richard j holwell financial disclosure report for 2010

8/3/2019 Richard J Holwell Financial Disclosure Report for 2010

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AO 10Rev. 1/2011FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Governraent Act of 1978(5 U.S.C. app. 101-111)

I . Person Re port ing (last name, f i rst , middle ini t ia l )Ho lwel l , R ichard J .

4. T it le (Ar tic le I I I judges ind ica te ac tive or sen ior s ta tus ;magist rate j udges indicate fu l l - or par t - t ime)

U.S. Dis t r i c t Jud g e - Act ive

7. Chambers or Office Address

500 Pear l S t .Chambers 1950New Yo rk , NY 10007-1312

2. Court or Organizat ionU S D C / S D N Y

3. Date of Report

07/21/7011

5a. Reporl Type (check appropriate q,pe)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5 b . [] A m e n d e d R e p o r t8.On the basis of the information eontalned in this Report and an ymodif icat ions per taining thereto , i t i s , in my op inion, in compl iancess~th appl icable laws and regulat ions.R e~ e~ i n g O f f i ce r Date

6. Reporting Period01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying thls form must be followea[ Complete all parts,checking the NONE box for each part where you have no reportable information~ Sign on last page.

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions,)D (No reportablepositions.)ONE

P O S I T I O NI. P a r m e r2.3.4.5.

N A M E O F O R G A N I Z A T I O N /E N T I T YV a n D u y n ( S E E S E C T I O N V I l l , P a r a g r a p h I)

I I . A G R E E M E N T S . ( R , p o r t i , g i n a i v i d , ~ t o , ty ; s e o p p . 1 4 - 1 6 of filing instructions.)D N ON E (No reportable agreements.)DATE

1, 8/01/2000 P l e a s e s e e s e c t i o n v i i i , p a r a g r a p g h 2 ,P A R T I E S A N D T E R M S


2/9

FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r t in gH o h v e l l , R i c h a r d J .

D a t e o f R e p o r t07/21/201 I

III. N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investment Income~ (No reportable income. )O N E non-investment

DATE SOURCE AND TYPE INCOME( y o u r s , n o t sp o u se s )

I. 2 0 1 0 White & Case LLP (p o s t re t i remen t p aym en ts f ixed a t t ime o f re t i remen t $31,737.96o n N o v e m b e r I , 2 0 0 3.2 . 2 0 1 0 W hite & C se L L P (P en s io n ) $52,4 68 .4 43.4.

B . S p o u s e s N o n - l n v e s tm e n t I n c o m e - i f you were married during any portion of the reporting year, complete th is section.(Dollar amount not required except for honoraria.)

~] N O N E ( N o reportable non-investment income.)D A T E

1. 2010

2.

3.

4.

SOURCE AND TYPESel f -emp lo yed a rch i t ec t

I V . R E I M B U R S E M E N T S - tru.~portatio., lodging, food, entertainment.(Includes those to spouse and dependent children," see pp. 25 -27 of filing instructions.)~ NONE(N o reportable re imbursemen ts . )

2.3.

4.

5.

SOURCE DATES LOCATION PURPOSE ITEM S PAID OR PROVIDED


3/9

N a m e o f P e r s o n R e p o r t in gP a g e F IN A N C I A L 3 o f 9 D I S C L O S U R E R E P O R T I tlolwell, R~hard J.

~ NONE ~o reportable g~s.)SOURCE DESCRIPTION

I.2.

3.4.

5.

D a t e o f R e p o r t0 7 1 2 1 1 2 0 1 1

VALUE

V I . L I A B I L I T I E S . a , a u d e ~ , h o ~ e o f , p o u ~ a , a d ~ p ~ , d ~ , l c h i U r e ,; ~ ~ . 3 2 - ~ J of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5.

VALUECODE


4/9


N a m e o f P e r so n R e p o r t i n gHolwell, Richard J.

