Stephen S Trott Financial Disclosure Report for 2009

8/3/2019 Stephen S Trott Financial Disclosure Report for 2009

1/11

I1. P~n Repo~g ~t ~e, f~ mi~i~ti~) 2. Co~ or O~aniza~ 3. Date of Re~~O~, St~hen S. N~ Ci~uit ~ of~pea~ 05/01~010

4. Ti~e (A~le III ~dg~ in~ active or se~o~ s~ms; 5~ Re~ Type (ch~k appropriate ~pe) 6. Repo~ng Pe~odmagis~a~judges indica~ ~ or p~-~e)~ N~i~fio~ Da~ 01101~C~cuitJ~ge, SeniorS~s ~ I~fial ~ A~I ~ F~ to!~1~5b. ~ Amend~Re~

7. Chamberx or ~ce Add~ j & On the b~is of~e iafermafioa eoataia~ in ~i~ Repo~ and anymodificatio~ pertaining the~, it i~, la my opiaio~ ~ complianceU.S. ~o~e with appficable laws and550 W. Fo~ S~eet, R~m 667Boise, Id~o 83724 Renewing Offi~ Date_

I ~ O R T A N T N O T E S : The imtructlons accompanying thlx~rm must be~lm~ Complae allpar~,checking the NO N E box for eachpart where you have no reportable information. Sign on last tmg~

N O N E ( N o reportablepoxitions.)POSIT ION ~[AME OF ORGANIZATION/ENTITY

B oard M em ber B oise Philhan-nonic A ssociation & F ou ndation2. Board Member Esther Simplot Performing Arts Center

3. Advisory Committee Member Childrens Home Society o~o

I I . A G R E E M E N T S . (etporti.g indi,ldaal oMy; see~p. 14-1~ of~iling lnstrucl~or~-)~ N O N E ( N o reportable agreements.)

DATE P A R T IE S A N D TE R M S1.2009 Vested interest in a retirement plan maintained by L os Angeles Cn~y , CA. I w as employed as an attorney betw een1965/198 I. I draw a retirement income monthly.


2/11

F I N A N C I A L DI SC L O S U RE R E P O R T [ N a m e e f P e r s o a R e p o r t i n g D a t e e f R e p o r tPage 2 of 10 II I L N O N - I N V E S T M E N T I N C O M E . (Rev,~,~ I~a lv~ual .~ spo~ ,a; ,,, n,. t Z-2~A . F flers Non-Investm ent Incom e

N O N E ~ o reportable non-inv~tm ent income.)~ SOURCE AND TYPE ~COME(yore, not

I. 2~9 Los ~geles C0~ty ~lifomia Retirem ent $12,~.~2. 20~ "Highw a ym e n~ LLC, R~ord Sales & Perfo~anee Fees $2,0~.~

3.

4.

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 ~,ou ware married during any portion of the repott ing.roar, complete thi~ sction,(Dol lar amount not required except for hono raria. )

[~ N O N E (N o reportable non-investment income.)DATE [;OURCE AND TYPE

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - ~.~o,,~, . Io~ting,~oo~ en tertainm ent( Includes those lo spou:~e a nd dependent chi ldren; sea pp. 25-27 of f i l ing in~truct iot~ .)[~ N O N E (No reportable reimbursements.)

~OURCE D A T E S L O C A T I O N ]PURPOSE I T E M S PA I D O R P R O V I DE DI.2.3.4.5.


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F I N A N C I A L D IS C LO S U RE R E P O R T r~ ....fg .....Reporling DateofRcportPage 3 of 1 0 X R O a - r, S te p h e n S . 0 5 / 0 1 / 2 0 1 0

V . G I F T S . (inctudes those 1o s p o u s e a n d d e p e n d e ~ childr~-n; set pp. 2a-3 1 of fd lng inslructlons~)N O N E (No reportable gifts.)

SOURCE DESCRIPTION VALUEI.2.3.4.5.

