robert d sack financial disclosure report for 2010
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8/3/2019 Robert D Sack Financial Disclosure Report for 2010
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A O I ORev . 1 /2011
FINANCIAL DISCLOSURE REPOR T
FOR CALENDAR YEAR 20 10
Report Re quired by the Ethics
in Go vernment Act o f 1978(5 U.S.C. app. §§ IOl-l l l )
I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l )
Sack, Robert D.
4 . T i t l e ( A r t i c l e I I I ju d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;maglstrate judges ind icate full- or part-time)
U S Circu i t J u d g e ( S en ior )
7 . C h a m b e r s o r O f f ic e A d d r e s s
40 Foley SquareNew York, NY 10007
2 . C o u r t o r O r g a n i z a ti o n
US Cour t ofApp ea ls , 2d Cir .
5a. Report Type (check appropriate type)
]N om in ation , D ate
[] Initial [] Annual [] Final
I 5b. [] Amended Report
8. On the basis of the information contained in this Report and a nymodifications pertaining thereto, it is, in my opinion, in compliance
wi t h a p p l i c a b l e l a ws and regulations.
R e v i e w i n g O f f i c e r D a t e
3 . D a t e o f R e p o r t
05/I 0/2011
6 . R e p o r t i n g P e r i o d
01/01/2010
to
12/31/2010
I M P O R T A N T N O T E S : The instructio.ns accompanying this form m ust be followea~ C omplete all parts,checking the NONE box for each part where you have no reportable information. Sign on lastpage.
I . P 0 S I T I 0 N S . ~ R e ~ , o r t i n g i .a l v l d .a l o . l y ; se e p p . 9 - 1 3 of f i l ing instruct ions,)
D N O N E (No reportablepositions.)
POSITION
1. Director
2. Lecturer in Law
3. Member, Columbia Board of Visitors Colum bia Law School
4.
5.
NAME OF ORGANIZATION/ENTITY
William F. Kerby and Robert S. Potter Fun d
Colum bia Law School
I l . A G R E E M E N T S . C R e w , o ra n g i n di v id u a l only; see p p . 1 4 - 1 6 of f i l i ng i ns t ruc t ions . )
D NO NE ( N o r e p o r t a b le a g r e e m e n t s . )
D A T E PARTIES AND TERMS
I. 9/3/98 Pract is ing Law In s t i tu te and Robert D. Sack, publicat ion of 3rd ed it ion of t reat ise on defamat ion law; royally 15% ofnet receipts
2. 1998 Gibs on , D u n n & Cru t che r LLP Re t i remen t A g reemen t , G ibs on D u n n & Cru t cher LLP an d Rober t D . S ack ; Te rms :
$6,000 per m onth/ l i fe , no increase , decrease or cap
3. 2010 Pract is ing Law Ins t i tu te and Roberl D. Sack, publicat ion of 4th ed it ion of t reat ise on defam at ion law; royally 15% of
net receipts
8/3/2019 Robert D Sack Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPORT
Page 2 of 10
N a m e o f P e r s o n R e p o r t in g
Sack , Rober t D.
Date of Report
05/10/2011
1 1 1 . N O N - I N V E S T M E N T I N C O M E . tRe~ o ,n .g l .d lvidualo ,dspo~e;s ,ep~ iZ-24oI~l~.g i . s~uc, io .~)
A, Filer’s Non-Investment Income
D N O N E (No reportable income.)on-investment
DATE SOURCE AND TYPE
I. 2010 Practis ing Law Inst itute Book Royalt ies
2. 2010 Gibson, Dun n & Crutcher LLP Retiremen t Plan
3 .2010 Lecture r in Law , Colum bia Law School
4.
INCO ME(yours , not spouse’s)
$24,331.06
$72,000.00
$15,000.00
B . S p o u s e ’s N o n - I n v e st m e n t In c o m e - I f you were m arried during any portion of the reporting year, complete this section.
