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SELF INITIATED AMENDMENT

lltnitrh &tatrB (!tnurt nf Appeals f nr tqr IDrntfJ Q!irruit

1823 STOUT STREET DENVER, COLORADO 80257

CARLOS F. LUCERO 303-844-2200

CIRCUIT JUDGE

May 18, 2010

Committee On Financial Disclosure Administrative Office of the United States Courts One Columbus Circle, N.E., Suite 2-301

Washington, D.C. 20544

<J) rnCJ_,,

r :!:'< (")Ladies and Gentlemen: y rn -c. s:::

Please allow this letter to serve as an amendment to part IV of my Disclosure Report for Calendar Year 2009. The below was mitu:Jl from the report. Thank you. ;.,

Lucero, Carlos F.

Source Dates Location Purpose Items Paid or Provided

Environmental Law Institute; US_ Dept. of Justice

3/18 - 3/19/09 Santiago, Chile Non-FHC Educational Seminar

Transportation, Food, Lodging

Carlos F. Lucero

CFL/sm enclosures

-

POSITJON NAME OF ORGANIZATION/ENTITY

------

2

- ES ;o 5

x rn --:--

-< () N m ,-:c:

< a::·--.

)> m -

---------------"-···----

Report Required by the Ethics FINANCIAL DISCLOSURE REPORT A(llO in Government Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 V.S.C. app. §§ J(JJ.Jll)

1. Person Reporting (lasl n me, ffrst, middle inilia))

LUCERO, CARLOS F.

2. Court or Organization

US COURT OF APPEALS - IOTH CIR

3. Dale of Report

05/15/2010

4. Title (Artie le lll judges indicate active or senior status; magistrale judges indicate full- or part-time)

ARTICLE lll JUDGE-ACTIVE

Sa. Report Type (check appropriate. type)

D Nomination, Date

D Initial 0 Annual D Final

6. Reporting Period

01/0112009 to

12/3112009 Sb. D Amended Report

7. Chambers or Office Address

1823 STOUT STREET DENVER, CO 80257

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___ -- ------ --- I>atc____ ----· ---

IMPORTANT NOTES: The instructions accompanying this fonn must be followed. Complete all parts. checking the NONE box for each part where you have 1w reportable information. Sign 011 last page.

J, POSITIONS. (Reporting individual only; sea pp. 9-13 of filing i11str1tctions.)

D NONE (No reportable positions.)

!. PRESIDENT & DrRECTOR CARLOS F. LUCERO, PROFESSIONAL CORPORATION

'2.

3.

4.

5.

!El

(/) n

0-·: <.fJ ;: .: ..-

A ·

f'Ti'.'.2

,.....,

-,, , ...,.,

0 rT1 C>

er

0

II. AGREEMENTS. (Reporting i11divitlual 011/y; see pp. 14-16 oj'jili11g i11strnctic111s.)

l2J NONE (No reportable agreements.)

PARTIES AND TERMS

I. ----··---·--

3.

Lucero, Carlos F.

SOURCE AND

SOURCE

LOCATION PURPOSE

INCOME

OR PROVIDED

2.

Dale of Re.port Nnme of Person Rc1iorting FINANCIAJ_, DISCLOSURE REPORT

Page 2of8 LUCERO, CARLOS F. 05115/2010

III. N ON-INVESTI\-1ENT IN co ME. (Repol1i11g i11divitlufll mu/ spouse; sec pp. 17-24 of filing i11s/mctio11s.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

(yours, not spouse's)

Carlos F. Lucero, P.C. - Annuity pi1ymcnts received for prior services $22,299.60 performed for law firm.

I. Monthly

TYPE

2.

3.

4.

B. Spouse's Non-lnvcsbncnt Income - lfyori were married 1/1tring a11y portion oftlie reporti11g year, complete this seclio11.

(Dollar muour11 not rt:</ttirecl excepl fur Jumoraria.)

NONE (No reportable non-investment income.) [ZJ AND TYPE

1.

3.

4.

JV. REIMBURSEMENTS -- tra111;portatio>1, lodgi11J(,jood, emerrai11111mr.

( f11clud:!s thon·· !o .spuust .. and deperrdnlt childri:-11; see pp. 25·27 offiling instructwns.)

LJ NONE (No reportable reimbursements.)

SOURCE ITEMS PAID

l. American Bar Association 3116-3/17 Panama City, Panama Non-FJC Edu Seminar Tronsportation, Food, Lodging

2. American Bar Association 10/912009 Washington D.C. Non-FJC Edu Seminar Transportation, Food , Lodging

:i. New York University Law 2/2] - 2123 New York, NY Non-PJC Edu Transportation, Food, Lodging School

4.

5.