V I . L I A B I L I T I E S . a , ,c t ,, d ~ , ~ o , , o Z p o " " n d a o p , ,d o n t children; $tpp. J2-33 of filing instruction~)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODEI.9.3.4.5.


4/11

FINANCIAL DISCLOSURE REPORT r~ .... fPersen Reporting I DateofReportP age 4 o f 10 TROT T, Stephen S.[

05/01/2010

VII. INVESTMENTS and TRUSTS -[~] NONE reportable income. ~se~, tramactions.)~ o or

A. B. C. D.Dese~ption of~B ~come d~ng Gro~ ~lue at end Tms~fions d~g ~po~ing pe~od(inelu~ng t~t ~eB) ~ing ~ offing p~

0) (2) O) ~) . O) (2) (3) (4) ( 5 )PI~ "~)" after ~ch as~ I Amount ~ Ty~ (e.g., V alue V alu e T~ (e,g., Da~ V~ue Gain Id~li~ ofexe~t~mpfiordi~lo~re ~C~el div.~L Code2 Me~od buy,~ll, ~d~ C~e2 ~del buys/seller( A - H ) or ~L) ( J - P ) C o d e 3 r~ptioa) (J-P) (A-H) ( i f p r i v a t e(Q_ ~

1. Aaio GIo~ In t l F~d E QII J ET~ D Divi~Bd J T Buy 01/15/09 J2. Calamos Growth Fund Class A CVGR X D Dividend J T3. Calamos Growth Fund Class A CVGR X D Dividend J T Sold 09/01/09 J A( p a r t )4. Dodge Cox lnfl S~ Fd DOD FX D Dividend J T5. Dodge Cox [ntl Stk Fd DODFX D Dividend J T Sold 09/01/09 J A( p a r t )6. Growth Fund of Am erica Class F GFA FE D Dividend J T7. Growth Fund of Amcrica Class F GFAFE D Dividend J T Sold 09/01/09 J A( p a n )

: 8 . Ishares M SC1 EAFE Index Fund EFA D D ividend S old 02/18 /09 J A9. [shares Russell Iviid Cap Value D D ividend Sold 02/i 8/09 J Ai 0 . Janus Adv M id Cap Value CI I JMvAX A Dividend J T Bu y 01115 / 09 J1 ! . Legg M ason Value Trus t TRInc NAV A Dividend J TL M N V X1 2 . Lcgg M ason Value Trust TR lnc NA V D Dividend J T Sold 09/01/09 J AL I ~ D 4 V X (part)1 3 . M utual Series FD Inc D iscovery Fd CL A D Dividend J TTEDIX1 4 . Pimco Commodity - Real Return Stratigic A Dividend J T Buy 03/24/09 JFund - PCR1X1 5 . Pimco Commodity - Real Return Stratigic A Dividend J T Bu y 07/30/09 JFund o PCRIX1 6 . Schrocder M uni Bond Inv SM BIX A Dividend K T Sold 02/20/09 J A17. Schrocder Muni Bond Inv A Dividend Sold 02/27/09 J A

1. Incom~ Gain C .od~ A --$1,000 ~ less(S~ CohmmzValue ~.~o~ J($~Columas CI

P.t -$25,000.001 - $_~/,000,000 P4 ,-Mor~ than $ 50,000,000V alu~ M ethod Cod~ Q ~A pprals~ R ~ost (Real Egts OalF) S -Ass~s~men~ T -Cash Marke t(Set Colunm C2) U ~Book Value V -Other W ~F.~imat~l


5/11

F I N A N C I A L D I SC L O S U RE R E P O R T s .... fPer$oa Reporting Date of ReportPage 5 of 10 TROTF, Stephen S . 0 5 / 0 1 / 2 0 1 0VII. INVESTMENTS and TRUSTS -

N O N ~ ~ o reportable income, ~sets, or tra~actions.)A. B. C. D.

