Ao/o FINANCIAL DISCLOSURE REPORT Report Required by the Ethics in Government Act ~f1978 R~,. ~/2OlO FOR CALENDAR YEAR 2009 (5 L~s.c app. §§ 101-111) L Person R eporting (l~-st n~le, f i r s t, mlddlc initial) Z. Court or O rganization : 3. Date of Repo rt SCHROEDER, MARY M. US COURT OF APPEALS - 9Tll CIRCU]T 4/27/2010 4. Tiik (Article |11 judges indicate aclive o r senior status; 5a. Reporl" Type [check appropriale I)’pe) 6. Reporting Period magistrate judges indicate full- or part-time) [] Nomination, Da~e 01/01/2009 ACTIVE-CIRCUITJ-UDGE [] hitial ~l-if] Ar~ual [] Final to 12/31/2009 5b. [] Am ended Rep ort 7. Chambers or Office Addre ss 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my o pinion, in compliance U.S. coLrRT| lOUSE, SUITE 610 wilb applicable laws and regulations. 401 W . WASHINGTON ST., SPACE 54 PHOENIX, AZ 85003-2156 Reviewing Officer Date 131POR TzlNT NOTES: The instructions accompanying this forra must be followed. Complete art par~s checking the NONE box f!~r each part where you have no reportable in.[brmatitm. Sign on lastl,age. 1 . PO SITION S. m,ro,a.~ t.ah,iu~ot o.t~,; ~o vt,. 9-. o~I~I~.~ in.~tructions.) [~ NONE (’No reportablepositiort~.) POSITION NAME OF ORGANIZATION/ENTITY I. COUNCIL M EMBER AMERICAN LAW INSTITUTE 2 . TRUSTEE TRUST #1 3 . ADVISORY BOARD MEMBER LOWELL OBSERVATORY 4. PRESIDENT-ELECT ARIZONA \VOMEN’S FORUM I!. AGREEM ENTS. IReporting lt,dividual only; xee pp. 14-16 of f!ling lnstructions.) ~ NONE ~Vo reportable agreements.) PARTIE~ AND TE~MS 1. 2 ~ 3 . Schroeder, Mary M.
Transcript
8/3/2019 Mary M Schroeder Financial Disclosure Report for 2009
A o/ o FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act ~ f1978
R ~, . ~ / 2 O l O FOR CALENDAR YEAR 2009 (5 L ~ s . c a p p . § § 1 0 1 -1 1 1 )
L P e r s o n R e p o r t i n g ( l ~ - s t n ~ l e , f i r s t, mlddlc in i t ia l ) Z . C o u r t o r O r g a n i z a t i o n : 3 . D a t e o f R e p o r t
S C H R O E D E R , M A R Y M . U S C O U R T O F A P P E A L S - 9T l l C IR C U ]T 4/27/2010
4 . T i i k ( A r t i c l e | 1 1 j u d g e s i n d i c a t e a c l i v e o r s e n i o r s t a t u s ; 5 a . R e p o r l " T y p e [ c h e c k a p p r o p r i a l e I ) ’p e ) 6. Repor t ing Per iod
m a g i s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - ti m e )[ ] N o m i n a t i o n , D a ~ e 0 1 / 0 1 / 2 0 0 9
AC T I V E - C I R C UI T J - UDG E [] hitial ~l- if] A r ~ u a l [] Final to12/31/2009
5 b. [] A m e n d e d R e p o r t
7. Chambers or Office Addre s s 8. On the bas is o f t h e informat ion contained in th is Report and anym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , i n compliance
U . S . c o L r R T | l O U S E , S U IT E 6 1 0wilb applicable laws and r egula t ions .
4 0 1 W . W A S H IN G T O N S T . , S P A C E 5 4PHOENIX, AZ 85003-2156
Reviewing Officer D a t e
131POR T z lN T N OT ES: T he ins truc t ions accom panying th i s f orra m us t be f o l low ed. C om ple t e ar t par~s
checking the NONE box f!~r each part where you have no reportable in.[brmatitm. Sign on lastl,age.
