AO I0 Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization Eastern District of New York
5a. Report Type (check appropriate q,pe) ] Nomination, Date [] Annual [] Final

Report Required by the Ethics in Government Act of 1978 (5 U.S,C. app. ,Sq,Sq I01-111)

L Person Reporting (last name, first, middle initial) Spatt, Arthur D. 4. Title (Article III judges indicate active or senior status; magislrate judges indicale full- or part-time)

3. Date of Report 05/05/201 I 6. Reporting Period 01/01/2010 to 12/31/2010

U.S. District Judge, Senior

[] Initial

5b. [] Amended Report

7. Chambers or Office Address

Long Island Federal Courthouse P.O. Box 9014 Central Islip, New York 11722

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

IMPOR 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 information. Sign on last page.

I. P 0 S I T 10 N S. R ~po,~,g individual only; see pp. 9-13 of filing instructions.)

NONE (No reportable positions.) POSITION
I. 2. 3. 4. 5.

NAME OF ORGANIZATION/ENTITY

II. AGRE EMENTS. ~R~pomng individuat o.l~ st, pp. 14-t6 of filing instructions.)

D
1.1979 2. 1979 3.

NONE (No reportable agreements.) DATE

PARTIES AND TERMS Prior pension and profit-sharing plans rolled over (See Rider I annexed hereto) Individual Retirement "Keogh" Plan (See Rider 2 annexed)

S )att, Arthur D.

FINANCIAL DISCLOSURE REPORT Page 2 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 05/05/201 I

I II. NON-INVESTMENT INCOME. (nepo.i.g individualandspouse; seepp. 17-24 of filing instructions,)

A. Fliers Non-Investment Income D NONE (No reportable non-investment income.)
DATE
I. 2010 2. 3. 4.

SOURCE AND TYPE

New York State Retirement Pension

INCOME
(yours, not spouses) $18,820.00

B. Spouses NoD-Investment Income - If you were married during any portion of the reporting year, complete this sectiom
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.) DATE

1. 2. 3. 4.

SOURCE AND TYPE

IV. REIMBURSEMENTS --transportation, Iodglng, food, entertai .... ~

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

~]

NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

2. 3.
4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 05/05/201 I

V. GIFTS. anc/,,~~ ,hose ~,, spo,,se ,~,,,~ ,~p~,~n~ c~/,~n; so~ p~ ~-~1 ,,.r./~/ing NONE (No reportable gifts.) SOURCE
I. 2. 3. 4.

DESCRIPTION

VALUE

5.

VI. LIABILITIES. ancludes ,h.ose o/ spo,se a,d ~e~,e.den, children; see pp. 32-33 of f!llng instructlon~ )
NONE (]go reportable liabilities.)

CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 4 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 05/05/201 I

VII. INVESTMENTS and TRUSTS - i .... e, volue, transactiotts (Includes those of sp ...... d dependent children; seepp. 34-60 of filing instructlong)
----] NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during ~porling period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

I. STOCKS 2.
3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16.

AIRTOUCH COMMUNICATIONS
AMERITECH - COMMON AT&T - COMMON BELL ATLANTIC - COMMON CHEVRON - TEXACO COMCAST - COMMON EASTMAN KODAK - COMMON PACIFIC TELESIS - COMMON PEPSICO-COMMON SOUTHWESTERN BELL- COMMON U.S. WESTo COMMON XEROX- COMMON U.S. WEST MEDIA GROUP EASTMAN CHEMICAL CO. AIRTOUCH COMMUNICATIONS

A
A A A A A A A A A A

Dividend
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

J
J J J K J J J K J J

T
T T T T T T T T T T

A A A A
A

Dividend Interest Dividend Dividend

Dividend

J J J J
J

T T T T
T

17. NCRCORP.

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50.001 - $100,000 J =$15.000 or Ices N =$250.001 - $500.000 P3 ~$25.000.001 - $50.0~0.000 Q =Appraisal U =B~ok Value

B =$ 1,0O I - $2.500 G=$100.001 - $1.000.000 K =$I 5.001 - $50.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V :Olher

C =$2,501 - $5,000 III =$1.000,001 - $5,000.000 L =$50.0~1 - $100.000 PI =$1,000.001 - $5.000.000 P4 =More than $50.00~.000 W =Estimated

D -$5.0OI - $15.000 112 =More than $5.000,000 M :$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Ma~kc~

E =$15.001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 5 of 12

Name of Person Reporting Spate, Arlhur D.

Date of Report 05/05/201 I

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes 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) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) (2) [ Amount Type (.g., Code I div., rent, ~ (A-H) or int.) C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method Code 3 (J-P) Transactions during reporting period

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

(2) (3) (4) Date Value Gain rnm/ddiyy Code 2 Code I (J-P) (A-H)

[
18.
19.

