Stephen R Reinhardt Financial Disclosure Report for 2010

8/3/2019 Stephen R Reinhardt Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010

Report Required by the E thicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Per son R epor ting ( las t name, f ir s t , middle in i t ia l)R E I N H A R D T , S T E P H EN R .

4. Tit le (Art ic le 11I judge s indicate ac t ive or senior s ta tus;magistrate judges indicate full- or part- time)US CIRCUIT JUDGE (ACTIVE)

~ 7. Chambers or O ff ice Address3 12 NORTH S PRING S TREETR O O M 1 7 4 7LOS ANGELES, CA 9001 2

2. Cour t o r O rganiza tionU S C O U R T O F A P P E A L S - 9 T H C I R C U I T

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report

3. Date of Report08/11/2011

6. Repor ting Per iod01/01/2010

to12/31 /2010

8. On the bas is o f the in formation conta ined in th is Repor t and anymodif icat ions per taining thereto, i t i s , in my op inion, in compliancewith appl icable l aws and regulat ions .

Reviewing Of f ice r Date

I M P O R T A N T N O T E S : The in s t r uc t ion s a ccomp a n y in g th i s f o r m m us t be fo l lowe~L Com ple te a l l pa r t s ,checking the NONE b ox for each Part where you have no rep ortable information. Sign on last page.

I . P 0 S I T I 0 N S . ~ R e p o r a . g i n a ~ a o a t o .t y ; s e e ~ . 9-13 of filing instructions.)D N O N E ( N o reportable posit ions.)

POSITIONI. T R U S T E E2. T R U S T E E3. T R U S T E E

4.5.

N A M E O F O R G A N I Z A T IO N / E N T IT YTRUST #1 -~ TRUST - EXEMPT C

TRUST #2 -~TRUST - NON-EXEMPT C

TRUST #3 -~ LIVING TRUST DTD 4/21/95

I I . A G R E E M E N T S . ~ R e e o ~ a ~ g ~ . a l v l d . n t o . ty ; see pp. 14-16 of f!ling instructlons0~-] N O N E ( N o reportable agreements.)

DATE PARTIES AND TERM S


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F I N A N C I A L D IS C L O S U R E R E P O R TPage 2 of 12

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

D a t e o f R e p o r t08/11/2011

I I I . N O N - I N V E S T M E N T I N C O M E . a e p o r ~ n g in d i v i d u a l a n d s p o u s e ; se e p p . 1 7 - 2 4 of f i l ing instruct ions .)A. Filers Non-Investment IncomeD ~o reportable income.)O NE non-investment

DA TE SO U R C E AND TY P E1 .02/25/10

2.3.4.

S P E A K I NG E N G A G E M E N T - U N I V E R S IT Y O F C A L I F O R N I A ,DAVIS

IN C OM E(yours, not spouses)$2,000.00

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 - If you were m arried during any p ort ion of the reportlng year, complete this sect ion.(Dollar amount not required except for honorar ia . )~] (No reportable income.)O NE non-investment

1 .20102. 20103.4.

DATE S O U R C E A N D T Y P EACLU F OUNDATION O F S O CALIFORNIA o WAG ESA M E R I C A N C I V I L L I B E R T I ES U N I O N I N C O F S O C A L I F O R N I A - W A G E S

I V . R E I M B U R S E M E N T S - r a n s p o r t a t i o n , lodging, food, entertainmen~( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 2 5 - 2 7 o f i ll i n g i n s t r u c t i o n s . )

D NONE (No reportable reimbursements.)S O U R C E DATE S L O C A T I O N PURPOSE ITEM S PAID OR PROV IDED

1. P ENN SY L V A NIA L AW 02/01 /1 0 - 0 2 / 0 3 / 1 0S C H O O L - A C S C H A P T E R PHILADELPHIA, PA PROF ASSOC ACTIVITY/ AIRF ARE, AND TRANS POR TATIONCIVIC ORG ANIZATION2. W IL LIAM S C OL LEG E 02 /1 0/1 0 - 02 /1 2/1 0 W I L L I AM S T O W N , M A EDUCATIONALACTIVITY, EX CLUSIVEOF JUDICIALEDUCATION

AIRF ARE, LODGING ANDTRANS PORTATION

3. UNIVERSITY OF 02/25/1 0 - 02 /25 /1 0 DAVIS, CA SP EAK ING AIR FAR E AND TR ANSP O R TATIO NC AL IFO R N IA, DA V IS ENG AG EM ENT


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FI N A N C I A L D IS C L O S U R E R E PO R TPage 3 of 12


D a t e o f R e p o r t08/11/2011

4. Y A L E L A W S C H O O L 04/26/10 - 04/28/10 N E W H A V EN , C T ED U C A TIO N A LA C T I V I T Y , E X C L U S I V EO F J U D I C I A LE D U C A T I O N

A I R F A R E A N D T R A N S P O R T A T I O N

S TANF ORD LAW 05/1 2 /1 0 - 05 /1 2 /1 0S C H O O L - A M E R I C A NCONS TITUTION S OCIETYP A L O A L T O , C A PROF ASSOC ACTIVITY/ TRANS PORTATIONCIVIC ORGANIZATION

