Kevin P Castel Financial Disclosure Report for 2010

8/3/2019 Kevin P Castel Financial Disclosure Report for 2010

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A O 1 0Rev. 1/20il FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111 )

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 i d d l e initial)Castel, P .Kevin

4. Title ( A r t i c l e I l l j u d g e s indicate active o r senior status;magistrate judges indicate full- or part-time)U.S. Distr ict Judge (active)

7. Chambers or Office A d d r e s sUnited States C ourthouse500 P earl StreetNew York , NY 10007

2. Court or OrganizationS.D.N.Y.

5a. Report Type (check appropriate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis of the infor mation contained in this Repor t and an ym odifications pertaining thereto, it is, in my opinion, in c o m p l i a n c ewith applicable laws and regulations.

R e v i e w i n g O f f i c e r D a t e

3. Date of R e p o r t06/20/201 I

6. Reporting Period01/01/2010

to12/31/2010

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

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)D NONE(No reportable positions.)POSITION

I. Director (ex of f icio as form er president)2. Trustee (ex of f icio as forme r president)

3. Board o f M anagers4. Adjunct Professor

5.

NAME OF ORGANIZATION/ENTITYSt. Johns School of Law, Alum ni Association (uncom pensated)Federal Bar Council (uncompensated)Havens Relief Fund Society (uncomp ensated)NYU Schoo l of Law (com pensated; comm encing 1/1 / 10)

I I . A G R E E M E N T S . t R c ~ , o r t in g i n a i v id u a l o n l y ; s e e p p . 1 4 - 1 6 of filing instructions.)D (No reportable agreements.)O N E

DATE PARTIES AND T E R M S1. 10/27/03 Cahill Gordo n & Reindel LLP agreem ent in connection with withdrawal from firm . (Copy o f agreem ent f iled with

2006 FDR and those of prior years.)


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FINANCIAL DISCLOSURE REPORTPage 2 o f 16

Name of Person ReportingCastel , P .Kevin

Date of Report06/20/201 l

I I I . N O N - I N V E S T M E N T I N C O M E . ( R e p o n i . g i n d i v i a u a l a n d s p o n s e ; s e e p e . 1 7 - 2 4 of filing instructions.)A. Fl i er s Non - lnve s tm en t i n com e

Q (No reportable income.)O i N E no n- inv e s tme n tDATE SOURCE AND TYPE INCOME(yours , not spouse s)

1 .2010 NYU School of Law-teaching $20,000.002.3.4.

B . S p o u s e s N o n - I n v es t m e n t I n c o m e - if you were married during any portlon of the reporting year, complete this section.(Dol lar amou nt no t requi red except for honorar ia . )

N O N E (No reportable non - investment inco m e.)DATE SOURCE AND TYPE

I.2.3.

4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertainment.( Inch~des those to spouse an d dependent chi ldren; see pp . 25-27 o f f i l ing ins t ruct ions . )

N O N E (No repo rtable reimbu rsem ents .)SOURCE DATES LOCATION

I.2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 6


Date of R eport06/20/2011

V . G 1 F T S . a n etu d e s , h o s e to s p o u s e a n d d e p e n d e n t children; see pp. 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . an e lu d e s , h o s e o l s p o u s e and dependent children; see pp. 32-33 of filing instructions)N O N E (No reportable liabilities.)

CR E DIT O R DE SCR IPTIONI.2.

3.4.5.

VALUE CODE


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Date of Report06/20/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a l a e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s Income during Gross value at end( inc lud ing tm st assets) repo r t ing per iod o f r e p o r t in g p e r io d

(1) (2) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., Value Value

exempt from prior disclosure Code I div . , ren t, C o d e 2 M e t h o d( A -H ) or int.) (J-P) C o d e 3(Q -W)

Transactions during reporting period(1 ) (2) (3)

Type (e.g ., Date Valuebuy, sell, m m /d d/y y C ode 2

redemption) (J-P)

( 4 ) ( 5 )Gain Identity of

Code 1 buyer/seller(A-H) (if p rivate

transaction)

1. Brk Act #1 Fidel ity W or ldwide [FW W FX] A Divid end So ld 03/31/10 L A2. Brk A ct #1 Fidelity Capital Apprecn Mutual A Dividend N TFd [FDCAX]3. Brk Act #1Fidelity Cash Reserves [FDR XX] D Dividend O T

Brk Act #1 Fidelity Asset Manager MutualFd [FASGX] D Dividend M TBrk Act #1 Fidelity Agg ressive GrowthMutual Fd [FAMRX ] Dividend M TBrk Ac t # 1 Fidelity Balanced [FBALX] D Dividend M T

7 . Fidelity Exp ort & M ultinat l [FEXPX ] A Dividend Sold 03/31/10 K A8. Brk Act #4 First Eagle Overseas Fund Class A DividendA9. Brk Act #4 LM [SB] App reciation Fd CL B DividendA(Part VIII)

1 0 . Brk Act #4 LM [SB] Large Cap Grwth FD NoneCL AI I . Brk Act #4 W stm Asse t NY Muni Money A InterestMkt Fd CL A1 2 . Brk Act #4 W stm Asset Money Market Fd A InterestCL A1 3 . Brk Act #4 Uts Nuveen TE UT T R #61 M A DividendNY INSD $61 (Part VIII)1 4 . BrkAct #4 VFH A Dividend

J

M

M

N

TT

T R e de e me d 06/15/10 K A(part)T

R ed eem ed 04/27 /10 L ASold 02/15/10 J A

T1 5 . B rk Ac t # 4 S C D B Dividend1 6 . B rk Ac t# 4 N Y C G /O S e r G 3 . 1 25 /1 0 [ 4 /1 0 ] B Interest

T Sold 12/21110 K A(part)Redeemed 08/02/10 K A

1 7 . Brk Act #4 Nassau Co Scr C 5.25/10 B Interest Redeemed 01/01/10 L A

I. Income Gain Codes: A =$1,000 or less B =$I,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(See Columns B 1 and D4) F = $ 50,001 - $ 100,000 G =$ 100,001 - $1,000,000 E t I = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 H 2 = Mo r e t ha n $ 5 ,0 00 ,0 002. Value Codes J $15,000 or less K =$15,001 - $50,000 L = $50,001 - $100,000 M -$100,001 - $250,000(See Columns CI and 1)3) N =$250,001 - $500,000 O =$500,01) 1 - $1,000,000 PI =$1,000,001 - $ 5,000,000 P2 =$5,000,001 - $25,000,000

P 3 = $25,000.001 - $50.01)0.000 P4 =More than $50,000,0003. Value Mclhod Codes Q =Appraisal R =C ost (Real Estate Only) S =Assessment T =Cash Market(See Column C2) U =Book Value V = Oth er W =Estimated

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE RE PORTPage 5 of 16

N a m e o f P e r s o n R e p o r t in gCastel , P .Kevin

Date of Report06/20/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .e o m e , v a ~ u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr iption of Asse ts I n c o m e d u r ing Gross value at end Transactions dur ing rep or ting pe r iod(inc lu d ing tru st asse ts) re p o rting p er io d o f r e p o r t in g p e r io d

(1 ) (21 (1) (2) (I) (2) (3) (4) (5 )Place "(X)" after each asset A m o u n t Type (e.g., V alu e Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code l div., rent, C o d e 2 Method buy, se ll , mm/dd/yy C o d e 2 Co d e 1 buyer / se lle r( A - H ) or int.) (J-P) C o d e 3 r e d e m p t io n) (J-P) ( A -H ) (if private(Q -W ) transac tio n)

1 8 . Brk Act #4 NYS Dorm AU Staten Isl U B InterestHosp 4.9/101 9 . Brk Ac t # 4 NYC G / O SER C 4.375/11 D Interest M

Redeemed 07/01 / 10 K A

20 . Brk Ac t # 4 NYS E N V F AC S 5 / I 1 A Interest Redeemed 06/25/10 J A2 1 . Brk Ac t #4 NY NY Ser F 5 .1 2 5/1 1 A I n t e r e s t J22 . Brk Act #4 Erie Cnty NY Pub Im pt Ser A B I n t e r e s t K5111 (Part V III)2 3 . Brk Ac t #4 NY NY Ser A Pre fu nd 5 .2 5 /1 1 A I n t e r e s t K24. Brk Act #4 NY NY Ser J 4112 A I n t e r e s t

TT Spinoff( f rom l ine 52)

Distributed 04/23/10 L Part VIII25 . Brk Act #4 NY NY ETM Ser J 4/12 A I n t e r e s t J T2 6. B r k Ac t #4 NY N Y Se r J 4 /1 2 B I n t e r e s t K T27 . Brk Act # 4 NY NY Ser J FGIC-TCRS A I n t e r e s t5.35/122 8 . B r k Ac t #4 NY S Do r m A u th U p st at e Co m m B I n t e r e s tCoil Rev B 5/13 [110]29 . B r k A c t #4 NY NY RFDG Ser B-FG IC B I n t e r e s t K TTCRS 5.7511330 . Brk Act #4 M edina NY Cent Sc Dist 4.75/12 A I n t e r e s t K T

Spinoff(from line 24)Spinoff(from line 24)

Redeemed 01/21/10 JRedeemed 07/01 / 10 K

AA

31 . B r k A c t #4 N Y S D o r m A U R F D G S E C D B InterestH O S P N Y D T W N 5 . 2 /1 432 . Brk Ac t # 4 NYS D orm AU Rev s Th i rd G en B InterestRes 5.25/1333 . Brk Ac t # 4 NS D orm AU R ev s L u l h erern B InterestMed 5/1334 . Brk Ac t # 4 NYC G O Set J 4 / 1 3 B Interest

KK

T

T

TDistributed 04/23/I 0 Part Vll l

I. Income Gain Codes: A =$1,000 or less B =$1.001 - $2.500 C = $2,501 - $5.000 D = $5,0OI - $15,000(See Colunm s B 1 and D41 F =$50.001 - $ 100.000 G = $ 100.001 - $1,000.000 H 1 =$1,000,001 - $5,000,000 H2 =More than $5,000,0002. Value Codes J =$15.OI10 or less K =$15,001 - $50.000 L =$50,001 - $ 100,000 M =$100,00 | - $250,000(See Columns C I and 113) N =$250,001 - $500.000 O = $5 00 .0 01 - $ 1, 00 0,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 P2 =$5,000,001 - $25,000,000P3 =$25,000,001 - $50,000,000 P4 =More than $50.000.0003, Value Method (odes Q = Appraisal R ~Cost (Real Estate Only) S =Assessment T = Cas h M ark e t(See Colunln C21 U =nook V alue V : Other W = Estimated

E = $ 1 5 , 1 1 0 1 - $50,000


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FINANCIAL DISCLOSURE REPO RTPage 6 of 16



V I I . I N V E S T M E N T S a n d TRUSTS -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)~ N O N E (No reportable income, assets, or transactions.)

