Reena Raggi Financial Disclosure Report for 2009

8/3/2019 Reena Raggi Financial Disclosure Report for 2009

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A o 1 o FLNANCIAL DISCLOSURE REPORT ~ . c m . , a c ~ ,i r + d b > , t h + E t + , ic sm Government Act of 1978~ e ~ , . 1 / 2 0 1 0 FOR CALENDAR YEAR 2009 0 U. S . C . a p p . I 0 1 - 1 1 1 )P e r s o n R e p o r t i n g ( l as t name, f i r s t , middle ini t i a l/ 2. Court or Organization 3 . D a te o f R e p o r t

RAGGI. REENA U.S. COURT OF APPEAI.S, 2ND CIR 0 5 / 1 I 1 2 0 1 0

4. Ti t l e (Ar t ic le I l l j udges ind ica le ac t ive or s en io r s t a tus ; 5a . Repo r t Type (che ck appr t~pn a te type ) 6 . Re po r tin g Pe r io dma g i s t ra t e j u d g e s i n d i c a te f u l l - or pa r t - t im e} [] Nomination, Dale 01/01/2009UNITED STATES CIRCUIT JUDGE [] ln,lial ~ Annum [] Final to12 /31/2009

5h. [] Amended Report7. Chambers or O ff ice Address 8, On the has i~ of the information contained in this Report and Inymo d i f i c a ti o n s pe r t a i n i n g thereto, it is. in my opinion, in complianceU.S. COURTHOUSE wi th app l ic ab l e l aw~ and r e g u l a t i o n s .225 CADMAN PLAZA EASTBROOKLYN, NY 11201 Rev i ew ing Of f i c e r Date

IMPORTA NT NO TES: The instructions accompanying this form must be followed. Complete all parts,checking the NONE box for each part where you hav e no reportable information. Sign on laspage.

I . P O S I T I O N S . r n , r o ,, i~ individualonly; see pp. 9-13 of filing instructiom.)[-~ N O N E (No reportable posiiions.)

POSITION N A M E OF ORG A N IZA TION /EN TITYI. MEMBER, JUDICIAL ADVISORY BOARD GEORGE MASON SCHOOL OF LAW, CENTER FOR LAW AND

ECONOMICS

2. MEMBER,PARISH COUNCIL CHURCH OF THE ASSUMPTION, BROOKLYN NEW YORK3. TRUSTEE WILLIAM NELSON CROMWELL FOUNDATION

I I . A G R E E M E N T S . n ~ p o , t i , g i,a,,ia.,~ ,,~r: s,.. p,. 14 .16 ~[filin,~ instructions.)N O N E (No reportable agreements.)

DATE PARTIES AND TER, M~ {: -1.

2.


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FINANCIAL DISCLOSURE REPORT N .... IP ag e 2 o f 9 RAGGI, REENAI

0 5 ; 1 1 1 2 0 1 0

III. N O N - I N V E S T M E N T I N C O M E . r R e p o , , , . g indivldualandspouse; see pp. 17-24~[filing i n s t r u c t i o n s . )A. Fliers Non-investment Income

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

( y o u r s . n o t s p o u s e s )I. 2009 NEW YORK UNIVERSITY LAW SCHOOL - SALARY $25,830 002.3.4.

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 - ll.r,,, .,r~ married during, ~n),portion of the reporting year, complete thi~ section.N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE1.2.3.

4.

IV. R EIM BU R SE M ENT S -,,,,~,,~,,,io,.~odxi,x.~od ..... , , ~ . . . . . t .~ NONE (~ reportable reimbursements.)

~ DA TE~ LOCA TION PURPOSE ITEMS PAID OR PROVIDED1. NEW YO~ STATE BAR 05/01/2009-05/03]200g COOPERSTOWN, N EW PROFESSIONAL HOTEL AMD MEALSA S S O C I A T I O N YORK M E E T I N G

2 .3.4.5.


