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Judicial Watch • Arthur D. Spatt – 2011

Arthur D. Spatt – 2011

Arthur D. Spatt – 2011

Page 1: Arthur D. Spatt – 2011

Category:Federal Judges

Number of Pages:13

Date Created:December 1, 2012

Date Uploaded to the Library:December 21, 2014

Tags:Spatt, Arthur D Spatt, Arthur, 2011, Market, assets, INVESTMENTS, transactions, Codes, dividend, disclosure, reporting, report, Federal Judge, financial, income, Judge


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Rev.112012 
FOR CALENDAR YEAR 2011 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) Spatt, Arthur Court Organization Eastern District ofNew York Date Report 04/19/2012 Title (Article III judges indicate active senior status; magistrate JUdges indicate full-or part-time) U.S. District Judge, Senior Sa. Report Type (check appropriate type) Nomination Date Initial [ZJ Annual Sb. Amended Report Fmal Reporting Period 01/01/2011 12/31/2011 Chambers Office Address 
Long Island Federal Courthouse 
P.O. Box 9014 Central Islip, New York 11722 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Insert signature last page. POSIT! NS. (Reporting individual only; see pp. 9-13 filing instructions.) 
[{] NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) NONE (No reportable agreements.) 
 
PARTIES AND TERMS 1979 Prior pension and profit-sharing plans rolled over (See Rider annexed hereto) 1979 Individual Retirement Keogh Plan (See Rider annexed) 
 
04/19/2012 
Spatt, Arthur 
III. NON-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-14 filing instructions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
 
 SOURCE AND TYPE INCOME 
(yours, not spouses) 2011 New York State Retirement Pension $19,048.00 Spouses Non-Investment Income you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria) 
[{] NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 
 
 
 
IV. REIMBURSEMENTS -transportation, lodging, food, entertainment. 
(Includes those spouse and dependent children, see pp. 25-27 filing inS/ruc/lons.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED 
 
 
 
Date Report 
Spatt, Arthur 
04/19/2012 GIFTS. (lncl11des those spouse and dependent children; see pp. 28-31 filing instructions.) 
[Z] NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 
 
 
VI. LIABILITIES. (Incl11des those ofspo11se and dependent children; see pp. 32-33 filing instructions.) 
[2] NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 
 
 
 
04/19/2012 
Spatt, Arthur 
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.) 
Description Assets Income during Gross value end Transactions during reporting period (including tmst assets) reporting penod reporting period 
(2) (I) (2) (I) (2) (3) (4) (5) 
Place (X) after each asset 
Amount Type (e.g., Value Value Type g., Date Value Gain Identity 
Code 
exempt from pnor disclosure 
div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code buyer/seller 
(A-H) int.) Code3 redemption) (J-P) (A-H) (if private 
(Q-W) transaction) STOCKS 
AIRTOUCH COMMUN TIO Dividend 
AMERITECH -COMMON Dividend 
ATT -COMMON Dividend Income Gam Codes 41.000 less 41,001 -$2.500 =$2,501 -$5,000 D=$5.00i -$i5,000 E=$15,001 -$50.000 
(Sec Columns and D4) =$50.001  $100.000 =$100.001  $1.000.000 =$1.000.001  $5.000.000 f12 =More than $5.000.000 Value Codes =$15.000 less =$15.001  $50,000 450.001 -$100.000 M=$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 T=Cash Market 
(See Column C2) =Book Value V=Othcr W=Estimated 
 
 
VII. INVESTMENTS and TRUSTS -income, va111e, transactions r1nc111des those spouse and dependent children; see pp. 34-60 filing instructions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting penod 
(including trust assets) reporting period reporting period 
 
(1) (2) (2) (1) (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, Code2 Method buy, sell, mm/dd/yy Code2 Code buyer/seller 
(A-H) ormt.) (J-P) Code3 redemption) (J-P) (A-H) (if private 
(Q-W) transaction) Income Gam Codes =$1,000 less =$1,001  $2.500 =$2,501 $5,000 =$5.001  $15,000 E=$15,001  $50,000 
(Sec 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 D3) =$250.00  $500.000 =$500,00  $1.000.000 =$1.000.001  $5,000,000 =$5,000,001  $25,000.000 =$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 =Other =Estimated 
 
