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Judicial Watch • Alvin K. Hellerstein – 2006

Alvin K. Hellerstein – 2006

Alvin K. Hellerstein – 2006

Page 1: Alvin K. Hellerstein – 2006

Category:Federal Judges

Number of Pages:8

Date Created:September 11, 2007

Date Uploaded to the Library:October 29, 2014

Tags:Hellerstein, Stroock, Alvin K Hellerstein, ALVIN, Russell, shares, 2006, Codes, dividend, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


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AOlO Government Act of1978 
Rev. 112007 
FOR CALENDAR YEAR 2006 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Hellerstein, Alvin Court Organization U.S. District Court -NY-South Date Report 07/03/2007 Title (Article Ill judges indicate active senior status; magistrate judges indicate fuU-or part-time) U.S. District Judge (Active) Sa. Report Type (check appropriate type) Nomination, Date Initial Annual Final Reporting Period 01/01/2006 12131/2006 
Sb. Amended Report Chambers Office Address United States District Court 500 Pearl Street -Room 1050 New York, New York 10007 the basis the information contained this Report and any modifications pertaining thereto, ls, 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 instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Board Member Columbia Law School Association Board Member Jewish Community Relations Council 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) 
::0 
 
NONE (No reportable agreements.) 1/1/96 f1l Stroock Stroock Lavan LLP, former law firm (Pension Plan for retired partners)(No CeJtol) 1/1/89 Stroock Stroock Lavan Retirement Plan (management firms IRA and 401K plans)(No Control) 1/1/84 Stroock Stroock Lavan Investment Partnership (No Control) 
 
 
 
HeUerstein, Alvin 
07/03/2007 
III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE INCOME 
(yours, not spouses) 2006 Pension from former law firm $440,793 Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
(K] NONE (No reportable non-investment income.) 
 
IV. REIMBURSEMENTS -transportation, lodging,food, entertainment 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) SOURCE DESCRIPTION 
Federal Bar Council 217-219 -St. Thomas, -Bench Bar Conference (Transportation, Meals and Hotel) 
ABA 12/1-12/3 -Chicago, IL-Rule Law Symposium (Transportation, Meals and Hotel) 
 
Hellerstein, Alvin 
07/03/2007 GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
 NONE (No reportable gifts.) 
 
DESCRIPTION 
 
 
VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 	NONE (No reportable liabilities.) 
CREDITOR 
DESCRIPTION VALUE CODE American Express, Visa Credit cards 
Chase Mortgage Corp. Mortgage, condominiwn 
 
Date Report 
Name Person Reporting 
Hellerstein, Alvin 
07/03/2007 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See PP 34-60 filing instrucuons.) 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 (1) Amount Code (A-H) (2) Type (e.g. div., rent, int.) (!) Value Code (J-P) (2) Value Meihod Code (Q-W) (1) Type (e.g. buy, sen, redemption) (2) Date Monih-Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (if private transaction) New York City Condominium Rent Morgan/Chase Interest 
Franklin Templeton Mut. Qua!. Fund (IRA) Dividend 
Dreyfus Money Market Funds Interest 
 
 
Stroock Stroock Lavan Retirement (See fit. Shares Lehman Agg. (See fit. 
-Bernstein Equity Fund (See fit. 
-Baird Inv. Mgmt. (See fit. 
-Turner Inv. Mgmt. (See fn. 
 
10. 
-C.S. McKee, L.P. (See fit. 
 
11. 
-Brandes Inv. Part. Fund (See fn. 
 
12. 
-Private Capital Mgmt. (See fit. 
 
 
-Calamos Inv. Mgmt. Fund (See fit. 
14. -Allegiance Capital (See fn. 
Stroock Stroock Lavan retirement Plan Redempt Part 10/18 (See fn. 
16. 
Mellon Bank Corp. (Mellon Fin. Corp.) Dividend 
 
17. 
SSL Investment Partnerships (See fit. Dividend sell part fn.3 See fn. Income Gain Codes: =$1,000 less =Sl,001 -$2,SOO =S2,SOI -S5,000 =S5,00I -Sl5.000 =S15,00I -SS0,000 (Sec Columns and 04) =$50,00I -SI 00,000 =SI00,001 -Sl,000,000 =Sl,000,001 -SS.000,000 =More than S5,000,000 Value Codes =SI 5,000 less =$15,001 -S50,000 =$50,00 -SI 00,000 =SI00,001 -S250,000 (Sec Columns and 03) =$250,001 -$500,000 =$500,00I 1,000,000 =SJ,000,001 -$5,000,000 =SS,000,001 -S25,000,000 =$25,000,001 -S50,000,000 =More than S50,000,000 (Sec Column C2) V=Othcr Value Method Codes =Cost (Real Estate Only) =Cash Market =Appraisal =Assessment =Book Value =Estimated 
 
