reena raggi financial disclosure report for 2010

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REENA RAGGI

United State~ Circui~ Judge

UNITED STATES COURT OF APPEALS

SECOND CIRCUIT

UNITED STATES COURTHOUSE

225 CADMAN PLAZA EAST

BROOKLYN, NEW YORK 11201

Augu st 11, 2011

Honorable Bobby R. BaldockChair , Comm ittee on F inancial DisclosureAd minis t rat ive Off ice of U.S. Cou rtsSuite 2-301

One Colum bus Circ le , N.E.W ashington, D.C. 20544

R e : Revised Disclosure Report for 2010

D ear J u d g e B a l d o ck ,

In response to you r le t te r of Ju ly 21 , 2011 (At tachm ent A) , my acc ountan t hasprepared a revised Financial Disclosure Report for 2010 (Attachments B & C), which I herebyt ransmit . I apologize for any inco nvenienc e to the Com mittee.

At the sam e t ime, I observe that the need to f i le this revised report does raise som econc ern, if even a cer t if ied accoun tant can f ind i t diff icult to prepare these repor ts . Might

the Com mittee (or its s taff) provide an y guidan ce for s implifying the process general ly orspecifically with respect to my report?

Very t ruly yours ,

cc: M r . J o h n M . T o w er sR a g o v i n & S p e r b e r

STANLEY M. ROGOVIH

JEFFREY M. SPERBER

Augus t 8 , 2011OF COUNSEL:

STEPHEN M. BERNSTEIN

BARRY KAPLAN

Hon. tLeena tLaggiUnited States Courthouse

225 Cadman Plaza Eas tBrooklyn, NY 11201

Dear Judge Raggi:

Pursuant to our telephone c onversation of today, enclosed please find the revised FinancialDisclosure tL~port for the calendar year 2 010, along w ith the letter you received from the JudicialCon ference of the United States Com mittee dated July 21,2011.

W ould you k ind ly s ign t he F inanc ia l Di sc losure Repo r t on page "9" where ind ica ted andmail i t in the envelope pro vided to the Com mittee on Financial Disclosure, as soon as possible

If you should have any questions, please feel free to call.

Very truly yours,

FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010

Report Required by the Ethics

in Government Act of 1978

(5 U.S.C. app. §§ 101-111)

1. Person R eporting (last name, first, middle initial)

R AG G I , R E E NA

4. Title (Arlicle III judges Indicate active or s~n lor status;m a g i s t ra t e j u d g e s i n d i c a t e f u l l - o r p a n . l i m e )

UNITED STATES CIRCUIT JUDGE

2 . C o u r t o r O r g a n i z a t io n

U.S, COURT OF APPEALS, 2ND CIR

Report Type (~heck appropriate type)

] N o m i n a t io n , D a te

[] Initial [] Anntlal

~ h. [ ’~ Am en d ed Rep o r t

] Fir~l

3. D a t e o f R e p o r t

0 8 1 0 8 / 2 0 1 1

6. R eporting Period

01/01/2010

12/31/2010

7. Chambers o r Oll’me Address

U .S . C O U R T HO U S E

2 2 5 CA DMA N PL A Z A EA ST

BROOK L Y N, NY 1 1 2 01

8.On the bas i s ef the in fo rmation con tained in thi s Repm’t and anymodi f i cat ions per tain ing thereto , i t i s , In my op in ion , in compliancewith appl icable laws and regula t ions .

R e v i e w i n g O f f ic e r D a t e

IMPORTA NT NO TES: The ins t rucaons accompanying th i s f orm mus t be fo l lowed. Com ple te al l par ts ,

checking the NONE bo x for each part where yo u have no reportable information. Sign on last page.

I . P O S I T I O N S . (R,Vor~,at~.a to , tT; ,eopp.

~ N O N E (No repo rtab le pos i t ions . )

POSITION

1 . M E M BE R , JU D IC IA L A D V IS O RY B O A R D

ME MB E R ,P AR I S H C O U NC I L

TRUSTEE

N A M E O F O R G A N I Z A T IO N / E N T IT Y

G E O R G E M A S O N S C H O O L O F L A W , C E N TE R F O R L A W A N D

E C O N O M I C S

C H U R C H O F T H E A S S U M P TI O N , B R O O K L Y N N E W Y O R K

W I L L I A M N E L S O N C R O M W E L L F O U N D A T IO N

I I . A G R E E M E N T S . ~ R o p o , ~ . ~ , , d i ~ t ~ . a l o . ~ : , . ~ , ~ , .

~ N O N E(No reportable agreements. )

p A R T I E S A N D T E R M S

F I N A N C IA L D I S C L O S U R E R E P O R T

N a m e o f P g r s o n R e p o r t in g

R A GGI , R EEN A

D a t e o f R e p o r t

08/08/2011

I II . N O N - IN V E S T M E N T I N C O M E . tReporan~ ~dJ~idu , ! ,d ~us o; ,*o pp . ~ .U

A. Fi le r ’s Non-Inves tmen t Income

~ N O N E (No reportable non-investment income.)

D A T E SOURCE AND TYPE(yours, not spouse’s)

1. 2010 N E W Y O R K U N I V E R S IT Y L A W S C H O O L - S A L A R Y $26,550.00

B . S p o u s e ’s N o n - I n v e s t m e n t I n c o m e - lf yeu w~r, married during any p ortion of the reporting year, com plete tlda section.

( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a .)

~ N O N E (No reportab le non - inves tmen t income. )

S O U R C E A N D T Y P E

IV . R E I M B U R S E M E N T S - -( I n c l u d e s t h o s e t o ~ p o u ~ e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f i J i n g i n s t r u c ti o n s . )

N O N E (No reportab le reimb ursemen ts . )

SOURCE ~ L O C A T I O N P U R P O S E IT E M S P A ID O R P R O V ID E D

1. UNIVERSITY OFP E N N S L Y V A N IA L A W

S C H O O L

01/28/2010 PH IL A D EL PH IA , PA M O O T COU R T H O TEL A N D M E A L

2. F E D E R A L B A R C O U N C IL 02/21/2010-03/01/2010 K O N A , H I PROF ESSION AL AI R FAR E , HO T E L AND ME ALSMEETING

3. FR I E NDS O F HE B R E W 03t10/2010-03/19/2010 JE RU SA LE M, ISR AEL P RO FESS IO NA L AI R FAR E , HO T E L AND ME ALS

UNIVERSITY MEETING

4. N E W Y O R K S T A TE B A R 05/22/201005/23/20113 B O LT O N LANDI NG , NY PROFF_.~SIONAL H O T E L A N D M E A L S

ASSOCIATION MEETING

FINANCIAL DISCLOSURE REPOR T

N a m e o f P e r so n R e p o r t i n g

R A G G I , R E E N A

08/08~011

V~] NONE (No repor table g i f ts . )

SOURCE

[ N O N E (No reportable liabilit ies .)

CREDITOR DESCRIPTION

VALUE CODE

F I N A N C I A L D IS C L O S U R E R E P O R T

Name of Person Reporting

Date of Report

08/08/2011

N O N E (No reportable income, assets , or transactions.)

A. B. C. D.

D e s c r i p t i o n o f A s s e t s Income during G ross value at end 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

(including trust as~ts) r e po rt i n g p er io d o f r e po rt i n g p e rio d

(1) (2) (1) (2) (l) (2) (3) 14) (5 )

P la c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g . , Value Value T y p e ( e . g . , D a te Value Gain I d e n t i t y o f

e x e m p t f i , o m p r i o r d i s c lo s u r e Code I d i v . , c e n t , Code 2 M eth o d b u y , ~ e l l , m m/ dd /y y C od e 2 C o d e 1 buyer/seller

( A - H ) o r i n t 3 O - P ) C o d e 3 r e d e m p t i o n ) ( I - P ) ( A - H ) ( i f p ~ v a t e

( Q - W ) t r a n s a c t i o n )

CITIBANK PREFERRED MONEYMARKET ACCOUNT(MMP)

CITIBANK CHECK ING ACCOUNT

CITI NEW Y ORK TAX FREE RESERVEMMF. R

C I TI G R O U P G LO B AL MKT S I NCACCOUN T NO.I - R

-U.S. TREASURY NOTES SER R 2011

DTD 01/02/2007

- N E W Y O R K S T U R B A N D E V C O R P

REV P.FDG-FSA BK/ENT DTD 1/1/94

-CORPORATE BOND - GENERAL EL EC

CAP COR P DTD-3/06/2008

-NE W YO R K C I T Y G / O S E R I DD

0 4 / 0 1 / 0 4 FiC 811/04

-NEW YORK N Y GENL OBL IG BDS-G-B/E DD 01/03/2008

-CERTIFICATE OF DEPOSIT

-NEW YORK CITY O/O SER M DD

4/28]05 F/C 10/1/05

-NE W YO R K S T DO R M AU T H S T P E R S

INCOME TA X REV ED- A - B/ E

- NY ST THRUW Y A UTH ST PERS INCM

TX REV BDS- B/ E DD 9 / 1 0/ 0 8

G R E E NW I C H S T.E MP LO YE E S FU ND

CITI PERSONAL WEALTHRETIREMENT PLANS-IRA

- GENERA L EL ECTRIC CA PITA L CORP

C O R P O R AT E B O NDS

- GENERA L EL ECTRIC CA PITA L CORP

A Interest

E Interest

D Interest

B Interest

C Interest

A Interest

C Interest

No n e

D Interest

E Interest

Matured

06/01/10

D --$5,00! -

1 4 2 = b i e r = t h a n $ 5 . 0 0 0 . 0 0 0

M ~ 100,001 -

P2--45,0~0,001 - $25,000.000

T =Cash Markca

N a m e o f P e r s o n R e p o r t in g

RAGGI, REENA

D a t e o f R e p o r ~

08/08/2011

A. B. C.

D e s c r i p t i o n o f A s s e t s Income during G r o ~ s v a l u e a ~ e n d

( in c l u d in g t r u s t a s s e t s ) r e p o r t in g p e r io d o f r e p o r t in g p e r i o d

(|) (2) (1) (2)

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 . , Value Value

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 1 d i v . , r e n t . C o 0 ~ 2 M e t h o d( A - H ) ~ r i n t . ) 0 " P ) Code 3

( Q - W )

T y p ~ ( e . g .,

buy, sdl,

r e d e m p t i o n )

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

(2) O) (4) (5 )

D a t e Value Gain I d e n t i t y of

m m / d d / y y Code 2 Code l I ~ y e f f s c l l e r

( ~ - P ) ( A - H ) (if prlv~e

t r a n s a c t i o n )

! 2 2 .