(Do llar amo u nt no t req u ired ex cep t fo r h o no raria . )
N O N E ( N o reportable non-investment incom e.)
DA TE SO URCE A ND TYPE
I. 2010 Dewey Ballan t ine Partnership Distribut ion
2.2010 West Services Inc.
3.2/16/2010 K i t amura and Landa v . Trump P are , No. (Supreme Cour t , NY Coun ty) Dis t ribu t ion o f C las s M ember
Shares of Net Sett lement Ben ef its
I V . R E I M B U R S E M E N T S --,ransportoao., Iodg~.g , Ioo~, e . , e r t a ~ . m e . ,
(Inclu d es th o se to sp o u se and d ep end ent ch i ld ren; see p p . 25-27 o f f i l ing instru ct io ns. )
--1 NONE (No reportable reimbursements.)
SOURCE D A T E S LOCATION PURPOSE ITEM S PAID OR PROV IDED
1. Univers ity of Texas 2/4-7/2010 Aust in , TX Sympos ium Travel, Hotel and Meals
2. Arizona State Univers ity 4/23-27/2010 Phoenix, AZ Forum Travel, Hotel and Meals
3. The Montpelier Foundat ion/ 6/14-16/2010 O ran g e, V A Semi n a r Travel, Hotel and MealsJames Mad i son’ s Montpe l ier
4. Federal Bar Foun dation 10/1-3/2010 Lenox , MA Bench and Bar Retreat Travel, Hotel and Meals
5.
8/3/2019 Robert D Sack Financial Disclosure Report for 2010
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FINANCIAL DISCLOSURE REPOR T
Page 3 of 10
N a m e o f P e r s o n R e p o r t in g
Sack , Rober t D.
D a t e of Report
05/10/201 I
V . G I F T S . a n c l u d e s , h o s e t o s p o n s e a n d dependent children; see p p . 2 8 - 3 1 of filing instructions.)
N O N E (No reportable gif ts . )
SOURCE DESCRIPTION
I.
2.
3.
4.
5 .
VALUE
V l . L I A B I L IT I E S . a n c l a d e s those of spouse and dependent chi ldren; seepp. 32-33 of f i l lng instruct ions.)
D N O N E (N o reportable liabilities .)
CREDITOR
1. Cit iban k A ad van t ag e Cred it Card
2. Citiban k A ad van tag e Cred it C ard
3. Chase V i sa Credit Card
4.
5.
DESCRIPTION VALUECODE
J
J
J
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FINANCIAL DISCLOSURE REPORT
Page 4 of 10
Name of Person Reporling
Sack , Rober t D.
D a t e o f R e p o r t
05/10/201 l
V I I . I N V E S T M E N T S a n d T R U S T S - in c o m . , w l u . . ~ .~ o ~ , ~ o ~ a n e l u d . s th o s e o / s p o ~ s o ~ n d d e p e . d ~ n , children; see plx 3 4 - 6 0 o/fi/ing instruction.~)
N O N E (No reportable income, assets, or transactions.)
