southern district of new york new york, new york …...j filing 1 0 ..., = united states district...

CJ

Filing '1

0

........, =

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

UNITED STATES COURTHOUSE

SOO PEARL STREET

NEW YORK, NEW YORK 10007-1312

CHAMBERS OF

SIDNEY H. STEIN

UNITED STATES DISTRICT JUDGE

Committee on Financial Disclosure Administrative Office of the United States Courts One Columbus Circle, N.E. Washington, DC 20544

Re: Calendar Year 2005

Dear Committee:

November 2, 2006

= en 0- AS0 ::2: 0.-.,,- c:> rn

-=::::cnZ (") c:> I ::oz 0- m fTIO -Ol> <)>-...,r- m-. . iTl 0

I write in response to your letter dated October 11, 2006.

Part I, line 1, should read "President .and Member, Board of Directors, -der the heading ''Position." As set forth on the financial disclosure report, that

entity is a not for rofit cooperative housing corporation

Part VII, page 6, line 49, column B(l), should read "A."

I believe this responds in full to your enquiries.

I I

POSITION ORGANIZATION/ENTITY

PARTIES AND TERMS

,....., C';'.;:) c_J

<;""")

...,., ,. 0�::: : ;! -

- ·-

C) I

;o

3.

5.

I.

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AOlO in Government Act of 1978 Rev. 112006 FOR CALENDAR YEAR 2005 (5 U.S.C. app. §§ 101-111)

3. Date of Report 1. Person Reporting (last name, first, middle initial) 2. Conrt or Organiution

STEIN, SIDNEY H U.S. Federal District Court 8/17/2006

6. Reporting Period 4. Title (Aiticle III judges indicate active or senior sta!,ns; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time) 0110112005

Nomination, Date toD

U.S.D.C. Judge - Active Status Initial Annual Final 12/31/2005D D

Sb. Amended Report D 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, In compliance with applicable laws and regulations. U.S. Courthouse

500 Pearl Street New York, New York 10007-1312

Reviewing .Officer Date

IMPORTANT NOTES: 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.

I. POSITIONS. (Reporting individual only; see pp. 9-13 of Instructions.)

D NONE (No reportable positions.)

NAME OF

I. President and Member, Board of Directors

2.

4.

........,

--(/)

er

c:::

rn G) ()

".::::::, 'Yl"' .--. .. : .,.. ·

N c.n rn

-==-

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of Instructions.) < o:;: ... }> rn NONE (No reportable agreements.)

0 N Ul

2.

3.

SOURCE AND IYPE

SQURCE AND IYPE

SQURCE DESCRIPTION

INCOME

3.

4.

5.

8/17/2006

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page2 of29 STEIN, SIDNEY H

III. N 0 N-INVESTMENT IN co ME. (Repordng individual and spouse; see pp. 17-2'1 of instructions.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

1. 2005 West Group- Royalty

(yours, not spouse's)

$ 3,903.34

2.

5.

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

(Dollar amount not required except for honororia.)

D NONE (No reportable non-investment income.)

1. 2005

2.

3.

4.

IV. REIMBURSEMENTS -transportation, lodging, food, entertainment.

(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

IKJ NONE (No reportable reimbursements.)

1.

2.

3.

4.

5.

SOURCE DESCRIPTION

CREDITOR DESCRIPTION YALUECODE

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3 of29 8/17/2006STEIN, SIDNEY ll

V. GIFTS. (lnc/11des those to spouse and dependent children. See pp. 28-31 ofinstr11ctlons.)

NONE (No reportable gifts.)

VALUE

1.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those ofspo11se and dependent children. See pp. 32-34 ofinstr11ctions.)

NONE (No reportable liabilities.)

1.

2.

3.

4.

5.

A.

2.

Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page4 of29 STEIN, SIDNEY H 8/17/2006

VII. INVESTMENTS and TRUSTS -income. vatue, transacfiqns (includes those of"'• spouse and dependent children. See pp. 3-t-s1 of.filinx instrucwnsJ

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

Des cription of Assets

(inclu ding trus t as set s )

Place "(X)" after each as set

exem p t from prior discl ostire

B. c. D.

Income during Gross value atend of Transactions du ring reporting period reporting period reporting period

(1) (2) (!) (2) (I) Ifnot exempt from discloSU1C

Am ount Type(e.g. Value V alue Type(e.g . (2) (3) (4) (5) Code I div., rent, Code2 Method buy, sel l, Date Value Gain Identity of (A-H) or inl) (J-P) Code3 mer ger, M onth- Code2 Code I buyer/seller

(Q-W) redem p tion) Day (J-P) (A-H) (if private

lransaction)

I. MONEY MARKETS

3. JPMORGAN U.S. GOVT. E Interest M T Part Sale 2-25 0

4. DREYFUS MUNI MKT c Interest M T

5. COMMON STOCKS

6. BANKAMERJCA CORP. COM Buy 8-1 L

7. BANKAMERJCA CORP. COM. D Dividend M T Buy 9-13 K

8. BERKSHIRE HATHAWAY CORP. None Pl T COM

9. FEDERAL NATIONAL MTG ASSN Buy 4-13 K COM.

10. FEDERAL NATIONAL MTG ASSN Buy 8-1 K COM.

11. FEDERAL NATIONAL MTG ASSN B Dividend L T Buy 11-2 K COM.

12.5180 GRANT AVENUE CORP. D Dividend Pl w

13. MICROSOFT CORP. COM. Buy 3-10 K

14. MICROSOFT CORP. COM. B Dividend M T Buy 8-1 K

15. ARROW ELECTRJC None Sold 8-7 J B

16. ARROW ELECTRJC Buy 8-1 J

17.ARROW ELECTRJC None K T Buy 8-24 K

I. Income Gain Codes: A=$1,000orless B-$1,001 -$2,500 C-$2,501 -$5,000 D =$5,001 -$15,000 E=$15,001 - $50,000

(See Columns BI and 04) F-$50,001-$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 112 =Mom than$5,000,000

2. Value Codes J =$15,000 or less K=$15,00l -$50,000 L=$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and 03) N=$250,001 - $500,000 0=$500,001 -$1,000,000 Pl -$1,000,001 -$5,000,000 P2 -$5,000,001 -$25,000,000

Codes P3 -$25,000,001 -$50,000,000 R =Cost (Real Estate Ooly) P4 =Mom than $50,000,000 T=CashMarl:et

(See Column C 2) V=Other

3. Value Method S =Assessment

U=Book Value W=Estimated

Q =Appraisal

'

Date or Report Name or Person Reporting FINANCIAL DISCLOSURE REPORT

Page 5 of29 8/1712006STEIN, SIDNEY H

VII. INVESTMENTS and TRUSTS -income, vatue, transactions (inctudes those of the spouse and dependent children. s.. PP· 11-51 of filing instructions)


A.

Description of Assets

(including trust assets)

• Place "QC)" after each asset exempt from prior disclosure

B.

Income during

reporting period

c.

Gross value at end of

reporting period

D.

Transactions during reporting period

(I) (2) (I) (2) (I) Ifnot exempt from disclosure

Amount Code 1

(A-H)

Type(e.g. div., rent.

or int.)

