Elena Kagan Financial Disclosure Report for 2010

8/3/2019 Elena Kagan Financial Disclosure Report for 2010

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AO IORev. 1/2011FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 201 0Report Required by the Eth ics

in Government Act o f 1978(5 U.S.C . app. 101-111)

1. Person R eport ing ( las t name, f i rs t , middle ini t ia l )K A G A N , E L E N A

4. T i t le (Art icle I I I judges indicate act ive or senior s ta tus;magistrate judges indicate full- or part-time)ASSO CIATE JU STICE

7. Chambers or Office Address950 PE NNSY L V ANIA AV E NU E , N. W.WASHINGTO N, D. C. 2 053 0

2 . Court or OrganizationS U P R E M E C O U R T

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] lnitial [] Annual [] Final5 b . [ ] A m e n d e d R e p o r t

3. Date of R e p o r t5/2/2011

6. Report ing Per iod01/01/2010

to12/31/2010

8. On the basis of the information contained in this Report and any, modifications pertaining thereto, it is, in my opinion, in compliancew i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Reviewing Officer D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed, Complete all parts,checking the NONE box for each part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . r R , ~ , o , , i , g i , a iv i a u a t o , l y ; s e e p p . 9-13 of filing instructions.)f~] N O N E ( N o reportable positions.)

POSITION N A M E O F O R G A N I ZA T I O N / EN T I T Y

2.

3.

4.5.

I I . A G R E E M E N T S . r R e p o n i , g i o d i v i d u u t only; see pp. 14-16 of filing instructions.)[] ( No repor t ab l e agreem en t s . )ONE

DATE PARTIES AND TERMS1 . 12/2008 T W O - Y E A R L E A V E O F A BS E N C E F R O M T H E F A C U L T Y O F H A R V A R D U N I V E R S I T Y . - R E S I G N E DA U G U S T 5 , 2 0 1 0


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I I I . N O N - I N V E S T M E N T I N C O M E . ( R e p o r t i n g individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investment Income

~] NONE non-investment income.)N o reportableDATE SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - i f y o u were married during any portion of the reporting year, complete this section.(Dollar amount not required except for h onoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

1.2.3.4.

I V . R E I M B U R S E M E N T S - transportat ion, lodging, food, entertainmen~(Includes those to spouse and dependent children; see pp. 25-27 o fil l ing instructions.)

~] (No reportableONE reimbursements.)

2.3.4.

5.

SOURCE DATES LOCATION PURPOSE ITEM S PAID OR PROVIDED


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V . G I F T S . a n c i u d e s , h o s e to spouse and dependent children; seepp. 28-31 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION1.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n d u d e s t h o s e o / s p o . .. .. d dependent children; s e e p p . 3 2 - 3 3 of filing instructions.)[~] N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1.2.3.4.5.

VALUE CODE


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D a t e o f R e p o r t5/2/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60of:ling instructions.)NONE (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( i nc l udi ng t r us t asse t s) r epor t i ng per i od

O) (~)Place "(X)" after each asset A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 di v . , r en t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n dof r epor t i ng per i od

(1) (2)V a l u e V a l u e

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

( Q - W )

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

r e d e m p t i o n )

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) (5 )D a t e Value Gain I d e n t i t y o f

mm/dd/yy Code 2 C o d e 1 buyer/ sel ler( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

1. C A M B R I D G E S A V I N G S B A N K A C C T A In te res t N T

2. V ANGU ARD PRIME MO NE Y MKT A Div id en d K TFUND3. V ANGU ARD TO TAL STO CK MKT B Div id en d M TI ND EX AD M4. FRANKL IN TE MPL E TO N, MU TU AL B Div id en d K TB E ACO N FU ND5. UNI V. OF C H I C AGO R ET - TIAA N o n e K TTRADITIO NAL6. U N I V O F C H I C A G O P E T - C R E F S T O C K N o n e K T

8.9.

U N1V O F CHICAGO RE T - CR E F B O NDMARKE T V ARIAB L E ANNU ITY NoneU N I V O F C H I C A G O P E T - V A N G U A R D AINT-TE RM B O ND DividendU N I V O F C H I C A G O P E T - V A N G U A R D AW I N D S O R F U N D Dividend

IRA # l - FIDE L ITY MAGE L L AN FU ND A Div id en d M T1 1 . IRA # 1 - FIDE L ITY PU RITAN FU ND B Div id en d L T1 2 . I R A# 1 - F I D E L I T Y 1 NT E R ME D . BOND C D i v i d en d L TF U N D1 3 . I R A # 2 - V A N G U A R D T O T A L B O N D A D i v i d e n d K TM K T I N D E X1 4 . I R A # 2 - V A N G U A R D F E D M O N E Y A D i v i d e n d J TM K T F U N D1 5 . I R A # 2 - V A N G U A R D W E L L E SL E Y I N C A D i v i d e n d K TF U N D1 6 . I R A # 2 - V A N G U A R D 5 0 0 I N D E X F U N D A D i v i d e n d K T

1 7 . IRA # 2 - V ANGU ARD INTL E XPL O RE R A Div id en dFUND

1. Income Gain Codes : A =$ 1,000 or less B = $ 1,001 - $2,500 C = $ 2,501 - $5,000 D =$5,001 - $15,000( Se e C olu mn s B 1 a nd D4 ) F =$ 50 ,0 01 - $ 100 ,0 00 G = $ 10 0, 00 1 - $ 1 ,0 00 ,0 00 H 1 = $1 ,0 00 ,0 01 - $ 5, 00 0,0 00 H2 =M ore than $5,000,000

