Robert P Patterson Jr Financial Disclosure Report for 2009

8/3/2019 Robert P Patterson Jr Financial Disclosure Report for 2009

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ao ~ o I FINANCIAL DISCLOSURE REPORT a ~ o o ~ t ~ q , , i r e a ~ r t h e ~ t h i c sin G over nm ent Ac t o f 1978

Rev. 1/2010 FOR CALENDAR YEAR 2009 (5 u.s.c. ~pp. §§ 10t-lit)

I , P e r s o n R e p o r t i n g ( l a s t n a m e , f u ’ s t , m i d d l e i n i t i a l ) 2 , C o u r ~ o r O r g a n i z a t i O n 3, Date of Repo~

Patterson, Jr . , Robe~ P . U.S. D islxict Court , $.D.N .Y. 05/14/2010

4 . T it l e (A x tJ c l e II l j u d ge s i n di c at e a~ ti v e o r s e nio r s t a t~ s; 5 a. R ep or t T yp e ( c he c k a p pr o pr i a te ty pe ) 6. Reporting Periodm a g i s t ra t e j u d g e s i n d i c a t e f ~ l l - o r p a r t - t i m e )

[-~ Nomination, D a t e 01/01/2009

U,S. Distr ict Judge (senior) [] Initial [] Annual [] Final to, ! 2/31/2009

5 b. [ ], , Amende d Rep or t

7 . C h a m b e r s o r O f f ic e A d d r e s s 8 . O n t h e b a s i s o f t h e i n fo r m a t i o n c o n t a i n e d i n th i s R e p o r t a n d a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t i s , I n m y o p i n i o n , i n c o m p l i a n c e

U.S. District Court with applicable laws and reguh~tions,

Cham bers 2550, 500 Pearl St .

N e w Y o r k , N Y 1 0 0 0 7 ’Reviewing Officer D a t e

I M P O R T A N T N O T E S : The ins truc t ions accom panying th is form m ust be fo l lowed Com ple te a ll parls ,checking the NONE box for each part where you have no reportable information. Sign on lastpage.

I. POSITIONS. c~e~,~, ,~

[~ N O N E ( N o reportable positiorm.)

POSITION ~NAME QF OKGANIZATION/ENTITY

1 . B o a rd o f M a n ag ers T h e H a v en s R elie f Fun d So ciety

2.

3 .

4,

[~ N O N E (No reportable agreeme, ts.)

~ . P A R T IE S A F D T E R M S

1.



FINANCIAL DISCLOSURE REPORT N - 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 t

P a g e 2 of 8 Patterson , J r ., Robert P. 05 /14 /2010

III. NON-INVESTMENT INCOME. a~,o,a,g

A. Filer’s Non-In vestmen t Income

N O N E (No reportable non-investment income.)

~ SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e ’ s )

1.

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e st m e n t I n c o m e - lf you were married during anyportion of the reportingyear, complete this section.

(Do l lar amou n t n o t req u ired ex cep t for h on oraria . . )

[~ NONE (No r e p or tab le n on - in v e stm e n t in c om e . )

_DATE SOURCE AND TYPE

I.

2.

3.

4.

IV . REIM BURSEMENTS -(Includes those to spouse and dependen t chffdren; see pp. 25-27 of filing inscructiona.)

NONE (No repor table re im bursem ents . )

~ DATES L O C A T I O N PURPOSE ITEMS PAID O R P R O V ID E D

I.

2.

3.

4.

5.



FINANCIAL DISCLOSURE REPORT

[ N a m e O f P e r s o n R e p o r t i n g

I

Date of Report

P a g e 3 o f 8 Pa t te r so n , J r . , Ro b e r t P . 05/14/2010

[~ N O N E (N o reportable g~s.)

~ D E S C R J P T I O N

1 .

2.

3.

4.

5.

~ N O N E ( N o reportable liabilities.)

