james a parker financial disclosure report for 2010

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

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AO 10Rev. 1/2011I FINANCIAL DISCLOSURE REPOR TFOR CALENDAR YEAR 201 0 Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)1. Person Repor ting ( las t name, f ir s t , middle init ial)P A R K E R , J A M E S A .

4. Tit le (Art ic le I I1 judges ind ica te act ive o r sen io r s ta tus;magis t ra te j udges indicate fu l l - or par t - t ime)

U . S . D I S T . J U D G E ( S E N I O R )

7. Chambers or Off ice Address421 G o ld Ave. , S .W.A L B U Q U E R Q U E , N . M . 8 7 1 02

2. Court or Organiza t ionU . S . D IS T R I C T C O U R T

3. D a t e o f R e p o r t05/05/2011

5a . Report Type (check appropria te type )] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymodif ica t ions pe rta in ing the re to , i t is , in my op in ion , in compliancew i t h a p p l i ca b l e l a w s a n d r e g u l a t io n s .

Reviewing Off icer Date

6. Report ing Pe riod01/01/2010

to12/31/2010

IMPORTANT N OTES: The instruct ions accompan ying this . form must be fol lowed. Comple te a l l parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . m e p o r t i n g individual only; seepp. 9-13 of filing instructions.)~ NONE(N o reportable positions.)1 . C o - M a n a g e r2.3.

4.5.

POSITION NAME OF ORGANIZATION/ENTITYJPFP~ LLC

I I . A G R E E M E N T S . m e p o n i .g i n d i v i d u a l o n l y ; se e p s . 1 4 - 1 6 of filing instructions.)~] N O N E (No reportable agreements.)

DATE P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r s o n R e p o r t in gPARKER, JAMES A.

D a t e o f R e p o r t05/05/2011

I II . N O N - I N V E S T M E N T I N C O M E . ( R e p o m n g individual and spouse; seepp . 17-24 of filing instructions.)A. Filers Non-lnvestment Income

~] NONE (No reportable non-investment income.)DATE SOURCE AND TYPE

2.

3.

4.

INCOME( y o u r s , n o t s p o u s e s)

B . S p o u s e s N o n - l n v e st m e n t I n c o m e - If you w ere married during anyportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

N O N E ( N o reportable non-investment 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, e n t e r t a i n m e n ~(Includes those to spouse and dependent children; see p p. 25-27 o filling instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

1 .2.3.4.5.

PURPOSE ITEMS PAID OR PROVIDED


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N a m e o f P e r so n R e p o r t i n gPARKER, JAMES A.

D a t e o f R e p o r t05/05/2011

V . G I F T S . (Includes those to spouse and dependent children; see pp. 28-31 of f!ling instructions.)N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION

1 .2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o l s p o u s e and dependent children; see pp. 32-33 of filing instructiong)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION

1 .2.

3.

4.

5.

VALUECODE


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Date of Report05/05/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v a l a e , transactions (Includes those of spouse and dependent childrensee pp. 34-60 o:f!ling instructions.)N O N E (No reportable income, a ssets, or transactions.)

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( 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 in g p e r i o d of report ing period

(1) (2) (1 ) (2 )P l a c e " ( X ) " a f t e r e a c h a s s e t Amou nt T y p e ( e , g ., V alue V a lue T y p e ( e . g ., D a t e Value

exempt from prior disclosure C o d e I die,, rent, C o d e 2 Method b u y , s e l l ; m m i d d / y y C o d e 2( A=H ) or in t . ) . . . . . .. . ( J - P ) C o d e 3 : r c d e m p t i 0 n ) ( J - P )(Q-W)1 . D elta P e tro le um N o n e K T2. Denver M ine ra l s & Roya l ty E Dist r ibut ion M T3. U.S . Treas Notes A Interest N T4. C k n g A c c t . & C D s B k A m - A l b u q u er q u e , N M A Interest J T5. A g e n c y A c c t - J P M o r g a n A Interest J T6. P a rce l #1 , H arr is C o., T X (U n d iv id e d 5 0 % ) N o n e N S7. P a rce l #3 , H arr is C o., T X (U n d iv id e d 5 0 % ) N o n e O S8. P a r c e l # 1 , L iv e O a k C o . , T X ( U n d i v i d e d 5 0 % ) D R e n t O S9. P a r c e l # 1 , B e r n a l il l o C o . N M ( U n d i v i d e d N o n e K S2 5 % )1 0 . P arc e l #2 , Berna l i l l o C o. , NM (Undiv ided N o n e K S5 0 % )1 1 . M I N E R A L R O Y A L T Y P R O P E R T I E S :1 2 . L OUI SI ANA1 3 . C o m m o n L e a s e s , A s c e n s i o n P a r is h A Royal ty J W1 4 . V a r i o u s L e a s e s , P l a c q u e m i n e P a r i s h E Royal ty K W1 5 . T E X A S1 6 . D o b i e R a n c h , L i v e O a k C o . E Royal ty O W

