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I
lll.f PORTANT
-------
I
Report Required by the l:.'1hics AOIO FINANCIAL DISCLOSURE REPORT in Government Acr of I 978 Rev. J/20i0 FOR CALENDAR YEAR 2009 (5 USC app. §§IOI-I!!)
I. Person Reporting (last name, first, middle initial)
NEWMAN, PAULINE
2. Court or Organization
U.S. Ct. of Ap. for Fed. Cir.
3. Date of Report
05113/20 I 0
4. Title (Article HI judges indicate active m senior status; magistru1e judges indicate full- or part-time)
Circuit Judge - Active Status
Sa. Report Type (check appropriate type)
D Nomination, Date
D Initial [Z] Annual =i Final
Sb. D Amended Report
6. Reporting Period
01/01/2009
to 12/31/2009
i
7. Chambers or Office Address
717 Madison Place, N.W. Washington, D.C. 20439
8. On the basis of the information contained in this Report and any moditkations pertaining thereto, it is, in my opinion , in compliance with ilppJicable laws and regulations.
fh'Yit'\Ying Officer Date
]VOTES: The insrructions accompanying 1hisform must befollowed. Complete u/Iparts,
checkin.g the .'VOlVE boxfor each part where you lun•e no reportable infOrmution. Sign on fast page.
J. POSJTJ 0 NS. (Reportb:R indfriduaf only; see pp. 9-J 3 ojjilinJ; insn·uctfon. .)
C NONE (No reporrable positions)
POSITION NAl'vlE Or ORGANIZATION/ENTITY
I. Advisory & Review Committee Advanced Science & Technology Adjudication Project
2. Advisory Committee George Mason Univ. School of Law, Law & Economics Center
3. Trustee Trusts (Trust# l, Tnist #2)
4. Director Rule of Law foundaiion
5. Director Judiciary Leadership Development Council
JJ. A(; R.EEl\fE.NTS .. {Reporting indfridual on r,· see pp. }.f-16 ojjilinK instructions,)
./ 1,' NONE (No reportable agreements.)
PARTIES /\l\D TERMS
I. -, ..___,__________ , ___ ,
2. ,,
..i=3. co
Newman, Pauline
I/
----------- ----------------------------------------· ·---------
Dute of Report NamE' of Person Reporting FINANCIAL DISCLOSURE REPORT
05/l 3i2010 NEWMAN, PAULINE Page 2of8
Ill. N () N-lNVESTJ\<fEN T JNCO ME. (Reporting indil·id11a/ and spouse; see pp. I 7-24 of fili11g instrnctfom·.)
A. Filer's Non-Investment Income
L NONE (No reportable non-investment income.)
SOURCE A:'.'JD TYPE INCOME (yours, not .spou c's)
$35,100.00I. 2009 Pension, FMC Corporation, earned before entry on duly,
2. 2009 Royalcy, West Publishing Company, textbook
4.
B. Spouse's Non-Investment lncome - I/you )l'l'fl' morrfrd during ,my porrhm of the reporting ycllr, , ompft•te this St'ltion.
rDui/(ff a:m1!1n1 nut rc:quired r.:;:r..i:.ep!.for f,ur.oraria.)
NONE (No reporlable non-investment income.)
$ l ,552.30
SOURCE AND TYPE
2.
3.
4
}\.'. REJ l\ilB U RSEJ\'JENTS -- trimsp<>rtalion, lodging, foorl, nllalditwwnl.
D NONE rNo reportaMe reimbursements.)
SOURCE DATES
:\c1,.v '{ork Jntcllccttrnl March 27. 1009 Property Law Assut:iarion
0 New Jersey l:ilellectual June 5, 2009 L.
Property la\v Associaiton
-'· Federal Cncuit Bar June I S-19, 2009 Association Conference
LOCATION
:.Jew York, New York
Short llills, New Jersey
Williamsburg, Virgmia
PURPOSE
Annu::t.! l\1nforl·11ce
Conference
Conference
ITEMS PAID OR PROVIDED
Travel, Lodging and FuoJ
Lodgin and Fond
Travel, Lodging and Food
4. Chicago Intellectual Property September 25. 2009 Lt\:v As'.:ioriation
(Jeorg l'vfason Univcri5ty October 2, 2009
Chicago, Illinois
Arlington. Virginia
Conference Travel, Lodging anJ Food
Conference Travel, LoJging and Foud Law & Eco1w111ics Association
N 'me of Person Reporting Date of Heport FINANCIAL DISCLOSURE REPORT
Page 3of8 NEWMAN, PAULINE OSil 3/2010
6.
