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1.2. Court or Org nization1. Person Reporting (last name, first, middle initial)3. Date of Report07/30/2010EASTERN DISTRICT OF NEW YORKGARAUFIS, NICHOLAS G.4. TitleReport Required }' /he Elhicsin Government Act of 1978(5 US.C. app. §§ 101-111)FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2009AO 10Rev. 112010{Article 111 judges indicate active or senior statusmagistrate judges indicate futl- or part-time)Sa. Report TypeDDUNITED STATES DISTRICT JUDGESb.(check appropriate type)DateNomination,initialD6. Reporting ed Report8. On the bH sis of the information contained in this Report and any7. Chambers or Offke Addressmodifications pertaining thereto, it is, in my op,nion, in compliancewith applicable la\\'S and regulations.US DISTRICT COURT EDNY225 CADMAN PLAZA EASTBROOKLYN, NY 11202Reviewing Officer . ··--- ·-.----· --· ·-----·-··-Date . ---Jll1PORTANT NOTES: The instrUL'liom accompanying tltisform must befollowed. Complete all parts,cliecki11g the NONE box for each part where you have no re-portable information. Sign on last page.I. POSITIONS.D(Reporting i111/Md11a/ only; . ee pp. 9-13 11jfiling ins·tructfons.)NONE (No reportable positions)NAME OF ORGANIZATION/ENTITYPOSITIONI.MEMBER, BOARD OF DIRECTORSSPECTATOR PUBLISHING COMPANY,INC.2.··--··--·-------3.--------- -5.--NONE--·-.-- ------- F'f--- -- ---- '. }. .·(.C-3. -· .)".i(JJ. AGREEMENTS. (R porting indb idua/ only,· ."tee pp.--------------- --···-·4.D-----14 16 offilin1: insfrllctions.)- ·-)(' )( ·-· 'I -:-r-vc' .c ?C:J-.··.(")(No reportable agreements)cGr-c·1' ;.·i()"1IPARTIES AND TERMSI. 02i09/J 997ABC, INC. PENSION PLAN MONTHLY SURVIVOR BENEFIT·-·---------·----· ----2.------···-----------3.---------------- ---·-·---
flNANCIAL DISCLOSURE REPORTDate of ReportName of Person ReportingPage 2 of9GARAUFIS, NICHOLAS G.III. NON-INVESTl\fENT JNCOME.07/30/2010(Reporting individual rind spouse; see pp. 17-14 offiling itmructions.)A. Filer's Non-Investment IncomeDNONE(No reportable non-investment income.)SOURCE AND TYPE1.INCOME(yours, not spouse's) 13,053ABC fNC. RETIREMENT PLAN20092.3.4.B. Spouse's Non-Investment Income-Ifyou were nrarrierf during rmy portion !frhe reportingye11r, complete this section.(Dollar amounl not required exct ptJOr honorar,"a.)DNONE (No reportable non-investmentincome.)SOURCE AND TYPEI.CITIZENS BUDGET COMMlSSION, FORM 1099-MISC. - CONSULTING2009---- -------INCOME--------· ---- ·2. 2009FORESTDALE, INC., FORM 1099-MISC. - CONSULTING INCOME3.2009NATIONAL4.2009NEW YORK UNIVERSITY, FORM 1099-MJSC - CONSULTING INCOMEJAZZ MUSEUM JN HARLEM,·------FORM 1099-MlSC. - CONSULTING INCOMEIV. REIMBURSEMENTS -- rransJ1t nat/on, lodgi1rg,fm d, ell/ertainment.