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FINANCIAL DISCLOSURE REPORT


FOR CALENDAR YEAR 2009
2. Court or Organization Eastern District of New York 5a. Report Type (check appropriate type) [] Nomination. [] lmtial Date [] A .... I [] Final

Report Required by the Ethics


in Go verrtment Act of 1978

(5 U.S.C. app. zOt-I t 1)


3. Dale of Report 05/! 02010 6. Reporting Period 01/01/2009 to 12131/2009

I. Person Reporling (last name, first, middle initial) Spate, Arthur D. 4. Title (Article Ill judges indicalc active or senior s:atus; magistrate judges indicate full- or pan-time) U.S. DistricrJudge, Senior

7. Chambers or Office Address Long Island Federal Courthouse P.O. Box 9014 Central Islip, New York 11722

~b? [] .a.mendedRcport 8. On the basis of the information contained in Ihis Report and any modifications pertaining thereto, it is, in my opinion, in compliance ~,ith applicable laws and regulations, Re,ie~ing Officer Date

IMPOR TANT NO TES: rhe instructions accompanying this form mt~t be fottowed. Complete all parts,
checl, ing the NONE box]or each port where you have no reportable information, Sign on last page.

I. POSITIONS. rn~orri,,. indi3iduMonly; seepp. 9-lJ off!lingi .....

"tions.)

~
I. 2. 3. 4.

NONE (No reportable positions.)

POSITION

NAME OF ORGANIZATION/ENTITY

,-~ -~-

11. AG~EMENTS. (Reportlng individualonl); see p~ 14-16 offiling instr,ctions.)


~ NONE ~No reportable agreements.) DATE I. 1979 2. t979

pi

pAKFIES AND TERMS


Prior pension ~d profit-shanng plans rolled over (See Ride~ I annexed hereto) lndividual Retiremenl ~Keogh" Plan (See Rider 2 annexed)

Spatt, Arthur D.

Name of Person Reporting FINANCIAL DISCLOSURE REPORT I spa.. Arthur D.

Page 2 of 12

Date of Report

05/10/2010

III. NON-INVESTMENT INCOME. tR,po.i.gi.di~ia~ala,d*po~,,~,~,~pp. 17-24 o.t.~li,r=.,~.io~*O


A. Fliers Non-Investment Income
NONE (No reportable non-investment income.) .DATE
I. 2009 2. 3. 4. New York State Retirement Pension

SOURCE AND TYPE

~
(yours, not spouses)

$18,627.96

B. Spouses Non-I nvestment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar ornot~t~t not reqoired except fi~r honoraria.)

NONE (No reportable non-investment income.)

DATE
I.

SOURCE AND TYPE

3. 4.

IV. REIMBU RSEMENTS (Includes rhode to ~7~ouse and dependent chtldren." see pp 2J- 2 7 0f filing instructi,~ns l

NONE (No reportable reimbursements.)

SOURCE
I. 2, 3. 4.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

5.

FINANCIAL DISCLOSURE REPORT

[ Name of P~rxon Reporting

[ Date of Report

Page 3 of 12 11 spal-t. Arthur D. v. GIFTS. (Inctuaes t!,ose to s~o,se a,a a,p, na~t children; see pp. 28-31 of filing instructions.)
~ NONE (No reportable g~s.) ~
1. 2. 3. 4. 5. U.S. T~asuq U~n the death of received life insurance procceds in the fo~ of a check from the U.S. Treasu~ in the sum of $3,424.78, which she endorsed to the order of Carol Cennard

0,,,

DESCRIPTION
I

VALUE
$0.00

VI. LIABILITIES. an,.t~d,~ ,ho~, o/spous, ,~d aope,a .... h~re,: xec pp. 32-33 Of filing instructions.)
NONE (No reportable liabilities.)

CREDITOR
1. 2. 3. 4. 5.

DESCR, IPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT

[r~ame of~cr,o,r~epo"ing
~ Spatl, A.hur D.

I
]

D .... raepo.
0511012010

Page 4 of 12
VII. INVESTMENTS and TRUSTS -- i .........

t,,, i ...... 6ons ancluaes those o[spous ,~d depeMent children; see p,. S4-60 of filing instructions.)

