neil m gorsuch financial disclosure report for 2010

8/3/2019 Neil M Gorsuch Financial Disclosure Report for 2010

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AO IORev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 20 10Report Re quired by the Ethics

in Government Act of 1978(5 U.S.C. app..~.~ 101-111)

1 . P e r s o n R e p o r t i n g ( l a s t n a m e , f i r s t , middle init ial)G or such , N ei l M.

4. Ti t le (Art icle I l l judges indicate act ive or senior s ta tus;magistrate judges indicate full- or part-t ime)

Circui t Judge

7. Chambers or Office Addrt~sByron Whi te Cour thouse1823 Stout StreetDenver , CO 80257

2. Court or OrganizationT e n th C i r cu i t C our t o f Appe a l s

5a. Repor t Type (check approp r iate type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basi s of the informat ion contained in thi s Repor t and anymodifications pertaining thereto, i t is, in my opinion, in compliancewith appl icable laws and regulat ions.

3. Date of R e p o r t08/03/201 I

6. Repor t ing Per iod01/01/2010

to12/31/2010

Reviewing Off icer D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be fotlowea[ Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ~ R , ~ , o , ~ i n g i n d l v ~ , ~ u ~ t o n ~ y ; ~ , o ~ . 9 - , o r a t i n g instructions.)~] N O N E ( N o reportable positions.)

POSITIONI. M e m b e r2. Execut ive Comm it tee , Boa rd of D irec tor s Fede ra l Judges Assoc ia t ion3. Adjunc t Profe ssor Unive rs i ty of Colorado Law Scho ol

4. V isitin g Ju ris t O k laho m a City U n ive rs ity S ch oo l o f Law5.

N A M E O F O R G A N I Z A T I O N / E N T I T YW a lde n Gr oup L L C ( moun ta in p r ope r ty )

I I . A G R E E M E N T S . m ~ p o , ti n g i n a i , ia u ~ t o n t r ; ~ , ~ ,~ , . 1 4 - 1 6 of filing instructions.)~] N O N E ( N o reportable agreements.)

DAT~ PARTIES AND TERMS1. 2010 Unive rs i ty of Colorado Law School - te aching agreement for school yea r .2 . 201 0 O k lah o m a C ity U niv ers ity S ch o o l o f L aw - v isitin g ju rist p ro g ram .3.


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FINANCIAL DISCLOSURE REPORTPage 2 o f I0

N a m e o f P e r s o n R e p o r t in gG orsuch , N e l l 3 1 .

D a t e o f R e p o r t08/03/201 I

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestm ent Incom eD (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

I. 201 0 P rince ton U n iversity P ress - b oo k roya lties2 . 2 01 0 Univers i ty o f Co lo rado Law Schoo l - teach ing3 . 2 01 0 Oklahom a City Univers i ty Schoo l o f Law - teach ing4.

I N C O M E(yours, not spouses)

$250 .06$14,500.00$2,500.00

B . S p o u s e s N o n - ln v e s t m e n t I n c o m e - i f you were ma rried during any port ion o f the report ing year, comple t e th is sec t iom(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

I.2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.(Includes those to spouse and dependent children; see pp. 25-2 7 of filing instructions.)I-~ N O N E ( N o reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDEDI. Oklahoma Ci ty Unive rs i ty 2/9 /10-2/12/10 Oklahoma Ci ty teach ing Transpor ta t ion , mea ls , hote l

Schoo l o f Law2. Unive rs i ty of Michigan Law 4 /6/10-4 /8/10 A nn A rb o r m oot court T ransp o rtation , m eals, ho telSchoo l3. Unive rs i ty of Chicago Law 4 /2 1 /1 0-4 /2 3 /1 0 C hic ag o moot cour t Transpor ta t ion , mea ls , hote lSchoo l4. Fede ra l Judges A ssoc ia t ion 5/22110-5/26/10 Washington . D .C . conference Transpor ta t ion , mea ls , hote l5.


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FINANCIAL DISCLOSURE REPORTPage 3 of 10

Name of Person Report ingGorsuch , Nel l 51.

