I

Rev. t/20lO

,~o 10

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization Federal Jt~dicial Center
5a. Report Type (check appropriate .lype) [] Nomination, [] Initial Date [] Annual [] Final

Repots Required by the Ethics

in Government Act of 1978

0 u..s.c, app. ffff !01-111)

3. Date of Report 07/31.J2010
6. Reporting Period 01101/2009 to 12/31/2009

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

4. Title (Article Ill judges indicate acti~,c or senior status: magistrate judges indicate full- or pao-time) US District Court Judge

5b. [] Amended Report 7. Chambers or O flice Address Federal Judicial Center Washington. D.C. 20002 8. On the basis of the Information contained in Ibis Report and may modifications pertaining thereto, It is, iu my opinion, in compliance with applicable laws and regulalions. Reviewing Otlicer

Date

131PORTANT NOTES: The instructions accunrpanying thi~ form must be followed. Complete all parts, checking the NONE bax for each parl where you have no r~porlable information. Sign on last page.

N~)NE(Nor~ortablepositio,~.)

POSITION t.

NAME OF ORGAN~TIO~NTI~ +__ ~]

4. ~.

-:~ ",2 ._
l,I

-Ld

r~ I ~

1I. AGREEMENTS. (~..~,,.;,.~ i,,di,idual only; +~,eH,. 14-1+ offiling in .....

NONE (No reportable agreements.)

DATE
I.

PARTIES AND TERMS

Rothstein, Barbara J.

FINANCIAL DISCLOSURE REPORT Page 2 of 9 [

I.[l. NON-INVESTMENT INCOME. ~Repo~i, gi, a~.id~,,~.~po~o~,epe. ~7-~,,/~.~i~. .....
A. Fliers Non-Investmen{ Inconte NONE (No reportable non-investment income~) DATE 1. SOURCE AND TYPE
iot~sO

D,te of R~po. o7/31/2olo

INCOME_ (yours, not spouses)

B. Spouses NoIl-II~vestlllell{ IllcO~lle - If yon were married daring any porCion of the repor~ing )earo complete this sectiot~
(Dollar amount not required .~ept for honorarit~.)

NONE (TVo reportable non-investment income.) DATE SOURCE A~D TYPE Medica Facu ty Associates Wages Self Employed Consultant Fees

I. 2009 2. 2009 3.

IV. REIMBURSEMENTS _ tr,,.W,,,o,io., lodging, load, .....

[--] NONE (No reportable reimbursements.) ~ 1. Duke Law Journals Conference ALI-ABA ROLl Board Meeting 2009 Byme Judicial Clerkship Institute The Ruttcr Group Aspen Institute ROLl Board Meeting ~ January 5-6, 2009

rtai ......

LOCATION Raleigh-Durham. NC

PUILPOSE Speaker, Panel Participant

ITEMS PAID OR PROVIDED Transportalion, Lodging

2.

February 11-13, 2009

Boston, MA

Meeting

Transportation, Meals, l,odging

3.

March 19-2 I, 2009

Malibu, CA

Speaker, Panel Participant

Transportation

4. 5. 6.

Jtme 4, 2009 Jnly 10-|6, 2009 July 3 I, 2009

Seattle, WA Aspen, CO Chicago, IL

Speaker, Panel Participant Speaker, Panel Participant Meeting

Transportation,Meals Lodging, Meals Transportation, Lodging, Meals

FINANCIAL DISCLOSURE REPORT

Page 3 o~" 9

~.~of1,~ ....

Reporting

Da~e of Report

Rothslein, Barbara J.

07/31/2010

7.

Sedona Conference Judicial Advisory The State Dcpartment~Fordham Lr~ivcrsity - Judicial Training for Judges in Africa WSTLA Legal Education Scminars, Inc. 4th IOJT ContErence

August 27-29, 2009

New York, NY

Meeting

Transportation. Lodging, Meals

8.

