lewis t babcock financial disclosure report for 2009

8/3/2019 Lewis T Babcock Financial Disclosure Report for 2009

1/16

, ~ o l O FINANCIAL DISCLOSURE REPORT R ~ p o , ~ R e q u i r e d b v t h e E t h tc ~ "in Go vernment Act u/" 1978~,. mo~o F O R C A L E N D A R Y E A R 2009 1 5 u . 5 . c . . p p . ~ , ~ I o I - I I DI. Person Reporting (l~t name. firsL m iddle iniual) 2. Court or Organization ~~~ 3, Dale of Repo~BABCOCK, LEWIS T. D.S. DISTRICT COURT -COLO~DO 04d 6.2010

4. Title [Articlc tlI)udg~ indicmc active or ~nior s utus: 5~. Repo~ Type (cheek appropriate ~ypc) 6. Reposing Periodmagis~ratcjudgcs indicate ~11- or ~art-timc~~ Nomination, Da m 01.~01;2009~DGE-SENIORSTATUS ~ lniual ~ ~ Annual ~ Final to12.3 I;20095b. ~ Amended R~ort

7. Chambers or ~c~ Addres~ 8. On the b~si* ofth~ information contained in thix Rpo~ and anynod ficatlons pe~ain ng thereto, it i*. in m~ opinion in ompliance1929 STOLW STREET, C450 ~ith applicable Itw~ and regulaOon~.DENVER. CO 80294

Revie~ing O [ficer Dale

IMPO R TA NT N O TE S: The instructions accompanying this form must be followe,4 Complete all parts,checMng the NO NE box for each part where you huve no reportable information. Sign on last page.

I . P 0 S I T I O N S . (Re~ort i r~g individual only; ~;e pp. ~ oNONE (No reportable positions.)

pOSITION NAME OF 0RGANIZATION!ENTITY1.

~ NONE (No repo~able agreements.)D A T E pARTIF~ AND TERMS

I.


2/16

Name of Person Reporting ] Date of Rgpor!FINANCIAL DISCLOSURE REPOR T B A B C O C K , L E W t S T . [ 0 4 ! 1 6 , 2 0 ~ 0Page 2 of 8

l I I . N O N - I N V E S T M E N T I N C O M E . (geportlngindividnatmnaspA, Fl iers Non-Investment Incom e~ N O N E non-investment income.)N o reportable

pATE ~QURCE AND TYPE ~ [ . . N C O , M Elyours, n o t spouses)

3.

4.

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 - tf ~,ou were married duri~g any por;ion o.I the rcporti~g Jear, complete thi.~ ~ection.[ I S h ~ l h t r a n - l o ~ t n l n ~ , ~ ! r e q u t r t . d e , * ; c ~ ~ l ] ~ r ~ . l o ~ o r ~ r i t l . )

[~ N O N E (No reportable non-investment income.)D A TE SOURCE AND TYPE

I. 2009 Self-employed (Artist)

2. 2009 Boat Anchors. Inc.

3.

4.

NONE (No reportable reimbursements.)~OURCE DATE~ L O C A TIO N PUR PO SE ITEMS PAID OR PROVIDED

I.2.

3.

5.


3/16

FINA NC IA L D IS C L O SU RE RE P O R T n ....re"~" ~v~"~ ! D.,.,~rr~. IPage 3 of 8 B , ~ C O C K , L E W ~ S

~ N O N E ( N o reportable g~s.}SO~tRCE DESCRIPTION VALUE

I.2.3.4.5.

V I . L I A B I L I T I E S . a . , .I , d e s , ~ o , e o I 5 ~ . . . .. . a a , ~ , , ~ , , ~ c h i l d r e n : s e c p p . 3 2 - 3 3 ~fflling I n s t r u c t i o n s . )N O N E (No reportable liabilities.)

, ( ~ R E D I T O R DESCRIPTION V ALUE CODEt.2.3.4.

5.


