Thomas C Platt Financial Disclosure Report for 2010

8/3/2019 Thomas C Platt Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR Y EAR 2010Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1 . Person Repor ting ( las t name, f ir s t , middle init ial) 2. Court or O r ganiza t ion 3. Date of R e p o r tP L A T T , T H O M A S C . E A S T E R N D I S T R IC T O F N E W Y O R K 04/25/2011

4. T i t le (Art icle II l judges ind ica te act ive o r sen io r s t a t u s ;magis t ra te judges indicate fu l l - or par t - t ime)

U . S . D IS T R I C T J U D G E ( S E N I O R )

7 . C h a m b e r s o r O f f i c e A d d r e s sU . S . D IS T R I C T C O U R TP .O . BO X 9 014C E N T R A L I S L I P , N E W Y O R K 1 1 7 2 2

5a . Report Type (check appropria te type )] Nomina t ion , D a t e[] Initial [] Annual5b. 1---] A m e n d e d R e p o r t

] Final

6. Report ing Pe riod01/01/2010

to12/31/7010

8 . O n t h e b a s i s o f t h e in f o r m a t i o n c o n t a i n e d i n th i s R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g th e r c t % i t i s ~ i n m y o p l n i o n ~ i n c o m p l i a l ~ c ew i t h a p p l i c a b l e l a w s a n d regulaffons.R e vi e w i n g O f f i c er Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I. P O S I T I O N S . (Report ing individual only; seepp. 9-13 of fi ling instruct ions.)[~] N O N E ( N o reportable positions.)

1 . Trus t e e2.3.

4.5.

POSITION NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . r R e v o r t in g individual only; seepp. 14-16 of f!ling instructions.)~] N O N E ( N o reportable agreements.)

D A T E _ P A R T I ES A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 o f 8

N a m e o f P e r s o n R e p o r t in gPLATT, THOM AS C.

D a t e o f R e p o r t04/25/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investme nt Incom e~-] (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE INCOME(your s, not spouses)1.04/16/10 Trustee (Commissions -~ $8,994.002.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - l f you were married during an yportion o f the report ing year, complete this sect ion.(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non -investment income.)DATE SOURCE AND TYPE

1 .2.3.

4.

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e n ~( I n c lu 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 ; see pp. 25-27 o filling i n s t r u c t i o n s . )

D N O N E ( N o reportable reimbursements.)

2.3.4.5.

SOURCE DATES LOCATION PURPOSEE m p lo y m e n t L a w S e m i na r M a r ch 1 6 , 2 0 1 0 N Y C C o n f e r e n c e

ITEMS PAID OR PROVIDEDH , T , F , L


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N a m e o f Pe r son R e por t ingP L A T T , TH O M A S C .

Date of Repor t04 /25 /2011

V . G I F T S . a n d u d c s t h o s e to s p o u s e a n d d e p e n d e n , children; s e e p p . 2 8 - 3 1 of filing instructions.)~ N O N E ( N o reportable gifts .)

SOURCE DESCRIPTION1 .2.3.4.5.

V A L U E

V I . L I A B I L I T IE S . (Includes those of spouse and dependent children; see pp. 32-33 of f!ling instructions.)N O N E (No reportable liabilities.)

C R E D IT O R D E S C R IP T IO N1 .2.3.4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t in gP L A T T , T H O M A S C .

Date of Report04/25/2011

V II. INV ESTM ENTS an d TRUSTS -~ . .. ., v . t . e , , . . .. .c a o . s a . d . , ~ s t h o s e o S~] NONE(No reportable income, assets, or transactions.)D e s c r ip t i o n o f A s s e ts( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" alter each assetexempt f rom pr ior d isc losure

B : C. : D.Income dur ing Gross va lue a t end Transactions during ~epo~ting period

repo rting p eriod o rep ortin g.p erio d(1.) (2) (1 ) (2) O)V alue V alue T y p e ( e . g ., Date : ValueC o d e 2 M e t h o d buy, sell, m m / d d iy y C o d e 2

( J - P) C o d e 3 r e d e m p t i o n ) ( J - P )( Q - W )

1 . A l l st a te C o r p . C o m m o n A D i v i d e n d K T2. S t a n l e y , B l a c k & D e c k e r C o m m o n ( n a m e A D i v i d e n d K T" S t a n l e y" a d d e d )3. C a n a d i a n P a c i f i c (L t d . ) C o m m o n A D iv id en d K T4. C e n o v u s E n e r g y , I n c . B D i v i d e n d L T5. Conoco P h i l i ps D D i v i d e n d M T6. D irect T V G ro up In c. N o n e J T7. D i s c o v e r F i n a n c i a l S e r v i c e s A D i v i d e n d J T8. D u p o n t d e N e m o u r s C o m m o n A D i v i d e n d K T9. E 1 P a s o C o r p . C o m m o n A D iv id en d K T

