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Judicial Watch • Laura T Swain Financial Disclosure Report for 2003

Laura T Swain Financial Disclosure Report for 2003

Laura T Swain Financial Disclosure Report for 2003

Page 1: Laura T Swain Financial Disclosure Report for 2003

Category:Financial Disclosure

Number of Pages:8

Date Created:February 3, 2005

Date Uploaded to the Library:November 13, 2013

Tags:manulife, Laura T Swain, Swain, laura, money, Growth, Estate, 2003, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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inGovernment Act 1978 
Rev.112004 
Calendar Year 2003 U.S.C. app.  101-111) Person Reporting (Last name, First name, Middle initial) Swain, Laura Court Organization District Court -SONY Date Report 5/13/2004 Title (Article Ill Judges indicate active senior status; magistrate judges indicate full-or part-time) District Judge (Active) ReportType (check appropriate type) Nomination, Date Initial Annual FIDal Reporting Period 1/112003 12/3112003 Chambers Office Address Thurgood Marshall U.S. Cthse Foley Square New York, 10007 the basis the infonnation contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer  

IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable infonnation. Sign last page. POSIDONS. (Reporting individual only; see pp. 9-13 offiling instructions) NONE -(No reportable positions.) 
NAME Board Member Episcopal Charities, Inc. (terminated 2003) 
Board Member Coalition for Consumer Bankraptcy Debtor Education 
Co-Executrix Estate (distnbuted 2003) AGREElIBNTS. (Reporting individual only; see pp. 14-16 filing instructions) NONE -(Noreportable agreements.) 5195 

DJ. NON-INVESTMENT INCoME. (Reporting individual and spouse; see pp. 17-24 offiling instructions) Filer's Non-Investment Income NONE -(No reportable non-investment income.)
 Spouse's Non-Investment Income-(If you were married during any portion the reporting year, please complete this section. (dollar amount not required except for honoraria) NONE -(No reportable non-investment income.) 2003 

IV. REIMBURSEMENTS transportation, lodging, food, entertainment.
(Includes those spouse and dependent children. See pp. 25-27 ofinstructions.) NONE (No such reportable reimbursements.)

George Mason Univ. Law Econ. Ctr. Transportation, lodging and food ection with seminar 3/6/03-3/9/03 Jolla, Suffolk University Law School Transportation, lodging and food connection with presentation lecture 419/03 -4/11103 Boston, 
National Conference Bankruptcy Judges GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
 NONE (No such reportable gifts.) UABILITIES. (Includes those spouse and dependent cln1dren. See pp. 32-34 instructions.) NONE (No reportable liabilities.) Capital One 

Date Report 
Name Person Reporting 
Swain, Lama 
5/13/2004 INVESTMENTS and TRUSTS -income, value, transcations (includes those ofdlc spouse and dependent children. Seepp.3.4-57 offiling instroctions.) Incom: during Gross value end 
Transactioos during reporting period Description Assets 
n:porting period 
(including trust assets) 
(1) (2) (2) (I) 
not exempt from disclosure 
Place "(X)" after each asset exeiqrt from prior disclosure  Amount Code (A-H)  Type (e.g. div. ta1L inL)  Value Code2 (1-P)  Value Method Code3 (Q-W)  Type (e.g. buy, sell, merger, redemption)  (2) Date: Month-Day  (3) Value Code2 (J-P)  Gain Code] (A-ff)  (5) Identity buyer/seller (if private transaction)  
DNONE  (No reportable income, assets, transactions) 	
Barclays Bank PLC -Account Interest 	
HSBC Bank (fimrly Republic Bank NY) Interest account 	
Charles Schwab Rollover IRA Dividend 	
-Dreyfus Appreciation Fund 
-Strong Corp. Bond Fund 

-Scudder Growth Income Fund 
-Neuberger Berman Socially Resp. Fund 
-PHBG Select Growth (frmrly Equity) Fund 
-Neuberger Berman Genesis Fund 

10. 
--TCW Galileo Select Equities Fund 

11. 
-Firsthand Technology Value Fund 

-FMI Focus Fund 

12. 

13. 
-PIMCO (frmlyDrcsdner) RCM Global Technology Fund 

-Gabelli Growth Fund 
14. 

