-------�-----------

-----

Pr!i t

' t_,.

f" 0

("')

Repor/ Required by /he F.tlrics FINANCIAL DISCLOSURE REPORT AO lO in Governmenl Ac1<?f1978 Re». l/2010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. f1'· IOI·/ 11)

1. Person Reporting (last name! first, middle initial)

Calabresi. Guido

4. Title (Article 111 judges indi,ak active or senior status; magistrate judges indicate full- orpart-timt:')

US Ct of Appeals Judge, Senior Status

2. Courc or Organization

U.S. Court of Appeals, 2nd Cir

Sa. Report Type (check appropriate type)

O Nomin<ttionJ Ot!tc

O lnitial [2J Annual D Final

3. J)ate nf Report

07il 51:!010

6. Reporting Period

01!O1/2009 to

l2i31/2009 Sh. D Amended Report

7. Cltarnbers or Office ,\ddress

U.S. Court of Appeals, 2nd Cir 157 Churd1 Street New Haven. CT 06510-2030

8. On the basis of the informatio11 contained in this n.eport and any modifications p(':rtaining thereto, it is, in my opinion. in compliance with applicable hn,.·s and regulations.

Revtewing Officer_ .... ·-··-------- Date

/MPORTAIVT NOTES: The i11slmcti1ms aci:ompa11ying tlri.<P>rm must be followed. Complete all parts, checking the NONE box far eadt par/ where )'Oii hal't' 110 reporlable iriform111ion. Sign 011 lastpage.

I. POSITIONS. (11.epurting fodi>oid1111/ u11/y; .<«pp. 9-13 of/ili11g insm1ctiuns.)

NONF. (No reportable positions.) D

POSITION NAME OF ORGANIZATION/ENTITY

1. Sterling Professor Emeritus, Professorial Lee.lurer Yale Law School, I 1101/1995 - present

2. Hommuy Trus1c ·- Unpaid Carolyn Foundaticm. MN, 01IO111996 - present -····· -----------..

3. Member, Sciemifk Con1111illee ·Unpaid Centro Nazionak Prevenzione c Di Cesa Sociale, 1988 - present

4. Member (Past President), Board of Trustees. Unpaid Chapel of St. Thomas More, Yale University. I 997 - present

Q ,.._,, 5. Member ·Unpaid lnlemntionnl I :niversity College, Turin Boarc\;'2.007 -

i "" ·- c_t.": ,-r,.) a--

IJ. AGR:EEl\llENTS. IR<•purti11g imlivit/1111/ im(I': Se< pp. 14-16 •:!filing im1mc1ions.) J>--.--, -11

NONE (No reportable agreements.) -!? CJD f'1 l'V

_JPARTIES AND TERMS

l. Pres"nl Right to he Professorial Lecturer, Yale University, upon retirement (Sec Attachment A)

2. Present Right to use ·ccunrnlate<l (approximately $1 .500) resoarch aml travel fond, Yale University, even after retirement

3.

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

-------

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

SOURCE DATES

----·------ ----------- ----------- -----------

FINANCIAL DISCLOSURE REPORT

Page 2of10

Name of Person Reporting

Calabresi, Guido

IIJ. N 0 N-JNVESTMENT JN COME. (Reporting individual <ind spouse; see pp. 17-24 offiling instructions.)

Date of Report

07/1512010

A. Filer's Non-Investment Income

NONE (No reportable non-investment income.) D SOURCE AND TYPE

I. 200'> Yak University - parHim t<:m.:hing

2.2009 Yale University Press - royalties for previously written book

INCOME (yours, not spouse's)

$89, 782.37

$508.90----..·-·----- ___,, _________3. 2009 W.W. Norton & Co. - royalties for previously written hook

4. 2009 Author's Registry - Copyright payments for previously written books, etc.

5.2009 Harvard Univ rsity Press - royalties for previously written book

6.

$336.14

Sl20.97

5153.31

B. Spouse's Non-Investment lncon1e - ff'ytm were nwrrit J 1/urillg 11n}' p1Jrtio11 of the reponing year, ('umplelt' this section.