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F IN A N CI AL D I S C LO S U R E R E P O R TI

Nlme of Person Reporting Date of R eport

IPage 3 of 9 R A G G I , R E E N A 0 5 / 1 1 / 2 0 1 0

V . G I F T S . Ctnctudes thosr t o spouse and depen dent children: see pp. 28-31 o/.[iling instruction~.)

[] N O N E (No reportable gifts.)~ DESCRIPTION V A L U E

I.2.3.4.

5.

V I . L I A B I L I T I E S . (Includes th,,se o/sp ...... d dependent children: see pp. 32-33 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.


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F IN A NC IA L D IS C L O S U R E R E P O R T .,; .... fP ....Report ing [ Dateo fR ep or tPage 4 of 9

V II. LNV ESTMENTS and TRU STS -~ N O N E (~ r~ortable income, assets, or tran.vactions.).................. ~ ...................~s~ ip t io n o f A sse t s I n come d u r i n g ~ O~ss v~ue at end ~ Tran s ac t io n s d u r i n g r e i n i n g pe r i o d( in clu d in g ~=s t a s se ts ) repo sin g ,

Place " X " af;er each ~set ; Amoun t TS~ (e.g. ~ Va l u e ~ Va l u e T}~e [ e g . Date Va]ue ~ Gain l d~a t=~ of.... p , f~m prior d,scl ...... Cod e I di ......I. ~ Code 2 [ M e ~ o d buy, s e l l . I ....~. x~ ~ Code 2 [ Code I b . . . . . . .~lle,~ (A-t t ) or ink) I (JP) ~ Code 3 " r e d e mp l i on } (J-P~ ~ (A-H~ 0fpr i v a t~ I [ I (Q-W) Zransaclion~...................................... ~ ......... ~ ........ [ ...... ~ ......................... ~ .....................I. CITIBANK P~FERRED MONEY A l n~e rcs t JMARKET ACCOUNT(MMP}2. CITIBANK SAVINGS ACCOUNT Closed 01~30/09

3. CIT1BANK CHECKfNG A CCOUNT A Interest J T4. CITI NEW YORK TAX FREE RESERVE A I n t e r e s t M TMM F - R5. CITI NEW YORK TAX FREE RESERVE A lmerest C l o s e d 05/18/09MMF -"] ~6. CIHGROUI GLOBAL MKTS INCACCOI.EqT NO. 1 - R7. -FEDE?~d.. FARM CREDIT BANK CONS D I n l e r e s t Redeemed 04/06/09 NB O N D S8. -U.S. TR.EASURY NOTES SER R 2011 E I n t e r e s t O TDTD 12 f31 /20069. -NEW YORK ST URBAN DEV CORP D I n t e l e s t M TREV RFDGIlL -COR.PORATE BOND - GENERAL ELEC C ]merest L TCAP CORP DTD-3!06!20081 l . -NEW YORK CITY G/O SER 1 DD C I n t e r e s t M T(14/01/04 FiC 8 ;I ;0412 . -NEW YORK N Y GENL OBLIG C l n t e r e s l L TBDS-G-B/E 1)I) 01 /03/200813. -CERTIFI(_ATE OF DEPOSI[ B I n t e r e s t L T14. -NEW YORK CITY G/O SER M 22 4 .~ 28 . . 05 C I n t e r e s t M T Buy 113/20/09 MF,C 10/1/0515. -NEW YORK ST DORM AUTH ST PERS C I n t e r e s t M T B u y 05/20/09 MINCOME TAX REV ED-A-B/E16. - NY ST THRUWY ALTH ST PERS INCM C I n t e r e s t M T B u y 05/26 /09 MTX RE\ BDS17 . C.H]GROUP GL()BAL MKTS INCACCOUNq" NO.2 - " ]


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F IN A N C IA L D I S C LO S U R E R E P O R T ~ .... f P ..... R e p o r t i n g D a t e o f R e p o r tPage 5 of 9 R A G G I , R E E N A 0 5 / 1 1 1 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . . . .. , . . . . . . . .. . . a o n . , (Includes those of sp ........ d dependent children: see p p . 3 4 - 6 0 of filing inxtr~tctions.)~-] NONE (No reportable income, assets, or transactions.)

