Beruflich Dokumente
Kultur Dokumente
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) Springmann, Theresa L. 4. Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time)
Active
7. Chambers or Office Address U.S. Courthouse 1300 South Harrision Street Fort Wayne, IN 46802
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 NOTES: The instructions accompanying this form must be followet~ Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.
POSITION
1. 2. 3. 4. 5. Personal Representative Estate 1
NAME OF ORGANIZATION/ENTITY
Sorin_qmann, Theresa L.
III. NON-INVESTMENT INCOME. tnepor~ng ln~ivUuol andsp ....: see p~ 17-U of , ling lns,ruc,lon~
A. Filers Non-Investment Income
~] NONE (~Vo reportable non-investment income.)
DATE
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 section~
(Dollar amount not required except for honoraria.)
D
I. 2010 2. 3. 4.
DATE
Adaptek Systems
DATES
LOCATION
PURPOSE
V. GIFTS. anelud~,hose,o spo,~e and dependon, children; see plx 28-31 of filing instructions~) NONE (No reportable gifts.) SOURCE
I. 2. 3. 4. 5.
DF.SCRIPTION
VALUE
VI. LIABILITIES. ancludes those ol sponse and d~,en~ent children; see pp. 32-33 of fillng instructions.)
D NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5. Chase master Card Credit card
DESCRIPTION
VALUECODE
J
~va~ue~transacti~n~(~nc~udexth~se~fsp~useanddependentchi~dren~eepp.34-6~f~inginstructi~ns~)
(2)
Type (e.g.,
(2)
Date
(3)
Value
(4)
Gain
(s)
Identity of
Code I (A-H)
Code 2 (J-P)
1. 2.
3.
4.
A
A
Interest
Interest
K
K
T
T
IRA#2 - Riversource Life Ins. Fixed account - Riversource Life Ins. Fixed account - Riversource Life Ins. Fixed account - Riversource Life Ins. Fixed account - Riversource Life Ins. Fixed account - Riversource Life Ins. Fixed account - Riversource Life Ins. Fixed account - Riversource Life Ins. Fixed account - Riversource Life Ins. Fixed account - Riversource VP Div Bond C3 - Riversource VP Div Bond C3 - Riversource VP Div Bond C3
A Interest
Dividend
T Redeemed (paa) Redeemed (part) Redeemed (part) Redeemed (part) Redeemed (par0 Redeemed (part) Redeemed (part) Redeemed (part) T Redeemed 01/04/10 (part) Redeemed (pan) 02/01/10 J J 01/04/I 0 02/01/I0 03/01/10 04/01 / 10 04/30/10 10/01110 11/01110 12/01/10 J J J J J J J J
t. Income Gain Codes: (See Columns BI and D4) 2. Value Cod~ ISee Columns CI and D3) 3. Value Method Codes tSee Column C2)
A =$1.0(0 or less F =$50.0OI - $1(0.000 J =SI 5.(00 ot less N -$250.001 - $5(O.0(0 P3 =$25.000.(01 - $50.000.000 Q =Appraisal U =l:~ok Value
B -$1 ,(01 - $2.5(0 G =$100.(01 - $1.(00,(00 K =$15.(01 - $50.000 O -$5(0.(01 - $1 .(00.(00 R Cost (Real Estate O~ly)
C =$2,501 - $5,000 I I I =$1.000.(01 - $5.000.000 L =$50.(01 - $1(0.(00 PI =$1,(00.001 - $5.(00,0(0 P4 =More than $50.000.000 S =Assessment W =Eslimated
D =$5.(01 - $15,000 112 =More than $5.(00.(00 M =$1(0.0OI - $250.000 P2 =$5.000.(01 - $25.000.000 T =Cash Market
E =$15.(01 - $50.000
VII. IN VESTMENTS and TRUSTS - inc ..... .,t,e. transactions (Includes those of sp ...... d dependent children; see ptx 34-60 of jVllng instructlons~)
---] NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period I (I) (2) ! Amount Type (e.g.. div., rent, i Code I , (A-H) or int.) Gross value at end of reporting period O) (2) Value Value
Code 2 Method
(J-P)
Code 3 (Q-W)
redemption)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code I (J-P) (A-H)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33.
