gerard e lynch financial disclosure report for 2009

8/3/2019 Gerard E Lynch Financial Disclosure Report for 2009

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ao to FINANCIAL DISCLOSURE REPO RT R e p o r t R e q u i r ed b y t h e E t h i c sin Govermnent Act of 1978

~ e ~ , . m o ~ o FOR CALENDAR YEAR 2009 1 5 u . s .c , a p p . ~ . ~ lOl-lll)

t . ’~Person R .eporl lng ( las! name. firsk middle inifia}) 2. Court or Organiza t ion 3. Date of Repol ’I

Lynch, Gerard E. U.S. Court of Appeals, Second Circuit 05tl 5/2010

4. Title (Article 111 judges indicate active or senior status; 5a . R eport T ype (chec k a pprop riate type) 6. R e por ting P er io dmagi.~tmte judges indicate full- or part-t ime)

[] Nomination. Date 0t/0112009

U.S. Circuit Judge- Active [] Initial ~[~ A ..... I [] Final to

12/3112009

5b. [] Amended Re~rt

~7. Chambers or Off ice Addr~e~ ,~ 8. O n t he b a s i s o f t he i n f o rm a t i on c on t a i ne d i n t h i s R e por ! a nd a n ym od i f i c a t i ons pe r t a i n i ng t he r e to , i t i s , i n m y op i n i on , I n c om p l i a nc e

500 Pearl Stree t with appl icab le laws and regulat ions .

New Yo rk, NY 10007

R e v i e w i ng O f f i c e r Date

IMPORTA NT NO TES: The instructions accornpanying this form must be followed. Cotnplete all parts,checking the NONE box for each part where you have no reportable iaformation. Sign on last page.

I. P O S I T I O N S . ¢ ~ , v o , , ~ , ~ ~ . a ~ . i a , , . t o , , ~ y ; s e e ~ , ~ , . 9 - ~

[~] N O N E (No reportable positions.)

P O SIT IO N NA M E O F O R GA NIZA T IO N/ENT IT Y

I. Professor of Law Columbia Universily

"

)>

I I . A G R E E M E N T S . (RepoSing individual only; see pp. 14.t6 4fili,,g in.tt.tctlons.)

NO~ (No reportable agreements.)

DATE PARTIES AND TERMS

1,



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

P a g e F I N A N C I A L 2 o f 9 D I S C L O S U R E R E P O R T L y n c h , G e r a r d E . 0 5 / 1 5 / 2 0 1 0

I lL N O N - IN V E S T M E N T I N C O M E . ( ~ ep o ~ ,0 g individual and spouse; see pp. 17-24 of filing inxtrt, ctions.)

A. Flier’s Non-Investment Income

NONE (No reportable non-investment income.)

D A T E S O U R C E A N D T Y P E ~(your,~. not spouse’s)

1 . 1 / 1 ! 0 9 Columbia University $24,520.00

2,

3,

4 .

B . Spouse’s Non-Investment I n co m e - i f you w~re married during any portion of the reporting year, com plete this section,

( D o f f t , " ~ m ~ o ~ m t t r o t r ~ q u i r e d e x c e p t f o r h o n o r a ~ a . )

~ NONE (No reportable non-investment income.)

D A _ A _ T ~ S O U R C E A N D T Y P E

I . 1 / 1 f 0 9 Flushing Hospital

2. I/tt09 Privale Practice of Psychotherapy

3.

4 .

I V . R E I M B U R S E M E N T S . - ,, ,, , ~ p o ,~ i o ,. t o d a ~ , Z o o d . ~ . , . ~ , ...... ,.( I m ’ h t i ~ , e s t h t~ s e ~ o . W o u s e a , d d e p e n d e n t c h i l d r e , , n e e p p . 2 5 - 2 7 o f f ! li ~ g i n s t r u c t io n s . )

----] NONE (No reportable reimbursements.)

