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~. Person Reporting (last name, first, middle initial) GAR_AUFIS, NICHOLAS G, 4. Title (Article IlI judges indicate acti~.e or senior status: magi~.trate judges indicate ~ll- or pa~-time) UNITED STATES DISTRICT JUDGE
5b. ~ Amended Repurl 7. Chanlbers or Office Address US DISTRICT COURT EDNY 225 CADMAN PLAZA EAST BROOKLYN, NY 11202 8. On the basis of the information contained in this Report and any modifications pertaluiug thereto, it is, in my opinion, in compliance with applicable la~s and regulations. Date
I]ffPORTANT NO TES: The instructions accompanying this fornt must be fo!lowed. Complete all part.~,
checking the NONE box for each part where you have no reportable information. Sign on last page.
pOSITION
I. MEMBER, BOARD OF DIRECTORS
NAM_E OF ORGANIZATIQN/E~TITY
SPECTATOR PUBLISHING COMPANY, INC.
I. 02/09/1997
DaleofReport
07/30/2010
Page 2 of 9
GA~UFIS, NICHOLAS G.
III. NON-INVESTMENT INCOME. ~o.,i~g ~d~g~ ,,.~ro~; ~ ~. ~ ~-~4 o/y~i~g ~,~ ...... .o~4
A. Fliers Non-Investment Income
~
1. 2009 2. 3, 4.
NONE
(No reportable
DATE
non-investment income.)
SO~CE A~ TYPE
ABC ~C. I~TI~MENT PLAN
~COME
(yours, not spouses) $13,0~3
B. Spouses Non-Investment Income - ~f ~,,,. were married doting any portion of ~he reporting year, complete this sec~o~ (Dollar amount not required except./br honoraria.) ~ NONE (No reportable non-im,estment income.)
DATE
~. 2009 2. 2009 3. 2009 4. 2009
~
1. UNITED STATES TENNIS A SSOCIATION LFNITED STATES TENNIS ASSOCIATION UNITED STATES TENNIS ASSOCIATION
DAT~
01108/09 -01/10/09
LOCATION
KIAWAIt ISLAND, SC
PURPOSE
CONFEI/.ENCE
2.
03/14//09 - 03/17/09
PALM SPRINGS, CA
CONFERENCE
TRAVEL
3.
09/05/09 - 09/07/09
NEW YORK, NY
CONFERENCE
TRAVEL
4. 5.
Page 3 of 9
~;A~t~S, NICHOLAS G.
07130/2010
2. 3.
4.
5.
~]
1. 2. 3. 4. 5.
Page 4 of 9
VII. INVESTMENTS and TRUSTS - ~ ....
~
Date of Report
07/30/2010
lions (Includes those of sp ....... d dependent children; see pp. 34-60 of llting instruaions.)
[ GARAUFIS, NICHOLAS G.
e, value, t ......
NONE (No reportable income, assets, or transactions.) Description of As~ts Income during ~ Gross value at end Transactions during rep~,ning period
.Amount ] Type (c.g., ~, Code I : div., rent, (A-H) ~ or int.) ~ ~ D A A A A A .A A A A Inlerest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
1. 2. 3. 4. 5. 6. 7. 8. 9. t0.
PRIME FUND - CAPITAL RESERVES DAVIS NEW YORK VENTURE CLASS A NEUBERGER BERMAN FOCUS FUND BLACKROCK MID CAP VALUE FUND CLASS A VAN KAMPEN GLOBAL FRANCHISE FIDELITY ADVISOR DIVIDEND GROWTH AIM LARGE CAP GROWTH FD CI.,. B AIM GLOBAL GROWTH FD CL B ALLIANCE BALANCED SHARES CL B AMERICAN FUNDS: AMERICAN CAPITAL WORLD GROWTH & INCOME FUN D ISHARES TR, RUSSELL 1000 WALT DISNEYCOMPANY CS FIDELITY ADVISOR INFLATION PROTECTED BD FD CL A ALLIANCE REAl. ESTATE INVESTMENT FD A OPPENHEIMER SM & MID CAP VALUE FUND ALLIANCE GLOBAL TECHNOLOGY A FUND ALl.lANCE G[~OWTH & INcoME FUND CL B
05/01/09
12/14/09
A A A A A A A
K J K K. K J K
07/30/2010
NONE (No reportable income, assets, or transactions.) Descripnon of As~ls (including trust assets) Placo"(X)" afiereach asset .... pt f~m prior disc] ..... Income during ~ reining peri~t i 1 ~) t2) ~Amount ]~e (e.g., ; Code I i di ......1. , ~ Gross value at cnd [ of reporting period ~ (~) -[ (2) Value Value Cod. 2 [ Method (Q- ~. ]8. 19. 20. 21. Cl~ OFNEW YO~DEFE~D COMPENSATION PLAN EQUIVEST VARIABLE ANNUI~ ABC PENSION PLAN AIM GLOBALEQUI~F~DCLB ISIIARES MIDCAP ISHARES TRMSCI ISHARES RUSSELL 2000 ISHARES MSCI EMERG~G MKT MURAL SERIES CLASS C 27. STANDARD & POORS DEPOSITORY ~CEIPTS A ~ Dividend None None A Dividend A "] Dividend A] Dividend J K K K K J J K K J L T .... "r T T T T T T T T T Sok! (part) Sold (parl) Sold (parl) T T Sold 0420/091 06!29/091 t 1125/09 [ ~ J J , J ~A I A A Sokl (pare) Buy (addl) 11117/091 08/31/091 J A Buy 02!03/091 J " . K T Closed 2008 Transactions during repo~}ng period (~) Type (e.g. buy, sell, ~ (2) ~ (3) (4) ~ Dale ~ Value ~ Ga n ~mmld~.. Codo 2 [ Code l ; . t ~ transaction) :
A [ Dividend g [ Dividend
32. 33. AMERICAN FU~S: A~RICAN BALANCED CLASS C 34. OPPENHEIMER LTD. TERM NY MUNI A
~ ....