UNIVERSITY OF 05/1 6 /1 0 - 05 /1 7/1 0CHICAGO - AMERICANCONS TITUTION S OCIETYCHICAGO , IL PROF ASSOC ACTIVITY/ AIRF ARE AND TRANS PORTATIONCIVIC ORGANIZATION

AMERICAN 06/16/10 - 06/20/10CONS TITUTION S OCIETY- A N N U A L C O N V E N T IO NWAS HINGTON D. C. P R O F A S S O C A C T I V IT Y / A I R F A R E A N D T R A N S P O R T A T I O N

C I V I C O R G A N I Z A TI O N

8. W IL L IAM S CO LL EG E 1 0/1 9/1 0- 10/23 /1 0 W I L L I A M S T O W N , M A NON-FJCEDUCATIONALS E M I N A R O RP R O G R A M

AIRF ARE AND TRANS PORTATION


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F I N A N C IA L D I S C L O S U R E R E P O R TPage 4 of 12

N a m e o f P e r so n R e p o r t in gREINHARDT, STEPHEN R.

D a t e o f R e p o r t08/11/2011

V . G I F T S . a n c ~ u d c s those to spouse and dep endent children; see pp. 28-3 1 of f i ling ins tructions . )N O N E ( N o reportable gif ts.)

SOURCE DESCRIPTION1 .2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c lu d e s those of spouse and dependent chi ldren; seepp. 32-33 of f i l ing instruct ions.)~] NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

5.

VALUE CODE


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FINANCIAL DISCLOSURE REPOR TPage 5 of 12

N a m e o f P e r s o n R e p o r t in gREINHARDT, STEPHEN R.

D a t e o f R e p o r t08/11/2011

V I I . I N V E S T M E N T S a n d TRU ST S - i n c o , ~ e , v n t u e , t r a n s u c a o n s (Includes those of s p o u s e a n d d e p e n d e n t children; see p p . 3 4 - 6 0 o f f i l i n g instructions.)D NONE income, assets, or transactions.)6 V o reportable

3.4.5.6.7.8.9.1 0 .1 1 .

1 2 .1 3 .1 4 .

[15.1 6 .

1 7 .

BROKER ACCT #1 -~~, TSFR FROM CNB 100- F E D E R A T ED C L O V E R V A L U E F D C L A Divid en d L Tc (wccx) 1- FDIC LIQUID INSURED DEPOSITS A Interest J TM O N E Y M A R K E T 1- G O LD M A N SA CH S FIN L SQ R T SR Y A Divid en d R e d e e m e d 06/08/10FD #506 1C ITY NATIO NAL B ANK C HEC K ING N o n e J T# 7 9 , FO R M E R L Y # 2 4 4U NIO N B ANK C HEC K ING N o n e K TJOHN HANCO CK LIF E INS CO. - DANNUITYS Y METR A LIF E INS CO - ANNUITY B

Int./Div. M WInt./Div. K T

IRA - ACCT #6 -~ C~ FROM M/LYNCH~- M / L Y N C H R E T I R E M E N T R S R V S C L 6

Int./Div.

So ld 08/04/10 J- B L A C K R O C K L A R G E C A P 6- AMERICAN CENTURY F UND 6- A M E R I C A N G R O W T H F U N D 6

Sold 04 /2 0 /10B uy ~ 04/20/10( add l )So ld 04 /2 0 /10

JJJ

- CALVERT S HORT DUR ATION F D 6- D E L A W A R E C O R P B D 6

B u y 04/20/10( ad d l )

B u y !04 /20/10( ad d l )

JJ

- F PA NEW INCOME F D 6- H A R T FO R D CA PIT A L FD 6

AB

L:lncome Gain Codes :ISColumns Bl:and D41

2, V alu e Codes(Se e C o lum n s C I a n d D3 )

A =$1.000 or less B =$1.001 - $2,500F =$50.001 - $100.000 G =$100,001 - $ t .0O0,000J =$15,000 or less K =$15.001 o $50.000N =$250,001 - $500,000P3 =$ 25,000,001 - $50.000.000Q =Appraisal V =O the rU =n o o k Va lue

3, V alu e Meth od Codes(Se e C o lum n C 2 ) W =Estimated .....


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

D a t e o f R e p o r t08/11/2011

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 , . e , v a lu e , t~ a n s u .i o .s a . d~ d e s t h o s e o f sp o ~ s e ~ n d d e p e n d e n ~ c h i ld r e n ; see p p . 3 4 - 6 0 of filing instructlons.)D NONE income, assets, or transactions.)N o reportable

1 8 .1 9 .

20 .21 .22 .23 .24 .25 .26 .

27 .28 .29 .30 .31 .

32 .33 .34 .

