You are on page 1of 17

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FLNANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 21109


7. Court or Organization S.D.N.Y. 5a. Report Type (check appropriate type) [] Nomination, [] Initial Date [] Annual [] Final

R,portin GovernmentRequiredActb 15 u.s.c, app. lO1.111)


3. Date of Report 07/08/2010 i 6. Reporting Period 01/01/2~g99 to 12/31/2009

I. Person Reporting (last name, first, middle initial) Castel, P .Kevin 4. Title (Article 111 judges indicate active or senior status; magistra:e judges indicale full- or part-time) U.S. District Jadge (active)

7. Chambers or Office Address United States Courthouse 500 Pearl Street Ne;v York, NY I ~007

5b. [] Amended Report 8. On the basis of the Information contaloed 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 the NONE box for each part where you have no reportable infarmatiot~ Sign on last page.

NONE ~o reportable positions.) POSITION NAME OF ORGANIZATION~ITY


St. Johns School of Law, Alumni Association (~compensated) Federal Bar Council (uncompensa~d) Havens Relief Fund Socie~ (~compen~t~) N~ Sch~l of Law (compen~/ed; ~mmencln~l/I/10)

1. 2. 3. 4.

Director (ex o~cio ~ fo~ pr~ident) T~tee (ex officio ~ fo~er president) Bo~d of Manage~ Adj~ct ProFessor

II. AG~EMENTS. ~,po~i,g indiv~ual m,&; s<e pp. 14-16 oifillng i~truct~n,.)
~ NONE (No reportable agreements.) ~AT[
1. 10/27t03

f~-I

PARTIES A~
Cahill Goraon ~ R:indel LLP a~eement in connection wiOl with~awal ~om ~. (~opy of agreement filed with 2006 FDR and those ofpfor years.)

Castel, P. Kevin

FINANCIAL DISCLOSURE REPORT Page 2 of 1 7

]r~ .... fP .... Reporting | ] C~stel, P .Kevln 07/08/2010

III. NON-II~ESTMENT INCOME. ~e~o.i.g individual and spouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income NONE (No reportable non-investment income.) DATE
1. 2.

SOURCE AND TYPE


(:ours, not spouses)

3.

4.

B. Spouses Non-Investment Income - If you were married during any ponion of the reporting year, complete this section
(Dollar amount hal required excepl for honoraria.)

[]

N~-~iE (No reportable non-investment income0 ..................................... DATE SOURCE AND TYPE

I. 2.

3. 4.

IV. REIMBURSEMENTS - +,.nsvo,+.t+o~, +oa++~z,/oo~. +.~e,t.i.~+~t


(Includes those to spouse and dependent children; ,~ee pp, 25-27 of filing instructio~.)

NONE (No reportable reimbursements)


SOURCE I. 2. 3. 4. 5. DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT J Castel, P .Kevln

Page 3 of 17
V. GIFTS. aneW, des tho,o to n,o.se .nd ~epe.dent childrent see pp. 28-31 o]fdlnz instructions.) NONE (No reportable gifts.)
SOURCE
I.

07/08/?.010

DESCRIPTION

VALUIi

VI. L IABIL ITIES. ante,do, ,hos~ of spouse and dependent children; see pp. 32-33 of fding instructions.)
NONE (No reportable liabilities.) CREDITOR
1.

DESCRIPTION

VALUE CODE

Name FINANCIAL DISCLOSURE REPORT [ C~stel, of Person Reporting

Page 4 of 1 7
VII. ~ESTMENTS and TRUSTS _ i~o~,

07/08/2010

NONE ~o reportable income, assets, or tra~actions.)


Description of Assets ~including trust ass~) Plme"(X)"afler~ch~set exempt from prior disc/os~ In~m d~h~g ] ~po~ing period [AmountI T~(e.g., ~ Code I div., ren~ " (A-rl) orint.) ~ , A A D D C D Dividend Dividend Dividend Dividend Dividend Dividend G~oss valu~ at end ofrcpo~ng period Value Code 2 (J-P) Value Metht~ Code3 (Q-W) T T T T "F T [ Transac k,~s during rc~ing period

Ty~(e.g., buy, sell, r~emption~

Date Value I Gain [ mm/ddyy C~e 2 ~ Code I ] ~ (J-P) (A-tO~

ldenti~of buys/seller (if private trmsaction)

1. 2. 3. ,4.

Brk Act #1 Fideli~ World,de ~FX] Brk Act #1 Fidelity Capital Apprecn Mutual Fd [FDC/LX] Brk Act #I Fidelity Cash Reserves [FDRXX Brk Act #1 Fidelity Asset Manager Mutual Fd [FASGX] Brk Act #1 Fidelity Aggressive Growlh Mutual Fd [FAMR:X] ................ Brk Act #1 Fidelity Balanced [FBALX]

M N P1 N N N

5. 6.

7.
8. 9. 10. I. 12. 13. 14. 5. 16. 17.

