castel, - judicial watchsource none type come fnncal disclosure report page 2 ofl7 name of peson...

information ..

POSITION NAME OF ORGANIZATION/ENTITY

commencin 1/Jf10)

i " .•

C)

. '

rri

PARTIES AND TERMS

I.

AOJO FINANCIAL DISCLOSURE REPORT Report Required by the Etl1ir'.<

'_:,,.' ,'/?.el:'·.!/2010 in Government Act of 19/8FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ 101-111)

l. Perron Reportinc {last name, first, middle initial) 2. Court or Organization 3. Date of Heport

Castel, P .Kevin S.D.N.Y. 07/08/201<)

4. Tille (Article nJ judges indicate active or senior status; Sa. Report Type (check appropriate type) 6. Heportinc Period

D magistrate judges indicate fuH- or part-time)

Nomination, Date 01/01/2•>()9 U.S. District Judge (active) Initial Annual Final toD 0 D 12/3112009

Sb. Amendod Report D 7. Cb•mben or Office Address 8. On the basis of the information contained In lhb Report and any

modifications ptrtainfng thereto, it is, In my opinion, in complli&nce

United States Courthouse with applicable laws and regulations.·

500 Pearl Stree! New York, NY 10007

Rniewing Ofllcer Date

JJ,f PORT ANT NOTES: The instructions accompanying this form mmt bt! followed. Complett! allparts, checking the NONE boxfor each part where you have no reportable Sign on last page.

I. POSITIONS. (Repurtingintlivitlualonly;seepp. 9-13 of filing instruction.<.)

NONE (No reportable positions.) D

Director (ex officio as former president) St. John's School of Law, Alumni Association (uncompensated)

2. Trustee (ex officio as former president) Federal Bar Council (uncompensated)

3. Board of Managers Havens RcliefFurtd Society (uncompensated)

( ) 4. Adjunct Professor NYU School of Law (compensated;

()5.

l..J

( '' -· :r>·1 rn

:1 0-!? N

JI. AGREEJVJENTS. (Reporting individual 011ly; see pp. U-16 of filing instructions.) _o

D NONE (No reportable agreements.)

I. I0/27/03 Cahill Gordon & Reindel LLP agreement in connection wiU1 withdrawal from firm. (Copy of agreement filed with 2006 FDR and those ofprior y..:ars.)

2.

3.

Castel, P. Kevin

SOURCE

NONE

TYPE

COME

FINANCIAL DISCLOSURE REPORT

ofl7

Name of Person Reporting

Castel, P .Kevin

Date of Report

07/08/2010

IJJ. NON INVESTMENT IN COME. (Reporting indiYiduo/ and spouse; see pp. 17-1$ offiling insrruttions.)

A. Filer's Non-Investment Income

[Z] NONE (No reportable non-investment income.)

AND TYPE

I.

2.

3.

4.

JN ( ·ours, not spouse's)

B. Spouse's Non-Investment Income - I/you were ltfarried during any portion of the rtportingyear, complete this section.

(Dollar amount not required except for honoraria.)

[{] "<No repo1·table non-investment income.)

SOURCE AND

I.

2.

3.

4.

IV. REIMBURSEMENTS - transportotion, lodging.food, enter/ainmtnl

(includes those to spouse and dep!!,ndrmt childrt!n; see pp. 25·27 of.filing instructions.)

[{] NONE (No reportable reimbursements.)

SOURCE

I.

2.

LOCATION PURPOSE ITEMS PAID OR PROVIDED

3.

4.

5.

o(H• ,lorl

��..__��""'-��

SOURCE

CREDITOR DESCRIPTION VALUE CODE


of17

Nome or Person Rcpordng

Castel, P .Kevin

Date

07/081:'010

V. GIFTS. (Incluiles those to spouse and dependent children; see pp. 1/J-31 of fd/11g lnstructio11s.)

[Z] NONE (No reportable gifts.)

DESCRIPTION

I.

2.

3.

4.

5.

VJ. LJABJLJTJES. (Incfuiles thou of spouse allii Jependent childrm; see pp. 32-JJ of filing instructions.)

[ZJ NONE (No reportable liabilities.)

I.

2.

3.

4.

5.

{I)

'·

·------- ___ ...J

I. M

Is.

---- -----

J

-

I

'----

i

I

FINANCIAL DISCLOSURE REPORT of17


Castel, P .Kevin '

Date of Report

07/0812010

VII. INVESTl\IIENTS and TRUSTS -income, l'IJ/UE, lrtmsactions (Includes thou of spouse and depmdentchi Jun; SU pp. 14-60 of filing /n.rtructions..)

0 NONE (No reportable income, assets, or transactions.)

A.Description of Asset•(including trust assets)

Place "(X)" after each asset exempt from prior disclosure

B. lucome during

reporting period

Amount Code l

c. Gross value at end

of reporting period

(1) ·---· 1

I (2) i Value Value ICode 2 Method

(A-ti)

I

(2)

Typc(e.g., div., ren

or int.) (J-P)

_____

Code 3 (Q-W)

(1) Type (e.g.,

buy, sell,redemption)

Brk Act#! Fidel ity Worldwide [FWWFX] A Dividend T

2. Brk Act #I Fidelity Capital Apprec'n Mutual A Dividend N T Fd[FDCAX]

3. Brk Act #1 Fidelity Cash Reserves [FDRXX] D Dividend !'I T

'4. Brk Act #I Fidelity Asset Ma nager Mutual D Dividend N T Fd[FASGX]

Brk Act #I Fidelity Aggressive Gr owth c Dividend N T Mutual Fd [FAMRXJ ------ --··· -

6. Brk Act #I Fidelity Balanced (FBALXJ D Dividend N T

7. Fidelity Export & Multinat'I [FEXPX] A Dividend L T

8. Brk Act #2 First Eagle Overseas Fund Class A Dividend K T A

9. Brk Act #2 LM [SB] Appr eciation Fd CL c Dividend M T A(Part VII!)

10. Brk Act #2 LM [SB] Large Cap Grwth FD None M T CLA

11. Brk Act #2 Wstrn Asset NY Muni Money A Interest N T Buy MktFdCLA

12. Brk Act #2 Wstm Asset Money Market Fd A Interest L T Buy CLA

13. Brk Act #2 Citi Inst Reserves Tax Free A Dividend M T Redeemed (part)

14. Brk Act #2 Uts Nuveen TE lJr TR 1161 M A Dividend J T NY INSD 561 (Part VIII)

15. Drk Act #2 VFH A Dividend J T

16. Brk Act #2 SCD D Dividend M T

17. Brk Act #2 NYST AU LOC c Interest M T HGHWY &BRIDGE 5109

1. Income Gain Codes: A =Sl,000 or les:i !l -Sl ,00 I - $2,500 c .s .501 -$5,ooo

(See Colwnns ll I and D·'} F •Sl0,001- $100,000 G =$100,001. $1,000,000 HI =Sl,000,001-$5,000,000