1 0 . E n c a n a C o r p . C o m m o n B D i v i d e n d L T1 I . E x x o n M o b i l C o m m o n E D i v i d e n d P1 T1 2 . G e n e r a l E l e c tr i c C o m m o n E D i v i d e n d O T1 3 . H a l l i b u r t o n C o . C o m m o n D D i v i d e n d PI T1 4 . H a r t f o rd F i n . S e r v . G ro u p C o m m o n A D i v i d e n d J T1 5 . Host Ho t e l s & Re so r t s A D i v i d e n d J T1 6 . I B M C o m m o n C D i v i d e n d M T1 7 . I n t e rn a t i o n a l P a p e r C o . C o m m o n A D i v i d e n d K T

~ 1 ) : (2 )A m o u n t Type (e .g .C o d e l d i v . , r c n t ~( A - H ) o r i m . ~

(4 ) (5 )

(A-H) (if privatetransaction)

L income Gain C odes : A =$1,000 or less(S ee Co lu mn s B 1 a nd D4 ) F = $5 0,0 01 - $ 10 0,0 00

2 . Value C odes J =$15,000 or less( S ee C olunms C I and D3) N =$250,001 - $500,000

P3 =$25,000,001 - $50,000,0003 . Value Meth od C odes Q =A p p r a i sa l(S e e C o lun m C 2) U = B oo k V alue

13 =$1;001 - $ 2 ; 5 0 0 C =$2,501 - $5,000 D =.$5,001 -$15,000 E =$15,001 - $50,000G - - $ 1 0 0 , 0 0 i ~ $ 1 , 0 0 0 , 0 00 H 1 - - $ 1 , 0 0 0 ~ 0 0 i ~ $ 5 ; 0 0 0 ; 0 0 0 H 2 = M o r e t h a n $ 5 0 0 0 0 0 0 . . . .. . . .K = ~ 5 , o o ~ . $ 5 0 , 0 0 0 L = $ ~ o o o ~ = $ i 0 ~ ; 00 0 M = $ 1 0 0 , 0 0 1 - $ 2 5 0 ~ 0 0 0o ~ $ 5 o o , o o l - $ ~ ; o o o , o o o P 1 ~ $ 1 ; o o o o o l ~ $ ~ ; o o o o o o n = $ 5 , o o 0 ~ o o l

P4 =More than $50,000,000R = C os t ( R eal Es t a t e O nly ) S = As s es s ment T - - C as h Mar k etV = O t h e r W = Es t imated


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FINANCIAL DISCLOSURE REPORTPage 5 of 8

N a m e o f P e r s o n R e p o r t in gP L A T T , TH O M A S C .

D a t e o f R e p o r t04/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a lu e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~] (No reportable income, orO N E assets, transactions.)

1 8 . ITT Indus t r i e s Common A D iv id en d J T1 9 . M o r g a n S t a n le y C o m m o n A D i v i d e n d K T20 . N e w s C o rp . L td . P re fe r red N o n e J T21 . P e p s i c o C o m m o n C D i v i d e n d M T22 . P r o g r e s s E n e r g y C o m m o n A D iv id en d J T23 . S e a r s H o l d i n g N o n e J T24 . S t a r w o o d H o t e ls C o m m o n A D i v i d e n d J T25 . S u n T r u s t C o m m o n A D iv id en d J T26 . Y u m B r a n d s C o m m o n A D i v i d e n d K T

27 . U B S ( P a i n e W e b b e r ) C a s h F u n d B Int . /Div. PI T28 . C h a s e B a n k A Interest J T29 . U S S e r i e s H B o n d s B Interest L T30 . IRAs - Chas e B Interest J T31 . ********32 . Trustee - Trust~ F D i v i d e n d P1 T33 . Direc t TV Group Inc .