A. B. C.Descr ip t ion o f A s s e ts I n c o m e dur ing G r o s s v a lu e a t e n d(including trust assets) repo r t ing per iod o f r e p o r t in g p e r io d

(I) (2) (1) (2)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 T y p e ( e . g . , V alue V aluee x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

( Q - W )

35 . Brk Act #4 Buffalo NY Ser B 5.375/13 [12] B Interest K T3 6. B r k Ac t # 4 N as sa u Cr y I FA S er A 5 /1 3 A Interest K T3 7. B rk A ct # 4 N Y C GO S er A 4 /1 3 C Interest L T38 . Brk Act #4 Camden N Y C ent SCh DIST B Interest K TSER A 4.5/1439 . Brk Act #4 NYS DORM AU lona Coil B Interest K T4.3/1440 . Brk Act #4 Sharon Springs Mu nW tr 4.8/14 A Interest4 1. B rk A c t # 4 N Y S D o rm A u C o l ga te 4 .6 2 5/ 14 A Interest4 2. B rk A ct #4 N Y C Se r A G /O 4 .3 /1 4 B Interest K T43 . Brk Act #4 NYS Dorm Au Lease Rev Mun A Interest J THlth 5.5/14 [I I]44 . Brk Act #4 Buffalo NY Gen ImpSer A C Interest L T4.7/14 [11]45 . Brk Act #4 NYC GO Ser 14.5/14113] B Interest K T46 . Brk Act #4 W est Seneca Cent Sch 4.125/14 C Interest L T4 7. B rk A ct #4 N Y C GO S et G 4 /1 4 C Interest L T48 . Brk Act #4 No Babylon Sch Dt 5.25/15 B Interest K T49 . Brk Act #4 Buffalo NY Ser C 4 .7/15 B Interest K T50 . Brk Act #4 NYC R EF Ser B G/O 5 .75 /15 C Interest L T51 . Brk Act #4 L! Pwr Au[LIP A] 4/15 A Interest K T

Transactions during reporting period( 4 ) ( 5 )G a i n Identity of

C o d e 1 buyer/seller( A - H ) (if privatetransaction)

(1 ) (2) (3)Type (e.g., Date Valuebuy, sell, m m /d d/y y C od e 2

redemption) ( J - P )

Distributed 04/23/10 KRedeemed 07/01 / 10 J A

Spinoff(from line 44)

Part Vlll

I. Income Gain Codes: A =$1 .000 or less B =$1,001 - $2,500 C = $2,501 - $5,000 D -$5,001 - $15,000(See Columns B I and D4) F =$50,001 - $ 100.000 G = $100,001 - $1.000,000 H I = $ 1. 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 = M o re th an $ 5 .0 00 ,0 002. Value Codes J =$15.000 or less K = $15 ,001 - $50.000 L =$50.001 - $ 100,000 M = $ 100.001 - $250,000(SecColumnsCI and D3) N =$250.001 . $500,000 O=$500,001 . $1,000,000 PI =$1,000,00I -$5, 000, 000 P2 $5,000,001 -$25,000,000P3 = $25,000,001 - $50,000.000 P4 = More than $50,000.0003. Value Method Codes Q = Appraisal R = C o s t (Real Estate Only) S =Assessment T =Cash Market(See Column C2) U =Book Value V : Other W ~Eslimalcd

E =$15,001 - $50.000


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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, transactions (Includes those o f spouse and dependent children; see pp. 34-60 of f!ling instructions.)~-1 N O i q E (No reportable income, assets, or transactions.)

A. B. C.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 lu e a t e n d(including trust assets) r e p o r t i n g p e r i o d o f r e p o rt i n g p er i o d

(t ) ( 2 ) (l) (2)Place "(x)" after each asset A m o u n t T y p e ( e . g . , V alue V alueexempt from prior disclosure Code l d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

52 . Brk Act #4 NYN Ser A 5 .25 /15 A Interest53 . Brk Act#4 MTA 5.25/15 A Interest54 . Brk Act#4 NY C T rans Fin 4/15 B Interest L T55 . Brk Act #4 NYS Dorm Pres 4.2/15 [14] B Interest K T56 . Brk Act#4 NYC SerC 5.25/15 [14] B Interest K T57 . Brk Act #4 NYC H ealth & Hosp 4.55/16 B Interest L T[12]58 . Brk Act #4 NYC G/O Ser H 5.25/16 [I 1] B Interest K T59 . Brk Act #4 NYS Do rm A u St Johns U 5/16 B Interest K T60 . Brk Act #4 NY NY Ser J 5.25/16 C Interest L T

61 . Brk act #4 NYS E nv Fac Corp St Clean W tr B Interest K T5/1762 . Brk Act #4 NY NY RFDG Ser J 5 /17 A Interest63 . Brk Act #4 NYC Ser G G/O 5/17 C Interest L T64 . Brk Act #4 NYC GO Ser O 5/17 [15] B Interest L T65 . Brk Act #4 NYC SER B Gen Obl 5 .375/18 B Interest[ 0 8 ]66 . Brk Act #4 NYS Dorm Au St Josephs H A Imeres t5.25/1867 . Brk Act#4 Bingham tom 4.25/18[16] D Interest68. Brk Act #4 NYS Thru H & 13 5/18[I 5] C Interest L T

Transactions during reporting period(l ) (2) (3)T y p e ( e . g ., D a t e Valueb u y , s e l l , m m /d d /y y C o d e 2

r e d e m p t io n) (J-P)

R e de e me d 11/08/10Distributed 04/23/10

Redeemed 01/21/10 J

JL

R ed eem ed 08 /02/10 KDistributed 04/23/10 KR ed eem ed 08 /19/10 M

(4) (5 )Gain Identity of

Code 1 buyer/seller(A-H) (if p rivate

transaction)

APart VII1

A

Part VIII

I. Income Gain Codes: A =$1,000 or less B = $1.001 - $2,500 C = $2,501 - $5.000 D = $5.001 - $15,000(See Column s B I and D4) F = $ 50,001 - $ 100.000 G = $ 10 0.00 1 - $ 1 ,00 0.00 0 H 1 = $1 ,0 00 ,0 01 - $ 5,00 0,00 0 H 2 = M o re th an $ 5,0 00,0 002, Value Codes J - $ 1 5 . 0 1 ) 1 1 o r l e s s K =$I 5.001 - $50.000 L =$50,001 - $100,000 M =$100,001 - $250,000

(See Columns CI and D3) N =$250.001 - $500,000 O = $50 0.001 - $1,0 00.00 0 P I = $1 ,00 0,0 01 - $5 ,00 0,0 00 P2 =$5,000,001 - $25,000,000P 3 = $25,000.001 - $50.000,000 P4 =More than $50,000,0003, Value Method Codes Q =Appraisal R = (o,,I (Real Estate Only) S =Assessment T =Cash Market(See Column C2) U =Book V ahlc V = Other W = Estimated

E =$15.001 - $50,000


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FINANCIAL DISCLOSURE REPORTPag e 8 o f 1 6

N a m e o f P e r s o n R e p o r t in gCastel, P .Kevin


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, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Transactions during reporting period( i n c l u d i n g t r u s t a s s e t s ) Income during Gross value at endr e p o r t i n g p e r i o d of repo rting period(l) (2) (l) (2) (i )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 T yp e ( e . g . , V alue V alue T y p e ( e . g .,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 1 d i v . , r e n t , C o d e 2 M e t h o d buy, sell,( A - H ) o r i n t . ) ( J - P ) C o d e 3 redemption)

( Q - W )

(2) (3) (4)Date Va lu e Gain

m m /d d/y y C ode 2 Code 1(J-P) (A-H)

(5 )Identity ofbuyer/seller(if private

transaction)69 . B r k A c t# 4 N Y C G O S e r A I 5 / 1 8 [1 7 ] D Interest M T7 0. B r k A c t # 4 N Y N Y R FD G Se r 1 5 /I 8 [ 1 4 ] C Interest L T7 1. B rk A ct # 4 N Y C T FA F UT T A X FG IC C Interest L TSECD Ser E 5 .25 /1872 . Brk Act #4 New York State Dorm Auth St D Interest Redeemed 08/31/10 MPers Income Tax 4 /1873 . Brk Act #4 New York N Y City HSG Dev C Interest L TCorp M ultiFam 5.35/1874 . Brk Act #4 Ci ty MW F AU W KS Sys Rev A Interest R e de e me d 08/19/10 LSer D 0/I 875 . Brk Act #4 LIPA NY E lec Sys Ser E 5 /18 B Interest L T76 . Brk Act #4 NYS Thruway Au Gen Rev Ser C Interest L TH 5/1977 . Brk Act #4 PR M uni Ser C 5.25/19 B Interest L T Bu y 03/04/10 L78 . Brk Act #4 Buffalo Ser C 5/19 B Interest L T79 . Brk Act #4 MTA Ser A 5.5/19[12] D Interest M T80 . Brk Act #4 NYC T FA Ser AI 5 /19[16] C Interest L T81 . Brk Act #4 Middletown NY 4.125/19116] C Interest Redeemed 08/31/10 L A82 . Brk Act #4 PR Sales Tax 4.625/19 D Interest M T83 . Brk Act #4 NYS Env FACS Corp St Clean D Interest M TW TR & Dr inking 5 .25 /208 4. B rk A ct # 4 Me tr o T S PT N A u N Y TS PN B Interest L TR E V S E R A A 5 / 2085 . Brk Act #4 NYC GO Ser A 5/20[I 6 ] D Interest M T

I. Incom e Gain Codes: A = $I.000 o r less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(See Columns BI and D4) F =$50,001 - $ 100,000 G = $I 00,00 1 - $ 1,00 0,0 00 H I = $1 ,0 00,00 1 - $ 5,00 0,0 00 H 2 = Mo re than $5,0 00,000

2. V alue Codes J - $15,000 o r less K =$15,001 - $51).000 L =$50,001 - $ 100,000 M -$100,001 - $250,060(See Columns CI and D3) N =$250,001 - $500,000 O =$500,001 - $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 :Ap praisal R = Cost (Real Estate Only) S =Assessment T =Cash Market(S cc Column C2) U =[)ook Value V ~Oth cr W = Estimated

E =$15,001 - $50,000


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V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a t .e , transactions (Includes those of spo use and dependen t children; seepp. 34-60 of fi l ing instrttctions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.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 lu e a t e n d(including trust assets) r e p o r t i n g p e r i o d of reporting period

( 1 ) ( 2 ) ( 1 ) ( 2 )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 T y p e ( e . g ., V alue V alueexempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

(l)Type (e.g.,

buy, sell,redemption)

Transactions during reporting period(2) (3) (4) (5)D a t e Value G a i n Identily ofm m /d d /y y C o d e 2 C o d e 1 buyer/seller

O - P ) ( A -H ) (if privatetransaction)

86 . Brk Act#4 LIPA Ser E 5/20 [16] B Interest L T87 . Brk Act #4 NJ High Ed 4.5/21 A Interest L T Bu y 06/22/10 L88 . Brk Act #4 NY Gen Oblig BDS-GI 5.5/21 B Interest K T89 . Brk Act #4 NYC Trans F/A Rev 5.25/21 B Interest K T90 . Brk Act #4 NYS P ers lnc Tax 5/21 [16] C Interest L T9 1. B rk A ct # 4 Ne w Y o rk N Y Se r A C IF G D I n t e r e s t L TTCRS 5/2192 . Br k Ac t #4 Metr o Tra s Au NY Rev RF DG C I n t e r e s t L TSer A 5.125/2193 . Brk Act #4 New Y ork City G/O Set A 5/22 C I n t e r e s t L T9 4 . B r k A c t # 4 Mo nr o e C n ty I DA 5 /2 2 B Interest K T