~REDITOR DESCRIPTION VALUE ~0DE

1. Jo h n H a nco ck Insura nce Po licy Lo a n J

2. National Life Insurance Insurance Policy Loan j

3. New England Li f e (now Met Li fe) Insurance Policy Loan J

4.

5.



N a m e o f P e r so n R e p o r t i n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT

[ Patterson, Jr., Robert P.a g e 4 o f 8 0 5 / 1 4 / 2 0 1 0

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 , . ,, v a l u , , ~ , , n s a , n o ~ s a , a u ~ , h o , e ofs~o~e ~ud dependent children; see p p . 3 4 - 6 0 ofl"dtng instructions.)

N O N E ( N o repor table incom e, assets , or t ransact ions . )

D e s c r i p l i o n o f A s s e t s [ n e t ) 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 ~ " r i o di reporting period o f r e p o r t i n g p ~ r i o di n c l u d i r t g t r u s t a s s e t s )

I’-(’)---’-(2)

(1)t~

(I)-’~)--~(3)-~ (’~’ ’r,,’

(5 ) 1

P l a c e " ( X ) " a f t e r e a c h a s s e t [Amount ] Type (e.g,, Value Value T y p e ( e . g . ,I Date ] Value [ Gain

I d e n t i t y o f

C o d e Ix e m p t f r o m p r i o r d i sc l o s u r e [ C o d e t [ d i v r e n t , Code 2 M e t h o d buy, sell, [ m m / d d / y y l C o d e 2] b t t y e r / s ¢ l l e r

~ ( Q - W ) t r a n s a c 6 o n )

! 1 . V angu ar d G r ou p (Keog h ) W indsor I I Fu nd E Div idend O T 01/15/09 K Partial mandatoryredemption

2. Vanguard Group (Keogh) Int . Term Corp. E Interest N T 0!/I 5/09 K Partial mandatoryFun d redemption

3. Metropo litan Life Ins. A Div idend J T

4. Clarkstown Scho ol Dist. 4.5%4/15/10 B Interest L T

5. N e w Roc he l le C / Iv 4 % 9 /1 /03 B Interest K T

6. N.Y. State Env. Fac , 5.6% 9/15/13 A Interest J T

7. N.Y. State Env. Fae , 5.25% 6 /15/14 C Interest L T

8. Otsego Cnty NY lndl . Dev. Agy 5.125% C Interest L T1 1 / 1 1 1 2

~ 9 . Orleans County , NY 4.9% 12/15/14 B Interest K T

i 0. C h a se B an k IR A C a sh E qu iv a le n ! A Interest J T

[ 1 . Chase Bank IRA Cash Equivalen~ A Interest J T

1 2 . C ap i~! One Bank A I n t e r e s ~ I T For~n~rly Gree~poin~Sav ing

1 3 . N Y M o~y Fund P re ~n ie ~ A Interest M T 01/10/0~ For mer ly NY T ax Fr eelncom

1 4 . Nuco~ A Div idend K T Bu y 01107/09 J

I 5. Nu cor A Div idend K T B uy 07/23/09 J

1 6 , ICX Technology Inc, N one K T B uy ’ 1 2 /t7/0 9 ’ J

!7 . 1CX Technology Inc. N o n e K T B uy 12/18/09 K



FINANCIAL DISCLOSURE REPORT r ~ . m e o f P e r s o n R e p o r t i n g

P a g e 5 o f 8 Pa t te r so n , J r . , Ro b e r t P .

]

05/14/2010

N O N E ~ o reportable income, assets, or ~ansactions.)

