Shira A Scheindlin Financial Disclosure Report for 2010

8/3/2019 Shira A Scheindlin Financial Disclosure Report for 2010

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I AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10 Report Req uired by the Ethicsin Go vernm ent Act of . I 978(5 U.S.C. app. 101-111)I. Person Rep ort ing (las t name, f i rs t , middle ini t ia l)

Sch ei n d l i n , Sh i r a A.

4. Tit le (Ar t ic le I I I judges ind icate ac t ive or senior s ta tus ;magistrate judges indicate full- or part- t ime)U.S. Dis t r ict Judge/act ive

7. Chambers or Off ice AddressU S D C - S D N Y5 0 0 P ea r l S t r ee tN e w Y o r k , N . Y . 1 0 0 0 7

2. Cour t o r Organ iza t ionS .D.N .Y .

3. Date of R e p o r t07/15/201

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

R e v i e w i n g O f f i ce r Date

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The in s t r uc t ion s accom pany ing th i s f o rm m us t be f o l low t Complete all parts,checking the NONE box for each par t where you ha ve no repor table in format ion . Sign on las t pag~

I . P O S I T I O N S . ~ R , ~ o m ~ g ~ , a ~ v l a u = t o . tr ; ~ , e p p . 9 - 1 3 of fillng instructionsOD N O N E (No reportablepositions.)

POSITION1. Director2. Director S e d o n a C o n f e r e n c e3.

4.5.

N A M E O F O R G A N I Z A T IO N / E N T I T YJ u s t i ce R eso u r ce Cen t er

I I . A G R E E M E N T S . / R e ~ , o r a , g ~ , a l v i a u o t o , l r t s e t u p . 1 4 - 1 6 of filing instructions.)[~] N O N E (No reportable agreemen ts.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 o f 11

N a m e o f P e r s o n R e p o r t i n gScheindlin, Shira A.

D a t e o f R e p o r t07/15/201 I

I ll . N O N - I N V E S T M E N T I N C O M E . t R , ~ o r ~ i n g i nd i v idual andspouse; see plx 17-2,1 offillng instructlon~)A. Filers Non-Investment Income

D (No reportable income.)ONE non-investmentDATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

I. 2 010 W e s t Se r v ice s , In c . B o o k R o ya ltie s $3 ,859.002. 20 1 0 C a r d o z o L a w S c h o o l T e a c h in g $10,2 00.003.4.

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - t f y o u were married during an.v portion of the reporting year, complete this section.(Dollar amount no t required e . xcept f or honorar ia . )

D (No reportable non-investment income.)O N EDATE

1.1- 12 /2 0102.3.4.

S O U R C E A N D T Y P ESt a t e Un i v er s i ty o f N ew Y o r k

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r ta i n m e n L( I n c l u d e s t h o s e t o s p o u s e a n d d e 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 f i l in g i n s t r u c t io n s . )

D (No reportable reimbursements.)O N ESOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1. S e d o n a C o n f e r e n c e 1/27/10-1/29/10 P ho e n ix , AZ Sp e a ke r T ra v e l, F o o d , Lo d g in g2. S t a n f o rd L a w S c h o o l 1/31/10-2/01/10 P a lo Al to , CA S p e a k e r T r a v e l , F o o d , L o d g i n g3. A F H U L e g a l M i s s io n 3/1 0/1 0-3/1 9/10 T el Av iv , Is ra e l Attendee T r a v e l , F o o d , L o d g i n g4. S e d o n a C o n f e r e n ce 4/7 /10 -4/9/10 P ho e n ix , AZ Sp e a ke r T ra v e l, fo o d , L o d g in g5. N atl A sso c. C rim in a l 5/13/10-5/14/10 T a m p a , F L S p e a k e r T r a v e l , F o o d , L o d g i n gD ef ens e At to r neys6. Amer i can Bar Asso c . 5/26/10-5/27/10 W a shin g to n DC Sp e a ke r T r a v e l , F o o d , L o d g i n g7 . S e d o n a C o n f e r e n c e 9/14/10-9/16/10 W ash i n g t o n DC Sp e a ke r T ra v e l, F o o d L o d g in g


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N a m e o f P e r s o n R e p o r t i n gS c h e i n d l i n , S h i r a A .

