Professional Documents
Culture Documents
1/2011
Report Required by the Ethics in Government Act ofl978 (5 U.S.C. app..~.~ 101-111)
I. Person Reporting (last name, first, middle initial) St. Eve, Amy J. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
USDCJ - Active
7. Chambers or Office Address 219 South Dearborn Street Room 1260 Chicago, Illinois 60604
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
IMPOR TANT NOTES: The instructions accompanying this form must be followed Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last page.
4. 5.
II. AGREEMENTS. m,po,~g i,aiviaaat o,/y; see pp. 14-16 of filing instructions.)
~
D
1. 2010 2. 3. 4.
INCOME
(yours, not spouses) $2,000
B. Spouses Non-Investment Income - tf yoa were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
D
1.2010 2.2010 3. 4.
[~]
PURPOSE
1. 2. 3. 4. 5.
V. GIFTS. a, clu~es,ho~ 1o spouse a.d ~epo~e~ children; see pp. 28-31 of filing instruction~)
~]
I. 2. 3. 4. 5.
VI. LIABILITIES. a.ct.~e~ ,hose of~po.~e a.d de, e.~e.~ children; see pp. 32-33 of filing instruction&)
NONE (No reportable liabil#ies.)
CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
! [
e, ,,olue, transactions (tnclude~ those of spouse and dependent children; see pp. 34-60 of fillng instructlon~)
(I)
Value Code 2 (J-P)
(2)
Value Method Code 3
(1)
Type (e.g., buy, sell, redemption)
(2} (3) (4) Date Value Gain mm!dd,~, Code 2 Code I (J-P) (A-H)
(Q-W)
I. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. Fidelity Ginnie Mae Mutual Fund Fidelity Magellan Mutual Fund (monthly purchase of $250) Fidelity Low Priced Stock Mutual Fd. & monthly purchase $250 Fidelity Municipal Money Market Account Chase (Accounts) Abboll Laboratories Common Stock Fidelity Contrafund (Monthly purchase of $250) Microsoft Corp. Common Stock EMC Corp. Common Stock Chesapeake Energy Corp. Van Kampen Equity Trust Small Cap Growth Fund Van Kampen American Cap Emerging Growth Fund ING International Value Fund Neuberger Bennan Genesis Fund ING Small Company Fund A Lord Abbett Affiliated Fund A Barrick Gold Corp. Common Stock B A A A A A A A A A C A B Dividend Dividend Distribution Interest Interest None Distribution Dividend None Dividend None None Dividend Dividend Dividend Dividend Dividend J J J J K K K J J T T T T T T T T T J K K K N J K T T T T T T T Sold
10/25/10 J
I. Income Gain Codes: (See Columns B I and IM} 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Cohlmn 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 =Ucok Value
B =$1,00I - $2,500 G = $ 100.001 - $ 1.000.000 K =$15,001 - $50.0~O O -$500,001 - $1.000.0~O R ~Cost tReal Eslate Only) V -Other
C =$2,501 - $5,000 |t I =$ 1,000,001 - $5.000.000 L =$50,001 - $100.000 PI =$1,~O0.001 - $5.0~O.000 P4 =More than $50.000.000 S =Asscssngn! W -Eslimated
D =$5,0OI - $15.000 112 =More t han $5,000,000 M 25100.0OI - $250.0~O P2 =$5,000,001 - $25,000.0OO T =C~h Markcl
E =$15.001 - $50.000
VII. INVESTMENTS and TRUSTS - i.co,~,, vatue, ,~a,~a,~io,~ (Includes those of spoust and aependcnt chilaren: see pp. 34-60 of filing instruction~)
[~]
Income during reporting period (0 (2) Amount Type (e.g., Code I div., rent, (A-H) or int.)
Gross value at end of reporting period (I) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) J J K L K J M K K K J K J J J L L T T T T T T T T T T T T T T T T T
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
Cisco Systems Inc. Common Stock Claymore Secs. Defined McDonalds Corp. CS StiefelNicholaus Money Market Illinois Municipal Bonds Fidelity Strategic Dividend/Income 529 Unique College Investing Plan (age based) See Note 1 Peabody Energy Corp. General Electric Company Fidelity Select Medical Delivery (monthly $250) Entertainment B Illinois State Tax Free Bonds Illinois State College Bonds Fidelity Balanced Fidelity Latin America A A B A A B A A A A A A A A
None Dividend Dividend Dividend Interest Dividend Interest Dividend Dividend Dividend Dividend Interest Interest Dividend Dividend Dividend Dividend
Fidelity Blue Chip Value Fund (See Note 2 B in Part VII) Fidelity Capital Appreciation Fund (See Note 2 in Part VII) A
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes |Sc Columm CI and D3) 3. Value Method Codes tSce 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.D~0 O =$500,001 - $1,000.000 R =Cost (Real Estate Only) V =Olher
C =$2,501 - $5,000 111 =$1.000.091 - $5,000.000 L =$50.001 - $100.000 PI =$1.000,001 . $5.000,000 P4 =Mote lhan $50.000.000 S =Assessment W =Estimaled
D =$5,001 - $15.000 112 =More lhan $5.000.000 M =$100.001 . $250.000 P2 =$5.000,001 - $25.000.000 T =Cash Market
E =$15.001 - $50.000
I[ Amount (,)
i Code I (A-H)
(2)
35. 36. 37. 38. 39, 40. 41. 42. 43, 44. 45. 46. 47. 48. 49. 50. 51.