Value

Code 2 (J-P)

Value

Method Code 3

(Q-W)

Type(e.g. buy, sell, merger,

redemption)

(2) Date Month-Day

(3) Value

Code2

(J-P)

(4) Gain Code I (A-H)

(5) Identity of buyer/seller (ifprivate

tr.msaction)

18. CSX CORP. Part Sale 4-22 J B

19. CSX CORP. Part Sale 7-29 L E

20. CSX CORP. A Dividend L T Buy 8-1 K

21. NORFOLK SOUTHERN A Dividend L T Buy 8-1 K

22. AMERICAN ELECTRIC POWER Part Sale 4-22 J

23. AMERICAN ELECTRIC POWER A Dividend J T Part Sale 8-2 K D

24. CHUBB CORP. Part Sale 4-22 K c

25. CHUBB CORP. B Dividend M T Buy 8-1 K

26. COOPER TIRE & RUBBER A Dividend J T

27. FEDERATED DEPT. STORES A Dividend Sold 7-18 K E

28. INGRAM MICRO INC. Part Sale 4-22 J A

29. INGRAM MICRO INC. None Sold 7-29 K c

30. OCCIDENTAL PET. B Dividend M T Buy 8-1 J

31. SUPERV ALUE INC. A Dividend K T Buy 8-1 J

32. VF CORP. A Dividend J T Part Sale 2-2 K E

33. WISCONSIN ENERGY B Dividend L T Buy 8-1 K

34. AMERICAN INT'L GROUP INC. Buy 8-1 K

I. Income Gain Codes: A s:St,000 or less B=Sl,001-$2,500 C =$2,501 • $5,000 D =$5,001-$15,000 E =$15,001 • $50,000

(Sec Columns BI and 04) F=$50,001-$100,000 G =$100,001-$1,000,000 HI =$1,000,001 -$5,000,000 H2 -M= than $5,000,000

2. Value Codes 1 =$15,000 or less K =$15,001 -$50,000 L=SS0,001-$100,000 M =$100,001 -$250,000

(SccC.lumos Cl and 03) N s$250,00I -$500,000 0=$500,001 • $1,000,000 Pl =Sl,000,001-$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R "°'51 (RealEstate Only) P4 ore than $50,000,000 T »Cash Mari:et

(Sec Column C2) Q =Appraisal V=Other S =Assessment

U =Book Value W•Estimated

A.

5-9

Date of Report Name of Penon Reporting .FINANCIAL DISCLOSURE REPORT

Page 6 of29 STEIN, SIDNEY H 8/17/2006

VII INVESTMENTS and TRUSTS -income. value, transactions fmdudes those of the spouse and dependent childrzn. see pp. 1<1-s1 offilinx instructionsJ .


Des crip tion of As set s

(inclu ding bus t asset s)

Place "(X)" after each as set exemp t from prior d iselosure

35. AMERICAN INT'L GROUP INC.

B.

Income during reporting period

c.

Gross value atend of reporting period

D .

Trans actions during reporting period

(I) (2) (1) (2) (!) Ifnot exempt from disclosure

A m ou nt Code I ( A-H)

Type(e.g. div., rent,

or int)

Value Code2

(J-P)

Value Method Code3

(Q-W)

Type(e.g . buy, sell, merger, redemption)

(2) Date M onth-Day

(3) Value Code2 (J-P)

(4) Gain Code 1 (A-H)

(5) Identity of bu yer/seller (ifprivate transaction)

A Dividend K T Part Sale 2-22 M D

36. AVNET, INC. None K T

37. BURLINGTON NORTHERN SANTA A Dividend Sold K E FE CORP.

38. NATIONAL CITY CORP. Part Sale 7-25 K D

39. NATIONAL CITY CORP. B Dividend L T Buy 8-1 J

40. TECH DATA CORP. None J T

41. COMCAST CORP. CL. A \

None K T Buy 8-1 K

42. FREDDIE MAC Buy 2-10 J

43. FREDDIE MAC Buy 8-1 K

44. FREDDIE MAC B Dividend L T Buy 12-27 K

45. LEAR CORPORATION A Dividend J T Buy 8-1 J

46. LEHMAN BROTH. HOLDINGS Part Sale 3-7 J B

47. LEHMAN BROTH. HOLDINGS Part Sale 7-6 J A

48. LEHMAN BROTH. HOLDINGS A Dividend K T Part Sale 8-31 K D

49. MAGNA INTL. INC. CLASS A Dividend K T

50. NORTEL NETWORKS CORP. None J T

51. PFIZER INC. None Sold 1-18 K

I. Income Gain C-Odes: A =$1,000 or less B =Sl,001 -$2,500 c =$2,501-$5,000 D =$5,001 -$15,000 E=$15,00l -$50,000

(See Cohunns BI and D4) F =$50,001 -$100,000 G=SI00,001 -$1,000,000 HI =$1,000,001 -$5,000,000 112 =More than $5,000,000

2. Value C-Odes J =$15,000 or less K=$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Cohunns Cl and D3) N=$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method C-Odes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4=More than $50,000,000 T=Cash Market

(See Column C2) Q =Appraisal V=Other S =AMess:ment

U =Book Value W=Estimated

A.

'

1-7

Name or Person Reporting Date or Report .FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -income, value, transactions (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions)




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

52. SMURFIT STONE

B. Income during

reporting period

c. Gross value at end of

reporting period

D.


(I) (2) (I) (2) (1) !foot exempt from disolosurc

Amount Code I

(A-H)


or inl)

Value Code 2

(J-P)

Value Method

Code 3

(Q:W)

Type(e.g. buy, sell, merger, redemption)

(2) Date

Month-Day

(3) Value Code 2

(J-P)


(5) Identity of buyer/seller (ifprivate transaction)

Buy 8-1 J

53. SMURFIT STONE None K T Buy 10-31 K

54. SOLECTRON CORP. Buy 8-1 J

55. SOLECTRON CORP. Buy 10-28 J

56. SOLECTRON CORP. None K T Buy 10-31 J

57. TELLABS INC. None K T Buy 10-5 J

58. WACHOVIA CORP. c Dividend M T Buy 8-1 K

59. APACHE CORP. None Sold 1-3 N G

60. BJ SERVICES CO. Part Sale L c

61. BJ SERVICES CO. A Dividend Sold 2-22 M F

62. BED BA 1H & BEYOND None Sold 2-22 M E

63. CONOCO PHILLIPS Part Sale 7-25 K E

64. CONOCO PHILLIPS Buy 8-1 J

65. CONOCO PHILLIPS B Dividend L T Buy 10-31 K

66. CONSTELLATION ENERGY B Dividend L T

67. COOPER INDUSTRIES CL. A None L T Buy 8-1 K

68. DELL COMPUTERS None Sold 2-22 M F

I. Income Gain Codes: A =$1,000 or less B -Sl,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E=Sl5,001-$50,000

(See Columns BI and D4) F =$50,001 • $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =Mon: than $5,000,000

2. Value Codes J -$15,000 or less K=$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and D3) N =$250,001 -$500,000 0 -$500,001 -$1,000,000 Pl -$1,000,001-$5,000,000 P2 -$5,000,001 -$25,000,000

3. Value Method Codes P3 -$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=CashMarlcet

(See Column C2) Q =Appraisal V=Otber S =Assessment U =Book Value w =Estimated

A.

Date of Report Name of Pe non Reporting FINANCIAL DISCLOSURE REPORT

Page 8 of29 8/17/2006STEIN, SIDNEY H

VII. INVESTMENTS and TRUSTS -income. value, transactions (inc1ut1e.r those of the spouse and dependent childrelL see PP. 1-1-s7 of filing instrucwnsJ



(including trost assets)

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

B.

Income during

reporting period

c.

Gross value at end or

reporting period

D.