- JENNIS ON VALUE F D 6 S o l d 08/04/10 J A- M E T R O POLI T AN W E ST T T L FD 6

- T R O W E P R I C E U S T S Y F D 6

- T C W T O T A L R E T U R N F D 6

- M A I N S T A Y L A R G E C A P G R W T H F N D6- M F S V A L U E F U N D 6

B uy 0 4 / 2 0 / 1 0( add l )So ld 04 /2 0 /10(part)Sold 04 /2 0 /10(part)Buy 04/20/10B u y 0 4 / 2 0 / 1 0

J

J

J

J

J

- P E R S H IN G G O V T M O N E Y M A R K E TF UNDS 6DEF ERRED S ALARY PLAN/TRUS T -ACCOUNT~ - M / L Y N C H # C 0 8 D Int./Div.- BIF MO N E Y FU N D 8

- B L A C K R O C K L A R G E C A P 8- B L A C K R O C K L A R G E C A P 8- BLACKRO CK INF LATION 8- B L A C K R O C K G L O B A L A L L O C F U N D8- B L A C K R O C K B D P O R T F O L IO 8

So ld 06 /09/1 0 J( p a r t )So ld 12/14/10 J( p a r t )So ld 06/09 /10 K(part)Buy 06/09/10 J(ad d l )

- B L A C K R O C K C A P I TA LA PPR E CIA T IO N FD 8- BLACK. ROCK EQUITY DIVIDEND 8- B L A C K R O C K G N M A 1 N S T 8

B u y 06/09 /10(ad d l )So ld 06 /09/1 0(part)B u y 06/09 /10(ad d l )

J

J

J

AA

See Note 3

See Note 1

A

A

B

See Note 2A


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

D a t e o f R e p ~ ) r t08/11/2011

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~ e , ~ a . ~ a i ~ n ~ a n c i u d e ~ t h o s e o S s v o ~ s e a n d d e v e n d e , ~ children; see pp. 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n ~ )[] NONE income, assets, or transactions.)eportable

35 .36 .37 .38 .39 .40 .4 1.4 2.4 3.

4 4 .45 .4 6.4 7 .4 8.4 9.50 .51 .

- B L A C K R O C K M I D C AP V A L U E 8 B u y 06/09/10 K- B L A C K R O C K L O W D U R A T IO N B D 8 B uy 06/09/10 K- B L A C K R O C K S & P 5 0 0 I N DE X F U N D8BROKER ACCT #9 -~~ , T SF R F R O M M / L Y N C H 3 9 0- AM ER IC AN G R O W TH FU ND 9 N o n e

B u y 12/14/10 K

B u y 01/06/10 J( ad d l )

S o l d 04/20/10 K

- B L A C K R O C K L A R G E C A P 9 N o n e B u y 01/06/t0 J( ad d l )Sold 04/20/10 K

- B L A C K R O C K C A L I FO R N I A 9 B

- B L A C K R O C K G L O B A L A L L O C A T IO N AFU N D 9- EATON VANCE NTL LTD 9 A

Divid en d

D i v i d en d

D i v i d e n d

T B u y 01/06/10 " J( ad d l )B u y 04/20/10 J( ad d l )B u y 12/15/10 LB u y 01/06/10 J

( a d d l )Buy 04/20/10 J

( ad d l )S o l d 08/04 /10 K

- EATON VANCE AMT FREE 9 A Div idend B u y 01/06/10 J( add l )So ld 04/20/10 K

- F IDELITY ADV M UNI 9 B Div idend T B uy 01/06/10 J( add l )

C

B


8/21



Date of Report08 /11/2011

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 u lu e , t r .n s u c t io n s a n c i . d e s t h o s e o l s p o , s e . n d dependent children; see p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )[] NONE income, assets, or transactions.)N o reportable

52 .

53 .

54 .

55.

56 .

57 .

58 .

59 .

60 .

61 .62 .

63 .

64 .

65 .

66 .

67 .

68 .

- F RANKLIN F ED INTER TERM 9 B Div idend K T

- HARTF ORD CAPITAL 9- JENNISON V ALUE F D 9

N o n eN o n e

K

B uy 01/06 /10 J( add l )B uy 04/20/10 J

( add l )Bu y 01/06 /10 J

( add l )Buy 01/06/10 J( add l )So ld 08 /04 /1 0 K

- J P M O R G A N T A X A W A R E 9 A D i v i d en d

- DWS ~NTMDT TAX 9 A Div idend K

B uy 01/06/10( a d d l )So ld 04 /2 0/1 0(part)Bu y 04/20/10

J

J

K

- M A I N S TA Y L A R G E C A P G R O W T H N o n e K TFU N D 9- MF S VALUE F UND 9 A Div idend K T

B u y 04/20/10 K

B u y 04/20/I 0 K- F DIC LIQUID INS URED DEPO S ITS A Int./Div. L TM O N E Y M A R K E T 9M E R R I L L L Y N C H C H E C K I NG 4 A Int./Div.C M A M O N E Y F U NDB A N K O F T H E W E S T C H E C K IN G ~ A Interest L T

C lo sed 05/1 9/1 0

N A T I O N W I D E A C H I E V E R A N N U I T Y E In t . /Div . N T

T R U ST # 1 - E XE MPT C G Int./Div. P 1 T- GOLDM AN S ACHS FINL SQR TREASFD ~ (CNB~)- G O L D M A N S A C H S F IN L S Q R T R E A SFD~ (CNB~

