Robert D Sack Financial Disclosure Report for 2010

8/3/2019 Robert D Sack Financial Disclosure Report for 2010

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A O I ORev . 1 /2011

FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 20 10

Report Re quired by the Ethics

in Go vernment Act o f 1978(5 U.S.C. app. §§ IOl-l l l )

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l )

Sack, Robert D.

4 . T i t l e ( A r t i c l e I I I ju d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;maglstrate judges ind icate full- or part-time)

U S Circu i t J u d g e ( S en ior )

7 . C h a m b e r s o r O f f ic e A d d r e s s

40 Foley SquareNew York, NY 10007

2 . C o u r t o r O r g a n i z a ti o n

US Cour t ofApp ea ls , 2d Cir .

5a. Report Type (check appropriate type)

]N om in ation , D ate

[] Initial [] Annual [] Final

I 5b. [] Amended Report

8. On the basis of the information contained in this Report and a nymodifications pertaining thereto, it is, in my opinion, in compliance

wi t h a p p l i c a b l e l a ws and regulations.

R e v i e w i n g O f f i c e r D a t e

3 . D a t e o f R e p o r t

05/I 0/2011

6 . R e p o r t i n g P e r i o d

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The instructio.ns accompanying this form m ust be followea~ C omplete all parts,checking the NONE box for each part where you have no reportable information. Sign on lastpage.

I . P 0 S I T I 0 N S . ~ R e ~ , o r t i n g i .a l v l d .a l o . l y ; se e p p . 9 - 1 3 of f i l ing instruct ions,)

D N O N E (No reportablepositions.)

POSITION

1. Director

2. Lecturer in Law

3. Member, Columbia Board of Visitors Colum bia Law School

4.

5.

NAME OF ORGANIZATION/ENTITY

William F. Kerby and Robert S. Potter Fun d

Colum bia Law School

I l . A G R E E M E N T S . C R e w , o ra n g i n di v id u a l only; see p p . 1 4 - 1 6 of f i l i ng i ns t ruc t ions . )

D NO NE ( N o r e p o r t a b le a g r e e m e n t s . )

D A T E PARTIES AND TERMS

I. 9/3/98 Pract is ing Law In s t i tu te and Robert D. Sack, publicat ion of 3rd ed it ion of t reat ise on defamat ion law; royally 15% ofnet receipts

2. 1998 Gibs on , D u n n & Cru t che r LLP Re t i remen t A g reemen t , G ibs on D u n n & Cru t cher LLP an d Rober t D . S ack ; Te rms :

$6,000 per m onth/ l i fe , no increase , decrease or cap

3. 2010 Pract is ing Law Ins t i tu te and Roberl D. Sack, publicat ion of 4th ed it ion of t reat ise on defam at ion law; royally 15% of

net receipts



FINANCIAL DISCLOSURE REPORT

Page 2 of 10

N a m e o f P e r s o n R e p o r t in g

Sack , Rober t D.

Date of Report

05/10/2011

1 1 1 . N O N - I N V E S T M E N T I N C O M E . tRe~ o ,n .g l .d lvidualo ,dspo~e;s ,ep~ iZ-24oI~l~.g i . s~uc, io .~)

A, Filer’s Non-Investment Income

D N O N E (No reportable income.)on-investment

DATE SOURCE AND TYPE

I. 2010 Practis ing Law Inst itute Book Royalt ies

2. 2010 Gibson, Dun n & Crutcher LLP Retiremen t Plan

3 .2010 Lecture r in Law , Colum bia Law School

4.

INCO ME(yours , not spouse’s)

$24,331.06

$72,000.00

$15,000.00

B . S p o u s e ’s N o n - I n v e st m e n t In c o m e - I f you were m arried during any portion of the reporting year, complete this section.

(Do llar amo u nt no t req u ired ex cep t fo r h o no raria . )

N O N E ( N o reportable non-investment incom e.)

DA TE SO URCE A ND TYPE

I. 2010 Dewey Ballan t ine Partnership Distribut ion

2.2010 West Services Inc.

3.2/16/2010 K i t amura and Landa v . Trump P are , No. (Supreme Cour t , NY Coun ty) Dis t ribu t ion o f C las s M ember

Shares of Net Sett lement Ben ef its

I V . R E I M B U R S E M E N T S --,ransportoao., Iodg~.g , Ioo~, e . , e r t a ~ . m e . ,

(Inclu d es th o se to sp o u se and d ep end ent ch i ld ren; see p p . 25-27 o f f i l ing instru ct io ns. )

--1 NONE (No reportable reimbursements.)

