UNITED STATES COURT OF APPEALS

SECOND CIRCUIT UNITED STATES COURTHOUSE

225 CADMAN PLAZA EAST

BROOKLYN, NEW YORK 11201

REENA RAGGI United State~ Circui~ Judge

August 11, 2011

Honorable Bobby R. Baldock Chair, Committee on Financial Disclosure Administrative Office of U.S. Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544 Re: Revised Disclosure Report for 2010
Dear Judge Baldock,

In response to your letter of July 21, 2011 (Attachment A), my accountant has prepared a revised Financial Disclosure Report for 2010 (Attachments B&C), which I hereby transmit. I apologize for any inconvenience to the Committee. At the same time, I observe that the need to file this revised report does raise some concern, if even a certified accountant can find it difficult to prepare these reports. Might the Committee (or its staff) provide any guidance for simplifying the process generally or specifically with respect to my report? Very truly yours,

cc: Mr. John M. Towers Ragovin & Sperber

Ra_q.qi, Reena

August 8, 2011
STANLEY M. ROGOVIH JEFFREY M. SPERBER OF COUNSEL: STEPHEN M. BERNSTEIN BARRY KAPLAN

Hon. tLeena tLaggi United States Courthouse 225 Cadman Plaza East Brooklyn, NY 11201 Dear Judge Raggi: Pursuant to our telephone conversation of today, enclosed please find the revised Financial Disclosure tL~port for the calendar year 2010, along with the letter you received from the Judicial Conference of the United States Committee dated July 21,2011. Would you kindly sign the Financial Disclosure Report on page "9" where indicated and mail it in the envelope provided to the Committee on Financial Disclosure, as soon as possible If you should have any questions, please feel free to call. Very truly yours,

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

1. Person Reporting (last name, first, middle initial) RAGGI, REENA 4. Title (Arlicle III judges Indicate active or s~nlor status; magistrate judges indicate full- or pan.lime) ] UNITED STATES CIRCUIT JUDGE

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)

2. Court or Organization U.S, COURT OF APPEALS, 2ND CIR

Report Type (~heck appropriate type) Nomination, [] Initial Date [] Anntlal

3. Date of Report 08108/2011

6. Reporting Period 01/01/2010 t~ 12/31/2010

] Fir~l

~h. [~ Amended Report

7. Chambers or Ollme Address 8.On the basis ef the information contained in this Repmt and any modifications pertaining thereto, it is, In my opinion, in compliance with applicable laws and regulations.

U.S. COURTHOUSE 225 CADMAN PLAZA EAST BROOKLYN, NY 11201

Reviewing Officer

Date

IMPORTANT NOTES: The instrucaons 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. (R,Vor~,at~.ato,tT;,eopp.

~
1.

NONE (No reportable positions.) POSITION

MEMBER, JUDICIAL ADVISORY BOARD

NAME OF ORGANIZATION/ENTITY
GEORGE MASON SCHOOL OF LAW, CENTER FOR LAW AND ECONOMICS CHURCH OF THE ASSUMPTION, BROOKLYN NEW YORK WILLIAM NELSON CROMWELL FOUNDATION

MEMBER,PARISH COUNCIL TRUSTEE

II. AGREEMENTS. ~Ropo,~.~,,di~t~.alo.~:,.~,~,.

NONE(No reportable agreements.) pARTIES AND TERMS

FINANCIAL DISCLOSURE REPORT Page 2 of 9

Name of Pgrson Reporting RAGGI, REENA

Date of Report 08/08/2011

III. NON-INVESTMENT INCOME. tReporan~ ~dJ~idu,! ,d ~uso; ,*o pp. ~.U

A. Filers Non-Investment Income ~ NONE (No reportable non-investment income.) DATE
1. 2010 2. 3. 4.

SOURCE AND TYPE

(yours, not spouses)
NEW YORK UNIVERSITY LAW SCHOOL - SALARY $26,550.00

B. Spouses Non-Investment Income - lf yeu w~r, married during any portion of the reporting year, complete tlda section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.) SOURCE AND TYPE

2. 3. 4.