(I) (2) (I) (2) (I) If not exempt from <lisclosure

Amount

Code I

(A-H)

Type(e.g.

div., rent, or inl)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)

Type(e.g.

buy, sell,

merger,

redemption)

(2) Date

Month -

Day

(3) Value

Code 2

(J-P)

(4) Gain Code! (A-H)

(S) Identity of

buyer/seller

(ifprivate

transactiou)

69. EBAY INC. None Sold 2-22 N G

70. GILEAD SCIENCES None Sold 2-22 M G

71. HEWLETT PACKARD Part Sale 4-22 J A

72. HEWLETT PACKARD B Dividend M T Buy 8-1 K

73. JANUS CORE EQUITY FUND (IRA) c Dividend 0 T

74. MARTEK BIOSCIENCES None Sold 2-22 N G

75. MEAD WESTVACO CORP. A ·Dividend Sold 5-27 K A

76. METLIFE INC. A Dividend L T Buy 8-1 K

77. NABORS INDUSTRIES LTD. Part Sale 1-7 M E

78. NABORS INDUSTRIES LTD. None Sold 2-22 M F

79. SCHLUMBERGER A Dividend Sold 2-22 N G

80. SPRINT CORP. (Now SPRINT Part Sale 2-22 K D NEXTEL}

81. SPRINT CORP. (Now SPRINT Buy 8-1 K NEXTEL}

82. SPRINT CORP. (Now SPRINT A Dividend M T Buy 10-5 K NEXTEL}

83. ST. PAUL TRAVELERS Buy 8-1 K

84. ST. PAUL TRAVELERS A Dividend L T Buy 10-5 J

85. ALTRIA GROUP INC. c Dividend M T Buy 8-1 K

I. Jnoome Gain Codes: A =$1,000 orless B 1,001-$2,500 c =$2,501 -$5,000 D=$5,001 -$15,000 E=$15,00l -$50,000

(Sec Columns Bl and 04) F 50,00l -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 il2 =Mon: than $5,000,000

2- Value Codes I =$15,000 or less K=$15,001 -$50,000 L =$50,001 -$100,000 M=SI00,001-$250,000

(Sec Columns Cl and 03) N 250,001 - $500,000 0=$500,001 -$1,000,000 Pl l,000,001 -$5,000,000 n s.000,001 -$25,ooo,ooo

P3 ,000,001 -$50,000,000 P4 =Mon: than $50,000,000

(See Column C2) V=Otbcr

3. Value Method Codes R =Cost (Real Estate Only) T=CasbMarlcet Q =Appraisal S ,,,;Assessment

U =Book Value w =Estimated



. VII. INVESTMENTS and TRUSTS -income, value, transactions (indudes those of the spouse and dependent childreTL See PP· 34-57 of filing instructions)

D NONE (No reportable income, assets, or transac!ior.s.)

A. Description of Assets

(including lrust assets)


B.


c.

Gross value at end of reporting period

D.


{I) (2) (1) (2) (1) If not exempt fit>m disclosure

Amount Code 1 (A-H)


or int.)

Value Code 2

(J-P)

Value Method Code 3

{Q-W)


(2) Date Month-Day

(3) Value Code 2

(J-P)

(4) (5) Gain Identity of Code 1 buyer/seller (A-H) {if private

transaction)

86. BP PLC c Dividend M T Buy 8-1 L

87. CHEVRON TEXACO (Now B Dividend M T Buy 8-1 K CHEVRON CORP.)

88. CITIGROUP INC. Buy 4-12 K

89. CITIGROUP INC. D Dividend N T Buy 8-1 L

90. CO STAR GROUP None Sold 2-22 N F

91. ENTERGY CORP. Buy 8-1 J

92. ENTERGY CORP. B Dividend K T Part Sale 8-2 K A

93. FLEXTRONICS Buy 8-1 K

94. FLEXTRONICS Buy 10-5 K

95. FLEXTRONICS None L T Buy 12-21 J

96. GENERAL ELECTRIC

97. GENERAL ELECTRIC

98. GENERAL ELECTRIC c Dividend

99. GETTY IMAGES None

100. GLAXO SMITHKLINE

101. GLAXO SMITHKLINE None

102. GOLDMAN SACHS GROUP INC.

M

'

Buy 2-10 J

Part Sale 6-28 J

T Buy 8-1 K

Sold 2-22 N G

Part Sale 2-2 K c

Sold 3-11 K D

Part Sale 3-22 M F

I. Income Gain Codes: A =Sl,000 or less B =Sl,001 -$2,500 c =$2,501 -$5,000 0=$5,00l -$15,000 E=$15,00l -$50,000 (Sec Columns BI and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =Mon: than $5,000,000

2. Value Codes J =$15,000 or less K=SIS,001-$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (Sec Columns Cl and DJ) N=$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Mcdiod Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =Mon: than $50,000,000 T=CasbMarlcet

(See Column C2) Q =Appraisal V-other S =Assessment


A. D.

(!)

(4)

(A-H)



VII. INVESTMENTS and TRUSTS -income. varue, transacwns (inc1ui1es those of the spouse and dependent chiUlren. see PP· 34-s1 of filing instrucwnsJ


B. c. Description of Assets Gross value at end of Income during Transactions during reporting period

(including trust assets) reporting period reporting period

Ifnot exempt fi'om disclosure(2)(2) (!)(1) Value ValueAmouotPlace "(X)" after each asset Type(e.g. Type(e.g. (3)(2) (5)

Code I div., rent, Code 2 Methodexempt from prior disclosure buy, sell, Value GainDate Identity of or int) Code 3 (J-P) merger,(A-H) Month- Code 2 Code I buyer/seller

redemption)(Q-W) Day (J-P) (ifprivate transaction)

103. GOLDMAN SACHS GROUP INC. A Dividend L T Buy 8-1 K

104. HARTFORD FINANCIAL SERV. A Dividend L T Buy 8-1 K GROUP INC.

105. KROGER CO. None K T Buy 8-1 K

106. MARTEN TRANSPORT LTD. None Sold 2-25 K c

107. PEPSICO A Dividend L T Buy 8-1 K

108. PROTEIN DESIGN LABS None Sold 2-22 M D

109. QUEST SOFTWARE None Sold 2-2 M E

110. SAFEWAY, INC. A Dividend K T Buy 8-1 J

111. TEXTRON INC. Buy 8-1 J

.

112. TEXTRON INC. B Dividend L T Part Sale 8-22 J A

113. X M SATELLITE RADIO CL. A Part Sale 1-12 L E

114. X M SATELLITE RADIO CL. A None Sold 2-22 N G

115. AUDIO CODES LTD. Part Sale· 1-12 L D

116. AUDIO CODES LTD. None Sold 2-9 M E

117. ARCHIPELAGO HOLDINGS Buy 1-10 J



I. Income Gain Codes: A =$1,000 or less B =$1,001- $2,500 c =$2,501 • $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000 (See Colwnns BI and 04) F =$50,001 • $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 • $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 • $100,000 M =$100,001 - $250,000 (See Columns CJ and D3) N =$250,001 - $500,000 0 =$500,001 • $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 • $25,000,000

3. Value Method Codes PJ =$25,000,001 - $50,000,000 R =Cost (Real Estate Ooly) P4 =More than $50,000,000 T =Cash Market (See Column C2) Q =Appraisal V=Other S =As$essment

U =Book Value w =Estiniated

,,

(3)

1-3



VII. INVESTMENTS and TRUSTS - i."Jcome, value, transactions (includu those of the spouse and dependent childre1L See pp. 34-57 of filing instructions)


A. B. c. D.

,Description of Assets Income during Gross value at end of Transactions during reporting period (including llllst assets) reporting period reporting period

(I) (2) (I) (2) (I) lf not exempt from disclosure

Amount Value ValuePlace "(X)" after each asset Type(e.g. Type(e.g. (2) (4) (5) exempt from prior disclosure Code I

(A-H) div., rent,

or int.)

