James O Browning Financial Disclosure Report for 2009

8/3/2019 James O Browning Financial Disclosure Report for 2009

1/11

ao J0 [FINANCIAL DISCLOSURE REPORT Repo,tin G o v e F n m e n t R e q u i r e d A c t b Y t h e o f 1 9 7 s E t h i c sR e ~ . J / 2 o t o FOR CALENDAR YEAR 2009 t5 u.sc app. ,4 IO I-t tD

I. person R eporting (last name. fifsl, middle initial) 2. Court or Organization 3. Date of Rtport

Browning. James O. U.S.D.C. for Distdcl of NM 05110/2010

4. Ti~e (A~ icl I11 judges indicate aclivc ~ senior slams; 5a. Repo~ T )~(check appropriate q~) 6. Reporting Periodmagistrate judges indicate ~tl- or part-;ime) ~ Nomination, Date 01[01/2000U.S. District Judge- ActNc ~ lnitml ~ A .... I ~ final to12/3 I

5b. ~ Amended Rcp~7. Ch~,nbels or O~c Address 8. On the b~sis of th~ inrorm~llon ~ont , in~d in Ibis Rrpu~ ~n dmodificaHon s pe~alniog lher~lo, II is, in m) opinion, in compliance333 Lo~as Bird NW Su~le 660 wilh applicable la~s andAlbuquerque. NM 87102

Reviewing Officer ........ ............... D~te ...........

IMPO RTANT N OTES: The instructions accompanying this fi~rm must be fol lowe,! Complete alt parts,checking the NONE box for ach part where you have no reportable information. Sign on last page.

l . P O S I T I O N S . (Reporting indiridual onl),; seepp. 9-13 of fillng instruetlons.)D N ONE (No reportablepositions.)POSIT ION N A M E OF ORGANIZATION/ENTITY

I. Trustee Trust ff I

2. Custodian Custodial Accotml #3

3. Director:Vice Chairman Christian Scholarship Fund4. Director/Pres ident Inn of the Courts

5. Director Tenth Circuit I listorical Society c-~ r , , .

1 I . A G R E E M E N T S . ~ p o . i . x individudonO: seepp, t4-16 offiling in.~trurtion~.)[ NONE (No rep~rtahIe agreements.) ~" --F~ I

DATE I~AR] ~ES AND T~RMSI.


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FINAN CIAL DISCLOS URE REPORT ~ .... r P e , ,o . R ~ p o , , i .~Page 2 of 1 1 B r o w n ~ . ~ , J a m e s O . [ 0 5 , 1 1 0 1 2 0 1 0

A. Filers N on-Inveslment IncomeNONE (No reportable non-it~vestment income.)

DATE SOtJRCE AND TYPE (yoms, not s~useslI.2,3.

4.

B. Spouses Non-lnvestmen! Income - t/~.ou aere married duri~g aay portion of the reporting ),ear, omplete thls ~ection~( D o l l a r c r r n o t n l n o t r e q u i r e d e x ~ e p t J b r h o n o r a r i a )

~ NONE (No reportable non-investment income.)DATE SOURCE AND Type

I. 2009 Sunset Mesa Schools Inc., wages2 . 2 1 ) 0 9 Self Employed - School Choir Dircctor, income from students parents

3.4.

IV .~ NONE ( No reportable reimbursements.)

~ ~ LOCATION PURPOSE ITEMS PAID OR PROVIDEDI. The P ound Institule July 24 - 26, 2009 San Francisco, CA Guest Lecturer Transporml~on, Lodging & Meals

3.4.5.


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FIN AN CI AL DI SCL O SURE RE PO RTPage 3 of 11 B r o w n i n g , J a m e s O . 0 5 , 1 0 1 2 0 1 0

V . G I F T S . a . , q . ~ . ~ , h . ~ , , ., ~ . . .. .. .. ~ ~ v ~ " ~ , - h ~ , ~ . : ~ ~ V V .N O N E (No reportable

SOUR~ DESCRIPTION VAI_UE1 .2.

3.4.5.

[ N ON E (No reportable liabilities..)CREDITOR. DESCRIPTION VALLIE CODE

1 .2 .3 .4 .5.


