FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

I, Pecan Reporting (last name, first, middle initial) Schreier, Karen E. 4. Title IArticle II1 judges indicate active or savior status; magistrate judges indicate full- or part-time) U.S. District Judge - Active 2. Cou ~ or Organization U.S. District Court, South Dak Sa. Report "r~e (check appropriate type) ] Nomination, [] Ini~ial Dare ~l"if] Annual [] Final

Report Required hy the Elhics

in Goventment Act of 1978

3. Date of Report 05!10/2010 6. Reporting Period 01/01/2(h09 to 12/31/2009

5h. [] Amended R~por~ 7. Chamber~ or Office Address United States District Court 400 S. Phillips Avenue, Rm. 233 Sioux Falls. SD 57104 8. On the basis of the Information contnlned in this Reporl and any mc~lffic~ations p~riaining thereto, it ix, in my opinion. In compliance wilh applicable taws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The in, tractions accompanying thief arm mast be followe,! Complete all parts, checking the NONE box f!~r each part where you have no reportable information~ Sign an Icat page.

[~

NONE (No reportable positions.)

POSITION
I. Member Board of Directors

NAME OF ORGANIZATION/ENTITY
YMCA of Rapid City

2. 3. 4.

President Member Board of Directors Member Board of Directors

Eighth Circuit District Judges Association South Dakota Childrens |lame Society, Federal Judges Association

I i. AGREEMENTS. (~o.~g i.d;~..to.~y: ~p~ t~-~ o~f~ ln~truction~)

NONE (No reportable agreements,) PARTIES AND TERMS
I.

Schrerier, Karen E.

FINANCIAL DISCLOSURE REPORT

Nameoteer~on Reportlng

Page 2 of 13

Schreier. Karen E.

05/10,2010

II1. NON-INVESTMENT INCOME. ~s,~o,.i.~ ~i.~,~ o,~ ~p ....

A. Filers Non-Investment Income NONE (No reportable non-investment income.)

: xee pp. 17-24 offing

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.)

NONE (No reportable non-investment income.) SOURCg AN~ TYPE I. 2Nt9 Serf-employed

2. 3. 4.

IV. REIMBURSEMENTS (Includes those to spouse and dependent chihlren: see pp. 25-27 offiling instrutions.)

--]

NONE (No reportable reimbursements.) SOURCI] DATES 10/17/09 to 10/19/09 LOCATION Washington, DC PURPOSE co-teach semi~uar on testifying ir~ court ITEMS PAID OR PROVID~EI) hotel, airline, and per diem

I.

American Academy of Pediatrics

3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 3 of 1 3

Name of Pelion Reporting

Date ol Reporl

Schreier, ~:.~e,, t.

05,~0/20~ 0

[~

NONE (No reportable g~s.) SOURCE DESCRIPTION VALUE

3. 4.

5.

VI. LIABILITIES. a,a~a,~

NONE (No reportable liabilities.)

~REDITOR
I.
2.

~)ESCRIPTION

VALUE CODE

3.
4. 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 13

[ Name of Pers~on Repol-fing

] Schreier, Korea E.

Date of Report 05110/2010

V! I. INV ESTM ENTS and TRUSTS - i, co,~e. ~a~e. ~,~,,~a~,n, a~t~a~ tso.~, oy~ .....
~ NONE (No reportable income, .~sets. or transactions.)

~ doen~m ch~dren; set p~ 3~60 of fdlng inxtru~)

........... ~. .............. ~ ....

~smpl~n of As~L~ (i~luding t~ asses) Pla~"(X)"afl~ch~el exemp~ ~am prior disck~ure A~unt C~e I

~.-Ty~(e.g., ~v., rent,

-~
~ Value i C~ 2

c.
Gr~s valae at e~ of ~mng ~fi~ ~ Valne Met~ ]

~ ............
, ,.

