D

POSl'flON NAME ORGANIZATJON/BNTJTY

PARTIBS AND TEI:U.·1S

:;io10. ·:.Rf!\: l/i.01 .. FINANCIAL DISCLOSURE UEPORT

FOR CALENDAR YEAR 2011

I. rcrson R•porlfng (!Bsl name, nrst, middle lnlUa\) 2, Courl or Organl•allon

KING, C1\ROLYND, U.S. COURT 01' APPEALS Hll CIR.

.f. Tille (.\rlklc Ill JudgcJ lndlcalt aclll'eor senior sla1Us1 Sn. llcporl Trre {check appropriate type) rnoglma10 Judgos lndlcatc full· or 1mt-1ime)

0 Nomination DAio

U.S. CIRCUIT JUDGE (ACTIVE} lnftfal [{J Annual 0 Fin I

Sb. D Amended R<poit

7. Chnmlitrs or omce Addrm

U.S. COURTHOUSE, ROOM 11020 SIS RUSK A VBNU JIOUSTON, TX 77002-2694

Report R qufrerl by 1l1e Er/if cs

111 Go1•cn1111e111 tfc1o/1978 (5 U.S.C. app. §§JOI-I 1 J)

3, Daft oflltporl

04/12/2012

6. ltrporllng Period

01101no11

lo

12131/2011

IAJPORTANT NOTES: Tiie i11str11ctlom aeco111pni1y/11g tl1fs/om11111111 befo/1011' 1/. Complete all pnrts, clleckl11g tile NONE box for errch jlnr/ 11'/lere )'011 /rni•e 110 rcporlrrb/11 /11for111at/011, lmert lfgmrfurc 011 fas/ pnge,

I. pOSITIONS. {Htpo11/11g /11Jhltf11nl 0111)'/ uepp. 9-13 ofjl/Fng /i15/r11r//0111.)

D NONE (No reportable pos/flons.)

OF

I. RESl!ARCll I'E[,LOW THE CllNTllR FOR AMF.RICAN AND INTl!RNATIONAL LAW

2, M!!MOBR OF COUNCI[, ANDO!' COUNCIL'S IlXF.CUTIVIl AMP.RICAN LAW INSTITUTE

COM llTillE; TRilASURllR

3. MllMOER OF ADVISORY IlOARD THB CENTP.R FOR THOMISTIC STIJDJES, UNIVERSITY OF SAINT

THOMAS

'1. MllMDilR OF PRllSJIJENT'S BOARD OF ADVISORS UNIVERSITY 011 SAINT7110MAS

s. MilMmm OP BOARD OF TRUSIEES AND or THE BOARD'S BAYLOR COLLEOB OF M!lDICINB

EXECUTIVI! COMMIITilll

II. AGREEMENTS. (Rt(IO///llg /11d/r/J11a/ 0111)'1 ue pp. /.1-16 offil/11g lm1mr1/011r.)

[{] NONE (No reportable agreements.)

I.

2.

3.

SOURCE AND JNCOME

SOURCE AND TYPE

CB LOCATION PURPOSE ITEMS PAID PROVIDED

FINANCJAJ, DISCLOSURE lilll>ORT

Page 2 of9

N•me ofl'<rson lleporlfng

KING, CA ROJ,Yi'I D.

Daleoflltporl

04112/2012

II(, NON JNVESTMENT JNCOJVIE, (RfpOt//11gf11dil'ld110/a111fspo11stJutpp. /7-1./qfj1/111g/mr1uc1fo111.)

A. Flier's No11-I1westment Income

[{] NONE (No reportable 11011-in11es1mclll income.)

TYPE

I.

2.

(yours, not spouse's)

3.

4.

B. Spouse's Non-Investment Income· f/)'orr 11>e1e111arrltdd1u/11ga11,.po11/011"/1/re upot1/11gyear, co111ptm1!1/sstt1/011.

(Doftaramormt mt rtqulred e.rctplfor lto11orar/a.)

0 NONB (No 1·cportab/e 11011-invest111e11t i11co111e.)

1.2011 Seo nttnched report ofThom s M. Reavley

2.

3.

4.

