Naomi R Buchwald Financial Disclosure Report for 2010

8/3/2019 Naomi R Buchwald Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR C A LEN D A R Y EA R 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person R eport ing ( last name, f i rst , middle ini t ia l )B U C H W A L D , N A O M I R .

4. Ti t l e (Ar t ic l e I l l judges indica te ac t ive or senior s t a tus ;magis t ra te judges indicate fu l l - or par t - t ime)

U.S. DISTRICT J UDG E (Ac t ive )

7. Chambers or Office AddressU N I T E D S T A T E S C O U R T H O U S E5 0 0 P E A R L S T R E E T - - R O O M 2 2 7 0N E W Y O R K , N E W Y O R K 1 0 0 0 7

2. Court or Organiza t ionS O U T H E R N D I S T R IC T O F N E W Y O R K

3. Date of Repor t5/6/2011

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] A .... 1 [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in com pliancewith appl icab le l aws and regula t ions .

6. Report ing Pe riod01/0 t /2010

to12/31/2010

Reviewing Off icer Date

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,checking the NONE box for each part where you have no reportable information. S]gn on last page.

I . P 0 S I T I O N S . ~ R e V o r t l n g i n a i v i a u u t o n t y ; se e p p . 9 - 1 3 of f!ling instructions.)~ (No reportab leposi t ions . )O N E

POSITION N A M E O F O R G A N I Z A T I O N /E N T I T Y

2.

3.

4.5.

I I . A G R E E M E N T S . m e v o r t in g i n a i v ia u a t o n t y ; s e e v v . 1 4 - 1 6 of filing instructions.)~] N O N E ( N o reportable agreements.)

DATE P A R T I E S A N D T E R M S


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F I N A N C I A L D I SC L OSUR E R E P OR TPage 2 of 6

N a m e o f P e r so n R e p o r t i n gBUCHWALD, NAOMI R.

D a t e o f R e p o r t5/6/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ( n e p o r t i n g i n d i v i d n a l a . d ~ p o . s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investment Incom e~] N O N E (No reportable income.)on- investment

DATE SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - ln v e s t m e n t I n c o m e - lf you were married du ring anyportion of the reporting year, com plete this section.(Dollar am ount not required except for honoraria.)~ N O N E (No reportable non-investment income.)

DATE1. 2010

2.

3.

4.

SOURCE AND TYPEP a n n e r a t l a w f i rm o f K e l l e y , D r y e & W a r r e n L L P

I V . R E I M B U R S E M E N T S - transportation, lodging, food,entertainment.(Includes those to spouse and depend ent children; see pp. 25-27 o ff!ling instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

1.2.

3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 of 6

N a m e o f P e r so n R e p o r t i n gB U CH WAL D, NAOM I R.

D a t e o f R e p o r t5/6/2011

V . G I F T S . a n c l u d e s those to spouse and dependent children; see pp. 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1 .

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l n d e s t h o s e o l s p o u s e u n d d e p e n d e n t e h U d , e n ; s e e p p. 3 2 - 3 Z of filing instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUE CODE


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N a m e o f P e r s o n R e p o r t in gBUCHWALD, NAOMI Ro

Date of Report5/6/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (lndudes those of spouse and dependent cltildren; see pp. 34-60 of filing instructions.)

2.

3.

4.

5.

6.

7.

8.

9.

11 .

12 .

13 .

14 .

15 .

16 .

N O N E (No reportable income, assets, or transactions.)A. B. C.

