Sack Robert D1 - Judicial Watch … · Sack, Robet D. . 5/1 /2009 : VII. INVESTMENTS and TRUSTS...

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PARTIES AND TERMS -q

3.

Report Required by the Elhics FINANCIAL DISCLOSURE REPORT AOJO in Government Act of 1978 Rev. 112008 FOR CALENDAR YE;AR 2008 (5 U.S.C. app. §§ 101-111)

I. Person Reporting (last name, first, middle initial) 2. Court or Organization 3. Date of Report

5/1/2009Sack, Robert D. US Court of Appeals, 2d Cir.

6. Reporting Period 4. Title (Article III judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time)

01/01/2008Nomination, DateD US Circuit Judge (Active) toInitial Annual FinalD D

12/31/2008 Sb. Amended Report

7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance

40 Foley Square, Suite 601 with applicable laws and regulations.

New York, NY I 0007

Reviewing Officer Date

IMPORT ANT NO TES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

J. POSJTJ ON S. (Reporting individual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I. Director William F. Kerby and Robert S. Potter Fund

2. Lecturer in Law Columbia Law School

3. Member, Columbia Board of Visitors Columbia Law School

4.

5.

0 ,.._.,,c::'>

(.') t•..:> C-J -=

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c-: (/,. ()

-·· I -JJ. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.) ;:c . . · _J fY�

....D NONE (No reportable agreements.) )> ��

-1·1r n1 0C)

rTj N

l. 9/3/98 Practising Law Institute and Robert D. Sack, publication of3rd edition of treatise on defamation law; royalty 15% of net receipts

2. 1998 Gibson, Dunn & Crutcher LLP Retirement Agreement between Gibson Dunn & Crutcher LLP and Robert D. Sack; T'

erms: $6,000 per month, no increase, decrease or cap

4.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2of11 5/1/2009Sack, Robert D.

Ill. N 0 N-JNVESTMENT JN CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

· · '

I. 2008

2.2008

SOURCE AND TYPE

Practising Law Institute Book Royalties

INCOME (yours, not spouse's)

$15,114.45

Gibson, Dunn & Crutcher LLP Retirement Plan $72,000.00

$7,500.003.2008 Lecturer in Law, Columbia Law School

B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)


SOURCE AND TYPE

1.-2008 Dewey Ballantine Partnership Distribution

2.2008 West Services Inc.

3.2008 Katten Muchin Rosenman Retirement Payments

4.

JV. REIMBURSEMENTS -transportation, Jodging,food, entertainment

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. Federal Bar Council I 0/24-26/2008 Lenox, MA Bench & Bar Retreat Travel, Hotel, Food.

2.

3.

5.

DESCRIPTIQN

CREDITOR DESCRIPTION VALUE CODE

5.


Page 3of11 51112009Sack, Robert D.

V• GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[2J NONE (No reportable gifts.)

SOURCE VALUE

I.

2.

3.

4.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

D NONE (No reportable liabilities.)

I. Citibank Aadvantage

2. Citibank Aadvantage

3. Chase Visa

Credit Card

Credit Card

Credit Card

4.

5.

Mo

Acco

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9.

(3) (4)


5/1/2009Sack, Robert D. Page 4of11

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing instructions.)

D NONE (No reportable income, assets, or transactions.)

A. Description of Assets

(including trust assets)

D.B. c.

Transactions during reporting period Income during Gross value at end of reporting period reporting period

(2)(2) (I)(2)(I) (I) (5) Amount ValueType(e.g.,Place "(X)" after each asset Code 1 div., rent, Code 2 exempt from prio disclosure (A-H)- or int.) (J-P)

I. JPMorgan Chase Accounts A Interest L

2. JPMorgan 3916 US Govt MMKT Fund- D Dividend Transferred 7/11 N

Value Method Code 3 (Q-W)

T

Type'i.e.g.,. buy, sell,

redemption)

Date Month-

Day

GainValue Code I Code 2

(J-P) (A-H)

Identity of buyer/seller (if private transaction)

rgan (to line 3)

3. JP Morgan 1086 US Govt MMKT Fund - P remier (formerly Morgan)

B Dividend N T Transferred (from line 2)

