Steven M Colloton Financial Disclosure Report for 2010

8/3/2019 Steven M Colloton Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10

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

1 . Person R eport ing ( last name, f i rst , middle ini t ia l )Col lo ton , S t even M .

4. Tit le (Art ic le I11 judges ind ica te ac t ive o r s en io r s ta tus;magistrate judges indicate full- or part-time)U.S. Ci rcu i t Jud g e - Ac t ive

7 . C hamber s or O f f ic e Addr es s110 E. C our t A venue , Su i t e 461Des M oines , I A 50309-2053

2. Court or Organiza t ionUS Ct . o f Appe a l s -S th C i rcu it

3. Date of Repor t05/13/2011

5a . Report Type (check appropria te type )] N om in ation, Date[] Initial [] Annual [] Final5h. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in this Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in com pliancew 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 io n s .

6 . Repor t ing Per iod01 / 01 / 201 0to12/31/2010

R e v i e w i n g O f f i c e r D a t e

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 NON E box for each part where you have no reportable informatiot~ Sign on last page.

I . P O S I T I O N S . ( R c p o n l n g i n d i v ia u u l o n l y ; s e e p p . 9 - 1 3 of filing instructions.)D N O N E (No reportable positions.)

1 . Trustee2.3.4.

5.

POSITION N A M E O F O R G A N I Z A T I O N / E N T I T YJ a m e s M a d i s o n M e m o r i a l F e ll o w s h i p F o u n d a t i o n

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of fillng instructions.)~] N O N E (No reportable agreements.)

DATE P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 of 7

Name of Person ReportingC o l l o t o n , S t e v en M .

I I I . N O N - I N V E S T M E N T I N C O M E . m e p o . i . g i .d i v i d a a l a . d s p o u s e ; s e e p p . 1 7 - 2 4 of filing instructions.)A. Fi ler s Non- lnves tm ent Incom e~ (No reportable non-investment income.)O N E

D A T E S O U R C E A N D T Y P E

2.3.4.

Date of Repor t05/13 /201 I

I N C O M E( 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 es t m e n t In c o m e - if you were m arried during any portlon of the reporting year, complete this section.(Dollar a m o u n t not required except for honoraria.)

N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

I.2.3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertalnmen~( 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 , " se e p p . 2 5 - 2 7 o f i ll i n g i n s t ru c t i o n s . )

D N O N E (No reportable reimbursements.)

SO U R C E D A T E S L O C A T IO N P U R P O S E ITEM S PAID OR PROVIDEDT h e F i r s t A m e n d m e n t C e n t e r F e b . 1 8 - 2 Ia t V and e rb i l t Unive rs i ty N as hvi l l e , T N Moot cour t com pe t i t ion T rave l , mea l s , ho t e l

2. A m erica n B a n k ru p tcy M a r. 1 4 -1 6 N e w Y o r k , N Y Moot cour t com pe t i t ion T rave l , mea l s , ho t e lInstitute3. Unive rs i ty o f C h icago Apr. 21 C h i c a g o , I L Moot cour t com pe t i ti on T r a v e l a n d m e a l s4.5.


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FINANCIAL DISCLOSURE REPO RTPage 3 of 7

N a m e o f P er s o n R e p o r t in gCoiloton, Steven M .

Date of Report05/13/2011

V . G I F T S . a . c iu d e s t h o s e t o s p o u s e o n d d e p e . d e n t chitdren; see p p . 2 8 - 3 1 of filing instructions.)N O N E (No repor table gifts.)

SOURCE1 .2.

3.

4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a . c l u a e s t h o s e o / s p o u s e o.d dependent children; see pp. 32-33 of filing instructions.)N O N E ( N o reportable l iabilit ies.)

CREDITOR DESCRIPTION1 .2.

3.

4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t in gColloton, Steven M .

Date of Report05/13/201 I

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 a e , t r a n s a c t i o n s (Includes those of spouse and dependent children; see pp. 3 4 - 6 0 o f f il 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.)

