Shira A Scheindlin Financial Disclosure Report for 2009

8/3/2019 Shira A Scheindlin Financial Disclosure Report for 2009

1/11

FINANCIAL DISCLOSURE REPOR T R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of1978FOR CALE~AR YE~ 2009 0 ~.s.c. ~..~ o~-HO1. Person Reporting (last nam e, flr~l, middle initial) 2. Court or Organlr~d~ou 3. Date of Report~heindlin, Shira A. S.D.N.Y. 06/23/2010

4. Title (Article I11 judges indicate active or senior stat~; So. Report rype (check ~ppropriate type) 6. Reporting PeriodmagLsl~ate judges indicate full- or part-time) [] Nomination, Date 01/01/2009U.S. DistrictJudge~active [] Initial []Annual []Final 12/31/2009

5b. [] Ameaded Report7. Chambers or Office Address 8. On the basis of the lnformttla~ contained in this Report and anymodif ications per talalng thereto, It ig In my opinion, In complianceUSDC-SDNY with applicable laws and regulations.500 Pearl StreetNew York, N.Y. 10007 Reviewing Officer Date

IMPORTA NT NO TES: The instructions accompanying this form must be fallowed Complete all parts,checking the NONE box for each part where you hav e no reportable information. Sign on last pag~

I . P O S I T I O N S . ~o,a~g i~a~*~a o~.: , ,, ~ 9-, o f ~ ~,~ao~)D NONE (No reportable po sitions.)

POSITION NAME OF ORG ANIZATIQbl/ENTITY1. Director Justice Resource Center

2. Director Sedona Conference


2/11

|FINANCIAL DI SCL OSURE RE P OR T s .... I P e r s o u R e p o r t i n g DeteofRe~. IIa g e 2 o f " 1 1 S c h e i .a l i ., S h i r a A . 0 6 / 2 3 / 2 0 1 0I l l. N O N - I N V E S T M E N T I N C O M E . ~,o,~ng ~,di~u=~un Zs~; soer~. ~z-2~ o/~~ i~,u~on s.;A . Filers N on-Investment Income[ - - - ] N O N E ( N o reportable non-investment income.)

DATE. SOURCE AND TYPE ~(yours, not spouses)I. 2009 W est Services, Inc. B ook Royalties $2757.762.2009 Fordham University L.aw School Teaching $1000.003.4.

B . S p o u s e s N o n - I n v e s tm e n t l n c o m e - lf ~vau u~ere marrlcd during any portion of the reporting year. comp lete this section.( D o l la r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a. )

D NONE (No reportable non-investment income.)DATE_ SOURCE AND TYPE

1.1-12/09 Slate University of New York

2.3.4.

I V . R E I M B U R S E M E N T S - ~ - ~ o , ~ o ~ ,t o d g i~ g ,/ o o ~ , e~,~n ~i . . .. ~( I n c lu d e s t h a n e t o s p o u s e a ~ ~ p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f il li n g i n s ~ c ~ o ~ - . )~ NONE ~o reportable reimbursements.)

~ DATES LQCATION P[JR,POSE ITEMS PA~ O~ PROV~EDI. Federal Bar CounciI 2/14/09-2~21t09 MeM~ S~aker T~vel, F~, L~ging2. American Law Institute - 3/26/09-3~7/~ Philadelphia, PA S~aker Travel, F~d, L~gingAmerican B~ Assn3. Amefic~ B~ Association 4/17/09~3/~ S~ F~nciseo, CA Speaker T~vel, F~d, ~dging4. Sedona Confere~e 4/29/098-5)01109 ~dona, AZ Speaker T~vel, F~d, l, t~ging5. America B~A~n 9 / 241~ -9 !25109 Chicago, IL Sp~er Travel, F~, L~ging6. Comeli Unive~i~ 11/05 /09-11107/~ lthaca, NY ~w Sch~l Adviso~ T~vel, F~d, MgingCouncil Meeting


3/11

F I N A N C IA L D IS C L O S U R E R E PO R T ~ , ~ e o f P e r s o n R e p o r t in g I D a t e o f R e p o r tPage 3 of I l Scheindlin, S h i r a A . [ 0 6 / 2 3 / 2 0 1 0

7. Georgetown University 1 l/l 1/09-11/I 3.09 Washington, DC Speaker Travel, Food, Lodging8. Practicing Law Institute 12/03/09-12107/09 San Francisco, Calif. Speaker Travel, Food, Lodging


4/11

F I N A N C IA L D IS C L O S U R E R E PO R T r~ ....fv .... Reporting]

DateefRep0rtPage 4 of 1 1 Scheindlin, S h ir a A . 0 6 /2 3 /2 0 1 0

V . G I F T S . a ~ c l u ~ ~ o ~ , t o ~ , o u ~ ~ ~ r ~ , ~ t children; sce plg 2 8 - 3 1 of j~ding instructions.)NO NE ( No reportable gifts.)

SO U R C E D E SC R IP T IO N VALI~1 .2.3.4.5.

