....

Rev. 1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization U.S. District Court
5a. Report Type (check appropriate type) Nomination, ] [] Initial Date [] Annual [] Final

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

1. Person Reporting (last name, first, middle initial) Block, Frederic 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge

3. Date of Report 05/04/2011 6. Reporting Period 01/01/2010 to 12/31/2010

5b. [] Amended Report

7. Chambers or Office Address 225 Cadman Plaza E. Eastern District Court of NY Brooklyn, NY 11201

8. 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 lastpage.

I, POSITIONS. (Reporting individual only; seepp. 9-13 of f!ling instructions.)

~] NONE (No reportable positions.) POSITION
1. Officer

NAME OF ORGANIZATION/ENTITY
Frederic Block, P.C.

3. 4. 5.

II. AGREEMENTS. (RepoSing indlviduul o.ly; se~ pp. 14-16 of filing instructions) ~] NONE (No reportable agreements.)
DATE

PARTIES AND TERMS

Block, Frederic

FINANCIAL DISCLOSURE REPORT Page 2 of 10

Name of Person Reporting Block, Frederic

Date of Report 05/04/2011

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
~]

NONE (No reportable

DATE

non-investment

income.) SOURCE AND TYPE

INCOME (yours, not spouses)

2. 3. 4.

B. Spouses Non-Investment Income - lf you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)

DATE
1. 2. 3. 4.

SOURCE AND TYPE

IV. REIMBURSEMENTS -transportation, lodging, food, entertainment.

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

~]

NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE

ITEMS PAID OR PROVIDED

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 10

Name of Person Reporting Block, Frederic

Date of Report 05/04/2011

V. GIFTS. ancludes those to sp ...... d dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. aneludes those oyspouse und dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.)
CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 10

Name of Person Reporting Block, Frederic

Date of Report 05/04/2011

VII. INVESTMENTS and TRU STS - income, val.e, 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 (including trust assets)

reporting period:

of reporting period (1) Value Code 2 (J-P) (2) Value .... MEthod Cod~ 3: : (Q-W) (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)

exempt from prior disclosure

Code 1 div.,rent~ (A-I-D or int.)

BECTON DICKENSON CO

Dividend

Sold

05/18/10

2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. t3. 14. 15. 16. 17.

BLACKROCK NY MUNI INC(NAME CHANGE) BLACKROCK MUNIYIELD NY QLT(NAME CHANGE) COHEN & STEERS CLOSED END OPPTY FD 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 EATON VANCE TX-AD GL DIV GLOBAL DIV INC FD EATON VANCE TAX DIV INC DIV INC FD F1A CARD SERVICES NA FRONTIER COMM CORP NUVEEN NY INV QUAL MUNI NUVEEN NY PREF PLS MUNI NUVEEN NY QUAL tNC MUNI NUVEEN NY SEL QUAL MUNI P1MCO NY MUN 1NC FD

C C A C A C A C A A C C C B B

Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend

L L J L

T T T T Sold Sold 09/10/10 01/05/10 11/05/10 01/08/10 Buy (addl) 05/21/10

J K

J K K K

K K J J K L L K K K

T T T
T T T

Buy Buy

Spinoff 05/07/10 (from line 21) Sold (part)

J
A

11/02/10 K

T T T T Buy 09/15/10 K Buy 05/21/10 K

PRINCIPAL INVESTORS PRF SEC C FD A

1. Income Gain C0des: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) . 3. Value Method Codes (See Column C2)

A ~$L000 0r tess

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 : $2,500 G =$] 00,00i - $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 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

E =$15,001- $50,000

FINANCIAL DISCLOSURE REPORT Page 5 of 10

Name of Person Reporting Block, Frederic

Date of Report 05/04/2011

VII. INVESTMENTS and TRU STS - 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 O) (2) Amount Type (e.g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (11 Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) Gain Code 1 (A-H) (5) Identity Of buyer/seller (if private transaction) D. Transact ons dur ng reporting period

