Kimberly A Moore Financial Disclosure Report for 2009

8/3/2019 Kimberly A Moore Financial Disclosure Report for 2009

1/11

I A o 1 o FINANCIAL DISCLOSURE REPORT R ~ o r t R e q u i r e d b y th e EthiCsin Government Act of 1978R~,. t/2OtO FOR CALENDAR YEAR 2009 (5 U.S,C. app. I0t-t11)1 . P e r s o n R e p o r t i n g ( l a s ~ n a m e , f ir s t , m i d d l e i n i t i a l ) 2 . C o u r t o r O r g a n i z a t io n 3 . D a t e o f R e p o r t

M o o re , K imb e r ly A . Federal Circuit 0 5 1 0 5 / 2 0 1 04 . T i t l e ( A r t i c l e I l l ju d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6. Reporting P e r i o dm a g i s l r a t e j u d g c s i n d i c a t e f u l l - o r p a r t - t i m e ) [ ] N o m i n a t i o n , D a t e 0 1 1 0 1 / 2 0 0 9Cir cu i t J udg e [] Initial [] A n n u a l [] F h l a l to12 /31 /20095b r [ ] A m e n d e d R e p o r t7 , C h a m b e r s o r O f f ic e A d d r e s s 8 . O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r ~ a n d a n ymodifications pertaining thereto, i t is , in m y o p i n i o n , i n c o m p l i a n c eU.S.C.A. Federal Circuit with appl icab le laws and regu lations.717 M adison Place NWW ash i n g to n , D C 2 0 43 9 Reviewing Officer D a t e

I M P O R T A N T N O T E S : The i n s t ructi o n s a cco m p a n y i n g t his fo rm m ust be fo l lo wed~ C o m p let e a l l p a r t s ,checking the NONE box for each part where you have no reportable information. Sign on last page.

~ N O N E (No repor table posi t ions , )P O S I T I O N NA~ OF ORGANIZATION/ENTI~

2. C3 ~

(~ ~+

I I . A G R E E M E N T S . o ,u ,~ , .+ , ,++ i .a i~ , ,~ t o .~: s~ . i ,~ ~-~ o]~.,+..+ ~ , , ~ , . n c , i o . ~ )N O N E (N o r ep or t a b le a g r eem en t s . )

DATE_ P A R T IE S A N D T E R M S1 .


2/11

FINANCIAL DISCLOSURE REPOR T N ~ m . o ~ e r ~ o ~ R e p o r t i n g D a t e o r R e p o ~Page 2 of 1 1 M o o r e . ~ m b e r l y A . 0 5 / 0 5 / 2 0 1 0

IIl . NON-INVEST~NT INCOM E. t~ o , ~ g ~ a ~ a ~ ~ ~ .... ; se e pp. 17-2of f!l i ng i ns~u c t i om .)A. Filer~s Non-Inves~ent Income

NO ~ (No reportable non-investment income.) . .D A T E SO~CE AND ~PE ~(y o u r s , no t s~u ses )

1 ~ 2 0 0 9 West -~o mso n , Bo o k R o y al i t i e s $5 ,495 .002.3,4.

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 - i f you were married during any port ion of the report ing year, comp lete this sectlor~( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a ~ )

~ NONE (No r ep or t a bl e non -~ nv es tm en t i ncom e . )D A T E SOURCE AND TYPE

I . 2009 at torney, se l f -employed, partner2.

3 .

4.

I V . R E I M B U R S E M E N T S - ~,n~,ort , t~ , . ~oas~ng,r~. ,~ , , r to~ ,~ ,n~( [ ~ t c lu d e s t h o s e t o s p o ~ e a n d d e p e n d e n t c h i l d ~ n ; s e e p p . 2 5 - 2 7 o f f i li n g i ~ t ~ c t i o ~ . )

~ NONE ~o r e p o r t a b l e r e i m b u r s e m e n t s . )~ DA~ L O C A T I O N P~POSE ITEMS PA~ OR PROVIDED

