Stephen S Trott Financial Disclosure Report for 2010

8/3/2019 Stephen S Trott Financial Disclosure Report for 2010

1/24

AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010Report Re quired by the Ethicsin Go vernmen t Act o f 1978

(5 U.S.C. app. 101-111)

I . P e r s o n Reporting (last name, first , middle init ial)TR O V I , S t eph en S .

4. Title (Article III judge~ indicate active o r s e n i o r status;magistrate judges indicate full- or part-time)Cir cu i t J udge , Sen io r S ta tus

7 . C h a m b e r s o r O f f i ce A d d r e s sU.S. C our th ous e5 5 0 W. For t S t ree t , R oom 6 6 7Boise, Idaho 83724

2. Court or OrganizationNinth Circui t Court of Appea ls

3. Date of R e p o r l04/26/201 I

5a. Report Type (check appropriate type)] N o m i n a t i o n , Da te[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliancew 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 .

Reviewing Officer D a t e

6. Repor t ing P e r i o d01/01 /2010

to12/31/2010

I M P O R T A N T N O T E S : T h e i n s tr u c ti o n s accompanying t h i s f o r m must be fo l lowet Com plete a l l par ts ,checking the NONE b ox for each part where you have no reportable informatiom Sign on last pag~

I . P 0 S I T I 0 N S . t R , p o m , ~ i ,a l v l a , o t o , t y ; s ,, w . 9 - 1 s of f i l ing instruct ion~)D NONE(N o reportable positions.)POSITION

1 . B o a r d M e m b e r2. B o a r d M e m b e r Esther S implo t Per f o r ming Ar t s Cen ter3. Advi s ory C ommi t t ee Member Chi ld rens Hom e Soc ie ty o f Idaho

4.5.

N A M E O F O R G A N I Z A T I O N /E N T I T YBoise Phi lhar mon ic Assoc ia t ion & Fou ndat ion

I I. A G R E E M E N T S . t R ~ p o r ~ ,g i,aivla,,t o~ty; ~e, pt,. 14 -16 of filing instructions.)D (No reportable agreements.)O NE

I. 2010

D A T E PARTIES AND TERMSVested interest in a retirement plan maintained by Los Angeles Cnty, CA. I was employed as an attorney between1 965/1 981 . I d r aw a r e t i r emen t income m on th ly .


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FINANCIAL DISCLOSURE REPORTPage 2 o f 12

N a m e o f P e r s o n R e p o r t i n gT R O T T , S t e p h e n S .

D a t e o f R e p o r t04/26/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24offilinginstructionsOA. Filers Non-lnvestment Income

D NONE non-inves tment income.)eportableDA TE SO U R CE A ND TY PE INCOME

(y o ur s , n o t sp o use s )1. 2010 L o s A ng eles C o u n ty C alif o rn ia R etir em en t $1 2,000 .002. 2010 "Highwaymen" LLC, Recor d Sales & Per f o r mance Fees $3,780.003.4.

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 - t f y o u were m arrled during any po rt ion of the report ing sear, complete this sect lon~(Dollar amount not required except for honoraria.)

~] N O N E ( N o r e por t ab le n on - i nv e s tm e n t i ncom e . )DATE SOURCE AND TYPE

I.

2.

3.

4.

I V . R E I M B U R S E M E N T S - - , ra .spo.aao. , Iodg;ng, /ood , en te , ta inm en~( I n c l u d e s t h o s e t o s p o u s 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 o f f il i n g i n s t r u c t io n s . )

D (No repor tab le re imburseme nts .)ONES O U R C E D A T E S L OC A TIO N PU R PO SE ITEMS PAID OR PROVIDED

1 . I da h o S ta te B a r C o n fe re n ce J ul y 1 5 -1 6 , 2 0 1 0 Id aho F a lls , ID Lec tu re o n C o n stitu tio na lInterpretat ion Theory Transportat ion, hotel

2. Ci t i z e n s L a w A ca d e m y Sept . 8 , 2010 Idaho Fa l ls , ID L e c t u r e o n t h e C o n s t i t u t io n H ot e l3. Ha rva rd L a w Sch o o l Oct . 6 , 2010 C a m b r i d g e , M A Lecture on Informants Transpor ta t ion4.5.


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 2

Name of Person Report ingT R O T T , S t e p h e n S .

D a t e o f R e p o r t0 4 1 2 6 1 2 0 1 1

V . G I F T S . a n c l u d , ~ t h o s e t o s p o ~ e o n d d e p e n d e n t children; see p p . 2 8 - 3 1 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; see pp. 32-33 of filing instructlon~)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.

4.5.

VALUE CODE


4/24


N a m e o f P e r s o n Repor l ingT R O T T , S t e p h e n S .

Date of R e p o r t04/26/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o ,~ e , v o tu e , tr a .~ u c t io ~ a . c l. d e , t h o s e o / s p o u s e u . d d e p e . d . . t children; see p p . 3 4 - 6 0 of fillng i n s t ru c t l o n & )D NONE income, assets , or transactions. )N o reportableA. B. C. D.

Description of Assets Incom e during Gross v alu e at end Transactions during reporting period(including trust assets) r e po rt i n g p er i o d o f r e po rt i n g p er i o d

I (I) (2) ( I ) ( 2 ) (I) ( 2 ) ( 3 ) ( 4 ) (5)P l a c e " I X ) " a f t e r e a c h a s s e t i A m o u nt T y p e ( e . g ., Value Value T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fI Code I d i v . , r e n t , Code 2 M e t h o d buy, sell, m m/dd~ y Code 2 Code I bu yer/selle rexempt from prior disclosure

(A-H) o r i n t . ) ( J - P ) Code 3 redemplion) ( J - P ) (A-H) ( i f p r i v a t e( Q - W ) wansaction)

I. A l l S t a t e Co rp . A l l (X -I )2. Ch e vro n Co rp CVX (X -I )

3. E xo n M o bi l Co rp X OM I X - l )

4. Ge n e ra l E l e c t r i c GE (X -I )5. R ea l t y I nc ome C o r p R e i t O ( X- l )

6. V e r i zo n C o m m . C o m . V Z ( X - l)

7. Wi s c ons i n Ene r gy C or p . WEC I X- l )

8. S an Di ego C nt y C A C TF P a r t n . S h a r p 5 .2 5 %

9. - CP N 5 % d ue 8 / I 5 / 28 Ca l l 07/23/I 0 @101.00

1 0 . - M o o d y A 3 - S & P A C U S I P ( X ol )

I I . A m e r B a l an c e d F d I n c . C L C B A L C X ( X - I )

1 2 . B l a ck Ro ck FD S - T o t a l Re t u rn - B CB CX(X - l )

13 . B l a c k R o c k C A M u n i B o n d F u n d C l a s s I AM D C M X ( X - l)

1 4 . Ca l ve r t FD In co m e Fd CL C C I FCX (X- I )1 5 . C o l u m b i a F D S S E R T R I I n c o m e F d C l a s s C

C LO C X I X- 1 )1 6 . Co l um bi a T a x-E x Fd Cl a ss A COL T X (X -I

1 7 . F r ank l i n C A TX F r ee I nc om e F D C l as s AF K T F X ( X - l )

A Dividend J TD Div idend M TB Div idend L TA Div idend Sold 08/26/10 J A

C D i v i d e n d L T

A D i v i d e n d J T

A D iv iden d So ld 08/26/10 J A

A Div idend J T

A Div idend Sold 07/16/10 K A

A Div idend Sold 0 7 /16 /10 J AA Div idend Sold 0 7 /14 /10 K AA Div idend Sold 0 7 /16 /10 J AA D iv iden d So ld 0 7 /16 /10 J AA Div idend Sold 0 8 /26 /10 K A

A Div idend Sold 0 7 /16 /10 K A

1. Incom e G ain Codes: A =$1 .000 or Icss B -$1,001 - $2.500 C =$2.501 - $5.000 D =$5.001 - $15.000(S ee Co lumn s B I an d D4) F =$50.001 - $100,000 G = $100.001 - $1 .000.0~0 II I =$1,000,001 - $5.0~).000 112 =More than $5.000.000

2. Value Codes J =$15.00) or h."~s K = $15.001 - $50.0~0 L = $50.001 - $100.000 M =$100.001 - $250.000ISee Columrts CI and D3) N = $250 .0OI - $50 0.00 0 O = $5 0~ .0 01 - $ I.~ )0 .0 00 PI =$1.000.001 - $5.000.000 P2 =$5 . ~ . 001 - $25 . 000 . 000

P3 =$25.0~0.001 - $50.0~0.000 P4 =More Ihan $50.000.0~03. Valuc Method Codes Q =Appraisal R =Cost (Real Estate Only) S = A s s c s sr c i c n t T =Cash Markcl

(S ee Co lumn C2) U = Book Valu e V =O~her W =Esfimatcd

E =$15.001 - $50.0~O


5/24



D a t e o f R e p o r t04/26/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in co m e , , ,a t . e , t r a ,~ a c t l o , ~ a n c t .d e $ , h o . e o f ~ , o .~ e a n d d e p e n d e n t c h i ld r e n ; see p ~ 3 4 - 6 0 of fillng instruction~)N O N E (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s e ts T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m p r i o r d i s c lo s u r e

I n c o m e d u r in g G r o s s v a l u e a t e n dr e p o r t i n g p e r i o d o f r e p o r l i n g p e r i o d

(I) (2) (I) (2) (I ) (2) (3) (4) ( 5 )A m o u n t T y pe ( e . g . , V a lu e Value T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d / y y C o d e 2 C o d e I 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 ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

1 8 .

