james a teilborg financial disclosure report for 2010

8/3/2019 James A Teilborg Financial Disclosure Report for 2010

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AO I0Rev. 1/2011

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0

Report Required by the Ethics

in Government Act ofl978(5 U.S.C. app. :~,~" I01-111)

I. P e r s o n R e p o r t i n g ( l a s t n a m e , first, m i d d l e i n i t i a l)

TEILBORG, JAMES A.

4. Title (Article Il l judges indicate active or sen ior status;magistrate judges indicate full- or pan-time)

U. S. DISTRICT JUDGE - ACTIVE

7. Chambers or Office Address

401 WEST W ASHINGTON STREETSUITE 523-SPC 51

PHOENIX, AZ 85003-2154

2. Court or Organization

U. S. DISTRICT COURT

3. Date of Report

05/17/2011

5a. Report Type (check appropriate ~’pe)

] N om i na t i on , Date

[] Initial [] Annual [] Final

5b. [] Amended Report

8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance

wi t h a p p l i c a b l e l a ws a n d r e g u l a t i o n s .

R e v i e w i n g O f f i c e r D a t e

6. Reporting Period

01/01/2010

to

12 /31 /2010

I M P O R T A N T N O T E S : T h e i n s t r u c t i o n s accompanying this form must be followe~ Complete all parts,

checking the NONE box for each pa rt where you have no reportable information. Sign on last page.

I . P 0 S I T I 0 N S . mepor~.g i .a ~ v i d . a t o . l y ; ~ e ~ ~ . 9 - t ~ o f ~ U . g instruction&)

~] (No repo rtable posi t ions .)ONE

POSITION

2.

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . m e ~ o , ~ . g ~ d ~ v ~ a ~ . ~ o ~ y ; ~ e ~ r , . 1 4 - 1 6 of fillng instructions.)

[~ N O N E (No reportable agreemen ts .)

DATE PARTIES AND TERMS

1 . 1 9 9 7 METROPOLITAN LIFE # I (STRUCTURED SETTLEMENT - COMP ENSATION FOR PRIOR SERVICES)

2.

3.



F I NANCI AL DIS CL O S URE RE P O R T

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N a m e o f P e r s o n R e p o r t i n g

T E I L BO RG , J A M E S A .

I II . N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; see pp. 17-24 of filing instructlon~.)

A. Filer’s Non-Inves tment Income

D N O N E non-investment income.)o reportable

D A T E SOURCE AND TYPE

1.2010

2.

3.

4.

METROPOLITAN LIFE (STRUCTURED SETTLEMENT -

C O M P E N S A T I O N F O R P R I O R S E R V I C ES )

D a t e o f R e p o r t

05/17/201 I

INCOME(yours , not spouse’s)

$13,000

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 - t f y o u were married during any portion of the reporting )’ear, complete this section.

(Dollar amount not required except for honoraria.)

~] N O N E (]go reportable non- inves tment income. )

D A T E SOURCE AND TYPE

1 .

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmenL

(Includes those to spouse and dependent children; see pp. 25~27 of f il ing instructions.)

NONE (No reportable reimbursements.)

SOURCE D A T E S LOCATION

I.

2.

3.

4.

5.

PURPOSE ITEMS PAID OR PROVIDED



FINANCIAL DISCLOSURE REPOR T

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N a m e o f P e r so n R e p o r t i n g

TEILBORG , JAMES A.


05 /17 /201 I

V . G I F T S . a n e l u d e s t h o s e to s p o u s e o n d d e r e n d e n t children; see pp. 2 8 - 3 1 of f i l ing ins t ruct ions . )

N O N E ( N o reportable g if ts . )

S O U R C E D E S C R I P T I O N

1.

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 / s p o u s e o , d d e p e n d e n t c h i l d re n ; se e p p . 3 2 - 3 3 of f i l ing ins t r u c t ions . )

N O N E (No reportable liabilities.)

C R E D IT O R D E SC R IPT IO N

1 .

2.

3.

4.

5.

VALUECODE



F I NANCI AL DIS CL O S URE RE P O R T

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’ ~ a m e o f P e r s o n R e p o r t in g



05/17/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o , ,, ., ,, ,, i, ,o . , r ,, ~ , ,a ~ o , ~ a - d , , ,~ , b u s . o / s ~ , o , , s . , , .d , t . ~ , e . , ~ e . t a , i ~ , ~ , . . : s e e ~ , ~ . . ~ 4 - 6 0

N O N E (No reportable income, assets, or transactions.)

