AOJO '
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.
·. .
.
FINANCIAL DISCLOSURE REP
,
FOR CALENDAR YEAR 2009
• .
I. Puson Reporting (last name,
fir;t, middle initial)
©1ortRequiredbythe£thics
Government Act of I 9 78
•
!/ \J
5 u.s.c. opp.§§ 101-11 JJ
3.
Date of Report
06128/2010
U.S. District Court, SONY
(Article lII judges indicate active or senior status;
magistratejudges indicate full- or part-time)
U.S. Magistrate Judge Full Time
Sa. Report Type (check appropriate
0
0
Sb.
7. Chambers or OffKc Address
U.S. Courthouse
40 Centre Street
New York. New York
D\ l
'
2. Court or Oq;anlz•tion
Fox, Kevin N.
4. Title
f-') :. (
0
Dt
01/01/2009
ae
Nomination,
0
Initial
6. Reporting Period
type)
Annual
0
to
Final
12131/2009
Amended Report
8. On the basis of the information contained in tlii• Report and any
modifications pertaining thereto, it b, in
with applicable laws and regulations.
10007
my opinion, in compliance
t
Da e
Reviewing Officer
IMPORTANT NOTES: The instructions accompanying this farm 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.
D
(Rl!porfing itulividuaf only;
...
pp. 9-IJ offiling instructions.)
NONE (No reportable positions.)
POSITION
NAME OF ORGANIZATION/ENTITY
I.
2.
Trustee
Trust
#1
CJ
'=
3.
, ..
4.
c:..:
5.
···
a:.:.-F
'l
CJ
fTl
II. AGREEMENTS.
[Z]
rn
J
(J-'.
ill
)>
-9
<
rn
0
..0
{Rtportlng indfriJuaf only;'" pp. U-16 tf
> fiting instruc.lions.)
NONE (No reportable agreements.)
PARTIES AND TERMS
I.
2.
3.
Fox, Kevin N.
FINANCIAL DISCLOSURE REPORT
Page 2of8
Name of Person
Fox,
IIJ. NQN-INVESTMENT JNCOME.
ReportinfF>
Kevin N.
Date of Report
0612812010
(Reporting indfridual and 5pouS<; see pp. 17-U of filing in•lruction. )
A. Filer's Non-Investment Income
[{]
NONE (No reportable non-investment income.)
INCOME
SOURCE AND TYPE
(yours, not spouse's)
I.
2.
3.
4.
B. Spouse's Non-Investment Income
-
lfyo11 were m11rrid during any portU>n o/1herq10rting year, complete this section.
(Dollar amount not requiredexcept for honoraria.)
[{]
NONE (No reportable non-investment income.)
SOURCE AND TYPE
I.
2.
3.
4.
IV. REIMBURSEMENTS
-tran5porlation, llldging,food, en/ertainmmL
(lncluda tho$c to spouS< and dependent childrr:n; supp. 15-27 offiling
[{]
NONE (No reportable reimbursements.)
SOURCE
I.
2.
3.
4.
5.
imtruc1io11s.)
LOCATION
PURPOSE
ITEMS PAID OR PROVIDED
FINANCIAL DISCLOSURE REPORT
Page 3 of 8 ·
N1me of Penon Reporting
Fox, Kevin N.
rr
:?
Date of Report
06/2812010
V. GIFTS. (Includes those to spoMSe and dependmt cJU!Jren; supp. 18-31 offiling instructions.)
[ZJ
NONE (No reportable gifts.)
SOURCE
DESCRIPTION
VALUE
I.
2.
J.
4.
5.
VI. LIABILITIES. (lncl
..d<S
[Z]
2.
3.
4.
5.
ofspouse and drpendenl c!tiltlren; supp. Jl-JJ offiling instructions.)
NONE (No reportable liabilities.)
CREDITOR
I.
those
DESCRIPTION
VALUE CODE
Date of Report
Name of Penoa Reporting
FINANCIAL DISCLOSURE REPORT
Page 4of8
Kc•in N.
Fox,
0612812010
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those ofspouse and dependent children; see PP· 34-60 offiling instructinns.)
D
NONE (No reportable income, assets, or transactions.)
A.
B.
c.
D.
Description of Assets
Income during
Gross value at end
of reporting period
Transactions during reporting period
(including trust
assets)
n:porting period
(I)
(2)
(I)
(2)
Place "(X)" after each asset
/Amount
Typc(e.g.,
Value
Value
exempt from prior disclosure
I (A-11)
I
Code 2
(J-P)
Method
buy, sell,
Code3
redemption)
.