Fidelity Export & Multinatl ITEXPX]


Brk Act #2 First Eagle Overseas Fund Class A Brk Act #2 LM [SB] Appreciation Fd CL Mean vl~r) Brk Act #2 LM [SB] Large Cap Grwlh FD CL A Brk Act #2 Wstrn Asset NY Muni Money Mkt Fd CL A Brk Act 02 Wstm Asset Money Market Fd CL A Brk Act #2 Citi Inst Reserves Tax Free Brk Act #2 Uts Nuveen TE Lrl" TR #61 M NY INSD $61 (Part VIII) BrkAct #2VFH Brk Act #2 SCD Brk Act #2NYST AU LOC HGHWY&BRIDGE 5/09

A
A C

Dividend
Dividend Dividend None

L
K M M N L M J J M M

T
T T T T T T T T T T Buy Buy Redeemed 02,03/09 K 01/06/09 L 01/05/09* L

A A A A A D C

Interest Interest Dividend Dividend Dividend Dividend Interest

(part)

1. Income Gain Codes:

A =$1.000 of les~

B =$I.001 - $2,500

C ~$2,501 - $5,000

D -$5,001 - $15,~

E =$15,001 - $~0,000

P3 -$2S,0~,001 . $50,000,~ (~ Column ~) U -B~k Val~ V =O~er

P4 :More th~ $50.~0,000 W =Eslimatcd

FINANCIAL DISCLOSURE REPORT

I Name of Person Reporting

DatenfRepart

Page 5 of 1 7

Caste,, ,.~:e,~n

07/0~n010

VII. INVESTMENTS and TRUSTS - i.com,, .a~, t ..... ctions (Include those of spouse and dependent children; seepp. 34-60 of filing instructions.)
[] NONE (No reportable income, assets, or transactions.)

A.
Description of Assets (including trust assets)

B.
Income during reporting period Amount

I,. Gross value at end of reporling period

C.

D.
Transactions during r~porting I~riod

exempt U,~,rn r, a,,,,ti~ .....


i 18. 19. 20. 121, Brk Act #2 NYS Dorm Au Revs New Island Hosp 5.2/09 BrkAct#2 NYNY SER J4.625/10 Brk Act#2 NYC G/O Set G 3.125110 [4/I0] Brk Act #2 Nassau Co Set C 5.25/10

Place "tX)" after each ~set

Co,~el

Type (e.g., or int.)

I(AII)[ I D B C C

di ........ t.

Code: IMe~hoa (J-P, . Code3

Value

[ Value

Type (e.g.,

~,.,y.a,:I~,

Date (O-W) t i

Im~da~.lCo~e" Co~e~ I buye,/selle,"


I(J-p) I (AtI, i J

Value | Gain

Identity of

redemptin)

transaction) (if pr

Interest Interest Interest Interest Interest Interest

T Redeemed 08/04/09 K A

M M L M

T T T T

22. 23.

Brk Act #2 NYS Dom~ AU Staten lsl LI B tlosp 4~9/10 ......................................................... Brk Act #2 NYC G/O SER C 4.375/11 C

24.
25. , 26. 27. 28. 29. 30. 31. 32. 33. 34.

Brk Act #2 NYS ENV FACS 5/11


Brk Act #2 NYNY Ser F 5.125/11 Brk Act #2 NYC Transitional Auth 4.6111 Brk Act # 2 Eire Cnty NY Pub Impt Ser A 5/11 (Part VIII) Brk Act #2 NY NY Set J 4/12 Brk Act #2 NYS D0rm Auth City Univ 5.75/12 (/09) Brk Act ;#2 NYC G/O Set 11 5.25/13 (/09) Brk Act If2 NY NY Set J FGIC-TCRS 5.35112 Brk Act #2 NYS Dorm Auth Upstate Cnmm Coil Rev B 5/13 [/10] Brk Act #2 NY NY RFDG Set B-FGIC TCRS 5.75/13 Brk Act ;#2 Medina NY Cent Sc Dist 4.75/13

A
B A B C C A A B C B

Interest
Interest Interest Interest Interest Interest lntcrcst Interest Interest Interest Interest

K
K

T
T Redeemed 03/18/09 K A

K M

T T Redeemed 07/09/09 L A

T Redeemed 03/16/09 K A

L L K

T T T

1. I acome G~in Codes: (See Columns B I and IM) 2. Value Codes (See Co[unms C I and D3) I 3. Value Method Codes (See Column C2)

A =$1,000 or less F ~$50,001 - $100,000 .I =515,0~30 or l~s N ~$250,001 - $500,000 P3 =52S,00~,0OI - $50.000,000 Q =Appraisal U ~Book Value

B =$1,001 - $2,500 G =$100.001 - $1.000,000 K =$15,001 - 550,000 O =$500,001 - $1,000.000 R ~Cost (Real Estate Only} V =Other

C =52,501 - $5,000 Ill -$1,000.00l - $5,000,000 L =550.0~1 - $100,000 P I =51.000,001 - $5,000,000 P4 =More than $50,000,000 S -Assessmev.t W ~Es:imated

D =55,001 - $15,000 H2 =More than $5,000,000 M =5100,001 - 5250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E -$15,001 - 550,0OO

FINANCIAL DISCLOSURE REPORT

] N .... fPeraon Reporting

Da,e ~f Report

Page 6 of 17 } Castel, P .Kevtn


NONE ~o reportable income, assets, or transactions.)
DescripOoa of Asse~ ; Income d~ag rc~ing peri~ T~e(e.g., di., renk or ~t.) , Gross value at end of re~ing pefi~ Value C~e2 (JP} [ Value Method ! Code 3 ~ T~(e.g., buy, selI, ~demption) T~saction$ during re~aing ~riod

07/0q/2010

Place"~"a~er~ch~set exempt from prior disclos~

Amour CMel (A-If)

Gain /Date [ Value Imm/db~ / Code2 ~t~ , ._, / ~ (J-P)

ldc~ti~of buy, dseller (if private

35. 36. 37. 38. 39. 40. 41. ~2. 43. 44. 45. 46. 47. : 48. 49. 50.

