richard a posner financial disclosure report for 2010

8/3/2019 Richard A Posner Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 20 10

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

1 . Person R eport ing ( last name, f i rst , middle ini t ia l )P O S N E R , R I C H A R D A .

4. Ti t le (Art ic le 111 judges ind ica te ac t ive o r sen io r s ta tus;magis t ra te judges indicate fu l l - or par t - t ime)A C T I V E U S C I R C U I T J U D G E

7. Chambers or Off ice Address2 1 9 S D E A R B O R NCH ICA G O IL 6 0 6 0 4

2. Court or OrganizationU S C O U R T O F A P P E A L S 7 t h C I R C

3. Date of Repor t06/01/2011

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in com pliancewith appl i cable l aws and regula t ions .

Re v i e wi n g O f f i c er Date

6. Report ing Pe riod0 1/ 0 1 / 20 10

to12/31/2010

IMPORTANT NOTES: The instruct ions accompanying this form must be fol lowed. Complete al i parts,checking the NONE box for each pa rt where you have no reportable information, Sign on last page.

I . P O S I T I O N S . ( R e p o r t in g i n d i v i a , . l o , ty ; s e e p , . 9 - 1 3 of filing instructions.)~-q ~o reportable positions.)O N E

P O S I T I O N1 . S E N IO R L E C T U R E R2. T R U S T E E3.4.

5.

N A M E O F O R G A N I Z A T I O N / E N T I T YU N I V E R S I T Y O F C H I C A G O L A W S C H O O LTRUST~

II . AGREEMENTS. ( R e , o n i n g individual only; seepp. 14-16 of filing instructions.)~] NONE (No reportab le agreements . )D A T E P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

N a m e o f P e r s o n Repor t ingPOSNER, RICHARD A.

Date of Repor t06/01/2011

I l L N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestment Income

~ (No r e po r t abl e non - inv e s t me n t i ncome . )ONEDATE SOURCE AND TYPE

1.2010 O X F O R D U N I V E R S I T Y P R E S S ( U N I T E D S T A T E S ) ; R O Y A L T I E S2 .2 0 1 0 H A R V A R D U N IV E R S IT Y P R E S S ; R O Y A L T IE S3 .20 1 0 W O L T E R S K L U W E R / A S P E N P U B L IS H E R S ; R O Y A L T IE S4. 2010 E N G L I S H A G E N C Y ( J A P A N ) ; R O Y A L T I E S5 .20 1 0 U N IV E R S IT Y O F C H IC A G O P R E S S ; R O Y A L T IE S6. 2010 O X F O R D U N I V E R S I T Y P R E S S ( U N I T E D K IN G D O M ) ; R O Y A L T I E S7 .20 1 0 A U T H O R S R E G IS T R Y ; R O Y A L T IE S8. 2010 E D W A R D E L G A R ; R O Y A L T I E S ( N E T O F F O R E I G N T A X E SW I T H H E L D )9.

1 0 .

II.

INCOME(yours, not spouses)

$1,617 .09

$70 ,395.50

$19,659.32

$1,700.00

$9,336 .09

$19.33

$213.60

$1,870 .00

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - l f you were marr i ed du r ing any por t i on o f th e r epo r t i ng y ear , comple t e th i s sec t i on .(Dollar am ount not required except for honoraria.)

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

1 .

2.

3.

4.


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N a m e o f P e r s o n R e p o r t i n gPOSNER, RICHARD A.

Date of Report06/01/2011

I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter tainment.(Includes those to spouse and dependent children; see pp. 2 5-27 o filling instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1 . F O R DH AM LA W S C HO OL M A R C H 2 7 - 28 , N E W Y O R K N Y M O O T C O U R T F IN A L S T R A N S P O R T A T I O N , H O T E L A N D20 10 F O O D

2. A M E R I C A N L A W A N D M A Y 6 - 8 , 2 0 1 0 N E W H A V E N C T W O R K S H O P T R A N S P O R T A T I O N , H O T E L A N DE C O N O M I C S A S S O C & F O O DT H E U N I V E R S I T Y O FC H I C A G O L A W S C H O O L3. U S D I S T R I C T C O U R T , M A Y 1 2 - 1 5 , 2 0 1 0 B O S T O N M A S P E A K E R T R A N S P O R T A T I O N , H O T E L A N D

F I R S T C I R C U I T F O O D4. H A R V A R D U N I V E R S IT Y J U N E 1 6 , 2 0 1 0 C A M B R I D G E M A S P E A K E R T R A N S P O R T A T I O N , H O T E L A N DP R E S S F O O D5. A M E R I C A N J U N E 1 7 - 16, 2010 W A S H !N G T O N D C P A N E L IS T T R A N S P O R T A T IO N , H O T E L A N DC O N S T I T U T IO N S O C I E T Y F O O D6. B R E N N A N C E N T E R F O R O C T O B E R 4 - 5 , B E R K E L E Y , C A S Y M P O S IU M T R A N S P O R T A T I O N , H O T E L A N DJ U S T I C E N Y U 20 10 F O O D


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Na m e o f Pe r son Re por t ingP O S N E R , R I C H A R D A .