IV. REIMBURSEMENTS -(Includes those to ~pou~e and dependent children; see pp. 25-27 of fiJing instructions.)
NONE (No reportable reimbursements.) SOURCE
1. UNIVERSITY OF PENNSLYVANIA LAW SCHOOL FEDERAL BAR COUNCIL

~
01/28/2010

LOCATION
PHILADELPHIA, PA

PURPOSE
MOOT COURT

ITEMS PAID OR PROVIDED

HOTEL AND MEAL

2.

02/21/2010-03/01/2010

KONA, HI

PROFESSIONAL MEETING PROFESSIONAL MEETING PROFF_.~SIONAL MEETING

AIRFARE, HOTEL AND MEALS

3.

FRIENDS OF HEBREW UNIVERSITY NEW YORK STATE BAR ASSOCIATION

03t10/2010-03/19/2010

JERUSALEM, ISRAEL

AIRFARE, HOTEL AND MEALS

4.

05/22/201005/23/20113

BOLTON LANDING, NY

HOTEL AND MEALS

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 9

Name of Person Reporting RAGGI, REENA

Date of Report 08/08~011

V~] NONE (No reportable gifts.) SOURCE

2. 3. 4, 5.

[
I. 2. 3. 4. 5.

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 9

Name of Person Reporting RAGGI, REENA

Date of Report 08/08/2011

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

A. Description of Assets (including trust as~ts) Place "(X)" after each asset exempt fi, om prior disclosure B. Income during reporting period (1) Amount Code I (A-H) (2) Type (e.g., div., cent, or int3 C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 O-P) (Q-W) D. Transactions during reporting period (l) Type (e.g., buy, ~ell, redemption) (2) (3) 14) Date Value Gain mm/dd/yy Code 2 Code 1 (I-P) (A-H) (5) Identity of buyer/seller (if p~vate transaction)

CITIBANK PREFERRED MONEY MARKET ACCOUNT(MMP) CITIBANK CHECKING ACCOUNT

A A

Interest Interest Interest

CITI NEW YORK TAX FREE RESERVE A MMF. R

4. 5. 6. 7. 8. 9. 10. 11, 12. 13. 14. 15. 16. 17. CITIGROUP GLOBAL MKTS INC ACCOUNT NO.I - R -U.S. TREASURY NOTES SER R 2011 DTD 01/02/2007 -NEW YORK ST URBAN DEV CORP REV P.FDG-FSA BK/ENT DTD 1/1/94 E D B C C A C C C

Interest Interest Interest Interest Interest Interest Interest Interest Interest None

O M L M L

T T T T T Matured

-CORPORATE BOND - GENERAL ELEC CAP CORP DTD-3/06/2008

-NEW YORK CITY G/O SER I DD 04/01/04 FiC 811/04

-NEW YORK N Y GENL OBLIG BDS-GB/E DD 01/03/2008

-CERTIFICATE OF DEPOSIT

06/01/10

-NEW YORK CITY O/O SER M DD 4/28]05 F/C 10/1/05

-NEW YORK ST DORM AUTH ST PERS INCOME TAX REV ED-A-B/E - NY ST THRUWY AUTH ST PERS INCM TX REV BDS-B/E DD 9/10/08 GREENWICH ST.EMPLOYEES FUND

M M M

T T T U

CITI PERSONAL WEALTH RETIREMENT PLANS-IRA

-GENERAL ELECTRIC CAPITAL CORP CORPORATE BONDS -GENERAL ELECTRIC CAPITAL CORP CORPORATE BONDS D E Interest Interest

M M

T T

D --$5,00! 142 =bier= than $5.000.000 M ~ 100,001 P2--45,0~0,001 - $25,000.000 T =Cash Markca

FINANCIAL DISCLOSURE REPORT Page 5 of 9

Name of Person Reporting RAGGI, REENA

Date of Repor~ 08/08/2011

A. Description of Assets (including trust assets) Place ~(X)" after each asset exempt from prior disclosure

B. Income during reporting period (|) (2) Amount Type (e.g., Code 1 div., rent. (A-H) ~r int.)

C. Gro~s value a~ end of reporting period (1) (2) Value Value Co0~ 2 Method Code 3 0"P) (Q-W)

Tranmcfions during reporting period (2) O) (4) Date Value Gain mm/dd/yy Code 2 Code l (~-P) (A-H) (5) Identity of I~yeffscller (if prlv~e transaction)

Typ~ (e.g., buy, sdl, redemption)

]18.

