Escolar Documentos
Profissional Documentos
Cultura Documentos
Rev. 1/2010
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.
POSITION
1, Officer
NAME OF ORGANIZATION/ENTITY
Frederic Block, P.C.
r~
--
Block, Frederic
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. Filers Non-Investment Income
~] NONE(No reportable non-investment income.) DATE
1.
OStlO/2OlO
INCOME
(yours, not spouses)
B. Spouses Non-Investment Income - if you we. married during any portion of the reporting year, complete this section,
(Dollar amaunt not required except for honoraria.)
~-~
1.
~-]
LOCATION
ASPEN, CO
PURPOSE
EDUCATIONAL SEMINAR
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
3.
1 !/30/2009 TO 12/6/2009
PROFESSIONAL EDUCATION
Na.,e of P ....Reporting
Date of Report
Block, Frederic
05/1012010
~-]
DESCRIPTION
I. 2. 3. 4. 5.
VI. LIABILITIES. ant,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
Date of Report
Block, Frederic
05/10/2010
--
............. ~
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
Buy Sold
K K J
L L J K
T T T T
Buy
K K K
K L
L K J K
T T
T T T T Buy 05/08/09 J
17.
Interest
DateorReport 05/I0/2010
Block, Frederic
19.
20.
B
A
Inter~t
Dividend
T
Sold 08/03/~ K
21.
Dividend
Buy
11/10/~
(addl)
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
Buy Sold
05!13109 01/16/09
J K
A B A B B A
J K
T T Buy (addl) 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
Dividend
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
E =$15,001 - $50.000
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 (JP) ] I I I Value Meth~ C~e 3 (Q-W) ........ T~ (e.g., buy, sell, redemplion)
~Amount / Ty~(e.g., ~ C~e I / div.,rent, (AH)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
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 (addi) Buy (addl) Sold Buy (addl)
K K L K
K K K
I. Income Gain Codes: 2. Value C~~ (~o Colu~s CI a~ D3) 3. Value Mer~ ~
[
B =$1,001 - $2.500 K =$15,~1 - $50.~ O ~5~.~1 - $1,~,~ R ~st (Real Es~te On)y)
V =Oth~
!
J
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 (addl) Sold 03119/09 03/19109 J J Type (e.g.. buy. sell, D. Transactions during reporting period
57. 58.
59. 60. 61. 62. 63. 64. 65. I 66.
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
Buy (addl) Sold (pan) Buy (addl) Buy Buy Buy Sold
K K K L K L K
(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
Date of Report
Block, Frederic
05110/20t0
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