m ofll 1 iiiiulr

..,., ::;

""'

•

= -

->

·., -

UNITED STATES COURT OF APPEALS

EIGHTH CIRCUIT

GEORGE G. FAGG UNrrED STAT'£$ CIRCUIT JUDGI£ August 9, 2004455 U.S. COURTHOUSE ANNEX

1 10 E. COURT AVENUE ·OES MOINES, IOWA 50309•2.051

..

Committee on Financial Disclosure Administrative Office of the

Vnited States Courts Suite 2:301 One Cohnrtbus Circle, N.E. Washington, D.C. 20544 .

Re: Financial Disclosure Report-2003 .

In response to your July 19, 2004 letter, I enclose an. amended a..'1.d substituted Part VII of my disclosure report dated May 4, 2004, showing a partial disposal of FMC Technologies holdings (page I of 2, line 6) and an entire disposal common stock holdings in Kellogg Co. (page 1 of 2, line 13) and AT&T (pa e 2 line 22). I also enclose an amended and substituted Part VllI explaining continuing ownership of the annuities shown in Part VII {page 2 of 2, lines 23-24 .

GGF:glm 0- ::0Enclosures -0 mOriginal and three copies, tr- <en -·-

?_P:a:c:::> ;c; rn

-,,, : -#fnO. - ,..,, <

- m...,., . ......

.,.:::. ., ..

0

• .\..t"\CIAL

- a g e l_o f .2:..- --l_.....FAGG.....;.,_o_Eo_R_G_E_G L- sro 0 0-4

reporting period

(!) (l)

Type

7. A

A

A

A

I

i B G

(!) (2)

1

l

l

1

J T

(:)

.

/=:-+::

I

(2) (3)

419

l

1)

41!6

-

.\ 0

:;;;::

?:: r... :s;

. ,;;::.

..,

c.

{4)

B

= .:::

(5)

.. ---

::;;?J

-

-4 •

D E I

1'.MENDED AND SUBSTITUTED ·. '' DISCLOSURE REPORT Nan1e of Person Repnrting Date of Report .

VTI. IN\'ESTMENTS and TRUSTS

A. B. c. D. r""""" during Gross value at el!d of T:i-.:.nsactkn:s durin£ reporting period

Dezcriptiooofru.e!s gperiod(in wL g assets)

lf uat e empt from disclosure

Plm::e "(X)" afi:er caffi n:sset C'M1l'lpt fumpriordfuclosure

DNONE (No reportibic assem, or transaub°OM)

!. A)Iiant Ellergy Cc!p. Common Stock

2, Alliant llne:gy C-Orp. Common Stock

3. IMC Global Common Stock ··-

4. Freeport-McMoran Copper & Gold Common Stock

s. American Electric Fower Cn. Common Stock

•• FMC Teclmo!ogies

Corn.Products1 Inc. Common Stock

8. BP AMOCO Common Stock

9. Ford Motor Corn!'Ilon Stack

10. Colgate Palmolive Common Stock

11. Pha.."'ma.cia Common Stock

12. HB Fuller Co, Comme>n Stock

, 13. Kl>l!ogg Co. Corrtn'lon Stock

14. Wells Fargo Common Stock

!S. Qwest Commitations Common Stock

Amount COO.I (A-1')

A

A

A

A

A

A

A

A

A

A

A

(e.g. div. ren".. or int)

Dividend

Dividend

Pividond

Dividend

Dividend

Dividend

Dividend

Dividend

Dividend

Drviclend

Dividend

Di'1idend·

Dividend

Divi<lend

Dil'idend

(None

v.w. 0Xle2 (J-P)

J

1·

J

J

J

J

J

J

J

J

Vn!Je MQ!lioo Cod;: 3 (Q-i

T

T

T

T

T

T

T

T

T

T

T

T

T

T

T

7YP' (e. bu:y. sell, nierger, redemption)

Purchase

Sale

(Parti

Me:ger

Sale

Date: Month-Day

7/15

5/2'fcii

Value Code2 (J-P)

1

J

J

Gahl Co::le I (A-HI

A

· -

<:!> =-

l!!wtit;> of buyer/se!lcr (iip;;,-... -)

!'fl= Inc

;*iil

'� ·-f.

