Marvin E Aspen Financial Disclosure Report for 2010

8/3/2019 Marvin E Aspen Financial Disclosure Report for 2010

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r A O 1 0Rev. 1/2011 FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 20 10 Report Required by the Ethicsin Government Act of 1978(5 U.S .C. app. 101-111)1 . Person R epor t ing ( las t name, f i r s t , middle in i t ia l)A s p e n , M a r v i n E .

4. Tit le (Art ic le I I1 judges indicate ac t ive or senior s ta tus ;magistrate judges indicate full- or part- time)

L r N I T E D S T A T E S D I S T R I C T J

7. Chambers o r Office Address2 1 9 S O U T H D E A R B O R N S T R E E TR O O M 2 5 7 8CHICA GO, IL 6 0 6 0 4

2 . Court or Organizat ionU . S . D I S T R I C T C O U R T

3. D a t e o f R e p o r t06/21/2011

5a. Report Type (check appropriate type)] N o m i n a t i o n , Da te[] Initial [] Annua! [] Final5b. [] Amended Reporl8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliancew 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 .

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

Reviewing Officer D a t e

IMPOR TANT NO TES: The ins truct ions accom panying th is form mus t be fo l iowecL Com ple te al l par ts ,checking the NONE box for each part where you have no re portable information. Sign on last page.

I . P O S I T I O N S . r g ,p o - in g individual only; see pp. 9-13 of filing instructions.)D N O N E (No reportable positions.)

POSITION1. B O A R D O F D I R E C T O R S

NAME OF ORGANIZATION/ENTITYAMERICAN BAR ASSOCIATION/AMERICAN BAR ASSOCIATIONRE T IRE ME N T F UN D S

I I . A G R E E M E N T S . ( R ep o s in g i n d i v i d u a l onty; s e e p p . 1 4 - 1 6 of.filing instructions.)~] N O N E ( N o reportable agreements.)

D A T E PARTIES AND TERM S


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F I N A N C I A L D I SC L O S U R E R E P O R TPage 2 of 9

N a m e o f P e r s o n R e p o r t i n gAspen, Marvin E.

D a t e o f R e p o r t06/21/2011

I ll . N O N -I N V E S T M E N T I N C O M E . ~epo~ ing indiv iduo~ a .#spouse: se . ,~ . 17-Z# of , ,ng in, ru, ions .~Ao Filers Non-Investment Incom e~ N O N E non-investment income.)N o reportable

D A T E SO U R CE AND T Y P E INCO M E(yours , not spouses )1.20 ! 0 ST A T E OF IL L IN OIS (PE N SION ) $23,144.522 . 2 0 1 0 T H E R U T T E R G R O U P ( R O Y A L T I E S ) $3,708.0 I3.4.

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

D A T E . SOURCE AND TYPE1 .2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment.( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 2 5 - 2 7 o f f i l in g i n s t r u c t i o n ~ . )[~ NONE(No reportable reimbursements.)

SOURCE D A T E S LOCATIONA M E R I C A N B A R 2/11-2/15/10A S S O C I A T IO N A N D A B AR E T I R E M E N T F U N D S

San Diego, CA

2. AM ERICAN BAR 2/23-2/27/10 Lainai, HAA S S O C I A T IO N A N D A B AR E T I R E M E N T F U N D SAM ERI C AN BAR 8/5o9/!0A SSOCIA T ION A N D A BARE T IRE ME N T F UN D S

Sa n F ra nc i sc o , CA

4. AMERICAN BAR 9/21-9/26/10 Phi ladelphia , PAA SSOCIA T ION A N D A BARE T IRE ME N T F UN D S

M e e t i n g

M e e ti n g

Meet ing

M e e ti n g

PURPOSE ITEMS PAID OR PROVIDEDT ra v e l - r e l a te d e xpe nse s / c oa c h a i r ; h o t e l ;m e a l s

Travel -re l a t ed expenses /coach a i r , hote l ,m e a l s

Travel -re la ted expenses/coach a i r , hote l ,m e a l s

Travel -re la ted expenses/coach a i r , hote l ,m e a l s


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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 TPage 3 of 9

N a m e o f P e r so n R e p o r t in gA s p e n , M a r v i n E .