4/16

Ia m e o f P e r s o n R e p o r t i n g D a | e n f R e p o r ~FINANCIAL DISCLOSURE REPORT ] BABCOCK..LEWIST. 04/16.2010Page 4 of 8N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e l s I n c o m e d u r i n g 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 r p o r l 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 : ; e t s ) rcl~ning period o f r c p o m o g p e r io d

{ 1 ) ( 2 ) {I} ~2} (I) t2) t3~ (-ll { 5 )P l a c e " ( X ) " a l i c r e a c h a s s e t A m o u n t T y p e ( e . g . . V alue V alue T y p e ( e . g . , D a l e Value G a i n I d c n l i t y o f

c x e m p l f r o m p o o r d i s 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 buy. sell. r a m . d d y y C o d e 2 C o d e I b u ) c r s e l l e r{ A - H ) o r i n t . ) ( J - P ) Code3 r e d e m p t io n J { J - P ) ( A - H } O l p n ~ a l c( Q - W ) t r a n : ,a e t ~ o n ~

1. Double Eagle Petroleum Mining Co (Com.) None J T

2. Prime Energy Corp [Corn) None J T3. jhi, Inc. I.Com None J T

4. Colorado Public Employees Reurement None M TAssociation5. Brokeridg Account #1

6. a) AIM Premier aka AIM C harter Fund C/A A Dividend J T7. b) Hartlbrd Fund C I B A Dividend J TS. Brokcridge Account #2 (IRA)

9. al AIM Premier Equity CIB aka AIM A Dividend J TCharter Fund C,B1 0 . Brokerage Account ~2

I 1 . a) AIM Eq uity Fund Cla~s A A Dividend J T1 2 . Brokeridge Account #3

1 3 . a) Ckibank NA A Interest J T1 4 . b) AF&T lnc A Dividend J T B uy 10/26/09 J

1 5 . c ) P f i z e r , I n c . lT k ~ a W e y t h ( C o r n ) A Dividend K T 10/10/09 K

I , . c)(i) Pfizer, Inc. A Dividend K "r Sold 10/16,09 K1 7 . d ) . - .k l c a te 1 0 L u c e n t A D R None J "F


5/16

FINANCIAL D ISCLOSURE REP ORT N~,ne of Person Reporting [Page 5 o f 8 a A S C O C ~ : , L Z W ~ S T. ~ 0 ~ , ~ 6 ~ 0 ~ 0V I I . I N V E S T M E N T S a n d T R U S T S - ~ . . . . . ~ . value, t . . . . . . l ions (lncludes th,s of spo~ and depende~ h iMren: seepp. 34 -60 of fi ling instructiong)

NONE (No reportable income, a ssets, or transactions.JA. B. C. D.D e s c r i p t i o n c f A s ~ c t s I n c o m e d u r i n g G r o s s v a l u e a t e n d T~nsactions during ~ning period

(including :rest assc~) reining p~ of reposing p~odPlacc"[X)"aficr each ~sct A m o u n t Ty~ {e.g., Value *~ Value T~ e.g.. D a t e Value G a i n l d c n n t y

c . x c m p t f r o m p r i o r d i s c l o s u r e .C~c I div. rent, C o d e 2 M c l h o d buy. sell m~d~.)~ C o d e 2 C o d e I bu)crt A - H } o r i n t . } t J - P ) ~ C~ c 3 r c d c m p ~ i u n ~ [ J - P ) [ A - H ) l i f p r i x a t c. I Q - W ) t r a l~ a c u u n ]

1 8 . c) Viaccm B (Corn) A Dividend J T

1 9 . f ) G N M A (9186) A Interest J T Redeemed J A

20. g ) G N M A [12r86) A Interest J T2 1 . h)LSI Con? None J T

2 2 . j) Comcast Corp { Corn) None J T

2 3 . k) AIIvl Premier Equity Fund Class A A Distribution K T24. I) Capilal World Growth & Income B A Dividend K T2 5 . A IM Invesco G rowth Fund None J T