, (Doi/or um(>Wll not n:quin·d exceµtfi._ir honvrorit1.J

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

SOURCE AND TYPE

I.

2. ---······----- ... _,, _____ .. -----... 3.

4.

IV. REIMBllRSEJ\1ENTS -- trcmsport,,lion, /(Jtlgi1111./i'OI', mtatai11me111.

D NONE (i\lo reportable reimbursements.)

I. Yak University La\v Sdwol

2. University of lvlinncsota Law School

3. Yalr Cniversity Law School

4. r\ew 'fork University Law S..:hool

·

12'10/0H

2/')109 - 2111)/09

21 I R'09 - 2!1 'l!O<J

/17.'09

LOCATION

New Hawn. CT

Minneapolis, MN

Washing.ton, D.C.-----·------New 'fork. '.'JY

PURPOSE

Lecture

Lccltlrc

Academic Meeting

Lecture

ITEMS PAID OR PROVJDED

Travel

Travel, Food, Lodging

Travel, food

Travel

------------ -··---··---- ------ ------- --·-----------

------- --··---- ---· -------------------

· -------- ----·---- ··----------

------ ----··------------------

-----··------------------

------

-----···---------

----· ---- -----

---- ------

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

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

----- --

----

-- --------·---------

------------------···-··--- -·-·--·

Date of Report Name of Perton Reporting FINANCIAL DISCLOSURE REPORT

Page 3of10 07/15/2010Calabresi, Guido

5. Cariplo Foundation 3/22109 - 3123!09 Milan, ltaly Lecture Travel, Food, Lodging

6. Harvard Law School 4/5/09 Cambridge, MA Lecture Travel

7. Rutgers (Camden) Law 4/9/09 Camden, ?>JJ Lecture Travel, Food School

8. Yale University Law School 4/29/0<J New Haven. CT Class Party Food

9. University of Chicago Law 4130!09 - 511/09 Chicago, JI .. Moot Court Travel, Food, Lodging School

I 0. Cariplo Foundation 5/11/09 <vlilan, Italy Academic Meeting Travel

I I. Aspen lnstinne 5! I I 109 - 5/12/09 Rome, Italy Lecture Travel, Food, Lodging

l2. International University 5/13.'09 - S'l4i()9 Turin. Italy Lecture Travel, Food, Lodging College

l 3. A rnerican As>oc iat ion of I.aw 6116/09 - 611 7109 Washington D.C. Lecture Travel, Food Schools

--- ----··-··· ---·--------··----·------

14. Canadian lnsrih1h.� of 7/11/09 - 7115/09 Cambridge. England Lecture Travel, Food, Lodging Advanced Legal Studies

I 5. Yale University Law School 7/23/09 Washingwn, D.C. Lecture Travel, Food

16. Carolyn Foundation 8120/{)l) - 8/23/0<J Chaska, MN Trustee Retreai Travel, Food, Lodging ·--····

17. ConnL't'ticut Bar Association 911 !09 IIartford, CT Lecture Travel, Food -·- ------

18. University of Piacetwa 'J/2711)9 Piacenza, Italy Lecture Travel -

19. Yale l'nivcrsity Lnw School 1011 L'IJ9 \Vm>dbridgc, CT Class Party Food ---·

20. Yak University I ,aw Sch<.>ol 10/27/09 New York, NY Academic Meeting Travel

-21. Cariplo Fuundatkm t l/6(()9 11/7/i\'J rvtilan, Italy Lecture -

-·-·--· --··-··- --

22. Federalist Society 11 /13!1.l'J - 1 1.' I 4101.J \Vm:hingron, D.C. Lecture Travel, Food

----

-------

·--------------·· · ·- -- ----------

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

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

-- --- -------· --·····

Date of Report Name of Person RePQrtingFINANCIAL DISCLOSURE REPORT

Page 4of10 07/1512010Calabresi, Guido

V. GIFTS. (lndudes those to spouse tmd dependent children; see pp. 28-31 ofjiling instruetitJns.)

NONE (l\!o reportable gifts.) l2J

SOURCE DESCRIPTION VALUE

l.

