FINANCIAL DISCLOSURE REPORT

FOR CALE~AR YE~ 2009

1. Person Reporting (last name, flr~l, middle initial) ~heindlin, Shira A. 4. Title (Article I11 judges indicate active or senior stat~; magLsl~ate judges indicate full- or part-time) U.S. DistrictJudge~active [] Initial 2. Court or Organlr~d~ou S.D.N.Y. So. Report rype (check ~ppropriate type) [] Nomination, [] Annual [] Final Date

Report Required by the Ethics

in Government Act of1978

0 ~.s.c. ~..~ o~-HO

3. Date of Report 06/23/2010 6. Reporting Period 01/01/2009 12/31/2009

5b. [] Ameaded Report 7. Chambers or Office Address USDC-SDNY 500 Pearl Street New York, N.Y. 10007 8. On the basis of the lnformttla~ contained in this Report and any modifications pertalalng thereto, It ig In my opinion, In compliance with applicable laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be fallowed Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last pag~

I. POSITIONS. ~o,a~g i~a~*~a o~.: ,,, ~ 9-, of ~ ~,~ao~)

D NONE (No reportable positions.) POSITION
1. Director

NAME OF ORGANIZATIQbl/ENTITY
Justice Resource Center

2. Director

Sedona Conference

Scheindlin, Shira A.

FINANCIAL DISCLOSURE REPORT

s .... IPersou Reporting

DeteofRe~.

Page 2 of" 1 1

Schei.ali., Shira A.

06/23/2010

Ill. NON-INVESTMENT INCOME. ~,o,~ng ~,di~u=~unZs~; soer~. ~z-2~ o/~~ i~,u~ons.;

A. Filers Non-Investment Income [---] NONE (No reportable non-investment income.)
DATE.
I. 2009 2.2009 3. 4.

SOURCE AND TYPE

West Services, Inc. Book Royalties Fordham University L.aw School Teaching

(yours, not spouses) $2757.76 $1000.00

B. Spouses Non-Investment lnco me - lf ~vau u~ere marrlcd during any portion of the reporting year. complete this section.
(Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) DATE_ 1.1-12/09 2. 3. 4. SOURCE AND TYPE Slate University of New York

IV. REIMBURSEMENTS - ~-~o,~o~,todgi~g,/oo~, e~,~n~i .... ~

(Includes thane to spouse a~ ~pendent children; see pp. 25-27 o filling ins~c~o~-.) ~ NONE ~o reportable reimbursements.) ~ I. 2. Federal Bar CounciI American Law Institute American B~ Assn Amefic~ B~ Association Sedona Confere~e America B~A~n Comeli Unive~i~ DATES 2/14/09-2~21t09 3/26/09-3~7/~ LQCATION MeM~ Philadelphia, PA P[JR,POSE S~aker S~aker ITEMS PA~ O~ PROV~ED T~vel, F~, L~ging Travel, F~d, L~ging

3. 4. 5. 6.

4/17/09~3/~ 4/29/098-5)01109 9/241~-9!25109 11/05/09-11107/~

S~ F~nciseo, CA ~dona, AZ Chicago, IL lthaca, NY

Speaker Speaker Sp~er ~w Sch~l Adviso~ Council Meeting

T~vel, F~d, ~dging T~vel, F~d, l,t~ging Travel, F~, L~ging T~vel, F~d, Mging

FINANCIAL DISCLOSURE REPORT Page 3 of I l

7. Georgetown University 1 l/l 1/09-11/I 3.09 12/03/09-12107/09

~,~e of Person Reporting Scheindlin, Shira A.

Date of Report

06/23/2010 [
Speaker Speaker Travel, Food, Lodging Travel, Food, Lodging

Washington, DC San Francisco, Calif.

8. Practicing Law Institute

FINANCIAL DISCLOSURE REPORT

r~ ....fv ....

Reporting

DateefRep0rt

Page 4 of 1 1

Scheindlin, Shira A.
]

06/23/2010

V. GIFTS. a~clu~ ~o~, to ~,ou~ ~ ~r~,~t children; sce plg 28-31 of j~ding instructions.)
NONE (No reportable gifts.)

SOURCE
1. 2. 3.
4.

DESCRIPTION

VALI~

5.

