carol bagley amon financial disclosure report for 2009

8/3/2019 Carol Bagley Amon Financial Disclosure Report for 2009

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I . ~ o J 0 [ FINANCIAL DISCLOSURE REPORT R e p o r t R e q m r e d b y t h e E t h i c sin Gov,.rnment Act of l978R ~ . ~ : 2 o :o FOR CALENDAR YEAR 20091 . P~ rson Repor t ing ;hs I r ,~mc , f i . -s l, m idd le ~nh ia l ) 3 . C ou r t o r Or gan i za t i on 3 . D a l ~ o f E c p o r lAmon, Carol B. U S. District Court, EDNY

4. qitle (Aaiclc 111 ~udges indicate active or senior sta~s: 5s. Repurt r ) pe ( c he c k a ppr opr i a t e ~ pc ) 6. Repor l ing Per iodmagi s ma t e j udges i nd i ca t e ~ H - o r p a~ - ti me l~ Nomir~afion. D a ~ e 01;01;2009

1, .~ ~ , -00 .i Sb. :] A ..... tedRep~

mod if i ca t ions per t a in ing there to . I I i s , i n my opimon . In ompl ianc~2 2 5 Ca d t na n P : . a za E a s l l mith applicable l o w s and r egu l a t ions .R oom 9 , 39 5Br ook l yn , N e w Y or k 1~ 2 0 1" Reviewing Offic~r~

1 M P O R T A N T t ~O T E S : rl, e instructions accompanying this form must be followed. Complete alt parts,checking the NONE boxJbr each part where you have no reportable in~brmation. Sign on la~tpage.

1 . P O S I T I O N S . m,,,,,,,i,; indi~id,,al o,,~v; ~e~pt,. 9-13 ,~ff!li,,g~ N O N E (No reportablepositions.) "

P OSITION NA M E OF O R GA NIZA TIO NiENTITYI.

~ N ON E ~ v reportable agreemen~ )D A TE PARTI~S AN~ T~RMS


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FI NA N C I A L D IS C LOS U R E R EPOR T ~ .... fP .....Report ingPage 2 of 8 Amon, CarolB.

A. Filers Non-Investment IncomeNONE (No reportable non-investment income.)

D A T E SOURCE A~ TYPE ~OM~~ours. nor2 0 0 9 Brooklyn Law School - Teachin~ $16,000.00

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - tf ~.o,, ,~,r, married d ,,ri ,,g any p,,rri ,,n ,,frt , e report,,,g y*,*r, coml,hte this

~ NONE (;Vo reportable non.investment income..)D A T . _ ~ _ ~ S O U R C E A N D T Y P E

! 2 , " ) 0 q Self-Employed Attorn ey - Law Partnership Distribution

I V . R E I M B U R S E M E N T S ....... , ~ , . . . . . i o . . ~ o e g i . ~ , / , , o d . . . .. . .. i: NONE (i\"o reportable remlbw~ement.,..)

SO UR CE D A TES L O CA TIO N P~POSE IT EMS P A ID O R P RO V ID E DI Pcpper~ine University School March 1 8 - 22, 200a Malibu, California Lecturer Transao~tatioe. lodging and~ f L a ~

3


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FI NA N C I A L D IS C LOS U R E R EPOR T ~ . . . . . . r P . . . .. . R ~ p o . , ~ o ~ I D.,,o,.,por,Page 3 of 8 . ~ m o n , C a r o l B . i 0 5 / 1 5 1 2 0 1 0

~ _ ~ N O N E (No reportable gifts.)~ D E S C R I P T I O N V A L

I.2,3.4.5.

V I . L I A B I L I T I E S . (Includes tl .... ef ~ ....... d depend ..... h,ldren; see ~p. 32-J3 oyyiling ira ..... ion~.tN O N E ( V o reportable liabdiries.)

C R E D I T O R D E S C R I P T I O N V A L U E C O D E

2.3.4.5.


