stephen f williams financial disclosure report for 2009

8/3/2019 Stephen F Williams Financial Disclosure Report for 2009

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A n J 0 [ FINANCIAL DISCLOSURE REPORT R e t o r t R e q u i r e d b y t h e ~ t h i c ~in Governmenl A~I of 1978~. ~0~0 ] F O R C A L E N D A R YE AR 2 009 0 U . S .C . a p p k ,~ 1 0 1 - 1 1 1 )I. Person Ilepnrtlng (last nam e, first, m tddlc im tm l) 2. C ourt or O rganization 3. D ate of R eportWilhams, Stephen F. U.S. Court of Appeals, DC Ct 05/15/2010

4. Title (Article III judges indicate aetwe or senior status, 5a. R eport Typo (cheek appropriate type) 6. R eporting Periodmagistrate judge~ md~tate full- or part-nine)[] Nomination, Date 01/01/2009Article 11I Judge, Senior Status [] lmttal ~ Annual I~ Final tot2/31/20095b. [] Amended Report

7.Chambers or Office Address 8. On the basi~ of the information contained in this Rep ort and anymodifications pertaining thereto, it is, in my opinion, in complianceU.S Court of Appeals ~ath applicable la~s and regulations.333 Constitution Avenue, NWWashmgton, DC 20001 Revievvlng Officer Date

I M P O R T A N T N O T E S : The instructions accompanying this fi, rm must be followed. Com plete atl parts,checking the NON E box for each part where you have no reportable information. Sign on last page.

1 . P O S I T I O N S . n , p o ~ , i , ~ indwiduat only; ~ce pp. 9-13 of filing instructions.)N O N E (No reportable positions.)

PO SIT IO N N A M E O F O R GA N IZA T IO N /E N T IT Y12,

I I . A G R E E M E N T S . m , . ~ . o ,i ,. ~ individual oMy; .,~ pp. 14-16 of filing i ...... finn,.)N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPOR T ~,me of P ..... R e p o r t | n g D a t e o f R e p o r ~Page 2 of 8 W i ll ia m s , S t ep h e n F , 0 5 / 1 5 / 2 0 1 0

IlL NON-INVESTM ENT INCOME. (R~,o,a,,gi.# i~ia.at o~d~,,~;.,~. ~ v - 2 ~ o m i ~A. Fliers Non-Investment income

NONE (No reportable non-invescmem income.)DATE SOURCE A~ TYPE (you~. not spouses)

I.2.

3.4.

B. Spouses N o~-l~vestme~t I n c o m e - ~ o,, were married during any ~ raon of the re~rtlnx year, complete this(Dollar omo u n t not requtred exccpt fi~r honorarta,)~ N O N E (No reportable non-investment income.)

SOURCE A~ TYPE1 . 2 0 0 9 DC Public Schools IS)

2.3.4.

I V . R E I M B U R S E M E N T S --trar~portat~on, Iodg,ng, food, e n t e r t a i n m e n t .(Includes ~hose to spou.~c and dep~ndent cht&h en, see pp 25- 27 of fihng in ~tructzon.~ )

V---] NONE (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

l Umvers~ty ot Colorado February 6-9, 2009 Boulder, Colorado Panel d~scussmn, telecom Transportatton, food and lodging2 Northwestern Umverstty April 16-I 7, 2009 Chtcago, ilhno~s Lecture on preemption "l-ran~portat~on, food and lodging3 Boalt IlaH Law School October 26-27 , 2009 Berkeley, Cahforma Lecture on law & Transportatmn, food and lodging

4 U S Ruffian Foundation [ or O clobcr Moscow Roundtable discussmn on Transportatmn, food and lodg~ngEconomtc Development 3 I-November 3, 2009 tax procedures5 N ew " York U m ver.,,tty L aw X lov cm be r 1 7- 19 , New York, New York H ayek lecture "lransporlahon food and lodgingSchool 2 0 0 9


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FINANCIAL DISCLOSURE REPOR T Name of P ....Report ing Date of Rtport[

Page 3 of 8 W illiams, Stephen F. 0 5 , 1 5 / 2 0 1 0

~ N O N E (No reportable g~s.)~ DESCRIPTION ~

1.2.3.45.

V L L I A B I L I T I E S . a n , . t ~ ,~ , s , h o e , of ~ p . . . . . .. d dependent children; see p p . 3 2 - 3 3 offihng instructtans.)[~] N O N E (No reportable liabilities..)

CREDITOR DESCRIPTION V A L U E C O DE1

234

5.


