McCurn Neal P 1 - Judicial Watch · 2019-07-26 · 8. YUM Bs A iind J T 9. Fn Y TF loomc D t M T •. 10. Fn Y TF nome c Int L T By 3/10 L kt 11. NYS m 4% 711/9 A t K T 12. SC ub

McCurn_Neal_P 1

SQURCE ANU TYPE

SOlJRCE ANU TYPE

IN&:OME

SOURCE DATES LQCAIION PURPQSE ITEMS PAID OR PROVIDED

4.

FINANCIAL DISCLOSURE REPORT

. Page 2of11

Name of Penon Rrportlag

McCuru, Nul P.

Datt or Report

04/2812009

A. Filer's Non-Investment Income

D NONE (No reportable non-i11Veslment income.)

1. 2008 N.Y. State Employees Rctiremi:nt System

2. 11/10/08 Individual Retirement Account $16,363.00

(yours, not spouse's)

$2,747.84

3.

4.

B. Spouse's Non-Investment Income - q,.,,.,.,cn-.w ..vw ""Y ,.,,.._ •f* ,.,,.nbq ,,.., ""¥'"* "'"--... ,

(Do/ll11' _,.I ttol requitttl ocq» for "°""1'arl4)

D NONE (No reportable non-investment income.)

1. 2008 Catholk Relief Services Annuity $847

2.2008 Catholic Church E.xt Society $722

3.

4.

IV. REIMBURSEMENTS- .f-/.---.i. (111chJu U.O.c lo :rpo»M aNI depcrtdmt r:hi/Jn11: J pp. 2S-27 of filing bulrvr:titw.)

[l] NONE (No reportable reimbursements.)

1.

2.

3.

s.

SQURCE DESCRIPIION

CIWDIIOR DESCRIPTION

VALUE

VALUE CODE


Page 3of11

Name of Pel"IOll Rrportln&

V. GIFTS. (brclMn...., ,,,..-.o11..,,_,dBtbM;_,,.2,_11.ffiJbt6l J

[lJ NONE (No reportable gifts.)

I.

2.

3.

4.

Date or Report

04/2812009

s.

VI. LIABILITIES. (lttd ... ,._ii/spa-"'.,,...,,, cllJ/lhll; IU pp. JJ.JJ effilllrt iflllNldiaru.}

NONE (No reportable liabilities.) [ZJ

I.

2.

3.

4.

s.

A.

Amomlt

(Q-W)

2.

Dividmd

Interest

market

market

T martet (part)

w

FINANCIAL DISCLOSURE REPORT Page 4of11

Name ol Prnon Rrportilic

McCurn,Neal P.

0.tc ol Rtporl

04/2812009

VII. INVESTMENTS and TRUSTS -u.c.-. Wllw, trt1JUium.u <r111:1.w1a ,,,_of &poll.J oJttJ pniWll c6114Nn; PP. 14-60 of /ifill8 0utr11e&tu.J

0 NONE (No reportable income, assets, or transaction.r.)

B. c. D. Dcscriptioll or AlleU IDcoma duriD1 Grom value as end of TtallllldiOnl during reporting period (im:ludina trust UICU) ftPOr!ill8 period rqiortiq period

(I) (l) (I) (2) (1) (2) (3) (4) (S) Place "(X)" lf!er csch auet Type(c.g.• Vllue Value Type (c.g Dar.c Value Gain Identity of

cu:mpt from prior dilclo.in Codcl cliv n:nt. Codc2 Method INy, sell, Month· Codc2 Code! buycr/sc:llcr(A·H) or inL) (J-P) O:ide3 ndemptioo) Day (J-P) (A-H) (ifpivate

lrmllactiDD)

l. Bl"Okcnge NC& Sts Bds UBS & Wacbovia

AT&T B Dividend K T

3. Amer Electric Power B Dividend K T

4. Heinz JU A Dividend J T

5. Intl Business Machines A Dividend K T

6, Valero Energy Corp A J T

7. Verizon Comm A Dividend J T

8. YUM Brands A Dividend J T

9. Franklin NY T/F lnoomc D Interest M T •.

10. Franklin NY TIF Income c Interest L T Buy 3/10 L market

11. NYS Dorm 4% 711/09 A lutcRst K T

12. SC Pub 4.25% 1/1115 A J T

13. Biotech Holder.I Dep Recpts None T Merged 6112 J A (with line 14)

14. Biotcch HoldeB Tr A Dividend K T Spinoff 6112 K (from line 13)

IS. Fairport Communications A Dividend ] Sold S/12 1

16. Kansas City O"/o 3/1/09 None: K T

17. Long Island 0% 1211/11 None K

I. 1-- GoiD Coclm: A-Sl,OOOm._ D-Sl.001-SUOO c "12,501 - S5.000 DaU,001-$15,000 E-SU.001 - SS0,000(Ser ColmrnD BI ml D4) F -150,00 I • SI 00,llOO O-SIOO.OOl ·Sl.000,000 HI -Sl,000,001 • S5,000,000 Ill •Morw-. 55,000,000

2. Valoc CDdco J-Sl5,000arlma lt-SU,001 - '50,000 Le<$50,001-SIOO,OOO M-SI00,001 • $250,000 (See Cohimm Cl..! DJ) N I ·S$00,000 O-S500,DOI ·Sl.000,000 Pl -SI ,000,001 - U,000.000 Pl -15,000,001 • Sl5.000.000

Pl -12',000,001 • S.SO.OOO.WO ... •Mon ...... 5'0,000,000 l. Voluc MdlOd C<>da Q•Appaiool .. >C4'll (Ral !!.- Only) s •Auosrment T<oollMm-d

ColmmlC2) u DBoat Va!De v"'°"*

A. B. c.

market

FINANCIAL DISCLOSURE REPORT Page 5 of ll

Nam• of Pono11 Report1111

McCum, Neal P.

