o n e L rC L A140. B r k A ct # 6 S B M o n e y F u n d s C a s h P o r t A D i v i d e n d J TC LA1 4 1 . B r k Act #6 S B M u n i NY M k t P o r t C L A A Di v i d e n d J T142. Brk Act" #6 ADP A D i v i d e n d J T143. BrkAct#6 BR A D i v i d e n d J T14 4 . Br k A c t # 6 BBY A D i v i d e n d J T14 5. Br k A ct # 6 C i t i g r o up A D i v i d e n d J T14 6 . Br k A c t # 6 G E A D i v i d e n d J T14 7 . Br k A c t # 6 I BM A D i v i d e n d J T148. Brk Act #6 K!r IB A Di vi de nd J T1 49 . B rk A c t #6 K SS N o n e J T! 5 0 . Brk Act # ,6 NIDT A D i v i d e n d J T151. Brk Act #6 MSFI" A D i v i d e n d J I "

152. B r k Ac t #6 P W C A Di v i d e n d K T153. Brk Act #6 WMT A D i v i d e n d J T

( S ee C olu r v , n~ BI ~d D 4) F =$50,001 - $100,000 G = $ I 0 0 . 0 0 1 - $ 1 , 0 0 0 ,0 0 0 HI = $1 ,0 0 0, 00 1 - $ 5, 00 0 ,0 0 0 t 12 = M~ re th a n $ 5, 00 0 .0 0 02 . V ~ , l ueC o d e~ J=$15,0C Do rle s ~ K =$15.0 01 -$50 ,0 ~0 L=$50 ,001-$I00 ,000 M= $ 100,001 -$ 250,000

( S ee C olu mn~ C I ~ad D 3) N -$250.001 - $500,000 O =$500,1)01. $1.000,000 P I - $ 1 ,0 O O , 0 0 1 - $ 5 ,0 0 0 , 0 0 0 P2 - $5,000 ,001 . $25,000 ,000P] ~$25,000,001 - $50,000.000 P 4 = M o r e th a n $ 5 0 , D 0 0 , 0 0 0

3 . Valu e Method C odes Q - A p p r a i ~ n l R - C os t ( R ea l E s t a t e Only ) S =As ses s men t T -C~ sh Ma rke t( .~ee C olu mn C 2) U -B o o k Va lue V =Other W = E~ t i m a t ed


13/17

F IN A N C I A L D I SC L O S U R E R E P O R TI

~ , ~ o r a , p o r tPage 13 of 17 o 7 / o 8 / 2 O l OV I I . I N V E S T M E N T S a n d T R U S T S -i.co.,., ,~r..,, .... a i o , ~ ( l n c l u d e s t h o s t o / s p o . . . . . d d c p e n d e n t c h i ld r e n t s e e p p . 3 4 . 1 t g o l r f! ll n g i n s tr u c t lo n . r .)

N ON E ( N o r e p or t ab l e i nc om e , a s s e t s , o r t r ans a c t ion s . )

D e s c r i p t io n o f A s s e t s I n c o m e d u r in g Gross value at end T r a n s a c t i o n s d u r i n g r e p o m : .~ : p e r i o d

P l a c e " ( X ) " a P t e r e a c h a s s e t [Amount T ~ . 3 ~ e ( e . g ., V a lue V a lu e T y p e ( e . g ., V e G a i n I d e n t i t y o f[A - H ) orint . ) ( / - P ) . C o d e 3 r e d e m p l i o n ) ( A - H ) ( i fpr ivatei ( Q - W ) i [ t r a n s a c t i o n )154 . Br k A c t # 6 W A G A D i v i d e n d J T 1 5 5 . B r k A ct # 6 W T C A D iv id e n c J Ti 56 . Br k A c t # 7 C i t i bank N A Ban k D c p P r o gr am A In te res t K T157 . Br k A c t # 7 P W C A D i v i d e n d l T1 5 8 . B r k A e t # 7 R I T A D i v i d e n d J T1 5 9 . B r k Ac t #7 NYS De e C o r p I n c T x 6 . 5/ I 8 C I n t e r e s t L T Bu y 01/09/09 K1 6 0 . B r k Ac t #9 S B ( W e s t e r n As s e t ) M U NI NY A In te res t M TM N Y M K T P O R T C L A16 1 . Br k A c t # 9 E E M A D i v i d e n d K T16 2 . Br k A c t # 9 P W C A D i v i d e n d M T B u y 11/ I 8/09 K( a d d l )1 6 3 . B r k A c t # 9 P Z I A D i v i d e n d .1" T-164. Brk Act #9 P1LF S o l d 09118/09 L A( p a r Q1 6 5 . s a m e a s a b o v e A D i v i d e n d S o l d 09/21/091 .I A1 6 6 . B r k Ac t #9 1 V I F S I n t l Ne w Di s c F u n d C A D i v i d e n d K T[ M m C X )1 6 7 . B r k A c t # 9 N Y C M u n i W a t e r S W R 0 / 1 4[ 0 9 ] B I n t e r e s t R e d e e m e d 12/15/09 K A168. B rk Act #9 Ne w York Ci t y MW F A u W & S A Interest L TS e t D O CPN 0 / I 816 9. Brk Act #9 NYS G~O BDS-A 0f19 A I n te r es t K T Bu y 0 3 / 0 5 , t 0 9 K170. B r k A c t # g P R C o m m H & T O / 2 0 A Interest K T

