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FINANCIAL DISCLOS URE REPORT


FOR CALENDAR YEAR 2009

Report neq~ir~,d b.v a,e Et~,i,:,~


in GovernmentAct of 197~ 0 U.S.C. app, ~q~ 101-111)

1, Person Rcporfin~ (last name, first, middle initial) Ha~tz, Hang L. 4. Title (Article Ill judges indicate active or ~nior ~tus; magistrate judges indicate IMI- or Ci~cuitludgeActive

2. Court or Orgat~ization Senth Circuit Coma ogAppeals 5a. Rcporl Type (check appropriate t~e) ~ Nomination, ~ I~itiat Da~c ~ A .... I ~ Final

3. Dntc of 05/08/201 6. Reporting Pcri~M 01/01/2009 12/31/2009

5b. ~ Amc~dcd Report 7. Ch an~ber~ ar Office Addrtsx 2(/I Third St. NW, #1870 Albuquerque, NM 87102 8. On the basJ~ o[ tl e informal o contained in thi~ Report and any modificafion~ pertaining thcrc[o, il is, i~ my opinion, in compliance with ~pplitable laws and regulafions. Reviewing Officer Date

IhlPORTANT NOTES: The instructions uccompatoing this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on lastpage.

I. POSITIONS. c~~o,,i,z ~,u~,~ot o,ts.; ,,o w. 9-. o~,,,g instructions,)

~
1.

N ONE (;",to reportablepositions.) POSITION


Trustee Trust No. i

lqAME OF ORGANIZATION~ENTITY

2. Mcmbeh Board of Directors

Searle Civil Justice Institute

4.

r--

NONE (No reportable agreements.) ~


1.9/30~1999

rri PARTIE~ AND TERMS

Myjudicial p~nsion from th~ State ofN~w M~xico has v~sted and will be distributed when I am

Hartz, Harris L.

FINANCIAL DISCLOSURE REPORT Page 2 of 10

III. NON-INVESTMENT INCOME. mu,o~,i,g ~,~i.i~,o~,,u~,;.... ~-~ ,~i,~. i,~,.,~,,.,~o.~) ~ p~.


A. Filcrs Non-Investment Income NONE (No reportable non-investment income.) DATE SOI~{CE AND TYPE INCOME (yours, not spouses)

1. 2. 3. 4.

B. Spouses Non-Investment Income - tyy,,u uere married d tring an.v portion of the reporting fear, complete thi.~ sectio~

~
1. 2. 3. 4.

NONE (No reportable non-investment income.) DATE SO[~CE

IV. REIMBURSEMENTS --,ran3t,ortation, lodging, f hod, enttrtainmenz


(lnch~cles those to st,ouse and dct,cnd~nt chtl,tren; set" f7~, 25-27 offilin~ in~m~ction~ )

~
1. 2. 3. 4. 5. 6.

N ONE (~b rq~ortable reimbursements.)

~
Vanderbilt Univ. Northwestern Univrsily San Juan College ABA Florida Slate University Duke ~w school 2!5-7

I,OCATION
Nashvilie, TN Chicago, IL Farmington. New Mexico Chicago, Illinois Ta}lahassee, Flori~ Durham, North Carolina

PI.~POSE
Moot Com~ Searle Center board mtg Commencement speech Appellate praclice Inst. Jurist in residence Workshop on evaluatiog judges

ITEMS PA~ OR PROVIDED


transportation, lodging, food " transportation, lodging, food lranspo~ation, lodging, tbod Tr~spo~ation, lodging, l~od Transportation, lodging, food Transpo~tion, lodging, l~od

4,~8-29, 10120-22 5~7-9 5!28-31 8~5-28 9/I 9-21

FINANCIAL DISCLOSURE REPORT


Page 3 of 10

Name ol" Person R~,porLing

Hartz, ilarr s L.

05/0M2010

NONE (No reportable gifts.) SOURCE DESCRIPTION VAI ~UE

1. 2. 3.
4 5.

V I. L1AB ILITIES. a,,t~a~, t;,o~ of~p,,,,,.,,,,a a~ro, u~,,, chitdren; see ~p. 32-33 of filing instructi,ms.) NONE (No reportable liabilities.) CREDITOR
I. 2. _3. 4 5

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Pagc 4 of 10 VII. INVESTMENTS and TRUSTS - a ..........


