POSITION NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

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9

Report Required by the EthicsFINANCIAL DISCLOSURE REPORT AO IO in Government Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C app. §§ 10/-11 /)

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

Gorsuch, Neil M.

2. Court or Organization

Tenth Circuit Court of Appeals

3. Date of Report

8/2n010

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

Circuit Judge

Sa. Report Type (check npproprintc type)

D Nomination, Date

D Initio\ 0 Annual D Final

6. Reporting Period

01/01/2009 to

1213112009 Sb. D Amended Reporl

7. Chambers or Office Address

Byron White Courthouse 1823 Slout Street Denver, CO 80257

8. On the basis of lhe Information conllllned In this Report and any modifications pertaining thereto, It I!, In my opinion, In compliance with applicable laws and regulations.

Rel'icwing Officer Dale

IMPORTANT NOTES: The instructions accompanying thisfonn must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. (Reportlng lndivid1'nl on!)•; see pp. 9-13 of jilb•g instructio11s.)

D NONE (No reportable positions.)

I. Member Walden Group LLC (mountain property)

2. Executive Committee, Board of Directors

3. Adjunct Professor

4.

5.

Federal Judges Association

University of Colorado Law School

IJ. AGREEMENTS. (Reporting lndiv/d11a/ 011/y; supp. U-16 of filing in&tr11ctions.)

D NONE (No reportable agreements.)

·1,l -q

I

23

I

0 Ul

:::')

ill CJ

I.2005 Kellogg, Huber, el al. - I retained an interest in certain contingency cases in recognition of legal services I rendered while at the finn.

2.2009 University of Colorado Law School - teaching agreement for school year.

3.

Gorsuch, Neil M.

SOURCE AND TYPE

SOURCE AND TYPE

SOURCE DATES LOCATION PURfOSE

INCOME

JTEMS PAID OR PROVIDED

I.

3.

3.

Page 2 of9

Date of Report Name of Person Rcportlni: FINANCIAL DISCLOSURE REPORT

812/2010Gorsuch, Neil M.

III. NON-INVESTMENT JN COME. (Reporting i11divid11al and spouso; see pp. 17-U of filing Instructions.)

A. Filer's Non-Investment Income

NONE (No reportable non-investment income.) D

(yours, not spouse's)

I. 2009 Princeton University Press - book royalties $271.07

2.2009 University of Colorado Law School - teaching $19,000.00

3. 2009 Kellogg Huber et al. - see Part II. $2,506,485.00

4.

B. Spouse's Non-Investment Income - lfyo11 were married during any portion of the reporting year, complete this section.

{Dollar amount not required except for honoraria.)

[{] NONE (No reportable non-investment income.)

2.

4.

IV. REIMBURSEMENTS - transportation, lodging.food, entertainment.

(Includes thou to spo1ue and dependent children; see pp. 25-2 7 of filing instructions.}

D NONE (No reportable reimbursements.)

Yale Law School Fed. Soc. 2/4/09-215/09 New Haven talk Transportation, meals, hotel I.

2. USC Law School 3/5/09-3/6/09 Los Angeles moot court Transportation, meals, hotel

Princeton Univ. Witherspoon 4/16/09-4/18/09 Princeton conference Transportation, meals, hotel Institute

4. Federal Bar Association 12/14/09-12/15/09 Oklahoma City talk Transportion, meals

5.

SOURCE QESCRIPIJON

CREDITOR DESCRIPTION

VALUE

VALUE CODE

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3 of9 812/2010Gorsuch, Neil M.

V, GIFTS. (/1tcludes /ltose to spo11se and depenJcnt cliildre11; see pp. 28-31 of filing instructions.)

NONE (No reportable gifts.) [ZJ

I.

2.

3.

4.

5.

VJ, LIABILITIES, (Jncltldu tliose o/spo11se a11d dependent chil1/re11; sec pp. 32-33 of filing i11struc1io11s.)

[{] NONE (No reportable liabilities.)

I.

2.

3.

4.

5.

--Des :::,; ------; m urin ---- =s e reporti:g

-----(l) ___

/

------�--�---- _J_ transactio--

------------ ------· --------·-------------¥----------·

I. USAA Brokerage Acct:

2. - Money Market, Tax Exempt c lnt./Div. N T

3. - Aggressive Growth Fund A Int.ID iv. L T

4. - Long Tcm1 Tax Ex Bond Fund D Jnt./Div. M T

5. - Capital Growth Fund B lnt./Div. M T

6. - High YielJ Bond Fund D lntJDiv. M T

7. - lnt'l Fund 0 loLIDiv. M T

8. - S&P Fund B Int.ID iv. M T

9. - Value Fund B lnt./Div. M T

10. - Intenn Tax Ex Bond Fund D Int.ID iv. N T

11. - Small Cap Fund A lntJDiv. M T

12. - Shott Tenn Tax Ex Bond Fund D lnt./Div, M T

13. Walden Group LLC None N w

14. 529 Plans - VA Educ Savings Tnist (Age Based)

15. 529 Plans - College Invest Savings Plan (Age Based)

None

None

N

L

T

T Buy 08126/09 L

16. , ---l103B Plan - TIAA CREF

17. Senate Credit Union checking

A

A

lnt./Div.

