dennis jacobs financial disclosure report for 2010

8/3/2019 Dennis Jacobs Financial Disclosure Report for 2010

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AO I0Rev. 1/2011

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10

Report Re quired by the Ethicsin Governm ent Act of 1978(5 U .S.C, app. ,~~ 101-111)

I. Person Reporting (last name, first , middle init ial)JACOBS, DENNIS

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or part-time)

Circuit Judge - Active

7. Chamb ers or Office AddressU. S. Courthouse500 Pear l St r ee tNew Yor k , N .Y. 10007

2. Court or Organizat ionCourt of Appeals, 2d Circuit

3. Date of Report05/02/201 I

5a. Report Type (check appropriate t3~e)] N o m i n a t i o n , Date[] Initial [] Annual [] Finalfib. [] Amended Report8. On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

Revie~tng Officer Date

6. Repor t ing Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete a l l parts ,check ing the NONE box fo r each par t where you have no repor tab l e in format ion . S ign on l as t page .

I . P O S I T I O N S . t R e p o , i n g individual only; seepp. 9o!3 of f il ing instructions. )~] NONE (No reportable posit ions. )POSITION NAME OF ORGANIZATION/ENTITY

2.

3.

4.5.

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

DATE PART IES AND TERM S


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FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r s o n R e p o r t in gJACOBS, DENNIS

D a t e o f R e p o r t05/02/201 I

I 1 1 . 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 fil ing instructions.)A. Filers Non-Investm ent Income~ N ONE (No reportable non-investment income.)

DATE SOURCE AND TYPE INCOME(yours , not spouses)I. 08 /10 P o etry Fo un d atio n , a r tic le f ee (se e p ar t V III fo r a d d ition a l in f o rm a tion ) $500.002.3.4.

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 - i f yo u wer e ma r r i ed d ur i ng a n y p o r t i o n o f t he r ep o r t i ng yea r , co mp l e t e t h i s s ec t io n .(Do l la r a m o u n t not required except for honorar ia . )

N O N E (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 - ,r ,, ns p ,, r , u t io ,, , lodging, food, entertainment.(Includes those to spouse an d dependent children; see pp. 25 -27 of filing instructions.)D NONE (No reportable reimbursements.)

SOU R CE DAT ES LOCAT ION PURPOSE ITEMS PAID OR P ROV IDED1 . US Dept. of State Feb. 5 - 12, 2010 Bangkok , Thai land In ter - jud ic iar y con f er ence T r a v e l , m e a l s , l o d g i n g2. H ar vard University Law April 23, 2010 C a m b r i d g e , M A De liv ere d le ctu re : "P ro T ra ve l, lu nc hSchoo l Feder a l i s t Soc ie ty Bono and the Publ ic Good"3. The Feder a l i s t Soc ie ty Novemb er 18 - 20 , Washing ton , DC D el i v e r ed t he 1 0 t h A n n u a l T rav e l , m ea l s , l o d g i n g2010 Barb a ra K . OIson M em oria lLec tur e4. Y a le U n iv er si ty Sc ho o l o f De ce m b er 6 , 2 01 0 New Haven, CT Panelis t : Morris Tyler Moot T r a v e l , m e a l s , l o d g i n gLaw Co urt Co m p etitio n5.


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N a m e o f P e r s on R e p o r t i n gJACOBS, DENNIS

D a t e o f R e p o r t05/02/2011

V . G [ F T S . a n c l u d e s ,h o s e t o s p o a ~ e u . d d e p e n d e n , children; see p p . 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . indade s those of spoase and dependent chi ldren; seepp. J2-3J of f i l lng instruct ions. )N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.4.5.

VALUECODE


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D a t e o f R e p o r t05/02/201 I

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 o , , , . ru e , t , u n s . c , io . , a ~ t ~ a ~ t h o ~ e o : , ~ o ~ o ~ . a a e p e ~ a ~ . t children; s e e p p . 3 4 - 6 0 of filing instruction~.)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 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 p e r i o d

O) (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 . ,exempl from prior disclosure Code I d i v . , r e n t ,( A - H ) o r int.)

