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Judicial Watch • Richard M. Berman – 2005

Richard M. Berman – 2005

Richard M. Berman – 2005

Page 1: Richard M. Berman – 2005

Category:Federal Judges

Number of Pages:24

Date Created:December 7, 2006

Date Uploaded to the Library:July 29, 2014

Tags:Richard M Berman, municipal, partial, Richard, stock, 2005, assets, Codes, dividend, disclosure, reporting, report, Federal Judge, income, Judge


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A0-10 	FINANCJiURE REPORT Government Act of1978 
Rev.112004 
,, 
FOR CALENDAR YEAR 2005 U.S.C. app.  101-111) Person !leporting (Last name, First name, Middle initial) Court Organization 
Bennan, Richard U.S. District Court-S.D.N.Y. Title (Article Judges indicate active senior status; ReportType (check appropriate type) 
magistrate judges indicate full-or part-time) Nomination, Date District Judge Active Initial @Annual Final 	Date Report 7/18/2006 Reporting Period 
11112005 
12/31/2005 	Chambers Office Address the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance 
U.S. District Court 
with applicable laws and regulations. Centre Street 
 
New York, 10007 
IMPORTANT NOTES: The instructions accompanying this form must fo. Complete all parts, checking the NONE box for each part where you have reportable information. Sign.on last pege. POSffiONS, (Reporting individual only; see pp. 9-13 filing instructions) 
 NONE -(No reportable positions.) 
POSmON 	NAME ORGANJZATIONffiNTITY 
,...._, 
:._:J :::0 
c.._ ..,., 
c.: 
o(.)Z 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 offiling instructions) NONE -(No reportable agreements.) PARTIES AND TERMS >JZ ;.1n -::> --.; .r= 
 
Date Report 
Name Person Reporting 
 
7/18/2006 
Berman, Richard 
ID. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 11-24 filing instructions) Filers Non-Investment Income 
 NONE (No reportable non-investment income.) 
AND TYPE 	GROSS INCOME (yours, not spouses) Spouses 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.) 
SOURCE AND TYPE 2005 	Brand Consulting Firm Partnership Income 
IV. 	REIMBURSEMENTS transportation, lodging, food, entertainment. (Includes those spouse and dependent children. See pp. 25-27 instructions.) 
 NONE (No such reportable reimbursements.) 
SOURCE 	DESCRIPTION GIFTS. NONE (Includes those spouse and dependent children. See pp. 28-31 instructions.)  (No such reportable gifts.) SOURCE DESCRIPTION 
 
VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-34 instructions.) NONE -(No reportable liabilities.) CREDITOR Citicorp Mortgage house DESCRIPTION VALUE CODE Greenpoint Bank Mortgage apartment (investment) 
 
 
 
 
Date Report 
Name Person Reporting 
7/18/2006 
Bennan, Richard 
VII. INVESTMENTS and TRUSTS -income, value, iranscations (includes those the spouse and dependent children. See pp. 34-57 offiling instructions.) 
Income dwing Gross valueat end Transactions dwing reporting period 
 
Description Assets reporting period reporting period (including trust assets) 
 
not exempt 
(I) (I) 
(2) (2) (3) (4) Place (X}after each asset exempt Value Value Type (e.g. Date: Value Identity div. rent. Amount Type 
Code2 Method buy, sell, Month-Code2 Code! buyer/seller(J-P) Code3 merger, Day (J-P) 
Code 
from prior disclosure 
int.) 
(if private (A-H) 
redemption) 
(Q-W} 
transaction} 
DNONE (No repor1able income, assets, transactions} Property Suftfolk County, (House Cottage) Rent Rental 
Apartment (NY City) Rent Buy 6/8 
Property, Suffolk County.NY Rent Rental 
 
 
Aztex Limited Partnership (real estate) Distribution 
Franklin Limited Partnership, (real estate) Distribution Sale 10/19 
Janus Fund (deferred compensation) Interest Sale .Rowe Price Equity Income (deferred Interest Sale compensation) 
Vanguard Windsor Dividend 
 
 
Vanguard 500 Index Trust Dividend Partial Sale 9122 
10. 
Vanguard Strategic Equity Dividend 
 
