FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009

1. Person Reporting (last name. first, middle initial) KING, CAROLYN D. ,~i"ritle (ArIicle III judges indicate acti ....... ior status; magistrale judges indicate full- or part-time) U.S. CIRCI, JITJUD(}E(ACTIVE) 2. Court or Organization U.S. COURT OF APPEALS 5TH CIR. ~a. Report Type (check appropriate b, pe)

Reporl Required by the Ethics

(5 u.s.c, app. 1ot-I11)
: 3. Date of Report 05/06/2010 6. Reporti,g Period 0~/01/2009 to 12/3 I,,2009 in Government Act of 1978

7. Chambers ur Office Address U.S. CO(JR.THOUSE, ROOM 11020 515 RUSK AVENUE t!OUSTON, TX 77002-2694

Date [] Annual [] Final ........... 5b. [---] Amended Reporl 8. On the basis of the information contained in this Report and any modilieations pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. [] Nominalion, [] Initial Reviewing Officer Date

IMPOR TA NT NOTES: The instructions accompanying this form must be folio wecL Cornplete all parts,
checMng the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. (Reporting individual only ~eepp. 9-13 of filing instructions.)

~] NON E ~o reporlable positions,) POSITION 1, MEMBEI~ OF BOARD OF DIRECTORS AND OF THE BOARDS EXECUTIVE COMMtqTEE RESEARCH FELLOW MEMBER OF COUNCIL AND OF COUNCILS EXECUTIVE COMMITTEE MEMBER OF ADVISORY BOARD N___AME OF ORGANIZATION/ENTITY SOUTH TEXAS COLLEGE OF LAW

2. 3.

TIlE CENTER FOR AMERICAN AND INTERNATIONAL LAW AlvlERICAN LAW INSTITUTE

4.

TIlE CENTER FOR TItOMISTIC STUDIES, UNIVERSITY OF SAINT TI!OMAS UNIVERSITY OF SAINT THOMAS AMERICAN SOCIETY OF INTERNATIONAL LAW

5. 6.

MEMBER OF PRESIDENTS BOARD OF ADVISORS MEMBER OF ADVISORY BOARD OF THE JUDICIAL OUTREACH PROGRAM MEMBER OF BOARD OF TRUSTEES AND OF THE BOARDS EXECUTIVE COMMITTEE

7.

BAYLOR COLLEGE OF MEDICINE

II. AGREEMENTS. ~g~po~,i,g individual only; see pp. 14-16 affillng i ......

tions.) ~ =. :

~/9 .. .... ~

NONE (No reportable agreements.) ~ATE PARTIES AND TE~S ~

King, Carolyn D.

FINANCIAL DISCLOSURE REPORT Page 2 of 9

~ ....~,-soo R~,o,-,i..~ KING, CAROLYN D.

r,~.e of Ro~,ort 05/06/2010

III. NON-INVESTMENT INCOME. (aepor,i.g i.d,,id,,.~ ..~ ,p ....; ,e~ p,. ~7-~4 o::~i,,g i.,,~,,~ao.~.)
A. Fiters Non-Investment Income
NONE (No reportable non-investment income.) DATE
I. 2. 3. 4.

SOURCE AND TYPE

~
(yours, no! spouses)

B. Spouses Non-Investment Income - tf you were married during any portion of the reporting ),ear, complete this sectio~
(Dollar amount not requhd except for honoraria,)

~
1. 2009 2. 3. 4,

N ONE ~qo reportable non-investment income.) ~ SOURCE AND TYPE

See a~ched repofl of Thom~ M. Reavley

IV. REIMBURSEMENTS -,.a.,porta~o., Iodgi.g, ZooU, e.,o~,oi .... .

(Includes those to spouse and dependent children, see pp. 25-27 of filing ir~truc~ion~ )

NONE (No reportable reimbursements.) ~ ~

01/23/2009

LOCATION
AUSTIN, TX

P.,URPOSE
SPEECH AT UNIVERSITY OF TEXAS LAW SCHOOL ATTEND ASIL MEETING ATTEND ALl EXECUTIVE COMMrFIEE RETREAT ATTEND WOMENS POWER SUMMIT ON LAW AND LEADERSttlP

ITEMS PAID OR PROVIDED

REIMBURSEMENT OF AIRFARE.