 
04/19/2012 
Spatt, Arthur 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instmctions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting period (includmg trust assets) reporting period reporting period 
(2) (2) (I) (2) (3) 
(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) Code3 redemption) (J-P) (A-H) (if private (Q-W) transaction) Income Garn Codes: =$1.000 less =$1,001 -$2.500 c=$2.501 -$5,000 =$5.001 -$15,000 415,001 -$50,000 
(See Columns and 04) =$50.001 -$100,000 =$I 00.00 -$1.000.000 =$1.000,001 -$5,000.000 =More than $5,000,000 Value Codes J415,000orlcss K=$15,001-$50,000 =$50,001-$100,000 =$! 00.00 -$250.000 
(See Columns and D3) N=$250,001 -$500.000 =$500,001 -$1,000.000 41,000.001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000.00 -$50,000,000 =More than $50,000,000 Value Method Codes Q=Appraisal =Cost (Real Estate Only) =Assessment T=Cash Market 
(Sec Column C2) =Book Value V=Othcr W=Estnnated 
 
 
04119/2012 
Spatt, Arthur 
VII. INVESTMENTS and STS income, value, transactions (Includes 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 dunng reportmg penod 
(including trust assets) reporting period ofreporting period 
 
(I) (2) 
(I) 
(2) (3) (4) 
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, Code2 Method buy, sell, mm/dd/yy Code2 Code buyer/seller 
(A-H) int.) (J-P) Code3 redemption) (J-P) (A-H) (if private 
(Q-W) transaction) Income Gam Codes =$1.000 less =$1,001 -$2.500 42,501 -$5,000 D45.00I -$15,000 415,001 -$50,000 
(Sec Columns and D4) F=$50.00J  $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 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 
(See Column C2) =Book Value =Other =Estimated 
 
 
04/19/2012 
Spatt, Arthur 
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 Income during Gross value end Transactions during reporting period 
(including trust assets) reportmg period ofreportmg period 
 
(I) (2) (I) (2) {I) (2) 
(4) 
Place (X) after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity exempt from prior disclosure d1v., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
Code 
(A-H) int.) Code redemption) (J-P) (A-H) (if private 
transaction) 
(Q-W) 
69. 	IRA STOCKS 
ALLEGHENY ENERGY INC. Dividend 
71. 	 
AMERICAN ELECTRIC POWER CO., Dividend INC. 
 
72. 	 
CASCADE NATURAL GAS CORP. Dividend 
 
73. 	 
CENTRAL SOUTH WEST CORP. Dividend 
 
74. 
CONNECTIV INC. Dividend 
 
75. 
CONNECTIV INC. Dividend 
 
 
76. ENERGY EAST CORP Dividend 
77. ENOVA CORP. Dividend 
78. FPL GROUP INC. Dividend 
79. FIRST ENERGY CORP. Dividend 
80. MIDAMERICAN ENERGY HOLDINGS Dividend 
CO. 
81. NEV ADA POWER CO. Dividend 
82. NEW ENGLAND ELECTRIC SYSTEM Dividend 
83. POTOMAC ELECTRIC POWER CO. Dividend 
84. TEXAS UTILITIES CO. (Holding Co.) Dividend 
85. TEXAS UTILITIES Dividend Income Gam Codes: A=$1,000orless =$1,001 -$2.500 c=$2,501 -$5.000 =$5,001 -$15,000 E=$15,001 -$50,000 
(See Columns and D4) F=$50.00l -$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 -$100.000 =$100.001 -$250.000 
(See Columns and D3) =$250,00 -$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 Q=Apprmsal =Cost (Real Estate Only) =Assessment =Cash Market 
(See Column C2) =Book Value =Other =Estimated 
 
 
04/19/2012 
Spatt, Arthur 
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.) 
Description Assets Income durmg Gross value end Transactions during reporting period 
(including trust assets) reportmg period ofreporting period 
 
