Laura T Swain Financial Disclosure Report for 2009

8/3/2019 Laura T Swain Financial Disclosure Report for 2009

1/7

, ~ o J 0 FINANCIAL DISCLOSURE REPORT a e p o r t R e q u i r e d b y t h e E t h ic si n G o v e r nm e n t A c t o f 1978R e ~ . 1 / 2 o t o FOR CALENDAR YEAR 2009i . Perso~ Reporting (last name, first, m~dd ] initial) 2. Court or Organization 3. Date of ReportSwain, Laura T. US District Court - SD Nry 05/13/2010

4. Title (Article 11I judges indicate active or senior status; 5a, Report Type (check appropriate type) 6. Reporting Periodraagistrate judges indicate flail- or part-time) [] Nomination, Date 01/01/2~09US District Judge (Active) [] Initial [] A .... I [] Final toI ~31/2009

! 5b. [] Amer~ded Repor~7. C ham bers or O ffice A ddrels 8. O n the basil o f the in form ation conta in ed in this R ep ort and anymodifications pertaining thereto, i t Is, in my opinion , in complianceDaniel Patrick Moynihan U.S. Courthouse with applicable laws and regulationl.500 Pearl StretSuite 755New York., NY 10007 ~ Reviewing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying th[v form mast be followed. Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on lastpage.

I . P O S I T I O N S . ~ o , a , g i. ~ i . i ~ . t o. ty: +,e ~+, ~-~ of fdlng instructions.)~ 6Vo reportablepositions.)ONE

POSITION NAME OF ORGANIZATIQN/ENTITYI. Board M ember H avens Relief Fund Society2. Board Member Federal Judges Association

~] NONE (No reportable agreements.)DATE PARTIES AND TERMS

t. 5/95 Pension Plan of Debevoise & Plimp~on LLP (fmr law firm), no control


2/7

F IN A N C I A L D I S C L O S U R E R E P O R T Nam, of P .... a ~ p a r l i n g] Date of Reportage 2 of 7 s ,, ,J u . L a u r a T . 0 5 / 1 3 / 2 0 1 0

I I I . N O N - IN V E S T M E N T I N C O l V l E . ~ R e p o , , i ,g i ,~ i ~ i d u o l , . ~ ,v o , ,o ; ~ o e p p . t 7 -2 ~A. Fliers Non-Investment Income

NONE (No reportable non-investment income.)

DATE, SOURCE AND TYPE (yours, not spouses)I.2.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - i f you were married during an y port lon of the report ing year, com plete lhi~ sect ion.(Dollar ~mount ~t required ~cept for honoraria.)

~ ~ reportable income.)ONE non-investmentSOURCE AND TyP~

1.2~9 [ Sal~

2.2~9 [ Sala~ and Bon~3.4.

I V . R E I M B U R S E M E N T S -,,o,~o,,,aon,{ I n c lu d e s t h o s e t o s p o u s e a n d de pe n de n t c h i l d r e n : s e e p p . 2 5 - 2 7 o f f i l i ng i ns t r uc t i ons . )

U~ NONE (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. Federal Judges Association 5 . t 2 - 3 1 2 0 1 0 Washingon, DC Board Meeting Travel, food, lodging for sel

2.3.4.5.


3/7

Name of Person Report ing I Date of ReportF IN A N C I A L D I S C L O S U R E R E P O R T[ S w , ~ n , L ,u r a T .Page 3 of 7 I 0~/,~0,o

~ N O N E (No reportable g~s.)~ DESCRIPTION VAL~

1.2 .3 .4.5.


4/7

F IN A N C I A L D I S C L O S U R E R E P O R T N .... f P t r ~ , ~ o n R e p o r t i n g DateofReportPage 4 of 7 S ~ , a i n , L ....T. 0 5 / 1 3 / 2 0 1 0V II. INVESTM ENTS and TRUSTS - iu ...... t o , . t r a n s a c t io n s ( I n c lu d e s t h o s e o f s p o u s * t a n d d e p e n d e n t c h i ld r e n :

NONE ~o reportable income, assets, or transactions.)A. , B. C. D.