DESCRIPTION

CREDITOR DESCRIPTION

!N\]jj ::;t::1,1 '

Name of Person Reporting D11le of Report FINANCIAL DISCLOSURE REPORT

Page 3 of 8 LUCERO, CARLOS F. 05/l5120JO

V. GIFTS. (Include.» tho.ve W spouse anrl 1/epemle11t chilrlre11; see pp. 28-31 of filing i11struclions.)

[{] NONE (No reportable gifts.)

SOURCE

!.

\'!\LUE

2.

3.

4.

5.

VJ. LIABILJTJES. (lllc/11de.-1Jrose of spouse and dependent children; see pp. 32-33 ojji/ing it1.l'lr11ctions.)

D NONE (No reponable liabilities.)

I. ESTATE OF MARIA MEDINA INSTALLMENT NOTE TO PURCHASE 1/2 INTEREST RIO ARRIBA COUNTY, N.M.

VALUE CODE

K

2.

3.

4.

5.

···-----··················- ------ - ---i I

[: : : : t ��;J��ortilng r:���J:-l -- p 1:c 1·

:-·1--}.::n·T--I

j_::__ :j_ ;: :. '�)

COMMERCIAL ALAMOSA

2. ·fj

3. Iii C':()NE.JOS

INC \f'.!'.' ;i;,,WRIO

1·:1

"lj

'

1

Name of Person Reporting hate oF Rcpurt FINANCIAL DISCLOSURE REPORT Page 4 of 8 LUCERO, CARLOS F. 05/15/2010

VII. INVESTMENTS and TRUSTS .. income, vatue, 1ra11sactio11s <111c1udes 1i.ose ofsporm and depe11de111 c1rudre11; see pp. 34-60 offiti11c i11str11c1iom.)

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

--·--· --- --- ---.---

A. B. c. 0. Descri ptior. of Assets Income during Gross vnlue al end Transar.rions during reporting period

(including tru.'lt a scts) ·

-

Place "(X)" after each asset g, !;e · lde ; ;y of exempt fron1 prior di.scfo.wre Code l dh·' rem. Code 2 MethoU buy, 'iCll, mm/dU/yy l Code 2 ' Code l r buycr/sellc1I or I (J-P) �� i reuemptwn) _______ ... . -- - . -----·--·---·- . . mt.)_____J_: )-

1. BUILDING,COUNTY. CO

APARTMENTS, ALAMOSA COUNTY, CO

1/4 SECTION FARM LAND; COUNTY, CO

4. Vacant Land, Conejos County Co

5. 1/2 INTEREST ARRIBA COUNTY, NM

6. VA CANT LOT; JEFFERSON COUNTY, CO

7. LOS HERMANOS LUCEROS, LTDPARTNERSHIP (14% INTEREST)

8. CARLOS F. LUCERO, PC (100% STOCK)

9. LCM, INC. ( 100% MUTUAL FUNDS)

JO. TD Alv!ERITRADE IRA BROKERAGE ACCOUNT

) ), Diamonds Trust Series J Com (DIA)

12. l'owershares QQQ rQQQQ)

I 3. f'rmlicucs Ultra QQQ: (QLD)

14. Spdr ·rr Unit Ser I (SPY)

15. Vanguard Funds Emerging Markets Vipers(VWO)

Hi. Prudent Global Inc FD SH BEN !NT (PSAFX}

! 17. Harbor FD BD FD INSTL (HABDX)

F

E

A

A

E

E

A

A

A

A

A

/\

Rent K

Reill M

Rent K

None K

None M

None M

Dividend M

Dividend J

Dividend N

Dividend K

Dividend K

None

Dividend K

Dividend J

Dividend K

Dividend J

w

w

w

R

Q

s

u

u

T

T

T

Sold

T

T

T

T

J 2/l 5!09 J

See# 4

See# I

See# 2

See JI 3

A-:-::$ 1,000 or less B 41.001 · $2.500 (Sec Columns BJ and D4) F = 50.001 $ 100,00(1 0 4100,001. $1,000,000

2. V:tltrt:Cuc!cs J -;=$] 5,000 ur less K =SIS,001 · $50,000 (Sec Columns Cl ond 03) N 42.10,001 · $500,\l()(J 0 =$500,001 · $1,l){Xl.000

Pl =$25,000,00 I · $50,(100.IHXl . Valm'. Mcrllod Cnclcs Q ""'Appraisal R =Cm! { cal Estate Only}

(See Column C2) U .:.:flonk Value V :-:Olhcr

c 42,501 . $5,(J()() D -,·$5,MI · $15,00:> II I 41.ll<JO,()()t · $5,tltlll,OIX) ll2 =More lhan $5,(}l.l(),000 I. ·$50,01}1 • $ 100,00i.\ M s 1 DO.Dot • $250.000 Pl $1,000,001 -15,000.IJO<J P2 45,000.001 · $25,000.<)lO P4 =More thnn $50,000.000 S '"'A. scssmcrn W";Obtimllted

--

!