7/11 N

4. Unsecured Joan to David W. McClintick None 1 T

5. Dewey Ballantine Partnership Capital nt

None 1 T

6. GD&C CitiStreet 40l(k) D Interest 0 T

7. - SSgA Money Market Fund

8. Oppenheimer Advantage Municipal Liquidi ty Fund (Y)

Boeing Co. Common Stock A Dividend 1 T

JO. Blackrock New York Insured Municipal In B Dividend K T come Trust III

11. Van Kampen Trust for lnvt. Grade NY Mun A Dividend 1 T icipals

12. Oppenheimer NY Municipal Fund Cl A c Dividend K T

13. Oppenheimer NY SFSA 5% Due 3/15/10 A lnt./Div. K T Buy 10/2 K

14. JPMorgan Chase Traditional IRA A Interest J T

15. Northwestern Mutual Life Insurance Policy c Dividend L T

16. Guardian Life Insurance Policy A Dividend K T

17. Massachusetts Mutual Life Insurance Policy A Dividend J T

I. Income Gain Codes: A =S l .000 or less B =Sl,001 - $2,500 c=$2,501 • $5,000 D=$5.001 - $15,000 E=$15.00! - ISO,OOO

(See Columns BI and 0 4) F=$50.00 I - SI 00,000 G=StOO,OOl ·Sl,000.000 HI =Sl,000,001 • $5,000,000 H2 =More than $5,000,000

2. Value Codes J=$15,000 or less K=St5,00I • $50,000 L=$50,00 I - $I 00,000 M =$100,001 - $250,000

(See Columns Ct and 03) N=$250.001 • $500.000 0 =$500,001 ·SI .000,000 Pl =Sl,000,001 • $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More t han $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estat e Only) S=Assessment T =Cash Market

(See Column C2) U =Book Value V=Other W=Est imated

-

Date of Report Name of Person Reporting FINANCIAL DISCLOSUitIB REf'ORT

Page 5of11 Sack, Robert D. . 5/1 /2009



A. B. c. D.

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount. Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) - ·-·

transaction)

18. Morgan Stanley Bank Deposit Program A Dividend L T

19. Morgan Stanley MT A 5.35 Zero Coupon A Interest K T Bond due 7/1/12

20. MS New York Genl Oblig RefSer-C due 4/ A Interest K T 15/13

21. MS NYS DA SECD_Hosp Interfaith Med B c Interest Sold 2/15 L A ond 5.25 due 2/15/14

22. Morgan Stanley LIPA 5.60 Zero Coupon Bo A Interest K T nd due 6/1/14

23. MS NYS Power Auth Rev RefSer-C 4% d A Interest ue 11/15/20

K T Buy 10/29 K

24. MS NYC Gen! Oblig Ser-I 4% Due 2/1/22 B Interest L T Buy 2/14 K

25. Morgan Stanley Fed Home Ln Mtg Med Tm B Interest Sold 3120 K A N 4% 10115110

26. Morgan Stanley Fed Hm Ln Bk 4% 3/24/11 B Interest Sold 3/24 K A

27. Morgan Stanley FHLB 5.050% due 2/14/13 B Interest Sold 2/14 K A

28. Morgan Stanley FHL Mtg Corp Med Term B Interest Sold 12/31 K A N 5% due 9/15/15

29. MS Fed Home Ln Mtg Corp Med Term N5 B Interest K T %due9/15/16

30. MS Fed Hom LN BK 5% due 6/12/18 A Interest K T Buy 11/5 K

31. Morgan Stanley Global Dividend Growth S A Dividend J T ec A

32. Morgan Stanley Special Value Fund A B Dividend J T

33. Morgan Stanley Special Growth Fund A A Dividend J T

34. MS Focus Growth Fd A Dividend J T

I. Income Gain Codes: A =S 1.000 or less B =Sl.001 -$2,500 c =$2.501 - $5.000 D =$5.00 I -$15.000 E =$15,001 -150,000

(See Columns BI and D4) F =$50.00 I - $I 00,000 G =SI00.001 -$1,000,000 HI =$1,000,001 • $5,000,000 H2 =More than $5,000,000

2. Value Codes J =S 15,000 or less K =S 15,00 I -$50,000 L =$50,001 -$100,000 M =$100,001 • $250.000

(See Columns Cl and DJ) N =$250,00 l • $500.000 0 =$500,001. Sl.000.000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,00 I • $25,000,000

P3 =$25.000,001 - $50,000,000 P4 =More than $50,000,000 3. Value Meth od Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U =Book Value V =Other W=Estimate.d

Cm

36.

42.

44.

45.

46.

49.

50.

Name of Person·Reporting Date of Report FINANCIAL DISCLOSURE 1.U:i?CLT

Page 6of11 Sack, Robert D. 5/1/2009

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP· 14-60 of filing instructions.)


B. C. D.

Income during Gross value at end of Transactions during reporting period

reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

B Dividend K T

A.

