Skip to content

Get Judicial Watch Updates!

DONATE

Judicial Watch • Laura T. Swain – 2003

Laura T. Swain – 2003

Laura T. Swain – 2003

Page 1: Laura T. Swain – 2003

Category:Federal Judges

Number of Pages:8

Date Created:February 3, 2005

Date Uploaded to the Library:December 24, 2014

Tags:manulife, Laura T Swain, Swain, laura, money, Growth, Estate, 2003, spouse, Codes, reportable, disclosure, reporting, report, Federal Judge, financial, income, Judge


File Scanned for Malware

Donate now to keep these documents public!


See Generated Text   ∨

Autogenerated text from PDF

inGovernment Act 1978 
Rev.112004 
Calendar Year 2003 U.S.C. app.  101-111) Person Reporting (Last name, First name, Middle initial) Swain, Laura Court Organization District Court -SONY Date Report 5/13/2004 Title (Article Ill Judges indicate active senior status; magistrate judges indicate full-or part-time) District Judge (Active) ReportType (check appropriate type) Nomination, Date Initial Annual FIDal Reporting Period 1/112003 12/3112003 Chambers Office Address Thurgood Marshall U.S. Cthse Foley Square New York, 10007 the basis the infonnation contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer 
 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable infonnation. Sign last page. POSIDONS. (Reporting individual only; see pp. 9-13 offiling instructions) NONE -(No reportable positions.) 
NAME Board Member Episcopal Charities, Inc. (terminated 2003) 
Board Member Coalition for Consumer Bankraptcy Debtor Education 
Co-Executrix Estate (distnbuted 2003) AGREElIBNTS. (Reporting individual only; see pp. 14-16 filing instructions) NONE -(Noreportable agreements.) 5195 
 
 
 
 
DJ. NON-INVESTMENT INCoME. (Reporting individual and spouse; see pp. 17-24 offiling instructions) Filers Non-Investment Income NONE -(No reportable non-investment income.) 
 Spouses Non-Investment Income-(If you were married during any portion the reporting year, please complete this section. (dollar amount not required except for honoraria) NONE -(No reportable non-investment income.) 2003 
 
IV. REIMBURSEMENTS transportation, lodging, food, entertainment. 
(Includes those spouse and dependent children. See pp. 25-27 ofinstructions.) NONE (No such reportable reimbursements.) 
 
George Mason Univ. Law Econ. Ctr. Transportation, lodging and food ection with seminar 3/6/03-3/9/03 Jolla, Suffolk University Law School Transportation, lodging and food connection with presentation lecture 419/03 -4/11103 Boston, 
National Conference Bankruptcy Judges GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
 NONE (No such reportable gifts.) UABILITIES. (Includes those spouse and dependent cln1dren. See pp. 32-34 instructions.) NONE (No reportable liabilities.) Capital One 
 
 
 
Date Report 
Name Person Reporting 
Swain, Lama 
5/13/2004 INVESTMENTS and TRUSTS -income, value, transcations (includes those ofdlc spouse and dependent children. Seepp.3.4-57 offiling instroctions.) Incom: during Gross value end 
Transactioos during reporting period Description Assets 
n:porting period 
(including trust assets) 
(1) (2) (2) (I) 
not exempt from disclosure 
Place (X) after each asset exeiqrt from prior disclosure Amount Code (A-H) Type (e.g. div. ta1L inL) Value Code2 (1-P) Value Method Code3 (Q-W) Type (e.g. buy, sell, merger, redemption) (2) Date: Month-Day (3) Value Code2 (J-P) Gain Code] (A-ff) (5) Identity buyer/seller (if private transaction) 
DNONE (No reportable income, assets, transactions) 	 
Barclays Bank PLC -Account Interest 	 
HSBC Bank (fimrly Republic Bank NY) Interest account 	 
Charles Schwab Rollover IRA Dividend 	 
-Dreyfus Appreciation Fund 
-Strong Corp. Bond Fund 
 
 
-Scudder Growth Income Fund 
-Neuberger Berman Socially Resp. Fund 
-PHBG Select Growth (frmrly Equity) Fund 
-Neuberger Berman Genesis Fund 
 
10. 
--TCW Galileo Select Equities Fund 
 
11. 
-Firsthand Technology Value Fund 
 
-FMI Focus Fund 
 
12. 
 
13. 
-PIMCO (frmlyDrcsdner) RCM Global Technology Fund 
 
 
-Gabelli Growth Fund 
14. 
 