(Includes tbri;,t' to spcm.'it? w1d dependt.ml c:hildren: St'i' pp.0NONE25-17 t fj}/;ng instruction. · J(No reportable reimbursements.)LOCATIONSOURCEPURPOSEITEMS PAID OR PROVIDEDl.UNITED STATES TENNISASSOCIATION01 /08/09 -0 I I I 0/09KIA WAH ISLAND. SCCONFERENCETRAVEL2.UNITED STATES TENNISASSOCIATION03114//09 - 03! 17/09PALM SPRINGS, CACONFERENCETRAVELUNITED STATES TENNIS09105109 - 09/07/09NEW YORK, NYCON FE REN CETRAVEL3.ASSOCIATION4.5.·-· ·-··--------------------- -----·
f'INANCIAL DISCLOSURE REPORTPage 3 of9V. GJFTS.[Z]Name of Per.on ReportingGARAUFIS, NICHOLAS G.l ate of Reporl07/30/2010(Includes those to spouse and depende11t children; see pp. 28-31 o/Jiling instructfom;.)NONE (No reportable gifts.)DESCRIPTIONSOURCEVALUE1.2.3.4.5.VJ, LIABJLJTJES.[Z](lnclud s Jhuse ofsp1Juse and dependent children; see pp. 31-33 offiling instructions.)NONE (No reportable liabilities.)CRE D ITORI.2.3.4.5.DESCRIPTIONVALUE CODE
FINANCIAL DISCLOSURE REPORTPage 4 of907/3012010GARAUFIS, NICHOLAS G.VJI. INVESTMENTS and TRUSTSDUate of ReportName of Person Reporting. income,value, transactions r1nc1udes those ofspouse and dependent .-11Hdren; see PP· 34.50 ofJWng ins1me1iuns.JNONE (No reportable income, assets, or transactions.)D.A.Income luringDescription of Assetsreporting period(including trust assets)(!)Place "(X)" after ca h asset(2)of reporting period-(I)Value(2)V alue···-- --·-- -·-·-··(!)Type (e.g.,AmountType (e.g.,div., rent,Codc2Methodbuy, sell,(A-H)or int.)(J-P)Codc3redemption): Code Ioexempt fr m prior disclosure,Trans.actions durjog rcponiog periodGross valu at end(Q-WJ!PRIMEFUND- CAPITAL RESERVESDInterestNTDAVIS NEW YORK VENTURE CLASS AADividendKTNEUBERGER BERMAN FOCUS FUNDADividendLTBLACKROCK MID CAP VALUE FUNDADividendKTVAN KAMPEN GLOBAL FRANCHISEADividendFIDELITY ADVI SOR DIVIDE:--.IDADividendJTAIM LARGE CAP GROWTH FD CI. BADividendJT8.AIM GLOBAL GROWTH FD CL 13ADividendKT9.ALLIANCE BALANCED SHARES CL BADividendJTADividendKTI.li(2)(3){4)Da!cValueGain. mm/dd/yyI: Code 2 \Code I(.1-P). Li(A-H)(5)identity ofbuyer/seller(ifprivattransaction)ii 2.}.4.CLASS A5.6.GROWTH17.I1I10.AMERICAN FUNDS: AMERICANCAPITAL WORLD FUNDIII.JSllARES TR. RUSSELL JOO()AD ividendKTJ 2.WALT DI SNEY COMPANY CSADividendJTJ 3.f'IOELITY A DV I SO RADividendKTADividendKTPROTECTED BD FD!14.ALLIANCEINFLATIONCL AIREAL ESTATEINVESTMENT FD A15.OPPENHEIMER SM16.& MID CAP VALUEAD ividendKTALLIANCE GLOBAL TECHNOLOGY AADividendJTADividendKTFUND17.ALLIANCE GROWTH&INCOME FU:\'D(See Column:. Bl anti l. .t)2. Value CudesCSee Culumns CI and OJ)(See (.'ohimn C2)08il 0/09JASold02/02/09JAJ\ SI ,UUO ur losu "' 1,001 - 52,500C :::.S2,50J - S5,000[) 5,001 - 15.000F ,. 