Roy.

J/20tO

An t0

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization U.S. Court of Appeals fo~ the Federal Circuit 5a. Report Type (check appropriate type) [] Nomination, [] Initial Date [] Annual [] Final

Report Required ~y the Ethics

in Government Act of 1978

0 v.sc. ~p~. 1Ol-111)

3. Date of Report 07/15/2010 6. Reporting Period 01/01/2009 to

!. Person Reporting (last uam~, first, middle initial) Gajarsa, Arthur J. 4. Title (A~ticlc Ill judges [ndicatc active or scnior status; magistrate judges indicate full- or pan-time) U.S. Appeals Judge- Active

12/31/2009

5b. [] Amended Report 7. Chambers or Office Address 717 Madison Place. N.W. Washingion, D.C. 20439 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

IMPORTANT NO TES: 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. POSITIONS. ~,,o,~;,,~ individual only; see pV, 9-13 o.ffitlng ins,factions.)

~-~ NONE (No reportable positions.)

POSITION
I. Board of Trustees

NAME OF ORGANIZATION/ENTITY
Rensselaer Institute

2. Board of Visitors

Georgetown Universi .ty

4.

~-)

~.~-.

11. AG~EMENTS. (Repo~ing indivldual only; so.pp. 1~16 of f!ling instructions,)

NONE r?~o reportable agreemems.) DATE
I.

PAR~E~ A~ TERMS

FINANCIAL DISCLOSURE REPORT Page 2 of 12

Name of Person Reporting i Gajarsa, Arthur J.

Date of Report

07/15/2010

III. NON-INVESTMENT INCOME. eRepon~g individual and spouse; xee pp. 17-24 of filing instructivm.)
A. Filers Non-Investment Income
NONE (No reportable non-investment income.) DATE SOURCE AND TYPE ~ (yours, no! spouses) $7,700.00

I. 2009

PRESIDENT & DIRECTORS OF GEORGETOWN COLLEGE. FOR GEORGETOWN UNIVERSITY - W-2 WAGES

2. 3. 4.

B. Spouses Non-Investment Income - tf yo. were married during any portion of the reporting year, complete this section. (Dollar amount not required excepr for honororia.}

[] NONE (No reportable non-investment income.) DATE

1. 2. 3. 4.

SOLrP~CE AND TYPE

IV. REIMBURSEMENTS -,.,,.~~,o.ano,,, Iod~, y~,od, e.,..ai ..... ~

(h~chtdes those to spoz se ~ nd dependent children," see pp. 25-27 ol~/iling instr~ctions.)

NONE (No reportable reimbursements,)

~ DATES 0312712009 LOCATION NEW YORK, NY pURPOSE PANELIST ITEMS PAID OR PROVIDED TRANSPORTATION, MEALS

t.

NEW YORK INTEI.I.ECTUAL PROPERTY LAW ASSOCIATION FEDERAL CIRCUIT BAR ASSOCIATION WORLD RESEARCH GROUP STATE BAR OF GEORGIA

2.

06/|8/09 -06/20/09

WHITE SULPHUR SPRINGS, WV NEW YORK, NY

PANELIST

TILa.NSPORTATION, MEALS, LODGING TRANSPORTATION. ,xIEALS~ LODGING TRANSPORTATION, MEALS, LODGING

3,

07/28/09 - 07/29/09

KEYNOTE SPEAKER

4~

I 1/11/09 - 1 !!15/09

SANTO DOMING-O, D.R.

PANELIST

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 12

Name of Person Reporting

Date of Repot

Gajarsa, Arthur J.

07/15/2010

NONE (No reportable gifts.)

SO~CE

DESCRIPTION

VALUE

2. 3. 4.

~
1.

N ONE (No reportable liabilities.)

CREDITOR MORGAN STANt.~Y SMITH BARNEY DESCRIPTION PORTFOLIO CREDIT LINE VALUE CODE M

2. 3. 4.

FINANCIAL DISCLOSURE REPORT

N~m~ of Perso,~ aapo.log

~.,~ of Repo,-I

Page 4 of 12

Gajarsa, Arthur J.

