POSITION NAME ORGANJZA

PARTIES AND TERMS

.. C-1

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO 10 in Go\'ernment Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C. opp.§§ JOI-JI I)

I. Person Reporting (last name, firs middle initial)

Hellerstein, Alvin K.

2. Court or Ori:anlzallon

U.S. Disuict Court - NY-South

3. Dale of R•port

07/22/2010

4. Tidt (Article Ill judges indi<atc active or senior status; magistrate judges indicate full- or pan-time)

U.S. District Judge (Active)

Sa. Rtport Type (check appropriate type)

D Nomination, Date

D Initial [{] Annual D Final

6. Reportlni: Period

01/01/2009 to

12131/2009Sb. D Amended Report

7. Chambers or Office Address

United States District Court 500 Pearl Street· Room 1050 New York, New York 10007

8. On the ha.ls of tht information contained In this Report and any modifications pertaining thereto, it is, in my opinion, ht compliance with applicable laws and rq:ulationl.

Reviewing Officer Date

IJIJPO RT ANT NO TES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

J. PO SJTI 0 NS. (Reporting lndivid11al only; see pp. 9-13 of filing instr11ctiom.)

[lJ NONE (No reportable positions.)

OF TI ON/ENTITY

I.

2.

3.

4.

5.

II. AGREEMENTS, (Reporting /ndMd11a/ only; supp. U-16 of filing lnstructiom.)

D NONE (No reportable agreements.)

,.. . .

c-: ... "

N co

J>

-;Q

U1 Ul

: l • • t

· -· -,'.''••1 . .

r·.1 0

I. 111196 Stroock & Strooek & Lavan LLP, former law firm (Pension Plan for retired partners)(No Control)

2. 111/89 Stroock & Stroock & Lavan Retirement Plan (management of firm's IRA and 40 I K plans)(No Control)

3. l/l/84 Stroock & Strooek & Lavan Investment Partnership (No Control)

Hellerstein, Alvin K.

SOURCE

SOURCE AND TYPE

SOURCE DATES LOCATION

I.

PURPOSE

INCOME

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 2 of8

Name or Person Rrportin&

Hellersteln, Alvin K.

III, N Q N-INVES TMENT JN C 0 ME. (Reporting indMtlual ond Sf!Qust: SU pp. 17-U of fl/Ing instruction$.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

AND TYPE

Dair or Report

07/2212010

(yours, not spouse's)

I. 2009 Pension from former law finn $430,468.00

2.

3.

4.

B. Spouse's Non-Investment Income - ljyou were married during any portion of the rtporting year, complete this section. (Dollar amount not required except for honoraria.)

[ZJ NONE (No reportable non-investment income.)

I.

2.

3.

4.

JV• REIMBURSEMENTS - transportation, lodging.food, •nlertainmenL

(Includes those to spouse and deptndent children; see pp. 25-27 of filing instructions.)

[ZJ NONE (No reportable reimbursements.)

2.

3.

4.

5.

SOURCE DESCRIPTION

of fiUng

CREDITOR DESCRIPTION

VALUE

VALUE CODE

FINANCIAL DISCLOSURE REPORT

Page 3 of 8

Name or Person Reporting

Hellersteln, AMn K.

Date of Report

07/22/2010

V, GJFf S, (lnduder those lo •poll.Se and dtpendenl children; see pp. 18-JJ of filing instrucrians.)

[Z] NONE (No reportable gifts.)

I.

2.

3.

4.

5.

VJ. LJABJLJTJES. (Includes tho•e of spouse and dependenl children; see pp. J1-JJ instructions.)

D NONE (No reportable liabilities.)

I. Chase Mortgage Corp. Mortgage, condominiwn K

2.

3.

4.

5.

i I

I

I

13.

14.

15.

(4) i

Daleo r Report Namt or Person Reportin FINANCIAL DISCLOSURE REPORT

Page 4 of8 Hellerstcln, Ahin K. 07/2212010

VII. INVESTMENTS and TRUSTS - income, l'Q/ue, lransaclions (Includes those of spouse and dependent children; SU pp. 34-60 of jilirrg lnstructiorrs.)

