james e gritzner financial disclosure report for 2010

8/3/2019 James E Gritzner Financial Disclosure Report for 2010

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AO IORev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0Report Reqtdred by the E thics

in Govermnent Act of 1978(5 U .S.C. app. . ,,~ I01-I11)

I. Person R epor t ing ( las t name, f i r s t , middle ini t i a l )G ri tzne r , J ame s E .

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or pan-t ime)

Act iv e

7. Chamber~ or Off ice AddressU . S. C o u ~ h o u s e123 East Walnut StreetDe s M oine s , Iowa 5 0 3 0 9

2. Court or OrganizationU.S. Dis t r ic t Co ur t S D I A

3. Date of Report05/I 3/701 I

5a. Report Type (check appropriate type)] N o m i n a t i o n , Dat e[] Initial [] Annual [] Finalfib. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

6. Reporting Period01/01/2010

to17/31/2010

R e v i e w in g O f f i c e r D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~L Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m c p o , i , g i n d i v i d a a l o n ~ y ; s o , p ~ . 9 . 1 J o / ~ u , g instruct ions.)--] N O N E (No reportable positions.)

POSITIONI. Trustee2.3.

4.5.

NAME OF ORGANIZATION/ENTITYDakota Wesleyan University

I I . A G R E E M E N T S . ~ R c ~ o . l n g individual only; see pp. 14-16 of filing instruction~)~] (No reportable agreements.)ONE

DATE PARTIES AND TERM S


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

N a m e o f Person Report ingGri tzner , James E.

D a t e o f R e p o r t05/I 3/201 I

I ll . N O N - I N V E S T M E N T I N C O M E . (Repotting individaalandsp .... ; seepp. 17-24 of . f i l ing instruct ion~.)A. Filers Non-Investmen t Income

~] N O N E ( No r e po r t ab l e non - i nv e st m e n t i nc om e . )DATE SOURCE AND TYPE

2.

3.

4.

I N C O M E( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - If you were marr ied dar ing any portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

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

1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmenL(Includes those to spouse and dependent children." see pp. 25 -27 of filing instructions.)

[~] N O N E (No reportable reimburseme nts.)SOURCE DATES LOCATION PURPOSE

2.

3.

4.

5.

ITEMS PAID OR PROVIDED


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Name of Person Report ingG r i t zn e r , J a m e s E .

D a t e o f R e p o r t0 5 / 1 3 / 2 0 1 1

V . G I F T S . a n c l ~ d e s t h o s o , o , p o ~ s e ~ n d d e p e n d e n , children; see pp. 2 8 - 3 1 of:ling instructions.)N O N E (No repo rtable gifts.)

SO UR C E DESC R IPTIO NI.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a,a,de, t h o , e o f s p o u s e ~ , d dependent children; see pp. 32-33 of filing instructions.)~ NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPO RTPage 4 of 10

N a m e o f P e r so n R e p o r t in gGri tzner , James E.

D a t e o f R e p o r t05/13/201 I

V I I . I NV E STM E NT S an d TR USTS - i .... e . ,alue, t ......tions (Includes those of sp ...... d e p e n d e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Description of Assets Income dur ing(including trust assets) reporting period

O) (2)Place "(X)" after each asset A mount T ype (e.g.,

exempt from prior disclosure Code I div., rent,(A-H) o r i n t . )

G r o s s v a lu e a t e n do f r e p o r t i n g p e r i o dO) (2)Value Value

C o d e 2 M e t h o d(J-P ) C o d e 3

( Q - W )

(i )T y p e ( e . g .,

buy , se l l ,r e d e m p t io n )

T r a n s a c t i o n s d u r i n g r e p o r ti n g p e r i o d(2) (3) (4)

D a t e Value G a inm m l dd /y y Co d e2 C o d e 1

( J - P ) ( A - H )Identity of

buyer /sel ler(if private

transaction)

