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Judicial Watch • Richard M Berman Financial Disclosure Report for 2007

Richard M Berman Financial Disclosure Report for 2007

Richard M Berman Financial Disclosure Report for 2007

Page 1: Richard M Berman Financial Disclosure Report for 2007

Category:Financial Disclosure

Number of Pages:13

Date Created:November 19, 2008

Date Uploaded to the Library:November 13, 2013

Tags:Berman, Richard M Berman, partial, Richard, 2007, INVESTMENTS, EPA, transactions, TRUSTS, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Government Act 1978 
Rev. 112008 
FOR CALENDAR YEAR 2007 USC app.  101-111) Person Reporting (last name, first, middle initial) Berman, Richard Court Organization U.S. District Court -S.D.N.Y. Date Report 412412008 Title (Article Ill judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. 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 U.S. District Court Centre Street (Room 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 al/parts, checking the NONE box for each part where you have reportable information. Sign last page. JTJ NS. (Reporting individual only; see pp. 9-13 filing instructions.) 
[2J NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY 

 
c..::::i 
. 
r--rn -c:J 
- 
=.:.J
,-) 
':::-:- 
r=n 
""''-_o
JJ. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
i:::- }.">
NONE (No reportable agreements.)
[2J 
PARTIES AND TERMS 
CJ1 

Berman, Richard 
4/24/2008 
JIJ, N-JNVE TME ME, (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income 
[ZJ NONE (No reportable non-investment income.) Spouse's Non-Investment Income -Ifyo11 were married during any portio11 the reporti11g year, complete this sectio11. 
(Dollar omounl not required except for honoraria.) NONE (No reportable non-investment income.) 

JV, REIMBURSEMENTS -tra11sportatio11, lodging.food, e1t1ertai11ment. 
(Includes those spouse and dependent children; see pp. 25-27 filing insln1ctirms.) 
fl] NONE (No reportable reimbursements.) 

Date Report 
Berman, Richard 
4/24/2008 GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[2J NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 

VJ. LJABJLJTJES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) NONE (No reportable liabilities.) 

412412008
Berman, Richard 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see pp. 14-60 filing instructions.; NONE (No reportable income, assets, transactions.) I=n: Gross vale ate: :f-r -----erio-------1 
(including trust asse) 

--- 	__12)T(J) __T
}--+--(IJ14) 
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, Month Code Code buyer/seller (A-H) int.) (J-P) Code 	edemption)J Day (J-P) (A-H) (if private I (Q-W) transaction)
_j___ J___ __L ____ _J________ __._L
---.. -- Apartment (NY City) Rent 
Property Sufffolk County, (House Rent Cottage) 
Property, Suffolk County,NY Rent 
Aztex Limited Partnershi (real estate) Distribution Income Garn Codes: ==$1,000 less =$1,001. $2,500 =$2,5DI -$5,0-00 =$5,001. $15.000 =$15,00  $50.0DO (See Columns and 04) =$50,00  I00,000 =$I DO.DO  .0-00,000 =$1,0-00,00  $5,000.DOD =More than $5,000.DOO Value Codes =$15,000 less =$15,001  $50,0-00 =$50.00 00,000 =$10D,OOI -S25D,OOO 
(Se Columns and DJ) "$250,00  S500,000 =$500,00 -$1,000 ,000 =$1.0-00,001-$5,0-00,DDD =$5,0-00,001 -$25,0-00,000 =$25,000,0DI -$50.0DO,OOO =More than $50,000,000 Value Method Codes Q=Appraisal =Cost (Real Estate Only) =Assessment =Cash Market (See Column C2) =Book Value =Other ""Estimnted 

412412008
Berman, Richard 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those ;pouse and dependent children,-see PP 14-60 filing instructions.; NONE (No reportable income, assets, transactions.) 
r--- -du:mg --,-vae-::noT------Transactions -------l
reportmg penod reportmg penod
(including trust assets) 
-w--i--(2)-
Amount Type g., Value Value Date Value Gain Identity exempt from prior disclosure 
Place "(X)" after each asset div rent Code Method sell, Month -Code Code buyer/sellero.'mt ,(J-P) Cod2 Day (J-P) (A-H) (if private (Q-W) transaction) 
(I) 	_____ (5) ____
------	------ -------I -------'
18. 
Liberty Media Global 	None Partial Sale 7/31 