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

c. D.A. B. Gross value at end Transactions during reporting period Income during Description of Assets of reporting period (including !rust assets) I reporting period

(2)(I) (2) (I) (3)(2)(I) Da1eValue ValueAmount Type (e.g.,Type (e.g .• Gain

(5)Place "{X)" after each asset

exempt from prior di.sciosurc Identity of

buyerlsc Iler Value

Code I Code Immidd/yy Code2Code 2 Method buy, sell,div.. rent,.

redemption(A-II) (A-11) (ifprivateCodc3or int.) (J-P) ( J-P

) ) transaction)(Q-W)

I. New York City Condominium F Rent Pl w

J P Morgan/Chase A Inrercst2. M T

c Dividend T3. Franklin Templeton Mut. Qua!. Fund (IRA) M

4. Dreyfus Mon y Market Funds (Spouse) A K Te Interest

5. Stroock & Stroock & Lavan Retirement Plan Pl T (See fn. 1)

6. -1 shares Barclays Agg. Bond Fund

7. - Alliance Bernstein Equity Fund (See fn. 2)

8. - Thornburg Inv. Mgmt (See fn. 2)

9. - Turner Inv. Partners Fund (See fn. 2)

fn. 2) 110. - C.S. McKee, L.P. (Sec

11. - Brandes Inv. Part. Fund (Sec fn. 2)

12. • Westfield Capital Mgmt. (See fn. 2)

- TimcSquarc Cap. Mgmt. (See fn. 2)

- Macquarie Allegiance C p.a Fund (Sec fn. 2)

- Cramer Rosenthal McGlynn (see fn. 5)

16. S&S&L Investment Partnerships (See fn. 3) A Dividend J T

17. - Warburg Pincus Funds

l. Income Gain Code&: A -1t.OOO or less B •Sl,001 • Sl.500 C =S2,501 - $5,000 o-ss.oot-s1s.ooo E •Sll.001 • Sl0,000

(Sec Colwnns Ill and 04) F •SlO,OOt • SI00,000 G •SI00.001 · St,000,000 111 •Sl,000,001 - B,000,000 H2 =Mo<e llwi Sl,000,000 2. Vall1C Codes J •SI l,000 <>< kss K •Sll,OOt - SS0.000 L =SS0,001 • $100,000 M •SIOO.OOt - $250,000

(SctColwnns Cl and DJ) N •S2 ,00t • S!00,000 O•S500,00t • Sl,000,000 rt •Sl.OOO,OOl -SS,000.000 P2 =SS.000.001 - US.000.000 PJ ·S .000.00t • Sl0,000.000 P.C •MorC" than S 0,000,000

J, Value Mc'hod Codes Q •Appr>isal R <oS1 ( Rul E>tatc Onl)) S AucnmeDT T=CubMarkc< (Sec Columa C) U •Book Value; V =01hcr W =Estimated

I

18. - Loeb Partners Investments

19. State ofisrael Bonds A Interest J T

20. Gilead Sciences Inc. None L T

21. Regeneron Pharmaceutical None J T

22. Coventry Health Care Inc. None J T

23. Citibank Bank Dep. A Interest L T

24. Northwestern Mutual (Life Ins.) (Sec Footnote 4)

25. Gold Fields Ltd. A Dividend J T

26. I Shares TR MSC! EAFE Index Fund B Dividend L T

27. I Shares Russell 1000 Value Fd. B Dividend L T

28. I Shares Russell 1000 Growth Fd.

29. I Shares Russell I000 Index F d.

B

B

Dividend

Dividend

L

L

T

T

30. I Shares Russell 2000 Value Fd.

31. I Shares Russell 2000 Growth Fd.

32. I Shares Trust US FinSvc

A

A

A

Dividend

Dividend

Dividend

K

K

K

T

T

T

33. Newmont Mining Corp. A Dividend J T

34. Skillsoll PLC ADR None Donated 12129109 J

FINANCIAL DISCLOSURE REPORT

Page 5of8

Name of Penon Reportloi:

Hellerstrln, Ahin K.

Date of Report

0712212010

v II. INVESTMENTS and TR us TS - incom-. V(l/ue, transactions (Includes those of spouse and dependent children; SU pp. U-60 of filing instructions.)

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

A. Description of Assets

(including trust assets)

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

B. c. D.

Income during Gross value at end Transactions during rcponing period

reponing period of reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (S) Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of Code I div., rcn4 Code 2 Method buy, sell. mm/ddlyy Code2 Cod< I buyer/seller (A-H) or int.) (J-Pl Code 3 redemption) (J-P) (A-H) (if private

(Q-W) uan .. ction)

I. ln.romc:: Ga111 Codes: A •Sl,000 orkos B cSl,OOt • U.500 C •S2. I • SS.000 D •SS.001 • S 15.000 E >$ 15,001 - S50.000 (Sec CoJumnt Bl and 04) F •U0,001 -$100,000 G •SI00.001 • Sl,000.000 Ht -s1,ooo.001 • ss.000.000 IU -MOR than SS,000,000

2. Value Code• J •$15.000 or lc5' K -115,001 - $50,000 L >S50.CIOl - Sl00.000 M •$100.001 - $250.000 (Sec Column• Cl azld Dl) N •S250.001 - S500,000 0 •S500.00I • Sl,000,000 Pl 1.000.001 • S5.ooo.ooo l'2 •15.000.001-szs.000.000

P3 •$25.000,001 • $50,000,000 P4 •Mor<: than SS0.000,000 3. Value MC"lhod Codes Q•Appraiul R =Cost (Real Estate Ooly) S ,..A.ssc:ssmc:at T =Cash Market

(See Column C) U •Boot Value V-other W •Esrimared

I

I

A.

