1. Person Reporting (last name, first, middle initial) Randolph, Arthur R. 4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time) Judge - senior status
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
5b. [] Amended Report 7. Chambers or Office Address 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
U.S. Court of Appeals/D.C. Cir 333 Constitution Avenue, N.W. Washington, D.C. 20001-2866
IMPORTANT NOTES: The instrucaons accompanying this form must be followeK Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
POSITION
I. 2. 3. 4. 5. Distinguished Adjunct Professor of Law
II. AGREEMENTS. (Re~,ora, g i,a~vla,,t o~tv; seepS,. 14-16 of.filing instructions.) ~ NONE (No reportable agreements.)
DATE
Randoloh, Arthur R.
Ill. N ON-INVESTMENT INC OME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
~]
INCOME
(yours, not spouses)
2. 3.
4.
B. Spouses Non-Investment Income - If you were married daring any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
1.2010 2. 3. 4.
SOURCE
1. Univ. of Pennsylvania Law School Drexel University
DATES
2/26-27, 2010
LOCATION
Philadelphia, PA
PURPOSE
Federalist Society National Student Symposium Board of Advisors Meeting
2. 3. 4. 5.
6/2/2010
Philadelphia, PA
transportation
V. GIFTS. andudes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. ancludes those olspouse und dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.)
CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVEST MENTS and TRUSTS - i, come, vulue, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction&)
[~ NONE (No reportable income, assets, or transactions.)
401 (K) -Fidelity Adv. Growth 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17.
Dividend
Money Market Acct. - Jt. UBS/Paine Webber Money Market Acct. - IRA - UBS/Paine Webber Mutual Fund - Lord Abbett Affd - IRA Mutual Fund - Washington Mutual Investors - IRA Mutual Fund - Growth of America - IRA American Funds CitiBank Money Market Mutual Fund - Lord Abbett - A Mutual Fund - VanKampen - Comstock Mutual Fund - Investment Co. - American Funds 401 (K) - World Bond Fund - American Funds 401 (K) - Growth Fund - American Funds 401(K) - ML Protected Fund - Blackrock Core 401 (K) - Income Fund - American Funds 40 I(K) - Pimeo Real 401 (K) - Pimco High Income 401(K) - Dur. Inc. Fund - Eaton Vance
A A A A A A A A A A A A B B A B
Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend J J K T T T K K T
J M M M M
J K K
06/01/10 05/20/10
K J
05/20/10 K
g ~1~;~1
~5
:
:: :: :
VII. INVESTMENTS an d TR U STS - iueome, volue, tronsuctio,~ ancludes ,hose o/spouse und dependent children; see pp. 34-60 o/filing instructions.)
[~
NONE
(No reportable
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 3 I. 32. 33. 34.
401(K) - Growth & Inc. Fund - American Funds 401(K) - Pimco Real Ret. 401(K) - 1st Trust Val. Line Blackrock GLBL Energy 401(K) - End Opp. Fund - Cohen & Steers Pillsbury Retirement Savings Plan Blackrock R. Asset ML & Co. Str. ACC - Am Cap. Blackrock GLBL Alloc. Goldman S. Satellite Goldman S. Growth Eaton Vance Multi John Hancock Large Cap Blackrock Int. Govt Citibank - Savings 401(K) - U.S. Govt - American 401(K) - Short T. Bond American
A A A B A A A A A A A A A A C A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend L K K L T T T T J T M T K T
Sold
05/20/10
K J K
Sold
05/24/10
J J J J J J
Buy
05/20/10
(See Col ....C1 and 03) 3. Value Method Codes (See Co umn C2 ..... )
p! =$i~;00! i $~;0~0,~
~ ~$~ ~ ~! i ~2~i~Q~i
:: :
VII. INVESTMENTS and TRUSTS - income, v.i,e. .r.nsoctio.s ana.des those olspo.se and dependent children; see pp. 34-60 of filing instructions.)
~-] NONE
~o reportable
35. 401(K) - Eaton Vance - Floating 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 401(K) Fidelity - Floating 401(K) - Bond Fund - John H. Inv. 401(K) - Govt Goldman Sachs 401(K) - Advisor Fidelity 401(K) - Advisory Fidelity Mutual Fund - NATXo IRA Mutual Fund - Eaton Global - IRA Mutual Fund - First Eagle - IRA Mutual Fund - Silver Trust - IRA Mutual Fund - Silver Trust IRA Mutual Fund - Calamos Conv- IRA Mutual Fund - Ivy Asset - IRA
A A A A A A A A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
J J J J J J K L K K
T T T T T T T T T T Sold Sold (part) Buy Buy Buy Buy Sold 02/10/10 0g/t9/10 06/01/10 06/01/10 06/01/10 06/01/10 11/05/10 06/01/10 06/01/10 08/03/10 08/03/10 11/05/10 06/01/10 J J K L K K K K L K K K K
K L K K K K
T T T T T T
48. Mutual Fund - Sun Am - IRA 49. 50. Mutual Fund - Am Century Bond - IRA Mutual Fund - Eaton Emerge - IRA
2. Value Codes (SeeC ....C and D3) 3. Value Method Codes (see Column c2)
=$i00,00i : $250~~
m =s25,ooo.oo~- sso,ooo;ooo
VII. INVESTMENTS and TRUSTS - income, valne, ~ansaetions ancindes those olsponse and dependent children; see pp. 34-60 of filing instructions.)
~]
NONE
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67.
Mutual Fund - Sun Am - A Mutual Fund - Eaton Global - A Mutual Fund - Franklin TOT. - A Western Asset Mkt. Fund Mutual Fund - Putnam Mutual Fund - Sun Am Senior Mutual Fund - Eaton Emerge Mutual Fund - Temp. Global Mutual Fund - Eaton Tax Adv Western Asset Mkt. Fund 401(K) Mutual Fund - ClearBridge 401(K) - Tortoise MLP 40 IlK) - EKSPORT Stars 401(K)-BankofAm.
A A A A A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend
K K K N K K K K K
T T T T T T T T T
Buy Buy Buy Buy Buy Buy Buy Buy Buy Sold
06/01/10 06/01/10 06/01/10 11/18/10 11/30/10 11/30/10 11/30/10 11/30/10 11/30/10 12/03/I0 06/24/I0 07/27/10 10/07/10 08/26/10
K K K N K K K K K M K J J J
K J J J
T T T T
I. Income Oain Codes: ISee Columns BI and D4) 2. Value Codes (See Columns C1 and D3 ~ 3. Value Method Codes (See Column C2)
A =$1.000 or lass F =$50,001 - $100,000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value
B =$t,001 - $2,500 G =$100,001 - SL000,000 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R =Cost (Real Estate Only) V =Other
C =$2.501 - $5,000 [t I =$1.000.001 - $5,000,000 L =$50,001 - $ 100.000 P 1 =$1,000,001 - $5,000,000 P4 =More than $50.000.000 S =Assessment W =Estimated
D =$5.001 - $15,000 H2 =More than $5,000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash Market
E =$15,001 - $50.0~0
IX. CERTIFICATION.
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 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.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL 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