Richard M Berman Financial Disclosure Report for 2009

8/3/2019 Richard M Berman Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/richard-m-berman-financial-disclosure-report-for-2009 1/19

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF NEW YORK

UNITED STATE, S COURTHOUSE

40 CENTRE STREET

NEW YORK, NEW YORK IOO07

(212) 805-6715

CHAMBERS OF

RICHARD M. BERMAN

UNITED STATES DISTRICT JUDGE

June 14.2(2)1 ()

Hon orable Bobby R. Baldock, Chair " ~ r - - - ’ ~ " p " lCommittce on Financial Disclosure

Administrative Office of the United Slates Courts ~_,.~ r,a rr!.

s t , 2-3 0On e Columbu s Circle , N.E. --nr-Washington, D.C. 2054 4

Re: Calendar Year 2009 Filing

Dear Judge Baldock:

Thank you for your letter dated June 9. 2010 regarding my 2009 annual financialdisclosure report, dated May 3, 2 010.

It appears that Part VII of the 2 008 an nu al finan cial disclosure report containe d

duplicate en tries for New Perspective Fun d, i.e . , American Fun d Ne w l)erspect ive Class F(page 6, line 4 6) and N ew Pe rspective Fun d (page I 1, l ine 12 0) . Part VII of the 2 009annual financial disclosure report (page 9, line 102) correctly reflects tim 2009 holdingsfor New Pcrspeclive Fund.

--~dM~..Bennan



.~ o t0 FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r ed b y t h e E t h i c sin Government Act of 1978

n~,. t/:oto FOR CALENDAR YEAR 2009 (s u.s.c. ,,p/,. § ~ " t o l . t tO

I. Person Reporting {last name. firsL middle initiaL) Z. Cour! or Orgznlz~tion 3. Date of Report

Ben’nan, Richard M. U.S. Dislricl Cour~ -S.D.N.Y. 5.;3/20 l0

4. Title (Article Ill judges indicate aclive or senior s|arus; 5a. Repor! Type (check appropriale lye) 6. Reporting Periodn~gistrale judg~ i~icsle full- or

~ Nommadnn. Date 0D01/2~9

U.S. DistdctJudge-Active ~ [natal ~Annual ~ Final to

~ 2 / 3

. 5b. ~ Amended R epo~

7, Chambe~ or Office Address 8. On Ihe bs~ix oflh¢ informallon conl~lned In lhl~ Repo~ and anymodiflcatlon~ pe~alnlng l~rclo, il b, In my opinion, In compliance

40 Centre Street (Room

New York, NY 10(K~7Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,

checking the ,NO NE b ox for each part w here you have no reportable information. Sign on last page.

I . P O S I T I O N S . r R ~ v o , , i , x indi,’idualonty; ,eepp. 9-13offiling inxtruction,.)

NONE (No reportable positions.)

POSITION N AM E O F O RG AN IZATIO N /E N TITY

2.

4.

II. AGREEMENTS. t ~ , ~ o ~ , i . g i,,Ui,.id~at ,,.t~.: ,¢e pl,. t 4-t~ o f . f ! l i . g i .......lion,.)

-’~ NONE ¢;Vo reportable agreements.)

DATE PARTIES AND TERMS



FI N A N C I A L D I SC L OS U R E R E PO R T N ... . [P . .. . Reporl ing Date o r R c p o r t

P a g e 2 o f 1 8 Berman, Richard 31. 5 ~ 3 / 2 0 1 0

1 1 1 . N O N - I N V E S T M E N T I N C O M E . tR~p o.i.~ i.ai,,i~.oJ o,,a ~p ..... ; , , o . p p . 17-2 4 o/filing instructions.)

A. Flier’s Non-inveslmenl Income

N O N E (No reportable non-im,estment income.)

D A TE SOl JRCE AND TYPE ~( yt~u~s, ~ot spouse’s)

I

2 .

3.

4.

B . S p o u s e ’ s N o n - In v e s tm e n t I n c o m e - t f ~ , o u w,re married during any porti,,n of the reporting )ear. complete this section.

(Drdlar amount not requirt’d except for honoraria.)

-~ N O N E (No reportable non-investment income.)

DATE S O URCE AN D TYPE

I . 2 0 1 ) 9 Bamard College

2 . 2 0 0 9 Wellesley College

3.

4

I V . R E I M B U R S E M E N T S - , , o , , ,r o r , o , i o . , I , , a g i . g , / ~ o d , . . . .. ,o i .... , .

N O N E (No rtTortable reimbursements.)

SOURCE D AT ES L OCAT ION PURPO SE IT EM S PA [D O R PRO VID ED

3.

4 .

5



FI N A N C I A L D I SC L OS U R E R E PO R T s .... t P .....Report ing D ate o f R e p o r t

Page 3 of 18 B e rm a n , R ic h a rd M . 5 / 3 / 2 0 1 0

¥. ~,J lrlO. (Includes those ,o ,spo ..... a dependent children; .we pp. 2 8-31 of filing in.structions.)

N O N E (No reportable gifts.)

S O URCE DESCRIPTION

2.

3

4.

5.

V I . L I A B I L I T I E S . a . , .~ , ~ , , s~ ,,~,-~ ........ , , ~ , . , , ., , * ~ , , ~ . ; . , ~ , ~ , . ~ z - ~ , , ~ i ,~ i . . .. . . . , i o , . , . ~

~ N O N E (No reportable liabilities.)

C~DITOR DESCRIPTION VAIAJE CODE

I. Bank of America Mo~gage on Rental Prop. (Pt. VII. line I) N

2.