2.

3. ------·-------- ----- -----

4. ------

5.

VJ. LJ1\BJLJTIES. (Jndmfos tlrnu ofspouse and tlt.:pendent children; see pp. 32-33 ojjiling i11s1ructiuns.)

l2J NONE (l'io reportable liabilities.)

CREDITOR DF.SCRTPTION VALUE CODE

l.

2.

3.

4.

5.

of filing

1.-

L !\

(1)

L T

(2) (.1) (4)

I i '

,----······-----,·--·--·

(1) (2)

Date of ReportName of Person Repor-ting FINANCIAL DISCLOSURE REPORT

07/15/2010Calabresi, Guido Page 5of10

2.

3.

4.

5.

6.

7.

8.

19. '10.

II.

12.

! " '

J.

14.

Mass Mutual (whole life) Insurance

New York Life (whole life) Insurance

AIG SunAmcrican (whole life) lnsur;illC<'

House and adjacent 101 (Bethany. CT) for investment purposes

Partial interest in Co-op Apl (NYC, NY l for invcstm..::nt

Bank of America, checking account

I3ank of America, lMMA Account

Intesa - San Paolo, checking <1crnun1

Merrill Lynch Bank & Trust USA - cash

I Shares TS & P 500 (mutual fund) @ Merrill Lynch

I Shares TS & P Mid-Cap M400 t mutual fund) (i Merrill Lynch

American Growth l'und Mutual rund (ii; Merrill Lynch

American Growth Fund Mutual FuuJ (ii. Merrill Lynch

Tnist # 1, income benelicia1y

15. --First Am. Tax f'ree Oblig Fund (cash equiv)

16. --First Am. Sm-Mid Cap Co"' Fd -former Tech hl (mutual lit11d)

17. --F irst Am. Short T<tx Free (mutual fund)

A

[)

A

A

A

[)

[)

E

D

Ci

Dividend

Dividend

None

Ren!

None

lnt(!:fC'St

Interest

Interest

lnccn st

Dividend

Dividend

Dividend

None

Div. & In!.

. . .

L

K

()

K

L

J

0

N

Pl

Pl

1'2

T

T

w

T

T

T

T

T

T

T

T

Sold

Sold

Buy

813 J/09 0

11/24/09 M

12.'2 /09 M

'

VII. INVESTlVIE:'l"TS and TR lJSTS - income, value, tran.>actions (Includes those of SpiJu.<e and depmdent children; see pp. 34-60 instr11ctions.)

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

D.A. B. c.

Transactions during reporting period Description of Assets Income during (iros:o value at end of reporting period (including trust a:is.l'.:ts) reporting period

i· ·

' (I) (5) Pl:\c:c "(X)" aft r each .1sset l Amount Type (e.g.,

Code I exempt from prior disdo!;urc div. . rent, (A-H) or int.)

Value \/;1.}Ul'

Code 2 Mothod

(J-P) Codc3

(Q-W)

Type (e.g .. Date Value Gaiu Identity of

buy, sell, mm/dd/yy Code 2 Code I ouyerlseller

redemption) (J.P) (A-HJ (if private transaction)

I. Jncomc Goin Codes. (See Columns BI .md 041

A ·'>l,1)1)0 or l ::.s B c:SI ,00 I · $2.500 c "'52.501 - ss.ooo D =S5,00l - S.15,llOO E ..,SIS,001 -$50,DOO F ... so,llOI - Slel0.000 0 ·-$ 100,001 - Sl,000.QtiO }lJ .. SIJJOC)JJOJ - $5,00l!,OOU H2 -More than SS,000,000

2. Value Code ,1-Sl!',OUOor kss K ··Sl5,{l1)l - $50,000 L '""''S.50,001 - ')J00,000 M ···S t00,001 - S250,00(J (See Columns Cl and D.\) N ..c·S:!!'l).001 - $5(>0,000 () ·5!'00.00 I - S 1,000,000 Pl .... $1,0(1(1/J'll - $5,000,000 fl2 ·""$5,000,001 • $::!5,0003lUO

P3 ""· S.25.000 .00 1 - :ci50.(J(J(J,0UO P4 -\fore U:.m SSU,000,UOfJ 3. Value: M lhod CoJ s Q ··1\pprai:iill R =("o!;t (Re:.11 Es1,11c (Jr.I;} S -,\sS $31l1 nl

{See (\Jlumn C:!) ll -Bl)(ik V:,fu.: \'=Other \.V =E.:.llmntcd

118. I

122.

