Gerard E Lynch Financial Disclosure Report for 2010

8/3/2019 Gerard E Lynch Financial Disclosure Report for 2010

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A O 10Rev. 1/20!1 FINANCIAL DISCLOSURE REPO RTFOR CALENDAR YEAR 20 10Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

I. Person Reporting (last name, firs t , middle init ial)Lynch , Gera rd E.

4. Ti t le (Art ic le I l l judges in dica te ac t ive or senior s ta tus;magis t rate judges indicate fu l l- or par t - t ime)U.S. Ci rc u i t Judge - Ac t i ve

7 . Chamb ers o r O ff ice Ad d res s500 Pear l S tree tN e w Y o r k , N Y 1 0 0 0 7

2. Co urt o r O rg an iza t io nU.S. Cour t of Appea ls , Second Circu i t

5a. Report Type (check appropria te type)

] No m in ation , D ate[] Initial [] Annual [] Final5b. [] Amended Report8 . On t h e b a s i s o f t h e i n fo rm a t i o n c o n t a in e d i n t h i s Re p o r t a n d a n ymodif ica t ions perta in ing there to , i t i s , in my opin ion , in com pliancewith a pp l i c a b le l a ws a nd re gu la t ions .

3. D a t e o f R e p o r t05/11/2011

6. Report ing Period

01/ 01 / 2010to12/3 i /2010

R e vie wing Off ic e r D at e

I M P O R T A N T N O T E S : The instructions accompanying this form must be foil)wed. Complete al l parts,checking the NON E box for each part where you have no reportable informatiot~ Sign on la st page.

I . P O S I T I O N S . m e p o . i n g individual only; see pp. 9-13 of filing instructions.)- - - -] N O N E ( N o reportable positions.)

POSITION1 . P r o f e s s o r o f L a w2.3.

4.5.

N A M E O F O R G A N I ZA T I O N / EN T I TYC o l u m b i a U n i v e r s it y

II . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~ N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


2/9

FINANCIAL DISCLOSURE REPORTPage 2 of 9

Name of Person Reporti ngLynch, Gerard E.

Date of Repor t05/1112011

I I I. N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investm ent Incom eD NO N E (No reportable non-investment income.)

DATE SOURCE AND TYPE I N C O M E( y o u r s , n o t s p o u s e s )! . I /1/10 Columbia Univers i ty $25 ,470 .002.3.4.

B , S p o u s e s N o n - I n v e s tm e n t I n c o m e - if you were married during any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

D N O N E ( N o reportable non-investment income.)DATE

I. I/I/IO2. I/I/IO3.4.

S O U R C E A N D T Y P EF lu s hin g H o s p i t a lPrivate Pract ice o f Psychotherapy

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertalnmenL(Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.)

Q (No reportable reimbursements.)O N E

2.

3.4.5.

SOURCE DATES LOCATION PURPOSE

Yale University March 26 New Haven, CT T e a c h i n g C l a s sA m e rica n Co n s titu tio n O cto b e r 4 - 5 W a shin g to n , D C Co n fe re n ceSocie ty

ITEMS PAID OR PROVIDED

Transpor ta t ionT r a n s p o r t a ti o n , L o d g i n g , Me a l s


3/9

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 9

N a m e o f P e r so n Re p o r t i n gLynch, Gerard E.

Date o f Repor t05/11/2011

V . G I F T S . a n e l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t children; see p p . 2 8 - 3 1 of f!llng instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1.

2.3.4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o f s ~ , o u s e a n d d e ~ , e ,d e n t children; see p p . 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N1.

2.3.4.

5.

VALUECODE


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N a m e o f P e r s o n R e p o r t i n gLynch, Gerard E.

