sharon prost financial disclosure report for 2010

8/3/2019 Sharon Prost Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPO RTFOR CALENDAR YEAR 2010

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

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , m i d d l e i n i ti a l )P r o s t , S h a r o n

4. Title (Article HI judges indicate active or senior status;magistrate judges indicate full- or part-time)C i rc u i t J u d g e - A c t i v e

7. Chambers or Office AddressU.S . Cour t o f App eals , Fed Ci r7 1 7 Madi s on PI . , NWWash ing ton , D C 2 0 43 9

2. Court or Organ izat ionFeder a l C i r cu i t

3. D a t e o f R e p o r t05/11/2011

5a . Report Type (check app rop ria te type )] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis of the information contained in this Report and anymodif ica t ions pe rta in ing the re to , i t is , in m y op in ion , in com pliancewith appl icable laws and regulat ions .

Reviewing Off i cer Date

6. Repor t ing Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form mast be followe~L Complete all parts,checking the NONE box for each part where you have no reportable informat ion. Sign on last page .

I . P O S I T I O N S . ( Repor ang ind i v idual on ly ; s ee pp . 9 - 13 o f f ! l i ng i n s t ruc t ions . )~] N O N E ( N o reportable positions.)

P O S I T I O N N A M E O F O R G A N I Z A T IO N / E N T IT Y

2.

3.

4.5.

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of fding instructions.)N O N E ( N o reportable agreements.)

D A T E1 .2.

3.

P A R T I E S A N D T E R M S


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N a m e o f P e r s o n R e p o r t i n gPageFINANCIAL2 of 9 DISCLOSURE REPORT ] Prost, Shako. "

H I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 o/filing instructions.)A. Filers Non-Investm ent Incom e~] N O N E (N o repor table non- inves tment income. )

DATE SOURCE AND TYPE

2.3.4.

D a t e o f R e p o r t05/11/2011

I N C O M E( 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 - If you were married during any portion of the reporting year, complete this sectior~(Dol lar amount not required except for honoraria. )

~] N O N E ( N o reportable non-investment income.)D A T E S O U R C E A N D T Y P E

1 .2.3.4.

I V . R E I M B U R S E M E N T S - ~ a n s p o n a n o n , i o d g i n g , l o o d , e n t e r ta i .... ~( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f i li n g i n s t r u c t io n s . )~--] N O N E ( N o reportable reimbursements.)

S O U R CE D A T E S L O CA T IO N PU R PO S E I T E M S P A I D O R P RO V I D E D1 . New Y or k I n te l l ec tua l 03/26/2010-03/27/2010 N e w York , N Y D i n n e r i n H o n o r o f F e d e r a l T r a n s p o rt a ti o n , f o o d , l o d g in gProperty Law Associat ion Judiciary2. H a r v a r d L a w S c h o o l 04/22/2010-04/24/2010 Boston, MA Confer ence panel i s t T r anspor ta t ion , f ood , lodg ing3. T h e R i c h a r d L i n n A m e r i c a n 03/13/2010-03/14/2010 Chicago , IL In n m e etin g p an elist T ra nsp or ta tio n, fo od , lo dg in gInn of Cour t4. Feder a l C i r cu i t Bar 6 / 2 2 / 2 0 1 0 - 6 / 2 6 / 2 0 1 0 C o l o r a d o S p r i n g s , C O Confer ence panel i s t T~ans por t a f ion , food, l odgingAssociat ion5. H a rv ard L aw Sc h oo l 1 0/13 /2 01 0 -1 0/14 /2 01 0 B o ston , M A Co nfere nce p a nelis t Transpor tation, food, lodging6 . S e d o n a C o n f e r e n c e 10/20/2010-10/22/201C, Phoenix , AZ Co nfere nce p a nelis t Transpor taton, food, lodging


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FINANCIAL DISCLOSURE REPORTPage 3 o f 9

N a m e o f P e r s o n R e p o r t i n gProst, S h a r o n

D a t e o f R e p o r t05/11/2011

7. P hila de lp hia In te lle ctua l 11 /18/2 010 -11 /19/2 01C P hila delp hia , PA A nn ua l Jud ge s Dinn er Transpor tation, food, lodgingProper ty Law As s oc ia t ion


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FINANCIAL DISCLOSURE REPORTPage 4 of 9

