# Carla Craig

> Federal judicial disclosures.

URL: https://www.frixlaw.com/law-library/disclosures/10980

## Record

- **Judge:** Carla Craig
- **Year:** 2014
- **Report type:** Annual
- **Pages:** 25

## Text

Lomne Spruce LP
Citibank Checking and Money Market Accounts — Interest
LP. Morgan Money Market — Int/Div
JPM US Real Estate Income and Growth Direct LP (474995958) — None
JPM Floatmg Rate Income Fund (JPHSX) — Int/Div
Global Access Macro LLC II ) (Y)
IP Morgan International Currency Income Fund JCISX) — None
JP Morgan Strategic Income Opportunites Fund 3844 (JSOSX) — Int/Div
American Century Equity Income Fund 123 (TWEIX) — Int/Div
iShares MSCI All Country Asia Ex Japan Index Fund (AAXJ) — Int/Div
JP Morgan Intl. Value Fund (JIESX) — Int/Div — Buy (add'l)
CSEFR Private Investors LLC IE — None
JP Morgan Tax Aware R/R Fund (TXRSX)) (f/k/a JP Morgan TR Fund 992) — Int/Div
Fidelity Cash Reserves — Int/Div
Fidelity Spartan NY Muni Income — Int/Div
Aquila Three Peaks High Income Inst (ATIPX) — Int/Div — Sold
Artisn High Income Investor (ARTFX) — Int/Div — Buy
Artisn High Income Investor (ARTFX) — Buy (add'l)
Artisn High Income Investor (ARTFX) — Sold (part)
Artisn High Income Investor (ARTFX) — Sold (part)
Artisn High Income Investor (ARTFX) — Buy (add'l)
Artisan Midcap Value (ARTOX) — None — Sold
Fidelity Banking (FSRBX) — Int/Div — Buy
Fidelity Banking (FSRBX) — Buy (add'l)
Fidelity Money Market Account (FCASH) x) — None
Fidelity Conservative Income Bond (FCONX) — Int/Div — Buy (add'l)
Fidelity Conservative Income Bond (FCONX) — Buy (add'l)
Fidelity Conservative Income Bond (FCONX) — Buy (add'l)
Fidelity Conservative Income Bond (FCONX) — Buy (add'l)
Fidelity Conservative Income Bond (FCONX) — Sold (part)
Fidelity Conservative Income Bond (FCONX) — Buy (add'l)
Fidelity Electronics (FSELX) — None — Buy
Fidelity Electronics (FSELX) — Sold
Fidelity Floating Rate High Income (FFRHX) — Int/Div — Sold (part)
Fidelity Floating Rate High Income (FFRHX) — Sold
Fidelity Intermediate Bond ((FTHRX) — Int/Div — Buy
Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)
Fidelity Intermediate Bond ((FTHRX) — Sold (part)
Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)
Fidelity Intermediate Bond ((FTHRX) — Buy (add'l)
Fidelity Int'l Growth (FIGFX) — Int/Div — Buy (add'l)
Fidelity Int'l Growth (FIGFX) — Buy (add'l)
Fidelity Int'l Growth (FIGFX) — Buy (add'l)
Fidelity Int'l Growth (FIGFX) — Buy (add'l)
Fidelity Int'l Growth (FIGFX) — Buy (add'l)
Fidelity Int'l Growth (FIGFX) — Sold (part)
Fidelity Int'l Growth (FIGFX) — Sold (part)
Fidelity Int'l Growth (FIGFX) — Buy (add'l)
Fidelity Japan Small Companies (FJSCX) — None — Buy
S10. — Sold
Fidelity Low Priced Stock (FLPSX) — Int/Div — Buy (add'l)
Fidelity Medical Equipment & Systems (FSMEX) — Int/Div — Buy
Fidelity Medical Equipment & Systems (FSMEX) — Buy (add'l)
Fidelity Mega Cap Stock (FGRTX) — Int/Div — Sold (part)
Fidelity Mega Cap Stock (FGRTX) — Sold (part)
Fidelity Mega Cap Stock (FGRTX) — Sold (part)
Fidelity Mega Cap Stock (FGRTX) — Buy (add'l)
Fidelity Mega Cap Stock (FGRTX) — Buy (add'l)
Fidelity Mega Cap Stock (FGRTX) — Sold (part)
Fidelity Mega Cap Stock (FGRTX) — Buy (add'l)
Fidelity Select Multimedia (FBMPX) — Int/Div — Buy
Fidelity Select Multimedia (FBMPX) — Buy (add'l)
Fidelity Select Utilities (FSUTX) — Int/Div — Buy
Fidelity Select Utilities (FSUTX) — Buy