3.

4.

5.



N ame o f Pe r so n R e p o r tin g D a t e o f R e p o ~FINA1NCIAL DISCLOSURE REPORTB e r . , a . . R c h a r d 51.a ge 4 of 18 5 /3 /2 m 0

~ N O N E (No income, transactions.)eportable aSS~IS, OF

De~riplion of As~ts In come durin g Gross value at en d Transactions dun ng repoalng

(including l~st as~s) ] reining ~ri~ ; of re~ing

Place"[X)"affereachas~t IAmountl T~(e.g., : V n l , ~ e V at~ e T y p e ( e . g . . Date Val~e

exempl from priordisclosure ~ C~e I ~ div..rent, ~ Code 2 Method buy. sell, [m~d~ i C~e 2 Code

~ (A-H) ~ or inl.) ~ (J-P) Code 3 ~ redemption} ~ ( J -P) (A-t ~ ! ( ~pr vale

.....................................................................

1. Apa~ment (NY City) E Ren~ N W

2 . Property Suffolk Counly, NY ( House & D R e n t N WCottage)

3. Property, Suffolk County, NY D R e n t K W

; 4 . Aztex Limited Partnership (real estate) B Distribution J W

5. Vanguard 500 Index Trust C Dividend N T

6 Vanguard Total Int’l Index B Dividend L T

7. Vanguard Total Stock Index B Dividend

8. U.S. Treasury, Notes B Interest Matured 02/15/09 K

(part)

9. Malured 02117109 K

1 0. GE Common Sto~k . A Dividend J T Sold I 1 2 0 / 0 9 J

( p a r t )

I I . Sold 08/05/09 J

(pan)

1 2 . Sold 1 I / 0 2 / 0 9 J( p a r t )

1 3. Microsoft Common Stock A Dividend J T Sold 08/05/09 J( p a r t )

1 4 . Exxon Mobil A Dividend J T Sold 08/05i09 J A( p a r t )

15 Sold 1 1 1 1 6 / 0 9 J A( p a r t )

1 6 . NYS Power Authority A I n t e r e s t Sold 01/02/09 J A( p a r t )

1 7 . Sold 09/17/09 J A

i Income Gain Codes A =$1.000 o+ less B =$1,001 -$2.500 C =$2.501 - $5.000 D



F IN A N C IA L D IS C L O S U R E R E P O R T N .... f P e r s o n R e p o r t i n g D a , e o l R e p o r l

Pa ge 5 of 1 8 B e r m a n , R i ch a r d M . 5 / 3 / 2 0 1 0

VII. IN VESTMENTS a n d TRUSTS - i ........ t ~ e , , . . . . . . t i o n . , ( I n c l u d e x t h o s e of spo ..... d dependent children; s e e p p . 3 4 . ~ 0 of filing instructio~.J

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

D e s c r i p t io n o f A s ~ t s [ Income du~ing ~ G r o s s v a l u e a ~ e n d Transactions during repomng ~ri~

(including trust ~ets) ~ re~ing ~rlod ~ o f r e p o a i n g p e r i o d

~ I) 1 2 ) ~ (I) ! (-)’, P l a c e " ( X ) " a f t e r e a c h a ~ t I A m o u n t T y p e ( e . g ., V a l u e ’ V a l u e T~e leg., [ Dale ] Value G a i n Ident i ty of

[ e x e m p t f r o m p ~ i o t d i ~ lo s u r ¢ ~ C ~ I div rent ’, C o d e 2 M et h o d b u y . s e l l . ~mn~d~ [ Code 2 C~¢ I buyer/seller

: ( A - H ) o r i n t )~

( J - P )[

C o d e 3 r e d e m p t io n ) ~ ’, J - P } [ A - I l l ( i f p r i v a t e

1 8 . NYS Donn Authority B Imcresl K T

1 9 . NYS Donn Authority Mental Health B I n t e r e s t K T

2 0 . Metro Trans Authority B I n t e r e s t K T

2 I . NYS Env Fac Corp St Clean Wtr & Drkg A I n l e r e ’ s t Sold 06/09/09 L CWtr Rev

22 . NYS Env Fac Corp SI Clean Wet & Drkg N o n e Sold 06/09/09 L C

Wtr Rev

2 3 . Icon Energy Fund N o n e J T

2 4 . Icon Heal thcare Fun d None Sold 02 /02 /09 K

2 5 . Oakmark Global Fund N o n e Sold 0 2 1 1 1 / 0 9 J

2 6 . Berkshire Hathaway B N o n e K T Sold 02/03/09 K B

2 7 . Bu y 08/11 /09 K

2 8 . Gddman Sachs A Dividend I. T Bu y 03/23/09 J(add’l)

2 9 . Bu y 08/I 1/09 K(add’l)

3 0 . Franklin Income Fund A D,vidcnd Sold 0 2 / I 3 1 0 9 K

3 I . Proctor & Gamble Co. A Dividend J T Sold 01/06/09 J A(par0

3 2 . Sold 08/05/09 J A( p a r t )

3 3 . Amer. Funds Fundamental F A Dividend K T

3 4 . American Growth Fund None Sold 01/15/09 I K( p a r t )



FI N A N C IA L D I S C L OS U R E R E POR TNameofP ..... Report ing D a, e o f R e p o r t

Page 6 o f 18 B e r m a n, R i c h ar d M . 5/3/2010

VII. I N V E S T M E N T S a n d T R U S T S - i . . . . .. . . h , , . , . . . . . . . . , i , , , . , t t , , . t~ a , . , , h o , o o Z , p . . . . . . a

N~NE (No reportable income, assets, or transactions.)

