james e gritzner financial disclosure report for 2009

8/3/2019 James E Gritzner Financial Disclosure Report for 2009

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" , ~ 0 ~ 0 " ~ . ~ 7 [ FINANCIAL DISCLOSURE REPORT t ~ e p o r t R e q u i r e d b y th e E t h l c sRev."l/2010. l in Government dct of1978" ... FOR CALENDAR YEAR 2009 ( 5 u . s . c , a p p . I 0 1 - 1 I 1 )

1. Per~nn Reporting (last n~m ac, f~rst, middle initial) 2. Court o r Organ lxa tion 3. Da te o f Rrp or~Gritzner, James E. U.S. District Court SDIA 05111/2010

1 4 . T i t l e ( A r t i c l e I I ~ j u d g e s i n d i c a t e a c t i . . . .e n i o r " s t a l u s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i ~ t e t y p e ) & P ~ - p o r t i - n g P ~ r ~ o dmagistrate judges indicate full- or part-time)[] Nomination, Darn 01/01/2009

Active [] Initial [] Annual [] Final to12/31/2009Sb. [] Amended Report

7. Chambers or Office Addr~$ & On t l~ basi l of the informat inn conta ined In th is Report ~tnd anymod ificat ions perta ining thereto, it I t , in my opinion , in complianceU.So Courthouse with appllc tble law; and reg ulat ions ,123 East Walnut StreetDes Moines, Iowa 50309 Revitwin g Officer Dzte

I M P O R T A N T N O T E S : T h e i r~ t ru c tl o n s a~companying thi~ form must be followed. Complete all 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 . C a e ~ , o n i ,, g individaM only; see pp. 9-1J offdlng instrac6ohs.)[] NONE (No reportable p osition.)

PO$~[TION NAM E OF ORGANIZATION/ENTITY

2.3.4.

5.

I I. A G R E E M E N T S . ~ e p o r , ; ~ g indl,,ldaal o.ty~ , ,e r r . U - ~ S o ~ . ~ i . ~ r ~ o , ~ o n ~ >NONE (No reportable agreements.)

DATE PARTIES AND TE~RM S1.


2/16

FINANCIAL D I S C L O S U R E R E P O R T IPage 2 of 16I Gri~:nrr, James E.

05/11~010

A. Filers Non-Investment Incom eNO~ ~o reportable non-inv~ent income.)

SO~C~ A~ ~PE ~o~, not spo uses )

2.3.4.

B . S p o u s c s. N o n - I n v e s tm c n t I n c o m e - If yau were anarried duri.g atty#amlan o]thc r*port~Ky~ar~ com~la~ t~ ~ctlom~ollar amount no~ required ~cept for honoraria.)

~ NONE ~o repotable non-investmen income.)~ S0~CE A~ ~PE

1.2.

3.4.

IV. REIMBURSEMENTS -(Includes those to s~us~ and d ependem children: see pp. 25-27 of filing ~st~ctions.)

N O N E (No reportable reimbursements.)~ ~ LOCA~ON P~OSE ~MS PAID OR PRO~ED

1.2.3.4.5.


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F I NA N C I AL D I S C L O S U R E R E P O R T I N a m e o r l e r~ o n R e p o r t i n g I D a ~ e o f R ~ p o r tIPage 3 of 16

NO~, ~oreportable

1.2.3.4.5.

[~ NONE (No reportable liabilities.)C R E D I T O R DES(~!tIPTION V AL U E C O D E

I.2.3.4.5.


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FINANCIAL DISCLOSURE REPORT N , m , o f P e r s o n R e p o r t i n g D , t e o f R e p o r tPage 4 o f 16 GrRzner, James E. 05/11/2010V I I . I N V E S T M E N T S a n d T R U S T S - ~ o , . ~ v ~ t ~ ~ . . . . , ~ o . ~ a n c l u d t r t h o s e Of Sp ...... d dependenthUd,~n: s e e p p . J 4 - 6 0 of fillng in~ructlon..)