(1 ) ...... (2 ) (3) (4)Gain Identity ofC o d e 1 buyer/ se l le r(A-H) ( i f p r i v a t e

transaction)

Bu y 09/01/10 M Denver M ine ra l s &Royal tyS o l d 11/02/10 L O p e n m a r k e t(par t)

Ma t u re d 04/21/10 M

1 7 . C O L O R A D O

i : : ln~;~e Gain Codes:: A - - $ ~ ~ 6 ~ ~ i ~ s s B ~$i 00i:~ $~ ~0d C =$2;50~ 4 S5,000 D =$5,001 -$15,000( S~ e Cr iu r r ms Bi and 1 3 4 ) F ~$3~!~6i ~ ~i00,000 ~ ~$i~0!~bi : ~i;000i000 : H I =$ L00~i00i : $5:000,000 H 2 :Mor e t h an $ 5 ,000;000

2. V alue C ode~ J = $15 ,000 or less K = $15,001 2 $50,000 L = $50,001 - $100~000 M =$100i001 ~ $250,000( S e e C o l u m n s C I a n d D 3 ) N =$250~001 =$500,000 O=$500,001 = $1,000;000 P I = $1 10 00 ~ 00 1 ~ $5 ,0 00 ,0 00 P 2 = $5 ;0 00 ~0 01 ~ $ 25 ,0 00 ,0 00

P3 =$25,000,001 - $50,000,000 P4 --MOre than $50 000,0003 . V alu e Meth od Codes Q = Ap p r a i sa l R =Co s t ( R eal E s t a te Only ) S =A s s es s ment T = C a s h M a r k e t

( S e e C o l u m n C 2 ) U =Book V alu e V = O t h e r : W = E s t i m a ( e d

E =$15,001 - $50,000


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Da t e o f R e p o r t05/05/2011

VII. INVESTM ENTS and TRUSTS - i .... e , value, t ......lons (Includes those of sp .... and depe,dent c h i ldren; see pp . 3d-60 o f f i l lng instruct ions. )[~ NONE income, assets, or transactions.)eportable

P ace "(X)" after each asset Amount : Type (e .g . , V a l u eexempt f rom 0r iot d isc losure C o de I d i v . , r en t C o d e 2

( A - H ) 6 r i n t . ) ( J - P ) C o d e 3 redempt ion)(Q-W)

V a l u e T y p e ( e . g .~ Date V a l u e Gain Identity ofMethod :buy, se l ! , m m /d d/y y C od e 2 Code 1 buyer/ se l le r

( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

1 8 . O . R . R . I . & R . I ., W e l d & A d a m s C o s . G Royal ty O U1 9 . M I N E R A L W O R K I N G IN T E R E S T S :20 . ~ W e l l s , A d a m s C o . , C O . G Dist r ibut ion N U21 . ~ W e l l , A r a p a h o e C o , C O . J U22 . ~ W e l l s , W a s h i n g t o n C o . , C O F Dist r ibut ion L U23 . ~Wells, Weld Co, CO F Dist r ibut ion N U24 . ~ W e l l , E l b e r t C o . , C O C Distribut ion J U25 . P a r c e l # 1 , L a P l a t a C o . , C O . B R e n t M S( l and , c ab ins , wa te r ) (25% in t . )26 . N o b l e E n e r g y A D i v i d e n d L T27 . E M C C o r p N o n e J T28 . S i e m e n s A G N o n e J T29 . J o h n s o n & J o h n s o n A D i v i d e n d K T30 . C e l g e n e C o r p N o n e J T31 . T ra n s o c ea n L td N o n e32 . V e r i z o n G l o b a l N o t e B Interest K T33 . B a n k o f A m e r i ca C D s & A c c t s . ( J P F P D Interest N T~ LLC)34 . Fran kl in U .S. G o vern men t Secur i t i es D Interest N T

