Mary B Briscoe Financial Disclosure Report for 2009

8/3/2019 Mary B Briscoe Financial Disclosure Report for 2009

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, ~ o l o FINANCIAL DISCLOSURE REPORT R ~ p o , t R e q u i r e d b y t h e E t h ,c sin Government Act of 19 7,~ge~. b2ow FOR CALENDAR YEAR 2009 ~ u.xc: ,,pp. ~,~,q lo~-~I. Person R eporting (last name, first, middle initial) 2 . Court or Organization 3. Date o f R epo r tBrisco, Mary B. Tenth Circuit Court of Appeals 1)8~16,2010

4, Title (Article I11 judges indicate active or senior status; 5a. Repo rt T ype {check appro priate type 6 . Repo rting Perio dmagistrate judges indicate ful l - o r part-time) [] Nomination. [)ate 0 I . , 0 I . 2 0 0 9ChiefCircuitJudge-Active [] Initial [] Annual [] Final to12,31/2009

[ fib. [] Amended Report7. Chamber~ or Office Addres~ 8, On the b as i~ of the information contained in this Report and anymodificat ions pertaining thereto , i t i~ , in m y o pinion, in compl iance645 Massachusetts with applicable laws and regulatioos.Suite 400Lawrence, Kansas 66044 Re,.iewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must beJb!lowetL Complete all parts,checking the NONE box for each part where you have no reportable inJbrmation. Sign on lastpage.

! . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of filing iostroctions.)~ N O N E (No reportable positions.)PO S IT IO N NA M E O F ORGANIZATION/ENTITY

1.

I f. A G R E E M E N T S . a)..,,,.,.,. ~,,ai,,ia.,,t ,,.,t~ N O N E (No reportable agreements.)

D A T ~ P A R T I E S A N D T E R M SI. 84-pres nt Kansas Public Empluyees Rctirement System (KPERS) - Judges Retirement Progam~ - vested


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FINANCIAL DISCLOSURE REPORT ! N .....fP .....Reporting I)atel, f Rtl~artPage 2 of 10I Briscoe, M a G " B .

0 8 ; 1 6 , 2 0 1 0

1.11. N O N - I N V E S T M E N T I N C O M E . ~ . , o ., i . . a . individual and .~p ..... ; ,lee pp. t7-2 4 offiling instructions.)A. Filers Non-Investment Income

~ NONE non-investment income.)~D A T ~ SOURCE AND T YPE INCOME(yours, not spouses)

I. 2009 KS Public Employees Retirement System - Judges Retirement Program S37,646.00

3.4.

~. S p o ~ s e ~ s N o a- ~ ~v es l ~ e ~ t [ ~ c o m e - lfyo ~ w ere married during any portion of th e reporting year. complete this section.fDollar amount not req~ired exceptJbr honorz rit,)

~ NONE (No reportable non-investment income.)DATE SOURCE AND T YPE

t. 2009 KU La~v School - Director, Legal Aid Clinic-salaq

3.

4.

I V . R E I M B U R S E M E N T S - , r < , . ~ p < , , r , , i o ,, . I , , .1 ~ i , .~ . 1 " . .o d . < , . 1 < . . i , . . . . . . ,.ttnch.les tlio.le tO .~pouse a~ld t~l~e~l~#lt children; see pp 2.~ - 2 7 o~ili~tg ~sttuctiotls.)~ N O N E (No reportable reimbto:~ements.)

~ ~ ~QCATION P ~ J R P O S E IqEMS PAID OR PROVIDEDI. Women Attorneys October 22.2(/09 Topeka, Kansas 25th A sso c iatio n MealAs s ociat ion o1 T opeka A nni~ersaD

2.3.4.5.


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FINANCIAL DISCLOSURE REPOR TPage 3 of 10 Briscoe, MaR B . 08/16/2010

V . G I F T S . a , , c ~ d , . ~ a , ....... pou.~e and dependent children: see pp. 28-31 oyfiling instructiona-.)N O N E (No reportable gi3is.)

~ DESCRIPTION VALUEI.

2.

3 .4.

5.

V I . L I A B I L I T I E S . C t , ,. t ,d e ~ , ~ o ~ o y , ~ o , , ~ , , , d d e , , , ,d e , , , ~ , i~ d , , . ,: ~ e ~ , . 3 2 - 3 3 of filin# i n . ~ t r u c t i o n s . )~ N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODEI.2.

3.

4.

5.


