David M Ebel Financial Disclosure Report for 2009

8/3/2019 David M Ebel Financial Disclosure Report for 2009

1/9

an Jo I FINANCIAL DISCLOSURE R E P O R T R e p o , - ~ ~ e q , , i r e d b y , h e E t h i ~i n G over nm en t Ac t o f 19 78R o y . 1 / 2 0 1 0 I F O R C A L E N D A R Y E A R 2 0 0 9 ~ J u . s . c . . p p . t o t - It J )! . Person R epor t ing I last name, f i rs t, m iddle in i t ia l ) 2. Court or Organizat ion 3. Da le o f ReportEbel. David M. Tenth Circuit Court of Appeals 5/24/2010

4. Title (Article lit judges indicate active or scnior slams; $n. Report Tyl~ (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- ar part-time) [] Nomination. Date 01/01/2009U.S. Circuit Judge (senior) [] Initial [] Annual [] Final to12/3 I12009

[~b. ~] Amended Report7. Chambers o r Of f ice Addr~s 8. On the basis of th~ Information ~ontalned In this Report ~md anymodif icat ions per ta in ing thereto, It is, in my opin lo~ In compl iance

Byron W h i te U .S . Cour thouse ~l th appIknb l e t aws and regu l a ti ons .1823 S tou t S tzee t , Room I09LDenver . CO 80257 R~viewing Off icer Dste

I M P O R T A N T N O T E S : T h e i n s t r u c t io n s a c c o m p a n y in g t h i s f o r m m u ll b e f o l l aw e d Co mplete all part~,checking the NONE box for each part where you have no reportable in formaffo t~ Sign on last page.

I . P O S I T I O N S . t~ ,~ n ~ individual onIj,~ see pp. 9 - 1 J of f!l~ng i~trucdon~.)~ N O N E ( N o r e p o r t a b l e p o s i t i o n s . )

POSITION NAME OF Q R G A N I Z A T I O N / E N T I T YI. Director Historical Society for the Tenth Circuit Court of Appeats

I I . A G R E E M E N T S . m , ~ o , i ~ i~ai~id,,t o,t.r: seepS, t4-16 o]falng i~sa~ctlonsON O N E ( N o r e p o r t a bl e ag r e e m e n t s . )

P A R TI E S A N D T E R M SI.


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F IN A N C I A L D I S C L O S U R E R E P O R T [ N,me Of Person Report ing Dale of ReportPage 2 of 9 I ~be~, va~ r~L

5 / 2 4 : 2 ~ o

I ll . N O N - I N V E S T M E N T I N C O M E :+++o~ +.+ i.++,,i+=:~ :.d+; .... , + + r ~ . 17.24of filing instrucdons.JA. F i le r s Non -Inve s tme nt I ncom e

NONE (No reportable non-investment income.)SO~CE AND TYPE ~yours, not s~uses)

1.2.3.4.

B. Spouses Non-lnwstment Income - if yau ~r ma~d during any ~ion of t~ ~po~ing ycae, campl~e this sectia~(Dollar amount ~ requir~ except foe honora~a.)

N O N E ~o reportable non-investment income.)~ SO~CE AND TYPE

1.20~ Pub li~ ~mplayees Retirement Ass~ciafio~ [Pg~) -2.3.4.

I V . R E I M B U R S E M E N T S -(Includes t~se to x~u~e and dcpendent ch~dren; see pp. 2~-27 of fi ling inst~wtions.I

~ N O N E (No reportable reimbursements . )~ ~ ~ P~POSE I T E M S P A I D O R P R O V I D E D

I. Duke Law School 415109 - 4/7/09 D u r h a m . N C M~t Cou~ t~vel, l~ging, m e ~s

2. U.S. Dept. of State 7/9/09 - 7117109 Kuala Lumpur, Malaria Judicial Exch~ge of t~ve!, l~ging, mealsInfo~ation

3.

4.

5.


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Name of Person ReporUng Date of ReportF I N A N C I A L p a g e 3 o f 9 D I S C L O S U R E R E P O R T l , Ebel, David M. 5/24/2010

~ N O N E ~ o r~oaable g~s.)~ D E S C R I P T I O N ~

I.2.3.4.5.

V I . L I A B I L I T I E S . a ,, a, a~ , ~os. ~ . . . . . . . t ,~ , ~ , ,, ,, ~ , n , ~ h i t a ~ , ,; 5. r e - J z - ~ o ~ . a a , , gN O N E (No repor table liabilities.)

