joan h lefkow financial disclosure report for 2010

8/3/2019 Joan H Lefkow Financial Disclosure Report for 2010

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AO 10Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR C A LEN D A R Y E A R 2010Report Required by the Ethicsin Govermnent Act of 1978(5 U.S.C. app..,~ 101-111)

I. Person R eport ing (last name, f i rst , middle ini t ia l )Lefkow, Joan H.

4. Title (Article III judges indicate active or senior status;m a g i s t r a t e j ud g e s i n d i c a t e f u l l- o r p a r t - t i m e )

Active

7 . Chambers o r Of f ice Addre ss219 South Dearborn S t r eetSuite 1956Chicago, IL 60604

2. Court or Organizat ionU . S D I S T R IC T C O U R T , N D I L

5a. Report Type (check appropriate type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] AmendedReport8. On the bas i s of the informat ion contained in thi s Repor t and an ymodif ica tions per ta in ing the re to , i t is , in my opin ion , in compliancewith app l icab le laws and regulat ions.

Reviewing Off icer Date

3 . Date o f Report05/25/201 I

, 6 . Repor t ing Per iod01/01/2010

to12/31/2010

IMPORTANT NOTES: The instruct ions accompanying th is form must be fo l lowea~ Complete al i parts ,checking the NONE box for each part where you ha ve no reportable information. Sign on last page.

I . P O S I T I O N S . R e p o , ~ i n g individual on ly; see pp. 9-13 of f iling instructions.)D N O N E (No reportablepositions.)

1. Law Board (Adviso ry)2. Executor3. Adj unct Facul ty M emb er

4.5.

PO S I T I O N N A M E O F ORGANIZATION/ENTITYNo r th w e s t e rn Un iv e r s i ty La w S ch o o l

Estate~~N~ I ~J o h n M a r s h a l l L a w S c h o o l

I I . A G R E E M E N T S . m e p o ~ i n g i n a i v ia u a l o n t y ; s c e n e . 1 4 - 1 6 of filing instruction~)V-~ NONE (No reportable agreements.)

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTP a g e 2 o f 7

N a m e o f P e r so n R e p o r t i n gL e f k o w , Jo a n H .

D a t e o f R e p o r t05/25/2011

I I I . N O N - I N V E S T M E N T I N C O M E . mepo.i .g i .d iv idaal and spoase; seepp. ! 7-24 of filing instructions.)A. Fil er s Non - lnves tm ent Incom e

D (No reportable non- inves tment income . )ONEDATE SOURCE AND TYPE INCOME

( y o ur s , n o t sp o use s )1.2010 John Marshal l Law School ; Teach ing s t ipend $18,000.002.3.4.

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - I f you were married daring any po rt ion o f the report ing year , com ple t e this section.(Dollar amount not required except for honoraria.)

NONE (No repor table non-inves tmen t income. )DATE 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, entertainment.(Includes those to spouse and dependent children," see pp . 25-27 o filling instructions.)

D N O N E (No reportable reimbursements.)SOURCE DATES LOCATION PUR POSE ITEMS PAID OR PROVIDED

2. U n i v e r s i t y o f V i r g i n i a L a w 2/19-2/21/2010 C h a r lo t t e sv i l l e , V A J ud g e M o o t C o u r t R o un d - t r ip a i r f a r e , g r o un d t r an sp o r t a t io n ,Sc h o o l m e a l s3.4.5.


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F I N A N C IA L D I S C L O S U R E R E P O R TP a g e 3 o f 7

N a m e o f P e r s o n R e p o r t in gL ef k ow , Joan H .

D a t e o f R e p o r t05/25/201 I

V . G I F T S . a n c l u d e s t h o s e t o s p o u s e a n d dependent children; s e e p p . 2 8 - 3 1 of fillng instructions.)N O N E (No reportable gifts.)

SOURCEI.2.3.4.

5.

D E S C R I PT I O N VALUE

V I . L I A B I L I T I E S . (Inc ludes those o f spouse a nd depend ent children; see pp. 32-33 of f i l ing ins truc tion~ON O N E (No reportable liabilities.)

CREDITOR D E S C R I PT I O N1. T u i ti o n a g r e e m e n t2 . U S E m p l o y e e s C r e d i t U n i o n C r e d i t C a r d3. S a l l i e M a e P L U S L o a n4.5.