Code 2

(J-P)

Method

Code 3

(Q-W)

b>Jy, sell,

merger,

redemption)

Date

Month-

Day

Value

Code 2 (1-P)

Gain

Code I (A-H)

Identity of

buyer/seller

(if private

transaction)










129. ARCHIPELAGO HOLDINGS None Sold 2-22 K

130. BILL BARRETI CORP. None Sold J c

131. BOEING CO. B Dividend L T Buy 8-1 K

132. BORG WARNER A Dividend K T Buy 8-1 J

133. BRUNSWICK CORP. None Sold 2-22 N

134. CHINA NET COM GROUP None Sold 2-22 N F

135. COLDWATER CREEK Part Sale 1-26 K D


I. Income Gain Codes: A =$1,000 or less B-$1,001 -$2,500 C-$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns Bl and 04) F -$50,001 -$100,000 G-$100,001 -$1,000,000 HI-$1,000,001 -$5,000,000 H2 =Moro than $5,000,000

2. Value Codes J =$15,000 or less K=$15,00l -$50,000 L=$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and 03) N =$250,001 -$500,000 0 -$500,001 - $1,000,000 Pl =$1,000,001-$5,000,000 P2 -$5,000,001 -$25,000,000

3. Value Method Codes PJ -$25,000,001 -$50,000,000 R -Cost (Real Estate Only) P4 =Moro than $50,000,000 T=CasbMarlcet

(See Colwnn Cl) Q =Appraisal V=Otber S =Assessment


Name or Person Reporting Date or Report FINANCIAL DISCLOSURE REPORT

Page 12 of29 S1EIN, SIDNEY H 8/17/2006

VII. INVESTMENTS and TRUSTS -income. value, 1ransac1Wns (includes those of the spouse and dependent children. see PP. 34-57 of.filing instruclWnsJ


A.

Descrip tion of As sets

(inclu ding trust asset s )

Place "(X)" after each a sset

exem pt from prior discl osu re


B.

Inc ome during

reporting period

c.

Gross value at end or

reporting period

D .

T ransac tions du ring rep orting period

(I) (2) (I) (2) (!) Ifnot exempt from disclosure

Am ou nt

Code I (A-H)

Type(e.g. div ., rent,

or int.)

Value

Code2

(J-P)

Value

Method

Code3

(Q-W)

Type(e.g.

buy, sell ,

mer ger,

redem ption)

(2)

Date

M onth-

Day

(3)

Value

Code2

(J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

138. COLDWATER CREEK Part Sale 2-22 L E

139. COLDWATER CREEK None- Sold 2-23 M .F

140. CUMMINS INC. Part Sale 1-11 K D

F141. CUMMINS INC. B Dividend Sold 2-22 M

142. DREAMWORKS ANIMATION None Sold 2-22 M

143. DR HORTON INC. A Dividend Sold 2-22 M E

144. EOG RESOURCES Part Sale 1-7 L

145. EOG RESOURCES None Sold 1-12 L

146. 51 JOB INC. None Sold 1-24 M

147. FLIR SYSTEMS None Sold 2-22 N F

148. GEN PROBE INC. None Sold 2-22 N F

149. GENENTECH INC. None Sold 2-22 M

150. HARRIS & HARRIS None Sold 2-22 M

151. HUGHES SUPPLY INC. A Dividend Sold 2-22 M

152. INPHONIC INC. Part Sale 1-24 K

153. INPHONIC INC. None Sold 1-25 K c

I. Income Gain Codes: A=$1,000 or less B l,001 - $2,500 C 2,501-$5,000 D =$5,001 - $ 15,000 E=$15,001 • $50,000

(Sec Columns BI and 04) F 50,001 -$100,000 G=SI00,001 • $1,000,000 HI =$1,000,001 -$5,000,000 H2=More than $5,000,000

2. Value Codes J=$15,000 or less K=$15,001 -$50,000 L=$50,001 -$100,000 M=$100,00l -$250,000

(See Columns Cl and 03) N=$250,001 -$500,000 0=$500,001 -$1,000,000 Pl 1.000,001-ss,ooo,ooo n 5.000,001 -S25,ooo,ooo

3. Value Method Codes P3 25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=CasbMarl<et

(See Colwnn C2) Q =Appraisal V=Other S =Assessment

U=BookValue w =Estimated

FINANCIAL DISCLOSURE REPORT

Page 13 of29

Name of Person Reporting

STEIN, SIDNEY H

Date of Report

8/17/2006

VII. INVESTMENTS and TRUSTS - income, valu e, transactions (indudes those oflhespouse and dependent children. See pp. 34-57 of filing instru ctions)


A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets} reporting period reporting period

(I} (2) (!} (2) (I} If no! exempt fit>m disclosure

Place "(X}" after each asset Amount Type(e.g. Value Value Type(e.g. (2) (3) (4) (5) exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Date Value Gain Identity of

(A-H} or inl} (J-P} Code 3 merger, Month- Code 2 Code I buyer/seller (Q-W} redemption} Day (J-P} (A-H} (if private

transaction}

154. INTERPUBLIC GROUP Buy 2-18 J

155. INTERPUBLIC GROUP Buy 8-1 K

156. INTERPUBLIC GROUP None L T Buy 12-2 K

157. JONES APPAREL Buy 8-1 K

158. JONES APPAREL Buy 11-2 K

159. JONES APPAREL Buy 11-7 J

160. JONES APPAREL A Dividend K T Part Sale 12-1 K

161. J JILL GROUP Part Sale 1-7 L

162. J. JILL GROUP Part Sale 1-10 L

163. J. JILL GROUP Part Sale 1-12 L

164. J. JILL GROUP None Sold 1-14 L

165. KANBAY INTERNATIONAL Buy 1-19 L

166. KANBA Y INTERNATIONAL Buy 1-20 J

167. KANBAY INTERNATIONAL None Sold 2-22 M

168. LAS VEGAS SANDS CORP. None Sold 2-22 L D

169. MANULIFE FINANCIAL Part Sale 2-4 J B

170. MANULIFE FINANCIAL A Dividend Sold 3-29 K D

1. Income Gaiu Codes: A =$1,000 orless B =$1,001 -$2,500 C =$2,501 -$5,000 D =$5,001 -$15,000 E=$15,00l -$50,000

(See Columns BI and 04) F =$50,001 -$100,000 G=Sl00,001-$1,000,000 HI =$1,000,001 -$5,000,000 H2 =Morethan $5,000,000

2. Value Codes 1=$15,000orless K=$15,001-$50,000 L=$50,001 -$100,000 M-Sl00,001-$250,000

(See Columns C l and 03) N =$250,001 - $500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 -$5,000,001 -$25,000,000

cd

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000

(See ColUmn C 2) Q =Appraisal V9)ther S =Assessment

U =Book Value W=Estimat

T=CashMarl<et

2-9

1-7



VII. INVESTMENTS and TRUSTS -income, valu, transactions (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions)




Place "(X)" after each asset

exempt from prior disclosure

171. MARKETAXESS HLDGS.

B.

Income during

reporting period

c.


reporting period

D.


(I) (2) (I) (2) (I) Ifnot exempt fromdisclosure

Amount

Code I (A-H)

Type (e.g.

div., rent, or int)

Value

Code2

(J-P)

Value

Method

Code3 (Q-W)

Type (e.g.

buy, sell,

merger,

redemption)

(2) Date

Month -

Day

(3) Value

Code 2 (J-P)

(4) Gain

Code I (A-H)

(5) Identity of

buyer/seller

(ifprivate transaction)

None Sold 2-9 L

172. MEDCO HEALTH SOLUTIONS None L T

173. MICROSYSTEM INC. None Sold 2-22 N E

174. NET TEASE COM INC. Part Sale 1-22 L

175. NET TEASE COM INC. None Sold L

176. NINETOWNS DIGITAL WORLD None Sold 1-6 J

177. NOKIA CORP. None Sold M E

178. ORANGE21 INC. None Sold 2-18 K

179. PATTERSON UTI ENERGY Part Sale 1-7 M D

180. PATTERSON UT! ENERGY None Sold 2-22 M F

181. PROCTOR&GAMBLE A Dividend K T Buy 8-1 J

182. QUICKSILVER RESOURCES Part Sale 1-3 M E

183. QUICKSILVER RESOURCES Part Sale 1-12 L E

184. QUICKSILVER RESOURCES None Sold 2-22· M E

185. RANGE RESOURCES None Sold 1-3 M

186. RED HAT INC. None Sold 1-12 L

187. RED ROBIN GOURMET BURGERS Part Sale 2-22 M E

I. Income Gain Codes: A41,000orless B 41,001-$2,500 c42,501 -$5,000 D =$5,001 -$15,000 E =$15,001 - $50,000

(Sec Columns Bl and D4) F=$50,001-$!00,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K=$15,001-$50,000 L-$50,001 - $100,000 M =$100,001 -$250,000

(Sec Columns Cl and D3) N=$250,001 -$500,000 0 00.001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001-$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (RealEstate Only) P4 =More than $50,000,000 T=CashMarket

(See Colwnn C2) Q =Appraisal V=Other S =Assessment


A.

