thomas p griesa financial disclosure report for 2010

8/3/2019 Thomas P Griesa Financial Disclosure Report for 2010

1/10

.4010R e v . 1 / 2 0 1 1FINANCIAL DISCLOSURE R EPORTFOR CALENDAR YEAR 20 10

Report Required by lhe Ethicsin Government Act of1978(5 U.$.C. app. I01-111)

1 . P e r s o n R e p o r t i n g { l a s t n a m e , f ir s t , m l d d l e ~ a i t la l )G r i c s a , T h o m a s P .

4. Title (Article H I J u d g e ~ 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 ;magistrate judges indicate f idi- o~ parbtim~)U n i te d S t a t e s D i s tr i c t J u d g e

? . C h a m b e r s o r O f f i c e A d d r ~ sU n i te d S t a t e s D i s t r ic t C o u r l500 Pearl Strut , Room 1630New York , NY 10007

2 . C o u r l o r O r g a n i z a t i o nU n i t e d S ta t e s D i s t r i c t C o u xt

5 a . R e p o r ~ T y p e ( c h e c k a p p r o p r i a t e] Nominat ion , Dale[] Ini t i a l [] Annual [] Final5 b . 1~ A m e n d e d R e p o r t

O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d in this Report and anym o d l f ic a t l o n ~ p e r t a l n i u g t h e r e t o , i t ig i n m y o p i n i o n , i n o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

3. Date of Repo~05/13/2011

6 . R e p o r t i n g P e r i o d01101/2010

to12J31/2010

R e v i e w i n g O f f ic e r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followeg Complete all parts,checking the NONE box for each part where )ou have no reportable information. Sign on las t page .

I . POSITIONS.- - ] N O N E (No repo rtable posit ions.)

P O S I T I O NI. B o a r d o f Directors

N A M E O F O R G A N I Z A T I O N / E N T I T YG r e a t e r N e w Y o r k C o u n c i l s B o y S c o u t s o f A m e r i c a

2. Trustee Tru s t # I

[~] N O N E (No reportable agreements.)D ATE PARTIES AND TERMS


2/10

FINANCIAL DISCLOSURE REPORTPage 2 o f 10 Ia m e o f P e r s o n R e p o r t in gG r i ~ a , Th o m a s P . D a t e o f R c p o r ~05/I 3/2011

III . NON-INVESTMENT INCOME. tRep o,~ sA. F l i e r s N o n - l n v es t m e n t I n c o m e~ N O N E ~ o reportablenon-inv~lmenl income.)

DA~ SOURCE AND T~E INCOME( y o u r s , n o t s p o u s e s )

2.3.4.

B . S p o u s e s N o n - In v e s tm e n t I n c o m e - tf ~,ou ,~e,e married duttng any parti~n of the reporting year, complete thl~ section.(Dollar amount not required ~xeept for honoraria.)~] N O N E ( N o reportable non-investment income.)

D A T E SOURC F- AND TYPEI.2.

3.4.

I V , R E I M B U R S E M E N T S - . . . p o . . , ~ o . ,(Include:t those to .~pouse and dependent children; see pp . 25-27 of filing instructions.)

N O N E ( ~ o reportable reimbursements.)SOURCE DATES LOCATION

I.2.3.4.

5 .

PURPOSE ITEMS PAID OR PROVIDED


3/10

FINANCIAL DISCLOSURE REPOR TPage 3 o f 10

N a m e o f P e r so n Repor t ingG r t e s a , T h o m a s P .

Date of Report0~/13/~01 !

V . G I F T S . O n c l ~ d e , t h o s e t o s p o u s , a n d d t p e a d e n t c h i ld r e n ; ~t t p p . 2 5 - 3 1 o f f il i n g i n s t r u c t i o n s . )N O N E ( N o reportable g~s.)

SOURCE DESCRIPTION!.:2 .3.4.

5.

VALUE

V I . L I A B ! L I T I E S . an,-I ,,d,, ,, ,os, of.~o.o..d d , ~ n d , , , children; ,e, p p . 3 2 - 3 3 of filing instructions.)~ N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.4.

5.

VALUE CODE


4/10

F I N A N C IA L D I SC LO S U R E R E P O R TP a g e 4 o f 1 0

N a m e o f P e r so n Repor t ingG r i e s a , T h o m a s P .

Da l e o f Re p o r t05/13/201 i

N O N E ( N o reportable income, assets, or transactions.)A. B. C. D.