Description of Assets


Place "(X)" after each asset

exempt from prior disclosure

35. MS Oppen. AMT Free NY Mun B (Class E xchange)

Morgan Stanley Franklin NY Tax Free Inc B B Dividend K T

37. Goldman Sachs High Yid Muni A A Dividend J T

38. JPMorgan Federal Money Market Fund - A Dividend K T Morgan

39. Fiduciary Holdings . c lnt./Div. M T

40. -Morgan Stanley Bank Deposit Program

41. -Morgan Stanley MT A NY Transit Zero pon Bond due 7/1/13

-Morgan Stanley Franklin NY Tax Free Inc B

43. -Morgan Stanley Oppen. AMT Free NY M unicipal Fund B

Neuberger State Street Mid Cap Growth I A Dividend J T nvestor Class

MS Active Assets Tax Free Trust (AH) (Y)

MS Pioneer Amt Free Muni A (AH) B Dividend Transferred 8/15 L (to line 77)

47. MS E V Amt Free Muni Bond A (AH) c Dividend Transferred 8/15 L (to line 74)

48. MS Phoenix Insight Tax Exempt Bd A (AH) B Dividend Transferred . 8/15 L (to line 81)

MS Goldman Sachs High Yid Muni A (AH) D Dividend Buy 4/11 N (add'!)

Transferred 8/15 N (to line 75)

51. MS Oppenheimer Amt-Free NY Mun A c Dividend Transferred 8/15 M (AH) (to line 76)

I. Income Gain C odes: A =$1,000 or less B =Sl,001 -$2,500 c =$2,501 -$5,000 D =$5,00 I - S 15,000 E =$15,001 - $50,000

(See Columns BI and 04) f =$50,001 - $100,000 G=SI00,001-$1,000.000 HI =$1,000.001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,00 I -SI 00,000 M =$100.001 - $250,000

(See Columns CI and 03) N =$250.001 -$500,000 0 =$500.001. $1.000,000 P l =$1,000,001 -$5.000,000 P2 =$5,000,001 - $25,000,000

PJ =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U =Book Value V =Other W =Estimated

. .

53.

57.

Date of Report Name of Person Reporting FINANCIAL DISCLOSUr'tl: iillir'ORT


VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of ftlinc instructions.)


A.

Description of Assets




" ' · ..

52. MS American Tax-Exempt Bd Fd A (AH)

B. c. D.



(I) (2) (I) (2) (I) (2) (3) (4) (5)

Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

c Dividend Transferred 8/15 L (to line 80)

RHH Trust (Y)

54. -Citigroup Bank Deposit Account Distributed (part)

2/22 L

55. Distributed 2/22 L

56. Citi Smith Barney Bank Deposit Program (AH) (Y)

MS Cash/MMF/Bank Deposit Accounts (A H) (Y)

58. MS Blackrock Munihldng NY Ins Fd (AH) A Dividend

59. MS Nuveen NY Invt Qual Muni Fund (AH) A Dividend

60. MS Van Kampen Muni Income A (AH) B Dividend

61. MS Van Eck Glob Hard Assets A (AH) None

62. MS E V AMT Free Muni Bond A (AH) B Dividend

63. MS American Tax-Exempt Bd Fd A (AH) B Dividend

64. Ameriprise Retirement Portfolio (AH) E lnt./Div.

Transferred (to line 72)

8/15 L


8/15 L


8/15 L


8/15 K

Transferred 8/15 L (to line 66)

Transferred 8/15 L (to line 69)

0 T

65. - Ameriprise Insured Money Market (X)

66. - Eaton AMT-Free Muni Bd A Transferred (from line 62)

8/18 L

67. - RSRV US Government R Buy 9/19 0

68. Sold (part)

11113 N

I. Income Gain Codes: A =S 1.000 or less B =$1,001 - $2,500 C =$2,50 I - $5,000 D=S5,00l -Sl5,000 E=Sl5,001 -$50,000

(See C olumns BI and D4) F =$50,001 - $100,000 G =SI 00,00 I - S 1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =S 15,000 or less K =$15,001 -$50,000 L=S50,001- SIOO,OOO M =$100,001 -$250,000

(See Columns Ct and DJ) N =$250,00 I -$500,000 0=$500,001-$1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5.000,001 - $25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q=Apprai sal R=Cost (Real Estate Only) S=Assessment T =Cash Ma rket

(See Column C2) U=Book Value V=Other W=Estimated

.

L

-

79.

83.

84.

(I) (5)

Date or Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT

5/1/2009Sack, Robert D. . Page 8 of 11

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children: see PP· 34-60 of filing instructions.)


A. Description of Assets


Amount


Place "(X)" after each asset Code I

(A-H)

69. - Amer TIE Bond of Amer A

70. - VK Muni Income A

71. - Van Eck GI Hard Assets A

72. - Blackrock Muni Holdings New

73. - Nuveen New York lnvt Quality

74. - Eaton AMT-Free Muni Bd A

75. - GLD High Yield Mun A

76. - OPP AMT Free NY Muni A

77. - Pioneer AMT Free Muni A

78. - RSRV US Government R

B. c. D.



(I) (3) (4)(2)(2) (2) (I} ValueType (e.g.,

div., rent, Code2

or int.) (J-P)

- __ .,

Value

Method

Code 3

(Q-W)

Type (e.g.,

buy, sen,

redemption)

Transferred (from line 63)





Transferred (from line 4 7)