A. B. C. D.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting I~ riod o f r e p o r t i n g p e r i o d

(I) (2) (I) (2) (I) (2) (3) (4) (5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t A m ou nt T yp e (e . g . , Value Value T y p e ( e . g . , D a t e Value Gain I d e n t i t y o f

exempt from prior disclosure Code I div., ~nt, Code 2 M e t h o d buy, sell, m m / d d ~ Code 2 Code I buyer/seller

(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

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

I. RAW LAND, ~ . [ (2000, $79,000.) N one L R

2. GENWORTH VARIABLE ANNUITY

(FORMERLY G.E. ANNUITY)

3. -- FIDELITY VIP ASSET MANAGER N one

PORTFOLIO

4. --- FIDELITY VIP CONTRAFUN D N onePORTFOLIO

5. --- FIDELITY VIP EQ UITY -IN COM E N onePORTFOLIO

6. --- GOLDMAN SACH S MID CAP VALUE N oneFUND

7. --- FIDELITY VIP OV ERSEAS N onePORTFOLIO

8. HARTFORD LIFE VARIABLE ANNUITY

J

J

J

J

J

T

T

T

T

T

9. --- TEMPLETON GROW TH SECTOR N one K

1 0 . --- INVESCO V I MIDCAP EQ N one K(FORMERLY AIM VI MIDCAP )

1 1 . --- AMR ASSET ALLOCATION N one K .

1 2 . --- AMRGROW TH N one L

1 3 . --- MFS NEW DISCOVERY N one J

1 4 . --- MFSTOTAL RETURN N one K

1 5 . --- MUTUAL SHARES SEC N one K

1 6 . PACIFIC LIFE VARIABLE ANNUITY # I

T

T

T

T

T

T

T

1 7 . - - - PIMCO INFLATION MANAGED N one J

I. Income Gain Codes: A =$1.000 or less B = $1,0Ol . $2,500 C ~$2,501 - $5,000 D =$5,001 - $15,000

(Sc¢ Columns B I and D4) F =$50.001 - $100,000 G =$100.001 - $1,0~0.000 Ill =$1.000,001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J = $15.000 or less K =$15.001 - $50.000 L =$50.001 - $10~ .0~0 M = $100.001 . $250.000

{See Columns CI and D3) N =$250.001 - $500.000 O =$500.001 . $1.00O.0~) P I =$1,000.001 - $5.000,000 P2 $5,000.001 - $25,009.000

P3 =’[,25.000,001 - $50.000.000 P4 =More than $50.0(~.000

3. Value M e t h o d C o d ~ ’ s Q Ap p r a i sa l R = C o s l (Rea l Es t a t e Only) S = A s s c ss m ~ . m t T =C~h Marke t

{Sc¢ Column C2) U = B o c , k V a lu e V =Other W =Es t imated

E = $ 1 5 . 0 0 1 - $50,000



F IN A N C I A L D I SC L O S U R E R E P O R T

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05/17/2011

VII . INV ESTM ENTS and TRU STS -i .... value, transactions (Includes those of spouse and depend ent children; see pt x 34-60 of fi l ing instructions.)


A. B. C. D.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period o f r e p o r t i n g p e r i o d

I o) (2) (t) (2) (I) (2) (3) (4) ( 5 )

P l a c e " ( X ) " a f t e r e a c h a s s e t Amount T y p e ( e . g . , Value Value T y p e ( e . g . , D a t e Value Gain I d e n t i t y o f

exempt from prior disclosure Code I d i v . , r e n t , Code 2 M e t h o d buy, sell, r n m / d d . ~ , y Code 2 Code I buyer/seller

(A-H) o r i n t . ) ( J - P ) Code 3 r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

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

1 8 . -- PIMCO MANAGED B O N D None J T

1 9 . - - GOLDMAN SACHS SHRT None K TDURATION BOND

20 . -- COMSTOCK-VAN KAMPEN N one K T

21 . --- CAPITAL GUARDIAN DIV N one Sold 06/29/10 K CRESEARCH

22 . --- JANUS FOCUSED 3 0 None J T

23 . --- LAZARD MID-CAP EQUITY None J T

24 . --- BLACK ROCK SMALL CAP INDEX N one K T

25 . --- ALLIANCE BERNSTEIN IN T’L N one K TVALUE

2 6 . - -- DI VI D EN D GROWT H - T R OWE P RI CE None K T Bu y 06/29/10 K

27 . UBS PACE MM INVESTORS A Div idend Closed 11/12/10 J(FORMERLY PACE MM)

