Clark Waddoups Financial Disclosure Report for 2010

8/3/2019 Clark Waddoups Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/clark-waddoups-financial-disclosure-report-for-2010 1/13

A O 1 0Rev. 1/2011

FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Repor t Required by the E thics

in Government A c t o f1978(5 U.S.C. app. §§ 101-111)

I. Person Rep or t ing ( las t name, f i r s t , m i d d l e i n i t i a l)

W a ddo up s , C l a r k

4 . T i t l e ( A r t i c l e I I I j u d g e s i n d i c a t e act ive or sen ior s ta tus ;rnagistrate judges indicate full- or part-t ime)

Dist r i c t Judge

7. Chambers or Office Address

1 1 0 Fr an k E. M o ss Feder a l U . S . Co ur th o use

3 5 0 So uth Man in S t r ee tSa l t Lake Ci ty , Utah 841 0 1 1

2. Court or Organizat ion

U. S . D i s t r i c t C o u r t , U ta h

3 . Date o f R e p o r t

5/13/201 I

5a. Report Type (check appropriate type)

] N o m i n a t i o n , Da te

[] Initial [] Annual [] Final

5b. [] Amended Report

8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance

~ith applicable laws a n d r e g u l a ti o n s .

Reviev, ing Off icer Date

6. Repor t ing Per iod

01/01/2010

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed Complete ali parts,

checking the NONE b ox for each part where you ha ve no reportable informat ion. Sign on last paga

I . P O S I T I O N S . t R e p o r ~ n g i n d i v i d u a l o n l y ; see pp. 9-13 of filing instructions.)

NONE (No reportable positions.)

POSITION

1 .

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . ~ e p o ~ n g individual only; see pp. 14-16 of filing instructions.)

NONE (No reportable agreements.)

D A T E

1 .

2.

3.

PARTIES AND TERMS



F I N A N C I A L D IS C L O S U R E R E P O R T

Pa ge 2 o f 6

N a m e o f P e r s o n R e p o r t i n g

\Vaddo ups, Clark

D a t e o f R e p o r t

5/13/201 I

I I I. N O N - IN V E S T M E N T I N C O M E . tnepor~ng indi , ’iduol ondspo~ e: seepp. 17-:4 of: l ing

A. Filer’s Non-lnvestment Income

~] NONE non- inves tment income . )N o reportable

DATE SOURCE AND TYPE

2 .

3 .

4 .

INCOME

( y o ur s , n o t s p o us e ’ s )

B . S p o u s e ’ s N o n - ln v e s t m e n t I n c o m e - I f you were m arried during any port ion of the repo rt ing year, comple te this sec t ion.

(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)


1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.

(Includes those to spouse and depende nt children; see pp. 25 -27 of filing instructions.)

NONE (No reportable reimbursements.)

S O U R C E D A T E S L OCAT ION

1.

2.

3.

4.

5.

P URP OS E ITEMS PAID OR PROVIDED



F I N A N C I A L D IS C L O S U R E R E P O R T

Pa ge 3 o f 6

N a m e o f P e r s o n R e p o r t in g

Waddoups, Clark


5/13 / 201 I

V . G I F T S . a n c lu d o s , h o ~ e t o s p o u s e o n d d e p e n d e n t ch ildren ; s e e p p . 2 8 - 3 1 of f i l ing ins t ruct ion~)

D N O N E (]go reportable gifts.)

SOURCE

I. M a rk B ro a dw a y Tre e p run in g

2.

3.

4.

5.

DESCRIPTION VALUE

$1,000.00

V I . L I A B I L I T I E S . a n c l u d ~ t h o , e o / s p o u , e a nd dependent ch i ldr en; s ee pp . 3 2 - 3 3 o f f i l i n g instruction&)

N O N E (]go rep ortable liabili t ies.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUECODE



F I N A N C IA L D I S C L O S U R E R E P O R T

Pag e 4 o f 6

N a m e o f P e r so n R e p o r t i n g

Wadd oups, Clark

D a t e o f R e p o r l

5/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m e , v o l u e , ~ a . $ a c t ~ o .$ a . c t . d ~ t h o s e o f s p a r s e o . d d e p e . d e . ~ children: see pp. 3 4 - 6 0 of f i l ing ins truc t lons . )