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FI NA N C I A L D IS C LOS U R E R EPOR T ,~ .... fP ..... R e p o r t i n g ] D a l e t : , f a e p o | tPage 4 of 8 A . ,o . , C . r o ~

~ N~NE (No reportable income, assets, or transactions.)A B C D

D e 3 c r : p t i ~ n o f A a s e t ~ [ I n c o m e ~ u r m g G r o s s v a l u e a t c a d T~nsac:tons during re~omn~ p,:~od( m c l u d l n gP i ; ~ c e " ( X ) " ~ f g e r e a c h a s s e t ~ A m , ) m ~ ( : T y p e ( e g , V a l u e V a l u e T y p e { c g , D a t e V a l u e G a i n I d c n t i ~ o f

e x e m p t l r o m p r m r d ~ s c l o s u re , C o d e I d i v , r e n t . C o d e 2 M e t h o d b u y . r o l l , m~,d~ )~ Code 2 C ~ d e [ b u y e r / s e l l e r(Q-W) t r a n s a c ~ t o n )

~ IK~ A ccts Cflibank, Bklyn,NY ~ Dividend K TF ide li~Ad DynamicCap~tatAppFudLaw Partnership Ca3.Acct N o r s e M T

3. Thomas G. Amon Pension Plan A I n t e r e s t J T4 . Thomas G. Amon Pr~hrPlan A interest J T

i 5 . Cifihank N.A., Money Market B l r . t e r c s t M T,6. Fidelit)ContraFund II A Dividend J T7. Fidelity h~dependenceFund A Di,,idend J T

Dynamics FD Class B (Name change A Dividend J T!n ,esco/AimFieelity Ad Eeuip,., Growth A Dividend K T

!| ) Fideiity Ad. Tech Fund A Dividend J "1"I I Legg Mason Par tners Fi~ancial Services A Dividend J TF u n d 1 3! 2 kegg Mason Par tners Large CapVaiue Fm~d A Dividend J -IBI 3 . NIF5 ModerJle Allocatio n [! Div idend N 1 r

1 4 Chase Se!eel Checking ~ k lnteresl J TFour Vvinds Inv. LLC

16 Ur, iphyd, h,c . (Y )[ 7 Biodeisel Mnerica, Inc. (Y) I__ L


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FINANCIAL DISCLOSURE REPORT .~ .... fP .....Reporl in~ Da , e o f R e po , tP a g e 5 o f 8 , \ m o , ~ . c ~ r o ~ B . , ~ ! ~ 5 , 2 0 ~ oV I I . I N V E S T M E N T S a n d T R U S S -- ~ . . . . . .. . . t . . .. . . .. . . .. . ~ o , , . ~ . c t . a ~ , ~ o ~ o o . ~ . . . . . . . ~ a . p . . d , . , ~ , , ~ , ~ , ~ , ,~ ~ . ~ - ~ o o / t ~ i , , ~ i . . . .. . . .. . .. . ~

N~NE ~%o reportable income, assets, or tran~~zctions.).A B C. D.

D,z~~p t ~e n o f A ~ t s Income during (]ros~ ~ai,ae at end T~nsaet ions during repo~h~g pedodf inc .udmg ~ust ~sets) i :cp,J~ing period cf report ing pefod

P~acc ~X~" af te r ac~ asse t Amo~n~ [ ypc t e . g , Value Valu e " i,..~e (e .g .. I Date ~ V~lu I Gain lder .n(y ofexempt ffem prior disclosure C~e I ~v, rent. Code 2 M e ~ h ~ ) d buy. sell, m~d~. ~ Code 2 [ Code [ baye~,~eller

: (A-If) or i ra .) (J-P) Code 3 redempliun) i [J-P) ~ ;A-t l) [ifpmare~ [ Q . W ) I i Iransacuon)

18. E n c o r e N e ~v u ~k s , [T~. (See V1 ) N o n e M T~ 19. W e b c a s t i ng T V, l r ~ e . (Y ) ~~ 20. Rental Property - Newporl, V See V!II) B R e n t N W See VIII

:: 21. Equitable Va~ble Life Policy D Imerest J T

Alpha h~l l Holdings Inc . (Y)

23. Vill)Ake~ative Construction Tech. Inc. {See None ~ T

24 . Rental Prope~ Newport. Vt. (See VIII) N o n e M R

2 5 . Cranston 11, LLC (See V I) N o r . e J U2(:, Aim T e c h n o l o g y F D A Dividend

27 Acceler ,~Ied BuilJing Concepts Corp (Seev~ I I ) t Y )2 ~ . LIFP. ln c (3)29 . S on~ c M ot m t a i n s I nc N o n e N U

3[. Cit lBank LD A In le res t J T

32 . J o l ~ n s o n & J o h n s o n s t o c k a , Di v i d e n d J T

33 Paws Plu s , h~c. ( . f lee VIII) [ N o n e K T Bu y 09115/0934 . Thon~p~on Creek N te .a is ,x . me Bu y 06/22109


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FI NA N C I A L D IS C LOS U R E R EPOR T ~ ..... r ~ . . .. . R ~ p o , , i , , ~ D ~ , , o , R e p o r , /I6 of 8 a m o . ,C ~ o l B . 0 ~ / l _ ~ , : 0 1 0 ]Pa geV] I. 1 N VESTMENTS an d TRUSTS - , . . . . . . . . . . t . . . . . . . . . . . ; , , , , tI, cl~,le, a,,,,e 4sl,o,,,~ a,d depend .... I, ild,en; ,,e ,,p. 34-6 0 o [ f ! l i , , g . . . . .. . . . . i o n , . )