2. Value Codes J •$15,000 or !en K •Sll,001 -$50,000 L-$50,001 - $100,000

(See Colwnns Cl and 03) N •$250,(){)I - Sltl(J,000 0 •$500,00 I - SI ,000,000 Pl -s1,ooo.0-01- S5.ooo,ooo

PJ •$25,0(){),001 • $50,000,000 P4 =More than S 0.000,000

3. Value Method Codes Q•Appraisal R •Cost (Real Estate Only) S =Assessment (See Column C2) U •Book Vaill< V·Othcr W =fstimatcd

D. Transac i<1ns during repor1ing period

'"" ..(2)

Date mm/d<l'yy

02/03/09

01/06/09

01/05/09

----(3) (4) Value G:iin

Code 2 Code I(J-P) . (A-II)

··-

K

L

L

D-$5,001. tl5,000

112 -More than $5.000,000

M =.$100,001 • $250,000

P2 ·$5,000,00I - $25,000,000

T :(ash M.adct

buyer/seller

(if private transaction)

· - - · · ···--·

E =St5,001-$50,000

_ _ i

I

T>2i-

e.

-

g.

-

. --,.--V---. l! e I . od CoJ•

(l-) --T-(c--2)- ,---(3_) __ r_(4_) _

---- -- -(.Q_-WJ_ -----�--�---�

K

-

i

! I !

'-m:OO•

I


Name of Person Reporting D•t• of Report

Castel, P .Kevin 07/0812010

VII. IN"VESTMENTS and TRUSTS -income, value, transactions (Includes thou of.•pouu anJ JepenJentchilJren; supp. J4-6o of filing instrucrioru.J

D NONE (No reportable income, assets, or transactions.)

18.

19.

20.

2 J.

22. ·-

: 23.

24.

25.

i 26.

27.

28.

29.

30.

31.

32.

33.

34.

A. Description of Assets

(incluJing trust assets)

Place "(X)" after each asset exempt from -prior di losure

c. Gross value at end I lncom uring

reporting period of reporting period

div., rcnt, CoJe 2 or int.) (J-P) . 3

D. Transactions during rcpor1ing period

1 · -- - (5) Type (e.g., Date Volue Gain Identity of

buy, sell, mm/dd/yy Code 2 Code I buyer/seller

rcJemption) (J-P) (A-llJ (ifprivate

tr:i.nsaction)

Brk Act #2 NYS Donn Au Revs New Island D Interest Hosp 52109

Brk Act #2 NY NY SER J 4.625/10 B Interest

Brk Act#2 NYC G!O Ser G 3.125/J 0 [4/10] c Interest

Brk Act #2 Nassau Co Ser C 5.25/10 c Interest

Brk Act #2 NYS Dom1 AU Staten Isl lJ B Interest Hosp 4.9110 - -- --· ·-··- .. .

Brk Act #2 NYC GIO SER C 4.375/11 c Interest

Brk Act #2 NYS ENV FACS 5111 A Interest

Brk Act #2 NYNY Ser F 5.125/11 B Interest

Brk Act #2 NYC Transitional Auth 4.6/11 A Interest

Brk Act # 2 Eire Cnty NY Pub lmpt Ser A D Interest 5111 (Part VIII)

Brk Act #2 NY NY Ser J 4/12 c Interest

Rrk Act #2 NYS Dorm Auth City Univ c Interest 5.75/12 (109)

Brk Act i12 NYC G/O Ser H 5.25/13 (/09) A Interest

Brk Act 112 NY NY Ser J FGIC-TCRS A Interest 5.35/12

Brk Act #2 NYS Dorm Auth Upstate Comm B Interest Coll Rev B 5113 [II OJ

Brk Act #2 NY NY RFDG Ser D-FGIC c Interest TCRS 5 .75113

Brk Act #2 Medina NY Cent Sc Dist 4.75/13 D Interest

M

M

M

L - - -

M

K

K

K

M

K

L

L

K

T

T

T

T - ------··

T

T

T

T

T

T

T

T

T

Redeemed

- -- . --· ..

Redeemed

Redeemed

Redeemed

08/04/09

--··-·-

03/18/09

07/09/09

03/16/09

K

L

K

A

A

A

A

. . - - -·-- -·

t. Income Gain Codes: (See Columns BI and 04)

2. Value Codes (See Co!um11" CI and DJ)

3. Value Method Codc:5 (Sec Column Cl)

A •Sl,000 or less F•Sl0,001-SIOO,OOO J •Sl5,000or1.,,

N •$250,001 -$500,000 PJ •$25,0!Jll,OOI -S51J,000,000

Q =Apprais3.l

B =Sl,OOt - $2,500

G =$100,001-Sl,000,000 K •$15,001 -$50,000

0 =$500,001 - SI ,000,000

R =Cost (Real E!!:tate On:y}

V "Olher

c =$2,501 -$5,000

l!l •Sl , 000, 001 - $5,000,000

L =$50,001 - $100,000 Pl •Sl,000,001-Sl,OOO,ooo

P4 More than S50,000,000

S ·A sessment

o ""·oo• . ,,,..,---- - •>< H2 a!,!orc than $5,000,000

M =$100,001-$250,000

P2 =$5,000,001-$25,000,000

T =Cash Market

U -Book Value w =-Es:imatcd

I

ropo ing I""":

1 fCI) \ t

I ---------'-----'--------" ---- ----

L T

K T , . -- -

I

i i

r I

I

I

I I

'""'""'' - """'°1 !


of17


Castel, P .Kevin

Dare & flhport

07/0 /2010

VII. INVESTMENTS and TRUSTS -Income, value, transactions (Include• those of spouse and dependmtchi/dren; supp. U-60 of filing inmucdons.)

D NONE (No reportable income, assets, or transactions.) -

35.

36.

37.

38.

39.

