[{ NONE (No reportable positions.)

Transcription

1 AO 10 Rev FJNANCJAL DJSCLOSURE REPORT Repor/ Required by /he 1hics in Govemmenl Ac/ of 1978 FOR CALENDAR YEAR 2011 (5 U.SC. app. /0/-1//) I. Person Reportin:. (last name, first, middle initial) Court or Organization Shanstrom, JactK D. U.S. Courts 8/9/2012 Title (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time) Senior Judge Sa. Report Type (check appropriate type) D Nomination D Initial Date [{ Annual Sb. D Amended Report D final 6. Reporting Period 01/01/2011 to 12/31/ Chambers or Office Address P.O. Box 985 Billings, Montana IMPORT ANT NOTES: The instr11ctio11s accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have 110 reportable information. Insert signature on last page. I. PQSITI ONS, (Reporting individual only; see pp of filing ins/ructions.) [{ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. 5. JI. AGREEMENTS. (Reporting individual only; see pp of filing ins/ructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS I.

2 Name of Person Reporting Date or Report Page 2of10 Shanstrom, Jacfk D. 8/9/2012 Ill. NON-INVESTMENT IN CO ME. (Reporting indfridual and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE JN COME (yours, not spouse's) I Public Employees Retirement System $53, B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section. (Dollar amount no/ required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I Teachers Retirement System IV. REIMBURSEMENTS -transportation, lodging.food, enlertainmenl (Includes!hose lo spouse and dependen1 children; see pp of filing ins1n1clions.) [{ NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. 5.

3 Page 3of10 Name or Person Reporting Shanstrom, JacfK D V. GIFTS. (Includes those to spo11se and dependent c/1i/dren; see pp of filing instr11ctions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. 5. VI. LIABILITIES, (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. 5.

4 Name of Person Reporting Page 4of10 Shanstrom, Jacfk D. 8/9/2012 VII. INVESTMENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, ra1ue, transactions r1nc1udes tiwse of spouse and dependent children; see PP J4-6o 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 ofreponing period (I) (2) (I) (3) (4) (2) (I) (2) (5) Place "(X)" afler each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mrndd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private (Q-W) trnnsaction) I. US BancorpDel shares - self A Dividend J T Microsoft Corp shares - self A Dividend J T Municipal bond - MT Fae Fin Authority - B Dividend K T self Municipal Bond - MT St V Health Fae c Dividend K T Authrity - self 5. AAPL shares - self A Dividend J T Buy 01/21/11 J (add' I) 6. AAPL shares - self A Dividend J T Buy 02/17/11 J (add' I) 7. AAPL shares - self A Dividend J T Buy 02/24/11 K (add'i) 8. AAPL shares - self A Dividend J T Sold 08/10/11 K B (part) 9. AAPL shares - self A Dividend J T Buy 8/22/11 K (add'i) 10. APPL shares - self A Dividend J T Sold 08/23/11 L c (part) 11. APPL shares - self A Dividend J T Buy 08/31/11 K (add'i) 1 APPL shares - self A Dividend J T Buy 10/03/11 J (add' I) 1 APPL shares - self A Dividend J T Sold 12/20/11 K B (part) 1 ANTF shares - self A Dividend J T 15. VYOG shares - self A Dividend J T 16. TNK shares - self A Dividend J T 17. WFC shares - self A Dividend Sold 02/09/11 J A I. Income Gain Codes: A =$1.000 or less B=Sl.OOt-$500 c $ =$ $t5,000 E =$15,001 - $50,000 (Sec Columns Bl and D4) F =$ St G =$ I - $ Ill =$ $ =More than $ Value Codes J =$ or less K=$15.00l -$ L =$50.00I - $I M =$ I - $ (Sec Columns Cl and 03) N =$ I - $ =$ I -$ l PI =$ I - $5.000,000 Pl =$ $25, PJ =$ $ P4 =More than $ Value Method Codes Q =Appr<iisnl R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Hook Value V =Other W ::l::stimatcd

