AO tO

~ev. z/~O~O

FINANCIA L DISCI,OSURE REPORT

FOR CALENDAR YEAR 2009
2, Court or Organization U.S. DISTRIC 1 COURT: SDNY :Sa. Report Type (check appropriate type) [] Nomination. Date ~ Annual ~ Final

t~epo,t Reqttired by the Ethics

in Goverument Act oJ 1978

(s u.S.C. ,,pp. ,~ ~o~-~ O

3. Date of Report 8J13/2010 6. Reporting Period 0!f0112009 te ! 2~3 112~)09

1. Person Reporting (last name, firs|, middle initiaI) SAND, LEONARD :B. 4. Title (Article ill judges indicate activ~ or senior s!atus; magistrate judges hxdicate fidl- or part-tlme) LLS. DISTRICTCOIJRTBJDGE

~ Inifiat

5b. ~ Amended Rcpo~ 7. Chambers or Office Address U.S. COURTHOUSE 500 PEARL STREET, ROOM 1650 NEW YORK, NY 10007 8. On [he basis of ~he information tin,rained in tM~ Report and a~y modifications pertaining ~l~erelo, it is, in my opinion, in ~ompliance whh applicable laws and regulations. Reviewing Officer Dale

13:IPOR TANT NOTES: The it~structions aceompanyit~g this form must be followed. Complete all parts,
checking the NONE boxJbr each purr where ),ou have t~o reportable information. Sign on last page.

I. POSITION S.
[~1 NONE (No reportable positions.) POSITION
I. TRUSTEE

NAME OF ORGANIZAT|ON!ENTITY
TRUST #2

NONE (No repcrtable agreement.s. ) D~VIE PARI[12S AND TERMS

FINANCIAL DISCLOSURE REPORT Page 2 of 1 3

N ....of P ..... Reporting

Da|e of Repor~

SANO, LEONARD B.

8/t3/2010

Ill. NON-INVESTMENT INCOME. (S~por,i.g i.di.~d,,ot o.~.~p .....

A. Filers Non-Investment Income

; ~.~ pp. 17.24 of filing i .......ions.) t

~
1. 2009 2. 3. 4.

NON E DATE

non-im,estment income.) SO~CE AND TYPE

TEACHING SALARY - UNIVERSITY (NYU)

INCOME
(yours, not spouses) $20.000.00

B. Spouses Noll-ll|vestllleIlt ] ncom e - ~fk,o,, were married during any portion of the reporting year, complete this sectio~ ]

[
I. 2. 3. 4.

NONE (No reportable non-investment income,) DATE SOURCE AND TYPE

(l.cludcs those to sponse mrd dependent tllhil,Jtln; Sge pp. 25- 27 Of.l~l ~ g n~tr ~lliOt S )

NONE (No r~7~ortable reimbt.wements.) SOI.YRCE ~ LOCATION PURPOSE ITEMS PAID OR PROVIDED

2. 3. 4 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 13

N SAND, ~ON~R~~

NON E (No reportable g~s.)

SO~CE

DESCRIPTION

2.

3.
4.

5.

VI. LIABILITIES. <;,,.+,,d+.+ ~,,,~,,,

[
~
1, 2. 3. 4. 5.

NONE (No reportable liabititiex.,~ CREDITOR DESCR|PTION VALUE COD~

FINANCIAL DISCLOSURE REPORT

Page 4 of 13 VII. INVESTMENTS an d TRUSTS -i,,~. .........

N ....f~ .....Repo,ti,,:
SAND, LEONARD B.

[
t

Oote of 1~0pn,,
8/13/2010

~,~o,,~ (Inch,des ,,ose of sp ........d dependent chiblten: see pp. 34.60 of filing instructions.) ~ ...........

OF NONE (No reportable income, assets, transactions.)

Descriplion of Asscts (~ncluding trust assets) Place "~X)" af cr cac~ sse exempt t?om prior disclosure

lncome during repo~h~g period (~) Amount [ Code J ~ IA-H) l (2) Type (e.g.. div..rent, or ira.)

Gross value at end of reporthtg period 0) (2) Value Value ~ Code 2 Met~.~d (J-P) ~ Code 3 (Q-W~ Type (c.g. buy, sell, redemption)

Transactions d~ring reporting period

Date mm/d~,yy Code 2 : (J-P) :

Code I (A-~ "1

buycrisdler (i "private transaction)

1.