D e s c r i p ti o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
( in c l u d i n g t r u s t a s s e t s )
P l a c e " ( X ) " a f t e r ~ a c h a s s e t
exempt from prior disclosure
I n c o m e d u r in g G r o s s v a l u e a t e n d
r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d
(I) (2 ) (I) (2 ) (I) (2 ) (3 ) (4 ) (5 )
A m o u n t T y p e ( e . g . , V alu e Value T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m /d d / y y C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - P ) ( A - H ) ( i f p r i v a t e
( Q - W ) t r a n s a c t i o n )
I. JPMorgan Chase Accounts A Interest L T
2. JP Morgan 1086 US Govt MM KT Fund - A Div idend M T
Premier ( fo rmer ly Morgan)
3. Un secu red loan to D av id W . M cClin tick Non e J T
4. D ew ey B allan tin e Partn ership Cap ital Non e J T
Account
5. GD&C Cit iStreet 401(k) A Interest
6. o SSg A M on ey M arket Fu n d Sold 10/12/10 N
7. Oppenheimer Advantage Munic ipa l A Interest J TLiquidity Fund
8. Boe ing Co. Comm on Stock A Div idend K T
9. Blackrock New York I nsured Mu nic ipa l B Dividend K TIncome Trust I II
I 0. V a n K am p e n T ru s t f or In v t. G ra d e NY A Div idend J TMunic ipa l s
1 1 . Opp enheimer NY Mu nic ipa l Fund CI A C Div idend L T
1 2 . Op penhe imer N¥ SFSA 5% Due 3/15/10 A Int . /Div. Redeemed 03/15/10 K
1 3 . Opp New York NY Ci ty Mun Wtr F in NY A Int./Div. K T Bu y 03/25/10 K3.625% Due 6/15/25
1 4 . JPMorgan Chase Tradit ional IRA A Interest D is tri bu te d 1 0/1 5/ 10 JRetirement CD
1 5 . Northwestern Mutual Life Insurance Policy C Dividend L T
1 6 . Guardian Li f e Insu rance Pol icy C Div idend L T
1 7 . Massachusetts Mutual Life Insurance Policy A Div idend J T
1. In com e Gain Codes: A =$1.000 or less B $1,001 - $2.500 C =$2,501 - $5,000 D =$5,001 - $15.000
(See Column s B1 and D4) F =$50.001 - $100.000 G =$100.001. $1.000.000 I I I =$1.000.001 - $5.000.000 1 1 2 = M o r e ~ h a n
2. Va lue Cod~ J =$15.0~O or I~s K =$15.0OI - $50.000 L = $ 5 0 . 0 ~ 1 - $ 1 0 0 . 0 O O M =$10~.001 - $250.000
(S¢c Columns CI and D3) N =$250,001 - $500.000 O =$50~.001 - $1,00~.000 PI =$1.0~1,001 - $5.0~O .0(~ P2 =$5.000.001 -
P3 =$25.0~0.001 - $5 0.0~0.000 P4 =Mo re than $50.000.0~0
3. Value Method Codes Q =Appraisa l R = C o s l (Rea l E s ta te On ly) S :Asscssrnenl T =C~h Market
(See Colum n C2) U =Book Value V =O ther W =Est imated
E =$ 15,001 - $50.000
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FINANCIAL DISCLOSURE REPORT
Page 5 of 10
Name of Person Reporting
S ack , Robe r~ D .
Date of R e p o r t
05/10/201 I
VII . INVE STME NTS and TR U STS -i ....... . , ~ , , e . ~ - . . . . , io ~ a n d u d ~ , h o ~ e o / ~ , o o ~ e a n d d e V e n a o n , c h " d , e n : ~ o o V V " 3 4 - 6 0 o f : # n g i n ~ , ~ c , i o ~ . ~
~ (No reportable income, assets, orONE transactions.)
