David S Doty Financial Disclosure Report for 2010

8/3/2019 David S Doty Financial Disclosure Report for 2010

1/7

FINANCIAL DISCLOSURE REPO RTFOR CALENDAR YEAR 2 010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . Person Report ing (las t name, f irs t , middle ini t ia l)D O T Y , D A V I D S .

4. Tit le (Art icle I l l judges ind ica te act ive o r sen io r s ta tus;magistrate judges indicate full- or part- time)SENIOR JUDGE, U.S. DISTRICT C O

2. Court o r Organ iza t ionDis t r i c t Cour t

5a. Repor t Type (check approp r ia te type)] Nomina t ion , D a t e[] Initial [] Annual5b. [] Amended Report

] Final

7. Chambers or Office Address300 S ou t h F o ur t h S t r e e tM i n n e a p o l is , M N 5 5 4 1 5

3. D a t e o f R e p o r t4/20/201 I

6. Repor t ing Per iod01/01/2010

to12/31/2010

8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions per ta in ing there to , i t I s , in my opinion, in comp l iancew 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 Office r Date

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 NONE box for each part where you have no reportable informatiot~ Sign on lastpage.

I . P O S I T I O N S . ~ X e p o . i, , g i n d i v i d . a l o . l y ; se e p p . 9 - 1 ~ of filing instructions.)~ NONE (N o reportable positions.)

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . ~ x e p o . i . g individual only; see pp. 14-16 of filing instructions.)~j N O N E (No reportable agreements.)

DATE PARTIES AND TERMS


2/7

FINANCIAL DISCLOSURE REPORTPage 2 of 7

Name of Person Reportin gD O T Y , D A V I D S .

Da t e o f R e p o r t4/20/2011

I I I. N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of filing instructions.)A. Filers Non-Investm ent Incom e~] N O N E (No reportable non-investment income.)

D A T E _SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p o u s e 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 portion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

~ (No reportable income.)O N E non- inves tmentD A T E _ S O U R C E A N D TYPE

1 .2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertalnmen~(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

I.2.3.4.

5.

PURPOSE ITEMS PAID OR PROVIDED


3/7


N a m e o f P e r s o n R e p o r t in gD O T Y . D A V I D S .

Date of Report4/20/2011

V . G I F T S . a n e l . d e s those to spo,se a., dependent cMIdre,; see pp. 28-31 of filing instructions.)N O N E (]go reportab le gifts.)

SOURCE DESCRIPTIONI.

2.

3.

4.5.

VALUE

V I . L I A B I L I T I E S . a n t i, d e s th o , e o l s p o a s e ,n a d e p e n d e n t chi ldren see p p . 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1.

2.

3.

4.5.

VALUE CODE


4/7

FINANCIAL DISCLOSURE REPO RTPage 4 of 7

Name of Person ReportingD O T Y , D A V I D S .

Date of Repor t4/20/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n e o , . e , v a l u e , transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)--q N O N E (N o reportable income, 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 dur ing G r o s s v a l u e a t e n d

( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o dO) (~) (t) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e .g ., V alue V alue

e x e m p t fr o m p r i o r d i s c l o s u r e Code I d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q - W )

2.3.

4.5.

6.7.

8.9.

1 0 .1 1 .

1 2 .

1 3 .

1 5 .

1 6 .

1 7 .

P r ime Money Marke t RBC Inves tor Clas sP ooled Inves t . Comp as s Inves t .L a n g - N e I s o n B r o a d w a y L a n e l - R e a l E s t . L t d .Pt nshp He nn Co . MNIR A - RBC D ain Raus che r - Cus tod ian-P r ime Mo ney Marke t RBC Inves tor Clas s- T e m p l e t o n F o r e i g n F u n d-A mer ican Funds : Fundamenta l Inves tor s A- A m e r i c a n F u n d s : G r o w t h F u n d o f A m e r i caA- D O C P L A N E T . c o m , I n c . Y

A D i v i d e n d KA D i v i d e n d NC Rent L WB lnt./Div. N

Transactions during report ing period(4 ) (5 )

Gain Identity ofCode 1 buyer/se l le r(A-H) (if private

transaction)

(1 ) (2) (3)Type (e.g., Date Va l ue

buy, se l l , m m / d d / y y Code 2redempt ion) (J-P)

W e l l s F a r g o B a n kAT&T - c /sF o rd M ot o r Co . c /sMe dtox Sc i . , c / sCom cas t Corp . , A , c /sD u k e E n e r g y , c /sS e l ig m a n C o m mA lca te l Lucent

A InterestA D i v i d e n dA D i v i d e n dA D i v i d e n dA D i v i d e n dA D i v i d e n dA D i v i d e n dA D ividend