A. B. ~ C. [ D .D e s c r i p t i o n o f A s s e t s Income dung G r o s s v a l u e a t e n d Transaefiom ~fing r~oflin8

(including ~t ~s~ts) r ~ i n g p e r i o d of re~ing ~fi~

O) [ (~) 0) (~) 0) (2 ) -(3) ~4) (5 )

P l a c e " ( x ) " a f t e r e a c h a s ~ t ~nt ~ T~e (e.g., Value Value ~ (e.g., Value Gain Idcnti~ ofex~pt from prior di~losure C o d e I d i v . , r e n t , C o d e 2 ~ M e ~od buy, sell, ~d~ ~ C~e 2 C o d e I buyer/sell~

~ ( A - H ) o r i n t . ) ( J - P ) ~ C o~ 3 ~ion) ~ [ (J-P) [ (A-H) [ (ifp~ate

1 8 . Co~, Inc. N o n e K T

’ i 9 ~ D ~]’~’Quip Cov .’CL-B N o n e K T

20 . G~gle , Inc . N o n e K T B uy 04/02/09 J

21 . Efiesmn L M Tel Co. A Div idend K T B uy 04/03 /09 K

2 2 . Ex x on Mobi l C o~ . B Div idend K T

2 3 . IB M A Div idend L T

" ~ 4 . ’ " ’ Helmef ich & P a ~ e I nc . A Div idend S o ld 08/05/09 J C

~ 5 . M~c o H ~lth S o lutio n s N one K T

" 2 6 . Monster Worldwide, Inc. N one K T B uy ] 1 ~1 4 /0 9 K

~7 . Q u e s ~ r C o ~ . A ~" Dividend K T

28 . Pr~r & G~ble A Div idend K T

2 9 . Teteflex Inc. A Div idend K T

30 . T ESC O C or p . N one J T

31 . lgene Biotechnology Inc. (WTS) N one J T No value

" 3 2 . N.Y.S. Pow er Authority 5.625% 1/1/10 A Interest J T

3 3 . Prog ress Energy , Inc. Contingent Value N o n e J T No v a lueObligation

~4. Ultra Life Batteries None J T Sold 12/01/09 J Loss(part)

l , in c o m e G ~ i n C o d e s : A = $ I , ~ 0 o r l e ~ B = $ 1 ,0 ~ l - $ 2 ,5 0 ( I C = $ 2 .5 0 1 - $ 5 ,0 0 0 D ~5,~1 - S15,~ E =SlS,~l - $50.~



FINANCIAL DISCLOSURE REPORT S a m . o r P . ,~ o ~ R e p o , ~ . g

P a g e 6 o f 8 Pa t te r so n , J r , , R o b e r t P . 05/14/2010

NO ~ ~oreportable income, assets, or ~ansactiom.)

A. B. C. ~ D .~scfip~on of ~e~ lncom~ du~ag Oro~ value at end~, T~o~ ~g r~ning ~fiod

(~cluding ~t asmts) r~iag ~od offering p¢fi~

(l) (2 ) (~) (2)

Place "(x)" ~¢r e~h a~et ~ount [ T~ (e.g., Value Value~

T~ (e.g. , Identi~ ofexempt ~m prior disclosure ,. C~e I a l l y . , r e n ~ C o d ¢ 2 ~ M e t h o d b~. ~11, buy~/~ll~

35. B ~k o f A me r ica A D i ~ d e n d K T B uy 12/03/09 K

36 . JP Morgan Ch~e P~ ~ui~ ne~sito~ A Div idend K T B uy 03119/09’ JS h a r ~

3 7 . New Yo & NY for P r io r ~su es ~ e 8]1 /1 3 B In . res t J T B uy 01/21/09 L

38 . N e w Y o r k ~Y G O B O S B o n ~ ~0 6 J D u e C Interest M T B uy 0 1 /0 81 ~ M6 / 1 1 2 7

3 9 . N e w Y o r k S T D O R M A U ~ R E V S D u e C Interest L T B uy 1 2 1 1 9 / 0 9 L7 / 1 ] 2 1

4 0 _ ’ Tfiborough Bridge & Tunnel Auth Due C Interest L T B uy 07/15/09 L

41 . New York Ci~ Transitional Due 8/I /I 8 A Interest L T B uy 101261~ L

42 . New York ST DO~ AU~ ~VS Due C Interest L T B uy 02/19/09 L

43 .