I . In co m e Ga in C o d ci: A =$1 ,000 o r le ss B =$I.001 - $2,500 C =$2,501 - $5,0 00 D =$5,0 01 - $15,000 E ~$15,001 - $50,000( S ee C olu mn~ BI and D 4) F = $ 5 0 , 0 0 1 - $ I ( ~ 7 } , 0 0 0 G = $ [ O 0 , 0 0 1 . $ 1 , 0 0 0 ,0 0 0 HI =$ 1, 00 0, 00 1 - $ 5, 00 0, 00 0 H2 = Mo re t ha n $5, 00 0, 0~ 02 . V a lu e C o d es J =515,000 o r les~ K = 5 I 5 , 0 0 1 o 5 5 0 , 0 ~ ( ) L :150,001 - $100.000 M = 5 1 0 0 , 0 (1 1 . $ 2 5 0 . 0 0 0(Se e Co lurn a ~ Cl ~ d D3) N =1250,00! - $500,000 O = 5 5 0 0 , 0 0 1 - $ 1 , 0 0 0 ,0 0 0 PI -$1,000,001 - 55,000,000 P2 =$5,000,001 - $25,000,00~P3 =$2~,000,001 . 550.000.000 P4 ~More than $50,000,0003 . Valu e Method C odes Q ~ A l ~ p r a i s a l R = C o s l ( Rea l Es l a t c O a l y} S ~Asscssmcnt T ~C as h Mar k et( S ee C olu mn C 2} U -B o o k Va lue V ~ O ~ h er W - E s l imated


14/17

N a m e o f P e r s o n R e p o r t i n gF IN A N C I A L D I SC L O S U R E R E P O R T Ia s t e l , P . K e v ln D a t e o f R e p o r tP a g e 1 4 o f 1 7 0 7 1 o 8 / 2 0 1 oV I I . I N V E S T M E N T S a n d T R U S T S - t.co,.,, v.t.,. , ,a.~.cno.~ a,.aua ,5 ,ho~. qspo~., a.d depen dent ,nita.~.; s~ m. Z -~o o gl~ti.g itt$tructions.)

N O N E ( N o r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c t i o n s . )

D e s c r i p t io n o f A s s e t s [ I n c o m e c h t f i n g G ro 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 p or t i n g p er i o d o f r e p o r l i n g p er i o d( 1 ) ( 2 ) t ~--I " (~ [ (I ) ! "~ j [ (3) I (4) J (5 )P l a c e " ( X ) " a f t e r e ac h a s s e t Amount [ Type (e .g. , [ V a l u e V a lue I T y I ~ ( e . g . , D a t e V a lue Gain! 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 i Code I i di ...... t, C o d e 2 M et h o d : buy, sel l , m m ~ d d ! y y ] C o d e 2 [ C o d e I b a y e r , , . e l l e r( A - H ) or int.) ! ( JP) i C o d e 3 r e d e m p t i o n ) ] (J-P) : (A-II) ( i f p r i v a t e( Q - W ) J h - a n s ~ c l i o n )

1 7 1 . B r k A c t # 9 X L F A D i v i d e n d J T172. B r k A c t # 1 0 S B [ W s t r n A s s t ] M U N I N Y A D i v i d e n d M TM N Y P O R T C L A1 7 3 . B r k A c t # 1 0 E E M A D i v i d e n d K T1 7 4 . B r k A ct # 1 0 P W C A D i v i d e n d M T Bu y 09/18/09 K( a d d l )1 7 5 . B r k A ct # 1 0 P R F Sold i 09/I 8/09 L A(p~) .....1 7 6 , ( s a m e a s a b o v e ) A D ivid e n d So ld 0 9 1 2 1 1 0 9 J A

