FNNCL SCLOSURE REPOR Report Required by the Ethics O O in Government ct of 1978 Rev. 112008 FORCLENRYER2008 (5 U.S.C. app. O- ). Person Reporting (last name, first, middle initial) Court or Organization Zagel, ames B. U.S. istrict Court No. ll. itle (rticle judges indieate active or senior status; magistrate judges indicate full- or part-time) U.S. istrict udge, ctive 7. Chambers or Office ddress 219 S. earborn Room 2588 Chicago, L 60604 Sa. Report ype (check appropriate type) 6. Reporting Period Nomination. ate nitial [l nnual Sb. mended Report 01/01/2008 Final to 12/31/2008 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable aws and regulations. - Reviewing Officer ate MPORN 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. Sign on fast page.. POSONS. (Reporting individual only; see pp. 9-13 of filing instructions.) 0 NONE (No reportable positions.) POSON NME OF ORGNZON/ENY. rustee rust 5.. GREEMENS. (Reporting individual only; see pp. 14-16 of filing instructions.) [Z NONE (No reportable agreements.) PRES N ERMS Cf <= 1-11 oz }> :: rn o> -.r -Yl = = ; L= c:: :;;:::: (f )> 9 0 N rr _o ;o rn (' rn < rn C. Zagel, ames B
FNNCL SCLOSURE REPOR Page 2of11 Zagel, ames B.. NON-NVESMEN N COME. (Reporting individual and spouse; see pp. 17-14 of filing instructions.). Filer's Non-nvestment ncome NONE (No reportable non-investment income.) SOURCE N YPE NCOME (yours, not spouse's). 1/1-12/31 Foundation Press - Book Royalties $836.00 1/1-12/31 EP alent Services - ctor's Royalties $148.00 B. Spouse's Non-nvestment ncome - /you were married during any portion of the reporting year, complete this section. (ollar amount not required except for honoraria.) NONE (No reportable non-investment income.) SOURCE N YPE. 1/1-12/31 Grant hornton - Partnership ncome V. REMBURSEMENS - transportation, lodging.food, entertainment (ncludes those to spouse and dependent children; see pp. 15-17 of filing instructions.) [2 NONE (No reportable reimbursements.) SOURCE ES LOCON PURPOSE EMS P OR PROVE
FNNCL SCLOSURE REPOR Page 3of11 Zagel, ames B. V. GFS. (ncludes those to spouse and dependent children; see pp. 28-31 of filing instructions.) [{ NONE (No reportable gifts.) SOURCE ESCRPON VLUE. 5. V. LBLES. (ncludes those of spouse and dependent children; see pp. 32-33 of filing instructions.) [{ NONE (No reportable liabilities.) CREOR ESCRPON VLUE COE. 5.
- FNNCL SCLOSURE REPOR Page 4of1- Zagel, ames B. V. NVESMENS and RUSS - income, value, transactions r1nc1udes those of spouse and dependent children: see PP 34-60 of filing instructions.) NONE (No reportable income, assets. or transactions.). B. c. esc ription of ssets ncome during Gross value at end of (inclu ding trust assets) Place"( X)" after each asset exempt f rom prior disclosure () (2) () mount ype (e.g. Code div.. rent, Code 2 (-H) or int.) (-P) (2) () Method Code 3 (Q-W) ype (e.g., buy, sell, redemption). ransactions during (2) (3) (4) (5) ate Gain dentity of Month- Code 2 Code buyer/seller ay (-P) (-H) (if private transaction) L. M.O.N.Y. Policy c Northern rust ccts. E 0 Farm Land Washington/Clinton Counties ll. c Rent w Grant hornton 401(k) M.. 5. Northwestern Mut. Life ns. Policy 6. New York Life ns. Pol. 7. Country Cos. Life Pol. 8. ransamer. Life Pol. Val. None L 9. ransamer. Life Pol. Val. None L 10. Prudential Life ns.. Metropolitan Life ns. 1 Equitable Life (Now X Equitable) 1 Bear Steams & Co. cct./royal Bank of Canada (RBC) nterest 0 1 NG Life Policy 15. Bear Steams & Co. cct./rbc nterest 0 16. EMFX istribution 17. EMFX istribution. ncome Gain Codes: =St,000 or less B =Sl.001-52,500 C =S2,50-55,000 =S5.00 -$15,000 E =S 15,00-550,000 (See Columns B and 4) F =$50,00 - $ 00,000 G =s100.001 - s1.ooo.ooo H =S 1,000,00 - S5,000,000 H2 =More than S5.000,000 Codes l =S 15.000 or less =S 15,00 - S50.000 L =S50.00 - S 00,000 M =$ 00,00 - $250,000 (Sec Columns Cl and ) N =S250,001-5500,000 0 =S500,00 - S 1.000,000 Pl =Sl,000,001 - S5.000,000 P2 =$5,000,001 $25.000,000 Method Codes P =S25.ooo.001 - s5o.ooo.ooo Q =ppraisal R =Cosl (Real Estate Only) P4 =More than $50,000,000 S =ssessment =Cash Market (See Column C2) U =Book V =Other W =Estimated
