Jose A Cabranes Financial Disclosure Report for 2006

8/3/2019 Jose A Cabranes Financial Disclosure Report for 2006

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AD 10

Rev. 1/2007

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2006

Report Required by the Ethicsin Government Act 0/1978(5 U.s.c. app.§§ 101-111)

L Person Reporting (last name, first, middle initial) 2. Court or Organization 3. Date ofReport

Cabranes. Jose A U.S. Court of Appeals - 2d Ci r 05110/2007

4. Tille (Article III judges indicate active or senior status; Sa. Report Type (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or part-time)

0Nomination, Date 01/01/2006

U.S. Circuit Judge (Active)

0 Initial Annual 0 Final to

12/3112006

se. 0 Amended Report

7.Chambers or Office Address 8. On the basis of the information contained in this Reportand anymodifications pertaining thereto, it is, in my opinion, in compliance

U.S. Courthouse with applicable laws and regulations.

141 Church Street

New Haven, CT 06510Dateeviewing Officer

IMPORTANTNOTES: The instructions accompanying this form must befollowed. Complete allparts,

checking the NONE box for eachpart where you have 110 reportable information. Sign on last page."

I. POSITIONS. (Reporting individual only; seepp. 9-13 of instructions.)

o NONE (No reportable positions.)

POSITION

I. See "Attachment An hereto

2.

3.

4.

5.

II. AGREEMENTS. (Reporting individual only; seepp. 14-16 ofinstructions.)

[RJ NONE (No reportable agreements.)

1.

2.

3.

NAME OF ORGANIZATIONIENTITY

0 ......

U> ag;:0"') -. I

,.-..,.., :z: rn0- >-U>Z -< 0C rn:0 ......

".,£,2 -o l> U <

ARTIES AND TERMS ..,..,,.- m.,..,- 0N0 '




Page 2 of8

Narne of Penon Reporting

Cab ranes, Jose A

Date of Report

05110/2007

III. NON-INVESTMENT INCOME. (Reporting individualand spouse; see pp. 17·24 o f instructions.)

A. Filer's Non-Investment Income

[E] NONE (No reportable non-investment income.)

SOURCE AND TYPE

1.

2.

3.

4.

5.

B. Spouse's Non-Investment Income - I fyou were married during any portion of the reportingyear, complete this section.

(Dollar amount not requiredexcept for honoraria.)

o NONE (No reportable non-investment income.)

SOURCE AND TYPE

INCOME(yours, not spouse's)

1.2006

2.2006

3.2006

4.

5.

Universityof Chicago Press (Royalites)

West Service, Inc. (Royalties)

University of Colorado Law School (honorarium)

IV. REIMBURSEMENTS - transportation, lodging.food, entertainment(Includes those to spouse and dependent children. See pp. 25-27 of instructions.)

o NONE (No reportable reimbursements.)

SOURCE

I. See "Attachment B" hereo

2.

3.

4.

5.

DESCRIPTION




Page 3 of8

Name or Person Reporting

Cabranes, Jose A

Date or Report

05/10/2007

V. GIFTS. (Includes those tospouse and dependent children. See pp. 28-31 of instructions.)

[K] NONE (No reportable gifts.)

SOURCE

1.

2.

3.

4.

5.

DESCRIPTION VALUE

VI. LIABILITIES. (Includes those ofspouse and dependent children. See pp. 32-33 of instructions.)

[K] NONE (No reportable liabilities.)

CREDITOR

1.

2.

3.

4.

5.

DESCRIPTION VALUE CODE




Page 4 of8

Nameof Person Reporting

Cabraoes, Jose A

Dateof Report

05/10/2007

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those a/the spouse and dependentchildren. Seepp. 34-60 a/filing instructions.)

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

A. B. I C. D.

Description ofAssets Income during I Grossvalueat endof Transactions duringreporting period

(including trustassets) reporting period reporting period :

(I) i (2) (I) (2) (1) (2) (3) (4) (5) I

iPlace"(X)"aftereachasset Amount I Type(e.g. Value Value Type (e.g. Date Value Gain Identity of

exemptfromprior disclosure CodeI idiv., rent, Code2 Method buy,sell, Month- Code2 Code I buyer/seller

(A-H) i or int.) (J-P) Code3 redemption) Day (l-P) (A-H) (if private

I(Q-W) transaction)