Brk Act #2 NYS Do~ AU ~DG SECD HOSP ~DT~ 5.2/014 Brk Act #2 ~S Do~ AU Revs ~ird Gen Res 5.25/13 Brk Act #2 ~S Do~ AU Revs Lufl~erem Med 5/I 3 Brk Act g2 NYC GO Set J 4/13 Brk Act #2 Buffalo ~ Set B 5.375/13 [12] Brk Act #2 Nassau Cry IFA Set A 5/13 Brk Act #2 NYC GO Sex A 4/13 Brk Act #2 Camden NY Cent SCh DIST SER A 4.5/14 Brk Act #2NYC MUN WTR FIN 00/14 Brk Act #2 NYS DORM AU Iona Coil 4.3/14 Brk Act #2 NYC Ser J 5.25114 (/09) Brk Act #2 Sharon Springs MunWtr 4.8/14 Brk Act #2 NYS Dorm Au Colgate 4.625/14 Brk Act #2 NYC Sex A G/O 4.3/14 Brk Act #2 NYS Dorm Au Lease Rev Mun Hlth 5.5/14 Brk Act #2 Buffalo NY Gen lmpSer A 4.7/14 [11]

C C C C B B C /3 A B A 13 B C B C B

Interest Int~est Interest Interest Inte~st Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest

L L L M K K M L

T T T T T T T T Redeemed

I12/15/09 K
05tl5109 K

T Redeemed A

K K L K M K

T T T T T T

51. Brk Act #2 NYC GO Ser 1 4.5114[13]

I. Income Gain Codes:

A -$1.000 or less

B -$1,001 - $2,500

C -$2,501 $5,000

D -$5,0~1 - $15,000

E =$I 5,001 - $50,~

(~e Cotu~s CI ~d D3)

N ~250,001 - $5~,~ P3 ~$25,~.~1 - $50,000,0~

O -$5~,001 - $1,~.000

PI "$1 ,~0,~1 - $5,0~,0~ P4 ~Mo~e t~ $50.000,000

P2 ~$5.~,001 - $25,0~,000

FINANCIAL DISCLOSURE REPORT I Name of|~rson Page 7 of 17 c~fe~, P.~:e,~


VII. INVESTMENTS and TRUSTS _ i
NO~ ~ro reportable income, ~sets, or tratuactions.)
A. D~cfiption of Assels (including trust ~sem) Piaee"(X)" after ~ch ~t ex~pt~om prior disclos~e B, Income d~ng ~ repoaing p~od (2) IAmount ~ (~.g. [ C~e 1 div.,rent, orinL) ~ (A-~ = C C B C Interest In.rest Interest Interest ~ C. Gross value at end of reporting pefi~ (1) ~ (2) Va~u~ / Value Code 2 / Me~od (J-P) ~: Code3 : (Q-~3 M M K T T T Redeemed 04/01/09 M A ~ ~, (I) T~ (e.g., buy,~ll, ~ ~emption) I D. T~nsaction~ during ~poning period (2) (3) (4) Date Value [ Gain mt~d~w . " ~ Code 1 ~ (A-H)

o7/t.8/~01o

(5) Id. nti~ of I,tl~ or/seller (il private tzar,~action)

52. 53. 54. 55.

Brk Act #2 West Seneca Cent Sch 4.125/14 BrkAct #2 NYC GO ~r G 4/14 Brk Act #2 No Babylon Sch Dt 5.25/15 Brk Act #2 NYS TWY AU 5/15 (/09)

56. 57.
58.

Brk Act #2 NY,NY Ser 1 5.25/15 (/09) Brk Act #2 NYC REF Set B G/O 5,75/15
Brk Act 02 NY ]qY R-F.DG Ser G 5/15

B C
A

Inlerest Interest
Interest

Redeemed L T
Redeemed

04/15/09

1 1/05/09

59.
60. 61. 62. 63. 64. 65. 66. 67.

Brk Act #2 LI Pwr Au[LIPA] 4/15


Brk Act #2 NYNY Set A 5.25115 Brk Act #2 MTA 5.25/15 Brk Act#2 NYC Trans Fin 4/15 Brk Act #2 NYS Dorm Pres 4.2/15[14] Brk Act #2 NYC Ser C 5.25/15[14] Brk Act #2 NYC Health & |losp 4.55/16 Brk Act # 2 NYC G/O Ser H 5.25/16 Brk Act #2 NYS Dora Au St Johns U 5/16

B
B C C B B C C B

Interest
Interest Interest Interest Interest Interest Interest Interest Interest

K
K L M L K M L K

T
T T T T T T T T

68.

Brk Act #2 NY. N-Y Trans Fin An 4.75/16

Redeemed (pan)

05/18/09

(See Colm~s BI ~d D4) 2. Value Cod~ (~ Columns CI ~nd D3) (See Colu~ ~)

F -$50.C~1 - $100.000 J =$15,~ ~ less N -$250,~1 - $500,0D0 P3 =~25,0~.001 - $50.000.000 U -Book Valu~

O -$1~.O01 - $1.000.000 K =$15.~1 - $50,0~ O =$500,001 - $~,000.000 V -O~er

HI -11.000.~1 - $5.~0.000 L =$50,~1 - $1~,~ P1 =$1,000,~1 - $5,0~,~ P4 -More ~ $50.~.0~ W

II2 =More ~an M =$1 ~,~1 - $2~0,~0 P2 ~$5,000,~1 - $25,~0,0~

FINANCIAL DISCLOSURE REPORT

[ N .... fr ..... .,por.ng


I Castel,

Vat,, orRepo,,~

Page 8 of 1 7 P .Kevin

07/08~010

VII. INVES~NTS and TRUSTS - income, value, t ..... ctions o,a,a~ t~o,~ of ,,o.,, ..a depe~ent children; sttp~ 34-60 of filing t~,ructiong)
NONE ~o reportable income, ~sets, or transactions.)
A. Description of Asse~ (inloding t~st ass~) Place "~)" a~er each =set exempl~mpfiordi~lo~e I n. ]ncom~ d~ng repo.ing pefi~ T~e (e.g., ~.,rent, orinQ ~ c. Gro~ value at cad of repo~ng p~ri~ ~ ~.
Transactions during r~ing

