financial disclosure report in government act of 1978 (5 usc · financial disclosure report . ......

SELF INITIATED AMENDMENT

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AO 10 in Government Act of 1978 Rev. 112008 FOR CALENDAR YEAR 2007 (5 USC opp.§§ 101-111)

I. Person Reporting (last name, first, middle initial)

SCHROEDER, MARY M

2. Court or Organization

US COURT OF APPEALS - 9TH CIRCUIT

3. Date of Report

05/06/2008

4. Title (Article llI judges indicate active or senior status; magistrate judges indicate full- or part-time)

ACTIVE - CIRCUIT JUDGE

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial [2] Annual D Sb. D Amended Report

Final

6. Reporting Period

Ol/OJ/2007 to

12/31/2007

7. Chambers or Office Address

U.S. COURTHOUSE, SUITE 610 401 W. WASHINGTON ST., SPC. 54 PHOENIX, AZ 85003-2156

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 Jaws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable informatio1 Sign on last page.

J. POSJTJ ONS. (Reporting individual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

l. COUNCIL MEMBER AMERICAN LAW INSTITUTE

2. TRUSTEE •••TRUST#!

3. ADVISORY BOARD MEMBER LOWELL OBSERVATORY

4.

5.

JJ. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

0 NONE (No reportable agreements.)

PARTIES AND TERMS

l.

2.

3.

2.2007

2.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of7 0510612008SCHROEDER, MARY M

Ill, NON-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-14 of filing instructions.)

A. Filer's Non-Investment Income

G2J NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

1.

2.

3.

4.

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this sectiorc

(Dollar amount not required except for honoraria)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. 2007 ARIZONA STATE UNIVERSITY - SALARY

ALEX E. SOLUTIONS, INC. (SHESHUNOFF INFORMATION SERVICES) - BOOK ROY ALTY

3.

4.

IV. REIMBURSEMENTS - transportation, /odging,food, entertainmenl

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. LA WYERS CLUB OF 5111/07 - SAN DIEGO, KEYNOTE TRANSPORTATION, FOOD, HOTEL SAN DIEGO 5/12/07 CALIFORNIA SPEAKER

UNIVERSITY OF 5118/07 - MISSOULA, SPEAKER TRANSPORTATION, FOOD, HOTEL MONTANA LAW 5120107 MONTANA SCHOO

3. AMERICAN LAW INSTITUTE

10/17/07 -I 0/19/07

NEW YORK, NEW YORK

SPEAKER/PRESENTER TRANSPORTATION, FOOD, HOTEL

4.

5.

4.

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

of7 SCHROEDER, MARY M 05/06/2008

V. GIFTS. (includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

D NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I. ARIZONA CLUB HONORARY MEMBERSHIP - DUES $ 1,020.00

2.

3.

4.

5.

VJ. LJABJLJTJES. (includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

G2J NONE (No reportable liabilities.)

DESCRIPTION VALUE CODE CREDITOR

I.

2.

3.

5.

(I) --·

-----------

-

(2) (2) (3)

.Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of7 0510612008SCHROEDER, MARY M

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of 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)

B.

Income during

reporting period

G

c.

ross value at end of

reporting period

··--·--

D.

Transactions during reporting period

(I) (I)(2) (4) (5) Place "(X)" after each asset Amount Type (e.g. Value

exempt from prior disclosure Code I div., rent, Code 2

(A-H) or int.) (J-P)

l. JP MORGAN CHASE ACCOUNTS D Interest M

2. WACHOVIA MYM FUND A Dividend J

3. LINCOLN NAT'L LIFE A Interest J

Value

Method

Code 3 (Q-W)

T

T

T

Type (e.g.,

buy, sell,

redemption)

Date

Month-

Day

Value Gain

Code 2 Code I (A-H) (J-P)

Identity of

buyer/seller

(if private

transaction)

4.

5.

6.

7.

8.

9.

JO.

J J.

1 2.

13 .

14.

15 .

16 .

17.

FRANKLIN FUND AZTXFR INC

EQUITABLE 300+ STOCK FUND-IRA

VALIC FIXED PLUS FUND

VAL!C MIDCAP INDEX

VAL!C STOCK INDEX

V ALIC INT'L GOVT BOND

V ALIC SCIENCE & TECH.

