[{ NONE (No reportable agreements.) D Nomination D Initial [Z Annual. D Final FINANCIAL DISCLOSURE REPORT

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. IOI-I I I) J. Person Reporting (last name, first, middle initial) Court or Organization Prost, Sharon Federal Circuit 05/15/2013 Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time) Circuit Judge Active Sa. Report Type (check appropriate type) D Nomination Date D Initial [Z Annual Sb. D Amended Report D Final 6. Reporting Period 01 /01/2012 to 12/31/ Chambers or Offce Address U.S. Court of Appeals, Fed Cir 717 Madison Pl., NW Washington, DC IMPORT ANT 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. POSITIONS. (Reporting individual only; see pp of filing instructions.) [{ 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 2of9 Prost, Sharon 05/15/2013 II N 0N-JNVESTMENT IN CO ME. (Reporting individual and spouse; see pp 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 - If you were married during any portion of the reporting year, complete this section. (Dollar amount not required exceptfor honoraria.) [{ NONE (No reportable non-investment income.) SOURCE AND TYPE IV. REIMBURSEMENTS -transportation, lodging, fo od, entertainment. (Includes those to >pouse and dependent children; see pp (filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED University of Washington School of Law CASRlP 03/18-25/2012 Rome, Italy Conference panelist Transportation, food, lodging Joint Patent Practice Continuing Legal Education, Inc. 04/16-17/2012 New York City, NY Keynote speaker Transportation, food, lodging Stanford Law School 04/26-27/2012 Stanford, CA Conference panelist Transportation, food, lodging Federal Circuit Bar Assoc. (with the US Patent and Trademark Offce) 05/22-23, 26-06/03/ 12 Beijing and Shanghai, China Conference panelist Transportation, food, lodging

3 Page 3 of 9 Prost, Sharon 05/15/ China International Pharma, Taizhou, China Confernce speaker Transportation, food, lodging Biotech & Chemical IP Forum 6. Federal Circuit Bar 06/20-23/2012 San Diego, CA Conference panelist Transportation, food, lodging Association 7. Intellectual Property Law 11/02-03/2012 Chicago, IL Judges' Dinner Transportation, food, lodging Association of Chicago 8. Intellectual Property Section 11/08-11/2012 Cancun, Mexico Conference panelist Transportation, food, lodging of the State Bar of Georgia

4 Page 4of9 Prost, Sharon V. GIFTS. (Jnc/11des those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 5. V LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 5.

5 Page 5 of9 Prost, Sharon 05/15/2013 VI 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 of reporting period {I) (2) (Q-W) (2) (3) (2) {I) {I) (4) (5) 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, Code2 Method buy, sell, mm/dd/y)' Code2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private transaction) Supreme Industries Inc A Dividend J T Buy 06/12/12 J ML Fundamental Growth Mutual Fund None J T CMA Tax-Exempt Fund A Interest J T General Electric Company A Dividend J T 5. Pioneer - Pioneer Value Fund CIA A Dividend K T 6. American Funds - SmallCap World Fund None J T Inc. CIA (Am. Century) 7. WGL Holdings Inc. c Dividend K T 8. **American Funds - Capital World Growth None K T Income Fund (SeeVIII 9. **American Funds New World Fund (See A Dividend L T Buy 07/13/11 L Vlll) IO. Rental Property, Silver Spring, MD D Rent M w 11. United States Senate FCU - Account B Interest M T 1 United States Senate - ROTH IRA A Interest J T 1 Pioneer - Pioneer Mid-Cap Growth Fund - A Dividend K T IRA 1 M&T Bank - IRA A Interest J T 15. PNC Bank - IRA A Interest J T 16. U.S. Government Fund - The Reserve Fund A Dividend J T -IRA 17. Merill Lynch Life Insurance Cash Surrender A Dividend L T Value Income Gain Codes: A =$1,000 or less B=$1.00l -$500 c =$501 $5.000 D =$5.001 $ E $ (Sec Columns Bl and D4) F =$50.00 I $I G =$ $ Ill =$ $ H2 =More than $ Value Codes J =$ or less K =$ $ L =$50.00 I $I M =$ $ (Sec Cohnnns Cl and DJ) N =$ $ =$500,00 I $1, Pl =$ $ P2 =$ $ '3 =$ $ P4 =More than $ Value MclhC>d Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V=Othcr W =Estimated