Deser t ion of As~ In~ ~ng Gro~ value at end Tr~sactio~ du~ng ~ing p~(~l~g tm~~ts) rc~ng p~d ofrepo~ng p~O) ] (2) 0) ] ( 2 ) 0) @ ) O) ( 4 ) ( ~ )Place ~" a~ ~h ~set ~ount [ T~e (e.g. , V a l u e I V~oe T~(e.g., D a t e V a l u e G a i n I d e n t i t y o f

1 8 . TCW ~S Inc TGL~ Total Bond F~d A D i v i d e n d J T Bu y ~/0~09 J

! 9 . TCW FDS Inc TGLM X Tota l Bond Fund A Dividend J T Bu y 06/09/09 J

20 . TCW FDS lno TGLM X Tota l Bond Fund A Dividend J T Bu y 09/01/09 J

21 . TCW FDS lnc TGLMX Tota l Bond Fund A Dividend J T Sold 12/07/09 J A( p ~ t )22 . Vanguard Index T rust 500 Portfolio Inv Fd D Dividend J TV F I N X23 . Vanguard Index T rust 500 Portfolio Inv Fd A Dividend J T Sold 07/29109 J AVFINX (part)24. Vanguard Index Tr Sm all Cap STK Portfolio A Dividend l Tlnv NAE SX25 . Vanguard Index Tr Sm all Cap STK Portfolk A Dividend I T Sold 07/29/09 J Alnv NAES X (part)26 . Vanguard Index Tr S mall Cap STK P orlfolic D Dividend J T Sold 09/01/09 J AInv NAESX (part)27 . V a n g u ar d M i d C a p I n d e x Fd C L 1 V I M S X D Dividend J T28 . V a n g u ar d M i d C a p I n d e x Fd C L 1 V I M S X A Dividend J T Sold 09/01/09 J A(p~)29 . Vanguard M unicipal Bond Fund InterTerm A Dividend .f T30 . Vanguard M inicipal Bond Fund Inter Term A Dividend J T Bu y 02105/09 JV W I T X31 . Vanguard M unicipal Bond Fund Intcx T~rra I A Dividend Sold 03124/09 J AVWlrX (pro)32. Vanguard Municipal Bond Fund Inter Term A D i v i d e n d S o l d 04/02/09 J AVWITX ( p a r t )33 . Vanguard M unicipal Bond Fund Inter Term A Dividend Sold 06/11/09 J" AV W I T X34. Vanguard Munic ipa l Bond Fund VM LTX A Dividend J T

1. Income Gain Codes: A =$1,000 o1 le~ B =$1,001 - $2,500 C-$2.501 - $5,000 D =$5,001 - $15,000 E ~ $ 1 $ , 0 0 1 - $ 5 0 , 0 0 0(See Columns BI and D4) F --$50,~01 - $100,000 G = $1 00,00 1 - 11 ,0 0~ ,0 00 HI ..,$ 1,0 00 ,O 01 - $5 ,0 00 ,0 00 H2 - M or g ~ $5 , 0 0 ~ , 0 0 02. Value Co~s J - ~ $ I = ~ , 0 0 0 o l e s t .K ~$15.~ I - $50,000 L ~/50,001 - $100,000 M "$100,001 - $250,000(S ee P_ .oh mm* CI an d D 3) N ~$ 2 50 ,0 01 - 1 50 0, 00 0 0 -$ 500,00 i - $ 1 ,00 0.0 00 P l = $I,000,001 - $ ~,o00,000 P 2 --$ 5,000,00! -F3 =$25,000,001 - $50,000,000 P4 =Motx than3. Value Method Cod~ Q =Appraisal R , = C o ~ t ( R e a l E s u t t O t t l y ) S -.Ksscssn,~ T =Cas~ M arket(.~e Column C2) U =Book Value V ~ W =E stin~ted


6/11

Iame of Person Reporting Date of Repo~PageFINAN CIAL6 of 1 0 DISCLO SUR E REPO RT I TROT r, S tephen S . 0 5 / 0 ~ 2 0 1 0VII. INV ESTM ENT S and TR US TS -~o~.oo ~.t~o, , ,o~sact~o,~ a~aua,~ ~ose o~,s~.~ u.a ~o~ ~u~,~; ~o~ ~,v. ~;-~[~ (No reportable income assets, orONE transactions.)

