Robert P Patterson Jr Financial Disclosure Report for 2010

8/3/2019 Robert P Patterson Jr Financial Disclosure Report for 2010

1/9

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person R epor t ing ( las t name, f i r s t , middle ini t i a l )Patterson, Jr. , Robert P.

4. Title (Article 111 judge s indicate active or senior status;magistrate judges indicate full- or part-t ime)

U.S. Dis t r ic t Judge ( senior )

7. Chambers or Off ice AddressU.S. Distr ict CourtChambers 2550, 500 Pear l S t .New York, NY 10007

2. Court o r O rganizat ionU.S. Distr ic t Cour t, S.D.N.Y.

3. Date of R e p o r t04/I 9/20

5a. Repor t Type (check appropr iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the b~asis of the informat ion contained in th i s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

Reviewing Officer Date

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

to1 2/31 /201 0

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 information. Sign on last page.

I . P O S I T I O N S . ( R e p o r t i n g indiv idual on ly ; seepp. 9 -13 o f f i l l ng in s truc t ions . )~] N O N E (No reportable positions.)

P O S I T I O N NAME OF ORGANIZATION/ENTITY

2.3.

4.5.

I I . A G R E E M E N T S . ( R e p o n i n g i n d i v id n a l o n t y ; ~ e ~ v v . 1 4 - 1 6 of f!ling instructions.)~] N O N E (No repor tab l e agreements . )

D A T E P A R T I E S A N D T E R M S


2/9

FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r t i n gPatterson, Jr., Robert P.

D a t e o f R e p o r t04/19/2011

I l L N O N - I N V E S T M E N T I N C O M E . m e p o r t i n g individual and spouse; see pp. 17-24 of f!ling instructions.)A. Filers Non-Investment Incom e

~] 1~o reportab le income. )ONE non-investmentDATE SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t sp o u s e s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - l f you were m arried during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

1 .

2.

3.

4.

I V . R E I M B U R S E M E N T S --transportation, lodging, food, entertainmen~(Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.)

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

1 .2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


3/9


N a m e o f P e r s o n R e p o r t in gPatterson, Jr., Robert P.

D a t e o f R e p o r t04/19/2011

V . G I F T S . a n a u d e s those to spouse and depende nt children; see pp. 28-31 of fil ing instructions.)~-] N O N E ( N o repor table g i f ts . )

SOURCE1 .2.3.4.5.

D ES CR IP TIO N V A L U E

V I . L I A B I L I T I E S . t Z n c l u d e s those o f s p o u s e and depe ndent children; seepp. 32-33 of fil ing instructions.)[~ N O N E ( N o reportable liabili t ies.)

C R E D IT O R D E SC R IP T IO N VALUECODE1 . Jo hn H an cock Insu ran ce P o licy L o an J2. N atio n a l L ife In su ran ce Insu ran ce P o licy L o an J3. N ew En glan d L ife (n ow M et L ife ) Insu ran ce Po lic y L oan J4.5.


4/9



D a t e o f R e p o r t04/1 9/201 1

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 f ! l ing instruction~)NONE (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 l u d i n g t r u s t a s s e t s )

P l a ~ e "(X)" ~ifter each asset

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 drepor t ing per iod o f r e p o r t i n g p e r i o d

(1) (2) (1) (2)Amoum T y p e ( e . g ., Value ValueC o d e 2 M e th o d( J - P ) C o d e 3

( Q - W )

(1 ) (2) (3) (4) ( 5 )Type (e.g., Date V al ue Gain Ident i~ ofbuy, sell. m m/dd/yy Code 2 Code 1 buyer/seller

redemption) ( J = P ) (A-H) .... (iprivatetransaction)

1 . Vangu a rd Grou p (Keogh) Windsor I I Fu nd E2. Vangu a rd Grou p (Keogh) In t . Te rm Corp . EFun d3. Metropolitan Life Ins. A4 . C l a r k s t o wn S c h o o l Di s t . 4 .5 % 4 / 1 5 / 1 0 B

Div idend OInterest N

Div idend JInterest

T 01 /1 5/1 0 K Par t ia l manda toryredempt ionT 0 1 / 1 5 / I 0 K Par t ia l manda toryr e d e m p t i o nT

