.

~o to
1/20/0

[
]

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Conr! or Organization United Sta~es Court of Appeals for the Federal Circuit 5a. Report Type (check appropriate type) [] Nomination, [] Initial Date ~ Annual [--] Final

Repot, Required by the Ethic.,

in Government Act of 1978

0 u.s.c, app..~,~ I01-111)

3, Date of Reporl 05/07/2010 6. Repotling Period 01101t2009 to 12/31 t2009

I. Person Reporling (last name. first, middle initial) Schall. Alvin A. 4. Title {Article III judges indicate active or senior slatus; magistrate judges indicate fidl- er parl-time) UnitedS~atesCircuit Judge (Senior Status)

5b. [] Amended Report 7. Chambers or ()ffice Address Suite 907 717 Madison Place, NW \Va~hingtoa, DC 20439 8. On the basis of the information ct~ntained in this Report and an) modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer

. D~te .......

IMPORTANT NOTES: The instructiott~" accompanying this form most be followe~L Complete all parts, checking the NONE box f!~r each part where you hove no reportable information. Sign on last page.

---]

NONE (No reportable positions.) POSITION NAME OF ORGANIZATIQN/ENTITY

Trust #2

1.

Trustee (one of two)

2
3 ,4. 5.

T~stee (one of two)

Executor (one of two

Trustee #4
Estate ~~

F~
il. AGREEMENTS. I Rel,orting individual on~.; .~ee pl,, 14-1~ t~f filing in~truction.,.)

~
I.

NONE (No reportable agreements.) DATE PARTIES AND TERMS

Schall, Alvin A.

FINANCIAL DISCLOSURE REPORT

,~ .... fPe .... Reporting

DaleofReporl

Page 2 of I 4

I sc~,au, A~,,i,~ A.

05/07:20~r,

Ill. NON-INVESTMENT INCOME. m~o~,~ ~s~,,~ ~ ~ ....

A. Filer~ N~n-lnvestment lne~me
NONE ~o reportable non-investment income.) DATE
1. 2009 2. 3. 4.

; ,~, ~. ~ m ~ oZ ~o.~ i,.~r,~o~.~

SOURCE AND TYPE

Renlal ofpropeRy ~br ~our weeks

~
(yours, not spouses) $6,000.00

B. Spouses Non-I nveslme~l [ncome - II),ou were married during a~),po~ion ofthe reporting year, complete this .~ectio~ (Dollar amount not required e.x~ept [o honoraria.)

~
1. 2009 2. 3. 4.

NONE (No reportable non-investment income.) DATE SOURCE AND TYPE

Rental of propeay for four weeks

I V. R E I M B U R S E ~! E N T S - ,,...,p,,rtatlon, lodging, toad, cntertai ..... ~

~
I.

N ONE (No reportable reimbursements.) SOURCE

Merit Systems Protection Board

DATES
April 27-28, 2009

LOCATION
Indianapolis. IN

PURPOSE
Speaker at the Board Legal Conference

ITEMS PAID OR PROVIDED

"Fransa~rtation. Meals and I~odging

2. 3. 4. 5.

""

FINANCIAL DISCLOSURE REPORT Page 3 of 1 4

~,~o~ .....

Reporting

Da,e o[ Report

sch~n, Alvin A.
I

05107/2010

V. GI FTS. a, cl,,ae~ a, os~ ~o ~ ...... ~ d~pvndvnt children; see pp. 28-31 of filing instructions.)
NON g (No reportable g~s.) SOURCE
1. 2. 3.
4

DESCRIP~ON

5.

NONE (No reportable liabilities.) CREDITOR DESCRIPTION

Loan-S~Uled by mortgage on real prope~y owned by reposing person

VAI.UE ~0DE
J

I.

Sun T~s~ Bank

3
4.

5.

FINANCIAL DISCLOSURE REPORT

Page 4 of 14
VI I. INVESTMENTS and TRUSTS --ine ......
A Des, cription of Assets [including trusl assets) Place "(X)" after each asset excmpl from prior disclosure

] N ....

fP .... Reporting

DateofReport

Sehal),

Alvin A.