Fidelity Transportation (FSRFX) — Int/Div — Buy
Fidelity Transportation (FSRFX) — Sold
Fidelity Transportation (FSRFX) — Buy
Fidelity Transportation (FSRFX) — Buy (add'l)
Hartford Healthcare Fund (HGHAX) — Buy (add'l)
Hartford Healthcare Fund {(HGHIX) — Sold (part)
Hartford Healthcare Fund {(HGHIX) — Sold (part)
PIMCO All Asset Fund Adm Class (PAALX) — Int/Div — Sold (part)
PIMCO All Asset Fund Adm Class (PAALX) — Buy (add'l)
Primecap Odyssey Aggressive Growth (POAGX) — Int/Div — Buy (add'l)
Primecap Odyssey Aggressive Growth (POAGX) — Buy (add'l)
Primecap Odyssey Aggressive Growth (POAGX) — Buy (add'l)
Primecap Odyssey Aggressive Growth (POAGX) — Buy (add'l)
Primecap Odyssey Aggressive Growth (POAGX) — Buy (add'l)
Primecap Odyssey Growth (POGRX) — Int/Div — Buy
Primecap Odyssey Growth (POGRX) — Buy (add'l)
Primecap Odyssey Growth (POGRX) — Buy (add'l)
Primecap Odyssey Growth (POGRX) — Sold (part)
Primecap Odyssey Stock (POSKX) — Int/Div — Sold (part)
Primecap Odyssey Stock (POSKX) — Buy (add'l)
Vanguard Dividend Growth (VDIGX) — Int/Div — Sold (part)
Vanguard Dividend Growth (VDIGX) — Sold (part)
Vanguard Dividend Growth (VDIGX) — Sold (part)
Vanguard Dividend Growth (VDIGX) — Buy (add'l)
Vanguard Dividend Growth (VDIGX) — Sold (part)
Vanguard Dividend Growth (VDIGX) — Buy (add'l)
Vanguard Intermediate Term Tax Exempt (VWIUX) — Int/Div — Sold (part)
Vanguard Limited Term Tax Exempt (VMLUX) — Int/Div — Buy (add'l)
Vanguard Limited Term Tax Exempt (VMLUX) — Buy (add'l)
Vanguard Limited Term Tax Exempt (VMLUX) — Buy (add'l)
Vanguard Limited Term Tax Exempt (VMLUX) — Buy (add'l)
Vanguard Limited Term Tax Exempt (VMLUX) — Sold (part)
Vanguard Short Term Investment Grade (VFSUX) — Int/Div — Buy (add'l)
Vanguard Short Term Investment Grade (VFSUX) — Buy (add'l)
Vanguard Short Term Investment Grade (VFSUX) — Buy (add'l)
Vanguard Short Term Investment Grade (VFSUX) — Sold (part)
Vanguard Short Term Investment Grade (VFSUX) — Buy
MainStay Marketfield Fund Cll (MFLDX) — None — Sold (part)
MainStay Marketfield Fund Cll (MFLDX) — Sold (part)
MainStay Marketfield Fund Cll (MFLDX) — Sold (part)
MainStay Marketfield Fund Cll (MFLDX) — Sold (part)
MainStay Marketfield Fund Cll (MFLDX) — Sold (part)
MainStay Marketfield Fund Cll (MFLDX) — Sold
iShares Dow Jones US Aerospace & Development (ITA) — Int/Div — Buy (add'l)
iShares Dow Jones US Aerospace & Development (ITA) — Buy (add'l)
iShares Dow Jones US Aerospace & Development (ITA) — Sold (part)
iShares Dow Jones US Aerospace & Development (ITA) — Sold
iShares Dow Jones US Broker Dealers (1A) — Int/Div — Buy (add'l)
iShares Dow Jones US Broker Dealers (1A) — Sold (part)
iShares Dow Jones US Broker Dealers (1A) — Sold
Shares Dow Jones US Consumer (1YC) — Int/Div — Sold (part)
Shares Dow Jones US Consumer (1YC) — Sold
iShares Dow Jones US Healthcare Provider (IHF) — Int/Div — Buy
iShares Dow Jones US Healthcare Provider (IHF) — Sold (part)
iShares Dow Jones US Healthcare Provider (IHF) — Buy (add'l)
iShares Dow Jones US Healthcare Provider (IHF) — Buy (add'l)
iShares Dow Jones US Healthcare Provider (IHF) — Sold (part)
iShares Dow Jones US Healthcare Provider (IHF) — Sold
iShares Dow Jones US Industrial Sector Index (IY) — None — Buy
iShares Dow Jones US Industrial Sector Index (IY) — Sold
iShares Dow Jones US Oil & Gas Ex Index (IEO) — Int/Div — Buy
iShares Dow Jones US Oil & Gas Ex Index (IEO) — Buy (add'l)
