Neal P McCurn Financial Disclosure Report for 2010

8/3/2019 Neal P McCurn Financial Disclosure Report for 2010

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A O I ORev. 1 /2011 FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 1Report R equired by the Ethicsin Government Act o f 1978(5 U.S.C. app. 101-11 1)

1 . P e r s o n Report ing (las t nam e, fi rs t , middle ini t ial )M c Cu r n , N e a l P .

4. Tit le (Article 111 judges indicate active or senior s ta tus ;magistrate judges indicate full- or part-time)Senior U.S. Dis t r ic t Judge

7. Chambers or Off ice AddressP.O. Box 7365I00 S Cl in ton St reetSyracuse, NY 13261

2. Court or OrganizationU.S. Dis t r ic t Court N.D.N .Y.

5a. Report Type (check appropria te type)

] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is of the information contained in this Report and anymod ifications perta ining thereto, it is , in my op inion, in compliancewith ap p l ic ab le laws an d r eg u la t io n s .

Reviewing Off icer Date

3. Date of Repor t07/27/2011

6. Reporting Period01/01/2011

to12/31/2011

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 NO NE box for each part where you have no reportable in format ion . Sign on last page.

I . P O S I T I O N S . t R e p o , ,i n g i n d l v i d u u l o , l y ; se e ~ , p . 9 - 1 3 of filing instructions.)~] N O N E ( N o reportable positions.)

POSITION

2.3.

4.

5.

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

I I . A G R E E M E N T S . t R e p o . i n g individual only; seepp. 14-16 offillng instructions.)~] N O N E (No reportable agreemen ts .)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

N a me o f P e rs on R e p o r t i n gMcCurn, Neai P.

D a te o f Re por t07/27/2011

I II . N O N - IN V E S T M E N T I N C O M E . (Repo.ing individual and spouse; seepp. 17-24 of filing instructions.)A. Filers N o n - l n v e s tm e n t In c o m e~ (No reportable non-investment income. )ONE

DATE SOURCE AND TYPE INCOME(yours, not spouses)1. 2010 N .Y . Sta te E m p lo yees R e tirem en t System $2 ,82 4 .002.

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 anyportion of the reportlng year, complete this section.(Dollar amount not required except for honoraria .)

N O N E ( N o reportable non-investment income.)

1 . 20 1 02 . 2 0 1 03.4.

D A T E SOURCE AND TYPECa t h o l i c Re l i e f S e rv i ce s Annui t y $847Ca t h o l i c Ch urch Ext . S oc i e t y $7 22

IV . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.( Includes those to spouse and d ependent children; see pp. 2 5-27 of f i l ing ins tructions .)

~] N O N E (No reportable reimbursements.)

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDE


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Name of Person ReportingMcCur n, Neal P.

Date of Report 07/27/2011

V . G I F T S . a n e l u d e s t l, o s e t o s , o u s e o . d d e p e n d e n t children; see p p . 2 8 - 3 1 of fi l ing instructions.)N O N E (No reportable gifts.)

S O U R C Ei.

2.

3.

4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n e l u d es t h o s e o l s p o u s e und d ep end ent ch i l d ren; see pp, 32-33 of f i l ing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .

2.

3.

4.5.

VALUE CODE


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Date of Report07/27/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

2.3.

4.5.

6.7.8.

9.I0 .1 1 .

1 2 .

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

N O N E (No reportable income, assets, or transactions.)A B. C.

Descrip tion of A ssets Incom e during Gross value a t end(including trust assets) reporting period of reporting period

(l ) (2 ) (l) (2) (l )Place " (X }" after each asset A m ount Type (e.g., Valu e Value Type (e.g.,

exempt from prior disclosure Code 1 div., rent, C o d e 2 Method buy, sel l ,

Br okerage A/Cs Sts Bd s W ells Fargo

T ra n sa c t i o n s d u r in g r e p o r t i n g p e r io d

(2) (3) (4) (5 )D a t e Value Gain Ident i ty of

mm/dd/yy Code 2 Code 1 buyer/seller( J - P ) (A-H) (if privateA - H ) or in t . ) (J-P) C o d e 3 r e d e m p t i o n )( Q - W )

