~o Io Rev, 1/20t0

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

2. Court or Organ~nllon Ten~ Ci~uit 5a. Repe~ Type (ch~k appro~iate ~) ~ Nominatio~ ~ lni~al Dale ~ Annul ~ Fill

aeport Required by the Ethics in Government Act of 1978 (~ u.s.c, opp. b lot.l t O
3. Date of Report ~/06~010 6. RepoSing PtHod 01/01/2~9 to 12/3112009

1. Permn Reporting (I.~t name, first, mille initial) BRORBY, W~E 4. Ttt~ (A~icte I~ judges indicate active or ~ior ~a~s; magis~t j~g~ indi~te ~11- or poa.~me) Ci~uitJudge. Senior

7. Chambe~ or O~ce Add~s P.O. Box 1028 Chycm~. ~ 82003

S. On the basis of the Information onfined In thl~ Repo~ I~d any modlflca~ons pertaining thereto. It Is, In my opinion, In compliance wl~ applicable laws and regulations. Reviewing O~cer Date

IMPORTANT NOTES: The instructions accompanying thls form must be followetL Complete all par~s,
checking the NONE box for each part where you have no reportable informatlor~ Sign on last page.

NONE (No reportablepo~itions.) POSITION NAMI~ OF ORGANIZATION/ENTITY

Trust #1

I.

Co-Trustee

NO~ ~o repo~able agreements.) ~ PARTIES A~

~"

Brorby, Wade

FINANCIAL DISCLOSURE REPORT

I ,~ame of Person Reporting

Date of Repor, [

Page 2 of 1O

BRORBY, WADE

04/06/2010

III. NON-INVESTMENT INCOME. (R,,o~a.# J~a,ut~ot ,,d ,~oRs,: ~,e rp. 17.:~ o~ i~r~,~o~7
A. Filers Non-Investment Income NONE (No repo~able non-inves~ent income.) SO~CE A~ ~E
1. 2. 3. 4. (youn, not s~uses)

B. Spouses Non-Investment Income - lf ~u ~ ma~&d during any po~ion of the ~po~ing ~,ear, compile thl~
(DolOr a~nt not requ~ ~cept for honoraria,)

~ NO~ ~o reportable non-in~es~ent incomeO

SO~CE
1. 11~5/09 2. P~denfial Insurance - Policy Dividend - See PaO VIII

3,
4,

IV. REIMBURSEMENTS -~R~po,~io,. tod~,.~-o~. ,~t, mi .... ~

(Includes those to s,~use and dependent children; see pp. 25-27 of filing instructionx.)

NONE (70 reportable reimbursements.) ~

1. 2. 3.
4.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 10

Name of Person Reporting

Date of Rcport

~/o6,~o~o I

V. GIFTS. a.~t,~ ,no,, to ,~o~, .~ a,~,.a,~, children; see pp. 28-31 of filYn~
NONE (No reportab& g~s.) ~
1.
2.

DESCR~QN

3. 4. 5.

VI. LIAB ILITIES. a,~a~,t,~ ~ho~ o[~p ...... ~ ~,~,~ ~tZ,~,: ~o p,. Z:.~ o~1~,~
NONE (No reportable liabilities.) CREDITOR
1. 2.

DESCRIPTION

VALUE CODE

3.
4.

5.

FINANCIAL DISCLOSURE REPORT Page 4 of 10 VII. INVESTMENTS and TRUSTS - i~.o.,., ~.ru., t .... ,tons and~,~ ,ho.e oI~o ..... ~ ~.~., .~it~
NONE ~o reportable income, ~sets, or trm~actions.)
A. Description of Asse~ (including ~t asse~) Pia~(X)a~er~chasset exempt from prior d~e]os~e B. Income during reposing peri~ ~o~t] Type(e.g., C~e 1 div.,rea~ (A-H) ~ ~int.) C. Gross value at ~d of ~ing ~ VaI~e Code 2
(J-P)

04/06/2010

D. T~sacfions du~ng ~ing

] Va~ i Method C~e 3

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

[ Date m~d~ C~ 2 ] Code I ~ (J-P) (A-H)

buyer/seller (ifprivate

--A~dian Emerging Markets (AEM~X) --A~o lntl Equity Fund 4. 5. 6. 7. --Dodge & Cox Intl Stock Fund (DODEX) --Exxon Mobil Corp. (stock) (XOb/D --Federated Total Retn Bond (FTRFX) --Ishares TR Barclays Agg. Bond Fund Buy (addl) Sold Buy 11/04/09 07/22/09 07/22/09 J J K A

9. "10. 1 I. 12. 13. 14. 15. 16. 17.

