Skip to content

Judicial Watch • Guido Calabresi Financial Disclosure Report for 2009

Guido Calabresi Financial Disclosure Report for 2009

Guido Calabresi Financial Disclosure Report for 2009

Page 1: Guido Calabresi Financial Disclosure Report for 2009

Category:Financial Disclosure

Number of Pages:14

Date Created:November 8, 2013

Date Uploaded to the Library:November 13, 2013

Tags:Guido, Guido Calabresi, faculty, Lecture, ACLU, Merrill, Lynch, america, travel, lodging, school, university, trust, 2009, dividend, IRS, Financial Disclosure, ICE, CIA, income, Judge


File Scanned for Malware

Donate now to keep these documents public!

  • demand_answers

See Generated Text   ˅

Autogenerated text from PDF

Re~,ort Required the Ethics Government Act 1978 
Re~: ~/~Om 
FOR CALEND~ YEAR 2009 u.S.C, app. ,~ tO.~ Person Reporting 0ast name, first, middle [nillal) Court Organization 2., Date Report 
Calabresi~ Guido U.S. Court Appeals, 2nd Cir 07/I 5/2010 Title (Arliclc 111 judges indicate active senior status; 5a. Report Type (check appropriate type) Reporting Period 
magistrate judges indic;a~: full- part-time) Norninatior~, 

[)ale 01/01/2009 Appeals Judge, Senior Status I--] h~ifial Annual Final 
12/31/2009 
5b. Amended Report Chanlbers Office Address the basis the information contained this Report and any 
modifications perrainlog thereto, opinion compliange 
with applicable law~ and regulations.

U.S. Court Appeals~ 2nd Cir 
157 Church Street 
New Haveu 06510-2030 

Revi~e~ving Officer ................ 	Date .................... 

L~VIPORTANT NOTES: The instructionx accompanying thL~Jbrm must follo~ved. Complete allparts, eheckit~g, lhe NONE box for ettch part where you have reportable it~formation, Sign last page. POSITIONS. ~n,,~,o~,i,~ individual ot, ly; se~pp. 9-13 filing instroctions.) 	NONE (No reportable positions.) P()SITION NAME ORGANIZATION!ENTITY Sterling Prul~:ssor Emeritus: Prnfessorial Lcclurer 	Yale Law School I!01!1995 present 
Honorary "ltttstee Unpaid 	Carolyn Foundation. MN, 01/01/1996 present 
Member, Scientific Commiaee Unpaid 	Centro Nazionalc Prevenzione fesa Sociale, 1988 present 
Member (Past President), Board Trustees Unpaid 	Chape! St. Thontas More, Yale Universily~ 1997 present 
Member -Unpaid 	tnten~ational hfiversi~v College, Turin Boar,2007 Pr~t AGREEMENTS. t~,,~o,.,i,,g indiuidual ,,n( : see pp. 14-16 o.[~Hing ..........ions.) -...,~ ~...~ NONE (No reportable agreement.s.) 
DATE PARTIES TERMS Presem 	Right Prnt~ssorial l,ecturer, Yale Universib, upon retiremen~ (Sce Attachment Present 	Right use ccumulated (approximately 1.500) research and travel fired, Yale University, even after retirement .... Per$on Reporting 	Date Report
I11. NON-INVESTMENT INCOME. (R,po,,i, gi.aivia.,~ ,,,,~,oo,.~; s~,~ pp. 17-24 offiling ....... tions.) Filers Non-Investment Income NONE (No reportable non-investment income.) 
DATE SOURCE AND TYPE INCOME (yours, not spouses~
 2009 Yale University part-time teaching 	$89.782.37
 2009 Yale University Press royalties for previo~sly wrdlcn book $50,?,.90 2009 W.W. Norton Co. royalties for previously writter= book $336.14
 2009 	Authors Registry Copyright paymcnk,; ~br previously written books, etc $120,97
 2009 	Harvard University Press royalties for prevmusl} written book $153,3 Spouses n-Investment Income -tt.~,o, were married during any portiot~ th~ repornng year, ~omphte this section. 
(Dollar amount not required exceplJbr homw~ri,.) NONE (No reportable non-investment income.) 