SAGUARO LTD. PTRNSHIP (MESA REAL EST.)

TIAA (RET. ANN.)

AZ. ST. CREDIT UNION

VALIC GOVT SEC

VALIC INT'L GROW

V ALIC SMCAPEQ

VAL!C SHORT TERM FIXED

A

D

E

A

A

Int./Div. K

None L

Interest M

None L

None L

None M

None K

None J

Interest 0

Interest K

None L

None K

None J

Interest J

T

T

T BUY MONTHLY

T BUY MONTHLY

T BUY MONTHLY

T BUY MONTHLY

T

w TERMINATED

T

T

T BUY MONTHLY

T BUY MONTHLY

T BUY MONTHLY

T

J

J

J

J

J

6129 M

J

J

J

3/2 I J .

TRANSFER TO VALIC

TRANSFER TO OTHER FUND

l. Income Gain Codes: A =oo$ l ,OOO or less B $1,001 -$2,500 c $2,501 -$5,000 D =$5,00 I -$15,000 E =$15,00 I -$50,000

(See Columns BJ and D4) F $50,001 -$100,000 G $100.001 -$1.000,000 HI $1.000,001 -$5,000,000 ll2 More than $5,000,000

2. Value Codes J =$15,000 or less K $15,001 -$50,000 L $50,00 I -$I 00,000 M =$100,001 -$250,000

(See Columns Cl and DJ) N $250,001 -$500,000 0 $500,001 •$1.000,000 PI $ J ,000,00 I - $5,000,000 P2 $5,000,001 -$25.000,000

PJ $25,000,001 -$50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q ""Appraisal R ost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U =Book Value v otber W =Estimated

-

---------------·

--- -· (I) (2) (!)

-- --

(4u- ---·--(5-) -·---

-�--··�-··

------------"---------- ···--------·--·-·-

(J-P)


of7 SCHROEDER, MARY M 0510612008

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 14-60 of filing instructions.)

0 NONE (No reportable income, assets, or transactions.) ·--- -··--··--·

n of Assets

A

Descriptio

B. Income during

c. Gross value at end of

D.

Transactions during reporting period

reporting period reporting period (including trust assets)

(I)

Place "(X)" a fter each asset Amount

exempt from p rior disclosure Code I

(2)

Type (e.g., Value

div., rent, Code 2

(2)

DateValue Type (e.g., MonthMethod buy, sell,

(3)Value Gain Identity of

Code 2 Code I buyer/seller (A-H) Dayor int.) (J-P) Code 3 redemption) (A-HJ (if private

transaction)(Q-W) ...__. .

18. V ALIC SET RA TE 7 YR. D Interest N T

19. VALICMYM None M T 7/21 TRANSFER FROM

TIAA

1. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 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 =$100,00 I - $1,000,000 HI =$1,000,001 -$5,000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 · $50,000 L =$50,001 -$100,000 M =$100,001 - $250,000

(SeeColumnsCl arlD3) 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

PJ =$25,000,001 -$50,000,000 P4 =More than $50,000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(See Column C2) U =Book Value V =Other W =Estimated


of7 SCHROEDER, MARY M 0510612008

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparto/Report.)


of7 05/06/2008SCHROEDER, MARY M

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.

Sign a

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

CJ

<

a:::::

U.S. COURTHOUSE, SUITE 610MARY M. SCHROEDER 401 W. WASHINGTON ST., SPC 54

JUDGE PHOENIX, AZ. 85003-2156 UNITED STATES COURT OF APPEALS (602) 322-7320

FOR THE NINTH CIRCUIT

July 11, 2008

,.._, = =

0 (/) = ;.oOrtrie D. Smith, Chair Gr-··-:-·

'- rn =

Judicial Conference of the United States .- (')��. NCommittee on Financial Disclosure rn

One Columbus Circle, N.E. o> )> ..,, , rnWashington, D.C. 20544 ..,, -.. 0

.i= ()

rn Re: Clarification of 2007 Disclosure Statement

Mr. Smith:

In response to your correspondence of June 24, 2008 requesting information

regarding the assets of - Trust # 1, please note that the following items

from Part VII of my 2007 Disclosure Statement are all assets of- Trust

#1:

Line 6 V ALIC FIXED PLUS FUND Line 14 VALIC GOV'T SEC.