D a t e o f R e p o r t07/15/201 I

8. S u p r e m e C o u r t o f D e l a w a r e 10/15/10-10/15/10 W ilm in g to n , D E Sp e a ke r T r ave l , Food9. i e D is c over y 10/19/10-10/20/10 W a shin g to n DC Sp e a ke r T r a v e l , . F o o d , L o d g i n g

1 0 . A C C N a t io n a l 10/25/10-I0/26/10 S a n A n t o n i o , T X Sp e a ke r T ra v e l, F o o d L o d g in gI I . Aspen Ins t i tu te 1 0/5 /10 -10 /7 /1 0 Q uee n s to wn , M D Attendee T r a v e l , F o o d , L o d g i n g1 2 . G eor ge tow n U nive r s t iy 10/17110-10/19/10 A rlin g to n , V A Sp e a ke r T r a v e l , F o o d , L o d g i n g1 3 . T h o m s o n R e u l e r s 11/30/10-12/2110 Sa n F ra n cisco , C A Sp e a ke r T r a v e l , F o o d , L o d g i n g1 4 . Pr ac t i c in g Law In s t i tu t e 12/02/10-12/03/10 Sa n F ra n cisco , C A Sp e a ke r T r a v e l , F o o d , L o d g i n g


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Name of Person ReportingF I N A N C I A L DISCLOSURE REPORT I Scheindlin, Shlra A .Page 4 of 11

V . G I F T S . (Includes those to sp ..... d dependent children; see pp. 28-.71 of fillng instructions.)N O N E (No repo rtable gifts.)

SOURCE DESCR|PTIONI.2.3.4.5.

D a t e o f R e p o r ~07/15/201

VALUE

V I . L I A B I L I T I E S . ( i n c t . d ~ t h o s e o f s p o u s e u . d dependen t ch i ldren; see pp . 3 2 - 3 3 of filing instructionx)N O N E ( N o reporta ble l iabil i t ies . )

C R E D I T O R DESCRIPTION1.2.3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 5 of 11

N a m e o f P e r s o n R e p o r t in gScheindlin , Shira A.

D a t e o f R e p o r t07/15/201 I

VII. INVESTMENTS and TRUSTS - i ........ lue, t ransact ions (Includes those of spouse and dependent chi ldren; seepp. 34-60 of f i l ing ins truct ions~)D (No repor tab le incom e , as se t s , o rONE t ransact ions. )

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( in c lu d in g tru s t a s s e ts ) re p o r t in g p e rio d

(i) (2)P l a c e " ( X )~ a f t e r e a c h ass e t Amount T y p e ( e . g . ,

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d i v . , rent ,I ( A - H ) or in t .)

1. Rental Property # 1, Kings County, NY F R e n t2. IRA #1 B Dividend3. IRA Sentinal Cap G rowth Fund Class A None4. IRA Sentinel M idCap G row th Class A None5. IRA Sentinel lntl Equity Class A None6. IRA Sentinel Small Compan y A None7. IRA Sentinel Commo n Stock Class A None8. IRA Sentinel G ovt. Secur ities Class A None9. IRA Sentinel Conservation Strategies Fund. NoneClass A*1 0 . Teachers Insurance Annuity Association G I n t e r e s t1 1 . College Retirement Equities Fund None1 2 . Supplemental andGroup Retirement D I n t e r e s tA n u i t i e s1 3 . AXA Financial A Int./Div.1 4 . Vanguard Int l MutualFund A Dividend1 5 . P f i z e r B Dividend1 6 . Brook lyn Federal S&L A I n t e r e s t1 7 . Brook lyn Federal S&L A I n t e r e s t

Gro ss v a lu e a t e n do f r e p o r t i n g p e r i o d( t ) ( 2 )

