Alvin K Hellerstein Financial Disclosure Report for 2009

8/3/2019 Alvin K Hellerstein Financial Disclosure Report for 2009

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l A O l O FINANCIAL DISCLOSURE REPORT R e ~ o r t R e q u i r e d b y t h e , E l h i c sin Government Act of 1978R e v . ; / : 0 1 0 F O R C A L E N D A R YEAR 2009 ( J u . s . c , a p p . 1 0 1 - 1 1 1 )I . Pe rson Report ing ( la s t name , f i rs t , midd le in i t ia l) 2. Cour t or Organiza t ion 3. Dole o f ReportHe l l e r s t e i n , A lv in K. U.S . D i s t r i c t Cour t - N-Sou th 07 /22 /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 ~ . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6. Repor t ing Per iodm a g i s t r a t e j u d g e s i n d l c ~ t e f u l l - o r p a ~ t - ti m e ) [ [ - - ] Nomina t i on , D a t e 01/01/2009U . S . D i s t r i c t J u d g e (A c t i ve ) [] Initial [] Annual [] Final to12/31/2009

S b . [ ] A m e n d e d R e p o r t7. Chnmber~ or Off ice Address 8 . On the bas is o f the in fo rma tion con ta ined In th i~ Report and anymodifica t ions pe rta in ing the re to , i t is , in my op in ion , ia complianceUni t ed S~ a t cs Di s t r i ct Cou r t with appl icable l aws and regu la t ion$ .500 P ea r l S t r ee t - Room 1050N e w Y o r k , N e w Y o r k t 0 0 0 7 Reviewing Off icer D a t e

1 3 1 P O R T A N T N O T E S : The instructions accompanying this form m ust be followed Complete all parts,checking the NO NE box for each part where you have no reportable informatio~ Sign on iastpage.

I . P O S I T I O N S . C R e p o r a n ~ Individual only; see lap, 9-1J of falng instrucllo~,)~-] N O N E (No reportable positions.)

P O S I TI O N N A M E O F O R GA N IZA TIO N /E N TITY

~ NONE ~o reportable agreements.)N PARTI~S AND TE~

111196 Stro~k & Stm~k & L~van LLP, foyer taw fi~ (Pension Plan for retired pa~ne~)(N~ C~ntr~l)

2 . I / 1 / 89 Stroock & St roock & Lavan Ret i rem en t P lan (ma nagem en t o f f i rms IRA and 401K p lans ) (No Con t ro l )3. 111/84 Stroock & St roock & Lavan Inves tm en t Par tnership (No Con t ro l )


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Name of Person Reporting Date olRcpor~FINANCIAL DISCLOSURE REPORT[ H l le r s t e ln , A l v i n K ,Page 2 of 8

0 7 / . , z 2 0 1 0

I II . N O N - I N V E S T M E N T I N C O M E . (Repor6ngindividualandspou$txeepp. 17-24offitinginstructtons.)A. Fliers Non-Investment Income

NONE (No reportable non-investraent income.)DA T E SOI.IRCE AND TYPE INCOME(yours, not spouses)

1 . 2 0 0 9 Pension from former law firm $430,468.00

2.

3.

4.

B . S p o u s e s N o n - In v e s t m e n t I n c o m e - t f yo~ ~r, married during anypor~ion of th~ reporting year, compl~t~ this section.(Dollar amount not required rcept for honoraria.)

[~ N O N E (N o reportable non-investment income.)D _ _ _ A T E S OU R C E A N D T Y P E

I.

3.

4.

I V . R E I M B U R S E M E N T S - t ~ . ~ o n ~ ,~ o ~ . ~od~.~,/oo~ o . ~ , ~ . ~ . , . , . -(Includes those to spo~e a~ dep~ent chd&en; see pp. 2J-27 of filing i~t~ctio~.)

