D [{]
[{]
5.
2.
Report Required by the Ethics AO JO FINANCIAL DISCLOSURE REPORT in Government Act of 1978 Rev. 11201 I FOR CALENDAR YEAR 2010 (5 U.S.C. app. §§ 101-111)
I. Person Reporting (last name, first, middle initial)
Sotomayor, Sonia
2. Court or Organization
Supreme Court of the United States
3. Date of Report
05/18/2011
4. Title {Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
Associate Justice
Sa. Report Type {check appropriate type)
D Nomination, Date
Initial Annual
Sb. Amended Report
D Final
6. Reporting Period
1/1/2010
to
12/31/2010
7. Chambers or Office Address
I .First Street, NE
Washington, DC 20543
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
IMPORT ANT 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 last page.
I. POSITIONS, (Reporting individual only; see pp. 9-13 of filing instructions.)
[{] NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
I.
2.
3.
4.
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 ofjiling instructions.)
[{] NONE (No reportable agreements.)
PARTIES AND TERMS
I.
3.
Sotomayor, Sonia
PAID
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 2of7 05/18/2011Sotomayor, Sonia
Ill. N 0 N-INVES TMENT INC 0 ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
SOURCE AND TYPE INCOME (yours, not spouse's)
I. 4/29/20 I 0 Book advance from The Knopf Doubleday Group $1,175,000.00
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
2.
3.
4.
B. Spouse's 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.)
SOURCE AND TYPE
I.
2.
3.
4.
IV. REIMBURSEMENTS -transportation, lodging,food, entertainment
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
D NONE (No reportable reimbursements.)
St. Lawrence University 5116/2010
2. 6/4/2010
SOURCE DATES LOCATION
I. Canton, NY
PURPOSE ITEMS OR PROVIDED
Commencement Speaker Transportation and meal
Hostos College New York, NY Commencement Speaker Transportation and meal
3. Bronx Children's Museum 8/14/2010 Bronx, NY Speaker Transportation and meal
4. Cleveland Legal Aid Society 9/9/2010 Cleveland, OH Speaker Transportation and meals
5. New York Historical Society 9/16/2010 New York, NY Speaker at Nueva New Transportation and meals
York Exhibit
6. Fordham Law Film Festival 10/17/2010 New York, NY Speaker Transportation and meal
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
05/18/2011Sotomayor, Sonia Page 3 of7
7. University of Paris Ouest 11/17/2010- Paris, France Speaker Transportation, lodging, meals 11/19/2010
2.
5.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 4 of7 05/18/2011Sotomayor, Sonia
V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
D NONE (No reportable gifts.)
I.
SOURCE
Robert Berks Einstein Sculpture
DESCRIPTION VALUE
$1,500.00
3.
4.
5.
VI. LIABILITIES. {Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
D NONE (No reportable liabilities.)
CREDITOR DESCRIPTION VALUE CODE
I. American Express Retail Credit Card J
2. Discover Retail Credit Card J
3. Visa Retail Credit Card J
4. Master Card Retail Credit Card
C.
(l) (2) (4)
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 5 of7 05/18/2011Sotomayor, Sonia
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those of spouse and dependent children; see pp. 34-60 of ft/inc instructions.) -
D NONE (No reportable income, assets, or transactions.)
A. B. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting period
(2) (1) (2) ( l ) (3) (5)
Place "(X)" after each asset
exempt from prior disclosure
Amount Code I
(A-H)
Type (e.g.,
div., rent,
or int.)
Value
Code2
(J-P)
Value
Method
Code 3
(Q-W)
Type (e.g.,
buy, sell,
redemption)
Date
mmlddlyy
Value
Code2
(J-P)
Gain
Code I
(A-H)
Identity of
buyer/seller
(if private
transaction)
I. Citibank, N.A. Savings E Interest 0 T Open 05105110 L
2. Citibank, N.A. Checking A Interest J T
3. ING Direct F Interest L T
4.