D e s c r i p t i u n o f A s s e t s ! income daring G r o s s v a l u e a t e n d T r ~ n ~ a c l i o r ~ s d u r i n g r c p ~ r t l n g p e r i o d( i n c l u d i n g t r n s t a s s e t s / r e p o r l i n g p e r i o d of r e p o r l in g p e r i o dP l a c e " I X ) " a f te r e a c h a s s e t A m o u n t T yp e ( g . . V a h l e V a l u e

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e I d iv . , real C o d e 2 M e t h o d b u y , s e l l, m r r t d d 3 ~ , Code 2 : Code I b u y e r l s e l l e rIA-H ] o r i n t ) ( J - P ) C o d e 3 redemption) ( . l -p) ,I (A-tlt , (if private: ( Q - W ] : [ t r a n s a c t i o n )18 . -NY STATE DORM AUTI] REVS ST TAX A Interest Re d e e m e d 05ti5!09 K CEXEMPT OID1 9 . GREENW ICH ST.EMPLOYEES FUND A Inl./Div. J U

: 2 0 . CIH SMITII BA RNEY CGM IRA CUST-R2 1 . -GENERAL ELECTRIC CAPITAL CORP D interest M TCORPORATE BONDS2 2 . -GENERAL ELECTRIC CAPITAL CORP D Interest M TCOP,~PORATE BONDS2 3 . -COCA COLA EN ETRPRISE INC C l n t e r c s ~ M TNOTES-ZERO CPN CORPORATEBONDS2 4 . - GOVERNMENq" BONDS C Interest So ld 03;11/09 L2 5 . -BERKSHIRE HATHA WAY INC DTI) C Interest M T B u y 03.,q7/09 M04.r2-9/04 CORPORATE BONDS2 6 . CHARLES SCHWAB & CO INC CUST C Interest L TIRA ROLLOVER2 7 . VA NGUARD NEW YORK TAX-EXEMPr B Interest Sold 07/17/09 OMMF

2 8 . VA NGUARD INTER-TERM TAX C Interest Sold 07/17/09 M BEXEMPT ADM BOND FUND29 . VA NGUARD TOTAL STOCK MA RKET A Dividend So ld 07/17/09 L" INDEX B OND FUND ADM3 0 . THE VA NGUARD GROUP IRAROLLOVER - R3 1 . -VAN GUARD PRIME MONEY MARKET A Dividend N T Merged 0 7 / 1 7 , 0 9 NFUND (with l ine 33)3 2 . -VAN GUARD TOTAL BOND MARKET C Dividend M T Merged 07/I 7/09 MINDEX FUND (with l ine 33)3 3 . MORGAN STANLEY SMITIt BARNEY

IRA ROLLO\"ER ACCOUNT3 4 . -MORGAN STANLEY BANK N .A . Interest J T Open 0 7 1 1 7 / 0 9 N


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F IN A NC IA L DI S C LO S U R E R E P O R T N .... f Pe .... R e p o r t i n g I D a t e o f R e p o r ~Page 6 of 9 ~cG~, R E E N A1

0 5 / I I , 2 0 1 0

~ N O N E (No rcTortable income, assets, or trattsacliotls.)D e s c r i p t i o ~ o l A s s e ~ ~ I n c o m e d u r i n g G r o s s v a l u e a ~ e n d( i n c l u d i n g t r u s l a s s e t s ) r~o~ing period o f r ~ i n g pe r i o d