.COCA COLA ENETRPRISE INC NOTES-ZERO CPN CORPORATE BONDS -BERKSHIRE HATHAWAY INC DTD 04/29/04 CORPORATE BONDS MORGAN STANLEY SMITH BARNEY IRA ROLLOVER ACCOUNT -MORGAN STANLEY BANK N.A. -ISHARES BARCLAYS 1-3 YEARS CRED SHORT TERM BOND FUND

Interest

19. 20. 21.

Interest

A B C B B B C B B

Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

K L L L L L L K K

T T T T T T T T T Buy Buy
02/04110 02/04110

!22.
23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33.

-VANGUARD TOTAL BOND MARKET

-CALVERT SHORT DURATION INC A MUTUAL FUNDS -DELAWARE LTD-TERM DIVERS INC A MUTUAL FUNDS -PRIMCO TOTAL RETURN A MUTUAL FUNDS -VIRTUS MILTI-SECTOR s~r BD A MUTUAL FUNDS -TEMPLETON GLOBAL BD FD A -TEMPLETON GLOBAL TOTAL RET A

Buy

02/04/10

K
K

MORGAN STANLEY SMITH BARNEY BROKERAGE ACCOUNT

-MORGAN STANLEY BANK N.A. -NEW YORK N Y CITY TRANS FIN AUTH BLDG AID REV MUN1 BONDS -ALBANY N Y INDL DEV AOY CIVIC FAC REV MUN] BOND

A B B

Interest Interest Interest

M K K

T T T

t. Income Gain Code~: lSee Cohmms B 1 and D4) 2. Vahte C~ (See Cohmm~ CI and D3) 3. VaJuc Meth~ Codes (S~ Colurrm C2)

A =$1,000 o~ kss F ~$50,00! - $100D00 .t --$15.000 o le~ N --$250.001 - 5500,000 P3 =$25 J300,00 ! - $50.0~0,000 Q =Apixaital U =B~k Vat~

B =$1.00! - $2,500 G --$100,001 - $ 1,00fl,~O0 K =$15,001 - $50~0~0 O --$500,001 - $ l,O00,O00 R =Cmt (Ral Estate Only ) V --Other

C--$2,5OI - $5.000 H I =$1 ,O00,00 | - $5,0~0,000 L --$50.~01 - $100#00 Pl =$1.000,OOI - $5,000,000 P~ =Mot,: ~han $50,000,000 S =Assessment W =Estimated

D--$5,001 - $15,000 H2 =More than $5,000,000 M --~ 100.001 P2 =$5,~00.001 - $25,000,000 T --Ca~b Market

FINANCIAL DISCLOSURE REPORT Page 6 of 9

Name ot Person Reporting RAGGI, REENA

Date of Repo~ 08/08/2011

VII. INVESTMENTS and TRUSTS .. i,~o=e, vau,, ,.~n...aons ~na.,d,, ~o,o of ~o,,,o ,~,~ dorado., chi~,.#; ~, ~p. 34-60 of flllng i~str~.lio.$

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

B. C. Income during Gro~ value at cod reporting pedod of reporting period (I) (2) (t) (2) Place "(X)" after each asset Amount Type {e.g., Value Value Code 1 Code 2 Method exempt from prior disclosure div., rent, {A-H) or into (J-P) Code 3 (Q-W) A. Description of Assets (including trust assets) D. Transacdom during repotting period (1) (2) I~te Type (e.g., buy, sell, mm/dd/yy redemption) (3) (4) Value Gai~ Code 2 Code 1 (J-P) (AoI-I) (5) Idendty of buyerlseller (if private transaction)

34. 35. 36. 37. 38.