D a t e o f R e p o r t06/21/2011

5. A ME RICA N BA R t 2 /1 - 5 /10A SSOCIA T ION A N D A BAR E T I R E M E NT F U N D SK ey B isca yne , F L M eeting Trave l - re l a ted ex pens es /coach a i r , ho t e l ,m e a l s


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F I N A N C I A L p a g e 4 o f 9 D I S C L O S U R E R E P O R T I N a m e A s p e n , O f P e r s o n M a r v i n R e p o r t l n g E .

V . G I F T S . a n c l u d e s , h o s e t o sp o . . . . . d dependent children; see pp. 2 8 - 3 1 of filing instructions.)NONE (No reportable gifts.)

S OURCE DE S CRIP T ION1.

2.

3.

4.

5.

Date o f Repor t0 6 1 2 1 1 2 0 1 1

VALUE

V I . L I A B I L I T I E S . a n e W . d e s th o s e o y s p ...... d dependent children; see pp. 32-33 of filing instructions.)N O N E (No reportable liabilities.)

C R E D IT O R D E SC R IPT IO NI.

2.

3.

4.

5.

VALUECODE


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F I N A N C IA L D I S C L O S U R E R E P O R TPage 5 of 9

N a m e o f P e r s o n R e p o r t i n gAspen, Marvin E.

Date o f Repor t06/21/2011

V I 1 . I N V E S T M E N T S a n d T R U S T S - i n .. . . . . . I , e o , ..... c t i o n s ( I n c l u d e s t h o s e o f s p o u s e a n d dependent c h i l d r e n ; s e e p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )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( in c lu d in g m~s t a s se t s ) r e p o r t i n g p e r i o d

(1) (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 Type (e.g.,

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I di v . , ren t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

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

C o d e 2 M e t h o d( J - P ) C o d e 3

( Q - W )

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

b uy , se 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) ( 5 )D a t e V a l u e G a i n I d e n t i t y o f

m m / d d ! y y C o d e 2 C o d e 1 b u ye r /se lle r( J - P ) ( A - H ) ( i f p r i v a t e

t r a n sa c t io n )

2.3.~ 4 .

5.6.

7.8.

9.

t0.

II.

J.P. M ORGANCHASE C Interest M YFIRST BANK OF H IGHLAND PARK A I n t e r e s t JA M E R I C A N T E L E P H O N E &T E L EG R A P H C O . ( C O M M O N S T O C K )E X XO N M O B I L C O R P O R A T I O N( C O M M O N S T O C K )PA CIF IC GA S & E L E CT RIC CO.( C O M M O N S TO C K)P FI ZER, I NC . ( C O M M O N S TO C K )

A DividendB Di vA DividendC Di v

K

L

J

L

T Bu y 0 1 /2 7 /10TTT Bu y 01/27/10i

C O M M E R C I A L B U I L D IN G ,N O R T H B R O O K , I L ( LT D P T N R S H P )S BC C O M M U NI C ATI O NS ( C O M M O NS T O C K )B E L L S O U T H E R N ( C O M M O N S T O C K )

D Di v i dend

B D ivB D iv

S o l d 07/21/10 iS o l d 0 1 / 2 7 / 1 0

K

K

B

B

B S V ( L IM I T E D P A R T N E R S H I P ) F Dividend L UM I C R O S O F T C O R P . A Di v i dend L T B u y 07/21/10i L

1 2 . N A S D A Q 1 0 0 T R U S T S E R I

1 3 . M A N U A L F I N A N C I A L C O R P1 4 . I DE AR S , I NC . X

1 5 . I N T E G R Y S E N ER G Y G R O U P X

1 6 . I N T E LC O R P X

1 7 . L S I C O R P X

A DividendA DividendA DividendA DividendA Dividend

A Dividend

J

J

J

J

T

T

S o l dI S o l d

T

T

01/27/10 J A

07/21 /10 J A

I. Income Gain Codes:(See Columns 131 and D4)2 . Value Codes( S ee C olumns C I and D 3 )

3. Vnlue Method Codes( S ee C olumn C 2 )

A =S 1 ,000 or lessF = $ 5 0 , 0 O t - S 1 0 0 , 0 0 OJ =SI 5,000 or lessN =$250,001 - $500,000P 3 = $ 2 5 , 0 0 0 o 0 0 1 o $ 5 0 , 0 0 0 , 0 0 0Q=AppraisalU = 1 3 o o k V a l u e