4/11

FIN AN CI AL DI SCL O SURE RE PO RTa r o , * n . g , . * . , .e s o .age 4 of 11 I 15"~/21

--] NONE (No reportable income, assets, or Iransactions.)D e s c r i p t io n o f A s s e t s I n c o m e d u n n g G r o s s v a l u e a t e n d T r n n s a c t i o n s d u r i n g r c p o r l i n g period

( i n c l u d i n g in,st a s s e ~ s ) r e p o r ~ i n , g p c r i , , d o f r o l l , f l in g p e r i o dPlace "IX)" after each assetA m o u n t " T y p e ( e . g . , V a l u e V a l u e Type Ic.g.,D a l e V a l u e G a i n : [den:ity of.... pt from prior disc, ..... ::Codel di ...... 1 , i Cndc2 M e t h o d b u y . e , c l l . : m m : d d i y y Code2 Codcl ~ buyerselleri t A - I I ) i o r i n t ) ( . I - P ) : C o d e 3 r e d e m p t io :~ ) ( J - P ) ( A H / , -

~(ifpw,ate

} i t O W ) i t r ~ n s a , i o n ,I. Corporation See NOTE I @ Part"~ --W orking lnterest-Cercion #6, Lea County, None J UN M3. --W orking [ntcrcst-Ccrcion #7, Lea County, None J UN M4. --Working lntcrest-Garza #1, ken Count. None J UN H5. --Working Interest - Shell State # 1. Lea B R o y M t y J UCourtly, NM~. --W orking Interest - Shell State #2. Lea A Royalty ,I UCounty, NM7. --W orking Interest - Shell State g3. Lea B Royalty J UCounty. N M8. --W orking Interest - Shell State g4, Lca A Royalty J UCounty, N M9. --W orking Interest - Shell State #6, Lea A Royatty J U

County, NMIll. --W orking Interest - Shell State #5, L ea N o n ~ : J UCounty, N MI I . --W orking Interest - Shoddy Federal #l, Lea C Royalty J UCounty, N M12 . --W orking Interest - W est Loving #1, Eddy Nonc J UC o t m ~ y . N M13 . --Working Interest - Queen L.akc 36 t/I, A R t t y a l t y J UEddy County NM14 . --W orking Interest - Milano St ~1, Eddy A Royahy J UCounty, N M15 . --W orking Interest - Milano St t/2, Eddy A Royalty J UCntmty, NM

1 6 . --W orking Interest - Tirano St, Eddy A Royalty J UCounty, N M17 . --W orking Interest - Ilopi Federal, Lea A Royally l UCounty, N M


5/11

FINA N CIAL DISCLOSURE REPORT iPage 5 of 11 I Browning, James O. 05/10/2010~ N O N E (No reportable income, assets, or transactions.)

of As~ Income duflng [ Gro~s ~aluc at end T~nsat [mns durmgcscfi~ion

Pl~c "iX)" a~r ~ch rose; Amoum ] T~e (e.g., Va~e Value T~ (e.g., Date Va~e ; Gain Identi~ ofexemp~ flora prior disclosure C~e I ] div.,tenk (.~c 2 Me~ buy, sell, m~d~yy C~c 2 C~e I buycffseller(A-~ or inL) (J-P) C~c 3 ~cdt~ion) (J-P) ~A-}I) (if private~ Q - W ) t r a n s a c t m n )

1 8 . --W orking Interest - Tomcat 16 St ~2, Eddy A R o y a l t y J UC o u n t y , N M1 9 . --Working Interest - Tomdat 16 SI ~3, Eddy A Royal~ J UC o u m y , N M20. --W orking Imerest - Tomca~ 16 St $4. ~ddy A R o y a l t y J UC o u n t y , N M2 1 . --W orking Interest - Tomcat 16 S~ ~6, Eddy A Royal~ J UCount. NM22 --Working Interest - Tomca~ 16 St #7, Eddy A R o y a l t y J UC o u n t ) ,, N M2 3 . --W orking Interest - Tomcat 16 St #g, Eddy A Royal~ J UC o u m y , N M

