(w) 12000

€ /\l

{

- -

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----------- ---- . -------

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c::> ,,.,,,,z

::0 V) m

N m -I

-

.

1

2

3

-¥ A "'1 D£]> · Report required by the Ethics in FINANCIAL DISCLOSURE REPORT Government Act of I 978, as amended

itev. I (5 U.S.C.,App. 4, Sec. JOI-/ 12)Calendar Year 2003 ...

1. Person Reporting (La.st name.first, middle initial) 2. Court or Organization 3. Dalr of Report

Scheindlin, Shira A." S.D.N.Y. 07 /15/2004

.C. Title (Article /JIjudges indicate active or senior status; magistrate judgu indicate

full- or part-time}

S. Report Type (check type)

- Nomination, Date I I

6. Reporting Period

01/01/2003

to U.S. District Judge/active Initial x Annual Final 12/31/2003

-

7. Chambers or Office: Address 8. On the buis of the information contained in this Report and any

USDC-SDNY modifications pertaining thereto, It Is ID my opinion, in compliance with applicable laws and regulations.

500 Pearl Street

New York, N.Y. 10007 Reviewing Officer Date

IMPORTANT NOTES: The "'8tnlptlons ac:Companylngthisform must befollowed. Comp/eJe all parts, checking tire NONE baxfor eaclt aiu:tlon hueyou ,no1'JJorlflble triformation. Sign on tire last page.

L POSITIONS (Reporting lndivitiid only: lllJt pp. 9-13 lutructtons.J POSITION NAME OF ORGANIZATION I ENTITY

D NONE (Na ;ositi•)

Director ·Justice Reaonrce center

2 Director Good Shepherd Services Eti)

.......c:::.c:::.JI::'

3 r--rio-v,::z:

,.,.,-0 ("')

fTiO -IL AGREEMENTS (Reporting tndivit.IMal only: 3Upp.14-16 of 11181rr1Ction.r.)

DATE PARTIES AND TERMS

D NONE (No rcpor1Bblc agreements.)

c,;>'°r.r--...,-n ni

)>

N 0-

< rn 0

1 None

.. .. !\. , ......

;.., : . .. .. ,,,

IlL NON-INVESTMENT INCOME (Reporting individual and :sporue; ue pp, 17-24 qf/lll/nlCIJons.) DATE SOURCE AND TYPE GROSS INCOME

(yours, not spouse's)D NONE (No reportable non-investment income.)

1 1/12/03 tlllt state University of New Y rk

2 9/15 Hofstra Law School, teaching $3,000

3

4

.

�-----------------�

-------------------------------------

---------

1

2

3

p.1;

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting

scheindlin, Shira A.·

Date of Report

07/15/2004

IV. REIMBURsEMENTS - transportation, lodging, food, entertainment. (Includes tJrose to &pause and dependent children. See pp. 25-28 of ln&tructiOnJ.)

D SOURCE

NONE (No such reportable reimburscmcnts.)

1 National Assoc. Criminal Defense Lawyers Speaker, Aspen CO

DESCRIPTION

1/12/03-1/14/03 Travel, Food and Lodging

2 ALI-ABA Speaker, St.Thomas, VI 1/15/03-1/18-03 Travel, Food and Lodging

3 ALI-ABA Speaker, Coral Gables, FL 1/29/03-2/03/03, Travel, Food and Lodging

4

5

Department of Education

ALI-ABA

Speaker, St. Petersburg, Moscow, Russia 4/20/03-4/29/03, Travel,

Food and Lodging

Speaker, Philadelphia, PA, 6/18/03-6/19/03, Travel, Food and Lodging

6 ABA Speaker, San Francisco, 8/06/03-8/08/03, Travel, Food and Lodging

7 Hofstra School of Law Speaker, Hempstead, NY, 9/14/03-9/15/03, Travel Food and Lodging

V. GIFfS (JncludeJ thOJe to 11pouse and dependent children. See pp. 29-32 of ln&truction&)

SOURCE DESCRIPTION VALUE NONE (No such reportable gifts.)

VI. LIABILITIES (Jnchules thoae of and dependent children. See pp 33-35 of /n&trut:tioru.}

D CREDITOR DESCRIPTION VALUE CODE*

NONE (No reportable liabilities.)

1 North Fork Bank Mortgage on Rental Property U, Brooklyn, NY (VII, M

P.1;1.1

2

3

Mellon Mortgage Co Mortgage

1.2

on Rental Property 12, Brooklyn, NY (VII,

4

5

M

AL CODES:J= . OOU o k's 1 =$!5.00l-S:5Ci.OOO L =$50.0v 1 to : 00(1 M=SJ oo,oo i-:o::so.ooo N=S2SU.001-5;500.000

O=bdJ.001-S: !.OOC;.00(1 PJ=s; 1.000.001- 5.000.000 !'2=-SS.000.00 k-. _,)00.000 P3=S2!'.000.00 l-S:50.00C1.000 Pii=S:'\(l.000.UOi o mort

·-- --· -·---- · ·--------- ·-·------ --·--

Code

17

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j

.����������--�����·����������

·-

;

i

Name ofPerson Reporting Date ofReport-· Scheindlin, Shira A. 07/15/2004f'INANCIAL DISCLOSURE REPORT

• (Includes those of spowe and

VU. Page I INVESTMENTS and TRUSTS- income, value, transactions dependent children. See pp. 36-54 of Instructions.)

