Jane R Roth Financial Disclosure Report for 2010

8/3/2019 Jane R Roth Financial Disclosure Report for 2010

1/8

A O I ORev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Reporting (last name, f irst, middle initial)R O TH , J A N E R .

4. T i t le (Art ic le 111 judges indicate ac t ive or senior s ta tus ;magistrate judges indicate full- or part- time)U . S. CI RCU I T JU D G E (Sen ior )

7. Chamb ers or Of f ice Address18 3 16 U . S. Cou r th ou se6 01 M arke t S t ree tPh i l ade lph i a , PA 191 06

2. Court or Organizat ionT H I R D C I R C U I T C O U R T O F A P P E A L S

3. Date of Report08/10/2011

5a. Report Type (check appropriate type)] N o m in a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in formation conta ined in this Repor t and anymodif icat ions per taining thereto, i t i s , in my opinion, in comp liancewith applicable laws and regula t ions .

6. Repor t ing Per iod01 / 01 / 201 0

to12/31/2010

Reviewing Of f ice r Date

I M P O R T A N T N O T E S : The instructions accompanying this form must be folioweg Complete a l l parts ,check ing the NONE box for each par t where you have no repor tab le in format ion . S ign on las t page .

I . P 0 S I T I O N S . (Reporting individual only; see p p . 9 - 1 3 of filing instructions.)~] ( No repor tab le pos i t ion s .)ONE

POSITION NAME OF ORGANIZATION/ENTITY

2.3.

4.5.

I I . A G R E E M E N T S . ( R e p o r a . g i n d i v id a a l o n l y ; s e e p S . 1 4 - 1 6 of filing instructions.)~ (N o re port ab l e agre e m e nt s .)ONE

DATE P A R T I E S A N D T ER M S


2/8

FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r so n R e p o r t i n gROTH, JANE R.

D a t e of Report08/10/2011

I lL N O N - I N V E S T M E N T I N C O M E . ~ R e p o r ~ n g i n d i vi d u a l an~ s p o u s e ; s e e p p . 1 7 - 2 4 of fillng instructions.)A. Fliers Non-Investm ent Incom e

~] (No reportable incom e.)ONE non-investmentDATE SOURCE AND TYPE

2.

3.

4.

I N C O M E( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - l f you were married during any port ion of the report ingyear, complete th is sect ion.(Dollar amount not required except for honoraria.)

N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

t.2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, e~tertainment(Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.)~] (No reportable reimbursements.)ONE

SOURCE DATES LOCATION PURPO SE ITEM S PAID OR PROV IDED1 . E m o r y U n i v S c h o o l o f L a w Oct. 7-9 Atlan ta , Geo rg ia Mo o t C o ur t Tran sp o r ta t io n an d L o d g i n g2. C en te r f or th e C on stitu tio n Ju ne 15 -1 6 Montpel ier Stat ion, C o n feren ce Tran sp o rta tio n a n d L o d g i n gV i r g i n i a3.4.

5.


3/8

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 8Name of Person Report ingR O T H , J A N E R .

Date of Repor t08 /10/2011

V . G I F T S . a n c l u d e s t h o s e t o s p o u s e e n d dependent children; see pp. 2 8 - 3 1 of fil ing instructions.)N O N E (No reportable g i f ts .)

S O UR CE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T IE S . a n c l u d e s t h o s e o : s p o u s e e n d dependent children; see p p . 3 2 - 3 3 of f i l ing instruct ions.)~ (No reportable liabilities.)ONE

CREDITOR1. Wells Fargo2. Wilming ton Tru s t Co .3.

4.5.

DESCRIPTIONMo r t g ag e , S ee l ey Lak e , MT

Loan -- paid off on sale~

VALUE CODEM

N o n e


4/8


N a m e o f P e r s o n R e p o r t in gR O T H , J A N E R .

