D NONE (No reportable positions.)

Transcription

1 AOJO FNANCAL DSCLOSURE REPORT in Government Act of 1978 Rev FOR CALENDAR YEAR 2007 (5 U.S.C. app ) Report Required by the Ethics. Person Reporting (last name, first, middle initial) Lourie, Alan D Court or Organization U.S. Ct of Appeals-Fed Circuit Title {Article ll judges indicate active or senior sttu; magistrate judges indicate ful- or part-time) U.S. Circuit Judge Sa. Report Ty (check appropriate type) D Nomination, Date D nitial 0 Annual D Final Sb. D Amended Reprt 6. Reporting Period 01101/2007 to 12/31/ Chambers or Offce Address Howard T. Markey Nat Cts Bldg 717 Madison Place NW Washingtn, DC On the basis of the information contained in this Report and any modifications pertaining thereto, it is in my opinion, n compliance with applicable laws and regulations. Reviwing Offcer Date -- MPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportble informatin. Sign on last page.. POSTONS. (Reportng invidual only; see pp of fiing instuclions.) D NONE (No reportable positions.) POSTON NAM OF ORGANATON/ENTTY l. Trustee Trust Member Temple Law School Board of Visitors 5. (.- " ( '> ::.o ;,".. '. r'.> :. AGREEMENTS. (Reprtg individual only; see pp of filing instructions.) D NONE (No reportable agreements.) PARTES AND TERMS 0 'V l. 4/6/90 GlaxoSmithe, successor to former employer, provides pension and retiree group health and life insurance

2 FNANCAL DSCLOSURE REPORT Name of Persn Reporting Page 2 of8 Lourie, Alau D D. N 0 N-NVESTMENT N CO ME. (Reporting individual and spouse; see PP n-u of flung instructions.) A. Filer's Non-nvestment ncome D NONE (No reportable non-investment income.) SOURCE AN TYPE NCOME (yours, not spouse's). Jan- Dec GlaxoSmithline pension $88,613 B. Spouse's Non-nvestment ncome - f you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria) [Z NONE (No reportable non-investment income.) SOURCE AN TYPE. V. REMBURSEMENTS - transportation, lodging, food, entertainment (ncludes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATON PURPOSE TEMS PAD OR PROVDED. Boston Patent Law Assoc May4-5 Boston, Mass Attend judges' dinner Airfare, hotel, and dinner at annual judges' dinner Federal Circuit Bar Association June Cambridge, MD Attend bench and bar conf Hotel and dinner Richard Linn nn of Court July Chicago, L Attend dinner Airfare, hotel, and dinner Temple Law School October 5 Phila, PA Attend Bd of Visitors Mtg Hotel and dinner 5. Seton Hall Law School October23 Newark, NJ Give lecture Trainfare, hotel, and dinner

3 FANCAL DSCLOSURE REPORT Name of Persn Rep<rtng Date of Rep<rt Page 3of8 Lourie, Alan D V. GFTS. (ndude those /Q spouse and tkendent children; see pp of ftlng instructions.) [Z NONE (No reportable gifts.) SOURCE DESCRPTON VALUE. 5. V. LABLTES. (nclude those of spouse and deendent children; see pp of filing instructions) [Z NONE (No reportable liabilities.) CREDTOR DESCRTON VALUE CODE 1. 5.

4 FNANCAL DSCLOSURE REPORT Page 4of8 Name of Person Reporting Lourie, Alan D V. NVESTMENTS and TRUSTS -income, value, transactions (ncludes those of spouse and dependent children; see PP 14-0 of filing instructions.) 0 NONE (No reportable income, assets, or transactions.)! A.! Deption of Assets (incl uding trust assets) Place "(X" af eah asse exempt frm prior disclosure -- B. c. nme du Grs value at en of reprtng period reg period (2) () (2) () Amount Type(e.g., Value Value Coe 1 div., rent, Coe2 Metod (A-H) or int) (J-P) Coe3 (Q-W) D. Trations during repor ting period () (2) (4) Type(e.g., Da Va lue Gain buy, sell, Month- Coe2 Coe! Day (J-P) (3) (A-H) (5) dentity of buyer/sel ler (if prva trion). Vanguard Tax Exempt MM Fund 1 c Dividend K T Vanguard Tax Exempt MM Fund 2 A Dividend K T Franklin Templeton Mutual Shares Fund D Dividend M T Vanguard Health Ca Fund E Dividend N T 5. T Rowe Prce Cap Appreciation Fund (RA) D Dividend M T 6. Vamguard Windsor Fund D Dividend M T 7. Vanguard ST Bond ndex Fund (RA) D Dividend M T buy 2/28 J 8. partial sale 5/14 J see V 9. partial sale 11/1 J see V 10. TAA-CREF B nterest K T rollover 2/27 J see V 11. PNC Bank checking account A nterest J T 1 US Treasury Notes c nterest L T 1 Vanguard 500 ndex Fund c Dividend M T 1 Vanguard Extended Maret ndex Fund c Dividend N T 15. Vanguard Global Equity Fund D Dividend M T 16. Fidelity Cap Appreciation Fund D Dividend L T 17. Fidelity Value Fund D Dividend L T l. ncome Gai Co: A =Sl,000 or les B =Sl,001-$2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E=Sl5,001-$50,000 (See Cohmms Bl and D4) F =$50,001 -$100,000 G =$100,001 -$1,000,000 H =Sl,000,001-SS,OOO,OOO H2 =More 1b $5,000,000 Value Co 1 =S 15,000 or less K=Sl5,001-$50,000 L =$50,001-$100,000 M =$100,001 -$250,000 (See Cohmms Cl and D3) N=$250,00 l - $500,000 0=$500,001-$1,000,000 Pl =$1,000,001- $5,000,000 P2 =$5,000,00 l - $25,000,000 Value Method P3 =$25,000,001 - $50,000,000 P4 =Mor 1b $50,000,000 Q =Appr R =C (Rea Es On) s =Assesmt T =C Maet (See C-lu C2) U=Book Value V=-ec w =Es:d

