0 -:o 0 · IRA#l Arisan Mid Cap ARTMX IRA#lJanus Mid Cap Value Fund JMCVX IRA #1 Naionwide American...

Avenue, Cheyenne,

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Terrence L. O'Brien Judge, Tenth Circuit

August 14, 2006

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0:::0 """---C-:o rn _.:. < o> )>"T\l rnHonorable Ortrie D. Smith .., -.. 0

Chair, Committee on Financial Disclosure CJ U1rnJudicial Conference of the United States C) One Columbus Circle, N.E. Washington, D.C. 20544

RE: Financial Disclosure Report, CY 2003

Dear Judge Smith,

I am responding to your letter of August 10, 2006 (received today) regarding an error in my financial disclosure report for calendar year 2006. I thank the committee for its oversight review.

One item in my report was listed as deficient, requiring a response. I failed to identify the financial institution where IRA#2 money market account is held (Section VII, page 4, line 16). The account is held at TD Ameritrade (formerly TD Waterhouse).

I apologize for the error and hope this explanation is sufficient. As instructed I am sending three signed copies of this response.

'

2141 United States Courthouse, 2120 Capitol WY 82001-3633 (307) 433-2400 •!•

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PARTIES AND TERMS

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Report Required by the EthicsFINANCIAL DISCWSURE REPORT AOlO in Government Act of 1978 Rev. 112007 FOR CALENDAR YEAR 2006 (5 U.S.C. app. §§ 101-111)

1. Pers6n Reporting (last name, first, middle initial)

O'Brien, Terrence L

2. Court or Organization

Tenth Circuit

3. Date of Report

05/14/2007

4. Title (Article Ill judges indicate adive or senior status; magistrate judges indicate full- or part-time)

U.S. Circuit Judge - Active

Sa. Report Type (ch«k appropriate type)

D Nomination, Date

D Initial Annual D Final

6. Reporting Period

01/01/2006 to

12/3112006

Sb. D Amended Report

7. Chambers or Offi Address

U.S. Court of Appeals 2120 CareyAve., STE 200 Cheyenne, WY 8200 l

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

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.

J. POSITIONS. (Reporting individual only; see pp. 9-13 of instructions.)

IKJ NONE (No reportable positions.)

POSITION

I.

2.

3.

4.

NAME OF ORGANIZATION/ENTITY

, ,.,

:;:cJZrn

-ni-

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= = --'

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II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of instructions.)

IKJ NONE (No reportable agreements.)

I.

2.

3.

3.

Name of P<!rsoo Rqiorting DatufFINANCIAL DISCLOSURE REPORT

Page 2of10 O'Brien, Terrence L 05/14/2007

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of instructUms.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

SOURCE AND TYPE (yours, not spouse's)

l. 2006 State of Wyoming- Judicial Retirement $ 25,599.67

INCOME

2.

3.

4.

5.

B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required except for honoraria.)

[RJ NONE (No reportable non-investment income.)

SOURCE AND TYPE

l.

2.

4.

5.

IV. REIMBURSEMENTS - transportation, lodging, food, entertainment

(Includes those to spouse and dependent children. See pp. 25-27 qf instrnctions.)

[RJ NONE (No reportable reimbursements.)

SOURCE DESCRIPTION

l.

2.

3.

4.

5.

'

FINANCIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Page 3of10 O'Brien, Terrence L 05/14/2007

V • GIFTS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

D NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I. Air fare to Tanzania; lodging & Marian Rochelle $12,018 meals in Hawaii

2. Seasonal gifts (Birthday, Christmas, Marian Rochelle $ 600.00 etc)

3. Afiica Trip & Air fare to Hawaii April Brimmer Kunz $ 5663.00

4. Seasonal gifts (Birthday, Christmas, April Brimmer Kunz $ 900.00 etc.)

5. Airfare to Phoenix (3 trips) April Brimmer Kunz $ 786.00

VI. LIABILITIES. (Includes those of spouse and dependent children. See pp. 32-33 of instructions.)

[!] NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

2.

3.

4.

5.

FINANCIAL DISCWSURE REPORT Page4of 10

Name of Person Reporting

O'Brien, Terrence L

Date of Report

05/14/2007

VII. INVESTMENTS and TRUSTS -inCDltll!, value, transactions (Includes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)

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

l .

2.

3.

4.

5.

6.

7.

8.

9.

1 0.

11.

12.

13.

14.

15.

16 .

1 7 .