A.Description of Assets (including trust assets)

Place "(X)" after each asset exempt from prior disclosure

Incom ·during Tross v e at- nd - r Transactions dun : _ _reporting period of reporting pcricxl '

(2) --(lJ 2) I_(_I_) - - -( (J) I (4)

I i)

Type(e.g., Value Value Type(e.g., Dare Value Gam ld,·1 lltyof

(A-II) or int.) (J-P) I Code3 I redemption) (J-P) (A-11) (1f1°rivate

(Q-W) trans.1ction)

""" '" .. =' COOd M """' """ "'" """'"'" °'"'' , """ ' ""'"'"""

--------

Brk Act #2 NYS Dorm AU RFDG SECD c Interest L T HOSPNYDTWN 5.21014

Brk Act #2 NYS Dorm AU Revs Third Gen c Interest Res 5.25/13

Drk Act 112 NYS Dorm AU Revs Lutberern c Interest L T Med 5/13

Brk Act #2 NYC GO Ser J 4/13 c Interest M T

Drk Act 112 Buffalo NY Ser B 5.375/13 [12] B Interest ___ . ,

---

---

· ' -· · -- . · --·· -- ·- · --·-- - ·-·· ... ·

-

-

-- -· -··

40. Brk Act #2 Nassau Cty !FA SerA 5/13 B Interest K T

41. Drk Act #2 NYC GO Ser A 4/13 c Interest M T

42. Brk Act #2 Camden NY Cent SCb DIST B Interest L T SERA4.5/14

43. Brk Act 112NYC MUN WTR FIN 00/14 A Interest Redeemed 12115/09 K A

44. Brk Act #2 NYS DORM AU Iona Coll B Interest L T 4.3/14

45. Brk Act 112 NYC Ser J 5.25/14 (/09) A Interest Redeemed 05115109 K A

46.' Drk Act /12 Sharon Springs Mun WIT 4.8/14 B Interest K T

47. Brk Act #2 NYS Dorm Au Colgate 4.625/14 B Interest K T

48. Drk Act #2 NYC Ser A G/O 4.3114 c Interest L T

49. Brk Act #2 NYS Dorm Au Lease Rev Mun B Interest K T Hltl1 5.5/14

50. I3rk Act #2 Buffalo NY Gen lmpSer A c Interest M T 4.7/14 [I l]

51. Brk Act 112 NYC GO Ser 1 4.5/14(13] 13 Interest K T

1 · ... A •Sl,000 or less D •St,001 ·$2.500 C •$2.501 • $5.000 D •$5,001 -$15.000 '-m oo• (See Columns DI 1.nd 04) F •$50.001- St00.000 G =$100.001- $1.000,000 HI =Sl.000,001-S5.000,000 H2 sMore th:m S .000,000

2. Value Codes J •$15.000 or less K •$15,001 • S50.000 L•S50,001 • SI00.000 M -SlOO,OOt • $250,000

(See Columns Cl a.od DJ) N --$250,001 - $500,000 0 •$500,001 - $1,000.000 Pl -s1.ooo,001-ss,ooo.ooo p2 -ss.000.001 - $25.ooo,oooPJ •S25.ooo.oo 1 • sso.000,000 P4 =Moie than $50.000,000

J. Value Method Codes Q•Appni"I Ra.Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U •Bool Value V =Other Vl •Estimated

!

- -(2)

c M

M

--

I

I

'

!

I

I

I

(I)

52 .

53.

54.

55.

56.

57.

58.

59.

60_

61.

62.

63.

64.

65.

66.

67.

68.

A.

Description of Assets

(including trust a."ets)

Place "(X)" after each asset

exempt from prior disclosure

BrkAct#2 West Seneca Cent Sch 4.125/14

BrkAct #2 NYC GO Ser G 4/14

Brk Act #2 No Babylon Sch Dt 5.25/15

Drk Act #2 NYS TWY AU 5115 (/09)

Brk Act#2 NY,NY Ser I 5.25/15 (/09) -. . - - -- - -

Brk Act#2 NYC REF Ser B G/O 5.75/15

BrkAct#2 NY,NY RFDG SerG 5/15

Drk Act #2 LI Pwr Au[LIPAj 4/1 5

DrkAct#2 NYNY Ser A 5.25/15

Brk Act #2 MTA 5.25/15

Drk Act#2 NYC Trans Fin 4/15

Brk Act #2 NYS Dorm Pres 4.2/15(14]

Drk Act #2 NYC Ser C 5.25/15(14}

Brk Act #2 NYC Health & Hosp 4.55/! 6

Brk Act# 2 NYC G/O Ser H 5.25/16

Brk Act #2 NYS Dorm Au St Johns U 5116

Brk Act #2 NY. NY Trans Fin Au 4.75/16

I. Income Gain Codes: A ,,.SJ ,000 or ks!l

(See Colwnn• Ill a.nd 04) F •$50,C<ll • SI00,000

2. Value Ccides J=SIS,OIJOorlm($(e Columns Cl snd 03) N •$250,001 • $500,000

B.

Income during

reporting period (I) (2) Amount Type (e.g., Co<le 1 div., rent,


of reporting period

Value Value

Codc2 Method

(J-P) Code3

(I) Typc(e.g., buy, sell,

redemption)

!J. Transactions during reporting periorl

I (2)Date

mm/dd/yy

-----

(J)Value

Codc2 (J.P)

I :In Code 1

I 1 (A·lf)

(5)Id. ntity of

l·u er/seller

(ii private, {A-H) ! or int) (Q-W)

________ [ t1Jr1'iaction) --· -- --- -- .

c

H

c

B - ---

c

A

B

B

c

c

B

B

c

c

B

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

Interest

--- --

B •SJ ,001 - $2 , 500

M

K

L

K

K

L

M

L

K

M

L

K

o-s100.001 -s1.ooo.ooo

K =!15,001 -$50,000

0 =$500,001 • $1,000,000

. -

T

T

T

Redeemed 04/01/09 A

Redeemed 04/15/09 L A -· --- - - -- - -

T

Redeemed 11/05/09 K A

T

T

T

T

T

T

T

T

T

Redeemed 05/18/09 J A (part)

c •$2,501-$5,000 D -$5,00t • $15,000 E •$15,001. $50,000

m -st.000.001 -s5,ooo.ooo H2 =More lhan SS,000,000

L=SS0,001-S!00,000 M •SIOO,OO! -S250,000

Pt =SI ,000,00t • $5,000,0()() P2 =$5,000,001 -$25,000,000

PJ =S25,ooo,001 . sso.000.000 P4 •More than $50,000,000

J. Vii.Jue Method Codes Q-App1ais.a.! R =Cost (Real Estate Only) S =-Assessment T-Ca.sh Market

(See Column C2) U •Rook Value V•Other W=E.stimated

I

i

!


of17


Castel, P .Kevin

D•te o :' lhport

07/(.8/2010

VII. INVEST.l\'IENTS and TRUSTS -income, value, tran•actions (Indudes those ofspouseand dependmt childrtn; SU pp. 3'·60 of filing;,, •truction!l.)


d

--r----�---

[ (2,.--f [ I

(-l)--li2>'"(3) (4)-i--

------

----

-

_

_

_

_

__

c_

__

c_ _

_

__

_

'

.-

edempt

-

n)

_J j

.. K

T

M T -

J

i

185.

