D

POSITION NAME OF ORG/\NIZATION/ENTlTY

4

ARTIES AND

AOJn Ro•\'. /!!Ii/II

FINANCIAL DISCLOSURE REPOHT

FOR CALENDAR YEAR 2009

I. Ptrson Rrportln (lasl name. lirst, middle ini1i.1l) 2. Court or Or anlution

Cabranes. Jose A. U.S. Court of Appeals • 2<l Cir

.a. Tiflr (Article Ill jutlgcs irahcalc acli\'C i1r "·nior sfalus: •. Report T pf {check nprn1rrialc tyre I magi'i!ratc 1udgc indicate foll- or part-tirnc)

D Nomin:Jlmn. Oatc

U.S. Circuit Judge (Active) D Initial [{] Annu.ll

b. AmcndcJ Rqn1rt

D Fmal

Re/>t>rl Required"-" the Ethic.< in Go•·ernm nl Acl of /97R (5 u.s.c. app. .H 1ri1-11n

J. !hit or Rrporl

05/1312010

6. Rrporllng Prrlod

0110112009

lo

1213112009

1. ChamhtrJ or Orrict Addrtn 8. On rh hnls of lhf Information cnntaintd In lhl fhpnrt ind'"'' mndifre11inn, ptrtainlne fhf'rtto, 11 h, In m'' opinion, in cnmplianct

U.S. Courthouse "'Ith •ppllcahle h"'' and rtgulatlont.

141 Church Street New l!Jven, CT 06510

Re,·ie"inJ;?: Officrr___. O•lr --- -------

f fl,f PORT ANT NOTES: Th e in.•lruction.< accompan)'in11 rhi.<form mu.<t be fol/o..-ed. Cnmple" all parlJ,

ch cldnx th' 1VONE box/or tach part wl1ert )'Ou ha 1·e no rtpurlahlr information. Sixn t>n la.(t paJ:t.

------·

• n ,,...., .... .,..."...,'"" 1 .. r V1r...., I I I U l .. (Hi>portin.ll iruJii•iduol t>nly: !itt pp. p./ J nj filinx foJtru<tinn.(,.)

NONE (No reporrah/e positions.) 0

Sec "Allachment A" hereto

2.

J.

5.

JI. AG REE!\1 ENTS. /RqwrlinR indi••idua/ nn/y; .<U f'I'· /J-1 nf filini: lnwu.-rion'.) .c:

NONE (No reportahle agreements.) Tl

! ..) ·-·-' I' TERMS

D

Cabranes, Jose A.

SOURCE INCOME

------·--

SOURCE AND TYPE

SOURCE

)

LOCATION

----

PAID OR PROVIDED

----- ·-- - -----�-------�

----- -------- -------- ---------- ---------- ---- ---- --- ----

[hi or Rf'porl N1mt er Prnon Rrporling FINANCIAL DISCLOSURE REPORT

Page 2 of7 Cahranu, Joit A. 0511J/2010

II I. NON-INYESTl\1 ENT JNCOl\1 E. (RtpnrtinJ/indfridual and .<pnuu: -"'l'P· 11-14 r>ffili"ll inwuctinn•.}

A. Filer's Non-Investment Income

[ZJ NONE (No reportahle 11011-i11vestme11t income.)

I.

2.

J.

4.

AND TYPE (yours, 001 spouse's)

-- ·-· ---- -· -- ---

B. Spouse's Non-I nvcstmcnl Income - lf)'nU •.,,,married durinJl On)' pnrtinn nf rhucpnrtinn'tar, cnmplttt thi• Ucthm.

(Doi/or omounl not rrq11irC'd -H"C'pl for horrnraricr.)

D NONE (No reportahle 11011-invest111e11t income.)

I. 2009 Universily of Chicago Press (Royali1e')

2. 2009

1.

4.

D NONI:. (No reporru/J/e reim/!llrse111enls.)

I. Sec "Allachment [l" htrcn

2.

4.