(1) (I) (5) I

I

Tl.ate of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 6of10 07(15/2010Calabtesi, Guido

VII. INVESTMENTS and TRUSTS - income, vatue, rran.-u<"lions r1nc111i1es those utspouse and t1epenuen1 children; see pp. 34-60 of filing instructions.>

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

Description of Assets (including trust assets.)

Place "(X)" after each 0sse1 exempt fr\Hn prior disclosure

c-Gcneral Mills (common) i

19. --American Funds: Investment Co. of America (mutual fund)

20. Trust #2, income beneficiary

! 2 I. --First Am.Tax Free Oblig. Fund (cashequiv.)

23.

24.

i 25. 26.

27.

--First Am. Short Tax Free (mutual fund)

--Imation Corp (common)

--Amcr ii.:an FunJs:lnvestmcnt Co. of Amcric,1 1111utual fund)

--Minnesota Mining & Mfg. (common)

--First Am. Small Cap Growth Fund (mutual fund)

--First Am. Sm-Mid Cap C(1re Fd- fonner T ch Fd (mutual l'und}

28. Trust U3, income bc·ncliciary

29. --Darden H.cs1aumnts {cornmon)

30. --E:-cxon (t'.Olllmun)

31. --(icncral Mills (common)

! 32. --IBM (cnmmon)

33. --JP Morgan (common)

34. --AT&T lnc.(common)

(Se!:' Columnl' Bl .lnJ l.)4) 2. Value Codl.'::1

(See (."olumns CI and JH)

A -1.1,0(MJ or h.·ss i: =$5(1,(l(ll • $10(),()1)()J ·'·S 15.0011 or k:;ii N ..,$250.0tll . $500,000

'.Amount! . Code I

(A-II)

F

J. V:ilu•: \kth\'•d llH.k.$ (Sec <.'olumn ('2)

P3 ... S2:i,OOO,l,101 - S5ll,OOO,fJO(J Q '··.-\ppra1 ulU =lh•11 V11.lu1!

B. Gross v c at ..::nd I Transactions duri g rc·p :i :cn•

--

.. of reporting period

(2i -1- --·-(1)·--·- 1·· (2! T(.-l)---:---(4)Value Code 2 (J-P)

Div. & Int Pl

None P2

B "'Sl,001 • S ,5(J0U =SHl0,001 -Sl.000,00U K -·S 15.001 . S50.000 o ""·S500,001 - s1,O(Jo.oon

R =Co:-1 {Real Ei;1a1e Only) V-""Othrr

Value ! Type (e- g, I Dat\°'.'. ' Value ! Gain l\:kthod 1. buy. sell, imm/ddjyy ! Codi! 2 j Code I Code 3 _ _'_"_dcmption) : ' (J-P) l (A-H)lQ-W)

T

T

C ·S2,50l - SS,000

HI =SI .OOOJ)C)\ · $5,000.000 l. -550,0DI - SJ00,000

Pl "'Sl.000,00i · S5,000,000 P4 .:.:More 1h:m $50,IJ00,000

.-\S!.t:!.:-.m ·1it O...V E hnn1ed

D .,,.S5JWI -Sl5,000 H'.2 -More th11n SS,000,000 -

M ""SI00,001 - $.!50,00G P2 "'S5.000,00I - S25,lHl0,000

Identity of buycr/ cller

(if private trnnsaction)

See note in Pan VIII

E =S l 5,uO I - SS0,000

I

I

1 37

I

i

' i

'

!

!s1.

(2)

=Ca .. h

I I

I

!

!