DATE SOUR(.:E AND TYPE 

IV. REIMBURSEMENTS --,.,,,,~o.,,,~,,., ~,,d~i,,g.~,o,~. tntcrtai ......... 

(Tnchules tho.~e .vp, mse and ~h~pemlcnt chil~bvn see I. 25-27 oldling in.~lructitms NONE (No reportable reimbursements.) 
D~TES LOCATION PURPOSE ITEMS PAID PROVIDED~ 	Yale University Law Scht~fl 12/10/08 New Haven. Lecture Travel 	
U~iversity kfinnesota Law 2/9/09 2/10/09 Minneapohs, Lecture Travel, Food, Lodging 
School 	
Yale University Law School 2/Ig09 2,.1=)[0~) Washington, D.C Academic Meeting Travel~ Food 	
New Yt, University Law 2/17/09 New Ynrk. Lecture Travel 
Schnol 

FINANCIAL DISCLOSUI~E REPORT Cariplo Foundation  3122/09 3/23/09  Milan, l~aly  Lecture  Travel, Food, Lodging Ha~ard Law SehooI  4/5~"0~  Cambridge,  [.ecture  Travel Rutgers (Camden) t,aw  419/09  Camden,  Lecture  Travel. Food  
School Yale University Law School  4/29/O9  New Haven.  Class Pa~y  Food University Chicago [.aw  4/30/09 5.!1109  Chicago, I1..  Moot Coua  Travel, Food, Lodging  
School  
t0. Cariplo Foundation  5/I 1/09  Mila~a, Italy  Academic Meeting  Travel Aspen Instilute  5/I D09 5/12109  Rome, Italy  Lecture  Travel, Food, Lodging  
12. lmemalional University  5.q3..09 5.:l~1/09  Turin. Italy  Lecture  Travel. Food. Lodging  
College  
13. American Association I.i~w  6/I 6109 6il 7,09  Washington. D.C.  Lecture  Travel. Food  
Schools  
14. Canadian lnsri~te Adwmccd Legal Studies  7/11/09 7/15!09  Cambridge. England  Lecture  Travel, Food, Lodging  
15. Yale University Law School  7/23/09  Washington, D.C  Lecture  Travel, Food  
16. Carolyn Foundation  8/20.q)9 8/23,0~  Clmska,  Trusme Retreat  Travel. Food, l..odgmg  
17. Conoecticut Bar Association 15.~09  }larlford,  Lecture  Travel, Food  
18. University PiacenTa  9127/}9  Iiaccnza, linty  Lecture  Travel  
19. Yale University Law School  10/I I.,"~)~}  Wt~odbriage,  Class Pa~y  Food  
20. Yale University l,aw School  10127,"09  New York,  Academic Meeting  Travel  
21. Cariplo FotllldiRioll I/6/09 I/7/09  Nliiar~, Italy  Lecture  Travel, ~ood, Lodging  
22, Federalist Society 1tl 3/09 [."14/09  Washington. D.C.  Lecture  Travel. Food dependent children: see pp. 28-31 filing ........ "tions.) NONE (No reportable g~fts.) SOURCE DESCRIPTION  VALUE  NONE (No reportable liabilities.~ CREDITOR  I)ESCRIPTI()N  VALUE CODE  

Name Person Reporting Date Report 
C,~ab~esl, Guido 07/15/2010 
VII. INVESTMENTS and TRUSTS-i ....... ,,~,~., .......... ~,,n~ (,,c~,,~.,~,o~ ......... dependent children; see pp. 34-60 filing instr#ctiott$.) 

