debra a livingston financial disclosure report for 2010

8/3/2019 Debra A Livingston Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

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

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r st , m i d d l e i n i t i a l)

Livingston, Debra A.

4 . Ti t l e ( A r t i c l e ! I I j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;

magistrate judges indicate full- or part-time)

United States Circuit Judge. Active status.

7 . C h a m b e r s o r O f f ic e A d d r e s s

United States Courthouse500 Pearl StreetNew York, New York 10007

2. Court or Organization

U.S. Court of App eals for the Second Circui t

5a. Report Type(check appropr ia tetype)

] Nomination, D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a in e d i n t h i s R e p o r t a n d a n ymodificationspertaining the reto, i t is,in my opinion, inc o m p l i a n c ewitha p p l i c a b l e l a w s a n dregulations.

3. Date of Report

5/8/2011

6. R eporting Period

01/01/2010to

12/31/2010

Reviewing Officer Date

IM P O R T A N T N O T E S :The instructions accompanying this form must be foliowea~ Complete all parts,checking the NON E box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S .t R , p o n i n gindividual only; seepp. 9 -13 of fi l ing instructions.)~ N O N E (N oreportable p ositions.)POSITION

I. Paul J. Kellner Professor of Law

NAME OF O RGANIZATION/ENTITY

Columbia Law School

3.

4.

5.

I I . A G R E E M E N T S .~ R e p o n i n gindividual only; see pp. 1 4-16 of fi l ing instructions.)

[~ N O N E(No reportable agreements.)

DATE PARTIES AND TERMS

1.2/1999 Wolters-Kluwer Law & BusinesslAspen Publishers. Royalty paym ents on sales of co-authored case boComprehensive Criminal Procedure

2.2007 See Part VIII. Additional Information.


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D a t e o f R e p o r t

5/812011

III. 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 gindividual andspou se; seepp. 17-24 of fi l ing instructions.)

A. Filer s Non-lnvestmen t Incom e

D (No reportable non-investment income.)ONE

DATE SOURCE AND TYPE

1.3.29.10 Wolters-Kluwer Law & Business[Aspen Publishers (royalties)

2. 10.3.10 "

3. Bi-weekly Colum bia Law School (total2010 W-2 salary)

4.

INCOME(yours, not spouses)

$7,996.26

$581.00

$24,6 ! 3.92

B . Spouses Non-Inves tment Income- If you were m arried during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E (N oreportable non-investment income.)

DAT E SO UR CE AND TYPE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S-transportation, lodging, foo d, e n t e r t a i n m e n t .(Includes those to spouse and dependent children; see pp. 25-27 offiling instructions.)

[~] N O N E (N oreportable reimbursements.)

SOURCE DATES LOCATION PURPOSE

1 . G eo rg e Wa sh in gto n 1.27-1.29.2010 Washington, D .C. Moot Court JudgeUniversity

2. Harvard University 4 .8-4 .10.2010 Cambridge, MA Board of Visitors "

3. Harvard University 3 .26 -3 .27.2010 Cam bridge, MA Symp osium in Honor of "Professor William Stuntz

4.

5.

ITEMS PAID OR PROVIDED

travel, lodging, m eals


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V. G [ F T S .a n d , d e ,,hose ,ospouse und dependent children; see pp. 28-31of filing instrucffons.)

N O N E (N oreportable gifts.)

SOURCE

1.

2.

3.

4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S .a n c l u d e st h o s e o l s p o u s eund dependent children;see pp. 32-33 of filing instructions)

~ N O N E (N oreportab le liabilities.)

CREDITOR DESCRIPTION

1. T he Sc hool at C olu m bia University A greem ent to pay grad e sc hool tu ition

2.

3.

4.

5.

VALUE CODE

J


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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 t u e ,transactions (Includes those of spouse and dep endent children; see pp.34-60 of filinginstructions.)

D N O N E (N oreportable income, a ssets, or transactions.)

A. B. C.D e s c r i p t i o n o f A s s e t s Income du ring G r o s s v a lu e a t e n d

( i n c l u d i n g t r u s t a s s e t s ) re po rt in g p erio d o f re po rtin g p er io d

(I) (2) (1) (2)P la c e " (X )" a f te r e a c h a s s e t A m o u n tT y p e ( e . g ., Value Value

e x e m p t f ~ o m p r i o r d i s c lo s u r e Code I d iv. , r en t , C o d e 2 M e th o d( A - H ) or in t . ) ( J - P ) C o d e 3

( Q - W )

1 . C it ib an k , N Y, N Y C he ck in g an d S av in g sA Interest L T

2. CREF Stock Fund None K T

3. Fidelity Contrafund A Dividend L T

4. Fidelity Convertible Security B Dividend K T

5. Fidelity Growth Co A Dividend K T

6. Fidelity Equity Income II A Dividend J T

7. Fidelity Magellan A Dividend K T

8. NYS D orm Au thority A lnt./Div.

9. TIAA Real Estate B Dividend L T

1 0 . TIAA Traditional Annuity B Interest K T

1 1 . U.S. Savings Bonds None J T

1 2 . Vanguard 078 Asset Allocation A Dividend K T

1 3 . Vanguard 081 International Growth B Dividend M T

1 4 . Vanguard 122 Life Growth Portfolio B Dividend L T

1 5 . Vanguard 163 NY Tax Exempt A Interest K T

1 6 . Vanguard 526 Morgan Growth Admiral B Dividend M T

1 7 . Vanguard 548 Smal l Cap Adm ira l B Dividend M T

Transactions during reportingperiod

(l ) (2) (3)Type (e.g., D a t e Valuebuy, sell, m m /d d/y y C od e 2

redemption) (J-P)