Amo=t C~e 1 . (A-tI)

Value ] Code2 ~ (J-P)

Value ~ T~ (e.g., buy,~ll, Mea~ Code3 [ redemption)

[Date [Value {Gain mn~dt[/~ [ C~te2 / C~ale 1 ~ ~ (J-P) [ (A-tt)

Identity or buyer/seller (if~fivate

69. 70.

same ~ above Brk Act #2 NY NY Ser J 5.25/16

B D

Intense Interest M T

Redeemed

09/28/09 K

71. 72.
731 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.

Brk act #2 NYS Env Fac Corp St Clean Wtr 5/17 Brk Act #2 NY NY P.FDG Set 1 5/17
Brk Act 02 NYC Set G G/O 5/17 Brk Act #2 NYC GO Se~ O 5/17[15] Brk Act #2 NYC SER B Gen 0bl 5.375/18 108] Brk Act #2 !qYS Dorm Au St Josephs H 5.25fi 8 Brk Act #2 Binghamtom 4.25118[16] Brk Act #2 NYS Thin 1-t & B 5/18115] Brk Act #2 NYC GO Ser A1 5/18[17] Brk Act #2 NYNY RFDG Set 1 5/18[14] Brk Act #2 NYC 1TA FUT TAX FGIC SECD Sere 5.25/18 Brk Act #2/qew York State Dorm Auth St Pers Income Tax 4/18 Brk Act #2 !qew York NY City IISG Dev Corp MultiFam 5.35/18 Brk Act #2 City MWF AU WKS Sys Rev Ser D 0118 Brk Act g2 LIPA NY Elec Sys Ser E 5/18

B B
C C A A C C D C D B C A C

Interest Interest
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest

T Rcdeemed I 1/16/09 K A

M M J J M M M M M M M M lVl

T T T T T T T T T T T T T

I. Income G~tin Codcs: (See Columns I~l tad D4)

A -$1,000 or leas

B =$1,001 - $2.5D0

2. Value Codea
(See Colut~ns CI tad D3

F =$50,001 - $100.000 J =$15,000 of lezs


Iq =$250,001 - $500,~00 P3 =$25,000,001 - $ 50,000.000

G =$100,00| - $1,000,000 K -$! 5.00I - 250,000


O -$500.001 - $1,000.000

C =$2.501 - $5,000 H1 =$1.000,001 - $5.000,000

D =$5.001 - $15,000

E =$15,001 " $50,

L =$50,001 - $100,0O0
p! =$1,000,001 - $$,000,000 P4 =More them

I"/2 =More dean $5,000.000 M -$100,001 $250,000


P2 =$5.01~,001 - $2S,000,000

3. Value Method Codes


(See Column C2)

Q =Appraisal
U =Book Value

R =Cost (Real Estate Only)


V =Other

S =Asscs~m~*m
W =F.~timated

T =Cash Mark~
[

FINAN CIAL DISCLOSURE REPORT

r~.,~, of Person Reporting Castel.

D.te of Repot!

Page 9 of 17

P .Kevin

07/08/2010

VII. INVESTMENTS and TRUSTS - into,,,, ~,~ue, transactions anctuaes those of spouse and dependant cl, itdre~;., ,~ r~" S4-60 o[fiting instruction.S
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" at~er each ~sset exemptfrompriordiselosure B. Income during i reporting period Amount ] Type (e.g., ICdel ! div.,rent, (A-H) [ orint) C. Gross value at end of reporting period Value Code2 (J-P) i Interest Interest Interest Interest M M M M Value Nlethod Code3 (Q-W) T T T T 1 Transactions duri, t reporting period ~ Type (e.g., buy, sell, [ redemption) I Date Value | Gai,a Iram~ddiyylCode2 |Codel (J-P) | (All) i _.j. I Identity of buyer/seller (if private transaction)

86. 87. 88. 89.

Brk Act #2 NS Thruway Au Gen Rev Set H 5/19 BrkAct #2 Buffalo Ser C 5/19 Brk Act #2 MTA Set A5.5/19112] Brk Act #2 NYC TFA Set AI 5/19[16]

C C D C _C_. A D C C C C C C D D C A

_ ..90.~ _B~k A~c! ~_~__Midd!e.town NY_ 4.125/_19~ !_6] ........ 91. 92. 93. 94. Brk Act#2 PR Sales Tax 4.65/19 Brk Act #2 NYS Env FACS Corp St Clean WTR & Drinking 5.25/20 Brk Act #2 Metro T SPTN Au NY TSPN REV SER A A5/20 Brk Act #2 bIYC GO Ser A 5/20[16] Brk Act#2 LIPA Set E 5/20 [16] 956 97. 98. 99. Brk Act #2 lqY Gen Oblig BDS-GI 5.5/21 Brk Act #2 NYC Trans F/A Rev 5.25.r21 Drk Act t2/qYS Pers lnc Tax 5/21[16] Brk Act #2 New York NY Set A CIFG TCRS 5/21

_ !n!e_r.e~t ........ ~! ......... T ..................... Interest Interest Interest Interest Interest Interest . Interest Interest Interest Interest Interest Interest M N M M L L L M M M M L T T T T T T T T T T T T Buy 12204/09 K Buy 06/11/09 L