<

16. McDonalds Corp. Common Stock A Dividend 1 T _,_

-

.2 0

!7. Diebold, Inc. Cornman Sta::!:

ie. RPM Common Stoel:

A'

A

Dividend

Dividend

1 T

. ln::::ome'Gau Cod!':i': A ""$1.ffiY.!erk;>Z =$:.C'.:·>S:.S:J:: ""5'2,501 15,0'.)0 = iS,OJJ-'Sl.5Jiot =:1s.o:JJ-ssc,oo::,

I B.

(l) \l)

Intel

.

(None)

(!) (2)

J

L

(l)

(Enti·

E

abOU'

line

,;f fu.lttl u;.;,uOSUOO

\l)

the an

23 '

(J) (4)

m

A

{5)

. -

ati< m i' ,us 1£ -

'nown nd ' 4.

l i

i i i

AMENDED AND SUBSTITUTED ::.C.1\JCIAL DISCLOSURE REPORT D:tt of Report N<l.me of Person Reporting

FAGG, GEORGE G ;ge 2 of2 81912004

"\11[ Il'< "VEST.IVi.ENTS and TRUSTS -W.oo,,,,, wh . nm<C1!li= (ir,dmle;; tlh>so illfuo '"°'"" ood depcnd"1! cluldreo. See pp. 34.;7 oifilini; instructiuns,)

.

A. Incoul:i!' d'Jcing

Desc:ip!:ionof Assets repart!tig period (ir:cludin:; l.rn9: assets)

Piace"(X.)" after eaehassetexempt Am.runt Type (e.g.ftoru prior discl-Osu.re Co<re l diY. re:Jt. Qr

(A·B) inL)

19. Com= Stock A Dividend

20. Lucent Teclmalogies Common Stock A Dividond

(None)

21. Cisco, Inc. A Dividend {None)

. AT&T -· Common Stock Dividend22. A

23. ITT Ha."tford (Annuity) A Interest (None)

24. Equitable Lile Ins. (AmlUity) A lnteres:

25. Paladin En:rrgy Partne."S Denve!- Colorado B Royalty

26. Wells Fzrgo Bank. Johli.ston IA SaV.::.gs- D lnt<rest C'ne:king-Clls

27. Bank of Americn, Utban<lale, 1A Checking-CDs B Interest

28. Charter Bank, Jobnstoo, IA CDs B Inll:rest

29. Owner·Fann·llardin Coumy, IA 100% Tax D Crop Assessmem.$66,005

30. Chicago Et 1'.1idway Allport Revenue Bond A Interest

31. Duke Realty eo. A Dividend

32. CLECOPowerLLC A lnten:ot

33. Discover Bank C.D Greenwood, Del. A Interest

c. Gross wJ:oo !rt ood of reporting period

Value V lue C00.2 Methcx!

(J-l') Code3 (Q-"1

T

J T

J T

T

J T

K T

J w

M T

K T

T .

.

L s

1 T

I T

1 T

J T

It. Transactior.s du..'1ng reportlngperfod

Type (e.g. buy, sell,

nlZIJl!!f, mlernp:ioa)

Sale

See

t;Ot C:<Cn'l;lt

D3te: Month .. Day

9/ll

e)

xpla

Value Gum Code2 Cede ""l'l l (A·

J

Identity of bu.yc::rfsel!er (ifpffi'llle tr.l:lSaclinn)

Part VI II sta UJ.t es on

.

.f I

1\1".ENDED A'ND SUBSTITUTED of Perso:t Reporting D;ueoi:"ReporiNa..ile . LNANCIAL DISCLOSURE REPORT

FAGG, GEORGE G !1912004. .