Q =Appraisal

2-9



VII. INVESTMENTS and TRUSTS -income, w111ue, 1ransactions (inc1ut1es 11wse of th• spouse and tkpendent children. see PP. 3-1-s1 of.filing instructions)





188. RED ROBIN GOURMET BURGERS

B.

Income during

reporting period

c.


reporting period

D.


(I} (2) (I) (2) (!) Ifnot exempt from disclosure

Amount

Code I

(A-II)

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

or int.)

Value

Code 2 (J-P)

Value

Method

Code 3

(Q-W)

Type(e.g.

buy, sell,

merger,

redemption)

(2) Date

Month-

Day

(3) Value

Code 2 . (J-P)

(4) Gain

Code I

(A-II}

(5) Identity of

buyer/seller

(if private transaction)

None Sold 2-25 L D

189. ROYAL CARIBBEAN CRUISES

190. ROYAL CARIBBEAN CRUISES

191. ROYAL CARIBBEAN CRUISES None

192. SHANDA INTERACTIVE



Part Sale 2-9 M

Part Sale 2-11 K

Sold 2-22 M

Buy 1-4 J

Buy 1-5 J

Part Sale 1-28 K

195. SHANDA INTERACTIVE SoldNone M

196. SHOPPING.COM LTD. Part Sale 2-9 M

197. SHOPPING.COM LTD. None Sold 2-11 M

198. SINA CORP. None Sold 1-28 M

199. SUNTRUST BANK Buy 1-4 J


201. SUNTRUST BANK Sold 5-17 J


203. SUNTRUST BANK B Dividend J T Part Sale 8-19 J

204. TEXAS ROADHOUSE INC. CLASS None Sold 2-22 M E A

I. Income Gain Cod<s: A =$1,000 or less B 41,001 -$2,500 c 42,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns BI aod D4) F 450,001 -$100,000 G=SJOO,OOJ-$1,000,000 HJ =$1,000,001 -$5,000,000 H2 =More than $5,000,000 2. Value Cod<s J =$15,000 or Jess K =$15,001 -$50,ooo l. -$50,001 -$100,000 M =$100,001 -$250,000

(See Columns CJ aod DJ) N=$250,001 -$500,000 0 4500,001 -$1,000,000 Pl 41,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Cod<s P3 425,000,001 -$50,000,000 R =Cost (Real Es'.atc Only) P4 =More thao $50,000,000 T=CashMarli:et

V=Other S =Assessment (See Colwnn C2) U =Book Value W=Estimated

A.

1-3

9-1


Page 16of29 8/17/2006STEIN, SIDNEY H

VII. INVESTMENTS and TRUSTS -income, vallUi, ITansacdons (includes fhose offhe spouse and dependent children. See pp. 34-57 of filing instructions)





205. THE 9 LTD.

B.


c.


D.


(1) (2) (1) (2) (I) If not exempt from disclosure

Amount Code I

(Ml)


or int.)

Value Code 2 (J-P)

Value Method Code 3

(Q-W)


(2) Date Month -Day

(3) Value Code 2 (J-P)


(5) Identity of buyer/seller (if private transaction)

None Sold J A

206. TIME WARNER A Dividend M T Bily

207. UNILEVER NV A Dividend K T

208. WEBSEN INC. Part Sale

209. WEBSEN INC. Part Sale

210. WEBSEN INC. B Dividend Sold

211. XL CAPITAL CLASS A Buy

212. XL CAPITAL CLASS A A Dividend K T Buy

213.XEROX None Sold

214. YAHOO INC. None Sold

215. ADC TELECOMMUNICATIONS Buy

216. ADC TELECOMMUNICATIONS None K T Buy

8-1 K

1-28 K

1-31 L

2-3 L

6-20 J

8-1 K

2-25 N E

2-22 N F

8-1 J

10-5 K

217. CLOROX CO. Buy L

218. CLOROX CO. A Dividend L T Buy

219. CROWN CASTLE INTL None J T Buy

220. EATON CORP. A Dividend K T Buy

221. ELECTRONIC DATA SYSTEMS Buy CORP.

10-7 J

10-31 J

8-1 J

4-14 K

1. Income Gain Codes: A =$1,000 orless B -Sl ,001-$2,500 c =$2,501 -$5,000 D =$5,001 - $15,000 E =$15,001 -$50,000 (See Columns Bl and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Ci>d<s I =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (See Columns Cl and 03) N =$250,001 - $500,000 0 =$500,001 -$1,000,000 .Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Ci>d<s P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=CashMarlcet

(See Column C2) Q =Appraisal V=Other S =Assessmeot

U=BookValue W=Estimated

A.

--

8-3

Buy


Page 17 of29

Name of Person Reporting

STEIN, SIDNEY H

Date of Report

8/17/2006

VII. INVESTMENTS and TRUSTS -income, valtu, transactions (mdudes those of the spouse and dependent children. Su pp. 34-57 of filing instructions)


Description of A ssets




222. ELECTRONIC DATA SYSTEMS

B.

Income during

reporting period

c.


reporting period

D.


(1) (2) (1) (2) (I) Ifnot exempt from disclosure

Amount

Code I

(A-H)


or int)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)

Type(e.g. buy, sell,

merger,

redemption)

(2)

Date

Month-

Day

(3)

Value

Code 2

(J-P)

(4)

Gain

Code I

(A-H)

(5)

Identity of

buyer/seller

(if private

transaction)

A Dividend L T Buy 8-1 K CORP.

223. ENSCO INTL Buy 6-28 J

224. ENSCO INT'L A Dividend K T Buy 8-1 J

225. EXXON MOBIL Buy 6-20 J

226. EXXON MOBIL Buy K

227. EXXON MOBIL A Dividend M T Buy 10-31 K

228. FEDERATED INVESTORS CL. B A Dividend K T Buy 9-14 K

229. GENWORTH FINANCIAL A Dividend K T Buy 8-30 K

230. GFI GROUP Buy 1-31 L

231. GFI GROUP Buy 2-1 K

232. GFI GROUP Buy 2-2 J

233. GFI GROUP Buy 2-3 J

234. GFJ GROUP None Sold 2-22 M

235. GLOBAL SANTA FE CORP. Buy 5-20 K

236. GLOBAL SANT A FE CORP. 6-20 J

237. GLOBAL SANT A FE CORP. A Dividend L T Buy 8-1 K

238. GOODRICH CORP. Buy 4-13 J

1. Income Gain Codes: A=$1,000 or less B =Sl,001 -$2,500 c =$2,501 -$5,000 D =$5,001 -$15,000 E=$15,001 -$50,000

(See Columns BI aod D4) F=$50,001 -$100,000 G =$100,001 -Sl,000,000 HI =$1,000,001 -$5,000,000 H2=More than $5,000,000

2. Value Codes l=$15,000 or less K=$15,00l -$50,000 L=$50,001 -$100,000 M=SI00,001-$250,000

(See Columns CI and DJ) N=$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001-$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes Pl =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More thao $50,000,000 T=CashMarlcet

(See Column C2) Q =Appraisal V=Other S=Assessment




VII. INVESTMENTS and TRUSTS - mcome. value, transactions rmd11t1es those of the spollSe and dependent children. see pp. 1-1-s1 of filing ins1r11ct1onsJ


A.