~cfiption of Asse~ Income d~ng G r o s s ~ a l u e a t e n d Tr~fio~ during rt~o~ing peri~(i~luding ~t ~) ~ reposing pcri~ of re~ingPl~e "iX)" after e~h ~t ~ T ) ~ e ( e . g . , Value Value D a t e Value G ain Identiw ofexempt from prior disclos~ ~: (A-H)C~ti v . , r e n L C o d e 2 Meted b u y , s 1 1 . m~d~:~ C~e 2 C~e I buyer/~llet, oriat3 ( J - P ) ~ C~e 3 r~ptioa) ( J - P ) (A-tt) [ ( i f p r i v a t e~ (Q-~ ~ [ ~n~tion)

1. Barclays Bank PLC - Account A Interest J T2. HSB C Ba~ - account A Interest K T

3. Charles Schwab Rollover IRA D Dividend M T4. - Dreyfus Appreciation Fund

5. - Wells Fargo Adv. Income Fune

6. - DWS G rowth & Income Fund

7. - Newberger & B erman Socially Resp. Fund

8. - Otd Mutual Select Growth Fund9. - Neuberger & B erman Genesis Fund

1 0 . - TCW Select Equities Fund

I I. - Firsthand Technology Value Fund

1 2 . - FMI Focus Fund1 3 . - Allianz RCM G lobal Technology Fund1 4 . - GAM CO Growth Fund

1 5 . - M anagers Bond Fund1 6 . - Old M utual Large Cap G rowth Fund

1 7 . - Schwab Money M arket Fund


5/7

N a m e o f P e r s o n R e p o r ti n g ] D a t e o f R e p e r tFINANCI~AL DISCLOSURE R E P O R T] Swain, L .... T,age 5 of 7 0 5 / 1 3 / 2 0 1 o

V II. INVESTM ENTS and T RUST S - ~o~,. ~.,,NONE (No reportable income, ~sets, or transaction.)

A.~ption of A~ Inc~e dung G ross value at ~d ~ Tr~sactio~ during ~v o~ing pefi~(i~lud~g t~t as~) rt~ning

Pl~c "(X)" after each asm ~m~nt T~e (e.g., Value Valoe T~e (eg.. ] Date ~ Value Gain /d~ti~ ofexempt ~m prior di~los~e ( A - H ) or int . ) ( J - P ~ C~e 3 ~emptlon) [ ~ ( J - P ) ~ (A-~ ( i f p r i v a t e~ion).

1 8 . 1401(k) Plan D Dividend L T

1 9 . - John Hancock Money M arket Fund

2 0 . - John Hancock Eq uity Income Fund

2 1 . - John Hancock Fundamentl Inv Fnd (farUS Large Cap Fund)!22. - John ttancock AIM Sml Cap G rowth (frnr Emerg Smal Co Fund)1 2 3 . - John Hancock US G ovt Sees Fund

24 . - John Hancock Strategic Bond Fund

25. - John Hancock lntl Core Fund

2 6 . - John Hancock All Cap Growth Fund

2 7 . - John ttancock Mid Cap Stock Fund

2 8 . - ]Profit Sharing A Dividend J TPlan2 9 . Equitable Variable Life (terminated without A Dividend Closed 04/30/09 Jrefund or txfr)3 0 . I Employees Stock None J TOwnership Plan {est 2009)3 1 . Citibank interest bearing accounts A Interest K T


6/7

FINANCIAL DISCLOSURE REPORT N .... fp ..... R e p o r t i n g D a t e o f R e p o r tPage 6 of 7 s,.,In, L ~ r ~ g . 0~/13~2010VIII . ADD IT IONA L INF OR MA T ION OR E XPL AN AT IONS.

(Part VII, line 28) The investments of this profit sharing plan are not paaicipant-directed and the positions held by the plan are not reported in the statements issuedto participants.(Part VII, line 30) The investments of this ESOP, which W as established in 2009, are not participant-directed. No allocations to participants have been reported.


7/7

N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tF INANCIAL DISCLO SURE R E P O R TI Swain, Laura T.age 7 of 7 0 5 / ~ 3 / 2 0 i 0

IX. CE RT IF ICAT ION .I certify that all information given above (including information pertaining to my spouse and m inor or dependent children, If any) isaccurate, true, and omplete to the best of my know ledge and belief, and that any information not reported was withheld because it met ap plicable statutoryprovisions permitting non-disclosure.1 further certify that earned Income from ouBIdc employmen t and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

S~gnatur~

NOTE: ANY INDIVIDUAL W llO KNOW INGLY AND W ILFULLY FALSIFIES OR FAILS TO FILE TillS REPORT M AY B E SUBJECT TO CIVILAND CRIM INAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to:

Com mittee on Financial DisclosureAdministrative Office of the Un ited States CourtsSuite 2-301One Columbus Circle, N.E.W ashington, D.C. 20544

Documents

Laura T Swain Financial Disclosure Report for 2009