Frederic Block Financial Disclosure Report for 2009
Content
An 1o
Rev. 1/2010
I
FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009
2. Court or Organization U.S. District Court
5a. Report Type (check appropriate type) [] Nomination, [] Initisl [] Annual Date [] Final
R+,por~ Req,,i,e~ b)’ the EthOs
in Government Act of 1978 is u.s.c, app. §§ 101-111)
1. Person Reporting (last name, first, middle initial) Block, Frederic
4. Title (Aaicle Ill judges indicate active or senior status; magistrate judges indicate full- or part4ime) U.S. District Judge
3. Date of Report 05/10/2010
6. Reporting Period 01/01/2009 to
7. Chambers or Office Address 225 Cadman Plaza E. Eastern Distdct Court of NY Brooklyn, NY ll201
5b. [] Amended Report S, 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. 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. tRevo.ing +..,,+i,,u,,,,t onty; s,,o.,,,o. 9-13 of filing instructions.)
[---] NONE (No reportable positions.)
POSITION
1, Officer
NAME OF ORGANIZATION/ENTITY
Frederic Block, P.C.
NONE (No repoaable agreements.) DATE PAR~S ~ TE~S
r’~
--
Block, Frederic
FINANCIAL DISCLOSURE REPORT
Name of Person Reporting
Date of Report
Page 2 of 9
[ Block, Frederic HI. NON-INVESTMENT INCOME. (Repo~ng ~nd~d~at a~ ,pou~e; ,ee ~,. 17-24 of filing instructions.) A. Filer’s Non-Investment Income
~] NONE(No reportable non-investment income.) DATE
1.
OStlO/2OlO
SOURCE AND TYPE
INCOME
(yours, not spouse’s)
B. Spouse’s Non-Investment Income - if you we. married during any portion of the reporting year, complete this section,
(Dollar amaunt not required except for honoraria.)
~-~
NONE (No reportable non-investment income.)
DATE SOURCE AND TYPE
1.
IV. REIMBURSEMENTS - transportation, lodging, food, entertai .... l.
(Includes those to spouse and dependent children; see pp. 25-27 of fillng irtstructions.)
~-]
]~ONE (No reportable reimbursements.) SOURCE .DATES
1/14/2009 to 1/21/2009
LOCATION
ASPEN, CO
PURPOSE
EDUCATIONAL SEMINAR
ITEMS PAID QP- PRQVIDED
TRANSPORTATION, LODGING AND FOOD
I.
NATIONAL ASSOC. OF CRIMINAL DEFENSE LAWYERS NORTHWESTERN UNIVERSITY SCHOOL OF LAW GEORGE MASON UNIVERSITY SCHOOL OF LAW
2.
4/22/2009 TO 4124/2009
CHICAGO, IL
PROFESSIONAL EDUCATION
TRANSPORTATION, LODGING AND FOOD
3.
1 !/30/2009 TO 12/6/2009
CAPTIVA ISLAND, FLORIDA
PROFESSIONAL EDUCATION
FOOD AND LODGING
FINANCIAL DISCLOSURE REPORT
Page 3 of 9
Na.,e of P ....Reporting
Date of Report
Block, Frederic
05/1012010
~-]
NONE (No reportable gifts.) SD~CE
DESCRIPTION
I. 2. 3. 4. 5.
VI. LIABILITIES. an¢t,a,s those of spouse and dependent children; see pp, 32-33 of filing instructions.)
[] NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
FINANCIAL DISCLOSURE REPORT Page 4 of 9
Name of P .... Reporting
Date of Report
Block, Frederic
05/10/2010
VII. INVESTMENTS and TRUSTS - ~.co.~e, r~e, ,r=s.c~.s a.a=d.s ,ho;. o~’ ~
NO~ (No reponable income, assets, or tra~actions.)
A. Deception of As~ts (i~]uding t~st a~ets) [ [ ~ B. Income during re~i~g period C. G~ss value at end of re~ing Vala~ D.
’, -i,~1 ..... ~:~
~,) .....m ......~,; ’ : m " m "[-~--; ........... ~i)
--
............. ~
1. 2. BANK OF AME~CA SER A P~ BANK OF AME~CA SER 2 P~ A A
_~ .........
