James B Zagel Financial Disclosure Report for 2010

8/3/2019 James B Zagel Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Per son R epor ting ( las t name, f ir s t , middle in i t ia l)Z ag e l , J ames B .

4. Ti t le (Art ic le 111 judges indicate ac t ive or senior s ta tus ;magistrate judges indicate full- or part- time)U. S . Di s t r ic t J u d g e , A c t i v e

7. Chambers or Of f ice Address21 9 S . Dear b o r nR o o m 2 5 8 8Ch i c a g o , I L 6 0 6 0 4

2. Cour t o r Organiza tionU.S. Dist r ic t Court No . I l l .

3. Date of Report5/10/201

5a . Repor t Type ( check appropr ia te type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in formation conta ined in this Repor t and anymodifications pertaining thereto, it is , in my opinion, in compliancewith appl icab le l aws and regu la t ions .

Reviewing Of f ice r Date

6. Repor ting Per iod01/01/20!0

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,checking the NONE box for each part where you have no reportable in format ion . S ign on las t pag~

I . P O S I T I O N S . ( R , p o n l n g individual only; seepp. 9-13 of f i l ing ins truct ions .)~] N O N E (No reportable posit ions.)

POSITION1 . Trustee2.3.

4.5,

N A M E O F O R G A N I Z A T I O N/ E NT I T Y~ Trust

I I . A G R E E M E N T S . (Reporting individual only; see pp. 14-16 of filing instructions.)~ (No repor table agreeme nt s . )O NE

DATE PARTIES AND TERMS


2/9

FINANCIAL DISCLOSURE REPORTPage 2 of 9

N a m e o f P e r so n R e p o r t in gZagel, James B.

D a t e o f R e p o r t5/10/2011

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investment Income[] (N o rep or ta b le in com e.)ONE non-investment

DATE SOURCE AND TYPE INCOM E( y o u r s , n o t s p o u s e s )1. 1/1-12/31 Fo u n d a tio n P ress - Bo o k R o ya ltie s $2,595.00

2 . 1 / 1 - 1 2 / 3 1 EP Ta len t Serv ices - A c to r s Ro ya l t i e s $142.003.4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married during anyportion of the reporting year, complete this sectior.(Dollar amount not required except for honoraria.)[] (No repor table income. )ONE non-investment

DATE SOURCE AND TYPE1.1/1-12/31 Grant Thornton - Partnership I n c o m e2.3.4.

I V . R E I M B U R S E M E N T S - trunsponaaon, Iodgi.g,/ood, e. tertainmen~(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)[] (No repor tab le re imbursemen ts .)ONE

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTP a g e 3 o f 9

Name of Per son R epor tingZ a g e l , J a m e s B .

Date of Report5/10/2011

V . G I F T S . a n c l n d c s those to spouse and dependent children; see pp. 28-31 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n c l u d c s t h o s e o l s p o . ~ e n .d dependent children; see pp. 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

C R E D I T O R DESCRIPTION1 .2.3.

4.5.

V A L U E C O D E


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N a m e o f P e r s o n R e p o r t in gZagel, James B.

D a t e o f R e p o r t5/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)D NONE income, assets, or transactions.)eportable

1 . M. O. N. Y . Po l i cy V a lu e B Divid en d K T2. Nor th e rn T ru s t Acc t s . B Divid en d P1 T3. Farm L and W ash ing ton /C lin ton Cou nt i e s I11 . C R e n t K W4. G rant Th orn ton 4 0 1(k ) C Interest N T5. Northwestern Mut . Life Ins. Pol icy A Divid en d J T6. N ew Yo rk Li fe In s . Po l . A Divid en d J T7. Cou nt ry Cos . L i fe Po l . A Divid en d K T8. Transam er~ L i fe Po l . V a l. N o n e L T9. T ran sam er. Life P o l. V a l. N o n e L T1 0 . Prud en t i a l Li fe In s . A Divid en d J T1 1 . Metropo l i tan Life Ins. A Divid en d J T1 2 . Eq ui tab le Li fe (N o w A X A Eq ui tab le ) A Divid en d K T1 3 . R o y a l B a n k o f C a n a d a ( R B C ) A Interest O T1 4 . ING L i fe Po l i cy A Divid en d J T1 5 . R BC A Interest O T1 6 . T EMFX A Distribut ion K T1 7 . T EMFX A Distribut ion K T