(Q-W)
A
A

(5) Identity of buyer/seller (if private transaction)

TRICON GLOBAL
SBC COMMUNICATIONS

Dividend
Dividend

J
J

T
T

20.

COMPAQ COMPUTER
GENERAL ELECTRIC CO.

Dividend

21.

Dividend

22.

AGERE SYSTEMS, INC.

Dividend

23.

YUM BRANDS, INC.

Dividend

.1

24.

HEWLETTPACKARD CO.

Dividend

25.

QWEST COMMUNICATIONS
CHESAPEAKE UTILITIES CORP.

Dividend

26.

Dividend

27.

VODAFONE

Dividend

28.

iDEARC iNC.

Dividend

29.

LSI Corp.

Dividend

30.

LIMITED PARTNERSHIP

31.

BERKSHIRE LAND VENTURE CO.

Dividend

32.

BERKSHIRE LAND VENTURE CO.

Inlerest

33.

INTEREST NORTH FORK BANK, accounts & cash

34.

including IRA

Interest

I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (S~c Columo.s CI and D3) 3. Value Method Codes (See Cohlmn C2)

A =$1,000 or less F =$50.001 - $100,000 J =$15.000 or less N =$250.0(31 - $500.0~0 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value

B =$1.001 - $2.500 G =$I00.001 - $1.000.000 K =$15.001 - $50.000 O =$500.001 - $1.000.0~ R =Cost 1 Real Estate. Only) V =Olhcr

C =$2.501 - $5,000 I I I =$1.000.001 - $5.000.000 L =$50.001 - $100,0~) PI =$1.0~.(XH - $5.0~.0(}0 P4 =More than $50.000,000 S =Asscssm~nt W -Estimated

D =$5.001 - $15,000 112 =Morc than $5.000.1~00 M =$100.091 - $250.000 P2 =$5.0(X).0OI - $25,000.0OO T =Cash Market

E =$15,001 - $50.0~

FINANCIAL DISCLOSURE REPORT Page 6 of 12

Name of Person Reporting Spate, Arthur D.

Date of Report 05/05/201 I

VII. INVESTMENTS and TRU STS - income..al,,e. ~a,.sactio,~ a.clud~ those o/ sr~use and depe.dent children; see pp. 34-60 of filing instructions.)
---] NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust asset~) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) (2) I Amount Type (e.g., [ Code I div., rent, or int.) i (A-H) Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value mm/ddtyy Code 2 (J-P) (5) Identity of buyer!seller (if private transaction)

Gain Code I (A-H)

35.

Portion of Pension Plan Rolled Over (See Part II)

36. BONDS

37. NEW YORK STATE HOUSING

FINANCE AGENCY

D C D D A A A A A A .

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

L K L L J J J K

T T
Sold T T T T T Sold 08/02/10 12/21/10 J A

38. 39.
40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

POWER AUTHORITY OF NY DORMITORY AUTHORITY OF NY

DORMITORY AUTHORITY OF NY STATE OF ISRAEL BONDS NY STATE THRUWAY AUTHORITY NYS DEPT. OF HEALTH N.Y. STATE DORMITORY AUTH. ROCHESTER DUTCHESS COUNTY DEV. AGENCY OTSEGO COUNTY

K J J

T T T Sold :06/15/10 K

NEW YORK STATE ENVIRONMENTAL, A BRIARCLIFF MANOR GREECE NY CSD SCOTIA GLENVILLE, NY Rochester, NY A A A A

K J

T T

I. Income Gain Codes: (See Columns BI and D4) 2. Value Cod,.s (.See Columns CI and D3) 3. Value Method Codes (S~e Colnmn C2)

A =$1.000 or less F =$50.001 - $100.0~0 J -$15.000 or less N =$250.001 - $5(X).000 P3 =$25.000.0OI - $50.000.000 Q ~Appraisal U -Book Value

B =$1,001 - $2.500 G =$100.001 - $1.000.000 K =$15.001 . $50.000 O =$50~.001 - $1.000.000 R -~:ost (Real Estate Only) V =Other

C =$2,501 - $5,000 III =$1.000.001 - $5.D~0.000 L =S50.001 - $100.000 PI =$1.000.001 - $5.000.00~ P4 =More than $50.000.000 S =Assessment W =Eslimatcd

D =$5.001 - $ I 5,000 112 =More than $5.000.000 M =SIO0.001 - $250.000 P2 =$5.000.001 - $25.000.00~ T -~?ash Markcl

E =$15,001- $50.000

FINANCIAL DISCLOSURE REPORT Page 7 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 05/05/2011

VII. I NVESTMENTS and TRUSTS - income, value, ~a.~action~ (Includ~ those of spouse and dependent children; scepp. 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period Transactions during reporting period

O)
Value Code 2 (J-P)

(2)
Value Method Code 3

Place "(X)" after each asset exempt from prior disclosure

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

(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)

(Q-W)
52. North Colonic School Dist. A Interest K T

Identity of buyer/seller (if private transaction)

53.

