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I. Perso~ Repnrt|~ (lasl name, firsl, middtc inilial) Cabranes, Jose A. 4. Title (Ar6cl¢ III judgc~ indicate active ~r ~cnmr stalu~; magis~ratc~udgc~ indicate full-or V.S. Circ,i~Judg¢{Aclive)

FOR CALENDAR YEAR 2009
2. Court or ()r~=~Iz=lion U.S. Court of Appeals - 2d Cir ,5= Repor~ ]) p¢ (check ~p~roprialc ty~c~

(5 u.s.c, app..~.~" t61.tll)
3. Dale or R~port 0SI1312010 6. Reporllng Period

~ lai,ial

~ A ...... I

~ Final 12/31/20~9

141 Church

IMPOR TANT NOTES: The in.~tructi,m,g accompank’inx thi.~ form must be fM/owed. Complete all part.~.

rhe=’Mn~ the NONE box for each part ,,here )’ou have nn reportable inf!~rmation. Sign on last page.

NON E (No reportable positions.) POSI"I-1ON
See "Allachmen! A" hereto

NAME OF ORGANIZAT!ON/ENTITY

5.

~_~ (,: r .~.:~.? 7F’~

NONg (~o reportable agreements.) [ ~RTlgS AND TERMS
I

’.

Cabranes, Jose A.

FINANCIAL DISCLOSURE REPORT

~ ....

[P .....

Repo,li.g

D,l¢o[Rcpor!

Page 2 of 7

c,~r,,es. J,se A.
I

1 i !. NOLO’-! N V ESTM EN T i NCOM E. ~,,p,,,,~ indi..id,al and xp .... ; .*ee pp. t7-14 of filing i ....... A. Filer’s Non-Investment Income NONE (No reportable ntm-investment income.) DATE I. 2. 3. 4. SOURCg AND TYPE lyou~s, no! ~p~use’s)

B. Spouse’s Non-I nvestmen t Income - tl~.~. .,¢,e married during a~)" p,~rtion o.[ the ~eportinlt )’ear, complete thi~ [~ NONE (]go reportable m.Mnvestment income.) DATE
I. 2009 2. 200.9

~;OURCF. AND TYPE
University of Chicago Press (Royalites) Thomson-Wes! (RoyahiesJ

3. 4.

! V. R E i M B U RS E M EN TS ....... ~, ..... ,,,.. ~,,,~,,~.I..d. ....... i
[~ NONE (Nr) reportable reimbtersements.) ~
I. See "Attachmenl B" herco

~

LO~ATION

PURPOSE

ITEMS ~AID OR PRQVIDED

2. 3. 4. 5

FINANCIAL DISCLOSURE REPORT

N~me o! Person Reporlin~
Cabranes, JoseA.

Page 3 of 7

~

NONE (No reportable g~s.) ~ I. The Ouinnipiack Club. New Ila~en, CT See "A~tachmenl C" attached hereto Lunch (at my o~n expense) I)ESCR~PTff)N VAL~

2. 3.

5,

~]

NONE (No reportable liabilities.) I~REDITOR DESCRIPTION VALUE CODE

I. 2. 3. ,4. 5.

FINANCIAL DISCLOSURE REPORT

Page 4 of 7

NONE (No reportable income, ossels, or transactions.) A. B. C. D.

Place "(X)" after each a~ct cacmpt fro~ prior disclosure

j ~motsnt C’~c I

TyW (c g . di~., rcnl.

Value Code

Value

T)’~ (c g.,

I)atc

Value ] Gain

~dcnhly of

I,

Fid~lily Assc~ ~anagcT

B

Dividend None

L

T

2

CT Ilighet" Educalion Trast

J

T

3

CI I ligher Education Trust

None

L

T

5. 6.

Vangnard btoney Marke~ Accoun~

A

ln~eres~ Interest Imere~t M ¯

Sold Sold Sold

O1/05/09

M

A A

Redempl*on Redemption

Vanguard Money Market Accoun~ Vanguard Money Marke~ Fund

A A C

02/02/09 04/30/09

K J

-7. ~ 8. 9_ IO.

A

Redemption

Chase CD Evergreeea Serv. Co. Macy’s. ffUa Federated I)epa*lmcn~ S~o*e~, ffk!a May DeparL WYE Wyeth 11AA-(’REF Anmmy (vesled) ] IAA-CREF Pension TIAA-L’REF IRA l l;3rlford Life & Anr~ui~y In.,:. Co (variable life ins. policy) Nuveen MS Active Assels Tax-Free "1 rust NI’I Nuvcen Premium INC MUN FD

Interes~ Dividend

A A

I

~ Sold Sold 10/13/09 K

Dividend Dividend Dividend None None None Interest J Pl K K ~ K T T T T T

]I 12 13 14. 15. 16.

