FINANCIAL DISCLOSURE REPORT. Report Required by the Ethics in Government Act of 1978 Rev FOR CALENDAR YEAR 2007 (5 US.C. app.

Transcription

1 AO JO FINANCIAL DISCLOSURE REPORT Report Required by the Ethics in Government Act of 1978 Rev FOR CALENDAR YEAR 2007 (5 US.C. app. IOII JI) l. Person Reporting (last name, first, middle initial) 2. Court or Organization 3, Date of Report UCHWALD, NAOMI R SOUTHERN DISTRICT OF NEW YORK' 05/13/2008 4, Title (Anicle llj judges indicate active or senior status; magistrate judges indicate full or parttime) u.s DISTRICT JUDGE (Active) Sa, Report Type (check appropriate type) D Nomination, Date D Initial [Z Annual D Sb. Amended Report D Final 6, Reporting Period 01/01/2007 to 12/31/ Chambers or Office Address UNITED STATES COURTHOUSE 500 PEARL STREET ROOM 2270 NEW YORK, NY On the basis of the information contained in this Report and any modifjcations pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date IMPORT 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. Sign on last page. J. POSJTJ 0 NS. (Reporting individual only; see pp. 9J 3 of filing instructions.) (2 NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I JJ. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) (2 NONE (No reportable agreements.) PARTIES AND TERMS :::0 ;;;,: r115.:. l. C)p.., C" C. (/) C') r'i i 3:::.::: m ;J < ti m )> < m

2 FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 2of6 UCHWALD, NAOMI R 05113/2008 III. N 0 NINVESTMENT INC 0 ME. (Reporting individual and spouse; see pp of filing instructions.) A. Filer's NonInvestment Income [2 NONE (No reportable noninvestment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I Spouse' S NonInvestment Income If you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) 0 NONE (No reportable noninvestment income.) SOURCE AND TYPE I SELFEMPLOYED LA WYER (Through June 30, 2007) PARTNER AT LAW FIRM (From July I, 2007 to present) IV, REIMURSEMENTS transportation, lodging,food, entertainmen (Includes those to spouse and dependent children: see pp of filing instrnctions.) 0 NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. Federal ar Council 10/12/07 10/14/07 Lenox, Massachusetts ench and ar Meals and lodging Conferenc"e: pro g ram 2. chair

3 FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 3of6 UCHWALD, NAOMI R V GIFTS. (Includes those to spouse and dependent children; see pp. 283 I of filing instructions.) [2 NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I VI. LIAILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [2 NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I

4 FINANCIAL DISCLOSURE REPORT Name or Person Reporting Date or Report Page 4of6 UCHWALD, NAOMI R 05/13/2008 VII. INVESTMENTS and TRUSTS income, value, transactions r1nctudes those of spouse and dependent children; see pp of filing instructions.; 0 NONE (No reportable income, assets, or transactions.) A.. C. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (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 exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month Code2 Code 1 buyer/seller (AH) or int.) (JP) Code 3 redemption) Day (JP) (AH) (if private (QW) transaction) I. SEE A TT ACHED RIDER I. Income Gain Codes: A =$1,000 or Jess 8 =$1,00 I $2,500 c =$2,501 $5,000 D =$5,001 $15,000 E =$15,001$50,000 (See Columns 8 I and D4) F =$50,001 $100,000 G =$100,001 $1,000,000 HI =SI,000,00 I $5,000,000 H2 =More than $5,000, Value Codes J =$15,000 or less K => 15,00I.. $ =$50,00! S!00,000 fa slod,odl $250,000 (See Columns Cl and DJ) N $250,001 $500,000 Q 00.;F;SQQ,OOJ SIJ'!l0,(lil0 PI =S 1,000,00 I $5,000,000 P2 45,000,001 $25,000,000 P3 =$25,000,001 $50,000,000 P4 =More than $50,000, Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =ook Value V =Olher W =Estimated

5 FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 5of6 UCHWALD, NAOMI R 05/13/2008 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/report)

6 FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report Page 6of6 UCHW ALO, NAOMI R 05/13/2008 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 nondisclosure. I further certify that earned income from outside employment and hoporaria 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 NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY E SUJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2301 One Columbus Circle, N.E. Washington, D.C