II. Apartment, Santurce, Puerto Rico Rent M Q Sen 11/10 M F L.J. Guevara

2. Apartment, Santurce, Puerto Rico None M Q Sen 10/27 M F E.R. Vazquez

3. Apartment, Santurce, Puerto Rico None M Q Sen 11/10 M F L.J. Guevara

4. Apartment, Santurce, Puerto Rico None M Q Sen 12/29 M F R. Barrau-Lake

5. Fidelity Asset Manager C Dividend L T

6. Fidelity Blue Chip Growth Fund (IRA) Dividend K T Transfer 8/9

7. CT Higher Education Trust Dividend K T

8. CT Higher Education Trust Dividend J T

9. New Alliance Bank f/k/a New Haven A Interest K T Closed 10/03Savings Account

10. Citizens Bank accounts A Interest L T

I I. Federated Department Stores, flk/a May A Dividend J TDepartment Stores Co.

12. Federated Department Stores, f/k/a May A Dividend J TDepartment Stores Co.

13. HSBC Savings Account A Interest L T Opened 10/16

14. People 's Bank accounts A Interest J T Opened 9/27

IS. Vanguard Money Market Account A Interest M T Buy 12/05 K

C6. AGE Edwards (AG) Inc. A Dividend J T Transfer 11/27 J

17. BMY Bristol-Myers Squibb Co. A Dividend J T Transfer 11/27 J

I. Income Gain Codes: A =$ I,000 or less B =51.001·52,500 C=52,501 ·55,000 0=55,001 - 515,000 E =5 I5,00 I - 550,000(See Colwnns B I and 04) F=550,00 I . 5100,000 G=5100,001 - 51,000,000 HI=51,000,001 ·55,000,000 H2 =More than 55,000,000

2. Value Codes J =515,000 orless K=515,001·550,000 L =550,001·5100,000 M=5100,001 - 5250,000(See Columns CI and 03) N =5250.00 I - 5500,000 o =5500,00 I-5I,000,000 PI=51,000,001 - 55,000,000 P2=55,000,00 I - 525,000.000

J. Value Method Codes P3 =525,000,001 -550,000,000 R=Cost (Real EstateOnly) P4 =More than 550,000,000 T=CashMarkel

(See Column C1) Q =Appraisal V =Other S «Assessment

U «Book Value W=Eslima.lcd




Page 5 of8

Name of Person Reporting

Cabranes, Jose A

Date of Report

05/10/2007

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of the spouse and dependentchildren. See pp, 34-60 offiling instructions.)

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

A. B. C. D.

Description of Assets Income during Gross value at e nd of Transactions during reponing period

(including trust assets) reponing period reponing period

(I ) (2) (1) (2) (I ) (2) (3) (4) (5)

Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of

exempt from priordisclosure Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller; (A-H) or int.) (l-P) , Code 3 redemption) Day ! (l-P) (A-H) (i f private

(Q-W) transaction)

18. B? Amoco PLC (Britain) A Dividend T Transfer 11/27

19. C Citigroup A Dividend T Transfer 1l!27 J

20. CBSH Commerce Bancshares, Inc. A Dividend T Transfer 11/27

21. COP ConocoPhilipps A Dividend T Transfer 11/27

22. DOW Dow Chemical A Dividend T Transfer 11/27

23. EIX Edison Int'l A Dividend T Transfer 11/27

24. EMR Emerson Electric Co. A Dividend T Transfer 1l!27

25. EXC Exelon Corp. A Dividend L T Transfer 1l!27 L

26. Evergreeen ServoCo. A Dividend T Transfer 11/27

27. F Ford Motor Co. A Dividend J T Transfer 11/27

28. FD Federated Dept . Stores A Dividend T Transfer 11/27

29. GO General Dynamics Corp. A Dividend T Transfer 1l!27

30. GE General Electric Co. A Dividend K T Transfer 11/27 K

31. GM General Motors Corp. A Dividend J T Transfer 1l!27

32. KO Coca Cola Co. A Dividend T Transfer 11/27

33. PFE Ptizer Inc. A Dividend T Transfer 11/27

I. IncomeGainCodes: A =$ 1,000or less 8 =$1,001 - 52,500 C =$2.501 - 55.000 D =55,00 I - 515.000 E =515.00 I - $50.000

(See Columns 81 and D4) F =550.00 I - 5I00.000 G =$100.00I - s1.000.000 HI =$1.000.001 - 55.000.000 H2 = More than $;.000.000

2. Value Codes J =515.000 or less K =515,001 - $50.000 L =$50.001 - 5100.000 M =5I00,00 1- S ~ 5 0 . 0 0 0(See Columns C I and D3) N =$250,001 - 5 500,000 o =5500,00 I - 51.00D.OOO PI =51.000.001 - 55.000.000 P2=$5,000,00I - 525.000.000

3. ValueMethodCodes P3=525.000,00I - 550,000,000 R»Cust (RealEstateOnly) P4 «Mere than 550.000.000 T =Cash Market

(See Column C2) Q«Appraisal V =Other S <Assessment

U =Book Value W«Estimated




Page 6 of8

Name of Penon Reporting

Cabranes,Jose A

Date of Report

05110/2007

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those o fthe spouseand dependentchildren. See pp. 34-60 offiling instructions.]