I. Broke rage Acc t . #12. -USB Cash Rese rves Fund A Dividend J T3. -Columb ia Acorn Tr . Fd . A B Dividend K T4. -Euro Pac Growth Fd. CI. F A Dividend J T5. - I s t Eagle Globa l Fd6. -Ivy A sset Strategy7. -Goldman Sachs F l tg Ra te8. -JP Morgan S tr a teg ic lnc Opptys9. -Temple ton Globa l To ta l Re turn

1 0 . IRA #1

A Dividend JA Dividend KA Dividend JA Dividend KA Dividend KD Dividend O

TT Bu yT Bu yT Bu yT Bu yT

01/07/1001/07/1001/07/1001/07/10

JJ

KK

II . -USB L iqu id Asse ts Fd1 2 . -All iance Bernste in Sm/Md Value1 3 . -Am er ican Funds Capi ta l Wor ld Growth &Inc.1 4 . -Am er ican Funds Euro Pac Growth Fd CI F1 5 . -Fidelity New Insights Fd A

1 6 . -Fide li ty Adv Midcap1 7 . - I s t Eagle Globa l Fd

I. Income Gain Code;:( See Col unms B I and D 4 )

2.Value Codes(See Co lumns C I and D3 )

3.Value Method CodesI Scc Col umn C2)

A =$1.000 or lessF =$50.001 - $109.000J $15.0~1 or lessN $250.001 - $500.0~,~P3 $25.000.0~1 - $ 50.000.00~Q -Appra isa lU = Book V alue

B=$1,001 - $2,500G =$10~,001 - $1.0~1,0~0K =$15,0OI - $50,0~0O =$500.001 - $1,00~,0~0R =Cost (Real Estate Only)V =Ol hcr

C =$2.501 - $5,000H I =$ 1,0~0.001 - $5.000.000L -$50,001 - $ 100.000P I =$1,000.001 - $5,000.000P4 -More than $50,000.000S -AssessmentW =E~timated

D =$5.001 - $ 15,000t t2 =More than $5.OOO,0~)M =$ 100.001 - $250,0~0P2 =$5,00~,001 - $25.000.000T =Cash Mar ket

E =$15,0~1- $50,000


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FINANCIAL DISCLOSURE REPORTPage 5 o f 10 Ia m e o f P e r so n R e p o r t i n gGri tzner , James E. D a t e o f R e p or t05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - inco.~e, value, transactions (Includes those of sp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i ll n g i n s t r u c t i o n s . )N O N E (No reportable income, assets, or transactions.)

D e s cr ip tio n o f A s se ts In c o m e d u r in g( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

o) (2)P l a c e " ( X ) " a ft e r e a c h a s s e t A m o u n t T y p e (e.g.,exempt from prior disclosure Code t div . , ren t ,

( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(~) (2)

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

(I )Type (e.g.,buy , se l l ,

r e d e m p t i o n )

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

(2) (3) (4)D a t e Value G a i n

m m / d d / y y C o d e 2 C o d e I( J - P ) ( A - H )

Ident i ty ofbuyer / se l le r

( i f pr ivatet r ansac t ion )

1 8 . - F ra nk l in T e mple ton M ut Se r Fd CI A

1 9 . - F r a n k l in V a l u e I n v s T r

Sol d 08/02/10 J

20 . -MF S Ser Tr Ix Re se arch A Sold I 1/01/10 J2 1 . - B la ck Rock G loba l A ll o cat i on Fd22 . -Fidelity Strategic Inc23. -Loomis Sayles Bond24. -TCW Gali le o T ot a l Ret u rn Bo n d25. Brokerage Acct. #2

26 . -USB B ank Dep Acct27 . -GE Money Bank CD28 . -Compass Bank CD29 . -Goldman Sachs CD

C DividendA DividendA I n t e r e s tB I n t e r e s t

B I n t e r e s t

OJ

TTTTT

30 . -Capi ta l One CD

31 . -Legg Mason Shor t Dura t ion Muni IncomeFd32 . -Legg Mason Inte rmedia te Term Fd

33 . -AIM Real Est Inc FD34 .

