l

AO lO Rev. ;/:010

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

2. Court or Organization U.S. District Court - N-South : 5~. Report Type (check appropriate type) [[--] Nomination, [] Initial Date [] Annual [] Final

Re~ort Required by the ,Elhics

in Government Act of 1978

(J u.s.c, app. 101-111)

3. Dole of Report 07/22/2010 6. Reporting Period 01/01/2009 to 12/31/2009

I. Person Reporting (last name, first, middle initial) Hellerstein, Alvin K. 4. Title (Article III judges indicate active or senior status; magistrate judges indlc~te full- or pa~t-time) U.S. District Judge(Active)

7. Chnmber~ or Office Address United S~atcs District Court 500 Pearl Street - Room 1050 New York, New York t0007

Sb. [] Amended Report 8. On the basis of the information contained In thi~ Report and any modifications pertaining thereto, it is, in my opinion, ia compliance with applicable laws and regulation$. Reviewing Officer Date

131POR TANT NO TES: The instructions accompanying this form must be followed Complete all parts,
checking the NONE box for each part where you have no reportable informatio~ Sign on iastpage.

I. POSITIONS. CReporan~ Individual only; see lap, 9-1J of falng instrucllo~,)

~-] NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY

NONE ~o reportable agreements.)

N
111196

PARTI~S AND TE~

Stro~k & Stm~k & L~van LLP, foyer taw fi~ (Pension Plan for retired pa~ne~)(N~ C~ntr~l)

2. I/1/89 3. 111/84

Stroock & Stroock & Lavan Retirement Plan (management of firms IRA and 401K plans)(No Control) Stroock & Stroock & Lavan Investment Partnership (No Control)

Hellerstein, Alvin K.

FINANCIAL DISCLOSURE REPORT Page 2 of 8

Name of Person Reporting

Date olRcpor~

07/.,z2010 [ Hllersteln, Alvin K,

III. NON-INVESTMENT INCOME. (Repor6ngindividualandspou$txeepp. 17-24offitinginstructtons.)

A. Fliers Non-Investment Income NONE (No reportable non-investraent income.) DATE
1. 2009 2. 3. 4.

SOI.IRCE AND TYPE

Pension from former law firm

INCOME
(yours, not spouses) $430,468.00

B. Spouses Non-Investment Income - tf yo~ ~r, married during anypor~ion of th~ reporting year, compl~t~ this section.
(Dollar amount not required rcept for honoraria.)

[~

NONE (No reportable non-investment income.) D___ATE SOURCE AND TYPE

I.

3. 4.

IV. REIMBURSEMENTS - t~.~on~,~o~. ~od~.~,/oo~ o.~,~.~.,.,.(Includes those to spo~e a~ dep~ent chd&en; see pp. 2J-27 of filing i~t~ctio~.)

NONE (No reportable reimbursements.) SOURCE

1,
2. 3. 4. 5.

LOCATION

PU~OSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 3 of 8

S.m~ of V,-~o,, n~po~a.g

Hellerstein, Alvin K.,

o,t, or R,~t
0712212010

[~]

NONE (No reportable gifts.) SOURCE DESCRIPTION VAL~E

1. 2.

3.
4. 5.

VI. LIABILITIES. ana,.u, ~ho,, of ,po~,, .,d depende~ children; see p~ 32-33 of fding ~truction~) ~ NONE ~o reportable liabilities.) ~REDITOR
I. 2. Chase Mortgage Co~. Mo~gage, condomini~

DESCRIPTION

VALU~ CODE
K

3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 8

NamentPer,on Reporting

DateelReport

Heilersteln, Alvin K.

07/22/2010

VII. INVESTMENTS and TRUSTS - i .... ,. value, tranSactions (Includts those of spouse anddeptndent childrtn; seepp, 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including tat,st assets) Place "(X}" after each asset exempt from prior disclosure B. Income during reporting period (0 {~) Amount Type (e.g., Code I div., rent, (A-It) orint.} C. Gross value at end of reporting period CO (~) Value Value Code 2 Method (.l.P) Code 3 (Q-W) PI W D. Transactions during reporting period ! (1) Type (e.g., buy, sell, redemption) {~) Da~e mm/dd/yy (3) I (4) Value ~ Gain Code 2 i Code I (JP) i (A-H) [ ~s) Identity of buyer!seller (if private transaction)

I.

New York City Condominium

Rent

2. 3.
4.. 5. 6. 7. 8. 9. 10.

J P Morgan!Chase Franklin Templeton Mut. Qusl. Fund (IRA)

Dreyfus Money Market Funds (Spouse) Stroock & Stroock & Lavan Retirement Plat: (See fn. I) - I shares Barclays Agg. Bond Fund - Alliance Bemstein Equity Fund (See fa. 2) - Thornburg Inv. Mgmt. (See fn. 2) - Turner Inv. Panners Fund (See fn. 2) - C.S. McKee, L.P. (See fn. 2)

A C
A

Interest Dividend
Interest

M M
K PI

T T
T T

I 1. - Brandes Inv. Part. Fund (See fn. 2) 12. 13. 14. 15. 16. - Westfield Capital Mgmt. (See fn. 2) - TimcSquare Cap. Mgmt. (See fn. 2) - Macquarie Allegiance Cap. Fund (See fn. 2) - Cromer Rosenthal McGlynn (see fn. 5) S&S&L Investment Partnerships (See fn. 3) A Dividend J T

17.

