An 1o

1/2010

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I

FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
2. Court or Organization USDC, S DNY 5a. Report Type (check appropriate type) [] Nomination, Date [] Annual [] Final

geport Required by the Ethics
(5 u.s.c, app. in Government Act o./’1978 ,~,~ lo14 n)
3. Date of Repo~ 05/11/2010 6. Reporting Period 01/01/2009 to 12/31/2009

I. Person Reporting (last name. first, middle inida~) DUFFY, KEVIN T. 4. Title (Article ffi judges indicate active or senior status; magisa’ate judges indicate full- or pro’t-time) U.S. DISTRICT JUDGE, Senior

[] Initial

5b. [] Amended Repor~ 7. Chambers or Office Address UNITED STATES DISTRICT COURT 500 PEARL STREET. ROOM 2540 NEW YORK, NY 10007 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

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

I. POSITIONS. ~Ro~,o~, i~u~
[~] NONE (No reportable positions.) POS|TI~N
1. 2. 3. 4. Director Emeritus

NAME OF 0RGANIZATION/ENTITY
Fordlmm Law Alumni Association

II. AGREEMENTS. (Reporting indivldualonly; seepp. 14-16of fding instructions.)
[~] NONE (No reportable agreements.)

":

DATE
I. .:

PARTIgS AND TERMS

"..
~.~-

2.

Duffy, Kevin T.

FINANCIAL DISCLOSURE REPORT Page 2 of 7

~me of Person Reporting

[ Date of Report

nuwv, mcvu~ T.

o5/11/201o

A. Flier’s Non-lnv~ent Income NONE ~o reportable non-investment income.) DATE
I. 2~9 2. 3. 4.

SO~CE A~ ~E
W~t ~oup -- RoyalU Paymen~

(yo~, not s~use’s)
$298.16

~COME

B. Spouse’s Non-lnve~ment Income - If you ~re m~ded during ~y po~ion of the re~i~ ye~, comptae th~ se~io~
(Doll~ amine not required ~ept for honored.)

NONE ~o reportable non-investment income.) ]9ATE SO~CE A~ ~E

2. 3. 4.

IV. REIMBURSEMENTS (Includes those to s~me and d~ent children: see pp. 23-27 of filing i~tmctlona.)

~

NONE ~o reportable reimbursements.) ~ ~
10/18/09 to I0~ 1/09

~
S~ Diego, California

~
~ucationa[ Pro~

~MS PAID OR PRO~gD
~dging, Fo~, T~v¢l

1.

G~e Ma~ Universi~ ~w & E~nomi~ ~ucational Sem~r

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 7

Name of Person Reporting

Date of Report

osn ~/:0~o [ ~u~n~, ~w~ ~.

~

NO~ ~o repoaable ~ DESCR~TION

1. 2. 3. 4. 5.

~

NONE ~o reportable liabiliti~.) ~ DESCR~ON VAL~ CODE

I.
2.

3.
4. 5.

Name of Person Reporting

Date of Report

PageFINANCIAL4 of 7 DISCLOSURE REPORT

rUFf, KEVIN T.

05/1 ln010

VII. IN VESTMENTS an d TRUSTS - ~. rot.e, t ..... ~,~ (I~clude~ those of spo .... d deptndtnt children; see pp. 34-60 of filing inrtruaion.~)
---] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Pla~ "(X)" after each asset exompt from prior dis¢lo~ur~ B. Income during reporting period Amount[ l (2) (l) Type (e.g., Code 1 (A-H) die., rent, or int.) C. Grass value at end of rq~orting period D. Transactions daring r~porting period

(1)
Value Code 2 (J-P)

(2)
Value Mc, thod Cudo3 (Q-W) T T T T T

(l)
Typ~ (e.g., buy, sell redemption)

(2) I Dale

(3)

(4)
(3 ain COde 1 [ (A-It)

(5)
ldentity of buyer!seller (if privat~ transaction)

Value mmidd/yy Code 2 i (I-P) i

I. 2. 3. 4. 5.

BP ML BANK UTS N1SOURCE ERICSON LM TEL ML BANK

B B A A A

Die Interest Dividend Dividend Dividend

K N J K K

6. 7.
8.