A. B. C. D .
D ~ s c r i p ti 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 a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
( in c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d
i (I) (2) (I) (2) (I) (2) (3) (4)
P la c e " ( X ) " after each asset ! A m o u n t Type (e . g . , V a l u e V a l u e Type (e . g . , D a t e Value G a i ne x e m p t f ro m prior d i s c l o s u r e C o d e I div . , rent , C o d e 2 M e t h o d buy, se l l , m m / d d / y y C o d e 2 Code l
( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - P ) ( A - H )
1 8 . Morgan Stan ley Bank Depos i t Program A Div idend M T
1 9 . Morgan Stanley MTA 5.35 Zero Coupon A Interest K TB o n d d u e 7/1/12
20 . MS New York Genl Obl ig RefSer -C due A Interest K T
4 / 1 5 / 1 3
21 . Morgan Stanley LIPA 5.60 Zero Coupon A Interest K TBond d ue 6 /1 /14
22 . MS N YS Power Auth Rev Ref Ser -C 4% B Interest K Tdue 11/15/20
23 . MS N YC Genl O bl ig Ser -I 4% Due 2 /1 /22 C Interest L T
24 . M S I n v e s co GL B D I V GW Sec A A Div idend J T
25 . MS Invesco Spec ia l Va lue A A Div idend K T
26 . MS Sp ecia l Growth Fund A A Div idend J T
27 . MSFocus Growth Fd A A Div idend J T
28 . MS O ppen . AMT Free NY Mun D Div idend L T
29 . MS Frank l in NY Tax FR B Div idend K T
30 . MS Goldm an Sachs High Yld Mu ni A A Div idend K T
31 . JPMorgan Federa l Money Market Fund - A Div idend K TMorgan
32 . Fiduc ia ry Holdings (SS) (Y)
33 . -Morgan Stan ley Bank Depos i t Program (Y)
34 . -MS M TA NY Trans it Zero Coupon Bond
due 7 /1 /13 (Y)
(~)
Iden t i ty of
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 )
I. Incom e Gain Cod es: A -$1.000 or les s B =$1,001 - $2.500 C =$2.501 - $5,000 D =$5.001 - $15.000
(See Colum ns B 1 and IM ) F = $50.001 . $100.000 G =$100.001 - $1.000.000 1 1 1 = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0 112 =M ore than $5.000.000
2. Value Codes J =$15.0~O or less K =$15.001 - $50.000 L =$50.001 - $100.000 M =$100.001 - $250.000
{see Columns CI and D3} N =$250.001 - $500.000 O $500.001-$1.000.000 pI -$1.000.001 - $5.000.0~1 P2 = $5.000.001 - $25.000.000
P3 =$ 25,000.001 - $50,000.000 P4 =Mo re than $50.000.000
3. V alu e M cthod Cod es Q =Ap praisal R ~ost {Rcal Estate Onlyl S =Asse s sme nt T =Cash Markc~
(See Colnm n C2) U =Book Value V =Olhcr W =Es l i ma l cd
E = $15 .0 0 1 - $50 .0 0 0
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FINANCIAL DISCLOSURE REPOR T
Page 6 of 10
N a m e o f P e r s o n R e p o r t in g
Sack, Robert D.
D a t e o f R e p o r t
05/10/2011
V I I . I N V E S T M E N T S a n d T R U S T S - income, vol.e, ~ ....i o ~ (lnclude~ those of spouse and dependent children; see pp. 3 4 - 6 0 of filing instruction~)
N O N E (No reportable income, assets, or transactions.)
Description of Asse ts I n c o m e d u r i n g
(in clu d in g tru s t as s ets ) rep ortin g p eriod
~ (I) (2)Place "(X)" after each asset [ A m o u n t Type (e . g . ,
e x e m p t f r o m p r i o r d i s c lo s u r eI Code I
div . , rent ,
[ (A-Illor int . )
Gros s va lue a i r end
o f r e po r t i n g p e r i o d
(I) (2)
V alu e V alu e
C od e 2 M ethod
(J-P) C o de 3
( Q - W )
T ran s a c t i on s du r i n g r e po r ti n g pe r i o d
(I) (2) (3) (4)
T y p e ( e . g . , D a t e V a l u e Gain
buy, sell, m m/dd /yy Code 2 C o d e 1
r e d e m p t i o n ) ( J - P ) (A-H)
( 5 )Iden t i ty of
buyer/ se l le r
( i f p r ivate
t ransac t ion)
35 . -Morgan Stanley Frankl in NY Tax Free lnc
( Y )
36 . -MS Opp en AMT Free NY Mun (Y)
37 . Neuberger State Street Mid Cap G row th A Dividend J
Investor Class
38 . Ameriprise IRA Portfolio (AH) G Int./Div. PI
T
T
39 . -Ameriprise Insured M oney M arket
40 .
41 .
42 .
43 .
44 .
!45.
46 .
47.
48 .