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FINANCIAL DISCLOSURE RE PORT N .... f P e r s o n R e p o r t , n g [ D a t e o f R e p o r lPage 4 of 8 w i || ia m s , S t ep h e n F.

[ 0 5 / 1 5 / 2 0 1 0VII. INV ESTM EN TS and TRU STS -- tneo,. .. .. . I . o , t r a n ~ a e t l o n s (Includes those o]spo .... rul dependent c h i l d r e n ; s e e p p , 3 4 - 6 0 of filing instrucnons.)

N O N E (No reporlable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s ] I n c o m e d ~ t r m g G ro s s v a l u e a ~ e n d T r a n s a c t i o n s d u n n g r c p o r a n g p e r i o d( i n c l u d i n g t r o s l a s s e t s ) I reportlngpenod [ ofreportmgpenod(1) i 1.21 / (I) (2) (I) (21 i 13) (4) (5 )P l a ~ , e " ( X ) " a f t e r e a t h a s s e t * m m m t Type (e g I V a h ~ e Vahle T y p e ( e g , Date [ V alue . Gum Idenlltyofe x e m p t fr o m p r i o r d r ;c l o s u r e [ Code | div, rent, C o d e 2 M et h o d b u y , s e l l , m m / d d, y y Code 2 i Code 1 b u y e r ] s e l l e r(A-il) o r r o t ) ( J - P ) C o d e 3 r e d e m p t i o n ) OP) i (A-I!) ( t f p n v a l e[ ( Q - W ) ! i t r a n s a c t i o n )

I Trusl # ] Chase Manhattan (j.P, Morgan B I n l / D ~ v L Tmutual funds) N 12 Dreyfus S&P 500 Fund C D~vidend L T Redeemed 09/03/09 L( p a r t )3 Dreyfus S&P 500 Fund ~o~ D D~vidend M T Redeemed 09/03,"09 M G(part)~ Ftdehty OTC " ~, IRA) B Diwdend L T5 V anguard Index 500 C Dw~dend M T6 V anguard Prime MM Fund B D~wdend K T7 Vangard "lax-Mgd Gr &Ine A D ividend R edeemed 09/03!098 Vanguard Index 500:-v~ D Divtdend N T9 V anguard Mid-Cap Index D Dividend N T10 . Vanguard Prime MM FundmT),~- A Dividend J T11 Vanguard M~d-Cap Index ~ C Dividend M T12 Vanguard Selected Value A Dividend Redeemed 09/03/09 L13 . Vanguard Selected Value--m B Diwdend Redeemed 0 9 ~ 0 3 / 0 9 k14 V anguard U .S Value---l B Dividend Redeemed 09/03,09 L15 Barrtck Gold Corp A Dividend K T16 . Gold Corp, Inc A Dividend K T

17 Boulder, CO D Rent O W

(Sic Columns CI and D31 N =$250.001 - $500,000 O -$~00.001 - $ 1,000.~ PI -$1 ,~0,001 - $5 0(~.000 P2 $5 ~0 001 - $25,~0 t~0


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FINANCIAL DISCLOSURE REPORT N~meofe ....Reporting ] DateofRepor,Page 5 of 8 W illiams, Stephen F.

[0 5 / I 5 1 2 0 1 0

Vll. INVESTMENTS an d TRUSTS - i, co ..... t . e , , . . . . . . . . tions (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; ~ e e p p . 3 4 - 6 0 o f f il in g i n s t r u c t i o n s .)N O N E (No reportable incotne, assets, or transacttons)

~scrtptlon of As~ts I n c o m e d u n n ~ G ro s s v a l u e a t e n d I Tmn~cfions during re~mg ~rtod(mcludlng t~st as~ts) , repo~ing period o f r e p o s i n g p e r i o dP l a c e " ( X ) " a f t e r e a c h ~ s e t [Amoum T~eex~pt f~m prior dl~]osur /Cdel I di ....... ~ Code_ M e th o d b u y , s e l l . [m~d~ I Code2 ~ C~el b u y e r / s e l J e r

IS. PNC Bank~ A Interest L T1 9. TIAA C REF Ret Almmttes None M T Sold 12/30/09 PI G(pa~)

20 J P Morgan I~, cash reserve None PI T Bu y 12/30/09 Pi21 Nestle A D~vtdend L2 2 . Proctor & Gamble A Dividend K T2 3 . Qucstar A D ividend K . T24. Bank of America A Dtvldend J T25 Schering Plough (part sold, rest merged ~nto A Dividend Dtstnbuted 1 1 / 0 5 1 0 9 J Dhne 27) N.IA26 SchctSng Plough None Merged 1 I105/09 J(with hne 27)27 Merck A Dividend K W 1 1 / 0 5 1 0 9 J