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FINANCIAL DISCLOSURE REPORT [ N . . , e o f P e . o , , R e p o r , i . ~Page 4 of I 0 I ~riscoe, .~+~a~ B.

0 S + ~ 6 , 2 0 ~ 0

VII. I N V E S T M E N T S a n d T R U S T S - i . . . . . . . . , + , t r a n s a c t i o n s a , , c t u a e s t h o ~ e of spouse and depen dent children; s e e p p . 3 4 - 6 0 of filing i n s t t u c t i , , n . ~ )NONE LV o reportable income, assets, or transactions.)

A~ ..... B. C. DD e ~ c r ~ 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 m n s a c t l o n s d u h n g r e p o m n g 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 o f r e p o o i n g p e r i o d

P l a c e " X ) " a f t e r e a c h a s s e l , Amoun~y p e ( e . g .. Value ~ Value T y p e ( e .g . , D a t e Value G a i n I d e n m ye x e m p t f r o m p r i o r d i ~ l o s u r e C~e I d i v . . r e n t . C o d e 2 ; M et h o d b u y , ~ e l [ , m n i d d : v y C od e 2 C o d e I buyer/seller( A - H ) o r i n t . ) ( J - P t C o d e 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 ) m m s a c ~ o n

I. Capilol Federal - savings D Interest N T

2. Capitol Federal - checking A Interest J T

3. Capitol Federal - CDs D Interest M T

[ 4 . Fidelity A nnuity (formerly V anguard None K TVariable Aonttity)5, ING-CAB-Ks Bd RegenlsRet,(def.comp) A Interest M T(formerly Aetna)6 . Municipal bond (Denham Spgs) B htterest K T7. Overland Park KS Inapt. Boods B Interest K T [8. USA A-Subscr. svgs. A Dividcnd .I T9. H. Davidson - stock A Dividend J T

t0 . Metro W est Total Rein. (Ibm~. AIIvl A Dividend S o l d 04/17/09 K ALifetime Plus II Amtuity! 1 . I Shares TR S&P stock A Dividend J T

1 2 . Vanguard Intem~ediate lem~ - Mun. Boud B Dividend L T So ld 05/05/09 KFd (part)1 3. S o l d 09/16/09 K < Los~ S2,/100(part)1 4 . Johnson Co. USI) 231 A Interest K T15 Shav,nee Co. KS Bond B Interest K T

[6. Joht~son Co. KS School Bond (a lso USD A Interest K I"231~17. Wichita KS Sales Tax Rev. Bond B htterest Redeemed 05/15!09 K A


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FINANCIAL DISCLOSURE REPORT . [ Nam o of P ..... R e p o r t i n g D a t e o f R e p o r tPage 5 of 10 [ Briscoe, Mary B. 08il6/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~ .......... ,.lue, t ...... lions (Includes those of sp ...... . d d e p e n d e n t children; see pp, 34-60 olTiling instructi~ms.)~ (No reportable income, assets, or transactions.)ONE

A . B. C D.D e s c r i p t i o n o f A s s e t s h ~ 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 a c t i o n s d ~ r m g r e p n r t i n g 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 m n g p e r i o d o f c e p ~ a i n g p e r i o dP l a c e " { X Y a f t e r e a c h a s s e ~ A m o un t ~ T y p e (e .g .. Value Value T y p e ( e . g ., D a ~ e Value G a i n I d e n m y t f f

e x e m p t f r o m p r i o r d i s c l o s u r e Code I ~ d i v . . r e i n , C o d e 2 M e t h o d buy, sell, mm~ddi~ C od e 2 C od e I buyer seller{ A - H ~ ~ o r i r a . ) ( J - P ) C o d e ~ r e d e m p t i o n ) ( J - P ) ( A - H ) l i f p r i v a t e( Q - W } t r a n s a c t i o n )

1 8 Fidelity Inte~. Muni, Inc. A Dividend S o ld 04/28/09 K(pa~)1 9 . S o l d 05i20/09 K B20. Ceme~oim ~nergy A Dividend J T

2 I. Fidel i~j Contra Fund A Dividend L T2 2 . I Shares S&P Midcap 400 Growth Iodex A Divklend S o l d 02/I 8/09 J A2 3 . Fidelity Cash Reserves (Core Fund) A Interest t. T2 4 . Mainstay ICA Select (Icap Select Eq uity) A Dividend S o ld 0 2 1 1 9 1 0 9 J < L o s s $ 2 . 1 3 3 0

