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Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
5b. [] Amended Report 7. Chambers or Office Address 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date
United States District Court 316 North 26th Street Billings, MT59101
IMPORTANT NOTES: The instractions accompanying this form must be followe~L Complete all parts,
checking the NONE box for each part where you have no reportable informatiot~ Sign on last page.
NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
II. AGREEMENTS. R~ponlng i, aivia, al only; s,, pp. ,4-16 of ~tlng instructions.)
~] NONE (No reportable agreements.)
DATE
Cebull, Richard F.
IlL NON-INVESTMENT INCOME. tRepo,~ing individual and spouse; seepp. 17-24 of filing instructions.)
A; Filers Non-lnvestment Income ~] NONE(No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
2. 3. 4.
B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
DATES
LOCATION
PURPOSE
V. GIFTS. a.dudes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
[~] NONE (No reportable gifts.)
SOURCE
1. 2.
DESCRIPTION
VALUE
3.
4. 5.
VI. LIABILITIES. a.audes those of spouse and dependent children; see pp. 32-33 of fillng instruction~)
NONE (No reportable liabilities.)
CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - i,,co,,,e, v.l.e, tr....ctio.s a,,d.,~s ,ho~ o/~,o~ .,,,t ,te~,e,,,~.,,t c/,in~re,,; ~ pp. S~,-6o of filing instructions.)
~] NONE (No reportable income, assets, or transactions.) Income during reporting period (t) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)
Description of Assets
Gross value at end of reporting period O) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W)
(1) Type (e.g. buy, sell, redemption)
RBC Brokerage Acct 1: MT St Dept Transportation Rv GRANt 2005 MT Univ Revs Higher Ed Facs lmpt MT Fin Auth Rev B DsProvidence Hlth and Services F 2006 B Forsyth Mt Pollution Ctl Rev Bds 2006 MT St Health Facs Auth RV Sisters of Charity A A B B A Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Dividend None A A A Dividend Dividend Dividend Dividend J J J
J
Sold T
12/10/10
Sold
12/10/10 K J J
MT St Brd Hsg Single Family Mtg SER A-2 A MT St Higher Ed Student Assist Corp-Ser B A Miami Dade Cnty Fla Oblig MT Fac Fin Auth Rev Sr Living St Johns Lutheran A MT St Brd Hsg Single Fam Prog Bds 2008A AllianzNFJ Div Value Funds Class C MF Columbia Funds Ser Tr Small Cap Value II Class C MF American Funds Growth Fund of America MF Hartford Mutual Funds Ine Cap Apprecia. Fund CI C MF A A A A
12/10/10 J
T T T T T
J J J
K J
12/10/10 12/10/10
.I J C
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See ColumosCI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15,000 or less N ~$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U ~Book Value
B =$1,001 - $2,500 G =$100.001 - $1,000,000 K = $15,001 - $ 50.000 O =$500.001 - $1,000,000 R ~Cost (Real Estale Only) V ~Othcr
C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (l) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) D. Transactions during repomng period (2) (3) (4) Date Value [ Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (i f private transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
Clearbridge Energy MLP FD Inc St Mary Land & Exploration CS (name changed to SM Energy Co) SM Energy Co CS Texas Instruments Ine CS Invesco Van Kampen Mid-Cap Growth Fd CI C MF Thornburg Investment Trust Intl Value Fd CL C MF Countrywide Cap V 7%GTD Cap Sec IRA# 1 -AIM Grth Ser Mid Cap Core Eq (Acquired by Invesco,LN 27) -Invesco Mid Cap Core Equity Fd CI C MF -Allianz No Dividend Value Fd CI C MF -Allianz Fds Small Cap Value Fd CI C MF -American Fund Growth Fund of America Inc CI C MF -ING Groep NV 7.375% Pre Hybrid Cap Sees PFD -Thornburg Investment Income Builder C1 C MF -General Electric Capital Corp Med NTS Step-Up -Prime Money Market Fund RBC Investor Class (X)
A A A A
Buy
09/18/10 06/02/10
B A
J J
T T
A A B
I. Income Gain Codes: (See Columns B I and 134) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Colunm C2)
A =$1,000 or less F =$50.001 - $ 100,000 J = $15,000 or less N =$250,001 - $500.000 P3 - $25,000,001 - $50,000,000 Q =Appraisal tJ =Book Value
B =$1,001 - $2,500 G ~$ 100,001 - $1,000,000 K =$15,001 - $50.000 O =$500.001 - $1,000,000 R =Cost (Real Estate Only) V :Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,O00 L =$50,001 - $100,000 PI =$1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001-$50.000
VII. INVESTMENTS and TRU S TS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fillng instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (l) (2) Amount Type (e.g., Code l div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 O-P) (Q-W) D. Transactions during reporting period (l) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
IRA #2 -International Bank for Reconstruction and Development -Huntington National Bank CD -Bank of Amierica Charlotte, NC CD
-Cardinal Bank McClean, VA CD
Int./Div.
PI
Redeemed 03/22/10 M
Redeemed 03/11/10 M Redeemed 06/18/10 M
-Beal Bank CD -Wright Express CD -Bank of China CD -Invesco Build America Bonds Income Trusl -American Funds Smallcap World Fund CI A MF -American Fds American lntl Grw & Inc A MF -First Interstate Bancsystem Inc. CS -Wells Fargo & Co Dep Shs PfS -American Funds Europacific Growth Fund CI A MF -Pimco Floating Income FD CI C MF -Pimco Total Return Fund CI C MF -Retiren~ent Money Market (X)
Buy Buy Buy Buy Buy Buy Buy Buy Buy Buy
04/07/10 M 04/14/10 M 07/08/10 12/13/10 03/31/10 03/31/10 03/31/10 12/03/i 0 03/31/10 12/02/10 M K K L M K L L
I. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (Scc Colunm
A =$1.000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250.001 - $500,000 P3 :$25,000,001 - $50.000.000 Q ~Appraisal U ~Book Value
B =$ 1,001 - $2,500 G =$100,001 - $ 1,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R ~Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P l =$ 1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS - ineo,.e, vatue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
(1)
Amount Code 1 (A-H) Type (e.g., div., rent, or int.)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66.
First Interstate Bank Acct New York Life Ins Policy Cash Value
A B
Interest Dividend
K K
T U
I. Income Gain Codes: (See Column s B I and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$ 50,001 - $ 100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50.000.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G = $ 100,001 - $1,000,000 K =$15.001 - $50.000 O =$500.001 - $1.000,000 R =Cost (Real Estate Only) V ~Othcr
C =$2,501 : $5,000 H 1 =$ 1,0001001 - $5,000,000 L =$50,001 - $100,000 P 1 =$ 1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D=$5,001 - $15,000 H2 =More than $5,000,000 M=$100,001- $250,000 P2 =$5,000,001- $25,000,000 T =Cash Market
E =$15,001- $50,000
I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was ~vithheid because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544