£’2..... w

45.

I . lacorrm Gait~ Cod~: A = $ 1 . 0 0 0 o ~ l e ~ B - 5 1 , 001 . $2 , 5 00 C =$2 ,50 1 - $5 ,0 0 0 D = $ 5,0 0 ! - $ t5,0 0 0 E ~$ 1 5,0 0 1 - $50 ,0 0 0( S ~ C o l u m n s B | a n d D4 ) F’ =$50,00 | - $ I0) ,000 O = $ |0 0,0 0! - $ 1, 00 0,0 00 H I ~$ 1,0 0~,0 01 - $ 5,0 00 ,D 00 1 t2 =M o re th i~

2 . V a l u e C o d ~ J ~$15,000 or les~ K = $15 , 00 | . $5 0 , 000 L =$~ i0 ,0 0 1 . $1 0 0 ,0 0 0 M =$1 0 0 ,0 0 1 - $2 50 ,0 0 0( Se e C o l u m ns C ] a nd D 3 ) N =$2 50 ,0 0 1 . $3 0 0 ,0 0 0 0 = $50 0,0 01 - $ 1,0 00 ,0 00 P | = St, 00 0, 00 1 - $ 5, 00 0, 00 0 P 2 = $ 5 ,0 0 0 . 0 0 1 -

P3 =$25,000 ,001 - $50 ,0£~0,0~0 e 4 = Mo re t h e m $ 5 0 ,0 0 0 ,0 0 03 . Va l u© M e t h o d C o d e a Q =A ppraisal R =C o ~ (Rea l Esta te O n b ’

) S = A s s e ss m e nt T = C a s h M a r k e t(See Coturan C2. . ) U = Bo o k Va l u e V ~:Other W =Esfirlaated



FINANCIAL DISCLOSURE REPORT N . = e o f ~ ’ e ~ . R . ~ , .i .g O . t ~ o f R . ~ , . t

P a g e 7 o f 8 Pa t t e rson , J r . R ober t P . 05/14/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Thro ugh an oversight due to chan ge of clearing broker in January 2007, I failed to list a purchase by of Symb ol Techno lgies in my Ma y 2006 FinancialDisclosure Report. Purchase wa s on 5/8/06 for just over $15,000. Sale w as mad e on 1/I 0/07, as reflect~ in this Report for 2007.



FINANCIAL DISCLOSURE R EPORT N . ~ o f P .r ~ o , a . p o ~ . g W t e o ~ n . p o ,

Page 8 of 8 Patterson, Jr., Robert P. 05 /14 /2010

IX. CERTIFICATION.

I certify that a ll information given above (including information perta ining to my spouse and minor or dependent children, if any) isa c c ura te , true , a n d c o m ple te to the b e s t o f my kn o w le d g e a n d b e l ie f, a n d tha t a n y in fo rm a tio n n o t r e po r te d w a s w ithhe ld b e c a use i t me t a pplic a b le s ta tuto ryprovisions permitting non-disclosure .

I fur the r c e r t ify tha t e a rn e d in c o me f r o m o utsid e e mplo yme n t a n d ho n o r a r ia a n d the a c c e pta n c e o f g i f ts whic h ha v e b e e n r e po r te d a r e incompliance with the provisions of 5 U.S.C. app. § 501 et. seq. , 5 U.S.C. § 7353, and Judicinl Conference regulations.

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 I LF U L LY F A L S IF I E S O R F A I LS T O F I LE 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 VI 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 )

FILING INSTRUCTIONS

M ail s ign ed o r ig ina l and 3 a dd i tional copies to :

C o m m i tt e e o n F i nanc i a l D i s cl o s ur eAd minis tra t ive O f f ice o f the U ni ted S ta tes Co urtsSui te 2-301O n e C o l u m b u s C i rc le , N . E .W a s h in g t o n , D . C . 2 0 5 4 4

Documents

Robert P Patterson Jr Financial Disclosure Report for 2009