Roger L Wollman Financial Disclosure Report for 2009

8/3/2019 Roger L Wollman Financial Disclosure Report for 2009

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no 10 ]FINANCIAL DISCLOSURE REPORT nepor,in GovernmentRequied ActbY thR e v 1 / : o ~ o FO R CALENDAR Y EAR 2009 ( 5 [ ] . s .c . a p p . I O 1 - 1 I I )

1. Person Reporting (Lasl name, first, middle ]mtm l) 2. Court or 0rganiz~tion 3~ Date of ReportWOLLMAN, ROGER L U S.C A.-EIG HTH C I RCUIT 4/21/2010

4, Title (Article 111 judges indicate aeuve or semor s~tus, 5a. Report T~,pe (check approprmte type) 6. Reporting Periodmagt~l.ratc Judges md~catc fitll- or par~-hmc)[] Nommaho~t, Dale 01/01/2009

U.S CIRCUIT JUDGE(ACTIVE) [] Imtml ~ ~ A n n u a l [] Final to12/3112009: Sb. [] Amended Report

7. Chamber~ or O ffice Address 8, On the basis of the information contained in this Report and an)modifications pertaining thereto, it ~s, in my opinion, in complianc e315 U S COURTHOUSE wtth applicable laws and rel~ulat~ons,400 S. PHILLIPS AVENUESIOUX FALLS, SD 57104-6851 Reviewing Officer_ Date

I M P O R T A N T N O T E S : The instructions accompanying this form mast be followed. Complete alt parts,checking the NONI~ box for each parl where you have no reportable information. Sign on last page.

I . P O S I T I O N S . t ~ , ~ o r a , ~ i.~i,~.~t o n ~ , ; ,e e ~ , . ~ - ~ o ~ y U i .~ i . , ~ . ~ , . . . . ~N O N E (No reportable positions.)

_POSITION NAME OF ORGANIZATION/ENTITYI.234

.D

1 I . A G R E E M E N T S . ~,ma,x ~, ,a, , .~, ,~ o,~.; . , , , ~. ~. tn o/~ti,~ instruct ..... )~ NONE (No reportable agreements.)

DATE pARTIES ~N~ TERMSI. As a foyer mem ber of the South Dakota State Jud~c~, 1 have a vested interest m the South Dakota RetirementSystem. South Dakota (contd Part VIII)


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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 T Name of P .... R e p o r t i n g [ Date o f Repor~ [Page 2 of 7 W O L L ~ a . ~ , N , R O C F . R L . 4 / 2 ~ : 2 0 1 0

I lL N O N - I N ~ S T M E N T I N C O M E . ~,~,,~ individual andsp .... ; seepp. 17-24 of f i l ing ins truct iong)A. F liers Non-Investm ent Income

NONE (No reportable non-investment income.)

~ SOURCE AND TYPE ~(yours, aot apousesJ1 2009 Retirement benefi~ from S D Rettrement System $36,170.76

2.

3.4.

B. Spouses Non-Investment l~eonle - t f ~ ,ou weve married during any po~tion of the ve~ottng year, complete thts sctto~( D o l l a r a m o u n t n o t r e q u i r e d ~ c p t o r h o n o t a r ~ a )~ NONE (No reportable non-investment income.)

DATE ~URCE ANDTYPE1.23.

I V . R E I M B U R S E M E N T S - , ,, ,~ p o r , o , lo . . I o d ~ , ,~ , rood. e, t , , ,o i . . . . . L{ I n c l u d e s t h o . ~ t o s p o u s e a n d depetldenl c h d d r e n , s e e p p 2 5 - 2 7 o f f i l in g m tructton~ ,)

~ NONE (No reportable reimbursements )~ ]~ATES LOCATION pURPOSE ITEMS PAID OR PROVIDED

