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Judicial Watch • Nicholas G. Garaufis – 2012

Nicholas G. Garaufis – 2012

Nicholas G. Garaufis – 2012

Page 1: Nicholas G. Garaufis – 2012

Category:Federal Judges

Number of Pages:9

Date Created:May 12, 2014

Date Uploaded to the Library:July 08, 2014

Tags:INVESTCO, GARAUFIS, Nicholas G Garaufis, nicholas, shares, American, Growth, 2012, transactions, Codes, dividend, reportable, disclosure, reporting, report, CIA, Federal Judge, financial, income, Judge


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Government Act 1978
Rev. 112013' 
FOR CALENDAR YEAR 2012 U.S.C. app.  101-ll Person Reporting (last name, first, middle initial) GARAUFIS, NICHOLAS Court Organization EASTERN DISTRICT NEW YORK Date Report 07/29/2013 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) UNITED TES DISTRICT JUDGE  Sa. Report Type (check appropriate type) Nomination Date Initial [{] Animal Sb. Amended Report Final Reporting Period 01/01/2012 12/31/20 Chambers Office Address DISTRICT COURT EDNY 225 CADMAN PLAZA EAST BROOKLYN, 11202 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. POSJTJ ONS. (Reporting individual only; see pp. 9-13 filing instructions.)  NONE (No reportable positions.)  
POSITION  NAME ORGANIZATION/ENTITY  MEMBER, EXECUTIVE COMMITEE  NEW YORK CITY BAR ASSOCIATION 

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

PAR TIES AND TERMS 02/09/1997 ABC, INC. PENSION PLAN MONTHLY SURVIVOR BENEFIT 

(yours, not spouse's) 
$11,558.00 
2.2012 YESHIVA UNIVERSITY -TEACHING $13,600.00 Spouse's Non-Investment Income -If you were married during any portion t>fthe reporting year, complete this sectit>n. 
(Dollar amount nor required except.for honoraria.) NONE (No reportable non-investment income.) SOURCE AND TYPE 2012 CITIZENS BUDGET COMMISSION, FORM l099-MISC. -CONSUL TING INCOME 

2.2012 PROSPECT PARK ALLIANCE, FORM 099-MISC -CONSUL TING INCOME 
3.2012 JPMORGAN CHASE FOR DELOITTE, FORM 1099-R -PENSION INCOME 

IV. REIMBURSEMENTS --transportation, lodging,food, entertainment. 
(Includes those spouse and dependent children; see pp. 25-2 offiling instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS AJD PROVIDED 

Date Report 
07/29/2013
GARAUFIS, NICHOLAS GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] NONE (No reportable gifts.) 
SOURCE 

VALUE 
VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing 
instructions.) 
[{] NONE (No reportable liabilities.) 
DESCRIPTION VALUE CODE 

GARAUFIS, NICHOLAS 
07/29/2013 

VII. INVESTMENTS and STS --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 per iod  
(including tnist assets)  reporting period reporting period  
(I)  (2)  (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,  mmidd/yy  Code2  Code  buyer/seller  

(A-H) int.) Code redemption) (J-P) (A-H) (if private 
transaction) BANK DEPOSIT SWEEP PROGRAM  Interest VIS NEW YORK VENTURE CLASS  Dividend  Sold (part)  03/02/12 NEUBERGER BERMAN FOCUS FUND  Dividend  Sold (part)  04/27/12 BLACKROCK FLEXIBLE EQUITY CLA  Dividend  Sold (part)  01/24/12 INVESTCO VAN KAMPEN AMERICAN FRANCHISE  Dividend INVESTCO GLOBAL GROWTH  Dividend ALLIANCE BALANCED SHARES  Dividend AMERICAN FUNDS: AMERICAN CAPITAL WORLD GROWTH INCOME FUND  Dividend !SHARES TR. RUSSELL 1000  Dividend  Buy (add'!)  06/12/12  
IO. FIDELITY ADVISOR INFLATION PROTECTED  Dividend  
11. ALLIANCE REAL EST INVESTMENT  Dividend  
12. OPPENHEIMER MID CAP VALUE FUND  Dividend  
13. ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH FUND  Dividend  Sold (part)  08/28/12  
14. ALLIANCE GROWTH INCOME FUND  Dividend  Sold (part)  01/12/12  
15. CITY NEW YORK DEFERRED COMPENSATION PLAN  Dividend  
16. ABC PENSION PLAN  None Income Gain Codes; 1.000 less =$1.001 -$2.500 =$2.501 -$5.000 =$5.001 -$15.000 =$I 5.001 -$50.000  
(Sec Columns and D4) =$50.001 -$100.000 4100.001 -$1.000.000  [[[ =$1.000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.001 -$100.000 =$!00.001 -$250.000  
(Sec Columns and D3) =$250.001 -$500.000 =$500.00 -$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 Mc1hod Codes ""Appraisal =Cost (Real Estate Only) =Assessment =Cash Markel  
(Sec Column C2) =Hook Value =Other =Estimated  