’24.

’26.

.C O C A C O LA E N E T R P R IS E I NC

NOTES- Z ERO CPN CORPORA TEB O N D S

-B E R KS HI R E HAT HAWAY I NC DT D0 4 / 2 9/ 0 4 CORPORA TE BON DS

MO R G AN S T ANLE Y S MI T H B AR NE YI R A R O L L O V E R A C C O U N T

-MO R G AN S T ANLE Y B ANK N.A.

- IS H A R E S B A R C L A Y S 1 - 3 Y E A R SC R E D S H O R T T E R M B O N D F U N D ¯

-VANGUARD TOTAL BOND MARKET

-C ALVE R T S HO R T DU R AT I O N I NC AM U T U A L F U N D S

-DE LAWAR E LT D-TE R M DI VE R S I NC

A MUTUA L F UNDS

- PRIMCO TOTA L RETURN A MUTUA LF U N D S

-VIRTUS MILTI-SECTOR s~r BD AMU T U AL FU NDS

- TEMPL ETON GL OBA L BD F D A

-TEMPLETON GLOB AL TOTAL RET A

MORGAN STANLEY SMITH BARNEYBROKERAGE ACCOUNT

-MO R G AN S T ANLE Y B ANK N.A.

- NEW Y OR K N Y CITY TRA NS F IN

AU T H B LDG AI D R E V MU N1 B O NDS

- A L B A N Y N Y I N D L D E V A O Y C IV I C

F A C R E V M U N ] B O N D

D I n t e r e s t

D Interest

A Interest

B Dividend

C Dividend

B Dividend

C Dividend

B Dividend

A I n t e r e s t M

B I n t e r e s t K

T Bu y

T B u y

02/04/10

02/04110

t . I n c o m e G a i n C o d e ~ : A =$1,000 o~ kss B =$1.00! - $2,500 C--$2,5OI - $5.000 D--$5,001 - $15,000

lSee Cohmms B 1 and D4) F ~$50,00! - $100D00 G - - $ 1 0 0 , 0 0 1 - $ 1 , 0 0 f l , ~ O 0 H I = $ 1 , O 0 0 , 0 0 | - $ 5 , 0 ~ 0 , 0 0 0 H2 =More than $5,000,000

2. Vahte C~ . t - - $ 1 5 . 0 0 0 o l e ~ K = $ 1 5 , 0 0 1 - $ 5 0 ~ 0 ~ 0 L --$50.~01 - $100#00 M - - ~ 1 0 0 .0 0 1 -

(See Cohmm~ CI and D3) N - - $ 2 5 0 . 0 0 1 - 5 5 0 0 , 0 0 0 O - - $ 5 0 0 , 0 0 1 - $ l , O 0 0 , O 0 0 Pl =$1.000,OOI - $5,000,000 P 2 = $ 5 , ~ 0 0 . 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0

P 3 = $ 2 5 J 3 0 0 ,0 0 ! - $ 5 0 .0 ~ 0 ,0 0 0 P ~ = M o t , : ~ h a n $ 5 0 , 0 0 0 ,0 0 0

3. V aJuc Meth~ Codes Q =A pixaital R =Cmt (R©al Estate Only ) S = Assessment T --Ca~b Market

(S~ Colurrm C2) U = B ~ k Va t ~ V --Other W =Estimated

Name ot Person Reporting

Date o f R e p o ~

08/08/2011

V I I . I N V E S T M E N T S a n d T R U S T S . . i , ~ o = e , v a u , , , . ~ n . . . a o n s ~na.,d,, ~o,o of ~o,,,o ,~,~ d o r a d o . , c h i ~ , . # ; ~ , ~p. 3 4 - 6 0 of flllng

~ N O N E (No reportable income, assets , or transactions .)

A. B. C . D.

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 Gro~ value at cod T r a n s a c d o m d u r i n g r e p o t t in 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 t s ) reporting pedod o f r e p o r t i n g p e r i o d

( I ) ( 2 ) ( t ) ( 2 ) (1) ( 2 ) ( 3 ) ( 4 ) (5)

Place "(X)" after each assetm o u n t Type {e.g.,a l u e V a l u e Type (e.g.,~ t e V a l u e G a i ~ I d e n d t y o f

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 1 d i v . , r e n t , Code 2 M e t h o d buy, sell, m m/dd/yy Code 2 C o d e 1 buyerlseller

{ A - H ) o r i n t o ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A o I - I ) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

