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Judicial Watch • Laura T Swain Financial Disclosure Report for 2007

Laura T Swain Financial Disclosure Report for 2007

Laura T Swain Financial Disclosure Report for 2007

Page 1: Laura T Swain Financial Disclosure Report for 2007

Category:Financial Disclosure

Number of Pages:8

Date Created:December 12, 2008

Date Uploaded to the Library:November 13, 2013

Tags:Laura T Swain, Swain, laura, Alliance, hancock, Market, 2007, EPA, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Government Act 1978 
Rev. 112008 
FOR CALENDAR YEAR 2007 U.S.C. opp. 101-111) Person Reporting (last name, first, middle initial) Swain, Laura Court Organization District Court -SDNY Date Report 05/13/2008 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) District Judge (Active)  Sa. Report Type (check appropriate type) Nomination, Date Initial [{] Annual Sb. Amended Report Final Reporting Period 01/01/2007 12/31/2007 Chambers Office Address D.P. Moynihan U.S. Courthouse 500 Pearl Street New York, 10007 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date  

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.) 

NAME ORGANIZATION/ENTITY 

Board Member Havens Relief Fund Society Board Member Federal Judges Association 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) NONE (No reportable agreements.) 

PARTIES AND TERMS 5/95 Pension Plan Debevoise Plimpton LLP (formerly Debevoise Plimpton Staff Pension Plan) (fmr law firm), control 

Date Report 
Swain, Laura 
05/13/2008 
III, N-JNVES TMENT ME. (Reporting individual and spouse; see pp. 17-14 filing instructions.) Filer's Non-Investment Income [ZJ NONE (No reportable non-investment income.)  
SOURCE AND TYPE  INCOME (yours, not spouse's) Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) 2005 
JV, REIMBURSEMENTS -transportation, lodging,food, entertainment (Includes those spouse and dependent children; see pp. 25-27 filing instructions.) NONE (No reportable reimbursements.)  Harvard Law School  3/20-21107  Cambridge,  Judge Moot Court Comp.  Airfare, Lodging, Food for self  Federal Judges Association  515-7/07  Arlington,  Board Meeting  Airfare, Lodging and Food for self  

Date Report 
Swain, Laura 
05/13/2008 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[ZJ NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 

VI, LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) 
[ZJ  NONE (No reportable liabilities.)  
CREDITOR  DESCRIPTION  

VALUE CODE 

Date Report 
Name Person Reporting 
Swain, Laura 
05/13/2008 
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.) 

Date Report 
Swain, Laura 
05/13/2008 
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.) Description Assets (including trust assets) Income during reporting period Gross value end reporting period Transactions during reporting period  
Place "(X)" after each asset exempt from prior disclosure  (l) Amount Code (A-H)  (2) Type (e.g., div., rent, int.)  (l) Value Code (J-P)  (2) Value Method Code (Q-W)  (l) Type (e.g., buy, sell, redemption)  (2) Date Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) Dividend  
19. 20.  -John Hancock Money Mkt Fund -John Hancock Equity Income Fund  
21.  -John Hancock Cap Fund  
22.  -John Hancock Emerg Sm! Fund  
 
23.  -John Hancock Govt Secs Fund  
24.  -John Hancock Strategic Bond Fund  

-John Hancock Int'! Core (fmrStock) Fund 
26. 

-John Hancock All Cap Growth Fund 
27. 
-John Hancock Mid Cap Stock Fund Dividend 
29. 
Equitable Variable Life Dividend 

30. 
-Multimanager Aggressive Equity Fund Buy 

l/24 
32. 
-EQ/Alliance Common Stock Fund Buy 
1/24 
-EQ/Alliance International Fund Buy 
1/24 
34. 
-EQ/Alliance Money Market Fund Buy 
l/24 
-EQ/Alliance Quality Bond Fund Buy 
1/24 Income Gain Codes: =SI,000 less =SI,001 -$2,500 =$2,501 $5,000 =$5,00I -$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50, 001 -$100,000 =$100,001 -SI,000,000 =Sl,000,001 -$5,000,000 =More than $5,000,000 Value Codes  _,,.J ==SI 5,000 less =$15,00 -$50,000 =$50,001 -$100,000 =$100,00  $250,000  
(See Columns and DJ) =$250,00 -$500,000 =$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 ost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value -Other =Estimated  

Name Person Reporting 
Date Report
Swain, Laura 
05/13/2008 
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 
(including trust assets) 

Place "(X)" after each asset 
exempt from prior disclosure  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Amount  Type (e.g.,  Value  Value  Type (e.g.,  Date  Value  Gain  Identity  
Code  div., rent,  Code  Method  buy, sell,  Month  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  Day  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

35. -Multimanager Aggressive Equity Fund  Buy  6/12  
36. -EQ/Alliance Common Stock Fund  Buy  6/12  
37. -EQ/Alliance International Fund  Buy  6/12  
38. -EQ/ Alliance Money Market Fund  Buy  6/12  
39. -EQ/Alliance Quality Bond Fund  Buy  6/12  
40. Citibank interest bearing accounts  Interest Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,00! -$50,000  
(See Columns and D4) =$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  
(Sec Columns and DJ) =$250,001 -$500,000 =$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  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
05/13/2008
Swain, Laura 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (JndicatepartofReport) 
(Part VII, line 28) The investments this profit sharing plan are not participant-directed and the positions held the plan are not reported the statements issued participants. 

Date Report 
Swain, Laura 
05113/2008 
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. 

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL 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