Sidney H Stein Financial Disclosure Report for 2005
Category:Financial Disclosure
Number of Pages:30
Date Created:February 21, 2007
Date Uploaded to the Library:November 13, 2013
Donate now to keep these documents public!
See Generated Text ∨
Autogenerated text from PDF
SOUTHERN DISTRICT NEW YORK UNITED STATES COURTHOUSE SOO PEARL STREET NEW YORK, NEW YORK 10007-1312 CHAMBERS SIDNEY STEIN UNITED STATES DISTRICT JUDGE Committee Financial Disclosure Administrative Office the United States Courts One Columbus Circle, N.E. Washington, 20544 Re: Calendar Year 2005 Dear Committee: November 2006 0-AS0 ::2: 0.-.,,-c:> -=:::: cnZ (") c:> ::oz 0-m fTIO -Ol> -..., iTl write response your letter dated October 11, 2006. Part line should read "President .and Member, Board Directors, Part VII, page line 49, column B(l), should read "A." believe this responds full your enquiries. AOlO Government Act 1978 Rev. 112006 FOR CALENDAR YEAR 2005 U.S.C. app. 101-111) Date Report Person Reporting (last name, first, middle initial) Conrt Organiution STEIN, SIDNEY U.S. Federal District Court 8/17/2006 Reporting Period Title (Aiticle III judges indicate active senior sta!,ns; Sa. Report Type (check appropriate type) magistrate judges indicate full-or part-time) 0110112005 Nomination, Date U.S.D.C. Judge -Active Status Initial Annual Final 12/31/2005 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. U.S. Courthouse 500 Pearl Street New York, New York 10007-1312 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.) NAME President and Member, Board Directors ........, (/) c::: ".::::::, 'Yl"' .--. .,.. c.n II. AGREEMENTS. (Reporting individual only; see pp. 14-16 Instructions.) o:;:... NONE (No reportable agreements.) Name Person Reporting Date Report STEIN, SIDNEY III. N-INVESTMENT ME. (Repordng individual and spouse; see pp. 17-2'1 instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) 2005 West Group-Royalty (yours, not spouse's) 3,903.34 Spouse's Non-Investment Income -I/you were married during any portion the reporting year, complete this section. (Dollar amount not required except for honororia.) NONE (No reportable non-investment income.) 2005 IV. REIMBURSEMENTS -transportation, lodging, food, entertainment. (Includes those spouse and dependent children. See pp. 25-27 instructions.) IKJ NONE (No reportable reimbursements.) Date Report Name Person Reporting 8/17/2006 STEIN, SIDNEY GIFTS. (lnc/11des those spouse and dependent children. See pp. 28-31 ofinstr11ctlons.) NONE (No reportable gifts.) VALUE VI. LIABILITIES. (Includes those ofspo11se and dependent children. See pp. 32-34 ofinstr11ctions.) NONE (No reportable liabilities.) Name Penon Reporting Date Report STEIN, SIDNEY 8/17/2006 VII. INVESTMENTS and TRUSTS -income. vatue, transacfiqns (includes those of"' spouse and dependent children. See pp. 3-t-s1 of.filinx instrucwnsJ NONE (No reportable income, assets, transactions.) Des cription Assets (inclu ding trus sets) Place "(X)" after each set exem from prior discl ostire Income during Gross value atend Transactions ring reporting period reporting period reporting period (1) (2) (!) (2) (I) Ifnot exempt from discloSU1C ount Type(e.g. Value Value Type(e.g (2) (3) (4) (5) Code