95 . Brk Act #4 NJ State Trans 5.25/23 A Interest L T Bu y 11/30/10 L96 . Brk Act #4 NJ Economic Dev Au Sch C Interest L TConstr Ser O 5.23/2397 . Brk Act #4 PR Elec Pwr Rev R FDG Ser PP B Interest L T5/2398 . Brk Act #4 NY Ge n Oblig BDS E 6/23 C Interest L T99 . Brk Act #4 T r iborough Br idge & T A u Ser B Interest L TD 5/23100. Brk A ct #4 blJ State Trans 5/24 A Int./Div. K T Bu y 11/08/10 K101. Brk Act #4 New York St Dorm Au RevsHosp FHA Insd A 6.45/24102. Brk Act #4 T r iborough B & T AU 5 /24

DC

Interest L TInterest L T

I. Income Gain Codes: A ~$1,000 or less B =$1.001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(See Col u runs B I a nd D4) F = $ 50,001 - $ 100,000 G =$ 100,001 - $ 1,000,0O0 H 1 =$1,000,001 - $ 5,000.000 H2 =M ore than $ 5,000,0002, Value Codes J = $15,000 or less K =$15,001 - $50,000 L =$50,001 - $ 100,000 M =$100,001 - $250,000( Se e C o lu m ns C I a nd D3 ) N =$ 25 0,0 0I - $5 00 ,0 00 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000.001 - $50,000,01)(I P4 =More than $50,000,0003. Value Method (odes Q =Appraisal R =C ost (Real Estate Only) S =Assessment T = Cas h M ark et(See (olum n C2) U =ltook Vahm V =Other W = Estimated

E =$15,001 - $50,000


10/32




V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a la e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions,)

A. B. C D.Descr ip t ion o f Assets Inc o m e d u r ing G ro ss v alu e at end Transactions dur ing repor tmg pe r iod

(inc lud ing tru st assets) re p o rting p e rio d o f r e p o r t in g p e r io d(l) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t Type (e.g., V alu e V alu e Type (e.g., Date Value Gain Identity ofexempt from prior disclosure C o d e l d iv ., rent, C o d e 2 Method buy, se ll , mm/dd/yy C o d e 2 Code l buyer / se lle r( A - H ) or int.) (J-P) C o d e 3 redemption) (J-P) ( A - H ) (if private

( Q - W ) transaction)

103. Br k Act #4 PR Elec 4.625/25 A I n t e r e s t K T Bu y 11 /08 /10 K104. Brk Act #4 NYS Thwy Au 2d HW Y & BDC D Interest L5/25 (Part VIII)105. Brk Act g4 NYC MW A Wtr & Sw r Rev Ser C Interest MC 5/25 (Part VIII)106. Brk Act # 4 NY NY IDA Rev AG C 6.125/29 A I n t e r e s t J

T

T

T

107. Brk Act #4 Ishare s TR Dow Jones Select A Dividend KDiv Index Fun d108 . Brk Act #4 XLF A Dividend K

TT

109. Brk Act #4 NYS Thrwy 5.1/10 B I n t e r e s t Redeemed 04/01 / 10 K A1 1 0 . Brk Act #4 NYC G/O Ser C 4.375/I !I I 1. Brk Act #4 MTA F R D G S e r A 4 . 3 /1 3 I n t e r e s t

Merged(with l ine 19)

112 . Brk A c t #4 N YS D orm C o lum bi a U . 5 . 25 /13 B I n t e r e s t K1 1 3 . Brk Ac t # 4 New Yo rk C i ty G / O Ser E 5 / 1 4 B Interest L114. Brk Act//4 New Roch elle Sch Dist Ser A

FSA 5/14115. Brk Act #4 New Rochel le NY Sch oo l

5.25/14 [1 i]116. Brk Act #4 NYC RefSe r B G/O 5 . 75 /15

1 1 7 . Brk Act #4 NYC Health & Hosp 4.55/16[ 1 2 1I 18. Brk Act #4 Hudson Falls NY Cent Sch4.625/16[I I]1 1 9 . Brk Act #4 New Yor k G /O BD B/E Set J4 / 1 6

B

C

I n t e r e s t K

I n t e r e s t KI n t e r e s t M


Merged(with l ine 50)T Merged(with l ine 57)

T

I. Income Gain Codes: A =$1,000 or less B =$1.001 - $2.500 C = $2.501 - $5,000 D = $5,001 - $15,000(See Columns BI and D4) F = $50,001 - $100.000 G = $100.001 - $1.000,000 HI =$1,000,001 - $5,000,000 H2 =Mo re than $5,000,0002. Value Codes J - $15,000 or less K = $15.001 - $ 50,000 L =$ 50,001 - $ 100,000 M =$ t 00,001 - $250,000(See Columns CI and D3) N -$250,001 - $500,000 O = $5 00 .0 01 - $ 1,0 00 .0 00 P 1 = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 P 2 = $5 ,0 00,0 01 - $ 25 ,0 00,0 00

13 =$25,000.001 - $50,000.000 P4 =More than $50,000,0003. Value Method (odes Q = Appraisal R =Cost (Real Estate Only) S ~Asscssmcnt T ~Cash MarkettSce Column C2) U = Book Value V ~ O t h e r W =Estima ted

E =$15,001- $50.000


11/32


N a m e of Person ReportingCastel , P .Kevin


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, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)D NONE(No reportable income, assets, or transactions.)A. 13 . C.

D e s c r i p t i o n o f A s s e t s lncome during G r o s s v a lu e a t e n d( i n c l u d i n 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 r t i n g p e r i o dO) (2) ( 1 ) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t Amount T y p e ( e . g . , V alue V alueexempt from prior disclosure Code I d i v . . r e n t , C o d e 2 M e t h o d( A - H ) or int.) (J-P) C o d e 3

( Q - W )120. Brk Act #4 NYC G/O Ser E 5/16 B Interest L T121 . Brk Act #4 NYC G/O Ser B 5 .25 /18 C Interest L T122. Brk Act #4 New York NY RFDG Ser H B Interest L T5/16123. Brk Act #4 P ort Auth 125th Set 5/18 B Interest K T124 . Brk Act # 4 MT A 4 .5 /18 B Interest K T1 2 5 . B rk Ac t # 4 N Y S D o rm Au R e v K a le id a Hl th B Interest L T4.25/18126. Brk Act #4 Bingamton NY 4 .25 /18[16]127. Brk Act #4 New Y ork City G/O Ser ASubser A-I 5 /19128. Brk Act #4 NYS Twy Rev A 5 /20[15]

129. Brk Act #4 Port Au NY & NJ 4.5/25130. Brk Act #4 W estern Asset Mkt FD13 I , Brk Act #4 LM[SB] Large Cap Grow h Fund

CL A132. Brk Act #4 SB Money Funds Cash PortCL A

C Interest M TB Interest L T

C Interest L TA Dividend

A Dividend

133. Brk Act #4 SB Muni NY M kt Port CL A134. Brk Act #4 ADP A Dividend J T135 . Brk Act #4 BR A Dividend J T136. Brk Act #4 BBY A Dividend J T

Transac t ions du r ing repo r t ing per iod

(1 ) ( 2 ) (3)Type (e.g., D a t e Value

buy, sell, m m /d d/y y C od e 2redemption) ( . l _ p )

Merged(with line 67)

04/27/10 J A

04/27/10 J A

R e de e me dMerged(with line 10)

R e de e me dMerged(with line 11)

(4) (5 )Gain Identity ofCode 1 buyer/seller(A-H) ( i f p r i v a t e

transaction)

I. Income Gain Codes: A =$1.000 or less B =$1.001 - $2.500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Columns BI and D4) F = $50,001 - $100.000 G = $100.001 - $1,000,000 HI =$1,000.001 - $5,000,000 H2 =Mo re than $5,000,0002. Value Codes J =$15.000 or less K = $15.001 - $50.000 L =$50,001 - $ 100,000 M = $ 100,001 - $250,000(See Columns CI and I)3) N =$250,001 . $500.000 O =$500,001 - $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 =Appraisal R =C osl (Real Estate Only) S =Assessment T -Cash M ar ket(See Column C2) U ~ Book Value V = O t h e r W =Estimated

E =$15,001- $50,000


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V I I . I N V E S T M E N T S a n d T R U S T S - i ,, c o m e , v o tu e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)~] N O N E (No reportable income, assets, or transactions.)

A. B. 1 2.Desc r i p t i o n o f As s e t s I n c om e du r i n g G ro s s v a l u e a t en d

( in c lu d in g tru s t a s s ets ) r ep o rt in g p er iod o f rep o rt in g p e r iodO) (2) (t) (2 )

Place "(X )" a fte r ea ch a s s et Am ou n t Type (e.g., V a lu e V a lu eex em p t fr om p r i o r d i s c lo su r e Code 1 d iv . , r en t , Code 2 M e t h o d

(A -H ) o r i n t . ) (J-P) Co d e 3( Q -W )

137. Brk Act #4 Citigrou p A Dividend J Ti 38 . Brk Act #4 GE A Dividend J T139. Brk Act #4 IBM A Dividend J T140. Brk Act #4 KM B A Dividend J T14 I. Brk Act #4 KSS None J T142, Brk Act #4 MDT A Dividend J T143 . Brk Act #4 M SFT A Dividend J T144, Brk Act #4 PW C A Dividend K T145 . B rk Ac t #4 WM T A Dividend J T

146. Brk Act #4 WAG A Dividend J T147, Brk Act #4 WFC A Dividend J T148, Brk Act #7 Cit iban k NA Bank Dep Program A I n t e r e s t K T149. Brk Act # 7 PWC A Dividend J T150. Brk Act #7 R1T A Dividend J T151. Brk Act #7 NYS Dev Corp Inc Tx 6.5/I 8 C I n t e r e s t L T152, Brk Act #9 SB (Western Asset)M UNl NY A I n t e r e s tM NY MK T PORT CL A153 . Brk Act #9 EEM A Dividend K T

T ran sac t i o n s du r i n g r ep o r t i n g per iod

(J ) (2) (3)Type (e.g., Date V a l u e

buy, se ll , mm/dd/yy C o d e 2r e d e m p t i o n ) (J-P)

(4 ) (5 )G a i n I d e n t i ty o f

C o d e 1 b u y e r / s e l l e r( A - H ) ( i f p r i v a t e

t r a n s a c t i o n )

I . Incom e G a i n C o d e s : A =$ 1.000 or less B =$1,001 - $2,500 C = $2,501 - $5,000 O = $5,00t - $15,000(See Columns BI and I M ) F = $50,001 - $100.000 G = $100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H 2 =More than $5,000,0002, V a l u e C o d e s J = $15,000 or less K = $15,001 - $50,000 L =$50,001 - $ 100,000 M = $ 100,001 - $250,000

(See Columns CI and D3) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 , 1 ) 1 ) 0 O =$500.001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 =$25.000.0111 - $50 .000 .000 P4 =More than $50,000,0003. V a l u e M e t h o d C o d e s Q = A p p r a i sa l R = C o s t ( R e a l Estate Only) S =Assessment T =Cash Market

