t

Rev. 1/2010

,4o ~o

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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2o Cour~ or Organization U.S. District Court, NDNY 5a. Reporl Type (check appropriate t)pe) ~ Nomination, ~ Initial Date ~ A ..... I ~ Final

Report Required by the Ethics

in Govermnent Act of 1978

(5 ~s.c. app..~.~" I01-111)

3. Date of Report 0~i07/2010 6, Reporting Period 01:01/2009 to 12/31/2009

1, Person Reporting (last name. first, middle initial) Sharpe, Gary L. 4. Title (Article llI judges i~dicate active or senior status; magis~rale judges indicate full- or pao-tim) DislriclCourt Judge, Acd~e

7. Chambers or Office Addrvas .lames T. Foley Ctourthouse 445 Broadway Albany, New Yo~k 12207

5b. ~ Amended Report 8. On [he basis 0f the information coatained in lb[! Repo~ and any modilications pertaining thereto, iI is, in my opinion, in compliance wilh applicable laws and regulations. Revic*~ing Officer Date

IMPORTANT NOTES: The instructions accompanying this fornt must be followed. Complete all parts,
checking the NONE box f!~r each part where )ou have no reportabl~ information. Sign on last page.

!. POSITIONS, (Reporting individual ~,nly; see pp. 9-13 ,,filling instructk~ns.)

NONE (No reportable positions.) POSITION
1. 2.

NAMg OF ORGANIZATION!ENTITY

11. AGREEMENTS.
NONE (A~ reportable agr~~ments.) DATE
I.

~.., PARTIES AND TERMS

i~

Sharpe, Gary L.

FINANCIAL DISCLOSURE REPORT

Page 2 of 12

[ Name of Person Reparting

Dale of Report

Sharpe, Gary L.

05/07/2010

Ill. NON-INVESTMENT INCOME. ~,~,,,s,,g ~,~,,~.~ ...... ;.~,~,. 17-24 off!lit,g ins~uctions.)
A. Filers Non-Investment Income NONE (No reportable non-investment income.) DATE
I. 2 3. 4.

SOURCE AND TYPE

~COME
(yours, no~ spouses)

B, S00~s~s NoB-I ~v~s~[ ~Bco~e - If you were marri~d during any ponion of the reporting y~ar, complete this (Dollw ~wmunt not t~qttir~d except.for ~on~roria.)

~ NONE non-investment income.) DATE

1, 2009 2. 2009 3, 4.

SOURCE AND TYPE

Really USA - lndependen~ Contractor - Commissions Real Es~te Professional - Renlal Prope~y

1V. REIMBURSEMENTS -,.~.~,or,.,ion, t,,a~i,,X,~ood, ........ ~.,~

NONE (No reportable reimbm:~ements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROV]D[~D

3. 4. 5.

FINANCIAL DISCLOSURE REPORT

fPerson Reporting

Date o[ Report

Page 3 of 1 2

Sh~r~e, C,~r.v L.
In, ....

0S,07;20t0

V. G ! FTS. (t,,ct, des thos, ,o ~e ........ ~ dependent children; see pp. 2S-31 t~f filing instrttctians.) NONE (No reportable g~Bs.) SOURCE I. 2. 3.
4.

DESCRIPTION

VALUE

5.

[]

NONE (No reportable liabilities.) CREDITOR DESCRIPTION Mortgage on income property VALUE CODE N

I.

Merrill Lynch

3. .~. 5

FINANCIAL DISCLOSURE REPORT Page 4 of 1 2

N~m~ of PC .... Reporting Sharp,, Gary L.

DateofReporl

05Jo7,,_~olo

,oi.,, , ........ions (Includes those of ap ....... d depend~t chitdrcn; see pp. 34-60 of filing instructions.) VII. INVESTMENTS and TRUSTS - i.c ..... ~ NONE (No reportable income, asseZ~, or transactions.)
Dcscriptkm of Asscls (includlngtmst assc~) t ..... t Place exempl #ompfiordisclosure Income during rc~rting ~riod A .... { T)~ (e.g.. t Code I [ div.,rent, (A-H) . or int) ~ I ] Gross value a~ end[ of rcporling period ~ Transactions during rc~ing peri(M

Value / ~ Code 2 " (LP) ~

Gain T)ge (e.g., ] Date Value ,I Value } *~mm:ddtvy t C~ic2 Code 1 Melhod[ buy. sell, ~ C~e 3 1 redemption) " 0"P) (~-ll) ~ (Q-~V) / ~ ~ C}oscd Closed Buy 04/20/09 04;20/09 K M A A

Identity of buyer/seller (ifp~vate transaction)

I. 2.

Merrill Lyad, (IRA #1)

A A A

[ Dividend ] Dividend

"

Me.ill Lynch (I~A #2) New York College Tuition Savings # I (529)

3 4.

l Dividend

I
I [

01/01/09

Buy (addT) Buy (addl) Buy Buy (addl) , , [ " Buy (addl) Buy (addl) Buy (addl) Buy (addl! Buy

02/01 "09

i5 6.

