AO 10 Rev.

1/20H [

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010

2. Court or Organization U.S. Court of Appeals, 9th
5a. Report Type (check appropriate type)

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

1. Person Reporting (last name, first, middle initial) Noonan, Jr., John T.
4. Title (Article 111 judges indicate active or senior status; magistrate judges indicate full- or part-time) ]

3. Date of Report 06/28/2011 6. Reporting Period 01/01/2010 to 12/31/2010

Nomination, [] Initial

Date [] Annual [] Final

Article 11I Judge, Senior

5b. [] Amended Report

7. Chambers or Office Address U.S. Court of Appeals 95 Seventh Street San Francisco, CA 94103

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 this form must be followed. Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on iast page.

I. POSITIONS. ~e,o.ing indivld.al only; ~e, pp. 9-13 of fillng instructions.)

~-~ NONE (No reportable positions.)

POSITION
1. 2. 3. 4. 5. President and Director Member Member Member

NAME OF ORGANIZATION/ENTITY
Thomas More-Jacques Maritain Institute (non-profit cultural organization) Advisory Council, Transparency International Editorial Board, American Journal of Jurisprndence Presidents Council, Graduate Theological School

II. AGREEMENTS. m~po,~i,g individual only; seepp. 14-16 of filing instructions,)

NONE (No reportable agreements.)

DATE
1.07/01/86 2. 3.

PARTIES AND TERMS

University of California pension based on service

Noonan, Jr., John T

FINANCIAL DISCLOSURE REPORT Page 2 of 9

Name of Person Reporting Noonan, Jr., Jol~n T.

Date of Report 06/28/2011

Ill. NON-INVESTMENT INCOME. (nepor, lng individual andspouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income
D NONE (No reportable non-investment income.) D~ATE SOURCE AND TYPE INCOME (yours, not spouses) $43,391.80 $708.51 $ 1,000.00 $1,918.00

1.2010 2. 2010 3.2010 4. 2010

Pension: University of California Royalty-West Group Foundation Press Stipend: University of Southern California Refund: California Franchise Tax Board

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, lodging, food, entertainment.

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

NONE (No reportable reimbursements.)

SOURCE DATES
3/23/2010-3/25/2010

LOCATION
Los Angeles, California

PURPOSE
Lecture

ITEMS PAID OR PROVIDED

Airfare, Transportation, Tips

1.

Institute for Advanced Catholic Studies-University of Southern Califomia Court Symposium

2.

4/18/2010-4/21/2010

Rancho Palos Verdes, California

Conference

Lodging, Food, Tips, Airfare, Transportation Airfare, Lodging, Transportation, Meal, Tips

3.

Arizona State UniversityCollege of Law

4/25/2010-4/26/2010 Tempe, Arizona

Conference

4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 9

Name of Person Reporting Noonan, Jr., John T.

Date of Report 06/28/201 I

V. GIFTS. a,,aodes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE
1. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. anclu,~es those of spouse and dependent children; seepp. 32-33 of fillng instruction&)
NONE (No reportable liabilities.)

CREDITOR
1. 2. 3. 4. 5.

DESCRIPTION

VALUE CODE

FINANCIAL DISCLOSURE REPORT Page 4 of 9

Name of Person Reporting Noonan, Jr., John T.

Date of Report 06/28/2011

VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)

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) Amount Code l (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period Transactions during reporting period (1) Type (e.g., buy, sell, redemption)

(i)
Value Code 2 (J-P)

(2)
Value Method Code 3

(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) CA-H)

(5)
I~tentity of buyer/seller (if private transaction)