Description of Assets In c o m e d u rin g G ro s s va lu e a t e n d Transactions during reporting poriod(including trust ~ssets) repor t i ng per i od of repor t i ng per i od

(I) (2) (1) (2) (I) (2) (3) (4) (5 )P l a c ~ " ( X ) " 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 . , V a l u e V a l u e T y p e ( e . g ., D a t e V a l u e G a i n I d ~ n t i p j o fe x e m p t I to m p r i o ~ d i sc l o s u r e C ( x l ~ I d i v . , r e n t , Cod~ 2 M e t h o d buy, ~ e l l , m r r f f d d/ y y C O d ~ 2 Co d e I b u ye r /s e l le r(A.II} o r i n t . ) (J-p) Co d e 3 r e d e m p t io n ) (l-P) (A-H) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

I. c a t ) b a n k1 2 . A T & T

3. A le a te I -L uc e n t4. A m e r e n5. C o m c a s t6. E x e l o n7. G r e a t P l a i n s E n e r g y8. S o u t h e r n C o .

A m e r i c a n F u n d C a p i t a l I n c o m e B u i l d e rFu n d1 0 . F r a n k l i n l n c o m e F u n d C l a s s AII . We s te rn A s s e t M one y M a rke t F und1 2 . A m e r i c a n F u n d W a s h i n g t o n M u t u a lInvestors1 3 . Na t ionw ide L i fe A nnu i ty1 4 . Asse ts Trust #1

1 5 . AT&[ Inc.1 6 . A lc a te I -L uc e n t A DR1 7 . A OL Inc .

A I n t e r e s t

O D i v i d e n dN o n e

B Divide ndA D i v i d e n dB D i v i d e n dB D i v i d e n dD Divide ndE Divide ndE Divide ndE Divide ndC D i v i d e n d

N o n eG I n t . , " D i v .

K

JKJKKM

OMNM

OP2

TT

TTTTT

TT

TTTTT

I tw: o mc G n m C o d es : A =$1.000 or k:ss B =$1.001 . $2.500 C =$2 ,5 01. S S .0~)C o K n n n s l J l a n d D 4 ) F = $ $ 0 , 0 0 1 - $ I 0 0 . 0 0 0 G = $ I 0 0 , 0 0 1 - $ 1 . 0 0 0 . 0 0 0 I l l = ~ , l , 0 0 0 . 0 0 l . $ 5 , 0 0 0 . 0 0 0 1 1 2 - M o g

V a l t w : C o d e s l =$15.000 o{ less K =$ 1} .001 - $ 50 .000 L -$ 50 .001 - $ 100 .000 M -$100.001 - $230.000Co l u ma s CI a o d D. I ) N =$2~0,0OI - $500.0~O O =$500.001 - $ I ,O00,0(X} PI =$1.000.001 - $5.00~.000 P2 =$3,000.0OI -p] =$25.fl0~ ,001 - $50.000.000 P4 = M o re ~ a n $ 50 , 00 0 . 0 0 0

V a lue Me t hod C ode s Q = A p p ~ s a ] R ~Cost ( R e a l E, $ t a t ~ On l y) S -A s~ c ssmc n ! T = C a s hC olum n C 2~ U -Bo o k Va l u e V ~ Ot h e r W = E s t i m a t e d

E = $ I 5 . 0 0 1 -


5/10

F I N A N C IA L D I S C LO S U R E R E P O R TP a g e 5 o f 1 0

N s m e o f P e t s o a R e p o r t ln ~Grle s s , Thoma s P .

D a t e o f R e p o r t05/I 3 /2011

N O N E ( N o reportable income, a ssets , or transactions.)A. B . C. D.

D e s c f p t i o n o f A s s c t 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 z a c t io ~ 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 rus t ~Szct~) r e l ~ r t i n g p e r i o d o f re p o r t i n g I~ . W i o d

(I) (2) O) (2) (I ) (2) (3) (4) ( ~ )P l a c ~ " ( X ) " t i le r ~ c h a s , v a A m o u n t T?~ (e.g., V a l u e V a l u e T y p e ( g . , D a t e V a l u e G a 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 i s c l o s u r e C o d e I d i v . , r t m t , C o d ~ 2 M e th o d b u y , s e l l , m m / d d ] y y C o d e 2 C o d ~ I b u y e r / s e l l e r( 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- H ) ( i f p r iv a te( Q - W ) t r a n s a c t i o n )

lg .

20 .21.

22 .23 .24 .

25.26 .27 .

28 .2 9 .

30 .31.

32 .33 .34 .

A p a c h e Co rp .

C S X C orp .C omc a s t C orpD i r e ct T V G r o u p I n c .F ra nkl in R e s ourc e sP H G | a tf e h e r C o .G r e a t P l a i n s E n e r g y I n c .I le rsheyHos t H o te l s & R e s o r t s Inc .Ka ns a s C i ty S ou the rn l nd~K e l l o g g C o .

