POSTTION NAME OF ORGANIZA:Y-ION/ENIITY

IJ.

I.\.

Report Required 1· the Ethics FINANCIAL DISCLOSURE REPORT AO 10 in Go\'crnment .1ct of1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ 101-11 I)

], Person Reporting (l

PARTIES

D•te or Report Name o( Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2of11 04/0912010O'CONNOR, SANDRA D.

17. Member Americans for Generational Equity, Board of Trustees

18. Board Member William H. Rehnquist Center

19. Chair Emeritus of the Judicial Advisory Board & Counselor on Exec. American Society of International Law Council

20. Advisor Aspen lnstitute's Justice and Society Program

21. Commissioner National Parks Second Century Commission

22. Member Alzheimer's Study Group

23. Advisory Board Member

2..i.. Advisory Ooard Member

25. Advisory Board Mem er

26. Special Advisor

27. Special Advisor

:>8. Special Advisor

29. Chair of the Ooard of Directors

Bill Lane Center for the Study of the North American West at Stanford

Stanford University, Center on Ethics

Citizenship Counts

Sandra Day O'Connor Project on the State of the Judiciary

Our Court's Project

O'Connm HoU5e Project

iCivics

30. Chair of the Advisor Committee O'Connor Judicial Selection lnitiati,·e

31. Advisory Board Member Lloyd N. Curt I er Center for the Rule of Law at the Salzburg Global Seminar

32. Honorary Chair of the Centennial Exhibit Arizona Women's Heritage Trail

33. Honorary t\.lembcr Ooard for the Foundation for the Future.

II. AG REE ME NTS. (Reporting individual only: supp. U-16 of filing ilwructions.)

NONE (No reportable agreements.) [2J

I.

2.

3.

AND TERMS

SOURCE

SOURCE

SOURCE LOCATION PURPOSE

INCOME

OR

Name or Person Reporting D•te or Report FINANCIAL DISCLOSURE REPORT

Page J of 11 O'CONNOR, SANDRA D. 04/09/2010

III. NON-INVESTMENT INCOME. (Reporting individual and >pou>

SOURCE

Nam of renon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

O'CONNOR, SANDRA D. 04109/20 ltl Page 4 of ll

V• GIFTS. (lnclud s thosf! f(} spou:iir and dependent chi/dun,· .ree pp. 2,Y-11 nf jiling instructio1u.)

NONE (lVo reportable gijts.)

DESCRIPTION

I.

2.

3.

4.

).

VI. L [AB [LITIES. (Includes thou of spouse and dependent c/1ildren; see pp. JJ-11 of filing instructions.)

NONE (No reportable liabilities.)

DESCRIPTION VALUE CODE

I.

2.

3.

4.

5.

11.

i !

1

i

17

i

i

i I

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--- --------

v -:--;: 1:c-g.-.--,

i

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(2) -V l c - ;" 1• V --!,. :n I

(Q-W)

Name of Person Reporring Date of RepQrtFINANCIAL DISCLOSURE REPORT

Page 5 of 11 O'CONNOR. SANL>R.\ D. 04/09.'2 0 l 0

Vil. INVESTMENTS and TRUSTS -income, vu/ue, trun>ac!ions (/nclu

(I)

D

(-l) ___ (2)

Oate of Rtport Na.me or Person ReportingFINANCIAL DISCLOSURE REPORT

Page 6of11 04/0912010O'CONNOR, SANDRA D.

VII. INVESTMENTS and TRUSTS - income, value, transactions (lncludes thnu of.•pouu anti dependent chi/d,,n; Se< PP· 14-60 of filing itWructimrs.)

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

A ll. c.

Gross value at endDcscriplion of Assers Income Juri11g

of reporting period (including trust asscB) reporting period

(2) (I) (I) -iii-' (.I)_ (SJIOatcType (e.g., Amount' Type (e.g .. VJlue ValuePlace "(X)" allcr each ilSSCt \'alui: Gain ldcn11ty of Code I buy. sell, exempt from prior disclosure div.• rent. Code Z Method

redemption)(A·\!) 1Jr int) (l·P) Code) (Q·W)

mm/ddlyy Code 2 Code I huyer/:icll r 1

(J.r) (A·ll) (if private tr.1n-.a....t1on)

18. Uaker l lughes Inc. A Dividend K T Sold (part)

03126/09 J

19. Buy (adJ'I)

04/30109 J

i 20. Ba ter International B Dividend L T Sold (part)