A. B. C. D.Descr iption of ,Assets Incom e d uring Gross value at end T ramaction~ d ining reporti~ g period

(including trust assets) reporting period ofreporllng periodO) (2) O) (2) O) (2) (3) (4)Place "(X)" after ~ asset Amo un t Type (e.g. Va l ue V alue T y pe (e.g ., Dat~ Value Gain i Ident i ty ofe x e m p t f r o m p r i o r d i s c l o s u r e C o d e l div. rent, C o d e 2 M e t h o d b u y , s e l l , m m /d d / y y C o & : 2 C o d e I b u y e r / s e l l e r(A-H) or inL) ( I -P) C o d e 3 red em ption) (J-P ) (A-H) (if private( Q - W )

35 . Vanguard M unicipal Bond Fund Lmtd Term A Dividend J T Bu y 02/05/09 JTa x Ex e mpt VMLT X36 . Vanguard M unicipal Bond Fund Lmtd Term A Dividend J T Sold 03/24/09 J ATa x Ex e mpt VM LTX (part)37 . Vanguard M unicipal Bond Fund Lmtd Term A Dividend .1 T Sold 04/02/09 J ATa x Ex e mpt VM LTX (part)38 . Vanguard M unicipal Bond Fund Lmtd Term A Dividend J T B uy 06/09/09 JTa x Ex e mpt VM LTX39 . Vanguard M unicipal Bond Fund Lmtd Term A Dividend J T Bu y 07/07/09 JTa x Ex e mpt VM LTX40. Vanguard M unicipal Bond Fund Lmtd Term A Dividend J T B uy 09/02/09 JTa x Ex e mpt VM LTX41. Vanguard M unicipal Bond Fund Short Term D Dividend J T B uy 06/12/09 JV W S T Y42. Vanguard M unicipal Bond Fund Short Term B Dividend J T B uy 09/02/09 JV W S T Y43 . Bond~ - Boise Idaho Waste W ater A Interest J T44. Janus Fund JANSX B Dividend K T45 . Janus Growth & Income JAGIX B Dividend K T46 . Artio Intl Equity Fund II JETIX A Dividend J T47 . Calamas Growth Fund Class A CV GRX A Dividend J T4 8. Ca la ma s Gr owth Fund C la ss A CVGRX A Dividend J T Sold i09/01/09 J A( p a r t )49. Cash & M oney Market - Evergreen US Gov~ A Interest K TPortfolio50 . Dodge Cox Intl STK Fund DODFX A Dividend J T5 1 . Dod ge C ox I n t l ST K Fu nd DOD FX A Dividend J T Sold 09/01/09 J A


7/11

F I N A N C I A L DI SC LO S U RE R E P O R TPage 7 of 10 T R O T T , S te p h e n S . 0 5 / 0 1 1 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - into.e, ~ue. ,. .n..aio.. anet.Z~s tSo .. o[~ro~ ~ dtpend~m c h i l d - - ; s e t p p , 34-60 offingNONE (No reportable income, assets, or transactions.)

A. B. C. D.Des~pt~n of Asse~ ~me during Gross value at e~ T~t~ d~ng r~g(incl~ing ~st ~) re~ng p~ of reposing

Pl~e "~)" aRcr ~ch ~t Am ount I T~ {e.g . , V a l u e V~ue T~ (e .g . , D a t e V~lue Gain Id~fity ofC~ i I ~ v . , r e n k C~e 2 Mc~d b~, sell, m~ C o d e 2 :xempt ~om pr~r di~lo~r~ : ~ I bay~/~ller(A-It) o r i n L ) ( J - P ) Co~ 3 ~dempfion) ( J - P ) ( A - H ) (i fpfiv~(Q.~ ~ctlon)