Date of Report

04/2812009

VII. INVESTMENTS and TRUSTS - ;-. N/w, trwlWctioru (1 11111# Of$JMllN """tkpmtlertl cli/Jdror; _,,,. .JUO •ffllltrg iMtntdlolU.)

D NONJ? (No reportable income, assets. or transactions.)

18.

19.

20.

21.

22.

23.

24.

25.

26.

27.

28.

29.

30.

31.

32.

33.

34.

Dcxription al AllCtl CiDcludina tnllt UKU}

Pia= "(X)" afti:r cad! Uld

exempt from prior dildooun1

Long Island O"/o 6/1/19

Long Island 0% 611/IS

Coming

Coming

Franlclin Temp Mut Disc

NYS Donn 3.5% 7/1/16

NYS Dorm 3.2So/. 7/1/14

Campbell Strategic

Agilent Tech Inc

Stryker Corp

Amer Feb Cap Wrld G&J

F ranlclin Income Fd

EOG Resources

F.im Busey Corp

Hewlett Packard

Johnson&. Johnson

Eli Lilly

I. hxamo <Jmn Cocb:

(See Cohmm Cl) U-BoakValm

D. lllCOlllC 1hirinl Groa value It ml of Tnmaac:tiOlll during rqiortillJ period

ftPOl1illl period tqXll'IUia period (I} (2) (I) (2) (I) (2) (3) (4) (S)

Amount Typo(e.g., Value Value Type (e.g., Dat.e Value Gain ldc:lltity of Code! div., rent, Codel Method buy, sell, Month- Cod.cl Code 1 buyc:r/sellc:r (A·H) orinl.) (J-P) Codc3 rrdemption) Day (J·P) (A·H) (ifprivat.e

(Q-W) on)

None K

None K

A Dividend 1 T Buy 9118 1 marlcet

A Dividend 1

c Dividend L T

A 1ntcmrt 1 T Buy 10/6 1 mmicet

None K T Buy 9118 K

D Distribution M T

None J T

None K T

A Dividend J T

c Dividend Sold 11/13 K marlcet

A Dividend K T

A Dividend 1 T

A Dividend 1 T

A Dimliodon K T

A Dividend 1 T

V-<lllior W-Es!imml

A•Sl,OOOorlcu B-Sl.001 ·12.SOO c '"12.501 • ss.ooo D -$5,001 • SJS,000 B -SIS,001- S:I0.000 (S..c:oi..-BI -tD4) F-SS0.001 • SlDO,IJOO G-SI00,001 • Sl.000.000 "' =Sl.000,001 • S5.000,000 H2 #More - SS,ll00,000

2. Vallla Codoa J -SU,000 or ku I[ cSU,001 • S5D,000 L=S.50,001 • SI00,000 M -SI00,001 • SlS0,000 (Soc Co1- Cl -t 03) N -sl50,00I • S300,000 O I ·Sl,000,000 Pl .-Sl,000,001. S5,000,000 Pl •U,000,001 • SlS.000,000

Pl ""25.000,001 • SS0.000.000 P4 •M<n Ihm S30.000,000 3. Value Mdboc!Codca Q=Apsnilal It-<:Oii (Rm.EolD Only) s- T..c..loM.kd

A. c.

Pfizer

T

D'lllrltet

market

so.


Page 6of11

Name of Prnou IUportlnc

McCw-o, Neal P.

Dale or !Uport

04/28/2009

VII. INVESTMENTS and TRUSTS - booNor. tnuu•cdolu r1'ullulo ruu of•po .u "' cJUu-.; _,,,.. Jua offllJltK 111.s1r11ct1o1U.J

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

B. D. Description of A.eD lllCGIDC during Grtlll value al end of 1'rmlaclioDI during teparting period

(including lnllt uaclb) rqlOl'liDa period rcpMina period

(I) (2) (I) (2) (I) (2) (3) (...) (S) Place "(X)" after each - Amount Type (C.J., Value V&luc Type (e.g. Dsu: Value Gain ldc:ntityof

exempt from prior diaclocurc Codel diY rmt. CAde2 Mdhod buy, Id!, Mmth- CAde2 Code I buyer/aeUr:r (A-H) or int) (J-P) Code) redemption} Day (J-P) (A·H) (ifpiva

(Q-W) lnmaclion)

JS. A Dis!ribution J T

36. Vodafone Group A Dividend ] T

37. Xerox A Dividend ]

38. Bank of America A Dividend I T Trandcmd 11110

(from line 64)

39. Indymac CD 2n/08 A lntaest Redeemed 'VT 1

40. Washington Mill CD 1124/08 A lntetest Redcc:mcd 1/24 1

41. Washing100 Mut CD 7130/08 A In tam Redeemed 7/30 J

42. NYS Thruway 4.S 411109 B Interest K T

43. NYS Envmmt4% 6/JS/14 A .lntcl'cst K T Buy 9/18 K market

44. NYS Govt 411108 None Sold 315 L

45. MTA NY Tnns 7/1113 None K. T

46. NYS LOC Gvt 411/13 Nono J T

47. NYS Gvt 4/1/14 None K T

48. Sentinel Cap Mrlts A Dividend K. T Buy 11114 K. •,

49. Intu.itivt: Surgical Inc Nooe K. T

IRA Acct (UBS to Wachovia)Stb & Bods I istcd below:

SJ. Boston Scientific None 1 T

1.1-<JD Coder. A..Sl,OOOorlmo B •Sl.001 • SUOO c -s:?,301• ss.ooo D =SS.DOI • 515,000 E-SlS.001 · SSO,OOO(See Cobmmt Bl ..t CM) P ""'50.001 • Sl00,000 G-SIOO,OOl-Sl,000,000 HI -Sl,000,001 · SS,000.000 Ill Mont lbou SS.000.000

2. v.,,,. Coda J =SU,000 or t.. IC -SU,001 • 1'0,000 L -1SO.OOI • SI00,000 M "'5100,001- SlS0,000 (Sec CI ..IDJ) N .001 - S.S00.000 0-SSOO,OOI • Sl.000,000 Pl -11.000,001 • ".000,000 Pl -.000.001 • $25.000.000

P3 "'52$.000.001 • $30,000,000 N Man: Ihm SS0,000,000 3. V&IDo Mlllbod Calm Q•Appniul ll-c..t(Ral ODly) S•"-rxn! T soCalll Mmt<t

(See Cohmm Cl) U V&!ac V-ohr WEE.ttimmd

A.

liBlecl

c.

period

( W)

market

c T

market


Page 7of11

Name of Pcnon Rtportllq:

McCum, Neal P.

Date of Report

04/28/2009

VII. INVES NTS and TRUSTS -1,,,,,,_, ..t.e, nru4dii»u (Jttdlllln tJMsc of "l"'llH """ dqc11Mn1 dtiklrm; u:e PP. 1.uo 1.fllbw wrmtiotU.J


52.

53.

54.

SS.

56.

51.

SS.

S9.

60.

61.

62.

63.

64.

6S.

66.

67.

68.

Deocriptioo of A_,. (iDclading tnllt Uldl)

Pbu "(X)" afla csch uaet

acmpt Crom prior diJclOllft

Eli Lilly

Halb"burtoo Co

McdcoHalth

Simon Property Grp

UDR Inc

Wyeth

Amer Express CD 12130/11

Franklin T Mutual DisC:

Amer Fd.s-Ncw Economy

US Treas Strip 811 Sill

Target

Bank of America

Bank of America

Individual Ai.x:ount held in NPMcCum as fullows:

US Savings Bonds

Dreyfus Emerging Leaden

Dreyfus MidCap Value

1.1- Gain Coclco: A-Sl,OOOorlal (S..Colmm»Bl oodDC) , -$50,001 • $100,000

2. Vallle Codco J-SU,OOOorlra (Sec Colma Cl _, D3) N =$2'0,llll I • S500,lm

F3 =$23,000,001 • 150.000.000 3. Va!ae Mdbcxl Coda Q•AptniMI

G>hmmC2) U -Bock Valiil

B. D. lm:omc clurin& Grtlll value at Cid of Transactiolll duricg RpDrtiDg period

rcporlina paiod

(I) (2) (I) (2) (I) (2) (3) (4) (S) Ammmr Typc(c.11 Value Value Type(e.g., Date Value Gain Identity of Code! div nm!, Codc2 Method bay,adl, Month- Codc2 Codc I buycr/oellcr (A-H) or int.) (J·P) Codcl rcdc:mption) Day (J·P) (A·H) (ifpivale

tn.Dlaction)

A Dividend J T

A Dividend J T

None J T

B Dividend K T

B Dividend K T

A Dividaid J T

B Int/Div. K T Buy 12/26 K marli:et

A Dividend K T

A Dividend K T

None Sold 12109 K c market

A Dividend Sold 9111 K D market

None Buy 9117 K

Nooe Distributed 11110 K marlcct

None K T

Dividend K Buy 10/03 J market (add'I)

A Dividend K T Buy 03/03 J (add'I)

B-Sl.llOI • $2.500 C-12..501 • S5,000 0-$5,001 • SU,000 E -SU,001·150,000 G-SIOO,OOI • Sl.000.000 HI -Sl,000,001·55,000,000 H2 =Matt-SS,000.000 K-SU,001 • SS0,000 L-S5D.OOl ·SIOO,OOO M aSJ00,001 • ruo,ooo 0 ""500,001 • s1.000.000 Pl -Sl,000,001 • $5,000,000 P2 -$5,000,001 • W,000,000

P4 -Mtn 1l>lm SS0.000,000 a -<Ai (Roll e.-Only) S= Tooe.llMnct

V-otblr W•E.timoled

A

82.

B. c.

Buy

Buy

0.

market

martet

martet

market

04/2812009

75.

78.

79.

(add'I}

5109

Date nr Rrporl Nam• nf Person Reportht1: FINANCIAL DISCLOSURE REPORT

. Page S of 11 McCurn, Neal P.

VII. INVESTl\fENTS and TRUSTS - """'-- ...i-. ,,.,...a;,,u ttw ""''" of !lpO#.N .-Upaulnt c1t/Urof/ u. pp. 1us •f fi/"'8 ilutrlU!tialtf.)