(See Column C2) U ~B~lk V alue V :=Other W = Estimated

=$15,001 - $50.000


13/32




V I I . I N V E S T M E N T S a n d T R U S T S - i n e o m e , , , a ~ u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Descr ip t ion o f A s s e ts I n c o m e during G r o s s v a lu e a t e n d(inc lu d ing tru st asse ts) rep o rting p erio d of repor ting pe r iod

(l) (2) O) (2)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 T y p e ( e . g . , V alue V aluee 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 1 d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

Transactions during reporting period(I) (2) (3)

Type (e.g., Date Valuebuy, sell, mrn/dd/yy Code 2

r e d e m p t i o n ) ( J - P )

(4 ) (5)Gain Identity of

Code 1 buyer/seller(A-H) (if private

transaction)

154. Brk Act #9 PW C A Dividend M T155. Brk Act #9 PZI A Dividend J T156. Brk Act #9 M FS Intl New Disc Fund C A Dividend K T[MIDCX}157. Brk Act #9 New York Ci ty MW F Au W &S A Interest L TSer D O CPN 0/18158. Brk Act #9 NYS G/O BDS-A 0/19 A Interest K T1 5 9 . Br k A c t #9 PR Co m m H & T 0 / 20 A Interest K T160. Brk Act #9 XLF A Dividend J T161. Brk Act #12[ PH X O akhurst Strat Alloc FD A Dividend J TA]VR TS Balance Fd A162. Brk Act #12 PHX Oakhurst lnc&Growth FI3 A Dividend J TA] VR TS Tactical Fd A163. Brk A ct #13 Fidelity Divers Intl [FDIV X] D Dividend Sold 11/05/10 M D164. Brk Act #13 Fidelity Equity lnc[FEQIX] F Dividend O165. Brk Act #13 Fidelity Inter Bond [FTHR X] E Interest N166. Brk Act #13 Fidelity Export & Multinatl B Dividend[FEXPX]167. Brk Act #13 Fidelity Capital Apprec C Dividend J[FDCAX]168. Brk Ac t #13 Fidelity Retire Mmk t[Cash D Interest JReserves] [FCRXX ]169. Brk Act #13 Fidelity Disciplined Equity A Dividend

[FDEQX]170 . Brk Act #13 Fidel ity Value [FDV LX] B Dividend

Sold 11/05/10 L C(part)Sold 11105/10 L A

TT

Sold 11/05/10 L ASold I 1 / 0 5 / 1 0 1 L A

I. Income Gain Codes: A =$ 1,000 or less B = $ 1.001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Columns B I and D4) F =$50,001 - $100.000 G :$ 10 0.00 1 - $1,0 00 .0 00 H I = $ 1 .0 00 ,00 1 - $5 ,0 00 ,0 00 H2 =More than $5,000,0002. Value Codes J ~$15.000 or less K = $15,001 - $50,000 L =$50.001 - $ 100,000 M = $ 100,001 - $250,000

(SceColumns CI and D3) N $250.001 - $500.000 O =$500.001 - $1,000.000 P I = $1 .0 00 ,0 01 -$ 5, 00 0, 00 0 P 2 = $ 5, 00 0, 00 1 - $2 5, 00 0, 00 0P3 =$25.000,001 - $50.000.000 P4 = More than $50.000,0003. Value Method (odes Q =Appraisal R ~(OM (Real Estate Only) S =Assessment T =Cash Market(See C o l u m n C 2 ) U -Book V alue V = ()tiler W = Estimated

E =$15,001. $50,000


14/32




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, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)D NONE(No repo rtable income, assets, or transactions.)A. B. C.

Descrip tion of Assets Incom e during Gross value at end(including trust assets) rep orting p eriod of rep orting p eriod

(I) (2) (1) (2)Place "(X)" after each asset Amount Type (e.g., Value Value

exempt from prior disclosure Code I div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3(Q- W )

( 1 )Type (e.g.,buy. se ll ,

redemption)

Transactions dur ing repor ting pe r iod(2) (3) (4)

Date Value Gainm r r d d d ~ y y Code 2 Code I

(J-P) (A-H)

(5 )Identity ofbuyeffseller(ifpfivate

~ansaction)

171 . Bank Act #14 Chase Accounts172 . Brk Act#!5 F ide li ty Sm art Account A

NoneI n t e r e s t

KJ

TT B u y 03/31/10 K

I . Income Gain Codes: A = $1.000 o r less B = $1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000[ See Colum ns B I and D41 F = $50,001 - $100,000 G = $100.001 - $ 1.000,000 H 1 =$1,000.001 - $5,000,000 H2 =More than $5,000,000

2. Vahle Codes J = $ 1 5 . P A ~ A ) o r l e s s K =$15,00 | - $50,000 L = $50.001 - $100,000 M = $100 ,001 - $250,000[ S e e Coh mms CI and D3) N = $ 2 5 1 1 . 0 (1 1 - $ 5 0 0 . 0 00 O = $500 .00 1 - $1 ,00 0,0 00 P I = $1,00 0,0 0I - $5,00 0,0 00 P2 =$5,000,001 - $25,000,000

P3 = $25,000.001 - $50.000.000 P4 =Mo re than $50,000,0003. Value Method Codes Q = Appraisal R = Cost (Real Estate Only) S =Assessment T =Cash Market(See Colunm (2) U ~llook Value V =Oth e r W =Estimated

E =$15 ,001-$50 ,000


15/32

FINANCIAL DISCLOSURE REPOR TPage 15 of" 16


Date of Repo rt06/20/2011

V III . ADDITIONAL INFORM ATION OR EXPLANATIONS.

Par tVl l : INVE STMENT S AND TRUSTS

Brk Act # 1: a p ercentage of the assets in these accounts were transferred to now ~~,. ~Y ~.~ p er agreem ent; the balanced was transferred to a new individualaccou nt with the same de signation "Brk A ct #1". Brk Ac t # 13: a perc entage of the assets in these accou nts were transferred o now ay?: ; 77 ; per agreem ent.A percentage of the assets reported in Brk Act # 2 and #6 on prior years FDRs were transferred to now~,,,~:~;,,,,,.,, ~.~,,z: .... , agreem ent with the balance transferredinto Brk Act #4.Brk Act # 10 f rom 2009 FDR . These assets are under the cont ro l o~ ,~ : , ,~ , . , ,~ . bwng m hosehold and are no longer r epor table .Part VII lines 23,33,40,53 and 66 of 2010 FDR. These assets were transferred to no~;~, pe r agreem ent.Page 4, line 17 of 2009 FDR . 13rk Act #2 NYST A U LOC HGH W Y & BR IDGE 5/09. This was inadvertenly listed on the 2009 FDR as an asset. I t was a fullredem ption on 4/1/09 and is therfore omitted from the 2010 FDR .Page 5, line 18 of 2 009 FD R. Brk Ac t #2 NYS D orm Au R evs New Island Ho sp 5.2/09. . This was inadvertenly listed on the 2009 F DR as an asset. It was a fullredemption on 7/!/09 and is therfore omitted from the 2010 FDR.

Page 5, line 30 of 2009 FDR. Brk Act #2 NYC G/O Ser H 5.25/13 (09). This was inadvertenty listed on the 2009 FDR as an asset. I t was a full redemption on3/16/09 and is therfore omitted from the 2010 FDR .Page 10, line 114 of 2009 FD R. Brk Ac t #4 NYS Do rm Mtg H osp 4.95/08. T his was inadvertenty listed on the 2009 FDR as an asset. It was a full redem ption on8/1/08 andis therfore omitted from the 2010 FDR.Page I 1, line 118 of 2008 FD R. Brk A ct #4 NYC RFD G Ser H, subser H 6 float/l 2. This was inadvertenty listed on the 2009 FDR as an asset. I t was a fullredem ption on 3/17/08 and is therfore omitted from the 2010 FDR .


16/32




IX. CERTIFICATION.i ce r t ify tha t a ll inform ation given abov e ( including in form ation pe r ta in ing to m y sp ouse and m inor or dep endent chi ldren , i f any) isaccura te , true , and com ple te to the best of m y know ledge and be l ie f , and tha t any in formation not repor ted w as withhe ld because i t m et appl icable s ta tutory

prov is ions pe rm it ting non-disc losure .1 fur the r ce r t if y tha t ear ned income f r om out s ide em ploym ent and hono r a r ia and the accepta nce of g i f t s w hich ha ve been r epo r t ed a r e incom pl iance . w i th the pr ovi s ions o f 5 U. S . C. app . 501 e t . seq ., 5 U. S . C. 735 3, and Judic ia l Confe r ence r egula t ions .

Signa tur e : $/P .Kev in Ca s t e l

N O T E : A N Y I N 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 LL Y F A L S IF I 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 T O C I V I LAND CR IMINAL SANC TIONS (5 U.S .C. app . 104)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544


17/32

Revl 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app..~q 101-111)

I. Person Repor ting ( las t name, f ir s t , middle init ial)Cas te l , P .Kev in

4. Tit le (Art icle I l l judges ind ica te act ive o r sen io r s ta tus;magis t ra te judges indicate fu l l - or pan- t ime)U.S . Di s t r i c t Judge (ac t ive )

7. Cha m be r s o r O f f i c e A d d r e s sUni t ed S ta t e s Cour thous e500 P ea r l S t ree tNew Yo rk , NY 10007

2. Court or Organiza t ionS .D.N.Y.

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rm a tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in com pliancewi t h a p p l i c a b l e l a ws a n d r e g u l a ti o n s .

3. Date of R e p o r t06/20/201 I

6. Repor t ing P e r i o d01/01/2010

to12/31/2010

Reviewing Of f icer Date

IMPORTANT NOTES: The instructions accompanying th is form m ust be fo l lowed. Complete a l l parts ,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e p o n i n g individualonly; seepp. 9 -13 of f i l ing instructions.)D N O N E (No reportablepositions.)

POSITIONI. Di r ec t o r ( ex o f f i c io a s f o r m er p r e s i den t )

2. T r us t ee ( ex o f f i c i o a s f o r m er p r e s i den t )

3. B o a r d o f M a n a g e r s

4. Adjunc t P r o f e s s o r

5.

NAME OF ORGANIZATION/ENTITYS t . J o h n s S c h o o l o f L a w , A l u m n i A s s o c i a t io n ( u n c o m p e n s a t e d )F e d e r a l B a r C o u n c i l ( u n c o m p e n s a t e d )H a v e n s R e l i e f F u n d S o c i e t y ( u n c o m p e n s a t e d )N Y U S c h o o l o f L a w ( c o m p e n s a t e d ; c o m m e n c i n g 1 / I /1 0 )

I I . A G R E E M E N T S . m e ~ , o r , i , g ~ , d i v id u a l o , ~ y ; ~ , ~ . 1 4 - 1 6 of filing instructions.)N O N E (No reportable agreements.)

I . 10/27/03DATE PARTIES AND TERMS

C a h i l l G o r d o n & R e i n d e l L L P a g r e e m e n t i n c o n n e c t io n w i t h w i t h d r a w a l f r o m f i r m . ( C o p y o f a g r e e m e n t f i l e d w i t h2 006 F DR and thos e of p r io r yea rs . )


18/32

FINANCIAL DISCLOSURE REPORTPage 2 of 16



I l l . 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 N0n-Investm ent Incom e

~ (No reportable non-investment income.)O N ED A T E S O U R C E A N D T Y P E INCOME(yours, not spouses)

1. 2010 N Y U S c h o o l o f L a w - t e a c h i n g $2 0 , 000 .002.3.4.