NONE (A~ reportable income, assets, transactions.)  
Descr~p6on Asscls 0ncluding trust assets) Place "~X)" after each asse~ exempt from prior disclosure  Income during reporling peri~ Amount] Type (e,g. C~e div.. rcm, (A-H) int.) Gross value end r~oaing period Value Value Code Method (J-P) Code  Type (e.g., buy, sell, redemption)  Transactions during r~o~ng period Date Value Gai~ ~mm/df~yy Code Code (J-P) (A-H~  Idenlib buyer/~ller (ifpdvalc  *Mass Muamt (whole life) lnsnrance  Dividend  New York Life (whole life) lnsurauce  Dividend  AIG SunAmericat~ (whole life) Insurance  None  House and adjacenl h)l (Bethany, CT) lbr investment purposes Partial interest Co-op Apt (NYC, N"/) forinvestment  Rent None  Sold  8/31/09  Bank America, checking accounl  Interest  Bank America, IMMA Account  Interest  1  
8,.  lntesa San Iaolo, checking account  Intcres!  Merrill Lynch Bank Trust USA cash  Interest  
10. Shares 500 (mutual fired) (,t~,Merrill Lynch Shares "I" Mid-Cap M400 ()~tttual fund) Merrill l.ynch 12. American Growh Fund Mutual Fund (~~ Merrill Lynch 13. American Growth Fund Muttml Ftmd (ii,Merrill Lynch 14. Tnlst ill, income beneficial3,  Dividend Dividend Dividend Nune Div. Int.  Sold Buy 11/24/09 12/2~/09  
15. -I[:irst Anl. Tax Free Oblig Fund (cash equiv) 16. --First Am. Sin-Mid Cap Core -former .... "Jech (mutual limd) 17. --First Am. Short Tax Free (matual fund) .... ......Reporting Date Report 
VII. INVESTMENTS and TRUSTS ......... I.e. ,ransa,tiom (Includes those ..... dependent children; seepp. 34-60 o/f!ling instruction) 

NONE (No reportable income, assets, transactions.) .................................. ........ 
I)escrlplion Assct~ (inclndi~ t~st assets) Place "~X)" after each assel eXClllpt f~om prior disclosure  Income d~ritl~ r~o~ing period .... ~fi ~:~ Amount Type (e.g., Code die., rent, (A-H) int.)  G~ss ~luc end reporting period ......... ,,~ Vahlc V~l~c ~.lethodCode (J-P) Code Type (e.g., buy. sell, redemption)  T~nsactions during reposing period ~:~ -[~;) .....~ .... Date Valtt Gain [m~dd/)7 Cede Code (J-P~ (A-H) ....... ktentily buverJseller (if private ~ransact ion)  
18.  r-Genera Mills (common) 19.[ 20.  --American Funds: Investment Co. America (mntual fund) TixlSt V2. income beneficial  Div. lnt  
21. 22.  --First Am.Tax Free Oblig. Fund (cash equiv.) --Firs! Am. Short Tax Free (mutual fund)  
23.  --hnation Corp (common)  
24. 25.  --Amelican Ftmds:htvestment 1~o. America Ilnttttla] tued) --Minnesota Mining Mt~. (common)  
26.  --First Am. Small Cap Growth Fund ~mutual  
27. 28.  --First Am. Sin-Mid Cap Core Fd- foyer Tech (mutual Ikmd) Trust a3, income beneficial  None  See note Pa~ VII!  
29.  --1)atdet~ ]~,estanratlts  
30.  --Exxon (comwiou)  --(;cncral Mills (common)  
32.  --I P,M (common)  
33.  --JP Morgan (common)  
34.  --ATT Inc.(common) ]~c~.n~e Gin. C,),]e:. -$t.00e. te~ =51,00l $2,500 $2,50t $5,000 ~S5.001 S15,000 tS,O01 $50.000 
Nalne Person Reporting 	Date Report
FINANCIALDISCLOSURE REPORT Calabresi, Guido 
VII. INVESTMENTS and TRUSTS ..... v~lue, ........ tionS (Includes those ........ depe.dent children; seepp. 3~-60 oJfili,,g instruction.) NONE 0Vo reportable income, assets, transactions.) 
Description Assets ncome during Gross value end Transactions daring reposing period 
(including l~st assets) rc~orfing period reposing period 
Plncc"(X)" after cnch asscl :.:Xmount Type (e.g., Vahte Value Type (e.g., l)atc Value Gain Identity Code
exempt tYom prior disclosure div., rent. Code Method buy. sell 	buYer!seller 
~lm~d~vv" Code .Cde
LA-H) orint,) O-P) Cnde3 redemptmn) (J-P) (ifprivale (A-H) 
35. 	
--US Banco~ (common) 