iShares Dow Jones US Oil & Gas Ex Index (IEO) — Sold (part)
iShares Dow Jones US Oil & Gas Ex Index (IEO) — Sold
iShares Dow Jones US Regional Banks (IAT) — None — Buy
iShares Dow Jones US Regional Banks (IAT) — Sold
iShares Dow Jones US Utilities Sector Index {ID — None — Buy
iShares Dow Jones US Utilities Sector Index {ID — Sold
iShares FTSE/ Xinhua China 25 Index (FXI1) — None — Buy
iShares FTSE/ Xinhua China 25 Index (FXI1) — Sold
iShares MSC Brazil Index (EWZ) — None — Buy
iShares MSC Brazil Index (EWZ) — Sold
iShares North American Natural Resources (IGE) — None — Buy
iShares North American Natural Resources (IGE) — Sold (part)
iShares North American Natural Resources (IGE) — Buy (add'l)
iShares North American Natural Resources (IGE) — Sold
iShares Russell Midcap Growth Index (IWP) — Int/Div — Buy
iShares Russell Midcap Growth Index (IWP) — Buy (add'l)
iShares Russell Midcap Growth Index (IWP) — Sold (part)
iShares Russell Midcap Growth Index (IWP) — Sold
iShares S&P Global Technology Sector Index (IXN) — None — Buy
iShares S&P Global Technology Sector Index (IXN) — Sold
Kopemik Global All Cap A (KGGAX) — None — Buy
Kopemik Global All Cap A (KGGAX) — Sold
WisdomTree Japan Hedged Equity (DJX)
E-Trade f/k/a WIT Capital — None
Schulte Roth & Zabel Capital Account(investment in law firm) — Interest — Buy (add'l)
NY College Savings Program — None
Moderate Age Based Income Option Portfolio
Vanguard Educational IRA — None
Vanguard Small Cap Index Fund Investor Shires
Vanguard Educational IRA — None
Vanguard Small Cap Index Fund Investor Shares
BlackRock CollegeAdvantage — None
BR Growth Portfolio Option A
BlackRock CollegeAdvantage — None
BR Growth Portfolio Option A
B & McG Holdings — None
Shelter Venture Fund — Distribution
Special Situations Technology Fund, L.P — Int/Div
SRZ Savings Plan — None — Buy (add'l)
Wells Fargo Money Mkt Fund
Merck common stock
Pfizer common stock
SRZ Cash Balance Plan — None — Buy (add'l)
SRZ Thrift Plan — None — Buy (add'l)
SRZ Thrift Plan — Buy (add'l)
SRZ Partners Pension Plan — None — Buy (add'l)
Schulte Roth & Zabel Supplemental Retirement Fund — None — Buy (add'l)
Hancock-Pimeo Vit All Asset Portfolio (y)
Hancock-American International, Capital Research (v)
Hancock- PIMCO Real Return Bond (v)
Hancock-Int'l Growth Stock fka Int'l Opportunities (y)
Hancock-Amencan Growth, Capital Research (v)
Hancock-Real Estate Securities, Deutsche Asset Management (y)
Hancock-Natural Resources, Wellington & RS Investments (v)
Hancock- T. Rowe Price BlueChip Growth iy
Hancock-Small Cap Growth, Wellmgton Management (y)
Hancock-Fundamental Value, Davis Advisors (v)
Hancock-American Growth-lncome. Capital Research (y)
Hancock-International Growth Stock, Invesco Advisers (v)
Hancock-Money Market B (vy)
Prudential-Money Market (y)
BlackrockMulti Mgrins DedPartmers (y)
Fidelity VIP Money Market Portfolio Service Class (v)
AST Pimco Total Return Bond Portfolio (v)
M Capital Appreciation Fund (y)
M International Equity Fund (vy)
M Large Cap Growth (y)
Prudential-Stock Index Portfolio (y)
Prudential High Yield Bond Portfolio (v)
PIMCO VIT Real Return Portfolio Admin Class (v)
PIMCO VIT Commodity Real Return Strategy Portfolio Admin {y)
DWS Small Cap Index VIP Class B (v)
BlackRock Value Opportunities V.1. Fund Class 1 {v)
Fidelity VIP Contrafund Portfolio Initial Class (Vv)
Fidelity VIP Overseas Portfolio Initial Class (v)