B u y 11/15/10 P1( ad d l )

Redeemed 11/19/10 P1

B

A

A

(Se e C o lum n s C l a n d D3 ) N ~$2~0,001 ~ $500 000 O ~ $ 5 0 0 ; 0 0 i ~ $ i ~ 0 0 0 ~ 0 0 0 : P! ~$! ~i00! ~ $5i0~0~ P 2 - - $ 5 i 0 0 0 , 0 0 ! ~ $ 2 5 i 0 0 0 ; 0 0 03. V alu e Meth od Codes Q ~Appraisai : R ~ 6 ~ i R ~ a i ~ t ~ i e o a i y ) T - - c a s h M a r k e t

(See C olu m n C 2) U ~ B oo k V aiue w =Estimhted ......


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

D a t e o f R e p o r t08/11/2011

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 u e , t ra nsa c t i ons ( Inc lude s t hose o f spouse a n d de pe nde n t c h i ldre n ; se e pp. 34-60 o f f ! l ing in s t ruc t i ons . )D NONE income, assets, or transact ions. )N o reportable

71 .7 2.73 .74 .7 5.76 .77 .

~ 7 8 .79 .

80.81 .82 .83 .

84 .

85 .

- U N I V E R S I T Y C A L I F R E V 5 . 00 0 %5 / 1 5 / 1 0 ~ 2 F R R O } (C N B 8 1 1 0 )- GLE NDALE CA LI F M Lr N UT I L 1 1 / 1 5 / 1 2~ (CNB 8~ 10)- S A C R A M E N T O C A L I F M U N U T I L11/15/12~ (CNB 8110)- GOL DE N ST T OB CAL I F 5. 5 0 0 % 6 / 1 /4 3~ (CNB 8110)- O P P E N H E I M E R I N T L B O N D F D C L A~ (CNB 8110)- L A C O U N T Y C A S A N T N D S T 5 .%10/I/I ~ (CNB 81 I0)- P U E R T O R I C O C M W L T H 5 .1 2 5 % 7 1 1 /3 0I~} (CNB 8110)- A R I Z S C H F A C S B R D C T E S T N 5 %9/1/12 ~ #4486)- I NV E S C O E M E R G M K T L O C A L F U N D~) (#4486)- B L A C K R O C K H I G H Y IE L D B O N DFUND~ (#4486)- B L A C K R O C K G L O B A L A L L O C F U N D~ (#4486)- F D I C L I Q U I D I N S U R E D D E P O S I T S(#4486)- A C A C IA P A R TN ER S , L .P .- POETIC LICENS E PARTNER S , LP

M a t u r e d 05/15/10 L A

So ld !02/01/10 M A

So ld 11/15/10 L A

So ld 11/12/10 O G

B u y :12/14 /10 M

B u y ,12114/10 OB u y 12/01/10 PI

B u y 11/19/10 PID i s t r i bu t ed , 1 2 1 3 1 1 1 0 J(par t )

- CITY NATIONAL BANK CHECK INGW , F O R M E R L Y 2 7 9TRUS T #2 - NON-EXEMPT C A Int./Div. L- G O L D M A N S A C H S F IN L S Q R T R E A SFD ~ CNB 8010)

Redeemed 11/15/10 L

1. I ncome G ain Codes :(See Columns BI and 1)4)

2. V alu e Codes(Se e C o lum n s C I a n d D3 )

3. V alu e Meth od Codes(Se e C o lum n C 2 )

A =$| .000 or less B-~$1,001 - $2.500 C = $2.50 1 -.E~ H$ 5 0 ,001 r $ 1 00o 000 . . . .. . . O =$ 10 0,0 01 - SL 00 0,0 00 H 1 = $1 ,00 0.0 0t - $ 5.0 00.0 00J =$15.000 or less K =$ 1 5 .001 - $ 5 0 . 0 0 0 L =$50.001 - $100,000N =$250,001 -$500,000 O = $500.001 - SL000.000 PI =$1.000.001 - $5,000,000P3 =$25,000.0~1 - $50.000,000 P4 =More~han $50.000.090Q =Appraisal R =Cost (Real Es tate Only) S =AssessmentU = Book V alu e V =O the r W = E s t imated

D =$ 5 ~ 01 -$ 1 5 .000H 2 = M or e th an $5 .0 0 0 .00 0M=$ 1 00 .001 - $ 2 5 0 .000P2=$5.000.001 - $2 5.000.000T =C a s h Ma rk e t

E = $ 1 5 . 0 0 1 - $ 5 0 , 0 00


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FINANCIAL DISCLOSURE REPO RTPage 10 of 12

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

D a t e o f R e p o r t08/11/2011

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 , ~ans~ctio.s (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)[l~ NONE income, assets, or transactions.)N o reportable

86 . - F DIC LIQUID INS URED DEPO S ITS Bu y 11/20/10(#4478)87 .88 .89 . - GOLDM AN S ACHS FINL S QR TREASFD~ (CNB 200)90 . - GOLDM AN S ACHS FINL S QR TREAS