A. B. C.Descrip tion of A ssets In co m e during Gross va lue a t end(including trust assets) reporting p eriod of repo rting p eriod

(1) (2) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g. , V a lue V a lue

exempt f rom pr ior d isc losu re Code 1 div. , rent, Code 2 Method( A - H ) o r i n t . ) (J-P) C o d e 3( Q - W )

(1 )Type (e.g. ,buy, se l l ,

redempt ion)

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 G a i nm rr dd d /y y C o de 2 Code l

( J - P ) ( A - H )I d e n t i ty o fbuyer /seller(if private

t r a n s a c t i o n )!. M i d W e s t O n e - A c c o u n ts A Interes t M T2. V a n g u a r d P r i m e M o n e y M a r k e t Fu n d A Div id en d K T3. V a n g u a r d I n t e r m e d i a t e T e r m T a x - E x e m p t A D i v i d e n dM u n i B o n d F u n d4. V a n g u a r d L o n g - T e r m T a x - E x e m p t F u n d A D i v i d e n dI nves tor Sha res5. V a n g u a r d E x t . M a r k e t I n d e x F u n d I n v e s t o r A Div id en dS h a r e s6. V a n g u a r d 5 0 0 I n d e x F u n d I n v e s to r S h a r e s A D i v i d e n d

K

KTT

S o l dS o l d

11/26/10 K11/26/10 L

7. V a n g u a r d T o t a l I n t e r n a t io n a l S t o c k I n d e x A Div id en dF und8. V a n g u a r d E x t . M a r k e t I n d e x F u n d A d m i r a l A Div id en dS h a r e s9. V a n g u a r d 5 0 0 I n d e x F u n d A d m i r a l S h a r e s A Div id en d

KKL

T

TT

B u yBu y

11/26/10 K11/26/10 L

1 0 . V a n g u a r d I n t e rm e d i a t e - T e r m I n v e s tm e n t - A Div id en dGrade F und1 1 . V a n g u a r d S h o r t - T e rm I n v e s tm e n t - G r a d e A Div id en dF und1 2 . Van g uard In f la t io n -Pro tec ted Secur i t i es A Div id en dF und1 3 . U N I , S t . B d . O f R e g e n t s D o r m R e v B o n d s , A Interes t3 .375% , Due 7 / 1 / 20101 4 . M i d W e s t O n e F i n a n c i a l G ro u p I n c . - A Div id en dC o m m o n S t o ck1 5 . N a t i o n w i d e L i f e In s u r a n c e C o m p a n y - W h o l e A Div id en dLi fe P ol i cy1 6 . C o r a l v il l e IA , P b l I m p G e n O b B o n d , A Interes t

5 .375% , Due 6/ 1 / 20231 7 . C o r a l v il l e IA , P b l I m p G e n O b B o n d , A Interes t5 .375% , Due 6/ 1 / 2012

J

J

J

K

J

J

J

TTT

T

UTT

M atured 07/1/10

1. In com e Gain Codes: A = $1,000 or less B = $ 1,001 - $ 2 ,500 C = $ 2,501 - $5 ,000 D =$5,001 - $15,000( See C olu mns B I an d D 4) F =$ 50,001 - $ 100,000 G =$ 100,001 - $1,000,000 H 1 = $1,000,001 - $5,000,000 H 2 =M or e t han $5 ,000 ,0002 . V alue C o d es J = $1 5,000 or less K = $15 ,001 - $50,000 L =$50,001 o $100,000 M = $1 00 ,001 - $250 ,000

(Se e C olum ns C I and D 3) N = $250,001 - $500.000 O = $500.001 - $1,000 ,000 P I = $ 1 ,000,001 - $5 ,000 ,000 P2 =$5,000,001 o $25,000,000P3 =$25,000,001 - $50,000,000 P 4 = M o r e t h a n $50,000,0003 . Valu e Method C odes Q = A p p r a i sal R =C os l ( R eal E s t a t e Only ) S =As s es s ment T = Ca sh Ma rke t( See C olu mn C 2) U =B ook Valu e V = O t h e r W =E s t imated

E =$1 5 ,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 ngC o l l o t o n , S te v e n M .

Date o f Report05/! 3/201 !