A C

01123/09

J

A C

17

Interest

FINANCIAL DISCLOSURE REPORT

(2} Ty~ (c g., dlv., rcnl,

s .... r~ ..... ~,po,,to~

1
T~n~,action~ (luring rc~ng ~ri~t 111 Ty~ (¢ buy. ~¢II. (2) mm/dd.~y~ 13) ~ (4} 15)

NONE (No reportable income, assets, or tronsactions.)
Dcxcriplion of Axsels lincluding I~st aSSel~) Place "(X)" after each asset c~en;pl from prior disclosur~ Income du[ing rcponlng ~ri~ Gro~s value at end of reposing 11) Value Code 2 (21 V~hte Melh~

~

Amount CMe I

18. 19. 20.

Nuvccn Corm DVD ADV MUNI PBCT People’s United Financial Inc. See "Altachment D" hereto

D B

Interest Dividend

M K

T T

/

FINANCIAL DISCLOSURE REPORT In ....

IP ..... Reparllng

[ D.l, of Rcporl

Page 6 o f7 ~! c~,r .....

Jose A. I

o.~.q.~;.~o~o

VIII. ADDITIONAL INFORS|ATION OR EXPLANATIONS. a,~ico,op=r, olR,p,,,,.;

FINANCIAL DISCLOSURE REPORT le¢ .... IP ..... Ih:por,ing Page 7 of 7
I

[ D,,¢afllepor~

|

05tl3/2010 Cabrane,, Jose A. I

IX. CERTIFICATION.
I certify Ihal all Information glyen ahove (ineluding Information pertaining to my spouse and minor or dependent children. If any) Is aecurale, lrue. and complele In Ihe besl of my knowledge and belief, and lhmt any Informallun not repr~rled ~as wlthht’ld t|eemuse II me! applicable slattllury provisions permitting non-disclosure. I further eerlll’y that earned Income I’r~m outside t’mploymen! and honoraria anti the aceeplance nf gil’ts ,0".htch have been rep~rted arc in compliance ~.~lth Ihe provisions of 5 U.S.C. app. § 501 el. seq., 5 U.S.C. § 7353, ~nd Judidal Confert’n~:e regulalinns.

Sip, nalur~

NOTE: ANY INDIVIDUAl, WIIO KNO\VINGI,Y AND WII,FIH,LY FAI,SIFII ........................................................ ISIVIL :CTTO AND CRI~IINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRI.JCTIONS Mail signcd original and 3 addili¢~nal copies to: Comnaittce on Financial Disclosure Adminislrativc Office of the United Slates Courts Suite 2-301 O~c Columbus Circle, N.E. Washington, D.C. 20544

jos4 A. Cabranes U.S. Circuit Judge (Second Circuit) May 13, 2010 FINANCIAl. DISCI.OSURE RI’2PORT FOR CAI.ENDAI{. YHAR 2009

A’I~I’ACHM I’~N’I" A I. Positions

Trustee of Columbia University, New York, NY Trustee of the William Nelson Cromwell Foundation, New York, NY Member of the Academic Advisory Com~nittee of the lnstitule for Constitutional Studies, "l’he George Washington Universiq’, \vashtngton,

Note: No inco:ne of any kind was derived frown an), of the "positions" or services or activities noted in this Attachment A.

.los,.| A. Cabranes U.S. Circuit Judge (Second Circuit) biay 13, 2010 FINANCIAL DISCI.OSURI~ REPOI~.’I" FOR CALI’[N1)AR YEAR 2009 A’FI’ACHMEN’I" B - Page 1 IV. Reimbursements - transportation, lodging, food. entertainment: Source 1. Federal Bar Council New York, NY I)cscriptio,~ Meals, cost of transportation to/from Calm San I.ucas, blexico, ground transportation and lodging for me and [ (a Professor of Law at Yale) in connection with participation by each of us, in our respective individual capacities, in academic programs of the FBC’s annual Winter Bench and Bar Conference. February 14-21, 2009 2. Columbia University New York, NY Meals, and the cost of transportation to and from New York in connection xvith my duties as a Columbia trustee at each of the following meetings of the Board of Trustees or its committees in New York: March 13, 2009 October 9-10, 2009 June 12, 2009 December 11 - 12, 2009 3. University of Illinois Law School Meals, tile cost of transportation to/from Urbana-Cbampaign, 1L, ground Urbana-Champaign, IL transportation and lodging in connection with judging a moot court. April 7 -8, 2009 4. Duke l.aw School l)urham, NC Meals, the cost of transportation to/from Ralci~h-t)utham, N.C., ground transportation and lodging for me and [ (a Professor of Law at Yale), in connection with participation by each of us m an academic conference on empirical research in the law. September 19-21, 2(}09 5. Jewish Home for the Eldcrly of Fairfield County Stamford, CT One meal at a dinner in connection with remarks at presentation of the organization’s Public Service Award to a judicial colleague. October 29, 2009

