D NONE (No reportable positions.)

Transcription

1 Boudin, Michael (NMI) OIO Rev Report Required by the Ethics in Government ct of 1978 FOR CLENDR YER 2010 (5 U.S.C. app ) l. Person Reporting (last name, first, middle initial) 2. Court or Organization BOUDIN, MICHEL (NM!) U.S. COUR OF PPELS,!S CIR 05/26/2011 itle (rticle III judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. CIRCUI JUDGE - CIVE 7. Chambers or Office ddress U.S. COURHOUSE I COURHOUSE WY, SUIE 7710 BOSON, MSSCHUSES Sa. Report ype (check appropriate type) 6. Reporting Period D Nomination, Date D Initial [{ nnual Sb. D mended Report D 01/01/2010 Final to 12/31/ On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date IMPORN NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I. POSI! 0 NS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSIION NME OF ORGNIZION/ENIY I. Emeritus Member of the Council merican Law Institute 2. rustee or Co-trustee rust #1, rust #2 and rust #3 JI. GREEMENS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable agreements.) PR IES ND ERMS I. [NI] Vested pension plan account at former law firm, Covington & Burling 2.

2 Page 2 of9 BOUDIN, MICHEL (NMI) 05/26/2011 Ill. N 0 N-INVESMEN IN CO ME. (Reporting individual and spouse; see pp of filing instructions.). Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE ND YPE INCOME (yours, not spouse's) I Harvard Law School - teaching $9, B. Spouse's Non-Investment Income - (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) If you were married during any portion of the reporting year, complete this section. SOURCE ND YPE I Professorship at Harvard Law Schoo. 2. IV. REIMBURSEMENS -transportation, lodging,food, entertainment (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DES LOCION PURPOSE IEMS PID OR PROVIDED I. University of Pennsylvania 04/12/2010 Philadelphia, P Lecture ransportation, meals and lodging 2. New York University 04/13/2010 New York, NY Moot Court ransportation and meals

3 Page 3 of9 BOUDIN, MICHEL (NMI) 05/26/2011 V, GIFS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPION VLUE I. 2. VI, LIBILIIES. (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDIOR DESCRIPION VLUE CODE I. Harvard Universityll Education loan M 2. Bank of mericall Mortgage or.wll Wellfleet, M M

4 Page 4 of9 BOUDIN, MICHEL (NMI) 05/26/2011 VII. INVESMENS and RU s S D NONE (No reportable income, assets, or transactions.) - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.). B. Description of ssets Income during Gross value at end (including trust assets) reporting period of reporting period (1) (2) (!) Place "(X)" after each asset mount ype (e.g., Value exempt from prior disclosure Code I div., rent, Code2 (CH) or int.) (H) c. (5) Idelltityof buyer/seller (if private transaction) I. C & B PENSION PLN (see note I) G Int./Div. Pl 2. - Ranier Small/Mid Cap Equity - Schwab Stable Value Inst! Class II I-CREF REIREMEN PLN (see c Int./Div. L note I) - I raditional 6. -CREF Stock 7. Vanguard arget Retirement 2005 ccount Int./Div. J (see note 2) 8. Bank of merica acount Bos, M Interest M 9. D BankNorth acc't Orleans,M Interest J IO. UBS FINNCIL SERVICES, INC. (UBS) 11. RM Government Portfolio (UBS) Dividend N 12. Prudential Muni Fund (UBS)(formerly Interest J "Dryden Nat. Muni Fund") 1 - UBS US llocation Fund C (UBS) B Dividend M 1 UBS Bank US deposit account (UBS) Interest L 1 MORGN SNLEY (MS) Standard & Poor's Dep. Recpts (MS) c Dividend M ctive ssets ax Free rust ccount Interest N (cash equiv.) (MS) I. Income Gain Codes: =$ l,000 or less B =$1,001 - $2,500 C =$2,50 I - $5,000 (Sec Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HJ =$1,000,001 - $5,000, Value Codes J =$15,000 or less K =$15,00 I - $50,000 L =$50,001 -$100,000 (Sec Columns CI and D3) N =$250,001 - $500,000 0 =$500,00 I - $1,000,000 Pl =$1,000,001 -$5,000,000 P3 =$25,000,00 I - $50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment (Sec Column C2) U =Book Value V =Other W =Estimated D =$5,001 - $15,000 H2 =More than $5,000,000 M =$I 00,001 - $250,000 P2 =$5,000,001 - $25,000,000 =Cash Market E =$15,001 -$50,000

5 Page 5 of9 BOUDIN, MICHEL (NMI) 05/26/2011 VII. INVESMENS and RUSS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period ofreporting period Place "(X)" after each asset exempt from prior disclosure (I) (!) (2) (2) (l) mount ype (e.g. Value Value ype(e.g., Code I div., rent, Code2 Method buy, sell, (2) (3) (4) (5) Date Value Gain Identity of mm/dd/yy Code2 Code I buyer/seller (-H) or int.) (J-P) Code 3 redemption) (Q-W) (J-P) (-H) (if private trnsaction) 18. Sentinel Short Maturity Gov't (MS) Dividend L Buy 09/24/10 L MFS Investors Growth S FD CL B (MS) Dividend K Massachusetts State Bonds (I 0) (MS) B Interest Redeemed 07/01110 K Massachusetts State Bonds ( 12) (MS) B Interest K Davis New York Venture B (MS) B Dividend M 2 - Massachusetts State Bonds (I 0) (MS) Interest Redeemed 10/01/10 K 2 - Massachusetts State Bonds (13) (MS) Interest Redeemed 06/28/10 J 2 Oppenheimer LD erm Munic Dividend L Buy 09/24/10 L Massachusetts State Bonds ( 15) (MS) B Interest Redeemed 07/26/10 K Virginia Beach, V Bonds ( 18) (MS) c Interest L Virginia Beach, V Bonds (21) (MS) Interest Redeemed 03/01110 K Massachusetts State Bonds (3 7) (MS) D Interest Redeemed 06/28/10 M 30. I-CREF REIREMEN PLN. (see note 3) D Int./Div. Pl 31. -I Fundlf CREF stockij 3 - CREF {;)ho-@ ' "'''' 3 VNGURD IR CCOUN ll(see note 4) Dividend M l. Income Gain Codes: =$1,000 or less (Sec Columns Bl and D4) F =$50,001 - $100,000 B =$1,001 -$2,500 c 42,501 - $5,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 D =$5,001 - $15,000 E=$15,00l -$50,000 H2 =More than $5,000, Value Codes J =$15,000 or less (Sec Columns Cl and D3) N =$250,001 -$500,000 K =$15,001 -$50,000 L =$50,001 -$100,000 0 =$500,00 I -$1,000,000 Pl =$1,000,001 -$5,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment M =$100,001 -$250,000 P2 =$5,000,001 -$25,000,000 =Cash Market (Sec Column C2) U =Book Vuluc V =Other W =Estimated