2 6 . ]IM D iversified Div Fund A Dividend K T

2 7 . AIM Invesco Free 13ond Fund C Int./Div. L T

2 8 . V alic 0RA ) nka AIG Retirement A " I n t e r e s t J T

29. W adde[I & Reed Tot, Ret. Fund (IRA) A Dividend J T

3 0 . U.S. Consolidated Federal Credit Union nkaEN T3 I. a) CD A Interest J T

3 2 . b/Account ~1 A Interest J T

3 : , . USban,:orp Account ul A Interest J T3 4 . USbancorp Account-_-" A Interest J T


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F IN A N C I A L D I SC L O S U R E R E P O R T ~ .... f Pe ....Rupor~iag Di,~: olRt-porlPage 6 of 8 ~ A B C O C K , L E X V lS " r .

~ N ONE (~Vo reportable income, ~sets, or ~ansactions.)Description at" Assets Incom e dunng G ross value at end T~nsactions dunng reining periodflncluding z~s~ as~e~) rc~ing period of t~o~ing period

(I) (2) Ill ~ 12)Place "(X y after each asscl A ~ount T)gc (e.g., Value ~ Value T)~ (e~., Dale V ulue Gain Idenui) t~l"exempt [~m prior disclosure Code I div.. rcak C~c 2 i: M ethod buy, sell. mm,d~yy Code 2 Code I buyer~cllcrIA-H) or int.l (JP) i C~e 3 rcdcmption] (J-P) [A-Ill Iifprl~alc

35 . Lot ffiverside County, Calif(Line 20, 2000 No n e J WRepo~)36 . .333 Int inSee I5,~P I0 S. ~g. 14E, C Ren t M WSBBAM. Imperial, CA37 . Btokeddge Account #l (1~)

38. a) Capital W orld Growth Income B A Dividend J T39. b) Capital Income Building Fund B A Dividend K T

4 0 . American Funds IICA A , D vidend K T

41 . Brokeridge Account/t3 r) Legg lvlason A Dividend J TValue Trust, Inc.42. Brokeridge Account #3 CBS A Dividend J T


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FINANCIAL DISCLOSURE REPOR TPage 7 of 8 BABCOCK, L E W I S T . 0 4 / 1 6 1 2 0 1 0VIII . A D D IT IO NA L INFO RM A T IO N O R E XP L A NA T IO NS .

Part V ll. Lines 15 and 16 - 200 9 Report - There was a merger of W yeth and Pfizer. Inc. and transaction occurred in exchange tbr stock and sale.Par~ V II. Line 18.2008 R.eport. GNM A was redeemed in the past. lVly records do not reflect the date.Par~ 111.13.2. 2009 Report is amended to reflect spouses additional Non-lnvestment Income.


8/16

FINANCIAL DISCLOSURE REPORT N~me of Person Reporting Da,e a[ ReportPage 8 of 8 B A B C O C K , L E W I S T. 0 4 / 1 6 . i 2 0 1 0IX. CERTIFICATION.

I certify that all information given above (including information pertaining to my spouse and minor or dependent ch ildren, 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 statutoryprovisions permitting non-disclosure.

I fmlher cerrif.v that earned Income from outside em ployment and h onoraria nod the acceptance of gifts which have 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.

N O T E : A N Y I N D I V I D U A L W H O KN 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 L L S T O F I L E T i ll s R E P O R T M A Y B E S U BJ E C T T O C I V I l.AND CRIM INALSANC TIONS (5 U.S.C. app . 104)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to:

Com mittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Colurabus Circle. N.E.W ashington. D.C. 20544


9/16

FINANCIAL DISCLOSURE REPORT m GovernmentFOR CALENDAR YEAR 2009I . P e r s o = R e p o r t i n g ( l o s ;. n a m e . t ] r z t , m l d u l e = n m a l l ", Court or O rganization . ! . D z t e o f R e p o r tBABCOCK.. LEWIS T. U.S. DISTRICT COURT - COL OtL4DO 0 4 . 1 3 2 0 1 0