N O N E (No reportable reimbursements.)SOURCE ~ LOCATION PU~OSE ITEMS PAID OR PRO VIDED

1 ,2.

3.

4.5.


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FINANCIAL DISCLOSURE REPORT S . m ~ o f V , -~ o , , n ~ p o ~ a .g o , t , o r R ,~ tPage 3 of 8 He l l e r s t e i n , A lv in K. , 0 7 1 2 2 1 2 0 1 0

[~] N O N E (N o reportable gifts.)SOURCE DESCRIPTION VAL~E

1 .2.3.4.5.

V I . L I A B I L I T I E S . a n a , .u , ~ h o , , of ,po~,, .,d depende~ children; see p~ 3 2 - 3 3 of fding ~truction~)~ N O N E ~ o reportable liabilities.)

~REDITOR DESCRIP TION VALU~ CODEI. C h a s e M o r t g a g e C o ~ . M o ~ g a g e , c o n d o m i n i ~ K2.3.4.

5.


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FINANCIAL DISCLOSURE REPORT NamentPer,on Reporting DateelReportPage 4 of 8 Heilersteln, A l v in K . 0 7 / 2 2 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . ,. value, tranSactions (Includts those of spouse anddeptndent childrtn; seepp, 34-60 of filing instructions.)

NONE (No reportable income, assets, or transactions.)A. B. C. D.D e s c r i p t io n o f A s s e ts Incom e d urin g Gross va lue at end 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

( in c l u d i n g t a t , s t a s s e t s ) r e p o r t i n g p e r io d o f r e p o r t i n g p e r i o d !(0 {~) CO (~) (1) { ~ ) ( 3 ) I ( 4 ) ~s)V a l u e ~ Ga i n I d e n t i t y o fP l a c e " ( 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 lu e Va lue T y p e ( e . g . , D a ~ ee x e m p t f r o m p r i o r d i s c l o s u r e Code I d i v . , r e n t , C o d e 2 M e th o d buy, sell, mm/dd/yy Code 2 i Code I buyer! se l le r(A-It) o r i n t . } ( . l . P ) C o d e 3 r e d e m pt io n ) ( J P ) i (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. N e w Y o r k C i ty C o n d o m i n i u m F Rent P I W

2. J P Morgan!Chase A I n t e r e s t M T

3. Frankl in Tem ple ton Mut . Qus l . Fund ( IRA) C Dividend M T4 .. D r e y f u s M o n e y M a r k e t F u n d s ( S p o u s e ) A In teres t K T

5. St roock & S t r oock & Lavan Re t i r emen t P l a t : P I T( S e e f n . I )6. - I s h a r e s B a r cl a y s Ag g . B o n d F u n d 7 . - A l l ia nce Bem st e i n Equ i t y Fund (Se e f a . 2 )8 . - Thornbu rg I n v . Mgmt . (See f n . 2 )

9. - Turne r I nv . P ann e r s Fund (See fn . 2 )1 0 . - C.S . McKee , L .P . (Se e fn . 2 )I 1 . - B r a n d e s I n v . P a r t . F u n d ( S e e f n . 2 )

1 2 . - Wes t f i e l d Cap i t a l Mgm t . (Se e fn . 2 )1 3 . - TimcSqua r e Cap . Mgmt . (See f n . 2 )

1 4 . - M a c qu a r ie A l l e g i a n c e C a p . F u n d ( S e e f n .2)1 5 . - C romer Rose n tha l McGlynn ( s ee f n . 5 )

1 6 . S &S & L I n v e s t me n t P a r t n e r s h ip s (S e e f n . 3 ) A D i v i d e n d J T1 7 . -W arburg Pincus Funds

t , lncon~ G~in Coach: A "~ ! ,0OO o less B -$ I ,[~1 - $2,500 C =~2.501 -$5.~ D -$5.~1 - ~15.~ E =$15.~1 - $~,~

3. Value Mct~ C~ Q -Ap~l R ~o~ (~ ~a~ Only) S =~smenl T ~h M~k~


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N a m e o f P e r s o n R e p o r t l n [ D a t e o f R e p o r tP a g v F IN A N C I A L 5 o f 8 D I S C L O S U R E R E P O R T ] tlellersteln,Alvin K . 0 7 / 2 - 2 / 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 - z = 0 , , , ,. ~ t , , . transactions (Include, those o/$po .... d dependent children; $el~tx 34-60 offiling inStructions.)NONE (No reportable income, assets, or transactions.)

