Joseph F Weis Financial Disclosure Report for 2009

8/3/2019 Joseph F Weis Financial Disclosure Report for 2009

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A o 1 0 IFINANCIAL DISCLOSURE REPORT R e p o r ~ R e q u i r e d b y t h e E t h i c sin Government Act of 19 78R e ~ . t / :0 ] 0 FOR CALENDAR YEAR 2009 0 u.s ,c , a p p . l O 1 - 1 1 1 )

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 , m i d d l e i n i t i a l ) 2 . C o u r t o r O r g a n i z a t i o n 3 . D a t e o f R e p o r tW e i s , J o s e p h F . COURT OF APPEALS 5 1 5 / 2 0 1 0

4. Title (Article Ill judges indicate active or se nior status; St. Report Type (check appropria te type) 6. Report ing Periodmagistrate judges indicate full- or part-time) [] Nomination, Date 01/01/2009

SR CIRCUIT JUDGE [] Initial ~[7] Annual [] Final to12/3 !/20095b, [] Amended Report

7. Cbarabers or Off~e Address 8. On the basis of the information contained In th is Repor t and anymodif ications per taining thereto, i t is , in my o pinion, In compliance5200 USPO AND COURTHOUSE with applicable laws and reguta t ions .700 GILANT STREETPITTSBURGH, PA 15219-1906 Reviewing Off icer Date

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

~-] N O N E (N o reportable positions.)POSITION NAME OF ORG ANIZATIQN/ENTITY

1.

I I . A G ~ E ~ N T S . m.po.~g ~dividual only; ~eepp. 14-16 of fa~g ~ucdons.) ~ ~ ~~ NONE ~o reportable agreements.) ~ --

D A T E P~ES A~ TE~S


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FINA~NCIAL D ISCLOSURE REPORT ~ m . o t P e ~ s o o R ~ p o r t ~ n g I O a t e o f a ~ p o ~Page 2 of 8 Weis, Joseph F.[

5/5/2010

I II . N O N - I N V E S T M E N T ~ C O M E . (~,~.~ ~a~a,~t ~ ~,~ ~,~ ~. ~ 7-2 4 offiHng in~uct~.)A. Filers ~on -lnvestment Inco me

N O N E (N o reportable non-inv~tment inc omeOD A T E SQ~CE ~ T~E ~~ou~, no t s~uses)

I.2.3.

4.

B . S p o u s e s N o n - In v e s t m e n t I n c o m e - if you were married during any portion of the reporling year, complete this section.(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)D A T E S O U R C E A N D T Y P E

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S : t ~ , ~ ,o , ~ o . o ~ o a ~ i ~ , ~ o o ~ ,( lnclud~ those to spouse and dep~n denl ch ildren; s~e pp . 25-27 o f f i l ing ins tructions ,)

N O N E (N o reportable reimbursements , )SOURCE DATES LO CATIO N PU RPOSE ITEMS PAID OR PROVIDED

I.2,

3.

4.

5.


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Name of Person Reporting[ Date of ReportP a g e F I N A z N C I A L 3 o f 8 D I S C L O S U R E R E P O R T W e i s , J o s e p h F . 5 / 5 / 2 0 1 0

~ NO NE ~ o reportable g~s,)SO~CE DESCRI~ION ~

1.2.3.4.5.

V I . L I A B I L I T I E S . a , a n d ~ , h o s e o y s p o ..... ~ dependent children; see pp. 3~-.~3 of fillng instructions,)N O N E ( N o reportable l iabi l i t ie s . )

CREDITOR DESCRIPTION VALUE CODE1.2.3.4.5.


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FINANCIAL DISCLOSURE REPORT N a m e o f P e ~ o n R e p o r t in g [ D a t e o f R e p o r tPage 4 of 8 Weis~ Joseph F.