-NEVADAST MU~ BDBK MONI BOND -CALIFORNIASTGENLOBLIG MUNI BONDS ~EW YORK NT GENL OBLIGSER-O MUNIBONDS

B B B B B B B B B B B B B B B B B

Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend Dividend Dividend Dividend Interest Interest

K K L L L K K K K K K K K K L K K

T T T T T T T T T T T T T T T T T Buy Buy 09/27/10 03129/10 K K

-NEW YORKST URBANDEV CORP EMPIRE STDEV CORPSVCMUNIS -NEW YORK N Y GENL OBLIG SER D MUNI BONDS
-LONG ISLAND pWR AUTH N Y ELEC SYS REV-A MUN1 BONDS

40. 41. 42. 43. 44. 45. 46. 47.

-ALBANY N Y INDL DEV AGY CIVIC FAC REV MUNI BONDS -AMERICAN EXPRESS CREDIT CO CORPORATE BONDS
-GOLDMAN SACHS GROUP INC CORPORATE BONDS

-MORGAN STANLEY CORPORATE BONDS

-WACHOVIA CORP CORPORATE BONDS -CALVERT SHORT DURATION INC C MUTUAL FUNDS -DRYDEN SH TRM CORP BD C MUTUAL FUNDS -VIRTUS MULTI-SECTOR S/T BD T MUTUAL FUNDS -WELLFS FARGO SHT TRM MUNI BD C MUTUAL FUNDS -TRIBOROUGH BRDG & TUNL AUTH NY REVS SER-A

5~.

-OPPENHEIMER LTD TERM NY MUNI C

1. Income Gain Code~: (Se~: Co|unms BI and D4) 2. Value Codes (S~ Cel~mn* CI and D3) 3. Va/ue M~hod Code~ ($4~ {~olurrm C2)

A --$ 1,0~0 or Pets F =$50,00| - $10gt, O00 J =.$15,000 or less N --$250.001 - $500.000 P3 --~25,000,001 - $~0.000.000 Q =Appr~sal U =Book Va~t~e

B ---$ 1,001 - $2,500 G ~-.$|00.00|. $1,000,000 K --$1~,001 - $50,000 O =d;500,001 - $ 1,000.0~0 R t~2ost (Reall~tate Only) V ~he~

C --$2,;50| - $5,000 H I --$1,000,001 - $5.000.0(~ L --$50,001 - $ Pl ---$1.1~0,001 - $5,000,1~0 pa =More than $50.~00,000 S =Assessment W =Estima~l

D -r-15,001 - $15,000 H2 =Mot~ Ihar. $5.000,000 P2 -~5,000.001 - $25,000.000 T =Cash Market

FINANCIAL DISCLOSURE REPORT Page 7 of 9

Name of Person Repertlug RAGGI, REENA

Date of Report 08/08/20 ! I

VII. INVESTMENTS and TRUSTS ~in~m~a~u~,tran$ac~i~n$(~n~ud~sth~se~f~useandd~p~ndenthi~dr~n;s~pp~34.6~f~inginstr~~i~ns.) ~ NONE (No reportable income, assets, or transactions.)
A. Description of Assets (in~luding m~st assets) Place "(X)" after each asset ~xemlx f~m prior disclosure B. Income daring repoRing period (!) (2) Amount Type (e,g., Code 1 div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3
Do Transactions during reporting p~od

(l) Type (e.g.,

buy, sell

redemption)

(2) (3) (4) Dat~ Value Gain mm/dd/yy Code 2 Code I (l-P) (A-H)

(5) Identity of buyer/rel]er (if private transaction)

IRA ROLLOVER .....

