FINANCIAL DISCLOSURE REPORT in Government Act of 1978 Rev FOR CALENDAR YEAR 2007 (5 US.Copp ) 2. Court or Organization

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1 AO JO FINANCIAL DISCLOSURE REPOR in Government Act of 1978 Rev FOR CALENDAR YEAR 2007 (5 US.Copp ) Report Required by the Ethics I. Person Reporting (last name, first, middle initial) Court or Organization Hartz, Harris L enth Circuit Court of Appeals 04/26/2008 itle (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) Circuit Judge Active 7. Chambers or Office Address 201 hird St. NW, #1870 Albuquerque, NM 87 l 02 Sa. Report ype (check appropriate type) 6. Reporting Period D Nomination, D Initial [Z Annual D Final Sb. D Amended Report Date 01/01/ On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. to 12/31/2007 Reviewing Officer Date IMPORAN NOES: he instructions accompanying this for st be followed. Complete al/parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I. POSIIONS. (Reporting individual 011/y; see pp offlling instructions.) D NONE (No reportable positions.) POSIION NAME OF ORGANIZAION/ENIY 1. rustee rust No. I 5. II. AGREEMENS. (Reporting individual only; see pp offling ins/ructions.) D NONE (No reportable agreements.) (? -Q en C:.:::: 4 ir.j PARIES AND ERMS 1. My judicial pension from the State of New Mexico has vested and will be di stributed when I am age-eligible

2 Page 2of10 Hartz, Harris L 04/26/2008 III. N 0 N-INVESMEN IN CO ME. (Reporting individ11al and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income [Z NONE (No reportable non-investment income.) SOURCE AND YPE INCOME (yours, not spouse's) I. B. Spouse's Non-Investment Income - If you were married during any portion of t he reporting year, complete this section. (Dollar amount not required except for honoraria.) [Z NONE (No reportable non-investment income.) SOURCE AND YPE I. IV. REIMBURSEMENS - transportation, lodging.food, e11tertai11111ent. (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE LOCAION PURPOSE IEMS PAID OR PROVIDED I. University of Cincinnati 4/13-15 Cincinatti, OH Moot Court transportation, lodging, food College of Law he Aspen Institute 11/8-11 Wye Woods, MD Educational Seminar transportation, lodging, food 5.

3 Page 3of10 Hartz, Harris L 04/26/2008 V, GIFS. (Includes those to spouse and dependent children; see pp of filing i11str11ctio11s.) [2 NONE (No reportable gifts.) SOURCE DESCRIPION VALUE VI. LIABILIIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [2 NONE (No reportable liabilities.) CREDIOR DESCRIPION VALUE CODE I. 5.

4 FINANCIAL DISCLOSURE REPOR Page 4of10 Hartz, Harris L 04/26/2008 VII. INVESMENS and RUSS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (1nc111des those of spouse and dependent cliildren; see PP offilinc instructions.) A. B. C. D. Description of Assets Income during Gross value at end of ransactions during reporting period (including trust assets) Place 11(Xt after each asset exempt from prior disclosure reporting period reporting period (1) (2) (I) (2) (1) (2) (4) (5) Amount Code 1 (A-H) ype (e.g., div., rent, or int.) Value Code 2 (J-P) Value Method Code 3 (Q-W) ype (e.g., buy, sell, redemption) Date Month- Day Value Code2 (J.P) Gain Code 1 (A-H) Identity of buyer/seller (if private transaction) (3) 1. rust 1 G Div. And int Pl --BR. --OIB --NUV 5. --PNW 6. --SPI sold 3/13 J c 7. --SO 8. --COP 9. --AF WCUX LCEIX 1 --JANSX NGUAX 1 --NPRX AMOAX GLBAX GRAX 1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 c =$2,50t. $5,000 D =$5,00 I - $15,000 E =$ t 5,00 I - $50,000 (Sec Columns BI and D4) F =$50,00 I - $I 00,000 G =$100,001 - $1,000,000 HI =$1,000,00 I - $5,000,000 H2 =More than $5,000,000 Value Codes J =$I 5,000 or less K =$15,001 - $50,000 L =$50,00 I $100,000 M =$I 00,00 I - $250,000 (See Columns Cl and D3) N =$250,00 I - $500,000 0=$500,001- $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,00 I - $25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000 Value Method Codes Qo:Appraisal R =Cost (Real Estate Only) S =Assessment =Cash Market (See Column C2) U =Book Value V=Other W =Estimated