:
Philadelphia Intellectual Propeny Law A%ociation
Austin Intellectual Property Law Associ:Jtion
Novembcr 12. 2009
Novernhcr 11, 2009
Philadelphia, Perni>ylvania
Austin, Tex.as
Conference
Conference
Travel, Lodging and Food
Travel, Lodging and Food
A<lvan ed Sci ncc & Technology Adjudicaiion Resources Asso1;ution
December 3, 2009 White Plain;;, :<cw \\1rk Conf'erence Travel Only
SOURCE
------------- -- --- ----
------------------------- -------·--·---
------------------
CREDITOR DESCRIPTION VAUJE CODE
------------- -------------
Uate or Report ame of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 4of8 05/l 3/20 I 0 NEWMAN, PAULIN :
\/. GIFTS. (Includes :hos(' to spor..u<? and dependnu children,· see pp. 28-31 of jiling instructions.)
[L !\ONE (No reportable gifis.)
DESCRIPTION VALUE
I. --- - · · --··-··-····
3.
4.
5.
\/ J L J All J J...J ]'I ES, (lnclude5 those afxpo11sc t1nd <h•pemlenr children; see pp. 32-33 of jili11g im·tructions.) ..
l2J NONE (No reportubf;z liabilities.)
3.
4 .
.)_
- -c
-+
--
.1.
. <
12
A
I(;
17
(I)
l tram • .ic.:t1v-r.)
!4.
l5.
Dato of neport Name of Pt·rson Reporting FINANCIAL DISCLOSURE REPORT
Page 5of8 05/13/2010N :WMAN, PAULINE
Vil. INVESTJ\tlENTS and TRUSTS -- income, 1·a1uc, 1run.rnc1ions 11nc1m1c .. 11iosc ofspouse and t1epcnr1en1 c11i1t1rc11; see pp. J.1-60 of filing instructions.;
NONE (No repor/able income, assel.S'. or transac1ions.) D A.
Description of Asset
i:im:ludmg trust asset }
P\Jcc ''(X}" afo r each asset
c:\crnpl frn:11 prior d1s..:!osl;rc
-·· -··-·---- ..
T Rowe Price Mut.Funds (New Horizon; Div. Gr. Sci&Tech.Fund)
2. PNC Bank Accounts
3. F;rsi Trust Municipn! I3ond fund (Oppenheimer)
First Trnst l'v!unicipo! [fond hmd (Oppenheimer)
Amern:an Century Growth !\1\1tual Fund
'6. Oppenheimer Municipal Bond Fund
American Capital Bent.I Fund (Trnst #2)
8. Corporate High Yield Mutual Bond l'und (?vlcrrill Lynch)
9. BcJford Mc.,1ey Market Portfolio
IO. Invesco Health Sci. Mut. Fd. (now AlM Henlrh Sci. Mut. Fd.)
II. Oklahoma Gas & Electric Co. (Common) (Trnsl #IJ
Remington Oil & Gas Corp. (Tru r # J)
l 3. American Century Sekel Mutual Fund
MFS Emerging Growth Mutunl fund
Putnam Europe ivlutual Fund
Franklin J\Y \lutual Fund
Franklin Flex Cap Growth l1vlu1ua l fund
:\-'- ),(..1)001 le:..
J- :00$50.001 - JfXJ.l)OO ! -1,1 .. IJIJU •;r k:..s. N -- :.:.'.'0.001 - $500.000
· ·- · - ·--- .. ·-
B
lnc(;rn;: dm111g r po1 ling period
(I) (2) Amoun!; Type 1e g. CoJc i
IA·H)
A
ll
B
B
A
c
A
B
A
A
A
A
B
A
A
div. rent, or 1:11.)
!k idend
Interest
Intt:ri.:.·st
Interest
Dividend
lnteres.l
Dividend
Dividend
Dividend
Dividend
Di\-idcnJ
:"Jone
Di\·idcnd
Di'.·ldcnd
Di v idend
Dividend
Dividend
II) Value
Code 2
(J-P)
K
N
K
L
L
K
K
L
L
K
B-"ii:.001-$2.5fH1 G · $1(1{:.0lll -"$l.O\.Jl1.000
h.. =$; . l(l; . $ .':l.'.J{K! 0 ""-$5C<1.UL'l - )l.1JJO.OOO
p:_;. =$25.0tJG,OOI - S.50,000.000 ). \.'aliu: M1.:th:Hl CvJes Q t\ppr;11):d R =C ,•:;ti l ca! !:'>!<it· )11lyi
(SW (.'obinr: C J l_I :::Ho(l\.; V:1Ju · \' ,"011-�,··
D
(J:o valui: al end Tr:rnsac:101 s during rcportir.g pc-riod
of 1qwr1mg pi::riod
(2) Value
Mc\ hod
Code 3
(Q-Wi
Type (c.g, buy. st:ll.