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 - I f you were m arried during anyportlon of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, en t er ta inment .(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

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

I.

2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


19/32

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 6

N a m e o f P e r s o n R e p o r t i n gCaste l , P .Kevin


V . G I F T S . a n e l u d e s , h o s e t , , s p o ~ s e a n d d e p e n d c n , e h i i d , e , ; s e e , p . 2 8 - 3 t of filing instructions.)N O N E (No repor ta ble g i f t s. )

SOURCE DESCRIPTION1.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a , d .d e ~ t h o ~ e n / s , o u ~ e ~ n d d e p e n , ~ . t children; see p p . 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.3.4.5.

VALUECODE


20/32


N a m e o f P e r s o n R e p o r t in gCa s t e l , P . K e v i n


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , value, transactions (Includes those of spouse and dependen t chi ldren; seepp. 34-60 of f i l ing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s In c o m e d u r in g G r o s s v a lu e a t e n d

( i n c l ud i n g t ru s t a ss e t s ) re 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(1) (2 ) (0 (2)

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e Va lu ee x e m p t f r o m p r i o r d i s c lo s u r e C o d e l d i v . , r e n t , C o d e 2 M e t h o d( A - H ) or i n t . ) (J-P) C o d e 3

( Q- W)

Transactions during report ing period(1 ) (2) (3)T y p e ( e . g ., D a t e Valueb u y , s e l l , m m / d d g y y C o d e 2

redemption) ( J - P )

(4 ) (5 )G a i n Identity of

Code l buyer/se ller( A - H ) (if privatetransaction)

1. Brk Act #1 Fidel i ty Worldwide [FWWFX] A Div idend So ld 03/31/10 L A2. B rk A ct #1 F i de l it y Ca p i t a l A ppre cn Mut ua l AF d [F DCAX] Div idend N3. B rk A ct #1Fi de l it y Ca sh Re se rve s [ FD R XX 1 D Div idend O T

B rk A ct #1 F i de l i t y A sse t Ma na ge r Mut ua lFd [ FA SGX] Div idend MBrk Ac t # 1 F ide l it y Agg res s ive G rowthMutual Fd [FAMRX] D i v i d e n d MBrk Ac t # 1 F ide l i t y Ba lanced [F BALX ] D Div idend M T

7 . F i d e l i ty E x p o r t & M u l t i n a t l [ F E X P X ] A Div idend Sold 03/31/10 K A8. Brk Ac t # 4 F i r s t Eagle Overs eas F und C las s A Div idendA9. Brk Ac t # 4 LM [S B] Apprec i a t i on F d CL B Div idendA(Part VIII)

1 0 . Brk Ac t # 4 LM [S B] Large Cap G rwth F D N o n eCL A1 1 . Brk Act #4 Wstrn Asset NY Muni Money A InterestMkt F d CL A1 2 . Brk Act #4 Wstrn Asset Money Market Fd A InterestCL A1 3 . B rk A ct #4 U t s Nuve e n T E U T T R #61 M A Div idendNY INS D $61 (P a r t VIII )1 4 . Brk Ac t# 4 VF H A Div idend

JM

MN

TT

T R e d e e m e d(par t)T

R e d e e m e dS old

T

06/15/10 K A

04/ 2 7 / 10 L A02/15/10 J A

1 5 . B r k A c t # 4 S C D B D i v i d e n d16. Brk Act#4 NYC G/O Set G 3.125/I0 [4/10] B In te re st

K So ld i 12/21/10 K A(par t)Redeemed 08/02/10 K A

1 7 . Brk Ac t # 4 Nas s au Co S e r C 5 .2 5 / 10 B Interest Redeemed 01/01/10 L A

I . Income G ain Codes : A =$1 ,000 o r le ss B =$1,001 - $2 ,500 C = $2 ,501 - $5,000 D =$5,001 - $15,000( S ee Coh mms B I and D 4 ) F =$50,001 - $ 100,000 G =$ 100,001 - $1,000,000 H I =$1,000,001 - $5,000,000 H 2 =Mo re than $5 ,000,000

2 . Value Codes J = $15,000 o r less K ~ $15,001 o $50.000 L = $50,001 - $100.000 M =$ I00,001 - $250 ,000(See ( olumns ( 1 and 113) N =$250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P 3 = $25,000.001 - $50.000.000 P 4 =Mo re than $50,000,0003. Value Method Codes Q =Appraisal R ~Cos l ( R eal Es t a t e O nly ) S =Assc ssm c n l T = Cas h M ar k et{See ( ol t~r l l r l C21 (J =[ look Value V ~ O t h e r W =Estimated

E =$15,001 - $50,000


21/32


N a m e o f P e r s o n R e p o r t i n gC a s t e l , P . K e ~ i n


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of fil ing instructions.)~] N O N E (No reportable income, assets, or transactions.)

A. B. C.De scrip tio n o f A sse ts In co m e d urin g Gross va lue a t end(includ ing t rust a sse ts) rep orting period of reporting period

( 1 ) ( 2 ) (1) (9)Place " (X )" after each asse t Am ount Type (e.g. , Value Value

exempt f rom pr ior d isc losure C o d e 1 div., ren t, Cod e 2 Metho d(A-H) o r i n t . ) (J-P) C o d e 3(Q-W)

(t )Type (e.g. ,

buy, se l l ,redempt ion)

Transactions during report ing period(2) (3) (4) (5 )D a t e Value G a i n Identity ofm m / d d / y y C o d e 2 C o d e 1 buyer /seller( J - P ) ( A - H ) (if privatetransaction)

18 . Brk Ac t # 4 NYS Dorm A U S ta t en I s l U B Interes tHosp 4.9/101 9 . Brk Ac t # 4 NYC G / O S ER C 4 .375 /11 D Interes t M

Redeemed 07/01/10 K A

2 0. Brk Ac t # 4 NYS ENV F AC S 5 / 11 A Interes t Redeemed 06/25/10 J A2 1 . B r k A c t # 4 N Y N Y Se r F 5. 12 5 /1 1 A Interes t J2 2 . B r k A c t # 4 Er ie C n ty N Y P ub Im p t S er A B Interest K5/11 (Part VIII)2 3. Brk Ac t # 4 NYNY S er A P re fun d 5 .2 5 / 11 A Interes t K2 4 . B r k A c t # 4 N Y N Y S e r J 4 / 1 2 A Interes t

TT S p i n o f f( f r o m l i n e 5 2 )

Distributed 04/23/10 L Part VIII2 5. Brk Ac t # 4 NY NY ETM S er J 4 / 12 A Interes t J2 6. Brk Ac t # 4 NY NY S er J 4 / 12 B Interest K

2 7. B r k A c t # 4 N Y N Y S e r J F G I C - T C R S A Interest5.35/122 8 . B r k A c t # 4 N Y S D o r m A u t h U p s ta t e C o m m B InterestCo i l RevB 5/13 [ /10]2 9. Brk Ac t # 4 NY NY RF D G S er B-F G IC B Interest KTCRS 5 .75 /1330 . Brk Ac t # 4 Medina NY C ent S c Di s t 4 .75 / 12 A Interest K

T S p i n o f f( f r o m l i n e 2 4 )T S p i n o f f( f r o m l i n e 2 4 )

R e d e e m e dR e d e e m e d

TT

101/21/10 J A07/01/10 K A

31 . B r k A c t #4 N Y S D o r m A U R F D G S E C D B InterestHOS P NYDTWN 5 .2 / 1432 . B r k A c t # 4 N Y S D o r m A U R e v s T h i r d G e n B InterestRe s 5 .25/1333 . B r k A c t # 4 N Y S D o r m A U R e v s L u t he r e m B Interest

Med 5/1334 . Brk Ac t # 4 NYC G O S er J 4 / 13 B Interest

KK

TT

Distributed 04/23/10 L Part VIII

I . Income G ain ( odes : A =$1.000 or less B = $1.001 - $2 ,500 C = $2,501 - $5,000 D =$5.001 - $15,000( S ee Columns 0 1 and D 4) F =$50.001 - $ 100,000 G =$ 100.001 - $ 1.000.000 H 1 = $1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J = $15,001) or less K = $15,001 - $ 50.000 L =$50,001 - $ 100,000 M =$100,001 - $250,000( S ee Columns CI and D 3 ) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 ,0 0 1 1 O -$500,001 - $1,000,000 PI = $1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P 3 = $ 2 5 , 0 0 0 , 0 0 1 - $ 5 0 , 1 ) 1 ) 0 , 0 0 0 P4 =More than $50,000.0003. Value Method Codes Q =Appraisal R - Cos t ( R eal Es t a t e O nly ) S = A s s es s ment T = Cas h M ar k et( S ee Column ( 2 ) U =Book Value V ~ t) thcr W = Es t imated

E =$15.001 - $50,000


22/32

FINANCIAL DISCLOSURE REPORTPage 6 o f 16 Ia m e o f P e r s o n R e p o r t in gCastel , P .Kevin Date o f Report06/20/2011

V I I . I N V E S T M E N T S a n d T R U S T S - inco,.e, vol.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descriptio n of A ssets Inco m e d uring( inc luding t rus t asse ts ) reporting period(I) (~)

Place "(X)" after each asse t Am ount Type (e.g. ,exempt f rom pr ior d isc losure Code I div., rent,(A-H) o r i n t . )

Gross value at endof report ing period(t) (2)Value ValueCode 2 M e th o d

( J - P ) C o d e 3( Q - W )

3 5. B r k A c t #4 B u f fa l o N Y S er B 5 .3 7 5 /1 3 [1 2 ] B Interest K T36 . Brk Ac t # 4 Nas s au Cty IF A S er A 5 / 13 A Interest K T3 7. B rk A ct #4 N Y C G O Se r A 4 /1 3 C Interest L T3 8 . B rk A ct #4 C am d e n N Y Ce n t S C h D IS T B Interest K TS ER A 4 .5 / 1439 . B r k A c t #4 N Y S D O R M A U I o n a C o l l B Interest K T4.3/144 0. B rk A ct #4 Sha ron Sp r i ngs M unW t r 4 .8114 A Interest41 . Brk Ac t # 4 NYS Dorm A u Colga t e 4 .62 5 / 14 A Interest4 2 . B rk A ct #4 N Y C Se t A G /O 4 . 3/1 4 B Interest K T43 . B r k A c t # 4 N Y S D o r m A u L e a s e R e v M u n A Interest J THlth 5.5/14 [I 1]44 . Brk Ac t # 4 Buffa lo NY G en Im pS er A C Interest L T4.7/14 [11]45 . B rk A ct #4 NYC GO Se r 1 4 .5/14113] B Interest K T4 6 . B r k A c t #4 W e st Se n e c a C e n t Sc h 4 .1 2 5 /1 4 C Interest L T4 7. B rk A ct #4 N Y C G O Se r G 4 /1 4 C Interest L T4 8 . B rk A ct #4 N o Ba b yl o n S c h D t 5. 2 5/ 15 B Interest K T49 . Brk Ac t # 4 Buffa lo NY S er C 4 .7 / 15 B Interest K T50 . Brk Ac t # 4 NYC R EF S er B G / O 5 .75 /15 C Interest L T51 . B rk A ct #4 L I Pwr A u[ L I PA ] 4 /15 A Interest K T

