a o to FINANCIAL DISCLOSURE REPORT Re~,ort Requ ired by the Ethics in Government Act of 1978 Re~: ~/~Om FOR CALEND~ YEAR 2009 (5 u.S.C, app. ,~¢ tO¢.~ ~ # I. Person Reporting 0ast nam e, first, middle [nillal) 2. Court or Organization 2. , Date of Report Calabresi~ Guido U.S. Court of Appeals, 2nd Cir 07/I 5/2010 4. Title (Arliclc 111 judges indicate active or senior status; 5a. Report ype (chec k appropriat e type) 6. Reporting Period magistrate judges indic;a~: full- or part-time) [] Norninatior~, [)ale 01/01/2009 US Ct of Appeals Judge, Senior Status I--] h~ifial ~ Annual ~ Final to 12/31/2009 5b. ~ Amended Repor t 7. Chanlbers or Office Address 8, On the basis of the information contained in this Report and any modifications perrainlog thereto, it is in my opinion in compliange U.S. Court of Appeals~ 2nd Cir with applicable law~ and regulations. 157 Church Street New Haveu CT 06510-2030 Revi~e~ving Officer ................ Date .................... L ~ V I P O R T A N T NOTES: The instructionx accompanying thL~Jbrm must be follo~ved. Complete allparts, eheckit~g, lhe NONE box for ettch part where you have no reportable it~formation, Sign on last page. I . PO SITIONS . ~n,,~,o~,i,~ individual ot, ly; se~pp. 9-13 o[ filing instroctions.) [~ NONE (No reportable positions.) P()SITION NAME OF ORGANIZATION!ENTITY l. Ster ling Prul ~:ssor Emerit us: Prnf essor ial Lcclu rer Yale Law School I I!01!1995 - present 2. Honorary "l’t’ttstee .. Unpaid Carolyn Foundation. MN, 01/01/1996 - present 3. Member, Scientific Commiaee - U npaid Centro Nazionalc Prevenzione e Di fesa Sociale, 1988 - present 4. Member (Past President), Board of Trustees - Unpaid Chape! of St. Thontas More, Yale Universily~ 1997 - present 5. Member - Unpaid tnten~ational I hfiversi~v College, Turin Boar,’2007 - Pr~t ~ ~~ IL AGREEMENTS. t~,,~o,.,i,,g indiuidual ,,n( ’: see pp. 14-16 o.[~Hing i .......... ons.) -...,~ ~ ~ ...~ ~ NONE (No reportab le agreement.s’.) DATE PARTIES A~ TERMS I. Presem Right Io be Prnt~ssorial l,ecturer, Yale Universib’, upon retiremen~ (Sce Attachment A 2. Present Right to use ~ ccumulated (approximately $ 1.500) research and travel fired, Yale University, even after retirement
14
Embed
Guido Calabresi Financial Disclosure Report for 2009
This document is posted to help you gain knowledge. Please leave a comment to let me know what you think about it! Share it to your friends and learn new things together.
Transcript
8/3/2019 Guido Calabresi Financial Disclosure Report for 2009
ao to FINANCIAL DISCLOSURE REPORT R e ~ , o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978
Re~: ~/~Om FOR CALEND~ YEAR 2009 (5 u.S.C, app. ,~¢ tO¢.~ ~ #
I. Person Reporting 0ast nam e, first, middle [nillal) 2. Court or Organization 2., Date o f Report
Calabresi~ Guido U.S. Court of Appeals, 2nd Cir 07/I 5/2010
4. Title (Arliclc 111 judges indicate active or senior status; 5a. Report T ype (check appropriate type) 6. Reporting Periodmagistrate judges indic;a~: full- or part-time)
[] Norninatior~, [)ale 01/01/2009
US Ct of Appeals Judge, Senior Status I--] h~ifial ~ Annual ~ Final to
12/31/2009
5b. ~ Amended Report
7. Chanlbers or Office Address 8, On the basis of the information contained in this Report and anymodifications perrainlog thereto, it is in my op inion in compliange
U.S. Court of Appeals~ 2nd Cirwith applicable law~ and regulations.