N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g

( inc lud ing t rus t a s se ts ) r e p o r t i n g p e r i o d

] (t) (2)

Place "(X)" after each asset i A m o u n t T y p ~ ( e . g . ,i Code I div . , r en t ,x e m p t f r o m p r i o r d i s c lo s u r e

i (A-H) or in t . )

1. Key Bank Checking A Interest

2. Mass Mutual-universal policy None

3. Mass Mutual-whole life None

4. Mass Mutual-whole life None

5. 1365 Roosevelt LLC None

6. 1876 Wyoming LLC None

7. Batteries&Bands-common stock None

8. ZARS-common stock None

9. MassMutual RetireEase Annuity F Distribution

10 . MassMutualOdyssey E Distribution

I I. 401k Account None

12 . M M L I S I B r o k e r a g e ( F i d e l i t y M a n a g m e n t F Distribution

Trust Co.

13 . Chase National Bank A Interest

G r o s s v a l u e a t e n d

o f r e p o r t i n g p e r i o d

(t) (2 )Value V a l u e

C o d e 2 M e t h od

( J - P ) C o d e 3

(Q -w )

J T

J T

J T

L T

K W

K W

K U

K U

O T

N T

J T

L T

J T

T r a n s a c t io n s d u r i n g r e p o r l i n g p e r i o d

(1 ) (2) (3) (4) (5 )

T y p e ( e . g . , D a t e V a l u e G a i n I d e n t i t y o f

b u y , s e l l , mm/dd~y C o d e 2 C o d e I b u y e r / s e l l e r

r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

t r a n s a c t i o n )

1 7 .

I . Income Gain Codes: A = $1,000 or Icss B = $ 1,001 - $ 2 .500 C = $ 2 .501 - $ 5 ,000 D = $ 5.001 - $15.000

( s ee Co l umns BI and D4 ) F =$ 50,001 - $ 100.000 G =$ 100,001 - $1 .000.000 HI =$1.000.00l - $5.0~0.000 112 =More than $5.000.000

2. V alue Co de s J = $15.0~0 o r les s K = $ 15,001 - $ 50 ,000 L -$ 50.001 - $100,000 M =$100.001 - $ 250,000

( S ee Co l umns CI and 0 3 ) N =$250.001 - $ 500.000 O =$ 500.001 - $1 ,000.000 PI -$1.000.001 - $5,000.000 P 2 = $ 5 . 0 ( 1 0 , 0 0 1 - $ 2 5 . 0 0 0 . 0 0 0

P3 =$25.000.0OI - $50,000.000 P4 = M o re t ha n $ 50.000.000

3. Value/’ .tclhod Codes Q =Appraisal R -~Zos! (Real Estate Only) S =Asscssmcr~! T =Cash gtarkcl

( S ee Coh l mn C2 ) U -I:kx)k Value V =Othc’r W = Es t i ma t e d

E = $ 1 5 , 0 0 1 - $ 5 0 . 0 0 0



FINANCIAL DISCLOSURE REPORT

P a g e 5 o f 6


Waddoups, Clark


5/13/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.



F I N A N C IA L D I S C L O S U R E R E P O R T

Pag e 6 o f 6

Name of Person Repor t ing

Waddoups, Clark

Date of Repor t

5/13/2011

IX. CERTIFICATION.

! certify that all information given above (including information pertaining to m y spouse and minor or dependent children, if any) is

accurate, true, and com plete to the best of m y kno wledge and belief, and that a ny inform ation no t reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.

I f u rt h e r c e r ti f y t h a t e a r n e d in c o m e f r o m o u t s i de 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 w i t h t h e p r o v i s i o n 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 J udi c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S] Clark W addoups

N O T E : A N Y IN D I V I D U AL W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F 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 LAND CRIM INAL SANCTIONS (5 U .S.C. a pp . § 104 )

C o m m i tt e e o n F i n a n c i a l D is c l o s u r e

A d m i n i s t r a t i v e O f f i c e o f t h e U n i t e d S ta t e s C o u r t s

S u i t e 2 - 3 0 1

One Columbus Circle, N.E.