V a l u e Va lu eC o d e 2 M e t h o d

( J - P ) C o d e 3

PI WM TK T

K T

K TK TK T

K TK TPI TPl TN TJ TJ TL TJ TJ T

(t )T y p e ( e . g . ,b u y , s e l l ,

r e d e m p t i o n )

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 p e r i o d

(2) (3) (4) (5 )D a t e V a l u e G a i n I d e n t i t y o f

m m / d d , ~ , y C ode 2 C ode I buyer /se l l e r( J - P ) (A-H) ( i f p r i v a t e

t r a n s a c t i o n )

So l d 06/09/10 J(part)

I . I n co m e G a i n C o d es : A =$1,000 or less B = $1.001 - $2 .50~ C = $2.501 - $5.000 D =$5.0OI - $15.0~O( See C o l u m n s B l an d D4) F =$50,001 - $109,000 G =$100,0~ I - $ 1 .000.000 I I 1 = $ 1 . 0 00 .0 01 - $ 5 , 0 ~O . 0 00 1 12 = M o r e t h a n $5,00~.00~

2 . V a l u e C o d ~ J =$15.000 o~" l~s K =$15.001 - $50.000 L =$50.0OI - $100.0(X) M =$10~.001 - $250.000( Sc c C o l u m n s C I an d D3) N = $ 2 5 0 . 0 0 1 - $ 5 0 ~ , 0 ( }O O =$ 50 0.0 OI - $ 1.0 OO .0 0~ P I = $1 ,0 00 .0 01 - $ 5.0 00 ,0 00 P 2 = $ 5 , 0 0 0 , 0 0 1 - $ 2 5 , 0 0 0 . 0 O O

P3 =$25.000.0OI - $50.0~O.000 P4 =More than $50.0~).0003 . Va l u e M e t h o d Co d e s Q =Appraisal R ~So s t ( Rea l E s t a t e On l y) S = Assc ssm em T = C ash Mar ke t( S~e C o l u m n C 2 ) U = B o o k Va l u e V =O~hcr W = Es t i ma t e d

E = $ 1 5 . 0 0 1 - $ 5 0 , 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 6 of I 1


D a t e o f R e p o r ~07/15/701 I

V l l . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)D (No reportable assets , orONE income, transactions.)

A. B. C. D.Descript ion of Assets Inco m e du ring G ro ss v a lu e a t en d T ran saction s du ring r~ortin g pe rio d

(including trust assets) r e po rt i n g p e r i o d o f r e p o rt i n g p er i o d(I) (2) (I) (2) (I ) (2) (3) (4)

P l a c e " ( X ) " a t ~ e r e a c h a s s e t I A m o u n t T y p e ( e . g ., V a lue V a lue T y p e ( e . g ., D a t e V a l u e G ainexempt from prior disclosure C o d e I d i v . , r e n t , C o d e 2 M e t ho d b u y, se ll , m m !dd/yy C ode 2 C ode I(A-H) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A -H)

( Q - W )

1 8 . C h a s e M a n h a t ta n B a n k A In teres t J T

1 9 . C h a s e M a n h a t ta n B a n k A In teres t J T

20 . C h a s e M a n h a t ta n B a n k A In teres t K T

21 . C h a s e M a n h a t ta n B a n k A In teres t M T22 . C h a s e M a n h a t ta n B a n k A In teres t K T

23 . C h a s e M a n h a t ta n B a n k A In teres t K T

24 . N Y S Lo ca l G o v t A s s i s t . C o r p . S e r i e s C A In teres t K T25 . N Y S Lo ca l G o v t A s s i s t . C o r p . S e r i e s C A In teres t K T S o l d 04/01/10 J(par t )26 . F i d e l i t y A d v a n t a g e S ma l l C a p . B Di v i d e n d K T27 . F i d e l i t y A d v a n t a g e M i d C a p N o n e K T28 . I R A Ac c o u n t # 2

29 . N W D V a t I n s T r u st N V I T S & P I n d e x F u n d N o n e S o l d 06/08/10 JCl4