B.

Income during

reporting period

c.


reporting period

D.


(1) (2) (1) (2) (I) If not exempt from disclosure

Amount

Code 1 (A-H)

Type (e.g. div., rent,

or int.)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)


merger,

redemption)

(2)

Date

Month-

Day

(3)

Value

Code 2 (J-P)

(4) Gain

Code 1 (A-H)

(5) Identity of

buyer/seller

(ifprivate

transaction)

239. GOODRICH CORP. A Dividend J T Buy 8-1 J

240. HALLIBURTON CO. Buy 2-4 N

241. HALLIBURTON CO. None Sold 2-22 N E

242. HCA INC. A Dividend J T Buy 8-1 J

243. HUBBELL CL. B None J T Buy 2-15 J

244. INTEL CORP. Buy 8-24 K

245. INTEL CORP. A Dividend K T Buy 10-5 J

246. INT'L BUS. MACHINES A Dividend K T Buy 8-1 K

247. INTERNATIONAL GAME TECH Buy 1-18 M

248. INTERNATIONAL GAME TECH None Sold 2-22 M

249. JOHNSON & JOHNSON A Dividend K T Buy 8-1 K

250. KELLOGG CO. A Dividend J T Buy 8-1 J

251. KIMBERLY CLARK A Dividend K T Buy 8-1 K

252. LILLY (ELI) & CO. Buy 8-1 K

253. LILLY (ELI) & CO. Buy 8-17 J

254. LILLY (ELI) & CO. A Dividend L T Buy 9-6 J

255. LO JACK CORP. Buy 1-26 M

I. Income Gain Codes: A =$),000 or Jess B-$1,001 -$2,500 C-$2,501 -$5,000 D=$5,001 -$15,000 E=$15,001 -$50, 000

(See Columns BI and 04) F-$50,001 -$100,000 G=$100,001 -SJ,000,000 HJ=$1,000,001 -$5,000,000 H2=More than $5,000,000

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

(See Columns CJ and DJ) N=$250,001 -$500,000 0=$500,001 -$1,000,000 Pl -$1,000,001 -$5,000,000 P2=$5,000,001 -$25,000,000

3. Value Method Codes P3-$25,000,001 - $50,000,000 R =Cost (Real F.statc Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q=Appraisal V=Othcr S =Assessment




VII. INVESTMENTS and TRUSTS - income, valu, transactions (includes those of the spouse and dependent children. See pp. 34-57 of filing instructions)





B.

Income during

reporting period

c.


reporting period

D.


(I) (2) (I) (2) (!) Jfnot exemptfrom disclosure

Amount

Code I

(A-H)


or int)

Value

Code 2 (J-P)

Value

Method

Code 3

(Q-W)

TyiJO (e.g. buy, sell,

merger,

redemption)

(2) Date

Month-

Day

(3) Value

Code 2 (J-P)

(4) Gain

Code I (A-H)

(5) Identity of

buyer/seller

(if private

transaction)

256. LO JACK CORP. None Sold 2-2 M c

257. LIMITED BRANDS Buy 8-1 K

258. LIMITED BRANDS A Dividend K T Buy 12-13 K

259. MARATHON OIL A Dividend K T Buy 8-1 J

260. MARCHEX INC. CL. B Buy 2-8 J

261. MARCHEX INC. CL. B Buy 2-9 J

262. MARCHEX INC. CL. B Buy 2-14 L

263. MARCHEX INC. CL. B None Sold 2-22 M D

264. MARTIN MARIETTA Buy 2-10 J

265. MARTIN MARIETTA A Dividend K T Buy 8-1 J

266. MCDONALDS CORP. A Dividend K T Buy 8-1 K

267. MEASUREMENT SPECIALTIES Buy 1-26 M

268. MEASUREMENT SPECIAL TIES Buy 1-27 K

269. MEASUREMENT SPECIALTIES Buy 1-28 K

270. MEASUREMENT SPECIALTIES None Sold 2-20 N D

271. MERCK & CO. Buy 8-17 J

272. MERCK & CO. Buy 8-24 K

l. Income Gain Codes: A=Sl,OOOorless B 1,001-$2,500 c 2,501-$5,000 D =$5,001-$15,000 E=S15,00J -$50,000

(See Columns BI and D4) F 50,00l -Sl00,000 G =$100,001 -$1,000,000 HI 41,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes I =$15,000 or less K=SJS,001-$50,000 L=$50,001 -$100,000 M=SI00,001-$250,000

(See Columns Cl and D3) N=$250,001 -$500,000 0=$500,001 -$1,000,000 Pl =Sl,000,001-$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes Pl 25,000,001 - $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C2) Q =Appraisal V=Otber S =Assessment


A.



VII. INVESTMENTS and TRUSTS -income, value, transactions (inc1ut1es those of the spouse and dependent children. see pp. 3-1-s1 of filing instructions)





273. MERCK & CO. A Dividend L T Buy 9-16 K

B.


c.


D.


(!) (2) (!) (2) (I) Ifnot exempt from disclOSW"c

Amount Code I (A-H)


or int)

Value Code 2 (J-P)

Value Method Code 3

(Q-W)

Type(e.g. buy, sell, merger> redemption)

(2) Date Month-Day

(3) Value Code 2

(J-P)

(4) Gain Code I

(A-H)

(5) Identity of buyer/seller (ifprivate transaction)

274. MERRILL LYNCH Buy 2-10 J

275. MERRILL LYNCH Buy 8-1 K

276. MERRILL LYNCH A Dividend L T Buy 8-16 K

277. MINE SAFETY APPL. Buy 1-12 K

278. MINE SAFETY APPL. Buy 1-13 J











289. MINE SAFETY APPL. A Dividend Sold 2-22 M

I. Income Gain Codes: A =$1,000 or less B l,001 -$2,500 c 2,501 -$5,000 0=$5,001-$15,000 E=$15,001 -$50,000

(Sec Columns B 1 aod 04) F 50,001-$100,000 G =$100,001 - $1,000,000 HI =$1,000,001-$5,000,000 H2 =More than $5,000,000

2. Value Codes 1=$15,000 or less K=$15,001 -$50,000 L=$50,001-$100,000 M=Sl00,001-$250,000

(See Columns Cl aod DJ) N =$250,001 -$500,000 0=$500,001 -$1,000,000 Pl 1,000,001-$5,000,000 P2 5.000,001 -$25,ooo,ooo

3. Value Method Codes Pl=$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T-cashMarli:et

(See Column C2) Q =Appraisal V=Other S =Assessment




VII. INVESTMENTS and TRUSTS -income. value, transiu:tions (inc1ut1es those of the spouse and dependent children. see PP· 34-57 of filing instructions)




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

B.


c.


D.


