A0 10 Rev. [/2015 FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2015 Report Required by the Ethics in Government Act 0/1978 {5 U.S.C. app. 101-111) 1. Person Reporting (last name, ?rst, middle initial) 2. Court or Organization Gorsuch, Neil M. Tenth Circuit Court ol'Appcais 3. Date of Report 08/11/2016 4. Title (Article 111 judges indicate active or senior status; 5a. Report Type (cheek appropriate type) magistrate judges indicate full- or part-time) 6. Reporting Period Nomination Date 1/1/2015 Circun Judge Initial Annual nal 1" 12/31/2015 51). Amended Report Chambers or Of?ce Address Byron White Courthouse 1823 Stout Street Denver, CO 80257 IMPORTANT NOTES: The instructions accompanying this form must be fol/0 wen. Complete all parts, checking the NONE box for each part where you have no reportable infer nation. I. (Reporting iridiviriua/ only; see pp. 9-13 of ?ling instructions.) 11 NONE (N0 reportable positions.) POSITION NAME OF 1. Member Walden Group LLC (mountain property) - 2. Executive Committee, Board of Directors Federal Judges Association 3. Adjunct Professor University of Colorado Law School 4. Member University ofChicago Law 301's Visiting Committee 5. II. TS. (Reporting individual only; see pp. [4-16 af?lng instructions.) NONE (N0 reportable agreements.) DATE PARTIES AND 1. 2015 University of Colorado Law School - teaching agreement Name of Person Reporting Dale "f new,? Page 2 Of 9 Gorsuch, Neil M. 03/[1/2016 I. (Reporting individual and spouse; see pp. 17-24 oj'jr'lr'ng instructic' A. Filer's Non-Investment Income- NONE (No reportable non?investment income.) 'r_E SOURCE AND TYPE INCOME (yours, not spouse's) l. 2015 Princeton University Press - book royalties $304.94 2. 2015 University ofCoiorado Law School - leaching $26,000.00 3. 2015 West Publishing Corporation - book royalties - $5,000i00 B. Spouse's Non-Investment Income - If you were married during any portion oftlte reporting year, complete this notion. (Dollar amount not required except for honoraria.) NONE (No reportable non?investment income.) DATE SOURCE AND TYPE IV. - lodging, food, entertainment. (Includes those to spouse and dependent children: see pp. 25?2 7 ofjiling Instructions.) El NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED l. Renaissance Weekend 07/02/15-07/06/15 Jackson Hole, WY educational program Meals, program, hotel (sclfand family) 2. American College ofTrial 09/031! 5-09/1 1/2015 London, England educational program Transportation, meals, program, hotel Lawyers-Legal Exchange. spouse) 3. 4. FINAN CIAL DISCLOSU RE REPORT mm? Pm? Date of Report Page 3 Of 9 Gorsuch, Neil M. 03/11/2016 V. . (Includes those to spouse and- dependem children; see pp. 28-3 I oj'?ling instructions.) NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE IQ VI. (Includes those ofspouse and dependent children; see pp. 32?33 of?ling instructions.) NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE FINANCIAL DISCLOSURE REPORT Page 4 of 9 Name of Person Reporting Gorsuch, Neil M. Dale of Report 08/ll/2016 VII. and - income, value, transactions (Includes those of spouse and depen El NONE (N0 reportable income, assets, or transacti A. 8. Description income during (including trust assets) reporting period ons.) C. Gross value at end of reponing period D. Transactions during reporting period lent children; see pp. 34-60 affiling instructions.) (2) (I) (2) (2) (3) (4) Place after each asset Amount Type (cg. Value Value Type Date Value Gain identity of exempt from prior disclosure cm? I div., rent. Code 2 Method buy. sell. mm/dd/yy Code 2 Code buyer/seller (A-H) or int.) Code 3 redemption) (J-P) (A-H) (it private (Q-W) transaction) I. USAA Brokerage Acct: 2. - Money Market, Tax Exempt A Int./Div. 3. - Long Term Tax Ex Bond Fund IntJDiv. Sold 08/17/ I 5 A . (part) 4. - High Yield Bond Fund I lnt./Div. 5. - Int'l Fund Int/Div. 6. - Fund Int/Div. 7. - Value Fund Int/Div. 8. - Inten?n Tax Ex Bond Fund lnl./Div. 9. - Small Cap Fund Int/Div. 10. - Short Term Tax Ex Bond Fund 8 Int/Div. 11. Walden Group LLC None 12. 