5.
6.
7.
8.
9.
IO.
11.
12.
13.
14.
15.
16.
17.
I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 C =$2,50I -$5,000 b =$5,001 -$15,000 E =$15,001 -S50,000
(See Columns Bl and 04) F =$50,001 -SI00,000 G=SI00,001-$1,000,000 HI =$1,000,00 I -$5,000,000 H2 =More than $5,000,000 2. Value Codes J =$15,000 or less K =$15,001 - $50,000 L=$50,00l -SIOO,OOO M =$100,00I - $250,000
(See Columns Cl and 03) N =S250,00I - $500,000 0 =$500,00 I - $1,000,000 Pl =Si ,000,001 - $5,000,000 P2 =$5,000,001 -$25,000,000 P3 =$25,000,001 -$50,000,000 P4=More than $50,000,000
3. Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U=Book Value V=Other W =Estimated
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 6 of7 Sotomayor, Sonia 05/18/2011
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Jndicate partofreport.)
Additional Information to Part V. GIFTS.
During 2010 many people sent me gifts of books, art, jewelry and trinkets. 1 have no reason to believe that any of those items exceeded the $335.00 limit. If! should learn otherwise, I will amend this form.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 7 of7 Sotomayor, Sonia 05/18/2011
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 S U.S.C. app. § SOI et. seq., S U.S.C. § 7353, and Judicial Conference regulations.
Signature: s/ Sonia Sotomayor
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL
AND CRIMINAL SANCTIONS (S 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
3.
3.
Report Required by the Ethics AOlO FINANCIAL DISCLOSURE REPORT in Government Act of 1978 Rev. 112011
FOR CALENDAR YEAR 2010 (5 U.S.C. app. §§ 101-111)
1. Person Reporting (last name, first, middle initial)
Sotomayor, Sonia
2. Court or Organization
Supreme Court of the United States
3. Date of Report
05/19/2011
4. Title (Article Ill judges indicate active or senior status;
magistrate judges indicate full- or part-time)
Associate Justice
Sa. Report Type (check appropriate type)
D Nomination, Date
D Initial [{] Annual
Sb. [{] Amended Report
D Final
6. Reporting Period
1/1/2010
to
12/31/2010
7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance
I First Street, NE with applicable Jaws and regulations.
Washington, DC 20543
Reviewing Officer Date
IMPORT ANT 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 last page.
I. POSIT! 0 NS. (Reporting individual only; see pp. 9-13 of filing instructions.)
[{] NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
I.
2.
4.
5.
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)
[{] NONE (No reportable agreements.)
PARTIES AND TERMS
I.
2.
4.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 2 of7 05119/2011Sotomayor, Sonia
III. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
SOURCE AND TYPE INCOME (yours, not spouse's)
I. 4/29/2010 Book advance from The Knopf Doubleday Group $1,175,000.00
2.
3.
4.
B. Spouse's Non-Investment Income - If you were ma"ied 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.
IV. REIMBURSEMENTS -transportation, lodging,food, entertainment.
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
D NONE (No reportable reimbursements.)
SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
I. St. Lawrence University 5/16/2010 Canton, NY Commencement Speaker Transportation and meal
2. Hostos College 6/4/2010 New York, NY Commencement Speaker Transportation and meal
3. Bronx Children's Museum 8/14/2010 Bronx, NY Speaker Transportation and meal
Cleveland Legal Aid Society 9/9/2010 Cleveland, OH Speaker Transportation and meals
5. New York Historical Society 9/16/2010 New York, NY Speaker at Nueva New Transportation and meals
York Exhibit
6. Fordham Law Film Festival 10/17/2010 New York, NY Speaker Transportation and meal
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 3 of7 Sotomayor, Sonia 05/19/2011
7. University of Paris Ouest 11/17/2010 - Paris, France Speaker Transportation, lodging, meals 11/19/2010
3.
5.
Page 4of7
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Sotomayor, Sonia 05/19/2011
V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
D NONE (No reportable gifts.)
