Beruflich Dokumente
Kultur Dokumente
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. ,~,~ I01-111)
I. Person Reporting (last name, first, middle initial) Van Bokkelen, Joseph S. 4. Title (Article III judge~ indicate active or senior status; magistrate judges indicate full- or part-time)
active
[] Initial
7. Chambers or Office Address United Slates Courthouse 5400 Federal Plaza, Suite 4200 Hammond, Indiana 46320
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations.
Reviewing Officer
Date
IMPORTANT NO TES: The instructions accompanying thls form must be followed Complete all parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
2, 3. 4. 5,
II. AGREEMENTS. meponi.u individual only; see pp. 14-16 of filing instructions.)
~] NONE (No reportable agreements.) DAT~
III. NON-INVESTMENT INCOME. t Reporang indi,,iduot and ~po~e; see pp. t z-2 4 of ~ling instructionsO
A. Filers Non-Investment Income
[]
NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
2. 3.
4.
B. Spouses Non-Investment Income - if you were married during any portion of the reporting year, complete this sectlon~
(Dollar amount not required except for honoraria.)
DATES
LOCATION
PURPOSE
V. GIFTS. (lnclud~ those to spo~e and derendent children: see pp. 28-31 of filing in~truction~.)
NONE (No reportable gifts.) SOURCE I. 2. 3. 4. 5. DESCRIPTION VALUE
VI. LIABILITIES. ancl.de~ tho. 4spo.. ..d d,~,endent children; see pp. 32-33 of
NONE (No reportable liabilities.) CREDITOR I. 2. 3. 4. 5.
filing instructlonsO
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRUSTS - inco,.e, ,.lue, ,ru.so.io,~ ana.des those of spouse and dependent children: see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during r~orting period l (I) I Amount i Code I ~, (A-H) ! (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) (2) Value Value Method Code 2 (J-P) Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value mn~dd/yy Code 2 (J-P) (5) Identity of buyer/seller (if private transaction)
Progress Energy
2.
A
A
Dividend
Dividend J
Sold
07/10/10
AT&T
3. 4. 5. 6.
7.
A A
Dividend Interest J T
Sold Buy
04124110 K 10/29/10 J
Community Hosp Retirement Acc~7~ -Fidelity Contra Growth -Fidelity Growth and Income Presbyterian Church Retirement Fund/ Spouse -Fidelity Equity Income Fund -Fidelity US Bond Index AXA Equitable-Annuity Fund/Spouse -EQ/Equity 500 Index A Dividend J T A A Dividend Dividend
K J
A A
Dividend Dividend
K J
T T
8.
9.
10.
T T
II.
12.
13.
14.
15.
16.
Capital Securities
-Pershing Prime Reserves (formerly Centennial Money Market) -MFS TR I1 Emerging Growth Class A
17.
I. Income Gain Codes: (See Columns B ! and 134) 2. Value Codc~ IS~:e ColumnS CI and D3) 3. Value Idcthod Codes (Sc Column C2)
A =$1.000 or less F =$50.001 - $ 100,O00 J =$15.000 or Ic~s N -$250.001 - $500.000 P3 =$25.000.0OI - $50.0~0.0~1 Q =Appraisal U Book Value
B -$1,001 - $2,500 G =$100.001 - $ I .OOO.~O0 K -$15.OI - $50.000 O :$500.001 - $1.0~0.000 R =Cost t Rcal I:~tatc Only) V =O~htr
C =$2.501 - $5,000 I I I =$ 1.000.0~ | - $5.000.000 L =$50.0~1 - $10~.0~) PI =$1.00~.001 - $5.000.000 P4 =More than $50.0(~.000 S =Assessment W =Estimated
D =$5.001 - $15,000 112 = M~rc tl~art .$.5.000.000 M =110~.0~1 - $250.000 P2 =$5.000.001 - $25.000.000 T =Cash F.larkct
E =$15.0(11 -$50,000
VII. INV ESTME NTS and TR U STS - i, co,,,, vatu,. ,~Q,~,cao,~ a,aQde~ tnos, of spous~ a,d dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (x) (2) i Amount Type (e.g., Code I div., rent, (A-H) or int.)