Line 7 V ALIC MIDCAP INDEX Line 15 VALIC INT'L GROW

Line 8 V ALIC STOCK INDEX Line 16 V ALIC SMCAPEQ

Line 9 VALIC INT'L GOV'T BOND Line 17 VALIC SHORT TERM FIXED

Line 10 V ALIC SCIENCE & TECH. Line 18 V ALIC SET RATE 7 YR.

Line 12 TIAA (RET. ANN.) Line 19 VALIC MYM

Line 13 AZ. ST. CREDIT UNION

I believe this satisfies your request. Should you need further clarification,

please do not hesitate to contact me.

.,, (")

3.

Repo11 Required by the Ethics AOJO FINANCIAL DISCLOSURE REPORT

in Government Act of 1978 Rev. 1/2008 FOR CALENDAR YEAR 2007 (5 U.S.C app. §§ 101-111)

I. Person Reporting (last name, first, middle initial)

SCHROEDER, MARY M

2. Court or Organization

US COURT OF APPEALS - 9TH CIRCUIT

3. Date of Report

05/06/2008

4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)

ACTIVE - CIRCUIT JUDGE

Sa. Report Type (check appropriate type)

D Nomination, Date

D Initial 0 Annual D Sb. D Amended Report

Final

6. Reporting Period

01/01/2007 to

12131/2007

7. Chambers or Office Address

U.S. C OURTHOUSE, SUITE 6!0 401 W. WASHINGTON ST., SPC. 54 PHOENIX, AZ 85003-2156

8. On the basis of the information contained in Ibis Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this form must btfollowed. Complete an parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

J. P OS JTJ 0 NS. (Reporting indi:vidual only; see pp. 9-JJ of filing instructions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I. COUNCIL MEMBER AMERJCAN LAW INSTITlITE

2. TRUSTEE - TRUST#!

3. ADVISORY BOARD MEMBER LOWELL OBSERVATORY

4.

5.

JJ. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

G2J NONE (No reportable agreements.)

I.

2.

(/) figClQ('"") :::0

r--i-1 ::i:: rna::-;:(j) -'1"'.1- -< ("')c:l> I:::oz co -rri£?

rn

C))> <u rn

l:Y 0

0-PAR TIES AND TERMS

.,, ,

fTt

--

4.

2.2007

IV. REIMBURSEMENTS - transportation, lodging.food, entertainment

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

D NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

I. KEYNOTE SPEAKER

TRANSPORTATION, FOOD, HOTEL

2. SPEAKER TRANSPORTATION, FOOD, HOTEL

LA WYERS CLUB OF SAN DIEGO

U.S. COURTS

5/11/07 -5112107

5113/07 -5/16/07

SAN DIEGO, CALIFORNIA

SAN FRANCISCO, CALIFORNIA


Page 2 of7 SCHROEDER, MARY M 0510612008

III. N 0 N-INVE S TMENT INC 0 ME, (Reporting individual a11d spouse; see pp. 17-24 of filing instructio11s.)

A. Filer's Non-Investment Income

[2J NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

1.

2.

3.

B. Spouse' S Non-I nvestm en t Income - If you were married duri11g a11y portio11 of the reportillg year, complete this section.

(Dollar amount not required except for honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. 2007 ARJZONA STATE UNIVERSITY - SALARY

ALEX E. SOLUTIONS, INC. (SHESHUNOFF INFORMATION SERVICES) - BOOK ROY AL TY

3.

4.

3. UNIVERSITY OF MONTANA LAW SCHOOL

5118/07 -5120107

MISSOULA, MONTANA

SPEAKER TRANSPORTATION, FOOD, HOTEL

4. AMERICAN LAW INSTITUTE

I 0/17/07 -10/19/07

NEW YORK, NEW YORK

SPEAKER/PRESENTER TRANSPORTATION, FOOD, HOTEL

5.