157 Church Street
New Haveu CT 06510-2030Revi~e~ving Officer ................ Date ....................
L ~ V I P O R T A N T N O T E S : The instructionx accompanying thL~Jbrm must be follo~ved. Complete allparts,
eheckit~g, lhe NONE box for ettch part where you have no reportable it~formation, Sign on last page.
I . P O S I T I O N S . ~ n , , ~ , o ~ , i , ~ individual ot, ly; se~pp. 9-13 o[ filing instroctions.)
[~ N O N E (No reportable positions.)
P()SITION N AME O F O RG AN IZATIO N !EN TITY
l. Sterling Prul~:ssor Emeritus: Prnfessorial Lcclurer Yale Law School I I!01!1995 - present
N a m e o f P e r s o n R e p o r t in g D a t e o f R e p o r t[
PageFINANC1AL5 of 10 D I S C L O S U R E R E P O R T C , ~ a b ~ e s l , G u i d o 0 7 / 1 5 / 2 0 1 0 IV I I . INVESTMENTS and TRUSTS-i . .. .. .. e . , ,~ , ~ . , . .. .. .. .. . ~ , , n ~ ( , , c ~ , , ~ . ,~ , o ~ o f ~ . .. .. .. .. d 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 o f f il i n g i n s
NONE (A~ reportable income, assets, or transactions.)
D e s c r ~ p 6 o n o f A s s c l s I n c o m e d u r i n g I~ G r o s s v a l u e a t e n d Transactions during r~o~ng period
0 n c l u d i n g t r u s t a s s e ts ) reporling peri~ of r~oaing period
P l a c e " ~ X ) " a f t e r ea c h a s s e ~ ~ A m o u n t ] T y p e ( e , g . [~ Value Value T y p e ( e . g . , D a t e Value Gai~ ~ I d e n l i b ’ o f
e x e m p t f r o m p r i o r d i s c l o su r e C~e I [ d i v . . r c m , C o d e 2 M e t h o d b u y , s e l l , ~ m m / d f~ y y ~ C o d e 2 C o d e I buyer/~ller
( A - H ) :~ o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ~~
( J - P ) ( A - H ~ (ifpdvalc
1. *Mass Muamt (who le life) lnsnrance A Dividend L T
2. New York Life (whole life) lnsurauce A Dividend L T
3.AIG SunAmericat~ (whole life’) Insurance None
K T
4, House and adjacenl h)l (Bethany, CT) lbr D R e n t O Winvestment purposes
5. Partial interest in Co-op Apt (NYC, N"/) for None Sold 8/31/09 Oinvestment
6. Bank of America, checking accounl A I n t e r e s t K T
7. Bank of America, IMMA Account A Interest I. °1
8 ,. lntesa - San I’aolo, checking account A I n t c r e s ! J T
9. Merrill Lynch Bank & Trust USA - cash D I n t e r e s t O T
10 . I Shares T S & P 500 (mutual fired) (,t~ D Dividend N T,Merrill Lync h
1 I. 1 Shares " I " S & P M i d - C a p M 4 0 0 ( ) ~ t t tu a l E Dividend P I " 1fund) @ Merrill l.ynch
12 . American Grow|h Fund Mutual Fund (~’~ D Dividend Sold ! 1 1 / 2 4 / 0 9 MMerrill Lynch
13 . American Growth Fund Muttml Ftmd (ii, Nune PI T Bu y ! 1 2 / 2 ~ / 0 9 MMerrill Lynch
14 . Tnlst ill, income beneficial3, G Div. & Int. P2 T
15 . -I[:irst Anl. Tax Free Oblig Fund (cashequiv)
16 . --First Am. Sin-Mid Cap Core Fd -former ...."J ’ech F d ( m u t u a l l i m d )
17. --First Am. Short Tax Free (matual fund)
8/3/2019 Guido Calabresi Financial Disclosure Report for 2009
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 [N .... fP ......Reporting Date o f Report
Iag e 6 o f 1 0 Calabresi , Guide 07/15/2010
V I I . I N V E S T M E N T S a n d T R U S T S - i. ......... I.e. ,ransa,’tiom (Includes those af xp ..... d dependent children; seepp. 34-60 o/f!ling instruction&)
N O N E (N o reportable income, assets, or transactions.)