07/15/2010

VII. INVESTMENTS and TRUSTS -~c~m~v~u~transactio~an~udest~seo~o~e~nddependen~chi~dr~;~eepp.34-6~mnginstru~ti~n~)

NONE (No reportable income, assets, or transactions,) Description of A~ts (including t~st ~sets) Place "(X)" a~er each ~set exempl/~om prior disclosure Income during repo~ ng pefi~ O) ~ (2) Amount ] T~ (e.g., Code I I div., renk (A-H) or int.) G~oss value ar end ~ of reposing p~i~ (t) (2) (0 V alue Value T~e (e.g., Method I buy, sell, ~ Code 2 i (J-P) Code 3 / redempl on) T~nsactions during reposing period (2) (3) (4) Gain ~ Date ~ Value ~ mmld~ Code 2 Cede 1 ~ (J-P) (A-H) ~ ~ (5) Identt~ of buyer/seller (if private

I. 2. 3. 4. 5. 6. 7. 8. 9. 10. ti. 12. ~3. 14. 15. !6.

COIN COLLECTION BANK OF AMERICA ~OCKVWOLD DEEPHAVEN CAMPS SPECIAL SITUATIONS LIFE SCIENCES FUND LP ORTEC THERAPEUTICS INC CHASE PACKAGING CORP TEX EAGLE BANCORP INC MD HOLOGIC INC INSU LET COI(P cONSOLIDATED EDISON FEDERAL REALTY INVESTMENT TRUST NSTAR UDR INC UNIVERSAL HEALTH REALTY INCOME TRUST MASSMUTUAL CORP(~RATE INVESTORS MASS MUTUAL PARTICIPATION INVS C B B A D D D A A B

None lnt~t Dividend lnt./Div. None None None None None Dividend Dividend Dividend Divideod Dividend Dividend Dividend None

L K K M K K K J L L

W T T U T T T T T T Sold 09/01/09: K E i Redeemed (part) 12/31/09 M

K K M L M M

T T T T T T

17. EAION VANCE GREATER INDIA FUNU

FINANCIAL DISCLOSURE REPORT Page 5 of 12

[~ ....fee,~n~ aepo.t~ t Gajarsa, ArthurJ.

~ o~po,~ 07/15/2010

VII. INVESTMENTS and TRUSTS ~inc~me~va~ue~transa~ti~ns(~nc~u~esth~se~fsp~.eandd~pndentchi~dren~seepp.34-6~of~inginstructi~n~)

NONE (No reportable income, assets, or transactions..) i Description of Assets (including trust assets) Place"iX)" after each assel exempt from prior disclosure ; 18. ! 19. i 20. I 2t. 22. i 23. .1 i 24. !! 25. 26. 27. 28. 29 30. 31. 32. [ 33. 34. C1TI CORP TRUST BANK"ACCOUNT" CITIBANK NA SOUTH DAKOTA I~NK DEPO PRGM "ACCOIJNT" ANA DIGICS INC APPLE INC- LONG CALL EXP 01/17/09" COP, NING INC EASTMAN KODAK CALLS LT OPTI()N EXP 1117/09 ENERGY" CONVERSION DEVICES INC NATIONSHEALTH iNC RUMSON-FAIR I1AVEN BK & TRUST CO TGC INDUSTRIES INC POWERSHARES EXCHANGE - TRADED FD CPI CAPITAL NORTH AMERICA SER A CAPITOl. PRIVATE OPP LP CAPITOL PRIVATE OPP LP CAPITOk PRIVATE OPP LP CALL JUNIPER NETWORKS MAY 09 CALL JUNIPER NETWORKS MAY 09 C A A [ i Income during reporting period Gross value at end , of reporting period Value Code 2 (.I-P) i Value Method Code 3 ~ Type (e.g., buy, sell. redemption) Transactions doting reporting period

!Amount i Type (e.g., I;! Code t :i div., rent, ! (A-H) or int.) !" [ A A Interest Interest None None Dividend None None None None None Dividend None lnt./Div. None None None None

Value : Gain i Date I m~:dd/yy i C~de 2 i Code ~ ! ! (JP) i (A-H)

Identity of bayer/seller (if private transaction)

J K

T T Sold 0.1/21/09

K.

T Sold Sold Sold i01/21/09 12/28/09 07/17/09 J J J

K L J L M

T T T T T Buy (addl) 06/22/09 J J Sold (part) 05/18/09 K

02/!7109 Buy (addl) Buy (add!)

,,,] 04/01109 K

08/11/09 K Buy {addl) Buy Sold 04/29/09 05/06/09 J B

I. Income Gain Codes:

A =$1.000 u~ less

B ~$1.001 - $2,500

C =S2,501 - $5,000

D =SS,gOl - S 15,009

E =SIS,U01 - $50~O00

FINANCIAL DISCLOSURE REPORT Page 6 of 1 2

Name of Pe .... Reporting

Date of Report

aai~rsa, Arthur J.