100. Brk Act//2 Metro Tras Au NY Rev RFDG SerA 5.125/21 101. Brk Act #2 brew York City G/O Ser A 5/22 102. Brk Act #2 Monroe Cnt3 IDA 5/22

2. Valu~ ~ (Se~ Co]~s C I md D3) 3. Value Me~ Co~es [ (S~ Col~ ~)

J "$15,~ ~ I~s N =$250.001 - $5~.~0 P3 =$25.0~,~1 - $50,~,060 Q =Appr~ O "B~k V~u

K =$15,001 -$50,~ O ~$5~,001 - $1,~,~ R ~ost ~a[ ~le Only) V =Other

L =$50,001 - $1~,0~ P1 =$1,~.001 - $5,000,~ P4 =M~re tl~ $50,00{1,~0 S ~Asse~m~l W =Estimat~

M =$10O,~l -$250,~0 P2 -$5,~0,~1 - $~,~0,~0 T =Cash M~kel

FINANCIAL DISCLOSURE REPORT


Page 1 0 of 17

SameofVe
Caste~, v .Kevin ,7/08/2010

VII. INVESTMENTS and TRUSTS - i.cOmeo ~uoo tr~.~a.lo~ ani~de~ ,~o~. o~ ..... ~d dependent ehiMren; seepp- 34-60 of fili, q~
-] NONE (No reportable income, assets, or transactions.)
A. Description of A~sets (including trust asseta) Place "(X)" after each as.~et exempt from prior disclosure B. Income during reporting period Amount i Type (e.g., Code 1 I div., rent, (A-H) or int.) C. Gross value at end of reporting period Value Code 2 (JP) V~lue Type (e.g,, Met.hod buy, roll, Code 3 redemption) ii i (Q-W) ...... T T T T T T T T T T T T Redeetned L L L L T T T T 08/03/09 K A Buy Buy D. Transactions dunng reporting period

I Date ! mrr~&ilyy

Value Code 2 : (J-P)

Gain Code I (A-H).

Identity of ,uycr/seller (if private ransactien)

!03. Brk Act #2 NJ Economic Dev Au Sch Constr Set O 5.23/23 104. Brk Act #2 PR Elec Pwr Rev RFDG Ser PP 5/23 I05. Brk Act//2 NY Gen Oblig BDS E 6123 106. Brk Act #2 Triborough Bridge & T Au Ser D 5123 107. Brk Act # 2 New York S! Dorm Att Revs ---- Ho-sp FHA Insd A 6:45/24 ..................... 108. Brk Act #2 Triborough B & T AU 5/24 109. 110. Brk Act #2 NYS Thwy Au 2d HWY & BDC 5/25 (Part VIII) BrkAet#2 NYCMWAWIx&SwrRevSer C 5/25 (Part VIll)

A A D C D C C D A B B B B C B C B

Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend Dividend Interest Interest Interest Interest Interest Interest

L L M M M M M M K K K K

10/07100 I 1/13/09

L L

Ill. Brk Act #2 NY NY IDA Rev AGC 6.125F29 112. Brk Act #2 lsha~es TR Dew Jones Select Div Index Fund

1 13. Brk Act #2 XLF 1 14. Brk Act #4 ~YS Dorm Mtg Hosp 4.95/08 115. Brk Act #4 ]qqqY Ser H MBIA 5/09 116. Brk Act #4 IqYS Thtavy 5.1/10 117. Brk Act #4 NYC G/O Ser C 4.35/11 I 18. Brk Act #4 IqYC RFDG Ser H, subser H6 float]12

119. Brk Act #4 MTA FRDG Set A 4.3113

1. Income Gz~n Codes: [ 2. Valt~eCode~ (See Column~ CI ~nd D3) 3. Val~ Me~M C~c~

A $1,000 less J-$15,0~0orlezs N -$250,0~ 1 - $$00,090 P3 -$25,~,001 - $50,000,0~ Q :App~l

I3 =$1,001 - $2,500 K-$15,001 -$50,1~)0 O =$500,001. $ I 000,000 R =Cost ~al Es~te Only)

C =$2,501 - $5,000 L=$50,001 -$I00,000 P 1 =$1,000,001 - $5,000,~00 P4 =Mo~ than ~50,~0,~ S -Assessment

D =$5,001 - $15,000 M=$100,001 -$250,000 P2 ~$5,000,001 T ~h M~et

E =$15,0J1 - $50.00~

FINANCIAL DISCLOSURE REPORT Page 11 of 17

N=me of Person Reporting

Dste of Report

c,ste,

o7/os~2OlO

VII. INVESTMENTS and TRUSTS - ~,~o,.,. v,t.o, t,c,,,alo,~ a.ct.aes thou. o/ ~ ...... ~ doendent children; see PP. 34-60 ,filling instrucaon~)
NONE ~o reportable income, assets, or transaction) A.
~sc6plion of Ass~s (hclud~ng ~st ~ls) Pla~ "~)" a~er each ~set exempt from prior disclos~e

n.
~com~ ~ rrpe~ing period (2) ~ Amount ] T~e(c.g., Cod~ 1 ~ div.,r~q I i Gross valu~ a~ end of rrpo~ing p~fiod (I) ~ ~ (2) [ ~Value Value ,, C~e 2 Method ~ Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest K L K K K K K M L L L K K L L M L (Q-W) T T T T T T T T T T T T T T T T T Transactions during rc~ing pcfiod (1) T~ (e.g., buy, sell, f ~ ~ ~ ~-Date ~ Value ~d&~ Code 2 (~) Identity of buys/seller ~saction)