6 Page 6 of9 BOUDIN, MICHEL (NMI) 05/26/2011 VII. INVESMENS and R us S D NONE (No reportable income, assets, or transactions.) - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.). Description of ssets (including trust assets) Place "(X)" after each asset exempffrom prior disclosure B. Income during reporting period (I) mount Code I (ch} (2) ype (e,g., div.;rent, or int) 3 - Index 500 Fund Windsor FunG Windsor II Fund. 38. FIDELIY IR CCOUN. see note 5) Dividend L Income Fund Growth and Income Fund Magellan Fund Scudder Cash Investment rust MMF. (see note 6) Rental House, Wellfleet, M. E Wellfleet, M- D rent house Interest Rent Rent J Pl Pl w w Bankmerica, Boston, M. Kauai, Hawaii, land. Interest None K 0 w Bank of Hawaii. Rental Prop., Cambridge, M. E Interest Rent J 0 w 49. MERRILL LYNCH General Electric stock. Dividend J CM money fund. Dividend J I. Jncomc Gain Codes: =$1,000 or less B =$1,001 - $2,500 C =$2,50 I -$5,000 D =$5,001 -$15,000 E =$15,001 -$50,000 (See Columns BI 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, Value Codes J =$15,000 or Jess K =$15,001 -$50,000 L =$50,001 - $100,000 M =$100,001 -$250,000 (Sec Columns CI and D3) N =$250,001 - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I -$25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =Book Value V =Other W =Estimated

7 Page 7 of9 BOUDIN, MICHEL (NMI) 05/26/ VII. INVESMENS and RUSS income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.). B. c. D. Description of ssets Income during Gross value at end ransactions during reporting period (including trust assets) reporting period of reporting period (!) (2) (!) (!) (2) (3) (4) (5) Place "(X)" after each asset mount ype(e.g., Value Value ype(e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (-H) or int.) (J-P Code3 redemption) (J-P) (-H) (ifprivate (Q-W) transaction) (2) 52. RUS #1 (see note 7) Dividend 5 - UBS US llocation Fund Class C Sold 02/02/10 J c (part) 5 - UBS US llocation Fund Class C Sold J (part) 5 - UBS US llocation Fund Class C Sold K 56. RUS#2 B Dividend M UBS US llocation Fund Class C Sold 11103/J 0 K D (part) 58. RM Government Portfolio (UBS) 59. RUS#3 Dividend RM Govrenment Portfolio J _ Income Gain Codes: (See Colwnns BI and D4} =$1,000 or less B =$1,001 - $2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,00 I - $50,000 F =$50,00J -$ 100,000 G =$100,001 -$1,000,000 HI =$1,000,001-$5,000,000 H2 =More than $5,000, Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,001 -$250,000 (See Columns CI and 03) N =$250,001 $500,000 0 =$500,001. $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,00 I - $25,000,000 P3 =$25,000,001 $50,000,000 P4 =More than $50,000,000 Value Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =Book Value V =Other W =Estimated

8 Page 8 of9 BOUDIN, MICHEL (NMI) 05/26/2011 VIII. DDIIONL INFORMION OR EXPLNIONS. (Jndicatepartofreport.) MICHEL BOUDIN, Report Dated May 30, 2007 CHMEN O PR VII Note 1: My Covington & Burling and I-CREF retirement plans involve tax-deferred income which is not fully calculated. I have therefore estimated "income" at 5% of year-end asset value. Note 2: Harvard Law School--in making a contribution to my teaching retirement account in made the contribution to a new Vanguard retirement fund instead of to my existing Harvard I-CREF account; the Vanguard fund invests in other Vanguard index stock and bond funds, whose holdings are unknown to me. Note 3: In all funds, dividends are reinvested, regular employer contributions are made for new investment in the CREF Stock fund. Income is estimated as 5% of asset value. Note 4: In all funds, dividends are reinvested; regular monthly employee contributions are made for new investment in the Index 500 fund. Note 5: In all funds, dividends are reinvested. Note 6: Dividends are reinvested. Note 7: he trust expired by its own terms during 2010, and its assets were liquidated (as reflected in the entries) and distributed as required.

9 Page 9 of9 BOUDIN, MICHEL (NMI) 05126/2011 IX. CERIFICION. I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ MICHEL (NMI) BOUDIN NOE: NY INDIVIDUL WHO KNOWINGLY ND WILFULLY FLSIFIES OR FILS O FILE HIS REPOR MY BE SUBJEC O CIVIL ND CRIMINL SNCIONS (5 U.S.C. app. 104) Committee on Financial Disclosure dministrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C