IV. REIMBURSEMRNTS .. /ra11.<po11a1/u11, (odg(11g,/001I, tllff(/alttnlllrf.

(ftrcludu those lo spouse llttd depwcfmt rht/Jren: st1 Pl )5.27 of fl/111g lmrmcrlom.)

D NONE (No rcpm·table rcl111b11rseme11ts.)

SOUR llATIIB

I. AMIJlllCAN LAW 1120.21, 2011 PHILADilLPfflA, PA INSTITUTl.l

2. AMl!RIC1\N LAW 2114, 2011 PlllLADIJLPlllA, J>A INSTITUTR

A TIBND MT!nTING AT ALI HEADQUARTERS

ATil!NDMERTINO AT AU Hl!ADQUARTP.RS

OR

R!l!MBURSl!M13NT OF LODOJNO, MllALS, TRANSPORTATION AND AlRPARE

REIMBURSJ!MI!NT OF TRANSPORTA'flON AND AIRP ARE

3. MARQUl1TI'll UNIVHHSJTY

416·1, 201 I MIL\VAUKl!TI, WI ATTEND MOOT COURT COMPl:!T!TION

REIMBURSEMENT OF LODOINO, MllALS, TRANSPORTATION AND AIRlWIB

4. AMllRICAN LA\\' INSTJTlJTI!

4111, 2011 PlllLADELPHIA, PA ATTl!NDMl!IlTINO AT ALIIlflAPQUARTERS

RlllMBURSilMl!NT OF TRANSPORTATlON AND A1RPARB

---------------------------

Namo of Person Reportlnc Dalt ofRrporlFINANCIAL DISCLOSURE REPORT

Page 3 of9 KING, CAROLYN D. 0411212012

S. AMERICAN LAW INSTITUTI!

S/14-19, 2011 SAN PRANCISCO, CA ATTl!ND ALI ANNUAL MEETING

RDIMDURSP.Ml?NTOF LODOINO,. MEALS, TRANSPORTATION AND AtnPARB

6. STATP.RAROPTRXAS 6122-23, 2011 SAN ANTONIO, TX ATTEND STATE BAR

MEBTINO Rl!IMllURSBMllNTOFLODGINO, MBALS AND AIRFARE

7. PEPPERDINB UNIVERSITY SCHOOL OF I.AW

9123·24,2011 MALIDU,CA ATTEND EDUCATIONAL PROGRAM

RElMIJURSllMllNT OF LODGING, TRANSPORTATION AND AIRFARE

8. AMERICAN LAW INSTITUTE

10119-23, ?.011 NEW YORK, NY ATTEND COUNCIL MBllTINO

RillMBURSP.MllNT OF LODGING, MllALS, TRANSPORTATION AND AlRflARE

9.

fo.

SOURCE DESCRIPTJON

DESCRJPTTON

VALUR

YALUECODE

Dare ofRcporl Name of Pmon Rtporllng FINANCIAL DISCLOSURE REPORT

Page 4 of9 04/12/2012KING, c,mOINN D,

V, GIFTS, (btrf111fa t/1ostto spo11ren//d dtptm/ent c/1/Mrt11/ see pp. 28·31 ofj11/11g lmlrtrtllcm.)

[ZJ NONE (No repol'/(lb/e gljls.)

I,

2.

3.

4.

s.

VJ, LIABILITIES, (Juc/111/ts JftMe o/•pom• n11d 1ltpm1leit1r/11ftlrt111 setpp. J1·JJ offll/11g tus1111c1/0111.J

D NONil (No reportable /Jabil/ties.)

CREDITOR

I. 2011

2.

3.

•I.

s.

Ste all chcd 1eport ofThomns M. Reavloy

L

T

n 0 v

A.

(I) (2) 1)· (¢.g.,

(I)

FINANCIAL DISCLOSURE REPORT

Page 5 of9

Nameof P•rson Rc11orlrng

!ONG, CAROLYN D.

D leorneporl

0411212012

VII, JN\7EST1\1ENTS filld TRUSTS •• lllWll(, \'Mlle, fr<tmaftloM(/11(/t11fts 1/ioreo/•po11rt 011rl rftp111rlt11/ rldftlrm; uepp. Jl-60 of fll/11g i11tlf/lrt/011r.)