28 . UBS BANK USE DEP ACCT A Interest Closed 11/12/10 K

2 9. R M A M ON EY M AR KE T P ORT F OL IO A Div idend Closed 11/12/10 K

30 . TH ERMOSURGERY , IN C. N one J T

31 . NATIONWIDE FLEXIBLE VARIABLE

UNIVERSAL LIFE POLICY

32 . --- NVIT MID CAP INDEX 1 N one K T

33 . --- DREY VIF APP RECIATION PT None K T

34 . --- OPP MDCAP/VA N SS N one J T

I. Incom e Gain Codes: A -$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000

(See Columns B I and D4 ) F = $ 5 0 . 0 0 1 - $ I O O ,O 00 G = $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 . 0 0 0 111 =$1,0~0,001 - $5.000.000 H2 =More than $5 .000.000

2. Value Codes J =$15.1~ 0 o¢ less K = $15.001 - $50.000 L =$50.001 - $100.000 M =$100.001 - $250.000

(S,:c Columns CI and D3) N -$250.001 - $500.000 O =$500.001 - $ 1.CO0.000 PI =$1.000.001 - $5.000.000 P2 =$5.000.001 - $25.000.000

P3 =$25.090.001 - $50.000.000 P4 =More ti tan $50.000.000

3. Value Method Codes Q =Appraisal R ~ost (Real IJslale Only) S =Asscs smen! T =Cash Market

(See Co lumn C2) U =Book Value V =Other W =Estimated

E =$15,0~1 - $50,000




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05/ I 7 / 2 0 1 1

V 1 I . I N V E S T M E N T S a n d T R U S T S - i , ,c o , ,, ., ~ a t ,, e , t r a = . c # o , ~ a . c tu a ~ t h o s e o f s ~ . se u . ~ a . ~ e . ~ e . t children¢ see pl~ 3 4 - 6 0 o]" f i l ing ins truct ions . )


Desc r i p t i on of Asse t s Transac t ions dur ing r epor t i ng pe r iod

( inc luding t r us t a s s e t s )

P l a c e " ( X ) " a f t e r e a c h a s s e t

exempt f rom pr ior disc losure

I n c o m e d u r in g G r o s s v a l u e a t e n d

~ - 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

(I) (2) (I) (2) (I) (2) (3) (4) (5 )

A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., Date V a l ue Gain Iden t i ty o f

Code 1 d iv ., re n t. C o d e 2 M etho d bu y , s e l l , m m /d d/~ ,y C od e 2 Co d e I buye r / s e l l e r

( A - H) or i nt . ) ( J-P) C ode 3 r e de m p t i on ) ( J-P ) ( A - H ) ( i f p r iva te

( Q - W ) t r ansac t i on)

35 .

36 .

37 .

38 .

39 .

40 .

41 .

42 .

43 .

45 .

46 .

47 .

48 .

49 .

50 .

-- OPP MS ST/VA NSS

--- J n s A s p O v e r s ea s S v c ( F o r m e r l y J A S

INTL GRTH PORT SV SHRS)

--- NVIT Mult-Mgr MdCap Gr 1

PACIFIC LIFE VARIABLE ANNUITY

POLICY # 2 (SELECT EX EC II)

--- FIXED RATE OPTIONS

--- VARIABLE EQUITY OPTIONS

--- MAIN STREET CORE

EQUITABLE LIFE POLICY

--- EQ/INTRMDTE GOVT BON D

INDX(FORMERLY ALLBRNSTN INT

GOVT)--- EQ/BLACK ROCK BASIC VALUEEQUITY

--- EQ/MID CAP

--- EQ/LARGE CAP C ORE PLUS

--- EQ/FOCUS PLUS (FORMERLY EQ/MARISCO FOCUS)

--- EQ/INTERNATIONAL CORE PLUS

--- MULTIMANAGER SMA LL CAPVALUE

AMERICAN FUNDS AMCAP FUND,CLASS F

None K T

None K T

None J T

A I n t e r e s t

None

None

None

T

Sold

T Bu y

None K T

None K T

None J T

None K T

None J T

None K T

A Dividend M T Bu y(add’l)

