richard f cebull financial disclosure report for 2010

8/3/2019 Richard F Cebull Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2 010

Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. §§ 101-111)

1 . Person R eport ing ( last name, f i rst , middle ini t ia l )

Cebul l , Richa rd F.

4. Ti t le (Art ic le 111 judges ind ica te ac t ive o r sen io r s ta tus;

magistrate judges indicate full- or partqime)

Chie f US D is t r i ct Judge - A ct ive

7. Chambers or Of f ice Address

United States Dis trict Court316 No r th 26th St ree tBi l l i ngs , M T 59101

2. Court or Organiza t ion

US Dis t r i c t Cour t - M ontan a

3. Date o f Report

5/10/201 i

5a . Report Type (check appropria te type )

] Nominat ion, D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

8. On the bas i s of the informat ion conta ined in thi s Repor t and any

modifica t ions pe rta in ing the re to , i t is , in my op in ion , in com pliancewith appl icable l aws and regula t ions .

Re v i e w i n g O f f i ce r Date

6. Repor t ing Per iod

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The instractions accompanying this form must be followe~L Complete all parts,

checking the NONE box for each part w here you have no reportable informatiot~ Sign on last page.

I . P O S I T I O N S . ~ R e p o n i n g i n a l v la . a to . ly ; s e ~ p p . 9 - 1 3 of f!ling instructions.)

~] N O N E (No reportable positions.)

POSITION

2.

3.

4.

5.

N A M E O F O R G A N I Z A T I O N / EN T I T Y

I I . A G R E E M E N T S . ¢ R ~ p o n l n g i , a i v ia , a l o n l y ; s , , p p . , 4 - 1 6 o f ~ t l n g instructions.)

~] NO NE (No reportable agreements.)

D A T E PARTIES AND TERM S

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FINANCIAL DISCLOSURE REPORT

Page 2 of 9

Name of Person Reportin g

Cebull , Richard F.

Date of Report

5/10/2011

I lL N O N - IN V E S T M E N T I N C O M E . tRepo,~ing individual and spouse; seepp. 17-24 of filing instructions.)

A; Filer’s Non-lnvestment Income

~] (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours, not spouse’s)

B . S p o u s e ’ s N o n - I n v e s tm e n t In c o m e - if you were married during any portion of the reporting year, complete this section.

(Dollar am ount not required except for honoraria.)

N O N E ( N o reportable non-investment income.)

D A T E . SOURCE AND TYPE

I.

2.

3.

4.

I V . R E I M B U R S E M E N T S - tru.sporta,io., Iodglng, food, entertainmen~

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

N O N E (No reportable reimbursements.)

S O U R C E D A T E S L O C A T I O N

1 .

2.

3.

4.

5.

PURPOSE ITEMS PAID OR PROVIDED

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FINANCIAL DISCLOSURE REPORT

Page 3 of 9

Name of Person Reportin g

Cebull , Richard F.

Date of Report

5/10/2011

V . G I F T S . a . d u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[~] N O N E (No repo rtable gifts.)

SOURCE

1.

2.

3.

4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a . a u d e s those of spouse and dependent children; see pp. 32-33 of fillng instruction~)

N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUECODE

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FINANCIAL DISCLOSURE REPORT

Page 4 of 9

Name of Person Reportin g

Cebull, Richard F.

Date of Report

5/10/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i,,co,,,e, v.l.e, tr....ctio.s a,,d.,~s ,ho~ o/~,o~ . , ,, t , t e ~ , e , , ,~ . , , t c / , i n ~ r e , , ; ~ pp. S~,-6o of filing instructions.)

~] N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s

( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" after each asset

e x e m p t f r o m ~ , ~ - r : o r d i s c l o s u re

Income dur ing Gross value a t endr e po rt i n g p e r i o d o f r e p o rt i n g p e ri o d

(t) (2) O) (2)

A m o un t T y pe ( e . g ., Value ValueC o d e I d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

( Q - W )

Transactions during report ing period

(1 ) (2) (3) (4)

Type (e .g . Date Va l ue Gain

buy , se ll, m m/dd /yy C od e 2 Co d e I

redem ptio n) (J-P ) (A -H )

(5 )

Ident i ty of

buyer /se l l e r

(if private

transaction)

1 . R B C B r o k e r a g e A c c t 1 :