05/07/2010
d dependent children; see pp. 34-60 of filing instruction~.)

l.e, , ...... lions (Includes those of sp ......

C Gross value al cad of reporting period [I) (2) , Value Value Method Code 2
(J-P) Code 3

NONE (No reportable income, assets, or transactions.) B. Income dunng reporting period (I) ~2) Amount Type (cg, I Code I div.. rent.
[ (A-tl) r ,~r int.)

D. Transactions during reporhng period ~1) Type Ic.g., buy, sell,

redemption)

~2) . (3) , (4) Date . Value Gain :~mnvdd/yy i Code 2 Code I

i (JP) ~ (A-H)

(5) Identity of buyer/scllcr

(ifprivalc

[. I. 2. 3 4. 5. 6. 7. g. 9 10. I I. 12. 13 14. 15.

16

[ B B B Dividend Dividend Dividend None C C B B Dividend Dividend Dividend Dividend None C B A Dividend Dividend Dividend None B A
C

~ L K K

(Q-W) T T T

, ....

t ...... tion)

Abbott Laboratories, Inc. Altria Group, lnc. Boeing Co. Citadel Broadcasting Corp Exxon Mobil Corp. General Electric Co. General Mills, Inc. Home Depot, Inc. I Iospira, Inc. Intel Corp. J.P. Morgan Chase & Co. Kraft Foods, Inc. MBIA, Inc. lVlinnesota Mining & Mfg. Co. Motorola, Inc.
Pepsico, Inc.

lVl K K L J L L K J L

T T T T T "F T T T

Dividend Dividend
Dividend

17.

Philip Morris Intl. Inc.

Dividend

1"

FINANCIAL DISCLOSURE REPORT Page 5 of 14

,~ .... [Person Reporting

DatentRepor~

SchaB, AV,,i~ a.

0~/07~20m

NONE (No reportable income, assets, or transactions.) A (including t~st assets) Pl:t~c "(X)" after each asscl c~cmpt from prior disclosure B. rcpt~r~ing ~riod (I) (2) Amoum Type (c g. (~txlc I div.. rcnl. {A-H) or i~l.) C. of reposing period (I) (2) Value Value C~c 2 Method Code 3 {J-P~ (Q-W) K I. K L K T T T T "F T K L L K T 1" "1 T Redeemed 07,01/09 K I) Buy (addl) 12/24..09 J D

(I) [~pe (c.g. buy, sell. rcdcmpt~on]

(2) 13) ~41 Dale Value Gai~* :mn~dd"yy Code 2 Code I {A-It} I J-P)

~5) ]denlfl~ of buycrzscllcr Hf private Iran~action)

IS. R.R. Donne[ly & Sons Co. DWS Ad;isor Funds Mid-Cap Growth Fund Class S DWS hrtemational Emerging Markets Eq,ity Fnnd Class S \Valt Disney Co. 22. 23. 24 25 26. Yurn Brands, Inc. 5.759-~ MD State ttealth Higher Edu Fac. Bond, due O7/01/09 Cap~lal One Bank Certificate of Deposit Capital One Bank Certificate of Deposit American [:xprcss Certifitcate of I)eposil

Dividend None

A A A B B C (. 13
A

Dividend Dividend Dividend Interest Interest Interest Interest Interest

Interest

27 Waehovta Bank Certificate of Deposit

28 DWS Cash Investment Trust*

29.
30

D\VS Cash Investment Trust 7"

Great Horn Mining Syndicate

Interest
None

K
J

T
U

31
32.

E,_lgartown Water Co.

NIair~bt~hcr. Inc.