- INV VK MUNI INCOME-A INVESCO
FUNDS (new name) (X)
-BLKRCK EQTY DIVIDEND-A
BLACKROCK FUNDS
-DWS Short DUR P lus - A DWS Fun ds
-Eaton Amt M uni Bd Inc-A Eaton VanceGroup
-Fid Adv Float Rt H /Inc-A Fidelity Advisor
F u n d s
-GAB EQUITY INCOME-A GABELLIFUNDS
-Ivy Asset Strategy-A W addell & Reed
F u n d s
-M FS Muni Lid Maturity-A M FS Family of
F u n d s
-Opp I n t l Bond-A Oppenheimer Funds
Bu y 04/28/10 K
Sold 05/28/10 J
(part)
Bu y 07/28/10 M
49 .
50.
-Opp Gold & SP Minera l s -A OppenheimerFunds
-Opp L td I n term Mun i -A Oppenheimer
Funds
-Opp Developming M kts-A OppenheimerF u n d s
Sold(part)
04/23/10
I. Income Gain Codes: A =$1,000 or les s B =$1,001 - $2.500 C = $2,501 - $5,000 D =$5.001 - $15,000
(SCColumn s B I and D4) F = $50.001 - $100.000 G = $100.001 - $1.000.000 I I I = $ 1. 00 0. 09 1 - $ 5. 00 0. 00 0 1 12 = Mo re th an $ 5. 00 ~. 00 0
2. Value Codes J =$15,000 or less K =$15.0OI - $50.000 L = $ 5 0 . 0 O I - $ 1 0 0 . 0 O O M =$10~.001 - $250.0OI
(S,:e Colum~.~ CI and D3) N =$250.001 - $500.00~ O =$500.001 - $1,~.0OO PI =$1,000.0OI - $5,000,000 P2 -$5.000.001 - $25,000.000
P3 =$25.000.0OI - $50.0~0,000 P4 =More than $50.00~,000
3. V alu e M ethod Cod es Q =App raisal R =Cost {Real Estate Only) S =Asse s sme nt T =Cash Market
(S¢¢ Co lumn C2I U -Book Va lue V =Other W =Es t i ma ted
E = $ 1 5 , 0 0 1 - $ 5 0 . 0 O O
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FINANCIAL DISCLOSURE REPORT
Page 7 of 10 Ia m e o f P e r s o n R e p o r t i n g
Sack, Robert D.
D a t e o f R e p o r t
05/I0/2011
V I I . I N V E S T M E N T S a n d T R U S T S - in . .. .. . ’ a l u e , t r a n s a c t i o n s (Includes those of spouse and dependent children; see pp. 3 4 - 6 0 of f!llng instructlon~)
[] NONE (No reportable income, assets , or transactions. )
Descript ion o f Asse ts I n c om e d u r i n g
(i n c lu d in g tru s t as s ets ) rep ortin g p eriod
O) (2)
Place "(X)" after each asset A m o u n t Type (e . g . ,
e x e m p t f ro m p r i o r d i s c lo s u r e Code 1 div . , rent ,( A-H ) or i n t . )
Gro s s v a l ue a t e nd
o f r e po r t i n g pe r i o d
(1) (2)
V a l u e V a l u e
C o de 2 Method
(J-P) C o de 3
( Q - W )
(l)
Type (e . g . .
buy, se l l ,
r e de m p t i o n )
T ran s a c t i on s du r i n g r e po r ti n g pe r i o d
(2) (3) (4) ..... (5 )
D a t e Value G ain I d e n t i t y o f
m m ! d d / y y Code2 Code 1 .... b u y e r / s e ! l e r
(J-P) iA-H): (if private
t r a n s a c t i o n )
52.
53 .
54.
