sidney h stein financial disclosure report for 2009

8/3/2019 Sidney H Stein Financial Disclosure Report for 2009

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*o Jo [ FINANCIAL DISCLOSURE REPORT in Govermnen t / l~t of 197t~R e v . 1 / 2 0 1 0 [ FOR CALENDAR YEAR 2009

S TEI N, , S I DNEY I I . U . S . Federa i Dis t r i c t Cour t 8 / I 5 1 2 0 1 0

[ - ] Nomiu~l lmn . D a t e 0 | /01 /2009U. S . D . C J u d ge - Ac t ive S t a t u s [~ ] ta , tml ~ A ....... I [] F i , ~ a l [ :"1 2 , " 3 1 / 2 0 0 9

5 0 0 Pear l St ree tN e w Y o r k , N e w Y o r k 1 0 0 0 7 - 1 3 1 2

IMPORTANT NOTES: The instr.ctiot~s ctccoml~myittg this./brm must beJollo,~,ed. Complete all parts.checking the NO,NE h,,x for etch part u,hete you h ave t~ o reportable ittformatiott. Sigt~ o~ last p~Ige.

(No repurtable po s i t ions .)O N EP O S IT IO N N A M E O F O R G A N IZA T IO N /E N T IT Y

M e m b e r . Bo a r d o 1 " D i r e c t o r s P r a c t i s i n g L a ~ v I n s t i t u t e . a n o t l ~ r p r o f it o r g a m z a t ; o n ~ o r c o n t i n u i n g l e g a leduca t i o l ~

II " " ~ - o A G R E E M E N I S . c~,.v,,,a,,x.i,,,,,ia,,,~,,,a...,,.~,~,. ~ 4-1 ~,,~f,,,,~ in strttctiotts.) ~N O N E (N o

PARTIES AND TERMS ~-~ ....


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

IlI. NON-INVESTMENT INCOME.A. Filcrs Non-Investment Income

N O N E (No reportable non-investmem income.)DATE S O U R C E A N D T Y [ ~ I N C O M E( y oL n S , ~ 0 ~

1 . 2 0 0 9 W es t S e r v i c e s , I n c . - R o y a h y $6. 936. 42

2

B. Spollses N o n - l n v e s t m e n t I n c o m e - l f )u,u aere m#rr i~xl dur i .g atg, pot t ion o f the repot t ing year , comple te thi s se~:t ion.

N O N E O Vo r e p or ta b le non- inv e s tm e n t inc om e . ]D A T E S O U RC E A N D T Y P E

2

34.

IV . REIMBURSEMENTS .......N C ) N E ( : V o reportable re imbursements . )

~ D A T E S ~ ,OC A T ION P U RP OS t~ I T E M S P A I D O R P R O V I D E DI. N ~ C i t y B a r A s s o c i a ti o n a n d 12/5/09 - 12t l 5 /09 Be ijm g an d N m lt tm g , P ar t ic ipa ti n g m C hin ~e T r a n s p o r t a u o n . l o d g i n g a n d f o o dN a t i o n a l C o m m i l t e e o n C h i n a g o v l r u l e o f l a w c o n ~ . &U S - C h i n a R e l a t io ~ ) s c o n f e r e n c e s w / C h i n e s e b a r

2.3.45.


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FINANCIAL DISCLOSURE REPORT NPage 3 of 1 0 S T E I N , , SIDNEY t l . 8 / 1 6 / 2 0 1 0

V . G I F T S . ~t,,,.~,.~.~ ., ........ ,~ .......... ~ a~;~.,,,~,,..~,~ .......... ~,v. 28-31 ~Jiti,,g i , t x t r u c t i o n a . )N O N E ( N o reporlab& g~fis.)

S O U R C E D E S C R IP T IO N V A L U g1 .

2 .3 .4.

5.

V1. LI ABILITIES. r~ ,~ , ,~ - a ,o~ , ,~ .wo . . . . .. . . ~ ,~p~ , ,a~ . , ,~N O N E (No reportable liabilities.)