1.

UNIVERSITY OF TEXAS LAW SCHOOL

2.

AMERICAN SOCIETY OF INTERNATIONAL LAW AMERICAN LAW INSTITUTE

03,19/2009 03/20/2009 03/26/2009 03/28/2009

WASHINGTON, DC

REIMBURSEMENT OF AIP.FARE, LODGING AND MEALS. REIMBURSEMENT OF A1RFAILE, LADING, MEALS ,AND GROUN L) TRANSPORTATION. REIMBURSEMENT OF AIRFAP-~., LODGING AND MEALS.

3.

SANTA FE, NM

4.

UNIVERSITY OF TEXAS LAW SCHOOL

04/29/2009 05/01/2009

AUSTIN, TX

FINANCIAL DISCLOSURE REPORT Page 3 of 9

5. AMERICAN LAW INSTITUTE 10/21/2009 10/25/2009

~ame of P ..... Reporting

Date of Repor~

K~N~, CAROLYN D.

05/06/20~0

NEW YORK. NY

ATTEND ALl COUNCIL REIMBURSEMENT OF AIRFAR-E, MEETING LODING, MEALS AND GROUND TRANSPORTATION. ATIEND ALl COUNCIl. MEETING REIMBURSEMENT OF A1RFARE, LODGING, MEALS AND GROUND TRANSPORTATION.

6.

AMERICAN LAW INSTITUTE

12/02/2009 12/0412009

PHILADELPHIA, PA

FINANCIAL DISCLOSURE REPORT

N~ of Person Reporting KING, CAROLYN D.

Date of Report: 05/06/2010

Page 4 of 9

V. GIFTS. lnct,ae~ tt~o~e ,o spo,s~ a,,a a~pena~,t chitare,; see pp. 2S-Zt of fding instructiot~)
NONE ~o reportable gifts.) SOURCE 1. 2. 3. 4. 5. DESCRIPTION _VALUE

VI. LIABILITIES. a,~ae, tho~ oy.v ......

~ NONE (NO reportable liabilities.) CREDITOR I. 2. 3. 4. 5. 2009

d dependent childrenz see pp. 32-33 of liling instructions.)

DESCRIPTION
See altached report of Thomas M. Reavley

V,~RJE CODE

FINANCIAL DISCLOSURE REPORT

it N~e o~ ~e~o~ aepo~t~g

[ KING, CAROLYN D.

Page 5 of 9
VII. INVESTMENTS and TRUSTS - i .......

[
l

~te of m~po.
05/06/20~ 0

,,~,, transaclions (Includes those of spouse and dependen, children; see pp. 34-60 of filing instructions.)

NONE ~to reportable income, assets, or transactionsO

D~cription of Assets (including ~st assets) Place "{XD" after each asset exempt from prior disclosure ~ h)come during r~orting ~ri~ ] Gross value at end of re~ ng ~r od Transactions during reposing period

) (~)

(2)

0)
Value Code 2 (J-P)

(2)
Value Method Code 3

(~)
T~e (e.g., buy. sell, redemption)

(2)
Date mn~d~ ;~ ~

(3)
Value Code 2 (J-P) ~ .... Gain Code I (A-H) IdenliD of buyer/seller (if private transaction)

~ .~ount T~e (e.g., Code 1 . div., rent, ~ (A-H) ~ or int.)

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

I. 2. ~ 3. 4. 5. i 6. 7~ 8.

Compass Bank Houslon, TX (Money M~ket) Cili~oup Common Stock (fo~erly Citico~)

A A

Interest Dividend

T Sold Sold 2/11109 5/8/09 J J

J.P, Morgan Chase Common Stock (fo~erly J.P. Morgan & Co.) General Electro Co, Common Stock 4.85% University of North Carolina-Chapel Hill Rev. RFDG Bonds Due 11/I/2010 IBM Common Stock Exxon Mobil Corp. Common Stock

A C B

Dividend Dividend Interest

K L K

T T T Buy 2/10/09 J

A B

Dividend Dividend None

K L J

Y T T Buy 6,;16/09 K

] 10." Compass Bank Checking .~count i~ the

Name of

11. 12. 13. 14. 15. 16. 17.

