wilfred feinberg financial disclosure report for 2009

8/3/2019 Wilfred Feinberg Financial Disclosure Report for 2009

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I ~ o 1 o . [ FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E l h i c s~ in Government Act o f 1978R e v . ~ l / 2 0 1 0 FOR CALENDAR YEAR 2009 ( s U . S . c . a p p . l O I - 1 1 1 )I . Person Report ing ( las t nam e, f i rs t , middle ini t ia l ) I 2 . Court or Organizat ion 3 . D a t e o f R e p o r tF e i nbe r g , W i l fr e d U S C o u r t o f A p p e a l s , 2 n d C i r c u i t 07 /26 /2010

4 . T i t l e ( A r t i c l e I I I 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 i at e t y p e ) 6 . R epo r t i ng Pe r i odm a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - a l in e ) [ ] N o m i n a t i o n , D a t e 01/01/2009U S C i r c u i t Ju dg e S e n i o r S t a t u s [] Initial [] Annual [] Final to12/31/2009

5 b . [ ] A m e n d e d R e p o r t7. Chambers or Of f ice Address 8 . On the bas i s o f t he i n fo rm a t i on con t a i ned I n t h i s R epo r t and an ymod if icat ions per taining thereto, i t i t , in my opinio n, In compliance

U S C o m a o f A p p e a l s , 2 n d C i r cu i t wi th a pp l ic ab le l aws a nd r e gu la t i o n s .U S C ou r t h ou s e , 4 0 F o l e y Sq u a r eN e w Y o r k , N Y 1 0 0 0 7 Reviewing Off ice r D a t e

I M P O R T A N T N O T E S : T~e ins truc t ions accompanying th is form must be fol lowe~ Complete all parts,checking the NON E box for e ach part where you have no reportable information. Sign an last page.

I , P O S I T I O N S . (Reporting indiv idual only; see pp. 9-13 alibiing instructions.)D N O N E ( N o reportable positions.)

P O S I T I O N b l A M E O F O R G A N I Z A T I O N / E N T I T YI. Member B oa r d o f A d v i s o r s , C o l u m b i a L a w Sc hoo l a l u m n i A s s oc ia t i o n , I n c .

2. Member B o a r d o f V i s i to r s o f C o l u m b i a L a w S c h o o l , E m e r i t i s

I I . A G R E E M E N T S . (Reporting i~lhqdual ordy; $pp. 14-16 of fil ing lnstructions.)NONE (No reportable agreements.) -~. :

DATE P ~AR TI E S AND TE R MS1 .


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Iam e of Person Reporting D a t e o f R e p o t {P a g e F I N A N C I A L 2 of 7 DISCLOSURE REPORT I F e l n b e r g , W i lf r e d 0 7 / 2 6 / 2 0 1 0I I I . NON-INVESTMENT INCOME. tRe~,or~,g t,,d~,~d,,ol ,,,~ ~p ....~ e e , ,~ . l r - ~ o I ~ l i n g ~ , ~ , r ,, e , ~ o n s . )A. Fliers N o n - In v e s tm e n t I n c o m e

N O N E ( N o r ep or t a bl e non- i nves tm en t i ncom e . )D A T E SQURCE AND TYPE I N C O M E( y o u r s , n o t s p o u s e s )

1 .2.3.4.

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 - t/~,ou .,ere ~r,t~ during any p o r ~ o n o f t h e r e p o r t in g y e a r . c o m p l e t e this section.(Dollar amount not required except for honoraria.)~ N O N E ( N o reportable non-investment income.)

D A T E _ S O U R C E A N D T Y P E1 .12 / 09 F a s h i o n C o n s u l ta n t , S e l f - E m p l o y e d2.3.4.

I V . R E I M B U R S E M E N T S -~r~s~on~ao.(Includes those to spouse and depende nt children; see pp. 25-27 of fil ing instruction~.)

NONE (No reportable re imbursements . )~ :OURCE D A T E S L O C A T I O N PURPOSE ITEMS PAID OR PROVIDED

1 .2.3.4.5.


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FI N A N C I AL DI S C LO S U R E R E P O R T ~.m, of Person Reporting[ Date of Reportage 3 of 7 F e i n b e r g , W i lf r e d 07126/2010

~ N O N E ~ o reportable g~s.)~ DESC~PTION ~

1 .2.3.4.5.

[~ N O N E ( N o reportable liabilities.)~ D E S C R I P T I O N V . _ ~ A L U E C O D E

1 .2.3.4.5.


