D NONE (No reportable positions.)

Transcription

1 AOIO Rev FINANCIAL DISCLOSURE REPORT Report Required by the Ethics in Government Act of 1978 FOR CALENDAR YEAR 2012 (5 U.S.C. app ) 1. Person Reporting (last name, first, middle initial) Court or Organization MCNAMEE, STEPHEN M. US DISTRICT COURT OF ARIZONA 07/19/2013 Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) US DISTRICT JUDGE SENIOR ST A TUS - ACTIVE 7. Chambers or Office Address Sa. Report Type (check appropriate type) D Nomination Initial Annual D [{ D Sb. D Amended Report Date Final 6. Reporting Period 01/01/2012 to 12/31/2012 SANDRA DAY O'CONNOR US COURTS 40 I WEST WASHINGTON STREET SPC 60 PHOENIX A.Z IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box/or each part where you have no reportable information. I, POSITIONS. (Reporting fndividual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. MEMBER UNIVERSITY OF ARIZONA COLLEGE OF LAW BOARD OF VISITORS MEMBER UNIVERSITY OF ARIZONA LAW COLLEGE ASSOCIATION MEMBER UNIVERSITY OF CINCINNATI ALUMNI BOARD OF DIRECTORS HOUSING COMMITTEE 5. II. AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS I.

2 Page 2of9 III. N 0N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I STATE OF ARIZONA TAX REFUND $5, B. Spouse's Non-Investment Income - If yo11 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 I ST LUKES HEAL TH INITIATIVE - SALARY 2012 HEAL TH CARE EXCEL - BOARD MEMBER IV. REIMBURSEMENTS -- transportation, lodging,food, entertainment. (Includes those lo spouse and dependent children; see pp (filing instructions.) 12 NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. 5.

3 Page 3of9 V. GIFTS. (lnc/11des those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. 5. VJ. LJABJLJTJES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 5.

4 Page 4of9 VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those of spouse and dependent children; see PP offilinc instructions.) D NONE (No reportable income; assets, or transactions.) A. a. C. D. Description of Assets Income during Gross value at end (including trust assets) reporting period of reporting period (I) (2) (I) (2). (I) ]>lace "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., ex.empt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-HJ or int.) (J-P) Code 3 redemption) (Q-W) Transactions during reporting period (2) (3) (4) (5) Date Value Gain Identity of mm/dd/yy Code 2 Code I buyer/seller (J-P) (A-H) (if private transaction) I. MERRILL L YNCHftif'i,i MASTER A Int./Div. J T ACCOUNT (fka CMA BANKING ACCOUNT) IB M COMMON STOCK) A Dividend J T INTERNATIONAL RECTIFIER None J T COMMON STOCK FAIRFIELD ESTATES FLAGSTAFF AZ None J w 5. MARRIOT CANYON VILLAS None J w 6. ST LUKES 403(B)7 (H) B Dividend M T 7. -VANGUARD 500 INDEX FD 8. WELLS FARGO CKG A Interest J T 9. USBANK CKG A Interest J T 10. USBANK CKG A Interest K T Open 01/01/12 K II. USBANK SVGS A Interest M T Open 01/01/12 M 1 IRA -USBANK PHOENIX AZ - CD A Interest J T 1 IRA -USBANK PHOENIX AZ - CD A Interest J T 1 MERRILL LYNCH - IRA #I (H) B lnt./div. K T FIA CARD SVCS CD MORGAN STANLEY I. Income Gain Codes: A =$1.000 or less B =$1,001 $500 c =$2,501 -$5.000 D =$5,001 - $15,000 E =$ $ (Sec Columns BI nnd 04) F=$50.00I -$ G =$ $1, HI =$1.000,001 - $5,000, =More than $5,000,000 Value Codes J=$ or less K =$15,001 -$ L =$50.00 I - $100,000 M =$100,001 -$250,000 (Sec Columns Cl nnd 03) N =$ $ =$ I -$ Pl =$1, $5, P2 =$5, $25,000,000 1'3 =$25.000,00 I -$ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column Cl) U =Book Value V =Other W =Estimated

