karen e schreier financial disclosure report for 2009

8/3/2019 Karen E Schreier Financial Disclosure Report for 2009

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FINANCIAL DISCLOSURE REPOR T R e p o r t R e q u i r e d h y t h e E l h i c sin Goventment Act of 1978FOR CALENDAR YEAR 2009I, Pecan Repo rting (last name, first, middle initial) 2. Cou ~ or Organization 3. Date of ReportSchreier, Karen E. U.S. District Court, South Dak 05!10/2010

4. Title IArticle II1 judges indicate active or savior status; Sa. Report "r~e (check appropriate type) 6. Reporting Periodmagistrate judges indicate full- or part-time) ] Nomination, Dare 01/01/2(h09U.S. District Judge - Active [] Ini~ial ~l"if] A n n u a l [] Final to12/31/2009

5h. [] Amended R~por~7. Chamber~ o r Off ice Address 8. O n the basis of the Information contnlned in this Reporl and anymc~lffic~ations p~riaining thereto, it ix, in my opinion. In complianceUnited States District Court wilh applicable taws and regulations.400 S. Phillips Avenue, Rm 233Sioux Falls. SD 57104 Reviewing Officer Date

I M P O R T A N T N O T E S : The in, tractions accompanying thief arm mast be followe ,! Complete all parts,checking the NO NE box f!~r each part where you have no reportable information~ Sign an Icat page.

[~ N O N E (No reportable positions.)POSITION NAME OF ORGANIZATION/ENTITY

I. Member Board of Directors YMCA of Rapid City

2. President Eighth Circuit District Judges Association3. M ember Board of Directors South Dakota Childrens |lame Society,4. M ember Board of Directors Federal Judges A ssociation

I i. A G R E E M E N T S . (~o.~g i .d;~..to.~y: ~p~ t~-~ o~f~ ln~truction~)N O N E (No reportable agreements,)

PARTIES AND T E R M SI.


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FINANCIAL DISCLOSURE REPOR T Nameoteer~on ReportlngPage 2 of 13 Schreier. Karen E . 05/10,2010

II1. N O N - IN V E S T M E N T I N C O M E . ~s,~o,.i.~ ~i.~,~ o,~ ~p .... : x e e p p . 1 7 - 2 4 offingA. Filers Non-Investment Income

N O N E (No reportable non-investment income.)SOURCE AND TYPE {yours, no~ sN~ses)

I.2.3.4.

B. Spo~$P~S ~o~-l~$[meB[ [~o~e - lf ~ ~re ~rried d~ing ~y~i~ of ~e re~ng year, coyote th~ Dollor amount not re~ed ~ccpt.lbr honoraria.)

~ N O N E (No reportable non-investment income.)SOURCg AN~ TYPE

I. 2Nt9 Serf-employed2.3.4.

IV. REIMBURSEM ENTS -(Includes those to spouse and dependent chihlren: see pp. 25-27 offiling instrutions.)--] N O N E (No reportable reimbursements.)

SOURCI] DATES LOCAT ION PURPOSE ITEM S PAID OR PROVID~EI)I. American Academy of 10/17/09 to 10/19/09 Washington, DC co-teach semi~uar on hotel, airline, and per diemPediatrics testifying ir~ court

3.4.5.


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F I N A N C IA L D I SC L O SU R E R E P O R T N ame of Pelion Report ing Date ol ReporlPage 3 of 1 3 S c h r e i e r , ~ : . ~ e , , t . 0 5 , ~ 0 / 2 0 ~ 0

[~ N O N E (No reportable g~s.)SOURCE DESCRIPTION VALUE

3.4.5.

VI. LIABILITIES. a,a~a,~N O N E (No reportable liabilities.)

~REDITOR ~)ESCRIPTION VALUE CODEI.2.3.4.5.


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FINANCIAL DISCLOSURE REPORT [ N a m e o f P e r s ~ o n R e p o l - fi n g D a t e o f R e p o r tPage 4 of 13

] Schreier, Korea E.05110/2010

V ! I . I N V E S T M E N T S a n d T R U S T S - i, co,~e. ~a~e. ~,~,,~a~ ,n, a~t~a~ tso.~, oy~ ..... ~ doen~m ch~dren; set p ~ 3 ~ 6 0 of fdlng inxtru~)~ N O N E (No reportable income, .~sets. or transactions.)