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

ISHARES DOW JONES US RE INDEX FE A

Dividend

Sold Sold J T Sold K T Sold (part)

05/06/10 K 09/10/10 K

SATURNS-GS 2004-2 SER GS 5.75% 2/15/33 RESEARCH IN MOTION LTD VERIZON COMM COM WESTERN ASSET/CLAYMORE INFL.LNKD OPT & INC FD

Interest None

Dividend Dividend

10/12/10 09/10/10

J J

ALLIED CAPITAL CORP NEW) ARES CAPITAL CORP. ANNALY CAP MGMT 1NC EATON VANCE DIVIDEND BLDR FD CL C PIMCO TOTAL RETURN FD CL C
-MORGAN STANLEY - TR V DEF INT TR PFD 5.75% 7/15/33

A A B A B A B C B

Dividend Dividend Dividend Dividend Dividend Interest Interest Interest Interest Dividend Dividend J J K T T T K J T T J T

Merged (with line 25)

04/05/10

Sold Sold Sold (part) Sold (part) Sold Sold (part) Sold (part) Buy Sold

01/04/10 01/14/10 04/22/10 09/15/10 08/24/10 09/15/10 09/15/10 01/14/10 04/09/10

K K K J K J J K L

CBS CORP. 7.25% 06/30/51 -CITIGROUP CAP VIII DEF INT TR PFD STK 6.95% 09/I 5/31 -VORNADO REALTY TRUST SER F CUM PFD SHS 6.75% PERP

AMERICAN EURO PACIFIC GR FD CL C A AMERICAN BOND FD OF AMERICA CL C C

L income Gain Codes: (See Columns B I and IM) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)

A ~$!1600 0r less F =$50,001 - $ i 00,000 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 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 ihan $ 5,000,000 M =$ 100,001 ~ $2501000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 6 of 10

Name of Person Reporting Block, Frederic

Date of Report 05/04/2011

VII. INVESTMENTS and TRUSTS - inco,~e, vulue, transactions (Includes those of spouse and dependent children; see pp. 34-60 drilling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period

Gross value at end

Transactions during reporting period

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

(D Amount Code 1
(A-H)

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

or int.)

Value Code 2 (J-P)

Value Method Code 3 (Q-W)

Type (e.g., buy, sell, redemptiol~)

Date mm/dd/yy

Value Code 2 (J-P)

Gain Code I (A-~

Identity of buyer/seller (if private transaction)

35. 36. 37. 38. 39. 40. 41. 42.

AMERICAN EURO PACIFIC GR FD CL C A AMERICAN GROWTH FD OF AMERICA CL C ARROW DWA BALANCED FD CL A ARROW DWA BALANCED FD CL A BLACKROCK EQUITY DIV FD C BLACKROCK EQUTY DIV FD C BLACKROCK HL SC OPP C CALAMOS CONV OPP INC FD C A A A A A A

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

Sold Buy Sold (part) Buy (addl)

05/12/10 K 05/12/10 02/11/10 08/03/10 04/22/10 08/03/10 02/11/10 K K L K L K

(pm)
Buy (addl) Sold Sold Sold Buy Sold Buy

Sold

06/04/10 K 02/1 t/10 K 01/04/10 K 10/07/10 06/04/10 K K K

43. CALAMOS CONVERTIBLE FD CL C 44. 45. 46. 47. 48. 49. i50. 51.

CALMOS STRAT TOT RET RETURN FD A COHEN & STEERS CLOSED END OPPTY FD EATON VANCE RISK MNGD DIV.EQ 1NCM FD -EVERGREEN MANAGED INCOME FUND Multi Sector WELLS FARGO ADVANTAGE MULTI SECTOR INC. FD. INVESCO VAN KMPN BD FD INC INVESCO VAN KMPN BD FD INC IVY ASSET STRATEGY FD CL C B A C B A A

Merged 07/13/10 (with line 48)

Buy Sold (part) Sold

02/11/10

K
A

10/19/10 K 08/03/10 L

I InCome Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (Sec Column C2)

A =$1;000 or tess 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 =$1,000,00 i = $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

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 =$15,001- $50,000

FINANCIAL DISCLOSURE REPORT Page 7 of 10

Name of Person Reporting Block, Frederic

Date of Report 05/04/2011

VII. INVESTMENTS and TRU S TS - 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 (A-H) or int.) (J-P) Code 3 (Q-W) redemption) (J-P) (A-H) B. Income during reporting period C. Gross value at end of reporting period

T~ansaetions during reporting :period

(ifprivate transaction)

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.