Desaiptian of AllCll ("mclucling lnlll Ulds)

l'lace "(X)" allEr alCb .... cumpl 6om prior clilcl

69. Drefus MidCap Value

Income durins reporting pcrind

(I) Amount Codcl (A-H)

(2) 'l'ype(C.J., div, n:Dt,

nrint)

None

Orea value Ill end of

reporting period

TranudiODJ during rqiortina period

(I) Valw>

Codcl (J-P)

(2) Vaine

Method Code) (Q-W)

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

Rdcnption)

(2) Date

MIJll!h-Day

(3) Valua

Codel (J-P)

(4) Gain

Code! (A-H)

(S) Identity of

buycrf11tllcr (ifprivale

tnmlaelion)

Buy Olil30 J marlcc:t (add'!)

70. Dreyfus MidCap Value None Buy (add'!)

12/10 J marlcc:t

71. Dn:yfus Appreciation A Dlvidaid K T Buy (add'I)

02/14 J

12. Dreyfus Appreciation None (add'!)

04/.28 J markc:t

73. Dreyfus Al'J'R'CiatiOn None Buy (add'l)

11/05 J mart et

74. Dreyfus NY Tax Exempt B Dividend K T Buy (sdd'l)

02/12 J marlcet

Dreyfus NY Tac Exempt Nono Buy 313 J (add'I)

76. Dreyfus NY Tu Exempt None Buy 4121 J (add'!)

77. Dreyfus NY Tax Exempt None Buy J market (sdd'l)

Dreyfus NY Tax Exempt None Buy 615 J mad::et (add'!)

Dreyfus NY Tax Exempt None Buy 6/16 ] market (add'I)

80. Dreyfus NY Tax Exempt None Buy (add'l)

1n J market

81. Dreyfus NY Tax Exempt None Buy (add'I)

814 J marlcet

Dreyfus NY Tax Exempt None Buy (add'!)

913 J mule et

83. Dreyfus NY Tax Exempt None Buy 1013 . J

84. Dreyfus NY Tax Exempt


None

None

(add'I)

Buy (add'I)

10/30

12/S

J

J

market

market

I. Inane GlliD Codoa:

(SeeCnlmmo Bl ODd 04) ?. Valao Cedl:a

(S.. Colllna CJ md DJ)

l. Value Mediod COO. (Sec Cn'-Cl)

A=Sl,OOOc:rlcsl F .001 • SID0,000 J >OJJ:J,om or Im N I -S500,llllll P3 "'"5.000,001 -150JJOOJ)OO Q Appniul lf Boat Valao

B-Sl.001 - SlJIXI 0 -SIOD.001 -51,000,000 IC-.SU,001 -150,000 0..sJ00.001-$1,000,DOO

ll "°"" (lleol l!ololo Only) v-oii...

c =il,501 - ss.ooo ll'l "'51,000,001. 5',000.000 L-$"J,OOI - SI00,000

Pl -$1,000.001-U,OOO,OOO P •Mare- $50.DOO,DOO s =Aooasmcor W aE.tinuoed

D-Jj,!JOl-SIS,000 m -Mon: 1111m ss.000.000 M -SI 00,001 • $250,000

Pl -SS,000.001 • $25.000,000

T =Call Markd

E=SU,OOl - SS0,000

A.

Amount

1 market

mart et

•

0.le of Report N11ne or Prnon Rcportl"I:FINANCIAL DISCLOSURE REPORT

Page 9of11 04128/2009McCurn, Neal P.

VII. INVESTMENTS and TRUSTS -'- w1w.--. (1_,_;, diou of¥"',_•'"" elliUrrtt; -1!1'- 1u1offiBa81ns1r11et1oa.J

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

B. c. Dacriplion of Allela lllCOIS clurin1 GIUll value Ill end or (iaclnding lralt -> rqxirting period rqating period

(I) (2) (I) (2) (I) Place "(X)" afta cacb - Typo(e.1-. Value Valae Typc(c.g.,

c:umpt from prior dil<:loeure Codel div.,mrt, Codi: 2 M buy, sell, (A·H) orinl) (J.P) Code3 rak:mption)

(Q-W)

86. Dreyfus Stoclc Fund A Dividend K T Buy (add1)

87_ Dreyfus S!Dck Fund None Buy (add'l)

88. Dreyfus Stoclc Fund Nooe Buy (add'l)

89. Syncuse Police Fed Cmlit Union CDs & B lntcrcst K T .BaseA/C

90. M&T Bank Synicuse Chcclcing NC A Intcr=lt 1 T

91. Metlik Banlc & Money Mrk NC A Intm:st J T

D.

Tnmsactiom durina nportins period

(2) (3) (4) (5) Dlltl' Vaine Gain Identity of

Month· Code2 Code I buyc:rlaellcr

Day (J-P) (A-JI) (lfpriwtcbimAClion)

418 J market

7/2

719 1

I. hl::umo CJ1iD Codm: A l.OOOorla. B -SI.DOI • SUOO C ..sl..SOI • SS.000 (Sec Colnnml Bl mx1 D4) f -SSO.DOl • SIOO.OOO G-SIOD,llOI • Sl,000,000 HI -Sl,000,001 • $5.000.000

2. v.i..eam. I "515,000 ... '- lt-SU,001 • S50,000 L-S50,DOl-SIOO,OOO (Sec Cohlmnl Cl ml 03) N =ruo,001 - SSOO,OOO 0 -SSOO,OOI • Sl,000,000 Pl -Sl,000,001 • SS,000,000

f) "<SU.000.001 - U0,000.000 P4 ·Men- S50,000,DOO 3. Volu Ml:6<lll Codm Q•AJIP"iul a -a. (Kair- OaJy) s ..._

