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Frederic Block Financial Disclosure Report for 2010

.... Rev. 1/2011 ] FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010 2. Court or Organization U.S. District Court 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) 1. Person Reporting (last name, first, middle initial) Block, Frederic 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge 3. Da
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  .... Rev. 1/2011 ] FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010 Report Required by the Ethicsin Government Act of 1978 (5 U.S.C. app. §§ 101-111) 1. Person Reporting (last name, first, middle initial) Block, Frederic 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge 7. Chambers or Office Address 225 Cadman Plaza E. Eastern District Court of NYBrooklyn, NY 11201 2. Court or Organization U.S. District Court 3. Date of Report 05/04/2011 5a. Report Type (check appropriate type) ] Nomination, Date [] Initial[] Annual [] Final 5b. [] Amended Report 8. On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing OfficerDate 6. Reporting Period 01/01/2010 to 12/31/2010 IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on lastpage. I, POSITIONS. (Reporting individual only; seepp. 9-13 of f!ling instructions.) ~] NONE (No reportable positions.) POSITION 1. Officer NAME OF ORGANIZATION/ENTITY Frederic Block, P.C. 3. 4. 5. II. AGREEMENTS. (RepoSing indlviduul o.ly; se~ pp. 14-16 of filing instructions) ~] NONE (No reportable agreements.) DATE PARTIES AND TERMS Block, Frederic  FINANCIAL DISCLOSURE REPORT Page 2 of 10 Name of Person Reporting Block, Frederic Date of Report 05/04/2011 III. NON-INVESTMENT INCOME. (Reporting individual and spouse; seepp. 17-24 of filing instructions.) A. Filer’s Non-Investment Income ~] (No reportable income.) ONE non-investment DATE SOURCE AND TYPE 2. 3. 4. INCOME (yours, not spouse’s) B. Spouse’s Non-Investment Income - lf you were married during anyportion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) NONE (No reportable non-investment income.) DATE SOURCE AND TYPE 1. 2.3.4. IV. REIMBURSEMENTS -transportation, lodging, food, entertainment. (Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.) ~] (No reportable reimbursements.) ONE 2.3.4. 5. SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED  FINANCIAL DISCLOSURE REPORT Page 3 of 10 Name of Person Reporting Block, Frederic Date of Report 05/04/2011 V. GIFTS. ancludes those to sp ...... d dependent children; see pp. 28-31 of filing instructions.) NONE (No reportable gifts.) SOURCE 1. 2. 3.4.5. DESCRIPTION VALUE VI. LIABILITIES. aneludes those oyspouse und dependent children; see pp. 32-33 of filing instructions.) NONE (No reportable liabilities.) CREDITOR DESCRIPTION 1. 2. 3. 4. 5. VALUE CODE  FINANCIAL DISCLOSURE REPORT Page 4 of 10 Name of Person Reporting Block, Frederic Date of Report 05/04/2011 VII. INVESTMENTS and TRU STS - income, val.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.) NONE (No reportable income, assets, or transactions.) Description of Assets (including trust assets) exempt from prior disclosurereporting period:of reporting period (1) (2) (1) (2) (3) (4) (5) Value Value .... Type (e.g.,Date Value Gain Identity of Code 1 div.,rent~ Code 2 MEthod buy. sell. mm/dd/yyCode 2 Code 1 buyer/seller (A-I-Dor int.) (J-P) Cod~ 3: :redemption) (J-P) (A-H)(if private(Q-W)transaction) 2.3.4.5.6. 7. 8. 9. 10.11. 12. t3. BECTON DICKENSON CO A Dividend Sold 05/18/10 J A BLACKROCK NY MUNI INC(NAMECHANGE) BLACKROCK MUNIYIELD NY QLT(NAME CHANGE) COHEN & STEERS CLOSED END OPPTY FD EATON VANCE INS NY MUN C Dividend L TC Dividend L T A Dividend J T C Dividend L T Buy 05/21/10(add’l) J K CITIGROUP CAP. VIII DEF INT TRUST A PFD STK 6.950% 09/15/31EATON VANCE RISK MANGD DIVRS C EQ INC FD EATON VANCE TX-AD GL DIV A GLOBAL DIV INC FDEATON VANCE TAX DIV INC DIV INC C FD F1A CARD SERVICES NA A Interest DividendDividendDividend Interest K TK T J T Sold 09/10/10 J Sold01/05/10 K Buy 11/05/10 K Buy 01/08/10 K FRONTIER COMM CORP NUVEEN NY INV QUAL MUNINUVEEN NY PREF PLS MUNI A Dividend J C Dividend K C Dividend L TTT Spinoff 05/07/10 J (from line 21)Sold 11/02/10 K (part) A 14. NUVEEN NY QUAL tNC MUNI C Dividend L 15. NUVEEN NY SEL QUAL MUNI B Dividend K 16. P1MCO NY MUN 1NC FD B Dividend K 17. PRINCIPAL INVESTORS PRF SEC C FD A Dividend K TT T T Buy 05/21/10 Buy 09/15/10 KK 1. Income Gain C0des: A ~$L000 0r tess : B =$1;001 : $2,500 (See Columns BI and D4) F =$50,001 - $100,000 G =$] 00,00i - $1,000,0002. Value CodesJ =$15,000 or less K =$15;001 - $50;000 (See Columns C I and D3) . N =$250,001 - $500,000O =$500,001 - $1,000,000P3 =$25,000,001 - $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only)(See Column C2)U =Book ValueV =Other C =$2,501 - $5,000H 1 -$1 ;000,001 - $5,000,000 L =$50,001 - $100,000 P 1 =$1,000,001 - $5,000,000P4 =More than $50,000,000 S =AssessmentW =Estimated D -$5,001 -$15,000 H2 =More than $5,000,000 M=$100,001- $250,000 P2 =$5,000,001 - $25,000,000 T =Cash MarketE =$15,001- $50,000
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