A0 to FINANCIAL DISCLOSURE REPORT Report Required [Jr/116 Ethics
Rev_ 1/20l5 in Government Act ofl978

 

 

 

 

 

FOR CALENDAR YEAR 2015 (5 use. app. 101?111)
1. Person Reporting (last name, ?rst, middle initial) 2. Court or Organization 3. Date 01' Report
Roberts. John G. Supreme Court of the US. 05/10/2016
4. Title (Article judges indicate active or senior status; Sa. Report Type (check appropriate type) 6. Reporting Period
magistlatejudges indicate full? 01? pail-time)
Nomination Date 01/01/2015
Chief'lusuce Initial Annual Final ?1
12/31/2015
5b. Amended Repo?

 

 

 

7. Chambers or Of?ce Address

One First Street, NE
Washington, DC 20543

 

IMPOR AN 0 ES The instructions accompanying this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information.

 

 

 

1. PS. (Reporting individual only; see pp. 9-13 of?ling instructions.)
NONE (N0 reportable positions.)

POSITION 

 

 

 

 

 

 

II.  (Reporting individual only; see pp. l4?l6 of ?ling instructions. 
NONE (N0 reportable agreements.)

DATE BALE IES AND IERMS

 

 

 

 

FINANCIAL DISCLOSURE REPORT ReP?r*??g Date of Report
Page 2 Of  Roberts, John G. 05/10/2016

 

 

 

 

(Reporting individual and Spouse; see pp. 17-24 of?iing instructions.)

A. Filer's Non-Investment Income

NONE (No reportable non-investment income.)

 

 

 

ME SOURCE AND TYPE INCOME
(yours, not spouse's)
1. 07/7-16/15 University ofTokyo $13,559.11
2.
3.
4.

 

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

(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)

 

 

 

SOURCE AND TYPE
1. 2015 Major, Lindsey Africa, LLC -- Attorney Search Consultants
2.
3.
4.

 

IV.  transportation, lodging, food, entertainment.

(Includes those to spouse and dependent children: see pp. 25?27 of?iing inm-uctions.)

NONE (No reportable reimbursements.)

SOURCE DATES CATION PURPOSE ITEMS PAID OR PROVIDED

I. University of Tokyo, Japan 07/7-16/15 Tokyo, Japan Taught course on The US. Air transportation, meals, and lodging
Supreme Court - Historical
Perspective

 

 

 

 

 

 

FINANCIAL DISCLOSURE REPORT Pm? Dale 01? ?er-rm
Page 3 Of  Ruhcl?tS. John (L U?nmzom

 

 

 

 

V. TS. (Includes those to spouse and dependent children; see pp. 

NONE (N0 reportable gifts.)

 

 

 

 

 

SOURCE DESCRIPTION 

1 .

2.

3.

I11

5.

VI.  (Includes those afspouse and dependent children,- seepp. 32-35 of ?ling imlrucriansJ
NONE (N0 reportable liabilities.)

CREDITOR DESCRIPTIOH cgm;

 

 

 

 

 

 

FINANCIAL DISCLOSURE REPORT Name Rewr?n?a? Date ofRepnrt
Page 4 of 10 R0berts,John G. 05/10/2016

 

 

 

 

VII.  and  income, value, transactions (Includes those of spouse 0an dependent children; see pp. 34-60 of filing instructions.)

NONE (N0 reportable income, assets, or transactions.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