div., rent, Code2 Method buy, sel Date Value Gain Identity (A-H) inl) (J-P) Code3 mer ger, Month Code2 Code buyer/seller (Q-W) redem tion) Day (J-P) (A-H) (if private lransaction) MONEY MARKETS JPMORGAN U.S. GOVT. Interest Part Sale 2-25 DREYFUS MUNI MKT Interest COMMON STOCKS BANKAMERJCA CORP. COM Buy 8-1 BANKAMERJCA CORP. COM. Dividend Buy 9-13 BERKSHIRE HATHAWAY CORP. None COM FEDERAL NATIONAL MTG ASSN Buy 4-13 COM. 10. FEDERAL NATIONAL MTG ASSN Buy 8-1 COM. 11. FEDERAL NATIONAL MTG ASSN Dividend Buy 11-2 COM. 12.5180 GRANT AVENUE CORP. Dividend 13. MICROSOFT CORP. COM. Buy 3-10 14. MICROSOFT CORP. COM. Dividend Buy 8-1 15. ARROW ELECTRJC None Sold 8-7 16. ARROW ELECTRJC Buy 8-1 17.ARROW ELECTRJC None Buy 8-24 Income Gain Codes: A=$1,000orless B-$1,001 -$2,500 C-$2,501 -$5,000 =$5,001 -$15,000 E=$15,001 -$50,000 (See Columns and 04) F-$50,001-$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 112 =Mom than$5,000,000 Value Codes =$15,000 less K=$15,00l -$50,000 L=$50,001 -$100,000 =$100,001 -$250,000 (See Columns and 03) N=$250,001 -$500,000 0=$500,001 -$1,000,000 -$1,000,001 -$5,000,000 -$5,000,001 -$25,000,000 Codes -$25,000,001 -$50,000,000 =Cost (Real Estate Ooly) =Mom than $50,000,000 T=CashMarl:et (See Column C2) V=Other Value Method =Assessment U=Book Value W=Estimated =Appraisal Date Report 8/1712006 STEIN, SIDNEY VII. INVESTMENTS and TRUSTS -income, vatue, transactions (inctudes those the spouse and dependent children. s.. PP 11-51 filing instructions) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Place "QC)" after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period (I) (2) (I) (2) (I) Ifnot exempt from 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, merger, redemption) (2) Date Month-Day (3) Value Code2 (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (ifprivate tr.msaction) 18. CSX CORP. Part Sale 4-22 19. CSX CORP. Part Sale 7-29 20. CSX CORP. Dividend Buy 8-1 21. NORFOLK SOUTHERN Dividend Buy 8-1 22. AMERICAN ELECTRIC POWER Part Sale 4-22 23. AMERICAN ELECTRIC POWER Dividend Part Sale 8-2 24. CHUBB CORP. Part Sale 4-22 25. CHUBB CORP. Dividend Buy 8-1 26. COOPER TIRE RUBBER Dividend 27. FEDERATED DEPT. STORES Dividend Sold 7-18 28. INGRAM MICRO INC. Part Sale 4-22 29. INGRAM MICRO INC. None Sold 7-29 30. OCCIDENTAL PET. Dividend Buy 8-1 31. SUPERV ALUE INC. Dividend Buy 8-1 32. CORP. Dividend Part Sale 2-2 33. WISCONSIN ENERGY Dividend Buy 8-1 34. AMERICAN INT'L GROUP INC. Buy 8-1 Income Gain Codes: s:St,000 less B=Sl,001-$2,500 =$2,501 $5,000 =$5,001-$15,000 =$15,001 $50,000 (Sec Columns and 04) F=$50,001-$100,000 =$100,001-$1,000,000 =$1,000,001 -$5,000,000 -M= than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 L=SS0,001-$100,000 =$100,001 -$250,000 (SccC.lumos and 03) s$250,00I -$500,000 0=$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 "'51 (RealEstate Only) ore than $50,000,000 Cash Mari:et (Sec Column C2) =Appraisal V=Other =Assessment =Book Value WEstimated Date Report STEIN, SIDNEY 8/17/2006 VII INVESTMENTS and TRUSTS -income. value, transactions fmdudes those the spouse and dependent childrzn. see pp. 1 redemption) (2) Date Month-Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (ifprivate transaction) 