Wade Brorby Financial Disclosure Report for 2010

8/3/2019 Wade Brorby Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

1. Person Repor ting ( las t name, f ir s t , middle init ial)B R O R B Y , W A D E

4. Ti t l e (Ar t ic le I l l judges indica te ac t ive or senior s t a tus ;magis t ra te judges indicate fu l l - or par t - t ime)

Circu i t Jud g e - Sen io r

7 . C ha m be r s o r O f f ic e Ad d r e s sP . O. B o x 1 0 2 8C h eyenne , WY 8 2 0 0 3

2. Court or Organiza t ionTenth Ci rcui t

3. Date of Repor t04/11/2011

5a . Report Type (check ap propria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5h. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Repo rt and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in compliancewith appl icable l aws and regula t ions .

Reviewing Off icer Date

6. Report ing Pe riod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,checking the NONE bo x for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ( R e v o m n g individual only; seepp. 9-13 of f iling instructions. )~] N O N E ( N o reportable positions.)

POSITION1 . Co-Trus t ee T r u s t # 12.3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . m e v o r t in g i n d i v id . a l o n l y ; ~ e ~ V V . 1 4 - 1 6 o f f i l i n g instruct lon~)~] N O N E ( N o reportable agreements.)

D A T E P A R T IE S A N D T E R M S


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FINANCIAL DISCLOSURE REPO RTPage 2 of 9

N a m e o f P e r s o n R e p o r t in gBRORBY, WADE

D a t e o f R e p o r t04/11/2011

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

DATE SOURCE AND TYPE "

2.3.4.

I N C O M E(yours , not spouses)

B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If you were married during anyportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

~] N O N E (No reportable non-investment income.)DATE SOURCE AND TYPE

1.11/25/10 Prud en t ia l In su ran ce - Po l icy D iv id en d - See P ar t VII I2.3.4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, en t er ta inment .(Includes those to spouse and dependent children; see pp. 25-2 7 of f!ling instructions.)

N O N E ( N o reportable reimbursements.)SOURCE DATES LOCATION

1 .2.3.4.5.

P U R P O S E ITEM S PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 o f 9

N a m e o f P e r s o n R e p o r t i n gBRORBY, WADE

D a t e o f R e p o r t04/I 1/2011

V . G I F T S . a n c l u d e s those to spouse and dependent children; seepp. 28-31 of f!ling instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION

1 .2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n a u d e s those of spouse and dependent children; see pp. 32-33 of filing instructions.)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUE CODE


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N a m e o f P e r s o n R e p o r t in gB R O R B Y , W A D E

D a t e o f R e p o r t04/11/2011

V I I . I N V E S T M E N T S a n d T R U S T S - incom e, value, transactions (Includes those of spouse and depe nden t children ; see pp. 34-60 of fi ling in structions.)N O N E ( N o 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 l u d i n g t r u s t a s s e t s )Place "(X)" after each asset

exempt from prior disclosure

B. C. D.Inco m e d urin g G ro ss va lue a t e n d Transactions during reporting periodreporting period of reporting period

[1 ) (2 ) (1) (2) (1). (2) . (3) (4) (5 )A m o u n t Type (e.g. , V a l ue Value Type (e.g. , D a t e Val ue G a i n IdentityofCode 1 div., rent, Cod e 2 M ethod buy~ se l l~ m m /d d!yy Co de 2 Code I buyer/ se l le r .(A-H) O-P) (A-H) (if privatetransaction)

1. IRA#l: E Int . /Div. N T2. - - A c a d ia n E m e r g i n g M a r k e t s P o r t f o l io( A E M G X )3, - -Amer ican Century M id-Cap Va lue Fund

( A C M V X )4. - - Ar t io I n t l Equ i t y Fund (BJBI X)

Sold 06/11/10 JBu y 10/14/10 JSold 10/14/10 K

5. - - B a r o n S m a l l C a p F u n d ( B S C F X ) Bu y 10/14/10 J6. - - D o d g e & C o x I n t l St o c k F u n d ( D O D F X )7. - -Dreyfus Bond M kt . Index Bas ic Shares( D B I R X )8. - - E n e r g y S e le c t S e c to r S P D R F u n d ( X L E )