Gain ] C~ I ~ ~

120. Brk Act ~ NYS Do~ CoI~bia U. 5.25113 121. Brk Act #4 New York City G/O Sea" E 5114 122. Brk Act #4 New RocheIle Sch Dist Set A FSA 5114 123. Brk Act #4 New Rochelle NY School 5.25/14 124. Brk Act #4 NYC Ref Ser B G/O 5.75115 125. Brk Act #4 NYC Healfli & tlosp 4.514.55]116 126. Brk Act//4 Hudson Falls NY Cent Sth 4.625/16 127. Brk Act #4 New York G/O BD B!E Set J 4/16 128. BrkAct#4NYCG/OSerESII6 129, Brk Act #4 NYC GiO Ser B 5.25/18 130. Brk Act #4 New York NY RFDG Set H 5116 13 I. Brk Act/14 Port Auth 125th Set 5118 132. Brk Act # 4 MTA 4.5/18 133. Brk Act #4 NYS Dorm Au Rev Kaleida Hltl~ 4.25/18 i34, Brk Act #413ingamton NY 4.25/18116] 135. Brk Act #4 New York City G!O Ser A Subset A-1 5/I 9 136. Brk Act #4 NYS Twy Rev A 5120[I 5]

B B B B B A B C B C B B B B C C B

(See ~l~n~ C I ~nd D3 3. Value Me~ ~es

N =$250.~1 - $500.~0 P~ =$25,~0,~1 - ~50,0~,~0 Q -App~i~l

O =$500.001 - $1,000.0~ R ~ost ~eaI Estate Only)

P I =$1,000,~1 - $5,000,~0 P4 =Mo~ t~ $50,0~.000 S ~Assessment

P2 =$5,0~,001 - $25,~,~ T =Cash M~ket

Page I2 of 17

Castel, P.Kevtn

07/08/2010

VII. INVESTMENTS and TRUSTS - i,,co,.,, ,~z.,, ~, .... cao,~ a,a,a,s tho., of svo.s, a,a a,p~.a,~t ~hit,t,,~; m vv. ~.~o of ~n~ t~ao~)
NONE ~o reportab& income. ~sets. or transactions.)
A. Dcs~ption of Assets (including trust ~se~s) Pl~e~)"a~er~h~l exempt ~m p~or aisclos~e ~ B. Income during ~oning p~i~ C. Gross value at end ofrepo~ng period Value Code 2 (J-P) Value Method C~e 3 (Q-~ T T r T T T T T T T T D. Transactions during re~g period

tAmountJ T~(e.g., [ C~le 1 (A-tO j l B A Interest Dividend None A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend air., rent, orinL)

T~e(e.g.,[ Date [Value [ Gain[ buy, sell .... ~tt&yy ] C~e 2 I C~el] mdemptinn) I -

[,ntiwof I ,cr/seller , "private ~r.: ~saction)

137. BrkAct~ Po~Auhq&NJ4.5/25 138. BrkAct#4 WestemAssetMkt FD 139. Brk Act #4 LM[SB] Large Cap Growh Ftmd CL A 140. Brk Act #6 SB Money Funds Cash Port CLA 141. Brk Act #6 SB Muni NY Mkt Port CL A 142. Brk Act" #6 ADP 143. BrkAct#6 BR 144. Brk Act #6 BBY 145. Brk Act #6 Citigroup 146. Brk Act #6 GE 147. Brk Act #6 IBM

L K L J J J J J J J J

Buy

08/17/09

148. Brk Act #6 K!rIB


149. Brk Act #6 KSS !50. Brk Act #,6 NIDT 151. Brk Act #6 MSFI" 152. Brk Act #6 PWC 153. Brk Act #6 WMT

Dividend
None

J
J J J K J

T
T T I" T T

A A A A

Dividend Dividend Dividend Dividend

(See Colurv, n~ BI ~d D4) 2. V~,lueCode~ (See Column~ C I ~ad D3) 3. Value Method Codes (.~ee Column C2)

F =$50,001 - $100,000 J=$15,0CDorles~ N -$250.001 - $500,000 P] ~$25,000,001 - $50,000.000 Q -Apprai~nl U -Book Value

G =$I 00.001 - $1,000,000 K=$15.001 -$50,0~0 O =$500,1)01. $1.000,000 R -Cost (Real Estate Only) V =Other

HI =$1,000,001 - $5,000,000 L=$50,001-$I00,000 P I -$1,0OO,001 - $5,000,000 P4 =More than $50,D00,000 S =Assessment W =E~timated

t12 =M~re than $5,000.000 M=$100,001 -$250,000 P2 -$5,000,001. $25,000,000 T -C~sh Market

FINANCIAL DISCLOSURE REPORT

~,~ or a,port I

Page 13 of 17

o7/o8/2OlO

VII. INVESTMENTS and TRUSTS -i.co.,., ,~r..,, .... aio,~ (lncludesthosto/spo ..... ddcpendentchildrentseepp. 34.1 tgolrf!llnginstructlon.r.)
NONE (No reportable income, assets, or transactions.)
Description of Assets Income during Gross value at end

Transactions during repom:.~: period

Place "(X)" aPter each asset

[Amount

T~.3~e (e.g., orint.) i

Value (/-P)

Value . Code 3 (Q-W) T T T T T T T T T T-

Type (e.g., redemplion) i

V e

Gain (A-H) [

Identity of (ifprivate transaction)

[
154. Brk Act #6 WAG 155. BrkAct#6 WTC i 56. Brk Act #7 Citibank NA Bank Dcp Program 157. Brk Act # 7 PWC 158. BrkAet#7 RIT 159. Brk Act #7 NYS Dee Corp Inc Tx 6.5/I 8 160. Brk Act #9 SB (Western Asset)MUNI NY MNY MKT PORT CL A 161. Brk Act #9 EEM 162. Brk Act #9 PWC 163. BrkAct#9 PZI 164. Brk Act #9 P1LF 165. same as above 166. Brk Act #91VIFS Intl New Disc Fund C [MmCX) 167. Brk Act #9 NYC Muni Water SWR 0/14[09]

