Alan D Lourie Financial Disclosure Report for 2010

8/3/2019 Alan D Lourie Financial Disclosure Report for 2010

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Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n R e p o r t i n g ( la s t n a m e , fi r s t , m i d d l e i n i t ia l )Lourie , Alan D.

4 . T i t l e ( A r t i c l e I ! ! 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 ;magistrate judges indicate full- or part-time)U.S. Circu i t Judge

7. Chambers or Office A d d r e s sHoward T. M arkey Na t Cts Bldg717 Madison P /ace NWWashington, DC 20439

2 . C o u r t o r O r g a n i z a t i o nU.S. Ct of Appea ls -Fed Circui t

5a . Report Type (check appropr ia te type)

] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. 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 is R e p o r t a n d a n ym o d i f i ca t i o n s p e r t a i n i n g t h e r e t o , i t i s, i n m y o p i n i o n , i n c o m p l i a n c e

w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

R e v i e w i n g O f f i c e r D a t e

3 . D a t e o f R e p o r t04/09/2011

6 . R e p o r t i n g P e r i o d

01/01/2010to12/31/2010

I M P O R T A N T N O T E S : The instractions accompanying this form mast be followed. Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on iast page.

I . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of filing instructions.)~] NONE (No reportable positions.)

P OSITION

2.

3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Reporting individual only; seepp. I4-16 of filing instructions.)--] NONE (No reportable agreements.)

DATEI. 4/6/902.3.

PARTIES AND TERMSGlaxoSm ithKline, successor to former em ployer, provides pension and retiree group health and life insurance


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FINANCIAL DISCLOSURE REPORTPage 2 o f 7

Name of Person ReportingLour ie , Alan D.

Date of Report04/09/2011

I I I . N O N - I N V E S T M E N T I N C O M E . ( R e p o s i n g i n d i v ia n a l a n d s p o a s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Fi le r s Non - lnve s tmen t In com e

~] (No reportable non-investment income.)O N ED A T E S O U R C E A N D T Y P E INCOME

(yours, not spouses)1. Jan-Dec GlaxoSmi thKl ine pension $88,273.002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - i f you were m arried during any portlon of the reporting year, complete this section.(Dollar a m o u n t n o t required except for honoraria. )

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

1 .2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter ta inment .(Includes those to spouse and dependent children; see pp. 25-27 offiling instructions.)

D N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

1 . Boston Pa tent Law Assoc June 4 Boston, MA A tte nd ju dg es d in ne r A irf are , h ote l, a nd d in ne r2. Inte ll Proper ty Owners E duc June 10 W ashing ton, D C A ttend aw ard s d inner Dinne r for i , i lf~ [~I m eFoundation3. Harvard Law School O c tober 13-14 C am brid g e, M A Parlic ip ate in sym p os ium A irfare , ho te l, and m eals4. Form er c lerks o f re t i ring ch ief October 19 Washington , DC Speak a t dinner for re t i r ing Dinner m ej u d g e CJ5. Philadelphia IP Law No v em b er 19 Philadelphia, PA Rece ive ca r ee r awar d Hotel and dinner" ii "! meAssociation


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Name of Person Report ingFINANCIALDISCLOSUREREPORT[ Lourie, Alan D.

Page 3 of 7

V . G I F T S . (tnctudes those to spouse and dependent children; see pp. 2 S-31 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.

5.


VALUE

V I . L I A B I L I T I E S . a n d . d e s ~ h o s e o y ~ . ~ , o , , s e u . d d c ~ d e n t children; s e e p p . 3 2 - 3 3 of filing instructions.)NONE (No reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.4.5.

V A L U E C O D E


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FINANCIAL DISCLOSURE REPORTPage 4 o f 7 Iame of Person ReportingLourie , Alan D. Dage of Report04/09/2011

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 . , e , v o t u e , tr a n s a c t io n s (Includes those of spouse and dependent children; see pp. 34-60 of filing instructlons.)---] N O N E (No reportable income, assets, or transactions.)

De sc r i p t ion o f Asse t s Income dur i ng( inc luding trust assets) repor t ing pe r iod

(i) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C od e 1 d iv . , r e n t ,( A - H ) or in t . )

Vanguard Tax Exemp t M M Fund 1

Vanguard Tax Exem pt MM Fund 2F r a n k l in " I e m p l et o n M u t u a l S h a r e s F u n d

Vanguard Heal th Care Fund

T Rowe Price Cap Apprecia t ion Fund (IRA)Vam guard W indsor II Fund

Va nguard ST Inv G r Bd Fund (IRA)

TIAA-CREF

2.

3.

4.

5.

6.

7.

8.

9.

I0.

11 .

12 .

13 .

14 .

15 .

1 6.

17 .

Gross value at en do f re po r t ing pe r iod(l) (2)

V a l u e V a l u eC o d e 2 Me t h o d

(J-P) C o d e 3( Q - W )

A Dividend L TA Dividend K T

D Dividend N TD Dividend N TC Dividend M T

None

D Dividend M T

PNC Bank ch eck ing account

US Treasury Notes

Van guard 500 Index Fund

Van guard Extended Ma rket Index Fund

Van guard Global Equity Fund

Vanguard lnternat Explorer Fund

Van guard European Fund

T Rowe Price Short Term Bon d Fund (IRA)

A I n t e r e s t K T

A I n t e r e s t K T

B I n t e r e s t L T

D Dividend N T

C Dividend N TC Dividend M TB Dividend M T

C Dividend M TE Dividend PI T

T ra n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(1 ) (2) (3)Type (e.g., D a t e V a l u ebuy, sell, m m /d d!yy C od e 2

redemption) (J-P)