Code I
div.9 rent,
or int)
A
Dividend
J
T
New York Tax Free Income Fund
A
Dividend
1
T
A
Dividend
K
T
D
Interest
L
T
B
Interest
K
T
B
Interest
K
T
B
Interest
L
T
Eaton
2.
Franklin
Class A
.•
(Q-W)
Vance Dividend Builder Fund Class A
I.
(I)
TYPC(e.i:
I (2)
(3)
(4)
(5)
Date
Value
Gain
Identity of
,mmldd/yy
Code2
Code I
buyer/seller
(J-P)
(A-H)
I
(if private
transaction)
!
3.
Accounts (Y)
4.
Chase Bank
5.
New York Stock Exchange Employee
Savings Plan
6.
7.
8.
9.
10.
Rochester Fund Municipal Class
A
11.
12.
NYS Urban Dev. Corp. Sub. Lien Corp.
Purpose Bonds
13.
14.
15.
TBTA Gen. Purpose Bonds
16.
Counuy Bank
Accounts
17.
I. lncomc Gain Codes:
(Sec Columns B1 and 04)
2. Value Codes
(See Column• Cl aod Dl)
A -=S1,000 or lesc
B •Sl,001
f •$50,001. SI00,000
G =SI00.001
hod Codes
(S<c Column Cl)
H.:\00
•
Sl .000,000
C =S2,501 - SS,000
D -Sl,001
HI =Sl,000.001
H2 =More than $5,000,000
•
S5,000,000
J •S 15.000 ode,.
K •SIS,001 - $50,000
L •$50,001
N -S2SO,OOI
0 •$500.001
Pl •St,000,001 -S5,000,000
•
SS00.000
Pl •Sll,000,001
3. Value M
•
•
•
Sl,000,000
$50,000,000
•
$100,000
-
SIS ,000
M -$100,001- 5250,000
P2 =SS,000,001 - $25,000,000
P4 •More th•n Sl0,000,000
Q•App<aisal
R "'°"''(Real Em•• Only)
S-Asscssmcnt
U •Book Value
V ...other
w =Estim11tcd
T=CuhMade!
E =S 15.00 I • $50,000
l'iamt
FINANCIAL DISCLOSURE REPORT
Page 5of8
Fox, Kevin N.
VII. INVESTMENTS and TRUSTS
D
NONE
of Persoa R•porting
rF
D•t• of Report
06/2812010
B
- income, vat•u. transactions <tnc1udts thou ofspouse (l1IJ/ dependent children;,,. PP. 34-oo offiling instruc:nons.J
(No reportable income, assets, or transactions.)
A.
B.
C.
D.
Description of Assets
Income during
Gross value at end
Transacrions during rcponing period
reporting period
of rcponing period
(including trust assets)
Code 1
(2)
Type (e.g.,
div., rent.
(A-H)
or int.)
(I)
Place "(X)" after each asset
exempt from prior disclosure
Amount
(I)
Value
Code2
(J-P)
(2)
Value
Method
(I)
(2)
(3)
(4)
(5)
Type (e.g.,
Date
Value
Gain
ldentity of
Code I
buycr/se lier
Code3
redemption)
buy,
sell,
mm/dd/yy Code2
(J-P)
(Q-W)
18.
Trust #I
19;
- CNA Life lns. Policy
20.
- Reassure Am. Life Ins. Policy
21.
- United Healthcare Group Term Life Ins.
None
Pl
T
(A·ll)
I
(ifprivale
lransaction)
Policy
22.
23.
Time Warner Common Stock
A
Dividend
J
T
24.
JP Morgan Chase Common Stock
A
Dividend
J
T
25.
Procter & Gamble Common Stock
A
Dividend
J
T
26.
American Express Common Stock
A
Dividend
J
T
Country Bank (IRA) (CD)
A
Interest
J
T
Municipal Credit Union Accounts
B
Interest
J
T
33.
Merrill Lynch CMA Bank Account
A
Interest
J
T
34.
Time Warner Cable Common Stock
A
Dividend
J
T
27.
28.
29.
30.
3l.
32.
Spino IT
03/30/09
J
(from line 23)
I. Income Gain Code':
(SceColumrisBI andO.)