C R E D I T O R D ES CRI I ,"rl ON V A t .U E C O D E

2 .3 .4.5.


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FINANCIAL DISCLOSURE REPORT , ~ . . . . . . .~ ~ ~ . ~ o n l ~ p , , r m , ~ l > ~ , , . . , , t R , ~ p ~Page 4 of !0 S r t ~ IN . . S mN ~ : V . . 8 n6 ~0 t0

VII. INVESTMENTS and TRUSTS - ~ .............. ~,,,.,, . . . . . . . . . . . . i , , , , . , r t , , ~ n , , ~ , , , , ~ , , , ~ , ~ . , ~ . . . . . . . . . . . ~ , , , ~ , , , , ~ , , , , , ~ , , , ~ , ~ , , ; . , - , , ~ ~ , p . ~ - ~ o , , / ~ t ~ , ,g i . ~ t . . ~ , i , , . . . )N O N E (No reportable incom e, osse ts , or transocczons.~

( O - W ) t ransact ion)

1 . ~ONEY MARKETS

2. 3PMO~GAN U.S. GOVT, B l o t er es l P I T ~3. DREYFUS MUNI MAEKET C ht ter es t L T4. ( n o w B N Y M e l l o n N a t l M u n i M a r k e l F d . )

6. COMMON STOCKS

7. ~ERKSHIRE ItATHAWAY CORP. N o n e PI 1"8. 5 1 80 G R A N T A V E N U E C O R P . D D i v i d e n d P I W9. JANUS CORE EQUITY FUND (IRA) G D i v i d e n d P t T

11 . TA X EX EM P T BONDS1 2 . NEW YORK ST ltSG FIN AGY GEN |ISG C In t er es l K TSER Bt3 . NEW YORK ST MTG AGY REV C In t er es t M lH O M E T O W N M T G - 2 9 - A . R l v lK T1 4. N I Y S T A T E P O W E R A U T H G E N K E V 1) In t er es t L 1"ETM SF.R A1 5 . NY STATE PWR AUTH REV & GEN A ln tc re s l K T R e d e e m e d 1 1 2 1 0 9 JPURl SER DETM (pa r t )1 6 . N Y S S T A T I : , P O W E I?, AUTH SER G I/l/It B I r a e re s t K T R c d e e F n e d I , . " 2 / 0 9 J(pa r t )1 7 . NYS MTG AGY D In l cr cs t } S o l d ) 5 /26/09 M 1 3

1 I


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FINANCIAL DISCLOSURE REPORTI N f ~ I ~ e ~ , o , t l ,~ . . .. . . .. . .. . .

P a g e 5 o f l 0 STEIN,SIDtNEY 1I. 8 / 1 6 ! 2 0 1 0V I I . I N V E S T M E N T S a n d T R I JS T S - ~ ......... ~ , value, t ........ im,s (lnclndes tl ........ ~ f s I ..........d del, e#tlent cMlaren; .~eel,l). 34-~0 of flti~g in.~tructi,,ns.)

~ N O N E ( N o reportable income, assets, or transactions.J. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ~ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ~ . . . . . . . . . . . .. ~. ...................................................... ~. " ....................

() ) { 2 ) O1 ~2) it] , (2 ) {3 ) (a ) (5~ "

: (A-H) or int .) (J-P) C oda 3 redem ption ] (J P) [A-H) ( if ~ r iva te(Q -W) tr~ n ~ c u o n )

, 18. NEW YORK ST. HSG FIN AGY GEN SER D ! I n l e r c s t M T~ A 1 9 . NEW YORK STATE POWER AUTI!. C h~ter cs t K T

20 . DUTCHESS CTY. NY 5%, 8/I/09 B ln t c r c s t S o ld 3 / ~ 7 / 0 9 M B[ 2 1 . MTA N.Y. 5%, 7/1/I I C l n l e r c s t M T

