leonard b sand financial disclosure report for 2009

8/3/2019 Leonard B Sand Financial Disclosure Report for 2009

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A O t O FINANCIA L DISCI,OSURE REPORT t ~ e p o , t R e q t t i r e d b y t h e E t h i c sin Goverument Act oJ 1978~ev. z / ~ O ~ O FOR CALENDAR YEAR 2009 ( s u .S . C . ,, p p . , ~ ~ o ~ - ~ O1. Person Reporting (last nam e, firs| , middle initiaI) 2, Court or Organization 3. Date of Report

SAND, LEONARD :B. U.S. DISTRIC 1 COURT: SDNY 8J13/2010

4. Title (Article ill judges indicate activ~ or senior s!atus; :Sa. Report Type (check appropriate type) 6. Reporting Periodmagistrate judges hxdicate fidl- or part-tlme) [] Nomination. Date 0!f0112009LLS. DISTRICTCOIJRTBJDGE ~ Inifiat ~ Annual ~ Final te! 2 ~ 3 1 1 2 ~ ) 0 9

5b. ~ Amended Rcpo~7. Chambers or Office Address 8. On [he basis of ~he information tin,rained in tM~ Report and a~ymodifications pertaining ~l~erelo, it is, in my opinion, in ~omplianceU.S. COURTHOUSE whh applicable laws and regulations.500 PEARL STREET, ROOM 1650NEW YORK, NY 10007 Reviewing Officer Dale

1 3 : IP O R T A N T NOTES: The it~structions aceompanyit~g this form must be followed. Complete all parts,checking the NONE boxJbr each purr where ),ou have t~o reportable information. Sign on last page.

I. POSITION S.[~1 NONE (No reportable positions.)

PO S IT IO N N A M E O F O R GA NIZA T |O N!ENT IT YI. TRUSTEE TRUST #2

N O N E (No repcrtable agreement.s. )D~VIE PARI [12S AND TERMS


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FINANCIAL DISCLOSURE REPOR T N ....of P ..... Reporting Da|e of Repor~Page 2 of 1 3 S A N O , L E O N A R D B . 8 / t 3 / 2 0 1 0

I ll . N O N - I N V E S T M E N T I N C O M E . (S~por,i.g i.di.~d,,ot o.~.~ p ..... ; ~ . ~ p p . 1 7 . 2 4 of filing i .......ions.)A. Filers Non-Investment Income~ NON E non-im,estment income.)D A T E SO~CE AND TYPE INCOME

(yours, not spouses)1. 2009 TEACHING SALARY - UNIVERSITY (NYU) $20.000.00

2.

3.

4.

B . S p o u s e s Noll-ll|vestllleIlt ] ncom e - ~fk,o,, were married during any portion of the reporting year, complete this sectio~[ N O N E (No reportable non-investment income,)

D A T E SOURCE AND TYPEI.2.

3.

4.

( l. c lu d c s t h o s e t o s p o n s e m r d d e p e n d e n t tllhil,Jtln; Sge p p . 2 5 - 2 7 Of.l~l ~ g n~tr ~lliOt S )N O N E (No r~7~ortable reimbt.wements.)

SOI.YRCE ~ L O C A T I O N PURPOSE I T E M S P A I D O R P R O V I D E D

2.3.45.


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FINANCIAL DISCLOSURE REPORT NPage 3 of 13 S A N D , ~ O N ~ R ~ ~

~ N O N E (No reportable g~s.)SO~CE DESCRIPTION

2.3.4.

5.

V I . L I A B I L I T I E S .