10/29/10

10/29/10

0 4 1 1 2 1 1 0

J

J

A

1. Incom e Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5.001. $15.000

(See Columns B I and D4) F =$ 50.001 - $ 100,000 G =$ 100,001 - $ 1.000,000 1 1 1 = $ 1,0 0 0 ,0 0 1 - $ 5 ,0 00 ,0 00 1 1 2 = M o re th an $ 5. 00 0 ,0 0 0

2. Value Codes J =$15 ,000 ~ le s s K =$15,~OI - $5 0.000 L =$50.001 - $100.000 M =$100,001 . $250.000

{,S¢c Columns CI and D3) N =$250,001 - $500.000 O = $500.001 - $1,000,000 PI =$1,000.001 - $5.000,000 P2 =$5.000,001 - $25,000.000

P3 =$25,000.001 - $50.0~0.000 P4 =More than $50,000.0~O

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Asses sment T’=~h Markc~

(See Colunm C2) U I :kmk Value V =O~her W =Es t imated

E =$15.001 - $50,000




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T E IL B O R G , J A M E S A .


05/17/201 I

[ ~ ] NONE ( ’No reportable income , a sse ts , or t ransact ions . )

A. B. D.

Desc r i p t i on of Asse ts Income du r i ng T r a ns a c ti on s du r i ng r r p o r t i ng p e r i od

(inc lu d ing tru st a ss e ts ) rep o rt in g p e riod

(1) (2)

: A m oun t Type (e.g.,C o d e I div. . r ~nt ,

( A - H) or i nt . )

P l a c e " O O " a f t e r e a c h a s s e t

exempt f rom pr ior disc losure

Gross value a ! e n d

o f r e po r t i ng p e r i od

O) (2)Va l u e Va l u e

C o d e 2 M etho d

( J-P) C ode 3

(I) (2) (3) (4) (5 )

T y p e ( e . g . , D a t e Value Gain Identity of

buy, sell, m m /dd/y y Code 2 Code I buyer/seller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t e

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

51 .

52 .

53 .

54 .

55 .

56 .

57 .

58 .

59.

60 .

61 .

62 .

63 .

64 .

65 .

66 .

H ARTFORD LIFE INSURANCE

LEADERS ANNUITY

H A N G E R INC.

B Dividend

None

L

L

Sold 04113110 J C

( p an )

Sold 07/20/10 K B

(pan)

T

U

FIRST CREDIT UNION ACCOUNTS A I n t e r e s t J

DELAWARE DIVERSIFIED INCOM E D Dividend M

FUND

LORD ABBE’VI" FUNDMNTL EQFD(FORMERLY LRD ABBT ALL

VALUE FD)JOHN H ANCOCK FREEDOM 529A C C O U N T 1 C L A

JOHN H ANCOCK FREEDOM 529

ACCOUNT 2 CL A


ACCOUNT 3 CL A

JOHN H ANCOCK FREEDOM 529ACCOUNT 4 CL A


ACCOUNT 5 CL A

NUVEEN M UNICIPAL VALUE FUND

None

A lnt./Div.

A Int./Div.

B Int./Div.

A Int./Div.

A Int./Div.

A Dividend

J

J

J

J

J

J

T Sold 04/13 /10 K

(part)

Bu y 04/13/10 K

(add’l)

Bu y 07/20/10 K

(add’l)

Sold 04/12/10 M

T

T

T

T

T

T

OPPENHEIMER INTL BOND FD CL A Dividend T Sold(part)

0 4 / 1 3 / 1 0 K

I. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C = $2,501 - $5,000 D $5.001 - $15,000

(See Columns B 1 and I)4 ) F = $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 G=

$100.001 - $ 1.000.000 1 1 1 = $ 1 . 0 0 0 , 0 0 1 - $ 5 . 0 0 0 . 0 0 0 1 1 2 = M o r e th a n $ 5 . 0 0 0 . 0 0 0

2. Value Codes J :$15.000 o¢ Ic~ K =$15,001 - $50.000 L =$50.001 - $100,0(~ M -$100.001 - $250.000

(See Co lumns CI and D3) N =$2 50.001 - $500,000 0 = $5 00 .0 01 - $ 1,0 00 .0 00 P I = $1 ,0 00 .0 01 - $ 5,00 0.0 00 P2 -$5.000,001 - $ 25.000.000

