gary l sharpe financial disclosure report for 2009

8/3/2019 Gary L Sharpe Financial Disclosure Report for 2009

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t,4 o ~ o [ FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r ed b y t h e E t h i c sin Govermnent Act of 1978R e v . 1 / 2 0 1 0 [ FOR CALENDAR YEAR 2009 ( 5 ~ s . c . a p p . . ~ . ~ " I 0 1 - 1 1 1 )

1, Person Reporting (last name. first, middle initial) 2o Co ur~ or O rganiz a tion 3. Date of ReportSharpe, Gary L. U.S. District Court, NDNY 0~i07/2010

4. Title (Article llI judges i~dicate active or senior status; 5a. Reporl Type (check appropriate t)pe) 6, Repor ting Per iodmagis~rale judges indicate full- or pao-tim) ~ Nomination, Date 01:01/2009DislriclCourt Judge, Acd~e ~ Initial ~ A ..... I ~ Final to12/31/2009

5b. ~ Amended Report7. Chambers or Off ice Addrvas 8. On [he basis 0f the informat ion co a ta ined in lb[! Repo~ and an ymodilications pertaining thereto, iI is, in my opinion, in compliance.lames T. Foley Ctourthouse wilh applicable laws and regulations.445 BroadwayA l b a n y , N e w Y o ~ k 1 2 2 0 7 Revic*~ing Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this fornt must be followed. Comp lete all parts,checking the NO NE box f!~r each part where )ou have no reportabl~ information. Sign on last page.

! . P O S I T IO N S , (Reporting individual ~,nly; see pp. 9-13 ,,filling instructk~ns.)NONE (No reportable positions.)

P O SI T I O N N A M g O F O R G A N I ZA T I O N ! E N T I T Y1.

2.

1 1 . AGREEMENTS.NONE (A~ reportable agr~~ ments.) ~ . . , ~ i~

D A T E P A R T I E S A N D T E R M SI.


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FINANCIAL DISCLOSURE REPORT [ Name of Person Reparting Dale of ReportP a g e 2 o f 1 2 Ih a r p e , G a r y L . 05/07 /2010

Ill. NON-INVE STMENT INCOME . ~,~,,,s,,g ~,~,,~.~ ...... ; . ~ , ~ , . 17-24 off!lit,g i n s ~ u c t i o n s . )A. Filers Non -In v e s t m e n t In c om e

N O N E (No reportable non-investment income.)D A T E S O U R C E A N D T Y P E ~COME(yours, no~ spouses)

I.

2

3.

4.

B, S00~s~s NoB-I ~v~s~[ ~Bco~e - If you were marri~d during any ponion of the reporting y~ar, complete this(Dollw ~ wmunt not t~qttir~d except.for ~on~roria.)~ NONE non-investment income.)

D A T E S O U R C E A N D T Y PE1, 2009 Really USA - lndependen~ Contractor - Commissions

2. 2009 Real Es~te Professional - Renlal Prope~y

3,

4.

1 V . R E I M B U R S E M E N T S -,.~.~,or,.,ion, t,,a~i,,X,~oo d, ........ ~.,~N O N E (No reportable reimbm:~ements.)

S O U R C E D A T E S L O C A T I O N P U R P O S E I T E M S P A I D O R P R O V ] D [~ D

3.4.

5.


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FINANCIAL DISCLOSURE REPORTIn , ....

fPerson Repor ting Date o[ Repor tPage 3 of 1 2 S h ~ r ~ e , C , ~ r . v L . 0 S , 0 7 ; 2 0 t 0

V . G ! F T S . (t,,ct, des thos, ,o ~e ........ ~ dependent children; see pp. 2S-31 t~f filing instrttctians.)N O N E (No reportable g~Bs.)

S O U R C E D E S C R I P T I O N V A L U EI.2 .3.4.5.

[] N O N E ( N o reportable liabilities.)C R E D I T O R D E SC R IP T IO N V A L UE C O D E

I. Merrill Lynch Mo rtgage o n inco me property N

3..~ .