36. 	
--American Funds:h~vestmcnt Co. 
America (mutual fund) 

37. 	
--Merrill Lynch Bank Trust USA cash 

38.
 --Thorium Ltd (com.) (merger was adkowski Thorium Power 

39. 	
--Am. Growth Fund (mutna! l~.tnd) 

40. 	
--Am. Euro Pacific Growth Fund (mutual 
ftmd) 

41. 	
Trust #4, income beneliciat3, None 1:1 See hole Pm~ Vlll 

42. 	
--Merrill Lynch Bank USA CMA Money 
Fund (cash equi;,.) 

43. 	
--I Shnres 5{10 (mt~ttml Ihnd) 

44. 	
"Frusl #5, income beneficiary None See note Pan VIII 

45. 	
--Bank America (comm,,m) 

46. 	
--lVlorgan Stanley Ern. Mkl {mutual ftlfl(l) 

47. 
--Bank olAmerica checking accottrtt -(.ash 
,IS. Guido (.,alabresi Rctirerrmnt, TIAA-CREF None See note Par~ VII( 

49. 	
Bank Arnerica (common) M~:rrill Dividend Sold 11/24/09 
Lynch 

50. 	
Bank otAmerica (common) IVlerrill None Buy 12/28/09 
Lynch Trust #6, income beneficiary Div. Int. 	See note Part VII1 
VH. INVESTMENTS and TRUSTS ......... ~.~. .......ti ...."l.clude~ those ....... dependent children; seepp. 34-60 o]~ling instructions.) NONE (No reportable income, assets, transactions.) ................................. ........................... ................... ~:. ........ 
Description Assets Income during Gross value end Transactions during reporting pc~od 
(including l~lst assets) reporting period repoSing pcrh~d 
Place "(X)"a~cr each asset 	Value Value ::: Type(e.g.. Date Value Gain ]denti~of
[~mount Type (e.g., 
...... from prior disclosure 	IC~e .......t. Code Method ;uy, sell, ~,nm/d~yy Code Code buverisefler (A-H) nt] 0-P) Code3 redemption) (J-P) [A-H) (ifprivate 
52. 	
--Grantham, Mayo, Van Otlerl~o (mutual t~nds) 

