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FINANCIAL DISCLOSURE REPORT [

FOR CALENDAR YEAR 2009
3. Court or Organization U S. District Court, EDNY 5s. Repurt r)pe (check appropriate ~pc) ~ Nomir~afion. Da~e

Report Reqmred by the Ethics

in Gov,.rnment Act of l978

1. P~rson Reporting ;hsI r,~mc, fi.-sl, middle ~nhial) Amon, Carol B. 4. qitle (Aaiclc 111 ~udges indicate active or senior sta~s: magismatejudges indicate ~H- or pa~-timel

3. Dal~ of Ecporl

6. Reporling Period 01;01;2009 1, .~ ~,-00.

i Sb. :] A ..... tedRep~ modifications pertaining thereto. II is, in my opimon. In omplianc~ mith applicable lows and regulations. Reviewing Offic~r~

225 Cadtnan P:.aza Easl Room 9,395 Brooklyn, New York 1~201 "

1MPORTANT t~OTES: rl, e instructions accompanying this form must be followed. Complete alt parts,
checking the NONE boxJbr each part where you have no reportable in~brmation. Sign on la~tpage.

1. POSITIONS. m,,,,,,,i,; indi~id,,al o,,~v; ~e~pt,. 9-13 ,~ff!li,,g

~ NONE (No reportablepositions.) " POSITION
I.

NAME OF ORGANIZATIONiENTITY

N ONE ~v reportable agreemen~ ) DATE PARTI~S AN~ T~RMS

Amon, Carol B.

FINANCIAL DISCLOSURE REPORT Page 2 of 8

~ ....

fP .....Reporting

Amon, CarolB.

A. Filers Non-Investment Income NONE (No reportable non-investment income.) DATE 2009 SOURCE A~ TYPE ~OM~ ~ours. nor $16,000.00

Brooklyn Law School - Teachin~

B. Spouses Non-Investment Income - tf ~.o,, ,~,r, married d,,ri,,g any p,,rri,,n ,,frt, e report,,,g y*,*r, coml,hte this ~ NONE (;Vo reportable non.investment income..) DAT._~_~ ! 2,")0q SOURCE AND TYPE Self-Employed Attorney - Law Partnership Distribution

IV. REIMBURSEMENTS .......

,~, ..... io.. ~oegi.~, /,,od. .......i

: NONE (i\"o reportable remlbw~ement.,..) SOURCE

I

DATES

LOCATION
Malibu, California

P~POSE
Lecturer

ITEMS PAID OR PROVIDED

Transao~tatioe. lodging and

Pcpper~ine University School March 18 - 22, 200a ~fLa~

FINANCIAL DISCLOSURE REPORT Page 3 of 8

~ ...... rP ...... R~po.,~o~

.~mon, Carol B.

I D.,,o,.,por, 05/1512010 i

~_~

NONE (No reportable gifts.) ~ DESCRIPTION VAL

I. 2, 3. 4. 5.

VI. LIABILITIES. (Includes tl .... ef ~ ....... d depend ..... h,ldren; see ~p. 32-J3 oyyiling ira ..... ion~.t
NONE (Vo reportable liabdiries.) CREDITOR DESCRIPTION VALUE CODE

2.

3.
4. 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 8

,~ .... fP ..... Reporting

Dale t:,faepo|t

A.,o., C.ro~

N~NE (No reportable income, assets, or transactions.) A De3cr:pti~n of Aaset~ (mcludlng Pi;~ce "(X)" ~fger each asset exempt lrom prmr d~sclosure B Income ~urmg C Gross value at cad Value Code 2 Value Method
(Q-W)

D
T~nsac:tons during re~omn~ p,:~od

~ Am,)m~( : , Code I

Type (e g, div, rent.

Type {cg, buy. roll,

Date Value m~,d~ )~ Code 2 transac~ton)

Gain C~de [

Idcnti~ of buyer/seller

~
3. 4. i 5. ,6. 7.

IK~ Accts Cflibank, Bklyn,NY F ide li~Ad DynamicCap~tatAppFud Law Partnership Ca3.Acct Thomas G. Amon Pension Plan Thomas G. Amon Pr~hrPlan Cifihank N.A., Money Market Fidelit)ContraFund II Fidelity h~dependenceFund Dynamics FD Class B (Name change !n,esco/Aim Fieelity Ad Eeuip,., Growth

Dividend Norse

K M J J M J J J K J J J N1 J

T T T T T T T T T "1" T -I r T

A A B A A A A A A A [! ~k

Interest interest lr.tercst Dividend Di,,idend Dividend Dividend Dividend Dividend Dividend Dividend lnteresl

!|)

Fideiity Ad. Tech Fund

I I Legg Mason Partners Fi~ancial Services Fund 13 !2 I 3. 14 kegg Mason Partners Large CapVaiue Fm~d B NIF5 ModerJle Allocation Chase Se!eel Checking Four Vvinds Inv. LLC 16 Ur, iphyd, h,c. (Y) [ 7 Biodeisel Mnerica, Inc. (Y)

I
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FINANCIAL DISCLOSURE REPORT

.~ .... fP ..... Reporlin~

Da,e of Repo,t

Page 5 of 8

,\mo,~. c~ro~ B.

