Lewis T Babcock Financial Disclosure Report for 2010

8/3/2019 Lewis T Babcock Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Required by the Ethics

in Government Act o f 1978(5 U.S.C app. 101-111)

1. P e r s o n R e p o r t in g ( l a s t n a m e , f irst , middle initial)BA BCO CK , L E W I S T .

4. Title (Article IIl judges indicate active or senior status;magistrate judges indicate full- or pard-time)

JUDGE - SENIOR STATUS

7. Chamb ers or Office A d d r e s s1929 STOUT STREET, C450D E N V E R , CO 8 0 2 94

2. Court or O rganizationU . S . D I S T R 1 C T C O U R T - C O L O R A D O

5a. Report Type (check appropriate type)] N o m i n a t i o n , Date[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

3. Date of R e p o r t04/19/2011

6. Reporting Period01/01/2010

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 bo x for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . (Report ing individual only; seepp. 9-13 of fi l ing instruct ions.)~ ~o reportablepositions.)O N E

POSITION

2.

3.

4.5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions.)~] N ON E (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 o f 8

N a m e o f P e r s o n R e p o r t in gBABCOCK, LEWIS T.

Date of Report04/I 9/2011

I lL N O N - IN V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-lnvestment Income

~ N O N E ( N o reportable income.)on-investmentDATE SOURCE AND TYPE

2.

3.

4.

INCOME(yours , not spouses)

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 am ount not required except for honoraria.)

~ N O N E (No reportable income.)on-investment

1.20102.3.4.

DATE SOURCE AND TYPEBoat Anchors, Inc.

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. 25-27 o filling instructions.)

~] N O N E (No reportable reimbursements.)

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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N a m e o f P e r s o n R e p o r t in gBABCOCK, LEWIS T.

Date of Report04/19/2011

V . G I F T S . a n c l . d e s those to spouse and dependen t children; see pp. 28-31 of filing instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION1.2.

3.4.

5.

VALUE

V I . L I A B I L I T I E S . a n e l . d e s t h o s e o l s p o . s e ~ n d dependent children; see pp. 3 2 - 3 3 of flling instructions)N O N E (No reportable liabili t ies.)

C R E D IT O R D E SC R IP T IO N1.

2.

3.

4.5.

VALUECODE


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N a m e o f P e r s o n R e p o r t i n gBABCOCK, LEWlS T.

D a t e o f R e p o r t04 /19/2011

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 filing instructions.)[~ NONE income, assets , or transact ions.)N o reportable

1. Doub le Eagle Pe t roleum M ining Co (Com .) None J T2. P rim e Energy C orp (Com ) N o ne J T3. jhi , Inc. (Com None J T4. Colorado Pub l i c Emp loyees Ret irement None M TAssociation5. Broker idge Account #1 ( IRA)

6. a) AIM Prem ier aka AIM Char ter Fund C/A A Dividend J T7. b) Hartford Fund C1 B A Dividend J T8. Broker idge Account #2 ( IRA)

9. a) AIM Prem ier Equity C1B aka AIM A Dividend J TCharter Fund C/B1 0 . Brokerage Account #21 1 . a) AIM Equity Fund Class A A D iv id end J T1 2 . Broker idge Account #3

1 3 . a) Citibank N A A Interest J T1 4 . b) AT&T Inc A Dividend J T1 5 . c)(i) Pfizer, Inc. A Dividend J T1 6 . d) Alcatel 0Lucent AD R None J T1 7 . e) Viacom B (Corn) A D iv id end J T

1. Incom e G ain Codes! A =$ 1,000 or less B =$ 1,001 - $ 2 ,500(See ColumBs B 1 and 04) F = $50,001 - $100,000 O = $I 00,001 - $1,000 ,000

2. V alue Codes J =$15,000 or less K =$15,001 - $50;000(See Columns C I and D3) N =$ 250,001 - $500,000 O =$500,00 t - $1,000,000

P3 =$ 25,000,001 - $50,000,0003. Value Method Codes Q =App raisal R =Co st (Real Estate Only)(See Column C2) U =Book Value V =Oth er

C =$2~501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,000H i =$11000,00i - $510 001000 . . . . . H2 ~M0re than $5;000~000 .......L =$50,001 : $100,000 :P , = $ , , 0 0 0 , 0 0 , - $ 5 , 0 0 0 , 0 0 0 P 2 ~ $ 5 , 0 0 0 , 0 0 , - $ 2 5 0 0 0 o o oP4 =More than $50,000~000S =Assessmen t T =Ca sh Ma rketW =Estimatcd


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N a m e o f P e r s o n R e p o r t i n gBABCOCK, LEWIS T.

D a t e o f R e p o r t04 /19/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in co me , v a l u e , transactions (Includes those of spouse and dependenl children; see pp. 34-60 of fi l ing instructions.)~ (No reportable income, assets, orONE transactions.)

Descr ip t ion o f Asse t s( i n c l u d i n g t r u s t a s s e t s )Place "(X)" after each asset

exempt from p rior disclosure

Income during G r o s s v a lu e a t e n dr e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d : .... "

( 1 ) ( 2 ) (1) (2) (l )Amount T b , p e ( e . g ., Value Value: T y p e (e ~ g . ,~C o d e 1 d i v . , r e n t , C o d e 2 M e th o d : ; b u y i s ~ ! ! ~

Transactions during reporting period

( A - H ) o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ~(Q-W)

1 8 . f) GNMA (12/86) A Interest J T1 9 . g ) L SI C orp N o ne J T20 . h) Comcast Corp (Com) None J T2 1 o i) AIM Premier Equity Fund Class A A Distribution K T22 . j ) Capi ta l Wor ld Growth & Income B A Dividend K T2 3. A IM [ nv es co G ro wth F un d None K T24 . AIM Diversi fied Div Fund A Dividend K T25 . AIM Invesco F ree Bond Fund C Int./Div. L T26 . Valic (IRA) nka AIG Retirement A Interest J T27 . Waddel l & Reed Tot . Re t . Fund ( IRA) A Dividend J T28 . U.S. Consolidated Federal Credit Union nkaEN T29 . a) CD A Interest J T30 . b) Account #1 A Interest J T31 . USbancorp Account #1 A Interest J T32 . USbancorp Account #2 A Interest J T33 . L o t R iv ers id e C ou nty , C alif (L ine 20 , 2000 N o ne J WReport)34. .333 Int C Rent M W~, Im per ia l, C X .........