Interest Interest K
~-w,
T Buy Sold
I
01/I 3/~ 05~ K K A
3. 4. 5, 6, 7. 8. 9. 10. 1 t. 12.
13. 14. 15. 16.
BECTON DICKENSON CO FIRST TR TAX ADVANT. PFD INC FD BIACKROCK NY MN 1 TR SBI EATON VANCE INS NY MUN CITIGROUP CAP. VIII DEF INT TRUST PFD STK 6.950% 09/15/31 EATON VANCE RISK MANGD DIVRS EQ INC FD ABN AMRO CAP FD TR VII PFD NON CUM 6.08% PERP ROYAL BK SCOT GRP PLC 6.35% NONCUM PRF SR-N BLACKROCK MUNIYIELD NY INS FD INC NUVEEN NY INV QUAL MUNI
NUVEEN NY QUAL INC MUNI PIMCO NY MUN INC FD COHEN & STEERS CLOSED END OPPTY FD(2)
A A C C A C C C A C
C B A
Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend
Dividend Dividend Dividend Dividend
K
T
Buy Sold
01113109 06/26/09 06/26/09
K K J
L L J K
T T T T
Buy
Buy Sold Sold
07129/09 11/10/09 09/15/09;
K K K
K L
L K J K
T T
T T T T Buy 05/08/09 J
ISHARES DOW JONES US RE INDEX FD A
17.
MERRILL LYNCH BANK USA(2)
A
Interest
K
T
Merged (with line 19)
FINANCIAL DISCLOSURE REPORT Page 5 of 9
Name of Person Reporting
DateorReport 05/I0/2010
Block, Frederic
NONE (No repomable income, assets, or tra~actions.)
A. ~fiption of Assets (i~luding trust ~sets) ~ "(X)" dter ~ch =~t exempt fmmpfior di~losure B. Income during ~po~ng ~riod Amount C~ [ (A-H) , ~ [ C. ~s value at end of r~ing (I) VMue Method C~e3 (Q-W) Ty~ (e.g., bay,~l,, redemption) / Date Value Gain D, T~n~cfions during ~ing
l~d~yy IC~e2 [C~* i
I (j.p) { (A.H)
....... 18. ~A CARD SERVICES NA A Interest K
[
Identity buyer/~ller (ifpfivate ~ans~tion)
T
19.
20.
SATURNS-GS 2~-2 SER GS 5.75%
~15133 BLACKROCK WORLD ~
B
A
Inter~t
Dividend
K
T
Sold 08/03/~ K
21.
NUVEEN NY PREF P~ MUNI
C
Dividend
L
T
Buy
11/10/~
J
(add’l)
22, R~RCH IN MOTION LTD None J T
23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
VERIZON COMM COM WI~S-IERN ASSTICLAYMORE US TREAS. INFLATION WESTERN ASSETICLAYMORE INFL.-LNKD OPT & INC FD IRA- F. BLOCK ALLIED CAPITALCORP NEW ANNALYCAP MGMT INC ARROW ALTERN. SOLUTIONS FD CL A BLACKROCK PFD INC STRAT BLACKROCK. PFD & CORP INC CGM ADVISOR TARG.EQ. FD CL C DWA TECH LEADERS PORT
B B B
Dividend Dividend Dividend
J
T
Buy Sold
05!13109 01/16/09
J K
K
T
A B A B B A
Dividend Dividend Dividend Dividend Dividend Dividend None
J K
T T Buy (add’l) Sold Sold Sold Sold Sold 07/14/’09 12/15/09 06/29109 06/29/09 03/06/09 07/17/09 J L K J J J
cLcEATON VANCE DIVIDEND BLDR FD
A
Dividend
K
T
I. Income Gain Codes: ( .gee ~"o1 orrm s B l arid D4) 2. Value Codes (See Columns CI and D3) 3. V~lue Mtthod tTodcs (See Column C2)
A ---.$1,000 t~r less F =$ 50.00 } . $ 100.000 J =515.000 or lest N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Apprai~l ILl =Book Value
B M 1,001 . $2.500 13 =.~ 1 00.00 1 - 5 1.000.000 K =$15.001 - $50.000 O =$500.001 - $1,000.000 R =~ost (Real Estate Only) V~
C =$2,501 - $5.000 H I =$ 1.000.001 - 55,000.000 L =$50.001 - $ 100.000 PI =51.000.001 - $5.000.000 P4 =More than 550,000.000 $ =As~e~srmnt W ---Estimated
D =$5,001 . 515.D00 H 2 --A~ore than $5.000.000 M W2 --$5,000,001 . T
E =$15,001 - $50.000
I
FINANCIAL DISCLOSURE REPORT Page 6 of 9
Name of Person Reporting
I BIo~, ~d~n~ VII. INVESTMENTS and TRUSTS .. i.eome, .at... ,r~..,~c.o., a.e~,,ao. ,~o,. oy.m~.. ..a a,~..a.~t .~.: .. rp. 34-60 of fit~g lnamcaons.)
