susan r nelson financial disclosure report for nelson, susan r

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  • 8/3/2019 Susan R Nelson Financial Disclosure Report for Nelson, Susan R

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    AO 10Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFO R C A LEN D A R Y EA R 2010Report Required by the Ethics

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

    1 . P e r s o n R e p o r t i n g ( l a st n a m e , f ir s t , m i d d l e initial)Nelson, Susan R.

    4. Title (Article !!1 judges i n d i c a t e a c t i v e o r s e n i o r status;magistrate judges indicate full- or part-time)U.S. District Judge, active status

    7. Chambers or Office Address774 UoS. Courthouse316 Noah R0be~ StreetSt . PauI, M N55101

    2. Cour t or OrganizationU.S. District Court Minnesota

    5a. Report Type (check appropriate type)

    ] Nomination, Date[] Initial [] Annual [] Finalfib. [] Amended Report8. O n the bas i s o f the in format i on con ta ined in th i s Report and anym o d i f i c a t io n s p e r t a i n i n g t h e r e t o , i t is , i n m y o p i n i o n , i n c o m p l i a n c e

    w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

    R e v i e w i n g Office r Date

    3. Date of Report05/10/201 i

    6. Reporting Period01/01/2010to12/31/2010

    I M P O R T A N T N O T E S : The instractions accompanying this form mast be followed. 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 . (Reporting individual only; see pp. 9-13 of fi ling instructions.)D NOI~IE(N o reportable positions.)

    I. Director (Advisory Board)2.3.4.5.

    POSITION N A M E O F O R G A N I Z A T I O N /E N T I TYM innesota Wom en Lawyer s

    I I . A G R E E M E N T S . m e , o r t ln g individual only; seepp. 14-16 of filing instructions.)N O N E ( N o reportable agreements.)

    DATE1 . 05 /01 /002.3.

    PARTIES AND TERMSRetirement plan with form er firm , no control.

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    FINANCIAL DISCLOSURE REPORTP ag e 2 o f 6

    N a m e o f P e r so n R e p o r t i n gNel son , Susan R .

    Date of Report05/10/2011

    III. N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 o f : l i n g instructions.)A. Fi ler s Non-Inves tme nt Incom e~] (No reportable income.)O N E non-investment

    DATE SOURCE AND TYPE

    2.

    3.

    4.

    INCOME( y o u r s , n o t s p o u s e s )

    B . S p o u s e s l ~ l o n - I n v e s t m e n t I n c o m e - if you were married during any portion of the reporting year, complete this section.(Dollar a mount not required except for honoraria.)D NO N E ( N o reportable non-investment income.)

    D A T E SO U R C E A N D T YPEI. 2010 Leonard Street and D einard

    2.3.4.

    I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter ta inment .(Includes those to spouse and dependent children; see pp. 25-27 o filling instructions.)

    N O N E ( N o reportable reimbursements.)SOURCE DATES LOCATION

    1 .2.3.4.5.

    PURPOSE ITEMS PAID OR PROVIDE

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    FINANCIAL DISCLOSURE REPORTP a g e 3 o f 6

    N a m e o f P e r s o n R e p o r t in gNelson , Susan R.

    Date o f Repor t05/10/2011

    V . G I F T S . a n c t o d e s those to spouse an d dependent children; see pp. 28-31 of filing instructions.)N O N E (No reportable gifts.)

    SOURCE DESCRIPTION1 .

    2.

    3.

    4.

    5.

    VALUE

    V I . L I A B I L I T I E S . a n c l u d e s t h o s e o l s p o u s e a.d dependent children; see pp. 32-33 of f i llng instruct ions.)~-~ N O N E (No reportable liabilities.)

    CREDITOR DESCRIPTION1 . Chase Credit Card2.3.4.

    5.

    VALUECODEJ

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    F INANCIAL DIS CL O S U RE RE P O RTPage 4 o f 6

    N a m e o f P e r s o n R e p o r t i n gNelson , Susan R.

