[2 NONE (No reportable positions.)

Transcription

1 AOlO Rev FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2011 Report Required by the El/1ics in Goremmml Ac/ of1978 (5 U.S.C. app JI) Person Reporting (last name, first, middle initial) Court or Organization Dale or Reporl Amon, Carol 1 U. S. District Court, EDNY 05114/2012 t Title (Article 111 judges indicate acth.'e or senior status; magistrate judges indicate full- or part-time) Article Ill Judge Sa. Report Type (check appropriate type) D Nomination Dale D lni1ial [l Annual Sb. D Amended Report D Final 6. H.rporting Period 01/01/2011 to 12/31/ Chambers or Orfice Address 225 Cadman Plaza East Room 908S Brooklyn, New York IMPORTANT NOTES: The instructions accompanying this form must befollowetl Complete all parts, checking the NONE box for each part where you have no reportable information. Insert signature 011 last page. P OS ITJ 0 NS. (Reporting imlil id1111l only; see pp of filing instructions.) [2 NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I AGREEMENTS. (Reporting i11tlil'itl1111/ 1mly; see pp of filing imtnu titm.) [2 NONE (No reportable agreements.) PARTIES AND TERMS

2 Page 2of7 Name or Person H.eporting Amon, Carol B. Date of Heport 05/14/2012 II N 0 N-INVESTMENT IN co ME. (Reporting i111/fritl1111/ 1111tl.1p1111.1e;.1ec pp. 17-U <if filing imtructiom.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) 2011 Brooklyn Law School - Teaching $1, B. Spouse's Non-Investment Income... If you were marriet11!11ri11g any portion of the reporting year, comptetethi.\.\ edim1. (J>nllar amount not required except for honoraria) 0 NONE (No reportable non-investment income.) SOURCE AND TYPE 2011 Self-Employed Attorney - Law Partnership istribution D IV. REIMBURSEMENTS -tr1111.1port11tim1, lmlgi11g,fiwtl, e11tert11i11me11/. (Includes those to spouse and dependent children; see pp offiling i11stn1ctions.) D NONE (No reportable reimbursements.) SOURCE LOCATION PURPOSE ITEMS PAID OR PROVIDED F ederal Bar Council October 28-30, 2011 New Paltz, N ew York Se minar Transportation, lodging and food Pepperdine University School of Law March 16-18, 2011 Malibu, California Lecturer Transportation, lodging and food Federal Bar Council May 3, 2011 _N _Y_, _ N _ Y L _ a _ w _ D ay _ D _in _ n _ e _ r F_ o _ od

3 Name of Person Reporting Date of Hcport Page 3of7 Amon, Carol B. 05/14/2012 V. GIFTS. (/11d11tfes those to.\po11se mu/ t!epe11tle11t chi!tlre11; see pp offilin;. ilutr11ctio11s.) [Z NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE V LIABILITIES. (/11c/11des t/10.\ e of.\pmue mu/ t!epemle11t d1ilt!re11;.\"ce pp of Jilin;. ilutr11l tio11s.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE Passumpsic Bank Mortgage on rental property - Newport, Vennont (Part VII, Line 19) M