11. 
Vanguard Windsor Il. Dividend Sale 9122 
 
12. 
U.S. Treasury Notes Interest Sale 5/16 
 
13. 
U.S. Treasury Notes Interest Sale 1/13 
 
14. 
NYC Municipal Bond Interest Partial Sale 7/1 
 
15. 
John Nuveen Municipal Bond Fund (Select) None Sale 12127 
 
16. 
Blackrock Municipal Bond Fund Distribution 
 
17. 
Muniyield Municipal Bond Fund Dividend 
 
18. 
NYC Municipal Bond (Series Interest 
 
 
..,. :.; 
 
Date Report 
Name Person Reporting 
Bennan, Richard 
7/18/2006 
-income, value, transcations (includes those the spouse and dependent children. See pp. 34-57 offiling instructions.) 
 
Vll. INVESTMENTS and TRUSTS Income during Gross value end Transactions during reporting period Description Assets 
reporting period reporting period 
(including trust assets) not exempt disclosure 
(!) (2) (!) (2) (!) 
(2) (5) 
Place (X) after each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: Value Identity 
from prior disclosure Code div. rent. Code2 Method buy, sell, Month Code2 Code! buyer/seller 
(AH) int.) (JP) Code merger, Day (J-P) (ifprivate 
(Q-W) redemption) transaction) 
 
19. Comcast Common Stock Dividend Partial Sale 12129 
Time Warner Common Stock(AOL) 
20. 
Dividend 	Sale 
21. 
ATT 	None Sale 3/1 
 
22. 
Cablevision Systems Common Stock 	None Partial Sale 4/28 Common Stock Dividend 
23. 
Liberty Media Common Stock 	None 
24. 
25. 
Liberty Media International 	None Partial Sale 7/27 
 
26. 
Microsoft Common Stock Dividend 
 
 
Ebay Inc. Common Stock 	None 
27. 
28. Verizon 	None Sale 8/23 
Exxon (Mobil) Dividend 
29. 
30. 
John Nuveen Common Stock Fund (Class Dividend 
 
31. 
Scarsdale, Municipal Bond Interest 
 
 
Westchester, Municipal Bond Interest 
32. 
Rye City, Muncipal Bond Interest 
MAC Municipal Bond Interest 
35. 
NYCS Donn Auth Interest Sale 5/15 
 
36. 
NYS Mort Agency Interest 
 
 
Date Report 
Name Person Reporting 
Berman, Richard 	7/18/2006 
-income, value, transcations (includes those the spouse and dependent children. Sec pp. 34-57 offiling instructions.) 
VII. INVESTMENTS and TRUSTS Income during Gross value end Transactions during reporting period Description Assets 
reporting period reporting period 
(including trust assets) 
(I) (2) not exempt Identity 
(2) (3) (4) Place (X} after each asset exempt Type (e.g. Date: 
Amount Type (e.g. Value Value Value 
buy, sell.from prior disclosure Code! div. rent. Code Method Month-Code Code! buyer/seller 
(A-H) int.) (J-P} Code (Q-W) merger, redemption) Day (J-P) (A-H) (if private transaction) 
37. NYC (NHA) Municipal Bond (Port Authority ofNY htterest Sale 2/1 
and NJ) 
 
38. NYS Power Authority htterest Partial Sale 1/1 
Farmers Bank -CD htterest Sale 4/20 
GMAC Automotive -CD htterest 	Sale 7/20 
40. 
 
 
Providian Nat! -CD htterest 
41. 
 
42. 
NYS Env Fae Corp Clean Wtr Drkg Wtr Rev htterest 3.9% 
 
NYS Env Fae Corp Clean Wtr Drkg Wtr Rev htterest 3.75% 
NYGO htterest 
44. 
45. 
Schwab MM/NY Muni Fund htterest 
 
46. 
Schwab Value Advantage Fund htterest 
 
47. 
Chesapeake Core Growth 	None Sale 9/21 
 
48. 
Cohen Steers Realty Fund Dividend 
 
49. 
Icon Energy Fund Dividend 
 
Icon Healthcare Fund Dividend 
 
50. 
 
51. 
New Perspective Fund Dividend 
 
52. 
Oakmark Fund Dividend 
 
 
TCW Galileo Value Oppty Dividend 
54. L-3 Communications Hldgs Dividend Buy 919 SIS;OOl-$50,000 
 
 
Name Person Reporting 	Date Report 
Bennan, Richard 	7/18/2006 
-inc ome, value, 
transcations (inclu des those the spouse and dependent children. See pp. 34-57 offiling 
instruc tions.) 
 