2. M T St Dept T rans por t a ti on Rv GRA Nt A Interes t2005

3. M T U n i v R e v s H i g h e r E d F a cs l m p t A Interes t T

So ld 12/ 10 / 10

4. M T F i n A u t h R e v B D s P r o v i d e n c e H l t h a n d BServ ices F 2006 B

5. Fors y th M t P ol lu t ion Ct l Rev Bds 2006 B

Interest

Interes t So ld 12/10/10 K

6. M T St H ea l th Facs Auth RV Si s t e r s o f A Interes tChari ty

7. M T S t B r d H s g S i n g l e F a m i l y M t g S E R A - 2 A Interest

Redeemed 06/07/10 J

Redeemed 06/05/10 J

8. M T S t H i g h e r E d S t u d e n t A s s i s t C o r p - S e r B A Interest J

9. M i a m i D a d e C n t y F l a O b l i g A Interest Sold 12/10/10 J

1 0 . M T F a c F i n A u t h R e v S r L i v i n g S t J o hn s A InterestL uthe ran A

11 . M T S t B r d H s g S i n g l e F a m P r o g B d s 2 0 0 8 A A Interest

1 2 . A l l i a n z N F J D i v V a l u e F u n d s C l a s s C M F A D ivid en d

1 3 . C o l u m b i a F u n d s S e r T r S m a l l C a p V a l u e I I N o n eClass C MF

1 4 . A m e r i ca n F u n d s G r o w t h F u n d o f A m e r i ca A D ivid en dM F

15 . H ar t ford M utua l Funds Ine Cap Ap prec i a . A D i v i d e n dFund CI C MF

16. lntel CorpCS A D i v i d e n d

J

J

J

J

K

J

T R e d e e m e d 12/ 01 / 10 J( p a a )

T So ld 12/ 10 / 10 J( p a a )

T So ld 12/ 10 / 10 J( p a a )

T

T So ld 12/ 10 / 10

(part)

So ld 12/ 10 / 10

.I

J C

17 . K a y n e A n d e r s o n E n e r g y T o t a l R e t u r n F u n d B D i v i d e n dM F

I. Incom e Ga in Co de s: A = $1,000 or less B = $ 1,001 - $2 ,500 C = $2,501 - $5,000

(Se e C olum ns B I and D 4) F = $50,001 - $100,000 G = $100.001 - $1,000,000 HI =$ 1,000,001 - $5,000,000

2. V alue C od es J = $1 5,000 or less K = $15,001 - $ 50.000 L =$50,001 - $ 100,000

(Se e Co lumo sCI a n d D3) N ~$ 250,001 - $500,000 O =$ 50 0.00 1 - $1 ,000, 000 P I = $1 ,0 00,0 01 - $ 5,00 0,00 0

P3 =$25,000,001 - $50,000,000 P 4 =M ore than $50,000,0003 . V alu e Meth od Codes Q = A p p r a i sa l R ~ Cos t ( R eal E s t a l e Only ) S =As s es s ment

( See Colu mn C2) U ~ Book V alu e V ~O thcr W =E s t imated

D =$5,001 - $15,000

H2 =More than $5,000,000

M =$100,001 - $250,000

P2 = $5,000,001 - $25,000,000

T = Ca sh Ma rke t

E =$15,001 - $50,000

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FINANCIAL DISCLOSURE REPORT

Page 5 of 9

N a m e o f P e r s o n R e p o r t i n g

Cebull, Richard F.

Date of Report

5/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

N O N E (No reportable income, assets, or transactions.)

A. B. C. D.

Description o f A ssets In co m e during Gross va lue at end T ransactions during repom ng period(including trust assets) rep orting perio d of repo rting p eriod

(l ) (2 ) (1) (2) (I ) (2) (3) (4) (5 )

Place "(X)" after each asset A m o u n t Type (e.g. , V a lue V alue Type (e.g. , D a t e Value [ Gain Identity of

exempt f rom pr ior d isclosure Code 1 div., rent, Code 2 Method buy, se l l , mm/dd/yy C o d e 2 Code 1 buyer /se l l e r( A - H ) o r i n t . ) (J-P) C od e 3 red em p tio n) ( J - P ) ( A - H ) ( i f p r i v a t e

( Q - W ) transaction)

1 8 . C l e a r b ri d g e E n e r g y M L P F D I n c A D ivid en d J T Bu y 09/18/10 J

1 9 . S t M a r y L a n d & E x p l o r a ti o n C S ( n a m e A D iv id e n d 06 /02 /1 0c h a n g e d t o S M E n e r g y C o )

20 . SM En erg y C o C S A D ivid en d J T

S e e P a r t V I II .

21 . T exas Ins t rument s Ine CS A D ivid en d So ld 12/10/10 J B

22 . I n v e sc o V a n K a m p e n M i d - C a p G r o w t h F d N o n e J T So ld 12/10/10CI C MF (part)

2 3 . T h o rn b u rg I n ve s tm e n t T ru s t I n tl V a lu e Fd A D ivid en d J T S o l d 12/ 10 / 10CL C MF (part )

2 4 . C o un tr yw id e Ca p V 7% G T D Ca p Se c A Interes t S o ld 09/08 /1 0

J

J

J

A

B

25 . I R A # 1 B Int ./Div. M

26 . -AIM Gr th Se r M id Cap Core Eq (Acq u i red

by Inves co , L N 27 )

2 7 . - In v e sc o M id C a p C o r e E q ui ty F d C I C M F

28 . - A l l i a n z N o D i v i d e n d V a l u e F d C I C M F

2 9. - A ll ia n z Fd s S m al l C a p V a lu e Fd C I C M F

30 .