A. B. c. D.

Description of Assets Income during Gross value Transactions during reporting period

(including trust assets) reporting period at end of

reporting period

(I) (2) (1) (2) (I) If not exempt ftom disclosure Amount Type Value Value Type

Place "(XJH qfter each asset Code (e.g., Code Method (e.g., buy, (2) (3) (4) (S) exemptfrom prior disclosure. (A-H) dividend, (J·P) Code sell, partial Date: Value Gain Identity of

rent or (Q-W) sale, Month- Code buyer/seller

interest) merger, Day (J·P) (A·H) (if private

redemption) transaction)

DNONE (No reportable income.assets, or

transactions.)

1 Rental Prop. fl, Kings County, E Rent Pl w

NY

2 Rental Prop. f2, Kings County, F Rent Pl w

NY

3 Teachers Insurance Annuity E Interest Pl T

Association

4 College Retirement Equities None 0 T Fund

5 Supplemental and Group D Interest N T

Retirement Annuities

6 Vanguard Int'l Mutual Fund A Dividend J T

7 Pfizer B Dividend M T gift, partial 12/30 J

8 IBM Connnon Stock A Dividend J T

9 Brooklyn Federal S & L A Interest K T

10 Brookyn Federal S & L A Interest J T

11 Chase Manhattan Bank A Interest K T

12 Chase Manhattan Bank A Interest J T

13 Chase Manhattan Bank B Interest L T

14 Chase Manhattan Bank A Interest J T

15 Chase Manhattan Bank A Interest J T

16 N. Y. C. Local Gov't. Bond B Interest K T

Series F

N.Y. State Local Gov't. Bond A Interest J T

Series D

D=SS.001-$ 15,000 E=S 15.001-$50.000 1 Inc/Gain Codes: A=$1,000 or less 8=$1.00 J-$2,500 C=$2,501-$5,000

(Col. Bl, D4) F=$50.00l-$100,000 G=$100.001-$1,000,000 Hl=$1,000,00l-$5,000,000 H2=$5,000,00I or more

N=$25ll.OOJ-$500.000' · ''aJ Codes: .1=$15.000 or less J.:.=$15.001-SSO,OOO L=$50.00l-$100.000 M=$ I OO,OOi-$250.000

or more o:. Ci. D31 0=$500.00i-Sl.000.000 Pl=$! .000.001-$5.000.000 P2=$5.000_001-$25.000.000 P3=$25,000,001-$50.000.000 P4=5:5(J,000.00 I

:. \'a! 1,1th Codes: Q=Apprnisal R Cost (real estate 0111; i S=Assessmen'.

1(."<11 C21 l=BCloi \·alue V=Clther V<'=f:stimated

i

Growth

.

-----

;

---

dependent children. See pp. 36-54 of Instructions)

Name of Person Reporting Date of Report

FINANCIAL DISCLOSURE REPORT Scheindlin, Shira A. 07/15/2004

(Includes those of spou&e and VII. Page 2 INVESTMENTS and TRUSTS- income, value, transactions

A. B. c. D.

Description of Assets Income during Gross value Transactions during reporting period

(including trust assets) reporting period at end of

reporting period

(I) (2) (I) (2) (1) If not exempt from disclosure Amount Type Value Value Type

Place "(X)" after each asset Code (e.g., Code Mdhod (e.g., buy, (2) (3) (4) (5) exemptfrom prior disclosun. (A-H) dividend, (J-P) Code sell, partial Date: Value Gain Identity of

n:nt or (Q-W) sale, Monfu- Code Code buyer/seller interest) merger, Day (J-P) (A-H) (if private

I redemption) transaction)

DNONE (No reportable income,llSsets, or

transactions.)

18 NYC G/O-Series G RFDG A Interest K T

19 NYS Local Gov't Assist. Corp. A Interest Redeemed 4/01/ J B

Series C RFDG

20 NYC G/0 series D A Interest J T

21 NYC G/O Series E RFDG -- B Interest K T

22 NYS Local Gov't. Assist. Corp. B Interest K T

Series C

23 NYS HSG Finance Agency B Interest Redeemed 9/30/ K B

24 NYC Bond series B A Interest J T

25 NYS HSG FIN AGY SER C (see A Interest Redeemed 9/15 J A

explanation)

26 Fidelity Advisor Equity None K T

Mutual Fund

27 Fidelity Advisor Technology None J T

Class T

28 Fidelity Advantage Small Cap. None K T

29 Fidelity Advantage Mid Cap None K T

3 0 Putnam New Opportunities None K T

Mutual fund

31 Deutsche Bank/Alex Brown Cash A Dividend Transfer 11/25 J

Reserve

32 IRA Provident Mutual Life None transfer 8/15 M

Ins. (100% Fidelity Contra

33 IRA State Street Global None J T

Advisors

34 IRA Fidelity Management and None K T

Research -------·-------

I Inc/Gain Codes: A=SLOOO or less B=SJ ,001-$2.500 C=S2,501-$5,000 D=SS.001-$15.000 E=S 15.001-$50.000

I (Col Bl. 04) F=SS0.001-$100,000 G=$J 00.001-$ L000.000 HI=$ I.000.00 l-SS.000.000 H2=$5.000 .001 or more

l 2 Va' Codes: J=$15,000 Oi less K=$1 S,001-$50,000 L=$5u,00l-$100.000 M=Sl00.001-$250.000 N $250.001-$500.000

(Col C'l. 03\ 0=$500.001-$1.000.000 PJ=$1.00G.00l-$5,000,000 P2=$5,000.0t' i-$25.000.000 P3=S25.000.00J-$50.000.000 P4=$50.000.00I or morr

· :, Va: Mth Codes: (•=Appraisal F= ost (real estate only) S=Assessment T=C asn!Mart:cr

1Col. C2.1 li=Book Valu V=Other W=i::stimated

--- ---------- - --- - --- - -------- ------- -- - -- ·-

Type (4) (5)

51

-----

--

\ 1

L_ __ , __ _

-------------

F.INANCIAL DISCLOSURE REPORT Scheindlin, Shi:ia A •.

