Cebull, Richard - Judicial · PDF fileCebull, Richard . F. SOURCE . AND . TYPE . ... Nj...
Transcript of Cebull, Richard - Judicial · PDF fileCebull, Richard . F. SOURCE . AND . TYPE . ... Nj...
n
POSITION NAME OF ORGANIZATION/ENTITY
of filing
�ARIIES AND TEB.MS 9 n
N
Report Required by the Ethics FINANCIAL DISCLOSURE REPORT AOIO in Government Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.SC. app. §§JOI-I I I)
I. Perron Rtportlng (last name, first, middle initial)
Cebull, Richard F.
4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or pan-time)
US District Judge - Active
l. Court ar Organlz:atlon
District Coun-Monta.na
Sa. R<port T;ype (check appropriate type)
D Nomina1ion. Date
D Ini1ial 0 Annual D Final
3. Date of Report
0412712010
6. Rtportln Prrfod
01/0112009 to
12/3112009 sh. Amended Rcpon
7. Cham n or Omce Addrcss
United States District Court 316 North 26th Street Billings, MT 59101
8. On the buh of th• Information contalntd In thh Rrport and any modlfkarionJ ptntlnlng thtttro, It ls, lo my opinfon, in compliantt with 1pplk1ble laws and rq,,"Ul•tinni.
Rnle"·ing Officer D11te
IMPORT ANT NOTES: The Instructions accompanying this form mus/ befollowed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
J. PO SITI 0 NS. (R•porling individual only; ue pp. 9-13 of filing /nstr11ctions.)
IZJ NONE (No reportable positions.)
I.
2.
3.
4.
5.
JI• AGREEMENTS. (Reporting individual only; Jtt pp. 14-J 6
IZJ NONE (No reportable agreements.)
I.
instructions.)
CJ? 0 ·-·. , o::.c_;U>-. c:
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2.
3.
Cebull, Richard F.
SOURCE AND TYPE
SOURCE AND TYPE
SOVRCE LOCATION PURPOSE
INCOME
ITEMS PAID OR PROVIDED
FINANCIAL DISCLOSURE REPORT
Page 2 of9
Nam• of Ptrson Rtporting
Cebull, Richard F.
Dal• of Rtport
0412712010
III. NON-INVESTMENT INCOME. (Reporting individual and spouS<; supp. 17-U off/Jinglmtr11ct/ons.)
A. Filer's Non-Investment Income
[ZJ NONE (No reportable non-investment income.)
I.
(yours, not spou c's)
2.
3.
4.
B. Spouse's Non-Investment Income - If you were rrumieJ during any portion of the reporting 1.ar, cof"Plett thu secrldn.
(Dollar amount not required except for honoraria.)
[Z] NONE (No reportable non-investment income.)
I.
2.
3.
4.
IV. REIMBURSEMENTS - traruportatwn, /odging,food, mlertaln-nl
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)
[Z] NONE (No reportable reimbursements.)
I.
2.
3.
4.
5.
SOURCE DESCRIPTION
CREDITOR DESCRIPTION YALUECODE
Dile of Rcpon Namr of Porson Reportlng FINANCIAL DISCLOSURE REPORT
Page 3 of9 0412712010Cebull, Richard F.
V. G JFfS, (lnclulks thtm to spowe and depmdmt chi/drew: ue pp. 18-JJ of filing instructions.)
[l] NONE (No reportable gifts.)
I.
2.
3.
4.
5.
VI. LIABILITIES. (lncludn those ofspouseand rkpendent cJ.ildrrn: see pp. J].JJ offilint lnstructi»ns.)
[Z] NONE (No reportable liabilities.)
I.
2.
3.
4.
5.
of -s l-s - rl: lncom durin:
(l)T_m Amoun1 Code
_ ______ L_-1._
!
�;;����: ] ---J <1i -<-,J--Ti2l --1
-----
I
!