19. 
Liberty Media Global 	Partial Sale 11/02 

20.  Microsoft Common Stock  Dividend  Partial Sale  3102315  
21.  Plum Creek Timber Co.  None  Buy  
22.  Ebay Inc. Common Stock  None  Sale  1/25  
23.  Exxon Mobil  Dividend  
24. 25.  John Nuveen Common Stock Fund (Class Scarsdale, Sch. Dist  Dividend Interest  Sale  11/5  
26.  NYS Env. Faes. Corp. Clean Water  Interest  Buy  11/08  
27.  Rye City, Pub Impt  Interest  
28.  NYS Mort Agency  Interest  
29.  NYS Power Authority  Interest  
30.  NYS Donn Authority  Interest  Buy  11/13  
31.  NYS Donn Authority Mental Heath  Interest  Buy  11/6315  
32.33.  NYS Donn Authority Columbia  Interest  Buy  
34.  Metro Trans Authority NYS Env Fae Corp Clean Wtr Drkg Wtr Rev  Interest Interest  Buy  12/12 Income Gain Codes: =$1,000 less s1,00 -$2,500 $2,501 -$5,000 =$5,001 -$15,000 15,00 -$50,000 (See Columns and 04) $50,00 -SI 00,000 =$100,00 -$1,000,000 =$1,000,00 -$5,000,000 =More than $5,000,000 Value Codes 1=S15,000 less $15,001 -$50,000 sso,oo 100,000 =$100,001 -$250,000 
(See Columns and 03) s250,oo  s5oo,ooo =$500,00 1,000,000 1,000,00 -$5,000,000 =$5,000.QO -$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 V""Other =Estimated 

4/24/2008
Berman, Richard 
VII. INVESTMENTS and TRUSTS --income, value, transactions r1nc1udes 11tose spouse and dependent c1tildren; see PP 34-60 affiting ins1ruc1ians.; 
NONE (No reportable income, assets, transactions.) 
Value Gam Identity 
Code Code buyer/seller 
(J-P) (A-H) (1fpnvate transactwn) 
Description Assets ncomdunng rross va2e a:d

reportmgpenod reportingpenod(includingtrust assets)

Place "(X)" after each asset Amount Code 1v, rent, Code buy, sell, Month
Type Value Type Date 
exempt from prior disclosure 
(A-H) 
L_______ 
(J-P) 
redemptwn) Day
----L________ ------
NYS Env Fae Corp Clean Wtr Drkg Interest 
Wtr Rev 
36. Schwab Value Advantage Fund Dividend 
Icon Energy Fund Dividend Income Gain Codes: :00$1,000 less =$1,00 -$2,500  ___  -   ____ -$15 oo1 $50.000   
(See Columns and 04) =$50,00I -$I 00,000  G=$i00,00l -$1,000,000 =$i,000,00I -$5,000,000 =More than $5,000,000 Value Codes ""$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$I 00,00 -$250,000  
(See Columns and DJ) =$250,00 -$500,000 "$500,00 -$1,000,000 =$1,000,00 -$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  

412412008
Berman, Richard 
VII. INVESTMENTS and TRUSTS -i11come, value, transactio11s r1,,c1udes those spouse and dependent children; see PP 34-60 0Jfili11g instructions.; NONE (No reportable income, assets, transactions.) 
Transactions during reporting period 
52. 
Google Inc. Class Partial Sale 11/14 

53. 
Google Inc. Class Buy 11/20 

54. 
Google Inc. Class Buy 11/21 

Income Gam Codes: ===$1,000 less =$1,001. $2.500 =$2,501 $5,000 =$5.001  $15.000 =$15,001. $50,000  
(See Columns and 04) =$50,00  00,000 =SI 00,00 -$1,000,000 =$1,000,001  $5,000,000 =More than $5,000,000 Value Codes ;::;$ 5,000 less =$15,001. $50.000 =$50.00  00,000 =$100,001  $250,000  
(See Columns and DJ) $250,001  SS00.000 =$500,00  $1,000,000 $1,000,001. S5,000,000 =$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  

(2) 

Date Report 
Name Person Reporting 
4/24/2008
Berman, Richard 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes 11tose spouse and dependent children; see PP 34-60 filing instructions.; NONE (No reportable income, assets, transactions.) 
-----------D1 
-----------i----
-8.---C. 
Description Assets during Gross value end
ncluding trust assets) porting period reporting period 
(1)
(2)