30 . I R A F i d e l i t y V I P C o n t r a f u n d N o n e S o l d 06/08/I0 K

31 . I R A D r e y f u s G r o w th & I n c o m e N o n e S o l d 06/08/10 J

32 . I R A D W S V a r i a b l e S e r i e s O n e N o n e S o l d 06/08/10 J

33 . B r o k e r ag e Ac c o u n t # I

34 . E x ce l s i o r Di r e c t i o n a l H e d g e F u n d o f F u n d s B Int./Div. M T

( 5 )I d e n t i t y o f

b u y e r / s e l l e r( i f p r i v a t e

t r a n sa c t io n )

1 . I n co me G a i n Co d e s : A -$1.000 or less B =$1.001 - $2.500 C =52.501 - $5,000 D =$5.001 - $15.000( Se e C o lu m ns B I an d I) 4 ) F =5 50 .0 01 - $ 100 .0 00 G =$ 10 0.0 01 - 5 1.0 00 .0 00 I I I =$ 1.0 00 .0 01 - $ 5.0 00 .0 00 I 12 = More than $5.000.000

2. Va l u e Co d e s J =$15. (gg) o less K =$I 5.001 - $50.000 L = $50.001 - 5 I00.000 M =5100.001 - $250.000{Sc e C o l u m n s C I an d D3) N =$2 50.001 - $500.000 O =$500.001 - $1.000.000 PI = $1.000.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

P 3 ~ $ 2 5 . 0 0 0 . 0 0 1 . $ 5 0 . 0 ( ~ O . 0 0 0 P4 =Mo re than $50.000.0003. V a lu e M clho d C o d e s Q = A p w a isa l R = C o s l (R e a l Es t a te O n l y ) S = A s s e s s me n t T =:Cash Markcl

( See C o l u m n C 2 ) U -Bo o k V a l u e V =O~her W = Es t i ma t e d

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 7 o f 1 1


D a t e o f R e p o r t07/15/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o ,.e , . . i . e , , r . .s o c t l o ~ , a . c l .d ~ , h o s t o / s ~ , o . s e o . ~ , t ,~ e . Z e . t children; see p p . 3 4 - 6 0 of filing i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p t io n o f A s s e t s I n c o m e d u r in 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 re p o r t i n g pe r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o rt i n g p e r i o d o f r e p o rt i n g p e r i o d

[ (I) (2) (I) (2) (I) (2) (3) (4) ( 5 )P l a c e " ( X ) " a f t e r e a c h a s s e t I A m o u nt T y p e ( e . g . , V a l u e Value T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u r e I C o d e I d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , m m / d d ~ y y C o d e 2 C o d e I b u y e r / s e l l e ri ( A-H) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e! ( Q - W ) t r a n s a c t i o n )

35 . A S T O N M o n t a g & C a ld w e l l G r t h F D C L I A Di v i d en d K T36 . C o l u m b i a D I V . I N C F D C L Z B Di v i d en d L T37 . C o l u m b i a F D S S S R T R V a l u e a n d

Res t r uc tu r ing FD CL Z38 . C o l u m b i a F D S S E R T R I S e l e c tO pp or tun i t ie s FD CL Z39 . C o l u m b i a F D S S E R T R 1 S e l e c t L G E C A PG r lh FD CL Z40 . C o l u m b i a N Y T a x E x e m p t R E S , F D ( sw e e pac c ount )41 . C o l u m b i a N Y T a x E x e m p t R E S , F D ( s w e e pac c ount )42 . B O F A N Y T a x E x e m p t R e s . T r . C l . ( in c .inv.)*43 . B O F A N Y T a x E x e m p t R e s e r v e s T ru s tC la s s *44 . C o l u m b i a S m a l l C a p G r t h FD45 . C o l u m b i a S m a l l C a p V a l u e F D46 . J an u s l n v es t . F DEn t er p r i ze47 . ART IO In t . E q . Fd48 . Laz ar d Fd. Inc . E m er g . M k ts .49 . T h o m b u r g I n t . V a lu e F d .50 . C o l u m b i a N Y l n l e r M u n i B D F d C L - Z *51 . Scottrade Acct. #1