VII. INVESTMENTS and TRUSTS 
Income during oss value atend Transactions during reporting period Desc ription Assets reporting period repor ting period (inclu ding trust assets) 
not exempt discl osure 
(I) (I) (I) 
Place 
(X) after each asset exempt 	Type (e.g. Date: 
Amount Type (e.g Value Value Value Identity from prior disclosure Meth buy, sell, Month- 
Code div. rent Code2 	Code2 Code! buyer/seller -H) int.) (J-P) Code3 	merger, Day (J-P) (A-H) (if private redem ption) transaction) 
(Q-W) 
SS. L-3 Communications Hldgs 	Partial Sale 12/30 
56. Abbott Laboratories Dividend Buy 11/29 
Caterpillar Dividend Buy 7/28 
Cbevrontexaco Corp Dividend Buy 5/18 
58. 
 
59. 
Conocopbillips Dividend Buy 12/27 
 
60. 
Danaher Corp. Dividend Buy 8/23 
 
61. 
Discovery Hldgs Ser Dividend Spinoff 7120 See Note 
 
62. 
Discovery Hldgs Ser Dividend Spin off 7/20 SeeNote#l 
 
63. 
FDX Corporation Dividend Buy 6129 
 
64. 
Goo gle Inc. Class Dividend Buy 12/15 
 
65. 
Lockheed Martin Dividend Buy 8123 
 
66. 
Medtronic Inc. Dividend Buy 12129 
 
67. 
Pfiz.er lncoroporated Dividend Buy 12127 
 
68. 
Proctor Gamble, Co. Dividend Buy 5/18 
 
69. 
Alpine Real Estate Fund Dividend Buy 8/1 
 
70. 
Amer. Funds Fundamental Dividend Buy 3/28 
 
71. 
Artisan Mid Cap Value Fund Dividend Buy 7/18 
 
72. 
Dodge Cox IntI Stock Fund Dividend Buy 2/23 s1s.001-sso,ooo 
Date Report 
Name Person Reporting 
7/18/2006 
Bennan, Richard 
VII. INVESTMENTS and TRUSTS -income, value, transcatii>ns (includes those the spouse and dependent children. See pp. 34-57 offiling instructions.) 
Income during Gross value end Transactions during reporting period Description Assets 
reporting period reporting period (including trust assets) not exempt 
(2) (I) (2) (I) (2) (3) (4) (5) 
Place (X) after each asset exempt Type (e.g. Date: 
Value Identity from prier disclosure buy, sell, Month-buyer/seller Amount Type (e.g. Value Value 
Code! div. rent. Code2 Method Code2 Code merger, 
(A-H) int.) (J-P) Code Day (J-P) (if private redemption) 
transaction) 
(Q-W) 
73. Driehaus Int) Discovery Fund Dividend Buy 11/29 
Growth Fund America Dividend Buy 7/19 
Ariel Fund Dividend Buy 3/28 
76. Ariel Fund Sale 11/29 Company None Buy 5/18 
78. Company Sale 8/23 
 
79. 
Johnson Johnson None Buy 919 
 
80. 
Johnson Johnson Sale 12/29 
 
81. 
Symantec Corp None Buy 5/18 
 
 
Symantec Corp Sale 11129 
82. 
 
83. 
Caterpillar Dividend SeeNote#2 
 
84. 
Exon Mobil Corp Dividend 
 
85. 
FDXCorp Dividend 
 
86. 
General Electric Dividend 
 
87. 
Johnson Johnson Dividend 
 
88. 
L-3 Communications Dividend 
 
89. 
Lockheed Martin Dividend 
 
90. 
Microsoft Corp Dividend $1S,001$SO,(){)() 
 
 
 
 
 
Date Report 
Name Person Reporting 
Berman, Richard 
7/18/2006 
VII. INVESTMENTS and TRUSTS -income, value, transcations (includes those the spouse and dependent children. See pp. 34-S7 offiling instructions.) 
Income during Gross value end Transactions during reporting period 
Description Assets 
reporting period reporting period 
(including trust assets) 
not exempt 
(I) 
(2) 
(I) 
(2) (3) (4) (S) 
Place (X) after each asset exempt Value Value Type (e.g. Date: Value Identity Amount (e.g. 
buy, sell., 
from prior disclosure Month-Code div. rent. Code2 Method Code buyer/sellerCode 
Code merger, Day (if private (A-H) int.) (J-P) (A-H) redemption) transaction) 
(Q-W) 
91. 
Proctor and Gamble Dividend 
 