B u y 05/11/10 L O p e n m a r k e t

B u y 11/01/10 J O p e n m a r k e tB u y 11/01/10 J O p e n m a r k e t

Bu y I 1/01/I0 J O p e n m a r k e tSo ld 0 6/0 4/10 J Open m arke t ( los s )

Bu y 01/11/10 M O p e n m a r k e t(add l )

2 . V alu e Codes J =$ 1 5 ,000 0r l es s K =$15,001 ~ $50,000(S ee C olu mn s C I an d D3) N --$25 0;0 01 .$500 000 O =$500,00! ~ $1,000,000

P3 =$25 000 OOl - $50,000,0003 . V alu e Meth od Codes Q = Ap p ra isa l R =Co s t ( R eal E s t a te Only )( S e e C o l u n m C 2 ) U = B o o k V a l u e V = O t h e r

C =$2;501 - $5,000H 1 = $ L 0 0 0 ~ 0 0 1 - $ 5 ; 0 0 0 ~ 0 0 0L =$50;001 - $100;000PI =$ 1,000,001 - $5,000,000P4 =More than $50,0g0,000S =A s s es s mentW =E s t imated

D =$5,001 - $15,000H2 =More than $5;000,000M =$100,001 - $250,000P2 =$5,000,00 ! - $25,000~000T = C a s h M a r k e t

E =$15,001 - $50,000


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D a t e o f R e p o r t05/05/2011

V I I. IN V E S T M E N T S a n d T R U S T S - i .... e , value, transactions (Includes those of spouse and dependent children see pp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Descr ipt ion o f Assets Income dur ing Gross va lue a t end Transac t ions dur ing repor t ing per iod

( inc luding t rus t asse ts ] reporting period of repomng per iod(1) (2) (1) (2) { 1 ) (2). (3) (4) (5)

Place "(X)" after each asset A m o u n t Type te.g., V a l u e Value Type (e.g., Date V alUe Gain Identity ofexempt f rom pr ior d isc losure Code 1 d iv, ren t , C ode 2 M ethod buy, se l l , m m / d d / y y C o d e 2 Code 1 buyer/ se l le r( A - H ) o r i n t . ) ( J - P ) C o d e 3 redempt ion) ( J ~ P ) (A-H) (if private

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

35 . T e m p l e t o n I n c o m e G l o b a l A Dist r ibut ion L T Bu y 05/07/10 L O p e n m a r k e t

36 . F r a n k l i n L a r g e C a p E q u i t y C In t e r e s t O T Bu y 0 5/0 7 /10 O O p e n m a r k e t(add l )37 . V a n g u a r d E m e r g in g M a r k e ts B Interest L T Bu y 05/13/09 L O p e n m a r k e t

38 . A C E L t d N o n e J T Bu y ll/01/10 J O p e n m a r k e t39 . C J S D e n v e r H o l d i n g s , L L C N o n e C e a s e d o p e r a t in g

40 . M BH Ente rpr i s e s , L L C D Dist r ibut ion N U41 . A F G , L L C A Dist r ibut ion M U42 . W e stfie ld R es . P a r tn e rs N o n e K U43. A pp le In c N o n e J T Bu y 11/01/10 J O p e n m a r k e t

44 . T E V A P h arm a c eu tic a l In d s N o n e J T Bu y 11/01/10 J O p e n m a r k e t45 . JP M o rg a n C h a se N o n e J T Bu y 11/01/10 J [ Ope n m a rke t

46 . C R E E In c N o n e J T Bu y 11/01/10 J O p e n m a r k e t

47 . L i & F u n g L t d N o n e J T Bu y 11/01/10 J O p e n m a r k e t48 . H yu nd ai Mo to r C o N o n e J T Bu y 11/02/10 J O p e n m a r k e t49 .50 .

