Guido Calabresi Financial Disclosure Report for 2010
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Date Created:November 8, 2013
Date Uploaded to the Library:November 13, 2013
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Rev. 1/2011 FOR CALENDAR YEAR 2010 Person Reporting (last name, first, middle initial) Calabresi, Guido Title (Article I~1 judges indicate active senior status; magisl~ate judges indicate full- part-time) U.S. Court Appeals Judge, Senior Status Chambers Office Address U.S. Court Appeals, 2nd 157 Chumh Street New Haven, 06510-2030 Court Organization U.S. Court Appeals, 2rid 5a. Report Type (cheek appropriate type) Nomination, Date Initial Aamual 5b. Amended Report Govermnent Act 1978 U.S.C. app. 101-111) Date Report 07/2912011 6~Reporting Period Final file basis the information contained this Report any modifications ertalning thereto,.it is, opinion; compliance with app]icabin laws and regulations. Reviewing Officer Date 01/01/2010 12/31/2010 IMPORTANT NOTES: The instrr, ctions acco.~panying this fonn mast followed. Complete ~tlt parts, checking the NO.Ng box for each part where you have repqrtable information. Sign last ffage. NONE (No reportable positions.) POSITION Sterling Professor Emeritus, Professorial Lecturer Honm3r Trustee Unpaid Member, Scientific Committee- Unpaid Member- Unpaid NAME ORGANIZATION/ENTITY Yale Law School, 11101/1995 -present Carolyn Foundation, MN, 01101/1996 present Centre Nazionale Prevenzione Difesa Soeiale, 1988 present International University College, Turin Board, 2007 present NO~ reportable a~-eements0 DAT~ PARTIES AND TERMS Present Right Professorial Lecturer, Yale University, upon retirement (See Attachment Present Right use accumulated (approximately $1,500) research and travel foxtd, Yale University, even after retSxement Calabresi, Guido Name Person Rep orting Date Report. Calabres% Guido 07/29/2011 Filers Non-Investment Income ~-~ NONE reportable non-investment income:) DA~_ SOISRCE AND TYPE 1.2010 Yale University part-time teaching 2010 Yale University Press royalties for previously written book 3.2010 W.W. Norton Co. royalties for previously written book 2010 AutSors Registry Copyrigh/payments for previously written books, etc. Spouses Non-Investment Income yy),ou ~,ere married dnrb~g a~O,2~ortlo~ the ret~ortingyettrcomplete ~his section. (Dollar amount not requhed except fo~ honoraria.) NONE(No reportable non-investTnent incomeO DATE SOURCE AND TYPE IV. REIlVIBISRSE1VEENTS ~nclttde~ those ~pouse and dependent children; see pff. 25-27 filing ~nstructions.) NONE (No reportable reimbursementsO SOURCE DATES LOCATION PURPOSE Cariplo Foundation, Centro 1116109 1117109 Milan, Italy Lecture Nazionale Prevenziono Difesa American Association Law 1/7/10 -1/8/10 New Orleans, Lecture Seh0ols; Yale "University Law School Cariplo Foundation, Centro 1/14/10 Milan, Italy Academic Meeting Nazionale Prevenzione Difesa ConsigHo Nazionale Forense 1114110 1116/10 Rome, Italy Lecture INCOME (yours, not spouses) $!82,706.00 $188.77. $208.51 $159.39 ITEMS PAID PROVIDED Travel, food, lodging Travel, food, lodghag Travel Travel, food, lodging Nam~ ]?erson Reporting Date Report FENANCI.AL DIS CLOSURE REPORT Stanford University Law 2/7110 219/10 Palo Alto, Moot Court Travel, food, lodging School National Constitutional 2/27/10 Philadelphia, Lecture Travel Center Yale University Law School 4/8/10 New Haven, Lecture Travel International University 5/5/10 -5/6[10 Turin, Italy Lectures Travel, food, lodging College Cariplo Foundation, Centro 5/I l/10 Milan, Italy Academic Meeting Travel Nazionale Prevenzione Difesa 