Source: https://www.scribd.com/document/74647224/Kevin-P-Castel-Financial-Disclosure-Report-for-2010?in_collection=3372870
Timestamp: 2017-02-23 01:56:04
Document Index: 442257499

Matched Legal Cases: ['art) 12', 'art) 06', '§ 501', '§ 7353', 'art)\n03', '§ 501', '§ 7353']

Kevin P Castel Financial Disclosure Report for 2010 | Berkshire Hathaway | Dividend
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2. Court or Organization S.D.N.Y.
1. Person Reporting (last name, first, middle initial) Castel, P .Kevin
4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge (active)
3. Date of Report 06/20/201 I
United States Courthouse 500 Pearl Street New York, NY 10007
Director (ex officio as former president) Trustee (ex officio as former president) Board of Managers Adjunct Professor
NAME OF ORGANIZATION/ENTITY St. John’s School of Law, Alumni Association (uncompensated) Federal Bar Council (uncompensated) Havens Relief Fund Society (uncompensated) NYU School of Law (compensated; commencing 1/1 / 10)
II. AGREEMENTS. tRc~,orting inaividual only; see pp. 14-16 of filing instructions.)
Cahill Gordon & Reindel LLP agreement in connection with withdrawal from firm. (Copy of agreement filed with 2006 FDR and those of prior years.)
1. 10/27/03
Name of Person Reporting Castel, P .Kevin
Date of Report 06/20/201 l
III. NON-INVESTMENT INCOME. (Reponi.g indiviaual andsponse; see pe. 17-24 of filing instructions.)
A. Flier’s Non-lnvestment income Q NOiNE (No reportable non-investment income.) DATE
NYU School of Law-teaching
(Inch~des those to spouse and dependent children; see pp. 25-27 offiling instructions.)
Date of Report 06/20/2011
V. G1FTS. anetudes ,hose to spouse and dependent children; see pp. 28-31 of filing instructions.)
VI. LIABILITIES. aneludes ,hose olspouse and dependent children; see pp. 32-33 of filing instructions)
Date of Report 06/20/201 I
VII. INVESTMENTS and TRU STS - i.come, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
(including tmst assets) Place "(X)" after each asset exempt from prior disclosure
reporting period (1) (2) Type (e.g., div., rent, or int.)
(1) Type (e.g., buy, sell, redemption) (2) (3) Date Value mm/dd/yy Code 2 (J-P) (4) Gain Code 1 (A-H) (5) Identity of buyer/seller (if private transaction)
Brk Act #1 Fidelity Worldwide [FWWFX] Brk Act #1 Fidelity Capital Apprec’n Mutual Fd [FDCAX] Brk Act #1Fidelity Cash Reserves [FDRXX] Brk Act #1 Fidelity Asset Manager Mutual Fd [FASGX] Brk Act #1 Fidelity Aggressive Growth Mutual Fd [FAMRX] Brk Act # 1 Fidelity Balanced [FBALX]
Sold N O M
03/31/10 L
T Sold 03/31/10 K A
7. Fidelity Export & Multinat’l [FEXPX] 8. 9. 10. I I. 12. 13. 14. Brk Act #4 First Eagle Overseas Fund Class A Brk Act #4 LM [SB] Appreciation Fd CL A(Part VIII) Brk Act #4 LM [SB] Large Cap Grwth FD CL A Brk Act #4 Wstm Asset NY Muni Money Mkt Fd CL A Brk Act #4 Wstm Asset Money Market Fd CL A Brk Act #4 Uts Nuveen TE UT TR #61 M NY INSD $61 (Part VIII) BrkAct #4 VFH
J M M N
T T T T Redeemed Sold T T Sold (part) 12/21110 K A A A 04/27/10 02/15/10 L J A A Redeemed (part) 06/15/10 K A
Interest Interest Dividend Dividend Dividend Interest Interest
15. Brk Act #4 SCD
16. Brk Act#4 NYC G/O Ser G 3.125/10 [4/10] B 17. Brk Act #4 Nassau Co Scr C 5.25/10 B
Redeemed 08/02/10 K Redeemed 01/01/10 L
I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns CI and 1)3) 3. Value Mclhod 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 - $50.01)0.000 Q =Appraisal U =Book Value
B =$I,001 - $2,500 G =$ 100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,01) 1 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 Et I =$1,000,001 - $5,000,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
VII. INVESTMENTS and TRU STS - i.eome, va~ue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code l (A-H) (21 Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (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 (3) (4) Value (5) Identity of buyer/seller (if private transaction)
Brk Act #4 NYS Dorm AU Staten Isl U Hosp 4.9/10 Brk Act #4 NYC G/O SER C 4.375/11 Brk Act #4 NYS ENV FACS 5/I 1
Redeemed 07/01 / 10 K
M Redeemed 06/25/10 J K K T T Spinoff (from line 52) Distributed 04/23/10 L J K T T Spinoff (from line 24) Spinoff (from line 24)
Redeemed 01/21/10 Redeemed 07/01 / 10 J K
Brk Act #4 NYNY Ser F 5.125/11 Brk Act #4 Erie Cnty NY Pub Impt Ser A 5111 (Part VIII) Brk Act #4 NYNY Ser A Prefund 5.25/11