FNNCL SCLOSURE REPOR Page 5of11 Zagel, ames B. V. NVESMENS and RUSS - income, vatue, 1ransactions r1nc1udes those of spouse and dependent children; see PP 34-60 of fiting instructions.) NONE (No reportable income, assets, or transactions.) i ' : '. B. escription of ssets ncome during (including trust assets) Place "(X)" after each asset mount ype (e.g., exempt from prior disclosure Code div., rent, (-H) or int.) () (2) c.. Gross value at end of ransactions during () Code 2 (-P) (2) () (2) (3) ype (e g., ate Method buy, sell, Month - Code 2 Code 3 redemption) ay (-P) (Q-W) (4) Gain Code (-H) (5) dentity of buyer/seller (if private transaction) - --- L - -- --- - --- -- _L - 18. O 19. O 20. Regions Fin. RF 21. SG Pension Plan nterest 2 CP 2 CP 2 Fording nc. - FOG Sold 10/31 25. eck Cominco Ltd.ffC istribution Spinoff 10/31 (from line 24) 26. eck Cominco Ltd./C istribution Spino ff 10/31 (from line 24) 27. Encana - EC (formerly PCX) B L 28. Encana - EC (formerly PCX) B L 29. - ell None 30. M Limited Partners c istribution L w 31. M CONNGEN BENEFCRY OF RUS 3 ssets of rust: otal value of all assets list ed 3 My estimated share is % 3 Bank ccounts: Harris rust Chk./nt. nterest i r-. - ncome Gain Codes: ==$1,000 or less B =St,001 - S2,500 c =$2,501 - $5,000 =S5,00 S 15,000 E =$15,001 - - $50,000- -1 (See Columns B and 04) F =S50,00 - $ 00,000 Codes =S 15,000 or less (See Columns Cl and 03) N =S250.00 $500,000 Method Codes Q =ppraisal {See Column C2) P =S25,000,00 S50.000,000 U =Book G =SOO,OOt S,000,000 H =$1,000,001 $5,000,000 =S 15,00 - S50,000 L =$50,00 - S 00,000 0 =SS00,00 t S 1,000,000 P =S 1,000,00 SS,000,000 R =Cost (Real Es1a1e Only) V=Other P4 =More lhan $50,000,000 S =ssessment W =Estimated.. - - --- ----- - H2 =More than $5,000,000 M =S 00,00 - $250,000 P2 =$5,000,001 S25,000,000 -::=Cash Market ; -- - -- -- - --- - - - - - ----- -
FNNCL SCLOSURE REPOR Page 6of11 Zagel, ames B.! i ' ' V. NVESMENS and RUSS - income, vatue, 1ransacnons r1nc1udes those of spouse and dependent children; see PP 34-60 of filing instructions.) NONE (No reportable income, assets, or transactions.). escription of ssets (including trust assets) Place "(X)" af\er each asset exempt from prior disclosure -- ---- - -- --- ------ --- B. ncome during () (2) mount ype (e.g., Code div., rent, (-H or int.) c. Gross value at end of () Code 2 (-P) (2) Method Code 3 (Q-W) () ype (e.g., buy, sell, redemption). ransactions during (2) ate Month- ay (3) Code 2 (-P) (4) Gain Code (-H) l _ (5) dentity of buyer/seller (if private transac 35. Maple Pu blishing Co. nterest w 36. Bear Steams SEP/R/RBC c N 37. Georgia Mun Elec uth Rev Bond c nterest Sold 10/09 L 38. CP 39. Fording nc. - FOG Sold 10/31 40. eck Cominco Ltd./C istribution Spinoff 10/31 (from line 39) 41. Citizens PPY ns Corp Fla Bond c nterest Redeemed 5107 L 4 Encana - EC (formerly PCX) 4 Oracle - ORCL None 4 Nassau County NY Bond c nterest Redeemed 7109 45. San iego, C Pension Bond c nterest Redeemed 8/15 L 46. Wisconsin Gen Fund Bond c nterest Sold 2/15 47. eck Cominco Ltd./C istribution Spino ff 10/31 (from line 24) 48. End of R 49. H 50. H 51. PG B L. ncome Gain Codes: =S 1,000 or less B =$1.00 $2,500 C =SZ,50 - $5,000 =$5,00 $15,000 E =$15,00 - S50,000 (See Columns Bl and 04) F =$50.00 - $ 00,000 G =$100,001 -Sl,000,000 H =$1,000,00 - $5,000,000 HZ =More than $5.000.000 Codes =S 15.000 or less =S 15,00 - S50,000 L =$50,00 - S 00,000 M =S 00,00 $250,000 (See Columns Cl and 03) N =$250.00 - $500,000 0 =S500.00 - S 1.000.000 P =S 1,000.00 - $5,000.000 P2 =$5,000.001 - $25,000,000 P3 =S25.ooo.001 - s5o.ooo.ooo P4 =More than S50.000,000 Me1hod Codes Q =ppraisal R =Cost (Real Estale Only) S =ssessment =Cash Market (See Column C2) U =Book V =Other W =Estimated _j
