thomas p griesa financial disclosure report for 2009

8/3/2019 Thomas P Griesa Financial Disclosure Report for 2009

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,~o/0 I FINANCIAL DISCLOSURE REPORT R~l,O,tin GovernmentReqtdred ActbY R e ~ . . 1 / 2 o o 8 F O R C A L E N D A R YEAR 2009 ( 5 u . s . c , o p p . , ~ . ~ " I O l - I l l )I. P e r s o n R e p o r t i n g ( l a s t n a m e , t i r s k m i d d l e i n i t i a l) 2 . Cour t o r Organ iza t ion 3 . Dote o f R e p o r tGriesa, Thomas P. United Sta tes Dis t r ic t Cour t 6 / 1 0 1 2 0 1 0

4 . T i t l e ( A r t i c l e 1 1 1 j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r a c t y p e ~ 6. Reporting Periodmagistrate judges indicate lul l -or part- t ime) [ - - ] Nomina t i on , D a t e 01 /01 /2009Un i t e d S t a t e s D i s t r i c t J u d g e [] Initial [] A n n u a l [] Final to1 2 / 3 1 1 2 0 0 9

5 b . [ ] A m e n d e d R c p n r t7 . Chambers or Ot l lce Address 8. On the hasis ot the information contained in this Report and a nymodifications pertaining thereto, i t is, in my opinion, in complianceUnited States Distr ict Court with app l icab le l aws and regu la t ions .500 Pear l St reet , Room 1630N e w Yo rk , N Y 10007 Review ing Officer Date

I M P O R T A N T N O T E S : The h*stractions accompanying this form must be followed Complete all parts,checking the NO?CE box for each part where you have no reportable information. Sign on las tpage.

I . P O S I T I O N S . ~ e ~ o , a ~ g ~ , ~ f o . t~ ; s , , e t ,p . ~ - , o m f .g ~ , , s , . o c , ~ o ~ . )~--] (No reportable positions.)ONE

P O S I T I O N N A M E O F O R G A N IZ A T IO N / E N T I T Y1 . B o a rd o f Direc to rs G rea te r N ew Y o rk C o u n c ils B o y S co u ts o f A m er ica2. Trustee Trust #1

~ NONE ( N o r e p o r t a b le a g r e e m e ms . )D A T E P A R T I E S A N D T E R M S


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FI NANCIAL D I SCLOSURE REPORT , ~ , e o f P e r s o n R e p o r t i n g O l ~ t e o f R e p o r tPage 2 o f 10 g,-i~, Thomas P. 6/10/20 I0

I I l . N O N - I N V E S T M E N T I N C O M E . ( R e p a r , l, g io d i v id a o ! a u d . ,p o . s e ; , ~ e r P . ~ Z - Z ~ o y ~ l ~ , ~ ~ , , r , , i o ~ , . )A . F i ler~s No n-Inve s t m e nt Inco m e

NONE (No reportable non-investment income.)DATI~ S O U R C E A N D T Y P E INCO M E(yours, not spouses)

1.

2.

3,

4_

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - t y y o u were married during anyportion of the reporting year, complete this section.(Dollar amount hal required except.for honormia,}

~ N O N E ( .No rep or tab le non- inves tmen t income . . )D A T E S O U R C E A N D T y PE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - tr*a.,por,o,io,, ~odgi,g. ~oo~, ~,.r,~...e.t(Includes those to ~ous~ and de~ndent cMldren; see pp. 2~-2 7 ~fil ing instructions.)

NO~ (No reportable reimbursements.)~ ~ LOCATION P~OSE I TEM S P A ~ OR P R OVID ED

1.2.3,

4.

5.


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FINANCIAL DISCLOSURE REPORT a~m~ of Person Repor t ing D a t e o l R e l ~ o r P a g e 3 o f 1 0 G r ie ~ a , Tho mas P , 6 1 1 0 1 2 0 1 0

[~] NONE (No reportable gifts.)S O U R C E D E S C R IP T IO N VALUE

1.2.3.4,5.

V l . L I A B I L I T I E S . a , c l u d e , a , o , , o f . ~ p o u , e o , d d , a , ~ a e n t c h i l d r e n ; ~ee pp. 3 2 - 3 3 ,,filling instructions.)N O N E (No r eportab le l i ab i l it i es . .)

CREDITOR D E S C R I P T I O N VALUE CODE1.2.3.4.5.