Buy

Date

Month-

Day

8/18

8/18

8/18

8/18

8/18

8/22

8/22

8/22

8/22

9/19

Value Gain Identity of

Code2 Code I buyer/seller

(if private

transaction) (J-P) (A-H)

L

L

L

K

K

N

M

L

M

Sold 11/13 L (part)

80. - Amer TIE Bond of Amer A Transferred 8/22 L (from line 52)

81. - Phoenix Insight Tax Ex Bd A (X) Transferred 8/22 L (from line 48)

82. Transferred 10/17 L (to line 83)

- Virtus Tax Exempt Bond A (X) Transferred 10/17 L (from line 81)

- RiverSource Retirement Advisor 4 Adva ntage VA-Annuity

85. - Fred Alger Large Cap Growth IRA Buy 4/21 L

I. Income Gain Codes: A =$1.000 or less B =S 1.00 I - $2,500 C =$2.501 -S5.000 D =$5,001 - $15.000 E =$15,001 · $50.000

(See Columns Bl and D4) F =$50.00 I -SI 00,000 G=SIOO,OOl-SJ,000,000 HI =Sl,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes J =S 15.000 or less K=$15,001 -$50,000 L =$50,00 I -SI 00,000 M =$I 00,00 I -$250,000

(See Columns Cl and DJ) N =$250,001 - $500,000 0 =$500,001 -Sl.000,000 PI =$1,000,00 I -$5,000.000 P2 =$5,000,001 - $25.000.000

P3 =$25.000.001 -$50,000,000 P4 =More than $50,000,000


(See Column C2) U =Book Value V =Other W=Estimated

(5)

90.

91.

Dale of Report Name of Person Reporting FINANCIAL DISCLOSURE REI<,)RT


VII. INVESTMENTS and TRUSTS - income, varue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


A. B. c. D.

Description of Asse(s Income during Gross value at end of Transactions during reporting period



(3)(I) (2)(2)(I) (2) (I) (4) ValueValue Date GainAmount Type (e.g., Value Type (e.g., Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

86. - Franklin Intermediate Fixed Income IRA Buy 4114 0 -....: ��-

87. Sold 4/14 0 (part)

88. - Spectrum Hybrid Preferred IRA Buy 4114 L

89. - Renaissance International Equity IRA Buy 4/14 L

- Alliancebernstein Large Cap Core IRA Buy 4/21 M

- Munder Mid Cap Core IRA Buy 4/21 L

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 =$15,00 I - $50.000

(SeeColumnsBI andD4) F=$50,001 -$100,000 G =$100,001 - SI ,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J=$15,000 or less K =$15,001 -$50,000 L=$50,001 -$100,000 M =SI 00,00 I -$250,000

(See Columns Cl and D3) N =$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =St,000,001 -$5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000


(See Column C2) U =Book Value V=Other W=Estimated

FINANCIAL DISCLOSV RE:?'::JllT

Page 10of11

Name of Person Reporting

Sack, Robert D.

Date of Report

5/1/2009

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofReporL)

Lines 59-61, JP Morgan Federal MMKT Fund - Morgan, on the 2007 Report have been deleted since they appeared on the 2007 Report twice (also at lines 40-42 on the 2007 report). The fund appears at line 38 on this 2008 Report.

Lines 81-83 represent security name change from Phoenix Insight Tax Exempt Bond A to Virtus Tax Exempt Bond A.

Line 64, Ameriprise Retirement Portfolio, is aggregated at lines 65-91.

The IRAs at lines 85 to 91 are part of the Ameriprise Retirement Portfolio at line 64. (No control over the assets within these IRAs.)

In the 2007 Report Part VII, page 8, line 71; page 9, lines 96, 97, I 0 I and I 02; page I 0, lines I 09 and 111; and page 11 lines 121-126, assets were inadvertently reported. These assets are part of the RiverSource Retirment Advisor 4 Advantage VA-Annuity, at line 84 on this 2008 Report. No control over the assets within the annuity. This Annuity is part of the Ameriprise Retirement Portfolio at line 64.

A pending claim against Worldcom is currently in litigation (02 Civ. 3288 (DLC)). The worth of that claim cannot be determined at this time.

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE R.Zf<JilRT

Page 11 of 11 Sack, Robert D. 5/1/2009

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E. Washington, D.C. 20544

Sack_Robert_D2

SOURCE

INCOME

2.

5.

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


III, N 0 N-INVE STMENT INC 0 ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

0 NONE (No reportable non-investment income.)

SOURCE AND TYPE (yours, not spouse's)

I. 2008 Practising Law Institute Book Royalties $15,114.45

2.2008 Gibson, Dunn & Crutcher LLP Retirement Plan $72,000.00

3.2008 Lecturer in Law, Columbia Law School $7,500.00

4.

