D NONE (No reportable positions.)

Transcription

1 FNANCAL DSCLOSURE REPORT Report Required by the Ethics AO O in Government Act of1978 Rev FOR CALENDAR YEAR 2006 (5 U.S.C. app. O- ). Person Reporting (last name, first, middle initial) Court or Organization SEYMOUR, STEPHANE K U.S. COURT OF APPEALS 04/03/2007 Title (Article judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. CRCUT JUGE--SENOR 7. Chambers or Office Address U.S. COURTHOUSE 333 WEST FOURTH TULSA, OK Sa. Report Type (check appropriate type) Sb. D Nomination. Date D nitial Annual D Final Amended Report 8. 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. Reviewing Officer 6. Reporting Period Date 01/01/2006 to 12/31/2006 MPORTANT 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. Sign on last page., POSTONS. (Reporting individual only; see pp of instructions.) D NONE (No reportable positions.) POSTON NAME OF ORGANZATON/ENTTY. Executive Board Member Oklahoma City University School of Law, Oklahoma City, OK S2 (/ (".::0 o- r--,, -0 m. AGREEMENTS. (Reporting individual only; see pp of instructions.) (/.: :::0 C:l>, (" NONE (No reportable agreements.) :: :: -0 f"(" m - a "Tr-.l < PARTES AND TERMS "" m (J w

2 FNANCAL DSCLOSURE REPORT Dale of Report Page 2 of9 SEYMOUR, STEPHANE K 04/03/2007. NON-NVESTMENT N CO ME. (Reporting individual and spouse; see pp. 17-U of instructions.) A. Filer's Non-nvestment ncome B NONE (No reportable non-investment income.) SOURCE AND TYPE NCOME (yours, not spouse's). B. Spouse's Non-nvestment ncome -![you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE self-employed - lawyer V. REMBURSEMENTS - transportation, lodging, food, entertainment (ncludes those to spouse and dependent children. See pp of instructions.) D NONE (No reportable reimbursements.) SOURCE DESCRPTON 1. University of Denver Law School March 16-17, 2006, expenses for travel to Denver, Colorado, to speak at conference Aspen nstitute March 30-April 2, 2006, expenses for travel to Wye, Maryland, to attend seminar University of Akron Ohio Law School October l-2, 2006, expenses for travel to Akron, Ohio, to speak to law school students

3 FNANCAL DSCLOSURE REPORT Page 3 of9 SEYMOUR, STEPHANE K 04/03/2007 V, GFTS. (ncludes those to spouse and dependent children. See pp of instructions.) [K NONE (No reportable gifts.) SOURCE DESCRPTON VALUE. V. LABLTES. (ncludes those of spouse and dependent children. See pp of instructions.) D NONE (No reportable liabilities.) CREDTOR DESCRPTON VALUE CODE. Bank of the West Mortgage on lot in Mt.Crested Butte, CO 0

4 -- FNANCAL DSCLOSURE REPORT Page 4 of9 SEYMOUR, STEPHANE K 04/03/2007 V. NVESTMENTS and TRUSTS - income, value, transactions (ncludes those of the spouse and dependent children. See pp of filing instructions.) D NONE (No reportable income, assets, or transactions.) ncome during Gross value at end of l Transactions during (2) (1)! (1) ---r (2) (3) (4) (5),-- A. i B. c.. D. Description of Assets. (including trust assets) Place "(X)" after each asset exempt from prior disclosure Code div., rent, (2) Amount Type (e.g. Value Value Date Value Gain dentity of Code 2 Method buy, sell, Month Code 2 Code buyer/seller (J-P) Code 3 redemption) Day (J-P) (A-H) (if private [L"'' (Q-W) transaction)! ---L l L Type (e.g. i!. Bank of Okla. Money Market A nterest J T Bank of Okla. Money Market A nterest 0 T So. Hills Ctry. Clb. stock None K u F&M Bank Money Market A nterest J T Condo, Tulsa, OK (purchased 11127/1995) None M R 6. RA, Merrill Lynch, Tulsa c Dividend M T 7. -Merrill Lynch Cash Fund 8. -Abbott Labs 9. -!Shares MSC! EAFE 10. -Rydex ETF TR 11. -US Treasury Bill None L T Buy 11/17 L 1 Brokerage# See note Part V 1 -Del Monte Foods Co. A Dividend Sell 5/18 J c 1 -General Electric A Dividend Sell 5/18 K B 1 -Heinz HJ Co. B Dividend K T 16. -!Shares MSC EAFE A Dividend K T 17. -Rydex ETF TR A Dividend Sell 5/18 K A l. ncome Gain Codes: (See Columns Bl and 04) A =S 1,000 or less F =$50,001 -S00,000 B=Sl,OOl -S2,500 G =S00,001 -S,000,000 c =$2,501. $5,000 H =S 1,000,001 -S5,000,000 D=S5,00 - $15,000 H2 =More than $5,000,000 Value Codes J =S 15,000 or less K =$15,001 - $50,000 L =$50,001 -S00,000 M =S 100,001 - $250,000 (See Columns Cl and D3) Value Method Codes (See Column C2) N =$250,001 -$500,000 P3 =S25,000,00 -$50,000,000 Q =Appraisal U =Book Value 0 =$500,001 -$1,000,000 R =Cost (Real Estate Only) V =Other Pl =Sl,OOO,OOl -S5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated P2 =$5,000,00 - $25,000,000 T =Cash Market E =S 5,001 -S50,000

