richard a posner financial disclosure report for 2009

8/3/2019 Richard A Posner Financial Disclosure Report for 2009

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I A o l 0 I FINANCIAL DISCLOSURE REPORT Reporf Required by t h e E t h i c sin Governme nt Act o f 1978Rev. ! / 2 0 1 0 [ FOR CALENDAR YEAR 2009 0 u.s .c, app. ,~f f 101-111)l, Person Reporting (lasl name, first, middle initia!) 2. Court or Organization 3. Date of ReportPOSNER, RICHARD A, U S COURT OF APPEALS 7th CIRC 06/03/2010

4. Title (A~icle II! judges indicate active or senior status: fin. Report Type (check appropriate bpc) 6. Reporting Periodmagistrate judge5 indicale full- or pan-time)[--] Nomination, Dale 01/01/2009

ACTIVE U 5; CIRCUIT .FODGE [---1 Initial [~] A .... l ~ Final to12/31/20095b. [] Amended Report

7. Chambers or Office Address 8. On the basis of ~:he information contained in this Report and alnymodtificalions pertainit~g thereto, i| is, in my opinion, In com pliance219 S DEARBORN with applicable laws and regulations.C!IICAGO IL 60604

Reviewing Officer Date

1 3 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~e no reportable infbrmation. Sign on lastpage.

~J (No reportable positions.)ONEPOSITION NAME OF ORGANIZATION/ENTITY

I. SEN/OR LECTURER UNIVERSITY OF CHICAGO LAW SCHOOL

2. TRUSTEE3. CHAIRMAN OF H OUSE COMMITTEE UNIVERSITY OF CHICAGO QUADRANGLE CLUB (FACULTY CLU B)

~ N O N E (No reportable agreements.)DATE PARTIES AND TERM S

1.


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FINANCIAL DISCI,OSU RE REPORT ~me of P .....Repot,lag [ hate of ReporlPage 2 of 1 1 ~ O S N E ~ t , R ~ C n A R a A .

[ 0 6 ~ 0 3 ~ 2 0 ~ 0

1 I I . N O N - I N V . E S T M E N T I N C O M E . ~o.i~ individual and sp . . . . . ; see p p . 1 7 - 2 4 affiling in.wructivns.)A. Filers Non-Investment Income

N O N E (No rcT~or~able non-investment income.)DATE SOLACE AND TYPE ~CQME(yours, not spouses)

1. 2009 UNIVERSITY OF CHICAGO LAW SCH(~I.; PART TIME $25,590.00TEACHING2. 2009 HARVARD UNIVERSITY P~SS; ROYALTIES $40,189.543. 2009 ~]VERStTY OF CHICAGO P~SS; ROYALTIES $906.344. 2009 OXFORD L~IVERS1TY PRESS (ENGLAND); ROYALTIES $12.745.2~39 EDWARD ELGAR PUBLISH~G; ROYALTIES $2,421.906, 2009 STANFORD UNIVERSITY; ROYALTIES $28.897. 2009 BETIt VESEL AGENCY; ROYALTIES $695.1N8. 2009 TIlE AUTtlORS REGISTRY; ROYALTIES $156.329. 2009 OXFO~ UNIVERSITY P~SS ~ORTH CAROLINA); ROYALTIES $2.42!.0110. 2009 WAI.TERS ~. U WE~ASPEN ROYALTIES 15564.43

I I . 2009 T1 tO~,~SON~EST; R OYA LTIES $390.96

B . S p o u s e s ~OIl-18V e$i l~el ll ]~Ol~e - If you were marrie~ during ony portion of t&e reportlng ),ear, complete this sectlo~(Dollar amou~t not req~bed except for honoraria )

N O N E (No reT~ortabte non-investment income.)D A T E S O U R C E A N D T Y P E

1.

3.4.

I V . R E I M B U R S E M E N T S ....... p o r , . , i o . , lo e g i . g , .~ o o u , . . ,e r , o i . . . . . .( .tncludea tht~se to spouse tmd depet~dent chi ldren; see pp. 25-27 of f i l ing i tz~truct o s)

[ 7 7 - ~ N O N E (No reportable reimbursements.)


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N a m e o f P e r s o n R e p o r t i N g [ D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORTe O S N ~ R , R IC H A R D A.