07/15/2010

VII. INVESTMENTS and TRUSTS - ~om .... t~e, transactions (Includes thoae of spo ..... d dependent children; see pp. 3~60 ~f f!ling
NONE (No reportable income, ~sets, or transactions.)
Description of As~ (~neluding trust ~s~) Pl~e "(X)" afi~ each asset exempt from pr~or d sc o~re ~ Income during reporting peri~ Gross value at end of rcpoaing peri~ Value Method C~e3 T~ns~tlons during reposing period [ ~ Ty~(e.g., ~ buy, se[ , redempaon) .~ Date Value ~ Gain :m~d~i~, ~ Code _~ Code I [ ~: (J-P) : (A-H) ldenti~of buyer/se er (ifprivate

[AmouatI Type(e.g., ,~ Code 1[~ d v., rent, (A-H) orim.)

Value ~ Code 2 ~ O-P)

~. _~ ................... :~ ........................ : .......... ~ ................................. 35. 36. 37. 38, 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51. CALL S~APTICS APRIL 09 CALL SYNAPTICS APRIL 09 CALL VALUECLICK MAY 09 CALL VALUECLICK MAY 09 MORGAN STANLEY SMITH BARNEY IRA -20-12 ..... - CITI BANK NA BANK DEPOSIT PROGRAM "ACCOUNT" -CITIBANK NA SOUTH DAKOTA BNK DEPO PRGM "ACCOUNT" - BANK~OF AMERICA CORP MORGAN STANLEY SMITH BARNEY IRA - 80-16 - cIrlBANK NA BANK DEPOSIT PROGRAM "ACCOUNT" -CITIBANKNA SOUTH DAKOTA BNK DEPO PR(3M "ACCOUNT" -DIANA SHIPPING INC - ANADIGICS INC -C11ASE PACKAGIN{3 CORP TEX - ENERGY CONVERSION DEVICES INC -HEALTH CARE REII" INC - INTERMEC INC E Int./Div. L T Closed Closed Transferred (to line 77) Transferred (to line 72~ Transferred (to line 76) Transferred (to line 79) 10/28109 10113/09 10/13/09 10/13/09 10/13/09 10/13/09 J L A None None None None Int.iDiv. .1 T Buy Sold Buy Sold 03/10/09 03/31/09 05/0t/09 05/12/09 J J J J C

Transferred 10/13/09 (to line 80) Transferred {to line 83) 10113/09!

FINANCIAL DISCLOSURE REPORT Page 7 of !2

Narae of Person Reporting

Date of Report

~ajars~, Arthur J.

07/15/2010

V1 I. INVESTMENTS and TRUSTS - ~o~,~, wl.e. transactions (Includes those of spo~e and dependent children; set pp. 34-60 of filing ins~uctio~s.)
~ NONE (No reportable income, assets, or transactions.)
Description or Asse~ {including t~s~ ~sets) Income during ] ~ r~po~ing ~fiod ~ x,[-Ti="= ....... ~ ........... ~Amo~t ~ T~e (e.g., Code I i air., rent, ~ (A-H) Brim.) i i 52. 53. 54. 55. 56. - INT~OP MEDICAL CO~ - MOTOROLA 1NC - RUMSON-FAIR HAVEN BK & TRUST CO - SOHU.COM INC .... - TGC INDUSTRIES INC j Gross value at end ~ [ of repoSing period ~ ~ value value M~th~ ] Code2 (J-P) Code 3 : , (Q-W) Transactions during repoffing

~ ................................................................~. ................~ ...........[ .................. ~; ..................................................................6T ................................................

Ptace"(X)" after each ~set exemptt~ompfiordisclosurc Type (.g,, buy, set, redemption) i[ Date Value , Gain : ~m~d&yy Cod~2 Code 1 ! (J-P) ~ (A-H) I ; 10/13/09 10/13/09 10/13/09 10/16/09 K 10/13/09 E ldemi~of buyer/sllcr (ifpfivalc ~ransaction)

T~nsfemed (to line 84) Transfe~ed (to line 88) Transfe~ed (to line 91) Sold Transferred (to line 100) Transferred 0/13/09 (to line 102) Transferred (1o line 103) Transferred (to line 87)

57. -TIME WARNER INC~EW58. 59. - UNIVERSAL HEALTH REALTY INCOME TRUST - MASS MUTUAL PARTICIPATION INVS -CVCI CAYMEN OFF ti CLA 61. 62_ 63. 64. 65. -VALE S.A. ADR (FORMERLY COMPANH1A VALE DI RIO ADR DOCE -DISCOVER FINANCIAL SERVICES -IDEARC INC -INSULET CORP -LEGG MASON INC

