Jose A Cabranes Financial Disclosure Report for 2009

8/3/2019 Jose A Cabranes Financial Disclosure Report for 2009

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R , . , . . I / 2 m o FOR CALENDAR YEAR 2009 ( 5 u . s .c , a p p . .~ . ~ " t61.tll)

I. Perso~ Repnrt|~ (lasl name, firsl, middtc inil ial) 2. Cour t o r ( ) r~=~Iz=l ion 3. Dale or R~port

Cabranes, Jose A. U.S. Court of Appeals - 2d Cir 0SI1312010

4. Title (Ar6cl¢ III judgc~ indicate active ~r ~cnmr stalu~; ,5= Repor~ ] ) p¢ (check ~p~ropria lc ty~c~ 6. Reporllng Period

magis~ratc~udgc~ indicate full-or

V.S. Circ,i~Judg¢{Aclive) ~ lai,ial ~A ...... I ~ Final

12/31/20~9

141 Church

I M P O R T A N T N O T E S : The in.~tructi,m,g accompank’inx

thi.~ form must be fM/owed. Complete all part.~.

rhe=’Mn~ the NONE box for each part ,,here )’ou have nn reportable inf!~rmation. Sign on last page.

N O N E (No reportable positions.)

POSI"I-1ON N A M E O F O R G A N I Z A T ! O N / EN T I T Y

See "Allachmen! A" hereto

5. ~_~

(,: .~.:~.?

r 7- F’~

N O N g (~ o reportable agreements.)

’.[ ~RTlgS AND TERMS

I



FINANCIAL DISCLOSURE REPORT ~ .... [P ..... Repo,li.g

I

D,l¢o[Rcpor!

Page 2 of 7 c , ~ r , , e s . J , s e A .

1 i ! . NOLO ’-! N V EST M EN T i NCO M E. ~, ,p , ,, ,~ indi..id,al and xp .... ; .*ee p p . t 7 - 1 4 of filing i .......

A. Filer’s Non-Investment Income

N O N E (No reportable ntm-investment income.)

DATE SOURCg AND TYPEl y o u ~ s , n o ! ~ p ~ u s e ’ s )

I.

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e s t m e n t I n c o m e - t l~.~. .,¢,e ma rried during a~)" p,~rtion o.[ the ~eportinlt )’ear, complete thi~

[~ NONE (]go reportable m.Mnvestment income.)

DA T E ~;O UR C F. A N D T YP E

I. 2009 University of Chicago Press (Royalites)

2. 200.9 Thomson-Wes! (RoyahiesJ

3.

4.

! V. R E i M B U RS E M EN TS . ..... . ~ , . . . .. , , , . . ~ , , , ~ , , ~ . I . . d . . . . . . .. i

[~ N O N E (Nr) reportable reimbtersements.)

~ ~ L O ~ A T I O N PURPOSE IT E M S ~ A ID O R P R Q V ID E D

I. See "Attachmenl B" herco

2.

3.

4.

5



N ~ m e o ! P e r s o n R e p o r l in ~F I N A N C I A L D I S C L O S U R E R E P O R T

Cabranes, JoseA.ag e 3 of 7

~ N O N E ( N o reportable g~s.)

~ I)ESCR~PTff)N VAL~

I. The Ouinnipiack Club. New I la~en, CT Lunch (at my o~n expense)

2. See "A~tachmenl C" attached hereto

3.

5,

~] N O N E (No reportable liabilities.)

I~R EDIT O R D ES C R IP T IO N V A L U E C O D E

I.

2.

3.

,4 .

5.



FINANCIAL DISCLOSURE REPORT

Pag e 4 o f 7

N O N E (No reportable income, ossels, or transactions.)