J HANCOCK INC SEC J HANCOCK PREF INC 2 SATURNS-GS 2004-2 SER GS 5.75% 2/15/33 THORNBURG INC BUILDER FD CL C FIA CARD SERVICES NA RASP USB CAPITALVI 5.75% 3/9/35 -LOOMIS SAYLES INV GRADE BOND FD CL C LOOM1S SAYLES STRAT INC FD CL C LORD ABBETT FLOATING FD CL C MFS UTILITIES FD SER TR VI UTL CL C NUVEEN BUILD AMER BD FD NUVEEN BUILD AMER BD FD NUVEEN QUAL PREF INC 2 NUVEEN QUAL PREF INC 3 PIMCO ALL ASSET ALL AUTH FD CL C PRINCIPAL INVESTORS PRF SEC C FD P1MCO REAL RETURN FD CL C

A A B B A B C C A B A A A A C A B

Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

J K K L J

T T T T T

Buy Buy Redeemed

08/31/10 08/24/10 11/05/10

J K K

(part)

Sold Sold L L T T Buy (addl) Buy Sold K K K J M K T T T T T T Buy Sold (part) Buy Buy Buy (addl) Buy Sold

03/05/10 01/04/10 03/05/10 09/28/10 12/17/10 04/27/10 08/31 / 10 08/24/10 ~ 08/24/10 01/25/10 09/15/10 02/25/10

K J K K L K K K J L K M A

1. lncomc Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 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 - $500,000 P3 =$25,000,001 - $50i000,000 Q =Appraisal U =Book Value

B =$1,001 ;$2,500 G =$t00,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other

C =$2,501 -$5,000 H 1 =$i~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 $5~000,000 M =$I00,001 ~ $250~000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 8 of 10

Name of Person Reporting Block, Frederic

Date of Report 05/04/201 l

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 (1) Amount Code I (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., bti#, sell, redemptioo) D. lransactions during rgporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (A-H) O-P) (5) " Identity of buyer/seller (if private transaction)

69. 70. 71.

PRUDENTIAL JENNISON EQ INC FD CL C PRUDENTIAL TOTAL RETURN BD FD CL C PUTNAM VOYAGER FD CL C

B A A

Dividend Dividend Dividend None

L K K J

T T T T

Buy Buy Buy

04/22/10 04/22/10 12/17/10

K K K

72. BANK OF SMITHTOWN

1. Income Gala Codes: (See Columns BI and I)4) 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 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Valuc

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

D =$5,001 - $15,000 C =$2,501 - $5,000 HI =$1i000~00i ~ $51000,000 H2 --Mbr~ th~a $5i000~000 M =$100,001 $250;000 L :$50 00i~ $i00 000 .... ...... P1 =$1,000,00i z $5;000,000 P2 =$5,000,00! - $25~000~000 P4 =More than $50;000,000 .... T --Cash Market S =Assessment W =Estimated

E =$15,00 l - $50,000

FINANCIAL DISCLOSURE REPORT Page 9 of 10

Name of Person Reporting Block, Frederic

Date of Report 05/04/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndlcate part of report.)

FINANCIAL DISCLOSURE REPORT Page 10 of 10 IX. CERTIFICATION.

Name of Person Reporting Block, Frederic

Date of Report 05/04/2011

1 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. 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 et. seq., 5 UoS.C. 7353, and Judicial Conference regulations.

Signature: S/Frederic Block

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS 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