_J_· ··--- �-

TD AccouNT

!

i

! 33

(J)

i

'

i I

'

i

!

I

I

FINANCIAL DISCLOSURE REPORT Oatc of Rcporl Name of Person Reporting

05115/20!0LUCERO, CARLOS J?. Page 5 of 8

\llJ. INVESTMENTS and TRUSTS income, vatue, trausuctions (Tnc1udes those of spouse attd dependent c1rudre11; see PP· 34-60 offilinc instructious.;

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

/\. B. --·c:----·----------r·-- ,._ . . _ -----· -- -----------·-

D.

18.

19.

20.

2 l.

22.

Description of Assettl (including trust assets)

Place "(X)" after each asset ex.empt from prior dis.closure

Income during

reporting period

;-·-c1; · ·1 · (2) i Amount I Type (e.g.,

div., re-nr, , (A-H) orint.) '.Code I

I '

____

Mathews lllll FDS _Pacific Tiger (MAP'TX) A Dividend

Payden Invt Emerging Markets BD rD A Dividend (PYEMX)

Payden lnvt Group GNMA (PYGNX) A Dividend

Pll\-JCO l'unds Invest Grade Corp BD FD A Dividend (PGCJ\X)

P!MCO High Yield FD ADM!N (PHY AX) /\ Dividend

Gross value at end J ' of reporting pc.rim!

I (i) (2) ----·--10 ValueCode 21J-P)

K

J

J

K

K

Value Method Code 3 (Q-W)

T

T

T

T

T

Type (e.g .• buy, sell,

I 23, PJMCO Real Return (PRRDX) A Dividend L T

24. !shares S&P Small Cap 600 Index

25. Money Markel Fund TDAM US Goverment Port Class A

26. Harbor FD High Yield Bund Fund (HYFIX)

27. AMERITRADE BROKERAGE

28. Diamond Trust Series 1 COM (DIA)

29. Shares Boxx & JNVTOI' lNVES t'D (LQD)

jo l'IMCO Corp Opponuui1y Fund Closed End (PTY)

31. Powersharcs QQQ (QQQQ)

32. SPDR TR Unit Ser 1 (Sl'Yl

Vanguard Msci US MID Cap 450 INDEX (YO)

34. Diamond Hill FDS Long-Shon FD Cl A

j J lnc:umt Gain Codr-s: (Sl-'i:: Columns BI nnd 04)

2. ValllC' Code'\(Sec Cnlumn'\ CI and D'.\)

3. Vahw f\'1crhc1d C'nd1.:s (Sel· Ct)lurnn C2J

A =$1,000 or less

f' 450.001. iwu.oou J =lil5,00()ur I<:.'>'>N c.S250,(Xll . $500,000 PJ o.$25,000.00l · $.10,0110.000(( :.:i\Dprais11I U -'1foo : Vi:iluc

A

A

A

A

A

/\

A

A

/\

Dividend K

None J

Dividend J

None

Dividend K

Di vi demi K

Dividend J

Dividend K

Dividend K

Dividend J

Dividend

ij =S· l.00 I · $2,5GQt; ,$1(10.001 · 5'1.QOO.llO\l

K 415.001 · $50.0000 4500,00 I · $1.()()(),0011

k =Cma (Heu! b;t;..1tc.• Only) \'=Other

T

T

T Buy

T

T

T

T

T

T

Sold

C =S2,SOl · $5.()()JIll 41.00U.O<ll -- $5,0<JO.OOOL =$50,0C>l · $100.000

Pl =Sl,000.00J - $5.000.000P4 .::Motl! th<m $50.000.000 S =Abscssmcnt W =Estimated

Tramrncrions during reporting period

,-·····-·-·' (2)

I Dale

mmldd!yy

06/12/09

06/09/09

J

K

[ "<4)-, , Guin I ! Code I

(A-H) '

A

D 45,()IJI $15,llOO H2 :-: fore than $5,000,(X)() M =SJ 00.il<ll - $250,000P2 =';5,000.00J - $25,0<Jll.OCK>

1' ::Cash l\·farke1

(5)IJenlily of

buyer/seller

(if private

[rnn.suctiou)

E 415.001 · SS0,000

t

!

I

i I

__]

T]ll CHARJ.ES

::-1

::-1

(2) I (3)

I .

i l

(5)

i

1

'

' i

i

(1)

. (J-P)

Name of Person Reporting Dute of Report FINANCIAL DISCI OSURE REPORT Page 6 of 8 LUCERO, CARLOS F. 05/15/2010

VII. INVES1'1\'1ENTS and TRUSTS -· i11com« ru1ue, 1rww1c1io11s r111c1rutes 11iose of spouse a11c1 t1epeur1e111 c1rut1rerz; '"'pp. 34-60 t filing it1stru<'lio11s.)