EXXON MOBIL COMMON STOCK

Dividend

2.
3.

IBM COMMON STOCK

BP AMOCO PLC COMMON STOCK

C
I)

Dividend
Dividend

M
M

T
T

4. 5. 6. 7. 8. 9. i0. I I.
12.

SAFETY KJ,,EF-N CORP COMMON S-[OC K NIKE INC COMMON STOCK COMMERCIAl.. METALS COMMON STOCK STRYKER CORP COMMON STOCK TOOTSIE ROLL INDS COMMON STOCK UNITED COMPANIES TAX DEFERREI) ANNUITY KIMBERLY CLARK COMMON STOCK KIMBI~RLY ()LARK COMIVlON STOCK
MC.KESSON FIB()(: COMMON STOCK

None B D D A B B A
A

J M M O K K L J
K

T T T "1" T [" T T
T

Dividend Dividend Dividend Dividend Interest Dividend Dividend

Dividend

13. 14. 15. 16. 17,

JP :MORGAN CIIASE & CO COMMON SIOCK NASSAU (71Y SER N MI_INI BOND NEW YORK SFATt! DORM AU MUNI BOND NEW YORK STATE DORM AU MUNI BOND PORT ALJIH NY & NJ MUNI BOND

A A B A A

Divklend Interest Interest Interest Interest

K J K

T T "1" Sold Sold 09/14/09 03/05/09 J J B t.3

FINANCIAL DISCLOSURE REPORT Page 5 of I3 VII. INVESTMENTS and TRUSTS - i ..........

N SANO, LEONARD B, 811312010

t t,,~, t ........ions anchules those o/W ........ d dependent chlhlren; see pp. 3,1-60 of f!llng instructions.)

NONE 0Vo reportable income, assets, or transactions.)

i. : Income ~uring j Gross value at end reporting period i of repoSing period (2) (B ; Value ~ypc (e.g., VMoe Place "(X)" al)er each asset [Amount ~ Code 1 ~ div.. rent, e~cmp~ from prior disclosure Code 2 Method (A-H) : or int.) Code 3 (J-P) (Q-WI .................................................................... ~ ........................ 18. 19. 20, 2 I, 22. 23. 24. 25. 26. ~ ] 27. IIAIN CELSTIAL GROUP None J T LM CLEARB AGG GRW FD C.L A (FORMERLY PTNRS AGG GRW CL B) LM CLEARB AGG GRW FD CL A (FORMERLY PTNRS AGG GRW CL B) NY STATE ENVIRONMENTAL FAC" MUNI BOND BERMUDA PROPERTIES LTD COMMON & PFD STOCK OLSIEIN FINANCIAL AI.ERT F~D CLASS C LM WEST ASSET HiGH [NC FD CL B (PTNRS HIGH NC FD CL B) E.M CI..EARB LG CAP.GRW FD CL B (PTRNS I,G CAI GR FD) LM WEST ASSET HIGH INC FD CL B (PINRS ]tlGH ~C FD C,L ~) NYS DORM AUIH REVS RFDG [.ENOX HILL HOSPIIAI~ MUNI BOND B A B C B None None lnteres~ N~ne Dividend Dividend Nene Dividend Interest J T K T Sold 11/09/09 K A J N T T Sold ! 1/09109 K A K J Sold 09!t4/09 K A T Description of Assets (including lrus~ a~e~s) Transactions duri~g reporting period :

Type buy, selL mmid6~ Code 2 redemption) ~ (J-P)

Code 1 (A-H)

buyeffsclle~ (if private

Sold (part)

1 !/09/09

28. 29. 30. 3t. 32. 33.

OLSTEIN FINANCIAL ALER"I FUND CLASS C ANNA1..Y MORTGAGE MGMT COMMON STOCK LM CLEARB CAP & INC FI) CL C" (PINRS CAP & INC FD CL C) LM |NV SO( IAI., AWARE I:D CL C (PTNR SOC AWAI~.E f,l) CL C) OL.STI:.IN I:INANCIAt. ALERT FUND C~,ASS C LM CLEAR,t?, CAP & INC 1.D CL C (PTNRS CAP & INC FD Ck C) NEW YORK "IIMES CLASS A STOCKI(x)

A C C A A A

Dividend Dividend Dividend 13ividcnd Dividend Dividend

M K

T r Soid Sold 11/09/09 I I109/09 M K A A

T Sold T I 1/09/09 K A

134"

NonelJ

FIN.~NCIAL DISCLOSURE REPORT Page 6 of 1 3 VII. INVESTMENTS an d TRUSTS - i ..........