(0Type (e.g. ,buy, se l l ,

Transactions during report ing period(2) (3) (4) (5)

D a t e V a l u e G a i n Identity ofmm/dd/yy C o d e 2 C o d e 1 buyer/se l le r

redempt ion) (J-P) (A-H) (if privatetransaction)

Distributed 04/23/10 K Part VIIIRedeemed 07/01 / 10 J A

S p i n o f f( f ro m l in e 44 )

I. Incom e G ain C 0d cs: A = $1,000 or less B = $1,001 - $2 ,500 C = $2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and D4 ) F = $ 5 0 , 0 0 1 - $ 100 ,000 G =$ 10 0,0 01 - $ 1,0 00 ,0 00 H 1 = $ 1 ,00 0,00 1 - $5,0 00 ,0 00 H2 =More ,ban $5,000,0002 . Value Co d es J =$15.000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000( S ee Columns ( 1 and D 3 ) N =$250,001 - $500,1)00 O =$ 50 0, 00 1 - $ 1. 00 0, 00 0 P I = $1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 P2 =$5,000,001 - $25,000,000

P 3 =$25,000,001 - $50,000.000 P 4 = Mo re than $50,000,0003. Value Method (ode~ Q =Appraisal R ~Cos t ( R eal Es t a t e O nly ) S = A s s es s ment T = Cas h M ar k et( S cc Column ( 2 ) U =Book Value V -Othe r W =Estimated

E =$15,001 - $50,000


23/32


Name of Person ReportingC a s t e l , P . K e v i n


V I I . I N V E S T M E N T S a n d T R U S T S - i n e o ~ , e , v a t o e , t r a n s o c ti o n s a n c ~ u d e s t h o s e o / s p o u s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of filing instructions.)D N O N I E (No reportable income, assets, or transactions.)

D e s c rip t io n o f A s s e ts In c o m e d u r in g(including trust assets) r e p o r t i n g p e r i o d(t) (2)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 T y p e ( e .g . ,e x e m p t f ro m p r i o r d is c l o s u r e C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

52 . Brk Ac t # 4 NYNY S er A 5 .2 5 / 15 A Interest5 3. B rk A ct #4 MT A 5. 25 11 5 A Interest54 . Brk Ac t# 4 NYC T rans F in 4 / 15 B Interest55 . Brk Ac t # 4 NS Dorm P res 4 .2 / 15 [14] B Interest56 . Brk Ac t # 4 NYC S er C 5 .2 5 / 15 [14] B Interest57 . Brk Ac t # 4 NC Hea l th & Hos p 4 .55 /16 B Interest[12]58 . Brk Ac t # 4 NYC G / O S er H 5 .2 5 / 16 [1 I ] B Interest59 . Brk Ac t # 4 NYS Dorm Au S t Johns U 5 / 16 B Interest60 . Brk Ac t # 4 NY N Y S er J 5 .2 5 / 16 C Interest

61 . Brk ac t # 4 NYS Env F ac Corp S t Clean Wtr B Interest5/1762 . Brk Ac t # 4 NY NY R F DG S er J 5 / 17 A Interest63 . Brk Ac t # 4 NYC S er G G / O 5 / 17 C Interest64 . Brk Ac t # 4 NC G O S er O 5 / 17 [15] B Interest65 . Brk Ac t # 4 NYC S ER B G en Ob l 5 .375 /18 B Interest[08]66 . Brk Ac t # 4 NYS Dorm Au S t Jos ephs H A Interest5.25/1867 . Brk Ac t # 4 Bingham tom 4.2 5 / 18[16] D Interest6 8 . B r k A c t # 4 N Y S T h r u H & B 5 / 1 8 1 1 5 ] C Interest

Gross value at endof report ing period(1) (2)

V a lu e Va lu eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

L TK TK TL TK TK TL T

K T

L TL T

L T

Transactions d uring report ing period(1 ) (2) (3)

Type (e.g., D a t e V a l u ebuy , s e l l , mm/dd/yy C o d e 2

r e d e m p t i o n ) (J-P)

Redeemed 11/08/10 JD i s t r ib u t e d 0 4 1 2 3 / 1 0 L

Redeemed 01/21/10 J

R ed ee m ed 08 /02 /10 KDist r ibuted 04/ 2 3 / 10 KR e d e e m e d 08/19 /10 M

(4 ) (5 )Gain Ide ntity ofCode I buyer /se l l e r(A-H) (if private

transaction)

A

A

A

Par t Vl l l

Pan V I I !

1. Income Gain Codes: A =$I,000 or less B = $1,001 - $2 ,500 C = $2 ,501 - $5,000 D = $5,001 - $15,000( S ee Columns B I and D 41 F =$50,001 - $100,000 G = $100 ,001 - $1,0 00,000 H I = $1, 000 ,0 01 - $ 5, 000 ,00 0 H 2 = Mo re t ha n $5,0 00.0002. Value Codes J =$15,000 or less K = $15,001 - $50,000 L =$50,001 - $ 100,000 M = $ 100,001 - $250,000

( S ee Columns CI and D 3 1 N =$250,001 - $500,0110 O =$500.0111 - $I,000,000 PI =$1,000.001 - $5,000,000 P2 =$5,000,001 - $25,000,000P 3 =$25,000,001 - $50.000.000 P 4 = Mo re than $50,000,0003. Value Method Codes Q =Appraisal R = Cos t ( R eal Es t a t e O nly ) S = A s s es s ment T = Cas h M ar k et( S ee Column C2 ) U =Book Value V : O t h e r W = Es t imated

E =$15,001- $50,000


24/32




V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D NONE (No reportable income, assets, or transactions.)

A. B. C.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( i n c l u d i n g t m 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 r t i n g p e r i o d

(~) (2) (t) (2)Place "(x), after each asset A m o u n t T y p e ( e . g . , Value Valuee x e m p t f ro m p r i o r d is c l o s u r e C o d e 1 d i v . , r e n t , Code 2 M e th o d( A - H ) or i n t . ) (J-P) C o d e 3( Q - W )

69 . B r k A c t # 4 N Y C G O S e r A I 5 / 1 8 [ 1 7 ] D Interest M T70 . Brk Ac t # 4 NY NY R F DG S er 15 / 18 [14] C Interest L T71 . B rk A ct #4 NYC T FA FU T T A X FGI C C Interest L TS ECD S er E 5 .2 5 / 1872 . Brk Ac t # 4 New York S ta t e Dorm Auth S t D InterestP ers Income T ax 4/ 1873 . Brk Ac t # 4 New York NY Ci ty HS G Dev C Interest L TCorp Mul t i Fa m 5.35/187 4. B rk A c t # 4 Ci ty M WF A U WK S S ys R e v A InterestS er D 0 / 1875 . Brk Ac t # 4 LIP A NY Elec S ys S e r E 5 / 18 B Interest L T76 . B r k A c t # 4 N Y S T h r u w a y A u G e n R e v S e r C Interest L TH 5/1977 . Brk Ac t # 4 P R Muni S e t C 5 .2 5 / 19 B Interest L T78 . Brk Ac t # 4 Buffa lo S e r C 5 / 19 B Interest L T7 9 . B rk A c t # 4 MT A S er A 5. 5/ 19 [1 2 ] D Interest M T8 0. Brk Ac t # 4 NYC TF A S er AI 5 / 19 [16] C Interest L T8 1. Brk Ac t # 4 Middle town NY 4.12 5 /19 [ I 6 ] C Interest8 2. Brk Ac t # 4 P R S a le s Tax 4 .62 5 / 19 D Interest M T8 3. B r k A c t # 4 N Y S E n v F A C S C o r p S t C l e a n D lnteres t M TWTR & D r ink ing 5 .2 5 /2 08 4. B rk A c t # 4 Me tr o T S P TN A u N Y T SP N B Interest L TR E V S E R A A 5 / 2 08 5. Brk Ac t # 4 NYC G O S er A 5 / 2 0[16] D Interest M T

Transactions during report ing period(4 ) (5)

Gain Ide ntity ofC ode 1 buyer /se l l e r(A-H) (if private

transaction)

(1 ) (2) (3)Type (e.g. , D a t e Valuebuy, se l l , mm/dd /yy Code 2

redempt ion) (J-P)

Redeemed 08/31/10 M D

Redeemed 08/19/10 L E

Bu y 03/04/10 L

Redeemed 08/31/10 L A

1. Income Gain Codes: A = $1,000 or less B = $1,001 - $2 ,500 C = $2,501 - $5.000 D = $5,001 - $15,000( See Columns B I and D4) F =$50,001 - $ 100,000 G = $ 10 0.0 01 - $ 1,0 00 ,0 00 H I = $1 .0 00 .0 01 - $ 5,0 00 ,0 00 H2 =More than $5,000,000

2 . Vah le Co d es J = $15,000 or le ss K = $15,001 - $50.000 L $50 ,001-$100 ,000 M =$I00,001 - $250,000( See Columns C I ar id D3) N = $250.001 - $500,000 O - $ 50 0.0 01 - $ 1,0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $ 5,0 00 ,00 0 P2 =$5,000,001 - $25,000,000

P3 =$25,000.001 - $50,01)0.01)0 P4 =More than $50,000.0003. Value Method Codes Q =Appraisal R = Cos t ( R eal Es t a l e O nly ) S = A s s es s ment T = Cas h M ar k et( S ee Colunm C2 ) U = B ook Value V - O th er W =Estimated

E =$15,001 - $50,000


25/32

FINANCIAL DISCLOSURE REPORTPage 9 of 16 Iame o f P e r s o n R e p o r t in gCa s t e l , P . K e v i n Date of Report06/20/2011

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, transactions(Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D NONE(No reportable income, assets, or transactions.)

8 6.8 7.8 8 .8 9.90 .91 .92 .93 .94 .

95 .96 .97 .98 .99 .

