· 2019. 7. 26. · ___ /.0 M7 . NANCIAL DISCLOSRE REPORT Nme of Pn pong . e of pot ·Page 8 of8 ....

$: · 2019. 7. 26. · ___ /.0 M7 . NANCIAL DISCLOSRE REPORT Nme of Pn pong . e of pot ·Page 8 of8 . Linn, chad . 0321207. X. CERTFICATION. I cery that all Inforaion given aove {including$
5b.

ORGANIZATION/ENTITY

_.,-_ or tal

=q ry 0

3. Member

Report Required by lhe Ethics AOlO FINANCIAL DISCLOSURE REPORT

in Government Act of1978Rev . . 112007 FOR CALENDAR YEAR 2006 (5 u.s.c. opp.§§ 101-111)

1. Person Reporting (last name, first, middle Initial)

Linn, Richanl

2. Court or Organl7.ation

U.S. Court of Appeals, Fed Cir

3.Date of Report

03/21/2007

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

U.S. Circuit Judge - Active

Sa. Report Type (check appropriate type)

D Nomimtion, Date

D Initial Annual D Final

6. Reporting Period

01101/2006 to

12/31/2006

7. Chambers or Ollice Address

U.S. Court of Appeals 717 Madison Place, N.W. Washington, DC 20439

D Amended Report

8. On the basl!I of the information contained in this Report and any moduications pertaining thereto, It is, in my opinion, in compliance with appDcable laws and regulations.

Reviewing Officer Date

IMPORTANT NOTES: The instriu:tions llCCOmpanying this fonn must be followed. CtT111p1ete allpans, checking the NONE box for each part where yo" have IW reportable infonnation. Sign on lastpage.

I. POSITIONS. (Reporfing indillidual only; see pp. 9-13 of instructions.)

D NONE (No reportable positions.)

POSffiON NAME OF

1. Member Intellectual Property Advisory Board, Geoxge Washington University Law School

2. Past-President The Giles S. Rich American Inn ofCourt

The Richard Linn American Inn ofCourt

4.

5.

II. AGREEMENTS. (Reporling individual only; see pp. 14-16 of instructions.)

D NONE (No reportable agreements.)

,._, = = __,en

c)

;-,-,

:::0 rn ("') rn

��z .. --}::> :Xi:z

PARTIES AND TERMS

f'JC) Marks & Murase Settlement Agreement and Release (for practice of law prior to 080f.!997, wi

-n r fT1 t) i 'i

1. 05/02/00 reserves), amended August 2006

2.

3.

SOURCE AND TYPE

SOURCE

INCOME

5.

4.

Date of Report Name of Penoo Reporting FINANCIAL DISCLOSURE REPORT Page 2 of8 03/21/2007Linn. Richard

m. NON-INVESTMENT IN COME. (Reporting individual and spouse: see PP. 11-24 ofinstructions.>

A. Filer's Non-Investment Income

IKJ NONE (No reportable non-investment income.) .

SOURCE AND TYPE (yours, not spouse's)

1.

2.

3.

4.

B. Spouse's Non-Investment Income - If you were married during 11'9' portion of the repofting yeor, complete thJ.9 sedlon.

(Dollar amount not required except for honoraria.)

IKJ NONE (No reportable non-investment income.)

1.

2.

3.

4.

5.

IV. REIMBURSEMENTS - transportaJJon, lodglng,food, entertalnmenL

(Includes those to spouse and dependent children. See pp. 25-27 ofi111·tructions.)

D NONE (No reportable reimbursements.)

DESCRIPTION

1. Virginia State Bar June 15-16 - Virginia Beach, VA - Bar Association Meeting (Transportation, Meals, and Hotel)

2. Austin lntellectual Property Law Association November 10-12 Austin, TX-Annual Judges' Dinner (Transportation, Meals, and Hotel) -

3.

5.

DESCRIPTION YALUECODE

4.