NONE (No reportable income, assets, or transactions.) Description of Assets (includingt~sl ~sse~s) Place"(X)"altereach asset exempt from pfi~r disclosure ~ Incumc during ~ Gross value at end reporting p~ri~ ~ olr~o~ing, period -~ Value Code 2 Value Me~od T)~ (e.g., buy, sell, T~nsaclio,s during repoaing peri~ (4) -~- ~5) ~ -~ ~ Da~e . Value buycr/~clkr m~d~yy ( CMe 2 C~e I

;Amou~t [ Ty~ (e.g., Code I div, rnt,

,,

I. :[ 2. 3. 4. 5. 6. 7. 8. 9. 10. I I_ 12. 13. 14. 15. 16. 17.

STOCKS AIRTOUCH COMMUNICATIONS AMERITECH - COMMON AT&T - COMMON BELL ATLANTIC - COMMON CHEVRON - TEXACO COMCAST - COMMON EASTMAN KODAK - COMMON PACIFIC TELESIS - COMMON PEPSICO - COMMON SOUTHWESTERN BELL - COMMON U.S. WEST - COMMON XEROX - COMMON U.S. WEST MEDIA GROUP EASTMAN CltEMICAL CO. AIRTOUCH COMMUNICAIIONS NCR CORP. A A A A A A A A A A A A A A A A Dividend Divideml Dividend Dividend Di,idend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend J J J J K J J J K J J J J J J J T T T T T T T T T T T T T T T T

(See Columns CI ~d D])

N ~$250.~I - $500.~ P] =$25,~.~)1 - $50.~).~0

O ~$500,~1 - $1,0~0,~

PI ~l,00O,~l - $5.~,~ P4 ~M~e then $50,~.~)

12 =$S,~.~l - $25,~,~ ~

FINANCIAL DISCLOSURE REPORT

N .... fP ..... ReporHng Spatt, Arthur D.

DateofReport I 05/I0/2010 [

Page 5 of 12
VII. INVESTMENTS an d TRUSTS - i ......

,. ,atue. t ...... aon, a.ct~ae~ ~ho~, o~ ...... a ap,.a,.., .nua~,.; ,,, ~,. 34-~o oZ,~i.g
" ............................. -b ......................... c. T~n~ctions during reporting period Gros~ value at end of repo~in2pedo~_ ............................. (I) (2) (l) i (2) ~ (3) (4) Identity of Da e ~ Va ue Gain Va~ue ~ Value T)~e. sell, (eg., m~d~yy Code 2 Code I buy~seller Meth~ buy, Code 2

~
,~ ~ ; ,i

NONE (No reportable income, ~sets. or lransactions.) ~. Description of Assets (includlag t~st assets) Place"{X)" aRcr each asset exempt t~om p~or disclosure 1 ~. Income dunng rc~Oing period ~ (I) (2) ~Amount T~ (eg., ~ Code I div., ten1,

~ 19. 20. 21. 22. 23. ..2~. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

TRICON GLOBAL SBC COMMuNIcATIONS COMPAQ COMPUTER GENERAL ELECTRIC CO. AGERE SYSTEMS, INC. YI,.IM BRANDS, INC. IIEWLETT PACKARD CO. QWEST COMMUNICATIONS CttESAPEAKE UTILITIES CORP. VODAFONE iDEARC iNC. LSI Corp. LIMITED PARTNERSIHP BERKSHIRE LAND VENTURE CO. BERKSHIRE LAND VENIq3RE CO. INTEREST NORTH FORK BANK, including IRA accounts & cash

A A A A A A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

J J J J J J J J J J J J

T T T T T T T T T T T T

A A

Dividend Interest

J J

U U

Interest

2. Vah~ Codes

J =$ I S,O00 or le~

K -$15,001 - $50,1X~0

L ~$50,001 - $ ! 00,t%~0

M =$100,001 - $250.000

FINANCIAl, DISCLOSURE REPORT

Page 6 of 12
VII. INVESTMENTS and TRUSTS - i ....