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FI NANCIAL D I SCLOSURE REPORT Name of Person Repo r t ing D o t e o f R e ~ r !Page 4 o f 10 ~ r i e s. , T h o m a s P . 6 , " 1 0 / 2 0 1 0

V I I . IN V E S T M E N T S a nd T R U S T S - i. e o m e , . a tu e . t ~ u e * i o , , s a . c tu a e ~ , I ,o . t o l s p o u . e ~ a . e . . a .~ , chit&en; see p ~ 3 ~ - 6 0 of filing instructions.)N O N E (No reportable i ncom e, asse t s , or t ransact ions . )

] ! c . " . . . . . . . . . . . . . . . . . . . . . .Dcscr ip l ion of Asse 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 o f T r a n ~ c t i o n s d u r i n g r e po s i n g p e r i o d( i nc l ud ing t ~s~ asse~s ) ~_ ~c~aing ~ri(~ ) r c p o a i n g p e r i o d , (5 )P l a c e " (X ) " a f t e r e a c h a s s e t I A moun t T y p e i e g I V a l u e [ Value [ T~ (e.g., Dale } Value ! Gala , Ident i t y o fMonth- ] Code 2 I Code I ~ buyer /sel lerx e m p t f r o m p f o r d i s c l o s u r e( Co~ I

div . , r e n t , ( C o d e 2 [ Method ) buy, se l l , ,( A - H ) or in t . ) ~ ( J -P ) [ Code 3 r t ~ e m p f i o n ) Da y [ (J-P) ( A - H ) (illirate

~ 1 . Citibank A Interest K T2, AT&T B D i v i d e n d K T

3. AlcateI-Lucen l None J T4. A me re n B Div idend K T5. C o m c a s t A Div idend J T6. Exeton B Div idend K T7. Great Plains Energy B Div idend K T8. S o u the rn Co . C Div idend9. A d ams Expre ss Co . Mary l an d B D iv id e n d S o l d 8 /6 M1 0 . Tri Cont inenta l Corp , A D iv id e n d S o l d 8 /6 L1 1 . A me r ican F u n d Cap i t a l In co me B u i l d e r F u E Div idend Ond1 2. F ran k l i n I n co me F u n d Cl ass A E D iv id e n d M Tt3 . Western Asse t Money Marke t Fund E Div idend N T B u y 2/27 M1 4 . B u y 8 /6 N1 5 . Amer ican Fund W ashing ton Mutua l Investo C Dividend M Trs1 6 . Nationwide Life Annuity N o n e O T1 7 . Bu y 1 / 2 7 O

I . In co m e G a i n C o d es : A =51.0~J o r less B = $I.0 O l - $2 .50 0 C = $2 .50 1 - $5.0 0 0 D = 55.00 1 - $1 5.00 0 E = $1 5.0 0 1 - S 50 .0 00(See C o lu ~ rm s B I an d D 4) F ~ $50 .0 0 1 S IO 0 .0 00 O -$1 0 0 .0 0 1 - $1 .0 0 0 .0 0 0 t t l =$ 1 .0 0 0 .0 0 1 - $ 5 .0 0 0 .0 0 0 H2 ~Mol~e thae . $5.000.0002 . V a h l e C o d es J ~$ 1 5 .0 ~ o r l e $ . i K = $1 5.0 0 1 - $50 .00 0 L = $50 .0 0 1 - $ |0 0 .0 00 M = $100 . 00 i - $2 5 0 . 000t S e e C o l u l n o s C ! a n d D 3 ) N ~ $2 5 0 . 001 - $5 00 . 000 O = $5 00 . 001 - $ I . 000 . 000 P I = $|,0 0 0,0 0 1 - $5 .0 0 0. 0 ~ 0 P 2 = $5 .0 0 0. 00 1 - $2 5. 00 0 .0 (~

, P3 .~ $2 5.0 0 0 .0 0 1 - $50 .0 0 ( .1 .0 0 0 P4 =More Ihan $50.0 ~ X) .00 03 . V a h t c M c t l ~ a l C o d es Q =A p p r a i s a l R =Cos t (Re a l I: s l a t O, ly l S = Assessm en t T = C a sh Ma rke t( S ~ ( o h m ~ n C 2 ) U = Bo o k V a l u e V =Other W =E s t i m a t ed


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Name o f Person Report ing Date o f Repor tI NANCIAL D I SCLOSURE REPORTGriesa, Thomas P. 6/10 /2010age 5 o f 10

N O N E (No reportable i ncom e, asse t s , or transact ions . )A. ~ B. C. ] D.D c~ cfp tio ~ o f A sse ts In co m e du n n g G r o s s v a l u e n t e n d o f ~ . Transac t ions du r ing repos ing pe r iod( i r ~ c l u d l n g t ~ s t a ~ c t s ) ~ po n i n g p e r i o d r c p o n i ~ g p e r i o d ~ .....

