FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
2. Court or Organization U.S. District Court --S.D.N.Y.
i So. Report Type (check appropriate type) [] Nomination, [] Initial Date [] Annual [] Final
Re~ort Requiredby the Ethics
in Government Act of 1978
(5 U.S.C. app..’§ IOI-I/l)
3. Date of Report 05/06/2010
6. Reporting Period 01101/2009 to 12/’31/2009
1. Person Reporting (last na.m~, first, middle initial) Seibcl, Cathy
4. Title (Article 111 judges indicate active or senior status; magistrate.iudges indicate full- or part time) District Judge- active
5b. [] Amcndnd Report 7. Chambers or Office Address 8. On the basis of the in formation contained in this Report and any modifications pertaining thereto, it is, in my opinion, In compliance v, ith applicable la’z,s and regulations. Reviewing Officer Date
Charles L. Brieant U.S, Courthouse 300 Quarropas St.. Rm. 275 White Plains. NY 10601
IMPORTANT NOTES: The instructions accompanying thls form must be followed. Complete airports,
checking the NONE box fi~r each part where you have no reportable information. Sign on last page.
I. POSITIONS. rno~or,i~ ~.ai,,~..lo~fy: soe ~e. 9-. o/ati.~, instructions.)
~ NONE (No reportable positions.) POSITION
1. Secretary board member
NAME OF ORGANIZATION/ENTITY
Hastings-on-I tudson PTSA Fordham Law Alumni Association
3. Lecturer-in-Law (pan-time trial practice instructor)
Columbia University School of Law
~
NONE ~o reportable agreements.) DATE
I. 2010
PARTIES AND TE~S
$50~ compensatiot~ ibr instn~cting Trial Practice co~se at Columbia University School of Law Januaw - April 2010
2.
Seilbel, Cathy
FINANCIAL DISCLOSURE REPORT Page 2 of 9
s .... f Person Reporting Seibel, Cathy
Date of R~:por~ 05/06.t20
! ! I. NON-INVESTMEN T INCOME. tn,po,a.g i.alvi, t.~a,po.se:,,epj,. ~ 7-24 of filing instructions.)
A. Filcr’s Non-Investment Income [] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yonrs, not spouse’s) $5,000.00
I. 2009 2. 3. 4.
Columbia University -- payment for teaching
B. Spouse’s Non-lnvestnlenl lnconle - If you were married during any portion of the reporting year. complete this section. (Dollar a~ount not requirt, d except for honorarta.) [~ NONE (No reportable non-investment income.)
DATE
1. 2009 2.01/28/09 3.03/03/09 4.03/11/09 5.04/02/09 6.04/08/09 7.04/24:09 8.05/26/09 9.06/16/09 I 0. 06/29.’09 1 I. 10/22/09 12. 11/01/09 | 3. 12/09/09 14. 12/10~09 15.
SOURCE AND TYPE
Columbia University: salary as faculty member and physician New York Times -- $832 payment for writing New York Times -- $1100 payment for writing Johns Hopkins University Press -- 5517.72 book royalty The Lancet -- $400 payment for writing University of California, San Francisco -- $300 honorarium for speaking Washington Post -- $300 payment for writing New York Times -- $786 payment for writing New York Times -- $700 payment for writing Washington Post -- $300 payment for writing New England Jouma! of Medicine -- $ t 500 payment for writing Washington Post -- $300 payment for writing State University of New York -- $500 honorarium for speaking Oxford University Press -- $325 payment for manuscript review
FINANCIAL DISCLOSURE REPORT Page 3 of 9
16.
Reporting I NameofP .....
aateofRcport
[
05/06/2011)
S¢ibel, Cathy
IV. REIMBURSEMENTS -,.o.spo.,a,~o..~o~gi.g,/ood, o.,,rt~i .... .
(Includes tho~c to spouse and depen~lent children, ~ee pp. 25-27 o filling instructions.)
NONE (No reportable reimbursements.) SOURCE
I.
DATES
LOCATION
PURPOSE
ITEMS PAID OR PROVIDED
3. 4. 5.
FINANCIAL DISCLOSURE REPORT Page 4 of 9 V. GIFTS. a~,-Iod~, th~s.,o ~,o.so ~.,~e:..de~t oh.drew; s.~pp. ~-~t o::~in~ i~tvttuctions.)
NON g (No reportable gifts.)
05106/2010
SOURCE
1. 2.
DESCRIPTION
VALUE
3.
4. 5.
Vl. LIABiLITI !~o (In¢lude~ those of sI~ ........ d dependent children; see pp. 32-33 o filling instructions.)
