SELF INITIATED AMENDMENT Uui~e~ ~tate~ (~ourt of ~ppeals

for the enth

1823 STOUT STREET DENVER, COLORADO 8025"7

CARLOS F. LUCERO

c ~ R c U ~ T ~ U DG E

303-844-2200

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 Ladies and Gentlemen: o~ ~ ~

Please allow this letter to serve as an amendment to part IV of my l~t~nc~l I~ Disclosure Report for Calendar Year 2009. The below was inadver~y ~mit~ from the report. Thank you. ~ ~

Source

Dates

Location

Purpose

Items Paid or Provided Transportation, Food, Lodging

Environmental 3/18 - 3119/09 Law Institute; US.Dept. of Justice

Santiago, Chile Non-FHC Educational Seminar

Carlos F. Lucero CFL/sm enclosures

Lucero, Carlos F.

Rev. 1~010

Aa 10

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
2. Court or Organization US COURT OF APPEALS - 10TH C1R 5a. Report Type (check appropriate, type) ~] Nomination. Date [] Annual [] Final

Rq, or~
in Government Act ~ t978

1. Person Rep~rting (last name, first, middle initial)

3. Date of Report 05/15/20t0 6, Reporiing Period 01/01/2009 to 12/3 It2009

LUCERO, CARLOS F.
4. Title (Article !11 judges indicate active or senior status; magistrate judges indicate foil- or part-time) ARTICLE IlIJUDGE-ACTIVE

[] Initial

5bo [] Amended Report 7. Chambers or Office Address 1823 STOUT STREET DENVER, CO 80257 8. On the basis of the information contained iu this Report and any modifications pertaining thereto, it is, in nay opinion, in compliance with applicable laws and regulations, I)ate.

Reviewing Officer .....

IMPORTANT NOTES: The instructions accompanying this form must be fi~llowed. Complete all parts.
checking the NONE box for each part where you have no reportable informatioa. Sign on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-I3 of Jiltng instructions.)

[~] NONE (No reportable positions.) PQSIT1ON
I. PRESIDENT & DIRECTOR

NAME OF ORGANIZATION/ENTITY
CARLOS F. LUCERO, PROFESSIONAL CORPORATION

II. AGREEMENTS. (n..o..,,g i,,ai.i,t,,,,! o,,ty; ~. t,., ~4-~ o/ ~,,,,g inslrnctionsO

~ NONE (No reportable agreements.) DATE PARTIES AND TERMS

Lucero, Carlos F.

III. NON-INVESTMENT IN COME. ~g,po,i,,g i,,~i~.i,~,,~ ~,,d ~o,,~,; ~,~ pp. 17-24 Of filittg instrt~ctions.)
A. Fliers Non-Investment Income
[~

NONE(No reportable non-investment income.) DATE SOURCE AND TYPE

Carloz F. Lucero, P.C. - Annuity payments received for prior services performed for law firm. (yours, not spouses)

1. Monthly

$22,299.60

2. 3. 4.

B. Spouses Non-Investment Income - ~f you ,,,~e married during any portlmt of the reporting year, complete this section.
(Dollar amount t~ot required cxceptJbr h~moruria.) NONE (No reportable non-investment income.) DAFE 1. 2, 3. SO1 JRCE AND TYPE

IV. REIMBURSEMENTS --t~..,..o~t,.io,,,

(hlcludes thosc" to ~:pouse and de, pendent childr~tl; see pp. 25-27 t~ filing, instructions.)

NONE (No reportable reimbursements,) SOURCE DATES 3!16-3117 t0/9/2009 2/21 - 2123 LOCATION Panama City, Panama Washington D.C. New York, NY PURPOSE Non-F.~C Edu Seminar Non-FJC Edu Seminar Non-FJC Edu ITEMS PAID OR PROVIDED "transportafior~, Foo~:l, Lodging Transportation, Food, Lodging Trausportation, food, Lodging

1. 2. 3.

American Bar Association American l~ar Association New York University Law School

4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 8

N~e of Person Rept~rling

Date of Report

~.~;c~Ro, CARLOS F.

05/t5/2010

V. GIFTS. ~t,,~,d, those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gidts.) SOU RCE
I. 2. 3. 4. 5.

DESCRIPTION

VALUE

VI. LIABILITIES. r~,,~,,,~.~,o,e o,po, .....t dependent childre,t; see pp. 32-33 oJfiling ittstructions.) ,
~ NONE (No reportable liabilities.) CREDITOR
I. ESTATE OF MARIA MEDINA

DESCRIPTION
~STALLMENT NOTE TO PURCHASE 1/2 INTEREST IN ~ RIO ARRIBA COUNTY, N.M.