Bu y 01/29/10 KBu y 06/16/10 J

9. - -Fede ra t ed Tota l Re t n Bond (FTRFX)1 0 . - -Fi r s t N a t l ISE Revere N a t . Gas (FCG) Bu y 06/16/10 J1 1 . - - Is h a r e s T R B a r c l a y s A g g . B o n d F u n d( A G G )1 2 . - - I s ha res Trus t S & P 500 Index Fun d ( IVV)

Sold 01/29/10 K B

1 3 . - - L o o m i s S a y le s B o n d F u n d ( L S B R X ) So ld 10114/10 K A1 4 . --Manning & Na p i e r Wor l d Opp t y .( E X W A X )1 5 . - - Ma t t he ws Pa ci f ic T i ge r Fund (MAPT X ) Bu y 10/14/10 J

1 6 . - -M FS In t lN ew Dis cove ry (M IDAX ) B u y 10/14/10 J1 7 . - -Oppenhe imer Deve lop ing M kts .( O D M A X )

B u y 10/14/10 J

1. In co m e G a in Co d es : A = $1,000 o r le ss B =$1,00! - $2,500( See Columns B I and D4 ) F -$ 50,001 - $100,000 G =$100,001 - $ i,000,000

2 . V alue Codes J =$15,000 or less K =$15,001 - $50;000( See Columns C I and D3 ) N =$250,001 - $500,000 O =$500,001 - $1~000,000

P3 -$25,000,001 - $50,000,0003 . V alue Meth od Codes Q =A p p r a i sa l R =Cost (Real Estate Only)(Se e Co lum n C 2) U = B o ok V alue V = Oth er

C =$2,501 - $5,000HI =$1,000,001 - $5,000,000L =$50,001 - $100,000PI =$ 1,000,001 - $ 5,000,000P 4 =M o r e t han $50 , 000 , 000S = As s es s mentW = Es t imated

D = $ ~ , 0 0 1 - $ 1 5 , o o oH2 dM0re than $51000,oooM - - $ 1 0 0 ; 0 0 1 - $ 2 5 0 ~ 0 0 0t , 2 = $ 5 ; o o o ; o o l ~ $ 2 5 ! 0 0 0 , 00 0T = C a s h M a r k e t

E =$15,001- $50,000


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FINANCIAL DISCLOSURE REPORTPage 5 of 9 Ia m e o f P e r s o n R e p o r t in gBRORBY, WADE Date of Report04/11/2011

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 c o m e , v , l. e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s( i n c l u d i n g t r u s t a s s e t s )

Place "(X)" after each asset

B. C .... D,Income dur ing Gross va lue a t end Transa~t ibns dur ing repor t ing per io drepo rting period of reporting period

( 1 ) ( 2 ) (1~ (2) (1) ..... . (2) (3) (4) (5 )A m o u n t Type (e.g, Va lue Value T y p e ( e : g . ~ Date Value Gain Identity of

Method buy, se l l ; mm/dd/yy Code 2 Code, 1 buyer/sellerCode 3 redempt ion) (J-P) (A~H) : (if private(Q-W) t r a n s a c t i o n )

1 8 . - - P a r n a ss u s E q u i ty I n c o m e F u n d ( P R B L X )1 9 . - - P im c o F o r e i g n B o n d F u n d ( P F O D X )20 . - - P i m c o T o t a l R e m m F u n d C l a s s D

(PT T DX)21 . - - R o y c e P e n n s y lv a n i a ( P E N N X )22 . - - R o y c e T R F u n d ( R Y T R X )23 . - - S ch w a b C a s h R e s e r v e s ( SW S X X ) * * ( X )24 . - -Sec to r SPD R F in an cia l Se lec t Shares( X L F )25 .

Bu y 10/14/10

Sold 10/14/10

Bu y 06/16/10So ld 10/18/10

JJ

B

A26 . - - S e ct o r S P D R T e c h S e l e c t S ha r e s ( X L K )27 . - - S P D R S & P D i v . E T F ( S D Y )28 . - -Temple ton Globa l Bond Fund (TP ICZ )29 . - - U MB S cou t I n t e rna ti ona l Fund (U MBW X I30 . T R U S T # l : Int . /Div. O T

So ld 06/11/10 K(par t)Bu y 10/18/10 J

31 .32 .

