Jose A Cabranes Financial Disclosure Report for 2010

8/3/2019 Jose A Cabranes Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

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

1. Person Repor ting ( las t name, f ir s t , middle init ial)Cab ranes , J os e A .

4. T i t le (Art ic le I I1 judges ind ica te act ive o r sen io r s ta tus;mag istra te judges ind ica te fulb or par t - t ime)

U.S. C i rcui t Jud g e (Act ive)

7. Chamb er s or O f f ice Addr es sU.S . Cour thous e141 Churc h S t ree tN e w H a v e n , C T 0 6 5 1 0

2. Court or O r ganiza t ionU.S . Cour t o f A ppea l s - 2d Ci r

3. Date of Repor t08/19/2011

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my o p in ion , in compliancewith appl icable l aws and regu la t ions .

Reviewing Officer Date

6. Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,check ing the NONE box for each par t where you have no repor table information. S ign on las t page.

I . P O S I T I O N S . ~ R e p o . in g i n d i v id a a l o n l y ; s e e p S . 9 - 1 3 of f!ling inst ruct ions. )D ~o reportablepositions.)ONE

POSITION N A M E O F O R G A N I Z A T IO N / E N T IT Y1 . T r u s t e e Columbia Univers i ty2. T r u s t e e W il li am Nelson Crom wel l Foundat ion3. M e m b e r Com m i t t ee o f t he In s t i tu t e f o r Con s t i tu t i ona l S t u d i e s

4.5.

I I . A G R E E M E N T S . m ~ , o r t i n ~ individual only; seepp. 14-16 of filing instructions.)~] N O N E (No reportable agreements.)

D A T E P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 o f 9

N a m e o f P e r s o n R e p o r ti n gCabranes, Jose A.

Da te o f Re p or t08/19/2011

l i e N O N - I N V E S T M E N T I N C O M E . ( R e p o r t i n g indiv idual and sp ouse; seepp. 17 -24 of il l ing instruct ions. )A. Filers Non-Investm ent Incom e

~ (No reportable non-investment income.)O N ED A T E S O U R C E A N D T Y P E

2.3.4.

I N C O M E( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were m arried during anyportion of the reporting year, com plete this section.(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)

1 . 2 0 1 02 . 2 0 1 03.4.

DATE SOURCE AND TYPEUnive rs i ty o f Chic ago P res s (Ro ya l i t e s )T h o m s o n - W e s t ( R o y a l ti e s )

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmeng(Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.)

N O N E (No reportable reimbursements.)S O U R C E D A T E S L O C A T IO N P U R P O SE ITEMS PAID OR PROVIDED

Fed era l Bar Asso c . an dHis tor i c a l Founda t ion of t heS u p r e m e C o u r t o f P u e r t oR i c o

M a rc h 1 6-20 , 2010 S an Jua n , P R Sp o use an d I p a rtic ip a ted ina c a d e m i c p r o g r a m s M eal s , c os t o f t r ans por t a t i on t o and f romS an J uan , P R, g round t rans por t a t i on andl o d g i n g fo r m e a n d m y s p o u s e

2. Columb ia Unive rs i ty M arc h 12-13 , 2010 N e w Y o r k , N Y A t t en d e d B o a r d o f T r u s te e s M e a l s a n d t h e c o s t o f tr a n s p o rt a ti o n tom e e t i n g s a n d f r o m N e w Y o r k3. Columb ia Unive rs i ty J une 11-12 , 2010 N e w Y o r k , N Y A t t en d e d B o a r d o f T r u s te e s M e a l s a n d t h e c o s t o f tr a n s p o rt a ti o n tom e e t i n g s a n d fr o m N e w Y o r k4. W i l li a m N e l s o n C r o m w e l l N o v e m b e r 9 , 2 0 1 0 N e w Y o r k , N Y A t t e n d e d a n n u a l m e e t i n g o f O ne m ea l and c os t o f t r ans por t a t ion t oFounda t ion Tru s t e e s a n d f r o m N e w Y o r k


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FINANCIAL DISCLOSURE REPORTPage 3 o f 9

N a m e o f P e r s o n R e p o r t i n gCabranes, Jose A.