--- ----

PURPOSE ITEMS

SOURCE DES

. --------- ·�---------------------------------·------------

CREDITOR DESCRIPTION

---- --- ---- ---

VALUE CODE

Namt or Puson Rtpor1inc Datf of Rrport FINANCIAL DISCLOSURE REPORT

Page 3of7 Cabrane" J<ae A. 05/1312010

V. G] FTS. (/ndude.'f thnu In .tppuu and d�1undent childrtn; .tu pp. }1-J I of filinx hHtructitm'i.)

0 NONE (No reportable gifts)

CR !PTION

I. The Quinnipiack Club. New llaven. CT Lunch (at my own expense) pri•ilege

2. See '"Auachment C'" attached hereto

J.

4.

5.

• YW T • • ·· •'rWW.,r'"I

l' 1 .. l..Jlf-\ n 11 ... 1 I Ir..... - (lndudtt thmt' '''.(/'ltlltU anJ J,.penJrnt c·hilJrfn; .Vt' Pl'· .l]- .f.1 nf filinx in(/lu('(io1n)

NONE (Nn reportahle liabilities.) [2J

I.

2.

J.

4.

5.

11.

J

.

5.

6.

7.

I I 8

12

D

j'7 -

i i

I

I

(2) (2) (t) Type (cg .•

uy. II.

rcdcmplinn)

l"•mr or Prrson Rrpor1ing lhlt of Rrpor1FINANCJAL DISCLOSURE REPORT Page 4of7 0511J/20I0Cabrancs, Jose A.

v I I. IN v EST J\1 ENTS and TR u STS - lncmne•... , ••• /ran.•actinn.• (lnduJo thou nf.•rnuu and dependtnl children; JU pp. U- O •/ fi/in11 ln•lrucllM )

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

/\. ll. c. IJ.

Dc cnplilm or A-. rls lr.comr durmg Orn s \.'aloe at end Tr.m\JCllOn\ during reporting period

(induJ1ng 1n1c;1 a-.scl!') rcponin period or rrpor1ing period

i 1tl!AmC"lunt

(t)

I(Z) (JI (4) ,,,

Value (in in Tdrnhly of Pbcc ..{X)" 31lcr c:1ch a..o;.ct ValueTypc(<g. ValuC' Date

I C"oJc I Mcl odlh"., rent. Code 2 Cn1lc 2 \ode I huycr.l\clkrc:ii:cmpl from pnur disclu urc mm/dd-'yy

I(A-I!) or in1) (J-P) Co<lc J (I-Pl (A-II) (1(pri .. ;,1c

tran\;.<:llCln)I 1Q-W)

2

9.

IO.

II

14.

l 5.

16.

Fidelity Asscl Mana er

CT I lii;her Education Trust

Cr I llgher Fduca1ion Trust

\.• 11·.t.:11... DJll;. Jl..\.OULH

Vanguard Money M arkel Accounl

Vanguard Money Markel Aceoun1

Vanguard Money Market Fund

Chase CD

Evergrccen Scrv. Co.

Macy''· !Ala FeJcra1eJ Dcparlmcnl Store<. fik/a May Uepart.

WYF Wyeth

TIAA-CREr Ann1111y (vested)

Tl1\A-CfUcF Pension

TIAA-CRH IRA

I lar1ford Life & Annui1y Ins. Co (variable life in,. policy)

Nuveen MS Active As. ets Tnx-Free 1 ru:-;t

Nf'I Nuvcen Prem ium INC MUN FD

B

L

A

A

A

c

A

A

A

c

A

c

[)ividcn1I L

None J

None L

lnlC:TCSt M

lnter sl

lntcresl

lnlcrest

Interest M

Dividend )

Dividend

Dividend

Dividend J

None Pl

None K

None K

Interest J

lntcrcsl K

T

T

T

I

T

T

T

T

T

T

T

T

SolJ

S old

Sold

Sold

Sold

Ol/ll5t09 M

02/02/09 K

04130109 J

I 011 J/09 K

01/23109 J

A

A

A

ReJcmpt1on

Hedcmp11on

Redcmp11on

I

I. lnrrirnc Cl.11n r,.Jn A=\l.OOOe>rk • B "'u.001. S].\M c ...sz. 01. SHi<io D .,,1 .001. '"·fl()(} I: =SISDOl -l\0.000 (Sl'<.' (".,lumm IH :mt! l J t =s'>n.i..-11. \Inn.non c. -s1nn.on1 . 11 .000.000 ill .-s1.ooo.001 - S\.flfWl.000 112 =II.fore lh:m l'UJOfl.DOO

