richard owen financial disclosure report for 2010

8/3/2019 Richard Owen Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101~111)

1. Person Repor t ing ( las t name, f i r s t, middle ini t ia l )Owen, Rich ar d

4. Title (Article 111 judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

2. Court or OrganizationUS D is t r ic t Cour t S . Dis t NY

5a. Repor t Ty pe (check appropr iate type)] Nomination, D a t eSenior D is t Judge

7. Chambers or Office AddressUS Distr ic t Cou~500 Pead S tNew York , NY10007

[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in th is Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws an d regulat ions.

Reviewing Officer Date

[ 3. D a t e o f R e p o r t09/12/2011

6. Reporf ing Per iod01/01/2010

to12/31/2010

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 informatiot~ Sign on last page.

I . P O S I T I O N S . m e v o n i n g individual only; seepp. 9-13 of f!ling instructions.)~] N O N E (N o reportable po sitions.)

POSITION NAME OF ORGANIZATION/ENTITY

2.

3.

4.

5.

I I . A G R E E M E N T S . r R e v o n in g i n d i v i d u a l o . ly ; s e e ~ . 1 4 - 1 6 of f!ling instructions.)~] N O N E (No reportable a greements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r s o n R e p o r ti n gOwen, Richard

D a t e o f R e p o r t09/I 2/2011

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-Investm ent IncomeD (No reportable income.)ONE non- inves tment

DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )1. 2010 Music Roya l t ie s ASCAP $271.462.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during anyportion of the reporting year, com plete this sectiot~(Dollar amount not required except for honoraria.)D N O N E ( N o reportable non-investment income.)

DATE SOURCE AND TYPE1. 2010 Pr iva te Voice Instructor2.3.4.

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 t .(Includes those to spouse and dependent children; see pp. 25-2 7 of f!ling instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

1 .2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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Name of Person Repor t ingOwen, Richard

Date of Report09/12/2011

V . G I F T S . a n c t u d e s , h o s e to s p o , s e a n d d e p e n d e n t children; see p p . 2 8 - 3 1 of flling instructions.)N O N E (No repo rtable gifts.)

SOURC E DESC RI PT I ON1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a , ,a u d e ~ t h o ~ e o .~ , o u ~ e . ,, d d e ~ , e n d e , , t c ~ , i t ,~ r e , , ; ~ e e n , . ~ Z - ~ 3 o f . a U . gNONE (No reportable liabilities.)

C R E D I T O R D ESCRIPTION1 .2.3.

4.5.

VALUE CODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 8 la m e o f P e r s o n R e p o r t i n gOwen, Richard D a t e o f R e p o r t09/12/2011

V II . IN V EST M EN T S and TRU S T S - i .... e, value, t ......ions ( Includes those o f spouse and dependen t ch i ldren; see pp . 34-60 o f f i l ing instructions . )NONE (No reportable income, assets, or transactions.)

(includ fig t~ ~S~ts) . . . . . . . . . .

1 . A L C A T EL LU C E N T N on e J T2. A T & T A Div idend J T3. B L A C K R O C K I N T E R N A T I O N A L A Div idend K T

! 4 . D O W C H E M I C A L A Div idend J TF I F T H T H I R D B A N C O R P A Div idend J T

6. C O N E D A Div idend K T!7 . H EIN Z A Div idend J T8. H E R S H E Y A Div idend J T9. H A N ES B R A N D N one J T1 0 . H O M E D E P O T A Div idend K T1 1 . INTEL A Div idend K T1 2 . INT E R. P UBLIC None K T1 3 . J OH NSON & J OH NSON A Div idend J T1 4 . K I M B E R L Y C L A R K A Div idend J T

1 5 . LAZARD A Div idend K T1 6 . LS1 C ORP None J T1 7 . M A R S H & M C C L E N N A N A D iv iden d J T

I. Incom e G ain C odes: A =$1,000 or le ss B =$1,001 - $2,500(See C o lu mns B I and I M) F =$513,001 - $100.000 G =$100.001 - $1,000,000