03/01/09 04 ,"01/09 05:01/09 06/01/09

J J J

07/01/09 J

9. I0 I I. ~

t
, ~

08/01/09 J 09/01/09 10:01;09 J

~
12. 14. 15. ~16. Ncw York Co!lcge Tuition Savings #2 (529) A

~ ] Dividend ] J T

B uy (addl) Buy Bay (addl) Buy (addt)

12/01/09

01/01/09 02/01,0~

03101/09 J

~7.

t Income Gain Ct, des:

A =$!.000 or less

~1 =$1,1)01 - $2.500

C ~$2.501 - $5.0~)

D =$5.(}01 - $15,00~

E $15.001 - $SIU"Paq i

P3 :$25 000 001 - $50000 0)0

P4 =More Ih,m

FINANCIAL DISCLOSURE REPORT Page 5 of 1 2 VI I. INVESTMENTS and TRUSTS --i ........

A. Description of Assets (including trust
Place "(X)" al]er each ~sct

N ..... fP~ .... R~p~rling

Sharpo, Gar) L. I ~,,, t ....... tions (tnctudes those of sp .......

05107/2010
d gependent chilarent see pp. 34-60o[filing inst, ucti~,ns.)

NONE (No reportable income, assets, or transactions.) [ ~ Income during reporting period Gross v~loc al c~d [ of reposing period
[ Valuc ~ alue i T)~c (e.g,

Tran~cti~ns during repotXing period

~ Amounl , Tspe (eg.,

Date

[ Value

Gain

Identity

(Aqt)

or int.)

(J-P)

C~e 3 ~Q-W)

redemption)

~ (J-P) ~

. (A-H)

(irpnvate transaction)

18. 19. 20. 2 I. 22 23. 24. 25. 26. 27. 28. 29.
30.

Buy (addl) Buy (addl) Buy (addl) Buy [addl) Buy (addl) Buy [addl) Buy Buy (addl) Buy (addl) Memll Lynch (IRA # 3) Merrill Lynch(IRA #4) Excel Securilics IRA # I
-Aim I~ncrg3.. Fund Class A ,r"IENAX")

04/01/09 J 05/01/09 06,01,09 07/01/09 08/01/09 09/01/09 I 0,01/09 11/01/09 12/01/09 04i20/09 J J J J J J J 1. A A

A A A

Dividend Dividend Dividend K T

Closed Closed Open

B:ay

04/20/09 M 04/2D09 K
04:21/09 J

31. 32. 33. 34. -Oppenheimer Gold & Special Minerals Class A ("OPGSX") -lng ]~.ussia Fund Class A ("LETRX")

S01d Buy Sold Buy

09il6/09 04/21t09 09/16/09 04/21/09

tSee Columns CI an0 D3)

N =$250,0fll - 55(~(I.~1

O =$500,Ktl - $1,0fi0,(~!0

Pl :$!.b~l(LO21 - $5,0{8,0(]()

1~2 =$5,0(10.1)Ol -

FINANCIAL DISCLOSURE REPORT I Page 6 of 12 VII. INVESTMENTS and TRUSTS - i .......... lue, t ...... tion~ (Includes those of sp .......... d dependem children; s~epp. 34-60 of filing instructivns.)
NONE eve reportable i,7co,,,e, assets, or ira,sac;ions.)
O.-,t:rip.ion o[ Assets (including trust assets) Place "(X)" aP, cr each asset c:,.cmpt fior,, prior dis.closure Income during rcpo:ilng period T)T,e f.e.g, 7odcmUntl rent. div., A-H) ! or ir:.t.) Gross ,.a}uc at end of rcporti~g period Value Code 2 (JP) Value Met ~od i Code 3 (Q.%\r) q)pe tc.g.. buy, scl . (cdcmption) Transactions duling tepee.rag petted

Date1, V~duc [ Gain i rnm, dd.~yy Code 2 i Code I (j.p) i (A-H) _~ ........ : _. I J A

ldcn:ity of buyer/seller 0fprlvate transaction}

35. 36. -Oppenheimer Developing Markets Cl~s A i"ODMAX")

Sold Buy

0916,/09

04/21,09 ~ 09.:16/09

J J

37. 38. 39. a0. -Thornburg International Value Fund Cla_~s ("TGVIX)

Sold Buy Sold

04,,21,09 09!16:09 07/28/09 J J A.