D a t e o f R e p o r t08/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v o l . e , ~ a n s . e t io n s a n e l u d e s t h o s e of spouse and dependent children; s e e p p . 3 4 - 6 0 of filing instructions.)~ NONE i ncom e , asse t s , or t ransact i ons . )N o reportable

1 . W i l m i n g t o n T r u s t C h e c k i n g Ac c t A In te res t K T

2. W a c h o v i a B a n k C h e c k i n g A Interest J T

3. W a e h o v i a B a n k S a v i n g s A Interest J T

4. TRUST WITH~ TRUST5. B P P L C A D i v i d e n d S o l d 06/10/10 K

6. E xxo n C o m m o n S t o c k B D i v i d e n d L T

7. J o h n so n & J o h n so n C o m m o n C D i v i d e n d L T

8. P e p s ic o C o m m o n S t o c k B D i v i d e n d L T

9. P r o c to r & G a m b l e C o m m o n B D i v i d e n d L T

1 0 . M i n n e s o ta M & M C o m m o n B Di v i d en d L T

1 1 . He w l e t t - Pa c ka r d C o m m o n A Di v i d en d K T

1 2 . A i r P ro d & C h e m C o m m o n A D i v i d e n d K T

1 3 . W T C C o m m o n F u n d s E D i v i d e n d O T S o l d 05/14/10 M(par t )1 4 . S o l d 08/26/10 K

(par t )1 5 . W i l m . P r i m e M o n e y M a r ke t A Interest M T1 6 . G e n e s i s F u n d M T B u y 05 /21/10 M

1 7 . C r e d i t S u i s s e F u n d C Interest L T B u y 08/26/10 L

2 . Va lu e C o d es J =$1 5 ,0 0 0 o r le ss K =$ 1 5 ,0 0 1 - $ 5 0 ,0 0 0(S ee Co lu mn s C 1 a nd D 3) N =$2 50 ,0 01 - $5 00 .0 00 O =$ 5 0 0 ,0 0 1 - $ 1 ,0 0 0 ,0 0 0

P 3 = $ 2 5 , 0 0 0 . 0 ~ 1 - $ 5 0 .0 0 0 ,0 0 03 . V a l u e M e t h o d C o d e s Q = A p p r a i s a l R =C o s t ( R ea l E s t a t e O n ly )( S e e C o l u m n C 2 ) U =B o o k V a lu e V = O t h e r

C = $ 2 , 5 0 1 - $ 5 , 0 0 0 D = $ 5 ,0 0 1 - $ 1 5 ,0 0 0 E = $ 1 5 ,0 0 1 - $ 5 0 ,0 0 0H 1 = $ 1 0 0 0 0 0 1 - $ 5 0 0 0 0 0 0 H2 =More than $5,000,000 .....L = $ 5 0 , 0 0 1 ~ $ 1 0 0 ,0 ~ 0 M - - ~ 1 0 6 ! ~ i ; $ 2 ~ 0 1 0 0 0 :P 1 = $ i : 0 0 0 ; 0 0 i : s ~ , o o O ; o o o P2~$~ioooi001 ~!00~:o00 : :S =Assessraent T ~ash MarketW =Estimated :


5/8


N a m e o f P e r s o n R e p o r t in gR O T H , J A N E R .

D a t e o f R e p o r t08/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , t ran sac t ion s ( I n c ludes t hose o f spouse an d depen den t c h i ldren ; see pp . 34-60 of filing instructions.)[~ NONE i ncom e , asse t s , or t ransact i ons .)eportable

1 8 . W i l m L a r g e - C a p F u n d B In te res t N T B u y 08/26/10 M

19. Trust

20 . Mu nic ipa l B ond F u n d B Interest I21 . Wilm Tru s t Corp . Comm on22 . W T C C o m m o n F un d s A D iv idend23 .24 . Wilm Pr ime Money Marke t A Interest

K

K

J

TTT

T

So ld 03 /16 /10(part)Sold 01/19/10(part)

JJ

25 . Wilm Tru s t I RA26 . G u idan c e C ap B lu e T.E. Fu n d N on e

2 7 . W i l m T r u s t I n t e m a t l S t r a te g i c F u n d B Interest

T

So ld 04/26/10 M28 . V a n g u a r d E m e r g i n g M a r k e t s A Interest S o l d 04/28/10 L

29 . S o l d 05 /14/10 L(par t )30 . P i mc o H i g h Yi e l d E ln te res t M T B u y 04/26/10 K( ad d l )31 . B u y 08 / 26 / I0 K

