AOIO Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization U.S. District Court (D. Conn.) 5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final

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

I. Person Reporting (last name, first, middle initial) Underhill, Stefan R. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or pan-time)

3. Date of Report 05/16/2011 6. Reporting Period 01/01/2010 to 12/31/2010

U.S. District Judge - Active

5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date

U.S. District Court 915 Lafayette Blvd. Bridgeport, CT 06604

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

I. POSITIONS. tRevo~ng individaal onty; see pv. 9-13 of filing instructions.)

~] NONE (No reportable positions.)
POSITION
1. 2. 3. 4. 5. Trustee Trustee Adjunct Faculty Member Adjunct Faculty Member

NAME OF ORGANIZATION/ENTITY
Insurance Trust Trust #4 University of Connecticut School of Law University of Virginia School of Law

II. AGREEMENTS. re~po.ing individual only; see pp. 14-16 of filing instructions.)
~] NONE (No reportable agreements.)

DATE

PARTIES AND TERMS

Underhill, Stefan R.

FINANCIAL DISCLOSURE REPORT Page 2 of 6

Name of Person Reporting Underhill, Stefan R.

Date of Report 05/16/201 I

Ili. NON-INVESTMENT INCOME. (Reporting indi,idualandspouse;seepp. 17-24 of filing instructions.)

A. Fliers Non-Investment Income

D
I. 2010 2.2010 3. 4.

NONE

(No reportable non-investment income.)

DATE SOURCE AND TYPE

INCOME
(yours, not spouses) $12,500.00 $ I 0,000.00

University of Connecticut School of Law - teaching University of Virginia School of Law - teaching

B. Spouses Non-Investment Income - if you were married during any portlon of the reporting year, complete this section.
(Dollar amount not required ~rcept for honoraria.)

NONE (No reportable non-investment income.)

DATE
1.2010 2.2010 3. 4.

SOURCE AND TYPE

Bridgeport Public Schools - Salary Self-employed tutor

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

(includes those to spouse and dependent children," see pp. 2.$-27 of filing instructions.)

NONE (No reportable reimbursements.)

SOURCE
University of Virginia Law School

DATES

LOCATION

PURPOSE
Moot Court Judging

ITEMS PAID OR PROVIDED

Transportation and food

February 19-20, 2010 Charlottesville, VA

3. 4. 5.

Name of Person Reporting

Date of Report 05/16/2011

PagcFINANCIAL3 of 6 DISCLOSURE REPORT I Underhill, Stefan R.

~]

NONE (No reportable gifts.)

SOURCE DESCRIPTION

VALUE

I. 2. 3. 4. 5.

VI. LIABILITIES. anctud,,s those of spouse o,d dependent chitaren; see pp. 32-.~ of Jrtlng instrucaonx) [~] NONE (No reportable liabilities.)
CREDITOR 1. 2. 3. Northwestern University Citibank Northwestern Mutual Life Insurance Co. U.S. Department of Education Educational Loans Educational Loans Loan against cash value of life insurance DESCRIPTION VALUE CODE L K L

4. 5.

Educational Loans

FINANCIAL DISCLOSURE REPORT Page 4 of 6

Name of Person Reporting Underhill, Stefan R.

Date of Report 05/16/2011

VI I. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

[~]

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

Description of Assets (including trust assets) Income during Gross value at end Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Value Date mm/dd!yy Code 2 (J-P) (5) ldenti~y of buyer/seller (if private transaction)

reporting period
(I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.)

of reporting period
(I) (2) Value Value Method Code 2 Code 3 (J-P) (Q-W) Gain Code I (A-H)

Place "(X)" after each asset exempt from prior disclosure

1.

Fidelity Equity-Income (IRA)

Dividend

Sold

12/20/10 12/20/10 08/16/10

K J K

A A D

2.

Fidelity Equity-Income II (IRA)

Dividend

Sold

3. 4. 5.

Fidelity Contrafund (IRA) Fidelity Balanced (IRA) Artisan International Fund Legg Mason Value Trust

B B A

Dividend Dividend Distribution None Dividend None None None None None

K L J J K K K M L K

T T T

Sold

(part)

7. 8. 9. 10. 11. 12.

13.

Vanguard Star Fund Massachusetts Mutual Life Ins. Co. enh. whole life policy Guardian Life Ins. Co. whole life policy Conn. General Life Ins. Co. universal life policy Northwestern Mutual whole life and 65 life policies Connecticut Teachers Retirement Board (vested pension) Peoples United Bank accounts (Y) AXA Equitable whole life policy (X)

T T T T T T

Sold (part)

02/26/I 0

14.

None

15. 16. 17.

I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columrts CI and D3) 3. Value Mclhod Codes (See Column C2)

A =$1,000 or less F =$50,001 - $100.000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25.0OO.0OI - $50.000.000 Q =Appraisal U -Book Value

B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50.600 O =$500,001 - $1.000.000 R =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 It I =$1.000,001 - $5.000.000 L =$50,001 - $100.000 PI =$1.000.001 - $5,000.000 P4 =More than $50,0~O.0~0 S =Asscssmen! W =Estimated

D =$5.001 - $15,000 112 =More than $5,000.000 M =$1120.001 - $250.0~0 P2 =$5.000.001 - $25.0~0.000 T =Cash Markel

E -$15.001 - $ 50.000

FINANCIAL DISCLOSURE REPORT Page 5 of 6

Name of Person Reporting Underhill, Stefan R.

Date of Report 05/16/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofrepor~)

Part l: .~~.~__~.~~ Trust listed in Part I, line 2 of my 2009 report has expended all assets and is closed. Part VII: - Assets listed in Part VII include assets held by~ trusts identified in Part 1. - The cash value of the life insura.nce policies listed on line I I of Section VII does not reflect the impact of the loans reported on line 3 of Section VI.

FINANCIAL DISCLOSURE REPORT Page 6 of 6

Name of Person Reporting Underhill, Stefan R.

Date of Report 05/16/201 I

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.
! further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature: S/Stefan R. Underhill

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544