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Judicial Watch • Alvin K. Hellerstein – 2008

Alvin K. Hellerstein – 2008

Alvin K. Hellerstein – 2008

Page 1: Alvin K. Hellerstein – 2008

Category:Federal Judges

Number of Pages:9

Date Created:December 4, 2009

Date Uploaded to the Library:October 29, 2014

Tags:Hellerstein, Stroock, Footnote, Alvin K Hellerstein, ALVIN, 2008, investment, Codes, dividend, disclosure, reporting, report, Federal Judge, financial, income, Judge


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SOUTHERN DISTRICT NEW YORK 
500 PEARL STREET 
NEW YORK, 10007-1581 
(212) 805-0152 
 
ALVIN HELLERSTEIN 
UNITED STATES DISTRICT JUDGE 
 
August 19, 2009 
Honorab1e Bobby Baldock, Chair Committee Financial Disclosure One Columbus Circle, N.E. Washington D.C. 20544 
Dear Judge Baldock: 
The investment described Part VII, page iine should also have mentioned the following: 
c:::; Under Column 
Sub-Column the reference buy; ::=;iJ#.-.c 
rriC 
0-,... 
 
Sub-Column (2): the reference 12/4. 
Sub-Column (3): the reference 
Thank you for bringing this matter attention. 
 United States District Judge 
 
 
Hellerstein, Alvin Person Reporting (last name, first, middle initial) Court Organization Date Report 
Hellerstein, Alvin U.S. District Court -NY-South 07/14/2009 Title (Article Ill judges indicate active senior status; Sa. Report Type (check appropriate type) Reporting Period 
magistrate judges indicate full-or part-time) Nomination, Date 01/01/2008 
U.S. District Judge (Active) 
Initial Annual Final [l] 
12/31/2008 
Sb. Amended Report Chambers Office Address the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance 
with applicable laws and regulations. 
United States District Court 
500 Pearl Street -Room 050 
New York, New York 0007 
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. POSJTJ NS. (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) Board Member Columbia Law School Alumni Association 
,.._, .... 
::::O: 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) rol.:_;. o:r:, -,,r NONE (No reportable agreements.) ..f? 
rr1 
 
AND TERMS 111196 Stroock Stroock Lavan LLP, former law firm (Pension Plan for retired partners)(No Control) 
111189 Stroock Stroock Lavan Retirement Plan (management firms IRA and 401 plans)(No Control) 
1/1/84 Stroock Stroock Lavan Investment Partnership (No Control} 
 
 
 
 
Date Report 
07/14/2009 
Hellerstein, Alvin K._ 
 
III. N0N-INVES TMENT ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 
 
SOURCE AND TYPE INCOME 
(yours, not spouses) 2008 Pension from former law firm $422,352.00 Spouses Non-Investment Income -I/you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
 
SOURCE AND TYPE 
 
 
IV. REIMBURSEMENTS -transportation, /odging,food, entertainment George Mason Law School 5115/08-5/18/08 New Haven, Connecticut Educational Seminar Transportation, Meals and Hotel Law Economics Center 
 
 
 
Date Report 
Hellerstein, Alvin 
07/14/2009 
 
VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) NONE (No reportable liabilities.) Chase Mortgage Corp. Mortgage, condominium 
 
Date Report 
 
07/14/2009 
Hellerstein, Alvin 
VII. INVESTMENTS and TRUSTS -income, va1ue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 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 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes =$15,000 Jess =$15,001 -$50,000 =$50,00I -SI00,000 =S100,001 -$250,000 
(See Columns and 03) =$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 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market 
(See Column C2) =Book Value =Other W=Estimated 
 
 
Date Report 
Hellerstein, Alvin 
07/14/2009 
VII. 
INVESTMENTS and -income, vatue, transactions r1nc1udes those spouse and dependent children; see PP J4-6o filing instructions.J NONE (No reportable income, assets, transactions.) 
 
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 (including trust assets) 
Place (X) after each asset exempt from prior disclosure 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(I) (2) (I) (2) (I) (2) (3) (4) (5) 
Amount Type(e.g., Value Value Type(e.g., Date Value Gain Identity 
Code div., rent, Code2 Method buy, sell, Month- Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) Shares Russell 2000 Growth Fd. Dividend 
36. Shares Trust FinSvc Dividend 
 
37. 
Newmont Mining Corp. Dividend 
 
38. 
Skillsoft PLC ADR None 
 
 
Vanguard Emergency Mkts ETF (See Foo Dividend 
---- - --- ---- -----=-------------.. -=-----_____,__ ---- --- ------=-----------------=----=- Income Gain Codes: =Sl,000 less =$1,001 -$2,500 =S2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(Se 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 DJ) =$250.001 -$500,000 =S500,00I -S1,000,000 =Sl,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 Ooly) =Assessment =Cash Market 
(See Column C2) =Book Valu =Other W=Estimated 
 
Date Report 
Hellerstein, Alvin 
07/14/2009 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Indicate part Report) 
Footnote Results investments, inclusive realized and unrealized gains and losses and dividends and distributions, are reported quarterly and for the year ended 12/31/08. separate figure for dividends was not reported. gain loss reported except reported Line 15, since the investment qualifies IRN401-K. 
Footnote Various the entities which SSL Investment Partnership invested were sold various dates during 2008. The gains and losses are reported the end the year reports. The identities buyers and sellers are not given. 
Footnote --Cash value and dividends are applied premiums, resulting paid-up life insurance, payable the second die between  me. Hence, 
 
the policy does not pay dividends, and has gross value. 
Footnote --In previous reports, mistakenly referred this index fund Vanguard Int! Equity Index Fund. 
 
 
 
 
Date Report 
Hellerstein, Alvin 
07/14/2009 
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) 
 
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