~ Nominzuon, Date 01 /01 2 009~rDGESENIORSTATUS ~ lma~l ~ An.ual ~ Fiaal ~o12;3 I.2009

5~. ~ Amenaed R~on7. Chamher~ or O~ce Af ld res~ 8. On the basis of th~ info rmat ion cont~ ine f l in th is Re por t ~nd unymodif icat ions pe~aining thereto, it is , in m y opinion, in compliance1929 STOUT ST~ET. C450 w i th ~ pp l i cab l e l aw s an d r~u l ~ t i on s .D EN VER . CO 8 0 2 94

Red,wing Officer D~te

I M P O R T A N T N O T E S : Tt, e instructions accompanying this form must be fullowetL Cvmplete a/l part&checking th~ NOP ,E bo.v for each part w h e r e you have no reportable inJbrmation. Sign tm last page.

1 . P 0 S I T l O N S . ~ . .~ . ~ i n d i v i d u a l only; see W "[71 N O N E (No reportable positions.)

POSITION N A M E O F O R G A N I ZA T IO N I E N T [T Y1.

II. AGREEMENTS.(RFortlng individu~l onl~: s pp, 14-16 of filing in~tructiom.) ~ " : ~ . . .~ N O N E (No reportable agreemenu.) ~ " . " ~ > ~

D A Tg P A R T I gS A N D T ~ R M S ~ ~~I.


10/16

FINANCIAL DISCLOSURE REPORT Name of Prrson Reporting DattofR~por~Page 2 of 8 B A n C O C K . L E W I S T . 0 4 : 1 3 : 2 0 1

1 II . N O N - I N V E S T M E N T I N C O M E . ~,po,a,g i ~ , ~ , ~ , ~ , , : , , , ~ p . ~ : . ~A. Fl iers Non-Investment Incom e

N Q N E ( A Z o repottable non-investment income.)DATE SOURCE A N D TYPE ( y o u r s . n o t s p o u s e s )

I,

2 .

3 .

4.

B . S p o u s e s N o n - I n v e st m e n t In c o m e - t l ) ~ u .~r married during a n ) , p o r t h m v f ~ h e r e p o r t i n g y e a r , c o m p l e t e this section.l)rd/ar amount t~o! reqltircd ~.rte~t.lbr h ~nt~raria.)

~ N O ~ (Aro reportable non-investment income.)D A TE SOUR CE AN D

1 . 2 0 0 9 S e l l = e m p l o y e d ( A ~ i s t }

2.

3.

4.

tlnrh~d~s tho~e t~ x~sme and dependent chd dren." see pp. 2J.27 o~filing tintractions)N O N E (No reportable reimbu~ wements.)

SOU R C~ D ATES LOCATION PUR POSE ITEMS PAID OR PR OVIDED

3.4.5.


11/16

FINANCIAL DISCLOSURE REPORTPage 3 0~~ BAB COCK. L E ~IS r . 04{3:2010

V . G I F T S , ancluas thuse t~ spous ana d,~ndent ch~dren; s,e pp. 2~-Jt of filing instrncaons.)~ N ON ~ ( ;~ reportable

$O U R C ~ D g~CR IPTION1.2.

4.5.

~ NONg (No repot able t iabil#ies.)~ R ~ D I T OR D ESCR IP TIO} ~L~gUg COD ~

I.

3.4.


12/16

FINANCIAL DISCLOSURE REPOR TPage 4 of 8 B A B C O C K . L E W I S T . 0~~20~0

V II. INV ESTMENTS and TRUSTS - i ....... . , ~ , , , . t ~ a n s . c , i o , . , " a , c l u a , s , h . . . . ( s p o u s e a n d dependent c h i l d r e n : s e c p p . 3 4 ~ 0 , iling i . . . . . . . i o n s J~ N ONE (No reportable income, assets, or transactions.)A. B. c. D.