2 V,.lm:C1MIC""I J=S\\0001111 , K -Sl .OOI -S ll.000 L =-S. n.001 - SIM,000 M =\100.()01. 12.">0.f.O"J (Sec ('ul11tnn' Cl :md 1)1) N •\:?. n.001 - s m ono o =S f)),001. SI .mo.oon r1 T"s1.noo.001. s. .ooo.ono Pl ·l .1100,l'<ll - lll.no<l.Offl

rJ S}.\,MO,nn1 . S.'il.OIH'l,()()(l P4 ""II.inn: lh;m \50.()()(),noo ) Vafuc Mc1hnJ {_ 111ln f) •/\pflJJl\J[ K -<:11 1 Pt.·.)I 1-. l:'lk Onl) l . S "'A• n\mcnl

(SrC' C"olumnC 1 \J =1!1lt'li Vah>e V ,..-(}ihn '". -.. _\l•int11Nl

I '8

; -·

I

(I) f))

N111mt or rrnon Rtportine [l1tr of Rrport FINANCIAL DISCLOSURE REPORT

Page 5 of7 Cahrones, .lo . .r A. 05/13/2010

V 11. INV E STI\-1 ENTS and TRUSTS -1"romr, '"''"•· ''""'a.·1io"' r1"r1.J,, 1h .. .-. "f.'P""u and d,prndm1ehi1J,.": '"PP· N-60 nf fi'i"" '""'"'.,;,,,, •. ,

NONE (No repm·tah/e income, assets, or transactions) D c. D./\. ll.

Groc;s \'aluc a1 end Tr.in..,.icti mc; during rc:por1mg period Dc!lcriptrnn of A!iscls Income during

reporting period flf rcpc1r1ing period(including lru!>l :1o;s.c1c;)

(4) ( )I(I) (2) 11) in (2) rbcc "'( X)" aflcr each a!lsct I/\mclltnl V::iluc V.'.lluc DateType I< g.• Type (Cg, V.:tluc (13in ldcnlily or

I, Code I i C0<k I lhv., rcnl, Mel hod Code 2 buy. !'Cl\. mrnlddln Code 2

(Q·W)

c11.cmp1 from pnor disclo$url� h11ycrtc;clkr

I (J-r)(A-II) (\1d\; l mini) 1f-PJ {1f pT1·•alCrnk1npl1on) (A-II)

lr3n\JC:llCln)I

Nuvccn Conn DVD ADV MUNI D lnlereq M T

19. PllCT People'' United Financial Inc. 8 Dividend K T

20. See "A11achmen1 D" hcrelo : �------·---

I I. lntumc (i;irn (1'\\k, A tl.OOOor k, ... U =\1.001 · l ,.500 ('\ct•CulumncBI :imlll·t) f-' ><B0.001 • J JM.fi'10 r. -i1no.001 .\1.000.000

2 Yalu(' Coo.I ·• J .,S 15.000 or lc:o K ·11<.001 - s n.ooo (Src C'ol11mn1C"I :in I 111) N • Sll0.001 - l<f'<l.flOO o-s m.001. 11.0f _ooo

f'} ='21.0l'X"l.001 . s n.01WJ,O()O .l \";ihK' Mr1hjwl Cm1n () •Arpr;;mal R ... r · (Roi F\IJI(' Only)

