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4 o 1 o [ FINANCIAL DISCLOSURE R EPORT R e ~ o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978
mow [ FOR CALENDAR YEAR 2009 ( 5 U . S .C . a p p . . § I O I - I /l )
1. P e r s o n R e p o r t in g ( l a st n a . m ~ , f i r s t , m i d d l e i n i t i a l ) 2. Court or Organizat ion 3 . D a t e o f R e p o r t
Seibcl, Cathy U.S. Dis tr ict Cour t - -S.D.N.Y. 05/06/2010
4 . T i t le (Ar t ic le 111 judges ind ica te a c t ive o r sen io r s ta tu s ; i So. Repor t Type (check appropr i a t e type) 6 . Repo r t i ng Pe r i odmag i s t r a t e . i u d g e s i n d i c a t e f u l l - o r p a r t t ime )
[] Nomination, Da te 0 1 10 1 /2 0 0 9
District Judge- active [] Initial [] Annual [] Final to
12/ ’ 31/ 2009
5b. [] Amcndnd Report
7. C hambe r s or Off ice Address 8 . On t h e b a s i s o f t h e i n fo rma t i on c on t a i ned i n t h i s Repo r t a nd a nymod i f i c a t i on s pe r t a i n i ng t h e r e t o , i t i s , i n my op i n i o n , I n c ompl i anc e
Charles L. Brieant U.S, Cour tho use v, i th appl i cable l a’ z , s and regul a t i ons .
300 Q uarropas St. . Rm. 275W hite Plains. NY 10601
Rev i ewi ng Off ic e r Da te
I M P O R T A N T N O T E S : T h e instructions accompanying thls form must be followed. Complete airports,
checking the NONE box fi~r each part where you have no reportable information. Sign on last page.
I . P O S I T I O N S . r n o ~ o r , i ~ ~ . a i , ,~ . . lo ~ f y : s o e ~ e . 9 - . o / a t i. ~ , instructions.)
~ N O N E (No reportable positions.)
POSITION NAM E OF ORGANIZATION/ENTITY
1. Secretary Hastings-on-I tudson PTSA
board member Fordham Law Alumni Association
3 . Lectu r er- in -Law (pa n -t im e t r i a l pra c tice in s tr u c to r) Co lu m bia Un ivers ity Scho o l o f Law
~ NONE ~o reportable agreements.)
DATE PARTIES AND TE~S
I. 2010 $50~ compensatiot~ ibr instn~cting Trial Practice co~se at Columbia University School of Law Januaw - April 2010
2.
8/3/2019 Cathy Seibel Financial Disclosure Report for 2009
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F IN A N C IA L D IS C L O S U R E R E P O R T s .... f P e r s o n R e p o r t i n g D a t e o f R ~ : p o r ~
Page 2 o f 9 Seibe l , Ca thy 0 5 / 0 6 . t 2 0
! ! I . N O N - I N V E S T M E N T I N C O M E . tn ,p o ,a .g i .alvi , t .~a,po.se:,,epj,. ~ 7-2 4 of filing i n s t r u c t i o n s . )
A. Filcr’s Non-Investment Income
[] NONE (No reportable non-investment income.)
DATE SOURCE AND TYPE INCOME
(yonrs , no t spouse’s)
I. 2009 Columbia Univers i ty - - payment for teaching $5 ,000 .00
2.
3 .
4.
B . Spouse’s Non- lnvestn lenl lnconle - I f you were married during any port ion of the report ing year . complete this sect ion.
(Dollar a ~ o u n t not requirt, d except for honorarta.)
[~ NONE (No reportable non-investment income.)
DATE SOURCE AND TYPE
1 . 2 0 0 9 Columbia Universi ty: salary as facul ty member and physic ian
2 .01 /2 8/09 New Y o rk Times -- $83 2 paymen t fo r wr it in g
3 .03 /03 /09 New York Times - - $1100 payment for wr it ing
4 .03 /11 /09 Johns Ho pkins Univers i ty Press - - 5517.7 2 book royalty
5 .04/02/09 The Lancet - - $400 payment for wr it ing
6 .04/08/09 Un iver si ty o f Ca lifo r n ia , Sa n Fr a n c isco -- $ 3 00 ho n o r a r iu m fo r spea kin g
7.04/24:09 W ashing ton Post - - $300 payment for wr iting
8.05/26/09 New York Times - - $786 payment for wr it in g
9.06 /16 /09 New Y o rk Times -- $ 7 00 paymen t fo r wr it in g
I 0 . 0 6 / 2 9 . ’ 0 9 W ashing ton Post - - $300 payment for wr it ing
1 I . 1 0 / 2 2 / 0 9 New Eng la nd J ouma ! o f Med ic in e - - $ t 500 paymen t f o r w r i t i n g
12. 11/01/09 W ashing ton Post - - $300 payment for wr it ing
| 3 . 12/09/09 Sta te Un ivers i ty o f New Yo rk - - $500 hon o r a r ium f o r speak ing
1 4 . 1 2 / 1 0 ~ 0 9 Oxford Univers i ty Press -- $325 paym ent for manu scr ipt review
1 5 .