I 0 6 1 0 3 / 2 0 1 0age 3 of 11

~ DATES LOCATION PURPOSE ITEMS PAID OR PROVIDEDI. SEE ATTACHED SEE ATTACHED SEE ATTACHED SEE ATTACHED SEE ATTACHED SCHEDULESCH EDU LE SCH EDU LE SCH EDU LE SCHEDULE2.3.4.5.


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FINANCLAL DISCLOSURE REPORT Richard A. Posner(2009)IV. REIMBURSEMENTS

SO URCE DESCRIP.IION

Seventh Circuit Court of Appeals 3/02 to 3/03 Washington, DC;Sitting by Designation/FederalCircuit; tr,~lsportation, hotel & food

2. The Inns of Court 3/04 to 3/05 Washington, DC;Speech; transportation, hotel &food

3. Harvard University 3/06 to 3/07 Cambridge, MA;Speech; transportation,hotel & food

4. Columbia Law School 3/24 to 3/25 New York, NY;Moot court finals;transportation, hotel & food

5. Harvard University Press 4/22 New York, NY;Interview; transportation, hotel &food

4/23 to4/24 Washington, DC;Meeting; transportation, hotel &food

6. Cardozo School of Law 4/25 to 4/26 New York, NY;Conference; transportation, hotel &food

7. The Federalist Society 4/27 Washington, DC;Speech; transportation, hotel &food8. Yale Federalist Society 4/28 New H av en , CT ;

Debate; transportation, hotel & food


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9. United States District Court 5/17 Indianapolis, IN;Conference; transportation, hotel &food

10. LECG, LL C 6/18 to 6/20 Washington, DC;Conference; transportation, hotel &food

11. The Federalist Society 7/08 to 7/11 New York, NY;Conference; ~ransportation

12. Institutional Investor 7/21 to 7/24 San Diego, CA;Debate; transportation, hotel &food

13. University of Chicago 10/5 to 10/7 New York, NY;Speech; transportation & hotel

14. Institutio!al Investor 10/13 to 10/15 New York, NY;Conference; transportation &hotel

15. Harvard Kennedy School 10/15 to 10/17 Cambridge, MA;Conference; transportation

16. Columbia University 11/03 to 11/05 New York, NY;Conference; trarasportation, hotel &food

17. Harvard Law School 11/15 to 11/19 Cambridge, MA;Moot court; transportation18. Yale Law School 11/19 to 11/20 New Haven, CT;

Workshop; transportation


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Page 4 of 1 1 P O S N E R , R I C t l A R D A . 0 6 / 0 3 / 2 0 1 0

V . G I F T S . ( lmludes t~os , t , , .~p , ,use a , ,a ~ q ,e, ae, t chi ldren; s,e pp. 2 8.31 o]~iling in.qtructi,~nsONO NE ~ o reportable g~s.)

~ DESCRIPTION VALUE1.2.3.4.5 .

V I . L I A B I L I T I E S . a , , .t , ,a , , - , h , , ., .~ o y s p , , , ,e o ~ a a e p e ~ d , ~ , , h i t a , e , ; s , . , p p . 3 2 - 3 S of filing instruction.~.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE1 .

3.4.

5.


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FINA NCIA L D ISCLO SURE REPORT 1 N a m e o f ~ * . . . .Page 5 of 1 1 [I POSNER, R I C H A R D A. [ 0 6 ] 0 3 / 2 0 1 0VII. INVESTMENTS and TRUSTS - ~ ......... t.,, tr .... lions ancludes those 4-P ....... d dependent children; s,, pp. 34-60 of filing i ....... tion.g)~ NONE 6N~ reportable income, assets, or transactions.)

a ~. - ........... -d. ............................... o ................D e s c r ip t i o n o f A s s e ~ s I n c o m e d u r i n g G r o s s v a l u e a t e n d " l ~ n s a e t i m ~ s d u r i n g r e p o n i n g p e ~ o d( i n c l u d i n g t r t ~ s l a s s e ~ ) ? rcpomng peri~ ~ f r c p o d i n gP l a c e " ( X ) " a f t e r e a c h a s s e l ~ A m o u m [ " l y p c [ c g . ~ V a l u e V a l u e :: Type{e.g, Date ~ VaR~e ~ Gain [ [dealiw ofc x e m p f r o m p r i o r d i sc o s u r e C o d e I d v rent C o d e 2 M e h o d b u y , s e l l , mmAld/vy Cude 2 : C o d e I ~ b u y e r ! s e l l e r( A - H ) I orinl) I { J - P ) Code3 r e d e m p t i o n ) ~ ( J - P ) A - ) (fpnvate