03/26/09 K

21. !:18& T Corporation A Dividend K T 13uy O-li30i09 J

22. Cadence Design System None K T 13uy 04101109 J I

I 23. Capital One Financial Corp. A Dividend K T

24. Cardinal Health A Dividend K T

25. Carefusion Corp. None J T Spinoff (from line H)

09,'0l.'09 J

26. Citigroup A Dividend Sold 05/13/09 J

27. Citrix Systems fnc. None J T

i 28. Comcast Corp. A Dividend K T

; 29. Computer Sciences Corp. None K T

. 30. Compuwarc None K T

31. Discover Financial Service> A Dividend J T

32. Dupont (E.l.) c Dividend L T

33. Eaton Corpor tion A Dividend K T Buy 04/01/09 J

34. Ebay Inc. None K T

l. [n.:a-m-:: Gain Code : ('i e Columns Ill anJ 04)

2. Vi!hJe Cull (S e C.ilumni: Cl and U))

l. Value Method c;mks (Se Column C2)

A ,...\l,OOU or k s F .:S50,(i01 -1100,000 J a ! S.IJOU ur !ei N -:. 2 !J,OD I - S5Ql),0(;0 PJ -=125.000,001 - SSO,IXJ0.')()0 IJ ""Apprll:.41 Li 2flool.. V.ilue

3 -S l.UU I - S2,50l.J r; •StOO,IXll ·SI ,ll00.000 K =S 15,0Ul - S50,000 0 =5500.001 · Sl,000,UOO

R •('ojt tReal C.stJte Only) V-Other

C =S .lDI · 5.000 Ill =Sl.000.00: · S5.000.000 L •550.001 • SI00,000 Pl :1,1,000,UOI - $).OU0,!)1.)f) N a.\1m-e than SS0,000.000 S =Ass ssmem W =Es1imat d

D ""'>'i.001 - SI S.01.>0 E -Sl5.UOI. $50,fHl() H2 "'.\lore 1hJ11 ss.ono.o:io M "':SIOO,OtJI · S25U.UUIJ P::! =S5,t!IW.OOI. >25.000,000

T "Ca-.hM:i.rl.:et

i -(1_) ___ - -r

1

4'

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(Q-W)

Date or R port Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 7of11 04/09/2010O'CONNOR, SANOR.\ D.

VII. INVESTlVIENTS and TRUSTS -U.come, va/ue, tra11sactions (foc/u1/es those 11/>pouse anti dependent cililrfren; Stepp. Jl-60 offilingimtructionr.)

0 NONE (No reportable income, ussels. or transactions.) · ·----·

Description llf Assets

B.l lncumc during 0. Gross 11alue at end rransa,t1ons during rcportmg: pt:nod (including tmst assers) reporting period of reporting period

(I) (2) (l) (2) f-- 1 (2) (l) (S) Place "(X)" after t:�u.:h asset , Amount Type (cg., Value Va!uc Typo (cg, Date I Value (fain Identity of

exempt from prior disclo$ure 'Ccxk I div.• ren[. Code 2 Method buy. sell, rmn/dd/yy ' Code 2 \ Code l · buyer/sellerI(A-II) :I or int.) (J-P) Code J redemption) (J-r1 : (A·I!) (ifpri"are tr.lns,1ction)

135. Ericsson Tel ADR I: 36. Exxon Mobil

n. FedEx Corp

38. General Electric

39. Glaxosmithkline PLC ADRF

40. Hanesbrands

41. Hewlett-Packard Co.

Hitachi Ltd Adr New

43. Home Depot Inc.

: 44. L gg Mason [nc.

i 45. Liberty Media Holding

: 46. Merck & Co. Inc. New

! -t7.

48.

49. Millipore

50. Molex [nc. LTD

1 51. Mo!Drola., Inc.

A Dividend

B Divid nd

A Dividend

A Dividend

None

None

A Dividend

None

B Dividend

A Dividend

None

A Dividend

None

A Dividend

A Dividend

L

[.;_

K

K

K

L

K

K

K

K

K

K

K

T

T

T

T

T l3uy

T

T

Sold

T

T Buy (add'I)

T

T Buy

Buy (add'!)

