John T Noonan Jr Financial Disclosure Report for 2009

8/3/2019 John T Noonan Jr Financial Disclosure Report for 2009

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I A O J o FINANCIAL IDISCLOSURE REPO RT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act of 1978R ~ ~ , . I ! ~ 0 t 0 FOR CALE NDAR ~:.~EAR 2009 ( 5 I _ . ( S . C . , ,p p . . ~ , ~ 1 0 1 - 1 1 I )I. Person Reporting (last ~l.am~ fir.% m iddle in itia l) 2. Court o r Organ iza tio n 3. Date of Repor tNoonan, Jr.. John T. I).S. Court o f Appeals, 9ih 06/1512010

4. Iitle (A rfic tc Ill judg es in dic ate ac tive or s en io r s la ms : 5 a. R ep ort Ty pe (c he ck ap pr op ria te ~y pe ) 6. Repor t ing Per iodmagistrate judges indicate fall- or par~-tfl,:ae) [ - - -] Nominat ion, Date 01/01/2009Art iclc l l l Ju~. lge, Sct~ior [] hfitia! [] Ammal [] Final to12,3112009

5b. [] Amended7. Chambers or Off ice Address 8. On the bas i s of ti~e informat ion conta ined in thi s Repor t and an ymodifica t ions per t a in ing there to , i t is , i n my opin ion , in com pl ianceLJ.S. Court of Appeals with app l icab], . . laws ant i regu lat ions.95 Seventh SlreetSau Francisco, CA 94103 R eviewil~,g Officer Date

I A IP O R T A N T N O T E S : The instructions accompanying this form tnust be followed. Complete all parts,checking the NONE box.tbr each part where you have no reportable information. Sign on last page.

1 . P O S I T I O N S . g n , o . , i , ,g ;,,~i.,h,.;.,u.,.:.~ ~. ~- , ~ a] fiting ........ lions.)[~] NONE (No reportable positiotts.)

POSITION NA M E OF ORGAN IZATIO N/EN TITYI. Pres ident and l . )i r ec to* Tlaomas More - J acqu es lV[ a r i la i n h l s t i l u t e ( non -p r of i t c t t l t ur a l o r gan i za t ion )

2. Member Advisory Council, Transparency In ternational3. Member Editor ial Board, America~ Journal of Jur isprudence

4. Member Presidents Council , Graduate Theulogical School

! ! . A G R E E M E N T S . (Reparting individual on(; ...... pp. t4-16 tqfihng i ....... ...ions.)[ ~ NONE (No reportable agreements.)

DATE PARTIES AND TERMS!. 07101/86 1 /n i vc r s i ty 0 f Ca l i t b rn i a pen s i on bas ed o n s e rv i ce


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FINANCIAL DISCLOSURE REPORT N .... fP ..... R e p o r t i n g D o t e o f R e p o r tPage 2 of 10 Noonan, Jr. , John T. 06/15/20t 0

1 1 1 . N O N - IN V E S T M E N T I N C O M E . (Reporting individual andsp ...... ; seepp. 1 7-24 offiling i ........ions.)A. Filers Non-Investment Income

NONE (No reportable non-investment income~)DATE SOURCE AND TYPE INCOME(yours, not spouses)

1 . 2 0 0 9 Pension: University of California $42,540.962. 2009 Royalty-West Group Foundation Press $2,114.073. 2009 Stipend: University of Notre Dame $3,327.004.2009 Stipend: Uuiversity of San Francisco $ 1 , 0 0 0 .0 05. 2009 Stipend: New School University $1,000.006. 2009 Refund: California Franchise "fax B oard $8,161.007.

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 - ~f ~,ou ,~e,e married during anyportion of the reporting)ear, complete this sectiot~(Doll~r wnount no~ required except/br honoraria.)~ NONE (No reportable non-investment income.)

DATE SO~CE A~ TYPEI.2.5.4

I V . R E I M B U R S E M E N T S . . .. .. ~ v ..... io., ~,,duZnu ..tood, . . . . . . . . i ........tln~ h~Ncs those to a;o~m~e o.d dependent children, see pp 25-27 q[ifiling instructions.)

