D NONE (No reportable positions.)

Transcription

1 AO JO Rev FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2012 Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app ) l. Person Reporting (last name, first, middle initial) 2. Court or Organization Gardephe, Paul G. U.S. District Court, SONY Title (Article III judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time) D Nomination Date District Judge, active D Initial Annual 7. Chambers or Office Address Sb. D [{ Amended Report D Final 6. Reporting Period 01/ 01/2012 to 12/31/2012 U.S. Courthouse 40 Foley Square New York, New York JMPO RT ANT NOTES: The instructions accompanying ihis form must he followed. Complete all parts, checking the NONE box for each part where you have no reportable information. I. POSIT! ONS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Advisory Board Member Suns glow 2. Executor Estate #1 II. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable agreements.) PARTIES AND TERMS I with Time Warner Inc., regarding deferred compensation plan, Time Warner Savings Plan with Patterson Belknap Webb & Tyler, LLP, regarding capital account and fees earned while a firr partner, and 40lk, money purchase, and cash balance plans

2 -- FINANCIAL DISCLOSURE REPORT Page 2of8 Gardephe, Paul G. 05/09/2013 Ill. N 0N-INVESTMENT 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 Columbia Law School $10, New York Law School $4, Fordham Law School $2, B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amount nor required excepl for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I Family Services of Westchester, wages 2. IV. REIMBURSEMENTS transportation, lodging, food, entertainment. (Includes rhose ro spouse and dependent children; see pp offiling insrructions.) [{ NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. 2.

3 Date of Report Page 3of8 Gardephe, Paul G. 05/09/2013 V. GIFTS. (Includes those lo spouse and dependent children; see pp of filing ins/ructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. 2. VI. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 2.

4 Page 4of8 Gardephe, Paul G. 05/09/2013 VII. INVESTMENTS and TRUSTS D NONE (No reportable income, assets, or transactions.) - income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP of filing instruc1ions.j A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (2) (2) (I) (2) (3) (4) (5) (I) (I) Place "(XY' 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.) (J-P) Code3 redemption) (J-P) (A-H) (if private (Q-W) transaction) I. Dreyfus Basic Money Market Mutual Fund None 0 T 2. Janus Research Fund A Dividend J T Apple Bank cert of deposit A Interest K T Neuberger Berman Int'! Fund c Dividend K T Janus Enterprise Fund A Dividend J T 6. Janus Research Fund A Dividend J T 7. Janus Growth and Income Fund D Dividend L T 8. Janus Worldwide Fund c Dividend K T 9. Fidelity Magellan Fund B Dividend J T 10. Neuberger Berman Partners Fund A Dividend J T 11. Time Warner Savings Plan E Dividend M T Dodge & Cox Stock Fund 1 -- Time Warner Stock Fund 1 Time Warner Deferred Compensation Plan (Y) 1 -- Dodge & Cox Stock Fund 16. New York College Savings Plan (no control F Dividend 0 T other than risk) 17. Patterson Belknap Money Purchase Plan E Dividend M T 1. Income Gain Codes: A or less B =$ $2.500 c =$ $000 0=$001. $1000 E =$I 00 I - $ (Sec Columns Bl and 04) F =$ $! G I -$ Ill =$ $ H2 =More than $ Value Codes J or less K =$ $ L =$50.00 I -$ I M =$ I00.00 I -$ (Sec Columns Ct and 03) N I' -$ =$ I -$ Pl =$ $ P $ P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =AsscssmCTt T =Cash Market (Sec Column C2) U =Book Value V=Othcr W =Estimated

5 Page 5of8 Gardephe, Paul G. 05/09/2013 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP of fiting instructions.j A. B. C. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (2) (I) (2) (I). 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.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) (2) (3) D. (4) (5) transaction) Vanguard 500 Index Fund Vanguard Growth and Income Fund Vanguard Windsor Fund 21. Patterson Belknap Webb & Tyler 40 Ik E Dividend M T Vanguard 500 Index Fund 2 -- Vanguard Growth & Income Fund 2 -- Vanguard Windsor Fund 2 Vanguard Tax Managed Capital D Dividend L T Appreciation Fund 26. Vanguard Tax Managed Growth & Income D Dividend L T Fund 27. Vanguard Tax Managed Int'! Fund E Dividend L T 28. Vanguard Tax Managed Small Cap Fund D Dividend L T 29. Vanguard Prime Money Market Fund A Dividend L T 30. Northwestern Mutual Life ins. policy (cash B Dividend J T value,no control) 31. Northwestern Mutual Life ins. policy (cash B Dividend K T value,no control) 32. Northwestern Mutual Life ins. policy (cash B Dividend L T value.no control) 3 Savings Bank Life ins. (cash value, no A Dividend J T control) 3 Savings Bank Life ins. (cash value, no A Dividend J T control) I. Income Gain Codes: A =$1.000 or less B =$1.00 I - $2.500 c =$2.501 $000 0=$001 - $1000 E =$100 I $ (Sec Columns 81 and 04) F =$ $ G =$ I00.00 I -$ HI =$ $ =More than $ Value Codes J =$1000 or less K =$t00i - $ L =$50.00 I -$I M =$ I00.00 I -$ (Sec Columns Cl and D3) 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

6 Page 6of8 Gardephe, Paul G VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (I) (2) (I) (2) (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, mm/dd/yy Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 3 Mutual of America Money Market Fund None J T 36. Estate #I A Interest J T 37. -Accounts at Barre Savings Bank 38. -CD at Spencer Savings Bank I. Income Gain Codes: A =$1.000 or less B =$ $2.500 c =$ $000 D =$001 - $1000 E =$1001 -$ (Sec Columns Bl and D4) F =$ $ G =$ J00.00 I -$ =$ $ H2 =More than $ Value Codes J =$1000 or Jess K =$1001 -$ L =$50.00 I -$ M =$ $ (See Columns Cl and 03) N =$ $ =$ 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 =Other W =Estimated

7 Page 7of8 Gardephe, Paul G VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Jndicate part of report.) Note for Section VII, Item 14, Time Warner Deferred Compensation Plan The remaining contents of this account were distributed to me in See 2010 FDR, Section III. The balance in this account has been zero since 2010.

8 Page 8 of8 Gardephe, Paul G 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/ Paul G. Gardephe 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