P l a c e " [ X ) " a f t e r e a c h a s s e l , A m o u n t ~ T~e le.g . . Value V a l u e T y p e { e . g . .e x e m p t t i o m p r i o r d ~ l o s u rt C o d e I d i v . . r e n t , C o d e 2 M e t h t~ d b u y , s e l l , ram/rid,)5 . (~de 2 : Code I b u y e r / s e l l c :~ [A-H) o r i n t 3 ( J - P ) C o d e 3 : r edempt i on) ~ I.l-P) IA-I ( i f p r i v a t e~ t r a n s a c t i o n )............................... [ ( Q -W ) [ .3 5 . -ISIIARES BA RCLAYS 1-3 YEARS A Dividend L T Bu y 07"23/0~ LCRED SHORT TERM BOND FUND3 6 . -VANG UARD TOTAL BOND MARKET A DNidend L T Bu y 07/23/09 L3 7 . -CALV ERI- SHORT DURATION INC A A Dividend L T Bu y 07,23/09 kMUTUAL t-U NDS3 8 . -DELAWARE LTD-rEP..M DIVERS 1NC P A Dividend K T B uy ( 1 7 . ~ 2 3 / 0 9 KMUTUAL FUNDS3 9 . -PRIMCO TOTAL RETURN A N IUTUAL A Dividend K 7 B u y 07/2 3;09 KFUNDS4 0 . -VIRTUS MILTI-SECTOR S,qBD A A Dividend K T B u y 07/23.09 KMUTUAL FUNDS4 1 . MORGAN STANLEY SMITH BA RNEYBROKERAGE ACCOUNT4 2 . -MORGAN STANLEY BANK N.A. A Interest M T Open 0%17/09 O4 3 . -NEW YORK N Y CITY TRANS FIN A I n t e r e s ~ K T B uy 07/30/09 KAUTH BLDG AID REV MUN[ BONDS4 4 . -ALBAN Y N Y INDL DEV AG Y CIVIC A Interest K T Bu y 08/19/09 KFAC REV MUNI BOND4 5 . -NEVADA ST MUNI BD BK MUNI A Interest K T B uy : 07/30/09 KBOND4 6 . -CALIFORNIA ST GENL OBLIG M UNI A Interest K T B uy ! 0 7 : 3 0 / 0 9 KBONDS4 7 , -NEW YORK N T GENL OB LIG SER-O A Interest L T B uv (]8/I 9/00 I.MUNI BONDS4 8 . -NEW YORK ST URBAN DEV CORP A Interest L T Bu y 08"0309 kEMP IRE ST DEV CORP SVC MUNIS4 9 . -NEW YORK N Y GEN L OBLIG SER D A I n t e r e s t L 7 Bu y 08/06/09 I.MUNI BONDS5 0 . -LONG ISLAND PWR AUTH N Y EI_EC A Interest K T Bu y 0 8 . . 2 0 / 0 9 KSYS REV-A MUN I BONDS5 1 . -ALBA NY N Y INDL DE\ AGY CIVIC A Interest K T Bu y 08/19/09 KFAC REV MUN] BONDS


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F IN A NC IA L D IS C L O S U R E R E P O R T S a ~ e o f r e ~ s * ~ ~ . p o , ~ .~ I ~ . ~ o ~ , p o , ~P a g e 7 o f 9 ~GG~. ~ENA 0 5 / 1 1 / 2 0 1 0Vll. INV ESTMENTS and TRUSTS - i ......... t ,~. ~ ..... "tions Oncluder ,ho, e of ,p ...... d dt~ndtn, rhildre,: see pp. 34-60 of filing instrucdon.s.)

~ N O N E (No reportable income, assets, or transactions.)F- ~. - - ~ ~ . c O1 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 t u e a t e n d [ ] ransac t ions dur ing rc~ing per iod n c l u d in g m t s t as s e ~ ) r e p o r t i n g p e r i o d o f r e p o s i n g p e r i o d t] (D ~ ~2"~ t~) ~ (2} O~ ~2.~ t-) i (4~ ~ 5 )] P l a c e " i X ) " a R e r e a c h a s s e t , ~ A m u n t T~c (e.g . , [ V a lu e V a lu e T~e {e .g . , D a t e Va uc : G a ig I d e n t i t y o f~ C o d e 1 d i v . . r e n t , C o d e 2 Meth t~ buy sell. mm,dd~yy C o d e 2 C o d e I buyer[seller~ exempt l?omphordisct . . . . . ,(A-H) , o r i n t . } [ ( J - P l " Code3 r e d e m p t i o n } ( J - P , [,A-H) (ifpdv/te ( Q W ) ~ " [ t r a n ~ c t m n ). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 . . . . . . . . . . . . . . . .: ._ : . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5 2 . -AMERICAN EX P~SS C~DIT CO A I m e r e s ~ K T B u y 0 8 : 2 0 / 0 9 KCO .ORATE B O ND S~ 5 3 . -GOLDMAN SACHS GROUP INC A Inlerest K T Bu y 08/200~ K~ CO O RATE BO N D S