D a t e o f R e p o r t07/21/201 I

N O N E (No reportable income, assets, or transactions.)A. B. C. D.D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t i o n s du r i ng reporting period( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d o f r e p o r t i n g p e r i o d

O) (2) O) (2) (0 (2) (3)Place "(X)" after each asset A mo unt T ype (e.g ., Value Value Type (e.g., D a t e Value

exempt from prior disclosure C ode I div., rent, C ode 2 Method buy, se l l , m nddd! y y C ode 2(A-H) o r i n t . ) (J-P) C ode 3 redem ption) O-P)

I. Van Duyn A sso c . , NY, NY

2. Bel l So u th Co mmo n Sto ck (ce r t i f i ca te )3. Brokerage Accoun t (Schw ab Reg) # I4. Ford Motor Cred i t5. To rto i s e En erg y In f ras t rucu t res6. Bai rd Co re P lus7. P I M C O M o r t g a g e B a c ke d S e e8. NY C i ty Mu ni Wt r F in , 6 /15/319. NY C i ty M un i W tr Fin , 6 /15 /241 0 . NYS Do rm Re vs St Sup p , 2 /15 /16I I . P I M C O T o t a l R e t u rn1 2 . Asto n Lake Par tn ers Fun d1 3 . PIM CO Glo ba l M ul t iAsse t1 4 . Schwab Money M arke t Fu nd

1 5 . Tran sa t l an t ic Ho ld in g , In c . Bo n d

1 6 . V a n g u a r d S - T I n v G r a d e1 7 . S P D R S & P D i v

EA

R e n t P I WD i v i d e n d J T

A Interest M T Bu y 07/14/10 LA D i v i d e n d L T Bu y 07/27/10 K

B Interest L T Bu y 07/27/10 K

D Interest M T Bu y 06/29/I 0 L

D Interest Ma tu red 06/15/10 N

D Interest M TC Interest M TD Interest M T Bu y 03/3 I/I 0 LA D i v i d e n d L T Bu y 12/16/10 KB Int . /Div. L T Bu y 12/16/10 K

A Int . /Div. J TB Interest Sold 03/25/10 M

D Interest M TD D i v i d e n d N T

(4 )Gain Identity of

Code 1 buyer/seller(A-H) ( i f p r i v a t e

t r a n s a c t i o n )

I . Income Gain Codes: A =$1,0~0 or less B =$1.001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000(Se e Co lu m n s B I a n d IM) F = $50,001 - $ 100,000 G =$ 100 .00 1 - $1 .0 00 ,0 00 H 1 = $1.0 00,0 01 - $ 5,0 00 .0 00 H2 =More than $5.000.0OO

2. Va lu e Co d es J = $15,000 or less K -$15,001 - $50.000 L =$50,001 - $100.000 M -$100.0OI - $250.000(Se e Co lu m n s CI a n d D3 ) N =$250.001 - $500,000 O =$500.001 - $1,090,000 PI = $1,000.001 - $5,000.000 P2 -$5,000.001 - $25.000,000P3 =$25,000,0~1 - $50.000.000 P4 =M ore than $50.000,000

3. Value ISlcthod Codes Q = A p p r a i~ l R =Cost (Real Estate Only) S =As~cs~,mcnl T -Cash Marke tISc e Co lu m n C2 ) U = B o o k Va lu e V = O ther W = Estim ated

E =$15.001 - $50.000


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N a m e o f P e r s o n R e p o r t in gHohvell, Richard J.

D a t e o f R e p o r t07/21/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income, ralue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N ON E ( N o reportable income, assets, or transactions.)

D e sc rip tio n o f A ss e ts In co m e d u r in g( i n c l u d in g t r u s t a s s e m ) r e p o r t i n g p e r i o d

O) (2)Place "(X)" after each asset A m o u n t Type (e.g..

exempt from prior disclosure Code I d iv . , r en t .( A-H) or int .)

