Pauline Newman Financial Disclosure Report for 2010

8/3/2019 Pauline Newman Financial Disclosure Report for 2010

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AO 10 [Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . Person Reporting ( last name, f irst , middle initia l)N E W M A N , P A U L I N E

4. Ti t le (Art ic le I11 Judges indica te act ive or sen ior sta tus;magis t rate judges indicate fu l l - or par t - t ime)Circui t Judge - Ac t ive Sta tus

7. Chambers or Off ice Address7 17 Ma d i s o n P l a c e , N . W .Washing ton , D.C. 20439

2. Cour t o r O rgan iza t ionU.S. Ct . o f Ap. fo r Fed . Ci r .

5a . Re p o r t T yp e ( c h e c k a p p ro p r i a te t yp e )] Nominat ion, Date[] Initial [] Annual [] Final5b. [] Amended Report8. On t h e b a s i s o f t h e i n fo rm a t i o n c o n t a in e d i n t h i s Re p o r t a n d a n ymodif ica t ions perta in ing there to , i t i s , in my opin ion , In compliancewith appl ic ab le l aws and r egu la t ions .

3. Date of Repor t05/13/2011

6. R e por t ing Pe r iod01/01 /2010to12/31/2010

R e v ie w ing Off i ce r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~L Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page .

I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)D NO NE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY1 . A d vis ory & Re vi ew C om m i tte e A d v a n c e d S c i e n c e & T e c h n o l o g y A d j u d i c a t i o n P r o j e c t2. A d v i s o r y C o m m i t te e G e o r g e M a s o n U n i v . S c h o o l o f L a w , L a w & E c o n o m i c s C e n t e r3. Tru s te e T r us t s ( T r us t # 1 , T r us t # 2 )4. A d v i s o r y C o m m i t te e G l o b a l I n n o v a t i o n F o r u m5.

I I . A G R E E M E N T S . t g e , o r t i n g individual only; seepp. 14-16 of fillng instructions.)~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of 8

Name of Person ReportingN E W M A N , P A U L IN E

Date of Repor t05/I 3/201 I

I l L N O N - I N V E S T M E N T I N C O M E . (Reponlng individual and spouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investment Income

D (No reportable non-investment income. )ONEDATE SOURCE AND TYPE INCOME(yours, not spouses)

I. 201 0 P e n s io n , F M C C o rp o ra tio n , e a rn e d b e fo re e n try o n d u ty $35 ,1 00 .002 . 2 0 1 0 R o y a lty , T h o m so n R e u te rs P ub lish in g C o m p a n y , te x tb o o k $2,01 6.353.4.

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 - lf you were married during anyportion of the reporting year, complete this section.(Dollar am ount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)D A T E SO U R C E A N D T Y P E

i.2.3.4.

I V . R E I M B U R S E M E N T S - transportatlo., Iodglng,,"ood, entertainmen t(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION PURPOSE

1. N e w Y o rk In te l le c tu a l M a rch 26, 201 0 N e w Y o rk , N e w Y o rk A n n u a l C o n f e r en c eP r o p e r ty L a w A s s o c i a t i o n -8 8 t h An n ua l C o n f e r e n c e

ITEMS PAID OR PROVIDE

L o d g i n g a n d F o o d .

2. F o r d h a m 1 8 th A n n u a l Apri l 7 - 9 , 2010 N e w Y o r k , N e w Y o r k C o n fe re n c e L o d g in g a n d F o o dC o n f e r e n c e o n I n t e ll e c tua lP r o p e r ty L a w a n d P o l i c y3. 26th A nn u a l Jo in t P aten t A pril 29 , 201 0 N e w Y o r k , N e w Y o r k S e m i n a r L o d g i n g a n d F o o dP r a c t i c e Se mi n a r4. New Jersey In te l l ec tual J un e 4 , 2010 Shor t Hi l l s , New Jersey C o n fe re n c e L o d g in g a n d F o o dP r o p e r ty L a w A s s o c i a t io n5. A S T A R G e n e ti c s C o n f e r en c e June 14 - 16, 2010 B e th e s d a , M a r y l a n d C o n fe re n c e L o d g in g a n d F o o d


