D NONE (No reportable positions.)

Transcription

1 AO JO Rev FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2012 Reporl Required by the Ethics in Governmenl Ac/ of 1978 (5 U.S.C. app ) I. Person Reporting (last name, first, middle initial) Court or Organization BALDOCK, Bobby R. U.S. Court of Appeals-10th Cir 05/01/2013 Title (Article Ill judges indicate active or senior status; Sa. Report Type (check appropriate type) magistrate judges indicate full- or part-time) D Nomination Date U.S. Circuit Judge - Senior D Initial Annual Sb. D [{ Amended Report D Final 6. Reporting Period 01/01/2012 to 12/31/ Chambers or Office Address P.O. Box 2388 Roswell, New Mexico JMPO RT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. J, POSJTJ 0NS, (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Trustee Trust #I 5. II, AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS I.

2 Page 2of10 BALDOCK, Bobby R. 05/01/2013 III. NON-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. J7-24 of filing instructions.) A. Filer's Non-Investment Income [{ NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I. B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amount nor required except for honoraria.) [{ NONE (No reportable non-investment income.) SOURCE AND TYPE I. IV. REIMBURSEMENTS - transportation, lodging, food, entertainment. (Includes those to spouse and dependent children; see pp of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. Pepperdine University School March 14-16, 2012 Malibu, California Speaker Transportation, meals, lodging of Law Alliance Defense Fund - The July 31 - August 1, Phoenix, Arizona Legal Fellowship - Speaker Transportation, meals, lodging Blackstone Legal Fellowship 2012 Christian Legal Society October 18-20, 2012 Colorado Springs, Colorado Participant on Judges' Panel Transportation, meals, lodging National Conference 5.

3 Page 3of10 BALDOCK, Bobby R. 05/01/2013 V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. 5. VI. LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. Pioneer Savings Rental Property #2, Chaves County, NM L 5.

4 Page 4of10 VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc111des those of spouse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trnst assets) reporting period of reporting period (I) (I) (2) (2) (2) (3) (5) Place "(X)" after each asset / Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) (I) (4) transaction) I. Merrill Lynch IRA c Dividend M T -XCEL -Invesco Global Core Equity Fund -Invesco Comstock Fund * 5. -Lord Abbett (Mutual R Fund) 6. -Franklin Inves. Sec. TR Equity Income (Mutual Fund) 7. -Merrill Lynch Retirement Reserves 8. -Merrill Lynch Cash Equivalent Accounts 9. Hunker Commune (Holly, Bluestem*) B Royalty J w 10. Lot in South Spring Acres, Roswell, NM None J w 11. Stock in South Spring Acres, Roswell, NM None K w 1 Minerals, Washita County, OK (BBX Oil Corp.) A Rent J w 1 Silver and silver coins None J T 1 Gold coins None J T 15. Navajo, Hockley County, TX B Royalty J w 16. Pioneer Savings Bank A Interest L T 17. Working interest in Hodges - Hockley County, TX A Royalty J T I. Income Gain Codes: A =$1.000 or less B $500 c=$501 -$5.000 D =$ $ E =$ $ (Sec Columns B 1 and D4) F=$ $ G I -$ lll =$ $ fl2 =More than $ Value Codes J =$ or less K $ L I -$ M=$ $ (See Columns C 1 and D3) N=$ $ =$ $ Pl =$ $ P2=$ $ P3 =$ $ P4=More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V=Othcr W=Estimated

5 Page 5of10 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, vatue, transactions r1nc1udes those of spouse and dependent children; see pp of fl line instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (2) (I) (2) (3) (I) (2) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) (5) transaction) 18. Working interest in Jeffers-Hockley County, A Royalty J T TX 19. Working interest in Pair- Hockley County, A Royalty J T TX 20. Working interest in Reed-Hockley County, A Royalty J T TX 21. Working interest in White-Hockley County, A Royalty J T TX 2 Working interest in Terry-Hockley County, TX A Royalty J T 2 Cash Value Life Insurance, AXA Equitable(Money Market Acct) A Interest J T 2 Oil & Gas Items: 25. XTO Energy Production A Royalty J w 26. BP Am Production Company D Royalty K w 27. Conoco Phillips E Royalty K w 28. Sunco Oil & Gas Production A Royalty J w 29. Great Western Drillling Company c Royalty K w 30. El Paso Production Company c Royalty K w 31. Working interest in Mewbourn Oil, Eddy County, NM 3 Property #2, Chaves County, NM B Royalty J w D Rent L w 3 Trust #1 E Dividend 0 T 3 -CITIGROUP INC COM NEW 03/13/12 J I. Income Gain Codes: A =$1.000 or Jess B $500 c=$501 -$5.000 D =$ $ E =$ $ (Sec Columns BI and 04) F =$50.00 I -$I G =$ I00.00 I -$ Ill =$ $ =More than $ Value Codes J =$ or less K =$ $ L=$50.00 I -$I M =$ $ (Sec Columns Cl and D3) N=$ I - $ =$ I -$ Pl =$ $ P2=$ $ P3 =$ $ P4=More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U=Book Value V=Other W=Estimated