FD~ (CNB 200)91 . - ORANG E CNTY CALIF S ALE TAX

2/15/10~ CNB 200)92 . - S A N D I EG O C O M M C O L L E G E 8 / 1 /1 0~I}(#4395)93 . - F DIC LIQUID INS URED DEPO S ITS(#4395)94 . - BLACKROC K HIGH Y LD BOND FUND~ (#4395)95 . - CALAMO S CONV F UND CLS 1~ (#4395)96 . - G S ACHS DY NAMIC ALLOC F UND~ (#4395)97 . - G S ACHS ABS RETURN F UND~ (#4395)9 8 . - IV Y G L O B A L N A T R S R C S F U N D~ (#4395)99 . - IVY AS S ET S TRAT F UND CLS 1~ (#4395)1 0 0 . - L AZ A R D E M E R G M K T F U N D~ (#4395)I 0 1 . - P I M C O E M E R G M K T S F U N D

~ (#4395)102 . - CITY NATIONAL BANK CHECK ING~, FORMERLY #260

- CITY NATIONAL BANK CHECKING~, FORMERLY #287T R U S T # 3 - L V G T R U S T D Int./Div. O

L

B u y 04/08/10 O( ad d l )

R e d e e m e d 06/08/10 OM a t u r e d 02/15/10 K

M a t u r e d 08/02/10 K

B u y 05/29/10 M

B u y 06/18/10 K

B u y 06/23/10 KB u y 06/23/10 MB u y 06/23/10 KB u y 06/18/10 K

B u y 06/18/10 MB u y 06/18/10 KB u y 06/18/10 K

AAA

2. V alu e Co des J = $15,000 o r less K =$15,001 - $50.000( S ee Co lu mns C1 and D 3) N = $250,00 1;$ 500 ,000 : O= $50 0,00 1 - $1 ,00 0~ 00 0

P3 --$25.000 001 - $ 50.000,0003. V alu e Meth od Codes Q--Appraisal R-~ost (Real Estate Only)(See Column C2) U = Book V alu e V =O the r

C --$2.501 - $5,000 D --$5,001 - $15~000 E - - - $ 1 5 , 0 0 1 - $ 5 0 , 0 0 01 t I = $1 .0 00 ,0 01 ~ $5 ,0 00 ,0 00 H 2 ~ M or e th an $ 5; 00 0~ 0 00


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F I N A N C I A L D IS C L O S U R E R E P O R TPage 11 of 12

N a m e o f P e r so n R e p o r t in gREINHARDT, STEPHEN R.

D a t e o f R e p o r t08/11/2011

V I I I . A D D I T IO N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)

N O TE 1 : P a r t V II , l in e 2 6 - The C M A mo n e y f un d n am e was chan g ed i n co n n ec t i o n wi t h B an k o f A mer i ca s acqu i s i t i o n o f Mer r i l l L y n ch . I t s n o w t he B IFm o n e y f u n d .N O TE 2 : P a r t V II , l i n e 3 2 - Th i s f un d chan g ed i t s n ame i n 2 01 0 f r o m B a l ck r o ck F un d amen t a l G r o w t h t o B l ack r o ck C ap i t a l A p p r ec i a t io n .N O T E 3 : P a r t V I I , li n e s 2 5 t h r o u g h 3 7 - T h i s a c c o u n t i s a d e f e r r e d s a l a r y p l a n , h e ld b y M e r r i ll L y n c h a s t r u s te e , s p o n s o r e d b y ~ e m p l o y e r , t h e A C L U .


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Name of Per son R epor tingR E I N H A R D T , S T E P H E N R .

Date of Repor t08/I 1/2011

IX. CERTIFICATION.1 c e r t i fy t h a t a l l i n fo rma t io n g iv e n a b o v e ( i n c lu d in g in fo rma t io n p e r t a in in g to my sp o u se a n d min o r o r d e p e n d e n t c h i ld re n , i f a n y ) i sa c c u r a t e , tr u 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 l d b e c a u s e i t m e t a p p l i c a b le s t a t u t o r y

p ro v i s io n s p e rmi t t i n g n o n - d i sc lo su re .1 further certify that earned income from outside emp loyment and h onoraria and the acceptance of gifts which h ave been reported are incompliance w ith the prov is ions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Ju dicial Conference regulations.

Signature: S /STEPHEN R . REINHARDT

N O T E : A N Y I N D IV I D 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 IF I E S O R F A IL 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 C I V I LA 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 i n a n c i a l D i s c l o s u r eA d m i n i s t r a 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 sSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544


13/21

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the E thicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Per son R epor ting ( las t name, f ir s t , middle in i t ia l)R ei s s , C h r i s t i n a C .