Date o f Report06/01/201 l

V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31 of f!ling instructions.)N O N E ( N o reportable gifts.)

S OUR CE DE S CR I P T I ON1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . an e ~ u d e s ~ h o s e o f s p o u s e a n d d e p e n d e n t children; see pp. 3 2 - 3 3 offiling instructions.)N O N E (No re portable liabilities.)

C R E D I T O R D E S C R I P T I O N1 .2.3.4.5.

VALUECODE


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q a m e o f P e r s o n R e p o r t in gPOSNER, RICHARD A.

D a t e o f R e p o r t0 6 / 0 1 / 2 0 1 1

V II. INVESTM ENTS and TRU S TS - i, ....... lue, t ......i ons ( Inc lud es t hose o f s pous e a nd d epen d en t ch i ld r en ; s e e p p . 3 4 - 60 o f f ! l lng i n s t ruc ti ons . )[--~ N O N E ( N o rep or table income , assets , or t ransact ions. )

1 . B R O K E R A G E A C C O U N T S A N DMU T U A L FU N D S:2. D W S M A N A G E D M U N I B O N D F U N D - DC L A S S S3. V A N G U A R D 5 0 0 I N D E X A D M F U N D D4. T I A A C R E F B R O K E R A G E S V C E S AM O N E Y M A R K E T A C C T5. BL A CK RO CK N A T L MU N I FU N D A6. BL A CK RO CK N A T L MU N I 1N ST L AF UND7. N U V E E N M U N I M A R K E T BO P P O RT U N IT Y FU N D8. B L A C K R O C K M U N 1 2 0 1 8 F U N D A9. BL A CK _RO CK G L O BA L A L L O CA T IO N AF U N D A

1 0 . B L A C K R O C K G L O B A L A L L O C A T I O N AF U N D B1 1 . N U V E E N I N S U R E D Q U A L I T Y M U N I BF UND1 2 . N U V E E N S E L E C T Q U A L I T Y M U N I B1 3 . T I A A C R E F S H O R T T E R M B O N D F U N D AII1 4 .

1 5 . S E P R E T I R E M E N T A C C O U N T :1 6 . B L A C K R O C K B A S I C V A L U E F U N D D1 7 . B L A C K R O C K G L O B A L A L L O C A T I O N AF UND

D i v i d e n d M TD i v i d e n d N TD i v i d e n d K TD i v i d e n d K TD i v i d e n d K TD i v i d e n d K TD i v i d e n d K TD i v i d e n d J TD i v i d e n d J TD i v i d e n d K TD i v i d e n d K TD i v i d e n d K T Bu y 11/15/10

D i v i d e n d O TD i v i d e n d L T

. . . . . . . . . . . i : S ~ ~ i ~ i ~ ~ 5 . . . . . . . : ~=~ i~i :~i~6~0 00 . . . . . .. . . ~ ~ $ ~ o o , o o ~ = $ i ; o o o : o o o2 . Valu e Codes J =$ t 5 ,000 0r less K ~$15;001 - $50,000

( S e c C o l u m n s C I a n d D 3 ) N = $ 2 5 0 ~0 0 1 - $ 5 0 0 i 0 0 0 O = $ 5 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0P3 =$25,000,001 - $50,000;0003 . Valu e Method Codes Q =AppraiSal R =Cos t ( R ea! Es ta t e Only )

( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h c r

C =$2,5 01 - $5 ,000 D =$5 ,001 - $15,000 E =$15,001 - $50,000HI =$1,000,001 - $5,000;000 I-!2 =More than $5,000,000 : .....L =$50,001 - $100,000 M = $ I 0 0 , 0 0 1 - $ 2 5 0 , 0 0 0PI =$1,000,001 - $5,000,000 P 2 =$ 5 ,0 0 0 ,0 0 1 - $ 25; 0 0 0 ~ 0 0 0 .P4 =More than $50,000,000S =As s es s ment T =C a sh Ma rke tW =Es t imated


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FINANCIAL DISCLOSURE REPORTPage 6 of 10 Ia m e o f P e r s o n R e p o r t i n gPOSNER, R I C H A R D A . D a t e o f R e p o r t06/01/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i, ,c o , ~ e , v a ~ u e , , r a n s a c t l o n s a , c iu d e s t h o s e o S s p o u s e u n d d e , e n d e n t children; see p p . 3 4 - 6 0 of filing instructions.)NONE (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s e t s( i n c l u d i n g t ru s t a s s e t s )P l a c e "(X)" after each asset

exempt f rom pr ior d isc losu re

Income dur ingr e p o r t i n g pe r i o d o f r e p o r t i n g p e r i o d(1) (2) (1) (2) O) (2) .... ( 3 )

A m o u m T y p e ( e . g . , V alue V alue T Y P ~ ( e .g . ,: D a t ~ . ValueC o d e 1 d i v . , r e n t , C o d e 2 M e t h o d b u y , s e ! li m m / d d /y y : " C o d e 2( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ): O - P )( Q - W )

( 4 ) (5)Gain Identity of

(A-H) (if privatet r a n s a c t i o n )

1 8 . T I A A M O N E Y M A R K E T A C C O U N T A Divid en d J Bu y 104/15/10 J1 9 .