- ---------- FNNCL SCLOSURE REPOR Page 7of11 Zagel, ames B. V. NVESMENS and RUSS - income, value, transactions (ncludes those of spouse and dependent children; see PP 34-60 of filing instructions.) NONE (No reportable income, assets, or transactions.). escription of ssets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. c.. ncome during Gross value at end of ransactions during () (2) () (2) () (2) (3) (4) (5) mount ype (e.g. ype (e.g., ate Gain dentity of Code div., rent, Code 2 Method buy, sell, Month- Code 2 Code buyer/seller (-H) or int.) (-P) Code 3 redemption) ay (-P) (-H) (if private (Q-W) - transaction) l 5 PG B L 5 ll Hsg ev uth Rev Bonds B nterest Redeemed 8/01 L 5 Wyeth - WYE (formerly HP) 55. Wyeth - WYE (formerly HP) 56. General Electric-GE 57. General Electric-GE 58. Chicago G/O Park ist Bond B nterest Redeemed 1/02 59. llinois G/O Fin uth Bond B nterest Redeemed 7/01 60. llinois G/O Fin uth Bond B nterest Redeemed 7/01 61. Penn Hsg Fin gy Bond nterest Redeemed 5114 L 6 Missouri St Faes Bond c nterest Redeemed 10/14 L 6 Berks Co Pa Mun Bond c nterest Redeemed 10/22 L 6 em CoCal College ist Bond B nterest Redeemed 7111 65. Wisconsin Pub Bond c nterest Redeemed 717 L 66. Univ Wisc Bond c nterest Redeemed 717 L 67. owa Fin uth Bond B nterest Redeemed 3/18 68. ime Warner. ncome Gain Codes: =$1,000 or ess B =$1,001 - $2,500 C =$2,50-55,000 =55,001-$15.000 E =$15,00 -SS0,000 (See Columns Bl and 04) F=$50,00 S 00,000 G =$ 00,00 - $1,000,000 H =$1,000,001 -$5,000.000 H2 =More than SS,000,000 Codes =S 5.000 or less =St 5,00 - S50,000 L =$50,00 - S 00,000 M =S 00.00 -S250,000 (See Columns Cl and 03) N =5250,001 5500,000 0=5500,00t Sl,000,000 P =$1,000,00 -$5,000,000 P2 =55,000.001-525,000.000 P =S25,000.00-550,000,000 P4 =More than $50,000,000 Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (Sec Column C2) U =Book V=Other W =Estimated
FNNCL SCLOSURE REPOR Page 8of11 Zagel, ames B. V. NVESMENS and RUSS - income, vatue, rransactions r1nc1udes those of spouse and dependent children; see PP 14-60 of filing instructions.; NONE (No reportable income. assets, or transactions.) ra n sactions during (5) l dentity of i : - C ; l n buyer/seller ay (-P) (-H) (if private _ transacti ----- -- -------_L.L, L -------- -- --. 69. ime Warner 70. anus Contrarian Fund 71. anus Contrarian Fund 7 Bear Steams ccount nterest N 7 Pepco Holdings POM B 7 First Energy - FE B 75. uff & Phelp Fund - NP B 76. Fund Managed High ncome - MHY B 77. Lease of excess Berrien Cty, Ml acreage to B Rent L Leitz Corp w 78. & 79. Comcast - CMCS None Sold 8/27 B 80. FPLGroup/FPL 81. Conoco Philips - COP 8 Bank of merica - BC B 8 allas Fort Worth Rev Bonds lnt./iv. Buy 11/04 8 allas Fort Worth Rev Bonds lnt./iv. Buy 11/04 85. lll Sports Faes uth Bond B lnt./iv. Buy 6/01 - --- ------- -----. ncome Gain Codes: =$1,000 or less B =$1,00 -$2,500 C =$2,50-55,000 =$5,00 - S 15,000 E =$15,00 -$50,000 (See Columns B and 04) F =$50,001. $!00,000 G =$100,001 -Sl,000,000 H =$ 1,000,00 -$5,000,000 H2 =More than S5,000,000 Codes l=$15,000orless =SS,001 -$50,000 L =SS0,00 -S O.O M =S 00,00 -$250,000 (See Columns Cl and 03) N =S250,00 S500,000 0 =S500,00 -S 1,000,000 Pl =Sl,OOO,OOl -S5,000,000 P2 =15,000,001 -S25,000,000 P3 =S25,000,00 -S50,000,000 P4 =More than $50,000,000 Method Codes Q =ppraisal R =Cost (Real Estate Only) S =ssessment =Cash Market (See Column C2) U =Book V =Other W =Estimated -- '