Gross value at end of reporting period (I) (2) Value Code 2 (J-P) Value Method Code 3 (I) Type (e.g., buy, sell, redemption)
(Q-W) 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. Capital Securities IRA -MFS Growth Opp. Fund A -MFS Mid Cap Fund A -MFS Strategic growth Fund A -MFS New Discovery Fund A - American General Fin. Corp. Income Notes A A A A A Dividend Dividend Dividend Dividend Interest T Sold Sold Sold Sold Buy I 1/10/10 09/09/10 I I/I 1/10 09/07/10 10/26/10 K J J K J A A A A -EQ/JP Morgan Core Bond Fund -EQ/Alliance Bemstein Quality Bond -EQ/Equity 500 Index A A A Dividend Dividend Dividend K K L T T T -MFS TR 11 Emerging Growth Class B -MFS Global Equity Fund Class A -MFS Small Cap World Fund Class A -First Energy Corp. AXA Equitable Annuity -EQ/Marisco Focus
A Dividend L T
A A A A
T Sold 09/07/10 K
K J
T T Buy ll/ll/10
I. Income Gain Codes: (sec Columns B I and D4 ) 2. Value Codes (see Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$ 50.001 - $ 100.000 J =$15.0~O or Ices N $250.0OI - $500.000 P3 =$25.O00.0~1 - $50.000.000 Q =Appraisal U -Book Value
B =$1,001 - $2.500 G = $ 100.001 - $ 1.000.000 K =,$15.001 - $50.0~ O=$509.001 - $1.0~O.0OO R -~os! (Real E.slate Only) V =O~ho"
C =,$2.501 - $5,000 I I I =$ 1.000.001 - $ 5.000.000 L =$50.0~1 - $100.00~ PI =$1,000.001 - $5.0OO.0(~ P4 =More lhzn $50.000.000 S =Assessment W =Esfimalcd
D =$5.001 - $15.000 112 =More I han $ 5.000.0~O M =$10~.0OI - $250.000 p2 =$5.000.0OI - $25.00~.000 T =Cash Markc~
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS - inco~,e, ,al.e, ~a,~aaio,~ (lnclude~ those of spoase and dependent children; see pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period I (I) I Amount I Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd~ Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
i
1
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
-Eli Lilly Co. -Lockheed Martin Corp. -Barclays Bk PIc 6.625% Ser & Adr -National Westminster BK PLC Sponsored ADR -Pershing Prime Reserves
A A A A A
J J J J K
T T T T T
Centier Bank Fidelity Fund Cash Reserves Peoples Bank Oceana County, Benona Township, Michigan
A A A A
J J
T T T Sold 07/08/10 A
I. Income Gain Codes: (See Columns BI and 2. Value Codes (See ColumrLs CI and D3) 3. Value Method Codes (See Cohmm C2)
A -$1.000 or less F =$50.001 - $100.000 J =$15.000 or less N -$250.001 - $500.000 P3 =$25.00~.001 - $50.0~1.000 Q =Appraisal U =Book Value
C =$2.501 - $5.0~0
G =$100.001 - $1,000.000 K =$15.001 - $50.000 O =$500.001 - $1 R --Cost (Rcal Estate ~nly) V =Other
D =$5,001 - $15.000 112 =More Ihan $5.000.000 M =$10~.001 - $250.000 P2 =$5.000.001 - $25.000.~ T =Cash Markcl
E =$15.001- $50,000
W =Estimated
VII. INVESTMENTS and TRUSTS - inco,~e, va~ue, t~a,~o~#o,~ and~d~ those o/s~,o.se o~d ~e~,e~de~t chitd, e~: see ~,~,. 34-60 of filing instructions.)
[~ NONE (No reportable income. assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (l) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (1) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) Date (3) Value (4) Gain Code I (A-H) (5) Identity of buyer/seller (if private transaction)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63.
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A -$1.000 or less F =$50.0OI - $100.000 J =$15.000 o~ less N =$250.0OI - $500.000 P3 =$25.000.0OI - $50.090.000 Q =Appraisal U l~look Value
B =$1,001 - $2.500 G =$100.001 - $1.000.000 K =$15.0OI - $50.000 O =$500.001 - $1.000.000 R Cost (Real Estate Only) V =O~hcr
C =$2.501 - $5.000 I11 =$1,000.001 - $5.000.000 L =$50.0OI - $100.000 PI =$1.000.001 - $5.000.00~ P4 =More than $50.000.000 S =Asscssmcm W =Estimated
D =$5.001 - $15.0~O 112 =More than $5.000.000 M =$100.001 . $250.000 P2 =$5.000.001 - $25.000.000 T =C~h Market
E =$15.001 - $50.000
I 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 ~vas withheld because it met applicable statutory provisions permitting non-disclosure. I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the pro~sions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544
AO I0 Rev. 1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. ,~,~ 101-111)
I. Person Reporting (last name, first, middle initial) Van Bokkelen, Joseph S. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) active
United States Courthouse 5400 Federal Plaza, Suile 4200 Hammond, Indiana 46320
8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance nith applicable laws and regulations.
