Robert A Katzmann Financial Disclosure Report for 2010

8/3/2019 Robert A Katzmann Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0

Repor~ Required by the Ethicsin Government Act of 1978(5 U.S.C app. 101-111)

1 . P e r ~ n R e l ~ r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l)K at~ maan , R o b ~ A .

4. Title ( A r t l d e I L l j u d g e ~ I n d i c a t e a ~ t l v e or senior status;magis t ra te judge~ in~ica~ ful l - ~ I :~- t ime)Judge - Ac t ive

7 . Chambers or O f l l c e Addr~500 Peat Street Room 680New York , NY 10007

2. Court or Organizat ionU .S. Cour t o f Ap p eals fo r th e 2 r id Ci r cu i t

Repor t Type (check appropr ia te type)] Nomination. D a m[ ] laitial [] Annual [] Final

3. Date of R e p o r t5 1 1 1 / 2 0 1 1

6 . R e p o ~ f i n l ; P e r i o d01/01/2010

to12/31/2010

~b. [] Amended Rep~8. On the basts of the Informat ion contained In thl~ Repor t a n d a n ymodlficaflous per~nlng there to , i t i s , In my op inion, in eompl lancewith appl icable inws and regulat lor~.

Reviewing Oflker D a t e

I M P O R T A N T N O T E S : The inarucaons accompanying this form must befotlowe"t Complete allparts,checking the NONE box for each part where you have no reportab le in formation. S ign on last page.

I . P O S I T I O N S . ( s ~ . ~ ~ , ~ , ~ u a o n t ,; ,, e ~ p . 9 . 1 J offdlng instruai~ns.)D NONE (No reportable positions.)

1. Director (u npaid)2. L e c t u r e r3.

4.

5.

P O S F F I O N NAM E OF ORG ANIZATION/ENTITYThe Govetna~ce Inst i tu te

N e w Y o r k U n i v e r s it y S c h o o l o f L a w

H . A G R E E M E N T S . ~ s e ~ o n i . g Individual only; tee pp. 14-16 of fding instructions.)[~] N O N E (No reportable agreements . )

DATE PARTIES AND TERM S


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I~ne of Person ReportingFINANCIAL DISCLOSURE REPORTI Kat zmnn n , Ro l ~ r t A.

P a g e 2 o f 6

A. Fders Non-Investm ent Incom e~ (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

2.3.

4.

Date of Report5/11/2011

INCOME(yours, I~t spouses)

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - tf you w~ married during any port lon of the report lng year, omplete thi~ :ectian.( D o l la r a m o u n t n o t r e q u i r e d x c e p t fo r h o n o r a r i a . )~] N O N E (No reportable non-investment income.)

D A T E SOURCE AND T Y P E1 .2.3.4,

IV. REIMBURSEMENTS -tr.ns~.,~,~,.. ~d,~ , . Ioo~ . . , e .~me . t(Include~ those to spouse and dependent children; see pp. 25-27 of filing instructions.)

D N O N E (No repor table re imbu rsements .)SOURCE DATES

!. G e o r g e t o w n U n i v e r s it y L a w 4 / 1 6 / 1 0 - 4 /2 0 / 1 0Cente r2. A m er i c an J u d i c a t u r e So c i e t y 5 / 2 4 /10 Wash ing ton , DC

LOCATIONL o n d o n , E n g la n d

PURPOSEBoar d o f Vis i to r s meet ingDevi t t Awar d se lec t ionc o m m i t te e m e e t i n g

ITEMS PAID OR PROVIDEDTr ansp or ta t ion ; lodg ing and foodTr an lgor ta t ioa and food

3. N Y U L a w S c h o o l 12/12/10 - 12/14110 F~orence, Italy C o n f e r e n c e o n I n t e rn a t i o n a l T r a n s p o r t a ti o n ; l o d g i n g a n d fo o dJud ic ia l Coop er a t ion4.5.


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FINANCIAL DISCLOSURE REPORTPage 3 o f 6

Name of Person ReportingKat zman n , Rober t A.