Carolyn D. King or Thomas M. Reavley T, Rowe Price Small Cap Value Fund B Distribution Dividend T. Rowe Price New Era Fund B Distribution Dividend ...... Northwestern Mutual Whole Life Policies See Part VIII Abbott Labs Common Stock E B Dividend Dividend N L V T M M T

FINANCIALDISCLOSURE REPORT Page 6 of 9

Name of Person Reporting

Date of Report

05/06/2010 I ~:~NG, C~OLVt~ o.

VII. INVESTMENTS an d TRUSTS - i ......... lue, , .... ctions (Includes those of sp ........ d dependent children; see pp. 34-60 ,~f fiting instructions.)
NONE (No reportable income, assets, or transactions.) Description of Asscl~ (inclodi.g uust assets) Place"(X)" after each asset exempt from prior disclomre l~cotne during reporting period I~Amunt I Code 1 (A-H) Type (e.g., div., rent, or int.) [ Gross value at cad ! of reporting period / Value Value Method / Code2 ! (J-P) Code 3 (Q-W) i Transactions during reporting period

Type (e.g.. ! Datei Value Gain buy, sell ....... dd/yy ! Code 2 I Code 1 redemption) ] (JP) ! (A-H) i I Sold 5/8/09 K A

ldenti~y of buyer/sel|er (if private transaction)

18. 19. 20. 2 I. 22. I 23. 24. 25. 26. 27. 28. 29. 30.

Cisco Systems Common Stock lllinoisToo] Works Inc Common Stock 5.25% Indiana St. Office Bldg. Comm Bonds Due 7/1/10 BP Amoco PLC Microsoft 3.25% Danbury, Connecticut Bonds Due 8/!/20t0 5% California Economic Recovery, Bonds Due 7/I12015 Procter 8: Gamble Common Stock 3.8% NY State Thruway Aut. Gen. Rev. Bonds Due t/1/2015 5% Denver Cold City & Cnty Rev. Bonds Due 9i 1 !2 015 Akron, OH CTFS PARTN 5% Bonds Due 12!01 i2017 Corpus Christi, TX Ufil Svs Rev 4% Bo~lds Due 7t15/2012 Northwestern Mutual Variable Annuity Policy D C D A C C B C C D C

None Dividend Interest Dividend Dividend Inleres! Interesl Dividend -. Interest Interest tnlerest Interest None M M L M M M M L T T T T T T T T N L T T

Sold Sold

6,16/09 5!8/09

M K

Buy

2/t !/09

31. annuitant) 32. Tan-ant Cnty Tex Hea B LTH FACS Dev Corp 5% Bonds C I" Interest M T

33. Due 12/1/2019 34. Texas Transn Commn ST Hwy FD Re,., 5% Bonds Due 411/2019 C Interest M T

FINANCIAL DISCLOSURE REPORT

Nameof~e ....

Reporting

DateofReport

Page 7 of 9 ] KING, CAROLYN D.

VII. INVESTMENTS and TRUSTS - i .........
[~

05/06/2010
tions (Includes those of sp ...... d dependent children; see pp. 34-60 of filing instructions.) I,,, t .......

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

De~fiplion of Asse~ (including ~st assets) Plaee"(X)" ~er ~ch assel exempt from prior disclosure Income duff,g r~ofling peri~ Gross value al end [ ] ofre~ming ~6od , Value Mcth~ C~e3 (Q-W) T~c {e.g., I buy, sell, ~ red~plion) i Transactions during reporting period

Amount ~ Tvpe(e g. ~ Va ue C~e 1 ~ ; div.,mnt, ] Ct~e 2 I (A-I]) " " or int.) ~ (J-P) ~ ~ [

Va~ue 1 ~ate m~dd/~ C~o 2 {Code I (J-P)~ [ [A-H) ~ ~

buy~!se~ler (ffpriva~e transaction)

35, 36. 37.

38. 3~

No~hwestem Mutual Insurance Se~ice Account Genial Municipal Mny Mkt Fund Glaxosmilhklin~ PLC
NestleSA Novanis AG

A A A

Interest Interest Dividend

None

Y Redeemed 5/4/09 M Issuer

T
Sold 2/11/09 K

Dividend

Sold

5/8/09

40. 41.

N~vo Nordisk A.S.