1 7 7 . B r k A c t # 1 0 P Z I A D i v i d e n d J T178. B r k Ac t #1 0 M F S I n t l Ne w Di s c F u n d A D i v i d e n d K TC [ M I D C X ]1 7 9 . B r k Act #1 0 N YC M u n i W a t e r S W R B I n t e r e s t R e d e e r o e d 12/15/09 K A0/14[09]I g 0 . BrkAct#1Ol~.ewYorkCityMWFAuW/S A I n t e r e s t L "rS y s S e t D O C P N 0 / 1 81 8 1 . B r k A c t # I O N Y S G i O B D S A 0 / 1 9 A I n t e r e s t K T Bu y 03/05/09 K1 8 2 . B r k A ct # 1 0 P R C o u g h H & T 0 / 2 0 A I n t e r e s t K T183. B r k Ac t #1 2 P H X O a l d m r s t S t r a t All o c F D A D i v i d e n d J T :A1 8 4 . B r k Ac t #1 2 P H X O a l d a u r s t I n c &G r o w t h F D A D i v i d e n d J TA1 8 5 . B r k Ac t #1 3 F i d e l i t y Di v e r s I n t l [F DI V X ] D D i v i d e n d M T

L86 . Brk Act #13 F ide l i t y Equi ty In c[F EQ IX] F Dividend O T187 , Brk Act i l l 3 F ide l i t y In t e r Bon d [ F THRX ] E In t e re s t N T [

I . I ncome Gain C ~, I es : A = $ I , I K K ~ o r l e s s B ~$1.001 - $2,500 C ~$2.501 - $5,000 D =$5,001 - $15.090 E -$I5.0~1 - $50,000( S ee C olu mn~ BI ~nd D 4) F ~$50,~1 - $1~,~ G -$ 1~ .001 - $ 1,000.000 HI ~1,0~,001 - ~5,~0,~ ~ =Mor~ ~ $5.~,~2 . V m l u e ~ d e s J = $ 1 5 , ~ o r les~ K 1515,001 - $50,0~ L = $ 5 0,001 - $ I ~ .~ 0 M =$ I O0.001 - $250,0~( S e e C o l ~ C 1 m d D 3 ) N =$250 .~1 - $500 .(~ O - $ 3 0 0 . 0 0 1 - $ 1 , ~ 0 , ~ P I ~ $ 1 , ~ 0 . ~ I - $ 5 , ~ 0 , 0 1 ~

~3 -$25,~,~1 - $50.0~,~0 P4 -Mo[~ th~ $50 ,000 ,~0 3 , V a l u e M e ~ C o d e ~ Q - A p p ~ i ~ R ~ C o s t ~ e a l E s ~ t ~ ~ l y ) S -Assessment T = C ~ k M ~ k e t(~e Colu~ ~) U =Book Valu e V - O ~ e r W = E s l im a ~ e d


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F IN A N C I A L D I SC L O S U R E R E P O R T N.me o~"P a g e 1 5 o f 1 7

V I I . I N V E S T M E N T S a n d T R U S T S - l.co.,., .at..,, ......N ON E ~ o reportable income, ~sets, or tra~actions.)

A. ~ B. C. I D.D e ~ c ~ t i o n o f A s s e ~ Income dung(~ncluding ~s t ~e~) reining period o f r e p o a i n g( i ) (~) (~) O) (~) C3~--~ ( 5 )~ )Place "~X)" a~er ~ch ~set Amo~t T~e (e.g., V a l u e V a l u e T~e (e.g., D a t e Value ] Gain ~ I d e n t i w o fexempt ~m prior ~sclo~e C o d e 1 div., real C o d e 2 Me~ b uy , se l l , ~m~ddt~ C~e 2 I C~te I b u y e r / s e l l e r( A - t O o r i n L ) (JP) i C o d e 3 ~ d e m p t i o n ) ( J- P) (A-H) ~ ( i f p r i v a t e

1 88. Brk Act #13 Fideli~ Expo~ & Mulfinatl B D i v i d e n d L T[ V E X P X ]1 89. Brk Act #13 Fideli~ Capitol Apprec C Dividend L T