1 9 .

20 .21 .22 .23 .24 .25 .26 .27 .28 .29 .30 .31 .32 .33 .34 .

Joh n H anc oc k C A TX Free Inc . FD C L AT A C A X ( X - l) A Div idend So ld 08/26 /1 0 KA

So ld 07 /1 6 /1 0 J ASold 07 /1 6 /1 0 J ASo ld 07 /1 6 /1 0 K BSold 05 /1 7 /1 0 J BSo ld 05 /1 7 /1 0 J B

P i m c o T o t a l R e t u r n F D C L C P T I C X ( X - I ) A D i v i d e n d

P i o n e e r H i g h Y i e l d F D C L C P Y L C X ( X - I ) A DividendW e l l s F a rg o F D S - T R C A T X F r e e F D C L C A DividendSCTCX ( X- I)Artio Globe Int l Fund EQ II JETIX D DividendC alamos G rowth Fund C las s A C VG R X D DividendDodge C ox In t l S tk Fd DODFX D Dividend J TDodge C ox In t l S tk Fd DODFX D Dividend JG oldman Sac h s TR Sq uare Money M KT FD A Dividend JFSMXX (X)G rowth Fund of Amer i c a C las s F G FAFX D Dividend J

T

T

T

Sold 11/30/10(part)Bu y 1 2/20 / I0

JJ

G rowth Fund of Amer i c a C las s F G FAFX D Div idend JJanus Ins t Overseas FD JIGFX (X) A Dividend J

T

TSold 11/30/10 J(part)Bu y 05/1 7 /1 0 J

Janus Adv Mid C ap Va lue C I I JMVA X A Div idend J TLegg Mason Value Tr us t TRInc NAV A DividendL M N V XMutua l Se r i e s FD Inc Dis c overy Fd C L A D DividendTEDIXMutual Ser FD lnc G lobal Dis Fd CL Z A Div idendMDISX (X)Pimco Com modi ty - Real Retur n S t r a t ig ic A DividendFund - PC R IX

JJ

T

SoldT Bu yT Sold(part)

05/1 7 /1 005/1 7 /1 005/20 /1 0

JJJ

A

A

B

B

I . Income Gain Codes: A =$1.000 or tess B =$1,001 - $2.500 C=$2,501 - $5 ,000 D =$5,001 - $15.000(S ee Co lumn s B I an d D4) F =$50.001 - $100,000 G =$I00.001 - $1.000,000 Itl ~$1.000.001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J =$ I 5.000 o less K = $15.001 - $50.000 L = $50.0~ 1 - $100.000 M = $ 100. 00l - $ 2 50.0~0(S,:e Columns CI and D3) N -$250,001 - $500,000 O =$500,001 - $1,0~0.000 PI =$1.000.001 - $5.000.000 P2 =$5,0~0,001 - $25,000.000

P3 =$25,000.001 - $50.000.0~0 P4 =More than $50,000.0~O3. Valu e M ethod C odes Q =A ppraisa l R =Cost (Real Estate Only) S =A sscs smo a t T =Cash M arke tISce Cohtmn C2) U B o o k V a l u e V =Othcr W = E stim ated

E =$15.001 - $50.000


6/24


N a m e o f P e r s o n R e p o r t i n gT R O V r , S te p h e n S .

Date of R e p o r t04/26/201 I

V I I. IN V E S T M E N T S a nd T R U S T S - i n c o m e , v a t u , . ~ o ~ o a i o ~ a n a ~ a ~ t h o s e o f s p o ~ s ~ ~ ~ p ~ t c h i U , ~ ; s~ , , . 3 4 - 6 0 of filing instructions.)NONE (TVo repor table income, asse ts , or t ransact ions . )

D e s c r i p ti o n o f A s s e ts T r a n s a c t io n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s )P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m p r i o r d i s c l o s u r e

I n c o m e d u r in g G r o s s v a l u e a t e n dr e po rt i n g p e r i o d o f r e p o rt i n g p e r i o d(I) (2) (I) (2) (I ) (2) (3) (4) ( 5 )A m o u n t T y p e ( e . g . , V a lu e Value T y p e ( e . g . , D a t e Value G a i n I d e n t i t y o fC o d e 1 d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l, m m / d d / y y C o d e 2 C o d e I 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 ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

35 .36 .

37 .38 .39 .40 .41 .42 .43 .44 .45 .46 .47 .48 .49 .

50 .51 .

P i m c o C o m m o d i ty - Real Return StratigicFund - PC R IXP I M C O F u n d s P a c l n t T o t a l R e t u r n P T T R X A

Div idend J T Sold(part)Dividend J T

I 1/30/10 J A

P I M C O F u n d s P a c I n t T o t a l R e t u r n P I- I R X A Div idend J T B u y 04/15/10 JPIMCO Fu nds Pac lot Tota l Return PTTR.X A Div idend JPIMCO Funds Pac Int Total Return PIFRX A Div idend JTC W FDS Ine Tota l Bond Fund TG LM X A Dividend

TT

Sold 0 5 /17 /10 J A(part)Sold 12/15/10 J A(part)Sold 04/05/10 J A

Vanguard Index Trus t 5 0 0 Por t fo l io Inv Fd D Div idendVFINXVanguar d Index Tr Smal l Cap STK A Div idendPor t fo l io Inv NA ESXVanguar d Bond Index F D Shor t Term A Div idendVBISX (X)Vanguar d Fixed Income Sec . FD Shor t A DividendV F S T X ( x )V a n g u a r d M i d C a p I n d ex F d C L 1 V I M S X D Div idend

J

J

J

J

J

T

T

T

T

T

Bu y 0 4 /15 /10Bu y 0 4 /15 /10

JJ

V a n g u a r d B o n d I nd e x V B M F X D Div idend J TV a n g u a r d B o n d I nd e x V B M F X A Dividend J Bu y 04/15/10 JVanguar d To ta l ln s t STK Index Fu ndVG TSX (X)Vanguard Tota l Ins t STK Index FundVG TSXV a n g u a r d B o n d I nd e x V B M F XV a n g u a r d B o n d I nd e x V B M F X

A Div idendA Div idendA DividendA Dividend

JJJJ

T Bu y 0 5 /17 /10T Bu y 0 5 /17 /10T Sold 0 5 /17 /10

(part)T Sold 12/15/10(paa )

JJJ

JBB

I. Income Gain C odes :(S ee Co lumn s B I an d D4)

2. Value COd~(S ee Co lumn s CI an d D3)

3. Valu e Method C odes(S~e Column C2)

A =$1,000 or lessF :$50.001 - $ 100.000J =$15.000 or lessN =S250.001 - S500.0~OP3 =$25.000.001 . $50.0~0.000Q =AppraisalU -B o o k V a lue

B =$1,001 - $2,500G =$I00.001 - $1.000.000K =$15.001 - $50.000O =$500.001 - $1.000.000R =Co-sl (Real Estate Only)V =Olher

C =$2,501 - 55,000111 =$1,000.001 - $5.000.000L =550.001 -PI = $ 1 ,000. 001 - $ 5 ,000,000P4=More lhanW = Es t imated

D = $ 5,001 - 515,000112 =More than $5.000,000M =5100,001 . $250.000P2 =55.000.001 - $25.000.000T = C a s h I v l ar k e ~