·D NONE (No reportabla f11co111e, assets, 01 fra11saclio11s.)

n. c. D. Dcmiptlon of Asscls Income <luring Gross 1·a!ue al end r1ansacllon< di•rlng h'j>Orllng period

(fr.eluding lrost emli) 1epo11ing period ofr porling period

(2) (I) {2) {J) (4) ($)PbN "(h1'' llcrochaml Value Valuo D>IQ Yalu Oiin ldcnlity orAmount Typc(c.g.,

txempl from prior dlsdo1uro Code I div.,rc11f,, Codc2 Mclhod buy, sell, mmtddln· Ccde2 Codol b11ycrlsel!cr(A·ll) orlnt.) (J·P) Code redemption) (J·P) (Ml) (ifprl\'310

{Q·\V) lr n\llclion)

I, Compass Bank Hous1on, TX (MoMy A Jntcrcsl K T Morkct)

2. J.P. Morgan Chaso Common S1ock A Di\'ldend K T (fonncrly J.P. Morgan & Co,)

3. Ocncml Illeclric Co. Common Stock B Dividend T

"· IBM Comn1011 Stock A Dividend K T

5. D.uon Mcbil Corp. Common Sieck D Dividend I,

6. Cornµ ss Bonk Checking Acto11111 --

None 1 T

7.

8. ·r. Rowo Ptice Small Cnp Voluofurlll D Distribution M T

9. Dividend

JO. T. Rowe Price New Em Pund D Distrlbulion M T

JI. Dividend

12. Northwestem M111ual Whole Life Policies - Dividend Seo Pait Y Ill

13. i\bboll Lnbs Common Stock D Dividend L T

M. llllnob Tool Works Inc Common Stoel: D Dividend M T

15. 5% Cnlifomlo Economic Recovery Bonds c lnlerest M T Dua 11112015

16. l'roctct & Oamblc Common Stock c Dividend M T

17. 3.8% NY Slate Thmwny i\111. Oen. Rev. c lrltcrest M T llonds Due l/1/2015

1. fmon OJ!ti CoJi:-1: ,\•St,OOOorl!" U=Sl.001 • $1,lOO C•St.SOI dMOO D-$S,OOI • $1$,000 E =SJS,001 • SS0,000 (S« Colwr.n1 Ul anJ Pl) P=SSD,OOl ·Sl00,000 O •SIOO,OQJ · Sl.000,000 Jll •St,000,COJ • S>,OO'l.000 ttl =Moro i!iUI SS,000,000

2.VolwCoJ.is J •SIS,OOODi Im K •SIS,001 • SSll,000 L •Sl0,001 • SI00,000 M •SI00,001 • SllD,000 (Su Col•ll'.nl Cl •• DJ) N $llO!lOl • SSOO,O(O 0 •SSOO,COJ • Sl,OIJ0,000 rt •Sl.000.00l ·S OOO.ClOO P2-S .ooo.001 • SJS,000,000

rl •$25,000,001 • Sl0,000,000 I' -?>l0<c 1l" SSQ,000,000 J. V•lc'<' Mrtll<>d C<>.!11 Q•App1'l1Jl R •Co1t(R>olli11Jlc Ooly) S ..AncmtlC'nl T•C31h M1.t<1

(Sec Colcmn Cl) U•ONkV!fu-: V l><t w-rniru1tN

M

-

M T

M T

-

-

c.

(3) (4) Type (o.g.,

N me ot l' non Rfporllng Dateorncpo1tFINANCIAL DISCLOSURE REPORT

Page 6 of9 l{JNG, CAROLYN D, 04/12/2012

v II, JN VESTlHENT s nn<l TRUSTS ·· fli(OJ!lf, mlue, ltlllll•tl/om (l11rlmln 1/we of spouse mu! drµr111ft11f t/1/ltfrm: H pp, JUO of jll/11g lmt111ctltms.)

D NONB (No reportable l11comc, assets, or tra11sactlc11s.)

