susan r bolton financial disclosure report for 2009

8/3/2019 Susan R Bolton Financial Disclosure Report for 2009

1/11

Report Required by the EthicsA O 1 o [ FINANCIAL DISCLOSURE REPORT, ~ e , . . / / 2 0 m ] F O R C A L E N D A R Y E A R 2 0 0 9 ~ : ~ O . S . C . a p p . . ~ . ~ I 0 / - / / / )

I. Prson R~porting (last name. first, middle initial| Z. Court or Organization J . I)at~ of R,porl

Boltoa, Susan R. U.S. District CouO, Arizona 04/16/2010

4. ~ille (A~=le !11 judges indicate zct=vc or senior ~lalus; 5~. Repo~ ~ypt (check ~ppr~priate type) 6. Repo~ngmagistrate judges indlculc full- ot~ Nomination. Date 01101:2~)9US . District Judge- Acme ~ InitiM ~ A .... I ~ Final 12,3 I ~20095b. ~ Amended Repm~

7. Chambers or ()fllc Address 8. On the basis of th e information contained in lhit Report and = nymodificat ions pertaining thereto, i t is , in m) opinion, in c ompliance401 W. Washington St., SPC 50 with applicable Izw~ and regulalinn~.Suite 522Phoenix. AZ ~50()3 Reviewing Officer D=Ir

IMPOR TANI" ~V07"1~S: Th e instructions accotnpanying this forth rnust bejollowed. Complete all parts,checking the IVO:~:E box for each parr where you hare no reportabl" informatinn- Sign on la.vt puge.

I. POSITIONS. t~,..-,.,,.~,~ N ON E (No report~ble positkPOSITION NAME OF ORGANIZATION/ENTITY

I. Secrcta~ Organi~lional Diagnoscs LLC ~ o~ed company)

; : ~5.

[~ NONE (No reportableD A T E PARTIES AND TERMS

I. 1989 Ariztma Elected Officials Retiremcnl Plan (pension plan from prior employment as a statc cou~ judge)


2/11

F I N A N C I A L D I S C L O S U R E R E P O R T rq .. . . fP ..... ~ e p o r , ~ o gPage 2 o f I 1 ~ o ~ , o , ,, s o ~ , R . 0 4 ~ 1 6 t 2 0 1 0

A. Filers Nnn-lnveslmenl IncomeNON E (No reportable non-investment income.)

D A T E SOURCE AND TYPE I N CO M E(yours, nol

I. 2009 Arizona Elecled Off~ci:ds Rc~iremcnl Pl:~n $57,520.00

B . Spouses Non-I n\estmen! Income - try.u, . ,ere murti~d d urin.t, un) putt, , ,n ,~[th," rept.tting yru,.

~ N O N E (No reporlable non-investment income.)D A T E SOURCE AND TYPE

I. 2009 Organizational Diagnostics, L.L.C. - earnings

2

3

4

!

~ NONK tNo reportable reimbursements)

S O I ) R C ~ DAI-E~ L ( ) C A - I I O N t I_IRPOSK ITEMS PAID OR PROVIDEDI

2.3

5


3/11

FINANCIAL DISCLOSURE REPORTI

Page 3 of 1 1 ~ o l ,o n , S u s a n n . 0 4 , 1 6 1 2 0 1 0

~ N O N E ( N o reportable~OURCI DESCRIPTION VAI.UE

I.2.3.

5.

V[] NON E (No reportable li~b~l~ties.)

CRgDITOR DESCIIlPTION VAI..UE CODEI . S o n o m a N a l i o oa l B a n k , C A ~ . 1 o r t g a g e ~ . m o n e - h a l f i n ~ e r e s l i n o f fi c e c o d o m m i u m ( P / . V I I l i n e 1 2 ) K2. Nlerrill Lynch Single Prcmiun~ Life C;~sh vainloan I.3.

,~ .5.


4/11

F I N A N C I A L D I SC L O S U R E R E P O R TPage 4 of 1 1 u o ~ t , , , , . s , , ~ , R . o . ~ , ~ 6 / _ - , 0 1 o

2 l~lerrill L ync h R an~: A h ~ t e r t ~ s ! L T

3. Bank uf A,ncrica. Arizol~:~ ., \ I n t ~ : r ~ : . q K T

4. Mcrnll [.)rich Single Prcmit~rn Nt,~c K TLifc- h~st*rance5 Philzdclphi;~ I.ifc Insurance N o ~ c K T

6 U.S. Savings Bonds N one () T

7. Virtus r3alanced Fund A l)ividc.d K T~. NI1.F Retirement Ph~s-Annuity N m ~ c ~ .l T

9 l~ans~mcrica I,andr~ark Annuity None I. T

1 0 Allianz Franklm-Annuil N t , t ~ c K TI I Nelso. I1 Freeway l_irnited Partnership N ~ m c J ~.V

