[{ NONE (No reportable positions.)

Transcription

1 AO 10 Rev FINANCIAL DISCLOSURE REPORT Report Required by the Ethics in Government Act of 1978 FOR CALENDAR YEAR 2012 (5 U.S.C. app ) I. Person Reporting (last name, first, middle initial) Court or Organization Crotty, Paul A. U.S. District Court (S.D.N.Y.) 05/06/2013 Title (Article JU judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge {Active) 7. Chambers or Office Address Sa. Report Type (check appropriate type) D Nomination D Initial Sb. D [2 Amended Report Date Annual D Final 6. Reporting Period 01/01/2012 to 12/31/ Pearl Street Room 735 New York, New York /MPO RT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. J. POSITJ0NS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. 5. II. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable agreements.) PARTIES AND TERMS I Verizon Income Deferral Plan (No Control)

2 Page 2of9 Crotty, Paul A III. NON-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. J 7-24 of filing instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I Verizon Communications (See VIII) $213, B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amou111 not required except for honoraria.) D NONE (No reportable non investment income.) SOURCE AND TYPE I ;,., ;;: ::!ll George Arzt Communications - Salary : IV. REIMBURSEMENTS -transportation, lodging, fo od, entertainment. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. 5.

3 Page 3 of9 Crotty, Paul A. 05/06/2013 V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) 12 NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. 5. VI. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) 12 NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 5.

4 Page 4 of9 Crotty, Paul A. 05/06/2013 VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP 34-60offitinginstructions.) D NONE (No reportable income, assets, or transactions.) A. B. C. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (J) (1) (1) (3) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) (J-P) (4) I. American Express B Dividend 12/20/12 L F Ameriprise Finl Inc. A Dividend 12/20/12 K E CBOE Holdings A Dividend 5/18/12 J Coca Cola c Dividend L T 5. Duke Energy Corp. A Dividend K T 6. Exxon Mobil B Dividend L T 7. General Electric B Dividend J T 12/20/12 K / 8. Hewlett Packard A Dividend I0/3/12 J 9. Medtronic A Dividend 5/8112 J 10. Microsoft A Dividend K T 11. Spectra Energy Corp. A Dividend K T 1 Stryker Corp. A Dividend K T 1 Teva Pharmaceuticals A Dividend K T 1 McDonalds A Dividend J T Buy 8/15/12 J 15. United Health Care A Dividend J T Buy J 16. Alliance Bernstein Capital A Interest L T 17. Fidelity NY Muni Fund A Dividend J T 1. Income Gain Codes: A =$1.000 or less B =$1,001 -$2,500 c =$501 -$5.000 D =$ $ E =$15.00t - $ (Sec Columns BI and 04) F =$ $ G =$ $ Ill =$ $ =More than $ Value Codes J =$ o rjess K=$ $ L =$50.00 t - $ I M =$ $ (Sec Columns Cl and 03) N =$ I -$ =$500,00 I -$ Pl =$t.ooo.ooj -$ P2 =$ $ P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market (Sec Column C2) U =Book Value V =Other W=Estimated

5 Page 5of9 Crotty, Paul A. 05/06/2013 VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP instructions.) of filing D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I ) (I ) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) (I) 18. Norbelle LLC None K u 19. New Entrepreneur Fund D Dividend L T 20. Rollover IRA #1 D Dividend N T Fidelity Low Priced Stock 2 - Baron Growth 2 - Baron Growth 2 - William Blair Int'! Growth 9/27/12 K J American Growth American Growth Columbia Acom Class Z Columbia Acom Class Z Dodge & Cox Stock Harbor International Royce Premier 3 - Royce Premier 3 - Fidelity Cash Reserves J 5/2/12 K K ] 9/27/12 K 3 - Spartan 500 Index I. Income Gain Codes: A =$1.000 or less B =$1,001 -$2,500 c =$2,501 - $5.000 D=$ $ E=$ $ (See Columns Bl and 04) F=$50,001-$ G =$ $ Ill =$ $ =More than $ Value Codes J=$15.000or less K=$ $ L=$50.00 I -$ M =$! $ {See Columns Cl and 03) N=$ $ =$500.00I - $ Pl =$ $ P2 =$ $25, P3 =$ $50, P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market (Sec Column C2) U=Book Value V=Other W=Estimated

