Paul A Crotty Financial Disclosure Report for 2010

8/3/2019 Paul A Crotty Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor ting ( las t name, f ir s t , middle init ial)C ro t t y , Pa ul A .

4. Tit le (Art ic le 111 judges ind ica te ac t ive o r sen io r s ta tus;magis t ra te judges indicate fu l l - or p ar t - t ime)U.S. Di s t r ic t Judge (A ct iv e )

7 . C ha m be r s o r Of f i c e A d d r e s s500 P ea r l S t ree tR o o m 7 3 5N e w Y o r k , N e w Y o r k 1 0 0 0 7

2. Cour t o r O r ganiza t ionU.S. Di s t r i c t Cour t (S .D.N.Y. )

3. D a t e o f R e p o r t05/ 1 1 / 201 1

5a . Report Type (check appropria te type )

] Nominat ion, D a t e[] Initial [] Annual [] Final5b . [] Amended Report8. On the bas i s of the informat ion eonta ined in thi s Repor t and anymodi f i ca t ions per t a in ing there to , i t i s , in my op in ion , in compl iancew 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 .

Reviewing Off icer Date

6. Report ing Pe riod01/01/2010to12/31/2010

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 NON E box for each part w here you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e ~ o , ~ i n g i n d i ~ U u u t o n V ; s e e p . . 9 - 1 3 of filing instructions.)~] N O N E (No reportable positions.)

POSITION

2.3.4.

5.

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

I I . A G R E E M E N T S . C R c p o r , i n g individual only; seepp. 14-16 of filing instructions.)N O N E (No reportable agreements.)

I . 20052.3.

D A T E P A R T I ES A N D T E R M SV er i zon I ncom e D ef e r r a l P l an ( N o Con t r o l )


2/9

FINANCIAL DISCLOSURE REPORTPage 2 of 9

l ~ a m e o f P e r s o n R e p o r t i n gC r o t t y , P a u l A .

Date of Report05/11/2011

I l L N O N - I N V E S T M E N T I N C O M E . ( n e p o n l . g individual and spouse; see pp. 17-24 of filing instructions.)A. Fi ler s Non-Investment Income

D N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE 1NCOME

(yours, not spouses)

1 . 2 0 1 0 Verizon Comm unicat ions (See VIII) $ 1 9 3 , 9 6 3 . 4 32.3.4.

B . S p o u s e s N o n - I n v e s t m e n t I n co m e - if you were married during anyportlon of the reportlngyear, complete this section.(Dollar amount not required except for honoraria.)

~] (No reportable non-investment income.)ONE

1 . 2 0 1 02.3.

4.

DATE SOURCE AND TYPEGeorge Arzt Communications - Salad,

I V . R E I M B U R S E M E N T S -transportation, Iodglng, food, ntertainmeng(Includes those to spouse and de pendent children; see pp. 2 5-27 of filing instructions.)

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

1.

2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 o f 9

Name of Person ReportingCrot t y , Pau l A.

Date of Report05/I 1/2011

V . G I F T S . ~ n c t u d e s those to spouse und dependent children; see pp. 28-31 of filing instructions.)N O N E ( N o repo rtable gif ts . )

SOURCE DESCRIPTION1.2.3.4.5.

V A L U _ _ _ ~ _ E

V I . L I A B I L I T I E S . a n e ~ u d e s th o s e o f s p o u s e a n d dependent children; s e e p p . 3 2 - 3 3 of filing instructions.)N O N E (No reportable l iabi l i t ies .)

CREDITOR DESCRIPTIONI.2.3.4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t i ngC r o t t y , P a u l A .

Date of Report05/1 I/:2011

V I I . I N V E S T M E N T S a nd T R U S T S - i n c o m e , v o l 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.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 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( i n c lu d i n g t r u s t a s s e t s ) re 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

(1 ) (2 ) (1) (2) (i ) (2) (3)Place "(x)" af ter each asset A m o u nt T y p e ( e . g ., Value V alue T y p e ( g . , D a t e Valuee 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 b u y , s e l l , m m /d d / y y C o d e 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n )( Q - W )

1 . A m e r i c a n E x p r e ss B D ivid en d K T2. Arae r ipr i s e F in l Inc . A D ivid en d J T3. C B O E H o l d i n g s A D ivid en d K T Bu y4. C o c a C o l a B D ivid en d L T5. Duke Energy Corp . A D ivid en d K T6. E x x o n M o b i l B D ivid en d L T7. Gen era l E lect r i c A D ivid en d K T8. Hewle t t P acka rd A D i v i d e n d K T9. J P M o r g a n C h a s e A D ivid en d Sold