92. 
Publicis N.A Dividend Partial Sale 7!28 
 
93. 
Sunrise Assisted Living Dividend 
 
 
Amer Funds Fundamental Dividend 
Amer Funds New Economy Dividend 
96. Artisan Mid Cap Value Funds Dividend 
Calamos Growth Fund Dividend 
Chesapeake Core Growth Fund Dividend Sale 4!28 
98. 
99. 
Dodge Cox Stock Fund Dividend 
 
100. 
Driehaus Int! Discovery Fund Dividend 
 
 
Growth Fund America Dividend 
IOI. 
102. 
Icon Energy Fund Dividend 
 
103. 
Icon Healthcare Fund Dividend 
 
104. 
New Perspective Fund Dividend 
 
105. 
Oakmark Global Fund Dividend 
 
106. 
TCW Galileo Value Oppty Fund Dividend 
 
 
107. Wasatch Heritage Growth Dividend 
108. Schwab Fund Dividend =SIS,00I-$SO;OOO 
 
Date Report 
Name Person Reporting 
7/18/2006 
Bennan, Richard 
VII. INVESTMENTS and TRUSTS -income, value, transcations (includes those the spouse and dependent children. Sec pp. 34-57 offiling instructions.) 
Income during Gross value end Transactions during reporting period 
Description Assets 
reporting period reporting period 
(including trust assets) 
(I) (2) 
(2) (I) not exempt 
(2) (4) (5) 
Place (X) after each asset exempt Amount Type (e.g. Value Value Type (e.g. Date: Value Identity 
from prior disclosure Code div. rent. Codc2 Method buy, sell, Month- Code Code buyer/seller 
(A-H) int.) (J-P) Code3 (Q-W) merger, redemption) Day (J-P) (A-Ii) (if private transaction) 
 
109. 
Schwab Muni Money Fund Dividend 
 
110. 
Schwab Value Advantage Fund Dividend 
 
111. 
Publicis Group ORAs None 
 
 
112. Publicis Group Warrants None 
113. Berkshire Hathaway None Sale 9121 
114. Citigroup None Sale 9/21 
115. Comcast Corp None Sale 12/29 
116. First Data Corp Dividend Sale 9/21 
117. Royce Low Priced Stock Fund Dividend Sale 1112 
118. Walmart None Sale 4128 $15,(>0t.$50,000 
 
.. 
 
... ...  
 
Date Report 
Name Person Reporting 
 
Berman, Richard 
7/18/ 2006 
 
 
(Indicate part Report.) 
 
VITI. ADDITIONAL INFORMATION EXPLANATIONS 
#1. Formerly Liberty Media. 
#2. Assets line line 118 appear this report result marriage 112/05. 
#3. Regarding 2004 Form, Part VII, Line property longer for rent, but still owned; Line was discussed letter the Committee dated 
September 15, 2005; and the same description applied line should also applied line 
 
 
 
 
 
Date Report 
Name Person Reporting 
Bennan, Richard 
 
IX. CERTIFICATION. certify that all infonnation given above (including infonnation 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 employ ment and honoraria and the acceptance gifts which have been reported are compliance with the provisions of5 U.S.C.  501 et. seq., U.S.C.  7353 and Judicial Conference regulations. Government Act 1978 
Rev. 112004 
FOR CALENDAR YEAR 2005 U.S.C. app.  101-111) Person Reporting (Last name, First name, Middle initial) Court Organization Bennan, Richard U.S. District Court -S.D.N.Y. Title (Article III Judges indicate active senior status; ReportType (check appropriate type) 
magistrate judges indicate full-or part-time) Nomination, Date District Judge -Active Initial @Annual Final Date Report 4/28/2006 	Reporting Period 1/1/2005 
12/31/2005 Chambers Office Address the basis the information contained this Report and any 
U.S. District Court modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Centre Street 
 