I. Income Gain Codes:

A --$I,000 or k~

B =$1,001 - $2~00

C ~62,50| - $5,000

D --$5.001 - $15,000

E ---1;I 5,001 - $5o.ooo

3. V~ M~ C~

Q =A~

R ~t (R~ E~ Only}

S =~sme~

T ~sh M~

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Name of Person Reporting RAGGI, REENA

Date of Report 08/08t2011

vm. ADDITIONAL INFORMATION OR EXPLANATIONS.

I)PART VII, PAGE 7. LINE #51: THIS ACCOUNT WAS CLOSED 1N JANOARY, 2010 AND ALL PROCEEDS WERE ROOLOVER TO MORGAN STANLEY SMITH BARNEY IRA ROLLOVER ACCOUNT ON LINE #20,

FINANCIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

Name of Persen Reporting RAGGI, REENA

Date of Report 08/08/2011

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 f~rther cerlffy 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. 73S3, and Judicial Conference regulations.

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

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301 One Columbus Circle, N.E.

Washington, D.C. 20544

An ]0 R~. H201!

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization U.S. COURT OF APPEALS, 2ND CIR 5a. Report Type (check appropriate type)
] Nomination, [] Initial Date [] Annual [] Final

Report Required 0) the thics in Government Act of 1978 (5 U.S.C. app. 101-111)

1. Person Reporting (last name, first, middle Initial) RAGGI, REENA 4. Title (Artlele IH J~dges indicate active or senior status; magistrate judges indicate full- or part-time) UNITED STATES CIRCUIT JUDGE

3. Date of Report 05101/201 ! 6. Reporting Period 0110112010 to 12/31/2010

Sb. [] Amended Report 7. Chambers or Office Address U.S. COURTHOUSE 225 CADMAN PLAZA EAST BROOKLYN, NY 11201
8.On the basis of the Information contained In this Report and any modifmatlous pertaining there~o, it is, in my opinion, In compliance with applicable laws and regulation~

Reviewing Officer

Date

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. cR~,o,~,g
[] NONE (No reportable positions.) POSITION
1. MEMBER, JUDICIAL ADVISORY BOARD

NAME OF ORGANIZATION/ENTITY
GEORGE MASON SCHOOL OF LAW, CENTER FOR LAW AND ECONOMICS CHURCH OF THE ASSUMPTION, BROOKLYN NEW YORK WILLIAM NELSON CROMWELL FOUNDATION

MEMBER,PARISH COUNCIL TRUSTEE

NONE (No reportable agreements.) PARTIES AND TERMS

Ra_q_qi, Reena A

FINANCIAL DISCLOSURE REPORT Page 2 of 9

Name o1" Person Reporting RAGGI, REENA

Date of Repert 05/01/2011

IH. NON-INVESTMENT" INCOME. CRew,orbrig indivldual and spouse; see pp. 17.24of filing
A. Filers Non-Investment Income [] NONE (No reportable non-investment income.) DATE
1. 2010 2. 3. 4.

SOURCE AND TYPE

(yours, not spouses) NEW YORK UNIVERSITY LAW SCHOOL - SALARY $26,550.00

B, Spouses Non-Investment Income - tyyou wer~ married during any portion of the reporting year, compleU this
(Dollar amount not required e.x~ept for honoraria.)

~]

NONE (No reportable non-investment income.) DATI~ SOURCE AND TYPE

1. 2. 3. 4.

IV. REIMBURSEMENTS --,~,~-,aon, toda,~ ~oo~. en,er~,,"

(Includes those to spouse and dep~nd~nt children; see pp. 25-27 of filing instructions.)

---]

NONE (No reportable reimbursements.)

SOURCE DATE~
01/28/2010

LOCATION
PItlLADELPHIA, PA

PURPOSE
MOOT COURT

ITEMS PAID OR PROVIDED

HOTEL AND MEAL

I.

UNIVERSITY OF PENNSLYVANIA LAW SCHOOL FEDERAL BAR COUNCIL

2.

02/2112010-03/01/2010

KONA, HI

PROFESSIONAL MEETINO PROFESSIONAL MEETING PROFESSIONAL MEETING

AIRFARE, HOTEL AND MEALS

3.