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D a t e o f Re p o r t05/13/201 I

6. F e d e r a l C i r c u it Bench a n d J u n e 2 2 - 2 5 , 2 0 1 0 C o l o r a d o S p r i n g s , C o l o r a d o C o n f e r e n c e T r a v e l , L o d g i n g a n d F o o dB a r A s s o c i a t i o n C o n f e r e n c e


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FINANCIAL DISCLOSURE REPORTP a g e 4 o f 8

Na me o f Pe rs on R e po r t ingN E W M A N , P A U L IN E

Date o f Repor t05 / 13 / 2011

V . G I F T S . a n e l : d e + t h o + e t o : p o : + e and dependent children; s e e p p . 2 8 - 3 1 of filing instructions.)N O N E ( N o reportable gifts.)

S O U R C E1 .2.3.4.5.

D E S C R I P T I O N VALUE

V I . L I A B I L I T I E S . a n c l ~ d e ~ t h o ~ e o / ~ p o ~ e a n d dependent children; see pp. 3 2 - 3 3 of f illng instructions.)N O N E ( N o reportable liabilities.)

C R E D IT O R D E SC R IP T IO N1.2.3.4.5.

VALUECODE


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Date of Report05/13 /2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , , , a l u e , t .... actions ( Includes those of spouse and de pendent chi ldren; see pp. 34-60 of f i l ing ins truct ions . )D N O b l E (No reportable income, assets, or transactions.)

2.3.

4.5.6.

7.8.

9.

A. B . C.D e s c r i p ti o n o f A s s e ts Income during Gross value at end

( i n c l u d i n g t r u s t a s s e t s ) r e p o i ~ i n g p e r i o d of reporting period(l) (2 ) (1) (2)

P l a c e " ( X ) " a f t er e a c h a s s e t A m o u n t T y p e ( e . g . , Value Valueexempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

Transactions during reporting period

T .R o we P r i c e M u t .F u n d s ( N e w H o r i z o n ;D i v . G r . Sc i & Te c h . F un d )P N C B a n k A c c o u n t s

A Dividend KB Inte res t N

TT

F i r s t T r u s t M u n ic ip a l B o n d F u n d B Inte res t K( O p p e n h e i m e r )F i r s t T r u s t M u n ic ip a l B o n d F u n d B Inte res t J( O p p e n h e i m e r )A m e r i c a n C e n tu r y Gro wth M u tu a l F u n d A D i v i d e n d L

TTT

O p p e n h e i m e r Mun i c i p a l B o n d F un d C Inte res t LAm e r i c a n C a p i ta l B o n d F un d ( Tr us t # 2 ) A D i v i d e n d JC o r p o r a t e H i g h Y i e l d Mut ua l B o n d F un d(Merr i l l Lynch)B e d f o r d M o n e y M a r k e t P o r t f o l i o

B D i v i d e n d KA D i v i d e n d J

TT

( l) (2) (3) (4)T y p e ( e . g ., D a t e Va l u e G a i n

b u y , s e l l , m m /d d / y y C o d e 2 C o d e 1

1 0 .

II.

1 2 .

I n v e s c o H e a l t h S c i . M u t . F d . ( n o w A I MHeal th Sci . Mut . Fd.)O k l a h o m a G a s & E l e c t ri c C o . ( C o m m o n )(Trust # 1)Re m i n g t o n O i l & G a s C o r p . ( T r us t # 1 )

A D i v i d e n d KA D i v i d e n d JA N o n e J

TTT

redempt ion) (J-P) (A-H)

1 3 . A m e r i c a n C e n t u r y S e le c t M u t u a l F u n d A D i v i d e n d L1 4 . P u tn a m E u r o p e M u t u a l R u n d B D i v i d e n d L1 5 . F r a n k l i n NY Mut ua l F un d A D i v i d e n d K1 6 . P u t n a m H e a l t h Sc ie n c e M ut ua l F un d B D i v i d e n d L1 7 . N a s d a q 1 0 0 T r u s t A N o n e K