1 The American Society of Match 1 g-20 Washington, De M eet~ng-Judtcml Adv Bd. Transportation, mcal~, lodgingInterrtatmnal Law2. American University October 23-25 W ashington, DC M oot Court lransporta~:mn, meals, lodging3.4.5


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Iame of Person Reporting I Date of ReportF I N A N C I A L p a g e 3 o f 7 D I S C L O S U R E R E P O R T ] WOLLMAN, R O G I E R L.I

4 / 2 1 / 2 0 1 0

V . G I F T S . a , c : u ~ e s , ~ o s ~ , o , v . . .. .. .. ~ dependent children; ~ e e p p . 2 ~ - 3 1 of f!~ng i~trnct,ons.)N O N E (No reportable g~s.)

~ DESC R I PTI ON VALU~l2.3.45.

V I . L ! A B I L I T I E S . a n c ~ , ~ e s t h o s e o / s p . . .. . . ~ dependent children; see p p . 3 2 - 3 3 of f!llng instructions.)N O N E (No ~eportable tiabihties" )

C R E D I T O R D E S C R I P T I O N V A L U ~ . _ Q . O _ D _ ~1.23.

5


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FINANCIAL DISCLOSURE REPORT : N .... o f P e r s o n R e p o r t i n g i D a t e o f R e p o r t ]Page 4 of 7 W OLLMAN, R O G E R L . 4 1 2 1 1 2 0 1 0

V II. INVESTM ENTS and TRUSTS - ~. ........ t.e, tr . . . . . l ions (Includes those o] sp .... . . . d d e p e n d e n t 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 . )~ NO N E (No reportable income, assets, or transactions.)A B C. D.

I ~ s c r ~ p tl o n o ~ A s ~ l s ~ome dunng G r o s s v a J u e a t e n d T~nsact~ons during re,rims ~nod0~luding t~st ~sets) 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 dPlace " (X)" aa . . . .. h . . . . t A .... t t ~ e ( e g , V a l u ~ V a l u e ] T y p e ( e . g . , Date Value I Ga,n ] l d e n t ,U o fexempthompr,ord,sclosure C~e ~ ! 1 buy,~ll, m~d~ Code: I Code I / b u y e r / s e l l e r( A - H } print) ( J - P ) [ Code3 I r e d e m p u o n ) ( J - P ) ] (A-H)] 0fpnvate( Q - W ) [ . t r a n s a e u o n )

1. Ummproved p~ture and crop land in Spmk E R e n ~ M W See note in Parl VlllCounty, SD2 Ummproved pas~re and crop land m Spink B K WCounty, SD3 (own an undivided 1/5 imerest as tenant m4. Undivided I/5 interest in f~land described B " K W~mmedmtely5 a~ve

~ 6 American Century Investments Select B Dividend L TM utual Fund, IRA7 Patronage account m South Dakota I None J TW heat-growers Assn8 Farm Machinery None J W9 American Century Investments Select B Dividend K T

M utual Fund, IRAi0. American Century Inves tments Selec t A Dividend K TM utual Fund

11 Accounts. Well~ Fargo Bank D Interest N " F12 Vanguard Index Balanced M utual Fund A Dividend K T

1 3 V a ng ua rd 5 00 In de x M u tu al Fu nd D Dividend N T14 Vanguard Total Stock M arket Index M utual D Dividend N TI Fund15 Northwestern M ututal Life Insurance D Dividend M TCo -Whole Life

[ 16 American United Life Insurance Co.-W hole A Dividend Redeem ed 06/08/09 J C [Life17 BlackRnlge Financial Common None L U


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Page 5 of 7 W O L L M A N , R O G E R L . 4 / 2 1 1 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - ~ ........ I , , , , . . . . . . . ~ ( Inc ludes those o f sp . . . . . . d dependen t ch i l dren; seerp . 34-60 of f i l ing ins truc t lons , )[] NONE (No reportable income, ~sets, or transactto~ )