C~e t T ype ( e , g . , [ T~e (e.g,,l (5), lden l i ty o fe x e m p t f r o m p r i o r d i ~ l o s u ~ d iv ,, r tm t, C o de 2 Method bu y, se l l , ~ Mo nth - C o d e 2 ~ C o d e I ~ buyertscl lcror i n t . ) (.I-P) C o d e 3 r e d e m p t i o n ) Da y (J-P) ~ (A-HI ( i f pr iv a te

18 . Buy 4 / 14 L19 . Buy 1 I/9 K2 0. T~st #1 G lnt.~iv. P2 T

2 1 . - A T & T Inc, S o l d 3/24 K( pan )2 2 . S o l d 1 0 / 9 N( p a ~ )2 3 . - A l ca t e I -Lu ce n tA D R

24 . - A pache Co rp . S o l d 3/24 K(part)2 5 . - CSX Co r p . S o l d 3/24 K(part)2 6 , S o l d 11/30 M(pa r t )2 7 . - Co mcas t Co rp

2 8 . - DirectTV Group Inc.

29 . - F r an k l i n Re so u rce s l n c .

3 0 . - P H Glat fel ter Co.

3 t. - Gr ea t P la in s E n er g y In c . S o l d 2 /19 K(part)3 2 . - Hershey B uy 2 , 1 9 K3 3 . - Host Hotels & R esor ts Inc .

3 4 . - Kan sas Ci t y S o u the rn In d s


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FINANCIAL DISCLOSURE REPORT [ N a m e o f P e r s o n R e p o r t in g D a t e o f R e p 0 r lPage 6 of 10I Griasa, Tholrlas P. 6/10/2010

N O N E (No reportable i ncome, asse t s , or t ransact ions)A . ] B. C,D e s c r i p t i o n o f A s s e t s ~ I n c o m e d u r i n g Gross value at end of ~ D.Transactions during r~offing pcri~( i ~ l u d i n g t ~ s t a ~ e t s ) ~ r e p o s i n g p e r i o d r e p o s i n g p e ~ o d

e x e m p t ~ m m p f i o ~ d i ~ l e s u r c [ C o d e [ ~ d i v . , r c m , , C o d e 2 ] M e t h o d b u y , s d L ~ o n t h - ] C o d e 2~[ b~-H) [:r inL} (J-P}[ C o d e 3 ~ d e m p f i o n } D a y (J-P) ( A - H }

3 5 . - K e l l ogg Co .

3 6 . - K i m be r ly C la r k Co~ .3 7 . - Neenah Paper Inc .

3 8 . - News Co r p . C l a s s A3 9 . - Petx:o Holdings Inc .

4 0 . - Pi tney Bowes Inc.

41 . - Principal F inancial Group Inc.

4 2 . - S t a rwo o d Ho te l s & Re so r t s

4 3 . -T i m eWam er Inc .4 4 . - T ime W arn e r Cab l e S p in o f f 4/2 J( f rom l ine 43)4 5 . - US B an e o rp4 6 . - U n i on P ac i f ic C o rp .

4 7 . - W i l l i ams Co s In c .

4 8 , - W isco n s in En e rg y Co rp Ho ld in g Co .i49. - A d a m s E x p r e s sC o . - M a r y l a n d S o l d 1 1 / 2 3 M(part)

5 0 , S o l d 1 2 / 1 0 M( pan )5 1 . - Tr i Cont inenta l Corp . S o l d 1 1 1 2 3 L,(part)

In co m e G a in C o d es : A = $1 ,0 0 0 o r le ss B 41.001 . $2.500 C =$2,50| - $53R1~ D =$5,001 - S t 5 .000 E =415.~1 - ~50,~


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FI NANCI AL DI SCLOSURE REPORT [ Name o[ Person Reporting D a t e o f R e p o r ~Page 7 of l0 I [ Griesa, Thomas P. 6/10/2010VII. INVESTMENTS and TRUSTS - ~,.o~,e,

N O N E (No reportable income, assets, or t t~nsactions.)A. ~ . c. ~. -~-~D~cription of Assets Income during Gross value at c:~d o f Tran~ctions during r~fling period(including t~st as~ts) re~o~ing period reposing period

P l ~ c e " ( X ) " a Re r e a c h a s s e t Amount i Type (e.g., V a l u e Value I Type (e.g., I Date ~ Value / Gain ! identity ofc x ~ p t f r o m p r i o r d i s e l o s u r e ~ Code I div..rcnl, C o d e 2 M e th o d b u y , s e l l , , Month- ~ Code2 /Code I i b u y e r / s e l l e r(Q-W) I i f i trans~iion)

5 2 . S o l d 1 2 / 1 0 M

5 3 . - F r a n k li n In c om e F u nd C la s s A

5 4 . - F ra n k l i n R e a l E st a te S ec u r it ie s FD C l a s s A

5 5 , - Vanguard Information Technology

5 6 . - Barclays BankPM.

5 7 . - HSBC H oldings Pfd.

5 8 . - P r u d en t i a l P fd .

