AO IO Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization U.S. District Court - NY-South 5a. Report T)~e (check appropriate type) ] Nomination, Date [] Annual [] Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)

I. Person Reporting (last name, first, middle initial) Hellerstein, Alvin K. 4. Title (Article III judges indicate active or senior slalus; magistrate judges indicate full- or part-time)

3. Dale of Report 06/28/2011 6. Reporting Period 01/01/2010 to 12/31/2010

U.S. District Judge (Senior)

[] Initial

fib. [] Amended Report

7. Chambers or Office Address United States District Court 500 Pearl Street - Room 1050 New York, New York 10007

8. On the basis oflhe information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance wilh 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.

I. POSITIONS. meponing individual only; seepp. 9-13 of filing instructions.)

[-~ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)
~ NONE (No reportable agreements.)
DATE
I. I/I/96 2. I/I/89 3. I/I/84

PARTIES AND TERMS

Stroock & Stroock & Lavan LLP, former law firm (Pension Plan for retired partners)(No Control) Stroock & Stroock & Lavan Retirement Plan (management of firms IRA and 401K plans)(No Control) Stroock & Stroock & Lavan Investment Partnership (No Control)

Hellerstein, Alvin K.

FINANCIAL DISCLOSURE REPORT Page 2 of 8

Name of Person Reporting Hellerstein, A|~in K.

Date of Repor~ 06/28/2011

11I. NON-INVESTMENT INCOME. (Reporting indiridual andspouse; see pp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
D NONE (No reportable non-investment income.)

DATE
I. 2010 2. 3. 4.

SOURCE AND TYPE

Pension from former law firm

INCOME (yours, not spouses) $451,061.00

B. Spouses Non-! nvestment ! ncome - If you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)

DATE I. 2. 3. 4. SOURCE AND TYPE

IV. REIMBURSEMENTS - transportation, lodging, food, entertainmenL

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.) SOURCE

Center for the Constitution James Madisons Montpelier

DATES
6/14-16/2010

LOCATION
Montpelier, VA

PURPOSE
Seminar

ITEMS PAID OR PROVIDED

Transportation

3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 8

Name of Person Reporting Hellerstein, Alvin K.

Date of Report 06/28/201 I

V. GIFTS. a.du,~.s ,host ,o ~,o.~ a.~ ~.p,.d..~ ,=~,i~,~r~.: ,ee p~. 2S-~ I of ~,,~ instructions.)
NONE (No reportable gifts.)
SOURCE
I. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. a.d~,ho~

D NONE (No reportable liabilities.) CREDITOR
Chase Mortgage Corp. 2. 3. 4. 5.

DESCRIPTION
Mortgage, condominium

VALUECODE
K

FINANCIAL DISCLOSURE REPORT Page 4 of 8

Name of Person Reporting Hellerstein, Alvin K.

Date of Report 06/28/201 I

VI I. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) Transactions during reporting period

(including trust assets)

Place "(X)" after each asset exempt from prior disclosure

reporting period

(i)
Amount Code I (A-H)

(2)
Type (e.g., div., rent, or int.)

o)
Type (e.g., buy, sell, redemption)

(2) (3) (4) Date Value Gain mrrddd!yy Code 2 Code 1 (J-P) (A-H)

(5)
Identity of buyer/seller (if private transaction)

I. 2. 3. 4. 5. 6. 7. 8. 9. 10.

New York City Condominium J P Morgan/Chase Franklin Templeton Mut. Qual. Fund (IRA) Dreyfus Money Market Fundsi Stroock & Saoock & Lavan Retirement Plar (See fn. I) - Alliance Bernstein Equity Fund - Thomburg Inv. Mgmt. - Atlanta Capital Management - C.S. McKee, L.P. - Brandes Inv. Part. Fund

E A C A

Rent Interest Dividend Interest

PI K M K PI

W T T T T

II. - Westfield Capital Mgmt. 12. 13. 14. 15. 16. 17. - TimeSquareCap. Mgmt. - Macquarie Allegiance Cap. Fund - CramerRosenthal McGlynn S&S&L Investment Partnerships (See fn. 2) - Warburg Pincus Funds - Loeb Partners Investments A Dividend T

1. Income Gain Codes: (See Columns 131 and 134) 2. Value Codes (See Columns CI and D3) 31 Value Method Codes (sec Column C2)

A =$1,000 or less F =$50,001 - $I00,000 J -$15,000 or less N =$250,001 - $500,000 P3 =$25.000,001 - $50.000.000 Q =Appraisal U ~Book Value

B =$1,001 - $2,500 G =$100,001 - $1,000,0~ K -$15,001 - $50,000 O =$500.001 - $1,000,000 R -Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 HI =$1,000,001 - $5,000.0~0 L -$50,001 - $ 100.000 PI =$1,000.001 - $5.000.090 P4 =More than $50,000.000 S =Asscssmcnt W =Estimated

D =$5.001 - $15.01)0 H2 -More than $5.000,000 M = $ 100,001 - $250,000 P2 =$5.090.001 - $25.0~0.000 T =Cash Market

E =$15.~2,1 - $50,000

FINANCIAL DISCLOSURE REPORT Page 5 of 8

Name of Person Reporting Hellerstein, AI,Hn K.

Date of Report 06/28/201 I

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (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 reporting period 0)

Amount Code I (A-H)

C. Gross value at end of reporting period 0)

Value Code 2 (J-P)

D. Transactions during reporting period 0)

Type (e.g., buy, sell, redemption)

(2)
Type (e.g., div., rent, or int.)