33 .34 .

- - A m e r i c a n C e n t u r y T a x F r e e B d . I n v .( T W T I X )- - D a v is N Y V e n t u r e F d ( N Y V T X )

- - I s ha res Trus t S& P 500 ( IVV)

So ld 01/19/10(pm)So ld 01/19/10( p a r t )Buy 10/12/10(add l )

JJ

J

B

A

1. income Gain Codes:( S e e C o l u m n s B I a n d D 4 )

2 . V alue Codes( See Columns CI and D3 )

3. V alue Meth od Codes( See Column C2 )

A = $ 1 ,0 0 0 O r l e s ~F = $ 5 o , o o 1 - $ 1 o o , o o oJ =$15 , 000 o r l e s sN =$250,001 * $500,000P3=$25,000,001 - $50,000,000Q=A p p r a i sa lU = Book V alue

B =$1,001- $2,500o = $ t 0 0 , 0 0 1 - $ 1 , 0 0 0 ,0 0 0K = $ 1 5 , 0 0 1 - $ 5 0 ; 0 0 0O = $500,001 - $1,000,000R = Cos t ( R eal Es t a t e Only )V = Oth er

C = $ 2,501 = $ 5,000 D =$ 5,001 - $15 ,000 E =$15,001 - $50,000HI =$ 1,000,001 - $5 000;000 H2 ~More than $5~000,000L = $50 0 0 ~ $ 0 0 ;0 0 0 M =$i00~001 - $250,000PI =$1,000;001 - $5;000;000 P2 =$5;000,001 - $25,000,000P4 =More than $50;000,000 :S = A s s e s s m e n t T = CaSh Mar k etW = Es t imated


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N a m e o f P e r s o n R e p o r t in gB R O R B Y , W A D E

D a t e o f R e p o r t04/11/2011

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 c o m e , v o l u e , t ran sac t ions (Inc ludes those of spouse an d depen den t ch i ldren; se e pp . 34-60 of f!l ing ins t ruc t ions . )N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income dur ing G ross value a t en d Tran saction s during repo rting period( inc luding t rus t asse ts ) report ng period of repor t ing per iod

(1) (2 ) (1) (2) : (13 (2) (3) l (4) (5 )Place "(X)" after each asset Amount Type (e.g. , V a l ue Value ~ y p e ( e . g . ~ : D a t e Value Gain Identity of

exempt f rom pr ior d isc losure Code 1 div., rent, Code 2 M e t h o d buyi Sdl , m m / d d / y y C o d e 2 Code I buyer/seller.(A-H) o r i n t . ) ( J - P ) Code 3 . ~ed~mpti0n) (J-P) (A-H) ( i fpr ivate(Q-W) t r a n s a c t i o n )

35 . - -Laudus Grow th Inv. U.S. Lg. Cap GrowthFd. (LOILX)36 . - - Oppe nhe i m e r I n t l Growt h (OI GAX)3 ? . - -P a r n as s us Eq u . I n c. F d . ( P R B L X )38 . - - Sc h w a b M u n i M o n e y F u n d ( S W T X X )39 . - -Schwab M uni M oney Fund Sweep( SW X X X ) * *40 . - - S e c to r S P D R T e c h . S e l e ct S h a r e s ( X L K )41 . - - V a n g u a r d I n t e r te r m T a x E x e m p t F u n d( V W I T X )42 . - - V a n g u a r d S h o r t T e r m T a x E x . F d . I n v .S h a r e s ( V W S T X )43 . - - V a n g u a r d S m a l l C a p ( V B )44 . - - W e l l s F a rg o A d v a n t a g e B d . ( S T S M X )4 5. IR A #2: A lnt ./Div. K

Sold 10/14/10 K

Bu y 10/14/10 K(add l )

46 . - -Dreyfus Bond M kt . Index Bas ic Shares( D B I R X )47 . - - G a b e l li S m a l l C a p G r o w t h F d . ( G A B S X )48 . - - Is h a r e s T R B a r c l a y s A g g . B o n d F u n d