- Riversource VP Div Bond C3 - River,source VP Div Bond C3 - Riversource VP Div Bond C3 - Riversource VP Div Bond C3 - Riversource VP Div Bond C3 - Riversource VP Div Bond C3 -Riversource VP Cash Mgmt C3 -Riversource VP Cash Mgmt C3 -Riversource VP Cash Mgmt C3 -Riversource VPCash Mgmt C3 -Riversource VP Cash Mgmt C3 -Riversource VPCash Mgmt C3 -Riversource VP Cash Mgm! C3 -Riversource VP Cash Mgmt C3 -Riversource VP Cash Mgmt C3 Annuity - Riversource Fixed Annuity A Dividend K A Interest
Redeemed (part) Redeemed (part) Redeemed (part) Redeemed (part) Redeemed (part) Redeemed (part)
J J J J J J
Redeemed (part) Redeemed (part) Redeemed (pan) Redeemed (part) Redeemed (part) Redeemed (part) Redeemed (pan) Redeemed (part)
J J J J J J J J
34. IRA # 3
I. Income Gain Codes: (See Columns B I and D4 ) 2. Value Codes (See Columns CI and D3) 3. Value Method Cod,:s (See Colur~n C2|
A =$1.000 or less F =$ 50,001 - $ 100.00~ 1 =$15.000 or Ics~ N =$250.001 - $500.000 P3 =$25.000.001 - $50.0~0,000 Q =Appraisal U B~k Value
B =$1,001 - $2,500 G =$ 100.001 - $1.000.000 K =$15.001. $50.000 O =$500.001 - $1,000.000 R =Cost (Real Eslalc Only) V =Othcr
C =$2,501 - $5,000 111 =$ 1.000.091 - $ 5.000.000 L =$50.0~1 - $100.000 PI =$1.000.001 - $5,000.000 P4 =Mo~-c than $50.000.000 S =Asscssmenl W =Estiraaled
D ~$5.001 - $15.000 112 =More than $5.000.1300 M =$100.001 - $250.000 P2 =$5.000.001 - $25,000.000 T =~sh Markcl
E =$15.001 - $50.000
e, value, transactions (Include~ those of spouse and dependent children; see pp. 34-60 of filing instruction~)
C. Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 (I) Type (e.g., buy, sell, redemption) Transactions during reporting period (2) (3) (4) Date Value mm/dd/yy Code 2 (J-P)
(Q-W)
35. 36. 37. 38. 39. 40. 41. [42. 43. 44. 45. 46. 47. 48. 49. 50. 51. -Riversource Life Ins. fixed account -Riversource VP Div Bond C3 IRA #4 - Riversource Life Ins. Fixed account - Riversource VP Div Bond C3 -Riversource VP Cash Mgmt C3 Chase Bank account Estate 1 - Chase Bankaccount -Centier Bank accounts -Citizens Financial accounts -Fifth Third accounts -First Financial accounts -Catholic Foresters (annuity)(nocontrol) -Catholic Foresters (annuity)(no control) T. Rowe Price Summit Cash Reserve T. Rowe Price Summit Cash Reserve A A Interest Interest K T Sold (part) 05/04/10 K Redeemed 03/10/10 J Distributed 03/10/10 J Redeemed 12/14/10 J A A A A B Dividend Interest Interest Interest Interest J K .1 K L T T T T T A D Int./Div. Dividend K L T T
I. Income Gain Codes: (Sce Columns B 1 and 1)4 ) 2. Value C~les {See Columns CI and D3) 3. Value Mcthod Codes (See Column C2)
A =$1,000 or less F =$50.001 - $ I 0O.000 J =$15.000 or less N =$250.001 - $500.000 P3 =$25,000.001 - $50.0~0.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$ 100.001 - $1.0~0,000 K =$15,001 - $50.0~ O -$500.001 - $1.000.000 R =Cost {Real Estate Only) V =O~her
C =$2.501 - $5,0~0 I I I =$ 1.000,001 - $5.000.000 L =$50.0~1 - $100.0(~ PI =$1.000,001 - $5.000,000 P4 =More than $50.009.000 S =Assessment W =Estimalcd
D =$5.001 . $15.000 II 2 = M ore than $5.0~0.000 M =$10~.001 - $250.0~0 P2 =$5,000,001 - $25,000.00~ T =Cash Markc~
E =$15,0~1 - $50.000
VII. INVESTMENTS and TRUSTS -income, value, ~o~o~o~ anclud~ those of spouse and dependent children; see pp~ 34-60 of filing instruction&)
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/unount Code I (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) (4) Date Value Gain rnm!dd/yy Code 2 Code I (J-P) (A-H) (5) Identity of buyer/seller (if private transaction)
(i)
Value
Code 2 (J-P)
(2)
Value
Method Code 3
A
A
Interest
Interest
Sold
(part) Sold
06/28/10
07/23/10
J J J J J J J J J J J J J J J J J
54. T. Rowe Price Summit Cash Reserve 55. T. Rowe Price Summit Cash Reserve 56. T. Rowe Price Summit Cash Reserve 57. T. Rowe Price Summit Cash Reserve 58. T. Rowe Price Summit Cash Reserve 59. T. Rowe Price Summit Cash Reserve 60. T. Rowe Price Summit Cash Reserve 61. T. Rowe Price Summit Cash Reserve 62. T. Rowe Price Summit Cash Reserve 63. T. Rowe Price Summit Cash Reserve 64. T. Rowe Price Summit Cash Reserve 65. T. Rowe Price Summit Cash Reserve 66. T. Rowe Price Summit Cash Reserve 67. T. Rowe Price Summit Cash Reserve 68. T. Rowe Price Summit Cash Reserve
A A A A A A A A A A A A A A A
Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest Interest