A T & T B Dividend K TA m e r E l e c t ri c Pow e r B Dividend K TH e i n z H J A Dividend J Tln t l Bus iness Machines A Dividend K TVa l e ro En e r gy Cor p A Dividend J TVe r i zon Comm A Dividend K TY U M Bran d s A Dividend K TB i o t e c h H o l de r s T r A Dividend K TF a i rp o rt C o m m u n i c a t io n s (Y )Long I s l a nd 0% 12 / 1 /11 N o n eLong Is land 0% 6/1 / 15 Non eC o m i n g A Dividend KC o m i n g A Dividend KFrankl in Temp Mu t Disc B Dividend MN YS D or m 3 . 5 % 7 / 1 / 16 A Interest JN Y S D or m 3 . 2 5 % 7 / I /14 A Interest K

TTTTT

Sol dS o ld

01/20/10 K01/20/10 K

transaction)

B marketB market

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( S e e C olu rms B 1 a nd D4) F = $50.001 - $100,000 G = $100,001 - $1.000,000 H 1 = $1,000,001 - $5,000,000 H2 =M ore than $ 5,000,0002. Value Codes J = $15 ,000 o r less K = $15,001 - $50,000 L = $50,001 - $1 00,000 M = $ 1 00,001 - $250,000(Sce 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 = M ore tha n $50,000,0003 . Va lue Me thod C ode s Q =Appraisal R = C os t (Re a l Es t a te Only) S =Assessment T = C a s h M a r k e t{ S e e C olumn (22) U = Book Va lue V =Oth er W =Es t imated

E = $15,001- $50 ,000


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Date of Report07/27/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O b l E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross value a t end Transactions during reporting period(including trust assets) reporting period of reporting period

(t) (2) (1) (2) (t )Place "(x)" after each asset A m ount Type (e.g., V alu e Value Type (e.g., D a t e Valu e Gain Identity ofexempt from prior disclosure Code 1 div., rent, C o d e 2 Method buy, sel l , mm/dd/yy Code 2 Code 1 buyer/seller(A - H) o r i n t . ) (J-P) C ode 3 redem ption) (J-P) (A -H ) (if private( Q -W) transaction)

1 8 . NYS Dorra 5%3/15/13 B I n t e r e s t K1 9 . FL St PW R 4% 10/1/15 B I n t e r e s t L20 . NYC W TR4.75% 6/15/33 B I n t e r e s t K21 . NYC W IR5% 6 /15 /34 A I n t e r e s t K22 . Southam pton4%12/15/25 A I n t e r e s t J23 . Lake SuccessNY 3%1/15/15 C I n t e r e s t M24 . Campbell Strategic A I n t e r e s t M25 . Agilent Tech Inc (Y)26 . Stryker Corp A Dividend K27 . Port Auth NY 4.25% 10/15/30 B I n t e r e s t L28 . NYC 4.50% 6/15/34 A I n t e r e s t K29 . Amer Fds Cap Wr ld G &I A Dividend J30 . EOG Resources A Dividend K31 . Fi rs t B us ey C or p (Y )32 . Hew lett Packard A Dividend K33. Johnson &Johnson A Distribution K34. Eli Lilly A Dividend J

T

T

T

T

T

T

T

TTTT

(2) (3) (4) (5 )

TTT

B uy 01/22/10 L marketB uy 08/31/10 K market

I . Income Gain Codes : A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(S e e C olumns B 1 a nd D4) F = $50,001 - $1 00.000 G = 5100,001 - 51,000,000 H 1 = $1,000,001 - $5,000,000 H 2 = M ore than $5,000,000

2. Value Codes J = 515,000 or les s K = $1 5,001 - $50,000 L = $50,001 - $1 00,000 M = $1 00,001 - $250,000(S e e C olumns C 1 a nd D3) N =$250.001 - $500,000 O = $500,001 - $1,000,000 PI =51,000,001 - $5,000,000 P2 -$5,000,001 - 525,000,000

P3 = $25,000,001 - $50,000,000 P4 = M o re than $50,000,0003 . Va lue Me thod C ode s Q = Appra i s al R =Cos t (Rea l Es ta te Only) S =Assessment T = C a s h M a r k e t( S e e C o l u m n C 2 ) U =Book Value V =Oth er W =Es t imated

E =$15,001- 550,000


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Name of Person ReportingMcCurn, Neal P.

Date of Repor t07/27/201 l

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 ,~ e , v o l ne , , r a n s a c t io n s a n a a d ~ s a , o s ~ o / s p o a s ~ a n d a e p ~ n a e n t c ~ , iU r ~ n ; s e ~ p p . 3 4 - 6 0 of fi l ing instructions.)

35 .36 .37 .38 .39 .4 0.4 1 .4 2 .4 3 .4 4 .4 5 .4 6 .4 7.4 8.4 9 .50 .51 .

