Professional Documents
Culture Documents
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
2. Court or Organization U.S. District Court, Arizona 5a. Report Type (check appropriate type)
Nomination, [] Initial Date [] Annual [] Final
7. Chambers or Office Address 401 W. Washington St., SPC 50 Suite 522 Phoenix, AZ 85003
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 laws and regulations.
Reviewing Officer
Date
IMPORTANT NOTES: The instructions accompanying this form must be followea~ Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
Organizational Diagnostics LLC ~owned company)
PARTIES AND TERMS Arizona Elected Officials Retirement Plan (pension plan from prior employment as a state court judge)
Bolton, Susan R.
III. NON-INVESTMENT INCOME. (Reporting individual andspouse; seepp. 17-24 of filing instructions.)
A. Filers Non-Investment Income D NONE (No reportable non-investment income.) DATE
1. 2010 2. 3. 4.
INCOME
(yours, not spouses)
$56,298.00
B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
D
1.2010 2. 3. 4.
DATE
2. 3. 4. 5.
V. GIFTS. a.cludes those to spouse and dependent children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE 1. 2. 3. 4. 5. DESCRIPTION
VALUE
VI. LIABILITIES. aneludes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
~] NONE (No reportable liabilities.)
CREDITOR Sonoma National Bank, CA 2. 3. 4. 5. Merrill Lynch Single Premium Life DESCRIPTION Mortgage on one-half interest in office codominium (Pt. VII line 12) Cash value loan VALUECODE K L
VII. INVES TMENTS and TRU STS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
ofreperting period (1) Value (2) Value Method Code 3 (1) Type (e,g., .: buy, sell, redemption) (2) (3) Date ValUe mm/dd/yy Cod2 (J-P)
Codel (A-H)
div.,rent, or int.)
Code2 (J-P)
(Q-W)
1. 2. 3. 4. 5. IBM common stock FIA Card Services (formerly Merrill Lynch Bank) Bank of America, Arizona Merrill Lynch Single Premium LifeInsurance Philadelphia Life Insurance CompanyInsurance U.S. Savings Bonds 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. Virtus Balanced Fund MLF Retirement Plus-Annuity Transamerica Landmark Annuity Allianz Franklin-Annuity Nelson II Freeway Limited Partnership Office condo-I/2 Int-Phx,AZ (94 60,000-04 30,000) Merrill Lynch Basic Retirement Plan-Profit Sharing --GE Money Bank CD --US Treasury Note --US Treasury Inflation Notes (3)
D
B A A
M J M K K O
K
T T T T T T
T
Dividend
M L K
J
T T T
W
Dividend &
17. --Citibank CD
i Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Colunm C2)
A =$1;000 or less F =$50,001 - $ 100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001-$2,500 G=$100,001 - $1,000,000 K =$15~001-$50;000 O =$500,001-$1,000,000 R =Cost (Real Estate Only) V =Other
E =$15,001 -$50,000
PI =$i;000,001- $5,000;000
P4 =More than $50;000~000 S =Assessment W =Estimated
P~ --~51000;001 - $25,000,000
T --Cash Market
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
~]
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
--American Express Cent. Bank CD --Capital One CD --Capital One Bank CD --Discover Bank CD --US Treas. Inflation Note --Western Bank CD --BMW Bank CD Menill Lynch Basic Retirement Plan-Money Purchase --GE Money Bank CD --Ally Bank CD --JP Morgan Chase CD --Carolina First Bank CD --Citibank CD --US Treasury Inflation Notes (2 remain, 1 redeemed) --GE Money BankCD --Motorola common stock --Vodafone common stock
Redeemed 01 / 15/10 J
K K K
Dividend & I
N
Buy Buy Redeemed i 07/23/10 07/23/10 07/09/10 J J K
(part)
Redeemed 10/12/10 L
1. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$i;000 or less F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B=$!,001 ~ $2~500 G =$100,001 - $1,000,000 K =$15,001 ~ $50,000 O =$500,00i ~ $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H i =$1,000,00 i ~ $5;000,000 L =$50,001 -$100,000 PI =$1,000,001, $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =M0re than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent ehildren; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place"(X)" alter each asset exempt from prior disclosure
(t)
(2)
Value Method Code 3 Type (e.g., buy. sell. redemption)
(2)
(Q-W)
35. 36. 37. 38. 39. 40: 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. --Capital One CD --Blackrock Global --US Treasury-zero coupon bond Merrill Lynch IRA (FGB) --American Express Bank CD --JPMorgan Chase Bank CD --BankofAmericaCD --Discover Bank CD (2) --BankofAmericaCD --US Treasury Inflation Note --FIA Card Services NA (formerly Bank USA) --US Treasury zero coupon bonds (3) --Pepsico common stock --Yum Brands common stock -Wal-Mart common stock --Oppenheimer Income Trust mutual fund Redeemed 04115/10 K C Dividend&
T Buy Buy Buy Buy Buy 07/21/10 07/20/10 07/20/10 07/21/10 07/22/10 K J J J J
l~ihCo~Gai~odes: (See Columns B 1 and D4) 2. Value Codes (See Colurrms C1 and D3) 3. Value Method Codes (See Column C2)
A =$1;000 0r iess F =$50,001 - $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25~000;00! - $50,000,000 Q =Appraisal U =Book Value
B =Sl,00t - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$ 1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P 1 =$ 1,000,001 - $5,000,000 P4 =More than $50,000,000 S =Assessment W =Estimated
D =$5,001 -$15,000 H2 =More than $5,000,000 M=$100,001- $250,000 P2 =$5,000,001- $25,000,000 T -Cash Market
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
NONE
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
--U.S. Treasury Inflation Note --Discover Bank CD --Goldman Sachs Bank CD --Capital One CD --Capital One Bank CD Fidelity Equity Income Fund Fidelity Magellan mutual fund Fidelity Value mutual fund Fidelity Asset Manager mutual fund Fidelity Puritan mutual fund Janus Balanced mutual fund Vanguard Growth Index Fund Vanguard 500 Index Fund Vanguard Prime Cap Fund Vanguard Life Strategy Growth Fund Vanguard IRA --Total Stock Market Index Fund A A A A A A A A A A A
Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend Dividend&I J K K J K J J J J J J T T T T T T T T T T T
J J
] lficrme Gaih CrdESi (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,00i- $100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
=$1,001 - $2,500 G =$100,001- $1,000,000 =$15,001 - $50,000 =$500,001 - $1,000,000 =Cost (Real Estate Only) =Other
C =$2,501 - $5,000 HI =$1,000,001-$5,000,000 L =$50,001 - $ 100,000 P 1 =$ 1,000,001 - $5,000;000 P4 =More than $50,000,000 S =Assessment W =Estimatcd
D =$5,001 - $15,000 H2 =More than $51000,000 M =$100;001 - $250;000 P2 =$5,000,001 - $25;000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of ~ding instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assetst