A. B. C. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting petiod of reporting period
I (2) (I) (2) (2) (3) (4) (5)
Place after each asset Amount Type (cg, Value Value Type (e g, Date Value Gain Identity of
exempt from (1156105er COde div., rent, Code 2 Method buy, sell, mnv?dd/yy Code 2 Code 1 buyer/seller
(MD or int.) (J-P) Code 3 redemption) (J-P) (ifprivate
I (Q-W) transaction)
1. Time Warner Inc. New TWX Dividend 
2. Hewlett-Packard (Common) HPQ A Dividend 
3. Hillenbrand (Common) HI A Dividend 
4. Hill-Rom Holdings, Inc. HRC A Dividend 
5. Microsoft (Common) MSFT Dividend 
6. Nokia (Common) NOK A Dividend 
7. Lam Research LRCX A Dividend 
8. Texas Instruments (Common) TXN Dividend 
9. TMO (Common) A Dividend 
10. Sirius XM Radio (Common) None 
11. Am Cent Gr Fund Dividend 
12. Putnam Multi?Cap Growth Fund None 
13. Putnam Voyager Fund None 
14, Vanguard lnt'l Gr Fund VWILX Dividend 
15. Vanguard Sm Cap Index Fund VSMAX Dividend Sold 01/09/15 A
(part)
16. Sold 04/10/15 A
(part)
17. Sold 07/10/15 A
(part)
1 Income Gain Codes: A or less =5 I - $2.500 252.501 - $5.000 =55_00  515.000 :5 15.001 - 550.000
(See Columns BI and D4) 2550.001 - 3100.000 =$100.00  - 31.000000 Ill :51 .000.001 55.000.000 =More than 55.000000
2_ Value Codes =5 5.000 or less =$15.001 - 550.000 2550.001 - 5100.000 =$100.00  - $250000
(Sec Columns Cl and D3) 233250.001 - 5500.000 0 =$500.00[ - 31.000.000 Pl :$l.000.001 - 35.000.000 1?2 - 325.000.1100
1'3 =$25.000.001 550.000.000 P4 =M0re than 550.000.0011
3 Value Method Codes :Appraism =Cost (Real Estate Only) 3 =Cnsh Mnrkel

(Sec Column C2) and: Value =Othcr =Eslimated

 

FINANCIAL DISCLOSURE REPORT ?we ?Perm? ?mm? Date of Report
Page 5 Of  Roberts, John G. 05/10/2016

 

 

 

 

VII.  and  -- income, value, transactions (Inc/rides those nfspottsc and dependent children; see pp. 3 4-60 of filing instructions.)
NONE (N0 reportable. income, assets, or transactions.)

 

 

 

 

 

 

 

A. B. C. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting period
(1) (2) (2) (2) (3) (4) (5)
Place a?cr each asset Amount Type Value Value Type Date Value Gain Identity of
exempt from prior disclosure com: 1 div rent, Code 2 Method buy, sell, mrn/dd/yy Code 2 Code 1 buyer/seller
(A-H) or inl.) (J-P) Code 3 redemption) (A-H) (ifprivate
(Q-VV) transaction)
18. Sold 10/09/15 A
(part)
19. C. Schwab Muni M. Fund A Dividend 
20. Wells Fargo bank accounts A Interest 
Capital One, Inc. bank accounts None 
22. 1/8 int. cottage, Knocklong, Co. Limerick, A Rent 
Ireland
23. Utah Educ. Plan Equity - 10% Int'l Dividend 0 
24. Utah Educ. Plan Age?Based Moderate, Dividend 
3?1 5

 

25. Allegis Group Ret. Plan (H)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

26. -- Vanguard Target Retirement 2020 Trust 11 Dividend 
27. Time Warner Cable TWC Dividend 
28. AOL stock purchased by Verizon thru None Sold 06/30/15 
tender offer on 6/22/2015
29. Eaton Vance Income Fund of Boston Elle A Dividend Sold 02/04/15 A
(part)
30. Sold 02/05/15 A
(part)
Eaton Vance Global Macro Absolute Return Dividend Buy 02/05/15 
EIGMX (add'l)
32. Buy 02/06/15 
(add'l)
33. First Eagle Global SGIIX Dividend Sold 02/04/15 A
(part)
34. Sold 02/05/15 A
(part)
I. Income Gain Codcs: A =3 I .000 or less :51 .00l - $2.500 =52.501 - $5.000 =55.001 - $ 5.000 =5 l5.00  550.000
(Soc Columns BI and D4) =$50.001 - I .000.000 :31.000.001 - 55.000.000 I I2 =Morc than 35.000.000
2 Valuc Codes 1 =5 5.000 or less :515.00l - $50.000 =$50.00  - 00.000 =5100.00  - 3250.000
(Scc Columns Cl and D3) =$250.00  - 5500.000 0 =$500.00  - 5 .000.000 Pl :Sl.000.00l - 55.000.000 P2 =55.000.00  525.000.0130
P3 2525.001100] - 350.000.000 P4 =Morc 550,000,000
3 Value Mclhod Codes :Appmism :Cost (Real Estate Only) 5 =Cnsh Market

(330 Comm" C2) =Book Value =Olhur =1istimalcd

 

FINANCIAL DISCLOSURE REPORT ?am? RePOT?ing Date ofReport
Page 6 0f 10 Roberts, John G. 05/10/2016

 

 

 

 

VII.  and  -- income, vn/ne, transactions (Inc/tides those of spouse and dependent children; see pp. 34-60 of ?ling instructions.)