Buy(auu'l)

T

T

T

08/04/U9 K

08/04/09 J

03/3 \i09 J

03/31/09 J

05/01109 J

1)5101109 J

;

I

:

I. [11i.;ome GJlnCodcs. A :-:-S 1.0()0 or kS3 9 =Sl .00 - S2,500 C •S2.50f - Sl.uOO D "'55.00I - S\5.00U E = 1).U!JI • SJll.(lUU1

i.JtSte Cah.mm BI :i.nd IJ4J F ... S0,001 · Sl' 0.!100 G -:S!UO,t:KH. SI ,O'J0,01)() Ill •S\,000,l)i)) • 55,000.0UU H! "' fore than SS.0110.000

2.Vll!ueC.iJc:::i J =-SI 5,000 or less K ::s-Sli.001 -S50,UOO L -!50,001 - tiOO.UOO M =.UOU,001 · S250.00U (SJI R .:Co:>I (Rt"al fau1e Only) ·A i.tHm:nt r-·CashMarkct

(Sec Column(:!) U .,IJ.xik \'1luc V =-Oth r \\' =Es111\1iltt':d

(2) (I)

i

158

.. l.luc

B T

D

c2i--oi-·f(.iil I :

I !

! ;

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(2)

(Q-W)

(!)

(i-r)

Ditte or Report Name or rcnon Reporting FINANCIAL DISCLOSURE REPORT

Page 8of11 0 /09/2010O'CONNOR, SANDRA D.

vn. INVESTMENTS and TRUSTS - ;,.come, value, transactions (lnc/u1les those of spou>e and dependent children; S« PP· Jl-60of/iling instruction

171.

I

I

!

I

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Date or Rtport Name of Person Reportin:::: FINANCIAL DISCLOSURE REPORT Page 9 of 11 O'CONNOR, SANDRA D. 04/0912010

VII. INVESTMENTS and TRUSTS - income, vatue, rran ...ctfons (1nc1ud" those ofspous. and uepenu,ntc1oudren: '"PP· 11-60 offilinc instructions.)

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

Description of Assets

(including trust assets) Income during Gross v:t.lue at enJ

reporting periOO of reporting period

69.

70.

72.

73.

74.

75.

176.77 .

78.

79.

80.

81.

i 82

83.

Place "(X)" after each asset xempt rrom prior disclosure

St. Paul Travelers Cos

Sun Microsystems Inc.

Symantec Corp.

Time Warner, Inc.

Tyco Electronics Ltd.

Union Pacific Corp.

Wachovia Corp

Wells Fargo & Co

West Pharmaceutical Services

Xerox Corp.

Zimmer Holdings

Dodge & Cox Balanced Fund - Acct. I

Dodge & Cox Balanced Fund - Acct. 2

(I) Amount Code I

(A-11)

A

A

A

A

B

A

B

A

(2) (I) Type (e.g., Value

div., rent. Code 2

or int) (!-!')

Dividend K

None

None K

Dividend K

Dividend K

Dividend L

Dividend

Dividend L

Dividend L

Dividend K

None J

None 0

None

(2) (I) \'aim: Type (

D =$5,001 - SI 5,000 H:! -=More than S5,UOU.U'.HJ M "'SI00,001 • S250,00U P2 :c:$5,0CU,OOI - S25,000,00IJ

E 'SIS.OU\ - SS0,000A -=S 1,000 or le:s F =SS0.001 • Sl00,000 J .-s1s,oov orlco;., N •S250.00I · S 00,000 Pl ""S"ZS.000,001 - SS0,000,00:J Q =Apprai.!lal

U "'IJr)l.:ik V.:il11

O=Sl.001 ·S2,5(}1) G-SlOU,VOl - Sl,UOU,000 K •S!5.00! · !50,0UO 0 -5500.(lOI • S l ,{JOtJJ1()fl

R "-Co t (ReJI fa1a1e 011ly) V =01her

C ::S?,SOI -SS,000 HI •11,000.00t · 55,00

Name of Pcnon Reporting Date of Report FINANCIAL DISCLOSURE REPORT

O'CONNOR, SANDRA D. 04/09/2010Page 10 of 11

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (1"JicaJepar111flltpor1.)

FOOTNOTES

(I) My spouse was a partner in the Bryan Cave law firm. The indicated value of this entry was the value of a pension plan administered by 111c Vanguard Group. Due to the death of my spouse in November 2009, these funds were transferred to the Dodge & Cox [)alanccd Fund - Acct. I.

(2) My spouse was a principal in the law firm of Fcnnemorc, Craig, von Ammon & Udall. P. C. (now Fennemore Craig, P. C.) until December 31, 1931. The indicated value for this entry was the value of his interest in the firm's pension plan administered by Charles Schwab Trust Company. Due to the death of my spouse in November 2009, these funds were transferred to the Dodge & Coxe Balanced Fund - Acct. l.

(3) Chevy Chase Bank changed its name to Capitol One.

(4) Principal Financial Group lifo insurance policy held from many years by spouse wa.> conver1ed to stock in Computcrshlre an closed following the death of spouse.

u:vrzo:t "/, 6'01()

f'.'" ! ·

!