NO~ ~o reportable income, ~sets, or w~sactio~.)A. B. C. D.Des~ption of~ In,me d~g G r o s s v ~ u a t ~ d T ~ n s a c ~ o n s d u ~ n g r ~ o ~ n g p ~ o d( including ~t ~se~) [ ~ning pcfi~ of r~n[ng period

O) (~ ) O) (~) O) (:) (3)PI~ "{X)" ~ each ~set Amo~l T ~ e ( e ~ g . , V alue V alue T~ (e.g., Da~ V~ Gain Id~ti~ ofexempt f~m p6or disclose C~e I ~v, r~ C o d e 2 M~ ~y, se~ m ~dM )~ C~e 2 C~e I buy~/sell~( A - H ) ~ int.) ( l - P ) C o d e 3 red~ti~) { J - P ) ( A - H } I (ifp6vaz

I . B ~ k e m g e A c c ~ # 1

2. -USB ~h Rese~ Fund A D i v i d e n d J

3 . " " - C o l u m b i a A ~ m T r . F d . A B D i v i d e d K T S o l d 3 / I ~ 0 9 Jom)4 . S o l d 9 / ~ 0 9 J

6 . - E u r o P a c G m ~ F d . C I . F A D i v i d e n d J T7 . - I s h ~ T r S & ~ 5 0 0 I n d e x A D i v i d e n d S o l d 3 / I ~ 0 9 K8 . - I s t ~ g l ~ G l o b a l F d A Di~d ~d J T9 . -I~ Asset S~e~ A D i v i d e d J T Buy 3 / 1 2 1 0 9 K1 0 . I~ #I D D i v i d e d N TI I . -USB LiquidAs~ Fd

1 2 . -Alliance Bernstein Intl Val A Sold 3 1 1 3 1 0 9 K1 3 . -All i ance Bems te in Srn~d V alue "

1 4 . -American Funds Capital World Growth &Inc.1 5 . -American Funds Euro Pac Growth Fd CI F

16. -Fidelity New Insights Fd A Buy 3/18/09 K( a d d l )1 7 . - F i d e l i t y A d v M i d c a p

(S~ Col~n C2) U ~Book Valae V =O~h~ W =~tima~d


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F IN A N C I AL D I S C L O S U R E R E P O R T s .... r P e r ~ n R e p o r t in g [ D~te ormpo.Page 5 of 1 6 Gritzner, J a m e s E , 0 5 / 1 1 / 2 0 1 0

N O N E ( N o reportable income, assets, or transactions.)A. B . C . D.

D e s c ~ p t i o n o f A s s e t~ 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 e p o r t i n g p ~ n i ~ 4( i r ~ 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 t o f f ,p o r t i n g p e r i o dCO (2) (1) (2) C l) (~) (3) ] (4) ( 5 )P l a c e (X)" a f t e r e a c h n _ ~ 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 ., Date , ValueI Gain I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c l o s u se C o d e 1 div., r~t, C o d e 2 M e th o d buy, sell, m r r V d d dy y [ C o d e 2 C o d e 1 b u y e r / s e l l e r( A - P 0 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 )

1 8 . -lst Eagle Global Fd B uy 3/18/09 K(addl)1 9 . -Franklin Templeton M ut Set Fd CI A

2 0 . -Franklin Va lue Invs Tr21. -M FS Ser Tr Ix Research A

2 2 . -Black Rock Global Allocation Fd K T B uy 3/13/09 K2 3 . B uy 3/18/09 K(addi)24. -Fidelity Strategielne B uy 3 1 1 8 / 0 9 K2 5 . -Loomls Sayles Bond B uy 3/16/09 K2 6 . -TCW Galileo Total Return Bond B uy 3/16/09 K

2 7 . IRA #2 A Dividend J T2 8 . -USB Cash Reserves Fd2 9 . -Agilent Technologies Inc. Sold 3/13/09 J30. -Aetrta Inc New B uy 3II1/09 J(add])31. Sold 3/13/09 J A3 2 . -AIG