V I . L I A B I L I T I E S . a ~ a u ~ , s t so , o o / ,p o , ~ e a n d ~ , a , ~ t c h U a r , * : ~ , , r ~ ~ - ~ 3 of fling im~ucao~.)~ N O N E (No repo~able l iab i l i t i es . )

CRE DI T O R DES~R~TION VAI,UE CODE1 . B~ of A m~fi~ Mo~gage on R~I Pro~ # 1, B~kl~, ~ K2.3.4.5.


5/11

N a m e o f P e r s o n R e p o r t i n g I D a t e o f R e p o r tF I N A N C I A L D IS C L O SU R E R E P O R T[ Scheindlln, Shira A .age 5 of 1 1 o 6 / 2 3 : 2 o l o

~ . ~ V E S T M E N T S an d TRU STS - i,,o~,,~.. ~,,so~,,s a.t.a~ t~,o~ of s~o.. ~a dependent children; see pp. 34-6 0 of filingN O N E (~o reportable income, ~sets, or transaction.)

1. R~I Prop. # 1, Kings Co.U, NY F Renl P1 W2. Teache~ lns~ce Annuity Ass~iafion G lnter~t PI T3. A~ Financial A Int./Div. J T Sold 1~4/~ J A4. W acho~a Ba~ De . s it S weep Sold 06/30/09 J A5, W ells Fargo None B uy 06~0,096. W ells Fargo None Sold 08/03/097. ~ # 1 B Dividend M T8. I~ Sentinal Cap Gro~ F~d Cl~s A None K T9. 1~ S~t~el MidCap Gmw~ CI~s A None K T

1 0 . l~Sentinel Intl ~ui~ Cl~s A None K TI I, I~ Sentinel SmaU Company A None K T1 2 . I~Sent inel ~mm on Stock CI~s A None K T1 3 , 1~ Sentinel Govt . Secu~l]cs CI A None K T1 4 , l~Sentinel Come.afire Allot, Cl~s A None K1 5 . College Retirement Equiti~ Fund None PI T1 6 . Supplemen~l ~d Gro~ Reti~ment D Interest N TAnnuities1 7 . Vangt~d Intl Mull Fund A Dividend J T Sold 6/0/~ J A(pan)


6/11

F I N A N C IA L D IS C L O S U R E R E PO R T N a m e o f P e r s o n R e p o r f in gPage 6 of I 1 Scheindlin, S h i r a A . 0 6 / 2 3 / 2 0 1 0VII. ENVESTMENTS and TRUSTS - t .~ o ~ ,

NONE (No reportable income, a~sets, or transactions.)

" ~~~7~ .: .:: ~::~1~::~-:~ .:{

1 8 . Pfiz~ C Dividend L T1 9 . B r~kl~ Fede~l S & L A Interest J T

2 0 . Br~k~ F~ S & L A Interest J T2 1 . ~ Mm~at~n B ~ A Interest J T2 2 . ChaseManhat~n B~k A Intent K T23. C~e Mm~at~n Bank A Interest L T2 4 . Ch~eMa~at~n B~k C Interest M T2 5 . ~se M~hat~n B~k A Interest K T

2 6 . Ch~e Ma~a~n B~k A Inter~t K T2 7 . NYS ~al Govt Assist. ~. SeriesC B Inter~t K T Redeem~ 4/1i09 J2 8 . Fidelity Advma~ge SmallCap. None K T2 9 . Fideli~ Adv~tage Mid Cap A Di~dend K T3 0 . IRAACCOUNT g2 B Dis~bufion K T3 1 . NW D V~ lnsl~t NVIT S&P Index Fund None J TC 1 43 2 . I~ Fideli~ VIP Con~fund None K T

3 3 . ~ Dreyf~Growth & Income None J T3 4 . I~DWS Va6able Se~ One None J T


7/11

N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tFINA NCIAL DISCLOSURE REPORT [ Scheindlin, S h i ra A .0 6 / 2 3 / 2 0 1 0age 7 of I 1

HONE ~o reportable income, assets, or transactiom,)

3 5 . Broke~ge Acco~t#l3 6 . Excelsior Directional Hedge Fuad of Funds D lnt.tDiv. M T3 7 . ASTON Nlontag & Caldwell Gff.h FD CL1 A Dividend K T3 8 . Columbia N InterMuni BD FD CL-Z None Sold 4F//09 L3 9 . Columbia DIV. INC FD CLZ B Dividend L T4 0 . Columbia FDS SER TR Valuae and B Dividend M TRestructuring FD CL Z4 1 . Columbia FDS SER TR 1 Select A Dividend L TOpportunities FD CL Z4 2 . Columbia FDS SER TR 1 Select LGE CAP None M TGrth FD CL-Z

I 4 3 . Columbia NY Tax Exempt RES. FD (sweep A Dividend J TAccoun!4 4 . Coltunbia NY Tax Exempt RES. FD (sweep A Distribution J TAccount4 5 . Columbia Small Cap Gth FD None L T B uy 4/8/09 K4 6 . Columbia Small Cap Value FD A Int./Div. L T B uy 4/8/09 K47. Janus lnveest. FD Enterprize* A Dividend K T4 8 . ARfIOlnt. Eq. FD LTD. None Sold 4F//09 K4 9 . Scottrade Acct. #I

5 0 . Barcly B k MSCI India None J T5 1 . MSCI Pacific A Dividend J T


8/11

F I N A N C IA L D IS C L O SU R E R E P O R TPage 8 of 1 1 S c h e in d l in , S h i ~ ~ [ ~ 2 3 1 2 0 1 0

VII. INVESTM EN TS and TRUSTS -~ ...... t~. ~,~o~ a~a,~ ~h~ o/,~ ~ ~ ~ud~: ~, r~. ~0 of ~ti~, ~.~N O N E (~o reportable income, ~se~, or ~a~actior~.)