[7~ NONE (No reportable reimbursements.)SOURCE DATES. LOCATION PURPOSE ITEMS PAIl) OR PROVIDED

1 . Graduate Theological Union - 1 0 1 2 6 / 2 0 0 9 - New York, New York Meeting Airfare, "laxisP~esiden(s Council i 0 1 2 7 1 2 0 0 92 New Schon] University - 3/5/209 - 3/6/2009 New Yurk, New York C o n ~ : e r e n c e 1 odging, Airfare, TaxisSocial Research Conl~rence3 Uni~ ersity of Nolre Dame 5/[5/2009 - Nolr Dame, Indiana Commencement Address Lodging, Meals, Aicfare, Taxis5 / { 7 1 2 0 0 9


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N a m e o f P e r s o n R e p o r t in g [ D a t e o f R e p o r tP a g c F I N A N C I A L 3 o f l 0 D I S C L O S U R E R E P O R T N o o n ~ n , J r . ,~ o ~ , n r .[

0 6 / 1 5 , ~ 2 0 ~ o

4 Vi[[~nova University School 10/22/2009 Philadelphia, PA Conference Lodging, Transportation, T~ain, T~xisof Law -.T~hn F. Scarpa


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.FINANCIAl, DISCLOSURE REPO RT[ N .....

of P .....Reporting

[

Date o f ReportPage 4 of 10 Noonan, Jr., John T. (}6/15/2010

V. GIFTS.. . ~ _ ~ NONE OV o ret)ortahle . , . . , ._ .~if i~. .)

SO~CE DESCRIPTION VALL1 E1 .2.

3 .4.

5 .

~ N O N E ( N ) reportable liabilities.)C R E D I T O R D E S C R I P T I O N V A L U E C O D E

I.

3 .............................................4

5.


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N a m e o f P e r so n R e p o r t i n g D a t e o f R e p o r tP a g e F I N A N C I A L 5 o f 1 0 D I S C L O S U R E R E P O R T h,,o,,a,, , Jr., J o h n T . 0 6 / 1 5 / 2 0 1 0V i !. INVESTM ENTS an d TRUSTS - i .......... , . . . . . . . . . . . , , i , , .. O t u : l u d e s t h r , , e o]$p ....... d dependent children; xee p p . 3 4 - 6 0 ,~JHing

~ (No reportable income, assets, or transactions.)ONE

t h ~ c l u d i n g t r u s t a s ~ e ~ s ) r e p o s i n g p e r i o d o f r e p o r l i t ~ g p e r i o dAmount T y p e V a l u e ~ V a l u e [ T y p e ( e . g . , D a t e Va e G a ~ I d e n t i ty u fCode 2 [ Mmhod ! buy. sel l . mm.d&}5" Code 2 Code I boyerisel lcrxempt t?~m~ prior disclosure [ Code [ div., rent.( A - H ) o r i n t . l ( J - I ) ) l C o d e 3 r e d e m p t i o n ] ( J - P ) iAdt) ( i f p d v a l c~ ( Q - W ~ t r a n s z c t i o n )

1 . Fidelity Magellan Fund A Dividend M T "2. Fidelity CA Muni Income Fund (tbrmerly D I n t e r e s t M TSpartan CA Muni Fd)3. BP P.L.C. A DMdend J T4. Wells Fargo Checking Account A Inleresl M T5 . Wells Fargo Market Rate Account A Dividend L T6 . Wells Fargo IRAs B lnteresl K T

Dreyfus Muni B,:md Fund (lbrmerly Insured A Dividend J TMuni P, ond Fund)8. Teachers Insurance and Ammity Association D Interest M T9. DWS Global Fund (fbrmerly Scudder Intl 13 Dividend K TBo r , d Fundi0 . Wells Fargo hweshucnts-Thornburg D Dividend N T1 t. W achovi a T ime l?cpos i~ A In te res t M Ti 2. Broke.rage Accotlnl Nun}her I Bear Steamst 3 . -JP Morgun Chase A Dividend L T1 4 . -General Mills B Dividend k -r1 5 . -Procter & Gamble Cc,,nmon P, Dividend L T1 6. -Neurobiological lechno!ogies A . Di.idend 1 T1 7 . -BP P,L.C (." Dividend I_ T


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N a m e o f P e r so n R e p o r t i n g I D a t e o f R e p n r tFINANCIAL DISCLOSURE REPORT, ~ o o n a n , a t . , a o h .a ge 6 o f 1 0

[

NONE (No reportable income, assets, or transactions_)Dcscnplion ~lAsse~s Income during Gross value al e~d [ lransaclio~s during repnrlmg period~mdudiag ~mst assets) ~ reporting period of reposing period [ .......................