]5/5/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~ o , ~ . w ~ u ~ , t r a , ~ . ~ , i o , ~ a ~ , ~ o ~ o ~ . . .. . . ~ dep,n~nt children; s~ p ~ 3 4 - 6 0 of filingNONE ~o reportable income, asse ts , or wansact ions,)

Deep,on of As~ Gr~s value at end . T~nsactions d~ing rcpoaing pe~od(induing ~t asse~) [ r~po~ing ~h~ o f r e p o s i n g p e r i o dPla~ ~[X)" a~er each ~set t A m o u n t ~ T~ (e.g., V alue V alue TY~I( ,g. 1 Value G~i~ I d e n t ie x e m p t f r o m N i o r d i s c l o su r e ; C o d e I I d i e . , r e n t , C o d e 2 ~ M e t h od b u y , s e l l, m ~ d g ~ T i C~e 2 ~ C~e 1 buyer/~ller( A - H ) o r i n t . ) ( J - P ) " C~e 3 r~empdon) ( J - P ) ~ . ( A - H ) ( i f p r i v a t e: ( Q - W ) ~ t~etion)

1. Schwab AMT T~-Free Mon~ Fund A Dividend K T Sold 10/29/09 L A(part)2. A~san Mid Cap Mu~] Fund A Di~dend K T Bu y ~09 J(addl)3. (~ntinuation) None " Sold 4/6/09 J A(pan)4. (~ntin~tion) None Sold 6/t 7/09 1 A~)5. Clip~r Mutu~ Fund A Di~dend K T B uy 4/6/09 J6. F~I ~rge ~ Mutual F~d A Dividend K T B uy ~09 J(addl)7. FPA Capi~l Mura l Fund A Dividend K T B uy 4/6/09 J(addq)8. Fi~t Eagle Overs~ A Mura l Fund A Dividend J T B~ 2/2/099. (continuation) None Buy 4/6/09 J

(addl)1 0 . Harbor Int~afioml l~fi~fional Mural A Di~dend L T B uy 1/14/09 JFund (addI)1 1 . (~nt inmfion) None Sold 9/25/~ J D( p a n )1 2 . ~ngl~fPa~ers Mutu~ Fund A Di~dend K T B uy 1/14/09 J1 3 . (~ntinuation) None ~ld 8/24/09 J A~)1 4 . ~ngleafPa~ers Small-Cap Mull Fund A Dividend K T B uy 1/14/~1 5 . (~ntinuation) N~e Sold 12~1/09 J A1 6 . Oakm~k International Mull Fund A Dividend K T Bu y 2/2/09 J1 7 . (~ntin~tion) None Sold 6 1 1 7 / 0 9 J A(p~t)

1, lncOn~ Gain Codes: A ----S1,0~O or less B =$1,tiOl - $2,500 C =$2,5 01 - $5 ,000 D =$5 ,001 - $15 ,000 E =$15 ,001 - $5 0,000(See Colurnrts BI and D4) F --~0,001 - $100.000 G =$100.001 - $1.090,0D0 Ill =$1.000,0Ol - $5.000,000 H2 =More than $5.000,0002. Value Codes J =$15 ,000 or less K =$15 ,001 - $50.000 L =$50.001 - $100,000 M =$ lO0,00l - $250,000(See Coltunns CI and D 3) N =$250,001 - $500,000 0 =$500,001 o $t,OO0.000 PI ~1.000,001 - $5,000,000 P2 =$5,000.001 - $25,000,000P3 =$25#00,001 - S50,000,000 P4 =More than3. Value ~ethod Code~ Q =Appraisal R =Cos t (Rea! Estat~ Only) S =Assttssmera T =C ash M arke t(See Column C2) U =B ook Value V =Other W =E s t ima te d


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FINANCIAL DISCLOSURE REPOR T N ~ m e o f V e ~ o n R ~ p o ~ l ~ g ~ t e o f R e p o r t IPage ~ of 8 w ~ s , J o s e p h F ~ J/$/2010V I I . I N V E S T M E N T S and TRU STS - ~o~, ~z~,, .... ~ a ~ a ~ z ~ ~ o ~ o/~ ..... ~ ~z~, ~u~; ~ ~,.