Name ofPerson Reporting Date of Report 07/15/2004

· · (lncblt:ks those of spouse and VII. Page 3 INVESTMENTS and TRUSTS- income, value, transactions dependent children. See pp. 36-51 of J11structions..)

A B. c. D.

Description of Assels Income during Gross value T during reporting period

(including trust assets) reporting period at end of

reporting

period

(I) (2) (1) (2) (I) Ifnot exempt from disclosure Amount Value Value Type

Place "()()"after each asset Code (e.g., Code Method (e.g.. buy, (2) (3)ezempt from prior disclosure. (A-H) dividend, (J-P) Code sell, partial Date: Value Gain Identity of

rent or (Q-W) sale, Month- Code Code buyer/seller

interest) merger, Day (J-P) (A-H) (if private

redemption) transaction)

DNONE (No reportable income,asscts, or

transactions.)

35 IRA The Dreyfus Corp. None J T

36 IRA Scudder Kemper None J T

37 MCI Worldcom Inc. None J T

38 America Online None J T

39 Dell None J T

40 Flag Investors Communication None K T

41 Flag Telecom Hldgs LTD None Liquidated 4/30 J

42 MRV Communications Inc. None J T

43 Jupiter Communications Inc. None sold 4/9 J

44 Price Commun. None J T

45 Micron None J T

46 Fairchild Semiconductors None J T

47 Hewlett Packard A Dividend J T

48 ATMI None J T

49 Microsoft None .J T

50 AXA Financial A Dividend J T

Merrill Lynch Semi Hldrs None sale 7/8 J A

1 Inc/Gain Codes: A=Sl,000 or less B=Sl,O\ -$2,500 C=$2,SOl-$5,000 D=SS.001-$15.000 E=$15.001 -$50.000

I (Col Bl. 04) F=$S0.001-$100.000 G=S I 00,001·$1.000,000 Hl=Sl,OOO,OOJ-$5,000.000 H2=$5,000,00I or more

' 2 Va; Cod0-· J=$1 :'\,000 or less r.=s;lS.001-$50.000 L=$50,00l-$100,000 M=$100.00l-S:250,000 N=$25P 001-S.SU(J.000

: (C'(o. Ci. ;J3J 0=$500.001-$1.000.000 Pi=$1.000,001-$5.000.000 P2=$5.000,00l-$25.000.000 P3=$25.000,00l-$50,000,000 P4=$50.00u.OOI or mOTl'

l v a' i..111, C:oties: )=Appraisal R=Cos1 \real . ·t only) S=Assessmen: 1 =Cash/Marke:

11 ·01 C2) •=book Vaiu:: \'=Other W=Eslimal::d

-

Date ofRepo 07/15/2004

--- ---;:-:--:--:- :--- -:- -i (Includes those of SIJOllSt! and

Code

E

(2)

(3)

K

K

--

-

Name of Person Reporting

Scheindlin, Shi a A.FINANCIAL DISCLOSURE REPORT

VII. Page 4 INVESTMENTS and TRUSTS- income, value, transactions dependent children. See pp. 36-54 ofInstructions.)

A. B.

Description of Assets Income during

(including trust assets) n:porting period

(I) (2) Amount Type

Place "(X)" qfter each asset (e.g.,exemptfront prior disclOSlll'fl. (A-H) dividend,

rent or interest)

DNONE (No reportable incomc:,assets. or

transactions.)

52 NASDAQ 100 Trust None

53 Active Assets Money Market A Dividend (see explanation)

54 Scudder Flag Investors· None

55 Cisco None

56 Cisco None

57 Bank Hapoalim A Interest

58 Standard and Poors Depositary None

Receipts

59 Standard and Poors Depositary A Interest Receipts

60 Intel A Dividend

61 Intel A Dividend

62 Rochester Municipal Class B B Interest

63 Rochester Municipal Class B a · Interest

64 IRA Prime Fund Daily Money None

Class

65 IRA prime fund daily money None class

66 IRA Sentinel Cap Inc Markets A Dividend

Class B

67 IRA Sentinel Growth Index CL None -

68 IRA Sentinel Midcap Growth None

Class B

c. D. Gross value Transactions during reporting period at end of reporting period

(I) (I ) Ifnot exempt from disclosure Value Value Type Code Method (e.g., buy, (2) (J-P) Code sell, partial Date: Value

(Q-W) sale, Month- Code merger, Day (J-P)

redemption)

sale 7/8 J

J T

J T Buy 7/9 J

sale 3/21

sale 3/21

J T Buy 4/9

sale 7/2

buy 4/9 J

sale 12/2

sale 12/19

L T buy 3/6 L

L T buy 10/23 L

buy 8/15 M

sale 9/8 M

K T Buy 9/3 J

T buy 9/3 K

K T buy 9/3

(4) Gain Code (A-H)

c

B

B

B

(5) Identity of buyer/seller (ifprivate tiansaction)

