Louis L Stanton Financial Disclosure Report for 2010

8/3/2019 Louis L Stanton Financial Disclosure Report for 2010

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AO I0Rev. 1/2011FINANCIAL DISCLOSURE REPO RT

FOR CALENDAR YEAR 2010Report Re quired by the Ethics

in Go ~ernmen t Act of 1978(5 U.S.C. app. I01-111)

I . Person Rep or t ing ( las t name, f i r s t , m i d d l e i n i t i a l)S t a n l o n , Lo u i s L .

4. Title (Article III judges ind icate active or senior status;m a g i s t r a t e j u dg e s i n d i c a t e f u l l - o r p a n - t i m e )Senior Dist r ict Judge

7 . C ha m be r s o r O f f i ce A d d r e s sU.S. Courthouse500 Pearl St ree tNe w York , NY 1 0 0 0 7

2 . C o u r t o r O r g a n i z a t io nU.S. District CourL SDNY

3 . D a t e o f R e p o r t04/0712011

5a . Report T y p e ( c h e c k a p p r o p r i a t e t y p e )] N o m i n a t i o n , D a t e[] Initial [] Aanual [] Final5b. [] Amended Report8. O n t h e b a s i s o f th e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a n ymodif icat ions pertain ing thereto, it i s , in my opinion, in c om pl i anc ew i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

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

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed[ Complete all parts,checking the NONE box for each part where you have n o reportable informat ion. S ign on last pag~

I . P O S I T I O N S . ~ R e p o , ~ n g individual only; seepp. 9-1 3 of f c l ing instruct ions. )~] N O N E (No reportable posit ions.)

POSITION1 . Trustee Trust #12.3.4.5.

N A M E O F O R G A N I Z A T I O N / EN T I T Y

I I . A G R E E M E N T S . ( e ~ p o ~ n g ind iv idual onl y ; see pp . 1 4 -16 o f f i ling ins t ruc t ions . )[-~ NO NE (No reportable agreements.)

D A T E PARTIES AND TERM S


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F I NANCI AL DIS CL O O UR E RE P O RTPage 2 of 7N a m e o f P e r s o n R e p o r t i n g

S t a n t o n , Lo u i s L .Date of Repor t

04/07/201 I

1 1 1 . N O N - 1 N V E S T M E N T I N C O M E . ( R e p o r ~ n g indivldual andspouse; seepp. 17-24 offillng instructions.)A, Filers N o n - l n ve s t m e n t I n co m e~ ] N O N E (No reportable non-investment income.)

D A T E SOURCE AND TYPE

2.3.4.

INCOME( your s , no t s pous e s )

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 - t /y o u were m arried daring any portion o f t l ie reporting year, com plete th is sect ion.(Dol lar amount not required except for honoraria . )~ N O N E ( N o reportable non-investment income.)

DATE SOURCE AND TYPE1 .2.3.4.

I V . R E I M B U R S E M E N T S --transportation, lodging, food, entertainment.( I ncludes those to spouse and de penden t chi ldren; see pp. 25-27 o f f i l ing instruct ions . )

~] (No repor tab le re im burseme n ts . )ONESOURCE DATES LOCATION

1.

2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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Ia m e o f P e r s o n R e p o r { i n gPageFINANCIAL3 of 7 DISCLOSURE REPORT I Stanto,, ~ .o,,is L.V . G I F T S . ( I nc lu de s t hos e t o s pou s e and de pe nde n t c h i ld r e n; s e e pp . 2 8 - 3 1 of f il i ng i ns t r u c ti ons O

NONE (No reportable g~s.)S O U R C E D ESC R IPTIO N

1.2.3.4.

5.

Date of Report04/07/201 I

VALUE

V 1 . L I A B I L I T I E S . a n cl ud e s t h o s e o l s p o u s e a n d d e p e n d e n t children; see p p . 3 2 - 3 3 ofJ?llng instructlor~)N O N E (]go reportable l iabil i t ies.)

C R E D I T O R D ESC R IPTIO N1.2.3.

4.5.