-ColumbiaTcch.olo~v Fund Class Z ("CMTFX"I

Buy Sold

41. !4~ 43. -Juhn Hancock U.S. Global Leaders Grov~Fund Class A -Direxior~ Commodity Bull 2X Fund ."DXCI.X"~ -Pc~rolco Brasileiro Pctrob.~s ADR Common Excel Securities IRA #2 -Apple lnc Coma,on ("AAPL") F Divide.rid O "1

09/16/09 07:2.8,.09 08/0q09

J J

Buy Buy Buy Open

44. 45. ;6.

10/02;09 04/21;09

J O

Buy f:hiy Buy Sold Huy

I)4,2 I;09 04!21/09 04t21,"09 07/16/09 04/21;09 J J J A

47. 4,~ 49.

-Cclgenc Corp Conunon -Freddie Mac Common ("FR E")

50. 51.

-liana Biosciences lnc Common ("HUM")

Sold

07116;09

FINANCIAL DISCLOSURE REPORT Page 7 of 1 2 VI I. INVE STM ENTS an d TRUSTS - ~, ........

~ NONE
A. Description of Assets (including trust assels) Place "(X)" aflcr each asset exempt from prior disclosure

~ ....

fPe .... Reporting

DaleofRepor!

Sharpe, Gary L

05/07i2010

u,,, t ......ions (Includes those of sp ...... d dependent children; see pp. 34-60 offiling instructions.) t

(No reportable income, assets, or transactions,)

~ [ [ B. ln:ome during ~po~ing period C. , Gross va]u~ at end of rcpo~ting p~riod Val~ Me~od Code 3 (Q-W) Ty~ (e.g., buy, sell, redemption) D. T~ansactions during reposing ~riod

Va~uc i Amount ~ T)~e (eg., Code I] div., rent, Code 2 orim.),J-P) [ (A-H)__[ I

Date]~ Value m~d~ ~ Code 2 [ (J-P)

Gain Code I (A-H)

Identity of buyer/se~lcr (ifp~vate transaction)

52. 53.

-Research in Motion LTD Common ("R~MM") -~ou~hwes~em Energy Co Common

Buy Buy

04~2 I109 04121/09

J J

("s~")
54. -United STS STL Co~ New Common ("X") Buy 04/21/09 J

55.
56.

-Yum Brands lnc Common

Buy
Sold (part) Sold

07]16/09
09/_91/09 09,29,09

J
J J A A

57.

58. 59. 60. 61.

62. 63. 64.

-Peabody Energy Corp Common -Cosan Ltd Shs A ("CZZ") Common -Chesapeake Energy Corp ("CItK") Common -Vale SA ADR ("Vale") Common
-Hutnaoa Inc. ("Hum") -Aberdeen Small Cap Fund Class A ("GSXAX")

Buy Buy Buy Boy

07116/09 12111/09 12/I 1109 12/I 1/09

J J K J

Buy Sold (pan) Sold (par0

04/22/09 10122109

K J A

65. 66. -Agcr Hcahh Sciences Fund (AtlSAX")

12/I 8/09 04/22/09

J K

Buy

67. 68.

Sold (pan) Sold (pan)

10/06/09 10/22/09

J J

A A

FINANCIAL DISCLOSURE REPORT Page 8 of 12

~a,,,e of P .....Repurling

Dale of Rcpor!

s~,arp~, c~rr L.

o_s/07;20to

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

Description efAsse~s (irLdudingt~us~ asscts~ Place "[X~" after each asse cxcmp fromprordscosure Income durin~ I reporting ~riod Amount ] Type (e.g. [Code I ~ div. ro~t t (A-I[) [ orint.) I Gruss value a~ end [ i of reporting period Value C~e2 [ (J-P) ~ Value Ive (e g, / buy sell Me~hod Code3 ~ redemption) ~ (Q-W) .... Transactions during reporting pcri~

Date [ Value mm.,d~vy[ ClUe2 : Codcl ~ ] (J-P) (A-I[~ ] ~

buyer/seller (if private t ......ion) t

69. 70 7 I. -Baron Partners Fund ("I~PTRX")

Sold Buy

~ 12/I 1,09 ! 04f22,09

K K

Sold (pan) Sold (pan) -Columbia "rcchnology Fund ("CMIFX") Buy Buy .

10/22/09 12!i 8,09 _~,_na,~ng~.

J J j

72. 73.