5 FNANCAL DSCLOSURE REPORT Page 5of9 SEYMOUR, STEPHANE K 04/03/2007 V. NVESTMENTS and TR u STS - income, value, transactions (ncludes those of the spouse and dependent children. See PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) - A. B. C. D. Description of Assets ncome during Gross value at end of Transactions during reponing period (including trust assets) reponing period reponing period _j (2) (3) (4)! (5) Place "(X)" after each asset Amount Type (e.g. Value Value Type (e.g. Date Value Gain dentity of exempt from prior disclosure Code div.. rent, Code 2 Method buy, sell, Month- Code 2 Code buyer/seller (A-H) or int.) (J-P) Code3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) () (2) LL () () L. 18. Brokerage #2 (2) L_... L. _L J Merrill Lynch Cash Fund A nterest K T 20. -BOK Fincl. Corp. New A Dividend L T 21. -Hewlett Packard Co. Del. A Dividend K T 2 -!Shares MSCJ EAFE A Dividend K T 2 -J P Morgan Chase & Co. A Dividend Sell 5/18 K D 2 -Kellogg Co PY 25CT A Dividend J T 2 -Microsoft Corp. A Dividend K T 26. -Proctor Gamble A Dividend Sell 5118 L D 27. -Royal Dutch Shell PLC B Dividend L T 28. -Rydex ETF TR A Dividend Sell 5/18 K B 29. -Starbucks Corp. None L T 30. -US Treasury Bill #1 None L T Buy 9/25 L 31. Redeem 12/21 L A 3 Buy 12/21 L 3 -US Treasury Bill #2 None L T Buy 9/25 L 3 -Washington Mutual nc. B Dividend K T. ncome Gain Codes: A =S 1,000 or less B =51,00-52,500 C =52,50 - $5,000 D =$5,001 -Sl5,000 E =$15,00 -$50,000 (See Columns B and 04) F =550,001 -S00,000 G =$100,001-51,000,000 H =Sl,000,001 - S5,000,000 H2 =More than 55,000,000 Value Codes J =S 15,000 or less K =515, ,000 L =550,001 - S 100,000 M =$ 00, (See Columns C and D3) N =$250,001 -$500,000 0 =$500,00 - $1.000,000 Pl =Sl,000,001-$5,000,000 P2 =$5,000,00 - $25,000,000 Value Method Codes (See Column C2) P3 =$25,000,00 -$50,000,000. Q =Appraisal U =Book Value R =Cost (Real Estate Only) V =Other P4 =More than S50,000,000 S =Assessment W =Estimated T =Cash Market

