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FINANCIAL IDISCLOSURE REPORT


FOR CALENDAR ~:.~EAR 2009
2. Court or Organization I).S. Court o f Appeals, 9ih 5a. Report Type (check appropriate ~ype) [---] Nomination, [] hfitia! 5b. [] Amended Date [] Ammal [] Final

Report Required by the Ethics


in Government Act of 1978

(5 I_.(S.C. ,,pp..~,~ 101-11I)


3. Date of Report 06/1512010 6. Reporting Period 01/01/2009 to 12,3112009

I. Person Reporting (last ~l.am~ fir.% middle initial) Noonan, Jr.. John T. 4. Iitle (Arfictc Ill judges indicate active or senior slams: magistrate judges indicate fall- or par~-tfl,:ae) Articlc lllJu~.lge, Sct~ior

7. Chambers or Office Address LJ.S. Court of Appeals 95 Seventh Slreet Sau Francisco, CA 94103

8. On the basis of ti~e information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicab],.. laws anti regulations. R eviewil~,g Officer Date

IAIPOR TA NT NO TES: The instructions accompanying this form tnust be followed. Complete all parts,
checking the NONE box.tbr each part where you have no reportable information. Sign on last page.

1. POSITION S. gn,o.,i,,g ;,,~i.,h,.;.,u.,.:.~ ~. ~- , ~ a] fiting i ........


[~] NONE (No reportable positiotts.)

lions.)

POSITION
I. President and l.)irecto*

NAME OF ORGANIZATION/ENTITY
Tlaomas More-Jacques lV[arilain hlstilute (non-profit cttltural organization)

2. 3. 4.

Member Member Member

Advisory Council, Transparency International Editorial Board, America~ Journal of Jurisprudence Presidents Council, Graduate Theulogical School

! !. AGREEMENTS. (Reparting individual on(; ...... pp. t4-16 tqfihng i ..........ions.) [ ~ NONE (No reportable agreements.) DATE
!. 07101/86

PARTIES AND TERMS


1/nivcrsity 0f Calitbrnia pension based on service

Noonan Jr. John T.

FINANCIAL DISCLOSURE REPORT


Page 2 of 10

N .... fP ..... Reporting Noonan, Jr., John T.

Dote of Report 06/15/20t 0

111. NON-INVESTMENT INCOME. (Reporting individual andsp ......


A. Filers Non-Investment Income NONE (No reportable non-investment income~) DATE

; seepp. 1 7-24 offiling i ........ions.)

SOURCE AND TYPE

INCOME (yours, not spouses) $42,540.96 $2,114.07 $3,327.00 $ 1,000.00 $1,000.00 $8,161.00

1. 2009 2. 2009 3. 2009 4.2009 5. 2009 6. 2009 7.

Pension: University of California Royalty-West Group Foundation Press Stipend: University of Notre Dame Stipend: Uuiversity of San Francisco Stipend: New School University Refund: California Franchise "fax Board

B. Spouses Non-lnvestment Income - ~f ~,ou ,~e,e married during anyportion of the reporting)ear, complete this sectiot~
(Doll~r wnount no~ required except/br honoraria.)

~
I. 2. 5. 4

NONE (No reportable non-investment income.)

DATE

SO~CE A~ TYPE

IV. REIMBURSEMENTS ...... ~v ..... io., ~,,duZnu..tood, ........ i ........


tln~ h~Ncs those to a;o~m~e o.d dependent children, see pp 25-27 q[ifiling instructions.)

[7~

NONE (No reportable reimbursements.)

SOURCE
1. Graduate Theological Union P~esiden(s Council New Schon] University Social Research Conl~rence Uni~ ersity of Nolre Dame

DATES.
10126/2009 i 012712009 3/5/209 - 3/6/2009

LOCATION
New York, New York

PURPOSE
Meeting

ITEMS PAIl) OR PROVIDED


Airfare, "laxis

New Yurk, New York

Con~:erence

1 odging, Airfare, Taxis

5/[5/2009 5/{ 712009

Nolr Dame, Indiana

Commencement Address

Lodging, Meals, Aicfare, Taxis

Name of Person Reporting

PagcFINANCIAL3 of l 0 DISCLOSURE REPORT

Date of Report

Noon~n, Jr.,~o~,n r. [
Philadelphia, PA Conference

06/15,~20~o
Lodging, Transportation, T~ain, T~xis

Vi[[~nova University School of Law -.T~hn F. Scarpa

10/22/2009

.FINANCIAl, DISCLOSURE REPORT Page 4 of 10

of P ..... Reporting

Date of Report

Noonan, Jr., John T.

(}6/15/2010
[

[ N ..... V. GIFTS.
..~_~ NONE OVo ret)ortahle. ,. .,._.~ifi~..) SO~CE
1. 2. 3. 4. 5.

DESCRIPTION

VALL1E

NONE (N) reportable liabilities.)

CREDITOR
I.

DESCRIPTION

VALUE CODE

3. ............................................
4

5.

