Neal P McCurn Financial Disclosure Report for 2009

8/3/2019 Neal P McCurn Financial Disclosure Report for 2009

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2/12

F I N A N C I A L D I SC L O S U R E R E P O R T ~.-. orr~ nepo~ DateofReportPage 2 of 12 M c O . r~ N e a l P . 0 6 / 3 0 / 2 0 1 0

HI . N O N - IN VES TM EN T I N C O ME. 0 ~ , ~A. Filers Non-Investment IncomeV - - - ] NONE (No reportable non-investment income.)

~DATE S O U R C E A N D T Y P E i N C O M E( y o u r s , n o t s p o u s e s )

1. 2009 N.Y. State Employees R~nt System $2,793.002.3.4.

B. Spouses Non-Investment Income - ~fyo~ ~e~ ~ d~,~g ~y~,~on o/~ ~ yea,. ~ ~ se~o~~1~ ~nt ~t r~ui~ ~t for ~r~)

~ NO~ ~o reportable non-in~s~t income.)SOURCE ~D ~PE

I. 2~ Carrie Relief ~ ~ui~ $~72. 2~ ~lic Chmh ~ ~ie~ $7223.

4.

IV. REIMBURSEMENTS -(Includes those to .~po~e and ~ hil~en; see pp. 2~27 of filing i~t~io~.)

NONE ~o r~o~able reimbursements.)SOURCE ~ L~ATION PURPOSE ITEMS P~D OR PRODDED

1.2.3.4.5.


3/12

Iam e o f Perso n Repo rt~ g Date o f ReportF I N A N C IA L D I S C L OS U R E R E P OR T Iage 3 of 12 o ~ , ~ o ~ z o ~ o~ NONE (No repo~able g~s.)

S O U R C E DESC~PTION1.2.3.4.5.

VI. LI~ILIT~S. a~.~N O N E ~oreportable liabilities.)

~ R E D 1 T ~ R DESC~PTION VALUE CODE1.2.3 .4.

5.


4/12

N a m e of Pm ~)n i~ lmr t lng Date of ~FINANCIAL DISCLOSURE REPORT] M e Cu rn , Ne a l P .a g e 4 of 12 o ~ v 3 o ~ o ~ o

- - -1 N O ~ ~ o re~rtable income, assets, or tra~acao~.). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ~ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .~ . c . ~ . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . .~~ption of A~ ~ ~6~g G ~ vat ~ a t ~d T~fio~ ~g ~g ~(~g ~ ~) ~ ~ of ~g ~

~e3 ~ ~) i (J -P) ;(A-~ ( t f pnv~

I. Bmke~e ~Cs S~ ~ Wells F~go

2. A T & T B Dividend K T3. Am e r E l e c tr i c P o w e r B Dividend K T4. H ei n z H J A Dividend J T5. ln t l Business Machines A Dividend K T6. Va l e r o E n e r g y C o r p A Dividend J T7. V e r i zo ~ C o m m A Dividend K T8. Y I Y M Brands A Dividend J T

9. Frankl in NY T/F Incom e B Interest S o l d 03/06/09 M m a r ke t

1 0 . Frankl in NY T/F Income B Interest S o l d 3 1 0 6 1 0 9 L m a r ke t; 1 1 . N YS D o r m 4% 7 / 1 / 09 A ln tems t R e d e e m e d 07t01/09 J m a r ke t

1 2 . SC Pu b 4 . 2 5 % I / I 1 1 5 A Interest S o l d 10/08/09 J m a r ke t

1 3 . Biot~ch Holder s Tr None K T R e d e e m e d 04/30/09 K E m a r ke t( p a r t )1 4 . Fai rpor t Communica t ions (Y)

15 : Kansas Ci ty 0% 3/1/09 None R e d e e m e d 03/02/091 K maricet

1 6 . Long Is l and 0% 12/ l / I 1 None K T1 7 . Long I sland 0% 6/I /19 None S o l d 03/31/09 K m a r ke t