 
Date Report 
Hellerstein, Alvin 
07/03/2007 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the 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 (I) Amount Code (A-H) (2) Type (e.g. div., rent, int.) (!) Value Code (J-P) (2) Value Method Code (Q-W) (!) 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) 
 
18. 
-Warburg Pincus Funds 
 
19. 
-Loeb Partners Investments 
 
20. 
Bea Systems None 
 
21. 
State ofisrael Bonds Interest 
 
22. 
CCC Info Svces Group None Donate! 1/27 
 
23. 
Gilead Sciences Inc. None 
 
24. 
Journal Register Co. Dividend Donated 9/20 
 
 
- 
25. 
Renaissance Holdings Ltd. Dividend Sold 2/6 
 
26. 
Regeneron Pharmaceutical None 
 
 
Coventry Health Care Inc. None 
28. Citibank Bank Dep. Interest 
Royce Micro-Cap Fund Dividend 
New Eng. Fin. (Perm. Life) Dividend 
31. Northwestern Mutual (Life Ins.) Dividend 
32. 
Gold Fields Ltd. Dividend 
 
33. Shares MSCI EAFE Index Fund Dividend 
 
34. Shares Russell 1000 Value Fd. Dividend Inco Gain Codes: =Sl,000 less =Sl,001 -S2,500 =S2,501 -$5,000 =S5,001 -Sl5,000 =Sl5,001 -$50,000 
(See Columns aod 04) =$50,001 -$100,000 =$100,001 -Sl,000,000 =Sl,000,001 -$5,000,000 =More thao $5,000,000 Value Codes =SI 5,000 less 15,001 -S50,000 L=S50,001 -Sl00,000 100,001 -$250,000 
(See Columns and 03) N=S250,001-S500,000 =$500,001 -Sl,000,000 =Sl,000,001 -$5,000,000 =$5,000,001 -S25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than S50,000,000 =Cash Market 
(See Column C2) Q=Appraisal V=Other =Assessment =Book Value =Estimated 
 
Hellerstein, Alvin 
07/03/2007 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those the 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 (I) Amount Code (A-H) (2) Type (e.g. div rent, int.) (I) Value Code (J-P) (2) Value Method Code (Q-W) (I) 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) Shares Russell 1000 Growth Fd. 
Dividend 
36. Shares Russell 1000 Index Fd. 
Dividend 
37. Shares Russell 2000 Value Fd. 
Dividend 
38. Shares Russell 2000 Growth Fd. 
Dividend 
Newmont Mining Corp. 
Dividend 
Skillsoft PLC ADR (See Footnote 
None 
41. Vanguard Int! Equity Index Fund 
Buy 2/1 
Dividend 
42. Knoll, Inc. (See Footnote 
Dividend 
Received 9/20 
Knoll, Inc. (See Footnote 
None 
Donate 11/20 Income Gain Codes: =Sl,000 less =Sl,001 -S2,500 =S2,501 -S5,000 =S5,001 -Sl5,000 =$15,001 -S50,000 
(Sec Columns and 04) F=$50,001 -$100,000 100,00 1,000,000 =Sl,000,001 -S5,000,000 =More than $5,000,000 Value Cod =SJ 5,000 less =$15,001 -$50,000 =$50,001 100,000 =Sl00,001 -S250,000 
(See Colwnns and 03) =$250,001 -$500,000 =$500,001-$1,000,000 =Sl,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than SS0,000,000 =Cash Market 
(See Column C2) Q=Appraisal V=Otber =Ass essment =Book Value =Estimated 
 
 
Hellerstein, Alvin 
07/03/2007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicateparlo/Report.) 
Footnote Results investments, inclusive realized and unrealized gains and losses and dividends and distributions, are reported quarterly and. for the year ended 12/31/06. separate figure for dividends was not reported. gain loss reported except reported Line 15, since the investment qualifies 
IRA/401-K. 
Foofnote --Various the entities which SSL Investment Partnership invested were sold various dates during 2006. The values, gains and losses are reported the end the year reports. The identities buyers and sellers are not given. One such company was Ness Tech, Inc., sold 6/16 for loss Securities also were distributed participants various dates during 2006. Knoll, Inc. and Skillsoft PLC ADR were both received that capacity, 6/3 and 10/17 for Knoll, and 11/16 and 12/21 for Skillsoft. 
 
 
 
 
07/03/2007 
Hellerstein, Alvin 
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. 
Signatur 
NOTE: KNOWINGLY AND 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