A. o. D,

D miptlon of As<cls Income during 01011 valve at end T11JnS3clion1 du1l11g reporting period (Including trosl assels) reporting p(t!od of reporting period

(1) m (I) (2) (1) (2) (5)Placo "(X)" efi•r tach ossct Amount Typo(o.g., Valuo Valt\C

e. empl from prior dlsclosur Code I div., rcnl, Cod 2 >-klhQd (A-II) or!nl.) (H) Code

Dalo Va file Oa!n ldcnlityof buy, sell, mm/dd/y)' Codc2 Codo I buyer/sol lcr

r<dcmpllon) CJ.I>) (A·I!) (lfprivata (Q·W) transaction)

18. 5% Denver Colo City&. Cnty Rev. Douds c Interest T Du 9111101 S

19. Akron, OH C'fFS l'ARTN $% nondsDuc D Interest l\I T 12/01/).011

20. C<Jrv11s Christi, TX VIII Sys Rev 4% Il<Jndi c Interest Due?/1512012

21, Northwestem Mul\ial Vnrinblo Annuity Nono Policy

22. aunultnnt)

23. Tarran! CntyTc. lka ll LTH FACS Pol' c lute rest M T Corp 5% Bonds

24. Due 12/lnOI!>

2S. Texas Transn Comnm ST Hwy PD Rov S% c lnlercst M T nouds Duc'l/J/2019

26. Northwcstem l\lut1ml Jnsnrnnce Scrl'kc A Interest J T Account

27. Glnxosmilhkllnc PLC B Dividend K T

28. Ooldnmn Sachs Bank A Interest l\I T

29. King CNTY WA SCH 00 S% Bonds Duo c Interest M T 12/1/2013

30, Toxas 00 S% Donds Duo 411/2019 c Jn1crcs1 M T

31. Phocnli< AZ Rov. So/o Bonds Due 711/2018 c Interest l\I T

32. Chevron Corp. ll Dividend L T

33. Royal Dulch Shell c Dividend L T

34. Dnlfos a11y TX Cmnty College GO 5% c lnlerest M T Bonds Duo 2/W21

I. lnt'<lrnC' 0.1f11 Codts: A-Sl.<>oootlm ll •Sl,001 • !l,lOO C-U,lOI • IS.llOO D-Sl,001 • $1S,000 ll •SIS,001 • $!0,000

( Colutnn1 Bl •nd Pl) t' •SS0,001 • $100,COO O •SI00,001 • $1,000,000 111-s1.ooo,001. ss.c-00.000 Ill Mt>r< lli11l Sl,000.000 2. Vtlt>oCN<s· J •SIS,OOOor Im K •$15,001 • $10,00J L•$50,001 • SJ00,000 M s100,00I • $lSO,OOO

(S.:o Co?i.r,., Cl •n4 DJ) N •Sll0,001 • $50<'.1,000 O•Sl00.001 • Sl,000,lX<l rr -s1,ooo.001 • ss.000,000 ri ss.000.001 • m.000.000 PJ ·S1l,ON,00t • sio.cm.ooo N •Mor< lh>n SS0,000,000

l. V1hie Muliod coJc1 Q·Arrulul II -<:01\ (R<JI l!ll•!< Only) S-=AS SlA':fflt T •fa•h hilcl (So<Co!U/l\11 Cl) U•!lcckV•lu< V r-Ol!><r \VuEstinut

c.

(I) (I) (2) (1)

FINANCIAL DISCLOSURE REPORT

Page 7 of9

N•mc of roson R•porllng

KING, CAROLYN D,

Dale or Reporl

04/12/2012

VJI. INVESTMENTS and TRUSTS -l11ro111e, l"aflle, tranrar1fo11r (l11r/1UIU //me o/spomeni1d d•pmrftllf clllld1t11; Sft pp, JJ·60 c/j/1!11g lmtm<1/011r.)