E =515.001 - 550,0~0


7/24



Date of R e p o r t04/26/2011

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 , r o t, e . ~ , o ~ o c a o , ~ a n c l , d ~ , h o , e o f , p o ~ , e o n d d e p e n d e n t children; s e e p p . 3 4 - 6 0 of f i l ing instruct ions. )N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s T r a n s a c ti o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s )P l a c e " C A ) " a ft e r e a c h a s s e te x e m p t f r o m p r i o r d i s c l o s u r e

I n c o m e d u r in g G r o s s v a l u e a t e n dr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )A m o u n t T y pe ( e . g . , Value Value T y p e ( e . g ., D a t e V a lu e G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d ~ , y C od e 2 C o d e I b u y e r / s e l l e r( A - H ) or i nt . ) (. l -P) C o d e 3 re d e m p tio n ) (J - P ) (A -H ) (if p riv a te

( Q - W ) t r a ns a c t i on)

52 . Artio Int l Equity Fund II JETIX A Div idend Sold 05/18/10 J5 3 . C a l am o s G r o w th F u n d C l a s s A C V G R X A Div idend Sold 05/18 /10 J

BA

54 . C alamos Inv TR New G rowth FD C L A Div idend JC G R IX

55 . C alamos Inv TR New G rowth FD C L A Div idend JC G R IX56 . C as h & Money M arke t - Evergreen US G ov t A Interest KPorlfol io57 . Dodge C ox In t l STK Fund DODFX A Div idend J

TT

TT

Bu y 0 5 /18 /10 JBu y 107/16/10 J

58 . Dodge C ox InI l STK Fund DODFX A Div idend J Bu y 07/16/10 K59 . Dodge C ox In t l STK Fund DODFX A Div idend J Bu y 08/26/10 J60 . G oldm an Sac h s TR FINL Sq uare Money A Div idendMKT FSMXX61 . G oldm an Sac h s TR FINL Sq uare Money A Div idendMK T F S MXX62 . G rowth Fund Am er i c an Fund - C las s F A Div idendG F A F E63 . G rowth Fund Am er i c an Fund - C las s F A DividendG F A F E64 . Janus Adv i s e rs Se r Adv Mid C ap C I I A Div idendJ M V A X65 . Janus Adv i s e rs Se t Adv M id C ap C | 1 A DividendJMVA X66 . Janus Adv i s e rs Se r Adv Mid C ap C I I A Div idendJ M V A X67 . Janus Inv t FD Overs eas - FD C L I J IG FX A Div idend

(x )68 . Janus Invt FD Overseas o FD CL 1 JIGF X A Div idend(x )

JJ

J

JJ

J

JJ

T

T

T

T

T

T

T

T

T

Bu y 11/23/10 K

Bu y 12/20/10 J

Bu y 08/26/10

Bu y 07/16/10Bu y 08/26/10Bu y 05/18/10Bu y 0 7 /16 /10

JJ

JJ

I . Income Gain Codes: A = $1 ,000 or less B = $1.001 - $2,500 C = $2,501 - $5 ,000 D = $5,001 - $15.000(S C ol um ns B I a nd 1) 4) F =$5 0.0 01 - $ 1 00 ,0 00 G = $ 1 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 I I I =$ 1.000,001 - $5.000.000 1 1 2 = M o r e th a n $ 5 . 0 0 0 . 0 0 ~

2. Value Codes J = $ 1 5 . 0 0 0 o ~ " l e s s K = $15.001 - $50.000 L =$50.001 - $ 100.000 M = $ 100.001 - $250.000(S ee Co lumn s CI an d D3) N =$250.001 - $500,000 O =$500,1)01 - $1,000.000 PI =$1.000.001 - $5.000,000 P2 =$5,000,001 - $25,000.0~)

P3 =$25.000.001 - $50,0~0.000 P4 =More than $50.000.0003. Value Method Codes Q =Appraisal R =Cosl (Real Estate Only) S =Asscssmo~l T =Cash MarkclI S ce Co lumn C2) U = Book Valu e V - -O ~ h e r W :Es t ima ted

E =$15.001- $50.000


8/24

FINANCIAL DISCLOSURE REPOR TPage 8 o f 12

N a m e o f P e r s o n Repor t ingT R O T T , S t e p h e n S .

D a t e o f R e p o r t04/26/2011

V I 1 . I N V E S T M E N T S a n d T R U S T S -i .... e , value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

D c s e r i p ti o n o f A s s e ts T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d( i n c l u d i n g t r u s t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e te x e m p t f r o m p r i o r d i s c lo s u r e

I n c o m e d u r in gr e p o r t i n g p e r i o d0) (2)A m o un t T y pe ( e . g . ,C o d e I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)V a lu e Value

C o d e 2 M e t h o d( J - P ) C o d e 3

(i)T y p e (e.g. ,b u y , s e l l ,r e d e m p t i o n )

(2) (3) (4) ( 5 )D a t e Value Gain I d e n t i t y o fm m /dd~y Code 2 C ode I buyer/se ller

( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

69 .70 .

71 .72 .73 .74 .75 .76 .77 .78 .79 .80 .

81 .82 .83 .84 .85 .

Legg Mason Value Tr us t TR Inc NAVL M N V XLegg Mason Value Tr us t TR Inc NAVL M N V XLegg Mason Value Tr us t TR Ine NAVL M N V XMu tual Ser ies FD lnc Discover y Fd CL ATEDIXM u t u a l S e r F D I n c G L B L D i s c o v e r y F d C L2 M D I SX (X )Mutua l Se r FD Inc G LBL Dis c overy Fd C L2 MDISX (X)M u t u a l S e r F D I n e G L B L D i s c o v e r y F d C L2 M D I SX (X )PIMC O C om modi ty R ea l R e tu rn PC R IXPIMC O C om modi ty R ea l R e tu rn PC R IX

D Div idendA DividendA DividendA Div idendA DividendA Div idendA DividendA Div idendA Dividend

J

JJ

J

JJJJ

T

TT

Bu yBu ySold

T Bu y

T Bu yT Bu yT Sold(part)T Bu y

07/1 6 /1 008/26 /1 005/18/1005/18/1007/1 6 /1 008/26 /1 005/20/1008/26 /1 0

K

JJJJJ

JJ

P I M CO F D S P a c I n v t M g t Se r T o t a l Re t u rnPTTRX (X)PIMC O FDS Pac Inv t Mgt Se r Tota l R e tu rnPTYR.X (X)PIMC O F DS Pac Inv t Mg t Se r Tota l R e tu rnP T r R X ( x )T CW F un d s I n c T o t a l Re t u rn T GM L X

A DividendA DividendA DividendA Dividend

JJJ

TT

T

B u y 04/15 /10 J

B u y 07/16 /10 JB u y 08/26/10 J

S old 04/15 /10 J

Vanguar d Index Tr us t 500 Por t f o lio InvFund VFINXVanguar d Index Tr us t 500 Por t f o lio InvFund VFINXV a n g u a r d I n d e x T R S m a l l C a p S t o c kPor t fo lio NA ESXV a n g u a r d I n d e x T R S m a l l C a p S t o c kPor t fo l io NA ESX

A DividendA DividendA DividendA Dividend

JJ

JJ

T

T

T

T

Bu y 07/16/10 J

Bu y 07/16/10 J

A

I . Income Gain Codes: A = $1 ,000 or less B = $1 .001 - $2.500 C = $2.501 - $5.000 D -$5.001 . $15.0(10(See Columns B I and D4) F =$50,001 - $100,000 G =$ 1 00 .0 01 - $ 1 ,0 00 .0 00 I I I = $ 1 .0 00 ,0 01 - $5 .0 00 .0 00 1 1 2 = M o r e t h a r t $ 5 . 0 0 0 .0 0 0

2. Value Codc~ J =$15,000 o~ less K =$15,001 - $50.0~) L =$50.0OI - $100,0~1 M =$10~.001 * $250.000(S ee Co lumn s CI an d D3) N =$250,001 - $500.000 O =S 50 0.0 01 - $ 1.0 0~ .0 00 P I = SI .0 00 .O OI - $5 ,0 00 .0 00 P 2 = $ 5 . 1 1 0 0 . 0 0 1 - $ 2 5 . 0 0 0 . 0 0 ~

P3 =$25,000,001 . $50.000,090 P4 =More than $50.000.0903 . Valu e Method C odes Q = Appr a i sa l R =Cost (Real Estate Only) S = A s s es sment T - ~ C a . s h M a r k e t(S ee Co lumn C2) U = Book Valu e V = Olhcr W = Es t imated

E =$15.0~1 - $50,000


9/24


N a m e o f P e r s o n R e p o r t i n gTROTT, Stephe n S.

