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FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

1. Person Reporting (last name, first, middle initial) Walker, John M. 4. Title (Article III judg~ indicate active or senior status; magistrate judges indicate full- or part-time)
] 2. Court or Organization

Report Required by the Ethics in Government Act ofl978 (5 U.S. C. app..~.~ 101-III)

3. Date of Report 5/I 1/2011 6. Reporting Period 01/01/2010 to 12/31/2010

United States Court of Appeals for the Second Circuit


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

Senior Circuit Judge

5b. [] Amended Report

7. Chambers or Office Address

US Court ofAppeals : Second Circuit 157 Church Street New Haven, CT 06510

8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance ~ith applicable laws and regulations.

Re,,~ewing Officer

Date

IMPORTANT NOTES: The instructions accompanying this form mast be followe.t Complete ail parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. ~Repo,~.z i.alvlduat o~; ~o v~,. 9-13 of fillng instructions.)


[] NONE (No reportable positions.) POSITION 1. 2. 3. 4. 5. 6. Director Past President Director Director Director Director NAME OF ORGANIZATION/ENTITY Dwight D. Opperman Institute of Judicial Administration Federal Judges Association U.S. Association of Constitituional Law Friends of CEELI American Society of International Law, Judicial Advisory Board Spencer Williams Foundation for Judicial Independence

DATE

PARTIES AND TERMS

Walker, John M.

FINANCIAL DISCLOSURE REPORT Page 2 of I0

Name of Person Reporting \Valker, John M.

Date of Report 5/I 1/2011

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 of filing instruction~)
A. Filers Non-Investment Income
~] NONE (No reportable non-investment income.)

DATE
I. Jan-April 2. Sep-Nov 3. Sep-Dec 4.

SOURCE AND TYPE


Income as Lecturer, Yale Law School Income as Lecturer, Yale Law School Income as Lecturer, Yale Law School

INCOME
(you~,notspouses) $26,250.00 $26,250.00 $47,500.00

B. Spouses Non-Investment Income - If you 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.)


DATE
1. 2. 3. 4.

SOURCE AND TYPE

IV. REIMBURSEMENTS - transportation, Iodglng, food, entertainment


(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)

NONE (No reportable reimbursements.)


SOURCE DATES
2115/10 - 2117/10

LOCATION
Washington, DC

PURPOSE
Board Meeeting

ITEMS PAID OR PROVIDED


Transportation, meals, lodging

I.

American Society of International Law The CEELI Institute

2.

7118110 - 7/23/10

Prague, Czech Republic

Judicial Integrity Roundtable Rule of Law seminar Educalional seminar

Transporlation, meals, lodging

3. 4.

Wang Family Foundation National Committee on USChina Relations

I0-1-10 - 10-8-10 12/5-10 - 12/9/10

Beijing, China Beijing, China

Transporlalion, meals, lodging Transporlation, meals, lodging

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 10

Name of Person Reporting \Valker, John M.

Date of Report 5/I 1/2011

V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE
I. 2. 3.
4.

DESCRIPTION

VALUE

5.

VI. LIABILITIES. (includes ,hose oI~pouse a.d dependent children; see pp. 32-33 of filing instructions.)
NONE (]go reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 4 of 10 VII. INVESTMENTS and TRUSTS - i ....

Name of Person Reporting Walker, John M.

Date of Report 5/I 1/2011

e, ralue, transaclions (Includes those of spouse and dependent children; see pp. 34-60 of filing instruction~)

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 (I) (2) Amount T3,pe (e.g., Code I div., rent, (AdD or int.)

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

Transactions during reporting period

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

(2) (3) . Date Value rnm/dd~yy Code 2 (J-P)

(4) Gain Code I (A-H)

(5) Identity of buyer/seller (if private


transaction)

I. 2. 3. 4. 5. 6. 7. 8. 9. 10. II. 12. 13. 14. 15. 16. 17.

AES Corp American Tower Corp AMN Healthcare Svcs Arctic Glacier Income Fund Athenahealth Inc corn AT & TInc com Becton Dickinson & Co Bed Bath & Beyond lnc Bed Bath & Beyond lnc Berkshire Hathaway lnc CL B BHP Billiton Ltd Sponsored ADR Brookfield Asset Mngt Inc CL A Carmax Celgence Corp Chesapeake Energy Chevron Corp Cisco Syst Inc A B B A A A

None None None None None Dividend Dividend None

L L

T T

Buy

05/26/10

Buy J L J K L T T T T T Buy Buy Sold (part) Buy

03/09/10

05/28/10

05/28/10 01/14/10 11/18/10 05/25/10 03/30/10 05/25/10 05/25/10

J K J K K J J
A A

None Dividend Dividend None None Dividend Dividend None L K T T K K T T L T

Sold Sold (part) Sold Sold (part)

Sold

03/24/10

Sold (part)

05/26/10

I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Codes tScc Columns CI and D3) 3. Value I~.telhod Codes |See Column C21

A =$1,000 or less F =$50.001 - $ 100.000 I =$15,000 or less N =$250.001 - $500.000 P3 =$25.000.0OI - $50.000.000 Q :Appraisal U Book Value

