Debra A Livingston Financial Disclosure Report for 2009

8/3/2019 Debra A Livingston Financial Disclosure Report for 2009

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i It 1 o FINANCIAL DISCLOSURE REPORT Report Required b y t h e E t h i c sin Government Act of 1978R ~ , . 1 ~ o i 0 FOR CALENDAR YEAR 2009 1 5 u . s . c , a p p . 1 o 1 - 1 1 1 . )1. Person Reporting (last nam e, first , middle init ial) 2. Court or Organization 3. Date of Repor tLivingston, Debra A . U.S. Couct of Appeals for the Second Circuit 5/9/2010

4. Title (Aaicle II1 judges indicate active or senior status; 5a. Report Type (check appropriate type) 6. Report ing Periodmagistrate judges indicate full- or part-t ime)[] Nomination. Date 01/0[/2009United States Circuit Judge A c t ive s tatus. ~ Initial ~ Annual ~ Final to12/31/20095b. [] Amended Report

7. Chaml~rs or Office A ddress 8. On the basis of the information contained in this Repor t and an ymodifica t ions perta ining there to, i t is , in my opinion, in com plianceUniled States Cour thouse with applicable laws and regnlatioz~.500 Pear l S treetNev, York, New York 10007 Reviewing Off icer Dale

IMPO RTANT NOT ES: The instructions accompanying this form must be followed. Complete all parts,checking the NO NE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . {Reporting indi,,idual only .... pp. 9.13 of fding instructions.)[~ NONE (No reportable positions.)

POSITION N A M E O F O R G A N I ZA T I O N /E N T IT YI. Paul J. Kellner Prot~ssor of Law Columbia Law School

4. : 1)

_ _Z:.:. .

I I . A G R E E M E N T S . ~ , ~ o ~ i , , g individual vary; see pp. 14-16 of filing instructions.) ~3 O~~ N ON E (No reportable agreements.)

PARSES A~l. 2/!999 Wolters-Kluwer Law & Business[Aspen Publishers. Royalty payments on sales of co-authored case book,Comprehensive Cr iminal Procedure

2. 2007 See Part Vlll. Additioual hdbrmation.


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FINANCIAL DISCLOSUR E RE POR T N a m ePage 2 of 8 Livingston, Debra A.

]5/9/20!0

III . NON-INVESTM ENT INCOM E. t~o~,,gA. Fli er s Non-Inv ~ tment Income

NONE (No reportable non-investment income.)DATE SOURCE AND TYPE INCOME(yours, not s~uses)

1.4.4,09 Wo lters-Kluwer Law & BusinesslA s~n Publishers (~y~ties) $11,151.242. Bi-weekly Columbia Law School (tot~ 2~ W-2 s~) $24,613,983.4.

B . S p o u s e s N o n - I n v es t m e n t In c o m e - if you were ma rried during any portion of the reporting year, com plete this section.(Dollar t ~ r n o u n t not required e.reept f o r h o n o r a r i a . .)

NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

I.2.

3.

4,

I V . R E I M B U R S E M E N T S . . ,~ . . ,p o r ~ .~ i o ., lodging, food, entertai ......~ h r c h t d e s t h o se t o s p o u s e a n d d e p e n d e n t children; aee p p . 2 5 - 2 7 o f f i l in g instructions.)

~ NONE (No reportable reimbursements.)

~ ~ LOCA~ON PURPOSE I~MS PAID QR pRQVIDED1. NoWe Dame Law School ~I 8-2/2012~ South Bend. Indiana moot conn judge transportation, I~ging, meals2. Yale Imw Sch~l 2/2812009-311/2~9 New Haven, CT Federalist Society National . . ..

Student Symposium3. Wolters-Kluwer Law & 3~2712~ Boston, MA Meeting on CriminN trans~rtalionBusinesslAs~n Publishers Procedure c~se book4. U.Michigan Law Sch~l 3/31-4~,~39 Ann Arbor, MI Moot comt judge transpo~ation, lodging, m eals5. ABA & Noohwestem Law 5/28-513012~ Chicago, IL Speaker, ABA Appellate ....Sch~l Practice Institute6. Federal B~ Council 10123-10/25~N ~nox, MA Panelist, 2~N FNI Benchand B~ Retreat


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FINANCIAL DISCLOSUR E RE POR T N a ~ , o f P er s o n R e p o r t i n g D a t e o f R e p o r tPage 3 of 8 L i v i n g s t o n , D e b r a A . 5/9/2010

7. Harvard Law School i0129/2009 Boston, MA Classroom Spe~ker for transportationProfessor John Manning


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FINANCIAL DISCLOSUR E RE POR TPage 4 of 8 L i v i n g s t o n , D e b r a A . 519/2010

V . G I F T S . a n c l u d e s ~ o , e t o s p o , ,, a n d dependent children; see p p . 2 8 .3 t of filing instruct~ns.)N O N E ( N o reportable gifts.)