D a l e o f R e p o r t04/26/2011

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 on , e, , , at u e, ~ r o , ~ u c t l o ,~ a n c l u d , ~ t h o s e o / s ~ , o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 of f i l i n g i n s t r uc t i on s . )NONE (No reportable income, assets, or transactions.)

D e s c r i p ti o n o f A s s q ts I n c o m e d u r in g( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . ,e x e m p t f r o m p r i o r d i s c lo s u r e [ Code I d i v . , r e n t ,[ ( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (2)Value Value

C o d e 2 M e t h o d( J - P ) C o d e 3

T y p e ( e . g .,b u y , s e l l,r e d e m p t i o n )

T r a n s a c t io n s d u r i n g r e p o r t in g p e r i o d(2) (3) (4)D a t e Value Gain I d e n t i t y o f

m m/dd~ y Code 2 Code I buyer/seller( J - P ) (A-H) ( i f p r i v a t e

t r a n s a c t i o n )

86 . Vanguard IndexTR Smal l Cap Stock A Dividend JPor t fo lio NA ESX87 . Vanguar d Mid Cap Index Fd CL 1 VIM SX A Div idend J

TT

Bu y 08/26/10 J

88 . V a n g u a r d T o t a l S t k I n d e x F u n d V G T S X ( X ) A Div idend J Buy 05118/10 J89 . V a n g u a r d T o t a l S t k I n d e x F u n d V G T S X ( X ) A Div idend J Buy 05/19/10 J90 . V a n g u a r d T o t a l S t k I n d e x F u n d V G T S X ( X ) A Div idend J Buy 07/16/10 J91 . V a n g u a r d T o t a l S t k I n d e x F u n d V G T S X ( X ) A Div idend J Bu y 08/26/10 J92 . Vanguar d Munic ipa l Bond Fund VMLTX A Div idend J93 . Vanguar d Munic ipa l Bond Fund Lmtd Ter m A DividendT a x E x e m p t V M L T X94 . Vanguar d Munic ipa l Bond Fund Lmtd Ter m A DividendT a x E x e m p t V M L T X95 . Vanguar d Munic ipa l Bond Fund Lmtd Ter m A Div idendT a x E x e m p t V M L T X96 . Vanguar d Munic ipa l Bond Fund Lmtd Ter m A DividendT a x E x e m p t V M L T X97 . Vanguar d Munic ipa l Bond Fund Lmtd Ter m A Div idendT a x E x e m p t V M L T X98 . Vanguar d Munic ipa l Bond Fund Lmtd Ter m A Div idendT a x E x e m p t V M L T X99 . iVanguard Munic ipa l Bond Fund Sh or t Term D Div idendV W S T X1 0 0 . Vanguar d M unic ipa l Bond Fund Shor t Ter m B DividendV W S T X1 0 1 . Vanguar d M unic ipa l Bond Fund Shor t Ter m A Dividend

V W S T X102. Vanguar d M unic ipa l Bond Fund Shor t Ter m A DividendV W S T X

JJJ

JJ

J

JJ

JJ

T Bu y 01 /1 9/1 0T Bu y 05/1 8/1 0T Bu y 07/1 6 /1 0T Bu y 08/26 /1 0T Sold 11/09/10(paa )T Sold 12/15/10(part)T

T Bu y 01 /1 9/1 0T Bu y 06/1 7 /1 0T Bu y 08/26 /1 0

J

JJJJ BJ B

J

JJ

I . Income Gain Codes: A =$1,000 or less B = $1 ,001 - $2,500 C = $2,501 - $5 ,000 D =$5,001 - $15,000(See Columns BI and 1)4) F = $50.001 - $100,000 G = $100.001 - $1 .000.000 III = $1 .000,001 - $5 ,000,000 112 =More than $5,000.~00

2. Value Codes J = $15.000 or I~ s K = $15.001 - $50.000 L = $50,001 - $100.000 M -1100. 0~1 - $ 2 50. 000(S ee Co lumn s CI an d D3) N =$250.001 - $500.000 O $500.0OI - $1.000.00~ p I = $1 ,0 00 .0 01 - $ 5.0 00 .0 00 p 2 -$ 5.0 00 .0 01 - $ 25 ,0 00 ,0 00

P3 =$25.0~0.001 - $50.0~0,0~0 P4 =More than3. Valu e M ethod C odes Q = A ppraisa l R -Cost (Rcal Estate Only) S = As s es s ment T =:Cash Market

< See C olum n C2) U = B ook Valu e V =Other W E s t i m a t e d

E =$15,001-


10/24


N a m e o f P e r s o n R e p o r t i n gTROTT, Steph en S.

D a t e o f R e p o r ~04/26/201 I

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 , v a l u e , ~ a , ~ a c t l o , ~ a n c l u d ~ t h o s e o / sp o u s e a n d dependent children: s e e p p . 3 4 - 6 0 of f i l ing ins t ruct ions . )~-~ N O N E (No reportable income, assets, or transactions.)

D e s c rip t io n o f A ss e ts In c o m e d u rin g( inc luding t r us t a s s e t s ) r e por t i ng pe r iod

[ (0 (2)Place "IX)" after each asset l A m o u n t T y p e ( e . g . ,

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 [ Code I div, , r en t ,I( A - H ) or int .)

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(I) (2)V alu e V a lu e

C o d e 2 M e th o d(J-P) C o d e 3( Q - W )

( 1 )Type (e.g.,b uy , s e l l ,

r e d e m p t i o n )

T r a n s a c ti o n s d u r i n g r e l x ) n i n g p e r i o d

(2) (3) (4) (5 )D a t e Value Gain Identity o f

mm!dd/y~ Code 2 Code I bu yer/selle r( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

103 . Bonds - Bo i s e Idaho Was te W ater AMBAC104. Janus Fund JANSX

105. Janus Grow th & Income JAGIX

106. IRA - US Bank Cash Equivalent

A I n t e r e s tB Dividend

B DividendC I n t e r e s t K

S o l d 07/15/10 J AS o l d 07/16/10 K ASold 07/16/10 K C

T

I. Incom e G ain Cod es: A $ 1 .00 0 o r le ss B = $ l,0Ol - $2.500 C = $2,501 - $5 ,000 D = $5.001 - $15,000(S ee Co lumn s B I an d D4) F =$50.0~1 - $100,009 G =$100.00I - $1,090,000 ttl =$1,000,001 - $5.000,000 112 =More than $5,000.000

2. Value Codes J -$15.O~ or less K =$15.001 - $50.000 L =$50.1)01 - $100.000 M =$100.001 - $250.0~(See Columns CI an d D3 ) N =$250.001 - $500.0~0 O = $ 5 0 ~ . 0 0 1 - $ l , l~ ) O , O 0 0 PI =$1.000.001 - $5.000,000 P2 =$5.000.001 - $25.000.000

P3 =$25,000.001 - $50.000.0~0 P4 =M o re th an $50 . 000 .0~3. Value Method Codes Q -Appraisal R :Cost IRcal Estate Only) S =Assessment T =Cash Markc~I S ce Co lumn C2) U -B o o k V a lue V =O~her W = E s t imated

E =$15,001 - $50.000


11/24

FINANCIAL DISCLOSURE REPORTPagellof12

N a m e o f P e r s o n R e p o r t i n gT R O T I , S t e p h e n S .

Date of Repo~04/26/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (Indicate part of repor~)Sec t ion VII : This , excep t f o r l ine # 1 06 ( IRA U.S . Bank) , belongs to and is~ sepa ra te a sse t he ld in three d i f f e ren t accounts , which may m ake some ofthe repor ting seem duplicative or redundant, which i t is not.(X- l ) - Inhe r i ted in 201 0Note : This r epor t cons i s t s o f th r ee separ a te accoun ts .

