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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization U.S. Couct of Appeals for the Second Circuit 5a. Report Type (check appropriate type) [] Nomination. ~ Initial Date ~ Annual ~ Final

Report Required in Government Act of 1978

by the Ethics

15 u.s.c, app. 1o1-111.)

3. Date of Report 5/9/2010 6. Reporting Period 01/0[/2009 to 12/31/2009

1. Person Reporting (last name, first, middle initial) Livingston, Debra A. 4. Title (Aaicle II1 judges indicate active or senior status; magistrate judges indicate full- or part-time) United States Circuit Judge Active status.

5b. [] Amended Report 7. Chaml~rs or Office Address Uniled States Courthouse 500 Pearl Street Nev, York, New York 10007 8. 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 regnlatioz~. Reviewing Officer

Dale

IMPORTANT NOTES: The 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. POSITIONS. {Reporting indi,,idual only ....

[~ NONE (No reportable positions.)

pp. 9.13 of fding instructions.)

POSITION
I. Paul J. Kellner Prot~ssor of Law

NAME OF ORGANIZATION/ENTITY
Columbia Law School

4.

: 1)

__
.Z:.:. .

II. A G REEMENTS. ~,~o~i,,g individual vary; see pp. 14-16 of filing instructions.)
~ NONE (No reportable agreements.)

~3

O~

PARSES A~
l. 2/!999 Wolters-Kluwer Law & Business[Aspen Publishers. Royalty payments on sales of co-authored case book, Comprehensive Criminal Procedure

2. 2007

See Part Vlll. Additioual hdbrmation.

Livingston, Debra A.

FINANCIAL DISCLOSURE REPORT

Page 2 of 8

Name
Livingston, Debra A. ] 5/9/20!0

III. NON-INVESTMENT INCOME. t~o~,,g

A. Fliers Non-Inv~tment Income
NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not s~uses) $11,151.24 $24,613,98

1.4.4,09 2. Bi-weekly 3. 4.

Wolters-Kluwer Law & BusinesslAs~n Publishers (~y~ties) Columbia Law School (tot~ 2~ W-2 s~)

B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar t~rnount not required e.reept for honoraria..)

NONE (No reportable non-investment income.) DATE I. 2. 3. 4, SOURCE AND TYPE

IV. REIMBURSEMENTS ..,~..,por~.~io., lodging, food, entertai ......

~hrchtdes those to spouse and dependent children; aee pp. 25-27 of filing instructions.) ~ NONE (No reportable reimbursements.) ~ 1. 2. NoWe Dame Law School Yale Imw Sch~l ~ ~I 8-2/2012~ 2/2812009-311/2~9 LOCA~ON South Bend. Indiana New Haven, CT PURPOSE moot conn judge I~MS PAID QR pRQVIDED transportation, I~ging, meals

Federalist Society National .... Student Symposium Meeting on CriminN Procedure c~se book Moot comt judge trans~rtalion

3.

Wolters-Kluwer Law & BusinesslAs~n Publishers U.Michigan Law Sch~l ABA & Noohwestem Law Sch~l Federal B~ Council

3~2712~

Boston, MA

4. 5.

3/31-4~,~39 5/28-513012~

Ann Arbor, MI Chicago, IL

transpo~ation, lodging, meals

Speaker, ABA Appellate .... Practice Institute Panelist, 2~N FNI Bench and B~ Retreat

6.

10123-10/25~N

~nox, MA

FINANCIAL DISCLOSURE REPORT Page 3 of 8

7. Harvard Law School i0129/2009

Na~, of Person Reporting

Date of Report 5/9/2010

Livingston, Debra A.
Classroom Spe~ker for Professor John Manning transportation

Boston, MA

FINANCIAL DISCLOSURE REPORT Page 4 of 8

Livingston, Debra A.

519/2010

V. GIFTS. ancludes ~o,e to spo,,, and dependent children; see pp. 28.3t of filing instruct~ns.)
NONE (No reportable gifts.)

~
1. 2. 3. 4. 5.

DESCRI~ON

VAL~

VI. LIABILITIES. a, cl~d,, thos, o:sp .......

[~ NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5. The School at Columbia Ut~ivetsity

d depe.d .... hildren; see pp. 32-33 of filing instructions.)

DESCRIPTION
Agreement to pay grade school tuition

VALUE CODE
j

FINANCIAL DISCLOSURE REPORT Page 5 of 8 VII. INVESTMENTS and TRUSTS .- i ........

N~e or Ve,~on ~po~i.~ Livingston, Debra A, ~, , ...... ~o,~ (Includes those of sp ......

Oate
519/20t0

d dependent children: see pp. 34-60 of fihng instruct~,ts.)

~ NONE (No reportable income, assets, or transactions.)

................ ~ ............................... B. ...... . "~ .................... ~.

