Rev, 1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization Tenth Circuit Court of Appeals

Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app..~.s 101-111)

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

3. Date of Report 04/14/201 I

6. Reporting Period OI/OI/2010 to 12/31/2010

4. Title (Article Ill judges indicate active or senior status; magistrale judges indicaze full- or part-time)

5a. Report Type (check appropriate type) ] Nomination, Date [] Annual [] Final

Circuit Judge Active

[] Initial

5b. [] Amended Report

7. Chamber~ or Office Address 201 Third St. NW, #1870 Albuquerque, NM 87102

8. On the basis of the information contained in this Reporl and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Resie~sing Officer Date

IMPORTANT NOTES: 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. (R~o.in~ individaal o.ly; s,, ~,~,. 9-13 of filing instructions.)

1~1 NONE (No reportable positions.) POSITION
I. Trustee 2. 3. Member, Board of Directors Trust No. I Searle Civil Justice Institute

NAME OF ORGANIZATION/ENTITY

II. AGREEMENTS. m,po,l,g individual only; see pp. 14-16 of filing instruction~)
D NONE (No reportable agreements.) DATE
I. 9/30/I 999

PARTIES AND TERMS

.My judicial pension from the State of New Mexico has vested and payment began in 201 I, when I became ageeligible.

Hartz, Harris L.

FINANCIAL DISCLOSURE REPORT Page 2 of 10

Name of Person Reporting ..... Hartz, Harris L.

Date of Report 04/14/2011

II1. NON-INVESTMENT INCOME. (Reporting individualandspouse; seepp. 17-24 of filing instructions.)

A. Fliers Non-lnvestment Income
~-] NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)

2, 3, 4,

B. Spouses Non-Investment Income - If you were married during any portion of the reporting )ear, complete this section.
(Do]lor amount not required except for honoraria.)

NONE (No reportable non-investment income.) DATE

1. 2. 3. 4.

SOURCE AND TYPE

IV. REIMBURSEMENTS - transportation, Iodglng, food, entertalnmenL

(Includes those to spouse and dependent children," see pp. 25-27 offiling instructions.)

NONE (No reportable reimbursements.)

SOURCE
I. 2. Cardozo School of Law Northwestern University School of Law Pepperdine University School of Law Northwestern University

DATES
3/6-8 4/I-3

LOCATION
New York, NY Chicago, IL

PURPOSE
Moot Court Moot Court

ITEMS PAID OR PROVIDED

transportation, lodging, food transportation, lodging, food

3.

3/18-20

Malibu, CA

Panel member for lawclerk-training program Searle Center board meeting Searle Center board meeting

transportation, lodging, food

4.

4/21-22

Chicago, Illinois

Transportation, lodging, food

5.

George Mason School of Law 10/27-28

Washington, DC

Transportation, lodging, food

FINANCIAL DISCLOSURE REPORT Page 3 of 10

6. Wake Forest School of Law I 1/18-21

Name of Person Reporting

Date of Report 04/14/2011

~/,.i i ,ar~, .arris L.

Moot Court

Winston-Salem, NC

Transportation, lodging, food

FINANCIAL DISCLOSURE REPORT Page 4 of 1 0

Date of Report
!. -.i] Ham, Harris L. ] Name of Person Reporting

04/14/2011

V. GIFTS. tl,ciud, s ,ho,o ,o spo.s, u,d a,,,,d,,t children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
I. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. ~/nc/,d,s thus, o/spous, u,d d,pcndo, t c~il,~r~n; s, ~r. 32.33 of~inz instructlons.)
NONE (No reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 5 of 10

Name of Person Reporting

Date of Report 1M/14/201 I

VII. 1 NVESTMENTS and TRUSTS - income. ,atue. ,,ans~ctlon, a, dudes those of spouse and dependent children; see pp. 34-60 of filing in~truction~.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assels) Income during reporting period Gross value at end of reporting period Transactions during reporting period

O)
Place "(X)" after each asset exempt from prior disclosure
Amount Code I (A-H)

(2)
Type (e.g., div., rent, or int.)