Re: Yo u r l e t te r o f J u l y I I , 20 1 1 - Re g a rd i n g m y F i n a n c i a l D i sc l o su re f i l in g fo r 20 1 0( I) Par t VII, page 4, l ine 8 refers to an asset the descr iption of which continues on l ines 9 and I0. Lines 8, 9, and 10 descr ibe one asset. That is what theon l i nes 9 and I0 m ean . On l i ne 10 , yo u wi l l f ind the "X-I" des igna t ion in paren theses s ign i fy ing tha t th i s s ing l e as se t was acqui red in 201 0 by~ v i ainhe r i tance f rom~ deceased mothe r . Thus , i t was exempt f rom pr ior d isc losu re because i t was not prev ious ly~( 2) Par t VII , page 5 , l ine 21 r ef er s to an as se t s imi lar ly acqui r ed dur ing 201 0 and should have been f o l lowed by "( X- l ) " as exem pt f r om p r io r d i sc losur e .Is sue "( 2) " has been co r r ec ted on page 5 , l ine 21 o f th i s Am ended Financ ia l Disc losur e . I hope th i s adequate ly addr esses your concer ns .


12/24

FINANCIAL DISCLOSURE REPORTPage 12 of 12

Name of Person Repor t ingT R O F r , S t e p h e n S .

Date of Report04/26/201 I

IX. CERTIFICATION.! c e r t i fy tha t a l l in fo rma t ion g iven above ( inc lud ing in fo rmat ion per t a in ing to my spou se and m inor o r dependen t ch i ld ren , i f any) i saccura t e , t rue , and com ple t e t o the bes t o f m y knowledge and be l ie f , and tha t any in fo rm at ion no t repo r t ed was wi thheld because i t me t app l i cab le s t a tu to ryp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .! f u 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 id 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 ts 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 ncompl iance with the prov is ions of 5 U.S.C . app. 501 e t . seq. , 5 U.S.C . 7353 , and Judic ia l Confe rence r egu la t ions .

Signature: S [ S t e p h en S . T R O T T

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 G L Y A N D W I L F U L L Y F A L S I F IE S O R F A L 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 IV 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 )

C om mi t t e e on F i na nc i a l D is c l o s u reAdm inis tra t ive Off ice o f the U ni ted S ta tes Cour t sSui te 2-301One Colum bus Ci rc le , N.E .Washing ton , D.C. 20544


13/24

AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government Act o f 1978(5 U.S.C. app. ,~,.$ I01-111)

I . P e r s o n Repo rting (last name, first, middle init ial)TROTT. S t ephen S .

4. Tit le (Art icle I I I judges ind ica te act ive o r sen io r sta tus;magistrate judges indicate full- or part-time)Circuit Judge, Senior Status

7. Chambers or Office A d d r e s sU.S. Courthouse550 W. For t S t ree t , Room 667Boi se , Idaho 83724

2. Court or OrganizationNinth C i r cu i t Cour t o f Appea l s

13. Date of R e p o r t04/26/2011

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e basis o f the in fo rma tinn con ta ined in th is Report and anymodifications pertaining thereto, it i s , i n m y o p i n i o n , i n compliance

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 .

6 . R e p o r t i n g Pe r i o d01/01/2010

to12/31/2010

Reviewing Officer Date

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

I . P O S I T I O N S . rR e ~ , n . g i .a i , ~ a . .l o .l .~ ; s e e r ~ , . 9 - 1 3 of filing instructlonx)[~] NONE (No reportable positions.)

POSITION1 . Boa rd M embe r2. Boa rd M embe r Es the r S implot Per forming Ar t s Cente r3. A dv iso ry C om m ittee M em ber Child rens H om e Soc ie ty o f Id aho4.

5.

NAME OF ORGANIZATION/ENTITYBoise Philharmonic Associat ion & Foundation

1.2010DATE PARTIES AND TERMS

Ves ted in t e rest i n a re t i rement p l an m a inta ined by Los A nge les Cnty , CA. I was em ployed as an a t torney be tween1965/ I 981 . I d r aw a r e t i r emen t income monthly.


14/24


N a m e o f P e r s o n R e p o r t i n gTROTT, Stephen S.

D a t e o f R e p o r t04/26/201 I

I II . N O N - I N V E S T M E N T I N C O M E . tR e p o ,~ .g i.divid.ol o.ds~,o.se; see~,~,.A. Filers Non-Investment Income

~] N O N E ( N o reportable income.)on-investmentDATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

I. 2010 Los Angeles Coun ty Cal i f o rn ia Ret i r emen t $12,000.002. 2010 "Highwaym en" LLC, Record Sales & Per fo rmance Fees $3,780.003.4.

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If you were m arried during an y portlon of the reporting year, comp lete this section.(Dol l ar amount not required except for honoraria . )

~] NONE (No 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 - t ransporta t ion , iodging, food, entertainment.( I n c l u d e s t h o s e t o s p o u s 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 o f f i l in g i n s t r u c t io n s . )

~ (No reportable reimbursements.)O NESO U R C E DA TE S LO CA TIO N PURPOSE ITEMS PAID OR PROVIDED

I. I d a ho S ta t e Ba r C on f e r ence J u l y t5 - 16 , 2 010 Idaho F alls , ID Lecture on Const i tut ionalInterpre ta tion Theory Transportat ion, hotel

2. Ci t i zens Law Academ y Sep t. 8 , 2010 Idaho Fa lls , ID Lec ture on the Cons t i t u t i on Hote l3. Harvard Law Schoo l Oct. 6, 2010 Cambr idge, MA Lec ture on Informant s Transportat ion4.5.


15/24


Name of Person Report ingTRO TT, S tephen S .

V . G I F T S . ( Includes those W spou~e and depe ndent childrcn; see pp . 28-31of f il ing instruction~)NONE (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.

5.

Dale of Report04/26/2011

V A L U E

V I . L I A B I L I T I E S . a nc t ,,d ~ , h o s e o / ~ , o u s e a n d d e ~ , e n d e n t children; see plx 3 2 - 3 3 of filing instractlons.)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.4.

5.

V A L U E C O D E


16/24



D a t e o f R e p o r ~04/26/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o m e , v a l u e , ~ a ~ o a i o ~ ~tnc/udes those of spouse and d e p e n d e n t c h i l d re n ; s e e p p . 3 4 - 6 0 of filing instructions.)NONE (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross va lue a t end Transactions during reporting period(including trust assets) r e p o r t i n g p e r i o d o f r e p o r t i n g p er i o d

(I ) (2 ) (I) (2) O) (2) (3) (4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t i 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 Gain I d e n t i t y o fexempt from prior disclosure ! Code 1 d i v . , r e n t , Code 2 M e t h o d buy, sell, m m/dd /yy Code 2 Code I buye r/se l le r(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e, ( Q - W ) t r a n s a c t i o n )

I. All State Corp. All (X- I)2. Chevron Corp CVX (X-1)3. Ex on M ob i l C o rp X OM (X - I )4. Genera l Elect r ic GE (X- l )5. Rea l ty Income Corp Re i t O (X-1)6. Ver i zo n Co mm. Co m . VZ ( X- l )7. Wiscons in Energy Corp . WE C (X- I)8. San Diego Cnty CA CTF Par tn . Sharp 5 .25%9. - CPN 5% due 8 /15 /28 Cal l 07 /23/10 @I01.001 0 . - Moody A3 - S& PA CUSIP (X- l )1 1 . Amer B a l an c ed Fd I n c . CL C B A LCX ( X- I )1 2 . Black Rock FDS - To ta l Retu rn - BCBCX( X- I )1 3 . Black Rock CA M uni Bond Fund Class IAMDCMX (X-I )1 4 . Calver t FD Income Fd CL C CIFC X (X- I)1 5 . Columb ia FDS SER TRI Income Fd Class CCLOCX (X- I )1 6 . Co lu mb i a Tax - Ex Fd C l a s s A COLTX ( X- I )1 7 . Frank l in CA TX Free Incom e FD Clas s A

F K T F X ( X - 1 )

A Dividend J TD Dividend M T

B Dividend L TA Dividend So ldC Div idend L TA Dividend J TA Dividend So ldA Dividend J T

A Dividend So ldA Div iden d So ldA Dividend So ldA Dividend SoldA Dividend So ld

08/26/I 0 J A

08/26/10 .I A

07 /16 /10 K07 /16 /10 J07 /14/10 K07 /16 /10 J07 /16 /10 J

A

A

A Dividend So ldA Dividend Sold

08/26/10 K07 /16 /10 K

AA

AAA

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 C = $2.501 - $5,000 D =$5,001 - $15,000(See Columns B I and D4) F = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0 G =$ 100.001 - $ 1.000.000 I I 1 = $ 1 ,0 0 0. 00 1 - $ 5 .0 0 0. 0 0 0 1 1 2 = M o re th a n $ 5 .0 0 0. 00 0

2. V alue Codes J = $15.000 or less K =$15.0~1 - $50.000 L =$50,001 - $100.00~ M =$100.001 - $250.000(See Co lumns CI and D3) N ~$250 .0 01 - $5 00 .0 00 O = $5 00 .0 01 - $1 .0 00.0 00 PI =$1.000.001 - $5.000.000 P2 =$5.000.00! - $25,000.000

P3 =$25.000.001 - $50.0~O.000 P4 =More than $50.000.0003. V alue M clhod Codes Q =A ppraisa l R ~ost (Rea l Es t a t e Only) S =A s sessment T =C ~h M a rke t

ISce C olum n C2) U -Book V alu e V -Other W =Es t imated

E =$15.001 - $50.000


17/24


N a m e o f P e r s o n R e p o r t i n gTROTT, Stephen S.

