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FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

I. Person Reporting (last name, first, middle initial) Rogers, John M. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) 2. Court or Organization U.S. Court of Appeals, 6th Cir 5a. Report Type (check appropriate type) ] Nomination, Date [] Annual ] Final

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)

3. Date0fRepo~ 05/4/2011

6. Reporting Period 01/01/2010 to 12/31/2010

U.S. Circuit Judge -- Active

] Initial

5b. [] Amended Report 7. Chambers or Office Address I00 E. Vine Street, Suite 400 Lexington KY 40507 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

[MPORTANT NOTES: The instructions accompanying this form must be followetL Complete all parts,
checking the NONE box for each part where you have no reportable informatiot~ Sign on last pag~

I. POSITIONS. (Reporting individual only; see pp. 9-13 of f!ling instructions.)


D NONE (No reportablepositions.)
POSITION
1. 2. 3. 4. 5. Professor Emeritus

NAME OF ORGANIZATION/ENTITY
University of Kentucky College of Law, Lexington KY

II. AGREEMENTS. (Reporang indlvidnal onty; see pp. 14-16 of filing instructions.)
~--~ NONE (No reportable agreements.)

DATE
1.07/31/01

PARTIES AND TERMS


Publishing agreement with Aspen Publishers and two co-authors for an administrative law casebook with 15% royalty for the authors.

2. 3.

Roqers, John M.

FINANCIAL DISCLOSURE REPORT Page 2 of 7

Name of Person Reporting Rogers, John M.

Date of Report 05/4/2011

Ill. NON-INVESTMENT INCOME. (Reportlng individual and spouse; seepp. 17-24 of filing lnstructlons.)
A. Filers Non-Investment Income ~] NONE (No reportable non-investment income.) DATE
1.2010 2. 3. 4.

SOURCE AND TYPE


Aspen Publishing Co., Book Royalties

INCOME
(yours, not spouses) $1,30 !.35

B. Spouses Non-Investment Income - lf you were married daring any portion of the reporting year, complete this sectiom
(Dollar amount not required except for honoraria.)

D
I. 2010 2. 2010 3. 4.

NONE (No reportable non-investment income.)

DATE

SOURCE AND TYPE


Kentucky World Trade Center Chinese Cultural & Education Center of Lexington

IV. REIMBURSEMENTS - transportation, lodging, food, entertainmen~


(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

[]
1. 2. 3. 4. 5.

NONE (No reportable reimbursements.)


SOURCE Southern Illinois University

DATES

LOCATION

PURPOSE Moot Court

ITEMS PAID OR PROVIDED Ttravel, hotel, meals.

November 6-7, 2010 Carbondale, IL

FINANCIAL DISCLOSURE REPORT Page 3 of 7

Name of Person Reporting Rogers, John M.

Date of Report 05/4/2011

V. GIFTS. a.cludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE

2. 3. 4. 5.

VI. LIABILITIES. ancludes those of spouse u.d dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CREDITOR
i. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 7

Name of Person Reporting Rogers, John M.

Date of Report 05/4/2011

V II. INVESTMENTS and TRUSTS - income, volue, trun~actio,~ anclude~ those oS spouse and dependen~ children; see pp. 34-60 offiling instructions.)

NONE

~o reportable

income, assets, or transactions.)

1. 2. 3. 4. 5. 6. 7. 8. 9. 10. I 1. 12. 13. 14. 15. 16. 17.

USAA Aggressive Growth Fund (IRA) TIAA retirement account CREF retirement account US Savings Bonds Series EE First Federal Bank savings acct Smith Barney bank deposit account USAA Subscribers Savings Account Central Bank Checking Account First Federal Bank CD #i First Federal Bank CD #2 ING VP Intermediate Bond Port - I ING VP Strategic Alloc Growth Port-I American Balanced Fund R- 3 (1NG ram) 1NG Van Kempen Comstock Port - Init Growth Fund of America R-3 (ING fam) EuroPacific Growth Fund R-3 First Federal Bank CD #3

A E

Dividend Interest None

L O O M

T T T T Closed 06/30/10

D A A A A A A

Interest Interest Interest Distribution Interest Interest Interest None None None None None None

J J J K K J K J K J K K

T T T T T T T T T T T T

Interest

2. Value C~des (See Colurrms CI and D3) 3. Value Method Codes (See Column C2)

J =$15,000 0~ iess K =$15,001 : $50.000 N =$250,001 :$500,0~0 O=$500;001 - $1 000000 P3 ~$25,000~001- $50,000,000 Q ~-Apprai~l R =Cost (Real Estate Only) V =Other U --Book Value

L =$50.001 ~ $100 000 PI =$1,000,001 : $5,000,000 P4 --More than $50,000~000 S =Assessment W =Estimated

M =$100.001 -$250000 p2 =$510001001 - $25,000~000 T =Cash Market

FINANCIAL DISCLOSURE REPORT Page 5 of 7

Name of Person Reporting Rogers, John M.

Date of Report 05/4/2011

VII. INVESTMENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

[~

NONE (No reportable income, assets, or transactions.)

18. 19. 20. 21. 22.

First Federal Bank CD #4 PIMCO Total Retum Fund CI C PTTCX AllianceBemstein Lg Cap Growth Fd APGYX Blackrock Eq Div Fd cl A MDDVX Janus Perkins Sm Cap Val Fd cl T JSCVX

A A

Interest Dividend None

T Sold Sold 08/23/10 11/01/10 J K A B

A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Dividend None

K J K

T T T Sold 03/10/10 J A

23. Lazard Emerging Mkts Port Fd LZEMX 24. Western Asset Money Mkt Fd cl A LMTXX 25. 26. 27. 28. 29. Nuveen Tradewinds Intl Val. Fd cl A NAIGX PIMCO Total Retum Fd el. D PTTDX PIMCO Foreign Bond Fd cl A PFUAX TCW Sm Cap Growth Fd cl N TGSNX Cohen & Steers Realty Shs. Fd.

J J J J J K J

T T T T T T T Buy Buy Buy Buy Sold 11/04/10 11104110 11/04/10 11/04/10 12/06110 J K J J J

Dividend None None

30. Fidelity Advr New Insights Fd. cl. A 31. Goldman Sachs Tr Brie Fd el. A 32. 33. Western Asset Money Mkt Fd. el. A Western Asset Money Mkt Fd. el. A A A

Dividend Dividend

C =$Z501 - $5;000 D --$5,001 ~ $15,000 E =$15,001 - $50,000 HI =$i.000,00i ; $5;000.000 H2 ~M0~elhan ,5.000,0o0
2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2) J =$15.000 or less N =$250.001 - $500,000 P3 =$25 000 001 - $50000 000 Q =Appraisal U =Book Value K =$15,001 - $50.000 O--$500,00t-$1000.000 R =Cost (Real Estate Only) V =Other
L =$50;001 : $100,000 : M ~$!00;001 25250;000 ....

P4--More than s =Assessment ? w =Estima~ed ..... ....

T--Cash M~rket

FINANCIAL DISCLOSURE REPORT Page 6 of 7

Name of Person Reporting Rogers, John M.

Date of Report 05/4/201 !

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicate part of report.)

FINANCIAL DISCLOSURE REPORT Page 7 of 7

Name of Person Reporting Rogers, John M.

Date of Report 05/4/2011

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.

Signature: S/John M. Rogers

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