- N E V A D A S T M U ~ B D B K M O N IB O N D

- C A L I F O R N I A S TG E N L O B L I G M U N IB O N D S

~ E W Y O R K N T G E N L O B L I G S E R - OM U N I B O N D S

-NEW Y ORKST URBANDEV CORPEMPIRE STDEV CORPSVCMUNIS

-NEW YORK N Y GENL OBLIG SER D

M U N I B O N D S

-LO NG I S LAND pWR AU T H N Y E LE C

S Y S R E V - A M U N 1 B O N D S

-ALBANY N Y INDL DEV AGY CIVICF AC REV MUNI BONDS

-AMERICAN EXPRESS CREDIT COC O R P O R A T E B O N D S

- G O L D M A N S A C H S G R O U P IN C

-MORGAN STANLEY CORPORATEBONDS

-WAC HO VI A C O R P C O R P O R AT EB O N D S

-C ALVE R T S HO R T DU R AT I O N I NC C

MU T U AL FU NDS

-DR YDE N S H T R M C O R P B D C

M U T U A L F U N D S

-VIRTUS MULTI-SECTOR S/T BD TMU T U AL FU NDS

-WE LL FS FAR G O S HT TR M MU N I B D CMU T U AL FU NDS

-T R IB O R O U G H B R DG & T U NL A U T HN Y R E V S S E R - A

-OPPENHEIMER LTD TERM NY MUNIC

B I n t e r e s t K

B Interest K

B Interest L

B I n t e r e s t L

B Interest L

B Interest K

B I n t e r e s t K

B Dividend K

B Dividend L

B Interest K

T B uy

09/27/10 K

03129/10 K

1. Incom e Gain Code~: A --$ 1,0~0 or Pets B ---$ 1,001 - $2,500 C --$2, ;50| - $5,000 D -r-15,001 - $15,000

(Se~: Co|unms BI and D4) F =$50,00| - $10gt, O00 G ~-.$ |00.00| . $1,000,000 H I - -$ 1 ,0 0 0, 00 1 - $5 .0 0 0. 0( ~ H 2 = M ot ~ I ha r. $ 5 .0 0 0, 00 0

2 . V alue C odes J = .$15 ,000 o r less K --$ 1~,001 - $ 50 ,000 L --$50 ,001 - $

( S~ C e l ~ m n* C I a nd D 3 ) N --$ 25 0.0 01 - $ 50 0.0 00 O =d;50 0,0 01 - $ 1,00 0.0 ~0 Pl ---$1.1~0,001 - $5,000,1~0 P2 - ~ 5 , 000 . 001 - $ 25 , 000 . 000

P3 --~25,000,001 - $~0.000.000 pa = M ore t h a n $ 50 . ~ 00 , 000

3 . V a/u e M ~ hod C ode~ Q = A p pr~ s a l R t~2ost (Real l~tate Only) S = A s s e s sm e n t T = C a s h M a rke t

($4~ {~olurrm C2) U =Book Va~t~e V ~he~ W =Est ima¢~l

N a m e o f P e r s o n R e p e r t lu g

R A GGI , R EEN A

08/08/20 ! I

V I I. IN V E S T M E N T S a n d T R U S T S ~in~m~a~u~,tran$ac~i~n$(~n¢~ud~sth~se~f~useandd~p~ndent¢hi~dr~n;s~¢pp~34.6~f~inginstr~¢~i~ns.)

~ N O N E (No reportable incom e, assets, or transactions.)A. B. C.

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 a r in g Gross value at end

( i n ~ l u d i n g m ~ s t a s s e t s ) r e p oR in g p er io d o f r e p or t i n g p er i o d

(!) (2) (1 ) (2 )

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 . , Value Value

~ x e m l x f ~ m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d

( A - H ) o r in t . ) ( J - P ) Code 3

(l )T y p e ( e . g . ,buy , sel l

r e d e m p t i o n )

Transact ions dur ing repor t ing p~od

(2) (3) (4) (5 )

Dat~ Value G a i n I d e n t i t y o f

mm/dd/yy Code 2 Code I b u y e r / r e l ] e r

( l - P ) ( A - H ) ( i f p r i v a t e

t r a n s a c t i o n )

IRA ROLLOVER .....

I . Income Gain Codes : A --$I,000 or k~ B = $ 1 ,0 0 1 - $ 2 ~ 0 0 C ~ 6 2 ,5 0 | - $ 5 ,0 0 0 D --$5.001 - $15,000

3. V~ M~ C~ Q =A~ R ~t (R~ E~ Only} S =~sme~ T ~sh M~

E - - - 1 ; I 5 , 0 0 1 - $ 5 o . o o o

F I N A N C I A L D I S C L O S U R E R E P O R T

N a m e o f P e r s o n R e p o r t i n g

08/08t2011

vm. A D D IT IO N A L I N F O R M A T IO N O R E X P L A N A T IO N S .

I )P AR T VI I, P AG E 7 . LI NE #51: THI S AC C O U NT WAS C LO S E D 1N JANO AR Y , 2010 AND ALL P R O C E E DS WE R E R O O LO VE R T O MO R G ANS T ANLE Y S MI T H B AR NE Y I R A R O LLO V E R AC C O U NT O N LI NE #20 ,

F IN A N C IA L D IS C LOS U R E R EP OR T

Name of Persen R eporting

0 8 / 0 8 / 2 0 1 1

I X . C E R T I F IC A T I O N .

I certi fy that a l l information given above ( including information p erta ining to my spou se and m inor or depend ent chi ldren, i f any) i saccurate , true , and complete to the best of my knowledge and belief , and that any information not reported was wi thheld because i t met applicable s ta tutoryprovis ions permi tting non-disclosure .

I f~rther cerlf fy that earned income f rom outs ide employment and honoraria and the acceptance of gi f ts which have been reported are in

comp liance wi th the provis ions of 5 U.S.C. app. § 501 eL seq. , 5 U.S.C. § 73S3, and Judicia l Conference regulations .

N O T E : A N Y I N D I V ID 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 I F IE S O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T TO C I V I LAND C R I MI NAL S A NC T I O NS ( 5 U .S .C . a pp . § 104)

Com mittee on Financ ia l D isclosure

A d m i n is t r a ti v e O f f ic e o f t h e U n i t e d S t a t e s C o u r t s

Suite 2-301

One Co lumbus Circ le , N.E.W ashington, D.C. 20544

An ]0R~. H201!