1. BRO~GE ACCOUNT8 AND~TUAL F~DS:2 . DW8 ~ R A G ED M U NI B O ND F~ D - D D i v i d e n d M TCLASS S3. VANGUA ~ 500 INDEX ADM FUND D Dividend N T4. MONEY MARKET ACCOUNT A Dividend J T Bu y t 2 1 3 0 1 0 9 J5. BLACK ItOCK NATL MUN] FUND A Dividend K T6. BLACK ROCK NATL MUNI 1NSTL A Dividend K TFUND7. NIIVEEN MUN! MARKET B Dividend K TO P P O R T U N I T Y la T J N D8. BLACK P,.OCK MUNI 2018 FUND A Dividend J T9. BLACKROCK GLOBAl , ALLOCATION A Dividend J TFUND A

1 0 . BLACK.ROCK GLOBAL ALLOCATION A Dividend J TFUND Bi I . NUVEEN INSURED QUALII-Y MUNI B Dividend K TFUND1 2 . NUVEEN SELECT QUAL ITY MUNI B Dividend K T iFIJND1 3 .

1 4 . SEP RETIREMENT ACCOUNT : i1 5 . BLACKROCK BASIL. VALUE FLFND E Dividend O T [1 6 . BLACK_ROCK GLOBAL ALLOCATION A Dividend K TFUND1 7 . "][AA MONEY MARKET ACCOUNF A Dividend J I" Bu y 04/01/09 ]


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N a m e o f P e r s o n R e p o r l l n ~ ] D a t ~ of R e p o r tFINANCIAL DISCLOSURE REPORT [ ~os~, ~iCnA~m A.I 0 6 / 0 ~ / 2 0 ~ 0

age 6 of ] lV I I . I N V E S T M E N T S a n d T R U S T S --i . . . . , , val ue , era~ a cti ons a , , ct~aes t~os e o f s p . . . . . . d deO eml ent c~ i ta~em s ~e pp . ~ -6 0 , , p t i~g i , s t , u~ao~ . l

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

D e s c r [ p l i o n o f A s s m s : I n c o m e d u r i n g G r o s s v a l u e a t e n d [ T r a n s e c f i e m s d u r i n g r e p o n m ~ p e r i o d ,,( i n c l u d i n g t ~ s t a s s e t s ) r e p o r t i n g ~ r i o d o f r e p o s i n g p e r i o d ] [P l a c e " ( X ) " a f t e r ~ c h ~ s e l A m o u n ~ . T ) ~ e ( e . g . , V a} u e V a ~ u e [ T~e (e.g.,[ ba~e ~ Value Gain I d e n t i w o f

( A - H ) ] o r i n l . ) ( J - P ) C~e3 : r e d c m p l i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e [

1 9 . TRUST A CCOL~T:2 0 . TIAA MONEY MARK~ ACCf-LAST A Dividend J T

YR WAS CMA T~ EX. FD- I JNE t92 1 . BLAC~OCK NAT L MUNI FUND B Dividend K TINSTI~TION AL2 2 . BLACKROCK MUNI INS FUND C Dividend L T2 3 . BLACKROCK GOLBAL DYNAaMIC A Dividend K TEQUITY FUND2 4 . I~I.,ACKROCK GOVT INCOME FUND A 1 3 Dividend K T25 . DWS GNMA FUND CLASS S D Dividend M T

2 6 . DWS SHORT DURATION PLUS FUND - D Dividend M TCLASS S2 7 . DWS CLIMATE CttANGE FUND - None J TCLASS S2 8 . DWS MANAGED IVflJNI BOND E-UND - C Dividend M TCLASS S2 9 .