8/3/2019 Cathy Seibel Financial Disclosure Report for 2009
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FINANCIAL DISCLOSURE REPORTI Nameo fP . . . ..
Reporting aa t eofRcpor t
Pag e 3 o f 9[ S¢ibel, Cathy
0 5 / 0 6 / 2 0 1 1 )
1 6 .
I V . R E I M B U R S E M E N T S - ,. o . s p o ., a , ~ o . . ~ o ~ g i .g , / o o d , o.,,rt~i .... .(Includes tho~c to spouse and depen~lent children, ~ee pp. 25-27 o filling instructions.)
NONE (No reportable reimbursements.)
SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
I.
3 .
4.
5.
8/3/2019 Cathy Seibel Financial Disclosure Report for 2009
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F I N A N C I A L D I S C L O S U R E R E P O R T
Page 4 of 9 0 5 1 0 6 / 2 0 1 0
V . G I F T S . a ~ , - I o d ~ , t h ~ s . ,o ~ , o . s o ~ . , ~ e : .. d e ~ t o h . d r e w ; s .~ p p . ~ - ~ t o : : ~ i n ~ i~tvttuctions.)
NON g (No reportable gifts.)
S O U R C E D E S C R IP T IO N V A L U E
1 .
2.
3.
4.
5.
Vl. LIABiLITI !~o (In¢lude ~ those o f s I~ . . . . . . .. d dependent chi ldren; see pp . 32-33 o f i l l ing ins t ruc t ions . )
~] N O N E (No reportable liabilities..)
C R E D IT O R D E S C R IP T IO N VALUE CODE
1.
2.
3.
4.
5.
8/3/2019 Cathy Seibel Financial Disclosure Report for 2009
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F IN A N C IA L D IS C L O S U R E R E P O R T r ~ . . . . . of P ..... R e p o r ~ ’ i n g | ateofReport
Ia g e 5 o f 9 Seibe l , Ca thy 05/06/2010
V I I . IN V E S T M E N T S a n d T R U S T S - i . c o , . ~ , , . . t~ e , t . . .. . .. . t i o n . ~ a . c t . a e s i h o , . o f s ~ , . . .. . . a dependent children; s e e p p . 3 4 - 6 0 of J’ding instructions.)
I’qONE (No reportable income, assets, or transactiotts.)
D e s c r i i : t i o n o f A s s e t s ~ i n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a e t i o r ’d d u r i n g r e p o r t i n g p e r i o d
( i n c l u d i n g t n ~ s t a s s e t s ’ ) r e p o r t i n g p e r i o d o f r e p o r l i n g p e r i o d
P l a c e " ( X I " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., Value V a l u e , T y p e ( e . g ., D a t e Va l ue Ga i n I d e n t i t y o f
e x e m p t f r o m p r i o r d is c l o s ur e C o d e 1 d i v . , t e n t , C o d e 2 M e t h o d ; buy, sell, i m m / d d ~ ’y Code 2 I Code 1 buyer/sellcr:l ( 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-II) ( i f p r i v a t e
[ i( Q - W ) [ I r a n s a c l i o r 0
1. American Century Vista Fund A Dividend K T
2. Astor ia Federal Saving s accoun t (CD) A ln teresl L T Open 0 7 1 1 8 1 0 9 L
3 , Astor ia Federal Savings account (savings) A Interest J T(× )
4. Astor ia Federal Saving s accoun t (CD) A Interest K "1" Open 07 /18/09 K
5 . Astor ia Federal Savings account (savings) A Interest J T
6. Astor ia Federal Saviugs acco unt (checking) A Interest J T Open 07/18109 J
7. AT&T common s tock A Dividend J T
8. AT&T common s tock A Dividend
9. Brandywine Fund A Dividend L T
1 0. Comcast common s tock A Div idend J T
1 1 . Comcast common s tock A Dividend J T
1 2 . Dryden Global Tota l Retuna t"nn d A Dividend J T
1 3 . Dreyfus NY Tax-Exempt Bon d Fund B Dividend K T
1 4 . Enbr idge Energy Par tners LP common s tock B Dividend K T
1 5 . Fidel i ty Magel lan Fun d (IRA) A Dist r ibut ion K T
1 6 . Fideli ty Capita l Apprecia t ion Fun d (IRA) A Distr ibu tion [ J T
1 7 . Fidel i ty NY Muni Inco me Fund B Interest L T
8/3/2019 Cathy Seibel Financial Disclosure Report for 2009
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N a m e o f P e r s o n R e p o r t in gI
D a t e o f R e p o r tF I N A N C I A L D I S C L O S U R E R E P O R T
S e i b e l , C ~ t l ,yage 6 of 9
I
0 5 , ’ 0 6 / 2 0 1 0
N O N E (No reportable income, a~sets, or transactions)