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Repo r t Required 0)’ the £thics

in Government Act of 1978

(5 U.S .C. app . §§ 101-111)

1. Person Repor t i ng ( l as t nam e, f i rs t , m i ddl e In i t ia l )

4. Tit le (Artlele IH J~dges indicate active or senior s tatus;m a g i s t ra t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e )

U N I T E D S T A T E S C I R C U I T J U D G E

7. Cha mbe r s o r Of f i ce Ad d re s s

U . S. C O U R T H O U S E

2 2 5 C A D M A N P L A Z A E A S T

B R O O K L Y N , N Y 1 1 2 0 1

2 . C ourt o r Organi za t i on

U . S . C O U R T O F A P P EA L S , 2 N D C I R

5a. Repor t Type (check appropr i a t e t ype)

] Nominat ion, Date

[] Initial [] Annual [] Final

S b . [] A m e n d e d R e p o r t

3. D a t e o f R e p o r t

0 5 1 0 1 / 2 0 1 !

6. R e p o r t i n g P e r i o d

0 1 1 0 1 1 2 0 1 0

1 2 / 3 1 / 2 0 1 0

8.O n t h e b a s i s o f t h e I n f o r m a t i o n c o n t a i n e d I n t h i s R e p o r t a n d a n ym o d i f m a t l o u s p e r t a i n in g t h e r e ~ o , i t i s , in m y o p i n i o n , I n c o m p l i a n c ew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n ~

R e v i e w i n g O f f i c e r D a t e

I M P O R T A N T N O T E S : The ins tructions accompanying this form must be fo l lowed. Complete al l par ts ,

checking the NO NE box for ea ch part where you have no rep ortable information. Sign on last page.

I. POSITIONS. cR~,o ,~ ,g

[] ¯ N O N E (No rep ortable posi t ions.)

POSITION

1 . MEM BER, JUDICIAL ADVISORY BOARD

M E M B E R , P A R I S H C O U N C I L

T R U S T E E

N A M E O F O R G A N I Z A T IO N / EN T I T Y

G E O R G E M A S O N S C H O O L O F L A W , C EN T E R F O R L A W A N D

E C O N O M I C S

C H U R C H O F T H E A SS U M P T I O N , B R O O K L Y N N E W Y O R K

W I L L I A M N E LS O N C R O M W E L L F O U N D A T I O N

N O N E (No repor tab le agreements .)

P A R T IE S A N D T E R M S

F I N A N C I A L D I S C L O S U R E R E P O R T

N a m e o 1 " P e r s o n R e p o r t in g

D a t e o f R e p e r t

05/01/2011

I H . N O N - I N V E S T M E N T " I N C O M E . C R e w , o r b ’ r ig indivldual and spouse; see pp. 17.24of filing

A. F iler’s Non-Investment Income[ ] N O N E (No reportable non-investment income.)

D A T E S O U R C E A N D T Y P E(yours, not s p o u s e ’ s )

1. 2 0 1 0 N E W Y O R K U N I V E R S I T Y L A W S C H O O L - S A L A R Y $26,550.00

B , S p o u s e ’ s N o n - I n v e s t m e n t In c o m e - t y y o u wer~ m arried during any portion of the reporting year, com pleU this

( D o l l a r a m o u n t n o t r e q u i r e d e . x ~ e p t f o r h o n o r a r i a . )

~] N O N E (No repo r tab le non- investment income.)

DATI~ SOURCE AND TYPE

I V . R E I M B U R S E M E N T S -- ,~ , ~ - ,a o n , toda,~ ~oo~ . e n , e r ~ , , "( I n c l u d e s t h o s e t o s p o u s e a n d d e p ~ n d ~ n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f i l in g i n s t r u c t i o n s . )

---] N O N E (N o reportable reimbursements.)

S O U R C E DATE~ L O C A T IO N P U R P O SE I T E M S P A I D O R P R O V I D E D

I. U N I V E R S IT Y O F

P E N N S L Y V A N I A L A W

S C H O O L

01/28/2010 P I t l L AD EL P H IA, P A M O O T C O U R T H O T E L A N D M E A L

2. F E D E R A L B A R C O U N C I L 02/21 1 201 0-03/01 /201 0 K O N A , H I P R O F E S S I O N A L A I R F A R E , H O T E L A N D M E A L SM E E T I N O

3. F R I E N D S O F H E B R E W 03110/2010-03119/2010 JE R U S A LE M , IS R AE L P RO FE S S IO NA L A I R F A R E , H O T E L A N D M E A L S

¯ U N I V E R S I T Y M EET I N G

4. N E W Y O R K S T A T E B A R 05/22/2010-05/23/2010 B O L T O N L A N D I N G , NY P R O F E S S I O N A L H O T E L A N D M E A L S

A S S O C I A T I O N M EET I N G

FINANCIAL DISCLOSURE REPORT

P a g e 3 o f 9

Name or Pe rson l ! . epor t lng

D a t e o l ’ R e p o r t

O~lOl /201 1

V . G I F T S . {indu~s those to spo ust and depe ndent children; see pp. 28.3 1 of filing lnstructions.)

N O N E (No reportable gifts.)