Ha ce"(X)"af, ...... t .... , ~A ....... Typet , , .g. , Value Value / T y p e ( e . g . , 1 Dale ~ Valt,c Gaio [denlityof~ C o d e I b u v e r , s c l ~ c rx c m p ~ f r o m p r i o r d i s c l o s u r e ~ C o d e I d [ v . . p c n L Codo 2 ~ Method [ b u y , s e l l. t n n t ~ d d / ~ . y C o d e 2

18 -Coca Col~ Common B Dividend K1 9. -Eli Lilly Coqmration B Dividend K T

20 -I[3M Common B Dividend L T2I. -Fortune Brands A Dividend K T2 2 . - M o n s a t m ~ A Dividend K T23 4fizer B Dividend K T24 -GNMA Pas s Th rou gh Poo l s A t n /e res l Sold 09.;15/09 J A2 5 . X!alverl Social Inveslment Fund B I n t e r e s t K T2 o . -JP Morgan Prime Money Ma~kel Fund A lnteresl M T B uy 02/12/0927 -)P Morgan P6me Muncy Market Fund B uy 08/13/092 ~ . . - . tP M o r g a n P r i m e b > . l u n e ~ . M a r k e t F u n d B uy 1 I .il _)/0

j29. -Dialm,nd tlill Long-Short Fund None L T30 -Ca Sta~c Universily Revenue Boud B I n t e r e s t K T.; I -Norlh of the River Sanitary District Bond B I n t e r e s t K T32 ]n is l Nu lnb cr I ( No p e rs onal i nc om e) D Dividend N T3 3 . -Fleet Small Cap Growfl~ Fnnd B uy 03/04/093a. -Fleel Mid Cap Value Fund B uy 0 3 / 0 4 " 0 9


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|FINANCIAL DISCLOSURE REPORT N .... f P ..... R e p o r t i n g [ D a t e o f R e p o r t Iage 7 of 10 Noonan, Jr., J o h n T . 06/15/2010V I I . I N V E S T M E N T S a n d T R U S T S - - i , , ~ . . . . . . . . . t,,e,, . . . . . . . . tio,,s(lnct,,desttwseofsp ....... ddepe,,denrchltdremseepp. 34-60offitinginstructi,,ns.)

N O N E LVo reportable income, assets, or transactions.)D e s c r i p t i o n o f A . s s e ~ s I n c o m e d u r i n g G ro s s v a l u e a t e n d 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( i n c lu d i n g t r u s t a s s c ~ s l r e p or t i n g pe ri o d o f re p o r t in g p e r i o d "

P l a c e " ( X ) " a f t e r e a c h a s s e l A n o u n( T y p e (e . g .. I V a l u e V a l u e T y p e ( e . g . . ! Date Value Gain I d e n t i t y o fe x e m p t f r o m p r i o r d i s c l o s u re C o d e [ d l v . . r e n t . C o d e 2 M e t h o d b u y , sell, ] m m f d ~ t y y C o d : : 2 Code I b u y e r / s e l l e r[ A - H ) ) r m l . ) ( J - P ) C od e 3 r e d e m pt i o n )

~( J - P )

~ ( A - I - I )( i f p r i v a t e

( Q - W ) I t r a n s a c t i o n )

3 5 . -Fleet Small Cap Value Fund B uy 03/04/09 J3 6 . -Fleet Mid Cap Growth Fund B uy 0 3 / 0 4 1 0 9 J

3 7 . -Flee t LargeCap Growth Fund Sold 03/04/09 J A3 8 . -Fleet Tax Exempt Fund Sold 03/04/09 J A3 9 . -Fleet Small Cap Growth Fuod B uy 05/05/09 J4 0 . -FIeet Small Cap Value Fund B uy 05/05/09 J4 1 . -Fleet Mid Cap Growth Fund B uy 05/05/09 J4 2 . -Fleet Tax Exempt Fund Sold 05/05/09 J A4 3 . -Fleet Internation al Equity Fund Sold 1 0 / 0 5 1 0 9 J A44. -Flee t LargeCap Value Fund Sold !0/05/09 J A4 5 . -Fleet Mid Cap Gruwth Fund Sold 1 0 / 0 5 / 0 9 J A4 6 . -Fleel Large Cup (Jrowlh Fuud Sold 1 0 / 0 5 / 0 9 J A4 7 . -Fleet Tax Exmnpi l"und B uy 1 0 1 0 5 1 0 9 K4 8 . Trust Number 2 (No personal to, come) 1) l)ividend M T4 9 . -Fleet Internation al Equity Fund Sold 03/04/09 J A

5 0 . -Flcet MA Intermediate Tax Exempt B ond Sold 03/04/09 J AF u n d5 I -Flee t Smal l ( ap Growth Fuud B uy 03/04/09 J


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P a g e F I N A N C I A L 8 o f l 0 D I S C L O S U R E R E P O R T N o o n a n , J r . ,J o h n T . 0 6 / 1 5 / 2 0 1 0

NONE (~ro reportable income, assets, or transactions.)I)escripfir , , of Assets h~comc during Gross va lue al end T~sact ions durir~g rcp,~ning per iod ~(including trust assets) ~ r epos i ng pe r i od of repoaing per iod ~ ~