D e s c r i p t i o n o f A ~ ¢ ~ I n c o m e d u r i n g G r o s s v a l u e a t c ~ d ’. T m n ~ c t i o n s d u r i n g r e p o r t i n g p ~ i o d( i n c l u d i n g t ~ s l a s s e t s ) [ r epos i ng pe r i od o f r e p o r t i n g
exempt from prior di~losure [ C~e I [ div., rent Code 2 ; Method I buy, sell, ~m~ddiyy Code 2 C~c 1 buyer/$eller[ A - H ) o r i n t . ) (J-P) Code3 [ r e d e m p t i o n ) [ (J.P) [ ( A - I I ) ( i f p r i v a t e
IS. IB M c om mo n st oc k A Dividend Sold 06125 / 09 J D
19 . J a n u s F u nd A Dividend M T
2 0 . John Han cock Patr io t Premium Div Fund I A Dividend J Tcorumon s tock I
2 1 . Metropoli tan Transportat ion Authori ty NY A Interest J TMun ic ipa l Bonds
2 2 . Morgan Stanley Active Assets Money Trust A Interest K T
2 3 . NY Sta te 529 College Savings Plan None K T
2 4 . NY Sta te 529 College Savings Plan None K T
2 5 . RS Growth Fund A Dividend K T
2 6 . TIAA/CREF stock fund (retirement None M Tannun i ty )
2 7 . "t’IAA/CREF globa l equity fund (ret irement None K Tannai ty)
2 8 . "I . Row Pr ice Btue Chip Growth Fun d IRA A Dividend J T
29 . T, Rowe Pr ice Blue Chip Growth Fund IRA A Dividend J T
3 0 . q’. Rowe Pr ice Pr ime Reserve Fund A Dividend M T
31 . " r . P . o v~ . e P r i ce P r ime Rese r v e Fund A Div id end M T
3 2 . T.P.owe Pr ice Pr ime Reserve Fund A Div idend M T
3 3 . Van gua r d 500 Index Fund ( r e t i r emen t C Dividend M Tannui ty)
3 4 . Van gua r d I n te r n a t io n a l Growth Fund A Dividend L T( te t i rentent ann ui ty)
/
8/3/2019 Cathy Seibel Financial Disclosure Report for 2009
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F I N ,~ N C I A L D I S C L O S U R E R E P O R T sPage 7 of 9 SeibeL Cathy
I
0 5 / 0 6 / 2 0 1 0
VII. INVE ST M E NT S a nd T RUST S - ~ . . . . .. . . t . . ,
N O N E (No reportable income, assets, or transactions.)
De scr ipt ion of A~e ~ Income during Gross value at end ~ T~nsactions during ~epo~ing ~riod
(including t~st ....~) ~poaing period. ~f rcpoain~
P l a c e " ( X ) " a f l e . . . . h . . . . t IA .... ~ = ~ y p e ( e . g ., V a l u e V alue I T ype( e .g . , Date [ V aloe [ G ai~ / I d e n t i t y o f
8/3/2019 Cathy Seibel Financial Disclosure Report for 2009
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Name o f Pe r s o n Repo r t i n g Date of ReportFINANCIAL DISCLOSURE REPOR TS ~ b e ~ , C a t h ya g e 8 o f 9 o 5 / o 6 / 2 o ~ o
VIII. ADDITIONAL INFOR~|ATION OR EXPLANATIONS.
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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~:r$on Reporting D~lt~: of Report
Page 9 of 9 S e ~ b e l , C a t h y 0 5 / 0 6 / 2 0 1 0
I X . C E R T I F I C A T I O N .
1 ce r t i fy tha t : a l l informa t i on g iven ab ove ( i nc lud i ng i nform at i on pe r t a i u i ng t o my spouse an d minor o r dependent ch i ld ren , I f any) Isa c c u r a t e , t r u e , a nd c omp l e t e t o t h e be s t o f my k no w l edge a n d be l i e f, a nd t h a t a n y i n f o rma t i o n n o t r e p o r t e d wa s w i t hhe ld be c a u s e i t me t app l i c ab le s t a t u t o r yprov i s i ons pe rmi t ti ng no n-d i s c los ure .
I fu r t he r ce r t i fy t ha t ea rned Income f rom o u t s ide employment and ho nor a r i a and the accep t ance o f g i f t s ,~ ’hlch have been r epor t ed a re i ucompl i ance wi th t he p rov i s i ons o f 5 U .S.C. app . § 501 e t . s eq . , 5 U .S.C. § 7353 , and Jud i c i a l Confe rence r eg ul a t i ons .
SignatureI
NOTE: ANY INDIVIDUAL W llO KNOW INGLY AND W ILFULL~" FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJ ECT TO CIV Il,AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mai l s ig n ed o r i g i n a l a nd 3 a dd i t i o n a l cop i e s to :
Comm i t t ee o n F i n an c i a l Di sc l o su r eAdmin i s t r a t ive Office of the Uni ted Sta tes Cour t sSu i l e 2 - 30 IOne Co lu mbu s C i r c l e , N .E.~ ,V a sh i n g t o n , D .C . 2 0544
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