D NONE (No reportable positions.)

Transcription

1 AO 10 Rev FOR CALENDAR YEAR 2011 Rcpor/ Required by the /hies in Govcmmcnl Ac/ of'l978 (5 U.S.C. app. /OJ-Ill) I. Person Urporting (last name, first, middle initial) 2. Court or Organization Date or Report Batts, Deborah A. Southern District of New York Title (Article III judges indicate active or senior status; Sa. Report Type (check appropriate t) pe) 6. Reporting Period magistrate judges indicate full- or part-time) District Judge (Active) D Nomination Date D Initial [{ Annual Sb. D Amended Report D Final 01/01/2011 to 12/31/ Chambers or Ortice Address 500 Pearl S tree! Room 2510 New York, New York IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, clrecki11g tire NONE box for each part where you!rave 110 reportable i11/ormatio11. /11sert sig11at11re 011 last page. I. P 0 SIT I 0 NS, (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Adjunct Professor Fordham University School of Law 2. Board of Visitors CUNY School of Law Board of Managers Havens Relief Fund Society Co-Executor Estate #I II. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable agreements.) PARTIES AND TERMS I. I 0/1/84 TIAA-CREF Retirement & Supplemental Annuity Contracts 2.

2 Name of Person lh portin:; Date of Report Page 2of6 Batts, Deborah A. 05/29/2012 I II. N 0 N-INV ES TMENT IN CO ME. (Reporting iudfridual and spouse; see pp of filing instrul'lions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I. 12/11 Fordham University School of Law Salary $26, /11 Co-Executor Fee $9, B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this se< tion. (Dollar amount not required except for honoraria.) [{ NONE (No reportable investment income.) SOURCE AND TYPE I. 2. IV. REIMBURSEMENTS - transportation, lodging, food, entertainment. (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. Federal Judges Association April, 2011 Washington, D.C. Board of Directors meeting transportaion, food, lodging (FJA) 2. Harvard Law School February, 2011 Cambridge, Massachusetts Panelist transportation, food, lodging

3 Name of Person Heporting Date of Report Page 3of6 Batts, Deborah A. 05/29/2012 V. GIFTS. (Includes tlwse lo spouse and dependent children; see pp of filing instructions.) [2 NONE (No reportable gifs.) SOURCE DESCRIPTION VALUE I. 2. VI. LIABILITIES. (Includes those ofspouse and dependent children; see pp of filing ins/ructions.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. Chase credit card J 2. Bank of America credit card K

4 Name of Person Reporting Date of Rrport Page 4of6 Batts, Deborah A. 05/29/2012 VI I. INVESTMENTS and TRUSTS -- income, vatue, rrunsacrions r1nc111jes 11iose of spouse and JepeuJenr "''itjren; see PP 3-6o of filing ins1ruc1i11m.j D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Trnnsactions du1ing reporting period (including tmst assets) reporting period of reporting period (2) (2) (I) (I) (I) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of (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.) (J-P) Code 3 redemption) (J-P) (A-II) (if private (Q-W) transaction) I. TIAA-CREF D Int./Div. N T 2. Morgan Stanley Smith Barney (IRA) A lnt./div. Distributed 02/01/11 K Estate #I None J T Distributed 04/21/11 M I. Income G<iin Codes: A =$1.000 or less u =$1,001 -$2.500 c $ $000 D =$5,001 -$15,000 E =$15,001 -$ (Sec Columns U1 and 04) F =$ $100,000 G =$ $1, =$1,000,001 -$5, =More than $ Value Codes J =$1000 or less K =$ $50,000 L =$50.00I -$100,000 M =$ I - $ (Sec Columns Cl and 03) N =$250,00 I - $ $500,001 -$1,000,000 Pl =$1, $5,000,000 1'2 =$5,000,001 -$25, P3 =$25,000,00 I -$50,000,000 P4 =More than $50, 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 Name of Person n.eporting Ualc of Rrporl Page 5of6 Batts, Deborah A. 05/29/2012 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/ndicateparlofreport.) Part lll-:a Since last year was the first time I had served as a co-executor of a family estate, I was not aware until preparing my 2011 Financial Disclosure Report that a Co-Executor Fee was subject to the 15% income limitation Of $26,9500. As a result of my authorized teaching compensation, I earned $26, in 2011 for teaching, leaving $9500 as the balance for my income limitation. I received $9, as my Co-Executor Fee in 2011, which can be allocated over the years when I did estate work, which includes (Compendium Secion 3l(a-l). I thus can allocate $2, to the work on the estate I performed in 2012, reducing the amount over the limit to $6, ($ $9500- $ ). Further, I am entitled to deduct "amounts received as reimbursement for expenses incurred in producing income (compendium Section 32(b)), and thus I reduce the amount over the limit further by $6400 in teaching transportation expenses for Thus the overage from my Co-Executor Fee is $5, I am offsetting this remaining overage by returning this portion of my Executor Fee to the estate for distribution. Part lll-b I got married in 2011 and my spouse is a woman.. Since the federal government does not recognize my marriage, I checked" NONE".

6 Name of Person Reporting Date of neport Page 6of6 Batts, Deborah A. 05/29/2012 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 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/ Deborah A. Batts NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT!\IA Y BE SUBJECT TO CIVIL AND CRil\llNAL SANCTIONS (5 U.S.C. app. to.i) Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C