~ DESCRI~ON VAL~1.2.3.4.5.

V I . L I A B I L I T I E S . a , c l~ d , , thos, o:sp ....... d depe.d .... hildren; see pp. 32-33 of filing instructions.)[~ NONE (No reportable liabilities.)

CRE DIT OR DESCRIPTION VALUE CODE1 . T h e S ch o o l a t C o l um b i a U t ~ iv e ts it y A g r e e m e n t t o p a y g r a d e s c h o o l t u it io n j

2.3.4.

5.


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FINANCIAL DISCLOSUR E RE POR T N ~ e o r V e ,~ o n ~ p o ~ i .~ O a t e Iag e 5 o f 8 L i v i n g s t o n , D e b r a A , 519/20t0VII. INVESTMENTS and TRUSTS .- i ........ ~, , ...... ~o,~ (Includes those of sp ...... d d e p e n d e n t c h i l d r e n : s e e p p . 3 4 - 6 0 o f f ih n g i n s t r u c t ~ , t s .)~ NONE (No reportable income, assets, or transactions.)................ ~ ................................ . . . . . . " ~ . . . . . . . . . . . . . .. . . . . . ~ . " . . . . . . . . . . . . . .~scfiption of Assets I n c o m e d u r in g Gross value at end [ T r a n s a c t i o n s d u r i n g re p o a i n g p e r i o d( i n c l u d i n g t r u s t a s s e l s ) reporting ~ri~ o f r e p o f f i n g p e r i o d

P e a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t Ty~ [e.g., V a l u e V a l u e T y p e ( e . g ., D a t e Value G a i n I d e n t i t ye x e m p t f r o m p r i o r d is c l o s u r e C o d e I d i v . , r e n t , : C o d e 2 M e t h o d ~ b u y , s e l l , .mm/d~yy C~e 2 C o d e I buyer/seller( A - H ) o r i n t . ) ( L P ) C o d e 3 ~ r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e~ : ( Q - W ) 1_ _ ~ t r a n s a c t i o n )l. Citibank, NY, NY Chec~ng and Savi~gs A Interest I L T2. CREF Stock Fund None K T

Fidelity Contrafund A Dividend K T4. Fidelity Convertible Security B Dividend K T5. Fidelity Growth Co A Dividend K T6. Fidelity Equity Income I1 A Dividend K T7. Fidelity Magellan A Dividend K T8. NYS Dormitory A uthority Bonds A lnteresl J T9. TIAA Real Estate B Dividend L TI0. TIAATraditional Annuity B Interest K TI 1 . U,S. Savings Bon ds None J T1 2 . Vanguard 078 Asset A llocation A Dividend K T1 3 . Vanguard 081 International Growth B Dividend L T

1 4 . Vanguard 122 Life Growth Portfolio A Dividend K T1 5 . Vanguard t63 NY Tax Exempt A Interest K T. 1 6 . Vanguard 526 Morgan Growth Admiral B Dividend M T Bu y 12/28/09 J

(addl)i1 7 . Bu y 1 2 / 2 8 / 1 . .u ) .1: (addl)lncome Gain Ccaleg: A =$1,(~} or less B =$ 1,001 - 52.500 C =52,501 - ~5.000 D =$5,1h)1 - $15.00(/Co lum ns BI a nd D4 ) F =$ 50,001 + $ 100,000 O =$100.0Ol $I.0(R).(Y,)O HI =$l.t~0,001 - $5.0OO.t)O0 FI2 =More (ban2. Value Codes I =$15,000 or les~ K =$15,00l - $50,000 L =550,001 - $10(h000 M = $1 00J ) 0l $2 50, 000


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N a m e o f P e r s o n R e p o r t in g I D a t ~ o f R e p o r tINANCIAL DISCLOSURE R E P O R T] Livingston, Debra A. lage 6 of 8

VII. INVESTMENTS and TRUSTS .. ~ ......... ~ , l r a n s a c t i o n s ( I n c l u d e s those of ~p ........ d dependen~ children; see pp. 34-~0 of filing instrN O N E (No reportable income, asse~s, or tran~ac6ons.)