    Date of Report05/10/2011

    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 c o m e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)l"-] NO[NE (No reportable income, assets, or transactions.)

    A. B. C. D.Description of Assets Incom e during Gross value at end Transactions during reporttng period( i n c l u d i n g trust assets) reporting period of reporting period(1 ) (2) (1) (2) (1 ) (2) (3) (4) (5 )

    P l a c e "(X)" after each asset Amount Type (e.g., V alue V alue Type (e.g., Date Value Gain Identity ofexempt from prior disclosure Co de l div., rent, Code 2 Method buy, sell, m m/dd/yy Code 2 C ode l buyer/seller( A- H) o r i n t . ) (J-P) Code 3 redemption) (J-P) I (A-H) (if private(Q-W) transaction)

    1. UBS IRA. #1- W ells Fargo Diversified B Dividend KCapital Builders Fund2. UBS IRA. #2 - W el l s Fargo Divers i f i ed B Dividend KCapital Builders Fund3. UBS Mone y Mar ke t A I n t e r e s t J

    T

    T

    T

    4. Thor Industr i e s Stock - Com mo n A Dividend J5. Evergreen Equi ty Tr Bal . Fund (now We l l s E Dividend NFargo)6. First Amer i can Tech. Fund (now Nuveen A Dividend JMid-Cap Se l ec tFund)7. UGTM A Acct. #2 -U.S. COUPON B I n t e r e s tTREASURY STRIPS (A)8. U GTMA Acc t . #2 - FIRST AM. PRIME B Dividend KO BLIGS FD A (now A m er i c an )9. Leonard Stree t and De inard 401K G I n t e r e s t PI

    TT

    R edeem edT

    T

    05/15/10

    1 0 . Robins , Ka plan, M i l le r & Cire s i 401K F I n t e r e s t N1 1 . Pr iva te Ban k M innes o ta Check ing Accoun t A I n t e r e s t J1 2 . Pr iva te Ban k M innes o ta Check ing Accoun t A I n t e r e s t J1 3 .

    1 4 .

    1 5 .

    1 6 .

    1 7 .

    1. Incom e Gain C odes: A =$1 ,000 or less B = $1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000( S e e Columns B I a n d D 4 ) F =$50,001 - $I00,000 G =$100,001 - $1,000,000 HI -$1,000,001 - $5 ,000,000 H2 =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( S e e C olum ns C I and D3) N =$250,00I - $ 500,000 O =$ 500.001 - $ 1,000,000 PI =$1,000,001 - $5,000,000 P2 =$ 5,000,001 - $25,000,000

    P3 -$ 25,000,001 - $ 50,000,000 P4 =M ore than $ 50,000,0003. Value Method Codes Q =A ppraisal R =C ost (Real Estate O~ly) S = Assessment T =Cash Marke t(See Column C2) U =Book V alue V =Other W =Estimated

    E =$15,001 - $50,000

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    FINANCIAL DISCLOSURE REPORTP ag e 5 o f 6

    N a m e o f P e r s o n R e p o r t in gNelson , Susan R.

    Date of Report05/10/2011

    VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a.dica,e~,arlo/repor,.)1 . I R A # 1 & # 2 : ( 2 0 1 0& 2 0 1 1 R e p o r t s)Investm ents were consolidated.; fund name changed to Wells Fargo Diversified Cap ital Bu ilders Fund.2. El Paso Energy C orp . Stock: ( l ine 8 of 201 0 report)This stock w as sold a numb er of years ago. I just becam e aware of the fact that it is not any longer in my investment portfolio.3. Evergreen Accounts : Nos. I 1 & 12 (2010 report)Th ese investments were conso lidated and the funds name was changed to Wells Fargo Dive rsified Capital Bu ilders Fund.4 . UGT MA Acc t . #1: ( line 14 of 2010 Rep ort)