September 19-October 2, 2009

Uganda, Rwanda, Kenya

Participant

Transportation, Lodging, Meals

9.

October 7-9, 2009

Seattle, WA

Speaker

Tra~sportat on, Lodging, Meals

10.

October 23-30, 2009

Sydney, Australia

Parlicipant

Transportaltion, Lodging, Meals

FINANCIAL DISCLOSURE REPORT Page 4 of 9

N .....fP ..... Repotring

I)alt~ of Report

Rothstein, Barbara J.

07/31,2010
I

V. GIFTS. a, ct~a,~, ,ho.,e ,,,.~p ...... d dependent children; ~ee pl~ 28-3 I of fillng lnstructions.) NONE (No reportable SOURCE
1. 2. 3. 4. 5.

DESCRIPTION

VALUE

[~]

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

1.

2.
3. 4. 5.

FINANCIAL DISCLOSURE REPORT

Page 5 of 9

[ aoth.~t~in, Barbara ~.

07/31/2o10

VII. INVESTMENTS and TRUSTS - ~ ........ ~,~, ~ ..... aion~ (tnctuaes t~ose of sp ...... d dep,ndent chitaren; see pp. 34-~0 of firing instrucrio,s.)
NONE ~o rc~ortable income, assets, or transactions.)
l)escripIion of Asse~ (including ~t assets] Place ~(X)" after each ~sct

I
l,

Income during
reposing ~riod

Gross value at end (~)

Value

[ (l)
T~ (~.g.,

Tnnsactions during re~aing period (2)

Date

of ~poaing period ..[ ........

i O)
~Am~n1

~2)
T)~ (e.g,

(2)
VMu~

~ ~- ~q
Value ~ Gain

(5)
Identi~ of

exempt from prior disclosure

] Code I {A-H) [

div. rent. or h~t.)

Code 2 (J-P)

Melhod C~e 3 (Q-W) T T T T T T T T T

buy, sell redemption]

mmid~:)~ Code 2 Code I (J-P) ? (A-}I)

boyLe!seller (ifphvate transaction)

1. 2. 3. 4. 5. 6. 7. g. 9. I0. I1. 12. 13. 14. 15. 16. 17.

Amcol Common El Paso Corp. Equitable Resources Common Motorola lnc Common New York Muni Income American Euro Pacific Growth Fnd C American New World Fnd C US Bancorp Account Chevy Chase Bank Account NA Properties Ltd Partnership Rental House Redmond,WA (1999 S 172,000) New Ilofizon Capital III, LP Rental Townhouse Stra.,cburg, VA (2009 S 135,000) A mericu Movil Ads Bunk One CapitalTrust VI Elan Corp. Common Ernulex Corp. Common

A A A A A A A A A Iq E D D B B

Dividend Dividend Dividend Dividend lnt.!Div. Dividend Dividend Interest Interest Distribution Rent i Distribution Rent Dividend Interest None None

J J K J J K K J J

M M M M K J J

R U R T T T T ~

FINANCIAl, DISCLOSURE REPORT

Name of Person Rep~rtlng ] IRoth~stein, Barbara J.

Date of Report

Page 6 of 9

07/3 i/2o10

VII. INVESTMENTS and TRUSTS - ~, ........ ~,. t~ ..... ao~ a,~t,a,~ those o~sp
~ NONE (No reportable income, assets, or transactions.)

~
[ I

"

A.
Dcscriptit~n t~f Assets (i~eluding Iru~l assets)

---

~.

~ .....................................

~? ..............
(5) Idenfit~ of buyer/seller (if private ~ ..... tion)

Place "(X)"after eachasset exempt from prior disclos~c

Income during rc~ing period ~ ~1) " ~ / [Amoun~ Ty~ {cg., / C~e I d~, rent, {A-H) or int.)