SOURCE DESCRIPTION VALUE
I. Robert Berks Einstein Sculpture
2.
4.
$1,500.00
VALUE CODE
5.
VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instruction°')
D NONE (No reportable liabilities.)
CREDITOR DESCRIPTION
1. American Express Retail Credit Card
2. Discover Retail Credit Card
3. Visa Retail Credit Card
4. Master Card Retail Credit Card
!
I
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 5 of7 05/19/2011 Sotomayor, Sonia
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of •pouse and dependent children; see PP· 14-60 offiting instructions.)
D NONE (No reportable income, assets, or transactions.)
A. B. c. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period of reporting period
(I) (2) (I) (2) (I) (2) (3) (4) (5)
Place " (X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of
exempt from prior disclosure Code I div., rent, I Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller
(A-H) or int.) ! (J-P) Code3 redemption) (J-P) (A-H) (if private
______I (Q-W) transaction)
I. Citibank, N.A. Savings E Interest 0 T
2. Citibank, N.A. Checking A Interest J T
3. ING Direct F Interest L T Open 05110110 L
4.
5.
6.
7.
8.
9.
10.
I I.
12.
13.
14.
15.
16.
17.
I. Income Gain Codes: /\ =$ 1,000 or less B =$1,001 -$2,500 C =$2,501 -$5,000 D =$5,001 - $15,000 E =$15,001 • $50,000
(See Columns BI and 04) F =$50,00 I . SI 00,000 G =$100,001 -$1,000,000 HI =$1,000,00 I - $5,000,000 H2 =More than $5,000,000 2. Value Codes J =$15,000 or less K =S 15,001 • $50,000 L =$50,001 -$100,000 M =$100,001 -$250,000
(See Columns Cl and D3) 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
P3 =$25,000,001 • $50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market
(See Column C2) U =Book Value V =Other W =Estimated
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 6of7 Sotomayor, Sonia 05/19/2011
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreporL)
Additional Information to Part V. GIFTS.
During 2010 many people sent me gifts of books, art, jewelry and trinkets. I have no reason to believe that any of those items exceeded the $335.00 limit. If! should learn otherwise, I will amend this form.
Page 7 of7
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Sotomayor, Sonia 05/19/2011
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 et, seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature: s/ Sonia Sotomayor
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 Adrriinistrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
D
PARTIES
3.
2.
Report Required by the Ethics AOlO FINANCIAL DISCLOSURE REPORT
in Government Act of 1978 Rev. 112011 FOR CALENDAR YEAR 2010 (5 US.C. app. §§ 101-111)
I. Person Reporting (last name, first, middle initial)
Sotomayor, Sonia
2. Court or Organization
Supreme Court of the United States
3. Date of Report
5/12/2011
4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time)
Associate Justice
Sa. Report Type (check appropriate type)
D Nomination, Date
D Initial [{] Annual
Sb. Amended Report
D Final
6. Reporting Period
1/1/2010
to
12/31/2010
7. Chambers or Office Address
1 First Street, NE
Washington, DC 20543
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 i11structions accompanying this form must he followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
I. POSITI 0 NS. (Reporting individual only; see pp. 9-13 of filing instructions.)
[{] NONE (No reportable positions.)
POSITION NAME OF ORGANIZATION/ENTITY
I.
2.
4.
5.
II. AGREEMENTS. (Reporting individual only; see pp.14-16 of filing instructions.j
[ZJ NONE (No reportable agreements.)
AND TERMS
I.
3.
I.
3.
4.
FINANCIAL DISCLOSURE REPORT
Page 2 of7
Name of Person Reporting
Sotomayor, Sonia
Date of Report
5/12/2011
Ill. N 0 N-JNVESTMENT JN C 0 ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)
A. Filer's Non-Investment Income
D NONE (No reportable non-investment income.)