W a s h i n g t o n , D . C . 2 0 5 4 4



AO 10Rev. 1/2011


FOR CALENDAR YEAR 2010

Report Required by the Ethics

in Government A ct ofl978

(5 U.S.C. app. .~ 101-111 )

I. Person Rep or t ing ( las t name, f i r s t , middle in i t ia l )

W addo ups , C l a rk

4. Title (Article III judges indicate active or senior status;m a g i s t r a t e ju d g e s i n d i c a t e f u l l -o r p a r t -t i m e )

Dist r ict Judge

7. Chambers o r Office Address

I I0 F r ank E . M os s F ede r a l U . S . C our t h ous e

350 South Mart in Stree t

Sa l t Lake City , Utah 841011

2 . C o u r t o r O r g a n i z a t i o n

U.S. District Cour t, Utah

3. Date o f R e p o r t

9/13/201 I

5a. Report Type (check appropriate type)

] Nomination, Date

[] Initial [] Annual [] Final

fit). [] Amended Report

8. On the basis of the information contained in this Report and any

modifications pertaining thereto, it i~, in my opinion, in compliance

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 .

Reviewing O fficer Date

6. Repor t ing Per iod

01/01/2010

to

12/31/2010

IMPOR TANT NO TES: The ins truct ions accompanying th l s form mus t be fo l lowea~ C omple te al l par ts ,

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 . t R e ~ o m n g individual only; seepp. 9-1 3 of f i l lng instruct ion~)

~] (No repo rtable posi t ions .)ONE

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . t R , p o r t i, g i n d l v i d u o l o n l y ; s e , p ~ . 1 4 - 1 6 of filing instructions.I

[~] N O N E (No reportable agreements.)

DATE PARTIES AND TERMS




Page 2 o f 7


W a d d o u p s , Clark


9/13/2011

1 1 1 . N O N - I N V E S T M E N T I N C O M E . t R e p o r t i n g i .d i v i d u a l a . d s p o . s e ; s e e p ~ 1 7 - 2 4 o f f i l l n g i n s t r u c t i o n s . )

A. Flier’s Non-lnvestment Income

[] NONE non-investment income.)eportable

D A T E SOURCE AND TYPE

2.

3.

4.

INCOME(yours , not spouse’s )

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 married during any port ion of the report ing year, complete th is sect ion.

(Dollar amount not required except for honoraria.)

N O N E (N o reportable non-investment income.)


1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment~

(Includes those to spouse and dependent children: see pp. 25-27 offiling instructions.)

~-~ (No reportable re imbursements . )ONE

2.

3.

4.

5.

SO UR CE D A TES LO CA TIO N PURPOSE ITEMS PAID OR PROVIDED




Page 3 o f 7


Waddoups, Clark

Date o f R e p o t 2

9/13/201 I

V . G I F T S . (lncludes those to spouse and dependent children; see pp. 28-31of filing in~truction~)

[~ N O N E ( N o repor table g~s . )

SOURCE DESCRIPTION

I. Ma~k Broadway Tree pruning

2.

3.

4.

5.

VALUE

$ I , o o o . o o

V I . L I A B I L I T I E S . a n e /~ d ~ t h o s e o / s p o ~ e ~nd dependent children; see pp. 32-33 of filing inslr~ctiong)

[] N O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTION

I.

2.

3.

4.

5.

VALUECODE




Page 4 o f 7


Waddoups , C lark


9/13/2011

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 (Includex those of spouse and de pende nt children; seepp. 34-60 of filing instructions.)

[] NONE(No reportable income assets , or transactions.)

