Neil V Wake Financial Disclosure Report for 2010

8/3/2019 Neil V Wake Financial Disclosure Report for 2010

1/10

A O ] OR e v . 1 /2011FINANCIAL DISCLOSURE REPO RTFOR CALENDAR YEAR 2010

Report Required by the Ethi~i n G o v e r n m e n t A c t o f l 9 7 8(5 U .S.C . app . f f~ 101-111)

I. P e r s o n R e p o r t i n g 0 a ~ t s a m e , t in t , m i d d l e i n i t i a l)Wake , Ne i l V.

4. Title (Art icle HI judge) indicate act ive or sen~or status;m z g i s l n te j u d g c ~ i n d i c a t e f u l l - o r i ~ ~ - t ir a c )U.S. Distr ic t Judge

7 . C ~ a m b c r s n r O f f i c e A d d r e s s4 0 1 W . W a s h in g to n S L , S 1 ~ 2 5 2Phoen ix , AZ 85003

I. Cour~ ~r O ~ a ~ z ~ U o mU.S. Dist6ct Court , Arizona

Sa . R e p o r t T y p e ( c h e c k a p p r o pr i a t e ~ p e )] Nomina t ion , D a t e[] Initial [] Annual [] Final

15b. [] AmendcdR~port8. On the basJ,~ of the information coatain~ la this Repo~ and any

m~i~aao~ pe~ainiag the~t~ It ~ I~ my o~nlon, In compliancewit~ tppl i cable l aws an d

R c ~ e w i n $ O ff i c e r D a t e

3. Date of R e p o r t09 /10/201

Reporang Per iod01101/2010to12/31/2010

I M P O R T A N T N O T E S : l T te t m t r u c t i o n a a c c o m p a n y i n g t h i s f o r m m u s t b e f o l lowed. Com ple te a l l pa ra ,c hec ki ng the N O N E box f or ea c h pa rt w here y ou ha ~e no report a bl e i n forma t i on. S i gn on l a s t pa g~

1 . T r u s t e e2.

3.

4.

5.

b lA M E O F O R GA N I Z A T I O N / EN T I T YL a w O f f i c e s o f N e l l V i n c e n t W a k e M o n e y P u r c h a s e P l a n ( I a m s o l e b e n ~ f i c ix o ,)

N O N E reportable agreemen ts.)N oD A T E P A R T I ES A N D T E RM S


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FIN A N C IA L D IS C L O SU R E R E PO R TPage 2 o f 10

Name o[ Pe rson Repor t ingWa ke, Nel l V.

I I I . N O N - I N V E S T M E N T I N C O M E . tS~.,i.: ~.~.~.~ *nd ,poa,.; ,,e p~ t Z.u of :t~ntA. Fliers N o n - I n v e st m e n t I n c o m e~-~ NONE n o n - in v e s tme n t in c o m e . ) .N o reportable

DATE S O URCE AND TYPE

2.

3.

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 - / f ~ o , w~,om, d during anyportton of the reportlng)~ar, complete thl~ sectla~(Dollar amount not required x~cepl for honoraria.)~ (N o re porta ble incom e .)O N E non- i nv e s t m e nt

1 . 20102.3.4.

SOLl!tcE A N D T Y P ESelf-employed attorney and m~diator

D a t e o f R e p o r t09 /10/2011

(yours , not spouses)

IV. REIMBURSEMENTS -(Includ~ those to spouse and dependent children: see pp. 25-27 of fding instructions.)

~ ( N o r e por t a bl e r e i m bur s e m e nt s .)O N E

2.3.4.

5,

S O U R C E ~ LOCATION PURPOSE ITEMS pAID OR PROVJDED


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FLNANCIAL DISCLOSURE REPORTPage 3 o f 10 Ia m e f P ~ r s o n R e p o r t in gWa k e ~ N e l l V . D a t e o r R e p o r t

NONE (No reportable gifts.)D E S C R I P T I O N

09 /10/2011

V I . L I A B I L I T I E S . t t ~ , t~ d , , ~ o , , o Z , p o ~ , e ,n d a , p , ~ d ~ t ,~ i ~ d , ~ , ; , ,, e ~ J : - " o / l " d ~ , sNONE (?go reportable liabilities.)