I


of17


Castel, P .Kevin

Date of Report

07/08120!0_ _

_J

VII. INVESTMENTS and TR u STS - income, value, transactions (Jncludts thou of spo11.e and depemftnt childmt; .• ,. PP. J./-60 of filing Instructions.)


A. Description of Assets (including trust assets)



B. Income during

reporting period

(1) Amount Co e l

(A-II) ;

(2) Type(e.g.,

div., rent, or inl)

---c. ll.

Gross value at end of reporting peric l

(I) I Value

Code 2 (J-P)

I

Trnnsactions during reporting period

Type (e.g., Date Value Gain Identity u( - -- (5)

buy, sell, mm/dtVyy I Code 2 ('< le I buyer/seller

-

--·

--

Value Metl1od Code 3 (Q-W)

-- (J.P) (A-H) (ifprivate

_ transaction)

69. same as above

70. Brk Act #2 NY NY Ser J 5.25/16

71. Brk act #2 NYS Env Fae Corp St Clean Wtr 5/17

72. Brk Act #2 NY NY RFDG Ser J 5111

73. Brk Act #2 NYC Ser G G/O 5117 -- ----- --

74. Brk Act #2 NYC GO Ser 0 5/17[15]

B

D

B

B

c · -

··-

c

Interest

Interest

Interest

Interest

Interest -- -

Interest

Redeemed 09/28/09 A

M

L T

RL"<leemed I Ill 6/09 K A · - · · ·

-·-

M T

-----

1 75. Brk Act #2 NYC SERB Gen Obi 5.375/18 A Interest T [08]

76. Drk Act #2 NYS Dorm Au St Josephs H A 5.25/18

77. Brk Act #2 Binghamtom 4.25/18[16] c

78. Brk Act #2 NYS Thru H &B 5/18[15] c

79. Brk Act #2 NYC GO Ser Al 5118[17] D

80. Brk Act #2 NYNY RFDG Ser I 5/18[14] c

81. Drk Act #2 NYC TFA FUT TAX FGIC D SECD Ser E 5.25118

82. Brk Act #2 New York State Dorm Auth St B Pers Income Tax 4/18

83. Brk Act #2 New York NY City HSG Dev c Corp MultiFam 5.35/18

84. Brk Act 112 City MWF AU WKS Sys Rev A Ser D 0/18

Brk Act #2 LIPA NY Elec Sys Ser E 5/ 18 c

l . Inoomc Gain Codes: A •$ 1.000 orl=

(Se< Colwnns BI md 04) F •$50,001- $100,000

2. Value Codes J•SlS,OOOorlm (See Cohunns Cl ond DJ) N •$250,001 -$500,000

PJ -s2s,ooo,oot -S50,ooo.ooo

). Value Method COOes Q •Appraisal

(See Column C2) lJ ==-Book Value

Interest J

Interest M

Interest M

Interest M

Interest M

Interest M

Interest M

Interest M

Interest M

Interest M

B =$1,001 • $2,500

G =$100,001 • SI ,000,000

K •$15,00t • $50,000 0 •$500,001 . $1,000,000

R •Cost (Rral Estaic Only)

V•Other

T

T

T

T

T

T

T

T

T

T

c =s2.501 - ss,ooo

HI =$1,000,001. $5,000,000

L ·$50,001 - $100 . 000 Pl •SI ,000,00t - SS,000,000

P4 •More than $50,000,000

S =Assessment W-F.stimakd

D =$5,001-SI5,000 H2 -More lhan SS,000,000

M •$100,001 • $250,000

P2 •SS.000,001 - $25,000,000

T.Cash Mark:t

-T-yp- \-)e-.g-.,- r-D-( -:.- -V---e ----

1 ----�-----_____j. ___ _. ___ _. ____

M - ·-.

(Q-W)

95.

(5) Identity of


of17


Castel, P .Kevin

Date of Report

07/08/2010

I

VII. INVESTMENTS and TRUSTS - income, WJ/ue, transaction.! (Includes those of spouse and dependtnl c/ri/Jren; ·' '<PP· 34-60 of filing instnmions.)


A. · - -·

B. r

c. I . Description of Assets Income during Gross value at end Transaction!< <lurin I reponing period (including trust assets) ; reporting period of reporting periodlm-,--·(2)

Place "(X)" after each asset Amount I Type (e.g., exempt from prior disclosure Code 1 div., rent,

(A-H)I or int.)

(1-) (lValue Value r :.: ,

Code 2 Method buy, sell, mm/ddlyy Code 2 Code II buyer/seller

(J·P) Code 3 j redemption) (J· P) (A II) (if private

--- ··--··--

86. BrkAc t #2 NYS Thrnway Au Gen Rev Ser H 5/19

c Interest M T

87. BrkAct #2 Buffalo SerC 5/19 c Interes t M T

transaction)___J j__ _J

88. Brk Act #2 MTA Ser AS.5/19( 12] D Interest M T

89. BrkAct #2 NYC TFA Ser Al 5/19[16] c Interest M T

i 90:..._ Brk Act 2__!-1iddletown NY 4. 1251_19[ I ]__ . _S: Intere t T

91. Brk Act#2 PR Sales Tax 4.65119 A Interest M T Buy 06111109 L

92. Brk Act #2 NYS Env FACS Corp St Clean D Interest N T WTR & Drinking 5.25/20

93. Brk Acl #2 Metro T SPTN Au NY TSPN c Interest M T REV SER A A5/20

94. Brk Act #2 NYC GO Ser A 5/20( I 6] c Interest M T

BrkAct#2 LIPA Ser E 5/20 [16] c Interes t L T

96. Brk Acl #2 NY Gen Ob!ig BDS-GI 5.5/21 c Interest L T

97. Brk Act #2 NYC Trans FIA Rev 5.25/21 c .Interest L T

98. Drk Act 112 NYS Pers Inc Tax 5/21 [16] c Interest M T

99. Brk Act #2 New York NY Ser A CIFG TCRS5/21

D Interest M T

100. BrkAct #2 Metro Tras Au NY Rev RFDG Ser A 5.125/21

D Interest M T

1101. Brk Act #2 New York City G/O Ser A 5122 c Interest M T

I02. Brk Act #2 MonroeCnty IDA 5/22 A Interest L T Buy 12104/09 K

I. Income Gain Codes: A •$ 1,000 o• less B -$1,001 - $2,500 c s2,501 - ss.ooo D =S5.00I - s15.uoo E •Sl5,00l -$5U,OOO

(Sec Column! D 1 an<l 04) F •$50.001 -$100,000 o -stoo.001. s1.ooo,ooo HI •Sl.000,001-$5,000,000 lU •Mo"' lh•n Sl,000,000 2. V atue Codes J •SIS.000 or less K =Sll,001 -$50,000 L =SS0,001 - $100,000 M =$100,001 -$250,000