I. ~soc ia t i on o f C o . o ra te 01/24/2009 - Faj ar d o , Pu er to R i ~ C o nf e re nc e T~po~a t ion , M ea l s , & L odgingPatent Cou~el 0 1 / 2 8 / 2 0 0 92 . Federal Circui t B~ 6 118 / 2009 - ~ite Sulph~ Springs, C o nf e re nc e M o l s & Lo d g i n gAssocia t ion 6 1 2 1 1 2 0 0 9 Wes t Vi r g in ia3 . Am er ican B~ As s o c ia tion I I/ 12 / 2009 - Or lan do , F lor ida C o n f e r e ~ e Tr an s p o~t ion , Mea l s , & Lodg in g11 /15 /20094.5 .


3/11

FINANCIAL DISCLOSURE REPORT Nam ~ ofPerson Report|~ tg D ate of ReportP a g e 3 o f 1 1 M o o r e , K i m b e r l y A , 05/05 /2010

[] N O N E (No repor table gi les . )~ DESCRIPTION V A L U E .

I.2.3.4.5.

[] N O N E (No repo r table l iabil it ies . )CREDITOR D E S C R I P T I O N VALUE CODE

1 . National City Mortgage Co . M o r t ga ge o n R e n t a l P ro pe r t y O2. Cit ibank Loan L3.4.

5.


4/11

Pa~~ o~ 11 M o o r e , K J m b e r l y A .

V I I . I N V E S T M E N T S a n d T RU STS -t,,co,,, . , .a~ ,,~ tr~.~,~t~ .s a-a ,, ,~ t~N O N E ~ o r~ortable income, ~sets, or tra~actions.)

A. B. C.~cfiption of ~ 1 tn~me during . Oro~ val~ m end Transact ions dur~g ~po~g(i~[~g t~st ~) ] ~o~ing ~ [ of ~poR~g per iodA~nt T~ (e.g. , [ V a u e I Value T~(g., D a t e Value Gain l~ t i ty o fPlaee"(X)"a~er~ch~sct ] C~ l djv. , r~L [ C~2 Mc~ ~y,~ll, ~dW~ [ Code2 C~ I ~ycf f sc l lc rxemp t from prior di~l~ur [ (A -~ o r i n c ) ($-e C~ 3 ~demption) [ (I-P} ( A - H ) ( i f p r i v a t e

I. ~L2 l 1,554.~) F R e n t P I S2. C h ~ C ~ B a n k C h e c k i n g ~ c o u n t A ln to rest M T

" ~ , Citiba~ D Intent J T4. Northwestern Mutual Life Insurance B D i v i d e n d J T5. Northwestern Mutual Life Insurance B D i v i d e n d J T

Berkshire Life Insurance A D i v i d e n d J T

8 . Fidel i ty t~eti rement A ccount9, -Fidel i ty Freedom 2035 N on e B uy 01/06/09 J

( a d d l )l O. Sold 02/04109 Ml 1 . -Fidel i ty Cap ita l & Income D D i v i d e n d L T B uy 0 2 / 0 4 / 0 9 L1 2 . B uy 0 2 / 0 6 / 0 9 J(addl)1 3 , B uy 03 / 05 109 J(addl)1 4 . B uy 0 4 / 0 3 / 0 9 J(addl)

1 5 . B uy 0 4 / 1 3 / 0 9 J( a d d l )

I 6 . B uy 05/05/09 J( a d d ~ )

1 7 . B uy 0 6 /0 4 /0 9 J(addl)

P3 ~25,~,~1 - $50,~,~0 P4 =More ~3. Value Met~ C~ Q =A~I R ~ (R~I Estate Only) S = A s ~ e s s m ~ T ~h Mark~(ScColu~ C2) U =B~k Value V ~ W


5/11

FINANCIAL DISCLOSURE REPOR T 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 n l R e p o r t Page 5 of 11 M o o r e , K i m b e r ly A . 05105/2010