Name of Person Reporting

Date of Report

PageFINANCIAL5 of 10 DISCLOSURE REPORT


V i !. INVESTMENTS and TRUSTS - i ..........
~

h,,o,,a,,, Jr., John T.

06/15/2010

, ........... ,,i,,.. Otu:ludes thr,,e o]$p ....... d dependent children; xee pp. 34-60 ,~JHing

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

th~cluding trust as~e~s)

reposing period
Amount Type [ Code [ div., rent. (A-H) or int.l

of reporlit~g period Value ~ Value [ Type (e.g., Date Va e Ga ~ Code 2 [ Mmhod ! buy. sell. mm.d&}5" Code 2 Code I (J-I)) l Code 3 redemption] iAdt) (J-P) ~ (Q-W~ M M J M L K J M
K

exempt t?~m~ prior disclosure

Identity uf boyerisellcr (if pdvalc transzction) "

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

Fidelity Magellan Fund Fidelity CA Muni Income Fund (tbrmerly Spartan CA Muni Fd) BP P.L.C. Wells Fargo Checking Account Wells Fargo Market Rate Account Wells Fargo IRAs Dreyfus Muni B,:md Fund (lbrmerly Insured Muni P, ond Fund)

A D A A A B A D
13 D

Dividend Interest DMdend Inleresl Dividend lnteresl Dividend Interest


Dividend

T T T T T T T T
T

8.
9. i0. 1 t.

Teachers Insurance and Ammity Association


DWS Global Fund (fbrmerly Scudder Intl Bor, d Fund Wells Fargo hweshucnts-Thornburg

Dividend Interest

N M

T T

Wachovia Time l?cposi~

i 2. t 3. 14. 15. 16. 17.

Broke.rage Accotlnl Nun}her I Bear Steams -JP Morgun Chase -General Mills -Procter & Gamble Cc,,nmon -Neurobiological lechno!ogies -BP P,L.C A B P, A. (." Dividend Dividend Dividend Di.idend Dividend L k L 1 I_ T -r T T T

FINANCIAL DISCLOSURE REPORT


Page 6 of 10

Name of Person Reporting

Date of Repnrt

,~oonan, at., aoh.


[

NONE (No reportable income, assets, or transactions_)


Dcscnplion ~lAsse~s ~mdudiag ~mst assets) Income during reporting period Gross value al e~d of reposing period

[ [ .......................

lransaclio~s during repnrlmg period

Hace"(X)"af, ...... t .... , cxcmp~ from prior disclosure

~A ....... Typet,,.g., ~ Code I d[v.. pcnL

Value Value / Codo 2 ~ Method [

Type(e.g., buy, sell.

1 Dale ~ Valt,c Gaio tnnt~dd/~.y Code 2 ~ Code I

[denlityof buver,scl~cr

18 19. 20 2I. 22. 23


24

-Coca Col~ Common -Eli Lilly Coqmration -I[3M Common -Fortune Brands -Monsatm~ 4fizer
-GNMA Pass Through Pools

B B B A A B
A

Dividend Dividend Dividend Dividend Dividend Dividend


tn/eresl

K K L K K K T T T T T
Sold 09.;15/09 J A

25. 2o. 27 2~.. j29. 30 .; I 32 33. 3a.

X!alverl Social Inveslment Fund -JP Morgan Prime Money Ma~kel Fund -)P Morgan P6me Muncy Market Fund -.tP Morgan Prime b>.l une~. Market Fund -Dialm,nd tlill Long-Short Fund -Ca Sta~c Universily Revenue Boud -Norlh of the River Sanitary District Bond ]nisl Nulnbcr I (No personal income) -Fleet Small Cap Growfl~ Fnnd -Fleel Mid Cap Value Fund

B A

Interest lnteresl

K M

T T Buy Buy Buy 02/12/09 08/13/09 1I .il _)/09

None B B D Interest Interest Dividend

L K K N

T T T T Buy Buy 03/04/09 03/04"09

FINANCIAL DISCLOSURE REPORT Page 7 of 10

N .... f P ..... Reporting Noonan, Jr., John T.

Date of Report 06/15/2010

I
"

VII. INVESTMENTS and TRUSTS--i,,~. ........ t,,e,, ........ tio,,s(lnct,,desttwseofsp ....... ddepe,,denrchltdremseepp. 34-60offitinginstructi,,ns.)
NONE LVo reportable income, assets, or transactions.) Description of A.sse~s (including trust assc~sl Place "(X)" after each assel exempt from prior disclosure Income during reporting period A noun( Code [ [A-H) Type (e.g.. dlv.. rent. )r ml.) Gross value at end of reporting period I Value Code 2 (J-P) Value Method Code 3 (Q-W) Type (e.g.. buy, sell, redemption) Transactions during reporting period

! Date ]mmfd~tyy ~

Value Gain Cod:: 2 Code I (J-P) ~(A-I-I) I

Identity of buyer/seller (if private transaction)

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50.