[ N ....

fP ..... Reporting

DateofReporl" 05/10/2010

sp.,,, A

e, value, r ...... tiolx$(]nclud$ those of sp .......d dependtnt children; see pp. 34-60 of filing instructions.)

NONE (No reportable income, assets, or ~ansactions.) Description (including ~t assets) Placc"(X)"eficr~chassct lncom~ durm~ r~po~ing pe~od Gress value at cad of repo~n~ p~od ) ~ T~nsactio~s during reposing p~od

~ ~

I ~
(~) [

Value Vaue T)~e(e.g.. [Amount l T)~(e.g.. ~ C~e2 buy, sell. Mc~hod ,[Cde 1--[ div r~t (A-H) or int.) ; (J-P) C~e3 rcdc~nption)

~ -~ (2)

~ O)

(2)

O)

~ (2) ~ ~3) [ ~4)

[denti~of Date ;i Value ~ Gain buyer/seller ~mn,Sd~yy Code- [Code I ~ (J-P) (A-H) transaction)

~35. [36,
37. ~8.

Poaion of Pension Plan Roiled Over (See Pa~ II) BONDS


NEW YORK STATE IlOUSING FINANCE AGENCY POWER AUTIIORITY OF NY D C Interest L T

Interest

39. 40, 41. 42. 43. 44. 45. 46. 47. 48, 49. 50. 51,

DORM [TORY AUTHORITY OF NY DORMITORY AUTHORITY OF NY STATE OF ISRAEL BONDS NY SrATE THRUWAY AUTHORITY NY STATE THRUWAY AUTHORITY NYS DEPT. OF ItEALTH N.Y. STATE DORMITORY AUTI[, ROCHESTER DUTCIiESS COUNTY DEV. AGENCY OTSEGO COUNTY NEW YORK STATE ENVIRONMENTAL BRIARCLIFF MANOR GREECE NY CSD SCOTIA GLENVILLE, NY

D D A A A A A A A A A A A

Interest Interest Interest Interest Interest Interest Interest Interest Inlerest Interest Interest Interest Interest

L L 1 J J J K J K J J K K

T T T T T T T T T T T T T

Sold Buy

07/01 06/29

J K

Sold

04/01

Buy

04;14

(See Columns CI ~d D3)

N =$250,~1 -

FINANCIAL DISCLOSURE REPORT Page 7 of 12

r~ .... f ~. ..... ,epo.i.~ Spa,t, A~o.

I Dot, or aepo.

I
(1) Type (eg., buy, sell. redemption) F | Date ] Value Imrrudd.;.vy : Code 2 : (J-P) (4) Gain Code I (A-H)

VII. IN VESTMENTS an d TRUSTS - i .... ,, ~alue, t ..... ,ions (Intrudes thos, of sp ...... d dependent children; s,e pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including ,rust assets) Place "(X)" after ~ach asset cxc~npt from prio~ disclosure Income during Gross val~e al end reporting period of reporting period ........................(1) (2) (t) i (2) Value Amounl !. Type (e.g., Value Code I [ div., rent, Met.hod Code 2 (A-It) | (J-P) Code 3 or irtt ) (Q-W) A Interest J T Transactions during reporting period Iden~i.y of buyer]seller (ifp.,ivate

52.

Rochester, NY

53.
54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.

North ColonieSchool Dist.


Port Authority NY & NJ L.I. Power Authority Triborough Bridge & Tunnel Authority NY STATE DORMITORY AUTHORITY NORTHPORT-E.NORTI IPORT Syracuse NY UGO Sachem Cent. Sch. Dist. NY STATE POWER AUTIIORITY NY State Enviror~mental FACS Buffalo, NY Niagara Wheatfield, NY Central IIAVERSTIL~W STRONG POINT RENSSELEAR NY MUN. IRA STOCKS ALLEGItENY ENERGY INC.

A
A A A B A A A A A A A A A

Interest
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest

K
K J K K K J J J J J K J J

T
T T T T T T T T T T T r T Buy 07/20 J : Buy 06/24 K

Dividend

tSee C01urnna CI and D3)

N =$250.001. $500.000

0 =$500.0~;I - $1.000.000

Pl =%I.O00.00l -

Name of Person Reporting

Date of Report

PageFINANCIAL8 of 12 DISCLOSURE REPORT ] Spatt, Arthur D.