FRIENDS OF HEBREW UNIVERSITY NEW YORK STATE BAR ASSOCIATION

03110/2010-03119/2010

JERUSALEM, ISRAEL

AIRFARE, HOTEL AND MEALS

4.

05/22/2010-05/23/2010

BOLTON LANDING, NY

HOTEL AND MEALS

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 9

Name or Person l!.eportlng RAGGI, REENA

Date ol Report O~lOl/2011

V. GIFTS. {indu~s those to spoust and dependent children; see pp. 28.31 of filing lnstructions.)
NONE (No reportable gifts.) SOURCE 1. 2. 3.
4.

VALI21~

5.

VI. LIABILITIES. a~,,,~

]

[
1. 2. 3. 4. 5.

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 9

Name of Per~n Reporting RAGGI, REENA

Date of Report 05/01/2011

VII. INVESTMENTS and TRUSTS -. i.,o~., .a.e, t.o..ac~o.s a.d,,d, tho,o o! ,ro.. .d do~.a,.t children; see pp. J4-60 o:filing instPueaons.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior di~losure B. Income during reporting period (1) (2) Amount Type (e.g., Code t div.. rent, (A-H) or int.) C. Gross value at end of reporting period (l) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) D. Transactions during reporting period (l) Type (e.g, troy, ~ell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private mmsaction)

ClTIBANK PREFERRED MONEY MARKET ACCOUNT(MMP) CITIBANK CHECKING ACCOUNT

Interest Interest Interest

K J M

T T T

CITI NEW YORK TAX FREE RESERVE MMF- R " CITIGROUP GLOBAL MKTS INC ACCOUNT NO, I - R
5, 6. 7. 8. 9. I0. II. 12, 13.

-U.S. TREASURY NOTES SER R 2011 DTD 01/(Y2/2007 -NEW YORK ST URBAN DEV CORP REV RFDG-FSA BIUENT DTD 111/94
-CORPORATE BOND - GENERAL ELEC CAP CORP DTD-3/06/2008 -NE~ YORK CITY G/O SER l DD 04/01/04 F/C 811/04 -NEW YORK N Y GENL OBLIG BDS-GB/E DD 01/03/2008 *CERTIFICATE OF DEPOSIT -NEW YORK CITY G/O SER M DD 4/28105 F/C I0!1/05 -NEW QORK ST DORM AUTH ST PERS INCOME TAX REV ED-A-B/E - NY ST THRUWY AUTH ST PERS INCM TX REV BDS-B/E DD 9110/08 GRF.~NWICH ST.EMPLOYEES F~ND CITI PERSONAL WEALTH RETIREMENT PLANS-IRA -GENERAL ELECTRIC CAPITAL CORP CORPORATEBONDS

Interest Interest Interest Interest Interest

O M L M L

T T T T T
Matured 06/01/10

Interest Interest Interest

M M M

T T T

14.
i 15. 16.

t Interest Interest

T T

17. -GENERAL ELECTRIC CAPITAL coRP" CORPORATE BONDS

I. Income Gain Codes: (See Columns BI and D4) 2. Valae Codes {See Columns CI md D3) 3. Valae Method Codes (See Column C2)

A =$I,0~0 or less F =$50,001 - $100,0O0 J =$15.000 or less N =~250,001 $500,000 P3 =$25.000.001 - $50.000.000 Q =Appraisal O =Book Vabte

B =$1,00I - $2,500 G =$100,001 - $1,000.000 K ~ 15,001 - $50,000 0 ~300.0<)1 - $l,0~0.O00 R =Coil (Real Estate Only) V =Other

C =$2,501 - $5.000 H I ~$1,000.001 - $5,000.000 L =$50,001 - $ 100,t~0 PI -~ I ,O00,00l. $5.000,00~ P4 =More than $~0,000.000 S ~Assessrnent W =E,stlmand