........... ~. .............. ~ .... ~.-- -~ c. ~ ............ -0. ...............~smpl~n of As~L~ Income d~ng Gr~s valae at e ~ , "lran~fions d~ng m ~ning ~i~(i~luding t~ asses) m~ing ~ ~ of ~mng ~fi~ ,.~0) " ~2) ~ o> ~ (2) O~ ~ 2~ [ o~ ~ (4) ~ s ~ .........Pla~"(X)"afl~ch~el A~unt Ty~(e.g., Value ~ V a l n e T~(e.g., : Date Value Gain ldenfi~ofe x e m p ~ ~ a m p r io r d i s ck ~ u r e C~e I ~ v . , r e n t , i C~ 2]

Met~ buy, ~ll, ~m~d~~ C~2 : C~te I b u y c r , " ~ l l e r~ ~macfion)

I. BROKE~GE ACCOL~ #I T. RoweP d c c

2. -EQUITY INCOME FUND A Dividend K T3. -GROWTII STOCK FUND A Dividend K T4. -NEW IIORIZONS FUND A Dividend L T

: 5 . -SCIENCE AN D TECI IN OL(K-IY H JND None K T6. -VALUE FUN D A Dividend K T7. IRA A CCOUN T #1 UBS Financial Services Closed 0 1 1 1 3 , 0 98. -UBS BAN K USA DEP ACoCT None Sold 01!13/09 J9 -UBS PACE MONEY M ARKET A lntcrest Sold 01/13/09 JI0. IRA ACCOUNT#I RBC W ealthManagementII. -Prime Muney M arket Fund A I n t e r ~ . - t J T B uy 01/15/09 J1 2 . B uy 03/24/09 J(add l )1 3 . B uy 10 /30 /09 Jladd l )1 4 . -PACIF1CLIFE FDS B lnt.!Div. L T B uy 1 1 / 0 6 t 0 9 L1 5 . - AM E R ICAN FU N D S G R OW T H FU N [ ) A lnt.,q)iv. Sold 11/06/09 JOF AM ERICA CL F1 6. -EATON VAN CE LARGE CAP VALUE A Int.!Div. Sold 11/05/09 J

FUN D CLASS A1 7 . -FIDELITY ADVISOR LEVERA GED CO A Int./Div. Sold 11/05,"09 JSTOCK I:UND CL A


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IN...f P c - - * . a c p o , ~ . g1

D , t , o f a e ~ , t

[PageFINANCIAL5 of 13 DISCLOS~ R E P O R T [ Sehreier , Karen E. 0 5 1 1 0 ~ 0 1 0

~I. I~ ESTME N TS and TR U STS - i.~o~, ~, ~ .... ~.~ a.~ ,ho.~ q.~ ,~ a~ ~hU~.:~ N O N E (No reportable incotne, assets, or transactions.)......... k~ ............ ~ . . . . . c. " ............... ~ ................~scfpfion of As~ I n c o m e d u r i n g Gr~s value at end lr~etions during ~ing(~cluding ~st a~L~) ~ ~ning ~n~ of ~ing ~

Place "(X)" afi~ ~ch ~t ~An~t T~ (.g , Value ! Value "1"~ (e.g., ~ Datexempl from pn~ di~l~u~ ~ C~ I d i v . , r m t , C~e 2 Met~ b u y , ~ 1 1 , m~d& ~ ~ C~ 2 C~! buyeff~lter( A - H ) o r i n ~ . ) ( J - P ) C~e 3 re~m~ion) ( I - P ) ( A - H ) ] (if ~vate

1 8 . -OPPENHEIMER M AIN STREET SMALL A Int.iDiv. Sold 1 1 1 0 5 / 0 9CAP FUND A1 9 . -TIIORN BURG IN T. VALUE ~IN D CL A A Int./Div. Sold I I 1 0 5 1 0 9 J2 0 . -DELAW ARE DIVERSIFIED INCOME A I n t . ! I ) i v . Sold 11/05/09 .I

