In FOR 200t 3. - Judicial Watch · Name o(
Transcript of In FOR 200t 3. - Judicial Watch · Name o(
A0 ·10 R ev. l/?QO.I
(5 U SC opp §§ 101 llll . . .
3. GARAU FTS. l\"ICHOLAS G EASTERN DISTRICT OF NEW YORK 7/3112005
.i , Title (Article Il l Judges indic l ( utive or senior Jta.tus; ; . RepoctTypc: (check :ippropri:Ltc type) 6 . Reporting Period
12131/2()(µ 8. On the basis of the" infonmtion ooamined in this Rcpon and y
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eosmoN N6ME OF ORGAN IZATJON!ENTITX
Specuux Publishing Company, In c.
PARTIES AND TERMS
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Member. Bo.rd of Oitteton
Me�:r. E."<ecutive Committee United St3.ie:s Tconis Assoc111.tion
0
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 200-t
Report Rcquir-cd by the Ethics
In Govern"°""t ACI or 197S
l. Person Reporting (Wt n:une. First n:unc. Middle initial) Coun or Orpniz:aDon D:ueor Rcpon
giscr.uejud 6 iudi te full· or part-time) Q 1'omin:1tioa, Date 212812000 11112004
l�ITEO STATES DISTRICT JUDGE t oQ Initial @ Annu;aJ Q Arol
7. Cll:unbers or Office Address
l:S DISllUCT COURT EONY mocUficatioos pertaining thereto. it is. in my opinion, in compli:incc 'With applicable IJ"''S and regulations.
CADMAJ\" PLAZA EAST BROO LYN. "SY 11201 Reviewing Officu
., .. .:.."· CMPORTANT NOTES: The instnactions accompanying Ws form mu.st be followed. Completean pa.ru, checking theNONE box for each p:art where you have no rcporuble iafonnatioa.. Sign oo last p:ige.
.{�.�?' -:·- ;f,Z-:. '7(·" L POSIDONS. (Reporting iodividu>.Iooly; see pp. 9·13 of filing instructions)
Il. AGREE1'.1ENTS. (Rcponing individual only. see pp. 14-16 orlitiasiastructionsl
::J NONE · \No rcportoblc agrttmenl5.)
1.
0<>0919S
ABC, INC. PE."SION Pl.AN MOl'ffiiLY SURVIVOR BENEFIT.
CITY OF NEW YORK DEFERRED OMPENSATION PLAN.
.-..,, = c- C> (')(J)Zc> I ="Z r
)> rn
· O ., U'I
:ame of Petson Rc:pof'tiog
SO\'RCE AND TYPE
-YC Deferred Comp ensa tion
ABC lnc. Retirement Plan
GROSS 1:-;COME
S2,S33
S t3, 0S;
SOI !RCE AND TYPE
2004 S<lf-emptoy ed • Coasullant
DESCRIPTlON
U . S . Tennis A$Soc:i tion Rcctived S.562 expense reimburse ment to attend the Annual UST A Meeting
- 2004
. . ..... ... . -·····-··· -----·
FINANCIAL DISCLOSURE REPORT
QARAUFIS. NICHOLAS()
Ill NON-INVESTlVlEJ'lfT INCOi:vm. {Reporting individu:tl "'1dspouse: s<e pp. 17-24 of filing insuuetions)
A. Filer's Non -Investment Income
C NONE · lNO rcpon:i.blc non·investment income.)
I.
0.1te of Rq1on
7131/2005
()'OW$, not spouse's)
B. Spouse's Non-Investment Income. (If you V1Crc m:uried durin& any portion of the n:portiogyc;lf. please complete this section. Doll::tr amount not rcqu.ircd except for bonoraria.)
CJ NONE - (No reportab!c non·invescmcnt income.)
I.
IV. REIMBURSE1\1ENTS -- lr.lllspom1ion, 1o<1g;ng. roo<1,cn"'13inmcn1.
(Includes those lO .spouie 3nd dependent chiklrcn. Sec pp. 25·27 of instrui:tioas.)
0 NONE · {No such r<pombi.. t<imbur;emcnl$.)
SOURCE
I.
PESCRll'f!ON
CREDITOR CODE
1.
FINANCIAL DISCLOSURE REPORT '.'ame orPC1$o)ll Reponing
GAAAUFIS. NICHOLAS G
V. GIFTS. (Includes tho;< to spouse and dcpcndtot cl>ildn:n. Sec pp. 28-31 ofinsuuctions.)
7 NONE · (No such "-'J'.''lt:lble girts.)
SO\'R(E
VI. UABII.ITIES. (b:dudcs th0« oi spouse and depudent children. See pp. 32·34 of insttuctions.)
·:la NONE . (No repom !c liabilitics.l
pESCRIITIOts
i.