I Dividend
J J
A I Dividend
I 02/05/09I J ~ A
07/3012010
~ ~ ~ [ 35. 36. 37. "38. 39. 40. 41. 42. 43. 44.
I [ Dale [ Value ~ m~d~ [ Code 2 (J-P) ~ Gain Code 1 (A-H) Identity uf buyer]seller (if private lransactio~)
ALLIANCE BE~STE~ LG CAP GROWTH B AMERICAN F~NDS: ,AMERICAN CAPITAL INCOME BUILDEK.CLASS C ROCHESTER FD. MUNI A OPPENHEIMER GLOBAL CLASS C AMERICAN GROk~H FD OF AMERICA C AMERICAN F~DS: AMERICAN HIGH ~COME CLASS FUND ALLIANCE GROWTH INCOME CL A AIM DEVELOP~G MKT CL A OPPENHEIMER ]NTBD FD VANGUARD INT TEKM TAX
K J J K M K J K J J
46. 47.
A A
Dividend lnl./Div. J T
Sold
07/27/09
I SHARES S&P S~AP 600 COLUMBIA SM CAP VAL II C[A EAGLE SM CAP FD A
A A A
J J J T T
~ ....
f P .....Reporling
[ Date of Report
Page 7 of 9
~A~VF]S, NICHOLAS G.
VII. INVESTMENTS and TRUSTS - i, ....... ~o t ....... finns (Includes tho~e o]sp ..... d dependent chitdren; seepp. 34.~0
NONE (No reportable i~come, assets, or transactions.)
] [ ~ : Description of As~ts (including t~st assets) Place "(X)" after each asset exempt ~om pr or d sc osure ~ ~ Income during reporting p~riod ~ Gross value at end ! of reporting period Transactions during repoaing period [ Type (e g buy, sell, redemption) Date Va ue ~ Gain : [ I m~d~~ C~e _~ Code 1 ] (J-P) ~ (A-H} ~ ldent ~ of buver/seller (if private
V ue [ Method _[ Code3 [
] 52.
Dividend
T T T Buy
None A Dividend
J J
J ..........
Buy (addl) Buy (addl) A Dividend K T Buy Buy (addl) Buy (addl) Buy (addl)
J J J
[ 61. 62.
Dividend
Buy
[ GARAUFIS, NICHOLAS G.
VII, PAGE 5 OF 9, LINE 20: ABC, INC. PENSION PLAN. I AM DESIGNATED TO RECEIVE MONTHLY PENSION BENEFITS UNDER~IIi g~g~~ ~ I~a] PENSION PLAN. PART III, LINE 2 DISCLOSES INCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON MY DEATh. ~: ::: "~ :::~ ....... VII. PAGE 5 OF 9, LINE !9: EQUIVEST VARIABLE ANNUITY WAS TERMINATED IN PRIOR YEAR. AND ERRONEOUSLY INCLUDED IN 2008 FINANCIAL DISCLOSURE REPORT AS ACTIVE ACCOUNrF.
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 kuowledge and belief, aud that any information not reported was withlteld because i! met applicable statutory provisions permitting non-disclosure. I further certify that earued 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. 50I et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL \VHO KNOWINGLY AND WILFUI.LY FALSIFIES OR FALLS TO FILE THIS 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 2-301 One Columbus Circle, N.E. Washington, D.C. 20544