mdu ..

POSITION NAME OF ORGANIZATJONiENIJTY

PARTIES AND TERMS

3

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AOJO in Government Aa of I 978 Rev. 1120/0 FOR CALENDAR YEAR 2009 (5 U.S.C. <1pp §§ 101-111)

I. Person Reporting (last name, fir>t, middle innoal)

Williams, Stephen F.

2. Court or Organization

U.S. Court of Appeals, DC Ct

3. Date of Report

05/15/2010

4. Title (Article Ill JUdgcs md1catc active or cmor status, magistrate Judges ate full or part-lime)

Article III Judge, Senior Status

Sa. Report Type (check appropnate type)

D Nom1nahon, Date

D )nitial [Z] Annual D Fmal

6. Reporting Period

01/01/2009

to

12131/2009

Sb. D Amended Report

7. Chambers or Office Address

U.S Court of Appeals 333 Constitution Avenue, NW Washington. DC 20001

8. On the bas.iii! of the information contained in this Report and any modifications pertainfog thereto, it is, in my opinion, in compliance 'ft1th applicable lan5 and regulations.

Revitl-\-ing Officer Date

IMPORT ANT NOTES: The inslrrictions accompanyini: thisform must be followed. Complele all parts, checking the NONE boxfor each part where you have no reportable information. Sign on last page.

1. PQSJTI ONS, (Reporting individual only; >ee pp. 9-13 offiting instructions.)

[{] NONE (No reportable positions.)

2.

4.

5.

IJ. AGREEMENTS. (H•pnrtin,, i11dlviJua/ only; .•ee pp. 14-1 offili11g imtructinn<.)

[{] NONE (No reportable agreements.)

2

of filing n

SOURCE AND TYPE

SOURCE AND TYPE

SOURCE LOCATlON PURPOSE

INCOME

ITEMS PAID OR PROVIDED

. t

Dale of Reporl Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Williams, Stephen F. 05/J 5/2010 Page 2of8

HI. NON-INVESTMENT IN CO ME. (Repvrting individual and spouse; ue pp. 17-24 instructio s.)

A. Filer's Non-Jnvestment Income

[{] NONE (No reportable 11on-inves1ment income.)

(yours, not spouse's)

I.

2.

3.

4.

B. Spouse's Non-Investment Income - I/Jolt "'"e married during any portion 0/1/ie repor1in11 year, complele tliis seciivn.

(Dollar amount not required ..xc,cptfi1r honorana.)

0 NONE (No reportable non-investment income.)

I. 2009 DC Public Schools (S)

2.

3.

4.

IV. REIMBURSEMENTS -- tran.<porta11on, lodgmg,Joo1/, enrertuinmenl.

(/ndudes rhose to spmw: and d,•pc•mlenrcJ11l<be11. set• pp 15-27 offilmg m;;tru1.'IWIJ.\)

D NONE (No reportable reimbursements.)

Umvers1ty ol Colorado Febrnary 6-9, 2009 Boulder, Colorado

2 Northwestern Umvers11y Apnl 16-17, 2009 Chicago, llhno1s

3 Boalt I !all Law School October 26-27, 2009 Berkeley. Cahforrua

4 US Ru•sian Foundation for October Moscow Economic Development 3 I-November 3, 2009

5 New York Umve"llY Law 'Jovcmber 17-19, :-<cw York. \Jew York School 2009

Panel d1scuss1on, telecom

Lecture on preemption

Lccrure on law & econonucs

Roundtablc d1scuss1on on tax procedures

Hayek lecture

Tran ponauon, food and lodging

Tran>portation, food and lodging

Transport•lmn, food and lodging

Transportation, food and lodging

Transportatmn food and lodging

SOURCE DESCRIPTION

CREDITOR DESCRIPTION

VALUE

VALUE CODE

Dale of Reporl Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 3of8 Williams, Stephen F. 05/15/2010

V. GIFTS. (lnclude5 those to spouse ond dependent children; see pp. 28-31 of filing instructions.)

NONE (No reportahle g!fts.) [Z]

I.

2.

3.

4

5.

VI. LIABILITIES. (Includes tho>• ofspo1ue and dependml children; see pp. 31-33 of filing instructions.)

[Z] NONE (No reportable liabilities.)

2

3

4

5.

I

12

'

-

-

(l)

--

I

I I

Date of Report Name of Person Reportmg FINANCIAL DISCLOSURE REPORT Page 4of8 Williams, Stephen F. 05/15/2010

VII. INVESTMENTS and TRUSTS -- income, 1'<1/ue, transactions (Includes those of spouse and dependent children; sec PP· 14-60 of filing instrucnons.)