D a t e o f R e p o r t08/03/2011

V . G I F T S . a n t i. d e s , h o s e , o s p o u s e a n d d e p o n d e n , children; s e e p p . 2 8 - 3 1 of filing instructions.)~] N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V l . L I A B I L I T I E S . a n e l , ,d e s , h o s e o . r ~ p o , ,s e , ,n d dependent children; see pp. 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

C REDI TO R DE SCRIPT IONI.2.3.4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTPage 4 o f 10

N a m e o f P e r s o n R e p o r t in gGorsu ch, Nell M.

D a t e o f R e p o r t08/03/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, t ,alue, transact ions ( lndudes those of spouse and depende nt chi ldren; seepp. 34-60 of fi l lng instructions. )N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

e x e m p t f r o m p r i o r d i s c l o s u r e Code I d i v . , r e n t ,(A-H) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)Value Value

C o d e 2(J-P) C o d e 3

( Q - W )

(] )T y p ~ ( e . g .,b u y , s e l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d(2) (3) ( 4 )

D a t e Value Gainm m J d d / y y C o d e 2 Code

( J - P ) ( A - H )Identity of

buyer/seller(if private

transaction)

I. USAA Brokerage Acct :2. - Money M arke t, Tax Exempt A Int./Div.

3. - Aggress ive Growth Fund A Int . /Div.4. - L o n g T e r m T a x E x B o n d F u n d D Int . /Div.5. - Capita l Growth Fund B lnt. /Div.6. - High Yie ld Bond Fund D Int./Div.7. - Int l Fund B Int . /Div.

L T

M T

M TM TM TM T

8. - S&P Fund B Int . /Div. M T9. - Value Fund B Int . /Div. M T

1 0 . - In te rm Tax Ex Bond Fund D lnt./Div. N T1 1 . - Small Cap Fund1 2 . - Shor t Term Tax Ex Bond Fund

A Int . /Div. M TC Int./Div. M T

1 3 .

1 4 .

1 5 .

1 6 .

1 7 .

W a l d e n G r o u p L L C N on e N W

529 Plans - VA Educ S avings Trust (AgeB a s e d )529 P lans - Co l lege Inves t Sav ings P lan(Age Based)

~S~ ~ 403B Plan - TIAA CREF A

N o n e N T

N on e L T

lnt. /Div. J TSena te Credi t Union checking A Int./Div. J

I . Income Gain Codes:{See Columns BI and

2. Value Codes( Sc c Col umns CI and

3. Value Method C odes( See Col umn C2)

A = $ 1 , 0 0 0 o r l e s sF= $ 5 0 . 0 ~ 1 - $ 10 0 , 0 0 0J= $ 15 . 0 0 0 o r l e s sN = $ 25 0 . 0 ~ 1 - $500,0~0P3 =$2 5 , 000 . 001 - $50 . 000 . 000Q=Appra i sa lU =Bo o k V a l u e

B -$ 1 , 0 0 1 - $2 ,500G=$100.001 - $1,0~0.0~0K =$15,001 - $50.0~OO =$500.001 - $1.000.000R =Cost (Real Estate Only1V O t h er

C =$2,501 - $5,000H I =$1,000.0OI - $5,0OO,0~0L =$50.1)01 - $100,0~0P I -$1.000,001 - $ 5,000,000P4 =More than $50.1)00.000S =A ssessmen tW =Estimaled

D =$ 5,001 - $15.000H2 =More than $5,0~0.000M =$100,001 - $250.000P2 =$5,000.001 - $25.000.000T =C ash Mark e t

E =$15,001 - $ 5 0 . 0 0 0


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FINANCIAL DISCLOSURE REPORTPage 5 of 10

N a m e o f P e r so n R e p o r t i n gGorsuch , Nei l 51 .