5/12


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F I N A N C IA L D I S C L OS U R E R E P OR T N~.~o fr.~. a~o r~Page 6 of 12 M~c.~, N,~ e. o 6 t ~ m O l OVII. INVESTMENTS and TRUSTS - ~ ~,V - - ] NONE (No r e p o r t a b l e i n c o m e , a s s e t s , o r t r a n s a c t i o n s . )

D.D e ~ - r i p t io n o f A s s e t s I n c o m e d u r i n g G ro s s v a l u e a t e n d T r a n s a c t i o r a d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p 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 dP l a c e ~ ( X ) " a f te r e a c h a s s e t A m o tm t Type (e.g, Value i Value ] T y p e ( e . g ., Date | Value G ~ i n ldengty of

(A-H) orint) ( J - P ) C o d e 3 ] r e d e m p t i o n ) | ( J -P) ( A - H ) ( i f p r i v~

35. Agilemt Tech lnc (Y)

3 6 . St ryker Corp A Dividend K T37. A n ~ r F d s C a p W r l d G & I A Dividend J T38 . E O G R e s o u r c e s A Dividend K T39 . F i r s t B u s e y C o r p ( Y)

40. He w l e t t P a c k a r d A Dividend K T41. Johnson & Jolmzon A Dist r ibut ion K T42. Eli Li l ly A Dividend J T43. P f t z ~ r A Dist r ibut ion J T

44. Vo d a fo n v Gr o u p A Dividend J T45. Xe r o x A Dividend J T46 . B a n k o f Am e r i c a None S o l d 01/29/09 J m a r ke t47. N YS T h r u w a y 4 .5 4 1 1 1 0 9 A Interest R e d e e m e d 0 4 / 0 1 1 0 9 K marke t48 . NYS .Envrnmt 4% 6 /15/14 A Interest K T

49 . MT A NY T rans 7/1/13 No ne K T

50. N Y S L O C G v t 4 / l /1 3 None J T5 1 . NY S G vt 4 / l /14 None K T


7/12

N a m e o f P e r s o n l ~ p o r t in g D a t e o f R e p o r tISCLOSURE R E P O R TP a g e 7 o f 1 2

~ NO~ ~o reportable i~ome, ~se~, or ~a~tions.)

5 2 . M~s ~R 2% 8/1/11 A In~st L T Bu y 03/~ L m~et5 3 . No~Mk

54. NYS ~4% 1~15/16 A Inte~s t K T B~ 0 3 / 3 1 / ~ K m~et55. NY S Envm 4,625% 6 /15/33 A Interest K T Bu y 10/14!09 K market56 . Sent inel Cap Mrks B Dividend K T5% F i n l Sec to r SPD R A Di v i den d l T Bu y 01/29/09 J marke t58 . Intui t ive Surgica l Inc None K T59 . IRA Acct (Wel ls Fargo)Stks & Bnds l i stedb e l o w :60 . Boston Scientif ic (Y)

61. Eli Lilly A Dividend J T62 . . Ha l l i b u r ton C o A Dividend J T63 . Medc, o Health (Y)

6 4 . P f m e r A Dividend K T Bu y 1 0 1 1 6 / 0 9 J marke t65 . Pf izer None Bu y 10/27/09 K marke t

( a c ~ d l )66 . Simon Proper ty Grp A Dividend K T B u y 03/18/09 J marke t( add l )6 7 . Simon Proper ty Cap No ne B u y 06119/09 J m m ke t(add l )

;68 . Simon Prope rty G-tO None Bu y 0 9 1 1 8 1 0 9 J marke t(add l )

1 . l ~ O l r ~ G a i n C o d e s : A


8/12

F I N A N C IA L D I S C L OS U R E R E P OR T r..,~ of r~.,, s,n,,,-~ D . ,. o f r u t . .Page 8 of 12 M e C u r a , N e a i P o 0 6 / 3 0 / 2 0 1 0V I I . [N V E S T M E N T S and TRUSTS -~,,,,~D " N O N E ~ o repo~able income, ~sets, or ~a~actions.)A. B. C. D.~ption of A~ ln~ ~g G~ value ~ ~d T~o~ ~g ~g(~l~g ~ ~) ~ng ~ of ~ning ~(,) ~) (, ) (2) (, ) V--b) " (3) ~ (5)Pl~ "(X)" ~r ~h ~t A~t T ~ ( e . g . , V ~ u e V ~ u e T ~ ( e . g ~e } V~ G~n I I d~ f i ~ o fexert ~mpd~l~ ~e 1 div.,~ C~2 Me~ ~,~11 ~ [C~2 I C~ t I b u y ~ / ~ l l ~( A - ~ o r in t . ) ( J - P ) ~ 3 ~fio 0 (J-P) (A-~ ( i fphv~e

