Harris L Hartz Financial Disclosure Report for 2009

8/3/2019 Harris L Hartz Financial Disclosure Report for 2009

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ao lo FINANCIAL DISCLOS URE REPORT R e p o r t n e q ~ i r ~ , d b . v a , e E t ~ , i , : , ~: in GovernmentAct of 197~:~V, iao~o " FOR CALENDAR YEAR 2009 0 U.S.C. app, ~q~ 101-111)

1, Person Rcporfin~ (last nam e, first, middle initial) 2. Court or Orgat~ization 3. Dntc ofHa~tz, Hang L. Senth Circuit Coma ogAppeals 05/08/201

4. Title (Article Ill judges indicate active or ~ nior ~tus; 5a. Rcporl Type (check appropria te t~e) 6. Reporting Pcri~Mmagistrate judges indicate IMI- or~ Nomination, D a ~ c 01/01/2009

Ci~cuitludgeActive ~ I~itiat ~ A .... I ~ Final 12/31/20095b. ~ Amc~dcd Report

7. Ch an~ber~ ar Office Addrtsx 8. On the basJ~ o[ tl e informal o contained in thi~ Report and anymodificafion~ perta ining thcrc[o, i l is , i~ my opinion, in compliance2(/I Third St. NW, #1870 with ~pplitable laws and regulafions.Albuquerque , NM 87102

Reviewing Officer Date

IhlPORTANT NOTES: Th e instructions uccompatoing this form must be followed. Complete all parts,checking the NO NE box for each part where you have no reportable information. Sign on lastpage.

I . P O S I T I O N S . c ~ ~ o , ,i , z ~ , u ~ , ~ o t o , t s . ; , , o w . 9-. o~,,,g instructions,)~ N ONE (;",to reportablepositions.)POSITION lqAME OF ORGANIZATION~ENTITY

1. Trustee Trust No. i

2. Mcm beh Board of Directors Searle Civil Justice Institute

4. : r--

~ N O N E (No reportable a greements.) rri 0~ PARTIE~ AND TERM S

1.9/30~1999 Myjudicial p~nsion from th~ State ofN~w M~xico has v~sted and will be distributed when I am


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FI NANCI AL DI S CLOS URE REPORTPage 2 of 10

III. NON-INVESTM ENT INCOM E. mu,o~,i,g ~,~i.i~,o~,,u~, ....~ p ~ . ~ - ~ , ~ i , ~ . i , ~ , ., ~ , , ., ~ o . ~ )A. Filcrs Non-Investment Income

N O N E (No reportable non-investment income.)DATE SOI~{CE AND TYPE INCOME(yours, not spouses)

1 .

2.

3.4.

B. Spouses Non-Investment Income - tyy,,u uere m arried d tring an.v portion of the reporting fear, complete thi.~ sectio~

~ N O N E (No reportable non-investment income.)DATE SO[~CE

1.2.

3.

4.

I V . R E I M B U R S E M E N T S --,ran3t,ortation, lodging, f hod, enttrtainmenz(lnch~cles those to st,ouse and dct,cnd~nt chtl,tren; set" f7~, 25-27 offilin~ in~m~ction~ )~ N ONE (~b rq~ortable reimbursements.)

~ ~ I ,OCATION PI.~POSE ITEMS PA~ OR PROVIDED1. Vanderbilt Univ. 2 ! 5 - 7 Nashvilie, TN M o o t C o m ~ transportation, lodging, food "

2. Northwestern Univrsily 4 , ~ 8 - 2 9 , 1 0 1 2 0 - 2 2 Chicago, IL Searle Center board mtg transportation, lodging, food3. San Juan College 5 ~ 7 - 9 Fa rm in gt on . N ew M e xi co Co mm en ce me nt sp ee ch lranspo~ation, lodging, tbod

4. AB A 5 ! 2 8 - 3 1 Chicago, Illinois Appellate praclice Inst. Tr~spo~ation, lodging, l~od

5 . Florida Slate University 8~5-28 Ta}lahassee, Flori~ Jurist in reside nc e Transportation, lodging, food6 . Duke ~w school 9 / I 9 - 2 1 Durham, North Carolina W orkshop on evaluatiog Transpo~tion, lodging, l~odjudges


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Name ol" Person R~,porLingFINANCIAL DISCLOSURE REPORTHartz, ilarr s L. 05/0M2010Page 3 of 10

~ N O N E ( N o reportable gifts.)SOURCE DESCRIPTION VAI ~UE

1.2 .3.45.