FINANCIAL DISCLOSURE REPORT Page 11of11

Name of rerson Ueportlng

O'CONNOR, SANDRA D.

IX. CERTIFTCA TION.

I certify that all Information given above (including information pertaining lo my spouse and minor or dependent children, If any) I' accurate, true, and complete to the best of my knowledge and belief, and that any information not reported wa• withhrld because it met applicable statutory provlslom permitting non-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported art in compliance with the provisions of 5 U.S.C. app. § 501 et. seq., S U.S.C. § 7353, and Judicial Conference regulations.

SlgnaturJ

NOTE: ANY INDIVIDUAL WHO KNOWII\'GLY ANO WILFULLY FALSIFIES OR FAILS TO FILE TIIIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (S U.S.C. app. § 104)

FILING fNSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosun: Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

' ')

f--��--.--��������� -��--1�������������������������----l

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Financial Disclosure Report - 2009 Sandra Day O'Connor

IV. Reimbursements of Transportation, Lodging, Food, Entertainment

January 2. New York, New York Interview taping (Transportation and meals for self)

Jazz at Lincoln CenterI.

January 7. Phoenix, Arizona · American Bar Association -! Participation and address at the ABA Section of Litigation Leadership Meeting (Transportation and meals for self)

Section of Litigation Leadership

... January 26 - 28. Yellowstone National Park Commission 1 Participation in Commission meetings

1 (Transportation, lodging and meals for self)

National Park Second Century .) .

National Cowboy Poetry January 28 - 30 Elko' Nevada Address an audience of the National Cowboy Poetry Gathering; and address an audience at the Great Basin College (Transportation, lodging and meals for self)

Gathering/Sally Searle

! February l - 3. New Orleans, Louisiana

Circuit Court of Appeals for the Fifth

Sit with the Fifth Circuit Court of Appeals Panel (Transportation, lodging and meals for self)

February 6-8. Williamsburg, Virginia Participation in Charter Day activities as Chancellor (Transportation, lodging and meals for self)

College of William and Mary

Annenberg Foundation February 9 - 11. Palm Springs, California Participation in Annenberg Foundation Conference (Transportation, lodging, and meals for self)

7.

: 8. University of Arizona, ; February 19 - 20. Tucson, Arizona • Teach at the University of Arizona

(Lodging and meals for self)

; 9. Leaming Center

l 0. University of Missouri T ,aw School

february 25. St. Louis, Missouri Reception and formal ribbon cutting ceremony at Leaming Center Dinner remarks (Lodging and meals for self)

february 26 - 27. Columbia, Missouri Visit with student groups, attend reception and deliver the Nelson Lecture at the Lav.; School's symposium. (Transportation, lodging and meals for self)

I

I

i

I

i

::d-1 judicial and

i

'

11. Rockefeller Foundation Board March 3 - 5. New York, New York • Participation in Board meetings

(Transportation, meals, lodging for self)

12. Abraham Lincoln Presidential March 5. Chicago, Illinois Library Foundation Participation in portrait unveiling. Brief remarks.

(Transportation, lodging and meals for self)

National Park Second Century March 18 - 20. Gettysburg National Park Commission , Participation in Commission meetings

(Transportation, lodging and meals for self)

13.

Alzheimer's Study Group March 24. Washington, D. C. Participation in release of Alzheimer's Study Group's report release

. and testimony before the Senate Special Corrunittee on Aging i

I (Transportation for self)

14.

I Pepperdine University March 27. Los Angeles, California

Participation in a panel discussion for the William French Smith Lecture Series (Transportation, lodging and meals for self)

15.

United State Department of State March 28 - April 3. Slovenia and Croatia Participation with U. S. Embassy staff on visits to the dignitaries of Slovenia and Croatia

16.

' ! (Transportation, lodging and meals for self)

17. Florida Law Related Education April 6 - 7. Tallahassee, Florida Association . Visit Florida State University College of Law

Address the Florida State Legislature Reception hosted by Florida Bar Association Visit Deeklake Middle School (Lodging and meals for self)

18. U. S. Coast Guard Academy April 8 - 10. New London, Connecticut Visit Academy and various student classes. Deliver the Hedrick Fellowship Address (Transportation, lodging and meals for self)

19. i St. Joseph County Bar i April 21. South Bend, Indiana ! Association : Deliver luncheon address

I (Transportation, lodging and meals for self)

Indiana University-Purdue i April 23-24. Fort Wayne, Indiana University Visit student class; deliver the Omnibus Lecture

20. ·

(Transportation and meals for self)

April 28-30. Austin, Texas University of Texas School of Center for Women in Law 21.

