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I. Person Reporting (last name, tirsk middle initial) Griesa, Thomas P. 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate lull-or part-time) United States District Judge
7. Chambers or Otllce Address United States District Court 500 Pearl Street, Room 1630 New York, NY 10007
5b. [] Amended Rcpnrt 8. On the hasis ot 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 h*stractions accompanying this form must be followed Complete all parts,
checking the NO?CE box for each part where you have no reportable information. Sign on lastpage.
IIl. NON-INVESTMENT INCOME. (Repar,l,g iodividao! aud.,po.se; ,~e rP. ~ Z-Z~ oy~l~,~ ~,,r,,io~,.)
A. Filer~s Non-Investment Income
NONE (No reportable non-investment income.)
DATI~
1. 2. 3,
INCOME
(yours, not spouses)
4_
B. Spouses Non-Investment Income - tyyou were married during anyportion of the reporting year, complete this section.
(Dollar amount hal required except.for honormia,}
1. 2. 3. 4.
LOCATION
P~OSE
5.
[~]
1. 2.
3.
4,
5.
Vl. LIABILITIES. a, clude, a,o,, of .~pou,e o,d d,a,~aent children; ~ee pp. 32-33 ,,filling instructions.)
NONE (No reportable liabilities..) CREDITOR
1.
DESCRIPTION
VALUE CODE
2. 3.
4.
5.
Dote of Re~r!
~ries., Thomas P.
6,"10/2010
VII. INVESTMENTS and TRUSTS -i.eome, .atue. t~ue*io,,s a.ctuae~ ,I,o.t olspou.e ~ a.e..a.~, chit&en; see p~ 3~-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Dcscriplion of Assets (including t~s~ asse~s) Place"(X)" after each asset exempt from pfor disclosure
] ~
Income during
c.
Gross value at end of ) rcpoaing period Value I ( Code 2 ~ (J-P)
" ......................
Tran~ctions during reposing period
,
[ Value [ Method [ Code 3 [ ) T~ (e.g., buy, sell, rt~empfion) Dale } Value ! Gala , Month- ] Code 2 I Code I ~ Day [ (J-P) (A-H)
(5)
Identity of buyer/seller , (illirate
~1.
Citibank
Interest
T T
2,
AT&T
Dividend
AlcateI-Lucenl Ameren Comcast Exeton Great Plains Energy Southern Co. Adams Express Co. Maryland Tri Continental Corp, American Fund Capital Income Builder Fu nd Franklin Income Fund Class A Western Asset Money Market Fund B A B B C B A E E E
None Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
J K J K K
T T T T T
8/6 8/6
M L
2/27
14. 15. 16. 17. American Fund Washington Mutual Investo rs Nationwide Life Annuity C Dividend None M O T T
Buy
8/6
Buy
1/27
I. Income Gain Codes: (See Colu~rms BI and D4) 2. Vahle Codes tSee Colulnos C! and D3) , 3. Vahtc Mctl~al Codes (S~ (ohm~n C2)
A =51.0~J or less F ~$50.001 SIO0.000 J ~$15.0~ or le$.i N ~$250.001 - $500.000 P3 .~$25.000.001 - $50.00(.1.000 Q =Appraisal U =Book Value
B =$I.0Ol - $2.500 O -$100.001 - $1.000.000 K =$15.001 - $50.000 O =$500.001 - $I.000.000 R =Cost (Real I:slat O, lyl V =Other
C =$2.501 - $5.000 ttl =$1.000.001 - $5.000.000 L =$50.001 - $ |00.000 PI =$|,000,001 - $5.000.0~0 P4 =More Ihan $50.0~X).000 S =Assessment W =Estimated
D =55.001 - $15.000 H2 ~Mol~e thae. $5.000.000 M =$100.00i - $250.000 P2 =$5.000.001 - $25.000.0(~ T =Cash Market
E =$15.001 - S50.000
C~e t
18.
Buy
4/14
19.
Buy T~st #1
1 I/9
20.
lnt.~iv.
P2
21. 22. 23. 24. 25. 26, 27. 28. 29. 30. 3t. 32. 33. 34.
-AT&T Inc,
3/24 10/9
K N
- AlcateI-LucentADR - Apache Corp. - CSX Corp. Sold (part) Sold (part) Sold (part) - Comcast Corp - DirectTV Group Inc. - Franklin Resources lnc. - P H Glatfelter Co. - Great Plains Energy Inc. - Hershey - Host Hotels & Resorts Inc. - Kansas City Southern Inds Sold (part) Buy 2/19 2,19 K K 3/24 3/24 11/30 K K M
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48, i49. 50, 51.
- Kellogg Co. - Kimberly Clark Co~. - Neenah Paper Inc. - News Corp. Class A - Petx:o Holdings Inc. - Pitney Bowes Inc. - Principal Financial Group Inc. - Starwood Hotels & Resorts -TimeWamer Inc. - Time Warner Cable - US Baneorp - Union Pacific Corp. - Williams Cos Inc. - Wisconsin Energy Corp Holding Co. -Adams ExpressCo.-Maryland Sold (part) Sold (pan) - Tri Continental Corp. Sold (part) 11/23 12/10 11123 M M L, Spinoff (from line 43) 4/2 J
A =$1,000 or less
B 41.001 . $2.500
C =$2,50| - $53R1~
D =$5,001 - St 5.000
E =415.~1 - ~50,~
Date of Repor~
Page 7 of l0
VII. INVESTMENTS and TRUSTS - ~,.o~,e,
6/10/2010
~.
Income during re~o~ing period Amount i Type (e.g., ~ Code I div..rcnl,
c.
Gross value at c:~d of reposing period
~.
Tran~ctions during r~fling period
-~-~
Value
Value
Code2
Method
(Q-W) I
Type (e.g.,
buy, sell,
i f i
identity of
buyer/seller
52. 53. 54. 55, 56. 57. 58. 59. 60, 61. 62. 63, 64. 65. 66. 67. 68. - Franklin Income Fund Class A - Franklin Real Estate Securities FD Class A - Vanguard Information Technology - Barclays BankPM. - HSBC Holdings Pfd. - Prudential Pfd. - Centerpoint Energy - Microsoft - Monsanto - Royal Bank of Scotland -Verizon - DST Systems - Ftewlett Packard - Intel Corp. -JPMorgan Chase - Kraft Foods
Sold
12/10
Buy
] 1/4
Buy Buy
11/4 11/4
K M
Buy
2/19
P3 =$25,~),~1 $50.0~,~0
P4 =More
Date of Report
Page 8 of ! 0
Griesa, Thomas P.
6/10/2010
VII. INVESTMENTS and TRUSTS -. i,~.o.,e, ,,a,,,, .... ,.no,,, a, ct,,ao ,~o,~ oI~, ~ ~, ,.h#~,~; ,,, ~.
NONE (No reportable income, asset& or transactions.)
A. ~scription of Asscls (including ~rust assc~s) B. Income during ~po~ing peri~ C. Gross value at end of ] reporting p~iod [ D. - .............
PIa~c"(X)"aflcreacba~et
Valoe (J-P)
] Value ~ Code 3
Ty~{c.g., redemption)
69.
70. 71. 72. 73. 74. 75. 76. 77.
P3 =$25.~,~ - $50,~.~0
P4 =More
D~,. of a~o.
6/10/2010
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S,C. appo 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