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

O)Type (e.g.,

bu y , se l l ,r e d e m p t i o n )

Transac t ions dur ing r epo r t ing pe r iod

(2) (3) (4)Date V a lue Gain

m m / d d / y y Code2 C o d e I(J-P) (A-H )

( s )I d e n t i t y o f

b u y e r / s e l l e r( i f p r i v a t e

t r a n s a c t i o n )

1 8 . Baird Int Muni B ond Fund A Int./Div.1 9 . D Int./Div.

20 . M errill Lynch IRA A Dividend21 . - M L Pacific Bond Fund

M T

T

Redeemed 01/06/10 J A(pan)Redeemed 12/16/~0 M A( p a n )

22 . Brokerage Acct Schwab IRA #123 . - ls ha re s MSCI Aus ld x Fd24 . - M S CAPTRIII25. - B uffalo M i d C a p2 6. - Oa km a rk Eq ui ty In c om e27 . - PIMCO Total Return D (2009 -p artial salenot full sale)28 . - P IMCO To ta l Return In s t

Int./Div. PI TB uy

B uy

B uyB uy

03/17/1004113110

04/1211004/09/I 0

K

LK

K

29 . - Schwab Money M arket Fund

30 . - DowChem B ond31. - Morgan Stan ley Bond (2009 partial saleno t fu l l sa le)32 . - T e r e x C o r p B o n d

3 3. - B ai rd I- T B o nd Fu nd34 . - JP Mo rga n E m erg Mkt Debt

I. Income Gain Codas:(See Co lumns BI and D4)

2. Value Codes(Sc Columns CI and

3. Value Method Codes1 Sc Co lu m n C2 )

A =$1,000 or lessF ~$50.001 - $100,000J =$15.000 or lessN =$250.0~1 - $500.000P3 -$25,000,001 - $50.000.000Q =Appra i~ lU ~B o o k Va lu e

B =$1,001 - $2,500G =$10O.001 - $1.000.0~0K $15.001 - $50,000O = $500.001 - $ 1,000.000R - Co s l (Re a l Es ta te On ly )V O t h e r

=$2,501 - $5,000I =$ 1.000.001 - $5.00~.0~0=$50,001 - $100.000

P I $1 ,000 .001 -$5 ,000 .000P4 = Mo re than $50,000,000

= As .c ~s m e n lW = Es t im a te d

D = $5.001 - $15,000112 =More than $5.000,000M =$100.001 - $250,000P2 $5,000.091 - $25.000.009I =Cash Markc l

E =$ I 5.001 - $50,000


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N a m e o f P e r s o n R e p o r ti n gHolwell, Richard J.

D a t e o f R e p o r t0"//21/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i. c o ,. e , , ,a l .o , , .a . sa c t lo ~ s a = l . d e s th o s e o / s p o u s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 of filing instructions.)---] N O N E ( N o reportable income, assets , or transact ions.)

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 i n g( i nc l u di ng t r u s t asse t s) r e p o r t i n g p e r i o d

(I) (2 )Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I d iv . , r en t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(I) (2)V a lu e V a lu e

C o d e 2 M e tho d(J-P) C o d e 3( Q - W )

O)Type (e.g.,buy, se l l ,

redemption)


(2) (3) (4)Dat e V a l u e Gai n

m m /d d/y y C od e 2 C o d e(J-P) (A-H)

Identity ofbuyer /se l le r

(if privatetransaction)

35. - JP M organ Strategic Income36 . - PIMCO Foreign Bond

3 7 . - JP Morgan Mortgage Backed Sec (2009referenced as PIMCO)

38 . - M atthewslndia39 . - Ishares TR S& P M id Cap40 . Brokerage Account Schwab IRA # 241 . - M etro West Total Return

Int./Div. M T

42 . - O a k m a r k E q u i t y I n c o m e43 . - T C W T o t a l R e t u rn

B uy 01/08/10 J

44 . - JP M organ Strategic Income45. - Permanen t Portfolio(PRPFX)4 6. - Ea to n V an c e G l ob al M a cr o47 . Fidel i ty Annuity48 . - F ide l i ty Mo ney Marke t Fu nd49 .