Date of Repor t05/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v o t u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)[~ N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( including t r u s t a s se t s ) r e p o r t i n g p e r i o d

O) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) o r i n t . )

1. Citibank Accounts A Inte res t2. M erri l l Lynch Money Market B Dividend3. Ameripr i se Money M arket B Interest4. Blackrock NY Mun i Inc. Tr. A Dividend5. Gabelli Utility Trust PFD A Dividend6. ING Savings Account A Interest7. AGIC Con. Fd. A Dividend8. 1NG Clarion Global Equity Fund A Dividend9. PIM CO NY Mun i Fnc. Fd. A Dividend

1 0 . Blackrock Global Allocation B A Dividend1 1 . Triborough BTA Bonds None1 2 . Alliance Berns tein Gr./Inc. Fund A& B A Dividend1 3 . Eaton Vance En hanced Equity Fd. A Dividend1 4 . Eaton Vance Tax M anaged Global Fund A Dividend1 5 . Nuveen M unicip al Value A Dividend1 6 . Oppenheimer M ain St. A A Dividend17 . PIMCO Floating Rate Strategy FD A Dividend

Gross value at en do f r e p o r t i n g p e r i o d

(1) (2)V a lu e V a l u e

C o d e 2 M e t h o d( J - P ) C o d e 3

( Q - W )

M TL TN TJ TJ T

J TJ TJ TJ TJ T

L TJ TJ TJ TK TK TJ T

T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d

(1) (2) (3)Type (e.g., D a t e Value

buy, se l l . m m / dd/ y y Code 2redempt ion) (J-P)

B uy 08/31/10 M( a d d l )

( 4 ) ( 5 )G a i n Ident i ty of

Code 1 buyer/se l ler(A-H) (if private

transaction)

Formerly Nich.Applegate

1. Incom e Gai n Codes : A = $1,000 or less B = $1,001 - $2,500 C =$2,501 - $5,000 D = $5,001 - $15,000( S e e C o l um n s B I and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =$1,000,001 - $5,000,000 H2 =More than $5,000,000

2. Value Codes J =$ t 5 ,000 or less K -$15,001 - $50,000 L = $ 50,001 - $100,000 M = $100,001 - $250,000( Se e Colu mns CI a nd D3) N =$250,001 - $500,000 O -$500,001 o $1,000,000 PI =$1,000,001 - $5,000,000 P2 = $5,000,001 - $25,000,000P 3 =$25,000,001 - $50,000,000 P 4 = M o re than $50,000,0003. Val ue Met hod Codes Q = Appra i sa l R = Cost (Rea l Es t a t e O nl y) S =As s e s s me nt T =Ca s h Ma r ke t( Se e Colu mn C2) U =Book Va lu e V =Oth e r W =E s t ima te d

E =$15,001 - $50,000


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N a m e o f P e rs o n R e p o r t i n gLynch, Gerard E.

Date of Report05/11/2011

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, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D NONE (No reportable incom e, assets, or transactions.)D e s c r i p t io n o f A s s e t s Income during

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g per iod(1 ) (2 )

Place "(X)" after each asset A m o u n t Type (e.g.,exempt from prior disclosure Code l d i v . , r e n t ,( A - H ) o r i n t . )

1 8 .

1 9 .20 .21 .22 .23 .24 .25 .26 .27 .28 .29 .30 .31 .32 .33.34 .

Putnam In tl. Gr. FundAlpine Total Dynamic Div. Fd.Invesco Tax Free Int. SharesEaton Van ce Floatin g Rate Inc. Tr.Rochester M uni Fd. CI ATempleton Dev. M kt. Trust ARydex Ser Tr. Juno Fd.NYS Trans. Fin.F r a n k l i n U t i l i t i e s

S u n A m e r ic a N e w C e n tu r y Fd. AT I A A - C R E FFranklin Incom e Fd. CING Risk M anaged Nat. Res. Fd.

A DividendA DividendA DividendA DividendB DividendA Dividend

NoneB I n t e r e s tA Dividend

NoneNone

A DividendA Dividend

Gross value at en do f r e p o r t i n g p e r i o d(t) (2)

V a l u e V a l u eC o d e 2 M e th o d

( J - P ) C o d e 3(Q-W)

J T

J TJ TJ T

K T

J T

J T

J T

J T

O T

J T

J T

T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d

(1) (2) (3) (4)Type (e.g., D a t e V a l u e G a i nbuy, se l l , mm/dd/yy C o d e 2 C o d e 1

redempt ion) (J-P) (A-H)

Redeemed 05/03/I 0 K

Nuveen Global Fd.NYC BondsPort Authority BondsNYS Dorm Auth. Bonds

B Dividend J TA I n t e r e s t J TA I n t e r e s t J TB I n t e r e s t K T Redeemed(part) 11/01/10