3 3 . -Altria Sold 1/30/09 J A34. -Anglogold Sold 3/13/09 J

1. I n c o m e Gain Codt~: A ~$1,000 o! less B =$1,O01. ~2,500 C =S2,501 - S$ ,O00 D =$5,001 - SI 5,000 E =SI5,001 - g$0,O00(See Colum ns B I ~nd D4) F -$$ 0,0OI - $ 100,000 G ,~100,001 - $1 ,000,O00 H I =$1 ,000,001 - SS,00O,000 H2 ~M ort t.ban2. Val~Co6er. J = $ 1 $ ,00~ or less K -$15.001 - S~i0,000 L =S50.001 - S100,000 M =$100,00! -(See Columr~ CI and D3) N -$ 250,0~1 - $ 500,000 O =S5~0,00i - SI,O00,O00 PI =$ 1,00~,001 . S5 ,000 ,000 P2 =$5,000,001 .

P3 -$25,000,001 - SSO,000,000 P4 =Mo~ th=n $50 ,000 ,0003 , Vahm Method Coder Q -Apprti~l R "Cosl (Real Etaate Only) S ~A~rnent T ~Ct sh Market(See Colum~ C2) O ~Book \a]ue V =~lLher W -Xslimnted


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F IN A NC I A L D I S C L O S U R E R E P O R TPage 6 of 16

NO~ ~o reportable income, assets, or ~ansactions.)A. B. C. [ D,

D~pfion of As~ Inc~ d~g ~ ~lue ~t ~d~

T~s~6ons during r~o~ing period(including ~t asses) ~ing ~od of ~nlng p~od(1) ~ (2) o)

[ (2) !(1 ) -(2)[(3) (4)[ (5 )

Pla~ "(~" ~fi~ ~h ~set Amour T~e (e.g., V~a~ V~ue T~e (e.g., Date [ Val~e G~ Idcmi~ ~fex~pt ~om gi~ d i selo~re ~de 1 ~,, ~L C~e 2 Me~ buy. sell, m~ d ~ w Code 2 ~de I buys/seller~

(A~ [ o r i n L ) O - P )] C ~ e 3 ( ~

r~empfion)~ ( J - P ) (AH)I ~ s a c t i o a ) ( i f p f i v l t e

35. -AON ~ Sold 3/13/09 J A3 6 . -A~ehe ~ Sold 3/13/09 J37. -Bmk of~

38. -Ba~ck ~old Co~ Sold 1/6/09 J A ~m )Jg. - ~ld 3/13/09 J A~ 0 . -Burl ing~n Resou~es Inc.4 1~ -CBS Co~ New CIB~2. -Clear Chmnel 43. -~mc~ t Co~ CI A Sold 3/13/09 J~. -ComputerAssoc lntl Inc. Sold 3/13/~45. -ConocoPhillips Sold 3/13/09 J46 . -Count~ide47. -Delphi Co~

4 8 . -Diseove~HldgCo Set A49. -Dominion R~Inc VA New

" 5 0 . -E~ Resou~es Sold 3/13/09 J51 . -Fre~leS~iconductorB

I . I n c o m e G a i n C o d e s : A = S 1 , 0 0 0 ~ l e s s B = $ I , 0 0 1 - 5 2 ~ , 0 0 C = S 2 . S O I - $ 5 , 0 0 0 D " S S , 0 0 l - S 1 5 , 0 0 0 E = S 1 5 , 0 0 1 - 5 5 0 , 0 0 0

P3 ~ S 2 5 , 0 D O , ~ I - $ 5 0 , ~ , 0 ~ P4 =More I~n $50,~,0003. Value Me~ Co~s Q ~A~is~ R ~Co~ ~1 E~a~ ~ly} S ~A~s~t T ~sh M~rk~


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I~ a m e o f P e r s o n R e p o r t i n g I D a t e o f R e p o r tFINANCIALD I S C L O S U R E R E P O R T! Grit~ner, Jarae~ E.