(Sec Columns Cl mdDJ) N =S2S0,001-$S00,000 o ssoo.001 • s1.ooo,ooo Pl =Sl,000,001-Sl,000,000 P2 ·S5,0ll0,0-0I - SZ.l,000,000

Pl =$25.000,001 - Sl0,000,000 P4 •More than Sl0,000,000 3. Value Method Codes Q•App<aisal R -CoM (Real E.ilille Only) S -Assessment T •Cash Market

(Soc Column C2) U •llook Value V =Other W rEstimated

i

(I)

I

i ·-- -·1_-;"·"':," '1":'"· ··· Ide :-!

:

I

-----

I I. JncumcG.·

- es:


of17


Castel, P .Kevin

I 1 le of Rrport

•17/08/2010

VII. INVESTMENTS and TRUSTS -inrom•, valu•, transactions (lnrluJes tlrosn>f>pouu anJ depmJentchihlren; Set pp. 34-60 offi/h11: lnstrurtioru.)


A. B.

Description of Assets Income during

(including !rust assets) reporting pc:riod

(2) Place "(X)" after each asset Amount i Type(e.g.,

exempt from prior disclosure Code I div., rent, (A-H) or int.)

103. Brk Act #2 NJ Economic Dev Au Sch A Interest Constr Ser 0 5.23/23

104. Brk Act #2 PR Elec Pwr Rev RFDG Ser PP A Interest 5/23

105. Brk Act #2 NY Gen Oblig BDS E 6/23 D lnlerest

106. Brk Act #2 Triborough Bridge & T Au Ser c Interest 05/23

107. Brk Act # 2 New York St Donn Au Revs D Interest - -Hosp FHA lnsd A 6.45124-- ·-·-···

108. Brk Act #2 Triborough B & TAU 5124 c Interest

109. Brk Act #2 NYS Thwy Au 2d HWY & BOG c lnterest 5125 (Part VIII)

110. Brk Act #2 NYC MW A Wtr & Swr Rev Ser D Interest C 5l25 (Part VIII)

I 11. Brk Act #2 NY NY IDA Rev AGC 6. 125/29 A Interest

112. Brk Act #2 !shares TR Dow Jones Select B Dividend Div Index Fund

1 13 . Brk Act #2 XLF B Dividend

114. Brk Act #4 NYS Dorm Mtg Hosp 4.95/08 B Interest

115. Brk Act #4 NYNY Ser H MBlA 5/09 n Interest

I 16. Brk Act #4 NYS Thrny 5.1110 c Interest

117. BrkAct #4 NYC G/O Ser C 4.35/11 B Interest

118. Brk Act #4 NYC RFDG Ser H, subser H6 c Interest float/12

1 1 9. Brk Act #4 MTA FROG Ser A 4.3/13 B Interest

c.

Gross value at end of reporting period

(I) Value

Codc2

(J-P)

L

L

M

M

M --··

M

M

M

K

K

K

K

L

L

L

L

- --- --

(2) Value

MeL'10d

Code 3

(Q·\'i)

T

T

T

T

T

T

T

T

T

T

T

T

T

T

T

T

(I) Type(e.g.,

buy, sell,

Date Value Gain

: mmld<llyy Code 2 Code I •uycr/seller redemption)

Buy 10/07/0Q

Buy 11/13/09

Redeemed 08/03/09

(J-P) (A-II) (ifprivate ransaction)

L

L

K A

A c-$1,000or !en B •Sl,001-$2.500 c =$2,50 t - $5,000 lJ ss,001 - Sl5,000 E s 15,00I - $50,000

F •$50,001- $100,000 G =$100,001 -Sl,000,000 HI =Sl,000,001-$5,000,000 Hl •More than $5,000,000 (See Column. BI and !J4) 2. V11luc CodC1 J •S 15,000 orless K •$15,001 - $50,000 L =$50,001 • $100,000 M=SI00,001-$250,000

(See C-Olumn< Cl &nd 03) N ·$250,00 I -Sl00,000 0 =Sl00,001 -$1,000,000 Pt =$1,000,001 -$5,000,000 P2 •$5,000,001 • $25,000,000

Pl •12l,000,001 • Sl0,000,000 P4 =More than $.50,000,000

3. Value Method Code• Q =Appni"'I R Cost (Real state Only) S •Assess:nent T-CashMarl.et

(Sec Column C2) U •Dook VaJuc V a:Qther W cEstimaled

'

:

- - --·

d -n�� rc rting I _J <i)f"" w-i -c-1>- -(-2>--+--····c1)1

J Type : -· [ rent,

(·-A-·H) __ __ o_r-in_t._)_-'-'- -(l--P-) _....__ O_

o

_-3_>

__._ redemptm:__[ ____ -(l-P) !�;:; )

K

I

-

i

I I

i

I

Date of Report 07/0812010


Name of Person Reporting Castel, P .Kevin

V ll. INVESTMENTS and TRUSTS - income, va1ue, 1ransac1ions r1nc1udes those of spouse ant1 t1"P•nt1en1 childrtn; see rr- 1-1-60 if filing instructions.)


A.Description of Assets

(including trust assets)


ex.empt from prior disclosure

120. Brk Act #4 NYS Donn Columbia U. 5.25/13

121. Brk Act#4 New York City G/O SerE 5/14

122. Brk Act #4 New Rochelle Sch Dist Ser A FSA 5/14

123. Erk Act #4 New Rochelle NY School 5.25/14

124. Brk Act #4 NYC Ref Ser B G/O 5.75/15 -·---- -·-·· · · ·-- ·--

125. Brk Act 114 NYC Health & Hosp 4.5(4.55]/16

Incom uring Gros. v e a :-: ---- Transactions pcn -·o _

d

. ---

reporting period of reporting period

I · ·· i (2)T i:l) 0)- C5J /Am u t Value Value Type (e.g., Date Value Gain ltlcntity of

Code I 1 div., , Code 2 l\lethod buy, sell, mm/dd/yy Code 2 Code I buyer/seller

I i ' (A·llJ ..