Identity ofb u y e r / se l l e r(if private

t r a n sa c t i o n )

Formerly A I M

I. Incom e Gai n Codes :(See Columns B I av~d 134)

2.Value Codes(See Col um ns C I and D 3)

3. Value Method Codes( Se e Colu mn C2)

A =$1,000 or lessF =$50,90| - $ !00,000J -$15.000 or lessN = $250,001 - $500,000P3 -$25,000,001 - $50,000,000Q = Appra i sa lU =Book Va lu e

B=$1,001 - $2,500G=$t00,O0t - $1,000,090K -$15,001 - $50,000O -$500,001 - $1,000,000R = Cost (Rea l Es l a t e O nl y)V =Oth e r

=$2,501 - $5,0001 = $ I ,O O O , O 0 1 - $ 5 ,0 0 0 , 00 0=$50,001 - $ 100,000I =$ 1,000,001 - $5,000,000

P4 =More than $50,000,000= A s s e s s m e n t

W =E s t ima te d

D = $5,001 - $15,000H2 ~Mo re "than $5,000,000M =$100,001 - $250,000P2 = $5,000,001 - $25,000,000T =Ca s h Ma r ke t

E =$15,001 - $50,000


6/9


Name of Person ReportingLynch, Gerard E.

Date of Report0.5/I 1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, ~.lue, t .... actions (Includes those of spouse and d ependent children; see pp . 34-60 of filing instructions.)D N O N E (No reportable income, assets, or transactions.)D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g

( i n c l u d i n g t r u s t a s s e t s ) report ing per iod( 1 ) ( 2 )

Place "(X)" after each asset A m o u n t Type (e.g.,exem p t f rom pr i or d i s c l o s u r e C o d e 1 d iv . . r en t .

( A - H ) o r i n t . )

Gross value at en do f r e p o r t i n g p e r i o d

(1) (2)Value Value

C o d e 2 M e t h o d( J - P ) C o d e 3

(Q-W)

J T

J TL TK TJ T

J T

K T

J T

K T

J T

J T

N R

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(1 ) (2) (3) (4)Type (e.g., D a t e Value Gainbuy, se l l , m m / dd/ y y C o d e 2 C o d e 1

( 5 )Identity of

b u y e r / se l l e rr e d e m p t io n ) (if private

t ransact ion)

Redeem ed 08/31 / 10 K

3 5. H a r tfo rd Co rp . A p p r ec . Fd . A Dividend36. Fidelity Adv. Div. Intl. A Dividend37 . M etro Trans. Auth. NY B I n t e r e s t38 . LordAbbett NY TIF B I n t e r e s t3 9. PIMCO Long-term U.S. GOVT. A I n t e r e s t4 0 . P ut n am A m e r -go vt . In c om e F D A I n t e r e s t41 . Seligm an NY Mun i FD A I n t e r e s t42 . F idel it y Adv . Govt . I ncom e FD A I n t e r e s t43 . Frank lin U.S. Govt. SeI. FD B Dividend44 . Lord Abb ett Short Dur ation Income FD A Dividend45 . Am er. Exp. Cent Bk A I n t e r e s t46 . Hart ford Inflation Plus FD A Dividend47 . Rental Property, New York, NY (2002, D R e n t$272,500)48 . Advisers Discipl in ed Trust Unit 226 A Dividend49. SPDR Series Trus t A Dividend J50. Nassau County B onds A I n t e r e s t K51. Franklin NY Tax Free A I n t e r e s t K

TTT

Sold 02/04/10 J

(J-P) (A-H)

B uy 04/15/10 K

F o r m e r l y H a r t f o r d UGovt.

1. Incom e Gai n Codes : A =$I,000 or Icss B =$1,001 - $2,500 C =$2,501 - $5,000 D = $5,001 - $15,000(See Col um ns B 1 and D4) F =$50,001 - $ 100,000 G =$ 100,001 - $1,000,000 H 1 =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 =M o re t ha n $5 ,0 00 ,0 002 . Val ue Codes J =$15,000 or less K = $15,001 - $ 50,000 L =$50,001 - $ 1 00,000 M = $ 100,001 - $250,000(See Colu mns C I and D3) N =$250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 -$25,000.001 - $50.000.000 P 4 = M o re t han $50,000,0003. Val ue Met hod Codes Q = Appra i sa l R = Cost (Rea l Es t a t e O nl y) S =As s cs s mcnt T =Ca s h Ma r ke t( Se e Colu mn C2) U =Book Va lu e V =Oth e r W =E s t ima te d

E =$15,001 - $50,000


7/9


Name of Person ReportingLynch, Gerard E.