KJJJ

J

J

TTTT

S o l dS o l d

TT

05/25/10 J A12/09/10 J B

1. I ncome G ain Codes :( S ee C o l u m n s 13 1 an d D4 )

2,Value Codes( S e e C o l u m n s C I a n d D 3 )

3,Value Meth od Codes( S e e C o l u m n C 2 )

A=$1,000 orlessF =$50,001- $100,000J =$1 5 ,000 or l es sN =$2 5 0,001 - $5 00,000P3 =$25,000,001 - $ 50.000,000Q =AppraisalU =Book Value

B =$1 ,001 - $2 ,5 00G =$100,001- $1,000,000

K =$1 5 ,001 - $5 0 ,000O =$500,1)01 - $1,000,000R =Cos t ( R eal E s t a l e Only )V - O t h e r

C = $ 2 , 50 1 - $ 5 , 0 0 0H 1 =$ 1,000,001 - $5,000,000L =$50,001 - $ 100,000P I =$1,000,001 - $5,000,000P 4 = M o r e Ihan $ 50 , 0 0 0 , 0 00S - A s s e s s m e n tW =Es t imated

D=$5 ,001 - $1 5 ,000H2 =Mor e~ an $5 ,000,000M- S1 00,001 - $2 5 0,000P2=$5,000,001 o $25,000,000T =Cas h Mar k et

E =$1 5 ,001 - $5 0 ,000


5/7


Name of Person Reportin gDOTY, DAVID S.

Date of Report4/20/2011

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 (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)~ - - ~ N O N E (No reportable income, assets, or transactions.)

A. B. C,D escrip tion o f Asse ts Incom e during Gross va lue a t end(includ in g trust a sse ts) reporting period of reporting period

(I ) (2 ) (1) (2)Place "(X)" af ter each asset Amount Type (e .g., V a lu e V a lu e

exempt from p rior disclosure Code I div., r e n t , C od e 2 M ethod(A-H) o r i n t . ) ( J - P ) C ode 3( Q -W)

( 1 )Type (e.g.,

b u y , s e l l ,r e d e m p t i o n )

T r a n s a 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 V a l u e Gainm m/d d/yy C ode 2 C o de

O - e ) ( a - H )

( 5 )Identity of

b u y e r / s e l l e r(if private

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

18 . Spectra Energy A Dividend

1 9 . Abbot t L abo ra to ri es A Dividend

20 . First Energy Corp. A Dividend

J

J

J

TTT

B uy

B uy

12/14/10

12114/10

JJ

I . In c o m e G a i n C o d es : A =$1,000 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 an d D4 ) F =$ 50.001 - $ I O 0 , O O O G =$ 10 0,0 0 | - $ 1 .0 00 .0 00 H 1 =$ 1,0 00 ,0 01 - $ 5,0 00 ,0 00 H2 =More than $5,000,0002, Value Codes J =$15.000 or less K =$1 5 , 0 0 1 - $5 0 , 0 0 0 L =$50,001 - $ 100,000 M =$ 1 0 0 , 0 0 1 - $2 5 0 ,0 0 0( S ee C o l u m n s C I an d D3 ) N =$250.001 - $500,000 O =$ 50 0,0 01 - $ |,00 0,00 0 P I = $1 .0 00 ,0 01 - $ 5,0 00 ,0 00 P2 =$5,000,001 - $25,000,000

P3 - $25,000 ,0 01 - $5 0 ,0 00,000 P 4 = M ore th an $ 50 ,0 00 ,0 003, Value Method Codes Q = Ap p r a i ~ l R ~C o sI ( Rea l E s t a t e On l y) S = Assessm en t T = C a s h M a r k e t(See Colun~n C2) U = B o o k Va l u e V : O t h e r W = E st i m a t ed

E = $ 15 , 0 0 1 - $ 50 .0 0 0


6/7


Name of P e r son Repor t ingD O T Y , D A V I D S .

Date o f Report4/20/201 I

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 . (lndicatepart of report.)


7/7


N a m e o f P e r so n R e p o r t i n gD O T Y , D A V I D S .

Date o f Report4/20/201 I

IX. CERTIFICATION.1 c e r t i f y th a t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l 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 i l d r e n , if a n y ) i sa c c u r a t e , tr u 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 l d b e c a u s e i t m e t a p p l i c a b l e s t a t u 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 .1 f u r t h e r c e rt i f y th 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 c e p t a n c e o f g i ft 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 u d i 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] DAVID S. DOTY

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 U L L Y F A L S IF IE S O R F A IL S T O F I LE 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 ILA 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 4 )

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA d m i n i s tr a t i v e O f f i c e o f t h e U n i t e d S t a t e s Co u r t sSui t e 2-301O n e C o l u m b u s C i r c le , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

Documents

David S Doty Financial Disclosure Report for 2010