~ _ Q U R C E DATES LOCATION PURPQ~E ITEMS PAID OR pRQVIDED

1 . University tff California - January 7 - 11 Santa Monica, CA Law and Neuroscience Tranportation. lodging, mealsSanta B arbara Conference

2. Duke Utfiversity ~ebruary 5 - 6 Raleigh-Durham. N C A c ad em ic Co nf er en ce T ra ns po rta ti on , lo dg in g, m ea ls

3. University of California - September 21 - 27 Chicago~ IL I,aw and Neuroscicnce Transportation. lodging, mealsSanta Barbara Conference

4 . Yale University Oc[ober 6 New Haven, C’F Teaching Class Transporlation

5.



FINANCIAL DISCLOSURE REPORT N~ of Perso. Reporting

Iage 3 of 9 Lynch, Gerard E. 0 5 1 1 5 1 2 0 1 0

V . G I F T S . a , c ~ , d e , , ,o , , , o ~ o , , ~ ~ , ,d ~ , , ,~ , , ,~ children; see p p . 2 8 . 3 1 of filing instructions.)

N O N E (No repor table g~ts .)

DESCRI~ION

1.

2 .

3 .

4.

5.

V I . L I A B I L I T I E S . a , , c t , , d ~ , a , , s ~ o y s p . . . . .. . d dependent children; see pp. 32.33 of filing instruc,ions.)

N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

1,

2.

3 .

4.

5.



FINANCIAL DISCLOSURE REPORT r ~ . ., 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

P age 4 o f 9 Lynch, Gerard E . 05f15/2010

V I I . I N V E S T M E N T S a n d T R U S T S .. i ....... ~ , , , , tratlsactiot $ (Includes those of ~p ......... d dependen t children; see pp . ~4.511 of filit,g instruction~

N O N E (No reportable income, assets, or transactions.)

A. B. C. D.

D e s c r i p t i o n o f A ~ 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 ~ c t i o n s d u r i n g r e p ~ r l i n 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 or t i n g p e r i o d o f re p or t i n g p er i o d

(I) (2 ) (D (2) (I) (2) 13) (4 ) ( 5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . . Value V a lu e T y p e ( e . g . , D a t e Value G a i n I d e l u i l y o f

e x e m p t f r om p r i o r d i s c l o su r e C o d e 1 d i ~ , ’ . , r e a l , C o d e 2 M e th o d b u y , s e l l , ! m m / d d /y y C o d e 2 C o d e I b n y c d s e l l e r( A - H ) o r i n t . ) ( J - P ) Code3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n l

I. Citibank Accounts A I n t e r e s t L T

2. Merrill Lynch Money Market /3 Dividend L T

3.Ameriprise Money Market

A I n t e r e s t K T B uy I N31/09 J(add’l )

4. New York NY FSA-CR None Redeemed 01/02/09 K

5. Btackrock N¥ Muni Inc. Tr. A Dividend J T

6. Gabelli Utility Trust PFD A Dividend J T

7. ING Savings Accouill A I n t e r e s t

8, Nicholas Applegate Con. Ed. A Dividend J T

q. ING Clarion Global Equity Fund A Dividend J T

10 . PIMCO NY Muui Fuc. Fd. A Divideud J T

11 . Blackrock Global Allocation B A Dividend J T

12 . Triborough BT A B o n d s None L T

13 . All iance Beruste in Gr.tlnc. Fund A& B A Dividend J T

14 . Ealon Vnr~ce Enhanced Equity Fd. A Dividend J T

1 5 . Eaton Vance T ax Managed Global Fund A Dividend J T

16 . Nuveen Municipal ValueA Dividend K T

17 . Oppenheimer Main St. A A Dividend K T



FINANCIAL DISCLOSURE REPORT N .... 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

of 9 Lynch, Gerard E .