(Sec Cobmm 0) U -Boalr Value V-Otlior W •Ellimlllod

D-5',DOI • SU,000 t'. cSU,001 - $50,000 Ill M<m Ihm SS.000.000 M-SID0,001 - $250.000 PZ-SS.000,001 • SlS.000,000

T =Cllli Morht

FINANCIAL DISCLOSURE REPORT Name of Ptne111 Rrportlns: Osle or Report

• Page 10 of 11 McCum, Neal P. 04/2812009

VIU. ADDITIONAL INFORMATION OR EXPLANATIONS. t1Ukawp11rtofRq>0rt.J

Dste of Repor1 Name of Pel'lllll Rq>ortill& FINANCIAL DISCLOSURE REPORT

. Page 11 of 11 Mc:Curu, Neal P. 04/2812009

IX. CERTIFICATION.

I eert1ty that all lafonnatiou gfYeu •boYe (lnchadlng luform•tioD perWnhlg to my 1pouu ud minor or drpendmt tblldnu, if any) ii 1te11nt&, tnle, ud compkte to the bat oCmy knoMed&e and ud that any iufonnation oot reported was withhdd bec.lusc: It met •ppllCllble statutory provWo111 pumltdug aon-dladoaun.

I lurtber cerWy that earned Income Irma oatslde employment ..d llouoruta ud the acceptance of glib which have been reported are lD comp!lanre with tbe proYislon1 ol5 U.S.C. app. § 501 et. teq., 5 U.S.C. § 735.J, and Jadlclal Coulereuce reguladon!.

NOTE: ANY INDMDUAL WHO KNOWINGLY AND WU.FULLY FALSIFIES OR FAILS TO FILE TIIlS REPORT MAY BE SUBJECT TO CIVIl. AND CRIMINAL SANCTIONS (S U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office ofthe United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

McCurn_Neal_P 2

Ill

POSITION NAME OF ORGANIZATION/ENTITY

=

L_

c::.: ;:;o :E

u 'lf

PARTIES TERMS

in

2.

.AOlO Rev.112008


FOR CALENDAR YEAR 2008

I. Penon Rep&rting (lasl name, first, middle initial) 2. Court or Organization

McCum. Neal P. U.S. District Court N.D.N.Y.

4. Title (Article m judges indicate active or senior starus; SL Report Type (check appropriate type) magistrate judges indicate full- or part-time)

D Nomination, Date

Senior U.S. District Judge D Initial Annual

Sb. D Amended Report

D Final

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

3. Dalt of Report

71912009

6. Reporting Period

01/01/2008 to

12131/2008

7. Cbamben or Office Address 8. On the basis of!be information contained in this Report and any modifications pertaining thereto, it is, in my opinion, In rompHance

P.O. Box 7365 witb applicable laws and regulatiom..

I 00 S Ointoa Street Syracuse, NY 13261

Rniewini: Offittr Date

IMPORT ANT NOTES: The instnu:tioru accompanying this form must be followed. Complete all parts, checking IM NONE box for each part where you have no reportable informaJion. Sign on last page.

I. POSITIONS. (Rqordng individual only; see pp. 9-13 of filing instructions.)

[ZJ NONE (No reportable positions.)

CJ .........

C-J -0

,-. :

c.n:: .

Pl�: o:r>

.,

0

<

0

3.

4.

5.

-D

n. AGREEMENTS. (Rqordng individual only; see pp. U-16 of filing instructions.)

[ZJ NONE (No reportable agreements.)

I.

2.

3.

AND

SOURCE

SOURCE AND TYPE

INCOME

DATES LOCATION ITEMS PAID OR PROVIDED

4.


Page 2of11

NamcofPeno•Rqlortinr:

McCum, Neal P.

Date of Report

719!20-09

ill. N 0 N-INVESTMENT IN CO ME. (Rq>Orting indMJIUll aro1 spouse; su PP. n.u of filing instructions.)

A. Filer's Non-Investment Income


AND TYPE

N.Y. State Employees Retirement System

Individual Retirement Account

(yours, not spouse's)

$2,747.84I. 2008

$16,363.002. 11/10/08

3.

B. Spouse's Non-Investment Income - I/you"""" marriLd dMring anyportion of the rq>0rting year, romplete this section.

(Dollar amount not required except for honoraria.)


I. 2008 Catholic Relief Services Annuity $847

2.2008 Catholic Church Ext. Society $722

3.

4.

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

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

[ZJ NONE (No reportable reimbursements.)

SOURCE PURPOSE

I.

2.

3.

4.

5.

SOURCE DESCRJPIION

CREDITOR DESCRIPTION

VALUE

VALUE CODE

3.

5.

Date of Report Name of P<n0• Rtportini; FINANCIAL DISCLOSURE REPORT

Page 3of11 McCum, Neal P. 719(2009

V. GIFfS. (lnclwks thou to spouse and •rukrrt dU/dren; uqp. 28-31 offdbrg Instructions.)

[ZJ NONE (No reportable gifts.)

I.

2.

4.

5.

VI. LIABILITIES. (lm:lwin those of spouse and dependent children; see pp. 32-33 of filing instructions.)

[ZJ NONE (No reportable liabilities.)

I.

2.

3.

4.

A

(Q-W)

8.


Page 4 of I I

Name or Peno• Reporting

McCurn, Neal P.

lbte or Report

71912009

VII. INVESTMENTS and TRUSTS - incomr, value, trrUJsactions (lndwks those of spouse and tkpendenJ children; Sll pp. 34-6(} of filing instructions.)