----·---·----
Name or Ptrson Reportin Date of Rrp-0rt FINANCIAL DISCLOSURE REPORT Page 4 of9 Cebull, Richard F. 04127120!0
VII. INVESTMENTS and TRUSTS -1ncom-. PQ'"" transactions anc1 t1es those ofspou.1·• und 4epmdcn1 •-hllJrrn; ,.,,PP. u-60 of JUing 1n.1ru«1ons.J
0 NONE (No reportable income, assets, or transactions.)
1---: ri
-
pti:; . - ---(includingtrusi asscisJ reponing period
-_
_
_
Pia«: "(X)' after each asset
I Type (e g.,
txempt from prior d1sc:losurt I div., rent, j (A-HJ or1nl)
: L_ _ _ ____ ..._.. _ __ __ I
I. RBC Brokerage Acct I
2. MT St Dept Transportation Rev GRA Nt A Interest 2005
3. MT Univ Revs Higher Ed Faes lmpt A Interest
4. Mt Fin Auth Rev B Ds 2006 B B Interest
5. Fonyth Mt Pollution Ctl Rev Bds 2006 B Interest
6. Mt St Health Faes Auth RV Sisters of A Interest Charity
7. Mt St Brd Hsg Single Family Mtg SER A-2 A Interest
8. Mt St 11 igher Ed Student Assist Corp-Ser B A Interest
9. Miami Dade Cnty Fla Oblig A Interest
10. Mt Fae Fin Auth Rev Sr Living St Johns A Interest Lutheran A
II. MI St Brd Hsg Single Fam Prog Bds 2008A A Interest
12. Allianz NFJ Div Value Fund Class C MF A Dividend
13. Colwnbia Funds Ser Tr Small Cap Value II None Cl CMF
! 14. American Funds Growth Fund ofAmerica A Dividend Inc MF
15. Hanford Mutual Funds Inc Cap Apprecia. A Dividend Fund Cl C MF
16. Intel Corp CS A Dividend
17. Kayne Anerson Energy Total Return Fund B Dividend MF
I. locome Gain Codes: A =-$1,000 or fess B •!l,001 - S2,500
:�; - . -- Trans:clions dun repon1 :: - -1"(2,·- · -- J)-- (4J <s>
Value I Value I Type (e gJOat< Value Gain ld<niity of 1 Code 2 Method i buy, sell, mmidd/yy Code 2 Code I , buyerlscllcr 1'(1-PJ
I Codc3 / mlcmption) , (l-PJ (A-HJ 1 (1fpnvo1c 1
WJ j__ _ _ _ __ .. ..
! __ _
_ j ___J____ transaction) __J
J
J
K
K
J
J
J
1
J
J
K
J
K
J
J
K
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
T
Buy 05112109 J
·---- ---- -C S2,50J - Sl,000 D•Sl,001 · Sll,000
I
I' I
iII
'
(Stt Ce>!umru DI anJ 04) F •!S0.001. SIOll.000 G =SI 00.00 I • I 1.lXXl.000 Ht •Sl,000.001-!5,000,000
L-s.so.001 - sroo,ooo J-U ""More than )j,000,000 M =S/00,00/ • $25-0,000
E =Sll,001 - Sl0.000 lI
2. Value Codes J •SIS,000 or Jess (Ste ColumnsCl and DJJ N -$25-0,00 I - Sl00.000
Pl •!25,000,00 I • Sl0,000,000
). Value Method Codes Q=Appr.iU.I(St.o.e ColumnC2) U •Book Value
K •Sl5,00I - S50.000 0 •Sl00,001. Sl,000,000
R s..C' I (Real Estak' Only) v -{)!her
Pl =11,000,/Xll · Sl,000,000
P4 ""More than $50.000,fXlO
S • i\S3C$ffiCnl W =-Estimated
P2 •Sl,000,001 - 125,0-00.000
T>=CashM.arl:.:et
----. .
----
--
I
- -
period--+ l(i)-·!(2)
I
.(J- _Lf;!� Lcdcmptl -
131. !