-Pimco Total Retum-D Allianz G lobalI n v e s t o r s
-Perm Potafolio Permanent Family of Funds
S o l d 05/28/10 J D
( p a r t )
S o l d 07/27/10 M D
55. - O p p L t d T e rm N Y M u n i - A O p p e n h ei m e r
F u n d s
56. -Am e r T/E B ond o f Am e r -A Ame r ic an
F u n d s G r o u p
57. - V K M u n i I n co m e - A V a n K a m p e n F u n d s(na me c ha nge ) (Y )
58. - V a n E c k G L H a r d A s s e t s - A V a n E c kG l oba l F unds
59. -BI ackrock Mu n iho ld in g s New York I n s u redF u n d I n c
60. -N uve e n N e w Y ork Inv t Qua l i t y Mun ic i pa lF u n d I n c
61. -D rey S hr t I n t Mu n i Bd -D D rey fu s Grou p S o ld 07/27/10
62 . - B LK R C K E QTY D I V ID E ND - ABLACKROCK FUNDS
63. -Eaton Amt M u n i B d l n c -A E a t o n V an ce
Group
64. -Fid Adv Float Rt H /Inc-A Fidelity Advisor
F u n d s
65 . -G ld High Yield M uni-A Goldman Sacks
Asset M gmt
66. -M FS M uni Lid -Maturity-A M FS Family ofF u n d s
67. -Opp Amt FreeNY M uni-A Oppenheimer
F u n d s
B u y 07/28/10
68. -Pioneer Amt-FreeM uni-APioneer Funds
I. Income Gain Codes: A =$1.000 or less B = $1.0O f - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000
( See Columns B I and D4 ) F =$50,001 - $100,00O G =$ 100.001 - $ 1,000.000 I 1 1 = $ 1 ,0 G O ,0 0 1 - $ 5 .0 0 0 ,0 0 0 1 1 2 =M o r e th a n $ 5 .0 O O , 0 0 0
2. Value Codes J =$15.000 or less K =$15.001 - $50.00~ L =$50.001 - $100.000 M =$100.001 - 5250.000
(See Columns CI and D3) N =$250.001 - $500,0~O O = $5 00 .0 01 - $ 1.0 00 .0 00 P I = $1 ,0 00.0 01 - $ 5,00 0,0 00 P2 =$5.000,001 - $25,0~0.000
P3 =$25.000.001 - $50.0~O.000 P4 =Mo re than $50.000.0(~)
3. Value Method Codes Q =App raisal R =Cost (Real Estate Only) S =Assessmen t T =Cash Markel
ISce Colum n C2) U =Book Value V =O ~.h~ W = Es l ima led
E =$15 ,001 - $50.000
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FINANCIAL DISCLOSURE REPORT
Page 8 of 10
Name of Person Reporting
Sack, Robert D.
D a t e o f R e p o r t
05/10/201 I
V I 1 . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , ~ r a n s a c t i o n s ~ t n c l u d e s t h o s e of spouse and dependent c h i l d r en ; s e e p p . 3 4 - 6 0 of filing instructions.)