50,001G · S 100,0lllHI )J ,liU0,001 · 5,000,000Hl ;.fore them S5,UOU,OOl1-SIOO,OllU SJ.000.0 JllJ "'SI S,000 or lt; :i,I\. Sl .001 - 50,000L SS0,001 -SJll0,000M S!OU,00!N 0 lS0.01l! . 500,0000 :.- j(}l),rJ01 - . 1,000,000PI SI ,000.00I - S.5.000.000P2 - ss,01.H),OOI - 25,000.000Q Appt isalR ·(\1:.1 /Rei'.ll Estate Only}5 -r"\:\! SSllLl:!'lllt.: ""'BoDk Value\' ·O!h1:r\\1 EstimatitdP.i "'S25.000.00I3. V 1luc- MdhvJ (\1d sSold(part)(part)CLBi. Inc·orn · l.iain .\ides:IiFUND!"i··S250. JOOP-1 More than 50,0(10,000 50,liUO.OUOT -Cash Market!\!lIiF-:. 1\00j-S5U,000
Oate of R 1 0rtNam of Person ReportingFINANCIAL DISCLOSURE REPORTGARAUl 'IS, NICHOLAS G.Page 5 of907/30/2010VII. INVESTMENTS and TRUSTS -- im'Olne, vatue, tr1Znsac1io11s r1nc111des those of P"""e and dependent c1i11dren; see PP· 34-60 offtting insrruc1ions.1DNONE (No reportable income, assets, or transactions.)--ln m url:· -i -Gr:s v ;,c a l-·((; f"' ! I '' i P· g- "&i .A.Description oi Assets(including trust assets);AmountPlace "(X)" after each assetCod e Iex.empt from prior disclosurej\Type (e.g.,div., rent.ValueiCode 2(A-H)or int.)(J-P)ADividendK1· 1r.ValueMethodCode 3(Q-W)---18.CITY OF NEW YORK DEFERREDCOMPENSATION PLANEQUIVEST VARIABLE ANNUITYNone20.ABC PENSION PLANNoneJT21.AJM GLOBAL EQUITY FUND CL BADividendKT22.IS!IARES MIDCAPADividendKT23.!SHARES TRMSC!ADividendKT24.!SHARES RUSSELL 2000ADividendKT25.ISHARES MSC! EMERGING MKTADividendJT26.MUTUAL SERIES CLASS CADividendJTSTANDARD &/\OividendKT27.POORS DEPOSITORYRECEIPTSIPIMCO TOTAL RETURN CL CADividendKT29.OPPE:- HEIMER GLOBAL FUNDADividendJT30.VAN KAMPEN EQUITYllDi idendLT& INCOME.31.v-IAMERICAN FUNDS: AMERICANBALANCED CLASS CADividendJTOPPENHEIMERADividendJTl. li'rnrn (jain CoJc:i.(Sec- Coh1mn:- 01and04)2. Value Cudrs(See Cott1nms ('Iand 03 JJ. Value M.:thod Cude.1olSee Column ('2)LTD. TERM NYMUNIl(4)GainI Code 2 I Code d11/17/09JBuy(add' ,fJOl -S!,500c s2.so 1 - ss.oouD S5.00l -Sl5.000HIJ .515,000 ur lcsK ·- 15,00I -SS:o,oooH2 More th:tn 5.000,0l)OL 550,(JOIN .i250.00 IO - 500.001P3 S25,000.00IQ Appraisalll . Bo1,1k Value S50.ll0tl,ll(IC)S! .U00.000l{ ""(us! (Re;ll E t:.i.te Only)V -Other 1,000,001 - Sl,000,!HH 100,000Pl "'·SI .noo,0111 - ss.uoo.onoP4 ivlore thanSA .ses:sment\V "'fatimatedIIII(i SJ(IO,rnll - 1,CI00.000-buycr/seUcr(if privatetransaction)JF sso.oo 1 - s rno.oooli:'i00,000i(5)Identity of-- . JA "'S 1.000 or h.·ss 'I32.i 34.-- -mm!ddJyyIII33.·-(2)Date(part)28.!(!)Type {e.g.,buy, sell,redemption)T19.ID.Transactions during reporting period,\,1- 100,001. 250,000P2 5,Cl00.001 - S2\000.00(l0.ot)O,tJUUT Cash·.:b.rk tIIIE :::: 15.001·S50.0fi0