Date of Report08/19/2011

5. Columb ia Unive rs i ty D e ce m be r 9 , 201 0 N ew Y o rk , N Y P a r tic ip a te d a t a L e g a l O n e n i g h t o f l o d g i n gS c h o l a rs h i p W o r k s h o p6. Columb ia Unive rs i ty D e ce m be r 1 0-1 1 , N ew Y o rk , N Y A t tended Board of Trus t ees M e a l s , l o d g i n g a n d t h e c o s t o f

201 0 M ee tin g s tran s p o rta tio n to a n d fro m N ew Y o rk


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FINANCIAL DISCLOSURE REPORTPage 4 of 9

N a m e o f P e r s on Repor t ingCabranes, Jose A.

Date of Repor t08/19/2011

V . G I F T S . ( I n c l u d e s those to spouse and dependent children; seepp. 28-31 of filing instructions.)N O N E ( N o reportable gifts .)

S O U R C E D E S C R I P T I O N1 .2.3.4.5.

V A L U E

V I . L I A B I L I T I E S . ( i . a u d e s t h o s e o l s p o u s e a . d dependent children; see p p . 3 2 - 3 3 of f!ling instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DE SCRIPTION1 .2.3.

4.5.

VALUECODE


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~ a m e o f P e r s o n R e p o r t i n gCabranes, Jose A .

D a t e o f R e p o r t08/19/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l a e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f iling instructions.)[~ N O N E income, assets, or transactions.)N o reportable

A~ B. C. " D.D e s c r i p t i o n o f A s s e t s Income dur ing G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p 0 r t i ~ g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e ri o d o f r e p o rt i n g p e r i o d

Place "(X)" after each assetexempt f rom pr ior d isc losure

( Q - W ) transaction)

1 . Fide l i ty A s s e t M a nage r 50% B D i v i d e n d L T2. CT Highe r Educ a t ion Trus t N o n e J T

3. CT Highe r Educ a t ion Trus t N o n e L T4. Ci t i zens Bank ac c ount s C Interest K T

6.7.8.

V a n g u a r d T a x - E x e m p t M o n e y M a r k etA c c ountV a n g u a r d L i f e S t r a t e g y C o n G r o w t hA c c ountV a n g u a r d L i f e S t r a t eg y C o n G r o w t hA c c ountC h a s e C D

N o n e ~ J TN o n e M T Bu y 04/20 /10 KN o n e M T Buy 1 2/28 /10 M

Interest Ma t u re d 01/10 /10 M C9. W el l s Fa rgo A s s e t A l loc a t ion C, f /k /aE v e r g r e e e n S e r v . C o .1 0 . TIAA- C REF Annu i t y (v e s t e d )

N o n e J TN o n e J T

1 1 . TI A A -CREF P ens ion N o n e PI T1 2 . T IA A -C R EF IR A N o n e K T1 3 .

1 4 .

1 5 .

1 6 .17 .

Har t ford L i fe & A nnui ty I ns . Co. (va r i ab l el i fe ins . pol icy)M uni m arke t : Nuveen M S A c t ive A s s e t sTax-Free Trus tM u n i m a r k e t : N P 1 N u v e e n P r e m i u m 1 N CMUN FDM u n i m a r k e t : N u v e e n C o n n D V A D V M u n iP re fe ren t i a l Ra t eM u n i m a r k e t : N u v e e n C o r m D V A D V M u n iP re fe ren t i a l Ra t e

CC

N o n eN o n eN o n e

D i v i d e n dD i v i d e n d

K TJ TK T

So ldSo ld

02/04/10 J A03/01/10 J A

1~ Income Gain Codes :( S ee Colu mns B I and 1 9 4 )

2.Valu e Codes( S ee Colu mns C 1 and D3)

3.Valu e Method Codes( S e e C o l u m n C 2 )

A =$1,000 or less B =$ 1 ,0 0 1 -$2 ,5 00 C =$2,501 - $5,000F = $ 5 0 ,0 0 1 - $ 1 0 0 , 0 0 0 G = $ 1 0 0 , 0 0 1 - $ ii 0 0 0 ,0 0 0 m = $ 1 , 0 0 0 , 0 0 1 - $ 5 , 0 0 0 1 0 0 0J = $1 5,000 or less K = $ 1 5,001 -$50,000 L =$50,001 - $ 00,000N =$250,001 - $500,000 O = $500,001 - $I,000,000 PI =$ t,000,001 - $5,000,000P3 =$ 25,000,001 = $50,000.000 P~ =More than $50,000,000Q = Ap p r a i sal R =Cos t ( R eal Es t a t e O nly ) S =As s es s mentU =B ook Valu e V = O t h e r W =Es t imated

D =$ 5,001 - $15,000 E = $1 5,001 - S50,000H2 --More than $5,0001000M = $ i 0 0 ,0 0 1 ~ $ 2 5 0 ; 0 0 0P : - - ~ 5 1 o o o , o 6 1 ~ ~ 5 , o o o ; o o o . .. ..