~

N~.ofP .....

Reporting

Date,,r Repot, 8/I 3120 I0

SAND, LEONARD B.

I
Trans~ction~ du~ing reporting period

~,,~, t ........iot,s (Inch,des those of sp .......... d dependent children; see pp, 34~60 offiling instruttion~ t

NONE (No reportable income, assets, or transactions,)

Description of Assets (including trust assets) Income during reporting p~iod ~ Omss value at end : of repo~h~g period

P!ace"(X)" after cad* asset exemp~ from prior disclosure

~--~--~~~ .......... : (; ............:~~ ................. ~i~ ........... ~ ~ ~ ~.~

Ameunt [ Code ] (A-H) Type (eg., div.. real or int.) Type (.g.. buy, se!l, ~ redemption) ~t (JP) Code3(O.W) ~ .......... ~ .................... J M M J T 1" T T Sold Sold J J 1 T T T Sold K. J T T Sold Sold Sold Sold L T 09/14/09 07/06/09 06110,"09 11/09/09 K J J K 07/28109 K 06~10/09 07/06/09 .I J Value ~ Code 2 Value Methyl

................................................................................................... ~ ................. 35. LM WEST ASSET ADJ RATE tNC FD (PTRNS ADJ I~TE INC FD) A A Dividend Dividend None None None None A A Dividend Dividend None A B Interest Dividend None B Interes~ None None None B Interest

v.r,,,c ~ Date Gain ldenfib of ~ n..d~yy ~ Code 2 Code I buyerlsellcr (J-P) {A-[I) . transaction}(if private ~ ......................................... ~ ..............................

~ 36. LM CI,EARBR APP FD CL B (PTNRS APP FD CL B) { 37. 38, ~ 39. LM CgEARBR I..G CAP GRW FD CL B (PTNRS LG CAP GRW FD) FIRST MARBLEHEAD CORP COMMON STOCK

~
40, 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

STOC~

FIRST MARBLEHEAD CORP COMMON

A A

FIRSI" MARBLEHEAD CORP COMMON STOCK WHIRLPOOL CORP COMMON STOCK W1NDSTREAM CORP COMMON STOCK NYC G!O FISCAL 1994 SER A MUNI BOND NYCI"RANSTL FIN AU FUTURE MUNI BOND DISH NETWORK C[, A COMMON LJSG CORP COMMON STOCK NYS I)()Rivl At; REVS RFDG BRONX LEIIANON HOSP MUNI I3ONI) CCIMI"I. (.:REF)I"I COI;,P COMMON STOCK ECHOSTAI~ CORP COMMON STOCK LM CI_EARBR CAP FI) CL 13 (F()RMERLY PTRNS CAP FD) PU["RTO I~,l(O COMWLTH PUB SER A BONI)

A A A A

FINANCIAL DISCLOSURE REPORT

N ....

f Person Reporting

Date o[ Report

Page 7 of 13
VII. INVESTMENTS and TRUSTS -- i .........
~

SAND, LEONARD B,

8/13/2010

"air,e, transactions andudes th .... ~f sp ....... dependent children; see pp. 34-60 qffiling instructhms.] d

N ONE (No r~Tortable income, assetx, or transacdons.)

...................................................A. .........~ ..................... ~i" ............................................................................................. ~

Description of Assets (including first assets) P~ace "iX)" after cach asset exempt from prior disclosure lncome during reporting period I,~mounl rypc ic.~., /code ~ ~ div, rent. (A-H) or ink) Gross value at end of reposing period Value Code 2 (J-P) [ ~ ; Value Method Code 3 (Q-W~ Type (e.g.. buy, seu. redemphon) Transactions during ~epo~ing period

~ ............
Date Value mm,d~ Code 2 (J-P) Gain Code I (A-H) Idcmib of buyer!seller (ffpnvate Iransaction}

52.

TRUSTS

53. ~ 54. ~ 55. ~

I~ A/C #1 (U.S. TREAS SECURITIES, MONEY MKT INTEREST & MUTUAL FUND DIVIDENDS FROM DE GROUP FD & EMERG~G MKT ~D) I~A A/C #2 (U.S. TREAS SECURITIES, MONEY MK1" INTEREST & MUTUAL FUND DIVIDENDS FROM DE GROUP FD & EMERG~G MKTS FD) LIFE INTEREST IN INCOME OF VALUE 01: TRUST HOLOI~GS

lnt./Div.