Port Authorily NY & NJ

Interest

54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66.
67.

L.I. Power Authority Triborough Bridge & Tunnel Authority NY STATE DORMITORY AUTHORITY NORTHPORT-E.NORTHPORT SyracuseNY UGO Sachem Cent. Sch. Dist. NYSTATE POWER AUTHORITY NY State EnvironmentalFACS Buffalo, NY Niagara Wheatfield, NY Central HAVERSTRAW STRONG POINT RENSSELEAR NY MUN. IRA STOCKS
ALLEGHENY ENERGY INC.

A A B A A A A A A A A A

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

J K K K J J J J J K J J

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

Dividend

68.

AMERICAN ELECTRIC POWER CO., INC.

Dividend

I. Income Gain Codes: [See Columns B I and D4) 2. Value Codes |See Columns CI and D3) 3. Value Method Codes ISce Colmnn C21

A =$1,000 or less F =$50,001 - $ 100,000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25,000.001 - $50.000.000 Q =Appraisal U =Book Value

B =$1,0~1 - $2.500 G =$100.001 - $ 1.000.0~0 K =$15.001 - $50.1300 O =$.~0.001 - $1,0~.000 R =(Sost (Real Estalc Only) V =Olhcr

C =$2.501 - $5,000 I I I =$ 1.000.001 - $5.0(~.000 L =$50.001 - $100.000 PI =$1.000.001 - $5,000,0~0 P4 =More than $50.000.0~0 S =Assessment W =Eslimated

D =$5,001 - $15.000 112 =More than $5,000,000 M =$100.001 - $250.000 P2 =$5.~)0.001 - $25,0~0.000 T =Cash Marke~

E =$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 8 of 12

Name of Person Reporling Spatt, Arthur D.

Date of Report 05/05/2011

VII. INVESTMENTS and TRUSTS - i.co,.e, vat.e, ,,onsatior.~ anctud~ those of spouse and aepenaent chitare.: see pr, 34-60 of fiti.g instructions.)
D

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

A. B. Income during

Description of Assets (including trust assets) i (i)

Place "(X)" after each asset exempt from prior disclosure

C. Gross value at end

Transactions during reporting period

(I) Type (e.g., buy, sell, t~:lemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

reporting period (2)

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

of reporting period (l) (2)

Value Code 2 (J-P) Value Method Code 3

~
69.
70.

(Q-W)
Dividend
Dividend

CASCADE NATURALGAS CORP.

CENTRAL & SOUTH WESTCORP.

A
A

J
J

T
T

71. 72. 73. 74. 75. 76. 77. 78.

79.

CONNECTIV INC. CONNECTIV INC. CL A ENERGY EASTCORP.. ENOVA CORP. FPLGROUP INC. FIRST ENERGY CORP. MIDAMERICAN ENERGY HOLDINGS CO. NEVADA POWER CO.
NEW ENGLAND ELECTRIC SYSTEM

A A A A A A A A
A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

Dividend

J J K J J J J J
J

T T T T T T T T
T

80.

POTOMAC ELECTRIC POWER CO.

Dividend

81.

TEXAS UTILITIES CO. (Holding Co.)

Dividend

82.

TEXAS UTILITIES

Dividend

83.

WESTERN RESOURCES INC. (Western

Dividend

Energy, Inc.)
84. PMC CAPITAL INC. A Dividend J T

85. ROCHESTER GAS & ELECTRIC CORP.

Dividend

I. Income Gain Codes: (See Columns BI and 1)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes ISce Column C2)

A =$1.000 or less F =$50,001 - $100,0~) J =$15.000 or h.ss N =$250,001 - $500.000 P3 =$25,000.001 - $50.000.000 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G =$100.001 - $1.000.000 K =$15.001 - $50.000 O -$500.001 - $1.CO0.000 R =Cos! {Real Estate Only) V =Olher

C =$2,501 - $5,000 III =$1.000.001 - $5.000,000 L =$50.001 - $100,0~) PI =$1,000.001 - $5,0~0.000 P4 =More than $50.000.0~0 S =Asscssrt~*nt W :Eslimatcd

D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 ~$5.000,001 - $25,000.000 T =Cash Markd

E =$15.001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 9 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 05/05/201 I

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

Description of Assets (including trust assets) Income during Gross value at end Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value mm/dd~ Code 2 (J-P) (5) Identity of buyer/seller (if private transaction)

~:porting period
(I) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.)

of reporting period
(I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) Gain Code 1 (A-H)

Place "(X)" after each asset exempt from prior disclosure

86. 87. 88. 89. 90. 91. 92.