(AGO)49 . - - S ch w a b C a s h R e s e r v e s S w e e p ( S W S X X )50 . - - U MB S cou t I n t l Fund (U MBWX)51 . - - V a n g u a r d I n f l a t i o n P r o t . S e c . F u n d( V I P S X )

Bu y 01/29/10 JSold 01/27/10 JSo ld 01/29/10

Sold 10/14/10(par t)Bu y 01/28/10

JJ

B

A

i~ ine0nle Gain Codes:( See Columns B I and 1 ) 4 )

2 . V alue Codes( See Columns CI and D3 )

3.V alue Meth od Codes( See Column C2 )

A =$1,000 or less B =$! ,001 - $2;500 C =$2,501 = $5,000 D =$5,001 - $15,000F =$5 0,001 - $100,000 G =$100,001 - $1,000 ,000 H 1 = $L000,001, $5 000 000 H 2 =M 0r e t han $5 , 000 , 000

=$15,060 or less K ~ $ i5 ,00 i i $50~000 L = $ 5 0 ~ 0 0 1 = $ 1 0 0 , 0 0 0 M =$100;001 - $250;000N = $250,00t - $500,000 O =$500,001 ~ $ t ,000i000 P 1 =$1;000~001 - $5,000,000 P2 =$5,000,001 - $25,000~000P3 =$25,000,001 - $50,000,000 P4 =M0r(than $50,000,000Q =A p p r a i sa l R = Cos t ( R eal Es t a t e Only ) S = As s es s ment T = Cas h Mar k etU = Book V alue V = Oth er W = Es t imated

E =$15,001- $50,000


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N a m e o f P e r so n R e p o r t i n gB R O R B Y , W A D E

D a t e o f R e p o r t04/11/2011

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 c o m e , v a l u e , tr a . s a c ti o n s a n c l .d e s t h o s e o l s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of filing instructions.)[] ~o reportable assets, orO N E income, transactions.)

A. B. C. D.D e s c r i p t io n o f A s s e t s Income during G r o s s v a l u e a t e n d T r a n s a c t o n s d u r i n g r e p o r t in g p e r i o 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 rt i n g p er i o d o f r e p o rt i n g p er i o d

Place "(X)" after each assetexempt f rom pr ior d isc losure

( 5 )

( A - H ) o r i n t . ) ( J - P ) C o d e 3 redempt ion) (J-P) (A-H) (ifprivate(Q-W) t r a n s a e t i o n ~

52 . T RU S T #2 : A D i v i d e n d J T53 . - - S ch w a b C a s h R e s e r v e s S w e e p ( S W S X X )54 . Bankers Trus t (Bank Account s ) A Interest J T O pen 04/02/105 5. Campbe l l Co unty Abs t rac t (S tock ) D D i v i d e n d K W56 . Ca m pbe l l Coun t y Oi l R oya l t y D Royal ty J W57 . Cl i ppe r Fund A D i v i d e n d J T58 . F e d e r a l H o m e o w n e r L e n d i n g M o r t g a g e A Interest J T59 . F e d e r a l H o m e L o a n B a n k ( N o t e s ) B D i v i d e n d K T60 . F e d e r a l N a t i o n a l M o r t g a g e A Interest K T61 . Fi rs t N a t iona l Bank of G i l l e tt e (Var ious A Interest L TBank Account s )62 . Jens en P or t fo l i o (Fund) A D i v i d e n d K T63 . P e o r i a , A Z ( B o n d ) A Interest K T64 . P ruden t i a l Ins urance Co . (S tock ) A D i v i d e n d J T65 . R a i n i e r S m a l l / M i d C a p E q u i t y F u n d A D i v i d e n d J T(RIM SX) (See Sec t ion VI I I )66 . R y d e x T e c h n o l o g y F u n d A D i v i d e n d J T67 . W e l l s F a r g o ( V a r i o u s B a n k A c c o u n t s ) A Interest C lo s ed 05 /01/1068 . Wyo. Bank & T rus t (Var ious Account s ) B Interest M T