--Johnson & Johnson {s~ock) (JNJ) --Loomis Sayles Bond Fund (LSBRX) --Mannhag & Napier World Oppty. (EXWAX)

Sold

07/22/09

Buy (add2) Buy (addl) Buy (addl) Buy (addI)

01/20/09 02/20/09 03/20/09 IM/20/09 !07/22/09~ 07/22/09 07/22/09

J J

J J J J

--MerrillLynch 6.45% (MER+K) --Morgan Stanley 6.6% Cap Trust (MSZ) --Nuveen Multi Strat (JPC)

Sold Sold Sold

Value Meth~ Codm (S~ Cd~n C2)

P3 ~$25,~0,~1 - $50,0~,~0 Q ~App~l U ~B~k Value

R -Cost (R~I E~late ~ly) V~

P4 =M~e than $50,~,~ S =A~s~sm~t W =E~ima~

T ~sh M~et

FINANCIAL DISCLOSURE REPORT

N .... f P ..... Reporting

Date of Report

Page 5 of 10

nROR~V, WADE
I

04106/2010

VII. INVESTMENTS an d TRUSTS - ~o~,,, ~,1,,, , ..... aio,, (1~1~1d~ hosg" of $t~ ...... d de~nd, nt children; $e pgg .1-60 of fill,#
NO~ (No repo~able income, assets, or transaction.)
~scription of Assets (incl~ing tm~ ~se~) Place "(X)" a~er each ~set exempt from ~or disclosure [ Income during [ [ A~unt I, Code I H) ~ing period T~ (e.g., div., ~nt, or int.) Gross value at end of~poaing p~iod Value Code 2 (J-P) Value Method C~e 3 Type {e.g.. ~y, sell r~emption) T~nsactions during ~ing pe6od

Date ] Value m~d&~ C~e 2 (J-P)

Gain C~ I (A-H)

Idenfi~ of buyedseller (if private

18.

--Pam~sus Equi~ In.me Fund (P~LX)

Buy (addl) Buy (addl)

01~0/~ 0~20/~ J 03~0/~ ~0/09

20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. TRUST #h 34. F lnt./Div. 0 T "" --Pimco Total Remm F~d CI~s D -Royce Pe~lv~ia(PE~) --Royce TR Fund (RYTR.X) --Schwab Premier Equity Select (Investor) Shares (SWPSX) --Sector SPDR Tech Select Shares (XLK) -~SPDR. S& P Div. ETF (SDY) --UMB Scout International Fund (UMBWX) --Value Line Emerging Oppty. Fund (VLEOX)

Buy (addl) Buy (addl)

J J

Buy

11/16109

Sold Buy Buy

07/22/09 07/22/09 07/2209

K J K

Buy (addl) Buy (addJ) Buy (addl) Buy (addl) Sold

01/20/09 02/20/09 03/20/09 04/20/09 1/13/09

J J J J J A

I, Income Gain Codes: (5 Columns B[ and D4) 2. Value Codes (See Colttm~ CI and D3) 3, Val~ Method Codes (See Column C2)

A-$l,0OOvrless F =$50.001 - $100.000 J -$ I 5.~00 or less N *$250.001 - $500.000 P3 ~$25.000.001 - $50.000.0(~0 Q -Appraisal O ~Book Value

B-$1,001-$2,500 G =$100.001 - $1.000.000 K ~ I 5.001 - $50.000 O ~$5ff).00| - $1.0~(I.000 R -Cost (Real Estate Only) V ~01h~

C-$2,501 -$5,0~0 H l ~$1.000.001 - $5.000.000 L = $50.001 - $ 100.000 PI ~$1.000.001 - $5.000.000 P4 ~Mor~ th~n $50.000.000 S ~Ass~sment W =Estimated

D-$5,001 -S15,000 H2 =More than 55.000.000 M --$ 100.001 - S250.000 P2 =$5.000.001 - $25.000.000 T ~ash Mar "k~

E3$15,001 - $50,009

Name of Person Reportlng

PageFINANCIAL6 of i0 DISCLOSURE REPORT VII. IN VESTMENTS and TRUSTS - i.co,~e,

NONE (No reportable income, assets, or transactions.)
A, Description of Assets (including trust assets) Place (A-H) ~ B. Income during reporting period I Type (e.g., or int,) C. Gross vaIue at end of rcportlng period Value (I-P) Value Code 3 Type (e.g., redemption) ! " 07/22/09 D. Transactions during reporting period (5) Identity of (if private

Date I Value , , Gain [ (J-P) . (A-H)

35. 36.

