Gritzner, James - Judicial Watch€¦ · POSION NAE OF RGAIZATIY RES AD TERMS xo10 . FINANCIAL DISCLOSURE REPORT . Report Required y the Ehis. in Govenment Act of 1978 . Rev. l 12.0

POSITION NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

Report Required by the EthicsFINANCIAL DISCLOSURE REPORT xo10 in Government Act of 1978 Rev. l 12.0 l Q FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ 101-1 lI)

I. Penon Reportin2 (last name. first, middle initial)

Gritzner, James E.

2. Court o r Ori:anization

U.S. District Court SDIA

3. Date of Report

05/1112010

4. Title (Article Ill judges indicate active or senior status; magistrate judges indicate full· or part-time)

Active

Sa. Report Type (cher.k appropriate type)

D Nomination. Date

D Initial 0 Annual

Sb. D Amended Report

D Final

6. Rcportin2 Period

01/0112009

to

12/31/2009

7. Chambers or Office Addren

U.S. Courthouse 123 East Walnut Street Des Moines, Iowa 50309

8. On th basis or the information contained In this Rtport and any modifications pertaining thereto, It I•, In my opinion, In compliance with applicable laws and regulations.

Revitwin: Officer Date

IMPORT ANT NO TES: The instructions accompanying this fonn must be followed. Complete allparts, checking the NONE box for each part where you have no reportable information. Sign on last page.

I. PQSITI 0 NS. (Reporting individual only; see pp. 9·11 of filing instr#ctions.)

[Z] NONE (No reportable positions.)

1.

2.

3.

4.

5.

II. AGREEMENTS. (Reporting indMduat only; see pp. U-16 offtlinr inwuctions.)

[{] NONE (No reportable agreements.)

I.

2.

3.

Gritzner, James E.

SOURCE AND TYPE

SOURCE AND TYPE

SOUR.CG LOCATION PURPOSE

INCOME

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT

Page 2of16

Name of Pcnon Reporting

Gritzner, James E.

Date of Report

05/1112010

III. NON-INVESTMENT INCOME. (Reportingindfriduafandspou5e;seepp.17-Uoffdi.nginstructions.)

A. Filer's Non-Investment Income

!2J NONE (No reportable non-investment income.)

l.

(yours, not spouse's)

2.

3.

4.

B. Spouse's ·Non-Investment Income - lfyo11 were marri<i during any portion of the reporting y•ar, complete this uction.

(Dollar amount not required except for honoraria.)

[Z] NONE (No reportable non-investment income.)

l.

2.

3.

4.

IV. REIMBURSEMENTS - tramportation, lodging,food, entertainment.

(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

l2J NONE (No reportable reimbursements.)

I.

2.

3.

4.

5.

SQURCE DESCRIPTION

CREDITOR DESCRIPTION

VALUE

VALUE CODE

FINANCIAL DISCLOSURE REPORT Name of re,...on Rtportln2 Datt of Report

Gritzner, James E. Page 3 of 16 05/1112010

V• GIFTS. (lncludu thou to spouse and dependent children; supp. 28-31 of filing instructwn<.)

[ZJ NONE. (No reportable gifts.)

I.

2.

3.

4.

5.

VJ. LIABILITIES, (lndudes those IJ/spouse and dependent children; .ee pp. 32-J3 of jiUng instructions.)

[ZJ NONE (No reportable liabilities.)

I.

2.

3.

4.

5.

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(2)

Name of Per.on Rcportin Dote of Report FINANCIAL DISCLOSURE REPORT

Page 4of16 Grltzncr,James E. 05/11/2010

VII. INVESTMENTS and TRUSTS - in com-. valu-. tran.sactfons (Include< thou <>f spouse anti ,,pendent children; SU pp. 3'-60 <>/filing in>tructl•n.<.)

0 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

(1)(1) (2) (2) (3) (S)(1) (4) Value ValueAmountPlace "(X)" after each asset Type (e:g.,

Code I div, rent, Codc2 Methodexempt from prior disclosure (A·H) or int.) Codc3

(Q-W) (J-P)

Type (e.g.,

buy, sell, redemption)

Date Value

m.,,.,,,, °"" ,

(J-P)

Gain

Code I (A-H)

Identity of

buyer/seller (if private

transaction)

I. Brokerage Acct #J

2. -USB Cash Reserves Fund A Dividend J T

3. -Columbia Acom Tr. Fd. A B Dividend K T Sold (part}

4. Sold (part)

5. Sold (part)

6. -Euro Pac Growth Fd. Cl. F A Dividend ] T

7. -!shares Tr S&P 500 Index A Dividend Sold

8. -!st Eagle Global Fd A Dividend J T

9. -Ivy Asset Strategy A Dividend J T Buy

JO. IRA#! D Dividend N T

I I. -USB Liquid Assets Fd

12. -Alliance Bernstein lnt'I Val A Sold

13. -Alliance Bernstein SrntMd Value

14. -American funds Capital World Growth & Inc.