277. MINE SAFETY APPL. Buy 1-12 278. MINE SAFETY APPL. Buy 1-13 279. MINE SAFETY APPL. Buy 1-14 280. MINE SAFETY APPL. Buy 1-18 281. MINE SAFETY APPL. Buy 1-19 282. MINE SAFETY APPL. Buy 1-20 283. MINE SAFETY APPL. Buy 1-24 284. MINE SAFETY APPL. Buy 1-25 285. MINE SAFETY APPL. Buy 1-26 286. MINE SAFETY APPL. Buy 1-27 287. MINE SAFETY APPL. Buy 1-28 288. MINE SAFETY APPL. Buy 2-2 289. MINE SAFETY APPL. Dividend Sold 2-22 Income Gain Codes: =$1,000 less l,001 -$2,500 2,501 -$5,000 0=$5,001-$15,000 E=$15,001 -$50,000 (Sec Columns aod 04) F50,001-$100,000 =$100,001 -$1,000,000 =$1,000,001-$5,000,000 =More than $5,000,000 Value Codes 1=$15,000 less K=$15,001 -$50,000 L=$50,001-$100,000 M=Sl00,001-$250,000 (See Columns aod DJ) =$250,001 -$500,000 0=$500,001 -$1,000,000 1,000,001-$5,000,000 5.000,001 -$25,ooo,ooo Value Method Codes Pl=$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 T-cashMarli:et (See Column C2) =Appraisal V=Other =Assessment U=Book Value W=Estimated Date Report STEIN, SIDNEY 8/17/2006 VII. INVESTMENTS and TRUSTS -income. value, transiu:tions (inc1ut1es those the spouse and dependent children. see PP 34-57 filing instructions) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Place "(X)" after each asset exempt ftom prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period (I) (2) (I) (2) (I) not exempt fiom 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, merger, redemption) (2) Date Month-Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (if private transaction) 290. NATIONAL OILWELL INC. Buy 1-3 291. NATIONAL OIL WELL INC. None Sold 2-22 292. NOBLE CORP. Buy 5-20 293. NOBLE CORP. Dividend Buy 10-25 294. OFFICE DEPOT Buy 8-1 295. OFFICE DEPOT Buy 10-5 296. OFFICE DEPOT None Buy 10-28 297. OPTION EXPRESS Buy 2-1 298. OPTION EXPRESS Dividend 299. PINNACLE WEST CAPITAL Dividend 300. PPG INDUSTRIES Dividend 301. RENAISSANCERE HLDGS 302. RENAISSANCERE HLDGS Dividend 303. SANMINA SCI CORP. 304. SANMINA SCI CORP. None 305. STERICYCLE INC. 306. STERICYCLE INC. Sold 2-17 Buy 8-1 Buy 8-1 Buy 8-1 Buy 8-9 Buy 5-20 Buy 8-1 Buy 1-12 Buy 1-13 Income Gain Codes: =$1,000 less B-$1,001-$2,500 C-$2,501 -$5,000 D-$5,001 -$15,000 E-$15,001 -$50,000 (See Columns and D4) F-$50,001-$100,000 G-$100,001 -$1,000,000 -$1,000,001-$5,000,000 H2-Morc than $5,000,000 Value Codes J-$15,000 orless K-$15,001 -$50,000 L-$50,001 -$100,000 -$100,001 -$250,000 (See Columns and DJ) N-$250,001 -$500,000 o-s500,001 -s1,ooo,ooo -$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes -$25,000,001 -$50,000,000 =Cost (Real Estate Only) -More than $50,000,000 =Cash Market (See Column C2) -Appraisal V-other =Assessment -Book Value W-Estimated Date Report STEIN, SIDNEY 8/17/2006 VII. INVESTMENTS and TRUSTS -income, value, transactions (incluiks those the spouse and dependent children. See PP 34-57 filing instructions) NONE (No reportable income, assets, transactions.) Description Assets (including trust asset$) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period (I) (2) (I) (2) (I) lfnot exempt from disclosure Amount Code (A-H) Type(e.g. div., rent, inl) Value Code (J-P) Value Method Code (Q-W) Type(e.g. buy, sell, merger, redemption) (2) Date