A B A A A B A B B A
24. Brk Act #4 NY NY Ser J 4112 25. 26. 27. 28. 29. 30.
Brk Act #4 NY NY ETM Ser J 4/12 Brk Act #4 NY NY Ser J 4/12 Brk Act #4 NY NY Ser J FGIC-TCRS 5.35/12 Brk Act #4 NYS Dorm Auth Upstate Comm Coil Rev B 5/13 [110] Brk Act #4 NY NY RFDG Ser B-FGIC TCRS 5.75113 Brk Act #4 Medina NY Cent Sc Dist 4.75/12
Brk Act #4 NYS Dorm AU RFDG SECD HOSP NYDTWN 5.2/14 Brk Act #4 NYS Dorm AU Revs Third Gen Res 5.25/13 Brk Act #4 N¥S Dorm AU Revs Lulherern Med 5/13 Brk Act #4 NYC GO Set J 4/13
T T T T Distributed 04/23/I 0 T
I. Income Gain Codes: (See Colunms B 1 and D41 2. Value Codes (See Columns C I and 113) 3, Value Method (’odes (See Colunln C21
A =$1,000 or less F =$50.001 - $ 100.000 J =$15.OI10 or less N =$250,001 - $500.000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =nook 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 Estate Only) V :Other
C =$2,501 - $5.000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5,0OI - $15,000 H2 =More than $5,000,000 M =$100,00 | - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,1101 - $50,000
FINANCIAL DISCLOSURE REPORT Page 6 of 16 VII. INVESTMENTS and TRUSTS
-income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.) B. Income during
(1) Type (e.g., buy, sell, redemption) (2) (3) Date Value mm/dd/yy Code 2 (J-P)
Brk Act #4 Buffalo NY Ser B 5.375/13 [12] Brk Act #4 Nassau Cry IFA Ser A 5/13 Brk Act #4 NYC GO Ser A 4/13 Brk Act #4 Camden NY Cent SCh DIST SER A 4.5/14 Brk Act #4 NYS DORM AU lona Coil 4.3/14 Brk Act #4 Sharon Springs MunWtr 4.8/14 Brk Act #4 NYS Dorm Au Colgate 4.625/14 Brk Act #4 NYC Ser A G/O 4.3/14 Brk Act #4 NYS Dorm Au Lease Rev Mun Hlth 5.5/14 [I I] Brk Act #4 Buffalo NY Gen ImpSer A 4.7/14 [11] Brk Act #4 NYC GO Ser 14.5/14113] Brk Act #4 West Seneca Cent Sch 4.125/14 Brk Act #4 NYC GO Set G 4/14 Brk Act #4 No Babylon Sch Dt 5.25/15 Brk Act #4 Buffalo NY Ser C 4.7/15 Brk Act #4 NYC REF Ser B G/O 5.75/15 Brk Act #4 L! Pwr Au[LIPA] 4/15
B A C B B A A B A C B C C B B C A
K K L K K
T T T T T Distributed 04/23/10 K Redeemed 07/01 / 10 J A Part Vlll
K J L K L L K K L K
T T T T T T T T T T Spinoff (from line 44)
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (SecColumnsCI 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 =Appraisal 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 Estate Only) V :Other
C =$2,501 - $5,000 H I =$1.000,001 - $5,000,000 L =$50.001 - $ 100,000 PI =$1,000,00I -$5,000,000 P4 =More than $50,000.000 S =Assessment W ~Eslimalcd
D -$5,001 - $15,000 H2 =More than $5.000,000 M =$ 100.001 - $250,000 P2 $5,000,001 -$25,000,000 T =Cash Market
~-1 NOi’qE (No reportable income, assets, or transactions.)
Income during reporting period (t) (2) Amount Type (e.g., Code l div., rent, (A-H) or int.)
Gross value at end of reporting period (l) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W)
Brk Act #4 NYN¥ Ser A 5.25/15 Brk Act#4 MTA 5.25/15 Brk Act#4 NYC Trans Fin 4/15 Brk Act #4 NYS Dorm Pres 4.2/15 [14] Brk Act#4 NYC SerC 5.25/15 [14] Brk Act #4 NYC Health & Hosp 4.55/16 [12] Brk Act #4 NYC G/O Ser H 5.25/16 [I 1] Brk Act #4 NYS Dorm Au St Johns U 5/16 Brk Act #4 NY NY Ser J 5.25/16 Brk act #4 NYS Env Fac Corp St Clean Wtr 5/17 Brk Act #4 NY NY RFDG Ser J 5/17 Brk Act #4 NYC Ser G G/O 5/17 Brk Act #4 NYC GO Ser O 5/17 [15] Brk Act #4 NYC SER B Gen Obl 5.375/18
A A B B B B B B C B A C B B A D C
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Imerest Interest Interest L T L L T T L K K L K K L K T T T T T T T T
Redeemed Distributed
11/08/10 04/23/10
Part VII1
Redeemed 01/21/10
Redeemed Distributed Redeemed
08/02/10 04/23/10 08/19/10
K K M Part VIII
Brk Act #4 NYS Dorm Au St Josephs H 5.25/18 Brk Act#4 Binghamtom 4.25/18[16]
68. Brk Act #4 NYS Thru H & 13 5/18[I 5]
I. Income Gain Codes: (See Column s B I and D4) 2, Value Codes (See Columns CI and D3) 3, Value Method Codes (See Column C2)
A =$1,000 or less F = $ 50,001 - $ 100.000 J -$15.01)11 or less N =$250.001 - $500,000 P3 = $25,000.001 - $50.000,000 Q =Appraisal U =Book Vahlc
B =$1.001 - $2,500 G = $ 100.001 - $ 1,000.000 K =$I 5.001 - $50.000 O =$500.001 - $1,000.000 R = (’o,,I (Real Estate Only) V = Other
C =$2,501 - $5.000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5.001 - $15,000 H2 =M ore than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
NONE (No reportable income, assets, or transactions.) Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (l) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) M L L T T T Redeemed 08/31/10 M L T Redeemed L L L L M L T T T T T T Redeemed 08/31/10 L M M L M T T T T A Buy 03/04/10 L 08/19/10 L Transactions during reporting period (i) Type (e.g., buy, sell, redemption)
BrkAct#4NYCGOSerAI 5/18[17] Brk Act #4 NY NY RFDG Ser 1 5/I 8 [ 14] Brk Act #4 NYC TFA FUT TAX FGIC SECD Ser E 5.25/18 Brk Act #4 New York State Dorm Auth St Pers Income Tax 4/18 Brk Act #4 New York NY City HSG Dev Corp MultiFam 5.35/18 Brk Act #4 City MWF AU WKS Sys Rev Ser D 0/I 8 Brk Act #4 LIPA NY Elec Sys Ser E 5/18 Brk Act #4 NYS Thruway Au Gen Rev Ser H 5/19 Brk Act #4 PR Muni Ser C 5.25/19 Brk Act #4 Buffalo Ser C 5/19 Brk Act #4 MTA Ser A 5.5/19[12] Brk Act #4 NYC TFA Ser AI 5/19[16] Brk Act #4 Middletown NY 4.125/19116] Brk Act #4 PR Sales Tax 4.625/19 Brk Act #4 NYS Env FACS Corp St Clean WTR & Drinking 5.25/20 Brk Act #4 Metro T SPTN Au NY TSPN REV SER A A5/20 Brk Act #4 NYC GO Ser A 5/20[I 6]
D C C D C A B C B B D C C D D B D
A =$I.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 :Appraisal U =[)ook Value
B =$1,001 - $2,500 G =$I00,001 - $1,000,000 K =$15,001 - $51).000 O =$500,001 - $1,000,000 R = Cost (Real Estate Only) V ~Othcr
D =$5,001 - $15,000 H2 =More than $5,000,000 M -$100,001 - $250,060 P2 =$5,000,001 - $25,000,000 T =Cash Market