J B Interest

B Interest

B Interest

B Interest

B Interest· ··- --·-

A Interest

K

L

K

K

--- ·-

K

T

T

T

T

T - --

T

• 126. Brk Act #4 Hudson Falls NY Cent Sch B Interest K T4.625/16

127. Brk Act #4 New York G/O BD B/E Ser J c Interest M T4/16

128. Brk Act 114 NYC G/O Ser E 5/16 B Interest L T

129. Brk Act #4 NYC G/0 Ser B 5.25/18 c Interest L T

130. Brk Acl #4 New York NY RFDG Ser H B Interest L T5/16

131. Brk Act #4 Port Auth !25th Ser 5/18 B Interest K T

132. Brk Act ft 4 MTA 4.5/18 B Intere st K T

133. Brk Act 114 NYS Donn Au Rev Kaleida Hlth B Interest L T4.25118 134. Ilrk Act 114 Bingamton NY 4.25/18(16] c Interest L T

135. Brk Actll4 New York City G/O Ser A c Interest M T ISubser A-15/19 I 136. Brk Act 114 NYS Twy Rev A 5/20(15] B Interest L T

1. Income Ga.in ((xks: A "'Sl,000 or les! B-$1,001 • $2,500 c =$2,501 -$5,000 0•$5,001-$15,000 E-$15,001 -$50,000

(Sec Colwnn• Dl •id D·I) F-$50,001. $100,UOO G =$100,001. Sl,000,000 Ill =$1,000,001. $5,000,000 H2 =More $5,000,000

2. Value Codes J =$15,000 or Im K =Sll,001 -$50,000 L•SS0,001. $100,000 M =SI00,001 - $250,000

(SccC-OlumnsCI and DJ) N •$250,001 -$500,000 O •Sl00.001 • Sl,000,000 Pl =$1,000,001 -$5.000,000 P2 •$5,000,001 -$25,000,000

PJ =$25,000,001 • $50,000,000 P4 •More than $50,000.000

3. Value Method Codes Q•Apprai"'I R .-Cosl (Real f5lalc Only) S '"Assessment T =Cash Market

(Sec Column C2) U •Dook Value V =Other W •Estimated

I --- �----------··-· --

---�--

<ifl /

1137.

I ·-

J

T

I '

(2)

A.

Description of A.sets

(including trust asse")



B.

Income during

reporting period

i (I)I /Amount

I Code I

(A-IJ)

Type(e.g., div., rent.

orinL)

--- -··--- ----


ofreporting period

D.

Transactions during rtporting period

(2) (3)(I) (2)Value Value

Code 2 Method

(J-P) Code 3

(Q-W)

Type (e.g., Date Value

buy. sell, mmidJ!n Code 2

redemption) I I (J-P)

(4)Gain

Code I

(A-If)

(5)l' •ntity of

I 1cr/sellcr , ·private

1r.: 1saccion)

Brk Act #4 Port Au r,-y & NJ 4.5125 B Interest L T Buy 08/17/09 L

1 138. Brk Act #4 Western Asset l\lkt FD A Dividend K T

139. Brk Act #4 LM[SB] Large Cap Growh fw1d

CLA

140. !Jrk Act #6 Sil Money Funds Cash Port

CLA

141. Brk Act #6 SB Muni NY Mkt Port CL A -- --- - --

142. Brk Act #6 ADP

143. BrkAct#6 BR

144. !Jrk Act #6 BBY

145. Drk Act 116 Citigroup

I 146. BrkAct #6GE

147. Brk Act 116 IBM

148. BrkAct #6 KMB

149. Brk Act #6 KSS

150. Brk Act #6 MDT

I 51. Brk Act #6 MSFr

152. Brk Act 1!6 PWC

153. Brk Act #6 WMT

1. Income Gain Cot.I.cs. A •11,0()() or ics.'l

(See Columns BI and 04) F =S50,00t • St00,000

2. VB.luc Code-1 J "SI 5,000 or le.•

(See Column• CI and DJ) N •$250,tJO! .. $500,0tJO

A

A --- -

A

A

A

A

A

A

A

A

A

A

A

Pl =$25,000,00J .. $50,000,000

3. Value Method Codes Q •Appraisal

(See Column C2) U •Dook Value

None

Dividend

Dividend - -· -

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

None

Dividend

Dividend

Dividend

Dividend

B •Sl,001- $2,500

L

J

J

J

J

J

J

J

1

J

J

J

K

J

G =$100,001 .. $1,000,000

K =$15,001 -$50,000

0 =$500,001-$1,000,000

R •Cost (Real Estate Only}

V :Olher

--

T

T -- - ·-·-- --

T

T

T

T

T

T

T

T

T

T

T

T

C ·$2,501 .. $5,000 D •$5,001 .. $15,000 E ·Sl5,00l -$50,000

HI =Sl,000,001 .. $5,000,000 l!2 =More than $5,000,000

L=S50,00J -SI00,000 M =SI 00,001 .. S250,000

Pl •Sl,000,001 • SS,000,000 P2 •SS,000,001 • $25,000,000

P4 =More than $50,000,000

S =Assessment T •Cash Mark.et

W •E!timated


of17

Name of Person Reporting Date of fi•port

Castel, P .Kevin 07/08/2010

VII. INVESThIENTS and TRUSTS - income, va1ue, 1ransactWns r1nc:1ud .. 1houofspouu and dependent chi/dun; supp. 11.60 of filing 1n11rucuon.1.>

D NONE {No reportable income, assets, or transactions.)

------ ··-··-- -·· --------------------------------

·, reporting pen_· o_d ___ o_f reporting period

i-- (2) /

n

(I)

-------------L---------'-------- ' -sactio

_n> ___

-- -

J

-----

T

'

I

I

(1)

A. Description ofAssets




B. c.

Income during Gross value at end

(I) Amount Type (e.g., Code I

(A-H) div., re t,

or int.)

Value

Codc2

(J-P)

n.