1, lncom~ Gain 0des: ..... A =$ii000 or : less B =$I,001 - $2;500( S e e C o l u m n s B I a n d D 4 ) F =$5 0,001 - $100,000 O =$100,00i ~ $1,000,000

2 . V alue Codes J =$15,000 or less K =$ |5,001 - $50,000( See Columns C I and D3 ) N =$250 , 001 - $500 , 000 O :$500,001 - $1,000,000

P3 =$25,000,001 - $50,000,0003. Value M ethod Co des Q = A p pra isa l R = Cost (R e al Esta te On ly)( See Column C2 ) U = Book V alue V = Oth er

C =$2,501 - $5,000 D =$5,001 - $15,000H 1 = $1,000,001 - $5,000,000 H 2 =M o r e t han $5 , 000 , 000L =$50,001 - $100,000 M =$100,001 - $250,000P I = $ t, 00 0, 00 1 - $5 ,0 00 ,0 00 P 2 = $ 5 ,0 00 ,0 01 - $ 2 5, 00 0, 00 0P 4 =M o r e t han $50 , 000 , 000S = As s es s ment T = Cas h Mar k etW = Es t imated

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gBRORBY, WADE

Date of Report04/11/2011

V 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 . a,,,~ic,,,ep,,rto.rrepo,,.)1 . P a r t I I I -~ a s t r u s t e e , o w n s a w h o l e l i f e p o l i c y in s u r i n g m y l i f e . T h e i n s u r e r i s P r u d e n t i a l I n s u r a n c e C o m p a n y . A s t h i s p o l i c y i s n o t h e l d a s a ni nves tmen t , the po l i cy income rece ived i s r epor t ed unde r P a r t I I I .B (N o n- Inves tme nt Income) .2. P a r t V I I - Mo st o f o u r in ves tmen ts a re m an ag ed by Char les Schw ab & Co . un d er a s e rv ice d escr ibed as Schw ab Pr iva te Clien t .3 . Par t VII - I l i s t o w n ership o f mo s t o f m y as se t s un d er A g g reg a te O w n ership A rran g e men ts . A l l as se t s n o t o w n ed un d er such an a r ran g em en t a re l i s t edsepara te ly.4. Par t VII - The fun d s d es ig n a ted w i th ** are m ere ly ho ld in g fun d s . I t sho u ld be n o ted tha t w hen in co m e i s rece ived f ro m a p ar t icu la r in ves tmen t i t i s p laced ino n e these Schw ab "sw eep " fun d s . When n ew in ves tmen ts a re p u rchased , fun d s a re t aken f ro m o n e o f these fun d s to p ay fo r the n ew in ves tmen t . These fun d s a ret h e ( 1 ) Sc h w a b M u n i M o n e y F u n d S w e e p ( S W X X X ) ; a n d ( 2 ) S c h w a b C a s h R e s e r ve s S w e e p F u n d ( S W S X X ) .5. Par t VII - Where p o ss ib le I have in c lud ed the co mm o n ly kn o w n s to ck symbo ls an d s to ck n am es .6 . Par t VII - Un d er IRA #1, the 2009 Rep o r t sho u ld have re f l ec ted co n t in ued o w n ership o f the Schw ab Cash Reserves Sw eep Fun d (SWSX X) as i t w as o n lyp ar t i a l ly so ld in 2008, ra ther than fu l ly so ld as rep o r ted in Par t VII I o f the 2009 Re p o r t . The Value Co d e o f K an d n o g a in rep o r ted in Sec t io n VII I o f the 2009Rep or t a re cor rec t fo r the pa r t i a l s a l e which took p l ace on 12/23/08 .


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FINANCIAL DISCLOSURE REPORTPage 9 of 9

Nam e of P e r son Repor t ingB R O R B Y , W A D E

Date of Report04/11/2011

IX. CERTIFICATION.I c e r t if y t h a t a ll i n 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 s

a c c u r a t e , t r 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 ta t u t o r yp 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 c l o s u r e .I f u r t he r c e r t if y 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 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 o , 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/WADEB R O R B Y

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 IF 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 IV I LA 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 . 10 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

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Wade Brorby Financial Disclosure Report for 2010