FUND CL A2 1 . -FTI-EM PLETON GLOBAL BON D A A lnt.iDiv. Staid 1 I 1 0 5 1 0 9 J2 2 . --LOOMIS SAYLES STRATE GIC INC. A Int./Div, Sold 11/05/99 JFUND CLASS A2 3 . NEW YORK LIFE INSURANCE CO.- A Interest K TANNtJITY2 4 . NE W YORK LIFE UNIVERSAL LIFE A Dividend K TPOLICY25. LINCOLN FINAN CIAL GROUP A Dividend J TUNIVERSA L LIFE INS. POLICY2 6 . JEFFERSON NA TIONAL UNIVERSAL A Dividend J TLIFE IN S. POLICY2 7 . TRAVELERS LIFE & AN NUITY A Dividend J TUNIVERSA L LIFE INS. POLICY2 8 . COMM UNITY H EALTH LTD.(2/3 UNIT) B Distribution J W2 9 . IIOME FE DERAL BANK ACCOUNI A Interest K T3 0 . FIRSI" DAKOTAflTLE IN S. LTD. PTR. E Distribution M Tt I U N I T )3 1 . BROKERAGE ACCOUNT #2

3 2 . -TAMARACK PRIME MONE Y MKT FD A Interest J T3 3 . -ALLIANCE BERN STEIN MIDCAP A Dividend J TG R O W T H FU N D CL C3 4 . -ALTRIA GROUP INC. COMM ON A Dividend J T


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FINAI~CIAL DISCLOSURE REPORT N .... fPerson Reporting I Date fRelmr~Page 6 of 13 S e h r e i e r , K a t e . E . [0 ~ / t 0 / 2 0 ~ O

VI I. INVESTME N TS and TRUSTS - i . ~ o ~ ~ , ~ , . .~ a ~ a , ~ , ~ o ~ ,~ NONE ( No reportable income, ~sets, or transactions.)

~s~pti~i of A s~s ] Income d~ng Gr~ value at end lran~ctions d~ng r~ing(inctuding~sl~sc~) ! . ~ging~ of~ing~fi~Ph~ "(X)" afl~ ~ch ~set A m o u n t ~ 1"~ (e.g., V~ue Value Ty~ (e.g., Date , Value ~ G~n I d e n t i t y o F

exempt f~m prior discl~u~ C~ I div., ~t. C~2 Meth~ ~y, ~ll, mn~d&t~ ~ C~ 2 C~1 . ~yeri~ller](A-~ orintJ ( J - P ) Ct~e 3 ~mpfion) ~ O-P) ( A - H ) ~ 0fpfivate............. ~ ...... : ........... (Q_~ ..... ~ ......... ~ t r a n s a c t i o n ,

3 5 . -BURLINGTON N ORTHERN-SANTA FE A Dividend K TCOM NION3 6 . -CISCOSYSTEM S INC. CON IMON Non~ J T3 7 . -CI/IGROUP INC. COM MON A Dividend J T B uy 09/02/093 8 . -COCA-COLA COMPAN Y COMM ON A Dividend J T3 9 . -COLGATE-PALMOLIVE COMPANY A Dividend J TCOM MON4 0 . -DREYFUS S&P500 IN DEX FUN D A Dividend K T41. -EMC CORP. MA SS COMM ON None J T4 2 . -GENERAL ELECTRIC COMPAN Y A Dividend J TCO M M O N43. -HANESBR.A.NDS INC. COMMON None J T44. -t lOME DEPOT INC. COMMON A Dividend J T45. -ING IN DEX PLUS MIDCAP FUND CL A A Dividend J T46. ING IN DEX PLUS SMALLCAP FUND A Dividend 3 TCL A4 7 . -IN-IELCORPORATION COMM ON A Dividend J T48 . -KOPIN C O R P ( O M M O N N o n e J T

