[{ NONE (No reportable positions.)

Transcription

1 AO JO Rev FINANCIAL DISCLOSURE REPORT Repor/ Required by the Ethics in Go1 ernment Act of 1978 FOR CALENDAR YEAR 2011 (5 U.S.C. app. JOI-I I I) Person Reporting (last name, first, middle initial) Court or Organization Date or Report Williams, Stephen F. U.S. Court of Appeals, DC Ci Title (Article Ill judges indicate active or senior status; Sa. Report T) pe (check appropriate type) 6. Reporting Period magistrate judges indicate foll- or part-time) Article III Judge, Senior Status D Nomination Date D Initial [{ Annual Sb. D Amended Report D Final 01/01/2011 to 12/31/ Chambers or Orlice Address U.S. Court of Appeals 333 Constitution Avenue, NW Washington, DC IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have 110 reportable information. Insert signature on last page. I, POSIT! ONS. (Reporting individual only; see pp of filing ins/rue/ions.) [{ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY 5. I AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS

2 Page 2of8 Williams, Stephen F. II NON-INVESTMENT IN CO ME. (Reporting indfrid11al and.<pn11se; see pp. 17-U of filing instructions.) A. Filer's Non-Investment Income [{ NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) B. Spouse's Non-Investment Income - l/j ou were married during any portion of the reporting }'ear, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE 2011 DC Public Schools (S) IV. REIMBURSEMENTS - transportation, lodging, food, entertain ment. (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED University of Colorado February 10-February Silicon Flatirons Program, Panel discussion, telecom Transportation, food and lodging 14, 2011 Boulder, Colorado School oftrans-national February 22-March 2, Shenzhen, China Teach classes Transportation, food and lodging Law 2011 Mentor Group April 9-April 17, Stanford Law School, Panel discussions Transportation, food and lodging 2011 Stanford CA Federalist Society October 17, 2011 Columbia Law School, NY Deliver lecture Transportation, food and lodging 5. Univ. of Penn Law October 24, 2011 Univ. of Penn Law School, Book Symposium Transportation, food and lodging. Philadelphia, PA

3 Page 3of8 Williams, Stcphrn F. V. GI FT S. (Includes those to spouse and dependent children; see pp. 28-3I of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 5. V LIABILITIES. (Includes t/iose of spouse and dependent cliildren; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 5.

4 Page 4of8 Williams, Stephen F. VI INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes tlwse 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) (2) (I) (2) (3) (4) (5) Place "{X)" alier each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/y y Code2 Code I buyer/seller (A-II) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) Trusl # I Chase Manhattan (J.P. Morgan mutual funds) N.l B Int/Div L T Dreyfus S&P 500 Fund B Dividend L T Dreyfus S&P 500 Fund. D Dividend N T Vanguard Index 500 D Dividend M T 5. Vanguard Prime MM Fund A Dividend K T 6. Vanguard Index 500. D Dividend N T 7. Vanguard Mid-Cap Index D Dividend N T 8. Vanguard Prime MM Fund. A Dividend J T 9. Vanguard Mid-Cap Index. c Dividend N T 10. Barrick Gold Corp. A Dividend K T 11. Gold Corp., Inc A Dividend K T 1 House, Boulder, CO D Rent 0 w 1 PNC Bank. A Interest L T 1 TIAA CREF Ret. Annuities c Distribution M T 15. Neslle A Dividend L T 16. Proclor & Gamble A Dividend K T 17. Questar A Dividend K T l. Income Gain Codes: A =$1.000 or less lj =$ $500 c =$501 - $5.000 D =$ $ E =$ $ (Sec Columns Bl and D4) f =$ $ G =$! $ Ill =$1.000,001 $5.000, =More than $ V::l11c Codes J =$ or less K =$15.00t - $ L =$50.00 I - $I M =$ $250,000 (Sec Columns Cl and 03) N =$ $ =$ I - $ Pl $ $ P2 =$ I - $ PJ =$ I $ N =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Vafuc V =Other W=ES1ima1cd

