Paul A Crotty Financial Disclosure Report for 2009

8/3/2019 Paul A Crotty Financial Disclosure Report for 2009

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A o ~ 0 I FINANCIAL DISCLOSURE R EPOR T ~ e ~ r tm GovernmentAct of 1978~ e v . I /2 o ~ o FOR CALENDAR YEAR 20091. P~rson R tpol~ing (last nam e, first, middle initial) ! 2. C our~ or Organization J . Date of R t.por tCrolly, Paul A. U.S. District Court (S.D.N.Y.) 05.q0.2010

4. Title (A .r~icle llJ judges , .ndicate activt, or senior s~atus: 5n. Re,rmrt Type (check a?propriate :ype) 6. t~:eporting Pt.riodmag~stra:e udges indicate fu ll or pan ~me)] Nomina:ie~, D a ~ e 01/01/2009U.:;. Disl r ie l Judge (A ot ive) [] Initt, i ,~l-J] A .....~ [] Fro!! to12.31/20095b. [] Amended Repo~

7, Chambt. rs or Office Address 8. On the basic, o f the information conlained in thi~ Report and an3,500 Pearl Street frith ~pplicable laws and rt.guh~tions.P, oum 735New York, New York 10007 Revi~n ing Otlqo: r Dart.

IMPORTANT IVO]E,~: The insrructions, accompanying this form m~st be fallowed Complete allparts,checking the NONE box for each part where.rou have no reportable information. Sign on lastpage.

~ N O~ (No reportable posirio~ts.)POSIIION NANfl~ O F O R G ~ tZ A T I O N , ~N T 1 T Y

1.2.

~ N O N E ( N o reportable agreements~~ PARTIES ~D TEt~S

2005 Verizon Income Defcwal Plan (No Conlro )


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FI N A N C IA L D I S C LOS U R E R EPO R T ~ .... r P e r s o . ~ ,p o m ~ I o ~ t , o f a ,p o r ,Page 2 of ] 0 C r o l D . . P a u l A. [ 0 5 / 1 0 / 2 0 1 0

IH. N O N - IN V ESTM EN T ~C O 5 ~. mwo.i~g i,,~viaual andsp ....s e e p p . 1 7 - 2 4 g f ! l i n g instructions.)A. Fliers Non-Investment Income

N O ~ ~ (No reportable non-investment mcome.~D ATE SO~CE AND TYPE INCO~(you~. not spouses)

I 2009 Verizon Communications (See VIII) $ 1 8 3 . 3

3.4.

B. Spolls~2 vs Non-I/l~.,esln|en| ]rlcdl~.[i|~. - If you were married during any pvrtion of ~e reporting y~r, complete this section~ o l l o r a m o u ~ t n o t r e q u i ~ e d ~ * x ~ e p t fo r

~ N O N E t ;X ~ reportable non-investment ir~come.)DATE

1 . 2 0 0 9 ~ ]George A~t Communications - Sala~~

23.4.

(i~;ci;,des th~" to spcnta~ and dep~ndent .i~tldt~,/;. see [~p 25-27 o]fihng ~nxrr:.:nons,~

N O N E (No reportab!e reimbursements.;

~ ~ L O C A T I O N ~ I T E M S P A I D O R P R O V ID E DI. George Masou University N ovember 6 2009 - Captwa, I,londa Sere inar Re: Economic Air and Ground T ransponaltonSchool ofl.~w Seminar N ovember 12. 2009 Analysis of Law

2.3.4.5.


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FINANCIAL DISCLOSURE REPORT N .....fP ......Reporling Date of Repo rtPage 3 of 10 c ~ , t ~ , , P . . ~ , ~ .

~ N O ~ (N o r e p o r t a b l e g L f i s .)SO UR C E DE SC R IPT IO N

I.2.3 .4,

5

~ N O N E ( ? V o repor t able l i abi l i t i es . )CRt},DIIOIX ~C~ VALUE CODE

1.2.3,4.5


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FI N A N C IA L D I S C LOS U R E R EPOR T ~ ..... r ~ . . . . . a e p o , - t i , , gPage 4 of 1 0 c r o t ty , P a u l A . 0 5 d 0 / 2 0 1 0

V I I . ~ V E S T M E N T S a n d T R U S T S .- i .......... ~ ............. ~o~ (Includes th~se of ~N ...... d depen,~nt children," ~ee PI. 34-60 of filing i ......NO ~ ~ Vo reportable income, assets, or trw~sactions.)