SOURCE D A T E S LOCATION PURPOSE ITEM S PAID OR PROV IDED

1. Univers ity of Texas 2/4-7/2010 Aust in , TX Sympos ium Travel, Hotel and Meals

2. Arizona State Univers ity 4/23-27/2010 Phoenix, AZ Forum Travel, Hotel and Meals

3. The Montpelier Foundat ion/ 6/14-16/2010 O ran g e, V A Semi n a r Travel, Hotel and MealsJames Mad i son’ s Montpe l ier

4. Federal Bar Foun dation 10/1-3/2010 Lenox , MA Bench and Bar Retreat Travel, Hotel and Meals

5.




Page 3 of 10


Sack , Rober t D.

D a t e of Report

05/10/201 I

V . G I F T S . a n c l u d e s , h o s e t o s p o n s e a n d dependent children; see p p . 2 8 - 3 1 of filing instructions.)

N O N E (No reportable gif ts . )

SOURCE DESCRIPTION

I.

2.

3.

4.

5 .

VALUE

V l . L I A B I L IT I E S . a n c l a d e s those of spouse and dependent chi ldren; seepp. 32-33 of f i l lng instruct ions.)

D N O N E (N o reportable liabilities .)

CREDITOR

1. Cit iban k A ad van t ag e Cred it Card

2. Citiban k A ad van tag e Cred it C ard

3. Chase V i sa Credit Card

4.

5.

DESCRIPTION VALUECODE

J

J

J




Page 4 of 10

Name of Person Reporling

Sack , Rober t D.

D a t e o f R e p o r t

05/10/201 l

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m . , w l u . . ~ .~ o ~ , ~ o ~ a n e l u d . s th o s e o / s p o ~ s o ~ n d d e p e . d ~ n , children; see plx 3 4 - 6 0 o/fi/ing instruction.~)

N O N E (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( in c l u d i n g t r u s t a s s e t s )

P l a c e " ( X ) " a f t e r ~ a c h a s s e t

exempt from prior disclosure

I n c o m e d u r in g G r o s s v a l u e a t e n d

r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(I) (2 ) (I) (2 ) (I) (2 ) (3 ) (4 ) (5 )

A m o u n t T y p e ( e . g . , V alu e Value T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m /d d / y y C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - P ) ( A - H ) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

I. JPMorgan Chase Accounts A Interest L T

2. JP Morgan 1086 US Govt MM KT Fund - A Div idend M T

Premier ( fo rmer ly Morgan)

3. Un secu red loan to D av id W . M cClin tick Non e J T

4. D ew ey B allan tin e Partn ership Cap ital Non e J T

Account

5. GD&C Cit iStreet 401(k) A Interest

6. o SSg A M on ey M arket Fu n d Sold 10/12/10 N

7. Oppenheimer Advantage Munic ipa l A Interest J TLiquidity Fund

8. Boe ing Co. Comm on Stock A Div idend K T

9. Blackrock New York I nsured Mu nic ipa l B Dividend K TIncome Trust I II

I 0. V a n K am p e n T ru s t f or In v t. G ra d e NY A Div idend J TMunic ipa l s

1 1 . Opp enheimer NY Mu nic ipa l Fund CI A C Div idend L T

1 2 . Op penhe imer N¥ SFSA 5% Due 3/15/10 A Int . /Div. Redeemed 03/15/10 K

1 3 . Opp New York NY Ci ty Mun Wtr F in NY A Int./Div. K T Bu y 03/25/10 K3.625% Due 6/15/25

1 4 . JPMorgan Chase Tradit ional IRA A Interest D is tri bu te d 1 0/1 5/ 10 JRetirement CD

1 5 . Northwestern Mutual Life Insurance Policy C Dividend L T

1 6 . Guardian Li f e Insu rance Pol icy C Div idend L T

1 7 . Massachusetts Mutual Life Insurance Policy A Div idend J T

1. In com e Gain Codes: A =$1.000 or less B $1,001 - $2.500 C =$2,501 - $5,000 D =$5,001 - $15.000

(See Column s B1 and D4) F =$50.001 - $100.000 G =$100.001. $1.000.000 I I I =$1.000.001 - $5.000.000 1 1 2 = M o r e ~ h a n