52 . Gro~h F~d American F~d - CI~s F A Dividend J T

53 . Janus Advise r s Ser Adv M id Cap CI ! A Dividend J TJ M V A X54. Legg M ason Value Trus t TRIne NAV D Dividend J TL M N V X55 . Legg M ason Value Trus t TRlnc NA V A Dividend J T Sold 09/01/09 J AL M N V X (part)56 . M utual Series FD Ine Discovery Fd CL A A Dividend J TT E D I X57 . PIM CO Commodi ty Real Re turn PCRIX A Dividend J T B uy 03/24/09 J

5 8 . P IMC O C ommod it y R eal R e tu rn PC t L IX A Dividend J T Bu y 07/30/09 J59. PIMCO Funds Pac hat Tola .I Return PTTRX A Dividend J T60 . PIM CO Funds Pac Int Total Return PTTRX A Dividend J T Sold 03/24/09 J A( p a r t )61 . PIM CO Funds Pae Int Total Return PVIRX A Dividend J T B uy 09/02/09 J

62 . PIM CO Funds Pac lnt Total Return PTTRX A Dividend J T Sold 12/18/09 J A63 . TCW Fu nds Inc TGM LX Tota l Re tu rn A Dividend J T Bu y 04/02/09 J64. TCW Fu nds lnc TGM LX Tota l Re tu rn A Dividend .1" T B uy 09/02/0965 . TCW Fu nds Inc TGLM X T ota l Re tu rn A Dividend .1" T Sold 12/07/09 J A( p a n )66 . Vanguard Index T rust 500 Portfolio hay A Dividend J TF u n d V F I N X67 . Vanguard Index T rust 500 Portfolio Inv A Dividend J T Sold 07/29109 J A

F u n d V F I N X (part)68 . Vanguard Index TR Small Cap Stock A Dividend l TPortfolio NAESX


8/11

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 tPageFINANCIAL8 of 1 0 DISCLOSURE REPORT [ TROTT, S~ephen S. 0 5 / 0 1 / 2 0 1 0

VII. INVESTMENTS and TRUSTS -D NONE (No reportable income , assets , or t ransact ions.)

A. B. C. D.Dc.~cription of Ass~ I n c o m ~ d u r i n g Gross valu~ at end T r a n s a c t i o r ~ d u r i n g r ~ p o r t i n g p e r i o d

(including trust assets) r e p ~ r t J n g p = r i o d ofreporllng periodO) (2) O) (2) O) (2) O) (4) (~ )P l a c ~ " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( g . , V alue V alue T y p e { ~ g . , D a t e Value Gain Id~tlty of

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e 1 d i v , , r e n t , Code 2 M e th o d buy, sell, mra/dd/yy Code 2 Code I buys/seller( A - I O o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) ( A - H ) (ifpriwt( Q -W ) l r a n s a c t i o n )

69 . Vanguard Index TR Small Cap Stock A Dividend J T Sold 07/29/09 J APortfolio NAES X (part)70 . V a n g u ar d M i d C a p In d e x F d C ! 1 V I M S X A Dividend J T7 I . Vanguard Bond Index VBM FX D Dividend J T Bu y 06/10/09 J

72 . Vanguard Bond Index VBM FX A Dividend J T Bu y 09/02/09 J73 . Wcstem Asset Cor~ WATFX A Dividend K T74 . We stc m Asse t Core WA TFX A Dividend K T Sold 03/24/09 J A7~ . Western Asset Core W ATFX A Dividend J T Sold 04/02/09 J A(part)76 . Western Asset Core W ATFX A Dividend Sold 06110 /09 J A77 . IRA - U S Bank Cash Eq uivalent C Intc,est K T

