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L Person Reporting (l~-st n~le, first, mlddlc initial) SCHROEDER, MARY M.

FINANCIAL DISCLOSURE REPORT


FOR CALENDAR YEAR 2009
Z. Court or Organization US COURT OF APPEALS - 9Tll CIRCU]T 5a. Reporl" Type [check appropriale I)pe) [] Nomination, [] hitial Da~e ~l-if] Ar~ual [] Final

Report Required by the Ethics


in Government Act ~f1978

(5 L~s.c app. 101-111)


: 3. Date of Report 4/27/2010 6. Reporting Period 01/01/2009 to 12/31/2009

4. Tiik (Article |11 judges indicate aclive or senior status; magistrate judges indicate full- or part-time) ACTIVE-CIRCUITJ-UDGE

7. Chambers or Office Address U.S. coLrRT| lOUSE, SUITE 610 401 W. WASHINGTON ST., SPACE 54 PHOENIX, AZ 85003-2156

5b. [] Amended Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance wilb applicable laws and regulations. Reviewing Officer Date

131POR TzlNT NOTES: The instructions accompanying this forra must be followed. Complete art par~s checking the NONE box f!~r each part where you have no reportable in.[brmatitm. Sign on lastl,age.

1. POSITIONS. m,ro,a.~ t.ah,iu~ot o.t~,; ~o vt,. 9-. o~I~I~.~ in.~tructions.)


[~ NONE (No reportablepositiort~.) POSITION I. 2. 3. 4. COUNCIL MEMBER TRUSTEE ADVISORY BOARD MEMBER PRESIDENT-ELECT NAME OF ORGANIZATION/ENTITY AMERICAN LAW INSTITUTE TRUST #1 LOWELL OBSERVATORY ARIZONA \VOMENS FORUM

I!. AGREEMENTS. IReporting lt,dividual only; xee pp. 14-16 of f!ling lnstructions.)
~ NONE ~Vo reportable agreements.) PARTIE~ AND TE~MS 1. 2~ 3.

Schroeder, Mary M.

FINANCIALDISCLOSURE REPORT Page 2 of 9

I scrmOEr~a, MAW M.

4/27/2010

111. NON-INVESTMENT INCOME. eRero,an~ individual and sp ......


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

; seepp. 17-24 of filing instructions.)

SOURCE AND TYPE

INCOME (yours, not spouses)

1. 2. 3. 4.

B. Spouses Non-I nvest merit Income - if you were married during any portion of the reporting ycar, complete this section.
(Dollar ornour~t not required except for honorari,~.)

[~]

NONE (No reportable non-investment income.)

DATE
I. 2009 2. 2009 3. 4.

SOURCE AND TYPE


ARIZONA STATE L,rNIVERES1TY - SALARY StlESItUNOFF INFORIvlATION SERVICES - BOOK ROYALTY

IV. REIMBURSEMENTS --,ransp .....

ion, Iodglng, food .......

(Inelude~ th,se to sFou ~e and dependent children. see pp 25 27 ~sf Jiling

~
I.

N ONE 0kb reportable reimbursements.)


SOURCE ~IVERSITY OF TI IE PACIFIC INTERNATIONAL ~DIC1AL ACADEMY UNIVERSITY OF CALIFORNIA LEGAL MOMENqlJM DAT~ 10/5/2008. 10/7/2008 4/512009 - 4110/2009 LOCATION SAC~MENTO, CA PURPOSE SPEAKING EVENT ITEMS PAID OR PROVIDED T~SPORTATION, FOOD. HOTEL

2.

ST~kSBOURG, F~NCE

A~ENDANCE

T~NSPORTATION, FOOD, ItOTEL

3.

4/17/2~9 411912009 4121/2009 4124/2~9 5/I 7/2009 5/24/2009

SACRAMENTO, CA

MOOT COURT

T~NSPORTATION, FOOD, HOTEL

4.

WASII~GTON, D.C.

SPEAKING EVENT

T~NSPORTATION. FOOD, HOTEL

5.

ARIZONA WOMENS FORUM

HONG KONG BAR CttlNA

A~ENDANCE

TRANSPORTATION, FOOD, HOTEl.