VAI.UE CODE
K

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT

~a.~e Of Person Reporting

Dat~: ol" Report

Page 4 of 8

LUCERO. CAmeOS ~.

05/~ 5/20~ 0

VII. INVESTMENTS and TRUSTS .. i,.co,,te, v.t.., t ........ lions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.) Descrip0on of Assels (including trust assets) Place "{X)" aft ...... I ..... t exempt from prior disclosure [ ~ Incame d~rhag repomng period Type (e.g., div., rent. oriot0 Gross vNue al end ~ of reporting period [ Value ~ Code 2 {J-P) [ Vt~lue Method [ Code3 Type (e.g., buy sell, redemption)

Transaclions during reporting period

I~Amunt Code I I (A-H)

Date , Value Gain I mm/dd/yy { Code 2 ~ Code I ~ 0-P) ~ (A-H)

Identity b ayer/se e (ifprivate

l, 2. ; 3. : ,1. 5. 6. 7. 8. 9. 10. t I. 12. 13. 14. 15. 16. 17.

~ COMMERCIAL BUILDING, ];~LAMOSA COUNTY, CO ~ APARTMENTS, ALAMOSA COUNTY, CO ~ I/4 SE~ION FARM LAND :{{)NE.IOS COUNTY, CO Vacant Land, Conqos County Co 1/2 INTEREST IN ARRIBA COUNTY, NM O

F E A

Renl Rent Rent None None None

K M K K M M M J N

W W W R Q S O U T See # 1 See # 2 See # 3 See # 4

VACANT LOT" JEFFERSON COUNTY, CO LOS IqERMANOS LUCEROS, LID PARI:NERSHIP (14% INIEREgT) CARLOS F. LUCERO, PC (100% ST~K) ~ LCM, INC. ( 100% MUTUAl., FUNDS) TD AMERITRADE IRA BROKERAGE ACCOUNT Dianlonds Trust Series lCom (DIA) Powershares QQQ (QQQQ) Proshares Ultra QQQ: (QLD) Slxh"l"r Unit Ser I (SPY) Vanguard Funds Emerging Markets Vipers (vwo) Prudent Global Inc FD SH BEN INT ( PSAFX ) Harbor FD BD ~D INSTL (HABDX) A A A A A A A E E

Dividend Dividend Dividend

Dividend DivMend None Dividend Dividend Dividend Dividend

K K

T T Sold 12/I 5/09 J ..

K J K J

T T T "1

FINANCIAL DISCLOSURE REPORT Page 5 of 8

r~ ..... f Ierson Reporting LUCERO, CARI,OS F,

Dale of Report 05/I 5/2010

VII. INVESTMENTS and TRUSTS .- i ............ t,,e, l ......... ,~o,,, ~,,,.l,,,~e, o,o,e o., spo,,,e .,,,~ a.p.,,d.,o, ~,ita,~,,; ~., ~. 3*60 o~~,,,~
NONE (No reportable inco~ne, assets, or transactions.) Description of Assets (including n~gI assets) ~ Income during re~ing permd ~ Gross value at end ~ of reporting periled Transactions during reporting period

~-S~--~ ...... ~ ...... ............~ ............ ~ ...... i (6 .....~--~i7~- ~3 .... ~ ..............

exempt finn, prio; disclosure
........................................... ~ .................

~ Code I (A-H)

div.. rein, or int.)

Code 2 U-P)

Method ~ Code 3

buy, sell ~edemption)

[mm/d~yy I Code 2 ; Code 1 I ~ (J-P) (A-H) ~

.

buyer/seller (if nivat

i ................. L~_

L ..........

- _L ............ .............................

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28, 29. J0, 3 I, 32. 33. 34,

Mmhews lntI FDS Pacific Tiger (MARX) Payden Invt Emerging Markets BD FD (PYEMX) Payden lnvl Group GNMA (PYGNX) P1MCO Funds Invest Grade Corp BD FD (PGCAX) PIMCO High Yield fq) ADMIN (PHYAX) PIMCO Real Return (PRRDX) Ishares S&P Small Cap 6(.)0 Index Money Market Fund TDAM US Goverment Port Class A Harbor FD High Yield Borid Fund (HYFIX) }~ID AMERIFRADF. BROKERAGE ;\~COUNT Diamond Trnst Series I COM (DIA) Shares Boxx & 1NVTOP INVES FI) (LQI)) PIMCO Corp Opportunity Fund Closed End (PTY) Powershares QQQ (QQQQ) SFDII TR Unit Set 1 (SPY) Vanguard Msci US MID Cap 450 INDEX (vo) Diamond Hill FDS Long-Short FI) CI A

A A A A A A A

Dividend Dividend Dividend Dividend Divide~d Dividend Dividend None

K J J K K L K J J

T T T T .... T T T T T Buy . 06/12109 J

Dividend None

A A A A A A A

Dividend Dividend Dividend Dividend Dividend Divhlcnd Dividend

K K J K K J

T T T T T T Sold 06/09/09 K A

FINANCIAL I)ISCLOSURE REPORT

Page 6 of 8

N .... of Person Reportirig LUCERO, CARLOS F.