A. B. C. D.

Place " (X)" after each a~ct j ~motsnt T yW

(c g . Value Value T)’~ (c g., I)atc Value ] Gain ~dcnhly of

cacmpt f ro~ prior d isc losure C’~c I di~., rcnl. Code

I, Fid~l i ly Assc~ ~anagcT B Dividend L T

2 CT Ilighet" Educalion Trast N o n e J T

3 CI I ligher Education Trust None L T

5. Va ngna rd b to ne y Ma rk e ~ Ac c o un~ A ln~eres~ Sold O1/05/09 M A Redempl*on

6. Vanguard Money Market Accoun~ A Interes t Sold 02/02/09 K A R e de mp t io n

-7. Vanguard Money Marke~ Fund A Ime re ~ t Sold 04/30/09 J A R e de mp t io n

~ 8 . Chase CD C Interes~ M ¯

9_ Evergreeea Serv. Co. A Div idend I ~

IO. Macy’s. ffUa Federated I)epa*lmcn~ S~o*e~, A Dividend Sold 10/13/09 K

ffk!a May DeparL

] I WYE Wyeth A Dividend S ol d 01123/09 J

12 11AA-(’REF Anmmy (vesled) C Dividend J T

13 ] IAA-CREF Pension N o n e Pl T

14 . TIAA-L’REF IRA N o n e K T

15 . l l ;3rlford Life & A nr~ui~y In. ,: . Co (variable N o n e K T

life ins. policy)

16 . Nuveen MS Active Assels Tax-Free "1 rust A Interes t ~ T

17 NI’I Nuvcen Premium INC MUN FD C Interes t K



- 1I N A N C I AL D IS C L O S U R E R E P O R T s .... r ~ ..... ~ , p o , , t o ~

N O N E (No reportable income, assets, or tronsactions.)

Dcxcr ip l ion of Axse l s~

Income du[ing Gro~s value at end T~n~,action~ (luring rc~ng ~ri~t

lincluding I~st aSSel~) rcponlng ~ri~ of reposing

(2} 11 ) (21 111 (2) 13 ) ~ (4 } 15)

Place "(X)" a f te r each asse t Amount Ty~ (c g., Value V~hte Ty~ (¢

c ~ e n ; p l f r o m p r i o r d i s c l o s u r~ CMe I dlv., rcnl, Code 2 Melh~ buy. ~¢II. m m / dd . ~y ~

1 8. Nuvccn Corm DVD ADV MUNI D I n t e r e s t M T

1 9 . PBCT People’s United Financial Inc. B Dividend K T

2 0 . See "Altachment D" hereto



FINANCIAL DISCLOSURE REPORT In ....

IP ..... Reparllng/ [

D.l, of Rcporl

Page 6 o f7~ ! c ~ , r .....

J o s e A .

Io . ~ . q . ~ ; . ~ o ~ o

VIII. ADDITIONAL INFORS|ATION OR EXPLANATIONS. a,~ico,op=r, olR,p,,,,.;



|F I N A N C I A L D I S C L O S U R E R E P O R T l e ¢ .... IP ..... Ih:por,ing [ D,,¢afllepor~

Page 7 of 7

I Cabrane,, Jose A. I

05tl3/2010

I X . C E R T I FI CA T I ON .

I ce r t i f y Iha l a l l I n fo rmat i on g lyen ahove ( i ne lud ing In fo rmat i on pe r ta in ing to my spouse and m inor o r dependen t ch i l d ren . I f any) I saecurale, lrue. and complele In Ihe besl of my knowledge and belief, and lhmt any Informallun not repr~rled ~as wlthht’ld t|eemuse II me! applicable slattllury

provisions permitting non-disclosure.

I further eerlll’y that earned Income I’r~m outside t’mploymen! and honoraria anti the aceeplance nf gil’ts ,0".htch have been rep~rted arc in

compliance ~.~lth Ihe provisions of 5 U.S.C. app. § 501 el. seq., 5 U.S.C. § 7353, ~nd Judidal Confert’n~:e regulalinns.