-0. ...............
"lran~fions d~ng m~ning ~i~

Income d~ng m~ing ~

~0) " ~2)

~ o> ~ (2)

O~
T~(e.g.,
buy, ~ll,

~2~ [ o~ ~ (4)
: Date Value Gain ~m~d~~ C~ 2 : C~te I ~

~s~ .........
ldenfi~of buycr,"~ller ~macfion)

I. 2. 3. 4. : 5. 6. 7. 8. 9 I0. II. 12. 13. 14. 15. 16. 17.

BROKE~GE ACCOL~ #I T. Rowe Pdcc -EQUITY INCOME FUND -GROWTII STOCK FUND -NEW IIORIZONS FUND -SCIENCE AND TECI INOL(K-IY HJND -VALUE FUND IRA ACCOUNT #1 UBS Financial Services -UBS BANK USA DEP ACoCT -UBS PACE MONEY MARKET IRA ACCOUNT#I RBC Wealth Management -Prime Muney Market Fund A Inter~.-t J T Buy Buy (addl) Buy laddl) -PACIF1CLIFE FDS -AMERICAN FUNDS GROWTH FUN[) OF AMERICA CL F -EATON VANCE LARGE CAP VALUE FUND CLASS A -FIDELITY ADVISOR LEVERAGED CO STOCK I:UND CL A B A A A lnt.!Div. lnt.,q)iv. Int.!Div. Int./Div. L T Buy Sold Sold Sold 01/15/09 03/24/09 10/30/09 11/06t09 11/06/09 11/05/09 11/05,"09 J J J L J J J A None lntcrest A A A A Dividend Dividend Dividend None Dividend K K L K K T T T T T Closed Sold Sold 01113,09 01!13/09 01/13/09 J J

PageFINANCIAL5 of 13 DISCLOS~ REPORT [ Sehreier, ~I. I~ ESTME NTS and TR U STS - i.~o~, ~, ~ ....

....f IN Pc--*. acpo,~.g Karen E. 1 ~.~ a.~ ,ho.~ q.~ ,~ a~ ~hU~.: c.

Gr~s value at end of ~ing ~ Value C~e 2 (J-P) ! Value Met~ C~e 3 "1"~ (e.g., buy, ~11, re~m~ion)

D,t, of ae~,t 05110~010 [

~
.........

N ONE (No reportable incotne, assets, or transactions.)

k~ ............
~scfpfion of As~ (~cluding ~st a~L~) Place "(X)" afi~ ~ch ~t xempl from pn~ di~l~u~

Income during ~ ~ning ~n~ ~An~t ~ C~ I (A-H)

~ .....

" ...............

~ ................

lr~etions during ~ing

T~ (.g, div., rmt, or in~.)

~ Date m~d&~ ~ C~ 2 C~ ! (I-P) (A-H) ]

buyeff~lter (if ~vate

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

-OPPENHEIMER MAIN STREET SMALL CAP FUND A -TIIORNBURG INT. VALUE ~IND CL A -DELAWARE DIVERSIFIED INCOME FUND CL A -FTI-EMPLETON GLOBAL BOND A --LOOMIS SAYLES STRATEGIC INC. FUND CLASS A NEW YORK LIFE INSURANCE CO.ANNtJITY NEW YORK LIFE UNIVERSAL LIFE POLICY LINCOLN FINANCIAL GROUP UNIVERSAL LIFE INS. POLICY JEFFERSON NATIONAL UNIVERSAL LIFE INS. POLICY TRAVELERS LIFE & ANNUITY UNIVERSAL LIFE INS. POLICY COMMUNITY HEALTH LTD.(2/3 UNIT) IIOME FEDERAL BANK ACCOUNI FIRSI" DAKOTAflTLE INS. LTD. PTR. t I UNIT) BROKERAGE ACCOUNT #2 -TAMARACK PRIME MONEY MKT FD -ALLIANCE BERNSTEIN MIDCAP GROWTH FUND CL C -ALTRIA GROUP INC. COMMON

A A A A A A A A A A B A E

Int.iDiv. Int./Div. Int.!I)iv. lnt.iDiv. Int./Div, Interest Dividend Dividend Dividend Dividend Distribution Interest Distribution K K J J J J K M T T T T T W T T

Sold Sold Sold Staid Sold

11105/09 I I105109 11/05/09 1 I105109 11/05/99 J .I J J

A A A

Interest Dividend Dividend

J J J

T T T

FINAI~CIAL DISCLOSURE REPORT Page 6 of 13

N .... fPerson Reporting Sehreier, Kate. E.

Date fRelmr~

0~/t0/20~O

VI I. INVESTMENTS and TRUSTS - i.~o~ ~, ~,..~ a~a,~,~o~,

~ NONE (No reportable income, ~sets, or transactions.) ~s~pti~i of As~s (inctuding~sl~sc~) Ph~ "(X)" afl~ ~ch ~set exempt f~m prior discl~u~ ............. ~ ...... 35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47.
48.

