aoio financial disclosure report report required by …of filing report required by the etl1ics ....

of filing

Report Required by the Etl1ics AOIO FINANCIAL DISCLOSURE REPORT in Government Act (}f 1978 Rev. 112012

FOR CALENDAR YEAR 2011 (5 U.S.C. app. §§ /OJ-111)

I. Person Reporting (last name, first, middle initial)

Jackson, Richard B.

2. Court or Organization

UNITED STATES DISTRICT COURT FOR TllE

DISTRICT OF COLORADO

3. Date of Report

05/06/2012

4. Title (Article Ill judges indicate active or senior status;

magistrate judges indicate full- or part-time)

DISTRICT JUDGE

Sa. Report Type (check appropriate type)

D Nomination Date

D Initial [{] Annual D Final

Sb. D Amended Report

6. Reporting Period

01/01/2011

to

12/31/2011

7. Chambers or Office Address

US Courthouse

901 19th St

Denver CO 80294

IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable i11formatio11. Insert signature 011 last page.

I. P OS I Tl 0 NS. (Reporting individual only; see pp. 9-13 instructions.)

[{] NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I.

2.

3.

4.

5.

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[{] NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

3.

3.

FINANCIAL DISCLOSURE REPORT Name of Person U.eporting Date of Rrport

of15 Jackson, Richard B. 05/06/2012

Ill. N 0 N-INVESTMENT IN CO ME. (Reporting indMdua/ and spouse; see pp. 17-14 offiling instr11£"tiom.)

A. Filer's Non-Investment Income

D NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I. 2011 STATE OF COLORADO $66,063.52

2. 2011 PERA STATE OF COLORADO $21,970.60

4.

B. Spouse's Non-Investment Income - lf yo11 were married during any portion of the reporting year, complete this section.

(Dollar amount not required exceptfor honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

l. 2011 SELF-EMPLOYED TRAVEL AGENT

2.

3.

4.

IV. REJMB URSEMENTS - transportation, lodging,food, entertainment.

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

[2] NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

l.

2.

3.

4.

5.

Name of Person Reporting Date of Heport FINANCIAL DISCLOSURE REPORT


V. GIFTS. (lnc/11des those to spouse and dependent children; see pp. 28-31 nf filing instructions.)

[{] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

[{] NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

I.

VALUE CODE

2.

3.

4.

5.

A.

(2)

of15

Name of Person Reporting Date of lhport FINANCIAL DISCLOSURE REPORT

Jackson, Richard B. 05/06/2012

VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc111des those ofspo11se and dependent children; see PP· 34-60 of filing i11str11ctions.J

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

Description of Assets

B. c. D.

Income during Gross value at end Transactions during reporting period

(including tmst assets) reporting period of reporting period

(I) (2) (I) (2) (I) (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, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

I. IRA#!

2. -VANGUARD VALUE VIPERS B Dividend L T

3. -VANGUARD FTSE ALL WORLD EX US A Dividend K T INDEX

4. -VANGUARD EXTENDED MKT VIPERS A Dividend L T

5. -VANGUARD GROWTH VIPERS A Dividend L T

6. -BNY MELLON MUNICIPAL A Dividend J T OPPORTUNITIES FUND

7. B-NY MELLON NATIONAL B Dividend K T INTERMEDIATE MUNICIPAL BOND

FUND

8. -US TREASURY NOTE l/20I I A Dividend Sold 01/31 K

9. -US TREASURY NOTE DTD 10/2012 A Dividend K T

IO. -US TREASURY NOTE 07/13 A Dividend K T

11. BROKERAGE ACCOUNT# I

12. FED HOME LN MTG CORP B Dividend L T Buy 10/24 L

(add'!)