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

: A. i B. C. D.

Description of Assets I Income during Gross value atend of Transactions during reporting period

(including trust assets) i reporting period reporting period, I

: (/) I (2) (I ) (2) (I ) (2) (3) (4) (5)

Place "(X)" after each asset :Amount I Type (e.g, Value Value Type (e.g. Dale Value Gain Identity of

exempt from prior disclosure I Code I I div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 buyer/seller(A-H) I

or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (i fprivate

(Q-W) transaction)

I I

34. PG Procter & Gamble Co. A Dividend J T Transfer 11/27 J

35. RDS/A Royal D. Shell PLC A Dividend J T Transfer 11/27 J

36. SIAL Sigma Aldrich Corp. A Dividend J T Transfer 11/27 J

37. USB US Bancorp Del A Dividend J T Transfer 11/27 J

38. WAG Walgreen Company A Dividend J T Transfer 11/27 J

39. WYE Wyeth A Dividend J T Transfer 11/27

40. TlAA-CREF Annuity (vested) D J T

41. TlAA-CREF Pension PI T

42. TlAA-CREF IRA Dividend K T Transfer 8/9 Rollover from

Fidelity

43. Hartford Life & Annuity Ins. Co. (variable K Tlife ins. policy)

44. See "Attachment C" hereto

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 »S1.000or Jess

F =550,00I - $I00.000

J =515,000 or less

N =5250,00I - 5500.000

P3 =525,000.00I ' $;0.000,000

Q <Appraisal

U -Book Value

B =51,00 I - $2 ,500

G =$100,001. $1,000,000

K =$15,001· $50,000

o =5500,00I ,$1,000,000

R =Cost (Real Estate Only)

V «Other

C =$2,50 I • $5,000

HI =51,000,001 - 55,000,000

L =550,00I • 5100,000

PI =$1,000,00I • $5,000,000

P4 =More than 550,000,000

S <Assessment

W=Estimated

D =55,00 I • SI5,OOO

H2 =More than 55,000,000

M =5100,001·5250,000

P2 =$5,000,00I • 525,000,000

T =Cash Market

E =515,001 - 550,000




Page 70f8

Name of Person Reporting

Cabranes, Jose A

Date of Report

05110/2007

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of Report.)

See "Attachment C"




Page 8 of8

IX. CERTIFICATION.

Name ofPenon Reporting

Cabranes, Jose A

Date of Report

05/10/2007

I certify tbat all information given above (including information pertaining to my spouse and minor or dependent cbildren, if any)isaccurate, true, and complete to the best of my knowledge and belief, andthat any information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance ofgifts which have been reportedare incompliance with the provisions of5 U.S.c. app. § 501 et, seq., 5 U.S.C.§ 7353, and Judicial Conference regulations.

Signature

NOTE: AANDCRI

WHO KNOWINGLY ANDWILFULLY FALSIFIES OR FAILS TO FILE rrns REPORT MAY BESUBJECT TO CIVILNS(5 U.S.c. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office ofthe United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544 .



Jose A Cabranes

u.s. Grcuit Judge (Second Circuit)

May 10,2007

FINANOAL DISaOSURE REPORTFOR CALENDARYEAR2006

AITAGIMENT A

1. Positions

Trustee of Columbia University, NewYork,NY

Trustee of the WilliamNelson Cromwell Foundation, NewYork, NY

Member of the Academic Advisory Committee of the Institute for Constitutional Studies, The

George Washington University,Washington, DC

Attorney-in-fact for filer's_ under a "Durable General Power of Attomey,"executed May 16,

1988 and "protocolized" lawsof the Commonwealth of Puerto Rico (expired byoperation

of law on April 2, 2006, upon the death of filer's_

Note: No income of any kind was derived from any of the "positions" or services or activities noted in this