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)


AND TYPE

I.2008 Dewey Ballantine Partnership Distribution

2.2008 West Services Inc.

3.2008 Katten Muchin Rosenman Retirement Payments

4.

IV. REIMBURSEMENTS - transportation, lodging.food, entertainment

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1. Federal Bar Council 10124-26/2008 Lenox, MA Bench & Bar Retreat Travel, Hotel, Food.

4.

SOURCE DESCRIPTION

CREDITOR DESCRIPTION VAWECODE

FINANCIAL DISCLOSURE REPORT

Page 3of11


Sack, Robert D.

Date of Report

5/1/2009

V. G JFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing ins/ructions.)

[{] NONE (No reportable gifts.)

VALUE

I.

2.

3.

4.

5.

VJ. LJABJLJTJES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

D NONE (No reportable liabilities.)

I. Citibank Aadvantage Credit Card

2. Citibank Aadvantage Credit Card

3. Chase Visa Credit Card

4.

5.

--------·------

Mo

Accou

u(2) :

°-= ------- transacti! __

(2)

FINANCIAL DISCLOSURE REPORT Page 4of11


Sack, Robert D.

Date of Report

5/1/2009


D NONE (No reportable income. assets, or transactions.) -------...,

A. B. C. D.

Description of Assets Income during Gross value at end of 1I Transactions during reporting period I[1

(including trust assets) reporting period reporting period__L __ _ _ ________ I ; (I) (I) i (I)

_ I I (3) I (4) (5)(2)

Place "(X)" after each asset \ Amount Type (e.g., Value alue Type (e.g., I Date 1 Value 1 Gam Identity of

exempt from prior disclosure l Code I div., rent, Code 2 ethod I buy, sell, ) Month- I Code 2 , Code I buyer/seller iI (A-H) or int.) (J-P) ode 3 redempllon) J Day I (J-P) : (A-H) (tfpnvate :

_L___j______ J_ _____'.___ ___ _;.

I. JPMorgan Chase Accounts A Interest L T

2. JPMorgan 3916 US Govt MMKT Fund-rgan

D Dividend Transferred 7/11 N (to line 3)

3. JP Morgan I 086 US Govt MMKT Fund - P remier (formerly Morgan)

B Dividend N T Transferred 7/11 N (from line 2)

4. Unsecured loan to David W. McC!intick None J T

5. Dewey Ballantine Partnership Capital nt

None J T

6. GD&C CitiStreet 40l(k) D Interest 0 T

7. - SSgA Money Market Fund

8. Oppenheimer Advantage Municipal Liquidi tyFund(Y)

9. Boeing Co. Common Stock A Dividend J T

IO. Blackrock New York Insured Municipal In come Trust IJI

B Dividend K T

11. Van Kampen Trust for Invt. Grade NY Mun icipals

A Dividend J T

12. Oppenheimer NY Municipal Fund Cl A c Dividend K T

13. Oppenheimer NY SFSA 5% Due 3/15/10 A Int./Div. K T Buy 10/2 K

14. JPMorgan Chase Traditional IRA A Interest J T

15. Northwestern Mutual Life Insurance Policy c Dividend L T

16. Guardian Life Insurance Policy A Dividend K T

17. Massachusetts Mutual Life Insurance Policy A Dividend J T

I. Income Gain Codes. A =$1,000 or Jess B =$1,001 - $2,500 c =$2,50t . $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000

(See Columns BI and D4) F =$50,001 - $I 00,000 G =$100,001 -SI ,000,000 Ill =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,00 I -$100,000 M =$!00,001 - $250,000

(See Columns Ct and D3) N =$250,001 - $500,000 0 =$500,001 -SI ,000,000 Pl =$1,000,001. $5,000,000 P2 =$5,000,001 · $25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Co'1 (Real Estate Only) S =Assessment T =Cash Market


l

(I) -�-,-------J 1

----------------�--�----�--�----��------'-----"'" "''"'

(2)

i I

II

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing instructions.)


,-- --·-- ------- ·---------------------,-A. B. c. D.

I Description of Assets Income during Gross value at end of Transactions during reporting period I


rI (I)! I'

(2) (l) (2) (3) (4) I (5) i

C""''Value I Gain Identity of i

I IAmount Type (e.g., Value Value Type (e.g., DatePlace "(X)" after each asset

I

,Code l Idiv., rent, Code 2 IMethod b•p•U, Momh • Co I exempt from prior disclosure

Code 3 redemption) 1· Day (J-P) (A-H) 1(A-H) or int.) (J-P) (ifprivate

I(Q-W) transaction)IL_.

