harris l hartz financial disclosure report for 2010

8/3/2019 Harris L Hartz Financial Disclosure Report for 2010

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Rev, 1/2011FINANCIAL DISCLOSURE REPOR T

FOR CALENDAR YEAR 201 0Report Required by the Ethicsin Government Act o f 1978(5 U.S.C. app..~.s 101-111)

I. Person Reporting (last name, first, middle initial)

4 . T i t l e ( A r t i c l e I l l j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ;magis tr a le judges ind icaze fu ll- or p ar t - t i me)

Circu i t Judge Act ive

7. C hamber ~ or O f f i c e A d d r e s s201 Thi rd St . NW, #1870Albu q u erq u e , NM 87102

2 . C o u r t o r O r g a n i z a t io nTen th C i rcu i t Cou r t o f A ppea l s

5a . Repor t Ty pe (check appropr ia te type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r l a n d a n y

m o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n , i n c o m p l i a n c ewith appl icable l aws and regulat ions .

R e s i e ~ s i n g Officer Date

3 . D a t e o f R e p o r t04/14/201 I

6 . R e p o r t i n g P e r i o dOI/OI/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page .

I . P O S I T I O N S . ( R ~ o . i n ~ i n d i v id a a l o . ly ; s , , ~ , ~ , . 9 - 1 3 of filing instructions.)1~ 1 N O N E ( N o reportable posi t ions . )

P O S I T I O NI. Trustee

2. M e m b e r , B o a r d o f D i r e c t o rs

3.

NAME OF ORGANIZATION/ENTITYTr u s t N o . I

S ea r l e C i v i l Ju s t i ce In s t i t u t e

I I . A G R E E M E N T S . m , p o , l , g individual only; see pp. 14-16 of filing instruction~)D N O N E (No reportable agreements . )

I . 9/30/I 999D A T E PARTIES AND TERM S

.My jud ic ia l pens ion f rom the S ta te o f N ew Mexico has ves ted and paym ent began in 201 I , w hen I becam e age-e l ig ib le .


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

N a m e o f P e r so n R e p o r t i n g..... Hartz, Harris L.

D a t e o f Report04/14/2011

II1. N O N - I N V E S T M E N T I N C O M E . (Reporting individualandspouse; seepp. 17-24 of filing instructions.)A. Fliers Non-lnvestment Income~-] N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE

2,3,4,

INCOME(yours , no t spouse s)

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married during a ny p o r t io n o f the r ep o r t ing ) ea r , co mp le te th i s s ec t io n .(Do]lor amount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)D A TE SO U R C E A N D TY P E

1.2.3.4.

I V . R E I M B U R S E M E N T S - transportation, Iodglng, food, entertalnmenL( Includes those to spouse a nd depende nt chi ldren ," see pp. 25 -27 of f i l ing ins truct ions . )

~ (No reportable reimbursements.)ONE

SOURCE DATES LOCATION P U R P O S E ITEMS PAID OR PROVIDEDI. C a r d o z o S c h o o l o f L a w 3/6-8 N e w Y o r k , N Y Moot Cour t t ran spor ta t ion , lod g in g , food2. Nor thwest e rn Univ e rs i ty 4 / I -3 Chicago , IL Moot Cour t t ran spor ta t ion , lod g in g , foodS c h o o l o f L a w3. Pepperd in e U n ivers i ty Schoo l 3 /18-20 Mal ibu , CA P a n e l m e m b e r f o r la w - t ran spor ta t ion , lod g in g , foodo f L a w clerk- t r a in ing program4. Nor thwest e rn Univ e rs i ty 4/21-22 Chicago , I l l ino is Sear le Cen ter board Tran spor ta t ion , lod g in g , foodm e e t i n g5. G e o r g e M a s o n S c h o o l o f L a w 1 0 / 2 7 - 2 8 W a s h i n g t o n , D C Sear le Cen ter board Tran spor ta t ion , lod g in g , foodm e e t i n g


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Name o f Per son Repor ting~/, . i i , a r ~ , . a r r i s L .

Date of Report04/14/2011

6. W a k e F o r e s t S c h o o l o f L a w I 1 / 1 8 - 2 1 W i n s t o n - S a le m , N C M o o t Co u r t Tr an sp or t a t ion , l od g i n g , f oo d


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FINANCIAL DISCLOSURE REPORT] N a m e o f P e r so n R e p o r t i n gage 4 of 1 0 !. -.i] Ham, H a r r is L .