13. FED HOME LOAN BANKS B Dividend L T

14. US TREASURY NT 11/12 B Interest L T

15. US TREAS INFLATION IND BOND A Interest L T

16. US TREASURY NOTE 6/2016 B Interest L T

I. Income G:1in Cl�.ks: A =$1.000 or less ll =$1.001 -$2.500 c =$2.501 -$5.000 D=$5.00I - $15.000 E =$15.001 - $50.000

(Sec Colmnns U I and 04) f =$50.001 -$ I00.000 G =$100.001-$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J ==$15.000 or kss K =$15.001 -$50.000 L =$50.00I -$ I00.000 M =$ I00.00 I -$250.000

(Sec Columns Cl and DJ) N =$250.!Xll -$500.000 0=$500.001-$1.000.000 Pl =$1.000.001 - $5.000,000 P2 =$5.000.00 I - $25.000.000

Pl •$25.000.!Xll - $50.000.000 1'4 =More than $50.000.000

3. Value Mcthl>d ClXks Q""-Appraisal R =Cost (Hen I Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U Bnok Value V =-Other W =Estimated

(I) (2) (2) (I) (4)

Name of Person Reporting Date of ReportFINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income, l'flt11e, transactions r1nc111des those of spouse and dependent c11i/dren: see PP· 14-60 of filing ins1r11ctions.J


A. B. c. D.

Description of Assets Income during Gross value at end Transactions during reporting period


(I) (2) (3) (5) Ploce "(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, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code) redemption) (J-P) (A-II) (if private

(Q-W) transaction)

17. US TREASURY NOTE 12/16 B Interest L T

18. US TREASURY NOTE 7/17 A Interest L T

19. US TREASURY NOTE 5/10 A Interest

20. GEN ELECT CAP CPR 9/17 A Interest K T

21. WELLS FARGO CO 5.25% 10/12 B Interest K T

22. AETNA INC B Interest Sold 11/02 K

23. PFIZER INC B Interest K T

24. GOLDMAN SACHS GROUP INC B Interest K T

25. AT & T INC B Interest K T

26. ISllARES S&P GSCI COMMODITY A Interest Sold 04/07 K D

INDEXED TRUST

27. AIM STIT TREASURY PORTFOLIO A Interest L T

28. SPDR TRUST SERIES I D Dividend M T

29. ISllARES TR MIDCAP B Dividend L T

30. SPDR DOW JONES INDUSTRIAL D Dividend M T

AVERAGE

31. ISi !ARES MSCI EAFE INDX FUND D Dividend M T Sold 10/26 K

(part)

32. RYDEX MANAGED FUTURES None K T

STRATEGY FD

33. !SHARES RUSSELL 1000 INDEX FUND c Dividend M T

I. lm.:omc Gain Co<lcs: A =S 1.000 or less B 0$t,OOI • $2.500 c =$2,501 • $5,000 D=$5,00l -$15.000 E =$15.001 • $50.000

(Sec Columns UI and D-t) F =$50.001 • $t 00.000 G =$t00.00I • $1.000.000 111 =$1.000,00 I • $5.000.000 112 =More than $5,000.000

2. Val11c Codes J =$15.000 or less K =$15.1)()1 • $50.000 L =$50.001 -$100.000 M =$t00.00I • $250.000

(Sec Columns Cl and 03) N =$250.00t • $500.000 0 = $500.00 \ • $ \ .( )0.000 I'\ =$1.000.00\. $5,000,000 P2 =$5,000.001 -$25,000,000

1'3 =$25.000.001. $50.000.000 P4 =More than $50.000.000

3. Yahl Mi.::thod Codes Q =-Aripraisal R=Cos! (Rcnl lstatc Only) S =Assessment T =Cash Market

(SccC'olumnC2) U '°'Book Value V=01l11.:r W =Estimated

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

FINANCIAL DISCLOSURE REPORT

of15

Name of Person Reporting

Jackson, Richard B.

Date of lhport

05/06/2012

VII. INVESTMENTS and TRUSTS -- income, •·atue, transactions r1nc1udes those of spouse and dependent children: see PP· 34-60 of filing instructions.)