V II. INVESTMENTS and T RUSTS --; ......... t,,,,, ...... ,io,.~ (Inchtdes Ihose of sp ........ 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 i l in g i n s t r u c t i o n s .

N O N E (No reportable income, assets, or transactions.)

c,~ s c f i p ~ i o n o f A s s e ls I n c o m e d u r i n g G n ~ x ~ v a l u e a t e n d Transactions during re~ing ~riod

( i n c l u d i n g t ~ u ~ a s s e ts } re~ing pef i~ o f ~ - ~ ) ~ l in g ~ r io d

( 1 ) ( 2 ) ~h ~2 } (I) (2) (3) (4) (5 )P l ~ e " ( X ) " a f te r e a c h a s ~ t A m o u n t T y p e ( e . g .. Value V a lu e Ty~ (e ~, D a t e Value G a i n l d c n t i ~ y o f

e x e m p t f a r m p r i o r d i ~ l o s u re C o d e I O i v . , r e n t , C o d e 2 Mm~ b u y . s e l l , m m l d d t y y C o d e 2 C~ e t b u y e r / s e l l e r’ (A-H) o r i n t . ) O - P ) Code3 r e d e m p 6 o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

18 . PIMCO Floating Rate Strategy FD A Dividend J T

19 . Growth Fund Amer. Inc. A Divid end So ld 07/01/09 .1

2 0 . Putnam Inl’l, Gr. Fund A Dividend J T

2 1 . Alpine’Fotal Dynamic Div. Fd. B Dividend 3 T

2 2. AIM Tax Free Int. Shares A Dividend 3 T

23. Eaton V ance Float ing RaIe Inc. Tr. A Dividend J T

2 4 . Rochester Muni Fd. CI A C Dividend J T

2 5 . Templeton Dev. Mkt. Tn~st A A Dividend J T

2 6 . Yonkers NY lndl. Dev. Agency None Redeemed 01/02/09 K

2 7 . Rydex Set "ft’. Juno Fd. None J T

2 8 . NYS Trans. Fin, B Interest K T

2 9 , Franklin Utililies A Dividend J T

3 0 . StmAmerica New Century Fd. A None J T

31, TIAA-CREF None O T

32 . Franklin Income |:d. C A D i v i d e nd J T

3 3 . ING Risk Managed Nal. Res. Fd. A Dividend J T

3 4 . Nuveen Global Fd. B Dividend J T



FINANCIAL DISCLOSURE REPORT N ~ m e o f P e r s o n R e p o r t i n g D a t e n f R e p o r t

of 9 Lynch, Gerard E. 0 5 ! 1 5 t 2 0 1 0

~ N O N E (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p l i o n o f A s ~ 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 ti o r ~ s d u r i n g r e p o r l in ~ p e r i n d

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

(I) (2 ) (I) (2 ) (I) (2 ) (3 ) (4"1 (5"1P l n c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g ., Value V a lu e T y p e ( e . g .. D a t e Value Gain I d e n t i t y o f

e x e m p t f ro m p r i o r d i s c l o s u re C o d e I d i v . , r e n t . C o d e 2 M e th o d b u y , s e l l . m m t d d / y y C o d e 2 C o d e I b u y e r l ~ e l l e r( 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 ) ( i f p r i v a t e

(Q -W ) t~,msachon )

3 5 . NYC Bonds A I n t e r e s t J T

3 6 . Port Authority Bonds A I n t e r e s t J T

3 7 . NYS Dorm Auth. Bonds B I n t e r e s t L T

3 8 . Hartford Corp. Apprec. Fd. A Dividend J T

3 9 . . Fidelity Adv. Div. lnt’l. A Dividend J T

4 0 . MetruTrans. Auth. NY B I n t e r e s t L T

4 1 . Lord A hbett NY TIF B Interest K T

4 2 . PIIdCO Long-term U.S, GOVT. A I n t e r e s t J T

4 3 . Putnam Amer-govt. Income FD A I n t e r e s t J T

4 4 . Seligman NY Muni FD A I n t e r e s t K T

4 5. JPMorgan Chase CD A Interest Redeemed 05128109 J

4 6 . Fidelity Adv. Govt. Income FD A I n t e r e s t J T

,47. l:ranklin U,S. Govt. Scl. FD A Dividend K "["