NONE ~o repo~able income, ~sets, or Wa~actions.)A. B. C. D.De~f ipt ion of ~ets I n c o m e d u r in g , G~ss v~ue at end Tmn~fi~ d~g ~ing(including ~ ~) reining ~6~ ] of reP0aing~riod0) ( 2 ) ~ 0) ( 2 ) 0) ( 2 ) (~) O) I (5 )Gain Idenfi~ of~ptfrompdordi~l~ure C~el I ~v.,~nt. [ C~2 [ Mem~ ] ~,~ ~d~.lC~2 ~C~I buyer/~ller

1 8 . B uy 0 8 / 0 6 / 0 9 J(addl)" 1 9 . -Fideli~ Contm A Divided K T B uy 0 ~ 0 4 1 0 9 K20 . B uy 0 2 / 0 6 / 0 9 J~ 1. Buy 03/05/~ J(addl)22 . B uy ~!03/~23 . B uy ~ / 1 3 / 0 9 J(~d~)

"24. Buy 05/05/09 J ( a d d t )2 5 . Buy 0 6 /0 4 1 0 9 J(addl)26 . B uy 0 8 / 0 6 / 0 9 J

27 . - F ide li~ Low P K S TK A D i v i d end K T B uy 02/~/~" ~ 8 . B uy 0 2 / 0 6 / 0 9 J29 . B u y 03/05/09 J3 0 . B u y ~/0 3 1 0 9 J

B uy 0 4 1 1 3 ! 0 93 2 . B uy 0 5 / 0 5 f ~ J(addq)33 . B u y 06/~/~ J3 4 . " -Fideli~ Ufi BD Index C D i ~ d e n d L T B uy 0~/~ L


6/11

FINANCIAL DISCLOSURE REPORT [ ~ a , ~ e o f P e r ~ o u a q ~ o , ~ i ,~ g ~ , ~ te o ~ R ~P a g e 6 o f 1 1 l ~ M ~ r ~ ~ m b e r l y A . 0 5 / 0 5 / 2 0 1 0VII. INVEST~NTS and TRUSTS -~.~, ~.~u~no.~a.~ tho~g~,~.~.,~,~.; ~.

NO NE ~ o repo~able income, assets, or ~ansactionsO

Dcsc~ption of A~ G r os s v ~ u c a t ~n d Tm~ctions d~ng ~ng

~ ~ {I) I (2) (1, (2) (3) (4) ~ (5 )Place "(X)" afl~ each ~t Amo~t [ T~ (c,g., Value ~ V a l u e T~ (e.g., D a t e V~ Gain[ I~n~ty ofexempt from prior ~l~c ~e I [ & v , , ~ n L ~e 2 M o U n d b uy , s e ll, ~/~ C o d e 2 C~I [ bu~r/~llcr(~) ~ orint.) ( J - P ) ~ Co~ 3 r e d e m p t i o n ) ( I - P ) [ ( A - H ) ( i f p r i v a t e

3 5 . B u y 0 2 / 0 6 / ~ J( a d d a )3 6 . B u y 03 /051093 7 . B u y 04/03/09 J3 8 . Bu y 0 4 / 1 3 / 0 93 9 . Bu y 05/05/09 : J( ~ d ~ )40 . B u y 06/~/~41 .

1 4 2 . Smith Barney Retirement Account * (See None M TPart VIII)43 .

44 . M organ S tanley Accounts * (See Part VIII)4 5. -American CAP Strategies A D iv id e n d S o ld 3 / 6 / 0 9 J4 6 . -wells Fargo CAP Trust Preferred A Interest Sold 2 / 4 1 2 0 0 9 .l4 7 . -First Eagle FDS lnc Overseas FD None Redeemed 2 . / 4 / 2 0 0 9 L4 8. -Thornbu~g Invt TR. Invt Income Builder A D i v i d e n d Redeemed 2 / 4 / 2 0 0 9 LF u n d4 9 . -Goldman Sachs Trust Growth Strategy None Redeemed 2 / 2 / 2 0 0 9 LP o r t f u n d50 . -RS Large Cap Alpha C None R.edeemed 2 / 4 / 2 0 0 9 L5 1 . - M S L i q u i d A s s e t A Interest C l o s e d 5 / 4 / 2 0 0 9 J

