John C Porfilio Financial Disclosure Report for 2009

8/3/2019 John C Porfilio Financial Disclosure Report for 2009

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, ~ o l 0 I FINANCIAL DISCLOSURE REPORT R ~ o r t R e q u i r e d b y t h e z th ~ c ,R e ~ . 1 / ~ 0 ~ 0 [ FOR CALENDAR YEAR 2009 i n G o v e r n m e n t a c t o f1 9 7 8(5 U . S . app . o+ 101-111)I P e r s o n R e p o r t in g ( l a s t n a m ~ f i ~ 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 1 3 . D a t e o f R e p o r tP orfilio , Jo hn C . I 0 th C ircu it C ourt of A ppeals 4/19 /2010

4 . T it l e ( A r t i c le I ll j u dg es i n di c at e a c ti v e o r s en io r s ta tu s; 5 a. R ep or t T y p e ( c h ec k a p pr o pr ia te t y pe ) ! 6 . R e p o r t i n g P e r i o dm a g l s t ra t e j u d g e s i n d i c a t e f u l l - o r p a r b t i m e ) [ ] Nom ina t ion , D a t e 0 1 1 0 1 / 2 0 0 9S en i o r Ci r cu i t Judge [] Initial [] A n n u a l [] Final to12/31 /20095 b . [ ] Am e nd e d Re p oR7 . c h a m U e r s or Off i ce Address 8 , O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t and anym o d i f i c a ti o n s p e r t a in i n g t h e r e t e , i t i s , i n m y o p i n t o n , i n cempllanceB yro n W h i t e US Co u r t h o ~ e with appl icable laws and regulaflona.1823 S tou t S tree tDears . r , CO 80202-2505 R e v i e w i n g O ff i c e r D a t e

I M P O R T A N T N O T E S : The instractlons accompanying this form mast be followe~ Complete all parts,checking the NONE box for each part where you have no reportable in format ion . ~ign on lastpage.

I . P O S I T I O N S . r ~ e ~ o r t ~ . g i ,, ,~ t o ~ ; s e o ~ , ~ . 9 - . offding instructions.)N O N E ( N o r e p o r t a b l e p o s i a o n s . )

POSITION NAME OF ORgANIZATION/ENTITYI.

N O N E ( N o r e p o r t a b l e a g r e e m e n t s . )~ p&NTIES AND TE~S


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FINANCIAL DIS CL O S URE RE PO RT NIme of Pe~~n Reporting Date of ReportPage 2 of 7 Porfilio, J o h n C , 4 / 1 9 / 2 0 1 0

IlL NON-LNVESTMENT INCOME. ~Re~,ortingA. Fi ler s ~on- inve~tmen t Income[] NONE (No reportable non-investment income.)

D A T E SO U RC E A ND TY PE ~COME( y o u r s , n o t s p o u s e s )

I,

2.

3.

4.

B . S p o u s e s N o n - ln v e s t m e n t I n c g m e - lf you were married during any portion of the repo~ting ~ar, complete this secffott(D o l l a r amou n t n o t req uired excep t for hono rar ia . )

[~ NONE (No r e p o r t a b l e n o n - i n v e s t m e n t i n c o m e . )D A T E SO U RC E A ND TY PE

I. 2009 A n d r e w M . Norris , MD PC - s a la *y

2.

3.

4.

I V . R E I M B U R S E M E N T S - t , .~ ,p~ . .~ao~, lodging, food, e n t e r t a i n m e n t(Intrudes those to spouse and dependent children; see pp. 25-27 oIfiling instructions.)

N O N E ( N o r e p o r t a b l e r e i m b u r s e m e n ts . )SOURCE D A T E S LOC A TION PI.JRPQSE I T E M S P A ID O R P ! ~ Q V I D E D

1 .2.

3.4.

5.


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FINANCIAL DISCLOSURE REPORT r ~ ,e o f e e r ,o , r ~ ,p o ~ n g r a te o f S ,p o ,P a g e 3 o f 7 e o r f il ie . J o h n C . 4 / 1 9 1 2 0 1 0

V . G I F T S . a , , a , , d e s t h o , t o ~ , , , ,, e , , ,, a d e r e , , d , ,t children; s e e p p . 2 8 - 3 1 off!llng instrtwtlon$.)N O N E (No reportable g~s.)