SEMPA ENERGY SIERRA PACIFIC PEPCO HOLDINGS, INC. EAGLE MERGER CORP. RGS ENERGY GROUP, INC. OCCIDENTAL PETROLEUM CORP. KIMBERLY-CLARK CORP.

A A A A A A A A A A A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

J j J J J J J J J J J J J J J K K

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

93. CISCO SYSTEMS INC. 94. 95. 96. 97. 98. 99. JOHNSON & JOHNSON PMC COMMERCIAL TRUST THE SOUTHERN COMPANY WESTSTAR ENERGY PUGET ENERGY INC. CHESAPEAKE UTILITIES CORP.

100. VERIZON COMMUNICATIONS I01. QUEST DIAGNOSTICS 102. CHEVRON CORP.

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and DJ) 3. Value Method Codes (See Column C2)

A =$1.000 or less F =$50.001 - $100.000 J =$15.0(10 or Ices N =$250.001 - $500.000 P3 =$25.000,001 - $50.090.000 Q =Appraisal U =Book Value

[3 =$1.001 - $2,500 G =$100.001 - $1,000,000 K =$15,001 - $50.000 O =$500,001 - $1.000.00~ R =Cost (Rcal Estate Only) V =O~her

C =$2,501 - $5,000 It I =$1,000.001 - $5.000.000 L =$50.1)01 - $10~.000 PI =$1,000,001 - $5.000,000 P4 =More than $50.0~).000 S =Assessmcm W =Esfimalcd

O =$5.0OI - $15.000 112 =More than $5,000.000 M =$100.001 - $250.0~0 P2 =$5.000,001 - $25,000.000 T =Cash Markcl

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 10 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 05/05/201 I

VII. INVESTMENTS and TRUSTS - i.come, vatu., .a~a.io~ ancludes ,hose o/ ~poase and dependcn, children; see pp. 34-60 of filing instructions.)
NONE (IVo reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period Gross value at end of reporting period Transactions during reporting period

(i)
Place "(X)" after each asset exempt from prior disclosure
Amount Code I (A-H)

(2)
Type (e.g., div., rent, or int.)

(i)
Value Code 2 (J-P)

(2)
Value Method Code 3

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

(2) (3) (4) Date Value Gain mrn!dd./yy Code 2 Code I (J-P) (A-H)

(Q-w) 103. ENERGY TRANFER PARTNERS 104. NV ENERGY INC.

105. CORPORATE BONDS

(5) Identity of buyer/seller (if private transaction)

A
A

Dividend
Dividend

K
K

T
T

106. TENESSEE VALLEY AUTHORITY Power A Bond 1993 Series C 107. COMMONWEALTH EDISON CO. 8.625% Due 2/1/2002
108. OPPENHEIMER HIGH YIELD FUND A (See Rider 2) 109. WARWICK NY CENT.

Interest Interest Dividend Interest

J J M K

T T T T

A
B A

I. Income Gain Codes: (Sce Columns BI and 1)4) 2. Value Cod~ ISee Columm CI and D3) 3. Value Method Codes ~See Column C2)

A =$1.000 or less F =$50.001 - $100.000 J =$15.000 o less N =$250.001 - $500.000 P3 =$25.000.001 - $50,000,000 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G =$100.001 - $1.000.000 K =$15.001 - $50.00) O =$500,001 - $1.000.00~ R =Cost (Real Estate Only) V =Olhcr

C =$2.501 - $5.000 Ill =$1,000.001 - $5.0~0.000 L =$50.001 - $10~.0~ PI =$1.0~0.001 - $5.000.0~0 P4 =Mo~e titan $50.000.000 S =Asscssm~mt W =Estimated

D =$5.001 - $15,000 112 =More than $5.000.1~0 M =$100.001 . $250.000 P2 =$5.0~0.001 - $25.000.000 1" =Cash Market

E =$15,001- $50.000

FINANCIAL DISCLOSURE REPORT Page 11 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Repor~ 05/05/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indlcatepar~ofreport)

RIDER I (Response to "I1 - AGREEMENTS" -- first page) As a former participating member of the Spatt & Bauman, P.C. pension and profit-sharing plan, when I withdrew from the firm and the practice of law in 1978, my share ofthe pension plan was severed and "rolled over." The funds were not used and were placed in individual retirement accounts in two types of investments as follows: a) bonds and stocks in the aggregate value o~ as of December 31, 2010. b) cash in the Capital One Savings Bank, Great Neck, New York branch, in the estimated sum of~as of December 31. 2010. RIDER 2 (Response to "11 - AGREEMENTS" -- first page) Prior to entering into the Spatt & Bauman, P.C. pension plan, when I was a single practitioner I started an individual retirement "Keogh Plan." When I withdrew from the practice of law, 1 "rolled over" the Keogh Plan, and it remains in that unused condition. The "Keogh" funds are in an Oppenheimer High Yield Fund and are in the value of approximatelyI as of December 31, 2010.

