[{ NONE (No reportable positions.)

Transcription

1 Wollman, RoQer L. FINANCIAL DISCLOSURE REPOR Report Required by the Ethics in Government Act of 1978 FOR CALENDAR YEAR 2010 (5 U.S.C. app ) I. Person Reporting (last name, first, middle initial) Court or Organization WOLLMAN, ROGER L. U.S.C.A.-EIGHH CIRCUI itle (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. CIRCUI JUDGE (ACIVE) Sa. Report ype (check appropriate type) D Nomination, D Initial Sb. D Amended Report Date [{ Annual D Final 6. Reporting Period 01/01/2010 to 12/31/ Chambers or Offce Address 315 U.S. COURHOUSE 400 S. PHILLIPS A VENUE SIOUX FALLS, SD On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date IMPORANNOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page. I. POSI! ONS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable positions.) POSIION NAME OF ORGANIZAION/ENIY 1. II. AGREEMENS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable agreements.) PARIES AND ERMS 1. As a former member of the South Dakota State Judiciary, I have a vested interest in the South Dakota Retirement System. South Dakota (cont'd Part VIII)

2 Page 2 of7 WOLLMAN, ROGER L. III. NON-INVESMEN IN CO ME. (Reporting individual and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND YPE INCOME (yours, not spouse's) I Retirement benefits from S.D. Retirement System $37, B. Spouse's Non-Investment Income - If you were married during any portion of the repoiting year, complete this section. (Dollar amount not required except for honoraria.) [{ NONE (No reportable non-investment income.) SOURCE AND YPE I. IV. REIMBURSEMENS -transportation, lodging,jood, entertainment. (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DAES LOCAION PURPOSE IEMS PAID OR PROVIDED I. he American Society of February 15-17, 2010 Washington, DC Meeting-Judicial Adv. Bd. ransportation, meals, lodging International Law he Aspen Institute November 4-7, 2010 Wye Woods, MD Seminar-International ransportation, meals, lodging Human Rights

3 Page 3of7 WOLLMAN, ROGER L. V. GIFS. (Includes those to spouse and dependent children; see pp of filing instructions.) 12 NONE (No reportable gifts.) SOURCE DESCRIPION VALUE I. VJ. LIABILIIES. (Includes those of spouse and dependent children; see pp of filing instructions.) 12 NONE (No reportable liabilities.) CREDIOR DESCRIPION VALUE CODE I.

4 Page 4 of7 WOLLMAN, ROGER L. VII. INVESMENS and RUSS - income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. Description of Assets Income during Gross value at end. ransactions duriri r porting period (including trt assets reporting period ofreporting period (I) (2) (!) (2) (I) (2) (3) (4) (5) Place "(X" after each asset Amount ype(e.g., Value Value ype (e.g., Date Value Identify of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mmdd/yy Code2 Code I buyer/seller (A-H} or int.) (J-P) Code3 ree111pti9r). (JP) (A-H) (if private (Q-W) D. Gaill tra Saciic>l I. Unimproved pasture and crop land in Spink E Rent M w See note in Part VIII County, SD " Unimproved pasture and crop land in Spink B K w County, SD (own an undivided 1/5 interest as tenant in common) " Undivided 1/5 interest in farmland described B K w immediately above 6. American Century Investments Select B Dividend L Mutual Fund, IRA 7. Patronage account in South Dakota Wheat- None J growers Ass'n 8. Farm Machinery None J w 9. American Century Investments Select B Dividend K Mutual Fund, IRA 10. American Century Investments Select A Dividend L Mutual Fund 11. Accounts, Wells Fargo Bank A Interest M I Vanguard Index Balanced Mutual Fund A K Dividend 1 Vanguard 500 Index Mutual Fund D Dividend N 1 Vanguard otal Stock Market Index Mutual D Dividend N Fund 1 Northwestern Mututal Life Insurance Co.- D Dividend M Whole Life 16. BlackRidge Financial Common None L u 17. Wells Fargo Investments, Cash Sweep A Interest J Money Market Mutual Fund 1. Income Gain Codes: A =$1,000 or less B =$1,001 -$2,500 c =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,00 I -$50,000 (Sec Columns Bl and D4) f =$50,001. $100,000 G =$ $1, HI =$1.000,001 -$000,000 H2 =More than $5,000,000 Value Codes J =$15,000 or less K=$15,00I - $50,000 L =$50,001 - $100,000 M ::$ $250,000 (See Columns Cl and 03) N =$250,001 - $ =$500,001 -$1, Pl =$1.000,001 - $5,000,000 P2 =$5,000,001 - $25, P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

5 Page 5 of7 WOLLMAN, ROGER L. VII. INVESMENS and RUSS - income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.; D NONE (No reportable income, assets, or transactions.) A. B. Description of Assets (including trust assets) Place "(X" after each asset exempt frm prior disclosure Income dur ing reporting per iod (!) Amount (2) ype(e.g., (1) Value Codei (A-H) div.,re:nt, or int:) Code2 (J-P) C. Gross value at end of reporting peri()d (2) (!) Vafoe ye(e.g ; Method!>1Jy, ell, Code3 redcitilpti\)n) (Q-W) D. ransaciions during reporting period (3) lnmddfyy Code2 (J-P) (4} (5) Value Gain Identity of Code 1 buyer/seller (A-H) (if private transadion) 18. Credit Suisse ier l Capital Notes c Interest L 19. Lehman Bros. Holdings, Inc. Preferred None J 20. HSBC Holdings PLC Perpetual Sub. Capital Securities 21. Accounts, Great Western Bank c Dividend L D Interest 0 2 Dacotah Bank (CDs) D Interest N Buy 07/12/10 N I. Income Gain Codes: A=$1,000 or less (See Columns BJ and 04) F =$50,001 - $100,000 B 41,001 - $2,500 G=$ $1, c =$2,501 - $5,000 HI =$1,000,001 - $5,000,000 D=$5,001 - $1000 H2 =More than $000,000 E 415,00I -$ Value Codes J=$1000 or less K=$15,001 - $50,000 L=$50,00 I $ 100,000 M=$!00,00I - $250,000 (See Columns Cl and D3) N=$ I - $ =$500,001 -$1, Pl=$1,000,001 - $5,000,000 P2=$5,000,001 - $25,000,000 P3=$ $ P4=More than $50, Value Method Codes Q =Appraisal (See Column C2) U=Book Value R =Cost (Real Estate Only) V =Other S =Assessment W=Estimated =Cash Market

6 Page 6 of7 WOLLMAN, ROGER L VIII. ADDIIONAL INFORMAION OR EXPLANAIONS. (lndicate partofreport.) Part JI: Agreements, continued... Codified Laws Chapter 3-1 Upon my resignation from the Supreme Court of South Dakota on September 5, 1985, I left my contributions in the System. I began drawing retirement benefits in May hese benefits will continue until my death. hereafter,lj if she survives me, will receive one-half of the benefits I was receiving at the time of my death. 18 Part VII: Investments and rusts See Line 1, B.(2): Rent; Gov't Payments (Conservation Reserve Program payments)

7 Page 7 of? WOLLMAN, ROGER L. IX. CERIFICAION. I certify that all information 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 statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ ROGER L. WOLLMAN NOE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS O FILE HIS REPOR MAY BE SUBJEC O CIVIL AND CRIMINAL SANCIONS (5 U.S.C. app. 104) Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C