B =$1,001 - $2.500 G =$ 100.001 - $ 1.000.000 K =$15.001 - $50.O9~ O $500.001-$1.000.000 R :Cost (Real Estate Only) V -Other

C $2.501-$5,000 111 = $ 1,0(10,001 - $5,000.000 L =$50.0OI - $100.000 P I =$1.000.001 - $5.000,000 P4 =More than $50.000.000 S =Assessment W =Estimated

D =$5,001 - $15,000 112 =M ore than $5,000,000 M =$100.001 - $250.000 P2 = $5.000.001 - $25,000.0O0 T --Cash Markc~

E =$ 15.001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 5 of 10

Name of Person Reporting \Valker, John M.

Date of Report 5/I 1/2011

V I 1. I N V E S T M E N TS a n d T R U S TS - income, ,alue, ~ansaetior~ a,e/udes those olspouse and dependent children; see pp. 34-6a of filing instruction&)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period i (l) (2) ~, Amount Typ~ (e.g., [ Code I div., rent, i (A-H) or int.) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd,~y Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)

i
18. Clear ChanneIOutdoor 19. Clear Media Ltd 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Crown Holdings Discovery Communications- A Discovery Communications-C Emerson Electric Emerson Electric Energy Transfer Partners LP FPIC Insurance Group Inc General Electric Co Gladstone Comm Corp Infinera Corp lnfinera Corp International Business Machines Corp Iridium Communications Inc Iridium Communications Inc K12 Inc Corn

None None None None None A Dividend

K J K

T T T

Sold (part)

05/25/10

Buy Sold

05/25/10 06/23/10 06/23/10 01/08/10 02/16/10 05/27/10

K K K L L J C

Buy Buy Sold

Dividend None

J J J K

T T T T

Buy

A A

Dividend Dividend None

Buy Sold

10/15/10 10/26/10 05/27/10 02/22/10 05/26/10

J J K J J C D

Dividend None

Sold (part) Buy Sold

None

I. Income Gain Codcs: (Scc Columns B 1 and D4 ) 2. Value Codes (See Colunm,~ CI and D3) 3. Value Method Codes (See Column C2)

A $1.000 or less F -$50.0<) I - $ 109.000 J =$15.000 or less N =$250.001 - $50~.0~ P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value

B =$1,001 - $2.500 G =$ 100.001 - $1.000.0~0 K =$15.001 - $50.000 O -$500.001 - $1.00~.000 R ~Sost (Real Estate Only) V =O~her

C =$2,501 - $5,0~0 I I I =$ 1.0OO.0~ I - $5.0~0.009 L =$50.001 - $100.000 PI =$1.000.001 - $5.0~,000 P4 =More than $50.000.0~0 S =Asscssmcrtt W =Estimated

D =$5.001 - $15.000 112 = More tha n $5,000.000 M =$100.001 - $250.000 P2 ~$5,000.001 - $25,000.000 T =Cash Markc~

E =115,0OI - $50.000

FINANCIAL DISCLOSURE REPORT Page 6 of 10 VII. INVESTMENTS and TRUSTS - i ....


D A. Description of Assets (including trust assets)
I (I)

Name of Person Reporting Walker, John M.

Date of Report 5/I 1/2011

e, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

NONE (No reportable income. assets, or transactions.) B. Income during reporting p~riod
(2)

C. Gross value at end of reporting period


(I) (2) (I)

D. Transactions during reporting period


(2) (3) (4) (5)

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

Amount Code I (A-H) I

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

Value Code 2 (J-P)

Value Method Code 3 (Q-W)


T

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

Date Value Gain mm/dd,~,y Code 2 Code 1 (J-P} (A-H)

Identity of buyer/seller (if private transaction)

35. 36. 37. 38. 39. 40. 41. 42. 43. 44.

Kinder Morgan Energy Partners Lamar Advertising Inc LowesCo Inc. Markel Corporation Massey EnergyCo Massey Energy Co Micro Systems Inc Microsoft Corp Millicom International Neogen Corp

Dividend

Buy

09/10/10

Distribution B Dividend None A Dividend

J L K

T T T Buy Buy Sold 02/04/10 05/03/10 08/11/10 06/01/10 06/04/10 J K J J J

None B B Dividend Dividend None Dividend None

K L K K K K

T T T T T T

Buy Sold (part)

Buy

09/13/10

45. Newalta Income FD Trust Unit .46. 47. 48. 49. 50. 51. Novartis AG Sponsored ADR Novartis AG Sponsored ADR Odyssey Healthcare Oracle Corporation Penn National Gaming Pepisco Inc
A

Buy Sold (part)

04/23/10 06/04/10

K J F E

None Dividend None Dividend

Sold Sold (paa) Sold Sold (pan)

01/08/10 ~ L 05/25/10 K 02/05/10 J 11/18110 K

I. Income Gain Codes: (See Columns B I and IM) 2. Value Codes (S~e Columns CI and D3) 3. Value Method Codes (See Colu~nn 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 - $1.1900.000 K =$15.001 - $50.000 O =$500.001 - $1.~O0.000 R =Cost |Real Estate Onlyl W

C =$2.501 - $5.000 III =$1,000,001 - $5.000.000 L =$50.001 - 1100.000 PI =$1,000.001 - $5 P4 =More than $50.000.0~0 W :Estimated

D =$5.001 - $15,000 112 =More than $5,000.000 M =$100.001 - $250.000 P2 =$5.000,001 - $25,000.000 T =Cash Mark,el

E =$15,001 -$50,000

FINANCIAL DISCLOSURE REPORT Page 7 of 10

Name of Person Reporting \Valker, John M.