A Description of Assets (including lnlSl assds)

Plaee n{JQ" afta-cac.b asset exempt from prior disclosure

Rental Property, Park City, UT 1129 /1999 -$195,000.00

IRA#l Nationwide Templeton Foreign F\Uld TFFAX

IRA#l Artisan Mid Cap ARTMX

IRA#lJanus Mid Cap Value Fund JMCVX

IRA #1 Nationwide American Century Ultra TWUIX

IRA #1 Dreyfus Money Market Reserves

IRA#2AMZN

IRA#2 IMN

IRA #2MCRL

IRA#2 MSFT

IRA #2MMM

IRA #2NSM

IRA #2SLR

IRA#2CVX

IRA#2 TYC

IRA#2 Money Market Account

A(TDW)

1. Inoome Gain Codes: A =Sl .000 or less (See Cobmms Bl and 04) F =$50,001 • $100.000

2. ValueCodcs J =S 15.000 or less (See Columns Cl SDd DJJ N =SlS<l.00 l • $500.000

B. c. D. Income during Gross vlllue at aid of ; Transactions during tqlOlling period

reporting period rq:xirting period .

- -m--·-6) . ···- ..... ·11)- - ---r2)---- ... - --(i)----·---i2i- ·--. !J) ____ <4> . ---- -(5>-Amouot . Type (e.g. Value Value Type (e.g. Dim: Value Gain Identity of Code I div .• n:ut. Code 2 Method buy. sell, Month - Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day tJ-P) (A-H) (if private

E Rent

A Distribution K

A Dividend K

A Dividend K

A Distribution K

A Distribution J

A Dividend J

A Dividend J

A Dividend J

A Dividend J

A Dividend J

A Dividend J

A Dividend J

A Dividend J

A Dividend J

A Interest J

A Dividend J

B =Sl.001 - $2.500

G=SI00.001 - Sl,000.000

l:>SJS.001 -$50.000

0=$500.00l - $1.000.000

(Q-W) transaction)

T Sell 12/27 N G

T

T

T

T

T

T

T

T

T

T

T

T

T

T

T

T

c =$2.501 • ss.ooo D =$5,001 - $15.000 E =$15,001 - $50,000 m =S 1.000.001 • ss,000.000 ll2 =M than $5,000,000 L =$50,001- $100,000 M =$100.001- $250,000 Pl =Sl.000.001 • $5.000.000 P2 =$5.000,001 • $25,000,000

3. Value Mc:thod Codes P3 25.000,001 - SS0.000.000 R -Casi (Real Estm Only) P4 =More lhan SS0.000,000 T =Cash Market (Sec Column C2) Q=Apprajsal v =<l!he. s =Assessment

U=llool<Value w =Estimah:d

FINANCIAL DISCLOSURE REPORT

Page 5of10


O'Brien, Terrence L

Date of Report

05/14/2007

VII. INVESTMENTS and TRUSTS -income, vallle, transactilms (Includes those of the spouse and dependent children. See pp. 34-6{) of filing instructions.)


A. Descrij:tion of Assets (including tmst assets l

Place "(X)" aftl:reach t exempt lion prior disclOSllJ"C

B. c lncame during Gross value at end of

reporting period reporting period

----io _____ <2> --,----m--- <2-i -------i"ii Amounl Qxlel (A-H)

Type (e.g. div rem.

Ol"inL)

Value Code2 (J-P)

Value Method Code3

(Q-W)

Type (e.g. buy,.seJI. redrmption)

D.

Transactions during reporting period

-· --- --- ----·----------·-----------------(2) (3) (4)

Date Value Gain Month- Code2 Code I Day (J-P) (A-H)

(5) Identity of buyec/seller (if private transaction}

··--- .... ... ··---- --· -----·---- ·- -----------·-··-- ---------- - ---------- ----------18. AMX A Dividend J T

19. BIIB A Dividend J T

20. BMY A Dividend J T

21. csco A Dividend J T

22. CAG A Dividend J T

23. DPHIQ A Dividend J T

24. FDX A Dividend K T

25. GE A Dividend J T

26. GLW A Dividend K T

27. GM A Dividend J T

28. GT A Dividend J T

29. HPQ A Dividend J T

30. lNTC A Dividend K T

31. MSFT A Dividend K T

32. MIPS A Dividend J T

33. PG A Dividend K T

34. RTNwasRTNA A Dividend J T Symbol Chang See 2005 line 34

I. Income Gain Codes: A =$1,000 OT less B =$1,001 - $2,500 c =$2,501 - $5,000 D=$5.00l -$15,000 E=$l 5,001 -$50,000

(See Columns Bl and D4) F=$50,001-SIOO,OOO G=SI00,001 -$1.000,000 HI =$1.000,001 -$5,000,000 H2 =Mott !ban $5,000,000