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 m a 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 io d

( i n c l u d in g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o n l n g p e r i o d(I) ! (2) O) (2) (l ) (2) (3) 14) (9P l a c e " ( 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 . , Va lue Value T y p e ( e . g . , D a t e Va lue Gain I d e n t i t y o f

: x e m p t f r o m p r i o r d i s c lo s u r e Code I d iv . , r e n t , C od e 2 M e t ho d buy , se ll, n un /d d !y y C o d e 2 C o d e 1 buyer/seller(A-H) o r i r a . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) ( A - H ) (if pdvat( Q - W ) t r a n s a c t i o n )

1 8 . - Lo*b P a r t ne r s I nves tmen t s

1 9 . S t a t e o f l s r a e l B o n d s A In teres t J T2 0 . Gile ad Sc i e nce s I nc . None L T2 1 . R e g e n e r o n P h a r m a c e u t i ca l N o n e J T2 2 . Co ve n try H e a l th Ca re In c. N o n e J T2 3 . C i t i ba n k B a n k De p . A In teres t L T2 4 . Nor thwe s t e rn Mutua l (L i f e In s . ) (Se eFootno t e 4 )2 5 . Go l d F i e l d s L t d . A Dividend J T2 6 . I Sha re s TR MSCI EAFE Index Fund B Dividend L T

2 7 . I S h a r e s R u s s e l l 1000 V a l u e F d B Dividend L T2 8 . i S h a r e s R u s s e l l 1000 Gro w t h F d . B Dividend L T29 . I S h a r e s R u s s e l l 1 0 0 0 I n d e x F d . B Dividend L T3 0 . I Sha r e s Rus s e l l 2000 Va l u e F d . A Dividend K T3 1 . I Shares Russe l l 2000 Growth Fd . A Dividend K T3 2 . l Shares Trus t US F inSvc A Dividend K T33 . Newm on t Min ing Corp . A Dividend J T3 4 . Skil lso ft PLC ADR N c n e Dona ted 1 2 1 2 9 / 0 9 J


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Name of Person Reporting [ Date a f ReportP a g e F I N A N C I A L 6 o f 8 D I S C L O S U R E R E P O R T I H e l l e r s t e in , A l v i n K . I 0 7 / 2 T 2 0 1VII. INVESTME NTS and TRUSTS -D N ONE (No reportable income, assets, or transactions0

A. B. C. D.De s c r i p ti o n o f As s e 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 T r a n s a cl i o n s d a 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 r u s t a s s e t s ) r e p or tin g p er io d o f r e po rtin g p er io d

(1) ! (2) Ci) (2) (l ) (2) (3) (4) ( 5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t i T y p e ( e . g . , V a l u e V a l u e T y p e ( e . g . . Dat~ V a l u e Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i s c lo s u r e Code I i d iv , r e n t , C o d e 2 Me tho d bu y , s e l l , m m / d d / y y C o d e 2 C o d e 1 bu ye r / s e l l e r(A -H) or i n t . ) ( J-P ) Co d e 3 re d e m p tio n ) ( J-P ) (A - H ) ( i f p dva t e

( Q - W ) tr~saction)

3 5. Vanguard Emergency MktsETF (See Dividend

1~ Colum~ ~) O ~B~ Value V ~t~r W=~i~d


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N a m e o f P e r s o n R e p o r t i n g D n t e o f R e p o r tPa g~FI~ANCIAL7 o~ 8 DISCLOSURE REPORT Heilerstein, A l ~ n K . 0 7 / 2 2 / 2 0 1 0

VIH. ADDITIONAL INFO~TION OR EXPLANATIONS.