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FINANCIAL DISCLOSURE REPORT N .... f ~ . . . . . R e p o , t i , , : [ O o t e o f 1 ~ 0 p n , ,Page 4 of 13 SAND, LEONARD B.t

8 / 1 3 / 2 0 1 0

VII. INVESTMENTS an d TRUSTS -i,,~. ......... ~ ...........,~o,,~ (Inch,des ,,ose of sp ........d dep endent chiblten: see pp. 34 .60 of filing instructions.)~ NONE (No income, assets, transactions.)eportable OF

Descriplion of Asscts lnc om e during Gross v alue at end Transactions d~ring reporting period(~ncluding trust assets) repo~h~g period of reporthtg period

(~) (2) 0) (2)Place "~X)" af cr cac~ sse Amount Type (e.g.. Value ~ Value Type (c .g . Dateexempt t?om prior disclosure [ Code J div..rent, Code 2 Met~.~d buy, sell, mm/d~,yy Code 2 Code I buycrisdler~ IA-H) or ira.) (J-P) ~ Code 3 redemption) : (J-P) ( A - ~ " 1 (i "privatel (Q-W~ : transaction)

1. EXXON MOBIL COMMON STOCK A Dividend J T

2. IBM COMMON STOCK C Dividend M T3. BP AMOCO PLC COMMON STOCK I) Dividend M T

4. SAFETY KJ,,EF-N CORP COMMON None J TS-[OC K5. NIKE INC COMMON STOCK B Dividend M T6. COMMERCIAl.. METALS COMMON D Dividend M TSTOCK7. STRYKER CORP COMMON STOCK D Dividend O "1"8. TOOTSIE ROLL INDS COMMON STOCK A Dividend K T9. UNITED COMPANIES TAX DEFERREI) B I n t e r e s t K ["ANNUITYi0. KIMBERLY CLARK COMMON STOCK B Dividend L TI I. KIMBI~RLY ()LARK COMIVlON STOCK A Dividend J T1 2 . MC.KESSON FIB()(: COMMON STOCK A Dividend K T

13 . JP :MORGAN CIIASE & CO COMMON A Divklend K TSIOCK14 . NASSAU (71Y SER N MI_INI BOND A I n t e r e s t J T15 . NEW YORK SFATt! DORM A U MUNI B I n t e r e s t K "1"BOND1 6 . NEW YORK STATE D ORM AU MUNI A I n t e r e s t Sold 09/14/09 J BBOND1 7 , PORT ALJIH NY & NJ MUNI BOND A Interest Sold 03/05/09 J t.3


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F INANCIAL DISCLOSURE REP ORT NPage 5 of I3 S A N O , L E O N A R D B , 8 1 1 3 1 2 0 1 0VII. INVESTMENTS and TRUSTS - i .......... t,,~, t ........ions anchules those o/W ........ d d ependent chlhlren; see pp. 3,1-60 of f!llng instructions.)

N O N E 0 V o reportable income, assets, or transactions.)i. D escription of Assets Income ~uring j Gross value at end :ransactions duri~g reporting period

: (including lrus~ a~e~s) reporting period i of repoSing period(B (2) ; Place "(X)" al)er each asset [Amount ~ ~ypc (e.g., VMoe V alue Typee~cmp~ from prior disclosure Code 1 ~ div.. rent, Code 2 Method buy, selL mmid6~ Code 2 Code 1 buyeffsclle~(A-H) : or int.) (J-P) Code 3 redemption) ~ (J-P) (A-H) (if private( Q -WI.................................................................... ~ ........................

18. LM CLEARB AGG GRW FD C.L A No n e K T Sold 1 !/09/09 L A(FORMERLY PTNRS AGG GRW CL B) (part)

19. LM CLEARB AGG GRW FD CL A None J(FORMERLY PTNRS AGG GRW CL B)

20, NY STATE ENVIRONMENTAL FAC" B lnteres~ Sold 09!t4/09 K AMUNI BOND

2 I, BERMUDA PROPERTIES LTD N~ n e J TCOMMON & PFD STOCK22. OLSIEIN FINANCIAL AI.ERT F~D - B Dividend N TCLASS C23. LM WEST ASSET HiGH [NC FD CL B C Dividend Sold ! 1/09109 K A

(PTNRS HIGH NC FD CL B)24 . E.M CI..EARB LG CAP.GRW FD CL B Nene K T

(PTRNS I,G CAI GR FD)25. LM WEST ASSET HIGH INC FD CL B B Dividend Sold 11/09/09 K A

(PINRS ]tlGH ~C FD C,L ~)~6. NYS DORM AUIH REVS RFDG [.ENOX A Interest J T] HILL HOSPIIAI~ MUNI BOND27 . IIAIN CELSTIAL GROUP No n e J T