B =Sl ,O01 - S 2 , 5 0 0G = $ 1 0 0 , O 0 1 - S I , O 0 O , O 0 0K =$15,091 - S50.0000 =$500,001 $1.000,000R =Cost (Renl Estate Only)V - - O t h e r

C = $ 2 ,50 t -H I =$ 1 .000,001 - S 5 . 0 0 0 , 0 0 0L =$50,001 - $ 1 0 0 , 0 0 0PI =$1,000,001 -P4 =More than $50,000.000S =A ssessm en tW =Estimated

D =$5 , o ~1 -H2 =More thanM =$1 00, 001 - $ 2 5 0 . 0 0 0P2 =$5.000.001 -T = C as h Mar k et

E =$15,001 . $50.000


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FINANCIAL DISCLOSURE REPO RTPage 6 of 9N a m e o f P e r s o n R e p o r ti n gAspen, Marvin E.

D a t e o f R e p o r t06/2U2011

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 m e , v a l .e , t r a .~ a c t i o ~ a n c Z . d e s , h o s e o f s p o . s e a n d depen den t c hi ldr en ; s ee p p . 3 4 - 6 0 of fil ing instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.Description of Assets Income during Gross value a t e n d(including trust assets) r e p o r ti n g p e r i o d o f r e p o r t i n g p e r i o d

(]) (2) (1 ) (2)

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

( i ) ( 2 ) ( 3 ) ( 4 )Place "(X)" after each asset A m o u n t T y p e ( e . g . ,

e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , ren t .( A - H ) o r in t . )

1 8 . M ORGAN STANLEY X A Dividend1 9 . M OTOROLA X A D i ~ ; i d e n d20 . P & G CORP X 1 3 Dividend21 . RELIANT ENERGY, INC. X A Dividend22 . TEREX CORPX A Dividend23. W EATHERFORD INT. LTD. X A Dividend2 4. A LL ST AT E C OR P X A Dividend2 5. C ON NO CO PH I LL IP S X A Dividend26 . GENERAL EELECTRIC CO X A Dividend27 . EMB ARQ CORP. X A Dividend28 . H EWLETT PACKARD CO. X A Dividend29. SPRINTNEXTEL CORP. X A Dividend3 0 . T E X AS I N S T R U M E N T S I N C X A Dividend31. VIACOM INTL. X A Dividend32. FIDELITY M UTUAL FUND X B Dividend33. DREYFUS M UTUAL FUNDX B Dividend

34. SIT INVESTM ENT ASSOC. MUTUAL B DividendFUND X

Va l u e V a l u e T y p e ( e . g . , Da te V a l u e Ga inC o d e 2 M e th o d b u y, s e l l. m m / d d / y y C o d e 2 C o d e

( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H )(Q -W)

JK

J

JJ

J

J

J

JK

K

K

TT

TTT

T

T

T

T

T

T

T

S o l d 04113/101

S old 0 1 /2 7 /10Sold 01/27110Sold 01/27/10

S o l d 01 /27/10

AAA

(s)I d e n t i t y o f

bu ye r l sc l lc r( i f p r i v a t e

t r a n sa c t io n

I . I n co m e G a i n Co d es : A =$1,000 or less B = SI ,001 - $2 ,500 C =$2.5 0t - $ 5 , 0 0 0 D =$5 . 001 - S I 5 , 0 0 0( S e e C o l u m n s B I a n d D 4 ) F = $5 0,001 - $1 00,000 G = S 1 00,001 - $ t,000,000 H I =S I .0 0 0 , 0 0 t - $5 .~, , 0 ~, H2 =More than S5,000.000

2. Value Codes J =$15,000 or less K =$ I 5 .~01 - $50,000 L = $ 5 0 . 0 0 1 - $ I 0 O , 0 0 0 M =$100,001 - S250,000(See Co l u m n s CI and D3) N =$25 0,001 - $500.000 O =$5 00.001 - $1,000,0~0 P l =$1 ,000.001 - $5 .000.000 P2 =$5,000.001. $25,000,000

?3 =S25,(E10,001 - $50,000,000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =A ssessm en t T = C as h Mar k et( S ee C olumn C 2 ) U =Bo o k V al u e V = O ~ h ~ r W =Estimaled

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


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N a m e o f P e r so n R e p o r t in gAs pen, M arv in E .