Redeemed 04/15/I 0 K Redempt ion

5. New R oche l le Ci ty 4% 9/1 /03 B Interest K6. N.Y. Sta te Env. Fac. 5.6% 9/15/13 A In terest J

7. N.Y. S ta te Env . Fac . 5 .25% 6 /1 5/1 4 C Interest L8. Otsego Cnty NY Ind l . Dev . Agy 5 .1 25% C Interest L11/1 /129. Orleans Cou nty , NY 4.9% 1 2/1 5/1 4 B Interest K

TT

1 0 . Chase Bank IRA Cash Equ iv a len t A Interest J1 1 . Chase Bank IRA Cash Equ iv a len t A Interest1 2 . C a p i t a l O n e Ba n k A Interest

JJ

TT

1 3 . N Y M o n e y F u n d P r e m i e r A Interest14. Nucor A Div idend

MSold 12/09/10 K i Loss

1 5 . N u c o r A Div idend Sold 12/09/10 J Lo ss

1 6 . I C X T e c h n o lo g y I n c . N o n e So l d 10/07/I 0 J B

1 7 . IC X T echno lo gy Inc . N o n e So l d 10/07/10 K D

i S e ~ @ ~ g i ~ a D ~ ) ~ ~ g g 6 ! ~ i ~ i O 0 ; O 0 0 .......G - - S I O 0 , O 0 ~ m , O 0 0 , O 0 02. Value Codes J =$ 15,000 or tess K =$ 15,001 - $ 50,000

(See Columns C 1 and D3) N =$250,001 - $ 500,000 O =$500,001 - $ 1,000i000P3 =$25;000,001 - $ 50,000,0003. Value Method Codes Q = Appra i s al R =Cost (Real Estate Only)

( See Col umn C2) U =B ook Valu e V =Oth er

C =$2,501 - $5,000HI =$1,000,001 - $5,001),000L =$50,001 - $ 1 00,000P 1 =$ 1,000,001 - $5,000,000P 4 M ore th an $ 5 0 ,0 0 0 ,0 0 0S =Assessmen tW =Es t ima ted

D =$5,001 - $15,0001-12 =More than $5~000,000M --$100 001 ~ $250 000P2 =$5,000,001 - $ 25;000i000Y =Cash Mark e t

E =$15,001 - $50,000


5/9



D a t e o f R e p o r t04/19/2011

VII. INVESTM ENTS and TRUSTS - i .... e , value, t ......lons (Includes those of sp ......d dependent children; seepp. 34-60 of filing lnstructlons.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing Gross value at end Transactions during reporting period

(including trust assets) repo rting period o rep ortin g p erio d( 1 ) ( 2 ) (1) (2) .... (1 ) ..(2) (3) (4) ( 5 )

Place "(X)" after each assel A mo un t Type (e.g.. V alue V alue Type (e.g., Date:. Value Gain Identity ofexempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sel l , mm /dd /y y : .C ode 2 C ode I .buyer/sel ler[(A-H) o r i n t . ) ( J - P ) Code3 : tedeinpti0n) ( J - P ) ( A -H ) ( i f p r i v a t e

(Q-W) transaction)

1 8 . Copart, Inc. None K1 9 . Dril-Q uip Corp . CL-B None L20 . Google, Inc. None K

TTT

Sold 11/10/10 J D(part)

2 t. Ericsson L M Tel Co. A Dividend K T22 . Exxon Mobi l Corp . A Div idend K T23. IB M B Dividend L T24 . BG C Partners B Dividend K T B uy 03/04/10 K25 . M edco H ealth Solutions None K26 . M onster W orldw ide, Inc. None K T

27 . Ques ta r Co rp . A Div idend J T2 8. Pr oc tor & G am b le A Dividend K T29 . Telef lex Inc. A Div idend K T30 . T E S C O C o r p . N o n e So l d 12/09/10 J L o s s

31 . Igene Biotechnology Inc. (WTS) N o n e J No value32 . N.Y.S . Power Au thor i ty 5 .625% 1 /1 /1 0 A Interest J 01/04/10 J Redemption33. Progress Energy, Inc. Contingent Value NoneObligation34. Ultra Life B atteries None S o l d . 11/17/10 J

N o v a lu eLo ss

i : i f i c0mc Gai n 0 d ~ S : : A =$i ;000 or le ss B =$ 1,001 - $2,500(S ee Co lu mns B I and D 4) F =$50,001 - $100,000 G =$ 100,001 - $1,000,000