5 2 . MSCI Sou~Korca A Dividend J T5 3 . MSCI Mexico A Dividend J T5 4 . MSC! Hong Kong A Dividend J T B uy I/5/09(addl)5 5 . FTSE Xinhua China A Dividend J T B uy 1i5/09(addl)5 6 . SPDR Gold Trust A Distribution K T B uy 1/2/095 7 . S P D R G o l d T r u s t A D i s t r i b u t i o n K T B u y 7 / I 5 / 0 9( a d d l )

5 8 . FBR Focus Fund None Sold 8/14/095 9 . Brandywine Blue FD A lnt./Div. J T B uy 1/2/09 J(addl)

6 0 . MSCI Taiwan None Sold I/5/09 J A61 . Harbor BondFund A Int./Div. J T

6 2 . LongLeafPartners Fund A Dividend J T6 3 . Pertin Micro Cap FD None K T6 4 . M & I Marshall and llsley Bank (Scooltrade None J Tsweep account)6 5 . Oakmark Select Fund A Int./Div. J T B uy 7/9/09 J6 6 . Fairholme Fund A IntJDiv. J T B uy 7/13/09 J

6 7 . SPDR Series trust KBW regl. B A IntdDiv. J T B uy 7/13/09 J6 8 . SPDR Series Trust KBW bkETF A lnt./Div. J T B uy 7/13/09 J


9/11

Name of Person Repm~ngFINANCIAL DISCLOSUgE ~PO~TSchcin~. sh~ ~ .

NONE ~o reportable income, ~sets, or ~ansactions.)

6 9 . PIMCO Bmcrging Local Bond fund A Int.~iv. J- T B~ 8/191~7 0 . Brok~ge A ~t. #27 1 . Fgontline L~ A DMdcnd J T7 2 . H~eng PWR A DMd~d J T7 3 . Winds~ A Dividend J T7 4 . M~kw~st A Dividend J T7 5 . Ul~a Fin~cial p~~ None Sold 4/13/097 6 . Boyd Gam~g Co~. None Buy 9/3/09 J7 7 . Boyd G~ing Co~. None Sold 10/7/~ J A78. SPD~ lndcxSllS FDS INT.(IPF-ETF) A int~iv. J B uy 8/24/097 9 . MSC1 Hong Kong ~WH -E~ A Int.~iv. J T Buy 8/31/09 J8 0 . SPDK Index StIS FDS S & P Ch~a (GX C) A Int~iv. l T B uy 1 0 1 1 5 / 0 9 J8 1 . Cla~oreExchange T~ded F~d (TAN) A Int.~iv. J T B uy 8/27/09 J8 2 . M & I M~hall llsley Bank (sweep Acct.) A Int.~iv. J T8 3 . ~* A Dividend Sold 1 1 1 2 / 0 9 J A


10/11

F I N A N C IA L D IS C L O S U R E R E PO R T ~*~ of~n .~po.iog ~ t ~ o ~ R ~ o .Pa~ 1 0 0~" | | Scheindlin, Shlra A . 06/23/2010

V I II. A D D I T IO N A L I N F O R M A T IO N O R E X P L A N A T IO N S . a~ o~ .o l~ ro ~

Part VII 1.43,44,64 and 82. These are just sweep accounts for cash that accum ulates in a brokerage account.Part VII Line 47; On July 6, 2009 Janus Advisor Midcap Growth Fund became Janus Investment Fund EnterprizePart VII Line 83 The sale of IBM noted on line 20 of the 2009 report was canc elled and sold on 1 /12109


11/11

N a m e o f P e r s o n R e p o r t i n g [ D a t e o f R e p o r tP a g e~ " IN A N C I A L 1 1 o f 1 1 D I S C L O S U R E R E P O R T Scheindlin, S h i r a A . [ 0 ~ / 2 3 / 2 0 1 0I X. C E R T IF I C A T I O N .

I certify that all informalion given abov e (including information pertaining to my sp ouse and mino r or dependent children, if any) isaccurate., true, and com plete to the best of my knowledge an d belief, and that any information not reported wa s withheld because it met applicable statutoryprovisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of ~ifts which have been reported are incompliance w ith the provisions ors U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Ju dicial Conference regulations.

Signature

AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) /JEC

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

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

Shira A Scheindlin Financial Disclosure Report for 2009

Documents

Transcript of Shira A Scheindlin Financial Disclosure Report for 2009