~0~ (~o reportable income, assets, or transactions,)A. B. [ C. D .

D~c~pfion of As~ Income du~ng [ Gross value at end Tr ans ac t ions dur ing r e~ ing(i~luding ~t ~s~) r~ng ~fi~ ] of repos ing period

(1) ](~) O) (~) ( I ) (2) ~ (~)Place "(X )" after ~h ~t ~o~t { T)?e (~.g., V~ue V~u~ Type (~.g., Date I Valuo Gain ~ Identi~ of~xcmpt ~m ~or disclose [ Co~ I ~ ~v., r~q C o d e 2 M e th o d b u y , ~ 1 1 , mm /~yy Code 2 ~ ~de I [ b u y c r l s c l I ~ r~ ( A - H )

o r i n t . ) (J-P) C~ 3 r~mpfioa) (J-P) [ (A-H) ] ( i f p r i v a t ~( Q - W ) , ~ ~ a n s a c t i o n )1 8 . O~mark Select Mutual Fund A Di~dend K T Bu y 4/6/09 J1 9 . (continuation) None Sold 12/21/09 J A(part)20. Selct~ ~i~n Sh~ S Mull Fund A Dividend L T Buy 3/11/09(addl)21. T CW Se lec t Equ i t ie s M~ F~d A Dividend J T Sold 7/20/09 J A22. ~omb~g International Value A M ull A Dividend K T Bu y 3/I 1/~ JF~d Oddl)2 3 . (~ntinuation) N~e Bu y 4/6/09 J(addl)2 4 . ~omburg In~mafional Value I Mural A Dividend J TF u n d2 5 . V~d Ener~ Mural F~d A Di~dend K T Sold 12/21/09 J C( p r o )2 6 . W~s~o~ Sdect Cap R Mutual Fund A Dividend K T Buy. 3/11/09 J(addl)27. (~ntinuation) Non~ Sold 9/25/09 J A~)2 8 . FPA N ew hcome Mural F~d A Dividend K T B u y 7~/09 K2 9 . L0omis Sayles Bond 1 Mutual Fund D Dividend L T Sold 12/21/09 K A30 . Vanguard Intormediate Term Tax-E xempt A Dividend Sold 2/20/09 K AMutual Fund ( p a r t )31. (continuation) None Sold 4/6/09 K B3 2 . Vanguard Intermediate-Term Tax-E xempt D Dividend N TAdmiral Mutual Fund3 3 . Vmguard Short-Term Tax-Exempt Admiral B Dividend L T Sold 11/2/09 K AMntual Fund ( p a r t )3 4 . (continuation) None Sold 12/21/09 L A( p a r t )

I. tncomg Gain Codes: A =$1,000 ot less B -$1,001 - S2,500 C - - $ 2 ~ 0 1 - $ 5 , tK ~ 0 D =$5,~01 - $15.000 E =$ 15,~t - S50,~2. Value Cod~ J =$15,~0 or I~s K =$ 15,~1 - $50,~ L =$5 0,~1 - SI O0,~ M =$ 1~,~1 - $250,~0

P3 ~$25,~,~1 - $50,000,~0 P 4 = M o r n th a n3. Value Me$~ C~ Q =Apprai~l g =Cost (geal E s~te Only) S =As~smenl ~ =C~ M ar k ~(S~ ~mn C2) U =B~k Value V =O~er W =Egimat~


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FINANCIAL DISCL OSURE RE POR T Name o f P ..... R e p o r t i n g D a t e o f R e p o r tPage 6 of 8 W e i s, J o s e p h F . 5 / 5 / 2 0 1 0V I I . I N V E S T M E N T S and TRUSTS - income, ~at~e, ~ ..... ~ i o n s ( I n n l u a e s t h o s e of sp ...... d dependen t ch i ldren: see pp . 3 4 ~ 0 of f!ling ins truct ion:)