S O U R C _ _ E _ E D E S C R I P T I O N VALt~1 .2.3,4.5.

V I . L I A B I L I T I E S . a n a , : ~ , th o ~ , o y ,p o ~ , o~d dependent chtldr~n; see pp. 32-33 f flltng i, nstrttctians.)[ - - - ] 1 N O N E ( N o reportable licbilities.)

~REDiTOR D E S t ~ R I P T I O N V A L U E C O D E1 . V isa Credi t card2.3.4.5.


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F I N A N C I A L D I S C L O SU R E R E P O R T N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tPage 4 of 7 P o r f i l i o , J n h n C . 4/I 9/2010

NONE ~o reportable income, ~sets, or wamoctiom.)A. B. C~ ! D.

De~fiption of A~ . Income d~ng Gross v~ue at end ~ Tran~ctions during ~ng period

Place "{X)" afi~ ~h ~t Amount i T~e (e.g., Va~e V a l u e T~ (.g., ~ Da~ Value ~ ~ain Identi~ ~fe xe m p t f r o m prior discl~ure ~de I ~ div . . rent . Code 2 Method b u y , s e l l , ~mwdd~ C~ 2[ ~de 1 ~ b~er/~l let

(A-H, [ or inL) ( J - P ) ~ Code3 ~ption) (~)] (if private~ ~ ( Q - W ) t~s~tion)

1 . Fi rs t Na tiona l Ba nk of F o~ C ol l i~ De pos i t A Interest L T ~A~o~2. USB B ank USA De.sit Account A lnt~st J T 02/04/09

i 3 . I v y A s s e t S t r a t e g y F u n d C l a s s B A I n t e r e s t J T4. C o h ~ & Steers ln temat ion~al Real ty Fund A Dividend J T 12/11/09C l a s s C5. El a c kr oc k Al l C a p G l ob a l Res o A F u nd A Dividend J T 12/21 /096. I v y A s s e t S t ra t e g y F u n d C l a s s C F u n d None K T

7. . I P M o r g a n M u l t i- C a p M a r k e t N e u t r a l F u n d None J TC l a s s C 8.

9. t

II. [

1 2 .

1 3 .

1 4 .

1 5 .

1 6 r

1 7 .

Inc ome G a in C adre : A =$1 ,00 0 o r l~s s B =$1 ,0 0 1 - $2 ,50 0 C =$2 ,50 t - $ .~,0 0 0 D = $5,0 0 1 - $1 5,00 0 E = $ : 5 , 0 0 1 - $ 5 0 , 0 0 0

C o l u m n C 2 ) t J = B o o k V a l ue V =O~ber W =Est imated


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F INANCIAL DISCLOSURE REP OR T N~me of Per$ol~ Reporfllt~ Dat~ of ReportP a g e 5 o f 7 Porfilio, John C. 4 / 1 9 / 2 0 1 0V I I . IN V E S T M E N T S a n d T R U S T S -t .~ . ,e , , , I . , t,~.sact~o,~ (Includes those of spouse atcd dependent children; see pp. 34-6tl of filing lnxtruetlo~a.)[ ] N O N E ( N o reportable income, assets, or transactions,)

A. B. C. D.Desc r i p t i on o f Asse ts Income dur ing G ross va lu e a l en d Tran sac tio n s du r in g rep o r tin g p e rio d(inc lu ding m~s t as se ts) ,cp orting p vriod of re.porting period(l) (2) O) (2) 6) (2) (3) i (-~ (5 )