V . G I F T S . t l ,c i u d , s , h o , o , o s p o . s , u , d a , , ,, d , , t children; s e e p p . 2 8 - 3 1 of filing instructions.)NONE (No reportable gifts.)

SOURCE DESCRIPTIONI.2.

3.4.5.

D a t e o f R e p o r t04/14/2011

VALUE

V I . L I A B I L I T I E S . ~ / n c / , d , s t h u s , o / sp o u s , u , d d , p c n d o , t c ~ i l ,~ r ~ n ; s , ~ r . 3 2 . 3 3 o f ~ i n z i n s t ru c t l o n s . )NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t in g Date of Report1M/14/201 I

V I I . 1 N V E S T M E N T S a n d T R U S T S - i n c o m e . , a t u e . , ,a n s ~ c t l o n , a , d u d e s t h o s e of spouse and dependent children; s e e p p . 3 4 - 6 0 of fi l ing in~truction~.)N O N E (N o reportable income, assets, or transactions.)

A.D e s c r i p t io n o f A s s e t s

( i n c l u d i n g t r u s t a s s e l s )

4.

5.

6.

7.8.

9.

10 .

II.

12 .

13 .

14 .

15 .

16 .

Place "(X)" after each assetexempt from prior disclosure

Trust I- -BR KA--BRKB--OIB- -NU V--PNW

- - S O

- - C O P- - T W C U X- -LCEI X--JANDX*- -NG UA X--NPRTX- - AM OAX

--GLBAX

--TGRAX

Income d u r i n g G r o s s v a l u e a t e n dr epor t i ng per i od o f r e p o r t i n g p e r i o d

O) (2) O) (2)A m o u n t Type (e.g., V a l u e V a l u eC o d e I d iv . , r en t , C o d e 2 M e t h o d

( A - H ) or i n t . ) (J-P) C o d e 3( Q - W )

G Dividend O T

Transac t ions du r ing r ep or t ing p e r iod

( i ) ( 2 ) (3)Type (e.g., D a t e V a l u e

buy, sell, m m/dd /yy Cod e 2redemption) ( J - P )

(4 )Gai n

C o d e I(A-H)

( s )I d e n t i t y o f

b u y e r / s e l l e r( i f p r iva te

t r a n s a c t i o n )

17. --USGBX

I. Income Gain Codes:(See Co lumns BI and D4)

2.Value Codes(Se e C olu m n s C I a n d D3)

3. Value Method CodeslSec Co lumn C2)

A =$1.00~ or lessF =$50.0~1 - $10~,0~0J =$15,0~0 or lessN =$250,001 - $500.0~P3 =$25,00~,0~1 - $50,000,000Q =AppraisalU = Book Va lu e

B=$1,001 - $2,500G =$100,001 - $1.0~,090K =$15,001 -O =$500,0~1 - $1,000,0~0R =Co s t (Rea l Es ta te O n l y )V = O t h e r

C =$2,501 - $5,000H I =$1,00~),~ I - $5,000,000L -$50,001 - $100.000PI =$1,000.001 - $5,000.000P4 =More than $50.000,000S = A s s e s s m e n tW ~E~.t imatcd

D = $5.001 - $15,000H2 -More than $5.000.000M =$100,001 - $250.000P2 =$5,000.001 - $25.000.000T =Cash Market

E =$15.001 - $ 5 0 . 0 ~ 0


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N a m e o f P e r s o n R e p o r t in gi ~i i Hartz, Harris L.

D a l e o f R e p o r t04/14/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l in g i n s t r u c t i o . ~ . )N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( i n c l u d i n g t r u s t a s s e t s ) r epor t i ng per i od

(1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e I d iv . , r en t ,( A - H ) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o dO) (~)

V a lu e V a lu eC o d e 2 M e t h o d

( J - P ) C o d e 3( Q - W )

(I)Type (e.g.,

buy, se l l ,redemption)

T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( 2 ) ( 3 ) ( 4 ) ( 5 )

D a t e Value i Gain Identity ofmm/dd!yy C o d e 2 i C o d e l buyer / se l le r

( J -P ) i (A -H ) (if private;i t r a n s a c t i o n )

