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Judicial Watch • Richard M. Berman – 2012

Richard M. Berman – 2012

Richard M. Berman – 2012

Page 1: Richard M. Berman – 2012

Category:Federal Judges

Number of Pages:11

Date Created:January 3, 2014

Date Uploaded to the Library:May 22, 2014

Tags:Berman, Richard M Berman, Estimated, Richard, Estate, 2012, Gross, Market, assets, transactions, Codes, dividend, reporting, CIA, Federal Judge, income, Judge


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Person Reporting (last name, first, middle initial) Berman, Richard Court Organization U.S. District court -S.D.N.Y. Date Report 05/13/2013 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. District Judge  Sa. Report Type (check appropriate type) Nomination Date Initial [{] Annual Sb. Amended Report Final Reporting Period 01/01/2012 12/31/2012 Chambers Office Address 
U.S. District Court Centre Street 
New York, 10007 

/MPO ANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. POS ITJ NS. (Reporting individual only; see pp. 9-13 filing instructions.) 
[ZJ  NONE (No reportable positions.)  
POSITION  NAME ORGANIZATION/ENTITY 

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

PARTIES AND TERMS 

Berman, Richard

Ill. N-INVES TMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income [{] 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 tltis section. 
(Dollar amount not required except for honoraria.) 

SOURCE AND TYPE 

IV. REIMBURSEMENTS -transportation, lodging.food, entertainment. 
(Includes those spouse and dependent children; see pp. 25-27 offiling instructions.) 
[{] 
ITEMS PAID PROVIDED 

DESCRIPTION VALUE 

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

VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  
(including trust assets)  reporting period reporting period  

Transactions during reporting period 
(2) (2) (2) (3) (5) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller Value Codes =$15.000 less  K=$15.001 -$50.000  L=$50.00 -$I 00.000 =$100.00 -$250.000  
(See Columns and 03)  N=$250.00 -$500.000  0=$500.00I -$1.000.000 =$1.000.001 -$5.000.000 =$5.000.001 -$25.000.000  
1'3 =$25.000.00 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period reporting period  

(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 
Code
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) 
(A-H) (if private 
(Q-W) 	transaction) 
18. 	
NYS Dorm Auth Revs Sloan Kettering Interest Buy 03/30/12 Center 

19. 	
Puerto Rico Sales Tax Fing Corp Sales Tax Interest Buy 03/30/12 Income Gain Codes: =$1.000 less 41.001 -$2.500 =$2.501 -$5.000 =$5.001 -$15.000 =$15.001 -$50.000  
(Sec Columns and D4)  F=$50.00l -$100.000 =$I 00.00 -$1.000.000  111 =$1.000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$15.000 less  K=$15.001 -$50.000  L=$50.00 -$I 00.000 =$!00.001 -$250.000  
(Sec Columns and D3) =$250.00 -$500.000 =$500.00 -$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  V=Othcr  W=Estimated  

Berman, Richard 

VII. INVESTMENTS and TRUSTS --income, vo1ue, transactions r1nc111des those spo11se 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  

(2) (I) (2) (I) (2) (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)  Code  redemption)  (J-P)  (A-H)  (if private  

transaction) 
SPDR Gold Trust None Buy 8/24/12 
36. 
China Unicom Hong Kong Dividend Sold 8/27/12 

37. 
Metropolitan Transportation Auth Trans Interest Buy 

8/13/12 Income Gain Codes: J.000 less =$1.001 -$2.500 =$2.501 -$5.000  D=$5.001 -$15.000 =$15.001 -$50.000  
(Sec Columns and 04)  F=$50.001 -$100.000 =$100.001 -$1.000.000  Ill =$1.000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$15.000 less =$15.001 -$50.000 =$50.001 -$100.000 =$I00.001 -$250.000  
(See Colunms and D3) =$250.00I -$500.000 =$500.00I -$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)  U=Book Value  V=Othcr  W=Estimated  

VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; see pp. 34-60 offitinc instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions dming reporting period  
(including trust assets)  reporting period  ofreporting period  

(2) (I) (I) (2) (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) Code redemption) 
(A-H) (if private transaction) 
52. 	
UTS SPDR Trust Ser Dividend 

53. Morgan Emerging Markets Equity Fund None CIA 

54. 	
NYS Dorm Auth Rev North Shore Interest 

55. 	
Puerto Rico Pub Bldgs Auth Rev Interest 

56. 	
Omaha Neb Omaha Convention Center Interest 
58. 
New York Rfdg Ser Interest 
New York Ser Interest 
59. 	
New York Ser U/T B/E 