Sold 02/16/10 L

B uy 03/08/10 J

Sold 06/01/10 J(part)Sold 03/08/10 J(part)

Buy 02/16/10 L(add l )

Sold 06/15/10 L(part)

(4) (5 )G a i n I d e n t i t y o f

Code 1 buyer /seller( A - H ) ( i f p r i v a t e

transaction)

s ee V IIIsee V III

see V III

1. Incom e G ain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2.501 o $5,000 D =$5,001 - $15,000[See Colum nsB I and D4) F =$50,00~ - $100,000 G =$~00.001 - $1,000,000 H I =$ 1, 00 0, 00 1 - $5 ,0 00 ,0 00 H 2 -M o re th an $5 ,0 00 ,0 002. Value Codes J = $15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100.001 - $250,000(See ColumnsC I and D31 N =$250,001 - $500,000 O =$500,001 - $1,000,000 PI =$1.000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25.000.001 - $50.000.000 P4 =M ore than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =C a s h M a r k e t(Sce Colunm C2) U =Book Value V -Other W =Est imated

E =$15,001- $50,000


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N a m e o f P e r s o n R e p o r t in gLourie, Alan D.

Date of Report04/09/201 l

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 , ~ e , v a l u e , 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 e s c r i p t i o n o f A s s e t s Income d uring G r o s s v a l u e a t e n d( i n c l u d i n g t r u s t a s s e t s } reporting period 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)Place "(X)" after each assel 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 Gainexempt 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 buy, sell, m r n / d d /y y C o d e 2 C o d e 1( A - H ) o r i n t . ) (J-P) C o d e 3 r e d e m pt io n ) ( J - P ) (A-H)( Q - W ) [18 . Va ngua rd ST Ta x E xe mp t Fund 1 D D i v i den d O T1 9 . V an gu a rd S T T ax Ex empt Fu n d 2 D Dividend N T Buy 06/01/10 J(add l )20 . Va ngua rd L imi t e d Te rm TE Fund 1 D Dividend N T21 . TR Price High Yield Fd ( IRA) D Dividend L T22 . TR Price New H orizon Fd ( IRA) C Dividend M T23 . Va ngua rd D iv ide nd Growth Fd C Dividend M T24 . Vanguard Pr im e Cap Core Fd B Dividend M T25 . V an gu a rd L im i ted T e rm T E Fu n d2 E Dividend O T26 . TRP r ic e GN MA Fund E Dividend N T Buy 06/15/10 L

(add l )27 . Sequoia Fund A Dividend L T

T ra n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d(5 )

Identity ofbuyer/se l ler(if private

t ransac t ion)

I . In come Gain ( odes : A =$1,000 or less B = $1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000( See Columns B 1 and D4) F =$50,001 - $100,000 (3 =$100,001 - $1,000,000 H I =$1,000,001 - $5,000,000 H 2 = M ore than $5,000,000

2. Value Cod es J =$15.000 or less K = $15,001 - $50,000 L =$50,001 - $ 100,000 M =$ 100.001 - $250,000( Se e C olum ns C I a nd D 3) N = $250 ,0 01 - $50 0,000 O =$500,001 - $1,000,000 P 1 = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 P 2 =$ 5, 00 0, 00 1 - $ 25 ,0 00 ,0 00

P3 =$25.000,001 - $50.000,000 P4 =M ore than $50,000,0003. Value Method Codes Q =Appraisal R =Cos t (Real Es ta te On ly) S =Asscssmcn t T =Cash Marke t1See Column C2) U =Book Value V =Other W =Est imated

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0


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Nam e of Person ReportingL our i e , Alan D.

Date of Report04/09/201 I

VIII . ADDITIONAL INFORMATION OR EX PLANATIONS. (lndlcate part of report.)I tems 8 , 9 , and 17 in Par t VII do not provide g a ins in D4, because they were within an IRA or a rollover so tha t the re was no recognized ga in.


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FINANCIAL DISCLOSURE REPORTPage 7 of 7

Name of Person Report ingL o u r i e , A l an D .


IX. CERTIFICATION.1 ce r t i fy t ha t a l l in form a t ion g iv en abov e ( inc lud ing in form a t ion pe r t a in ing to m y spou se and m inor or dependent ch i ld ren , if any ) i sa c cura t e , t rue , and com ple t e t o t he be s t o f my knowledg e and be l i e f , and tha t any in forma t ion no t r epor t ed w as wi thhe ld because i t m e t a pp l i c able s t atu toryp r ov i s ions pe r m i t ti ng non -d i s c lo su r e .1 fur the r c e rt i fy t ha t e a rned incom e f rom ou t s ide em ploym ent and honora r ia and the a c cep t ance of g i f t s which hav e been r epor t ed a re incom p l i ance wi t h t he p r ov i s ions o f 5 U . S . C . app . 501 e t . s eq . , 5 U . S . C . 7353 , and J ud i c i a l Confe r ence r egu la t ions .

Sign atur e: S/Alan D. Lour ie

N O T E : A N Y I N D I VI D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF IE S O R F A I L S T O F IL E T H I 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 ND CR IMIN A L S A N CT IO NS (5 U .S .C. app . 104 )

Com m i t tee on Financ ia l D isc lo sureAdm inis t rat i ve Of f i c e o f the U ni ted S ta te s Cour t sSui te 2-301One Colum bus Ci rc le , N .E .W ashing ton , D .C. 20544

Alan D Lourie Financial Disclosure Report for 2010

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