E=$15,00l-$50.0001 Inc/Gain Codes: A=$!,OOO or less B=Sl.001-$2,500 C=S2,501-S5.000 D=$5.00J-$15.000

<Col. Bl. 04) F=$50,00:-Sl00.000 G=SIOO,OOl-S\,000,000 Hl=$LOOO.OOl-$5.000.000 H2=$5.000.00I or more

:: Val Codes: J=$ ! 5,000 or less 1.:=S 15.001-$50.000 L=SSOJJOl-$100,000 M=$100,001-$25u.OOO N= 250Ji0 l-S.50(!_U00 i I [ o" ·, \'-..0• !, .>) (1=$500.001-$1.000.000 P !=$1.000.001-$5,000.000 P2=$5.000.00!-S25.000.000 P3=525.000.00 l-5:50.000,000 P4=$50.000,001 or more

::. \a; Mth Coaes: O=Apprai>al R=Cos1 (rcai estate only) Assessmem

1·:_·(,: C'" U=Boo1. Valut \'=Other W=Esumat.eG

'

(2)

··-

I

dependent children. See pp. 36-54 of Instructions J

M=$100.00l-$2SO.OOO

Name ofPerson Reporting Date of Report Scheindlin, Shira A. 07/15/2004FINANCIAL DISCWSURE REPORT

(Includes those ofsporue and VII. Page S INVESTMENTS and TRUSTS- income, value, transactions

A. B.

Description of Assets Income during

(including trust assets) reporting period

(I) (2) Amount Type

Place "(X)"qflereachasset Code (e.g., exempt from prior discloSUl"f!. (A-H) dividend,

rent or

interest)

DNONE (No reportable incomc,asscts, or

transactions.)

69 IRA Sentinel High Yield Bond A Dividend

Class B

70 IRA Sentinel Intl Equity Class None

B

71 IRA Sentinel Small company B None

72 IRA Sentinel Bond Class B A Dividend

73 IRA Sentinel Common Stock None

Class B

74 Semi Holders None

75 NASDAQ A Dividend

76 Intel A Dividend

77 Microsoft A Dividend

78 Nortel None

79

80

81

82

83

84

BS

----

c. D. Gross value Transactions during reporting period at end of reporting period

(I) (2) (I) If not exempt from disclosure Value Value Type Code Method (e.g., buy, (3) (4) (5) (J·P) Code sell, partial Date: Value Gain Identity of

(Q-W) sale, Month· Code Code buyer/seller merger, Day (J-P) (A·H) (ifprivate

redemption) transaction)

K 'T Buy 9/3 J

K T buy 9/3 J

K T buy 9/3 J

K T buy 9/3 J

K T buy 9/3 K .

buy 3/17 J

buy 3/24 K

buy 7/8 K

buy 9/17 K

buy 9/23 J

[=-$15,001-$50.(l(){J \i lnc/Gam Codes: A=SI .0 00 or less B--Sl.001-$2,500 C=Sl.501-$5,000 0=$5.00 1 -$15.000

\ (Col. Bl, D4) F=S:S0.001-$100.000 G=$100.00l-$1.000.000 H 1=s;1.ooo.001-ss,ooo.ooo 1i2=$5.000,00! 0- more ----------- - -----1

- Val Codes: j=$15.000 or less K=$15.00l-$50.000 L=$50.00l-SI00,000 N=$25CJ.00l-S500.00CJ

(Co; ri. D3) 0=$500.00!-$1.000.000 PI =$1.000.001-$5 .000.000 ?2=$5.000,00 l-$25.000,000 P3=$15,000.00 l -$5() .000.000 P4 =-£50. 000.Oto 1 or more

? \'al Mth :.ode:.: \,l=Appraisal R=Cost I real estale only) S=Asscssment

1Co:. C'.J L'=umil. Value V=Clther ,. ·=Estimated

F NANCIAL DISCLOSURE REPORT

Name of Person Reporting

Scheindlin, Shira A.

Date of Report

07/15/2004

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of report.)

SECTION HEADING. (Indicate part of report.) Information continued from

Name of Person Report_ing Dale of Report

Scheindlin, Shira A." 07/15/2004FINANCIAL Dl CLOSURE REPORT

Parts I through VI, inclusive. PART 4 REIMBURSEMENTS (cont'd. ) .

Line Source Description

8 ABA Speaker, DC, ll/07/03-11/09-03, Travel, Food and Lodging 9 ALI-ABA Speaker, DC, 11/12/03-11/14/03, Travel, Food and Lodging

10 Nat'! Ctr. for State Courts Speaker, DC, 11/21/03-11/21/03, Travel, Food and Lodging

11 ALI-ABA Speaker, Phoenix, AZ, 12/03/03-12/06/03, Travel, Food and Lodging

12 DeLoitte and Touche Speaker, San Francisco, 12/06/03-12/09/03, Travel, Food and Lodging

13 Mealey Publications Speaker, San Francisco, 12/09/03-12/10/03, Travel, Food and Lodging

----

Name of Person Reporting

FINANCIAL DISCLOSURE REPORT scheindlin, Shira A.

IX. CERTIFICATION

Date of Report

07/15/2004

I certify that a·11 the information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 u.s.c. app. 4, section 501 et. seq., 5 and.Judicial Conference regulations.

Signature

Note: 104).