C R E D I T O R D I ~S C R I PT I O N _V.,ALUE COD EI.2.3.4.

5.


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Name o f Penon Reporting D a t e o f R e p o r tF1NANCIALpage 4 of 9 DISCLOSURE REPORT I ~l, t~d M.

V I I . I N V E S T M E N T S a n d T R U S T S -i . . . . . . . . . ~ ,, t ransacrlurrx (Includt$ fhos o[Jp ...... d dtpendtnt hildrtn; see p~ 34-60 vf fillng iN O N E (No reportable income, assets, or transactions.)

Dc~ription of Assc~ Income d~ng Gross value at end] Tr~saction~ during reining pe0od( i~luding ~t ~scts) reposing ~ of rcpoaing pc~od(I) (2) t ) (2) ~I~ 12) t3) (4) :Place "(X)" a~ each asset A m o u n t : T ) ~c (e .g ., Value Vatuc T~ (e.g. , D~ c Value Gain Idcnti~ ofexempt from p~ot discios~ Code I div., real C o d e 2 Mc~od [ buy. sell, m~d~yy C ~ 2 ~ C ~ c I(A-H) o r i n t . ) ( J -P) C~e3

[~dcmption) ( J - P ) ~ A - H }

( Q - W ) tram~lion)

L Fidelity Magell~ Fd. A Dividend K T2. Janus Contrarian Fund A Dividend K T

3. Janus Global L ife Science Fd. A Dividend J T41 Janus Money Market Fd. A Interest J T Sold 1/14/09 J A(part)5. " " " B uy 2/I 8/09 J

6. " .... Sold 3/18/09 K A(Van)7. " " " Sold 4/30/09 K A8. US Bank. Denver. Colo. A Interest J T

9. Janus Orion Fund A Dividend K T Bu y 4130/09 J

1 0 . Fideli ty Cash Re~rves A Interest J T Sold 01,21/09 J A(part)I I . " " " B uy 02/20/09 J

1 2 . .... Sold 03/18/09 K A(part)1 3 . " . . . . . Sold 06/01/09 J A

( v a ~ ) ~ 4 . Fidelity Select Energy Service Fd. B Dividend K T Sold 02/20/09 J A(pro)

1 5 . " " " B uy 0 3 / I 8 1 0 9 J1 6 , " " " B uy 06/01/09 J1 7 . EYE ris Class A Commo n Stock N o n e J T

I. I~,m.,e Gai t , Co d~ : A -SI,000

P3


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F I N A N C I A L D IS C L O S U R E R E P O R T , ~ . m , o f P e, ~ o n a e ~ o . J . g t ~ , t e o r a ~ p o r ,Page 5 of 9 E b e l , D a v i d M , 5 / 2 , ~ / 2 0 1 0

VII. INVESTMENTS and TRUSTS - ~. ....... t.o., ..... tionx (Incl.dea those of spouse and depend~ childfen;~ N O N E ( N o reportable income, ~sets, or transactions.)................... ~ ................. ~. - ........ ~. --~ ............... O~ ....~sc~pfion of.~s lncomc dur~g G~ss value a~ end T~n~actions during ~ing

Place "(X)" after each ~t A m o u n t T)~ (c.g.. Value Value Ty~ (.~, D a ~ c Value G a i n ldcnti~ ofexempt ~m ~o r di~losure Code I ~v., t~ C ~ 2 Meth~ ~, sell m~dgr~ C~ 2 C~I buycffsdlcr( A - H ) o r i n t . ) ( J - P ) C~ 3 rc~mption) ( J - P ) ( A - H ) ( i f p r i v a t e, ( Q - W ) t r a m a c t l o n )

1 8. E Y E f i s C I ~ s B C o m m o n S t ~k N o n e J T1 9 . Janus Grow th ~ l~ome Fd. A D i v i ~ n d K T B uy [03/1~09 J2 0 . " .... B uy 0 4 / 3 0 / 0 9 ]

21. Fid l iU U.S. Govt Res. A lnlerest J T2 2 . Fidelity Energy Market Fd. A Dividend K T B uy 03/18;092 3 . Fideli ty Va lue Fund A Dividend K T B uy 01/2t/09 J2 4 . Fidelity Diversified Intl Fund A Dividend J T2 5 . Dod g e & C ox S t ock Fu nd A Dividend J T26. Dodge & Cox Balanced Fund A Dividend J T2 7 . Dod g e & Cox I ncome Fu nd A Dividend J T B uy 02/18/09, K