18. Morgan Stanley Bank Deposit Program A Dividend L T

19. Morgan Stanley MTA 5.35 Zero Coupon Bond due 7/1/12

A Interest K T

20. MS New York Gen! Oblig Ref Ser-C due 4/ 15113

A Interest K T

21. MS NYS DA SECD Hosp Interfaith Med B ond 5.25 due 2/15/14

c Interest Sold 2/15 L A

22. Morgan Stanley LIPA 5.60 Zero Coupon Bo nd due 6/1/14

A Interest K T

23. MS NYS Power Au th Rev Ref Ser-C 4% d ue l l/15/20

A Interest K T Buy 10/29 K

24. MS NYC Gen! Oblig Ser-I 4% Due 2/1/22 B Interest L T Buy 2/14 K

25. Morgan Stanley Fed Home Ln Mtg Med Tm N 4% 1 0/15/10

B Interest Sold 3/20 K A

26. Morgan Stanley Fed Hm Ln Bk 4% 3/24/11 B Interest Sold 3/24 K A

27. Morgan Stanley FHLB 5.050% due 2/14/13 B Interest Sold 2/14 K A

28. Morgan Stanley FHL Mtg Corp Med Term N 5% due 9/15/15

B Interest Sold 12/31 K A

29. MS Fed Home Ln Mtg Corp Med Term N 5 % due 9/15/16

30. MS Fed Hom LN BK 5% due 6/12/18

B

A

Interest

Interest

K

K

T

T Buy 11/5 K

31. Morgan Stanley Global Dividend Growth S ecA

A Dividend J T

32. Morgan Stanley Special Value Fund A B Dividend J T

33. Morgan Stanley Special Growth Fund A A Dividend J T

34. MS Focus Growth Fd A Dividend J T

------·-

l. Income Gain Codes: A =St ,000 or less B =St,oot - $2,500 c =$2,501 • $5,000 D =$5,001 • $15,000 E=Sl5,00l -S50,000

(See Columns Bl and D4) F =S50,00 t • SI 00,000 G =SI00,001 • $1,000,000 HI =Sl,000,001 - S5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 orless K=Sl5,001- S50,000 L =$50,001 • $100,000 M =$100,00 I - $250,000

(See Columns Cl and DJ) N =$250,001 - $500,000 0=$500,001. $1,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000



I hrepo ing

' !

I I ------------ -- -----�---�----�------�--_J_ __ i ___ i _____ sa

ction)

___ J

B

Cot

-----------------

---------- ---------·-·------ ·

FINANCIAL DISCLOSURE REPORT Page 6of11


Sack, Robert D.

Date of Report

511 /2009



A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) period reporting period

(I) (2) (I) Place "(X)" after each asset ,AmountI Type(e.g., Value

! Code Iexempt from prior disclosure div rent Code 2I(A-H) 0;;nt.) ' (J-P)

L_________

(2) (l) (2) Value Type (e.g., Date Value3 Gain Identity of 'II ( ) I --- -11·

Method buy, sell, Month Code 2 , Code I i buyer/sellerCode redemption) Day (J-P) I (A-H) 1 (if private iI ' I3 I(Q-W)

35. MS Oppen. AMT Free NY Mun B (Class E xchange)

36. Morgan Stanley Franklin NY Tax Free Inc

37. Goldman Sachs High Yid Muni A

38. JPMorgan Federal Money Market Fund -Morgan

B

B

A

A

Dividend

"Dividend

Dividend

Dividend

K

K

J

K

T

T

T

T

39. Fiduciary Holdings • c Int./Div. M T

40. -Morgan Stanley Bank Deposit Program

41. -Morgan Stanley MT A NY Transit Zero pon Bond due 7/1/13

42. -Morgan Stanley Franklin NY Tax Free Inc B

:.

43. -Morgan Stanley Oppen. AMT Free NY M unicipal Fund B

44. Neuberger State Street Mid Cap Growth I nvestor Class

A Dividend J T

45. MS Active Assets Tax Free Trust (AH) (Y)

46. MS Pioneer Amt Free Muni A (AH) B Dividend Transferred (to line 80)

8/15 L

47. MS E V Amt Free Muni Bond A (AH) c Dividend Transferred (to line 77)

8/15 L

48. MS Phoenix Insight Tax Exempt Bd A (AH) B Dividend Transferred (to line 84)

8/15 L

49. MS Goldman Sachs High Yid Muni A (AH) D Dividend Buy (add'l)

4/1 l N

50. Transferred (to line 78)

8/15 N

51. MS Oppenheimer Amt-Free NY Mun A (AH)

c Dividend Transferred (to line 79)

8/15 M

l. Income Gain Codes: (See Columns Bl and D4)

2. Value Codes

(See Columns Cl and D3)

3. Value Method Codes (See Column C2)

A =S 1,000 or less

F =S50,00I - SI00,000

J =S 15,000 or less N =S250,00 I -$500,000

P3 =$25,000,001 -$50,000,000

Q =Appraisal

U =Book Value

B =Sl,001 - $2,500

G =SI 00,00 I • S 1,000,000

K=Sl5,00l -S50,000

0 =$500,001 - Sl,000,000

R =Cost (Real Estate Only)

V =Other

c =$2,501 - $5,000

HI =$1,000,001 $5,000,000 •

L =$50,001 • SI00,000

Pl =Sl,000,001 -$5,000,000

P4 =More than $50,000,000

S =Assessment

W =Estimated

D =$5,001 - $15,000 E =$15,001 - $50,000

H2 =More than $5,000,000

M =$100,001 - $250,000

P2 =$5,000,001 - $25,000,000

T =Cash Market

:-----------A

-.