A. B. c. D.


(including trust assets) reporting period of reporting period

(I) (2) (I) (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, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

34. !SHARES TR S & P SMALL CAP 600 A Dividend L T

35. VANGUARD EMERGING MARKETS A Dividend L T Buy 02/13 J ETF (add'l)

36. FED HOME LN MTG CORP B Dividend

37. FED HOME LOAN BANK c Dividend Sold 09/16

38. FED NAT MTG ASSN B Dividend

39. HIGHBRIDGE DYNAMIC COMM A Dividend K T Buy STRAT FUND 3

40. US TREAS NOTE 2.125% 5/31/16 B Interest L T Buy

41. BEAR STEARRNS CO 4.65% 7/2/18 B Dividend K T Buy 11/2 K

42. DREYFUS llIGll YIELD I A Dividend J T Buy 10/24 J

43. 401(k) #I

44. -PIMCO TOTAL RETURN FUND B Dividend Sold 10/31 K

45. -DODGES & COX BALANCED FUND B Dividend Sold 10/31 K

46. -DODGE & COX STOCK FUND B Dividend Sold 10/31 J

47. -FIDELITY CONTRAFUND B Dividend Sold 10/31 J

48. -RAINIER LG CAP GROWTH EQUITY B Dividend Sold 10/31 J

49. -AMERICAN FUNDS EUROPACIFIC GR B Dividend Sold 10/31 J

50. PERAdvantagc Income Fune.I B Dividend K T Buy 10/31 K

I. Income Gain Codes: A =--$1,0()() or kss ll "$1,(JQ I • $2500 c "$2.501 -$5,000 0=$5.001-$15,000 E =$15,001 -$50.000

(Sec Columns n I and tJ.i) f "$50.001 • $100.000 G =$ I00.00 I - S 1.000.000 Ill =$1.000,001 -$5.000.000 1!2 =More than $5,000.000

2. Value Codes J 00$15.000 or kss K =$15.001 -$50.000 L =$50.001 • $100.000 M =$ I00.00 I - $250.000

(Sec Columns Cl and D3) N °$250,!JQI -$5!Xl.(XXl 0 c$51l0.00I. Sl,000,000 Pl =$1,000,001 -$5,000,000 P2 =$5,000.001 -$25,000.000

l'J =$25.000.001 - $50.000.000 P4 :More than $50.000,000

3. Value Method Co<l s 0"'Aprm1isal R +('ost {Real Estate Only) S =Assessment T =Cash Market

{Sec Colnmll C2) U 'Book Value V::..Othcr W =Estimated

(2) (3)

Date of It.port Name of Person ReportingFINANCIAL DISCLOSURE REPORT

of15 05/06/2012Jackson, Richard B.

VII. INVESTMENTS and TRUSTS --income, value, transactions r1nc111des those of spouse and dependent children; see PP· 1-1-60 otfili111: instruc1ions.J


A. 8. c. D.

Descri p tion of Assets Income during Gross value a t end T ransactions during reporting period

(including t rus t assets) repor ting period of reporting period

(I) (I) (2) (I) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Date Value Gain hlcntity of

exem pt fro m p rior disc losure Code I div., ren t, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/sel ler (A-II) o r int.) (J-P) Code3 redemp tion) (J-P) (A-II) (if private

(Q-W) transac tion)

Type (e.g.,

51. PERAdvantage Fixed Income B Dividend K T Buy 10/31 K

52. PERAdvantgage US Large Cap Stk B Dividend J T Buy 10131 J

53. PERAdvantage Intl Stock Fd B Dividend J T Buy 10131 J

54. BROKERAGE ACCOUNT#2

55. CHEVRON CORP B Dividend K T

56. EXXON MOBIL c Dividend L T

57. AIR PRDTS AND CHEMICALS INC A Dividend K T

58. EMERSON ELECTRIC CO A Dividend Sold 08/02 K

59. GENERAL ELECTRIC CO A Dividend K T

60. UNION PAC CORP A Dividend K T

61. UNITED TECHNOLOGIES CORP A Dividend K T

62. WALT DISNEY CO A Dividend J T

63. JOHNSON CTLS INC A Dividend J T

64. STARBUCKS CORP B Dividend M T

65. NESTLE S A SPONSORED ADR REPSTG A Dividend K T REG

66. PEPSICO INC A Dividend K T

67. PROCTER & GAMBLE CO B Dividend K T

I. Income Gain Cnd s: A =$1.000 or kss 13 =$1.001 -$2.500 C =$2.50 I • $5.000 D =$5.001 - $15.000 E =$15.001 - $50.000

(Sec Columns BI and D4) F =$50.001. $100.000 G =$I 00.00 I • $1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Vnlui: Co<lcs J =$15.000 or less K =$15.001 • $50.000 L =$50.001 -$100.000 M =$100.00I -$250.000