1 0 . Medtronic A D ivid en d L T1 I. Microsoft A D i v i d e n d K T1 2 . Morgan Stan l ey A D ivid en d Sold1 3 . Spec t ra Ene rgy Corp . A D i v i d e n d K T Bu y1 4 . Stryker Corp. A D i v i d e n d K T1 5 . T e v a P h a r m a c e u t i c a l s A Div idend K T1 6 . All ian ceBern s te in C ap i ta l A Interest L T1 7 . F ide l i t yNY Muni F und A Div idend J T Sold(par t)

06/16/10

05/14 /10

05/14 /1003 /15/10

( J - P )

K

K

KK

( 4 ) ( 5 )G a i n Identity ofC o d e 1 buyer /seller( A - H ) (if privatetransaction)

A

02/15/10 M A

I . I nc ome G ain Codes : A =$1,000 or less B = $1 ,001 - $2,500 C = $ 2,501 - $ 5,000 D = $5,001 - $15,000(See C o lum ns B I an d D 41 F = $ 50,001 - $ 100,000 G = $ 100,001 - $ 1 .000,000 H I = $1,000,001 - $5,000,000 H2 =More than $5,000,0002. Value C odes J = $15,000 o r less K =$15.001 - $50,000 L $50, 001-$100, 000 M =$ 100.001 - $250,000( S c e C o l u m n s C I a n d D 3 ) N =$ 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 than $50,000,0003. Value Method Codes Q = A p p r a isa l R - Cos l ( R eal E s l a t e Only ) S =As s es s ment T = C a sh Ma rke t( See Colu mn C2 ) U =Book Valu e V = Olhcr W = E s t 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 ti n gCrotty, Paul A.


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 t u c , 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.)

18 .

1 9 .20 .21 .22 .23 .24 .25 .26 .

27 .28 .29 .30 .31 .32 .33 .34 .

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 ro 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 os in g p er io d o f r e p or t in g p erio d( 1 ) ( 2 ) (I) (2) (I) (2) (3)

Place "(X)" after each asset A m o u n t T y p e ( e .g : ; V a lu e V a lu e Type (e.g., D a t e Valueexempt from prior disclosure Code l d iv ., r e n t , C o d e 2 M e t h o d buy , s e l l , mm/dd/yy C o d e 2

( A - H ) or i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) (. I-P)( Q - W )Norbelle L L CN e w E n t r e p re n e u r F u n dRollover IRA # 1

- Fidel ity Low Priced Stock- B a r on G r o w th

- W i ll i am B la ir In t l Grow th

- American Grow th

- Columb ia Acorn Class Z

- Dodge & Cox Stock

- H a r b o r I n t e r n a t io n a l- Jul ius B aer lnt l Equity

- Vanguard 500 Index

- Royce Premier

- Fidelity Cash Reserves

- Spartan 500 Index

- Colum bia Acorn lnt l Class Z

Rollover IRA #2

None K UB Dividend L U

D Dividend O T

Sold 12/15/10 J(par t)

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

S o l d 12/15/10 K( p a n )S o l d 12/15/10 J(pa rt)S o l d 12/15/10 L

I n t e r e s t P1

B uy 12/15/10 LB uy 12/15/10 K

( 4 ) ( 5 )Gain Identity of

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

transaction)

I. In co m e G a i n C o d es :( See Colu mns BI and D4 )

2. Valu e Codes(See Colu mns CI and D3)

3 . V al ue M et ho d C o d es{Sc c Colu mn 2 }

A =$ 1,000 or lessF = $ 5 0 , 0 0 1 - $ 1 0 0 . 0 0 0J =$15.000 or lessN = $250.001 - $500,000P 3 :$25.000.001 $50,000.000Q =AppraisalU =Book Valu e

B =$ 1 ,0 0 1 - $2 ,5 00G=$100,O01 - $ 1 ,000,000K = $1 5 ,0 01 - $50 ,000O =$ 500,001- $1 ,000,000R =Co s t ( R eal E s l a le Only )V =Oth er

C = $2 ,5 0 1 - $5 ,0 0 0HI =$1,000,001 -$5,000,000L =$50,001 -$100,000PI =$1 ,000,001 - $5,000,000P4 =Mo re than $50.000,000S =As s es s mentW =E s t imated

D=$5,001 - $15,000H2 =Mo r e~ an $5 ,0 0 0 ,0 00M=$100,O01 -$250,000P2 =$ 5,000,001- $25,000,000T =Cas h Mar k c t

E =$15,001- $50,000


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Name of Person ReportingCrot t y , Pau l A.


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( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" after each assetexempt from prior disclosure

35 . - H o ney w ell In t | B on d

36. - W a lt Di sn ey B on d

37 . - Cis co B on d38 . - B ot tl in g G r ou p LLC B on d

39. - OracleBon d40 . - K imber l y Clark Bond

41 . - Fe de ra l Fa rm C r . Bks Bond42 . - T V A B o n d43. - Fi de l it y C a sh Re se rve s

44. -Du Po nt B on d45 . - IBM B o nd46. -Anh eu s e r Bu s ch Bon d

47 . - W algreens

48 . -M er ck & Co .