Name of P erson Repor t ingP ros t , Sh a ron

Date of Repor t05/11/2011

V . G I F T S . a n c l , , d e s t h o s e t o s p o , , s e , ,n d d + e , ~ , , t chiMren; s e e p p . 2 8 - 3 1 of filing instructions.)N ON 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 c l u d e s ~ h o s e o I ~ p o n s e ~ n d dependent children; see p p . 3 2 - 3 3 of filing instructions.)N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTP a g e 5 o f 9

N a m e o f P e r s o n R e p o r t in gProst, S h a r o n

D a t e o f R e p o r t05/11/20 t 1

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 , , ,a l ~ , t r , ,, ,. e t io n s a n a , d e , t h o s e o ~ " s p o , ,s e , , n ,~ , ~ p e , d e n t children; see p p . 3 4 - 6 0 of filing instructions.)[] NONE (N o repor tab le income , as se t s , o r t ransac t ions . )D e s c r i p t io n o f A s s e ts I n c o m e d u r i n g( inc luding t r us t a s s e t s ) r e por t i ng pe r iod

(1) (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 ro m p r i o r d i s c l o s u r e C o d e 1 d i v . , r e n t ,( A - H ) or int . )

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)Value V alueC o d e 2 M e t h o d

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

(t )T y p e ( e . g .,b u y , s e 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 in g p e r i o d(2) (3) (4) (5 )

D a t e Value G a i n I d e n t i t y o fm m / d d ! y y C o d e 2 C o d e 1 b u y e r / s e l l e r

( J - P ) ( A - H ) ( i f p r i v a t et r a n s a c t i o n )

1 . ML Fundam enta l Growth Mutua l Fund2. C M A T a x - E x e m p t F u n d3. R e s e r v e P ri m e M o n e y M a r k e t4. G ener a l E lec t r ic Comp any5. Pioneer - Pioneer Value Fund CI A6. A m e r i ca n F u n d s - S m a l lC a p W o r l d F u n dInc. CIA7. WG L Hold ings I nc .8. Am er ican Funds - Cap i ta l Wor ld GrowthI ncome Fund CI B9. Renta l P rope r ty , S i lve r Spr ing , MD

1 0 . U ni ted Sta t e s Sena te FCU - Account1 1 . U ni ted Sta t e s Sena te - ROT H IRA1 2 . Pionee r - P ionee r Mid-Cap Growth Fund -IR A1 3 . M & T B a n k - IR A1 4 . P N C B a n k - I R A ( f o rm e r l y k n o w n a s R i g g sNat ional Bank)1 5 . U.S . G over nmen t Fund - Th e Reser ve Fund- IR A1 6 . Me r i l l Lynch Li f e I nsu r ance Cash Sur r ender

V a l u e1 7 . PNC B ank - CD s (fo r mer ly know n as RiggsNat ional Bank)

N o n e J T

A Interest J T

A D i v i d e n d J T


A D i v i d e n d K T

N o n e J T

D D i v i d e n d K T

N o n e J T

D R e n t M W

B Interest M TA Interest J T

A D i v i d e n d K T

A Interest J T

A Interest J T


A D i v i d e n d L T

A Interest K T

1. I ncom e Gain C odes : A =$ 1,000 or less B =$ 1,001 - $ 2,500 C =$2,501 - $5,000(See Co lu mn s B I an d D4 ) F =$50,001 - $ 100,000 0 =$ 1 00,001 - $ 1 ,000,000 H1 =$1,000,001 - $5,0~0,000

2 . V alue C odes J = $ 15,000 or less K =$15,001 - $ 50,000 L =$50,001 - $ 100,000(See Co lu mn s C1 a~d D3) N =$250,001 - $500,000 O -- $5 00 ,0 01 - $ 1,0 00,0 00 P I = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00

P3 =$25,000,001 - $50,000,000 P4 =Mo re tha~ $50,000,0003 . V alue M ethod Codes Q =A pp raisal R =Cost (Real Estate Only) S =A s s es s m eot(See Colurma C2) U =Bo o k Va lu e V = O t h e r W =Es t im ated

D ~-$5,001 - $15,000H 2 = M o r e ~ a a $ 5 , 0 0 0 , 0 9 0M = $ 1 0 0 , 0 0 1 - $ 2 5 0 , 0 00P2 =$5,000,001 - $25,~00,000T =Cash Marke t

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gProst, Sharon

D a t e o f R e p o r t05/11/2011

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; see pp. 34-60 of f!ling instructions.)N O N E ( N o reportable income, assets, or transactions.)

