terrence l obrien financial disclosure report for 2010

8/3/2019 Terrence L OBrien Financial Disclosure Report for 2010

1/8

AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10Report R equired by the Ethics

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

1. Person Reporting ( last name, f irst , middle initia l)OBrien , Terrence L.

4. Tit le (Article I l l judges in dicate active or sen ior s ta tus ;magis t rate judges ind icate fu l l- or par t - t ime)U.S. Ci rcu i t Judge - Ac t i ve

7 . Ch a mb e rs o r Off ice A ddre s sU.S. Cour t of A ppea ls , Te nth Circu i t2120 CareyAve . , Suit e 200C h e y e n n e , W Y 8 2 0 0 1

2. Cour t or Organiza t ionTenth Ci rcui t

5a . Report Type (check appropria te type)

] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. O n t he ba s i s o f t he i n fo rm a t i o n c o n t a i n e d I n t h i s Re p o r t a n d a n ymod if ica t ions perta in ing there to , i t i s , in my opin ion , in o m p l i a n c ewith appl ic ab le l aws and r egu la t ions .

R e vie w ing Off ice r Date

3. Date of Repor t05/14/2011

6. R e por t ing Pe r iod01/01/2010to12/31/2010

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 where you hav e no reportable informatiot~ Sign on last page.

I . P O S I T I O N S . (Repo rting individual only; see pp. 9.13 o f filing instructions.)N O N E (No reportable positions.)

POSITION1 .2.

3.

4.5.

N A M E O F O R G A N IZ A T IO N / E N T I TY

I I . A G R E E M E N T S . ( R c p o . i . g individual only; seepp. 14-16 of filing instructions.)~] N O N E (No reportable agreements.)

D A T E PARTIES AND TERMS


2/8

FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f Pe rs on R e por t ingOBrien, Terrence L.

Da te o f R e por t05/14/2011

III. N O N - I N V E S T M E N T I N C O M E . ( R c p o . l . g individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investment Incom e

~ (No reportable non-investment income.)ONEDATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

I . 2010 Sta te o f W y o m in g - Jud icia l R e tire m e n t $5 0 ,78 6 .202.3.4.

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 - If you were m arried during anyportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E ( N o 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, Iodglng, food, entertalnmen~(Includes those to spouse and dependent children; see pp. 2 5-27 of filing instructions.)

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

1 .2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


3/8


Name of Person ReportingOBrlen, Terrence L.

Date of Report05/14/2011

V . G I F T S . a n a u a e s t h o s e t o s p o u s e o n d d e p e n d e n t children; s e e p p . 2 8 - 3 1 of f! l ing instruct ions.)D N O N E (No reportable gifts.)

2.3.4.5.6.7.8.9.

SOURCE D E S C R I P T I O N

W o o d e n C h e s t A p r i l B ri mm e r K u n zA i r F a r e C he ye n n e V a n c o v e r C he ye n n e Ma r i a n Ro c he l l eAlaska Tours A p r i l B r i mme r K u n zA la sk a Cru ise M a ria n R o che lleMetz- Lewis & Clark BookT ho m a s B r o n z e ( I /2 i n t e r e s t )Misc Gif tsChris tmas & Bir thday Gif is~

Ma r i a n Ro c he l l eMa r i a n Ro c he l l eA p r i l B r i mme r K u n z

VALUE

$350.00$560.00$985 .00

$5 ,000.00$2,450.00$3,227.50$900.00$600.00

V I . L I A B I L I T I E S . ( I nc l u d es tho se o f sp o u se a nd d e p end ent children; seepp. 32-33 of f i l ing in s truct ions .)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.2.3.4.5.

V A L U E C O D E


4/8

FINANCIAL DISCLOSURE REPOR TPage 4 of 8

Name of Person ReportingOBrien, Terrence L.


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; seepp. 34-60 of fillng instructions.)D NONE (N o reportable income, assets, or transactions.)A. B. C.

