Rev. 1/2011
FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2010
Report Required by the Ethicsin Government Act of 1978
(5 U.S.C. app. §§ 101-111)
1. Person Reporting (last name, first, middle initial)
Lourie, Alan D.
4. Title (Article I!! judges indicate active or senior status;
magistrate judges indicate full- or part-time)
U.S. Circuit Judge
7. Chambers or Office
Address
Howard T. Markey Nat Cts Bldg717 Madison P/ace NWWashington, DC 20439
2. Court or Organization
U.S. Ct of Appeals-Fed Circuit
5a. Report Type (check appropriate type)
]
Nomination,
Date
[] Initial
[] Annual
[] Final
5b. [] Amended Report
8.
On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.Reviewing OfficerDate
3. Date of Report
04/09/2011
6. Reporting Period
01/01/2010
to
12/31/2010
IMPORTANT NOTES:
The instractions accompanying this form mast be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on iast page.
I. POSITIONS.
(Reporting individual only; see pp. 9-13 of filing instructions.)
~’]
NONE
(No reportable positions.)
POSITION
2.
3.
4.
5.
NAME OF ORGANIZATION/ENTITY
II. AGREEMENTS.
(Reporting individual only; seepp. I4-16 of filing instructions.)
-’-]
NONE
(No reportable agreements.)
DATE
I. 4/6/90
2.3.
PARTIES AND TERMS
GlaxoSmithKline, successor to former employer, provides pension and retiree group health and life insurance
Lourie Alan D.
FINANCIAL DISCLOSURE REPORT
Page 2 of 7
Name of Person Reporting
Lourie,
Alan D.
Date of Report
04/09/2011
III. NON-INVESTMENT INCOME.
(Reposing indivianal andspoase; seepp. 17-24
of filing instructions.)
A. Filer’s Non-lnvestment Income
~]
(No reportable non-investment income.)
ONE
DATE
SOURCE AND TYPE
INCOME
(yours, not spouse’s)1. Jan-Dec
GlaxoSmithKline pension$88,273.00
2.3.
4.
B. Spouse’s Non-Investment Income
-
if you were married during any portlon of the reporting year, complete this section.
(Dollar
amount not
required except for honoraria.)
NONE (No
reportable non-investment income.)
DATE
SOURCE AND TYPE
1.
2.
3.
4.
IV. REIMBURSEMENTS
-
transportation, lodging, food,
entertainment.
(Includes those to spouse and dependent children; see pp. 25-27 offiling instructions.)
D
NONE
(No reportable reimbursements.)
SOURCEDATESLOCATION
PURPOSEITEMS PAID OR PROVIDED
1.
Boston Patent Law Assoc
June 4
Boston, MA
Attend judges’ dinnerAirfare, hotel, and dinner
2.
Intell Property Owners Educ
June 10Washington, DCAttend awards dinner
Dinner fori,ilf~’ [~
I
me
Foundation
3.
Harvard Law SchoolOctober 13-14Cambridge, MAParlicipate in symposiumAirfare, hotel, and meals
4.
Former clerks of retiring chiefOctober 19Washington, DCSpeak at dinner for retiring
Dinner
me
judge
CJ5.
Philadelphia IP LawNovember 19Philadelphia, PA
Receive career award
Hotel and dinner ii ’ ! me
Association
Name of Person Reporting
FINANCIALDISCLOSURE
REPORT
[ Lourie, Alan D.
Page 3 of 7
V. GIFTS.
(tnctudes those to spouse and dependent children; see pp. 2S-31 of filing instructions.)
NONE
(No reportable gifts.)
SOURCEDESCRIPTION
I.
2.
3.
4.
5.
Date of Report
04/09/2011
VALUE
VI. LIABILITIES.
and.des ~hose oy~.~,o,,se u.d dc~dent
children;
see pp. 32-33
of filing instructions.)
NONE (No
reportable liabilities.)
CREDITORDESCRIPTION
I.
2.
3.
4.
5.
VALUECODE
FINANCIAL DISCLOSURE REPORT
Page 4 of 7
I
ame of Person Reporting
Lourie, Alan D.
Dage of Report
04/09/2011
VII. INVESTMENTS and TRUSTS -
inco.,e, votue, transactions
(Includes those of spouse and dependent children; see pp. 34-60 of filing instructlons.)
---’]
NONE
(No reportable income, assets, or transactions.)
Description of Assets
Income
during(including
trust assets)
reporting period
(i) (2)
Place
(X) after each asset
Amount
Type (e.g.,exempt from prior disclosure
Code 1
div., rent,(A-H)
or int.)
Vanguard Tax Exempt MM Fund 1
Vanguard Tax Exempt MM Fund 2
Franklin I’empleton Mutual Shares Fund
Vanguard Health Care Fund
T Rowe Price Cap Appreciation Fund (IRA)
Vamguard Windsor II Fund
Vanguard ST Inv Gr Bd Fund (IRA)TIAA-CREF
2.3.4.5.6.
7.8.
9.
I0.
11.12.13.14.15.
16.
17.
Gross value at
end
of reporting period
(l) (2)
Value
Value
Code 2
Method
(J-P)
Code 3
(Q-W)
A
Dividend
LT
A
Dividend
K
T
D
Dividend
N
T
D
Dividend
N
TC
Dividend
M
T
None
D
Dividend
M
T
PNC Bank checking accountUS Treasury NotesVanguard 500 Index FundVanguard Extended Market Index FundVanguard Global Equity FundVanguard lnternat Explorer FundVanguard European Fund
T Rowe Price Short Term Bond Fund (IRA)
A
Interest
K
T
A
Interest
K
T
B
Interest
LT
D
Dividend
N
TC
Dividend
N
T
C
Dividend
M
T
B
Dividend
M
T
C
Dividend
M
T
E
Dividend
PI
T
Transactions during reporting period
(1)
(2) (3)
Type (e.g.,
DateValue
buy, sell,
mm/dd!yyCode 2redemption)
(J-P)
Sold 02/16/10 L
Buy
03/08/10 J
Sold
06/01/10 J
(part)
Sold 03/08/10 J
(part)
Buy
02/16/10 L
(add’l)
Sold 06/15/10 L
(part)
(4)
(5)
Gain
Identity
of
Code 1
buyer/seller
(A -H)
(i f private
transaction)
see VIIIsee VIIIsee VIII
1. Income Gain Codes:A =$1,000 or less
B =$1,001 - $2,500
C =$2.501 o $5,000D =$5,001 - $15,000
[See
ColumnsB I and D4)F =$50,00’~ - $100,000G =$~00.001 - $1,000,000
HI =$1,000,001 - $5,000,000H2 -More than $5,000,0002. Value Codes
J
=
$15,000 or less
K =$15,001 - $50,000L =$50,001 - $100,000M =$100.001 - $250,000
(See ColumnsC I and D31
N =$250,001 - $500,000O =$500,001 - $1,000,000PI =$1.000,001 - $5,000,000P2 =$5,000,001 - $25,000,000P3 =$25.000.001 - $50.000.000P4 =More than $50,000,0003. Value Method CodesQ =Appraisal
R =Cost (Real Estate Only)S =Assessment
T =Cash
Market
(Sce Colunm C2)U =Book Value
V -Other
W =Estimated
E =$15,001- $50,000