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)Value Value

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

( Q - W )

O)T y p e (e . g . ,buy, se l l ,

redemption)

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

(2) (3) (4)D a t e Value G a i n

m r r d d d / y ~ C o d e 2 Code I(J-P) (A-H)

(5 )Identity of

buyer/seller(if private

transaction)

I. Muni Bond: New York ST DORM AUTH A InterestREVS SER-B-E.T.M. 7/I/902. Mu n i B o n d : L I N Y ~ A u E l e c S y s Ge n D InterestRv DTD 5/I/983. Muni Bond: Gr eenw ich NY Cen t Sch Dist C Interes t

Rf dg DTD 6/24 /024. Muni Bond: NY St Twy Auth H wy & Br dg C InterestRfdg Ser C 7 / I /025. Muni Bond: NY St TWY Auth H wy & Br dg C InterestRfdg Ser C DTD7/I /026. Muni Bond: NY St Twy Auth H wy & Br dg C InterestRfdg Ser B DTD 7 /I /007. Mur~i Bond: NYS Twy Auth Svc Cont Rev C Interes tRf dg DTD 8/7 /028. Muni Bond: NY St U DC Cor r & Youth Facs B InterestSvc Contrac t 11/26/029. Muni Bond: NYS Dor m Au Rev U ps ta te B InterestCNMTY 3/3/05

1 0 . Mun i Bond: NYC G/O Ser E RefFSA B Interest11/10/04I 1 . M u n i B o n d : N Y N Y S e r H - F G I C 3 / 2 9 /0 1 D Interest

M

LLL

L

KKKL

TTTT

T

T

T

.TT

Redeemed 05/15/10 K

R e d e e m e d 04101110

1 2 . M u n i B o n d : N Y NY R f d g - S e rG - 6 / 3 / 0 2 C Interest L1 3 . Muni Bond: NYSt .Thr uway Auth . 2nd B Interest KHighway & Br idge 9 /8/051 4 . Muni Bond: NYSt . Thr uway Auth . 2nd B Interest LHighway & Br idge 9 /8/051 5 . Muni Bond: NYC G/O Ser .O 6/2/05 B Interes t K

TTT

1 6 . Muni Bond: NYC G/O Ser C 8/3/05 B Interes t L1 7 . M u n i B o n d : N Y S t , Th ru w ay G en R ev S e r H B InterestI0/I 1/07

1. Incom e Gain Co des: A = $1,000 o r less B = $1,001 - $2,500 C = $2 ,501 - $5,000(See Columas B I and D4) F = $50,001 - $100,000 G ~$I00,001 - $1,000.000 HI =$1,000.001 - $ 5,000.000

2. Value Codes J =$15,000 or less K =$15,001 - $50.000 L -$50.001 - $ 100.000( See Columns C I and D3) N =$250.001 - $500,000 O -$500.001 - $ 1,000.000 P I =$1.000,001 - $ 5 . 0 0 0 . 0 0 0

P3 =$25.000.001 - $50.000.000 P4 =More than $50.000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =AssessmentISec Colunm C2) U =Book Value V = Othe r W = E:,timalcd

D =$5.001 - $15.000tt2 =More than $5.000.000M -$100.001 - $250,000P2 =$5.000.0OI - $25.000.000T = Cash Mark e t

E =$15.001 - $50.000


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Date of Report05/02/201 I

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 , , o . . a ~ u e ~ t r a n s a c t i ~ n s ( ~ n c ~ u d e s ~ h ~ s e ~ f s p ~ u s e a n d d e p e n d e n t c h i ~ d r e n ; s e e p p ~ 3 4 - 6 ~ f ~ i n g i n s t r u c t i ~ n ~ - )NONE (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 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 p e r i o d(I) (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 . ,exempt fromprior disclosure Code I div . , r en t ,( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)Value Value

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

( Q - W )

Type (e.g.,buy, se l l ,

redemption)

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(2) (3) (4)

Date V a l u e Ga inm m / d d / y ~ C o d e 2 C o d e 1(J-P) ( A - H )

(5 )I d e n t i t y o fbuyer/seller( i f p r i v a t e

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

1 8 .

20 .21 .22 .23 .24 .25 .26 .27 .28 .29.30 .31 .32 .

33 .34 .

Muni Bond: NYS U DC ST Per s Income Tax10/9/03Muni Bond: Met r o G ovt . Nashv i ll e &Davidson Co. Elec. 3 /1/01Muni Bond: Tam pa FL Sa le s Tax Rev R fdg10/6/10Muni Bond: Ar izona Tr ansp . Bd . Exc ise TaxSer A 1 I/I/07Muni Bond: Met r o G ovt . Nashv i ll e &Davidson Co. Rfdg JSer DMuni Bond: K ing Co . Wash Sch Dis t. No412 10/21/10Muni Bond: Baton Rouge LA Pub Impt .Sales Tax Ser B 9 /28/10Muni Bond: For t Bend Tex F lood Ctr l WaterSupply I0/1/10Muni Bond: Ohio S t . R fdg Com mon Schs .Ser C 10/8/10Muni Bond: N. Carolina ST. Grant AnticR e v V e h i c l e 8 / 5 / 0 9Muni Bond: U Conn . Ser A 5 /25 /10