(I) 
(2) 
(I) (2) (2) (3) 
(4) (5) 
Place (X) after each asset exempt from prior disclosure Amount Code (A-H) Type (e.g., div., rent, int Value Code (J-P) Value Method Code (Q-W) Type (e.g., buy, sell, redemption) Date mm/dd/yy Value Code (J-P) Gain Code (A-H) Identity buyer/seller (if private transaction) 
86. WESTERN RESOURCES INC. (Western Energy, Inc.) Dividend 
 
87. 
PMC CAPITAL INC. Dividend 
 
88. 
ROCHESTER GAS ELECTRIC CORP. Dividend 
 
89. 
SEMPA ENERGY Dividend 
 
90. 
SIERRA PACIFIC Dividend Income Gam Codes. =$1.000 less 41,001 -$2.500 =$2.501 -$5,000 0=$5.001-$15,000 =$15,001 -$50.000 
(Sec 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) =$250.00 -$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 
(Sec Column C2) =Book Value =Other W=Estm1atcd 
 
 
 
04119/2012 
Spatt, Arthur 
VII. INVESTMENTS and TRUSTS -income, va1ue, transactions r1nc1udes those spouse and dependent children; see pp. 34-60 filing instructions.J NONE (No reportable income, assets, transactions.) 
Description Assets Income during Gross value end Transactions during reporting penod 
(including trust assets) reporting period ofreporting period 
(I) (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 
exempt from prior disclosure Code div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) (J-P) Code3 redempt10n) (J-P) (A-H) (if private 
(Q-W) transaction) 
 
103. VERIZON COMMUNICATIONS Dividend 
104. QUEST DIAGNOSTICS Dividend 
105. CHEVRON CORP. Dividend 
106. ENERGY TRANFER PARTNERS Dividend 
107. CORPORATEBONDS 
108. TENESSEE VALLEY AUTHORITY Bond 1993 Series 109. COMMONWEAL EDISON CO. 8.625% Due 2/1/2002 110. OPPENHEIMER HIGH YIELD FUND (See Rider 111. WARWICK CENT. Interest Interest Dividend Interest Income Gam Codes =$1.000 less =$1,001 -$2,500 42,501 -$5,000 0=$5.001-$15,000 415,001 -$50,000 
(See Columns and 04) =$50.001 -$!00,000 =$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 =$50,00I 100.000 =$100.001 -$250.000 
(Sec Columns and 03) =$250.00 -$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 Q=Apprmsal =Cost (Real Estate Only) =Assessment =Cash Market 
(Sec Column C2) =Book Value =Other W=Est1matcd 
 
 
Name Person Reporting 
Date Report 
Spatt, Arthur 
0411912012 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicatepartofreport.) RIDER (Response -AGREEMENTS --first page) former participating member the Spat! Bauman, P.C. pension and profit-sharing plan, when withdrew from the firm and the practice oflaw 1978, 
share the pension plan was severed and rolled over. The funds were not used and were placed individual retirement accounts two types investments follows: bonds and stocks the aggregate value of$294,189.18 December 31, 2011. cash the Capital One Savings Bank, Great Neck, New York branch, the estimated sum of$18,677.58 December 31, 2011. RIDER (Response AGREEMENTS --first page) 
Prior entering into the Spatt Bauman, P.C. pension plan, when was single practitioner started individual retirement Keogh Plan. When withdrew from the practice oflaw, rolled over the Keogh Plan, and remains that unused condition. The Keogh funds are Oppenheimer High Yield Fund and are the value approximately $29,250.61 December 31, 2011. 
 
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. 
Signature: Arthur Spatt 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
 
 
 
HON. ARTHURD. SPATT 
Long Island Federal Courthouse 
100 Federal Plaza 
Central Islip, 11722 
Telephone: 631-712-5620 
 
 
May 25, 2012 
Hon. Joseph McKinley, Jr., Chair 
Committee Financial Disclosure 
Administrative Office 
the United States Courts One Columbus Circle, N.E., Suite 2-301 Washington, 20544 
Dear Judge McKinley: there are any other revisions made, please advise and will comply. 
Thank you again for your outstanding service the United States Courts. 
Sincerely yours, 
Isl ARTHUR SPATT 
ARTHUR SPATT ADS:vc Enclosure