15. 
-Managers Bond Fmid 

16. 	
-PBHG Large Cap Growth Fund 

17. 	
-Schwab Money M,arket Fund 

401(k) Plan Dividend

18. $5.001-$15,000 $15,001-SS0,000 (See Colunms and D4} $50,001-$100,000 $100,001-Sl,000,000 SJ.000,001-$5,000,000 =More than SS,000,000 
Income/Gain Codes: Sl,000 less $1,001-$2,SOO S2,50J-S5,000 
Value Codes: 5,000 less $15.001-$50,000 $50,001-$100,000 =$100,001-S250,000 
(Sec Colunms and D3} $:250,000-$500,000 $500,001-Sl,OOO,OOO Sl.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 -Unn., J!l>hu:. =Other =Estimated 
Date Report 
Name Person Reporting 
'Pag of3 
Swain, Laura 
5/1312004 
VIL INVESTMENTS and TRUSTS -income, value. llanscations (includes those ofthe spouse and dependent children. See pp. 34-57 filing instructions.) Iucomc during Gross value end 
Transactions during reporting period Description Assets reporting period (including trust asse1S) 
not ext from disclosure 
(3) (4)
(2) 
(1) (2) 
Place "(X)" after each asset Cxetqlt 
Amount 	Type (e.g. Value Value Type (e.g. div. rent 
Date: Value Gain Identity 
Code2 buyer/seller
fJOm prior disclosun: 
Code2 Method buy, sell, Month-Code int) (J-P) Code3 merger, Day 
redemption)
(A-H) (If private (J-P) (A-H)(QW) 
transaction) 
19. 
-Manulife Money Mkt Fund 

20. 
-Manulife Equity Income Fund 

21. 
-Manulife Quantitative Equity Fund 

22. 
-Manulife Emeyg StI Fund 

23. 
-Manulife Govt Secs Fund 

24. 
-Manulife Strategic Bond Fund 

25. 
-Manulife Int'! Stock Fund 

26. 
 Manulife All Cap Growth Fund 

27. 
-Manulife Aggressive Growth Fund 

28. 
-Manulife Internet Technologies Fund 

29. 	
Profit Sharing Plan Dividend 

Estate distn'butcd 2003) 
31. 
-GreenPoint Bank Certificate Deposit Redcrnptio 113 

32. 
-Republic Nat'l Bank Money Mkt Account (closed 2002) 

Equitable Variable Ufe Dividend 
34. -EQ/ Aggressive Stock Fund 
36. 
-EQ/ Alliance Commm Stock Fund 	Buy 1/28 
-EQ/Alliance International Fund  lncom/Gain Codes: Sl,000 less $1,001-$2,500  =$2,501-$5,000 S5,00l-S15,000 $15,0-01-SSO,OOO  
(See ColumosBI andD4) $50,00-$100,000 SlOO,OOl-Sl,000,000 Sl,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  
1See Columns andD3) $:?50,000-$500,000 $500,001-Sl,OOO,OOO   Sl,000,001-$5,000,000 $5,000,00l-S25,000,000 $25,000.001-SSO,OOO,OOO $More thao $50,000,000 Value Method Codes  =Appraisal  Cost (Real Estate Only) Assessment Cash/Market  
...:_ .,_,1  

Name ofPerson Reporting 
Swain, I.Aura 
5/1312004 VIL INVESTMENTS and TRUSTS -income, value, transcatioos (includes those the spouse and cbildrci. See pp. 34-57 offiling instructions.) Description Assels (including trust assets) Income dllring reporting period Gross value end reporting period Tt'8DS8ctions during reporting period  
Place w after each asset exempt from prior disclosure  (1) Aroount Code! (A-H)  (2) Type (e.g. div. renL int.)  (I) Value Code2 (J-P)  (2) Value Method Codc3 (Q-W)  (I) Type (e.g. buy, sell, merger, redeniption) not exempt ftom disclosure (2) (3) Date: Value MonthCode2 Day (J-P) Gain Identity buyer/seller (A-H) (if private transaction)  
37.  -EQ/ Alliance Money Marlcet Fund    
38.  -EQ/Alliance Quality Bond Fund Income/Gain Codes:   $1,000 less $1,001-$2.500 S"..,501-$5,000 $5,001-$15,000 $15,001-$50,00(1  
!See Columns and D4) $50,001-$100,000 S!00,001-$1,000,000 SI,OOO,OO!-S5,000,000 =More than $5,000,000 Value Codes: $15,000 less  =SIS,001-S50,000 $50,001-SIOO,OOO $100,001-S250,000  
(See Columns and D3) $250,000-$500,000 $500,001-Sl,OOO,OOO Sl.000,001-$5.000,000 $5,000,001-S25,000,000 $25,000,00J-SSO,OOO,OOO $More tbnn $50,000,000 Value Method Codes  =Appraisal  = Cost (Real Estate Only) Assessment Cash!Market  

Name Person Reporting 
Date Report 

Swain, Laura 
5/13/2004 

(Indicate part Report.) 
VIII. ADDIDONALINFORMATION OREXPLANATIONS 
(Part VD, line 29) 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 32) This money market account was closed, and the proceeds distributed beneficiaries the estate, May 2002. The value code for the transaction was 

Swain, Laura 5/13/2004 

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best lmowledge 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.  501 seq., U.S.C.  7353, and Judicial Conference regulations. 

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES ORF AILS FILE TIIlS REPORT MAY SUBJECT CIVIL AND CRJMINAL SANCTIONS U.S.C. app.  104) 

FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. 

Washington, D.C. 20544