jos~ A. Cabranes U.S. Circuit Judge (Second Circuit) May 13, 2010

FINANCIAL DISCI.OSURE REPORT FOlk CAH:~NI)AP, YEAR 2009
A’I’FACI IMENT 15 - Page 2

IV.

Reimbursements - transportation, lodging, food, entertain,neat: Source Description

6. William Nelson Crotnwcll Foundation New York, NY

One meal and the cost of transportation to/from the annual meeting of the trustees of the William Nelson Cromwell Foundation, held ,n New York, NY November 10, 2009

7. Yale Universit)" New Haven, CT

As a member of tile Yale community ( I of a tenured facuhy member and as a formcr !.Jniversit)’ trustee), meals and refreshments from tirnc to time over the course of the acadcmic year, in connection with attendance at, and participation in, varied Univcrsit)’ academic and social functions.

jos~ A. Cabranes U.S. Circuit .ludge (Second Circuit) May 13, 2010 FINANCIAl. DISCLOSURE RF.I~()I~.T F()R CA1A:~N1)AR YF.AR 2009 ATTACHMENT C

v. G i fl____~s
For some months in 2009, and for many years since I became a federal judge in December 1979, 1 benefitted from the opportunity afforded by The Quinnipiack Club of New t laven, Connecticut ("Club") to state and federal judges who work in New Haven, and to the Mayor of the City of Nexv itaven, to have lunch at the Club at their own expense. In Pub. L. No. 110-402, Section 2, 122 Slat. 4255 (Oct. 13, 2008), Congress enacted legislation in any calendar year. This legislation was followed by a May ] 3, 2009 advisory letter regarding this ]egis]ation to federal judges from the Chair of the Committee on Codes of Conducl of the Judicial Conference of the United Stales, captioned "Restrictions on Honorat3’ Club Memberships." This legislalion and letter caused me to question for the first lime whether the lunch arrangement at the Club constilules a "gift" reportable on my annual Financial Disclosure Form. After careful consideration oflhe matter, I concluded in 2009 that, in the circumslances presented, reporting the arrangement may be appropriate. Under the arrangement described above 1 was never a member or honorary member of the Club. Nor was I ever entitled to any of the usual perquisites of Club membership---e.g., the rights to have breakfast or dinner at the Club; provide lodging at the Club for guests; or use the banquet facilities of the Club. Because the luncheon arrangement described above was available to no other group or groups of persons, and was not available for purchase by any other group, neither the Club nor I were able to fix a "value" for the arrangement, much less the ’Tair market value" of the arrangement. Nevertheless, in the inlerest of completeness, and in light of the recent legislation and the guidance of the Committee on Codes of Conduct, I reported the arrangement in 2009 (with respect to Calendar Year 2008 and all earlier reporting years), despite the fact that I was unable to determine how a value on the arrangement can be determined and despite my inability to be certain of its reportability.

In any event, because of the impossibility of determining the value of this arrangement, I decided in 2009 to discontinue this limited associalion with the Club, effective on the date of the filing of the Financial Disclosure Form for 2008 (filed in 2009).

.Ios~ A. Cabranes U.S. Circuit Judge (Second Circuit) May 13, 2010 FINANCIAL DISCI.oOSURI[ REPORT FOR CAL[:~NDAR YEAR 2009 AITACI hMEN’I" D VIII. Additional inffnmation or cxplanations. (Indicate part of Report).

VII, 13: v l l, 1~:

--] umversity pension plan since 1984. [cash value fife insurance policy, wi’dcfi is part insurance and part investment, was obtained in 1998 and has been in effect since then. Initially it had no reportable "investment value." Value indicated refers to immstment value of the policy as of December 31, 2009. See also "Attachment C"

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