Reviewing Officer
Dale
IMPORTANT NO TES: The instructions accompanying this form must be followed Complete ali parts,
checking the NONE box for each part where you have no reportable information. Sign on last pag~
I. POSITIONS. tRe~,or, ing individuol only; see ~,p. 9-13 of filing instructions.)
V~ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
II. AGREEMENTS. ~Re~,o.ing individual only; see pp. 14-16 of filing instructions.)
1-~ NONE (No reportable agreements.) DATE
~]
NONE (No reportable non-investment income.) DATE SOURCE AND TYPE INCOME (yours, not spouses)
2,
3. 4.
B. Spouses Non-Investm ent Income - tf yo. were married during any portion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
1. 2010 2. 3. 4.
~]
2. 3.
4. 5.
V. G I FTS. (Includ~ those to spouse and dependent children; see pp. 28-31 of filing instructions)
NONE (No reportable gifts.) SOURCE
I. 2. 3. 4.
DESCRIPT|ON
VALUE
5.
VI. LIAB ILITIES. ancludes those o/spouse.hal dependen, children; see pp. 32-33 of filing instructions.)
NONE (]go reportable liabilities.) CREDITOR
1. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
V 11. I N V E S T M E N T S a n d T R U S T S - i.eome, ,al.e, ~a.soetio~ anctud-- t*ose of spouse und dependent children; see pp. 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets)
! (I)
Progress Energy
2. 3. 4. 5. 6. 7. 8. 9. 10. I1. 12. 13. 14. 15. 16. 17. Capital Securities~" Y~ ~.~ ~ IRA -Pershing Prime Reserves (formerly Centennial Money Market) -MFS TR II Emerging Growth Class A Community Hosp. Retirement Acc -Fidelity Contra Growth -Fidelity Growth and Income Presbyterian Church Retirement Fund/ -Fidelity Equity Income Fund -Fidelity US Bond Index AXA Equitable-Annu ty Fun -EQ/Equity 500 Index
AT&T BP LLC
A
A A
Dividend
Dividend Dividend J
Sold
07110/10 K
Sold
04/24/10 K
Interest
Buy
10/29110 J
Dividend A Dividend
K J
Dividend Dividend
Dividend
A A
Interest Dividend
K K
T T
Buy
12/01/10
I. Income Gain Codes: (See Columns B I and 134 ) 2. Value Codes (See Columns CI and D3) 3. Value Method Codes ~Sce Column C2)
A -$1.000 or less F -$ 50.001 - $ 100.000 J -515.000 or less N =$250.001 - 5500.000 P3 =$25.000.001 - $50.0~0.000 Q =Appraisal U -Book Value
B -$1,001 - $2,500 G =$ 100.001 - $ 1.000.000 K :515,001 - 550.000 O =$500.001 - $I.000.000 R -~Sost tReal Estate Only) V =O~hcr
C =52.501 - $5,000 I l I =$1.000.001 - $5,000.000 L =$50,001 - $100.000 PI =$1.000.001 - $5.000.000 P4 =More titan $50,000.000 S =Assessment W =Estimated
D =$5.0OI - $15.000 112 =M ore t ha n $ 5.000.000 M =$100.001 - $250.000 P2 =$5.000.001 - $25.000.000 T --C~h Market
E =$15,0OI - $50.000
VII. INVESTMENTS and TRUSTS - income, votue, ~a~aetlo~ anetad~s tho~ of spo~ ona dep~naent children; see pp. 34-60 of filing instruction~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Income during reporting period (I) (2) Amount Type (e.g., Code I div., rent, (A-H) or int.) Gross value at end of reporting period (1) (2) Value Value Code 2 Method Code 3 (J-P) (Q-W) (I) Type (e.g., buy, sell, redemption) Transactions during reporting period (5) Identity of buyer/seller (if private transaction)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
-MFS TR II Emerging Growth Class B -MFS Global Equity Fund Class A -MFS Small Cap World Fund Class A -First Energy Corp. AXA Equitable Annuity -EQ/Marisco Focus
A A A A
T Sold 09/07/10
K
K J
T T Buy I 1/11/10
Dividend
-EQ/JP Morgan Core Bond Fund -EQ/Alliance Bernstein Quality Bond -EQ/Equity 500 Index
A A A
K K L
T T T