D escrip tion of Assets Incom e dur ing Gross va lue a t end(including t rust asse ts) repor t ing per iod of repor t ing per iod

(l ) ( 2 ) (1) (2)Place " (X )" after each asset Am ount Type (e.g., Va lue Va lue

exempt f rom pr ior di sc losure Co d e l div., rent, Code 2 Method( A - H ) o r i n t . ) (J-P) Code 3

1 . IRA# 1 Wy D efer Compt Ar t isan Mid Cap A D i v i d e n dARTMX2. IRA # 1 Wy Ret i re Acc t Dreyfus Money A D i v i d e n dMarke t Reserves3. I R A # 1 W Y D e f e r Co m p D o d g e & C o x I n t l A D i v i d e n dStock Fund4. I RA # 1 W Y D e f e r C o mp P e r k i n s Mi d C a p A D i v i d e n dV a l u e F u n d5. 1RA # 1 W Y D e f e r C o mp B l a c k Ro c k Ru s s e l l A D i v i d e n d1000 Growth Index T6. I RA # 2 B A ( T D A m e r i tr a d e - I RA ) A D i v i d e n d7. I R A # 2 C L X ( T D A - I R A ) A D i v i d e n d8. I R A # 2 C V X ( T D A - IR A ) A D i v i d e n d9. I R A # 2 D R Y S ( T D A _ IR A ) A D i v i d e n d

1 0 . I R A # 2 G R ( T D - I R A A ) A D i v i d e n d1 1 . I RA # 2 C a s h E qu i v a le n t A c c o u n t ( T D A - A Inte res tI R A )1 2 . B K H ( T D A m e r i t ra d e ) A D i v i d e n d1 3 . B A ( T D A ) A D i v i d e n d1 4 . CAT (TDA) A D i v i d e n d1 5 . G L W ( T D A ) A D i v i d e n d1 6 . D D ( T D A ) A D i v i d e n d1 7 . FCX (~fDA) A D i v i d e n d

L T

Transac t ions dur ing rep or t ing per iod

(4 )Gain

Code 1(A-H)

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

buy, se l l , m m /d d/yy Co de 2redempt ion) (J-P)

S o l d 12/27/10 K CSold 12/27/10 J ASold 12/27/I 0 K ASold 12/27/10 K DSold 12/27/10 K BSold 12/09/10 K DSold 12/09/10 J ASold 12/09/10 J CSold 12/09/10 J ASold 12/09/10 J B

Sold 12/09/10 J CS o l d 12/09/10 K DSold 12/09/10 K DSold 12/09/10 K DSold 12/09/10 K DSold 12/09/10 L E

(5 )Identity ofbuyer/seller(if privatetransaction)

P r o c e e d s t o L i n e 3 3P r o c e e d s t o l i n e 3 3P r o c e e d s t o l i n e 3 3P r o c e e d s t o l i n e 3 3P r o c e e d s t o L i n e 3 3

C o n v e r te d t o R o t h I RA

1. Incom e Gai n Codes : A = $1,000 o r le ss B = $1,001 - $2,500 C = $2,501 - $5 ,000 D =$5,001 - $15 ,000(See Colum n s B 1 an d D 4) F = $ 5 0,001 - $100.000 G = $100,001 - $1,000,000 H 1 =$ 1,000,001 - $ 5,000,000 H2 = M ore t han $5 , 000, 0002. V a lue Co d e s J = $15,000 o r le ss K = $15 ,001 - $50,000 L = $5 0,001 - $100,000 M = $ 100,001 - $250,000( Se e Colu mns C I a nd D3) N =$250,001 - $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 =More than $50,000,0003. Va lu e Me thod Code s Q = Appra i sa l R =Cos t ( Re a l E s t a t e Only ) S =As s e s s me nt T = C a s h M a r k e t( Se e Colu mn C2) L I = B ook V al ue V =Other W =Es l ima tcd

E =$15,001- $50 ,000


5/8



Date of Report05/14/201 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, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D NO]qE(No reportable incom e, assets, or transactions.)A. B. C.