Any individual who knowingly and wilfully falsifies or fails to file this report may be subject to civil and criminal sanctions (5 u.s.c. App. 4, Section

U.S.C. 7353

FILING INSTRUCTIONS

Mail original and three additional copies to:

Committee on Financial Disclosure Administrative Off'ace of the United States Courts C>ne Columbus Circle, N.E.

Suite 2-301 Washington, D.C. 20544

------ -

_____________ _

Dale. _____ _

ORGANIZATION/ENTITY

; 1

;\0-10 Rn. 1/2004

FINANCIAL DISCLOSURE REPORT

I. l'crst111 Reporting ( l .asl name. First name. Middle initial)

Scheindlin. Shira A

.i. Title (Article Ill Judges indicate active or senior status:

magistrate judg<:. indicate full- or part.time)

U.S. District Judge/active

Calendar Year 2003

1. Court or Organizatitm

S.D.N.Y.

5 ReponTypc (check appropriate type)

Q Nomination. Date

0 Initial @Annual Q Final

Report Required h · the t:thirs in Government Al'f of 19711 (5 ll.S.C. app. ** lfl1·11 I)

J. Dalt' of Report

7/1512004

6. Rcportmg Period

1/1/2003

lo

12/31/2003

7. Chambers or Oftit'C Address

USIX'-SDNY

500 Pearl Street

8. On the basis of the infonnation contained in this Rcpon and any 111oditications pertaining thereto, it is. in my opinion, in compliance

with applicable laws and regulations.

New York. N.Y. 10007 Reviewing Officer

IMPORT ANT NOTES: The instructions accompanying this fonn must be followed. Complete all parts, checking the NONE box for each part

where you have no reportable information. Sign on last page.

I. POSITIONS. (Reporting individual only: sec pp. 9-13 of tiling instructions}

[] NONE - (No reportable positions.)

I. Director

NAME OF

Justice Resource Center

2. Director Good Shepherd Services

0 en 0 r '"T1 •::i-O'.lZ c:> ;:; :z

.::;:;> .,, r--., C")tTi

2-r- ::0 <..c m

0 "'t1

-0 en ·=-��.: :z=,.. ::3:: f"1'1

-c::i 0 ..:::..

SOURCE TYPF.

AND

SOURCE DESCRIPTION

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Scheindlin. Shira A 7115/2004

III. NON-INVESTMENT INCOME. (Reporting individual and spouse: see pp. 17-24 offiling instructions)

A. Filer's Non-Investment lncom

D NONE - (No reportable non-investment income.)

AND

I. 9115 Hofstra Law School, teahcing

2.

GROSS INCOME

(yours. not spouse's)

#3,000

B. Spouse's Non-Investment Income- (If you were married during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria)

D NONE - (No reportable non-inve. tment income.)

SOURCE TYPE

I. 1-12103 State University of New York

IV. REIMBURSEMENTS -transportation, lodging, food.. entertainment.

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

D NONE - (No such reportable reimbursements.)

I. National Assoc. Criminal Defense Lawyers Speaker, Aspen CO 1/12/03-1/14103 Travel, Food and Lodging

2. ALJ-ABA Speaker, St.Thomas, Vl l/15/03-1/18-03 Travel, Food and Lodging

...

3. ALl-ABA Speaker, Coral Gables, FL 1/29/03-2/03/03, Travel, Food and Lodging

4. Department of Education Speaker, St. Petersburg, Moscow, R1!5si a 4120/03-4129/03, Travel, Food and Lodging

5. ALI-ADA Speaker, Philadelphia, PA, 6/18/03-6119/03. Travel, Food and Lodging

6. ABA Speaker, San Francisco, 8/06/03-8/08/03. Travel. Food and Lodging

7. 1 lofstra School of Law Speaker, llcmpstcad, NY, 9/14/03-9/15/03, Travel Food and Lodging

$0URCE

FlNANCtAL DISCLOSURE REPORT Name of Person Reporting

Schcindlin, Shira A

Date of Report

7/15/2004

IV. REIMBURSEMENTS transportation. lodging, food. entertainment.-

(Includes those to spouse and dependent children. Sec pp. 25-27 of instructions.)

[] NONE - {No such rL'PCJrtable reimbursements.)

8. ABA

9. ALl-ABA

I 0. Nat'l Ctr. for State Courts

11. ALl-ABA

12. DeLoitte and Touche

13. Mealey Publications

DESCRIPTION

Speaker, DC, 11/07/03-11/09-03, Travel, Food and Lodging

Speaker, DC, 11/12103-11114/03, Travel, Food and Lodging

Speaker, OC, 11/21/03-11/21/03, Travel, Food and Lodging

Speaker, Phoenix, AZ, 12/03/03-12106/03, Travel, Food and Lodging

Speaker, San Francisco, 12106/03-12109/03, Travel, Food and Lodging

Speaker, San Francisco, 12109/03-12110/03, Travel, Food and Lodging

DESCRIPTION

CREDITOR DESCRIPTION

FINANCIAL DISCLOSURE REPORT Name of Person Rc1)orting

Scheindlin, Shira A

Dale of Rcpt1rt

7/15/2004

V. GIFTS. <lnclud1.>s those to spouse and dependent children. See pp. 28-3 I of instructions.)

NONE (No such reportable gifts.) -

I.

VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-34 of instructions.)

D NONE - (No reportable liabilities.)

I. North Fork Bank Mortgage on Rental Property #I, Brooklyn, NY (VII, P. I; I. I

2. Chase Bank Mortgage on Rental Property #2, Brooklyn, NY (VII, p. I; 1.2

VALUE CODE

M

M

2.