SOURCE ~

V A L I 2 1 ~

V I. LIABILITIES. a~’,,,~

[ N O N E (No reportable l iabil i t ies . )

CREDITOR DESCRIPTION

VALUE CODE

F I N A N C I A L D IS C L O S U R E R E P O R TPage 4 of 9

N a m e o f Per ~n R e p o r t i n g

Da te o f Re p o r t

05/01/2011

V I I . I N V E S T M E N T S a n d T R U S T S - . i.,o~., .a.e, t.o..ac~ o.s a.d,,d, t h o , o o ! , r o . . . d d o ~ . a , . t children; see p p . J 4 - 6 0 o : f i l i n g i n s t P u e a o n s . )

N O N E (No repor tab le income , as se t s , or t ransac t ions . )

A. B. C. D.

D e s c r i p t i o n o f A s s e t s In co me d ur 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 r i n g r e p o r t in 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 t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(1) (2) (l) (2) (l ) (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 alu e V alu e Ty p e ( e .g , D a t e V a l u e Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i ~ lo s u r e Co d e t d i v . . r e n t , C o d e 2 M e t h o d t r o y , ~ e l l , m m / d d / y y Co d e 2 Co d e I buyer/seller

( A - H ) o r in 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 ) m m s a c t i o n )

C l T IB A N K P R E F E R R E D M O N E Y

M A R K E T A C C O U N T ( M M P )

C I T I B A N K C H E C K I N G A C C O U N T

CITI NEW Y ORK TAX FREE RESERVE

M M F - R" CITIGRO U P GL O B AL M K TS INC

ACCOUNT NO, I - R

-U.S . T R EAS UR Y NOT ES S ER R 20 11D T D 0 1 / (Y 2 / 2 0 0 7

-NEW Y OR K S T UR BAN DEV C OR PREV RFDG-FSA BIUENT DTD 111/94

- C O R P O R A T E B O N D - G E N E R A L E L E C

C A P C O R P D T D - 3 / 0 6 /2 0 0 8

- N E~ Y O R K C I T Y G / O S E R l D D

04/01/04 F/C 811/04

- N E W Y O R K N Y G E N L O B L I G B D S - G -B/E DD 01/03/2008

* C E R T I F I C A T E O F D E P O S I T

- N E W Y O R K C I T Y G / O S E R M D D

4/28105 F/C I0!1/05

- N EW Q O R K S T D O R M A U T H S T P E R S

I N C O M E T A X R E V E D - A - B /E

- N Y ST T H R U W Y A U T H S T P E R S I N C M

T X R EV B D S - B / E D D 9 1 1 0 /0 8

G R F . ~ N W I C H S T . E M P L O Y E E S F ~ N D

i 1 5 . C I T I P ER S O N A L W EA L T H

R ET I R EM EN T P L A N S - I R A

16 . - G E NE R A L E L E C T R I C C A P I T A L C O R P

CORPORATEBONDS

1 7 . ’ - G E N E R A L E L E C T R I C C A P I T A L c o R P "C O R P O R A T E BO N D S

In te res t

In t e r e s t

In te res t

In t e r e s t

In te res t

In t e r e s t

In te res t

M a t u r e d 06/01/10

I . I n c om e G a i n C o d e s : A = $ I , 0 ~ 0 o r less B = $ 1 , 0 0 I - $ 2 , 5 0 0 C = $ 2 , 5 0 1 - $ 5 . 0 0 0 D - = $ 5 . ( X ) I - $ I 5 , 0 0 0

(S e e C ol u m ns BI a nd D 4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 O 0 G = $1 00 ,0 01 - $ 1,0 00 .0 00 H I ~ $1 ,0 00 .0 01 - $ 5, 00 0.0 00 H 2 = M o re t ha n $ 5 , t ~0 , ~0

2. Valae Codes J =$15.000 or l ess K ~ 15,001 - $50,000 L =$50,001 - $ 100, t~0 M ~ 1oo,001 - $250,000

{ S e e C o l u m n s C I m d D 3 ) N = ~ 2 5 0 , 0 0 1 ¯ $ 5 0 0 , 0 0 0 0 ~300.0<)1 - $l ,0~0.O00 PI -~ I ,O00,00l . $5.000,00~ p2 =$5,000,001 - $2.~ JJ~,0~0

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0 P4 =M ore than $~0,000.000

3. Valae Method Codes Q =Appra i sa l R = C oi l (Re a l Es t at e O nl y ) S ~ A s s e s sr n e n t T = C a + h M a rke t

(See C o l u m n C 2 ) O = Book Va b t e V = O t h e r W = E , s t lm a n ’ d

E - - ~ 15,001 - $ S 0 , 0 0 0

F ~ N A N C I A L D I S C L O S U R E R E P O R T

Na me o f P e r so n R e p o r t in g

D at e of Repor t

05/01/2011

[] N O N E (No repor tab le income , as se t s , or t ransac t ions . )

A. B. C.

D e s c r i p t i o n o f A s ~ e t ~ In co m e d ur ing Gross v a lu e a t en d

( i n c l u d i n g t r u s t a s s e t s ) reposing period o f r e p o t t i n g p e r i o d

(1) (2) (1) (2)

P l a c e " ( X ) " a t t a r e a c h a s s e t A m o u n t T y p e ( e . g . , V a lue V a lu e

e x e m p t f r o m p r i o r d i s c l o s u r e Co d e I d i v . , r e n t , C ode 2 M e t h o d