4 ... FINANCIAL DISCLOSURE REPORT Name of Person l{eporting Date of l!eport Page 4of7 Amon, Carol B. 05/14/2012 VI INVESTMENTS and TRUSTS - i11cl!me, m111e, 1rmm1ctiom (111d1u1e..- 11w..-e 1!/spl!u..-e """ t1epem1e111 c1ti1t1re11; see PP !/ ;;1;11;: i11s1mcri1111s.j 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 nust assets) reporting period ofreporting period (I) (2) (I) (I) (2) (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 (2) (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (ifprivate (Q-W) transaction) IRA Accts Citibank, Bklyn,NY B Dividend K T Fidelity Ad.DynamicCapitalAppFud Law Partnership,Cap.Acct None M T f"<<-...,,.-"-""::w.w,,.. AA '"" Pension Plan A Interest J T na -" l PrfShrPlan A Interest J T Citibank NA, Money Market B Interest M T 6. FidclityContraFund II A Dividend J T 7. Fidelity IndcpcndenceFund A Dividend J T 8. Aim Dynamics FD Class B (Name change A Dividend J T Invesco/Aim 9. Fidelity Ad. Equity Growth A Dividend K T 10. Fidelity Ad. Tech Fund A Dividend J T I Legg Mason Partners Financial Services A Dividend J T Fund B 1 Legg Mason Partners Large CapValue Fund A Dividend J T B 1 MFS Moderate Allocation B Dividend M T 1 Chase Select Checking A Interest J T 1 Encore Networks, Inc. (Sec VIII) None M T 16. Rental Property Newport, Vt (SecVIII) None N w 17. Equitable Variable Life Policy B Interest J T Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 -$50,000 (See Columns DI and 04) F =$50,001 - $100,000 G=SI00,001-$1,000,000 III =$1,000,00 I - $5, H2 =More than $5,000,000 Value Codes J =$15,000 or less K =$15,001 -$50,000 L=$50,001-$100,000 M =$100,001 - $250,000 (See Columns Cl and 03) N =$ I - $500,000 0 =$500,001 - $1,000,000 Pl =$I,000,00 I - $5,000,000 P2 =$5,000,00 I - $25,000,000 PJ =$25,000,00 I - $50,000,000 P4 =More than $50,000,000 VaJue Method Codes Q=Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

5 Name of rcrson Reporting Date of Report Page 5 of 7 Amon, Carol B. 05/14/2012 VI INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) iumme, ""'"e, 1r , 1io11s r1udut1e. 11iose of-'pouse t1epe1111en1 d1ilirm;..-ee PP Ji1i11:: im1rmtio11,..j A. B. c. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (I) (2) (I) (2) (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.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (2) (Q-W) D. (4) transaction) 18. Alternative Construction Tech, Inc. (See None J T Vlll) 19. Rental Property Newport, VT (See Vlll) D Rent M R 20. Cranston I LLC (See VIII) None J u 21 Aim Technology FD A Dividend J T 2 Sonic Mountains Inc. None N u 2 Citibank CD A Interest J T 2 Johnson & Johnson Stock A Dividend J T 2 Paws Plus, Inc. (Vlll) None Expired 04/26/11 J 26. Spoleto Corp. (See VIII) c Interest M T 27. Pimco Total Return Fund B Interest M T Buy 01/15/11 M 28. lntralinks Common None Buy 11/17/11 J 29. lntralinks Common None Sold 12/07/11 J J. Income Gain Codes: A =$1,000 or less B =$I,00 I - $2,500 c =$2,501 $5,000 D =$5,001 -$15,000 E =SI 5,001 -$50,000 (See Columns DJ and 04) F =$50,001 -$100,000 G=SI $1,000,000 HI =$I,000,00 I $5,000, =More than $5,000,000 Value Codes J=$15,000orless K =$15,001 -$50,000 L =$50,001 $100,000 M =$100,001 -$250,000 (See Columns CJ and DJ) N=$250,00 I $500,000 0 =$500,00 I $I,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I $25,000,000 Pl =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U=Book Value Vo:Other W =Estimated

6 Page 6of7 Name of Person Reporting Amon, C:1rol B. Date of Report 05/ VII ADDITIONAL INFORMATION OR EXPLANATIONS. (/111/imtep11rt11fr<'porl.) Re: Part VII Item 15 - Market value of vested options less exercise price on 12/31/11. Item 16 - Rental property located in City of Newport, Chittendon County, Vermont; inherited[ ; 1 in 199 Value at date acquired - $200,000.. Item 18 - Full description - Alternative Construction Tech, Inc., F/K/A Alternative Consruction Co., Inc. (Restricted Stock). Item 19 - Rental property located in City of Newport, Chittendon County, Vennont acquire(::. J on September 5, 200 Purchase price - $220,000. Item 20 - Interest in Cranston II, LLC is owned through Denmark Management, LLC. Item 25 - Company was dissolved and options expired. Item 26 - Asset management company r = ]

7 Name of Person H.cporting Uate of Report Page 7 of7 Amon, Carol B. 05/14/2012 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 or my knowledge and belief, and that any information not reported was withheld hecause it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of girts which have been reported are in compliance with the provisions ors U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ Carol B. Amon NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE TlllS REPORT l\iay BE SUBJECT TO CIVIL AND CHl:\llNAL SANCTIONS (5 U.S.C. app. 104) Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C