(Q-W)
1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. Fidelity Magellan Fund Fidelity CA Muni Income Fund (formerly Spartan CA Muni Fd) BP P.L.C. Wells Fargo Checking Account Wells Fargo Market Rate Account Wells Fargo IRAs Dreyfus Muni Bond Fund (formerly Insured Muni Bond Fund) Teachers Insurance and Annuity Association DWS Global Fund (formerly Scudder Intl Bond Fund Wells Fargo Investments-Thomburg Investment Trust Wells Fargo Bank CD (formerly Wachovia Time Deposit) Fidelity Investments (X) Fidelity Investments (X) Legacy Treasury Direct (X) Legacy Treasury Direct (X) Bank of America (formerly Cambridge Trusl Company) (X) Brokerage Account Number l Bear Steams A D A A A B A D B D A C A B B A Dividend Interest Dividend Interest Dividend Interest Dividend Interest Dividend Dividend Interest Dividend Dividend Interest Interest Interest N J K K L T T T T T M K N T T T Closed 04/24/10 M M J M
L

T T T T
T

T Redeemed 03/03/10 J A

1. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)

A =$1,000 or less F =$ 50,00 ! - $ 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 =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 H I =$ 1,000,001 - $ 5,000,000 L = $50.001 - $ 100,000 P 1 =$ 1,000,001 - $5,000,000 P4 -More than $50,000,000 S -Asscssmcnt W =Estimated

D =$5,001 - $15,000 H2 =M ore 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 5 of 9

Name of Person Reporting Noonan, Jr., John T.

Date of Report 06/28/201 I

VII. INVESTMENTS and TRU S TS - i.co.,c, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

NOINE(No reportable income, assets, or transactions.)

A. Description of Assets (including trust assets) Place "(X)" after each asset exernptffompriordisclosure B. Income during reporting period (1) Amount Code 1 (A-H) (2) Type (e~g, div.,rent~ or int.) C. Gross value at end of reporting period (1) Value Code2 (J-P) D. Transactions during reporting period (2) (3) (4) Date Value mm/dd/yy Code2 (J-P)

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

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

Gain Code 1 (A-H)

(5) Identity of buyer/seller

(if private transaction)

18. 19. 20. 2 i. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

-JP Morgan Chase -General Mills -Procter & Gamble Common -Neurobiological Technologies -BP P.L.C. -Coca ColaCommon -Eli Lilly Corporation -IBM Common -Fortune Brands -Monsanto -Pfizer -Calvert Social Investment Fund -JP Morgan Prime Money Market Fund -JP Morgan Prime Money Market Fund -JP Morgan Prime Money Market Fund -Diamond Hill Long-Short Fund -Ca State University Revenue Bond

A B B

Dividend Dividend Dividend None

L L L J K L K L K K K K M

A B B B A A B

Dividend Dividend Dividend Dividend Dividend Dividend Dividend None

Interest

Buy Buy Buy

02/01/10 08/02/10 11/01/10

J J J

None B Interest

L K

T T

I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Colunm C2)

A =$1,000 or Icss 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 =Cost (Real Estate Only) V =Othcr

C =$2,501 - $5,000 H I =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P I =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Asscssmcnt W =Estimated

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- $50,000

FINANCIAL DISCLOSURE REPORT Page 6 of 9

Name of Person Reporting Noonan, Jr., John T.

Date of Report 06/28/2011

VII. INVE STMENTS and TRUSTS - i.come, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)
NO~E (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 (1) (2) Amount Type (e.g., Code 1 div., rent, (A-H) orint.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code3 (Q-W) T T Redeemed Buy Buy Sold Sold Sold Sold Sold Sold Sold Sold Buy Buy Buy Buy 05/03/I0 07/06/10 07/06/10 07/06/10 07/06/10 07/06/10 07/06/10 10/05/10 10/05/10 10/05/10 10/05/10 10/05/10 10/05/10 10/05/10 10/05/10 J J K J J J J K J J J J J K J A A A A A A A A A (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) Date mm/dd/yy (3) (4) Value Gain Code 2 Code I O-P) [ (A-H) (5) Identity of buyer/seller (ifpnvate transaction)

35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.