15. ·American Funds Euro Pac Growth Fd CI F

16. -Fidelity New Insights Fd A Buy (add'!)

17. -Fidelity Adv Midcap

3112109 J

918109 J

11/17/09 J

3112109 K

3112/09 K

3113/09 K

3/18/09 K

) • Income Gain Codes: A •S1,000 or less B -S l ,00 l • Sl,500 c -s2,so1 - ss.ooo D •SS,001 • SIS,000 E •SIS.DO I • SS0,000

(See Columns BI .,,d 04) F -sso,001 - s100,0-00 G•SIOO,ODl ·Sl,000,000 111 -s1.ooo,001- ss,000.000 H2 •Mon than SS,000,000 2. Vefuc Codes J •S15,000 or Jess K •SIS,001 • SS0,000 L •Sl0,001 • SI00,000 M •SI00,001 • S2SO,OOO

(Sec Columns Cl •nd DJ) N •S2SO.OOI • 5500,000 o -ssoo,001-s1,ooo,ooo Pl -s1.ooo.001. ss,000,000 P2 •SS,000,001 • Sl.5,000,000

Pl •SlS,000,001 • Sl0,000,000 P4 •Molt than SS0,000,000 3. Vahle Method Codes Q •Apprais.al R -Co:st (Real Estate Onty) S•Assosmr:nl T •Cash Mru-kct

(Se< Colwnn C2) U ;::OooL: V«h1e V •Othcr W""Estim:ared

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FINANCIAL DISCLOSURE REPORT Page 5of16.

Name of Person Reporting

Gritzner, James E.

Date of Report

0511 JnOJO

VII. INVESTMENTS and TRUSTS - income, vatue, 1ransact1ons (lndut1es those ofspauu and t1epent1•"' children; ... PP· 34-60 of fuinc 1ns1ruc1io•s.J

D NONE (No reportable income, assets, or transactions.)

A.

Description of Assets (including trust assets)

Place '(X)" after ca.ch asset

exemptfrom prior disclosure

B. c. Income during Gross value at end

reporting period ofreporting period

(2)(I) (2) (I) Value

Code 1 Amount Type(c.g., Value

Methoddiv., rent, Code2 (A-H) Codc3

(Q-W) or int.) (1-P)

D. Transactions during reporting period

(I) (2) (3) (4) (5) Type(e.g., Date ValueI Gain Identity of

Code 1 buyer/seller redemption)

buy, sell, """''""' ' """ ,

(if private U'an<action)

(A-H)I (J-P) 18. -1st Eagle Global Fd Buy 3118/09 K

(add'!)

19. -Franklin Templeton Mut Ser Fd Cl A

20. -Franklin Value lnvs Tr

21. -MFS Ser Tr Ix Research A

22. -Black Rock Global Allocation Fd K T Buy 3113/09 K

23. Buy 3/18/09 K(add'J)

24. -Fidelity Strategic Inc Buy 3/JS/09 K

25. -Loomis Sayles Bond j

Buy 3116109 K

26. -TCW Galileo Total Return Bond Buy 3116109 K

1 2

7. IRA#2 A Dividend J T

28. -USB Cash Reserves Fd

29. -Agilent Technologies Inc. Sold 3113/09 J

30. -Aetna Inc New Buy 3/ll/09 J(add1)

31. Sold 3113109 J A

32. -AIG

33. -Altria Sold l/30/09 J A

34. -Anglo gold Sold 3/13/09 J

1. Income Gain Cod : A ... S 1,000 or less B •Sl,001 • Sl,500 C •S2.501 • SS,000 D S5,00l ·Sll,OOO E •S15,00I - S50,000

(Sec Columns BJ and 0() F •Sl0,001·5100,000 G ..Sl00,001-Sl,000,000 HI sJ,000,001- Sl,000,000 H2 .-oMori than SS,000,000 2. Value Coda J •Sll,000 or l<SJ K •SIS,001 • SS0,000 L •SS0,001 • SI00,000 M•Sl00,001-S2lC,OOO