FINANCIAL DISCLOSURE REPORT Page 12 of 12 IX. CERTIFICATION.

Name of Person Reporting Spatt, Arthur D.

Date of Report 05/05."2011

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 ~vas 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 ~vhich 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: S/Arthur D. Spatt

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

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

AO I0 Rev. 1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization Eastern District of New York
5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)

I. Person Reporting (last name, first, middle initial) Spatt, Arthur D. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)

3. Date of Report 07/11/2011 6. Reporting Period 01/01/2010 to 12/31/2010

U.S. District Judge, Senior

5b. [] Amended Report

7. Chambers or Office Address Long Island Federal Courthouse P.O. Box 9014 Central Islip, New York 11722

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

IMPOR TANT NOTES: The instructions accompanying this form must be followed[ Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~

I. POSITIONS. tRepo~ang individual only; see pp. 9-13 of filing instructions.)

NONE (No reportable positions.) POSITION

NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. me~,or, in~ indlvidaat only; see pp. 14-16 of filing instructions.)

D
1.1979 2. 1979 3.

NONE (No reportable agreements.) DATE

PARTIES AND TERMS Prior pension and profit-sharing plans rolled over (See Rider l annexed hereto) Individual Retirement "Keogh" Plan (See Rider 2 annexed)

SDatt, Arthur D. A

FINANCIAL DISCLOSURE REPORT Page 2 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 07/I 1/2011

III. NON-INVESTMENT INCOME. ~nepor~nglndlvldualondspo,~e;seep~ 17-24of~llngins,~u~ion~)

A. Filers Non-Investment Income

D
1.2010 2. 3. 4.

NONE (No reportable non-investment income.)

DATE

SOURCE AND TYPE

New York State Retirement Pension

INCOME
(yours, not spouses)

$18,820.00

B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

~]

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

1. 2. 3. 4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertal .... L

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.) SOURCE

I. 2. 3. 4. 5.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

Name Person Reporting FINANCIAL DISCLOSURE REPORT I Spatt,ofArthurD.

Date of Report 07/I 1/2011

Page 3 of 12

V. GIFTS. ancla,~, ,hose to xpottse and dependent children; $ee pp. 28-31 of fillng lnstructlons.)
NONE (No reportable gifts.) SOURCE
I. 2. 3.
4.

DESCRIPTION

VALUE

5.

VI. LIAB ILITIES. anci,,des those of spo~e and dependent children; see pp. 32-33 of filing instruction&)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 4 of 12

Name of Person Reporling Spate, Arthur D.

Date of Repor~ 07/11/2011

VII. INVESTMENTS and TRUSTS - i, com,. vat,,, tra,~aaio,~ (Includes those of spouse and dependen, children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) Date mm/dd!yy (3) (4) Value Gain Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.

STOCKS AIRTOUCH COMMUNICATIONS AMERITECH - COMMON AT&T - COMMON BELL ATLANTIC - COMMON CHEVRON - TEXACO COMCAST - COMMON EASTMAN KODAK - COMMON PACIFIC TELESIS - COMMON PEPSICO- COMMON SOUTHWESTERN BELL- COMMON U.S. WEST- COMMON XEROX- COMMON U.S. WEST MEDIA GROUP EASTMAN CHEMICAL CO. AIRTOUCH COMMUNICATIONS NCRCORP. A A A A A A A A A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend J J J J K J J J K J J J J J J J T T T T T T T T T T T T T T T T

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes {See Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50,001 - $100,000 J =$15,000 ~ Ices N =$250,001 - $500.000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U -Book Value

B =$1,001 - $2.500 G =$100,001 - $1.000.000 K =$15.001 . $50.000 O =$500.001 - $1.000.000 R =Cosl (Real Estate Only) V =O~her

C =$2.501 - $5.0~0 II I =$1,000.001 - $5.000.000 L =$50.00| - $100.000 PI =$1,000,001 - $5.0~0,000 P4 =Mo~ than $50.0~O.000 S =Asscssm~"nt W =Estimated

D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.0~O.001 - $25.000.000 T -C~sh Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 5 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 07/11/2011

c VII. INVESTMENTS and TRUSTS - i.eom., rot.,, ~ ....,io.s (Includes those of sp ......d dependent children; see pp. 34-60 of filing instructionsO

NONE

reportable income, assets, or transactions.)

A. B.
Income during reporting period (I) Amount i Code I (2) Type (e.g., div., rent,

C.
Gross value at end of reporting period (I) (2) Value Value Method Code 2 (I) Type (e.g., buy, sell,

D.
Transactions during reporting period (2) (3) (4) Date Value mm/dcl~,y Code 2

Description of Assets (including trust assets) Place "CA)" after each asset

Gain Code 1

exempt from prior disclosure

(A-It)

or int.)