6 Page 6 of9 Prost, Sharon VI 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.j A. B. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (2) (I) c. (I) (2) (I) (2) (3) (4) (5) 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) 18. PNC Bank - CDs B Interest L T 19. American Funds - Euro Pac Growth A Dividend J T 20. Goldman Sachs TR Mid-Cap Value Fund None J T 21. **Pentair Inc. (See VIII) A Dividend Sold 07/13/11 J A 2 **American Funds Growth Fund America None K T (See VIII) 2 American Century New Opportunities/ None J T 2 Eaton Vance Large Cap Value A Dividend J T 25. Hartford Growth Opportunities None J T 26. Artio Global Investment Funds International A Dividend Sold J A Equity II I 27. Blacklock Global A Dividend J T 28. Dreyfus Appreciation A Dividend J T 29. Royce Pennsylvania Mutual Fund A Dividend J T 30. Thomas White Intl A Dividend J T Buy 02113/12 J 31. Thornburg International Value Fund A Dividend J T 3 Wells Fargo Adv Emerging Growth None J T 3 Westcore Small Cap Value Fund A Dividend J T 3 ishares Russell 1000 Growth Index Fund A Dividend J T Income Gain Codes: A =$1.000 or less 13 =$ $500 C =$50 I - $ =$ $ E =$ $ (Sec Colurnns Bl and 04) i: =$ $ G =$ $ Ill =$ $ =More than $ Value Codes J =$ or less K =$ $ L =$50.00 I $ M =$ $ (Sec Colurnns Cl and 03) N =$ I $ =$ I $ Pl =$ $ P2 =$ $ '3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W ::Estimated

7 Page 7of9 Prost, Sharon 05/15/2013 VI 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 of reporting period (I) (2) (I) {I) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of e><empt 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) (2) (3) 35. ishares Russell 1000 Value Index F u nd A Dividend J T 36. Ohio (Bldg Auth) A Interest Sold 09/19/12 K B 37. Jefferson County, CO A Interest K T 38. Oregon St. Dpt. Admin. A Interest Sold 10/02/12 K B 39. Spring Branch, TX lndpt. School Dist. A Interest K T 40. University Tex. A Interest K T 41. Georgia A Interest K T 4 Ohio St Major New St Infrastructure A Interest J T 4 MFS Value! Fund A Dividend J T Sold I 1/13/12 J A (part) 4 Clackamas OR Cmty College A Interest K T 45. NY St EFC St Cln-Drinking Wtr A Interest K T 46. Tampa Fla Sales Tax Rev RF A Interest K T 47. New Jersey St Tran TR FD Auth A Interest K T 48. California Health Faes Fing Auth Rev A Interest K T 49. Virginia St PSA Sch Fing A Interest K T 50. New York, NY Ser B A Interest K T Buy K 51. Cleveland Ohio Wtr Rev A Interest K T Buy K Income Gai11 Codes: (Sec Columns Ill and 04) Value Codes (Sec Columns Cl and 03) A =$1.000 or less I' =$ $ J =$ or less N =$ $ ll=$1.00l -$500 G =$ $ K =$ $ =$ I $ c =$501 -$5.000 Ill =$ $ L =$50.00 I -$ Pl =$1, $5, =$5.001-$ =More than $5, M =$ $ P2 =$ $25, '3 =$ $ '4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated E =$ $50.000

8 Page 8of9 Prost, Sharon 05/1 5/2013 VII ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreport.) Line 8 American Funds Capital World Growth was listed in 201 I as being sold, it should have been listed as a partial sale. Line 9 American Funds New World Fund was purchased in 201 I but inadvertently not listed on my report Line 2 I Pentair was sold in 2011 but was not noted as sold on my 2011 report Line 22 American Funds Growth Fund America was listed as sold on I 0/15/09 but should have been listed as a partial sale.

9 Page 9of9 Prost, Sharon 05/15/2013 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/ Sharon Prost 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