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; see pp. 34-60 of filing instructions.)D N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io n o f A s s e t s Transactions during report ing period( 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 f rom pr ior d isc losure

Income dur ing Gross value a t endre po rtin g p er io d o f re po rtin g p er io d(1 ) (2 ) (I) (2)A mou n t T y p e ( e . g ., V alue V alueC ode I die., rent, 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 )

Type (e.g.,buy, se l l ,

redempt ion)

(2) (3) (4)D a t e V a l ue Gain

mm/dd/yy C o d e 2 C o d e 1(J-P ) (A -H )

( 5 )Identity ofbuyer /seller(if privatetransaction)

1 8 . W e s t D e s M o i n es I A , P b l Im p G e n O b B o n d A Interest3.4% , Due 6/ 1 / 201 l1 9 . U o f I A , R e c F a c s R e v B o n d , 4 . 1 % , D u e - A Interest J T7 / 1 / 201920 . U o f I A , R e c F a c s R e v B o n d , 4 .5 % , D u e - A Interest J T7 / 1 / 20272 1. U o f IA , R e v A c a d Bl dg B o n d, 4% , D ue - A Interest J T7 / 1 / 201722 . S t a te U n i v I A U n i v R e v B o n d , 4 % , D u e - A Interest K T7 / 1 / 201823 . P r i n c ip a l B a n k - A c c o u n t B Interest M T

Sold 06 / I / 1 0

24 . F N B O D i r e c t - A c c o u n t B Interest L T25 . H S B C - A c c o u n t B Interest L T26 . C o l l e g e S a v i n g s I o w a 5 2 9 P l a n A Div id en d L T27 . F edera t ed I ns t i t u t i ona l T r H i Yie ld Bond A Div id en d J TFund28 . F e d e r a te d M o r t g a g e F u n d A Div id en d J T29 . F edera t ed T ota l Re tu rn Govt Bond F und A D i v i d e n d J T30 . IA SUI Bo n d , 3 .6%, Due 7/ I /2019 A Interest J T3 I . U n i v I A H o s p & C l i n i c s B o n d , 6 . 1 2 5 % , D u e B Interest K T9/2/202832 . W e s t B ra n c h I o w a C o m m S c h o o l D i s t B o n d . A Interest K T4.1% , Due 7 / 1 / 2023 Bu y 06/8/I 0

I . Inc ome G ain C odes : A =$1,000 or less B = $1 ,001 - $2 ,500 C = $ 2,501 - $ 5,000 D - $5 ,001 - $1 5 ,000ISee C olu mns B I and D 4) F = $ 50,001 - $ 100,000 G = $ 100,001 - $ 1 ,000,000 H 1 = $1 ,000,001 - $ 5,000,000 lq2 =More than $5,000,000

2. Value C o des J = $15,000 o r less K ~$15,001 - $50,000 L =$50,001 - $I00,000 M $ 100,001 - $ 250,000( See C olu mns C I and D 3) N =$ 250,001 - $ 500,000 O =$ 500,001 - $ 1 ,000,000 P I = $ 1 ,000 ,001 - $ 5,000,000 P2 =$5,000,001 - $25,000,000P 3 = $ 25,000,001 - $ 50,000,000 P 4 = M o re th an $ 50,000,0003 . Valu e Method C odes Q = A p p r a i sal R ~ C os t IR c al E s l a l e Only ) S =As s es s ment T = Ca sh Ma rke t( S e e C o l u n m C 2 ) U =B ook Valu e V = O t h e r W =E s t imated

E =$15,001 - $50,000


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Na m e o f P e r s o n Re p o r t in gC o l l o t o n , S t e ve n M .

Date of Report05/ 13/ 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 . (lndicate part of report.)


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|Name of Person Reporting I Date of ReportC o l l o t o n , S t e v e n M .

[05/1312011

IX. CERTIFICATION.1 c e r t i fy t h a t a l l 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 , i f a n y ) isa 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 ta t u t o r y

p 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 .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 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 ~ v 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 .

Sign ature: S/Steven M . Colloton

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 FU L L Y F A L S IF IE S O R F A I L S T O F IL 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 DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Steven M Colloton Financial Disclosure Report for 2010

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