A B C DDe~Jiption at" Asset~ Income d~ing Gross value at end transacmms dwing reporung permd([ncludi)~ tr~st asse~ repo~ing period of report ng ~eriodP~ce "~7)" ufler each asset Anm~m) Type (e.g . Value , Value T yp e ( e g . Date Value [ Gumexempt t}om prior dtsclost~,e C~e I div, cent, Code 2 M o n a d buy, sell. mm,dd~yy Code 2 ~ ~e 1 buyer%eliot: (A-H) or rot) (LP) i Code 3 redemption) t . P) (A-}~) (if private

...... i ( Q - ~ k O uansact;an}

1. American Express A D~vidend K T~2. Ameriprise Finl lnc A Dividend J l

3 Coca C o l a B Dividend L T4. Duke Encrg~ Coq). A Dividend K T

5 Exxon Mobil B Dividend I. T

6. General Electric B Dividend K T

[7. A Dividend K Te w le tl P a c ka rd8 ~ Morgan Chase A Dividend K T B uy 3 . " 2 6 1 0 9

9. Market Vectors Russia A D iv idend Sold 12/7109 K

10 M edtron i~ B Dividend L T

~ I. Mi~r o so f { A Dividend K T

12. Morgan Stanley A Dividend K T B oy 3.26,09 K

1 3 . Stryker Corp. A Dividend K 1

l,t. A Div hiend K Thatm a,~eulicals

15. Alliance Bcrnstein Capiutl A interest l, T

16 . Fidelity NY Muni Fund C Dividend M T

] 7 . Norbellc I. .I.C N o n e K U


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FINANCIAL DISCLOSURE REPORT I ~ ....Page 5 of l 0/ I ( : r o t , , . ,

~1. INVESTMENTS and TRUSTS -~ ........ ~.~. t ....... ion.r (b, ct~gs t~ose of W ...... ~ ~ e p . n a g ~ t c h i l ~ e n , s ~ p p . 3 4 -~ q f ! ~ n g i n s t r ~ a i o n s . )N O N E (No reportable income, ~sets, or transactions.~

Description orAs~ [ncom~ d~nng Grcs~ value[ (including ~ust ~se~) repodmg peered~ O) ~ ~2)Place "(X)" after each ~et , Amoum ] ype (e.g. k " a ~ u e Value ~v p e ( eg Date Value Gain Identity o[ ,: exempt tYem prior disclosme :. Cod,: I [ d~ . rent , Code 2 M e f l ~ o d buy, se!l. mm/ddiyy Cod~ 2 Code I buyedseller(A-H) o; mr) (LP) Cade 3 redemption) ~ (J-P) (A-H) 0fpriv~te~ i (Q.Z) ~ansact~on)

~8 . New Entrep~neur Fund B Dividend I. U~ 1 9 . Rollovcr H~A #1 D I)ividend N

20. - Fidelity Low Priced Stock[1. - Baron Growth22 . - Willinm Blnir Intl Growth 5;old Z4/09 K(pa~)23 . - American Grex~ah B uy 2;4,~09 K24 . - Columbia Aeom Clnss Z

25 . - Dt~ge & Cox Stock

26 . - H~rbor b~temationol gold 2/4109 K(port)

27. - Juries Baer lntl Equity Sold 2.;4/09 K(,part)

28 - Vanguard 500 Index gu) 2i4,09 K29 . - Royce Premier

3 0 . - fidelity Cash Reserves

31 R o l lo v cr I R A ~;2 E Interest Pl T3 2 . - Campbell Soup Bond Redeemed I 1 1 5 / 0 9 K

3 3 , - Hc, neysvell Infl Bond


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Iam~ of Person Reporting Date of Ropier!I_NANCIAL DISCLOSURE REPORTPage 6 of ] 0V I I . I N V E S ~ I M E N T S a n d T . R U S T S - i . . . . .. . . . .~ .~ , t . . . . . . . io . . (Include+ those of+t . . .. . .. d de pend ent c h i l& e n . + e e p p . 3 4 - ~ o f f ! t in g instructions.)

N O N E ( N o reportable income, assets, or transactions,)

Dc+cnptmn +f Assets ~+ Inc om e ~m ing Gro~ value at end Tr~.saclio~ d~ng repor tm~ per iod(including IrustPlace "C X )" aft= each asset ~:A mo~ t ~ T ype (e .g + Value ] Value Type (e.g.,[ [;ate Value Omn . Iden~ttyofexempt from prior disc losme C~e(A-H) or mr) (J-P) ~ Code 3 redemption) (J-P) (A-H) ~ (dpr~vate

: : 3 5 . - Walt Disney Eond

36 . - Ciso Bond

37. - Amcrit;an Express Bond Sold 4/15/O9 K38. - Bo t t l iag Gr o u p 1 ,1 ,C Bo n d

39. - Oracle Fhmd

40 - Sold 3/30/09 Kon di! l. - J P N h ) rg m + C h as e B o nd So+d 3/11/09 L12 - Kimb+rly Clark Bond

43 . - De.re & Co. Bond Sold 319,"09 L44 . - Fedcrut I,am~ Cr Bks Bond

45 - TVA Bond

= 1 6 - kidelil} (?/~sh Rese~.es ~47 - ~. , lorg;m Stanley B ond Rcdeemcd 1/15/09 K

48 - Lch~n an Br o s . Sold 9/30;09 J49 . - Du Po n i Bo n d

50 . - CIT Bond Sold 6/9/09 K5I . - Hartford Fin. Svcs. / / Sold t0/23109 KL


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N a m e of ] > ers on R epor t ing Date uf ReportFINANCIAL DISCLOSURE RE PORTe r e , , ? , ~ ~ , , 1 A .age 7 of 10

NON ~ ~o reportable income, assets, or transactions.)A B C. D

Description of A~sets Income d~ing Gross value at end Transact~o~ dur~g repor~ng ~nod(mc[~mg :~usl ....~ ) rcpo~,ng per ~o~ ~(~ep~r.~,ng Fenod(I) (2) ~ 1 ) (2) (~) (2) (3) (~) : (~) ....