D a t e o f R e p o r t08/03/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions)NONE (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g( inc lud ing t rus t a s se t s ) repor t ing pe r iod

0) (2)Place "(X)" after each asset A m o u n t Type (e.g.,exempt from prior disclosure Code I div. , ren t ,( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(I) (2)V a lu e V a lu eC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )

( i)Type (e.g.,

buy , se l l ,r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

(2) (3) (4)D a t e Value Gain

mm/dd/yy Code 2 Code I(J-P) (A -H )

(5 )I d e n t i t y o f

buyer / se l l e r( i f p r i v a t e

t r ansac t ion )

1 8 . U S A A I R A A c c t :19. - GNMA Trust A Int./Div. K T

20 . - Money Market Fund

21 . - High Yield Fund

22 . -Total Return Fund

A Int./Div. J TB Int./Div. K TA Int./Div. K T

23 . - Aggress ive Growth Fund

2 4. - Em e rgi ng M ar k et s Fu n d

2 5. - W or ld G ro wt h Fu nd

A lnt./Div. L TA lnt./Div. K TA Int./Div. K T

26 . - Incom e Fund B Int./Div. K T2 7. - In co m e St oc k Fu nd A Int./Div. K T28 . - International Fund A Int./Div. L T29 . - Precious Metals and Minerals Fund C Int./Div. K T

30 . - Small Cap S tock Fund31 . ~ ~iUSAA IRA Acct:32 . - Mon ey Mar ke t Fun d

33 . - G r o w th & I n c o m e F u n d

A Int./Div.

A Int./Div.

A Int./Div.

J

J

T

T

T34 . - Aggres ive Growth Fund A Int./Div. J T

I. Income Gain Codes:(S ee C olumns B I and D4)

2.Value Codes(S ee C olumns C I and D3)

3. Value Method C odes{S ee C olumn C 2)

A =$1,000orlcssF =$50.091- SI00,O00J -$15.000or lcssN =$250.1)01 - $50~.000P3 =$25.000,001- $50.000,000Q =App~isalU =Book Value

B=$1,001 - $2,500G =$100.001 -K =$15,001 * $50,000O = $ 5 0 0 , 0 O I - $ 1 , 0 0 0 .O O OR =Cost tReal Estale Only)V - O t h e r

C =$2,501 - $5,1)00H I =$1.00~.001 - $ 5.0~0.0~0L =$50,001 - $100.000PI =$1.000.001 - $5,000.0~0P4 =More than $50,000,0~0S =AssessmentW =Estimated

D =$5.001 - $15.1300H2 =More than $5.000.0~OM -$ 100.001 - $250.000P2 =$5,090,001 - $25,000.000T =C ash Mark e t

E =$15.0~1- $50,000


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D a t e o f R e p o r t08/03/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)NONE (No reportable income, assets, or transactions.)

Description o f A s s e t s I n c o m e d u r i n g( inc lud ing t rus t a s se t s ) repor t ing pe r iod

(l) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code l div. , ren t ,( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(I) (2)V a l u e V a l u e

C o d e 2 M e th o d(J - P ) C o d e 3

( Q - W )

(1 )Type (e.g.,buy , se l l ,



(2) (3) (4)D a t e Value Gain

mm/dd/yy Code 2 Code I( J - P ) (A-H)

(5 )I d e n t i t y o f

buyer / se l l e r( i f p r i v a t e

t r ansac t ion )

3 5. - H igh Y ie ld Fu nd A Int./Div.36. - Tota l Return Fund A Int./Div.

J TT

37 . - Wor ld Growth Fund A l n t . , g i v . J38 . U S A A S E P I R A A c c t :3 9. - M oney Mar ket A Int./Div.

40 . - Prec ious M eta ls & M inera ls Fund A Int./Div.

J

J

TT

4 1. - G lo ba l O p pty Fu nd A Int . /Div.4 2 . - S h o r t T er m B o n d F u n d A Int./Div.