INCOME (yours, not spouse's)
I. 4/29/2010 Book advance from The Knopf Doubleday Group $1,175,000.00
SOURCE AND TYPE
2.
3.
4.
B. Spouse's 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.)
SOURCE AND TYPE
2.
4.
JV. REIMBURSEMENTS -transportation, lodging,food, entertainment.
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
D NONE (No reportable reimbursements.)
LOCATION PURPOSE ITEMS PAID OR PROVIDED
I. St. Lawrence University 5/16/2010 Canton, NY Commencement Speaker Transportation and meal
2. Hostos College 6/4/2010 New York, NY Commencement Speaker Transportation and meal
3. Bronx Children's Museum 8/14/2010 Bronx, NY Speaker Transportation and meal
SOURCE DATES
Cleveland Legal Aid Society 9/9/2010 Cleveland, OH Speaker Transportation and meals
5. New York Historical Society 9/16/2010 New York, NY Speaker at Nueva New Transportation and meals
York Exhibit
6. Fordham Law Film Festival 10/17/2010 New York, NY Speaker Transportation and meal
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 3 of7 Sotomayor, Sonia 5/12/2011
7. University of Paris Ouest 11/17/2010 - Paris, France Speaker Transportation, lodging, meals 11/19/2010
J
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 4 of7 Sotomayor, Sonia 5/12/2011
V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
D NONE (No reportable gifts.)
SOURCE DESCRIPTION VALUE
I. Robert Berks Einstein Sculpture $1,500.00
2.
3.
4.
5.
D
VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.)
CREDITOR DESCRIPTION VALUE CODE
I. American Express Retail Credit Card
2. Discover Retail Credit Card
3. Visa Retail Credit Card
4. Master Card Retail Credit Card J
5.
4.
(l)
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 5 of7 Sotomayor, Sonia 5112/2011
VII. INVESTMENTS and TRUSTS income, value, transactions r1ncludes those of spouse and dependent children; see PP· 34-60 of filing - instructions.)
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 trust assets) reporting period of reporting period
( l ) (2) (2) (1) (2) (3) (4) (5) Place "(X)" after each asset
exempt from prior disclosure
Amount Code l
(A-H)
Type (e.g.,
div., rent,
or int.)
··---- -·--·-'
Value
Code2
(J-P)
Value
Method
Code 3
(Q-W)
Type (e.g.,
buy, sell,
redemption)
Date
mmldd/yy
Value
Code 2 (J-P)
Gain
Code I (A-H)
Identity of
buyer/seller
(if private
transaction)
I. Citibank, N.A. Savings E Interest 0 T
2. Citibank, N.A. Checking A Interest J T
3.
5.
6.
7.
8.
9.
10.
I I.
12.
13.
14.
15.
16.
17.
I. Income Gain Codes: A =$1,000 or less B =Sl,001 -$2,500 c=$2,501 • $5,000 D=$5,001 - $15,000 E =$15,001 - $50,000
(See Columns 81 and D4) F =$50,001 - $!00,000 G =$100,001-$1,000,000 HI =$1,000,001- $5,000,000 H2 =More than $5,000,000 2. Value Codes J=$15,000 or less K=$15,001 -$50,000 L=$50,001 - $100,000 M =$100,00 I - $250,000
(See Columns Cl and 03) 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
P3 =$25,000,001 - S50,000,000 P4 =More than $50,000,000 3. Value Method Codes Q =Appraisal R=Cost (Real Estate Only) S =Assessment T=Cash Market
(See Column C2) U=Book Value V=Other W=Estimated
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 6 of7 Sotomayor, Sonia 5/12/2011
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (Indicatepartofreport.)
Additional Information to Part V. GIFTS.
During 2010 many people sent me gifts of books, art, jewelry and trinkets. I have no reason to believe that any of those items exceeded the $335.00 limit. If I should learn otherwise, I will amend this form.
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 7 of7 Sotomayor, Sonia 5112/2011
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 of5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature: s/ Sonia Sotomayor
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