7 2007 Financial Disclosure Statement Part VII: Investments and Trusts A. Description. Income C.Value (D)Transactions During Year (1) Amt (2)Type (l)code (2)Method (1) (2) (3) (4) \ Q_ 1 Citibank Accounts c Interest M T Citibank (IRA) 1 A Interest K T Citifund Cash Reserves Class N 0 ia:. Citibank (IRA) 2 Interest 0 T E Dividends Citifund Cash Reserves Class N Analogue Devices (Common) Applied Materials (Common) Time Warer (Common) Dell Computer (Common) 1123 L Gateway (Common) (tendered) 10/16 J Intel (Common) 10/19 M Palm Inc (Common) International Rectifier (Common) Microsoft (Common) Sun Microsystems (Common) CMGI (Common) c. JPMorgan Chase Accounts D Interest N T,_ Q_ Schwab Account NY Muni Money Mkt c Dividends M T b ank of America A Dividends J T Columbia Cash Reserves (formerly Prime Reserves) ':{ Treasury Direct Account E Interest 0 T i Time W amer Div. L T Common Stock (also in IRA)

8 i Applied Materials Common Stock (IRA) None L T lo I LL L 12 it?y t Lt t lount None J T Common Stock Dell Computer None 1125 N Common Stock Partial 1125 M A 1131 K A 10/19 M 10/19 M '\.b Lt' 1 l'\ Intel E Div N T 1/3 0 Common Stock (also in IR) Partial 0 Pl 1/3 1/4 Partial 1/4 Pl 1/10 0 Partial 1/10 0 c Partial 1111 Pl D Partial 1112 M c 1/16 N Partial 1/16 0 D 1/18 N 1/ /29 N Partial 1129 M 2/5 Partial 1131 M A 2/1 M 2/2 N 212 N c 216 Pl 216 Pl A 217 Pl 217 Pl c 2/8 Pl Partial 2/8 Pl c Pl 2

9 I L{7 Lq1)i la l?l I fi'? 7JG; I g h 51 t.l b'a b i \ I le \ ::r I I {J 6. li :: f "' \ ('( i l,, ;; 15?sl 4? lf «I I Parial Partial Parial Partial Partial Partial Partial Partial Partial Partial /13 2/14 J K K A /15 M M 2/21 N 2/21 2/22 M A M 2/23 2/26 3/13 3/14 N N N 0 3/ N 3/19 M 3/ K N A Pl Pl 0 c /12 4/12 4/13 N N 0 A 4/13 4/ /17 4/18 4/ /20 0 N N 0 Pl D /23 Pl N D 4/23 4/24 N 0 4/24 4/ /27 Pl 4/27 4/ A A 0 Pl Pl Pl Pl 3

10 l q tt ctg Cf q_: 4LA '14 L<VE) tvl ( ;2.. \ k:lf l\ Lt Partial 513 Pl 514 Pl Partial 514 Pl 517 N Partial 5/8 N 519 Pl Partial 519 Pl E 5110 Pl Partial /14 0 Partial 5/ Pl 5116 Pl Partial 5116 Pl D Partial 5117 M Lf.b Partial 5/18 Pl E 5121 Pl LO. Partial 5123 Pl E LlX 5124 Pl LLO Partial 5125 Pl I,,{.\, Ll'? Partial 5/29 K A 5130 N L\vt Partial 5130 N t u Partial Li,, 6/4 Pl [,L $' Partial 6/4 Pl it 615 Pl l Partial 615 Pl L'?., l 6/11 0 l Partial 6/11 0 A \? 6/13 Pl L Partial 6/13 Pl D 1 6/18 0 l iq.b Partial 6/18 0 l 6/21 0 i Partial 6/21 Pl E l i*7 Partial A L "\ Partial 6127 N E t,,?j 4

11 Partial /3 Pl Partial 8/3 Pl 8/8 P2 Partial 8/8 P2 E l. 8/14 P2 t 8/14 P2 i ttl 8/22 Pl lw 8/22 Pl D c_ 8/27 Pl 8/28 Pl 8/30 0 8/30 0 c 8/31 Pl 8/31 Pl Partial D 9/13 Pl Partial 9113 Pl c 9/18 N 9124 L 9125 P P2 D 9126 L 10/1 0 Partial 10/1 0 D 10/2 N Partial 10/2 N A 10/3 N 10/3 0 10/4 0 10/8 Pl Partial 10/8 Pl 10/12 0 Partial 10/12 M A Partial E M 10/19 Pl Partial 10/19 Pl Partial 11/2 0 E 11/5 0 Partial /9 Pl 5