6 Page 6of10 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing instructions.) A. B. C. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (1) (2) (1) (2) (1) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div.. rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) (3) transaction) 35. -COMPUTER SCIENCE CRP 03113/12 J 36. -HALLIBURTON COMPANY 03113/12 K 37. -INNSUITES HOSP TR OH SB! J 38. -KB HOME 03113/12 J 39. -KIMBERLY CLARK 03113/12 J 40. -MEADWESTV ACO CORP J M COMPANY 03/13112 J 4 -WALGREEN CO 03/13/12 J 4 -WELLS FARGO & CO NEW DEL 03113/12 J 4 -COLUMBIA TAX EXEMPT FUND CL A 03113/12 N 45. -FRANKLIN T/F TR AZ TAX FREE INCOME FUND CL A 03113/12 M 46. -OPPENHEIMER GLOBAL FUND CL A 03/13/12 J 47. -INVESCO VAN KAMPEN MUNI INCOME FUND A 48. -GLENDALE AZ UN HGH SCH 03/13112 K 49. -PIMA CNTY AZ STR & HWY REV 50. -ARIZONA ST UNIV REVS Redeemed 06/18112 K 5 I. -!SHARES RUSSELL 1000 GROWTH INDEX FUND 03/13/12 L I. Income Gain Codes: A =$1.000 or less B=$1,001 -$500 c=$501 -$ =$5.001-$ E =$15.00 I - $50,000 (See Columns BI and 04) F=$ $! G =$I I - $ Ill =$ $ =More than $ Value Codes J=$ or less K=$ $ L=$50.00 I -$ I M =$ $ (See Columns Cl and 03) N=$ I -$ =$ I -$ Pl =$ $ P2 =$ $25, P3 =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market (Sec Column C2) U=Book Value V=Othcr W=Estimated

7 Page 7of10 VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children; see PP of filing ins1mc1ions.j D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period. (including trust assets) reporting period of reporting period Place "(X)" after each asset exempt from prior disclosure (I) Amount Code I (A-H) (I) (2) (2) (3) Type (e.g., div., rent, or int.) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) (4) Type (e.g., buy, sell, redemption) Date mm/dd/yy Value Code 2 (J-P) Gain Code I (A-H) (5) Identity of buyer/seller (if private transaction) 5 -!SHARES MSC! EAFE INDEX FUND 03/13/12 M 5 -!SHARES!BOXX$ INVT GRADE CORP 03/13/12 K BD FUND 5 -!SHARES GOLD TR 03/13/12 K 55. -!SHARES BARCLAYS MBS BON FUND 03/13/12 L 56. -!SHARES!BOXX$ HIGH YIEL 03/13/12 K CORPORATE BOND FUND 57. -!SHARES JP MORGAN EM BON 03/13/12 J 58. -!SHARES DOW JONES US REAL 03/13/12 K ESTATE INDEX FUND /01/12 J (add'!) /03/12 J (part) 61. -!SHARES BARCLAYS 1-3 YEAR 4/2/12 J TREAS INDEX FUND 6 6/1/12 K (add'!) 6 7/2/12 J (add'!) 6 8/1/12 J (add'!) 65. 9/4/12 K (part) /1/12 J 67. -!SHARES BARCLAYS 3-7 YEA TRSY 3/13/12 K BD FD 68. 8/1/12 K I. Income Gain Codes: A =$1.000 or Jess B $500 c=$501 -$5,000 D=$ $ E 415,001 -$ (Sec Columns Bl and 04) F=$ $I G =$ $ Ill =$ $ =More than $ Value Codes J=$15,000 or less K =$ $ L =$ $I M =$ $ (Sec Columns Cl and 03) N =$ $ =$ $ Pl =$1.000,001 -$ P2 =$ $25, P3 ".$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

8 Page 8of10 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions (Includes those of spouse and dependent children; see PP of filing instructions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reporting period ofreporting period (1) (2) (2) (1) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of (1) exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 69. -VAN GUARD FINANCIALS ETF 3/13/12 K 70. -VANGUARD CONSUMER STAPLES 10/01/12 K 71. -VANGUARD MATERIALS ETF 03/13/12 K 7 -VANGUARD HEAL TH CARE ETF 10/01/12 K 7 -VANGUARD TELECOMM SRVCS ETF K 7 -VAN GUARD INDUSTRIAL ETF K 75. -VAN GUARD MSC! EMERGING MRKTS ETF 03113/12 L 76. -VANGUARD INTERMEDIATE TERM BOND ETF 77. -VANGUARD SHORT TERM BOND 03113/12 K K 78. -VANGUARD INFORMATION TECH 3113/12 K /1/12 K 80. -SECTOR SPDR FINANCIAL 4/2/12 K /01/12 K 8 -SECTOR SPDR INDUSTRIAL. 4/2/12 K 8 7/2/12 K 8 -ELEMENTS - ROGERS TR 09/04/12 J 85. -ML BANK DEPOSIT PROGRAM I. Income Gain Codes: A =$1.000 or less B=$1,001 -$500 c=$501 -$5.000 D =$ $ E=$ $ (Sec Columns BI and D4) F =$50.00I -$ G =$ I -$ HI =$ $ =More than $ Value Codes J =$ or less K =$15,001 -$ L =$50.00I -$ M =$ I -$ (Sec Columns CI and D3) N=$ I -$ =$ I -$ Pl =$ $ P2 =$ $25, P3 =$ I -$ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market (Sec Column C2) U =Book Value V=Othcr W =Estimated

9 Page 9of10 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofreport.) Part VII, page 4, line 4- This asset was formerly Invesco Van Kampen Comstock Fund. Part VII, page 4, line 9 - Adventure Exploration Partners, LLC changed to Bluestem Energy Holdings LLC.. El Paso, Navajo, and Western no longer buy production.

10 Page 10 of10 IX. CERTIFICATION. 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 of5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: s/ Bobby R. BALDOCK NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (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