56. 57. 58.

lnt.!Div.

"I

~ 59. 60.

Int.biv.

PI

61. 62.
63.

IDENTITY O1: TRUST HOLDINGS COMMON STOCKS

EXXON MOP, I L

64.
65.

GENERAL ELECTRIC
BRISTOL MYERS

66. : 67.
68.

VERIZON COMMLNICATIONS NORI;OLK SOUTI-IERN CORP

NORTHROP GRUMAN

FINAN(,IAL DISCLOSURE REPO F Page 8 of 13

~ .....fP~ .... ~po,,i,,~ SAND, LEONARD B.

O.,eo~R,.~,o. 8/13;2010

VII. INVESTMENTS and TRUSTS - i ............ ~,,e, t ...... ions anchtdes those of sp ....... d dependent children; see pp. 34-60 O~ling ith~t, ctions )
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including m~st assets) Place "(X)" after each asset exempt from prior disclosure B. Income during ; rcpo~h~g period Amount ~ Type (e.g., (.ode I div.. toni. {A-H) , or int.) C, Gross value al e~d ~f relm~ing period Value Code 2 (J-P) Value Method Code 3 Q-w) D. rran~cfions during reposing ~riod } .................... Type (e.g., buy, se!l. redemption) Date Value mmfdtgyv Code 2 (J-P) Gain Code 1 IA-H) i hlcn6W of buxerisellcr (if 3rlvatc Imnsaction) ~ :

]69.

DOW CHEMICAL CO

70. 7,1. 72. 73. 74.

75. 76.

ILUM (;REEK TIMBER CO ZIMMER HOLDINGS IN(; U.S. BANcoRP DEL COM BANK OF AMEI~,ICA CORP I)t..I PONT Et DE NEMOURS & CO
RPM INTERNATIONAL INC AP.CHER DANIE1.S MIDLAND CO

Sold

06/01/09

Sold

02/20;09

Sold

06!10/09

77. 78. 79. 80. 81. 82. 83. 84.

85.

NESTLE SA (CIIF) I LIFE INTEREST IN INCOME OF ~ TRUST # 2 VAI .LIE OF TRUST HOLDINGS IDENTITY OF TRUST HOLDINGS S13 MONEY FUND C["IIt3ANK BANK. NA BANK I)EP PRI.)G R A M CC)MMON STOCKS 1lAIN C!~.I..ESIIAL GRP INC
K[~ [ IO,ME

h|t JDiv.

FINANCIAL DISCLOSU RE REPORT

Page 9 of ] 3

,~.,.~ of P ......Repo~ting

Da,e nf Rt.l,ort

SAND, LEONARD B.

8/13/2010

VII. INVESTMENTS and TRUSTS --i,,.o,,,,, v,,t,,e., ......... a,,,,.~ .,,,.,a~.. a,o.e o;.p ........ a
NONE (No reportable income, assets, or transactions) ...... ~. " ............
Dcscriplion of Assets (includin~ t~st assels) Place"(X)" after each asse~ exempt from prior disclosure

~? ........
Income during reposing period Amount ] Code l Type~e g.. div. rent. or mr.)

c. ............................................................................... D.
Gcoss v:due at end of reporling period Value Code 2 fJ-P) Value , Method Lodc 3 (Q- W) Transactions during reporting period

~i~ ......
Type (e.g., buy. sell. redemption) ~ Date , Value I Gain ~mm/dd/yy : Code 2 [ Code 1 (LP) [ (A-H) ~ ~ ] [ " : : ldc/~6ty of buyer/seller (if privmc ~mnsaction)

~..,-H) ................ ...... .............. 86. WASHINGTON MUTUAL INC

Sold

t0,"06/09

87. 88. 89. 90. 9 }. 92. 93. 94. 95. 96. 97.