10. Yale University Law School 5/20/10 New York, NY" Academic Meeting Travel Yale University Law School 5/21/10 Philadelphia, Lecture Travel 12. Carolyn Fo~mdation 6111110-6112110 New Haven, Trustee Meeting Fbod 13. AmerieanAssoeiationofLaw 6/18]10 Washington, Lecture Travel Schools 14. Cariplo Foundation, Centro 10122/10 -10/23/I0 Milan, Italy Lecture Travel, food, lodging Nazionale PrevenzJone Difesa 15. ENI Fourtdation; International 10/27/10 10/29110 Venice, Italy Lecture Travel, food, lodging University College 16. Aspen Institute Italy. II15110-11/7110 Cemobbin, Italy Lecture Travel, food,lodging 17. Caxolya Fomadation 1212110-1213110 Milmeapolis, Trustee Meeting Travel, ~[ood, dging ~INAN-CIAL DIS CLOS~ REPORT Page Name l~rson B.eporting Calabresi, Guido Date Report 07129/2011 C~TS. (ITtcludes those spouse-and depemlent children; see pp. 28-31 of.filing instructions.) ~O~m~ (No reportable gO~s.) $ OTY~CE DES CPd2~TION VALT.~ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE Date Report Name Person Reporting F]I~ANCIAL DISCLOSU-R~ REPORT 07/29/2011 Calabresi, Guido [-~ NONE (No reportable income, assets, transactions.) Income during Gross value end Transactions during reporting periodDescription Assets (including hast assets) reporting p~riod reporting period (1) (2) (1) (2) (3) (4) (5) Value Type (e.g., D~le Value Cain Identity Code dlv., ien4 buy, sell, mm/dd/yp" code Code buyer/seller Place !(X)"afler each asset Amount Type (e.g., Value exempt ~om prior disclosure. Code Method (A-H) int.) (j-p) Code redempfion~ (J-P) (A-H) (ifprlvate (Q-W) transaction) Mass Mutual (whble life) Insurance Dividend New YorkLife (wh;l~ life) Inst~ance Dividend AIG Stm America (whole life) Insurance None House and adjacent lot Bethany, CT= fro-D Rent0 investment.ptupOSe Bank America checking account Interest Bank A.merica EMMA account Interest Intesa -.San Paolo, checking account Interest Merrill Lynch Bank Trust USA cash Interest Shares SP 500 (mutual fired) Merrff Dividend Lynch 10. Share~ SP Mid-Cap M400 (mutual Dividend fired) Merrill Lynch 11. American Giowth Fund Mutual Fund Elividend Mei-rill Lynch I2. Trust #i, Income beneficiary Int./Div. 13. --First Am. Tax Free Obllg Fuhd (Cash Redeemed 03/15/10 equiv.) 14. 2-First Am. Sm-Mid Cap Core Fund (mutual fund) 15. --First Am. International Fund (mutual fund) Buy 03/04110 16. --First Am. IntL Select C1Y (mutual Buy 03104/10 fired) ISYCX 17. --General Mills (common) =$2~501 $5,000 =$5,00.1 $15,000 --$15,001 $50,000I. Income Gain Codes: -~1,000 less =$4001 $2,500 =$1,000,001 $5,000,000 1-].2 =More than $5,000,000 2."~aue Coaes =$15,000 less =$15,001 $50,000 =$50,001 $100,000 ~$100~001 -$250,000 (S~e Colmnns and.D4) a$50,001 $100;000 I00.001 $1,000,000 =$500,001 $I,000,000 =$I,000,001 $5,000,000 =$5,000,001 $25,000,000 =$25,000,00I $50,000.000 =More than $50,000,000 3.Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment (See Columus and D3) =$250,001 $$00,000 =Cash Market (See Column =Bpok Value =Other =Estimated Name ofl~erson Reporting Date Report Calabresi, Guido 07/29/2011 reportable income, assets, transactions.) Gross valui: at.end r~porting peri6d (i) (~) Valde Value Cod~ Method (I-P) Cod~ (Q-W) (.~) (3)- (4) 18. -A.~aerican Funds: InveStmentCo. America (m~tual 1"9.. Tm~t #2, income beneficiary Int.fDiv. 20. --First Am. Tax Free O~lJg: Fzmd (cash em~v.) --First Am. short Tax Free (mutual fund). P~edeemed --Im~t~on COrp (common) 23. --American Funds:.havestmdnt.Co. America (mutual fund) 24. ;-~X~ueso~a.1~n~g IV~fg, (common) 25. --First Am. Small. Cap b-kind (m~ttual fund) 26. --N~aveen Mid;Cap Select Fnnd, (mutual ~nd)FATE~ --Firs~Am. Intemati0hal F~nd(mnmal fund) .FAICX ]~uy See ~aote Part --First Am, Iutemational Select ]bkmd (mutual fund) Trust #3, haeome beneficiary None See note ha.Part --D arden.P~estaur~nts (common) 31. --~xxon (common) 32. -General 1v~lls (common) 34: --JR Morgan.