D -=$5.(X) I - $I 5,000 H2 =More than $5,t~0,~0 M ~ 1oo,001 - $250,000 p2 =$5,000,001 - $2.~ JJ~,0~0 T =Ca+h Market

E --~ 15,001 - $S0,000

F~NANCIAL DISCLOSURE REPORT Page 5 of 9

Name of Person Reporting RAGGI, REENA

Date of Report 05/01/2011

[]

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

A. Description of As~et~ (including trust assets) Place "(X)" attar each asset exempt from prior disclosure B. Income during reposing period (1) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of repotting period (1) (2) Value Value Code 2 Method (J-P) Code 3 Transactions during reporting period O) Type (e.g., buy, sell, redemption) (2) (3) (4) Dale Value Gain mm/dd/yy Code 2 Code I (J-P) (A-B) (5) ldemity of buyerlseller (if private tran~ction)

18.

-COCA COLA ENETRPRISE INC NOTES-ZERO CPN CORPORATE BONDS 04/29/04 CORPORATE BONDS

Interest

M M

19. -BERKSHIRE HATHAWAY INC DTD 20. 21.

MORGAN STANLEY SMITH BARNEY IRA ROLLOVER ACCOUNT -MORGAN STANLEY BANK N.A.

Interest

A B C B B B C B B

Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend

K L L L L L L K K

T T T T T T T T T Buy Buy 02/04/10 02/04110 Buy 02/04110

22. -ISHARES BARCLAYS 1-3 YEARS CRED SHORT TERM BOND FUND 23. -VANGUARD TOTAL BOND MARKET 24. 25. 26. -CALVERT SHORT DURATION INC A MUTUAL FUNDS
-DELAWARE LTD-TERM DIVERS 1NC A MUTUAL FUNDS

-PRIMCO TOTAL RETURN A MUTUAL FUNDS

27. -VIRTUS MILTI-SECTOR S/T BD A MUTUAL FUNDS 28. 29. 30. 31. 32. 33.
-TEMPLETON GLOBAL BD FD A .TEMPLETON GLOBAL TOTAL RET A MORGAN STANLEY SMITH BARNEY BROKERAGE ACCOUNT -MORGAN STANLEY BANK N.A.

K K

Interest Interest Interest

M K K

T T T

-NEW YORK N Y CITY TRANS FIN AUTH BLDG AID REV MUNI BONDS -ALBANY N Y INDL DEV AGY CIVIC FAC REV MUN! BOND

F~NANCIAL DISCLOSURE REPORT Page 6 of 9

Name of Person Reporting RAGGI, REENA

Date of Report 05/01/2011

VII. INVESTMENTS and TRUSTS .. i,,o,,e. ~a~,,. tra.s,~ao,,

NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) P~ace "(X)" after each asset exempt from prior disclosure B, Income during reporting period (2) Type (e,g., Code | div.. rent, (A-H) or int.) (t) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) {I) Type {e.g., buy, ,,;ell, redemption) D. Transactions during reporting pe~od 12) (3) Date Value mm/dd/yy Code 2 (J-P) (4) Gain Code ! (A-H) (5) Identity of buyer/seller (if private transaction)

Amount

34. 35. 36. 37. 38. 39, 40. 41. 42. 43. 44. 45. 46. 47. 4g. 49. 50.

-NEVADAST MUNIBD BK MUNI BOND -CALIFORNIASTGENLOBLIG MUN1 BONDS

B B B B B B B B B B B B B B

Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend Dividend Dividend Dividend Interest Interest

K K L L L K K K K K K K K K L K K

T T T T T T T T T T T T T T T T T Buy Buy 09/27/10 03/29110 K K

-NEW YORK N T GBNL OBLIG SER-O MUNI BONDS

-NEW YORK ST URBAN DEV CORP EMP IRE ST DEV CORP SVC MUNIS -NEW YORK N Y GENL OBLIG SER D MUNI BONDS -LONG ISLAND PWR AUTH N Y ELEC SYS REV-A MUNI BONDS -ALBANY N Y INDL DEV AGY CIVIC FAC REV MUNI BONDS .AMERICAN EXPRESS CREDIT CO CORPORATE BONDS -GOLDMAN SACHS GROUP INC CORPORATE BONDS -MORGAN STANLEY CORPORATE BONDS -WACHOVIA CORP CORPORATE BONDS

