D NONE (No reportable positions.)

Transcription

1 O 10 Rev Report Required by the Ethics in Government ct of 1978 FOR CLENDR YER 2012 (5 U.S.C. app ) 1. Person Reporting (last name, first, middle initial) Court or Organization Block, Frederic U.S. District Court 05/06/2013 itle (rticle III judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge Sa. Report ype (check appropriate type) D Nomination Date D Initial [{ nnual Sb. D mended Report D Final 6. Reporting Period 01/01/2012 to 12/31/ Chambers or Offce ddress 225 Cadman Plaza E. Eastern District Court of NY Brooklyn, NY IMPOR N NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. POSIIONS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSIION NME OF ORGNIZION/ENIY 1. Offcer Frederic Block, P.C. 5. I GREEMENS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PRIES ND ERMS

2 Page 2 of9 Block, Frederic 05/06/2013 II N 0 N-INVESMEN IN CO ME. (Reporting individual and spouse; see pp of filing instructions.). Filer's Non-Investment Income [{ NONE (No reportable non-investment income.) SOURCE ND YPE INCOME (yours, not spouse's) B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) [{ NONE (No reportable non-investment income.) SOURCE ND YPE IV. REIMBURSEMENS -- transportation, /odging,food, entertainment. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable reimbursements.) SOURCE DES LOCION PURPOSE IEMS PID OR PROVIDED 5.

3 Page 3 of9 Block, Frederic V. GIFS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPION VLUE 5. V LIBILIIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDIOR DESCRIPION VLUE CODE 5.

4 Page 4 of9 Block, Frederic 05/06/2013 VI INVESMENS and RUSS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.j D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period of reporting period (2) (I) (I) (I) (2) (2) (3) (4) (5) Place "(X)" after each asset mount ype (e.g., Value Value ype (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 (-H) or int.) (J-P) Code 3 redemption) (-H) (if private (Q-W) (J-P) transaction) BLCKROCK NY MUNI INC. 04/24/12 K B (part) BLCKROCK MUNIYIELD NY QL (part) 04/24/12 J CLMOS SR O REURN FD 01/06/12 K COHEN & SEERS CLOSED END OPPY FD 09/18/12 J 5. EON VNCE INS NY MUN 01/06/12 L 6. EON VNCE X-D GL DIV GLOBL DIV INC FD c L 7. EON VNCE X DIV INC DIV INC FD 8. FI CRD SERVICES N Interest J 9. FRONIER COMM CORP 12/07/12 J 10. INVESCO SENIOR INC RUS B K 01/06/12 K 11.!SHRES!BOXX$ HIGH YIEL CORP BD FD B K 01/10/12 K 1 NFJ DIV IN PREM SR ND PREM SRFD 01/06/12 K 1 NUVEEN NY INV QUL MUNI c L 1 NUVEEN NY PREF PLS MUNI 01/06/12 L D 15. NUVEEN NY QUL INC MUNI c 03/21/12 L D 16. NUVEEN NY SEL QUL MUNI c L 17. NUVEEN QUL PREF INC K Income Gain Codes: =$1.000 or less B 41,001 -$500 c=$501 - $5,000 D=$5,001 -$15,000 E=$15,00l -$ (Sec Columns Bl and 04) F =$ $ G =$I I - $ Ill =$ $5.000,000 H2=More than $ Value Codes J=$15,000 or less K=$ $ L =$50.00 I - $I M =$I I - $ (Sec Columns Cl and 03) N=$250.00I -$ =$500.00I -$ Pl =$ $5, P $25,000,000 P $ P4 =More than $ Value Method Codes Q=ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (Sec Column C2) U=Book Value V=Othcr W=Estimated

5 Page 5 of9 Block, Frederic 05/06/2013 VI INVESMENS and RUSS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period ofreporting period (I) (I) (2) (2) (I) (2) (3) (4) Place "(X)" after each asset mount ype (e.g., Value Value ype (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 (-H) or int.) (J-P) Code3 redemption) (J-P) (-H) (if private (Q-W) (5) transaction) 18. PIMCO NY MUN INC FD 01/06112 K 19. POWERSHRES S&P 500 K 09/18/12 K 20. PRINCIPL INVESORS PRF SEC C FD 01/03/12 K 21. SPDR S P DIVID EF K 01/10/12 K 2 WESERN SSE HIGH INC OPP F B K 01/06/12 K 2 IR - F. BLOCK 2 RES CPIL CORP. 07/26/12 J 25. -MORGN SNLEY -R V DEF IN Interest 04/09/12 J R PFD 5.75% 7/15/ CIIGROUP CP VIII DEF IN R PFD Interest 04/09/12 J SK 6.95% 09115/ VORNDO RELY RUS SER F Interest J CUM PFD SHS 6.75% PERP 28. RROW DW BLNCED FD CL K 29. S MNGED FUURES SR.FD K CL. 30. BLCKROCK EQUY DIV FD C K 31. CLM OS SR O RE REURN FD 3 DW ECH LEDERS POR K K PWERSHRS EF 3 EON VNCE RISK MNGD DIV.EQ 01/03112 K INCM FD 3 FIDELIY VB INERM BD. FD. CL C K Income Gain Codes: =$1,000 or less B 41,001 - $2,500 c=$2,501 - $5.000 D $ E =$ $ (See Columns B1 and 04) F=$ $ G =$ I - $ HI =$ $ H2=More than $ Value Codes J =$ or less K=$15,001 - $ L=$ $ M =$ I - $ (Sec Columns Cl and 03) N=$250.00I - $ =$500,00 I -$ Pl =$1, $ P2 =$ $ P3 =$ $ P4 =More than $ Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (Sec Column C2) U=Book Value V=Other W =Estimated