(2)
Value Method

(2)

(3) ] (4)

(5)
Identity of

Date Value ! Gain mm/dd/yy Code 2 i Code (JP) I (A-H)

buyer/seller
(ifprivate

Code 3 (Q-W)

transaction)

18.
19.

State of Israel Bonds

Gilead Sciences Inc.

Interest
None

J
L

20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33.

Regeneron Pharmaceutical Coventry Health Care Inc. Citibank Bank Dep. Northwestern Mutual (Life Ins.) (See Footnote 3) Gold Fields Ltd. I Shares TR MSC! EAFE Index Fund ! Shares Russell 1000 Value Fd. I Shares Russell Midcap Value Index Fd. I Shares Russell 1000 Growth Fd. I Shares Russell 1000 Index Fd. I Shares Russell 2000 Value Fd. I Shares Russell 2000 Growth Fd. I Shares Trust US FinSvc I Shares Russell Midcap Growth Index Fd. A B B A B B A A A A A

None None Interest

K J K

T T T Redeemed (pan)
10/07/10 K

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend None K K T T K K T T L L K L T T

Donated

11/03/10

Buy

04/21/10 K

Sold Sold (part)

04/21/10 I 1/10/10 J

Sold Buy Buy

04/21/10 K 04/21/10 I 1/05/10 K K

34. SPDR Ser Tr S&P Metals & Mng ETF

I. I ncome Gain Codes: (See Columns BI and IM) 2. Value Codes tSe Colunms CI and D3) 3. Value Method Codes {See Column C2)

A =$ 1,000 or less F =$50.001 - $100.000 J $15,000 or less N =$250.001 - $500.000 P3 =$25.00~.0~1 - $50.00~.000 Q =Appraisal U =Bo,ok Value

B =$1.001 - $2,500 G -$100.001 - $I,00),009 K =$15.0~ I - $50.000 O $500,001 - $ 1,000.009 R =Cost (Real Eslatc Only) V Other

C =$2.501 - $5,000 HI :$1.000.001 - $5.0~.00~ L $50.0~ I - $ I 0~.0OO P I = $ 1.000.001 - $5,090.000 P4 =More than $50,00~.000 S As~ssmcnt W-Estimated

D =$5.0~ I - $15,000 H2 =More than $5,000,000 M =$10~.001 - $250.00~ P2 = $5,000.001 - $25,000.000 ] =Cash Market

E =$15.001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 6 of 8

Name of Person Reporting Hellerstein, Ah-in K.

Date of Report 06/28/2011

VII. INVESTMENTS and TRUSTS - income, ralue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
~

NONE (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 reporting period (1) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) Date mm/dd/yy (3) i (4) Value i Gain Code 2 i Code I (J-P) i (A-H) [ (5) Identity of buyer/seller (if private transaction)

35. 36. 37.

Vanguard Emerging Markets ETF Vanguard REIT ETC Newmont Mining Corp.

A A A

Dividend Dividend Dividend

L K

T T

Buy Buy Donated

04/21/10 04/21/10 11/03/10

K K K

1. Income Gain Codes: (See Columns BI and I)4) 2. Value Codes (Sc Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50.001 - $100.000 J =$15.000 or less N -$250,001 - $500.000 P3 =$25,000.001 - $50.000.000 Q =Apprai~,al U =Book Value

B $1.001 - $2,500 G =$100,001 - $1.000.000 K = $15.001 $50.000 O $ 500.001 - $1,000.000 R =Cost (Real EstalC Only) V Olhcr

C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P I =$1,000.001 - $5,000,000 P4 More than $50.000,000 S =Assessment W =Eslimatcd

D =$5,001 - $15,000 H2 =More than M =$ 100,001 - $250.000 P2 =$5,000,001 - $25,000.000 T =Cash Market

E =$15,001 - $50.1300

FINANCIAL DISCLOSURE REPORT Page 7 of 8

Name of Person Reporting Hellerstein, Alvin K.

Date of Report 06/28/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (l.dica,epar~ofreport.)

Footnote I -- Results of investments, inclusive of realized and unrealized gains and losses and dividends and distributions, are reported to me quarterly and for year end. A separate figure for dividends was not reported to me. No gain or loss is reported, since the investment qualifies as an IRA/401-K. Effective January I, 2010, the Trustees rolled over all managed investments in Turner Inv Partners into Atlanta Capital Mgmt. Effective March 31, 2010, my participation in ! Shares Barclay Agg Bond Fund were rolled over into other funds managed by the Trustees. As in previous years, I was subject to mandatory withdrawal oflRM401-K funds, and withdrew funds of the value of"M". I inadvertently omitted that disclosure in prior years. Footnote 2 - Various of the entities in which S&S&L Investment Partnership invested were sold on various dates during 2010. The gains and losses are reported at the end of the year in KI reports. The identities of buyers and sellers are not given. Footnote 3 -- Cash value and dividends are applied to premiums, resulting in paid-up life insurance, payable on the second to die between my wife and me. Hence, the policy does not pay dividends, and has no gross value.

FINANCIAL DISCLOSURE REPORT Page 8 of 8 IX. CERTIFICATION.

Name of Person Reporting Hellerstein, Alvin K.

Date of Report 06/28/2011

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-disclosure. ! 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 et. seq, 5 U.S.C. 7353, and Judicial Conference regulations.

Signature: S/Alvin K. Hellerstein

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. app. 104)

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544