4. Ti 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 . Di s t r ic t C h i e f J ud g e - A c t i ve S t a t us

7. Chambers or Of f ice AddressUn i ted Sta tes Fed era l Bui ld in g1 1 1 E l m w o o d A v e n u eP. O. B ox 9 5 3B ur l i ng ton , VT 0 5 40 1

2. Cour t o r O rganiza tionUni ted States Dis t r i c t Cour t Dis t r i c t of Vermont

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final

3. Date of Report05/10/2011

6. Report ing Per iod01/01/2010

to12/31/2010

5b. [] Amended Report8. On the bas is o f the in formation conta ined in th is Repor t and anymodif icat ions per taining thereto, i t i s , in my opinion, in co mpliancewith appl icab le l aws and regu lat ions .

Reviewing Of f ice r Date

IMPORTANT NO TES: The instruct ions accompanying th is form mast be fo l lowed . Complete a l l parts ,checking the NONE box for each part where you have no reportable information. Sign on last pag~

I . P O S I T I O N S . m e p o n i n g individual only; seepp. 9-13 of f i l ing instruct ions.)~-] N O N E (No reportable posit ions.)

POSITION N A M E O F O R G A N I Z A T I O N /E N T I T Y

2.

3.

4.5.

I I . A G R E E M E N T S . R e p o r t i n g i ndiv idua l on ly; s eepp. 14-16 o f f ! llng ins t ruc t ions . )D NONE(No repor table agreemen t s . )D A T E PARTIES AND TERM S

1. 2 0 0 4 Sta te o f Vermo n t Emp lo yees Pen s io n Fun d (up o n re t i remen t ag e65 )2.3.


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FINANCIAL DISCLOSURE REPORTP a g e 2 o f 9N a m e o f P e r s o n Repor tingReiss, C hr i s t i n a C .

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 ~ d i v id , o l o n d , p o o s e ; , ~ e p p . 1 7 - 2 4 of filing instructlons.)A. Filers Non-Investmen t Incom e

~] N ON E non-investment income.)~ o repor tableDATE SOURCE AND TYPE

Date of Report05/10/2011

INCOME(yours, not spouses)

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - I f you were married during any portion o f the reporting year, complete th is section.(Dol lar amoun t not required except for honora r ia . )

D (No rep orta ble in co m e.)ONE non- inves tmen tDATE SOURCE AND TYPE

1 .2010 Sel f - emp lo yed - Co mmerc ia l an d Res id en t i a l M i l l W o rkin g Co mp an y2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter tainmenL( Inc ludes those to spou se and dependen t ch i ldren; see pp . 25-27 o f f ! l ing in s t ruc t ions .)

N ON E (No reportable reimbursements.)SOURCE D A T E S L O C ATI O N

1 .2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 of 9

N a m e o f P e r s o n R e p o r t i n gReiss, Christina C.

D a t e o f R e p o r t05/10/2011

V . G I F T S . ( I n c l u d e s those to spouse and dependent children; seepp. 28-31 of f iling instructions.)N O N E ( N o reportable gif ts.)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n e lu d e s t h o s e o f s p o u s e o n d depen den t c h i ldren ; se e p p . 32-33 o f i l l i n g instructions.)D N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE1 . P eo p le s Un ited B an k L o an - B u sin ess M o rtg ag e N2. P eo p le s Un ited B an k L o an - B u sin ess E qu ip m en t M3. Peo p le s Un i ted Ban k Loan - B us ine ss Equ ipment " K

4. Peo p le s Un i ted Ban k Lo an - Bu s in es s - L in e o f Cred i t M5. P eo p le s Un ited B an k L o an - B u sin ess R efin a n ce L6. Peo p le s Un i ted Ban k Lo an - Bus in es s .M o rtg ag e N7. V erm o n t E co no mic Dev elo pm en t L oan - B usin ess M ortg ag e NAuthori ty8. V erm on t E co no m ic Dev elo p men t L oan - E qu ip m en t MAuthori ty


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FINANCIAL DISCLOSURE REPORTPage 4 of 9 Ia m e o f P e r so n R e p o r t in gReiss, Christina C. Date of Report05/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e , v u l u e , tr a . s a c t io n s a n c l u d e s t h o s e o S s p o u s e a n d depen den t c h i ldren ; s ee p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

1. T D B ank N or th Ac c oun t s A Interest J T2. Chi tt enden B ank Ac c ount s A Interest J T3. A m o s k e a g W o o d w o r k i n g A Distribution PI W4. H R S , L L C A Distribution N W5. Merchants Bank CD C Div idend J T6. Sta t e F a rm Li fe I nsu ranc e A Interest J T7. N at iona l L i fe I nsu ranc e A Interest J T8. IR A #1 E Div idend M T9. - Dav i s N Y Ventu re F und A Div idend J T

1 0 . - D iamond Hi l l La rge Cap F und A Div idend K T1 1 . - F i r s t Eag l e G lob a l F und A Div idend K T1 2 . - Janus B a l anc ed F und A Div idend K T1 3 . - MF S Va lue F und A Div idend K T1 4 . - Oppenhe imer G old & Spec i a l Mine ra l s A Div idend J TFun d s1 5 . - P imc o T ota l Re tu rn F und A Div idend J T1 6 . - RS G lob a l N a tu ra l Resou rc e s F und A Div idend J T1 7 . - Sen t ine l Sma l l Company F u nd A Div idend J T