P3 =$25,000.001 - $50.000.000 P4 =M~e than $50.000.000

3. Value Method Codes Q =App raisa l R =Cost (Real Estate Only) S =Assessment T =Ca:,h Market

(See Colum n C2) U = Book Value V =Olhcr W =Estimated

E =$15,001 - $50.000




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V l l. I N V E S T M E N T S a n d T R U S T S - i .... e, va l u e , t r a n s ac t i o n s ( I n c l u d e s t h o s e o f s p o u s e a n d d e p e n d e n t children; s e e p p ~ 3 4 - 6 0 of f i l ing ins t r u c t ions . )

---] NONE (No reportable income, assets, or transactions.)

A. B. C. D.

D esc rip t io n o f A sse ts In co m e d u r in g Gros s va lue a t end T r a ns a c ti on s du r i ng r e po r t ing p e r i od

( inc luding t r us t a s s e t s ) re ’por t i ng per i od o f r e po r t i ng p e r i od

i O) (2) (I ) ( 2 ) O) (2) (3) (4) ( 5 )

Place "(X)" after each asset [ Am oun t Ty p e ( e . g . , V a l ue Va l u e Type (e.g., Date Va l u e Gain Iden t i ty o f

e x e m p t f r o m p r i o r d i sc l o s u re [ Code I div. , r ent , C ode 2 M etho d buy , se ll , m n ~ ’ d d / y y C ode 2 C o d e I buye r !s e l l e r

i (A-H) or int .) ( J-P) C ode 3 r e de m p t i on ) ( J-P) ( A - H ) ( i f p r iva te

] (Q -W ) tra n sac tio n )

67 .

68 .

69 .

70 .

71 .

72 .

73 .

74 .

75 .

TOUCHSTONE MID CAP GROWTH N one

FUND

K E E L E Y S M A L L C A P V A L U E FD

FIRST EAGLE OVERSEAS FUND CL A

FT-FRANKLIN GOLD & PREC MET A

None

C Dividend M

None

Bu y 04/13 /10 K

(add’l)

S o l d 07/20 /10 J A

( p a r t )

T S o l d 04/13 /10 J

( p a r t )

S o l d 07/20 /10 J( p a r t )

T S o l d 04/13 /10 J

( p a r t )

S o l d 07/20/I 0 K

( p a r t )

T S o l d 04/13 /10 K D

( p a r t )

S o l d 0 7/20 /10 K C( p a r t )

S o l d 0 4 /12 /10 K D

76 .

77 .

78 .

HARTFORD GLOBAL HEALTH FUND

CL A

HARTFORD INFLATION PLUS FDCLASS A

None Sold 04/12/10 J

A D iv id en d Bu y 04/13/10 K

( a dd ’ l )

Sold 07/20/10 L

79.

80 .

81 .

82 .

JPM ORGAN M ID CAP VALUE FUND CLA

LINCOLN NATIONAL AMERICANLEGACY 111 VIEW 14L

--- BL CHP INCOME & G ROWTH

A Dividend K

None

S o ld 04 /13 /10(part)

S o l d 0 7 / 2 0 / 1 0( p a r t )

J

J

B

C

8 3 . - --GROW T H N o n e M T

1. Income Gain Codes:

( S e e Columns BI and 1 2 4 )

2 . Value Codc~

(See Co lumns CI and D3)

3.Value Method Codes

(See Column C2)

A =$1,000 or less

F =$50.001 -

J =$15.000 or less

N =$250,001 - $500,000

P3 =$25,000.001 - $50.000.000

Q=Appraisal

U = 1 3 ~ o k V a l u e

B =$1.001 - $2.500

G =$100.001 - $1.0~0.000

K =$15.001 - $50.000

O =$50~.001 - $1.000.0~)

R -~ost (Real Estalc Only)

V = O ~ h ~ a "

C -$2,501 - $ 5 . 0 0 0

I I I = $ 1 . 0 0 0 . 0 ~ I - $ 5 . 0 0 0 . 0 0 0

L =$50.001 - $100.000

PI =$1.00~.001 . $5 .000.000

P 4 = M o r e t h an $ 5 0 . 0 0 0 . 0 ~ K I

S =Asscssmtmt

W =Estimated

D =$5.001 - $15,0~0

112 =More than $5.000.000

M =$100.001 . $250.000

P2 = $ 5 . 0 < ) 0 . 0 0 1 - $ 2 5 , 0 0 0 . 0 < ) 0

T =Cash Market

E =$15,001 - $50.0~O



FI N A N C I A L D I SC L O S U R E R E PO R T

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05/17/201 I

VII. INVESTM ENTS and TRU STS -inco .....u e . t r a n s a c t i o n s (Includes those of spouse and dependent children; see pp. 3 4 - 6 0 of filing instructions.)