A = $ 1 , 0 0 0 o r l e s s B =$1.001 - $2,500 C =$2,501 - $5.000 D = $ 5 , 0 0 1 - $ 1 5 . 0 ~ 0 E = S 1 5 , 0 0 1 - $ 5 0 ,0 0 ~(See Columns B1 and D4) F = $ 5 0 , 0 0 1 - $ I 0 < 1 , 0 0 0 G = $ t ( ~ O , O O I . $ 1 , 0 0 0 , 0 0 0 1 I I = $ 1 , 0 ~ 0 . 0 0 1 ~ $ 5 , 0 0 0 , 0 0 0 | I2 =Mole th ~2 . V ~ l u e C o d e s J =$15.000 or less K = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0 L = $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 M = $ 1 0 0 , 0 0 1 - $ 2 5 0 ,0 0 0(See Columns CI and D3) N = $ 2 5 0 , 0 0 1 - $ 5 0 0 0 00 O = $ 5 0 0 , 0 0 1 - $ 1 , 0 0 0 ,0 0 0 P I - - ~ 1 , 0 0 0 , 0 0 1 - $ 5 , 0 0 0 , 0 0 0 P 2 = $ 5 , 0 0 0 , 0 0 1 -P3 =$25,000,00 [ . $50,000,000 P 4 = M o r e th a n3 . V : ~ l u e M e t h o d C o d e s Q = A p p r a is a l R , ~ " . o s t ( R e a l E s l a t O n l y ) S = Assessment T - - - C a s h M a r k e t(See Column C2) U =Book Value V --O th er W =Estimated


7/11

FINANCIAL DISCLOSURE REPOR T NameofPersan Reporting DateofReportPage 7 of 11 M o o r e , K i m b e r ly A. 05/05/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i . ~ o m , , ,~ . e , , .... c~ons (Includes those of sp ...... d dependent children; ~e p~ 34-60 offing i~ructions.)N O N E (No reportable income, assets, or ~a~actions.)

A. ! B. C. D. "~-~scdption of As~ ! In.me dur~g G~ value at end Tmn~ctio~ d~ re~ing ~d~(including ~t a~s) ~i~,~fiod of~po~ing pc~d[ o ) ( 2 ) o) (2 ) o) (2) -~--T (~)Pla~ "(X)" after ~h ~t l A m o u n l T~ (e.g., V a l u e V~ue T~e (e.g., ] Date Valu~ } Gain / ldnt i t y o fcnc~t eom prier disclos~c ] C~c I div . , t oni , C o d e 2 M s ~ o d ~y, s~ll, ~d~ 1 C~e 2 [ Code I ~ bu ye r / ~ l l e r

5 2 . -Grit Pa& Fut~es F~d None Sold 03/1 ~09 K5 3 .

5 4 , Char le s S chwab Accoun t s

5 5. -Proshares Ultra Financial (previously held D D i v i d e n d K T Buy 2 / 4 t 2 0 0 9 Kw/MS)5 6 . Sold 0 8 / 1 1 / 0 9 J B( p a ~ )5 7 . S o ld 09/!6/09 J C( p a d )5 8. -P ro s ha re s U ltr a D J A 1 G D D i v i d e n d Buy 0 2 / 1 9 / 0 9 J5 9 , Buy 0 4 / 2 0 / 0 9 J

(addq)6 0 . S o ld 0 5 /2 9 /0 9 K D

61 . -Proshares Ult ra Short N on e L T B uy 0 9 / 1 4 / 0 9 K6 2 . Buy 1 1 /1 6 /0 9 K(addl)63 . Bu y 12/15/09 J(addl)64 . - A l l t e t C o r p N o t e s B Interest K T Bu y 0 2 / 1 1 / 0 9 K6 5 . - U n i t e d H e a l th B o n d s A Interest K T Buy 0 2 / 1 1 / 0 9 K66. -Anheuser Busch Bonds A I n t e r e s t K T Buy 0 2 / 1 1 / 0 9 K6 7 . - ln g e r s o l [ - R N D B I n t e r e s t L T Buy 0 2 / 1 1 / 0 9 K6 8 , -XTO Energy lnc A I n t e r e s t L T Buy 02/! 1/09 K

l . t r ~ ome G a in C oa~ : A =$ 1 . 0 0 0 o r | e s~ B = $ 1 . 0 0 t - $ 2 . 5 0 0 .C