~.~ ...................... ~ . . . . . . . . . . .~ ........................ ~ .....................................Dc~ription of As~ I n c o m e d ~ r in g G r o s s v a l u e a t e n d T r a n s a c t i o n s d u d ~ g r e p o r t in g(including t~st ~sets) reporting ~dod ~ o f r e p o r t i n g p e r i o d~) (2 ) 1~) 12~ tl ~ : (2) (3) t4) (5 )Place "(X)" ~r each asset A m o u n t Ty~ (e.g.. V a t u c V a l u e T y ~ ~ e . g ., Dale Valuee x e m p t f r o m p r io r d i s c l o s u re Code [ d i v . . r e n t . C~c 2 Meth~ b u y . s e l l . ;m~d~yy Code 2 C~e 1 buyerlseller: ~ A - H ) o r i n t . ) ( J - P I C o d e 3 r e d e m pt i o n )( Q - W ) t r a n s a c t i o n )

1 8 . Vangu~d 548 Sm~l Cap Adm iral B Dividend L T Bu y 12123/09 J(addl)1 9 . Vangu~d 593 Growth & Income Adm iral C Dividend M T Bu y 1 2 1 2 8 1 0 9 J(addl)

2 0 . Va ngua rd Col l e ge M ~ Age -B ~ e d M ~ None KG~th (~ 529 pl~)2 1 . Vangu~d Hi-Yield Co,orate B Dividend K T2 2 . Vanguard Index 500 B Dividend M T2 3 . Vanguard Inflation-Protected Securities A Dividend K T2 4 . Vanguard REIT Index Fund B Div idend K T2 5 . Vanguard Wellington Fund C Dividend M T2 6 . Western A sset Government Money Market A Interest J T

2 7 . Western Asset Money Market B Interest L T


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FINANCIAL DISCLOSUR E RE POR T ] N a m e o f P e r s o n R e p a r t i n g D a t e o f R e p o r ~Page 7 o f 8 [ Livingston, Debra A. 5 1 9 / 2 0 1 0

VIII. ADD ITIONAL INFORM ATION OR EX PLANATIONS. CZ,a i~pa,~o/R~por ,.~Part II. Agreements.-I remain a m ember of the faculty at Columbia Law School, teaching a reduced schedule consistent with m y primary obligation to the judiciary. I receivecumpensation that is consistent with the outside earned income limitations applicable to judges, l have an agreem ent with the University that while I remain afaculty member(and subject to all outside e,wned incom e and em ployment provisions of 5 U.S.C. 501-505 and Judicial Conference regulations thereunder), I ameligible for the Primary Tuition Scholarship (PTS), which covers 50% of the tuition at my sons grade school, as well as the college Tuition Exemption Program(for a child who attends Columbia University) or the College Tuition Scholarship (for a child who attends another college). A s a faculty mem ber 1 also remaineligible to live in Columbia Universlty-owned housing (where I live now).-1 continue to have retirement accounts m aintained through Columbia University, the individual holdings of which are listed under Pact VII. Investments andTrusts.-As a result of my forracr employment with the University of Michg,m Law School, I continue to have a retirement account mainufincd through the University ofMichigan, the holdings of which ace listed under Part Vll. Investments and Tr~sts. Cona-ibutions are of course no longer m ade to those retirement accounts.Pact VI. Liabilities.Upon re-reading the instructions this year 1 see that our agreement to pay tuition to The School at Columbia University appears to be repotlable and thus shouldhave beeu noted on prior years reports as well. This is the sam e tuition discussed under Part II. Agreements, a bove, which has been previously disclosed.Part VII. Investments and Trusts.-Dividend or other income for CREF stock, TIAA Real Estate, Vangtmrd College Mod Age-Based Mod Grwth (a New York 529 college savings account) is notreported on statements. A ll etwnings in all the funds are a utomatically reinvested in the respective funds. TIAA Real Estate reinvested dividends reporled axe basedon calculations of difference in number of shares as reported on q uarterly statements.


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FINANCIAL DISCLOSUR E R EPO RT S ~ e o f P e r s o n R e p o r t in g D a t e o f R e p o r tPage 8 of 8 L i v i n g s t o n , D e b r a A . 5 / 9 / 2 0 t 0IX. CER TIFICATIO N.

I cer t ify that all information given above ( including inforn~ation pertaining to m y spou~ and minor or d ependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutoryprovisions permit t ing non-disclosure.I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 eL seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOT E : ANY INDMDUA L W H O K NOWING L Y AND WIL F UL LY F A L SIF IES OR F A L L S T O F IL E T H IS R E POR T MA Y B E SUB JE C T T O C IV ILA NI) CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Commiuee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Documents

Debra A Livingston Financial Disclosure Report for 2009