28 . " " " Sold 03/19/09 K A(part)2 9 . " " Sold 04/13/09 J A301" " " " Sold 06/01/09 J A (part)

: 3 1 . B u y o 9 , 0 1 / o ~3 2 . " " " Sold 09/22t09 K A(part)3 3 . Royce Technology Value Fund N o n e Sold 04/09.~09 J A3 ~ . Royce Opportunity Fd. A Dividend J T

3. Value Mct~ C~ct Q =App~=is= l R ~t (Rat E~ate O@) S =As~ss~t T ~,h M~k~I~ Column C21 U -B~k V=~ V ~ W - [~$ im= ted


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FINANCIAL DISCLOSU RE REPORT I N a m e o f P e r * o n R e p o r ti n g D a t e of ReportP age 6 of 9I Ebel, David M.

5 1 2 4 / 2 0 1 0

VII. INV ESTMENTS and TRUSTS - in,, ...... t , o , t r a n s a c t i o n s r l n c l u d e s t h o s e o f . , ~ o u s e a n d d e p e n d e n t c h i l d r e n : y m e p ~ J 4 - 6 0 o f f i l l n gN O N E ( N o r e p o r t a b le i n c o m e , a s se t s , o r t r a n s ac t i o n s .)

De~ption of Asse~ lnco~ during Gross value at ~d ~ T~ns~ioas d~ng rc~aing period{including ~st agsct*) re~ing ~6~ of reposing p~od ~ .Place[X)" after each ~t A m o u n t T~ ~e.g., Value V a l ~ / T~ (e.g. Date . V~lue . Gain I~nti~of

e x e m p t ~ o m p r i o r d ix c l o s u r e C~ I d i v . , r c n L C ~e 2 Meth~ b~, ~11, m~"d&~ Code 2 C~e I ~ycr,~dlcr ( A - H ) , orint.) ( J - P ) ~ C o ~ 3 r e d e m p t i o n ) ( I - P ) {A-H}( Q - W ) t r a n ~ c t i o n )

3 5 . Royce To~l Return Fd. A Dividend J T

3 6 . Jan~ Overse~ Fund A Dividend L T Sold 02/18~9 J A(pa~)3 7 . " " " B uy 03II 8/09 J3 8 . " " " B uy 04/30,~9 J3 9 . Janus Shor t-Te~ Bond F d . A Int~est J T4 0 , Janus Risk Management Stock Fd. A Dividend J T41. Perkins Mid-Cap V alue Fd. K T B uy 0 1 1 1 4 / 0 942. .... Sold 04/30/09 J A(part)43. ""Fidelity lntq Small Cap ~~i. A Dividend J T44. Fidelity Contra Fd. A Dividend J T Sold 06/1/09 J A(part)45. Fidelity Select Wireless Fd. J T B uy 03/18/09 J

46. Fidelity Select Natural Gas Fd. A Dividend J T Sold 0 2 / 2 _ 0 / 0 9 J A(pa~)47. Dodge & C ox Intemalional Fd. B Dividend L T Sold ! 0 3 1 1 8 / 0 9 K A( p a r ~ )48 . ~ .... Buy 103119/091 K

50. " "" B uy 06/01/09 J5]. ..... Sold 09/01/09 K B(part)


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Ia m e o f P e r s o n R e p o r t i n g D ~ l e o f R e p o r lPageFINANCIAL7 of 9 DISCLOSURE REPORT ! Ebd, D a v i d M . 5/24/2010

N O N E ~ o reportable income, assets, or transactions.)

D c s c h p f i ~ n o f A s ~ s I n ~ m c d u ~ n g G ~ s s v a l u c a t ~ d T ~ n s ~ f i o n s d ~ n g r c p o ~ i n ~ p c d ~( I ) 1 2 ) ( I ) ~ 2 ) (~) (2)

P l ~ c c " ( X ) ~ a f ~ c r c a c h ~ s c ~ A m o u n t T y p e ( e . g . , V a l u c V ~ l u c T ~ o ( g . , D a l e V a l a ce x e m p t f r o m p r i o r d i ~ l o s u r C o d c I . d i v . . ~ t , C ~ 2 M ~ h o d buy, soil,~d~ C~c 2 C~e I buy~.scllcr