None
None

J
J

U
[J

33 34.

l_vcrgreen Money Fund Fidelity Cash Reserves Fund--1

A A

Interest Interest

J L

"I T Inherit 02q 8..09 [

*(Formerly Scudder Cash Investment Trust

FINANCIAL DISCLOSURE REPORT

s~al,Name ofn A. Reporting AIv Person

Date of Report

Page 6 of 1 4

05.,07,..~0~o

NONE (No reportable income, assets, or tr~trtsttctions )

Dc~crq~tion of Assets (including t~st asscLs~ Place "(X)" after each assel exempt from pdor disclosure Income dtlrlo~ ~porting pcriod Amount ~ Type (e.g. (ode I d~v . rent, (A-II} ~ or int ) : ~ (Jross vahm at end ofrepo~tmg period Value (?t,dc 2 D-P} Value Mclhod Code 3 ~Q W) t " T~pe (eg. buy sell. redcmplion) ] raasacttons during rc~rtlng period

. Date Value Gain ..mm,ddiy~ (~odc 2 Co0c I [ I.JP) . (A-H) ~

Identity of buyer!seller tifprivate transaction~

35. 36. 37.

Vanguard Intermediate-Term Tax-ExemptFund Admi~l Shares ~

D~vidcnd

~uy

09/14/09

Buy {addb) Buy (addb) Buy (addb) Buy iaddl) V~nguard Limited-Te~ Tax-Exempt Fund Admiral Shares ~ A Dividend M T Buy Buy Buy (addl) Buy (addl) Buy (addb) TRUST #1: Blackrock Funds International Bond Por~fblio Fm~d Deutsche Bank "lnist Co. U.S. Small Capitalization Fund Deutsche Bauk Trust Co. "lax-Ftce Income Fund Deutsche Bank Trust Co. Internatiom~l Fund Deutsche Bank Tnist Co. U.S. Large Capitalization Value Fund 2.22% U.S Treasu~ Notes A A B A B Dwidend Dividend Dividend Dividend Dwidcnd J J K J M T T T T T

09/30109 10/30/09

J J J

38. 39. a0

11/27/09 12;31/09

J M J

09/1~/09 0900/09 I 0:30.,~ I

41. 42. 43.

I 1/27~09 12/31 ,09

J J

~. a5 46. 47. 48. 49. 50

Buy (add!)

[06/18/09

51.

Interest

FINANCIAL DISCLOSURE REPORT Page 7 of 14

V 11. INVESTMENTS and TRUSTS - i .........

NameofP ..... Reporliag

DateolRepor!

seh. , A vin A.

05,07/2010

~ ...........n,,,,, (Includes tho,e ofw ........ d depend ....hildren; seepp. 34-60 of filing in,tructions.I

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

~.
Dc~criplion of Assc~s

:
~

B,
Income during

[ .... C. ....................... ~ ....

[ Gross value at end [ Transaclions during repo~r~ ~r~od

Place "(X)" ~]flcr each asset exempt from prier discIosur~

Amcum ~ T~e (e.g.. C~de I J div., renL (A-II) [, or im.I

* Value Code 2 {J-P)

, Value Method Code 3 [Q-W)

T~e~.g., buy. sell, redemption)

; Da~e , Value Gain ~nm~d&yy : Code 2 : Code I t I J-P) ~ (A-H) ~ .

Idm/i~y of buyer/seller [ifpn~atc mmsacuon)

52 53

DWS High Income Fund Clas~ A MSCI Emerging Markets Index Fund

A A

Dividend Dividend

J K

T T

54. 55
56. 57. 58. 59.

Goldntan Sachs Natural Resources Index t:und Cohen & Steers Realty Index Fund
Deutsche Bank Trnst Co. Money Market Deposit AeCotln| TRI]ST #2: American Express Co. BP PLC

A A
A

Dividend Dividend
Interest

J J
J

T T
T

A C

Dividend Dividend

K L

T T

60.
61, 62.

Kimberly Clark Corp

Pfizer, Inc. Ra~,lheoi~ Co.

B
A A

Dividend
Dividend Dividend

L
K K

63.
64 t,5. 66.

RR. Donnclly & Sons Co.

\x, ycd~ Co. Deutsche Bank Trusl ("oUS. Large (apilalizatton Grov,th Fund Deutsche Batik Trust Co. Tax-Free Income Fund

A
A

Dividend
I)ividend Dividend Dividcnd Dividend

K
1.