{lnilic<iie part of Report.) VIlI. ADDITIONAL INFORMATION OR EXPLANATIONS

The sales ofi!fil-)Jl\J-a'l!luities shown on page 2 -0f2 Part VIl lir£S l3 n:-,d 24 of my l\1ay 41 2004 :cport are deleted. r misunderstood her e:tphmation about the status of these annuities. There was no ehrmge i'n her ownership interest in these artnuitities during calednar year 2004.

Rcviewingv"' '�----------� Date ____ _

POSITION NAME OF ORGANJZAT!ON/ENTITY

PARTIES AND TERMS

CJ (;':l

;>--<

en.-< ...

no OJ>

9

rn

Report Required by the Eth.ies FL ANCIAL DISCLOSURE REPORT AO-IQ fn Government Act of 1978

R("·. ll20G\t . Calendar Year 2003 (S U.S.C. app. §§ IOl-111)

l. Person Reporting (Last name, First name, Middle -initial)

FAGG, ·GEORGE G

2. CoJ!t or Organization

COURT OF APPEALS, 8TH CIRCUIT

3. Date of Report

51412{)()4

4, Title (Article ill Judges indicate active tir senior status;

magistrate judges indicate full or part-tim.e)

CIRCUIT JUDGE (SENIOR)

7. Chambers or Office Address

4SS U.S. Courfuouse Anne>:

110 East Court Avenue

Des Moines, fuwa 50309M205i

5. ReportType (check appropriate type)

Q Nruninati:: . Dute

0 b<ilial Q Flnal

6. Reporting Period

11112003

to

1213112003

8. On the basis ofth.e inforrrurtioo contained in this Report and any modifications pertaining thereto* it is, in my opinion. in compliance with applicable lows and regu!atioos.

IMPORTANT NOTES: The instructions accompa:..yfrig thls form mu.st be ollowed. Complete all parts, checking the NONE bo:t fur each part where }'OU have no repor..able infonnation. Sign on las: page.

L POSmONS. (Reporting indi\idual only; see pp. 9-13 offiling instructions)

NONE - (No1 portablepositions.)

l.

= = = ::=J

0 '"11

<-.I:::;:: rn (')

c::.. ;;z;:.:: 0

=-

c: "-..

Il. AGREEMENTS. {Reporting individual only, SOOJIP. 14-!e offilittginstr-uctions) .,,r-:::1 "

> .....

rn 0

NONE - (No reportableai'1"1mtnts.) ,,.,, l;J (,,'1

l.

SOURCE GROSS INCOM!\

SOURCE AND TYPE

SOURCE DESC!HPTION

N't.ene '.)f Person ReportingFINANCIAL DISCLOSURE REPORT Thate of Report

FAGG, GEORGE G 5/4i2004

Ill. NON-INVESTh1Efll1 INCOME. (Reporting individual ond spouse; see pp. !7-24 of filing instructions)

A. Filer's Non-Investment Incom

NONE (No rcportabte non ir,vestment income.)·

AND TYP'l

(j'OU!'S, not spouse's)

l. Effective May 1999, at age 65, I receive a retirement pension from the Iowa judicial retirement system based on service as an Iowa trial judge.

2. In calendzr year 2003, I reccived $14,947.80.

B. Spouse's Non-Investment Incom ·(If you were married during any portion of the reportingyear, plea5e comp1e'.e this section. (dollar amount not required except furhonoraria)

/i2I NONE (No reportable non-investmenlincome.) -

1.

N. REIMBURSEMENTS transportat'on, 1odging. fuod, entertainmenL-

(Includes those to spouse and dependent children. See pp; 25-2i of instructions.)

li!J NONE (No such repomble reimhumments.) -

t.

SOURCE DESCRIPTION

Ill

DESCRIPTION VALUE CODE

I

51412004

Name of Person Reporting Date of Report

FAGO, GEORGE G

FINANCIAL DISCLOSURE REPORT

V. GlFTS. (Includes :hose to spouse and. dependent children. See pp. 28·3 i of instructions,)

:i2J NONE ()lo such reporta:i:e gifts.) -

l.