FNNCL SCLOSURE REPOR Page 9of11 Zagel, ames B. V. N VESMEN s and R u S s - income, value, transactions (ncludes those of spouse and dependent children; see PP 34-60 of filing instructions.) NONE (No reportable income, assets, or transactions.)! i!. B. c. escription of ssets ncome during Gross value al end of (including trust assets) Place "(X)"" after each asset exempt from prior disclosure, --- ------ ----- (2) () (2) (2) (3) (4) (5) mount ype (e.g., ype (e.g., ate Gain dentity of Code div.. rent. Code 2 Method buy, sell, Month - Code 2 Code buyer/seller (-H) or int.) (-P) Cod redemption) ay (-P) (-H) (if private () (Q-W) (). ransactions during transaction) ------ ---------- --- ---- -------. ncome Gain Codes: =$1,000 or less B =$,00 - $2,500 C =$2,50 $5,000 =SS.O - SS.OO E =$15,00 - $50.000 (See Columns Bl and 04) F =$50.00 - $ 00,000 G =$00,001 - Sl.000.000 H =S,000,00 - $5.000.000 H2 =More than SS,000,000 Codes =SS.000 or ess =S 5,00 SS0.000 L =SS0.00 S 00.000 M =$ 00,00-5250,000 (See Columns Cl and 03) N =5250.00-5500,000 0 =5500,00 - S 1,000,000 P 1 =s1.000,001 - ss.000.000 P2 =S5.000.00 - $25.000.000 P3 =525,000,001-550,000,000 P4 =More than 550.000.000 Melhod Codes Q =ppraisal R =Cost (Real Es1ate Only) S =<ssessment =Cash Market (See Column C2) U =Book V-::Other W =Estimated i ------------------- ---
FNNCL SCLOSURE REPOR Name or Person Reporting ate or Report Page 10of11 Zagel, ames B. V. ONL NFORMON OR EXPLNONS. (lndicate parto/repon) participate in the Federal hrift Savings Plan, but it is my understanding that this asset need not be listed. ll individual assets held in brokerage accounts are individually disclosed in report. he double listing of certain investments is due to the fact that some are in separately because they are individual holdings which might be sold separately at a future time. name. have not designated which are assets, but list them Various investment accounts held at Bear Steams were, during the calendar year, transferred to RBC's (Royal Bank of Canada) Wealth Management facility in Chicago. ccordingly, the individual investments are listed under the heading Bear Stearns/RBC. he transition of investments occurred over some weeks. hese are non-discretionary accounts. n previous years, the Union League Club was listed under "V. Gifts." Based upon further information, and upon the opinion of the Committee on Codes of Conduct, the monthly fees paid by judges are equal to fees paid by younger members, clergy and military. he fees exceed the overhead costs to the club, and the privileges accorded are less than those accorded regular members. n the opinion of the Committee on Codes of Conduct, this fee classificiation does not constitute a "gift" under the Ethics in Government ct. n Section V, list llinois Sports Facilities uthority Bond. t was acquired with a series of other state uthority bonds over time. believed it was an llinois evelopment uthority Bond and included its value when reporting those bonds. When the llinois evelopment uthority Bonds were redeemed, the Sports Facility bond remained, and realized it was a bond issued by a separate state agency, and belatedly list it now.
FNNCL SCLOSURE REPOR Page 11 of 11 Zagel;.tmes B. 6/4/2009 X. CERFCON. 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. 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 udicial Conference regulations. Signature NOE: NY NVUL WHO NOWNGLY N WLFULLY FLSFES OR FLS O FLE HS REPOR MY BE SUBEC O CVL N CRMNL SNCONS (5 U.S.C. app. 104) FLNG NSRUCONS Mail signed original and 3 additional copies to: Committee on Financial isclosure dministrative Offce of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington,.C. 20544