Roberto A Lange Financial Disclosure Report for Lange, Roberto A

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  • 8/3/2019 Roberto A Lange Financial Disclosure Report for Lange, Roberto A

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    I FINANCIAL DISCLOSURE REPO RTFOR CALENDAR YEAR 201 0 Report Required by the Ethicsin Government Act (~f1978(5 U.S.C. app..~" 101-111)I. Person R eport ing (last name, f i rst , middle ini t ia l )

    L a n g e , R o b e r t o A .4. Tit le (Ar tic le 111 judges ind ica te ac tive or sen ior s ta tus ;

    magistrate judges indicate full- or part-time)ac t ive Dis t r ic t Judge

    7 . C ha m b e r s o r O f f i ce A d d r e s sSui te 413225 S. P ie r re S tree tPier r e , S D 57501

    2. Court or OrganizationD is t r ic t o f So u th D ak o ta

    5a. Report Type (check appropriate type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in thi s Repor t and anymodif ica tions per ta in ing there to , i t is , in my opin ion , in com pliancewi t h a p p l i ca b l e l a ws a n d r e g u l a t io n s .

    3. Date of Report05/06/201 I

    6. Repor ting Per iod01/01/2010

    to12/31/2010

    R e v i e w i n g O f f i c e r D a t e

    I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete all parts,checking the NONE box for each part where you have n o reportable information. Sign on last page.

    I . P O S I T I O N S . (Reporting individual only; seepp. 9-13 of filing instructions.)D NONE(No reportableposit ions.)1 . M e m b e r2.3.

    4.5.

    PO S I T I O N NAME OF ORGANIZATION/ENTITYE a s t m a n L a n g e L L C

    I I . A G R E E M E N T S . ( R e p o r t i n g i n a i v i d u a t o n t y ; , ,e ~ , ~ , . 1 4 - 1 6 of filing instructions.)[~ N O N E (No reportable agreem ents.)

    D A T E PARTIES AND TERMS

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    FINANCIAL DISCLOSURE REPORTPage 2 of 7

    N a m e o f P e r so n R e p o r t i n gLange, Roberto A.

    D a t e o f R e p o r t05/06/201 I

    I l l . 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 N E ( N o reportable non-investment income.)

    DATE SOURCE AND TYPE

    2.3.4.

    INCOME( y o u r s , n o t s p o u s e s )

    B . S p o u s e s N o n - I n v e s t m e n t I n c o m e - If you were married during any portion of the reporting year, complete this section.(Dollar amount not required except for honora ria.)

    N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

    1 .2.

    3.4.

    I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e n t .(Includes those to spouse and dependent children; see pp. 2.5-2 7 of f!ling instructions.)

    ~] NONE (No reportable reimbursements.)

    2.3.4.5.

    SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

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    FINANCIAL DISCLOSURE REPORTPage 3 of 7

    N a m e o f P e r s o n R e p o r t in gL a n g e , R o b e r t o A .

    Date of Report05/06/201 I

    V . G I F T S . a n c i u d c s t h o s e t o s p o u s e a . d dependent children; see p p . 2 8 - 3 1 of filing instructions.)~ N O N E (No reportable gifts.)

    SOURCE DESCRIPTIONI.2.3.4.5.

    VALUE

    V I . L I A B I L I T I ES . a n d u d c s t h o s e o l s p o u s e a n d dependent children; see pp. 32-33 of f!ling instructions,)N O N E (No reportable liabilities.)

    CREDITOR DESCRIPTIONI.2.3.

    4.5.

    VALUECODE

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    FINANCIAL DISCLOSURE REPORTPage 4 of 7 Ia m e o f P e r s o n R e p o r t in gLange, Roberto A. Date of Report05/06/2011

    VII . 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 filing instructions.)[~] N O N E (No reportable income, assets, or transactions.)

    D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g( inc lud ing t rus t a s se t s ) r e p o r t in g p e r i o d

    (1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

    exempt from prior disclosure C o d e 1 div. , ren t ,(A-H) or in t . )

    G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)

    V a l u e ValueC o d e 2 M e t h o d

    ( J - P ) C o d e 3( Q - W )

    I. E a s tm a n L a n g e L L C N o n e L W2. N e w Y o r k L i f e u n i v e r s a l p o l ic y f r o m 1 9 9 2 N o n e K T3. N e w Y o r k L i f e u n i v e r s a l p o l ic y f r o m 1 9 9 5 N o n e K T4. Fir s t Bank & Trus t accoun t A In te res t J T5. M e r r i l l L y n c h b r o k e r a g e a c c o u n t6. - -Al l iance NFJ Dividend (ADJPX) B In t . /Div. K T7. - - A m e r i c an C e n t u r y ( A C 1 T X ) A In t . /Div. K T8. - - C o l u m b i a V a l u e ( U M B I X ) A In t . /Div. K T9. - -D elaware Co rp o ra te (D GC1X) A In t . /Div. J T