2 8 . OLSTEIN FINANCIAL ALER"I FUND A Dividend M TCLA S S C2 9 . ANNA1..Y MORTGAGE MGMT C Dividend K rCOMMON STOCK3 0 . LM CLEARB CAP & INC FI) CL C" C Dividend Soid 1 1 / 0 9 / 0 9 M A(PINRS CAP & INC FD CL C)3t. LM |NV SO( IAI., AWARE I:D CL C A 13ividcnd Sold I I 1 0 9 / 0 9 K A(PTNR SOC AW AI~.E f,l) CL C)3 2 . OL.STI:.IN I:INANCIAt. ALERT FUND A Dividend L TC~,ASS C3 3 . LM CLEAR,t?, CAP & INC 1.D CL C A D ividend Sold I 1 / 0 9 / 0 9 K A(PTNRS CAP & INC FD Ck C)

1 3 4 " NEW YORK "IIMES CLASS A STOCK I(x) NonelJT


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FIN.~NCIAL DISCLOSURE REPORT N ~ . o f P ..... Reporting ] D a t e , ,r R e p o t ,Iage 6 of 1 3 SAND, LEONARD B. 8 / I 3 1 2 0 I 0VII. I N V E S T M E N T S a n d TRUSTS - i .......... ~ , , ~ , t ........iot,s (Inch,des those of sp .......... d dependent children; see p p , 3 4 ~ 6 0 offiling i n s t r u t t i o n ~

~ (No reportable income, assets, or transactions,)ONEDescription of Assets Income during ~ Omss value at end Trans~ction~ du~ing reporting period

(including trust assets) reporting p~iod : of repo~h~g period~--~--~~~ .......... : (; ............ ~~ . . . . . . . . . . . . . . . . . ~ i ~ . . . .. . . . .. . ~ ~ ~ ~.~P ! a c e " ( X ) " a f t e r c a d * a s s e t A m e u n t [ T y p e ( e g . , Value Value T y p e ( . g . . ~ Date Iv . r , , , c G a i n l d e n f ib ofe x e m p ~ f r o m p r i o r d i s c lo s u r e C o d e ] div .. real ~ Cod e 2 Methyl b u y , s e ! l , ~ n . . d ~ y y ~ C o d e 2 C o d e I b u y e r l s e l l c r( A - H ) o r i n t . ) ~t (JP) Code3(O.W)~ r e d e m p t i o n ) . ( J - P ) { A - [ I ) transaction}(if private................................................................................................... ~ ................. ~ .......... ~ .................... ~ ......................................... ~ ..............................3 5 . LM WEST ASSET A DJ RATE tNC FD A Dividend J T(PTRNS ADJ I~TE INC FD)

~ 36. LM CI,EARBR A PP FD CL B (PTNRS A Dividend M 1 "APP FD CL B){ 3 7 . LM CgEARBR I..G CAP GRW FD CL B None M T

(PTNRS LG CAP GRW FD)3 8 , FIRST MARBLEHEAD CORP COMMON None J TSTOCK

~ 3 9 . FIRST MARBLEHEAD CORP COMMON None Sold 0 6 ~ 1 0 / 0 9 .I A~ STOC~40, FIRSI" MARBLEHEAD CORP COMMON None Sold 07/06/09 J ASTOCK4 1 . WHIRLPOOL CORP COMMON STOCK A Dividend J T4 2 . W 1NDSTREAM CORP COMM ON STOCK A D i v id e n d J T

4 3 . NYC G!O FISCAL 1994 SER A M UNI N o n e 1 TBOND4 4 . NYCI"RANSTL FIN AU FUTURE M UNI A I n t e r e s t S o l d 0 7 / 2 8 1 0 9 K A

