Laura T. Swain – 2006
Category:Federal Judges
Number of Pages:8
Date Created:August 31, 2007
Date Uploaded to the Library:December 24, 2014
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Government Act 1978 Rev. 112007 FOR CALENDAR YEAR 2006 U.S.C. app. IOI-I Person Reporting (last name, first, middle initial) Swain, Laura Court Organization District Court -SDNY Date Report 05/10/2007 Title (Article III judges indicate active senior status; magistrate judges Indicate full-or part-time) District Judge (Active) Sa. Report Type (check appropriate type) Nomination, Date Initial !?9 Annual Final Reporting Period 0110112006 12/31/2006 Sb. Amended Report Chambers Office Address D.P. Moynihan U.S. Courthouse 500 Pearl Street 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 all parts, checking the NONE box/or each part where you have reportable information. Sign last page. POSITI NS. (Reporting individual only; see pp. 9-13 instructions.) NONE (No reportable positions.) POSITION NAME ORGANIZATION/ENTITY Board Member Coalition for Consumer Bankruptcy Debtor Education (terminated 2006) Board Member Havens Relief Fund Society Board Member Federal Judges Association JI. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) NONE (No reportable agreements.) 5195 Swain, Laura 05/10/2007 III. N-INVESTMENT ME. (Reporting individual and spouse; see pp. 17-24 instructions.) Filers Non-Investment Income (KJ NONE (No reportable non-investment income.) (yours, not spouses) Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. (Dollar amount not required except for lwnoraria.) NONE (No reportable non-investment income.) 2005 IV. REIMBURSEMENTS -transportation, /odging,food, entertainment (Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) DESCRIPTION Federal Bar Council Airfare, Lodging and Food for self and spouse connection with speaking educational program Feb. 2-10, 2006, Charlotte Amalie, Federal Judges Association Airfare, Lodging and Food for self connection with board meeting Arlington, May 6-7, 2006 Southern Vermont College Lodging and Food for self and family connection with inaugural ceremonies for college president. Bennington, 11/17-19/06 0511012007 Swain, Laura 05/10/2007 Swain, Laura GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) [K} NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) [K} NONE (No reportable liabilities.) DESCRIPTION Date Report Name Person Reporting 05/10/2007 Swain, Laura 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) Place (X) after each asset exempt from prior disclosure Barclays Bank PLC -Account Income during Gross value end Transactions during reporting period reporting period reporting period (I) (2) (2) (I) (2) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity Code div., rent, Code 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) Interest HSBC Bank (frmrly Republic Bank NY) Interest account Charles Schwab Rollover IRA Dividend -Dreyfus Appreciation Fund -Wells Fargo Adv. Corp Bond Inv. Fund -DWS (fmr Scudder) Growth Income Fund -Neuberger Berman Socially Resp. Fund -Old Mutual Select Growth Fund -Neuberger Berman Genesis Fund --TCW Select Equities Fund 11. -Firsthand Technology Value Fund 12. -FMI Focus Fund 13. -Allianz RCMGlobal Technology Fund -GAMCO (fmr Gabelli) Growth Fund 15. -Managers Bond Fund 16. -Old Mutual Large Cap Growth Fund -Schwab Money Market Fund Income Gain Codes: 1,000 less =$1,001 -$2,500 =$2,50 -$5,000 =$5,00 15,000 =$15,001 -$50,000 (See Columns and 04) =$50,001 -$100,000 =$100,001 -Sl,000,000 =$1,000,00 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,00 -$I 00,000 =$I 00,00 -$250,000 (See Columns and 03) =$250,00 -$500,000 =$500,00 -$1,000,000 =$1,000,00 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,00 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market (See Column C2) =Appraisal =Other =Assessment =Book Value =Estimated 05/10/2007 Swain, Laura VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing ins/ructions.) NONE (No reportable income, assets, transactions.) Income Gain Codes: 1,000 less =$1,00 -$2,500 =$2,50 -S5,000 =$5,00 15,000 15,00 -$50,000 (See Columns and 04) =$50,001 100,000 =SI00,001-$1,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes 15,000 less =$15,00: -$50,000 =$50,001 -SI00,000 =SI 00,00 -$250,000 (See Columns and 03) =$250,00 -$500,000 =$500,00 1,000,000 =Sl,000,001 -$5,000,000 =$5,000.00 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market (See Column C2) =Appraisal =Other =Assessment =Book Value =Estimated 05/10/2007 Swain, Laura VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate parto/Report.) (Part VII, line 28) The investments this profit sharing plan are not participant-directed and the positions held the plan are not reported the statements issued participants. Date Report Swain, 05/10/2007 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 NOTE: ANY 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