Date Report 
GARAUFIS, NICHOLAS 
07/29/2013 

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those spouse and dependent c/111dren; see PP 34-60 filing instr11ctions.) 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) (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, Code2 Method buy, sell, mm/dd/yy Code2 Code buyer/seller (A-H) int.) (J-P) 	Code3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 
17. INVESTCO GLOBAL QUANTITATIVE CORE  Dividend  
18. !SHARES MIDCAP  Dividend  
19. !SHARES TRMSCI  Dividend  
20. !SHARES RUSSELL 2000  Dividend  
21. !SHARES MSC! EMERGING MKT  Dividend  
22. MUTUAL SERIES CLASS  Dividend  
23. SPDR SP 500 ETF  Dividend  
24. PIM TOT RETURN  Dividend  Sold (part)  06/06112  
25. OPPENHEIMER GLOBAL FUND  Dividend  
26. INVESTCO VAN KAMPEN EQUITY INCOME  Dividend  
27. AMERICAN FUNDS: AMERICAN BALANCED CLASS  Dividend  
28. ALLIANCE BERNSTEIN CAP GROWTHB  Dividend  
29. AMERICAN FUNDS: AMERICAN CAPITAL INCOME BUILDER.CLASS  Dividend  
30. AMERICAN GROWTH AMERICA  Dividend  
31. AMERICAN FUNDS: AMERICAN HIGH INCOME CLASS FUND  Dividend  
32. INVESTCO DEVELOPING MKT  Dividend  
33. OPPENHEIMER INT  Dividend Income Gain Codes: =$1.000 less =$1 .001 -$2,500 =$2.501 -$5.000  0=$5.001-$15.000 =$15.001 -$50,000  
(See Columns and 04)  f=$50.001 -$100.000  G=$100.001 -$1.000.000  fll =$1.000.001 -$5.000.000 =More than $5.000.000 Value Codes  J=$15.000 less  K=$15,001 -$50.000  L=$50.001 -$100.000 I00.00 -$250.000  
(Sec Colu111ns and 03)  N=$250.00 -$500.000  0=$500.00 -$1.000.000 =$1.000.001 -$5.000.000  1'2 $5.000.001 -$25.000.000  
PJ=$25.000.001 -$50.000.000  1'4 =More than $50.000.000 Value Mc1hod Codes =Appraisnl =Cost (Real Estate Only) =Assessment  T=Cash Markel  
(Sec Column C2)  U=llook Value  V=Olhcr =Estimnted  

07/29/2013GARAUFIS, NICHOLAS 
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 reporting 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  