Sold 03/26/10 J

Bu y 12/23/10 J(addl)

(4 ) (5)Gain Identity of

C o d e 1 buyer/seller

(A-H) (if privatetransaction)

I. Income Gain Codes;

(See Columns B I and I)4)2. Value Codes

(See Columns CI and D3)

3. Value Method Codes(See Column C2)

F =$50,001 ~ $100,00~ G = $100,001 - $ 1,000,000 H I =$1,000,001 - $5,000,000 H2 =M ore than $5,000,1)00

J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $ 100,000 M =$ 100,001 - $250,000

N = $250,00 ] - $500,000 O =$500,001 - $1,000,000 P I =$1,000,00l - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000.000 P4 =More than $50,000,000Q =Appraisal R = Cost (Real Estate Only) S =Assessment T =C ash Market

U =Book Value V =Other W =Estimated

E =$15,001 - $50,000


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V I I . I N V E S T M E N T S a n d T R U S T S - in c o ~ ,e ,v o t u e ,transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

D NONE (N oreportable incom e, a ssets , or t ransactions.)A. B. C.

Description of Assets Incom e during Gross value aten d(including trust assets) reporting period of reporting period

(1) (2) (1) (2)

Place "(X)" after each asset Amount Type (e.g., Value Valueexempt from prior disclosure Code 1 div., rent, Code 2 Method

( A - H ) or in t . ) ( J - P ) C o d e 3

(Q-W)

(i)Type (e.g.,

buy, se l l,

r e d e m p t i o n )

Transactions during reporting period

(2) (3) (4)

D a te V a lu e G a in

m m/dd/yy Code 2 Code 1(J-P) (A-H)

(5)Idemity of

buyer/seller( i f p r iva te

t r a n s a c t i o n )

18 . Vangu ard 593 Grow th & Income AdmiralB Dividend M T Bu y(addl)

! 9 . Bu y(addl)

2 0 . Vanguard College Mod Age-Based M od None Sold

Grw th (NY 529 plan)2 1 . Vang uarad College Mod Age-Based None L T Bu y

Conservative

2 2 . Vangu ard Hi-Yield Corporate B Dividend K T

2 3 . Vangu ard Index 500 B Dividend M T

2 4 . Va n g u a r d I n f l a t i o n - P r o t e c t e d S e c u r i t i e sA Dividend K T

2 5 . Van guard REIT Index Fund B Dividend K T

2 6 . Vangu ard W ellington Fund C Dividend M T

2 7 . W estern Asse t Government Money M arketA I n t e r e s t Sold

2 8 . W e s te r n A s s e t M o n e y M a r k et A I n t e r e s t Sold

0 6 / 2 8 / 1 0 J

1 2 / 2 8 / 1 0 J

1 2 / 0 6 / 1 0 L

1 2 / 0 6 / 1 0 L

03/24/10 J

03/24/10 K

(See Columns BI and D4) F =$50,001 - $100,000 G = $I 00 ,0 01 - $ 1,00 0,0 ~0 H I = $1 ,00 0,0 01 - $ 5,00 0,0 00H2 = More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L = $50,001 - $ 100,000 M = $ 100,001 - $250,0(10(se Columns CI and D3) N =$250,001 - $500,000 O = $500,001 - $I,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R ~ Cost (Real Estate Only) S =Assessment T =C ash Market

(See Column C2) U =Book Value V =Other W =Eslimated

E =$15,001 - $50,000


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V I II . A D D IT I O N A L IN F O R M AT I O N O R E X P L A N A T I O N S .(lndicate part of report.)

Part II. Agreements.

-I remain a m ember of the faculty at Colum bia Law School, teaching a reduced schedule consistent with my primary obligation to the jucompensation that is consistent with the outside earned income limitations applicable to judges. I have an agreement with the University thfaculty m ember(and subject to all outside earned incom e and em ploym ent provisions of 5U.S.C. 501-505 andJudicial Conference regulations thereunder), I eligible for the Primary Tuition Scholarship (PTS), which covers 50% of the tuiti~ as well as the college Tuition Exemption Program

~ Columbia University) or the College Tuition ScholarshiP]l[~l~l~ another college). As a faculty member ! also remaineligible to live in Columbia University-owned housing~

-I continue to have retirement ac counts m aintained through C olumbia U niversity, the individual holdings of w hich are l isted u nder Part VITrusts.

-As a result of m y form er emp loyment w ith the University of M ichgan Law Sc hool, I continue to have a retirement account m aintained thMichigan, the holdings of which are l isted under Part V II. Investments and Trusts. Contributions are of course no longer mad e to those ret

Part VII. Investments and Tru sts.-Dividend or other incom e for CR EF stock and Vanguard 529 college savings is not reported on statem ents. All earnings in all the funds reinvested in the respective funds.


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Name of Person Rep orting

Livingston, Debra A .

Date of Report

5/8/2011

IX. CERTIFICATION.

I cer t i fy that a ll informat ion given above ( including informat ion per ta ining to m y spou se and m inor or dependent chi ldren, i f any)accurate , true , and com plete to the bes t of my knowledge and bel ief , and that any informat ion not reported was w i thheld because i t meprovisions permitting non-disclosure.

! fu r ther ce r ti fy tha t ea rned income f rom ou ts ide em ploym ent and honorar ia and the accep tance of g i f t s which have been repor ted a re incom pliance w ith the provisions of 5 U.S.C. app. 501 et . seq, 5 U.S.C. 7353, and Jud icial Conference regulat ions.

Signatu re: S/Debra A. Livingsto n

NOTE: ANY INDIVIDUAL WHO K NOW INGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBAND C RIMINAL SAN CTIONS (5 U.S.C. app. 104)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

debra a livingston financial disclosure report for 2010

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