D c s c ~ p t i o n o f A s s e t s I n c o m e d u r i n g

( inc luding t ru s t a s s e t s ) r e p o r t i n g p e r i o d

i (1) (2)

Place " (X)" af t er each a s s et ] A m o u n t T y p e ( e . g . ,

e x empt from prior disclosure C o d e I di v. , ren t ,(A - e l ) or int . )

Gro ss va l ue a t e n d

o f r e p o r t in g p e r io d

(I) (2)

Va lu e V a lu e

C o d e 2 M e th o d

( J-P) C o d e 3

( Q - W )

(i )T y p e ( e . g . ,

buy , sell,

r e d e m p t i o n )

T r a n s a c ti 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) (5 )

Date Va l u e Ga in Ident i ty of

mm/dd~ C o d e 2 C o d e I b uyer /se l l e r

( J-P) (A - H ) ( i f pr iva t e

t r a n sa c t io n )

1. Key B ank Checking A I n t e r e s t J

2. M ass Mutu al-universa l pol icy N o n e J

3. M ass M utua l-w ho le life None J

4. M ass M utua l-w hole life None L

5. 1365 Roos evelt LLC N o n e K

6. 1876 Wyom ing LLC None K

7. Ba t t er i e s&Bands-common s to ck N o n e K

8. ZARS-common stock None K

9. Ma ssMu tual RetireEase Annuity F I D i s t r ib u t i o n O

I0. MassM utua l Odyssey E D i s t r i b u t i o n N

I 1 . Parr B row n Profit Shar ing Plan (401k) None J

1 2 . Consumer Staples Selec t Sector SPDR F D i s t r i b u t i o n J(XLP)

1 3 . Hea lth Care Select Sector SPDR (XLV) F D i s t r i b u t i o n J

1 4 . M arket Vecto rs EtfTr Em LC Curt Dbt F D i s t r i b u t i o n J(EMLC)

1 5 . SPDR Barclays Capita l H igh Yield Bo nd F D i s t r i b u t i o n J(INK)

1 6 . Utilities Selec t Secto r SPDR (XLU) F D i s t r i b u t i o n J

17 . Vanguard Tota l Bond M arket ETF (BND) F D i s t r i b u t i o n K

T

T

T

T

W

W

U

U

T

T

T

T

T

T

T

T

T

I. Incom e Gain Cod es: A =$I.000 or less B =$1,001 - $2 .500 C =$2 ,501 - $5,000 D =$5.001 - $15.000

( S e e C o l u m n s B I and D4) F =$50,001 - $I00,000 G =$100,001 - $1,000.000 III =$1,000,00l - $5.000,000 112 =More than $5,000.000

2. Value Codes J = $ 1 5 . 0 0 0 o r h . ’ - ss K =$15.0OI - $50.000 L = $ 5 0 . 0 O I - $ 1 0 0 . 0 O O M =$100.001 - $250.0’00

lSee Columns CI and D3) N =$250.001 - $500.000 O $500.001-$1.000.0OO P I =$ 1,000.001 - $5.000.000 P2 = $5.000.001 - $25.000. 0 O O

P 3 = $ 2 5 . 0 O O . O 0 1 - $ 5 0 . 0 0 0 .0 0 0 P4 =More than $50.000.000

3. V alue IMethod Cod es Q =A p p raisal R ~:’ost (Rea l Eslatc Only) S :Asse s smc m T = C ~ h M a r k ~

( S¢ ¢ Column C2) U =B o o k V a l u e V =O t he r W =Estimated

E -$ I 5.001 -$50.000




Page 5 o f 7 Ia m e o f P e r s o n R e p o r t i n g

W addoup s , C la rk


9/13/201 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 n c o ~ , , , v a l u e , ,r a . ~ u c t l o , ~ (Includes those of spouse and dependent children; seepp. 3 4 - 6 0 of f il ing instruction&)

[] (No rep ortable income, assets , or transactions.)ONE

A. B. C. D.

Descrip tion of Assets Incom e during Gross value at end Transactions during reporting period

(including trust assets) r e p o r t i n g p e r i o d of reporting period

I (I) (2) (I) (2) (1 ) (2) (3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t i A m o u n t T y p e ( e . g ., V alue V a lue T y p e ( e . g . , D a te Value Gain I d e n t i t y o f

exempt from prior disclosure C o d e 1 d i v . , r e n t , Code 2 Method buy, se ll, m m /ddiyy Code 2 Cod e I buyer/seller(A-It) o r i n t . ) ( J - P ) Code 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 s a c t i o n )

1 8 .

1 9 .