FINANCIAL DISCLOSURE REPORT Page 9 of 16
VII. INVESTMEN TS and TRUSTS - income, vat.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instrttctions.)
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 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) L L K K L T T T T T Buy 06/22/10 L Transactions during reporting period
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 O-P) (A-H)
Brk Act#4 LIPA Ser E 5/20 [16] Brk Act #4 NJ High Ed 4.5/21 Brk Act #4 NY Gen Oblig BDS-GI 5.5/21 Brk Act #4 NYC Trans F/A Rev 5.25/21 Brk Act #4 NYS Pers lnc Tax 5/21 [16]
91. Brk Act #4 New York NY Ser A CIFG TCRS 5/21
Interest Interest Interest Interest Interest Interest Int./Div. Interest Interest
K L L L L L K L L
T T T T T T T T T Buy 11/08/10 K Buy 11/30/10 L
92. Brk Act #4 Metro Tras Au NY Rev RFDG C Ser A 5.125/21 93. Brk Act #4 New York City G/O Set A 5/22 C
94. 95. 96. 97. 98. 99. Brk Act #4 Monroe Cnty IDA 5/22 Brk Act #4 NJ State Trans 5.25/23 Brk Act #4 NJ Economic Dev Au Sch Constr Ser O 5.23/23 Brk Act #4 PR Elec Pwr Rev RFDG Ser PP 5/23 Brk Act #4 NY Gen Oblig BDS E 6/23 Brk Act #4 Triborough Bridge & T Au Ser D 5/23 B A C B C B A D C
100. Brk Act #4 blJ State Trans 5/24 101. Brk Act #4 New York St Dorm Au Revs Hosp FHA Insd A 6.45/24 102. Brk Act #4 Triborough B & T AU 5/24
I. Income Gain Codes: (See Col u runs B I a nd D4) 2, Value Codes (See Columns CI and D3) 3. Value Method (’odes (See (’olumn C2)
A ~$1,000 or less F = $ 50,001 - $ 100,000 J = $15,000 or less N =$250,00I - $500,000 P3 =$25,000.001 - $50,000,01)(I Q =Appraisal U =ltook Vahm
B =$1.001 - $2,500 G =$ 100,001 - $ 1,000,0O0 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $ 5,000.000 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
VII. INVESTMENTS and TRU STS - income, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (l) Amount Code l (A-H) (2) Type (e.g., div., rent, or int.) C Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) Gain Code l (A-H) (5) Identity of buyer/seller (if private transaction) D. Transactions during reportmg period
103. Brk Act #4 PR Elec 4.625/25 104. Brk Act #4 NYS Thwy Au 2d HWY & BDC 5/25 (Part VIII) 105. Brk Act g4 NYC MWA Wtr & Swr Rev Ser C 5/25 (Part VIII)
Interest Interest Interest Interest Dividend Dividend Interest
K L M J K K
106. Brk Act #4 NY NY IDA Rev AGC 6.125/29 A 107. Brk Act #4 Ishares TR Dow Jones Select Div Index Fund 108. Brk Act #4 XLF 109. Brk Act #4 NYS Thrwy 5.1/10 110. Brk Act #4 NYC G/O Ser C 4.375/I ! I I 1. Brk Act #4 MTA FRDG Ser A 4.3/13 112. Brk Act #4 NYS Dorm Columbia U. 5.25/13 B
113. Brk Act #4 New York City G/O Ser E 5/14 114. Brk Act//4 New Rochelle Sch Dist Ser A FSA 5/14 115. Brk Act #4 New Rochelle NY School 5.25/14 [1 i] 116. Brk Act #4 NYC RefSer B G/O 5.75/15 B
T T Redeemed 04/01 / 10 K Merged (with line 19) A
Merged (with line 115) Interest K Merged (with line 50) T B C Interest Interest K M T Merged (with line 57)
117. Brk Act #4 NYC Health & Hosp 4.55/16 [121 I 18. Brk Act #4 Hudson Falls NY Cent Sch 4.625/16[I I] 119. Brk Act #4 New York G/O BD B/E Set J 4/16
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method (’odes tSce Column C2)
A =$1,000 or less F =$50,001 - $100.000 J - $15,000 or less N -$250,001 - $500,000 1’3 =$25,000.001 - $50,000.000 Q =Appraisal 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 Estate Only) V ~ Other
C =$2.501 - $5,000 HI =$1,000,001 - $5,000,000 L =$ 50,001 - $ 100,000 P1 =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S ~Asscssmcnt W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ t 00,001 - $250,000 P2 =$5,000,001 - $25,000,000 T ~Cash Market