2. V alue C odes J = $ 15,000 or le ss K = $15,001 - $ 50,000 L =$50,001 - $ 100,000 M =$ 100,001 - $250,000( S ee Co lumns C 1 and D 3) N = $250,001 - $ 500,000 O = $500,001 - $ 1,000,000 P 1 = $ 1 , 0 0 0 , 0 0 1 - $ 5 , 0 0 0 , 0 0 0 P2 =$ 5,000,001 - $25,000,000

P3 = $25,000,001 - $50,000,000 P4 =M ore than $50,000,0003. Value Method Codes Q =Appraisal R = Cos t ( R ea l E s t a te On ly ) S =Assessment T = C a s h M a rke t(Se e C o lu m n C 2 ) U =Book Value V = O th e r W =E s t imated

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 gK A G A N , E L E N A

Date of R e p o r t5/2/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v o l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)NONE (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e 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) re p o rt in g p e r io d

(l) (2 )Place "(X)" after each asset A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 di v . , r en t ,( A - H ) or 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(1) (2)

V a l u e V a l u eC o d e 2 M e th o d

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

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

O) (2) (3) (4) ( 5 )T y p e ( e . g . , D a t e V a l u e Gain I d e n t i ty o fbuy , se l l , m m / d d / y y C o d e 2 C o d e 1 buyer / se l l er

r e d e m p t i o n ) (J -P ) (A -H ) ( i f p r iva tet ransac t ion )

18.1 9 .

20 .21 .22 .

i23 .

HARVAR D 4 57B PLAN - VANGUARD A D i v i d e n dTO TAL B O ND MKT INDE XA D i v i d e n dA R V A R D 4 5 7 B P L A N - V A N G U A R DTO TAL STO CK MKT INDE X

D is tr ib ute d 1 2/0 3/1 0 KD is tr ib ute d 1 2/0 3/1 0 K

HARVAR D 4 57B PLAN - VANGUARDE X P L O R E R F U N D Dividend C l o s e d11/12/10

H A R V A R D 4 5 7 B P L A N - V A N G U A R D A D iv id e n dG L O B A L E Q U I T Y F U N D

A D i v i d en dA R V A R D 4 5 7 B P L A N - V A N G U A R DTARGE T RE TIRE ME NT 2 02 5 FU ND

Clo sed 11/12/10 JBu y 11/12/10 K

Distributed 12/03110 K

24 . JUSTICE FEDERAL CREDIT UNION A D i v i d e n d N T2 5. D REY FU S G NM A F UN D - CLASS Z A D i v i d e n d J T

26. VANGUARD - GNMA FU ND INV E STO R A Div id en d J TSHARES27 . C H A R L E S S C H W A B M O N E Y M A R K E T A Div id en d M TACCO U NT28 . S C H W A B S & P 5 0 0 I N D E X F U N D B Div id en d L T

1. Income Gain Codes : . A =$1,000 or less B =$1,001 - $2,500 C = $ 2,501 - $ 5,000 D = $5,001 - $ 15,000( S e e C o l u m m B I a n d D 4 ) F =$50,001 - $100,000 G :$ 10 0,0 01 - $ 1,0 00 ,0 00 H I = $ 1,0 00 ,0 01 " $5 ,0 00 ,0 00 H2 = M o re th a n $ 5 ,0 0 0 , 0 0 02. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000

(See Columns C 1 and D3) N =$250,001 - $500,000 O = $ 5 0 0 , 0 0 1 - $ 1 ~ 0 0 0 , 0 0 0 P I = $1,000,001 - $5,000,000 P2 =$ 5,000,001 - $ 25,000,000P3 =$ 25,000,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T = C a s h M a rke t

(Se e C o lu m n C 2 ) U =Book Value V = O th er W = Estim ated

E =S15,001 - $50,000


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V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (Indicate part of report.)A l l a s s e t s w e re t r a n s f e r r e d i n t a c t fr o m t h e Ha r v a r d 4 0 3 ( B ) p l a n o n O c t o b e r 2 7 , 2 0 1 0 t o I R A # 1 a n d I R A # 2 h e l d . a t F i d e l i ty a n d V a g u a r d , r e s p e c t i v e l y .


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IX. CERTIFICATION.I cer t i f y that a l l in f ormat ion g iven above ( inc luding in forma t ion per ta in ing t o my spouse and m inor or depen dent ch i ldren, i f any) i saccurat e , t rue , and com ple t e t o the bes t of my kn owledge an d be l i e f , and that any in form at ion not repor t ed was w i thhe ld because i t met app l icab l e s t atu toryprov is ions permit t ing non -dis c losure .I fur ther c er t i fy tha t ea rned income f rom out s ide empl oymen t a nd hono ra r ia a nd the a cceptance o f g i f ts wh ich ha ve been r epo r ted a re i n

compliance w ith the provis ions of 5 U . S . C . a p p . 5 0 1 e t . se q ., 5 U . S . C . 735 3 , and Jud i c i a l Conf er ence r egu la t i ons .

Signature: S/ELENA K A G A N

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF I E S O R F A I L S T O F I LE T H I S R E P O R T M A Y B E S U B J EC T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Colum bus Circle, N.E.W ashin gton , D.C. 20544

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Elena Kagan Financial Disclosure Report for 2010