HEWLITI" PACKARD INTEL CORP.
PFIZER INC.

A B
B

Dividend Dividend
Dividend

K L
J

T T
T

9.
10. I I. 12. 13. 14.

HALLIBURTON COMPANY
COCA-COLA AT&T HONEYWELL INT. J P MORGANCHASE ZIMMER IIOLDiNGS

A
A A B A

Dividend
Dividend Dividend Dividend Dividend None

K
K J K K J

T
T T T T T

15.
16. 17.

BLACKROCK
YAIIOO TRAVELERS

C

Dividend
None

K
K J

T
T T

A

Dividend

I. Income Gain Codea: 2. Value Codea (See Columm CI and D3) 3. Vahm Method Cadet (See Coluran C2)

A "d;I.000 or less l =$15,000 or Igts H ~$250,001 - $500,000 1’3 =$25,000,001 - $50.000.000 Q =Apl~ralsal U =Book Value

B -$1,00l - $2,500 K-$15.001 - $50,000 O -$500,001 - $1,000,000 R ~ (Rzal Estate Onlyl V =Other

C =$2,501 - $5,000 L ~$50.001 - $100,000 PI =$1,000,001 - $5,000,000 P4 ~Mvct than $50,000.0~0 S ~Aase~ment W =Estimated

D =$5.001 - $I 5.000 M =$100,001 - $250.000 P2 -$5,000,~OI - S25,000,000 T =Cash Marktt

E -$ I 5,00 ] - $50.0~0

FINANCIAL DISCLOSURE REPORT

Page 5 of 7

I

Name of Per~oa Reporting

Date of Repor~

[ DU~W, K~WN r. VII. INVESTMENTS and TRUSTS - i.~o~,~ .,.I.., , ..... .io.s (lnclude~ those ~f sp ....... d depe~,nt children; s~ p~ 34-60 of ~g instruction)
NO~ (No reportable income, assets, or tra~actions.)
A. D~criptivn of As~ (i~l~ing ~t ~) PI~e ~(~ a~er e~h ~et exempt flora ptor &~l~e B. Income d~g reining ~ C. Gro~ ~lue at end ofr~aing D. T~c6ons d~ng ~po~ing period

0)
Amo~t C~e 1 (A-H)

(2)
T~ (e.g., ~v., ~n~ or int)

(~)
Value C~e 2 (J-P)

(2)
Value Me~ C~e 3

(1)
~ (~g., buy, ~I1, redemption) ~

(2)
Date

(3)
Val~ Code 2 (J-P)

(4)
Ga~ Code 1 (A-H)

(5)
Idcnl[~ buyer/seller (if p~v~e

(Q-W)
18. Citi Group Inc. A Divide~ J T

19.

Merck & Co. Inc.

A

Di~de~ None

K

T

20. 21.

~ & Co. S~IDES (Jet Blue) VER1ZON COMM~ICATIONS

J

T

B

Dividend h~rest

K K

T

22.

BAKERY PA~CI~

A

T

23.

CO~ING INC.

A

Divide~ Int~est

J

T Sold 07/08/09~

24.

NATIONAL GRID (fo~erly Keysp~)

A

K

T

L

25.

EATON VANCE

A

Di~de~

K

T

26. 27.

SLM S~DENT LOAN TRUST 20

D

lntcr~t Rent

L N

T W Renal 05/01~9 J

Renal ~opc~, Suffolk Cowry, New York D

I. Income Gain Cod~s:

A -$1,000

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.
NONE

FINANCIAL DISCLOSURE REPORT Page 7 of 7 IX. CERTIFICATION.

Name of Person Reporting

Da,eofReport

I

DUFFY, KEVIN T.

o5/~ ~/2010

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

Si

NOTE: ANY INDIVIDUAL ~,VHO KNOWINGL~ AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

L

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