4 8 . I.ord Abbett Short Duration Income FD A D i v i d e t ~ d J T

4 9 . :\met, Exp. Cent Bk CT A l~terest K T

50. Hartford US Gov t, Sel. FDA

Dividend J T

5I. Rental Properly, New York, NY (2002, C Rent N R$ 2 7 2 , 5 0 0 )



FINANCIAL DISCLOSURE REPORT N ~ . ~ e o f e e . o . ~ e p o r ~ i ~ D . te o t R e 0 o r t

of 9 Lynch, Gerard E. 0 5 1 1 5 f 2 0 1 0

VII. INVESTMENTS and TRUSTS -- i, ....... ~,,e, t ........ion.~ (Includes those of sp ......... d dependet~t childreu¢ xee pp. 34-60 of filing instructions.)

[~ N O N E (No reportable income, assets, or transactions.)

A. " B. ..... C. D.

D e s~p l io n o f As~ l s:

Income d uri llg Gross value at end Transacl ions dudne repos ing ~r iod( nc ud ng trust assets) re~ing ~fiod of r e~) r~ing l~r iod

~ ~) (2) (~) (2) (I) (2) (3) (a) (5 )Place " (X)" af ter e~ch asset ~ Amou~t Type (e .g. , V al ue Value Type (e .g. , Date Value Gain I~nl i~y of

ezrmp~ f rom p r ior d isc losu~ ~ C~e I div. , ~nt . C<~2 M e ~ h~ buy, ~lt, m m / d d / yy Code 2 C~e [ buyer/seller] ( A - H) or ira .) ( l-P ) C~e 3 r edempt ion) , (l-P) ( A-H ) ( if private

..................... . . ~ Q - W ) ~ trans~’t inn }

52 . Advisers Discipl in~ Trust Uni t 226 B Divide~ K T

5 3. SPDR Ser ies Trust A Dividend ~ T Bu y 07/01/09 J

5 4, Nas~u County Bonds A Interest K T Bu y f~/29B)9 K



FINANCIAL DIS CLOSURE R EP ORT ] N a m e o f P e r s o n R e p o r t in g ID a l e o f R e p o r t

o f 9I Lynch, Gerard E.

[

0 5 / 1 5 1 2 0 1 0

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. a,,dicot,~’o.~Re¢o,~.~



N a m 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 tFINANCIALDISCLOSURE REPORT[ Lynch, Gerard E.age 9 of 9

IX , CERTIFICATION.

I cert i fy that al l information given above (including information pertaining to my spouse and minor or dependent children, i f any) isaccurate, true, and com plete to the best of my knowledge and belief, and lhat any information not reported was withheld because it met applicable stalutoryprovis ions permit l ing non-disclosure.

! further cert i fy that earned income from ouis ide employment and honoraria and the acceptance of gifts wlfich have been reported are incomp liance with the provis ions of 5 U.S.C. app. § 501 el . seq., 5 U.S.C. § 7353, and Jud ic ial Conference reg ulal ion.s .

NOTE: ANY INDIVIDUAL WH O KNOWINGLY AND W1LFULLY FALSIFIES OR FAILS ’ ] ’O FILE Ti l ls REPORT M AY B E SUBJECT TO CIV I l ,AND CR IMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INST RUCT IONS

Mail signed original and 3 additional copies to:

Commiltee on Financial Disclosure

Adminisiralive Office of the United Stales Courts

Suite 2-301One Colum bus Ci r c le , N~E.Washington, D.C. 20544

gerard e lynch financial disclosure report for 2009

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