(See Columm Cl and 03) N •S250,00J - SS00,000 O•SS00,001-Sl,OOO,ODO Pl sl,000,001 • SS,000,000 P2 •Sl,000,001 - S2S,OOO,OOO PJ -s2s,ooo,001 - sso,000.000 P4 •Mote than SS0,000,000

3. Valtlt Method Codes Q •Appl'lliul R •Cost (Real Estate Ooly) S •Assessment T -Cash Marke< (S<e Column C2) U "'Book Value V-OL'>t:r W•Estimatcd

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Date of Report Kamt of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 6of16 0511112010Gritzner, James E.

VII. INVESTl\fENTS and TRUSTS - income, valu-, transaction.• (lncludu those of spouse anti dependent chi/rlren; S« pp. H-6Q offuing instructions.)


A. B. c. D.

D.,.cription of Assets Income during Gross value at end Transactions during reporting period

(including trust assclS) reporting period of reporting period

Place "(X)" after each asset

exempt from prior disclosure

I

(2)

(I) IAmount Type (e.g., Code I div., rent,

(A-HJ or int}

(I) Value

Code2

(J-P) I. (2)Value

Method

Code 3 (Q-\1/)

(I) Typc(c.g.,

buy, sell,

redemption)

(2) (3) Date Value

mmldd/yy Code 2 (J-P) I (4)

(5} Identity of

buyer/seller (ifpril'ltc

transaction)

35.

36.

37.

38.

39.

40.

41.

42.

-AON Corp

-Apache Corp

-Bank ofAmerica

-Barrick Gold Corp

-Burlington Resources Inc.

-CBS Corp New Cl B

-Clear Channel

j 43. -Comcast Corp Cl A

44. -Computer Assoc lnt'l Inc.

45. -ConocoPhillips

46. -Countrywide

147. -Delphi Corp

48. -Discovery Hldg Co Ser A

49. -Dominion Res Inc VA New

50. -EOG Resources

51. -Freescale Semiconductor B

Sold

Sold

Sold (part)

Sold

Sold

Sold

Sold

Sold

3/13/09

3/13/09 J

116109 J

3113109 J

3/13/09 J

3113/09 J

3113109 J

3/13/09 J

A

A

A

I

1. lncomc Gain Codes: A ""Sl,000 or Jess B •Sl,001 -S2,500 C •52,501 • SS,000 D -SS,001 • SIS,000 E •SIS.001 -550,000

(Sec CoJumns BJ <llld 04) F •S50,00I • SI00,000 G •SJ00,001 - Sl,000,000 HJ •Sl,000,00J • SS,000,000 H2 •More than S!i,000,000 2. Value Codes J •S: S,000 or less K•SJS,001 -SS0,000 L •550,001 • SI00,000 M •SI 00,00 J • S250,000

{Set Columns CJ and 03) N •5250,00 I -SS00,000 0 •SS00,001 -SJ,000,000 Pl •Sl,000,001. SS,000.000 P2 •SS,000,001 • SlS,000,000 P3 •SlS,000,00 I • SS0,000,000 P• •More than 550,000,DDO

3. Value Method Codes Q .. Appnisal R •Con (Real Estate Only) 5 ""Ass.cssment T-=C>sh M"'ket {Sec Column Cl) U •8001.: Value \I-Other W""-Estimated

T

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A.

Name of Person Reporting Datt of Report FINANCIAL DISCLOSURE REPORT

Page 7of16 Gritzner, James E. 05/1112010

VII. INVEST1\1ENTS and TRUSTS - income, value, trtUt5aclions (foc/Mdes those ofspol(>C and dependent childrtn; SU pp. 34-60 of fJing insrructinns.)