Page 7 of 16 . osn~nol0

NO~ ~o reportable income, ~sets, or transaction.)Des~pfion of~se~ [ In .me d~ng G r o s s v a lu e a t e n d ]

T~n~act lons d~ng r~ng(including ~ ~s) ~po~ng ~ f i ~ of~ning(I) (2)~ (1), (2), (1 ) (2), (3), (4), (5 )Pla~ "(~" aft~ esch asset Amount T~e (~.g. , V~ue , Value T~ (e.~ , Date ] Value I Gain ~ lff=fi~ ofzx~pt ~om prior disclosu~ ~e I div., ~~ ] ~~2

Me~ b~, sel l m~d~ ] C~ 2 { Code I I buyzr/sd1~~ ( A - H ) ~

o r i n t . ) ( $ - P ) ~3 r~mption)~-~

(ifp~te

5 2 . -~nwo~ Finanf ia l CI A Sold 3 1 1 3 1 0 9 J5 3 . -Hall ibunoo Sold 3/13/09 J

5 4 . -H~ord F inl Svcs Group Sold 3/13/095 5 . -He~ Co~ ~ld 3/13/09 J5 6 . -Illinois Tools Sold 3/13/O9 J5 7 . - lngersol lRand Co LtdA Sold 3/13/09 J5 8 . -JPMorgan Chase& Co Sold 3/13!09 J59.. -Kerr-McGee Cotp

6 0 .-K im befly-ClarkCor~ Sold 3/13/09

6 1 ) -Kraf t Foods [ Sold 3/!3/09 J6 2 . -Liberty Media Corp A New

6 3 . -Lock.heed Martin Corp Sold 3/13/09 J A6 4 . -Loews Sold 3/13/09 J6 5 . -M GIC Invt Corp Sold 3/13/09 J6 6 . -Merck Sold 3/13/09 J6 7 . -MetLife

68 . -Microsoft Corp Sold 3/13/09 J

L Income Gain Codes: A o S I , O O 0 o r l e ss B - 5 1 , 0 0 1 . $ 2 , 5 1 ~ 0 C =$~,501 55,000 D =$5,001 - S15,000(S~ Columns BI and 134) F - S S 0 , O O 1 - S l O 0 , 0 0 0 G =SlO0,00! - $1,000,000 HI =$1,090,001 - ~$,000,000 t12 -Mort tl~n 55,000,0002. V alue Codes J -$15,000 or less K -$ 1 5 , 0 0 1 - $ 5 0 , 0 0 0 L =5 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 M =$100,001 - ~50,000(See Columns CI and D3) N = $ 2 5 0 , O 0 1 - 5 5 0 0 ,0 0 0 O -$500.001 - $1,000,000 P I = $ 1 , 0 0 0 , 0 0 1 - $ 5 0 0 0 . 0 0 0 P2 =15.000.00] - $25,000,000P 3 - $ 2 ~ . 0 0 0 , 0 0 1 - $ 5 0 , 0 0 0 , 0 0 0 P4 "Mort than $50.000,0003. V~lu Me thod Codes Q = A p p r a i sa l R =Cost (Real E[tat Onty) S - A . s s e d i m e n t " i t , = C a s h M a r k e t


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F I NA N C I AL D I S C L O S U R E R E P O R T N a ~ . e o f P e r s o n R e p o , r t i n gPage 8 o f 1 6 Gritzner, James E. 05/11/2010V I I . I N V E S T M E N T S a n d T R U S T S - ~ . . . . .. . t u ~ , . . . .. . ~ . s anclud~s those of spouse and dependent children; s e e p t x 3 4 - ~ 0 of filbrg instructions.)