(2) (3) (4) (5 )D a t e Value Gain Identity of

mm /d d /Y~ Co d ~ 2 Code. l buyei-/seller(J-P) (A-H) (if private

t r a n s a c t i o n )

1: income Gain C0d~sl A =$ 1;000 or less B =$1,001 - $2;500(See Columns B 1 a~td 134) F = $50,001 - $100,000 G = $100,001 - $1,000,000

2, V alue Codes J =$15,000 or less K =$15;001 - $50,000(See Columns C I and D3) N =$250,001 - $500,000 O =$500,00I - $1,000,000

P3 =$ 25,000,001 - $50,000,0003, Value Method Codes Q =App raisal R =Co st (Real Estate Only)(See Column C2) U =Book Value V =Oth er

C =$2~501 : $5;000 D =$5,001 - $15,000H 1 ~ $ i ; 0 0 0 ~ 0 0 i 2 $ ~ ; 0 : 0 0 , 0 0 0 H~ --Mrre than $51000~000L = $ ~ 0 00i : $ i00 000 M ~ $i00;001 - $250,000FI =$Ii000~001 ~ $5~000~000 P2 = $5;000;001-$25,000,000P4 =M0r~ than $50;000~000S ~AssesSrnent T ~Cash Marke tW =Estimated

E =$15,001 - $50,000


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N a m e o f P e r so n R e p o r t i n gBABCOCK, LEWIS T.


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 d ependent children; seepp. 34-60 of filing instructions.)N ON E ( N o reportable income, assets, or transactions.)

Description of Assets(including trust assets)

Place "(X)" after each assetexemp t from prior disclosure

B, C . D.Incom e during Gross value at end Transactions during reporting periodre po rting p ef od : o f re po rting p erio d : :: ....

(1) (2) (1) (2) . (1 ) (2) (3) (4) (5 )Am o u n t Type (e.g., Value Value Type (e.g. , D a t e Value Gain Identity ofCode 1 div,rent, Code 2 Method buy, se ll , m m / dd/ yy : C ode 2 Code 1 buyer/seller(A-H) O r i n t ) ( J - P ) Code 3 redemption) (J-P) (A-H) (if private

~ Q - W ) t r a n s a c ~ i o n ~

35 . B r oke r idge Account #1 ( I RA)

36. a) Capi ta l World Growth Incom e A fka B A Dividend J37 . b) Capi tal Incom e Bui lding Fund B A Dividend K38 . Am er ican Funds I ICA A Dividend K39 . Broker idge Account #3 r ) Legg Mason A DividendValue Trust , Inc.40 . Broker idge Account #3 CBS A Dividend

J

JTT

1. income Gain Codes: ~ ~$1~0 ~{ iess .... B~$1 ;OOl , $2 ,500(See Columns BI a nd D4) F =$50,001 - $100,000 G =$t00,001 - $1,000,000

2. V alue Codes J =$ 15,000 or less K =$15,001- $50i000( Se e C olu m ns C I and D 3) N =$ 25 0,0 01 -$ 50 0,0 00 O=$500,001-$1,000,000

P3 =$25,000;001 - $50,000,0003. Value Method Codes Q =App raisal R --Cost (R eal Estate only)(See Column C2) U =Book V a lue V =Oth er

C =$2~ 501 - $5,000 D = $5,001 - $ 15,000H 1 =$ i~000,00 ! - $5;000i000 H2 =M ore than $5,000,000L =$50;001 - $!00,000 M =$I00,001 - $250~000P 1 -$ 1,000~001 - $5,000,000 P2 =$ 5,000,001 - $25,000,000P4 =More than $50,000,000S =Assessmen t T =Ca sh Ma rketW =Estimated

E ~$15,001 - $50,000


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N a m e of Pe r s on R e p o r t i n gBABCOCK, LEWIS T.


V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. (lndicatepartof report.)


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FINANCIAL DISCLOSURE REPORTPage 8 of 8

Name o f Person Report ingBABCOCK, LEWIS T.


IX . CERTIFICATION.I ce rt ify that al l inform ation given abo ve ( inc luding information pe rtaining to m y spo use and m inor or depe ndent chi ldren, if any) i s

accurate , true , and com plete to the be s t o f m y know ledge and bel ie f , and that any in fo rmat ion no t repor ted w as wi thheld because i t me t appl icable s ta tu to ryprov is ions perm i t ting non-d isclosure .I furthe r ce rt ify that earned incom e from outs ide emp loym ent and honoraria and the accep tance of g i f ts which h ave been reported are incom pl iance w i th the p rov is ions o f 5 U.S .C. app . 501 e t . s eq . , 5 U.S .C. 73 53 , and Jud icia l Conference reg u lations .

Signature: $/LEWIS T. BABCOCK

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 F A L S I F I E S O R F A L L S T O F I L 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 I V I LA N D C R I MI N A L SA N CT I O N S ( 5 U .S .C . ap p . 1 0 4 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Lewis T Babcock Financial Disclosure Report for 2010

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