D Nomination, D Initial Annual D Fin

Transcription

1 [ AOlO FINANCIAL DISCLOSURE REPOR in Government Act of1978 Rev FOR CALENDAR YEAR 2006 (5 U.S.C. app ) Report Required by the Ethics 1. Person Reporting (last name, first, middle initial) 2. Court or Organization Hellerstein, Alvin K U.S. District Court - NY-South 07/03/2007 itle (Article Ill judges indicate active or senior status; magistrate judges indicate fuu- or part-time) U.S. District Judge (Active) Sa. Report ype (check appropriate type) D Nomination, D Initial Annual D Fin 6. Reporting Period 01/01/2006 to 12131/ Chambers or Offce Address United States District Court 500 Pearl Street - Room 1050 New York, New York Sb. D Amended Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it ls, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer IMPORAN 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. Sign on last page. I, POSIIONS. (Reporting individual only; see pp of instructions.) D NONE (No reportable positons.) POSIION NAME OF ORGANIZAION/ENIY 1. Board Member Columbia Law School Association 2. Board Member Jewish Community Relations Council (,/) (j a - cn::' - II. AGREEMENS. (Reporting individual only; see pp of instructions.) fll D NONE (No reportable agreements.) OJ:> "l r )> " PARIES AND ERMS \) f1 C> 1. 1/1/96 Stroock & Stroock & Lavan LLP, former law firm (Pension Plan for retired partners)(no CeJol) r--.. :: rn 0 rn - < m /1/89 Stroock & Stroock & Lavan Retirement Plan (management of firm's IRA and 401K plans)(no Control) 1/1/84 Stroock & Stroock & Lavan Investment Partnership (No Control)

2 FINANCIAL DISCLOSURE REPOR Page 2 of8 Name or Person Reporting or Report ' HeUerstein, Alvin K 07/03/2007 III. N 0 N-INVESMEN IN CO ME. (Reporting individual and spouse; see pp of instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND YPE INCOME (yours, not spouse's) I Pension from former law firm $440, 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.) (K NONE (No reportable non-investment income.) SOURCE AND YPE I. 2. IV. REIMBURSEMENS -transportation, lodging,food, entertinment (Includes those to spouse and dependent children. See pp of instructions.) D NONE (No reportable reimbursements.) SOURCE DESCRIPION 1. Federal Bar Council St. homas, VI - Bench & Bar Conference (ransportation, Meals and Hotel) 2. ABA 12/1-12/3 - Chicago, IL- Rule of Law Symposium (ransportation, Meals and Hotel)

3 _, FINANCIAL DISCLOSURE REPOR Page 3 of8 Hellerstein, Alvin K 07/03/2007 V. GIFS. (Includes those to spouse and dependent children. See pp of instructions.) NONE (No reportable gifs.) SOURCE DESCRIPION VALUE I. 2. VI. LIABILIIES. (Includes those of spouse and dependent children. See pp of instructions.) D NONE (No reportable liabilities.) CREDIOR DESCRIPION VALUE CODE I. American Express, Visa Credit cards J 2. Chase Mortgage Corp. Mortgage, condominiwn M

4 ,. FINANCIAL DISCLOSURE REPOR Page4 of8 Hellerstein, Alvin K 07/03/2007 VII. INVESMENS and RUSS - income, value, transactions (Includes those of the spouse and dependent children. See PP of filing instrucuons.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of ransactions during (including trst assets) Place "(X)" after each asset exempt from prior disclosure (1) Amount Code I div., rent, or int.) (!) Meihod Code 3 (Q-W) (1) buy, sen, redemption) Monih- Day (3) (4) Gain Code I (5) Identity of buyer/seller (if private transaction) I. New York City Condominium F Rent 0 w 2. J P Morgan/Chase B Interest M Franklin empleton Mut. Qua!. Fund (IR) D Dividend M Dreyfus Money Market Funds - A Interest K Stroock & Stroock & Lavan Retirement Plar Pl (See fi. 1) 6. - I Shares Lehman Agg. (See fi. 2) 7. - Berntein Equity Fund (See fi. 2) Baird Inv. Mgmt. (See fi. 2) urer Inv. Mgmt. (See fn. 2) C.S. McKee, L.P. (See fi. 2) Brandes Inv. Part. Fund (See fn. 2) Private Capital Mgmt. (See fi. 2) 1 - Calamos Inv. Mgmt. Fund (See fi. 2) 1 - Allegiance Capital (See fn. 2) 1 Stroock & Stroock & Lavan retirement Plan Redempt Part 10/18 M G (See fn. I) 16. Mellon Bank Corp. (Mellon Fin. Corp.) A Dividend K 17. S&S&L Investment Parterships (See fi. 3) B Dividend J sell part fn.3 J A See fn. 3 I. Income Gain Codes: A =$1,000 or less B =Sl,001 -$2,SOO C =S2,SOI - S5,000 0 =S5,00I -Sl000 E =S15,00I -SS0,000 (Sec Columns Bl and 04) F =$50,00I - SI 00,000 G =SI00,001 -Sl,000,000 HI =Sl,000,001 -SS.000,000 H2 =More than S5,000,000 2 Codes J =SI 5,000 or less K =$15,001 -S50,000 L =$50,00 I -SI 00,000 M =SI00,001 -S250,000 (Sec Columns Cl and 03) N =$250,001 - $500,000 0 =$500,00I -S 1,000,000 Pl =SJ,000,001 -$5,000,000 P2 =SS,000,001 -S25,000,000 Method Codes P3 =$25,000,001 - S50,000,000 R =Cost (Real Estate Only) P4 =More than S50,000,000 =Cash Market (Sec Column C2) Q =Appraisal V=Othcr S =Assessment U =Book W =Estimated