~] NONE (No reportable liabilities..) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
FINANCIAL DISCLOSURE REPORT
Page 5 of 9
r~ ..... of P ..... Repor~’ing Seibel, Cathy
|
DateofReport 05/06/2010
[
I
Transaetior’d during reporting period Value , Type (e.g., Method ; buy, sell, Code 3 | redemption) (Q-W) T T T "1" T T T Open 07/18109 J Open 07/18/09 K Open 07118109 L Date Value Gain i mm/dd~’y Code 2 I Code 1 ’ (J-P) (A-II) [
VII. INVESTMENTS and TRUSTS - i.co,.~, ,..t~e, t ....... .tion.~ a.ct.aes iho,. of s~, ...... a dependent children; see pp. 34-60 of J’ding instructions.)
I’qONE (No reportable income, assets, or transactiotts.) Descrii:tion of Assets (including tn~st assets’) Place "(XI" after each asset exempt from prior disclosure :l [ 1. 2. 3, 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. American Century Vista Fund Astoria Federal Savings account (CD) Astoria Federal Savings account (savings) ~ income during reporting period Type (e.g., div., tent, or int.) i A A A A A A A A A A A A B B A A B Dividend lnteresl Interest Interest Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Distribution Distribution [ Interest L J J J K K K J L T T T T T T T T T K L J K J J J Gross value at end ofreporling period Value Code 2 (J-P)
Amount Code 1 (A-H)
Identity of buyer/sellcr (if private Iransaclior0
(×)
Astoria Federal Savings account (CD) Astoria Federal Savings account (savings) Astoria Federal Saviugs account (checking) AT&T common stock AT&T common stock Brandywine Fund Comcast common stock Comcast common stock Dryden Global Total Retuna t"nnd Dreyfus NY Tax-Exempt Bond Fund Enbridge Energy Partners LP common stock Fidelity Magellan Fund (IRA) Fidelity Capital Appreciation Fund (IRA) Fidelity NY Muni Income Fund
FINANCIAL DISCLOSURE REPORT Page 6 of 9
Name of Person Reporting
I
Date of Report
Seibel, C~tl,y I
05,’06/2010
NONE (No reportable income, a~sets, or transactions) Description of A~¢~ (including t~sl assets) Income during [ reposing period Gross value at c~d of reporting ’. Tmn~ctions during reporting p~iod
IBM common stock Janus Fund John Hancock Patriot Premium Div Fund I corumon stock Metropolitan Transportation Authority NY Municipal Bonds Morgan Stanley Active Assets Money Trust NY State 529 College Savings Plan NY State 529 College Savings Plan RS Growth Fund TIAA/CREF stock fund (retirement annunity) "t’IAA/CREF global equity fund (retirement annaity) "I. Row Price Btue Chip Growth Fund IRA T, Rowe Price Blue Chip Growth Fund IRA q’. Rowe Price Prime Reserve Fund
"r. P.ov~.e Price Prime Reserve Fund
A A A A A
Dividend Dividend Dividend Interest Interest None None M J J K K K K M K J J M
M
Sold T T T T T T T T T T T T
T
06125/09 J
D
I
A
Dividend None None
A A A
A
Dividend Dividend Dividend
Dividend
32. 33. 34.
T.P.owe Price Prime Reserve Fund Vanguard 500 Index Fund (retirement annuity) Vanguard International Growth Fund (tetirentent annuity)
A C A
Dividend Dividend Dividend
M M L
T T T
/
FIN,~NCIAL DISCLOSURE REPORT
Page 7 of 9
s
SeibeL Cathy
05/06/2010 I
VII. INVESTMENTS and TRUSTS - ~. ....... t..,
NONE (No reportable income, assets, or transactions.)
Description of A~e~ (including t~st .... ) ~ Income during ~poaing period Gross value at end ~ . ~f rcpoain~ T~nsactions during ~epo~ing ~riod
Place "(X)" afle .... h .... t
IA .... ~ = ~ype(e.g.,
Value
Value I Type(e.g.,
Date [ Valoe [ Gai~ /
Identity of
FINANCIAL DISCLOSURE REPORT Page 8 of 9
Name of Person Reporting
Date of Report
S~be~, Cathy
o5/o6/2o~o
VIII. ADDITIONAL INFOR~|ATION OR EXPLANATIONS.
FINANCIAL DISCLOSURE REPORT
Page 9 of 9 IX. CERTIFICATION.
N ....
f P~:r$on Reporting
D~lt~: of Report
Se~bel, Cathy
05/06/2010
1 certify that :all information given above (including information pertaiuing 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 ,~’hlch have been reported are iu compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
SignatureI
NOTE: ANY INDIVIDUAL WllO KNOWINGLY AND WILFULL~" FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIl, AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suile 2-30 I One Columbus Circle, N.E. ~,Vashington, D.C. 20544