Jnt./Div.

J

J

T

T

FINANCIAL DISCLOSURE REPORT Page 4 of9

Name of Person ReporllnL:

Gorsuch, Nell M.

Date of Ro port

81212010

VII. INVESTMENTS and TRUSTS -- income, "a111e, 1ro11s•ctions r1ndudcs 1hosoofspo11se and uepemtent c1iudrcn; see pp. 1-1-60 of filing instr11aio11s.J

D NONE (No reportable income, assets, or transactions.)

r··--- of Assets - al cn --,-----�:nsactions duri period l (including lrusl assels) rcponing period of reporting period

I -( (2) (I) (2) (l) (2) _(3) 1(4)I Place "(X)'" af\er each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure div., rent, I Code 2 Method buy, selL mmldd/yy Code 2 Code I buyer/sellerI

Code I (A-H) or int.) (1-·P) redemption) (J-P) (A-H) (ifprintcCode 3

_J____ L (Q-W) J

I. Juco1nc Oain Coder. A •Sl,000 or len B •St,001 • $2,500 c s:uot • S5,ooo

(Seo Cohunna 81 and 04) f •$50,001 • $t00,000 G •St00,001 • Sl.000,000 Ht -Sl,000,001-$5,00C,OOC

2. Vahte Code1 J •SIS,000 or kn K sts,001 -sso,ooo L •$50,001-St00,000

(Sec Column• Cl and 03) N •$250,00 I - $500,000 O •Sl00,001 • Sl,000,000 Pl -11.000.00I -SS,000,000

PJ •$25,000,001 • $50,000,000 P4 •More tllnn $50,000,000 3. Value Method CodC1 Q •Apprnisal R -COS1 (Rc•I Esl•te Only) S =Assessment

(Sec Cohuun Cl) U •Book V •luo V -other W =Estlumtcd

D =S5,00t • S 15,000 E-SlS,001-$50,000

112 -More lb.In ss,000.000

M "'$100,001 • $250,000

r2 ss,000,001 . s2.1.ooo.ooo

T =-Cash Market II

Ass=----1 lnco:: uri-=-i-:=s ==-+=:--- :ansaction =

I--(!-) -1{2) --(I)

i

,---,

tc eode.s; I

-]

.-(i-fprivale

----------·-----

0

-(A-H) L :_ rcdcmpt1on)

Date or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

8/2J2010Gorsuch, Neil M. Page 5 of9

VII. INVESTMENTS and TRUSTS -income, va1tie, 1ra11sacrio11s 11uctudcs t1iose of spouse and dependent children: sec f!P· N-60 offi/1trg '""''"'1iu11s.J

NONE (No reportable income, assets, or transactions.)

'1-- ·----Dcscripti of rcport g pcnod (including trust assets) reporting period of reporting period

I (1) --(2) --Value Value lType {e.g.,

Method buy, sell,

(4) (5) I1JAmounl Type (c.gj, exempt from prior disclosure Code I div., rent, Code 2

L__________________ (J-P) (A-H)

18. USAA IRA Acct:

19. -GNMATrust

20. - Money Market Fund

21. - High Yield Fund

22. - Total Return Fund

23. - Aggressive Growth Fund

24. - Emerging Markets Fund

25. - World Growth Fund

26. - Income Fund

27. - Income Stock Fund

28. - International Fund

29. - Precious Metals and Minerals Fund

30. - Small Cap Stock Fund

31. USAA IRA Acct:

32. - Money Market Fund

33. - Growth & Income Fund

34. - Aggre.sive G1,owlh Fund

A

A

B

A

A

A

A

B

A

A

A

A

A

A

A

Int/Div. K

lntJOiv. J

Int.ID iv. K

IntJDiv. K

lnt./Div. K

lnt./Oiv. K

Jnt./Div. K

Int./Div. K

lnt./Div. K

lnt./Oiv. K

Jnt./Div. K

Int./Div. K

lnt./Oiv. J

lnt./Oiv. J

lnt./Div. J

T

T Buy

T

T

T

T

T

T

T

T

T

T

T Buy

T

T

03/18/09 J

03/18/09 J

Place "(X)" after each asset Date Value (2) Ol--

mm/ddlyy Code 2 Code I Gam Identity of

buycrlsc!lcr

transnclion)---- '