NONE (No reportable income, assets, or transactions.)

A. B. C. D .D e s c r i p t i o n o f A s s e t s I n co m e d u ri n g G ro s s v al u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

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

~ (I) (2 ) (I) (2) (I ) (2) (3) (4) (5 )

P l a c e " { X ) " a f t e r e a c h a s s e t ~ A m o u n t T y p e ( e . g ., Value Value T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o f

i C o d e I d i v ., r e n t , C od e 2 M e t h o d b u y , s e l l, m m / d d s ~ s ’ y C o d e 2 C o d e I b u y e r / s e l l e re x e m p t f r o m p r i o r d i s c lo s u r e

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

84 . - - GROWTH & INCOME None L T

85 . - - G L O BA L SM A L L C A P N o n e K T

86 . --- INTERNATIONAL None L T

87 . - - N EW W OR LD N one

88. - - - GLOBALGROWTH-INCOME None

K

K

T

T

89. --- GLOBAL GROWTH None L T

90. ---BOND None K T

91 . --- GLOBAL BON D N one K T

92 .

93 .

94 .

95 .

96 .

97 .

98 .

99.

100. AQUILA THREE PEAKS

--- GOV’T/AAA SECURITIES

--- HIGH INCOME BOND

NATIXIS CGM ADVISOR TARGETEDEQUITY FD A

PRINCIPAL HIGH YIELD FD A

VIRTUS ALTERNATIVES DIVERSIFIEDFUND CLASS A

AXA EQUITABLE LIFE INSURANCE

GENERAL AMERICAN WHOLE LIFEINSURANCE POLICY

No n e

None

N one

D Dividend

D Dividend

A Int./Div.

A lnt./Div.

B Dividend

K

J

M

J

J

K

T

T

So ld 04/12 /10 L

Sold 04/12 /10 K

T So ld 04/13 /10 K(part)

So ld 07/20/10 K

(part)

T

T

T Bu y 04/13 /10 K

E

D

D

C

I. Income Gain Codes: A =$1.000 or l e s s B =$1,001 - $2.500 C =$2.501 - $5.000 D =$5.0~1 - $15,000

(See Co lumns BI and D4) F =$50.001 - $100.000 G =$100.001 - $1,000.0~ 0 II1 =$1.00Q.001 - $5.000.000 112 =More than $5.00~ .00~

2. Value Codes J = $15.000 or less K =$15.0~ 1 - $50.000 L =$50.001 - $100.000 M =$100.001 - $250.000

(See Columr~ CI and D3) N =$ 250.001 - $500.000 O = $5 00.001 - $ 1.000.000 Pl =$ 1,000,001 - $5 .000,000 P2 =$5.000.001 - $ 2 5 . 0 0 0 , 0 0 0

P3 =$25.000.001 - $50.000.000 P4 =More than $5 0.000.000

3. Value Method Codes Q =Appraisal R -~?osl (Real Estate Only) S =As~s sm e n t T =Cash Markel

(See Co lumn C2) U B o o k V a l u e V = O ~ h c ’ r W -Es tima ted

E =$15.001 - $50.000




o f 12

N a m e o f P e r so n Repor t ing


Date of R e p o r l

05/17/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - ~ ,c o ,, e . , ’a l u e . ~ , a , ~ u c t i o , ~ a , c l ~ d e s , h o s e o l s , o ~ s e a n d d , p ,, d e n t children; see p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )


A. B. C. D .D e s c r i p t io n o f A s s e t s Income dur ing G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d

( i n c l u d i n g t r u s t a s s e t s ) r 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

(I) (2) (I) (2) (I) (2) (3) (4) ( 5 )

