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Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
U.S. Court of Appeals, Fed Cir 717 Madison PI., NW Washington, DC 20439
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
IMPORTANT NOTES: The instructions accompanying this form mast be followe~L Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
POSITION
NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of fding instructions.)
NONE (No reportable agreements.)
DATE
1. 2. 3.
Prost, Sharon
HI. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 o/filing instructions.)
A. Filers Non-Investment Income ~] NONE (No reportable non-investment income.)
DATE SOURCE AND TYPE
2. 3. 4.
B. Spouses Non-Investment Income - If you were married during any portion of the reporting year, complete this sectior~
(Dollar amount not required except for honoraria.)
~]
DATE
1. 2. 3. 4.
SOURCE
1. New York Intellectual Property Law Association Harvard Law School The Richard Linn American Inn of Court Federal Circuit Bar Association Harvard Law School
DATES
LOCATION
PURPOSE
Dinner in Honor of Federal Judiciary Conference panelist Inn meeting panelist
2. 3.
4.
Conference panelist
5.
6. Sedona Conference
11/18/2010-11/19/201C Philadelphia, PA
V. GIFTS. ancl,,des those to spo,,se ,,nd d+e,~,,t chiMren; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
1. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. ancludes ~hose oI~ponse ~nd dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRU S TS - income, ,,al~, tr,,,,.etions ana, de, those o~" spo,,se ,,n,~ ,~pe,dent children; see pp. 34-60 of filing instructions.)
[]
(2)
Type (e.g.,
div., rent,
or int.)
of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3
(Q-W)
(t)
Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value Gain mm/dd!yy Code 2 Code 1 (J-P) (A-H)
ML Fundamental Growth Mutual Fund CMA Tax-Exempt Fund Reserve Prime Money Market General Electric Company Pioneer - Pioneer Value Fund CIA American Funds - SmallCap World Fund Inc. CIA WGL Holdings Inc. American Funds - Capital World Growth Income Fund CIB Rental Property, Silver Spring, MD United States Senate FCU - Account United States Senate - ROTH IRA Pioneer - Pioneer Mid-Cap Growth Fund IRA M&T Bank - IRA PNC Bank - IRA (formerly known as Riggs National Bank) U.S. Government Fund - The Reserve Fund - IRA Merill Lynch Life Insurance Cash Surrender Value PNC Bank - CDs (formerly known as Riggs National Bank)
D B A A A A A A A D A A A A
None Interest Dividend Dividend Dividend None Dividend None Rent Interest Interest Dividend Interest Interest Dividend Dividend Interest
J J J J K J K J M M J K J J J L K
T T T T T T T T W T T T T T T T T
1. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns C1 a~d D3) 3. Value Method Codes (See Colurma C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 0 =$100,001 - $1,000,000 K =$15,001 - $50,000 O --$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H1 =$1,000,001 - $5,0~0,000 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More tha~ $50,000,000 S =Assessmeot W =Estimated
D ~-$5,001 - $15,000
E =$15,001 - $50,000
VII. INVES TMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (1) (2) Value Value Method Code 2 (J-P) Code 3 Transactions during reporting period (1) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P) (5) Identity of buyer/seller (if private transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
American Funds - Euro Pac Growth Goldman Sachs TR Mid-Cap Value Fund Pentair Inc. American Century New Opportunities Eaton Vance Large Cap Value Hartford Growth Opportunities Artio Global Investment Funds International Equity II 1 Royce Permsylvania Mutual Fund Thomburg International Value Fund (See Part VIII) Wells Fargo Advantage Small Cap Gr Fund (See Part VIII) Wells Fargo Advantage Small Cap Growth Admin Frac Westcore Small Cap Value Fund iShares Russell 1000 Growth Index Fund iShares Russell 1000 Value Index Fund Municipal Bond Ohio Municipal Bond Jefferson County, CO Municipal Bond Purdue Univ.
Dividend None
J J J J J J J J J
Sold (part)
10/20/10
Dividend None
Dividend None
T T T T T
J J J J J J J J J J A A A A A A
A A A
(part)
Sold
J J J J K K
T T T T T
A A A A A A
Sold
03/19/10 K
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Column C2)
A =$I,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U ~Book Value
B =$1,001 - $2,500 O =$!00,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =O~her
C =$2,501 - $5,000 H1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P1 =$i,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessmen~ W =Estimated
O =$5,00t - $t5,000 1-12 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T ---C.ash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of J-ding instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49.
A A A A A A A A A A A A A A
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend Interest Interest K K K K K K J J K K T T T T T T T T T T K K T T
Sold
~ 10/06/10 ! K A
Municipal Bond Spring Branch, TX Indpt. School Dist. Municipal Bond Oregon St Brd. Ed. Municipal Bond San Antonio, TX Elec. & Gas Rev. Municipal Bond New York, NY Trans. Fin. Auth. Municipal Bond University Tex. Municipal Bond Energy Northwest Wa. Elec. Municipal Bond Met. Nsh-Dvd TN Elec. Rev. Municipal Bond Georgia Municipal Bond Ohio St Major New St Infrastructure MFS ValueI Fund (See Part VIII) Municipal Bond Clackamas OR Cmty College Municipal Bond NY St EFC St ClnDrinking Wtr
Sold
12/01/10 K A
J J K K
1. Income Gain Codes: (See Columns B1 and D4) 2. Value Codes (See Columns C1 and D3) 3. Value Method Codes (See Colunm C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 0 =$100,001 - $1,000,000 K =$!5,091 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P1 =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,00I - $15,00~ H2 =More than $5,000,000 M =$I00,001 - $250,000 P2 =$5,0~,~01 - $25,~00,0~ T =Cash Market
E=$15,001 -$50,0(10
I certify that all information given above (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 withheld because it met applicable statutory provisions permitting non-disclosure.
I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reportedare in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CML AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544