......... ~ ................... d . - " 1 - D. " .......

De~riplion of Assels Inco~ during Gross value at end [ Transactions during ~epo~ing pen~ il( including t~st as~) re~ing ~dod of re~ing ~-n~ :

Place " (X )" a~er e ac~ ~sse ~ Am~u m ~ IyN (e.g.. V~lue Value l~ (e.g.,

exemplfrompriordi~losure CMel ~ div.~m. C~e2 Melh~ buy. sell, m~d~.C~¢2(A-H) ] or inL) O’P) Code 3 rede mp0on ) (J-P) ,, (A-H)

! (Q-W) I Iran~ction)

(pag)

36. Sold 03/23/09 K

37. Johnson & Johnson A Dividend J T Sold 01/06/09K

(part)

38. Sold 08/05/09 J A(part)

39. Sold I ~/16/09 .I A

(pan)

4 0. Dodge & Cox Stock Fund None Sold 02 /04 /09 J

4 1 . P u bl ic is G ro u p W a r~ ’a n ts None Sold 01102109 J B

(part)

4 2 . Sold 01105/09 K E

[pan)

43. Sold 01/06/09 J A

4 4 . Oppenheimer Main Street Small Cap Fund None Sold 02/02109 J

Class A

4 5. Firsthand Technology Value Fund None Sold 0 " 2 _ / 0 3 / 0 9 J

46 Waste Management Inc. A Dividend J T Sold 01/06/09(parl)

47 Sold l I116109

Iparl)

48 United T echnologies A Divide n d Sold 01106109

(par0

49 Sold ~8/05/09

(part)

50. Sold 12111 /09

5 I. Wal-Marl Stores Inc. A Dividend Sold 01/06/09 K C



FI N A N C I A L D I SC L OS U R E R E PO R T N .... f P ..... Report ing D a t e o f R e p o r l

P a ge 7 of 1 8 Berman, R i c h a rd M . 5 / 3 ! 2 0 | 0

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

Descnplion o~A~se~s Incorr, e during [ . G~oss value al e~d Tra~¢lions during re~rth~g ~rit~

(including t~st asse~ repoaing ~ ’. of re~ing

(I) 1 2 ) (i) (2) (I) 12) I 13) (4)

Place " iX)" after ~ch a~el Amount T )~ (eg.. Value Value Ty~ (e.g., Date [ Value Gain Id~rnity of

exempt from prior disclosure ~ Code I div.. rent, Code 2 Melh(~ buy, s~ll. mm/dff’y~ : C~e 2 C~e I:: (A-H) or inl ~ O-P) Code3 ~edemplion) (J-P) (A-tl) (d pn ~al¢

~ ~r~nsactlon)

52 . Raytheon A Dividend J T Sold 01106/09 J A

53 Sold 08105109 J

(pa~)

54 . PcpsicoA D~vidend J T Sold 01/06109 J

55 . Sold 08105109 J(paa)

56 . S~ctra Ettergy None Sold 01/06i09 J

57. PPG Industries A Dividend J T Sold 08/05/09 J

(paa)

5g Kin~berly Clark A Dividend Sold 01106/09 J

59. Sold 08/05/09 J

(paO)

60. Sold 1 1 1 0 2 / ~ J

61 . Fotes~ City Ent. A A Dividend Sold 08105109 J

(paO)

62 . Sold I 1 !02;~ J

63. Du k e E n e r g y A Dividend J S Sold 01 /06J 09 J

(paa)

~ Sold 08/05109 J

(pa~)

65. Sold 11116/09 J

66. EMC Co~. - M~ss None J T Sold 08/05;09 J A

(part)

67. Encana A Dividend J T Sold ~ 01/06/09 J A

(pa~)

68 Sold

(paa)



FINANCIAL DISCLOSURE REPORT N .. . . r W r ~ o . R ~ p o ~ . .~ O , t e o f R e ~ .

Page 8 of 18 Berman, Richard M. 5/3/2010

VII. I N V E S T M E N T S a n d T R U S T S - ;,, ....... / . o . , . . . . . . .. , i o . . , a . a . d , ~ , , o , o o / , ~ . . . . . . a a,...,u., ~,~.:

~ (No reportable income, assets, or transactions.)ONE

A~ ’" B.~

C. " .... D.~ri~ion of Asse~ I n c o m e d u r in 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 in g r e p o m n g

(including t~t ass¢~) redoing ~ri~ ~ of reining peri~

............... ’ ......(I) (2} (4 )

P l a c e " ( X ) " a f t e r e a c h a ~ t A m o u n t ~ T~ (e.g ., V a l u e ] V a l u e r~e (e g., ~ Date Value Gain l d ~ n f i r y o fe ~ c m p ~ f r o m p r i o r d i s c l o s u r e C o d e I ~ div, r e n L C t a ] e 2

i~Mtth~ ’, b u y . s e l l . ’ m ~ w d & ’ y y CtMe 2 Code I b u y e r . t ~ I I ~ r

t A - H ) ~ o r h a t ~ ( J ’ P ) i C o d e 3 r ~ d e m p h o n ) ( I - P )

6 9 . El. Dupont A Dividend Sold 0 8 1 0 5 , ’ 0 9 J(pan)

7 0 . Sold 1 1 / 0 2 1 0 9 J

7 I. Cisco N o n e J T Sold 08/05/09 J( p a n )

7 2 . BP N o n e Sold 0 1 / 0 6 , ’ 0 9 J

7 3 . . NYS lwy Auth. Illighway & Bridge) C I n t e r e s t L T "