!

not : ::'_:J

{J-P)

(I)

redemption)

D.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 7of10 07/l5i2010Calabresi, Guido

D

VII. INVESTI\IBNTS and TRUSTS - inctJme, l·aiue, zransat:tfons onc1udes 1hose ut spouse and depenuenr children; see pp. 34-60 of filing ins1r11c1ions.>

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

A. R. c.

Description of Assets J ncome during \iross value at end Transactions during reporting period

(including trust assets)

:Plncc "(X)'' after cnch ;, ..,ct Amount 1

CoJ 1

reporting period of repomng penod

I Type (e.g ..

t I) (2) (4) (5)!Valut: Value

Code ? Method

G<:!in Jdcntity of Type (e.g.,

or int,) i1, buy, sell, exempt from prior disdo un.: div., rt.·nt. Code I buyer/seller

(A-H) i (A-Ii)Code 3 (if private

transaction)I -----.l- .(Q-W) i

35.

! 36.

'38.

39.

'40.

41.

42.

43.

44.

45.

--US Bancorp (commun)

-- American Funds:lnvestmcm Co. of America (mutual fund)

--Merrill Lynch Hank & Trust LISA - cash

--Thorium Ltd (com.) (merger - was Radkowski Thorium Power l

--Am. Growth Fund (mut11al fund)

--Am. Euro Pacific Growth Fund (mutualfund)

Trust #4, income beneficiary

--Merril l Lynch Bank USA - CMA Money Fund (cash etjuiv.)

--! Sh:ires TS & P 500 (mutual t\md)

Trust #5, income bendicia1y

--Bank of America (common)

46 --Morgan Stanley Em. J'vlkt Fd (mutual fund)

47. --Bank uf America ch\!cking account Cash

,18. Guido Calabrcsi Rctil'crncnt, TIAA-CREF

49. Bnnk llf Arncri.:a (common) (!jl Merrill Lynch

50. Bank llf America (common) (ii) Merrill Lynch

Trnst f.16, income bcncfidary

L_

A

t'

?\Jone

:-Jone

:--Jone

Dividend

:-.!line

Div.& Int.

Pl T

Pl T

Pl T

M T

Pl T

Sold

Buy

11/24/09 M

12/28/09 M

See note in Pai1 VII I

Sec note in Part Vlll

See nole in Part VIII

See

1. lncomc Gam l',.,dc::; (See Column Bl 1u11l D ·1)

2. Value Codes (Sec Cohmm ('I an1J DJ)

3. V:ilue 1c1hod Cmks (See (\1lum11 ("2)

A m$ 1.000 or less F "'1i5.0,110l -SIOO,{l{IO J ''515,000 UT k

-$.!SO.Wt - 5500.00o

P3 .. - 5,0fltt,<t<ll - S50.0CJO,flOU Q ·-Appr. 1s:d

IJ-·Il11ul. Value

.,.Sl.lKil -S'.?.500 Ci ·Sl00,001·51,UtJO,OOO

K -S 15.001 . $50.000

o =S50n,oo r - s1 .. ooo,ooo

I "'cn t t Real E _._1,11e Only;

V· Other

C :-::$2,501 . SS.000

HI =Sl,OOU,1101 - S5,000.00fJ

L sso.oo; - s1on,1JOO

Pl , Sl,000,001 $5,000.000-

P4 :.More than S5fl.onn.ooo .S -=.·\ sse,.: rnent \\/ ::E!-.tim;1ied

D=S5,00l -SIS,000 I'. ""'-)15,001 - SSO,Oilfl H2 =More than SS.OOU,000 M s100.001-s2;0,ooo P2 ss,000.001 - S25.IJ{)t).OIX)

T Marki'l

153. i

' mA H ")/ -- ,P 2ieg - (I)

I

(I)

D.

Name of Person Rl:porting Date of Report FINANCIAL DISCLOSURE REPORT

Page 8 of10 Calabtesi, Guido 07115/2010

Vll. INVESTMENTS and TRUSTS - income, '"'"'· trunsuctions onc1udes t1tose of sporm and aependent children; see pp. 34-60 offiling instruc1ions.J

D NONE (No reportablt- income, assets, or transactions.)