VALUECODEKJJ


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F I N A N C IA L D I S C L O S U R E R E P O R TP a g e 4 o f 7

N a m e o f P e r so n R e p o r t i n gL e f k o w , Jo a n H .

D a t e o f R e p o r t05/25/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 ,,filling instructions.)D N O N E ( No reportable incom e, asse ts , or transa ct ions. )

A. B. C.D e s c r i p t io n o f A s s e t s I n c o m e d u r i n g Gross v a lue a t end( in clud in g m a s t a s se ts ) r e p o r tin g p e rio d o f r e p o r t i n g p e r i o d

(1) (~) (l ) ( ~ )Place "(X)" after each asset A m o u n t Type (e.g., V a lue V a lue

exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d( A - H ) or in t . ) (J-P) C o d e 3( Q - W )

I. U . S . Employe es Cred i t Union account2. B R O K E R A G E A C C O U N T I R A3. - EVSGX4. - I E M B X

5. - C R S A X6.7.

8. - D V R B X

9. - O G M B X

1 0 . - INPBX1 1 . - D B A

1 2 . Cash M o n ey M arke t A mer ip r i s e Financ ia l*1 3 . B R O K E R A G E A C C O U N T N O N - I R A1 4 . - C R S A X1 5 . - F L F A X * *

1 6 . - Cash Mon ey Ma rket Amer ip r i se F incl* * *1 7 . - B E A R X

A Int. /Div. J

A Dividend JA Dividend JA Dividend J

A

B

A

DividendDividend

DividendNone

None

JJ

J

JJ

TTTTT

Transac t ions dur ing r epo r t ing pe r iod

( i ) ( 2 ) ( 3 )Type (e.g., D a t e Value

buy, sell, mm/dd/yy C ode 2

None

Dividend

NoneNone

J

J

SoldT

redemption) ( J - P )

Buy 12/22/10 JBuy 01/05/10 JBuy 12/20/10 JBuy 12/23/10 JBuy 12/20/10 JBuy 12/22/10 JBuy 12/22/10 J

07/23/I 0

So ld 07 /23 /1 0

( 4 ) ( 5 )Gain I d e n t i t y o f

Code 1 buyer/seller(A-H) ( i f p r i v a t e

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

1. Income Gain Codes: A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See C o lumns B 1 and D4 ) F =$50,00 ] - $100,000 G = $100,001 - $1,000,000 H I = $1.000,001 - $5,000,000 H 2 - More tha n $ 5,000,000

2. Value Codes J =$15.000 or less K $1 5, 001 -$50, 000 L = $50,001 - $100,000 M =$100,001 - $250,000(See C o lumns C 1 and D3) N = $250,001 - $500,000 O = $500,001 - $1,000,000 P I = $I,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 P4 -More tha n $50,000,0003. Va lue Method C odes Q =Appraisal R = C o s t (Re a l Es ta te O n ly ) S =A ssessmen t T C a s h M a r k e t(See C o lumn C 2) U =Book Value V = O t h e r W =E st ima ted

E =$15,001 - $50,000


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N a m e o f P e r s o n Repor t ingL e f k o w , J o a n t l .

D a t e o f R e p o r t05/25/2011

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; seepp. 34-60 of filing instructions.)[~ N O N E (No reportable income, assets, or transactions.)

A. B. C.D e s cr ip tio n o f A s se ts In co m e d ur in g G ro ss v a lue a t e n d

( i ncl u di ng t r u st asse t s) r ep ortin g p er io d o f re p or tin g p e r io d(1) (2) O) (2 )

Place "(X)" after each asset A m o u n t Type (e.g., V a lue V a lueexempt from prior disclosure Code l div . , ren t , C o d e 2 M e t h o d( A - H ) or in t . ) ( J -P ) C o d e 3

( Q - W )

0)Type (e.g.,buy, s e l l ,

r e d e m p t i o n )

Transac t ions dur ing r epo r t ing pe r iod

(2) (3) ( 4 )Dat e Value Gain

mm/dd/yy Code2 C o d e 1( J -P ) ( A - H )

( 5 )I d e n t i t y o f

buye r / s e l l e r( i f pr i vat e

t r ansact i on)

1 8 . - W A S A X

19 . - W M F A X

20 . - M M H Y X ( X )21 . - D H G A X ( X )22. BROKERAGE~ ACCOUNTN

23. - Cash Money Market Ameriprise Fincl

24. - TWT1X

A

A

A

A

Dividend J TI n t e r e s t K TI n t e r e s t K B u y

Dividend J T B u y

I n t e r e s t

02/10/10 K07/23 /10 J

A I n t e r e s t J25 . P R O T E C T I V E U N I V E R S A L L I F E IN S(Adj . Life )2 6. N W M UT U AL AD J. C O M P . L IF E (X)27 . ESTAT ~. ****28 . - Unl iquidated con t ingen t f ee29 . Cash Account, Northern Trust Co.