Dalt or Report Name or Penon Rrportini: FINANCIAL DISCLOSURE REPORT

Page 6 of8 0712212010Hellerstein, Alvin K.

VII. INVESTMENTS and TRUSTS -income. •alut, lransactioru (Includes those of spouse and dependent children; see PP· 34-60 of filing in.<1ruc1ion5.)

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

Description of Assets

(including trust assets)

Place "(X)" after each asset

exempt from prior disclosure

B. c. D.

Income during Gross \'&luc at end Transactioru during reporting period

reporting period of reporting period

(I) I (2) Amount 1 Type(c.g.• Code I i div. rent, (A-H) or int.)

(I) Value

Codc2 (J-P)

(2) Value

Method Code 3 (Q-W)

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

redemption)

(2) Date

mm/dd/yy

(3) Value

Codc2 (1-P)

(4) Gain

Code I (A·H)

(l) lde11tiry of

buycriscller (ifprivate

transaction)

35. Vanguard Emergency Mkts ETF (Sec A Dividend K T Footnote S)

1. lnoome G1in Code•: A •Sl,000 or less B •$1,001. $2.500 C =S2,5(JI • SS,000 o -ss,001. us,ooo E •SlS,001 • $50,000 (S.. Column1 Ill and 04) F •SS0,001 • $100,000 G•SIOO,OOl -Sl.000,000 Ill -s1,ooo.001. ss,000.000 H2 •Mou than SS,000,000

2. Value Codes J .,.$1S,000 or l SI K -SI l,00 I • Sl0,000 L -sso,001. s100.ooo M •SJ00.001 • $250,000 (S<c Columns Cl and Dl) N •S250.00I • SS00,000 0 •SS00.001 • Sl.000,000 Pl •Sl,000,001 -S5,000,000 P2 •55,000,001 • SlS,000,000

Pl •S2l,000,00I • $50,000,000 P4 ·M0<c th .. sso.000.000 3. Value Method Cod""t Q•Appniul R =Cost (Real Estate Only) S •A.ucssmrnt T•Cash Marled

(Sec Columo C2) U •Bool< Value V :i;;()1bcr W== imakd

L__:md

Page 7of8

011• of Report Name of Pcnon Repor1ln1 FINANCIAL DISCLOSURE REPORT 07/22/2010Hellerstein, AMn K.

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndiclll partofR porl.)

Footnote I - Results of investments, inclusive of realized and unrealized gains and losses and dividends and distributions, are reported to me quarterly and for year end. A separate figure for dividends was not reported to me. No gain or loss is reported, since the investment qualifies as an JRN401-K. No redemptions were made during 2009.

Footnote 2 -- During the first quarter of calendar year 2009, investments for my account in Lehman I Shares Bond Fund were closed and all funds were rolled over into I Shares Barclays Agg. Bond Fund. Other changes reflect name changes or corrections.

Footnote 3 -- Various of the entities in which S&S&L Investment Partnership invested were sold on various dates during 2009. The gains and losses are reported at the end of the year in Kl reports . The identities of buyers and sellers are not given.

Footnote 4 -- Cash value and dividends are applied to premiums, resulting in paid-up life insurance, payable on the second to die between me. Hence, the policy does not pay dividends, and has no gross value.

Footnote 5 -- Jn April 2008, funds from other managed accounts were rolled over to be managed by Cramer Rosenthal McGlynn, and continued so to be managed throughout 2009. Inadvertently, my listing of managed accounts for the 2008 year did not include Cramer Rosenthal McG!ynn.

Date of Report Name of Person Rcportinc FINANCIAL DISCLOSURE REPORT

Page 8of8 Hellerstein, Alvin K. 07/2212010

IX. CERTIFICATION.

I certify that all information given above (including Information pertaining to my spouse and minor or dependent children, if any) u accurate, true, and complete lo the best of my knowledge and belief, and that any Information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further certify that earned Income from outside employment and honorarla and the acceptance of gilts which have been reported arc in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULL A ND CRIMINAL SANCTIONS (S 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