1 9 0 . BrkAct#13 Fidelity Retire M~t[C~h D In.rest M TRe~es] [FC~]1 9 l. B=k Act # 14 Chase Accoun~ None K T

t. I ncome Gain C odes : A =$1.000 or less I3 -$1 .001 - $2 ,500 C =$2.501 - $5,000 D = $ 5 , 0 0 1 - $ 1 5 .f )O 0 E -$15.001 - ~50,000( Se e C o l~ n n s BI ~d D 4) F =$50 ,0 0 1 - $1 ~ ,~ 0 O "$ l~ ,0 0 1 - $1 ,~ 0 .0 0 0 H I = $ 1 , ~ , 0 0 1 - $ 5 , 0 ~ , 0 ~ 1 1 2 - M o r e ~ a a $ 5 , ~ , D ~2. V~ue ~s 1 = $ I 5 , ~ 0 o r I ~ K =$1S, ~l - $5 0, 0~ L =$50,001 - $100.000 M = $ 1 ~ . ~ 1 - $ 2 5 0 , ~( S e e C o l u n m ~ C I ~ d D 3 ) N -$2 50 ,0 0 1 - $50 0 ,~ O ~5~ ,~ ) 0 1 - $1 ,0 0 0 ,~ 0 P I - $ 1 , 0 ~ , 0 0 1 - $ 5 , ~ 0 , ~ P2 =15.~0,~1 - $25,~,~P 3 - $ 2 5 ,0 ~ , ~ I - $ 5 0 , 0 ~ , ~ P 4 = M o ~ e t h an~ 3. Value Me~ ~cs Q =Appr ~ i~ l R * C o s t ~ I E s t a t e ~ t y ) S =As s es s ment T = ~ s h M ~ k e t~ (See Colu~ ~) U =~k Value V =~er W = E s l i m a l ~


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F IN A N C I A L D I SC L O S U R E R E P O R T [ NzmeofPersonReporting .... ,e,,tRcportPage 1 6 o f 17 [ cast~, v .Ke~n , ~ 7 , " 0 ~ / 2 0 1 0