I
i
;
i
I
I I
D -· r Dcscripti:· of Msru
(including trust assets)
f B.· - --/ C. -·--- ··-·- -V.- ·-·- ----
/ Jncomc during I
Gross varue 81 end Transactions during 1"t"pOI1ing pcrioJ - ,
reporting pcnod of reporting- -(I) )- 1 --(i)·--f(2) ·1·-c3Jl(4)·-r ····- 1si--
L,1----Place .. Woft•• -'
exempt from pr;or dis.:Josure Code I div., rent, Code 2 I Method [ buy, sell, mm/dd/yy Code 2 I Code I buyer/seller 11Amount Type (e.g., ,, Value : Value J Type (e g, j' Date •1. Value f (fain
I IJeotiry of
--- _1 --H) orint.:._i _ _ _ J_:'_L :_j___ __ !;:i )
18. St Mary Land & Exploration CS
19. Texos Instruments Inc CS
20. Van Kampen Mid-Cap Gro\\1h Fd Cl C
21. Thornburg Investment Trust Intl Value Fd CIC
22. Countrywide Cap V 7% GTD Cap Sec
23. Citigroup Inc. Ser AA PFD
24. Tamarack lnvt Funds MM(Y)
25. IRA#I
26. -Tamarack lnvt Funds MM (Y)
27. -Seligman Value Fd Ser Inc Small Cap Value CIC
28. -AIM Growth Serie$ Mid Cap Core Equity CIC
29. -Allianz Nfj Dividend Value Fd Cl C MF
30. ·Allianz fds Small Cap Value Fd Cl C
-FT Double Play Ocr 07 FT Eq Trust dtd 12/31/08
32 . -American Fund Growth Fund Amer Inc Cl ('
33. -Goldman Sachs Trust Core Struclrd Large Cap Value Fd C
34. -Lort Abvvon Mid Cap Value Fd Inc Cl C
r I. Income Gain Codes: '
A
A
A
A
A
c
Dividend J T
Div.idend J T
None K T
Dividend K T
Interest J T
Dividend Sold 0510009 J
lnt./Div. L T
Sold 03/30/09 J
Buy 12/10/09 J
Buy 03/30/09 J
Redeemed 01/06/09 J
Sold 12/10/09 J
Sold 12/10/09 J ' i
FINANCIAL DISCLOSURE REPORT Page 5 of9
Name of Person Reporting
Cebull, Richard F.
D•I< ofRtport
0412712010·
VII. INVESTMENTS and TRUSTS - in"""''· ""'"'·transactions (lnc1Ma•• 11i.,, ofspo1u• ana t1epmt1m1 chitJrm; '"pp. u.60 of fulnc ;,,_.,,..,,.,ions.J -
-NONE (No reportable income, assets, or transactions.)
A •S 1,000 ur less D •Sl,001 -S2,l00 C ·12,501- Sl,000 D "'il.00 I -SI 5,000 E •SI l,001 - SS0,000 (Se< Colwnns BI and 04) F-s.50,001-SIOO.OOO G-SI00,001 -Sl,000,000 111 •S1,000,00 I . S 5,000.000 H2 •Moce lllan SS,000,000
2.. VnlurCoJ J •SI 5.000 or less K "115,001-SSO,OOO L "550.001 -SI00.000 I ·SI00,001 • S2l0,000
(Set Columns Cl and OJ} N •$250,001 - SS00,000 O SOO.OOl PI •SI ,000,00 I - Sl,000.000 P2 :Sl.000,00 I - Sll.000.000-Pl szs.000,001 . sso,000,000 P4 •Mon lhan $50,000,000
Sl .000,000J. Yoh>< M<lhOO Cod<> Q·AwraU.111 R -Cost (Real Estate Only) S =Asseumi:nr T =Ca.'i M11rke1 !
(S Column C2) --- ll •Oook Vlllue V;.{)thcr W Est1m.1red L' ··--·- · .. I
---
------ · . r·----------;.---·--- ---�---
Income t·::r.. :t�� -1 I ·-· ----
------
---------
.��-=int)_L(J- J �;�
--
1 I
i
'.
I
FINANCIAL DISCLOSURE REPORT Page 6 of9
Nam• of P<rson Reporting
Cebulf, Richard F.