] !

Income d~ng . ~ging~ 1"~ (e.g., div., ~t. orintJ : ........... Dividend Non~ A A A A Dividend Dividend Dividend Dividend None A Dividend None A A A A Dividend Dividend Dividend Dividend
None

Gr~ value at end of~ing~fi~ V~ue C~ 2 (J-P) Value Ty~ (e.g., Meth~ ~y, ~ll, ~mpfion) Ct~e 3 (Q_~ ..... T T T T T T T T T T T T T
T

lran~ctions d~ng r~ing

Amount ~ C~ I ](A-~

Date , Value ~ G~n mn~d&t~ ~ C~ 2 C~ 1

~ O-P) (A-H)

~ .........

. ~ ~

Identity oF ~yeri~ller 0fpfivate transaction,

-BURLINGTON NORTHERN-SANTA FE COM NION -CISCOSYSTEMS INC. CONIMON -CI/IGROUP INC. COMMON -COCA-COLA COMPANY COMMON -COLGATE-PALMOLIVE COMPANY COM MON -DREYFUS S&P500 INDEX FUND -EMC CORP. MASS COMMON -GENERAL ELECTRIC COMPANY COMMON -HANESBR.A.NDS INC. COMMON -tlOME DEPOT INC. COMMON -ING INDEX PLUS MIDCAP FUND CL A ING INDEX PLUS SMALLCAP FUND CLA -IN-IELCORPORATION COMMON
-KOPIN CORP (OMMON

K J J J J K J J J J J 3 J
J

Buy

09/02/09

49. 50. 51.

-K~XVF FOODS INC CL A -MEDTRON1C IN(?. COMMON -MERCK & CO. INC. COMMON

A A A

Dividend Dividend Dividend

J K J

T T T

FINANCIAL DISCLOSURE REPORT Page 7 of 13 VII. INVESTMENTS and TRUSTS ~

~.me o~e,~on R~po,i,~

Schreier, Karen E.

Duteofa~po.
05/10/2010

NONE (No reportable income, ~sets, or transactions.)

0.- .............
~ption of Assets (including ~st ~e~s) Plac(XJafl=~ch~set e~mpt from prior d~scfosum [ Income du~ng ~ing ~d~ Gross val~ al end of ~ing ~ri~ Vaiue (~e 2 O-P) ] Val~ Meth~ C~e~ Ty~te.g., buy. sell [ r~emption~ Tm~tions d~ng ~ing A~ont T>~(e.g, [ C~e I ; div., r~L (A-H) t o, int) Id=tityof ~yer,~eller 0forivate

Date VMue ~ G~n j ] m~d~ C~e 2 J C~e I ~ (A-It) ] ~ O-P)

52. 53. 54. 55.

56.

-MICROSOFTCORPCOMbION -PEPSICO INCORPORATED COMMON -PFIZER 1NC. COMMON -PIIILIP MORRIS INTL IN(;. COMMON
-PROCTOR & GAMBLE CO. COMMON

A A A B
A

Dividend Dividend Dividend Dividend

Dividend

K J J K
J

T T T T
T

57. 58. 59. 60. 61. 62. 63. (,4. 65. 66. 67. 68.

-REGIONAL BK HOLDRSTR DEPOSITARY RCPT -SARA LEECORP. COMMON -3MCOMPANY COMMON -TIME WARNER CABLE INC COMMON -TIME WARNER INC. NEW COMMON -VAN ECK FUNDS GLOBAL HARD ASSETS FUND CI. C -WALGREEN CO COMMON -WALT DISNEY UO (I IOLI)IN(I CO) COMNION -BPPLC SPONS ADR COMMON -COVIDIEN PLC COMMON (X) -AMERICAN FUNDS EURO PACIFIC GROWF|I FD CL A -TYCO ELECTRONICS I,TDCOMMON

A A A A A

Dividend Dividend Dividend Dividend Dividend None

J J J ] J J J J J J K J

Buy

09102/09

T T T T T T T T T T Buy 09102/09 J Spinoff (frotn line 61 ) 03/30/09 J

A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend

FINANCIAL DISCLOSURE REPORT

N,=e of Person Rtpo~ling Schreier,

Page 8 of 13
Vll. INVESTM ENTS and TRUSTS ~

Karen E.