NO~ (No reportable income, ~sets, or tra~actiom.)
~fiption of Assets (including trust assets) PIa~’(X)" after~cha~et exempt from pdor disclosure ] t [ Income during ~ng period ~ ~s vMue at end ’ of redoing Value C~e2 (J’P) ] I I I Value Meth~ C~e 3 (Q-W) ........ T~ (e.g., buy, sell, redemplion)
~.~e 0~ ~.rt os/to/2olo
Transactions during rep~ng ~fiod
~Amount / Ty~(e.g., ~ C~e I / div.,rent, (A’H)I orint.) ...... A A B A B C B A A C C A A Di~dend Dividend ~vidend Interest Interest ]nte~st Interest Dividend Dividend Dividend Dividend Dividend Dividend None C A B Dividend Dividend Dividend
Date i Value [ G~n t ~mmld~ry ~ I (J’P) ~ (A-H) 1. L.. K K J !
Id~tityof (ifp6vate ~nsaction~
35. 36. 37. 38, 39. ~. 41. 42, 43. ~. 45. 46. 47. 48. 49. 50. 51.
EATON VANCE RISK MANAGED DIVRS.EQ. ~C FD JOHN HANC~K ~ CAP EQ E~ CL C PI~CO TOTAL R~URN FD CL C -MORGAN ~y- ~ V DEF INT TR P~ 5.75% 7/15~3 CBS ~RP. 7.25%~0151 -CITIGROUP CAP VIII DEF 1~ TR P~ ~K 6.95% 09/15/31 -VO~ADO R~LTY TRUST SERF CUM PFD SHS 6.75% PERP AMERIC~ ~NDM IN~ CL C ~ AMERICAN CAP WLD GRW & INC CL AMERICAN BOND ~ OF AME~CA CL C AMERICAN BOND FD OF AMERICA CL C ARROW DWA BA~NCED ~ CL A BLACKROCK EQUITY DIV FD C B~CKR~K HL SC OPPC CA~MOS CONV OPP INC FD CALAMOS CONVERTIBLE FD CL C CO~N & ~EERS CLOSED END OP~Y FD
Sold Sold L J K K K T T T T T Sold Sold L L L K K K K K T T T T T T T T Buy Buy Buy Buy (add’i) Buy (add’l) Sold Buy (add’l)
10~&~ 0~4/~ 12/15/09
07/15/~ 07115/~ 07/15/09 10/13/~
K K L K
091~I~ 0~4/~ 0~19/~ 08I~
K K K
I. Income Gain Codes: 2. Value C~~ (~o Colu~s CI a~ D3) 3. Value Mer~ ~
[
A =$1,0130 or less J ~15,~ ~ less N ~250,~1 - $5~,~ Q =App~
U =B~ V~
B =$1,001 - $2.500 K =$15,~1 - $50.~ O ~5~.~1 - $1,~,~ R ~st (Real Es~te On)y)
V =Oth~
C =$2.501 - $5,~00 L =150,~1 - $1~,~ PI ~1.~1 - $5,~.~ S =A~ss~nl
W =E~imated
D M ~1~,~1 - ~,~ ~ ~,~,~I - $25,~,~ T ~a~h ~k~
!