---------il--l

n

_

c

_

o

_

m

_ --

d

-

u

-

ri

_

n

_

g

__ l_G_

ro

_s

s

_v

_

al

---

a

-

t e

_

n

_

d

_

o

_f --- -----------D-.

---- -----

I peri eporting

i(l)"D I (l)- -(2-) -!---(-1)-- i ·-(2_) _1 (-3) - (4-) ---(5_) ___ Type (e.g.,

l_-------------------- -- ---- --- -(Q_-W)_ ---- -LI ___ l'-----'----- -'-- --tr-

ans

aclion)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT Page 7of11 Sack, Robert D. 5/1/2009

VII. INVESTMENTS and TRUSTS - income, vatue, transactions (Includes those of spouse and dependent children; see PP· 14-60 of filing instructions.;


Description of Assets Transactions during reporting period I(including trust assets) reporting period I

[ ,Place "(X)" after each asset IAmount ' Value Value Type (e.g., Date Value i Gain Identity of

exempt from prior disclosure I Code I div., rent, Code 2 Method buy, sell, I Month - Code 2 I Code I buyer/seller 1(A-H) or int.) (J-P) redemption) I Day 1. (J-P) (A-H) privateCode [ (if3 !

_J 52. MS American Tax-Exempt Bd Fd A (AH) c Dividend Transferred

(to line 83) 8/15 L

53. RHH Trust (Y)

54. -Citigroup Bank Deposit Account

55.

Distributed (part)

Distributed

2122

2/22

L

L

56. Citi Smith Barney Bank Deposit Program (AH)(Y)

57. MS Cash/MMF/Bank Deposit Accounts (A H) (Y)

58. MS Blackrock Munihldng NY Ins Fd (AH) A Dividend Transferred (to line 73)

8/15 L

59. MS Nuveen NY lnvt Qua) Muni Fund (AH) A Dividend Transferred (to line 74)

8/15 L

60. MS Van Kampen Muni Income A (AH) B Dividend Transferred (to line 71)

8/15 L

61. MS Van Eck Glob Hard Assets A (AH) None Transferred (to line 72)

8/15 K

62. MS E V AMT Free Muni Bond A (AH) B Dividend Transferred (to line 67)

8/15 L

63. MS American Tax-Exempt Bd Fd A (AH) B Dividend Transferred (to line 70)

8/15 L

64. Ameriprise Retirement Portfolio (AH) E lnt./Div. 0 T

65. (SPS Advantage with One Features holdings fol low)

66. - Ameriprise Insured Money Market

67. - Eaton AMT-Free Muni Bd A

68. - RSRV US Government R


Buy

8/18

9119

L

0

l. Inc:ome Gain Codes: A =SI ,000 or less B =$1,001 • $2,500 C =$2,501 -$5,000 D =$5.001 - $15,000 E-$15,001 - $50,000

(See Columns Bl and 04) F =S50,00I -SI00,000 G =SI 00,00 I • S 1 ,000,000 HI =Sl.000,001 -S5.000.000 H2 =More than $5,000,000

2. Value Codes J =SI 5.000 or less K =$15.001 - $50,000 L =$50.00 I -$I 00.000 M =SI00.001 -$250,000

(See Columns Cl and DJ) N =S250.001 - S500.000 0 =S500.00I -Sl.000.000 Pl =Sl.000,001 - $5,000,000 P2 =$5.000,001 -$25.000.000

PJ =$25,000.001 -S5o.ooo,ooo P4 =More than $50.000,000



I I -t--------.-----,-- -----,-------,-------------·--1 I

I I


Page 8of11


Sack, Robert D.

Date of Report

5/1 /2009

VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.)

D NONE (No reportable income, assets, or transactions.) r- -------------------------------,---

A. _- I B. . I c. Descnpt10n of Assets Income dunng Gross value at end of -1, I (including trust assets) reporting period reporting period I

(I) ( I)Place "(X)" after each asset Value

exempt from prior disclosure Code 2 (J-P)iEI

(2) (I)Value Type (e.g.,

Method buy, sell,

Code 3 redemption)

(Q-W)

D.

Transactions during reporting period

(2) (3) (4) (5) ·

Date Value Gain Identity of jMonth- Code 2 , Code I buyer/seller

Day i (J-P) (A-H) (if private I transaction)

69.