'

- - -----

\I)

--- - - - - -- --- - - -- --

B c

..

iJ) (4)

f)

13.

(I)

----------

(2) (I)

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Page I of 5 Scheindlin. Shira A 7/1512004

Vil. fNVESTMENTS and TRUSTS - income, value, transcations (includ s tho of the spouse and dependent children. See pp. 34-57 oftiling instrnctions.l

c. D. Income during Gmss vain at end of Transactions durint\ rcpo.-ting period

A. IL

Description of Assets reporting period repo11mg period (including tmst assets)

('.!) Ifnot c empt front disclosure

(2) (5) Place "(X)" after each asset exempt Type (e.g.Arno1mt Type \e.g. Value Value Date: Value Gain ld llity of from prior disclosure buy, sell. Code I div. rent. or Code2 Method Month- Code2 Code buyer/seller

Cndc3 merger. Day(/\ -H) int.) (J-P) (J·Pl I (A- Cif private redempl ion) (Q-W) m transiicti1m)

L]NONE (No reportahle income, as. ets, or transactions)

I. Rental Prop. #1, Kings County, NY E Rent Pl w

Rental Prop. #2, Kings County, NY F Rent Pl w

3. Teachers Insurance Annuity Association E Interest Pl T

4. College Retirement Equities Fund None 0 T

5. Supplemental and Group Retirement Annuities D Interest N T

6. Vanguard lnt'I Mutual Fund A Dividend J T

7. Pfizer B Dividend M T gift 12130 J

8. IBM Common Stock A Dividend J T

9. Brooklyn Federal S & L A Interest K T

10. Brookyn Federal S & L A Interest J T

11. Chase Manhattan Bank A Interest K T

12. Chase Manhattan Bank A· Interest J T -

Chase Manhattan Bank B Interest L T -

Chase Manhattan Bank A Interest J T14.

15. Chase Manhattan Bank A Interest J T ··-

16. N. Y, C. Local Gov't. Bond Series F B Interest K T --.

17. N.Y. State Local Gov't. Bond Series D A Interest J T

18. NYC G/0-Series G RFDG A Interest K T

· - -- -- - - ---·- -- ....- ---·-· - $5,{l(H-$15,0orJ E ·:SJ 5.001-\50.00ll =Jm:omclGain (\Kit!.'\: A = $1.000 or less s 1,00 l-$2,500 = $2.501-$5.000

\ S.,e Colunms BI and [).1 J F - $50,001-$100,000 G "-Sl00,001..SlJlOO,OOO HI " St,()O{l,00!-S5,000,000 H2 '" More than $5.000,000

Value Codes: J ---SIS,000 or less K "- Sl .001-$50,000 L $50.001-$100.000 M "' $100.(J()l-$250,00() ·-

= $1,000,00l-S5,000,000 $5,ll00.001-$25.000.00()1Scc Column' Cl and[)'.\! N $'.!50,000-SSOO.OOO () = $500,001-$1,000.000 Pl

,,, - 25,000,00l-$50,000.000 P4 "· $More than S50JJOO,OOO

Value l\lclh,iJ Cod" Q ··Appraisal R "- Co.;1 (Real Est:rteOnly) s -- Assessment T Cash'Mnrket

IS...-e Column C1) 1) Book Valnl' v Other w '"Estimated·-·

B

\() -

!3) «ii

(A-11\

B

-

,

35.

8.

(e.g..

c.

If' not exempt fo·,m disclosure

(2)

9/15

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Rcpnrt

Page 2of5 Scheindlin. Shira A 7/15/2004

VII. I VESTMENTS and TRUSTS - mcmne, value, trnnscauons (includ.:s those of the '"ll"use and depend nt childrm. See pp. 34-57 of filing instmctions.i

A, D. Jncmne during Gross value at end of Transaction:; dnrin reporting period

Description of i\ssets reporting period reporting period (including rrnst assets)

(2) (Ii (2) \ll

(5)Place ·rx)" after each a. set exempt Amoont Type Value Value Type (e.g. Date:

Codc2 Method bn)'. sell. Month-Value Gain Identity of

Code 2 Code buvcriscllcrfrom prior disck>sun: Code I div rent. or

(A-H) int.l (J-P) CodeJ merger, Da�· (J-Pt I (if private redemption)\Q-WJ transaciion)

19. NYS Local Gov'l Assist. Corp. Series C RFOO A Interest J T Redeemed 4/01/ B

20. NYC G/O series D A Interest J T

21. NYC G/O Series E RFDG B Interest K T

22. NYS Local Gov't Assist Corp. Series C B Interest K T

23. NYS HSG Finance Agency B Interest K T Redeemed 9/30/

24. NYC Bond series H A Interest J T

25. NYS HSG FIN AGY SER C (sec explanation) A Interest J T Redeemed A

26. Fidelity Advisor Equity Growth Mutual Fund None K T

27. Fidelity Advisor Technology Class T None J T

28. Fidelity Advantage Small Cap. None K T

29. Fidelity Advantage Mid Cap None K T -

30. Putnam New Opportunities Mutual fund None K T

31. Deutsche Bank/ Alex Brown Cash Reserve A Dividend J T Transfer 11125

32.

33.