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FINANCIAL DISCLOSURE REPORT S ~ m ~ o fp~lg~ 4 of 7 F e i n b e r g , Wi l f r e d 07126/2010

VII. INVESTMENTS and TRUSTS -NONE ~o re~rtable income, ~sets, or transactio~w.)

~ B. c. D.~pfion of As~ I n~m~ du r in g Gross value at end T~cfions ~ring ~ing ~ri~(incl~hg ~t ~~) ~ing p~ of ~g

P l~e ~) " ~ e a c h ~se t ~o~t T ~ e ( e . g . V a ] ~

IT~, (e.g . , ~ v~u ~ Ga~] ld~i~ of

( A - H ) o r i n L ) ( I - P ) ~ 3 ~ion) 0-P) (A-lO ( i f p f i w a ~~n~c t l oa )

1 . E xe m pt Te sm m e n ~ T~t #1 D D i v i d v n d N T

2. Exemp t Te s t amen ta r y T r us t #2 G D i v i d e nd PI T3. Exempt I n t e r Vivos Tru s t # 3 E In te res t N T

4. Emp ire GTD # 164 A I n t e r e s t K T

5. Muai Inv. Trust Fund #241 A Interest K T6. Cha s Bank (S av i ng s Accoun t ) A Interest N T7. C h a s e B a n k ( C h e c k in g A c c o u n t ) A I n t e r e s t M T

8. Cha s e Bank (S av i ng s Accoun t ) A Interest L T9. C h a s e B a n k ( C h e c k in g A c c o u n t ) A I n t e r e s t J T

1 0 . Cha s e Bank (Check i ng Accoun t ) No n e L TI 1 . C ha s e B a nk ( S a v i n g s A c c ou n t ) A I n t e r e s t N T Open 1 0 3 1 0 2 / 0 9 M

1 2 . Tenan t Secu r i t i e s Depos i t A I n t e r e s i J T1 3 . I R A a / e Le gg M a s on C o r e P l u s B ond F d D Dist r ibu t ion J T D is tr ibu te d 3 /17 /09 J( p ~ )1 4 . I R A a / c Le gg M a s on C o r e P l u s B ond F d D Dist r ibu t ion J T Dis t r ibu l ed 03 /17 /09 J

1 5 . M o r g a n S t a n l e y S m i t h B a r n e y C o m p a s s A In te res t Ma tu r e d 02 /23 /09 LB a nk C D1 6 . M or ga n S t a n l e y Sm i l h B a r n e y G E C a p i ta l A I n t e r e s t Ma tu r e d 02 /20 /09 LCD1 7 . Sc hw a b C i t i B a nk N A C D A In te res t Ma tu re d 03 /03 /09 K

1 . Income Ga in Cod~: A ~ $ 1 , 0 0 0 o r I . s s B -$1,001 - $2,500 C ~$2~01 - SL000 D-$5,001 - $15,000 E ~$| 5,~0! - $50,0~0"(See Col~rrm~ BI and 134) F =$50,00 ! - $100,000 O ~$100,001 - $1,000,000 HI =$1.000,001 - $5,000.000 H2 =More than $5,000,0002 . Va lue Codca J = $ 1 5 , 0 0 0 o r I ~ s ~ K -$15,001, SS0,000 L =$ 5 0 , 0 0 1 - $ 10 0 ,0 0 0 M = $ 1 0 0 , 0 0 1 - $ 2 . 5 0 , 0 0 0( ge e C ,u ~ta ra ~ C I a nd D3 ) N ~2 50 ,0 01 - $ 50 0, 0~0 O .~50 0,0 01 - $1,0 00 ,0 00 P I ~;1 ,0 00 ,0 01 $5,0 00 ,0 00 1 " 2 = $ 5 , 0 0 0 , 0 0 1 - $ 2 L 0 ~ 0 , 0 0 0

P3 -$25,000,0~I o $50,000,~00 P4 =More than $30,000,0003 , V a l v ~ : M ~ t h o d C o d c ~ Q -Ap p ra isa l R = Co st (Rea l F~a te On ly ) S =Ass~sme t~ T ~-_ash Madg ~( S e e C o l u m n C 2 ) U =B o o k Va | u V .-Oth~ W = Es t lmatcd