FINANCIAL DISCLOSURE REPORT

Page 3 of8

Name of Person Reporting

Linn, Richard

V• GIFTS. (lndlllks those to spouse and dependent childrelL See pp. 28-31 of lnstrucJJons.)

[Kl NONE (No reportable gifts.)

SOURCE DESCRIPTION

1.

2.

3.

4.

5.

Date of Report

03121/2007

VALUE

VL LIABILITIES. (Includes those of spouse and dependent chUdren. See pp. 32-33 oflnttruclions.)

[Kl NONE (No reportable liabilities.)

CREDITOR

1.

2.

3.

5.

A.

Name of Penon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page4of8 Linn, Richard 03/2112007

v:n. INVESTMENTS and TRUSTS income, vallle, transadions (lndlllies those of the spouse and tkpmdenlchildren. Seepp. 34-60 offtling instructions.) -

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

Description of Assets

(including trust asse1s)

Place "(X)" after each asset exempt frompriordisclosure

B. c. D. Income during Gross value at end of Tnmsactions during reporting period

reporting period reporting period

(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type(e.g. Value Value Type(e.g. Date Value Gain Jdenlityof Code 1 div., rent, Code2 Method buy, sell, MonJh- Code2 Codel buyer/seller (A-H) orinl.) (J-P) Code3 redemption) Day (J-P) (A-H) (ifprivate

(Q-W) transaction)

1. Capital reserves held by Maiks & Murase, LL.P

None Redeem 9n K

2. Cash .Equivalent Accmmt# 1 A Interest J T

3. Cash .Equivalent Account# 2 A Interest

4. Part Redeem 3/3 K A


6. Cash .Equivalent Account# 3 A Interest J T

7. Brokerage Account# 5

8. - lnteramerican Development Bank .zero Coupon Bonds

None Redeem 3/14 L D

9. Brokerage Aceotmt # 7

10. - AMCAP Fund Class 529A A Dividend J T

11. - EuroPacific Growth Fund Class 529A A Dividend ] T

12. -Washington Mutual Investors Fund Class 529A


A Dividend J T

14. -AMCAP Fund Class 529A A Dividend Part Redeem 5122 J A See Note Part Vlll

15. - EuroPacific Growth Fund Class 529A A Dividend Part Redeem 5122 J A See Note Part Vlll

16. -Intermediate Bond Fund of America Class 529A

A Dividend Part Redeem 5122 J A See Note Part Vlll

17. Part Redeem 7/17 J A See Note Part Vlll

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

(SccColumosBI sndD4) F-$50,001 - $100,000 G =$100,001 -$1,000,000 HI -Sl,000,001 - $5,000,000 H2 -Moro lhao $5,000,000

2.Value Codes J-$J5,000orlC8B K=$15,001 - $50,000 L-$50,001 - $100,000 M-$100,001 - $250,000

(Sec ColUillllB CJ and D3) N-$250,001 - $500,000 0-$500,001 -$1,000,000 Pl -SJ,000,001 -$5,000,000 P2-$5,000,001 - $25,000,000

J. Value Melhod Codes PJ-$25,000,001 - $50,000,000 R-Cost (Real Estate Only) P4-Moro than $50,000,000 T"'°'811Mmla:I

(Sec Column C2) Q-Appraisal V-otha- s-Asscsmncnt

U-Book:Value W-Estimatcd

A.

Date of Report Name of Penoa Reporting FINANCIAL DISCLOSURE REPORT

Page 5 of8 03/2112007Linn, Richard

VII. INVESTMENTS and TRUSTS -income, vallle, tralf9actions (lncllllks those of the spouse and dqendenlchildren. See pp. 34-60 of filing instructions.)