0 NONE (No reportable /11come, assets, 01· trm1sact/011sJ

A. ll. D. P miplion of Assets Income d11rfng Gross vatuo ot end rramaclions du1lng 1c lll11g pt1iod

(lnclu rng lru11 assets) rep-0rfl11g riod ofr porllng period

(2) (2) (I) (J) (5) !'Jaco "{X)" ancr each aml Amount r (c.g., Valuo Value T (o.t., Dato Volue Oa!n Jd1nlityof

c. empt from prior disclosure Code l dh'.,rcnt, Codo2 Method b11y,scll, nmildd.l)'y Codc2 Code I uycr/scllcr (A·ll) o:>rfnt.) (H} Codo) redemp1lon) {J.P) (A·ll) (!rprlvale

(Q·W} tm1s1ctlon)

3S, Massach11sens GO 5.25% Bonds Due 811/2021

c In!cresl M T Buy 03108111

36,

M

li•SIS,001 • $!0,000 I. ln«>nl< 01fn Cc-ks: A-Sl.OOOorkn ll<Sl,001 • S1,SOO c-s .lOI - Sl.000 D•$S,OOI • $1$,000 (St< ColllfRnS TI I Ol'i DI) F•Sl0,001·5100,COO o ·5100,001 • Sl,000,000 HI •Sl,000,001 • SS,000,000 l12 •Mo1c th"I SS,000,000

1.\'1l C<>k1 J •S15,000 o<I«• KuSIS,001 ·Sl0,000 L•$l0,00I • SI00,000 M-$100,001 • Sll0,000 (S" ColllJMt Cl •ll'I Dl) N•Sll0,001 • SS00,000 O 9l00,00I • Sl,000,000 r1 -s1.ooo,001-ss.ooo.ooo Pl ·Sl,000,001 • Sll,000,000

pj uSJJ,000.001. sso.otximo N •Mo« 1h>n Sl0,000,000 J. \'•lo-: M<&Md CoJ" Q•.Appul»l R •Co1l (R<>I £1hle O•ly) S ·A nmn nt T<Cllb M•rk<l

(S<• ColCIM Cl) U•IJook\'•loe V•O!h<r \\'•Enlm.ltcd

Name or l'trion nrvorllng

KJNG, CAROLYN D.

Date orR 11011

04112/2012

FINANCIAL DISCLOSURE REPORT

Page 8of9

VIII. ADDITIONAL JN.FORMATION OR EXPLANATIONS. (l111Jlcorepar1 /rtpor1.}

In response to Part VII C, I havo reported tho nggregato cas!i smrender vnlue for the whole life policies. Jn Nsponso to Pnrt Vll ll, 1 have shown tho negregatc mount ot"the dividends on those policies, which nrc used to pay th() pTQJlli11111s and increase the casli s11r1cndc1 vnluc.

I nm inmled 10 Ckcult Judge I havo nnnehcd ncopy of his 11innncial Dlsolosure Re11ort for 201 I fortho information nbo11t my-1cqnircd by the !Jlstntclfons.

llllc of RrporlNam• of rcrson ntpo1llng FINANCIAL DISCLOSURE REPORT

Page 9 of9 KING, CAROLYN D. 04/1212012

IX. CERTIFICATION.

I ccrllry tlrnl all lnformalfon glnn a!Jo\'C (lnclu1ll11g lutormnllon Jlerlnlning lo my spouse nnd minor or depe11dc111 chtldrcn, lr1111y) b nccuralc, I rue, and complelo la lhc bes! or my knowledge mid belief, and thal any lnformnllon nol rcporlc1l was wllhhcl<I because II met ap11llcallfo slntulory prol'hlons pcrmllllng 11011-1llstlornrc,

I further cc1·Ufy thnl carnccl Income from outside employmml 1rnd honorntln 111111 lhe ncceplnncc ofgifts which hn\'e been reportetl are In compllnncc with tho proYlllous ors U.S.C.111111. §SOI ct. seq., 5 U.S.C, § 7353, 111111 Jn1llclal Conference rcgulalfous.

s1gn11111rc1 s/ CAROLYN D, KING

NOTE: ANY lNDl\llllUt\J, WHO ICNOWINGJ.Y AND WILLFULI.,\' FALSIFIES OR FAILS TO FJl,E THIS REPORT MAY DE SUDJF.C'l"fO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C, 11pp. § 104)

Commitree on Finnneial Disclosure Adminislrnlive Office of the United States Courls Suite 2 301 One Colmnbus Circle, N.E. Washington, D.C, 20544