Date of Rrport
04/27/2010
VII. INVESTMENTS and TRUSTS - incom•. va1u •• transactions (lnc1ut1es r1to,, ofJ{X> and d•p•ndenrrltitt1r1m;,,. PP. 11-60 of filing 1nstrucnons.J
·D NONE (No reportable income, assets, or transactions.) -- --.--------- ---------· -a.
c. ' D. Description of Assets during Gross value at end I Trans.actions during rcpor1ing period
LI .,:�::��:::: J_ . · •• v ci::. ··--Id .;
cxi:mpl from prior disclosure Code 1 div., ren1, Code 2 Method buy, sell, i mm/dd'yy Code 2 Code I buyer/seller ___ :cdc ). _L_ (J ) (A-JI)-
1 : :�L__
35. -ING Groep NV 7.375% PrefHybrid Cap Secs Pfd
36. -Thornburg Investment Income Builder Cl C
37. -CIT Group Inc lnlernotes
38. -General ElectricCapital Corp Med Nts Step-Up
39. DADavidson Brokerage Acct #2
40. General Electric CS A
41. Johnson & Johnson CS A
42. Pfizer lnc CS A
43. Capital World Growth 7 Inc A A
44. Merrill Lynch Pfd Capital Trust Ill A
45. IRA#2 E
46. -Heritage Dank CD
47. -Parkway Bank & Trust CD
48. -GE Money Aank CD
49. -Capital World Growth 7 Income Fund Cl A MF
50. ·American Funds Bond Fund of America Cl AMF
51. -American Fds Fundamental Investors Fd CI AMF
·
-I. Income Gain Codes A •SJ,{)lX) or lt"1>S
(Se<: Colurnru Ill and 04) F •ISQ,001 - SI00.0002. ValueC"od J o:Sl5.000 or less
(See Columns Cl and DJ) N =12 I0.00 I - 1500,000 Pl •$25.000.001 • SS0,000,000
3. ValucMdhodCodcs Q•Appr:1Ui.al(Sec Column Cl) U •Boot V1lue
Duy
Sold
Dividend Sold
Dividend Sold
Dividend Sold
Dividend Sold
Interest Sold
lnt.!Div. Pl T
Redeemed
Redeemed
Redeemed
Sold
Sold
Sold
B •11.001 - 2.500 c =12.5-01 - $5,000 G =SI00,001 - 1 1 , 000 , 000 HI •SI,000,001 -$5,000,000 K =$15,001 - $50,000 L •$5-0,0UI - $100,000 0 .-Sl-00,00 I - S 1.000.000 Pl ·s1.ooo.001 - si.000.000
N "'Mort than S50,000,000 R '*Cose (Re I Estn1e Only) s sAs:o.cssment v r-Other W'""'Btlmaled
12/10/09 I
07/16/09 I
12121/09 I
12/21/09 J c
12nJ/09 J
12121/09 J
12121/09 ]
01126109 M
03/06/09 M
12118109 M
01122109 L
01/22109 M E
01/22/09 K E
D-Sl,001 -$15.IJ()() H2 --More: than SS.000.000 M •S 100,001 - !250,000 P2 ·Sl,000,001 - SZS,000,000
T "<ash Market
III
i !