Description of Assets

(including trust =els}

Place "(X)" after each asset

exempt from prior disclosure

B. c. D.

fncome during Gross value al cod of Tnmsaciions during reporting period

reportjngperiod reporting period

(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Type(e.g. Value Value Type(e.g. Dale Value Gain Identity of Codcl div., rent, Code2 Melhod buy, sell, Month- Code2 Code1 buyez/selltt (A-H) or int) (J-P) Codc3 redemption) Day (J-P) (A-H) (ifprivate

(Q-W) transaction)

18. - Cash Management Trust of America Class

529A A Dividend J T Part Redeem 7/17 J A

19 . Brokerage Accotmt # 9


21. - EuroPaci:fic Growth Fund Class 529A A Dividend J T

22. - Washington Mutual investors Fund Class

529A A Dividend J T

23. - intermediate Bond Fund of America Class

529A A Dividend J T





529A A Dividend J T

28. - intermediate Bond Fund of America Class

529A A Dividend J T





529A A Dividend J T



I. Income Gain Codes: A-$1,000 or less B-$1,001 - $2,500 C-$2,501 - $5,000 D-$5,001 -$15,000 E-$15,001 - $50,000

(Sec Columns Bl SDd 04) F-$50,001 - $100,000 G-$100,001 - Sl,000,000 HI -$1,000,001 - $5,000,000 H2-Moro 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

(Sec Columns Cl SDd 03) N-$250,001 -$500,000 0-$500,001 - $1,000,000 Pl -Sl,000,001 -$5,000,000 P2 -$5,000,001 - $25,000,000

3. Value Mcthnd Codes P3 -$25.,000,001 - $50,000,000 R-Cost (Real Estate Only) P4 -Moro than $50,000,000 T-cashMarlrot

(Sec Column C2) Q-Appniisal V-otha- S -Assessment

u-BookValuc w-Estimalcd

A.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 6of8 03/21/2007Unn, Richard

VII. INVESTMENTS and TRUSTS - income, value, transae/Jons (lndlllles those of the spouse tmd tkpendml children. See pp. 34-60 of filbtg inslnlctions.)


Description of Assets (including trust assets)

Place "OC)" after each asset exempt fromprior disclosure

B. c. D.

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

(1) (2) (1) (2) (1) (2) (3) (4) (5) Amount Typc(c.g. Value Value Typc(c.g. Date Value Gain Identity of Codcl div.,rent, Code2 Method buy, sell, Moruh- Code2 Code 1 buyer/seller (A-II) orinl.) (J-P) Code3 redemption) Day (J-P) (A-II) (if private

(Q-W} transaction)

35. - EuroPacific Growth Fund Class 529A A Dividend J T

36. - Washington Mutual lnvestors Fund Class 529A(X)

A Dividend J T

37. - Intermediate Bond Flllld of America Class 529A

A Dividend J T

38. - Cash Management Trust of America Class 529A

A Dividend J T

39. Brokerage Accollllt # 13

40. - American Fllllds Growth-Income Separate Accollllt

None L T

41. - American Fllllds Growth Separate Accollllt None M T

42. - T. Rowe Price Large Cap Growth Portfolio Separate Accollllt

None M T

43. - Harris Oakmark Large Cap V aloe Separate Accollllt

None M T

44. - Russell 2000 lndex Portfolio Separate Accollllt

None L T

45. - Fl Intemational Stock Portfolio Separate Accollllt

None M T

46. Brokerage ACCOllllt # 14

47. - Neuberger Berman Real Estate Portfolio Separate Accollllt

None L T

48. - MetLife Stock Index Portfolio Separate Accollllt

None L T

I. Income Gain Codco: A-$1,000orlcss B-$1,001 - $2,500 c-$2,501 -$5,000 D-$5,001 - $15,000 E-$15,001 -$50,000

(SccColumn8BI andD4} F-$50,001-$100,000 G-$100,001 -$1,000,000 HI -$1,000,001 - $5,000,000 H2 -More than $5,000,000

2. Value Codco J-$15,000orlCOB K-$15,001 -$50,000 L -$50,001 -$100,000 M-$100,001 -$250,000

(Sec Columns Cl and DJ) 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

3. Value Method Codco P3 -$25,000,001 -$50,000,000 R <oat (R£8I Estate Only) P4-More than $50,000,000 T "'°'9h Market

(Sec Column C2) Q-Appraisal V-otha- S -Assessment

u-BookValuc w -Eslimslcd


Page 7 of8

Name of Penoa Reporting

Linn, Richard

Date of Rqiort

03/2112007

VIlI. ADDmONAL INFORMATION OR EXPLANATIONS. (lndicalepar10JReporLJ

Part Vil, lines 14, 15, 16, and 17: year-end value codes are not listed in column C{l) not because the funds were completely closed but because they each fell below the minumum reporting requirement at year end as a result of the reported partial redemptions.