5 Page 5of10 Hartz, Harris L 04/26/2008 VII. INVESMENS and RUSS -- i11come, vatue, 1ra11sac1io11s rinc111des 11iose of spouse and depe11de111 children; see PP of Jiting i11s1ruc1io11s.j D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period Place (X) after each asset (I) (2) (I) Amount ype (e.g., Value (2) (1) (3) (4) (5) (2) Value ype (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) USG BX DIN AX Morgan Stanley Bank Acc't San Juan County, NM, real estate 2 Parcel 1 Unimproved real estate in San Juan B Rent M w County, NM - 2 EUGBX A Dividend J 2 GLBAX A Dividend K 25. ULQX B Dividend K 26. BRKB None M 27. Partial buy 1126 J 28. Partial buy 3/21 J 29. Partial buy 8/31 K 30. Partial buy 9119 K 31. OIA A Dividend J 3 Wells Fargo Bank Account B Interest L 3 State of Israel Bonds A Interest Redeemed 12/14 J 3 US Savings Bonds B Interest L - l. Income Gain Codes: A =$1,000 or less B=$1,001 -$2,500 c =$2,501 -$5,000 D=S5,001-$15,000 E=$15,001-$50,000 (See Columns BJ and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes J =$15,000 or less K=$15,001 -$50,000 L=$50,001 -$100,000 M =$100,001 -$250,000 (See Columns Cl and DJ) N =$250,00 I -$500,000 0=$500,00 I -$1,000,000 P 1 =$1,000,0C.' -$5,000,000 P2 =$5,000,001 -$25,000,000 PJ =$25,000,00 I - $50,000,000 P4 =More than $50,000,000 Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment ==Cash Market (See Column C2) U =Book Value V =Other W =Estimated

6 Page 6of10 Hartz, Harris L 04/26/2008 VII. INVESMENS and RUSS -- D NONE (No reportable income, assets, or transactions.) income, va111e, transactions r1nc111des those of spouse and dependent children; see PP of filing instructions.; -- A. B. c. D. Description of Assets Income during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period (I) (l) (2) (2) (I) (2) Place 11(X) after each asset Amount ype (e.g., Value Value ype (e.g., Date (3) (4) (5) Value Gain Identity of exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, Month- (A-HJ or int.) (J-P) Code 3 redemption) Day (Q-W) Code 2 Code I buyer/seller (J-P) (A-H) (if private transaction) 35. ennis Club of Albuquerque debenture A Interest J 36. Promissory Note--Kozimor rust B Interest J B account None J PGRWX 39. State Retirement Account c Interest L 40. Individual Retirement Annuity D Dividend N ING Fixed Account 4 --ING Balanced VP 4 IRA Account c Dividend M 4 --Gov't Nat'! Mtge Ass'n Pool MSDW Liquid Asset Fd, mutual fund US reasury Bonds AMO DX partial sale 10/16 J A GLBAX MS ACX Partial sale 1/18 J A so. - Partial sale 4/18 J A 51. Partial sale 7/18 J A l. Income Gain Codes: A =$ J,000 or less B =$1,00t - $2,500 C =$2,501 -$5,000 D =$5,001 -$15,000 E =$15,001. $50,000 (See Columns BI and D4) F =$50,001 - $I 00,000 G=$100,00I -$1,000,000 HI =$1,000,00 I -$5,000,000 H2 =More than $5,000,000 Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,00 I -$I 00,000 M =SI 00,00 I -$250,000 (See Columns Cl and D3) N =$250,001 -c]00,000 0 =$500,00 I - $1,000,000 PI =$I,000,00 I -$5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,00 I - $50,000,000 P4 =More than $50,000,000 Value Method Codes Q =Appraisal R Cost (Real Estate Only) S =Assessment =Cash Market (See Column C2) U Book Value V=:Other W =Estimated