Placc"(X)"afl .....h ..... A .....) Type(e.g., Value ) Value I Tvpc( e . g . , ! Date Vah,e ~ Galn Idc,,ti,vofexempt f rom prior disclosure ~ Code I ] d~v., rent, ) "ode 2 Method buy sel l mm/dd.yy {~)de ~" I . ~ ~ Code I buyer/sellerI?A-H) ~ or int ) (J-P) [ Code 3 redemption) [ (J-P) IA-II~ (ifprlvat~

52 . -Finer M[dCap Growht Fund B uy 03/04/09 J5 3 . -FIccl Small Cap Grow th Fund B uy 05,05/09 J5 4 . -Flce~ Mi\ Intermediate Tax Exempt Bond Buy 10/05/09 JF u n d5 5 . -F:ce! Intcrltational Equity Fund Sold 1 0 / 0 5 : 0 9 J A5 6 . -Fleet l.,arg~: Cap Vah~e Fund Sold 1 0 / 0 5 , ; 0 9 J A57 -Fleet Large Cap G r o w O ~ tZtmd Sold 10/05/09 J A


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P a g e F IN A N C I A L 9 o f ] 0 D I S C L O S U R E R E P O R T r~on,,a,,, Jr., J o h n T . 0 6 / ! 5 / 2 0 1 0VI I!. ADDITIONAL INFORM ATION OR EX.PLANATIONS.

T , ~ . o t r u s t s r e f e r re d t o i n t h i s r e p , ~ H , a r e a sTrust: T ~e ~ ~ :>~i~: ~~..~ Tnmt was created by on Dece ~ber t 5 976 It became ~evo cab e o ~ her death in 1990 and divided~nto Ihree shares. The trustee has d~scrc~on to pay the mcon~e and principal ol my share

2. ~]~]~ ~:] ~ ] 1976 Ttx,st: The ~ 1976 Trust was fo n a~ ed by i n 1 976 an d be ca me iw cv oc abl e o n hi s d ea th i, ~ 1 98 7. O n h is de at h t heproperly was divided into eq The trustee h~ discretion to pa~, some or all of the net income or principal of my share toThe ~rt,st terminates on the death the remainder going3 "~e neoneofbothtn~sswaspadbvtbet~stee a2)09to ~: . ~~ ;~: ~~:~: alIover21years ofa~c. At the requcsl of the ( .omm~ttee on Ft~mncml D sclosurc, 1 have s t ~az~ed the repor ts I have received.In April 2000, Fleet Bauk acquired Ihe }Jank of B oslo~ an d became the ~rustce of the above t~usts. The trusts werehe~?~: ~ ~]~f Ihe gra ~tors so t aat t ~ere s now a d st net ~ for~ under the same t~st instru ne ~ts Repo~ s not made here of the salesof odd lots (typically ot~e or two shares) made to make it easie r to divide the trusts into thirds. The money market ~nd, Galaxy. w~ a~an ged by Fleet io take overtl~e l~tnctions pert~mned by tl~e money market Bnston 1784 rituals: investments in fl~ese m~aey market funds are n oted on an annual basis.


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F " ~ N a m e o f P e r so n R e p o r t i n g INANCIAL DISCLOSURE REPORT ~ . ,~ o f R e ~ o ~ ,Page 10 of 10 Noonan , Jr., John T. 06 /15 /2010

IX. CERTIFICATION.I cert i fy tha t a l l iuformat ion given above ( including informat ion perta iniug to my spouse aud m inor or dep endent chi ldren, i f any) i saccura t, t rue , and comple te to the best of my knowledge and bel ief~ and that any informat ion not repo rted was w i thheld because i l met appl icable sta tutoryprovisions permit t ing non-disclosure .! further cer t i fy tha i earned income fi om outside employmen t and honorar ia and the acceptan ce of gif ts which have been reported are incnmpliance w i th |he provisions of 5 U.S.C. app. 50t e t . seq. , 5 U.S.C. 7353, and Judicia l Conference regula t ions.

NOTE: ANY INDIVIDUAl. WH O KNO~,VINGIA AND W ILFULLY FALSIFIES Oil FALLS TO FILE Til ls REIORT ~, iAY lie SUBJECT T() CIVIl[-. ..AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING [NSTRUCFIONSMail signed original and 3 additional copies to:

Committee on Financial DisclosurcAdministrative Office ofthe United States CourtsSuite 2-301One Columbus Citcle, N.E.Washington, D.C. 20544

John T Noonan Jr Financial Disclosure Report for 2009

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