NONE ~o reportable income, assets, or transactions.),. " ........~: " " ~ c . ~. " . . . . . . . .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 ~ G r o s ~ v a l u e a t e n d Transactions during re~ing period( i n c l u d i n g t r u s t a s s e ~ ) reposing ~fiod [ of reposing pe~od

Code 2 / buyer/sellerx e m p t ~ o m p r io r d i s et o s ~ e ~ 1_ div.,.~n~,, t c~ 2 / M e t ho d buy, sell, m~d~yy / {J-P) ] Code Io r m r ) [ (J-P) C o d e 3 r e d e m p t i o n ) ( A - H ) ( i f p ~ v ~ t e....... ] 1_ l (Q -W ) I~ [ t r a n s a c t i o n )

3 5 . Schwab Money Fund ( I~) A Dividend J T3 6 . Oakmark Select Mutual Fund (IRA) A Dividend J T3 7 . TCW Select Equities N Mutual Fund (IRA) A Dividend J T3 8 . Thornburg International Value I Mutual A Dividend K TFund (IRA)39. Westport Select Cap R Mutual Fund (IRA) A Dividend J T40. FPA N ew Income Mutual Fund (IRA) A Dividend J T41. L0omis Sayles Bond R M utual Fund (IRA) B Dividend K T42. PIVICO Low Duration Mutual Fund (IRA) A Dividend J T43. Mellon Bank Account A Interest K T44 . Mellon Bank CD A Interest J T45 . National City Checking A Interest J T

1. Ineom~ G ain Codes: A =$1,001) or less B = $I,001 - $2,5 00 C =$2,501 - $5 ,000 D =$5,1)01 - $15,000 E =$ 15,001 - $50,000(See Columns BI and 1)4) F =$5 0,001 - $100,000 G =$100,001 - S1,000,000 HI =$1,000,001 - $5 ,000,000 H2 =More than $ 5 ,0 0 0 ,0 0 0

2, Value C~dcs J = $15 ,000 or less K =$15 ,001 - $50,000 L =$50,1)01 - S 100,000 M -$100,001 - $250,000(See Columns Cl and D 3) N =$25 0,001 - $5 00,000 O =$500,001 - $1,000,000 PI =$1.000,001 - $5 ,000.000 P2 =$5 ,000,001 - $25 ,000,000

P3 =$25 ,000.001 - $5 0,000,000 P4 =M ore than $5 0.000.0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T -N~ash Market(See Column C2) U =B ook Value V =Other W =Estimated


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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 tFINANCIAL DISCL OSURE RE PORTW e i s , J o s e p h F .age 7 of 8 ] 5 / 5 / 2 o ~ o

VIII. ADDITIONAL INFORMATION OR EX PLANATIONS. a,,,~,t,~,,,-toSn,~,o,~)

I t e m s 1-42 in Part VII arc hc]d in accounts at Charles Schwab & Co.


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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 tFINANCIAL DISCLOSURE REPORT[ Weis, Joseph F.age 8 of 8 5 / 5 / 2 o i o

IX . CERTIFICATION.I cert i fy that al l information given above (includin g information pertaining to m y spouse and m inor or dependent chi ldren, i f any) isaccurate, t rue, and com plete to the best of my knowledge and bel ief, and that any information no t reported was withheld because i t met appl icable statutoryprovisions permit t ing non-disclosure.I further certi fy that earned income from o utside employmen t and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et . seq., 5 U.S.C. 7353, and Judicial Conference regulat ions.

N O T E : A N Y I N D I V I D U A L W H O KN O W I N G L Y A N D W I L F U L LY F A L S I F I E S OR F A I 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 CI V I LAN D CRIMINA L SAN CTIONS (5 U.S.C. app . 104)

F I L I N G I N S T R U C T I ON SMail signed original and 3 ad ditional copies to:

Comm it tee on Financ ia l Disc losureAdm inistrative Office of the United States CourtsSuite 2-301One Columbus Circ le , N .E.Washington, D.C. 20544

Joseph F Weis Financial Disclosure Report for 2009

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