1 , I n c o m e H a i n C o d e s : A =$1 ,0 00 o r le ss B =$1 .0 0 1 - $2 ,50 0 C =$2 .5 0 1 - $5 ,0 0 0 D = $ 5 . 0 0 1 - $ 1 5 . 0 0 0 ,See Columns B1 and D4"~ F = $ 5 0 . 0 0 1 - $ 1 0 0 . D 0 0 G =$1 00 .0 01 - $1 .0 00 .0 00 H I =$1 .0 00 o0 01 - $5 ,0 00 ,0 00 H 2 =M ore tha n $5 .09 0.00 0

2 . V a lu e C o d as l =$ 1 5 .000 o r l e s s K =$1 5 .0 0 1 - $5 0 .0 0 0 L =$5 0 .00 1 - $1 0 0 .0 0 0 M =$100~.00 [ - $250,000(S ee C olu mn s C I a nd D 31 N =$2 50 .0 01 - $5 00 .0 00 O =$5 00 .0 01 - $1 .0 00 .0 00 P l = $1 ,0 00 ,0 01 - $5 .0 00 ,0 00 P 2 =$ 5 .000 .001 - $ 2 5 .000 .000

P 3 =$ 2 5 ,000 .001 - $ 50 .000 ,000 P 4 =M o r e th an $ 50 ,000 .0003 . V a l ue 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 ( Re a l Es t a t e O n l y ) S = A s s e s s m e n t T - - C a s h M a r k e t

~ S e e C o l um a C 2 ) U = B o o k V a l u e V = O t h e r W = Es t i m a t e d

E =$ 1 5 .001 - $ 50 .000


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N a m e o f P e r s o n R e p o r t in gReiss, Christina C.

D a t e o f R e p o r t05/10/2011

V I I . IN 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 r o n s u c t i o , ~ a n c l u d e s t h o s e of s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g instructions.)[~ NONE income, assets, or transactions.)N o reportable

1 8 . - T he Home Depot A Div idend J T1 9 . AT &T , I nc . ** N o n e Sold

20 . G ene ra l E l ec t r i c Co . ** N on e So ld21 . I RA # 2 C Div idend K T22 . - I Sha re s Russe l l 20 0 0 G row th F und A Div idend J T23 . - V o da fo ne G roup P L C A DR Fu nd ** N o n e So ld24 . - Columb ia Ac orn Z F und A Div idend J T25 . - Fidel i ty Diversi f ied lnt l Fund A Div idend J T26 . - I N G I n t l Sma l l Cap F und So ld

27 . - I N G R ea l Es t a te F und Sold28 . - T R ow e Pr i c e I n t l Fund A Div idend J T

JJ

A

A

29 . - T R o w e P r i c e E m e r g i n g M a r k e t s30 .31 .32 .33 .34 .

- Virtus Foreign Opportuni t ies I Fund- Vir tu s Shor t I n te rmedia t e B ond I F u nd- Vir tu s I n te rmedia t e T ax Ex empt 1 F un d- Cisco Systems, Inc .- Zhone T ec hno log i e s , Inc .

AAAA

Div idendDiv idendDiv idendDiv idend

J

JJJ

T

T

T

T

A

02/02/10 J A

02/02/10 J A

S o l d 02/02/10 J AS o ld 02/02/10 J A

1. Incom e Gain Codes: A =$1 .000 o r le ss( S ee C o lu mns B 1 and D 4 ) F =$50,001 - $160.000

2 . V alu e Codes ] =$15.000 o r less(See Colomns CI and D3) N =$250.001 - $500.000P3 =$25.000.001 - $50.000.0003. Value Method Codes Q =Appraisal(See Co lu m n C21 U =B ook V alu e

B =$1.001 - $2,500 C =$2,501 - $5 .000 D =$5.001 - $I 5 ,000O =$1 00 ,0 01 - $1 .0 00 .0 00 H I =$1 ,0 00 ,0 01 - $5 .1 ~0 .0 00 H2 =More than $5,000.000K =$15.001 - $50,000 L =$50.001 - $1~),090 M =$100.001O =$500.001 - $1.000.000 PI =$1.000.001 - $5.000.000 P2 =$5.000,001 - $25,000,000

P4 =More than $50.~00.000R =Cost (Real Es tate Only) S =Assessment T =Cash MarketV =Other W =Estimated

E =$15,001- $50.000


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N a m e o f P e r s o n R e p o r t in gReiss, Christina C.

Date of Report05/10/2011

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 lu e , t ransac t ions ( Inc ludes those of spouse and dependen t chi ldren; see pp. 3 4-60 of f i ling ins t ruc t ions . )[] NONE(N o reportable income, assets, or transactions.)