. . . . . . . . . . .(See:C~i~ B i ~fid D4) F =$ 50;00i - $ i00;000 G = $i 0 0 ~ 0 0 1 - $I ,0 0 0 ,0 0 02. V a lu e C o de s J = $15 ,000 or less K =$15,001 - $50,000

( S e e C o l u m n s C I a n d D 3 ) N =$250,001 - $500,000 O =$500,001 - $1,000,000P3 =$25,000,001 - $50,000,0003 . V alu e Meth od Codes Q = Ap p r a i sa l R =~ost (Real Estate Only)

( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h e r

C =$2,501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $50,001)H I =$ L000,001 - $ 5 ,000,000 H2 =More than $5;000;000L =$50,001 - $ 100,000 "M - -$ 0 0 ; 0 0 1 - $250 ,0 00P I =$1,000,001 - $5,000,000 P2 =$5,000~001 - $25;000 000P4 :More than $50,000,000S - - A s s es s ment T : C a s h M a r k e tW =E s t imated


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V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndicate part of report.)D urin g 2010 1 mad e char i t ab le g i f t s exceed in g 5 ;1 ,000 .00 in va lue to U n ivers i ty o f N ew Mexico Fo un d at io n , R ice U n ivers i ty , U n i ted Way o f Cen t ra l N ew MexicoS t . J o h n s C a t h e d r a l, A l b u q u e r q u e M u s e u m F o u n d a t i o n , U n iv e r s i ty o f T e x a s L a w S c h o o l F o u n d a t i o n , C o l o r a d o U p l if t , N e w M e x i c o C o m m u n i t y F o u n d a t io nB r e a s t C a n c e r R e s o u r c e C e n t e r , a n d F a m i l y i n C h r i s t C o m m u n i t y C h u r c h .D u r i n g 2 0 1 0 1 m a d e g i f t s e x c e e d i n g $ 1 , 0 0 0 .0 0 i n v a l u e o f i n t e r e s ts i n J P F P L L CThe se cur i t i es sho wn o n l in es 1-3 ,26-32,34-38 ,43-48 o f Sec t io n V II were h e ld d ur in g 2010 b y F id uc iary Trus t In te rn a t io n a l e i ther in an I .R .A. acco u n t an d / o r in am a n a g e d a c c o u n t .T h e a g e n c y a c c o u n t a t J . P . M o r g a n P r i v a t e B a n k ( l i n e 5 , S e c t io n V I I ) is a n a c c o u n t i n w h i c h ~ I e a c h h a v e a n u n d i v i d e d 5 0 % i n t e r e s t . T h e p r i m a D asse t s fo r which J .P . Mo rg an P r iva te Ban k i s ag en t a re Lo uis ian a m in era l ro ya l ty p ro p er t i es ( l in es 12-14, Sec t io n V II ) . The ro ya l ty in co m e rece ived by the B an kis in ves ted in mo n ey-m arke t fun d s which ea rn in te res t o r d iv id en d s in the amo un t s t a ted o n l in e 5 , Sec t io n V II . The ro ya l ty in co me f ro m an d the va lues o f themin era l p ro p er t i es he ld in the ag en cy acco un t a re s t a ted a t l in es 13 -14 o f Sec t io n V II .V alue co d e S was used fo r the fo l lo win g p ro p er t i es :L i n e 6 P a r c e l # 1 , H a r r i s C o . , T X $ 5 3 8 , 0 8 7 ( J P F P , L L C 5 0 % = $ 2 6 9 , 0 4 3)L i n e 7 Parce l #3 , Ha r r i s Co . , TX $ 1 , 5 7 4 ,7 4 6 ( J P F P , L L C 5 0 % = $ 7 8 7 , 3 7 3 )L i n e 8 P a r c e l # 1 , L i v e O a k C o . , T X $ 1 , 0 7 7, 7 8 0 ( J P F P , L L C 5 0 % = $ 5 3 8 , 8 90 )L i n e 9 P a r c e l # 1 , B e r a a l i ll o C o . , N M $ 1 6 2 , 9 0 0 ( J P F P , L L C 2 5 % = $40,725)L i n e 1 0 P a r c e l # 2 B e r n a l i ll o C o . , N M $ 6 5 , 7 0 0 ( J P F P , L L C 5 0 /o = $37,850)Lin e 25 P a r c e l # 1 , L a P l a t a C o . , C o $ 6 1 8 , 3 7 0 ( J P F P , L L C 2 5 % = $ 1 5 4 , 5 9 2 )