P~ce "~)" after each ~s~t Amount Type: (c g, V a h c Value T ).pe (e g , Date Va~ut Gain Iden~it) o fCode I dry , :ent (:ode 2 M e ~ o d buy, sell, , m m , ~ d ~ . ) ~ " ~ : o d 6 2 Code l buyerlselle~xemp[ from prior disc~os~e ~ (A-H) o~ dtt) (J-P) Cede 3 redem ption) (J-P) (A -If) (if prigate

52, - Target (:oq~. Bond I Sold 10/21/09 K

53. - Gensorth Global Bond Sold ]0,15,"09 K

5 4 . - GE 13ond Sold 3/t9/09 K5 5 . - IBM Bond

5 6 . - B o e in g C o r p . B o n d S o l d 11/17/09 K

5 7 . - W ~ ; h o v it ~ B o n d S o l d 3 : 1 1 / 0 9 K58. - Allst~te F~ond Sold 3;27/09

59. -Wells Fargo Bond Sold 1,"27/09 K

6 0 . - Anhenser Busch Bond

61 . - HSBC Bond Sold 4/14/09 K

62 . - \\"algreens Bu) 3.;20/09 I,63 . - Mcrck & Co. B uy 4/7/0964 . - Federal Farm B uy 4:6/09

: 65 . - Federal Ilome l.oan Buy 4;8/09

: 66. - Pfizer & (:o. B uy 4 .q 5:09

67. - \erizoo (;ommunicntions B u). 5.,18/09

68 . - SB t" B uy 6 . . 9 . z 0 9

~See Cohunn C2) L~ =Book V~ue V ~ W =Es~ma ~


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FINANCIAL DISCLOSURE REPOR T N .....f Pe ....Repovl ing Date olReporlPage 8 of 1 0 C r o , , . ~ . v ,. ~ , ~ . 0 . v H ~ . , 2 0 ~ o

V1 I . IN VE ST M E N T S a n d T R U S T S --i ......... lue, t ..... iots anctudes" those of ~~ N O N E ~ , V o reportable income, resets, or transactions.)

A ~ C(including ~ust ~sets) ~eponing l~n od o f repertmg period

g) (2) O) , (2) O) (2) (3) (


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FINANCIAL DISCLOSURE REPORT ~ " . . .. .~ e . . . . .. R e p o , ~ i , , ~ D . t ~ o r R ~ . o r , ]Page 9 of 10 c ~ o , ~ , v , , , ,~ n . o ~ , ~ o , ~ o ~ o

VIII. ADD ITION A L INFO RI~IAT ION O R EXP LA N AT ION S. ?,,~co,~ po,, o.rmt, o~,4

In 2009, 1 uon~.inu~-d to r~ci~.c paymenks from my V~nzon Income Dcl~:r~-al Plan ~10/2009) lhc total paymr.nts are shown in Ilk supra.


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FI N A N C IA L D I S C LOS U R E R EPO R T. [ ~ .....

~ v . . . . .. a 0 p o . i . g

[o~t, ofa,p0r.05 , 10,2

.Page 1 0 of I 0] C r o , ~ , . e a u l A .

IX. CERTIFICATION.I certify that all infi)rmation given above (including information perlaining to my spouse and minoe or dependent children. If an?) isaccurate, true, and complete to the best of m) knowledge and belief, and that an~ information not Iepo~ed ~ withheld becanse i~ met applicable statutoryprovisiuns permitting non-disclosure. "I fitrther eel~ify that earned income from outside employment and hono~eia alld the acceptance of gifts which ha~ e been reposed nte in

compliance with the provisions of S I.:.S.(7. app. ~ S01 el. seq., 5 U.S.(7. ~ 7353, and Jndiial (~tmference regulations.

NOTE: ANY INDIVII)I;AL WIIO FLNO\VINGLV AND \~ILFULLY FAI,SIFIES OR F.4~I LS TO FII,E TlllS REPORT MAY lie SIJI:LIECT TO CIVIl.AND (TRI~IINAI, SAN(:IIONS (S I!.S.(~_ app. 104)

F I 1 A N G I N S T R U C T I O N SMail signed original and 3 aclditional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301(Me Columbus Circle, N.E.Wasb.ington, I) .C. 20544

Paul A Crotty Financial Disclosure Report for 2009

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