~REDITOR DESCRIPTION1 .

3.4.

V A L U E C O D E


4/10

FINANCIAL DISCLOSURE REPORTPage 4 o f 10

N a m e o f P e r s o n R e p o r ti n g I D a t e o f R e p o r tWak e, Nel l V.

[09/10/201 ]

VII . INVESTM ENTSN ON E ( N o re port abl e i ncom e , asse t s , or t ransact i ons . )

A. B. C. D.D e s c r i p t i o ~ o f A s s e r t I n c o m e d u r i n g G ra ~ t value a t end T r a r ~ a c t i o n ~ d ~ r i n g r e p o r t i n g I x t i e d

( inc lud ing t ro t a sse ts ) t " e p o ~ i n g p e r i o d of repor t ing p~odO) (2) (I) (2 ) (I) (2) O) (4) (5 )P l a ~ e " ( ~ ) " a f t e r e a t 2 1 a s s e t A m i n e T~e (e.g., V alu e V alu e T y p e ( e . g ., D a t e V a l u e Gain I d e n t i t y o f

exempt f~mpr iordis~ losure ~ I div. , r enk C o d e 2 M e l h o d b ~ y . s e l l , r n m / d ~ J y 7 C o d e 2 C o d e | b u T e d s ~ l l e r( A - H ) o r i n t . ) ( J - p ) C o d e 3 r e d e m p t io n ) ( J - P ) ( A - H ) ( i f p r i v a t e( Q - W ) at t r act ion)

Wells Fargo account~ ! A!

Interest

Apache Peak Inv., LLC None

Whetstone Dev. Co. (common stock) {X) None

J T

U

U

L i U

M

Inters tate Ventures V Ltd. P tshpB RO KERA G E A C C T # 1

Dist r ibut ion

- -Morgan S tan ley Ac t ive A sse t s Mor t T r( L i q u i d A s s e t F u n d )I R A # I- M S C h a r t e r C a m p b d l L P

- -MS Char te rMSFCM LP

--MS Char te r Grahan LPI R A # 3

Dividend

N o n e

N o n e

N o n e

D i v i d e n d- M o r g a n S t a n l e y L i q u i d A s s e t F u n d ( M M ) [ AIl.

13 . --MS Charter Aspect LP

t 1 4 . -MS Charier Graham

i IS. --MS Charter WCM LP

16 . UTMAAeet# 3

17 . --Liquid Asset Fund (MM) A

DividendN o n eN o n e

N o n e

]nterest

t. ltmo~ Gain Codes:(See C o l u m ns B I a~ l D4)

2. Valu e C o d ~

(~ Column ~)

B =$1.001 - $2200K =$IS,00L - $50,000O = $ ~0 .001 - $ 1R ,-Cos~ ( R ~ I E s t ~ t ~ O n l y )

D =$$,001 - $ 1 5 . 0 0 0H 2 - M o r e t h a n $ 5 , , 0 0 0 , O 0 0M = 1 1 0 0 . 0 0 1 - $ 2 5 0 . 0 O OF 2 - $ : $ . 0 0 0 , 0 0 ! . $ 2 5 , t X X ) . 0 C OT - C ~ h M ~ - k e t


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FINANCIAL DISCLOSURE REPORTPage 5 o f I 0

Name of Person Repor t ingW a k e , N e f f V .

D a t e o f R e p o r t0 9 1 1 0 / 2 0 1 1

[] N O N E (N o reportable income , assets , or transactions. )A. B. C.