J
FINANCIAL DISCLOSURE REPORT Page 7 of 9
Name of P .... n Reporting
Date of Report
Block, Frederic
05110/2010
VII. INVESTMENTS and TRUSTS - i.co,~e, ~o, t~.~actio.s a.elud~ tho~ oy ~po~ ~.~ ~..d~.t c~U~ro.; ~. rr. 34-60 of filing instructions.)
[~] INONE (No reportable income, assets, or transactions.) A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during repoaing period Amount [ Type (e.g.. Code I I div., rent, (A-H) ~ or int.) ......... 52. 53. 54. 55. 56. -EVERGREEN MANAGED INCOME FUND Multi Sector IVY ASSET STRATEGY FD CL C BLACKROCK ALLOCATIONC SATURNS-GS 2004-2 SER GS 5.75% 2/15/33 THORNBURG INC BUILDER FD CL C A B B C Dividend None Dividend Dividend Dividend K K T T K L C. Gross value at end of reposing peri..~.~_~ Value Code 2 (J-P) Value Method Code3 (Q-W) T T Buy (add’l) Sold 03119/09 03/19109 J J Type (e.g.. buy. sell, D. Transactions during reporting period
[ Date [ Value [mm/dd/yy t Code 2
Gain Code 1 ,A-H,
redemption)__j._ (._. ~ (J-P)
Identity of buyerlseller ,if private Irunsaction)
57. 58.
59. 60. 61. 62. 63. 64. 65. I 66.
-MERRILL LYNCH BANK USA RASP FIACARDSERVICES NA RASP
USB CAPITAL VI 5.75% 3/9/35 -LOOMIS SAYLES INV GRADE BOND FD CL C LOOMIS SAYLES STRAT INC FD CL C ¯ MFS UTILITIES FD SER TR VI UTL CL ( PIMCO ALL ASSET ALL AUTH FD CL C PIMCO REAL RETURN FD CL C NUVEEN QUAL PREF INC 2 BANK OF SMITHTOWN
A A
B C C B C B C
Interest Interest
Dividend Dividend Dividend Dividend Dividend Dividend Dividend None
J K
K K L L K L
T T
T T T T T T
Merged (with line 59)
Buy (add’l) Sold (pan) Buy (add’l) Buy Buy Buy Sold
10/21/09 06/09/09 10/26/09 12/10/09 10/07109 06/04109 08IIM/09
K K K L K L K
J
T
(gee Colu~ BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Mel~d Cod~ (See Cnlur~ C2)
F =$50,001 - $100.000 I =$15,000 or less N =$250,001 - $500,000 P3 ----$25.000,0~ l - $50,000.000 Q -Appraisal LI =Book Value
G =$lO0.001 - $1,000.000 K =$ I 5.001 ¯ $50,000 O ~--$500.001 . $1.000,000 R ~:o~t (Real Egtate Only) V =Other
HI =$I.000.001 . $5.000.[130 L --$5D.001 . $ I00,0(~0 PI :$1.000,001 - $5,000.1X)0 P4 =Mote than $50,000.000 $ =Assessmenz W =E~’im.~ted
H2 =Mo~ Ihan $5.000.0(10 M ---~100.001 . $250,000 P2--$5.000,001. $25,000.000 T---Cagh Marke~ ,
|
FINANCIAL DISCLOSURE REPORT Page 8 of 9
! Name of Person Reporting
Date of Report
Block, Frederic
05110/20t0
VHI. ADDITIONAL INFORMATION OR EXPLANATIONS.