D u r i n g 2 0 1 0 1 a n d / o r J P F P ~ L L C r e c e i v e d a re f u n d s f o r o v e r p a y m e n t o f s t a t e ta x e s f r o m N e w M e x i c o w i t h i n i n c o m e c o d e B , f r o m C o l o r a d o w i t h i n i n c o m ec o d e C , a n d f r o m L o u i s i a n a w i t h i n in c o m e c o d e A .T h e d e s c r ip t i o n s o n l i n e s 1 1 , 1 2 , 1 5 , 1 7 a n d 1 9 o f S e c t i o n V I I a r e m e r e l y h e a d e r s .D ur in g 2010 1 rece ived a d i s t r ibut io n wi th in V alue A f ro m the Es ta te o f Wi l l i am B . S tuessy .D u r i n g 2 0 1 0 t h e g u a r a n ty o f a l i a b i li t y o w e d t o C o m m u n i t y B a n k s o f C o l o r a d o b y J P F P ~ L L C a s s h o w n i n S e c t i o n V I w a s p a i d i n f u ll .D urin g 2010 o n e cer t i f i ca te o f d ep o s i t sho wn o n l in e 4 , Sec t io n V II o f va lue M m atured an d was n o t ren ewed .D urin g 2010 CJ S D en ver Ho ld in g s , LLC ( l in e 39, Sec t io n V II ) ceased o p era t in g an d wen t b ro ke an d o ut o f bus in ess .M H B Ente rpr i s e s repor t ed on l i ne 40 was c omp r i s ed of t h ree com ponen t s : M H B Ente rpr i s e s , M H B Ac qui s i t i on Oppor tun i ty Fund , and M i le H igh F lea M arke t .T h e 2 0 1 0 i n c o m e a n d t h e 2 0 1 0 y e a r e n d v a l u e s h o w n o n l i n e 4 0 , S e c t io n V I I i s t h e c o m b i n e d 2 0 1 0 i n c o m e a n d y e a r e n d v a l u e o f a l l th r e e c o m p o n e n t s . D u r in g20 10 M H B Ac qui s i t i on Oppor tun i ty Fund fu l ly ma tu red and a s o f t he end of 20 10 i t no l onge r ex i s t ed .D urin g 2010 o n var io us d a tes there w ere sa les o r wi thd rawals o f U .S. Treasury N o tes (Lin e 3 , Sec t io n V II ) in a to ta l amo u n t wi th in va lue L resul t in g in a year inva lue of N for t he rema in ing Treas ury Notes .M y 20 0 9 Re por t i nc or rec t ly repor t ed ove r r id ing roya l ty and roya l ty i n t e re s t s i n Arapahoe C ounty , C olorad o on l i ne 18 , Sec t ion VI I . Th i s 20 10 Rep or t c or rec t lys h o w s o n l i n e 1 8 , S e c t i o n V I I n o O R R I o r R I i n t e r e s t i n A r a p a h o e C o u n t y , C o l o r a d o . T h e o n l y m i n e r a l in t e r e st i n A r a p a h o e C o u n t y , C o l o r a d o i s a w o r k i n gin te res t as rep o r ted o n l in e 21, Sec t io n V II o f the 2009 Rep o r t an d th i s 2010 Rep o r t . D ur in g 2010 , n o in co me wa s rece ived f ro m the w el l in Arap aho e C o un tya l t hough JP F P L L C s t i l l owned an in t e re s t i n t he we l l a t t he end of 20 10 .My 2009 R ep o r t in co rrec t ly rep o r ted o n l in e 20 , Sec t io n V II wo rkin g in te res t s in ~ wel l s in Ad am s Co un ty , Co lo rad o . J PFP LL C ac tua l ly had in te res t s in N wellsi n A d a m s C o u n t y , C o l o r a d o . T h i s 2 0 1 0 R e p o r t h a s b e e n c o r r e c t e d t o s h o w ~ A d a m s C o u n t y w e l l s o n l i n e 2 0 , S e c ti o n V I I .


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FINANCIAL DISCLOSURE REPORTP a g e 8 o f 8

IX. CERTIFICATION.

Name o f Pe rson Report ingPARKER, JAMES A.


1 c e r t i fy t h 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 l u 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 , ff a n y ) i sa c c u r a t e , t r u 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 w i t h h e l d b e c a u s e i t m e t a p p l i c a 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 c l o s u r e .

I 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 i d e e m p l o y m e n t a n d h o n o r a r ia a n d t h e a c c e p t a n c e o f g i r l s w h i c h 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 c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature

N O T E : A N Y I N D IV I D U A L W H O K N O V C I N G L Y A N D W I L F U LL Y F A 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 I LA 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

james a parker financial disclosure report for 2010

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