FINANCIAL DISCLOSURE REPORT Page 11 of 16
A. 13. C.
lncome during reporting period
Type (e.g., div.. rent,
Value Method Code 3 (Q-W) T T T T T T
(2) (3) Date Value mm/dd/yy Code 2 (.l_p)
120. Brk Act #4 NYC G/O Ser E 5/16 121. Brk Act #4 NYC G/O Ser B 5.25/18 122. Brk Act #4 New York NY RFDG Ser H 5/16 123. Brk Act #4 Port Auth 125th Set 5/18 124. Brk Act # 4 MTA 4.5/18
L L L K K L
125. Brk Act #4 NYS Dorm Au Rev Kaleida Hlth B 4.25/18 126. Brk Act #4 Bingamton NY 4.25/18[16] 127. Brk Act #4 New York City G/O Ser A Subser A-I 5/19 128. Brk Act #4 NYS Twy Rev A 5/20[15] 129. Brk Act #4 Port Au NY & NJ 4.5/25 130. Brk Act #4 Western Asset Mkt FD 13 I, Brk Act #4 LM[SB] Large Cap Growh Fund CL A 132. Brk Act #4 SB Money Funds Cash Port CLA 133. Brk Act #4 SB Muni NY Mkt Port CL A 134. Brk Act #4 ADP 135. Brk Act #4 BR 136. Brk Act #4 BBY A A A A C B C A
Merged (with line 67) Interest Interest Interest Dividend M L L T T T Redeemed Merged (with line 10) Dividend Redeemed Merged (with line 11) Dividend Dividend Dividend J J J T T T 04/27/10 J A
04/27/10 J A
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and I)3) 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 =Appraisal 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 =Cosl (Real Estate Only) V = Other
C =$2,501 - $5,000 HI =$1,000.001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000.001 - $25,000,000 T -Cash Market
VII. INVESTMENTS and TRU STS - i,,come, votue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period O) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) 12. Gross value at end of reporting period (t) Value Code 2 (J-P) (2) Value Method Code 3 Transactions during reporting period
137. Brk Act #4 Citigroup i 38. Brk Act #4 GE 139. Brk Act #4 IBM 140. Brk Act #4 KMB 14 I. Brk Act #4 KSS 142, Brk Act #4 MDT 143. Brk Act #4 MSFT 144, Brk Act #4 PWC 145. Brk Act #4 WMT 146. Brk Act #4 WAG 147, Brk Act #4 WFC 148, Brk Act #7 Citibank NA Bank Dep Program 149. Brk Act # 7 PWC 150. Brk Act #7 R1T 151. Brk Act #7 NYS Dev Corp Inc Tx 6.5/I 8 152, Brk Act #9 SB (Western Asset)MUNl NY MNY MKT PORT CL A 153. Brk Act #9 EEM A A A A A A A A A C A A A A A A Dividend Dividend Dividend Dividend None Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Interest Interest Dividend K T J J J J J J J K J J J K J J L T T T T T T T T T T T T T T T
I. Income Gain Codes: (See Columns BI and IM) 2, Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$ 1.000 or less F =$50,001 - $100.000 J =$15,000 or less N =$250,001 - $500,1)1)0 P3 =$25.000.0111 - $50.000.000 Q =Appraisal U ~B~lk 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 Estate Only) V :=Other
C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 Pl =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
O =$5,00t - $15,000 H2 =More than $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
=$15,001 - $50.000
FINANCIAL DISCLOSURE REPORT Page 13 of 16
VII. INVESTMENTS and TRUSTS - ineome, ,,a~ue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
(I) Type (e.g., buy, sell, redemption) (2) (3) Date Value mrn/dd/yy Code 2 (J-P) (4) Gain Code 1 (A-H) (5) Identity of buyer/seller (if private transaction)
(2) Value Method Code 3 (Q-W) T T T T T T T T T
154. Brk Act #9 PWC 155. Brk Act #9 PZI 156. Brk Act #9 MFS Intl New Disc Fund C [MIDCX} 157. Brk Act #9 New York City MWF Au W &S Ser D O CPN 0/18 158. Brk Act #9 NYS G/O BDS-A 0/19 159. Brk Act #9 PR Comm H & T 0/20 160. Brk Act #9 XLF 161. Brk Act #12[ PHX Oakhurst Strat Alloc FD A]VRTS Balance Fd A 162. Brk Act #12 PHX Oakhurst lnc&Growth FI3 A] VRTS Tactical Fd A 163. Brk Act #13 Fidelity Divers Intl [FDIVX] 164. Brk Act #13 Fidelity Equity lnc[FEQIX] 165. Brk Act #13 Fidelity Inter Bond [FTHRX] 166. Brk Act #13 Fidelity Export & Multinat’l [FEXPX] 167. Brk Act #13 Fidelity Capital Apprec [FDCAX] 168. Brk Act #13 Fidelity Retire Mmkt[Cash Reserves] [FCRXX] 169. Brk Act #13 Fidelity Disciplined Equity [FDEQX] 170. Brk Act #13 Fidelity Value [FDVLX]
A A A A A A A A A D F E B C D A B
Dividend Dividend Dividend Interest Interest Interest Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Interest Dividend Dividend
M J K L K K J J J
Sold O N Sold (part) Sold J J T T Sold Sold
11/05/10 M
11/05/10 L 11105/10’ L
11/05/10 L I
1/05/101 L
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (SceColumns CI and D3) 3. Value Method (’odes (See Column C2)
A =$ 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 =Appraisal 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 ~(’OM (Real Estate Only) V = ()tiler
C =$2,501 - $5,000 H I =$ 1.000,001 - $5,000,000 L =$50.001 - $ 100,000 PI =$1.000,001 -$5,000,000 P4 =More than $50.000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ 100,001 - $250,000 P2 =$5,000,001 -$25,000,000 T =Cash Market
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W)
(2) Date mrrddd~yy
Identity of buyeffseller (ifpfivate ~ansaction)
171. Bank Act #14 Chase Accounts 172. Brk Act#!5 Fidelity Smart Account A
Buy 03/31/10 K
I. Income Gain Codes: [ See Columns B I and D41 2. Vahle Codes [See Cohmms CI and D3) 3. Value Method Codes (See Colunm (’2)
A =$1.000 or less F = $50,001 - $100,000 J =$15.PA~A) or less N =$2511.0(11 - $500.000 P3 = $25,000.001 - $50.000.000 Q =Appraisal U ~llook Value
B =$1,001 - $2,500 G =$100.001 - $ 1.000,000 K =$15,00| - $50,000 O =$500.001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000.001 - $5,000,000 L =$50.001 - $100,000 PI =$1,000,00I - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
FINANCIAL DISCLOSURE REPORT Page 15 of" 16
PartVll: INVESTMENTS AND TRUSTS Brk Act # 1: a percentage of the assets in these accounts were transferred to now~~,. ~Y~.~ per agreement; the balanced was transferred to a new individual account with the same designation "Brk Act #1". Brk Act # 13: a percentage of the assets in these accounts were transferred o noway?: ; 77 ; per agreement. ~, A percentage of the assets reported in Brk Act # 2 and #6 on prior years’ FDRs were transferred to now~,,,~:~;,,,,,.,, ~.~,,z: .... agreement with the balance transferred into Brk Act #4. Brk Act # 10 from 2009 FDR. These assets are under the control o~,~:,,~,. ,,~ . bwng m hosehold and are no longer reportable. per agreement.
Part VII lines 23,33,40,53 and 66 of 2010 FDR. These assets were transferred to no~;~,
Page 4, line 17 of 2009 FDR. 13rk Act #2 NYST AU LOC HGHWY & BRIDGE 5/09. This was inadvertenly listed on the 2009 FDR as an asset. It was a full redemption on 4/1/09 and is therfore omitted from the 2010 FDR. Page 5, line 18 of 2009 FDR. Brk Act #2 NYS Dorm Au Revs New Island Hosp 5.2/09.. This was inadvertenly listed on the 2009 FDR as an asset. It was a full redemption on 7/!/09 and is therfore omitted from the 2010 FDR. Page 5, line 30 of 2009 FDR. Brk Act #2 NYC G/O Ser H 5.25/13 (09). This was inadvertenty listed on the 2009 FDR as an asset. It was a full redemption on 3/16/09 and is therfore omitted from the 2010 FDR. Page 10, line 114 of 2009 FDR. Brk Act #4 NYS Dorm Mtg Hosp 4.95/08. This was inadvertenty listed on the 2009 FDR as an asset. It was a full redemption on 8/1/08 andis therfore omitted from the 2010 FDR. Page I 1, line 118 of 2008 FDR. Brk Act #4 NYC RFDG Ser H, subser H6 float/l 2. This was inadvertenty listed on the 2009 FDR as an asset. It was a full redemption on 3/17/08 and is therfore omitted from the 2010 FDR.