60. 	
New York Ser B/E U/T 

61. 	
Puerto Rico Elec Pwr Auth Prf 

62. 	
Puerto Rico Elec Pwr Auth 

63. 	
Puerto Rico Commonwealth Hwy Trans Auth Trans Rev 

64. 	
Westchester TOB Asset Secrtztn CRP 

65. 	
TSASC Inc TOB Settlement Asset 

66. 	
NYS DIA Auth Revs Sadly Pref Mental Fae 

67. 	
Metro Trans Dedicated Tax FSA 

68. 	
New York Twy Second Gen! Hwy Brdg Income Gain Codes: =$1,000 Jess (Sec Columns and 04) f=$50.001 -$100.000 
Value Codes J=$15,000 less (See Columns and 03) =$250.00 -$500.000 =$25.000.001 -$50.000.000 
Value Method Codes =Appraisal (Sec Column C2) 

U=Book Value Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest =$1.00 -$2.500  c=$2.501  $5.000 =$5.001 -$15.000  E=$15.001 -$50.000 I00.00 -$1.000.000 =$1.000.001 -$5.000.000  112 =More than $5.000.000  
K=$15.00l -$50.000  L=$50.00 -$I 00.000 =$100.001  $250.000  
0=$500.00  $1.000.000 =$1.000.001 -$5.000.000 =$5.000.001 -$25.000.000 =More than $50.000.000 =Cost (Real Estate Only) =Assessment  T=Cash Market =Other =Estimated  

Berman, Richard 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc111des 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  ofreporting period  

(I) (2) (I) (2) (I) (3) (4) (5) 
Place "(X)" after each asset exempt from prior disclosure 
69. 	
New York Urban Dev Corp Rev Personal Income Tax 

70. 
New York Dorm Auth FACS Lse Rev (NYC Issue) 

71. 
Metropolitan Trans Auth Dedicated Tax Revs FGIC 

72. 
TIAA Cref 

73. 	
T-C Intl Lnkd Bond Rtmt 

74. 	
T-C Lifecycle 2020 Rtmt 

75. 	
T-C Lifecycle Rtmt Inc Rtmt 

76. 	
Property Indian River Cnty, (X) 

77. 	
Lucia Mar Uni Sch Dist Calif Election 2004 Ser FGIC 

78. 
Oregon Dept Transhn Hwy User Tax Rev Ser 

Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity Code 
div., rent, Code2 Method 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) Interest Interest Interest  Dividend  Distribution  
None  Distribution  Rent  Interest  Interest  

Georgia B/E 
Interest 
80. 	
Oregon Dept Transhn Hwy User Tax Rev Interest Ser 

81. 	
Scottsdale Ariz Mun PPTY Corp Excise Tax Interest Rev Pref B/E 

82. 	
Utah Tra Auth Sales Tax Rev Ser FSA Interest 

83. 	
China Mobile LTD Spn ADR Dividend 

84. 	
SPDR Gold Trust None 

85. 	
!shares Dow Jones Dividend Income Gain Ccxlcs: =$1.000 less  ll41.00I -$2.500  c=$2.501 -$5.000 =$5.001 -$15.000 =$I 5.00 -$50.000  
(See Columns Ill and 04)  F=$50.001 -$1 00.000 =$100.001 -$1.000.000  Ill =$1.000.001 -$5.000.000  112 =More than $5.000.000 Value Codes =$15.000 Jess =$15.001 -$50.000  l=$50.00 -$I 00.000 =$100.00 -$250.000  
(See Columns and 03) =$250.00 -$500.000  0=$500.00 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  T=Cash Market  
(See Column C2) =Book Value =Other  W=Estimated  

Berman, Richard 
VII. INVESTMENTS and TRUSTS --income, value, transactions r1nc1udes those spouse and dependent children; see PP 34-60 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) (I) (2) (I) (2) (3) 
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)  Code  redemption)  (J-P)  (A-H)  (if private  

transaction) 
86. 
Union Pacific corp 

87. 
Rydex ETF Index Fund 

88. 
Vanguard Small Cap 

89. 
Deere 

90. 
New Jersey Gen! Obligation 

91. 

92. 

93. 

94. Dividend Dividend Dividend Dividend Interest Jncomc Gai.n Codes: =$1.000 less 41,001  $2.500  c=$2.501 -$5.000  0=$5.001. $15.000  E=$15.001  $50.000  
(Sec Colunms and 04)  f=$50.00l -$100.000 =$100.001  $1.000.000 =$1.000.001 -$5.000.000  112 =More than $5.000.000 Value Codes  J=$15.000 less =$15.001 -$50.000  L=$50.00 -$I 00.000 =$100.001  $250.000  
(Sec Columns and 03) =$250.001 -$500.000  0=$500.00  $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  V=Othcr  W=Estimated  

05113/2013
Berman, Richard
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Indicate part ofreport.) 
The items inadvertently listed Part VII lines 18, 51, and the 2011 report not appear the 2012 report. They were previously redeemed sold. 

Berman, Richard 
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 of5 U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

Signature: Richard Berman 

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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