BOND4 5 . DISH NETWORK C[, A COMM ON B D i v id e n d K . T4 6 . LJSG CORP C O M M O N S T O C K N o n e J T4 7 . NYS I)()Rivl At; REVS RFD G BRONX B I n t e r e s ~ Sold 09/14/09 K ALEIIANON HOSP M U N I I3 O N I )4 8 . C C I M I " I . (. :R E F ) I" I C O I ; , P C O M M O N None Sold 07/06/09 J ASTOCK4 9 . E C H O S TA I~ C O RP C O MMO N S TO C K None Sold 0 6 1 1 0 , " 0 9 J A5 0 . LM CI_EARBR CA P FI) CL 13 None Sold 1 1 / 0 9 / 0 9 K A(F()RMERLY PTRNS CAP FD )5 1 . PU["RTO I~,l(O COMWLTH PUB SER A B I n t e r e s t L T

BONI)


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F INANCIAL DISCLOSURE REP ORT N .... f Person Reporting Date o[ ReportPage 7 of 13 SAND, L E O N A R D B , 8 / 1 3 / 2 0 1 0VII. INVESTMENTS and TRUSTS -- i ......... "air,e, transactions andud es th .... ~f sp .......d dependent children; see pp. 34-60 qffiling instructhms.][ NO N E (No r~Tortable income, assetx, or transacdons.). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . A. ......... ~ ..................... ~i" .............................................................................................

Description of Assets lncome during Gross value at end Transactions during ~epo~ing period(including first assets) reporting period of reposing period ~ . . . . . . . . . . . .P~ace "iX)" after cach asset I,~mounl rypc ic.~., Value [ Value Type (e.g.. Date Value Gain Idcmib ofexempt from prior disclosure /co d e ~ ~ div, rent. Code 2 ~ Method buy, seu. mm,d~ Code 2 C ode I buyer!seller(A-H) or ink) (J-P) Code 3 redemphon) (J-P) (A-H) (ffpnvate; (Q-W~ Iransaction}

52 . TRUSTS

53 . I~ A/C #1 E ln t . /Div. N T

~ 5 4 . (U.S. TREAS SECURITIES, MONEYMKT INTEREST & MUTUAL FUND

~ 55. DIVIDENDS FROM DE GROUP FD &~ EMERG~G MKT ~D)~6. I~A A/C #2 A lnt.!Div. K " I

57 . (U.S. TREAS SECURITIES, MONEYMK1" INTEREST & MUTUAL FUND

58 . DIVIDENDS FROM DE GROUP FD &EMERG~G MKTS FD)

~ 59. LIFE INTEREST IN INCOME OF

60. VALUE 01: TRUST HOLOI~GS E Int.biv. P I T

6 1 . IDENTITY O1: TRUST HOLDINGS6 2 . COMMON S T O C K S63 . E X X ON M OP, I L6 4 . GENERAL ELECTRIC65 . BRISTOL MYERS

6 6 . VERIZON COMMLNICATIONS : 6 7 . NORI;OLK SOUTI-IERN CORP

68 . NORTHROP GRUMAN


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FINAN(,IAL DISCLOSUR E REPO F ~ ..... f P ~ . . .. ~ p o , , i, , ~ O . ,e o ~ R , . ~ , o .Page 8 of 13 SAND, L E O N A R D B. 8 / 1 3 ; 2 0 1 0V I I . INVESTMENTS and TRUSTS - i ............ ~,,e, t ...... ons anchtdes those of sp ....... d dependent children; see pp. 34-60 O~ling ith~t, ctio

N O N E ( N o reportable income, ass ets, or transactions.)A. B. C, D.Description of Assets Income during Gross value al e~d rran~cfions during reposing ~riod ~(including m~st assets) ; rcpo~h~g period ~f relm~ing period } .................... :

Place "(X)" after each asset Amount ~ Type (e.g., V alue V alue Type (e.g., Date Value Gain hlcn6W ofexempt from prior disclosure (.ode I div.. toni. Code 2 Method buy, se!l. m m fd tg yv C o de 2 Code 1 buxerisellcr {A-H) , or int.) (J-P) Code 3 redemption) (J-P) IA-H) (if 3rlvatc ~Q - w ) i Imnsaction)]69. DOW CHEMICAL CO