FINANCIAL DISCLOSURE REPORT


Page 3 of 9
6. AMERICAN LAW INSTi "IUTE AMERICAN LAW INSTITUTE 10/21/2009 10/24/2009 12/2/2009 1214/2009

N ....

fP .....Reporting

Date of Repor~

SCIIROEDER, MARY M.

4/27/2010
TRANSPORTATION, FOOD, ttOTEL

NEW YORK, N

ATTENDANCE

7.

PHILADELPHIA, PA

ATTENDANCE

TRANSPORTATION, FOOD, HOTEL

PageFINANCIAL4 of 9 DISCLOSURE REPORT [ SCIIROEDER, MARY M.

Natal- of Person Reporting

Date of Repot!

4/27/2010

V. G 1 FTS. (Includes Ihose to ~pouse and dependent children; seepp. 28-31 of /iling i ...... lions.)

NONE (No reportable gifts.) ~


1.

DESCRIPTION

3. 4. 5.

VI. LIABILITIES. a,ct,,l~s ,1,0~, of ,p ..... a depe,,aem chitdre.: set pp. SZ-3s of filing in.~truction~.)
NONE (No reportable liabilities.)

CREDITOR
I. 2. 3. 4. 5.

DESC.RIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT

[r~ .... rre,so, l~e|,o,,i.~


~ SCitROEDER, MARY M.

t
[

D~te orl~et, o,t


4/27/2010

Page 5 of 9
VI 1. IN VESTM ENTS and TRUSTS - i~ ......

~, , ......

tions anclude~ those af sp ..... d dependent children: ~,~. 34-60 of filing instructions.)

N ONE (No reportable income, assets, or transactions.)


" ~cripfion of A~e~ (including trust ~ets) Place ~X)" after each a~et exempt from prior disclosure ~ B. Income ~g tc~rling ~riod T~ (e.g.. div.,renl, o~ ira.) C. Gross value at end of r~aing period Value Code 2 (J-P) Value[ T~e (.g., Me~ l buy, sell, Code 3 l redemption)
(Q-~ ~

................. ~.

D. T~nsactions during ~epo~ing ~n~

Amount C~e I (A-H)

Date m~d~yy

Value C~e 2 ~ O-P)


[

Gain Code I (A-H)

Identity of buyerlseller (if private


hansaciion)

I. 2. 3. 4. 5.
6. 7.

JP MORGAN CI IASE ACCOUNTS WACHOVIA MYM FUND LINCOLN NATL LIFE FRANKLIN FUND AZTXER INC. EQUITABLE 300+ STOCK FUND-IRA
TRUST/11 - AZ ST. CREDIT UNION ACCOUNTS

B A A A

Interest Divideml Interest Int.iT)iv. None

Z Sold 4/7/2009 K

J K K
PI

T T T
T

Int./Div.

8. 9. 10. 1 I. 12. 13. 14. 15. 16. 17.

- VALID FIXED PLUS FUND - VALIC MIDCAP INDEX - VALIC MIDCAP INDEX - VALIC STOCK INDEX (LARGE CAP) - VALIC STOCK INDEX (LARGE CAP) - VALIC [NTL GOVT. BOND - VALIC INTL GOVT. BOND - VAI.IC SCIENCE TECl I - VALIC GOVT. SEC -VALIC GOVqSEC.

Buy Buy Sold Buy Sold Buy Sold Sold Buy Sold

01/09/09 01/09/I)9 06/26/09 01109/09 06/26/09 01/09/09 06/26/09 06/26,09 01109/09 06/26/09

J J L J M J M K J M

FINANCIAL DISCLOSURE REPORT

N ..... fPerson Reporting SC|IROEDER,/~IARY M.

Da,e of Repo~

Page 6 of 9

4/27/2010

VII. INVESTMENTS and TRUSTS-; ........ t,,,, ...... ffonsHncludesthoseofspouxeanddependentchi~ren:$eepp. 3#-6Ooff!llng~struction~)


NONE (No reportable income, assets, or oansactions.) D~cdplion of Asse~ (including in,st .... ~) PNce "IX)" after each ~et Income during reining wriod Amt, um / ] Gross value at end [ of~porting ~fi~ ~ Va~ue I Wlue [ ryN (e.g., Tmn~tion~ during r~ing peri~

V~,pc ~e.g.. /

Date I Value

Gain

Id~t,ty of

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 3 I. 32. 33. 34.