5 4 . -MORGAN STANLEY CO~ORA~ A Interest K T Bu y 08/20/09 KBONDS5 5 . -WA CHOV IA CO~ CORPO~TE A Interest K T Bu y 08/20/09 K~ BONDS5 6 . -CALVERT SttORT DURATION 1NC C A Dividend K T Bu y 07/23/09 KMUTUAL FUNDS5 7 . -DRYDEN SB TRM CO~ BD C A Dividend K T Bu y 07,23/09 KMUTU~ FUNDS

~ 5 8 . -VIRTUS MULTI-SE~OR S,q BD T A Dividend K "r Bu y 07/23/09 KMUTUAL ~NDS5 9 , -WELLFS FARGO SltTTRM MUNI BD C A Dividend L T Bu y 07/30/09 L~ M~U AL FU ND S6 0 .


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F IN A N CIA L D IS C L O S U R E R E P O R T I N .... fPerxon Reporting DateofReportPage 8 of 9 RAGGI, REENA 0 5 / 1 1 / 2 0 1 0

VII1. ADDITIONAL INFORM ATION OR E X PLANATIONS. flndica,epartofRepor~.)

I)PART VII, PAGE 4, LINE #2: TH IS ACCOUNT WAS CLOSED ON JANUARY 30, 2009.21PART V II, PAGE 4, LINE #5: Tills ACCOUNT WA S CLOSED ON MAY 18, 2009.3)PART VII, PAGE 5, LINES#27 ,#28 ,#29: TH ESE ACCOUNTS WERE SOLD ON JULY 17, 2009 AND THE PROCEEDS WERE USED TO OPEN ANACCOUNT AT MORGANSTANLEY SMITHBARNEY ON JULY 17,2009.4)PART VII, PAGE 5, LINES#3,032: THIS ACCOUNT WAS CLOSED AND ALL F UNI)S \ \rERE MERGED TO OPEN A MORGAN STANLEYSMITHBA RNEY IRA ROLLOVER A CCOUNT ON LINE #33.5~PART VII, PAGE 6, LINE #58 : THIS ACCOUNT WA S OPENED ON JULY 17, 2009 FROM THE PROCEEDS OF THE V AN GUARD ACCOUNTS FROMLINE #27, LINE #28 AN D LINE #29.


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F IN A N C IA L D I S C LO S U R E R E P O R TPage 9 of 9 ~ C , a l, R E E N A I

I X . C E R T I F I C A T I O N .I ce r t i fy tha t a l l in fo rm a t ion g iven above ( inc lud ing in fo rma t ion pe r t a in ing to my spouse and m ino r o r depend en! ch ild ren , i f any) isaccu ra te , t ru e , and com ple te to the bes t o f m y knowledge an d be l i e f , and tha t any in fo rma t ion no t repo r ted was w i thhe ld becau se i t me t app l ic ab le s ta tu to ryprov i s ions pe rmi t t ing non-d i s c lo su re .I fu r the r ce r t i fy tha t ea rned inco me f ro m o u t s ide em ploymen ! and hono ra r i a and the accep lance o f g i f t s which have been repo r led a re incom pliance with the provis ion s of 5 U.S.C. app. 501 et . seq. , 5 U.S.C. 7353, and Jud icial Confere nce reg ulat io ns .

Signature__

NOTE: ANY INDIVIDUAL WH O KN OWING LY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIl ,AN D CRIMINA L SANCTIONS (5 U.S.C. app. 104)

FILING INS TRUCTIONSMail signed original and 3 additional copies to:Committee on Financial DisclosureAdministrative Office of the United States CourtsSui t e 2 -301One Columbus Circle, N.E.Washinglon, D.C. 20544

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Reena Raggi Financial Disclosure Report for 2009