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N a m e o f P e r s on R e p o r t i n g D a t e o f R e p o r tF I N A N C I A L p a g e 5 of 7 DISCLOSURE REPORT [ Fe inberg , Wilf red 0 7 / 2 6 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~. ....... ~, t . . .. . t ions ( Inc ludes those o f sp . . . .. . d depen dent ch i ldren; see pp~ 34~0 of./dlng insnuctlons.)NONE (No reportable inco m e, asse ts , or tran sac t ions . )

A. B. C. D.D~ser ip t lon of Ass~ I n c o m v d u r in g G r o ~ 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 r t i n g p e r i o d(including trdst assets) r e p o r t i n g I ~ r i o d o f r ~ p o r t i n g p e r i o d

O) (~) O) (~) (0 (~) (3) (4) (~)Place "(X)~ ai~er rach assetm o u n t T y p e ( e . g . , V a l u e V a l u ~ Type (r.g.,a t e V a l u e G a i n Id~nti~y ofe x e m p ~ f r o m p r i o r d i s c l o s u r r C o d e I div., rent.o d e 2 M e t h o d buy, so|I,m . / d d ~ ! y C o d ~ 2 C o d r 1 b u y s / s e l l e r( A - H ) or in..)(J-P) C o d ~ 3 r ~ d e m p l i o u ) (J-P) ( A - H ) ( i f p d v a t ~

! ( Q - W ) Ir~nsacrion)

18. S c h w a b C o m p ~ B a n k N A C D A I n t e r e s t M a t u r e d ~ 0 2 / 0 2 / ( ) 9 ! K

1 9 . S c h w a b G r e e n b a n k N A C D A I n t e r e s t M a t u r e d 0 1 / 2 9 / 0 9 K

2 0 . S c h w a b G E M o n e y B a n k N A A I n t e r e s t Buy 0 5 / 0 5 / 0 9 J

2 1 . S c h w a b G E M o n e y B a n k : N A A I n t e r e s ! M a t u r e d 1 0 / 0 2 / 0 9 J

2 2 . S c h wa b M o r g a n S t a n l e y B a n k A I n t e r e s t B u y ( } 5 / 0 5 / 0 9 K

2 3 . S c h wa b M o r g a n S t a n l e y B a n k A I n t e r e s t M a t u r e d 1 2 / 0 4 / 0 9 K

2 4 , S c h wa b U S T r e a s u r y M o n e y F D A I n t e r e s t M T

2 5 . S c h w a b A m e r E x p C e n t B k A I n t e r e s t K T

2 6 . S c h w a b A m c r E x p C e n t B k A I n t e r e s t K T

2 7 . S c h w a b D i s c o v e r B ~ k N A A I n t e r e s l L T

2 8 . S c h w a b F i r s t C h i c a g o B k A I n t e r e s t K T

2 9 . Schwab WachoviaBankNA A I n t e r e s t J T

3 0 .


6/7

FINANCIAL DISCLOSURE REPORT Name o f P e . . . . Report[ag Da lo f Repo r tP a g o 6 o f 7 F e i n b e r g , Wi l f r e d 07/26/2010V I I I . A DD I T I O N A L I N F OR M A T I O N O R E X P LA N A T I O N S . a . ~ c ~, e : ~. o fR e p o , .)


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N a m e o f P e r r ~ o n R e p o r t in g D a t e o f R e p o r tF IN A N C I AL DI S C LO S U R E R E PO R TF e i n b c r g , W i lf r e d 0 7 / 2 6 / 2 0 1 0age 7 of 7

I X . C E R T I F I C A T I O N .I c e r t if y t h a t a l l i n f o r m 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 , i f a n y ) i sa c c u r a t e , t r u e , a n d c o m p l e t e to 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 wa s w i t h h e l d b e c a u s e it m e t a p p l i c a b l e s t a tu t o r y

p 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 .I f u r t h e r ce r t i f y th 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 ym 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 wh i c h h a v e b e e n r e p o r l e d a r e I nc 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 5 U . S . C . a p p . 50 1 e t . s e q . , 5 U . S. C . 7 3 53 , a n d J ud 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 .

N O T E : A N Y I N D I V I D U A L W ~ I 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 FI E S O R F A I 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 TO C I V I LAND C R I M I NAL S AN C T I ONS ( S U . S . C . a p p . 1 0 4 )

FILING INSTRUCTIONSM a i l s i g 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 tt e e o n F i n a n c i a l D is c lo s u r eA d m i n i s t r a ti v e O f f i ce o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r cl e , N . E .W a s h i n g t o n , D .C . 2 0 5 44

wilfred feinberg financial disclosure report for 2009

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