Download - Cathy Seibel Financial Disclosure Report for 2009

8/3/2019 Cathy Seibel Financial Disclosure Report for 2009

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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.



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 ~

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 .



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.



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

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.



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



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)

/



F I N ,~ N C I A L D I S C L O S U R E R E P O R T s 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



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.



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

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

Download - Cathy Seibel Financial Disclosure Report for 2009

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