D NONE (No reportable positions.)

Transcription

1 AO JO Rev FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2011 Repor/ Required by 1he /hies in Governmenl Act of 1978 (5 u.sc. upp. H I) I. Person Reporting (last name first, middle initial) Court or Organization Date or Report Moore, Karen N. U.S. Court of Appeals-6th Cir. 05/10/ Title (Article Ill judges indicate active or senior status; magistrnte judges indicate foll- or part-time) U.S. Circuit Judge - Active 7. Chambers or Orlice Address Sa. Report Type (check appropriate!jpe) 6. Reporting Period Nomination Date 01/01/2011 D to Initial Annual Final D [{ D 12/31/2011 Sb. D Amended Report Carl B. Stokes U.S. Courthouse 801 W. Superior Ave., Ste 2 IA Cleveland, Ohio IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Insert signature on last page. I. POSIT! ONS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Member, Board of Overseers Harvard University II. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS I.

2 Page 2of10 J\oore, Karrn N. 05/10/2012 HJ. NON-INVESTMENT IN CO ME. (Reporting indfridual and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income [{ NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I. 4. B. Spouse's Non-Investment Income - If you were married during any portion of tlie reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I Squire Sanders & Dempsey 4. IV. REIMBURSEMENTS -transportation, lodging,food, entertainment. (Includes those to spouse and dependent children; see pp of.filing insrructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. University of Penn. School of 1/27/11-1/28/11 Philadelphia, PA Moot Court Transportation, food, lodging Law University of Iowa Law 3/4/11-3/6/11 Iowa City, IA Moot Court Transportation, food, lodging School University of Illinois School 4/1311 I - 4/14/I I Champaign, IL Moot Court Transportation, food, lodging of Law 4. Mercer University School of 5/13/I I /11 Macon, GA Commencement Speech Transportation, food, lodging Law 5. Harvard University 2/5111-2/6111 Cambridge, MA Board Meeting Transportation, food, lodging

3 Page 3of10 l\oore, Karen N. 05/10/ Harvard University Cambridge, MA Board Meeting Transportation, food, lodging 7. Harvard University 5/24/11-5/26/11 Cambridge, MA Board Meeting Food, lodging 8. Harvard University 10/1/ Cambridge, MA Board Meeting Transportation, food, lodging 9. Harvard University /5111 Cambridge, MA Board Meeting Transportation, food, lodging

4 Page 4 of IO l\oore, Karen N V. GIFTS. (lnc/11des those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRlPTION VALUE I VI. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I

5 Date or Report Page 5of10 l\oore, Karen N. 05/10/2012 VI I. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions r1nc111des those of spouse and dependent children; see PP of fl line instructions.j A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (I) (2) (1) (2) (3) (4) (5) (2) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Dale Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) I. Huntington Bank Account A Interest K T Key Bank Account A Interest L T DWS Cash Investment Trust A Dividend J T 4. DWS Managed Municipal Bonds D Distribution M T 5. Dreyfus Municipal Money Market Fund A Dividend K T 6. IRA T. Rowe Price New Horizons Fund E Distribution M T 7. TIAA (Pension Fund) E Interest 0 T 8. CREF (Pension Fund) None 0 T 9. Vanguard Wellesley Income Fund c Dividend L T (Retirement Fund) IO. Vanguard Windsor Fund (Retirement Fund) B Dividend L T 11. Vanguard Wellington Fund (Retirement B Dividend L T Fund) 1 Pension Plan---Dodge & Cox Stock Fund D Int./Div. N T Buy K [See Pt VII!] 1 Pension Plan--Baron Asset Inst [See Pt Vlll] G Int./Div. Buy K 14. Sold 12/29/ Squire Sanders & Dempsey Capital None M u Contribution Account 16. Pension Plan--Fit!elity Capital Appreciation B lnt./div. N T K 17. Pension Plan--Fidelity Diversified Int'! K D lnt./div. N T Buy K [See Pt VIII] I. lncoml! Gain Codes: A =$1.000 or less ll =$1,001. $500 c =$501. $5.000 D=$5.00I $ E =$ $ (Sec Columns 1:1 and 04) F =$50.00 I $I 00,000 G =$100.00t. $ =$ I - $ =More than $5, Value Codes J =$ or less K $ I - $ L =$ $ M =$JOO.Oi I $ (Sec Columns Cl and 03) N =$ $ =$500,00 I - $ Pl =$ $ P2 =$ t $ P3 =$ $ P4 =More than $ Valu\: Method Cod..s Q=Appraisril R =Cost (Real Estate Only) S =Assessmen t T =Cash Market (Sec Column C2) U =Hook Value V=Othcr W =Estimated