Fidelity International Discovery Fd (See Note 2 in Part VIi) Fidelity Large Cap Value Fund (See Note 2 in Part VII) Fidelity Mid Cap Growth Fund (See Note 2 in Part VII) Fidelity Mid Cap Value Fund (See Note 2 in Part VII) Fidelity Small Cap Growlh Fund (See Note 2 in Part VII) Fidelity Small Cap Value Fund (See Note 2 in Part VII) Fidelity Total Bond Fund (See Note 2 in Part VII) Fidelity Emerging Markets Fund (See Note 2 in Part VII) Smith Barney Money Market Stifel Financial Corp. Federated Strategic Mutual Value Fund CLC Fidelity Select Materials Mutual Fund A A A B B C C C
None Dividend Dividend Dividend Dividend Dividend Dividend None Interest None None Dividend Dividend None B A A Interest Dividend Dividend
K L J K K K L
K J J J K J K K
Fidelity New Markets Income Mutual Fund A Monsanto Goldman Sachs Bonds Fidelity Govt Income (See Note 2 in Part Vll) Fidelity U.S. Treasury MM (See Note 2 in Part VII)
T T T T Buy Buy
01/14/10 01/14/10 K K
I. Income Gain Codes: (See Columns BI and 134) 2. Value Codes (See Columns CI and D3) 3. Value Mcthod Codes (See Column C2)
A =$1,000 or less F =$50.001 - $100,000 l =$15.000 ~ less N =$250,001 - $500,000 P3 =$25,000.0OI - $50,000,000 Q =Appraisal U =Book Valuc
B =$1,001 - $2,50~ G =$100.001 - $1.0~0.000 K =$15.001 - $50.0(~ O =$500.001 - $1.000.000 R =Cost (Real Eslate Only) V =Other
C $2.501 - $5,000 I11 =$1.0~1.001 o $5.000.000 L =$50.001 - $100.00~ PI =$1,000.001 - $5.000,0~ P4 =More Ihan $50.000.000 S =Asscssm,mt W -Eslimatcd
D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.0~1 - $250.000 P2 -$5.000,001 - $25.000.000 T =Cash Market
[ :$15.001- $50.000
VII. INVESTMENTS and TRU STS -i.co,~e, val.., ,.a.~c,io.s a.a.des ,hose olspo.se ~.d depe.de., children; see pp. 34-60 of filing instructions.)
D
i Cl)
Place "(X)" after each asset
exempt from prior disclosure
i Amount
Code I (A-H)
Type (e.g.,
div., rent, or int.)
52.
A Distribution
Buy
01/14/10 K
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columm CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 J =$15,000 o,- Icss N =$250,001 - $500.000 P3 =$25.000.0OI - $50.0~O.000 Q =Appraisal U =Book Value
B =$1,0OI - $2,500 G =$100.001 - $1.000.000 K =$15.0OI - $50.000 O =$500.001 - $1,000.000 R =cost (Re~l Estate Only) V =Olher
C =$2.501 - $5,000 III =$1.000.0~1 - $5.000,000 L =$50.0OI - $100.0OO PI =$1.0~3.001 . $5,000.000 P4 -More than $50.000.000 S =Assessment W :Estimated
D =$5.001 - $15.000 112 =More than $5.000.000 M =$1OO.0OI - $250.000 P2 =$5,000.001 - $25,009.009 T =Cash Market
E =$15,001 - $50.000
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 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS 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
AO I0 Rev. 1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
I. Person Reporting (last name, first, middle initial) St. Eve, Amy J.
4. Title (Article Ill judges indicate active or senior status; magiswate judges indicate full- or pard-time)
5a. Report Type (check appropriate type) ] Nomination, [] Initial Date [] Annual [] Final
USDCJ - Active
5b. [] Amended Report 7. Chambers or Office Address 219 South Dearborn Street Room 1260 Chicago, Illinois 60604 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
IMPOR TANT NO TES: The instructions accompanying this form must be followed Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
POSITION
1. 2. 3. 4. 5. Adjunct Professor Board Member Board Member
NAME OF ORGANIZATION/ENTITY
Northwestern Law School Federal Bar Association -- Chicago Chapter DePaul University College of Law -- Intellectual Property Law and Information Technology Board Public Safety Commissioner Posse Foundation Chicago
II. AGREEMENTS. me, oni.g ~a~via.~t o,ty; see pv. u-16 o::#.g instructions.)
NONE (No reportable agreements.) DATE I. 2. 3.