--American Century Tax Free Bd. Inv. OWTIX) --Avonworth PA School Bond Matured

Buy

06/01/09 K

37.
38.

Co . i AC)
["

Sold 11/04/091 J
Buy Sold Sold Buy (addl) Sold Buy Sold Matured Buy 01/07/09 K 07122/09 K I 1104/09 07/22/09 11/04/09 1/04/09 11/04/09 07/01/09 J K J K K J

-Davis NY Venture Fd (NY~X)

"39. -.Fidelity AZ~4~uni Income Fd. (FsAzK) 40. 41. 42. ~.3. 44, 45. -Ishares TR Russell 2000 Index Fund (I\VM) -lshares Trust S& P 500 (IVV) --Janus Growth & Income Fund (JAGIX) --Laudus Growth inv, U.S. Lg. Cap ~rowth Fd, (LG1LX) --Loomis Sayles Bond Fund CI R (LSBRX) --Maricopa County AZ 3.25% Bond

46. --INB Socially Responsive (NBSR.X) 47. 48.

=l

01107/091 j (addl)

(addl)
Buy (addl) Buy (addq) Sold -Oppenheimer Intl Grov,,th (OiGAX) Buy 49. 5(I. 51.

Buy

02/20/09 03/20/09 04/20,;09 J

11/04/09, K 11/04/09 K

3. V~ue Method C~ (See Column C2)

Q "Appraisal

~ "Ct,sl (R~ Esate ~ly)

S -A~~ment

T <~ Mark~

FINANCIAL DISCLOSURE REPORT

Page 7 of 10

I Name ef Person Reporting

I BRORB, WADE

Date of Report

04/06/2010 ]

VII. INVESTMENTS and TRUSTS - ~,~o~.e. ~e~,, tr ..... ctions (Includes those of spogs and dependenl cl, ildren; ,epp. 34-60 of fillng instructions.)
NONE (No reportable income, assets, or transactions.) Description of Assets (including tru~ ~sets) Place "(X)" after each asset exempt from prior disclosurc L .... ~_ 52. 53. 54. 55. 56. 57. 58. (Q-W) j. J Income during rqx~rting period Amount t Type (e.g., Cd*lI div.,rcn~. (A-H) ! orint.) transaction) __ Buy Sold Sold 11/04/09 07/22/09 11/04/09 01/07/09 K K K J B Gross value at end of reporting period Value Co~le2 O-P) Value Method Code3 T.vp (~g., buy, sdl, redemption)

Transactions during reporting period Date I V~lue [ GainI mm/dd/~,,y Code2 ICndclI ] O-P) ", (A-H) ] ldeolily of buyer/seller (ifprivat

--Parnassus Equ. Inc. Fd. (PP, BLX) --Schwab Dividend Equity Select Sh~res (SWDSX) -Schwab Large Cap Growth Fund (SWLSX) --Schwab Muni Money Fund (SWTXX) --Schwab Muni Money Fund Sweep (SWXXX) ** --Sector SPDR Tech. Select Sh~res (XLK) --LIMB Scout International Fund (UMBWX --Vanguard ]nterterrn Tax Exempt Fund (VWITX) --Vanguard Short Terra Tax Ex. Fd. Inv. Shares (VWSTX) --Vanguard Small Cap (VB) -Wells Fargo Advantage Bd. (STSMX) A Int./Div. K T

(part)

Sold

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

1/04/09 I 1/04/09

J K

.59.

11/04/091 j 07/22/09 1/04/09 07/22/09 K J

,"60. 61. 62.

63. IP, A #2: 64. 65. ~6. 67. ~8. --Gabelli Small Cap Gro~a.h Fd. (GABSX) --Ishatcs TR Barclays Agg. Bond Fund (AGG) --Laudus US Discovery Inv. (RDIVX) --Schwab Cash Reserves Sweep (swsxx) --UMB Scout Intl Fund (UMBWX)

Buy

07/23/09

Sold

07/22/09

.1

(See Co]~,n as B I aod D4]

F =$50,001. $ 100,0o0

G =$ I (~,001 - $I,000,000

HI =$l,0O0,0Ol - $5,000,000

F[2 =More Ihan

Value Method Codes (See Column C2)

Q =Appraisal U ~Book Value

R -Cos~ (Real Estat~ Only) V ~<)t~r

$ =As.sesgaent W =Estimale~d

T ~a~h Mark~

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting

Da,e of Report

Page 8 of 1O
I
BRORBY, WADE

04/06120~o

NONE ~o reportable income, ~sets, or tra~actions.)