2. Va lue Cod~ J =$15.0~O or I~s K =$15.0OI - $50.000 L = $ 5 0 . 0 ~ 1 - $ 1 0 0 . 0 O O M =$10~.001 - $250.000

(S¢c Columns CI and D3) N =$250,001 - $500.000 O =$50~.001 - $1,00~.000 PI =$1.0~1,001 - $5.0~O .0(~ P2 =$5.000.001 -

P3 =$25.0~0.001 - $5 0.0~0.000 P4 =Mo re than $50.000.0~0

3. Value Method Codes Q =Appraisa l R = C o s l (Rea l E s ta te On ly) S :Asscssrnenl T =C~h Market

(See Colum n C2) U =Book Value V =O ther W =Est imated

E =$ 15,001 - $50.000




Page 5 of 10

Name of Person Reporting

S ack , Robe r~ D .

Date of R e p o r t

05/10/201 I

VII . INVE STME NTS and TR U STS -i ....... . , ~ , , e . ~ - . . . . , io ~ a n d u d ~ , h o ~ e o / ~ , o o ~ e a n d d e V e n a o n , c h " d , e n : ~ o o V V " 3 4 - 6 0 o f : # n g i n ~ , ~ c , i o ~ . ~

~ (No reportable income, assets, orONE transactions.)

A. B. C. D .

D ~ s c r i p ti o n o f A s s e t s I n c o m e d u r in g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( in c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

i (I) (2) (I) (2) (I) (2) (3) (4)

P la c e " ( X ) " after each asset ! A m o u n t Type (e . g . , V a l u e V a l u e Type (e . g . , D a t e Value G a i ne x e m p t f ro m prior d i s c l o s u r e C o d e I div . , rent , C o d e 2 M e t h o d buy, se l l , m m / d d / y y C o d e 2 Code l

( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t io n ) ( J - P ) ( A - H )

1 8 . Morgan Stan ley Bank Depos i t Program A Div idend M T

1 9 . Morgan Stanley MTA 5.35 Zero Coupon A Interest K TB o n d d u e 7/1/12

20 . MS New York Genl Obl ig RefSer -C due A Interest K T

4 / 1 5 / 1 3

21 . Morgan Stanley LIPA 5.60 Zero Coupon A Interest K TBond d ue 6 /1 /14

22 . MS N YS Power Auth Rev Ref Ser -C 4% B Interest K Tdue 11/15/20

23 . MS N YC Genl O bl ig Ser -I 4% Due 2 /1 /22 C Interest L T

24 . M S I n v e s co GL B D I V GW Sec A A Div idend J T

25 . MS Invesco Spec ia l Va lue A A Div idend K T

26 . MS Sp ecia l Growth Fund A A Div idend J T

27 . MSFocus Growth Fd A A Div idend J T

28 . MS O ppen . AMT Free NY Mun D Div idend L T

29 . MS Frank l in NY Tax FR B Div idend K T

30 . MS Goldm an Sachs High Yld Mu ni A A Div idend K T

31 . JPMorgan Federa l Money Market Fund - A Div idend K TMorgan

32 . Fiduc ia ry Holdings (SS) (Y)

33 . -Morgan Stan ley Bank Depos i t Program (Y)

34 . -MS M TA NY Trans it Zero Coupon Bond

due 7 /1 /13 (Y)

(~)

Iden t i ty of

b u y e r / s e l l e r

( i f p r i v a t e

t r a n s a c t i o n )

I. Incom e Gain Cod es: A -$1.000 or les s B =$1,001 - $2.500 C =$2.501 - $5,000 D =$5.001 - $15.000

(See Colum ns B 1 and IM ) F = $50.001 . $100.000 G =$100.001 - $1.000.000 1 1 1 = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0 112 =M ore than $5.000.000

2. Value Codes J =$15.0~O or less K =$15.001 - $50.000 L =$50.001 - $100.000 M =$100.001 - $250.000

{see Columns CI and D3} N =$250.001 - $500.000 O $500.001-$1.000.000 pI -$1.000.001 - $5.000.0~1 P2 = $5.000.001 - $25.000.000

P3 =$ 25,000.001 - $50,000.000 P4 =Mo re than $50.000.000

3. V alu e M cthod Cod es Q =Ap praisal R ~ost {Rcal Estate Onlyl S =Asse s sme nt T =Cash Markc~

(See Colnm n C2) U =Book Value V =Olhcr W =Es l i ma l cd

E = $15 .0 0 1 - $50 .0 0 0




Page 6 of 10


Sack, Robert D.