Descriptio n o f Assets In com e d uring Gross value a t end( inc luding t rus t asse ts ] reporting period of reportm g pe riod

(1 ) (2 ) (1) (2)Place "(X)" al~er each asset Amount Type (e.g., Value Va l ue

exempt f rom pr ior d isc losure Code 1 div.; rent, Co d e 2 Method(A-H) o r i n t . ) ( J - P ) C o d e 3( Q - W )

T r a n s a c t i o n s d u r n g r e p o r t i n g p e r i o d

(1 ) (2) (3) ~ (4)Type (e .g ., Da te Va l ue Gain Identity ofbuy, se l l , mm/dd/yy Code 2 Code ,1 . . . . . . buyer/ se l le r

redemption) (J-P) (A-H) ( i f p r i v a t etransaction)

SEE ATTACHED RIDER

1 7 .

i : l ncome Gain C odes : A=$i ,0 0 0 o r l e s s(S e e Co lumn s BI a n d I )4) F =$50,001 - $100,000

2. Value C odes J =$15,000 or tess( See C olumns C I and D 3 ) N =$250,001 - $500,000

P3 =$25,000,001 - $50;000,0003 . Value Meth od C odes Q = Ap p r a i sa l(Se e C o lum n C 2) U =B o o k V a lue

B =$1,00 1 - $2 ,500 C =$2,501 - $5,000 D =$5,001 - $15,000G ~$I001001 - $11000,0o0 H 1 =$ 1, 00 0, 00 1 - $ 5, o0 0, 00 0 H 2 =M o re th an $ 5, 00 0~ 00 0K =$15,001 - $50,000 L =$50,001 - $ 100,000 M =$100,001 - $250,000O =$ 50 0,0 01 - $ 1,0 00 ,0 00 P I =$ 1, 00 0,0 01 - $ 5,0 00 ,0 00 P2 =$5,000,001 - $25,000,000

P4 =More than $50,000,000R =C os t ( R eal Es t a t e O nly ) S =A s s es s ment T = C a s h M a r k e tV =O th er W =Es t imated

E =$15,001 - $50,000


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F I N A N C I A L D ISC L OSUR E R E P OR TPage 5 of 6

N a m e o f P e r so n R e p o r t i n gB U C H W A L D , N A O M I R .

Date o f Report5/6/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (]ndicatepart of report.)


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IX . CER TIFICATION .Iame o f Pe rson Report ingB U C H W A L D , N A O M I R . Date of Report5/6/2011

l 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 ( i n 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 , if a n y ) i sa c c u r a t e , t r 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 i t m e t a p p l i c a b l e s t a t u to 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 if y 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 ts 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 . 5 0 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 .

Signature: S/NAOMIR. BUCHWALD

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 I ES O R F A I L S T O F I L E T H IS 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 )

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 tr a t iv e 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 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


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2010 Financial Disclosure StatementP a r t V I I : In v e s t m e n t s a n d T r u s t sA. Description B. I nco me

(1) AmtZ Citibank Accounts D~.. Citibank (IRA) 1 A

- C i f if u n d C a s h R e s e r v e s C l a s s NC i t ib a n k ( I R A ) 2 A

D

C.Value(2)Type (1)Code (2)Method

Interest N TInterest K T

Interest 0 TD i v i d e n d s

(D)Transact ions D u r i n g Y e a r(1) (2) (3) (4)

-C i t if u n d C a s h R e s e r v e s C l a s s N- A n a l o g u e D e v ic e s (C o m m o n )-A p p l ie d M a t e r ia l s ( C o m m o n )- T im e W a rn e r (C o m m o n )- T i m e W a r n er C a b le ( C o m m o n )-A O L I n c . ( C o m m o n )- I n te l ( C o m m o n )- P a lm I n c ( C o m m o n )- I n t e rn a t i o n a l R e c t if ie r ( C o m m o n )- M i c r o so f t (C o m m o n )- S u n M i c ro s y s te m s ( C o m m o n )-M o d u s l in k G l o b a l S o lu t io n s ( C o m m o n )

Exchanged in Merger 7/1/10 J

S o l d ( t o O r a c l e ) 1 /2 6 / 1 0 Jz/. JPMorgan Chase Accounts A Interest K T ..6". Schwab Account

NY Muni Money Mkt C Dividends 0 TB a n k o f A m e r ic a A Dividends K TC a s h R e s e r v e D a i ly ( f o r m e r l y C o l u m b i a C a s h R e s e r v e s )Treasury Direct Account C Interest O TT i m e W a rn e r A D iv L TC o m m o n S to c k