New York, 10007 
ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part have reportable infonnation. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 filing instructions) 
 NONE -(No reportable positions.) 
POSITION 	NAME ORGANIZATION/ENTITY 
t:.J :r;:.. ,Cl! fl-.;;lC{.jj ... 1:H.l 
......... c;,;:;} 
 
.-;:.; 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 offiling instructions) c::..:;.; ,,, ... 
...... :.! 
 NONE -(No reportable agreements.) 	; .i= 
 ... - 
 
PARTIES AND TERMS 
;.,::; 
: CT> 
 
Name Person Reporting Bennan, Richard 
 
:flNANCIAL DISCLOSURE REPORT 
ID. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 11-24 filing instructions) Filers Non-Investment Income NONE (No reportable non-investment income.) 
SOURCE AND TYPE Spouses 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.) 
SOURCE AND TYPE 2005 	Brand Consulting Firm Income 
IV. 	REIMBURSEMENTS -transportation, lodging, food, entertainment. (Includes those spouse and dependent children. See pp. 25-27 instructions.) 
 NONE (No such reportable reimbursements.) 
SOURCE 	DESCRIPTION 
 
 
(No such reportable gifts.) 
(No reportable liabilities.) 
Citicorp 
Greenpoint Bank 
 
 
 
Date ofReport 
Name Person Reporting 
Berman, Richard 
4/28/2006 
VII. INVESTMENTS and TRUSTS --income, value, transcations (includes those the spouse and dependent children. See pp. 34-57 filing instructions.) 
Income during Gross value end Transactions during reporting period 
Description Assets 
reporting period reporting period 
(including trust asets) 
Ifnot exempt from disclosure 
(1) (2) (1) (2) (1) 
(2) (3) (4) 
Type (e.g.Place (X) after 
each asset exempt 
Date: Value Gain Identity ofValue ValueAmount Typefrom prior disclosure 
buy, sell, 
Month Code Code buyer/sellerCode MethodCode div. rent. 
merger, 
(A-H) int.) (J-P) Code Day (J-P) (A-H) (if private 
redemption) 
(Q-W) transaction) 
DNONE (No reportable income, assets, transactions) 
Property Suftfolk County, (House Cottage) Rent Rental 
Apartment (NY City) Rent Buy 6/8 
Property, Suffolk County,NY Rent Rental 
 
 
Aztex Limited Partnership (real estate) Distribution Franklin Limited Partnership, (real estate) Distribution Sale 10/19 
Janus Fund (deferred compensation) Sale 2/7 
TRowe Price Equity Income (deferred Sale 2/7 compensation) 
Vanguard Windsor Dividend 
Vanguard 500 Index Trust Dividend Partial Sale 9122 
Vanguard Strategic Equity Dividend 
10. 
11. 
Vanguard Windsor Sale 9/22 
 
12. 
U.S. Treasury Notes Sale 5116 
 
13. 
U.S.Treasury Notes Sale 1/13 
 
14. 
NYC Municipal Bond Interest Partial Sale 7/1 
 
15. 
John Nuveen Municipal Bond Fund (Select) Sale 12/27 
 
16. 
Blackrock Municipal Bond Fund Distribution 
 
17. 
Muniyield Municipal Bond Fund Dividend 
 
18. 
NYC Municipal Bond (Series Interest Income/Gain Codes: $1,000 less $1,001-$2,500 $2,501-$5,000 $5,001-$15,000 $15,001-$50,000 
(See Colwnns 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 D3) $250,000..$500,000 $500,001-$1,000,000 =$1,000,001-$5,000,000 $5,000,001-$25,000,000 $25,000,00I-$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 
 
Fl,NANCIAL DISCLOSURE REPORT 
Date Report 
Name Person Reporting 
4/28/2006 
Berman, Richard 
VII. INVESTMENTS and TRUSTS --income, value, transcations (includes those the spouse and dependent children. See pp. 34-57 tiling instructions.) 
Income during Gross value end Transactions during repor1ing period 
Description Assets reporting period reporting period 
(including trust assets) 
 
lfnot exempt from disclosure 
{I) (I) (I) 
(2) (3) 
Place (X) after each asset exempt 
Type (e.g. 
Date: Value Gain Identity 
Value Value 
Amount Type 
from prior disclosure buy, sell, 
Code div. rent. Code2 Method 
Month Code2 Code buyer/seller 
(A-H) int.) (J-P) Code merger, Day (J-P) (A-H) (if private 
(Q-W) redemption) transaction) 
19. Comcast Common Stock Dividend Partial Sale 12/29 
 