VALUE CODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 7

N a m e o f P e r s o n R e p o r t i n gS t a n t o n , Lo u i s L .

D a t e o f R e p o r t04/07/201 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 , ,e o ,, e , v ,, lu e , ~ a n s a c t io n s a n c l u d e s t h o s e o l s p o u s e a n d dependent children; s e e p p . 3 4 - 6 0 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 T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d( i n c lu 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 texem pt from prior disclosure

I n c o m e d u r in gr e p o r t in g p e r i o d

(t) (2)A m o u n t T y p e ( e . g .,C o d e I d i v . , r e n t ,( A- H) or i n t . )

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(I) (2)

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

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

(1 ) (2) (3) (4)T y p e ( e . g . , D a t e Value Gain

buy, se ll, m m/dd/yy Code 2 C o d e 1r e d e m p t i o n ) ( J - P ) (A-H)

(5 )i d e n l i ty o fb u y e r ! s e l l e r( i f pr iva t e

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

I. MS Active Assets Tax-free Trust2. MS G l oba l D i v. G rowt h A

! 3 . IRA-US Treas. Fed Str ips zero coupon4. - M organ S tan l ey B ank5. Chas e B ank

A Int./Div.N o n e

A Interest

N o n e

M

S o l d 03/04/10 M

6. P f ize r , Inc. commo n B Dividend K T7. Citibank accounts A Interest K T8. Van g uard In dex 500 C Dividend M T9. US T re a su ry No t e due 2 /1 5 /1 0 E In te rest M atured

1 0 . Arl ing ton NY C ent Schl Di s t . Se r i e s B 4 % C Interest L Tdue 12/15/13I I. NYS T wy A ut h Hwy Br i dge Re v B bonds E Interest N T3.625% due 4/1/131 2 . As Trustee of T rust #1 -Fed Str ips D Dividend O T1 3 . - M organ S tan l ey B ank1 4 . -M S G lo bal D iv G ro w th A So ld1 5 . -Van g uard In dex 500 Bu y1 6 . NYC Gen l Obl ig n B onds Se r i e s M D Interest M T1 7 . NYC Gen l Obl ig n B onds Se r i e s J C Interest L T

02/15/10 N

03/04/10 K[04/15/10 K

I . Income Gain Codes: A = $1,000 or less B = $ 1,001 - $ 2.500 C = $ 2,501 - $ 5 ,000 D $ 5 .0 0 1 . $ 1 5 .0 0 0( S ee C olu mns B I and D 4 ) F =$50,001 - $100.000 G =$100.001 - $1,000.000 III =$1.000,001 - $5.000,000 112 =More than $5.09~.000

2. Value Codc~ J = $ 15.000 o r le ss K -$ 15.001 - $ 50.000 L = $ 50.001 - $ 10~.00~ M =SI0~.00I - $250.000{S~e Columns CI and D3) N -$ 250.001 - $ 500,000 O = $50~.001 - $1.000.000 pI -$ 1.000.001 - $5.000.000 P2 $5.000,001-$25.000.O0


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FI N A N C I A L D I SC L O S U R E R E PO R TPage 5 of 7

N a m e o f P e r s o n R e p o r t i n gStanton, Louis L.

Date of Repor t04/07/201 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 , . e , v a t . e , , r a . ~ a c , io . ~ a n a a d e , ,h o ~ e o / ~ v o . ~ e a n d d e v e n d . n t children; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (N o reportable income, assets, or transactions.)

1 8 .

1 9 .

20 .21 .22 .23 .24 .25 .