Description of Assets

(including trust assets)


exempt from prior disclosure I

B. Income during

reporting period

c. Gross value at end of reporting period


(I)AmountCode I (A-H)

(2) I (1) Type (e.g., Value

div., rent, Code2 or int.) (I-P)

(2)Value

Method

Code 3 (Q-W)

(!) I

(2) (3) (4)Type (e.g., Date Value j Gain buy, sci mmldd/yy Code Code 1

redemption) (1-P) (A-H)

(5) Jd'entity of

buyer/seller

(if private

tram.action)

52. -Genworth Financial Cl A Sold 3113/09 J

53. -Halliburton Sold 3113109 J

54. -Hartford Finl Svcs Group Sold 3/13i09 J

55. -Hess Corp Sold 3113109 J

56. -Illinois Tools Sold 3/13/09 J

57. -Ingersoll Rand Co Ltd A Sold 3/13/09 J

58. -JPMorgan Chase & Co Sold 3113/09 J

59.. -Kerr-McGee Corp

60. -Kimberly-Clark Corp Sold 3113109 J

61. -Kraft Foods Sold 3!)3/09 J

62. -Liberty Media Corp A New

63. -Lock.heed Martin Corp Sold 3113/09 J A

64. -Loews Sold 3113/09 J

65. -MGIC lnvt Corp Sold 3/13/09 J

66. -Merck Sold 3/13/09 J

67. -MetLife

68. -Microsoft Corp Sold 3/13/09 J

l. lncome Gain Codes: A •S 1,000 or Jen B •Sl,001 • S2,500 c si,501.55,000 D •$5,001 -SIS,000 E•SIS,OOl ·SS-0,0oo (Sec Columm DI and 04) F •SS0,001 -SI00,000 G s100,00I • Sl,000,000 HI •Sl,000,001·55,000,000 H2 •More than SS,000,000

2. Va.Jue Codes J •S1S,OOO or le5s I< •SIS,001. 550,000 L •Sl0,001 ·SI 00,000 M •SI00,00l - S2SO,OOO (See Calumns Cl and 03) N •1250,00 I - 5500,000 0 •SS00,001- Sl,000,000 Pl -s1,ooo.001. ss.000.000 P2 •S5,000,001 • S25,000,000

PJ •525,000,001 • 550,000,000 P4 •Mo« th.an Sl0,000,000 3. Value Method Code1 O•Appnisal R -Cast (Ral E ate Only) S•Auenmcnt T czCash Mark"et

(Sc. c;.::olumn C::.) U •Book Value V •Q;her \\' •E:iotimatcd

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5.

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FINANCIAL DISCLOSURE REPORT Page 8 of 16

Name of P<rson Rep rting

Gritzner, James E.

Date of Report

05/l lnOlO

VII. INVESTMENTS and TRUSTS - incom•, value, transactwns (lncludu those of spoust and dtpendenJ children; SU pp. 34-60 of filing instructums.)


A.


(including trust :ossets)

Place "(X)" after each asset Iexempt from prior disclosure

I

B.

Income during

reporting period

c. Gross value at end

ofreporting period

D. Transactions during rcponing period

(1)Amount Code I (A-H)

(2) Type (e.g.,

div., rent,

01 int.)

(\) (2) Value Value

Code2 Method (J-P) Code 3

(Q·W)

{I) Type(c.g.,

buy, sci redemption)

(2)Date

mrn/dd/)'y

(3) (4)Va.Jue Gain Code 2 1 Code I

(J-P) (A-H)

(5)Identity of

buyer/seller

{if private transactiC>n)

69. -Motorola Incorporated Buy(add'!)

70. Sold

71. -Noble Energy Inc. Sold

72. -Northrup Grumman Corp

73. -NGREnergy Sold

74. -Philip Morris Sold

75. -Pitney Bowes Inc Sold

76. -Posco Sp ons Adr

77. -Raytheon Co New Sold

78. -Rio Tinto Pie Spons Adr

79. -Safeway lnc New

80. -Sanofi-Aventis Sold

81. -Talisman Sold

82. -Transocean

83. -Union Pacific Corp Sold

84. -US Steel Sold

-Viacom Inc Cl B Sold

2/13/09

3/13/09

3/13/09

3/13/09

3/13/09

3/13/09

3/13/09

3/13/09

3/13/09

3/13/09

3/13/09

3113109

J

J

J A

J

J

J

J A

J

J

J A

J

J

I. Income G21iri Codes: A •S ,000 or l<Ss B•Sl,001-Sl,SOO C •Sl.501 • SS,000 0 •SS.001 • SJS,000 E -SIS,001 • SS0,000 I (Sec Columns Bl ud D-4) F •SS0.001 • SI00,000 G •St00,001 - St,000,000 Ht -s1.ooo.001 - ss.000.000 H2 •Morc than SS,000,000