transaction) 
34. PIMCO COMM REAL RETURN  Dividend  
35. ROYCE TOTAL RET. INV.  Dividend  Sold (part)  08116/12  
36. SHARES SP SMCAP 600  Dividend  
37. COLUMBIA CAP VAL CIA  Dividend  
38. EAGLE CAP  Dividend  Sold (part)  02/13/12  
39. SHARES RUSSELL 2000 VALUE  Dividend  
40. 2004 TRUST  None  
4J. PIMCO UNCONSTRAINED  Dividend  
42. ARTISAN INTL INVESTOR  Dividend  
43. FORWARD SELECT INC INST  Dividend  
44. ISHARES COHEN STEERS REALTY  Dividend  
45. PIMCO HIGH YIELD  Dividend  
46. FORWARD CTI CAL GROWTH  Dividend  
47. BLACKROCK GLOBAL ALLOCATION FDCLC  Dividend  
48. ARTISAN MID-CAP VALUE  Dividend  Buy (add'l)  04/16/12  
49. LOCO MANAGED FUTURES STRATEGY  Dividend  Sold  09/11/12  
50. MAINSTAY ICAP SELECT  Dividend Income Gain Codes: =$1.000 less =$1.001 -$2,500 =$2.501 -$5.000 =$5.001 -$15.000 =$15.001 -$50,000  
(See Coluinns and D4) =$50,00I -$100.000 =$100.00t -$1.000.000  Ill =$1.000.001  $5.000.000 =Mor< than $5.000.000 Value Codes =$t 5.000 less =$t5.00I  $50.000 =$50.00t -$I 00.000 =$I 00.00  $250,000  
(Sec Columns and D3) =$250.001  $500.000 =$500.001. $1.000.000 =$1.000.001  $5.000.000 =$5.000.001  $25,000.000 =$25,000.001  $50.000.000 =More than $50.000.000 Vaine Method Codes =Appraisal =Cost (Real Estate Only) ""Assessment =Cash Markel  
(Sec Colu111n C2) =Book Value Other =Estimated  

07/29/2013GARAUFIS, NICHOLAS 
VII. INVESTMENTS and TRUSTS --income, vatue, transactions onc1udes those spouse and dependent children; see PP 34-60 offitinc instr11ctions.J NONE (No reportable income, assets, transactions.)  
Description Assels  Income during  Gross value end  Transactions during  reporting period  
(including trust assets)  reporting period reporting period  
(1)  (2)  (I)  (2)  (1)  (2)  (3)  (4)  (5)  
Place "(X)" after each assel  Amount  Type (e.g.,  Value  Value  Type (e.g.,  Dale  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Melhod  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

51. DWS DREMAN CAP VALUES  Dividend  Buy  12/10/12  
52. GOLDMAN SACHS SAT ELLITE STRA PORTFOLIO  Dividend  Buy  10/15112  
53.  Buy (add'!)  11/19/12  
54. BLACKROCK EQUITY DIVIDEND  Dividend  Buy  05/15/12  
55. FIDELITY ADVISORS FLOATING GHIGH INC  Dividend  Buy  09/13/12  
56. !SHARES SP 500 GROWTH  Dividend  Buy  05/18112  
57. !SHARES SP MID-CAP 400 GROWTH  Dividend  Buy  06/28/12  
58. Income Gain Codes:  A=$1.000orless =$1.001 -$2.500 =$2.SO -$5.000  D=$5.001 -$15.000 =$15.001 -$50.000  
(See Columns and D4) =$50.001 -$100.000 =$100.00 -$1.000.000  Ill =$1.000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$15.000 less =$15.00 -$50.000 =$50.001 -$100.000 =$100.00 -$250,000  
(See Colunms and D3) =$250.00 -$500.000 =$500.00  $1.000.000 =$1.000.001 -$5.000.000  1'2 $5.000.001 -$25.000.000 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =:=Assessment =Cash Market  
(Sec Colunm C2) =Book Value  V=Othcr =Es1imatcd  

Nme Person Reporting 
Date Report 
07/29/2013
GARAUFIS, NICHOLAS 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lntlicatepartofreport.) 
Vil, PAGE LINE 
NAME CHANGED FROM BLACKROCK MID CAP VALUE FUND BLACKROCK FLEXIBLE EQUITY 

Vil, PAGE LINE 17: 
NAME CHANGED FROM INVESTCO GLOBAL EQUITY FUND INVESTCO QUANTITATIVE CORE. 

Vil PAGE 60F LINE 2011 REPORT ERRONEOUSLY LISTED VANGUARD INT TERM TAX PARTIALLY SOLD WHEN, FACT, !TWAS SOLD ITS ENTIRETY 04/18/11. THEREFORE, NOT LISTED CURRENT REPORT. 
VII, PAGE LINE 17: 
ABC, INC. PENSION PLAN. DESIGNATED RECEIVE MONTHLY PENSION BENEFITS 

PENSION PLAN. PART Jll, LINE DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON 

07/29/2013
GARAUFJS, NICHOLAS 
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: NICHOLAS GARAUFIS 
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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