Name of Person ReportingFINANCIAL DISCLOSURE REPORTPage 6 of9GARAUFIS, NICHOLAS G.VII. INVESTMENTS and TRUSTSDNONE-income, value,(No reportable income. assets, or transactions.)C.Income duringDescription of Assets(including trust assts )i-(i)f. (2JAmount1-·-·-·--·(A-H)1Type(e.g.,div. . rent,-- value at endValueiCode 2Methodor int.)(J-P)Type (e.g.,buy, sell,3i (Q-W)CodeADividendKT36.AMERICAN FUNDS: 1AMERICANCAPITAL INCOME BUILDER.CLASS CAD ividendJT37.ROCHESTER FD. MUNI AADividendJT38.OPPENHEIMER GLOBAL CLASS CADividendKT39AMERICAN GROWTHBDividendMT40.AMERICAN FUNDS: AMERICAN HIGHINCOME CLASS FUNDBDividendKT41.ALLIANCE GROWTH I NCOME CL AADividendJTAIMADividendKTOPPENHEIMER INT BD FDADividendJT44.VANGUARD INT TERM TAXADividendJT45.PIMCO COMM REAL RETURN,\DividendJT46.AIM CONSTELLATION FD CL BADividend47.GABELLI ASSETAlnt./Oiv.JT48.ROYCE TOTAL RET. INV.ADivi dend.ITIADividendJTredemption)I 49.SHARES S&P SMCAPSold(part)Sold(part)600.Date(3)Value(4)Gain; mm;'dd/yy i Code 2 ; Code 1(J-P): (MIJi(5)1dcnt1ty ValueALLIANCE BERNSTEIN LG CAPGROWTHBDEVELOPING MKT CL A,ITransactions during reporting period-;1)· ---(2 )!.FD OF AMERICA--Dof reporting period35.42.143.i··-· ·- · ··-···jCode I .exempt from prior disclosure·--Grossrcp011ing periodPlace '1(X)" after each ass t·--07130/2010transactions (Includes 1h,,,., of pouse and dependent children; see pp. 34-60 offilinir ins1r11c1ions.JA.LDai. of R port10109109JA09121/0().JA'50.COLUMBIA SM CAP VAL II CIAADividendJT51.EAGLE SM CAP FD AADividendJTSold(part)05/13/09JASold07/27109JAIIl. lncon1cCr11inCodt :(See Columns HI anJ 04)2. Value Codes{See Columns Cl :md 03)A :-:::S 1.000 or kss6 · S \ ,(lO tF 50,001J . c;1s.ooo or le:i: G SI00.001 -S1.0 ;).000K ··Sll.001 · SlO.oOON 2SO,OOJ . S500,000I. S;o,001() "'"55U0.0{}J ·SI ,UOO,l)OOf'! ,,,.Sl,OOtl.Olli· 100,00llf J .-s,2;.000.0013. Value Method Cocks1,Sce- l:o!umn C2)L.-·-··· -·-0 r\pprai .,1U Hook V:1h1e--2.500C ' "52,501-SS,000fl! Sl,000,001-·Sl.000,000SI00,000·S5,000,000P:t -Mme than 50,000,0f t)SS0,000,0UUR -cu:-1 (Re.ii f; tale t111ly.JV ·«)therS :.:.A,::;i.e:. menl\\'EstimatedD j,{J0l- 15.0UOH2 - .More than S5,000,00U·I -.s1uo.m11 - S250.ouoP2 ···S.:5,000,(JOJ 25,Ul.lU,Of.' 11E "·'S 15,001·S50.000
Name of Person ReportingFINANCIAL DISCLOSURE REPORTGARAUFIS, NICHOLAS G.Page 7 of9VII. INVESTMENTS and TRUSTS0- income.a1ue, 1r1msactions r1nc1udes those of spouse and dependent children: see PP· 34-60of!ilinc ins1ruc1wns.J-m:durm:e i f Assetsr1accexempt from---·----- --idisclosure-- --- ----.1Gro.sJncnrcpor1ing-·A1 ;um Typ 2/e g- - r --· v 1Li Code jCode"(X)" after each assetprior- - ----- - -52.I SHARES RUSSELL 2000 VALUE53.20{)4TRUST54.RYDEX SG! MGE FUTURESII: -:) :AA07130/2010.NONE (No reportable income, assets, or transactions.)(incJuding trust assets)Date of Report-peritld2-Latof reporting perioddiv., rent.or int.)V ;,c cn:I-(J-P)v: eodMeth : DividendJTNoneJTDividendJT--,I-·-··-YP ?c.g.sell,boy,--dc emption)55.57.TransactionsT-!