O)
Value Code 2 (J-P)

(2)
Value Method Code 3 (Q-W)

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

(2) Date mm/dd/yy

(3) Value Code 2 (J-P)

(4)
Gain Code I (A-H)

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

Trust I --BRKA --BRKB

4.

Dividend

--OIB --NUV --PNW --SO --COP --TWCUX --LCEIX --JANDX* --NGUAX --NPRTX --AMOAX --GLBAX --TGRAX

5.
6.

7. 8. 9.
10.

II.

12.

13.

14.

15.

16.

17. --USGBX

I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes lSec Column C2)

A =$1.00~ or less F =$50.0~1 - $10~,0~0 J =$15,0~0 or less N =$250,001 - $500.0~ P3 =$25,00~,0~1 - $50,000,000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G =$100,001 - $1.0~,090 K =$15,001 O =$500,0~1 - $1,000,0~0 R =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 H I =$1,00~),~ I - $5,000,000 L -$50,001 - $100.000 PI =$1,000.001 - $5,000.000 P4 =More than $50.000,000 S =Assessment W ~E~.timatcd

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

E =$15.001 - $50.0~0

FINANCIAL DISCLOSURE REPORT Page 6 of 10

Name of Person Reporting i ~i i Hartz, Harris L.

Dale of Report 04/14/201 I

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of sp ......
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) (2) Amount Type (e.g., Code I div., rent, Gross value at end of reporting period

d dependent children; see pp. 34-60 of filing instructio.~.)

Transactions during reporting period

(I) Type (e.g., buy, sell, redemption) (2) Date mm/dd!yy (3) (4) Value i Gain Code 2 i Codel (J-P) i (A-H) ;i (5) Identity of buyer/seller (if private transaction)

O)
Value Code 2 (J-P)

(~)
Value Method Code 3

(A-H)

or int.)

(Q-W) 18. -DINAX

19. --Morgan Stanley Bank Acct

20. 21. 22.

--San Juan County, NM, real estate Parcel I Unimproved real estate in San Juan B County, NM EUGBX A A Rent Dividend Dividend Dividend None A A A B A B Dividend Interest Interest Interest Interest Dividend M J J K N J L J L J J W T T T T T T T T T T

23. GLBAX 24. UTLQX 25. BRKB 26. OIA 27. 28. 29. 30. 31. Wells Fargo Bank Account State of Israel Bonds US Savings Bonds Tennis Club of Albuquerque debenture 403B account

32. --PGRWX 33. 34. State Retirement Account Individual Retirement Annuity C E Interest Dividend L N T T

I. Income Gain Codes: (See Colurans B I and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (sec Colunm C2)

A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 -$25,000,001 - $50.000.000 Q =Appraisal U =Book Value

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

C =$2,501 - $5.000 HI =$1,000.001 - $5,000,000 L ~$50.001 - $ 100.000 PI =$1,000.001 - $5,000.000 P4 -More than $50,000,000 S :As~ssmenl W =Estimalcd

D : $ 5.001 - $15.000 H2 =More than $5.000.000 M =$ 100,001 - $250,000 P2 =$5.000,001 - $25,000.000 T =Cash Market

E =$ I 5,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 7 of 10

Name of Person Reporting Hartz, Harris L.

Date of Report 04/14/2011

VII. INVESTM ENTS and TRUSTS - income, ralue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructionx)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period

O)
Amount Code I (A-H)

(2)
Type (e.g., div., rent, or int.)

(1)
Value Code 2 0-P)

(2)
Value Method Code 3 (Q-W)

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

(2) (3) (4) Value Gain Date mm/dd/yy Code 2 [ Code I (JP) I (A-H)

(5) IdentiD of buyer/seller (if private

transaction)

35.
36.