31 .

32 .

33 .

34 .

- A m e r i c a n F u n d G r o w t h F u n d o f A m e r i ca

Inc CI C MF

- ING Groep NV 7 .37 5% P re H ybr id Cap

Se e s PFD

-T hornburg Inves tment Incom e Bui lde r C1 C

M F

-Gene ra l Elec t r ic Capi t a l Corp M ed N T S

Step-Up

-P r ime M oney M arke t Fund RBC Inves torCl a ss (X)

I. I n c o m e G a i n C o d e s : A = $1,000 o r less B =$ 1,001 - $2 ,500 C = $ 2 ,501 - $ 5,000 D =$5,001 - $15,000

(See Columns B I and 134) F =$50.001 - $ 100,000 G ~$ 100,001 - $1,000,000 H 1 =$1,000,001 - $5,000,O00 H2 =More than $5,000,000

2 . V alu e Codes J =$15,000 or less K = $15,001 - $50.000 L = $ 50,001 - $1 00,000 M = $100,001 - $250,000

( See Colu mns CI and D3) N = $250,001 - $500.000 O = $500.001 - $1,000,000 P I = $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 =Appr a i s a l R =Cos t ( R eal E s t a t e Only ) S = A s s e ss m e n t T = Ca sh Ma rke t

( See Colu nm C2) t J = Bo o k Va lue V : O t h e r W =E s t imated

E = $ 15 ,001-$ 50 .000

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FINANCIAL DISCLOSURE REPORT

Page 6 of 9

Name of Person Reportin g

Cebull, Richard F.

Date of Report

5/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)

N O N E (No reportable income, assets, or transactions.)

A. B. C. D.

Description of Assets Income during Gross va lue a t end Transact ions du r ing repor t ing per iod

(including trust assets) rep orting perio d of rep orting period

(l) (2) (1) (2) (l ) (2) (3) (4) (5)

P l a c e " ( X ) " a f t e r e a c h asse t A mo un t T ype (e .g., Va l ue Va l ue T y p e (e.g., D a t e Va l ue Gain I d e n t i ty o f

exempt f rom pr ior d isclosure C o d e l div., rent, Co de 2 M etho d buy, s e ll, m m /dd /yy Code 2 Code 1 buyer /se l l e r( A - H ) o r i n t . ) O-P) Code 3 redempt ion) (J-P ) (A -H ) (if private

( Q - W ) transaction)

IRA #2 E Int./Div. PI T5.

36 .

37 .

38 .

39 .

40 .

41 .

4 2 .

43 .

44 .

45 .

46 .

47 .

48 .

49 .

50 .

-International Bank for Reconstruction and

Development

-Huntington National Bank CD

-Ban k of Amier ica Charlotte, NC CD

Redeemed 03/22/10 M

- C a r d i n a l B a n k M c C l e a n , V A C D

Redeemed 03/11/10 M

-Beal Bank CD

-Wright Express CD

-Bank of China CD

Redeemed 06/18/10 M

Bu y 04/07/10 M

B uy 04/14/10 M

-Invesco Build Am erica Bonds Income Trusl

- A m e r i c a n F u n d s S m a l l c a p W o r l d F u n d C IA MF

- A m e r i c a n F d s A m e r i ca n l n t l G r w & In c AM F

-First Interstate Bancsystem Inc. CS

-W ells Fargo & Co Dep Shs PfS

-American Funds Europacific Gr owth Fund

CI A MF

-Pim co Floating Incom e FD CI C MF

Bu y 07/08/10 M

Bu y 12/13/10 K

Bu y 03/31/10 K

Bu y 03/31/10 L

Bu y 03/31/10 M

Bu y 12/03/ i 0 K

Bu y 03/31/10 L

Bu y 12/02/10 L

-Pim co Total Return Fund CI C MF

51 . -Retiren~ent M oney Market (X)

I. I nc ome G ain Codes :

( See Colu mns B I and D4 )

2. V alu e Codes

(Se e Co lumn s CI a n d D3)