FINANCIAL DISCLOSURE REPORT Page 16 of 16
1 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: $/P .Kevin Castel
Revl 1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app..~q 101-111)
I. Person Reporting (last name, first, middle initial) Castel, P .Kevin
4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or pan-time)
7. Chambers or Office Address United States Courthouse 500 Pearl Street New York, NY 10007
I. POSITIONS. meponing individualonly; seepp. 9-13 of filing instructions.)
I. 2. 3. 4. 5. Director (ex officio as former president) Trustee (ex officio as former president) Board of Managers Adjunct Professor
NAME OF ORGANIZATION/ENTITY St. John’s School of Law, Alumni Association (uncompensated) Federal Bar Council (uncompensated) Havens Relief Fund Society (uncompensated) NYU School of Law (compensated; commencing 1 / I/10)
II. AGREEMENTS. me~,or, i,g ~,dividual o,~y; ~, ~. 14-16 of filing instructions.)
I. 10/27/03 PARTIES AND TERMS Cahill Gordon & Reindel LLP agreement in connection with withdrawal from firm. (Copy of agreement filed with 2006 FDR and those of prior years.)
Castel, P. Kevin A
Ill. NON-INVESTMENT IN COME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filer’s N0n-Investment Income
V. GIFTS. aneludes ,hose t,, spo~se and dependcn, ehiid, e,; see ,p. 28-3t of filing instructions.)
VI. LIABILITIES. a,d.de~ tho~e n/s, ou~e ~nd depen,~.t children; see pp. 32-33 of filing instructions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code l (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (0 (2) Value Value Code 2 (J-P) Method Code 3 (Q-W)
Transactions during reporting period (1) Type (e.g., buy, sell,
(2) (3) (4) Date Value Gain mm/ddgyy Code 2 Code l (J-P) (A-H)
Brk Act #1 Fidelity Worldwide [FWWFX] Brk Act #1 Fidelity Capital Apprec’n Mutual Fd [FDCAX] Brk Act #1Fidelity Cash Reserves [FDRXX1 Brk Act #1 Fidelity Asset Manager Mutual Fd [FASGX] Brk Act #1 Fidelity Aggressive Growth Mutual Fd [FAMRX] Brk Act #1 Fidelity Balanced [FBALX]
7. Fidelity Export & Multinat’l [FEXPX] 8. 9. 10. 11. 12. 13. 14.
J M M N T T T T Redeemed Sold T K Sold (part) Redeemed (part)
03/31/10 K
Brk Act #4 First Eagle Overseas Fund Class A Brk Act #4 LM [SB] Appreciation Fd CL A(Part VIII) Brk Act #4 LM [SB] Large Cap Grwth FD CL A Brk Act #4 Wstrn Asset NY Muni Money Mkt Fd CL A Brk Act #4 Wstrn Asset Money Market Fd CL A Brk Act #4 Uts Nuveen TE UT TR #61 M NY INSD $61 (Part VIII) Brk Act#4 VFH
Brk Act#4 SCD B
06/15/10 K
04/27/10 02/15/10
i 12/21/10 K
16. Brk Act#4 NYC G/O Set G 3.125/I0 [4/10]
Brk Act #4 Nassau Co Ser C 5.25/10
I. Income Gain Codes: (See Cohmms B I and D4 ) 2. Value Codes (See (’olumns (’1 and 113) 3. Value Method Codes {See (’olt~rllrl C21
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 =Appraisal (J =[look Value
B =$1,001 - $2,500 G =$ 100,001 - $1,000,000 K ~$15,001 o $50.000 O =$500,001 - $1,000,000 R ~Cosl (Real Estate Only) V ~ Other
C =$2,501 - $5,000 H I =$1,000,001 - $5,000,000 L =$50,001 - $100.000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Asscssmcnl W =Estimated
Name of Person Reporting Castel, P .Ke~in
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (9) Value Method Code 3 (Q-W) (t) Type (e.g., buy, sell, redemption)
Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
Brk Act #4 NYS Dorm AU Staten Isl U Hosp 4.9/10 Brk Act #4 NYC G/O SER C 4.375/11 Brk Act #4 NYS ENV FACS 5/11 Brk Act #4 NYNY Ser F 5.125/11 Brk Act #4 Erie Cnty NY Pub Impt Ser A 5/11 (Part VIII) Brk Act #4 NYNY Ser A Prefund 5.25/11
B D A A B A A A B A B B A B B B B
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest K K K K T T T T J K T T J K K T T M
Redeemed 07/01/10 K
Redeemed 06/25/10 J ’
Spinoff (from line 52) Distributed 04/23/10 L Spinoff (from line 24) Spinoff (from line 24) Redeemed Redeemed 101/21/10 J 07/01/10 K A A Part VIII
24. Brk Act #4 NY NY Ser J 4/12 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Brk Act #4 NY NY ETM Ser J 4/12 Brk Act #4 NY NY Ser J 4/12 Brk Act #4 NY NY Ser J FGIC-TCRS 5.35/12 Brk Act #4 NYS Dorm Auth Upstate Comm Coil RevB 5/13 [/10] Brk Act #4 NY NY RFDG Ser B-FGIC TCRS 5.75/13 Brk Act #4 Medina NY Cent Sc Dist 4.75/12 Brk Act #4 NYS Dorm AU RFDG SECD HOSP NYDTWN 5.2/14 Brk Act #4 NYS Dorm AU Revs Third Gen Res 5.25/13 Brk Act #4 NYS Dorm AU Revs Lutherem Med 5/13 Brk Act #4 NYC GO Ser J 4/13
04/23/10 L
I. Income Gain (‘odes: (See Columns 01 and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column (’2)
A =$1.000 or less F =$50.001 - $ 100,000 J = $15,001) or less N =$250,001 - $500,0011 P3 =$25,000,001 - $50,1)1)0,000 Q =Appraisal 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 Estate Only) V ~ t)thcr
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000.000 S =Assessment W =Estimated
D =$5.001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
VII. INVESTMENTS and TRUSTS - inco,.e, vol.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (I) (~) Amount Type (e.g., Code I div., rent, (A-H) or int.)