12. Officecondu-I/2 Im-Phx.AZ !94 60.000:04 I) I~.cnl ~ .1 R30.000)13 ~. lecl l l l l .ynch B : i .~ic Rctirecr~cnt Plan-Pr(~f il I ~ Di, i(Icn,I & N I

Sh,~r ing14 - tJS l~c;~sury Inl laho,~ N,}lcs (3) B u y 10;23/09 L

15 --(ilib:mk (/1) B u y 04i06,i)9 K

16 --Amcric:~n Express Cc.t Ba~k (~D I]uy 0 5 i 1 1 5 / 0 9 J

17 --C.~ pit:d One


5/11

F I N A N C I A L D I SC L O S U R E R E P O R TPage 5 of 1 1

N O N E (;Nro reportable income, assets, or transoctions.)~ ~ C ..... :" ~ , - -D c ~

( including ]tu~l ~ssc ls~ reporting period of rcpo~ng period(I) (2 ) II) 1 2 1 (l)

Place " IX)" a~lc~ c a d ~ a s s e t A m o u n l T y p e ~ g . % a l u c Value T y p e ~ e ~ . . ~ l)~w [ %~/uc ~,~ l &n m ~ o f

- -Cap i~ : d One Ran k

19 - -Banco Pop C I ) R c d c c m c d I I ) . , I 9 . { ~ 0 L20 --Imperial Cap. Bank UI) Rcdccmcd 12,22.,09 L

2 1 . --Discover [ lank CI)

2 2 . --US Treas. ln|lalion N ,~Ic

23. --Western Bank CD

24. --BMW Bank CD

2 5 . Merrill L~nch Basic Retircmcnl Plan-Mone) D Dividend & N TPurchase2 6 . --JP Morgan Cha..e CI) B uy ~ 10.26.09 K27 --Caruliu~ Firs~ Ba.k CI) B uy 05118109 ~ L

2 8 . --Cifib~nk CO B uy 04."06.:09 K

3U -GEMoncy BankCD] 1 --JP Morgan Chase Il:mk CI) Redccmcd 0?:31,09 K32. --Motorola commcm stock

33. --Vodafonc common s~uck

34. --Capital One CD


6/11

F I N A N C I A L D I SC L O S UR E R E P O R T N .... fP ..... Report ing D~lrdRep,Jr|Page 6 of I I ~ o . o . , S u s ~ , , R . 0 7 !

~ N O N E (,Wo reportable income, resets, ortransadions.},~ O ~ ...... ~- ....................... 0 ............ :

Amounl "r)-pc c ~., , Val,e Value Type le g. ~ Dale Value ~ Odin Ida~hly oflace "(X)" filer c:~ch a~scl ~ ("ode I dlv .. zc~. (ode 2 Method bu~. scll. mm!dd ~) Code 2

35 --~lackfock Global

37 --Iulat~cing (orp - ZCIO coupoil bond Redeemed 05.02/09 L

3g. -US Trcasu~ Inllafion Nolo B uy 0 1 d 2 , U 9 J40 --NIL B;mk USA

4 I. -- US Treasu~, zero coupon bends (3)

42 --Pcpdco common stock

4-I. --"? .~aI-M:tn cur~lmon s tock

45 --Oppenheimer Inn)me Tntst mull~al fund

46 -- t_ iS "rrcasuQ, , Infht ion Note

4 7 . --I.J S Tr.a~uq lntlatio. No~c

4 ,~ --D~sco,cr R.ank CD j

49 --Goldman Sachs B3nk CD

50 --Capital One CD

5 I. --Capital Onc Bank CD !


7/11

F I N A N C I A L D I SC L O S U R E R E P O R TPage 7 of I I

N O N E No reportable income, ass~ts, or transactions.)

ft.. ........... . . . . . ~ . . . . . . . . . . . .. . .Pl3cc "~X I" after e+th asscl Amount Type

cxempl fton+ p~it+,t d~sclo++urc ; Ct)de I . div . renl. Code 2 Method : buy. sell+ ramdO ~). C,,dc 2 Code 1 buycr.sellcr

52. I:~de/+ty EtlUJly Inct ,mc F u n d A Dividend J T

54. Fidelity Value mulu:il fund A Dividend K T55 Fidclil> A: ; : ;I Nlan:~k:cr mntu ;d fm~d A D~vtdcnd J T56 Fidcli~" Purtlan mutuM fund A Dividend J T57 . Janus Balanced mutual ftmd A Dividend J T58 . Vanguard Growth Index Fund A Dividend J T59. Vanguzrd 500 Inde~ Fund A Dividend J T60 Vanguard Irimc Cap Fund A Dividcnd J T

61 V+ngtmrd Lilk" Slralcgy Grnwlh Fmltl A Dividend J T6 2 . Vanguard IRA Iscc l:~rl VIII) A :Dividend & ~ T

-.Grnw~h Index Fund

65 Vanguard IRA .~ . l )ividcnd66. --Total S!ock /Xlarkc~ I-lttltl

67 . Gilbert A.Z Public F;tcibty .Nlt.lnl []olld A Interest K T

i68 ~.lerr~llvi l lc IN \lun~ I]~+nd zcn~ c oupun N one K T


8/11

FINANCIAL DISCLOSURE REPORT ~ .... ~ ..... R~porling Da,t oflqepurlPage 8 of 11 ~o,,,.,s ...... u. o v w ; . ~ o ~ o

NONE ~ Vo reportable income, assets, or transactions.)

