D NONE (No reportable positions.)

(1)

3 .

Report Required by the Ethics

AO JO

FINANCIAL DISCLOSURE REPORT

in Government Act of 1978

Rev. 112012

FOR CALENDAR YEAR 2011

(5 U.S.C. app. §§JOI-Ill)

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

Hartz, Harris

L.

2. Court or Organization

Tenth Circuit Court of Appeals

3.

Date of Report 5/21/2012

4. Title (Article Ill judges indicate active or senior status;

magistrate

judges indicate full- or part-time) Circuit Judge Active

5a. Report Type (check appropriate type)

D

Nomination Date

D

Initial

[{]

Annual 5b.

CZ]

Amended Report

D

Final 6. Reporting Period 01/01/2011 to 12/31/2011

7. Chambers or Office Address

201 ThirdSt.NW,#1870 Albuquerque, NM 87102

IMPORTANT NOTES:

The i11str11ctio11s accompa11yi11g this form 11111st be followed. Complete all parts, checking the

NONE

box for each part where yo11 have 110 reportable i11formatio11. /11sert sig11at11re 011 last page.

I. POSIT! 0 NS.

(Reporting individual only; see pp.

9-13

of filing instructions.)

D

NONE

(No reportable positions.)

POSITION

NAME OF ORGANIZATION/ENTITY

I.

Trustee Trust No. 1

2. Member, Board of Directors Searle Civil Justice Institute

3.

4.

s.

II. AGREEMENTS,

(Reporting individual only; see pp. 14-16 of filing instructions.)

[{]

NONE

(No reportable agreements.)

PARTIES AND TERMS

I.

(2)

of filing

3.

6.

Name of Person Reporting Date of Report

Page 2of10

Hartz, Harris L.

5/21/2012

Ill. NON-INVESTMENT IN COME.

(Reporting indfrid11al and spouse; see pp. 17-14 of filing instr11cti<>ns.)

A. Filer's Non-Investment Income

D

NONE

(No reportable non-investment income.)

SOURCE AND TYPE

INCOME

(yours, not spouse's)

I.

2011

New Mexico Judicial Pension

$44,458.70

2.

3.

4.

B. Spouse's Non-Investment Income -

I/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.)

SOURCE AND TYPE

I.

2.

3.

4.

JV. REJMB URSEMENTS

-transportation, /odging,food, entertainment.

(lnc/11des those to spouse and dependent children; see pp. 25-27 instructions.)

D

NONE

(No reportable reimbursements.)

SOURCE

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

I. American Law Institute

314-5

Washington, D.C. Advisers meeting transportation, lodging, food

2.

University of Alabama School

of

Law

3/22-24

Tuscsaloosa, AL Moot Court transportation, lodging, food

University of California,

3/29-31

Irvine, CA Moot Court transportation, lodging, food Irvine, School of Law

4.

Civil Justice Reform Group

6/1-3

New York, NY Panel on Judicial Education Transportation, lodging, food

5.

George Mason School of Law I

0/26-27

Washington, DC Searle Center board Transportation, lodging, food meeting

(3)

Name of Person Reporting Date of l{eport

FINANCIAL DISCLOSURE REPORT

Page3 oflO

Hartz, Harris L. 5/21/2012

(4)

5.

4.

Page 4of10

Name of Person Reporting

llartz, llarris L.

Date of Report

5/21/2012

V. GIFTS.

(/nc/11des tltose to spouse and dependent children; see pp. 18-31 of filing instructions.)

[{]

NONE

(No reportable gifts.)

SOURCE

DESCRIPTION

VALUE

I.

2.

3.

4.

VI. LIABILITIES.

(Includes tltose of spouse and dependent cltildren; see pp. 31-33 of filing instructions.)

[{]

NONE

(No reportable liabilities.)

CREDITOR

DESCRIPTION

VALUE CODE

I.

2.

3.

(5)

(3)

Date of Report

Name of Person Reporting

Page 5of10

Hartz, Harris L.

5/21/2012

VII. INVESTMENTS and TRUSTS

--

income, •·at11e, transactions r1nc111des those ofspo11se and dependent children; see PP· 34-60 of filing instr11cti1ms.J

D

NONE

(No reportable income, assets, or transactions.)

A. B. c. D.

Description of Assets Income during Gross value at end Transactions during reporting period (including tmst assets) reporting period of reporting period

(I) (2) (I) (2) (I) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I _{div., rent,} _{Code 2} _Method

buy,

sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.)

(J-P)

Code3 redemption)

(J-P)

(A-II) (if private

(Q-W)

transaction)

I.

Trust I

A

Dividend

0

T

2.

--BRKA

3.