Descdpfioa of A~ets I n c o m e d u r i n g O r o s ~ v a I u u a t en d T m n s a c ~ i o n ~ d u r m ~ r e p o r t i n g p e r i o d~ 1 ) ~ 2 1 11~ 2} (I } {2~ ~3) ~ 5 )

P l a c e " ( X ~ " ~ f l c r e a c h a s s c l Amount T~e ~c.g.. V alue Valu~ T~e l,g., D a ~ Value G a i n ldcnmy ofx~pt from pnord~sclosur Cote l d i ~ . , r c n L C o d e 2 M c ~ h o d buy sell. ~m~dd}~ C~e 2 Code I buycrscllcr( A - H ) o r i n t . ] ~ J - P ] Codt3 r c d c m p t i o n ) ( J - P ) [ A - H ) 0fprivatc

]. Doubie Eagle Petroleum M ining Co [Com.) None J T

2. Prime Energy Corp (Corn) None J T

3, jhi. lnc. (Corn None J T

4. Colorado Public Employees Rct.,rement None M TAssociation5. Brokcridge Account #1 (IRA)

tx a) AIM Premier aka AIM Charter Fund C.A A Dividend J T

7. b) Hartford Fund C1 B A Dividend J T

3. Brokeridge Accounl #2 (IRA) "

9 . at AIM Premier Equity C I B aka AIM A Dividend J TCharier Fund C~q3I 0. Brokerage Account ~21 1 . a} AIM Equity Fund Class A A Dividend J T

1 2 . Brokefidge A ccount #3

13. a) CitibankNA A Interest J T

14. b) AT&T lnc A Dividend J T B uy 1 0 / 2 6 , 0 9 J

15. c~l Pfizer, Inc. ffkia Weyth (Corn) A Dividend K T 1 0 1 1 6 1 0 9 K

lb. eJQ} Pfizer, Inc. A Dividend K T Sold 10!16/09 K

17, d) Alcate 10Lucent ADR Non e J T


13/16

FINANCIAL DISCLOSURE REPORT N .... iP ..... Iltporttng l)ateofR~:purt /age 5 of 8 B: ~BC O C r a L E \ V I S T , 04 132010VII. INVESTMENTS an d TRUSTS - i ......... t . e , , . . . . . . rio.., (Include.* tl ..... ~f sp ........ d d e p e n d e n t c h i l d r e n ; t ; e p p . 3 . I 4 0 o f f i li n g i n ~ t r u c f fu n s . )

NONE (.,Vo reportable income, assets, or n-ansacrions.).................... ~7 ........... s . c.

D e s c r i p t io n o f A S S e L ~ h ~ c o m c d u f in ~ Gros~ ~lue ~ end T r a n s a c t i o n s d u n n g r e p o ~ i n g p : r io ~t in c l u d i n g t m s ~ ~ s s c t / ) r e p o r t i n g p e r i o d o f r c p o a m g p e r io d

(I) (2 ~ ~) ~ ~2) O) G) 131 ~a~P l a c e " I X ) " a f t e r e a c h a s s e t A m o t m ~ Tv~ e.g. Vulo: ~ Value T ) ~ e I C . g . , Date : Value Gain Idenmy cf

e x e m p t I ~ o m p n ~ r d ~ s c l o s u r c C~c I div.. r~t. C o d e 2 ~ Monad buy, sell. m m d & : ) 3 Code 2 , C o d e I[ A - I t ] o r i n t . l J - P ) ~ C~de3 r e d e m p t i o n } I J - P ~ b 4 - H }~ ( Q - W ) t r a . s a c u o n ~

I 1 8 . e) Viacom B (Corn) A Dividend J T

1 9 . f}, GNM A t9/86) A ]merest J T Redeemed J A

20. g) GNMA (12/86) A Interest .~ T

2 1 , h) LSI Corp None J T

2 2 . j)Comcast Corp (Corn} None J T

23. k) AIM Premier Equity Fund Class A A Distribution K T

2 4 . t) Capital World Growth & Income B A Dividend K T

25. AIM Invesco Growth Fund None J T2 6 , AIM Diversified Div Fund A Dividend K T

2 7 , AlM lnvesco Free Bond Fund C lnt.iDiv. L T

2 8 . V alic (IRA) nka A IG R etirement A Interest J T29. Waddell & Reed Tin. Ret. Fund (IRA) A Dividend J T