A. B . C.D e s c r i p t i o n o f A s s e ts Income dur ing G r o s s v a l u e a t e n d(including trust assets) r e p o r t in g p e r i o d o f r e p o r t i n g p e r i o d

(i) (2 ) (i) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o un t T y p e ( e .g . , Value Valueexempt from prior disc losure C o d e I d i v . , r e n t , C o d e 2 M e th o d( A - H ) or i n t . ) (J-P) C o d e 3( Q - W )

Transactions during report ing period(I) (2) (3)Type (e.g. , D a t e Value

buy, se l l , mm/dd /yy C o d e 2redempt ion) (J-P)

Brk Ac t# 4 L1P A S er E 5 / 2 0 [16] B Interes t L TBrk Ac t # 4 NJ High Ed 4 .5 / 2 1 A Interes t L T Bu y 06/22/10 LBrk Ac t # 4 NY G en Ob l ig BDS -G I 5 .5 / 2 1 B Interes t K TBr k Ac t # 4 N Y C T r ans F / A R ev 5 .2 5 /2 1 B In te res t K TBrk Act #4 NYS Pers Inc Tax 5/21 [ 16] C In te res t L T

B r k A c t # 4 N e w Y o r k N Y S e r A C I F GT C R S 5 / 2 1Brk Ac t # 4 Met ro Tras Au NY Rev RF D GSer A 5.125/21Brk Act # 4 New York Ci ty G / O S er A 5 / 2 2

D Interes t L TC Interes t L TC Interest L T

Brk Act # 4 Monroe Cnty IDA 5 / 2 2 B Interest K T

Brk Act #4 NJ State Trans 5.25/23 A Interes t L T Bu y 11/30/10 LB r k A c t # 4 N J E c o n o m i c D e v A u S c hCons t r S e r O 5 .2 3 / 2 3B r k A c t # 4 P R E l e c P w r R e v R F D G S e r P P5/23Brk Ac t # 4 NY G en O b l ig BDS E 6 / 2 3

C Interest L TB Interest L TC Interest L T

B r k A c t # 4 T r i b o r o u g h B r i d g e & T A u Se rD 5/23100 . Brk Ac t # 4 NJ S ta t e Trans 5 / 2 4

B Interest LA lnt ./Div. K

T

T Bu y 11/08/10 K101. B r k A c t #4 N e w Y o r k S t D o r m A u R e v s

Hos p F HA Ins d A 6 .45 / 2 4102 . Brk Act #4 Tr ibo ro ug h B & T A U 5/24

D

CInterest L TInterest L T

(4 ) (5)Gain Iden tity o f

Code 1 buyer /se l l e r(A-H) (if private

transaction)

I . Income G ain ( odes : A : $ 1,000 or less B =$ 1.001 - $2.500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Columns B I and D4 ) F =$50,001 - $ 100.000 G =$ 100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2 . Value Codes J =$ [ 5,000 or less K = $15.001 - $50,000 L =$50,001 - $ 100,000 M =$ 100,001 - $250,000( S ee Columns ( , I and D 3 ) N =$250,001 - $500,000 O =$500.001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,0001 3 - $ 2 5 , 1 ) 0 0 , 0 0 1 - $ 5 0 . 0 0 1 ) , 0 ( 1 0 P4 =More than $50,000.0003. Value Mc01od [. odes Q : AppraNal r ~ Uosl (Real Estate Only) S =A ssc ssm c n t T =Ca sh M a rke t( S ee Column ( 2 ) U ~ Book Value V - ()tiler W = Es t imated

E $ 15.001- $ 50, 000


26/32

FINANCIAL DISCLOSURE REPORTPage 10 of" 16 Iame of Person ReportingCastel , P .Kevin D a t e o f R e p o r g06/20/2011

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, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n of Assets Income during Gross va lue a t en d T r a n s a c t io n s d u r i n g r e p o r t in g period

( i n c l u d i n g t rust a sse ts) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(l) (2) (l) (2) (l ) (2) (3) (4) (5 )

P l a c e "(X)" after each asse t Am ount Type (e.g. , Value Value Type (e.g. , D a t e Value Gain Identity ofexempt f rom pr ior d isc losure C o d e l div., rent, Code 2 Method buy, se l l , mm/dd /yy C o d e 2 C o d e l buy er/se lle r(A-H) o r i n t . ) ( J - P ) C od e 3 redem ptio n) (J-P) (A-H) (if private( Q - W ) t r a n s a c t i o n )

103. Brk Actg4 PR Elec 4.625/25 A I n t e r e s t K T Bu y 11/08/10 K104. Brk Act #4 NYS Thwy Au 2d HWY & BDG D5/25 (Part V III)105. Brk Act #4 NYC MWA W tr & Swr Rev Ser CC 5/25 (Part V III)106. Brk Act #4 NY NY IDA Rev AGC 6.125/29 A

I n t e r e s t LI n t e r e s t M

I n t e r e s t J

T

TT

107. Brk Act #4 Ishar es TR Dow Jon es SelectDiv Index Fund108 . Brk Act#4XLF

AA

Dividend KDividend K

TT

109. Brk Act #4 NYS Thrwy 5.1/10 B I n t e r e s t Redeemed 04/01 / 10 K AI I 0. Brk Act #4 NYC G/O Ser C 4 . 3 7 5 /1 1

I I I. Brk Act #4 MTA FRDG Ser A 4.3/13 I n t e r e s t L


112 . Brk Act #4 NYS Dorm Colum bia U. 5 .25/13 B I n t e r e s t K TI 13. Brk Act #4 New Y ork City G /O Ser E 5/14 B I n t e r e s t L T114. Brk Act#4 New Rochelle Sch Dist Set A

FSA 5/14115. Brk Act #4 New Rochelle NY School5.25/14 [I I]I 16. Brk Act #4 NY C Ref Ser B G/O 5.75/I 5

I n t e r e s t K T

I 17. Brk Act #4 NYC Hea lth & H osp 4.55/16 T[12]I 18. Brk Act #4 Hudson Falls NY Cent Sch B l n t e r e s t K T

4.625/16 [IllI 19. Brk Act #4 New Yor k G/O BD B/E Ser J C I n t e r e s t M T4/16

Merged(with line 115)

Merged(with line 50)Merged

(with line 57)

I . Income G ain ( odes : A =$1,000 or loss B =$1,001 - $2 ,500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Columns B I and D4} F ~$50.001 - $100.000 G =$100,001 - $1.000.000 H I = $ 1, 00 0, 00 1 - $ 5, 00 0, 00 0 H 2 = M or e t ha n $ 5, 00 0. 00 02 . Value Codes J = $ 1 5 , 1 1 1 ) 1 ) o r l e s s K =$15,001 . $50.000 L =$50,001 - $ 100,000 M =$ 100,001 - $250,000(See Columns CI and D 3 ) N =$250,001 - $500.000 O =$500,001 - $1.000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25.1)00.001 - $50.000,000 P4-More Ihan $50 ,000 .0003. Value Method (()des Q =A ppraisal R = Cos t ( R eal Es t a l e O nly ) S = A s s es s ment T = C a s h M a r k e tIS ee Column C2 ) U =Book Valuo V = O t h e r W = Es t imated

E =$15,001- $50,000


27/32

FINANCIAL DISCLOSURE REPORTPage 11 o f" 16

N a m e o f P e r so n R e p o r t in gC a s t e l , P . K e v i n

Date o f Report06/20/2011

VII. INVESTMEN TS an d TR USTS - in , .o , , e , va lue , tr .... ct lons ( Includes those of spouse and dependent chi ldren; seepp. 34-60 of f i l ing ins tructions .)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s)P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disc losure

1 2 0 . B r k A c t # 4 N Y C G / O S e r E 5 / 1 612 I . Brk Act #4 N Y C G/O Ser B 5 . 25/ I 8122. B r k A c t # 4 N e w Y o r k N R F D G S e r H5/16123. Brk Act #4 Po r t Au th 125th Ser 5 /1812 4. Brk Ac t # 4 MTA 4 .5 / 18125. B r k A c t # 4 N Y S D o r m A u R e v K a l e i d a H l th4.25/I 8126. Brk Act #4 Bin g amto n N Y 4 . 25/18[16]127. Brk Ac t # 4 New Yo rk Ci ty G / O S er ASubser A-I 5 /19128 . Brk Act #4 N Y S Tw y Rev A 5/20[15]

129 . Brk Act #4 Po r t Au N Y & N J 4 . 5/25130 . Brk Ac t # 4 Wes te rn As s e t Mkt F D13 I . Brk Act #4 LM [SB] Larg e Cap Gro w h Fun dCL A132. Brk Ac t # 4 S B Money F unds Cas h P or tCL A133 . Brk Ac t # 4 S B Muni NY Mkt P or t CL A134 . Brk Act #4 ADP135. Brk Act #4 BR136. Brk Act #4 BBY

Income dur ingr e p o r t i n g p e r i o d(]) (2)A m o u n t T y p e ( e . g . ,C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

B InterestC Interes tB InterestB InterestB InterestB Interest

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)Value ValueC o d e 2 M e th o d

( J - P ) C o d e 3( Q - W )

L TL TL TK TK TL T

C Interest M TB Interes t L T

C Interest L TA Div idend

A Dividend

A

A

A

Div idendDiv idendDiv idend

JJ

J

T

T

T

Transactions during report ing period(1 ) (2) (3) (4) (5 )

Type (e .g ., Date Value Gain Ident i ty ofbuy , se ll. m m /dd /yy Co de 2 Code 1 buyer /se l l e r

redem ptio n) (J-P ) (A -H) (if p rivatetransaction)

M e r g e d(w i th l in e 67)

R e d e e m e dM e r g e d(wi th l i ne 10)

R e d e e m e dM e r g e d(w i th l in e 11)

04/27/10 J A

04/27/10 J A

I. Income Gain Cedes: A = $1,000 o r less B =$1,001 - $2 ,500 C = $2,501 - $5,000(See Columns B 1 a nd D4 ) F = $ 50.001 - $100.000 G =$ 100,001 - $ 1,000,000 H 1 =$ 1,000,001 - $5,000,000

2. Value Codes J = $ 1 5 , 0 0 1 1 o r l e s s K =$15,1101 - $50,000 L =$50,001 - $100,000(Se e C olum ns C I and D 3) N = $250.001 - $500,000 O =$500.001 - $1,000,000 PI =$1,000,001 - $5,000,000P3 : $25,000.001 - $50.000.000 P 4 = Mo re than $50,000,0003. Value Method Codes Q =Appraisal R = Cos l ( R eal Es t a t e O nly ) S = A s s es s ment( S ee Column C2 ) U = B ook Value V ~O th cr W = Es t imated

D=$5,001 - $15,000H2 =More than $5,000,000M=$100,001 -$250,000P2=$5,000,001- $25,000,000T =Ca sh M a rke t

E =$15,001- $50,000


28/32


N a m e o f P e r s o n R e p o r t i n gCastel , P .Kevin

D a t e o f R e p o r t06/20/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e , v a lu e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s(including trust assets) reporting period

(1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I div., rent,( A - H ) or i n t . )

137. Brk Act ~4 Citigroup A Dividend138. Brk Act #4 GE A Dividend139. Brk Act #4 IBM A Dividend140. Brk Act #4 KM B A Dividend141. Brk Act #4 KSS None

142. Brk Act #4 MDT A Dividend143. Brk Act #4 MSFT A Dividend144. Brk Act #4 PWC A Dividend145. Brk A c t #4 WM T A Dividend

146. Brk Act #4 WAG A Dividend147. Brk Act #4 WFC A Dividend148. Brk Act #7 Citibank NA Bank Dep Progra m A I n t e r e s t149. Brk Act # 7 PWC A Dividend150. Brk Act #7 RIT A Dividend151. Brk Act #7 NYS Dev Co rp Inc Tx 6.5/I 8 C I n t e r e s t152. Brk Act #9 SB (We stern Asse0MUNI NY A I n t e r e s t

MNY M KT PORT CL A153 . Brk Act #9 EEM A Dividend

B. C. D.Incom e during Gross va lue at end Transac t ions dur ing repor t ing per iod

(1) (2) (3)Type (e.g. , D a t e Valuebuy, se l l , mm/dd/yy C o d e 2

redempt ion) ( . l - P )

o f r e p o r t i n g p e r i o d(1) (2)

V a l u e V a l u eC o d e 2 M e t h o d

( J - P ) C o d e 3(Q-W)