V I . L 1 A B I L I T I E S . a,,t~a~, t;,o~ of~p,,,,,.,,,,a a~ro, u~,,, chitdren; see ~ p . 3 2 - 3 3 of filing instructi,ms.)N O N E (No reportab le liabilities.)

CREDITOR DESCRIPTION VALUE CODEI.2._3.45


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FI NANC I AL DIS CLOS URE REPORTPagc 4 of 10 n~t~ llarris L. 05/08~010

VII. I N V E S T M E N T S a n d T R U S T S - a .......... ~ .......... .,io,~ H ncludes those ors7 . . . . . . . . . . . d de pet, d .....hildren; xee pp. 34-60 t~fiting i ........ i o n . v . )~ (No reportab]e income, assets, orONE transactions.)

Description of A~sets Income 0tiring ~iross value at end Tra~actioas during reporlmg period(including re, st assc~) reporting period ~ of repor ting per iod

(1 ) (2) ~ (I)~, -~ ..... (1) Date(2) [(31 (4)(5i

Place "(X)" a~er each ~sct Amour qype (e.g., Value Value Type (e.g.,exemptfrompfiordisciosum Code 1 div.,~cnt. Code2 Method buy sell. m~ddt~, Code2 Code I buyer/sdlcr~ (A-H) or int.J ;~ (J-P) Cod.z 3 : redemptions) (J-P) (A-H) (if private

1. Trust l G Dividend O T

-~. - -BRKA

3. --BRKB

5. --NUV

6. - -PNW

7.

8. --COP

9. --TWCUX

10 . --LCEIX

l I . --JANSX

12 . --NGU~

13 . --NPRTX

14 . --AMOAX

15 .

16. --TGRAX

17. --USGBX


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FINANCIAL DISCLOSURE REPORT ~ . . . . .. ~ " . . . . . ~ . ~ , o , ~ . , g 1Page 5 o f 1 0 tl~lrtz, t i a r a s L.I

0 5 ! 0 S , 2 0 1 0

Vll. INVESTMENTS and TRUSTS - ~ .......... ~ ......... .,i,~ (lnclud


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FINANCIAL DISCLOSURE REPORTIN .....tP ..... ,t.po.l,,gPage 6 of 10] H a r t z , H a r r i s L .

N O ~ (No reportable income, assets, or transactions.)A. ~ B. ~ C.. D.De~ription of Assets Income dunng Gross vMue at end i Tr~n~ct/oas dunng rcpomng perm d(including trust ~st~) ] reposing per i~ ~ of reposing pcried.... i~-

P]ace"(X)" after ouch ~sct Amoun~ [ ]ype (eg. Value ~ Value i Date i Value Gain ]denttty~fexempt from prior disclosure C~dc t i div.. rent, CZde ~ ~ Methodqypc

(J-P)- Code 3buy, {ell, ~m~d&i~ } Code 2 Code I bttyerisd[erredemption) [J-P) IA-I[) (~f privale

35. --ING Fixed Account

36. -qNG Balanced VP

37 . IRA Account E Dividend M T

38 . --Govt Natl 1,4tgc Assn Poor

3 9 . --US Treasury B o n d

40 . --AMODX Sold 04117109( p a r t )41 . --" Bu y 12/14/09(addl)42 . - -GLBAX

43 . --MSACX Sold [ 0 1 1 1 6 / 0 9 J A~art)44 . -" " Sold 07/17/09 J A(part.}45 . "" " Sold 10/17,09 J A(part )46 . --" Bu y 12/14/09 J(addl)47 . --MSSGX B uy 12/14/09 J(addl)48 . - -MPEGX B uy 12/14109 l{addl)49 . --MISCX B uy 12/14/09 J(add])50 . --MI)FDX Bu y 10116109 J{addl)51 . --" B uy I 12/14109 J(add l)


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FINANCIAL DISCLOSURE REPORTPage 7 of 10V I I . INVESTMENTS an d T R U S T S - i . . . . . . . . . t , , e , , . . . . . . . ~o, , , , h, cludes 11 ..... ~fsI .......... d dependent children; .~ee PI" 34-60 , ~ f i l i n g i

N O N E (No reportable income, assets, or transactions.)D e ~ c r i p f i o ~ o f 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 l e n d T r a n s a c t i o n s d u r i n g r e p o n i ~ l g p e r i o d0nciudingtmstasse~) re~nmgperiM ofrep~ain~e~,,O .....