5 9 . - C e n t e r p o i n t E n e r g y

6 0 , - Microsoft B u y ] 1 / 4 L6 1 . - Monsanto

6 2. - Ro ya l B a nk o f Sc ot la nd

6 3 , -Verizon

6 4 . - DST Systems

6 5 . - F t e w l e t t P a c k a r d B u y 1 1 / 4 K6 6 . - Intel Corp. B u y 1 1 / 4 M6 7 . -JPMorgan Chase

6 8 . - Kraf t Foods B u y 2/19 K

P3 =$25,~),~1 $50.0~,~0 P4 =More


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FI NANCIAL D I SCLOSURE REPORT N ~ m e o f P e r so n R e p o r t i n g D a t e o f R e p o r tPage 8 of ! 0 Griesa, T h o m a s P . 6 / 1 0 / 2 0 1 0V I I . IN V E S T M E N T S a n d T R U S T S - . i, ~ . o ., e , , , a , ,, , .. .. , .no, , , a, ct, ,ao ,~o,~ oI~, ~ ~ , , .h#~,~ ; , , , ~.

NONE (No reportable i ncom e, asse t& or transac t ions . )A. B. [ C. D. - .............~scription of Asscls Income during Gross value at e n d o f Transactions during r~o~Bg period

(including ~rust assc~s) ~po~ing peri~ ] reporting p~iod

PIa~c"(X)"aflcreacba~et Am~unti Type(cg., I Valoe ] Value Ty~{c.g., Date [ Value Gain ~ ldcndtyof( A - H ) or int.) } ( J -P ) ~ Code 3 redemption) Day . (I P) (A H) (if private

69 . - A m e r ic a n F u n d E u r o P a c i f i c G r o w t h F u n d7 0 . - Tempteton B ric Fund

7 1 . - Co lu mb ia Mars i co F u n d

7 2 . - Op p enhe imer Deve l op i ng Mk r ts . Fund

7 3. J oh n s o n & J o h n s o n B u y 2/19 L7 4 . us Treasury Inflation Index Notes B u y 1 2 / 8 M7 5 . A O L In c . S p in o f f 1 2 / 1 5( f r o m l i n e 8 2 )7 6 . Citibank Bank Deposi t Prog ram

7 7 . U.S. Tre asu ry B i l l s

P3 =$25.~,~ - $50,~.~0 P4 =M o r e


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FI NANCIAL D I SCLOSURE REPORT [ N ~ , . e o f ~ e r . ~ o ~ a ~ p o . ,. ~ D ~ , . o f a ~ o .Page 9 o f 10 t Griesa, Thomas P. 6/10/2010

V I II . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S , a,,aJ,.,,,t,.,,oIRe~,o,.)U S Treasu ry Bil ls , included in the cu rren t repo rt fo r 2009, w ere omit ted f rom prev ious repo rts by mistake . The same is t rue fo r Cit ibank Bank Depo si t Prog ram.With respect to Powershares Exchange, inc luded in the 2008 repo r t , there should have been a no ta t ion that i t was sold on 2 / 1 1 / 0 8 . It is, of course, not included inthe 2009 repor t .


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Name of Person ReportingIN A 1 N C IA L D I S C L O S U R E R E P O R T [ ~ r i~ s a , T h o m a s P .Page lOoflO

IX. CERTIFICATION.! c e r ti f y t ha t a l l i n fo r m a t i on g i ven above ( i n c lud i ng i n fo r m a t i on p e r t a i n i ng t o m y s p o us e a nd m i no r o r dep enden t ch i ld r en , i f a ny ) i sa c cu r a t e , t ru e , a nd com p le t e t o t he best o f m y k no w ledge a nd be l i e f , a nd t ha t a uy i n fo r m a t i on n o t r ep o r t ed wa s w i t hhe ld becau s e it m e t a p p l i c ab le s t a t u t o r yp r ov i s i on s p e r m i t t i n g non -d i s c lo s u r e .! fu r t he r c e rt i f y t ha t e a r ned i n com e f r om ou t s i de em p loy m en t a nd hono r a r i a a nd t he a c cep t a nce o f g i f t s wh i ch have been r ep o r t ed a r e i ncom p l i a nce w i t h t he p r ov i s ion s o f 5 U .S .C . a p p . 501 e t . s eq . , 5 U .S .C . 7 353 , a ud Jud i c i a l Con fe r ence r egu l a t i on s .

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 IE S O R F A L L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I V I LAND CRIMINAL SANCT IONS ( 5 U .S ,C . a p p o 104 )

F IL I N G I N S T R U C T I O N SM a i l s ig n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o m m i t t e e o n F i n a n c i a l D i s c lo s u r eA d m i n i s tr a t i v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sSu i t e 2 - 3 0 1O n e C o l u m b u s C i r c le , N . E .W as h i n g t o n , D . C . 2 0 5 44

thomas p griesa financial disclosure report for 2009

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