2. Va lu e Codes J =$15,000 or less K =$15,001 - $50,000(See Colurrm s C 1 and D3) N =$ 250,001 - $500,000 O =$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q = Appra i s al R =Cost (Real Estate Only)(S ee Co lu mn C2 ) U =B ook Va lu e V =Oth er

C =$2,501 - $ 5,000 D =$ 5,001 - $15,000 E =$15,001 - $50,000H 1 = $ 1 ; 0 0 0 ; 0 0 1 : : $ 5 ; 0 0 0 ~ 0 0 0 H2 =More than $5~000;000L ~$50;00! ~ $100;000 M --$i0 0 ,0 0 1 = $2 5 0 ~0 0 0 :

P 1 $ 1 ~ 0 0 0 ~ 0 0 1 ; $ 5 , 0 0 0 ~ 0 0 0 P2 --$5,000;001 - $25,000,000P4 =More than $50,000;000 T =Cash Mark e tS =Assessmen tW =Estinlatcd


6/9

FINANCIAL DISCLOSURE REPORTPage 6 of 9 Ia m e of Person Repor t ing Patterson, Jr., Robert P. Date of Report04/19/2011

V I I . I N V E S T M E N T S and T R U S T S - i .... e , value, t ......ions ( Inc ludes those of spouse and dependent chi ldren; seepp. 34-60 of ~ding b~s t ruct ions . )N O N E (No reportable income, assets, or transactions.)

35 . Ultra Life Batteries N o n e So l d 11/18/10 J Los s

36 . B a n k o f A m e r ic a A Div idend Sold 01/08/10 K A37 . JP Mo rg an Chase PFD Equi ty Dep o s i to ry N o n eShares38 . New York NY for Pr io r Issu es Du e 8 /1 /1 3 C Interest K T

Sold 01/06/10 K

39 . New York NY GO BD S Bonds 2006J Du e C Interest M T6/1/2140 . N e w Y o r k ST D O R M A U T H R E V S D u e C Interest L T7/1/2141 . N e w Y o r k ST D O R M A U T H R E V S D u e C Interest K T2/15/2742 . T r i b o ro u g h B r i d g e & T u n n e l A u t h D u e C Interest L T11/16/1743 . New York Ci ty Trans i t iona l Du e 8 /1 /1 8 C Interest L T

4 4 . N e w Y o r k C i ty T r a n s i t io n a l D u e 1 1 / 1 / 28 C Interest L T

Bu y 07/23 /1 0 KL

Sold 03/01/10 L( p a r t )Bu y 03/01/10 M

Loss

4 5. M e tr op o li ta n T r a ns it A u th o ri ty B Interest L T Bu y 07/01/10 M46 . N e w Y o r k ST T W Y A U T H G E N B D S D u e1/1/3047 . Digita l Realty Trust

Interest K T Bu y 06/29/I 0 KNone K T Bu y 12/I 4/10 K

48 . K im co R ealty C o rp N on e K T Bu y 11/12/10 K49. Molex Inc. N o n e K T Bu y 10/06/I 0 K5 0 . N u c o r C o r p . A Div idend .1 T Bu y 11/03/10 J51 . Occiden ta l Pe te Corp . A D i v i d e n d K T B u y 04/14/10 K

1.7ncome Gain Codes:(S ee Co lu mns B I and D 4)

2. Value Codes(S ee Co lu mns C1 and D 3)

3.Value Method Codes(S ee Co lu mn C2 )

=$1,000 Or less B =$ 1 ,001 - $ 2,500 c =$ 2,501 - $ 5,000 D =$5,001 - $1 5,000 E =$15,001 - $50,000F--$50,00i ~ $100;000 ... .. . . .. . G = $ ] 0 0 1 0 6 1 - - $ i i0 0 0 1 0 0 0 H 1 = $ i , 0 0 0 i0 0 i : $ 5 , 0 0 0 0 0 0 H 2 = M o r e i h a n $ 5 ;0 0 0 ;0 0 0 :J =$15,000 or less K =$1 5,001 - $50,000 L =$50 001 - $100 000 M = $ 1 0 0 0 0 ! $ 2 5 0 ;00 0= $2 5 0 ,0 0 1 - $ 5 0 0 ,0 0 0 O = $ 5 0 0 ,0 0 1 - $ 7 , 0 0 0 , 0 0 0 ~ 1 = $ 7 , 0 0 0 , 0 0 i - $ 5 ; 0 0 0 , 0 0 0 V ~ = $ 5 , 0 0 0 ;~ 0 i ~ $ ~ 5 ; 0 0 0 ;0 0 0p3 =$25,000,001 - $50,000,000 P4 =More than $50 000,000 :

=Appraisal R =Cost (Real Estate Only) S- -Assessment T = C a s h M a r k e t=Book Value V =Oth er W =Es t ima ted


7/9



D a t e o f R e p o r t04/19/2011

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; see pp. 34-60 of fillng instructions.)[] NONE (No reportable income, assets, or transactions.)