I J-P)

Code 3

redemption)

(J-P)

(A-H)

,
18. TRICON GLOBAL A Dividend J"

(Q-W)
T

(5) Identity of buyetZseller (if private transaction)

19.

SBC COMMUNICATIONS

Dividend

20.

COMPAQ COMPUTER

Dividend

21.

GENERAL ELECTRIC CO.

Dividend

22.

AGERE SYSTEMS, INC.

YUM BRANDS, INC.

Dividend

23.

Dividend

24.

HEWLETI" PACKARD CO.

Dividend

25.

QWEST COMMUNICATIONS
CHESAPEAKE UTILITIES CORP.

Dividend

26.

Dividend

27.

VODAFONE

Dividend

28.

iDEARC iNC. LSI Corp.

Dividend

29.

Dividend

30.

LIMITED PARTNERSHIP

31.

BERKSHIRE LAND VENTURE CO.

Dividend

32.

BERKSHIRE LAND VENTURE CO.

Interest

33.

INTEREST NORTH FORK BANK, accounts & cash

34.

including IRA

Interest

I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1.000 or less F = $ 50.001 - $ 100,000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G = $ 100.001 - $ 1.000,000 K =$15,001 - $50.000 O =$500,001 - $1.000,000 R Cost (Real Estate Only) V =O~hcr

C ~$2.501 - $5.000 ! I I =$ 1.000.001 - $5.000.000 L =S50,001 . $100.000 PI =$1.000,001 - $5.000,000 P4 =More than $50,000.000 S =As~ssm..mt W =Eslimated

D =$5.001 - $15,000 112 = More t ha n $5.000.(~00 M =$100.001 o $250.000 P2 =$5.000.001 - $25.0~O.000 T =Cash Markc~

E =$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 6 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 07/I 1/2011

V I I. I N V E S T M E N T S a n d T R U S T S - i.c ...... lue, transaction.v (Includes those of spouse and dependent c hildren; see pp. 34-60 of filing instructlons.)
~] NONE

(No reportable income, assets, or transactions.)

B. Income during reporting period i (I) (2) i Amount T~:~e (e.g., :r Code I div., rent, i or int.) i (A-II) C. Gross value at end ofreporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) Date mmldd/yy (3) (4) Value Gain Code 2 Code I (J-P) (A-H) (5) Identity of buyer!seller (if private transaction)

A. Description of Assets (including trust asse~,) Place "(X)" after each asset exempt from prior disclosure

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

Portion of Pension Plan Rolled Over (See Part II) BONDS NEW YORK STATE HOUSING FINANCE AGENCY POWER AUTHORITY OF NY DORMITORY AUTHORITY OF NY DORMITORY AUTHORITY OF NY STATE OF ISRAEL BONDS NY STATE THRUWAY AUTHORITY NYS DEPT. OF HEALTH N.Y. STATE DORMITORY AUTH. ROCHESTER DUTCHESS COUNTY DEV. AGENCY OTSEGO COUNTY NEW YORK STATE ENVIRONMENTAL BRIARCLIFF MANOR GREECEN CSD SCOTIA GLENVILLE, N Rochester, NY D C D D A A A A A A A A A A A Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest K J T T K J J T T T Sold 06/15/10 K A L K L L J J J K T T T T T T T T Sold 08/02/10 J A Sold 12/21/10 J A

I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes ISce Columns CI and D3) 3. Value Melhod Codes {See Column C2)

A $1.000 or less F -$50.001 - 5100,0DO J =SI 5.000 or less N =5250.0~1 - $500.000 P3 =$25.000.001 - $50.000.000 Q -Appraisal U -Book Value

B =$1,001 - 52.500 G =$100.001 - $1.000,000 K =515.1~)1 - $50.000 O 5500.001-$1,000.000 R =Cost {Real l:~tatc Only) V =O~hcr

C =$2.501 - $5,000 II I =$1.000,001 - $5,000.000 L =.$50.001 - $100,000 P I =$1.000.0Ol - $5.000.000 P4 =More than $50.000.000 S =Asscssrm.~t W =Eslimated

D =$5,001 - $15.000 112 =More than 55.000.000 M =510O.001 - 5250.000 P2 =$5.000.001 - 525,000.0GO T =Cash Market

E =515,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 7 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 07/11/201 I

VII. INVESTMENTS and TRUSTS -into ..... ~.e, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)

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

A. Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure

B. Income during reporting period (i) (2) i Amount Type (e.g., Code I div., rent, (A-It) or int.)

Gross value at end of reporting period

D. Transactions during reporting period

(1)
Value Code 2 (J-P)

(2)
Value Method Code 3

(I)
Type (e.g.,
buy, sell,

(2)
Date

(3)
Value

(4)
Gain
Code I (A-H)