Description of Assets Income during(including trust assets) reporting period

(1) (2)Place "(X)" after each asset Amount T y p e ( e . g . ,

exempt from prior disclosure Code 1 d i v . , r e n t ,(A-H) o r i n t . )

Gross value at endof reporting period

( 1 ) ( 2 )V alu e V alueCode 2 Method

( J - P ) Code 3

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

r e d e m p t i o n )

Transactions during reporting period(2) (3) (4) (5 )

D a t e Val ue Gain Identity ofm m /dd /y y Cod e 2 C o d e 1 buyer/seller( J - P ) ( A - H ) ( i f p r i v a t e

t r a n s a c t i o n )

1 8 . A m e r ic a n F u n d s - E u r o P a c G r o w t h A D iv idend1 9 . G oldman Sach s TR Mid -Cap Value Fund N o n e20 . Pentair Inc. A D iv idend21 . A m erican Cen tury N ew O p p o rtu nities N o n e22 . E a t o n V a n c e L a r g e C a p V a l u e A D iv idend2 3. H a rt fo r d G ro w th O p p o r tu n it ie s N o n e24 . Art io Globa l Inves tment F unds In t e rna t iona l A D iv idendEqui ty II 125 . Royce Pe rm s y lvania Mutua l Fund A D iv idend26 . Th omb ur g I n ter na t ional Value Fund ( See A D iv idendPar t VII I )27 . W e l l s F a r g o A d v a n t a g e S m a l l C a p G r F u n d N o n e( See Par t VI I I )28 . W e l l s F a r g o A d v a n t a g e S m a l l C a p G r o w t h N o n eA d m i n F ra c29 . W e s t c o r e S m a l l C a p V a l u e F u n d A D iv idend30 . iSh ar es Russe l l 10 0 0 G r ow th I ndex Fund A D iv idend31 . iSh ar es Russe l l 10 0 0 Value I ndex Fund A D iv idend32 . Munic ipa l Bond Ohio A Interes t33 . Mun ic ipa l Bond Je f fe rs on County , CO A Interest34 . Mun ic ipa l Bond Purdue U niv . A Interes t

J

J

J

J

J

J

J

J

J

JJJJKK

T Sold(part) 10/20/10 J A

T B u y 10/20/10 J( a d d l )T S o l d 10/20/10 J A

(part)T B u y 10/20/10 J( a d d l )T S o l d 10/20/10 J A(part)T S o l d 10/20/10 J A( p a r t )

S o l d 12/06/10 J AT B u y 12/06/10 JT S o l d 10/20/10 J A(part)T S o l d 10/20/10 J A(part)T Buy 10/20/10 J

( a d d l )T

Sold 03/19/10 K A

1. I ncom e Gain C odes : A =$I,000 or less B = $ 1,001 - $ 2,500 C =$ 2,501 - $ 5 ,000 O =$ 5 , 00t - $ t5 , 000(See Co lu mn s BI an d D4 ) F =$50,001 - $100,000 O =$!00,001 - $1,000,000 H1 =$1 ,000,001 - $5,000,000 1 - 1 2 = M o r e th a n $ 5 , 0 0 0 , 0 0 0

2. Value Codes J =$ 15,000 or less K =$ 15,001 - $ 50,000 L =$ 50,001 - $ 100,000 M =$100,001 - $ 250,000(See Co lu mn s C1 an d D3) N =$ 250,001 - $ 500,000 O =$ 500,001 - $1,000,000 P1 =$i,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 =Assessmen~ T - - - C . a s h M a r k e t(See Colum n C2) U ~B o ok V a lue V =O~ h er W =Es t ima ted

E = $ 15 , 0 0 1 - $ 50 , 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 7 o f 9

N a m e o f P e r s o n R e p o r t in gP r o s t , S h a r o n

D a t e o f R e p o r t05/11/2011

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; see pp. 34-60 of J-ding instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Incom e during G ross value at end Transactions during reporting period(including trust assets) rep ortin g p erio d o f rep ortin g p erio d

(1) (2) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset A m o u n t T y p e ( e . g . , V alu e V alu e T y p e ( e . g . , D a t e V a l u e Gain Identity of

exempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 Method buy, sell, mm/dd /yy Code 2 Code 1 buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

35 .

36 .

37 .

38 .

39 .

40 .

41 .

42 .

43 .

44 .45 .

46 .

47 .

48 .

49 .