Sip, na lur~

NOTE: ANY INDIVIDUAl, WIIO KNO\VINGI,Y AND WII,FIH,LY FAI,SIFII ........................................................CTTO ISIVIL

AND CRI~IINAL SANCTIONS (5 U.S.C. app. § 104)

F I L IN G I N S T R I . JC T I O N S

Mail signcd original and 3 addili¢~nal copies to:

Comnaittce on Financial DisclosureAdminislrativc Office of the United Slates Courts

Suite 2-301O~c Columbus Circle, N.E.Washington, D.C. 20544



jos4 A. Cabranes

U .S. Circui t Judge (Second Circuit)

May 13 , 2010

F I NAN CI Al . DI SCI . OSUR E RI’ 2 P ORT F O R CAI . E NDA I {. YH AR 2 0 0 9

A ’I~I ’A C HM I ’~N ’I " A

I. Positions

T ru s t ee o f C o l u m b i a U n i v e r s it y , N ew Y o rk , N Y

Trustee of the William Nelson Cromwell Foundation, New York, NY

Mem ber of the Acade m ic Adv isory Com ~ni t t ee o f the lns t itu le fo r Con s t i tu t ional S tud ies , " l’he

George Washington Universiq’, \vashtngton,

N o t e : N o inco:ne of any k ind w as der ived f row n an) , o f the "pos i t ions" or serv ices or ac t iv it i es no ted in th isAt ta c hm e n t A .



.los,. | A. CabranesU.S. Circui t Judge (S econd C ircui t)

biay 13, 2010

FIN A N C I A L D I S C I .O S U R I ~ R E P O I ~ . ’I " FO R C A L I ’ [N 1 ) A R Y E A R 2 0 0 9

A’FI ’ACHMEN ’I" B - Page 1

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

Source I)cscriptio,~

1. Fed era l B ar C ounc il M eals , cos t of transportation to/from Calm San I.ucas, blexico, ground

Ne w Yor k, NY transportation and lodging for me and [ (a Professor of Law at Yale)in connection with participation by each of us, in our respective individual

capaci t ies , in academ ic programs of the FBC ’s annual Winter B ench and B arConference .

February 14-21, 2009

2. Columbia University Meals, and the cost of transportation to and from New York in connectionN e w Y o rk , N Y xvi th my du t i es as a Columb ia t rus tee a t each of the fo llowing m eet ings of the

B o ard o f T ru s t ee s o r it s co m m i tt ee s in N ew Y o rk :

March 1 3, 2009October 9 -10 , 2009

June 12, 2009Decem ber 11 - 12, 2009

3. University of Illinois Law School Meals, tile cost of transportation to/from Urbana-Cbampaign, 1L, ground

Urbana-Champaign , IL transportation and lodging in connection with judging a moot court.

April 7 -8, 2009

4. D u k e l . aw S ch o o l Meals, the cost of transportation to/from Ralci~h-t)utham, N.C., groundl)urham, NC transportation and lodging for me and [ (a Professor of Law at Yale),

in connect ion wi th par t ic ipat ion by each of us m an ac adem ic conference onemp ir ica l research in the law.

September 19-21 , 2(}09

5. Jewish Home for the Eldcrly One meal at a dinner in connection with remarks at presentation of the

of Fairfield County organ izat ion’s Publ ic Se rv ice Aw ard to a jud ic ia l co l league.