7 4 . NYS lwy Auth. Personallncome Tax B I n t t ~ e s l Sold 0 6 1 0 5 ~ 0 9 M C(pan)

7 5 . Sold 06/09/09 L C

76 MFA (NY) Muni Bond A I n t e r e s t Sold 1 2 / 0 8 , ’ 0 9 K A

77. NYS I)onn Auth(Revs) D Interes! M T Sold 06/05/09 M C

(pan)

78. Sold 10/14,:09 M C

79 Bu y 10116109

8 1 ) . Tribotough B&TAuth. D I n t e r e s t L T Sold 10/22/09 K B(par~)

~ I Sold 10/22/(Y,~ L C(pan)

8 2 . Sold 1 1 / 0 2 1 0 9 ~ J A( p a F t )

,g 3 Sold 1 2 1 0 8 1 0 9 K B(pan)

8 4 . American Fu nds Washington Mutual A Dividend Sold 1 0 8 / I 9 1 0 9 K

8 5 . Merrill Lynch MM Fund A Inleres! Bu y 1 / 1 6 " 0 9 K(add’l)



FI N A N C I A L D IS C L OS U R E R E POR T r~a,., o1" P~’rson Reporting D~lle of Report

Pa ge 9 of 1 8 B e r m a . , R i c h a r d M . 5/3/2010

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

~scription orals~ Income during Gro~ value a~ ~nd T~nsactions during re~ng ~ri~

( includ,ng t~l as~s)

" ~l) --~ (2) (1 ~ (2 ) (11~- 12) -(~) .... (41 .........Place " (X )" aff~ each asset Amount ~ Ty~ (e.g.. Value Value T~e (eg.. Date Value Gain Ident~{y of

exemp~ flora prior disch~sure ~. Code I I d,~.. renL Ct~c 2 M e ~ h tM buy. sell, m~d~’yy Ct~e 2 Code I~ (A-H) ’, or h~t) [J-P) Code 3 ~edempfion) (J-P) ~A-H)

86 E uy 1 t21 /09 K

(add ’ l )

87 . Rcd~¢m~ 3 /16/09 J

88. Redeemed 3/23109 K

89. Redeemed 3/27109 J

(pan)

90 . Bu y 4113/09(add’l)

9 I. Bu y 4120109 J

(add’l)

92 . Redeemed 4121/~ K

(pa~)

93 . Red~med 5/2~09 K

{p~)

94 . Redeemed 6/8/09 K

{pa~)

95 . Bu y 6/30/09 K

(add’l)

96. Redeemed 7/31109 M

97. Spartan 500 |ndea Fid Ad’, A Dividend L Y Sold 2 /1 0/09 K

(part)

98. Webster Bank 8-too CD B Interest Matured I 1!17/09 L

99. Fundamez~tal Investors Fund A Dividend Sold O8/19/09 K

(parl)

I O 0 . Sold 08/19/09 K A

I01 I B M A I n t e r e s t Sold 0 7 1 1 7 / 0 9 J B

102. New Perspective Fund A Dividcnd K T



FINANCIAL DISCLOSURE REPORT

Page 10 of 18

VII. I N V E S T M E N T S a n d T R U S T S - i .... ,, ~alue, tr ..... ,ions (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 - I- 6 0 o f f i li n g i r ~ , t r u c r i o n s .)

- A. " .......................... h7 ...... ~ D.

(including ~mst as~) re~ing ~ri~ of ~e~mg

{I) 12) (I) ] 12} [ (i) (21 13)

p~ace "{ X }~ after each as~t Amount T)’~ (g., Valu e Valu e Ty~(e g, ] Dale Value Gain Idenlily of

C o d e I .x e m p t fr o m p r i o r d i~ l o s u r e d i v . . r e n t . C ~ d ¢ 2 M e t h o d buy. ~II. mm.’d~’vy [ C ode 2 I C~ I b u y e r / s e l l e r

~ (A-H) : orinl} {J-[ ’) Code3 redemplton}[

IJ-PI (A-IIJ 01private

I 0 3. T C~ V Va lu e Op ~ n un i t ie s Fu n d No n e So ld 0 9 1 1 0 1 0 9 K

I~. UPS C lass B A Div id en d J T Sold 0 8 1 0 5 1 0 9 J

(~a,)

10 5 Pue~O Rico Pub Bld ~ Aulh R¢v D I n t e r e s t L T Sold ~ /0 5 /0 9 M C

0 6 . B u y 0 6 / 0 9 1 0 9 L

1 0 7 . New YorkNYG/ OSerC None Sold 06/23/09 ’ L A

1 0 8 . New York NY Set C U.q" C I n t e r e s t K T Sold : 0 7 / 1 6 / 0 9 K A

( p a r t )

0 9. New Y ork NY S et D RFDG G/O D I n t e r e s t Sold 0 6 ; 0 9 1 0 9 bl C

( p a r t )

I0. Sold 1 0 6 / 2 9 1 0 9 M(part)

I I I . So ld 0 7 / 1 6 1 0 9 M B( p a r t )

1 1 2 . Sold I0/14/09 M C

113. N e w ’ Y o r k N Y R F D G S e r G U I T C In te res t L T

1 1 4 . New York NY Oblig BDS-G C I n t e r e s t Sold 1 0 1 1 4 t 0 9 1 . D

1 I 5 . New York City’ NY RFDG Set H D I n t e r e s t Sold 09II7/09 M C

(pan)

