UNTED ST ATES DSTRCT COURT SOUTHERN DSTRCT OF NEW YORK 5 PEARL STREET NEW YORK, NY 17 1581 (212) 85-152 AL VN K. HELLER STEN UNTED STATES DSTRCT JUDGE September 23, 28 Honorable Ortrie D. Smith, Chair Committee on Financial Disclosure One Columbus Circle, N.E. Washington D.C. 2544 Dear Judge Smith: CJ,.., = en = 1::.. c1 - u;: C:' F :n o:?-> = VJ )> rn < m write to respond to your letter dated September 11, 28 concerning my Financial Disclosure Report dated August 6, 28, for the calendar year ended December 31,27. With regard to your comments about Part V, page 4, lines 8, 12 and 13: Thornburg nvestment Management, Westfield Capital Management and Times Square Capital Mangement are investment managers to whose care the funds managed by the Stroock, Stroock & Lavan Retirement Plan were "rolled over" (id., line 5). Simultaneously, funds managed by Stroock, Stroock & Lavan Retirement Plan Management, under the management care of Baird nvestment Management, Private Capital Management, and Calamos nvestment Management Fund, were withdrawn for the purpose of those "roll-overs", and, consequently, these managers, not having any funds attributable to me to manage during 27, were not disclosed on the report for year ended December 31, 27. My Financial Disclosure Report for the previous year, 26, disclosed those managers (see Part V, page 4, lines 8, 12 and 13). have reported all funds managed for me by Stroock, Stoock & Lavan Retirement Plan in the aggregate (see entry in Part V, line 5). have not reported the separate managed components of the Retirement Plan (see Part V, lines 6-1) This practice has been followed consistently in my reporting. Thus, footnote 2 to the 27 Report, and prior Reports, discloses, that the funds managed by each investment manager "reflects in whole or in part rollovers from funds listed in my Financial Disclosure Report" in the preceding year.
To: Honorable Ortrie D. Smith September 23, 28 Page Two my response. hope this explanation satisfies your comments. enclose three copies of AKH:nyw
AO O Rev. 1128 FOR CALENDAR YEAR 27 Report Required by the Ethics in Government Act of 1978 (5 USC app.!of-ll). Person Reporting (last name, first, middle initial) 2. Court or Organization Hellerstein, Alvin K U.S. District Court - NY-South 8/6/28 Title (Article ll judges indicate active or senior starus; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time) U.S. District Judge (Active) Nomination, Date nitial Annual [{ Sb. Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any United States District Court 5 Pearl Street - Room 15 New York, New York 17 Final modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations, Reviewing Officer 6. Reporting Period Date 111127 to 12/31/27 MPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable i11formatio11. Sign 11 last page.. POST! ONS. (Reporting individual only; see pp. 9-13 of filing instructions.) NONE (No reportable positions.) POSTON NAME OF ORGANZATON/ENTTY. Board Member Columbia Law School Association 2. (_() c: c: C):; :> C) CJ (_/),/ J \-n f,,,...,... 1 a 5.. -r -., c - rn q _.,... \"'!1. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.) NONE (No reportable agreements.) PARTES AND TERMS. l/l/96 Stroock & Stroock & Lavan LLP, former law firm (Pension Plan for retired partners)(no Control) 2. 1/1/89 Stroock & Stroock & Lavan Retirement Plan (management of firm's RA and 4 K plans)(no Control) l/1/84 Stroock & Stroock & Lavan nvestment Partnership (No Control)
Page 2of8 Hellerstein, Alvin K 8/6/28. N N-NVESTMENT N CO ME. (Reporting individual and spouse; see pp. 7-24 of filing instructions.) A. Filer's Non-nvestment ncome D NONE (No reportable non-investment income.) SOURCE AND TYPE NCOME (yours, not spouse's). 26 Pension from former law firm $ 448,41 2. B. Spouse's Non-nvestment ncome - /you were married during any portion ofthe reporting year, complete this section. (Dollar amount not required except for honoraria.) [2 NONE (No reportable non-investment income.) SOURCE AND TYPE. 2. JV. REMBURSEMENTS - transportation, /odging,jood, entertainmenl (ncludes those to spouse and dependent children; see pp. 25-27 of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATON PURPOSE TEMS PAD OR PROVDED. ALl-ABA 7/1-7/13 Sante Fe, NM Educational Seminar Transportation, Meals and Hotel 2. 5.