5


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F I N A N C I A L D I SC L O S U R E R E P O R T N~m~ of PC ....eporting D at eo fR epor lPage 4 of 1 2 S h a r p , , G a r y L . 0 5 J o 7 , , _ ~ o l o

V II . INVE STMENTS and TRUSTS - i.c ..... , o i . , , , ........ons (Includes those of ap ....... d depend~t chitdrcn; see pp. 34-60 of filing instructions.)~ N O N E income, asseZ~, or transactions.)N o reportable

Dcscriptkm o f A s s c l s Income during I Gross value a~ end[ Transactions during rc~ing peri(M(includlngtmst assc~) rc~rting ~riod ] of rcporl ing period ~t ..... A .... { T)~(e.g.. / Value ,I Value } T)ge (e.g., ] Date Value Gain Identity ofPlaceexempl #ompfiordisc losure Code I [ div.,rent, ~ Cod e 2 Melhod[ buy. sell, *~mm:ddtvy t C~ic2 Code 1 buyer/seller

( A - H ) . o r i n t ) " (LP) ~ C~e 3 1 r e d e m p t i o n ) ~ " 0"P) ( ~ - l l ) ( i f p ~ v a t e~ ~ (Q-~V) / ~ ~ transaction)

I. Merrill Lyad, (IRA #1) A [ Dividend " C}osc d 04/20/09 K A

2. Me.ill Lynch (I~A #2) A ] Dividend I C l o s e d 04;20/09 M A

3 New York College Tuition Savings # I A l Dividend ] J [ Bu y 01/01/09 J(529) I4. B uy 02/01 "09

( addT)B uy 03/01/09 Ji5 I ( a d d l )

6. [ Bu y 04 ,"01/09 J

B uy 05:01/09 J, ( addl)

B uy 06/01/09, (ad d l)

9. [" B uy 07/01/09 J

t(addl)

I 0 , B uy 08/01/09 J(addl)I I. B uy 09/01/09 J

~ (addl!~2. ~ B uy 10:01;0914 . ~ B uy 12 /01 /09 J(addl)15. Ncw York Co!lcge Tuition Savings #2 (529) A ] Dividend ] J T Bu y 01/01/09 J

~16. Bay 02/01,0~(addl) ~7. Bu y 03101/09 Jl (addt)

t Income Gain Ct, des: A = $ !.000 or less ~ 1 = $ 1 , 1 ) 0 1 - $ 2 . 5 0 0 C ~$2.501 - $5.0~) D = $ 5 . ( } 0 1 - $ 1 5 , 0 0~ E $15.001 - $SIU"Paq i

P3 :$25 000 001 - $50000 0)0 P 4 = M o r e Ih , m


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FINANCIAL DISCLOSURE REPORT N ..... fP~ .... R~p~rlingPage 5 of 1 2 S h a r p o , G a r ) L. I

0 5 1 0 7 / 2 0 1 0

V I I. INVE STMENTS and TRUSTS --i ........ ~ , , , t ....... tions (tnctudes those of sp ....... d g e p e n d e n t c h i la r e n t s e e p p . 34-60o[filing i n s t , u c t i ~ , n s . )N O N E (No reportable income, assets, or transactions.)

A.D e s c r i p t i o n o f A s s e t s [ I n c o m e d u r in g G r o s s v ~ l o c a l c ~ d T r a n ~ c t i ~ n s d u r i n g r e p o t X i n g p e r i o d~ r e p o r t i n g p e r i o d [ o f r e p o s i n g p e r i o di n c l u d i n g t r u s tPlace "(X)" al]er each ~sct ~ Amounl , Tspe (eg., [ Valuc ~ alue i T)~c (e.g, Date [ Value Gain Identity

(Aqt) o r i n t . ) ( J - P ) C~e 3 r e d e m p t i o n ) ~ ( J - P ) . ( A - H ) (irpnvate~ Q -W ) ~ t r a n s a c t i o n )

1 8 . Bu y 04/01/09 J(addl)19 . Bu y 05/01/09(addl)2 0 . Bu y 0 6 , 0 1 , 0 9 J(addl)2 I. Bu y 07/01/09 J[addl)22 Bu y 08/01/09 J(addl)2 3 . Bu y 09/01/09 J[addl)2 4 . Bu y I 0 , 0 1 / 0 9 J2 5 . Bu y 11/01/09 J(addl)2 6 . Bu y 12/01/09 J(addl)2 7 . Memll Lynch (IRA # 3) A Dividend Closed 04i20/09 1 . A