Foo tno te I - Resu lLs o f inves tmen ts , inc lus ive o f rea l i zed and un rea l i zed ga in s and lo s ses and d ividends and d i s t r ibut ions , a re repo r ted to me qua r te r ly and fo r yearen d . A s ep a r a t e f i g u r e f o r d i v i d en d s w a s n o t r e p o r t e d m m e . No g a i n o r l o s s i s r e p o r t e d , s i n c e t h e i n ve s tm en t q ua l i fi e s a s a n IRM401-K . No r ed em p t i o n s w e r em a d e d u r i n g 2 0 0 9 .Foo tno te 2 - - Dur ing the f ir s t quar te r o f ca lendar year 2009 , inves tme n ts fo r my a ccoun t in Lehman I Shares Bond Fun d ,*e re c lo sed and a l l funds ,~ , e rc ro l l ed overi n t o I Sh a r e s Ba r c l~ ,y s Agg . Bond Fund . Oth e r ch anges r e f l ec t n ame ch anges o r c o r r ec t i o n s .Foo tno te 3 - - Var ious o f the en t i t i es in which S&S&L Inves tm en t Par tnership inves ted ,*e re so ld on var iou s da tes dur ing 2009 . " l he ga in s and lo s ses a re repo r teda t t h e end o f t h e y ea r i n K I r epo r t s . Th e i d en t i t ie s o f buye r s and s e l l e r s a t e n o t g iv en .F oo tno t e 4 - - Ca sh va lu e a nd d iv idends a r~ a pp l i e d t o p r em ium s , r e su l ti ng i n pa id - up l i f e in su r a nce , p a yab le on the s e cond t o d i e be twee n ~m d me . Hence ,the po l icy does no t pay d ividends , and has no g ro s s va lue .F o o t n o t e 5 - - I n Ap r i l 2008 , f un d s f r o m o the r m an ag ed ac c o un t s we r e r o l l e d o ve r t o be m ~ag ed by Cram e r Ro s en tha l Mc Gly n n , a n d c o n t i n u ed s o t o be m an ag edt h r ough ou t 2009 . I n adv e r t en t l y , my l i s t i n g o f m anaged accoun t s f o r t h e 2008 yea r d i d no t i n c l ud e C r amer R o s en th a l McG lynn .


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FINANCIAL DISCLOSURE REPORT N .... f P e r , o n R e p o r t in g D a t e o t R e p o r tPage 8 of 8 Hellerstein, A l v in K . 0 7 / 2 2 / 2 0 1 0IX. CERTIFICATION.

I c e r ti f y t h a t a l l in 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 rm a t i o n p e r t a i n i n g t o my 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 ld r e n , i f a n y )a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e be s t o f my 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 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 be e a u ~ e l t m e t a p p l i c a b le s t a t u t o r yp r o v i s io n s p e r m i t t i n g n o n - d i s c lo s u r e .! f u r t he r c e r t if 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 mp 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 ve 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 t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 01 e t . s e q . , 5 U . S .C . 73 5 3 , a n d J u d i c ia l C o n f e r e n c e r e g u l a t i o n s .

NOTE: ANY INDIVIDUAL WH O KNOWINGLY AND WILFULL3AND C R IM INAL S AN C T IONS (5 U . S . C . a p p . 1O4 )

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 io n a l co p i e s t o :

C o m m i t te e o n F i n a n c ia l D i s c lo s u r eA d m i n i s t ra t i v e O f f ic e 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 rc l e , N . E .W a s h in g t o n , D . C . 2 0 5 4 4

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Alvin K Hellerstein Financial Disclosure Report for 2009