( ad d l )32 . W i l m T r u s t M u t u a l F u n d - M i d C a p A Interest K T33 . U . S . G o v t F u n d A Interest M T

34 . W i l m R e a l A s s e t Fu n d B Interest T S o l d 04/27/10 L(par t )

1~ in~rm~ Gfiin C~Si A =$L000 o r le ss B =$L001 z $2;5 00 C--$2,501 - $5,000 D =$5,0 0 1 - $1 5 ,0 ~ E = $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0 ,F ~550~001 : $100,000 .... G ~$100 001:, 51,000,000 H 2 = Mor e t han $5 ,000 ,00 0

.2 . Value Codes J =$15.000 or less K =$15,00i ~ $50,000 " L 255oi061 ~ $i601~6 ~ - - ~ ioo ioo l ~ g2~ 61~(Se e C o lum n s C 1 a n d 0 3 ) N =$250,001 - $500.000 O ~$500 001- $1 000:000 =$5,000,001 - $25~000,000 :P3 =$25,000.001 - $50,000,000 ...... P 4 ~ M o r ~ i h a~ $ ~ 0 1 0 0 0 ~ 0 0 03. V alu e Method Codes Q =Appraisal R ~Cost (Real Es tatc Only) T ~ - 4 2 a sh M a r k et(See Column C2) U =Book Value V =Other W =Estimated


6/8


N a m e o f P e r so n R e p o r t i n gR O T H , J A N E R .

Date of Report08/10/2011

VII. I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , ~ r u n s a c t i o ,s (Includes those of spou .... d de pe nde n t ch i ldre n; se e p p . 3 4 - 6 0 o f f ! l l ng instru ct io ns. )[ ~ ] N O N E (No repor table income, a sse t s , or t ransac t ions . )

: Place , (x)l[

35 .36 .37. Ishares38 .39 . F ide l it y High I ncome F u nd4 0.4 1.42 . W i l m T r u s t R o t h IR A A

T S o l d 08 /26 /10 K(part) IT So ld 12/13/10 M(pal t )

Interest M T Bu y 04 /28 /10 MT So ld 09/24 /1 0 K(part)T Bu y 05/21 /1 0 MT Bu y 06/1 4 /1 0 J(ad d l )T So ld 12/13/10 M

Interest M T S p i n o f f 12/27/10 M( f ro m l in e 25)


7/8


N a m e o f P e r s o n R e p o r t i n gR O T H , J A N E R .

D a t e o f R e p o r t08/I0/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndicatepartofrepor~)P ar t VI I , li n e 8 o f 2 0 0 9 R ep o r t , S h er in g -P l o u g h C o m mo n , wa s so l d o n M ay 6 , 2 0 0 9 , f o r an am o u n t i n C a t eg o r y K . Th i s s a l e was i n ad v er t en t ly o m i t ed f r o m t h e2 0 0 9 R ep o r t . Bec au se t h e r e i s n o l o n g er a h o l d i n g i n S h er i n g -P l o u g h C o m mo n , i t was n o t en t e r ed i n P a r t VI I o f t h e 2 0 1 0 R e p o r t .


8/8

FINANCIAL DISCLOSURE REPOR TPage 8 of 8

Name of Person Report ingR O T H , J A N E R .

Date of Report08/ I0/2011

IX. CERTIFICATION.

I c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n in 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 ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f, a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e ld b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c lo s u r e .

I f u r t h e r c e r ti f y t h 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 ts w h i c h h a v e b e e n r e p o r t e d a r e i nc o mp l i an c e wi t h t h e p r o v i s i o n s o f 5 U . S . C . ap p . 50 1 e t . s eq . , 5 U . S . C . 7 3 53 , an d J u d i c i a l C o n f e r en c e r eg u l a t i o n s .

Signat ure : S/JANE R. ROTH

N O T E : A N Y I N D I V ID 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 F A L S I F I ES O R F A I L S T O F IL 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 ILA 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 )

C o m m i tt e e o n F in a n c i a l D i s c lo s u r eA d m i n i s t ra t i v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544

Documents

Jane R Roth Financial Disclosure Report for 2010