(See Cohm~ CI ~d O3) N ~250,~1 - $500.~ O ~$5~,~1 - $1,0~.~ P1 =$1,0~,~1 - $5.~,~ P2 =$5.~.~1 - $25.~.~P3 ~25.~.~1 . $50,~0,~0 P4 =More th~ $50.~.~0


8/11

Nam e of Person Reporting Da te of ReportFINANCIAL DISCLOSURE REPOR Te d o o r e , K i m b e r l y A .a g e 8 o f I 1 o5105/2olo

V I I. IN V E S T M E N T S a n d T R U S T S - ~ . . .. .. . t u . , t, .. ~ a ~ a o . ~ a n c t . # ~ t ~ , o s , o /s p o . ~ e ~ # d e p ~ ~ i t# r ~ . . ~ ~ . ~ 4 ~ o o Z ~ . # i ,~ , . . . ~ . .~ )N O N E ( N o r ep or t a b le i ncom e , a s s e t s, o r t r a ns a c ti ons . )

A. B. [ C. D.D e s c r i p t i o n o f A s s e t s Income during ] G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r g l ~ o r r - ~ p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d I o f r e p o r t i n g p e r i o d

Place "C.X)" a f t e r each a sse t , A m o u n t T yp e (e . g . , V~lue V a l u e T y p e ( e . g . , Date Value ! Gain Iden t i ty ofc x c m p t f r om p r i o r d i s c lo su r e Cod e 1 div . , ren t . C o d e 2 M e t h o d buy, se l l , m m / d d / y y C o d e 2 ] C o d e 1 buyer / se l le r(A-H) orintO (J-P) C o d e 3 r e d e m p t i on ) (J-P) ] (A-H) (i f p r ivate(Q-W) transaction)

6 9 . -EBay D D i v i d e n d Buy 0 2 / 1 8 / 0 9 J

7 0 . S o ld 0 8 /1 1 /0 9 J C(part)7 I . S o l d 0 9 / 0 2 / 0 9 J D

7 2 . -Profunds Ultra Small Cap E D i v i d e n d Buy 0 2 /2 5 /0 9 J"7 3 . Buy 0 4 ! 2 4 / 0 9 J( a d d l )7 4 , Sold 0 8 / 1 1 / 0 9 J C(part)7 5. Sold 0 9 / 1 6 / 0 9 J D(part)7 6 , Sold l 0 / l 9 / 0 9 J D7 7 . -Profunds Basic Materials E D i v i d e n d Buy 0 2 / 2 5 / 0 9 J

7 8 . Buy 0 4 1 2 7 / 0 9 J( a d d l )7 9 . Sold 0 8 / I 1 / 0 9 J C( p a r t )8 0 . Sold 0 9 / 1 6 / 0 9 J D( p a a )8 1 . Sold 1 0 / 1 9 / 0 9 J D8 2 . -Profunds Ultra Latin America B D i v i d e n d .t T Buy 0 7 / 2 4 / 0 9 J8 3 . Sold 0 9 / 1 6 / 0 9 J B(p~t)8 4 . -Vanguard GNMA B D i v i d e n d L T Buy 0 2 / 2 6 / 0 9 K8 5. Buy 0 8 / 2 1 / 0 9 K(addl)

I. lrteomc Gain Codes: A = $ 1 , 0 0 02 . Valu e C~ es J = $15 ,0~ o r

3. Value M~ Cod~ Q =April(See Col~ ~) U =~ Val~ V = O ~ c r W = Est im al~........................


9/11

FINANCIAL DISCLOSURE REPOR T I ~ a m e o r W r ~ o . R o p o .i .g [ v u , ~ o r r ~ p o .Page 9 of 11[ M o o r e , ~ m ~ r l y A . ~

0 5 / 0 5 1 2 0 1 0

V IL I~ESTME N TS and T RU STS - i~ ~, ~,~, a~ ~o~oy~ ~ ~,~ ~,~ =~ ,,. 3~o o!~i.~ ~=~o~.~~ N O ~ ~o reportable income, assets, or transaction.)