(~ /6 9 . S~on ~ ~ N~e B u y 12/18 /~ J(add l )70. U D R l nc B Dividend K T Bu y 0~0~ J m~et( add l )71. Wy~ A Dividend M~g~ 10/16 /~ K E m~et

(~ line ~)72. ~ Exp~ CD 1~30/11 B ln~t K T7 3 . Frankl in T Mutua l Di sc A Dividend K T74 . Am e r Fds- Ne w Econom y A Dividend K T75. FNMA 4.5% 9/24/24 None J T Bu y 09/14/09 J marke t76 . I n d i vi d u a l Ac c o u n t s h e l d l i s t e d a s f o l l o w s :

77. U S S a vi ng s B o nd s None K T

78 . Dreyfi JS Emerging Leader s A Dividend K T

7 9 . ~ D r e y f u s M i d C a p V a l u e A Dividend L T ( a d d l ) B U y 07/27/09 J m a r ke t80 , D r e y f u s M i d C a p V a l u e None B u y 09/21/09 J marke t( add l )81 . D r e y f i a s M i d C a p Va l u e None B u y 11/10/09 J marke t(add l )82 . Dreyfus Apprecia t ion A Dividend K T B u y 04/03/09 J market(add l )83 . D r e y f u s A p p e l a t i o n None B u y 04/30/09 J marke t(add l )84 , Dreyfus Apprecia t ion None B u y 07/01/09 J marke t(add l )8 5 . Dreyfus Apprecia t ion None B u y 08/18/09 J marke t( add l )

( S e e C o l u n m~ BI an d D4 ) F -$50,001 - $100,00O G =$10~,001 - $ 1 .0~,0~0 H I - - $1 .0 Q 0, 00 1 o $5 .0 0 0, 00 0 H 2 - ~ Mo r e t h aa $5 ,0 0 0, 00 02 . V a l u e C o d ~ J ~ $ 1 5 ,0 0 0 o r le ~ s K " $ 1 5 ,0 0 1 - $ 5 0 .0 0 0 L =$50,001 - $10~.000 M ~100, 001 - 5250, 000( S ~ C o i u r a n . s C I a n d D 3 ) N ~$250,001 - $500,000 O =$500.00~ - $1.000.000 PI -~$1,0~0,00 | - $5.000,000 P2 =$5,000.001 - $25,000,000


9/12

F I N A N C IA L D I S C L OS U R E R E P OR T N~ nfP,. .~ a~.an IPage 9 of 12 M , ~ , ,~ , N ~ ~ " I~. ~S~NTS ~d ~USTS - ~ ~ ~ a~ ~ oI~ ~ ~

~ N O N E ~ o repo~able income, ~sets, or ~tions.)................................. ~ ............................................................. ................... ~ ..................................................................