53. 	
American Funds:Investment Co. America Dividend (mutual fired) 

54. 	
Citigroup Inc. {c~mm~on) Me,ill l.ynch Dividend 1 Buy 04/02/09 

FINANCIALDISCLOSURE REPORT Page 07/15/2010 Cahlbresi, Guido 

VIII. ADDITIONAL INFORMATION EXPLANATIONS. a-~,~r~-ozn~o-~ 
Parl POSITIONS fine Asse~s ~t~ Carolyn Foundation are not listed because position Trustee "Honorary" only. have n~, functional responsibilities with regard the 
Foundation. 
Line Assets the Chapel nfSt. Thomxs Moore are not lismd because position member the Board Trustees the equivalent membe~ Board Directors. The Chapel religious institution and not trust the sense having designated beneficiaries. 
VII. INVESTMENTS AND TRUSTS have not mY+,, .~:~,~,~,~,,~/~l Connec cut and adjace .~and; apartmenl and caretakers aw~mnent., .~nd olive ~rove~ held l~r vacafion 
trms and not for investment the pmduc.tion income; fishing camp in~lheld for vacat pst not for nvest productmn ncome" ,, ~:~:~;~ Connecucut held pro~ect land dot for nvestment the rod ~come and additional and ~dcnuc th~aTd~jZ6~i t~)i~ boi~]~ placed conservation casement protec~ them pe~emity. did include land in~ near the above hen oned fishing camp, which  and purchased 2007 and which placed consc~ation e~ement protecl pe~9+tuity. 
Trusts #3, #4, m~d part V!I. and the retirement accoun~ described VII did not distribute any income ~:~;:;~,~;~1. Income
was earned and llOl distributed. 199. a~i ,?:: 3~,, ,?~ audl estabhshed (..hanu~ble Remainder intrust, The ~5~,~5;~ land are ~.~ .,~, income beneficmnes during our hves, ~s,
whic ~eve" ~ge" ~he trustee instatcted invest the honey only dely ~rsifie~l ~i~ut~al money narke l~nds See art VII Trust 

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) isaccurate, true, and complete the best knowledge and belier; and that any information not reported was withheld hecause met applicable statutory provisions permitting non-disch~sure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Couference regulations. 
Signature 
NOTE: ANY INDIVIDUAl, WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 
FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Commitlee Fi~ancial Disclosure Administrativc Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 
Guido Ca!abresi 

F=om: Stephen Yandle 

De=m" February 1994 

Retirement benefinm 

Tenured members the Faculty upon retirement may elecz csnzinue 

teaching and other acuiviriem the School 
accordance with usual curricular processes reEired profemsorm m~y t~mch one 
half ~ime Ims~. Faculty memher~ alec~in~ .one course each semester the academma year or, a~emen~ with 
the Dean, c~urses one ~e~ follo~ed ~e~ which ~ey offer 

courses. pa~-cime ~rivile~e~ and resp~nslbil!~ie~ g!il continue 
uerm, bun subject che s~rd~ fmr contin~i~n applied nsn-rm~Irad, 
~enu~ed fac~ mamber~. 

Recited fac~ ~ka reduced ~aacb~ng 
years the their regiremen~ in~a~p~ ~air teaching for 
lenger than academic years wishou~ fo~e~ing 
Recited fac~ty who elect teach part-~a will dasi~ed Professorial 
hecmrera. Apprapriace compensation far p~-~e ~aachZng datelined 
~he Dean. 

After retiremen~ fac~y con~inua receiv~ v~i~ support. supporu d~p~nd wh~=har =he fac~ m~mbar c=nzinue= ~ach. 

Offices. 

Upon reziremen= faculty members will leave the larger 
offices than they may occupy and will lose their position r_he office 
 ~niority lis~, bur will provided other officm space. 

Re=ired faculty will continu~ receiv~ sacrmtarial 
support, hun reduced level. general, Professorial Lactuirmrs would 
recoive half the usual allocmnion for full time faculty. 

Rezlred faculty who aonuinus teach can granued 
triennial leave propor=ionane the amou~z ~eaching they are doing (e.g. 

Professorial Les~arer who teaching course semestercould rmceive 
semester trienniml leave ever)r three years. Pay for the leave would equal ~he amoun~ zhaz the faculty member would have received for teaching thaz 

di,cr~iDn ~h~ wi~h ~h~ approv~ 

Recited fac~ry "ca~ roland" =h~ir schad~ed leaves 

from pre-retiremen=, bur o~y th~ tithe nexr leav~ du~, which 
muse cenform the =~rip~arion abov~ (~.~. fac~! member who loave 
for. years prior re=iremen= and who sra~ed reaching 
af~ec tiremenK wo~d eligible for paid leave the second Semes=er 
reEiremenr, hu~ the pay wo~d =ha ~s~= ~hs salad! 
b~en paid for teac~n~ co~s~ 