D e s c r i p t io n o f A s s e t s Income during G r o s s v a l u e a t e n d( in clu d in g t ru s t a s s e ts ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d

O) (2) (0 (2) (1)Place "(X)" after each assel A m o u n t Type (e.g., V a l u e Value Type (e.g.,exempt from prior disclosure C o d e 1 d iv .. r e n t , Co d e 2 M e t h o d b u y , s e l l ,

T r a n sa 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 Gain

mm/dd/yy C o d e 2 C o d e 1( A - H ) o r i n t . ) (J-P) C o d e 3 r e d e m p t i o n )( Q - W ) (J-P) ( A - H )

1 8 . IBM (IDA) A D iv id e n d So ld 12/09/10! K E1 9 . JNJ (TDA) A D iv id e n d So ld 12/09/10 K B20. K M B (TD A) A D i v i d e n d Sold 12/09/10 J A21 . P E P ( I D A ) A D iv id e n d So ld 12/09/10 J A22 . R T P ( T D A ) A D i v i d e n d Sold 12/09/10 K E23. JA VA (TD A) A D iv id e n d So ld 01/28 /10 J A24 . T R A ( ID A ) A D iv id e n d So ld 04/26 /10 K D25. TR N (TD A) A D iv id e n d So ld 12/09/10 K C26. UN P (ID A) A D i v i d e n d Sold 12/09/10 K D27 . V L O ( T D A ) A D i v i d e n d Sold 12/09/10 K B28 . CF (TDA) A D i v i d e n d B uy 04/16/10 J29 . CF (TDA) A D i v i d e n d Sold 12/09/10 J A30 . P T H A X ( T D A ) A Inte res t J T31 . A T C H X ( T D A ) A Inte res t J T32 . Cash Equivalen t Account (TDA) A Inte res t N T33 . R o th I R A F id e l ity I n v e s tm e n t s A lnt ./Div. M T B uy 01/03/11 M34 . B RK B ( F i d e li t y I n v e s t me n t s ) A D i v i d e n d Sold 12/09/10 K A

Identity ofbuyer/se l ler

(if privatet ransac t ion)

w a s P A S

w a s V K M H X

Was CMFUZ

I . Income G a in Code s : A = $1, 000 or l ess B =$1,001 - $2,500 C =$2,501 - $5,000( Se e Columns B I a nd D 4 ) F =$50,001 o $100,000 G =$ 100,001 - $ 1,000,000 H I =$1,000,001 - $5,000,000

2. V alue Co de s J = $15 ,000 o r l ess K = $15,001 - $50,000 L = $50,001 - $ 100,000( Se e Colu mns C I a nd D3) N =$250,001 - $5 00,000 O = $500,001 - $ 1,000,000 P 1 =$ 1,000,001 - $5,000,000

P3 =$25,000,001 - $50,000,000 P4 -More than $50,000,0003 . V al ue Met hod Codes Q = Appra i sa l R = Cost (Rea l Es t a t e O nl y) S =As s e s s me nt( Se e Colu mn C2) U =Book Va lu e V = O t h e r W =Es t ima te d

D = $5 , 001 - $15 , 000H2 = Mor e tha n $5 ,000 ,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T =Ca s h Ma r ke t

E = $15 , 001 - $5 0, 000


6/8

FINANCIAL DISCLOSURE REPOR TPage 6 of 8



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 ( N o reportable income, assets, or transactions.)

A. B C. D.Descr ipt ion of Assets Income dur ing Gross va lue a t end Transac t ions dur ing rep or t ing per iod( including t rust asse ts) repor t ing per iod of repor t ing per iod(l ) (2 ) (t) (2) (l ) (21 (3) (4) (5 )Place "(X)" af ter each asset A m ou nt Type (e.g., V a lue V a lue Type (e.g., Date Va lue Gain Ident i ty of

exempt f rom pr ior di sc losure Code 1 d i v . , r e n t , Code 2 Method buy, se ll, m m/dd /yy C ode 2 Code I b uy e r / s e l l e r(A-H) o r i n t . ) (J-P) Code 3 redempt ion) ( J - P ) (A-H ) (if p rivate( Q - W ) t ransac t ion)