N O N E ( N o 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 c o m e d u r i n g G r o s s " ~ a l u a t e n d T r a n s a z i J o n ~ d u r i n g r ~ p o r t i n g p e r i o d( including ~ ~ssets) L r e p o r t i n g p e r i c < l o f r e p o r t i n g p e r i o d{ 1) (2) ] (t) I (2) 0) I (2) O) (4) { 5)P l a c e " ( X ) " a ~ e r e a c h ~ s s , ~ t A m o u n t T y p e ( e .g . , I Valu~ [ Value T y p e ( e . g . , D a t e Value G ~ i n I d e n t i t y o f

e x e m p t fr o m p r i o r d i s c lo s u r e C o d e I d J v . , r e n t , ] C o d e 2 J. M e th o d buy, ~IL m r r d d d / ~ y C o d e 2 C o d e I buyer/sell~( A - H ) o ~ a n t . ) ( I - 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 t a n s a c t i o s )

6 9 . -Motorola Incorporated Bu y 2/13/09(addI)7 0 . Sold 3/t3/09 J

71 . -Noble Energy Inc. Sold 3 1 1 3 / 0 9 J A7 2 . -Northrup Grumm an Corp

7 3 . -NGR Energy Sold 3/13/09 J7 4 . -Philip Morris Sold 3/13/09 J7 5 . -Pitney Bowes lnc Sold 3/13/09 J7 6 . -Posco Sports Adr

7 7 . -Raytheon Co New Sold 3/13/09 J A7 8 . -Rio Tinto Pie Spons Adr

7 " 9 . -Safewa Inc Nev~ "

8 0 . -Sanofi-Aventis Sold 3/13/09 J8 I. -Talisman Sold 3/13/098 2 . -Transocean

8 3- -Union Pacific Corp Sold 3/13/09~ 4 . -US Steel Sold 3 1 1 3 1 0 98 5 . -V iacom /no CI B Sold 3f13/09

(~e Colons BI aod D4) F -$50,~1 - $100,000 G "S 100,~1 - SI,000,~ H1 "S],0~,~l - $5,~,~0 ~Mo~ ~an 55,0~,~

(Sre ~ C2) U = Book Value V ~er W =E~ima~d


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FINANCIAL DISCLOSURE REPORT ~=~o~P~,~o. Reporting I Dateof ReprsrtPage 9 of 1 6 G r i~ . e r , J a m e s E. ] 0 5 / 1 1 / 2 0 1 0V I I. I N V E S T M E N T S a n d T R U S T S - Z,~o,~ , , t=~ ~ ,alo, , a , ct~a,s ~ o, , o: ,: .. .. .. a dtptMent childre~"

NO~ ~o reportable income, ~se~, or ~amactiot~.)A. B. C. D.

D~dpfi~ efAs~ lathe d~ng ~s value at cad T~sa~ons d~ng(~udiag ~st asse~) ~poa iag p~od of ~ng p~odO) (2) O) (2 ) O) ( 2 ) (3) (4) ( ~ )P l a c e " ( X ~ " t fi ~ e a c h ~ s e t . Amour T~e (e.g., V~ue V~ue T~ (e.g. , D a t eexempt ~om ~or di~to~e ~e 1 a l l y . , ~ a k Co~ 2 M~hod b~y, sell ~d~(A-~

~o r i n t . ) ( J - P ) C~(Q.W)3

~ d e m p t i o n )

8 6 . I~ #3 A ~dend J T8 7 . -USB C~h Res~es Fund

8 8 . -Abbott Labs Sold 3/13/09

89 . -Aflac lnc

90. ~AMEX Sold 3/13/09

9 1 . -Amgen lnc9 2 . -Anheuser Busch Cos Inc

93. -AON Corp

9 4 . -Apache Sold 3/13/09 J

95 . -Apple Computer Sold 3 1 1 3 / 0 9 J

96. -ArcherDanielsMidland Sold 3/13t09 1

9 7 . -Baker Hughes lnc Sold 1/30/09 J98 . -BankofNew York99. -Baxter Intl Sold 3 / 1 3 1 0 9 J A1 0 0 . -Bed Bath & Beyond lne

1 0 1 . -BHP B ill iton Sold 3/13/09 J

!02. -Carnival Corp

I. lr~come Gain Cod~: C =$2,501 - $.~,000 D-SS,O01 - $15,000 E-S15,001- $50,000P3 "S25,~,~1 - S~ O ,~ ,~ P4 - M ~ e ff~n S50,~,000


10/16

I~ a ~ n e o f P e r s o n R e p o r t i n g D a t e o fFINANCIAL DISCLOSURE REPORT ~ Gr~er, J~ E.Page 10 of 16VII. ~S~NTS and TRUSTS - ~o,~, ,,t~,,, .... ao~ (l~lud~ those of s~ ...... ~ dtp~de~ ~adr,~ s te e p . 3 4 ~ 0 of fillng ~struaions.)