VL LIABILITIES. (lncludes those of spouse and dependent children. See pp. 32-34 of instructions.)

NONE (No reportable liabilftics.) ·

CREDITOR

1.

.

A.

l.

II.

(1) \2)

c.

period

(1) (2) (l) 12) <?l

J

Me ... ger

(4) (5) Gain

-

B

I FINA.c"ICIAL DISCLOSURE REl'ORT Date of Report Name of Pet'Son Reporting

Page 1 of2 FAGG, GEORGEG 51412004

VII, INV'EST1'-IB1\'TS and TRUSTS - iit::one, Yniue, transcutictlS (i;i.cluCes these cf the spouse and dependentclii1d:ren. Soo w. 34-57 of :filing ir;STJtti;:.r.s.)

Description ttf Assets (inciuding, tru:U assets}

Plate "{X)" after each asset exen:;:t from prior di1K:lcsure

LJNONE (No reportahk: income. assets, or traummtions)

Alliant Ene:-gy Corp. Olmrruln Srock .

2. Alliant Energy Corp. Common Stock

3. !MC Global Common Stock

4. F"'oport-1.!c."loran Copper & Gold Common Stock

5. American Electric Power Co. Common Stock

6. FMC Technologies

7. Com P!oducts, Inc. Co::nr::ian S:ock

8. BP AMOCO Comrr1on Stock

9. Ford Motor Common Stock

10. Colgate Palmolive Common Steck

l l. Pharmacia Common Stock

12. HB Fuller Co. Coinmcn Stock

13. Kellogg Co. Common Stock

14. Wells Fargo Common Stock

l5. Qwest Commic.ations Common Stock

l6. Mcllonalds Col]>. Common Stock

17. Diebold, L'1c. Common Stock

18. RPM Common Stock

J:m;-o:ne during repor:fr.g period

Amo1111t Type: (;;.g. Code 1 div. rent. or (A·H) int)

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Dividend

A Divided

A Dividend

A Dividend

A Dividend

A Dividend

(None)

A Dividend

A Dividend

A Dividend

]), Gross v.ilne at end of Tnmsaction-s during repnrting period

If not exeppt from disclosure

Value Vali.w 1ype (e,g. Date: Value Code2 Mcibod buy, sell, !'.ionth Code2(J-P} Ccde3

(Q.W) merger, Day (!-?)...w.nption)

J T

J T

T

] T Purchase 4/9 J

J T

J T S.le 71!5 J

J T

J T

j T

J T

J T 4116 J

I T

J T Sale sa.1 J

J T

J T

J T

J T

I T

Tden<ityof Code b_!l ... I (A· (lfpriW!te m transaction)

.

A l'fizer lnc

A

-----·-· --------- -···----- ·--····-

1. :::i:omc'GiiillC-odes: A =SJ,OC!Oorless B = S l,COl-SZ.500 C """S'.'...501- S:,OGO D ""$5,\;,Cj-$15,::<:o

C = S:lOD)JOl SI,000,000 Hl ""' l_.000/101-SS,OOC,0(1\} Hl ""More titan SS,000,000

i = '.1:!5,QCH.$50 00(}

o ""7;-00,001.sr,ooo.oon P: "'S .OU'.:.,QJ!- -S,C:J;lO:JC P2 ""!:5.0:YJ,OOl·S:ZS,000,00G

P-l "'$\-'iore. thar.. .50;{){)::;100(1

·�����������..._�����������������'--�����

(2)

IN,-,n"' \

J.

Q = . .:-:rm:a.S l ,,

(l)

(Q-W) H\

FINk"i'CIAL DISCLOSURE REPORT Name of Person Reporting Date of Report

Page2 of2 FAGO, GEORGE G 5/4/2004

VTI. INVESTMENTS and TRUSTS - income, value, traTiscations (inc!udes those ofthe spouse and dependent children. See pp. 34-57 of filing instructions.}

A. n. fncome during

Description ofAssets reporting period (including tru.st as ets)

(!)