22 . N . Y . S . E N V . 5 . 2 5 % , 1 0 / 1 5 / 2 0 C h ~tc r c s t S o ld 6/1 2 /0 9 M23 . N . Y . C . 5 % D U E 2/1/24 D i n t e r e s t M T24 . N.Y.S. THRWY. AUTH. 5.3%,4/1tt5 D I n t e r e s t M T2 5. N.Y.S. SER. C4/15/13 B In te re s t S N d 3/25109 M D26 . LON G ISLAN D PWR 5%, 8 / 1 / 1 7 C t n t e r c s~ M2 7 . A R D S L E Y N Y 4 .25%. 6 / C I m c t c s t M T2 8 . PORT AUHI, NY & NJ 5%, 211/20 D t n l c r c s t M T2 9 . TOBACCO SETTI.EMENT FING CORP. A In t er es t K T5 % , 6 1 1 1 1 230 - ERIE CTY NY 5.75%, 5/t/25 C l n t e r c s t L T31 . N A S S A U C : I Y N Y 5 % , 7 / 1 / 2 2 C l ) dc r e s t M TI

3 2 . N Y S D O R M 5 % , 7 / 1 / 2 1 C I m c ) c s t M Ti 3 3 . T R I I " I O R O U G H B R D G & T U N L 5 , % , C I n t e r e s t L TI t / 1 5 1 2 3

34 . MINNEAPOLIS MINN. 6.375~, dtd I A In t) ~s l J T11112 /08 I


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F I N A N C I A L D I S C L O S U R E R E PO R T N . .. .. r e . . . .. i ~ p o ~ u , , gP a g e 6 o f l 0 s r ~ ,, ~ m ~ v n .

V I I . INVESTMENTS and TRUSTS -- ~ ....... ~, val ......... suetltms a,tclades tht,se of sp ........ a det, e,,de,,t child ........ IP. 34~0N O N E "No rvpo rt~zble income , asse ts , or transactiot ts . )

[ ~ ............ ~ .............................~ (I ) (2 ) (0 ~ 2 ) (~ ) ~ (2) (3) (4) (5)~ Place " (X) " a~cr c~ch as s e t I A m o u nt T~pe ( c . g . , V a htc V a lu e Type ( c . g . , Date ~ V a l u e Gain Idc~ity~ [ (A- ~t ) o r in t.] ( I-P ) C ode 3 rcd cm pt~o a) . (J -P) ~ ( A-H) ( if pr ivate~ ~ : (Q-W) ~an sac l i on )

35 . N Y S D O O M A U T H 5 ~ Y o , d t d 3/!5/24 C I n t e r e s t [ M T

36 . NYS DO~ 5.25%, 5/15/15 D h~ter es t M T [~ uy 3 7 11 /0 9 M

37 . N A S S A U C T Y N . Y . 5 % , I 1 / 1 5 , 1 5 C I n t e r e s t M T Bu y 3 i1 7 !0 9 M38 . N Y C , N V 2 . 7 5 % , 1 / 1 1 3 6 B I n t e r e s t 1..1 T B t ~ y 4/ ! / 09 L39 . C A L I F O R N I A S T A T E 5 . 5 % , 4 /1 1 1 9 B l l ~ t e r c s t L f t3uy 4/2/09 L

: 4 0 . CITIZENS PP TY IN S, COl( I: . 5 .5%, 6 / I/16 C I n t e r e s t L T Bu y 5 / 7 / 0 9 L41 . M T A 5 . 5 % , 1 1 / 1 5 1 1 7 B l n t e r e s l L T Bu y 5126/09 L42 . N Y S O O ~ v l 5 %, 2/~5il8 B I n t e r e s t M 3" Bu y 6/2/09 M4 3 . A L LE G HE N Y C I T Y, P A . 5 ~ o, 8! 15 11 9 B l n t e r e s l L 7 " Bu y 6/3/09 L44 . NORTH PENN PA 5%, 9ilil6 B I n t e r e s t M T Bu y 6/5/09 M45 . N Y C , N Y 5 . 2 5 % 9 1 1 / 2 1 C h~teresl M T Bu y 6/I 5/09 M46 . N Y S D O R A , I 5 %, 7 ID 1 8 N o n e K "F Bu y 1 V 5/0 9 K

[ . : 1 7 . C A L I F O R N I A S T 5 ~ . q , . 7 / I/ 1 7 N o n e 14. T Bu y ] I .t5 /09 K48.