B. c. D.

Desaiptioo of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Typc(c.g., Value Value Typc(e.g., Date Value Gain Identity of

exempt from prior disclosure CodeI div., rent, Code2 Method buy, sell, Month- Code2 CodeI buyer/seller (A-H) or int) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

transaction)

I. Brokerage NCs Sts Bds UBS & Wachovia

2. AT&T B Dividend K T

3. Amer Electric Power B Dividend K T

4. Heinz HJ A Dividend J T

5. Intl Business Machines A Dividend K T

6. Valero Energy Corp A Dividend J T --

7. Verizon Comm A Dividend J T

YUM Brands A Dividend J T

9. Franldin NY T/F Income D Interest M T

JO. Franldin NY T/F Income c Interest L T Buy 3/10 L marlcet

11. NYS Donn 4% 7/1/09 A Interest K T ..

12. SC Pub 4.25% 1/1/15 A Interest J T

13. Biotech Holders Dep Recpts None T Merged 6/12 J A market (with line I 4)

14. Biotech Holders Tr A Dividend K T Spinoff 6/12 K market (from line 13)

15. .(X)Fairport Communications (X)

16. Kansas City 00/o 3/1/09 None K T

17. Long Island 00/o I 2/1/1 I None K T

I. lnrorne Gain Codes: A =-$ 1,000 or Jess B =11,001 -$2.500 C =-$2,501 -SS,000 D ="SS,001 -SIS,000 E=ilS,001-$50,000

(See Columm BI aod 04) F =-$50,001 -$100,000 G =-$100,001 -Sl,000,000 HI =11,000,001 -SS,000,000 H2 =More thanSS,000,000

2. Value Codes J=ilS,OOOorlcss K-SIS,001 -$50,000 L =-$50,001-$100,000 M =$100,001 -$250,000

(See Columos Cl aod DJ) N =$250,001 -SS00,000 0 =$500,00 I -S 1,000,000 Pl -Sl,000,001 -SS,000,000 P2 =SS,000,001 -S2S,OOO,OOO

PJ =S2S,OOO,OO I -$50,000,000 P4 =More than$50,000,000

3. Value M<tbod Codes Q =Appraisal R =Co.i (Real f.stale Only) S= T =Cash Martd (See Colmno C2) U =Boot Value V=Olha w =Estimated

A.

Gain

marlc:et


Page 5 of I I

Name or Ptn0• Rq>ortini;

McCnrn, Neal P.

Date or Rqior1

7/912009

VII. INVESTMENTS and TRUSTS - ilfCO-. value, transactions (lnchuks tlwse ofYpOlln and depauknl cltiUJr<n; Sll pp. 34-60 of filing Urstructions.)


B. c. D.

Description of Assets Income during Gross value al end of Transactions during reporting period (including trust assets) reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Typc(c.g., Value Value Type(e.g., Date Value Identity of

exempt from prior disclosure Code I div.,m>t, Code2 Method buy, sell, Month· Code2 Code I buyer/seller (A·H) or int) (J·P) Code3 redemption) Day (J·P) (A·H) (if private

(Q-W) transaction)

18. Long Island O"/o 6/1/19 None K T

19. Long Island 0% 6/1/15 None K T

20. Coming A Dividend J T Buy 9/18 J market

21. Coming A Dividend ]

22. Franklin Temp Mut Disc c Dividend L T

23. NYS Donn 3.5% 7/1/16 A Interest ] T Buy 10/6 J

24. NYS Donn 3.25% 7/1/14 None K T Buy 9/18 K market

25. Campbell Strategic D Distribution M T

26. Agilent Tech Inc None J T

27. Stryker Corp None K T

28. (Y) Amer Fds Cap Wrld G&I A Dividend J T

29. (Y) Franklin Income Fd c Dividend Sold 11/13 K market

30. EOG Resources A Dividend K T

31. First Busey Corp A Dividend J T

32. Hewlett Packard A Dividend J T

33. Johnson & Johnson A Distribution K T

34. Eli Lilly A Dividend J T

I. Income Gain Codes: A =SI ,000 ol"lcss B =$ 1,00 I -$2,500 C =$2,50 I -$5.000 D=S5.00l -S15,000 E=S15,00J -S50.000

(See Columns BI and D4) F =S.50.001 -$100,000 G =SI00,001 -Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 =More !ban $5.000,000

2. Value Codes J =$15,000 or Jep K =$15,001 • $50,000 L c$50,00I -$100,000 M =$100,001 -$250,000

(See Columns Cl and DJ) N =$2.50,001 • S.500,000 O=S.500,00l -Sl,000,000 Pl =Sl,000,001 - $5,000,000 P2 =$5,000,001 - $2.5,000,000

Pl =$25.000,001 • $50,000,000 P4 =More !ban $50,000.000

l Value Mdbod Coda Q =Appraisal R =Coot (it.al Esble Only) s -Ass=mcrrt T =Cash Marl:d (See Column C2) U =Book Value v =Otlitt w =Estimated

A.


Page 6of11

Name of Peno• Rq>ortin:

McCum, Neal P.