6 Page 6of10 J\oore, Karen N. 05/10/2012 VII. INVESTMENTS and TRUSTS - income, 1 a/11e, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (2) (I) (I) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) (2) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private (Q-W) (2) (3) transaction) 18. Huntington Bank Account A Interest L T 19. Victory Tax-Free Money Market--Key Bank A Dividend L T 20. PNC Bank Account A Interest L T 21. T. Rowe Price Growth Stock A Dividend K T 2 IRA American Funds--Capital World A Dividend K T Buy 03/25/11 J Growth & Income CL A 2 IRA American Funds--Growth Fund of Am A Dividend J T Buy 03/25/11 J 24. IRA American Funds--lnvestment Co of Am A Dividend J T 25. IRA American Funds--Capital World B Dividend L T Growth & Income CL A 26. IRA American Funds--Growth Fund of Am A Dividend L T 27. IRA American Funds--Investment Co. of None Sold 01/25/11 J Am CL A 28. Sold 01/27/11 L 29. Pension Plan--WFA Small Cap Val Inst [See c Int./Div. N T Buy J Pt VIII] 30. American Funds--Capital Income Builder D Dividend M T Fund CL A 31. Hartford Capital Appreciation Fund CL A c Dividend M T 3 American Funds--lnvestment Co. of Am. CL None Sold 01/25/11 J A 3 Sold 01/27/11 K 34. American Funds--Fundamental Investors FD A Dividend K T I. Income Gain Codes: A =$1.000 or less B =$ $2500 c =$501 -$5.000 D =$5,001 -$15,000 E =$15,001 -$ (See Columns Bl and D4) F =$ $100,000 G =$I I -$ =$ $ I t2 =More than $ Yalu.. Codes J =$ or kss K =$15.00 I - $ L =$ $ M =$! $ (Sec Columns CI and D3) N =$ $ =$ I $ l'i =$ $5, P2 =$ I -$ PJ =$ $ P4 =More than $ varuc Method Codes Q =Appraisal R =Cost (Real bf..tc Only) S ==Assessment T =Ca.h Market (Sec Column C2) U!look Value V ::01hcr W =Estim<itcd