10/13/09 10/13/09

Transferred (to line 104) Transferred (to line 78) Transferred (to line 81) Transferred (to line 82) Transferred (to line 85) Merged 01/02/09 (with line 67) Transferred (to line 74) Sold

110/13/09 10/13/09 10/13/09 10/!3/09 10/t 3/09

66. ~MERRII,L L~."NCH & CO INC 67. -BANK OF AMERICA CORP (MERGER WITH MERRILL LYNCH)

10/13/09 05/05/09 J A

68. "-QWEST COMMUNICATIONS INTL

P3 =S25.1100.001 - $50.000.000 (See Co t mn C2) U =Book Value V ~<)ther

P4 =More than SS0.000J)00 W =Estimaled

FINANCIAL DISCLOSURE REPORT

] Name of Penon Reporting

Bate of Repol~

Page 8 of I:2

[ Gajarsa, Arthur J,

07/15/2010

N ONE (No reportable income, asset~, or transactions.)

A. Description of As~ lncom~ during C. ~ Gross value at end D. Transaction~ during rcpo~ing period

Plaee"(X)"afiercach~sc~ xemp~ ~m prior disclosure

Amount Code [ ] (A-H)

Ty~(.g., div., rent, or int.)

Value Code 2 (J-P)

~ Valu~ " Mc~hod ~ Code3

~ Type(e.g., ~ buy, sell. [ rcdcmpfion~

~ Date [ Value Gain ~ mm/d~ ~ Code 2 ~ Code I ~ (J-P) ~ (A-H)

buyeriscllcr (ifp~vam

69. 70. 71, 72. 73. 74.

-MASSMUTUAL CORPO~TE INVS INC AMERI~DE IRA -CASH INSURED DEPOSIT "ACCOUNT" -ANADIGICS INC -AOL INC (SPIN-OFF FROM TIME WARNER, INC.) -BANK OF AMERICA CORP (FORMERLY MERRILL LYNCH LINE 66) -BANKOF AMERICA CORP -CHASE PACKAGING CORPORATION CM -DIANA SHIPPING INC -DISCOVER FINL SVCS -ENERGY CONVERSION DEVICES IN -HEALTH CARE REIT FNC -IDEARC INC -INSULET COILPORATION -INTEP-dvlEC INC -INTRAOP MEDICALCORP -LEGG MASON INC D Int./Div. O T

Transfe~ed (to line 86)

10/13/09

Open

10/13,/09

Transferred 10/13/09 from line 47) Spinoff 12/1t)/09 (from line 102) Transferred I0/13/09 (from line 67) Buy (addlj 03/25/09

75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85.

Transferred ~(1113/09 (from line 48) Transferred 10113i09 (from line 46) Transferred t01i3/09 (from line 62) Transferred 10/13/09 (from line 49) Transferred 10113/09 (from line 50) Trar~stk~rred 10/13/09 (from line 63) fransf~zrred 10/!3/09 (from line 64) Transterred 10.;t3/09 (from line 51) Transferred 10/13/09 (from line 52) Trans[erred 10/13/09 (from line 65)

FINANCIAL DISCLOSURE REPORT Page 9 of 12

Name of Person Reporting

Date of Report

Gai~r~a, Arthur& [

07/15/2010

V I I. IN VESTMENTS and TRU S TS - income, ~J~e, #,ns~ctio,~. ana~, t~o~, of,~o~~ ~d dependent children; set pp. 34-60 of filing instruction.)
NONE (No reportable income, assets, or transactions.) A. Description of Ass~ {including trust ~sets} Place"(X)" after each asset exempt from prior disclosure [ Income during ~ reporting period (2) ~ (0 ~Amount [ Type (e.g., ] Code I ~ div.,mnt, (A-tt) [ or int.)
: .

C. ~ Gross value at end ~ offending period 0) (2) [ (0 Value Value Type (e.g. C~e2 Meth~ [ buy, sell, (J-P) Code3 ~ redemption)
(Q-W) [

.D Transactions during r~poning piod (2) ~ Date I Value I Gain mmid~yy [ Code2 ~ Code ~ (A-H) [ (J-P)

dent tyof buy~/sellgr (if prigate transactiont

86. 87, 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98.