2. Value Codes J =SIS,000 IYf less K =$15,001 - $50,000 L=$50,001 - $100,000 M =$100,001 - $250,000

(See Columns Cl and D3) N =$250,001 -$500,000 0 =$500,001 - $1,000.000 Pl =Sl.000.001 - $5,000,000 P2 =$5,000,001 -$25,000,000

3. Value Method Codes PJ =$25,000.001 • $50.000,000 R =OlSt <Rilal Estat<: Only) P4 =More than $50,000,000 T ;(:ash Mmke1 (See Column C2) Q =Appraisal v =Other s =Assessment

U=BookValue w =Estimated


Page6of10


O'Brien. Terrence L

Date of Report

05/14/2007

VII. INVESTMENTS and TRUSTS - income, value, transactions (Inchldes those of the spouse and dependent children. See pp. 34-60 of filing instructions.)


35.

36.

37.

38.

39.

40.

41.

42.

43.

44.

45.

46.

47.

48.

49.

50.

51.

A Description of Assets (including nust ass cu)

Place "{X)" after each asset exempt from prior disclosure

TMX

WMB

VRGY

WPJGX

CMFUZ Money Mkt Acct

T Rowe Price Science PRSCX

Focus Growth AMO AX was GRT AX

MS Information Fund IFOAX

MS Capital Opportunity Trust A CPO AX

MS Capital Opportunity Trust B CPO BX

MS Pacific Growth Fund A TGRAX

VRGY

A (Fidelity)

BRKB

BKH

FSLB

HOG was HD!

I. Income Gain Codes: A=$1,000orles>

(See ColUllllls Bl and ) F =$50,001 - $100,000 2. Value Codes l =$15.000 or less

(See Columns Cl and 03) N =$250,001 -$500.000

B. c. Income during Gross value at end of

repotting period reporting period

D. Transactions during reporting period

--11>·---- 12)··--· ---·r1y·-. ·--(2>·--·- --<1i-- -------------------·· ···· ·-·-···-··-·

(2) (3) (4) (S) Amwnt . Type(e.g. Code I div_ rent, (A-H) Qr int.)

A Dividend

A Dividend

A Dividend

A Dividend

A Interest

A Dividend

A Distribution

A Dividend

A Distribution

A Distribution

A Distribution

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

B =$1.001 -$2,500

Value Code2 (J-P)

J

J

J

J

J

J

K

J

J

J

K

J

J

J

K

K

G =$100,001 • $1,000.000

K=S\5.001-$50,000

0 =$500,001 - $1.000.000

Value Method Codc3 (Q-W)

Type (e.g. buy. sell. redemption)

Date Month-Day

Value Cooe2 (J-P)

Gain Identity of Code 1 buyer/seller (A-H) (if private

transaction)

---- --··----- --- . . -- ------------------"------- ·-· --------

T

T

T Spino ff 11102 J A from Agilent (A)

T

T

T

T Class Exch 10/20 K A was GRTAX

T

T

T

T

T Spino ff 11/01 J A from Agilent (A)

T

T

T

Sold 12/04 J A

T Name Change

C =S2.501 - SS.000 D =$5,001 -$15.000 E=$15,00I • $50,000

m =s1.ooo,001 • S5.ooo.ooo 112 =More than ss.000.000

L =$50,00 I - S l 00,000 M =$100.001 -$250.000

Pl =$1,000.001 -$5.000.000 P2 =$5.000.001 • $25,000,000

3. Value Method Codes P3 =$25.000,001 • $50,000,000 R =Coot (Real F.slate Ooly) P4 =More than $50.000,000 T -<.:ash Marl<et

(See Co!Ulllll C2) Q =Appraisal v =-Other S=Ass=menl

U =Bool<Value w =Estimated


Page 7of10


O'Brien. Terrence L

Date of Report

05/14/2007

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of the spouse and dependent children. see PP· 3uo of filing instructions.;


A Description of Assets (including trust assets)

Place "(X)" after each asset

exempt from prior disclosure

B. c. Income during Gross value at end of

reporting period reporting period ----·--------·------" ----

(1) (2) (I) (2) Amount . Type (e.g. Code I div., rent,

(A-H) or int)

Value Code2

(J-P)

Value Method Code3

(Q-W)

(I) Type (e.g. bny,seJL tt.demprion)

D.