(Sec Columns Cl and U3) N =$250.00 I - $500.000 0 =S500.00 I - $1.000.000 Pl =$1.000.001 - $5.000.000 P2 =$5.000.001 • $25.000.000

PJ =$25.000.001 -$50.000.000 P4 More than $50.000.000

3. Value Method Co<ks Q =Apprnisal R :-Cost (Real Estate Only) S =Assessment T =Cash Market

(Sci! Co\\lmn C2} U ::-:Uook Value V =Othcr W =Estimated

(I) {I) (2) (I) (2)

(J-P)

Name of Person Reporting Date of neport FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -inmme, l'Ut11e, transactions r1nc111des those of.<prmse and dependent children; see PP· 34-60 of filing instructions.)


A. B. c. D.



(2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

Code Iexempt from prior disclosure div., rent, Code 2 Method buy, sell, 111111/dd/yy Code 2 Code I buyer/seller (A-H) or int.) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

68. ABBOTT L ABO RATORIES A Dividend Sold 12/14 J A

69. JOHNSON & JOHNSON B Dividend K T

70. PFIZER INC A Dividend J T

71. AON CORP A Dividend J T Buy 11/15 J

72. BB ANDT CORP A Dividend J T Buy 06/24 J

73. INVESCO LTD A Dividend J T

74. ACE LTD A Dividend Sold 02/03 K D

75. JP MORGAN CHASE & CO A Dividend J T

76. MORGAN STANLEY A Dividend Sold 06/24 J

77. ST ATE STREET CORP A Dividend J T

78. US BANCORP A Dividend J T

79. WELLS FARGO AND CO A Dividend J T

80. ACCENTURE PLC A Dividend J T

81. APPLE INC None K T

82. CISCO SYSTEMS INC A None Sold 02/24 J A

83. GOOGLE INC None J T

84. HEWLETT PACKARD CO A Dividend Sold 04/29 J B

I. Income Gain Codes: A =$1,000 or less u =$1.001 -$2.500 c =$2.501 • $5,000 0=$5.001 • $t5.000 E 415.001 • $50.000

(Sec Columns B 1 and 04) F =$50.001 -$100.000 G =$100.001 • $1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J =$15.000 or less K =$15.001 • $50.000 L =$50.001 • $100.000 M =$ I 00.00 I -$250.000

(Sec Columns Cl and 03) N =$250.00 I • $500.000 0 =$500.IJOI • $ l.000.000 l'I =$1.000.001 -$5.000.000 1'2 =$5.000.001 • $25,000.000

P3 =$25.000.00 I • $50.000.0IJO 1'4 =More thnn $50.000.000

3. Value Method Codes Q =Apprnisnl H =-Cost (Heal Estate Only) S =Assessment T =Cash Market

(Sec Col\lmn C2) U =llnok Value V:.Qthcr \V =Estimated

(I) (2) (4)

Name of Person Reporting Date of ltcport FINANCIAL DISCLOSURE REPORT


Vil. INVESTMENTS and TRUSTS -- i11m111e, •·a111e, tramactio11s r1nc111des those of spouse and dependent children; see PP· 34-60 offili11g instrurtions.J


A. B. c. D.



(I) (2) (I) (2) (3) (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, Code 2 Method buy, sell. mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code3 redemption) (J-P) (A-11) (if private

(Q-W) transaction)

85. INTEL CORP A Dividend J T Sold

(part)