-CALVERT SHORT DURATION INC C MUTUAL FUNDS -DRYDEN SH TRM CORP BD C MUTUAL FUNDS
-VIRTUS MULTI-SECTOR s/r BD T MUTUAL FUNDS

-WELLFS FARGO SHT TRM MUNI BD C B MUTUAL FUNDS -TRIBOROUGH BRDG & TUNL AUTH NY REVS SER-A -OPPENHEIMER LTD TERM NY MUNi C
B B

I. Incon~ Gain Cod~: (See Columns B ] and D4) 2. Va|uq Codl~ (See Columns CI aM 03) 3. Value Method Codes (See Column C2)

A --~ 1.000 or loss F =$50,001 - $100.{300 J =$15.000 o~ less N --,$250,001 - $500,000 P3 =$25,000.001. $50.000.1300 Q =Appraisal U =Book Value

B =$1,001. $2,500 G ~$100,001 * $1,000.000 K ~ 15.001 - $50,000 O =.$$~0,001 * $1,000,000 R =Cost {Real Est a~e Only) V =O[her

C =$2,501 - SS,000 HI =$ 1.000.001 - $5.000.000 L =-~50,001 - $ 100,0(~ PI =$1,0~0,001. $~,0~0,000 P4 =Mor~ than $50,~00,000 S =Assessment W =Estimalcd

D =$5,001 - $15,000 H2 =Mtwe than $5.0~0.000 M ~$100,~01 - $250,000 P2 =$5,000,001 - $25,000.0~0 T =Cash M~ket

FINANCIAL DISCLOSURE REPORT Page 7 of 9

Name of Person Reporting RAGGI, REENA

Date of Report 05/01 t2011

VH. INVESTMENTS and TRUSTS - tncom,, va~n,. ,.~nsacaons anc~d~s ,hose oy spo..se ..d ~emde, t children; see pp. 34.~0 of flting instmctlons.)
~ NONE(No reportable income, assets, or transactions.)
A, Desoipdoa of Assets (incloding aust a~sets) Place "(X)" after each asset exempt from prior di~losure B, Income during reporting period (!) (2) Amount Type (e.g., Code I div., rent, (A-H) or int,) C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J.P) Code 3 (Q-W) D, Transactions during re~orting period (!) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) {A-H) (5) Identity of buyer/seller (if private transaction)

51.

I. Income Gain Codes: ~ec Columns B! amt D4) 2. Value Codes

A .v.$ 1.000 ca. les~ F=$50.00| - $1 ~0.000 J =$15,000 or less N -~250,001 $500,0~0 P3 =$25.000.001 - $.$0.000.tJ]o Q =Appraiutl U =Book Value

B =$ L001 - $2,500 G =$100.00t - $ 1.0000000 K --$15.001 - $50.000 0 =$~00,001 - $1,000,~00 R --Cost (Real E.~lal Only) V --O~her

(See Columns CI and D3)

3. Value M e, the, d ~odes ~S~e Column C2)

-~$2.50 t . $5.~00 H I =11.000,001 - $5.000.000 L =$50.001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =Mote thao $50.000.000 S =Assessment W =Estimated

D =$5,00| - $15.(]00 H2 =Mote than $5,000.00~ M --$100.001 - $250.000 p2 =$5,000,001. $25.000.000 T---Cash Market

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Nam of Person Reporting RAGGI, REENA

Date of Relmrt 05~I/2011

VIH. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT

N.~
RAGGI,

Dale of Report

Page 9 of 9
IX. CERTIFICATION.

REENA

05/01/2011

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 ors U.S.C. app. 501 et. seq., $ U.S.C. 7353, and Judicial Conference regulations.

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

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, Washington, D.C. 20544