.................................. -~ ........ B.
I)escrlplion of Assct~ Income d~ritl~ G~ss ~luc al end T~nsactions during reposing period
(inclndi~ t~st assets) r~o~ing period of reporting period
.... ~fi ~:~ o ~ . . . . . . . . . ,,~ i o~ ~:~ -[~;) .....~ . . .. < ~ . . .. . ..Place "~X)" after each assel Amount Type (e.g., Vahlc V~l~c ] Type (e.g., Date ~ Valtt¢ Gain ktentily of
( A - H ) or int.) (J-P) Code 3 redemption) . (J-P~ (A -H ) (if private
( Q - W ) ~ransact ion)
18. r-Genera Mills (common)
[ 19. --American Funds: Investment Co. of[ America (mntual fund)
20 . TixlSt V2. income beneficial’ F Div. & lnt P1
2 1 . - -First Am.Tax F ree Obl ig. Fund (cashequiv. )
22. --Firs! Am. Short Tax Free (mutual fund)
23 . --hnation Corp (common)
24 . --Amel’ican F’tmds:htvestment 1~’o. of
America Ilnttttla] t’ued)
25 . --Minnesota Mining & Mt~. (common)
26 . --First Am. Small Cap Growth Fund ~mutual
27 . --First Am. Sin-Mid Cap Core Fd- foyer
Tech Fd (mutual Ikmd)
28 . Trust a3, income beneficial’ None P2 "F See note in Pa~ VII!
29. --1)a t ’de t~ ]~,estanra t lt s
30 . --Exxon (comwiou)
3 I. --(;cncral Mills (common)
3 2 . --I P,M (common)
3 3 . --JP Morgan (common)
3 4 . --AT&T Inc.(common)
1 . ] ~ c ~ . n ~ e G i n . C , ) , ] e :. A -$t.00e. ot te~ B = 5 1 , 0 0 l - $ 2 ,5 0 0 C $2,50t - $5,000 D ~ S 5 . 0 0 1 - S 1 5 , 0 0 0 E = S t S , O 0 1 - $ 5 0 . 0 0 0
8/3/2019 Guido Calabresi Financial Disclosure Report for 2009
[a l n e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tF I N A N C I A L D I S C L O S U R E R E P O R T
] Calabres i , Guido
07/I5/2010Page 7 of 10
VII. INVESTMENTS and TRUSTS - i ..... ~, v ~ l u e , t . . .. . .. . tionS (Includes th ose of ~p . . . . . . . . d depe.dent children; seepp. 3~-60 oJfili,,g i n s t r u c t i o
NONE 0Vo reportable income, assets, or transactions.)
D e s c r i p t i o n o f A s s e t s]
I n c o m e d u r i n g 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 a r i n g r e p o s i n g p e r i o d
(including l~st assets) r c ~ o r f i n g p e r i o d o f r e p o s i n g p e r i o d_[
P l n c c " ( X ) " a f te r c n c h a s s c l : . : X m o u n t T y p e ( e .g . , V a h t e ~ Value ] T y p e ( e . g ., I l ) a t c t V alue ~. Gain I d e n t i t y o f
e x e m p t t Y o m p r i o r d i sc l o s u re C o d e 1 d i v . , r e n t . C o d e 9[i
M e t h o d ] b u y . s e l l~ l m ~ d ~ v v " ] C o d e 2 , . C ° d e I
b u Y e r ! s e l l e rL A - H ) o r i n t , ) O - P ) I Cnde3 [ r e d e m p t m n ) , ; (J-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 [ N . . . ..r P . . . . .. ~ p o , - t i . g t ~ t , , o ~ ’ g , ~ p o r ,
P a g e 8 o f l 0I Calabresi, Guido
0 7 1 1 5 / 2 0 1 0
VH. INVESTM ENTS and TRUSTS - i~ . . . . . . . . . ~ . ~ . t .......i ...."l.clude~ those of ~p ....... d d ependent children; seepp. 34-60 o]~ling instructions.)