Dividend

Buy

2111/09

K K

Sold Goldman Sachs Bank ln~eres~ I T

6/16/09 5/29,~09

42.

A B

~en Buy

~ 43. 44.

King CNTY WA SCH GO 5% Bonds Due

Interest

6/16/09

Texas GO 5% Bonds Due 4/1/20!9 Ph~ni~ AZ Rev. 5% Bonds Due 7/ff2018

None

Buy

12/14/09

45.

None

M g

T T

Buy ~uy

623/09

46. 47. 48.

Chevron Co~. Royal ~u~ch Shell

A B

Dividend ~ividend

6/I 6/09 6/16/09

Buy

FINANCIAL DISCLOSURE REPORT

~ ..... f P ..... Reporting

Date of Report

Page 8 of 9

K~NC, CAROLYN D.

05/06/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

In response to Part VII C, 1 have reported the aggregate cash surrender value for the whole life policies. In response to Part VII B, I have shown the aggregate amount of the dividends on those policies, which are used to pay the premit~ms and increase the cash snrrender value. I am married to Circuit Judge Thomas M. Reavley. 1 have attached a copy of his Financial Disclosure Report for 2009 for the information about my spouse required by the Instructions.

FINANCIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

N .... fPerson Reporting KING, CAROLYN D.

Da,e of Report 05/06/2010

l certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, troe, and complete |o the best of my knowledge and belief, and that any infarmation not reported was withheld because it met applicable statutory provisions permitting non-disclosnre. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the pro~isions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations,

Si

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND W1LFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed origina! 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

Ao 1o gev. ~12010

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

2, Court or Organization Fifth Circuit Court of Appeals 5a. Report Type (check appropriate i3,pe) l 1-- "[ Nomination, Date

Report Requiredl~y the Ethics in Government Act ofl978 (s u.s.c, app.

3. Date of Report 03/24/2010 6. Reporting Period 01/0II2009 12!31/2009

I. Person Reporting 0ast name, firsl, middle initial) Reavley, Thomas M. 4, Title (Article I]I judges indicate active or s~nior status; magistrate judges indicate full- or part-time)

i Sb. [] ~~eode~ ~po~

7. Chambers or Office Address Bob Casey Federal Courthouse 515 Rusk Street, R~om ] I009 Houston, Texas 77002 8, On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.

Reviewing Officer

Date

IMPORTANT NOTES: The instructions accompanying thi~ form must be fotlowed~ Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.

1. POSITIONS. cR~po~g individual only; see pp. 9-t3 of filing instruaions.)

NONE ~ro reportable positions.)

POSITION
I. 2, 3.

.,NAME O_F ORGANIZATION/ENTITY

1I. AGREEMENTS. ~g~pon~.g indb,iduat only; see pp, 14-16 of filing instructiort~.)
NONE ,(No reporlable agreements.) DATE
I.

PAP, TIES AND TERMS~

FINANCIAL DISCLOSUR~ REPORT Page 2 of 7

,~ame of Person Reporting Reavley, Thomas M.

Date of Report 03t2412010

A. Fflers Non-Investment Income

~ONE ~o reportable non-investment income.)

DATE
1. 2009 2. 3. 4.

SO~CE AND TYPE

5tote of Texas, Judicial Retirement

~COME
(yo~s, not spouses) $68,400.00

B. Spouses Non-Investment Income - tf 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, 2009 2. 3, 4.

.SOURCE AND TYPE

See attached report of Carolyn D. King

IV. REIMBURSEMENTS (Includes those to spouse and dependent children," see pp. 25-27 of filing instructions.)

NONE ,(No reporlable reimbursements~) S U_Q_U__g_~_

1. 2. 3. 4.

DATES

L__OCATION

PURPOSE

ITEMS PAID OR PROVIDED

[Name PageFINANCIAL3 of 7 DISCLOSURE REPORT I Reavley, Thomas

V. GIFTS. a~ct~aes those to spouse ,~a aependent chil~lren~ see pt~. 28-31 Of fttlng instructions.)
NONE (No reportable g~s.) SOURCE.
1. 2. 3. 4. 5.

of Person Reporting

Date of Report

M.

03/24/2010 ]

DESCRIPT!ON

.1. l.,l..i~kl~.lL~lll.~O. (Includes those of sp ...... d dependent children: s~e pp. 32-33 of filing instruction&)

~ NONE (No reporlabte fiabilities.)