6 ~ ; IIlinoi~ I)FA zero coupon Muni Rond None L7 0 . Ten acres. Ofoville. CA (1972. SS .OO0) N c , n e J R

71 AH zona Elecled Ol!~cials Reli~cmenl Plan F pension M I7 2 A r iz oa a S la te R cl ir c m cn l S y sl cm None M T73 Keyport Kcyannuily None M F

7 4 . Kcyporl K eyanmdty None L I7 5 . Merrilll_ynd~lRA = ] D D i v i de nd& I N T76 --Bank ofAmcrica CD B uy 1/03/09 K

[ 7 7 --Disc0\cr Hank CD, B uy I0123/09 K7 8 . --US l~casury hlflation Note B ny O 2 ; 0 3 , 0 9 K7 g --N.1LBanktJSA

8 ( --[.IS Treasu~,- zcm c o u p o n bonds ~3): 81 -US "lrcasuQ Inflanon No~c:~ (2 redeemed, Re(loomed 01/21/09 KI c n ~ a l n s J {parl)

8 2 . --Ihmtmgl,~n Nat.:m:,l Bank

8 3 . --Pepsico c o m m o n stock

, 8 4 , --Yum B rands co~ln}Ol~ st ( ink


9/11

F I N A N C I A L D I S C L O S U I U ~ , R E P O R T I N

NONE ()Vo reportable income, osstls, of transactions.)

P l a c e " i x ) " a ft e r c o c h a s s e ~ A m o u n l TY pee x e m p ~ l i ,m ~ p r i o r d is c l o s u r e C o d e I dw. rein. C o d e 2 M et h o d buy sell,~ IA-II} o r

8 6 . --Capital One

8 7 . --Prettier B ank CD Redeemed 04;13i09 K8 8 . --Jl Mc, rgan Chase B ank C I ) Redeemed U 7 , 3 1 : 0 9 : l89 . - -WesLern Bank

9 1 . US. Savings Bonds None K T9 2 . America E x p r e s s Bank CD None Rcdccmcd 0 5 1 2 6 / 0 9 L9 3 . ",Veslem Bank CD None Redeemed 03/03!09 I.94 . US Savings Bonds N one K T

95 ISA Marshall & lisle.,,, BK A Interest J Ti 96 IS.,\ M&T Trusl (.o A I m e r e : ; ~ K r


10/11

FINANCIAL DISCLOSURE REPORT N .... [~ .....Repot , lag D.e tffRepo~tPage 10 of l l u o l t o , , , s . ~ . , , R . o . ~ ~ 6 , ~ . o ~ o

VIII. AI)DITIONAL 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 .

Van gua ld Pr~ f i t Shar i ng P lan p re . i o i ~ . ~ : ly repor ted wag d i s con t i nu ed by Van gua ~ -d an d a . ; se t ; ro ll ed i n lo Vang uard IRA repor l cd on l "a r l V I I , li ne 64


11/11

F I N A N C I A L D I S C L O S UR E REPORT u ....Page 11 oil 1 Boll ....

I X . C E R T I F I C A T I O N .I certify thal all information given abt~vc [including information perlaining Io my spouse and minor or dependenl thildren, if an)) isaceur~le, Irue, and complele Io Ihe beer of m) knowledge and b~lief, and thz! any informa6on nol reporled was wilhheld btaust it met applicable slalulorv

provisions permit6nl~ non-disclosure. " .I furlher cerlil.~ the! earntd inune from outside emplo.vmcn! and honoraria and tile accep!ance of gifts ~hich have bt.tn reporltd are incompliance ~ilb Ihc provisinns of 5 U.S.C. app. 50 c!. $cq., 5 U.S.C. 7353, and Judicial Conference rel~ula6ons.

Sil~na! ur~

NOTE: AN~" INDIVIDUAl %HO N/~()\VINGL~ ANI) \VIL.FI)I.I,V FALSIFIES OR FAILS T() FILE "rills REPORT MA~ BE SI)IIJE(T TO (IVILAND CRIMINAL SANCTIONS [5 U.S.C. app. ~ 104)

FILING INSTRUCTIONSMail signed oJigmal and 3 ad ditional copies to:

Co!nm~llee on Financial DisclosureA dministralivc Office of the United Slale5 CourlsSuile 2-301One Colum bus Circle, N . E .Washingto,~, D.C. 20544

susan r bolton financial disclosure report for 2009

Documents