-North of the River Sanitary District Bond Trust Number I (No personal income) -WestfieldMass GO Bonds -Fleet International Equity Fund -Fleet "rax Exempt Fund -Fleet Large Cap Value Fund -Fleet Small Cap Growth Fund -Fleet MidCap Growth Fund -Fleet Large Cap Growth Fund -Fleet International Equity Fund -Fleet Small Cap Growth Fund -Fleet Mid Cap Growth Fund -Fleet TaxExempt Fund -Columbia High Yield Muni Fund -Fleet Large Cap Value Fund -Delaware Emerging Markets Fund -Natixis Funds Trust

B D

Interest Dividend

K N

1. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes ( See Columns C I and D3) 3. Value Method Codes (Scc 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 o $50,000,000 Q =Appraisal U =Book Value

B =$1,00l - $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 =Other

C -$2,501 - $5,000 H l =$1,000,001 - $5,000,000 L -$50,001 - $100,000 P I =$ 1,000,001 - $5,000,000 P4 -More than $50,000.000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5,000,000 M -$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market

E =$15,001- $50,000

FINANCIAL DISCLOSURE REPORT Page 7 of 9

Name of Person Reporting Noonan, Jr., John T.

Date of Report 06/28/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 o/filing instructions.)
NOI~E (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 (1) (2) Type (e.g., Amount Code 1 div., rent. (A-H) or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q -W)
Transactions during reporting period

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

(2) Date mm/dd~yy

(3) (4) Value Gain Code 2 Code 1 (J-P) (A-H)

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

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

-Old Mutual Mid Cap Value Fund -Pimco Commodity Real Return Fund -Westc0re Small Cap Value Fund Trust Number 2 (No personal income) -Columbia High Yield Muni Fund -Delaware Emerging Markets Fund -Eaton Vance Large Cap Value Fund -Pimco Commodity Fund -Fleet International EquityFund -Fleet Small Cap Growth Fund -MA Intermediate Term Fund -Fleet Mid Cap Growth Fund -Fleet Large Cap Growth Fund D Dividend M T

Buy Buy Buy

10/05/10 10/05/10 10/05/i 0

J J J

Buy Buy Buy Buy Sold Sold Sold Sold Sold

10/05/10 10/05/10 10/05/I 0 10/05/10 10/05/10 10/05/10 10/05/10 10/05/10 10/05/10

J J J J J J J J J A A A A A

I. I ncome Gain Codes: (See Columns B I and 194) 2. Value Codes (See Columns C I and D3) 3. Value Method 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 =$100,00! - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other

C =$2,501 - $5,000 H1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 PI =$I,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated

D =$5,001 - $15,000 H2 ~More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 o $25,000,000 T =Cash Market

E =$15,001- $50,000

FINANCIAL DISCLOSURE REPORT Page 8 of 9

Name of Person Reporting Noonan, Jr., John T.

Date of Report 06/28/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indleate part of report.)

Two trusts referred to in this report are as follow: 1. Trust: The~ ~ Trust was created by ~"* ~ ~ on December 15 1976. It became irrevocable on her death in 1990 and divided into three shares. The trustee has discretion to pay the income and principal of my share to

~ 1976 Trust: 1976 Trust was formed by in 1976 and became irrevocable on his death in 1987. On his death the property was divided into equal shares The trustee has discretion to pay some or all of the net income or principal of my sha The trust terminates on the death years of age. At the request of the Committee on Financial Disclosure, I have summarized the reports I have received. In April 2000, Fleet Bank acquired the Bank of Boston and became the trustee of the above trusts. The trusts were also subdivided into distinct trusts for each of the of the grantors, so that there is now a distinct trust for~ : ~ under the same trust instruments. Report is not made here of the sales of odd lots (typically one or two shares) made to make it easier to divide the trusts into thirds. The money market fund, Galaxy, was arranged by Fleet to take over the functions performed by the money market Boston 1784 funds; investments in these money market funds are noted on an annual basis.

FINANCIAL DISCLOSURE REPORT Page 9 of 9 IX. CERTIFICATION.

Name of Person Reporting Noonan, Jr., John T.

Date of Report 06/28/201 I

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 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 T. Noonan, Jr.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS 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