Date of Report0.5/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D,D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G r o s s v a lu e a t e n d T r a n s a c t io n s d u r in g r e p o r t in g p e r io d

( in c lu d in g tr u s t a s se ts ) re p o r tin g p e r io d o f r e p o r t i n g p e r i o d(t) (2) ( 1 ) ( 2 ) ( 1 ) ( 2 ) (3) (4) ( 5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e .g . , V a l u e V a l u e T y p e ( e . g . , D a t e V a l u e G a i n I d e n t i t y o fe x e m p t f r o m p r io r d i s c lo 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, m m / d d /y y C o d e 2 C o d e 1 b u y e r / s e l l e r(A-H) o r i n t . ~ ( J - 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) t r a n sa c t i o n )

52 . Fidelity Adv. Strategic53 . Vanguard Consumer Staples54 . Van guard Info Tech55. VanguardEmerg. Mk ts.56 . Vanguard H igh Dvd. Yield

A DividendA DividendA DividendA DividendA Dividend

JJ

J

J

J

TTTTT

B uy 12/08/10B uy 12/08/10B uy 12/08 /i 0B uy 12/08/10B uy 12/08 /10

JJJ

JJ

I. Incom e Gai n Codes :( Se e Columns B I a nd D 4 )

2.Val ue Codes( Se e Colu mns C I and D3)

3. Val ue Met hod Codes( Scc Colu mn C2)

A=$1 ,000 or l cs sF =$50,001- $100,000J =$15.000 or l e s sN =$250,001 - $500.000P3 =$25,000.001 - $50,000,000Q = Appra i sa lU =Book Va lu e

B =$1,001- $2,500G =$100,001- $1,000.000K =$15,001 -$50,000O=$500.001- $1,000,000R =Cos t ( Re a l E s t a t e Only )V =Oth e r

C =$2.501 - $5,000H 1 =$1,000,001 - $5,000,000L =$50,001 - $100,000P 1 =$ 1,000.001 - $5,000,000P4 Mor e th a n $50 ,000 ,000S =As s e s s me ntW = E s t i m a t e d .

D= $5.001- $15 ,000H2 =More than $5,000,000M=$100,001- $250 ,000P2 =$5,000,001- $25,000,000T =Ca s h Ma r kct

E =$15,001- $50,000


8/9


N a m e o f P e r s o n R e p o r t i n gLynch, Gerard E.

Date of Repor t05/11/201 l

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. (hulicaterortofreport.)


9/9


IX . CERTIFICATION.Ia m e o f P e r so n R e p o r t i n gLynch, Gerard E. Da t e o f Re p o r t05/I 1/2011

1 c e r t if y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n i n 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 ld r e n , i f a n y ) i sa c c u r a te , 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 t a tu t o rp r o v i s io n s p e r m i t t in g n o n - d i s c l o s u re .I f u r th e r c e r t if y t h a t e a rn 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 ts 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 nc o m p l i a n c e w i t h t h e p ro v i s i o n s o f 5 U .S .C . a p p . 5 0 1 e t . s e q . , 5 U .S .C . 7 3 5 3 , a n d J u d i c i a l C o n fe re n c e r e g u l a t i o n s .

Signature: S/Gerard E. Lyn ch

N O T E : A N Y I N D I VI 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 L Y F A L S IF I E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B JE C T T O C I VI LA N D C RI MI N A L S A N C T I O N S ( 5 U . S .C . a p p . 10 4 )

C o m m i tt e e o n F i n a n c i a l D i s c l o s u reAdm i n i s tr a t iv e O f f i ce o f t h e U n i t e d S t a t e s Cou r t sSui te 2-301O n e C o l u m b u s C i rc l e , N .E .W a s h i ng t on , D . C. 2 054 4

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Gerard E Lynch Financial Disclosure Report for 2010