5 Page 5of10 J\ame of Person Reporting Shanstrom, JactK D. 8/9/2012 VII. I NV ES TMENT S and TRUSTS - income, l'q111e, transactions r1nc/udes those of spouse and dependent c11i1t1ren: see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. Description of Assets Income during Gross value at end Transactions during reporting period c. D. (including trust assets) reponing period of reponing period (I) (3) (I) (2) (I) (2) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code 1 exempt from prior disclosure div. rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code l buyer/seller (A-H) or int.) (J-P) Code) redemption) (J-P) (A-H) (if private (Q-W) transaction) 18. SWC shares - self A Dividend J T Buy 12/20111 K 19. Microsoft shares - self- IRA A Dividend J T Sold 03/25/I I J A (part) 20. Costco shares - self - IRA A Dividend J T 21. AT&T shares - self- IRA A Dividend J T 2 PSEC - self - IRA A Dividend J T 2 Target shares -- A Dividend J T 2 NWL shares -- A Dividend Sold 12/28/11 J A 25. SIRI stock -- A Dividend J T 26. Touch America stock-- A Dividend J T 27. Wal Mart stock-- A Dividend J T 28. 3M stock-- A Dividend J T 29. Gannett stock -,. A Dividend J T 30. Home Depot stock -- A Dividend J T 31. Lowes stock -- A Dividend J T 3 Avon stock -- A Dividend Sold 12/28/11 J A 3 Kimberly Clark stock -- A Dividend J T 3 Sara Lee stock -,. A Dividend J T I. Income Gain Codes: A =$1.000 or less ll=$1.00 I -$500 c =$50t - S5.000 D=$5.00t -$t5.000 E =$ $ (Sec Columns Bl and 04) F =$ $I 00,000 G =$I I - $ =$1.000,001 - $ =More than $ Valu Codes J=$ orlcss K =$ $ L =$ $ M =$I I - $ (Sec Columns CI and DJ) N =$ I - $ =$ I -$ Pl =$ $5.000,000 P2 =$5, I - $ '3 =$ $ r =More than $ Value Method Codes Q =Appraisal R =Cost (Ren I E.st:itc Only) S=Assessment T =Cash Markct (Sec Column C2) U =Hook Value V =Othcr W =Estimated

6 Page 6of10 Name of Person Reporting Shanstrom, JacfK D. 8/9/2012 VII. INV EST MENTS and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, value, transactions r1nc111des those of spolle and dependent children; see PP of filinc instructions.) A. B. c. D. Description of Assets Income during Gross value at en<l Transactions during reporting period (including trust assets) reporting period of reporting period (!) (2) (!) (2) (2) (3) 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 (I) (4) (5) (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-II) (if private (Q-W) transaction) 35. Amgen stock -- A Dividend J T 36. AstraZeneca stock -- A Dividend J T 37. GSKstock- A Dividend Sold 12/28/11 J A 38. Johnson & Johnson stock-- A Dividend J T 39. Eli Lilly stock - A Dividend Sold 12/28/11 J A 40. Pfizer stock -- A Dividend J T 41. Wyeth stock - A Dividend J T 4 Municipal bond - MT St V Health Care Fae c Dividend K T -- 4 Bank of America shares -- A Dividend K T 4 Citigroup shales -- A Dividend J T 45. MBIA shares -- A Dividend J T 46. US Bancorp shares -- A Dividend J T 47. Wachovia shares -- A Dividend J T 48. Wells Fargo shares --e A Dividend J T 49. Municipal bond - Fed Home Ln BK - - B Dividend J T 50. Municipal bond - Fed Home Ln Bk -- B Dividend J T 51. Municipal bond- Fed Home Ln BK-- B Dividend J T I. Income Gain Codes: A =$1.000 or less!l =St.oot -$500 c 4SOt -$5,000 0=$5.00t -$15,000 E =$t5.00t -$ (See Columns BI and 04) f =$ $100,000 G =$ $ Ill =$ $ =More than $ Value Codes J ::$ or less K =$15.00t -$ L =$ St M =$! $ (Sec Columns Cl and D3) N =$ $ =$500,00 I -$1, Pl =$ $ P2 =$ $25, '3 =$ $50, P4 =More 1han $ Value Method Codes Q =Apprnisnl R =Cost (Real Estalc Only) S =Assessment T =Cash Market (Sec- Column (2) U =Book Value V 01hcr W =Estimated