VI. LIABILITIES. a~au~,s tso,o o/,po,~e and ~,a,~t chUar,*: ~,, r~ ~-~3 of fling im~ucao~.)
~ NONE (No repo~able liabilities.) CREDITOR
1. B~ of Am~fi~

DES~R~TION
Mo~gage on R~I Pro~ # 1, B~kl~, ~

VAI,UE CODE
K

2.
3. 4. 5.

FINANCIALDISCLOSURE REPORT
Page 5 of 1 1

Name of Person Reporting [ Scheindlln, Shira A.

Date of Report

o6/23:2olo

~. ~VESTMENTS an d TRUSTS - i,,o~, ,~.. ~,,so~,,s a.t.a~ t~,o~ of s~o.. ~a dependent children; see pp. 34-60 of filing
NONE (~o reportable income, ~sets, or transaction.)

1. 2. 3. 4. 5, 6. 7. 8. 9. 10. I I, 12. 13, 14, 15. 16. 17.

R~I Prop. # 1, Kings Co.U, NY Teache~ lns~ce Annuity Ass~iafion A~ Financial Wacho~a Ba~ De.sit Sweep Wells Fargo Wells Fargo ~#1 I~ Sentinal Cap Gro~ F~d Cl~s A 1~ S~t~el MidCap Gmw~ CI~s A l~Sentinel Intl ~ui~ Cl~s A I~ Sentinel SmaU Company A I~Sentinel ~mmon Stock CI~s A 1~ Sentinel Govt. Secu~l]cs CI A l~Sentinel Come.afire Allot, Cl~s A College Retirement Equiti~ Fund Supplemen~l ~d Gro~ Reti~ment Annuities Vangt~d Intl Mull Fund

F G A

Renl lnter~t Int./Div.

P1 PI J

W T T Sold Sold 1~4/~ 06/30/09 06~0,09 08/03/09 J J A A

None None B Dividend None None None None None None None None D A Interest Dividend M K K K K K K K PI N J T T T T T T T T T T

Buy Sold

Sold (pan)

6/0/~

FINANCIAL DISCLOSURE REPORT

Name of PersonReporfing Scheindlin, Shira A.

Page 6 of I 1
VII. ENVESTMENTS and TRUSTS - t.~o~,

06/23/2010

NONE (No reportable income, a~sets, or transactions.)

" ~~~7~ .: .:: ~::~1~::~-:~ .:{

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

Pfiz~ Br~kl~ Fede~l S & L Br~k~ F~ S & L ~ Mm~at~n B~ ChaseManhat~n B~k C~e Mm~at~n Bank Ch~eMa~at~n B~k ~se M~hat~n B~k Ch~e Ma~a~n B~k NYS ~al Govt Assist. ~. SeriesC Fidelity Advma~ge SmallCap. Fideli~ Adv~tage Mid Cap IRAACCOUNT g2 NWD V~ lnsl~t NVIT S&P Index Fund C14 I~ Fideli~ VIP Con~fund ~ Dreyf~Growth & Income I~DWS Va6able Se~ One

C A A A A A C A A B

Dividend Interest Interest Interest Intent Interest Interest Interest Inter~t Inter~t None

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

T T T T T T T T T T T T T T T T T Redeem~ 4/1i09 J

A B

Di~dend Dis~bufion None None None None

Name Shira Reporting FINANCIAL DISCLOSURE REPORT [ Scheindlin, of PersonA. Page 7 of I 1

Date of Report

06/23/2010

HONE ~o reportable income, assets, or transactiom,)

35. 36. 37. 38. 39. 40. 41. 42. I 43. 44. 45. 46. 47. 48. 49. 50. 51.

Broke~ge Acco~t#l Excelsior Directional Hedge Fuad of Funds ASTON Nlontag & Caldwell Gff.h FD CL1 Columbia N InterMuni BD FD CL-Z Columbia DIV. INC FD CLZ Columbia FDS SER TR Valuae and Restructuring FD CL Z Columbia FDS SER TR 1 Select Opportunities FD CL Z Columbia FDS SER TR 1 Select LGE CAP Grth FD CL-Z Columbia NY Tax Exempt RES. FD (sweep Accoun! Coltunbia NY Tax Exempt RES. FD (sweep Account Columbia Small Cap Gth FD Columbia Small Cap Value FD Janus lnveest. FD Enterprize* ARfIOlnt. Eq. FD LTD. Scottrade Acct. #I Barcly Bk MSCI India MSCI Pacific A None Dividend J J T T A A A A B B A D A lnt.tDiv. Dividend None Dividend Dividend Dividend None Dividend Distribution None Int./Div. Dividend None L M L M J J L L K T T T T T T T T T Sold 4F//09 K Buy Buy 4/8/09 4/8/09 K K M K T T Sold 4F//09 L