Date ~)1~" Repot! 05/15/2010

VII. INVESTMENTS and TRUSTS -. i,,eo,,,,, ~,e, transactions (h,ch.les those of spottse and dependent children; see pp. 34-60 ~]" filing instruetions.)
:~ -] NONE (No reportable income, assets, or transactions.) Descr~puon at Asse~s (including trust assets.} ~ ~ Place "(X)" after eact~ assel exempt from prior disclosure

Income during [ Gross value at end reporti~g period [ of ceporti~g period ........... Type (~.g., div,, rear, or int.) Value ~ Code 2 (J-P) ~. { Value ~ Method ~ Code 3

Transactions during reporting period

Amount Code ] ~ (A-H)

]ypo (e.g., Date Value buy, sell .... m/d~Vyy Code 2 redemption) (J-P)

Ga n Code ] ~ (A-H)

Identity of buyer/seller (if private

35. 36. 37. 3.3. 39. 40. 41. 42. 43. :14. 45. 46.

Leuthold (?ore Investments FD (LCORX) PIMCO Total Re, Fd Admio Money Market Fund Dividends TDAM US Goverment Pot, Class A Vanguard Con, Sees FD SII BEN INT Fidelily Advisor Set V [~loaling RT HI INC FD Retail (FFRHX) ~CHAR],ES SCHWAB & CO, INC. BROKERAGE ACCOUNT --SCHWAB MUNI MONEY FUND --EQUITABLE t..tI:E ASSURANCE SOCIETY--ANNUIIY --SAFECO LIFE INSURANCE COMPANY--ANNUITY -.COLORADO BONI)SHARES LCM 3, LLC Vie ) )Claro Energy, LLC

A A

Dividend DividerKl None None None None

K K ,1 J K

T T T T T Buy 06/~)/09 K see # 6

J D D E A Dividend Dividend DivMer~d Distribution None M M N J J

T W W T S U Buy 02124109 .l See # 5 See #2 .See # 2

t. hwmnc Gairt Co,:les:

A =$1,000 or less

B =.$ LOOt - $2,500

C =$2.501 - $5,~0

D ~$5,~1 - $15,~

E =$15,~1 - $50d~)0

FINANCIALDISCLOSURE REPORT Page 7 of 8

Name of Person Reporting

Date of Report

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS,

#1. Assets over $I0,000 value consist o ranch, land, water rights, exluipment, livestock and related property.

#2. Assets over $10,000 value consist of law parmership income earned prior to June 30, 1995 in the form of armuities. For tax purposes, annuity income is reported by CFL, P.C. i own 100% of the stock of "Carlos F. Lucero, PC" however the assets orthis corporation include only a bank account for which the value and incon~e amounts are less than the required reporting amounts, i.e. the value is less than .1;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 Part l!l. #3. Assets over $10,000 value consists of mutual funds. LCM, lnc s a corporatio ~ owned by a money markel account, and Colorado Bondshares mutual fund, . The assets include a bm~k account, certificates of deposit,

#4. Land was purchased on January !, 2003 for $50,17,1 from the estate of Maria Medina, property is subject to mo,tgage (part VI, Line I ). #5. Assets of LCM 3, LLC consist of oil/gas investments through Avanti Exploration, LLC and are believed to be worthless at the close of the year. Inco~ne in 2009 was the result of refunds c,t prior year fees. #6. Vanguard Cony Sees };D SII BEN 1NT line 38 of section 7 was not listed in the previous year report in error. This fund was purchased 12/10/2008 value code

FINANCIAL DISCLOSURE REPORT Page 8 of 8

[ Name of Person Repor,ing

] LUCERO, CARLOS F.

Date ,if Repot! 05/15/20!0

IX. CERTIFICATION.
1 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 iuformation not reported was withheld because it met applicable statutnry provisions permitting non-disclosure. 1 fnrther certify that earthed income hom outside e~nployment and honoraria and the acceptance of gihs 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 regnlations.

Signature

NOTE: ANY INDIVIDUAL WHO KNOWINGL!t AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Finm~cial Disclosure Administrative O[[ice of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544