529 Plans - VA Educ Savings Trust (Age A [rm/Div. Based) 13. 529 Plans - College Invest Savings Plan A (Age Based) l4. Spouse 4033 Plan - TIAA CREF A Int,/Div. 15. Senate Credit Union checking A IntJDiv. 16. USAA Acct: 17. -Target Retirement 2030 Fund 0 Int/Div. 1. Income Gain Codes: (See Columns BI and Dd) 2. Value Codes (Sec Columns CI and D3) A =$l.000 or leSs =550.001 - $100,000 =Sl$.000 or less - 5500.000 P3 - 550,000,000 0 =Appraisal =Book Value 3. Value Method Codes (Sec Colutnn C2) =Olhcr =Sl.00 - $2.500 =$lO0.00l - $l.000.000 - 550.000 0 - 51.000.000 =Cost (Real Estate Only) =52.50l - $5.000 H1 =$l.000.00l - 55.000000 =$50.00l - $100,000 Pl =$l.000.001 - $5,000,000 P4 =Morc than $50,000,000 =Assesstnenl =Eslimated =55.00 - ?5.000 HZ =More 55.000000 - 3250.000 P2 =55.000.00 - 321000.000 =Cash Market =5 l5.00l - 550.000 FINANCIAL DISCLOSURE REPORT Page 5 of9 Gorsuch, Neil M. Name of Person Reporting Date of Report 08? l/2016 VII. and - income, value, transactions (Includes those of spouse and Japan NONE (No reportable income, assets, or transactions.) A. Deseriplion ofAssets (including trust assets) Income during reporting period B. Gross value at end of reporting period 1 Jam children; see pp. 34?60 of ?ling instructions.) D. ransactions during reporting period ((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, Code 2 Code 1 buyer/seller (A-H) or im.) (J-P) Code 3 redemption) (A-H) (ifprivnte (Q-W) transaction) l8. Spouse USAA IRA Acct: 19. -Target Retirement 2030 Fund 20. USAA SEP IRAAcctz. . - Money Market A Int/Div. .l 22. - Precious Metals Minerals Fund I A I'm/Div, 23. - Short Term Bond Fund A Int/Div. 24. -Income Fund A Int./Div. 25. - Bond Fund A 26. - USAA Real Return Fund A Inthiv. .l 27. - USAA Managed Allocation Fd A Inn/Div, 28. - USAA High Income Fd A ImJDiv, 29. - USAA Emerging Markets Fd A InL/Div. 30._ - USAA Intemational Fund Inst A [nL/Div, 31. - USAA Small Cup Stock Fund Inst A [rm/Div, 32. - USAA Income Stock Fund Inst A Int/Div. 33. - USAA Growth Fund Instl A lnt./Div. Sold A (part) 34. USAA CD Acct: I. Income Gain Codes: (See Columns Bi and D4) 2. Value Codes (See Columns Cl and D3) A or less =$50.00] - ?00,000 or loss =5250.001 - $500,000 P3 - 550.000.000 3. Value Method Codes (Sec Column C2) 0 =Appraisat =Book Value, =?Sl.00l - $2,500 0 $5100.00] - 31.000.000 - $50,000 0 =$500.00l - SI.000.000 =Cost (Real Estate Only) =Olher =52.50] - 55,000 Hi - 551100.000 =550.001 - Sl00.000 Pl - 55.000.000 P4 =Morc than $50,000,000 =Assessmenl =Eslimalcd - $l5.000 H2 =Morc than 35.000.000 - $250,000 P2 =55.000.00l - 525.000.000 =Cash Market - 550.000 Name ot'Person Reporting Date of Report Page 6 of 9 Gorsuch, Neil M. 08/11/2016 I . a nd income, value, transactions (Includes those of spouse and children,- see pp. 34-60 of?ling instructions.) El NONE (N0 reportable income, assets, or transactions.) A. B. C. D. Description of Assets Income during Gross value at end ansaetions during reporting period (including trust assets) reporting period ol'rcponing period (I) (2) (I) (2) (I) (2) (3) Place after each asset Amount Type Value Value Type Date Value Gain identity of exempt from prior disclosure COde div., rent, Code 2 Method buy, sell, /dt1/yy Code 2 Code 1 buyer/seller or int.) (J-P) Code 3 redemption) (J-P) (A-H) (ifprivate (Q-W) transaction) 35. - Money Market A Int/Div. 36. USAA P.l. Acct: 37. - Money Market,.Tax Ex Fund 1 A Int,/Div. 38. - Aurora Rev Muni Bond 8/1/22 Interest 39. - Boulder County CO Open Space Cap Interest 7/15/22 40. Boulder Dist 2 Muni Bond 12/1/15 Interest Redeemed 12 01/15 41. - Broom?eld Sales and Use Tax 12/1/27 Interest 42. - Colo St Gov Unv Entr Muni Bond Interest 3/1/16 43. Colo Springs Col Util Muni Bond 11/15/20 A Interest 44. - Colo Springs Col Utl Muni Bond 11/15/26 Interest 45. - Colo Res Muni Bond 8/1/24 [men-est Redeemed 08 03/15 46. - Denver Exe Tax Rev Muni Bond 9/1/18 Interest 47. Colo City Cnly Interest Buy 06 12/15 48. - Eagle Gar?eld Routt