LK

TT

43 . U S A A C D s D lnt. /Div. N44 .45 . USAA P. I . Mgmt Acc t :46 . - Money M arke t , Tax Ex Fund A Int . /Div. K47 . - A d a m s & W e ld C t s S ch o o l M u n i B o n d B Interest K12/I /2448 . - A d a m s 1 2 M u n i B o n d 1 2 / 1 5 / 1 4 B Interest K

T M a t ur e d 03/17/10 O(part)B u y 04/20 /10 M(addl)

TT B u y 0 1 / 0 5 / 1 0 K

49 . - Au r o ra W t r Re v M u ni Bo n d 8/ I/ 22 B I n t e r e s t K

5 0. - B ou l d er S ch D is t 2 M u n i B o nd 1 2 /I/ 15 A I n t e r e s t K51 . - Co lo Sch Mines M uni Bond 12/I /13 A I n t e r e s t K

I. Incom e G ain Codes: A =$1,000 or less B =$1,001 - $2 ,500 C =$2 ,501 - $5 ,0~ 0 D =$5.0~1 - $15.000(S ee C olumns B I and E M) F =550,001 - 510~ ,000 G -5100,001 - $I,0(X ).000 H ] :5 I , (~0.001 - 55.000.0~O H2 =More than $5,000.000

2. Value Codes J =$15.000 or less K =$15,001 - 550,000 L =$50,001 - $ 100.000 M -$ 100.001 - $250.000( See Col umns CI and D 3) N =$2 50,001 - 5500,000 O =$500,001 - 51.0(X ).000 PI =$1.000.001 - $5,000,000 P2 =$5,000.001 - 525,000.000

P3 =$25.000,001 - $50.00~.000 P4 =More than $50.000,0003. Value Method Codes Q =Appraisal R =Co~t (Real Estate Only) S =Assassmcnt T =C ash Mark e t

( See Col umn C2) U =Book Value V =O ther W =Estimated

E =$15.001 - 550.000


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D a t e o f R e p o r t08/03/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, va lue, transa ct ions (Includes those of spouse and depende nt chi ldren; seepp. 34-60 of fi l ing instructions. )NONE (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d(I) (2)

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . ,exempt from p rior disclosure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(t) (2)

V a lu e V a lu eC o d e 2 M e t h o d

(J - P ) C o d e 3( Q - W )

Typ~ (e.g.,b u y , s e l l ,r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( 2 ) (3 ) (4 )

Date V a l u e Gainm m ] d d / y y Code2 C o d e I

(J-P) ( A - H )

( 5 )I d e n t i t y o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

52 . - Colo St Brd Gov Unv Entr Sys Muni Bond B Interest K3/1/1653 . - Colo Spr ings Col Ut i l Muni B ond 1 I115 /20 B Interest K54 . - C o l o W t r R e s & Pw r M u n i B o n d 8 / I / 2 4 B Interest K

TT

Bu y : 01/27/10 KBu y 02/03 /10 K

55 . - Denver Cnty Sch Muni Bond 12/I /12 B Interest K56 . - D e n v e r E x c T a x R e v M u n i B o n d 9 / ! /1 8 B Interest K

T

T57 . - Eag le Gar f ie ld Rou t t Muni Bond 12/1/23 B Interest K58 . - E l Pa s o Sc h D i s t M u n i B o n d 1 2 / 1 / 1 2 B Interest K

TT

59 . - Le f t Hand Wtr Muni Bond 5 /15 /13 B Interest K60 . - Mesa Col lege Muni Bon d 5 /15 /23 B Interest K6 1 . - P u e b lo S c h D i s t M u n i B o n d 1 2 / 1 5 / 1 ! A Interest K

T

T62 . - Pueblo Cnty Sch Dis t Muni Bond 12 /15 /21 A Interest K T63 . - S Mige l & Montrose Muni Bond 12 /1 /17 B Interest K T64 . - Te l le r Sch Dis t Muni Bond 12/I /20 B Interest K T

Bu y 03/15/10 K

6 5 . o Un i v C o l o E n t Sys M u n i B o n d 6 / I / 1 4 A Interest K6 6 . - W e l d Sc h D i s t M u n i B o n d 1 2 / I / 1 9 B Interest K

TT

67 . - Westmins te r Sis and Use Muni Bond B Interest L T12/ I /1568 . - Shor t Term Tax Ex Bond Fund B Int./Div. K T Bu y(add l ) 03/02/10