    ..~ ~~ no longer a dep endent child.5. UGTM A Acct . #2 : (l ine 15 of 2010 Repor t )This CD was cashed in dur ing 2008 or 2 009.6. UGTM A A cct . #2 ( l ine 16 of 2010 Report)This CD was cashed in dur ing 2008 or 2 009.7. UGT MA Acct . #2 : (l ine 18 of 2010 Repor t )This CD was cashed in before 2010.8. UGT MA Acct . #2 ( l ine 19 of 2010 Rep or t)This CD was cashed in before 2010.9. UGT MA Acct . #2 ( l ine 20 of 2010 Repor t )This CD was cashed in before 2010.10. UGTM A A cct . #2 was 1, who is no longer dependent.r a n s f e r r e d ~ , . . ~ : in 201

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    FINANCIAL DISCLOSURE REPORTPage 6 of 6

    Name of Person ReportingNelson, Susan R.

    Date of Report05/10/201 I

    IX. CERTIFICATION.1 certify that all inform ation given above (including inform ation pertaining to m y spo use and m inor or dep endent children, if any) isaccurate, true, and com plete to the best of m y know ledge and belief , and that any inform ation not reported w as withheld because it m et applicable s tatutoryprov is ions perm itting non-disclosure.I fu r ther ce r t ify tha t ea rned incom e f rom outs id e em ploym ent and honora r ia and the accep tance o f g i f t s which have been rep or ted a re incom pliance with the pro vis ions of 5 U.S.C. app . 501 et. seq. , 5 U .S.C. 7353, and Judicial Co nference regulations .

    Signature : S/Susan R. Nelson

    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 FA L S I F 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 . 104)

    Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301O ne Columbus Circle, N.E.Washington, D.C. 20544

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    Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDA R YEAR 2010Report R equired by the Ethics

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

    1 . P e r s o n Repert ing (las t nam e, fi rs t , middle ini t ial)N e l s o n , Su s m R .

    4. Title (Article I ll judges indicate a ctive or senior s tatus;magistrate judges indicate full- or part-time)U.S. District Judge, active status

    7. Chambers or Off ice Address774 U.S. Courthouse316 North Rober t St reetSt . Paul, MN 55101

    2. Court or Organization~ U.S. District Court Minnesota5a. Report Type (check appropria te type)] Nomination, Date[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is of the information contained in this Rep ort and anymodifications perta ining thereto , i t is , in my opinion, in eom pliancewith ap p l icab le laws an d r eg u la t ion s .

    Reviewin g O f f ice r Date

    3 . D a t e o f R e p o r t07/27/2011

    6. Reporting Period01 / 01 / 201 0to12/31/20 10

    I M P O R T A N T N O T E S : The instructions accompanying this.form must be followetL Complete all parts,checking the NON E box for each part whe re you have no reportable information. Sign on last page.

    I . P O S I T I O N S . ~ R e p o r t i n g individual only; seepp. 9-13 of fi ling instructions.)[~ NONE (No reportable positions.)

    1. Directo r (Advisory Board)2.3.4.

    5.

    POSITION N A M E O F O R G A N I Z A T I O N /E N T I T YM i n n e s o t a W o m e n L a w y e r s

    I I . A G R E E M E N T S . (Reporting individual only; seepp, t4-16 of filing instructions.)N O N E ( N o reportable agreements.)

    1.05/01/002.3.

    D A T E PARTIES AND TERMSRet i rement plan wi th former f i rm, no control.

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    FINANCIAL DISCLOSURE REPORTPage 2 of 6

    Name of Person ReportingNelson , Susan R .

    Date of Report07/27/201 I

    I ll . N O N - I N V E S T M E N T I N C O M E . (Reporting individualandspouse; seepp. 17-24 of filing instructions.)A. Fi lers Non-In vestment Income

    ~] (No reportable non-investment income.)OiNEDATE SOURCE AND TYPE

    2.

    3.4.

    INCOME(yours, not spouses)

    B , S p o u s e s N o n - I n v e s tm e n t I n c o m e - I f you were married during anyportion of the reporting year, com plete this section.(Dollar amount not required except for honoraria.)D NO NE (No reportable non-investment income.)

    D A T E SO U R C E A N D T Y P Ei . 2010 Leonard St ree t and Deinard2.3.4.