AttachmentA



JoseA Cabranesu.s. Circuit Judge (Second Circuit)May 10, 2007

FINANOALDISClOSURE REPORT FOR CALENDARYEAR 2006

ATTACRMENTB

IV. Reimbursements - transportation, lodging, food, entertainment:

Source

1.Columbia UniversityNewYork,NY

2.Universityof HartfordHartford, cr

3. Federalist Societyand TheAssociation of the Bar of theCityof NewYork

New York,NY

4. Hartford BarAssociationHartford, cr

5. Fordham University,

NewYork,NY

Description

Meals, and the cost of transportationand (where indicated) lodging, to andfromNew Yorkin connectionwithmydutiesas a Columbia trustee at eacho

the following meetings of the Board of Trustees or its committees inNew

York:

February27,2006March3-4,2006 (lodging also)

April 21, 2006

June 2-3, 2006October 6-7, 2006December 1-2,2006

One mealand transportationto and from the University of Hartford, Hartfor

cr to deliverthe Jon O. NewmanLecture.

April 27, 2006

One mealand transportationto and from the Association of the Bar of theCityof New York,NY to moderateprogram on intemationallaw.

May3, 2006

One mealand cost of transportationto and from the HartfordBarAssociation, Hartford, cr, to deliverkeynote address at annualdinner.

May16, 2006

Meals, lodging and transportation to and from Israelto participate as a panelis

on criminal justice sponsored jointlyby the Fordham UniversityLawSchooland the Ministryof Justiceof the State of Israel (accompanied bymy,.

ProfessorKate Stith of Yale LawSchool,who was a conference partiCipant inher own right).

July4-12, 2006

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Jose A CabranesU.S.CircuitJudge (Second Circuit)

May10,2007

FINANOAL DISa,OSURE REPORT FOR CALENDARYEAR 2006

ATTAG:IMENTB - P a ~ e 2

IV. Reimbursements - transportation, l o d ~ i n ~ , food, entertainment:

Source

6. AdvisoryCommittee on Gvil

Rules,Judicial Conference

of the United States,

Washington, D.C

7. United States Courts

Washington, D.C

8. Valparaiso University

School of Law

Valparaiso, IN

9. WilliamNelson Cromwell

Foundation

NewYork, NY

Description

Meals, lodging and the cost of transportation to and from Nashville, TN,

to attend meetings of the CivilRules Committee

September 6-8,2006

One meal at a retreat meeting of the U.S. Court of Appeals in

Westbrook, cr

October 20, 2006

Meals, lodging and the cost of transportation to and from Valparaiso, IN to

deliver the Indiana Supreme Court Lecture

November 1-2, 2006

One meal at annual meeting of WilliamNelson Cromwell Foundation held inNewYork, NY.

November 7, 2006

-2 -



Jose A Cabranesu.s. Circuit Judge (SecondCircuit):May 10,2007

FINANGAL DISClOSURE REPORTFORCALENDARYEAR 2006

ATTACRMENTC

VIII. Additional information or explanations. Qndicatepart of Report).

VII, 1: No net income derived from apartment.

VII, 2, 3, 4, 6,7, 8,41-43: Absent the abilityto write "none" or "zero" on this computer form, no entry appear

underB(l) for each of these entries, signifying that no "income" was obtained for

these assets.

VII, 2, 3, 4: Until April 2, 2006, the date of death of f i l e r ' s_ f i l e r owned what Puerto Rico lawcharacteriz

as an "undivided interest" of 25% of the title ~ a l u e of each of three apartments in Puerto Ri

as a result of a testamentarydisposition. Filer had and has no beneficialinterest in any rental

arrangements for two of these apartments (VII, 3, 4) and filer derived no income from them. No

income ~ filer or anyone else f r o ~ apartment (VII, 2), which was the residen

of f i l e r ' ~ Upon the death of f i l e r ' ~ n April 2, 2006, a 50% interest in these threa artme I 2 3 4 as d to filer, by operation of Puerto Rico estates law, as one of two

Filer received50% of the proceeds of the saleof these apartments i

2006.

VII, 16 to 39: Stocks and mutual fund interests transferred from and b y t h ~ f filer'

VII, 16-22,27,29-32,34-35,37-38: Assets transferred from and b y t h e ~ f filer's

November 11, 2006 (see i m m e d i a t ~ v e ) that were sold January 29,2007.

VII, 41:

VII, 43:

~ v e r s i t y pension plan since 1984. Inadvertently omitted from earlier reports.

~ a s h value life insurance policy, which is part insurance and part investment, was obtained i

1998and has been in effect since then. Initiallyit had no reportable "investment value." Value

indicated refers to investment value of the policyas of December 31, 2006. Inadvertently omittedfrom earlier reports.

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Jose A Cabranes Financial Disclosure Report for 2006