~

n~t~ llarris L.
~ .......... .,io,~ Hncludes those ors7 ...........

05/08~010

d depet, d .....hildren; xee pp. 34-60 t~fiting i ........ ion.v.)

NONE

(No reportab]e income, assets, or

transactions.)
Tra~actioas during reporlmg period (1) Type (e.g., buy sell. redemptions) (5i Date(2) [(31 (4) m~ddt~, Code2 Code I (J-P) (A-H) buyer/sdlcr (if private

Description of A~sets (including re, st assc~) Place "(X)" a~er each ~sct exemptfrompfiordisciosum

Income 0tiring ~iross value at end reporting period ~ of reporting period ~ (I)~, -~ ..... (2) (1) Value Amour qype (e.g., Value Code 1 Code2 Method div.,~cnt. ~ (A-H) ;~ (J-P) Cod.z 3 or int.J

1. -~.

Trust l --BRKA

Dividend

3.

--BRKB

5. 6.

--NUV --PNW

7. 8. 9. 10. l I. 12. 13. 14. 15. 16. --TGRAX --COP --TWCUX --LCEIX --JANSX --NGU~ --NPRTX --AMOAX

17. --USGBX

FINANCIAL DISCLOSURE REPORT Page 5 of 1 0 Vll. INVESTMENTS and TRUSTS - ~ ..........


~

~ ...... ~" ..... ~.~,o,~.,g tl~lrtz, tiaras L.


~ .........

1 I

05!0S,2010

.,i,~ (lnclud<s ,hme oJ spou,c and depend .... hildren: .,<<pp. 34-60 t~hng i ......

NONE (No reportable income, a.~sets, or transactions.)


Description of Assets (including t~i ~le~J Place "~)" after ~tch =set exempt from prier disclesure Income doting reporting ~riod Amount ] T~c (e.g.. Cede I ~ dry., renk (A- ) . or int.) Glss value at en~ or reposing period Value Code 2 {J-PJ Value Type (e.g.. Metkod ~ buy. sell, Code 3 redcmplionl (Q-W) ~ l~nsactionf during reposing period

[ Date ~ Value 1 Code I :m~ddi~, Code 2 {J-P) (A-ll) i ~ [

Identity of buyersseller (ifprlvat: ilansaction)

19.

--~organ ~lanley ~ank --Sin Juan Comity, NM, real esl~ie

20.

21.

Parcel 1 Unimproved real estate in San Juan County, NM EUG~X GLBAX

B A

Rcm Dividend

M J

.,."~ 23. 24. 25. 26.

T T T T

A A

Dividend Dividend None

J J M

U~LQX HR~

OIA Wells Fargo Ba~ Account

A A A B A

Dividend Imeresl Interest Interest Interest

J L J I.. g

T T T T T

27. 28. 29. 311.

State of Israel Bon~ US Savings Bonds Terniis Club of Albuquerque debenture

31. 32. 33. 34.

403 B account --PGRWX State Retirement Account Individual Retirement Annuity

13

Dividend

C D

Interest Di~,idend

L N

T T

FINANCIAL DISCLOSURE REPORT IN .....tP .....,t.po.l,,g

Page 6 of 10
] Hartz, Harris L.

NO~ (No reportable income, assets, or transactions.)


A. De~ription of Assets (including trust ~st~) P]ace"(X)" after ouch ~sct exempt from prior disclosure ~ ] B. Income dunng reposing peri~ C.. Gross vMue at end ~ of reposing pcried ~ Value CZde ~ (J-P)~ Value ~ Method Code 3 i D. Tr~n~ct/oas dunng rcpomng permd

.... i~-

Amoun~ [ ]ype (eg. C~dc t i div.. rent,

qypc buy, {ell, redemption)

Gain i Date i Value ~m~d&i~ } Code 2 Code I [J-P) IA-I[)

]denttty~f bttyerisd[er (~f privale

35. 36.

--ING Fixed Account -qNG Balanced VP

37. 38.

IRA Account --Govt Natl 1,4tgc Assn Poor

Dividend

39.
40. 41. 42.

--US Treasury Bond


--AMODX --" Sold 04117109

(part)
Buy (addl)

12/14/09

--GLBAX --MSACX

43. 44. 45. 46. 47. 48. 49. 50.