FINANCIAL DISCLOSURE REPORT Narne or Person R¢porting Page 9 of 9 Block, Frederic
IX. CERTIFICATION.
Oate of Report
05/10/2010
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-disriosure. 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 eL seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signat~
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FAI 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 Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
Rev. 1/2010
I
FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009
2. Court or Organization U.S. District Court
5a. Report Type (check appropriate type) [] Nomination, [] Initisl [] Annual Date [] Final
R+,por~ Req,,i,e~ b)’ the EthOs
in Government Act of 1978 is u.s.c, app. §§ 101-111)
1. Person Reporting (last name, first, middle initial) Block, Frederic
4. Title (Aaicle Ill judges indicate active or senior status; magistrate judges indicate full- or part4ime) U.S. District Judge
3. Date of Report 05/10/2010
6. Reporting Period 01/01/2009 to
7. Chambers or Office Address 225 Cadman Plaza E. Eastern Distdct Court of NY Brooklyn, NY ll201
5b. [] Amended Report S, 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. 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. tRevo.ing +..,,+i,,u,,,,t onty; s,,o.,,,o. 9-13 of filing instructions.)
[---] NONE (No reportable positions.)
POSITION
1, Officer
NAME OF ORGANIZATION/ENTITY
Frederic Block, P.C.
NONE (No repoaable agreements.) DATE PAR~S ~ TE~S
r’~
--
Block, Frederic
FINANCIAL DISCLOSURE REPORT
Name of Person Reporting
Date of Report
Page 2 of 9
[ Block, Frederic HI. NON-INVESTMENT INCOME. (Repo~ng ~nd~d~at a~ ,pou~e; ,ee ~,. 17-24 of filing instructions.) A. Filer’s Non-Investment Income
~] NONE(No reportable non-investment income.) DATE
1.
OStlO/2OlO
SOURCE AND TYPE
INCOME
(yours, not spouse’s)
B. Spouse’s Non-Investment Income - if you we. married during any portion of the reporting year, complete this section,
(Dollar amaunt not required except for honoraria.)
~-~
NONE (No reportable non-investment income.)
DATE SOURCE AND TYPE
1.
IV. REIMBURSEMENTS - transportation, lodging, food, entertai .... l.
(Includes those to spouse and dependent children; see pp. 25-27 of fillng irtstructions.)
~-]
]~ONE (No reportable reimbursements.) SOURCE .DATES
1/14/2009 to 1/21/2009
LOCATION
ASPEN, CO
PURPOSE
EDUCATIONAL SEMINAR
ITEMS PAID QP- PRQVIDED
TRANSPORTATION, LODGING AND FOOD
I.
NATIONAL ASSOC. OF CRIMINAL DEFENSE LAWYERS NORTHWESTERN UNIVERSITY SCHOOL OF LAW GEORGE MASON UNIVERSITY SCHOOL OF LAW
2.
4/22/2009 TO 4124/2009
CHICAGO, IL
PROFESSIONAL EDUCATION
TRANSPORTATION, LODGING AND FOOD
3.
1 !/30/2009 TO 12/6/2009
CAPTIVA ISLAND, FLORIDA
PROFESSIONAL EDUCATION
FOOD AND LODGING
FINANCIAL DISCLOSURE REPORT
Page 3 of 9
Na.,e of P ....Reporting
Date of Report
Block, Frederic
05/1012010
~-]
NONE (No reportable gifts.) SD~CE
DESCRIPTION
I. 2. 3. 4. 5.
VI. LIABILITIES. an¢t,a,s those of spouse and dependent children; see pp, 32-33 of filing instructions.)
[] NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUE CODE
FINANCIAL DISCLOSURE REPORT Page 4 of 9
Name of P .... Reporting
Date of Report
Block, Frederic
05/10/2010
VII. INVESTMENTS and TRUSTS - ~.co.~e, r~e, ,r=s.c~.s a.a=d.s ,ho;. o~’ ~
NO~ (No reponable income, assets, or tra~actions.)
A. Deception of As~ts (i~]uding t~st a~ets) [ [ ~ B. Income during re~i~g period C. G~ss value at end of re~ing Vala~ D.
’, -i,~1 ..... ~:~
~,) .....m ......~,; ’ : m " m "[-~--; ........... ~i)
--
............. ~
1. 2. BANK OF AME~CA SER A P~ BANK OF AME~CA SER 2 P~ A A
_~ .........