1 . P O S I T I O N S . m , r o , a . ~ t .a h , iu ~ o t o . t ~ , ; ~ o v t , . 9-. o~I~I~.~ in.~tructions.)
[~ NONE ( ’ No reportablepositiort~.)
POSITION NAME OF ORGANIZATION/ENTITY
I. C O U N C IL M E M B E R A M E R I C A N L A W I N ST I T U T E
2 . T R U ST E E TRUST #1
3 . A D V IS O R Y B O A R D M E M B E R L O W E L L O B SE R V A T O R Y
4. PRESIDENT-ELECT A R I Z O N A \ V O M E N ’ S F O R U M
I ! . A G R E E M E N T S . IRepor t ing l t ,d iv idual only; xee pp . 14-16 o f f ! l ing lns truc t ions .)
~ NONE ~Vo reportable agreements.)
PARTIE~ AND TE~MS
1.
2 ~
3 .
8/3/2019 Mary M Schroeder Financial Disclosure Report for 2009
I s c r m O E r ~ a , M A W M .age 2 of 9 4 / 2 7 / 2 0 1 0
1 1 1 . N O N - I N V E S T M E N T I N C O M E . eR e r o ,a n ~ individual and sp ...... ; s e e p p . 1 7 - 2 4 o f f i l i n g i n s t r u c t i o n s . )
A. Filer’s Non-lnvestment Income
NONE (No reportable non-investment income.)
DATE SOURCE AND TYPE INCOME
(y o u r s , n o t s p o u s e ’s )
1 .
2.
3.
4.
B . S p o u s e ’ s N o n - I n v e s t m e r i t I n c o m e - i f you were m arried during any po rt ion of the report ing ycar, complete this sect ion.
(Dollar ornour~t not required except for honorari,~.)
[~] NONE (’No reportable non-investment income.)
D A T E S O U R C E A N D T Y P E
I . 2009 A R I ZO N A ST A T E L , r N I VE R E S1 T Y - SA L A R Y
2. 2009 S t l E S I t U N O F F IN F O R Ivl A T IO N S E R V IC E S - B O O K R O Y A L T Y
3 .
4.
I V . R E I M B U R S E M E N T S --,ransp ..... ion, Iodglng, food .......
( I n e lu d e ~ t h , s e to s F o u ~ 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 ~ s f J il in g
~ N O N E 0 k ’b reportable reimbursements.)
SOURCE DAT~ LOCATION PURPOSE ITEMS PAID OR PROVIDED
I. ~ I V E R S I T Y O F T I I E 10/5/2008. S A C ~ M E N T O , C A S P E A KIN G E V E N T T ~ S PO R T A T I O N , F O O D . H O T E LP A C IF IC 10/7/2008
2. I N T E R N A T I O N A L 4/512009 - 4110/2009 ST~kSBOURG, F~NCE A ~ E N D A N C E T ~ N S PO R T A T I O N , F O O D , I t O T E L~ D IC 1 A L A C A D E M Y
3. U N IV E R S IT Y O F 4 / 1 7 / 2 ~ 9 - S A C R A M E N T O , C A M O O T C O U R T T ~ N S PO R T A T I O N , F O O D , H O T E LC A L IF O R N IA 4 1 1 9 1 2 0 0 9
4. L E G A L M O M E N q l J M 4 1 2 1 / 2 0 0 9 - W A S I I ~G T O N , D . C . S P E A KIN G E V E N T T ~ N S PO R T A T I O N . F O O D , H O T E L4 1 2 4 / 2 ~ 9
5. A R I Z O N A W O M E N ’S 5/I 7/2009 - H O N G K O N G B A R A ~ E N D A N C E T R A N S P O R T A T IO N , F O O D , H O T E l .F O R U M 5/24/2009 Ctt lNA
8/3/2019 Mary M Schroeder Financial Disclosure Report for 2009