49 . MUTUAl. FUNDS50. !3RANI)YWINE FUN[) 1NC. N o n e O T


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F I N A N C I A L D I S C L O S U R E R E PO R T ~ . . . . . . f P . . . . . R . a p o r f i n g D . . . . f R e p o r lPage 7 of !0 S T ~ a N . S m N Z V I I. 8 / 1 6 / 2 0 1 0

VII. I N V E S T M E N T S a n d T RU S T S - i ........... l u g . , . . . . . .. a , , , , . , . a , , , . ~ , , a , , . ~ a , , , . , . , ~ , , s . ~ / . . . . . . . . . . . . a a , , w , , d , , , z ~ a t a : , , , : ., , , ~ , ~ . ~ 4 - ~ o o : : t i , ,s ~ ........., , , , , . :~ (No reportable assets, orONE income,

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . { . . . . . . . . . . . . . i f ? . . . . . . .. . . ~ ...... c. ............... 6 . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . .. .A.

{A - H) ~ o r i n t . ) {J-P) C o d e 3 i r c dc m p h on} (J-P) ~ ( A -H ) {if prwa tc

5 2 , V A N G U A R D 5 0 0 I N D E X F U N D Bu y 3 / 2 7 / 0 9 J5 3 . V A NG U A R D 5 00 I NDEX F I 3ND Bu y 6 / 2 4 / 0 95 4 , V A NG U A R D 5 00 INDEX F U N D Bu y 8 / 1 9 / 0 95 5 . V A NG U A R D 5 00 INDEX F U N D Bu y 9 / 2 9 / 0 9

5 6 . V A NG U A R D 5 00 INDEX F U N D t: D l v i d e t , d I"1 T Bu y 1 2 1 2 9 1 0 95 7 . D A V I S N Y V E N T U R E F U N D I N C . c g . A D Div idend Pl T Bu y 1 2 1 2 3 1 0 95 8 . B N Y M E L LO N N Y T A X E X E M P T F U N D Buy 1 1 3 0 1 0 95 9 . [~NY MELLON NY TAX EXEMPT FUND Buy 2 / 2 7 / 0 96 0 . 13NY MELLON NY TAX EXEMPT FUND Bu y 4 1 2 1 0 96 1 . DN M EL L ON NY TA X EX EM P T F U ND Bu y 5 / 4 / 0 96 2 . BNY IVlELLON NY TAX EXE MPT FUND Bu y 6 1 2 1 0 96 3 . B N Y M E L LO N N Y T A X E X E M P T F U N D Bu y 7 / 2 / 0 96 4 . B N Y M E L LO N N Y T A X E X E M P T F U N D I g u y 8 1 M 0 96 5 . BNY ivlEI.LON N5" TAX EXEMPT FUND Buy 9 / 2 1 0 96 6 , B N Y M E L LO N N Y T A X E X E M P T F U N D Buy t 0 / 2 1 0 96 7 . BNY MEI, LON NY TAX EX EMPT FUND Bu y ! 1 / 3 / 0 96 8 . BNY MELLON NY "FAX EX EMPT FUND G D ~ v i d c n d P I T Bu y 1 2 / 2 / 0 9


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F I N A N C I A L D I S C L O S U R E R E P O R T[ s rtz~, , SIONEvage 8 of 10 8 1 1 6 1 2 0 1 0

