FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

1. Person Reporting (last name, first, middle initial) WINTER, RALPH K. 4. Title (Article II1 judges indicate active or senior status; magistrate judges indicate full- or part-time) ] United States Circuit Judge (Senior) 2. Court or Organization Second Circuit Court of Appeals 5a. Report Type (check appropriate type) Nomination, [] Initial Date [] Annual ] Final

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

3. Date of Report 05/11/2011 6. Reporting Period 01/01/2010 to 12/31/2010

5b. [] Amended Report 7. Chambers or Office Address 141 Church Street New Haven, CT 06510
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.

Reviewing Officer

Date

IMPORTANT NOTES: The instructions accompanying this form must be followe~L Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITI ON S. tReporang individual only; see pp. 9-13 of filing instructions.)

[]
1. 2. 3. 4. 5.

NONE (No reportable positions.)

POSITION
Professor (adjunct) of Law Trustee Yale University

NAME OF ORGANIZATION/ENTITY

Brooklyn Law School

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instruction~)
~

NONE (No reportable agreements.)
DATE

PARTIES AND TERMS

Winter, Raloh K.

FINANCIAL DISCLOSURE REPORT Page 2 of 7

Name of Person Reporting WINTER, RALPH K.

Date of Report 05/11/2011

III. N O N-INV ES T ME NT IN C O ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filer’s Non-Investment Income

D
1. 2010 2. 3. 4.

NONE

(No reportable non-investment income.)
DATE SOURCE AND TYPE INCOME (yours, not spouse’s) $53,600.00

Yale Law School - Part-time teaching

B. Spouse’s Non-Investment Income - lf you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)

[]

NONE (No reportable non-investment income.)

DATE

SOURCE AND TYPE

2. 3. 4.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainment.
(Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.) [~ NONE (No reportable reimbursements.) SOURCE 1. Joan Wexler, Dean, Brooklyn Law School Joan Wexler, Dean Brooklyn Law School Federal Bar Council Brooklyn Law School Brooklyn Law School Brooklyn Law School DATES 2/20/2010; 3/1/10

LOCATION Brooklyn, NY
JFK to Hawaii (round trip)

PURPOSE

ITEMS PAID OR PROVIDED

Federal Bar Council Trip Lodging
Federal Bar Council Winter Transportation Bench and Bar Conference Panel Moderator Board of Trustees Meeting Board of Trustees Meeting Board of Trustees Meeting Lodging; meals Transportation; lodging; meals Transportation; lodging; meals Transportation; lodging; meals

2.

2/21/2010; 2/28/2010

3. 4. 5. 6.

2/21/2010-2/28/2010 3/10/2010-3/11/11 4/18/2010-4/20/2010 5/6/2010-5/7/2010

Kona, Hawaii Brooklyn, NY Brooklyn, NY Brooklyn, NY

FINANCIAL DISCLOSURE REPORT Page 3 of 7
7. 8. 9. Brooklyn Law School Brooklyn Law School Brooklyn Law School 6/2/2010-6/4/2010

Name of Person Reporting WINTER, RALPH K.

Date of Report 05/11/2011

Brooklyn, N¥

Board of Trustees Meeting Board of Trustees Meeting Dean Search Committee Meeting Board of Trustees Meeting

Transportation; lodging; meals Transportation; lodging; meals Transportation; lodging; meals

10/5/2010-10/6/2010 Brooklyn, N¥ 10/12/2010-10/13/201t) Brooklyn, NY

10. Brooklyn Law School

12/8/2010

Brooklyn, N¥

Transportation

FINANCIAL DISCLOSURE REPORT Page 4 of 7

Name of Person Reporting WINTER, RALPH K.

Date of Report 05/11/:2011

V. GIFTS. (lncludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
[] NONE (No reportable gifts.)
SOURCE Brooklyn Law School
2. 3. 4. 5. DESCRIPTION Use of 2 vacant visiting professors apartments (7/2010); cost to BLS minimal

VALUE $1 ,ooo.oo

VI. LIABILITIES. anel~des those olspo~sc and dependent children; see pp. 32-33 of f!ling instructions.)
NONE (No reportable liabilities.) CREDITOR 1. 2. 3. 4. 5. DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 5 of 7

Name of Person Reporting [ WINTER, RALPH K.

Date of Report 05/11/2011

VII. INVESTMENT S an d TRU ST S -- income, value, ~ra,~aetio,~ ancludes those o/spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)

TIAA-Pension Nuveen Mun. Value Fund 3. 4. 5. 6. 7. 8. 9. 10. II. 12. 13. 14. 15. 16. 17. Nuveen Prem. Inc. Mun. Fd. 4 Nuveen Div. Adv. Mun. Fund LEGG MASON Intermed-Term Mun. Fund. CLS Black Rock. Mun. Inc. TR Citibank NA South Dakota Bank Deposit Program Western Asset Money Market Fund Class A

E A B B C B A A

Interest Interest Interest Interest Interest Interest Interest Interest

O K K K L K J J

T T T T T T T T Buy Buy 12/31/10 12/31/10 J J

1 ncomeGain Codes: (S~ 0!0mns B! and 04) 2. Va|ue Cod~ (See Cohtmns C I and D3) 3. Value Method Codes (See Column C2)

A =$1.000 or less F =$50,001 - $! 00,000
N =$250 001 - $500.000

B =$i,001 ~ $2,500 G ~$I00~001 ~ $!.000;000
O ~$~00 001 .- $1 000;060

C =$2;501 - $5,000 HI --$1~000~00i - $5.000~000 P4 =M6~ tha6 $50!000~000 .... S gAss~nt W --Estimated

E =$15,001 - $50,000 D =$5.001 - $15,000 "2 =More than $5:000,000 ....................................
P2 :

P3 =$25,000 00 - $50 000 000 Q ~Appraisal u --Book Value

i R ~ost (Rea! Estate Only) V ~other

T =C~zh M~rk~i

FINANCIAL DISCLOSURE REPORT Page 6 of 7

Name of Person Reporting WINTER, RALPH K.

Date of Report 05/11/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.
*SECTIOI’~ VII, Lines 7 and 9: This is where the interest from 2-6 was invested.

FINANCIAL DISCLOSURE REPORT Page 7 of 7 IX. CERTIFICATION.

I

Name of Person Reporting WINTER, RALPH K.

Date 6f Report 05/11/2011

I certify that all information given above (including information pertaining to my spouse and minor or dependent 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 are in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature: S/RALPH K. WINTER
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544