F IN A N C I A L D I S C L O S U R E R E P O R T N .... fP .....R e p o r t i n g D a t e o f R e p o r ~
P a g e 3 o f 9 S C I I R O E D E R , M A R Y M . 4 / 2 7 / 2 0 1 0
6. A M E R I C A N L A W 1 0 / 2 1 / 2 0 0 9 - N E W Y O R K , N ¥ A T T E N D A N C E T R A N S P O R T A T IO N , F O O D , t t O T E LI N S T i " I ’ U T E 1 0 / 2 4 / 2 0 0 9
7. A M E R I C A N L A W 12/2/2009 - PH IL A D ELPH IA , PA A T T END A NC E T R A N S P O R T A T IO N , F O O D , H O T E LINSTITUTE 1 2 1 4 / 2 0 0 9
8/3/2019 Mary M Schroeder Financial Disclosure Report for 2009
P a g e F I N A N C I A L 4 o f 9 D I S C L O S U R E R E P O R T [ S C I IR O E D E R , M A R Y M . 4/27/2010
V. G 1 FTS. (Includes Ihose to ~pouse and dependent chi ldren; seepp. 28-31 o f / i l ing i . . . . . . l ions. )
N O N E (No reportable gifts.)
~ DESCRIPTION ~
1.
3.
4.
5.
V I . L I A B I L I T I E S . a , c t , , l ~ s , 1 , 0 ~ , o f , p . . . . . a depe , , aem ch i tdre . : s e t p p . S Z - 3 s of filing in.~truction~.)
N O N E ( N o reportable liabilities.)
C R E D I T O R D E S C . R I P T I O N VALUE CODE
I.
2.
3.
4.
5.
8/3/2019 Mary M Schroeder Financial Disclosure Report for 2009
FINANCIAL DISCLOSURE REPORT [r~ .... r r e , s o , l ~ e | , o , , i . ~t
D ~ t e o r l ~ e t , o , t
P a g e 5 o f 9~ S C i tR O E D E R , M A R Y M .
[
4/27/2010
V I 1. IN VESTM ENTS a n d T R U S T S - i~¢ ...... ~ , , ...... tions anclude~ those af sp ..... d d e p e n d e n t c h i l d r e n : ~ , ~ . 34-60 of filing instructions.)
~N O N E (No reportable income, assets, or transactions.)
................. ~. " B. C. D.
~cr ipf ion of A~e~ Income ~g G r o s s v a l u e a t e n d T~nsact ions during ~epo~ing ~n~
(including t rus t ~ets ) ~ tc~r l ing ~r iod of r~aing per iod
P l a c e ~ X ) " a f te r e a c h a ~ e t A m o u n t T~ (e.g . . Value Value[ T~e (g., D a t e Value G a i n I d e n t i t y o 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 C ~ e I div. , ren l , C o d e 2 Me~l
buy, sell, m ~ d ~ y y C ~ e 2 C o d e I buyerls el ler( A - H ) o ~ i r a . ) ( J - P ) C o d e 3
lr e d e m p t i o n ) ~ O - P ) ( A - H ) ( i f p r i v a t e
(Q-~~
[ hansaciion)
I. J P M O R G A N C I IA S E A C C O U N T S B In te res t M Z
2 . W A C H O V I A M ’ Y M F U N D A D i v i d e m l So l d 4/7/2009 K
3. L I N C O L N N A T ’L L I FE A In te res t J T
4. F R A N KL IN F U N D A Z T XE R IN C . A I n t . i T ) i v . K T
5. E Q U IT A B L E 3 0 0 + S T O C K F U N D -IR A None K T
6. TRUST/11 E I n t . / D i v . PI T
7. - AZ ST. CREDIT UNION ACCOUNTS
8. - V A L ID F IXE D P L U S F U N D B u y 01/09/09 J
9. - V A L IC M ID C A P IN D E X B uy 01/09/I)9 J