Ke~ired fac~ ar~ no= ~li~ihle for 

Retired faculty may receive ~he sam~ ~pe research 

~uppor~ full time faculzy. Requests for research ~is~=s and ~raval 
~=c submitted th~ dean for approve. Ocher ~upporr requests 
computers, duplicating, ~=c. Wo~d processed ~rmu6h ,xisrlng 
~dminis~rative procedures with non-routine approv~ h~in~ rmf~d the 
dean. Cenerai =upport from =he llbra~ i=s staff will availa51~. 

Book

purc~se requescs sho~d dirmcred ~brarian. ~! 
procedures are idancic~ ~os~ plac~ for f~l t~a 

Salad/ will nego=la=ed individ~iy ~th the dean, but gener~ ~ideline Profaasori~ ~=~srs who ~each c=~sa each 
after retlremen= will receive one ~rzer =heir pre-re=ir=~n= s~a~ aala~ will renewed a~ly Professer!~ ~c~era ~ii 
~ligihls for increases. Increases will gener~ly l!~=ed =he Univer=ity 

Univ~rsi~ Benefits 

University henefi=s hinge whs=her the faCLUl[y 
member "half =ires more", which defined precissly 50~ mare. iremmn= C~nrrihu~ion Schsol wil! ~ke csn~rihuz!o~ reziramen~ f~dn far Professorlnl ~c~ers =he ex=enu possible given Universitys festa for comple=ion con=ribuzions re=iremen= f~ds, operazlon ~he fo~a can va~ indlvid~l, hig~y lilly School fac~ty se~ing Profe~sori~ Lec=urnrs will ~ve comple=ed con=rlbu=io~ reciremenn funda prior s~i~ Profesaori~ ~c~era. For fac~ty who ~md fifteen years se~icm Yale prior J~y 1993, csn=ri~ions rs~iremonn acco~a th~ r=~r a~l for~a will no~ c~aaa befor~ age 
70. 

Yale faculty wi."h year= 
pos[-retiremmn[ medic~ coverage comparable 
fac~cy. Fac~ wlmh lets =~n y~arm sa~cm receive pro rata 

benefit based years se~ica. coverage, ~ile co--arable, 
differenz desired ~ka adv~uage Hadicarm h~nefics. Fac~ 
who are classified 501 aura are eligible fur 
coverage. 

Under current policy facalty member classified 50% more. she no= eligible for retirement h~a!th "~verage even sho meeus the age ~nd te~ satire retirements became Medicare 

from their employer ~sz receive t~z benefi~ re, her M~dicare retired 
fac~=y listed 50% mor~ wo~d covered ~er rs~ar fac~ty 
medic~ plan. 

~"~ners University con=ributlon the Denial

Plan, but still the plan avail=hle only faculty who ar~ half ~im~ 

Ix, ng- ceL-m Disability 

Faculty classified 50% more are ~ligihle for 
coverage under che Univarsi~--y,s long-term ~sahiiity pro~r~. benefits pr~gr~ ter~c~ 70. 

~.exihls Univarsi~ repros =~= fa=~ ~mher

 =ployed 50% more parzicipa=s ~e~ble h~n~fi~s 

Fac.~ members par~icipacn the group life
instance plan employed =~, ~r8. employed less 
c~. group lifo in=~anc~ can c~v~r~sd whole llfe policy. 

Benefits Doll~rs 

Fac~ working =lee ~rm rsceiv~ $27 p~r 
month which applied fac~ paid ~nefi~s accepted t~ble 
incom~. 

Scholarship Pl~n for S~ns and D~ughters 

The henefi~ available el! r~ired faculty who meeC ~he length so.ice requirement six c~n~in~ y~arn prior 
rnceivlng the benefit fo~ con=inuo~ years prior eish~ years total