N O N E ~ o reportable income, assets, or ~actio~.)A . B . C . D.~pfion of As~ I~mr d~ng G~ss value at end T~nsacf ions dur ing r~ng p~(including ~st assc~) ~ ~ of re~ng

0) (~) (]) ( ~ ) ( ] ) (:) [ (3) (4) ~ ( 5 )Pla~ "~)" after ~ asset ~o~t T~e (e.g., V~ue Value T)~ (e.g., D~e I Value Gain Id~t[~ ofex=ptf~mp~ordi~io~ C~,1 div. ,=L [ ~d2 M~d b u y , s e l l , m~,(J-pCde)2 Code l buyc~sell~(A-~ ~ ira.) ~ ( J - P ) ~ 3 ~ption) (A-~ (ifp~vate

103. -~[g~n~ Sold 3/13/09104. -Chi~s F~}05. -Ci~ Sys tems ln Sold 3/13/09 J106 . -Cimdd B road~fng107. -Cifigroup lnc108 . -Coach Sold 3/13/09 J{~)9. -~_,olgate-~almoiive co

I 10. -Costco Whsl

111. -Danaher112. -Davita Ine113. -Disney W alt Company Sold 3 / 1 3 1 0 9 J114. -Electronic Arts Sold 2/4/09 J115. -EMC Corp116 . -Emerson Ele~c Co Sold 3/13/09 J117. -First Data Corp

1 8. -Gannett Co In A119. -Genentech Sold 3/13/09 J A


11/16

FINANCIAL DISCLOSURE REPORT [ ~ , m . o r r .r s o . R e p o ~ l . g D , t. o t R . o o r tPage 11 o f 16i G r l t z n e r , J a m e s E .

05/11/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~ e o ., ., ~ .~ , , transactions (Includes those of :il~oa, e and dependent ch(ldren s,ce t~p. 3,l-60 of.Fdlng instructloas.)N O N E [ T V o reportable income, a ssets, or transactions.)

A. | B. C. D.De.~:ziption of Ass:l.

IIncom~ during Gross value al end Tran sacs.ions during reponirtg period

(including tna~t assets) re po rtin g p erio d o f re po rtin g p erio dPI~e "(X)" aftex each asset Amount Type (e.g., Va lue [ Va lue Type (e .g. , Date [ Value Gain ldcmity ofCode I mm/dd!yy Code 2 Code 1 buyer/sellerexem pt from prio r d~ sc losure div., ren t, Code 2 Method buy, sell ,(A-H) or int.) 0-P) Code 3 redemption) (l-P) (A-H) (if private(Q-W) lxansaction)

120. -General Electric Co Sold 3/13/09 J

121. -C.rileadSeienees Sold !/30/09 J~ p a r t )122. Sold 3/13/09 J A123, -Goldman Sachs

124. -Harley Davidson Inc125. -Hone~vell Intl Inc126. -Illinois Tool Wo rks In

127. -Intel Corp Sold 3/13/09 J128. -Intl Business Mach Corp S o l d 3 1 1 3 1 0 9 J!29. -ITI" Corp Sold 3 / 1 3 1 0 9 J130. -Johnson&Johnson131. -Kohls Corp Sold 3 / 1 3 1 0 9 J132. -Lauder Estee Sold 3/13/09 J133. -Lilly Eli & Co.134. -LinearTechnologyGroup135. -Lowes Comp anies Inc136. -M BNA Corp


12/16

FINANCIAL DISCLOSURE R EPOR T r ~ a . , , o f r ~ r a o n R ~ p o , ~ . g IPage 12 of 16 Gri~n~, Jarues E, ~ 05/1 la010

V II. INV ESTM ENTS and TRUSTS - ~ .... ~ valu~ t . . .. aon~ (l~clud~ those of sp ...... d drp~ent ch~n; ~ee pp. 34-60 of fiHng ~gru~ion~.)NONE ~o reportable income, assets, or tra~actiot~.)