18. -DINAX

1 9 . - - M or g an S t an l ey B an k Acc t

20 . --San Ju an County, NM , real estate21 . P a r c e l I Unimproved r eal es ta te in San Juan BCounty, NM22 . EUGBX A

R e n t M W

Dividend J T23. GLBAX A Dividend J T24. UTLQX

25. BRKBDividend K T

None N T

26. OIA A Dividend J T27 . W ells Fargo Bank Acc ount

28 . State of Israel BondsA

A

I n t e r e s t

I n t e r e s t

LJ

TT

2 9 . U S Sav in gs B on ds30 . Tennis Club of Albuquerque debenture

31 . 403B account

B

A

B

I n t e r e s t

I n t e r e s t

Dividend

L

J

J

TTT

32. --PGRWX

33. State Retirement Account C I n t e r e s t L T34. Individual Retirement Annuity E Dividend N T

I. Income Gain Codes:(See Colurans B I and I)4)

2.Value Codes(See Co lumns CI and D3)

3.Va lu e M e thod C od e s(sec Co lunm C2)

A =$1,000 or lessF =$50,001 - $100,000J =$15,000 or l e s sN =$250,001 - $500,000P3 -$25,000,001 - $50.000.000Q =AppraisalU = Book Va lu e

B=$1,001 - $2,500G =$100,001 -K =$15,001 - $50,000O =$ 500,001 - $ 1,000,000R =Cost {Real Estate Only)V = O t h e r

C =$2,501 - $5.000HI =$1,000.001 - $5,000,000L ~$50.001 - $ 1 0 0 . 0 0 0PI =$1,000.001 - $5,000.000P4 -More th an $50,000,000S :As~ ssmen lW = Es t im a lc d

D : $ 5.001 - $15.000H2 =More than $5.000.000M =$ 100,001 - $250,000P2 =$5.000,001 - $25,000.000T = C a s h M a rk e t

E =$ I 5,001 - $50.000


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N a m e o f P e r so n R e p o r t i n gHartz, Harris L.

D a t e o f R e p o r t04/14/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, ralue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructionx)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( i nc l udi ng t r us t asse t s) r epor t i ng per i od

O) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I d iv . , r en t ,(A-H) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)

V a lu e V a lu eC o d e 2 M e t h o d0-P) C o d e 3

( Q - W )

O)Type (e.g.,

buy , s e l l ,r e d e m p t i o n )


(2) (3) (4) (5 )D a t e Value Gain I d e n t i D o f

m m / d d / y y Code 2 [ Code I b u y e r / s e l l e r(JP) I (A-H) ( i f p r iva teI t r a n s a c t i o n )

35. -ING Fixed Account36. -ING Balanced VP

37. IRA Account D Dividend M T38 . -Gov t Natl M tge Assn Pool

39 . --US Treasury Bond40. --AM ODX41. --GLBAX

42. --MSACX43. - - M S S G X44. --M PE GX4 5 . --"4 6. --"4 7 . - M P S C X

S o l d 04/16/10 J A(part)S o l d 07/16/10 J A(part)S o l d 10/15/10 J A(part)

48 . - M D F D X49 . - -MS Spec t ru m Se lec t

50 . - - M S S p e c t r u m T e c h51 . - -MS Spec t ru m Cu rren cy

Sold(part) 01/22/10 J A

I. Income Gain Codes:(Se e C olu m n s B I a n d

2. Value Codes(Se e C olu m n s C I a n d D3)

3. Va lu e M e thod C od e s(See Colunm C2)

A =$1.0OO or lessF =$50.001 -J =$15,000 or lessN =$250.0OI - $500.0OOP3 =$25.~ 0,0~ I - $50,000.000Q =AppraisalU = Book Va lu e

B -$1,001 - $2,500G =$100.001 - $1.0~0.000K -$15.001 - $50.000O =$500.001 - $1,000,000R =Cosl (Real Eslale Only)V Olhcr

C = , $ 2 , 5 0 1 - $ 5 , 0 0 0H I = $ 1,0~0,001 - $ 5 ,000,000L =$5 0 , 001 - $100 . 000P I =$1 , 000 . 001 - $5 . 00~ . 000P 4 = M o r e t h a n $ 5 0 . 0 0 0 , 0 00S = A ~ , s c s s m c n lW = E s t im a t e d

D =$5.001 - $15,000H2 =More th an $5.000.000M -$100,001 - $250,00~P2 -$5,000,091 - $25.000,000T-Cash M a r k c !