-1-


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Ap p l i ed M ate r i a lsC o m m o n S t o c k ( IR A ) A D iv K T Bought 1/14 M -Sold 1/14 M A// Blount

C o m m o n S to c kN o n e T

, 2 Inte l/~ Common Stock (IRA)/ 5 " -/ 7

~./

f i t ).4 /

3(,~7

E D iv N T B o u g h t 1 /8 M -Sold 1/8 M BBo u g h t 2 /1 O -Bought 2/10 O -P a r t i a l S o l d 2 /1 0 O CB o u g h t 2 / I1 N -P a r t i a l S o ld 2 / 1 1 O EB o u g h t 2 / 12 P1 -P a r t i a l S o l d 2 /1 2 P1 DB o u g h t 2 / 16 N -P a r t ia l S o l d 2 /1 6 O EB o u g h t 3 / 19 P1 -P a r t i a l S o l d 3 /1 9 P1 CP a r t i a l S o l d 3 /29 K CSold 3/31 N EBought 4/8 N -P a r t ia l S o l d 4 / 8 M ASold 4/9 M ABought 4/22 O -Sold 4/23 O BBought 4/26 O -Partial Sold 5/7 O -Bought 5/21 N -Bought 5/28 M -Bought 6/4 P1 -Partial Sold 6/4 P I -Bought 6/8 M -

Partial Sold 6/8 M BB o u g h t 6/9 M -S o l d 6/9 N -B o u g h t 6/I 1 M -S o l d 6/I 1 N BB o u g h t 6/15 O -S o l d 6/15 O D

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Analogue DevicesC o m m o n S t o ck ( IR A )I n t e r n a t i o n a l R e c t i fi e rCom mo n S tock (I RA )

B D iv

None

L

L

T

T

Bought 6/16 O -Sold 6/16 O CBought 6/18 Pl -Sold 6/29 Pl -Bought 6/30 0 -Bought 7/1 M -Bought 7/6 N -Partial Sold 7/6 P1 DBought 7/7 P1 -Partial Sold 7/7 P1 DSold 7/8 M -Bought 7/9 M -Sold 7/9 M ABought 7/16 M -Sold 7/16 M ABought 7/19 P1 -Sold 7/19 P 1 DBought 7/20 P1 -Sold 7/20 P 1 DBought 7/21 O -Bought 7/22 P1 -Partial Sold 7/22 Pl CB o u g h t 7/23 O -B o u g h t 8/3 O -Pa r t i a l S o l d 8/3 N -B o u g h t 8/6 N -Pa r t i a l S o l d 8/6 N BS ol d 9/8 P1 -B o u g h t 10/22 M -S ol d 10/25 M AB o u g h t 11/11 L -S o ld l l /11 L AB o u g h t 11/17 M -S ol d 11/18 M AB o u g h t 11/21 N -

-3-


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M i c ro s o f tC o m m o n S to c k (I R A ) CD iv M T Bought 2/10 M

Sold 2/10 MBought 2/12 NSold 2/12 NBought 7/7 OSold 7/7 OBought 7/9 NSold 7/9 NBought 7/19 OSold 7/19 OBought 7/21 OBought 7/22 O

Partial Sold 7/22 P1Bought 7 / 2 6 OSold 7 / 2 6 OBought 7 / 2 7 NSold 7 / 2 7 NBought 7 / 2 8 NSold 7 / 2 8 NBought 8/ 3 NSold 8/ 3 NBought 8 /6 P1Sold 8/6 P1Bought 9/20 N

Partial Sold 10/I 5 MSold 10/26 NBought 10/29 LSold 10/29 LBought 11/3 MSold 11/12 MBought 11/17 MSold 11/17 M