B I n t e r e s tA DividendA Dividend

A Dividend

TSoldSold

Bu ySold

03/08110 L C03/08/10 K C

03/12/I0 J08 /24/10 J A

I. Incom e Gain C odes: A =$ 1,000 o r less B = $ 1,001 - $2,500 C = $2,501 - $5,000 D =$5,001 - $15,000I see Col umns B I and D4) F =$50,001 - $ I00.000 G = $100,001 - $1,000,000 HI -SI.000.001 - $ 5.000.000 H2 =More than $5.000,000

2. Value Codcs J -$15,000 or less K = $ 15,001 - $50,000 L -$50,001 - $ 100,000 M =$ 100,001 - $250,000( Se e C olu mn s C I a nd D3 ) N -$ 250 .0 01 - $ 50 0, 00 0 O =$ 50 0,0O I - $1 .000 ,000 P I = $1, 00 0.00 1 - $5 .0 00 ,00 0 P2 =$5,000,001 - $25,000.000

P3 $25,000,001 - $50,000,000 P4 Morethan $50,000.0003. Value M ethod Codes Q = A ppraisal R =Cosl (Real Estate Only) S = Assessmen t T =Cash Mar ketI See Col umn C2) U = Book V alue V O t h e r W = E st ima ted

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage t5 of I0

N a m e o f P er s o n R e p o rH n gGri tzner , James E.

D a t e o f R e p o r t05/13/201 I

NONE (No reportable income, assets, or transactions.)D es cr ip tio n o f A sse ts In c o m e d u r in g

(in c lu d in g tru s t a sse ts ) rep o rtin g pe rio d(I) (2)

Place "(X)" after each asset A m o u n t Type (e.g.,exempt fromprior disclosure Code I div . . ren t ,

( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3( Q - W )

Type (e.g.,buy , se l l ,


Transac t ions dur ing repor t ing per iod

(2) (3) (4)Dat e V a l u e Gai n

mm/dd/yy C o d e 2 C o d e I(J-P ) (A -H )

(5 )I d e n t i t y o fbuyc r / s l l e r( i f p r iva te

t r ansac t ion )

35 .36 .37 .38 .

39 .

- B l a c k r o c k G l o b a l A l l o c a t io n F D

- Bla c k roc k U S Opp ty s

-Columbia Short Term M uni Bond FD

A DividendNone

A Dividend

T Bu y 03/12/I0Bu y : 0 3 1 1 2 1 1 0

Sold 06 /18 /10Bu y 03112/10So ld 04 /22/I 0

JJ

J

J

J

40 .

41 .

42 .

-Franklin Fed Tax Free Inc FD A Dividend BuyBuyS o l d

03/12/10

04/22/10

09/23/I 0

JJ

J

43 . -Goldman Sachs Fl tg Ra te4 4 .

A Dividend BuySold

03112110 J04/22110 J

4 5.4 6 .4 7.4 8 .4 9.

50.

-Ivy Asset Strategy FD A Dividend

-JP Morgan Chase CD-JPMorgan Strategic Inc Opptys FD

A DividendA Dividend

T Bu y 03/12/10Bu y 12/21/10

T Bu y 03/12/10Bu y 03/12/10

So ld 05/25/10(part)Sold 08106110

JJ

J

J

J

J51 . -Legg Mason Weste rn Asse t Muni FD A Dividend K Bu y 03/12/10 J

I. Incom e Gain Codes: A =51.000 or less B -51,001 - $ 2,500 C = $2,501 - $ 5,000 D =$5,001 - $15,000( See Columns B I and 0-4) F :$ 50,001 - $ 100,0~O G :$ 100,001 - $ 1,000,000 H I :$1.0OO.001 - $5.0OO,000 H2 : More than $5,0OO.O00

2. Value Codes J = $15.000 or less K -$15.~01 - $50.000 L =$50,001 - $ 100.000 M =$ 100.001 - $250,000(S Co lumns CI and D3 ) N $250,001-$500.000 O =$ 500,001 . $1,000.000 p I =$ I .CO0,001 - $5,000,000 P2 = $5.000.001 - $25,000.000

P3 =525,000,001 - $50.000.000 P4 =More than $50,000.0003. Value Method Codes Q :Appra isa l R =Cost (Real Estate Only) S = Assessmen t T : C a s h M a r k e t

(.S Column C2) U = Book V alue V = O ther W =Estimated

E = $ I 5 . ( K I I - $ 5 0 . 0 0 0


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N a m e o f P e r s o n R e p o r ti n gGri tzner , James E.