2 5 . Harbor International A Interest K T Bu y 07/01/09 J(addl)26. Metropolitan W est C Interest S o l d 0 4 / 1 7 . z 0 9 K A

2 7 . Bank New York Inc. B Inlerest K T .2 8 . Bank New York MTN B Interest S o l d 01/15/09 K A2 9 . Discover BK Greenwood DL B Interest K T3 0 . Dodge & Cox Sto ck (DOI)GX) B Dividend So ld 01/23/09 K

3 1 . Columbia Value and Restr. (formerly A I n t e r e s t So ld 0 1 . " 2 1 / 0 9 JExcelsior)3 2 . Artio Intl. Equity ([om~erly Julius Buer) A Dividend So ld 07101/09 J A3 3 . Rainier Mid Cap A I n t e r e s t So ld 02/12109 J


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FINANCIAL DISCLOSURE REPORTPage 6 of 10 ~ i ~ n ~ .. M a r y B . O g , l 6 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - i . ~ o . t . , , , . ~ . ~ . , . . .. . . e , i o . . , ~ l , , c l u d e x t h t , s e of spot,se and dependent children; see pp. 3 4-60 ~/ili,[g instruction.~.J

NONE (No reportable income, assets, or transactions.)D e s c n p t i u n of A s s e t s I n c o m e d u r i n g Gross value a t en d " [ l "d t l S a C t i O l l S ( h m n g r e p o r l l l lg p c r i * ~ 5

(including t~st assets~ reposing period o f r e p o m n g p e r i o d(l} ~, {2} .... {ii ......~-- ~} " (1}

P la c e " ( X ) " a f t e r e a c h a s s e ~ A m o u n t ~ T y p e { e .g , , Value Value T y p e ( e .g . . D a t e Value Gain h l c n c i t ) a fe x e m p t f i o m p r i o r d i s c lo s u r e Code I [ d i v . . r e n t , C~e 2 ~ M e l h o d buy, sell, mmidd, yy Code 2 Code I buyer stile:( A - H ) [ o r i n t . ) ( J - P ) ~ C o d e 3 r e d e m pt i o n )

35 Sol0 09/16i09 K B

3 6 . Fidelity Tax Exempt A Dividend L T S o l d 01/2209 M(~arU37 Bu y 04/29~09 N

(addl)3 8 . Vanguard GNMA B Dividend K T

39 Templemn Global Bo nd C Dividend L "F4 0 . Fairholme Fund A Dividend K T Bu y {)9/11/09 J

1 41 . Hart lbrd Capital A Dividend S o l d 02/I 2/09 K[ 42 Royce Premier Fund A Dividend K T Bu y 0 I . 1 6 z 0 9 J

4 3 . Bu y 0 2 /0 9/0 9 J(addl)4 4 . Rydex Mgd. Futures Stral B Dividend B uy 01/21/09 J4 5 . Bu y 02/06/09 J(addl)4 6 . S o l d 12/30/09 K < L o s s4 7 . Pov,.er Shares DB Commo dity Ind. C Dividend K T Bu y : 02/09/{)9 K~ . 8 . Fidelity Focused High lnc B Interest L T Buy {}3;24/09 K4 9 . Bu y 05/0109 K{addl)5 0 . S P D R G o l d Tr G o l d A Dividend K T Bu y 04;06;09 K51. Fidelity New Markets. Inc. B Dividend I ~ u y 04/17:09 K


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FINANCIAL DISCLOSURE REPORTPage 7 of 10 Briscoe , M a r y B . 0 8 , 1 6 / 2 0 1 0

[~] NONE (No reportable income, assets, or tran.vactions.)A. ; B . " ............... C. " D .D e s c r i p t i o l l o t A s s e t 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 " r r a n s a c t i o a s d u r i n g r e p o r t i n g p e r i o d

{ i n c l u d i n g t r u s t a s s e ~ s t . r e po rt i n g p e r i o d o f r e po rt i n g p er i o d(l ) (2 ) (11 (2) ( ) (2) (3) (4)

P l a c e " ( X ) " a f t e r e a c h a s s e t Amo uat Type (e.g,. Value Value T y p e ( e , g .. Date , Value Gain I d e n n t , . ,e x e m p t l i -o m p r i o r d i s c l o s u r e Code I : div.. real C o d e 2 M e f l ~ o d b u y , s e l l , m m / d d ! y y C o d e 2 C o d e t buyer seller( A - H ) ; o r i n t . ) ( J - P I C o d e 3 r e d e m p t i o n ) ( J - P ~ ( A - H ) (ifpriwue~ ( Q - W ) ~ r a n s a c f i o n ? .

