Alvin K Hellerstein Financial Disclosure Report for 2003
Number of Pages:11
Date Created:February 2, 2005
Date Uploaded to the Library:November 12, 2013
Autogenerated text from PDF
11/24/2003 10:42 FAX 212 805 7942 JUDGE :ALVIN HELLER.STEIN UNITED $TATES DISTRICT COURT SOUTHl::RN DISTRICT NEW YORK SOQ f"Ji;ARL. STREET NEW YORk, 1000'7 tSBt lZl2)8CS-01$2 ALVIN HELLERSTEIN UNITED STATES DISTRICT .JUDGE November 24, 2003 Honomble Maiy Lisi, Chair Committee Financial Disclosure One Columbus Circle, N.E. Washington D.C. 20544 Dear Judge Lisi: write respond your letter dated Novem1:1er 2003 concemin.g Amended. July 21., 2003, for the calendar year ended December 31, 2002. With respect your comment regarding Part VU, line believe that answer was coi:rcct since, -.vu advisedby the administrator the: investment, the value the asset the end 1the reporting period was therefore reported "nonenr. Ifthe equivalent val code for "O" J'', and the instructions are not clear the point, altemati.ve answer value c:odc "J", and that answer may substituted line column C(l). With respect your comment regarding Part VII. 3., lines 40-44. believe i!IIISWCr was conect because the assets were held previaus years part the bundle assets reported Part VII, line 16. However, ifyou believe that the distn"buticrn dates from SSL Invescment Partner.ships (the asset reported line 16) should ha"le been disclosed, the infonnation follows: -line 40: 8/8102; 11n102 -line 41: 8/30/02; 12110/02 -line 42: 1/9/02 -line 43: 214/02 -line 44: monthly, throughout understand response this letter con.i;idered amendment 2002 repon.. enclose tbiee copies this response. Alvin HeUcrstein United States District Judge VIN HELLERSTEIN UNITED STATES DISTRICT JUDGE Honorable Mary Lisi, Chair Judicial Conference the United States Committee Financial Disclosure One Columbus Circle, Washington, 20544 Dear Judge Lisi: respond your letter dated September 2004, asking for additional information with respect report dated August 10, 2004 for the year ended Dfember 31, 2003. Part VII, page line 36: "none" should inserted Col. B(2). Part VII, page line 64: the shares Kyphon, Inc. that were donated December 15, 2003, disclosed the Report, were distributed earlier that year, December 10, 2003, Warburg, Pincus Funds. Please refer Government Act 1978 R,.1/2004 Calendar Year 2003 l!.S.C. app. 101-lll) Person Reporting (Last name, First name, Middle. initial) Coun Organization Date Report Hellerstein, Alvin U.S. Distriict Court-NY-South 8/10/2004 Title tArticle lil Judges indicate active senior status: ReportType (check appropriate type) Reporting Period magistrate judges indicate full-or part-time) NominatJion, Date 1/1/2003 U.S. District Judge (Active) Initial @Annual Final 1213112003 Chambers Oflice Address the basis the infonnation contained this Report and any modifications pertaining thereto, is, opinion, complian1ce United States District Coun with applicable laws and regulations. 500 Pearl Strec;t -Room 1050 Reviewing Officer. New York, New York 10007 IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions) NONE (No reportable positions.) Board Member (uncompensated) Centra Condo c:: ::0 C:: "T1 o-0,..,..,:z: -'l> X,% .z:: "12 II. AGREEMENTS. (Reponing individual only: see pp. 14-16 tiling instructions) ::c -nZ-.:z: -_: NONE 1tNo rcponabh.:agr1:1.:mcnt.) c:::> 1/1/96 Stroock Strooek Lavan ll.P, former law firm (Pension Plan for retired partners)(No Control) l/Ji89 Stroock Strooek Lavan Retirement Plan (management firm's IRA and 401K plans)(No Contrc1l) Iii ;s.,i Stroock Stroock Lavan Investment Partnership (No Control) FINAl,1CIAJ_, DISCLOSURE REPORT Name Person Reporting Date Report Hellerstein, Alvin 8/10/2004 III. NON-IlifVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 offiling instructions) Filer1s NonInvestment Income ;-1 NONE -(No reportable non-investment income.) 2003 AND TYPE Pension from fonner law firm INCOME (yours, not spouise's) 369,342 Spouse's Non-Investment Income -(If you were married during any portion ofthe reporting year, please complete this section. (dollar amount not required except for honoraria) NONE -(Nci reportable non-investment income.) IV. REIMBURSEMENTS --tnmsponation, lodging, food. entertainment (Includes those spouse und dc1Pcndcnl children. Sl.'C pp. 25-27 ofinstructions.) '. NONE (No such rcportahl1: reimbursements.) SOURCE VI. LIABILffIES. (Includes those spouse and dependent children. See pp. 32-34 ofiru:tructions.) NONE -(No reportable liabilities.) FINA.'.'TCLA.L DISCLOSURE REPORT Date ofReport Page 1of4 Heilerstein, Alvin Name Person Reporting 8/1012004 .VII. INVESTMENTS and TRUSTS -income, value. transcations (includes those ofthe: spouse mid dependent children. See pp. 34-57 filing instructions.) D Income during Gross value end Transactions during reporting period Dcscriiplion Assets reporting period reporting period (including trust assets) not exempt from disclosure (l) (!) (I) Place "(X)" aler each asset exempt Amount from p11or disci1)Sure Code (AH) NONE (Nill repo1iable income. ass.ets. transactions) New York City Condominium Morgan/Chase Type (e.g. div. renl. int.) Value Code2 (J-P) Value Method Code3 (Q-Wl Rent Interest (2) (3) (4) (5) Type (e.g. Date: Value Gain Identity buy, sell. Month Code2 Code buyer/seller merger, Day (JP) (AIH) (if private redemption) transaction) Deposit alimn Franklin Templeton Mut. Qua!. Fund (IRA) Dividend Dreyfus Money Market Funds Interest USCO Disnibuti1>n Services Inc. (see fn. Dividend Stroock Stroock Lavan Retirement Plan (See fn. -Tattersall Adv. Group (See fn.3) -Bernstein Equity Fund (See fn. -Alliance Col'p. Mgmt. Fund (See fn. 10. -Dreyfus Liq. Assets (Sec fn. 11. -C.S. McKee, LP. (Sec th.3) 12. -Brandes linv. P:nrt. Fund (S1..'C th. 13. -Private Capital Mgmt. (See fn. 14. -Essex Inv. Mgmt. Fund (See lb. 15. -Alleguinee Capital (See lh. 16. Barrick Gold Corp. Dividend 17. Mellon Bank Corp. Dividend 18. SsL lnvesunent Panncrships Dividend ------1:>.:c L.tiunm; .t.'