2 8 . Merrill Lynch(IRA #4) A Dividend C lo sed 04/20/09 M A2 9 . Excel Securilics IRA # I A Dividend K T Open 04/2D09 K30. -Aim I~ncrg3.. Fund Class A , r"IENAX") B:ay 04:21/09 J

3 1 . S 0 1 d 09il6/09 J A3 2 . -lng ]~.ussia Fund Class A ( " L E T R X " ) Bu y 04/21t093 3 . Sold 09/16/09

3 4 . -Oppenheimer Gold & Special Minerals Bu y 04/21/09Class A ("OPGSX")

tSee Columns CI an0 D3) N =$ 250,0fll - 55(~(I.~1 O = $500,Ktl - $ 1,0fi0,(~!0 Pl :$!.b~l(LO21 - $5,0{8,0(]() 1 ~ 2 = $ 5 , 0 ( 1 0 . 1 ) O l -


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FINANCIAL D I S C L O S U R E R E P O R T IPag e 6 o f 1 2V I I . INVESTMENTS and TRUSTS - i .......... lue, t ...... tion~ (Includes those of sp .......... d dependem children; s~epp. 34-60 of filing instructivns.)

N O N E eve reportable i,7co,,,e, assets, or ira,sac;ions.)

O.-,t:rip.ion o [ Assets Income during Gross ,.a}uc at end Transactions duling tepee.rag petted(including trust assets) rcpo:ilng period of rcporti~g period

Place "(X)" aP, cr each asset 7odcmUntlT)T,e f.e.g, Value Value q)pe tc.g..Date1, V~duc [ Gain i ldcn:ity of

c:,.cmpt fior,, prior dis.closure div., rent. C o de 2 Met ~od buy, scl . r n m , d d . ~ y y Cod e 2 i Code I buyer/sellerA - H ) ! o r i r : . t .) (JP) i Co de 3 (cdcm ptio n) (j.p) i (A -H) 0fprlva te(Q.%\r) _~ ........ : _. I transaction}

35. Sold 0916,/09 J A

36. -Oppenheimer Developing Markets Cl~s A Bu y 04/21,09 Ji"ODMAX")

37. Sold ~ 09.:16/09 J A

38. -Thornburg Interna t ional Value Fund Cla_~s Bu y 04,,21,09("TGVIX)39 . Sold 09!16:09 J A .

a0 . -ColumbiaTcch.olo~v Fund Class Z Bu y 07/28/09 J("CMTFX"I4 1. Sold 09/16/09 J A

!4 ~ -Juhn Hancock U.S. Global Leaders Bu y 07:2.8,.09 JGrov~Fund Class A43 . -Direxior~ Commodity Bull 2X Fund Bu y 08 /0q09

."DXCI.X"~ 4 4 . - P c ~ r o l c o B r a s i le i ro P c t ro b . ~ s A D R C o m m o n B uy 10/02;09 J

4 5. Excel Securities IRA #2 F Divide.rid O "1 O pen 04 /21;09 O

;6. -Apple lnc Coma,on ("AAPL") Bu y I)4,2 I;09

4 7. -Cclgenc Corp Conunon f:hiy 04!21/09

4 ,~ -Freddie Mac Common ("FR E") Bu y 04t21,"09 J

4 9. So ld 07/16/09 J A

50. -liana Biosciences lnc Common ("HUM") H uy 04 /21;09 J

51. So ld 07116;09 J A


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F I N A N C I A L D I SC L O S U R E R E P O R T ~ .... fPe ....Reporting D aleo fR epor !Page 7 of 1 2 S h a r p e , G a r y L 0 5 / 0 7 i 2 0 1 0

V I I. INVE STM E NTS an d TRUSTS - ~, ........ u,,, t ......ions (Includes those of sp ...... d dependent children; see pp. 34-60 offiling instructions.)~ N O N E income, assets, or transactions,)N o reportable

A. ~ B. C. D.Descript ion of Assets [ ln:ome dur ing , G r o s s v a ] u ~ a t e n d T~ansactions during reposing ~riod(including trust assels) [ ~po~ing period of rcp o~ting p~riodPlace "(X)" aflcr each asset i Amount ~ T)~e (eg., Va~uc Val~ Ty~ (e.g., Date]~ Value Gain Identity of

exempt from prior dis clos ure Code I] div., rent, Code 2 M e ~ o d buy, sell, m~d~ ~ Code 2 C o d e I buyer/se~lcr

