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Judicial Watch • Alvin K. Hellerstein – 2012

Alvin K. Hellerstein – 2012

Alvin K. Hellerstein – 2012

Page 1: Alvin K. Hellerstein – 2012

Category:Federal Judges

Number of Pages:7

Date Created:January 3, 2014

Date Uploaded to the Library:May 22, 2014

Tags:Hellerstein, Stroock, Footnote, Alvin K Hellerstein, ALVIN, Russell, shares, 2012, spouse, Codes, dividend, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Government Act 1978 Rev. FOR CALENDAR YEAR 2012 U.S.C. app.  !01-111) Person Reporting (last name, first, middle initial) Hellerstein, Alvin Court Organization U.S. District Court -NY-South Date Report 07/03/2013 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. District Judge (Senior)  Sa. Report Type (check appropriate type) Nomination Date Initial Annua] Sb. Amended Report Final Reporting Period 01/01/2012 12/31/2012 Chambers Office Address 
United States District Court 500 Pearl Street -Room 1050 New York, New York 10007 
/MPO ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) POSITION NAME ORGANIZATION/ENTITY Trustee synagogue 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instmctions.) NONE (No reportable agreements.) PARTIES AND TERMS 1/1/96 Stroock Stroock Lavan LLP, former Jaw firm (Pension Plan for retired partners)(No Control) 
1/1/89 Stroock Stroock Lavan Retirement Plan (management firm's IRA and 401K plans)(No Control) 
1/1/84 Stroock Stroock Lavan Investment Partnership (No Control) 

Date Report 
Hellerstein, Alvin 
07/03/2013 
Ill. 0N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instr11ctions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) 

SOURCE AND TYPE 

(yours, not spouse's) 2012 Pension from fonner law finn $465,094.00 Spouse's Non-Investment Income you were married during any portion reporting year, complete this section.
(Dollar amount not required except for honoraria.) 
[{] NONE (No reportable non-investment income.) 

SOURCE AND TYPE 
IV. REIMBURSEMENTS --transportation, lodging, food, entertainment. (Includes those spouse and dependent children; see pp. 25-27 offi/ing instructions.) NONE (No reportable reimbursements.)  SOURCE Institute for Law Economic Policy -2012 Conference  DATES 4/25-4/27/2012  LOCATION Puerto Rico  PURPOSE Panel Speaker for Seminar  ITEMS PAID PROVIDED Travel, Food and Lodging 
Date Report 
Hellerstein, Alvin 

07/0312013 GIFTS. (lnc/11des those spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE  
VI. LIABILITIES. (lnc/11des those spouse and dependent children; see pp. 32-33 filing instructions.)  NONE (No reportable liabilities.)  
CREDITOR  DESCRIPTION  VALUE CODE  Chase Mortgage Corp.  Mortgage, condominium 

Date Report 
Hellerstein, Alvin 
07/03/2013 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those spouse and dependent children; see PP 34-60

instr11ctions.) NONE (No reportable income, assets, transactions.) Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period 
(I) (2) (I) (2) (3) (5) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code 
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) Code redemption) (J-P) (A-H) (if private 
(Q-W) transaction) New York City Condominium  Rent Morgan/Chase  Interest Franklin Templeton Mut. Qua!. Fund (IRA)  Dividend  Redeemed (part)  11/25/12 Dreyfus Money Market  Interest Stroock Stroock Lavan Retirement Plan (See fn. -Delaware Investments -Thornburg Inv. Mgmt. -Atlanta Capital Management -C.S. McKee, L.P.  
10. -Westfield Capital Mgmt.  
11. -TimeSquare Cap. Mgmt.  
12. -Tocqueville Asset Mgmt.  
13. -Cramer Rosenthal McGlynn  
14. SS Investment Partnerships  Dividend  
15. -Warburg Pincus Funds  None  
16. -Loeb Partners Investments  Dividend  
17. State Israel Bonds  Interest Income Gain Codes: $1,000 less  B$1,001 -$2,500  c$2,501 -$5,000 $5,001 -$15,000 $15.001 -$50,000  
(Sec Columns and D4) 450.001 -$100.000 $100.001 -$1.000.000  Ill$1.000.001 -$5,000.000 More than $5.000.000 Value Codes  J$15,000 less  K$15.00 -$50.000  L$50,00 -$I 00,000 $!00,001 -$250,000  
(Sec Columns and D3)  N$250.001 -$500.000  0$500.001 -$1.000,000 $1,000.001 -$5.000,000 $5,000.001 $25,000,000  
1'3 $25.000.001 -$50.000.000 More than $50.000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment  T=Cash Market  
(See Column C2) =Book Value  V=Othcr =Estimated  