Qom A •SI,000 or less B •$1,001 • $2,500 C =i2,50I - $5,000 D •Sl,001-Sll.OOO (Sec Cclumna DI •nd 04) F •$50.001 - $100,000 0•$100,001-$1,000,000 Ill •$1,000.001 -$5,000,000 H2 •Moro thon SS,000,000I 2. Value Codes J ...$t S,000 or leu K =St .001-150,000 l..=S50.001 • SJ00,000 M •$100,001 • $250,000(See Columns CI nnd 03) N •$250,001-$500,000 0 •$500,00t - Sl,000;000 Pl =$1,000.001-$5.000,000 r2 •$5,000.001 -sis.000.000

Pl •$25,000,001 - $50,000,000 P4 =More than SS0.0-00.000 I ). Value Me,hod Co<lcs Q-ArprnU.11! R -COSI (Rc•I Estate Only) S ,,.Assessment T-=C11.shMarket

!I

! (Sec Colmnn Cl) U •Book: V11olue Y -otlicr W=Ei•inmed ··---------··-·-----··----..

-·----·--c.--1

Gain

Code I buycr/&cllcr I(2)

I -- I __ L_ .[ (Q-w2-l____ -- (

4t_[ ] (A-H) -·

K

A.

Description of Assets

(including trust assets)

D.T

--B.

1 Income during Gross value at end Transactions dming reporling period 1 reporting period of reporting period

Amoun Type (e.g., Value Value Type (e.g., Dnte Code div., rent, Code 2 Method buy, sell, rrun/dd/yy

(3)ValueCode2(J-P)

Identity of, Place "(X)" after each asset L

emp! from prior disclosure (I) i (I) (2) (1)

(A-H) orint.) (J-P) 1 Codc3 I redemption)

(5) (if private

lransaction)----

35. - High Yield Fund

36. - Total Return Fund

37. - World Growth Fund

38. USAA SEP IRA Acct:

39. - S&P 500 Index Fund

40. -GNMA Fund

41. - Money Market

42. ·Precious Metals & Minerals Fund

43. - Global Oppty Fund

44. - Short Tenn Bond Fund

45. USAA CDs

46.

47. USAA P.I. Mgmt Acct:

48. - Money Market, Tax Ex Fund

49. -Adams 12 Muni Dond 12/15/14

50. ·Aurora Wtr Rev Muni Bond 8/1/22

51. - Boulder Sch Dist 2 Muni Bond 12/1/15

A Int./Div. J

A Int.ID iv. J

A lntJDiv_ J

A Int./Div.

A lnt./Div.

A JnUDiv. J

A lnt./Div. J

A lntJDiv. L

A JntJDiv. K

E Int.miv. Pl

A IntJDiv. M

A Interest K

A Interest K

A Interest K

B •Sl,001 -$2.500

0 •SI00,001-$1,000,000

K •SIS,001- $50,000

0 -S500,00t • $1,000,000

R -Cost {Real Est.itc Only) V -Od1er

T

T

T

Sold 08/31/09 K A

Sold 09/0J/09 K A

T Sold 08/31/09 J A (pa1t)

T Buy 09/01/09 J

T Buy 09/01/09 L

T Buy 09/0l/09 K

T Buy 08/28/09 M

Buy 09115109 0

T Buy 08/28/09 0

T Buy 10/07/09 K

T Buy 10107109

T Buy 09123109 K

Datto r Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 6 of9 8/212010Gorsuch, Nell M.

VII. INVESTMENTS and TRUSTS -income, •atue, transactions (foctudes 111ose of.<pouse and uepcnac111 chitdrc11; supp. 14-60 offili11g 111w11c1io11s.J

D NONE (No reportable income, assets, or transactions.)

J'j, lnco11lC Gain Codes: A •SI ,000 or le.ls c =Sl,501. ss,ooo o ss,001 • s1s,ooo E •SIS,001- $50,000

j (Sec Column1 Bl 11ttd 04) F •SS0,001. $100,000 Ill •SI ,000,001 - SS,000,000 H2 --More than SS,000,000

2. Value Codes J•SIS,OOOorless L •$50,001 - I 100,000 M =$100,001 • $150,000

I (See Cohunns Cl and Dl) N •$250,001 • $500,000 Pl s1,ooo,001 -15.ooo,ooo P2 •15,000,001 -$25,000,000

I Pl •$25,000,00 I • $50,000,000 P =More than $50,000,000

l 3. Value Mclhod Code• Q•Approi"I S QA.SSC&StnCf\( T--C.sb Marlee! (See Ce>l n111n Cl) U ""Book Value WcEtlllnatcd

·- ------·-- 4 - ·-·---"

-----·---,---- -r---------------------·----··--

(l>-IC2l- --ii) Hr,,,- 1-I Dale

mm/dd/yy

I I

Codeu

------ --- �----------------

D•teofRcportName of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 7 of9 81212010Gorsuch, Nell l\I.