- VALIC SMCAPEQ - VAL1C SMCAPEQ - TIAA T~DITIONAL (RET. ANN) - C~F STOCK - C~F GROWTH - CREF EQUITY INDEX - TC INTL EQ. RET. - TC INTL EQ. RET. - TC MIDCAP VAL. RET - FST AM. M1DCAP GWTII - C~F INTL LINED BOND - CREF ~TI. LINKED BOND - CREF l~l. L~KED BOND - GOLDMAN SACIIS GOV. INC. FD - GOLDMAN SACllS GOV. INC. FD - GOLDMAN SACHS GOV. ~C. FD - T-C ~IIGII YIELD RTMT

Buy Sold

01/09/09 J 06~6/09

Buy Buy Buy Buy Buy Buy Buy Buy Buy gold Buy Buy Buy Buy

07/011~ 07/01/09 07/01109 07101109 08113/09 07101/09 07/01/09 07/01/09 108/01/09 08~7/09 07/01/09 08/01/09 10/I/09 08/27/09

J J M J K K M M M L L L L K

FINANCIAL DISCLOSURE REPORT

IN .... r~ .... R~por,i,~


[ SCIIROEDER, MARY M.

[
[

D~,eorR~purt
4/27~010

Page 7 of 9
VII. INVESTMENTS and TRUSTS -i ........
A. Dcscfiplion of As~Is (including t~st a~scts) rbce(X)"afie .... h~t B. Income during r~o~ing ~ Amo,,nt T~e(e.g.. (A-n) ~ orint.) [

~, , ...... ~o~ Onclud~ ~ose of sp .....

d depend,he children; seepp. 3440 of fil~g instruc,ians.)

NONE ~o reportable income, assets, or transactions.)


C. Gross value at end of reposing period D. Transactions d~ng r~oning

Value ~ Value {J-P) [ C~e3

Ty~(e.g.. redemption)

Date[Value [Gain [

Identityof {ifprivate

i (J-P) ] (A-H)

35.

-VALIC SET~TE 7 YR

FINANCIAL DISCLOSURE REPORT Page g of 9

Name of Person Reporting [ SCI]ROEDER, MAR~ M.

Date o[ Repurl

VIII. ADDITIONAL INFORI~IATION OR EXPLANATIONS.


IN PART VIE 1. 2008 ITEM #! 5 DUPLICATED ITEM #11 2. 2008 ITEM #17 - ACCOUNT CLOSED PRIOR YEAR 3. 2008 ITEM # 13 IS brow T]AA TRDITIONAL {R.ET. ANN.) 4. 2009 ITEM #g - PUR.CttASED BI-WEEK.LY UNTIL 7/09 5. 2009 ITEM #9 - PURCHASED BI-WEEKLY UNTIL 7/09 6. 2009 ITEM #1 ] - PURCHASED BI-WEEKLY UNTIL 7/09 7. 2009 ITEM ~t13 - PURCIIASED BI-WEEKLY UNTIL 7/09 g. 2009 IFEM #I 6 - PURCHASED BI-WEEKLY UNTIL 7/09 9. :2009 ITEM #l 8 - PURCHASED BI-WEEKLY UNTIL 7/09 10. 2009 ITEM #21 - PURCHASED BI-WEEKLY AFTER 7/09 I I. 2009 ITEM #22 - PURCHASED BI-WEEKLY AFTER 7/09 12. 2009 IIF.M #24 - PURCHASED BI-WEEKLY AFFER 7/09 13. 2009 ITEM #26 - PUR.CHASED MONTHLY AFTER 7/09 14. 2009 ITEM #27 - PUR.CIIASED BI-WEEKLY AFTER 7/09

FINANCIAL DISCLOSURE REPORT

....

fP ..... Reporting

I,a,e of R~po~

Page 9 of 9
IX. CERTIFICATION.

IN

4/23/2010

[ SCltROEDER, MARY M.

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 ompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signaturi NOTE: ANY INDIVIDUAL WIIO KNO\VINGLY AND \VILFULLY FALSIFIES OR FALLS TO FILE TillS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

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

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