Date of Report 5/I 1/2011

VII. INVESTMENTS and TRUSTS - i.come, value, ~o~acao~ a.clud~ those of spouse and dependent children; see pp. 34-60 of filing instroction~)

[]

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


Description of Assets (including trust asset~)
Place "(X)" after each asset exempt from prior disclosure

Income during reporting period


(I) (2)

Gross value at end of repoaing period


(I) (2) (I)

Transactions during ~-porting period


(2) (3) (4) (5)

Amount Code I (A-H)

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

Value Code 2 (J-P)

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

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

Date Value Gain mm/dd~y Code 2 Code I (J-P) (A-H)

Idenlib of buyer/seller (if private transaction)

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

Philip Morris Intl Inc Com Pioneer Natural Pool Corp Pozen Inc Prime Infrastructure Holdings Proctor & Gamble Six Flags Entmt Corp Smucker JM & Co Solarwinds Inc Com SPDR Gold Tr Shs Strayer Ed Inc Com Super Micro Computer Inc

A A A

Dividend Dividend Dividend None

L K K J K L J L K L K K K K K K K

Buy Sold (part)

09/09/10 05/25/10

L J
B

Sold (part)

05/27/10

B C A B

Dividend Int./Div. Dividend lnt./Div. None None

Buy Sold (part) Buy Buy Buy Sold (part)

08/06/10 11/18/10 07/26/10 03/08/10 09/21/10 06/04/10

J J K K K K D
B

Dividend None

64. Taiwan Semiconductor 65. 66. 67. 68. Thenno Fischer Scientific Inc United TechnologiesCorp Universal Display Corp Urstadt Biddle PPT A

Dividend None

Sold (part)

05/26/10

Dividend None

Dividend

I. Income Gain Codes: (See Columns BI and D4) 2. Vahle Cod,=s {See Columns CI and D3) 3, Value Melhod Codes (See Column 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 . $1.000.000 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R -Cos( (Real Estate Only) V =Olher

C =$2,501 - $5,000 Itl ~$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 =Assessment W =Estimated

D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 . $25.000.000 T =Cash Market

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 8 of 10

Name of Person Reporting Walker, John M.

Date of Report 5/I 1/2011

V II. INVESTMENTS and TR U STS -income. volue, t~u~ac,io.~ and.des ,hose olspo.se ond depe.d, nt children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets
(including trust assets) (I)

B. Income during
reporting period (2)

C. Gross value at end


of reporting period (I) (2) Value Method Code 3

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

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

[ Amount Type (e.g., Value Code I div., rent, Code 2 (A-H) (J-P) or int.)

I
I

69. 70. 71. 72. 73. 74. 75. 76.


77.

Varian Medical Systems WalMariStores Inc Wells Fargo & Co New Pershing Government Account Fidelity Cash Dreyfus Treasury Prime Inv Sh American Express Bank FSB 3.150% Bank of America
Citibank

None B A A A A B A
A

K L L K L K L

T T T T T T T

Sold (parl)

05/25/10 L

Dividend Dividend Interest Interest Dividend Interest Interest


Interest

78.

Peoples Bank

Interest

79.

I. Income Gain Codes: (See Columns BI and D4 2. Value Codes [See Columns CI and D3 3. Value Method Cod~ 1Sc Column C2)

A =$1,000 or less F =$50,001 - $10~,000 J =$15.0~0 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 - $1.000~000 K =$15.001 - $50.000 O =$500.001 - $1.000.000 R ==Cost (Real Estate Only) V =O~ho"

C =$2,501 - $5.000 III =$1.000.001 . $5.000.0~0 L ~$50.091 - $100.000 PI -$1.0~0.001 - $5.000.000 P4 =More Ihart $50.000.000 S =Assessment W =Estimated

D =$5.001 - $15.000 112 =More than $5.000,000 M $100.0~1 - $250.0~) P2 -$5.000.001 - $25.000.000 T -Cash Market

E =$15.001- $50.000

FINANCIAL DISCLOSURE REPORT Page 9 of 10

Name of Person Reporting

Date of Report

\Valker, John M.

5/I 1/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

FINANCIAL DISCLOSURE REPORT Page 10 of 10 IX. CERTIFICATION.

Name of Person Reporting Walker, John M.

Date of Report 5/I 1/2011

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 withheld because it met applicable statutory provisions permitting non-disclosure.

! 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] John M. Walker

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

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