redemption}
121 (3) (4) 011tc Vo.lne Guln
mn1/dd/yy Code 2 ' Code I
(J-Pl (A-Iii
---- -- ---
(S; Identity of
buycr:"$e/h.:r
tif private
T
T
T
T
T
T
T
T
T
T
T
T
T
Donated
T
T
Donated
c -11.50\. $5.000
Iii "$1.000.00t ·$5.000.000
L -,'.l-50.00! - $10f>.OC!O P J 0$ t .000.00 I · $5,000.000 f'4 =M0rc h:rn li50,000.f)(Ju S =A.s cssinc1 t \\" 1:. 1i:1;:i ·.:d
U ·$5,fJOJ - $15 ,0(JO r 12 "'";'-fon: th:.m $5.oor1.ooo !\·1-- 1110,00 I - S2 0.000
[>] .::£5.000.001 $25.000.000
E-$15.001 ·"15(W00
[]
(lj
!S1. ... .:C,..;;i:im1C2t
1_ : '_'1_
(2) (3) · ---· ----· - -
Date uf Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
NEWMAN, PAULINE 05/13120 I 0Page 6of8
\/II. INVESTIVIENTS and TRUSTS -- illfOml!, 11a/11c, tranyac1ion.'f (lnclud1..•s those Of!,JJOU.\"(! amt dependent children; see pp. 34-60 (Jf/iling instructiotl5.)
NONE (No reportable income, assets, or rransactions.)
A. B. Dt:s.criptiu:i tl( Asset:; Income dming
{including trust asscl ) n.·ptirting pL:ri(id
eJ Pbi.::c "tX)" aftc:- each as.set Amount Type (e.g.,
excrnpt from prior disclo:rnrc Code I div . . rcril.
I (A-!!) or int.)
I). ----- -: Tran :'1.;;tiu1is during rcpor;in JK'rtl'd
\lf n.:po1ting period
(I) (2) (I\ (4) (:\) Value Vnl1.1c Type (c.g , Date ValL c (fain JdNHity of
Code 2 Mc:hod buy. sell, m.nv'dd:'yy Co<lc 2 C:idc I b\lycriscHer cJ-P) Code 3 redemption) 11-P) 1.A-H) (_ifp1·iv:1!c
t1 mS<K lion i.. ..
I 8. Putnom Health Science Mutual Fund £l D1viJend L T
I 9. Nasdtiq 100 Trust None K T
20. r1rst Eagle Globul l\fott:al Fund A Dividend T
·iS•:cC.:ii1.111;1 Ill :\nd D-1-)
V:i!,1-: Cdc tSC· C n:111m1s t · 1 Jnd I);)
I l1!rl•lTll." G:1111 l ld>
] \' ;il;1 \ :·1!l\1d Co·:ks
!\ o-)t.l10'J (11 less =):50.00l • SJOO.t)OO
J .: i 5.000 (•r lC" S ,'.. =>S2 0.0(1J - 5500.0l)U P) $25.00fi.\/O l · $.50.tlOfJ.OOQ
Q 1\prr:l1s::!I U =lfo k Value
B 1 !,(l(JI - l .500 (j -)100.0ill - $1.0%.f}!)() K =Sl HJI - )1J.1Jt.1(1
U =-S50U.U01 - SI ,OOt; .n1!1.J
R ::(\;s! (R· :il l:':o:ta!<.: Dnl:iJ·v '-"Ot/jcr
L $2,)0l · S.S.000 lll ... $1.000.(.0! -$5,000.00U l =-$5li.Olli - SI Oi.t.000 !'I =S 1.000.0lll · $5.00f..l.UOO P4 =More !lwn )50,000.000 $ =A. . <! 1:icnt
\\' -=E.s:1mci1 d
O ·$S.UO! ·$!).<JL'U
!!:? =fvhlrt' th<m )5.000,()(.}IJ tv1 -:-$ l 00.0()l . 'f:�'.'O,\iO!l P2 =$5,000.IJ(ll - 25.000.000
..
Niuu... of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
NEWMAN, PAliLINE 05/1312010Page 7of8
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/Ri!pOrt.)
.FINANCIAL DISCLOSURE REPORT
Page 8of8
Date of Report Name of Person Reporting
05113120 I 0 NEWMAN, PAULINE
IX. CERTIFICATION.
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is •lccuratc, true, and complete to the best of my knowledge und belief, and that any Information not reported was withheld because it met applicable statutory provisions permitting non-disclosun.
I further certify that earned in<"ome from outside employment and honoraria and the accepta nce of gifts which have been reported arc in compliance with the provisions ofS U.S.C. app. § 501 el. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL
ANO CRl\·11'.'AL SA:'>CTIONS (5 U.S.C. "PP·§ 104)
FILING INSTRUCTIONS
Mail signed onginal and 3 additional copies to:
Commilree on Financial Disclosure Administrative Office of the United States Courts Suite 2-30 I One Columbus Circle, N.E. Washington, D.C. 20544