_____ A-/ cl.0 ;M7

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

·Page 8 of8 03/2112007Linn, Richard

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 S U.S.C. app. § 501 et seq., S U.S.C. § 7353, and Judicial Conference regulations.

Signature Date

NOTE: ANY ILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS {S U.S.C. app. § 104)

FIT.ING 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

POSITTON OF ORGANIZATION/ENTITY

CJ C::::>

(/} __, ;;o m l=ry u 0

r:-;>

--.I

TERMS

3.

Report Required by the Ethics A.010 FINANCIAL DISCLOSURE REPORT in Government Act of 1978 Rev.111007 FOR CALENDAR YEAR 2006 (5 u.s.c. app. §§ 101-111)

l. Person Reporting (last name, lint, middle initial)

Linn, Riclwd

1. Court or OrguiJzation

U.S. Court of Appeals, Fed Cir

3. Date of Rqiort

03/2812007

4. 11tle (Article m judges lndlcateactlve or senior statas; magistrate jadga Indicate fall.. or part-time)

U.S. Cireuit Judge - Active

Sa. Rqiort Type (check appropriate type)

D Nomination, Date

D Initial Ammal D Final

6. Rqtorting Period

01/01/2006 to

12/31/2006

5b. AmmdedR.eport

7. Cbamben or Office Addras

U.S. Court of Appeals 717 Madison.Pl.ace, N.W. Washington, DC 20439

8. On the basis of the Information contained In this Rqiort and any modlfiatiom pertaining th it is, In my opinion, In compUance with applcable and regalatlom..

Re\'lewlng Oftlcer Date

.'

IMPORTANTNOTES: TM bistnditnisllCCO�tldsfonn mllSI befoOowed. CollfJ1lete all pans, cli«ldng tire NONE baJ&for. eaci !"'!' """'f!l!_l'"' e no reportlllJle infonnatlon. Sign onlast page.

I. POSmONS. (Reporting indivlihlatonly; attpp. u of1ns1n1ctions.J

SELF INITIATEDD NONE (No reportable positions.) AMENDMENT

NAME

1. Member Jnrellectual Property Advisory Board, George Washington University Law School

2. Past-President The Giles S. Rich American Inn ofCourt

3. Member The Riclwd Linn American Inn ofCourt

4. ,.__,

CJ5. 3:

(f)Z c> N f'!l;:J :;= _o fTlO O)> <1J"""Tlr m-'l

IL AGREEMENTS. (Reporting lndlvldual only; see pp. 14-16 o/lnslructions.) (J CJ .f''l N

0 NONE (No reportable agreements.)

PARTIES AND

1. 05/02/00 Marks&: Murase Settlement Agreement and Release (for practice of law prior to 04/30/1997, with terms ofcapital reserves), amended August 2006

2.

SOURCE AND TYPE

SOPRCE AND TYPE

SOQRCE DESCRIPTION

INCOME

5.

4.

5.

Page2 of8

Date of Report Name of Penoa Reporting FINANCIAL DISCLOSURE REPORT 03/2812007Unn, Richard

m. NON-INVESTMENT INCOME. (RqHJrt1ng1ndivUbla1andspoiue;seepp.11-uo1brslnicJJons.J

A. Filer's Non-Investment Income

!!] NONE (No reportable non-investment income.)

l.

2.

3.

4.

5.