Transactions during repon1:. period

1 -m-1_(3)_ [Ti"Type (c.g, Date Value G•in

redemption) (J-P) (A-ff)

(5)Identity of

buyer/seller (if private

(2) Value

Method

CodeJ

(Q-W)

buy, sell, mmlddlyy Code 2 j Code I I -- - ---- ------ ---- . j

154. Brk Act #6 WAG

155. Brk Act #6 WfC

156. Brk Act #7 Citibank NA Bank Dcp Program

157. Brk Act# 7 PWC

158. Brk Act #7 RIT - . - -- -----

A

A

A

A

A··-

! 159. Brk Act #7 NYS Dev Corp Inc Tx 6.5/18

160. Brk Act #9 SB (Western Asset)MUNI NY MNY 1'.fKT PORT CT, A

161. Brk Act #9 EEM

162. Brk Act #9 PWC

163. BrkAct#9 PZI

164. Brk Act #9 PRF

165. same as above

166. Brk Act #9 MFS Intl New Disc Fund C [MIDCX)

! 167. Brk Act #9 NYC Muni Water SWR O/l4[09]

168. Brk Act #9 New York City MWF Au W &S Ser D 0 CPN 0/18

169. Drk Act #9 NYS GIO BOS-A 0/19

170. Brk Act #9 PR Comm H & T 0/20

I. Tne-omc: Gain Codci: (See Column! D 1 and 04)

2. VaJuo Codes (Se< Columns Cl and DJ)

3. Value Mer.hod Cod s (Sec Column C2)

A c$J,OOO or less F•S50,00I • SI00,000

J •$15,000or Im

N •$250,001 • S500,000

Pl •S2l,OOO,OOI • $50,000,000

Q Arpn;saJ U ·Book Value

c

A

A

A

A

A

A

B

A

A

A

Dividend

Dividend

Interest

Dividend

Dividend . - -

Interest

Interest

Dividend

Dividend

Dividend

Dividend

Dividend

Interest

Interest

lnlt:rest

Interest

J

K

J

J

L

M

K

M

J

K

L

K

K

B ·S J.(JoJl • $2,500

G,SI00,001-Sl,000,000

K •Sl5,001-S50,000

O •Sl00,001 • Sl.000,000

R •Cosl (Real E alc Only)

V "'Other

--------···

-- .

T

T

T

T

T

T

T

T

T

T

T

T

T

-

Duy

Buy (add' I)

Sold (part)

Sold

Redeemed

Buy

c •$2,501-$5,000

HI :Sl,000,001-$5,000,000

L -$50,00t • $100,000

Pl •Sl,000,001 • SS,000,000

P4 •More than $50,000,000

S •Assessment W -Estimnted

---·----· --

01/09/09 K

11/18/09 K

09/18/09 L A

09/21/09 J A

12115/09 K A

03105!09 K

D•S5,001-Sl5.0UO

H2 •More than $5.000,000

M •SI00,001 -$250,000

P2 :$J,OOO,OOI - $25,000,000

T --Cash Market

----· ·

!

E•S15,001-S50,000

Date or Report

07/08/2010


Name or Person Rrportlng

Castel, P .Kevin

VII. INVESTMENTS and TR us TS - income, value, transactions (Includes thou of spouu and dependent rhildren: SU pp. 3 ./ ., fl of filing Instructions_)


<i-> -1 -<,-> -----i--{2>----r(J)-1 -< --(5-)

mm/dd/yy

:]ate (

--------------------'-----'------'-----------------''-

--- -- - - -

Ff.

ru. om-;Gai

---

I I


Name of Per.on Reporting IJate or Repnrt

Castel, P .Kevin 07/08/2010

VII. INVESTMENTS and TRUSTS - lncmr1e, value, transactions (!tic/udes thou o/spou.<e and depmdent rhildren; Set pp. Jl-60 of filing instructions.)

D NONE (No reportable income, assets, or transactions.) A.

Description of Assets


Place '(X) • after each asset

e. empt from prior disclosure

B.

lncome du.ring reporting period

I (I) (2)

Amount Type (e.g., i Code I div., rent, ' (A-H) or int)

c. Gross: value at end

of reporting period

D.

Transactions during reporting p<!riod

- w-/ --

Code 2 Method buy, sell, Code 2 I Code I buyerl•.eller (J-P) Code 3 redemption)

I (J-P) : (A-II) I (ifpriv te

Value Value Type (e.g., Value Gain ldenti 1 of

(Q-W) , transJetton)--'------ ----

171. BrkAct#9 XLF A Dividend J T

172. BrkAct#IOSB [WstmAsst]MUNINY A Dividend M T MNYPORTCLA

173. Brk Act #I 0 EEM A Dividend K T

174. Brk Act #I 0 PWC A Dividend M T Buy 09/18/09 K (add'l)

: 175. Brk Act #I 0 PRF Sold 09/18/09 L A ·-····

176. (same as above) A

177. BrkActnOPZI A

178. Brk Act #I 0 MFS Intl New Disc Fund A C[MIDCX]

179. Brk Act #I 0 NYC Muni Water S\VR B 0/14[09]

180. Brk Act #I 0 New York City MWF Au WIS A Sys Ser D 0 CPN 0/1 8

181. I3rk Act #IONYS G/O BDS A 0/19 A

182. Brk Act #I 0 PR Comm H & T 0/20 A

183. Brk Act #12 PHX Oakhurst Strat Alloc FD A A

184. Brk Act #12 PHX Oakhurst lnc&Growth A A

185. I3rk Act #13 Fidelity Divers !nil [FDIVXJ D

186. 13rk Act #13 Fidelity Equity lnc[FEQIXJ F

187. Brk Act #13 Fidelity Inter Bond [FTHRX] E

C.u1ks: A "'-'Sl,000 or less

1 (See Columns DI and D4) F -sso.oot -s100.ooo I

2. Va.Jue Codes J -s1s.ooo or less

(See Columns Cl and DJ) N ·$250,00l -$500.000

P3 •$25,000,001 - Sl0,000,000

3. Value Method Code Q •Appnii<>l

(Sec Column C2) U =Book Value

- ·-

Dividend

Dividend

Dividend

Interest

Interest

Interest

Interest

Di\ dend

Dividend

Dividend

Dividend

Interest

ri-s1.oot -sz.soo

J

K

L

K

K

J

J

M

0

N

G •$100,00t - Sl,000,000

K·$t5,00! -$50,000

0 •$500,001-$1,000,000

R •Cost (Real Estate Only)

V •Other

·-- ··-

(pan) -

Sold 09/21/09 J A

T

T

Redeemed 12/15/09 K A

T

T Buy 03105109 K

T

T

T

T

T

T

c sz,5ot - S5,ooo D =$5,001 - $15,000 E-515.001 -$50,000

Hl =il,000,001 -$5,000,000 H2 =More than $5,000,000

L=S50,00J -SI00.000 M =Sto0,001 -$250,000

Pl •$1,000.001-Sl,000,000 P2 •$5,000,001 - $25,000,000

P4 •More than SS0,000,000

S •Assessment T =Cas.h Mark.et W =Eslimated

I

(2) (2) (3) --�-'----·-- I

(I) (I)

D.