( A - H ) o r i n t . ) ( J - P ) C o d e 3

T r a n s a c t i o n s d u r i n g reporting period

O) (2) (3) (4) (5 )

T y p e ( e . g ., Dale Value G a i n ldemity ofbuy, sel l , m m / d d /y y C o d e 2 Co d e I buy erlse lle r

r e d e m p t i o n ) ( J - P ) ( A - B ) ( i f p r i v a t e

tran~ction)

- C O C A C O L A E N E T R P R I S E IN CN O T E S - Z E R O C P N C O R P O R A T E

B O N D S

- B E R K S H I R E H A T H A W A Y I N C D T D

0 4 /2 9 /0 4 C O R P O R A T E B O N D S

M O R G A N S T A N LE Y S M I T H B A R N E YI R A R O L L O V E R A C C O U N T

- M O R G A N S T A N L E Y B A N K N . A .

-ISHARES B ARCLAYS 1-3 YEARSCRED SHORT TERM BOND FUND

- V A NG U A R D T O T A L B O N D M A R K E T

- CAL V ERT SH O RT D U RATIO N INC AM U T U A L F U N D S

- D E LA W A R E L T D - T E R M D I V E R S 1 N C

A M U T U A L F U N D S

- P RIM CO TO TAL RETU RN A M U TU ALFUNDS

- V IRTU S M IL TI - SECTO R S/ T B D AM U T U A L F U N D S

- T E M P L E T O N G L O B A L B D F D A

. T E M P L E T O N G L O B A L T O T A L R E T A

M O R G A N S T A N L E Y S M I T H B A R N E YB R O K E R A G E A C C O U N T

- M O R G A N S T A N L E Y B A N K N . A .

- N EW Y O R K N Y C I T Y T R A N S F I NAU TH B L D G AID REV M U NI B O ND S

-ALBANY N Y INDL DEV AGY C IVICFAC REV M U N! B O ND

D I n t e r e s t

I n t e r e s t

Dividend

I n t e r e s t

T B u y

02/04110

02/04/10

02/04110

F ~ N A N C IA L D I SC L O S U R E R E P O R T

N a m e o f P e r s o n R e p o r t in g

R A GGI, R EEN A

Da te o f Re p o r t

05/01/2011

V I I . I N V E S T M E N T S a n d T R U S T S . . i,,o,,e. ~a~,,. tra.s,~ao,,

N O N E (No repor tab le income , as se t s , or t ransac t ions . )

A. B, C. D.

D es cr i p t i on o f As s e t s In c o m e d u r in g G ro s s v a lu e a t e n d T ra n s a c tio n s d u r in g r e p o r tin g p e ~ o d

( in c lu d in g tru s t a s s e ts ) r e p o r t in 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) (I) (2 ) {I ) 12) (3) (4) (5 )

P ~ 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 lu e V a lu 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 f

e x e m p t f r o m p r i o r d i s c l o s u re Code | div . . r e n t , C o d e 2 M e t h o d buy, , , ;e l l , m m / d d / y y C o d e 2 C o d e ! b uyer / s e l l e r

( A - H ) or i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) (A -H ) ( if p r iv a te

( Q- W ) t r ans ac t i on )

- NE V A D A S T M U N I B D B K M U N IBOND

- C A L I F O R N I A S T G E N L O B L I G M U N 1

-NEW YORK N T GBNL OBLIG SER-O

MUNI BONDS- NE W Y O R K S T U R B A N D E V C O R P

EM P IRE ST D E V C O R P S V C M U N I S

- N E W Y O R K N Y G E N L O B L I G S E R DMUNI BO NDS

- L O N G I S LA N D P W R A U T H N Y E L E C

SYS REV-A MUNI BONDS

- A L B A N Y N Y I N D L D E V A G Y C I V I CF A C R E V MUNI BONDS

. A M E R I C A N E X P R E S S C R E D I T C O

C O R P O R A T E B O N D S

-GOLDMAN SACHS GROUP INCCORPORATE BONDS

- M O R G A N S T A N LE Y C O R P O R A T E

-WACHOVIA CORP CORPORATE

-CALVERT SHORT DURATION INC CM UTUAL FUNDS

-DRYDEN SH TRM CORP BD CM UTUAL FUNDS

-VIR TU S M U L T I - S E C T O R s / r B D T

M U T U A L FUNDS

-WELLFS FARGO SHT TRM M UNI BD CM UTUAL FUNDS

-TRIBOROUGH BRDG & TUNL AUTHNY REV S SER-A

-OPPENHEIMER L T D T E R M N Y M U N iC

B I n t e r e s t

B Dividend

B I n t e r e s t

T Bu y

T B uy

09/27/10

0 3 / 2 9 1 1 0

I . In co n ~ G a i n Co d ~: A - - ~ 1 . 0 0 0 o r l o s s B =$1,001. $2,500 C = $2,501 - SS,000 D = $5,001 - $15,000

(See Columns B ] and D4) F = $ 5 0 , 0 0 1 - $ 1 0 0 .{ 3 0 0 G ~ $ 1 0 0 ,0 0 1 * $ 1 ,0 0 0 .0 0 0 H I = $ 1 . 0 0 0 . 0 0 1 - $ 5 . 0 0 0 . 0 0 0 H2 = Mtwe than $5.0~0.000

2. Va |uq Codl~ J = $ 1 5 . 0 0 0 o ~ l e s s K ~ 15.001 - $50,000 L = - ~ 5 0 , 0 0 1 - $ 1 0 0 , 0 ( ~ M ~$100,~01 - $250,000