VII. INVESTMENTS and TRUSTS -income, ... 111e, 1ra11 . .ac1ions r1nc111des t11oseofspouu 11mt dcpendm1 c/liluren: see pp. u-fJo oJJmn/( inuructions.J

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

A. B. c. D.

Dcscriplion of Assets Income during Gross value al end Transactions during rcpmting period

(including lrusl assets) reporting period ofreporting period

<1J <2J____I !Amount Type (e.g., Vnlue Value Type (e.g.,

exempt from prior disclosure Code I div., rent, Code 2 I Melhod buy, sell, Pince "(X)" ancr each asset

I I

(A-H) or int.) (1-P) redemption)

(Q-W)L___ _ J- --- -- -- -----

{3J (4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(if private transaction)

Value Code 2

(l-P)

52. - Colo Sch Mines Muni Bond 12/l/13 A Interest K T Buy ll/18/09 K

53. - Colo Wtr Res & Pwr Muni Bond 8/1/24 A [nterest K T Buy 12/16/09 K

54. - Denver Cnty Sch Muni Bond 12/1/12 A [nterest K T Buy 09118109 K

55. - Denver Exe Tax Rev Muni Bond 9/l /18 A Interest K T Buy I J/18/09 K

56. ·Eagle Garfield Routt Muni Bond 12/l/23 A Interest K T Buy l2/l6/09 K

57. - El J>aso Sch Dist Muni Bond 12/l/12 A Interest K T Buy 09/l0/09 K

58. - Left Hand WtrMuni Bond 5/15/13 A Interest K T Buy 10/07/09 K

59. - Mesa College Muni Bond 5115/23 A Interest K T Buy 11/18/09 K

60. ·Pueblo Sch Dist Muni Bond 12/15/11 A Interest K T Buy 09/18/09 K

61. -S Migcl & Montrose Muni Bond 1211/17 A Interest K T Buy 09/18/09 K

62. -Teller Sch Dist Muni Bond 12/1/20 A Interest K T Buy 10/01/09 K

63. - Univ Colo Ent Sys Muni Bond 6/1/14 A Interest K T Buy 08/31/09 K

64. • Weld Sch Dist Muni Bond 12/1/19 A Interest K T Buy 10107109 K

65. - Westminster Sis and Use Muni B o nd 12/1/15

A Interest L T Buy 09/18/09 L

66. - Short Term Tax Ex Bond Fund A lnt.IDiv. K T Buy 12117109 K

I. lneo1nc Gain Codes: A •Sl,000 or lcu B "11,00t • $2,SOO c -12,50 t • ss.ooo D •$S,00t • SIS,000 E •Sll,001 • $50,000

(Se< Cohnn111 BI And ) F •SS0,001- $100,000 o s100.001.s1,ooo,ooo HI =Sl,000,001 • SS,000,000 H2 •More 1h4n SS,000,000

2. Value Codes J •SI S,000 or lc.u K st 5,00 I • $50,000 L.•SS0,001- SI00,000 M •$100,00t • $250,000

(Sec Columru Cl •nd OJ) ti •$250,001- $500,000 0 =$500,001 - Sl,000,000 Pl =Sl,000,001-SS,000,000 n ss,000.001 - s2s,ooo,ooo r1 ..sis.000.001. sso,000,000 P4 •More lh•n $50,000,000

3. Vt1lue Mclhod Codta Q •Apprai&al R osl (Ren.I EsH11e Only) S -Asstssment T -Ca.5h Market (Sec Coh111u1 C2) U •Book Value V =-01her W Estimated

---------------- ---·---

8/212010

Date of ReportName or Person Reporting FINANCIAL DISCLOSURE REPORT

Page 8 of9 Gorsuch, Neil M.

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (JmticateparlofRtporL)

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 9 of9 Gorsuch, Neil M. 8/2/2010

IX. CERTIFICATION.

I certify that all information given abo\·e (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 h onoraria and the acceptance of gifts which have been reported arc In compliance with the provisions of 5 U.S.C. opp.§ 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY IJE 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