Date of Report

7/912009

VII. INVESTMENTS and TRUSTS income. vo1.,,,, transactians (lnc/uda dw•e of spollSe and tkpouknl children; Stt PP· J<l-60 of filing instructWns.) -


B. C. D. Desaiption of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (S)

Pl.ace "(X)" a&r each asset Amount Type (c.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Codc2 Method buy, sell. Mootb - Code2 Code I buya/seUcr

(A-H) or int) (J-P) Codc3 redemption) Day (J-P) (A-H) (ifprivate (Q-W) transaction)

35. Pfizer A Distribution ] T

36. (Y) Vodafone Group A Dividend ] T

37. Xerox A Dividend ] T

38. Ban.le of America A Dividend J T Transferred 11/IO (from line 64)

39. Indymac CD 2rl/08 A Interest Redeemed 2r1 ]

-

40. Washington Mut CD 1124/08 A Interest Redeemed 1124 ]

41. Washington Mui CD 7/30/08 A Interest Redeemed 7/30 ]

42. NYS Thruway 4.5 4/1/09 B Interest K T

43. NYS Envmmt 4% 6/15/14 A Interest K T Buy 9/18 K market

44. NYS Govt 4/1/08 None Sold 315 L market

45. MTA NY Trans 7/1113 None K T

46. NYS LOC Gvt 4/1/13 None J T

47. NYS Gvt 4/1114 None K T

48. Sentinel Cap Mrts A Dividend K T Buy 11/14 K market

49. Intuitive Surgical Inc None K T

50. IRA Acct (UBS to Wachovia)Stks & Bods I isted below:

51. Boston Scientific None J T

I. Income Gain Codes: A =Sl,000 o.-Jess B =Sl,001 • S2.500 C =S2.SOI • S5,000 D =S5,00I - $15,000 E =S 15,00 I - S50,000

(Sec Columns BI and 04) F =$50,001 • SI00,000 G =SI00,001 - $1,000,000 HI =Sl,000,001 - $5,000,000 H2 =Mon: lhao $5,000,000

2. Vaine Codes J=SIS,000°"1,.. )( =$15,001 - $50,000 L =S50,00I • SI00,000 M =SI 00,00 I • $250,000

(Sec Columns Cl aod DJ) N =S250,00I • $500,000 0 =SS00,00 I - $1,000,000 Pl =Sl,000,001 • $5,000,000 P2 =SS,000,001 • $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More Ihm $50,000,000

3. V aJue Me!liod Codes Q=Appraisal R =CM (Rtal Es!3tc Only) s =A5scssmcnt T =Cash Market

(See Column C2) U =Boot Value V=Otb..- w =F.slimal<d

A. c.

liste<I


Page 7 of I I

Name of P<n0a Rrporting

McCnm. Neal P.

Dale of Report

71912009

VII. INVESTMENTS and TRUSTS -inco-. va/JU', transactions (lnclruks those of spouse and depenlkntchi/Jren; Sll pp. 34-60 of filing instructions.)


B. D.

Description of Assets Income during Gross value at end of Transactions during reporting period

(including trust assets) reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (S)

Place •(X)• after each asset Amounl Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

excmpl from prior clisclosurc Codcl div mit. Codc2 Method buy, sell. Month· Code2 Code I buyer/seller (A-H) or inL) (J-P) Code3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

52. Eli Lilly A Dividend J T

53. Halliburton Co A Dividend J T

54. (X) Medco Health (X)

55. Simon Property Grp B Dividend K T

56. UDR Inc B Dividend K T . .

57. Wyeth A Dividend J T

58. Amer Express CD 12130/11 B lnt./Div. K T Buy 12126 K market

59. Franklin T Mutual Disc A Dividend K T

60. Amer Fds-New Economy A Dividend K T

61. US Treas Strip 8115/21 None Sold 12/09 K c market

62. Target A Dividend Sold 9/17 K D market

63. Bank of America None Buy 9117 K market

64. Bank of America None Distributed 11110 K market

65. Individual Account held in NPMcCum as follows:

66. US Savings Bonds None K T

67. Dreyfus Emerging Leaders c Dividend K T Buy 10/03 J market (add1)

68. Dreyfus MidCap Value A Dividend K T Buy 03/03 J market (add1)

I. Inromc: Gain Codes: A =S 1,000 or less B=Sl.001-S2..SOO c =S2,SOJ - S5,000 D =SS,001 -SIS.000 E =SJS,001 - SS0,000

(Sec Columns BI and 04) f =SS0,001 • SI00,000 G =SI00,001 -SJ,000,000 HI =SJ,000,001 • SS,000,000 IU =Mon: lhlm SS,000,000

2. Value Codes J =SIS,000 or lea K=SJS,001 -SS0,000 L =SS0,001 -SJ00,000 M =SJ00,001 - S2SO,OOO

(Sec Columns CJ and 03) N =S2SO,OOI - SS00,000 O=SSOO,OOl ·Sl,000,000 Pl =Sl,000,001 - SS,000,000 P2=SS,000,001 - S2S,OOO,OOO

P3 =S2S,OOO,OOI • SS0,000,000 P4 =Mon: than SS0,000,000

3. Value Mctbod Codes Q=Appraiul R =C-OCI (Real Estale Only) S=Assmmcnt T =Cash Madel (Sec Columo C2) U =Book Value V=Olha w =F.stimarcd

A.

(I) (4)


Page 8of11

Name of Peno• R£porting

McCurn, Neal P.