i
:
I
-�---
-c-,)-T<2> ��-i:: p1io:)_l
I
i
COlJ -. ---- s;-:-000 D=S : 1
I
· · --- -- ---·-Description of Assets
I (including trust asscis)
iI. Plai.:c "{X)" after each asset
exempt from pnor di scJosure
[____ ---- -- - -----
52. -Anerican Fds Investment Co of America
53. -American Fds US Government Securities FdCIAMF
54. -General Elecrric Capital Corp Med Tenn Notes
55. -Ford Motor Credit Co. Medium Tern Notes
56. -International Bank For Reconstruction and Development
57. -Huntington National Bank CD
58. -Wilmington Trust Co CD
59. -Wilmington Trust Co CD
60. -Nara Bank, LA, CA CD
61. -Nara Bank, LA, CA CD
62. -Bank of America Charlone, NC CD
63. -Cardinal Bank MCiean, VA CD
-----· ------ ··---·-· . -·-- --· --lncom:durin -- -[- =, c -c d Ireporting period of reporting period
(ii ·-,-/ ·m--1 :-m -rm ;(3,-., -,.;,-T --- 1ii- --Amount Type {e.g.. j Value Value J Type (c.g, I Date j' Value Gnin I Identity of Code I div., rent, Code 2 I Mcihod J buy, sell, Jmm/dd/yy Code 2 Code I buycr/,.,llcr:l int.) )--- _____l · ]_:: '-- ��:
i
: )
D. Transactions during reporting period
Sold 01/22/09 L D
Sold 01/22/09 M D
Redeemed 06115109 K
Redeemed 10/28/09 J
Buy 02117109 M
Buy 02/17109 M
Redeemed 06/18/09 M
Buy 02/18109 M
Redeemed 09128109 M
Buy 03106109 M
Buy 06115109 M
f 64. -Pirnco Tota.I Return Fund Cl C MF Buy 10130109 M
65. -Edward Jones Passport Money Market (Y)
66. -Edwanl Jones Retirement Money Market I(X)
67. First Interstate Bank Accts A Interest L T
68. New York Life Ins Policy Cash Value A Dividend K u i
: IS= Columou DI "'d [)4) F •Sl0.001·1100,000 G-1t00,00t • 51,000,000 Ht •St,000.00t. SS,000.000 H2"'-1""' 1han 15.000.000
r I. l!lcome G.tin or- --------B -= Sl.OOl J.500--------c ""l2.SOl--S3 . ------- . i)S, 000 · -··-·--- -f-=SIS,001 .SS0.-000--,I 2. Value Cod" J •115,000 or Im K •lll,001 • S5il,OOO L •Sl0,001 -SI00,000 M •SI00,001-5250,000 i (Sec Columns Cl •nd DJ) N •ll50,00I • ll00.000 0 =SlOO,llOJ • Si,000,0<lO Pl =Sl,000,001 • Sl,000,000 P2 •Sl.000,001. 125,01Xl.OOO .
I Pl •125.000,00I. 150.000.000 P4 •Mo..., th.., 150,000,000 IL J. ViilucMctl�od C0tb Q =Appr.ais:\I R =-COS<! (RuJ f...state Only) S cASleMfficnt T ><C b Marlce1
(Seie (olurnn C2) lJ •Book V11lue V --Other W =Llrimoted ·-------· - ·
FINANCIAL DISCLOSURE REPORT Page 7 of9
Nam• of Prnon Rrportlni:
Cebull, Richard F.
Oat• or Rt port
VII. L'l"VESTMENTS and TRUSTS -inconu, "'1lue, trans<WWns (lnclmk• 11io.. ofspollSe and kpcnden/ ch/Idun; ...PP.. Jl-60 of filing irutruction:t.)
NONE (No reportable income, assets, or transactions.) Dr--- --
---------· ·------ · ---··-·--·- ·--- ·-··-· -·-- -·-·---·-------
Dale or Report N..,,,., or Person Reporting FINANCIAL DISCLOSURE REPORT
Page 8 of9 04/2712010Cebull, Richard F.
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lrulkat1parrofR•port)
Part VII, Line 65 and 66 represent a change in description on the Brokerage Statement.
0.lt of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 9 of9 Cebull, Rkhard F. 04127/2010
IX. CERTIFICATION.
I certify that aU ioformatloo given above (including information pertaining to my spouse and minor or dependent children, If any) Is accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable st•tutory provisions permitting non-disclosure.
I further certify that earned Income from outside employment and honorarb and the acceptance of gifts which have been reported are lo compliance with the provisions of 5 U.S.C. app. § 501 et. seq 5 U.S.C. § 7353, and Judicial Conference regulations.
Slgnatu
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMJNAL SANCTIONS (5 U.S.C. app. § 104)
FILING INSTRUCTIONS
Mail signed original and 3 additional copies to:
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544