~scfiption of Assets (including trust assels) Peace "(X)" after each asset exempt from prior disclosure Income during reporting ~ri~ Amount Code I (A-H) ~ l. 2. Citibank, NY, NY Chec~ng and Savi~gs CREF Stock Fund Fidelity Contrafund 4. 5. 6. 7. 8. 9. I0. I 1. 12. 13. 14. 15. Fidelity Convertible Security Fidelity Growth Co Fidelity Equity Income I1 Fidelity Magellan NYS Dormitory Authority Bonds TIAA Real Estate TIAATraditional Annuity U,S. Savings Bonds Vanguard 078 Asset Allocation Vanguard 081 International Growth Vanguard 122 Life Growth Portfolio Vanguard t63 NY Tax Exempt A B A A B A B A A A A B B A Interest None Dividend Dividend Dividend Dividend Dividend lnteresl Dividend Interest None Dividend Dividend Dividend Interest Dividend Ty~ [e.g., div., rent, or int.) Gross value at end [ of repoffing period Value : Code 2 (LP) : L K K K K K K J L K J K L K K M Value Type (e.g., Method ~ buy, sell, Code 3 ~ redemption) (Q-W) 1_ _ T T T T T T T T T T T T T T T T Buy (addl) Buy (addl) 12/28/09 12/28/1..u) .1 J Date .mm/d~yy Value C~e 2 (J-P)

" ..............

Transactions during repoaing period

Gain Code I (A-H) ~

Identity buyer/seller (ifprivate transaction)

. 16. Vanguard 526 Morgan Growth Admiral

i17.
:

lncome Gain Ccaleg: Columns BI and D4) 2. Value Codes

A =$1,(~} or less F =$50,001 + $100,000 I =$15,000 or les~

B =$1,001 - 52.500 O =$100.0Ol $I.0(R).(Y,)O K =$15,00l - $50,000

C =52,501 - ~5.000 HI =$l.t~0,001 - $5.0OO.t)O0 L =550,001 - $10(h000

D =$5,1h)1 - $15.00(/ FI2 =More (ban M =$100J)0l $250,000

FINANCIAL DISCLOSURE REPORT Page 6 of 8

Name of Person Reporting ] Livingston, Debra A.

Dat~ of Report

VII. INVESTMENTS and TRUSTS .. ~ ......... ~, lransactions (Includes those of ~p ........ d dependen~ children; see pp. 34-~0 of filing instructions.)
NONE (No reportable income, asse~s, or tran~ac6ons.)

~.~ ...................... ~ ...........~ ........................ ~ .....................................

Dc~ription of As~ (including t~st ~sets) Place "(X)" ~r each asset exempt from prior disclosure Income d~ring reporting ~dod ~) (2) Amount Ty~ (e.g.. Code [ div.. rent. or int.) : ~A-H) Gross value at end ~ of reporting period 1~) 12~ Vatuc Value C~c 2 Meth~ (J-PI Code 3 (Q-W) L M K K M K K M J L T T T T T T T T T Transactions dud~g reporting tl~ Ty~ ~e.g., buy. sell. redemption) : (2) (3) t4) Dale Value ;m~d~yy Code 2 C~e 1 (5) buyerlseller transaction) Buy (addl) Buy (addl) 12123/09 J 12128109 J

18. 19. 20. 21. 22. 23. 24. 25. 26. 27.

Vangu~d 548 Sm~l Cap Admiral Vangu~d 593 Growth & Income Admiral Vanguard College M~ Age-B~ed M~ G~th (~ 529 pl~) Vangu~d Hi-Yield Co,orate Vanguard Index 500 Vanguard Inflation-Protected Securities Vanguard REIT Index Fund Vanguard Wellington Fund Western Asset Government Money Market Western Asset Money Market

B C

Dividend Dividend None

B B A B C A B

Dividend Dividend Dividend Div idend Dividend Interest Interest

FINANCIAL DISCLOSURE REPORT Page 7 of 8

] Name of Person Reparting

[ Livingston, Debra A.

Date of Repor~ 519/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. CZ,ai~pa,~o/R~por,.~

Part II. Agreements. -I remain a member of the faculty at Columbia Law School, teaching a reduced schedule consistent with my primary obligation to the judiciary. I receive cumpensation that is consistent with the outside earned income limitations applicable to judges, l have an agreement with the University that while I remain a faculty member(and subject to all outside e,wned income and employment provisions of 5 U.S.C. 501-505 and Judicial Conference regulations thereunder), I am eligible for the Primary Tuition Scholarship (PTS), which covers 50% of the tuition at my sons grade school, as well as the college Tuition Exemption Program (for a child who attends Columbia University) or the College Tuition Scholarship (for a child who attends another college). As a faculty member 1 also remain eligible to live in Columbia Universlty-owned housing (where I live now). -1 continue to have retirement accounts maintained through Columbia University, the individual holdings of which are listed under Pact VII. Investments and Trusts. -As a result of my forracr employment with the University of Michg,m Law School, I continue to have a retirement account mainufincd through the University of Michigan, the holdings of which ace listed under Part Vll. Investments and Tr~sts. Cona-ibutions are of course no longer made to those retirement accounts. Pact VI. Liabilities. Upon re-reading the instructions this year 1 see that our agreement to pay tuition to The School at Columbia University appears to be repotlable and thus should have beeu noted on prior years reports as well. This is the same tuition discussed under Part II. Agreements, above, which has been previously disclosed. Part VII. Investments and Trusts. -Dividend or other income for CREF stock, TIAA Real Estate, Vangtmrd College Mod Age-Based Mod Grwth (a New York 529 college savings account) is not reported on statements. All etwnings in all the funds are automatically reinvested in the respective funds. TIAA Real Estate reinvested dividends reporled axe based on calculations of difference in number of shares as reported on quarterly statements.

FINANCIAL DISCLOSURE REPORT Page 8 of 8

IX. CERTIFICATION.

S~e of Person Reporting

Date of Report

Livingston, Debra A.

5/9/20t0

I certify that all information given above (including inforn~ation pertaining to my spou~ 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 eL seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDMDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL ANI) CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Commiuee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544