3 0 . R E T I R E M E N T A C C O 1 J N T :3 1 . BLACKROCK BASIC VALU E FUND A None Merged(with line 15)3 2 . BLACKROCK GLOBAL ALI.OCATION None MergedFUND A (with line 16)3 3 . MLBANK USA RASP ACCOI.fNT None Merged

(with line 17)3 4 .

1 Income Gain Codes: A =~1.000 or less B =$1,1101 - $2,500 C =$2,5 )1 o $5 009 D =$5,001 - $15,000 E


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FINA NCIA L D ISCLO SURE REPORT ~ ... . . f ~ . . . . . . R e p o m , , ~ O a , e o f a ~ p o .Page 7 of 1 1 P O S N ~ :R , R I C H A R D A . 0 ( , / 0 ] / 2 0 1 0

VII. INVESTMENTS and TRUSTS-~ ......... ~ . e . , . . . . . . . . . i o . , ( ~ . , . ~ . a ~ , , ~ o ~ - ~ o , ~ , . . . . . . ~ d ~ , ~ . a . . . . ~ ~ . ; ~ , , ~ , v . 34-60 of f!llng instruction$.)~ NONE (No reportable income, assets, or transactions.)........... ~ .......................... ~ . ] . . . . . . .. . . . . . . .. . . . . . . .. . . . ~ ~ ~. .........D e s c r i p t i o n o f A s s ~ I n c o m e d u r i n g ~ Gross value at end [ T r a n s a c t i o n s d u r i n g r e p o s i n g( ~ c l u d b g t ~ s l a s s e t s ~ reposing peri~ :: o f r e p o r t i n g ~ e f i o d

P l a c e " ( X ) " a f t e r e a c h a s s e l A m o u n t T~e (e.g., Value Value T~e (e.g., Date ] Value G a i n Idcnli~ ofe x e m p t f r o m p r i o r d i s c lo s u r e C~e I d i v . , r e i n . C o d e 2 M e t h o d b u y , s e r f , ~ m ~ d ~ y y ]code 2 C o d e I b u y e r ! s e l ~ e r(Ad]) o t ~ n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) [ ~ ( J - P ) , [ A - I t ) (ifprivale

3 5 , I R A ACCO~T#i3 6 . BLACKROCK GLOBAL A LLOCATION A Dividend K TFUND3 7 . BLACKROCK MIDCAP VALUE None J T

OPPORF1JNITY FUND B3 8 . BLACKROCK MIDCAP VALUE A Dividend J TOPPORTUNITY FUND A3 9 . TIAA MONEY MAR.KET ACCT (PREV A Dividend J TML BANK L ISA RASP ACCT)4 0 .

41. 11L A ACCOUNT #2:4 2 . TIAA MONEY MARKET ACCT A Dividend J T(FORMERLY ML BANK U SA RASPACCOUNT)4 3 , CERTIFICATE OF DEPOSIT B I n t e r e s t Matured 04/17/09 KWILMINGTON TRUST CO4 4 . BLACIQROCK PACIFIC FUND A Dividend K T4 5 . BLACK.ROCK BASIC VALUE FUND A Dividend K T4 6 . BLACICROCK GLOBAL ALLOC FUND A Dividend L T4 7 . BLACKROCK VALUE OPPORTIJN.ITIES A Dividend K TFUND4 8 , BLACKROCK GLOBAL DYNAMIC A Dividend L TEQUITY FUND4 9 . BLACKROCK LATIN AMERICA FUND A Dividend K T5 0 . AMERICAN FUNDS 1NTERMIDIATE C r)ividend L TBOND FUND A5 1 . BLACK_ROCK TOTAL RETURN FUND C Dividend L T


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Iame of Person Reporting Date of RepnrtPageFINANCIAL8 of 1 1 D I S C L O S U R E R E P O R T [ P O S N E R , R I C H A R D A . 0 6 / 0 M 2 0 t 0V I I. INV ESTMENTS an d TRUSTS - ,~ ..... ~ , value, t ...... i on s ( I n cl ude s t h ox e # f s p . . . . . . .. d depend .....h i ld ren; seepp . 34 -60 D r i l l ing instruct ions . )I---] N O N E (No reportable income, assets, or transactions.)