    1 0 . - -D reyfus A p p rec ia t io n (D GZ GX) A In t . /Div. K T1 1 . - -H arbor In ternat ional (H AINX ) A In t . /Div. K T1 2 . - -H ar t fo rd Cap t ia l ( ITH IX) K T1 3 . - - I V Y G l o b a l ( I G N I X ) J T1 4 . - - L a z ar d E m e r g i n g ( L Z E M X ) A In t . /Div. K T1 5 . - -O ppenheimer Gold (O PGS X) J T1 6 . - - P e n n s y lv a n i a M u t u a l ( P E N N X ) A In t . /Div. K T1 7 . - - P 1 M C O E m e r g i n g ( P E L P X ) A In t . /Div. J T

    T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

    (1 ) (2) (3)Type (e.g., D a t e Va l uebuy, sell, m m /d d /y y Code 2

    redemption) ( J - P )

    (4 ) (5 )Gain Identity ofC o d e 1 buyer/seller(A-H) (if private

    transaction)

    I . Income Gain Codes : A =$1,000 or less B = $ 1,001 - $2,500 C = $ 2,501 - $ 5,000 D = $5,001 - $15.000( S e e C o l u m n $ B I a n d D 4 ) F $5 0 ,001 - $ 100 ,000 G =$100,001 -$1,000,000 HI =$1,000,001 -$5,000.000 H2 =Mo re than $5,000,000

    2. V al ue C od es J = $1 5,000 or le ss K -$1 5,001 - $50,000 L = $ 50.001 - $100,000 M = $ 100.001 - $250,000(S ee Co lumns C I and D3 ) N =$ 250~001 - $500,000 O = $500,001 - $1 ,000,000 P I = $1 ,000,001 - $5,000,000 P 2 = $5,000,001 - $ 25,000,000

    P3 -$ 25.000,001 - $50.000,000 P 4 More than $5 0 ,000 ,0003 . Va lue Method Codes Q - A p p ra i sa l R =Cost (Real Estale Only) S = Assessmen t T = Cash Mark e t(S ee Co lumn C2 ) U =B o o k V a lu e V = Other W = Est ima ted

    E =$15,001 - $50,000

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    FINANCIAL DISCLOSURE REPORTPage 5 o f 7

    N a m e o f P e r s o n R e p o r t i n gLange, Roberto A.

    D a t e o f R e p o r t05/06/:201 I

    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 fillng instruction.~)D NONE(No reportable income, assets, or transact ions. )

    A. B. C.D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d( i n c l u d i n g t r u s t a s s e t s ) r epo r t ing pe r iod o f r e p o r t i n g p e r i o d

    (1) (2) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e

    exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M eth o d( A - H ) o r in t . ) (J-P) C o d e 3

    ( Q - W )

    O)Type (e.g.,

    buy, s e l l ,r e d e m p t i o n )

    T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

    (2) (3) (4)Dat e V a l u e Gai n

    m m / d d / y y C o d e 2 Code l(J-P) ( A - H )

    ( 5 )Iden t i ty o f

    buye r / s e l l e r( i f p r iva te

    t r ansac t i on)

    1 8 . - - P i o n e e r S t r a te g i c ( S T R Y X )1 9 . - - T C W T o t a l R e t u r n ( T G L M X )

    A lnt./Div. J

    JT

    T

    1. Inco m e Gain Co de s: A = $ 1,000 or le ss B = $ 1,001 - $ 2,500 C = $ 2,501 - $ 5,000 D = $5,001 - $15.000(See Co lum n s B 1 and D4) F = $ 50,001 - $ 100,000 G = $100,001 - $ 1 ,000,000 H 1 = $1,000.001 - $5,000,000 H 2 = M o re than $ 5,000,000

    2 . Va lue Codes J = $ 1 5,000 or le ss K = $15,001 - $ 50.000 L = $50,001 - $ 1 00.000 M = $100,001 - $250,000(S ee Co lumns C I and D3 ) N -$ 250.001 - $ 500,000 O -$ 500,001 - $ 1.000,000 P 1 =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

    P3 $25,000,001 - $50,000,000 P4 =M ore than $50.000,0003 . Va lue Method Codes Q =Appraisal R = Co s t (Re a l E s ta te On ly ) S =A s s e s s m e n t T = Cash Mark e t(S ee Co lumn C2 ) U =B o o k V a lu e V = Other W =E s t im a te d

    E =$15,001- $50,000

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    N a m e o f P e r s o n R e p o r t i n gLange, R o b e r t o A .

    Date of Report05/06/2011

    VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

    Line i tems 5 through 19 o f Par t V I I ar e par t o f one Mer r i l l Lynch accoun t that i s an Ind iv idual Ret i r emen t Accoun t . That IRA accou n t w as open ed in la te 2009and funded a t the incep t ion o f 2010 w i th monies f rom l iquidat ion o f Judge Langes 401(k) accoun t f rom his p r ev ious em ploym ent w i th Davenpor t Evans H urw i tz& S m i t h L L P .

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    FINANCIAL DISCLOSURE REPORTPage 7 of 7

    Name of Per son Repor tingL a n g e , R o b e r t o A .

    Date of Report05/06/201 I

    IX. CERTIFICATION.1 c e r t i f y th a t a l l in 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 i n 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 ~ v 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 t a tu t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .1 f u r t h e r c e rt i f y t ha 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 o 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 i o n s .

    Signatur e: S/Roberto A. Lange

    N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y FA L S I F IE S O R F A L L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C IV I LA 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 DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544