86. FLORHAM PARK NJ 8% 2/16 B Dividend L T Buy

87. MICROSOFT CORP A Dividend Sold

88. SALESFORCE.COM INC None J T

89. SEMPRA ENERGY A Dividend J T

90. WATSON PHARMACEUTICALS INC Dividend J T

91. ZIMMER HOLDINGS INC A Dividend J T

92. !SHARES MSC! EAFE INDEX FD c Dividend M T

93. !SHARES MSC! EMERGING MARKETS A Dividend K T

FD

94. VANGUARD EXTENDED MARKET A Dividend L T VIPERS INDEX FUND

95. DENVER CO CITY & CTY SCHOOL B Interest Sold

DSTRICT

96. CASTLE PINES NORTH MET DIST CO c Interest L T

97. THORNTON CO DTD B Interest L T

98. RANGELY CO SCH DIST RE 4 13 Interest L T

99. SNOWMASS VIG CO B Interest L T

100. UNIV COLOR ENTERPRISE SYS REV B Interest Sold

IOI. METROPOLITAN TRANSN AUTH NY B Interest L T

12/27

I 1/02

05/13

12/01

06101

J

L

J

L

L

D

c

A

I. Income Gain Codes: A =$1.000 or kss II =$1.00t -$2.500 c =$2.50t - $5,000 0=$5.001-$15,000 E=$15.001-$50.000

(Sec Columns U I and lH) F =$50.001- $100.000 G =$100.001 -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Valui.: Codes J =S 15.000 or less K · $15.1101 -$50.000 L =$50.001 -$ I00.000 M =$!00.001 -$250.000

(Sec Columns Cl and ()3) N =$250.001 - $500.000 0 c$500.00I - $1.000.000 Pl =$1.000.001 -$5,000,000 1'2 =$5,000,001 - $25,000.000

1'3 =$25.000.001 - $50.000.000 P4 =More than $50.000,000

3. Value Method Codes Q ""Ariprnisal R - Cosl (Real btatc Only) S "'Assessment T =Cash Market

(Sc...: C\)\\\mn C2) \J -nook Va\uc V '--Other W ==Estimated

(2) (2) (1) (5)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page IO of 15 Jackson, Richard B. 05/06/2012

VII. INVESTMENTS and TRUSTS - income, m111e, transactions r1nct11des those of spouse and depe11de111 children; see PP· 34-60 offilinc ins1r11ctions.J


A. B. c. D.

Descrlplion of Assets Income during Gross value al end Transactions during reporting period


(I) (1) (2) (3) (4) Plac e "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/sellerCode 1

(A-H) or int.) (J-P) Code) redemption) (J-P) (A-II) (if private

(Q-W) transaction)

102. METRO W AST EWTR REC LAM DSTR B Interest L T co

103. EL PASO CT Y CO REV B Interest L T

104. BNY MELLON MUNICIPAL B Dividend K T OPPORTUN!TIES

105. BNY MELLON NATL MUNI MONEY Dividend M T MKTFUND

106. TEXAS INSTRUMENTS A Dividend J T Buy 12/27 J

107. QUALCOMM A Dividend J T Buy 12/27 J

108. TUALAT!N IIILL OR6.21 B Dividend L T Buy 09113 L

109. DOVER CORP A Dividend K T Buy 08/02 K

110. 113M CORP A Dividend J T Buy 07/11 J

I I I. PROVO UTAll 4% 1120 B Dividend L T Buy 04/20 L

112. EMC CORP MASS Dividend J T Buy 04/29 J

I 13. BEACHWOOD OlllL 12/19 B Dividend L T Buy 12/01 L

114. BAXTER INTL INC A Dividend J T Buy 12/14 J

115. VERIZON COMMUNCATIONS A Dividend J T Buy 02/03 J

116. IRA 112

117. -DREYFUS PR LRG CAP EQ FD A Dividend L T

118. -VANGUARD FT SE ALL WORLD EX US A Dividend K T Sold 08/16 K c INDEX FD (part)

I. Income Cinin Cod..:s: A "'$1.000 or less ll =$1,001 -$2,500 c =$2.501 -$5,000 D =$5,001 - $15,000 E =$15,001 -$50,000

(Sec Columns BI nnd D-1) F = $50.00 I -$I 00.000 G =$100.001 -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J '""S 1.5.(XX) or less K =$15.001 -$50,000 L=$50.001- St00.000 M =St00.001 -$250.000

(Sc-c Columns Cl aml DJ) N "$250.001 -$500.000 0 "$500,001 -$1.000.000 Pl =$1.000.001 -$5,000,000 P2 =$5.000.00 I - $25.000.000