3. V alu e Meth od Codes

(Scc C o l u n m

A =$1.000 or less

F =$50,001 - $100,000

J =$15,000 or less

N =$250.001 - $ 5 0 0 , 0 0 0

P3 :$25,000,001 - $50.000.000

Q ~A p p r a i sa l

U ~ Book V alu e

B =$ 1,001 - $2,500

G =$100,001 - $ 1 ,000,000

K =$15,001 - $ 50,000

O =$500,001 - $ 1,000,000

R ~Cost (Real Estate Only)

V = O the r

C =$2,501 - $5,000

HI =$ 1,000,001 - $5,000,000

L =$ 50,001 - $100,000

P l =$ 1 ,000,001 - $5,000,000

P4 =M ore than $50,000,000

S =As s es s ment

W =E s t imated

D =$5,001 - $15,000

H2 =More than $5,000,000

M =$100,001 - $250,000

P2 = $5,000,001 - $25,000,000

T = Ca sh Ma rke t

E =$15,001 - $50.000

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FINANCIAL DISCLOSURE REPORT

Page 7 of 9

Name of Person Reportin g

Cebull, Richard F.

Date of Report

5/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n e o , . e , v a t u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)

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

52 .

53 .

54 .

55 .

56 .

57 .

58 .

59 .

60 .

61 .

62 .

63 .

64 .

65 .

D e s c r i p t i o n o f A s s e t s Income dunng

( i n c lu d i n g t r u s t a s s e t s ) re p o r t i n g p e r i o d

(1 )

Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure C o d e 1 d i v . , r e n t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

o f r e p o r t i n g p e r i o d

11) (2) (1 ) (2) O) (4) (5)

Value Value Type (e.g., D a t e Value G a i n Identity of

C o d e 2 M e tho d buy, sell, mm/dd/yy C o d e 2 C o d e 1 b u y e r / s e l l e r

( J - P ) C o d e 3 r e d e m pt io n ) (J-P) ( A - H ) (if private

(Q-W) t r a n s a c t i o n )

First Interstate Bank Acct A I n t e r e s t K T

New Yo rk Li fe I n s Po l icy Cash Va lue B Dividend K U

66 .

I . Inc ome G ain Codes : A = $1 ,000 or less B = $1 ,001 - $2 ,500 C = $ 2,501 : $5,000

(See C o l u m n s B I a n d D 4 ) F =$ 50,001 - $ 100,000 G = $ 100,001 - $1,000,000 H 1 =$ 1,0001001 - $5,000,000

2. V alue Co des J = $ 15,000 or le ss K = $ 15.001 - $50.000 L = $50,001 - $ 100,000

( See Colu mns C I and D3) N =$250,001 - $500,000 O =$ 500.001 - $1.000,000 P 1 = $ 1,000,001 - $5,000,000

P3 =$25,000,001 - $ 50.000.000 P4 =More than $50,000,000

3 . V alu e Meth od Codes Q = A p p r a i sa l R =Co s t ( R eal E s t a t e Only ) S =As s es s ment( See Colu mn C2) U =Book V alu e V ~O thcr W =E s t imated

D=$5,001 - $15,000

H 2 =Mor e th an $5 ,0 0 0 ,0 0 0

M= $ 100 ,001- $ 250 ,000

P2 =$ 5,000,001- $25,000,000

T = Ca sh Ma rke t

E = $ 15 ,001- $ 50 ,000

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FINANCIAL DISCLOSURE REPORT

Page 8 of 9

N a m e o f P e r s o n Re p o r t i n g

Cebull, Richard F.

Date o f Report

5/10/2011

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)

Par t VI I . In ves tm en ts an d Trus t s : L in e 1 i s a head er .

Par t VI I . In ves tm en ts an d Trus t s : The Aim in ves tm en t (Lin e 27) was ac q ui red by I n vesc o , so the n ame c han g e d to Lin e 28.

Par t VI I . In ves tm en ts an d Trus t s : Sa in t Mary La n d an d Exp lo ra t io n (Lin e 19) was c han g ed to SM En erg y Co (Lin e20)

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FINANCIAL DISCLOSURE REPORT

Page 9 of 9

Name o f Pe rson Report ing

Cebull, Richard F.

Date o f Report

5/10/2011

IX. CERTIFICATION.

I c e r t if y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s ~ v i t h h e i d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r y

p r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .

I f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i ch h a v e b e e n r e p o r t e d a r e i nc o mp l ian c e wi th the p ro vi s io n s o f 5 U . S . C. ap p . § 501 e t . s eq . , 5 U . S . C. § 7353 , an d Jud ic ia l Co n feren c e reg ula t io n s .

Signature: S/Richard F. Cebull

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S IF IE S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . § 1 04 )

Co m m i tt e e o n F i n a n c i a l D i s c lo s u r eA d m i n i s t ra t i v e O f f i c e o f t h e U n i t e d S t a t e s C o u r t sSu i te 2 -301O n e C o l u m b u s C i r c l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4