AO JO FINANCIAL DISCLOSURE REPORT Rev. I /2007 FOR CALENDAR YEAR 2006 (5 U.S.C. app. 101-111) Report Required by the Ethics in Government Act of1978 I. Person Reporting (last name, first, middle initial) Court or Organization Date of Report MCCONNELL, MICHAEL W UNITED STATES COURT OF APPEALS 08/05/2007 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. COURT OF APPEALS - FULL Sa. Report Type (check appropriate type) D Nomination, Dale D Inilial Annual D Final 6. Reporting Period 01/01/2006 to 12/31/2006 7. Chambers or Office Address FEDERAL BUILDING, SUITE 5402 125 SOUTH STATE STREET SALT LAKE CITY, UT 84138 Sb. D 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 Date IMPORTANT NOTES: The ins/ructions 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. J. POSJTJO NS. (Reporting i11dividual only; see pp. 9-13 of illstructio11s.) NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY 1. 4. II. AGREEMENTS, (Reporti11g individual 011/y; see pp. 14-16 of instructions.) 1. NONE (No reportable agreements.) PARTIES AND TERMS c: ( ro, CJ -,- C' (.0 c.. - :: / rr C.. -- ' 0 T -q 1- " rr,_.. = c-;_::i c-) ['._) 0 1J f: C) w _,,..,.,,.; rn t; ""- " J rn c< m 0
Name or Person Reporting Date or Report Page 2 of 9 MCCONNELL, MICHAEL W 08/ 05/2007 III. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. I 7-24 of instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) 1.2006 YALE UNIVERSITY, PUBLICATION ROYALTIES $ 90 2006 STANFORD UNIVERSITY, TEACHING $20,000 2006 UNIVERSITY OF UTAH, TEACHING $ 4,780 4.2006 ASPEN PUBLISHING CO., PUBLICATION ROYALTIES $2,845 B. Spouse'S Non-Investment Income - If 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 4. IV. REIMBURSEMENTS -- transportation, lodging, food, entertainment. (Includes those to spouse and dependent children. See pp. 25-27 of instructions.) D NONE (No reportable reimbursements.) SOURCE DESCRIPTION I. Stanford Law School Feb.5 - Feb. 24, Stanford, CA, Teaching, (Transportation, lodging, meals) Liberty Fund Colloquium Mar. 9 Mar. 10, San Francisco, CA, Lecture, (Transportation, lodging, meals) University of Texas at Austin Law School Mar. 30 Mar. 31, Austin, TX, Seminar participant, (Transportation, lodging, meals) 4. Olin Fellows Federalist Society Apr. 25 Apr. 27, New York City, NY, Seminar participant, (Transportation, lodging, meals) The University of Chicago - The Law School May 4 May 5, Chicago, IL, Seminar participant, (Transportation, lodging, meals)
Name or Person Reporting Date or Report Page 3 of 9 MCCONNELL, MICHAEL W 08/05/2007 6. Australian National University May 22 - Jun. 2, Canberra, Australia, Seminar participant, (Transportation, lodging, meals) 7. Louisville Federalist Society Jun. 22 - Jun. 23, Louisville, KY, Seminar participant, (Transportation, lodging, meals) 8. James Madison College, Michigan State University Oct. 12 - Oct. 13, East Lansing, Ml, Seminar partiicipant, (Transportation, lodging, meals) 9. The Henry Institute, Calvin College Oct. 13 - Oct. 14, Grand Rapids, Ml, Seminar participant, (Transportation, lodging, meals) 10. New York University, The Brennan Center for Justice Oct. 25 - Oct. 27, New York City, NY, Seminar participant, (Transportation, lodging, meals)
Dale of Report Page 4 of 9 MCCONNELL, MICHAEL W 08/05/2007 V. G JFTS. (Includes those to spouse and dependent children. See pp. 28-31 of ins/ructions.) [K NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 1. 4. VI. LIABILITIES. (ltcludes those of spouse and dependent children. See pp. 32-33 of instructions.) [K NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 4.