PJ "i2rnoo.001 - sso.000.000 P4 =More than $50.000.000

3. Value Method Codes 0 "'-Appraisal R Cost (Rc:::il Eslatc Only) S =Assessment T =Cash Market

(Sec Column C2) U ·· Uuok Value V'"-OthL'r W =Estlrrmtcd

(2) (3) (4)

Name of Person H.eporting Date of ReportFINANCIAL DISCLOSURE REPORT

Pagellofl5 Jackson, Richard 8. 05/06/2012

VII. INVESTMENTS and TRUSTS -- instructions.)income, l'Otue, transactions r1nc1udes those of spouse and dependent children; see pp. 34-60 of filing


A. B. c. D.



(I) (2) (I) (2) (I) (5) Place "(X)" afler each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

119. -VANGUARD EXTEND MKT VIPERS A Dividend Sold 11/05 J B INDEX FD

120. -BNY MELLON INTERM B OND FUND B Dividend K T Buy 04/13 J CLASS M (add'I)

121. -DREYFUS PREMIER LTD TERM HIGH A Dividend J T YIELD FD

122. -AIM STIT TREASURY PORTFOLIO A Interest J T

123. BNY MELLON SMALL MID CAP FUND A Dividend J T Buy 09/27 J

124. DREYFUL DIVERSIFIED A Dividend K T Buy 08/12 K INTERNATTIONAL FUND

125. BROKERAGE ACCOUNT #3

126. DREYFUS LARGE FUND GROWTH A Dividend K T FUND CLASS I

127. BROKERAGE ACCOUNT #4

128. AMERICAN STRATEGIC INCOME B Dividend K T PORTFOLIO

129. CIT GROUP INC NEW None J T

130. GABELLI DI VIDEND & INCOME A Dividend J T TRUST

131. AIM INV INVESCO VAN KAMPEN B Dividend K T CORP BOND FD.

132. AIM INV INVESTCO VAN KAMPEN A Dividend K T lllGll YD FD CLASS A

133. WELLS FARGO WEALTH BUILDER A Dividend K T Buy 01/01 K MODERATE BALANCE FD

134. CIT GROUP INC NEW NOTE 5113 A Dividend Sold 06/28 J

135. CIT GROUP INC NEW 5/14 A Dividend J T

I. Income Gam Codes: A=$1.000 or less 1!=$1,001-$2.500 c =$2,501 -$5,000 D =$5,001 -$15,000 E =$15.001 -$50.000

(Sec Columns Bl and D-i) F =$50.001 -$100,000 G =$100.00 I • S1.000.000 Ill =$1.000.001-$5.000.000 It2 =More than $5.000.000

2. Value Codes J =$15.000 or less K =$15.001. $50.000 L =$50.001 • $100.000 M =$100.001 -$250.000

(Sec Columns Cl ;ind 03) N -$250.00 I • $500.000 0 =$500.001 • $1,000.000 Pl =$1,000.001 - $5,000,000 P2 =$5,000,001 -$25,000.000

1'3 =$25.000.001 -$50.000,000 P4 =More than $50.000,000

3. Value Method Codes Q =Appraisal R "'-Cos! (Real Lstatc Only) S =Assessment T =Cash Market

(Sec Colunm C2) U "Book Value V =Other W =Estimated

c.

(2) (3)

FINANCIAL DISCLOSURE REPORT

of15

Name of Person Reporting

Jackson, Richard B.

Date of Report

05/06/2012

VI I. INVESTMENTS and TRUSTS -- income, l'Ollle, transactions r1nc111des those of spouse and dependent children; see PP· 34-60 oJ fili111: instructions.)