~S~IlptIoo of Assets G r o s s v a l u e a t e n d Transactions during re~mng ~riod(including t~sl ~sets) ~ rc~i~ pcri~ o f r e p o m n g p e r i od ~Place"IX)" a~ ..... h as~t [~mount T~ (e g, Value ] Value T~ (e.g, D a t e [ Value [ Gain / l d e a t l t y o f

[ (A-If) o r m r ) ( J - P ) ~ Coae 3 r e d e m p t i o n ) / (J~) ~a-n) ] 0fpmate

1 8 . Accoums, Dacomh Bank D Interest Redeemed 04/23/09 M C19 Accounls, First Dakota Natmnal Bank A Interest Redeemed 0 4 1 0 7 1 0 9 K A2 0 . First Trust Po~R~lios LP F~rst Trust Um~ C Dw~dend Sold 0 5 1 1 9 1 0 9 L1574, Dividend2 1 . & Income Select Closed End M utual FundPortfolio2 2 . First Trust Umt Porfohos LP F~rst Trust Um~ A Dividend Sold 0 5 1 1 9 / 0 9 L1 5 8 9 ,2 3 . Target 10 Mutual Fund2 4 . W ells F~go l~vestments, C~h Sweep A Interest J Tbloney Market M mual Fund2 5 . Credit Smsse Tier 1 Capful Notes D Interest L T26 Lehman B ros Holdings. Inc Prefe~ed None J T27 . HSBC tloldmgs PI.C PerpetuaISub Capital D Dividend K TSecurities28 Accounts. (heat Western Bank E Interest O T

t lncornt Gain Code~ A =$1 0Or) trr less B " $ 1.001 - $ 2,500 C ~$ 2 501 - $5,004} D =$5,001 - $15,0~) E =$15,001 - $50.000


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IName of Person Reporting Date of ReportF I N A N C I A L DI S C L O S UR E R E P O R T] WOLLMAN, ROGER L. 4/21/2010

Page 6 of 7V I I I . A D D I T I O 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 . (lndicatepartofRepor~)

P a r t I I A g r e e m e n t s , c o n t in u e d . .Cod~tSed Laws Chapter 3-12. Upon my resignation from the Supeem Cou r~ of Sou th Dakota on S~, 198 5. l left my contributions m the System. I begandrawing retirement benefits in M ay 198 9. These b~aefits wdl continue u ntil my death. Thereafter)~ ], If--~ survlves me, wi[[ receive one-half of theb e n e f h s I w a s r e c e i v i n g a t t h e t |m e o f m y d e a t h .

P a r t V I I . I n v e s t m e n t s a n d T r u s t sS e e L i n g I , B . (2 ) : R e n t , G o v t P a y m e n t s ( C o n s e r v a t i o n R e s e r v e P r o g r a m p a y m e n e 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 T r~ .... f P .... R e p o r t i n g 1 D a t e o f R e p o r tPage 7 of 7 W OLLM AN, ROGER L. 4 1 2 1 / 2 0 1 0IX. CERTIFICATION.

I certiO that all information given abov e {including information pertaining to my spouse and m inor or dependent children, if any) isaccurate, true, and complete to the best of nay know ledge and belief, and that any information not reported wa s withheld because it m et applicable statutoryprovisions permitting non-disclosure.I fi~rther certify that earned income from outside employm ent and honoraria and the ~cee ptance of gifts which have b een reported are incompliance w ith the provisions of 5 U.S.C. app. S01 et, seq., 5 U.S.C. 735 3, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WH O KNOW INGLY AND W ILFULLY FALSIFIES OR FALLS TO FILE Tills REPORT M AY B E SUBJECT TO CIVILAND CRIM INAl. SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to"

Commtttee on Financial DisclosureAdm~m strative Office of the United States CourtsSuite 2-301One Colum bus Circle, N.E.W ashington, D.C. 20544

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Roger L Wollman Financial Disclosure Report for 2009