2. Value Codes J --$15 000 or less K = $ 1 5,0 0 1 ~ $ 50 0 0 0 : L =$50,001- $100;000 M =$i00,001 - $250,000(See Columns C1 and D3) N =$250~00i ~ $500 000 O =$500 00i~* 000,000 P 1 =$t ,0001001 ~ $~ i000i000 P 2 =$ 5 ,000 ,001- $25 ,000 000

P 3 = S 2 5 1 0 0 0 . 0 0 1 - $ ~ 6 ! 0 0 0 : 0 00 : .... P4 =M6fe than $50.0001000 T = C a s h Ma rke t3 . V alu e M ethod C odes Q =A ppraisal R ~0St (R~ai Estate Only)S =ASsessment(Se e C o h lm n C 2) U =Book Value V --Other W =Es t imated

E = $ ! 5 , 0 0 1 - $ 5 0 , 0 0 0


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N a m e o f P e r so n R e p o r t i n gZagel, James B.

D a t e o f R e p o r t5/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v i i ,e . ~ a n s ~ c t io n s ( I n e l n d e s t h o s e o l s p o u s e ~ n d dependent children; see p p . 3 4 - 6 0 of filing in s truc tio t~s . )~-~ NONE (No reportable income, assets, or transactions.)

1 8 . K O A D i v i d e n d K T

1 9 . K O A Di v i d en d K T

20 . R F A D i v i d e n d

21 . S A G P en s i o n P l an A Interest J T22 . C P A Di v i d en d K T

23 . C P A D i v i d e n d K T

24 . T e c k Co m i n c o L t d . / T CK A Di v i d en d J T25 . T e c k Co m i n c o L t d . / T CK A D i v i d e n d J T

26 . En e a n a - ECA ( f o r m e r l y PCX ) B Di v i d en d K T

27 . En c a n a - ECA ( f o r m e r l y PCX ) B Di v i d en d K T28 . C e n o v i u s B Di v i d en d K T29 . C e n o v i u s B Di v i d en d K T

30 . D ell N o n e J T

31 . MK L i m i t e d Pa r t n e rs D Dist r ibu t ion L W

32 . I A M A C O N T I N G E N T B E N E F I C I A R YOF~~~UST33 . Assets of Trus t : Total value of a l l asset s

l i s ted34 . My e s t i m a t e d s h a r e i s 1 1 %

S o ld 10/14/10

1. income Gain Codes: A =$1.000 o r le ss B =$1 .001 - $2.500(See C o lu m ns B1 and D4 ) F =$50.001 r $100.000 G =$100.001 - $1 ,000,000

2. V alu e C odes J =$15.000 o r le ss K =$15.001 - $50.000(Se e C o lum n s C I a o d D3 ) N =$ 250.001 - $ 500,000 O =$500.001 - $1 ,000.000P3 =$ 25,000.001 - $50.000.0003. V alu e M ethod Codes Q =Appraisal R =Cost tReal Es tate Only)(Se e C o lum n C 2) U =Book Value V =O ther

C =$2.501 - $5.000H 1 =$ 1,000.001 - $5,000,000L =$50.001 - $100.000P1 =$1.000.001 - $5.000,000P4 =More than $50.000,000S = As s e s s m e mW =Estimated

D = $5 .0 0 1 - $1 5 .0 0 0H 2 = M o r e th a n $ 5 . 0 0 0 . 0 0 0M = $ 1 0 0 . 0 0 ] - $ 2 5 0 , 0 0 0P 2 = $ 5 . 0 0 0 , 0 0 1 - $ 2 5 , 0 0 0 . 0 0 0T = C a s h M a r ke t

E =$15.001- $50,000


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N a m e o f P e r s on R e p o r t i n gZagel, James B.