Gross value at end of reporting period (t) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) K K L K K T T T T T
(0 Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
Brk Act #4 Buffalo NY Ser B 5.375/13 [12] Brk Act #4 Nassau Cty IFA Ser A 5/13 Brk Act #4 NYC GO Ser A 4/13 Brk Act #4 Camden NY Cent SCh DIST SER A 4.5/14 Brk Act #4 NYS DORM AU Iona Coll 4.3/14 Brk Act #4 Sharon Springs MunWtr 4.8114 Brk Act #4 NYS Dorm Au Colgate 4.625/14 Brk Act #4 NYC Set A G/O 4.3/14 Brk Act #4 NYS Dorm Au Lease Rev Mun Hlth 5.5/14 [I 1] Brk Act #4 Buffalo NY Gen ImpSer A 4.7/14 [11] Brk Act #4 NYC GO Ser 1 4.5/14113] Brk Act #4 West Seneca Cent Sch 4.125/14 Brk Act #4 NYC GO Ser G 4/14 Brk Act #4 No Babylon Sch Dt 5.25/15 Brk Act #4 Buffalo NY Ser C 4.7/15 Brk Act #4 NYC REF Ser B G/O 5.75/15 Brk Act #4 LI Pwr Au[LIPA] 4/15
Distributed 04/23/10 Redeemed 07/01 / 10 K J L K L L K K L K T T T T T T T T T T Spinoff (from line 44)
I. Income Gain C0dcs: (See Columns B I and D4 ) 2. Value Codes (See Columns (’1 and D3) 3. Value Method (’ode~ (Scc Column (’2)
A =$1,000 or less F =$50,001 - $ 100,000 J =$15.000 or less N =$250,001 - $500,1)00 P3 =$25,000,001 - $50,000.000 Q =Appraisal 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 Estate Only) V -Other
C =$2,501 - $5,000 H 1 =$ 1,000,001 - $5,000,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More ’,ban $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
VII. INVESTMENTS and TRUSTS -ineo~,e, vatoe, transoctions anc~udes those o/spouse and dependent children; see pp. 34-60 of filing instructions.)
D NONIE (No reportable income, assets, or transactions.) Gross value at end of reporting period (1) (2)
Transactions during reporting period (1)
(Q-W) 52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. Brk Act #4 NYNY Ser A 5.25/15 Brk Act #4 MTA 5.25115 Brk Act#4 NYC Trans Fin 4/15 Brk Act #4 N¥S Dorm Pres 4.2/15 [14] Brk Act #4 NYC Ser C 5.25/15 [14] Brk Act #4 N¥C Health & Hosp 4.55/16 [12] Brk Act #4 NYC G/O Ser H 5.25/16 [1 I] Brk Act #4 NYS Dorm Au St Johns U 5/16 Brk Act #4 NY NY Ser J 5.25/16 Brk act #4 NYS Env Fac Corp St Clean Wtr 5/17 Brk Act #4 NY NY RFDG Ser J 5/17 Brk Act #4 NYC Ser G G/O 5/17 Brk Act #4 N¥C GO Ser O 5/17 [15] Brk Act #4 NYC SER B Gen Obl 5.375/18 [08] Brk Act #4 NYS Dorm Au St Josephs H 5.25/18 Brk Act #4 Binghamtom 4.25/18[16] A A B B B B B B C B A C B B A D C Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest L T L L T T Redeemed Distributed Redeemed 08/02/10 04/23/10 08/19/10 K K M
Redeemed 11/08/10 Distributed 04123/10 L K K L K K L K T T T T T T T T Redeemed 01/21/10
A Part Vlll
Pan VII!
68. Brk Act #4 NYS Thru H & B 5/18115]
1. Income Gain Codes: (See Columns B I and D41 2. Value Codes (See Columns CI and D31 3. Value Method Codes (See Column C2)
A =$I,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,0110 P3 =$25,000,001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K = $15,001 - $50,000 O =$500.0111 - $I,000,000 R =Cost (Real Estate Only) V : Other
C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000.001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000.000 M =$ 100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
VII. INVE STMENTS and TRUSTS - i.come, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
Place "(x)’, after each asset exempt from prior disclosure
(~) Amount Code 1
(t) Value Code 2
(2) Value Method Code 3 (Q-W) T T T
Brk Act#4NYC GO Ser AI 5/18[17] Brk Act #4 NY NY RFDG Ser 15/18 [14] Brk Act #4 NYC TFA FUT TAX FGIC SECD Ser E 5.25/18 Brk Act #4 New York State Dorm Auth St Pers Income Tax 4/18 Brk Act #4 New York NY City HSG Dev Corp MultiFam 5.35/18 Brk Act #4 City MWF AU WKS Sys Rev Ser D 0/18 Brk Act #4 LIPA NY Elec Sys Ser E 5/18 Brk Act #4 NYS Thruway Au Gen Rev Ser H 5/19 Brk Act #4 PR Muni Set C 5.25/19 Brk Act #4 Buffalo Ser C 5/19 Brk Act #4 MTA Ser A 5.5/19[12] Brk Act #4 NYC TFA Ser AI 5/19[16] Brk Act #4 Middletown NY 4.125/19[I 6] Brk Act #4 PR Sales Tax 4.625/19 Brk Act #4NYS Env FACS Corp St Clean WTR & Drinking 5.25/20 Brk Act #4 Metro T SPTN Au NY TSPN REV SER A A5/20 Brk Act #4 NYC GO Ser A 5/20[16]
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest lnterest Interest Interest
Redeemed 08/31/10 M L T Redeemed 08/19/10 L L L L L M L T T T T T T Redeemed 08/31/10 L M M L M T T T T Buy 03/04/10 L
1. Income Gain Codes: ( See Columns B I and D4) 2. Vahle Codes ( See Columns C I arid D3) 3. Value Method Codes (See Colunm 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 - $50,01)0.01)0 Q =Appraisal 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 Estale Only) V - Other
C =$2,501 - $5.000 H I =$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 =Estimated
VII. INVESTMENTS and TRUSTS --income, value, transactions(Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (i) (2) Amount Type (e.g., Code I div., rent,
C. Gross value at end of reporting period (i) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) L L K
(I) Type (e.g., buy, sell, redemption) (2) (3) Date Value mm/dd/yy Code 2 (J-P) (4) Gain Code 1 (A-H) (5) Identity of buyer/seller (if private transaction)