74. 75. 76. -l)ela~s are Investments Diversified Income ("DPDFX")

07~28/09

(pan)
Buy Sold (pa~) Sold -Eaton Vance Tax Managed Small-Cap Buy

Sokl

12/[ ~,09 0+22,~ 10122.,09

J K J

77. 7S.

12il 1/09 04,2Z09

K L

79. ~0 81 g2.

Sold Ipan) Sold {part) -(iabc]li Ente~rise Mergers & Acquisitions Fd (21 A ("EMAAX") t]uy

I 0~22."09 12/1809 04.2209

J J

A A

83. 84.

Sold (paa) Sold (pan)

10/22,1)9

A A

1211809 J

FINANCIAL DISCLOSURE REPORT

Page 9 oF 1 2

Ir~ ..... I

rP ..... R,po.i.~

[ Sharpe, Gary L.

05/07/2010

NONE (A~o reportable income~ assets, or transactions.)

B.
Dcs~r~p~otl of Assets (including lrust assets) Place"IX)" after cach asset exempt from pnot disclosure ............................ ~ .... ~6. 87. -John tlancock Large Cap Equity Fund Class A UITHAX") lncom during rcpo~ing ~riod Amot n : Type (e.g., [ Code I ] div., rent, ~ (A-It) orint.) j

C.
(]ru~s ~ ~lue m end of rcportirg pc~od Va~ue] Code 2 U-P) ; VMuc Method Code3 (Q-W)

o.
Imnsactions during reporting period

"F~pe (e g., buy, sell. redemption)

Date mnvd~yy C(~e 2 [ C~e [ ] (J-P)

buyeffseller

Buy Buy

04/22,09 K 07/2R/09

88. 89. 90. 9 l, 92. 93. 94,

95. -Oppenheimer Gold & Special Minerals ("OP(JSX")

Sold (part) .tlartford Capital Appreciation Fund Class A Buy Sold (pan) Sold (part) -Opertheimer INTL Bond Class A ("OIBAX") Buy Sold (part) Sold
Buy

10/22/09 04/22!09 10/22!09 12/I 8.~09 04;22/09 10/22/09 11/05/09

04/22/09

J K J J J J .I
J

A A

A A

(part) 97. 98. 99. I(>0. I01. 102. -Pimco Total Return Class A ("PTTAX") -Opp,:nheinter Developing ErlarkeLs Class A {"ODMAX") Buy 04/22,09 L 1 K A :

Sold (parX) Buy Sold

10/22/09 04/22/0) 10..22/09 12/18/09

(P~rt)
Sold J A

(pan)
-RS Value Fund Class A ("RS\ AX") Buy 04/22/09 J

FINANCIAL DISCLOSURE REPORT Page 1 0 of 1 2

[ u,m, orv,. ....

I

Reporting

DatofRepor!

[ Sharpe, Gary L.

05/07/2010

NONE LVo reportable income,

Dcscriplion of Assets (includh~g Ictl~t assct~) Place "(X}" after each a~et c~.cmpt from p~ior disclesurc

assdIs, o~

transactions.)
Groas value, at end of reporfieg period [ T=nsact~ons during reposing period

Income during repo~ling period Type (e.g., div., rent, orin,.)

Amoum Code I [ (A-II)

~ode 2 O-P)

Mctht,d C,,d.z3 IQ-W)

[ T)~e (e g, : buy, sell, ] rcdernpli,,n) ~

[ 1 ]mm/d~yy Code 2 i (J-P) ~(A-H) [

/Cde

Identity buyer/seller (ifpriv~t t~n~ction)

FINANCIAL DISCLOSURE REPORT Page 1 1 of 12

fP .....Reporting

Dataof Report

[ N ..... [ Sharpe, Gar)L.

05/07/2010

VIII. ADI)ITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT [ Page 12 of 12 I X. C ERT! FI CAT! ON.

Name of Person Reporting Sharpe, Gary L,

] [

Dale of Report 05/07/2010

I certit~, that all information given above (including infornmtinn pertaining id my spouse and minor or dependent children, if any) is accurate, true. and complete Io lhe hest of my knowledge and belief, and that any information not reported wa~ withheld because it met applicable slatulory pruvision~ permitting ~on-disclo~ure. I further ~crtify Ihat earncd income from outside employment and houoraria and the acceptance of gifts which have been rcpor~:ed are in compliance with the pr~visions 0[5 U.S.C. app. 50! ct. ~eq., S U.S.C. 7353, and Judicial Conference regulations.

Signatu[

NOTE: ANY INDIVIDUAl VIlO KNOWINGLY AND WILFULLY I:ALSIFIES OR FALLS TO FILE TillS I{EPORT MAY BE SUBJECT TO CIVIl, AND CRIMINAL SANCI"IONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United Stales Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544