[ (A-H)__[orim.),J-P) Cod e 3 redemption)

[ (J-P)(A- H) (ifp~vate

I ( Q - W ) transaction) ,

52 . -Research in Motion LTD Common B uy 04~2 I109 J("R~MM")

53 . -~ou~hwes~em Energy Co Common Bu y 04121/09 J("s~")54 . -United STS STL Co~ New Common ("X") Bu y 04/21/09 J

5 5 . -Yum Brands lnc Commo n Bu y 07]16/09 J

56 . Sold 09/_91/09 J A(part)57 . Sold 09,29,09 J A

5 8 . -Peabody Energy Corp Common Bu y 0 7 1 1 6 / 0 9 J

5 9 . -Co san Ltd Shs A ("C ZZ") Co mmo n Buy 1 2 1 1 1 / 0 9 J

6 0 . -Chesapeake Energy Corp ( " C I t K " ) Bu y 1 2 / I 1 1 0 9 KCommon6 1 . -Vale SA ADR ("Vale") Common Bo y 1 2 / I 1 / 0 9 J62 . -Hutnaoa Inc. ("Hum")

63. -Aberdeen Small Cap Fund Class A B uy 04 /22/09 K("GSXAX")64 . Sold 10122109 J A

(pan)65. So ld 12/I 8/09 J A

(par066 . -Agcr Hcahh Sciences Fund (AtlSAX") B uy 04/22/09 K

6 7 . Sold 1 0 / 0 6 / 0 9 J A(pan)6 8 . Sold 1 0 / 2 2 / 0 9 J A(pan)


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F I N A N C IA L D I S C L O SU R E R E P O R T ~a,,,e of P .....Repurl ing Dale of Rcpor!Page 8 of 12 s ~ , a r p ~ , c ~ r r L . o _ s / 0 7 ; 2 0 t o

N O N E ( N o reportable income, assets, or transactions.)Description efA sse~s Income durin~ I Gruss va lue a~ end [ Transactions during reporting pcri~

~ (irLdudingt~us~ asscts~ I reporting ~riod i of reporting periodPlace "[X~" after each asse A m o u n t ] T y p e ( e .g . Value Value Ive (e g, Date [ Value

cxcmp fromprordscosure [Code I ~ div. ro~t C~e2 Me~hod / buy sell mm.,d~vy[ ClUe2 : Codcl buyer/sellert (A -I[) orint.) [ (J-P) C o d e 3 ~ redemption) ~ ] (J-P) (A-I[~ ] (if private [ ~ ~ (Q-W) .... ~ t ......ion)

69 . Sold ~ 12/I 1,09 K A

70 -Baron Partners Fund ("I~PTRX") B uy ! 04f22,09 K

7 I. Sold 10/22/09 J A(pan)

72 . Sold 12!i 8,09 J A(pan)

73. -Columbia "rcchnology Fund ("CMIFX") Bu y . _ ~ , _ n a , ~ n g ~ . j

74 . B uy 07~28/09 J

75 . Sokl 12/[ ~,09 J A(pan)76 . -l)ela~s are Investments Diversified Income B uy 0+22,~ K

("DPDFX")77. S o l d 10122.,09 J A

(pa~)7S . S o l d 12il 1/09 K A

79 . -Eaton Vance Tax Managed Small-Cap B uy 04,2Z09 L

~0 Sold I 0~22."09 J AIpan)81 S o l d 12/1809 J A{par t)g2 . -(iabc]li Ente~rise Mergers & Acquisitions t]uy 04.2209Fd (21 A ("EMAAX")83. Sold 10/22,1)9 J A(paa)84 . Sold 1211809 J A

(pan)


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F I N A N C I A L D I SC L O S U R E R E P O R T I r ~ . . .. . r P . . .. . R , p o . i . ~IPage 9 oF 1 2 [ Sharpe, Gary L. 0 5 / 0 7 / 2 0 1 0

~ N O N E ( A ~ o reportable income~ assets, or transactions.)B. ~ C. T o.