1. Income Gain Codes: A --$1.000 orle~ B =$L001 - $24.q)0 C ~,2,~ 1 - $5 ,000 D -$5,{~0| - $15,000 E ~$ I 5,001 - $50,000( Se e C oJu rm ~ B I ~a d I M ) F =$ 50 ,0 0 t - $ 10 0,0 00 G ~$100,001 - $1,000,000 H I -$1,000,001 - $5,000,000 H2 -Ivlo~2, Value Cad~ ..~ -$15,000 or K~g K ~ $ I 5 , 1 ~ 0 1 - $ 5 0 , 0 0 0 L -$50,0~ I - $I00,000 M -$1 ~ ,001 -( ~ C o l umm C I a n d D 3 ) N =$ 250,001 - $500,000 0"~$5~0,0017 $1,000,000 P 1 - - - - $ 1 , 0 ~ 0 , 0 0 1 P3 =$ 2S,ooo,001. $50,000,0~0 P4 -Mor~ than3 . V ~ M ~ b o d C e ~ Q = Al~raisal g ~ .?z~t (Real ~ Only) . ~ - A ~ ~ me a t T ~ Marke~(See Column C2) U ~Book Val~ V - ~ O t t m - W ~E4;timat~


9/11

F I N A N C I A L D I SC L O S U RE R E P O R T ~ .... fVer~on Reportl~tg Dat of ReportPage 9 of 10 " r R o ~ r , S t ep h e n S . 0 5 / 0 1 / 2 0 1 0V II I. A D DI TI O N A L I N F O R M A T IO N O R E X P LA N A T IO N S .

Section VII: This, except for line #77 ORA L1.S. Bank), belongs to and is her separat~ asset held in three different accounts, which m ay m ake som e ofthe reporting seem duplicative or redu ndant, which it is not.Note: This r eport consists of three separate accounts.


10/11

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 REPORTI TROFF, S t e p h e n S . 0 5 / 0 1 / 2 0 1 0Page 10 of 10

IX. CERTIFICATION.I certify that all information given above ( including information pertaining to my spous e and minor or depend ent children, if any) is

accurate, true, and complete to the best of my k nowledg e and belief , and that any information not reported was w ithheld because it met applicable statutorypropulsions permitt ing non-disclosure,1 further certify that earned income from outside employment and h onoraria and the acceptance of gifts wh ich have been reported are in

compliance with the provisions of 5 U,S.C. app. 501 et . seq. , 5 U.S.C., 7353, and Judicial Conference regulations.

Signature_

N O T E : A N Y I N D M 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 I F IE S O R F A I L S T O F IL E T il lS R E P O R T M A Y B E S U B J E C T T O C IV 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 pp . 1 0 4)

FILING INSTRUCTIONSM ail s igned or iginal and 3 addi t ional copies to :

Com mittee on Financial DisclosureAd minis t ra t ive Off ice of the U ni ted Sta tes Cour tsSui te 2-301One Columbus Circle, N.E.W ash ing ton , D .C . 2 0 54 4


11/11

~ . . - - , . - ~ : . . . . .. ~ " U.S. FEDERAl COURTHOUSE~-~ 550 WEST FORT STREW, ROOM 667BOISE, IDAHO 83724-0040

Chambem o fSTEPHEN S. TRO~ T~: (208) 3 3 4 - 1 6United States Circuit Judg e ~June 22 , 2010

Judge Bobby R . Ba ldock , Ch a irJudicial Conference of the U nited StatesC omm ittee on Financial D isclosureO ne Columbus Ci rc le , N .E . ~-- -- I~~W a s h ing ton, D . C . 2 0 5 4 4

R e: Judge Stephen S. Trot t -nr-- i ~C alendar Y ear 2009 Fi lingD ear Judge Baldock,

In response to your le t ter of June 15 , 201 0, I subm it the follow ing. The assetl is ted on my 20 08 Financial D isclosure Report on L ine 44, Par t V II , " Investmentsand T rusts , " identified as "Bonds-C anyon C ounty Idaho S chool ," belonging to myspouse, was sold (redeemed) on July 30 , 2009, w ith a "value" under D ."T ransac t ions dur ing repor t ing pe r iod" of"K ," and a "g a in" of"A . " P leaseconfirm your receipt of this information.

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Stephen S Trott Financial Disclosure Report for 2009