Place "(x)" after each asset A m o u n t T y p e ( e . g . , Value V a l u e T y p e ( e . g ., D a t e Value G a i n I d e n t i t y o f

e x e m p t f ro m p r i o r d is c l o s u r e C o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l, m m / d d , ’ 3 ’ y C o d e 2 C o d e I b u y e r / s e 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 i o n ) ( J - P ) ( A - H ) ( i f p r i v a t e

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

I01. Sold 07/20/10 J( par0

102. BLACKROCK INFLATION B Dividend K T Bu y 07/20/10 K

A

1 0 3 . FIA CARD SERVICES A Dividend K T Bu y 11/12/10 K

104. HARTFORD EQUITY INCOME B Dividend M T Bu y 04/13/10 M

1 0 5 . Bu y 07/20/I 0 J( add ’ l )

106. HARTFORD FLOATING B Dividend L T Bu y 07/20/10 L

107. PRUDENTIAL JENNISON A Div idend L T Bu y 04/13/10 K

1 0 8 . Bu y 07/20/10

(add’ l )

109. PRUDENTIAL SHORT TERM B Div idend L T Bu y 04/13/10CORPORATE BOND FD

1 1 0 . Bu y 07/20/10(add’ l )

I I 1. SUN AM ERICA ALT. STRATEGY N one Bu y 07/13 /10

J

L

J

K

1 1 2 . Sold 07/20/10 K

113. TEMPLETON BRIC FD A Dividend L T Bu y 04/13 /10

1 1 4 . Bu y 07/20/I 0

( add ’ l )

115. VAN ECK MULTI-MANAGER A Dividend K T Bu y 07/20/10

K

J

K

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2,500 C =52,501 - $5,000 D =$5,001 . $15,000

(S¢¢ Columns B I and D4) F =$50.001 - $100,000 G = $100,001 - $1,000,000 1 1 1 =$1.0~0,001 - $5.000.000 1 1 2 = M o r e I h a n $ 5 . 0 0 0 . 1 ) 0 0

2 Va lue Codes J =515.000 or less K =$15.(~ )1 - 550.000 L = $ 5 0 . 0 ~ 1 - $ 1 0 0 , 0 O O M =5100.001 - 5250.0~)

IScc Co lumns CI and D3) N =$2 50.001 - $ 500.000 O = $5 00,001 - $ 1.000.000 PI =51,000.001 - 55,000,000 P2 =$5.000,001 - $25,000,000

P3 =525 .000.001 - 550.000.0’00 P4 =More than $50.000,000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Asscssmen! T =Cash Market

IScc Column C2) U =Book Value V - ~ 9 1 h ~ . " r W =Estimated

E =$15.001 - $50.000



FINANCIAL DISCLOSURE REPORT

P a g e 1 1 o f 1 2

Name of Person Repor t ing


Date of Report

05/17/201 I

VIII. ADDITIONAL INFORMATION OR EXP LANATIONS. (lndicate part of report)




o f 12

Name of Person Repor t ing


Date of Report

05/17/201 I

IX. CERTIFICATION.

I c e r t if y tha t a l l i n f o rma t ion g iv en above ( inc lud ing in f o rm a t ion p e r t a in ing to m y s pouse and m inor o r depend en t ch i ld ren , i f any ) i s

accura te , t rue , and com p le te to the bes t o f my k nowledg e and be l i e f , and tha t any in f o rm a t ion no t repo r t ed was wi thhe ld becaus e i t me t app l i c ab le s ta tu to ryp rov i s ions p e rm i t t ing non-d i s c losu re .

I f u r the r c e r t i f y tha t e a rned incom e f rom o u t s ide em p loym en t and honora r i a and the accep tance o f g i f t s which have been repor t ed a re incom p l i ance wi th the p rov i s ions o f 5 U.S .C . app . § 501 e t . s eq ., 5 U.S .C . § 7353, and Jud ic i a l Con f e rence reg u la t ions .

Signatu re: S[ JAM ES A. TEILBORG

N O T E : A N Y I N D IV 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 IE S O R F A I L S T O F IL 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 IL

AND CRIMIN AL SANCTION S (5 U.S .C . app . § 104 )

C o m m i tt e e o n F i n a n c i a l D i sc l o s u r e

Ad m in i s tr a t i v e O f f i c e o f the U n i t e d S t a te s Co u r t sS u i t e 2 - 3 01

One Columbus Circle, N.E.

W a sh in g to n , D .C . 20544

james a teilborg financial disclosure report for 2010

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