FIRST MARBLEHEAD CORP FEDERAL NATIONAL MORTGAGE ASSOCIATI~ON WELLPOINT INC GENERAL ELECTRIC MUTUAL FLFNDS OLSTEIN FINANCIAL ALEP, T FUND CL C LM CLEARBR CAP & INC Fit) CL C (PTRNS CAP & INC FD CL C) PARTNERSHIPS - LIMITED INTEREST UNDERHII.1. ASSOC - ORIGINAI. COST S6,ooo 150 IoAKE ASSOC. - ORIGINAL COST s3,ooo RAMCO GERSHENSON PROPERTIES Ct - ORIGINAL COST $10,500 C A A

PTNSHP
INCOME

J j j

R R R

PTNSHP
INCOME PTNSHP

INCOME

98. t3ANK ACCOUNTS 99. CITIBANK A A A A Interest Interest Inlerest lnlerest ,1 K J T -l" I"

100. )P MOIt, GAN CHASE I01. HI;DSON CITY SAVINGS BANK 102. CITIBANK N.A. BANK DEPOSH" PROGRAM

FINANCIAL DISCLOSURE REPORT Page 10 of 13

N~m~ of Person Reporting

. Date of Repot, 8/13/201(I

;AND, LEOINARI) B.

NONE (No reportable ittcome, assets, or trattsactions.)

Description of A~sets includin8 rust asse s) Place "(X)" at~er each as~;ct plior disc!osu~e Income during reposing period An ou / ~~de I ] (A-H) Gross value al end [ ofreporfi~g Ceriod Transacl[ons during reposing period

div., rent, or h~l.)

" Code 2 ~ (J-P)

Method Code 3 (Q-W)

buy, soU, rcdcmptlon)

mm/d~Uvv : Code 2 ~ Code I ~ (J-P) ~ (A-H~ ~

buver/sctler lifprivaze transaction)

103. C1TIBANK N.A. BANK DEPOSIT PR()GRAM 104. CITIBANK .NA. BANK DEPOSIT PROGRAM 105. ~EY BANK NATIONAL ASSOCIATION 106. k~NION STATE BANK 107.

A A A

Interesl Interest Interest None

J J

T T

Closed

t09.

It0.
I11.

112.
[13. I14.

115.
116. ]7.

19.

FIN,~CIAL DISCLOSURE REPORT Page.~ 1 1 of t3

VII. INVESTMENTS and TRUSTS -- i,,,. ..........

N.,.e of P .....Reporting

Date of Repot!

SAn~, LEONARI) B.
~... , ....... ao,.~ a,,.~a~ tt, o~.~ ~ ........................ ~? ..............................................
Gross valae ~t end of reporting period Value Code 2 t l..P)., ~ Value , Method t~ Code 3 I (Q-W~ Type buy, sell, edemp~io~

8/13/2010

N ONE (N~9 reportable income, assets, or transactions.)

..............................................................................~.
Description of Assets (including trust assets) Plaee"(X)" after each asset cxcmpt I?om prior disclosure

1~? ..............................

Income during rcporli~g period Type{e.g.. [Amout~t ~. Co~e 1 div., rcn~, ] (A-H) ~ or in~.~ t [

Transactions during reporting period

mm/ddiv~ Code 2 Code I

buyctdselle~ tmnsacuo~

FINANCIAL DISCLOSURE REPORT Page 12 of 13

N ..... Person Reporing f

DateofRepc.rt

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a,,di ....

~a,,~tR,~oor,.)

FINANCIAL DISCLOSURE REPORT

,~ ......r ~e,.so. R~por,i,,~

o~ of R~po,,

Page 1 3 of 13 IX. C R I IFICArl ION.

S.,~ND, LEONARD B.

8/13i2010

! certify that all informalion given above (including information pertaining to my spouse and mimer 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 applieahle stattttory provisions permitting non-disclnsure. I further certify thai earned iucome from outside employmen! and houoraria and the acceptance of glfts which |,ave been reported are in complia~nce with the pravisioas of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL W.HO KNOWINGLI~ AND WII.,F[ILI.,~ AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

JBJECT TO CIVIL

FI|,] NG I N STRUCTION S Mail signed original and 3 additional copies to: Committee on Financial Disclosu,e Adminislrative Office of the United States Cottrts Suite 2-30 I One Columbus Circle, N.E. Washington, D.C. 20544

SAND, LEONARD B.
ATTACHMENT TO FORM AO-10
2009

VII. TRANSACTIONS The undersigned has small minority interests as a limited partner in the limited partnerships listed in Part VII and is not in a position to obtain data regarding transactions in real property, securities, etc. If any further information is required, please refer to his tetter of August 21, 1980 to the Honorable Ed~vard Allen Tarnm, Judicial Ethics Committee.