2 8 . Trust No. 2, BNY Mellon, Dreyfus Mutual A Dlvtdend K TFunds29- ]~Y Mellon Mutual Funds A Dlvtdend K T3 0 . BN Y Mellon Cash Reserve Account A Dividend J T(renamed from BNY Fund)31 ETF Vanguard Emerging Markets A Dw~dend J T32 Strategic Global Stock Fund A Dtv~dend K T Bu y 06/05/09 J

ii Vanguard Prime Money Market N 3 A D ~ v ~ d e n d M "1"V anguard Growth Index A D ~ v = d c n d K T(See Columns O l and 04) C -.550.001 - $ i00.000 G- $100,001 - $1 000,000 rll =51,000 001 - $5,010 i)00 FI? -More than $5 000,0002 Vahlc Codes J =$15.000 or lets K =$153X )1 - 550.1~0 L $50.001 - $100.0~10 M =5100 001 - $250.0~)tSge Columns CI and D3) N -,5250~001 - $500.000 O =$500.001 - $1 00~) 000 PI -$1.000,f)01 - 55.000.000 P2 =$5,000.00t - $2~, 000,00~)


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FINANCIAL DISCLOSURE RE PORT ~ .... f P .....Repnrtlng Date of Report [Page 6 of 8 Williams, Stephen F. 05/15/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i . .. . .. . . i . e , t r a n s a c t i o n s ( l n l u d e ~ t h o s e of spouse and dependent children; see p p . 34-60 o f f i l i n g instructions.): N O N E (No reportable tncome, assets, or transactions)

l)e~crlpnon of Assets Incom e during Gross value at end Transactions durllag report|iag period(including txusl assets) rep ortin g p erio d o f r ep or tin g p er io d

exempt from pr, or d,scl ...... Code I d ......, Code 2 Method ~ bu~ .... / m~d~ ICode 2 I Code 1 / buyed~ller(A-H) I ormt) O-P) C~e3 j red~puon)/ ](J-P) ~ (A-H} ] ( f fpnvate

3 5 . 500 Index ~tanguard) B Dwidend Zedeemed 09/03109 M

3 6 . M~d-Cap Index (Vanward) B Dlwdend L T37 . Vanward ~RIMECAP A D~vidend L T Buy 0 1 / 1 4 / 0 9 L

3 8 . Tolal Intemahonal Stoc~ Index (Vanguard)B D~wdend L T

3 9 . SSgA Age Based 2010 ~ None J T


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FINANCIAL DISCLOSURE RE PORT ~ n m e o f P e r s o n R e p o r t in g I Date of ReporlPage 7 of 8 W illiams, Stephen F.

[0 5 1 1 5 1 2 0 1 0

V III. ADDITIONAL INFORM ATION OR E XPLANATIONS.I. This Is a trust established by my~ i7 ~ ~ ~ o fwhich l am a life beneficiary

1A. T he holding of Schering Plough ended by a combmahon of merger into Merck and distrtbutton to Schenng Plough shareholders2. The assels noted on thts and the next tour lines are held by a testamentary trust estabhshed by my~of w hich I am Ihe hfc beneficiary3. The mulual funds noted on this and the next five hnes are or were assets held by a testamentary trust estabhshed by ~y ~" ~, of which 1 am the Mebeneficial.


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FINANCIAL DISCLOSURE REPOR T Name of P ..... R e p o r t i n g ] Date of ReporlPage 8 of 8 W i ll ia m s , S t e p h e n F . I 0 5 / 1 5 / 2 0 1 0

IX. CERTIFICATION.I certify that all information given above (including information pertaining to my spouse and ntinor or dependent children, if any) isaccurate, true, and complete to the best of my k nowledge and belief, and that any information not reported was w ithheld because it met applicable statutoryprovisions permitting non-disclosure.I further certify that earned income from outside employment and h onoraria and the acceptance of gifts which hav e been reported are incompliance with the provisions of 5 U .S.C. app. 501 et. seq., 5 U .S.C. 7353, and Judicial Conference regulations.

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 FI E S O R F A IL 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 LAND CRIMINAL SANCTION S (5 U.S.C . app. 104)

F I L IN G I N ST R U C T I O N SMail signed original and 3 addittonal copies to:

Committee on Financial DisclosureAdm lnistrat~vc Office of the U nited States CourtsSuite 2-301One Columbus Cxrcle, N.E.Washington, D.C. 20544

stephen f williams financial disclosure report for 2009

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