I 1 6 . Sold 1 0 1 3 0 ; 0 9 1 . B

New" York City O/O Set 1 D I n t e r e s t Sold 07i30/09 M C

118. Chevron Corp None Sold 01i20i09 J



FI N A N C I A L D I SC L OS U R E R E PO R T ~ . . . . f v . . . .. ~ e ~ o r , ~ o, ,e or n,~

Page 1 1 of 18 a e r m a . , R i c h a r d 5 1 . 5 / 3 / 2 0 1 0

V I I . I N V E S T M E N T S a n d TRUSTS - i,, . . . . . . . . . ~ , . , . . . . . . . .,i,,,, (Includes those ojrsp ..... d dependent t’hildren; s e e p p . 3 4 - 6 0 af f!ling

N O N E (No reportable income, assets, or transactions.).. " .................. ........~ri~ion of As~s [ Inco~ during G r o s s ~ a l u ¢ a t e n d Transactions during ~ning peri~

(including ~st ~ss~s)~

re~aing ~nod of reaming per~

P l a c e ’ { X ) " a f t e r e a c h a s s e t A m o u n t Ty~ (eg. V a l u e V a l u e ~ Ty~ (e.g. D a l e Value ~ Gala l d c n t i l y

e x e m p t fr o m p r i o r d i s c t o s u r e ~ C ~ e I d i v . . t o n i . C o d c 2 M e t ho d~

b u y . ~ e l l . m~’d&’~ C~ 2 ~ C~e I b u y e r / s e l l e r( A - I t ) o r i n ( . ) ( I -P ) C o d e 3 ~ rcd~ptmn)

I~ ( J - P ) (A-Ill ~ d ’ p r w a ~

( Q - W ).l ..... ~ ........ ~_ _

I t r a n s a c t , o n ,

1 2 0 . Buy 103/16/09 J

1 2 1 . Bu y 0 5 I I 9 ? 0 9 J

(add’l)

1 2 2 . Bu y 1 0 1 2 0 ! 0 9 J(add’l)

1 2 3 . Sold 10/21/09 J B( p a r t )

1 2 4 . Sold 1 0 , ’ 2 2 / 0 9 J

1 2 5 . D o r r t i~ f io n R ¢ ~ ; I n c N e w V A None Sold 02/23/09 J

1 2 6 . Verizon Communications A I n t e r e s t Sold 04/09/09 I A

1 2 7 Artisan Mid Cap Value Fund None Sold 02/23/09 J

1 2 8 . FidelilyGNMA Fund E / Dividend K T Bu y 2 ! 1 0 / 0 9 K

1 2 9 . FIA Card Services NA RASP Account A I n t e r e s t K T Bu y 7 1 3 1 / 0 9 M

1 3 0 . The Scores Miracle Grow A Dividcnd Bu y 4/2~/09 J

1 3 I . Sold 0 9 , ’ 0 2 / 0 9 J A

1 3 2 . Guo’dle Inc Class A None K T Bu y 03/23/09 K

1 3 3 . Bu y 08/I 1/09 K(add’l)

1 3 4 . Nordic Americn Takr Shpg A Dlvidcnd J T Bu y 03;27/09 J

1 3 5 . CO Goldman Sachs 1 3 I n t e r e s t L T Bu y 0 2 1 0 4 1 0 9 L

1 3 6 Fairhohr~c Fund {X) i3 Dividend I M T Bu y 09/14/09 K

I (add’l)



FINANCIAL DISCLOSURE REPORT n . . . . . r P . . .. . a e p o , . o ~ O . . o f R , ~ e ,

Page 1 2 of 1 8 a e r m a . , R ic h a r d 5 1 . 5 / 3 / 2 0 1 0

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

D e s c r i p ti o n o f A s s e ~ s ~ Income during G r o s s ~ a l u e a t e n d ] Transactions during reining ~r,od(including tmsl as~) ~ reining ~fiod ~ of repomn~ ~r~

P l a c e " i X ) " a f t e r ~ c h a a e l A m o u n l i Ty~ (g. V a l u e V a l u e l’~e (e g.. D a t e Value Ga in , I d e n t i l y o f

e x e m p t f ro m p r io r d i s c ~ o ~ r ~ ~ C~ I ’ d i v . , r e n L i C o d e 2 M e th o d b u y . s e l l , ’,m~d~’ " C ~e 2 L’~¢ I i b u y c r l s e l l e r( A - H ) o r i n L ) [ l - P ) ( ’ o d e 3 r e d e m p t i o n ) { L P ) ( A - I l l

; (Q-W) transaclion)

l~hares KI’SE X inhua HK A Dividend J Y Bu y 0 9 / 1 5 1 0 9 ~

Concho Resourc~ None Bu y 0 6 1 0 8 / 0 9

139. Sold 12/23/09 J B

140. Rackspace Hosting None B u y 1 . 6 / 0 8 / 0 9 J

1 4 1 . Sold 1 2 / 2 3 / 0 9 J A

1 4 2 , Waddell & Reed Finl A A Dividend Bu y 06/03/09

143. S o l d 09/23109 I A

1 4 4 . BP PLC SPON ADR A Dividend J T Bu y 0 9 ! 1 5 / 0 9

1 4 5 . Liberly Global Inc Ser A None J T Bu y i 1 / 2 0 / 0 9

1 4 6 India Fund Inc None J T Bu y 1 1 2 0 / 0 9

1 4 7 . (..’all C(X ) None Sold 1 / 1 5 / 0 9

1 4 8 . Ishares Russell 2(RR) Index FD None K T Bu y 09/29/09 K

1 4 9 . U I~ SPDR Irust Scr I A Dividend K T Bu y 08/14/09 J

1 5 0 . Bu y 09/I 0/09 K{add’l)

1 5 I . JP k4organ Emerging Markets Equity Fund A Dividend L T Bu y 09/10/09 KCIA

152. B~kshire Hathaway Inc Notes B I n t e r e s t K I" Bu y 02!02/09 K

153. NY State Dt, nn Auth North Shore k.I. D I n t e r e s t M T Bu y 01/26/09 M



FINANCIAL DISCLOSURE REPORT .~ .... fP .... R e p o r t i n gI

D~,,eotReporl

Page 1 3 of 18 B e r ,~ . , ,. R i c h a r d M .