Page 3 of7 SCHROEDER, MARY M 05/06/2008

V, GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

D NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

1. ARIZONA CLUB HONORARY MEMBERSHIP - DUES $ J,020.00

2.

3.

4.

5.

VJ. LIABILITIES. (Includes those of spouse and dependent children; see pp. 31-33 of filing instructions.)

G2J NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

1.

VALUE CODE

2.

3.

4.

5.

.. _


Page 4of7 SCHROEDER, MARY M 05/06/2008

VII. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes those of spouse and dependent children; see pp. 34-60 offilinc 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

(I) (2) (I} (2) (I} (2) (3) (4) (5) Place "()C)" 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, Month- Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private

(Q-W) transaction)

I. JP MORGAN CHASE ACCOUNTS D Interest M T

2. WACHOVIA MYM FUND A Dividend J T

3. LINCOLN NAT'L LIFE A Interest J T

4. FRANKLIN FUND AZTXFR INC. A Int./Div. K T

5. EQUITABLE 300+ STOCK FUND-IRA None L T

6. V ALIC FIXED PLUS FUND D Interest M T BUY J MONTHLY

7. V ALIC MIDCAP INDEX None L T BUY J MONTHLY

8. V ALIC STOCK INDEX None L T BUY J MONTHLY

9. V ALIC INT'L GOV'T BOND None M T BUY J MONTHLY

10. VALIC SCIENCE & TECH. None K T J

11. SAGUARO LTD. PTRNSHIP (MESA None J w TERMINATED REAL EST.)

12. TlAA (RET. ANN.) E Interest 0 T 6129 M TRANSFER TO VALIC

13. AZ. ST. CREDIT UNION A Interest K T

14. VALIC GOV'T SEC. None L T BUY J MONTHLY

15. VALIC INT'L GROW None K T BUY J MONTHLY

16. VALIC SMCAPEQ None J T BUY J MONTHLY

17. VALIC SHORT TERM FIXED A Interest J T 3/21 J TRANSFER TO OTHER FUND

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,50 I - $5,000 D =$5,001 - $15,000 E =$15,00 I - $50,000

(See Columns Bl and 04) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 - $5,000,000 H2 =More tban $5,000,000

2. Value Codes J =$15 ,000 or less K 415,001 - $50,000 L =$50,001 - $100,000 M =$100,00 I - $250,000 '

(See Columns Cl and 03) N $250,001 - $500,000 0 =$500,001 - $1,000,000 Pl $1,000,001 - $5,000,000 P2 s5,ooo,001 - $25,ooo,ow

P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,000


(See Column C2) U =Book Value V =Other W =Estimated

------

B.

(2)


Page 5 of7 SCHROEDER, MARY M 0510612008

VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children; see PP· 34-60 of filing instructions.;


A. c. D.

Gross value at end of Transactions during reporting period Income during Description of Assets

reporting period reporting period (including trust assets)

(2) Date

Month-

Day

(3) Value

Code 2 (J-P)

(4) Gain

Code l

(A-H)

(5) Identity of

buyer/seller

(if private

transaction)

{I) (2){I) {I) ValueValueAmountPlace "(X)" after each asset Type (e.g., Type (e.g.,

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption)

(Q-W)

18. V ALIC SET RA TE 7 YR. D Interest N T

19. VALIC MYM None M T 7/21 TRANSFER FROM TIAA

I. Income Gain Codes: A=$l,OOO or less B 41,001 -$2,500 c =$2,501 - $5,000 D =$5,001 -$15,000 E415,001-$50,000

(See Columns Bl and D4) F =$50,001 - $100,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000,000 H2 =More tban $5,000,000

2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000 M =$I 00,00 I - $250,000

(See Columns CI and 03) N =$250,00 l - $500,000 0 =$500,001 - $1,000,000 Pl =$1,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000

P3 =$25,000,001 -$50,000,000 P4 =More than $50,000,000


(See Column C2) U =Book Value V""0ther W =Estimated



VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReport.)



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.

Sign a

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

financial disclosure report in government act of 1978 (5 usc · financial disclosure report . ......

Documents