Capital Securities IRA -MFS Growth Opp. Fund A -MFS Mid Cap Fund A -MFS Strategic growth Fund A -MFS New Discovery Fund A - American General Fin. Corp. Income Notes A A A A A Dividend Dividend Dividend Dividend Interest T Sold Sold Sold Sold Buy I 1/10/10 09/09/10 I I/11/10 09/07/10 10/26/10 K J J K J A A A A
I. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes ISc Columns CI and D3) 3. Value Mc~hod Codes (See Column C2)
A -$1,000 or Icss F =$50.001 - $ 100.000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25,000.001 - $50,000,000 Q =Appraisal U =Book Value
B =$1,001 - $2.500 G =$100.001 - $ 1.000.000 K =$15.001 - $50.000 O =$500.001 - $1.0~0.000 R ~os~ IReal Estate Only) V -Olher
C =$2.501 - $5,000 I I I =$ 1.000.001 - $ 5.0OO.000 L =$50.001 - $100.00~ PI =$1.000.0~1 - $5.1~0.000 P4 =More than $50,0OO.000 S =Assessment W =Estimated
D =$5.001 - $15,000 112 =More t hart $ 5.0OO.0OO M =$10~.001 . $250.000 P2 =SS.0~0.001 - $25.000.000 T ~ash Market
E =$15.001 - $50,000
Vll. INVESTMENTS and TRUSTS - income, vMue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructlong)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust asse~) Place "(X)" after each asset exempt from prior disclosure Income during reporting period (1) (2) ! Amount Type (e.g., [ Code I div., rent, (A-H) or int.) Gross value at end of reporting period Transactions during reporting period
O)
Value Code 2 (J-P)
(2)
Value Method Code 3
(2) (3) (4} Gain Date Value mm/ddh/y Code 2 Code I (J-P) (A-H)
A A A A A
J J J J K T T
Buy
Buy
11115/10 J
11/15/10 J
Centier Bank Fidelity Fund Cash Reserves Peoples Bank Oceana County, Benona Township, Michigan
A A A A
J J J
T T T Sold 07/08/10
A
I. Income Gain Codes: (See Columns BI and 1)4) 2. Value Codes (Scc Columns CI and D3) 3. Valuc Method Codcs (Scc Column C2)
A =$1.000orless F =$50.001- $100,000 J =$15.000orless N =$250,001- $500.000 P3 =$25.000.001- $50.000.000 Q =Appraisal U =Book Value
C =$2,501 - $5.000 I I I =$ 1.000,001 - $ 5.000.000 L -$50.001 - $100,000 PI =$l.000,001 - $5.000.000 P4 =More Ihan $50.0(~.000 s -Asscssmenl W -Estimated
D =$5,0~1 - $15,000 112 =More than M =$100.091 - $250.000 P2 =$5.000.001 - $25,000.0~) T -~Tash Markcl
E =$15,001- $50,000
VII. INVESTME NTS and TRU STS -income, value, transactions anctud~ tho,e ol,ponse and depenaen, children; see pp. 34-60 of filing instructions~)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including t~st assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting l~fiod Gross value at end of re~rting period (I) (2) Value Value Method Code 2 (J-P) Code 3 Transactions during reporting period
(0
i Amount i Code I ~ (A-II}
(2)
Typ~ (e.g., div., rent, or int.)
(2) (3) (4) Date Gain Value mm/dd~y Code 2 Code I (J-P) (A-H)
(Q-w)
52. 53. 54. 55. 56. 57. 58. 59. 60. 61. 62. 63.
I. Income Gain Codes: (See Columns B I and D4) 2. Vahlc Codes (See Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50.001 - $ 100,000 J =$15.0~0 ~ Ic~s N =$250,001 - $500.000 P3 =$25.000.001 - $50.000.0~O Q =Appraisal U =[look Value
B =$1,001 - $2.500 G =$100.001 - $1.0~0.000 K =$15.001 - S50.00~ O =$50~.001 - $1.000.000 R -~?os! {Real Estate Only) V =Other"
C =$2,501 - $5.000 I I I =$ 1.000.0~ I - $5.000.000 L =$50.001 - $100.0~1 Pi =$1.000.001 - $5,000.000 P4 =More lhan S =Assessment W =Estimated
D =$5.001. $15,000 112 =More than M ~$100.0~1 - $250.000 P2 =$5.000.001 - $25.000.000 ]" =Cash Markc~
E =$15.091 - $50.0~0
I 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. I 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.
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544