--BRKB

4.

-

-0

1

8

5.

--NUV

6.

--PNW

7.

--SO

8.

--COP

9.

--

TWCUX

10.

--LCEIX

11.

--JANDX

12.

--NGUAX

13.

--

NPRTX

14.

--AMO AX

15.

--AWSAX

* 16.

--TGRAX

17.

--USG BX

I. I ncome Gain Cod s: A =:$1.000orkss II =$1.00t • $2.500 c =$2.501 • $5,000 D =$5.001 • $15,000 E=$t5.00I - $50.(XX> (Sec Columns BI and D-t) F =$50.001. $100.!ltXl G =$I 00.00 I • $1.000.000 Ill =$1.000.001 • $5.000.000 112 =More than $5.000.000

2. Vnluc Codes J 0:0$ I S.000 or less K =$15.001 • $50.000 L =$50.001 • $100.000 M =$100.001 • $250.000 (Sec Columns Cl and DJ} N =$250.001 • $500.000 0=$500.001 • $1.000,000 Pl =$1.000.001 • $5,000,000 1'2 =$5,000.001 • $25.000.000

1'3 =$25.000.!Xl I • $50.000.000 P4 =More than $50.000.000

3. Vnluc Method Co<l.:s 0""Appraisal R =Cost (Real l-.statc Only) S =Assessment T =Cash Market

(6)

C.

(2) (3)

(Q-W)

Name of Person Reporting

Date of Report

Page 6of10

Hartz, Harris

L. 5/21/2012

VI I. INVESTMENTS and TRUSTS

-

income, va111e, transactions r1nc1udes those of spouse and dependent children; see

PP· 34-60

D

NONE

A. B. D.

Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period

(1)

(2) (1) (2) (I) (4) (5)

Place

"(X)"

after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code

1

exempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code

1

buyer/seller (A-II) or int.)

(J-P)

Code 3 redemption)

(J-P)

(A-II) (if private

transaction)

18. --DINAX

19.

--Morgan Stanley Bank Acc't

20. --San Juan County, NM, real estate

21. Parcel

I

Unimproved real estate in San Juan B Rent

M

w

County, NM# 22. EUGBX _A _Dividend _J _T 23.

AWSAX *

B Dividend J T 24. UTLQX A Dividend J T 25. BRKB _None _N _T 26. OJA A Dividend J T

27. Wells Fargo Bank Account A Interest

L

T

28. State

of

Israel Bonds A Interest J T

29. US Savings Bonds B Interest L T

30. Tennis Club of Albuquerque debenture A Interest J T

31. 4038 account A Dividend J T

32. --PGRWX

33.

Individual

Retirement Annuity A Dividend N T

34. --

ING Fixed

Account

I. Income Gain Codes: A =$1.000 or less ll =$1,001. $2.500 c =$2,501 • $5,000 D =$5.001 • $15,000 E =$15.001 • $50.lXXl (Sec Co

lum

n

s

BI and

04)

F =$50.001 - $100.000 G =$!00.001 -Sl.000,000 111 =$1,000.001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J =$15.000 or less _K=$15.001 -$50,000 L =$50.001 • $!00.000 M =$ I00.00 I -$250.000 (Sec Columns Cl and DJ) N °-$250,001 -$500.000 0 °$500,001 • $1,000.000 Pl =$1,000.001 • $5,000,000 P2 =$5.000,001 • $25,000.000

1'3 =$25.000.llOI -$50.000.000 _P4=More than $50.000.000

3. Value MC'lht>d Codes

Q =Apprnisal

R =Cost (Real Estate

Only)

_S=Assessment T =Cash Market

(7)

(I) (2)

(J-P)

Date of Heport Name of Person Reporting

Page 7of10

_{Hartz, Harris}

L.

5/21/2012

--income, m111e, transactions r1nc111des tiwse of spouse and dependent c11udren; see PP· 34-60 offilinc instructions.)

D

NONE

A. B. c. D.

(I) (2) (I) (2)

(3)

(4)

(5)

Place

"(X)"

after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code I

exempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) _{or int.)} _Code) _redemption)

(J-P)

(A-11) (if private

(Q-W) transaction)

35.

--ING Balanced VP

36.

IRA

_Account _A _Dividend _M _T

37.

--Gov't Nat'l Mtge Ass'n Pool

38.

--US Treasury Bond

39.

_{--AMO DX} _Sold

07/15/11

J

A (part)

40.

_Buy

07/22/11

J

(add'!)

41.

_--AWSAX_*

42.

_--MSACX _Buy

07/22/11

J

(add' I)

43.

_--MSSGX _Buy

07/22/11

J

(add'I)

44.