(A-H)

A A A A A C A A A A

Dividend Dividenc Interest Dividend Dividend Interest Interest Dividend Dividend Dividend

J J K l J L M K M .1"

Buy

01/09/09

Buy (addl)

11/I 8/09

Sold (parQ A A B Dividend Dividend Interest K T Redeemed Sold

09118/09 09/21/091

L .I

A A

12/15/09

168. Brk Act #9 New York City MWF Au W &S Set D O CPN 0/I 8 169. Brk Act #9 NYS G~O BDS-A 0f19 170. BrkAct#gPRCommH&TO/20

A A A

Interest Interest Interest

L K K

T T T Buy 03/05,t09 K

I. Income Gain Codci: (See Column~ BI and D4) 2. Value Codes (See Colurna~ Cl ~d D3) 3. Value Method Codes (See Column C2}

A =$1,000 or less F =$50,001 - $I (~7},000 J =515,000 or les~ N =1250,00! - $500,000 P3 =$2~,000,001 . 550.000.000 Q ~Al~praisal U -Book Value

B =$I.001 - $2,500 G =$ [ O0,001 . $1,000,000 K =5I 5,001 o 550,0~() O =5500,001 - $1,000,000 R =Cosl (Real Eslatc Oaly} V ~O~her

C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L :150,001 - $100.000 PI -$1,000,001 - 55,000,000 P4 ~More than $50,000,000 S ~Asscssmcnt W -Eslimated

D =$5,001 - $15,000 H2 =More than $5,000,0~0 M =5100,0(11 . $250.000 P2 =$5,000,001 - $25,000,00~ T ~Cash Market

E ~$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 14 of 17

Name of Person Reporting

Castel, P.Kevln

Date of Report 071o8/201o

VII. INVESTMENTS and TRUSTS - t.co,.,, v.t.,. ,,a.~.cno.~ a,.aua,5 ,ho~. qspo~., a.d dependent ,nita.~.; s~ m. Z-~o ogl~ti.g itt$tructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure [ Income chtfing Gros~ value at end reporting period of reporling period (1) (2) ~--I " (~ Value Amount [ Type (e.g., t Value Method i Code I i di ...... t, [ Code 2 (A-H) or int.) ! (JP) i Code 3 (Q-W) A A A Dividend Dividend Dividend J M K T T T Transactions during reporting period (I) [ I TyI~ (e.g., : buy, sell, redemption) ! "~j [ (3) I (4) J Date Value Gain! mm~dd!yy ] Code2 [ Code I ] (J-P) : (A-II) J (5) Identity of bayer,,.eller (if private h-ans~clion)

171. Brk Act #9 XLF 172. BrkAct#10SB [WstrnAsst]MUNINY MNY PORT CL A 173. Brk Act #10EEM

174. Brk Act #10PWC 175. Brk Act #10PRF ......................................... 176, (same as above)
177. Brk Act #10PZI 178. Brk Act #10 MFS Intl New Disc Fund C[MIDCX] 179. Brk Act #10 N YC Muni Water SWR 0/14[09] Ig0. BrkAct#1Ol~.ewYorkCityMWFAuW/S Sys Set D O CPN 0/18 181. Brk Act #IONYS GiO BDS A 0/19 182. Brk Act #10 P R Cough H & T 0/20 183. Brk Act #12 PHX Oaldmrst Strat Alloc FD A 184. Brk Act #12 PHX Oaldaurst Inc&Growth FD A 185. Brk Act #13 Fidelity Divers Intl [FDIVX]

Dividend

Buy (addl)

09/18/09 K A A

Sold i 09/I 8/09 L (p~) ..... A


A A B A A A A A D

Dividend
Dividend Dividend Interest Interest Interest Interest Dividend Dividend Dividend L K K J J M "r T T T T T J K T T

Sold

09121109

Redeeroed

12/15/09

Buy

03/05/09

L86. Brk Act #13 Fidelity Equity Inc[FEQIX] 187, Brk Act ill3 Fidelity Inter Bond [FTHRX]

F E

Dividend Interest

O N

T T [

I. Income Gain C~,Ies: (See Column~ BI ~nd D4) 2. Vmlue ~des (See Col~ C1 md D3) 3, Value Me~ Code~ (~e Colu~ ~)

A =$ I,IKK~ or less F ~$50,~1 - $1~,~ J =$15,~ or les~ N =$250.~1 - $500.(~ ~3 -$25,~,~1 - $50.0~,~0 Q -App~i~ U =Book Value

B ~$1.001 - $2,500 G -$1~.001 - $1,000.000 K 1515,001 - $50,0~ O -$300.001 - $1,~0,~ R ~Cost ~eal Es~t~ ~ly) V -O~er

C ~$2.501 - $5,000 HI ~1,0~,001 - ~5,~0,~ L =$50,001 - $ I ~.~0 PI ~$1 ,~0.~ I - $5,~0,01~ P4 -Mo[~ th~ $50,000,~0 S -Assessment W =Eslima~ed

D =$5,001 - $15.090 ~ =Mor~ ~ $5.~,~ M =$ I O0.001 - $250,0~

E -$I5.0~1 - $50,000

T =C~k M~ket

FINANCIAL DISCLOSURE REPORT Page 15 of 17

N.me o~"

VII. INVESTMENTS and TRUSTS - l.co.,., .at..,, ......


NONE ~o reportable income, ~sets, or tra~actions.)
A. De~c~tion of Asse~ (~ncluding ~st ~e~) Place "~X)" a~er ~ch ~set exempt ~m prior ~sclo~e ~ B. Income dung reining period C. of repoaing I D.