49 . -K~XVF FOODS INC CL A A Dividend J T5 0 . -MEDTRON1C IN(?. COMM ON A Dividend K T51. -MERCK & CO. INC. COMM ON A Dividend J T


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FINANCIAL DISCLOSURE REPORT ~ . m e o ~ e , ~ o n R ~ p o , i , ~ D u t e o f a ~ p o .Page 7 of 13 Schreier, Karen E. 05/10/2010VII. INVESTMENTS and TRUSTS -

~ N O N E (No reportable income, ~sets, or transactions.)0.- .............~ption of Assets [ I n c om e d u ~ n g Gross val~ al end Tm~tions d~ng ~ing(including ~st ~e~s) ~ing ~d~ of ~ing ~ri~

Plac(XJafl=~ch~set A~ont T>~(e.g, Vaiue ] Val~ Ty~te.g., Date VMue ~ G~n j Id=tityofe ~ m p t f ro m p r i o r d ~ s c f o s u m [ C~e I ; div., r~L (~e 2 Meth~ b u y . s e l l ] m~d~ C~e 2 J C~e I ~yer,~eller( A - H ) t o, int) O - P ) C~e~ [ r ~ e m p t i o n ~ ~ ~ O-P) (A-It) ] 0forivate

52. -MICROSOFTCORPCOMbION A Dividend K T5 3 . -PEPSICO INCORPORATED COMM ON A Dividend J T54. -PFIZER 1NC. COMM ON A Dividend J T5 5 . -PIIILIP MORRIS INTL IN(;. COMMON B Dividend K T56 . -PROCTOR & GAMBLE CO. COMMON A Dividend J T

5 7 . -REGIONAL BK H OLDRSTR A Dividend J T B uy 09102/09 JDEPOSITARY RCPT5 8 . -SARA LEECORP. COMM ON A Dividend J5 9 . - 3M CO M P AN Y CO M M O N A Dividend J T6 0 . -TIME W ARNER CABLE INC COMM ON A Dividend ] T Spinoff 03/30/09 J(frotn line 61 )6 1 . -TIME W ARNER INC. NEW COMMON A Dividend J T6 2 . -VAN ECK FUNDS GLOBAL HARD None J T B uy 09102/09 JASSETS FUN D CI. C63. - W AL G R E EN CO COM M O N A Dividend J T( , 4 . -WALT DISNEY UO (I IOLI)IN(I CO) A Dividend J TCOMNION65. -BPPLC SPONS ADR COMM ON A Dividend J T6 6 . -COVIDIEN PLC COMM ON (X) A Dividend J T6 7 . -AMERICAN FUNDS EURO PACIFIC A Dividend K T

GROW F|I FD CL A68. -TYCO ELECTRONICS I ,TDCOMM ON A Dividend J T


8/13

FINANCIAL DISCLOSURE R EPORT N , = e o f P e r s o n R t p o ~ l i n g 1 Date of Repo~Page 8 of 13 Schreier, K a r e n E . I O M I O i 2 0 1 0Vll. INVESTM ENTS and TRUSTS -

~ N O N E (No reportable income, assets, or transactions.)........ ~7 .............. ~ 7 - d ........................., D. ................~cfiplion of A~ts In.me d~ing Gr~s va~e at end i T~n~ctions d~ng ~i~g ~ r ~(incl~ing ~st .sets) [_. r~ ~t . . . . . . of~ng ~fi~~,~ ~ 2 ~ .....Pla~"(X)"afl~ch~et A ~t / Ty~te.g., Value [ Value Ty~(e.g., [ Date Value [ Gain ld~tlwofe x e m p t f r o m p r i o r d i ~ l o s u r e C~e 2 Me~ b u y , ~ 1 1 , nm~d~ " C~e 2 [ C~e I bu~r~scll~( A - H ) o r i n t . ) (J-I) C~e 3 ~e~ion~ [ (J-l) ~ ( A - 1 0 ( i f p r i v a t e( ( ~ W ) , : ~s~don)