35 . I R A # 3 E Div idend L T36 , - N ew P e rspec ti ve F und - A So ld 0 1/20 /10 J A

37 . - N ew Wo r ld F und - A A Div idend J T38 . - S M A L L C A P W o r l d F u n d - A A Div idend J T39 . - Cap i t a l Wor ld G row th and I nc om e F und - A Div idend J TA4 0. - Cap i t a l I nc ome B u i lde r So ld 01/20/10 J D

41 . - T he Cash Management T rus t o f Am er i c a So ld 0 1/20 /10 J A

4 2. - T he G row th F und o f A mer i c a - A Bu y 01/20/10 J4 3. - T he I nc ome F und o f Am er i c a - A Bu y 0 1/20 /10 J

4 4 . - Am er i c an High I nc ome T rus t - A Bu y 0 1/20 /10 J4 5, - T he B ond F und o f Am er i c a - A Bu y 0 1/20 /10 J4 6 . - Cap i t a l Wor ld B ond F und - A Bu y 0 1/20 /10 J4 7. - Am er i c an F unds Money M arke t F und - A So ld 01 /2 0/1 0 J A

4 8. I R A # 4 A Div idend J T49 . - Cap i t a l Wor ld G row th & I nc om e F und - A Bu y 01/20/10 J

50 . V e r m o n t H i g h e r E d u c a t i o n I n v e s t m e n t P l a n B Div idend J T#151 . V e r m o n t H i g h e r E d u c a t i o n I n v e s t m e n t P l a n B Div idend J T#2

2 . V alu e C odes J =$15;000 or less K ~-$t5;~1 .- $50~000( s e e c o ~ m ~ c t ~ .~ D3 ) N,25o oo~ ~ $~ 0oo o = * ~ o o , ~ t : * ! ; ~ 0 , ~ o :P 3 = $ 2 5 , ~ 0 . ~ i - $ 5 0 0 ~ , 0 ~3 . V a lu e M e t h o d C M e s Q =Apprai~ai ......... R ~ o s t (Real ~tate only) s = A s ~ s s m e n i :(See Column C2) U =B~k Vai~ ..... V =Oth ~ W ~E~imat~d ....


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N a m e o f P e r so n R e p o r t i n gReiss, Christina C.

D a t e o f R e p o r t05/10/2011

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 u l u e , ~u~uetions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)~-j N O N E (N o repor tab le incom e , as se t s , o r t ransac t ions . . )

A?..... Description ~f ASSetS

. . . . . . . . . exefipi fro~

52 . VC SP / College America Plan #1 A Dividend 5 3 . VC SP / College America Plan #2 A Dividend

54 . IRA #5 C Dividend55 . - Cisco Systems, Inc. A Dividend56 . - Zhone Techno logi es New A Dividend

J

J

J

JJ

T

TTTT

1 . In co m e G a in C o d e s :18 Columns B1 and 1)4)

2.Va lue Co d ~(See Columns C1 and D3)

3.Va lue Me tho d C o d e ~(See Column C2)

A =$1.000 or less B =$1 .001 - $2 ,500 C =$2.501 - $5,000 D =$5.001 - $15,000=$50,001 - $t 00 .000 ~3 =$100.001 - $1,000,000 HI =$1,000,091 - $5,000.000 H2 =More than $5.000.000=$15.000 or less K =$I 5.001 - $50,000 L =$50.001- $100,000 M =$100,001 - $250.000

N =$250.001 - $500,000 0 = $500.001 - $1 ,000,000 P I = $ 1 , D 0 0 , 0 0 1 ~ $ 5 , 0 0 0 - 0 0 0 P2 =$5,000-001 " $25-000.000P 3 = $ 2 5 . 0 0 ~ L 0 0 1 - $ 5 0 . 0 0 0 . 0 0 0Q =AppraisalU =Book Value V =Othe r W =Estimated

E =$15,001 - $50.000


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N a m e o f P e r s o n R e p o r t i n gReiss, Christina C.

D a t e o f R e p o r t05/10/2011

V III. ADDITIONAL INFORM ATION OR EX PLANATIONS. an,~ica,e~,ano/,epor~)** - AT& T, In c . s to ck , Gen era l Elec t r ic Co mp an y s to ck an d Vo d ap ho n e Gro up ADR Fu n d were a l l so ld o n Decem ber 3 , 2009 . Th is d a te i s be tween the d a te o fthe No m in a t io n F in an c ia l Rep o r t ( l a s t rep o r t ) an d th is 201 0 Rep o r t . The p ro g ram wi l l n o t a l lo w en t ry o f a d a te in 2009 . These en t r i es sho uld n o t be in c lud ed o nthis report.


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FINANCIAL DISCLOSURE REPORTP a g e 9 o f 9Name of Person Report ing

R e i ss , C hr i s t i n a C .Date of Report

05/10/2011

IX. CERTIFICATION.I c e r t i fy t h a t a l l i n fo r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a in i n 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 hh e l d 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 io n s p e r m i t t i n g n o n . d i s c l o s u r e .I f u r th e r c e r t if 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 t s 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 n

c o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C. a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t io n s .

Signature: S/Ch ristina C. Reiss

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 FI E S 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 ILAND CRIM INAL SANCTIONS (5 U.S.C . ap p . 1 04)

C o m m i tt e e o n F i n 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 sSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Stephen R Reinhardt Financial Disclosure Report for 2010

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