(5)
Identity of
buyer/seller

redemption)

mm/ddhyy Code 2 (J-P)

(if private
t~ansaction)

(Q-W) 52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68. North Colonie School Dist. Port Authority NY & NJ L.I. Power Authority Triborough Bridge & Tunnel Authority NY STATE DORMITORY AUTHORITY NORTH PORT-E.NORTHPORT SyracuseNY UGO Sachem Cent. Sch. Dist. NY STATE POWER AUTHORITY NY State EnvironmentalFACS Buffalo, NY Niagara Wheatfield, NY Central HAVERSTRAW STRONG POINT RENSSELEARNY MUN. IRA STOCKS ALLEGHENY ENERGY INC. AMERICAN ELECTRIC POWER CO., INC. A A Dividend Dividend J J
T T

A A A A B A A A A A A A A A

Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest lnterest Interest Interest Interest

J
K

T
T

I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Cod~ ISce Columr~s CI and D3) 3. Value Method Codes (See Column C2)

A =$1.000 or less F = $50.001 - $ 100.000 J =$15.000 o~ less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.0~0 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G =$100.001 - $ 1.000.000 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R =Cost (Rcal Estate Only) V =Other

C =$2.501 - $5,000 I I I = $ 1.000.001 - $5.000.000 L =$50.001 - $100.000 PI =$1.000.001 - $5.1X~0.000 P4 =Mote than $50.000.000 S =Assessment W =Estimated

D =$5.001 - $15.000 I 12 =M ore than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000.000 T =Cash Markcl

E =$15.0~1 - $50.000

FINANCIAL DISCLOSURE REPORT Page 8 of 12

Name of Person Reporting Spatt, Arthur D.

Dale of Report 07/11/2011

VlI. INVESTMENTS and TRUSTS - income, value, transactions (lnclude~ 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) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) i Amount i Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 Transactions during reporting period

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

(2) (3) (4) Date Value Gain mm/dd~ Code 2 Code I (J-P) (A-tl)

(Q-W)
69. CASCADE NATURALGAS CORP.
70. CENTRAL & SOUTH WEST CORP.

(5) Identity of buyer/seller (if private transaction)

A
A

Dividend
Dividend

J
J

T
T

71. CONNECTIV INC. 72. 73. CONNECTIV INC. CL A ENERGY EAST CORP..

A A A A A A A A A A B A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

J J K J J J J J J J K J J J J

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

74. ENOVA CORP. 75. 76. 77. FPLGROUP INC. FIRST ENERGY CORP. MIDAMERICAN ENERGY HOLDINGS CO.

78. NEVADA POWERCO. 79. 80. 81. 82. 83. 84. NEW ENGLAND ELECTRIC SYSTEM POTOMAC ELECTRIC POWERCO. TEXAS UTILITIES CO. (Holding Co.) TEXAS UTILITIES WESTERN RESOURCES INC. (Western Energy, Inc.) PMC CAPITAL INC.

85. ROCHESTER GAS & ELECTRIC CORP.

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (Set: Columns CI and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$50,001 - $100.000 l =$15.000 or less N -$250.001 - $500.000 P3 =$25.000.001 - $50.000.0~O Q :Appraisal U = Book Value

B=$1,001 - $2,500 G =$100,001 - $1.000.000 K =$15,001 - $50.000 O =$500.001 - $1,000.000 R =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 II I =$1.000.001 - $5,000.000 L =$50.001 - $100.000 PI =$1,000.001 - $5,000.000 P4 =More than $50.00~.000 S =Assessrru.mt W =Estimated

D =$5,001 . SI5.000 112 =More than $5.000.000 M =$100.001 - $250.000 12 =$5.000.001 - $25.000.000 T =Cash Market

E =$15,001 - $50,000

FINANCIAL DISCLOSURE REPORT Page 9 of 12

Name of Person Reporting Spatt, Arlhur D.

Date of Report 07/I 1/9011

VII. INVESTMENTS and TRU STS -inco,,,e, ,,,,I,,e, ,,,,,~,,ction~ anclud.s thoso o/ spous, ond d.pende.t children; see pp. 34-60 of filing instructionsO
D

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

A. Description of Assets (including trust assets) Place "00~ after each asset exempt from prior disclosure B. Income during reporting period (1) (2) hanount Tyl:~ (e.g., Code I div., rent,
(A-H) or int.)