Brk Act#4 L1PA Ser E 5/20 [16] Brk Act #4 NJ High Ed 4.5/21 Brk Act #4 NY Gen Oblig BDS-G I 5.5/21
Brk Act #4 NYC Trans F/A Rev 5.25/21 Brk Act #4 NYS Pers Inc Tax 5/21 [ 16] Brk Act#4 New York NY Ser A CIFG TCRS 5/21
06/22/10 L
D C C B A C B C B A D C
Interest Interest Interest Interest Interest Interest Interest Interest Interest lnt./Div. Interest Interest
L L L K L L L L L K L L
T T T T T T T T T T T T Buy 11/08/10 K Buy 11/30/10 L
Brk Act #4 Metro Tras Au NY Rev RFDG Ser A 5.125/21 Brk Act #4 New York City G/O Ser A 5/22 Brk Act #4 Monroe Cnty IDA 5/22 Brk Act #4 NJ State Trans 5.25/23 Brk Act #4 NJ Economic Dev Au Sch Constr Ser O 5.23/23
Brk Act #4 PR Elec Pwr Rev RFDG Ser PP 5/23
Brk Act #4 NY Gen Oblig BDS E 6/23 Brk Act #4 Triborough Bridge & T Au Ser D 5/23
100. Brk Act #4 NJ State Trans 5/24 101. Brk Act#4 New York St Dorm Au Revs Hosp FHA Insd A 6.45/24 102. Brk Act #4 Triborough B & T AU 5/24
I. Income Gain (‘odes: (See Columns B I and D4 ) 2. Value Codes (See Columns (, I and D3) 3. Value Mc01od [.’odes (See Column (’2)
A : $ 1,000 or less F =$50,001 - $ 100.000 J =$ [ 5,000 or less N =$250,001 - $500,000 1’3 - $25,1)00,001 - $50.001),0(10 Q : AppraNal U ~ Book Value
B =$ 1.001 - $2.500 G =$ 100,001 - $1,000,000 K =$15.001 - $50,000 O =$500.001 - $1,000,000 r ~ Uosl (Real Estate Only) V - ()tiler
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000.000 S =A sscssmcnt W =Estimated
E $15.001- $50,000
FINANCIAL DISCLOSURE REPORT Page 10 of" 16
Date of Reporg 06/20/2011
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (l) Amount Code l (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (l) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code l (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
103. Brk Actg4 PR Elec 4.625/25
A D C A A A B
104. Brk Act #4 NYS Thwy Au 2d HWY & BDG 5/25 (Part VIII) 105. Brk Act #4 NYC MWA Wtr & Swr Rev Ser C 5/25 (Part VIII) 106. Brk Act #4 NY NY IDA Rev AGC 6.125/29 107. Brk Act #4 Ishares TR Dow Jones Select Div Index Fund 108. Brk Act#4XLF
109. Brk Act #4 NYS Thrwy 5.1/10 I I 0. Brk Act #4 NYC G/O Ser C 4.375/11 I I I. Brk Act #4 MTA FRDG Ser A 4.3/13
Redeemed 04/01 / 10 K Merged (with line 19)
L K L T T Merged (with line 115)
112. Brk Act #4 NYS Dorm Columbia U. 5.25/13 B I 13. Brk Act #4 New York City G/O Ser E 5/14
114. Brk Act#4 New Rochelle Sch Dist Set A FSA 5/14
115. Brk Act #4 New Rochelle NY School 5.25/14 [I I] I 16. Brk Act #4 NYC Ref Ser B G/O 5.75/I 5 I 17. Brk Act #4 NYC Health & Hosp 4.55/16 [12] I 18. Brk Act #4 Hudson Falls NY Cent Sch 4.625/16 [Ill I 19. Brk Act #4 New York G/O BD B/E Ser J 4/16 B C
T Merged (with line 50) T Merged (with line 57)
lnterest Interest
I. Income Gain (’odes: (See Columns B I and D4} 2. Value Codes (See Columns CI and D3) 3. Value Method (’()des ISee Column C2)
A =$1,000 or loss F ~$50.001 - $100.000 J = $15,111)1) or less N =$250,001 - $500.000 P3 =$25.1)00.001 - $50.000,000 Q =A ppraisal U =Book Valuo
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 Estale Only) V = Other
C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4-More Ihan $50,000.000 S =Assessment W =Estimated
FINANCIAL DISCLOSURE REPORT Page 11 of" 16
VII. INVESTMENTS and TRUSTS - in,.o,,e, value, tr .... ctlons (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
(]) Amount Code 1 (A-H)
Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) L L L K K L T T T T T T
(1) Type (e.g., buy, sell. redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
120. Brk Act #4 NYC G/O Ser E 5/16 12 I. Brk Act #4 NYC G/O Ser B 5.25/I 8 122. Brk Act #4 New York N¥ RFDG Ser H 5/16 123. Brk Act #4 Port Auth 125th Ser 5/18 124. Brk Act # 4 MTA 4.5/18 125. Brk Act #4 NYS Dorm Au Rev Kaleida Hlth 4.25/I 8 126. Brk Act #4 Bingamton NY 4.25/18[16] 127. Brk Act #4 New York City G/O Ser A Subser A-I 5/19 128. Brk Act #4 NYS Twy Rev A 5/20[15] 129. Brk Act #4 Port Au NY & NJ 4.5/25 130. Brk Act #4 Western Asset Mkt FD 13 I. Brk Act #4 LM[SB] Large Cap Growh Fund CL A 132. Brk Act #4 SB Money Funds Cash Port CLA 133. Brk Act #4 SB Muni NY Mkt Port CL A 134. Brk Act #4 ADP 135. Brk Act #4 BR 136. Brk Act #4 BBY
Merged (with line 67) C B C A Interest Interest Interest Dividend M L L T T T Redeemed Merged (with line 10) A Dividend Redeemed Merged (with line 11)
I. Income Gain Cedes: (See Columns B 1 a nd D4 ) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F = $ 50.001 - $100.000 J = $15,0011 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 - $ 1,000,000 K =$15,1101 - $50,000 O =$500.001 - $1,000,000 R =Cosl (Real Estate Only) V ~Othcr
D=$5,001 - $15,000 H2 =More than $5,000,000 M=$100,001 -$250,000 P2=$5,000,001- $25,000,000 T =Cash Market
C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) J J J J J J J K J J J K J J L T T T T T T T T T T T T T T T
D. Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) Date Value mm/dd/yy Code 2 (.l-P) (4) Gain Code 1 (A -H) (5) Identity of buyer/seller (i f private transaction)