(I) (2) (I) (2) (I) If not exempt fiom disclosure

Amount Code I (A-H)


or int)

Value Code 2 (J-P)

Value Method Code 3

(Q-W)


(2) Date Month-Day

(3) Value Code 2 (J-P)

(4) Gain Code I (A-H)

(5) Identity of buyer/seller (if private transaction)

290. NATIONAL OILWELL INC. Buy 1-3 M

291. NATIONAL OIL WELL INC. None Sold 2-22 M E

292. NOBLE CORP. Buy 5-20 K

293. NOBLE CORP. A Dividend K T Buy 10-25 J

294. OFFICE DEPOT Buy 8-1 K

295. OFFICE DEPOT Buy 10-5 J

296. OFFICE DEPOT None L T Buy 10-28 J

297. OPTION EXPRESS Buy 2-1 J

298. OPTION EXPRESS A Dividend

299. PINNACLE WEST CAPITAL A Dividend

300. PPG INDUSTRIES A Dividend

301. RENAISSANCERE HLDGS

302. RENAISSANCERE HLDGS A Dividend

303. SANMINA SCI CORP.

304. SANMINA SCI CORP. None

305. STERICYCLE INC.

306. STERICYCLE INC.

Sold 2-17 J A

J T Buy 8-1 J

J T Buy 8-1 J

Buy 8-1 J

K T Buy 8-9 K

Buy 5-20 J

K T Buy 8-1 J

Buy 1-12 K

Buy 1-13 J

l. Income Gain Codes: A =$1,000 or less B-$1,001-$2,500 C-$2,501 - $5,000 D-$5,001 -$15,000 E-$15,001 -$50,000

(See Columns BI and D4) F-$50,001-$100,000 G-$100,001 -$1,000,000 HI -$1,000,001- $5,000,000 H2-Morc than $5,000,000

2. Value Codes J-$15,000 orless K-$15,001 -$50,000 L-$50,001 -$100,000 M -$100,001 -$250,000

(See Columns Cl and DJ) N-$250,001 -$500,000 o-s500,001 -s1,ooo,ooo Pl -$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes PJ -$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 -More than $50,000,000 T =Cash Market

(See Column C2) Q -Appraisal V-other S =Assessment

U -Book Value W-Estimated



VII. INVESTMENTS and TRUSTS - income, value, transactions (incluiks those of the spouse and dependent children. See PP· 34-57 of filing instructions)



(including trust asset$)



B. Income during

reporting period

c. Gross value at end of

reporting period

D.


(I) (2) (I) (2) (I) lfnot exempt from disclosure

Amount

Code I (A-H)


or inl)

Value

Code 2

(J-P)

Value

Method

Code 3

(Q-W)


merger,

redemption)

(2) Date

Month-

Day

(3)

Value

Code 2

(J-P)

(4)

Gain

Code I (A-H)

(5)

Identity of

buyer/seller

(ifprivate

transaction)

307. STERICYCLE INC. Buy 1-18 K




311. STERICYCLE INC. Buy 1-25 M

312. STERICYCLE INC. None Sold 2-22 N

313. TARGET CORP. Buy 1-4 J

314. TARGET CORP. Buy 2-7 K

315. TARGET CORP. Buy 3-10 K

316. TARGET CORP. A Dividend L T Buy 8-1 K

317. TOYOTA MOTOR CORP. None K T Buy 10-11 K

318. UT! WORLDWIDE Buy 1-12 L

319. UTI WORLDWIDE Buy 1-18 K

320. UT! WORLDWIDE Buy 1-20 J

321. UTI WORLDWIDE Buy 1-21 J

322. UT! WORLDWIDE Buy 1-24 K


I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 -$5,000 0=$5,001-$15,000 E-$15,001-$50,000 (See Columns BI and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 112=More than $5,000,000

2. Value Codes J =$15,000 or less K=$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (See Columns Cl and DJ) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes PJ -$25,000,001 -$50,000,000 R =Cost (Real Estate Ooly) P4 =More than $50,000,000 T=CashMarlcet (See Colwnn C2) Q =Appraisal V=Other S =Assessment

U=BookValue w =Estimated

A.

4-1



VII. INVESTMENTS and TRUSTS - income, value, transoctions (indudes those of the spouse and dependent children. See PP· 34-57 of filing instructions)




B.

Income during

reporting period

c.


reporting period

D.


(I) (2) (I) (2) (I} If not exempt fromdisclosure



Amount

Code I

(A-H)

Type(c.g. div., rent,

or int)

Value

Code 2

(J-P)

Value

Method

Code 3 .

(Q-W)


merger,

redemption)

(2)

Date

Month -

Day

(3)

Value

Code 2 (J-P)

(4) Gain

Code I (A-H)

(5) Identity of

buyer/seller

(if private

transaction)

324. UTI WORLDWIDE Buy !··26 J

325. UTI WORLDWIDE Buy 1-28 L


327. UTI WORLDWIDE None Sold 2-22 N D

328. VASCODATA SECURITYINTL Buy 1-20 J

329. VASCODATA SECURITYINTL Buy 1-21 J

330. VASCODATA SECURITYINTL None Sold 2-22 N B

331.

332. TAX EXEMPT BONDS

333. NY ST TWY AUTII HWY & BROG D ·Interest M T TR FD SER A N/C AMBAC

334. NEW YORK ST HSG FIN AGY GEN HSG SERB

c Interest K

335. NEW YORK ST MTG AGY REV H OMETOWN MTG-29-A-RMKT

c Interest M

336. NY STA TE POWER AUTH GEN REV ETM SER A

D Interest L

337. NY STATEPWR AUTII REV & GEN PURP SER DETM

D Interest M

338. TRIBORO BRIDGE & TUNNEL AUTH 4.75% 111105

c Interest

339. NEW YORK STATE POWER AUTII SER G 111110

c Interest L

T

T

T

T Part Sale 1-1 J A

Redeemed 1-5 M c

T

340. NEW YORK STA TE LOCAL GOVT. RedeemedA Interest J ASST. 411105

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 C =$2,501 -$5,000 D=S5,00l-$15,000 E =$15,00 I -$50,000

(See Colwnns BI and D4) F=S50,00l -$100,000 G=$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =Mon: than$5,000,000

2.Value Codes J =$15,000 orless K-$15,001 -$50,000 L =$50,001 -$100,000 M=SI00,001-$250,000

(See Colwnns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Ooly) P4 =Mon: than$50,000,000 T=CashMarlcet

(See Column C2) Q =Appraisal V=Other S =.Assessment

U=BookValue W=Estimated

354.



VII. INVESTMENTS and TRUSTS -income, value, transactians (includes those of the spouse and dependent children. See pp. 34-57 offiling instructWns)



{including trust assets)

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

B.


c.


D.


{I) (2) {I) (2) {I) If not exempt fitlm disclosure

Amount Code 1

{A-H)

Type {e.g. div., rent,

or int)

Value Code 2

{J-P)

Value Method Code 3 {Q-W)


(2) Date Month-Day

(3) Value Code 2 {J-P)

(4) Gain

Code I {A-H)

(5) Identity of buyer/seller {if private transaction)

341. RENSSALAER CTY N.Y. D Interest M T

342. NYS MTG AGY D Interest M T

343. NYS TIIWY AUTH. D Interest M T Part Sale 11-1 K A

344. NEW YORK ST. HSG. FIN. AGY. D Interest M T GEN. SER. A

345. NEW YORK STATE POWER c Interest K T Part Sale 1-1 J AUTH.

346. DUTCHESS CTY, NY 5%, 8/1109 c Interest M T

347. NYS DORM. AUTH. 5.375%, 211510 D Interest M T

348. NYS SER. A 5%, 3/15/14 c Interest M T

349. MTA N.Y. 5%, 7/1111 B Interest M T

350. TRIBOROUGH BRIDGE & B Interest M T TUNNEL 5.2%, 111120

351. N.Y.S. ENV. 5.25%, 10/15/20 c Interest M T

352. N.Y.C. 5% due 211124 c Interest M T Buy 1-14 M

353. NYS THRWY. AUTH. 5.3%, 411115 c Interest M T Buy 3-4 M

355. MUTUAL FUNDS

356. BRANDYWINE FUND INC. None P2 T Buy 6-7 0

357. VANGUARD 500 INDEX FUND A Dividend J T

1. Income Gain Codes: A =Sl,000 or less B -SI ,001 -$2,500 c -$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000

(See Columns BI and 04) F-$50,001 -$100,000 G =$100,00I -Sl,000,000 HJ =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes l =$15,000 or less K-$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and 03) N=$250,001 -$500,000 0-$500,001 -$1,000,000 Pl -Sl,000,001 -$5,000,000 P2 -$5,000,001 -$25,000,000

3. Value Method Codes P3 -$25,000,001 • $50,000,000 R =Cost (Real Estate Ooly) P4 =More than $50,000,000 T=CasbMarlcct (See Column C2) Q =Appraisal V=Other S =Assessment


c.