Date Value Gain
.g., Type 
Place "(X)" 
after each asset Type
Value Value g., 
Code 
div., rent, Code Method buy, sell, Month -Code Code 
buyer/sellerexempt from prior disclosure (A-H) int.) (J-P)redempt10n) (A-H)
Code private 
(Q-W) ---------
transaction) 
69. 
Johnson Johnson Buy 4117 

70. 
Lockheed Martin Dividend 

71. 
Publicis N.A. Dividend Partial Sale 3101 

Sunrise Senior Living Dividend Partial Sale 3/02 Income Gain Codes: =$1,000 less "$1,001 -$2,500 =$2,501 -$5,000  0=$5,001-$15,000 0$15,001 -$50,000  
(See Columns and 04) Value Codes "$50,001 -$100,000 "$15,000 less =$I 00,00 1,000,000 K=$15,001 -$50,000 1,000,001 -$5,000,000 =$50,00 -$I 00,000 ore than $5,000,000 00,00 -$250,000  
(See Columns and D3) "$250,00 -$500,000 $500,00  S1,000,000 -"$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 o=Cost (Real Estate Only) ""Assessment =Cash Market  
(Sec Column C2) ""Book Value =Other =Estimated  

Berman, Richard 
4/24/2008 
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.) 

412412008
Berman, Richard 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those ofspouse and dependent children; see PP 14-60 offiling
instructions.) NONE (No reportable income, assets, transactions.) ------------------
------------------------- 	
Descnpt1on Assets Income dunng Gross value end Transactions during reporting period -Place "(X)" after each asset Amount Type Value Value Type Date o exempt from pnor disclosure 
(A-H) 	(A-H) (if private Code 
div, rent, Code Method buy, sell, Month -Code Code buyer/seller (J-P) Code redempt10n) Day (J-P) 

________ __________J___ __L___ ___ 
103. 
American Express Dividend Buy 2/14 

104. 
Liberty Media Capital 	None 

105. 
Rogers Communications Dividend Partial Sale 1125 

106. 
Rogers Communications 

Partial Sale 

11. -----8 	----E:Sls001 
____
s2,5_oo $50,000 
(See Columns and 04) =$50,001-$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More lhan $5,000,000 Value Codes =SI5,000 less =$15,001 -$50,000 =$50,00I  S100,000 =$100,001 -$250,000 (See Columns and 03) -$250,00I  $500,000 =$500,00I -$1,000,000 =$1,000,00I -$5,000,000 =$5,000,00I -$25,000,000 =$25,000,00I  $50,000,000 =More 1han $50,000,000 Value Method Codes =Appraisal ==Cash Market 
(See Column C2) ""Book Value =Other ""Estimated 

Date Report 
Berman, Richard 
412412008 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; .1ee PP 34-60 filing instructions.; NONE (No reportable income, assets, transactions.)
r-------- 
Income during Gross value end Transactions during reporting period 

reporting period ...
--c.----.... ______ Description Assets 
(including trust assets) 
(I) (2) 
Type g.. Type buy, sell, buyer/seller
Value 
Code 

Place "(X)" after each asset 
exempt from prior disclosure 

(I)__

Amount 
Value 
Method Identity
Code 
__fA-
div, rent, 

(5) --___ _____ --_ 
Buy 
120. Fundamental Investors Fund 
5/21
Dividend 
121. IBM  Dividend  Buy  3106413  
122. !BM  Buy  
123. Western Asset Fund  Interest  Buy  11102  
124. New Perspective Fund  Dividend  Buy  11103 Income Gain Codes: =$1,000 less $1,001 -$2,500 $2,501 -$5,000 $5,00 15,000  E$15,00l -$50,000  
(See Columns and D4) "$50,00 00,000 $100,001 -$1,000,000 =$1,000,001 -$5,000,000 ==More than $5,000,000 Value Codes :0:$ S,000 Jess $t5,00J -$50,000 =$50,00 -$I 00,000 00,00 -$250,000  
(See Columns and DJ) "$250,00 -$500,000 ssoo,001 -si.000.000 1,000,00 -$5,000,000 =$5,000,00 -$25,000,000 $25,000,001 -$50,000,000 More than $50,000,000 Value Method Codes :::Appraisal =Cos! (Real Eslate Only) =Assessment =:Cash Market  
(See Column C2) ::::Book Value =Other ""Estimated  

Date Report 
Berman, Richard 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (/ndicateparto/Report.) 2006 disclosure report, appears that items 12, 29, and were inadvertently included having been redeemed prior years. 

Date Report 
Berman, Richard 
4/24/2008 

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)



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