Date of Repo~

OMIOi2010

NONE (No reportable income, assets, or transactions.)

........ ~7 ..............
~cfiplion of A~ts (incl~ing ~st .sets) Pla~"(X)"afl~ch~et exempt from prior di~losure

~7
In.me d~ing [_. r~ ~t ......

Gr~s va~e at end of~ng ~fi~

d ......................... i ,
Ty~(e.g., buy, ~11, ~e~ion~

D. ................
T~n~ctions d~ng ~i~g ~r~

~,~
(A-H)

~2~ .....
or int.)

A~t/ Ty~te.g.,

Value [ Value C~e 2 Me~ (J-I) C~e 3 ((~W) J J J J J J J J J J K J J J J T T T T T T T T T T T T 1" T T

[ Date Value [ Gain nm~d~ " C~e 2 [ C~e I [ (J-l) ~ (A-10 , :

ld~tlwof bu~r~scll~ (if private ~s~don)

69. 70. 71. 72. 73. 74. 75. 76. 77. 78. ~9. 80. 81, 82. 83. 84. 85,

-TYCOINTL LTDNEW COMMON -ALLIANCE BERNSTEIN GLOBAL BOND FUND INC CL A -PIMCO FDS tti YLD CL C -NUVEEN FLAGSHIP ALL-AMERICAN MUNICIPAL BOND FUND CL A -THORNBURG LTDTERM MUNICIPAL FUND CL A -PHOENIX GO AZ BOND -CAIILTtl FAC. REV. BOND -WA ST. COLL SVGS BDS. 93 WA -SODAK ST. BLD. ATH LES. REV. AMBAC BOND -MARICOPA CO. IDA SFM ElM AZ BOND -DESCIIUTES & JEFFERSON CNTYS OR SD fl)2J -EAST SIDE UHSD CALIF. BOND -YUBA CITY CAL. UNI. SCIIOOL I)IST. B()NI) -RYDEX SER FDS JL,rNO FD CL C -LINCOLN NATL LIFE AMER. ANNUITY IRA ACCOUNT #2 RBC WEALTII MANAGEMENT -TAMARACK PRIME MONEY MKT FD

A A A A A

Dividend lnt,!Div. Dividend Interest Interest None None None None None None None None None

Interest

Interest

FINA]~CIAL DISCLOSURE REPORT

Name of Pers~n Reporting [ Schreier, Karen E.

Date of Report

Page 9 of 13

o5/!o~01o

NONE (No reportable income, ~secs, or transactions.) D~ion of A~e~ (including ~st a~ets) Place "IX)" after ~ch ~set

te~ing

86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.

-EATON VANCE LARGECAP VALUE FUND CL A -~ERICAN ~INDS GRO~H ~ND CLASS F -AMERICAN FUNDS EURO PACIFIC GR()~H ~IND CL A -OPPENHEIMER MAIN STRE~ SMALL CAP FUND A -R SVALUE FUND CL A -DELAWARE DIVERSIFIED INCOME FUND CL A -EATON VANCE GLOBAL MACRO ABSOLUTE RETURN FUND CL I -FTTEMPLETON GLOBAL BOND A -LOOMIS SAYLES STRATEGIC INCOME FUND CL A -FICO STRIPS SERIES E BOND -USTREAS. SEC. STRPD. BOND -FI1R 21 21-Z f/k/a FEDL. HOME LOAN MTG. CORP. BOND BROKERAGE ACCOUNT #3 UBS ACCOUNT -UBS PACE MONEY MARKET INVESIMENT FUND CLASS P

A A A A A A A A A

Dividend Dividend Dividend Dividend Dividend Dividend Interest Interesl Dividend None None

J K K J J J J J J J K J

T T

T T T T T T T T T Closed 03/12/09 3712/09 03/12/O9 3 J Buy !09/02/09 J

Interest

A A

Int,iDiv. IntJDiv.

Sold Sold

100, -UBS DEPOSIT ACCOUNT I01. BROKERAGE ACCOUNT #3 RBC WEALT|t MANAGEMENT 102. -GALENA PARK IND. BOND

None

FINANCIAL DISCLOSURE REPORT

S~hreier, ~ ~

Name of Person Rep~r~ag

Date of Report

Page 1 0 of 1 3 I VII. INVESTMENTS and TRUSTS -~, ......