B. Income during reporting period 0) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.)
C. Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (l) Type (e.g., buy, sell, redemption)
D. Transactions during reporting pe~od (2) ~3~ Date Value mm/dd/yy Code 2 (J-P)
(4~
(sl
Gain .... ........ Identity of buyer/seller Code 1 : (if private (A-~ transaction)
--Growth Index Fund Vanguard IRA --Total Stock Market Fund Gilbert AZ Public Facility Muni Bond Merrillville 1N Muni Bond zero coupon Illinois DFA zero coupon Muni Bond A Interest None None None F pension None None None D Dividend & I K K L J M M M L N T T T R T T T T T Buy Buy Buy Buy Buy
07/22/10 07/22/10 07/22/10 07/21/10 07/21/10
J
Dividend
75. ~ Oroville, CA (1972, $5,000) 76. 77. 78. 79. 80. 81. 82. 83. 84. 85. Arizona Elected Officials Retirement Plan Arizona State Retirement System Keyport Keyannuity Keyport Keyannuity Merrill Lynch IRA (SRB) --American Express Bank CD --North America SB CD --Beal Bank CD --BMW Bank CD --Ally Bank CD
J J J
1. I ncome Gain Codes: (See Coltunns BI and 1)4) 2. Value Codes (See Columns C 1 and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $I00.000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 - $I,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,00i ~ $5,000,000 L =$50,001 - $100,000 p I =$i;000~00t - $5,000,000 P4 =More than $50,000;000 S =Assessment W =Estimated
D =$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRU S TS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) ar int.) C. Gross value at end of reporting period (1~ (2) Value Value Code 2 Method (J~P) Code 3 (Q-W) D. Transactions during reporting period (1) Type [e.g., buy; sell, redemption) " (2) (3) (4) Value Gain Date:: mm/dd!yy Code 2 Code 1 (J-P) (AtH) (5) Identity of buyer/seller (!~Private .transactiOn)
Redeemed 12/27/10
--Bank of America CD --Discover Bank CD --US Treasury Inflation Note --FIA Card Services NA (formerly MLBankUSA) --US Treasury zero coupon bonds (3)
--US Treasury Inflation Note --Huntington National Bank CD Redeemed 01 / 15/10 J
--Pepsico common stock --Yum Brands common stock --Oppenheimer Income Trust mutual fund
--Capital One CD
98. 99.
Redeemed 10/25110 K
Buy 07/22/10 L
None
None None
K
K K
1. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes {See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15;000 or less N =$250,001 - $500,000 P3 =$25,000,001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100,001 : $1,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$ L000;001 - $5,000,000 L =$50,00i- $I00;000 PI =$1;000;001-$51000;000 P4 =More than $50,000i000 S =Assessment W =Estimated
E =$15,001 - $50,000 D =$5,001 - $15,000 H2 2M0r~ than $5;000~000 M ~$]00;001 - $250;000 ..... P2 =$5;000,00t-$25,000,000 T =Cash Market
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each assel exempt from prior disclosure B. Income during reposing period (1) (2) Amoum Type (e.g., Code I div., rent, (A-H) or int.) C. Gross value at end of reporting period (1) (2) Value Code 2: (J-P) (1) Value .~ . Type (e.g., Method.:~,:~., buy, sell,: redemption) Code 3 (Q-W): D. Transactions during reporting period (2) (3) (4) Date Value irim/dd/yy Code 2 0-P) (5) Identity of Gai~ Code 1 ....... : buyer/seller (if private (A-H) lransactton)
103. ISA Marshall & Ilsley BK 104. ISA M&T Trust Co. 105. Bank of America Dep Account Preferred
A A A
1. Income Gain Codesi (See Columns B l and I)4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1~000 or less F ~$50,001 - $ 100,000 J =$15,000 or less N =$250,001 - $500,000 P3 =$25,000.001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G ~$100,001 - $1,000~000 K =$15,001 ~ $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
E =$15,001 - $50,000
L--$50 Oo :~i0oloo~
p 1 =$1~000,00i ~ $5;000~000 P4 =More than $50 000 000 S =Assessment W =Estimated
M =$~00,001- $250,000
T :Cash Market
P2 =$5,000i001 =$25,000,000
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 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 honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 UoS.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544