(yours, not spouse's)

B. Spouse's Non-Investment Income If yo11 were monied during 419'portion of lhe reportingyear, collfJl/eU thl.v section.-

(Dollar amount not required except for honorarla.)

!!] NONE (No reportable non-investment income.)

l.

2.

3.

4.

IV REIMBURSEMENTS -tran."l'Ortalion, lodglng,food, et1 rta1ntnent.

(lncl11des' those to SJJOllSB and dependent children. See pp. 25-27 of instructions)

0 NONE (No reportable reimbursements.)

1. Viiginia State Bar Jtme 15-16 Viiginia Beach, VA- Bar Association Meeting (Transportation, Meals, and Hotel)

-

2. Austin Intellectual Property Law Association November 10.12 -Austin, TX Annual Judges' Dinner (Transportation, Meals, and Hotel)-

3.

SOQRCE DESCRIPTION

CREDITOR DESCRIPTION

VALUE

VALUE CODE

5.

I.

Date of Report Name of Pcnon Reporting

03/2812007Unn, Richard


Page 3 of8

V• GIFTS. (lndlllles those lo spollSI! and tkpendent dtUdrt!n. SN pp. 28-31 oflnstr#cJlom.)

IKJ NONE (No reportable gifts.)

I.

2.

3.

4.

VI. LIABILITIES. (lndlldes thOSI! of spot1.fe ond di!pendent dtUdl'en.. See pp. 32-33 oflmtrucllons.)

(!] NONE (No reportable liabilities.)

2.

3.

4.

5.

A

2.

Date or Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page4of8 03/2812007Unn, Richard

vn. INVESTMENTS and TRUSTS - irrroar4 pa/JJ4 transadiom (lndlllles those of Ille spo11Se""" UpmdmJ cldldrea. See pp. 34-40 of filing btsmtdiom.)


DcscriptiOD of Assets (including frostassets)

Place •oo• after each asset exempt ftom prior disclosme

B. c. D. Income during Gross value at end of Tnmsactioos during reporting period

reporting period reportingperiod

(1)Amount Codcl (A-H)

(2) Type(e.g. div Rlll, orinl.)

(1) Value Code2 (J-P)

(2) Value

Method Code3

(Q-W)

(1) Type(e.g. buy, sell, redcmplion)

(2) Dale Monlll-Day

(3) Value Code2 (J-P)

(4) Gain Codel (A-H)

(5) ldenlityof buym'sellcr

(if private transaction)

l. Capital reserves held by Maiks & Murase, None Redeem 9n K LL.P

Cash f.quivalent Account# 1 A .Interest J T

3. Cashf.quivalent Account# 2 A .Interest


s. Part Redeem 4/3 K A

6. Cashf.quivalent Accollllt # 3 A Interest J T

7. Brokerage Account# S

8. - lnteramericanDevelopment Bank Zero None Redeem 3/14 L D Coupon Bonds



11. - EuroPacific Growth Flllld Class 529A A Dividend J T

12. - Washington Mutual Investors Fund Class A Dividend J T 529A

13. Brokerage Accollllt # 8

14. - AMCAP Flllld Class 529A A Dividend Part Redeem 5122 I A See Note Part Vlll

IS. - EuroPacifi.c Growth Fund Class 529A A Dividend Part Redeem 5122 I A See Note Part Vlll

16. - Jntermediate Bond Fund of America Class A Dividend Part Redeem 5122 J A See Note Part Vlll 529A

17. Part Redeem 7117 I A See Note Part Vlll

I. l1100111CGaiuCodca: A-Sl,000 or lcsa B-$1,001 -$2.SOO C«$2,501 • SS,000 D-SS,001-$15,000 E -$15,001 • SS0,000

(Sc:cCohmms Bl mid D4) F-$50,001-$100,000 G-SI00,001 -$1,000,000 HI -$1,000,001 -SS,000,000 Hl-Morc thanSS,000,000

2. Value Codes J-$15,000orlcss K-$15,001 • SS0,000 Loo$50,001 -$100,000 M-$100,001 -$25(1,000

(SecCol11111111 Cl 1111d 03) N -$250,001 -SS00,000 O-SS00.001 -$1,000,000 Pl -$1,000,001 • SS,000,000 P2-$5,000,001 -$25,000,000

3. Value Mcdtod Codes P3-$25,000,001-SSO,OOO,OOO R -CO.t (Real Estate Only) P4 •More than $50,000,000 T =Cash Marla:t

(Sec Colmnn C2) Q-Appraisal V-othcr S-Alscarncnl

u-BookValuc w -Elllimlllcd

A.