12 L'9 Partial 11/9 Pl Partial /14 0 I : Partial l c LC6V Partial 11/15 0 A l t.t 11/ /27 0 Partial 11/27 0 D Partial 12/4 Pl E 12/4 N 12/7 0 Partial 12/18 0 Partial 12/21 0 Analogue Devices Div. L T Common Stock (IRA) \ q_o CMGI Common Stock (IRA) None J T lctl International Rectifier None L T Common Stock (IRA) Microsoft Div. N T 1/8 M Common Stock (IRA) 1/9 0 1/9 0 c 1/10 M Partial 1/10 M 1/11 M c 1/16 N 1/16 N 1/29 N 1/29 N 1/30 0 1/ N 2/1 N A 2/2 Pl 2/2 Pl 2/5 Pl 2/5 Pl 6

13 216 Pl 216 Pl 217 Pl 217 Pl c 2/8 N 2/8 N 219 Pl 219 Pl 2/21 M 2/21 M 4126 M /3 0 8/3 0 8/8 0 8/8 0 8/14 0 8/14 0 9/ E 9125 Pl 9125 Pl 9126 J 9/28 0 9/ /3 0 10/3 0 10/8 Pl 10/8 Pl D a,\1 3c.:;, Gateway Common Stock (IRA) Palm Inc. Common Stock (IRA) Sun Microsystems Common Stock (IRA) None None J T None K T ;gt... Whirlpool A Div 4124 L Common Stock HPQ A Div 2126 M 7

14 Common Stock Yahoo 0. t? L ';;;/j V\ 9f ;y &v J >, "(' ;!:l rj.. ; Common Stock None J T 113 Pl Partial 113 Pl 1/4 Pl 114 Pl 1/ /5 1/9 Pl 1/9 Pl 1/11 N 1111 N M Partial 1/23 0 1/24 L 216 M Partial N /16 0 4/ M 4/19 M 4/20 N 4120 N 4/27 0 4/27 0 4/ /1 0 Partial 512 N N 5/ c c c A c D A D c

15 Partial 5/14 0 5/16 0 Partial c Partial 5/18 0 E 5/21 0 5/23 0 Partial /24 0 Partial 5/24 0 A Partial 5125 Pl 5129 N 5130 N Partial 5/30 N 5/31 0 Partial 5/ N Partial 6/4 0 A 615 N Partial 615 N 6115 N Partial 6115 N 6/18 Pl Partial 6/18 Pl D 6/21 N Partial 6/21 N 7/20 0 8/3 Pl 8/8 Pl 8/8 Pl C 8/14 Pl 8/14 Pl 8/22 Pl Partial 8/22 0 A 8/28 0 8/30 N 8/30 N 8/31 Pl Partial 8/31 A A 9125 M 9125 N E 9/28 0 9/ /4 0 9

16 10/4 11/14 0 Pl Partial 11/27 Pl D 11/28 Pl Partial 11/29 M C Partial Pl F 12/4 Pl Partial 12/4 Pl C 12/5 Pl Partial 12/21 N Partial 12/24 0 A. Description C. Income D.Value Transactions During Year (1) Amt (2)Type (l)code (2)Method (1) (2) (3) (4) dvanced Micro Devices Common Stock None old 1/12 0 1/12 0 4/19 M 4119 M 5116 M 5/16 5/18 0 5/18 0 M A?;>6;J < : p$ t.a Qbt? t f, '? None 1/4 K 1/4 K A 1/5 M 1/23 M 2/21 N 2/21 N A 414 M 414 M A 4/13 M 4113 M A 4/23 L 4123 L A 4124 K 4/24 L 4127 Pl 4/27 Pl D 6/18 N 6/18 N A 10

17 6/21 N 6/21 N A 6/27 N 6/27 N 9/ N 9/25 Pl F 9/26 N 10/2 0 Partial 10/2 0 10/3 0 Partial 10/3 0 10/4 0 Partial 10/5 0 D 10/8 Pl 10/8 Pl D / /24 N 10/24 N c 10/31 N 10/31 N c 11/2 0 11/2 0 11/5 M 11/7 M 1118 M 11/27 0 Apple Computer None 1/12 Pl Common Stock 1/12 Pl 1/18 N 1/18 N /23 0 1/29 Pl 1/29 Pl C 1/30 Pl 1/30 Pl 1/31 Pl Partial 1/31 Pl D 2/1 Pl Partial 211 Pl c 11