J T

J T

J T

J T

J T

J T

J T

K T

J T

J T

J T

K T

J T

J T

L T

K T

(4) (5)Gain Identity of

Code 1 buyer /se l l e r( A - H ) ( i f p r i v a t e

transaction)

I. Income Gain C0dcs: A =$ 1,000 or less B = $ 1,001 - $2 ,500 C = $2,501 - $5,000 D =$5,001 - $15,000(Se e Co lun ms BI and D4) F =$50.001 - $ 100,000 G =$100,001 - $ 1,000.000 H 1 = $1,000,001 - $5,000,000 H2 =More tha n $5,000,000

2 . Value Cod es J = $15,000 o r le ss K = $15,001 - $50,000 L =$50,001 - $ 100.000 M =$100,001 - $250.000(Se e Co lumn s I SI a n d D 3 ) N = $250,001 - $500.000 O = $5 00 .00 1 - $1 ,0 00 ,0 00 P I = $1 ,00 0.00 1 - $5 ,0 00 ,0 00 P2 -$5,000,001 - $25,000,000P3 =$25,000.001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R = Cos t ( R eal Es t a t e O nly ) S = A s s es s ment T =Ca sh M a rke t(See Colunm (2) U = B ook Value V =Othe r W = Es t imated

E = $ 1 5 , 1 ) 1 ) I - $50,000


29/32

FINANCIAL DISCLOSURE REPORTP a g e 1 3 o f 1 6


Date of Repor t06/ 2 0 / 2 011

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, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Description o f A ssets In co m e during Gross va lue a t end(includ ing t rust a sse ts) reporting p eriod of rep orting p eriod

(l ) (2 ) (1) (2)P lace "(X)" after each asset Am o unt Type (e .g., Va lue Value

exempt f rom pr ior d isc losure C o d e l div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3(Q-W)

Transactions during report ing period(l ) (2) (3)

Type (e.g. , D a t e Valuebuy, se l l , mm/dd /yy Code 2

redempt ion) ( J - P )

(4 ) (5)Ga in Iden tity o fCode I buyer /se l l e r(A -H) (if private

transaction)

1 5 4 . B r k A c t # 9 P W C A Divid en d M T155. Brk Act #9 PZI A Divid en d J T156. Brk Ac t # 9 MF S In t l New Dis c F und C A Divid en d K T[MIDCX}157. Brk Ac t # 9 New York Ci ty MWF Au W &S A Interest L TS er D O CP N 0 / 181 5 8 . B r k A c t # 9 N Y S G / O B D S - A 0 / 1 9 A Interest K T1 5 9 . Br k A c t # 9 P R C o m m H & T 0 / 2 0 A Interest K T160. Brk Act #9 XLF A Divid en d J T161. Brk Ac t # 12 [ P H X O akhurs t S t ra t Al loc F D A Divid en d J TA]VRTS Balan ce Fd A162. B rk A ct # 12 PH X Oa khur s t I nc& Growt h FI 3 A Div idend J TA] VRTS T ac t i ca l F d A163. Brk Act #13 Fid e l i ty D ivers In t l [FDIVX] D Div idend So ld 11/05/10 M164 . Brk Act#13 Fid e l i ty Equ i ty In c[FEQIX] F Divid en d O T.165 . Brk Ac t # 13 F ide l i ty In t e r Bond [F THRX ] E Interest166. Brk Act # 13 Fidel i ty Expor~ & Mult ina tl B Div idend[FEXPX]167. Brk Ac t# 13 F ide l i ty Cap i t a l Apprec C Div idend[ FD CA X]168. Brk Ac t# 13 F ide l i ty Re t i re Mm kt [Cas h D InterestRes e rves ] [FCRX X ]169. Brk Act # 13 Fidel i ty Discipl ined Equity A Divid en d

[FDEQX]170. Brk Act#13 Fid e l i ty Value [FDVLX] B Div idend

N T

JJ

TT

So ld 11/05/I 0(part)So ld 11/05/10

S old 11/05/10S old 11/05/10

LL

LL

CA

AA

I. In co m e G ain C o de s: A = $1.000 or less B =$1.001 - $2 .500 C = $2,501 - $5,000 D = $5,001 - $15,000(See Co lum nsB 1 an d D4) F = $50.001 - $100.000 G = $100,001 - $1,000,000 H I = $ 1. 00 0. 00 1 - $5 ,0 00 .0 00 H 2 = M or e t ha n $5 ,0 00 ,0 002 . Value C o d es J = $15,000 or less K = $15,001 - $50.000 L -$50,001 - $ 100,000 M = $ 100,001 - $250,000

(Se e Co lumn sC I a n d D3) N =$250.001 - $500,000 O=$500 .001-$1 ,000 .000 P 1 -$1.000.001 - $5.000.000 P2 $5,000,001 - $25,000.000P3 =$2 5.000.001 - $50.000.000 P4 =Mo re than $50.000.0003. Value Method Codes Q =Appraisal R = Cos t ( R eal Es t a t e O nly ) S = A s s es s ment T =Ca sh M a rke t(Se e Co lumn C2) U =Book Value V =Othe r W = Es t imated

E =$15.001 - $50,000


30/32

FINANCIAL DISCLOSURE REPORTPage 14 of 16

N a m e o f P e r so n R e p o r t in gCastel, P .Kevin


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D NONE (No reportable income, assets, or transactions.)

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 G r o s s v a l u e a t e n d( i n c l u d i n 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 r t i n g p e r i o d

(l) (2) (t ) ( 2 )Place "(X)" after each asset A m o u n t Type (e.g., V a l u e V a l u e

exempt from prior disclosure C o d e 1 d iv ., r e n t , C o d e 2 M e th o d( A - H ) or i n t . ) (J-P) C o d e 3( Q - W )

( l)Type (e.g.,b u y , s e l l ,

r e d e m p t i o n )

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(2) (3) (4)

D a t e Value Gainmm/dd/yy C od e 2 Code 1

( J - P ) ( A - H )

( 5 )Identity of

b u y e r / s e l l e r(if private

t r a n s a c t i o n )

171. Bank Act #14 Chase Accounts None K T172. Brk Act #!5 Fidelity Sma rt Accoun t A I n t e r e s t J T Bu y 03/31/10 K

I . Income G ain Codes : A =$ 1,000 or less B = $1.001 - $2 ,500 C = $2,501 - $5,000 D =$5,001 - $15,000( S ee Columns B I and D 4) F =$50.001 - $ 100,000 G =$ 100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,000 H2 =More tha n $5,000,000

2 . Value Codes J =$15,000 or less K =$15,001 - $ 50,000 L =$50,001 - $100,000 M =$100,001 - $2 50,000( S ee Columns C I and D 3 ) N =$250,001 - $500,000 O =$500.001 - $ 1,000,000 P I = $ 1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50.000.000 P4 =More tha n $50,000,0003. Value Metho d Co des Q = A ppra isa l R - Cos t ( R eal Es t a t e O tdy ) S = A s s es s ment T =Ca sh M a rke t(Se e Co lumn C2) U =Book Value V ~O th cr W = Es t imated

E =$15,001 - $50,000


31/32


Name of Person Repor t ingCa s t e l , P . K e v i n

Date of Report06/2 0/201 I

V I I I . 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 . (Indicate part of report.)

P ar tVl l : INVES TMENTS AND TRUS TS

B r k A c t # 1 : a p e r c e n t a g e o f t h e a s s e t s i n t h e s e a c c o u n t s w e r e t r a n s f e r r e d ~ ~ ~ i ~ p e r a g r e e m e n t ; t h e b a l a n c e d w a s t r a n s f e r r e d t o a n e w i n d i v i d u a laccount wi th the s am e des igna t ion "Brk A c t # 1" . Brk Ac t # 13 : a pe rcen tage of t he a s s e t s i n t hes e account s were t r a n s f e rr e d t o n o w ~ , ~ : ~ ~ ~ , ~ ~ p e r a g r e e m e n t .A p e r c e n t a g e o f t h e a s s e t s r e p o s e d i n B r k A c t # 2 a n d # 6 o n p g o r y e a r s F D R s w e r e t ~ n s f e ~ e d ~ ~ ~ , p e r a g r e e m e n t w i t h t h e b a l a n c e ~ a n s f e ~ e di n t o B r k A c t ~ .Brk Act # 10 from 2009 FDR . These asse ts a re under the control of~.~i~i~i~ n o t l i v in g i n h o s e h o l d a n d a r e n o l o n g e r r e p o r t a b l e .

t r a n s f e r r e d ~ 7 . .. . .. . .~~ "~~a r t VII l in e s 2 3 ,3 3,4 0,5 3 a n d 66 _ o f2 0 10 F D R . T h e se a s se ts w e re p e r a g re e m e n t.P a g e 4 , l i n e 1 7 o f 2 0 0 9 F D R o B r k A c t # 2 N Y S T A U L O C H G H W Y & B R I D G E 5 / 0 9 . T h i s w a s i n a d v e rt e n l y l is t e d o n t h e 2 0 0 9 F D R a s a n a s s e t . It w a s a f u l lr e d e m p t i o n o n 4 / I/ 0 9 a n d i s t h e r fo r e o m i t te d f r o m t h e 2 0 1 0 F D R .Pag e 5 , l in e 18 o f 2009 FDR . Brk Act #2 N Y S Do rm A u Revs N ew Is lan d Ho sp 5 . 2 /09 . . This w as in ad ver ten ly l i s ted o n the 2009 FD R as an as se t . It w as a fu l lredem pt ion on 7 / 1 / 09 and i s t he r fore omi t t ed f rom the 2 010 F DR .Pag e 5 , l in e 30 o f 2009 FDR . Brk Act #2 N C G/O Ser H 5 . 25/13 (09) . This w as in ad ver ten ty l i s t ed o n the 2009 FD R as an as se t . I t w as a fu l l red emp t io n o n3/ 16 /09 and i s t he r fore om i t t ed f rom the 2 010 F DR.P age I 0 , l i ne 114 of 2 009 F DR. Brk Ac t # 4 NYS D orm M tg Hos p 4 .9 5 / 08. Th i s was i nadve r t en ty l i s ted on the 2 009 F DR as an a s s e t . It was a fu l l redem pt ion on8/ 1 / 08 and i s the r fore om i t t ed f rom the 2 010 F DR.P age 11 , l i ne 118 of 2 008 F D R. Brk Ac t # 4 NYC R F DG S er H, s ubs e r H6 f loa t / 12 . Th i s was i nadve r t en ty l i s t ed on the 2 009 F DR as an a s s e t . I t was a fu l lredem pt ion on 3 / 17 / 08 and i s the r fore om i t t ed f rom the 2 010 F DR.


32/32

FINANCIAL DISCLOSURE REPORTP a g e 16 o f 16

Na m e o f Pe r son Re por t i ngC a s t e l , P . K c v i n

Date o f Report06/20/201 I

IX. CER TIFICATION.l c e r t i f 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 , tr 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 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 .1 f u r t h e r c e r t i 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 t s 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 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 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 .

Signature : S/P .Kevin Castel

N O T E : A N Y I N D I VI 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 I F IE 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 T O C I V ILA 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 )

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Kevin P Castel Financial Disclosure Report for 2010