S t am f o rd , C TO ctober 29 , 2009



jos~ A. Cabranes

U.S. Circuit Judge (Second Circuit)

May 13, 2010

F IN A N C I A L D I S C I .O S U R E R E P O R T F O l k C A H : ~ N I )A P , Y E A R 2 0 09

A’I’FACI IMENT 15 - Page 2

IV . Reimbursements - transportation, lodging, food, entertain,neat:

Source Descr ip t ion

6. William Nelson Crotnwcll One meal and the cost of transportation to/from the annual meeting

Foundation of the trustees of the William Nelson Cromwell Foundation, held ,nNew York, NY New York, NY

November 10, 2009

7. Yale Universit)" A s a m em b er o f ti le Y a l e co m m u n i ty ( I of a tenured facuhy m emb erN ew Haven, CT and as a formc r ! .Jnivers i t) ’ t rus tee) , mea ls and re f reshments f rom t i rnc to t im e

over the course of the acadcm ic year , in conne ct ion wi th a t tendan ce a t , and

par t i c ipat ion in , var i ed Univcrs i t ) ’ academ ic and soc ia l funct ions .



j o s~ A . Ca br a ne sU.S. Circui t . ludge (Second C ircui t)May 13 , 2010

FINAN CIAl . DISCL OS URE RF.I~( ) I~ .T F( )R CA 1A:~N1 )AR YF.AR 2009

A T T A C H M E N T C

v . G i f l _ _ _ _ ~ s

For some months in 2009, and for many years since I became a federal judge in December 1979, 1

benefitted from the opportunity afforded by The Quinnipiack Club of New t laven, Connecticut ("Club") to state

and federal judges who work in New Haven, and to the Mayor of the City of Nexv itaven, to have lunch at the

C l u b at their own expense.

In Pub. L. No. 110-402, Section 2, 122 Slat. 4255 (Oct. 13, 2008), Congress enacted legislation

i n a n y c a l e n d a r y e a r . T h i s l e g i s l a t i o n w a s f o l l o w e d b y a M a y ] 3 , 2 0 0 9 a d v i s o r y l e t t e r r e g a r d i n g t h i s ] e g i s ] a t i o n t o

federal judges from the Chair of the Committee on Codes of Conducl of the Judicial Conference of the United

Stales, captioned "Restrictions on Honorat3’ Club Memberships." This legislalion and letter caused me to question

for the first lime whether the lunch arrangement at the Club constilules a "gift" reportable on my annual Financial

Disclosure Form. After careful consideration oflhe matter, I concluded in 2009 that, in the circumslances

presented, reporting the arrangement may be appropriate.

Under the arrangement described above 1 was never a member or honorary member of the Club. Nor was I

ever entitled to any of the usual perquisites of Club membership---e.g., the rights to have breakfast or dinner at the

Club; provide lodging at the Club for guests; or use the banquet facilities of the Club. Because the luncheonarrangement described above was available to no other group or groups of persons, and was not available for

purchase by any other group, neither the Club nor I were able to fix a "value" for the arrangement, much less the

’Tair market value" of the arrangement. Nevertheless, in the inlerest of completeness, and in light of the recent

legislation and the guidance of the Committee on Codes of Conduct, I reported the arrangement in 2009 (with

respect to Calendar Year 2008 and all earlier reporting years), despite the fact that I was unable to determine how

a value on the arrangement can be determined and despite my inability to be certain of its reportability.

In any event, because of the impossibility of determining the value of this arrangement, I decided in 2009to discontinue this limited associalion with the Club, effective on the date of the filing of the Financial Disclos

Form for 2008 (f i led in 2009) .



. Ios~ A. CabranesU.S. Circui t Judge (Second C ircui t)May 13 , 2010

F IN AN CI AL DI SCI .oOS URI [ RE P ORT F OR C AL [ :~ N DAR YE AR 2 0 09

AI TACI hM E N’ I " D

VIII. Additional inffnmation or cxplanations. (Indicate part of Report).

VII, 13: --] umversity pension plan since 1984.

v l l , 1~: [cash value f i fe insurance pol icy, wi’dcfi is part insurance and part investment , was

obtained in 1998 and has been in effect since then. Initially it had no reportable "investment

value . " Va lue ind ica ted refers to imm stmen t va lue of the po l i cy as o f Dece m ber 31, 2009 .

S ee a l s o " A t t ach m en t C "

Documents

Jose A Cabranes Financial Disclosure Report for 2009