-Fleet Small Cap Value Fund -Fleet Mid Cap Growth Fund -Fleet LargeCap Growth Fund -Fleet Tax Exempt Fund -Fleet Small Cap Growth Fuod -FIeet Small Cap Value Fund -Fleet Mid Cap Growth Fund -Fleet Tax Exempt Fund -Fleet International Equity Fund -Fleet LargeCap Value Fund -Fleet Mid Cap Gruwth Fund -Fleel Large Cup (Jrowlh Fuud -Fleet Tax Exmnpi l"und Trust Number 2 (No personal to, come) -Fleet International Equity Fund -Flcet MA Intermediate Tax Exempt Bond Fund 1) l)ividend M T

Buy Buy Sold Sold Buy Buy Buy Sold Sold Sold Sold Sold Buy

03/04/09 03/04109 03/04/09 03/04/09 05/05/09 05/05/09 05/05/09 05/05/09 10/05109 !0/05/09 10/05/09 10/05/09 10105109

J J J J J J J J J J J J K A A A A A A A

Sold Sold Buy

03/04/09 03/04/09 03/04/09

J J J

A A

5 I -Fleet Small (ap Growth Fuud

PageFINANCIAL8 of l0 DISCLOSURE REPORT

Noonan, Jr.,JohnT.

06/15/2010

NONE (~ro reportable income, assets, or transactions.)


I)escripfir,, of Assets (including trust assets) Placc"(X)"afl ..... ..... h exempt from prior disclosure h~comc during ~ reposing period A .....) Type(e.g., t ~ Code I ] d~v., rent, I?A-H) ~ or int) Gross value al end of repoaing period Value (ode 2 " (J-P) ) Value ) Method [ Code 3 T~sactions durir~g rcp,~ning period ~ I Tvpc(e.g., buy sell redemption) ! Date Vah,e ~ Galn ~ mm/dd.yy {~)de~ ~ Code I . I [ (J-P) IA-II~ Idc,,ti,vof " buyer/seller (ifprlvat~ ~ ~

52.

-Finer M[dCap Growht Fund

Buy

03/04/09

53. 54. 55. 56. 57

-FIccl Small Cap Growth Fund -Flce~ Mi\ Intermediate Tax Exempt Bond Fund -F:ce! Intcrltational Equity Fund -Fleet l.,arg~: Cap Vah~e Fund -Fleet Large Cap GrowO~ tZtmd

Buy Buy Sold Sold Sold

05,05/09 10/05/09 10/05:09 10/05,;09 10/05/09

J J J J J A A A

PageFINANCIAL9 of ] 0 DISCLOSURE REPORT

r~on,,a,,, Jr., John T.

06/!5/2010

VI I!. ADDITIONAL INFORMATION OR EX.PLANATIONS.


T,~.o trusts referred to in this rep,~H, are as Trust: T ~e ~ ~ :>~i~: ~~..~ Tnmt was created by on Dece ~ber t 5 976 It became ~evocab e o ~ her death in 1990 and divided ~nto Ihree shares. The trustee has d~scrc~on to pay the mcon~e and principal ol my share 2. ~]~]~ ~:] ~ ] 1976 Ttx,st: The ~ 1976 Trust was fona~ed by in 1976 and became iwcvocable on his death i,~ 1987. On his death the properly was divided into eq The trustee h~ discretion to pa~, some or all of the net income or principal of my share to The ~rt,st terminates on the death the remainder going 3 "~e neoneofbothtn~sswaspadbvtbet~stee a2)09to ~: . ~~ ;~: ~~:~: alIover21 years ofa~c. At the requcsl of the (.omm~ttee on Ft~mncml D sclosurc, 1 have st ~az~ed the reports I have received. In April 2000, Fleet Bauk acquired Ihe }Jank of Boslo~ and became the ~rustce of the above t~usts. The trusts were he~?~: ~ ~]~f Ihe gra ~tors so t aat t ~ere s now a d st net ~ for~ under the same t~st instru ne ~ts Repo~ s not made here of the sales of odd lots (typically ot~e or two shares) made to make it easier to divide the trusts into thirds. The money market ~nd, Galaxy. w~ a~anged by Fleet io take over tl~e l~tnctions pert~mned by tl~e money market Bnston 1784 rituals: investments in fl~ese m~aey market funds are noted on an annual basis.

~ " INANCIAL DISCLOSURE REPORT Page 10 of 10

Name of Person Reporting Noonan, Jr., John T.

~.,~ of Re~o~,
06/15/2010

IX. CERTIFICATION.
I certify that all iuformation given above (including information pertainiug to my spouse aud minor or dependent children, if any) is accurat, true, and complete to the best of my knowledge and belief~ and that any information not reported was withheld because il met applicable statutory provisions permitting non-disclosure. ! further certify thai earned income fiom outside employment and honoraria and the acceptance of gifts which have been reported are in cnmpliance with |he provisions of 5 U.S.C. app. 50t et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAl. WHO KNO~,VINGIA AND WILFULLY FALSIFIES Oil FALLS TO FILE Tills REIORT ~,iAY lie SUBJECT T() CIVIl[-... AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING [NSTRUCFIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosurc Administrative Office ofthe United States Courts Suite 2-301 One Columbus Citcle, N.E. Washington, D.C. 20544