05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, vol.e, ~ ....i o ~ (lnclude~ those of spouse and dependent children; see pp. 3 4 - 6 0 of filing instruction~)


Description of Asse ts I n c o m e d u r i n g

(in clu d in g tru s t as s ets ) rep ortin g p eriod

~ (I) (2)Place "(X)" after each asset [ A m o u n t Type (e . g . ,

e x e m p t f r o m p r i o r d i s c lo s u r eI Code I

div . , rent ,

[ (A-Illor int . )

Gros s va lue a i r end

o f r e po r t i n g p e r i o d

(I) (2)

V alu e V alu e

C od e 2 M ethod

(J-P) C o de 3

( Q - W )

T ran s a c t i on s du r i n g r e po r ti n g pe r i o d

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

T y p e ( e . g . , D a t e V a l u e Gain

buy, sell, m m/dd /yy Code 2 C o d e 1

r e d e m p t i o n ) ( J - P ) (A-H)

( 5 )Iden t i ty of

buyer/ se l le r

( i f p r ivate

t ransac t ion)

35 . -Morgan Stanley Frankl in NY Tax Free lnc

( Y )

36 . -MS Opp en AMT Free NY Mun (Y)

37 . Neuberger State Street Mid Cap G row th A Dividend J

Investor Class

38 . Ameriprise IRA Portfolio (AH) G Int./Div. PI

T

T

39 . -Ameriprise Insured M oney M arket

40 .

41 .

42 .

43 .

44 .

!45.

46 .

47.

48 .

- INV VK MUNI INCOME-A INVESCO

FUNDS (new name) (X)

-BLKRCK EQTY DIVIDEND-A

BLACKROCK FUNDS

-DWS Short DUR P lus - A DWS Fun ds

-Eaton Amt M uni Bd Inc-A Eaton VanceGroup

-Fid Adv Float Rt H /Inc-A Fidelity Advisor

F u n d s

-GAB EQUITY INCOME-A GABELLIFUNDS

-Ivy Asset Strategy-A W addell & Reed

F u n d s

-M FS Muni Lid Maturity-A M FS Family of

F u n d s

-Opp I n t l Bond-A Oppenheimer Funds

Bu y 04/28/10 K

Sold 05/28/10 J

(part)

Bu y 07/28/10 M

49 .

50.

-Opp Gold & SP Minera l s -A OppenheimerFunds

-Opp L td I n term Mun i -A Oppenheimer

Funds

-Opp Developming M kts-A OppenheimerF u n d s

Sold(part)

04/23/10

I. Income Gain Codes: A =$1,000 or les s B =$1,001 - $2.500 C = $2,501 - $5,000 D =$5.001 - $15,000

(SCColumn s B I and D4) F = $50.001 - $100.000 G = $100.001 - $1.000.000 I I I = $ 1. 00 0. 09 1 - $ 5. 00 0. 00 0 1 12 = Mo re th an $ 5. 00 ~. 00 0

2. Value Codes J =$15,000 or less K =$15.0OI - $50.000 L = $ 5 0 . 0 O I - $ 1 0 0 . 0 O O M =$10~.001 - $250.0OI

(S,:e Colum~.~ CI and D3) N =$250.001 - $500.00~ O =$500.001 - $1,~.0OO PI =$1,000.0OI - $5,000,000 P2 -$5.000.001 - $25,000.000

P3 =$25.000.0OI - $50.0~0,000 P4 =More than $50.00~,000

3. V alu e M ethod Cod es Q =App raisal R =Cost {Real Estate Only) S =Asse s sme nt T =Cash Market

(S¢¢ Co lumn C2I U -Book Va lue V =Other W =Es t i ma ted

E = $ 1 5 , 0 0 1 - $ 5 0 . 0 O O




Page 7 of 10 Ia m e o f P e r s o n R e p o r t i n g

Sack, Robert D.