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

A !)De'icnpuon of As'ic:l i [nc m: durmg I Gross Y uc at end i

I Transdctlons dunng rcpomng perrod

(mcludmg trust assets) l -- - -- --- -reporting penod of report mg pcnod

(3) (4)Pla<..c: "(X)'' aftc:r ea<. h assd

<il-:--w 1-0> T m -i-- (I) Value Gam lden11ty of>\mount Type (e g, Value Value Type (e g,

Code I div, ren Code 2 Method buy, sell, mm/dttn Code 2 : Code 1 buyer/sellercxernpt froin pnor d1.:;.closurc (A-II) or ml) (J-P) Code 3 I redemption) (J-PJ i (A-II) (1fpnva1eI I I .;::,

I ' transaction)i _ ___ _!___ __ _ __ __ L 0- - i __ L, - _J_ --- - - --- -- -- ---- ---

I Trusl # l Chase Manhattan (J.P. Morgan

I mutual funds) N l

Dreyfus S&P 500 Fund

3 Dreyfus S&P 500 Fund I

4 Fidelity OTC ----:}IRA)

5 Vanguard Index 500

6 Vanguard Pnme MM Fund

17 Vangard Tax-Mgd Gr &Inc

i

8 Vanguard Index 500,j

9 Vanguard Mid-Cap Index

JO. Vanguard Prime MM Fund I

11 Vanguard Mid-Cap Index I

12 Vanguard Selected Value

13. Vangua1d Sdceted \IJlue I

14 Vanguard U.S Value I

15 Barnck Gold Corp

16. Gold Corp , Inc

17 Boulder, CO

B

c

D

B

c

B

A

D

D

A

c

A

B

B

A

A

D

lnt/D1Y L

Dividend L

D1v1dend M

Dividend L

Divtdcnd M

D1V1dend K

Dividend

Dividend N

Dividend N

Dividend J

Dividend M

Dividend

Dividend

DIYldcnd

DiYtdcnd K

Dividend K

Rent 0

T

T Redeemed (part)

T Redeemed(part)

T

T

T

Redeemed

T

T

T

T

Redeemed

Redeemed

Redeemed

T

T

w

09/03/09 L

09103i09 M G

09.103!09 L

09/03/09 L

09'03/09 l

09103.'09 l

I

I

! lncoin Gum Codo::i r\ -.s 1.000 or k:s5 H -·S1.00! - S.?,500 ( -$2,501 - 15.000 l) $5,001 il5,00<l E - I 5,00! - $10.0Clll (Sec Cl1lumru. UI .md 04)

Value Codl' (SlC. Columm ('I anJ 03)

; =$50.llOI - SI00,000

J =SI 5,000 or l s N =S250.00! - SS00,000

G -,S I 00,001 - SI ,000,000 I<· I 15,001 - $50,000 0 \500.001 -$1,000,000

HI 11,000.001 -15.000,000

I. 450,001 -1100.000 Pt-$1,000,001 -SS000,000

E 12 ..:.More than SS (l()0,000 M $100 001 - $2lU.l)()I)

P: =$5 000 001 - $25,000 IJOO 1'1 =$2\ 000,001 - !lO 000.001) P4 =More lhJ.n $.SO 000,0oo

) V3Juc Mt•th1..1d ( ndl!s 0"'Appru1\ill R =C"O!>l tRc::il FstalL Only) '"'A'>SC'i nlCnT T =ldsh Market {Sl!c Column ( 2J l' -'Book Vc\lm. v -={Hiler W E:.t1mah.i.I

Tran ctionsd::g

-r po =gpe d

-l-(li--1--ffi_ --red

empti:_

I :

:

I

I I I

Date or Report Name of Person Reporting FJNANCIAL DISCLOSURE REPORT Page 5of8 0511512010Williams, Stephen F.

0 VII. INVESTMENTS and TRUSTS - income, •alue, iramactions r1nc1udes those ofspous• and dependent c1ti/dren; ... PP. 14-60 of filing instruc1iom.J

NONE (No-reportable income, assets, or transactwns ) ,- -- ----- --: : ::

.: --------! - n-:: :: :ng___ --, -- r::-: -:.:1 d

- ---- - - -- -- - -,

(mcluding trust assets) , repo1ting penod ofreportmg penod :

Place "(X)" after each asset Arnoum Type (e g. Value Value Type (e g, Date Value ' Gam ldcnllty of

exempt from pnor disclosure Code I div., rent, Code 2 Method buy, sell. mmldd/yy Code 2 : Code I buyer/sellerJ _(i) _______ i2i--i---\l)____ t_i2) ___(Jl-: (4l- - --(S)

1--------------------------- \-H) orint)---

-(1-P) __ ;_�� ___ _:p -c-f --- _'.' :::;; ___ _j

' 18. PNC Bankill

19. TJAA CREF Rel Annmtlcs

20 J P Morgan IRA. ca•h reserve

21 Nestle

22- Proctor & Gamble

23_ Questar

'24. Bank of America i,

25 Schering Plough (part so ld, rest merged mto hne27)N.IA

26 Schcring Plough

27 Merck

28_ Trusl No. 2, B:-JY Mellon, Dreyfus Mutual Funds

29 BNY Mellon Mutual Funds

130. BNY Mellon Cash Reserve Account (renamed from BNY Fund)

31 ETF Vanguard Emergmg Markets

32 Strategic Global Stock Fund

33 Vanguard Pnmc Money Market N 3

34 Vanguard Growth Index

J Jm:orne Gain CocJ ..."j /\. =-$ 1,000 or h:::1s (See Columns ll I 3nd 04)