Ible of Report

7/9(2009

VII. INVESTl\fENTS and TRUSTS - '"""-. .a1ue, transactions (lncrudn thou of spouse""" upenlkn1 children; see PP. 14-60 of fuinc instrucUons.J


Description or Assets (inclnding trust &Mets)

Place "(X)" after each asset

exempt from prior disclosure

69. Drefus MidCap Value

70. Dreyfus MidCap Value

71. Dreyfus Appreciation




75. Dreyfus NY Tac Exempt











I. lnoome Gain Codes: A =SI ,000 or less

(See Columos BI md 04) 2. Vaine Codes

(See Columos Cl md 03)

J. Value Method Codes (See Column C2)

F =$50,001 - SI00,000

J =$15,000or1.,..

N =5250.001 • $500,000

P3 =S2S,OOO,OOI - $50,000,000

Q=Apprajsal U =Boolt Vaine

B. c. Income during Gross value al rod of

reporting period reporting period (2) (I) (2) (I)

Amount Typc(c.g., Value Value Type (e.g., Code I div rmt. Code2 Method buy, sell, (A-H) or int) (J-P) Code3 redemption)

(Q-W)

None Buy (add'!)

None Buy(add'!)

A Dividend K T Buy (add'!)

None Buy(add'!)

None Buy (add'!)

B Dividend K T Buy (add'!)

None Buy (add'!)

None Buy (add'!)

None Buy(add'!)

None Buy(add'I)

None Buy(add'I)

None Buy (add'I)

None Buy(add'!)

None Buy(add'!)

None Buy (add'I)

None Buy (add'!)

None Buy (add'!)

B =Sl,001 • S2..SOO c =$2,501 • $5,000

G =SI00,001 • Sl,000,000 HI =Sl,000,001 • $5,000,000

K =SIS,001 • $50,000 L "150,001 • SI00.000

O=SSOO,OOl ·Sl,000,000 Pl =Sl,000,001 • $5,000,000

P4 =More than SS0,000,000

R =Cool (Rtal Ollly) s =Assessmml v =(>the< W =

D. Transactions during reporting period

(2) (3) (SJ Dale Valoe Gain Identity of

Month· Code2 Code I buye.-/seller Day (1-P) (A-H) (ifprivate

transaction)

06/30 J market

12/10 J market

02/14 ] market

04/28 ] market

11105 J market-·

02/12 J market

3/3 J market

4f21 J market

5109 J market

615 J market

6/16 J market

1n J market

814 J market

9/3 J market

10/3 J market

10/30 J market

1215 J market

D =$5,001 • SIS.000 E =SI 5,00 I - S50,000

H2 =Mon: Ihm SS,000,000

M =SI00,001 - $250,000

P2 =$5,000,001 • $25,000,000

T =Cash Msrtd

A.


Page 9of11

Name of Penoa ReportinJ:

McCurn. Neal P.

Dale of Report

7/9/2009

VII. INVESTMENTS and TRUSTS - income. va1.u, transiu:tWns (Jnc1iuks thou ofspouse am1 uperuknt cM/dren: see pp. 1uo of filing instructions.)


B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including lrusl assets) reporting period rqx>rting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Place 0(X)" after each asset Amount Type(c.g., Value Value Type(e.g., Date Value Gain Identity of

exempt from prior disclosure Codcl div rent. Codc2 Method buy, sell. Month- Codc2 Code! buyer/seller (A-H) or int) (J-P) Code3 redemption) Day (J-P) (A-H) (ifprivate

(Q-W) transaction)

86. Dreyfus Stock Fund A Dividend K T Buy 4/8 ] market (add1)

87. Dreyfus Stock Fund None Buy 112 ] market (add1)

88. Dreyfus Stock Fund None Buy 7/9 ] market (add'!)

89. Syracuse Police Fed Credit Union CDs & B Interest K T Base NC

90. M&T Bank Syraciise Checking NC A Interest ] T

91. Metlife Bank & Money Mrlc NC A Interest ] T

I. Income GUn COO<s: A =Sl.000 or lcu B=Sl.001-5 c=S2,501 - 55,000 D =S5,001 - 515.000 E =Sl5,00I - 550,000 (See Columos Bl and 04) F =S50.00I -5100.000 G =SI00.001 -51,000.000 HI =SJ,000,001 - 55.ooo.ooo IU =More than 55,000,000

2. ValDc Codes J=Sl5,000orksa K'"'515,00l - S50,000 L =S50,00l -5100,000 M=SI00,001 - $250,000 (See Columns Cl and DJ) N=S250,00I - 5500.000 0=5500,001 -51,000,000 Pl -Sl,000,001 -55,000,000 P2=55.000,001 - 525,000,000

P3=525,000,001 - 550,000,000 P4 =More than 550,000,000

3. value Method COOes Q =Appraisal R =Cost (Rl3I Esl3le Only) s =Asscssmait T=Cash Market (See Column C2) U =Book Value V=Olha w =Estimated

Page IO of 11

Name or Prnoa Rrportin:; Date or ReportFINANCIAL DISCLOSURE REPORT

McCllTD. Neal P. 119(1.009

VIll. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepar10JR port.J

FIN CIAL DISCLOSURE REPORT

Page 11of11

N•me of Prnoa Rrporting Date of Report

McCurn, Neal P. 7/912009

IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from ontside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of S U.S.C. app. §SOI eL seq., S U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL - D CRIMINAL SANCTIONS (S 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 Colwnbus Circle, N.E. Washington, D.C. 20544

Documents

McCurn Neal P 1 - Judicial Watch · 2019-07-26 · 8. YUM Bs A iind J T 9. Fn Y TF loomc D t M T •. 10. Fn Y TF nome c Int L T By 3/10 L kt 11. NYS m 4% 711/9 A t K T 12. SC ub