Dcs~r~p~otl of A ssets lncom during (]ru~s ~ ~lue m end Imnsactions during reporting period(including lrust assets) rc po~ing ~r iod of rcport i rg pc~odAmot n : Va~ue] VMuc "F~pe (e g., DatePlace"IX)" after cach asset [ C o d e I ] Type (e.g.,exempt f rom pnot disc losure div., rent, C o de 2 Metho d buy, sell. mnvd~yy C(~e 2 [ C~e [ buyeffseller~ (A -It) or int .) U-P) C o d e 3 redemption) ] (J-P)

............................ ~ .... j ; (Q -W)

~6 . -John tlancock Large Cap Equity Fund B uy 04/22,09 KClass A UITHAX")

87. B uy 07/2R/09

8 8 . Sold 10/22/09 J A( p a r t )

8 9 . .tlartfo rd Capital A ppreciatio n Fund C lass B uy 04/22!09 KA9 0 . Sold 1 0 / 2 2 ! 0 9 J A(pan)9 l, Sold 1 2 / I 8 . ~ 0 9 J A( p a r t )9 2 . -Opertheimer INTL Bond Class A Buy 04;22/09 J("OIBAX")9 3 . Sold 10/22/09 J A( p a r t )9 4 , Sold 11/05/09 .I A

95 . -Oppenheimer Gold & Special Minerals B uy 04/22/09 J("OP(JSX")

( pa r t )9 7 . - O p p ,: n he in t er D e v el o p in g E r la rk e Ls C l a ss A B uy 04 /22 ,09 L{"ODMAX")98 . So ld 10/22/09 1 A(parX)99 . -Pimco Total Return Class A ("PTTAX") B uy 04/22/0) K :

I ( > 0 . Sold 10..22/09( P ~ r t )I 01 . Sold 12/18/09 J A

(pan)102. -RS Value Fund Class A ("RS\ AX") Bu y 04/22/09 J


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F I N A N C I A L D I SC L O S U R E R E P O R T [ u , m , o r v , . .... Reporting Dato fRep o r!IP a g e 1 0 o f 1 2 [ S h a r p e , G a r y L . 0 5 / 0 7 / 2 0 1 0

~ N O NE L V o income, transactions.)eportable assdIs, o~of Assets ~ Income during Groas value, at end [ T=nsact~ons during reposing periodcscriplion(includh~g Ictl~t assct~) repo~ling period of reporfieg period

Plac e "(X}" af ter eac h a~et A m ou m T yp e (e .g ., [ T)~e (e g, [ Identityc~.cmpt from p~ ior disclesurc C o d e I div., rent, ~ode 2 Mctht,d : buy, sell, ]mm/d~yy Code 2 /Cde buyer/seller[ (A-II) orin , .) O-P) C,,d.z3 ] rcdernpli,,n) [ i (J-P) ~(A-H) (ifpriv~t, I Q - W ) ~ t~n~ct ion)


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FINANCIAL DISCLOSURE REPORT [ N .....fP .....Report ing Dataof ReportPage 1 1 of 12 [ S h a r p e , G a r ) L . 0 5 / 0 7 / 2 0 1 0

VIII. ADI)ITIONAL INFORMATION OR EXPLANATIONS.


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N a m e o f P e r s o n R e p o r t in g ] D a l e o f R e p o r tFINANCIAL DISCLOSURE REPORT [P a ge 12 of 12 Sharpe, Gary L,[

05/07/2010

I X. C E RT! FI CAT! ON.I certit~, that all information given abo ve (including infornmtinn pertaining id my spo use and mino r or dependent children, if any) isaccurate, true. and complete Io lhe hest of my knowledge and belief, and that any information not reported wa~ withheld because it met applicable slatulorypruvision~ permitting ~on-disclo~ure.I further ~crtify Ihat earncd income from outside employment and houoraria and the acceptance of gifts which have been rcpor~:ed are incompliance with the pr~visions 0[5 U.S.C. app. 50! ct. ~eq., S U.S.C. 7353, and Judicial Conference regulations.

Signatu[

NO TE: ANY I ND I VI D U Al VI l O K NO W I NG L Y AND W I L F U L L Y I :AL SI F IES O R F AL L S TO F I L E Ti l lS I { EP O R T MAY B E SU B JECT TO CI V I l ,AND CRIMINAL SANCI"IONS (5 U.S.C. app. 104)

F I L I NG I N S T R U C T I O N SMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United Stales CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

gary l sharpe financial disclosure report for 2009

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