137. Brk Act ~4 Citigroup 138. Brk Act #4 GE 139. Brk Act #4 IBM 140. Brk Act #4 KMB
141. Brk Act #4 KSS
142. Brk Act #4 MDT 143. Brk Act #4 MSFT 144. Brk Act #4 PWC 145. Brk Act #4 WMT 146. Brk Act #4 WAG 147. Brk Act #4 WFC 148. Brk Act #7 Citibank NA Bank Dep Program 149. Brk Act # 7 PWC 150. Brk Act #7 RIT 151. Brk Act #7 NYS Dev Corp Inc Tx 6.5/I 8 152. Brk Act #9 SB (Western Asse0MUNI NY MNY MKT PORT CL A 153. Brk Act #9 EEM
A A A A A A A A A C A A
Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Interest Interest Dividend
I. Income Gain C0dcs: (See Colunms BI and D4) 2. Value Codes (See Columns ISI and D3) 3. Value Method Codes (See Colunm (’2)
A =$ 1,000 or less F =$50.001 - $ 100,000 J =$15,000 or less N =$250,001 - $500.000 P3 =$25,000.001 - $50,000,000 Q =Appraisal U =Book Value
B =$ 1,001 - $2,500 G =$100,001 - $ 1,000.000 K =$15,001 - $50,000 O =$500.001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100.000 PI =$1,000.001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250.000 P2 -$5,000,001 - $25,000,000 T =Cash Market
E =$15,1)1) I - $50,000
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (l) Amount Code l (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption)
(2) (3) Date Value mm/dd/yy Code 2 (J-P) (4) Gain Code I (A-H) (5) Identity of buyer/seller (if private transaction)
154. Brk Act #9 PWC 155. Brk Act #9 PZI 156. Brk Act #9 MFS Intl New Disc Fund C [MIDCX} 157. Brk Act #9 New York City MWF Au W &S Ser D O CPN 0/18 158. Brk Act #9 NYS G/O BDS-A 0/19 159. Brk Act #9 PR Comm H & T 0/20 160. Brk Act #9 XLF 161. Brk Act # 12[ PHX Oakhurst Strat Alloc FD A]VRTS Balance Fd A 162. Brk Act # 12 PHX Oakhurst Inc&Growth FI3 A] VRTS Tactical Fd A 163. Brk Act #13 Fidelity Divers Intl [FDIVX] 164. Brk Act#13 Fidelity Equity Inc[FEQIX] 165. Brk Act # 13 Fidelity Inter Bond [FTHRX] 166. Brk Act # 13 Fidelity Expor~ & Multinat’l [FEXPX] 167. Brk Act#13 Fidelity Capital Apprec [FDCAX] 168. Brk Act#13 Fidelity Retire Mmkt[Cash Reserves] [FCRXX] 169. Brk Act # 13 Fidelity Disciplined Equity [FDEQX] 170. Brk Act#13 Fidelity Value [FDVLX]
T T T T T T T T T Sold 11/05/10 M
T. T Sold (part) Sold 11/05/I 0 11/05/10 L L C A
T T Sold Sold 11/05/10 11/05/10 L L A A
I. Income Gain Codes: (See ColumnsB 1 and D4) 2. Value Codes (See ColumnsC I 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 =Appraisal 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 Estate Only) V =Other
C =$2,501 - $5,000 HI =$1.000.001 - $5,000.000 L -$50,001 - $ 100,000 P 1 -$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$ 100,001 - $250,000 P2 $5,000,001 - $25,000.000 T =Cash Market
171. Bank Act #14 Chase Accounts 172. Brk Act #!5 Fidelity Smart Account A None Interest K J T T Buy 03/31/10 K
A =$ 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 =Appraisal 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 Estate Otdy) V ~Othcr
C =$2,501 - $5,000 H 1 =$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 =Estimated
Date of Report 06/2 0/201 I
PartVll: INVESTMENTS AND TRUSTS Brk Act #1: a percentage of the assets in these accounts were transferred~ ~ ~i~ per agreement; the balanced was transferred to a new individual account with the same designation "Brk Act #1". Brk Act # 13: a percentage of the assets in these accounts were transferred to now~ ,~:~ ~ ~,~ ~ per agreement. ’~,per agreement with the balance ~ansfe~ed A percentage of the assets reposed in Brk Act # 2 and #6 on pgor years’ FDRs were t~nsfe~ed~ ~ into Brk Act ~. Brk Act # 10 from 2009 FDR. These assets are under the control of~.~i~i’~i~ not living in hosehold and are no longer reportable. per agreement.
Part VII lines 23,33,40,53 and 66_ of2010 FDR. These assets were transferred~7 ........~~ "~’~
Page 4, line 17 of 2009 FDRo Brk Act #2 NYST AU LOC HGHWY & BRIDGE 5/09. This was inadvertenly listed on the 2009 FDR as an asset. It was a full redemption on 4/I/09 and is therfore omitted from the 2010 FDR. Page 5, line 18 of 2009 FDR. Brk Act #2 NYS Dorm Au Revs New Island Hosp 5.2/09.. This was inadvertenly listed on the 2009 FDR as an asset. It was a full redemption on 7/1/09 and is therfore omitted from the 2010 FDR. Page 5, line 30 of 2009 FDR. Brk Act #2 N¥C G/O Ser H 5.25/13 (09). This was inadvertenty listed on the 2009 FDR as an asset. It was a full redemption on 3/16/09 and is therfore omitted from the 2010 FDR. Page I 0, line 114 of 2009 FDR. Brk Act #4 NYS Dorm Mtg Hosp 4.95/08. This was inadvertenty listed on the 2009 FDR as an asset. It was a full redemption on 8/1/08 and is therfore omitted from the 2010 FDR. Page 11, line 118 of 2008 FDR. Brk Act #4 NYC RFDG Ser H, subser H6 float/12. This was inadvertenty listed on the 2009 FDR as an asset. It was a full redemption on 3/17/08 and is therfore omitted from the 2010 FDR.
Name of Person Reporting Castel, P .Kcvin
l 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. 1 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. seqo, 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature: S/P .Kevin Castel
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