    I V . R E I M B U R S E M E N T S - transportation, lodging, food, enter ta inment .(Includes those to spouse and de pendent children; see pp. 2 5-27 o filling instructions,)

    NONE (No reportable reimbursements.)SOURCE DATES LOCATION

    1.2.3.4.

    5.

    PURPOSE ITEMS PAID OR PROVIDE

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    FINANCIAL DISCLOSURE REPORTPage 3 of 6

    Na me o f P e rs o n Re po r t ingNelson, Susan R.

    Date of Report07/27/2011

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

    SOURCE DESCRIPTION1 .2.3.4.5.

    VALUE

    V I . L I A B I L I T I E S . a . c i .d e s t h o s e o / s p o u s e ~ . d ~ e p e . d e n t children; see pp. 32-33 of filing instructions.)~ NO N E (No reportable liabilities.)

    CREDITOR DESCRIPTION1 . C h as e Credi t Card2.3.4.5.

    VALUE CODEJ

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    FINANCIAL DISCLOSURE REPORTPage 4 of 6

    N a m e o f P e r s o n R e p o r t in gNelson, Su san R.

    Date of Report07/27/201 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 .c o m e , v a l .e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No repo rtable income, assets, or transactions.)

    A. B. C. D.Description of Assets In com e durin g Gross va lue a t en d Transactions during reporting period( i n c l u d i n g trust assets) reporting period of reporting period

    (t) (2) (1) (2) (1) (2) (3) (4)Place "(X )" after each assel Amount Type (e.g ., Va lu e V alue Type (e.g., Date Va lu e Gain Identity ofexempt from prior disclosure Code t div., rent, Code 2 Method buy, sel l , mm/dd/yy Code 2 Co de l buyer/seller( A -H ) o r i n t . ) (J-P) Code 3 redempt ion) O-P) (A -H ) (if private

    (Q -W) transaction)

    1. UB S IRA # 1- W ells Fargo Diversified B Dividend KCapital Builders Fund: 2. UB S IRA #2 - W el ls Fargo Divers if ied B Dividend KCapital Builders Fund3. UBS M oney Market A I n t e r e s t J

    TTT

    4. Thor Indu stries Stock - Common A Dividend J5. Evergreen Equity Tr Bal. Fund (now Wells E Dividend NFargo)6. First Araefcan Tech. Fun d (no w Nuveen A Dividend JMid -Cap SelectFund)7. UG TM A Acct . #2 -U.S. COUPON B I n t e r e s tTREASURY ST RIPS (A)8. UGT M A A cc t .#2- FIR ST A M. PR IME B Dividend KOBLIGS FD A (now American)9. Leonard Street and Dein ard 401K G I n t e r e s t P 1

    TT

    R e d e e m e dTT

    05/15/10 K

    1 0 . Robi ns , Ka p l a n , Mi l l e r & Ci re s i 4 01 K F In terest N1 1 . Pr ivate Bank Minn eso ta C heck i ng A ccount A I n t e r e s t J1 2 . P r i v a t e B a n k M i n n e s o t a C h e c k i n g A c c o u n t A In terest J1 3 .

    1 4 .

    1 5 .

    1 6 .

    1 7 .

    I. In com e Ga in C ode s: A =$ 1,000 or Jess B =$ 1,001 - $2,500 C =$ 2,501 - $ 5,000(Se e Co lumn s B 1 a n d D 4 ) F -$50,001 o $ 100,000 G -$ 100 ,001 - $ 1 ,000,000 H 1 =$ 1,000,001 - $5,000,000

    2. Value Codes J =$ 15 ,000 or less K =$15 ,001 - $50,000 L =$50,001 - $ 100,000(See C olum ns C I an d D 3) N =$ 250,001 - $ 500,000 O = $500 ,001 - $ I ,000 ,000 P1 =$ 1,000 ,001 - $ 5 ,000,000

    P3 =$25,000,001 - $50,000~000 P4 =More than $50,000,0003. Va lue Me thod Code s Q =Appraisal R =C os t (Re a l Es t a t e Only ) S =As s e s s me nt(See Column C2) U =Book Value V =Other W =E s t ima te d

    D=$5,001 - $1 5,000H2 =M 0~e tha n $5 ,000 ,000M=$1 00,001 - $250,000P2 =$5,000,001 - $25,000,000T =Cash Marke t

    E =$1 5,001 - $50 ,000

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    FINANCIAL DISCLOSURE REPORTPage 5 of 6

    Name of Person ReportingNelson, Susan R.