7 0 . ILUM (;REEK TIMBER CO Sold 06/01/09 K7 , 1 . ZIMMER HOLDINGS IN(;7 2 . U.S. BANcoRP D EL COM7 3 . BANK OF AMEI~,ICA CORP Sold 02/20;09 J7 4 . I)t..I PONT Et DE NEMOURS & CO75 . RPM INTERNATIONAL INC Sold 06!10/09 K76 . AP.CHER DANIE1.S MIDLAND CO

7 7 . NESTLE SA (CIIF) I7 8 . LIFE INTEREST IN INCOME OF

~ TRUST # 27 9 . VAI .LIE OF TRUST HOLDINGS C h | t J D i v . N T8 0 . IDENTITY OF TRUST H OLDINGS8 1 . S13 MONEY FUND8 2 . C["IIt3ANK BANK. NA BANK I)EPP R I .) G R A M8 3 . CC)MMON STOCKS8 4 . 1lAIN C!~.I..ESIIAL GRP INC85. K [~ [ IO,ME


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FINANCIAL DISCLOSU RE REPORT ,~.,.~ of P ......Repo~ting Da,e nf Rt.l,ortPage 9 of ] 3 S A N D , L E O N A R D B . 8 / 1 3 / 2 0 1 0

V I I . IN V E S T M E N T S a n d T R U S T S - - i ,, .o , , ,, , v,,t,,e., . . . . . . . . . a,,,,.~ .,,,.,a~.. a ,o.e o ;.p ........ aN O N E (No reportable income, assets, or transactions)

...... ~. " ............ ~? ........ c. ................................................................................Dcscriplion of Assets Income during Gcoss v:due at end Transactions during reporting period(includin~ t~st assels) reposing period of reporling period ~ i ~ . . .. . .

Place"(X)" after each asse~ Amount Type~e g. . Value Value Type (e.g., ~ Date , Value I Gain [ ldc/~6ty ofexempt from prior disclosure ] Code l div. rent. Code 2 , Method buy. sell. ~mm/dd/yy : Code 2 [ Code 1 " buyer/seller~..,-H)

or mr.) fJ-P) Lodc 3 redemption) ~ (LP) [ (A-H) : (if privmc................ ...... .............. (Q- W) ] ~ : ~mnsaction)

86 . WASHINGTON MUTUAL INC Sold t 0 , " 0 6 / 0 98 7 . FIRST MARBLEHEAD CORP8 8 . FEDERAL NATIONAL MORTGAGE

ASSOCIATI~ON8 9 . WELLPOINT INC9 0 . GENERAL ELECTRIC

9 } . MUTUAL FLFNDS9 2 . OLSTEIN FINANCIAL ALEP, T FUND CLC9 3 . LM CLEARBR CAP & INC Fit) CL C(PTRNS CAP & INC FD CL C)9 4 . PARTNERSHIPS - LIMITED INTEREST9 5 . UNDERHII.1. ASSOC - ORIGINAI. COST C PTNSHP J R

S6,ooo INCOME9 6 . 150 IoAKE ASSOC. - ORIGINAL COST A PTNSHP j Rs3,ooo INCOME9 7 . RAMCO GERSHENSON PROPERTIES A PTNSHP j RCt - ORIGINAL COST $10,500 INCOME98. t3ANK A CCOUNTS9 9 . CITIBANK A I n t e r e s t ,1 T1 0 0 . )P MOIt, GAN CHAS E A I n t e r e s t K -l "I 0 1 . HI;DSON CITY SAVINGS BANK A Inlerest J I"1 0 2 . CITIBANK N.A. BANK D EPOSH" A lnlerest

PROGRAM


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F INANCIAL DISCLOSURE REP ORT N~m~ of Person Reporting . Date of Repot,Page 10 of 13 ; A N D , L E O I N A R I ) B . 8/13/201(I