70. -Amer TIE Bond of Amer A

71. - VK Muni Income A

72. - Van Eck GI Hard Assets A

Sold (part)




11/13

8/18

8/18

8/18

N

L

L

L

73. - Blackrock Muni Holdings New

74. - Nuveen New York lnvt Quality

75. (Strategic Portfolio Servcie Advantage ho! dings follow)



8/18

8/18

K

K

76. - Ameriprise Insured Money Market

77. - Eaton AMT-Free Muni Bd A Transferred (from line 47)

8/22 L

78. - GLD High Yield Mun A Transferred (from line 49)

8/22 N

79. - OPP AMT Free NY Muni A Transferred (from line 51)

8/22 M

80. - Pioneer AMT Free Muni A Transferred (from line 46)

8/22 L

81. - RSRV US Government R Buy 9119 M

82. Sold (part)

11/13 L

83. - Amer TIE Bond of Amer A Transferred (from line 52)

8/22 L

84. - Phoenix Insight Tax Ex Bd A (X) Transferred (from line 48)

8/22 L

85. Transferred (to line 86)

10/17 L

,-----------I. Inco me Gain Codes:

(See Columns Bl and D4) A =$1,000 or less

F =$50,001 - SI00,000

B =$1,001 - $2,500

G =SI00,001 • $1,000,000

c =$2,501 • $5,000

HI =Sl,000,001 -$5,000,000

D =$5,001 - $15,000

H2 =More thaa $5,000,000

E =$15,001. $50,000

2. Value Codes J =$15,000or less K =SI 5,00 I -$50,000 L =$50,001 - $100,000 M =$100,001 -$250,000

(See Columns C I and D3) N =$250,001 -$500,000 0 =S500,00I • SI,000,000 Pl =$1,000,001. $5,000,000 P2 =$5,000,001 -$25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000

3. Value M ethod Codes Q =Appraisal R =Co st (Real Estate Only) S =Assessment T =Cash M arket

(See Column C 2) U =Book Value V=Other W=Estimated

------

i L___

I _____

_ __,__ __ _,__ ______

· --------------·-------------------------------------------·--·------

c. D. I i

I ., I

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT Page 9of11 Sack, Robert D. 51112009


D NONE (No reportable income, assets, or transactions.) -

A. B. Description of Assets Income during Gross value at end of

(including trust assets) I reporting period reporting period Transactions during reporting period

JIJ<lliAmount (2) (I) ---r-- (2) (3)(2) (I) (4) (5)

ValueValue Type (e.g., Type (e_g., Date Value i Gain ldenlity of Place "(X)" after each asset IICode 1I,I Method Month - I1' Code 2 I Code ICode 2div buy, sell, buyer/sellerexempt from prior disclosure

or int.) rent ! ·

j' (A ) I

-H redemption) DayCode 3 (A-H) (if private (J-P) 11'(J-P)I (Q-W) transaction) I___J

I I _____J__

86.

87.

- Virtus Tax Exempt Bond A (X)

- RiverSource Retirement Advsor 4 Advan tage VA-Annuity


10/17 L

88. (Ameriprise Retirement Portfolio IRAs foll ow)

89. - Fred Alger Large Cap Growth IRA Buy 4/21 L

90. - Franklin Intermediate Fixed Income IRA Buy 4/14 0

91.

92. - Spectrum Hybrid Preferred IRA

Sold (part)

Buy

4/14

4/14

0

L

93. - Renaissance International Equity IRA Buy 4/14 L

94. - Alliancebemstein Large Cap Core IRA Buy 4/21 M

95. - Munder Mid Cap Core IRA Buy 4/21 L

I. Income Gain Codes: A =S 1,000 or less B =$1.00I -S2,500 c =$2,501 -$5,000 D =$5,001-$15.000 E =$15,001 - $50,000

(See Columns Bl and D4) F =S50,001 • $100,000 G =SI00,001 -Sl,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=Sl5,001 • $50,000 L =$50,00I - $100,000 M =$!00,001 • $250,000

(Sec Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001. $1,000,000 Pl =$1,000,001-$5,000,000 P2 =$5,000,00 l - $25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than SS0,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estat e Only) S =Ass essment T =Cash Market

(Sec Column C2) U =Book Value V =Other W =Estimat ed

Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT


VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicateparto/ReporL)

Lines 59-61, JP Morgan Federal MMKT Fund- Morgan, on the 2007 Report have been deleted since they appeared on the 2007 Report twice (also at lines 40-42 on the 2007 report). The fund appears at lines 39-40 on this 2008 Report.

Lines 86-88 represent security name change from Phoenix Insight Tax Exempt Bond A to Virtus Tax Exempt Bond A.

A pending claim against Worldcom is currently in litigation (02 Civ. 3288 (DLC)). The worth of that claim cannot be determined at this time.


Page 11 of 11


Sack, Robert D.

Date of Report

51112009

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E. Washington, D.C. 20544

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