J5 / 3 / 2 0 1 0

VII. INVESTMENTS an d TRUSTS - i ....... .alu,. t ....... i , , n s ( In , ’ lu d e s t h o ~ o f ~ p o a s e u n d d e t , e n d e n t c h i ld r e n ; s e e p p . 3 ~ - 60 o f f i li n g i n s t r u c t i o n )

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

............ ~. ............ ~. " .... c. ’ ...... o. -- --[~ript~on of As~s ~ I n c o m e d u r i n g Gros~ value at end. T r a n s a c t io n s d u n n g r c p o a i n g

lincluding ~I assets) ~e~ning ~fi~ of re~ing ~ri~

P l a c e " ( X ) " ~ f l e r e a c h a s ~ l A m o u n t i Ty~ (eg. V a l u e V a l u e Y y ~ ( e . g . . Date ~ Value G a i n ld c m i ty o f

e x e m p t f ro m ~ior d i s c l o s u r ~ C~e I div. ~nt. C o d e 2 : M e ~ h (~ ~ b u y . s e l l . m~d~yy C o d e 2 C ~e I bu)er/sellcr( A - H ) o r i n t . } [ J - P ~

rC o d e 3 ~ ~ e d e m p t l o n ~ [ J - P I { A - I I ~ 0 I p r ~ v a l e

, ~ Q - W ) . t r a n s a c t i o n )

1 5 4 . NY Stale Do~ Au~h Lea~ Rev St Univ C Inter~t M T Bu y 01/06/09 M

1 5 5 . ~eOo Rico ~b Bldgs Auth Rev N o n e M T Bu y 09/23/09 M

1 5 6 . Omaha Neb Omah~ Convention Ce nter B I n t e r e s t K T Bu y 03/09/09 K

1 5 7 . NY State Donn Auth Revs St Univ A I n t e r e s t J T Bu y 0 6 / 0 9 . / 0 9 J

1 5 8 . Puerto Rico Comwlth Pub h~pt Ser A B I n t e r e s t 1 . T Bu y 06/09/09 L

1 5 9 . New York NY Rfdg-Ser F A I n t e r e s t l T Bu y 06/09/09 l

1 6 0 . New York NY Ser F A I n t e r e s t K °I" Buy 0 6 1 0 9 1 0 9 K

1 6 1 . New York NY Set J UFF B/E None M T Bu y 1 2 1 2 8 / 0 9 M

1 6 2 . New York NY Ser J BIE ugr A I n t e r e s t J "1" Bu y 06/09/09 J

1 6 3 . Puerlo Rico Elec Pwr Au th Prf C I n t e r e s t I M T Bu y 0 6 1 0 5 1 0 9 M

1 6 4 . Puerto Rico Elec Pv, r Auth None M T t ) u y 09/22/09 M

1 6 5 . New York City Genl Oblig 13ds HI B I n t e r e s t Bu y 0 6 / 1 6 , ’ 0 9 L

1 6 6 . Sold 1 2 / 0 8 / 0 9 L C

167. .San Joaquin Hills Calif Fsptrt ( .’orr]dor None K T Bu y 06/16/09 L

168. Sold 12/08i09 K A(part)

169. Ne’,v York City Gen[ Oblig Bonds 2006 Se t 1 3 1 0 . 1 c r e s t Bu y 06/051 09 MGAMBAC

1 70 Sold 12/01/09 M B



FI N A N C I A L D I SC L OS U R E R E PO R T N .... fP¢ .... R,pnrt i ng[

D , te o f R e p o r !

Page 14 of 18 B e r m a n , R i ch a r d M .

[

5 1 3 1 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i.co. .... ~. tr ...... ,ion~ ’Include., tho~e of sp . . . . .. . d dependen t children; .,ec plx

N ~ N E (No reporlable income, assets, or transactions.)

(including l~sl asse{s) ] re~ing ~6~ of reining

Place’(XF a~er each asset Amoum ] T~¢ (¢g., Vah;¢ ] Value T~¢ leg. Da~e ,, Value Gain Iden6ty

’ C~e 2 ? Code I buye~,’seller~¢mp~ from prior disclosure Code I ~ div.. r¢n~, Code 2I

Me~h~ buy. selL mm~d~’~ l(A-H) [ o [ i n l ) 0 " P ) : C o d e 3 r c d e m p l ~ o n ) ( J P ) ( A - l l }

171 New York NY RfdgSerA-l B I n t c r e s ( Buy 06/05109 M

I1 7 2 . Sold 12/01109 M A

1 7 3 . New York Gen Obg Bds Tx-Exmpt C I n t e r e s t Bu y 0 6 / 0 9 , ’ 0 9 M

1 7 4 . Sold 09/17/00 M C

1 7 5 . Nurth Carolina Easm MPA Pwr Sys B I n t e r e s t lv l T Bu y 06/23/09 M

1 7 6 . New York State Dev Corp Income Tax Rev C I n t e r e s t Bu y 0 6 , ’ 0 5 / 0 9 M