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( i nc l u di ng t ru s t asse~) r e p o r t i n g p e r i o d

(I) (2)Place "(X)" after each asset , Am o un t 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 ] Code I div. , r e nt ,[ (A-H) or i n t . )

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

0) (2)Va lue V a lu eC o de 2 M e t ho d

( J- P) C o d e 3

N Y C M T A R e v B 1 1 / 1 5 / 33 E I n t e r e s t N TLI NY l:Nvr Auth Elec Sys B onds Series Azero coupon 6/1/23

N o n e M

NYC Trans Fin Auth C 2/I/33 D I n l e r e s t N TNYC Genl Oblign Bonds Series L D I n t e r e s t M T

NYS Environtal Facs Corp. B 6/15/25 D I n t e r e s t M T

NYC M un Water Fin Auth. Rev C 6/15/33 C I n t e r e s t M T

Fed Home Loan Bank 4.3% 2/26/20 B I n t e r e s t

(1)T y p e (e.g.,bu y , se 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 in g r e l x w t i n g p e r i o d

(2) (3) (4) (5 )D a t e V a l u e G a i n I d e n t i t y o f

m m / d d / y y C o d e 2 C o d e I bu y er! se l l e r( J-P ) ( A -H) ( i f pr iva t e

t ransac t i on)

B uy 02/17/10 N

B uy 02/17/10 M

B uy 08/25/10 M

B uy 02/17/10 MRedeemed 08/26 /10 L

I. In com e G ain C odes: A = $ L000 o r less B =$1,001 - 52,500 C $2 ,501 - $5 .000 D =$5.001 - $15,000(Scc Columns B I and IM) F = 550,001 - $ 100.000 G = $ 100.001 - 51.000.000 I I I =$ 1.000.001 - $5.000,000 112 =More than $5.000.000

2. Value Codes J =515,000 or less K = $ 15.001 . 550.000 L = $ 50.001 - $ 100.000 M = 5100. 001 - $ 2 50. 000(Scc Columns CI and D3) N =$ 250.001 - 5500.000 O =$ 50~.001 - 51 ,000.000 PI =$l.000.00l - $5.000,000 P2 =$5.1X~,001 - $25.0(~.000

P 3 = $ 2 5 , 0 0 0 . 0 0 1 - $ 5 0 , 0 ~ 0 , 0 0 0 P 4 = M o r e t h a n $ 5 0 . 0 ~ ) . 0 0 03 . Va I o c M c t h o d Co d e s Q =A p p r a i s a l R = C o s t ( R e a l E s t a t e O n l y ) S = A s s c s s w , c n l T = C a s h M a r k c l

( S ec C olu mn C 2) U =B ook Value V =Olher W = Est i m a t ed

E =$15,001- $50.000


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FINANCIAL DISCLOSURE REPORTP a g e 6 o f 7

Name o f Pe rson Report ingS t a n t o n , Lo u i s L .

Date of Repor t04/07/201 I

V II I . ADDI TI ON AL I N F ORM AT I ON OR E X PL AN ATI ON S. (lnctlcate part of report)


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FI N A N C I A L D IS C L O S U R E R E PO R TPage 7 of 7

Name o f Pe rson Report ingS t a n t o n , Lo u i s L .

Date o f Reporl04/07/201 I

IX. CERT IFICATION.I c e r t ify t h a t a l l i n fo rm a t i o n g i ve n a b o ve ( i n c l u d i n g i n fo rm a t i o n p e r t a i n i n g t o m y sp o u se a n d m i n o r o r de p e n de n t c h i l d re n , i f a n y ) i s

a c c u ra t e , I ru 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 kn o w l e dg e a n d b e l i e f , a n d t h a t a n y i n fo 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 b e c a u se i t m e t a p p l i c a b l e s t a t u t o ryp ro v i s i o n s p e rm i t t i n g n o n -d i sc l o su re .1 fu r t h e r c e r t ify t h a t e a rn e d i n c o m e f ro m o u t s i de e m p l o y m e n t a n d h o n o ra r i a a n d t h e a c ce p t a n c e o f g i f t s 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 ~v i t h t h e p ro v i s i o n s o f 5 U . S . C . a p p . 501 e t . s e q . , 5 U . S . C . 7 3 53 , a n d J u d i ci a l C o n fe r e n c e r e g u l a t i o n s .

Signature: S/ Louis L. Stanton

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

C o m m i tt e e o n F i n a n c i a l D i s cl o s u r eA d m i n i s t r a t iv e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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Louis L Stanton Financial Disclosure Report for 2010