D NONE (No reportable positions.)

Transcription

1 AO JO Rev FOR CALENDAR YEAR 2012 Report Required by the Ethics in Government Act of 1978 (5 US.Capp JI) I. Person Reporting (last name, first, middle initial) Court or Organization D'Agostino, Mae A. U.S. District Court for the Northern District ofnew York 04/25/2013 Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Court Judge - Active Sa. Report Type (check appropriate type) D Nomination Date D Initial [{ Annual D Final Sb. Amended Report D 6. Reporting Period 01/01/2012 to 12/31/ Chambers or Offce Address U.S. District Court James T. Foley U.S. Courthouse 445 Broadway Albany, NY IMPORTANT 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. POSJTJ0NS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Adjunct Professor Albany Law School 5. JJ. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable agreements) PARTIES AND TERMS I I/2008 American International Life Assurance Co., structured settlement for future payments of legal fees earned 09/04/2002 American General Life Insurance Co., structured settlement for future payments of legal fees earned

2 Page 2of11 D'Agostino, Mae A. 04/25/2013 III. N ON-INVESTMEN IN CO ME. (Reporting individual and spouse; see pp 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 Albany Law School $3, 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 AND TYPE I. IV. REIMBURSEMENTS - transportation, lodging,jood, 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 3ofl1 D'Agostino, Mae A V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. Peter C. Kopff 4 Tickets to NY Yankees Baseball Game $ VI. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [Z NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 5.

4 Page 4of11 VII. INVESTMENTS and TRUSTS - income, va111e, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.; A. B. c. D. (including trust assets) reporting period of reporting period (I) (2) (I) (I) (3) (4) (J-P) (2) (2) 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, mmlddlyy Code 2 Code I buyer/seller (A-H) or int.) Code 3 redemption) (J-P) (A-H) (if private (5) I. Vanguard Prime Money Market Account A Dividend J T Key Bank Account A Interest K T 5. (H) Fidelity Brokerage Account 6. -Cash A Jnt./Div. J T 7. - Fidelity Cash Reserves A Dividend J T 8. - American Century Equity Inc Inv Cl A Dividend J T Buy 01/09/12 J 9. - Artisan Mid Cap Value A Dividend J T Sold 07/31/12 J A IO. Sold 12/18/12 J A Artisan Intl Value Fund Inv Cl A Dividend J T Buy 01/26/12 J 1 - Spartan 500 Index Fd Adv Cl A Dividend J T 1 - Spartan Extended Mkt Index Fid Adv Cl A Dividend J T Buy 04/20/12 J 1 Buy 12/18/12 J Fidelity Contrafund A Dividend J T Fidelity Strategic Dividend & Income A Dividend J T Fidelity Low Priced Stock A Dividend J T I. Income Gain Codes: A =$1,000 or less B 41,001 -$500 c =$501 -$ =$ $ E =$15.00 I -$ (Sec Columns BI and 04) F=$ $ G =$! $ fll =$ $ =More than $ Value Codes J =$ or less K=$ $ L =$ $! M =$ $ (Sec Columns Cl and 03) N =$ I -$ =$ I -$ 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=Othcr W =Estimated

5 Page 5of11 VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) A. B. C. D. (including trust assets) reporting period of reporting period (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of (I) (2) 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 (J-P) Fidelity Select medical Equip & System A Dividend J T Oakmark International Small Cap I A Dividend J T SSgA Emerging Markets A Dividend J T Fidelity Floating Rate High Income A Dividend J T Buy 04/20/12 J 2 Buy 12/18/12 J 2 - Fidelity High Income A Dividend J T Buy 02/22/12 J 2 Buy 04/20/12 J 25. Buy 12/18/12 J Fidelity GNMA Fund A Dividend J T Fidelity Strategic Income A Dividend J T Sold 12/18/12 J A PIMCO Global Advt Strategy Bond CL D A Dividend J T Janus Balanced Fund Cl T A Dividend J T Buy 12/18/12 J Columbia Value & Restructuring A Dividend Sold J A Janus Overseas T A Dividend Sold 01/26/12 J A 3 - Neuberger Berman Genesis A Dividend Buy J 3 Sold J A 3 - Allianz Agic Income & Growth A Dividend Buy J I. Income Gain Codes: A =$1.000 or less B=$I,OOI -$500 c =$2,501 - $ =$ $ E =$ $ (Sec Columns Bl and 04) F =$ $ G =$ $ Ill =$ $ H2 =More than $ Value Codes J =$ or less K =$1 5,001 -$ L =$50,00I -$ M =$I I -$ (Sec Columns Cl and 03) N =$ $ =$ I - $ Pl =$ $ P2 =$ $ P3 =$ I - $ 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=Othcr W =Estimated

6 / Page 6of11 VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.; A. B. c. (including trust assets) reporting period of reporting period (1) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Typ (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code 1 div., rent, Code2 Method buy, sell, mm/ddlyy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private D. 35. Sold 12/18/12 J A Perkins Mid Cap Value A Dividend Sold 01/26/12 J A PIMCO Investment Grade Corp D A Dividend Sold J A PIM CO Low Duration D A Dividend Sold 04/20/12 J A l (k) Plan A Dividend Merged 11119/12 J (with line 42) Fidelity IRA E Dividend Pl T 4 - American Century Equity Inc Inv CL Buy 01/09/I2 K 4 - Artisan Mid Cap Value Buy (add'l) J 45. Sold 07/31/12 K A 46. Sold 12/18/12 J A Artisan Intl Value Fund Inv Cl Buy 01/26/12 K 48. Buy (add'l) 02/07/12 J 49. Buy 02/I 6/12 J 50. Buy (add'l) 03/06/12 J Spartan 500 Index Fd Adv Class I. Income Gain Codes: A =$1,000 or less B =$ $500 c =$501 - $ =$ $ E =$ $ (Sec Columns Bl and 04) f =$ $ G 4100,00 I - $ HI =$ $ Jl2 =More than $ Value Codes J =$ or less K=$15,00 l -$ L =$50,00 I - $ M =$ $ (Sec Columns Cl and 03) N =$ I $ =$500,00 I $ Pl =$1, $5, P2 =$ $25, P3 =$ I $ 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