A, B. C. D.Desc rip tion of A ssets Incom e du ring Grossl Value at end Transactions during reporting period

(including trust assets) r~p~ing period ..... ofreportin~(1) (2) (1 ) (2) (1 ) (2): (3) (4) (5)

Place "(X)" after each asset ~ m o u n t Type (e.g., V alue V alu e Type (e.g., Date:, Value Gain .......... Identity ofexempt from prior disclosure Code 1 div. rent, Co d e2 Method buy, sell , mm!dd/yy.. Code2 Codet. : : . ,.~: . : ,buyer/se l ler(A-H) o r i n t . ) (J-P) Code 3 redem ption) (J-P) (A -H ) , ....... (if private

( Q- W) transaction)

52 . Rand Logistics Inc. None K T B uy 05/24/10 J5 3. Q EP Res ou rc es A Dividend K T Spinoff 07/07/10 K(from line 27)

l.lncomeO~inCbdes: : A~Sii000O~ie~s B=$1 , 001 , $2 , 500 C=$2~50i-$5~000 : :: D = $ 5,001 -$ 1 5 ,000 E= $ 15,001 -$ 50,000(se6 C61u~ Bi ~hd D4) ...........F =$50~00i 2 $100;000 G :$100;001 2 $1,0001000 Hl ~$I ;000;001 ~$5~000;0~ : H2 =M0re &an $5~000;000 ..... .( S e e C o l u ~ s C I a n d D 3 ) N = $250,001 - $500,000 O = $500,001 - $1,000,000 P i~ $1 0 00 00 i ~ g S~ 00 0~ 00 0 ~ ~$ 5~ 00 0; 00 1 ~ $ 25 ~0 00 ,0 00

P3 = $25,000,001 - $50,000,000 P4 =M ore than $50;0b0~ 0003 . V al ue Met hod Cod~ Q =A ppra i sa l R =Cost (Real Estate Only) S = A s s e s s m e n t T ~: Market( See Col umn C2) U =B ook Valu e V =Ot her W =Est ima ted


8/9


N a m e o f P e r s o n R e p o r t in gPa t t e r s o n , J r ., R o b e r t P .

Date of Report04/19/2011

VIII . ADDITIONAL INFORMATION OR EXPLA NATIONS. (lndicate part of report.)New Yo rk ST DOR M A UTH REV S du e 7 /1 /21 was e r roneou s ly l i sted twice on the 2009 Repor t . The second en t ry has been de le ted on the 201 0 Repor t and #40 i sthe single entry for this Asset.


9/9


Name of Person Repo rt ingPat terson , J r . , Rober t P.

Date of Report04/19/2011

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 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 in 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 , i f a n y ) i sa ccu r a t e , t r u e , a n d co m p le t e t o t h e b e s t o f m y kn o w le d g e a n d b e l i e f , a n d th a t a n y i n f o r m a t io n n o t r e p o r t e d w a s w i th h e ld b e ca u se i t m e t a p p l i c a b l e s t a tu to r yp r o v i s io n s p e r m i t t i n g n o n - d i s c lo su r e .I f u r t h e r c e r ti f 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 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 wh 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 w i th th e p r o v i s io 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 Ju d i c i a l C o n f e r e n ce r e g u l a t io n s .

Signature: S/Robert P. Patterson, Jr.

N O T E : A N Y I N D 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 I 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 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 )

Co m mi t t e e o n F i n a n c i a l D i sc l o s u r eA dm inis t ra tive Off ice of the Uni ted S ta tes Cou r tsSui te 2-301O n e C o l umb us C i r c le , N .E .W a s h i n g t o n , D .C. 20544

Documents

Robert P Patterson Jr Financial Disclosure Report for 2010