FINANCIAL DISCLOSURE REPORT Page 8 of 1 1

VII. INVESTMENTS and TRUSTS -~ ......

Scheindlin, Shi~ ~ [

~2312010

t~. ~,~o~ a~a,~ ~h~ o/,~ ~ ~ ~ud~: ~, r~. ~0 of ~ti~, ~.~

NONE (~o reportable income, ~se~, or ~a~actior~.)

52.

MSCI Sou~Korca

Dividend

53.
54. 55. 56. 57. 58. 59. 60.
61.

MSCI Mexico
MSC! Hong Kong FTSE Xinhua China SPDR Gold Trust SPDR Gold Trust FBR Focus Fund Brandywine Blue FD MSCI Taiwan
Harbor BondFund

A
A A A A

Dividend
Dividend Dividend Distribution Distribution None

J
J J K K

T
T T T T Buy (addl) Buy (addl) Buy Buy (addl) Sold I/5/09 1i5/09 1/2/09 7/I 5/09 8/14/09 1/2/09 I/5/09 J J A

lnt./Div. None

Buy (addl) Sold

Int./Div.

62. 63. 64. 65. 66. 67. 68.

LongLeafPartners Fund Pertin Micro Cap FD M & I Marshall and llsley Bank (Scooltrade sweep account) Oakmark Select Fund Fairholme Fund SPDR Series trust KBWregl. B SPDR Series Trust KBWbkETF

Dividend None None

J K J J J J J

T T T T T T T Buy Buy Buy Buy 7/9/09 7/13/09 7/13/09 7/13/09 J J J J

A A A A

Int./Div. IntJDiv. IntdDiv. lnt./Div.

FINANCIAL DISCLOSUgE ~PO~T

Name of Person Repm~ng

Schcin~. sh~ ~.

NONE ~o reportable income, ~sets, or ~ansactions.)

69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83.

PIMCO Bmcrging Local Bond fund Brok~ge A~t. #2 Fgontline L~ H~eng PWR Winds~ M~kw~st Ul~a Fin~cial p~~ Boyd Gam~g Co~. Boyd G~ing Co~. SPD~ lndcxSllS FDS INT.(IPF-ETF) MSC1 Hong Kong ~WH-E~ SPDK Index StIS FDS S & P Ch~a (GXC) Cla~oreExchange T~ded F~d (TAN) M & I M~hall llsley Bank (sweep Acct.) ~*

Int.~iv.

J-

B~

8/191~

A A A A

DMdcnd DMd~d Dividend Dividend None None None

J J J J

T T T T Sold Buy Sold 4/13/09 9/3/09 10/7/~ 8/24/09 8/31/09 10115/09 8/27/09 J J J J J A

A A A A A A

int~iv. Int.~iv. Int~iv. Int.~iv. Int.~iv. Dividend

J J l J J T T T T

Buy Buy Buy Buy

Sold

1112/09

FINANCIAL DISCLOSURE REPORT

Pa~ 1 0 0~" | |

~*~ of~n .~po.iog

Scheindlin, Shlra A.

~t~ o~ R~o.
06/23/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a~o~.ol~ro~

Part VII 1.43,44,64 and 82. These are just sweep accounts for cash that accumulates in a brokerage account. Part VII Line 47; On July 6, 2009 Janus Advisor Midcap Growth Fund became Janus Investment Fund Enterprize Part VII Line 83 The sale of IBM noted on line 20 of the 2009 report was cancelled and sold on 1/12109

Name of Person Reporting

Date of Report

Page~"INANCIAL11 of 11 DISCLOSURE REPORT IX. CERTIFICATION.

Scheindlin, Shira A.

0~/23/2010

I certify that all informalion 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 ~ifts which have been reported are in compliance with the provisions ors U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature

AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

/JEC

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