(Se e Co l u mn s CI a M 03) N -- , $ 25 0,0 01 - $ 50 0, 0 00 O = .$ $~ 0,0 01 * $ 1,0 00 ,0 00 P I = $1 ,0 ~ 0, 00 1 . $ ~ ,0 ~0 ,0 00 P 2 =$ 5, 00 0, 00 1 - $ 25 ,0 00 .0 ~0

P 3 = $ 2 5 , 0 0 0 . 0 0 1 . $ 5 0 . 0 0 0 . 1 3 0 0 P 4 = M o r ~ t h a n $ 5 0 , ~ 0 0 ,0 0 0

3. Value Method Codes Q =Appra i sa l R = C o s t { R e a l E s t a ~ e O n l y ) S = As s e s s m e n t T = C a s h M ~ k e t

(S e e C ol u m n C 2 ) U = Book Va l u e V = O [ h e r W =Est imalcd

F I N A N C IA L D I S C L O S U R E R E P O R T

N a m e o f P e r so n R e p o r t i n g

RAGGI , REENA

0 5 / 0 1 t 2 0 1 1

V H . I N V E S T M E N T S a n d T R U S T S - t n c o m , , v a ~ n , . , .~ n s a c a o n s a n c ~ d ~ s , h o s e o y s p o . . s e . . d ~ e m d e , t children; see pp. 3 4 . ~ 0 o f f l t i n g i n s t m c t l o n s . )

~ (No repo rtable income, assets , or transactions.)O N E

A, B , C . D,

D e s o ’ i p d o a 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 i o n s d u r i n g r e ~ o r t i n g p e r i o d

( i n c l o d i n g a ’ u s t a ~ s e t s ) r e p o rt i n g p er i o d o f r e p or t i n g p e r i o d

(!) (2) (I) (2) (! ) (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 lu e V a lu e T y p e ( e . g . , D a t e V a lu e G a in I d e n t i t y o f

e x e m p t f r o m p r i o r d i ~ l o su 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 I 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 s a c t i o n )

I. Income Gain C’odes: A .v.$ 1.000 ca. les~ B = $ L 0 0 1 - $ 2 , 5 0 0 ¢ - ~ $ 2 . 5 0 t . $ 5 . ~ 0 0 D = $ 5 , 0 0 | - $ 1 5 . ( ] 0 0

~ec Co lum ns B ! am t D4 ) F=$50.00| - $ 1 ~ 0 . 0 0 0 G = $1 00 .0 0t - $ 1 .0 00 00 00 H I = 1 1. 00 0,0 01 - $ 5.0 00 .0 00 H 2 = M o t e t h a n $ 5 , 0 0 0 . 0 0 ~

2. Value Codes J = $ 1 5 ,0 0 0 o r l e s s K - -$ 1 5 .0 0 1 - $5 0 .0 0 0 L = $ 5 0 .0 0 1 - $ 1 0 0 ,0 0 0 M - - $ 1 0 0 . 0 0 1 - $ 2 5 0 . 0 0 0

( S e e C o lu m n s C I a n d D 3 ) N -~ 250 ,0 0 1 ¯ $50 0 ,0 ~0 0 =$~0 0,0 0 1 - $1 ,0 0 0,~ 00 P I =$ 1 ,0 0 0 ,0 0 1 - $ 5 ,0 0 0 ,0 0 0 p 2 = $5,000 ,001 . $25. 000 . 000

P3 = $ 2 5 . 0 0 0 . 0 0 1 - $ . $ 0 . 0 0 0 . t J ] o P 4 = M o t e t h a o $ 5 0 . 0 0 0 . 00 0

3 . Va lue M e , th e , d ~ode s Q = A p p r a i u tl R - - C o s t ( R e a l E . ~ l a l ¢ O n l y ) S = A s s e s s m e n t T - - - C a s h M a r k e t

~S~e Co l umn C’2) U = B o o k V a l u e V --O~h e r W =Estimated

FINANCIAL DISCLOSURE REPORT

P a g e 8 o f 9 Ia m ¢ o f P e r s o n R e p o r t in g

RA G G I , RE E N A

D a t e o f R e l m r t

0 5 ~ I / 2 0 1 1

VIH. ADDITIONAL INFORMATION OR EXPLANATIONS.

F I N A N C IA L D I S C L O SU R E R E P O R T N .~

of 9 R A G G I , R E E N A

Da le o f Re p o r t

05/01/2011

I X . C E R T I F I C A T I O N .

I c e r t i fy t h 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 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 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 t a t u t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u re .

I f u r t h e r c e r ti f 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 nc o m p l i a n c e w i th t h e p r o v i s i o n s o r s U . S . C . a p p . § 5 0 1 e t . s e q . , $ U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

N O T E : A N Y I N D M D U A L W l t O K N O W I N G L Y A N D W I L F U L L Y F A L SI F IE S O R F A I LS T O F I L E 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 LAND C R IM INAL S ANC T IONS (5 U.S .C . a pp . § 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 lo s u r eA d m i n i st r a t iv e O f f i ce o f t h e U n i te d S t a t e s C o u r t sS u i t e 2 - 3 0 1

O n e C o l u m b u s C i r c le ,

W ashington, D.C. 20544

reena raggi financial disclosure report for 2010

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