VII. INVESTMENTS and TRUSTS - i .... ,, value, t ......

05/10/2010

Hons (Includes those of sp ...... d dependent children; set pp. 34-60 of.filing instruc,ions.)

"--I NONE (No reportable income, assets, or transactions.) Description of Assets (including t~sl assets) Place "(X)" aft ..... h as~t exempt from prior disclosure Income during reporting period A .... t Type(cg., Code I div.,ren, Gross value at end of reporting period Transactions during reporting period

(]) i

(2)

+--(1)

(2)

(1)

(2),f~!.

Value Value [ : Code 2 Method

Type (e.g., [Date [ ,~,ue Gain buy, sell. [mm/dcbyy Code 2 ~ Code I

Identity of buyer/seller

(5) (4)

............ I ..... !~ ___A22-~__J ..........


69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. I 8 I. 82. 83. 84. 85. AMERICAN ELECTRIC POWER CO., INC. CASCADE NATURAL GAS CORP. CENTRAL & SOUTH WEST CORP. CONNECTIV INC. CONNECTIV INC. CL A ENERGY EAST CORP.. ENOVA CORP. FPL GROUP INC. FIRST ENERGY CORP. M1DAMERICAN ENERGY IIOLDINGS CO. NEVADA POWER CO. NEW ENGLAND ELECTRIC SYSTEM POIOMAC ELECTRIC POWER. CO. TEXAS UTILIT ES CO. (tlolding Co.) TEXAS UTILITIES WESTERN RESOURCES INC. (Western Energy, Inc.) PIvlC CAPITAL INC. A A A A A A A A A A A A A B A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Di~idend Dividend Dividend Dividend J J J J J K J J J 1 J J J K J J J T T T T T T T T T T T T T T T T

transaction)

[ T

|. Income Gain Codes:

A :;$1,000 or |ess

B =$1,001 - $2,500

C ~$2,501 . $5.000

D =$5.6~01. $15,(K~0

E =$15,001 - $50,0~

(See Columns CI end D3)

N =$250,~1 - $5~,000

0 =$5~,~1 - 11,000,~

FINANCIAL DISCLOSURE REPORT .

Name of Person Reporling

Date of Report

Page 9 of 12
VII. INVESTMENTS and TRUSTS - i ....
[~

I
: Income during reporting period Type (e.g., div.. rent, or int.) [ A Dividend

Spatt, Arthur D.

I
Tr0.nsactions during rcperting period Type (e.g., buy, sell. redemption} Value /mn~dd/yy Cede 2 (J-P) | ] Date Gain Code ! (A-H) ! : Identity of buyer/seller (if private transaction) ___

i ,, valu, ira ..... ons (Includes those of sp ...... d dependent children; seepp. 34-60 of filing instructi,,ns.)

NONE (No reportable income, assets, or transactions.)


Description of Assets (including trust asscL~) Place "(X)" after each asset exempt from prior disclosure Gross valt~e at end of reporting period Vah~e Code 2 (J-P) Value Method [ Code 3

[Amount Code I (A-If) [

[_.(Q-W) ..................... .... J T

86.

ROCHESTER GAS & ELECTRIC CORP.

87. 88. 89. 90. 91. 92.


93.

SEMPA ENERGY SIERRA PACIFIC PEPCO HOLDINGS, INC. EAGLE MERGER CORP. RGS ENERGY GROUP, INC. OCCIDENTAL PEIrROLEUM CORP.
KIMBERLY-CLARK CORP.

A A A A A A
A

Dividend Dividend Dividend Dividend Dividend Dividend


Divhdend

J J J J J J
J

T T T T T T
T T

94. 95. 96.

CISCO SYSTEMS INC. JOHNSON & JOIINSON PMC COMMERCIAL TRUST

A A A

Dividend Dividend Dividend

J 3 J

T T

97. 98.

THE SOUTHERN COIvIPANY WESTSTAR ENERGY

A A

Dividend Dividend

J J

T T

99.