(Scl: CohunnC2J U ,.Br•uk VDh1c V =Orhn

C =\1.\01 . S5,000

Ill =\1,{'('o(l.001. \\000,000

I. -150.001 - IH>o.ooo r1 •Sl.000,001 - S\.000_()1)() P4 ,. fore lh;)l"I \'iO.OIWl,fYIO

S .. A""C"'•mrn1 W=b11m:i!cd

n =1-..001 . \I 'i.oon 112 =M(ln,· th.,n \ .IYlo.oon M -SI00.001. s2 n.{)(')O

r1 •ll.000.001 - 11i.ooo.ooo

01tr of Rtpor1 N1me of Prnttn Rtpor11ng FINANCIAL IJISCLOSURE REPORT

Caht::aneJ, Jost A. 0511 J/2010 Page 6 of7

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/ dicouportnfR'P"")

See "Allachmenl D"

Namt or Prrson Rrporting 01" or Rrport FINANCIAL DISCLOSURE REPORT

Page 7of7 Cabranr.. Jo" A. 0511)/2010

IX. CERTIFICATION.

I crrtHy that all Information given a hove (lncludlni: Information pertalnlni: to my spouse anil minor or drprndrnt child rm. If any) h accurate, true, and complete lo the best of my knowledge and bdief, and that any Information not rrporttd >ns wlthht•ld brcausr It met applicable statutory provhlon• permitting non-disclosurr.

I furtherrertlfy that rarnt"d Income from ouhlrle- rmploymrnt and hononria and thr arcrptanct nfJ!irts "hich ha,·r hrrn rqmrtrcl arr In compliance "Ith the provisions of S ll.S.C. app. § 50 I et. srq .• S ll.S.C. § 7353, •ml Judicial Cnnfrrcnrr rrgulafiom.

... . .. _ . ___ -· _ _ ... . :CT TO CIVIL

Signatur(

NOTE:: ANY INOIVIO!IAI. WllO KNOWINGLY AND Wll.FlJl.L\' FAl.SIFI

AND C RIJ\l lNAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional cor1es to:

Committee on Financial Disclosure Administrative Office of the Uni led States Courts Suite 2-30 I One Columbus Circle. N.E. Washington, D.C. 20544

Dl CLOSURE

Jose A. Cabranes U.S. Circuit J u<lgc (Second Circuit) i\1ay 13, 2010

FIN1\NCl:\I. REPORT FOR C\LEND,\R YEI\R 2009

I. Positions

AJT,.\Cl-Ii\IENT A

Trustee of Columliia University, New York, NY

Trustee of the \Villiam Nelson Crormvell foun<lation, '.\Jew York, NY

l\lemlier of the ;\cademic Advisory Committee of the Institute for Constitutional Studies, The

George \Vashmgton University, \Vashtngton, UL

" Nute: No income of any kind wa <lcrive<l from any of the positjons" or services or activities noted in this

J\ ttachrnent A.

Page

transportation, lodging. food,

Description

Raleigh-I

Jose A. Cabrancs LI .S. Circuit .Judge (Second Circuit) t\Iay 13, 2010

FINANCI:\L DISCLOSURE REPORT FOR C\LEND1\R YEAR 2009

lV. Reimbursements -

I. Federal Bar Council New York, NY

2. Columbia Uni,·ersity New York, NY

3. Universitv of Illinois Law School Urbana-Champaign, IL

4. Duke Law School Durham, NC

5. Jewish Home for the Elderly of Fairfield Count)'

Stamford, CT

1\IT1\CHt\tENT B - I

cntcrtainmellt:

M eals, cost of transportation to/ from Cabo San f ,ucas, t\lexico, ground transportation and lodging for me and (a Professor of Law at Yale) in connection with participation by each of us, in our respective individual capacities, in academic programs of the FBC's annual Win ter Bench and Bar Conference.

February 14-21, 2009

t>.leals, and the cost of transportation to and from New York in connection with my duties as a Columbia trustee at each of the following meetings of the Board of Trustees or its committees in New York:

March 13, 2009 October 9-10, 2009 June 12, 2009 December 11-12, 2009

t-.lcals, the cost of transportation to/from Urbana-Champaign, IL, groun d transportation and lodging in conncctjon with jud ing a moot court.