Gross value at end Tran~clions du~ng reposing pc6o~I of re~aing (1) [ (2) (I) ~ (2) {3) (4) Value ] Value T~e (e.g., Gai,~ I Da~e Value C~e 2 ] Me,hod buy, sell, Immtd~yy ~ C~e 2 Code 1 (J-P) redemption) [ (I-P~ (A-II) ] Code 3 ~Q-W) ......... .................................................. .... [ ~ M L J J K L K M K K T T T T T T T T T T Redeemed J K K K K K T T T T T T 1/161(19 J

18. 19. 20. 21. 22. 23. 24. 25. 26. 27, 28. 29. 30. 31. 32. 33. 34.

h~icroso~Corp. Common 3M Company XCel Energy PPL Corp. Life Technologies Corp Costcn Wholesale Corp. Common Western Asset II1 Inc. Starbucks Corm~aon Telefonos De Mexico Common Telmex International PennzoiiCo 13onds Nuveen Quality Preferred Income FD ~ancnrpsouth Cap Tr. Preferred 3ComCorp Common l lome Depot Inc. Common General Electric Co. Common Morgan Stanley Cap. Tn~st

C B A A

Dividend Dividend Dividend Dividend None

A B C 13 A 13 A B

Dividend Dividend Dividend Dividend Dividend Dividend Interest Interest None

A B B

Dividend Dividend Dividend

FINANCIAL DISCLOSURE REPORT Page 7 or9

Name of Person ReporGng

Date of Report

I Roths|eln. Barbara J.
NONE ~o reportable income, assets, or transactions.)
Description of As~ts ; [ Income during re~ing period ~ G~ss value at end [ of reporting Value Code 2 U-P) Value M~hod C~e 3 Type (e g. buy. sell, rcdcmlnin)

07/31/2010

VII. INVESTMENTS and TRUSTS - i.co ..... i.e. , ...... ,io.s a.a.a~ ,ho,o 4,, ...... d dependent children; see pp. 34-rOof filing ins~uctions.)

T~nsacfions during rc~ing

Place "(X)" after each asset exempt from prior di~l~ure

Type(e.g., [Amount div.. rent, ]Code 1 ~ or mt) (A-H)

j
35. "~6. 37. "38. 39. 40, CllSCooperatives Prel~ed CEPS Govl&Agency Fun&s CMS Energy Pioneer Floating Rate Ta~st {HID) Eaton Vance Enhanced Equity Income Fund Eaton Vance Enh~ced Equity Income Fd It RMR Prefe~ed Dividend Fund Dreyfus Premier Greater China Fund

Date ~ Value Gain m~d~,yy Code 2 Code I ~ (J-V) (A-II) I

Idenfily of buyeffsellcr

B A A B B E

Dividend Dividend Dividend Dividend Dividend

T T T T T T T

M J J K M J

Interest Dividend None

41. 42. 43, 44. 45. 46. 47, 48. 49.

K K M M

T T T T T T T T

Eaton Vance Greater Ch~a Fund CI A Visa Inc IBM

A A B B

Dividend Dividend Divided

NJF Dividend Int~esl Premium Strategy Fund Dell, lne ETvade Money Market Fun~

Dividend None

K J K K

lntercsl None

Cybersource CoO. Common

FINANCIAL DISCLOSURE REPORT

.~~,otPe,,o~ R,po,u~
Roths/ein, Barbara J. 07/31/2010

Page 8 of 9

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT

Name of Person Reportia!~ [ Rothstein, Barbara J.

Date of Repor~ 07/31/2010

Page 9 of 9 IX. CERTIFICATION.

1 certify that all information given above (including information pertaining to my spouse and minor or depeudent children, if an),) is accurate, true, and complete to the best of my knowledge and belief, and that any information no! reported was withheld becuuse it met applicable statutory provisions permitting non-disclosure. " 1 furlher certify that earned income from outside employment and honoraria aod 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.

Signalur!

NOTE: ANY INDIVIDUAL WIIO KNO~VINGLY AND \VILFULLY FALSIFIES OR FALLS TO FILE Tills 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