1 0 . - V A L IC M ID C A P IN D E X S o l d 06/26/09 L
1 I. - V A L IC S T O C K IN D E X ( L A R G E C A P ) B uy 0 1 1 0 9 / 0 9 J
1 2 . - V A L I C S T O C K I N D E X ( L A R G E C A P ) S o l d 0 6 / 2 6 / 0 9 M
1 3 . - V A L IC [ N T ’ L G O V T . B O N D B uy 01/09/09 J
1 4 . - V A L IC IN T ’ L G O V T . B O N D S o l d 06/26/09 M
1 5 . - VA I . I C SC I E N C E T E C l I S o l d 06/26,’09 K
1 6 . - V A L IC G O V T . S E CB uy 0 1 1 0 9 / 0 9 J
1 7 . - V A L I C G O V q ’ S E C . S o l d 06/26/09 M
8/3/2019 Mary M Schroeder Financial Disclosure Report for 2009
FINANCIAL DISCLOSURE REPOR T N ..... f P e r s o n R e p o r t i n g D a , e o f R e p o ~
Page 6 of 9 SC|IROEDER,/’~IARY M . 4 / 2 7 / 2 0 1 0
VII. INVESTMENTS and TRUSTS-; ........ t,,,, ...... f fo n s H n c l u d e s t h o s e o f s p o u x e a n d d e p e n d e n t c h i ~ r e n :$ e e p p . 3 # - 6 O o f f! l ln g ~ s t r u c ti o n ~ )
N O N E(No reportable income, assets, or o’ansactions.)
D~cdpl ion of Asse~ I n c o m e d u r i n g / G r o s s va l u e a t e n d [ T m n ~ t io n ~ d u r i n g r ~ i n g p e r i ~
(inc luding in , s t . . . . ~) r e i n i n g w r i o d ] o f ~ p o r t i n g ~ f i ~ ~
P N c e " I X ) " a f te r e a c h ~ e t A m t, u m V ~ ,p c ~ e.g .. / V a ~ u e I Wlue [ ryN (e .g . , D a t e I V a l u e G a i n Id~t,ty of
1 8 . - V A L IC S M C A P E Q B u y 01/09/09 J
1 9 . - V A L 1 C S M C A P E Q So l d 0 6 ~ 6 / 0 9
2 0 . - T IA A T ~ D IT IO N A L ( R E T . A N N )
2 1 . - C ~ F S T O C K B u y 0 7 / 0 1 1 ~ J
22 . - C ~F G R O W T H B u y 07/01 /09 J
23 . - C R E F E Q U I T Y I N D E X B u y 0 7 / 0 1 1 0 9 M
24 . - TC INTL EQ. RET. B u y 0 7 1 0 1 1 0 9 J
2 5 . - TC INTL EQ. RET. B u y 0 8 1 1 3 / 0 9 K
2 6 . - T C M ID C A P VA L . R E T B u y 0 7 1 0 1 / 0 9 K
27 . - FST A M . M 1 D C A P GW T I I B u y 07/01 /09 M
2 8 . - C ~ F IN T L L I N E D B O N D B u y 07/01 /09 M
2 9 . - C R E F ~ T I . L IN KE D B O N D Bu y 108/01/09 M
3 0 . - C R E F l ~ l . L ~ K E D B O N D g o l d 08~7/09 L
3 I. - G O L D M A N S A C I I S G O V . I N C . F D B u y 07/01/09 L
3 2 . - G O L D M A N S A C l l S G O V . I N C . F D B u y 08/01 /09 L
33 . - G O L D M A N S A C H S G O V . ~ C . FD B u y 10/I /09 L
3 4 . - T-C ~IIGII YIELD RTMT Bu y 08/27/09 K
8/3/2019 Mary M Schroeder Financial Disclosure Report for 2009
FINANCIAL DISCLOSUR E REPORT IN .... r~ .... R ~ p o r , i , ~ ’[ D ~ , e o r R ~ p u r t
Page 7 of 9
[ S C I I R O E D E R , M A R Y M . [
4/27~010
V I I . I N V ES TM EN TS a n d TR U S TS -i ........ ~, , ...... ~ o ~ Onclud~ ~ose of sp ..... d depend,he children; s e e p p . 3 4 4 0 of f i l~g inst ruc, ians.)