III. NON-INVESTMENT INCOME. mepo~ng indivldual andspoase: seepp. 17-24 of filing instroctions.)
A. Fliers Non-Investment Income
~]
[
1. 2010
INCOME
(yours, not spouses)
$2,000
2. 3. 4.
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.)
DATE
1.2010 2.2010 3. 4.
SOURCE
1. 2. 3. 4. 5.
DATES
LOCATION
PURPOSE
V. GIFTS. anelud~ those to sp ..... d dependent children; seepp. 28-31 of filing instructions.)
NONE (No reportable gifts.) SOURCE
I. 2. 3.
4.
DESCRIPTION
VALUE
5.
VI. LIABILITIES. ancludes those olspouse o.d dependent children; see pp. 32-33 offiIing instructions.)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - inco,,e. ,.~l~, ,ra.~ac,~ons anc,u~es ,ho,e o/ ,poa,e and dependen, children; see pp. 34-60 of filing instructions.)
D
Il) Amount
Code I (A-II)
Fidelity Ginnie Mac Mutual Fund Fidelity Magellan Mutual Fund (monthly purchase of $250) 3. 4. 5. 6. 7. 8. 9. - 10. II. 12. 13. Fidelity Low Priced Stock Mutual Fd. & monthly purchase $250 Fidelity Municipal Money Market Account Chase (Accounts) Abbott Laboratories Common Stock Fidelity Contrafund (Monthly purchase of $250) Microsoft Corp. Common Stock EMC Corp. Common Stock Chesapeake Energy Corp. Van Kampen Equity Trust Small Cap Growth Fund Van Kampen American Cap Emerging Growth Fund ING International Value Fund
A A C A B
J K K K N J K
T T T T T T T
Sold 10/25/10 J A
A A
J J J J K K K J J
T T T T T T T T T
B A A A A
14. Neuberger Berman Genesis Fund 15. 16. 17. ING Small Company Fund A Lord Abbett Affiliated Fund A Barrick Gold Corp. Common Stock
1. Income Gain Codes: (See Columns B I and I)4) 2. Value Co&s (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.0<)I - $ 100,000 J =$15,0D0 or less N =$250,001 - $500.000 P3 =$25.000,001 - $50.0~0,000 Q =Appraisal U ~Book Value
B $1,001 - $2.500 G =$100.001 - $1.0~0.000 K =$15.001 - $50.000 O =$500.0OI - $1.000.000 R =:Cost (Real Estate Only) V :O~hcr
C =$2,501 - $5.000 I I I =$ 1.000,091 - $5.000.000 L ~$50.001 - $100.000 PI =$1.000.001 - $5.000.000 P4 =More than $50.0~).000 S = Assessment W -Estimated
D =$5.001 - $15,000 112 =More than $5.000.000 M -$100.001 - $250.0~O P2 ~$5.0~O.001 - $25.C(10.000 T Ca.sh Market
E =$15,001- $50.000
V II. INV ESTMENTS and TR U STS - income, value, transactiott~ (includ~ those of spouse and dependent children; see pp. 34-60 of filing instructions.)
[]
I~ (I)
I Amount i Code 1 I (A-H)
(2)
Type (e.g., div., rent, or int.)
(2) (3) (4) Date Value Gain mm!dd,~y Code 2 Code I (J-P) (A-H)
18.
19.
None
Dividend
j
J
T
T
McDonalds Corp. CS Stiefel Nicholaus Money Market Illinois Municipal Bonds Fidelity Strategic Dividend/Income 529 Unique College Investing Plan (age based) See Note 1 Peabody Energy Corp. General Electric Company Fidelity Select MedicalDelivery (monthly
$250) Entertainment PPTYS Trust Ser V (see note)
A B A A B A A A
A
K L K
J
T T T
T
K K J
T T T
29.
Interest
30.
Interest
31.
Fidelity Balanced
Fidelity Latin America
Dividend
J j L L
V T T T
32.
Dividend
33.
Fidelity Blue Chip Value Fund (See Note 2 in Part VII) Fidelity Capital Appreciation Fund (See Note 2 in Part VII)
Dividend
34.