2. Value Codes J •·S l S,000 orlen K •SIS,001 • SS0,000 L •SS0,001-SIOO.OCJO M •Sl00,001 - SlS0,000

(See Columns Ct and 03) N •SlSO,OOt • SS00,000 0 •Sl00,001 ·SI ,000,000 Pl •Sl,000,001- Sl,000.000 P2 •SS.000,001 - S2l.OOO,OOO

Pl •S2S,OOO,OOI - sso.000.000 P4 •Mono than SS0,000,000 3. Value Method Codes Q •Appraisal R •Cost (Real Eslare On'y) S ..Asse1:smcnt T =Cash Market

{See Column C2) U ...Book Value V-other \\' -=Estimat:d

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(2) (!)

Nome of Person Rtporttni: Date of Report FINANCIAL DISCLOSURE REPORT

Page 9of16 Gritzner, James E. 05/1112010

VII. INVESTMENTS and TRUSTS - income, •alue, transactions (Includes thou of spouse and dependent childr.n; SU pp. J -60 offWng Instruction<)


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}I (I) (3) Value

(4) (5)Gain Identity of

(2) (2)'

IPlace "(X')" after each asset. I c<empt from prior disclosure

DateValueValue Type(e.g.,Amount Type (e.g.,Code I Code2 Method Code 2 Code 1 buyer/sellerbuy, sci mm!ddiyy

(A-H) I div., rcn

or int.) Codc3(Q-W)

I(1-P) (J-P) (A·H)redemption) (if private transaction)I .

86. IRA#3 A Dividend J

87. -USB Cash Reseives Fund

88. -Abbott Labs

89. -Aflac Inc

90. -AMEX

91. -Amgen Inc

92. -Anheuser Busch Cos Inc

93. -AON Corp

94. -Apache

95. -Apple Computer

96. -ArcherDanielsMidland

97. -Baker Hughes Inc

98. -Bank of New York

99. -Baxter Int'!

100. -Bed Bath & Beyond Inc

101. -BHP Billiton

!02. -Carnival Corp

T

Sold

Sold

Sold

Sold

Sold

Sold

Sold

Sold

3/13/09 J

3/13/09 J

3/13/09 J

3/13/09 J

3/13/09 J

1/30/09 J

3/13/09 J

3/13/09 J

A

A

l. Income Gain Codes: A •SJ,000 or les$ B •Sl,001 • S2,500 C Sl,50l -Sl,000 D•SS,001 - 515,000 E•Sl5,00I -SS0,000 (Soe Columns BI and 04) F •SS0,001 • 5100,000 C •SI00,001-Sl,000,000 HI •Sl,000,001 - ss,000,000 Hl •Mon lhan SS,000,000 I

2. Value Codes J •515,000 or less K •SIS,001 -550,000 L •SS0,001 - SI00,000 M •S100,001 - siso,ooo I (Sec Columns Cl and 03) N •5250,00 I • 5500,000 D =5500,00l - SI ,000,000 Pl •Sl,000,001 - Sl,000,000 Pl •Ss,000.001 - s2s.ooo.ooo I!P3 •Sl5,ooo,001 -sso,000.000 P4 •More tr.an SS0,000,000 I

3. Va.Jue Mn.hod Codes Q •Appraisal R •Cost (Rea: Estate Only) S •Assessment T •Cuh Mark et I

(Sec Column C2) V-OthOJ . IU •Book Value W•EsUmated I

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Date of Rtp.ort Name of Penon Reportlni: FINA.t CIAL DISCLOSURE REPORT

0511112010Gritzner, Jam es E.Page 10of16

VII. INVESTMENTS and TRUSTS - incom . •alu•, tr<U!Sactions (Includes thou of spouu and dependent children; >et PP· 34-60 of filing instr1•dions.)


A. Description of Assets

I (including trust assets)

Place "(X)" after cacll osset exempt from prior disclosure

B.

I Iocome during

reporting period

c. Gross value at end

of reporting period

(I) Type (e.g., buy, •ell,

redemption)


(2) (3) (4) Date Value Gain Identity of

mmldd/yy Code2 Codc 1 buyer/seller

(J-P) (A-H) (if private transaction)

(I) Amount Code I

(A·H)

(2) Typc{e.g.,

div., rent,

or int.)