05/I0/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in . .. .. . ’ a l u e , t r a n s a c t i o n s (Includes those of spouse and dependent children; see pp. 3 4 - 6 0 of f!llng instructlon~)

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

Descript ion o f Asse ts I n c om e d u r i n g

(i n c lu d in g tru s t as s ets ) rep ortin g p eriod

O) (2)

Place "(X)" after each asset A m o u n t Type (e . g . ,

e x e m p t f ro m p r i o r d i s c lo s u r e Code 1 div . , rent ,( A-H ) or i n t . )

Gro s s v a l ue a t e nd

o f r e po r t i n g pe r i o d

(1) (2)

V a l u e V a l u e

C o de 2 Method

(J-P) C o de 3

( Q - W )

(l)

Type (e . g . .

buy, se l l ,

r e de m p t i o n )

T ran s a c t i on s du r i n g r e po r ti n g pe r i o d

(2) (3) (4) ..... (5 )

D a t e Value G ain I d e n t i t y o f

m m ! d d / y y Code2 Code 1 .... b u y e r / s e ! l e r

(J-P) iA-H): (if private

t r a n s a c t i o n )

52.

53 .

54.

-Pimco Total Retum-D Allianz G lobalI n v e s t o r s

-Perm Potafolio Permanent Family of Funds

S o l d 05/28/10 J D

( p a r t )

S o l d 07/27/10 M D

55. - O p p L t d T e rm N Y M u n i - A O p p e n h ei m e r

F u n d s

56. -Am e r T/E B ond o f Am e r -A Ame r ic an

F u n d s G r o u p

57. - V K M u n i I n co m e - A V a n K a m p e n F u n d s(na me c ha nge ) (Y )

58. - V a n E c k G L H a r d A s s e t s - A V a n E c kG l oba l F unds

59. -BI ackrock Mu n iho ld in g s New York I n s u redF u n d I n c

60. -N uve e n N e w Y ork Inv t Qua l i t y Mun ic i pa lF u n d I n c

61. -D rey S hr t I n t Mu n i Bd -D D rey fu s Grou p S o ld 07/27/10

62 . - B LK R C K E QTY D I V ID E ND - ABLACKROCK FUNDS

63. -Eaton Amt M u n i B d l n c -A E a t o n V an ce

Group

64. -Fid Adv Float Rt H /Inc-A Fidelity Advisor

F u n d s

65 . -G ld High Yield M uni-A Goldman Sacks

Asset M gmt

66. -M FS M uni Lid -Maturity-A M FS Family ofF u n d s

67. -Opp Amt FreeNY M uni-A Oppenheimer

F u n d s

B u y 07/28/10

68. -Pioneer Amt-FreeM uni-APioneer Funds

I. Income Gain Codes: A =$1.000 or less B = $1.0O f - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000

( See Columns B I and D4 ) F =$50,001 - $100,00O G =$ 100.001 - $ 1,000.000 I 1 1 = $ 1 ,0 G O ,0 0 1 - $ 5 .0 0 0 ,0 0 0 1 1 2 =M o r e th a n $ 5 .0 O O , 0 0 0

2. Value Codes J =$15.000 or less K =$15.001 - $50.00~ L =$50.001 - $100.000 M =$100.001 - 5250.000

(See Columns CI and D3) N =$250.001 - $500,0~O O = $5 00 .0 01 - $ 1.0 00 .0 00 P I = $1 ,0 00.0 01 - $ 5,00 0,0 00 P2 =$5.000,001 - $25,0~0.000

P3 =$25.000.001 - $50.0~O.000 P4 =Mo re than $50.000.0(~)

3. Value Method Codes Q =App raisal R =Cost (Real Estate Only) S =Assessmen t T =Cash Markel

ISce Colum n C2) U =Book Value V =O ~.h~ W = Es l ima led

E =$15 ,001 - $50.000




Page 8 of 10

Name of Person Reporting

Sack, Robert D.


05/10/201 I

V I 1 . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , ~ r a n s a c t i o n s ~ t n c l u d e s t h o s e of spouse and dependent c h i l d r en ; s e e p p . 3 4 - 6 0 of filing instructions.)