A. B. c.

Description of Assets Income during Gross value al end Transacti(lrtS. during rcponing period

(including trnst assets) ! reporting period of reporting period ···-----·-'

(:!) (1) !3) (4) (5) Pl nee "(X)" after each asset Value Value

exempt from prior disclosure djv. rent. Code 2 Method - or int) (J-P) Code 3

I (Q-W)L

Typt: (e,g .. Date Value Gain Identity of

buy, sell, :mmidctlyy Cod< 2 Code J buye.rise lier redemption) (J-P) (A-H) (if private

transaction)

. 52. --Grantham, Mayo, Van Otterloo (mutual funds)

American funds: Investment Co. of America (mmual lilnd)

A Dividend T

Citigroup lnc. (common)@ Merrill Lynch A Dividend M T Buy 04i02i09 \1

L Income.· liain l\iik•s: A ...-:; 1,000 or l¢s . l! SI.OHi. $"2,500 i$cc l"ulumn:; UI and 04) I' "$SO,OOI • SIOll,l"-'O G ';ICl(),001-Sl.l l().000

2. Val\le C\)ifc J s 15.(100 \)r 1 -s K ·S 15.001 - ssn.ooo 1.See Columns C.: I and{))) N •SlS0,001 • $500,0UO 0 •5500,001 -SI .t ltl.000

PJ .,..S'.'.!.5,(I00100I - S5n,orm.oon 3. \!:due 1eltmd C1idc . Q '"'.·\ppr,iisill R .,·(.\isl (Real btatc Only)

/Sec C"1'l11mn C2) \.I ···B11\•k. \'1:1111:: V-01hcr

( .·.-·$2,501 - S5,000 0 -· 5.001 - $15.000 E-=515,0or -$50.HM ll 1 -·SJ .000.01.11 - $5,00f1,000 H2 -Mmi.: than $5,000.000

1. :...sso.oo 1 • s roo,ooo M '"S J00.00 I · $250,0()0 Pl =Sl,000,001 - $5,()(JO.OOO P'.! """S.S.OOIJ,0(11 - S25,000,000

N .:More than 550,000/IQO

S.·-A:.-::$e:ssment

w ""Esiim:H:;>d

in

·

c

·

!°'b

.

I :i;IHiWf;:!tm h.'.r!. grove&i:J ti{ ar

.1d '!?l to

,n ,c t

. !).t .0£ t.! lllf\tllli· _production

; JIKj;:< '.: .. .. t.,:.¥1;11 and it both of\>b1ch infW'l,

a; Lll:,• pei-petuity.

al;'"[,.·;:; :;;,::;;:Janel Thc.;; Jljll/:i;i,;t'YI The d1vers1ficd

l .ine 2

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT Page 9of10 Calabresi, Guido 07/15/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (llldicateparto/Report.j

Part I. POSITIONS

- Assets of the Carolyn Foundation are not l isted because my position as Trustee is "Honorary" only. I haven(> functional responsibilities with regard to the Foundation.

Linc 4 - Assets of the Chapel of St. Thoma. Moore arc not listed because my position as member of the Board ofTrusret·s is the equivalent nfmcmbcr ofa Board of Directors. The Chapel is a religinus institution and not a trust in the sense of having designated beneficiaries.

Vil. J:--JVESTMENTS AND TRUSTS

I have nor my: Co necricu

.

t and its adjacent apartment and care_rakcr's apartment and an oli:e he!d for vacation pro uct1on of mcome: a fishmg camp held for vacat10n tnps and not for 1 vestment ot the fmcorne; land

/.: m Connecucut held to protect my land nor tor mvestment or the production of mcome; and addmonal land idcnucal to this and adjacent to on we placed a conservation casement to protect them in perpetuity. Nor did l include land near the above mentioned fishing camp. which and 1 purchased in 2007 and on which we placed a conservation easement to protect it in

Trusts #3, #4. and #5 in part Vil and the retirement account described in VII II 48 did nor distribute any income to me or to was ean1ed anU nol distributi:d.