1 7 7 . Sold 1 0 / 0 1 / 0 9 M B

1 7 8 . Houston Tex Wtr & Swr Sys Rev None Bu y 0 6 , ’ 1 " 1 5 , ’ 0 9 L

179. S o l d 09 /17 /09 L C

1 8 0 . CA Infrast & Econ Dv Bk Rev-Bay Area A I n t e r e s t K ’T Bu y 0 6 / 1 0 , ’ 0 9 KT o l l t]ridgs

1 8 I . Puerto Rico Comwlth Hw3’ & Transn Auth None L T Bu y 0 7 / 2 3 1 0 9 LTrans Rev

1 8 2 . Wslchstr NY-TOB Asset Secrtzm CRP None M T Bu y 0 7 ! 1 6 / 0 0 M

1 83 Metropolitan T ransn At)~h NY }ilM C Inleres t M T Bu y 07t30/09 M

Dedicated Tax

18,I. ’IS~SC Inc NY TOB Settlemen! Asset N o ne L T Bu y 10/01/09 L

185. NYS D!AAuRevsSndlylnsd Pref-Mental N o ne M T Bu y t2 /01 !09 M

Hlth Fac

186. Metro Transn Au NY-Dedicated Tax N o ne M q- Bu y 12/08/09 M

FI)-FSA

187. Bu y ~ 1210’8/09 L(add’b)



Name of Person Reporting Dale of Repor~FINANCIAL DISCLOSURE REPORT

B e . .a . , R c h a r d m . 5 / 3 / 2 0 mage 1 5 of 18

V I I . IN VESTMENTS and TRUSTS - i . . . . . . . . . / . . . .. . .. . .. . , 1 , , ~ , ( I n c l u d e . , ,ho,, o/ ,p ...... d depcndent ,’hildrcn: , ,¢ pp. .14-60 of ~flng instructions.)

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

D e s c r i p t i o n o f A s s , z t s I n c o m e d u n n g 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 e p o r t i n g ~ - r i o d

( i n c l u d i n g I n , s t a s s e t s ) ! reFa~rilng period i o f r e p ~ m n g p e r i o d

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o ’ an l . T ) ~ : r ( e g , V al u e Value T y p e ( e . g .. D a t e Value Gain I d e n t i t y o frCodel : div .... . t, , Code2 M e t ho d b u y . s e l l . imm/dd/yy;Code2 ]Codel i b u y e r ; s e l l e r

exe mpt from prior disclosure I (A-H) or mr) (l-P) Code 3 redemption) tJ’P) i (A-}I) ~ (ifpr~valc

1 8 8 . New York St Twy Au Second Gen l Hwy & None L T Bu y 1 2 / 1 0 / 0 9 I,B r d g

1 8 9 . New York NY Set B U/q- B I n t e r e s t K T Bu y 02/13/09 K

1 9 0 . Puerto Rico }hJb kin Corp-Cornwhh Approp None K T Bu y 1 0 / 2 0 / 0 9 K

1 9 1 . Ne,~," York St Dorm Auth Lease Roy St Univ None K T Bu y 10/16/09 KDorm FACS

1 9 2 . N~w York Slate Itousing Finance Agcy Tax None K T Bu y 10/16/09 KRev

1 9 3 . New York St Urban Dev Corp Rev Personal None K T Bu y 10/14/09 KIncome T a x

1 9 4 . New York SI Dorm Auth Ct FACS Lse Rev A I n t e r e s t J T Bu y 10/20/09 J( N Y C Issue)

1 9 5 . Metropo[itanTransnAuthNY P-,ev-B-CIFG A I n l e r e s t K T Bu y 1 0 / 1 4 / 0 9 K

1 9 6 . Metropolitan Transn Auth NY De dicated N o n e 1 , l" Bu y 1 0 / 2 9 / 0 9 L

Tax FD-A Revs FGIC

1 9 7 . New York Gen eral Obligation Bd Ser J None K T Bu y 10/16/09 L

1 9 8 . Sold 1 2 / 0 8 / 0 9 ; K( p a r t )

1 9 9 . City of New York Gen Obli RfdgBondsSer None M T Bu y 1 0 / 1 6 / 0 9 M

2 0 0 . TIAA-CREF 1 1 Dtvidcnd L T Bu y 0 1 1 0 2 / 0 9 J

(add’l)

2 0 I . Bu y 02/03/09 J(add’l)

2 0 2 . Bu y 03/03/09 J(add’l)

203.(add’l) Buy 04/02/09 J

2 ( - ) 4 Bu y ’ 0 5 / 0 4 / 0 9 J(add’l)

2 VaI~ C ( x ~ - s J -$15,000 trr less K ~$15 O~)l - $50.000 [÷ = $50,0W)I - $100.(X)O M =$ I00 .001 -



N s m e o f P e r ~ n R e p o r t in g D a t e o f R e p o r zINANCIAL DISCLOSURE REPORT

a e r m a . , n ~ a ~ d s l .age 16 off8

VII. INVESTMENTS an d TRUSTS - i~ ....... ~,, ....... i o ~ n , a ~ a ~ . ~ , ~ . ~ ,

N O N E (No reportabl~ income, assets, or transactions.)