A, B, ~ C. D.De~fiption of A~ l~omc during ] G ~ ss " v a l u e ~ e n d T~nsacfions du~ng reposing pc~(in~l~ing t~t ~s~) r~o~ng ~[

o f ~ p on i n g p e r i od

ex~pt ~ p~of disclos~ Co~ ] div., ~ ~dc 2 [ Me~od buy, ~ , , - * - ~ C~2 C~c I bu yc r / ~ l l c r

......(A-H)or inL) (J-P) ~-~] Code 3 r~emptlon)

[ ] (J-P) ~_(A-~ t m ~ c t i o n ) ( i fp f i v a t e

8 6 . Buy 10/19/09 K(addl)

8 7 . -~zer & Gamble None Buy 0 4 / 2 0 / 0 9 K8 8 . S o ld 0 4 /2 1 /0 9 K89 . - V a n g u a r d H i g h Y i e ld B Dividend K T B u y 04/27109 K9 0 . Buy 11/16/09 K

( a d d I )9 1 . - Hovn an ian C Div idend B u y 0 7 / 2 3 / 0 9 J9 2 . Sold 0 8 / 1 1 / 0 9 J B(part)93 . S o l d 09/I6109 J A94. Sold 10119/09 B95 ,9 6 .


10/11

Ia m e o f P e r s o ~ R e p o r t i n g D ~ t e o f R e p o r tF I N A N C IA L D I SC L O S U R E R E P O R TI

P a g e 1 0 o f 1 1 M o o r e , K i m b e r l y A , 0 5 1 0 5 / 2 0 1 0VI I I. ADDI TI ONAL I NFORM ATI ON O R EXPLANATI ONS . ~ , ~ e~ ,~g R,~o ,~ )

Part V I I .Smith Barney Ret irement Account :This is a re t l rem~at account tha t doesn t a llow ind ividual cont rol of inves tm ent se lec t ions .


11/11

F INANCI AL D I SCL OS URE RE P ORT N a ~ e o f PPage i 1 of 11 M o o r e , I O m b e r l y A , 05 / 05 / 20!0

IX. CERTIFICATION.I cer ti fy t ha t a ll i n fo r mat i o n g i v en ab o v e ( i nc l u d ing i n fo r m at i o n per ta i n i ng to my spo u se and m i no r o r d epend en t ch i l d r en , f f xny ) i s

accu r a te , tr u e , and co mp l e te to the b es t o f my kno w l ed ge and b e l i e f , and tha t any i n fo r mat i o n no t r epo r t ed w as w i thhe l d b ecau se i t met app l i cab l e s t a tu to r yp r ov i s ion s p e r m i t t in g n on - d t s e los n r e .1 fu r ther cer t i fy t ha t ea r ned i nco me f r o m o u t s i d e empl o y men t and ho no r ar i a and the accep tance o f g i f t s w hi ch hav e b een r epo r t ed a r e i nco mp l i ance w i th t he p r o v i s i o ns o f 5 U.S .C . app . 5 0 1 e t . s eq . , 5 U.S .C . 7 3 5 3 , and Ju d i c i a l Co n fer ence r egu l a t io ns .

N O T E : A N Y I N D IV I D U A L W H O K N O W I NG L Y A N D W I LF U L LY F A L S I FI E S O R F A I LS T O F I L E T II IS R E P O R T M A Y B E S U B J E C T T O C I V ILA 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 )

FILING INSTRUCTIONSM a i l s i g n e d o r i g i n a l a n d 3 a d d i t io n a l c o p i e s t o :

C om m i t t e e on 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 t ra t i v e O f f i c e o f t h e U n i te d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i rc le , N .E .W a s h in g t o n , D . C . 2 0 5 4 4

Documents

Kimberly A Moore Financial Disclosure Report for 2009