-Warburg Pincus Funds

t, lncon~ G~in Coach:

A "~ !,0OO o less

B -$ I,[~1 - $2,500

C =~2.501 -$5.~

D -$5.~1 - ~15.~

E =$15.~1 - $~,~

3. Value Mct~ C~

Q -Ap~l

R ~o~ (~ ~a~ Only)

S =~smenl

T ~h M~k~

Name of Person Reportln[

Date of Report

PagvFINANCIAL5 of 8 DISCLOSURE REPORT ] tlellersteln, Alvin K. V II. INVESTMENTS and TRUSTS - z=0,,,,. ~t,,. transactions (Include, those o/$po .... d dependent children; $el~tx 34-60 offiling inStructions.)
NONE (No reportable income, assets, or transactions.) A. Description of Assets (including trust assets) Place "(X)" after each asset :xempt from prior disclosure B. Income during reporting period (I) ! (2) Amount Type (e.g., Code I div., rent, (A-H) or ira.) C. Gross value at mad of reponlng period O) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) 14) Date Value Gain nun/dd!yy Code 2 Code 1 (J-P) (A-H)

07/2-2/2010

(9 Identity of buyer/seller
(if pdvat

transaction)

18. 19.

- Lo*b Partners Investments State oflsrael Bonds A Interest J T

20.
21. 22. 23. 24. 25. 26. 27. 28. 29.

Gilead Sciences Inc.

Regeneron Pharmaceutical Coventry Health Care Inc. Citibank BankDep. Northwestern Mutual (Life Ins.) (See Footnote 4) Gold Fields Ltd. I Shares TR MSCI EAFE Index Fund I Shares Russell 1000 Value Fd i Shares Russell 1000 Growth Fd. I Shares Russell 1000 Index Fd. A B B B B A

None
None None Interest

L
J J L

T
T T T

Dividend Dividend Dividend Dividend Dividend

J L L L L

T T T T T

30. 31. 32. 33. 34.

I Shares Russell 2000 Value Fd. I Shares Russell 2000 Growth Fd. l Shares Trust US FinSvc Newmont Mining Corp. Skillso ft PLC ADR

A A A A

Dividend Dividend Dividend Dividend Nc ne

K K K J

T T T T Donated 12129/09 J

Name of Person Reporting

Date a f Report [

PageFINANCIAL6 of 8 DISCLOSURE REPORT I Hellerstein, Alvin K. VII. INVESTMENTS and TRUSTS -

I
D. Transaclions daring reporting period

07/2T201

N ONE (No reportable income, assets, or transactions0

A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period C. Gross value at end of reporting period

(1) ! (2)
Amount i Type (e.g., Code I i div, rent, (A-H) or int.)

Ci)
Value Code 2 (J-P)

(2)
Value Method Code 3 (Q-W)

(l)
Type (e.g.. buy, sell, redemption)

(2)
Dat~ mm/dd/yy

(3)
Value Code 2 (J-P)

(4)
Gain Code 1 (A-H)

(5)
Identity of buyer/seller (if pdvate tr~saction)

35.

Vanguard Emergency MktsETF (See

Dividend

1~ Colum~ ~)

O ~B~ Value

V ~t~r

W =~i~d

Name of Person Reporting

Dnte of Report

Pag~FI~ANCIAL7 o~ 8 DISCLOSURE REPORT

Heilerstein, Al~n K.

07/22/2010

VIH. ADDITIONAL INFO~TION OR EXPLANATIONS.

Footnote I - ResulLs of investments, inclusive of realized and unrealized gains and losses and dividends and distributions, are reported to me quarterly and for year end. A separate figure for dividends was not reported m me. No gain or loss is reported, since the investment qualifies as an IRM401-K. No redemptions were made during 2009. Footnote 2 -- During the first quarter of calendar year 2009, investments for my account in Lehman I Shares Bond Fund ,*ere closed and all funds ,~,erc rolled over into I Shares Barcl~,ys Agg. Bond Fund. Other changes reflect name changes or corrections. Footnote 3 -- Various of the entities in which S&S&L Investment Partnership invested ,*ere sold on various dates during 2009. "lhe gains and losses are reported at the end of the year in KI reports. The identities ofbuyers and sellers ate not given. Footnote 4 -- Cash value and dividends ar~ applied to premiums, resulting in paid-up life insurance, payable on the second to die between ~md me. Hence, the policy does not pay dividends, and has no gross value. Footnote 5 -- In April 2008, funds from other managed accounts were rolled over to be m~aged by Cramer Rosenthal McGlynn, and continued so to be managed throughout 2009. Inadvertently, my listing of managed accounts for the 2008 year did not include Cramer Rosenthal McGlynn.

FINANCIAL DISCLOSURE REPORT

N .... f Per,on Reporting Hellerstein, Alvin K.

Date ot Report

Page 8 of 8
IX. CERTIFICATION.

07/22/2010

I certify that all information given above (including Information pertaining to my spouse and minor or dependent children, if any) accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld beeau~elt 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.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULL3 AND CRIMINAL SANCTIONS (5 U.S.C. app. 1O4)

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