(common) (~e C0i~,mbs ~1. and D3) N~2~0,001 -$500;000 -~00i0dl.-$Lo00;00o ~1000,001 -$50,000,000 Only) VII. INVESTNfENTS and TRUSTS NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Place "(X)" after each asset exempt fiom prior dlselosure Income doting reporting period (2) Amount .Type (e.g., Code divi, rent, (A-~ orinu) Gross value end reporting period (I) (2) Value Value Code Method (J-P) Code Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) ~4) Date Value Gain mm/dd/yy Code Code (J-P)(A-~ (5) Identity buyer/s~ller (ifprivate Imnsaction) 35. --ATT Inc. (common) 36. --US Bancorp (common) 37. 38. -American Funds: Invesment Co. America (mutual fund) -Merrill Lynch Bank Trust USA -cash 39. --Thorium Ltd (common) 40. --Am. Growth F~.md (mutual rand) 4.1. 42. -Am. Euro Pacific Growth Fund (mutualfund) Trust #4, income beneficiary None See note Part VIII 43. 44. -Merrill Lynch Bank USA CMA Money Fund (cash equiv.) --I Shares SP 500 (mutual ftmd) 45. Trust #5, income beneficiary None See note Part VIII 46. --Bank America (common) 47. 48. -Morgan Stanley Emerging Market Fd. (mutual fund) --Bank America checking account Cash 49. Guido Calabresi Retirement, TIAA-CREF None See note Part VIII 50. Bank America (common) Merrill. Dividend Lynch 51. Trust #6, income beneficiary Int./Div. See note Part VIII Income Gain Codes: =$1,000 less =$I,00~ -$2,500 -=$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 (See Columns and D4) =$50,00t- $I00,000 =$100,001 $1,000,000 =$1,000,001 $5,000,000 112 =More than $5,000,000 "2. X!aue C~ez (See Columns and D3) =$15,000 less =$250~001 $500,000 =$15,001 $50,000 =$500,001 -$1~000~000 =$50,001 $100,000 =$1,000,001 -$5,~00,000 =$100,001 $250,000 =$5,000,001 -$25,000,000 =$25,000,001 $50,000,000 =More than $50,000,000 3.V~ilue Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market (See Coluton C2) =Book Value =Other =Estimated Name Person :Reporting VII. INV-EST1VEENTS and TRUSTS NONE (No reportable income, assets, transactions.) Description Assets Income during Gross value end (including trust assets) reporting period reporting period (I) (2) C2) Place "(X)" after each asset Amount Type (e.g.,- Valu~ Value exempt from prior disclom~re Code. di~., rent, Cod~ Method CA-H) int.) (7-P) Code 52. --Grantham, Mayo, Van Otterlo0 (mptual 53. Amaeriean Funds: Investment Co. of. Dividend America (mutual fund) 54. Citigroup Inc. (common) MenSll Lynch Dividend Transactions during reporting period (I) (2) (3) (4) Type (e.g., Date Value Gain buy, sell, mm/dd/yy Code Codel redemption) (J-P) (A-H) Date of:Report 07/29/201 Identity buyer/seller (if private ~ansaetion) 1.Income Galn Codes: =$1,000 less =$1,001 $2,500 C.=$2,501 $5,000 --,$5,001 $15,000 =$15,001 -$50,000 (See Columns and D4) =$50,001 $100,000 ~-+-$100,001 $1,000,000 =$1,000,001 $5,000,000 1-12 =More than $5,000,000 2.Value Codes =$15,000 less K=$15.001 $50,000 =$50,001 $i00,000 =$100,001 -$250,000 (See Columns and D3) =5~0~01 -$500,000 =$500,001 $1,000,000 =$I,000,001 $5,000,000 I2 =$5,00~,001 $25,000,000 3.Value Method Codes =$25,000,001 $50,000,000 =Appraisal =Cost [Real Estate Only) =More tbaa $50,000,000 =Assessment =Cash Market (See Column C2) =Book Value =Other =Estimated Name Person Reporting :Date Report VIII. ADDITIONAL INFORMATION EXPLANATIONS. a,,,~at~i Part POSITIONS Line Assets the Carolyn Foundation are not listed becaus~ position Trustee "H0narary" only. have fimctional responsibilities wiffi regard the foundation. Part VII ][IN-VESTMENTS AND TRUSTS have not included ~ot for investment the production income; for investment the production income; and additional land identical tothis and adjacen~ both which placed conservation easement proieqt them perpetuity. ... .i .... urchased 2007 and which placed conservati~. ................ Part VII Asset #26 was formeriy known the First American Mid Cap Select Fund. The name changed during 2010 Trusts #3; #4, and Part VII (Assets #29, #-42, and #45) and the retirement account described Part VII #49 did not distribute any incometo immediate family member. Income was earned and not distributed. Trust (Asset #51) Charitable Remainder Unitx~st established 1995. 5.5%.income benefie:iaries dming our lives years, whichever is.longen The trustee instructed invest the money widely diversified mutual money market funds. Name Person Reporting Date Report IX. CERTIFICATION. certify that allinformation given above (including information pertaining spouse and minor dependent children, any) accurate, h-u~ and complete the best kn0~vledge and belief, and that any.information not reported ~vas ~vithhdd because met applicable statutory provisions permitting non-disclosure. further certify flaat earned incbme from outside employment ,and honoraria and the acceptance gifts which have been reported are compliance ~vith the provisions U~S.C. app. 501 et. seq., U.S.C. 7353, and Judicial Conference regulations. Signature NOTE: ANY INDIVIDUAL WE[O KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE TIAIS 1LEIORT MAY SUBJECT CML AND CKIMINAL SANCTIONS U.S.C. app. 104) Committee Financial Disclosure Administrative Office the.UnitedStates Com-ts S~fite 2-301 One Columbus Cflcle,. N.E. Washington, D.C. 20544 To: Guido Calahresi From" Stephen Yandle Da~a" February 1994 Re: Ra~ireman~ benefits Tenured members =he Faculty upon retirement may elect concinua teaching and other activities =he School par~-clme basis. accordance with usual curricular processes retired professor~ may teach one half time less. Faculty members aleczing teach half time may offer one course each semester the academic year or, arrangement with the Dean, two courses one reign followed term which they offer courses. The part-time prlvil~ge~ and responsibilities will continua without term, but subject the star~ards for continuation applied non-re~ired, ~ tenured faculty members. Retired faculty must take reduced coaching assignmenK within two years the ~a=e choir retirement and may no= interrupt their coaching for longe~ than two academic years wiEhout forfeiting ~hair appointments. Ketired faculty who elect teach part-time will dasigru~ted Professorial Appropriate compensation for p~rr-time teaching ~e~ermined ~acrurers. the Dean. After retirement faculty concinuets receive various forms support. The auppor~ may depend wh~har =ha f~cul~ member continues ta~ch. Offices. Upon rszirement faculty members will leave ohm larger offices chat they m~y occupy and will lose their position r_he office ~aniority list, b~t will provided other offic~ space. Retired faculty will continua receive secrezmrlal support, but reduced level- genar~l, professori~l Lact-uLrers would recaivg half =he usual allocation for full =im~ faculty. Retired faculty who continue teach can ~ran=ed =riern~ial leave proportionate ~he amount ~sachin~ ~ey a_re doing (e.g. professorial Lsct-urer who ~e~ching course semestercould receive semes~e.r ~rieruni~l ~eave eve~ three years. Pay for the leave would eqtLal ~he amotunt that [he f~cul=y m~mber would-b_ave received for teaching that dlscr~ulon uh~ dean with uhs approval th~ Provost. Retired faculzy may "carry forward" zheir schedulsd leaves from pro-retirement, bu~ only the timing the nex~ "leAve d~s, which must confor= the .