49 . - FederaIFarm5 0. - Fe de ra IH o m e Lo an

B . C, D.Income during Gross va lue a t end Transact ions dur ing repor t ing per iodrep ortin g period o f reporting period

(1 ) (2 ) (1) (2) (1 ) (2) (3) (4) (5 )A m o u n t Type (e.g., Va lue V a lu e Type (e.g., Date Va l ue Gain Identity ofCode 1 div., rent, C o d e 2 Method bu y, sell, m m /dd /yy C ode 2 Code 1 buyer/se l le r(A-H) o r i n t . ) ( J - P ) C o d e 3 redempt ion) (J-P ) (A -H) (if private(Q -W ) transaction)

Redeemed 04/30/10 K

51 . - P f i z e r & C o .

1 . In co m e Ga in C od es : A = $ 1 .000 o r le ss B =$1,001 - $ 2.500 C = $2.501 - $ 5,000 D = $5.001 - $ 15,000( See Columns B 1 and D41 F = $ 5 0 , 0 0 1 - $ 100 . 000 G = $ 100,001 - $1,000,000 H 1 =$1 ,000,001 - $5,000,000 H2 =More than $5,000,0002 . Valu e Codes J =$15.000 or less K = $15.001 - $ 50.000 L =$ 50,001 - $ 100,000 M =$ 100,001 - $250,000(S ee Co )u re as C I a nd D3 1 N =$ 25 0,0 01 - $ 50 0,0 00 O -$ 50 0,0 01 - $ 1. 00 0,0 00 P I = $1 ,00 0,0 01 - $ 5,00 0,0 00 P2 =$5,000,001 - $25,000.000

P3 -$25,000,001 - $ 50.000,000 P 4 = M ore than $50,000,0003 . V a l ue M et ho d C o d es Q = A p p r a i sa l R =Cost (Real Eslate Only) S =As s es s ment T = C a s h M a r k e t( S ee C o l um n C 21 U =Book Valu e V - O t h e r W =E s t 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 gCrot t y , Pau l A.


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 fillng instructions.)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 I n c o m e d u r i n g( i n c l u d 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

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

exempt from prior disclosure 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)V a lu e V a lu e

C o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

(l )T y p e ( 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)Date Value Gain

m m /d dly y 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 )

52. - Ver i zon Comm un ica ti on s

53. - SBC

54. - McDonalds55 . - Con Edison

56. - General Dynamics57 . - W al -Mart

58 . - Phillip Morr is

59. - S h e l l I n t e r n a t io n a l60 . Verizo n Incom e Deferral Plan I n t e r e s t O T

B u yB u y

04/ 1 2 / 1 008/ 27 / 1 0

K

K

1. In co m e G a i n C o d es :( See Colu mns BI and D4 }

2. V al ue C o d es( See Colu mns CI and D3)

3.Value Method Codc~( See Colu mn C2 )

A =$1,000 or lessF =$50,001 - $100,000J =$15,000 or lessN =$250.001 - $500,000P3 =$25,000.001 - $50.000.000Q = A p p r a i sa lU =Book Valu e

B=$1 ,0 0 1 - $2 ,5 0 0G= $100~01-$1 ,000 ,000K =$15,001 -$50,0000 =$500,001 -$1 ,000,000R = C o s t (Re a l E~a te On ly)V =Oth er

C =$2,501- $5,000HI = $1 ~00 ,001-$5 ,000 ,000L =$50,001 -$100,000PI =$ 1,000,001 - $5.000,000P4 =Morelhan $50,000,000S =As s es s mentW = E s t im a t e d

D =$5,001- $15,000H2 =M or e th aa $5 ,0 0 0 ~ 0 0M=$1 0 0 ,0 0 1 - $2 5 0 ,0 00P2 =$ 5,000,00I -$25,000,000T = C a s h M a r k ~

E =$15,001- $50.000


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FINANCIAL DISCLOSURE REPORTP age 8 o f 9

Name of Person Re por t i ngC r o t t y , P a u l A .

Date o f Report05/I 1 /2011

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 . (lndicate part of report.)In 2010, I c on t inue d t o r e c e i ve pa ym e n t s f rom m y Ve r i z on Inc om e D e fe r r a l P la n (10/2010) . The t o ta l pa ym e n t s a r e shown i n l 1 l, supra.


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N ame of P e r son Repo r t ingC r o t t y , P a u l A .

D a t e o f R e p o r t05/11/2011

IX. CERTIFICATION.1 c e r t i f y t h a t a ll 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 , if a n y ) i sa c c u r a t e , t r 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 yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .I f u r th e r c e r t if 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 id 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 . , 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 .

Signatur e : S[ Paul A. Cro t t y

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 1 L F U L L Y F A L S IF I ES O R F A L L S T O F I L E T H IS 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 )

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

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Paul A Crotty Financial Disclosure Report for 2010