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

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

A. C. 
Description of Assets income during Gross value at end Transactions during reporting period
(including assets) reporting period of reporting period
(I) (2) (2) (2) (3) (4) (5)
Place after each asset Amount Type Value Value Type Date Value Gain Identity of
exempt from prior disclosure C008 div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller
(A-H) or int.) Code 3 redemption) (J-P) (A-H) (ifprivate
transaction)
35. Gabelli Equity lncome Dividend Sold 02/04/15 
(part)
36. Sold 02/05/15 
(part)
37. Gabelli Small Cap Growth GACIX Dividend Sold 02/04/15 
(part)
38. Sold 02/05/15 
(part)
39. MFS Bond MBDIX Dividend Sold 02/04/15 A
(part)
40. Sold 02/05/15 A
(part)
41 . Virtus Emerging Markets Opportunities Dividend Buy 02/05/15 
HIEMX CMV (add'l)
42. Buy 02/06/15 
(add'l)
43. RS Global Natural Resources None Sold 02/04/l5 
(pan)
44- Sold 02/05/15 
45. T. Rowe Price Real Estate TRREX Dividend Sold 02/04/15 
(part)
46. Sold 02/05/l 5 .l A
(part)
47. Royce Value Fund None Sold 02/04/15 
(part)
48. Sold 02/05/l 5 
49. T. Rowe Price Blue Chip Growth Dividend Sold 02/04/15 
(pm)
50. Sold 02/05/15 
(part)
5 l. Wells Fargo lnc. Adv. Treas. Plus Mon. Dividend Sold 01/09/l5 
Mkl. Fund (part)
I Income Gain Codes: A =5 .000 or less $2.500 - $5.000 =55.00l - 5l5.000 :3 5.00l - 550.000
(Sec Columns Bl and D4) - $ 00000 $l.000.000 =$l.000.001 - 55.000.000  l2 =M0rc than 55.000000
2 Value Codes =5 I 5.000 or less =$l5_00l 550.000 =$50.00l - 00.000 =$100.00l - 5250.000
(See Columns Cl and D3) :5250001 - 5500.000 0 =$500.001 Sl.000.000 I?l =$l.000.00l - 55.000.000 P2 - 525.000.000
P3 =525.000.00l - 550.000.000 P4 :More than 550.000.000
3 Value Method Codes :Appmisnl :Cost (Real Estate Only) 5 =A35C53mcm =Cash Market

(See Column C2) :Book Vaiuc =Olher =Eslimaled

FINANCIAL DISCLOSURE REPORT

Page 7 of 10

 

 

G.

Name of Person Reporting

 

Date of Report

05/10/2016

 

 .    and  -- income, Paine, transactions (Includes those ofsponse and dependent children; see pp. 3 4?60 of ?ling instructions.)

I: NONE (N0 reportable income, assets, or transactions.)

A.
Description of Assets

(including trust assets)

Income during

reporting pei iod

B.

Gross value at end

of reportng period

D.

Transactions during reporting period

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(2) (2) (2) (3) (5)
Place after each asset Amount Type Value Value Type Date Value Gain Identity of
exempt from prior disclosure COde div., rent, Code 2 Method buy, sell. mln/dd/yy Code 2 Code I buyer/seller
(A-H) or int.) Code 3 redemption) (ifprivate
transaction)
52. Buy 02/05/15 
(add'l)
53. Buy 02/06/15 
(add'l)
54. Sold 04/10/15 1
(part)
55. Sold 07/10/15 
(part)
56. Sold 10/09/15 
(part)
57. Wells Fargo Absolute Ret Fund WARDX Dividend Buy 02/05/15 
(add'l)
58. Buy 02/06/15 
(add'l)
59. Sold 12/04/15 
(part)
60. AQR FDS Mgd. Futures Strategy AQMIX Dividend Sold 02/04/15 A
(part)
61. Sold 02/05/15 A
(part)
62. Dodge Cox FDS lnt'l Fd DODFX Dividend Sold 02/04/15 A
(part)
63. BlackRock Emerging Mkt. BLSIX A Dividend Buy 02/05/15 .1
(add'l)
64. Buy 02/06/15 
(add'l)
65. TIME, 111C. TIME A Dividend 
66. Jane Brain, LLC
67. -- Empowered Leaming 1nstitute of DC, None 
LLC
68. Principal FDS (X) Dividend Buy 02/04/15 

 

 

 

 

 

 

 

 

 

 

 

lneome Gain Codes:

(See Columns Bl and 13-1)
2 Value Codes

(See Columns C1 and D3)

3 Value Method Codes
(See Column C2)

A :$1_000 or less

=$50.00  - $100000

:315000 or less

=$250.001 - 5500.000

1?3 :525.000.001 - 550.000.000

=Appraisal
=Book Value

=51 .001 $2.500

=3100.00  - 51.000.000
=$15.001 - 550.000

0 - $1000.00!)