15. 
-Managers Bond Fmid 
 
16. 	 
-PBHG Large Cap Growth Fund 
 
17. 	 
-Schwab Money M,arket Fund 
 
401(k) Plan Dividend 
 
18. $5.001-$15,000 $15,001-SS0,000 (See Colunms and D4} $50,001-$100,000 $100,001-Sl,000,000 SJ.000,001-$5,000,000 =More than SS,000,000 
Income/Gain Codes: Sl,000 less $1,001-$2,SOO S2,50J-S5,000 
Value Codes: 5,000 less $15.001-$50,000 $50,001-$100,000 =$100,001-S250,000 
(Sec Colunms and D3} $:250,000-$500,000 $500,001-Sl,OOO,OOO 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 Only) =Assessment Cash/Market -Unn., J!l>hu:. =Other =Estimated 
Date Report 
Name Person Reporting 
Pag of3 
Swain, Laura 
5/1312004 
VIL INVESTMENTS and TRUSTS -income, value. llanscations (includes those ofthe spouse and dependent children. See pp. 34-57 filing instructions.) Iucomc during Gross value end 
Transactions during reporting period Description Assets reporting period (including trust asse1S) 
not ext from disclosure 
(3) (4) 
(2) 
(1) (2) 
Place (X) after each asset Cxetqlt 
Amount 	Type (e.g. Value Value Type (e.g. div. rent 
Date: Value Gain Identity 
Code2 buyer/seller 
fJOm prior disclosun: 
Code2 Method buy, sell, Month-Code int) (J-P) Code3 merger, Day 
redemption) 
(A-H) (If private (J-P) (A-H)(QW) 
transaction) 
19. 
-Manulife Money Mkt Fund 
 
20. 
-Manulife Equity Income Fund 
 
21. 
-Manulife Quantitative Equity Fund 
 
22. 
-Manulife Emeyg StI Fund 
 
23. 
-Manulife Govt Secs Fund 
 
24. 
-Manulife Strategic Bond Fund 
 
25. 
-Manulife Int! Stock Fund 
 
26. 
 Manulife All Cap Growth Fund 
 
27. 
-Manulife Aggressive Growth Fund 
 
28. 
-Manulife Internet Technologies Fund 
 
29. 	 
Profit Sharing Plan Dividend 
 
 
Estate distnbutcd 2003) 
31. 
-GreenPoint Bank Certificate Deposit Redcrnptio 113 
 
32. 
-Republic Natl Bank Money Mkt Account (closed 2002) 
 
 
Equitable Variable Ufe Dividend 
34. -EQ/ Aggressive Stock Fund 
36. 
-EQ/ Alliance Commm Stock Fund 	Buy 1/28 
-EQ/Alliance International Fund lncom/Gain Codes: Sl,000 less $1,001-$2,500 =$2,501-$5,000 S5,00l-S15,000 $15,0-01-SSO,OOO 
(See ColumosBI andD4) $50,00-$100,000 SlOO,OOl-Sl,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 
1See Columns andD3) $:?50,000-$500,000 $500,001-Sl,OOO,OOO Sl,000,001-$5,000,000 $5,000,00l-S25,000,000 $25,000.001-SSO,OOO,OOO $More thao $50,000,000 Value Method Codes =Appraisal Cost (Real Estate Only) Assessment Cash/Market 
...:_ .,_,1 
 
Name ofPerson Reporting 
Swain, I.Aura 
5/1312004 VIL INVESTMENTS and TRUSTS -income, value, transcatioos (includes those the spouse and cbildrci. See pp. 34-57 offiling instructions.) Description Assels (including trust assets) Income dllring reporting period Gross value end reporting period Tt8DS8ctions during reporting period 
Place w after each asset exempt from prior disclosure (1) Aroount Code! (A-H) (2) Type (e.g. div. renL int.) (I) Value Code2 (J-P) (2) Value Method Codc3 (Q-W) (I) Type (e.g. buy, sell, merger, redeniption) not exempt ftom disclosure (2) (3) Date: Value MonthCode2 Day (J-P) Gain Identity buyer/seller (A-H) (if private transaction) 
37. -EQ/ Alliance Money Marlcet Fund 
38. -EQ/Alliance Quality Bond Fund Income/Gain Codes: $1,000 less $1,001-$2.500 S..,501-$5,000 $5,001-$15,000 $15,001-$50,00(1 
!See Columns and D4) $50,001-$100,000 S!00,001-$1,000,000 SI,OOO,OO!-S5,000,000 =More than $5,000,000 Value Codes: $15,000 less =SIS,001-S50,000 $50,001-SIOO,OOO $100,001-S250,000 
(See Columns and D3) $250,000-$500,000 $500,001-Sl,OOO,OOO Sl.000,001-$5.000,000 $5,000,001-S25,000,000 $25,000,00J-SSO,OOO,OOO $More tbnn $50,000,000 Value Method Codes =Appraisal = Cost (Real Estate Only) Assessment Cash!Market 
 
 
Name Person Reporting 
Date Report 
 
Swain, Laura 
5/13/2004 
 
(Indicate part Report.) 
VIII. ADDIDONALINFORMATION OREXPLANATIONS 
(Part VD, line 29) The investments this profit sharing plan are not participant-directed and the positions held the plan are not reported the 
statements issued participants. 
 
(Part VII, line 32) This money market account was closed, and the proceeds distributed beneficiaries the estate, May 2002. The value code for the transaction was 
 
 
 
 
 
 
 
Swain, Laura 5/13/2004 
 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best lmowledge 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.  501 seq., U.S.C.  7353, and Judicial Conference regulations. 
 
 
 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES ORF AILS FILE TIIlS REPORT MAY SUBJECT CIVIL AND CRJMINAL 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