~ N O N E (No reportable income, assets, or transactions.)
................................. L ........................... n~ ................... ~:. ........ ~Description of Assets , Income during Gross value a~ end Transactions during reporting pc~od
(including l~lst assets) i repo rtin g period o f rep oSing pc rh ~d
Place "(X)"a~cr each asset [~mount [ Type (e.g., V alue V alue ::: Type(e.g.. ~ Date Value ~ Gain ~ ]denti~of
. . . .. . pt from prior disclosure IC~e 1 [ dJ ........ Code 2 Method [ ;uy, sell, ~,nm/d~yy Code 2 :~ Code I buverisefler
I (A-H) [ or nt] 0-P) Code3 [ redemption) :. ~ (J-P) [A-H) (ifprivate
52 . --Grantham, Mayo, Van Otlerl~o (mutual
t~nds)
53 . American Funds:Investment Co. of America A Dividend J T(mutual fired)
54 . Citigroup Inc. {c~mm~on) @ Me,ill l.ynch A Dividend M 1’ B uy 04/02/09 M
8/3/2019 Guido Calabresi Financial Disclosure Report for 2009
VI II . A DD I TIO N A L I N FO R M A TI O N O R EX PLA N A TI O N S . a -~ , ~ r~ -ozn~ o-~
Parl I. POSITIONS
l fine 2 - A sse~s of ~t~ Carolyn Foundation are not listed because my position as Trustee is "H onorary" only. I have n~, functional responsibilities with regard to theFoundation.
Line 4 - Assets of the Chapel nfSt. Thomxs Moore are not lismd because my position as member of the Board of T rustees is the equivalent of membe~ of a B oardof D irectors. The Chapel is a religious institution and not a trust in the sense of having designated beneficiaries.
VII . INVESTMENTS AND TRUSTS
I h a v e n o t ~ c u ~ e t m Y +,, , , . ~ : ~ ’ , ~ , ~ , ~ , , ~ / ~ l ~ C o n n e c c u t a n d t s a d j a c e u . ~ a n d ; a n a p a r t m e n l a n d c a r e t a k e r ’s a w ~ m n e n t . , . ~ n d a n o l i v e ~ r o v e ~ ~ h e l d l ~ r v a c ’ a f i o ntrms and not for investment or the pmduc.tion of income; a fishing camp in~lheld for vacat on r pst nd not for nvest ne ~t of t! e productmn of ncome" a ~t
" ~ ,,’ ~:~:’~;~ m Connecuc ut held to pro~ect my land a ~ dot for nvestment or the rod ct o ~ of ~come and additional and ~dcnuc d to th~aTd~jZ6~i t~)i~ boi~’]’~ we placed a conservation casement to protec~ them in pe~emity. N~ did 1 include land in~ near the above hen onedfishing camp, which a~ ’ ~ and 1 purchased in 2007 and on which we placed a consc~ation e~ement 1o protecl i~ m pe~9+tuity.
Trusts #3, #4, m~d #5 in part V !I. and the retirement accoun~ described in VII ~ 48 did not distribute any income to me or to an~ ~:~;: ;~,~;~1. Income
was earned and llOl distributed.
In 199. a~i ,?:: ~ 3~,, ,?~ l aud l estabhshed a (..hanu~ble Remainder L intrust, The ~5~,~5;~ land I are ~.~ .,~, income beneficmnes during our h ves, or 20 ye ~’s,whic ~eve" s o ~ge" ~he trustee is instatcted to invest the honey only in w dely d ~rsifie~l ~i~ut~al or money narke l~nds See art VII Trust # 6
8/3/2019 Guido Calabresi Financial Disclosure Report for 2009
1 certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete tn the best of my knowledge and belier; and that any information not reported was w ithheld hecause it met applicable statutoryprovisions permitting non-disch~sure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts w hich have been reported are incompliance with the provisions of 5 U .S.C. app. § 501 et. seq., 5 U .S.C. § 7353, and Judicial Couference regulations.