22.

(1) (3) (4)

(J-P)

Date of Report Name of Penoa Reporting FINANCIAL DISCLOSURE REPORT

Page 5 of8 03/28/2007Unn. Richard

VII. INVESTMENTS and TRUSTS - itu:oltfe, Pakie, trtuwu:tion.t (lncbula those o/dte spoase tUUItkpatdmlchildren. See pp. 34-60 o/fillng inslrlldions.)


B. D.c. Description of Assets fncomc during Gross value at end of Transactions during reporting period (including lrUsl a.=ts) reporting period .reporting period

(1) (2) (2) (2)(1) (S) Place ·w· atw each asset

exempt from prior disclosure Value Gain ldcnlityofTypc(c.g. Value DateAmount Value Typc(c.g.

Code 1 Code2Monlh- Code 1Code 2 Methoddiv ft:ol, buy.sell, buyer/seller (A-II) orinL) Code 3 Day (A-II) (if private redanplion) (J-P)

lrallsaction) (Q-W)

18. - Cash Management Trust ofAmerica Class A Dividend J T Part Redeem 7117 J A S29A

19. BrokerageAccount# 9

20. - AMCAP Fund Class S29A A Dividend J T


- Washington Mutual lnvestms Fund Class A Dividend J T S29A

23. - Intermediate Bond Fund ofAmerica Class A Dividend J T S29A



26. - EuroPacific Growth Fund Class S29A A Dividend J T


28. - Intermediate Bond Fund ofAmerica Class A Dividend J T S29A






34. - AMCAP Fund Class S29A A Dividend J T

I. Income Gain Coder. A-Sl,000 orlcss B -Sl,001 • $2,500 C-$2,501 • $5,000 D-SS,001-$15,000 E-SIS,001 -SS0,000

(SccColunmsBI andD4)

2- Vaine Coda F-$50.001 -$100,000

J-SIS,000 orlcss

G-$100,001-Sl,000,000

K-SIS,001 -$50,000 ·

HI -$1,000,001 -$5,000,000

L-SS0.001-$100.000

H2-More1han $5,000,000

M-$100,001 -$250,000

(Sec Colunms Cl and DJ) N -$250,001 -$500,000 0-$500,001 - Sl,000,000 Pl -$1,000.001 -$5,000,000 P2 -$5,000,001 -$25,000,000

3. Vaine Method Codes Pl-$25,000,001 -SS0,000,000 R -cost (Real Ea!BlcOnly) P4-More1han $50,000,000 T <uh Mm:ta:t

(Sec Column C2) Q-Appndsal V-othcr S-AaCSSlllClll

U-BookValuc W-Estim&lcd

A R

reporting period reporting period

(1) (2) (3) (4)

Date of Rqiort Nune of Penoa Rqiorting FINANCIAL DISCLOSURE REPORT

Page 6 of8 03/28/2007

Vll. INVESTMENTS and TRUSTS -mm•e.. Wlhle.. transadlom (lndlldes thoseaft1te spo11Se tlll4 tkpendenJ chJJt1ren. &�pp. J4-60 af fir•g imlnctiom.J

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

D.c. Income during Dcscrlption of Assets Gross value at md of Tnmsactions during rcpoiting period

(including lrust 11$Cls)