~t7 ...... ~ [}~ (3) (4) ~ ......~ ) 1 2 ) (~ 1 (2 )P l a c e " ( X ) " a ~ r e a c h ~ s e t A m o u n t ~ T~e (e.g., V a l u e Value T y p e ( e . g . . : Date Value Gain i l d c n ~ t ye x e m p t f r o m p f o r d i s c l o s u r e Code I r d i v . , r e n ~ , Code2 M e t h o d ~: b u y , s e l l , m~d&y) C e d e 2 Cede I b u y e r / s e l l e r(A-tl) i 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) i ( i f p r i v a t e( ~W) [ t r a n s a c t i o n !

~ 5 2 . --MS Spec~um Selec~~ 5 3 . --MS Spee~um Tech

5 4 . --MS Spectrom Cunency

5 5 . ~-Morgan Stanley Bank Acct5 6 . --Morgan Stanley CPl/Commodity note

5 7 . --ACSDX Bu y 12/14/09 J(addl)5 8 . A n n u i t 3 . B I n t e r e s t J T5 9 . --ING VP Inter Bond Portfolio

6 0 . Allstat., Lili: Ins. Co. annuity A Interest K T6 1 . CM Life lus. Policy B I n t e r e s t L T

" 6 2 MONY Life Ins. Policy A Dividend 6 3 . Security Connecticut Life Ins. Policy #l A Interest

6 4 . Security Connecticnt Life Ins. Policy #2 A I n t e r e s t K T6 5 . TETSX Nnne I. T6 6 . EVGFX A Dividend J T6 7 . OPPAX A Dividend l [ T

6 8 . ,5CINX A Dividend K T


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FI NANCI AL DI S CLOS URE REPORT I 1 Nam eofPe .....Rept, rling [ 1)ate ofRcpt, r!Page 8 o f 10

] l l a r t z , l l a r r i s L .V 1 1 . I N V E S T M E N T S a n d T R U S T S - i .......... ~ . , , t .......lon~ (lncludex th . . . . . .~fsp .......d depend ....hildren; s,el~l,. 34-bU oJ~]ili~A , i t ,strucllot,s.)

N O N E ( A ~ reportable i~come, assets, or transactions.)Description of Assets Income during Gross value at e ~d "ran~cttons during reporting period(including ~st asse~) re po rtin g p erio d o f re po rtin g p erio d

Place "(X)" a~er each ~set ~Amo~n[ Type (e.g., I V~lue Value i Typz {e.g., Dale ValueCode I div.,rent, r Code2 Method

69 . AMOBX *" None J T

7 0 . DIVBX A Dividend J T7 1 . M o r g z n S t a n le y B a n k A c c t A I n t e r e s t J T


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FINANCIALDISCLOSURE REPORTPage 9 of 10VI II . ADDI TI ONAL I NFOR MATI ON O r EXPLANATI ON S .

* Line 48 ofrcpon for 2008: ]-he MSDW liquid assct fund was mcnncc|ly listcd on the rcpr~r! fur 20[18, II was redeemed on April 16, 2008, for--]"*Liue 69: there was a class exc ange from AMOBX to AMOAX ot~ Feb~u,~ry 27


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.FINA N CIAL DISCLOSURE REPORTPage 10 of 10

IX. CERTIFICATION.I certify that all information given above (including information pertaining to my spouse and mir.or or dependent children, if any) isaccurate, true, and com plete to the best of my kn~wledge an d belief, and that any iuformation not reported was w ithheld because it met applicable statutoryprovisions permitting non-disclosure. " -1 further certify that earned income from ontsidc employment and honoraria and the acceptance of gifts which have been reported are incompliance with the prov isions of 5 U.S.C. app. 501 el. seq., 5 U.S.C. 7353, and .I udicial Conference regulalions.

NOTE: ANY INDIVIDUAL \VIIO KNOW INGLY AND W 1LFULLY FALSIFIES OR FAILS TO FILE THIS REPORT ~MAY BE SUBJECT TO CIVILAND CRII~IINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdnfinistrative Office of the United States Cou rtsSuite 2-301One Columbus Circle, N.EW ashing ton , D.C. 20544

Harris L Hartz Financial Disclosure Report for 2009

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