~ . ~i ............. c. .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . b~-~ ......................Description of Assets Incom e duriog Gross value at end Traosactions during reporling period(including trust assets) reporting period of reporting period~i) i~ ....i~i-~i~i- ..............~T ~ ) . . . . . . . . (3) (~) ..............~ .....Place "(X}" afI~r each asset ! Amounl Type (e.g.. Value [ Value I Type {e.g., Date Value Gain Identity ofexempt from prior disclosure : Code I div. renl. C o d e 2 [ Method buy, sell, m r n . : d c U y ) . Code 2 Code I buyer;sellcr(A-H) orint.) (J-P) ] Code3 I redemption) (J -P) (A-H ) ([fpri~,ate52 . U S TREASURY STRIP ZERO COUPON None J TB O N D53 . CERTIFICATE OF DEPOSIT TEMECULA A Interest B uy : 0l/~ 5,t09 KVALLEY BANK54 Matured 07120/09 K55 . RETIREMENT ACCOUN]S:

56 . V A . N ( J U A R D 5 0 0 I N D E X F U - N D - B Divideod N TI N V E S T O R C L A S S57 . TIAA CREF RETIREMENT A N N U ITIES F Dividend P1 T

58 . "IIAA REAl. ESTATE FUND None M T59 . TIAA CILEF ,STOCK MUTUAL FUND None N T(SRA RETIREMENT)60, cILEI- MONEY MARKET None J T B uy 11!02/09 J

6 1 .

6 2 . BANK FINANCIAL (BANK ACCOUNT) A I n t e r e s t J T6 3 .

6 5 .

6 7 ,

6 8 .


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FINANCIAL DISCLO SURE REPORT i s . . . . f ~ . . . . . . R ~ p o r , J . g D a , e o f a ~ o ~ tPage 9 of 1 1 ~ O S N E a , R I C H A R D A . 0 6 t 0 3 1 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . . . . . . J . .. . . . . . . . . . , ~ o ~ a ~ e ~ , ,a ~ , ,J , o ~ o y e z , . .. .. . a ~ v , . ~ . , ~ z a ~ , , ,; ~ ~ . ~ 4 - ~ o o z ~ i , ~ ~.~,+.~.)N O N E (No reportable income, assets, or transactions.)

A . ~ . - - . . . . . . . . ~ .... ~ .................... ~ . . . . . . . . . . . . . . . . . . ..D~cription of Assets Income dur ing Gross value at end Transaclions during repo~ing pe6od

(incJudmg trust assets) ~ re~Jng ~ri~ of re~aing period ~

.... pl from prior disclosure [ Code I di ......t. Code 2 Melhod ~ buy. sell. m~dgyy- ] Code 2 : Code ] ~ buyerlseller(A-H} or int.) (J-P) Code 3 : rcdempl ion~ ~ } (J-P) {A-H) ] {ifpfivalc L {Q -W ) i_ ~ ~ , .......ion)


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FINANCIAL DISCLOSURE REPORT [ N ......fP .... Repor,i,~g Dat~ ol" ReportPage ] 0 of t I1 1 PO S N E R , R I C H A R D A . 0 6 / 0 3 i2 0 1 0

VIII. ADDITIONAL INFORMATION OR EXPLANAT IONS. a,,ai,.~,,~,~,t o/~epo,t.)


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FINANCIAL DISCLO SURE REPORT ~ . ,~ of Pe,sou Reporting [ Date of ReportIage 1 1 of I 1 POSNER, R I C H A R D A . 0 6 / 0 3 / 2 0 1 0IX. C ERTIFICATION.

I certify that al~ information given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that arty information not reported was withheld because it met applicable siatutoryprovisions permitting non~lisclosure.I furlher 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 INDIVIDUAL \VHO K NO\VINGLY AND \VILFULLY FAI ,SIFIES OR FAII .S TO FILE TH IS REPORT MAY BE SUB JECT TO CIVILAND CRIMINA L SA NCTIONS (5 U.S.C. app. 104)

FILI -NG INSTRU CTIONSMai! signed original and 3 additional copies Io:

Committee on Financial DisclosureA dministrative Office of the U nited States CourtsSuite 2-301Orle Columb us Circle, N.E.Washington, D.C. 20544

richard a posner financial disclosure report for 2009

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