7 Page 7of10 Hartz, Harris L 04/26/2008 VII. INVESMENS and RUSS - D NONE (No reportable income, assets, or transactions.) income, vatue, transactions r1nc111des those of.1po11se and dependent c11udre11; see PP offiti11g instruc1io11s.j A. B. c. D. Description of Assets Income during Gross value at end of ransactions during reporting period (including trust assets) reporting period reporting period (1) (2) (I) (2) (I) (2) (3) (4) (5) Place (X) after each asset Amount ype (e.g., Value Value ype (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) 5 --MSSGX 5 --MPEGX 5 --MPSCX MDFDX MS Spectrum Select MS Spectrum ech MS Spectrum Currency Morgan Stanley Bank Acc't DHG Morgan Stanley CPI/Commodity note 6 --ACSDX 6 Annuity A Dividend J 6 --ING VP Inter Bond Portfolio 65. Allstate Life Ins. Co. annuity A Interest K 66. CM Life Ins. Policy B Interest L 67. MONY Life Ins. Policy A Interest K 68. Security Connecticut Life Ins. Policy #1 A Interest K 1. Income Gain Codes: A =$ l,000 or less B =$1,00 I -$2,500 c =$2,501 -$5,000 D =$5,00 I - $15,000 E =$15,001 -$50,000 (See Columns BI and 04) F =$50,001 -$100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000 Value Codes J o=$ J 5,000 or Jess K =$15,00 I -$50,000 L =$50,00 I - $I 00,000 M =$I 00,00 I -$250,000 (See Columns CI and D3) N =$250,00 I -$500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,00 I - $25,000,000 P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000 Value Method Codes Q ::Appraisal R =Cost (Real Estate Only) S =Assessment =Cash Market (See Column C2) U Book Value V =Other W =Estimated

8 Page 8of10 Hartz, Harris L 04/26/2008 VII. INVESMENS and RUSS -- income, value, transactions r1nc111des 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 of ransactions during reporting period (including trust assets) reporting period reporting period Place (X) after each asset exempt from prior disclosure (1) (2) (1) (2) {l) (2) (3) (4) (5) Amount ype (e.g., Value Value ype (e.g., Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) 69. Security Connecticut Life Ins. Policy #2 A Interest K 70. ESX E Dividend M 71. EVGFX A Dividend J 7 OPPAX c Dividend L 7 SCINX A Dividend K 7 AMO BX None J 75. DIVBX D Dividend K 76. Morgan Stanley Bank Ace'! A Interest J l. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 C =$2,501 $5,000 D =$5,001 -$15,000 E =$15, ,000 (See Columns BI and D4) F =$50,001 -$100,000 G =$100,001 - Sl,000,000 H1 =$ l,000,001 - $5,000,000 H2 =More than $5,000,000 Value Codes J =$15,000 or less K =$15,001 -$50,000 L =$50,001 -$100,000 M =$100,00 I- $250,000 (See Columns CJ and D3) N =$250,00 I - $500,000 0 =$500,00 I -$1,000,000 PI =$I,000,00 I - $5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000 J. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment =Cash Market (See Column C2) U =Book Value V =Other W Estimated

9 Page 9of10 Hartz, Harris L 04/26/2008 VIII. ADDIIONAL INFORMAION OR EXPLANAIONS. (lndica/e parlofreport.) I. Item on line 18: USGAX was converted to USGBX on 4/27. ltem on line 25: ULAX was converted to ULQX on 4/30. Item on line 75: DIV AX was converted to DIVBX on 4/30.

10 PagelOoflO Hartz, Harris L 04/26/2008 IX. CERIFICAION. 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. 7353, and Judicial Conference regulations. Signature NOE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY llalsifies OR FAILS O FILE HIS REPOR MAY BE SUBJEC O CIVIL AND CRIMINAL SANCIONS (5 U.S.C. app. 104) FILING INSRUCIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C

D NONE (No reportable positions.)

D NONE (No reportable positions.) AO 10 Rev. 112013 Report Required by the Ethics in Governmenl Ac/ of 1978 FOR CALENDAR YEAR 2012 (5 U.S.C. app. 101-111) I. Person Reporting (last name, first, middle initial) Court or Organization U.S.