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s Transactions dur ing repor ting per iod(including trust assets)Place " (X)" af ter each asset

exempt from prior disclosure

Income duringrepor ting per iod(1 ) (2 )A m o u n t T y p e ( e . g .,C o d e 1 div., rent,( A - H ) o r 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(1) (2)Value ValueC o d e 2 M e th o d

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

Pfizer A Distribution J TVoda f one G r ou p A D i v i de nd J TX e r o x A D i v i de nd J TN YS En vr nmt 4% 6 / 15 /14 A Interest K TM T A N Y Tr a ns 7 /i /13 N o n eN Y S L 0 C G v t 4 / 1 /1 3 N o n eNYS Gvt 4/ 1 / 14 N o n eMass W TR 2% 8/1/I 1 A Interest L TN or w a l k CT 2 % 7 / 1 /12 A Interest K TN YS D 0r m 4% 12 / 15 /16 A Interest K TN Y S Env m 4 . 6 2 5 % 6 / 15 / 3 3 A Interest J T

(I )Type (e.g.,buy, sel l ,

redemption)

(2) (3) (4)D a t e Valu e Gain Identity of

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

S o ldS o ldS o ld

01/20/I 0 K B m a r k e t01/20/10 J A ma r k e t01/20/10 K C m a r k e t

buyer/seller(if private

transaction)

Sent inel Cap Mrks B D i v i de nd LFinl Sector SPDR A D i v i de nd JIntu i t ive Surgica l lnc N o n e KN Y T W Y 3 . 12 5% 3 / 15 /2 5 N o n e KPort Auth 4% 9/15/30 C Interest LF NM A 4 . 5% 9 /24 /24 A Interest

T

T

TT B uyT B uy

R e d e e m e d

09/20/10 K ma r k e t01/22/10 L ma r k e t09 /24/10 J m ark e t

1. Income Ga in C ode s : A = $1,000 or l e s s B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Columns BI and 1 )4) F =$50.001 - $100,000 G =$100.001 - $1,0~0.000 HI =$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 - $250,000(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 - $25,000,000P3 =$25,000,001 - $50,000,000 P4 = M o re than $50,000,0003. Value Meth yl Codes Q = Appra i s al R ~Cos t (Rea l Es ta te Only) S =Assessment T =Cash Marke t(See C olum n C 2 ) U ~ B oo k Value V Other W =Est imated

E =$15,001 - $50,000


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

Dare of Report07/27/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u 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.)

A. B. C. D.Description of Assets Incom e d uring Gross v alue a t end Transactions during reporting period

(in clud in g tru st asse ts) reporting period of reporting period(1 ) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )Place "(x)" after each asset A m ount Type (e.g., Valu e Valu e Type (e.g., D a t e Valu e Gain Ident i ty of

exempt from prior disclosure C o d e I div., rent, Code 2 Method buy, sel l , m m /d d/y y C od e 2 Code I buyer/seller( A - H ) o r i n t . ) ( J - P ) C ode 3 redem ption) ( J - P ) (A-H) (if private( Q -W) transaction)

52 . IRA Acct (Wel ls Fargo)Stks & Bnds l i s tedb e l ow :53 . B os t on Sc i e n t i fi c (Y )54 . Eli Lil ly A D i v i de nd J T55 . Hal l ibur ton Co A Dividend K T56 . M e dc oH e a l t h ( Y)57 . Pfizer B Dividend K T5 8. S im o n P ro pe rty G rp A D i v i de nd K T59 . U DR Inc A Dividend K T60 . A m er E xp re s s C D 1 2 /30 /1 1 B Interest K T61 . Frankl in T Mu tual Disc A D i v i de nd K T62 . A m er F d s- New E c o n o m y A D i v i de nd K T63 . Individua l Acco unts he ld l i s ted as fol lows:64 . U S Sa v i ngs B onds N o n e K T65 . D r e y f u s Eme r g i ng Le a de r s A D i v i de nd L T66 . Dreyfus MidCap Value A D i v i de nd L T67. Dreyfus MidCap Value N o n e6 8. D r ey fu s A pp re ci at io n A Dividend K T

B uy 04/12/10 J ma r k e t( a d d l )B uy 06/22/10 J ma r k e t( a dd l )Buy 03/10/10 J ma r k e t( a d d l )