    Date of Repor t07/27/2011

    VII I. ADDITIONAL INFORMA TION OR E X PLANATIONS. (lndicate part of report.)1 . IR A # 1 & # 2 :( 2 0 1 0 & 2 0 1 1 R e p o r t s )Investme nts were consol ida ted.; fund name chan ged to Wel ls Fargo Divers i f ied Capi ta l Bui lder s Fund.2. E1 P aso En ergy Corp. S tock : ( l ine 8 of 2010 repor t )This s tock was so ld a num ber o f years ago . I jus t became aw are o f the fac t that i t i s no t any longer in my inves tmen t por t fo lio .3 . Northern States Power XCEL Energy Inc . o common s tock ( l ine 9 o f 2009 report ) was so ld in 2009.Note disclosure under Sect ion D of Par t VII , page 4 , l ine 9 where I disclosed the t r ansact ion but f a i led to include the word "SE LL".4. Evergreen A ccounts : Nos. 11 & 12 (2010 repor t )These inves tm ents were consol ida ted and the funds nam e was change d to Wel ls Fargo Divers i fied Capi ta l Bui lder s Fund.

    UGTMA Acct . #1 : ( l ine 14 o f 2009 Report )~~i,~i.i , i i~ i i~i no longer a dependent~ i~UGTM A A cct . #2 : ( l ine 15 o f 2010 R eport )This CD was cashed in dur ing 2008 o r 2009.

    7. UGTMA Acct . #2 ( l ine 16 o f 2010 Report )This CD was cashed in dur ing 2008 o r 2009.8. UGTM A A cct . #2 : ( l ine 18 o f 2010 Re port )T h i s C D w as c a s h ed i n b e fo re 2 0 1 0 .9. UGTM A A cct . #2 ( l ine 19 o f 2010 Report )T h i s C D w as c a s h ed i n b e fo re 2 0 1 0 .

    1 0 . UGTM A Acct . #2 ( line 20 o f 2010 Report )T h i s C D w as c a s h ed i n b e fo re 2 0 1 0 .1 I . UGTM A A cct . #2 was rans ferred i ;~ , in 201 I , who i s no longer dependent .

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    FINANCIAL DISCLOSURE REPORTPage 6 of 6

    Name of Person ReportingNelson, Susan R.

    Date of Report07/27/2011

    IX. CERTIFICATION.! c e r t i f y th a t a l l i n f o r m a t ion g iv e n a b ov e ( i n c lud in g i n f o r m a t ion p e r t a in in g to m y sp ouse a n d m in or o r d e p e n d e n t c h i ld r e n , i f a n y ) i sa c c ur a t e , t rue , a n d c om p le t e to th e b e s t o f m y k n ow le d g e a n d b e l i e f , a n d th a t a n y i n f o r m a t ion n o t r e p or t e d wa s wi th h e ld b e c a use i t m e t a p p l i c a b l e s t a tu to r yp r ov i s ion s p e r m i t t i n g n on -d i sc losur e .1 f u r t h e r c e rt i fy t h a t e a r n e d i n c o m e f r o m o u t s i d 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 c h h a v e b e e n r e p o r te d a r e i nc om p l i a n c e wi th th e p r ov i s ion s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d Jud ic i a l Con f e r e n c e r e g u la t ion s .

    Signatur e: S/Sus an R. Nel son

    N O T E : A N Y I N D IV 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 LY F A L S I FI E 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 ON S ( 5 U.S .C . a pp . 1 0 4 )

    Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544