(1) (2) (2)(1) (5) Place "(X)" after each asset

exemptfrom prior discloswc Typc(c.g. Value Value Typc(c.g. Date Value Gain Jdenlityof div., Mil, Codc2 Mclhod buy, sell, Monlll- Codc2 Codcl buyedsclltz orinL) (J-P) Codc3 ICd<mplion) Day (J-P) (A-H) (ifprivate

(Q-W) lraDSaction)

Amount

Codcl (A-H)

35. - EuroPacific Growth Fund Class 529A A Dividend I T

36. - Washington Mutual Investor.; Fund Class 529A(X)

A Dividend I T

37. - Intermediate Bond Fund ofAmerica Class 529A

A Dividend I T

38. - Cash ManagementTrust ofAmerica Class 529A

A Dividend I T

39_ Brokerage Account# 13

40. - American Funds Growth-Income Separate Account

None L T Part Redeem 7fll I A See Note Part vm

41. - American Funds Growth Separate Aa:omrt None M T Part Redeem 7/21 J A See Note Part vm

42. - T. Rowe Price Large Cap Growth Portfolio Separate Aa:ount

43. - Haois Oakmark Large Cap Value Separate Aa:ount

None

None

M

M

T

T

Part Redeem

Part Redeem

7/21

7/21

J

J

A

A

See Note Part vm

See Note Part vm

44. - Russell 2000 Index Portfolio Separate Account

None L T Part Redeem 7/21 J A See Note Part Vfil

45. - Fl International Stock Portfolio Separate Account

None M T Part Redeem 7/21 J A See Note Part vm

46. Brokerage Aa:ount # 14

47. - Neuberger Berman Real Estate Portfolio Separate Account

None L T

48. - MetLife Stock Index Portfolio Separate Account

None L T

I. Jocomc Gain Codco: A-st,000 or less B-Sl,001 -$2,SOO C-$2,501-$5,000 D --SS,001 -$15,000 E-SIS,001 -$50,000

(SccCollDllDI Bl and 04} F-SS0,001-$100,000 G-Sl00,001-$1,000,000 HI -Sl,000,001 - $5,000,000 112 -Mon: lhan $5,000,000

2. Value Codes J-SIS,OOOorlcas K-SlS,001 -$50,000 L-$50,001 -$100,000 M-$100,001 -$250,000

(Sec CollDllDS Cl and DJ} N-wo,001 -$500,000 0-SS00,001 -$1,000,000 Pl -Sl,000,001 -$5,000,000 P2-SS,OOO,OOI -$25,000,000

J. Value Mcdiod Codes PJ -$25,000,001 -$50,000,000 R -cost (Real Emtc Only} P4-Morc than SS0,000,000 T-caah Mm:kl:t

(Sec Colmnn Cl) Q-Appraisal V-otha s-ABscssmcnt

U-Book Value w -Estimated

Name of Penan Reporting Da1e of Report FINANCIAL DISCLOSURE REPORT

Page 7 of8 03/28fl007Unn, Richard

VIIL ADDITIONAL INFORMATION OR EXPLANATIONS. (lndlclllepttrto/Rqort.)

Part Vil, lines 14, 15, 16, and 17: year-end value codes are not listed in column C(l) not because the funds were completely closed but because they each fell below the minumum reporting requirement at year end as a result of the reported partial redemptions.

Part Vil, lines 40-45: these transactions initially were thought to be under the reporting limit and, thus, were not included in the report filed 3/21/07. That oversight is corrected by this amended report

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 8 of8 03/28/2007Unn,Rkbard

IX. CERTIFICATION.

I certify that all Information given above (Including Information pertaining to my spouse and minor or dependent children, Ifany) Is accurate, true, and complete to the best of my knowledge and belief, and that any In formation not reported was withheld because It met applicable statutory provisions permitting non-disclosure.

I further certify that earned Income from ontslde employment and honorarla and the acceptance of gifts which have been reported are In compliance with the provisions of S U.S.C. app. § SOI et. seq., S U.S.C. § 7353, and Judicial Conference regulations.

Signa

NOTE AND CRIMINAL SANCTIONS (S 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

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