18 ft( e> 212 Pl tll o 4118 Pl 4/18 Pl 215 N 217 N D 2/8 N ui0 2/8 N c '{l 219 L &tlf5 219 L ULb 2/13 L 1\1, L A i{g 4' ltf N Partial 2/16 0 2/21 0 E 2122 N L/XJ 2122 N c 4/23 M H 4123 M A iuq 4124 M lk 4124 M l it:?6l 4/25 M Partial 4125 M w 5/1 N ct? q :m Partial 511 M A Partial 512 M 514 L q4f1 ff Applied Materials A Div L T 6/13 K Common Stock (also in IRA) 6/13 K A c.q Cisco None 0 T 1/1 Pl L{ l Common Stock Partial 1/11 0 1/12 Pl t{d. Partial 1112 Pl c?; 1/16 0 1/ Partial 1/25 M A '{ 1/26 N 1130 N fk..ef 1/30 M '+t: 12

19 , aef r 1/31 0, \r?j 2/5 0 l{ c # 216 Pl Partial 2/6 Pl E 5«217 0 HJ4 Partial D 2/8 Pl t+l Partial 2/8 Pl a 2/12 M 2/13 M 4: 2/14 N A ' 2/14 M I 2/15 N 2/15 0 i N zt A J 2/21 N :2 2/ z.1& 1.; 81. i:<ol? Y: (..\ t'b 4;6t1{ < t..t1 45 'tc?ll c 2/ c /23 Pl c 3/14 N 3/14 N A 3/21 Pl 3/21 Pl c 3/23 Pl Parial 3/23 L 3/26 Pl 3/28 Pl 3/28 Pl 3/29 N 4/2 N D 414 N 414 N c 419 Pl 4/10 0 4/ Pl

20 lj 1*ct6 44?:: p00 bl t:b '[ o? '5'i?I 6' L'1 bl::: l,?jl q 5D 6Rt c 4/16 M 4/17 M A 4/18 N 4/18 N A 4/19 Pl 4/19 Pl 4/23 Pl ffu Partial 12/ /23 Pl A 4/24 Pl ::oo 4/24 Pl o:b N 501; 519 N Go1f 5110 N 1)ott 5115 N S:tc: 5117 N 5/31 N bl \y $"l Partial 5131 N c fsl 615 N D l > 6/18 N b Partial 6/18 N A 9/13 0 9/ Pl 9125 Pl D /3 0 10/ /4 0 :a!:0l< Partial 11/27 A 11/30 N Gt D C?J.::: 12/4 N 12/5 N A 1119 Pl 11/9 Pl Partial 12/5 N 1217 N '5 12/

21 ?g?q 1kO J;l!) f:i 15"vc a a:ri 5 MJ :; ~ 10/2 0 10/2 0 A 6 10/4 0 ;;:::J 10/4 0 D 10/5 0 10/8 Pl 10/8 64:::P ;: Ebay None J T 1/26 M Common Stock 1/29 M 1/29 N 1/30 0 1/30 0 1/31 M 1/31 M _6lf 2/1 M ': 2/2 MA }fhi/: 2/21 N Of 1) l i?jb 'J 6.h4 6*0?;:: t 2/21 N 4/4 N 4/10 N 4/11 0 4/23 N 4/23 N 4/27 Pl 4/27 Pl 5/16 Pl 5/16 Pl c 5/18 N Partial 5/18 M A 5/23 M 5/23 N 6/18 N Partial 6/18 N A 6/21 M Partial 6/21 M A 6/31 Pl Partial 6/31 Pl 9/13 Pl 9/13 Pl E 9/25 Pl 9/25 Pl E 10/19 0 Partial 10/19 0 r: 11/2 0 15

22 5!Q. Partial Partial Partial ff? Partial 15q Ford None Common Stock '{l?5"6< b D 11/5 N 11/7 N 11/9 0 11/13 N 11/13 N 11/14 N 11/14 N 1/3 K 1123 K c btoa \ p btt k1 bl tl{ l:t5 bl6 htr l ic:,( k;\ None 113 N 113 N 114 N 1/4 N 115 Pl 1/5 Pl 1/8 Pl 119 Pl 1/10 Pl 1/10 Pl 1/ /12 Pl 1/12 1/ Pl Pl Pl Partial 1117 Pl. 1/18 0 Partial 1118 Pl 1122 N 1/23 N Partial /25 N Partial 1/23 0 E A D 1129 Pl 1/30 N 1130 N A 1/ Pl Partial 2/1 Pl 212 Pl 16