Month-Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (ifprivate transaction) 307. STERICYCLE INC. Buy 1-18 308. STERICYCLE INC. Buy 1-19 309. STERICYCLE INC. Buy 1-20 310. STERICYCLE INC. Buy 1-21 311. STERICYCLE INC. Buy 1-25 312. STERICYCLE INC. None Sold 2-22 313. TARGET CORP. Buy 1-4 314. TARGET CORP. Buy 2-7 315. TARGET CORP. Buy 3-10 316. TARGET CORP. Dividend Buy 8-1 317. TOYOTA MOTOR CORP. None Buy 10-11 318. UT! WORLDWIDE Buy 1-12 319. UTI WORLDWIDE Buy 1-18 320. UT! WORLDWIDE Buy 1-20 321. UTI WORLDWIDE Buy 1-21 322. UT! WORLDWIDE Buy 1-24 323. UTI WORLDWIDE Buy 1-25 Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 0=$5,001-$15,000 E-$15,001-$50,000 (See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 112=More than $5,000,000 Value Codes =$15,000 less K=$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 (See Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes -$25,000,001 -$50,000,000 =Cost (Real Estate Ooly) =More than $50,000,000 T=CashMarlcet (See Colwnn C2) =Appraisal V=Other =Assessment U=BookValue =Estimated Date Report 8/17/2006 STEIN, SIDNEY VII. INVESTMENTS and TRUSTS -income, value, transoctions (indudes those the spouse and dependent children. See PP 34-57 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 (I) (2) (I) (2) (I} not exempt fromdisclosure Place "(X)" after each asset exempt from prior disclosure Amount Code (A-H) Type(c.g. div., rent, int) Value Code (J-P) Value Method Code (Q-W) Type(e.g. buy, sell, merger, redemption) (2) Date Month -Day (3) Value Code (J-P) (4) Gain Code (A-H) (5) Identity buyer/seller (if private transaction) 324. UTI WORLDWIDE Buy !26 325. UTI WORLDWIDE Buy 1-28 326. UTI WORLDWIDE Buy 1-31 327. UTI WORLDWIDE None Sold 2-22 328. VASCODATA SECURITYINTL Buy 1-20 329. VASCODATA SECURITYINTL Buy 1-21 330. VASCODATA SECURITYINTL None Sold 2-22 331. 332. TAX EXEMPT BONDS 333. TWY AUTII HWY BROG Interest SER N/C AMBAC 334. NEW YORK HSG FIN AGY GEN HSG SERB Interest 335. NEW YORK MTG AGY REV HOMETOWN MTG-29-A-RMKT Interest 336. STA POWER AUTH GEN REV ETM SER Interest 337. STATEPWR AUTII REV GEN PURP SER DETM Interest 338. TRIBORO BRIDGE TUNNEL AUTH 4.75% 111105 Interest 339. NEW YORK STATE POWER AUTII SER 111110 Interest Part Sale 1-1 Redeemed 1-5 340. NEW YORK STA LOCAL GOVT. Redeemed Interest ASST. 411105 Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 D=S5,00l-$15,000 =$15,00 -$50,000 (See Colwnns and D4) F=S50,00l -$100,000 G=$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =Mon: than$5,000,000 2.Value Codes =$15,000 orless K-$15,001 -$50,000 =$50,001 -$100,000 M=SI00,001-$250,000 (See Colwnns and 03) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Ooly) =Mon: than$50,000,000 T=CashMarlcet (See Column C2) =Appraisal V=Other =.Assessment U=BookValue W=Estimated Date Report STEIN, SIDNEY 8/17/2006 VII. INVESTMENTS and TRUSTS -income, value, transactians (includes those the spouse and dependent children. See pp. 34-57 offiling instructWns) NONE (No reportable income, assets, transactions.) Description Assets {including trust assets) Place "{X)" after each asset exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period {I) (2) {I) (2) {I) not exempt fitlm 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, merger, redemption) (2) Date