20 . T R U S T A C C O U N T :2 1. T IA A M O NE Y M A RK ET AC CT A Divid en d J T

BL A CK RO C K N A T L MU N I FU N DIN ST IT U T IO N A L D i v i d e n d2.23 . B L A C K R O C K M U N I B O N D F U N D C Divid en d( F O R M E R L Y C A L L E D M U N I I N SF U N D )24 . B L A C K R O C K G O L B A L D Y N A M I C A Divid en dE Q U IT Y FU N D25 . BL A CK RO C K G O V T IN CO ME FU N D A B Divid en d

KK

TT

26 . D W S G N M A F U N D C L A S S S C Dividend M T27 . D W S S H O R T D U R A T I O N P L U S F U N D -C L A S S S28 . D W S C L I M A T E C H A N G E F U N D -C L A S S S29 . D W S M A N A G E D M U N I B O N D F U N D -C L A S S S3 0.

Dividend MN o n e

D Dividend

31 . I R A A C C O U N T # 1

3 2. B L A C K R O C K G L O B A L A L L O C A T I O NF UND3 3 . B L A C K R O C K M I D C A P V A L U EO P P O R T U N I T Y FU N D B

A Divid en d K

N o n e

2 . Valu e Codes J =$15,000 or tess( S e e C o l u m n s C 1 a n d D 3 ) N =$250,001 ~ $500,000

P3 =$25,000,001 - $50,000,0003 . Valu e Method Codes Q = Ap p r a i sa l

(S e e C o lumn C 2) U =Book Valu e

B =$1 ,001 - $2 ,5 00G =$ 10 0 ,0 0 1-$ I,0 0 0 ,0 0 0K=$15,001- $50,000O=$5 00,001 - $1,000,000R =Cos t ( R c al Es t a t e Only )V =Other

C =$2;501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000H 1--$ ;000,001 ; $5~000;000 H2 ~More than $5 000000 .....L =$50 001 - $100 000 M =$1 00 00l - $2 5 0;000PI =$1i000,001 - $5;000 000 P2 =$51000,001 -$25,000,000P4 =Mor~ than $50,000~000S =As s es s ment T =C a sh Ma rke tW =Es t imated


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~ / a m e o f P e r s o n R e p o r t i n gPOSNER, RICHARD A.

Date of Report06/01/2011

V II. INVESTM ENTS and TRUSTS -i .... e , value, t ......tlons (lndudes those of spouse and dependen t children; see pp. 34-60 of filing instructions.)~ -~ N O N E income, or transactions.)N o reportable assets,

3 4.35 .36 .

37 .3 8.3 9.40 .41 .42 .

43 .44 .45 .46 .47 .48 .49 .50 .

B L A C K R O C K M I D C A P V A L U EO P P O R T U N I T Y F U N D AT I A A M O N E Y M A R K E T A C C T

AA

Divid en d J TDivid en d J T

I R A A CCO U N T #2 :T I A A M O N E Y M A R K E T A C C T A Divid en d J TB L A C K R O C K P A C I F I C F U N D A Divid en d K TB L A C K R O C K B A S I C V A L U E F U N D A D i v i d e n d K TB L A C K R O C K G L O B A L A L L O C F U N D A Divid en d L TB L A C K R O C K V A L U E O P P O R T U N I T I E S A Divid en d K TF UNDB L A C K R O C K G L O B A L D Y N A M I C A Divid en d L TE Q U IT Y FU N DB L A C K R O C K L A T I N A M E R I C A F U N D A Divid en d K TA M E R I C A N F U N D S I N T E R M I D IA T E B Divid en d L TB O N D F U N D AB L A C K R O C K T O T A L R E T U R N F U N D C Divid en d L TU S T R E A S U R Y S T R I P Z E R O C O U P O N N o n eB O N D Matured 11/15/10 K

O T H E R RETIREMENT ACCOUNTS:T I A A R E A L E S T A T E F U N D( T R A D I T IO N A L I R A A C C O U N T ) N o n e M T

t . l nc om~ Gain Codes :(S e e C o lumn s BI a n d D 4)

2 . Valu e Codes( See Colu mns CI and D 3 )