2. Value Codes J =$15,000 or less K =$15.D01 - $50.000(See C o lu mns C I and D3~ N =$250,001 - $500,000 O =$500,001 - $t.000,000

P3 =$25,000.001 - $50.000,0003. Value Method Codes Q =A ppra i sa l R =Cost (Real Estate Only)(S ee C o lu m n C 2) U =B ook V alu e V Other

C =$2.501 - $5.000 D =$5,001 - $15,000H 1 =$1,000.001 - $5.000.000 H2 --More than $5;000,000L $50. 001 - $ I00, 000 M =$100,001 - $250.000P 1 = $ 1. 00 0. 00 1 - $5 .0 00 .0 00 P 2 = $ 5, 00 0, 00 1 - $2 5, 00 0, 00 0P4 =M ore than $50.~)00.000S =Assessmen t T =C ash Mark e tW =Es t ima ted

E = $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0


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N a m e o f P e r s o n R e p o r t i n gOwen, Richard

Date of Report09/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i nc o m e , value, t ...... tions ( Includ es those of spouse and d epend ent children; see pp . 34-60 of f i l ing instructions.)D N O N E (No reportable income, assets, or transactions.)

1 8 . M OTOROLA None J T1 9 . M O T O R S L I Q U I D A T I ON N o n e J T

20 . N E W W OR L D B R A N D S N o n e J T21 . P R O C T OR A N D G A M B L E C Div idend M T22 . N Y T I M E S N o n e J T23 . N U V E E N T R A D E W 1 N D S A Div idend L T24 . S A R A L E E A Div idend J T25 . S O U T H E R N C O R P A Div idend J T26 . U S B A N C O R P A Div idend J T27 . W I L M I N G T O N T R U S T A Div idend J T28 . N Y C G O M U N I 5 % 2 0 2 4 A Int . /Div. J T29 . NYC G O MUNI 5 .25% 2027 A Int . /Div. K T30 . N Y S T A T E G O 4 % 2 0 2 0 A Int . /Div. K T3 1 o C I T I B A N K C D 2 % A Int./Div.32 .

3 3 . C O R N 1 N G N Y C 4 % 2 0 1 1 A Int.dS)iv. K T34 . HILTON CSO NY 3.75% 2013 A Int . /Div. K T

B uy 11/24/10 JBuy 11/24/10 KB uy 1t/24/10 KB uy K

Matured 07/02/10 K*see Part VIII

1 . I ncome Ga iaC edes : A = $1.000 or less B = $1,001 - $2 ,500 C =$2.501 - $5,000 D =$5.001 - $15,000( Se e C olu mn s B 1 an d 1 34 ) F =$ 50 .0 01 - $ 10 0.0 00 G =$1 00,D 01 - $1 ,00 0,0 00 H 1 = $ t,0 00 ,0 01 - $ 5,0 00 .0 00 H2 =M oie than $5.000.000

2. V alu e C odes J =$15,000 or less K =$15.001 - $50.000 L -$50.001 - $100,000 M =$100,001 - $250,000(See C o lu mns C 1 and D3) N =$250.001 - $500.000 O =$5 00,001 - $1 ,000,000 PI =$1.000.001 - $ 5,000,000 P2 =$5.000,001 - $25,000,000

P3 =$25.000.001 - $50.000.000 P4 =More than $50,000,0003. Value Method Codes Q =A ppra i sa l R =Cost (Real Estate Only) S =Assessmen t T =C ash Mark e t( S e e C o l u m n C 2 ) U =Book V alu e V =Olher W =Es t ima ted

E =$15,001 - $50.000


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N a m e o f P e r s o n R e p o r t in gOwen, Richard

D a t e o f R e p o r t09/12/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, t ...... t ions ( Includes those o f spouse and dependent ch i ldren; seepp . 34-60 o f f ! l ing instruct ions . )[~ N O N E income, assets, or transactions.)N o reportable