~

o~/~0/20m a,,. trans~o~ and~ ~o.~ of s~u,~ a~ ~ c~n; set pp 34~0 of fang ~t,~a~)

NONE (No r~Torlable income, assets, or transactions.) A. D~fipfioa of As~ts Phc "(X)~ aft~ ~ch ~t exempt f~m prior ~i~los~ B. Income d~ng ~ A~nt Ty~ (e.g., C~ 1 [ div., rent, (A-H} orinl,) ~1 G~s value at~d [ ~ T~ (e.g., , bu~, ~11, ] ~m~ion) g~ctions during ~ing ~ri~

Value C~e 2
(J-P)

V~u M~ ~ C~e3

Date m~d~yy

Val~ C~ 2
(J-P)

Gain ~I~ (A-If) ~

ld~ti~ of buyer~scll~ (if~i~rate

103. -CLAUKMUS & WASIIINGTON SERV A BOND I~. -SOUTllERN MN MUN P~ AGY SUPPLY BOND 105. - PRIgIE MO~Y MARKET FLeD 106. FIRST NATIONAl_ BANK ~ SIOUX FALLS ACCOUNI ] 07. FIRST NATIONAL BANK IN SIOUX EALLS ACCOUNT 108. IX)UGItERTY & ~UGitERTY LLP D A

None None Interest None None Interest

K K J L J M

T T T T T W ~n 03/13/~ J

109. DISCOVER BANK ACCOUNT

110. BROKERAGE ACCOUNT #4 11, -C II ROBINSON WORLDWIDE INC. COIMMON 12. -EATON VANCE NAT MUN COMMON 13. -MDRNA INC f!k!a NASTECI.t PI IARMACEUTICAL CO. INC COMMON
r 14. -SPE(TTRASCIENCE COMMON

Interest

A A

Dividend Dividend None None

J J J J J K K K K

T T T T "I T T T T Buy Redeemed I 1/23/09 07/22/09 K J Buy 5/29/09 J

15. -US BANCORP DEL COMMON 16. -TI.ISCARAWAS CNTY OHIO ttOSP REV BOND 17. -MERRILL LYNCII 7 CO INC COPORATE BOND 18. -BANK AMER CORP BOND 19. -JPMORGAN C! IASE BK NEW YORK, NY CD

A A A A A

Dividend lntercst Interest Interest Interest

t. [ncotne Gain (;udc.s.

A ~$1JYO0

FINANCIAL DISCLOSURE REPORT Page 11 of 13 VII. INVESTMENTS and TRUSTS -i. .....
~

S~h~ei~, ~ ~.

OS~O/~O~ 0

NONE (No reportable income, ~vsets, or oansactions.)

............. A~ .......
D~ri~ion of A~ (mcl~ing ~ ~e~) Place "(X)" afl~ ~ch ~et excm~frompfiord~closu~

B.
In.me during . ~ning ped~ ~ A~unl Tylm (e.g., ~C~el ~ div. mt

c.
~ Gr~s value at end Tmn~tions during re~ing ~i~

Xalue C~e2

[Value , ] Mc~

Ty~ (e g., buy.~ll,

i Date Val~ :m~d~t~ C~2

Gain , C~el

Identity of buyer/~ller

120. -WELLS FARGO BK HA CD

121. DOUGllERTY & COMPANY LLC MM ACCOUNT 122.

A
A

Interest
Interest

J
J

T
T

Buy

07131/09

FINANCIAL DISCLOSURE REPORT Page 12 of 13

[ N ....fr ....a~o~.~

pit, or a,~r, 05/10/2010

Schreier,

VIH. ADDITIONAL INFORMATION OR EXPLANATIONS. O~aie~ter~,* of~evo,~

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting

Date of Report 05/1012010

Page 13 of 13
[ Schreier, Karen E.

IX. CERTIFICATION.
! certify that aLl information given above {including information pertaining to my spouse and minor or dependent children, if any) is accurate, 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 outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

SignatureI

NOTE: ANY INDIVIDUAL WIIO KNOWINGLY AND WILFUI.LY FALSIFIES OR FALLS TO FILE Tills REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, Washington, D.C. 20544