5 2 . " ..... B u y 0 9 / 2 2 1 0 9 l

5 3 . P e n n s y l v a n i a M u ~ l F d . A D i v i d e n d ~ T

5 4 . R o y c e P r e m i e r F u n d N o n e K T

5 5 . R o y c e I 0 0 F u n d N o n e K T

5 6 . R o y c ~ V a ] ~ P l u s F d . K T B u y ~ 1 0 9 / 0 9

5 7 . N o ~ h w c s t e m M u ~ l M o d i f i e d W h o l ~ L i f ~ D I n t e r e s t M T

5 8 . M ~ s . M u l u a l W h o l e L i f e P o l i c y C I n l r e s l K T

5 9 . ~ v ~ t L u t h e r a n B r o t h e ~ o o d W h o l e L i f ~ A I n t e r e s t ~ TP o l i c y~. ~ a n ~ E n t ~ H s F u n d N o n e ~ T B u ~ 0 4 ~ 0 / 0 9 J

6 1 . J a n u s G l o b a l R c s c a ~ h F u n d A D i v i d e n d K T Buy ~ 3 0 1 0 9 J

6 2 . F i d d i l y C a n a ~ F d . A D i v i d e n d K T ~ u y 0 6 1 0 1 1 0 9

6 3 . P E R A G r o w t h & I n c o m e F u n d A D i v i d e n d J T

~. F i d d i ~ R e a l E s ~ t ~ l n v c t m ~ n t s A D i v i d e n d ~ T

6 5 . F i d e l i t y S l ~ c t E n v i ~ n m ~ n t a l S ~ i c e s A D i v i d e n d J T

66. Janus Fund A Dividend K T B uy 03/18 /096 7 , Fidelity Select Natural Resources A Dividend J T B uy 09/19/09

(S~ Co~n C2l O ~B~k Value V ~h~ W = E~ l i m a t ~


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Ia m e o f P e r s o a R e p o r t i n g D * t e o f R e l ~ 0 r tF I N A N C I A L p a g e 8 o f 9 D I S C L O S U R E R E P O R T ] Ebe,, David M. 5 / 2 4 / 2 0 1 0V I II . A D D I T I O 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 . t~ i ,t , p a~ ~ i so p ~ r ,.~

I. I. Positions: I neglected to report my position as a Director for the H istorical Society for the Historical Society for the Tenth C ircuit in my 2008 DisclosureReport, although that position was reported in earlier years. It is a non-paid position for a no n-profit that works to preserve historical information in the TenthCircuit. There have been no conflicts, and my time spent is de minimis.2. I11. B.~ N on-Investment Income: My ~ has b een receiving PE~__ _. . .defined benefi t ret irement income since~~] retired as a p.ublic s .ch~_.L. l teacher in. ~ 0 0 5 . A l i h r fi u g rh ! r e p o r ta d t h i s i n c o m e f o r 2 0 0 5 a r t d , ~ 0 0 6 , I n e g l e c t e d t o r e p o r t ~ : p e n s i o n i n c o m e i n , ~ 0 0 7 a n d 2 0 0 8 . I h a v e h a d n o ~ a s e s m v o w n g ~ . . .. . s c h o o ldistrict, and ~ ] pension has not b rought any conflicts for me during the time of the omitled reporting.3. VII . Investments and Trusts: Line 41, Perkins Mid-Cap V alue Fd. is just a name change from Ja nus Mid-Cap V alue Fd.


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I a m e o f Prnon Reportln~ D a t e of Repor!F I N A N C I A L DISCLOSU~ ~PORT] Eb e l , David M.

Page 9 of 9IX. CERTIFICATION.

i cert ify that al l Information given a ba ve (including information pertaining to my spouse and m inor or dependen t children, if any) isaccurate, t rue, and complete to the best of my kno wledge and b elief, and that any informa tion not reported was withheld because i t met applicable statutory.provisions permitt ing non -disclosure.

i further cert ify that earned incom e from outside employmen t and hono raria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 eL seq. , 5 U.S.C. 7353, and Judicial Co nference regulat ions.

S i g n a t u r e .

N O T E : AN 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 1 L F U L L Y F A L S IF I 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 O N S ( 5 U . S. C . a p p. 1 0 4J

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Co mmittee on Financial DisclosureAdministrative O ffice of the U nited States C ourtsSuite 2-301One Columbus Circle, N.E.Wa shinglon, D.C . 20544

David M Ebel Financial Disclosure Report for 2009

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