Signature
NOTE: ANY INDIVID UA l, W HO KNOW INGLY AND W ILFULL Y FALSIFIES OR FAILS TO FILE TH IS REPORT MAY BE SU BJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)
F ILING INSTR U CTIONS
Mail signed original and 3 additional copies to:
Commitlee o~ Fi~ancial DisclosureAdm inistrativc Office of the U nited States CourtsSuite 2-301One Columbus Circle, N.E.W ashington, D .C. 20544
8/3/2019 Guido Calabresi Financial Disclosure Report for 2009
Tenured m e m b e r s o f th e Faculty upon r e t i r e m e n t may el ecz no csnzi nu e
teaching and other acuiviriem as the School on a
accordance with usual curricular processes reEired prof e msor m m ~y t~ mch on e
half ~ime or Ims~. Faculty memher~ alec~in~
~ .one course in each semester of the academma year or, by a~emen~ with
the Dean, ~o c~urses in one ~e~ follo~ed hy ~ ~e~ in which ~ey offer ao
courses. ~e pa~-cime ~rivile~e~ and resp~nslbil!~ie~ g!il continue
uerm, bun subject ~ che s~rd~ fmr contin~i~n applied tm nsn-rm~Irad,
~enu~ed fac~ mamber~.
Recited fac~ ~ ~ka up a reduced ~aacb~ng
years of the ~a of their regiremen~ ~d ~y n~ in~a~p~ ~air teaching for
lenger than ~o academic years wishou~ fo~e~ing
Recited fac~ty who elect to teach part-~a will dasi~ed ~ Professorial
hecmrera. Apprapriace compensation far p~-~e ~aachZng is datelined by
~he Dean.
After retiremen~ fac~y con~inua n~ receiv~ v~i~ f~ of support.
~e supporu ~y d~p~nd on wh~=har =he fac~ m~mbar c=nzinue= ms ~ach.
Offices.
Upon reziremen= faculty members will leave the larger
offi ces than they may occupy and will lose thei r position on r_he off ice
¯ ~niority lis~, bur will b~ provided other officm space.
Re=ired faculty will continu~ ~o receiv~ sacrmtarialsupport , hun an a r educed level. In gene ral, Profe ssorial Lactuirmr s would
recoive half the usual allocmnion for full time faculty.
Re zlre d faculty who aonuinus to t each can b e granued
triennial leave propor=ionane ts the amou~z of ~eaching they are doing (e.g. A¯Professorial Les~arer who is teaching a course a semestercould rmceive asemester tri enn iml leave e ver)r t hree years. Pay for the leave would be equal~o ~he amoun~ zhaz the f aculty m em be r would have re ceived f or t eachin g thaz
8/3/2019 Guido Calabresi Financial Disclosure Report for 2009
Recited fac~ry ~y "ca~ roland" =h~ir schad~ed leavesfrom pre-retiremen=, bur o~y as to th~ tithe of ~e nexr leav~ du~, which
muse cenform to the =~rip~arion abov~ (~.~. A fac~! member who ~d no loavefor. ~o years prior =~ re=iremen= and who sra~ed reaching a
af~ec re tiremenK wo~d b~ eligible for a paid leave in the second Semes=er of
reEiremenr, hu~ the pay wo~d he in =ha ~s~= of ~hs salad!b~en paid for teac~n~ a co~s~ in ~
Ke~ired fac~ ar~ no= ~li~ihle for
Retired faculty may receive ~he sam~ ~pe Of research
~uppor~ as full ti me faculzy. Re quests for re search ~is~=s and ~raval
~=c ho submitted =o th~ dean for approve. Ocher ~upporr requestscompute rs, duplicatin g, ~=c. Wo~d b~ processed ~rmu6h ,xisrlng~dminis~rative procedures with non-routine approv~ h~in~ rmf~d to the
dean. Cenerai =upport from =he llbra~ ~ i=s staff will b~ availa51~.Book
purc~se re quescs sho~d be di rm cred =~ ~e ~brar ian. ’~! of
procedures are idancic~ =o ~os~ In plac~ for f~l t~a
Salad/ will hs nego=la=ed individ~iy ~th the dean, buta gene r~ ~ide line Pr ofaasori~ ~=~srs who ~each a c=~sa each
after retlremen= will receive one ~rzer of =heir pre-re=ir=~n= s~a~
~= aala~ will he renewed a~ly ~d Professer!~ ~c~era ~ii
~ligihls for increases. Increases will gener~ly be l!~=ed == =he Univer=ity
Univ~rsi~ Benefits
University henefi=s hinge on whs=her the faCLUl[y
member is "half =ires or more", which is defined precissly ~ 50~ or mare.
