Sullivan_Richard_J
AO JO Report Required hy the Ethics in Government Act of 1978 Rev. 112008 FOR CALENDAR YEAR 2008 (5 USC app. /OJ-Ill) I. Person Reporting (last name, first. middle initial) Court or Organization Sullivan, Richard J. Southern District of New York 05/11/2009 Title (Article llj judges indicate active or senior status; Sa. Report Type (check appropriate type) 6. Reporting Period magistrate judges indicate full- or part-time) Nomination, Date 01/01/2008 US District Judge -- Active D Initial Annual Final to D 0 D 12/31/2008 Sb. D Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any United States Courthouse 500 Pearl Street, Room 615 New York, NY 10007 modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete a// 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. 9-/J of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Adjunct Professor of Law Fordham University School of Law II, AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.) D NONE (No reportable agreements.) CJ ("") :: r= :z rn >- o::; -< CJ.. () e:l> m :::u :z N - nl o): < "TI )> m., 9 0 ("") n1 += CT PARTIES AND TERMS I. 2005 Federal Employees Pension Plan; pension upon age 65
Page 2of6 Sullivan, Richard J. 05/11/2009 Ill. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 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. 9-12/08 Fordham University School of Law $7,500.00 B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section. (Dollar amount nol required except.for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I. 2008 Self-employed part-time bookkeeper IV. REIMBURSEMENTS - transportation, lodging.food, entertainment (Includes those to spouse and dependent children; see pp. 25-27 offiling instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. Federal Bar Council I 0/24-26/08 Lenox, MA Panelist at legal conf. Hotel, meals Georgetown e-discovery Inst itute 11/20-21 Washington, DC Panelist at legal conf. Transportation, hotel, meals
Page 3 of 6 Sullivan, Richard J. 05/1112009 V GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.) [2 NONE (No reportable gifs.) SOURCE DESCRIPTION VALUE I. 5. VJ. LJABJLJTJES. (Includes rhose of spouse and dependent children; see pp. 32-33 of filing ins/ructions.) [2 NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 5.
Page 4of6 Sullivan, Richard J. 05/11/2009 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, vatue, transactions (Includes those of spouse and dependent children; see PP 34-60 of filing instructions.) A. B. 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) (3) (5) (J-P) (2) (4) Place "(X)" af\er 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 - Code 2 Code I buyer/seller (A-H) or int.) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) I. Roslyn Savings Bank Accounts A Interest Closed 4/12 L JPMorganChase Bank Accounts B Interest K T New York Community Bancorp Common St c Dividend L T ock Marsh & McLennan Cos. Inc. Common St A Dividend J T ock (X) 5. 529 College Savings Accounts B Interest K T 6. Merrill Lynch Cash Management Account D Interest 0 T 7. Merrill Lynch Nuveen Tradewinds lntema A Dividend K T tional Fund 8. Merrill Lynch Matthews Asian Funds Paci A Dividend J T fie Tigers 9. Merrill Lynch Allianz NFJ Dividend Value B Dividend K T Fund 10. Merrill Lynch American Funds Growth Fun A Dividend K T d of America 11. Merrill Lynch Third Avenue Value Fund A Dividend J T 1 Merrill Lynch Cohen & Steers Realty Shares A Dividend J T 1 Merrill Lynch Loomis Sayles Bond Fund c Dividend K T 1 Merrill Lynch BlackRock Global Allocation A Dividend J T Fund (X) 15. 16. 17. I. lnrome Gain Codes: A =S 1,000 or less B =SI.DOI - $2,500 C =$50 I -$5,000 D =$5,00 I -S 15,000 E =S 15.00 I - $50,000 (See Columns BI and D4) F =$50.001 - $100,000 G =SI00,001 -Sl,000,000 HI =Sl,000,001-$5,000,000 f12 =More than $5.000,000 Value Codes J =$15.000 or less K =$15.001 -$50.000 L =$50,00 I -SI 00,000 M =Sloo.001 -$250,000 (See Columns Cl and DJ) N =$250.00I -$500.ooO o =$500,001 -St.000.000 PI =S 1.000,00 I -$5.000,000 P2 =$5,000.001 -$25,000,000 PJ =$25.000.001 - $50,000,000 P4 =More than $50.000,000 Value Method Codes Q =Appraisal R =Cost (Real Esuite Only) S =Assessment T ash Market (See Column C2) U =Book Value V =Other W =Estimated
Page 5 of 6 Sullivan, Richard J. 0511112009 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/reporl) Pan VII, Line I -- Roslyn Savings Bank Account was closed before the end of the reponing period.
Page 6of6 Sullivan, Richard J. 05/11/2009 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. SOI 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 BE SUBJECT 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 2-301 One Columbus Circle, N.E. Washington, D.C. 20544