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N a m e o f P e r s o n R e p o r t in gCabranes, Jose A.

D a t e o f R e p o r t08/19/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l a e , t ra n s a c t i o n s (Includes those of spouse and d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 of filing i n s t r u c t i o n s . )~-~ NONE income, assets, or transactions.)N o reportable

1 8 . M u n i m a r k e t : N u v e e n C o n n D V A D V M u n i C D i v i d e n d So ld 03/02 / t0 KP re fe ren t i a l Ra t e1 9 . M uni b ond: P ue r to Ric o Comwl th Hwy N o n e L T Bu y 03 /08 /10 LTra nsna u t h20 . M u n i m a r k e t : N u v e e n C o r m D V A D V M u n i C D i v i d e n d So ld 03 /19 /10 J

P re fe ren t i a l Ra t e21 . M u n i m a r k e t : N u v e e n C o n n D V A D V M u n i C D i v i d e n d Sold 03/22/10 JP re fe ren t i a l Ra t e22 . M u n i m a r k e t : N u v e n n C o n n D V A D V M u n i C D i v i d e n d So ld 03 /23 /10 KP re fe ren t i a l Ra t e23 . M u n i m a r k e t : N u v e e n C o n n D V A D V M u n i C D i v i d e n d Sold 03 /3 1 /10 KP re fe ren t i a l24 . M u n i m a r k e t : N u v e en C o n n . D V A D V M u n i B D i v i d e n d So ld 04/01 /10 I(P re fe ren t i a l Ra t e25 . M u n i m a r k e t : N u v e en C o n n D V D A D V D D i v i d e n d So ld 04/09 /10 JM U N I26 . M uni marke t : B lac k roc k M uniy i ed N o n e K T Bu y 04/21 /10 KI nves tment P re fe ren t i a l Ra t e27 . Mu ni m a rke t : We s t e rn Asse t MNGD N o n e L T Bu y 04/21 /10 LM unic ipa l s28 . M u n i m a rke t: C o lu m bia T ax E x e m p t C N o n e L T Bu y 05/24/10 L29 . M u n i m a rk e t: N u ve en C o n n D V A D V M un i N o n e J T Bu y 08/03/10 JP re fe ren t i a l Ra t e30 . M u n i m a r k e t : N u v e e n C o n n D V A D V M u n i N o n e J T Bu y 08/3 1 /10 J31 . M u n i m a r k e t : N u v e e n C o n n D V A D V M u n i N o n e J T Bu y 09/17/10 JP re fe ren t i a l Ra t e32 . M u n i m a rk e t: N u ve en C o n n D V A D V M un i N o n e K T Bu y 09/21 /10 KP re fe ren t i a l Ra t e33 . P BCT P eople s Uni t ed Financ ia l I nc . B D i v i d e n d K T3 4 . M o r g a n S t a n le y R o t h I R A N o n e L T 10/20/10 L

B

AB

B

B

A

1: lnc0nie Gaih C~deSi A~$! i000 0~ lesg B ~$1,001 - $2,500( S ee Colu mns B 1 and D4 ) F = $50,001 - $100,000 G = $100,001 - $1,000,000

2 . Valu e Codes J =$15,000 or less K =$15,001 - $50.000(S ee Co lu mn s C 1 a nd D3 ) N =$ 250,00 1 - $500,0 00 O = $500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Valu e Method Codes Q = Ap p r a i sa l R =Cos t ( R eal Es t a t e O nly )( S ee Colu mn C2 ) U =B ook Valu e V = O t h e r

=$2,501 - $5,000 : D =$ 5,001 - $15,000 E = $1 5,001 - $50,000

L - - $ 50 00 $ 100 000 : M = $ I 00 001 = $ 250 000P 1 = $ 1 ; 0 0 0 , 0 0 1 ~ $ 5 , 0 0 0 ; 0 0 0 p 2 = $ 5 ~ 0 0 0 ~ 0 0 1 . $ 2 5 ~ 0 0 0 , 00 0P4 ~Mo~e ihan $50;000,000S =Assessment ...... : T =cash Marketw = E s t i m a t e d


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N a m e o f P e r s o n R e p o r t in gCabranes, Jose A.