5 Page 5 of 9 VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc1udes 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 ofreporting period (I) (2) (I) (3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of (I) (2) ej<empt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private (Q-W) (2) (5) transaction) AMER FUNDS AMERICAN HIGH INCOME TRUST FD CL F2 (AHIFX) AMERICAN CAPITAL WORLD BOND FUND CL F2 (BFWFX) 19. -!SHARES!BOXX $ INVT GRADE CORPBD FUND (LOD) 20. -!SHARES BARCLAYS AGENCY BOND FUND(AGZ) 21. MERRILL LYNCH - IRA #2 (H) c I nt./div. M T 2 - FIA CARD SVCS (IIAXX) Sold 01/10/12 J (part) 2 - CURRENCY SHARES AUSTRALIAN Buy 02/06/12 J (FXA) 2 Buy 09/10/12 J (add'!) 25. Sold 05/24/12 J (part) 26. Sold 10/29/12 J CURRENCY SHARES BR ETF (FXB) Buy 05/24/12 J 28. Sold 09/10/12 J A CURRENCY SHARES CAN - ETF (FXC) Buy 10/29/12 J CURRENCY SHARES JAPANESE YEN Sold 02/06/12 J A PWRSHARES ETF DYNAMIC LEISURE Sold 09/10112 J B (PEJ) (part) 3 - PWRSHARES DYNAMIC PHA.RM (PJP) Sold 09/10/12 J (part) 3 - PWRSHARES DYNAMIC RETAIL Buy 09/05/12 K (PMR) I. Income Gain Codes: A =$1.000 or less B =$1,001 $2,500 c =$2,501 -$5,000 0 =$5,001 -$15,000 E =$ $50,000 (Sec Columns BI and 04) F =$ $ G =$I I -$ Ill =$1,000,001 - $5,000,000 ll2 =More than $5,000,000 Value Codes J =$ or less K =$15,001 -$50,000 L =$50,00 I -$I 00,000 M =$100,001 - $250,000 (Sec Columns CI an d 03) N =$ I -$ =$500,001. $ Pl =$1, $5, P2 =$5,000,001 -$25,000,000 1'3 =$ I -$50, P4 =More than $50,000,000 Vnluc Method Codes Q =Apprnisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

6 Page 6of9 VII. INVESTMENTS and TRUSTS -- income, value, transactions (Includes those of spouse and dependent children; see PP D NONE (No reportable income, assets, or transactions.) 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 ofreporting period (I) (2) (I) (4) (5) {I) (2) (2) (3) 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) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 3 - PWRSHARES DYNAMIC BLDG AND Buy J CONS(PKB) PWRSHARES ETF (PTH) Buy K PWRSHARES ETF (PEZ) Buy K PWRSHARES NASDAQ INT (PNQI) PWRSHARES ETF (PX!) Sold K PWRSHARES ETF (KBWD) Sold K SPDR. INDEX SHS FDS (JPS) SPDR. INDEX SHS FDS (!PD) 4 - SPDR. INDEX SHS FDS (JPN) 4 - VANGUARD LARGE CAP (VV) 4 - VANGUARD GROWTH (VUG) VANGUARD MSC! (VWO) ' VANGUARD MID-CAP VAL!DX (VOE) 47. MERRILL LYNCH - IRRA #I (H) B Int./Div. L T FIA CARD SVCS (IIAXX) Buy J (add'!) EA TON VANCE FLOATING RA TE FUND (EIBLX) 50. -!SHARES!BOXX$ INVT GRADE CORP BD FUND (LQD) I. Income Gain Codes: A =$1,000 or Jess B =$1,001 -$500 c =$2,501 -$5.000 D'=$ $15,000 E =$ $50,000 (Sec Columns ll I and D4) F =$50,00 I - $I 00,000 G =$100,00 I - $1, Ill =$1.000,001 - $ ll =More than $5,000,000 Value Codes J =$ or less K =$15,001 $ L =$50.00 I -$ M =$ I -$ (Sec Columns CI and D3) N =$ I -$ =$500,00 I -$ Pl =$1, $5,000,000 1'2 =$ $25, '3 =$ $ P4 =More than $ Value Mc1hod Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =llook Value V=Othcr W =Estimated

7 Page 7of9 MCNAMEE, STEPHEN M. 07/19/2013 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, va111e, transactions r1nc1udes those of spouse and dependent children; see PP 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) (2) (I) (I) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of (2) (2) exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 51. -!SHARES BARCLAY AGENCY BOND FUND(AGZ) 5 - PIMCO FOREIGN BOND FUND (PFBPX) 5 - SPDR GOLD TRUST (GLD) 5 - CD BLOOMFIELD STATE BANK Redeemed 01/05/12 J A I. Income Gain Codes: A or less B =$1,001 -$500 C =$2,50 I -$5,000 D =$ $ E =$15,001 -$50,000 (Sec Columns BI ond D4) F =$50,00 I -$I G =$100,001 -$ Ill =$1,000,001 -$ =More than $5,000,000 Voluc Codes J =$ or less K =$ $ L =$ $ M =$ $250,000 (Sec Columns Cl and DJ) N =$ $ =$500,00 I -$ Pl =$ $5, P2 =$5.000,001 -$25,000,000 1'3 =$ $ P4 =More than $ Value Mclhod Codes Q =Appraisal R =Cos1 (Real Estalc Only) S =Assessment T =Cash Market (Sec Coh1111n C2) U =Book Value V =Olhcr W =Estimated

8 Page 8of 9 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreport.)

9 Page 9of9 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. 7353, and Judicial Conference regulations. Signature: s/ STEPHEN M. MCNAMEE 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 Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C