5 FINANCIAL DISCLOSURE REPOR Page 5 of8 Hellerstein, Alvin K 07/03/2007 VII. INVESMENS and RUSS - income, value, transactions (Includes those of the spouse 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 of ransactions during (including trst assets) Place "(X)" aftr each asset exempt from prior disclosure (I) Amount Code 1 div., rent, or int.) (!) Method Code 3 (Q-W) (!) buy, sell, redemption) Month - Day (3) (4) Gain Code 1 (5) Identity of buyer/seller (if private transaction) Warburg Pincus Funds Loeb Partners Investments 20. Bea Systems None K 21. State ofisrael Bonds A Interest J 22. CCC Info Svces Group None Donate\! 1/27 K 2 Gilead Sciences Inc. None L 2 Joural Register Co. A Dividend J Donated 9/20 J - 2 Renaissance Holdings Ltd. A Dividend J Sold 2/6 J B 26. Regeneron Pharmaceutical None J 27. Coventry Health Care Inc. None J 28. Citibank Bank Dep. A Interest K 29. Royce Micro-Cap Fund B Dividend J 30. New Eng. Fin. (Perm. Life) A Dividend K 31. Northwestern Mutual (Life Ins.) D Dividend M 32. Gold Fields Ltd. A Dividend J 3 I Shares R MSCI EAFE Index Fund B Dividend L 3 I Shares Russell 1000 Fd. B Dividend L 1. Inco me Gain Codes: A =Sl,000 or less B =Sl,001 - S2,500 C =S2,501 -$5,000 D =S5,001 -Sl5,000 E =Sl5,001 - $50,000 (See Columns B 1 aod 04) F =$50,001 - $100,000 G =$100,001 - Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 =More thao $5,000, Codes J =SI 5,000 or less K =S 15,001 - S50,000 L=S50,001 - Sl00,000 M =S 100,001 - $250,000 (See Columns Cl and 03) N=S250,001-S500,000 0 =$500,001 - Sl,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 - S25,000,000 Method Codes (See Column C2) P3 =$25,000,001 - $50,000,000 Q=Appraisal U =Book R =Cost (Real Estate Only) V=Other P4 =More than S50,000,000 S =Assessment W =Estimated =Cash Market

6 FINANCIAL DISCLOSURE REPOR Page 6of8 Hellerstein, Alvin K 07/03/2007 VII. INESMENS and RUSS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of the spouse and dependent children. See pp of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end of ransactions during (including trst assets) Place "(X)" after each asset exempt from prior disclosure (I) Amount Code I div.. rent, or int.) (I) Method Code 3 (Q-W) (I) buy, sell, redemption) Month- Day (3) (4) Gain Code 1 (5) Identity of buyer/seller (if private transaction) 3 I Shares Russell 1000 Growth Fd. A Dividend M 36. I Shares Russell 1000 Index Fd. B Dividend L 37. I Shares Russell 2000 Fd. A Dividend K 38. I Shares Russell 2000 Growth Fd. A Dividend K 39. Newmont Mining Corp. A Dividend J 40. Skillsoft PLC ADR (See Footnote 3) None J 41. Vanguard Int'! Equity Index Fund A Dividend K Buy 2/1 K 42. Knoll, Inc. (See Footnote 3) A Dividend Received 9/20 4 Knoll, Inc. (See Footnote 3) None Donate 11/20 J I. Income Gain Codes: A =Sl,000 or less B =Sl,001 -S2,500 C =S2,501 -S5,000 D =S5,001 - Sl5,000 E =$15,001 -S50,000 (Sec Columns B 1 and 04) F=$50,001 -$100,000 G =S 100,00 t - S 1,000,000 HJ =Sl,000,001 -S5,000,000 H2 =More than $5,000, Cod es J =SJ 5,000 or less K =$15,001 -$50,000 L =$50,001 - S 100,000 M =Sl00,001 -S250,000 (See Colwnns Cl and 03) N =$250,001 -$500,000 0 =$500,001-$1,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000 Method Codes (See Column C2) P3 =$25,000,001 -$50,000,000 Q=Appraisal U =Book R =Cost (Real Estate Only) V=Otber P4 =More than SS0,000,000 S =Ass essment W =Estimated =Cash Market

7 -- FINANCIAL DISCLOSURE REPOR Page 7 of8 Hellerstein, Alvin K 07/03/2007 VIII. ADDIIONAL INFORMAION OR EXPLANAIONS. (lndicateparlo/report) Footnote I Results of investments, inclusive of realized and unrealized gains and losses and dividends and distributions, are reported quarterly and. for the year ended 12/31/06. A separate figure for dividends was not reported. No gain or loss is reported except as reported at Line 15, since the investment qualifies as an IR/401-K. Footnote 2 -- Reflects in whole or in part rollovers from funds listed in my Financial Disclosure Report for year ended December 31, 2006, Part VII, lines 6 to 1 Foofnote 3 -- Various of the entities in which S&S&L Investment Partnership invested were sold on various dates during he values, gains and losses are reported at the end of the year in Kl reports. he identities of buyers and sellers are not given. One such company was Ness ech, Inc., sold 6/16 for "J" at a loss of" A". Securities also were distributed to participants at various dates during Knoll, Inc. and Skillsoft PLC ADR were both received by me in that capacity, on 6/3 and 10/17 for Knoll, and 11/16 and 12/21 for Skillsoft.

8 FINANCIAL DISCLOSURE REPOR Page 8 of8 Hellerstein, Alvin K 07/03/2007 IX. CERIFICAION. 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. Signatur NOE: AN KNOWINGLY AN WILFULLY.r,..,... AN CRIMINAL SANCIONS (5 U.S.C. app. 104) FILING INSRUCIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C