D a t e o f R e p o r t06/21/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, val,,, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)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( in c lu d in g t ru s t a s se t s ) re p o r t in g p e r io d

0) (2)P l a c e " ( X ) " a f i e ~ e a c h a s s e t A m o u n t T y p ~ ( e . g . ,e x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , ren t ,( A - H ) o r in t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d0) (2)

V al ue V a l u eC o d e 2 M e t h o d

( J - P ) C o d e 3

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

(I) (2) (3) (4)T y p e ( e . g ., Da te V a l u e Ga inbu y , s e l l , m m / d d / y y C o d e 2 C o d e 1

re d e m p t i o n ) ( J-P ) (A -H )

1 5 )l den t i t3, ofbu ye r / se l le r( i f p r i v a t e

t r a n sa c t io n )

35 . W A T E R T E C H I N C . A D i v i d e n d

36 . W E S T E R N D I G I T A L C O R P A D i v i d e n d

37 . I A B I L C I R C U I T I N C . A D i v i d e n d

JJJ

TT

T

B u y 10/20/10B u y 07/21 /10

B u y 04/16/10

J

J

J

I . I n co m e G a i n Co d es : A =S 1 ,000 or less B =51,001 - 52,500 C = 5 2,5 01 - $5 ,000 D = $5 ,001 - 5 15 .000( S ee C olumns B I and D 4 ) F =S5 0, 001 - S I 00,000 G = $1 00 ,0 01 - $ 1,0 00 ,0 00 H I = $1 ,0 00 ,0 01 - $ 5,0 00 ,0 00 1 " 1 2 = M o r e th a n $ 5 . 0 0 0 , 0 0 02. Value Codes J =Sl 5 ,O00 or less K =515,001 - S50,000 L =$50,001 - $100,000 M =$100,001 - S250,000( S ee C olumns C I and D 3 ) hi =S250.001 - S50 0.000 O =~;500.001 . 51 ,000.000 Pl =51,000,001 - 55,000,000 P2 =55 ,000,001 - 525 ,000.000

P3 =$25,000,001 - 550,000,000 P 4 =MoTe than $50,000,0003. Value Method Codes Q =Appraisal R =Cost {R eal Estate Only) S =Ass~ssraen t T = C as h Mar k el(S ee Column C2) O =Bo o k V al u e V = O ther W = Estim ated

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


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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 TPage 8 of 9 Iam e of Pe rson Report ingA s p e n , M a r v i n E . D a t e o f R e p o r t06/21/201

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS. (lndicateportofrepon.)


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Name of Person Repor t ingA s p e n , M a r v i n E .

Date of Repor t06 /21/2011

IX. CERTIFICATION.! c e r t i fy t h 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 lu 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 s

a c c u ra t e , t r u e , a n d c o m p l e t e t o t he be s t o f m y kn o w l e d g e a n d be l i e f , a n d t ha t a n y i n fo rm a t i o n n o t r e p o r t e d w a s w i thhe l d be c a u se i t m e t a p p l i c a b l e s t a t u t o ryp ro v i s i o n s p e rm i t t i n g n o n - d i sc l o su re .! f u r t he r c e r t i fy t ha t e a rn e d i n c o m e f ro m o u t s i d e e m p l o ym e n t a n d ho n o ra r i a a n d t he a c c e p t a n c e o f g i f t s w hi c h ha ve be 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 th 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 io n s .

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 1 L F U L L Y F A L S I F I E S O R F A L 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 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 )

Committee on Financial DisclosureAdm inistrative Office of th e United States Cour tsSuite 2-301One Columb us Circle, N.E.W ashington, D.C. 20544

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Marvin E Aspen Financial Disclosure Report for 2010