--MPEGX Sold

01/21/11

J

A (part)

45.

_--" Sold

04/15/11

J

A (part)

46.

--" Buy

07/22/11

J

(add'!)

47.

--USMIX ** Buy

07/22/11

J

(add'!)

48.

--MSAIX ••• Buy

07/22/11

J

(add'!)

49.

--MS Spectrum Select

50.

--MS Spectrum Tech

51.

--MS Spectrum Currency

I. Income Gain Codes: A :::oSI.000 or less ll =$1,001 -$2.500 c =$2.501 -$5,000 D =$5.001 - $15,000 E =$15,001 -$50.000 (Sec Columns Ul and 1>4) F =$50.001 -$100.000 G =$100.00 I -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5,000.000

2. V:i.luc Codes J =$15.000 or less K =$15.001 -$50.000 L =$50.00 I - $ t 00.000 M =$100.001 - $250.000 (Sec Columns Cl and 03) N =$250.001 -$500.000 0=$500.001-$1,000.000 Pl =$1.000.001 -$5,000,000 1'2 =$5.000,001 - $25,000.000

PJ =$25.000.00 I -$50.0(X).000 P4 =-More than $50.000,000

3. Value Mc1hut..I Codes Q =Appraisal R co:-! (Real Lstn1c Only) S =Assessment T =Cash Market

(8)

(2)

(5)

FINANCIAL DISCLOSURE REPORT

Page 8of10

Hartz, Harris L.

_5/21/2012

-income, mlue, tra11sactio11s (Includes those of spouse and dependent children; see PP·

34-60

D

NONE

A. ll. c. D.

(I) (2)

(I)

(2) (I) (3)

(4)

Place

"(X)"

after each asset Amount Type ( e.g., Value Value Type ( e.g., Date Value Gain Identity of exempt from prior disclosure Code I _{div., rent,} _{Code 2} _Method _{buy, sell,} _{mm/dd/yy Code 2 Code I} _buyer/seller (A-11) or int.)

(J-P)

Code 3 redemption)

(J-P)

(A-II) (if private

(Q-W) transaction)

52. --Morgan Stanley Bank Acc't

53. --Morgan Stanley CPI/Commodity note Redeemed 07/06/11 K D

54. --ACSDX Buy 07/22/11

J

(add'!)

55. Annuity A Interest K T

56. --ING VP Inter Bond Portfolio

57. Allstate Life Ins. Co. annuity B Interest K T

58. CM

Life

_{Ins. Policy} _B _Interest

L

_T

59. MONY Life Ins. Policy A Dividend K T

60. TETSX None M T 61. EVGFX None J T 62. OPP AX B Dividend

L

_T 63. SCINX A Dividend K T 64. AMO

AX

_None _J _T 65. LCEAX **** A Dividend J T

66. Morgan Stanley Bank Acc't A Interest J T

I. Income Gain Codes: A -:c$J.000or kss ll-$1.001 -$2.500 c =$2.50t -$5,000 D =$5.001 -$15,000 E =$t5,00t -$50.000 (Sec Columns BI and D.t) F =$50.00t · $100.000 G =$ l00.00 t -$1.000.000 Ill =$1.000.001 -$5,000.000 112 =More than $5.000.000

2. Value Codes J =-$15.000 or kss K =$ t 5.(XJ 1 -$50.000 L =$50.001 -$100.000 M =$100.001 -$250.000 (Sec Columns CI and DJ) N · $250.001 -$500,000 0 =$500,001 -$1.000.000 Pl=$1,000.001 -$5,000,000 1'2=$5,000.001 -$25,000.000

I') =$25.!XIO.OOI -$50.000.000 P4 =More than $50.000.000

3. Value Method ('o<lcs Q Appraisnl I{ =Cost (Real Lstatc Only) S =Assessment T :oCash Market

(9)

FINANCIAL DISCLOSURE REPORT

Page 9of10

Hartz, Harris L. 5/21/2012

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

(lndicatepartofreport.)

• Lines 15, 23, & 41: GLl3AX was converted to A WSAX on 5/24 •• Linc 47: MPSCX was converted to USMIX on 5/24

***Line 48: MDFDX was converted to MSAIX on 5/24 ****Line65: DIVl3X was converted to LCEAX on 7/19

ti Linc 21 : The rent is paid for permission to erect signs on the property; rent is paid by ConocoPhillips Co., El Paso Natural Gas Co., and Enterprise Prod. OELC.

(10)

Name of Person Reporting

Date of Report

Page I 0of10

Hartz, Harris L.

5/21/2012

IX. CERTIFICATION.

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 ct. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature:

s/ Harris L. Hartz

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY 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