Escolar Documentos
Profissional Documentos
Cultura Documentos
Rev. 1/2010
,4o ~o
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1, Person Reporting (last name. first, middle initial) Sharpe, Gary L. 4. Title (Article llI judges i~dicate active or senior status; magis~rale judges indicate full- or pao-tim) DislriclCourt Judge, Acd~e
7. Chambers or Office Addrvas .lames T. Foley Ctourthouse 445 Broadway Albany, New Yo~k 12207
5b. ~ Amended Report 8. On [he basis 0f the information coatained in lb[! Repo~ and any modilications pertaining thereto, iI is, in my opinion, in compliance wilh applicable laws and regulations. Revic*~ing Officer Date
IMPORTANT NOTES: The instructions accompanying this fornt must be followed. Complete all parts,
checking the NONE box f!~r each part where )ou have no reportabl~ information. Sign on last page.
NAMg OF ORGANIZATION!ENTITY
11. AGREEMENTS.
NONE (A~ reportable agr~~ments.) DATE
I.
i~
Sharpe, Gary L.
Dale of Report
Sharpe, Gary L.
05/07/2010
Ill. NON-INVESTMENT INCOME. ~,~,,,s,,g ~,~,,~.~ ...... ;.~,~,. 17-24 off!lit,g ins~uctions.)
A. Filers Non-Investment Income NONE (No reportable non-investment income.) DATE
I. 2 3. 4.
~COME
(yours, no~ spouses)
B, S00~s~s NoB-I ~v~s~[ ~Bco~e - If you were marri~d during any ponion of the reporting y~ar, complete this (Dollw ~wmunt not t~qttir~d except.for ~on~roria.)
3. 4. 5.
fPerson Reporting
Date o[ Report
Page 3 of 1 2
Sh~r~e, C,~r.v L.
In, ....
0S,07;20t0
V. G ! FTS. (t,,ct, des thos, ,o ~e ........ ~ dependent children; see pp. 2S-31 t~f filing instrttctians.) NONE (No reportable g~Bs.) SOURCE I. 2. 3.
4.
DESCRIPTION
VALUE
5.
[]
NONE (No reportable liabilities.) CREDITOR DESCRIPTION Mortgage on income property VALUE CODE N
I.
Merrill Lynch
3. .~. 5
DateofReporl
05Jo7,,_~olo
,oi.,, , ........ions (Includes those of ap ....... d depend~t chitdrcn; see pp. 34-60 of filing instructions.) VII. INVESTMENTS and TRUSTS - i.c ..... ~ NONE (No reportable income, asseZ~, or transactions.)
Dcscriptkm of Asscls (includlngtmst assc~) t ..... t Place exempl #ompfiordisclosure Income during rc~rting ~riod A .... { T)~ (e.g.. t Code I [ div.,rent, (A-H) . or int) ~ I ] Gross value a~ end[ of rcporling period ~ Transactions during rc~ing peri(M
Gain T)ge (e.g., ] Date Value ,I Value } *~mm:ddtvy t C~ic2 Code 1 Melhod[ buy. sell, ~ C~e 3 1 redemption) " 0"P) (~-ll) ~ (Q-~V) / ~ ~ C}oscd Closed Buy 04/20/09 04;20/09 K M A A
I. 2.
A A A
[ Dividend ] Dividend
"
Me.ill Lynch (I~A #2) New York College Tuition Savings # I (529)
3 4.
l Dividend
I
I [
01/01/09
Buy (addT) Buy (addl) Buy Buy (addl) , , [ " Buy (addl) Buy (addl) Buy (addl) Buy (addl! Buy
02/01 "09
i5 6.
J J J
07/01/09 J
9. I0 I I. ~
t
, ~
~
12. 14. 15. ~16. Ncw York Co!lcge Tuition Savings #2 (529) A
~ ] Dividend ] J T
12/01/09
01/01/09 02/01,0~
03101/09 J
~7.
A =$!.000 or less
~1 =$1,1)01 - $2.500
C ~$2.501 - $5.0~)
D =$5.(}01 - $15,00~
E $15.001 - $SIU"Paq i
P4 =More Ih,m
05107/2010
d gependent chilarent see pp. 34-60o[filing inst, ucti~,ns.)
NONE (No reportable income, assets, or transactions.) [ ~ Income during reporting period Gross v~loc al c~d [ of reposing period
[ Valuc ~ alue i T)~c (e.g,
Date
[ Value
Gain
Identity
(Aqt)
or int.)
(J-P)
C~e 3 ~Q-W)
redemption)
~ (J-P) ~
. (A-H)
(irpnvate transaction)
18. 19. 20. 2 I. 22 23. 24. 25. 26. 27. 28. 29.
30.
Buy (addl) Buy (addl) Buy (addl) Buy [addl) Buy (addl) Buy [addl) Buy Buy (addl) Buy (addl) Memll Lynch (IRA # 3) Merrill Lynch(IRA #4) Excel Securilics IRA # I
-Aim I~ncrg3.. Fund Class A ,r"IENAX")
04/01/09 J 05/01/09 06,01,09 07/01/09 08/01/09 09/01/09 I 0,01/09 11/01/09 12/01/09 04i20/09 J J J J J J J 1. A A
A A A
04/20/09 M 04/2D09 K
04:21/09 J
31. 32. 33. 34. -Oppenheimer Gold & Special Minerals Class A ("OPGSX") -lng ]~.ussia Fund Class A ("LETRX")
N =$250,0fll - 55(~(I.~1
O =$500,Ktl - $1,0fi0,(~!0
Pl :$!.b~l(LO21 - $5,0{8,0(]()
1~2 =$5,0(10.1)Ol -
FINANCIAL DISCLOSURE REPORT I Page 6 of 12 VII. INVESTMENTS and TRUSTS - i .......... lue, t ...... tion~ (Includes those of sp .......... d dependem children; s~epp. 34-60 of filing instructivns.)