Date of Report05/13/201 I

VII. INVESTM ENTS and TRUSTS - ~ .... e, volut, t ......ions (Includes those of sp ...... d dependent children seepp. 34-60 of filing instructions.)

:52.53 .

54 .55 .56 .57 .58 .59 .60 .61 .62 .63 .64 .65 .

66 .

67 .68 .

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

D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( ,inc lud in g tru s t a s se ts) r ep o rtin g p e r io d

(I) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt fromprior disclosure Code I div . , ren t ,( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(I) (2)

V a l u e V a l u eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

-Merri l l Lynch Pref. A Dividend J

-MFS Emerging Mk ts Bond A Dividend-Morgan Stanley CD A Dividend-Oppenheimer Dev. Mk ts A Dividend-Permanent Portfolio FD A Dividend

J

J

J

J

TTTT

-PIMCO Unconstrained Bond FD A Dividend J

-PIMCO Total Return A Dividend J-TCW Total Return Bon d A Dividend

-Templeton Global Total Return A Dividend J

-Thomburg Inc Bldr . A Dividend

-Tortoise M LP FD A Dividend J

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

(I) (2) (3)Type (e.g., D a t e Value

buy, sell , mrrddd/yy Code 2redemption) ( J - P )

Bu y 04/22/10 JBu y 04/24/10 JBu y 03/12/10 JBu y 08 /02/10 JBu y 03/12/10 JBu y 05/21/10 JBu y 03/12/10 JBu y 10/21/10 JBu y 06/18 /10 JBu y 08 /04 /10 JBu y 09/21/10 JSold 12/17/10 JBu y 03/12/10 JBu y 04/22/10 JBu y 03/12/10 J

Sold 05/14 /10 JBu y 08 /02/10 J

( 4 ) ( 5 )Gain I d e n t i t y o f

C o d e I buye r / se l l e r(A -H ) ( if p r iv a te

t r ansac t ion )

I. Incom e Gain C odes : A = $1,000 o r less B = $1,001 - $2.500 C =$2,501 - $5,0~0 D =$5,001 - $15,000( See Col umns B I and I ) 4 ) F =$50,001 - $100.000 G =$100,001 - $1,000,090 HI =$1,000.001 - $5.0{)0.00~ H2 =More than $5.00~,000

2. Value Codes J = $ 15,000 or le ss K =$15,001 - $50.000 L =$50,001 - $100,000 M =$100.001 - $250.00~( See Col umns CI and D3) N =$250.001 - $50~,000 O =$500,001 - $1,000,000 P I =$ 1. 00 0, 00 1 - $ 5. 00 0, 00 0 P 2 -$ 5, 00 0, 00 1 . $2 5, 00 0. 00 0

P3 =$ 25.000.001 - $50.0{)0,000 P4 =More than $50.0~0.0003. Value Method Codes Q -Apprai>al R = Cos t ( rea l E s tate O n ly ) S -Assessment T : C a s h M a r k e t[See Co lumn C2 ) U = Book V alue V = O ther W = E st ima ted

E =$15,001 -$50,000


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FINANCIAL DISCLOSURE REPORTPage 8 o f I0

N a m e o f P e r s o n R e p o r l in gGri tzner , James E.

D a l e o f R e p o rt05/13/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, t ...... tions (Includes those of sp ......d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l in g i n s t r u c t i o n s . )NONE (No reportable income, assets, or transactions.)