B Di v i d en d M T So l d 03/03/10(part)

A Di v i d en d L TN o n e M T

A Div id e n d M e rg e d 05/01/1 0(wi th l ine 42)A Distrib u tio n M erg ed 05/01/10(wi th l ine 43)A D ividend J T O p e n 05/01/10A Distr ibution J T O p e n 05/01/10

N o n e L T

K

J

J

J

J

A Int./Div. L TA D ividend L T

N o n e So l d 03/02/10 KA D i v i d e n d K T B u y 03/03/10 K

A Di v i d en d K T Bu y 03/03/10 KInt./Div. N T So l d 06/03/10 J(part) A

I . I n co m e G a i n C o d es : A = $1.000 or less B = $1,001 - $2 .500 C = $2.501 - $5,000 D = $5,001 - $15,000( S e e C o l u m n s B I a n d IM ) F =$50.001 - $100,000 G =$I00.001 - $1,000,000 III = $1 ,0 00 ,0 01 - $ 5, 00 0. 00 0 t l2 =M o r e t ha n $ 5. 00 0. 00 0

2. Va l u e Co d e s J =$15.O00 or less K =$15.0OI - $50.000 L =$50.0O I - $100.000 M =$100.001 - $250.0 O( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $ 500.0~O O = $500.001 - $1.000.000 P I =$ 1. 00 0. 00 1 - $5 ,0 00 ,0 00 P 2 =$ 5.0 00 ,0 01 - $ 25 ,0 00 .0 00

P3 =$25.000.001 - $50.000.000 P4 =M ore than $50.000.0(X)3 . Va l u e M cl h o d Co d e s Q =Appraisal R = Co s t ( R e a l Es ta t e O ~ ly ) S =Asscsamcnl T =Cash Mark~( See C o l u m n C 2 ) U = Bo o k V a l u e V -O~h er W = Es l i ma l e d

E ~$15,091 - $50.000


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D a l e o f R e p o r t07/15/2011

V II. INVESTM ENTS an d TRUSTS -D (No repor table asse ts , orONE i n c o m e , t ransact ions. )

A. B. D.Descript ion of Assets Inco m e du ring T ransactions during reporling pe riod

(including trust assets) r epor t i ng per iod(1) (2)

! A m o u n t T y p e ( e . g .,C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

52. Barely B k M SCi India None

53. MSCI Pacific A Dividend54. M S C I S o u t h K o r e a A Dividend55. M SC! M ex ic o A Dividend56. M SCI H on g K on g A Dividend57. FTSEXinhuaChina A Dividend58 . SPDRG o l d Tr ust None

59 . Brandy wine Blue FD A Int./Div.6 0. H arb or B on d Fun d A Int./Div.61 . Long Leaf Partners Fund A Dividend62 . Perritt MicroCapFD None63 . M & l Marshal l and l ls ley Bank (Scottrade A Dividendsweep account)6 4. Sc ot tr a de Sw e e p US B an k NA A Dividend65. OakmarkSelect Fund A lnt./Div.66 . F a i rh o l m e F u n d A Int./Div.67 . SPDR Series trust K BW regl. B A Int./Div.68. SPDR Ser ie s Tr ust KBW bkETF A Int./Div.

G r o s s v a l u e a t en do f r e p o r t in g I x - r io dO) (2)

V a l u e V a l u eC o d e 2 M e th o d

( J - P ) C o d e 3

K TJ TJ TJ TJ TJ T

K TK TJ TJ TK T

J TJ T

J TJ T

J T

(I) (2) (3) (4) (5 )T y p e ( e . g ., D a t e V a l u e G ain I d e n t i t y o fbuy, se l l , m m ! d d h y y C ode 2 C o de I b u ye r/se lle r

r e d e m p t i o n ) ( J - P ) ( A -H) ( i f p r i v a t et r a n s a c t i o n )