O:itt of Rcpcxt
713112005
VALUE
Name o( P<oon Reporti ng
GARAU FlS. NICHOLAS G
Dote of R tpcm 7131/!00S
A.
( !'-'o portable i CICOttt. asse ts. or tr.mA«i()OS)
Opp enheimer NY Munici I A
Oppen heimer Quest Opponuoity Value Fund A
Opp<nhdmcr Equity Fuad CJ. A
Pcrshiog Govt. Acct
Walt Disney Company c.ommon S toc k
Fidtli1 y Advisor ln fla tioo· l'!oo:cted Bd RI Cl A
Alli ance R.enl Estate Investment Fund Class A
Oppenheimer Quest SnuU Cap V ot l uc Fund
9. AIU.nee Tecbo ology A Fuad
10. Alli•nee Growtll & Income Fuad C lass B
II. Allia.ncc Bcmsiein Cap Rcsv
1 2 . Alliance Premier Growlh Fund Cass B
13. AUinocc Q ua5:1r Fund Class D
1 4 . City of Sew Yor k OcJcrrcd Compen.ution Pb. o
IS. Equivcst Vari::ible Ano uni t y
16. Trust#!
ABC Pension Plln'
1 8. Aim Glob aJ Tren d$ Cl. 8
l. ln..;ome /C:1.in Co.Jes: A
(Sc Ctt!U J 1'91 c : . 0
• l) • Dool: Value
8 .
tq)Ol1foc period
(t) (!)
Tl'P' div. rcor. or i.N.)
lntc-rcst
Dhidcod
Di\idcnd
Di\idend
A Dividc1Jd
A [); vid<nd
Dividend
Dividend
Oi\ idcnd
Dividend
Dividend
[);yjdtod
Dividend
A Dividend
Di vidend
-·
None
Dividend
B
R t-.. v : OOk."f
c. o.
rtporcint pctiod
(t\ (l) (l) If OOl c.ice"1'! :tom discto !) O > (4) l!°I
V is ttlC' Co:le Code I
(J.I'\ "" '1"· pri ... •ate
J T
L T P:irtial S ale 61 1 S 0 A
T P>rtial Sale 3118 E
L T
J T
K T
K T
K T
T
K T Purchase 11126
J T
J T Partial Sale 11126 J A
J T So ld 11126 J
K T
L T
J T
c D E
w ='t::.tirn: ucd
li'INANCIAL DISCLOSURE REPORT
Page 1 of3
i/II. INVESTJl.IBNTS and TRUSTS
Ots..Tiption ofASKO (inclwli�cruse ts)
Pt.1Clie IX)" after c:ich :ass.ttexemptfrom prior disclosin
]NONE
I.
2.
3.
4.
s.
6.
lncon-.: OJ.Tins
A,,.,.,. c i:. Code I (A·H)
A
A
A
A
Gron v;i,tuc r.u end ol Tr.w.,.;1lona dl.lring rcponiu: period
Vol"' Voiluc Type (e.;, 0 11:: �tn tcknci1y or Cod<: Method buy, seU. Mo)ftlll· 'tt'5<11cr
Codd o.., (J·P) v\•H) (if(Q.W) -donl tr.11\ACtioo)
L A
7.
8.
17.
• Sl,000 or kn
<5" C'Olu•l'llb 81 and D.a)
'.!.. Valluc Codes: (See Columns C'I and03)
J N
sSS0.00 1.S I ()().000
•SJ 5.000 or ku
= ruo.ooo.ssoo.ooo
A
A
A
A
A
A
A
A
A
•Sl.OOl·S2,$00 G •s100.001.s1.ooo
x • 515.001-s.50.000
0 = SSOO.OCll·Sl.000.000
J
J
A
K T
K T
= S!30l ·S .OOO • SS.OOl·SIS.000 s SIS,O::U·S!<l.000
HI • SI .U00.001..SS.000.000 H'.! = MOl.'C �-SS.000.000
L = S..(().OOJ·Sl00,000 M = $l(J().00I•S!.\O.CXX>
1'1 =Sl.OOO.Olll·S.S.000.000 r: a: ss.000.001-$ .ooo.ooo
Pl = S .000.00l·S30,000.000 PJ • S.\lfJf'C thiln SS0.000.()()0 •C;isb. l:;utcc)., V:iluic kli.00 COO..:s aAppr.aiul = Cust tRc;il u: Onl») s = A»cs 1\ m T
,'\ame of PetSOn Reporting
GARAU FI S. NICHOLAS G
D•te of R e p o n
713 1/2005
I\.
n:r-W•a P<ri<>"
en C>
"""""'
illt.)