~. ~. ] c. 1De~ption of As~ts I n c o m e d u r in g Gross va!~ at ~d~ T~n~acti~$ during r~o~ing p~( inc luding ~ ~e~) . rep~ing per[~ ef r~ning p~~0) (~) ~ O) (~) (i) (2) (3) (~) (~ )

~x~mpt f~m ~or di$~los~ div., ~ ~ o d = 2 ~od b ~ y , s e l l , ~d~ Cod~ 2 Code 1(~.w) i ~ ~o~)

137. -M~w Hill ~ld 3/13/09

138. -Medc~ H~I~ Solut ions139. -Medtronic In,"140, -Microsoft Corp Sold 3/13/09 3

141. -M onsanto Sold 3 / 1 3 1 0 9 J

142. -Nike lnc Sold 3/13/09 J143f -Nokia Corp Sold 3/13/09

144. -Nonhero Trust145. -Omnicom Group Inc146. -Oracle Corp Sold 3/13/09 J

147. -Pepsico Incorporated Sold 3 / 1 3 1 0 9 J

148. -Pfizer Incorporated149. -Proctor & Gam ble Sold 3/13/09150. -Qualcomm Ine Sold 3!13/09 J

151. -Rockwell Automation Sold 3 / 1 3 1 0 9 J152. -SLM Corp153. -Staples

I. Income Gain Cod~: A ~ 1,000 ol te~s B =SI.001 - $2,500 C -$~-,501 - $5,000 D -$5,00] - S15.000 E =S 15.001 $50,000

3. V~lue Mff, o,~ Codes Q =A!~prai~l R =Co~t (Real Esta le Only) $ =Ass~smem T ==Cash Market


13/16

FINANCIAL DISCLOSURE REPORT ~ .... t r e , ~ o n ~ t , p 0 ~ t i .gPage 13. of 16 Grinner, Jam~ E. 05/11~010V I I . ~ V E S T M E N T S a n d T R u s T s - i .~ . . , ~ . z ~ . ,, . .. . ,~, (Includes those oys~ ..... d de,,dent children; st rP. 34-60 of filing inr~uction~.)

NONE ~o reportable income, assets, or ~ansactionsOA. B. C. D.Des~iptlon of As~ ~come d~ng ~os~ vd~ tt end

exempt ~om prior disc[o~ C~e 1 [ div., ~n~ C o d e 2 M e th o d b~, ~ell, m~d~ Co~ 2 ~e 1 b~/sell~(A-~ o r i n t . ) 0-P) C~e 3 ~fi~) ( J - P ) ( A - H ) ( i f p r i v a t e

I ~54. -S~rbueks~on

155. -S~te" Slreet Sold 3 / 1 3 1 0 9 J156. -Stryker Corp157. -Sysco Corporation58. -Target Corp

159. -Textron Sold 2/4/09 J160. -Thermo Fisher Sold 3/13/09 J161. -Total SA Spons ADR Sold 3/13/09 J1 6 2 . -UPS

1 6 3 . -United Technologies C o r p Sold 3/13!09 J1 6 4 . -United Health Group Inc

1 6 5 . -W~lgreen "Sold 3/13/09 J1 6 6 . -XTO Energy Sold 3 / 1 3 1 0 9 J

1 6 7 , -Zimmer Holdings Ine Sold 2 / 9 1 0 9 J" 1 " ~ 8 . -Zions Banc~rp

1 6 9 . -St. Jude M edical B uy 2 - / 9 1 0 9 J1 7 0 . Sold 3 ! 1 3 1 0 9 J

3, Va~e M~d Codes Q -~prals~ R -C~I ~1 ~za~t ~) S -Ass~m~ T ~h M~k~


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Ia m o f P e r so n R e p o ~ l n l / D ~ t e o f R e p o r tFINANCIAL DISCLOSURE REPORT,1, Gritzner, James E. 05111/2010Page 14 of 16V I I . I N V E S T M E N T S a n d T R U S T S - i , . . . . . . . t~ tr .... dons (Include, those of silo ..... d dependent children; see rp. 3d-60 of f cling instructions.)