T
"I" Merged (w th line 61) 1015 09

C D A

N M .1

T T

67 Deutsche Bank Trust Co International Fund 68. Deutsche Bank Trust Co Money Market Deposit Account

Interest

FINANCIAL DISCLOSURE IO~PORT Page 8 of 14 vi !. ! NVESTMENTS and TRUSTS - ~ .........

A. Description of Assets 0ncludmg t~st assets) Pl~ce "(~)" alier each asset exempt from prior disclosure

:~ .... fP ..... R~po.i.g s~h,n.,,.,,o.,.

I
D Tt;msacli~ms during ~porling pcri~ (~) Type (e g.. buy, sell. rcdcmplion) (2) : [3) ~ (~) ~ ~alc Value ~ Gain [m~td~yy ~ Code 2 ] Code I I (J-P) . (A-H)
.

D.,~ofR.po,~ o~,,0:,=0

~.., , ..... ~o.~ t.ct.a~s tno~e o[~ ....... g dependent children; ~ pp. 34-60 oJf!ling instruction~.)
C Gross value at end ~ff~cpo~ing period (t) (2) Va~ue Value C~c 2 Method (J-P) Code 3
IQ-W)

NONE (No reportable income, assets, or transuctions ) B Income during reporting period O) ~ (2) ~ Amount ~ y~ (e.g. Code I d*v., rent, ~ (A-H) : or int)
~

(~) Identily of buycdscllcr (if private

transacu~n)

69. 70. 71. 72. 73. 74. "/5. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.

TRUST 03: Deutsche Bank Trust Co. U.S. Small Capita~izalion Fund Deutsche Bank Trust Co. Tax-Free Incolne Fund Deutsche Bank Trusl Co. Internationa! Fund Deutsche Bank Trust Co. U.S. Large Capitalization Value Fund 2.225g U.S. Treasu~" Notes DWS Iligh Income Fund Class A MSC| Emerging Markets Index Fund Goldman Sachs Natural Resources Index Fund Cohen & Sleets Realty Majors Index Fund Deutsche Bank Trust Co. Money Market Deposit Account TRUST #4: American Express Co. FIP PI,C General L:lectric (?o. Merck & Co,, Inc. I router & Gantble Co. A B A B B Dividend Dividend Dividend Dividend Di~,,idend K K K K K T f T T T A B B C A A A A A A Dividend Dividend Dividend Dividend [utcrest Dividend Dividend Dividel~d Dividend Interesl J K K M J J K J J J T T T T T T T T T T

FINANCIAL DISCLOSURE REPORT Page 9 of 14 VIi. I~VESTMENTS and TRUSTS - ~ ........

N .... r~e .... ~epo.i,,g Schwa, Alvin A.

t,.,. or R,,ort [ [ 05/0712010

t.~. t .......

aons (Includes ~ose of sp ....... d dependent children seepp. 34-60of filing instruc,lan.*.)

NONE (No reportable income, assets, or transactions.) Description of A~scts (including trust ~ssct~) Place "(X)" al~er each 3~scq exempt from prmr disclosure Income during reporting ~riod Amount Code I " (A-IO ~ B E B A A A t3 A A A T~c (c.g, div., rent, or int ) Gross ~aluc at cad of reposing period Val~ Code 2 (J-P) Valu~ Method Code 3 (Q-W) T "ll T "I" T T T T T T Type (~ g. buy. sell. rcdcmptitm) T~nsactlons during tc~Omg period

~ Date ~ Value m~.dd.yy Code 2 I J-P)

Gain C~c I OX-}I}

ldentily of buyer."sclicr 0fpr~vatc transacuon)