69. -TYCOINTL LTDNEW COMMON A Dividend J T7 0 . -ALLIANCE BE RNSTEIN GLOBAL A lnt,!Div. J TBON D FUND INC CL A7 1 . -PIMCO F DS tti YLD CL C A Dividend J T7 2 . -NUVEEN F LAGSHIP ALL-AMERICAN A Interest J TMUN ICIPAL BOND FUN D CL A73. -THORNBURG LTDTERM MUN ICIPAL A Interest J TFUND CL A7 4 . -PHOENIX GO AZ B OND None J T7 5 . -CAIILTtl FAC. REV. BON D None J T7 6 . -W A ST. COLL SVGS BDS. 93 WA None J T7 7 . -SODAK ST. BLD. ATH LES. REV. None J TA M B A C B O N D7 8 . -MA RICOPA CO. IDA SFM ElM A Z None J TB O N D~9. -DESCIIUTES & JEFFERSON CNTY S OR None K TSD fl)2J8 0 . -EAST SIDE UHSD CALIF. BON D None J T8 1 , -YUBA CITY CA L. UNI. SCIIOOL I)IST. None J 1 "B()NI)82. -RYDEX SER FDS JL,rNO FD CL C None J T8 3 . -LINCOLN NATL LIFE AMER. A Interest J TANNUITY8 4 . IRA ACCOUN T #2 RBC WEA LTII

M A N A G E M E N T8 5 , -TAMARACK PRIME M ONEY M KT FD A Interest J T


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N a m e o f P e r s ~ n R e p o r t in g D a t e o f R e p o r tFINA]~CIAL DISCLOSURE REPORT[ Schreier, Karen E.age 9 of 13 o 5 / ! o ~ 0 1 o

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

D~ion of A~e~(including ~st a~ets) te~ingP l a c e " I X ) " a f t e r ~ c h ~ s e t

8 6 . -EATON VAN CE LARGECAP VALUE A Dividend J TFUND CL A8 7 . -~ERICAN ~INDS GRO~H ~ND A Dividend K TC L A S S F8 8 . -AMERICAN FUNDS EURO PACIFIC A Dividend K

GR()~H ~IND CL A89. -OPPENHEIMER MAIN STRE~ SMALL A Dividend J TCAP FUND A90. -R SVALUE FUND CL A A Dividend J T9 1 . -DELAW ARE DIVERSIFIED INCOME A Dividend J TFUND CL A92. - E AT ON VAN CE G L O B AL M ACR O A Interest J T B uy !09/02/09 JABSOLUTE RETURN FUN D CL I93. -FTTEMPLETON GLOBAL BOND A A Interesl J T94. -LOOMIS SAY LES STRATEGIC A Dividend J TINCOM E FUND CL A95. -FICO STRIPS SERIES E BON D None J T96. -USTREA S. SEC. STRPD. B O N D None K T97 . -FI1R 21 21-Z f/k/a FEDL. HOM E LOAN A Interest J TMTG. CORP. BOND98. BROKERAGE A CCOUNT #3 UBS Closed 03/12/09ACCOUNT99. -UBS PACE MONEY M ARKET A Int,iDiv. Sold 3 7 1 2 /0 9 3INVESIMEN T FUND CLASS P1 0 0 , -UBS DEPOSIT A CCOUNT A IntJDiv. Sold 03/12/O9 JI01. BROKERAGE ACCOUNT #3 RBC

W E AL T |t M AN AG E M E N T102 . -GALEN A PARK IN D. BOND None K T


10/13

N a m e o f Person Rep~r~ag I Date of ReportFINANCIAL DISCLOSURE REPORT S~hreier, ~ ~Page 1 0 of 1 3 I o ~ / ~ 0 / 2 0 mVII. IN VESTM EN TS and TRUSTS -~, ...... a,,. t r a n s ~ o ~ and~ ~o.~ of s~u,~ a~ ~ c~n; set pp 3 4 ~ 0 of fang ~t,~a~)

~ (No r~Torlable income, assets, or transactions.)ONEA . B. G~s value at~d [ g~ctions during ~ing ~ri~~fipfioa of As~ts Income d~ng