N O N E ( N o reportable income, a ssets, or transactions.)A. B. C . D.

[k-scrip,.ion of Assets I n c o m e d u r i n g Gros~ vzlu~ ~t cn~i T r a n s a ~ t i o , ~ d u r ~ g r e p o r t i n g p r r i o d(ino, cling lr~! assets)r g p o r d n g ; ~ T i o d of lgpoi~3ng p~lJod

e x e m p t f r o m p r i o r d i s c l o s u r e Code I 1 d i v . , r e n t , C o d e 2 M e th o d b u y , s e l l , C o d e 1 buyer/seller( A - H ) o r i n t . ) ( I - P ) C o d e 3 r e d e m p t i o n ) ( A - H ) ( i f p r i v a t eI ( Q - W ) . t r a n g a e t l o n )

171. -Union Pacif ic B uy 2/24/09 J1 7 2 . Sold 3 1 1 3 / 0 9 J

173. -Western Union B uy 1 / 3 0 1 0 9 J] 7 4 . " Sold 3 1 1 3 1 0 9 J175. Brokerage Acct. #2 D Dividend M T

I7 6 . Bank Dep Acct A Dividend J T177 . -GE Money Bank CD A Interest Redeemed 4 , " 2 / 0 9 K

178 . -Compass Bank CD B Interest Redeemed 6/24/09 K179. -Goldman Sachs CD A Interest Redeemed 7/8/2009 K180. -Capital One CD A Interest Redeemed 1 0 1 8 / 2 0 0 K181, -Legg Mason Short Duration M uni Income A Dividend L T Sold 8 / 2 6 1 0 9 J AFd (pro)182. -Legg Mason Intermediate Term Fd A Dividend K T183. West Des Mo lnes State Bank A Interest K T

1. lneome Gain Code~: A -$1,000 or le~ B -$1 ,001 -$2 ,500 C =$2,501 S~,000 D -SS,00I - SI$ , 000 E =Sl$ ,001 - S50 ,0~

~. Vt~ Mz~od Code~ Q -Ap~aisfl R ~st (R~I 5tart One) S -~s~t T ~sh Ma:k~


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FINANCIAL DISCLOSURE REPORT ] ~ . m ~ o ~ V ~ , ~ o . R , p o , ~ i n gPage 15 of 16 ] ~ , - i m , e , - , s , , ,, , ~ E .o s / ~ l n o ~ o

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. a, ,~a,,~,u,,


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N a m e o f P e r~ o a R e p o r t i n g ] D a t e o f R e p o r tINANCIAL DISCLOSURE R E P O R T JPage 16 o f 16 Gritzner, James E. 05/11/2010IX. CERTIFICATION.

[ certify that all information given above ( including information pertaining to my spouse and m inor or dependent children, if any) isaccurate, t rue, and complete to the be~t of my knowledge and bel lef, and that any information not reported was withheld because i t met appl icable s tatutoryprovisions permitting non-disclosure.I further cert ify that earned income from outside em ployment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions o f 5 U.$.C. app. 501 et. seq., 5 U.S,C. 7353, and Judicial Conference regulations.

$ig _ _

N O T E : ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FA ,qV1LAND CP, JMI~AL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSM ail s igned or iginal and 3 addi t ional copies to :

Comm it tee on Financial DisclosureAdm inistrat ive Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.W ashington, D.C. 20544

james e gritzner financial disclosure report for 2009

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