5 2 . S o l d 12/30/09 K5 3 . Lizard Emerging Mkl, A Dividend K T Bu y 04/22/09 K5 4 . Bu y 04/27/09 K

(addl)5 5 . S o l d 08110/09 K(part)5 6 . Fpra Lizard Rot. Emg. Mkt. B Dividend K Y Bu y 04/28 /09 K

5 7 . Fidelity GNIvlA Bo nd A Dividend J T Bu y 05 /20109 J5 8 . T.Rowe Pr Set Tech B Dividend T Bu y 05/27/09 K

5 9 . S o l d 0 9 /0 1 /0 9 K C6 0 . Vanguard Sm Cap Growth ETF A Dividend T Bu y 05/27/09 K

6 I. S o l d 12/01/09 K C62. Fidelity Vip Disciplined Sm Cap B Dividend K T Bu y 0 t o / 1 0 ! 0 9 K6 3 . Market Vectors Gold Miners A Dividend "F Bu y 07/23/09 K64. S o l d I 0 , ~ 0 2 , " 0 9 K 1 365. Overland Park, KS Go Intl Bnds B Interest K 1"

66 . Lenexa. KS Go Ref Bnds None K T " Bny : 0 8 ~ 0 6 / 0 9 K6 7 . Arbitrage Fund A Dividend 1 . T Bu y 0 8 1 1 0 ~ 0 9 K6 8 ( a d d l ) B u y 0 9 / t 0 . , ( 1 9 K


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Name of Person Reporting Da~e of I~epur!FIN A N C IA L DISCLOSURE REPORT] Briscoe, Mary B.Pa ge 8 of 10

V I I . I N V E S T M E N T S a n d T R U S T S - ~,,,. ...... ~ . , , transactions ~lncludes those of .sp . . . . . . . d depena e,,t children: seepp. .J6 0 ,,ffili,,g insttt, cti,,,,~)~ NONE ~ reportable income, assets, of transactions.)

~ X . B. C. D.Description of A~sels income during Gross value at end Transactions during reporting

(including ~rust assets) repoamg period of reposing periodPlace "~ X )" after each asset A m ~ > u r ~ t Type (e.g., Value Va~ue Type(e.g., . Date Va lue Gat~ Idenfityof

exemp~ from priordisclosure Co d e I div.,rent. C ode 2 : Method buy, sell. m m id d. "y y C o de 2 Code I buyer.seller( A - H ) or inl.) (J-P) ~ C ode 3 redem ptio n) (J-P) (A -ti) 0fpriva l c~ ( Q - W ) ~ransaction)

69 . SPDR S&P Off & Gas A Dividend[

K TI

B uyI 10/20/09

K[ I I

70 . Artio Global High A Dividend K T B uy 01/ 23 109 K


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~ 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 |m r !FINANCIAL DISCLOSURE REPORTB r ~ s ~ o e , ~ a w B .age 9 o f 10

VIII . ADDITIONAL INFORMATION OR EXPLANATIONS.Part VII - L ine 64 - This i~em was omitted from last report. The Bond w as purchased in previous year.


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FINANCIAL DISCLOSURE REPORT ~ a m ~ o ~ P ~ , s o , a e p o r , i , ~ O . - ~ f u ~ l , o ~ ,Page 1 0 of 10 ~ r i s c o e , M a r y B . 0 8 : 1 & 2 0 1 0

IX. CERTIFICATION.I certify that a l l 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 any information nat reported was wi~:hheid because it met applicable statutoryprovisions permitting non-disclosure.l further certify that earned income from oulside employment and honoraria and the acceptance of gifts which have been reported are incompliance witt~ the provisions of 5 U.S.C. app. 50I et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

S i g n a t u

N OTE : A N Y Ib iD IVID UA L W H O K a N O~ , VIN G L Y A N D W tL F UL L Y F A L S IF IE S OR FA IL S TO F IL E TH IS R E P OR I - MA Y BE S UBJ E C T FO C IVILAND CRI.~IINAL SANC~IIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additior~al copies to:

Comm ittee o n Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Colt, mbus Circle, N.E.W ashinglon, D.C. 20544

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Mary B Briscoe Financial Disclosure Report for 2009