: 2 4 . --Working Interest - Tomcat 16 St #10, Eddy A ~oyalty J UC o u n t y , N M25. --W orking Interest - Tomcat 16 Fed #13, A Royal~ J UE d d y C o u n t y . N M2 6 . --W orking Interest - Oxy F~cral #1, Eddy B R o y a l t y K U

Counw, NM2 7 . --Willow Lake 35 ~1, Eddy County, NM A R o y a l % J U2 8 . --Working Interest - N Scanlon, Eddy None J UCount), NM2 9 . --W orking Interest - tony Niner Ridge Unit B Royalty J U33 0 . --W orking Inlcrcsl - Forty Niner Ridge Ut,l C Royalty J U23 1 . --W orking Interest - Forly Niner Ridge Unit C Royalty J U43 2 . --W orking Interest - Forty Nioer Ridge Unit [3 Royalty J U63 3 . --W orking Interest - Fort) Nmer Ridge Unit None J U13 4 . --W orking Interest - USP Fee !t2, Eddy D Royalty K UCourity, NM


6/11

N .... f P e r $ o a R e p o r l l n g

]

Dale of Repo.

]

FINANCIAL DISCLOSURE REPORTPage 6 of 1 1VII. I N V E S T M E N T S a n d T R U S T S - i ....... ,~,, t ...... #ons tlncludes those o/st ..... . d depeMe,t c~ildrtn; see pp. 34-~0 of filing in,tructio~.)

~ N O N E (No reportable income, as se ts , or transact ions . )..........~scription of Asscts I n c o m e d u n n g G r o s s ~ a l u c a t e n d lr~sactions du~ng r~rung pcri~f i n c lu d i n g t r u s t a s ~ L S ) rc~rting ~ of ~c~amg ~nod

PI~ "(X )" after each as~: ~ A m o u n t ] T~ (cg. Value V a l u e T~c (e.g. D a t e Value G a i n l d c m i % o fe x e m p t f ro m p r i o r d i ~ lo s u r e ~ C~el [ d i v . . r e n l . C~e 2 Me~ ~y. ~11, m~d~)~ C~ 2 C~e 1 buyer/scll~IA-H} [ o r i n t . ) ( J - P ) C~e 3 r e d e m p t i o n ) ( J - P ) ( A - t l ) f i f p r i v a t e: ] { ~ W) ~ction~

3 5 . --W orking Inlerest - Fo~y Nincr Ridge Unit D Royalty K U93 6 . --Single Member LL C See Note I. Iar~ VIII

37 . ----NM Bank & Trust Checking/Savings N o n e J T

3 8 . ----Rental Property #3, AIbuquerque, NM F Rent O R(2006, $663,074)3 9 . ----Vacant land #2, Albuquerque, NM (2006, None O R$900,754)

4 0 . ----Rental Property #2, AIbuqucrquc, NM E Rent O R( 2 t 1 0 5 , $ 6 1 1 , 8 5 5 )4 I. --Fidelity Municipal Money Market (Tax A DividendExempt)4 2 . Parlners Sold 0 5 " 1 9 / 0 9 J Aun d4 3 . --Vanguard Total Stock Market A Dividend Sold 0 5 . " 1 9 / 0 9 K A4 4 . --Checking Account at Nev,, Mexico Bank & None K T4 5 . Trust #1 - Vanguard Brokerage Acct - Prime A Dividend J TMoney Market4 6 . Trust #I - Treasury Bills 1 3 Interest O T47 , Trust ttl - Savings Bonds D Interest L

4 ,q Trust #1 (Brokerage Account at Fidelity) See NO3E I (~" PartVIII49 . --Fidelity Municipal Money Market A Dividend J T

5 0 . I R A # 1 (,Fidelity Brokerage A ccount) S e e N O T E ] (~ ) P a r tVIII5 I. --EMC Common Stock None J


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P a g e F I N A N C I A L 7 o f I 1 D I S C L O S U R E R E P O R T B ~ o . n ng, Jam esO. [ 0 5 / 1 0 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ ........ t.,,~ ......NONE (No reportable income, assets, or transactions.)