( A - H ) or ~t.) ( J - P ) ~ 3 [ ~ti~) ( J - P ) ( A - ~ (ifpfiva~

8 6 . D~ ~ T~ Exempt B ~vi~nd K T B u y 01/01/~ J m~et87 . ~ ~ T~ Exempt None B u y ~/~ J ~et(addl)8 8 , ~ ~ Tax Ex~ N~e ~td 07/ 14 / ~ K~)8 9 . D~ S~k F~d A Divi~ K T Bu y 08/18/~ J ~ket(addl )~. ~ S~k F~d N~e B u y 11/03 /~ J ~ket(addl )91 . ~e~ S~k F~d N~e B~ I 1/10/~ J~. ~ S~k F~d N~e Bu y !~08/~ J(addl )93 . ~ Sho~4nt M~ A lnt.~v. K T ~y 05 / 05 / ~ J m~94 . ~ Shoa lnt M~i N~ B u y ~/~/~ J95 . ~ Sho~ Int M~ N~e B u y ~/22/~ J ~et(addl)~. ~ Sho~ Int Mu~ N~e B u y 07/ 14 / ~ K m ~ k e t(~at)97 . ~ Sho~ lnt M~i N~e B u y 07~7/~ J m~et98 . Dre~ Sho~ Int M~i N~e B u y 0 8 / 1 7 / ~ J ~ket~, ~ Sho~ Int M~i None 8~ ~/08/~ J ~ket1~. ~ Sho~ Int Mu~ None B u y 1 0 /0 5 /~ J m a n e t( ~ d l )1 0 1 . ~ ShoR Int M~i N~e Bu y 11/10/09 J ~et1 0 2 . ~ Sho~ Int M~i N~e B u y 12/(~/~ J m~et(addl )


10/12

Imm of Person Rq~orti~gF I N A N C I A L D IS C L O S U R E R E P O R T] Mt12urn, Seal P.

Date of R e p o r tPage 10 of 12 o 6 f ~ o / 2 o i oVH. I N VES TMEN TS a n d TR U S TS - ~ , . ~--] NONE (No reportable income, asse~, or transactions.)

Description of Assets ] Income during Gross value at end Tramac~io~s during reposing(including Irust assets) i r g , p o f t i r ~ g p e r i o d ofr~porting period

(A-H) or int.)Code 2 Method( J - P ) C o d e

1 0 3 . Syracuse Po t ice Fed Credi t Union CDs & B Interest K TB a s e A J C104. M&T Bank Syracuse Checking A/C A I n t e r e s t J T105. Met t i fe Bank & Money Mrk A/C A I n t e ~ a ~ - t J T


11/12

FINANCIAL DISCLOSURE R P O R T N a m e of Pe rm~ Rep ort ing D ~ t ~ o f R e p o r ~[ M~u~ N~ P. ~0~01 0

Page 1 1 of 12~H. ADDITIONAL ~O~ON OR E~LANATIONS. a~oys~)

Share s o f W ye th (Line 71) reo rganized in to sha re s o f P f ize r ( l ine 64)


12/12

FINANCIAL DISCLOSURE REPORT i NameofPe~oa Repmtiag Dateof Rt~ortPage 12 o f 12] MeCurn, Neal P. 0 6 / 3 0 / 2 0 1 0

IX. CERTIFICATION.I c e r t i fy t h a t a l l i n f o r m a t i on g i v en ab ov e ( i n c l ud i n g i nf o r m a t i on p e r t a i n i ng t o m y sp o use a n d m i n or o r d ep en den t ~ d r en , i f uy ) i sac c ur a t e , tr ue , an d c om p l e t e t o t h e b e s t o f m y kn owl edge a n d b e l i e [ , an d t h a t an y i nf o r m a t i on n o~ r ep o r t ed w a~ w i t h h e l d b ec ause i t m e t ap p l i c ab l e ~ t a t u t o r yp r ov | ~ i on a p e r m i t t i n g n on- d i adosu r e .I f u r t h e r c e r ti f y t h a t e a r ned i n c om e f r om ou t s i de em p l oy m en t and h on or a r i a an d t h e ac c ep t an ce o f g i f ~ wh i c h h av e b een r ep o r t ed a r e i nc om p l i an c e wi t h t h e p r ov i s i on s o f 5 U~ . C . ap p . 5 0 1 e t . ~ q . 5 U~ . C . 7 3 5 3 , an d Jud i c i a l C on f e r en ~ r egu l a t i on s .

S i g n a t u r

N O T E : A N Y I ND 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 L L Y F A L S I F IE 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 SA N C T I O N S ( 5 U. S . C . ap p . 1 0 4 )

,F I L I N G I N S T R U C T I O N SMa i l s i gne d o r i g i na l a nd 3 a dd i t iona l cop i e s t o :

C o m m i tt e e o n F i n a n ci a l D i s c lo s u r eA d m i n is t r a ti v e O f f i c e o f t h e U n i te d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r cl e , N . E .W a s h i n g t o n, D . C . 2 0 5 4 4

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Neal P McCurn Financial Disclosure Report for 2009