3 0 . U.S. Consutidated Fcde~i C redit Union nkuE N T3 1 . u) CD A Interest 3 T3 2 . b ~ A c c o u n t # ! A Interest J T3 3 , USbancorp Account #1 A Interest J T

3 4 . USbancorp Account 32 A Interest J T


14/16

FINA NC IA L D ISC L O S U RE RE P O RTPage 6 of 8 B A r ~ C O C ~ , L E W ~ S T ,V II. INV ESTME NTS and TRUSTS - i ......... ~,,,. r .......... (Includes tl .....~f sp .......d depend ....hildr,n $e, pp. 34-60 o f Jlling i . . . . . . ti,,ns.J~ N O N E (No income, oansaczions.)eportable

Description elAssets Income dufng Oro~s ~aiuc at end T~n~ct~ons dumng reining ~ no d{i~cluding t~st assets} reporting ~rmd of reposing period.....................................................................................Place "(XY aflzr c~ch ~ct Amount T)~c te.g.. Value Value T3~ ~e.g.. Dztc V alue G ain

exemp~ liom prior disclosure Code I div.. rent, Code 2 ~lcthod buy. sell. mm.d& yy Code 2 (ode I buycr~lleri A -H ) or mr.) t J-P) C~c 3 redemption) [J-P) (A-H I lillpri~a~c(Q-W)

3 5 . Lot ~iverside County, Calif (Line 20, 2000 None J W36, .3331ntin See 15, TWP 10 S. ~g. 14E, C Ren t M W

SBR,kM, Imperial, CA37 . Bmkeridge Account ~1

38 . a) Capilal World Growth Income B A Dividend J T

39 . b~ Capitol Income Building Fund B A Dividend K T

40 . American Funds I1CA A Dividend K T

41 . Broke~dge Account #3 r) Legg M~on A Dividend JValue T~st. Inc.

42 . Brokendge Account g3 CBS A Dividend J T


15/16

Name of Person P, epor~ing Date or" ReportFINANCIALpage 7 of 8 DISCLOSURE REPOR T , B ,~ B C O C K . L E W I S T . 0 4 . 1 3 2 0 1 0

VIII. ADD ITIONAL INFORMATION OR EXPL.~NATIONS. U.ai.,epor, o~Rep.r,~

Lines !5 and lfi - 2009 Report - Th ere ,,as a merger of Wy eth and Pfizer, Inc. and transaction occurred in exchange for stock and sale.Line ] 8, 2008 R eport. GNM A was redeemed in the past. My records do not reflect th: date.


16/16

FINANCIAL DISCLOSURE REPORT . x , m ~ o t P . . .. . ~ , p o ~ , , , . , D , , ~ , , ~ ~ , v o r ,Page 8 of 8 BA B C O C K, L E \V I S T . 0413,2010

1X. CERTIFICATION.I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) tsaccurate, true, and complete to the best of my knowledge and belief, and tha~ an.v information no! reported was w ithheld because R m e! applicable s~atutoryprovisions permitting non-disclosure.I further certify ~hat earned income from outside employment and honoraria and the acceptance of gifts which have been reported are inc~mpliance wi!h the provisions of 5 [!.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regula!ian~,

Signature ....................................................

N O T E : A N Y I N D I V I D U A L W H O I C JN O W I N G L Y A N D W I L F UL 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 il ls R E P O R T M A \ BE S UBJ E C ~T O C I V I LAND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to:

Com mittee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-30 IOne C olumbus Circle, N.E.W ashington. D.C. 20544

lewis t babcock financial disclosure report for 2009

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