23 Partial 2/2 Pl Partial 216 M 2/7 0 Partial 2/7 0 2/8 0 2/ /13 M 2/13 M 2/14 0 Partial 2/14 M 2115 Pl Partial 3/15 0 2/16 0 2/16 Pl 2/21 0 Partial 2/21 0 2/22 0 Partial 2/22 N 2/23 N 2/26 Pl 414 N 414 N Partial 415 N A 4/13 Pl Partial 4/13 Pl A /16 Pl 4117 N Partial 4/17 M A 4/18 M A 4/20 Pl 4/20 Pl 4/23 N 4/23 N 4/24 0 Partial 4/24 N 4/25 K / /10 0 A A D c A A A D 17

24 b&f 6q. :; l Ggz02 &>;; (o. 0::f te b'*c:. I 5/11 0 5/14 N 5/14 N 5/15 0 5/15 0 6/13 0 6/13 0 6/ c N 11/23 N D None 1/26 M 1/26 M A 1/29 M 1129 M 217 M 217 M A 2/16 N Partial 2116 M A Partial 2/22 M c 2/26 M 3/8 N 3/12 N Partial 3/12 N A 3/13 0 Partial 3/13 N A 3/14 Pl Partial 3/14 Pl Partial 3115 M A 3/16 0 3/19 0 Partial 3119 Pl E 3120 Pl 3120 Pl E 3/21 N 3/26 Pl Partial 3126 Pl c 3/27 N /28 N 3/28 N 3129 N 18

25 3/29 N D Partial 3/30 M 412 N 4/2 0 c 413 Pl 4/3 Pl 4/11 Pl 4111 Pl 4/12 Pl c Partial 4/12 Pl D /13 0 A 4/16 M 4116 M A 4/18 M Partial 4/18 J A 4/19 M 4/20 0 Partial 4120 N 4/23 Pl 4/23 Pl D 4/24 0 4/24 0 4/30 0 4/30 5/1 0 A 5118 M 5118 M A 10/8 0 Partial 10/8 0 11/9 M 12/ / q; ResearchInMotion None 1/3 M Common Stock 1/3 M 1/4 M 1/4 M A 1/5 N 1/5 N c 1/9 0 1/9 0 1/10 0 1/10 0 c 4 l.::r5;l 19

26 Partial Partial Partial 1/11 0 1/11 N 1/12 N 1112 N A 1/17 0 1/17 N 1/18 N 1/18 Pl 1/19 0 1/19 0 D 1/22 N Partial 1/23 N D Partial Partial Partial 1/24 Pl /25 N 1125 N A 1/ /2 Pl Partial 212 Pl E Partial 215 M C 216 M A D 2/8 0 2/8 0 A 219 N 219 N 2/13 M 2114 M 2/15 M 2/16 M 2116 N 2/21 N 2/21 N 2/22 N 2/22 N 2/23 N 2/23 N 4/ Partial /25 M 20

27 ' alero A Div N T lib, Common Stock 1/26 0 4/bl 1/29 M t?:: 1/29 M go2, ?tf4:. n: otp q $ : gq ' /8 N 2/8 N A 2/13 M 2/14 M A D(5 2/23 N 8le. 2/26 N L\ 3/8 N 3/12 0 Partial 3/12 N 14 3/13 0 L.0 3/14 N g Partial 3/14 N A '6=i 3/15 0?s Partial 3/15 Pl c '6ct 3/16 0!! /2? 75 Partial 3/16 Pl 3/19 N 3/19 Pl D 3/20 Pl 3/20 Pl crt? 3/21 Pl,, 75 1:: 3/21 3/23 Pl M C? 3/23 M A 4: 3/26 Pl <S? 3/26 Pl c 3/27 N g:?;; 75fi ":.b 3/27 N A 3/28 0 Partial 3/28 N 3/29 N c Pl 412 Pl 413 Pl Partial 413 Pl c 21

28 413 M 4/10 0 4/11 Pl 4/11 Pl C A Partial 4/13 0 4/16 0 4/16 0 4/18 N 4/18 N 4/19 M 4/19 M 4/20 0 4/20 0 4/20 N 4/20 N A 5/18 Pl 5/18 Pl /19 N 7119 N 8/8 M 8/8 M 8/22 N 8/22 N 8/27 N 8/27 N A 8/28 M 8/28 M 8/31 0 Partial 8/31 M A Partial 9/18 N D 9124 M C 9/25 N 10/8 Pl Partial 10/8 Pl D 10/10 N D 10/11 M M Partial 10/19 M 1119 M 22

29 11129 M 11/29 M A 12/