Date Report 
Hellerstein, Alvin 
07/03/2013 
VII. INVESTMENTS and TRuSTS income, value, transactions (Includes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofreporting period  

(I) (2) (I) (2) (3) (4) (5) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code3  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

18. Gilead Sciences Inc.  None  Donated (part)  12/20/12  
19. Regeneron Pharmaceutical  None  
20. Citibank Bank Dep.  Interest  
21. Northwestern Mutual (Life Ins.) (See Footnote  
22. Shares MSC! EAFE Index Fund (see Footnote  Dividend  Sold (part)  4/24/12  
23. Shares MSC! EAFE Index Fund  Buy  10/24/12  
24. Shares Russell 1000 Value Fd.  Dividend  
25. Shares Russell Midcap Value Index Fd.  Dividend  
26. Shares Russell 1000 Growth Fd.  Dividend  
27. Shares Russell 2000 Value Fd.  Dividend  
28. Shares Russell 2000 Growth Fd.  Dividend  
29. Shares Russell Midcap Growth Index Fd.  Dividend  
30. SPDR Ser SP Metals Mng ETF  Dividend  Sold  10/24/12  (loss)  
31. Vanguard Emerging Markets ETF  Dividend  Buy  4/24/12  
32. Vanguard REIT ETC  Dividend  Buy  5/4/12 Income Gain Codes: =$1.000 less =$1,001 -$2,500  c=$2.501 -$5.000 =$5,001 -$15,000 =$15.001 -$50,000  
(See Columns and D4) =$50.001 -$100.000 J00.00 -$1.000.000 =$1.000.001 -$5.000.000 =More than $5.000.000 Value Codes =$15.000 less  K=$15,001 -$50.000  L=$50.00 -$I 00,000 =$100.001 -$250.000  
(See Columns and 03)  N=$250.001 -$500.000  0=$500,00 -$1.000,000 =$1,000,001 -$5,000.000  1'2 =$5,000,001 -$25,000.000  
1'3 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2)  U=Book Value  V=Othcr  W=Estimated  

VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate part ofreport.) 
Footnote --Results investments, inclusive realized and unrealized gains and losses and dividends and distributions, are reported quarterly and for year end. separate figure for dividends was not reported me. gain loss reported, since the investment qualifies IRA/401-K. previous years, was subject mandatory withdrawal of!RA/401-K funds, and withdrew funds the value "M". 
Effective January 2012, the trustees terminated management Alliance Bernstein Equity. funds were transferred managed C.S. Mekee. 
Similarly, Brandes Inv. Part.'s management was terminated, and funds were transferred for managment Tocqueville Asset Management. the third quarter 2012, the trustees terminated management Macquarie Allegiance Corp. funds were transferred for managment Delaware 
Investments. effect those transfers was reduce the number manager investing funds attributed me, from nine eight. 
Footnote --Cash value and dividends are applied premiums, resulting paid-up life insurance, payable the second die between wife and me. Hence, the policy does not pay dividends, and has gross value. 
Footnote --The end the year information net after the sale reported Line and buy Line 23. 

Date Report 
Hellerstein, Alvin 
07/03/2013 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

Signature: Alvin Hellerstein 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 

Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544



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