50 . W h i t e & C a s e S I P

None

Int./Div. PI

TSold(part)Sold(par t )

T

02/19/1010/08 /I 0

LK

51 . - Pimco Total Return Redeemed 01/08/10 M(par t )

I.Income Gain Codes:{See Columns B I an d D 4 )

2. Value Codes(Sec Co lumns CI and D3)

3. Value Method CodeslSee Co lumn C2)

A =$1.000 or lessF =$50.0~1 - $100.000J = $ 1 5 , 0 0 0 or l e s sN =$250.001 - $500.000P3=$25.000.001 - $50.009.000Q -AppraisalU = B o o k Va lu e

B =$1,001 - $2,500G -$100.0OI - $1.000.000K $15,001 - $50.000

0 = $ 5 0 ~ ) . 0 0 1 - $1.000.000R Co, t ( Real E, t a l eOnl y )V = Oth e r

C =$2,501 - $5,1)00H I = $1,000,001 - $ 5L =$50,001 - $ IP1 =$1.0OO.001 - $5,0~O,000P4 More than $50 ,000 ,000S = As s e s s m e n tW =Estirnalcd

D = $5,001 - $15,000H2 =Mo re Ihan $5.000,000M =$100.001 - $250.000P2 =$5,000.001 - $25.000.000T = Ca s h Ma rk e t

E =$15,001 - $50.000


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N a m e o f P e r s o n R e p o r ti n gHohvell, Richard J.

D a t e o f R e p o r ~07/21/2011

V I I . IN V E S T M E N T S a n d T R U S T S - i.come, v a l u o , t ...... t ions (Includes those of spous e and dependent chi ldren; see pp. 34-60 of f i l ing instruct lon s~)N O N E (No reportable income, assets, or transactions.)

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 i n g( i nc l u di ng t r u s t asse t s) r e p o r t i n g p e r i o d

(1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e I d iv . , r en t ,( A - H ) o r in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

O)Type (e.g.,

buy, s e l l ,r e d e m p t i o n )


(2) (3) (4)D a t e Value Gain

m m /d d/y y C od e 2 Code I( J - P ) ( A - H )

I d e n t i t y o fb u y e r / s e l l e r

( i f p r i v a t et r a n s a c t i o n )

52 . - State Street Money M arket Fund53. - Permanen t Portfolio (PRPFX)54. - PIMCO Glo bal Mu lt i Ass et55. - Vanguard Infl Protection (partial sale in2009, not to tal)56 . - T C W H i g h Y i e ld57 . - I N G Mo n ey M ar ket Fund58 . - Ishares Brazil

B uy

B uy

B uy

12/29/I 012/23/I 0

12/29110

K

59. - Sector SPDR E nerg y60 . -TFS Market Neutral6 1. - PIM C O H ig h Y ie ld62 . - PIMCO Mortgage Backed63 . - SPDR Index SHS S&P China64 . - Vanguard Shor t Term Inv G rade65 . - W i n t e r g re e n ( W G R N X )66 . S c h w a b I R A # 3 A Int./Div. T

67 . - TCW T o ta l Re tu rn68 .

I. Income Gain Codes:(Se e Co lu m n s B I a n d 1 9 4 )

2. Value Codes(See Co lumns CI and D3)

3. Valuc Mcthod Codes[ Se e Co lu m n C2 )

A =$1,000 or lessF =S50,001 - $100.000J $15, 000 or l essN =$250.001 - $500,0D0P3 $25.000,001 - $50.000.000Q =A ppr a i s a lU = B o o k Va lu e

B=$ 1,001 - $2,500G=$100,001 - $1,000,000K=$15,001 - $50.000O=$500,001 - $1.090.00~R =Cost (Real Estate Only)V =O ~hcr