D a t e o f R e p o r t04/26/201 I

N O N E (No reportable income, assets, or transactions.)Descr ipt i on of Asse t s Transact ions dur ing reporting period

( i ncluding t r us t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

Income during Gross va lue a t endr e p o r t i n g p e r i o d of reporting period

(I) (2) (I) (2) (I ) (2) (3) (4) (5 )A m o u n t T y p e ( e . g . , V alue V alue T y p e ( e . g . , D a t e Value Gain I d e n t i t y o fCode I d i v . , t e n { , Code 2 M e t h o d buy, sell, m m /dd /yy Code 2 Code I buye r/se ller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

1 8 .

1 9 .

20 .

21 .

22 .

23 .

24 .

25 .

26 .

27 .

28 .

29 .

30 .

31 .

32 .

33 .

34 .

John Hancock CA TX Fre e In c . FD CL AT A C A X ( X - l) Dividend Sold08/26110 K A

Sold 07/16/10 J Aimco Total Return FD CL C Pvrcx (x-1) A Dividend

P i o n ee r tt i g h Y ie l d FD CL C P YLCX (X - l ) A Dividend Sold 07 /16 /10 J AWells Fargo FDS-TR CA TX Free FD CL C A Dividend Sold 07 /16 /10 K BSCTCXArt io G lobe In t l Fund EQII JETIX D Dividend So ld 05/17 /1 0 J BC a l am o s G r o w t h F u nd C l a s s A C V G R X D Div idend Sold 05/17/10 J BDodge Cox In t l S tk Fd DODFX D Divid end JDodge Cox In t l S tk Fd DODFX D Dividend J

G o l d m a n S a ch s TR S q u ar e M o n e y M K T F D A Div idend JF S M X X ( X )G r o w t h F u n d o f A m e r i c a C l a s s F G F A F X D Dividend J

T

T

T

Sold 11/30/10(part)Bu y 12/20/10

J

J

A

Growth Fund of Am er i ca C las s F GFA FX D Dividend JJanus Ins t Overs eas FD JIGFX (X) A Dividend J

T

T

Sold 1 1 / 3 0 / 1 0 J(part)Bu y 05/17/10, J

Janus Adv Mid Cap Va lue CI I JMVAX A Dividend JLeg g M aso n Va l u e T r u s t TR ln e N AV A DividendLMNV XMutua l Se r i e s FD Inc Discovery Fd CL A D DividendTEDIXMutua l Se r FD Inc G loba l Dis Fd CL Z A DividendMDISX (X)P i m c o C o m m o d i ty - Real Return Slratigic A DividendFund - PCRIX

J

J

TSold

T Bu y

T Sold(parl)

05/17 /1005/1711005/20/10

JJ

J

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 C =$2,501 - $5,000(See Columns B I and D4) F =$50,0OI - $100,000 G =$100,001 - $1,000,000 Ill =$1,000,001 - $5.000.000

2. Value Codes J = $15.000 or less K =$15.001 - $50.000 L = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 O O(See Colum~ CI and D3) N = $250 ,0 01 - $5 00 .0 00 O = $5 00 .00 1 - $1,0 00.0 00 PI =$1.000.001 - $5.000.000

P3 =$25.000.0OI - $50.000,000 P 4 = M o r e t h a n $ 5 0 . 1 ; O O . 0 0 03 . Value Method Codes Q =Appraisal R =Cost {Real Estate Only) S =Ass,cssmcn!ISce Co lumn C2) U -B~ok Va lu e V O l h e r W =Es t imated

D =$5.001 - $15,000ll2 =More Ihan $5.000.000M =$100.001 - $250.000P2 =$5.000,001 - $25.000.000T =Cash Markc l

E =$15,001 - $50.000


18/24



Date of Report04/26/2011

V I I . IN 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; seepI~ 34-60 of f i l ing instructions .)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income du ring G ross value at end Transactions during reporting period

(including trust assets) r e p o r t i n g p e r i o d of reporting period[ (I) (2) (I) (2) (I) (2) (3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t 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 Gain I d e n t i t y o fexempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 Method buy , sell, m m/dd/yy Code 2 Code I buye r/se l le r(A-H) o r i n t . ) ( J - P ) Code 3 redemplion) ( J - P ) (A-H) ( i f p r i v a t e( Q -W ) t r a n s a c t i o n )

35 . Pimco Comm odi ty - Real Retu rn St r a t ig ic A Dividend J T Sold 11/30/10 J AFund - PCRIX (part)36 . PIMCO Fun ds Pac Int Total Return PYIRX A Dividend J T37 . PIMCO Fund s Pac Int Total Return PTTRX A Dividend J T Bu y 04/15/10 J38 . PIMCO Fu nds Pac Int Total Return PIqRX A Div idend J T Sold 05/17 /10 J A(part)39 . PIMCO Fund s Pac In t Tota l Re turn PTrRX A Dividend J T Sold 12/15/10 J A(part)40 . TC W FDS l n c To t a l Bond Fund TG L M X A Div idend So ld 04/05 /1 0 J A41 . Vanguard Index Trus t 500 Por t fo l io Inv Fd D DividendVFINX42 . Van g u a r d I n d ex T r Sma l l Cap STK A DividendPor tfo l io Inv NA ESX43 . Vanguard Bon d Index FD Shor t Term A Div idendV BIS X (X )44 . Van g u a r d F i x ed I n co me Sec . FD Sho r t A Div idendV FS TX (X )45 . Vanguard Mid Cap Index Fd CL I V1MSX D Dividend

JJJJJ

T

TTTT

Bu y 04/15/10 JBu y 04/15/10 " J

46 . Van g u a r d B o n d I n dex VB M FX D Dividend J47 . Van g u a r d B o n d I n dex VB M FX A Div idend J Bu y 04115110 J48 . Vanguard To ta l In s t STK Index Fund A DividendV G TS X (X )49 . Vanguard To ta l In s t STK Index Fund A DividendV G TS X50 . Van g u a r d B o n d I n dex VB M FX A Dividend5 1 . V a n g u ar d B o n d I n d e x V B M F X A Dividend

J

JJJ

T Bu y 05/17 /10T Bu y 05/17 /10T So ld 05/17 /10

(part)T Sold 12/15/10(part)

JJJ

JB

B

1. Income Gain Codes: A :$1 ,000 or less B -$1,001 - $2.50~ C =$2,501 - $5,000(See Columns B I and D4) F =$50,001 - $ 100.000 G =$100,001 - $1.000.000 I I I =$ 1,000,l~) I - $5,000.000

2. Value Codes J =$15.000 or less K = $15.~31 - $50.00~ L =$50.001 - $100.000(See Columns CI and D3} N =$250,001 - $500,000 O =$500.001 - $1,000.00~ PI =$1,000.001 -

P3 =$25,0~0.0~1 - $50.00~.0~0 P4 =More than $50,000.0903. V alue ~tclhod Codes Q =A ppraisa l R =Cost IRcal Estate Only) S =Asscssnumt

(See C olum n C2) U -B ook V a lu e V =O~her W =E stim ated

D =$5,001 - $15.000112 =Morc than $5.000,000M =$10~.0OI - $250.000P2 =$5.000,001 - $25.000.000T =Cash Marke~

E =$15 , 001 - $50 , 00~


19/24


N a m e o f P e r s o n R e p o r t in gTR O TT, S t e phe n S .

D a t e o f R e p o r t04/26/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e , v a t ,, , t ro , ~ , ~ i o ~ a n t i ,d e s t h o s e o / s p o u s e ~ n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 of f i l ing instructions.)N O N E (No reportable income, bssets, or transactions.)