~ .... L ............ :- a. - .... c . " ............ b~ .....; Description of.~ts I n c o m e d u o n g ~ G~ss value at end I ra~actions dunng re~mng ~nod

Oacl~mg ~sl ~) ~ __r.~ing ~f i~ ol-re~mng

(I) (2) (I ) (2 ) (I ) (2) ] (~ ~ (~) ~ (5 )P l a c e " ( X ) " a f t e r e a c h ~ e l ~Amoun l T~ (e.g., ~ V a l a e V a l u e T ~ e ( e . g . , Date Value ] Gain I d e n t i t y o f

e x e m p t fr o m p r io r d i ~ lo s u r e i Co de I ~ d iv . .ren l . C ~ e 2 M e l h o d b u y . s e l l, ’m~"d~ C~e2¯ {A-Ill : o¢ inL) ] (J-P) ~ Cod~ 3

(Q-W) ,ran~cti~a~................................. ,:

2 0 5 . Bu y 0 5 . ~ 2 9 / 0 9 J(add’l)

2 0 6 . Bu y 07i01/09 J(add’l)

2 0 7 - T-C lnfl Lnkd Bond-Rlmt Bu y 0 7 / 2 0 / ’ 0 9 K

2 0 8 . - CREF Money Market Sold : 0 7 / 2 0 / 0 9 K

2 0 9 . - T-C Lifecycle 2020-Rtmt B u y 0 1 1 0 2 / 0 9 J(add’l)

2 1 0 . Bu y 02/03/09 J(add’l)

2 1 1 . Bu y 03/03!09 J(add’l)

’ 2 1 2 . Bu y 04/02/09 J(add’l)

2 1 3 . Sold 04/06/09 K

( p a r O

2 1 4 . Bu y 0 5 , ’ O 4 / 0 9 J I(add’l)

2 1 5 . Bu y 05,’29/0q J ~(add’l)

2 1 6 Buy 0 7 / 0 1 1 0 9 J(add’l)

2 I 7 - T -C Lfcycle Rlmt lnc-Rtmt Buy 0 4 / 0 6 , ’ 0 9 K I

2 1 g . Property, Indian River County, FL (X ) None L W



FINAN CIAL DISCLOSURE REPORT ~ a , , ~ o r P ~ r s o ~ R o p o r t l . ~ D ~ , e o f R e p o r tPage 17 of 18 ~ e r , .~ o . ~ i ~ h ~ d ~ . ~.,~/2o~ o

VIII. A D D IT IO N A L IN F O R M A T IO N O R E XP L A N A T IO N S .

P a n V I I . D o d g e & C o x I n t ’ l S to c k F u n d , ’ ., ,h i c h w a s s o ld i n 2 0 0 8 , w a s i n a d v e r te n t l y in c l u d e d o n t h e 2 0 0 8 r e p o rt ( l i n e 6 0 ) . W e h a v e b e e n u n a b l e I o l o c a l e th e

v a l u e a n d g a i n q o s s m f o n n a t i o n . T h e v a l u e i n 2 0 0 7 w a s L .

P a r t V I I . O p p e n h e i m e r M a i n S t r e e t S m a l l C a p F u n d w a s l i s t e d t w ic e o n t h e 2 0 0 8 r e p or t [l in e s 6 9 a n d 7 0 ) a n d l h e s e c on d e n l r y a p p e a r s ~ o b e a d u p l i c a te i n c l u d e d

i n e r r o r .

P a r l V I I . F o r e s t C i t y E n t . ( A ) w a s l i s te d o n t h e 2 0 0 8 r e p o r t ( l iu e , g 2 } a s b e i n g S o l d . r a t h e r I h a n S o l d ( p a r t i a l l . T h e v a l u e c o d e f o r 2 0 0 8 w a s c o r r e c ¢ l y l i s te d a s ] .

Part VII. TIAA-CREF was inad’*ertently om itted from th e 200 8 report . The value cod e for 2008 was K. TIAA-CREF’s const i tuent funds CREF M oney M arketa n d T - C L i f ¢ cy c le 2 0 2 0 -R t m t a l so v , ’e ~ e i n a d v e r t e n t ly o m i tt e d f ro m t h e 2 0 0 8 r ep o r t . T h e v a l u e c o d e f o r 2 0 0 8 w a s K f o r b o th C R E F M o n e y M a r k e t a n d T - C

k i f e c yc l e 2 0 2 0 - R t m t .



FINANCIAL DISCLOSURE REPORT :r~ .... fP .... . R c p o r { i a g D,l~ of Report

Page 18 of 18 Berman. R i ch a rd M . 5/3/2010

IX . CERTIFICATION.

I certify that all information given above ( including in formation pe rtaining to m) spouse an d minor or depen dent children, if any) isaccurate, true, and e omplele to the best of my kn owledge and be lief, and that an)" Information n ot reported v*as withheld because it met applicable statutoryprovisions permltl[ng n on-disclosure.

I fur|her certify that earned income from outside employment and honoraria and the acceplance of gifts which have be en reporlcd are incompliance wi~h the provisions of 5 U.S.C. app. § 501 el. seq., 5 U.S.C. § 7353, aud Judicial Conference regulalions.

Signature.__

NOTE: ANY INDIVIDUAL WIIO KNOWINGLY AND W ILFULLY FAL SIFIES OR FALLS TO FILE Tills REPOR’I" MAY BE SUBJECT T O CIVILAND CRIMINAL SANCTIONS {5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the Un ited States CourtsSuiTe 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Richard M Berman Financial Disclosure Report for 2009

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Transcript of Richard M Berman Financial Disclosure Report for 2009