5 Page 5 of 8 Williams, Stephen F. VI INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (1nc111des those of spouse and dependent children; see PP offilinc instructions.) A. 8. c. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period D. (I) (2) (I) (2) (I) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value (Q-W) (2) (3) (4) (5) Gain Identity of Code I exempt from prior disclosure div., rent, Code2 Method buy, sell, mrndd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private transaction) 18. QEP Resources A Dividend K T 19. Bank of America A Dividend J T 20. Merck A Dividend K T 21. JP Morgan Access Balanced Fund D Dividend L T 2 JP Morgan Access Growth Fund B Dividend L T Buy 02/18/11 M 2 JP Morgan cash reserve. A lnt./div. K T 2 JP Morgan Access Balanced Fund. D Dividend L T 25. JP Morgan Access Growth Fun. A Dividend L T Buy 02/18/11 M 26. JP Morgan Money Market Deposit Account A lnt./div. Sold 02/18111 L 27. JP Morgan cash reserve. A lnt./div. J T 28. Trust No. 2, BNY Mellon, Dreyfus Mutual A Dividend K T Funds 29. BNY Mellon Mutual Funds A Dividend L T 30. BNY Mellon Cash Reserve Account A Dividend J T 31. ETF Vanguard Emerging Markets A Dividend J T 3 Strategic Global Stock Fund A Dividend J T 3 Vanguard Prime MoneyMarket (CDW-T) N. A Dividend K T 3 3 Mid-Cap Index Vanguard (CDW-T) B Dividend M T Income Gain Codes: A =$1.000 or less ll =$ $500 c =$501 -$5.000 D =$ $t5.000 (Sec Columns BI and 04) f =$ $ G =$! $ Ill =$1,000,001 - $ =More than $ Value Codes J :0$ or less K=$ $ L =$ $ M =$ $ (Sec Columns Cl and 03) N =$ $ =$ I -$ Pl =$ $5,000,000 P2 =$5, $25, E =$15.00 I - $ P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Uook Value V =Othcr W =Estimritcd

6 Page 6of8 Williams, Stephen F. VI INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, vatue, transactions r1nc1udes those of spouse and dependent c11itdren: see PP >ffiling instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period ofreponing period (I) (2) (I) (2) (I) (2) (3) (4) (5) Place "{X)" afler each asset exempt from prior disclosure Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of 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) redemption) (J-P) (A-H) (if private (Q-W) transaction) 35. PRIME Cap, Vanguard (CDW-T) A Dividend L T 36. Total lnt'i Stock Index, Vanguard (CDW-T) c Dividend L T 37. JP Morgan cash reserve (CDW-T) A lnt./div. K T 38. JP Morgan Access Balanced Fund (CDW-T) B Dividend N T 39. JP Morgan Money Market Deposit Account A lnt./div. Sold 02117/11 M 40. JP Morgan, cash reserve (IRA) A Jnt./Div. L T 41. JP Morgan Access Balanced Fund (IRA) D Dividend 0 T 4 Morgan Stanley 2-YR Asian None K T Outperformance Note (IRA) 4 Goldman Sachs SPX Bren (IRA) None Redeemed 06/10/11 K c 4 Morgan Stanley Market Plus SPX (IRA) None K T 45. Barclays Bren Commodities Note (I 0/2/12) None K T Buy 03/25/11 K (IRA) 46. BNP Paribas Emerging Consumer Products None Sold 05/11/11 K c Note (IRA) 47. Goldman Sachs SPX Note (6/10/12) (IRA) None L T Buy 06/10/11 K 48. JP Morgan Short Duration Bond Fund A Dividend M T 49. JP Morgan Access Balanced Fund. IRA) A Dividend M T 50. JP Morgan cash reserve. IRA) A Interest J T 51. SSgA Age Based IRA)) N.4 None J T Income G::in Codes: A =$L.OOO or less ll =$ $500 c =$50t. $5.000 D=$5.00t $ E =$ $ (Sec Columns Bl and 04) f =$ $ G =$ J00.00 I - $ Ill =$1.000,001 - $ =More than $ Value Codes J =$ or less K =$15,001 - $ L =$ $ M =$100.00t -$ (Sec Columns Cl and 03) N =$ t - $ =$ I - $ Pl =$ $ '2 =$ t $ PJ =$ I - $ P4 =More thon $ Value Method Codes Q =Appraisal R ::Cost (Real Estate Only) S =Assessment T ::Cash Market (Sec Column C2) U =Hook Value V =Other W =Estimated

7 Dale or Report Page 7of8 Williams, Stephen F. VII ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate parto/report.) This is a trust established by my grandparents of which I am a life beneficiary. The assets noted on this and the next four lines are held by a testamentary trust established of which I am the life beneficiary. "(CDW-n" signifies that the asset is held by a testamentary trust established of which I am the life beneficiary. entitlement to this is in dispute. I will report the dispule's resolution when ii occurs.

8 , FINANCIAL DISCLOSURE REPORT Page8of8 Williams, Stephen F. 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. SOI et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ Stephen F. WiJliams 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