,~!~5,20~o

VII. INVESTMENTS and TRUSS -- ~ ......... t ............. ~o,,. ~.ct.a~ ,~o~o o.~ ....... ~ a.p..d,., ~,,~,~,~ ,,~ ~. ~-~o o/t~i,,~ i ............. ~
N~NE ~%o reportable income, assets, or tran~~zctions.)
.A D,z~~pt~en of A~ts finc.udmg ~ust ~sets) P~acc ~X~" after ac~ asset exempt ffem prior disclosure B Income during :cp,J~ing period Amo~n~ C~e I : (A-If) ~ [ypc te.g, ~v, rent. or ira.) C. (]ros~ ~ai,ae at end cf reporting pefod Value Code 2 (J-P) Value Me~h~)d Code 3 [Q.W) "i,..~e (e.g.. buy. sell, redempliun) D. T~nsaetions during repo~h~g pedod

I Date ~ V~lu I Gain m~d~. ~ Code 2 [ Code [ [J-P) ~ ;A-tl) i I i

lder.n(y of baye~,~eller [ifpmare Iransacuon)

18. ~ 19. ~ 20.

Encore Ne~vu~ks, [T~. (See V1 ) Webcasting TV, lr~e. (Y) Rental Property - Newporl, V See V!II)

None

~ B D Rent Imerest N J W T See VIII

:: 21.

Equitable Va~ble Life Policy Alpha h~ll Holdings Inc. (Y)

23. Vill)Ake~ative Construction Tech. Inc. {See 24. Rental Prope~ Newport. Vt. (See VIII)

None None

~ M

T R

25.
2(:,

Cranston 11, LLC (See V I)

Aim Technology FD A

Nor.e
Dividend

27 2~.
29.

Acceler,~Ied BuilJing Concepts Corp (See v~II) tY) LIFP. lnc (3)
Son~cMotmtains Inc None N U

3[. 32. 33 34.

CitlBank LD Jol~nson & Johnson stock Paws Plus, h~c. (.flee VIII)

A a,

Inlerest Dividend

J J

T T

None ,x. me

Buy

09115/09

Thon~p~on Creek Nte.ais

Buy

06/22109

FINANCIAL DISCLOSURE REPORT

~ ..... r~ ..... R~po,,i,,~

D~,, o, Repor,

Page 6 of 8

amo.,C~ol B.

0~/l_~,:010

/I

]
V] I. 1 N VESTMENTS an d TRUSTS - , .......... t ........... ;,,,, tI, cl~,le, a,,,,e 4sl,o,,,~ a,d depend .... I, ild,en; ,,e ,,p. 34-60 o[f!li,,g .......... ion,.)
NONE (No reportable income, asseLL or transactions.)
A l B. C. i O

exempt trom prmr d~sclosa~e

Code I : (A-H)

div.. rent. or int.)

Co,le 2 (~-P~

Method C~ti t

bay. sell. rcdcmp:mnj

: m~d&yy Code 2 . (J )

Code I ,A-H i

euyerlseHcr (ll pn~ate

:, 35. { 36 37 38. 3). 411. ! :I !.

Thompson Creek Me~als Novartis ~var~is Th,..mps~m Cret:k blelals Thcmpson Creek Metals gm:~ana Gold Ym?,ana Gold

None None None None None Nnne None

Sold Buy Sold Buy &.~ld [~uy Sold

07/t6/09 07/24/~9 09/29z09 I 0,02/fl9 11123109 I 1t30/09 12.02/09

J I J J J J J

Name of Person Reporting

PageFINANCIAL7 of 8 DISCLOSURE REPORT

|

I ,~mo., Cam= B.

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Re: Part VH Iten~ 18 - Market value of vested ~ptions less exercise pnLce or, 12/31/09. [ten, 20 -Rentai prope~ty iocatcd in Ci_w of Newport. Chittendor, County, Veru~oni h~herited by ~1 in 199,1. Value at date acquued - $21D,000. iten~ 23 - Full description - A!ternative COtZSl~lc[Jo~ rech, [no, FiK/A Altc~z~live Cons~ction Co, Inc. (Rcsl~cled Sleek) hem 24 - Rental property located in Cib ,afNewport, Chittendon Counb, Vem~ont acquired by ~]on Senlember 5.2f}115 Purchase pffce - $220.000. llem 25 - Inlerest i~: Cranston I1, LLC is owned through Denmark :danagemenl. LLC. llem 27 - Full desc~ption - Accelerated Building Concepts Corp., F,:~"A New Centue/Slmclures. Inc. (Restocked Stock). llem 30 - Nlalket value of vested options less exercise price at 1213 i;09 l~cm 33 - Market v~t~e of vested cp~ions less exercise price at 12/3 ./09

FINANCIAL DISCLOSURE REPORT Page 8 or" 8 IX. CERTIFICATION.

Amon, Carol B.

05/15/2010

I certify that all information given above [including information pertaining to my sponse and minor or depentlent children, if any) is accurate, true, and c~mptete to the besl of my knowledge and belief, and Ihat any information not reported was withheld because i! met applicable stalutory provisions permitting non-disclosure. I further certify that earned income from outside employmenl and honoraria aud the acceplance of gifts which have becu rq~.rl~d ate in compliance with the provisinus off U.S.C. app. 501 el. seq., 5 U.S.C. 7353, anti Judicial Conference regulations.

Signature__]

__

NOTE: ANY INDIVIDUAL ~A.lIO KNO\VINGLY AND ~AILFULL" FALSIFIES OR FALLS TO Fll.E TIllS REPORT MAY BE SUBJECT TO CIVIL AND CRI~IINAL SANCTIONS (5 U.S.C. app. 104)

FI LiNG FNSTRUCTIONS Mail sig~aed eriginal and 3 additiona! c{~pies m: Committ~:e o~a Financiai Disciosure Adminisl:ativc Or-rice of the United Slates Courts Suite 2G01 One Columl~us Circle, N.E. Washington, D C. 205d4