In 1995 I established a Clwriuiblc Remainder Unitrnsl. and l are 5.5% income beneficiaries during our lives, or 20 years. whichever 1s longer. trustee is instructed to invest the money only in widely mutual or money market funds. Sec part V[J Tnist #6.

.TTOCJVIL

Date of Report N aine of Person Reporting FINANCIAL DISCLOSURE REPORT

Page IO of 10 Calabresi, Guido 07115/201 {)

IX.CERTIFICATION.

I certify that all information given abon (including information pertaining to my spouse and minor or de.pendt>nt children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported a1·e in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 t:.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INl>IVIDl!AI. WHO KNOWINGLY AND \VILFULL ,, FALSIFIES ORF· AND CRIMINAL SANCTIONS (5 L.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Comrnilkt: 011 FinanL·ial Disclosure

Administrative Office of the United States Courts

Suite 2-30 I

One Columbus Circle, N.E.

Washington, D.C. 20544

From: St:ephen Yandle

Date: February 3, 1994

Re: Reciremenc benefits

Tenured membe r s 0£ the teaching and other activities accordance with usual curricular half cime or less. Faculty members to one course in each semester the Dean, t:wo courses in one tei=-n: courses. The parc-cime privileges term, but subject to the standards tenured faculty members.

Retired faculty llIU.St take

alecc to continue basis. In

may teach one cime IILllY offer up

by arrangement with which they offer no

continue without to non-retired,

faculty upon retirement may ac the School on a pan::-time

processes recired professors el ecting to teach half

of the academic year or, followed by a term in

and responsibilities will for continu.ation applied

'

up a reduced teacru..ng assignmenc within two years of the date of their retirement and may not interrup t:heir teaching for longer than t:Yo academic years without forfeiting their appointments. Retired faculty who el ec t to teach part-time will designated as Professorial Lecturers. Appropri ate compensation for part- t: ime teaching is determined by the Dean.

After retirement faculty continue to receive various foOllS of support. The upport may depend on whether the faculty member continues co taach.

Offices.

Upon retirement faculty members will leave the larger offices th.:i.t they may occupy and will lose their position on t.he office •eniori ty list:, but llill ba provided other offi c e space.

Secrec.arial

Retired faculty will continue to receive secret.a.rial support, but at a reduced level. In general, Professorial Lacturer.s would receive half the usu.al allocation for full time faculty.

L UVC!J

Retired faculty who continue to taach can be granred triennial leave proportionate co the a.mowit of teaching they ara doing (e.g. A Professorial Lac-curer who is teaching a c o urse a semest er could receive a

semester triennial leave every three years. Pay for the leave would be equ.J.l r:o t:he a.mount: t:hac the facult:y en.ember would have received for teaching th.Ile

discrecian - -- -- -- , ... .,, .... .,.,. i:o l:'rotes.sorial Lact:urars are at: the

of the dean wit:h the approval of tha Provoar.

Retired faculty may •carry fonrard• t:heir scheduled leaves from pre-ret:irement:, but: only as to the timing of the ne:n: ·le.ave due, which muse conform to the :1tipulation above (e.g. A faculty member who hn.d no leave for. two years prior to retirement and who st:art:ed teaching a course a semesrer after ret:irement: would be aligible for a paid leave in the second semescer of ret:iremenr. but: the p.ay would be in t:he amolll1t: of the .:ialar<J that: would have been paid for teaching a course in th.at semester).

Summer St:Lpend.s

Ret:ired fnculr:y are not eligible for -'UllUllcr ;,ti pends.

Roaaarch A.ssist:ant:s

Re tirad facul t:y may receive the same t:ype 0£ re so arch .support as full time f.acul ty. Requests for research a.s.si.st.an:cs and travel mu.sr: be submitted to the de.an for approval. Other support: request:.s -

computers, duplicating, otc. - would be processed r:hrough existing adminisr:rative procedures with non-routine approval being raferred to the dean. General upport from the library and its staff will ba available. purchase reque.st:.s should be dire c ted t:o the Librarian. 'All 0£ these

procedures a.re idant:ic.n.l to those in place for full time facul t:y.