Participation in Women's Power Summit on Law & Leadership, . Law/Mike Myers give remarks

! (Transportation, lodging and meals for self)

.I-"-·')") · American Bar Association May 6-8. Charlotte, North Carolina

I r-rf os

I

1--

I j !

I I

I

---1 -Participation in ABA Presidential Commission on Fair and Impartial State Courts, give keynote address (Transportation, lodging and meals for selt)

May 13-15. New Orleans, Louisiana Circuit ' Sit with the fourth Circuit Court of Appeals Panel

(Lodging and meals for self)

Court of Appeals for the Fourth

May 15-17. Williamsburg, Virginia Participation in Commencement activities as Chancellor (Transportation, lodging and meals for self)

24. College of William and Mary

I May 21-22. Los Angeles, California Give luncheon remarks - receive the Person of the Century Award

Angeles Rotary Club

1 (Transportation, lodging and meals for self) i

26. National Park Second Century , Commission I

27. Radcliff Institute

Rancho La Puerta, Mexico 128. i !

June 1-4. Great Smoky Mountains National Park Participation in Commission meetings (Transportation, lodging and meals for self)

June 5. Cambridge, Massachusetts Participation in Radcliffe Commemorative Service, Awards Symposium and give alumni Luncheon remarks (Transportation, lodging and meals for self)

June 13-15. Tecate, Mexico Participation in discussions and give remarks

29.

30.

Rockefeller Foundation Board

R.andom House

Aspen Ideas Festival

I Utah State Bar Association I

US State Department

,

I (Transportation, meals and lodging for self) June 16-18. Tarrytown, New York Participation in Board meetings (Transportation, meals and lodging for self)

- . ..

ne 22-24. New York, New eet with Random House personnel, television and radio

, appearances to promote new book i (Transportation, meals and lodging for self)

June 28 - July 2. Aspen, Colorado

•

33.

Participate in interviews and panel discussions (Transportation, meals and lodging for self)

July 17 - 20, Sun Valley, Idaho Address Bar Association members (Transportation, meals and lodging for selt)

September 2 - 6, Helsinki, Finland Participate in Seminar sponsored by State Department; Visit and address Finland's Supreme Administrative Court; Seminar at Helsinki University. (Transportation, meals and lodging for self)

I

,_____

I i

! '

I I !

I

1

:

!

i

I

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34. Seattle Library Foundation September 12- l 4. Seattle, Washington Seattle Library Foundation dinner; give remarks at the evening

I public talk for the Seattle Library Foundation. (Transportation and meals for seli)

35. Roanoke College September 16-17. Roanoke, Virginia Visit law class for Q&A session; luncheon with faculty, student leaders and community representatives; give Constitution Day

I address.

,

36.

37.

38.

,

West Virginia Independent Judicial Commission/State of West Virginia

Annenberg Foundation

Joint Symposium of the South Carolina and North Carolina Women La\\ ers Association

I I

(Transportation, lodging and meals for self)

September 20-21. Morgantown, West Virginia Attend West Virginia Independent Judicial Commission meeting (Transportation, lodging and meals for self)

September 24, Philadelphia, Pennsylvania Speaker at the memorial service for Lenore Annenberg; (Transportation, meals, and lodging for self)

September 30 - Charleston, South Carolina Received the Bissell Award and participate in symposium; (Transportation meals and Iod gino for sel f)b

39. College of William & Mary October 2-3, Williamsburg, Virginia Participate in dedication ceremony, in events surrounding judicial conference and address students

: (Transportation, meals and lodging for self) !

40. Sixth Circuit Court of Appeals October 13-14. Cincinnati, Ohio Sit with the Sixth Circuit Court of Appeals Panel (Transportation, lodging and meals for self)

41. National Association of Women Judges

October 15, Memphis, Tennessee : Annual Conference, participate as a luncheon speaker

(Transportation and meals for self)

42. , Ninth Circuit Court of Appeals October 19-20, Tempe and Tucson, Arizona Sit with the Ninth Circuit Court of Appeals Panel (Transportation, lodging and meals for self)

43. I State University of New York November 4, New York City, New York Received an honorary degree from Binghamton University 1. address audience (Transportation, accommodations and meal for self)

44. University of Oxford November 30 - December 6, Oxford, England Brasenose College Participate in lecture series, engaged in exchanges with students

and faculty m classroom scttmgs (Transportation, accommodations and meals for selt)