Page 3of8 Hellerstein, Alvin K 8/6/28 V. GFTS. (includes those to spouse and dependent children; see pp. 28-31 of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRPTON VALUE. 2. 5. V. LABLTES. (includes those of spouse and dependent children; see pp. 32-33 of filing instructions.) D NONE (No reportable liabilities.) CREDTOR DESCRPTON VALUE CODE 1. American Express, Visa Credit cards 2. Chase Mortgage Corp. Mortgage, condominium K 5.
-- -- Page 4 of 8 Hellerstein, Alvin K 8/6/28 V. NVESTMENTS and TRUSTS - income, value, transactions <1nc1udes those of spouse and dependent children; see pp. 34-6 of filing instructions.; D NONE (No reportable income, assets, or transactions.) 1--- A. B. c D. Description of Assets ncome during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period () (2) () (2) () (2) (3) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain exempt from prior disclosure Code div., rent, Code 2 Method buy, sell, Month - Code 2 i Code - - - ------ l. New York City Condominium F Rent Pl w (4) (5) dentity of buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day i (J-P) (A-H) (if private (Q-W) transaction) i i 2. J P Morgan/Chase D nterest M T Franklin Templeton Mut. Qua!. Fund (RA) D Dividend M T Dreyfus Money Market Funds A nterest K T 5. Stroock & Stroock & Lavan Retirement Plan (See fn. ) Pl T 6. - Lehman Shares Bond Fund (See fn. 2) 7. - Bernstein Equity Fund (See fn. 2) 8. - Thornburg nv. Mgmt. (See fn. 2) 9. - Turner nv. Mgmt. (See fn. 2) O. - C.S. McKee, L.P. (See fn. 2) 11. - Brandes nv. Part. Fund (See fn. 2) 12. - Westfield Capital Mgmt. (See fn. 2) 1 - Times Square Cap. Mgmt. (See fn. 2) 1 - Allegiance Capital (See fn. 2) 15. Stroock & Stroock & Lavan retirement Plan (See fn. ) Redempt Part 12/4 M G 16. Mellon Bank Corp. (Mellon Fin. Corp.) A Dividend K T 17. S&S&L nvestment Partnerships (See fu. 3) A Dividend j T sell part fn.3 j A See fn. 3. ncome Gam Codes: A =S 1, or Jess B=Sl.OOl -S2,5 C =S2,51 - S5, D=55,1-Si5, E =515,1-55, (See Columns B and D4) F=S5, - S, G=5. - S 1., H =Sl,,1-55., H2 =More 1han $5,,. Value Codes J =S 5, or less K =Sl5,! -55, L =S5, -S, M =S!OO,OOJ 525. (See Columns Cl and 3) N =525,1 -S5, =S5, S 1., Pl =Sl.OOO,OO 'S5.. P2 =S5.,! -525,. P3 =S25,, -S5,, P4 =More than S5,, J. Value Method Codes Q =A pp raisal R =Cost (Real Estate Only) S "'Assessment T=Cash Market (See Column C2) U =Book Value V =1her W =Estimated
Page 5 of 8 Hellerstein, Alvin K 816128 V. NVESTMENTS and TRUSTS - income, value, transactions (ncludes those of spouse and dependent children; see PP 1-6 of fl line instructions.; D l_ NONE (No reportable income, assets, or transactions.) -- ----- - COOd "" "" - (_A_-_H_) A. B. C. D. Description of Assets ncome during Gross value at end of 1 Transactions during reporting period (including trust assets) reporting period reporting period () ' (2) () {) (2) (3) (4) (5) T (2) Place ""(X)" after each asset Amount Type (e. g., Value Value Type (e.g.. Date Value Gain dentity of '""''' from ''"' " '"'"", t, Code 2 Method buy, sell. Month - Code 2 Code buyer/seller 18. - Warburg Pincus Funds or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) 19. - Loeb Partners nvestments 2. Bea Systems None K T 21. State of srael Bonds A nterest J T 22. Gilead Sciences nc. None L T 2 Regeneron Pharmaceutical None J T 2 Coventry Health Care nc. None K T 25. Citibank Bank Dep. A nterest K T 26. Royce Micro-Cap Fund B K T Dividend 27. New Eng. Fin. (Perm. Life) A Dividend K T 28. Northwestern Mutual (Life ns.) D Dividend M T 29. Gold Fields Ltd. A Dividend J T Shares TR MSC! EAFE ndex Fund B Dividend L T 31. Shares Russell 1 Value Fd. B Dividend L T 32. Shares Russell 1 Growth Fd. B Dividend M T 3 Shares Russell 1 ndex Fd. B Dividend L T 3 Shares Russell 2 Value Fd. A Dividend K T. ncome Gain Codes: A =SJ, or less B=SJ,1-52.5 C =S2,51-55, D=S5,1-515, E =SJ5,J - S5. (Sec Columns B and 4) F =55.1 - SJ, G "S, -S,, H =S,, -55,. H2 =More than 55.. 