E = $ 1 5 .0 0 1 - $ 5 0 .0 0 0


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N a m e o f P e r s o n R e p o r t in gi".-- Hartz, Harris L.

D a t e o f R e p o r t04/14/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D N O N E (No reportable income, assets, or transactions. )

A. B. C.Description of Assets Income during Gross value at end( includ ing trust a sse ts) reporting period of reporting period

(1) (2 ) (I) (2)Place "(X)" after each asset Am ou nt Ty pe (e.g., V a lu e V a lu e

exempt from prior disclosure C o de I div., rent, Co de 2 M ethod(A-H) o r i n t . ) ( J - P ) C o de 3(Q-W)

52 . - M o r g a n S t a n l e y B a n k A c c t53 . - M o r g a n S t a n l e y C P I / C o m m o d i t y n o t e54 . - - A C S D X55. A n nuity B Interest K T56 . - IN G VP In ter Bond Po r t fo l io57 . Alls ta te Li fe I n s . Co. an n u i ty B Interest K T58 . CM Li fe I n s . Po l i cy B Interest L T59 . MO NY Li fe I n s . Po l i cy A D i v i d e n d K T60 . T E T S X N o n e M T61. E V GFX N o n e J T62 . O P P A X A D i v i d e n d L T63 . SCINX A Divid en d K T64. A M O AX ** N o n e J T65 . D I V B X A Divid en d J T66 . M o r g a n S t a n le y B a n k A c c t A Interest J T


O) (2) (3)Type (e.g., D a t e V a l u e

buy , s e l l , m m / d d / y y C o d e 2r e d e m p t i o n ) (J-P)

(4 ) (5 )Gai n I d e n t i t y o f

Code I b u y e r / s e l l e r( A - H ) ( i f p r iva te

t r a n s a c t i o n )

I. In co m e Gain C od es : A -$ 1,000 o r less B = $1.001 - $2,500 C = $2,5 01 - $5 ,000(see Co lumns B I and IM ) F -$50.001 - $ I 0~.000 G =$ 100.001 - $1.0(~.0~ H 1 =$ 1.000.0~ I - $5.000.0(~

2 . Va lu e C od e s J -$15,000 or less K -$15,001 - $50,000 L = $50,001 - $ 100,000(See Co lumns CI and D3) N =$250.001 - $500.000 O = $5 00.0 01 - $ 1,0 00,0 00 P I = $1 .0 00 ,00 1 - $5 ,00 0. 000

P3 =$25.000.001 - $50.000.000 P4 =Mo re than $50,000,0003. Value Method Codes Q = A p p r a i ~ a l R =Cost (Real Estale Only) S = A s s e s s m e n t(See Co lumn C2) U = Book Va lu e V - O ~ h c r W = Es t im a te d

D = $5.001 - $15.000H2 =More thanM =$ 100.001 - $250.0~0P2 =$5.090.001 - $25.0~0.000T = C a s h M a rk e t

E =$15,001


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N a m e o f P e r s o n R e p o r l i n g

i ii Harl~,HarrisL.

D a t e o f R e p o r t04/14/2011

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS. a.dlco,opo, of report.)* L i n e l I :J A N S X w a s c o n v e r t e d t o J A N D X o n 2 / 1 2 / 1 0* * L i n e 6 4 : A M O B X w a s c o n v e r t e d to A M O A X o n 2 / 2 7 / 0 9Lin es 63 an d 6 4 of 2009 repor t : I d i s covered in 2011 tha t I had n o t been the own e r of these pol i c i es , bu t was on ly t ru s tee theya r e n o l o n g e r m i n o r s .


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Name of Person Report ing50162-Har tz , Har r is L.

Date of Report04/14/2011

IX. CERTIFICATION.I c e r t i f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i s

a c c u r a t e , t ru e , a n d c o m p l e t e to t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s ~ v i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp r o v i s i o n s p e r m i t t in g n o n - d i s c l o s u r e .1 f u r t h e r c e rt i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s io n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signatu re: S/Harris L. -Hartz

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A L L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

Co m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t iv e O f f i c e o f t h e U n i t e d S t a t e s Co u r t sSui te 2-301O n e Co l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

harris l hartz financial disclosure report for 2010

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