D es cr ip tio n o f A sse ts In c o m e d u r in g(in c lu d in g tru s t a s se ts ) rep o rtin g pe rio d

(I) (2)Place "(X)" after each asset A m o u n t T y p e (e.g.,

exempt fromprior disclosure C o d e I d iv . , ren t ,( A - H ) or in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)V a l u e V a l u e

C o d e 2 M e t h o d( J - P ) C o d e 3

( Q - W )

Type (e.g.,buy , se l l ,


Transac t ions dur ing repor t ing per iod

(2) (3) (4)Dat e V a l u e Gain

m m /d d !y y C od e 2 C od e I(J-P) ( A - H )

(5 )I d e n t i t y o fbuye r / se l l e r

( i f p r i v a t et r a n s a c t i o n )

69. -US Bank CD70.

A Div ide nd Bu y

Sold03/12/1009/03/I 0

J

J

71. - W e l l s F a r g o C D72 .

A Dividend Bu ySold

0 3 1 1 2 1 1 0

04122/I 0

J

J

7 3. W e s t De s M o in es S ta te B an k A I n t e r e s t K

I. Income Gain Codes:( See Col umns B I and I M)

2.Value Codes(See Co lumns CI and D3 )

3.Value Method Codes(See Co lumn C2 }

A =$ 1,000 or lessF =$50.001 - $100.000J =$15,000 or l e s sN -$250.001 - $500.000P3 =$25.000.001 - $50.000,000Q =A ppra i s alU = Book V alue

B=$1,001 - $2,500G -$100.001 - $1,000.000K =$15.001 - $50.000O =$500.001 - $ 1,0~0,000R Co~ I (R ea l E s ta te O n ly )V = O ther

C = $ 2 , 5 0 1 - $ 5 , 0 0 0HI =$ 1,000.O01 - $ 5 .000.0OOL=S50.00l - $100,000P4 More than $50.000.000S = A~,scssmcn tW = E s t i m a t ed

D = $ 5.091 - $15,000H2 = More than $5,000,000M =$ 100,0~1 - $250,000P 2 -$ 5.000,001 - $ 2 5.0(~ .000T C a s h M a r k e t

E =$15,001-


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FINANCIAL DISCLOSURE REPORTPage 9 o f 10

Name of Person Repo rt ingG r i t zn e r , J a m e s E .

D a t e o f R e p o r t05/I 3/201 I

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. ~lndicatepartofrepon.)Par t VII : IRA #2 and IRA #3 on the pr ior repor t were managed acco unts which were l iquida ted in 2009 and the b roker joumaled a l l the proceeds in to IRA #I .


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FINANCIAL DISCLOSURE REPORTPage 10 of I 0

Name of Person ReportingGri tzner , James E.

Date of Report05/13/201 I

IX . CERTIFICATION.1 c e r t i f y t h a t a ll 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 in 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 , i f a n y ) i sa c c u r a t e , t ru 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 w i t h h e l d b e c a u s e i t m e t a p p l i c a b le s t a t u t o ryprov i s ions permi t t ing non-d i sc losure.1 fu r t he r c e r t i f y t ha t e a rne d i nc ome f rom ou t s i de e mp l oyme n t a nd hono ra r i a a nd t he a c c e p t a nc e o f g i f t s w hi c h ha ve be e n r e po r t e d a r e i nc om pl i a nc e w i t h t he p rov i s i ons o f 5 U .S.C. a pp . 5 0 1 e t . se q , 5 U.S.C. 73 5 3 , a nd J ud i c i a l Con fe re nc e r e gu l a t i ons .

Signature: S] James E. Gritzn er

N O T E : A N Y I N D IV I D UA 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 I E S O R F A L 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 EC T T O C I V I LAND C RIMINAL SANCT IONS (5 U.S.C. app. 104)

C om m i t t ee on F inanc ia l D i sc losu reAdminis t ra t ive Off ice of the Uni ted S tates CourtsSuite 2-301O n e C o l u mb u s C i r c l e , N. E .Washington, D.C. 20544

james e gritzner financial disclosure report for 2010

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