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

D.

Transactions during reporting period

···-.(4)·T

Type (e.g .. I

i IDate Value Gain ldenlity of I I mm/dtl/yy : Code 2 \ Codc·lbuy, ell, buyer/seller

I (A-II)redcmplion} (if private

cran!wclion)-·- L_ ... .i._____ ,, - -·····-- ·

35. Leuthold Core Investments PD (LCORX)

36. PIMCO Total Rct Fd Admin

37. Monev Market Fund Dividends TI)AM US

Govc;ment Port Class A

38. Vanguard Conv Secs FD SI! BEN INT

39. Fidelity Advisor Ser V Floating RT HI INC FD Retail (FFRHX)

40. SCHWAB & CO, INC. BROKERAGE ACCOUNT

141. --SCHWAB MUNI MONEY FUND

42. --EQUITABLE LIFE ASSURANCE SOCJETY--ANNU!TY

'43. --SAFECO LIFE INSURANCE

COMPANY--ANNU!TY

,14. -·COLORADO BONDSHARES

45. LCM 3, LLC

46. Vterno Claro Energy, LLC

A

A

D

D

E

A

Dividend K

Dividend K

None J

None J

None K

None

J

Dividend M

Dividend M

Dividend N

Distribution J

None J

T

T

T

T

T Buy

T

w

w

T

s

u iluy

06/09109 K

02124/09 J

sec# 6

See ff 2

Sec# 2

S.:c ff 5

L. ii1 ·omc Gain Codes: A ..::$ J ,000 or less 13 =·$1.001 -$2,500 C =SZ.501 - $5,000 () -·$5,001 . $15.000 (Sec Col11mn1.: Ii I rmd 04) r- =$50,0fJ I · $ 100,000 G =$100,001 . $1.000.000 Ht 41.000,001 · $5,000,000 112 =-Mor 1han $5.000.000

2. Value Cndes J ""-li 15.000 or less K =$I j.00 t • $50.000 L =$50,001 -$100.000 M .I 1< ).001 $250,0<lO (Sec Culumn: Ct arid D3) N $250,001 · $500.000 0 =$500,00! - }l.000.000 Pl = 1.000,001 - $5,000.000 P2 .-$5,000.0<J I · }25,000,(XXl

P3 =$25,00<l,OO I - $50,000,000 P4 :::More thn11 $50.(X)0,000 ]. Valtic Mc1hod Cnd·:::s Q =Apprais;tl R :oCosl (Reul Est&tC: Only) S ::::Asscss1neru T-;-;;Cash M:H cl

(Sec Coh1m1\ t:2) U ;Bl)ok Vaine V =Other W :::F.stimatcd

ofll_ .· I

by )j'i ;f f:i)". ·;J

Date of Report Name of Person Reporting FINANCIAL DISCI_,OSURE REPORT

05115/2010LUCERO, CARLOS I<'. Page 7 of 8

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (llldict1teparlofReport.)

#L Assets over $10,000 value consist ranch, land, water rights. e.quipment, livestock and related property.

112. AsM,ts over $10,000 value consist of Jaw partn rship income earned prior to June 30, 1995 in !he form of annuities. Fur lax purposes, annuity income is reported by Cf'L, P.C. I own 100% of 1he stock of "Carlos F. Lucero, PC" however the assets of this corporation include only a bank account for which the value

and income amounts are less than the required reporting amounts, i.e. the value is Jess than $5,000 and the income earned is less than $200. This corporation does

receive income in the form of an annuity and is reported in Pnrt Ill.

#3. Assets over$ J0,000 value consists of mutual funds. LCM, Inc is a corporation owned The assets include a bank aci;ount, certificates of deposit, a money market account, and Colorado Bondshares mutual fund . .

#4. Land was purchased on January 1, 2003 for $50, 174 from the estate of Maria Medina, property is subject to m011gage (part VI, Line I).

#5. Assets of LCM 3, LLC consist of oil/gas investments th rough Avanli Exploration, LLC and arc believed to be worthless at the close of the year. Income in 2009 was the result of refunds of prior year fees.

#6. Vanguard Conv Secs FO Sii BEN INT line 38 of section 7 was not listed in the previous year report in error. This fund was purchased 12/10/2008 value rnde J.

Date nf Report Name of Person Reporling FINANCIAL DISCLOSURE REPORT

Page 8 of 8 LUCERO, CARLOS F. 0511512010

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 a1>plicablc tatulory provisions permitting non-disclosure.

I further certify that earned income from outside employment and honoraria und 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.

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

FILlNG INSTRUCTIONS

Mail signed original an<l 3 a<lditionai copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-30! One Columbus Circle. N .E. Washington, D.C. 20544