NONE ~o reportable income, assets, or transactions.)
A. B. C. D.
Dcscfiplion of As~Is ’ Income during Gross value at end Transactions d~ng r~oning
(including t~st a~scts) r~o~ing ~I
of reposing period
rbce’(X)"afie ... . h~t Amo,,nt T~e(e.g.. Value ~ Value Ty~(e.g.. Date[Value [Gain [ Identityof
N a m e o f P e r s o n R e p o r t in g D a t e o [ R e p u r lFINANCIAL D I S C LO S U R E R E P O R T
[ SCI]ROEDER, M AR’~ M .age g of 9
V III . ADDITIONAL INFORI~IATION OR EXPLANATIONS.
IN PART VIE
1 . 2008 ITEM #! 5 DUPLICATED ITEM #112 . 2 0 0 8 I T E M # 1 7 - A C C O U N T C L O S E D P R I O R Y E A R3 . 2 0 0 8 IT E M # 1 3 IS b r o w T ]A A T R D IT IO N A L {R . E T . A N N .)4 . 2009 ITEM #g - PU R . C t tA SE D B I - W E E K . L Y U N T I L 7 / 0 95. 2009 ITEM #9 - PU R C H A SE D B I - W E E K L Y U N T I L 7/096 . 2 0 0 9 I T E M # 1 ] - PU R C H A SE D B I - W E E K L Y U N T I L 7 /0 97 . 2009 ITEM ~t13 - PURCIIASED BI-WEEKLY UNTIL 7 / 0 9g. 2 0 0 9 I ° FE M # I 6 - PU R C H A SE D B I - W E E K L Y U N T I L 7 /099. : 2 0 0 9 I T EM # l 8 - PU R C H A SE D B I - W E E K L Y U N T I L 7 / 0 9
10 . 2 0 0 9 IT E M # 2 1 - P U R C H A S E D B I-W E E KL Y A F T E R 7 / 0 9I I. 2 0 0 9 I T E M #22 - PU R C H A SE D B I - W E E K L Y A FT E R 7 / 0 912 . 2 0 0 9 I ° I ’F . ’ M # 2 4 - P U R C H A S E D B I-W E E KL Y A F ’ F E R 7 / 0 913 . 2 0 0 9 I T E M # 2 6 - P U R . C H A S E D M O N T H L Y A F T E R 7 / 0 914 . 2 0 0 9 I T E M # 2 7 - P U R . C IIA S E D B I-W E E KL Y A F T E R 7 / 0 9
8/3/2019 Mary M Schroeder Financial Disclosure Report for 2009
.... fP .....R e p o r t i n g I ,a , e o f R ~ p o ~
Page 9 of 9
[ SCltROEDER, M A R Y M .
4 / 2 3 ’ / 2 0 1 0
IX. CER TIFICATION.
I c e r t i fy t h a t a l l i n f o rm 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 rm a t i o n p e r t a i n i n 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 , i f a n y ) i sa c c u r a t e , 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 l d b e c a u s e i t m e t a p p l i c a b l e s t a t u to r yp 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 r e .
I fu r t h e r c e r t if y t h a t e a r n 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 ft 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 no m p l i a n c e w i t h t he p r o 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 f e r e n c e r e g u l a t i o n s .
S i g n a t u r i
N O T E : A N Y I N D I V I D U A L W I I O K N O \ V I N G L Y A N D \ V I L F U L L Y F A L S I F I E S O R F A L L S T O F I L E T i l l S R E P O R T M A Y B E S U B J E C T T O C I V I 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 )
F I L I N G I N S T R U C T I O N S
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure
Administrative Office ofthc United States CourtsSuite 2-301One Columbus Circle, N.E.