I. Income Gain Codes: A =$ 1,000 or less B =$1,001 - $2.500 C -$2,501 - $5.000 D =$5.0~ I - $15,000(S eC olu mn s B I a nd D4) F =$5 0.00 1 - $100 ,000 G =$1 00 ,0 01 - $1 ,0 00 ,0 00 H 1 -$ 1,0 00 ,0 01 - $ 5.0 00 .0 00 H2 =More than

2. V alue C odes J =$15,0~ 0 or less K =$15.001 - $50.000 L =$ 50.001 - $ 100.000 M = $ 100,001 - $250.000( See Col umns CI and D 3) N -$25 0.0 01 - $50 0,0 00 O =$5 00,0 01 - $1.0 00.0 00 PI =$1,000.001 - $5.000.000 P2 =$5.000,001 - $25,000.000

P3 =$25,000,001 - $50.000.000 P4 =More than $50.000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =A ssessmen t T :C ash Mark e t( See Col umn C2) U =Book Value V =O ther W =Estimalcd

E =$ 15,001 - 550,000


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N a m e o f P e r so n R e p o r t i n gGorsu ch, Neil M.

D a t e o f R e p o r t08/03/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D (No reportable income, assets, or transactions.)ONE

A. B. C.Descrip tion of Assets Incom e during Gross value at end(including trust asse ts) reporting period of reporting period

O) (2) (D (2)Place "(X)" after each asset A mo un t T yp e ( e.g., V alue V alueexempt from prior disclosure Code I div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) Code 3

(Q-W)

Type (e.g.,buy , se l l ,



(2) (3) (4)Date V a l u e Gain

m m / d d / y y C o d e 2 Code I( J - P ) (A-H)

( 5 )I d e n t i t y o f

buyer/seller( i f p r i v a t et r ansac t ion )

69 .70 .

Bu y 06/17/10 J(add l )Sold 02/03/10 J(part)

I . Income G a in C odes : A =$1,000 or less B = $ 1 , 0 0 1 - $ 2 . 5 0 0 C =$2 ,501 - $5 ,000 D =$5,001 -( Se e C olu mn s B I a nd D4 ) F =$5 0,0 01 - S I0 0,0 0~ G -$100.001 - $1.0~0.000 H I = $1 .0 ~ 9, 00 1 - $5 ,0 0 ~. 00 0 H 2 = M or e t ha n $ 5, 00 0. 0~ 0

2. Value Codc~ J =$15,0~) or less K $15.001 - $50.000 L =$50,0~1 - $100,000 M =$100,001 - $250,000( See Col umns CI and D 3) N -$250,001 - $500,000 O =$500.001 - $1.0~ 1.000 P I =$1 .000,001 - $5 .000,0~ 0 P2 =$5,000,001 - $25,000.000

P3 =$25.000.C~1 - $50.000.0~0 P4 =More than $50,000,0003. Value Method Code~ Q =Appraisal R - C ost (Rea l E s ta te O n ly) S =Assessment T =C ash Mark e t{S~:e Column C2) U =Book Value V O t h cr W =Estimated

E =$15.001 - $50.000


9/10

FINANCIAL DISCLOSURE REPORTP a g e 9 o f 10

Name of Person Report ingG o r s u c h , N e l l M .

Date of Report

08/03/2011

V III . A DDIT IO N A L IN F O RM A T IO N O R EX P LA N A T IO N S . a.~ica,opa, of report.)


10/10


N a m e o f P e r so n R e p o r t i n gGorsu ch, Neil M.

Date of Report08 /03/2011

IX. CERT IFICATION.1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a in i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) isa c c ura t e , t rue , a nd c omp l e t e t o t he be s t o f my k nowl e dge a nd be l i e f , a nd t ha t a ny i n fo rma t i on no t r e por t e d wa s wi t hhe l d be c a use i t me t a pp l i c a b l e s t a t u t o ryp rov i s i ons pe rmi t t i ng non -d l sc l osure .I f u r t h e r c e rt i f y th a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s ~ v h i c h h a v e b e e n r e p o r t e d a r e i n

c o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a ti o n s .

Signature: S] Nei l M. G orsuch

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y FA L S I F I E S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

neil m gorsuch financial disclosure report for 2010

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