86. 87. 88. 89. 90. 91 92. 03 94. 95. 96. 97. 9g. 99 100 I!l i. 102

Deutsche Bnnk Trust Co. International Fund Deutsche Bank Trust Co. Taxable Income Fund DWS ttigh Income Fund-Insured I Shares U.S. Treasury Inflation Protected Securities Fund PIMCO Developing Local Markets Fund Eaton Vance Structured Emerging Markets Fund Deutsche Bank Trust Co. U S. Large Capitalization Value Fund I Path Dow Jones AIG Commodily Index Total Return Fund D",qS Reef Global Real Estate Scoured Fund Deutsche Bank Trust Co. Money Market Deposit Acconnt ESTATE (Opened 10!31/08) Dreyfus Intermediate Municipal l~ond Fund*

Dividend Dividend Dividend Dividend Dividend Dlvideud I)lvtdend l)ividend Dividend Dividend

K N K K K K L J J K

Dividend

Buy (addl} Buy (addl} I~uy (addl) Buy (addl) Buy laddl) Buy laddl}

I)2/27/09 03/31/09 04!30/09 05/29,"09 I)6/3f1/09 07i31 .09

J J J J J l

*(Formerly Dreyfus blunicip~lBond Fund Admr~! Shares Fund)

FINANCIAL DISCLOSURE REPORT Page l0 of 14 VII. INVESTMENTS and TRUSTS -~ ......... .~.
D~ipl~on of Assets ~including t~sl asscls)
(I)

N .... ~Pe,~o. Repo.~.~ s~,,~, a~.i. ~. ~.,,t ....... io.~a.~.a~.,~,o~,~o/~ ........ ~. " ~.
(JfoS~ valu~ at end of repoSing period
(I) 12) (I) 121 [ (2) (3) 14)

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

5.
T~nsactions during rcpo~mg peri~
(5)

Income d~ri~

~upo~tlng period

cxc~npl from psor d~sdesurc

Code I ~A-H)

div. rent. ormt.)

Code 2 (J-P)

Mclhod Code3 (Q-W)

buy. sell. redemption)

~m~d~yy ~ Code 2 Code I ~ (J-P) ] (A-HI : 08/31/09 09/30/09 I 0/30,09 11/30/09 12130/09 07/2 ]/09 07/23/09 01/30/09 ] 0~/27/09 03/31/09 ~/30/09 05/29,."09 06/23/09 07/21 I09 09/01/09 O 0t/30/09 02/27/09 J J F N O J J J J J J E E J J J

bu~c~/sllcr (ilprlvale transaction)

103. 104. 105, 106. I 07 108 109. 110. J.P. Morgan Intermediate Tax-Free Bond Fund Select Fund I I I. 112. 113 114 I 15 ! 16. I 17 118 Vanguard Long-Tenn Tax-Exempt Fund 119 A Dividend E D~vidend

Buy {addl) Buy (addl) Buy (addl) Buy {addI) Buy (addl) Sold ( paa ) Sold Ipa~l) Buy (add!) Buy {addl) Buy {addl) Buy (addl) Buy (addl) Buy (addl) 13uy {addl) Sold Buy (addt) Buy (addl)

FINANCIAL DISCLOSURE REPORT

N .... fPers,,n Reporting

DateolRepor~ [

Page 1 1 of 14 VII. INVESTMENTS and TRUSTS - i ........

[~

snha,|, Alvin A. [

05/07!2010

I., t ........ions (Includes those of sp ...... d dependent children; see pp. 34-60 of filing instructions.)

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

^.
Dcscnptitm olAs~ets (including tmsl assets) Plncc "~X)" ~fter eac~ nssct cxcmp~ from pfor d~sclosurc

" ..... ~ ....

Income during rcporling ~riod Amounl C~c ; [,~-FI) Ty~ (e.g., div, rent. or in!.)

c. " ......
Gross value a~ end of reporting per~d Value Code 2 U-P) Value Method C~c 3 (Q-W) Type [e,g. buy, sclk redcmption~ Transactions during reporting period

Dzte Value m~dd,)y Code 2 ~/-P)

Gnin Code I {A II)

Idcntil~ of buyer, seller tflpriv~lc transaction}

i 20. 121. 122. 123 124. 125. 126. 127. 128. 129 130 13 I. t32. 133. 134 135. 136. Vanguard Intermediate-Term Tax-Exempt Fund Admiral Shares D Dividend Vanguard Shor~-TcrrnTax-Exempt Admiral Shares Fund 13 Dividend