I 86. 87. 88. 89. 90. 91. 92. 93. SEMPA ENERGY SIERRA PACIFIC PEPCO HOLDINGS, INC. EAGLE MERGER CORP. RGS ENERGY GROUP, INC. OCCIDENTAL PETROLEUM CORP. KIMBERLY-CLARK CORP. CISCO SYSTEMS INC. A A A A A A A A A A A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

C. Gross value at end of reporting period (1) (2) Value Value Method Code 2 Code 3 (J-P) (Q-W) J J J J J J J J J J J J J J J K K T T T T T T T T T T T T T T T T T

Transactions during reporting period

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

(2) (3) (4) Date Value Gain mm/dd~yy Code 2 Code I (J-P) (A-H)

(5) Identity of buyer/seller (if private transaction)

94. JOHNSON & JOHNSON 95. 96. 97. 98. 99. PMC COMMERCIAL TRUST THE SOUTHERN COMPANY WESTSTAR ENERGY PUGET ENERGY INC. CHESAPEAKE UTILITIES CORP.

100. VERIZON COMMUNICATIONS 101. QUEST DIAGNOSTICS 102. CHEVRON CORP.

I. Income Gain Codes: (See Columns B I and I)4 ) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (see Column C2)

A =$1,000 or less F = $50.0~ [ - $ 100.000 J =$15.000 or Ices N =$250.001 - $500.0(~0 P3 =$25.00~.0OI - $50.000,000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$ 100.001 - $ 1.000.000 K =515.001 - 550.000 O =$500.001 - $1,000.000 R .::Cost (Real E~tate Only) V =O~er

C =$2,501 - $5,000 tl I =$ 1.000,001 - $5.0~0.000 L =550.001 . 51130.000 PI =$1,000.001 - $5.000,000 P4 =More than $50,0~0.0(~ S =Assessment W =Esaimatcd

D =$5,001 - $15.0~0 112 =M ore than $5.090.000 M =5100.0~1 - $250.0~0 P2 =$5.0~O.001 - $25.000.0~O T =C~h Market

E =$15.001 - $50.0~0

FINANCIAL DISCLOSURE REPORT Page 10 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 07/11/2011

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

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

(i)
Amount Code I (A H)

(2)
Type (e.g., div., rent, or int.)

(l)
Value Code 2 (J-P)

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

(D
Type (e.g., buy, sell, t~-dempliort)

(2)

(3)
(J-P)

(4)
Gain Code I (A-H)

(~)
Identity of buyer/seller (if private transaction)

Date Value mm/dd/yy Code 2

103. ENERGY TRANFER PARTNERS IO4. CORPORATE BONDS

Dividend

105. TENESSEE VALLEY AUTHORITY Powe~ A Bond 1993 Series C 106. COMMONWEALTH EDISON CO. 8.625% Due 2/I/2002 107. OPPENHEIMER HIGH YIELD FUND A (See Rider 2) 108. WARWICKNY CENT. A B A

Interest Interest Dividend Interest

J J M K

T T T T

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D31 3. Value Method Cod~ (See Column C2)

A =$1,000 or Ices F =$50,001 - $10O,000 J ~$15.000 or less N =$250.001 - $500.0~0 P3 =$25,000,001 - $50.000,000 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G =$I00.001 - $1,000,000 K =$15.001 - $50,000 O =$500.001 - $1.000.000 R -~Cost (Real Estate Only) V =O~hcr

C =$2.501 - $5.000 III =$1.000,001 - $5,000.000 L =$50.001 . $100.000 PI =$1,000,001 - $5.000,000 P4 =More than $50.000.000 S =Assessment W =Estimated

D ~$5.001 - $15,000 112 =More than $5.000,000 M =$100,001 - $250,000 P2 =$5.000,001 - $25,000.(~0 T =Cash Market

E =$15,001- $50,000

FINANCIAL DISCLOSURE REPORT Page 11 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 07/I 1/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (indicate part of report)

RIDER I (Response to "If - AGREEMENTS" -- first page) As a former participating member of the Spatt & Bauman, P.C. pension and profit-sharing plan, when I withdrew from the firm and the practice of law in 1978, my share of the pension plan was severed and "rolled over." The funds were not used and were placed in individual retirement accounts in two types of investments as follows: a) bonds and stocks in the aggregate value of $276,498.72 as of December 31,2010. b) cash in the Capital One Savings Bank, Great Neck, New York branch, in the estimated sum of $24,626.00 as of December 3 l, 2010. RIDER 2 (Response to "ll - AGREEMENTS" -- first page) Prior to entering into the Spatt & Bauman, P.C. pension plan, when I was a single practitioner I star~ed an individual retirement "Keogh Plan." When I withdrew from the practice of law, I "rolled over" the Keogh Plan, and it remains in that unused condition. The "Keogh" funds are in an Oppenheimer High Yield Fund and are in the value ofapproxiraately $29,983.14 as of De~ember 3 I, 2010.

FINANCIAL DISCLOSURE REPORT Page 12 of 12

Name of Person Reporting Spatt, Arthur D.

Date of Report 07/I 1/2011

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 any information not reported was svithheld 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 provisions of 5 U.S.C. app. 501 et. seq, 5 U.S.C. 7353, and Judicial Conference regulations.

Signature: S/Arthur D. Spatt

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

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544