A. B. D.



(I) (I) (2) (I) (2) (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, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)




139. GENERAL ELEC CAPITAL CORP MID A Dividend J T TERM NOTE

140. WELLS FARGO BANK (VARIOUS A Interest K T ACCOUNTS)

141. TRUST#I

142. -SPDR TRUST SERIES I A Dividend K T

143. -SPDR DOW JONES INDUSTRIAL A VER A Dividend K T TRUST

144. -!SHARES MSC! EAFE INDEX FD A Dividend J T

145. -I-SHARES MSC! EMERGING MKTS FD A Dividend J T

146. -VANGUARD EXTENDED MKT VIPERS A Dividend K T INDXFD

147. -BNY MELLON NA TL INTER MUN BD A Dividend L T FUND

148. -BNY MELLON NATL MUNI MONEY A Dividend J T MKT FD

149. -US TREASURY BILL A Interest Sold 03/IO J

150. BNY MELLON NAT SIT MIN BD FUND A Dividend J T Buy 06109 J

151. TRUST#2

152. -SPDR TRUST SERIES I B Dividend L T

I. Income Gain Codes: A =o$ I .0(X) or kss ll =$1,001 - $2.500 c =$2.501 - $5,000 D =$5,001 - $15,000 E 415,001 -$50.0<Xl

(Sec Columns BI and D4) F =$50.001 - $100.000 G =$100.001-$1.000.000 IJI =$1,000,001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J =.$15.000 or less K =$15.001 -$50.000 L 450.001 - $100.000 M =$100.001 -$250.000

(Sec Columns Cl and DJ) N =$250.llOI - $51!0.0<lO 0 =$500,00 I - $1,000,000 Pl =$1,000.001 - $5,000,000 P2 =$5,0<I0.001 -$25,000.000

l'J =$25.000.001 - $50.000,000 P4 =More than $50,000,000

3. Ynluc Method Codes Q "Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sc..:: Column C2) U ""\\nok Value V"'-Olhcr W =Estimated

c.

(2) (5)

Date of It.port Name of Person Reporting FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income, l'allle, transactions (Includes those of spouse and dependent children; see PP· 34-60 of filing i11.<tr11ctions.)


A. B. D.



(I) (2) (I) (I) (2) (3) (4) 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, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-11) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private

(Q-W) transaction)

153. -SPDR DOW JONES INDUSTRIAL AV B Dividend L T TRUST

154. -ISHARES MSCI EAFE INDX FD A Dividend K T

155. -ISGARES MSCI EMERGING MKTS A Dividend J T INDXFD

156. -VANGUARD EXTENDED MTK VIPERS A Dividend K T

157. -COLO ST BD GOVERNORS UNIV ENT B Interest L T

158. -BOULDER CNT CO SALES TAX B Interest Sold 12/15 K

159. -BNY MELLON INT MUN BD FD c Dividend L T

160. -US TREASURY NOTE 3/11 A Interest Sold 03/31 K

161. -US TREASURY NOTE 7/12 A Interest K T

162. -BNY MELLONNATL MUNI MONEY A Dividend K T Buy 06119 K MKTFD

163. BNYMELLON NATIONAL SHORT A Dividend K T TERM MUN FUND

I. Income Gnin Codes: A =Sl.000 or less ll =$1,001 -$2.500 c =$2.501 -$5.000 D =$5.001 - $15.000 E =$15.00 I - $50.000

(Sec Columns lll and 04) F =$50.001 - $100.000 G =SI00.001 - $1.000.000 Ill =$t.000.001 - $5.000.000 112 =More than $5.000.000

2. Value Cot.Jes J =$15.000 or kss K =$15.001 -$50.000 L =$50.00t - $100.000 M =$I 00.00 I -$250.000

(Sec Columns Cl and D3) N =$250.001 - $500.000 0 =$500.00 I - $1.000.000 Pl =$1.000.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

1'3 =$25.000.00 I -$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

{Sc..: \\,hmm C2) U =-Hook Value V:oOth1.."1" W =Estimated

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT


VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicateparlofreport.)

For line 32 this asset was purhcased since the nomination report and before reporting period

For line 88 this asset was purchased since the nomination report and before reporting period

For line 90 this asset was purchased since the nomination report and before reporting period

Name of Person Reporting Date of lkport FINANCIAL DISCLOSURE REPORT

of15 Jackson, Richard B. 05/0612012

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 arc in

compliance with the provisions of 5 U.S.C. app. § 501 ct. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature: s/ Richard B. Jackson

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE TllIS 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

aoio financial disclosure report report required by …of filing report required by the etl1ics ....

Documents