2. Value Codes J =$15, or less K =SJ 5,J -55, L =$5, - S, M =S, - 525, (See Columns C and DJ) N =S25, - ::5, =55, -S1,. Pl =Sl,,1 - $5,, P2 =55,,1 - S25,, P3 =S25., - S5., P4 =More than S5,, Value Me1hod Codes Q = Appraisa R =Casi (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V =-1her W =Estimated
Page 6of8 Hellerstein, Alvin K 8/6/28 V. NVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (1nc1udes those of spouse and dependent children; see PP 11-6 of filing instructions.; A. B. c. D. Description of Assets ncome during Gross value at end of Transactions during reporting pe riod [ (including trust assets) Pl ace "(X)" after each asset exe mpt from prior disclosure reporting period () (2) Amount Type (e.g., Code div., rent, (A-H) or int.) reporting period () Value Code 2 (2) Value Method (J-P) Code 3 (Q-W) () Type (e.g., buy, sell, redemption) (2) (3) Mon de2 (4) Date Value Gain Code Day (J-P) (A-H) (5) dentity of buyer/seller (if private trans ction2 35. Shares Russell 2 Growth Fd. A Dividend K T 36. Newmont Mining Corp. A Dividend J T 37. Skillsoft PLC ADR (See Footnote 3) None J T 38. Vanguard nt'! Equity ndex Fund A Dividend K T. ncome Garn Codes. (See Columns B and 4) 2. Value Codes (See Columns C and 3) Value Method Co<les (See Column Cl) A =S 1, or less B=Sl,-1 S2,l C =S2,l1 55,- D=Sl,OOl Sll,- E =Sll,1 -Sl,- F =Sl,1 Sl, G =S 1,1 - S 1,, H =$1,-,1-Sl,,- H2 =More!han SS,, J :::SJ 5, or less K =515,1. Sl, L =55, - 51-, M =S, -525,- N =525,-1 -Sl,- =Sl-,1 51,,- P 1 =51,, 55,, P2 =55,,1-525,-, PJ =525,,1. 55,,- P4 =w ore than 55,, Q =Appr.»sal R =Cost (Real Estate Only) S =Assessment T =Cash Markel U =Book Value V =Other W =Estimated
Page 7of8 Hellerstein, Alvin K 8/6/28 V. ADDTONAL NFORMATON OR EXPLANATONS. (lndicateparto[reporl) Footnote 1 -- Results of investments, inclusive of realized and unrealized gains and losses and dividends and distributions, are reported quarterly and for the year ended 12/31/7. 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!ra/41-k. Footnote 2 -- Reflects in whole or in part rollovers from funds listed in my Financial Disclosure Report for year ended December 31, 27, Part Vll, lines 6 to 1 Foofnote 3 -- Various of the entities in which S&S&L nvestment Partnership invested were sold on various dates during 27. The values, gains and losses are reported at the end of the year in Kl reports. The identities of buyers and sellers are not given.
Page 8 of 8 Hellerstein, Alvin K 8/6/28 X. CERTFCATON. 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 aay information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. 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. 51 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. NOTE: ANY NDVDUAL WHO KNOWNGLY AND WLFULLY FALSFES OR FALS TO FLE THS REPORT MAY BE SUBJECT TO CVL AND CRMNAL SANCTONS (5 U.S.C. app. 14) FLNG NSTRUCTONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-31 One Columbus Circle, N.E. Washington, D.C. 2544