20. 
Time Warner Common Stock(AOL) Sale 7/27 
 
21. 
ATT Sale 3/1 
 
22. 
Cablevision Systems Common Stock None Partial Sale 4/28 Common Stock Dividend 
23. 
24. 
Liberty Media Common Stock None 
 
25. 
Liberty Media International None Partial Sale 7/27 
 
26. 
Microsoft Common Stock Dividend 
 
27. 
Ebay Inc. Common Stock None 
 
 
Verizon Sale 8123 
28. 
Exxon (Mobil) Dividend 
29. 
30. 
John Nuveen Common Stock Fund (Class Dividend 
 
31. 
Scarsdale, Municipal Bond Interest 
 
32. 
Westchester, Municipal Bond Interest 
 
33. 
Rye City, Muncipal Bond Interest 
 
34. 
MAC Municipal Bond Interest 
 
 
NYCS Dorm Auth Sale 5115 
35. 
36. NYS Mort Agency Interest Income/Gain Codes: $1,000 less =$1,001-$2,500 $2,501-$5,000 $5,001-$15,000 Sl5,001-$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) =$250,000-$500,000 $500,001-$1,000,000 =$1,000,00l-$5,000,000 $5,000,001-$25,000,000 $25,000,001-$50,000,000 $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) Assessment Cash/Market 
(See Column C2) =Book Value =Other =Estimated $More than 
 
Date Report 
Name Person Reporting 
Berman, Richard 
4/28/2006 
VII. INVESTMENTS and TRUSTS --income. value, transcations (includes those the spouse and dependent children. See pp. 34-57 filing instructions.) Income during Gross value end Transactions during reporting period Description Assets 
reporting period reporting period 
(including trust assets) not exempt from disclosure 
(I) (2) (I) (2) (I) 
(3) (4) (5) 
Place (X) after each asset exempt Value Value Type (e.g. Date: Value Gain Identity 
Code2 Method buy, sell, MonthCode2 Code buy er/seller Amo wit 
from prior disclosure 
Code 
div. 
rent. 
(A-H) int.) (J-P) Code3 merger, Day (J-P) (A-H) (if private (Q-W) redemption) transaction) 
NYC (NHA) Municipal Bond (Port Authority Sale 2/1 and NJ) 
37. 
38. NYS Power Authority Interest Partial Sale 1/1 
Farmers Bank -CD 	Sale 4/20 
GMAC Automotive -CD 	Sale 7120 
40. 
Providian NatI -CD Interest 
41. 
NYS Env Fae Corp Clean Wtr Drkg Wtr Rev Interest 3.9% 
42. 
NYS Env Fae Corp Clean Wtr Drkg Wtr Rev Interest 3.75% 
NYGO Interest 
Schwab MM/NY Muni Fund Interest 
Schwab Value Advantage Fund Interest 
46. 
Chesapeake Core Growth 	Sale 9/21 
Cohen Steers Realty Fund Dividend 
48. 
Icon Energy Fund Dividend 
49. 
50. Icon Healthcare Fund Dividend 
New Perspective Fund Dividend 
51. 
52. Oakmark Fund Dividend 
TCW Galileo Value Oppty Dividend 
54. L-3 Communications Hldgs Dividend Buy 919 Income/Gain Codes: $1,000 less Sl,OOl-S2,500 $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 
(Sec Columns and 03) =$250,000-$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 =Apprai5al =Cost. (Real Estate Only) Assessment Cash/Market 
(See Column C2) =Book Value =Other =Estimated 	Income/Gain Codes: $1,000 less =Sl,001-$2,500 =$2,501-$5,000 $5,001-$15,000 $15,001-$50,000 (See Colwnns 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 Colwnns and D3) =$250,000-$500,000 =$500,001-$1,000,000 =Sl,000,001-$5,000,000 $5,000,001-$25,000,000 =$25,000,001-$50,000,000 SMore than $50,000,000 Value Method Codes =Appraisal Cost (Real Estate Only) Assessment Cash/Market 
{See Colwnn C2) =Book Value =Other =Estimated Income/Gain Codes: $1,000 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 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 
 
(See Columns and D3) $250,000-$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/Marl