Kimbe r ly C la rk C orp .MonsantoN e e n a h P a p e rN e w~ Co rp . Cl a ss A

Sold 01108/10 M(part)Bu y 05/25/10 M

(addl)

Bu y 05/25/10 K( a d d l )

Bu y 01/14/10 L( add l )Bu y 02/10/10 L( add l )

Bu y

Bu y(a dd l )

05/25/10 L

02/10/10 K

I. I~ c o n ~ G a i n Ce d e( S t Co lu mn * BI s r~ l D4 )

2 V , lue C od~ sI S e e C o l u m n s C I a ~ D 3 )

(~Col~

G = $ I 0 0 . 0 0 1K= $ 1 5 , 0 0 1 - $ 5 0 . 0 0 00 =$ . mo .o o ! . t 1 . 0 0 0 , 0 0 0

V

D = $ ~ , 0 O I - $ 1 1 1 , 0 0 0H 2 = M o t e t h ~M -$I0~1.00! - $2~0.00012 -$ .%000,001 - $2~,000.000T =Czrdx Market


6/10

F I N A N C IA L D I S C LO S U R E R EP O R TP a g e 6 o f I0

D a t e o f R e p o r t0 5 1 1 3 / 2 0 1 1

N O N E ( N o repor table income, assets, or t ransact ions . )A. B. C. D.

Desc~p~ion of Asse~s Income during G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o a i n g p e r i o d( i n c l u d i n g u u s t a s s e t s ) r t ~ r t i ng p e r i o d o f r e l x ~ n g p e r i o d

Pl~ce "(X)" afl~ ~h a~et Amen( T~ (e.g., V a lu e V a lu e T~ (e.g., Da~ Va~e ~ Id~ti~ o fex~pt from prior ~losure C~e I d i v . , r e n ~ C~e 2 Met~ buy, ~I], ~d~ C~e 2 ~ I buy~/sell~( A - H ) or int . ) (J.P) C~e 3 redempti~) (J-P) ( A - H ) ( i f pr iva t e

35. Pepco I lo ldings Inc.

36 . Pitney Bowe s Inc.37 . P ri nc i pa l Fi nanc i a l G r oup in c.

3 8. Starwood Ho te l s & Resor t s

39 . Time W arner Inc .40 . Time Wa rner Cable41 . US Bancorp4 2 . U ni o n P ac if ic C or p .

43 . W il li ams Cos Inc .

i44 . W i s c o ns in E ne r g y Co rp Ho l d ing Co .4 5 . A d a m s E x p r e s s C o . - P , ,{ a a y la n d46 . Franklin Income Fund Class A47 . Franklin Real E~tate Securities FD Class A48 . Vanguard Information Technology

49 . Royal Ba nk of Scotland5 0 . Barc lay s Bank Pfd .5 1. De uts ch B a nk Pf d.

Sold 0 5 1 2 5 1 1 0

I . I w .o m ~ C a i n C o d ~ : A = $ 1 , 0 0 0 o l e s t B =$ I,~l - $2.~ C ~$2,~1 - $5,~ D =$5.~1 - $15.~


7/10

FINANCIAL DISCLOSURE REPORTPage 7 o f I 0

N a m e o f P e r t o a R e p o r t la gGrtesa , Thoma s P.

o[ Rel~rt3/201 I


D e r ~ t i p t i o n o f A s s ~ t ~ I n c o me d u r in g G r o ~ v a l u e a t e n d T r a n s a c u o m d u r i n g r e p o r li n g ~ f i o d(i~ludMg ~st ~) r~ing ~fiod ofr~aing ~

(t) (2) (t) (2) O) (2) 13) (4)Place "~)" afl~ ~h ~t A m ~ n t T~ (~g. V~e V s ~ e T ~ (e .g . , Da ~ V a l u e G a i n l d e n t i ~ o f x c m p l f ~ m p r i o r d i~ r t ~ I d i v ~ m k C ~ e 2 Me~ ~, ~ll, ~d~ C ~ e 2 C~ I b u y e d s e l l e r(A-~ o r i n t ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - P } (A-H)

( Q - W ) tmn ~c t io n )

52 . H S B C H o l d i n g s P f d .5~ . P r u d e n t i a l P f d .54 . C e n te rpo in t Ene rgy55. Mi c ro so f t56 . DS T S ys te m s57 . He w le t t Pa c ka rd58 . In t e l C orp .59 . A m e r i c 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 d

