D NONE (No reportable positions.)

Transcription

1 AO JO Rev. l/j3 FINANCIAL DISCLOSURE REPOR FOR CALENDAR YEAR 2012 Report Required by the Ethics in Government Act t<l/978 (5 U.S.C. app. JOI-I JI) I. Person Reporting (last name, first, middle initial) Court or Organization unheim, John R. District of Minnesota 05/15/2013 itle (Article Ill judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Judge - Active 7. Chambers or Office Address Sa. Report ype (check appropriate type) D Nomination Date Initial Annual Final D [Z D Sb. D Amended Report 6. Reporting Period 01/01/2012 to 12/31/ E United States Courthouse 300 South Fourth Street Minneapolis, MN IMPORAN NOES: he instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. I. POSIIONS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSIION NAME OF ORGANIZAION/ENIY I. Director and President Norwegian-American Historical Association (nonprofit organization) Director Federal Bar Association, Minnesota Chapter Advisor, Chair Advisory Board to the Hubert H. Humphrey School of Public Affairs at the University of Minnesota Regent, Chair Concordia College, Moorhead, MN 5. Board Member Board of Advisors, University of Minnesota Law School, Minneapolis, MN 6. Committee Member, Past Chair Executive Committee, National Conference of Federal rial Court Judges, Judicial Division, American Bar Association 7. ask Force Chair Prosecution and Defense Function Standards ask Force, Criminal Justice Section, American Bar Association 8. Board Member he Oslo Center for Peace and Human Rights-U.S. Foundation 9. Board Member he Rand Institute for Civil Justice JO. Advisory Committee Member Standing Committee of Law and National Security, American Bar Association 11. Member Minnesota Law Review Alumni Advisory Board, University of Minnesota Law School 1 Executor

2 FINANCIAL DISCLOSURE REPOR Page 2 of9 unheim, John R /2013 IJ. AGREEMENS. (Reporting individual only; see pp of filing instructions.) [Z NONE (No reportable agreements.) PARIES AND ERMS I.

3 FINANCIAL DISCLOSURE REPOR Page 3 of9 unheim; John R. Date or Report III. NON-INVESMEN IN CO ME. (Reporting individual and spouse; see pp. I 7-24 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 International Foundation for Electoral Systems - compensation (USAID $10,3984 directed and funded) B. Spouse's Non-Investment Income - I/you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND YPE I Self employed Public Relations Consultant IV. REIMBURSEMENS --transportation, lodging, food, entertainment. (Includes those to spouse and dependent children; see pp offiling instructions.) D NONE (No reportable reimbursements.) SOURCE DAES LOCAION PURPOSE IEMS PAID OR PROVIDED I. American Bar Association Feb. 2-5 New Orleans, LA Meeting ransportation, meals and lodging American Bar Association, Jan. 8-9; June Washington, DC ask Force ransportation, meals and lodging Criminal Justice Section American Bar Association August 2-4 Chicago, IL Meeting Meals and lodging Concordia College June Aspen, CO Program ransportation, meals and lodging 5. Concordia College April Moorhead, MN Meeting ransportation and lodging 6. Concordia College May Moorhead, MN Board Meeting ransportation, meals and lodging

4 FINANCIAL DISCLOSURE REPOR Page 4 of9 unheim, John R. 05/15/ Concordia College Oct 2-6 Moorhead, MN Class (speaker) ransporation and lodging 8. International Foundation for Feb ; Mar. 3-7 Prisinta, Kosovo raining ransportation, meals and lodging Electoral Systems (USAID directed and funded) 9. International Foundation for Feb ; June Washington, DC Program (speaker) ransportation, meals and lodging Electoral Systems (USAID 21-22, Nov. 6-7 dir 10. Checchi (USAID directed and Oct Pristina and Peja, Kosovo raining ransportation, meals and loding funded) 11. Regional Dialogue Branch Oct. 14-2; Nov ashkent, Uzbekistan raining ransportation, meals and lodging Office in Uzbekistan (USAID funded) 1 Pittsburgh Law School Oct Pittsburg, PA CLE (teach) ransportation, meals and lodging 1 RAND Corp. Oct Washington, DC Meeting ransportation and lodging

5 FINANCIAL DISCLOSURE REPOR Page 5 of9 unheim, John R V. GIFS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPION VALUE I. 5. VJ, LJABJLJJES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDIOR DESCRIPION VALUE CODE I. 5.