Date of Report Page 5 of 9 MCCONNELL, MICHAEL W 08/05/2007 VII. INVESTMENTS and TRUSTS - - income, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. c. D. Income during Gross value at end of Transactions during reporting period reporting period reporting period (1) (1) (1) (3) (4) (5) Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity of Code 1 div., rent, Code 2 Method buy, sell, Month- Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) transaction) 1. FIDELITY INVESTMENTS IRA #1 SPARTAN 500 INDEX FUND A Dividend J T FIDELITY CASH RESERVES A Int./Div. J T 4. FIDELITY INVESTMENTS IRA #2 FIDELITY WORLDWIDE FUND D Dividend L T 6. FIDELITY EMERGING MARKETS FUND A Dividend K T 7. FIDELITY CASH RESERVES ACCOUNT A Int./Div. J T 8. FIDELITY BLUE CHIP GROWTH A Dividend J T 9. TIAA CREF 10. TIAA TRADITIONAL E Dividend N T 11. CREF STOCK FUND E Dividend N T 1 CREF EQUITY INDEX FUND E Dividend N T 1 CREF GLOBAL EQUITIES FUND D Dividend K T 14. DODGE & COX STOCK FUND (401K) E Dividend N T 1 DWS EQUITY 500 INDEX FUND F/K/A D Dividend L T SCUDDER (401K) 16. JENNISON SMALL COMPANY Z FUND B Dividend M T BUY 11/30 M (401K) 17. DRYFUS PREMIUM SMALL EQUITY c Dividend L T I. Income Gain Codes; A =Sl,000 or less B =St.001 -$2,500 C =S2,501 - S5,000 D =S5,001 -Sl5,000 E =Sl5,001 - $50,000 (See Columns Bl and 04} F =550,001-5100,000 G =Sl00,001 Sl,000,000 HI =Sl,000,001 -$5,000,000 H2 =More than 55,000,000 Value Codes J =S 15,000 or less K =515,001 -$50,000 L =550,001-5100,000 M =S 100,001-5250,000 (See Columns CJ and 03) N =$250,001 - $500,000 0 =S500,001 -Sl,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000,001 $25,000,000 Value Method Codes P3 =S25,000,001 -$50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) Q =Appraisal V =Other S =A<i U =Book Value W =Estimaled
Date of Report Page 6 of 9 MCCONNELL, MICHAEL W 08/05/2007 VII. INVESTMENTS and TRUSTS -- D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of the spouse and dependent children. see PP 34-60 of filing instructions.; A. B. c. D. Description of Assets Income during Gross value al end of Transactions during reporting period (including trust assets) reporting period reporting period (1) (1) (3) (1) (J-P) (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 1 div., rent, Code 2 Method buy, sell, Month - Code 2 Code 1 buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (A-H) (if private (0-W) transaction) FUND (401K) 18. ST! CLASSIC SMCAP GR STOCK T E Dividend SELL 11/30 M A FUND (401K) 19. WELLS FARGO (BANK ACCOUNT) A Interest J T 20. BROKERAGE ACCOUNT #1 21. FIDELITY WORLD WIDE FUND A Dividend SELL 3/15 J B 2 SPARTAN TOTAL MARKET INDEX A Dividend J T SELL 12/5 J A FUND 2 SPARTAN 500 INDEX FUND A Dividend L T SELL 12/5 K D 24. FIDELITY MAGELLAN FUND A Dividend L T 2 FIDELITY MUNICIPAL MONEY A Interest J T MARKET 26. FIDELITY RETIREMENT RESERVES D ln t./div. L T ANNUITY 27. SPARTAN 500 INDEX FUND (SEP IRA) A Dividend J T 28. FIDELITY CASH RESERVES (SEP IRA) A lnt./div. J T 29. SPARTAN 500 INDEX FUND (UTMA) A Dividend SELL 12/5 J A 30. SPARTAN 500 INDEX FUND (UTMA) B Dividend J T SELL VAR K A 31. SPARTAN 500 INDEX FUND (UTMA) A Dividend SELL 12/5 J A 3 NATIONWIDE VARIABLE LIFE A Interest K T INSURANCE 3 FIDELITY MAGELLAN FUND (IRA) E Dividend M T I. Income Gain Codes: A =$1,000 or less B =$1,001 - S2,500 c =$2,501 - $5,000 0 =$5,001 - $15,000 E =$15,001- $50,000 (See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 - $1,000,000 HI =Sl,000,001 - $5,000,000 H2 =More than $5,000,000 Value Codes J =Sl5,000 or less K =$15,001 - $50,000 L =$50,001 - Sl00,000 M =S!00,001 - $250,000 (See Columns Cl and 03) 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 Value Method Codes P3 =$25,000,001 $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (Sec Column C2) Q =Appraisal V =Other S =Assessment U =Book Value W =Estimated
-- FINANCIAL DISCLOSURE REPORT Name or Person Reporting Date or Report Page 7 of 9 MCCONNELL, MICHAEL W 08/05/2007 VII. INVESTMENTS and TRUSTS D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of/he spouse and dependent children. See pp. 34-60 of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period - Place "(X)" after each asset exempt from prior disclosure (1) Amount Code I (A-H) Type (e.g. div., rent, or int.) (!) Value Code 2 (J-P) Value Method Code 3 (Q-W) (!) Type (e.g. buy, sell, redemption) Date Month- Day (3) Value Code 2 (J-P) (4) Gain Code I (A-H) (5) Identity of buyer/seller (if private transaction) 34. FIDELITY LOW PRICED STOCK FUND E Dividend M T (IRA) 1. Income Gain Codes: A =Sl,000 or Jess B =Sl,001 -$2,500 c =$2,501 -$5,000 D =S5,001 -Sl5,000 E =Sl5,001 - $50,000 (See Columns Bl and D4) F =$50,001 -$100,000 G =Sl00,001 -$1,000,000 Hl =Sl,000,001 $5,000,000 H2 =More than $5,000,000 Value Codes J =S 15,000 or less K =$15,001 - $50,000 L =S50,001 -Sl00,000 M =$100,001 - $250,000 (Sec Columns Cl and 03) 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 3 Value Method Codes (Sec Column C2) P3 =525,000,00t - $50,000,000 0 =Appraisal U =Book Value R =Cosl (Real Eslalc Only) P4 =More than $50,000,000 T =Cash Market V =Other S =As.essmenl W =Estimated
Date of Report Page 8 of 9 MCCONNELL, MICHAEL W 08/05/2007 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (llldicate partofreport.)
Date of Report Page 9 of 9. MCCONNELL, MICHAEL W 08/05/2007 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. NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544