Dividend
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$I,000 or less F =$50,001 - $100,000 J =$15.000 or less N =$250.001 - $500,000 P3 =$25.0OO.001 - $50.000,000 Q =Appraisal U =Book Value
B =$1.001 - $2.500 G =$100.0OI - $1.000.000 K =$15,001 - $50,000 O=$500,001-$1.000.0OO R -~Sosl (Real Estate Only) V :O~hcr
C -$2,501 - $5.000 III =$1.000,001 - $5.000.000 L -$50.0OI - $100.O00 PI $ 1.000.001 - $5.000,000 P4 =Mote than $50,000.000 S :Assessment W -Estimated
D =$5,001 - $15,000 112 =More than $5,000JDO M =$100.001 - $250,000 P2 =$5,000.001 - $25,000.000 T ,,=Cash Market
E =$15.0nl - $50.0~
VII. INVESTMENTS and TRUSTS -inco,,,. ,atue. ~a,~actio,~ anclud,~ those o/s~,o,,, and d~,~ndent children; s pt~ 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
B. Income during reporting period (I) i Amount Code I (A-H) (2) Typ~ (e.g., div., rent, or int.)
(0
Value Code 2 (J-P)
(2)
Value Method Code 3
(i)
Type (e.g., buy, sell, redemption)
(2) (3) (4) Date Value Gain mm/ddh/y Code 2 Code I (J-P) (A-H)
35.
Fidelity Inlemalional Discovery Fd (See Note 2 in Part VII) Fidelity Large Cap Value Fund (See Note 2 in Part Vll) A B B C C C
None Dividend Dividend Dividend Dividend Dividend Dividend None A Interest None None A A Dividend Dividend None B
A A
K L J K K K L
37. 38. 39. 40. 41. 42. 43. 44. 145. 146. 47. 48. 49. 50. 51.
Fidelity Mid Cap Growth Fund (See Note 2 in Part VII) Fidelity Mid Cap Value Fund (See Note 2 in Part VII) Fidelity Small Cap Growth Fund (See Note 2 in Part VII) Fidelity Small Cap Value Fund (See Note 2 in Part VII) Fidelity Total Bond Fund (See Note 2 in Part VII) Fidelity Emerging Markets Fund (See Note 2 in Part VII) Smith Barney Money Market Stifel Financial Corp. Federated Strategic Mutual Value Fund CL(: Fidelity Select Materials Mutual Fund Fidelity New Markets Income Mutual Fund Monsanto Goldman Sachs Bonds
Fidelity Govt Income (See Note 2 in Part Vll) Fidelity U.S. Treasury MM (See Nole 2 in Part VII)
K J J J K J
K K
T T
T T Buy Buy
Interest
Dividend Dividend
01/14/10 01/14/10
K K
I. Income Gain Codes: (See Columns BI and D4) 2. Value Cod,-s (See Columns CI and D3) 3. Value Mclhod Codes (S,:c Column C2)
A =$1.000 or lcss F =$50.0OI - $ 100.000 l $15.000 or Icss N -$250.001 - $500.000 P3 =$25.OO0.0OI - $50.000.0~O Q :Appraisal U =Book Value
B =$1,001 - $2.500 G =$100.001 - $1.000.000 K =$15.0OI . $50.000 O -$50~.001 - $1.000.000 R ~ost (Real Estate Only) V =O~her
C =$2.501 - $5,0~) III =$1.0~0,001 - $5.000.000 L =$50.0OI - $10~.00~ PI =$1.000.0~1 P4 =Mo~e than S =Asscssm,."nl W =Eslimatcd
E =$15,001 -$50.O00
T =Cash Market
V I I. I N V E S T M E N T S a n d T R U S T S -~ncome, ,,at.e, ,r.,~e,io~ a nelud~ ,hos~ o/spo~se ond dependen, children; see plx 34-60 of filing instructions~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
B. Income during reporting period (1) (2) , Amount Type (e.g., Code I div., rent, (A-H) or int.)
C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption)
D. Transactions during reporting period (2) (3) (4) Date Value Gain nurgdd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
52.
Distribution I
Buy
01/14/10 K
I. Income Gain Codes: { See Columns B I and D4 ) 2. Value Codes {See Cohlmns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $ 100,000 J =$15.000 o less N -$250.001 - $500.000 P3 =$25.000.001 - $50.0~0.000 Q =Appraisal U =B~:,k 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 Eslatc Only) V =O~her
C =$2,501 - $5,000 I I I =$ 1.000,001 - $5.000.000 L =$50.001 - $100.000 PI =$1.000.(301 - $5.000,000 P4 =More than $50.000.000 S =Ass~ssmen! W =Eslimated
D =$5.001 - $15.000 112 =More than $5.000.000 M =$100.001 - $250.0(}0 P2 =$5.000.001 - $25.000.000 T =Cash Market
E =$15.001- $50,000
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 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS 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