Aim Mid.c.p OX< Eq ui · Cl B Dividend
Aim Constellation Fd. Cl B Dividend
Oppenheime r Qucsr BalaDced Value Fuod ClaS$ A 8 Dividend
" Davis New York Vcoturc Class A
, __
I_,, :-.:euberga Bennaa Foc us Fuad
:.i. Stare Street Mid Cap Value Fund Class A
::.s. Growth Fwwl of Am:ric• CI.us F
: 6. V&D Kampen Globe! Fnactuse
: 1 . Fidelil)' .\dvisor Dividend Growth
;s. Aim Buie Value Fu nd B
: 9. Aim lo t. Govt. fu..nd
;o. Aim Blue Chip Fd . Cl. 8
: I. Aim Gl<>bal Growth Fd a 8
., Alliance Bmaced Sha= a 8
33. AlliAc ce Bernstein NY :O.twii Tr
3-l. ()ppeohcilllCf Qucs1 Opportunity V>lue Cl A
35. Capiul \Vorld Growth &:: lnc:ome
36. Gabelli Asset Fund
I. ll\,,.."OITICIGa in C cdts: A = S 1.000 or b
.
l \':s !V'l.:tf'.oo C n-s
(Stt Cot1111v1 c: ; , Q : """""''" l' •Book Vciliac
Di.,,idead
A Divicknd
Dividend
A Divid<nd
Dividend
Dividend
Dividend
A Dividend
A Dividend
Oividead
Dividend
Dividend
Divi dend
Dividen d
Dividcad
8 •Sl.001-D.. SOO
" • °""'
ttport!n; period
(I) (Zl Ill It not CXC!l'pf iiomdis'°s un:
M<lhod
K T
K T
L T
T
M T
L T
M T
L T
T
I T
I T
K T
J T
T
L T
D T
D T
T l)C \seU .
rn.-1\,r. ttckmptioo}
P:utial Sale
p,na1 Sale
P;utial S ale
Purchase
Purctuse
l )
811 2
311 6
4129
12116
41 8
(3) v , ru.
Code?
D
E
E
D
D
\\' • B.timucd
,,) ($1 Win Code I
A
A
A
FINANCIAL DISCLOSURE REPORT
Page 2 of3
VII. INVES "TS and TRUSTS
B.
�1tol.A$scts lo.;ume durifli
( inrlWitlg tt\IM3SKts)
Pb:<' -.xr after acb ;l;>ft_v:Cflllt T)'P' (c.s.front pioc discios c-' div. rent. or (A·Hl
19. A
:o. A
I.
1-·
, ..
(S<c('Ol1,1:11111)8l nd ) F •SSO.oot.$100.000
!. Value Cod::): ""SIS, 000 orleu ( Columu Cl :uld 03) = S"..50.0QO SS00,000
P = S .OOO.OOl·S tl.000.000
A
A
A
A
A
A
A
A
A
A
A
G • SI00.001-Sl,OIX).OCX>
K • SIS.OOl·SS0.000
0 = S... .OOl·Sl.000.00J
c. o. Gro5' '-;alue ac. ct1d or T�ioas during in: period
v • .., Value Code: (l·Pl Codel
(Q-W)
K
I
J T
K
(�g. c..., r..tonth• O:ay
C •SL<Ol-SS,000 0 •S$.OOl·Sl5.000
Cl·PJ
HI • SIJJ00.001-$5.000,00U H! ; tore tlnft S.S.000. 000
L = S!<0.001-$100.000 M • SlOO.OOl·S .000
Pl • Sl.OOO.OOl..$5.000.000 I"'! = S!i.000.UOt· S .ooo.oov
P4 • S.\ton: cNin s.so.ooo.oo:>
ldetlllr O>f buycrtst
\A•H) (if pri\ k tr:ln$a..'1ioo:l
E =-Sl�,O()J.S..((l/JOO
Name o f Person Rcpoc1i:1
GARA U FIS. N ICHOL•S G
DateofRc\'<)lt
7/31/c OOS
A.
lslwcs Tr Russell IOOO
Isham: tidcap
Mu1ual Series Shares CJus A
S tandard & Poon
Roches1er Umited Tenn
Pimco Low Duration
Oppcohcimcr Global F®d
E
Ameri c .in B:al cc
l. lncom:/Cia in C s:: A =SI . 000 or Jc,s:
N
Q
( S1.'<' Column C 1 L' • Uoot \' a.lix
8.