Description of Ass~ (i~luding Pl~ "(X)" a~er each asset exempt#ompdordislosure ~come d~ng ~ Gross value at ~d T~sac~ons duriag ~ning p~

]~el

Amo~t T~<*,g., l

~ (A-H) 69. 70. 71. 172. 73. 74. 75. 76. 77. 78. 79. 80. 8 I. 82, 83. 84. TRUST #2: --Schwab C~h R~es Sweep (SWS~) ~mpbell Co~~W Abs~ct (Stock) " ~mpbell Co~w Oil Royd~ Clipper F~d F~eml Homeo~er ~nding Mo~ge Federal Home ~ Bank ~ot~) F~e~l National Mo~gage Fi~t Natioml Bank of Gillette (Vado~ Bmk Attune) Jens~ Po~olio (Fund) Peoria, AZ (~nd) P~dential ~ce Co. (S~ock) Ra~ier S~llAiid Cap ~ui~ Fund (~S~ (See Section VIII) Rydex Technology Fund Wells Fargo (V~ous Bank A~o~) Wyo. B~k & T~t (Various Aceo~)

v,~, v~t,, div..~nt. [ C~2 I Mcth~ orint.) } (J-p) Cod3

T~(e.g.. I Date j V~lu I Gain l b~,sell, m~d~ I~e2 C~c I / ~emption) I / (J-P) I(A-H) ;

Idcnti~of buyer/sell. (if private

Divided

D D A A B A B A A A A A A C

Di~dend Royal~ Divided lnter~t Dividend lnt~e~ Interest Di~dend lnter~t Dividend Dividend Divided ~resl Ini~est

K J 3 J K K L K K J J J L M

W W T T T T T T T T T T T T

Value Method Codes (See Column CZ)

Q =Appraisal U ~Book Value

R -Cost (Real Estate Only) V -Other

S =Assessment W =Estimated

T =Cash Mark~

FINANCIAL DISCLOSURE REPORT Page 9 of 1 0

~.=. ore .... ,.po.~.g

BRORBY, WADE

IM/0612010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

1. Part III - My.~q, as trustee, owns a whole life policy insuring my life. The insurer is Prudential Insurance Company. As this policy is not held as an investment, the ~ilcy income received is reported under Part III.B (Non-lnvestment Income). 2. Part Vll - Most of our investments are managed by Charles Schwab & Co. under a service described as Schwab Private Client. 3. Pan VII - i list ownership of most of my assets under Aggregate Ownership Arrangements. All assets not owned under such an arrangement are listed separalely. 4. Part VII - The funds designated with ** are merely holding funds. It should be noted that when income is received from a particular investment it is placed in one these Schwab "sweep" funds. When new investments axe purchased, funds are taken from one of these funds to pay for the new investment. These funds are the (1) Schwab Murd Money Fund Sweep (SWXXX); and (2) Schwab Cash Reserves Sweep Fund (SWSXX). 5. Par~ VII - Where possible I have included the commonly known stock symbols and stock names. 6. Part VII - Under IRA #1, the 2008 Report should have reflected a full redemption of Schwab Cash Reserves Sweep shares (SWSXX) on 12/23/08, with a Value Code of K in Column D(3), and no gain. 7. Part VII - Under Trust #1, Schwab Large Cap Growth Fund (SWLSX) was previously incorrectly identified with stock symbol (SWLNX). 8. Parl Vll - Under IRA #2, Schwab Cash Reserves Sweep (SWSXX) was previously incorrectly identified with stock sy~nl:~l (SWXXX). 9. Pan VII - The Rainier Small/Mid Cap (Fund) and Rainier Small/Mid Cap Equity Fund were previously incorrectly listed as two separate funds but should have been repoaed as one fund: the Rainier Small!Mid Cap Equity Fund (RIMSX), as reflected in this report.

FINANCIAL DISCLOSURE REPORT

Page 1 0 of 1 0

I Na~nffof P .....

~p~rt[ng

D.te of Report

enom~v, WADE

04106/2010

IX. CERTIFICATION.
I certify that all Information given above (including information pertaining to my tpouse and minor or dependent children, If an)) h 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 proisions 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 regulatioas.

Signature_

NOTE: ANY INDIVIDUAL ~,VIIO KNOWINGLY AND WILFULLY FALSIFIE~ AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

__. 1"O CIVIL

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