(1) (2) Value Value

Code2 Method

(J·P) Codcl

(Q-W)

103. -Celgene Sold 3/13/09 J

104. -Chicas Fas

105. -Cisco Systems Inc Sold 3/13/09 J

106. -Citadel Broadcasting

107. -Citigroup Inc

108. -Coach Sold 3113109 J

109. -Colgate-Palmolive co

110. -Costco Whsl

I 1 I. ·Danaher

112. -Davita Inc

113. -Disney Walt Company Sold 3113/09 J

114. -Electronic Arts Sold 214/09 J

I 15. -EMC Corp

ll6. -Emerson Electric Co Sold 3/!3/09 J

I 17. -First Data Corp

118. -Gannett Co Inc A

J 19. -Gen en tech Sold 3/13/09 J A

!. lncome Gain Codes: A •S1,000 or\eu B •Sl,001 • S2.l00 C •S2.SOI SS,000 D •SS,001 • $15,000 E->IS,001 ·SS0,000 (See Columns BI aod 04) F •SS0,001 • Sl00,000 G =SIOO,OOl -Sl,000,000 HI s1,ooo,001- ss,000,000 H2 •More than SS ,000,000

2. ValueCo<les J •SI S,000 or less K •SIS,001 • SS0,000 L=SS0,001 • SI00,000 M •SI00.001 • S2SO,OOO

(See Columns Cl &nd DJ} N •$250,00 I • SS00,000 o -ssoo.001. s1.ooo.ooo Pl •Sl,000,001 • SS,000,000 P2·ss,000.001 • s2s.ooo.ooo PJ •S2S,000,00I • SS0,000,000 P4 •Mon than SS0,000,000

3. Value Method Codes Q-AppraisaJ R -Cost (Real C<tate Only) S Anessment T -Cash Market (See Column C2) U •Book V•lue V "°1hcr W•Esti.'1la

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(Q-W) !

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(I) (I) (2) (I)

D•lt of Rtport Name of Person Rtportln FINANCIAL DISCLOSURE REPORT

Page 11 of 16 05/I 112010 Gritzner, James E.

VII. INVESTMENTS and TRUSTS - income. value, lrllJISactions (Includes thou uf>pOllU and dependent children: SU pp. 34-60 of filing instruct Joos.)


D.B. c.A. Gross value at endIncome duringDescription of Assets Transactions during reporting period

reporting period(including tru>I assets) of reporting period

(2)Type (e.g.,div., n:n

(2) Value Type (e.g., Date

Method buy, sell, lmmlddlyyCodc3 redemption)

(3) (4) ' Value Gain Identity of

(5) Value

Codc2 Amount Code I


exempt from prior disclosure Codc2(J-P)

Code I

(A-H) buyer/seller

(if private (A-H) or int.) (J-P) transaction)

120. -General Electric Co Sold

121. -Gilead Sciences Sold (part)

122. Sold

123. -Goldman Sachs

124. -Harley Davidson Inc

125. -Honeywell Intl Inc

126. -Illinois Tool Works Inc

127. -Intel Corp Sold

128. -Intl Business Mach Corp Sold

129. -!IT Corp Sold

130. -Johnson & Johnson

131. -Kohls Corp Sold

132. ·Lauder Estee Sold

133. -Lilly Eli & Co.

134. -Linear Technology Group

135. -Lowes Companies Inc

136. -MBNA Corp

3/13/09

1130109 J

3/13/09 J

3/13/09 J

3/13/09 J

3113109 J

3113/09 J

3113/09 J

A

I. Income Gain Codes: A •Sl,000 or less B •St,OOt · 52,SOO C •S2.SO I • SS,000 D •SS,001 • StS,000 E•SIS,001-SS0,000

(See Columns DI ""d D•) F•SS0.001 • $100,000 G•SIOO,oot -Sl,000,000 Ht •Sl,000,001 • SS,000,000 H2 •More than SS,000,000

:z. Value CodC$ J •SIS,000 or Jen K •SI S.001 • SS0,000 L •550,001 • SI00,000 M •S 100,001 • SZS0,000

(See Coh1rnM Cl md DJ) N •SlS0,001 • SS00,000 o -s oo.oot - st.000,000 Pl •Sl,000,001 • SS,000,000 Pl •Si,000,001 - S25,000,000

Pl •SlS,000,001 - SS0.000,000 N •MOfc than SS0,000,000

3. Value Method COOei Q•Appnisol R -Cost (Re•I Esiate Odr) S •Asses5mcot T .,.Cash Markel (Sec Column C2) U •Oool: Value V •Othor We.Estimated

I

I I I

I

£: L__

) I I I

I

lumnC2)

I

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 12of16 Gritzner, James E. 05/11/2010

VII. INVESTMENTS and TRUSTS -income: vatue. tronsaction• (1nc1uda those of spouse and dependent children;, .. rr· u-60 offiilng instr,,ctions.1

D NONE (No reportable income, assets. or transactions.)