S.ul.ary

Salar"/ will be negotiated individually with the dean, but as

a general guideline Profas.sorial Lecturers who teach a c urse each semester

after retirement will receive one quarter of their pre-retirement salary. That salary will be retj..elol'ed annually and Professorial Lecrurer.s 'Ji.ll be eligible for increases. Increases will generally be limited to cha University figure for tenured f.a.cu.l t:y.

Book

Universit:y Benefits

Goner.a.l

University benefits hinge on whether the faculty wembar: L:; half time o r t11ore '", whic:h is defined precisely llB 50:! or more.

Rociremcnt: Contribution

1'he Law School will ca.ake contributions to reciramenc funds for Prof l!!l!lori.al Lect:urer!l to the extent possible gi vcn the University's

formula for completion af con ribut:ions co retirement funds. 'Ille o ersr:ion of · the fornru.la can va.cy by i.ndividu.al, but: Lt: ls highly likaly th.at: L.av School

f culty serving au Profe.:lscri.al Lecturers \./ill have completed concribucion.s co recirement fund.:l prior t:o serving a.s Professorial Laccurer.s. For faculty \./ho bad fift:een years of service at: '!ale prior to July l, 1993. ,com:ribut:ions co

ret:irl!mont account:.'.! at: t:ha regular annual forll!UlD. will nee cease before age 70.

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Medic.a.I Benefits

Yale faculty with 30 years of service are eligible for post retirement medic.al coverage comparable to that provided full time facul cy. Fa cul t:y w t:h less t:han 30 years of service receive a pro r.ata benefit based on years of service. The coverage, while comparable, is different as it is designed o take advantage of Medicare benefits. Faculty who are classified 11s 50: or OLra eligible for t.:ha regular facult:y healthmore

cover.age.

Under current policy if a faculty member is classified as SOZ or more, he or she is not eligible for retirement: health overage even 1£ he or .she meet:s t:he age .-....""ld term of service requirement:.s beca e Hectic.are reguL:u:ions stipula.r:e t:hat: anyone who is em::it:led to regular heial.th benafit:s from their employer muse receive ttul.t: benefit ra her than Medicare so ret:1red facul r:y list:.ed .s SOI or more would be covered uiider the regular f.acul cy medical plan.

Dtmt:al Insurance

There is no University contribution to the Deneal Plan, buc still the plan is vailabla only to faculty who ara half time or more.

Lcing-t:e=ni Dis.ability

Faculty classified as 50% or more are eligible for cover.age LU'lder the Universit:-y' long-ta.rm disability program. The benefits of th.at: program t:ermirutt:e at age 70.

Flexible Benefits .

The University requires that: a faculty member be

employed SOI or more to par=icipate in tha flexible benefits program.

GJ::-oup Life Insurance

Facult:y members !11.!l.Y par icipaco in the group life insurance pl.an if employed half time or more. If employed less than half time, the group life in.suram:e can be convert:ed to a. whoLe life policy.

B nefits Dollars

Faculty worldng half time or more receive $27 per monch which can bia applied t:o faculty pa.id benefits or acc8pted a.!l tax.able income.

Scholarship Pl.an for Sons and Daughters

The benefit is available to all racired fBculty who meet che length of service requirement: six continuous years prior to receiving the benefit or four continuous years prior and eigh years of total .service.

1·

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£.ii.rly rel:iremem:

F'or faculty who retire &!: age. 62 or over with at: least 15 years of service anrl before the •normal retirement age of 10• will bo eligible to receive from the University a cash benefit- The benefit equals 60X of t:.he participant's three year final average salary plus 2% for aach year of service

with che University over 15, or, if less, the &mount: t:h.a.t: would be __raquirad to purchase an ·annuity that: would bridge the difference b.et:vieen the annui.t:y which could be purch.aned wi.t:h t:he participant:' s Y.ala ratiram.ent: account: balance .11.t: t:.he date .of early retirement: and the annuity which could be purchased with t:.hat: account: bs..1.anco projected (at: 4%:) co "norm.al ret:iremant: age.-.. For the purpose of t:b.e foregoing, a.moum:s in the account: balance in sxcess of six times salary will bE1 excluded for the calculations.