C InterestA Interest

NoneNone

A InterestNoneNone

A InterestA InterestA InterestA Interes t

L

KKKKKKKKK

TT BuyT BuyT BuyT BuyT Buy

T Buy

T BuyT BuyT BuyT Buy

09/17/10 K09/23/10 K09/23/10 K09/22/10 K10/06/10 K09/14/10 K09/15/10 K10/12/10 K10/21/10 K10/18/10 K

Muni Bond: Ohio St . U n iv . Gen Rcp ts Rf dgSer D 10/6/10Money Marke t : Wes te rn Ass e t Gov t . MoneyFund, Class AChecking: Chase Manha t tan Bank, NYC

None KA Int./Div. MA Interest J

T

T

T

Buy 09/15/10 K

Fidel i ty R o l lover IRA F Int./Div.

- F ide l i ty Cash Reser ve s- Ba ron G r ow th Fund Sold(part) 07/21/10 K

I. Income Gain Codes:(See C ol um ns B I and D 4 )

2.Value Codes(see C ol um ns C I and D3 )

3. Value Method Codes(see Column C 2 )

A =$1,000 or lessF =$50.001 - $ 100.000J =$15.1)00 or lessN =$250.001 - $500.000P3 $25.1~0.001 - $50.000.000Q =AppraisalU =Book Value

B-$1,001 - $2,500G=$100,001 - $1,000.000K -$ I 5,001 - $50,000O= $ 5 0 0 , 0 0 1 - $ 1 , 0 0 0 .0 0 0R = C o s t ( Rea l E ~ la le O n ly )V :Olhcr

C =$2.501 - $5,000H 1 = $ 1 , 0 0 0 . 0 0 1 - $5.000.000L =$50.001 - $100.000PI =$1.000.001 - $5.000.000P4 -More than $50.000.0~OS =AssessmentW =E~limatcd

D =$5,001 - $15,000H2 - Mo re t h an $ 5 . 0 0 0 . 0 0 0M $100.001 - $250.000P2 =$5.000.001 - $25,000.000T = Cash Mark e t

E -$| 5,0~1 -


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D a t e o f R e p o r t05/02/2011

V I I. IN V E S TM E N TS a n d TR U S TS - i .... , , value , t ransa ct ions ( Includes those o f spouse and dependent ch i ldren; see pp . 34-60 o f f i l ing 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 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 p e r i o d

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

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)

V a lu e V a lu eC o d e 2 M e t h o d

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

O)T y p e ( e . g .,b u y , s e l l ,r e d e m p t i o n )

Transactions during reporting period( 2 ) ( 3 ) ( 4 )

D a t e Value Gainmm/dd/yy Code2 Code I

( J - P ) ( A - H )

(5)I d e n t i ty o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

35 . - RoyceTota l Re turn Fund36 . - Amer ican Growth Fund of Am er ica37 . - Dreyfus Mid-Cap Fund38 . - Bond: Fedl Hom e Loan Bank Bonds

Sold 07 /21/10( p a r t )Sold O7/2 I/I 0(part)Sold 07 /21/10(part)

KK

K

39 . - Bond: Fed l Far m Cr Bks Cons Bd40 . - Bond: Fedl Fa rm Credi t Banks FundingCorp41 . - Bond: Fedl Hom e Ln Bk 5/13 /I I

Redeemed 11/22/10

42 . - Bond: Fed l Far m CR Bks FDG 12 /20 /10 Redeemed 12/20/I 0 L43 . - Bond: Fed l H om e Ln Bk 11 /15 /I 144 . - Bond: Fed l H ome Ln Bk 11 /15 /1145 . - Bond: Fedl Home L n Bks Glb l 9 /16/1346 . - Bond: Fedl Home L n Bks 02/13 /1547 .48 .49 .

50 .

- Fidelity Contrafund- Tweedy Browne Globa l Va lue Fund- Eaton Vance La rge Cap Va lue Fund CL I

Sold 07~1/10(part)S o l d 0 7 ~1 / 1 0(part)

KK

- Bond: Fedl Fa rm Credi t Bk 2 /19 /1651 . - Bond: Fed l Far m Cr ed i t Bks Cons t 6 /4 /18

1. Income Gain Codes: A ~$ 1,000 or less B =S 1,001 - $2,500 C =$2,501 - $5,000 D = $5,001 - $15,000(See C ol um ns B I and IM) F ~$50.0OI - $100.000 G -$100.0OI - $1,000,000 HI =$1.000,001 - $5.000,0OO H2 =More than $5,000,000