N O N E (No rep ortable income, asseL L or transactions.)A l B . C . i O

e x e m p t t r o m p r m r d ~ s c l o s a~ e C o d e I d i v . . r e n t . C o , le 2 M et h o d ] b a y . s e l l . : m~d&yy Code 2 C o d e I e u y e r l s e H c r: (A-H) o r i n t . ) ( ~ - P ~ C ~ t i t r c d c m p : m n j . (J ) , A - H i ( l l p n ~ a t e

: , 3 5 . Thompson Creek Me~als None Sold 07/t6/09 J B{ 3 6 Novartis None Buy 07/24/~9 I3 7 ~ v a r ~ i s N on e S o ld 0 9 / 2 9 z 0 9 J A3 8 . T h , . . m p s ~ m Cret:k blelals None B uy I 0 , 0 2 / f l9 J3 ) . Thcmpson Creek Metals None & . ~ ld 1 1 1 2 3 1 0 9 J4 1 1 . g m : ~ a n a G o l d Nnne [ ~ u y I 1 t 3 0 / 0 9 J

! :I !. Y m ? , a n a G o l d N o n e S o l d 1 2 . 0 2 / 0 9 J A


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N a m e o f P e r s o n R e p o r t in gP a g e F I N A N C I A L 7 o f 8 D I S C L O S U R E R E P O R T

I ,~ m o . , C a m = B .|VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Re: Par t VHI t e n~ 18 - M a r ke t va l ue o f ve s t e d ~ p t i ons l e s s e x e r c i s e pnLc e o r , 12 /31 /0 9 .[ten, 20 -Rentai prope~ty iocatcd in Ci_w of Newport. Chittendor, County, Veru~oni h~herited by ~1 in 199,1. Value at date acquued - $21D,000.iten~ 23 - Full description - A!ternative C O t Z S l ~ l c [ J o ~ rech, [no, FiK/A Altc~z~liveCons~ction C o , In c . ( R c s l ~ c l e d Sleek)hem 24 - Rental property located in Cib ,afNewport, Chittendon Counb, Vem~ont acquired by ~]on Senlember 5.2f}115 Purchase pffce - $220.000.llem 25 - Inlerest i~: Cranston I1, LLC is owned through Denmark :danagemenl. LLC.llem 27 - Full desc~ption - Accelerated Building Concepts Corp., F,:~"A New Centue/Slmclures. Inc. (Restocked Stock).llem 30 - Nlalket value of vested options less exercise price at 1213 i;09l ~cm 33 - Mar k e t v ~ t ~e o f v es t ed c p ~ i o n s l e s s ex er c i se p r i ce a t 1 2 / 3 . / 09


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FINANCIAL DISCLOSURE REPORTPage 8 or" 8 Amo n, Carol B. 05/15/2010

IX. CERTIFICATION.I cer t i fy that a l l informat ion given abov e [ inc luding inform at ion perta ining to my spons e and m inor or depent lent chi ldren, i f any) i saccura te , t rue , and c~m ptete to the besl of my knowledge an d bel ief, and Ihat any informat ion not reported was withheld because i ! m et appl icable sta lutoryprovisions permit t ing non-disc losure .I further cert ify that earned inco me from o uts ide employmen l and hono raria aud the acceplance o f gif ts which have becu rq~.rl~d ate incompliance with the provis inus off U.S.C. app. 501 el . seq. , 5 U.S.C. 7353, ant i Judicial Conference reg ulat ions .

Signature__] __

NOTE: ANY INDIVIDUAL ~A.lIO KNO\VINGLY AND ~AILFULL" FALSIFIES OR FALLS TO Fll.E TI llS REPORT MAY BE SUBJECT TO CIVILAND CRI~IINAL SANCTIONS (5 U.S.C. app. 104)

FI LiNG FNSTRUCTIONSMail sig~aed eriginal and 3 additiona! c{~pies m:

Committ~:e o~a Financiai DisciosureAdminisl :at ivc Or-r ice of the United Slates CourtsSuite 2G01One Colum l~us Ci rc le , N.E.W ashing ton , D C. 205d4

carol bagley amon financial disclosure report for 2009

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