Date of Report08/19/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A.D e s c r i p t i o n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" af ter each asse texempt f rom pr ior d isc losure

35 . - A m e r i c an F u n d a m e n t a l I n v F ( A F I F X )36 . - A s to n / M o n t a g & C a l d w e l l G R W N( M C G F X )37 . -B lac k roc k US O ppor tun i t i e s S vc (BM CS X )38 . - C a l a m o s C o n v e r t i bl e F u n d A ( C C V I X )39 . -D e laware L TD -Term D ive rs I nc A( D T R I X )40 . - E V L a r g e C a p V a l u e A ( E H S T X )4 1. - Ea to n V a n ce C o m m o d it y St ra t A (E A C SX )42 . - H a r d in g L o e v n e r E m e r g M k t s ( H L E M X )43 . - I NG Glob a l Rea l Es t a t e A ( I GL A X )44 . - J anus O vers eas A (J D I A X )45 . - J anus P e rk ins M id Cap V a lue A (J D P A X )46 . - PIMC O To t a l Re t u rn A (PTTAX)47 . - R o y c e P r e m i e r S e r v i ce ( R P F F X )48 . -Temple ton Glob a l BD FD A (TP I NX )49 . - T h o m b u r g I n t l V a l u e A ( T G V A X )

50 . -Wel l s -Fa rgo I nf l a t-P ro t BD A D M (I P BI X )

Income dur ingr e p o r t in g p e r i o d o f r e p o r t in g p e d g d(1 ) (2) (1) (2) (1 ~A m o u n t T y p e ( e . g ., Value Value T y p e ( e .g . ,C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d ; b U y ; S ~ ! ! ~( A - H ) o r i n t . ) " (J-P) C o d e 3 r e d ~ m p t i o n )

G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r n g r e p o r t in g p e r i o d(2) (3) (4) (5):

D~te Value Gain Identity ofm r r d d d / yy C o d e 2 Code 1 buyer/ se l le r

( J - P ) (A-H) ( i fpr ivare~ transaction)

51 . See Sec t io n VII I

(S ee Co lu nm s BI an d D 4) F -$ 50,001 - $ 100,000 G =$100,001 - $1,000,000 H 1 =$!i000,001- $5,000,000 H2 =Mor e than $5 ,0 0 0,00 02. V alue Co d es J = $ 15,000 or less K =$1 5 ,0 0 1 -$5 0 !0 0 0 L =$5~ ;00i : $100,000 M =$100;001- $250i000

(Se e C o lumn s C l a n d 03 ) N =$250,1~01 - $500,000 O =$ 500,001 -$1,000;000 PI =$1;000~00t - $5,000,000 . . . . P2 =$5,000,001 - $25;000,000p3 =$25,000,001 - $50,000,000 P 4 = M o r e t h an $ 50 , 000 , 0003. Valu e Method Codes Q = Ap p r a i sa l R =Cos t ( R eal Es t a t e O nly ) S = A s s e s s m e n t T = C a s h M a r k e t( S e e C o l u m n C 2 ) U =B ook Valu e V = O t h e r W =Es t imated

E =$1 5 ,0 0 1 -$5 0 ,0 00


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N a m e o f P e r s o n R e p o r t in gCabranes, J o s e A .

Da te o f Re p or t08 /1 9 /201 1

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)VII , 5 : Van g uard m o n ey m arke t fun d s red e mp t io n s w ere in co rrec t ly rep o r ted in th e in i t i a l f il in g fo r th i s rep o r t in g p er io d as a to ta l s a le ; in fac t th ese w erepart ial sales .VII, 11:~ university pension plan since 1984.


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N a m e o f P e r so n R e p o r t i ngCabranes, Jose A.

Date of Repor t08/19/2011

IX. CERTIFICATION .I c e r t if y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t t in g n o n - d i s c l o s u r e .I f u r th e r c e r t i f y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e inc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t o s e q . , 5 U . S .C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signatu re : S /Jose A. Cabra nes

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L FU L L Y F A L S IF I ES O R F A L L S T O F I L E T H IS R E P O R T M A Y B E S U B J EC T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

C o m m i t te e o n F i n a n c i a l D i s c lo s u r eA d m i n i s tr a t iv e O f f i c e o f t h e U n i t e d S t a te s C o u r t sSui t e 2-301O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 44

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Jose A Cabranes Financial Disclosure Report for 2010