A.



Place "(X)" after each asset .I exempt from prior disclosure

B. Income during

reporting period

c. Gross valru: at end

of reporting period

D.

Transactions during reporting period

(I)Amount

(2) Type (e.g.,

div., rent. CT inL)

(I) (2) Value Va.Jue

Code2 Method

(J-P) Code3

(Q-W)

(I) Type(e.g

buy, sell.

redemption)

(2) Date

mm/dd/yy (3) (4)Value Gain

Code 2 j Code I

I(J-P) I (A-H)

(5)Jdentity of

buyer/seller

(if private

transaetion)

137. -McGraw Hill Sold 3/13/09 J

138. -Medco Health Solutions

139. -Medtronic Inc

140. -Microsoft Corp Sold 3/13/09 J

141. -Monsanto Sold 3113109 J

142. -Nike Inc

143. -Nokia Corp

144. -Northern Trust

145. -Omnicom Group Inc

146. -Oracle Corp

147. -Pepsico Incorporated

Sold

Sold

Sold

Sold

3113109

3113109

3113109

3/13/09

J

J

J

J

i 148. -Pfizer Incorporated

149. -Proctor & Gamble Sold 3113/09 J

150. -Qualcomm Inc Sold 3/13109 J

151. -Rockwell Automation Sold 3113109 J

152. -SLM Corp

153. -Staples

J. 1ncome Gain Codes: A-Sl,000 011 5 D •S\.00\ • $2,500 C•S2,50J ·S5,000 D •SS,001 • SIS,000 E•SIS.001 • SS0,000 (See Columns B1 omd 04) F -sso.001 - s 100.000 G •SI00,001 ·SI ,000,000 Hf •Sl,000,001 • SS,000,000 H2 •Mor< than Sl,000,000

i I

2. V Jue Codes (See Columns Cl and DJ)

I •SI S.000 or Im N •5250,00 I - SS00,000 Pl •$25,000,001 • 550,000,000

K•SIS.OOl-SS0,000

o -ssoo.001. s1.ooo,ooo

L•Sl0,001 • SI00,000

Pl -s1 ,ooo ,001 - ss.000,000

P4 •More th.. Sl0,000,000

M •SI00,001 • S2l0,000

Pl •Sl,000.001 - 525.000,000

I 3. Value Method CO<ks Q•Arprai l R •Cost (Real Estate Only) S -Ass ment T -=Cash Market U •Book Value V-Other W cEstim:aled

I

Date of Report Name of Perton Reportin2 FINANCIAL DISCLOSURE REPORT

Page 13of16 0511112010Gritzner, James E.

VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes th(Jse ofspou.- and dependent children; supp. 34-60 of filing instructions.)


A.


(including trust BSS<:ts)-

Place "(X)" ofter each asset

e.empt from prior disclosure

B. c. D. Income during Gross v&!ue •t end Transactions during reporting period

reponing period of reporting period

(1) (2) (J) (2) (J) (2) (3) (4) (5) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of Code l div., rcn4 Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller

(A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private (Q-W) transaction)

154. -Starbucks Corporation

155. -State Street Sold 3/13/09 J

156. -Stryker Corp

157. -Sysco Corporation

158. -Target Corp

159. -Textron Sold 214/09 J

160. -Thermo Fisher Sold 3113109 J

161. -Total SA Spons ADR Sold 3113109 J

1 162. -UPS

163. -United Technologies Corp Sold 3/13/09 J

164. -United Health Group Inc

165. -Walgreen 'Sold 3/13/09 J

166. ·XTO Energy Sold 3/13/09 J

167. -Zimmer Holdings Inc Sold 219109 J

168. -Zions BanC:Orp

169. -St Jude Medical Buy 219109 J

170_ Sold 3/13/09 J

1. ln«:1me Gain Codu: A -S 1,000 or lcu D •Sl,001 • Sl,500 C •Sl,SOt • Sl,000 D •Sl,001 • Sll,000 E •SIS,001 • Sl0.000