5 FNANCAL DSCLOSURE REPORT Name of Person Reporting Page 5of8 Lourie, Alan D V. NVESTMENTS and TRUSTS - income. value, transactions (1c1ut1s those of spouse and t1penden1 children; see PP 3 0 of filing mstructions.j 0 NONE (No reportable income, assets, or transactions.) A Deption of Assets (including tr assets) Place "(X)" af eah asset exempt frm pror disclosure!. B. c. D. reg peiod rertng peiod (!) (2) (!) () (2) (3) (5) Amount Typ(e.g., Value Value Type(e.g., Date Value Ga dentity of Co div ret, Coe2 Method buy, sell, Month- Coe2 Coe buyer/seller _or int) (J-P) Coe 3 retion) Day (J-P) private (A H) (A - H) - _ (Q-W) trtion) nme during Grs value at en of Trasactions during reporting period (2) (4) 18. Vanguard nerl Explorer Fund D Dividend L T 19. Vanguard European Fund c Dividend M T 20. T Rowe Price Summit Munic M Fd D Dividend N T buy 2/22 K 21. buy 5/22 K 2 buy 8/22 K 2 buy 11/22 J 2 Vanguard Equity ncome Fund E Dividend N T 25. T Rowe Price Equity ncome Fund c Dividend sell 9/24 M F 26. T Rowe Price Short Term Bond Fund (R) F Dividend P l T partial sale 2/22 K see V 27. partial sale 5122 K see V 28. partial sale 8/22 K see V 29. partial sale J see V 30. Vanguard ST Tax Exempt Fund E Dividend 0 T buy Vanguard ST Tax Exempt Fund 2 D Dividend N T buy 5/14 J 3 buy 1111 J 3 Vanguard Limited Term TE Fund D Dividend N T 3 Vanguard ntermed TE Fund E Dividend 0 T. ncome Gai Co: A Sl,000 or les B=$1,!X -$2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E =$15,001-$50,000 (See Colum Bl andd4) F =$50,001 -$100,000 G =$100,001 $1,000,000 H =$1,000,001 -$5,000,000 H2=More1h $5,000,000 Value Co J =$15,000 or les K=$15,001-S50,000 L =$50,001-$100,000 M =$100,001 -$250,000 (See Colu Cl mdd3) N=$250,001 -$500,000 0 =$500,001 -$1,000,000 Pl =$1,000,001- $5,000,000 P2 =$5,000,001 - $25,000,000 Value Metod Co P3 =$25,000,001 -$50,000,000 Q Appr R (R Es On) (See Colun C2) U Book Value V=- w = ed P4 Mor th $50,000,000 s Assesmt T '" Mae!

6 - FNANCAL DSCLOSURE REPORT Page 6 of8 Name of Person Reporting Lourie, Alan D V. NVESTMENTS and TR US TS - income, value, transactwns (nciucks those of spouse and dependent children; see PP of filing instructions.; D NONE (No reportable income, assets, or transactions.)!! - A. Deption of Assets (including trst asse) Place "(X)" af each asset exempt from prior disclosur B. n du reprtng period (!) (2) Amount Type(e.g., Co di., ret, (A-H) orint) c. Grs value at end of reprtng peiod () (2) Value Value Coe2 (J-P) - Met Coe3 W) () Type(e.g buy, sell, redemption) D. Traons durng reprting period (2) (3) (4) (5) Da Value Gain dentity of Month- Coe2 Coe l buyer/seller Day (J-P) (A-H) (if private trtion) 35. TR Price lnterat Disc Fd (R) D Dividend M T buy 9/24 M 36. TR Price New Horion Fd (R) D Dividend L T buy 9/25 L 37. Trust (following item) 38. PNC Bank checking account None J T. ncome Gai Co: A 41,000 or less B 41,001 -$2,500 c 42,501 -$5,000 D 45,001 -$15,000 E 415,001 -$50,000 (See Cohuns Bl and D4) F 450,001-$100,000 G 4100,001 -Sl,000,000 H 41,000,001 - $5,000,000 H2 More th $5,000,000 Value Co J 415,000 orless K415,001-S50,000 L 450,001 -$100,000 M 4100,001-S250,000 (See Cohuns Cl and D3) N 4250,001 -$500, ,001-$1,000,000 P 41,000,001-$5,000,000 P2 45,000,001 -$25,000,000 P3 25,000,001 -$50,000,000 P4 More th $50,000,000 Value Method Co Q Appr R =C (Rel Es On) s Assesm T =C Maet (See Colu C2) U=BooValue V=O W=E:d

7 FNANCAL DSCLOSURE REPORT Name of Person Reporting Page 7of8 Lourie, Alan D V. ADDTONAL NFORMATON OR EXPLANATONS. (ndicatepatofreport) tems 8, 9, 10, 26, 27, 28, and 29 in Par V do not provide gains in D4, beuse they were within an R or a rollover so that there was no recognized gain.

8 FNANCAL DSCLOSURE REPORT Name of Persn Reporting Page 8of8 Lourie, Alan D X. CERTFCATON. certify that all information given above fmcluding 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. NOTE: AN NDVDUAL WHO KNOWNGLY AN WLFULLY FALSFES OR FALS TO FLE THS REPORT MAY BE SUBJECT TO CVL AN CRMNAL SANCTONS (5 U.S.C. app. 104) FLNG NSTRUCTONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C