D e s c r i p t i o 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 lu e a t e n d( i n c l u d i n g t r u s t a s s c ~ s ) r e p o r t in g p e r i o d o f r e p o s i n g p e r i o d

0) (2)P l a c e " { X ) " a t ~ r e a c h a s s e t A m o u nt T y I ~ ( e .g ., V a l u ~ V a lu ee x e m p l ~ r o m p r i o r d b c l o s u r ~ C o d e 1 d i v .. m n ~ , Co~ 2 M e ~ h o d( A - H ) or int.) ( J - p ) C o d e 3

0)T y p e ( e , & .r ~ 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 ~ p o n i n g p e r i o d( 2 ) O ) (4) (5)

D a ~ V a l u e Grin I d e n f i W o fm m / d d / y y C o d e 2 ~ I b u y s / s e l l e r

( J - P ) ( A - H ) ( i f w ~ v a ~t r a n s a c t i o n )

1 9 . - S E I T a x - F r e e F u n d ( / r i C O I N o n e K T S o l d 1 0 / 1 9 1 1 0 Ki :, (pea )2 0 . -SEI In termedia te-Term Munic ipal Fund [ B D i v i d e n d ! K T S o l d 110/19 /10 J(Mut Fd) i (part)21 . - -SEI Shor t Dura t ion Munica l Fd [ B Di v i d e n d ! K T S o l d 10/19 /10 Kt a r t )2 2 . - S T E T T a x - A d v a n t a g e d I n c o m e F d # 1 9 . A Di v i d e n d L T S o l d 1 0 / 1 9 1 1 0 J, ( pa~ )2 3 . --SEITax Managed Vola t i ty Fd A Di v i d e n d K

f!

T (part)Sldt l 1 0 / 1 9 / 1 0

K

24 . --SEI P,~al Esat~ Fd A D i v i d e n d K T S o l d 10/19 /10 J(part) I2 5 . ING USA.Annuity & Life Ins Co (annuity) None N T ] [

2 6 . A m er . In v . L ife In s . (A V IV A ) C o . (an n u ity) N o n e M T

2 9 . --C isc o S ys tem s In c ( c o m m o n ) N o n e J I T

3 0 . --SEI Sho r t Dura t ion Munic ipal Fd B D i v i d e n d L T S o l d 10/19/10

3 1 . - S T ET T a x - A d v a n t a g e d I n c o m e F d # 1 9 A D i v i d e n d J T I S o l d 10/19/10 JI C p a r t )3 2 . - -S E I T a x Ma n a g e d V o l a t i ty d r ] D i v i d e n d T , (part) SldIO/19 /1O J l

A Dividend T Sold3 . --SEI RealEsate Fd ,. (part)3 4 . - -SEI Tax-Free Fd ~ D is t r i bu t i o n ! T !


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FINANCIAL DISCLOSURE REPORTP a g e 6 o f 1 0

N O N E ( N o re port ab l e i ncom e , asse t s, or t ransact i ons . )D e s c r i p t i o n o t A s s e t ~ I n c o m e d u f i n l ~( i n c lu d i n g ~ u s t a s s e s ) r~oni~g per iod

(i) (2)P l ~ c e " ( X ) " a f t e r ~ c h asset A m o u n t Type ( g . ,

e x e m p t f ro m p r i o r d is c l o s u r e (A-ID or int)

Grosl value at endo f t ~ p o r t i n f f I ~ r i o d(i) (2)

C M 2 M e t h o d( J - P ) C ~ e 3

(l )T y p e ( e . g . ,

b u y , ~ e l l,r~lemption)

Tr an~c~ons dur ing r c l ~ n i n g p e r i o d(2) (3)D a t e V a l u e Gain I d e n t i t y o f

m n d d d / y ~ C o d e 2 C o d e I t m y e r / ~ l t e r( J - P ) ( A - H ) (if~~ion)

)35.

I6 .3 7 .3 9 .

40 .

41 .

4 3 .

44 .

4 5 .

4 6 .

4 7 .

4 9 .

5 0 .

5 1 .