{Sec Columns DI and 04) F -sso.001. s100,ooo G •S 100,001 • Sl.000,000 HJ •Sl,000,001 • SS,000,000 Hl •More than SS,000,000

2. Value Codes J •SlS,000 or lcn K •S 15,001 • 550,000 L -sso,001 • s100,ooo M •SI00,001- S2S0,000

(See Ce>lumns Cl and 03) N •S250,00 I • $500,000 0 •Sl00,001 ·SI ,000.000 Pl •Sl,000,001 - SS,000,000 P2 •SS,000,001 • S2S.000,000

PJ •S2.!,000,001 • SS0,000,000 P4 •More than SS0,000,000

3. Vahle Method Codes Q•Appraisal R •Cost (Real Estate Only) S -Assessment T -<:ash Marke< (Sec Column Cl) U •Book V lue V her W ...ESllmaced

I I

I

l

I (4)

(A-H) (Q-W)

Name of Perton Reportl•E D1te of Repor1 FINANCIAL DISCLOSURE REPORT

Page 14of16 Gritzner,James E. 05/l lf2010

VII. INVESTMENTS and TRUSTS -income, value. transactions r1ncu.Jes those of>rouse ,,,,J dependuu children; •eepp. J4-oo off.ling ins1ruc11ons.J


A. B. c. 0.

Transactions during reporting period Gross value at end Description of Assets Income during



reporting period of reporting period

Gain (5)

Identity of ' (I)(2)(!) (2)(2) (3)

Amount Value Value(I) Type (e.g., Type (e.g.,I

Date Value Codeexempt from prior disclosure div.• n:n buy. sell, mm/dd/yy Code l buyer/sellerCodcl Method Code2

I or int) (J-P) Code3 redemption) (J-P) (A-H) (if private transaction)

171. -Union Pacific Buy 2/24/09 J

172. Sold 3/13109 J

173 .

-Western Union Buy 1/30109 J

174 .. Sold 3/13/09 J

175. Brokerage AccL #2 D Dividend M T

176. -USB Bank Dep Acct A Dividend J T

177. -GE Money Bank CD A Interest Redeemed 4/2/09 K

178. -Compass Bank CD B Interest Redeemed 6/24/09 K

1 179

. -Goldman Sachs CD A Interest Redeemed 7/812009 K

180. -Capital One CD A Interest Redeemed 10/81200 K

18 1. -Legg Mason Short Duration Muni Income A Dividend L T Sold 8126/09 J AFd (part)

182. -Legg Mason Intermediate Tenn Fd A Dividend K T

183. West Des Moines State Bank A Interest K T

1. lncome Gain Codes: A •Sl,000or1.., B •S 1,00 I - S2,500 c s2,so1 • ss,ooo 0 •SS,001 • SIS,000 E s1s.001- sso,ooo(See Columns B 1 and 04) F •SS0,001 • SI00,000 G •SI00,00!-Sl,000,000 HI =Sl,000,001 • ss.000,000 H2 :rMorc tha.n SS,000,000

2. Value Codes J •StS,000 or less K -SIS.001 • SS0,000 L •SS0,001·5100,000 M•SI00,001-5250,000

(See Columns Cl and 03) N •5250,00 I • SS00,000 0 •SS00,001 • Sl,000,000 Pl •St,000.001. ss,000.000 P2 •SS.000.001 - 525,000,000

P3 •525.000,001 • SS0,000,000 P4 cMare 1han S50,000,000 3. Value Method Codes Q •Appraisal R -COSI (Real utatc Only) S •Auessmmt T-CoshMarket

(See Column C2) U cBook \'alue \'=Other W e.E.stim11ed

Page 15of16

N1me of Person Rtporting: Date of Re rt FINANCIAL DISCLOSURE REPORT Gritzner, James E. 05/1112010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicattpanofRtport.)

Datt of Report Name of P<non Reporting FINANCIAL DISCLOSURE REPORT

Page 16of16 05/11/2010Gritzner, James E.

IX. CERTIFICATION.

[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 bonoraria 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,

Sig

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FA AND CRIMINAL SANCTIONS (S U.S.C. app. § 104)

1VIL

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

Documents

Gritzner, James - Judicial Watch€¦ · POSION NAE OF RGAIZATIY RES AD TERMS xo10 . FINANCIAL DISCLOSURE REPORT . Report Required y the Ehis. in Govenment Act of 1978 . Rev. l 12.0