N O N E ( N o reportable ittcome, ass ets, or trattsactions.)Description of A~sets Income during Gross value al end Transacl[ons during reposing periodincludin8 rust asse s) reposing period [ ofreporfi~g Ceriod

Place "(X)" at~er each as~;ct An ou/ ~ ~ de I d iv ., re nt, " Code 2 Method buy, soU, mm/d~Uvv : Code 2 ~ Code I buver/sctlerlior disc!osu~e] (A-H) or h~l.) ~ (J-P) Code 3 rcdcmptlon) ~ (J-P) ~ (A-H~ lifprivaze( Q- W) ~ transaction)

103. C1TIBANK N.A. BANK DEPOSIT A Interesl J TPR()GRAM104. CITIBANK .NA. BANK DEPOSIT A Interest J TPROGRAM105. ~EY BANK NATIONAL ASSOCIATION A Interest106. k~NION STATE BANK No n e Closed107.

t09.

It0.I11.

1 1 2 .

[ 13 .

I14 .

1 1 5 .

116.

]7 .

19 .


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FIN,~CIAL DISCLOSURE REPORT N.,.e of P .....Reporting Date of Repot!P a g e . ~ 1 1 of t3 S A n ~ , L E O N A R I ) B . 8 / 1 3 / 2 0 1 0

VII. I N V E S T M E N T S a n d T R U S T S - - i,,,. . . . . . . . . . ~ . . . , . . . . . .. a o , . ~ a , , . ~ a ~ t t , o ~ . ~~ NONE (N~9 reportable income, assets, or transactions.). . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . .. . ~ . ~ ........................ ~? .............................................. 1~ ? ..............................D escription of Assets Income during Gross valae ~t end Transactions during reporting period

(including trust assets) rcporli~g period of reporting periodPlaee"(X)" after each asset [Amout~t ~ Type{e.g.. Value ~ Value Typecxcmpt I?om prior disclosure Co~e 1 . div., rcn~, Code 2 , Method buy, sell, mm/ddiv~ Code 2 Code I b u y c t d s e l l e ~] (A-H) ~ o r i n ~ . ~ t l . . P ) . , t~ Code 3 edemp~io~[ t I (Q-W~ tmnsacuo~


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FINANCIAL DISCLOSURE REPORT N .....Person Reporing DateofRepc.rtPage 12 of 13VII I. AD D ITIONAL INFORMA TION OR EXPLANATIONS. a ,, di .... ~ a , , ~ t R , ~ o o r , . )


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FINANCIAL DISCLOSURE REPORT , ~ . . . . . . r ~ e , . s o . R ~ p o r , i , ,~ o ~ o f R ~ p o , ,Page 1 3 of 13 S . , ~ N D , L E O N A R D B . 8 / 1 3 i 2 0 1 0IX. C R I IFICA rl ION.

! certify that all informalion given above (including information pertaining to my spouse and mimer or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applieahle stattttoryprovisions permitting non-disclnsure.I further certify thai earned iucome from outside employ men! and h ouoraria and the acceptance of glfts wh ich |,ave been reported are incomplia~nce with the pravisioas of 5 U.S.C. app. 5 01 et. seq., 5 U.S.C. 7353 , and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL W.HO KNOW INGLI~ AND WII.,F[ILI.,~ JBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FI |, ] NG I N ST RUCTION SMail signed original and 3 additional copies to:

Committee on Financial Disclosu,eAdminislrative Office of the United States CottrtsSuite 2-30 IOne C olumbus Circle, N.E.W ashington, D.C. 20544


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SAND , LEONARD B .ATTA CHMENT TO FO RM AO -10

2009

VII . T R AN SA CT ION SThe undersigned has small minority interests as a limited partner in the limited partnerships listedin Part VII an d is not in a position to obtain data regarding transactions in real prope rty, securities,etc. If any further information is required, please refer to his tetter of August 21 , 1980 to theHonorable Ed~v ard Allen Tarnm, Judicial Ethics Comm ittee.

leonard b sand financial disclosure report for 2009

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