6 Page 6of9 Crotty, Paul A VII. INVESTMENTS and TRUSTS --income, vat11e, transactions r1nc111des those ofspo11se and dependent chitdren; see PP 34-60offitinc instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period Place "(X)" after each asset exempt from prior disclosure Amount Code I (A-H) (I ) (I ) (I ) (4) Type (e.g., Value Type (e.g., Date Value Gain div., rent, Code2 buy, sell, mm/dd/yy Code 2 Code I or int.) (J-P) redemption) (J-P) (A-H) Value Method Code 3 (Q-W) (3) (5) Identity of buyer/seller (if private transaction) Columbia Acom Int'! Class Z Allianz Agic High Yield Buy 5/3/12 L Allianz Agic High Yield Buy L 38. Rollover IRA #2 E Interest Pl T Honeywell Int'! Bond Walt Disney Bond Bottling Group LLC Bond 2/6/12 K c 4 - Oracle Bond 2/6/12 K c 4 - Kimberly Clark Bond 4 - Federal Farm Cr. Bks Bond Redeemed 4/26/12 K TVA Bond Fidelity Cash Reserves IBM Bond Redeemed 11129/12 K Anheuser Busch Bond Walgreen's Merck& Co Federal Farm I. Income Gain Codes: A =$1.000 or less B $500 c =$501 -$ =$5,001-$ E =$ $50,000 (See Columns Bl and 04) f=$50.00l -$ G =$ I - $ Il l =$ $ H2 =More than $ Value Codes J =$ or less K=$15,001 -$ L =$50.00I - $ M =$ $ (Sec Columns Cl and 03) N=$ $ =$500.00I - $ Pl =$ $ P2 =$ $ P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2)" U=Book Value V =O ther W =Estimated

7 Page 7 of9 Crotty, Paul A. 05/06/2013 VII. INVESTMENTS and TRUSTS -income, va111e, transactions r1nc111des those of spo11se and dependent children; see pp of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. C. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I ) {I) (I) (3) (4) (5) Place "{X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div.. rent, Code 2 Method buy, sell, mmldd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private transaction) (Q-W) 5 - Federal Home Loan 5 - Pfizer & Co. 5 - Verizon Communications 55. -SBC McDonald's Con Edison General Dynamics Redeemed 1217/12 K Wal-Mart Phillip Morris Shell International 6 - Total Capital SA 6 - Hewlett Packard 10/25/12 K 6 -Federal Home Loan Bank Cons. Bond Buy 4/24/12 L General Electric Buy 10/11112 K Praxair Buy 10/29/12 K General Dynamics Buy 12/20/12 K 68. Verizon Income Deferral Plan E Interest N T 1. Income Gain Codes: A =$1.000 or less B =$1,00 I $500 c=$501 $ =$5.001-$ E=$ $50,000 (Sec Columns Bl and 04) F=$ $ G =$ $ HI =$1, $ =More than $ Value Codes J =$ or less K =$15,00 I $ L=$50,00I $ M=$ I $ (See Columns Cl and 03) N=$250.00I $ =$500.00I $ Pl =$1, $5, P2 =$ $ P3 =$ I $ P4=Mo re than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market (Sec Column C2) U =Book Value V =Other W=Estimated

8 Page 8 of9 Crotty, Paul A. 05/06/2013 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Jndica/e parlofreporl.} In 2012, I continued to receive payments from my Verizon Income Deferral Plan (10/2012). The total payment is shown in Ill-A, supra.

9 Page 9 of9 Crotty, Paul A IX. CERTIFICATION. I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ Paul A. Crotty NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) Committee on Financial Disclosure Administrative Office of the United States Courts Suite One Columbus Circle, N. E. Washington, D.C