C =$2,501 - $5,000H I =$ 1,000,001 - $5,000.000L =$50.001 - $100,000P I = $1.000,001 - $ 5P4 =M ore than $50.000,000S =AsscssrncntW = Es t im a te d

D = $5,001 - $15,000H2 =More than $5,00~,000M = $ 100,001 - $ 2 5 0 , 0 0 0P2 -$5,000,001 - $25,000,000T =Cash Marke t

E =$15,001- $50,000


8/9


N a m e o f P e r s o n R e p o r t in gH o h v e l l , R i c h a r d J .

Date of R e p o r t07/21/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of repor~)I . R e g a rd in g S e c t io n I :Pa r tn e r , V a n D uyn A sso c ia t e s . V a n D uyn A sso c ia t e s i s a g e n e ra l p a r tn e r sh ip fo rme d un d e r N e w Y o rk l a w p ursua n t t o a r e s t a te d a n d a me n d e d a g re e m e n t d a t e dD e c e m b e r 2 1 , 1 9 7 9 . ~ - ] o w n w t h ~ - r ~ :;+n, a 60% interest in the partnership which owns the building~,.~.-, .~~

2. Regard ing Sec t ion I1 :Whi te & Case Sav ings and Inves tm en t Plan ( "SIP") . Whi te & Case i s my fo rm er law f i rm. The W hi te & Case SIP w as o r ig inal ly es tabl i shed in 1983. I t i s aqual i f ied 401(K) p lan . Subjec t to cer ta in qual i f ica t ions , a l l employees can p ar t ic ipate in the p lan and m ay r em ain in the p lan af ter r e t i reme nt . Par t ic ipan ts ar e ableto se lec t thei r inves tmen ts f rom am ong a l im i ted l i s t o f mu tual funds on ly . I n add i t ion , a brokerage accoun t i s a l so avai lable to par t ic ipan ts that a l low s fo rad d i t io n a l in ves tmen t s .White & Case R et i r ement Income P lan ( "RIP") . Whi te Case i s my fo rm er law f i rm. Tbe W hi te & Case RIP i s a def ined benef i t pens ion o r ig inal ly adop ted in 1985an d i s l imi ted to ce r t a in p ar tn ers an d emp lo yees o f the Fi rm. Tbe RIP p ro v id es up o n re t i rem en t an an n ua l ben ef i t wh ich i s a p e rcen tag e o f the to ta l co m p en sa t io nearn ed by a p a r t i c ip an t d ur in g m em bersh ip in tbe p lan . The co n t r ibu t io n s to RIP a re ac tuar i a l ly d e te rm in ed an d a re p a id by the Fi rm to a t rus t fun d . 1 am fu l lyves ted in the p lan . Par t i c ip an t s have n o co n t ro l o ver the t rus t fun d s in ves tmen t .

White & Case Par tner ship Agreement . Whi te & Case i s my fo rmer law f i rm. Tbe amended and r es ta ted par tner ship ag reement dated Augus t I , 2000 governs theo p era t io n o f the Fi rm. The equ i ty p ar tn ers o f the Fi rm a re p ar t i es to the ag reeme n t . Up o n ceas in g to he an equ i ty p ar tn er , such p ar tn er s cap i t a l acco un t i s f ixed an dd i s t r ibu ted in mo n th ly p aymen ts o ver a t e rm o f s ix years . A l l such p aymen ts were mad e by December 31 ,2009 .


9/9


Name of Per son Repor tingHolwell, Richard J.

Date of Repor t07/21/2011

IX. C ERTIFICATION.1 c e r t if y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i s

a c c u r a t e , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u re .i f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t io n s .

Signature

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 10 4 )

Comm ittee on Financial DisclosureAdmin istrati ve Office of the United States CourtsSuite 2-301One Columbus Circ le, N.E.W ashington, D.C. 20544

richard j holwell financial disclosure report for 2010

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