V I I I. A D D I T IO N A L I N F O R M A T I O N O R E X P L A N A T I O N S . a , d,, -, ~ ,p o , ,

P ar t VI I : I N VE S TME N TS A N D TR U S TSP a g e 5, l i n e 2 6 o f 2 0 0 8 F D R . B r k A c t # 2 N Y S T ~ V Y A U T H 5. 2 5/ 1 0 . Th i s w a s i n a d v e r t e n l y l i s te d o n t h e 2 0 0 8 F D R a s a p a r t ia l r e d e m p t o n w h e n i t w a s a f u l lr e d e m p t i o n a n d i s t h e r f o r e o m i t t e d f ro m t h e 2 0 0 9 F D R .P a g e 5 , li n e 2 4 o f 2 0 0 8 F D I L B r k A c t #2 N Y N Y R F D G S e t J 5/ 1 0 ( 0 8 ) . Th i s w a s i n a d v e ~ e n l y l i st e d o n t h e 2 0 0 8 F D R a s a p a r t ia l r e d c . m p f i o n w h e n i t w a s a f u l lr e d e m p t i o n a n d i s t h e ff o r e o m i t t e d f r o m t h e 2 0 0 9 F D R .P a g e 6 , l i n e 4 9 o f 2 0 0 8 F D R . B r k A c t # 2 N Y S D o r m A u t h R e v s I t h a c a C o l l 5 1 1 3 . Th i s w a s i n a d v e r t e n t y l i s te d o n t h e 2 0 0 8 F D R a s a i , a r t ia l r e d e m p l i o n w h e n i tw a s a f u l l r e d e m p t i o n a n d i s t _ he f fo r e o m i t t e d f ro m t he 2 0 0 9 F DR .P a g e 1 1 , l i n e 1 2 7 o f 2 0 0 8 F D R . B r k A c t # 2 N Y G e n P b li g B D S - G 1 5 .5 1 2 1 . "f h i s i te m i s a d u p l i c a t e o f p a g e I I , l in e 1 2 2 o f t h e 2 0 0 8 F D R . A c co r d i n g t h e s e c o n dl i s t in g i s o m i t t e d o n t he 2 0 0 9 F DR .P a g e I I , Ii n e s 1 3 3 t h r o u g h 1 3 8 o f 2 0 0 8 F DR . . Tf i b o r o u g h B r i d g e & T u r m e l Au V a t 2 0 3 2 . T hi s w a . s i n a d v e r t e n l y l i s t e d o n t he 2 0 0 8 F DR a . s a p a r t i a l re d e m p t i o nw h e n i t w a s a f u l l r e d e m p t i o n a n d i s t h e f f o r e o m i t t e d f r o m t h e 2 0 0 9 F D R .P a g e 1 2 , l i n e 1 4 3 o f 2 0 0 8 F D R . B r k A c t # 4 N Y S D o r m M t g l l o s p 4 .9 5 /0 8 . T h is s h o u l d h a v e b e e n l i s te d o n t h e 2 0 0 8 F D R a s r e d e e m e d o n 2 / I /f ~ , q a t V a l u e C o d eK.P a g e 1 4 , li n e 1 8 6 o f 2 0 0 8 F D R . B r k A ct # 7 L e h m a n B r o s 4 . 1 50 / 1 5. T h is w a s i n a d v e r l e n l y l is t e d o n t h e 2 0 0 8 F D R a s a p a r t ia l r e d e m p t i o n w h e n i t w a s a f u l lr e d e m p t i o n a n d i s t he r fo r ~ o m i t t e d f r o m t he 2 0 0 9 F DR .P a g e 4 , li n e 1 4 o f 2 0 0 9 F D R o B r k A c t # 2 U ts N u v e e n T R U T T R # 6 1 M N Y I N S D $ 6 I . B r o k e r r e p o r t s t h a t th i s s e c u r it y w a s o w n e d g o i n g h a c k t o p r i o r t o2 0 0 5 a n d w a s i n a d v e r t e n t l y o m i t t e d .P a g e 1 0 , l i n e 1 0 9 o f 2 0 0 9 F DI L B r k Ac t #2 NYS " I h r w y Au 2 d H w y & B d g 5 /25 . T hi s w a s i n a d v e r ~ e n l y o m i t t e d f r o m t he 2 0 0 9 F DR . I t w a s a b u y o n 4 / 1 7 / 0 8 a tV a l u e C o d e M . I n t e r e st i n 2 0 0 8 w a s a t A m o t m t C o d e C , w i t h a v a l u e a t t h e e n d o f t h e p e r i o d o f M .P a g e 1 0 , l i n e 1 1 0 o f 2 0 0 9 F D R . B r k A c t # 2 N Y C M W A W t r & S w r R e v S e t C F i r s t R e s 5 1 2 5 . Th i s w a s i n a d v e r t e n l y o m i t te d f r o m t h e 2 0 0 9 F D R I t w a s a b u yon 5/301108-at Value Cotle M. In~-erest in~008 wagat Amount Code D, with a v~al~e- at the end~-f the pe-n~rd-o f M. ............................P a g e 5 , li n e 2 7 o f 2 0 0 9 F D R . B r k A c t # 2 E i r e C n t y N Y P u b I m p S e t A 5 1 1 1 . T lf i s w a s i n a d v e r t e n l y l i s te d o n t h e 2 0 0 8 F D R a s a f u l l r e d e m p t i o n a n d i s t h e r f o r ei n c l u d e d i n t h e 2 0 0 9 F D R .


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IN,mef Pe r s o n R e p o r t i n gP a g e F I N A N C I A L 1 7 o f 1 7 D I S C L O S U R E ; R E P O R T [ Castel, P .Kevin Date07/08/2010ol" ReportIX. 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 i o n g i v e n a b o v e ( in c l u d i n 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 be 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 ) 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 i t m e t a p p l i c a b le s t a t u t o r yp 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 t h e r c e r t i f y th 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 cc 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 n s o f 5 U . S . C . a p p . 50 1 e t . 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 .

S ig n a t u re . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . . ..

N O T E : A N Y I N D I V I D U A L ~ $ ~ 1 0 K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A L L S T O F I L E T il l 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 ( 5 U . S .C . a p p . 1 0 4 )

FILING INSTRUCTION SM a i l s ig n e d o r i g i n a l a n d 3 a d d i t io n a l co p i e s t o :

C o m m i tt e e o n F i n a n c i a l D is c lo s u r eA d m i n i s t r a t i ve O f f i c 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 b u s C i r cl e , N .E .W a sh i n g t o n , D . C . 2 0 54 4

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Kevin P Castel Financial Disclosure Report for 2009

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