B

IIf Palm Inc.C o m m o n S to c k (I R A )/ i 6~ Sun M icrosystem s

C o m m o n S to c k (I R A )G o o g l eC o m m o n S to c k

N o n e K

E x c h a n g e d i n M e r g e r

Sold to Oracle

T BoughtSoldBoughtSold

7/1

1 /26

I /51/ 51 / 8t/ 8

NN00

-4 -


11/16

I~I

-5 -

Bought 1/11 N -Sold 1/11 N BBought 1/12 N -Bought 1/15 N -

Partial Sold 1/!5 N -Bought 1 /22 N -Partial Sold 1 /22 N BSold 1 /26 N -

Bought 1 /27 N -Bought 2 / 1 7 N -Bought 2 / 1 8 M -

Partial Sold 2 / 1 8 M ABought 3/ 5 M -

Partial Sold 3/ 5 M ABought 3/ 9 N -

Partial Sold 3/ 9 N ABought 3119 O -Sold 3/19 P1 EBought 3/22 N -Sold 3/24 N ABought 3/29 N -Bought 3/30 N -Sold 3/30 O BBought 4/7 N -Sold 4/7 N BBought 4/16 N -Sold 4 / 2 0 N CBought 4/ 2 1 O -Bought 4 / 2 6 N -Sold 5 /7 O -Bought 5 / 1 9 N -

Partial Sold 5 / 1 9 M BBought 5 / 2 0 M -Bought 5/21 M -Partial Sold 5/21 M A

Bought 5 / 2 8 N -Partial Sold 5 / 2 8 N B

Bought 6 /4 O -Sold 6/4 P1 EBought 9/16 N -

Partial Sold 9/16 N CSold 9/24 N EBought 9/24 N -


12/16

i 7O

i"tl

I q~l

O ~ o O

A m a z o nC o m m o n S t o ck N o ne N

-6 -

T

Bought 10 / 15 L -Partial Sold 10 / 15 N E

Bought 1 0t1 9 N -Bought 1 0/21 N -Bought 1 0/25 M -Bought 1 0 / 2 9 N -Bought 11/3 N -Partial Sold 11/3 O D

Partial Sold 11/3 N DBought 1 1 / 1 0 N -Partial Sold 11/10 M ABought 11/12 N -Sold 11/16 P1 -Bought 1 1 /1 8 O -Sold 1 2 / 1 0 O CBought 1 1 4 O -Bought 1/20 M -Bought 1/22 N -Partial Sold 1/22 O -

Partial Sold 1 /27 N -Sold 1 /29 N DBought 2 /1 M -Bought 2 / 1 7 M -Partial Sold 3/ 8 M DBought 3/9 M -

Partial Sold 3/ 9 M ABought 3/19 P1 -Sold 3/19 P1 EBought 3/22 O -Bought 3/23 M -

Partial Sold 3/23 M ABought 3/24 N -Partial Sold 3/25 M EBought 3/26 N -Partial Sold 3/26 N APartial Sold 3/29 N APartial Sold 3/30 N D

Bought 4/9 N -Bought 4 / 1 2 M -

Partial Sold 4/21 O FBought 4/22 M -Partial Sold 4 / 2 2 O F


13/16

Bought 4 / 2 3 OPartial Sold 4 / 2 3 NPartial Sold 4 / 2 6 O

Bought 5 /6 MSold 5 /7 MBought 5 / 1 9 NBought 5 / 2 0 MBought 5 / 2 8 O

Partial Sold 5 / 2 8 OBought 6 /8 OPartialSold 6 /8 M

Bought 61 9 MPartial Sold 6 /9 MBought 6 / 1 6 OPartial Sold 6 / 1 6 P1

Bought 6 / 1 7 OPartial Sold 6 / 1 7 N

Bought 6 / 1 8 MSold 6 / 1 8 OBought 6/21 O

Partial Sold 6 / 2 9 NSold 6/30 NBought 9/16 MBought 9/24 M

Partial Sold 9124 MBought 10 / 15 N

Partial Sold 1 0/1 5 OBought 1 0/1 9 N

Partial Sold 1 0/20 MBought 10/21 MSold 10/21 OBought 1 0/26 NSold 1 0/26 NBought 10/27 OSold 11/5 OBought 11/5 NSold 11/8 NBought 11/9 OBought 1 1 /1 0 N