(i)
Amo~t Code 1

(~)
T~e (e.g., div., real or inL)

(~)
Value Code 2 (JP) i

(~)
Value Me~ Code 3

O)
T~e (e.g., buy, sell, ~demption)

(~)
Date

C3~--~

(5)
Identiw of buyer/seller (if private

(A-tO

Value ] Gain ~ C~e 2 I C~te I ~m~ddt~ (J-P) (A-H) ~

1 88. Brk Act #13 Fideli~ Expo~ & Mulfinatl

[VEXPX]

Dividend

1 89. Brk Act #13 Fideli~ Capitol Apprec

Dividend

190. BrkAct#13 Fidelity Retire M~t[C~h Re~es] [FC~] 1 9 l. B=k Act # 14 Chase Accoun~

In.rest

None

1. Income Gain Codes: (See Col~nns BI ~d D4) 2. V~ue ~s (See Colunm~ CI ~d D3)

~ 3. Value Me~ ~cs ~ (See Colu~ ~)

A =$1.000 or less F =$50,001 - $1~,~0 1 =$ I 5,~0 or I~ N -$250,001 - $500,~ P3 -$25,0~,~ I - $50,0~,~ Q =Appr~i~l U =~k Value

I3 -$1.001 - $2,500 O "$ l~,001 - $1,~0.000 K =$1S,~l - $50,0~ O ~5~,~)01 - $1,000,~0 R *Cost ~I Estate ~ty) V =~er

C =$2.501 - $5,000 HI =$1,~,001 - $5,0~,0~ L =$50,001 - $100.000 PI -$1,0~,001 - $5,~0,~ P4 =Mo~e than S =Assessment W =Eslimal~

D =$5,001 - $15.f)O0 112 -More ~aa $5,~,D~ M =$1~.~1 - $250,~ P2 =15.~0,~1 - $25,~,~ T =~sh M~ket

E -$15.001 - ~50,000

FINANCIAL DISCLOSURE REPORT Page 1 6 of 17

[ NzmeofPersonReporting .... [ cast~, v .Ke~n

,e,,tRcport

,~7,"0~/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a,d,,-,~,po,,

PartVII: INVESTMENTS AND TRUSTS Page 5, line 26 of 2008 FDR. Brk Act #2 NYS T~VY AUTH 5.25/10. This was inadvertenly listed on the 2008 FDR as a partial redempt on when it was a full redemption and is therfore omitted from the 2009 FDR. Page 5, line 24 of 2008 FDIL Brk Act #2 NY NY RFDG Set J 5/10(08). This was inadve~enly listed on the 2008 FDR as a partial redc.mpfion when it was a full redemption and is theffore omitted from the 2009 FDR. Page 6, line 49 of 2008 FDR. Brk Act#2 NYS Dorm Auth Revs Ithaca Coll 5113. This was inadvertenty listed on the 2008 FDR as a i,artial redemplion when it was a full redemption and is t_heffore omitted from the 2009 FDR. Page 11, line 127 of 2008 FDR. Brk Act #2 NY Gen Pblig BDS-G1 5.5121. "fhis item is a duplicate of page I I, line 122 of the 2008 FDR. According the second listing is omitted on the 2009 FDR. Page I I, Iines 133 through 138 of 2008 FDR.. Tfiborough Bridge & Turmel Au Vat 2032. This wa.s inadvertenly listed on the 2008 FDR a.s a partial redemption when it was a full redemption and is theffore omitted from the 2009 FDR. Page 12, line 143 of 2008 FDR. Brk Act #4 NYS Dorm Mtg llosp 4.95/08. This should have been listed on the 2008 FDR as redeemed on 2/I/f~,q at Value Code K. Page 14, line 186 of 2008 FDR. Brk Act #7 Lehman Bros 4.150/15. This was inadverlenly listed on the 2008 FDR as a partial redemption when it was a full redemption and is therfor~ omitted from the 2009 FDR. Page 4, line 14 of 2009 FDRo Brk Act #2 Uts Nuveen TR UT TR#61 M NY INSD $6 I. Broker reports that this security was owned going hack to prior to 2005 and was inadvertently omitted. Page 10, line 109 of 2009 FDIL Brk Act #2 NYS "Ihrwy Au 2d Hwy &Bdg 5/25. This was inadver~enly omitted from the 2009 FDR. It was a buy on 4/17/08 at Value Code M. Interest in 2008 was at Amotmt Code C, with a value at the end of the period of M. Page 10, line 110 of 2009 FDR. Brk Act #2 NYC MWA Wtr & Swr Rev Set C First Res 5125. This was inadvertenly omitted from the 2009 FDR It was a buy on 5/301108-at Value Cotle M. In~-erest in~008 wagat Amount Code D, with a v~al~e- at the end~-f the pe-n~rd-o f M. ............................ Page 5, line 27 of 2009 FDR. Brk Act#2 Eire Cnty NY Pub Imp Set A 5111. Tlfis was inadvertenly listed on the 2008 FDR as a full redemption and is therfore included in the 2009 FDR.

PageFINANCIAL17 of 17 DISCLOSURE ;REPORT [ Castel, P .Kevin

IN,me

of Person Reporting Date07/08/2010ol" Report

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 an) 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 acccptance 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 .................................................................................................................

NOTE: ANY INDIVIDUAL ~$~10 KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

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