Franklin Global Real Estate Securities Fund Class (Vv)
MFS VIT Hl Value Series Initial Class (v)
PIMCO All Asset Portfolio Administrative wv
T. Rowe Price Equity Income Portfolio (v)
Royce Cap Fund Small Cap Portfolio Inv Class (v)
Fidelity VIP Contrafund-Initial Class — Buy
Fidelity VIP Contrafund-Initial Class — Buy (add'l)
Fidelity VIP Contrafund-Initial Class — Sold
LVIP SSgA Emerging Markets 100 Fund. Standird Class — Buy
LVIP SSgA Emerging Markets 100 Fund. Standird Class — Sold
MainStay VP Floating Rate-Initial Class — Buy
MainStay VP Floating Rate-Initial Class — Sold
MainStay VP High YieldCorporate Bond- Initial Class — Buy
MainStay VP High YieldCorporate Bond- Initial Class — Sold
MainStay VP Mid Cap Core-Intial Class — Buy
MainStay VP Mid Cap Core-Intial Class — Sold
MainStay VP Van Eck Global Hard Assets Port Initial Class — Buy
MainStay VP Van Eck Global Hard Assets Port Initial Class — Sold
PIMCO Low Duriation Portfolio- Administrative Class Shares — Buy
PIMCO Low Duriation Portfolio- Administrative Class Shares — Sold
PIMCO Real Return Portfolio. Administrative Class Shares — Buy
PIMCO Real Return Portfolio. Administrative Class Shares — Sold
PIMCO Total Return Portfolio-Ad mmistrative Class Shares — Buy
PIMCO Total Return Portfolio-Ad mmistrative Class Shares — Sold
DWS Small Cap Index VIP-Class A Shares — Buy
DWS Small Cap Index VIP-Class A Shares — Sold (part)
DWS Small Cap Index VIP-Class A Shares — Buy (add'l)
American Funds Ins Ser International Class 2 Shares — Buy
American Funds Ins Ser International Class 2 Shares — Buy (add'l)
American Funds Ins Ser International Class 2 Shares — Sold (part)
American Funds Ins Ser International Class 2 Shares — Buy (add'l)
Fidelity VIP Index S00-Imitial Class — Buy
Fidelity VIP Index S00-Imitial Class — Buy (add'l)
Fidelity VIP Index S00-Imitial Class — Sold (part)
Fidelity VIP Money Market Portfolio- Initial Class — Buy
Fidelity VIP Real Estate-Initial Class — Buy
Fidelity VIP Real Estate-Initial Class — Buy (add'l)
Fidelity VIP Real Estate-Initial Class — Buy (add'l)
Invesco V 1. International Growth Fund Series Shares — Buy
Invesco V 1. International Growth Fund Series Shares — Buy (add'l)
Invesco V 1. International Growth Fund Series Shares — Buy (add'l)
MainStay VP Eagle Small Cap Growth Portfolio Initial Class — Buy
MainStay VP Eagle Small Cap Growth Portfolio Initial Class — Buy (add'l)
MainStay VP Eagle Small Cap Growth Portfolio Initial Class — Buy (add'l)
MFS Global Tactical Allocation-Initial Class — Buy
MFS Global Tactical Allocation-Initial Class — Buy (add'l)
MFS Global Tactical Allocation-Initial Class — Buy (add'l)
MFS VIT Value Senes-Initial Class — Buy
MFS VIT Value Senes-Initial Class — Buy (add'l)
MFS VIT Value Senes-Initial Class — Buy (add'l)
T Rowe Price Blue Chip Growth Portfolio — Buy
T Rowe Price Blue Chip Growth Portfolio — Buy (add'l)
T Rowe Price Blue Chip Growth Portfolio — Buy (add'l)
Mainstay Cash Management — Buy
Special Situation Fund 111 QP, LLP — Int/Div
Mermill Lynch Money Market — Int/Div
SRZ Group Trust — None
Blackrock Asia Pacific Partners (Offshore) SPV Lud. — Sold (part)
Blackrock Asia Pacific Partners (Offshore) SPV Lud. — Sold (part)
Candlewood Structured Credit fund. Ltd
Cevian Capital Fund 11 Ltd — Buy
Charter Bridge Capital Partners (Cayman) Lad. — Buy
Chatham Asset High Yield Offshore Fund, Lid. — Sold (part)