P h c " ( X ) ~ aft~ ~ch ~t ~ A ~nt Ty~ (e .g . , Value V~u ~ T~ (e.g., D a t e Val~ Gain ld~ti~ ofexempt f~m prior ~i~los~ C~ 1 [ d i v . , r e n t , C~e 2 M~ , b u ~ , ~ 1 1 , m~d~yy C~ 2 ~I ~ buyer~scll~( A - H } ~1 o r i n l , ) (J-P) ~ C~e3 ] ~m~ion ) (J-P) (A-If) ~ ( i f ~ i ~ r a t e

1 0 3 . -CLAUKMUS & W ASIIINGTON SERV A None K TB O N DI~. - SO U T ll E R N M N M U N P ~ A G Y None K TSUPPLY BOND105. - P RIg IE MO~Y M A RKET FL eD A Interest J T ~n 03/13/~ J1 0 6 . FIRST N ATIONAl_ BA NK ~ SIOUX None L TFALLS ACCOUNI] 0 7 . FIRST NA TIONAL BAN K IN SIOUX None J TEALLS ACCOUNT108. IX)UGItERTY & ~UGitERTY LLP D Interest M W109. DISCOVER BANK ACCOUNT B Interest M T1 1 0 . BROKERAGE ACCOUNT #4

1 1 , -C II ROBINSON W ORLDW IDE INC. A Dividend J TCOIMMON12 . - E AT ON VAN CE N AT M U N CO M M O N A Dividend J T B uy 5/29/09 J1 3 . -MDRNA INC f!k!a NASTECI.t None J TPI IARMACEUTICAL CO. INC COMM ON

r14. -SPE(TTRASCIENCE COMMON None J T15. -US BA N CORP DEL COMM ON A Dividend J "I16 . -TI.ISCARAW AS CN TY OH IO ttOSP REV A lntercst K TB O N D17 . -MERRILL LYN CII 7 CO INC A Interest K TCOPORATE BOND18. -BANK AM ER CORP BOND A Interest K T B uy I 1/23/09 K1 9 . - JPMORGAN C! IASE BK NEW YORK, A Interest K T Redeemed 07/22/09 JN Y CD

t. [ncotne Gain (;udc.s. A ~$1JYO0


11/13

FINANCIAL DISCLOSURE REPORTPage 11 of 13 S~h~ei~, ~ ~ . O S ~ O / ~ O ~ 0VII. IN VESTM EN TS and TRUSTS -i. .....

~ N O N E (No reportable income, ~vsets, or oansactions.)............. A~ ....... B . c.

D~ri~ion of A~ In.me during ~ Gr~s value at end Tmn~tions during re~ing ~i~(mcl~ing ~ ~e~) . ~ning ped~

Place "(X)" afl~ ~ch ~et ~ A~unl Tylm (e.g., Xalue [Value , Ty~ (e g., i Date Val~ ain , Identity ofexcm~frompfiord~closu~ ~C~el ~ div. mt C~e2 ] Mc~ buy.~ll, :m~d~t~ C~2 C~el buyer/~ller

120. -WELLS FARGO BK H A CD A Interest J T B uy 0 7 1 3 1 / 0 9 J121. DOUGllERTY & COMPANY LLC MM A Interest J TACCOUNT122.


12/13

F I N A N C IA L D I SC L O SU R E R E P O R T [ N ....fr ....a~o~.~ pit, or a,~r,Page 12 of 13 I 0 5 / 1 0 / 2 0 1 0VIH. ADDITIONAL INFORMATION OR EXPLANATIONS. O~aie~ter~,* of~evo,~


13/13

N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT[ Schreier, Karen E.

05/1012010age 13 of 13IX. CERTIFICATION.

! certify that aLl information given above {including information pertaining to my spouse and minor or dependent children, if any) isaccurate, 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.! further certify that earned income from ou tside employment and honoraria and the acceptance of gifts which h ave been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

SignatureI

N OTE: AN Y IN DIVIDUAL WIIO KNOW ING LY AN D WILFUI.LY FALSIFIES OR FALLS TO FILE Tills REPORT M AY B E SUBJECT TO CIVILAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

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

karen e schreier financial disclosure report for 2009

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