A. B. C. D ,D e s c r i p t i o n o f A s s e t s Income during G r o s s v a l u e a t e n d Transactions d~ng reporttng period( i n c l u d i n g t r u s t a s s e ts ) r e po si n g p er io d , o fr e po rt i n g p e ri o d

Place "(X)" after each assetexempt from prior discl0suge

(t) (2) (1) (2) (1) (2) (3) (4)Amount Type (e.g., Va lu e . V al ue Type (e.g., Date . . . . Value Gaine~d ~ i ~i~., ;e~t, Code 2 Method buy, sell , m m / d d /y y C o d e 2 C o d e 1(A-H~ or int.) (J:p) C ode 3 redemption) (J-P)

(Q-W)

35 , L I P O W E R 5 . 5 % 2 0 1 2 B Int . /Div. L T36 . N Y C 5 . 2 5 % 2 0 1 2 B Int . /Div. K T37 . N Y L O C A L G O V T 5 % 4 / 1 8 B IntJDiv. K T38 . N Y C T R A N S 5 % 2 0 13 B Int . /Div. K T39 . N Y D O R M 5 . 2 5 % 2 0 20 B Int . /Div. L T40 , N Y T H W Y 3 . 7 5 % 2 01 2 A Int . /Div, J T41 . O Y S T E R B A Y 3 . 7 5 % 2 0 1 4 A Int . /Div. J T42 . RYE BR OOK 3.375 2014 A Int . /Div. J T43 , SOUTH H UNT INGTON 3 .6 201 1 A Int . /Div. J T44 , SUFFOLK 3 .6 201 4 A Int . /Div. J T45 . T O B A C C O S E T T L M T 5 . 5 2 0 19 B Int . /Div. L T4 6. T OB SE TT LM T 5 201 2 A Int . /Div. K T47 . W . B A B Y L O N 4 2 01 4 A Int . /Div. J T48 . W H I T E P L 4 . 2 5 2 0 1 8 A Int . /Div. K T49 . N Y C 2 0 1 3 A Int . /Div. J T50 . N Y N Y 4 . 7 5% 8 / 2 5 B Interest K T

(s )I d e n t i t y o fbuyer/seller

(A=I-I) ( i f p r iva tet r a n s a c t i o n )

1 . lnc0n ie Ga in C od~s : A =$1,000 ~ ieg~ B =$1,001 - $2~500 C =$2,501 - $5,000 D =$5,001 - $15,000(See 01umn~ Bl and D4) ....... ~ ~]00100~ ~ ~110001000 : HI ~$1,000;00t ~ ss;000,000 H2 =More ~a~ $5~000,000

2 . V a lu e C odes J =$15 ,0~ Or le ss K ~$]5;001 ~ $50;000 ..... L = $50,001- $100;000 M =$100,001 : $250;000(See C o lu mns C 1 and D3) N =$250,001 ; $500,000 " O =$500,001 .$1,000;000 PI =$1,000;001 . $5,000;000 ~ ~$5,000;001 - $25,000,000

P3 ~S25,000;001 - $50 000~000 P4 =Mo re than *50~000;0003. Value Method Codes Q =Appra isa l R =C Ost (Real Estate Only) S =Assessmen t T =C ash Mark e t(See C o lu mn C 2) U =Book V alu e V = @ h e r W =Es t ima ted

E =$15,001 - $50,000


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Name of Person Repo rt ingO w e n , R i c ha r d

Date of Repor t09/12/2011

IX . CERTIFICATION.I c e r ti f y t h a t a l l i n f o rm 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 , if a n y ) i s

a c c u r a te , 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 ca b l e s t a t u t o ryp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .I f u r t he r ce r t if y t ha 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 ho n o r a r i a a n d t he a c c e p t a n c e o f g i f ts w hi c h ha 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 th the p r o v i s io 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 ic i a l C o n f e r e n c e r e g u l a t io n s .

Signature: S/Richard O w e n

N O T E : A N Y I N D I V ID 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 I E S O R F A I L S T O F IL 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

richard owen financial disclosure report for 2010

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