D e s c r i p t i o n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( inc luding t rus t a s se ts )

Place "00" after each asset

e x e m p t f ro m p r i o r di s c l o s u re

I n c om e d u r i n g Gross va lue a t end

rep orlin g p eriod o f rep ortin g p eriod

(1) (2) (I) (2) (1) (2) (3) (4) (5 )

A m o u n t Type (e . g . , V alu e V alu e Type (e~g. , D a ~ : e V alUe Gain Iden t i ty ofCo d e I div . , rent , C o de 2 Method buy, sell, m m / d d / y y C o de 2 Code 1 buyer/ se l le r{ A - H ) or int . ) (J-P) C od e 3 red em ption ) (J-P) ( A - H ) ( i f p r ivate

( Q - W ) transac t ion)

69 . -Amer T/E B ond of Amer-A American

Funds Group

70 . -Virtus Tax Exempt B ond-A Virtus Funds

71 . - Fred Alger Large Cap G rowth IRA

72 . - Franklin Intermediate Fixed Income IRA

73. - S p ec t ru m Hybr id P re fe r red I RA

74. - Rena issance Interna t iona l Equity IRA

75. - A l l i a n cebems t e in La rg e Cap Core I RA

76. - Mu n d e r Mid Cap Core IRA

77. - RiverSource Ret irement Advisor 4

Adva n t a ge V A-Annu i t y

I. Income Gain Codes: A =$1.000 or less B = $1.001 . $2.500 C =$2,501 - $5,000 D =$5.001 - $15,000

(See C01umm BI and IM) F =$50.001 - $100.000 G = $100.00l. $1.000.000 III =$1.000.001 - $5.000.000 112 =More ~han $5.000.000

2. Value Codes J =$15.000 or Ic’ss K ~$15,001 - $50.000 L =$50.001 - $100.000 M = $ 1 0 0 . 0 0 1 - $ 2 5 0 .1 3 ~ 0

(See Co lumns CI and D3) N =$250,001 - $500,000 O =$500.001 - $1.000.000 P I = $ 1 ,0 00 .0 01 - $ 5 ,0 00 ,0 ~ 1 P 2 = $ 5. 00 0, 00 1 - $2 5 ,0 00 .0 00

P3 =$ 25.000.001 - $50.000,000 P4 =M ore than $50,000,000

3. V alu e M ethod Cod es Q =Ap praisal R =Cost (Real Estate Only) S =Asscssmc’at T =Cash Markcl

(See Colum n C2) U =Book Va l ue V =Olhcr W =Est imated

E = $15 ,0 0 1 - $50 ,0 0 0




Page 9 of 10

N a m e o f P e r so n R e p o r t i n g

Sack, Robert D.


05/10/201 I

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicate part of report)

A p end ing c la im ag ains t Wor ldcom i s curren t ly in l i t i ga tion (02 C ir . 3288 (DLC)) . The worth o f that c la im cannot be d eterm ined a t th i s t ime.

L ine 32-36 , F iduc iary Hold ing s , are no longer repor tab le. As o f November 2010, a new t rus tee has been appo in ted . These l ines w i l l be de le ted f rom fu ture

reports.

Regard ing l ine 40 and 57 : VK MUN I INCOME -A VAN KAM PEN FUND S (L ine 58 on the 2009 Repor t) exper ienced a name change on 6 /1 /10 and i s now INV

VK M LrNI INCOME-A INVESCO FUNDS.




Page 10 of 10

Name of Person Repor ting

Sack , Rober t D.

Date of Report

05/10/2011

IX . CERTIFICATION.

I cer ti f y tha t a ll i n f o rm at i on g i ven above ( i nc l ud i ng i n fo rm at i on per ta i n i ng to m y s pouse and m i no r o r dependen t chi l d ren , i f any ) i saccu ra te , true , and com p l e te to the bes t o f m y knowl ed ge and be l i e f , and tha t any i n fo rm at i on no t repo r ted was w i thhe ld because i t m et app l i cab l e s t a tu to ryprov i s i on s perm i t t i ng non - d i s c l o su re .

! fur ther cer t i fy that earned in com e f rom ou ts ide em ploym ent and hon orar ia and the acceptance of g i f t s which have been repor ted are incom pl i ance wi th the p rov i s ions o f 5 U.S.C. app . § 501 e t . seq. , 5 U.S.C. § 7353 , and Jud ic i a l Conference regu la t ions .

Signature: S] Robert D. Sack

N O T E: AN Y IN DIV IDUAL W H O K N O W IN G L Y AN D W IL F UL L Y F AL SIF IES O R F AIL S TO F IL E T H IS R EPO R T MAY BE SUBJ EC T T O C IV ILAND CR IMINAL SANCTION S (5 U.S.C. app. § 104)

Commit tee on F inanc ia l Disc losureAdminis trat ive Off ice of the United States CourtsSuite 2-301O ne Colum bus Circle , N.E .W ash ing ton, D.C. 20544

Documents

Robert D Sack Financial Disclosure Report for 2010