V l l . I N V E S T M E N T S and TRUSTS-- i ............ i , , , , , t . . . . . . .a , , , , a , ~ . l , a , . , , , , , ., , , , ~ . v . . . . . .. . . . .u w , . ,, d , , ,, c h ~ u ........ pp. 34-60 of filln~ i~ NO NE (No report(~bte incom~ assets, or transactions.). . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . .. . . . . . . . . . . .. . . . . . . . . . . .. . . . ~ . ~ . . . . . .. . . . . i ~ , . . . . . . . . . . . .. . . . . . . . . . .. . . . . . . ~. ~ .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ~ _ - . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Place " (X) " af t er ~ t ch as ~ct ]A m o u nl ~ "v~ (c.g, V alu e V a lu e [ T y p e ( c g . . D a t e . Va l u e G a i n [dcn l i t y o fxctnp t f r o~ p r io r d i s c los ur e ~ C o d e [ dlv. . reel , C ~ I e 2 M c d ~ o d buy. se l l . m m &l d .~ y) ~ C o d e 2 C o d e I buyer/se l ler~ ~ or i l ~ ) (J -P) C o d e ~ r edempt i on ) ( . 1 - P ) ( A-H)

~ ...............................................................................69 . FRONTEG~A FUNDS D D i v i d e n d PI T Bu y 12i21/09 ~ J70 . V A N G U A RD I N D E X F U N D S Buy. 9/3/09 N

7 I. V A N G U A RD I N D E X F U N D S Bu y 9 / 2 4~ 0 972 . V A N G U A R D I N D E X F U N D S D D i v i d e n d N T B~ y 12 /22 /09 J73 .

74. MISCELLANEOUS

"~5. CASH, JPMORGAN CIIASE E I n t e r e s t O T76 . FINE ARTS HELD AS D R ~ n t P I WTENANT-IN-COMMON77 . ARBOR PPTY TRUST N o n e K T78 , S E R V 1 C E M A S T E R L P N o n e M T79 .

80 . N O T E : , I LI D G E S I E I N H A S E L E C T E DNOT TO LIST 1NFORMATION~

I


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FINANCIAL DISCLOSURE REPORT [ ~ ......~, .......~ . . . , , r t ~ . ~Pag~ 9 of 10 [ s T ~ , , s m o k y n ,

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


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FINANCIAL DISCLOSURE REPORT t ~a,.~ of~er~o,,t~eport~ngI Oat~or aepo,,age 1 0 of 1 0 S r E I t ~ ,, S l ~ N E Y r l . 8 / ~ 6 / 2 0 ~ 0

I X . C E R T I FI C A T I O N .I certify that all infiwmation given ;~bove (including ioformation pertaining to my spouse and minor nr dependent hildrct~, if any) isaccuratc~ Wu, alld complete to the best of my kno~vIedge and belief, and that any informatioo nol reported was withheld bccanse it met applicablep r o v i s io n s p e r m i t t in g n o n - d i s c ~ o s l l r c .I further ccrti[y that earned Income from outside employment and hol~orarla and lhe aceeplante of gi Its which have been reporled are i~lcompliance with the provisions of 5 U.S.C. app. ~ 501 el..~eq., 5 U.S.C. ~ 7353. and Judicial Conference regulations.

S ig n a~u~

NOTE: ANY INDIVIDUAL WIlO KNOWINGLY AND WlLFULLY FALSIFIES OR FAILS TO FILE Tills REPORT MAY BE SUBJECT TO CIVILAND CI~IMINAL SANCTIONS ~5 U.S.C. app. 104)

F I L L IN G I N S T R U C T I O N SM a i l s i gn e d o r i g in a l a n d 3 a d d i t i o n a l c t ~ p ~ c s ~ o :

C o m m i t t e e o n F i n a n c i a l D i s c l o su r eA d m i n i s tr a t iv e O f fi c e o ~ t hc U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c le , N . E .W a s h in g t o n , D . C . 2 0 5 ~ 4

sidney h stein financial disclosure report for 2009

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