PUGET ENERGY INC.

A A A A

Dividend Dividend Dividend Dividend

J J J K

T T T T

100. CIIESAPEAKE UTILITIES CORP.

I01. VERIZON COMMUNICATIONS

i 10n ~. QUEST DIAGNOSTICS

Colum~ CI ~d D3)

N =$250,~ t - $500,0~

O =S5~,001 - $ I,~,~

P I ~$ I.~,~1 - $5,~,~

~ =$5,~.~1 - S25.~0.~

Column C21

U =B~mk V~lue

FINANCIAL DISCLOSURE REPORT

O~,eota~Oo~t

Page 1 0 of 1 2
VII. INVESTMENTS a n d TRUSTS - i ........

Spatt, A~hur .... Ir~ rP .epo,~iagD. ....

05110/2010
[ [

~., t ...... on$ (Include$ those of sp ...... d depende.t children; see pp. $4~ Grilling instructionx.) ~

N ONE ~No reportable income, assets, or transactions.)


A~ ................ ~ ....... :Desc~ipiion of Assets (including talsl assets) Place "(X)" aficr each a~t exempt from pfior disclosure -- . ........ D. l~come during [ reposing period Gross vah~e ~l end of ~pot~ing period l VMoe t Me~ ] C~e3 T~nsactions during re~ing ~ri~ [ ........ [ Ive (eg.. buy,~ell, redemption) Date [m~d~ [ Value Gain Code2 ~ Code 1 ](J-P) [(J-P) (A-H) ldcrAhy of buyer/s:ller (if private

Amount Type (e.g., ~ Value ~ Code 1 I div..rcnl, Code2 ~A-H) ~, or int.) OP)

103. CHEVRON CORP.

Dividend

104. ENERGY TRANFER PARTNERS 105. NV ENERGY INC.


106. CORPORATE BONDS

A A

Dividend Dividend

K K

"r T

107. TENESSEEVALLEY AUTItORITY Powe~ Bond 1993 Series C 108. COMMONWEALTII EDISON CO. 8.025% Due %q/2002 109. OPPENtlEIMER tlIGll YIELD FUND A (See Rider 2) 110. WARWICK NY CENT.

A A B A

Interest Interest Dividend Interest

J J M K

T T T T

(See Columns CI m~d D3)

N =$250,C91 - $5~.000 P3 =$25,~0,~1 - ~50,000,~

0 =$560,~[ - ~1,000,0~

Pl =$1,000,001 - $5,0~,~ P4 =More th~

P2

FINANCIAL DISCLOSURE REPORT

N .... f ~e.o~ ~,po~i.~

Page 1 1 of 12

Spatf, Arthur D. I

05!10/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


RIDER 1 (Response to "11 - AGREEMENTS" -- first page) As a former participating member of the Spatt & Bauman, P,C. pension and profit-sharing plan, when I withdrew from the finn and the practice of law in 1978, my share of the pension plan was severed and "rolled over." The funds were not used and were placed in individual relirement accounts in two types of investments as follows: a) bonds lind stocks in the aggregate value of $278,592.76 as of December 31,2009. b) cash in the Capital One Savings Bank, Great Neck, New York branch, in the sum of $27,357.77 as of December 3 I, 2009. RIDER 2 (Response to "11 - AGREEMENTS" -- first page) Prior to entering into the Spatt & Bauman, P.C, pension plan, when I ,,,,,as ~ single practitioner l started an individual retirement "Keogh Plan.~ When I withdrew from the practice of law, I "rolled over" the Keogh Plan, and it remains in that unused condition. The "Keogh" funds are in an Oppenheillaer lligh Yield Fund and are in the value of approximately $26,355,26 a.s of December 31,2009.

FINANCIAL DISCLOSURE REPORT Page 12 of 12


IX. CERTIFICATION.

Name of Person RepoSing

Date of Report 05/10/2010

I Sport, .Arthur D.

I certify that all information given above 0ncluding 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. I further certify that earned income from outside employment and honoraria and the acceptance of gifts svhlch 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~

NOTE: ANY INDIVIDUAL WItO KNOWINGLY AND W1LFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIl, 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