Pface (X)" after eaeh asset e:rempt Amo<mt Type (e.g.from prior disclosure Code I div. rent. or

(A-H) inl)

19. Intel Common Stock A Dividend

20. Lucent Technologies Common Stock A Dividend

(None)

21. Cisco, Inc. A Dividend

(None)

22. AT&T Common Stock A Dividend

23. ITT Hartford (Annuity) A Interest

24. Equitable Life Ins. (Annuity) A Interest

(None)

25. Paladin Energy Partners Denver, Colorado B Royalty

26. Wells Fargo Bank, Johnston, IA Savings- D Interest Checking-CDs

27. Bank of America, Urbandale, IA Checking-CDs B Interest

28. Charter Bank. Johnston, IA CDs B Interest

29. Owner-Fann-Hardin County, IA lOOo/o Tax D Crop Assessment-$66,005

30. Chicago Ill. Midway Airport Revenue Bond A Interest

31. Duke Realty Co. A Dividend

32. CLECO Power LLC A Interest

33. Discover Bank CD Greenwood, Del. A futerest

c. Gross value at end of n:porth1gperiod

(2)

Value Value Code2 Method (J-P) Code3

J T

J T

J T

J T

J T

K T

J w

M T

K T

L T

L s

J T

J T

J T

J T

(!)

Type (e.g. buy, sell, """"'' redemption)

Sale

Sale

Sale

D. Transactions du.>'ing reporting period

Ifnot exempt from disclosure

(2) (3) Date: Value 1lontb- Code2 Day (J-P)

9/11 J

12/31 J

12131 J

(4) Gain Code I {A-

A

(5) Identity of buyer/seller (if private transaction)

-- -

lm:orne ·on ii Cocies: A = 5:1,00-0 o; less B = S:l ,OOJ-$:::!,500 c = s: .501-$5,000 D = £5,001-$I5,000 E =S15,001-$50,0:)()

(See ColumTI5. Bl and D4) F = 50,001- 100,000 G = $100,001-$1.000,-000 H1 = s:.aoo.OC1-!5,0::JO,OJO H2 = h:1.ore than $5,000,000

2. Value Co-des: = Sl5.00'.l arie&S K "'$15,00i-$50;DOO L = SSO,O'.J -$100,000 M = $tOD,001-$:2.50,000

(See Colum:L C! and DJ) !\' = ::1so,OOJ-S50C:.OJQ 0 = SOG,OOJ-Sl.000,000 Pl "'S:,ODJ,DJi-!S;DOC.OGCl P2 ""$5.08J,OGi-£25,0llU,OO::;

?3 = :25,00J.OD·l-SS0,000,00D ?4 = s;,:ore tb:tt S5t-,OOJ,OG-C1

\'a)u(· M II'.::ii Co:ks R =Co : (Real Es.lute- 0my) ' '· _:,s:;::..">:s;;i:·;n: c = Cush':>' a:-: c

:se C'1:1.:m:1 (''.':) = Bo·:>l: \'z:iu = Orn r \'.' = .'.'.s:1:::ur <l

FlNA.'!ClAL DISCLOSURE REPORT

VIII. ADDmONAL INFORMATION OR EXPLfu ATIONS

None

X•meofPerson Reporting

FAGG, GEORGEG 514/2004

'

Date Ma}' 4, 2004

51412004

ame cf Pc:-son Repnrting Date of Report Fil\rANCIAL DISCLOSURE REPORT

FAGG, GEORGEG

IX. CERTIFICATION.

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 belie and that any infurn:Jlltion not reported was withheld because it met applicable statutoryprovisions pe=itting non-disclosure.

I further cerfu')' that earned income from outside employment and honoraria and the acceptance of gifts wldch have been reported are in compliance with the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: .Ah'Y I1'TIIVIDUAL WHO KNOWINGLY AND 'i\IILFULL Y FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRlMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INS1RUCTIONS

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.

Wasb1,gton, D.C. 20544