A D i v i d e n d Sold 12/09/10 J A

A D i v i d e n d S o l d 12/09/10 J A

35. IBDRY (Fid)

36. BA(Fid)37 . FH 1G X (Fid ) A Dividend L3 8. F TE X X M o n ey M a rk et A cc ou n t (F id ) A I n t e r e s t M39 . Transamerica Annuity # 1 A I n t e r e s t K40 . Transamerica Annuity #2 A I n t e r e s t K41 . Transamerica Annuity #3 A I n t e r e s t K42 . Promis sory Note from~ . .. . D I n t e r e s t N43 . First Interstate Bank G illette WY Cash A I n t e r e s t MEquiv Acct44. USAA Fed Savings Bank, San Antonio, TX A I n t e r e s t MCash Equiv Acct45 . First NB, Buffalo, WY Cash Equiv Acct A I n t e r e s t J46 . Amer ican NB, Cheyenne , WY Cash Equ iv A I n t e r e s t LAcct47 . U S Coins None J48. U.S. Bond s A I n t e r e s t J

T

T

T

T

T

T

T

T

T

T

T

T

Bu y 05119/10

was Paci f ic Fide l i tyLifewas PFL

was PFL

Acct Closed

I . Income G a in Code s : A = $1, 000 or l ess B = $1,001 - $2,500 C = $2,501 - $5 ,000 D = $5,001 - $15 ,000( Se e Columns B 1 a nd D4 ) F =$ 50,001 - $ 100,000 G =$100,001 - $ 1,000,000 H 1 ~$1,000,001 - $5,000,000 H 2 = M ore than $ 5,000,000

2. V a lue Co d e s J = $15,000 o r le ss K =$15,001 - $50,000 L =$50,001 - $100,000 M =$100,001 - $250,000( S e e C o lu m n s C I a n d D 3 ) N =$250.001 - $500,000 O =$500,001 - $1,000,000 P 1 = $1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 P 2 = $5 ,0 00 ,0 01 - $ 25 ,0 00 ,0 00P3 -$25,000,001 - $50.000,000 P4 = More t han $5 0, 000,0003. Va lu e Me thod Code s Q = Appra i sa l R =Cos t ( Re a l E s t a t e Only ) S =As s e s s me nt T =C ash Marke t( Sce Colu mn C2) U =Book Va lu e V =Othe r W = E s t im a t e d

E = $15,001- $50 ,000


7/8


N a m e o f P e r s o n R e p o r t in gO B r i e n , T e r r e n c e L .


V I II . A D D I T IO 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.)S e c t io n V I I - I c o n v e r t e d my S t a te o f W yo m i n g I RA ( l i n e s ! - 5 ) t o a Ro t h I RA w i t h F id e l i t y In v e s t me n t s ( li n e 3 3 ) . T he S O W i s s u e d a c he c k o n 12/27/2010 but idid no t reach Fidel i ty fo r c red i t t o the Ro th IRA a ccount un t i l 01/03/2011


8/8

FINANCIAL DISCLOSURE R EPORTP a g e 8 o f 8

Na m e o f Pe rs on R e por t ingOBrien, Terrence L.


IX. CERTIFICATION.1 c e r t if 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 lu 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 te , 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 ld b e c a u s e i t m e t a p p l i ca b l e s t a tu t o r yp 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 rt h e r ce r t i fy t h a t e a rn 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 t e d a r e i nc o m p l i a n c e wi t h t he p r o v i s i o n s o f 5 U. S . C. a p p . 501 e t . s e q . , 5 U. S .C. 73 53 , a n d Ju d i c i a l Co n f e r e n c e r e g u l a t i o n s .

Signature: S/Terrence L. OBrien

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F UL L Y F A L S IF IE S O R F A L L S T O F IL E T H I S R E P O R T M A Y B E S U B JE C T T O C I V ILAN D C R IM IN A L S AN C T IO N S (5 U .S .C . a p p . 1 04 )

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

terrence l obrien financial disclosure report for 2010

Documents