D e s c r i p t i o n o f A s s e t s Transactions during ~orting period( i n c l u d i n g t r u s t a s s e t s )Place "(X)" after each asset

exempt from prior disclosure

I n c o m e d u r i n g G ro s s v a l u e at e n dr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (I ) (2) (3) (4) (5 )A m o un t T y p e ( e. g . , Value Value T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o fC o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l , m m / d d ~ ry C od e 2 C o d e 1 b u y e r / s e l l e r( A - H ) or int) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A -H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

52 . Artio Int l Equity Fund II JETIX53 .54 . Calamos Inv TR New Grow th FD CL

CGRIX55 . Calamos Inv TR New Grow th FD CLCGRIX56 . C as h & M oney M a rk e t - Eve rg r e e n US G ov tPortfolio57 . Dodge Cox In t l STK Fund DODFX58 . Dodge Cox ln t l STK Fund DODFX59 . Dodge Cox In t l STK Fund DODFX60 . Goldman Sachs TR FINL Square MoneyMK T F SMXX61 . Goldman Sachs TR FINL Square MoneyMKT FSMXX62 . Growth Fund A mer ican Fund - Class FGF A F E63 . Growth Fund A mer ican Fund - Class FG FAFE64 . Janus Advi s e rs Ser Adv M id Cap CI 1J MV A X65 . Janus Advi s e rs Ser Adv M id Cap CI 1J MV A X66 . Janus Advi s e rs Ser Adv M id Cap CI 1J MV A X67 . Janus Inv t FD Over seas - FD CL 1 J IGF X

(x )68 . Janus Inv t FD Overseas - FD CL 1 J IGF X(x )

A Dividend So ld 05/18/10 J BC a la mos G r ow th Fund C la s s A C VG R X A Dividend Sold 05/18/10 J A

A Dividend JA Dividend JA Interest KA Dividend J

T Bu yT Bu yTT

05/18/1007 /16 /10

JJ

A Dividend J Bu y 07/16/10 KA Dividend J Bu y 08/26/10 JA DividendA DividendA DividendA DividendA DividendA DividendA DividendA Div idendA Dividend

JJJJJ

J

JJJ

T Bu y 11/23/10T Buy 12/20 /10TT Bu y 08/26/101TT Bu y 07 /16 /10T Bu y 08/26/10T Bu y 05/18/10T Bu y 07 /16 /10

KJ

JJJ

J

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2.500 C = $2,501 - $5,000 D =$5.0~1 - $15.000(See Co lumns B I and IM) F = $50,001 - $100,009 G =$100.001 - $1.000.000 It I =$ 1,000,001 - $5.000.000 1 1 2 = M o r e t h a n $ 5 . 0 0 0 . 0 0 0

2. Value Coda J :$15.000 or le~s K :$13.13OI - $50.0~3 L =$50.0~1 - $100.000 M =$10 0.(X )I - $250 .0 00(See Colurar~ CI and D3) N =$250.001 - $500.000 O = $ 5 0 0 , 0 0 1 - $ 1 . 0 0 0 . 1 3 0 0 P I = $1 ,0 0 0. 00 1 - $5 .0 0 0. 00 0 P2 =$5 .0 0 0. 00 1 - $2 5. 00 0 .0 0 0

P 3 = $ 2 5 . 0 0 0 . 0 0 1 - $ 5 0 . 0 0 0 . 0 4 3 0 P4 ~ More Ihan $50.000.0003 . Value Method Codes Q =Appraisal R :=Cost (Real Estate Only) S =Assc s smem T -Cash Marke t(See Co lumn C2) O =Book Va lu e V =Othe r W =Es t imated


20/24


N a m e o f P e r s o n R e p o r t i n gTRO TF , S tephen S .

D a t e o f R e p o r t04/26/201 I

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 r ~ e , v a l u e , ,, a , ~ o c t l o ~ a n e l u d , ~ t h o s e o l s p o u s , a n d dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)NONE (No repor tab le incom e, as se ts , or transa c t ions . )

A. B. C. D.Description of Assets Income during Gross va lue a t end Transactions during reporting period

(including trust assets) reporting period of reporting period(I) (2) (|) (2) (I ) (2) (3) (4) (5 )

Place "00" after each asset 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 Gain I d e n t i t y o fexempt from prior disclosure Code I d i v . , r e n t , Code 2 M e t h o d buy, sell, m m ! d d ~ , y Code 2 Code I buye r/se ller(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

( Q - W ) t r a n s a c t i o n )

69 .

70 .

71 .

72 .

73 .

74 .

75 .

76 .

77 .

Leg g M aso n Va l u e T r u s t TR In c N AV D Dividend J TLMNV XLegg Mason Value Trus t TRInc NAV A Dividend J T Bu y 07/I 6/10 KLMNV XLeg g M aso n Va l u e T r u s t TR In c N AV A Dividend J T Bu y 08/26/10 JLMNV XMutua l Se r i e s FD Inc Discovery Fd CL A A Dividend So ld 05/I 8/10 J BTEDIXMutual Set FD Inc GLBL Discovery Fd CL A Dividend J T Bu y 05/18/10 J2 MDISX (X)Mutua l Se r FD Inc GLBL Discovery Fd CL A Dividend J T Bu y 07/I 6/10 J2 MDISX (X)Mutua l Se t FD Inc GLBL Discovery Fd CL A Dividend J T Bu y 08/26/10 J2 MDISX (X)PIMCO Comm odi ty Rea l Re turn PCRIX A Div idend J T " So ld 05/20/10 J A(part)PIMCO Com modi ty Rea l Re turn PCRIX A Dividend J T Bu y 08/26/10 J

78 .79 .80 .81 .

PIMCO FDS Pac Invt Mgt Ser Total ReturnPVIRX (X )PIMCO FDS Pac Invt Mgt Ser Total ReturnP ~R X ( X )PIMCO FDS Pac Invt Mgt Ser Total ReturnPTTRX (X)TCW Fund s Inc Total Re turn TGMLX

A Dividend J T Bu y 04/15/10A Dividend J T Bu y 07 /16 /10A Dividend J T Bu y 08/26/10A Dividend Sold 04/15/10

JJJJ B

82 .83 .84 .85 .

Vanguard Index Trus t 500 Por t fo l io InvFund VFINXVanguard Index Trus t 500 Por t fo l io lnvFund VFINXVan g u a r d I n d ex TR Sm a l l Cap S t ockPor tfo l io NAE SXVanguard Index TR Smal l Cap StockPortfolio NAE SX

A Dividend J TA Dividend J T Bu y 07 /16 /10A Dividend J TA Div idend J T Bu y 07 /16 /10

1. Incom e G ain Codes: A =$1,000 or less B =$1,001 - $2.500 C = $ 2 , 5 0 1 - $ 5 . 1 2 0 0 D =$5.001 - $15.000( Se e C olu mn s B I a nd D4 ) f =$5 0,0 01 - $1 00 .0 00 G =$100.001 - $1.000,000 HI =$1,000.001 - $5,000.000 112 =More than $5.000,000

2. Value Codes J =$15,000 o l e s s K =$15.001 - $50,000 L =$50.001 - $100,000 M =$100.001 - $250.000(S~Columns CI and D3) N = $250 ,0 01 - $50 0,0 00 O = $5 00 .0 01 - $1 .0 00.0 00 P I = $1 .0 0 0. 00 1 - $ 5. 00 0 .0 0 0 P2 = $5 .0 0 0. 00 1 - $2 5, 00 0 .0 0 0P3 =$25,000.001 - $50.0~0.000 P4 =More than $50.000.000

3 . Value Method Codes Q =Appraisal R =C ost (R ea l E sta te O nly ) S = Assc ssn gm T = ~h M a rke t(S~c Colum n C2) U = Book Value V =O~her W =E s t imated

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


21/24


N a m e o f P e r s o n R e p o r t i n gT R O T F , S t e p h e n S .

D a t e o f R e p o r t04/26/201 I

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 , v a t u , . ,r u , ~ a c , io ~ a n c t u d ~ , h o s e o / s p o u s e a n d a e p e n d c n t c h i ld r e n ; s e e p p . 3 4 - 6 0 of filing instruction~)N O N E (No reportable income, assets, or transactions.)