2. Value Codes
(See Column• Cl
and DJ)
A -S 1,000 or leu
B •Sl.001
F •SS0,001
G •SI00,001 - $1,000.000
•
SI00.000
(See Colwnn C2)
S2.500
SS0,000
J •S",000 odas
K •SIS.001
N •$250,00t
o-ssoo.001 -s1.ooo.ooo
•
SS00,000
rJ --s2s.ooo.oot
3. Value Method Codes
•
Q•Appn;sal
U -=Dook Value
•
sso,000.000
-
c =$2.501
•
ss.ooo
D
S.001-SIS,OOO
Ht :St,000.001-ss.000, 000
Hl •More than SS,000.000
L •$50,001
M -$100,001
•
SI00.000
Pl •Sl.000,001 -SS,000,000
•
$250,000
P2 =SS,000,001
•
P4 =Mon: than $50.000,000
R ..Cost (Real Estate Only)
S =As.iroessmcnt
v -other
W -Estimated
T-C..SbMand
$25,000.000
E=SIS,001 ·SS0.000
Page 6of8
06n&12010
Fox, Kevin N.
VII. INVESTMENTS and TRUSTS
0
D•t• ofHeport
Name of Person Reporting
FINANCIAL DISCLOSURE REPORT
-incom<, wzlue, /NJnsacliolU (lrrdudn thou ofspous and JqHnJent children; see PP· 34-60 offiling instructions.)
NONE (No reportable income, assets, or transactions.)
D.
A.
B.
c.
Description of Assets
Incomeduring
Gross. value at end
reporting period
of reporting period
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
Tran
(!)
(2)
(!)
(2)
(1)
(2)
(3)
Amount
Type(e.g.,
Value
Value
Type (e.g.,
Date
Value
Code l
div., rent,
buy,sdl,
mm/dd/yy
Code2
or int.)
Code2
Method
(A-11)
(J-P)
Code3
redemption)
(Q-W)
135.
Citibank (IRA) (CD)
1. Income Gain Codes:
(Sec Column5 Bl
ind 04)
2. Value Codes
(Sec Columns C l and DJ)
3. Value Method Codes
(Sec Column C2)
tions during reporting period
A
Interest
K
L
I
(5)
Identity of
Code I
buyer/seller
I
- ss.ooo
B c$1,00t - $2,lOO
c -S2,501
G cSI00,001
111 •s1.ooo.001- ss.000.000
1
___
____
D •SS,001 • SIS,000
H2 ·M
than Sl.000.000
J cS I l,000 or les5
K-SIS.OOl -SS0,000
l =$50,001 - $100.000
M <$100,001. $250,000
N •Hl0,001
0 <$500,00I
Pl =Sl,000,001 ·SS.OOO,OOO
P2 =<Sl,000,001 - $25.000,000
S =Assessment
T=CuhMarlcct
•
$500.000
PJ <Sll,000,001. sso.000.000
•
Sl,000,000
Q •Appr>lsal
R -Cost (Real E.sutc Only)
U •Rook Value
V=<Jtha
(if private
(A-H)
transaction)
..
T
A -$1,000orl<S.I
Sl,000,000
I
: _____
F =sso.001 -s100,ooo
•
(J-P)
(4)
Gain
!
P4 -More than SS0.000,000
W =-Estimated
E =SI l,001
•
SS'1.000
FINANCIAL DISCLOSURE REPORT
Page 7of8
Date of Report
Name of Person Reporting
06/28/2010
Fox, Kevin N.
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.
(lndicattparlofReporL)
In Section VII, at line 4, the accounts at Chase Bank did not satisfy the reporting thresholds; therefore, a"(Y)" was noted at the line 4 entry.
In Section VII, at line 22, the UBS Cash Fund account was deleted, as the account was closed, in September 2009. The funds in that account were transferred,
immediately, to a new Merrill Lynch account, as reflected at line 33.
In Section VII, at line 32, the Municipal Credit Union IRA CD account was deleted, because the CD matured, in August 2009. The funds were placed,
immediately, in a Citibank IRA CD account, as noted at line 35.
FINANCIAL DISCLOSURE REPORT
l'"ame of Ptrson Reporting
Page 8of8
Fox, Kevin N.
Dat< or R•port
06128/2010
IX. CERTIFICATION.
I certify that all information given abon (Including information pertaining to my spouse and minor or dependent children , if any)
accurate, true, and complete to the best ofrny know ledge and belief,
provisions
p ermitting non-disclosure.
Is
and that any information not reported was withheld because it met applicable statutory
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 US.C. app. §
501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL
AND CRIMINAL SANCTIONS (5 U.S.C. app. § I04)
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