Alan D Lourie Financial Disclosure Report for 2010 | Individual Retirement Account | Dividend

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Rev. 1/2011 FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010 2. Court or Organization U.S. Ct of Appeals-Fed Circuit 5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final Report Required by the Ethics in 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) 3. Date of Report 04/09
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  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
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