-MASSMUTUALCORPORATE INVS IN -MASSMUTUALPARTICIPATION [NV SH BEN INT -MOTOROLA INC -ROSETTA STONE, INC -ROSE~A STONE, 1NC -RUMSON-FAIR HAVEN BANK & TRUST -STEC INC -STEC INC -STEC INC -STEC INC -STEC INC -STEC INC -STEC INC Buy

Tmnsfe~ed 10/13/09 (from line 69) Transfe~ed 10/13/09 (from line 59) Transfe~ed 10/13/09 (from line 53) Buy Buy (addl) Transfe~ed (from line 54) Buy Buy Buy (~ddl) Buy ~addl) Buy (addl) Buy (addl) Buy (add~) 11/06/09 (addl) Trans~ed 10/13/09 (from line 56) Spinoff 03/17/09 from Line 102) Transfe~ed 10;13/09 (from Line 57) J 09/02/09 09/]4/09 09/!8/09 09,~1/09 10/19/09 10/28/09 I 1/04/09 J J J J J 05/06/09 K 05713/{)9 J

99. -STEC INC 100. -TGC INDS INC t0f. -TIME WARNER CABLE ]NC 102. -TIME WARNER INC

FINANCIAL DISCLOSURE REPORT Page 10 of 12

N~,e of Pe,son Repot"rig

G~jarsa, Arthur J,

D~te of Report
07/15/2010

VII. INVESTMENTS and TRUSTS -inc~m~va~uetrans~cti~ns(~nc~udes~h~se~f~p~weanddependenthi~dren;~eepp34-6~f~lingin~r~ca~)

~-~ NO~ ~o reportable income, assets, or transactions.)
......................................................................A. :~] ......................... B. ~ .................................................................................................................... C. D. D~scription of Ass~ I Income during Gross wduo at end T~nsacfions during (including ~st assets) ] reporting peri~ ~ ofroponing peri~ Place "(X)" after each ~sc~ exempt from prio, disclosure ]Amotmt [ Type (e.g.. Value ~ Code ~ I~ div., ~m, ~ Code 2 (A-H) ~ orint.) ~ (J-P) [ Value i Me,h~ ] Code3 ~ T~e ~e.g., [ buy, sell, :,mm/dd/~ ] C~e 2 Code [ redemption)

buver/sciter

; J ........ .............................................. .......... 103. -~IVERSAL HEALTH ~AL~ INCM T S1t 8~ INT Transferal

(from line 58) Translated 10/13/09 Ifrom line

104. -VALE S,A. ADR 105.

FINANCIAL DISCLOSURE REPORT Page 11 of 12

Name of Perso~t Reporting

Date of Report 07/15/2010

[ Gajarsa, Arthur J.

VIII. ADDITIONAL INFORMA~ON OR EXPLANATIONS.

LINES 18 IS A CASH EQUIVALENT FUND WITHIN MORGAN STANLEY SMI~I BARNEY. CASH IS MOVED INTO AND OUT OF THIS FUND IN A MANNER SIMILAR TO A BANK ACCOUNT. AT IZ;31/2009 THE~ WERE NO FUNDS 1N ~tlS ACCOUNT, BUT THE ACCOUNT REMA~S AVAILABLE. MOTOROLA INC ~ 2008 FDR LINES 34 AND 35 ~E~RTED PARTIAL SALES IN 2008, WITH THE COMBINED AMOUNT RESULTING IN A COMPLETE DISPOSITION OF THIS STOCK IN 2008. C1TtCO~ TRUST BANK, FSB (CASH EQUIVILANT) (2008 LINE 64) WAS DISPOSED OF ~ 2008 AND DOES NOT APPEAR ON THE 2009 FDR. LINES 43 AND 70 - ALL SECURITIES FROM THE MORGAN STANLEY SMITH BAKNEY (MSSB) IRA 80-16 (EXCEPT FOR CVCI CAYMEN OFF I1 CLA-L1NE 60) WE~ T~NSFERRED INTO THE AMERIT~DE IRA ACCOUNT ON 10,"13!2009. THE CASH WAS ALSO TRANSFE~ED BY CLOSING THE MSSB ACCOUNT BALANCES (LINES ~ AND 45) AND OPENING A CASH ACCOUNT WITHIN THE AMERITRADE IRA (LINE 7 I.) LINES 66, 67 AND 74 - MERRILL LYNCtt WAS MERGED INTO BANK OF AMERICA ON 11~2009. BANK OF AMERICA STOCK WAS RECEIVED IN EXCHANGE FOR THE MERRILL L~CH STOCK. THE BANK OF AMERICA STOCK WAS THEN TRANSFERRED FROM THE MSSB IRA 80-I 6 INTO THE AMERITI~DE II~ ON I 0/I 3/2009.

FINA~NCIAL DISCLOSURE REPORT

Page 12 of 12

N~,e of Person Reporting

Oa,e of Report 07/15/2010

Gajarsa, Arthur J.

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 bes[ 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.

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)

FILING INSTR.UCTIONS Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States Courts Suite 2-301

One Columbus Circle. N.E.

Washington, D.C. 20544