6 Page 6 of9 Block, Frederic 05/06/2013 VI INVESMENS and RUSS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period of reporting period {I) (2) {I) (2) (3) (4) (5) Place "{X)" after each asset mount ype (e.g., Value Value ype (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 (-H) or int.) (J-P) Code3 redemption) {J-P) {-H) (if private (Q-W) {I) (2) transaction) 35. FIRS EGLE GLOBL CL C 36. FRNKLIN RISING DIV. FD. CL. C K 37.!SHRES S&P 100 INDEX FD K 06/14/12 K 38.!SHRES HIGH DIV EQ FD B K 08/29/12 K 39. WELLS FRGO DVNGE MULI SECOR INC. FD. 40. J HNCOCK PREF INC 2 J 41. HORNBURG INC BUILDER FD CL C 06/18/12 L 4 FI CRD SERVICES N RSP Interest J 4 LOOMIS SYLES SR. INC. FD. CL 01/04/12 J 4 LOOMIS SYLES SR INC FD CL C c L 45. LOOMIS SYLES CORE PLUS BD FD CL K L 46. LOOMIS SYLES CORE PLUS BD FD CL (part) 12/14/12 K 47. LORD BBE SHOR DUR. INC. FD. C B L 48. MORGN SNLEY 5.5% 7/28/21 Interest 01/30/12 K 49. NIXIS OKMRK INNL FD CL K 12/13/12 K 50. NIXIS DIVERSIFIED INC PRFOLIO 5 NFJ DIV IN PREM SR ND PREMIUM SR FD B L 04/12/12 L Income Gain Codes: =$1.000 or less B $500 c =$501 - $ =$ $ E =$15.00 I - $ (See Columns BI and D4) F =$50.00 I - $I G =$ I - $ HI =$ $ =More than $ Value Codes J =$ or less K =$15,001 - $ L =$ $! M =$! $ (See Columns Cl and 03) N =$ I - $ =$ I - $ Pl =$ $ P2 =$ $25, P3 =$ $ P4 =More than $ Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (Sec Column C2) U =Book Value V=Othcr W =Estimated

7 Page 7of9 Block, Frederic 05/06/2013 VI INVESMENS and RUSS - income, value, transactions r1nc111des those of spo11se and dependent children; see pp of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period of reporting period (I) (2) (2) (3) (4) (5) Place "(X)" after each asset mount ype (e.g., Value Value ype (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 (-H) or int.) Code 3 redemption) (J-P) (-H) (if private (I) (J-P) (Q-W) (I) (2) transaction) 5 NUVEEN BUILD MER BD FD c L 5 NUVEEN QUL PREF INC 2 B K 5 NUVEEN QUL PREF INC 3 10/24112 K 55. PIMCO SOCKSPLUS OL REURN c L 07/12/12 L FD CL C 56. PIMCO INCOME FD CL C 57. PRINCIPL INVESORS PRF SEC C FD 01/23/12 K 58. POWERSHRES QQQ R UNIS SER 1 K 08/07/12 K 59. POWERSHRES S&P 500BUYWRIE B K 06/13/12 K PORFOLIO 60. PRUDENIL JENNISON EQ INC FD CL B L c 61. PRUDENIL O L REURN BD FD B L CL C 6 RS ECHNOLOGY FD CL C None K 01/18/12 K 6 EMPLEON GLOBL BD FD CL C B L 6 WESERN SSE HIGH INC OPP FD 01/03/12 K 65. BNK OF SMIHOWN Interest J Income Gain Codes: =$1.000 or less B =$1,001 -$500 c =$501 - $5.000 D=$5.00I -$ E =$15.00I -$ (See Columns BI and D4) F =$ $I G =$ $ Ill =$ $ =More than $ Value Codes J =$ or less K =$ $ L =$50.00 I -$ M =$I 00.00I -$ (See Columns Cl and D3) N =$250.00I - $ =$ I - $ Pl =$ $ P2 =$ $ P3 =$ $ P4 ==More than $ Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U=Book Value V=Other W =Estimated

8 Page 8 of9 Block, Frederic 05/06/2013 VII DDIIONL INFORMION OR EXPLNIONS. (lndicate part ofreport.)

9 Page 9 of9 Block, Frederic 05/06/2013 IX. CERIFICION. 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 of5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ Frederic Block NOE: NY INDIVIDUL WHO KNOWINGLY ND WILLFULLY FLSIFIES OR FILS O FILE HIS REPOR MY BE SUBJEC O CIVIL ND CRIMINL SNCIONS (5 U.S.C. app. 104) Committee on Financial Disclosure dministrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C