D o n a t e d

D o n a te d

( 5 )Identity ofbuyer/seller(if private

transaction)

I. Income Ga in Code s :( S e e C o l u m n s B I a n d D 4 )

2.Va lue Code s( S e e C o l u m n s C I a n d D 3 )

3.Va lue M clhod Code s( S e e C o l u m n C 2 )

A = $ 1, 000 or l essF =$50,001 - $100.000J =$15,000 or lessN =$250,001 o $500,000P3 =$25,000,001 - $50,000.000Q = Appra i sa lU = B o o k V a l u e

B=$1 ,001- $2 ,500G =$100,001 -$1,000,000K =$15,001- $50,000O =$500,001 -$1,000,000R =Cos t ( Re a l Es t a t e Only)V = O t h e r

C =$2,501 - $5,000H I =$ 1,000,001 - $5,000,000L =$50,001 - $100,000P1 =$1,000,001 o $5,000,000P4 -M o r e t ha n $50 ,000 ,000S =As s e s s me ntW =Es t ima te d

D=$5,001- $15,000H2 = More t han $ 5 , 000,000M =$100 ,001- $250 ,000P2 =$5,000,001- $25,000,000T ~ C a s h M a r k e t

E =$15,001- $50 ,000


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Name of Person ReportingNEWMAN, PAULINE

Date of Report05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)[] N O N E (No reportable income, assets, or transactions.)

A. B. C. D.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 u r i n g G ro s s v a lu e a t e n d T r a n s a c t io n s d u r in g re p o r t in g p e r io d( in c lu d in g tr u s t a s s e ts ) re p o r t in g p e r io d o f r e p o r t i n g p e r i o d

(1) (2) (1) (2) (1 ) (2) (3) (4) (5 )Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e Type (e.g., D a t e V a l u e Ga i n Identity of

exempt from prior disclosure Code I d iv . , r e n t , C o d e 2 M e t h o d b u y , s e l l , mm/dd/yy C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) o r i n t . ) (J-P) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) (if private

(Q -W ) tr a n sa c t io n )

First EagleGIobal Mutual Fun d I A Dividend J T

I. I nc om c Gain C od es : A = $ 1.000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000( Se e Colunms B I a nd D4) F = $50,001 o $100.000 G = $100,001 - $1 ,000,000 HI =$1,000,001 - $5,000,000 H2 = More t han $ 5 , 000,000

2. V a lue C o d e s J = $15,000 o r le ss K = $15,001 - $50,000 L =$ 50,001 - $ 100,000 M =$ 100,001 - $250,000( Se e Columns C I a nd D3) N = $25 0,001 - $5 00,000 O = $500,001 - $ 1 ,000,000 P 1 = $ 1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50.000,000 P4 =M or e t ha n $50 ,000 ,0003 . Va lue M e thod Code s Q = Appra i sa l R =Cos t ( Re a l Es t a t e Only) S =As s e s s me nt T = C a s h M a r k e t( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O l h e r W =Es t ima te d

E =$15,001 - $50,000


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Name of Person R e por t ingN E W M A N , P A U L IN E

D a t e o f Re p o r t05/13/2011

V I II . A D D I T IO N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)


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Name of Pe r son R epor t ingN E W M A N , P A U L IN E

D a t e o f Re p o r t05/13/2011

IX. CERTIFICATION.1 c e r t i fy t h a t a l l in f o r m 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 r m a t i o n p e r t a in 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 , if 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 to 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 in formation 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 tu t o 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 f u r th 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 f t 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 inc o m p l i a n c e w i t h t h e p ro 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 Ju d i c i a l Co n fe re n c e r e g u l a t i o n s .

Signature: S/PAULINEN E W M A N

N O T E : A N Y I N D IV I D U A L W H O K N O W I N GL Y A N D W I L F U L L Y F A L SI FI E S O R F A I L 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 l 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 )

C o m m i tt e e o n 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 he U n i t e d S t a t e s C ou r t sS u i t e 2 -301O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

Pauline Newman Financial Disclosure Report for 2010

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