Interest Interest K
~-w,
T Buy Sold
I
01/I 3/~ 05~ K K A
3. 4. 5, 6, 7. 8. 9. 10. 1 t. 12.
13. 14. 15. 16.
BECTON DICKENSON CO FIRST TR TAX ADVANT. PFD INC FD BIACKROCK NY MN 1 TR SBI EATON VANCE INS NY MUN CITIGROUP CAP. VIII DEF INT TRUST PFD STK 6.950% 09/15/31 EATON VANCE RISK MANGD DIVRS EQ INC FD ABN AMRO CAP FD TR VII PFD NON CUM 6.08% PERP ROYAL BK SCOT GRP PLC 6.35% NONCUM PRF SR-N BLACKROCK MUNIYIELD NY INS FD INC NUVEEN NY INV QUAL MUNI
NUVEEN NY QUAL INC MUNI PIMCO NY MUN INC FD COHEN & STEERS CLOSED END OPPTY FD(2)
A A C C A C C C A C
C B A
Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend
Dividend Dividend Dividend Dividend
K
T
Buy Sold
01113109 06/26/09 06/26/09
K K J
L L J K
T T T T
Buy
Buy Sold Sold
07129/09 11/10/09 09/15/09;
K K K
K L
L K J K
T T
T T T T Buy 05/08/09 J
ISHARES DOW JONES US RE INDEX FD A
17.
MERRILL LYNCH BANK USA(2)
A
Interest
K
T
Merged (with line 19)
FINANCIAL DISCLOSURE REPORT Page 5 of 9
Name of Person Reporting
DateorReport 05/I0/2010
Block, Frederic
NONE (No repomable income, assets, or tra~actions.)
A. ~fiption of Assets (i~luding trust ~sets) ~ "(X)" dter ~ch =~t exempt fmmpfior di~losure B. Income during ~po~ng ~riod Amount C~ [ (A-H) , ~ [ C. ~s value at end of r~ing (I) VMue Method C~e3 (Q-W) Ty~ (e.g., bay,~l,, redemption) / Date Value Gain D, T~n~cfions during ~ing
l~d~yy IC~e2 [C~* i
I (j.p) { (A.H)
....... 18. ~A CARD SERVICES NA A Interest K
[
Identity buyer/~ller (ifpfivate ~ans~tion)
T
19.
20.
SATURNS-GS 2~-2 SER GS 5.75%
~15133 BLACKROCK WORLD ~
B
A
Inter~t
Dividend
K
T
Sold 08/03/~ K
21.
NUVEEN NY PREF P~ MUNI
C
Dividend
L
T
Buy
11/10/~
J
(add’l)
22, R~RCH IN MOTION LTD None J T
23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
VERIZON COMM COM WI~S-IERN ASSTICLAYMORE US TREAS. INFLATION WESTERN ASSETICLAYMORE INFL.-LNKD OPT & INC FD IRA- F. BLOCK ALLIED CAPITALCORP NEW ANNALYCAP MGMT INC ARROW ALTERN. SOLUTIONS FD CL A BLACKROCK PFD INC STRAT BLACKROCK. PFD & CORP INC CGM ADVISOR TARG.EQ. FD CL C DWA TECH LEADERS PORT
B B B
Dividend Dividend Dividend
J
T
Buy Sold
05!13109 01/16/09
J K
K
T
A B A B B A
Dividend Dividend Dividend Dividend Dividend Dividend None
J K
T T Buy (add’l) Sold Sold Sold Sold Sold 07/14/’09 12/15/09 06/29109 06/29/09 03/06/09 07/17/09 J L K J J J
cLcEATON VANCE DIVIDEND BLDR FD
A
Dividend
K
T
I. Income Gain Codes: ( .gee ~"o1 orrm s B l arid D4) 2. Value Codes (See Columns CI and D3) 3. V~lue Mtthod tTodcs (See Column C2)
A ---.$1,000 t~r less F =$ 50.00 } . $ 100.000 J =515.000 or lest N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Apprai~l ILl =Book Value
B M 1,001 . $2.500 13 =.~ 1 00.00 1 - 5 1.000.000 K =$15.001 - $50.000 O =$500.001 - $1,000.000 R =~ost (Real Estate Only) V~
C =$2,501 - $5.000 H I =$ 1.000.001 - 55,000.000 L =$50.001 - $ 100.000 PI =51.000.001 - $5.000.000 P4 =More than 550,000.000 $ =As~e~srmnt W ---Estimated
D =$5,001 . 515.D00 H 2 --A~ore than $5.000.000 M W2 --$5,000,001 . T
E =$15,001 - $50.000
I
FINANCIAL DISCLOSURE REPORT Page 6 of 9
Name of Person Reporting
I BIo~, ~d~n~ VII. INVESTMENTS and TRUSTS .. i.eome, .at... ,r~..,~c.o., a.e~,,ao. ,~o,. oy.m~.. ..a a,~..a.~t .~.: .. rp. 34-60 of fit~g lnamcaons.)