CREDITOR
1. 2. 3. 4. 5. Prudential Insurance Co. Policy Loan

DESCRIPTION

VALUE CODE
K

FINANCIAL DISCLOSURE REPORT

Page 4 of 7

Reavley, Thomas M.

03/24/2010

~ONE ~o reportable income, assets, or ~ansactions.)

~.
D~cdption of Ass~

~
~ ~

~.
Income during re~ing ~fi~

c.

D.
Tran~c6ons during reporting period

G~ss value a.~ end[ of r~o~ing ~riod

exempt from prior disclosure

~ Code ! ]div., rent, orint.)

Code 2 (J-P)

] Mem~ ]
] Co~e3 /

buy, sell,
~d~ption)

m~d~ Co~e 2 Code ~

(ifpfiwte

[1.

Comp~s Bank (Houston)

Interest

2. 3. 4. 5. ~.

RoyalU ~enddx) Pe~s Count, Texas Minerals (Samson) Nacogdoches CounW, Texas Minerals (Apache) Nacogd0ches Coun~, Texas Minerals (Basa) Nacogd~hes CounW, Tex~ Ch~e Bank (Houston)

A F B A A

RoyalU Royal~ Royal~ RoyalU Interest

2 O K J L

W W W W T

8. 9. !0. I I.
12.

Minerals (Chesapeake) Nacogdoches CounU, Tex~ Fee Land, Lano County, Texas

RoyalU None

J K

W W

Prudential Insmance Company

lnt.~iv.

14. 15. 16. 17.

Indigo Minerals (BP) Panola ounU, Tex~ Minerals (EOG) Nacogdoches County, Texas Minerals (AC Exp) Shelby Count, Texas

E C A D

RoyalU RoyalU Royal~ Royal~

N K J M

W W W W [

Name of Person Reporting

Dare of Report

PageFINANCIAL5 of 7 DISCLOSURE REPORT ]

Reavlev, Thomas M.

03/24/2010

N ONE (No reportable income, assets, or transactions.)

Description of Asse~. ~inc|uding Irtmt assets) Income "during.lGross value at end reporting period ~ ofreport_i~g period Transactions duringD" reporting period

(Q-W) 18. Minerals (Noble) Nacogdoches Cqunty, Texas D R%,alty L W

transaction)

20.

Minerals (XTO) Nacogdoches County, Texas

Royalty

22. 23.

25. 26. 27, 28. 29. 30, 31. 32,

Minerals (Delta Pe2oleum) Newton Counb,, Texas General Municipal Money Market Fund Colorado Springs Hospital Rev Bond Texas State Bond University of Texas Permanent Bond 5% Due 7/01/13 Corpus Christi Bond 4% Due 7/15/11 Greater Clark County, Colorado Bond 5% Due 7/15/t I Akron, Ohio Bond 5% Due 1/12/17 A B B C B B A

None Interest Interest Interest Interest Interest Interest lnteres~ None

J L

W T Redeemed 7/18/09 ]" L Issuer

M M M M M M

T T T T T T

33. HousIon, Texas Bond (SER, E)

i. h~eorne m,m codes:=$~,ooo or l~ssB =SLOOt - $2,S00 C =$~,~0~ - S~,O00 =SS,O0~ -S~koo0 t, D

E ~S~S,OOS - ~,~ ~

FINANCIAL DISCLOSURE REPORT Page 6 of 7

{ Name of Person Reporting

I Reavley, Thomas M.

Date of Repor~ 03/24/2010

VIII. ADDITIONAL INFO1LMATION OR EXPLANATIONS. (lndicatepar~ of Report)

My spouse is Carolyn D. King. I ar~h a copy of her financial disclosure reporl for my report of her finances. VII Items 19 and 20 - XTO owned this lease 2009 (explained 2008 report).

FINANCIAL DISCLOSURE REPORT Page 7 of 7 IX. CERTIFICATION.

Reavley, Thomas M.

03/24/201

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. i further certify that earned income from outside employment and honoraria and the acceptance of gifts which have beeo reported are in comp|iance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

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

FIL1NG INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-30t One Columbus Circle, N.E. Washington, D.C. 20544