rcponlng P<riod
( I) ( °Z)
'f"" C od e I div. rcnc. OI (A-H)
A Dlvicknd
Dividend
A Dividend
A Divid""d
Di v idend
A Dividend
A Divicknd
A Dividend
A Dividend
•
\' • O t her
c. 0 .
porting period
'll ( 2) (I) If DOI o:cn'Ql l tOm disc
( 3 > Type V•hJc buy. $Ctl. Co.Jc mcri:er.
rc<lcmp<ion)
K Pu.rch a.se S/17 K
D T Purchase 10/20 D
D T Purchase 7/I S D
E Pwohase 311 8 E
D T Purchase 811 2 D
K T Purchase 418 J
K T Purchase 1r28 I
K T Purchase S/4 K
D T Pu.rc h ll.SC 3/10 D
< •>
COde l (A· HJ
FINANCIAL DISCLOSURE REPORT
Page3 of 3
III. INVESTMENTS and TRUSTS
Dcs.:ri.ption ofA.nets (i-lk:h,ading ll\.t$lOJSC.IS)
Pl31."c (X)" llft.ernch:isiet c.xcmpt fi"oo1 prior disclosurr
37.
38.
39.
.w.
41.
•2.
43.
44. . van K>mpeo quity & IDcoole
4S.
-rocomc. v:JllC. 1r.anse:uions {includes thost of the: .s.pouu: ;ind Jcpcndc-.nt childrtn. S..."C pp. J.a.-S1 of fiilns: instrUCtionsJ
(l'.'ICOn'leduring
Amount (e.g.
i1111.)
A
A
G"°" value at end of T on:s dt.1ri1"1g n; period
(2) \'U., Value (c.;. 0-.i.te: C(IJt 2 :-.ielhod fODth • tJ·P'l Codd O>y (/·I'>
(Q-W)
T
T
,,.,
Gain lJcnDty of bllycrlsc:11cr (li private !r'J.llSaCtioa,
{S« C"olumrw Bl ;rnd ().ll = .OOl·SI00.000
!. V;ih:ie Codc5; =SJ$,000« Im
(Se.: Colutn111 Cl ;u1d 03> =S2.SO.OOO·SS00.000
pj =s .ooo.oot-S50.ooo..ooo
;\.Value: M. d:.id CUI.ks =Appr-.usal
•Sl.OOl·S1. . .SOO
c =SIOO.OOJ-Sl.()C(l.<XX>
K = SIS.001 .000
0 =SSOO.OCll·Sl.000,000
R =Cost tRcat Es.ttie On!y)
(' • S .SOl·S!'i,000 D = SS.001-SIS.ClOO
HI = Sf,OO(>,OCU.SS.000.000 H? = r-.1cn than SS..000.WO
L =SSQ.OOl·SI00. 000
l'I =Sl.OOO.OOl·S.1.000.000
P4 =$.\t 11un Sl0.000,000
S =A nen!
�1 = SIOO.OOl·CW.000
=S.1.000.001.s=s.ooo.ooo
T • C.a$1�1:artct
E wSIS.001.$50. 000
Nam ¢. Q t' Pe rson Rtponing
1 •••• under•
FINANCIAL DISCLOSURE REPORT DaltofRtpM
GARAUAS. NICHOU\S G minoo:
�"";"'""'"01R<pon.l VDI. ADDmONALINFORMATION OR EXPLANATIONS
VU, Page I. line 16: Trusl #l is funded with an Equitable Life Insurance Company life insurance policy with a cash surrender value :u 12131/04 ofS4S.1SO
vn. P>gc 1. Lio< 17: ABC. Inc. Pension Plan. lam designated to receive monthly pensioo. benefits ension plaa. Section lll. Line 2 for income received. These paymeau will cease u.poa my death.
O:itc of R pon
Date A_...,.__f_3 1_lo_D_ __
FINANCIAL DISCLOSURE REPORT
GARAUFlS. NICHOLAS G 11311200S
IX. CERTIFICATION.
I cenify that all information given above (including information pertai ning 10 my spouse and minor or dependent children, if any) is accurate, 1tue, and complete to the best of m y knowledge and belief. and that any information not reponed \VOS wilhheld . because it met applicable staiutory provisions permitting non-disclosure.
I funher certify !hat earned income from outside employment and honor.ma and the acceptance of gifls which have been reported are in compliance with the provisions of 5 U.S.C. § 501 eL seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signa.ture
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULL y FALSIFIES OR FAILS TO FILE nns REPORT MAy BE SUBJECT TO CNIL 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