NONE eve reportable i,7co,,,e, assets, or ira,sac;ions.)
O.-,t:rip.ion o[ Assets (including trust assets) Place "(X)" aP, cr each asset c:,.cmpt fior,, prior dis.closure Income during rcpo:ilng period T)T,e f.e.g, 7odcmUntl rent. div., A-H) ! or ir:.t.) Gross ,.a}uc at end of rcporti~g period Value Code 2 (JP) Value Met ~od i Code 3 (Q.%\r) q)pe tc.g.. buy, scl . (cdcmption) Transactions duling tepee.rag petted
Date1, V~duc [ Gain i rnm, dd.~yy Code 2 i Code I (j.p) i (A-H) _~ ........ : _. I J A
Sold Buy
0916,/09
04/21,09 ~ 09.:16/09
J J
37. 38. 39. a0. -Thornburg International Value Fund Cla_~s ("TGVIX)
Buy Sold
41. !4~ 43. -Juhn Hancock U.S. Global Leaders Grov~Fund Class A -Direxior~ Commodity Bull 2X Fund ."DXCI.X"~ -Pc~rolco Brasileiro Pctrob.~s ADR Common Excel Securities IRA #2 -Apple lnc Coma,on ("AAPL") F Divide.rid O "1
J J
10/02;09 04/21;09
J O
50. 51.
Sold
07116;09
~ ....
DaleofRepor!
Sharpe, Gary L
05/07i2010
u,,, t ......ions (Includes those of sp ...... d dependent children; see pp. 34-60 offiling instructions.) t
Va~uc i Amount ~ T)~e (eg., Code I] div., rent, Code 2 orim.),J-P) [ (A-H)__[ I
52. 53.
Buy Buy
J J
("s~")
54. -United STS STL Co~ New Common ("X") Buy 04/21/09 J
55.
56.
Buy
Sold (part) Sold
07]16/09
09/_91/09 09,29,09
J
J J A A
57.
-Peabody Energy Corp Common -Cosan Ltd Shs A ("CZZ") Common -Chesapeake Energy Corp ("CItK") Common -Vale SA ADR ("Vale") Common
-Hutnaoa Inc. ("Hum") -Aberdeen Small Cap Fund Class A ("GSXAX")
J J K J
04/22/09 10122109
K J A
J K
Buy
67. 68.
10/06/09 10/22/09
J J
A A
~a,,,e of P .....Repurling
Dale of Rcpor!
s~,arp~, c~rr L.
o_s/07;20to
Sold Buy
K K
Sold (pan) Sold (pan) -Columbia "rcchnology Fund ("CMIFX") Buy Buy .
J J j
72. 73.
07~28/09
(pan)
Buy Sold (pa~) Sold -Eaton Vance Tax Managed Small-Cap Buy
Sokl
J K J
77. 7S.
K L
79. ~0 81 g2.
Sold Ipan) Sold {part) -(iabc]li Ente~rise Mergers & Acquisitions Fd (21 A ("EMAAX") t]uy
J J
A A
83. 84.
10/22,1)9
A A
1211809 J
Page 9 oF 1 2
Ir~ ..... I
rP ..... R,po.i.~
[ Sharpe, Gary L.
05/07/2010
B.
Dcs~r~p~otl of Assets (including lrust assets) Place"IX)" after cach asset exempt from pnot disclosure ............................ ~ .... ~6. 87. -John tlancock Large Cap Equity Fund Class A UITHAX") lncom during rcpo~ing ~riod Amot n : Type (e.g., [ Code I ] div., rent, ~ (A-It) orint.) j
C.
(]ru~s ~ ~lue m end of rcportirg pc~od Va~ue] Code 2 U-P) ; VMuc Method Code3 (Q-W)
o.
Imnsactions during reporting period
buyeffseller
Buy Buy
04/22,09 K 07/2R/09
Sold (part) .tlartford Capital Appreciation Fund Class A Buy Sold (pan) Sold (part) -Opertheimer INTL Bond Class A ("OIBAX") Buy Sold (part) Sold
Buy
J K J J J J .I
J
A A
A A
(part) 97. 98. 99. I(>0. I01. 102. -Pimco Total Return Class A ("PTTAX") -Opp,:nheinter Developing ErlarkeLs Class A {"ODMAX") Buy 04/22,09 L 1 K A :
(P~rt)
Sold J A
(pan)
-RS Value Fund Class A ("RS\ AX") Buy 04/22/09 J
Reporting
DatofRepor!
[ Sharpe, Gary L.
05/07/2010
assdIs, o~
transactions.)
Groas value, at end of reporfieg period [ T=nsact~ons during reposing period
~ode 2 O-P)
/Cde
fP .....Reporting
Dataof Report
05/07/2010
] [
I certit~, that all information given above (including infornmtinn pertaining id my spouse and minor or dependent children, if any) is accurate, true. and complete Io lhe hest of my knowledge and belief, and that any information not reported wa~ withheld because it met applicable slatulory pruvision~ permitting ~on-disclo~ure. I further ~crtify Ihat earncd income from outside employment and houoraria and the acceptance of gifts which have been rcpor~:ed are in compliance with the pr~visions 0[5 U.S.C. app. 50! ct. ~eq., S U.S.C. 7353, and Judicial Conference regulations.
Signatu[
NOTE: ANY INDIVIDUAl VIlO KNOWINGLY AND WILFULLY I:ALSIFIES OR FALLS TO FILE TillS I{EPORT MAY BE SUBJECT TO CIVIl, AND CRIMINAL SANCI"IONS (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 Stales Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544