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Judicial Watch • Laura T. Swain – 2011

Laura T. Swain – 2011

Laura T. Swain – 2011

Page 1: Laura T. Swain – 2011

Category:Federal Judges

Number of Pages:7

Date Created:December 1, 2012

Date Uploaded to the Library:December 24, 2014

Tags:Laura T Swain, Swain, laura, Growth, 2011, spouse, Codes, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Government Act 1978 
Rev. 112012 
FOR CALENDAR YEAR 2011 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Swain, Laura Court Organization District Court -SONY Date Report 05/12/2012 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) District Judge (Active) Sa. Report Type (check appropriate type) Nommation Date Imtial [{] Annual Sb. Amended Report Final Reporting Period 01/01/2011 12/31/2011 Chambers Office Address 
Daniel Patrick Moymhan U.S. Courthouse 500 Pearl Strei Suite 755 New York, 10007 
IMPORT ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Insert signature last page. POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Board Member Havens Relief Fund Society Board Member Federal Judges Association 
 
 
JI. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) NONE (No reportable agreements.) 
 
PARTIES AND TERMS 5195 Pension Plan Debevoise Plimpton LLP (fmr law firm), control 
 
 
 
Ill. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 SOURCE AND TYPE INCOME 
(yours, not spouses) 3/11-7/11 Yeshiva University -Salary for teaching Benjamin Cardozo School $17,000.00 Law Spouses Non-Investment Income Jfyo11 were married during any portion the reporting year, complete this section. 
(Dollar amount not required excepl for honoraria.) NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 2011 
 
 
IV. REIMBURSEMENTS --transportation, lodging,Jood, entertainment. 
(Include> !hose spouse and dependenl ch1/dren, see pp. 
25-27 fi!mg ms1ruct10ns) NONE (No reportable reimbursements.) ITEMS PAID PROVIDED 
Travel, food, lodging for self. 	National Conference 10/13-14/2011 Tampa, Speaker Educational Travel, food, lodging for self. Bankruptcy Judges Program 
 
 
 
Date Report 
Swain, Laura 
05112/2012 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing 
ins/ructions.) 
[{] NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 
 
 
VJ. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing ins/ructions.) 
[{] NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 
 
 
 
Date Report 
05/12/2012 
Swain, Laura 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc111des those spouse and dependent children; see PP 34-60 filing instr11c1ions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions dunng reporting period 
(including trust assets) reporting period reporting period 
 
(I) (2) (1) (2) {I) (3) (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, Code2 Method buy, sell, mmfdd/yy Code2 Code buyer/seller 
(A-H) int.) (J-P) Code redemption) (J-P) {A-H) (if private 
(Q-W) transaction) Barclays Bank PLC -Account Interest 
HSBC Bank -account Interest 
Charles Schwab Rollover IRA Dividend Income Gam Codes 41.000 less =$1,001 -$2.500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000.000 Value Codes =$15.000 less =$15,001 -$50.000 =$50.001 -$100.000 =$100.001 -$250.000 
(See Columns and 03) =$250,001 -$500.000 0=$500,001 -$1 ,000.000 =$1,000.001 -$5,000,000 =$5,000,001 -$25,000.000 =$25,000.001 -$50.000.000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other W=Estimatcd 
 
 
Date Report 
05/12/2012 
Swain, Laura 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Descript10n Assets Income during Gross value end Transactions during reporting period 
(including trust assets) reporting period reporting period 
 
(I) (2) (2) (I) (3) (4) (5) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gam Identity 
exempt from pnor 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) Income Gam Codes =$1.000 less =$1,001 -$2.500 =$2,50! -$5,000 D=$5.00l -$15,000 =$15,001 -$50.000 
(Sec Columns and 04) =$50,001 -$100,000 =$100,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15.000 less =$15,001 -$50.000 =$50.00I -$100.000 =$100.001 -$250.000 
(See Columns and D3) =$250,001 -$500.000 =$500,001 -$1,000.000 =$1.000.001 -$5,000,000 =$5.000,001 -$25,000.000 =$25.000.00 -$50.000.000 =More than $50,000.000 Value Method Codes Q=AppraJSal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other =Estnnated 
 
 
Name Person Reporting 
Date Report 
Swain, Laura 
0511212012 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Jndicate partofreport.) (Part VII, line 21) This fund was erroneuously listed line the 2010 report AIM Sm! Gap Growth, and having been merged with Hancock Small Cap Growth. the former All Cap Growth Fund. (Part VII, line 27) The investments this profit sharing plan are not participant-directed and the positions held the plan are not reported the statements issued participants. 
(Part VII, line 28) The investments this ESOP, which was established 2009, are not participant-d1rected. Date Report 
Swain, Laura 
05/12/2012 
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: Laura Swain 
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