-ING Fixed Account

-ING Balanced VP

37. IRA Account 38. 39. 40. -Govt Natl Mtge Assn Pool --US Treasury Bond --AMODX

Dividend

41. --GLBAX 42. --MSACX 43. --MSSGX 44. 45. 46. 47. 48. 49. 50. 51. --MPEGX --" --" -MPSCX -MDFDX --MS Spectrum Select --MS SpectrumTech --MS Spectrum Currency
Sold (part) Sold (part) Sold (part) 04/16/10 07/16/10 10/15/10 J J J A A A

Sold (part)

01/22/10 J

I. Income Gain Codes: (See Columns B I and 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Colunm C2)

A =$1.0OO or less F =$50.001 J =$15,000 or less N =$250.0OI - $500.0OO P3 =$25.~0,0~ I - $50,000.000 Q =Appraisal U =Book Value

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

C =,$2,501 - $5,000 H I = $ 1,0~0,001 - $ 5,000,000 L =$50,001 - $100.000 PI =$1,000.001 - $5.00~.000 P4 =More than $50.000,000 S =A ~,scssmcnl W =Estimated

D =$5.001 - $15,000 H2 =More than $5.000.000 M -$100,001 - $250,00~ P2 -$5,000,091 - $25.000,000 T-Cash Markc!

E =$15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 8 of 10

Name of Person Reporting i".-- Hartz, Harris L.

Date of Report 04/14/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
D NONE (No reportable income, assets, or
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure

transactions.)
C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W)
Transactions during reporting period

B. Income during reporting period (2) (1) Amount Type (e.g., Code I div., rent, (A-H) or int.)

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

(2)

(3)
(J-P)

(4)
Gain Code I (A-H)

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

Date Value mm/dd/yy Code 2

52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66.

-Morgan Stanley Bank Acct -Morgan Stanley CPI/Commodity note --ACSDX Annuity -ING VP Inter Bond Portfolio Allstate Life Ins. Co. annuity CM Life Ins. Policy MONY Life Ins. Policy TETSX EVGFX OPPAX SCINX AMOAX ** DIVBX Morgan Stanley Bank Acct A A A A B B A Interest Interest Dividend None None Dividend Dividend None Dividend Interest K L K M J L K J J J T T T T T T T T T T B Interest K T

I. Income Gain Codes: (see Columns B I and IM) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)

A -$1,000 or less F -$50.001 - $ I 0~.000 J -$15,000 or less N =$250.001 - $500.000 P3 =$25.000.001 - $50.000.000 Q =Apprai~al U =Book Value

B =$1.001 - $2,500 G =$ 100.001 - $1.0(~.0~ K -$15,001 - $50,000 O =$500.001 - $1,000,000 R =Cost (Real Estale Only) V -O~hcr

C =$2,501 - $5,000 H 1 =$ 1.000.0~ I - $5.000.0(~ L = $50,001 - $ 100,000 PI =$1.000,001 - $5,000.000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5.001 - $15.000 H2 =More than M =$ 100.001 - $250.0~0 P2 =$5.090.001 - $25.0~0.000 T =Cash Market

E =$15,001

FINANCIAL DISCLOSURE REPORT Page 9 of 10

Name of Person Reporling i ii Harl~,HarrisL.

Date of Report 04/14/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a.dlco,opo, of report.)

* LinelI:JANSX was converted to JANDX on 2/12/10 ** Line 64: AMOBX was converted to AMOAX on 2/27/09 Lines 63 and 64 of 2009 report: I discovered in 2011 that I had not been the owner of these policies, but was only trustee are no longer minors. they

FINANCIAL DISCLOSURE REPORT Page 10 of 10

Name of Person Reporting 50162-Hartz, Harris L.

Date of Report 04/14/2011

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 best of my knowledge and belief, and that any information not reported was ~vithheld because it met applicable statutory provisions permitting non-disclosure.
1 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.

Signature: S/Harris L.

-Hartz

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544