Partial Sold 11/10 NBought 11/11 NPartial Sold 11/11 NBought 11/16 M

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Sold 1 1 /1 6 O -Bought 1 2/1 0 N -Bought 12 / 13 O -Bought 1 2/27 M -

A. Description C. Inc o m e D .V a l ue Transactions During Year

Apple ComputerCommon Stock

(1) AmtNone

(2)Type (1)Code (2)Method (1) (z) (4)Bought 1/26 N -Partial Sold 1 /26 M ASold 1 /27 M BBought 6 /4 O -Partial Sold 6 /4 O -Bought 6 /8 M -Partial Sold 6 /8 M ABought 6 /9 N -

Partial S ol d 6 /9 N -Sold 6 / 1 6 N DBought 9/24 N -S o l d 9/24 N --

N o n e Bought 2 / 1 0 L -Sold 2/11 L ABought 4 /6 N -Sold 4 /7 N CBought 4 /8 N -Sold 4 /8 N BBought 4 / 1 5 N -Sold 4 / 1 5 N BBought 5/21 M -Sold 5/21 M ABought 6 / 1 5 O -Bought 6 / 1 6 O -Partial Sold 6 / 1 6 P1 DSold 6 / 1 7 N -Bought 6/17 O -Sold 6 /18 O EBought 6 / 1 8 O -Bought 6 / 2 8 M -Sold 6 / 2 9 O -Bought 6/30 M -Bought 7/1 O -

-8 -


15/16

o / a Partial Sold 7/1 N Bg 7 Bought 7 /2 M -~ Partial Sold 7 /2 M A~ ,q Bought 71 6 M -

0 Partial Sold 7 /6 N C! Sold 71 7 M Dq2 . Bought 7 / 1 9 P1 -A"13 Partial Sold 7 / 1 9 N Bq~ Sold 7 / 2 0 O C5- Bought 7/21 0 -" ~ q ~ Sold 7 / 2 2 O E),~7 Bought 7127 O -q ~ Sold 7 / 2 8 O Do O B o u g h t 7/28 O -O/ Sold 8/2 O D2. Bought 8/6 P1 -03 Sold 816 P1 -

o~ { Bought 10125 L -off Bought 11/1 L -30b Sold 1112 M"-307 Bought 11/11 K -3 o ~ " Sold 11/11 K A

IB M - N o n e B o u g h t 7/19 M -C o m m o n S to ck S o ld 7/20 M AB o u g h t 10/19 M -S o ld 10/21 M BB o u g h t 10/21 M -B o u g h t 1 0 1 2 6 M-S ol d 10/26 N BResearch-in-Motion - None Bought 1 1 4 M -Common Stock Sold 2110 M B

Bought 1 0 / 2 0 N -PartialSold 10120 M CBought 10/21 L -

Sold 10/21 N CBought 10126 M -

Partial Sold 10127 L BSold 1 0/29 L C

~ Bought 1113 M -~ & Sold 11/3 M A7 Bought 1114 L -

-9-


16/16

g ,

S o ld 1 1 1 1 0 L BB o u g h t 1 1 / 1 1 L -S o ld 11/11 L AB o u g h t 1 2 1 2 7 M -8old 12/27 M AB o u g h t 1 2 1 2 8 M -S o ld 12/31 M A

~ , q , . .t

Y a h o oC o m m o n S to c k None L TBought 7 / 1 9 N -Bought 7 / 2 0 M -

Partial Sold 7 / 2 0 O CBought 8/2 N -

Partial Sold 8/2 N APartial Sold 8/ 3 M ABought 11/2 L -Partial Sold 11/2 K APartial Sold 11/3 K A

Bought 11/ 4 K -Partial Sold 1115 K APartialSold 11/9 K C

-10-

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Naomi R Buchwald Financial Disclosure Report for 2010

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