Amer ican Rea lty Capita l ( common s tock)

H e a l t h e a re T n m t o f A m e r i ca ( c o m m o ns t ock)BROKERAGE ACCT # 5-SE I H igh Yie ld B ond F und (Mut F d )-SE I P r ime Ob l i ga t i on F und (MoneyMarket)-SE I P r imo Ob l i ga t i on F und (MoneyMarket)- -S llv lT Enhanced Income (Fd)

--SEI Managed V ola t i ty Fd--SEI Real Estate Fd

--SIMT Global Managed Vola t i l i ty Fd

Jac~on Na t . Life In s . (70 . (annu ity)

Fina l Coun ty, AZ, land

Mo h a v e C o u n t y , A Z , l a n d

Roth IRA # 4

- - Mo r g a n S t a n l e y L i q u i d A s s e t F u n d ( Mu t AManulif Financ ia l Life In sN a t i o n w i d e L i fe I n s . C o - a d j u s t a b l e l i f e in s i

N o n e

A Di v i d e n d

A Di v i d e n d

N o n e

A I D i v i d e n dA I D i v i d e n d

A Di v i d e n d

N o n e

Dividend. J i T

None . K

B u y

B u y

So ldS ol dSo ldSo ldSo ldS ol dS ol dB u y(add l )

S o l dS o l dB u y

1 0 / 2 0 / 1 0 ~ L ~J ;IO~2O~O

07/22/10 ( J07/22! I 0 M

07/22/10 JL

07/22 /10

,8113/10 K i (i08/24/10 K


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FINANCIAL DISCLOSURE REPORTPage 7 o f I 0

D a t e o f R e p o r t0 9 / 1 0 / 2 0 1 I

NO NE ( No r e p o r ta b le in c o me , a s s e ts , o r tr a n s a c t io n s. )D e s c r i p t i o n o f A s s e t s I n c o m e dur ing

( i m l u d i n $ t r u s t a s s e t s ) r ~ : , o r t i n g l ~ r i o d(t) (2)

P l a c e " ( X ) " ~ f l . e r e a c h a t ~ e t A m o t m t T ~ ( e . 8 . ,~ e m p t f r o n t p r i o r d i s c l o s u r~ C ode I d lv . ren t ,( A - I - ~ o r i n L )

G r o ~ v a h ~ e a t en dof r e p o r t i n g t x r i o dValue V a l u eC ~ e 2 M~

( J - P ) C ~ e 3

(i )T y p e ( e . g .,

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

Transactions during r~pcrtlng ~

(2) (3) (4) ( ~ )D a t e V a l u e Gain I den t i ty o f

m m / d d / y y C o d e 2 C o d e I bu y e r l s l l~ "( J - P ) (A- I -0 ( i f p r i n t *~nsac t lo~)

52 . S e c t i o n 5 2 9 A c c o u n t

5 3 . --Ivy Capital Appree. E (422)

5 4 . I R A # 5-5 5 . - A l l i a n z L i f e In s C o o f N o r t h A m ( a n n u i t y)

5 6 . - A v i v e L i fe a n d A n n u i t y C o ( a n n u i t y )

5 7 . T r u s t # 5 (benef ic ia r ie s )5 8 . - -S E I P r i m e O b l i g a d o n F u n d

5 9 . I R A # 6

6 0 . - - Mo r g a n S t a n e l y L i qu i d A s s e t s F u n d

1 6 1 . - -B la c k r o c k G lo ba l A l lo c a t i o n C

6 2 . B R O K E RA G E A C C T # 6

!65 .i 6 6 .

6 7 .

N o n e N

I nL /Div. L

T

T

S o l d

B u y

10/28/10 N1 0 / 2 9 / 1 0 i N

i

A

Div i dendD i v i d e n d

i T

B u y 04/30 /10

- - V a n Ka m p e n G r w & I n c A-- Ivy Large C ap Grw A Fd

- - A m e r Ba l a n c e d F dC a l l o n P e t r o le u m C o ( c o m m o n )B R O K E RA G E A C C T ~ 8- .Morgan S t an l ey Bank

Div i dendN o n e

A Interest

K

J

M T

B - $ 1 . 0 0 1 - $ 2 , . 5 0 0O - $ ~ 0 0 . 0 0 1 . $ ~ , 0 0 0 , 0 0 0K - S t : L 0 0 1 - ~ 0 , 0 0 0O - $ 5 0 0 . 0 0 1 - $ 1R ~ C O s I ( R e a l E t ta m O ~ J y )

O -$5.001 - $15.000H2 -M o.~ ~a n $5.000.000M -$100.001 - $250.000P 2 - $ 5 . 0 0 ~ . 0 0 1 - S2~,~O,O00T = C ~ b Madc~


8/10

FINANCIAL DISCLOSURE REPORTPage 8 of 10Name of Person Reportin~

Wa k e , l ~ e i l V .D ~ t e o f R e p o r t

0 9 / 1 0 / 2 0 1 |

NONE (No reportable income, assets, or transactions.)A. B. C. D.