Muni Bond 12/1/23 Interest 49. - Longmont Co Enterprise Rev 1 1/1/26 50. - Mesa College Muni Bond 5/15/23 interest 51. - Pueblo Cnty Dist Muni Bond 12/15/21 Interest 1.1ncomc Gain Codes: A =$l,000 or le'ss =$l.001 - $2.500 =52,501 - $5,000 =35.001 - $15,000 =$15,001 - $50,000 (See Columns B1 and D4) =$50,00 - $100,000 - $1,000,000 111 =$1,000,00 - $5,000,000 112 =More titan $5,000,000 2. Value Codes 1415.000 or less =515,001 - $50,000 =$50,001 - $100,000 =5100,001 - $250,000 (See Columns Cl and D3) =$250,001 - $500,000 0 =$500,00 - $1,000,000 Pl =51,000,00 - $5,000,000 P2 =$5,000,001 - $25,000,000 P3 =525.000,00,l - $50,000,000 P4 =More than 550,000,000 3. Value Method Codes =Appraisal =Cost (Real Estate Only) 3 =Cash Market Comm? C2) =Book Value =0?hcr =Eslimalcd FINANCIAL DISCLOSURE REPORT Page 7 of9 Name of Person Reporting Gorsueh, Neil M. Date 01' Report 08/11/2016 VII. and -- income, value, transactions (Includes those of spouse and dependent children,- sea pp. 34-60 of 11011;; instructions.) El NONE (No reportable income, assets, or transactions.) Description of Assets (including trust assets) Income during reporting period B. Gross value at and of reporting period D. '1 ransaetions during reporting period (I) (2) (1) (2) (1) '12) (3) (4) 15) Place a?cr each asset Amount Type Value Value Type Date Value Gain Identity of exempt from prior disclosure 1 div., rent, Code 2 Method buy, sell. mtn/dd/yy Code 2 Code I buyer/seller or int.) (J-P) Code 3 redemption) (A-H) (if private (Q-W) transaction) 52. - Summit Cnty School Dist 12/1/21 Interest 53. ~Univ Colo Ent Muni Bond 6/1/25 A Interest Redeemed 06/01/15 54. -Univ Colo Ent 6/1/29 . . Interest . T. . Buy 12/22/15 . 55. -Univ C010 Em 6/1/31 . Interest Buy 05/07/15 56. - Weld Dist Muni Bond 12/1/19 Interest 57. - Westminster 315 and Use Muni Bond Interest Redeemed 12 /01/15 12/1/15 58. - University Northn Colo Greeley Inst Bond [3 Interest I 6/ 1/30 59. - Greely Colo Rev Ref 8/01/22 Interest 60. - Arapahoe Cnty Solo Dist 12/01/28 Interest 61. -Platte River 6/1/25 Interest Buy 0 /28/15 62. - Short Term Tax Ex Bond Fund A Int/Div, Sold 0 /26/l 5 (part) 63. Spouse USAA Rev Trust: 64. - Money Market, Tax Ex Fund A Interest 65. - USAA Savings CD 01/09/15 Interest Redeemed 0 /09/15 66. -USAA Savings CD 07/15/16 A Interest Buy 0 /15/15 67. - USAA Savings CD 01/09/17 A 68. Spouse Banco Santander SA (SAN) None Sold 0.5/02/15 1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (Sec Columns C1 and D3) 3. Value Method Codes (See Column C2) A or less =$50.00 - $100,000 =515.000 or less =$250.001 - $500,000 1?3 =525.000,00 - $50,000,000 =Appraisal =Book Value 13 =51.001 - $2,500 =$100.001 - $1,000,000 - $50,000 0 =$500.001 - $1,000,000 =Cnst (Real Estate Only) =Otlter =52.501 - $5.000 H1 =$1,000,001 - 55.000000 =$50.001 - $100,000 Pl - $5,000,000 P4 =More than $50,000,000 =Estimated =55,001 - $15,000 H2 =More than 55.000.000 =$100,00 - $250,000 P2 - 521000.000 =Cush Market =515,001 550.000 Nu me of Person cporting FINANCIAL DISCLOSURE REPORT Page 8 0f9 Gorsuch, Neil M. Date of Report (lmlicatepartafra 0 rt.) FINANCIAL DISCLOSURE REPORT Page 9 of9 Name of Person Reporting Neil M. Date of Report 08/ll/20l6 IX. CERTIFICATION. I certify that all information given above (including information pertaining to my spouse and minor or (ten accurate, true, and complete to the best of my knowledge and belief, and that any information not reported wa provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts compliance with the provisions of5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regular NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY 0R FAILS TO FILE THI AND CRIMINAL SANCTIONS (5 U.S.C. app. :5 104) Signature: 8/ M. endent children, ifany) is i withheld because it met applicable statutory iich have been reported are in ans. 5 REPORT MAY BE SUBJECT TO CIVIL Suite 2?301 Committee on Financial Disclosure Administrative Of?ce of the United States Courts One Columbus Circle, NE. Washington, DC. 20544