7 Name of Person RC'porting Page 7of10 Shanstrom, Jacfk D. 8/9/2012 VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. R. 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) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of (2) exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-II) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 5 Lee shares -- A Dividend J T 5 HRP shares -- A Dividend J T 5 PSEC shares-- A Dividend J T 55. FIBK shares-- A Dividend J T 56. VYOG shares -- A Dividend J T 57. SD shares-- A Dividend J T Buy 02/28/11 J 58. Ambase stock --- IRA A Dividend J T 59. Boeing stock --- IRA A Dividend Sold 03/25/ 11 J A 60. Costco stock - - IRA A Dividend J T 61. Motorola stock --- IRA A Dividend J T 6 GE stock -- - IRA A Dividend J T 6 Hewlett Packard stock -- IRA A Dividend J T 6 Five Star Quality stock -- - IRA A Dividend J T 65. STSA stock -- - IRA A Dividend J T 66. HRP stock -- - IRA A Dividend J T 67. Visteon Corp stock --- IRA A Dividend J T 68. Intel stock -- - IRA A Dividend J T I. Income Gain Codes: A =$1.000 or Jess H =St $500 c =$50t - $5.000 D =$ $ E=$t5.00J-$ (Sec Columns BI and D4) f =$ $I 00,000 G =$ $ lit =$ $5, =More than $5.000,000 Value Codes J =$ or Jess K =$ $ L =$50.00 I -$I M =$100.00t -$ (Sec Columns CI and DJ) N =$ $ =$ I -$ Pl =$ $5.000,000 P2 =$5, I -$25, PJ =$ I - $ P4 =More than $ Value Method Codes Q =Apprnisal R =Cost (Real Estate Only) S =Asscssm nt T =C:ish Market (Sec Column C2) U =Book Value V =Other \V =Estimated

8 Name of Person Reporting Page 8of10 Shanstrom, Jaclk D. 8/9/2012 VII. INVESTMENTS and TRUSTS - income, a1ue, 1ransac1ions (tnc1ujes those of spouse and dependent children: see pp offilinc ins1ruc1ions.j D NONE (No reportable income, assets, or transactions.) A. B. Description of Assets Tncome 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) c. (2) (I) (2) (I) (2) (3) (4) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Code I div., rent, Code 2 Method buy, sell, mm!ddlyy Code 2 Code I (A-H) or int.) (J-P) Code) redemption) (J-P) (A-H) (Q-W) D. (5) Identity of buyer/seller (if private transaction) PSEC stock - - IRA A Dividend T I. Income Gain Codes: A =$1.000 or less ll =$ 1.00 I - $500 c =$50t - $5.000 D =$5.001 $ E =$15.00 I - $ (Sec Columns Ill and D4) f =$ $100,000 G =$ $1, =$1.000,001 -$ =More than $ Value Codes J =$ or less K =$t5.00t - $ L =$ $ M =$ $ (Sec Columns Cl and 03) N =$ t -$ =$500,00 I - $ Pl =$ $5,000,000 P2 =$ $25, P3 =$ $ P4 =More than $ J. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value v =Othcr \V =Estimated

9 Name or Person Reporting Page 9of10 Shanstrom, Jacfk D. 8/9/2012 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicatepartofreport.) None

10 Page 10of10 Name of Person Rrporting Shanstrom, Jaclk D. 8/9/2012 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/ Jacfk D. Shanstrom NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL ANO 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