D e ~ r i p t io n o f A s s e t s ; h l c o t t l e d u r i n g ~ Gross value at end1 T~sa~tions ~=ng ~cpo~Img p~l( i r ~ c lu d i n g I ~ t a ~ s e t s ) : rc~aing ~ri~

P l a c ~ " I X ) " a f l ~ e a c ~ a s ~ t C o d e I T~ (e.g., Value Value [r~ (e.g., [ Date Value Gnm [ I d e n t ) ~ o fc x c m p l f r o m p r i o r d i s c to s u r c div., ~t,~ (A-~ o r i n t . } ( J - P ) C~c 3 r e d e m p t i o n ) (J -P) {A-H) ( i f p r i v a t e

( Q - W ) t r a n ~ c l i o n )

5 2 . --Microsoft Common Stock A Dividend5 3 . --PMC - Sierra Common Stock None J T

5 4 . --Charles Schwab Comm on Stock A Dividend J T5 5 . --Tellabs Common Stock N one J T5 6 . --Xilinx Common Stock A Dividend J T

5 7 . --Baron Small Cap Fund A Dividend M T Bu y 05/28/09 J(addl)5 8 . --Baron Partners Fund None L T5 9 . --Dodge& Cox Interml Stock Fund A Dividend K T Buy 12/21/09(addl)6 0 . --Meridian Grov, qh Fund A Dividend M T Buy 12/22/09

(addl)6 1 . --Rydex Nasdaq 100 Formerly Known As None M "fRydcx OTC Inv Class6 2 . -Vanguard Inll Growth Portfolio B Dividend L T Bu y 1 2 / 1 5 / 0 9(addl)6 3 . --Vanguard Total Stock Market C Dividend M T Buy 0 3 / 2 4 " 0 9(addl)64 Buy 06/15/09(addl)( , 5 . Bu y 06/23/09(addl)6 6 . Buy 09~3/09(addl)6 7 . Bu y 1 2 / 2 1 / 0 9(addl)6 8 . --Fidelity Cash Reserves A Dividend J T


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FINA N CIAL DISCLOSURE REPORT ~" .... t P e r s n n R e p o r t i n g D.t, o f R e p o r tPage 8 of 11 Browning, James O. 05/10/2010V 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 ~ , , ~ , / , o , , . . .. . . a n n , (Includes tho, e ofspo .... nd dependent children; see p p . J ~ - 6 0 of filing

N O N E (No reportable income. ~sets, or transactions.)A . B . C D.Dcsc~ption of As~s I n c o m e d u n n g ( ; r o s s v a l u e a t e n d [ Tr~cllo~ during r~oning(including ~st as~ts} r~ing peri~ of reposing ~r~od

~ it) (2) (I) (2) (I) 1 4 ~ (5 )P l a c e " ( X ) " a ~ ] ~ ~ a c h a s ~ t Amount T)~e leg. Value V a l u e T)~ (e.g. D a t e V a l u e G a l l ) I d e n t i t y ~ c m p t f l o w n p r i o r d i s c lo s u r e C~ I d l v . , ~ n l , C~c 2 Mc~ b n y , ~ 1 1 . m~~~ I C~1 2 C~ I( A - H ) o r i n L ) O - P ) C~c 3 r c d c m p f o n ~ ~ { l - P ) (A-Ill { i f p f i v a l e( Q - W ) [ t~saclion)

6 9 . --Fidelity lntl Discover A Dividend K T ~u y 12/~/09(addl)7 0 . IRA g2 (Fidelity Brokerage Accounl) Sc c N O T E I ~ P ~VIII7 1 . --AllianccBem G lobal "lhemalic Gr A A Dividend K T Buy ~ I I / 2 ~ / 0 9 l See NOTE 2 ~ Pa~(Mutual Fund) (addl) VIII7 2 . --Putnam Visla Cl~s A None J T7 3 . --Vanguard Total Stock Market A Dividend K T Buy 03/24/09 J(addl)7 4 . Buy 0 6 / 1 5 , , 0 9 J(addl)7 5 . Buy 06/23/09 J(addl)7 6 . Buy 09/23/09 J(addl)7 7 . Buy 12/21/09 J