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 T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d
( inc luding t rus t a s se ts )
Place "00" after each asset
e x e m p t f ro m p r i o r di s c l o s u re
I n c om e d u r i n g Gross va lue a t end
rep orlin g p eriod o f rep ortin g p eriod
(1) (2) (I) (2) (1) (2) (3) (4) (5 )
A m o u n t Type (e . g . , V alu e V alu e Type (e~g. , D a ~ : e V alUe Gain Iden t i ty ofCo d e I div . , rent , C o de 2 Method buy, sell, m m / d d / y y C o de 2 Code 1 buyer/ se l le r{ A - H ) or int . ) (J-P) C od e 3 red em ption ) (J-P) ( A - H ) ( i f p r ivate
( Q - W ) transac t ion)
69 . -Amer T/E B ond of Amer-A American
Funds Group
70 . -Virtus Tax Exempt B ond-A Virtus Funds
71 . - Fred Alger Large Cap G rowth IRA
72 . - Franklin Intermediate Fixed Income IRA
73. - S p ec t ru m Hybr id P re fe r red I RA
74. - Rena issance Interna t iona l Equity IRA
75. - A l l i a n cebems t e in La rg e Cap Core I RA
76. - Mu n d e r Mid Cap Core IRA
77. - RiverSource Ret irement Advisor 4
Adva n t a ge V A-Annu i t y
I. Income Gain Codes: A =$1.000 or less B = $1.001 . $2.500 C =$2,501 - $5,000 D =$5.001 - $15,000
(See C01umm BI and IM) F =$50.001 - $100.000 G = $100.00l. $1.000.000 III =$1.000.001 - $5.000.000 112 =More ~han $5.000.000
2. Value Codes J =$15.000 or Ic’ss K ~$15,001 - $50.000 L =$50.001 - $100.000 M = $ 1 0 0 . 0 0 1 - $ 2 5 0 .1 3 ~ 0
(See Co lumns CI and D3) N =$250,001 - $500,000 O =$500.001 - $1.000.000 P I = $ 1 ,0 00 .0 01 - $ 5 ,0 00 ,0 ~ 1 P 2 = $ 5. 00 0, 00 1 - $2 5 ,0 00 .0 00
P3 =$ 25.000.001 - $50.000,000 P4 =M ore than $50,000,000
3. V alu e M ethod Cod es Q =Ap praisal R =Cost (Real Estate Only) S =Asscssmc’at T =Cash Markcl
(See Colum n C2) U =Book Va l ue V =Olhcr W =Est imated
E = $15 ,0 0 1 - $50 ,0 0 0
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FINANCIAL DISCLOSURE REPORT
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N a m e o f P e r so n R e p o r t i n g
Sack, Robert D.
D a t e o f R e p o r t
05/10/201 I
VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicate part of report)
A p end ing c la im ag ains t Wor ldcom i s curren t ly in l i t i ga tion (02 C ir . 3288 (DLC)) . The worth o f that c la im cannot be d eterm ined a t th i s t ime.
L ine 32-36 , F iduc iary Hold ing s , are no longer repor tab le. As o f November 2010, a new t rus tee has been appo in ted . These l ines w i l l be de le ted f rom fu ture
reports.
Regard ing l ine 40 and 57 : VK MUN I INCOME -A VAN KAM PEN FUND S (L ine 58 on the 2009 Repor t) exper ienced a name change on 6 /1 /10 and i s now INV
VK M LrNI INCOME-A INVESCO FUNDS.
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FINANCIAL DISCLOSURE REPORT
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Name of Person Repor ting
Sack , Rober t D.
Date of Report
05/10/2011
IX . CERTIFICATION.
I cer ti f y tha t a ll i n f o rm at i on g i ven above ( i nc l ud i ng i n fo rm at i on per ta i n i ng to m y s pouse and m i no r o r dependen t chi l d ren , i f any ) i saccu ra te , true , and com p l e te to the bes t o f m y knowl ed ge and be l i e f , and tha t any i n fo rm at i on no t repo r ted was w i thhe ld because i t m et app l i cab l e s t a tu to ryprov i s i on s perm i t t i ng non - d i s c l o su re .
! fur ther cer t i fy that earned in com e f rom ou ts ide em ploym ent and hon orar ia and the acceptance of g i f t s which have been repor ted are incom pl i ance wi th the p rov i s ions o f 5 U.S.C. app . § 501 e t . seq. , 5 U.S.C. § 7353 , and Jud ic i a l Conference regu la t ions .
Signature: S] Robert D. Sack
N O T E: AN Y IN DIV IDUAL W H O K N O W IN G L Y AN D W IL F UL L Y F AL SIF IES O R F AIL S TO F IL E T H IS R EPO R T MAY BE SUBJ EC T T O C IV ILAND CR IMINAL SANCTION S (5 U.S.C. app. § 104)
Commit tee on F inanc ia l Disc losureAdminis trat ive Off ice of the United States CourtsSuite 2-301O ne Colum bus Circle , N.E .W ash ing ton, D.C. 20544