Place " (X)" a f t e r each asse . t A m o u n t Type (e.go, Valu e Va lu e Type (c.g.~ D a t e " Value Gain Ident i t y ofexempl f rom pr ior d i sc losur e Code. 1 div. , rent , C oda 2 M e th od bu y , s e l l , m m / d d / y y C o d e 2 Code ! ] buyerlsell~AH) o~ inL) 0"-P) C o d e 3 r edempt ion) O - P ) (A-H), (i f prioat, t r a n s a c f o n )] i(QW) ...... I

t . I~com Gain Codes: A = , $ 1 . 0 0 0 o r l e s s B = $ 1 . 0 0 1 - $ 2 .~ 0 0 C =$ 2 , 5 0 1 - $ 5 ,0 0 0 D( S e e C olu r u n s B I a n d D 4) F -$ 5 0 .0 0 1 - $ } 0 0 .0 0 0 G ~ $ 1 0 0 ,0 0 1 $ 1 ,0 0 0 .0 0 0 1 t I -$ | ) 00 0 .0 0 1 - $5 .0 0 0 .0 0 0 8 2 = M o r~ ~ ha n $5 ,0 0 0.0 0 02. Vah. Codes J - $ 1 5 , 0 0 0 o r 1 ~ s K = $ 1 5 ,0 0 1 - $ 5 0 ,0 0 0 L ~ $ 5 0 ,0 0 1 - $ 1 0 0 ,0 0 0 M = $ 1 0 0 ,0 0 1 -(See Columns C I and D3) N = $ 2 5 0 , 0 0 1 - $ $ 0 0 , 0 0 0 O = $ 5 0 0 , 0 0 t - $ 1 , 0 0 0 ,0 0 0 PI =$1,000,00t - $5,000,000 P 2 ~ $ 5 , 0 0 0 , 0 0 1 - $ 2 5 , 0 0 0 , 0 0 0

P 3 = $ 2 5 , 0 0 0 , 0 0 1 - $ 5 0 , 0 ~ 0 , 0 0 0 P 4 = M o r e t h a n $ 5 0 . 0 0 0 . 0 0 03. Valt~ Mlhod Codes Q - A p l g - a i s a I R ~ost (Real EsLat~ Only) S = A s s e s s m e n ! T ~ C a s h M a r k c ~ I(See Column C2) U =Book Value V =Other W = E s t im a l c d


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FINANCIALD I S C LO S U R E R E P O R T I N a m e o f P e r s c n R e p o r t in g D a t e o f R e p o r tP a g e 6 o f 7[ Porfilio, John c.

4 1 1 9 / 2 O l 0

V l ll . A D D IT I O N A L I N F O R M A T I O N O R E X P L A N A T IO N S .


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FINANCIAL DIS CL O S URE RE PO RT N a m e o f P e r s o n Reporting IPage 7 of 7 Porfl!io, John C, 4/19/2010IX. CERTIF ICATION.

1 cert i fy that al l informat ion given above ( including informat ion pertain ing to my spouse and minor or dependent chi ldren, i f any) isaccura t e , t r ue , an d co mpl e t e t o t h e bes t o f m y k n o w l edge an d be l i e f , an d t h a t an y i n fo rma t i o n n o t r epo r t ed w as w i t h h e l d becaus e i t me t ap p l i cab l e s t a tu t o rypro v i s i o n s pe rmi t t i n g n o n -d i s c l o s u re .I f u r t h e r c e r t if y t h a t e a rn ed i n co me f ro m o u t s i de empl o ymen t an d h o n o ra r i a an d t h e accep t an ce o f g i f t s w h i ch h ave been r epo r t ed a r e i nco mpl i an ce w i t h t h e p ro v i s io n s o f 5 U . S .C. app . 501 e t . s eq , , 5 U. S . C. 7 3 53 , an d Jud i c i a l Co n fe ren ce r egu l a t i o n s .

N O T E : A N Y I N D I V I D U A L W t l O K N O W I N G L Y ILA N D C R I MI N A L S A N CT I ON S ( 5 U. S . C. app . 104)

F I L I N G I N S T R U C T I O N SM a i l s ig ne d o r ig ina l a nd 3 a d d i t iona l c op i e s t o :

C o m m i t t e e o n F i n a n c i a l D i s c l o s u reA d min i s t r a tive Of f i c e o f t he Un i t e d S t a t e s Cour t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

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John C Porfilio Financial Disclosure Report for 2009