Redeemed 04/20/10 K( p a r t )

34 . D u P o n t D e N e m o u r s

1. I ncome Gain C 0d~s :( S e e C o l u m n s B I a n d D 4 )

2.Value C odes(Se e Co lumn s Cf a n d D3)

3.V a l u e Melhod Codes( S e e C o l u m n C 2 )

A ~$i;000 ~ i~ B =$1,00t ~ $2,500F = $ 5 o , o o l- $ 1 o 0 ; o 0 o G = $ 1 o o , 0 0 1 - $ 1 , 0 0 0 ,0 o 0J =$15,000 or less K =$15,001 - $50~000N =$250,001 - $500,000 O =$500,001 - $ 1 ,000;000P3 =$25,000,001 - $50,000,000Q =A p p r a i sa l R = C os t ( R eal Es t a t e O nly )U = Book Value V = O t h e r

C = $2,501 - $ 5,000 D =$ 5,001 - $15 ,000 E = $15,001 - $50 ,000H I - - $ ; 0 0 0 , 0 0 1 = $ 5 000 000 H 2 = M r r e l t h a n $ 5 i 00 0 0 0 0 i :L = $ 5 0 i 0 0 1 - $ 1 0 0 i 0 0 0 : M - - $ 1 0 0~ 0 0 1 ~ $ 2 5 0 ~ 0 0 0el =$i~000,00i:: $~;0661~66 P ~ : ~ $ ~ I ~ 0 0 ; 0 0 1 ! : $ 2 5 0 0 6 1 0 0 0 :P4 =More thah $50 000i060S = As s es s ment Y : ~ C a ~ h ~ r k e tw = E s t im a t e d


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FINANCIAL DISCLOSURE REPORTPage 6 of 8 Ia m e o f P e r s o n R e p o r t i n gPLATT, THOM AS C. Date of Report04/25/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t a c , t r a n s a c t i o n s (Includes those of s p o u s e a n d dependen t c h i l d r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)N ON E (N o reportable income, assets, or transactions.)

35 . E x x o n M o b i l C o r p .36 . G en l Elec t r ic Co37. Int l Pap er Co38 . Ne w s Corp . Lt d .39 . Pepco H oldings, Inc.4 0. Ra y th eo n Co CL A41 . Xcel Energy Inc. (formerly Nthn StatesPower Minn)42 . UB S (Pa ine Webbe r ) RMA- Gov t Cash Fu nd43 . U.S. Treasury Note

44 .45 .

i ncome O ai~ C b d~s : A=$i 000 0r tess ; B = $ i o o l ~ $ ~ i ~ 0 0 c =$2;:501 -$5,000 : D = $ 5 , 0 0 1 - $ 1 5 , 0 0 0 . E = $ 15 ,001 - $ 50 ,000~S~ ~;IU~ B i ~d F :$501001 i ~ i~0~0O0 : ~i ~*l ~0 00i ~ ~000,000 =More ~an ~51000;000 ......

2 . Va lue C o d es J = $15,000 or less K =$15~ 00~ . $50,000 L =$50~ 001 ~ $ 00 000 M = $ i00 ;0012 $ 250 000(See C o l u m s C I a n d D 3 ) N =$250,001 - $500,000 O =$ 500~ 001 - $ 1 000 000 P I = $i 000~ 001: $ 5~ 000;000 :~ ~$ 51000 ,001 $ 25 ,000 000

P3 =$25,000,001- $50,000,000 P4 =More th~a $50,000~000 :3 . Vatue Meth od C odes Q =A p p r a i sal R = C 0s i ( R eal Es t a t e O nty ) S = As s ~s s men( T ~ C a S h M a r k e t(See C o l u m C 2 ) U = Book Value V = O t h e r W = Es t imated


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N a m e o f P e r s o n R e p o r t in gP L A T T , TH O M A S C .

Date of Report04/25/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a.dicotepart of report.)With re fe rence t o P a r t s I , I I I and V II ( l i nes 32-43) , th i s Trus t was t e rmina t ed on N ovem ber 17 , 2010. The ba l ance of t he a s s e t s were d i s t r i bu t ed on M arch 31 ,2 0 1 1 . T h e T r u s t n e e d n o t b e r e p o r t e d a g a i n .V I I : In v e s t m e n t s a n d T r u s t s : L i n e s 3 2 - 4 3 : A c o u p l e o f y e a r s a g o , C o m m i t te e r e p a g r e e d w i t h m e , t r u s t a ss e t s n e e d o n l y b e d i s c l o s e d - n o f u r t h e r d e t a il s r e q u ir e d .


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N a m e o f P e r so n R e p o r t in gP L A T T , T H O M A S C .

Date of Repor t04/25/2011

IX. CERT IFICATION.I c e r t i f y t h 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 l d r e n , i f a n y ) i sa c c u r a t e , t r u e , a n d c o m p l e t e t o t h 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 l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r y

p r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h e r c e r t i f 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 t s 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 o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature:S/THOM AS C. PLATT

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 I F IE S O R F A I 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 J E 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 on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Thomas C Platt Financial Disclosure Report for 2010

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