~=ipu_larlon above (e.~. faCLLl~ member wh~ hul~ leave for years prior retirement and who s~ar~ad zeachlng after re~iremen= wo~d ~llglble for paid leave ~he secbnd ~emes~er ~e~iremen~, bur ~he pay wo~d the ~o~= Summer tlp~nda Ketirad faculty may receiw the sams ~]~pe ~ research ~uppor~ full time faculty. Requests for re~earch as~iar-aa~Ks and travel mu== submitted thm dean for approval. Other supper= raqua~rs computers, dupliczting, mzc. would processed through mxis=ing administrative procedures wi~h non-routin~ approval hein~ rafmrred the Book dean. General =ipporz from the library and its s=aff will available. purchase reques~a should dlrscted the Librari~n~ All r/here procedures ar~ id~nzical those place for full rime faculty. S~ry Salary will negotiated individually with the dean, buz general guideline Profmmsorial Lee~axsrs who teach course each semester af[er retirement will receiv~ one quar=er ~heir pre-retirem~n= T~m~ salary will reviewed annually and Professorial Laccumars will =ligihls for increases. Increases will gener~lly limited =he Universi[y figure for tenured f~cult-y. University Benefits University henefit~ hinge who=her the f~culty member "half tim~ more", which defined precisely 50~ more. R~ciremmnZ Con=ribution T~e L~w School will make contributions retirement funds for Profe~sori~l L~ct-uzers the extant possible given University~s fo~a fo~ comple~Ion con=ribu=ions reiremen= f~ds. operz=ion reuiremen= f~da prior se~i~ professori~ ~c~era. For fac~Zy who fifzeen year~ ~e~ics Ymls prior J~y 1993, .concri~cions retirement acco~Z~ ch~ re~r for~ will non ~a~m before age 70. M~dica~l Benefits Yale facul~y with years ~ervic6 are eligible for post-retirement .medical coverage comparable that pr6vidsd ful! time benefit based years service. The coverage, while comp, arable, different designed take advantage Medicarm benefice. FaciLity who are classified 50% more are .li~ible for tab, .rmgula= facUlty health coverage. Under current policy faculty mmmber .is classified 50% more, she no~ eligible~for retirement h~alth coverage even she meets the age and term sac-vice requiremenms becau~..e Medicare regulations scipula~:e rlnac ~nyone who entitled regular hmalih benefice from chair employer must receive them benefi~ raxher than Medicare retired faculty lis~d 50% mome would covered u~dar th~ r~gular faculty medical plan. There University con~ribu=Ion the Dental Pl~n, buc scill the plan availahl~ only faculty who are half =im~ more. L~,ng-te_~-m Disability Faculty classified 50% more are ~ligible for coverage under the Universitys long-term disability program. The benefits thac program terminate a~e 70. F].exihl~ Benefits The University requires that faculty member ,mploy~d 501 more particip~cs the fl~xlbls bsn~fit~ program. Group Life Faculty members may par=icipa=e ~hs group life insurance pl~n employed half cim~ more. ~mployed less chart h~if time, the group lif~ insuramce can cmnver=ed whole llfe policy. B=nefi=s Dollar~ Faculty ~orking half time morm receive $27 per month which can applied faculty paid benefits act=pied ~axable incomo. Scholarship Pl~n for Sons and Daughters The benefit availmble all rm~ired fzcul~/ who meet the lenguh sea-vice requireman= six contin~LoUS ysers prior "r~iving the benefit fottr continuous year~ prior ar~i ~igh= years to~al :ervice.