D a t e o f R e p o r t5/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of fi l ing instructions.)D NONE i ncome, a sse t s , or t ransac t ions . )eportable

35 . Ba n k A c c o u n t s : H a r r i s T r u s t Ch k . / I n t. A Interest36 . S E P / IR A R B C B Di v i d en d

37 . C P A Di v i d en d38 . T e c k Co m i n c o L t d . / T CK A Di v i d en d39 . E n c a n a - E C A ( f o rm e r l y P C X ) A Di v i d en d40 . C e n o v i u s A Di v i d en d41 . O r a c l e - O R C L A Di v i d en d42 . E n d o f I R A

43 . H D A Di v i d en d44 . H D A Di v i d en d45 . P G B Di v i d en d

46 . P G B Di v i d en d

47 . Gen er a l E l ec t r i c -GE A Di v i d en d48 . Gen er a l E l ec t r i c -GE A Di v i d en d49 . A O L N o n e

50. A O L N o n e

5 !. T i m e W a r n e r A Di v i d en d

J TO TK T

J TK T

K TK T

KKL

L

J

J

J

J

J

TTTTTTTTT

: i . lnC0~ Ga ln Cod .e~ A =$1.000 or less(S o!umnS B] and D4)F --$50,001 - $!00,000

2. Value Codes J =$15.000 or less(Se e C o lum n s C I a n d D3 ) N =$250.001 - $ 500.000

P3 =$25.000.001 - $50,000.0003. V alu e M ethod Codes Q =Appraisal(Se e C o lum n C 2) U =Book Value

B=St,001 - $2;500O=$100.00 t - $1 ,000,000K=$15,001 - $50,000O =$500,001 - $1,000~000R -Cost (Real Estate Only)V = Oth e r

C =$2;501 - $5,000 D =$5,001 - $15,000 E -$15,001 - $50,000H 1 =$1.000,091 ~ $5.000,000 H2 =More than $5,000,000L =$50.001 ~ $1~0i00~ ~ ~0,001- $250,@PI =$!i000;001 ~ $5i000;000 P2 =$5~000~001 - $25~000,000P4 :More than $~0:000:000S =A s s es s men t T --~ Market


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N a m e o f P e r so n R e p o r t i n gZagel, James B.

D a t e o f R e p o r t5/10/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l u e , transactions ( Includes those of spouse and dependent chi ldren; see pp. 34-60 of f i l ing instruct ions.)[] NONE i ncome, asse t s , or t ransac t ions . )N o reportable

52. T i m e W a r n e r A Di v i d en d J T53 . T i m e W a r n e r C a b le A D i v i d e n d J T

54 . T i m e W a r n e r C a b le A Di v i d en d J T

55 . J an u s C o n t r a r i an F u n d A Di v i d en d K T56 . J an u s C o n t r a r i an F u n d A D i v i d e n d K T

57 . P e p c o H o l d i n g s P O M B D i v i d e n d K T

58. F i r s t En e r g y - F E B D i v i d e n d K T

59 . Du f f & P h e l p F u n d - DN P B Di v i d en d K T

60. F u n d M a n a g e d H i g h I n c o m e - M H Y B Di v i d en d K T

61 . L e a s e o f e x c e s s Be r r i e n C t y , MI a c r e a g e t o B R e n t L WL e i l z Co r p62. A T & T A Di v i d en d J T63 . F PL G r o u p / F PL ( n a m e c h a n g e N e x t e r / N e e ) A Di v i d en d K T64 . Co n o c o P h i l ip s - COP B Di v i d en d K T

65. B a n k o f A m e r i c a - B A C A D i v i d e n d J T66. I l l S p o rt s F ac s A u t h B o n d A In t . /Div.67 . F I P P r o p er t i e s L L C N o n e M R

68 .