M e r g e d 05/01/10 J(wi th l ine 64)Open 05/01/10 J

I. In com e G a in C od e s: A -$ 1.000 or le ss B =$ 1,001 - $2.500 C = $2,501 - $5,0~0 D =$5,001 - $15,000( Se e C o lu m ns B 1 an d I )4 ) F =$ 50 ,0 01 - $ 10 0,0 00 G =$ 10 0.0 01 - $ 1.0 00 .0 00 I I I = $ 1 .0 00 ,0 01 - $5 .0 00 .0 00 112 =More than $5.000.000

2. Va l u e Co d e s J = $15.000 o r le s s K =$15.1)01 - $50.000 L = $50,001 - $100.00~ M = $100.001 - $250.000( , ~- e C o l u m r ~ C I a n d D3 ) N =$250.001 - $500.000 O =$500,001 - $1.000.0~0 P I = $1,000,001 - $5.000.000 P2 =$5.000,001 - $25.000.000P 3 = $25,000.001 - $50.00).000 P 4 = M o re Iha n $50.00~.000

3. V a lu e M e tho d C o d e s Q = App raisal R = C o s l (R e a l Es t a te O n l y ) S = A s s c s sn ~ . ~ n t T = C ~ h M a r k e t(S~e Co l u mn C2) U = B o o k Va l u e V = Ol h e r W = Es l i ma t e d

E = $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0


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Date o f Repor t07/15/201 I

V I I . IN V E S T M E N T S a n d T R U S T S - ~ , c o m ,. va ~ ,, . ~,a,,,ctlo.s a, ct,des thos, o/spo,s, ~,d d,p,,d,,, chiUr,,~ s,, ~e. 34 -~0 of fillng instructions.)D (No reportable income, assets, orO N E transactions.)

A. B. C. D.Descript ion of Assets Incom e durin g G ro ss va lu e at end Tr ans ac t ions dur ing r epor t i ng per iod

(including trust assets) r epor t i ng per iod o f r e p o r t i n g p e r i o d(I) (2 ) (I) (2) (I) (2) (3) (4) (5 )

P lace "(X)" af ter e ach as s et Am o un t T y p e ( e . g ., V a lu e V a lue T y p e ( e . g ., D a t e V a l u e G ain I d e n t i t y o fexempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d buy, se l l , m ndd d/yy C ode 2 C ode I buyer /se l l e r(A-H) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a l e

( Q - W ) t r a n s a c t i o n )

69 . P I M C O E m e r g i n g L o c a l B o n d fu n d A Int./Div. J T70 . M & I m ar s ha l l l l s l ey B ank ( s w eep Ac c l ) A Int./Div. J T71 . B r ok er age A c c t . #272 . Fr ont l ine LT D A Di v i d en d S old 10/06/10 J73 . H u a n e n g P W R A Di v i d en d J T

:74 . W i n d s t r e a m A Di v i d en d J T75 . Ma rkw e s t A Di v i d en d J T76 . S P D R I n d e x S H S F D S I N T ( I P F - E T F ) A Int./Div. J T77 . M S C I H o n g K o n g ( E W H - E T F) A Int./Div. J T78 . S P D R I n d e x S H S F D S S & P C h i n a ( G X C ) A lnt. /Div. J T79 . C l a y m o r e E x c h a n g e T r a d e d F u n d ( T A N ) A Int./Div. J T80 . F A I R . X A lnt. /Div. J T Bu y !10/12/10 J81 . U S B ank NA ( s w eep ac c t ) A lnt. /Div. J T

! 8 2 .83 .