7 Name or Person Reporting Page 7of10 J\loore, Karen N. 05/10/2012 VII. INVESTMENTS and TRUSTS - income,.. a111e, transactions r1nc111des ttwse of spouse and dependent c11i/dren; see PP offitinr; instructinns.j D NONE (No reportable income, assets, or transactions.) A. B. C. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period Place "(X)" atler each asset exempt from prior disclosure (I) Amount Code I (A-H) (2) (I) (2) (I) (2) (3) (5) Type (e.g., div., rent, or int) Value Code 2 (J-P) Value Method Code 3 (Q-W) Type (e.g., buy, sell, redemption) Dale mm/dd/yy Value Code 2 (J-P) (4) Gain Code I (A-H) Identity of buyer/seller (if private transaction) 35. American Funds--Europacific Growth Fund A Dividend K T 36. Hartford Capital Appreciation Fund CL A B D ividend L T 37. Federated Ohio Muni Income Fund CL A A Dividend K T 38. Growth Fund of Am CL A A Dividend J T 39. Growth Fund of Am CL A A Dividend K T 40. New Perspective Fund CL A A Distribution K T 41. American Funds--Fundamenta! Investors FD A Dividend K T 4 Pension Plan--MSIF Mid Cap Grth I [See Pt B lnt./div. 0 T Buy VIII] 4 Pension Plan--PIM Total R t Inst D lnt./div. N T 44. Pension Plan--GS Mid Cap Value Inst [See A Int./Div. K T Buy J Pt VIII] 45. Cash value gp Life ins.,pacific Life Ins Co. None N T Buy J [See Pt VIII] 46. Bank of America Account (X) A Interest J T 47. New World Fund CL A (X) A Dividend J T Buy 01/2511I J 48. Buy 01/27/11 K 49. Small Cap World Fund CL A (X) A Dividend J T Buy 01/25/11 J 50. Buy 01/27/11 K 51. IRA New World Fund CL A (X) A Dividend K T Buy 01/25/11 J I. Income Gain Codes: A=$1.000orlm ll =$1,001 -$500 c =$501 -$5,000 IJ45.00I $ E =$15,001 $ (Sec Columns BI and 04) F=$50.00l $100,000 G =$ $ =$ $ =More than $ Val uc Codes J =$ or less K =$ $ L =$50.00 I - $I M =$!00.00I-$ (Sec Columns CI and IJJ) N =$ I - $ =$ I $ I r1 =SI S5.ooo.ooo r2 =$ $25,ooo.ooo ri =$ $ r4 =More than $ Value Method Codes Q =Appraisal R =Cost (Ren I Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Hook Value V =01hcr W =Estimated

8 Page 8of10 l\oore, Karen N. 05/I VII. INVESTMENTS and TRUSTS - D NONE (No reportable_ income, assets, or transactions.) income, value, transactions (Includes tho.<e of spouse and dependent c/1ildren; see PP /-60 of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (I) (2) (I) (4) (5) (2) (Q-W) (2) (3) Place "(X)" a Iler each asset Amount Type (e.g., Va Ille Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private transaction) 5 Buy 01/27/11 K 5 IRA Small Cap World Fund CL A (X) A Dividend K T Buy 01/25111 J 54. Buy 01/27111 K 55. I. Income Gain COOcs: A =$1.000 or less ll =$t.oot - $500 c =$50t - $5.000 D =$5.001 $ t c =$t5.00t - $ (Sec Columns Bl and 04) F =$ $100,000 G =$I I $ Il l =$ $ =More than $ Value Codes J =$ or less K =$ $ L =$ $ M =$ $ (Sec Columns C 1 and 03) N =$ $ = $ $ Pl =$ $5.000,000 1'2 =$ $ P3 =$ $ P4 =More than $ Vafuc Mcchod Codes Q -==Apprafsaf K =Cost (Real tsracc Only} S =Assessment T =Cash Marl.cl (Sec Column C2) U =Uook Value V =Other W =Estimated

9 Dare of Report Page 9of10 J\loorr, Karrn N. 05/I 0/2012 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreport.) PART VII, Record 12, Column 0(2): Regular purchases made; total for year listed in Column 0(3) PART VII, Record 13, Column 0(2): Regular purchases made; total for year listed in Column 0(3) PART VII, Record 17, Column 0(2): Regular purchases made; total for year listed in Column 0(3) PART VII, Record 29, Column 0(2): Regular purchases made; total for year listed in Column 0(3) PART VII, Record 42, Column 0(2): Regular purchases made; total for year listed in Column 0(3) PART VII, Record 44, Column 0(2): Regular purchases made; Iota! for year listed in Column D(J) PART VII, Record 45, Column 0(2): Regular purchases made; total for year listed in Column 0(3)

10 Date or Report Page IO of IO J\loore, Karen N. 05/10/2012 IX. CERTIFICATION. I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C , and Judicial Conference regulations. Signature: s/ Karen N. Moore NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) Committee on Financial Disclosure Administrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C