06/03 /10

Redeemed 08/15/10 K

I . ihcOme Gain Codes:( s e e C o lum n s BI a n d D4)

2. Value Codes(Se e C o lum n s C I a n d D3 )

3.V alu e M ethod Codes(Se e C o lum n C 2)

A =$1.000 o r le ss B =$I,001 - $2;500 C =$2,501 : $5,000 D =$5,001 - $15.000 E =$15,001 - $ 5 0 , 0 0 0F =$50.001 - $100.000 G ~$100;001 ~ $1,000,000 HI = $ 1 0 0 0 0 0 - $ 5 0 0 0 0 0 0 1 - 1 2 = M o r e th a n $ 5 . 0 00 0 0 0J =$15.000 o r le ss K =$t5,001 - $50,000 L =$50 001 - $100 000 M =$100.001 $250i000N =$250,001- $500,000 O =$500;001 ~ $!;000,000 p =$ ;000iO0t - $5i000;000 P 2 ~ $ 5 i 0 0 0 ; 0 0 1 ~ $ 2 5 , 0 0 0 , 0 0 0P3 =$ 25.000.001 - $50,000,000 P4 =More than $50.000.000 T ~ C a s h Ma rke tQ =Appraisal R =Cos t ( R ea l Es t a t e on ly ) S =A s s es s men tU =Book Value V =O ther W =Es t imated


8/9


N a m e o f P e r so n R e p o r t i n gZ a g e l , J a m e s B .

Date of R e p o r t5/10/2011

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. andicotepartolrepo~I p a r t i c ip a te in the Fed era l Thr i f t Sav in g s P lan , bu t i t i s my un d ers tan d in g tha t th i s as se t n eed n o t be l i s t ed .Al l in d iv id ua l as se t s he ld in b ro kerag e a cco un t s a re in d iv id ua l ly d i s c lo sed in rep o r t .The double listing of certain investments is due to the fact that some are in~ name. I have not designated which are~ assets, but I list themsep ara te ly because they a rc in d iv id ua l ho ld in g s which m ig h t be so ld s ep ara te ly a t a fu tu re t ime .Var io us in ves tmen t acco un t s he ld a t Bear Steams were , d u r in g the ca len d ar year 2008 , t ran s fe r red to RBCs (Ro y a l Ban k o f Can ad a) W eal th M an ag em en t fac i l ityin Chicag o . I have d e le ted l as t year s re fe ren ce to Bear Steams an d n o w l i s t the as se t s so le ly un d er Ro ya l Ban k o f Can ad a (RBC). Acco rd in g ly , the in d iv id ua lin ves tmen t s a re l i s ted un d er the head in g Bear Steams /RBC . The t ran s it io n o f in ves tmen t s o ccurred o ver so m e weeks . These a re n o n - d i s c re t io n ary acco un t s .In p rev io us years , the Un io n Leag ue Club was l i s t ed un d er "V. Gi f t s ." Based up o n fu r ther in fo rmat io n , an d up o n the o p in io n o f the Co m mi t t ee o n Co d es o fCo n d uc t , the mo n th ly fees p a id by j ud g es a re eq ua l to fees p a id by yo un g er m embe rs , c le rg y an d m i l i ta ry . The fees exceed the o verhead co s t s to the c lub , an dthe p r iv i l eg es acco rd ed a re l e s s than tho se acco rd ed reg u la r mem bers . In the o p in io n o f the Co mm i t t ee o n Co d es o f Co n d uc t , th i s fee c las s i f i c ia t io n d o es n o tco n s t i tu te a "g i f t " un d er the Eth ic s in Go vern m en t Ac t .FIP Partners, LLC was purchased on 5/1/08~There i s a p o s s ib i l i ty tha t I l i s t so me smal l n um ber o f lo w v a lue as se t s tha t I n o lo n g er o wn (as so me o f my p r io r n o tes exp la in ) . M y p rac t i c e i s n o t to d e l i s t a s se t sun t i l I have d o cum en ta t io n tha t I n o lo n g er o wn i t ; it i s be te r to be o ver - in c lus ive .


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FINANCIAL DISCLOSURE REPORTP a g e 9 o f 9

Name of Person Re port ingZ a g e l , J a m e s B .

Date of Repor t5/10/2011

IX. CERTIFICATION.

I c e r t i fy t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d in g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .I f u r th e r c e r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S .C . a p p . 5 0 1 e t . s e q . , 5 U . S .C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t io n s .

Signatur e: $/James B . Zagel

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S I F IE S O R F A I LS T O F I L E T H I S R E P O R T M A Y B E S U BJ E C T T O C I V ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

Committee on Financial DisclosureA d m i n i st r a ti v e O f f ic e o f t h e U n i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544

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James B Zagel Financial Disclosure Report for 2010