I . Income Gain Codes : A = $1 ,000 o r less B = $1,001 - $2,500 C =$2,501 - $5,000(S ee C olu mn s B 1 an d 1 )4 ) F = $ 5 0,0 01 - $1 00 ,0 00 G ~$100,001 - $1,000,000 H I =$ 1,000,001 - $5,000,000

2 . Va lue C ode s J = $1 5,000 or less K = $15 ,001 - $50,000 L = $50.001 - $ 1 00,000(See Columns CI and D3) N =$250,001 - $500,000 O =$5 00 ,0 01 - $1 ,000 ,000 P I = $1 ,00 0,00 1 - $5 ,00 0,0 00P3 =$25,000.001 - $50,000,000 P4 = M ore tha n $50,000,0003 . Va lue Me thod C ode s Q = Appra i s al R =C os t (Rea l Es ta te Only) S - A s s e s s m e n t(See Column C2) U =Book Value V =Oth er W = E~t ima tcd

D =$5,001 - $15,000H2 = More tha n $5 ,000,000M = $100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E 2515,001 - $50,000


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

Date of Report0 7/27/20 1 1

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 , t r a n s a c t i o n s ( l n c l u , l e s th o s e o f sp o use and dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)[] N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during Gross value a t end Transactions during reporting period(including trus t assets ) reporting period of reporting period

( 1 ) ( 2 ) (1) (2) (1 ) (2) (3)[ (4) (5 )Place " (X)" af ter each asset A m o u n t Type (e.g., V a lue Valu e Type (e.g., D a t e Value I Gain Identi ty ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sel l , m m/dd /yy C ode 2 Code 1 buyer/seller(A - H) o r i n t . ) ( J - P ) C ode 3 redem ption) (J-P) (A -H ) (if private

( Q -W) transaction)

6 9. D rey fu s NY Tax Ex em p t A Div idend K70 . Dreyfus Stock Fund A Dividend K71 . Dreyfus Short Int Mun i A I n t e r e s t K72 . Summ it!Syracuse Police Fed Credit Union A I n t e r e s t KCDs & B ase A/C73 . M& T Bank Syracuse Checking A/C A I n t e r e s t K74 . Metl i fe Bank & Money M rk A!C A I n t e r e s t J

TTTTT

I . Income Ga in C ode s : A =$1,000 or less B = $1 ,001 - $2,500 C = $2,501 - $5,000(See Columns BI and D4) F = $50,001 - $1 00,000 G = $1 00,001 - $1,000,000 HI =$1,000,001 - $5,000,000

2 . Value C o d es J = $1 5 ,000 o r less K =$15,001 - $50,000 L =$50,001 - $ 100,000(See Co lu mn s C I a nd D3 ) N -$2 50 ,0 01 - $5 00 ,0 00 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000P3 =$25,000,001 - $50,000.000 P4 -More than $50,000,0003 . Va lue Me thod C ode s Q =Appraisal R = C o s t (Re a l Es t at e Only) S =Assessment(Sce Colunm C2) U =Book Value V = O t h e r W =Es t imated

D =$5,001 - $15,000H2 = More tha n $5 ,000,000M =$ ! 00 ,001 - $ 2 5 0 , 0 0 0P2 =$5,000,001 - $25,000,000T = C a s h M a r k e t

E = $15 ,001 - $50,000


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

Date of Report07/27/2011

V III. ADDITIONAL INFORMATION OR EX PLANATIONS. (lndlcate part of report.)


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N a me o f P e rs on Re por t ingMcCurn, Neal P.

Date o f Rep o r t07/27/201 l

IX . CERTIFICATION.1 c e r t i fy t h a t a l l i n fo r m a t i o n g i v e n a b o v e ( i n c l u d in 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 , if a n y ) i sac c ura te , t r ue , and c omple te to th e b es t o f my know ledge and b e l i e f , and th a t any in fo rmat ion no t r epo r ted w as w i th h e ld b ec aus e i t me t app l i c ab le s t a tu to ryp r o v i s io n s p e r m i t t i n g n o n -d i sc lo su r e .I f u r th e r c e r t if y t h a t e a rn 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 nco m p l i a n ce wi th th e p r o v i s io n s o f 5 U . S . C . a p p . 50 1 e t . s e q . , 5 U . S . C . 7 353 , a n d Ju d ic i a l C o n f e r e n ce r e g u l a t i o n s .

Signatur e: S] Neal P. McCur n

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 FU L L Y F A L S I FI E S O R F A I L S T O F IL 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 . 10 4 )

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

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Neal P McCurn Financial Disclosure Report for 2010