7 Page 7of11 D'Agostino, Mae A VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP of fiting instructions.) A. B. c. D. {including trust assets) reporting period of reporting period (I) (2) (I) (I) (2) (3) (4) 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) (A-H) (if private (J-P) (2) (J-P) (5) 5 - Spartan Extended Mkt Index Fid Adv Buy 04/20/12 K Class 5 Buy 12/18/12 J 5 - Fidelity Contrafund Buy 04/20/12 J Fidelity Strategic Dividend & Income Sold J A 56. Buy 07/31/12 J Fidelity Low Priced Stock Fidelity Select Medical Equip & System Oakmark International Small Cap I Buy 01/03/12 J 60. Sold 02/16/12 J A 61. Sold 11/20/12 J A 6 - SSGA Emerging Markets Buy 03/06/12 J 6 - Fidelity Floating Rate High Income Buy 04/20/12 J 6 Buy 12/18/12 K Fidelity High Income Buy 02/22/12 K 66. Buy K 67. Buy 07/31/12 J 68. Buy 12/18/12 J I. Income Gain Codes: A =$I,000 or less B 41,001 -$2,500 c =$2,501 -$5.000 D =$5,001 -$ E =$ $ (Sec Columns Bl and 04) f =$ $ G =$ $ Ill =$ $ I12 =More than $ Value Codes J =$ or less K =$ $ L =$50.00I - $I M =$ I -$ (Sec Columns CI and 03) N =$ $ =$ $ 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=Othcr W =Estimated

8 Page 8of11 VII. INVESTMENTS and TRUSTS - income, vatue, transactions r1nc1udes those of spouse and dependent children; see pp of filing instr11ctions.j A. B. C. D. (including trust assets) reporting period of reporting period Place "(X)" after each asset exempt from prior disclosure (I) (2) (I) (2) (I) (2) (4) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code 1 (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (3) (5) Identity of buyer/seller (if private Fidelity GNMA Fund Buy (add'l) 01/26112 J 70. Sold 12/18/12 J A Fidelity Strategic Income Sold K A 7 - PIMCO Global Advt Strategy Bond CL D Buy J (add'i) 7 Sold 02/07/12 J A 7 Sold 03/06/12 J A 75. Sold 11/20/12 J A Janus Balanced Fund Cl T Buy 12/18/12 L Fidelity Cash Reserves Perkins Mid Cap Value Fund Class T Sold 01/26/12 K A Janus Overseas Fund Class T Sold 01/26/12 K A 80. Sold 02/07/12 J A PIMCO Low Duration Class D Sold 01/26/12 J A 8 Sold L A 8 - PIMCO Investment Grade Corp Bond CL Sold 02/22/12 K A D 8 - Allianz AGIC Income & Growth CL D Buy 04/20/12 J 85. Sold 12/18/12 L A 1. Income Gain Codes: A =$1.000 or less B =$1,001 -$2,500 c =$2,501 - $5,000 0=$ $ E =$15,001 -$ (Sec Columns Bl and 04) f=$50,001 -$ G =$100,001 -$1,000,000 HI =$1, $ fl2 =More than $ Value Codes J =$ or less K =$15,001 -$ L =$50,001 - $ M =$ $ (Sec Columns Cl and 03) N =$ I - $ =$500,001 -$ Pl =$ $ P2 =$ $25, P3 =$ I -$ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column CZ) U =Book Value V=Othcr W=Estimated

9 Page 9of11 VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1ncludes those of spouse and dependent children; see PP of filing instructions.j A. B. c. D. (including trust assets) reporting period of reporting period (I) (I) (2) (2) (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) (A-H) (if private (2) (J-P) Columbia Value and Restructuring CL Z Sold 01/09/12 K A Neuberger Berman Genesis Buy K 88. Buy J 89. Buy 02/07/12 J 90. Buy 02/16112 J 91. Buy J 9 Sold 04/20/12 K A 9 9 Vanguard Growth & Income Fund Custodial A Dividend Distributed 11/27112 J Account Prudential Annuity (Inherited) A Interest K T Distributed 12/31/12 K I. Income Gain Codes: A =$1.000 or less B =$1,001 -$500 c $5.000 D=$5.00I -$ E =$ $ (See Columns BI and D4) F =$50,001 -$ G =$ $ Ill =$ $ =More than $ Value Codes J =$15,000 or less K=$15,001 -$ L =$50,00I -$ M =$ $ (Sec Columns CI and D3) N =$ $ =$500,001 -$ Pl =$ $5, P2 =$ $25, P3 =$ $ 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=Othcr W =Estimated

10 Page 10of11 D'Agostino, Mae A. 04/25/2013 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Jndicate part ofreport.)

11 Page 11of11 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/ Mae A. D'Agostino 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 Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C