(addl)7 8 , --Fidelity Cash Reserve A Dividend ,I T7 9 . --Baron Partners Fund None J T8 0 . Custodial Account # 3 See NOTE 1 @ PartVIII8 I. --Vanguard Total Stock Market A Dividc~d J T Buy 03/24/09 J(addl)8 2 . Buy 06/23/09 J(addl)8 3 . Buy l Y - ) / 2 3 / 0 9 J(addl)8 4 . Buy 12/21/09 J(addl)8 5 . --Fidelity Municipal Money M arket None J T


9/11

FINAN CIAL DISCLOSURE REPORT N ....~ P . . . . . R e p o . ~ n ~ O . , . o l a . p o .Page 9 o f I I B r o w n i n g , J a m e s O . 05/10/20|0

V I !. IN VESTM EN TS a n d T RU STS - i ... . .. . . i . e . tr .... "non:~ (Includes those of spo .. . .nd dependent children; see p p . 3 4 - 6 0 of filing instructions.)---] N O N E (No reportable income, c~sets, or transactions.)

- - AI .............. ~. " .. . . . ~ . . . . . . c. " u. - ..............Description of Asseu Income during Gross value a: end Transactions during re~ning peri~l(incLuding tn~st assets) [ re~mg ~r~ of reining ~

Place "(X )" after each ~sse~ Amine T~e (e.g., V alue V alue T)pc ~cg, D a ~ e Value Gain Identity ofexcmpl frt~m prior di~losure C~e I div., rent, C~Ic 2 Mc~ buy, ~II, mmd~3~ C~c 2 C~e I buycr.scllt~IA-tl) or int.) (J-P) Ct~e3 redemption) O-P) (A-It) (if p6vat{ Q - W ) transaction)

86 . --Bnron Parlncrs Fund N o n e J T

8 7 . O p p e n h e i m e r S c h o l a r s E d g e 5 2 9 A c c t # I N o n e K T(A. G. Edwards)8 8 . O p p e n h e i m e r S c h o t :~ r s E d g e 5 2 9 A c c ~ # 2 N o n e K T(A. G. Edwards)8 9 . C h e c k i n g A c c o u n t - W e l ls F a r g o B a n k A I n t e r e s t J T

9 0.


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FINANCIAL DISCLOSURE REPORT l N .... iP ..... R e p o r t i n g [ Dat of ReportPage l0 of I 1 ] Browning, James O , ] 0 5 / 1 0 1 2 0 1 0

VI II . ADDI TI O N AL I N FO RM AT I O N O R E XPL AN A T I O N S.

NOT E ! - The items listed in Section VII that have the note "See NO IE I @ Pa~t VIII" in Colur~an D(5~ are headers only. The specific assets held m ~hatcorporation!trust!accounts are indented and listed individually tbllowing the header.NOTE 2 - The name on this fund changed from AllianceBernstein Global Technology Class A to AllianceBem Global Thematic Gr A


11/11

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 ] N .... fl ..... l~epomag [ I)~,eorlteportPage 11 of 11 I Brow.iu~, James O. [ 0 ~ , ~ 0 ~ - 0 ~ 0IX. CERTIFICATION.

I certi[y that all information given above (including Information pertaining to my spouse and m inor or dependent children, If any) isaccurate, true, and com plete to the best of my knowledge and belief, and that any Information not reported w as withheld because it me! applicableprovisions permitting non-disclosure.[ further certify that earned income from outside employ ment and hon oraria and the acceptance of gifts which have been reported are incompli,,nce with the provisinns of 5 U.S.C. app. 501 el. seq., 5 U.S.C. 735.3, and Judicial Conference regulations.

Si

NOTE: ANY INDIVIDUAl. WttO KNOWING LY," AND W ILFULL\" F~ ~.Y BE SUBJECT " 1O CIVILAND CRI~,IINAL SANCTION S (5 U.S.C. app. 104)

FIL IN G IN ST R U C T IO N SMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdrninislrative Office of the United S!ates CourtsSuite 2-301One Columbus Circle, N.E.W ashington, D.C. 205, :14

James O Browning Financial Disclosure Report for 2009

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Transcript of James O Browning Financial Disclosure Report for 2009