Descr ipt i on of Asse t s I ncome du r i ng( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

I ( 2 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,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 I Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t . i n g p e r i o d0) (2)V a l u e ValueC o d e 2 M e t h o d

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

T y p e ( e . g .,buy, sell,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g ~ - p o r t in g p e r i o d(2) (3) (4) ( . 5 )

D a t e Value Gain I d e n t i t y o fm m/ dd iy y C od e 2 Code I buye r/se l le r

( J - P ) (A-H) ( i f p r i v a t eW a n s a c t i o n )

86 . Vanguard IndexTR Sm al l Cap S tock A Dividend JPor tfo l io NAE SX87 . Van g u a r d M id Cap I n d ex Fd CL I V IM SX A Dividend J

TT

Bu y 08/26/10 J

88 . V a n g u a r d T o t al S t k I n d ex F u n d V G T S X ( X ) A Dividend J B uy 05/18/10 J89 . V a n g u a r d T o t al S t k I n d ex F u n d V G T S X ( X ) A Dividend J Bu y 05/19/10 J90 . V a n g u a r d T o t al S t k I n d ex F u n d V G T S X ( X ) A Dividend J Bu y 07/16/10 J91 . V a n g u a r d T o t al S t k I n d ex F u n d V G T S X ( X ) A Dividend J Bu y 08/26/10 J92 . Vanguard Munic ipa l Bond Fund VMLTX A Dividend J93 . Vanguard Munic ipa l Bond Fund Lmtd Term A DividendTax Ex emp t V M L TX94 . Vanguard Munic ipa l Bond Fund Lmtd Term A DividendTax Ex emp t V M L TX95 . Vanguard Munic ipa l Bond Fund Lmtd Term A DividendTax Ex emp t V M L TX96 . Vanguard Munic ipa l Bond Fund Lmtd Term A DividendTax Ex emp t V M L TX97 . Vanguard Munic ipa l Bond Fund Lmtd Term A DividendTax Ex emp t V M L TX98 . Vanguard Munic ipa l Bond Fund Lmtd Term A DividendTax Ex emp t V M L TX99 . Vanguard M unic ipa lBond Fund Shor t Term D DividendV W S T X1 0 0 . Vanguard Mu nic ipa l Bond Fund Shor t Term B DividendV W S T XI 0 1 . Van g u a r d M u n ic i p al B o n d Fu n d Sho r t T er m A Dividend

V W S T X1 0 2 . Vanguard Mu nic ipa l Bond Fund Shor t Term A DividendV W S T X

J

J

J

JJ

JJJJJ

T Bu y 01/19/10T Bu y 05/18/10T Bu y 07 /16 /10T Bu y 08/26/10T Sold I I/09/I 0(part)T Sold 12/15/10(part)T

T Bu y 01/19 /10T Bu y 06/17 /10T Bu y 08/26/10

J

JJ

JJJ

J

J

J

B

B

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2,500 C = $2.501 - $5.000 D =$5,001 - $i 5 ,000(See Column s B I and I)4 ) F =$50.001 - $ 100,000 G = $ 1 0 0 . 0 0 1 - $ 1 . 0 O 0 , 0 0 0 I I I =$ 1.000,0~ I - $5.0~).000 1 1 2 = M o r e t h a n $ 5 . 0 0 0 . 0 0 0

2. V alue Codes J = $15.000 or less K =$15.001 - $50.000 L :$50.001 - $100.0OO M ~$10~.001 - $250.0(~(See Co lumr~ CI and D3) N =$250.001 -

P 3 = $ 2 5 . 0 O O . 0 O I - $ 5 0 , 0 0 0 . 0 0 0 P4 =More than $50.000.0003 . Value Method Codes Q =Appraisal R =cost (Real Estate Only) S -Asscssmcm T =Cash Markc~

(See Co lumn C2) U =Boak Va lu e V =(hher W =Es t imated

E =$15.001 - 550.0~0


22/24

FINANCIAL DISCLOSURE REPORTPage 1 0 o f 1 2


D a t e o f R e p o r t04/26/201 I

VII. INVESTM ENTS and TRU STS - inco ... . .u e , t r a n s a c t i o n s ( I n c lu d e s t h o s e o f s p o u s e a n d d e p e n d e n t children; seeplx 3 4 - 6 0 of filing instruction~)NONE (No reportable income, assets, or transactions.)

A. B. C. D.Descr ipt i on of Asse t s I n c o m e d u r i n g Gr os s v a l u e a t e nd Tr a ns a c t ion s d u r i ng r e po r t i ng pe r i od( including t r us t a s s e t s ) r epor t i ng pe r iod of repor t ing pe r iod

i (I) (2) (I) (2) (I) (2) (3) (4) (5)Place "(X)" after each asset l A m o u n t Typ e ( e . g ., V a lu e V a lu e Ty pe ( e .g . , Date V a l u e G a i n Iden t i ty o fe x e m p t f r o m p r io r di s c losure [ Code 1 d i v . , r e n t , C o d e 2 M e t hod b u y , s e l l, m m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e ri ( 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 ) ( i f p r i v a t e[ ( Q - W ) L,ansaction)

103 . Bonds - Bo i s e I d a ho W a s t e Wa t e r A M BA C A Interest Sold 07/15/10 J A1 04 . J a n u s F u n d JA N S X B Div idend S o l d 07/16/10 K A

1 05 . Jan u s G r o w th & In co me J AGIX B Div idend So ld 07/16/10 K C106. IRA - US Bank Ca sh Equ ivalent C I n t e r e s t K T

I. In com e G ain Codes: A -$1 .000 or less B =$1,001 - $2.500 C =$2,501 - $5,000 D = $ 5 . 0 O I - $ 1 5 , 0 ~ X )(See Columns B I and D4) F =$50.001 - $100.000 G =$100.001 - $1.000.000 III =$1,000.001 - $5.000.000 1 1 2 = M o r e t h a n $ 5 . 0 0 0 . 1 3 0 0

2. Value Codes J =$15.030 or I~s K =$15,001 - $50.000 L =$50.001 - $100.000 M =$10~.001 - $250.000( Se e C olu mn s C I a nd D3 ) N -$2 50 .0 01 - $5 00 .0 00 O =$500.001 - $1.000.000 PI =$1.0~0.001 - $5.000.000 P2 =$5.000.0OI - $25.0~O.000

P3 =$25.000.001 - $50.000.000 P4 =More than $50,000.0903. Value Method Codes Q =Appraisal R =Cost IR eal E state O rdy ) S =A ssessm ent T =Cash Markc~(See Co lumn C2) U Bo o k Va l u e V =Other W =Estimated

E =$15.001 - $50,000


23/24


N a m e of Person Repor t ingT R O T T , S t e p h e n S .

Date of Re po r t04/26/2011

VIII. ADDITIONAL INFORMA TION OR EXPLANATIONS. (Indlcate part of report)Sect ion VII : Th is , excep t f o r l ine #106 ( IRA U .S. Bank) , be longs to ~=. ._~ and ~.~__.~ separ a te as se t he ld in th r ee d i f fer en t accoun ts , which may mak e some o fthe repor t ing s eem d upl i ca t ive or redundant , which i t i s not .(X- I ) - Inher i t ed in 2010Note: This repor t consists of three separate accounts.


24/24

FINANCIAL DISCLOSURE REPORTP a g e 1 2 o f 1 2

Name of Person R epor t ingT R O V I , S te p h e n S .

Date of Report04/26/201 I

IX. CERTIFICATION.I c e r t if y t h a t a l l in f o rma t i on g i v e n a bov e ( i n c l ud ing i n f o rma t i on p e r t a in i ng t o m y spou se a nd m ino r o r d e pe nde n t ch i l d r e n , if a ny ) i s

a ccu r a t e , t r u e , a nd com p le t e t o t h e b e s t o f my k now le dge a n d b e l i e f , a nd t h a t a ny i n f o rma t i on no t r e po r t e d wa s w i thhe ld b e ca u s e i t me t a pp l i c a b l e s t a t u to r yp r ov i s ion s p e rmi t t ing non - d i s c l o su r e.! f u r t h e r c e r ti f y t h a t e a rn e d i n c o m e f r o m o u t s i d e e mp l o yme 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 an 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 i ncom pl iance w i th the p ro v i s ions o f 5 U .S .C . app . 501 e t . s eq ., 5 U .S .C . 7353 , and Jud ic i a l Co nfe rence reg u la t ions .

Signatur e: S/Step hen S. TROTT

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 G L Y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L 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 LAN D CR IM IN AL SAN CTION S ( 5 U .S .C . ap p . 1 04 )

Committee on Financial DisclosureA d m in i s tr a t i v e O f f i c e o f th e Un i t e d S t a te s Co u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.W ash in g t o n , D . C . 2054 4

Stephen S Trott Financial Disclosure Report for 2010

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