~art)
-" " "" " --" --MSSGX --MPEGX --MISCX --MI)FDX --" Sold (part.} Sold (part) Buy (addl) Buy (addl) Buy {addl) Buy (add]) Buy {addl) Buy (addl)

Sold

[ 01116/09 07/17/09

J J

A A A

10/17,09 12/14/09 12/14/09 12/14109 12/14/09 10116109 I 12/14109

J J J l J J J

51.

FINANCIAL DISCLOSURE REPORT Page 7 of 10 V I I. INVESTMENTS an d TRUSTS - i ......... t,,e,, ....... ~o,,,, h, cludes 11 ..... ~fsI .......... d dependent children; .~ee PI" 34-60 ,~filing i
NONE (No reportable income, assets, or transactions.) De~cripfio~ of Assets 0nciudingtmstasse~) Place "(X)" a~r each ~set exempt from pfor disclosure Income during re~nmgperiM (~) 12) Amount ~ T~e (e.g., Code I r div., ren~, (A-tl) i or int.) ~ Gross value al end Transactions during reponi~lg period ofrep~ain~e~,,O ..... (~1 (2) ~t7 ...... ~ [}~ (3) (4) ~ ...... Value Value Type (e.g.. : Date Value Gain i Code2 Method ~: buy, sell, m~d&y) Cede 2 Cede I Code 3 redemption) (A-H) i ~ (J-P) ~ (J-P) ~ (~W) [

ldcn~ty buyer/seller (if private transaction!

~52. ~53. 54. 55. 56. 57. 58. 59. 60. 61. " 62 63. 64. 65. 66. 67. 68.

--MS Spec~um Selec~ --MS Spee~um Tech --MS Spectrom Cunency ~-Morgan Stanley Bank Acct --Morgan Stanley CPl/Commodity note --ACSDX Annuit3. --ING VP Inter Bond Portfolio Allstat., Lili: Ins. Co. annuity CM Life lus. Policy MONY Life Ins. Policy Security Connecticut Life Ins. Policy #l Security Connecticnt Life Ins. Policy #2 TETSX EVGFX OPPAX ,5CINX A A A A B A A A Interest Interest Dividend Interest Interest Nnne Dividend Dividend Dividend K I. J l[ K T T T T T K L T T B Interest J T Buy (addl) 12/14/09 J

FINANCIAL DISCLOSURE REPORT Page 8 of 10 V 11. INVESTMENTS and TRU STS - i ..........

I 1 NameofPe .....

Rept, rling

1)ate ofRcpt, r!

llartz, llarris L.

~.,, t .......tlon~ (lncludex th ......~fsp .......d depend ....hildren; s,el~l,. 34-bU oJ~]ili~A, it,strucllot,s.)

NONE (A~ reportable i~come, assets, or transactions.)


Description of Assets (including ~st asse~) Place "(X)" a~er each ~set Income during reporting period ~Amo~n[ Code I Type (e.g., div.,rent, Gross value at e ~d of reporting period I V~lue r Code2 Value i Typz {e.g., Method " Tran~cttons during reporting period

Dale

Value

69.

AMOBX *"

None

70. 71.

DIVBX Morgzn Stanley Bank Acct

A A

Dividend Interest

J J

T T

FINANCIAL DISCLOSURE REPORT

Page 9 of 10 VIII. ADDITIONAL INFORMATION Or EXPLANATIONS.


* Line 48 ofrcpon for 2008: ]-he MSDW liquid assct fund was mcnncc|ly listcd on the rcpr~r! fur 20[18, II was redeemed on April 16, 2008, for--] "*Liue 69: there was a class exc ange from AMOBX to AMOAX ot~ Feb~u,~ry 27

.FINANCIAL DISCLOSURE REPORT Page 10 of 10 IX. CERTIFICATION.


I certify that all information given above (including information pertaining to my spouse and mir.or or dependent children, if any) is accurate, true, and complete to the best of my kn~wledge and belief, and that any iuformation not reported was withheld because it met applicable statutory provisions permitting non-disclosure. " 1 further certify that earned income from ontsidc 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 el. seq., 5 U.S.C. 7353, and .I udicial Conference regulalions.

NOTE: ANY INDIVIDUAL \VIIO KNOWINGLY AND W1LFULLY FALSIFIES OR FAILS TO FILE THIS REPORT ~MAY BE SUBJECT TO CIVIL AND CRII~IINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Adnfinistrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E Washington, D.C. 20544