=Cost (Real Estate Only)
:Othcr

252.501 - $5.000

=31.000.001 55.000.000
2550.001 - $100000

Pl - 35.000.000
l?4 =M0rc Ihan 550.000.000


=E5limated

1) :55.001 - 515.000

112 =M0re than 55.000.000

:5100.001 - $250000

1'2 =35.000.001 - 525.000.1100

:Cash Market

1i =$l5.00  550.000

 

 

FINANCIAL DISCLOSURE REPORT

Page 8 0f 10

 

 

Name of Person Reporting

Roberts, John G.

Date of Report

05/10/2016

 

 

VII.  and  -- income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of ?ling instructions. 

NONE (N0 reportable income, assets, or transactions.)

Description ofAssets

(including trust assets)

B.
Income during

repOI ting period

C.
Gross value at end
ofieponing period

D.
Transactions dun'ug reporting period

 

 

 

 

 

 

 

(1) (2) (I) (2) (1) (2) (3) (4) (5)
Place after each asset Amount Type Value Value Type Date Value Gain Identity of
exempt from prior disclosure C0116 1 div., rent, Code 2 Method buy, sell. mm/dd/yy Code 2 Code buyer/seller
(A-H) or im.) (J-P) Code 3 redemption) (J-P) (A-H) (if private
transaction)
69. Buy 02/05/15 
(add'l)
70. Buy 02/06/15 
(add'l)
71. Prudential Jennison (X) None Buy 02/04/15 
72. Buy 02/05/15 
(add'l)
73. Sold 12/04/15 
(part)
74. NATIXIS FDS TR 11 GAFYX (X) None Buy 12/07/15 
75. Hewlett Packard Ente HPE (Spinoff from A Dividend Spinoff 10/30/15 
Hewlett-Packard) (from line 2)

 

 

 

 

 

 

 

 

 

 

 

1.1nc0me Gain Codes:

(Sec Columns BI and D4)
2. Value Codes

(See Columns C1 and D3)

3 Value Melhod Codes
(Sec Column C2)

A
I.

51.0011ut1um

5511.001 - ?011.1100

$5.000 or less
- S?nimm

=$1.001 $2.500
- $1.000.000

$2.501 - 55.000
I11 - 

- 515.000
112 =M0re than $5,000,000

15.001 - 550.000

 

 

=5 1 5.001 $50000
=$500.00  - 51.000.000

1?3 - 550.000.1100

Appraisal
Hunk Velm-

=CosttRea1 Estate Only)

=Other

1. 550.001 - 511111.000

t'l ermine: 45.000000
P4 -=Mnrc1lmn 550.000.0116
5 



=$100.001 - 5250.000

P2 =$5.000.00  - 525.000.1100

=Cush Market

 

FINANCIAL DISCLOSURE REPORT 
9 01'  G.

 

 

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HSHUIEIH fr

 

      

 

 

FINANCIAL DISCLOSURE REPORT Wm" Dam- nf 
Page  Of 10 ltol:erts..lulm 

 

 

 

 

IX. CERTIFICATION.

I certify that It" information given above [including information pertaining to my spouse minor or dependent elilltit'eu, if any] is
neenrate, true, and complete In the best ol' my knowledge om] belief. and that on}- information not reported was withheld because it met npplicohte statutory
provisions permitting non-disclosure.

I further certify that corned income from outside employment and Itonm'nrio and the acceptance ot'gil?ts which hove been reported are in
compliance with the provisions oi'5 U.S.C. tl 't l. Sill el. seq? 5 U.S.C. 353. and Conference regulations.

Signature: John G. Roberts

ANY INDIVIDUAL AND FAISIFIES UR FAILS TO FILE MAY BE. CIVI 
AND CRIMINAL SANCTIUNS (5 U.S.C. upp.? Ill-1)

 

Committee on Financial Disclosure
Administrative Of?ce of the United States Courts.
Suite 2-30]

One Circle, NE.

Washington. D.C. 20544