1\pril 7 -8, 2009

Meals, the cost of transportation to/ from Durham, N .C., groun<l transportation and lodging for me and (a Professor of Law at Yale), in connection with participation by each of us in an academic conference on empirical research in the law.

September 19-21, 2009

One meal at a dinner in connection with remarks at presentation of the organization's Public Service ;\warc.l to a juc.licial coUeaguc.

October 29, 2009

DISCLOSUR _REPORT

P:-igc

transportation, lod ing. food.

Description

Jose A. Cabranes U.S. Circuit JucJge (ScconcJ Circuit) f\lay 13, 2010

I\'.

FIN1\NCL\L roR C1\LENDAR YEAR 2009

;\TfJ\Clll\1ENT B - 2

Reimbursements - entertainment:

6. William Nelson Cromwell Founda tion

New York, NY

7. Yale University New Haven, CT

One meal and the cost of transportation to/from the annual meeting of the trustees of the \X'illiam Nelson Cromwell Foundation, held in New York, NY

November 10, 2009

As a member of the Yale community ( of a tenured faculty member and as a former lJniHrsity trustee), meals and refreshments from time to time over the course of the academic year, in connection with at tencJancc at, ::incJ participation in, variccJ University ::icacJemic and social functions.

expense.

Jose A. Cabranes U.S. Circuit .Judge (Second Circuit) May 13, 2010

1-INANCIAL DISCLOSURE REPORT FOR CALEND1\R YEAR 2009

ATTACHMENT C

For some months in 2009, and for many years since I became a federal judge in December 1979, I benefittcd from the opportunity afforded by The Quinnipiack Club of New Haven, Connecticut ("Club") to state

and federal judges who work in New Haven, and to the Mayor of the City of New I lavcn, to have lunch at the Club at their own

In Pub. L. No. 110-402, Section 2, 122 Stat. 4255 {Oct. 13, 2008), Congress enacted legislation nrnh;h;t;no ') i11rl;rf":.1 Affi,...Pr frAf'n r",.....Pnt1nn nfft nf':ln hnnr'lr-:>n1 ,...Jnh n1Pt·nhflor("h;n ur1th 11'll11 nfmnt"P fh'ln (.c;:() 'l.t"' .. "-" ............ . ....... b .... J ........ ·-·-· ............ - ....... ........... ............... t"' ...... o .... b.... ......... ·· ...................... J ...................................... t' . . ..... .... ........ "" .... ...., • ••• v ..... .... •• ...,_..v

in any calendar year. This legislation was followed by a May 13, 2009 advisory letter regarding this legislation to federal judges from the Chair of the Committee on Codes of Conduct of the Judicial Conference of the United States, captioned "Restrictions on Honorary Club Memberships." This legislation and letter caused me lo question for the first time whether the lunch arrangement at the Cl ub constitutes a "gift" reportable on my annual Financial Disclosure Form. After careful consideration of the matter, I concluded in 2009 that, in the circumstances presented, reporting the arrangement may be appropriate.

Under the arrangement described above I 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; prov ide lodging at the Club for guests; or use the banquet facilities of the Club. Beca use the luncheon arrangement described above was ava ilable 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

'·fair market value" of the arrangement. Nevertheless, in the interest of completeness, and in l ight 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 detem1 ine how a value on the arrangement can be detcrrnincd 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 2009 to discon tinu e this limited association with the Club, effective on the date of the filing of the Financial Disclosure

Form for 2008 (filed in 2009).

explanations. (l part Report).

lose A. Cabranes U.S. Circuit Judge (Second Circuit) !\fay 13, 2010

FIN1\NCI1\L DISCLOSURE REPORT f'OR CALENDAR YE,.\R 2009

AITJ\CJIMENT D

Vl IT. 1\<l<litio1rnl information or n<licatc of

VII, 13: um,·ersity pension plan since 1984.

VII, JS: cash \'aiue iitc insurance poiicy, which is part insurance and part mvcstment, was obtained in 1998 and has been in effect since then. Initially it had no report a bk "investment value." Value indicated refers to investment value of the policy as of December 31, 2009.

See also "1\ ttachmcnt C"