Buy (addl) Buy (addli Buy (addl) Buy (addl) Buy (addl) Sold Buy [addl) Buy (addl) Buy (addl) Buy (addl) Buy (addI) 13uy (addl) Buy (addl) Sold Buy (addl) Buy iaddl) Buy (addl)

03!31/09 04!30/09 05/29.,09 06/30/09 07/31/09 09101!09 01/30/09 02127/09 03/31/09 04!30/09 05/29/09 06/30:09 1)7,31/09 09/01109 0Ii31/09 02/27/09 03/31/09

J J J J 3 J A

FINANCIAL DISCLOSURE REPORT

.~ .... f|e .... Reporlillg

V I 1.1NVESTM ENTS and TRUSTS - i .......... ~.~,, ........ ,i,,,. (Include, those ,sp ........ d dependent children; ,eepp. 34.60 of filing i ...... tions.)
NONE (Aro reportable income, assets, or transactions.)
A. Descriptioo of Assets 0ncluding I~sI ~sscls} Placc"lX~" after each asset exempl from prior disclosure " B Igcomc durll~g repo~mg ~ri~ C. (}~oss ~.alue at end ol rcpoomg pcrmd Value Method Code 3 (Q_~+) T~c (e.g. buy, sell. rcdcmplitm) D Transactions during re~mg

~Amount : T~c (e.g.. ~ Value , Code I ~ div..rem. ~ Code 2 . (A-II) + tit int) (J-P)

Value Gain [ Date ~:mt~d~yy ; Code 2 Code I : i (J-P) (A-H) l i: + ~ 04/30109 J

Idenfi~y of buyer.sellcr transacttonl

137,

Buy (addl) Buy (addl) Buy laddl) Buy (addl) Sold D Distributitm J W

138. 139. 140. 141. 142. Williams, 79 Associates (Real Estate Partnership) 143. 144. [145.

05/29/09 06/30/09

J J

07131/09 09s01/09

J M E

FINANCIAL DISCLOSURE REPORT

Name ofPtrson Reporting

Page 13 ofl4
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicattpartoftt~po~)

ADDIHONAL INFORMATION WITH RESPECT TO PAR[ VII OF Tills REPORT:

I. 2 3. ,-1 5 6. 7 8 9 1O II

Items I-I 8.21,22, 30-32, 58-64 and 81-85 are comrnon stock holdings. ~tems~9~2~34~35~4~4652~55~75-78~-9~93~94~97~~8~26and~34aremutua~funds. Items 24-27 are certificates of deposit. Items 33,56, 68, 79 and 95 arc in Ihe natnre of money markets acconnts Item 23 is a state bond. Items 51 and 74 are United States Treasuw Notes Items 28 and 29 are Individual Retirement Accounts in the form of money markets accounts. Ilems 47, 49, 50, 65, 67, 72, 87 and 92 are commingled common stock trust funds managed by Deutsche Ba~k Trust Co. Ilems 48, 66 and 71 are commingled tax-free securities In.tst funds managed by Deutsche Rank Trusl Co. Item 87 is a contmingled debt securities tn~st fund managed by Deutsche Bank "/rust Co. Item 142 is real estate partnership.

FINAN CIAL DISCLOSURE REPORT Page 1 4 of 1 4 IX. CERTIFICATION.

,~am, of Person Reporting S~hall. ,,~v~n A.

I D~,e of Report 05/07/.~0~ 0 [

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 thal any information not reported was ~vithheld because it met applicable statutory provisions permitting non-disclosure. I further certify thai 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. scq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature3

__

NOTE: ANY INDIVIDUAL WllO KNOWINGLY AND WILFULI,Y FAloSIFIES 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 Comrnittcc on Financial l)isclosurc Administrative Office of lhe United States Conrls Suite 2-301 One Columbus Circle, Washington, D.C. 20544