Rs £iremmn= C~nrrihu~ion
~ ~w Schsol wil! ~ke csn~rihuz!o~ to reziramen~f~dn far Professorlnl ~c~ers =o =he ex=enu possible given ~m University’s
festa for comple=ion of con=ribuzions co re=iremen= f~ds, ~e operazlon of
’~he fo~a can va~ hy indlvid~l, ~= ic Is hig~y lilly ~= ~w Schoolfac~ty se~ing as Pr ofe~sori~ Le c=urn rs will ~ve comple=ed con=rlbu=io~ =or eci r e m e n n funda pr ior ~os~i~ as Profe saori ~ ~c~er a. For fac~ty who
~md fifteen years of se~icm a= Yale prior ~o J~y i, 1993, csn=ri~ions Isrs~iremonn acco~£a a~ th~ r=~r a~l for~a will no~ c~aaa befor~ age
7 0 .
8/3/2019 Guido Calabresi Financial Disclosure Report for 2009
fac~cy. Fac~ wlmh lets =~n 30 y~arm of sa~cm receive ~ pro rata
benefit based on years of se~ica. ~a coverage, ~ile co--arable,
differenz as it is desired =o ~ka adv~uage sf Hadicarm h~nefics. Fac~
who are classified as 501 or aura are eligible fur
coverage.
Under curren t policy if a fac’alty mem ber is classifi edas 50% or more. he or she is no= eligible for retirement h~a!th "verage evenif he or sho meeus the age ~nd te~ of satire retirements became Medicare
from t heir e mployer ~sz receive t~z benef i~ re, her ~ M~dicare so ret ire d
fac~=y listed as 50% or mor~ wo~d h~ covered ~er ~ rs~ar fac~ty
me dic~ plan.
~"~ners is no University con=ributlon to the DenialPlan, but still the plan is avail=hle only To faculty who ar~ half ~im~ or
I x , n g - c e L - m D i s a b i l i t y
Faculty classified as 50% or more are ~ligihle for
coverage under che Uni varsi~--y,s long-ter m ~sahii it y pro~r~. ~e b en efi tst~ pr~gr~ ter~c~ at a~ 70.
~.exihls
~e Univarsi~ repros =~= a fa=~ ~mher be¯ =ployed 50% or more to parzicipa=s ~ =~ ~e~ble h~n~fi~s
Fac.~ members ~y par~icipacn in the group lifeinstance plan if employed ~f =~, or ~r8. If employed less
c~. ~ group lifo in=~anc~ can b~ c~v~r~sd =o a. whole llfe policy.
Benefits Doll~rs
Fac~ work in g ~f =lee ~r ~rm r sceiv~ $27 p~rmont h which c~ b~ applied == f ac~ paid ~ne fi ~s or accepte d as t~ble
incom~.
Scholarship Pl~n for S~ns and D~ughters
The henefi~ is available to el! r~ired faculty who
. meeC ~he length of so.ice requirement -- six c~n~in~ y~arn prior tornceivlng the benefit or fo~ con=inuo~ years prior ~d eish~ years of total
8/3/2019 Guido Calabresi Financial Disclosure Report for 2009