2 Value Codi:s tS.:.c Columns Cl .mJ lH)

! 3 V J!ue Method Code.;

L ltunn C2)

r -·SS0.001 - SI00.1100 J =.$15.000 or k !:i N ··5250,001 - SStl0.000 i'.l -)l<i 000,001·1."-1l,OOO,llOO Q = ppr .11sal LI -O(KlJ.. VDlui:

A

A

A

A

A

A

A

A

A

A

A

A

A

A

Interest L

None M

None Pl

D1v1dcnd L

Dividend K

D1v1dcnd K

D1V1dcnd J

Dividend

None

D1v1dend K

D1v1dend K

D1v1dend K

DIVldcnd J

DJV1dend J

D1v1dcnd K

D1v1dend M

D1v1dcnd K

H =Sl,001 - >2.500

G- $100.001-SI 000,000 1'. =$15.(Mll · $50.000

0 ° 55011.00 I - ! I OO<J 00.l

H -C<'Sl(J{c:Jl l: l:.IL' Only) \' -01hc1

T

T Sold (part)

T Buy

1

T

T

T

D1stnbutcd

Merged (with lme 27)

w

T

T

T

T

T Buy

T

T

C - $2,50 I - S5,000 rtl =51,000001 -15,0(10000

L $50,001 - $100_000 Pl 0$1.000.001 - $5,000.000r.J =/\.10h' than $50,000,•JOO

"'".\.s'><..ssmt!nt \\'=-L":ilim.ited

12/30109 Pl G

12/30/09 Pl

11/05/09 J D

11/05/09 J

11/05/09 J

06105109 J

fl 0S5.00 I - 515.000 fl:? -=More than $5 000,000

M=$100001-Sil0,0IJ\l

P2 =SS.000,00l - i2 000,000

T =C sh M1rkcl

i

I

t. "$1 5,001 - Si0,000

I

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

137. : I I I

Code I

I div . rent.

Dale of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT Page 6of8 Williams, Stephen F. 0511512010

VII. INVESTMENTS and TRUSTS - income, va1ue, 1ransactions r1nc1udes •hose of spouse and dependent children; see pp. 14-60 of filing instrucrions.J

0 NONE (No reportable 111come. assets, or transactions) ··r ----0- -- · A.

Descnpt10n of Assets 1 income during(including trust assets)

g p id-r(2P_O nAmount Type (e g. Pince "(X)" after e.1ch as t:l

(A-II) or me) exempt from pnor d1sc)o!)ure

___ L_ ____ L..__ __

35. 500 Index (Vanguard) B Drvitlcnd Redeemed 09/03/09 M

36. Mid-Cap Index (Vanguard) B D1v1dend L T

Vanguard PRJMECAP A Dividend L T Buy 01114/09 L

38. Total International Stock Index (Vanguard) B D1v1dcnd L T

39. SSgA Age Based 2010 ..., None J T

tncome Gnm Codt.!> (Sec Column Bl and [)4)

{St.c Columno; Cl and[)))

\'a/uc: Merhod lode"

l

2 \. aluc Code'

-' (.Sl-e CnllJmn Cl)

A =-SJ,OPO or Ii:!>

r =S50,ll01 · SI00,000 J -= I S 000 or h:'ls N =5250.001 · SlOO.OfJO

rl -$2S <)00 001 - $501)00,Mt)

Q .<\ppra1sJI U -Boolo.. \..JIUl'

H =SI 001 S251J<J

G•SIOOOUI -$1.000,CillO

K =Sll.001·550,0IJO

() =t <00.fHH · SI 000.000

K =-Cost1H.::JI buueOnlyl V ==Olhcr

c $2,501 . 55,000

Ill -t I 000,001 · il,000.000 L -i.50.00 I · 5 I 00,000

r1 ··Sl,000.001 - \S,000.000

P4 =-l\1on 1P::m $50 000,0()0

S=-A::.-.<.-">s1rn.nt W -f 11tn.J1ed

D =Sl.001 · $15,000

M2 =More 1han $5,000 000

M =$100.001 .S250,C>OO

P2 =55.000 ()!)! • \21.000 Of)()

E •$15,001 - $50,000

myR:. I

my W@I

'I.

05/1512010

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 7of8 Williams, Stephen F.

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReporL)

I. This 1s a trust established by 'Ji;;:. of which I am a life beneficiary

I A. The holdmg of Schering Plough ended by a combmat1on of merger into Merck and distnbul!on to Schenng Plough shareholders

2. The a'sets noted on thto and the next four lines are held by a testamentary trust cotabhshed by of which I am the lilc beneficiary

3. The mutual funds noted on this and !he next five Imes are or were assets held by a testamentary trust established by my i · of which lam the hfc beneficiary.

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 8of8 Williams, Stephe n F. 05/1512010

IX. CERTIFICATION.

I certify th at all information given abo.-e (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 wi thheld because it met applicable statutory provioions permitting non-di•closure.

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 5 U.S.C. app. § 501 ct. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAi. WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Admmistrat1vc Office of the United States Courts Suite 2-301 One Columbus C1rcle, N.E. Washington, D.C. 20544