Transactions during reporting period

(2) Date Mo:othDay

(3) Value Code2 (J-P)

(4) Gain Code I (A-H)

(5) Identity of buyer/seller (if private transaction)

·-·- ----- ---- ------------- ----- ------- -------- -- -------------"--------�--------- --- ----------·----------------�--- -- --- - ------------�---- --- - - ----------------- ----·

52. JDSU A Dividend Sold 03/20 J A

53. MHS A Dividend Sold 3/20 J A

54. MRK A Dividend J T

55. MSFT (Fidelity) A Dividend J T

56. MOT A Dividend J T

57. SPI A Dividend K T

58. TXN A Dividend J T

59. WFC A Dividend K T

60. YUM A Dividend J T

61. FCNTX A Dividend J T

62. FHIGX A Dividend L T

63. FMAGX A Dividend M T

64. FTEXX Money Mkt Acct A Interest L T

65. Indiana State Def Fin auth Wtr Fae Am A Interest Redeemed 12101 J A Water Project Bonds

66. PTHAX A Interest J T

67. VKMHX A Interest J T

68. EDJ Money Mkt Acct A Interest K T

I. Income Gain Codes: A =$1,000 <>< less B =Sl,001 - $2,500 c =$2,501 - ss.ooo D =$5,001 • Sl5,000 E =$15,001 - $50,000

(See Columns Bl and D4) F =S5D,001- S!OD.000 G =$100,001 - Sl.000,000 HI =$1.000.00l - SS,000.000 H2 =More than $5.000,000

2. Value Codes l =$15,000 or less K=Sl5.00! -S50,000 L =$50,001 - $100,000 M =$ l 00,001 - $250.000

(Se<> Columns Cl and D3) N =$250.001 • $500,000 0=$500,001-Sl.OOO,OOO Pl =$1,000.001 - $5,000.000 Pl =$5.000.001 - $25.000,000

3. Value Method Codes P3 =$25,000.001 -$50.000.000 R =C-Oot (Real Estate Only) P4 =MD<C than SS0,000.000 T =Cash Markel

(See Column C2) Q =Appraisal V=-Other s =Assessmcru

U =Book. Value W =Estimated

FINANCIAL DISCLOSURE REPORT Page 8of10


O'Brien, Terrence L

Date of Report

05/14/2007

VII. INVESTMENTS and TRUSTS - income, value, transactions (lnclulks those of the spouse and dependent children. See PP• 34-60 of filing instructions.)


69.

70.

71.

72.

73.

74.

75.

76 .

77.

78.

A. Description CJf Assets (including lJU.sl -m)

Place "(X)" a.Iler cach asset eumpt from prior disclooure

PFL Annuity #1

PFL Annuity #2

PFL Annuity #3

Checking Gillettete, WY

Savings Gillette, WY

Checking - Parle City, Utah

Checking#2

Savings#2

US Coins

U.S. Bonds

I. Income Gain Codes: A =$1,000 or less (Sec Columns Bl and D4) F =$50,001 • $100.000

2. Value Codes J =Sl5,000or1 ...

(Sec Cohnnns Cl and D3) N =$250,001 - $500,000

B. c. D. Income durillg Gross value at end of Transactions during n:poiting period

reporting period reporting period ffj-- -- -,2)-- _ _ _ ,_ -{ij--�-(2)--------(i_

)

_____ ,_(2)' ------(Jl _____ '(4)"- -- ----- -- (5)

Amount . Type (e.g. Value Value Type (e.g. Date Value Gain Idenlily of Code I div., rent.

. {A-H) or int) Code 2 Method buy. sell, Momh- Code 2 Code l buyer/seller

A

A

A

A

B

A

A

A

A

(J-P) Code3 redemption) Day {J-P) (A-H) (if private

Interest K

Interest K

Interest K

Interest K

Interest M

Interest J

Interest K

Interest M

None J

Interest J

B=Sl.001- $2.500

G =S 100,00 I -S 1.000.000

K =$15,001 -$50.000

O =$500.001 -Sl.000.000

(Q-W) transaction)

T

T

T

T

T

T

T

T

T

T

c �501 - $5.000 D=SS,001-$15,000 E=$15,00I -SS0,000

Hl =$1,000.001 • $5,000,000 Ill =More than $5,000.000

L=$50,001 • $100,000 M =$100.001 - $250.000

Pl =$1.000.001 - $5,000,000 P2 =$5,000 ,00 I - $25.000,000

3. Value Method Codes P3 =$25,000,001 -SS0.000.000 R =Coot (Real Estate Only) P4 =More than $50.000,000 T =Cash Matket

(See Column C2) Q=Appmisal v =01l>cr S =Assessment

U=BookValue W=Estimatcd


Page 9of10


O'Brien. Terrence L

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofReport.)

Date of Report

05/14/2007

. '


Page lOof 10

IX. CERTIFICATION.


O'Brien. Terrence L

I certify that all information given above (including information pertaining to my spouse and minor or dependent children. if any) is

Dat.e of Report

05/14/2007

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-diselosure.

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 INSTRUCTIONS

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

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