D ~ s c r i p t i c n c f A s . s ~ t s I n c o m e d u r i n g G r c s s v a l u e a t e n d T r a n s a ~ t i o m d u r i n g ~ p c r t i n g( in c l . , c l ing trust a s s e t s ) ~porting period of regor f in8 p~r iod

(l) ~2) (I) (2) ( I ) (2) (3) (4)PI~c "(~" tfl~ ~h ~,t A m o u n t T)~ {l ~. V a l u e V a lu e T ype ( e .g . , D a t e V a l t ~ Gain l d e n t i ~ / o f

e x e m p t f r o m p r io r d i s c l o . ~ a ~ C o d e I d iv ., r en t , C o d e 2 M e h o d b~y, se l l , m m / d d / y ~ C od e 2 C od ~ I buy~/~lkr(A-IF/ o r i n~- ) ( , I-P] C o d e 3 r e d e m p t h ~ n ) ( J -P ) (A -H ) 0 f pd v a t~( Q - W ) t r an s~ : t ion )

6 9 . B R O K E P , . A GE A C C T # 9

7 0 . - -MS B a n k D ~ p P r g m ( n e w ba n k a c c o u n t )

71. --MF$ T o t a l Re t u r n A7 2 . - B l a c k r o c k E q u i t y Di v i d e n d A

7 3 . - - C o l u m b i a S e l e c t L G C P G r o w t h A7 4 . IRA # 7

7 5 . - - MS Li q u i d A s s e t F d7 6 . - A m G r o w t h Fd o f A m e r F7 7 . - -G a b~ l l i EQ I n c A A A

7 8 . -M S S t r a t eg i s t F und A

7 9 . - -A m e r i c a n G R F D o f A m e r i c a F

i iA i Di v i d e n d

A D i vi dendN o n e

c I D i vi dend

B [ Dividend

B !Dividend

A Div ide nd [

r

K T

L T

K T

il.


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FINANCIAL DISCLOSURE REPORTPag~ 9 of l0

iN a m e o ! P e r + o . R ep o r t ln ~W a k e , N e i l V .

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

D a t e o f R e p o r t0 9 1 1 0 / 2 0 1 ]


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FINANCIAL DISCLOSURE REPORTPage 10 o f 10

Name o f Per son Repor t ingW a k e , N e i l V .

D a t e o f R e p o r t09!10/201 t

IX. CERTIFICATION.! c e r t i fy t h a t a l l i n fo 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 fo r m a t i o n p e r t a in i n g t o m y s po 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 , ~ u e , a n d c o m p le 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 ie 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 ld b e c a u s e i t m e t a p p l ic a b l e s t a t u t o r y

p r o v i s io n s p e r m i ~ n g n o n - d i s c l o s u r e .! f u r t h e r ce r t i f y t h a t ea rned I ncom e f r om ou t s i de em pl oym en t and h ono ra r i a and t h e accep tance o f g i f t s wh i ch h ave b een r epor t ed a r e I nc o m p l ia 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 pp . 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 fe r e n c e r e g u l a t i o n s .

Signature: $ /N e i l V . W a k e

N O T E : A N Y IN 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 FU L L Y F A L S I FI E S O R F A I L S T O F IL E T H I S R EP O R T M A Y B E S U B J E C T T O C I V 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 pp . 1 0 4 )

C o m m i tt e e o n F i n a n c i a l D i s c lo s u r eA d m i n i st r a t iv e O f f i c e o f th e U n i te d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i rc l e , N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

Neil V Wake Financial Disclosure Report for 2010

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Transcript of Neil V Wake Financial Disclosure Report for 2010