6 FNANCAL DSCLOSURE REPORT Page 6 of9 SEYMOUR, STEPHANE K 04/03/2007 V. NVESTMENTS and TRUSTS - income, value, transactions (ncludes those of the spouse and dependent children. See pp. 34-fO of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. D. Description of Assets ncome during Gross value at end of Transactions during (including trust assets) () (2) (1) Place "(X)" after each asset Amount Type(e.g. Value Value Type(e.g. Date exempt from prior disclosure Code 1 r div., rent, Code 2 Method buy, sell, Month- or int.) (J-P) Code3 redemption) Day [ (Q-W) (2) () c. (2) 3 Brokerage # BOK Financial Corp. B Dividend N T Part Donate J 37. RA, Blackrock Balanced A Dividend J T See note Part V 38. K ogh Plan, Merrill Lynch, Tulsa G Dividend Pl T 39. -Merrill Lynch Cash Fund 40. -Alcoa nc. Sell 5/12 L E 41. -AT&T Sell 5/12 K 4 -BOK Financial Corp. 4 -China Mobile HK SP Adr Sell 12/28 L E 4 -Crescent Real Est Eq Tex Reit 4 -General Electric Sell 5/12 L D 46. -Shares MSC EAFE 47. -[Shares S&P ndex Sell 5/12 M D 48. -!Shares TR Russell 2000 Sell 5/12 M E 49. -Kellogg Co. PV 25ct Sell 5/12 K D 50. -Oneok nc Rydex ETF TR Sell 5/12 M E. ncome Gain Codes: A =S 1,000 or less 8=$1,001-$2,500 C =$2,501 -S5,000 D =$5,001 - $15,000 E =S 15,001 -$50,000 (S ee Columns Bl and 04) F =$50,001. S00,000 G =S 00,00 S 1,000,000 H =SJ,000,001 - $5,000,000 H2 =Mon: than $5,000,000 Value Codes J =$15,000 or less K =S 15,00 -$50,000 L =S50,00 -S 00,000 M =S00,001-S250,000 (See Columns Cl and D3) N =$250,001 $500,000 0 =$500,001 -Sl,000,000 Pl =Sl,000,001 -$5,000,000 P2 =$5,000,001 -$25,000,000 Valu e Method Codes PJ =$25,000,001 SS0,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (Se e Column C2) Q =Appraisal V=Othcr S =Assessment U =Book Va lue W =Estimated

7 ---- FNANCAL DSCLOSURE REPORT Page 7 of9 SEYMOUR, STEPHANE K 04/03/2007 V. NVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) L A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure income, value, transactions (ncludes those of the spouse and dependent children. See PP of filing instructions.) B. c. ncome during Gross value at end of () (2) () (2) Amount Type (e.g. Value Value Code div., rent, Code 2 Method (A-H) or int.) (J-P) Code3 5 -Rydex nverse Gov't See note Part V (Q-W) i 5 -Templeton Emrgng Mkts 5 -United Sts Stl Corp. New Sell 5/12 L E 5 -US Treasury Bill # Redeem 416 M c 56. Buy 416 M 57. Redeem 10/5 M c 58. Buy 10/6 M 59. -US Treasury Bill #2 Redeem 1/5 M B 60. Buy 1/5 M 61. Redeem 6/29 M c 6 Buy 6129 M 6 Buy 9/21 N 6 Redeem 12/28 N 6 Buy 12/28 N D 66. -US Treasury Bill #3 Buy 9/21 N 67. -Wms.Comm.Grp.SrRdmbleNtes 68. Lot in Mt. Crested Butte, CO None 0 R. ncome Gain Codes: A =S 1,000 or less B =$1,001 -S2,SOO C =$2,501 -SS,000 0 =SS,001-S S,000 E =S 15,00 SS0,000 (See Columns Bl and 04) F=$50,001 -S00,000 G =S00,001 - Sl,000,000 H =$1,000,00 - SS,000,000 H2 =More than $5,000,000 Value Codes J =S S,000 or less K =S S,00 -SS0.000 L =$ S M =s wo.oo 1 s2so.ooo (See Columns Cl and 03) N =S2 SO.OO -SS00,000 0 =SS00,001 -Sl, Pl =$1,000,001-SS,OOO,OOO P2 =ss s2s.ooo.ooo Value Method Codes P3 =S2S,000,001 $50, R =Cost (Real Estate Only) P4 =More than SS0.000,000 T=Cash Market (See Column C2) Q =Appraisal V=Other S =Assessment U =Book Value W =Estimated

8 FNANCAL DSCLOSURE REPORT Name or Person Reporting Date or Report Page 8 of9 SEYMOUR, STEPHANE K 04/03/2007 V. ADDTONAL NFORMATON OR EXPLANATONS. (lndicate partofreporl) PART V, LNE 12 Brokerage # 1, M-L Cash Funds, reported on Line 13 of 2005 report, failed to meet qualifying requirements for assets to be reported. PART V, LNE 37 RA formerly M-L Capital Fund, now Blackrock Balanced. PART V, LNE 52 Rydex nverse Gov't formerly Rydex Juno Fund.

9 FNANCAL DSCLOSURE REPORT Name or Person Reporting Date or Report Page 9 of9 SEYMOUR, STEPHANE K 04/03/2007 X. CERTFCATON. 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. 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. Sign Date 1/3/C 7 NOTE: ANY NDVDUAL WHO KNOWNGLY AND W AND CRMNAL SANCTONS (5 U.S.C. app. 104) FULLY FALSFES OR FALS TO FLE THS REPORT MAY BE SUBJECT TO CVL FLNG NSTRUCTONS 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