None

None

N o n e

Sold 06/26/10 KT Buy 06/26/10 K

WC l o s e d 06/14/10

I . Income Gain C odes : A =$1,000 or less B = $ 1,00l - $ 2,500 C = $2,50l - $5,000 D =$5,001 - $15,000(See C o lumns BI and D4 ) F =$50,001 - $100,000 G -$100,001 - $1.000,000 H I = $ 1, 00 0, 00 1 - $5 ,0 00 .0 00 H 2 = M or e t ha n $ 5, 00 0, 00 02. Value Codes J $1 5, 000 or l ess K = $15,001 - $50,000 L = $50,001 - $100,000 M = $100,001 - $250,000(See C o lumns C I and D3) N =$ 250,001 - $500,000 O = $500,001 - $1,000,000 P I =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P3 =$25,000.001 - $50,000,000 P4 =Mo re than $50,000.0003. Value Method Codes Q =Appraisal R C os t (R ea l E s ta te On ly) S -A ssessmen t T =C ash Marke t( S e e C o l u m n C 2 ) U =Book Value V O l h c r W = Es t im a ted

E =$15,001- $50,000


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N a m e o f P e rs o n R e p o r t i n gLefkow , J oan H .

D a t e o f R e p o r t~5/25/2011

VIII. A D D I T IO N A L IN F O R M A T I O N O R E X P L A N A T I O N S . (indicate part of report.)* Par t Vl l , L ine 12; Funds ar e depos i ted a t AMEX Bank, Sal t Lake Ci ty , UT~] and Amer ican Express Cen tur ion Bank, Sal t Lake Ci ty , UTt~* * Par t VII , L ine 15; FLTAX o n 2009 r epor t i s a typograph ical er ro r . I t should have be en "FLFAX."* * * P a r t V ll , L i n e 1 6 ; F un d s a r e d e p o s i t e d a t A M E X B a n k , S a l t L a k e C i t y , U ~ l ~ a n d A m e r i ca n E x p r e s s C e n t u r i o n B a n k , S a l t L a k e C i t y , U T ~* * * * P a r t V I I , L i n e 2 3 ; F u n d s a r e d e p o s i t e d a t A M E X B a n k , S a l t L a k e C i t y , U ~ a n d A m e r i ca n E x p r e s s C e n t u ri o n B a n k , S a l t L a k e C i t y , U T ~* * * * * Par t VII, L ine 27 ; The es ta te has a 1/3 con t ingen t in ter es t in an I l l ino is j udgm ent , r ep resen t ing an a t to rneys f ee , wi th a va lue between $50,000 - $100,000.Al l funds a t Nor thern Turs t Com pany w ere wi thdrawn, and the account was c losed dur ing 2010. I am the so le be nef ic iary.


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FINANCIAL DISCLOSURE REPORTPage 7 of 7

Name of Per son Repor tingL e f k o w , J o a n H .

Date of Report05/25/2011

IX. CERTIFICATION.1 c e rt i f y th a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o 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 s

a c c ur a t e , t ru e , a n d c o m p l e 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 i e 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 ~ v i t h h e l d b e c a u s e i t m e t a p p l i ca b l e s t a t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s cl o s u r e .1 f u r th e r c e r t if y t h a t e a r n e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c ce p t a n c e o f g i f t s w h i ch h a v e b e e n r e p o r t e d a r e i nc o m p l i a 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 p p . 5 0 1 e t . s e q . , 5 U . S .C . 7 3 5 3 , a n d J u d i ci a l C o n f e r e n c e r e g u l a t io n s .

S igna ture : S / Joan H . Le fkow

N O T E : A N Y I N D I V ID 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 FA L S I F IE S O R F A I 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 ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4)

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

joan h lefkow financial disclosure report for 2010

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