NO~ (No reportable income, ~sets, or tra~actiom.)
~fiption of Assets (including trust assets) PIa~’(X)" after~cha~et exempt from pdor disclosure ] t [ Income during ~ng period ~ ~s vMue at end ’ of redoing Value C~e2 (J’P) ] I I I Value Meth~ C~e 3 (Q-W) ........ T~ (e.g., buy, sell, redemplion)
~.~e 0~ ~.rt os/to/2olo
Transactions during rep~ng ~fiod
~Amount / Ty~(e.g., ~ C~e I / div.,rent, (A’H)I orint.) ...... A A B A B C B A A C C A A Di~dend Dividend ~vidend Interest Interest ]nte~st Interest Dividend Dividend Dividend Dividend Dividend Dividend None C A B Dividend Dividend Dividend
Date i Value [ G~n t ~mmld~ry ~ I (J’P) ~ (A-H) 1. L.. K K J !
Id~tityof (ifp6vate ~nsaction~
35. 36. 37. 38, 39. ~. 41. 42, 43. ~. 45. 46. 47. 48. 49. 50. 51.
EATON VANCE RISK MANAGED DIVRS.EQ. ~C FD JOHN HANC~K ~ CAP EQ E~ CL C PI~CO TOTAL R~URN FD CL C -MORGAN ~y- ~ V DEF INT TR P~ 5.75% 7/15~3 CBS ~RP. 7.25%~0151 -CITIGROUP CAP VIII DEF 1~ TR P~ ~K 6.95% 09/15/31 -VO~ADO R~LTY TRUST SERF CUM PFD SHS 6.75% PERP AMERIC~ ~NDM IN~ CL C ~ AMERICAN CAP WLD GRW & INC CL AMERICAN BOND ~ OF AME~CA CL C AMERICAN BOND FD OF AMERICA CL C ARROW DWA BA~NCED ~ CL A BLACKROCK EQUITY DIV FD C B~CKR~K HL SC OPPC CA~MOS CONV OPP INC FD CALAMOS CONVERTIBLE FD CL C CO~N & ~EERS CLOSED END OP~Y FD
Sold Sold L J K K K T T T T T Sold Sold L L L K K K K K T T T T T T T T Buy Buy Buy Buy (add’i) Buy (add’l) Sold Buy (add’l)
10~&~ 0~4/~ 12/15/09
07/15/~ 07115/~ 07/15/09 10/13/~
K K L K
091~I~ 0~4/~ 0~19/~ 08I~
K K K
I. Income Gain Codes: 2. Value C~~ (~o Colu~s CI a~ D3) 3. Value Mer~ ~
[
A =$1,0130 or less J ~15,~ ~ less N ~250,~1 - $5~,~ Q =App~
U =B~ V~
B =$1,001 - $2.500 K =$15,~1 - $50.~ O ~5~.~1 - $1,~,~ R ~st (Real Es~te On)y)
V =Oth~
C =$2.501 - $5,~00 L =150,~1 - $1~,~ PI ~1.~1 - $5,~.~ S =A~ss~nl
W =E~imated
D M ~1~,~1 - ~,~ ~ ~,~,~I - $25,~,~ T ~a~h ~k~
!