3.Valu e Melhod Codes( S e e C o l u m n C 2 )

A =$1,000 o r tess B =$Ii001 ~ S 2;5 00 =$2, 501. $5, 000 D =$5,001. $15,000 E =$15,001 - S50,000F=$50~00i ~ $i00;000 G--$100100i ~$1;000,000 H1 ~$1;000,00i i$5i000;000 . . . . H2 =More than $5~000;000 : .......J =*15,000 or less K =$15,001, $50;000 L :$50i001L $100,000 M :$ 00,00 , $250,000N =$250,001 - $500,000 O =$500,001 ~ $1,000 000 P i ~$i;000,00i - $5;000,000 P2 =$5 000 001 ~ $25 000 000 :P3 =$25,000,001 - $50,000,000 P4 =More than $50~000,000Q = Ap p r a i sa l R =Cost (Real EState Only) .... S =As s es s ment T =C a sh Ma rke tU =Book Valu e V =O th e r W =Es t imated


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N a m e o f P e r s on R e p o r t in gPOSNER, RICHARD A.

D a t e o f R e p o r t06/01/2011

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, t ...... tlous (Includes those of sp ...... d dependent ch i ldren; see pp . 3 4-60 o f f i l lng instructions.)~ ] N O N E (No reportable income, assets, or transactions.)

51 .52 .53 .54 .

55 .56 .

T I A A T R A D I T I O N A L G U A R A N T E E DA N N U I T Y ( T R A D I T I O N A L I R A A C C T )U N I V E R S I T Y O F C H I C A G OC O N T R I B U T O R Y R E T I R E M E N T P L A NS T A N F O R D U N I V E R S I T YC O N T R I B U T O R Y R E T I R E M E N T P L A NN A T L B U R E A U O F E C O R E S E A R C HT A X D E F A N N U IT Y P L A NU N I V E R S I T Y O F C H I C A G OS U P P L E M E N T A L R E T I R E M E N T P L A N

None M T

57 . BA N K FIN A N CIA L (BA N K A CCO U N T )58 .

A Interest

59 .

60 .61 .62 .

!63.64 .

I. I nc ome Gain Codes :(S e e C o lumn s BI a n d D 4)

2.Valu e Codes( See Colu mns CI and D3 1

3.Valu e Method Codes/ See Colu mn C2 1

A =$ 1.0 0 0 o r le s sF =$50.001- $t00.000J : $ 15 .0 0 0 o r le s sN=$250.001- $500.000P3 =$25.000.001- $50.000.000Q =App~is a lU =Book Valu e

B =$1 .001 - $2.500 C =$2.5 01 - $5 .000 D =$5.001 - $15 ,000 E =$15.001 - $50.000G =$100.001 - $1.000.000 H I =$ 1, 00 0, 00 1 - $5 ,1 )0 0, 00 0 H 2 =M or e th an $ 5, 00 0~ 00 0K =$15.001 - $50.000 L =$50.00 i - $100,000 M =$100.001 - $250.000O =$500,001 - $1,000.000 P1 =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P4 =More than $50.000.000R =Cos t ( R eal Es t a t e Only ) S =As s es s ment T =C a sh Ma rke tV Other W =Es t imated


9/10

IFINANCIAL DISCLOSURE REPORT N a m e o f P e r s o n R e p o r t i n g I Date of ReportPage 9 of 10 ~ O S N E R , R I C H A R D A . IVIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

P A R T V I I IN V E S T M E N T S A N D T R U S T S :T H E R E P O R T I N G O F O T H E R R E T I R E M E N T A C C O U N T S , A S S H O W N O N L I N E S 50 T H R O U G H 5 5 H A S B E E N C H A N G E D F R O M T H E M E T H O DU S E D T O R E P O R T T H E S E A S S E T S P R E V I O U S L Y ( F D R 2 0 09 R E P O R T L I N E S 5 6 T H R O U G H 6 0 ).

C U R R E N T Y E A R R E P O R T I N G H A S B E E N C H A N G E D T O C O N F O R M W IT H T H E F I L I N G IN S T R U C T I O N S , P A G E S 4 3 - 4 4 W H IC H S T A T E S T H A TT H E O N L Y I T E M T O B E R E P O R T E D F O R C O M M O N T R U S T F U N D S , S U C H A S T H O S E M A I N T A IN E D B Y T I A A - C R E F , IS T H E N A M E O F T H ES P E C I FI C P L A N I N C O L U M N A .


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Na m e o f P e r so n R e p o r t i n gPOSNER, RICHARD A.

Date of Repor t06/01/2011

IX. CERT IFICATION.I c e r t if y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) isa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o r y

p r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d h o n o r a r ia a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature

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 I F IE S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C 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 )

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t iv e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sSui t e 2 -301O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

richard a posner financial disclosure report for 2010

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