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FINANCIAL DISCLOSI~ RE REPORT

FOR CALENDAR ~AR 2009
2. Court or Organization U.S. Coovt of Appeals for the 2rid Circuit I 5a~ Report Type (check appropriate type)

Repor~ Required by the Ethics

in Government A ct of 1978

(5 c~s.c~ app. ~ ~o~-~)

3. Date of Report 5/11i2010 6. Reporting Period 01/0!/2009 [] Final 12/31/2009

1. Person Rep.~rting (last name, first, middle initial) Katzmann, Robert A. 4. Title {Article 1[I judges indicale active or senior 1atu.s: magistrate judges indicate full- or part-time) Jt~dge- Active

Nomination, lnitial

Date [] Annual

7. Chambers or Office Addre~ 5(R) Pearl Street Room 680 New York. NY 10007

fib. ~ Amended Rep~rt 8. On the basis of the i~fformatlon contained ~n this Report and aoy ntodifications pertaining thereto, il is, in my opi~fion, in compliance with upplicable laws and regulations. Revie~ving Officer ............ Date

IMPORTANT NOTES: Tlw instructions accompanying this Jbrm must be followed. Complete all parts,
checking the NONE box for each part where yott have no reportrtble informatiot . Sign oft last page.

I. POSITIONS. (~,orti,.~. indi,idual only; see pp. 9-13 of filing instructions.)

---] NONE (No reportable positions.) POSITION
i. 2. Director (unpaid) Lecturer

NAME OF ORGANIZATION/ENTITY
The Governance lrtstitute New York Universit_v School o[ Law

,~?

.~ "t

~
i.

NONE (No reportable agreements. ) DATE PARTIES AND "I"ERMS

Katzmann, Robert A.

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting Katzmann, Robert A.

Date of Repot! [ 5/1112010 ]

Page 2 of 6

III. NON-INVESTMENT INCOME. ~portz,,g individu,dandsp .....

A. Filers Non-Investment Income
NONE (No reportable non-invest,,ent income.) DATE

; see pp. lT-24o.~f~ling in,~*ruetions.)

S()URCE AND TYPE

INCOM E (yours, nol spouses)

2. 3. 4.

B, Spotlses Non-Investment lncolIle - lf you were married during arty portion of the reporting year, complete this section. NONE (No reportable non-im.,estment income.) DATE SOURCE AND TYPE

2. 3. 4.

IV. REIMBURSEMENTS ...... s~,,,.o,i.,,,, Iodgi ,g, food, entcrtai ........ t.

~ NONE (No reportable ~OURCE I. Geo~gctt~wn University Law Center Georgetown University Law Center University of Chicago Law Schuo[ DATES 2/9109 ) LOCATION Washington, DC PURPOSE Marver Bemstein SymD}sium Board of visitors meeting ITEMS PAID OR PROVIDE[) Transportation

2.

4/2/09 - 416109

Albequerque, NM

Transportation: lodging and food

3.

4/30/09 - 5~i/09

Chicago, IL

Judging moot court competition

Transpo~atiom lodging and food

4. 5.

FINANCIAL DISCLOSURE REPORT

Page 3 of 6

r~ ..... Person Reporting [

Date of Report

K,,t,.m~nn, Robert A.

5/11/2010

V. GIFTS. (lncludes those to sp ........ d depende,tt children; see pp, 28-31of filing i,tstrnctions.)
NONE (No reportable gifts.) SOURCE
1. "2_. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. a,,c~,,,~,,,~,,,.,., o:,p ......... ,~ depe,,d .... hlhtren; see pp. 32.33 of filing instructions.)
NONE (No reportable liabilities.)

CRED1TOR
I. 2.

DESCRIPTION

VALUE CODE

3.
4. 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 6

N .......fPerson Reporling Katznmnn, Robert A. ]

Dale,:,fRepo,t 5/I U20I 0

VII. INVESTMENTS and TRUSTS --i ............. ~,,,,, ~ ....... ,~o,,, (Includes th ..... ~f xp ......... d depe,,dent children; see pp. 34-604filing i,,strucrions.~
),ONE (No reportable income, assets, or transactions. )
A. Description of Assets B. pefod Place"(X)" ~mr each ~set exempt from prior disclosure C. period Value ]] Code(j.p)2 ~ D Transactions daring reporting pefod

I ~i1~-7~ Amouot :: Type (e.g.,

div, . rentt.) ~ I~ Cde(Alt)- I ......

~ ....... r2~-I ...... ~

Value ~Type (e.g.. ]; MelhOdc~dc3... ii redemption}bUy" sell,

Date . Value ~ Gain mm/dd/vy. ~ Code(j.pi2 Code~A.H)t

(2~ [--d~ ~, (,~ ........... ~ ..... ......

Ideatity or buyer/seller( f p rate

....................
1. T1AA/CREF Pension

~
None

~
M

?..~,~2V~._ ................................
T

2. ! 3. 4. 5. 6. 7. { 8. 9. 10. 11. 12. 13.

TIAA/CREF SRA VANGUARD 403fb)(7) - Explorer Fnnd -Index Fund (500 Fund) -International -1 ligl, Yield VANGUARD NY LT -Tax-Exempt Fund Chase Manhattan Bank A C

None None

L M

T T ~

Dividend

Interest

15. 16. I7.

FINANCIAL DISCLOSURE REPORT

Name of Pe .....Reporting

Date or Report

Page 5 of 6

Katzmann, Robert A.

5/l 1/2(110

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (1,(tlc~,,~p,r, oyRepo,,.~

FINANCIAL DISCLOSURE REPORT

Page 6 of 6

1 N .......

f~ ....... Reoorti,,g

Date,,f~ep,m

5/~ ~/2010 ~1 ~:at~u,am,, Robert a. [

IX. CERTIFICATION.
! certify that all information given above (including information pertaining to my sponse 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 pro~sions permitting non-dlsclosnre. I further certi~" that earned income from outside employment and honoraria and the acceptance of gifts which have been reporled ace in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and ,ludicial Conference regulations.

Signature..

NOTE: ANY INDI1DUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT IVlAY BE SUBJECT TO CIVIL AND CRIbIINAL SANCTIONS (5 U.S.C. al)p. 104)

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