Date of R e p o r t5/1 !/2011

Vo GIFTS. t lncludts those to spouse and dependent chi ldren; see pp. 2 8.31 of f i l ing ~nstruof fons. )

N O N E (No reportable gifts.)SOURCE DFoSCRIPTION

I.

2.

3.

4.

5.

V A L U E

V I . L I A B I L I T I E S . anct,,,,,s t hose o f spouse and depen dent ch i ldren; t , r pp . 32 - 33 o f f d l~g i n s t r u c t i o n s . )N O N E (No rep ortable l iabi l i ties . )

CREDITOR DESCR!PTION1 .2.

3.

4.

5.

VALUE CODE


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FINANCIAL DISCLOSURE REPORTPage 4 of 6

N a m e o f P e r s o n R e p o r t i n gKat zmann , Rober t A .

D a t e o f R e p o r t5/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, traslsactlon$ (Include, those of spouse and dependent children; see pp. 34.60 of fillng instructions.)

1 7 .

8.

9.

1 0 .

! !.1 2 .

1 3 .

14 .

1 5 .

1 6 .

N O N E (No repo rtable incom e, assets, or transact ions . )Des~ption of Assets Income during

( in c lu d in g tru s t a ss e ts) re p o r tin g l :~ rio d(!) (2)

Place "{X)" after each asset A m o u n t Type (e.g~e x e m p ~ f t ~ m pdor d i s c l o s u r e Code I div~ ren t ,t A - H ) or in t . )

G r o s s v a l u e a t e n dof reporting pe r iodO) (2 )

Val~e V a l u eC o & : 2 M e t h o d(J.p) C o d e 3

( Q - W )

Typebuy. se l l .

redemption)

Ttansuctions d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)Date V~lue Gain

mm/dd/yy C o d e 2 C o d e I(I-P) ( A - H )

( 5 )Identity of

buyer/seller(if private

transaction)

TIAA/CREF Pensio n None M

TIAMCREF SRA None L

TT

VAN GU ARD 403( b) ( 7) None M

- Explorer Fund- Index Fund ( 5 00 Fund)-International-High Yield

V ANGUARD NY LT C Dividend-Tax-Exemp t Fu ndCh ase Manh at tan Bank I n t e r e s t

1 7 .

I. In co me Ga in C edes :(See C o hzmn s BI an d M)

2.Value Codes(S~e C o hu n n s C I an d D3)

3. Value Met~3d Cedes( S ~ e Colum n C 2 )

A =$1,000 or lessF- ~ S O.001 - $ I 00.000J -.-.$15,000 or lcssN - - . $ 2 5 0 . 0 0 1 - $ 5 0 0 . 1 3 0 0P3 ~25 .0 (~ZOOI -Q = A p l r a i s a ]U =B~k Value

B--$1.001 - $2,500G --$100,001 -K - .~ 15,001 - $50.1~0O --$500.001 - $1,000.000R --Cost (Real Extatc Only)V --O~her

D ---$5.001 - $15.000H2 =Mo te thanM --$100.001 - $250.0130P2 --$5.0130.001 - $25. 0~0 . 000T ---Cash Market

E --.$15,001 - $50.1~0


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FINANCIAL DISCLOSURE REPORTP a g e 5 o f 6

Name of Pe rs on R epor t ingK a t z m a n n , R o b e r t A .

D a t e of Report5/I 1/2011

V I H. A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . a . ~ u ~ o ~ m of report.)


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FINANCIAL DISCLOSURE REPO RTPage 6 of 6

Nam e of Person Repor t ingK a t z m a n n . R o b e r t A .

Date of Repor t5 /11/2011

IX. CERTIFICATION.I c e r t i f y th a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yprov i s ions permi t t i ng non-d i sc i asu re .1 f u r t h e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i ncompl i ance wi th the prov i s ion . , o f 5 U.S .C. app. 501 e t . s eq, $ U.S .C. 7353, and Jud ic i a l Conference regu la t ions .

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S I F IE S O R F A L L S T O F I LE T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U .S .C . a p p . 1 0 4)

Comm ittee on Financ ial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Colum bu s Circle, N.E.W ashington, D.C. 20544

Robert A Katzmann Financial Disclosure Report for 2010

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