Citadel Kensington Global Strategies — Buy
Cognis Fund LP — Sold (part)
Discovery Global Macro Fund, Ltd — Buy
Echo Street Capital Partners Ltd (QP)
Empire Capital Partners, Ltd. — Sold (part)
Fore Mulu-Strategy Offshore Fund Ltd — Redeemed
Glazer Offshore Fund, Ltd. — Redeemed
Golden Tree Offshore Fund Ltd — Sold (part)
Highfields Capital IV LP — Sold (part)
Hudson Bay Int'l Fund Ltd f//k/a Hudson Bay Overseas Fund Lid — Sold (part)
Hutchin Hill Capital Offshore Fund, Ltd — Buy
Jennison Global Healthcare Offshore Fund, Lud.
Kvlhin Offshore Fund, Ltd — Buy
Lakeview Opportumty Fund Lid — Sold (part)
Lakeview Opportumty Fund Lid — Sold (part)
Lakeview Opportumty Fund Lid — Sold (part)
Lone Pimon Lid
Lone Slavin, Ltd — Buy
Mainstay Marketfield Fund — Redeemed
Malta Offshore. Ltd — Sold (part)
Millenium International Lid
MKP Opportunity Offshore Ltd — Sold (part)
MKP Opportunity Offshore Ltd — Redeemed
OSS Overseas LTD
Pennant Onshore Partners LP
Pennant Windward Lid
Ramius Multi-Strategy Fund Ltd (x) — Sold (part)
Ramius Multi-Strategy Fund Ltd (x) — Sold (part)
Rosemawr International Led — Sold (part)
Seer Capital Partners Offshore Fund Ltd.
Spruce Absolute Return Fund LP — Buy (add'l)
Spruce Absolute Return Fund LP — Redeemed
Spruce Absolute Return Fund (Offshore) Lad. — Buy (add'l)
Spruce Absolute Return Fund (Offshore) Lad. — Buy (add'l)
Spruce Alpha Fund (Offshore) Ltd — Buy
Spruce Equity Hedge Fund LP {/k/a Spruce Global Equity Fund LP — Sold (part)
Spruce Equity Hedge Fund LP {/k/a Spruce Global Equity Fund LP — Redeemed
Spruce Equity Hedge Fund (Offshore)Ltd f/ k/a Spruce Global Equity Fun — Buy (add'l)
Equity Fund (Offshore) Ltd (continued from prior line)
Spruce Real Assets Fund LP — Redeemed
Spruce Real Assets Fund (Offshore) Ltd — Redeemed
Steelhead Pathfinder Fund Lid
The Childrens’ Investment Fund
Two Sigma Absolute Return Macro Cayman Fund, Lid, — Buy
JP Morgan Trust Co. of Delaware deposit account
AutoNation common stock — None
Akami Technology common stock — None
MooreAcre/Blackacre 7710 Business Park Drive REIT — None
MooreAcre/Blackacre 610 Corner Way Inc REIT — None
BCM/CHI Eden Roc. Inc. REIT — None
BCM/CHI Kapalua, Inc. REIT — None
CBF Appreciation Portfolio Alt-AX
CollegeBound Fund (Alliance-R1) — None
CBF Appreciation Portfolio Alt-A X
Northwestern Mutual Whole Life Ins. Policy — None
Guardian Life Insurance Company-Life Insurance Policy — None
Mu Kellett Capital Partners 11 LP — Distribution — Buy (add'l)
Mu Kellett Capital Partners 11 LP — Buy (add'l)
Mu Kellett Capital Partners 11 LP — Buy (add'l)
Merrill Lynch Retirement Account. Blackrock Global (MDLOX) — Int/Div
Northrop Grumman common stock — Int/Div
PNC common stock — Int/Div
Director, Kudspint Magazine
Executor, states of
Liability — Mt Kellett Capital Parmers 11 LP — Commitment to make capital contributions to imvestment himited partnership
Liability — Barnard College — Tuttion obligation
Liability — Morgan US Income and Growth LP — Commitment to make capital contributions to investment himited partnership
Liability — CFSR Private Investors LLC — Commitment to make capital contributions to mvestment limited hability company
Spouse's income — 2014 — Schulte Roth and Zabel LLP-partmership distribution
Throughout Part VII, where column B1 is filled in, and column B2 is left blank, this indicates that the income in question is capital gain.