I . I n co m e G a i n C o d es : A = $1,000 o r less B = $1,001 - $2.500 C = $2 ,501 - $5,000( S e e C o l u m n s B I a n d I M ) F =$50.001 - $100,009 G =$100.001 - $1,000.00~ III =$1.000.001 - $5,000.000

2 . V a l u e C o d ~ J =$15.000 o le~s K = $15.001 - $50.000 L = $50.001 - $100.000I S c c C o l u m r a C I a n d D 3 ) N =$2 50,001 - $500.000 O =$500,001 - $1,000.00~ PI = $1.000,001 - $5.000.000

P3 =$25.000,001 - $50.000.0~1 P4 =More than $50.0~.0003 . Va l u e M cl h o d Co d e s Q =Appraisal R =C os t (R ea l E sta te On ly) S =As scs sm cmI See C o l u m n C 2 ) U =l:k~k Value V = O l h cr W = Es t i ma t e d

D = $ 5 , 0 0 1 - $ 1 5 . 0 0 011 2 =Mo re t i t an $5 . 1 )00 . 1300M = $ 1 0 ~ . 0 0 1 - $ 2 5 0 . 0 0 0P 2 = $ 5 . 0 0 0 .0 0 1 - $ 2 5 . 0 0 0 . 0 0 0T = ~ h M a r k c ~

E =$15.001 - $50.000


10/11


Name of Person R epor t i ngScheindlin, Shira A.

Date of Report07/15/2011

V I II . A DD IT I O N A L I N F O R M A T I O N O R E X P L A N A T IO N S . (Indicate part of report)P a r t V I I L i n e 4 0 , 4 1 & 8 1 . T h e s e a r e j u s t s w e e p a c c o u n t s f o r c a s h t h a t a c c u m u l a t e s i n a b r o k e r a g e a c c o u n t .P a r t V I I L i n e 4 2 & 4 3 O n M a y I , 2 0 1 0 C o l u m b i a N Y T a x E x e m p t F u n d b e c a m e B O F A N Y T a x E x e m p t R e s . T r . C I .P a r t V I I L i n e 5 0 I n m y J u n e 2 3 , 2 0 0 9 r e p o r t a t li n e 6 7 , I r e p o r te d a b u y o n O c t o b e r 2 0 , 2 00 8 , o f C o l u m b i a N Y I n t e r M u n i B d F d C L Z a n d n o t e d t ha t a tt h e e n d o f t h e r e p o r t i n g p e r i o d th e w a s v a lu e c o d e N . I n m y J u n e 2 3 , 2 0 1 0 r e p o r t a t l i n e 3 8 I r e p o r t e d a s a l e d a t e d A p r i l 7 , 2 0 0 9 , o f C o l u m b i aN Y In t er M u n i Bd . F d . CI Z o f v a l u e co d e L an d f u r t h er r ep o r t ed t h a t t h e i n v es t men t h ad n o v a l u e a t t h e en d o f t h e r ep o r t i n g p er i o d . Th at was an e r r o r . In f ac t, t h eA p r i l 7 , 2 0 0 9 s a le w a s a p a r t i a l s a l e a n d th e v a l u e o f t he i n v e s tm e n t a t th e e n d o f t h e 2 0 0 9 re p o r t i n g p e r io d s h o u l d h a v e b e e n v a l u e N .


11/11

FINANCIAL DISCLOSURE REPORTPage 11 ofll

N a m e o f P e r s o n R e p o r t in gS c h e i n d l i n , S h i r a A .

Date o f Repor t07/15/201 I

IX . CERTIFICATION.I c e r ti f y th a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i ld r e n , i f a n y ) i s

a c c u r a t e , t r u e , a n d c o m p l e t e t o th e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i ca b l e s t a t u t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c lo s u r e .I f u r t he r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i nc om pl i a nc e w i t h t h e p r ov i s i ons o f 5 U . S . C . a pp . 5 0 1 e t . s e q . , 5 U .S . C . 7 3 5 3 , a nd Ju d i c i a l C onf e r e nc e r e gu l a t i ons .

Signature: S/Shira A. Scheindlin

N O T E : A N Y I N D IV I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B JE C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S . C . a p p . 1 0 4)

Committee o n Financial DisclosureAdministrative Office of the United States CourtsS u i t e 2 - 3 0 1One Columb us Circle, N.E.W ashington , D.C. 20544

Shira A Scheindlin Financial Disclosure Report for 2010

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