20 .

iShares Barclays 1-3 Year Treasury Bond

(SHY)

iShares 20+ Year Treasury Bond (TLT)

iShares Barclays 7- I 0 Year Treasury (IEF)

F D i s t r i b u t i o n



J

J

J

T

21 . M M L Inves to rs Services M anaged

Account--Cash

22 . C h a s e N a t io n a l B a n k


A I n t e r e s t

J

J

T

T

I. Income Gain Codes:

( See Columns B I and D4)

2 . Value Codes

( See Coh unns CI and D3)

3. Value Method Codes

tSee C o h n n n C 2)

A =$1.000 or less

F =$50,001 - $ 1 0 0 , 0 0 0

J =$15.000 or l e s s

N =$250.001 - $500.000

P 3 = $ 2 5 . 0 0 0 .0 0 1 - $50.000.000

Q =Appraisal

U = l J o o l~ V a l u e

B -$1,001 - $2.500

G=$100.001 - $1,000,000

K =$15,001 - $50,000

O -$500.001 * $1,000.000

R =(7ost tReal Estate Only)

V =O~hcr

C =$2.501 - $5 ,0(30

L =$50.001 - $100.00’0

PI =$1.000.001 - $5.000.0(30

P4 =More than $50.00~.000

W =Estimated

D =$5.001 - $15.000

i t2 =More than $5.000.000

M =$100.001 - $250.000

P2 =$5.000,001 - $25.000.0(~

T -C~h Markc~

E =$15,001 - $50,000



FINANCIAL DISCLOSURE REPOR T

Page 6 o f 7


\Vaddoups, Clark


9/13/201 I

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. (lndlcatepartofrepor~)

In Pa r t V l l Inv es t m en t s , it em s 1 2 t h r ough 2 1 w er e a l l h e l d i n an M M L Inv es t o r s S e r v i e s A c c oun t , N ES / F M TC R ol l ov e r IR A , p r ev i ous l y l i s ted a s " M M L IS !B r oke r age ( F i de l i t y M nagem en t Tr us t C o . ) " Th e d i s t r i b u t ion am oun t s a r e l i s t ed a s l nc om e C ode F ( $ 5 0 , 000 - 1 00 , 000) , w h ic h i s t h e am o un t o f t h e c om b i ned

d i s t r ib u t i ons f o r a l l i t em s . Th e A c c oun t m anage r d i d no t d i s t i nqui s h b e t ween l i ne i t em s i n m aki ng t h e d i s t r i b u ti on and t h a t i n f o r m a t i on i s no t av a i l ab l e f r om t h erepor t s to me. The d i s t r ibut ions f rom each of the separa te i t ems was l ess than tha t amount , but the to ta l was wi th in Code F.




P a g e 7 o f 7

N a m e of Person Repor t ing

Waddoups, Clark

Date o f Repor t

9/13/2011

IX. CERTIFICATION.

I c e r ti f y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n cl u 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 il d r e n , i f a n y ) i s

accura te , t rue , an d co mp le te to the bes t o f my kn o wled g e an d be l i e f , an d tha t an y in fo rmat io n n o t rep o r ted was wi thhe ld because i t met ap p l icable s t a tu to ryp r o v i s i o n s p e r m i t t i n g n o n - d i s cl o s u r e .

I f u r th e r c e r t 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 ce p t a n c e o f g i f t s w h ic h h a v e b e e n r e p o r t e d a r e i nc omp l i anc e wi th the prov i s ions o f 5 U.S.C. app . § 5 0 1 e t . s eq ., 5 U.S.C. § 73 5 3 , and Ju dic i a l Confe ren c e regu la t i ons .

Signature: S/Clark Wa ddou ps

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 F A L S I F IE S O R F A L L S T O F I L E T H IS R E P O R T M A Y B E S U B J E C T T O C IV I LAN D CRIMIN A L SAN CTION S (5 U.S.C. app . § 1 04 )

Commi t t ee on Financ ia l Di sc losureAdm in is t ra t ive O ff ice o f the Uni ted S ta te s Cour tsSuite 2-301One Co lumbus Circle , N .E.W a s h i n g t o n , D . C . 2 0 5 4 4

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Clark Waddoups Financial Disclosure Report for 2010