6 FINANCIAL DISCLOSURE REPOR Page 6 of9 unheim, John R VII. INVESMENS and RUSS -- income, value, transactions (1nc111des those of spouse and dependent c11i/t1ren; see PP offitinc im1ructio11s.j D NONE (No reportable income, assets, or transactions.) A. B. C. D. Description of Assets Income during Gross value at end ransactions during reporting period (including tmst assets) reporting period of reporting period (I) (1) (2) (2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount ype (e.g., Value Value ype (e.g., Date Value Gain Identity of exempt from prior disclosure Code 1 div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) Code 3 redemption) (J-P) (A-H) (if private (J-P) (Q-W) transaction) I. Hiway Federal Credit Union. St. Paul, MN A Interest J (Bank Accts) State of Minnesota Deferred Compensation None J Account Honeywell Retirement Benefit Plan None M Atlas Energy for the Nineties Public Officer A Distribution J #4 5. Wells Fargo Bank A Interest K 6. Schwab Advisory Cash Reserve 7. American Funds: American Balanced Fund c Dividend Sold 9/17/12 J A CI F 8. Dodge & Cox Balanced A Dividend Sold 9/17/12 L B 9. American Funds: Washington Mutual A Dividend K Investors IO. American Funds: Investment Co of America B Dividend K CI F 11. Baron Asset B Dividend K 1 American Funds: Capital World Growth & A Dividend K Income 1 Royce otal Return B Dividend K 1 American Funds: New World Fund 15. American Funds: Capitol Income Builder B Dividend K 16. Schwab Advisor Cash Reserve None J 17. American Funds: Growth Fund of America A Dividend K I. Income Gain Codes: A or lcss B 41,001 -$2,500 c =$2,501 -$5.000 D =$ $ E=$15.00l -$50,000 (Sec Columns Bl and 04) F =$ $ G =$I I - $1.000,000 Ill =$1, $5,000,000 ll2 =More than $ Value Codes J =$ or less K =$15,00 I -$ L =$50,001 -$ M =$100,001 -$ (Sec Columns Cl and D3) N =$ $ =$500,001 -$1.000,000 Pl =$1, $5,000,000 P2 =$5, $25, P3 =$25.000,001 - $50,000,000 P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment =Cash Market (Sec Column C2) U =Book Value V=Othcr W =Estimated

7 FINANCIAL DISCLOSURE REPOR Page 7 of9 unheim, John R. Date or Report 05/15/2013 VII. INVESMENS and RUSS - 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 ransactions during reporting period (including trust assets) reporting period ofreporting period (I) (2) (2) (2) (3) (I) (I) (4) (5) Place "(X)" after each asset Amount ype (e.g., Value Value ype (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) Code3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 18. American Funds: Investment Co. of America CI R3 A Dividend K 19. American Funds: EuroPacific Fund 20. American Funds: American Balanced CL R3 A Dividend K 21. American Funds: Bond Fund of America A Dividend K 2 Vanguard Selected Value 2 Dodge & Cox Income 2 American Funds: Bond Fund of America Cl a [edj] (X) Sold (part) 12/27/12 J A 25. American Funds: 'Capital lncom Bldr Fund A [edj] (X) Sold (part) J A 26. American Funds: Capital World Grw & Inc Fund A[edj] (X) Sold (part) 12/27/12 J A 27. American Funds: Washington Mutual Invs Fd Cl A [edj] (X) Sold (part) 12/27/12 J A 28. Estate (X) None M s J J,'!,j;, Marshall County, MN ($90,000) 30., Pelican Rapids, MN ($75,000) 31. hrivent Financial for Lutherans: Deferred Income (X) A Interest K I. Income Gain Codes: A =$1.000 or less B =$1,001 -$2,500 c =$501 - $5,000 D=$ $ E =$ $ (Sec Columns Bl and 04) F =$50,001 -$ G=$100,001 -$1.000,000 Ill =$ $ =More than $ Value Codes J =$15,000 or less K=$15,001-$ L =$ $ M =$ $ (Sec Columns CI and 03) N =$ $ =$500,001 -$1, Pl =$1, $ P2 =$ $ P3 =$ $50,000,000 P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment =Cash Market (Sec Colmnn C2) U =Book Value V =Other W =Estimated

8 FINANCIAL DISCLOSURE REPOR Page 8 of9 unheim, John R. 05/15/2013 VIII. ADDIIONAL INFORMAION OR EXPLANAIONS. (Jndica/e partofreporl.}

9 FINANCIAL DISCLOSURE REPOR Page 9 of9 unheim, John R. 05/15/2013 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/ John R. unheim NOE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY 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 Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C