6 0. T e m p l e t o n B r ic F u n d61 . C o l u m b i a M a r s i c o F u n d6 2. O p p e n h e i m e r D e v e l o p in g M k r ts . F o n d63 . V e r iz on6 4. F r o n t i e r C o m m u n i c a t i o n65 . J P M o r g a n C h a s e66 , K r a f t F o o d s6 7.6 8. J o h n s o n & J o h n s o n

Bu y [ 0 5/25/10( a d d l )

Sp i n o f f 07/01/10 i( f ro m l i n e 6 3 )

B uy 0 2 / 1 0 1 1 0( a d d l )Buy :02/10/10( add l )Buy 01/14/10

(addl)

K

K

L


8/10

F I N A N C IA L D I SC LO S U R E R EP O R TP a g e 8 o f 1 0

N a m e o f P e r s o n R e p o r t i n g

G r i e s a , T h o m a s P .

Da te o f Re p o r l05/13/2011


De sc r ip t io n o f As~t s I n c o me d u r in g Gro~ va lue a t end Trmtsactions during reporting period(i t~ lu d mg t ru s t a s s e t s ) reporting period o f r e p o r t i n g p e r i o d

(l) 12) (1) (2) (I ) (z) (3) (,t) (5 )P l a c e "(X)" a f l ~ e a c h a s se t A m o u n t T y p e ( e . g . . Vp l u c V a l u e T y T ~ e ( e . g . , D a t e V a l u e G a i n Identi ty o f

exempt from prior disclosure Code I d i v . , r e n t . C ~le 2 M e t h o d b u y, se ll , m m /d d /yy Cod~ 2 Co d e I b u y e d s e l l e r(A-H) o r i n L ) ( J - P ) Code 3 r e d e m p t io n ) ( J - P ) (A-H) ( i f p r i v a t e( Q - W ) t r a n s . , ~ r i o n )

6 9.7 0.7 1.7 2.

7 3.7 4 .

7 5.

7 6.

7 9.1 1 0 .

81 .

U S Treasury Inflation Index Notes

CidBank Bank Deposit ProgramUS Treasury Bil ls

B a r c l a y B a n k E T F - C rude Oi l

S P D R G o l d T r u s t

Bu y 02/10110 L( add l )Bu y 05/25/10 L( add l )Bu y 0 7/2 0 /10 M( a d d l )Bu y 02/1 0/I0 M

( add l )

Ma t u re d 01/14/10 M(part )M a tu re d 0 2/04 110 M( p a n )Ma t u re d 03/18/10 M( p ~ )Ma t u re d 04/15/10 M

(part)Buy 05/25/10 M

Buy 07/20/10 L(addl)

B u y 02/10/10 MBu y 07/20/10 L( a d d l )

A = $ 1 , 0 0 0 ~ I ~ . . sF =$50.001 . $100.000J =$15.000 m t~sN :$250,001 - 1500.000P3 - $ Z 5 . 0 0 0 . 0 0 1 - $ 50 . 0 ~ 0 . 0 0 0O = B o o k V a J u e

G :$100.001 K - S tS.0Ot -O= $ 5 0 0 . 0 O I - $ 1 , 0 0 0 3 3 0 0R "Cost ( R e a ~ E s t a t e Only)V

D =$5,00 |1 1 2 = M o r e t h a nM :$100.0OI -P2 - $ 5 . 0 0 0 , 0 0 lT = C ~ b M a r k ~

E " $ 1 5 , 0 O I -


9/10

F I N A N C IA L D I SC LO S U R E R EP O R TP a g e 9 o f 1 0 Ia,,,e o ! P e r s o n R e p o r t i n gGriesn , Thom ss P . D a t e o f R e p o r t05 / 1 3~ 01 i

VI H . ADDITI ONAL INFORM ATI ON OR EXPLANATI ONS.


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FINANCIAL DISCLOSURE REPORTPage 10 o f 10

N a m e o f P e r s o n R e p o r t i n gG r i e s a , T h o m a s P .

D a t e o t R e p o r t05/I 3/2011

IX. CERTIFICATION.i c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( in 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 , i f a n y) i sa c c u r a t e , O - 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 rm a t io 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 c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .! f u r t h e r c e r ti f y t h a 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 h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i n

c o m p l i a n c e w i t h t h e p r o v i s i o n s o f S U . S . C . a p p . 5 0 1 e t . s e q o , 5 U . S .C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Si

N O T E : A N Y IN D I V I D 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 IF I E S O R F A L L S T O F I L 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 )

C o m m i t te e o n F i n a n c i a l D is c l o s u r eA d m i n i s t ra 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 sSui t e 2- 301O n e C o l u m b u s C i rc l e , N .E .W a s h i n g t o n , D . C . 2 0 54 4

thomas p griesa financial disclosure report for 2010

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