Name or Person Reporting Date or ReportFINANCIAL DISCLOSURE REPORT

Page 25 of29 8/17/2006 STEIN, SIDNEY H

VII. INVESTMENTS and TRUSTS - income, value, transactions (includes those of the spouse and dependent children. See pp. N-57 of filing ins/ructions)


A. B. D.

Description or Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period



358.DA VIS NY VENTURE FUND INC.

(I) (2) (I) (2) (I) If not exempt from disclosure

A mount Type(e.g. Value Value Type(e.g. (2) (3) (4) (5) Code I div., rent, Code 2 Method buy, sell, Date Value Gain Identity of (A-H) or int.) (J-P) Code 3 merger, Month - Code 2 Code I buyer/seller

(Q-W) redemption) Day (J-P) (A-H) (if private

transaction)

E Dividend P2 T Buy 6-9 Pl CL.A

359.ICAP EQUITY Buy 1-7 L

360.ICAP EQUITY Buy 4-6 J

361. ICAP EQUITY D Dividend Sold 6-3 Pl

362. ALLIANCE MUNICIPAL INCOME FUND

Buy 1-10 J


Buy 1-24 J


A Dividend Sold 2-25 0 E

365. FIDELITY CAPITAL APPRECIATION FUND

D Dividend L T

366. FIDELITY DIVIDEND GROWTH FUND

B Dividend L T

367. T. ROWE PRICE EQUITY INCOME FUND

B Dividend L T

368. ABN-AMRO MONTAG & CALDWELL GROWTH FUND SER. 1

Buy 6-6 Pl

369. ABN-AMRO MONTAG & CALDWELL GROWTH FUND SER. 1

Buy 6-22 J

370.ABN-AMRO MONTAG & CALDWELL GROWTH FUND SER. 1

D Dividend Pl T Buy 9-26 J

371. BNY HAMILTON INTERMEDIATE N.Y. TAX EXEMPT FD.

Buy 3-1 Pl


Buy 4-1 J


Buy 5-18 J


Buy 5-23 J

I. Income Gain Codes: A =SJ,000 or less B =$1,001 -$2,500 C =$2,50 I - $5,000 D=$5,001-Sl5,000 E=$15,00I -$50,000

(See Column s BI and D4) F=$50,001 - $100,000 G=SI00,001-$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000 2. Value Codes J=SIS,000 or less K=$15,00l -$50,000 L=$50,00l -$100,000 M=SI00,001-$250,000

(See Columns Cl and DJ) N =$250,00 I - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001-$5,000,000 P2 =$5,000,00 I -$25,000,000

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R -<:ost (Real Estate Only) P4 =More than $50,000,000 T-0.sh Market (See Column C2) Q =Appraisal V=Other S =Assessment

U =Book Value W=Esti m ated

6-7

3-1



VII. INVESTMENTS and TRUSTS - income, value, transactions (mdudes those of the spouse and dependent children. See PP· 3./-57 of filing instructions)

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

A.



Place"(X)" after each asset


375. BNY HAMILTON INTERMEDIATE

B.

Income during

reporting period

c.

Gross valueat end of

reporting period

D .


(I) (2) (I) (2) (!) Ifnot exempt from disclosure

Amount

Code I (A-H)

Type(e.g.

div ., rent, or inl)

Value

Code2 (J-P)

Value

Method

Code 3

(Q-W)

Type(e .g.

buy, sell,

merger,

redemption)

(2)

Date

Month-

Day

(3)

Value

Code2 (J-P)

(4) Gain

Code I (A-H)

(5) Identity of

buyer/seller

(if private

transaction)

Buy 6-6 Pl N.Y. TAX EXEMPT FD.

376. BNY HAMILTON INTERMEDIATE Buy 6-30 J N.Y. TAX EXEMPT FD.






382. BNY HAMILTON INTERMEDIATE E Dividend Pl T 11-25 JB)IYN.Y. TAX EXEMPT FD.

383. CDC INVEST FUNDS LOOMIS None Pl T Buy Pl SAYLES LARGE CAP GROWTH FUND

384. FIDELITY INTL GROWTH & Buy 1-3 J INCOME FUND

385. FIDELITY INT'L GROWTH & B Dividend K T Buy 11-4 K INCOME FUND

386. STERLING CAPITAL SMALL CAP Buy 1-3 J FUND

387. STERLING CAPITAL SMALL CAP c Dividend K T Buy 11-4 K FUND

388. TRANSAMERICA PREMIER INST. Buy 2-28 P2 EQUITY FUND

389. TRANSAMERICA PREMIER INST. Buy M EQUITY FUND

390. TRANSAMERICA PREMIER INST. None Sold 4-4 P2 EQUITY FUND

391. TURNER SMALL CAP EQUITY None P2 T Buy 3-1 P2 FUND

l. Income Gain Codes: A=$J,000orless B -Sl,001 -$2,500 c -$2,501 -$5,000 D=$5,00l -$15,000 E=$15,00J -$50,000

(See Col umns Bl and D4) F -$50,001 -$100,000 G -SI00,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

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

(See Columns CI and DJ) N =$250,001 -$500,000 0-$500,001-$1,000,000 Pl -$1,000,001 -$5,000,000 P2 -$5,000,001 -$25,000,000

3. Value Method Codes P3 -$25,000,001 -$50,000,000 R -cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market

(See Column C 2) Q =Appraisal V=Other S =Assessment

U =Book Value W =Estimated



VII. INVESTMENTS and TRUSTS -income. value, transactions findutks 11ros• oftlr• spouse and dependent children. s••PP. 3-1-s1 of.filing instructions)


A.



B.

Income during

reporting period

c.


reporting period

D.


(I) (2) (I) (2) (I) If not exempt from disclosure



Amount Type(e.g.

Code I div., rent, (A-H) o:int)

Value

Code 2

(J-P)

Value

Method

Code3

(Q-W)

Type(e.g.

buy, sell,

merger,

redemption)

(2) Date

Month-

Day

(3) Value

Code 2

(J-P)

(4) Gain

Code I

(A-H)

(S) Identity of

buyer/seller

(ifprivate

transaction)

392.

393. MISCELLANEOUS

394. CASH, J.P. MORGAN CHASE E Interest 0 T

395. FINE ARTS HELD AS D Rent Pl w TENANT-IN-COMMON

396. ARBOR PPTY TRUST None K T

397. SERVICEMASTER LP None M T

398.

399. NOTE: JUDGE STEIN HAS ELECTED NOT TO LIST

400. INFORMATION BY FAMILY MEMBER

401.

1. Income Gain Codes: A =$1,000 orless B 1,001 -$2,500 c 2,501 -$5,000 D =$5,001 -$15,000 E=$15,00l -$50,000

(SeeColumnsBI andD4) F 50,00l -$100,000 G 100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 orless K=$15,00l -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000

(See Columns Cl and 03) N =$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl 1,000,001 -$5,000,000 P2 5.000,001 -S25,ooo,ooo

3. Value Method Codes P3 =$25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T=CashMarkct

(See Column C2) Q =Appraisal V=Other S =Assessmeot


ave P3rt VII Sfu ent



VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReporL)

contingent remainder interests in two charitable lead trusts. No information with respect to the trusts was included in beneficial interests in the trusts.

.. Vi;;)_/


Page 29 of29

Name of Person Reporting Date of Report

STEIN, SIDNEY H 8/17/2006

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 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 honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. § 501 et seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

KNOWINGLY AND WILFULLY FALSIF1ES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL S (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

southern district of new york new york, new york …...j filing 1 0 ..., = united states district...

Documents