Part VII, line 5-Global Access Macro was fully redeemed on May 14, 2013, The amount was (0) and the gain was (E). T inadvertently failed to report this in my

2013 report.

Part VII, line 296-Ramius Multi-Strategy Fund Ltd. was erroneously identified on my 2013 FDR (line 309) as Ramius Lehman International SPV.

Part VII, line 168-SRZ Savings Plan-the investment in the SRZ Savings Plan is partly invested in the securities shown on the report and partially in the SRZ Group

Trust.

Part VII, lines 172-175-the SRZ Cash Balance Plan, Thrift Plan and Partners Pension Plan are invested in the same manner as the SRZ Group Trust.

Part VII, lines 262-314 - SRZ Group Trust

With respect to the SRZ Group Trust Part VII, lines 262-314) and the SRZ Supplemental Retirement Fund (Part VII, Lines 176-258), these are retirement plans in

which

has un interest, and which were established by the law firm of which Jif is a member. Each of these is an aggregate ownership arrangement,

and therefore | have reported the gross value of Ji] interest in each of these plans. Because [Ji] directs the investments for [iif share of the Supplemental Retirement

Plan, and was in 2014 a member of the committee which oversees the investments of the SRZ Group Trust, I have also reported the assets within this aggregate

ownership arrugement. From time to time, [Jf interest in these aggregate ownership arrangements may be reallocated to different assets, either at [Jif direction (in

the case of the SRZ Supplemental Retirement Plan), or because the plan purchases or sells vestments. | have reported these reallocations as purchases and sales,

though they are not actually purchases or sales by him. There is no gain or loss to JN resulting from these reallocations, and therefore | have left this

column blank

Part VII, limes 176-258 -SRZ Supplemental Retirement Fund- The assets identified as (y) were sold on 12/31/2013 and the proceeds reinvested on 1/2/2014 as

indicated in subsequent entries.

Part VII, line 25- Fidelity Cash Fund is & money market account, used as 4 settlement account, that was opened in 2013, and was inadvertently not included in my

2013 report. As of year end 2013, it had a value code of J.

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Source: Frix Law Library, https://www.frixlaw.com/law-library/disclosures/10980. Public record. Not legal advice.