IRA Provident Mutual Life Ins.( I 00% Fidelity Contra Fund)

IRA State Street Global Advisors

None

None

M

J

T-

T

sale 8/15 M

34. IRA Fidelity Management and Research None K T

IRA lbe Dreyfus Corp. None J T

36. IRA Scudder Kemper None J T

I. lncomclCiai11 Codes: A Sl.000 or less

1 See Columns Ill and D-1 l F = S50.00l-SIOO,OOO

2. Value Codes: $15.000 or less

lScc Columns Cl :md D ) N S250,000-S500,000

P3 ,, S.!5,000.001-SS0,000,000

V :11 uc Method C 1>dcs () .-. .Appraisal

!Sec Cnlumn l'Z\ u = Book Value

G

K

()

R

v

·- · - - - -· · Sl,001-S2.500

"$100,001-Sl,OOO,OOO

= Sl5.001-S50,000

; S500,001-S1,000.000

- Cost (R JI fatale Only1

··Oth\.'f

c $2.501-$5.000 D $5,00l-S15,00IJ

Hl "$1,000,001-$5,000,000 H2 -- More than $5,000,000

L . $50,001-SIOO,OOO M ,, SJOO.(JOJ-$250,000

Pl ; $ l,000,001-S5,000,000 f>.! $5,000.001-$ 5.000,000

P4 .- $More than S50,000,000

s /\ssessment T Ca l,.-M,uket

w -- Es1i1m11ed

F Slo.OOl-S50.000

2

l

(I) (2) {4)

r

39.

49.

51.

\I)

(2)

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page 3of5 Scheindlin, Shira A 7115/2004

VII. INVESTMENTS and TRUSTS - income, value, transcation" \includes those of the ,·pouse and dependent children. See pp. 34-57 offilin iit<tmctions.)

A. 8. c. D. Income during Grot<S value at end of Trm1sactions during reporting period

Descripti1lll of Assets reponing period reporting perit>d (mcho1ing tmst assets)

If IK>t cx..,mpl lhm1 disclosure(2) (ll (3) (:i)

Place "(Xl" after each a<;.o;et exempt Type (e.g.Amount Type (e.g. Vaine Vaine Date: Value Gain Identity of from pnor disclosure Code2 Method buy, sell, Month-Code I div. rent or Code2 Code buyer/seller

merboer,(A-H) int) \J-P) Code3 Day (J-1') I (A- (if Jlrivalc rcdcmpt ion) (Q-W) l-1\ trnnsaction l

37. MCI Worldcom Inc. None J T

38. America Online None J T

Dell None J T

40. Flag Investors Communication None K T

41. Flag Telecom Hldgs LID None J T Liquidated 4/30

42. MRV Communications Inc. None J T

43. Jupiter Communications Inc. None J T sold 4/9

44. Price Commun. None J T

45. Micron None J T

46. Fairchild Semiconductors None J T

-

47. Hewlett Packard A Dividend J T -

48. ATMI None J T

50.

-Microsoft None J T

AXA Financial A Dividend J T-

52.

Merrill Lynch Semi Hldrs None sale 718 A

..

NASDAQ I 00 Trust None sale 718 c

53. Activ;-Asset Money Market (see explanation)

54. Scudder Flag Investors

l. lnco111c.'Gai11 Codes A $1,000 or less

I See Columns BI and D·l) F $50.001-$100,000•

Value Codes- ''$-I 5,000 orless

(See Column Cl :md D>) N $250,000-S500.000

PC\ $2'.lll)(),fJOl-s;o.ouo,ooo,_

··Value Mcth1>d C1l<lcs Q Appraisal

(S e ('1)l111nn l '2\ \j " Book Vahoe

A Dividend

None

. .. - -- ·· -- · · ··-·- ·-·-- . ...

B = Sl.001-$2,500

G "· SlOO.OOl-Sl,000.000

K "$15,001-$50.000

0 $500.00J-S1.000.000

R Co t \Real Estate Only)· ·

v other

J T

J T

c $2,501-$5.000=

HI , SJ,000,001-SS,OO-O,OOO

L $50,001-SlOO,OOO

Pl $1,000,001-S5.000,000

{' '" $More than SS0,000,000

s Assessment·

w Estimated

Buy 719 J

D S5,001-Sl5,000 F Sl5,0tll-$50,000

Hl ·More than $5.000,000

M ·" SIOOJ.101-$250.000

Pl _, $5,000.001-Sc5.ll01l,OOO

T OL hiMarket

-(1)

-

'-

.

'

(I)

913

913

FINANCIAL DISCLOSURE REPORT Date of Report Name of Person Reporting

Page 4of5 Scheindlin, Shira A 7115/2004

- income, value, transcations (include those oflhe spouse and depen<lent children. See pp. 34-57 of filing instruction>.) VII. INVES'FMENTS and TRUSTS

A. B. c. n.

Description of ASS<.1s !including mist a•set'IJ

Income during rt.'1lorting period

Gro:;s value at end of reporting period

Trai1sal·tion during reporting pcno<l

II not ex mpt from disclosure (I) (2) !I) (2) (3) (4) (5)

55 .

Place "(Xl" ali"1" each ;�set exempt from prior disclosure

Cisco

Amomt Code I (A·HJ

Type (e.g. div. rent. or int.)