2. Value Codes J $15,0OO or less K $15.001 - $50.000 L -$50,001 - $ 100,000 M =$ 100,001 - $250,000(See Columns CI and D3) N =$250.001 - $500.000 O -$500.001 - $1.000.000 P I = $ 1. 00 0, 00 1 - $5 ,0 00 .0 00 P 2 -$ 5, 00 0, 00 1 - $ 25 .0 00 .0 00

P3 -$25.000.0OI - $50.000.000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Asscssmenl T =C ash Markct(See Colun m C2) U = Bo o k V alue V O t h e r W =Eslimated

E = $ I 5 . 0 0 1 - $ 5 0 , 0 0 0


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D a t e o f R e p o r t05/02/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i.come, ,,alue, transactions (Includes those of spouse and dependent children: seepp. 34-60 of filing instructionsON O N E (No reportable income, assets, or transactions.)

Descr ip t ion o f Asse t s I n c o m e d u r i n g( in c lu d in g tru s t a s se ts ) r e p o rt in g p e r io d

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

exempt fromprior disclosure Code I d i v . , r e n t ,( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)Value Value

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

( Q - W )

(I)T y p ~ (e .g. ,

buy, sell ,redemption)

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

(2) (3) (4)D a t e Value G a i n

mm/dd/yy Code 2 Code I( J - P ) ( A - H )

I d e n t R y o fbuye r / s e l l e r

( i f p r i v a t e~ra ns a c t ion)

52 . - Fidelity US Governm ent Reserves

53. - B lackrock G lobal A ll ocat ion

54. - P im coT otal Return In s tl

55. - Ivy As se t S tra te gy Fun d CL I

56 . - Mor gan Stan ley Global Long /Shor t FundA57. - Templeton Global Bond Advisor Class58 . TIAA-CREF None L

Sold

B uy

B uy

B uy

B uy

B uy

T

01/22/10 O01/22/10 M01/22/10 N01/22/10 M07 /28/10 Mt l /22 / t01 M

59. - CREF Stock Account

I. In co m e G ain Co d es: A = $1,000 o r less B = $1,001 - $2 ,500 C = $2 ,501 - $5.000 D =$5.001 - $15,000(See C ol um ns B I and IM) F =$50.001 - $100,000 G =$100,001 - $1,000,0OO H I =$1.0(X).001 - $5,000.000 H2 =More than $5,000,000

2. Value Codes J =$15.000 or k~.s K $ 15 .001 -$ 50 , 000 L ~$50.001 - $100,000 M =$ 100,001 - $250,000ISee Columns C I and D31 N =$250.001 - $500.000 O =$ 500,0 01 - $1,0 00.0 00 P I = $1 .000. 001 - $5 ,000, 000 P2 =$5,000,001 - $25,000,000

P3 =$25.000.001 - $50,000.000 P4 =Mo re Ihan $50.0~0,0003. Value Method Codes Q -Appvai ,al R =Cost (R eal Esta te On ly) S = Assessm ent T =C ash Marke t

(S cc Co lun m C2 ) U =Book Value V = Othe r W =Estimated

E =$15,001 - $50,000


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N a m e o f P e r so n R e p o r t i n gJACOBS, DENNIS

D a t e o f R e p o r ~05/02/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. anaicatepartofrepoa.)

Par t I l l -A: Non- lnves tment Income:Line I : The f ee r ece ived f rom the Poe t ry Foun da t ion was sent by them to a cha r i tab le organiza t ion . A le t te r w i ll be sen t to the Comm it tee on Financ ia lDisc losur e wi th the nam e and addr ess o f the o r gan iza t ion .

Par t Vl l Inves tmen ts & Tr us t s :L ine 3 0 : For mer ly Wes ter n Asse t NY Money Mar ket ( name change on ly)Line 46: F ide l i ty Rol love r IRA: P lease note tha t the cor rec t da te on th is bond is : 02/13 /15, not 02/13 /05 a s l i s ted a t l ine 41 in the 200 9 Financ ia l Disc losureR e p o n


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Name of Person Repor t ingJACOBS, DENNIS

Date of Report05/02/2011

IX. CERTIFICATION.I c e r ti f y 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 in 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 s

a c c u r a t e , tr u 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 io 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 r yp 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 i f y th 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 ~ v h i c h h a v e b e e n r e p o r t e d a r e incompl i ance wi th t he p rov i s ions o f 5 U.S.C. app . 501 e t . s eq, 5 U.S.C. 7353, and Jud ic i a l Conference regu la t ions .

Signature: S/DENNIS J A C O B S

NOTE: ANY INDIVIDUAL W HO KNOW INGLY AND WILFU LLY FALSIFIES OR FAILS TO FILE TH IS REPORT M AY BE SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

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

dennis jacobs financial disclosure report for 2010

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