Date uf Ucport

07/08120!0

Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of17 Castel, P .Kevin

VII. mYESTMENTS and TRUSTS -Income, value, transactions (lndudes thouofspouu and Jep•nJent childr.n; SU pp. 34-60 off I "K instructions.)


A. B. c. Description of Assets Income during Gross value at end Transactions during reporting pen o I

(including trust assets) reporting period of reporting period

(2) (I) (4) (5) Value ValuePlace '(X)" after each asset Amou..'1.t Type (e.g., Type (e.g., Date Value Gain Identity of

exempt from prior disclosure div., rent, Code I Code2 buy, sell, mm/ddlyy I Code 2 Code I buyer/ieller (A-H) or int) (J-P)

Method Code 3 redemption) (J-P) (A-II) (if private

(Q-W) tran action)

188. Brk Act #13 Fidelity Export & Multinat'l [FEXPX]

B Dividend L T

189. Brk Act #13 Fidelity Capital Apprec [FDCAX1

c Dividend L T

190.

191.

Brk Act #13 Fidelity Retire Mmkt[Cash Reserves] [FCRXX)

Bank Act# 14 Chase Accounts

D Interest

None

M

K

T

T

•D =Sl,001 - Stl.000 E •Sll,001 Sl0,0001. Jncome G1:1.in Codes: A =S 1,000 or less B •$1.001 -$2,500 C=S2.l01-S5,000

(Sec Colwnn• DI and D4) F "$50,001 - SI00,000 O •SI00,001 -Sl,000,000 HI ·Sl,OOO.OOl -S5.000,000 112 •More than $5,000,000

2. Va.Jue Codes J •SI l,000 or kn K =$15,001 -$50,000 L•S50,00I -$100,000 M "$100,001 - $250,000

(See Column• Cl and DJ) N •S250,001 • $500,000 0 •!500,00I - Sl.000,000 Pl •Sl,000,001 -Sl,000,000 P2 =$5,000,001 • $25,000,000

Pl •$25,000,00 I -Sl0,000,000 P4 =More than $50,000,000

3. Value Method Codes Q -Appr<li.sal R •Cost (Real Estate Only) S •Assessment T =DL'h Marlct

(See Co lumr. C2) U ""nook Value V •Other W"°'Estimatc<l

Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of17 Castel, P .Kevin

.... 1e of Report

1)7/0812010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReport.)

PartVII: INVESTMENTS AND TRUSTS

Page 5, line 26 of 2008 FDR. Brk Act#2 NYS TWY AUTH 5.25/10. TI1is was inadvcrtcnly listed on the 2008 FDR as a partial mkmpt on when it was a full redemption and is therfore omitted from the 2009 FDR. Page 5, line 24 of 2008 FDR. Brk Act #2 NY NY RFDG Ser J 5/10(08). This was inad vcrtenly listed on the 2008 FDR as a partial redt·.mption when it was a full redemption and is therfore omitted from the 2009 FDR. Page 6, line 49 of2008 FDR. Brk Act#2 NYS Dorm Auth Revs Ithaca Coll 5/13. This was inadvertenty listed on the 2008 FDR as a 1•artial redemption when it was a full redemption and is therfore omitted from the 2009 FDR. Page 11, line 127 of 2008 FDR. Brk Act#2 NY Gen Pblig BDS-Gl 5.5121. This item is a duplicate of page 11, line 122 of the 2008 FDR. According the second listing is omitted on the 2009 FDR. Page I I, lines 133 through 138 of2008 FDR .. Triborough Bridge & Tunnel J\u Var 2032. This was inadvcrtenly listed on the 2008 FDR a a partial redemption when it was a full redemption and is therfore omitted from the 2009 FDR. Page 12, line 143 of2008 FDR. Brk Act #4 NYS Dorm Mtg Hosp 4.95/08. This should have been listed on the 2008 FDR as redeemed on 2/1/0S at Value Code K. Page 14, line 186 of 2008 FDR. Brk Act #7 Lehman Bros 4.150/15. This was inadvertenly listed on the 2008 FDR as a partial redemption when it was a full redemption and is therfore omitted from the 2009 FDR. Page 4 , line 14 of 2009 FDR. Brk Act #2 Uts Nuveen TR UT TR#61 M NY INSD S6 l. Broker reports that this security was owned going hack to prior to 2005 and was inadvertently omitted. Page 10, line 109 of 2009 FDR. Brk Act #2 NYS Thrwy Au 2d Hwy &Bdg 5/25. This was inadverten ly omitted from the 2009 FDR. It was a buy on 4/17/08 at Value Code M. Interest in 2008 was at Amount Code C, with a value at the end of the period of M. Page 10, line 110 of 2009 FDR. Brk Act #2 NYC MW A WIT & Swr Rev Ser C First Res 5/25. This was inadvertenly omitted from the 2009 FDR It was a buy

--··· on 5/3CW08-at Value Qlde M. Inrcrest in"2008 was-:1r Amount Code D, with a value at the endofthe period·orM .

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Page 5, line 27 of 2009 FDR. Brk Act #2 Eire Cnty NY Pub Imp Ser A 5111. This was inadvertenly liste d on the 2008 FDR as a full redemption and is therfore included in the 2009 FDR.

Name of Person Re.porting Date of Report FINANCIAL DISCLOSURE REPORT

of17 Castel, P .Ke\in 07/08/2010

IX. CERTIFICATION.

I certify that all Information given above (Including Information pertaining to my spouse and minor or dependent children, If any) Is accurate, true, and complete to the best of my knowledge and belief, and that BD}' information not reported was \\ilhheld because It met applica!Jle statutory pro\isions permitting non-disclosure.

I further certify that earned Income from outside employment and honorarla and the acceptance or gifts whkh have been reported are In compliance with the pro\islons of 5 U.S.C. app. § 501 et. seq 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIL

AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301

One Columbus Circle, N.E. Washington, D.C. 20544

castel, - judicial watchsource none type come fnncal disclosure report page 2 ofl7 name of peson...

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