J
FINANCIAL DISCLOSURE REPORT Page 7 of 9
Name of P .... n Reporting
Date of Report
Block, Frederic
05110/2010
VII. INVESTMENTS and TRUSTS - i.co,~e, ~o, t~.~actio.s a.elud~ tho~ oy ~po~ ~.~ ~..d~.t c~U~ro.; ~. rr. 34-60 of filing instructions.)
[~] INONE (No reportable income, assets, or transactions.) A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during repoaing period Amount [ Type (e.g.. Code I I div., rent, (A-H) ~ or int.) ......... 52. 53. 54. 55. 56. -EVERGREEN MANAGED INCOME FUND Multi Sector IVY ASSET STRATEGY FD CL C BLACKROCK ALLOCATIONC SATURNS-GS 2004-2 SER GS 5.75% 2/15/33 THORNBURG INC BUILDER FD CL C A B B C Dividend None Dividend Dividend Dividend K K T T K L C. Gross value at end of reposing peri..~.~_~ Value Code 2 (J-P) Value Method Code3 (Q-W) T T Buy (add’l) Sold 03119/09 03/19109 J J Type (e.g.. buy. sell, D. Transactions during reporting period
[ Date [ Value [mm/dd/yy t Code 2
Gain Code 1 ,A-H,
redemption)__j._ (._. ~ (J-P)
Identity of buyerlseller ,if private Irunsaction)
57. 58.
59. 60. 61. 62. 63. 64. 65. I 66.
-MERRILL LYNCH BANK USA RASP FIACARDSERVICES NA RASP
USB CAPITAL VI 5.75% 3/9/35 -LOOMIS SAYLES INV GRADE BOND FD CL C LOOMIS SAYLES STRAT INC FD CL C ¯ MFS UTILITIES FD SER TR VI UTL CL ( PIMCO ALL ASSET ALL AUTH FD CL C PIMCO REAL RETURN FD CL C NUVEEN QUAL PREF INC 2 BANK OF SMITHTOWN
A A
B C C B C B C
Interest Interest
Dividend Dividend Dividend Dividend Dividend Dividend Dividend None
J K
K K L L K L
T T
T T T T T T
Merged (with line 59)
Buy (add’l) Sold (pan) Buy (add’l) Buy Buy Buy Sold
10/21/09 06/09/09 10/26/09 12/10/09 10/07109 06/04109 08IIM/09
K K K L K L K
J
T
(gee Colu~ BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Mel~d Cod~ (See Cnlur~ C2)
F =$50,001 - $100.000 I =$15,000 or less N =$250,001 - $500,000 P3 ----$25.000,0~ l - $50,000.000 Q -Appraisal LI =Book Value
G =$lO0.001 - $1,000.000 K =$ I 5.001 ¯ $50,000 O ~--$500.001 . $1.000,000 R ~:o~t (Real Egtate Only) V =Other
HI =$I.000.001 . $5.000.[130 L --$5D.001 . $ I00,0(~0 PI :$1.000,001 - $5,000.1X)0 P4 =Mote than $50,000.000 $ =Assessmenz W =E~’im.~ted
H2 =Mo~ Ihan $5.000.0(10 M ---~100.001 . $250,000 P2--$5.000,001. $25,000.000 T---Cagh Marke~ ,
|
FINANCIAL DISCLOSURE REPORT Page 8 of 9
! Name of Person Reporting
Date of Report
Block, Frederic
05110/20t0
VHI. ADDITIONAL INFORMATION OR EXPLANATIONS.
FINANCIAL DISCLOSURE REPORT Narne or Person R¢porting Page 9 of 9 Block, Frederic
IX. CERTIFICATION.
Oate of Report
05/10/2010
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-disriosure. 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 eL seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signat~
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FAI 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 Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