(2)--Date-I mm/dd/yyj'--- --- ----- - --during r .'porting period(3)Valuei Code l: J11/05109J(add'I)56.--- --- -- ------6.- ---·i(4)GainCode 1i (A-H)I15)ldcntity of·1I--1buyer/seller{if privatetransaction)'(add'!)APIMCO RTISAN INTL INVESTORADividendJBuyT62.·--'-·I. Income (iain C1xlc ·(See Columns Bl and 04)A -S I,OOfJlc: sF S511,UO\ - 100,UOO,u2. Value CodesJ . 15,000 or Jes). Value Method CodesQ::c./\pprai.s.il(See Column! Cl ;:ind 03)(SeeColumnC2),l ----N - S250,00IPJ 50t),000- SH.000.00! -U . oook ValueSCJ,000.000H SI.OU!· S:.!.500c; S IOtl,001·SI . 1)0, 0 000K - 1l.OUl - 50,000o S.5!J0.001 - SI ,noo,oooR 0-Cm ! (Re-;d htcHc O!!!y)\' -(Jtht'IC .S2,501HtLS5,000 1,000,001 Sl.000,000 Sl\ttl,oooPl Sl.000,(101sso.001 - 5,000/ 00P4 -More than 50,UOO.Ulili A:.:.t::,. tllC:IJI\V·,.Estima!cl·D -. ),001lilS,000H2 ;.;Mure than 5,000.000 M 0-SHm.001- 250.onof 2 S5,0C)(),00 Ir "'(il:ih Markel 25.,000.000E 515.001 - 50.000.--- - -- --- 1II
FINANCIAL DISCLOSURE REPORTPage 8of9Name of Person RepoTtingDale of ReportGARAUFIS, NICHOLAS G.VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.07/30/2010(lndicate purtofReporL)Vll, PAGE 5 OF 9, LINE 20:ABC, INC. PENSION PLAN. l AM DESIGNATED TO RECEIVE MONTHLY PENSION BENE FITS UNDERl-tPART Ill, LINE 2 DISCLOSES fNCOME RECEIVED. THESE PAYMENTS WILL CEASE UPON MY DEATH.:;f :(ii:'. I PENSION PLAN.VII. PAGE 5 OF 9, LINE 19:EQIJlVEST VARIABLE ANNUITY WAS TERMINATED IN PRIOR YEAR AND ERRONEOUSLY INCLUDED IN 2008 FINANCIAL DISCLOSUREREPORT AS ACTIVE ACCOUNT.
FINANCIAL DISCLOSURE REPORTPage 9of9Name of Person ReportingGARAUHS, NICHOLAS G.Date of Report07/30/20!0IX. CERTIFICATION.I certify that all information given above (including information pertaining to my sponse and minor or dependent children, if an ') isaccurate, true, and complete to the best of my knowledge and belief, and that any infoJ"mation not reported was withheld because ii met applicable stntutoryprovisions permitting non-disclosure.I further certify thnt earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.Sig n atureNOTE: ANY INDIVIDUAL WHO KNOWINGLY AND W IL FUL LY FALSIFI :sAND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)OR FAII,S TO FILE THIS REPORT MAY BE SUBJECT TOFILING INSTRUCTIONSMail signed original and 3 additional co pi es to :Committee on Financial DisclosureAdministrative Office of the United States CourtsS u i te 2-30 IOne Columbus Circle, N.E.Washington, D.C. 20544CIVIL
equivest variable annuity abc pension plan ajm global equity fund cl b is!iares midcap !shares trmsc! !shares russell 2000 ishares msc! emerging mkt mutual series class c . standard & poors depository receipts i 28. pimco total return cl c 29. oppe hei