None

Value Code2

(J-P)

Value Method Code3 !0-WJ

Type (e.g. buy. sell. merger, redemption)

sale

Date: Mondi· Day

3121

Value l\llle 2 (J-P)

Gain Code I (A· 1-l\

ldenlily or buyer/seller (if private tnmsaciion)

56. Cisco None sale 3121

57. Bank Hapoalim A Interest J T Buy 4/9

58. Standard and Poors Depositary Receipts None buy 419 J

59. Standard and Poors Depositary Receipts A Interest sale 712 B

60. Intel A Dividend sale 1212 B

61. Intel A Dividend sale 12/19 B

62. Rochester Municipal Class B B Interest L T buy 3/6 L

63. Rochester Municipal Class B B Interest L T buy 10/23 L

64. IRA Prime Fund Daily Money Class None buy 8/15 M

65. IRA prime fund daily money class None sale 918 M

66. IRA Sentinel Cap Inc Markets Class B A Dividend K T Buy 913 J

67. IRA Sentinel Growth Index CL B None K T buy K

68. IRA Sentinel MidCap Growth Class B None K T- buy 913 K

69. IRA Sentinel High Yield Bond Class B A Dividend K T Buy J

70. IRA Sentinel Intl Equity Class B None K T buy 913 J

71. IRA Sentinel Small Company B None K T buy 913 J

11. IRA Sentinel Bond Class B A Dividend K T buy 913 J

I. lnc•H11<:iGain C..Mle:.:

I See Column,; B 1 ari.l D-1)

Value Code�:

1 See Columns CI and D3)

Valu.: Mellb-.d Codes

( S<>c C11lion11 C2\

A Sl,000 or le.%

F $50,001-SIOO,OOO

=Sl5Jl00 t)r less

N $250,000-$500.000

PJ · · S25.000.001-S50.000,000

Q ··Appraisal

II !look Valtte

B

G

K

()

R

v

·-···-· -··-·-· ·-

= Sl.001-$2,500

'"SJ00,001-Sl.000,000

- $15.001-$50,000

= 500.!lOl-Sl.000.000

·'Cost i Real Estnte Only)

Other

c - $2,501-$5,000

HI "Sl,OOO,OOl-S5,000,000

L = SS0.001-$100.000

Pl Sl,000,001-$5,000,000

P4 . · $More than $50,000,0{)0

s 1\. sess1 1

w -' E.'>limal<:d

[) = $5,0(11-$15,000

112 ··More tlU111 $5,000.000

M ,, SI OO.OOl-S250,000

P2 $5.000.00J-$25.000.000

T · CashfMarket

F SJ.'\.<101-\50.01)i1

------ -----

(2) (J) (4) (5)

D r "- · -· -

( )

73.

(I) (2)

FINANCIAL D1SCLOSURE REPORT Date of R i;portName of Person Reporting

Page 5of5 Scheindlin. Shira A 7/15/2004

- inccime, value, trauscations {includes those of the spouse and dependent cl1ildre11. See pp. :l4-S7 of filing instrnctions.)VU. INVESTMENTS and TRUSTS

B. c. 0.A. Income during Gross value at end of Transactions during reporting period

Descri11tion of A 1>Cts reporting period reporting period dnclnding tmst assets)

lf 1u t cx 1npt lfoni disch>sttrc (I) (ll

Type (e.g. Place "(X )" after each asset exempt Date:Value Value Identity of Amom1t Value GainType (e.g. buy, sell. Month-fr11111 prior disclosure Code 1 div. rent or Cooe2 Method buyeriscllerCode2 Code merger, Day (if pril·ute (A-H) int.) (J-P) CodeJ (.l-l'l I (/\-redemption) 1-1\ transaciion)(Q-W)

buy 9/3 KNone K TIRA Sentinel Common Stock Class B

74. Semi Holders

75. NASDAQ

76. Intel

77. Microsoft

78. Nortel

79. Semi \folders

None

A Dividend K T

A Dividend

A Dividend K T

None K T

buy

buy

buy

buy

buy

sale

3/17 J

3/24 K

718 K

9/17 K

9/23 J

7121 K A

- · --·-- ·-·--

1. l11comciGai11 Code.,. A. . $.1.000 ur lcs.s B = Sl,001-$2,500 c = $2.501-$5.000 = $5,001-SIS,O(lO - .)15.001-$50.000 -

(Sec Columns Bl and D4l F ' $50,001-$100,000 G =$100.001-S l,OOO.OOO HI , S1,ooo.001-ss,ooo.ooo H2 • More than U.000,000

Value Codes: ·' $15,000 or less K = St5,00J-$50,000 L ' $50,001-$100,000 M ·• $IOO.OOl-S250,000

Pl = Sl,OOO,!){tl- 5,000,000 P2 $5,()(>0.UOl-$'.!5.000,00(11.Sce Column' Cl ;oncl D:l1 N SZ50,000-S50f.t,OOO () = SS00.001-$1,llOO.OOO

]>3 '>25,()(l\l.001-S50.000,000 P4 '· $More than S50.000.MO

Y <lflll' Mcti1od C\)0.:S Q Appr.u!::il R ·· Crn;t f.R al fatale 011ly) s Assessm-."llt T · C aslitt-.fark<:t

v . 01ha w btimatedi cc Cnlu11111 C21 IJ ·' Book Yalu('

FINANCIAL DISCLOSURE REPORT Name of Person Reporting

Scheindlin, Shira A

Date ofR eport

7/15/2004

(Indicate part of Report.) VIII. ADDITIONAL INFORMATION OR EXPLANATIONS

Name of Person Reporting FI ANCIAL DISCLOSURE REPORT

Scheindlin. Shira A

Date l >f Report

7/15/2004

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children. if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

J further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Date

LSIFIES OR FAIL 0 FILE THIS REPORT MAY

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Commi_ttee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544