M u n i c i p a l B o n d C u y a h o g a O H C o m m . C o l l .M u n i c l p a [ B o n d O r e g o n S t . D p t . A d m i n .

A InterestA Interest

Munic ipa l Bond Spr ing Branch , TX Indp t . A InterestSchool Dis t .Mun ic ipa l Bond O regon St B rd . Ed. A InterestMun ic ipa l Bond S an Antonio , TX Elec . & A Interest KGas Rev.Mun ic ipa l Bond N ew York , NY Trans . F in . A Interest KAuth.Munic ipa l Bond U nive rs it y Tex . A Interest KMunic ipa l Bond Energy Nor thwes t Wa. A Interest KElec .Munic ipa l Bond Met . Ns h-Dvd TN Elec . A Interest KRe v .M u n i c i p a l B o n d G e o r g i a A Interes t KMun ic ipa l Bond O hio St Major New St A Interes t JInfras tructureMF S Value I Fund (See Pa r t VII I ) A Dividend JM u n i c i p a l B o n d C l a c k a m a s O R C m t y A Interest KCollegeMun ic ipa l Bond N Y St EFC St Cln- A Interes t KD r inking Wtr

K

K

SoldT

TSold

T

TT

T

T

TT B uyT B uy(add l )T B uyT B uy

~ 10/06/10 ! K A

12/01/10 K A

12/10/10 J10/20/10 J10/19/10 K03/25/10 K

1. Incom e G ain Codes: A =$1,000 or less B = $ 1,001 - $ 2,500 C =$2,501 - $5,000(See Co lu mn s B1 an d D4 ) F =$ 50,001 - $ 100,000 0 =$ 100,001 - $ 1 ,000,000 H1 =$1,000,001 - $ 5,000,000

2. V alue Codes J = $ 15,000 or less K = $ !5 ,091 - $ 50,000 L =$50,001 - $100,000(See Columns C1 and D3) N =$250,001 - $ 500,000 O =$ 500,001 - $1 ,000,000 P1 =$1,000,001 - $5 ,000,000

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. V alue M eth od Co des Q =A pp raisal R =Cost (Real Estate Only) S =A s s es s m ent(See Co lu n m C2) U =Bo o k Va lu e V =O the r W =Es t im ated

D =$ 5,0 0 I - $ 15,0 0 ~H2 =Mo re than $5,000,000M =$I00,001 - $250,000P 2 =$5 , 0~, ~01 - $25 , ~00, 0~T =Cash Marke t

E=$15,001 -$50,0(10


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N a m e o f P e r s o n R e p o r t in gProst, S h a r o n

D a t e o f R e p o r t05/11/2011

V I II . 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 . (lndicatepart of report)Pa r t V I I L i n e 2 6 - Th o m b u rg In t e re n a t io n a l F u n d - Th i s fu n d w a s l i s t e d a s so l d o n l a s t ye a r s f i n a n c i a l d i sc l o su re , it sh o u l d h a v e b e e n l i s te d a s so l d i n p a r t .Pa r t V I I L i n e 2 7 - W e l l s F a rg o A d v a n t a g e S m a l l C a p - Th i s fu n d w a s l i s t e d a s so l d o n l a s t ye a r s f i n a n c i a l d i sc l o su re , it sh o u l d h a v e b e e n l i s t e d a s so l d i n p a r t .Pa r t V I I L i n e 4 6 - M F S V a l u e F u n d - Th i s fu n d w a s l i s t e d a s so l d o n l a s t ye a r s f i n a n c i a l d i sc l o su re , it sh o u l d h a v e b e e n l i s t e d a s so l d i n p a r t .


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Nam e o f Pe rson Report ingP r o s t , S h a r o n

Date o f Report05/11/2011

IX. CERTIFICATION.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 in 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 , if a n y ) i s

a c c u r a te , t r u 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 ld b e c a u s e i t m e t a p p l i c a b l e s ta t u t o ryp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u re .I f u r t h e r c e r ti f y t h a t e a rn e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a 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 n

c o m p l i a n c e w i t h t h e p ro 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 fe re n c e r e g u l a t i o n s .

Signature: S/Sharon Pros t

N O T E : A N Y I N D IV 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 ES 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 CT T O C M 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 )

Commit tee on F inanc ia l Disc losureAdmini s t r a t ive Of f i ce of the Uni t ed S ta t es Cour t sSui t e 2-301O ne C o l um b us C i r c le , N . E .Washing ton , D.C. 20544

sharon prost financial disclosure report for 2010

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