Month-Day (3) Value Code {J-P) (4) Gain Code {A-H) (5) Identity buyer/seller {if private transaction) 341. RENSSALAER CTY N.Y. Interest 342. NYS MTG AGY Interest 343. NYS TIIWY AUTH. Interest Part Sale 11-1 344. NEW YORK ST. HSG. FIN. AGY. Interest GEN. SER. 345. NEW YORK STATE POWER Interest Part Sale 1-1 AUTH. 346. DUTCHESS CTY, 5%, 8/1109 Interest 347. NYS DORM. AUTH. 5.375%, 211510 Interest 348. NYS SER. 5%, 3/15/14 Interest 349. MTA N.Y. 5%, 7/1111 Interest 350. TRIBOROUGH BRIDGE Interest TUNNEL 5.2%, 111120 351. N.Y.S. ENV. 5.25%, 10/15/20 Interest 352. N.Y.C. due 211124 Interest Buy 1-14 353. NYS THRWY. AUTH. 5.3%, 411115 Interest Buy 3-4 355. MUTUAL FUNDS 356. BRANDYWINE FUND INC. None Buy 6-7 357. VANGUARD 500 INDEX FUND Dividend Income Gain Codes: =Sl,000 less -SI ,001 -$2,500 -$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 (SeeColumns and 04) F-$50,001 -$100,000 =$100,00I -Sl,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less K-$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 (See Columns and 03) N=$250,001 -$500,000 0-$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 Ooly) =Morethan $50,000,000 T=CasbMarlcct (See Column C2) =Appraisal V=Other =Assessment =Book Value =Estimated Date Report 8/17/2006 STEIN, SIDNEY VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those the spouse and dependent children. See pp. N-57 filing ins/ructions) NONE (No reportable income, assets, transactions.) Description Assets Income during Gross value end Transactions during reporting period (including trust assets) reporting period reporting period Place "(X)" after each asset exempt from prior disclosure 358.DA VIS VENTURE FUND INC. Dividend Buy 6-9 (I) (2) (I) (2) (I) not exempt from disclosure Amount Type(e.g. Value Value Type(e.g. (2) (3) (4) (5) Code div., rent, Code Method buy, sell, Date Value Gain Identity (A-H) int.) (J-P) Code merger, Month Code Code buyer/seller (Q-W) redemption) Day (J-P) (A-H) (if private transaction) CL.A 359.ICAP EQUITY Buy 1-7 360.ICAP EQUITY Buy 4-6 361. ICAP EQUITY Dividend Sold 6-3 362. ALLIANCE MUNICIPAL INCOME FUND Buy 1-10 363. ALLIANCE MUNICIPAL INCOME FUND Buy 1-24 364. ALLIANCE MUNICIPAL INCOME FUND Dividend Sold 2-25 365. FIDELITY CAPITAL APPRECIATION FUND Dividend 366. FIDELITY DIVIDEND GROWTH FUND Dividend 367. ROWE PRICE EQUITY INCOME FUND Dividend 368. ABN-AMRO MONTAG CALDWELL GROWTH FUND SER. Buy 6-6 369. ABN-AMRO MONTAG CALDWELL GROWTH FUND SER. Buy 6-22 370.ABN-AMRO MONTAG CALDWELL GROWTH FUND SER. Dividend Buy 9-26 371. BNY HAMILTON INTERMEDIATE N.Y. TAX EXEMPT FD. Buy 3-1 372. BNY HAMILTON INTERMEDIATE N.Y. TAX EXEMPT FD. Buy 4-1 373. BNY HAMILTON INTERMEDIATE N.Y. TAX EXEMPT FD. Buy 5-18 374. BNY HAMILTON INTERMEDIATE N.Y. TAX EXEMPT FD. Buy 5-23 Income Gain Codes: =SJ,000 less =$1,001 -$2,500 =$2,50 -$5,000 D=$5,001-Sl5,000 E=$15,00I -$50,000 (See Column and D4) F=$50,001 -$100,000 G=SI00,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes J=SIS,000 less K=$15,00l -$50,000 L=$50,00l -$100,000 M=SI00,001-$250,000 (See Columns and DJ) =$250,00 -$500,000 =$500,001 -$1,000,000 =$1,000,001-$5,000,000 =$5,000,00 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 -