(part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (pan) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part) Sold (part)
!07/26/10 07/27/10 07/28/10 08/I0/I0 08/25/10 09/13/10 10/08/10 10/11/10 : 10/18/10 I0/25/10 10/26/10 10/27/10 11/04/10 11/09/10 11110/10
I. Income Gain Cedes: (See Columns BI and D4) 2. Value Codc~ {See Columr~ CI and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 * $100.000 J =$15.0(~ or less N =$250.001 - $500.0~O P3 =$25.000.001 - $50.000.~0 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$100.001 . $1,000.000 K =$15.0~1 - $50.00<) O =$500.001 - $1.000.000 R =Cost {Real Estate Only) V =O~her
C =$2.501 - $5,000 Ill =$1,000.001 - $5.000.000 L =150.001 - $100.000 PI =$1.OOO.0Ol - $5.0~3.0~0 P4 =More than $50.000.000 S ~Asscssmen! W =Eslimalcd
D =$5.001 . $15.0D0 112 =More Ihan $5.000.000 M =$10~.001 - $250.00~ P2 =$5.0~1.001 - $25.000.000 T =~h Markc~
E =$15.001 - $50.000
VII. INVESTMENTS and TRUSTS - income, ,,a.e, ~a~a.io~ ana.d~ those of ~po~se and dependent children; see pp. 34-60 oyfiling instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets)
Place "(X)" after each asset exempt from prior disclosure
Amount Code I
(A-H)
redemption)
(2) (3) (4) Date Value Gain mm!dd/yy Code 2 Code I (J-P) (A-H)
70. T. Rowe Price Summit Cash Reserve 71. 72. 73. 174. 75. 76. !77. 78. 79. 80. 81. 82. 83. 84. 85. T. Rowe Price Summit Cash Reserve T. Rowe Price Spectrum Growth T. Rowe Price Spectrum Growth T. Rowe Price New Era Fund T. Rowe Price New Era Fund T. Rowe Price Media & Telecomunications T. Rowe Price Media & Telecommunications fund T. Rowe Price Emerging Markets Stock Mutual T. Rowe Price Emerging Markets Stock T. Rowe Price New Income Fund T. Rowe Price New Income Fund T. Rowe Price New Income Fund T. Rowe Price New Income Fund T. Rowe Price Retirement Fund T. Rowe Price US Treasury Intermediate Fund
None None None None A A A A A A A A Int./Div. Dividend Int./Div. Int./Div. lnt./Div. Int./Div. Dividend Dividend J J J J J J J T T T T T T T
Buy
Sold
05/04/10
10/25/10
J
J
Buy Sold Buy Buy (addl) Buy Buy (addl) Buy (addl) Buy (addl) Buy Buy
05/04/10 09/27/10 10/08/10 : 11/10/10 06/28/I 0 08/25/10 I0/I 1/10 I I1/10/10 11/29/10 05/04/10
J J J J J J J
J
J J
1. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (Scc Columns CI and D3) 3. Value Method Codes (See Column C2)
A =$1,00~ or less F =$50.001 - $1 00.000 J =$15.000 ~ less N =$250.001 - $500.000 P3 =$25,000.001 - $50.(X~.000 Q =Appraisal U =Book Value
B =$1,001 - $2,500 G =$1 00.001 - $ 1,000.000 K =$15.001 - $50,000 O =$500.001 - $I ,000.000 R =Cost (Real Estate Only) V =Olhcr
C -$2,501 - $5,000 I I I =$1 .(300.001 - $ 5.000,000 L =$50.001 - $100.000 PI =$1.000.001 - $5.000.000 P4 =More than $50.000.000 S =Asscssm~.mt W =Estimated
D =$5.001 - $15,000 112 = More than $5.000.000 M =$100.001 P2 :$5.000.001 - $25.000.000 T ~ash Market
E =$L5,001- $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "IX)" after each asset exempt from prior disclosure B. Income during reporting period (I) ! Amount i Code I i (A-H) (2) Type (e.g., div., rent, or int.) Gross value at end of reporting period (I) (2) Value Value Code 2 Method (J-P) Code 3 D. Transactions during reporting period (I) Type (e.g., buy, sell, redemption) (2) (3) Date Value m~dd/yy Code 2 (J-P) (4) Gain Code I (A-H) (5) Idenlity of buyer/seller (if private transaction)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99.
T. Rowe Price US Treasury Intermediate Fund T. Rowe Price US Tresury Intermediate Fund T. Rowe Price US Treasury Intermediate Fund USAA Precious Metals & Mineral Fund AT& T prfrd A T & T prfrd American Electrci Powercommon Apple Common ~ Apple common Apple common A T & T common A T & T common Avalon Baycommon Bank of America commonI
A A A A A A A
Dividend Dividend Dividend Dividend Interest lnterest Dividend None None None
J J J J J
T T T T T
J J
A A A A A A
J J J J J
10/27/10 J 07/27/10
08/t0/I0 J
Buy
09/13/10 J
I. Income Gain Codes: (See Columns BI and D4) 2. Value COd~ (See Columns CI and D3) 3. Value Mclhod Codes ISee Column C2)
A =$1.000 or less 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 =SI 5.001 - $50.000 O =$500.001 - $1.000.000 R ~Cost (Real Estate Only) V -O~her
C -$2.501 - $5,000 III =$1.000.001 - $5.000.000 L =$50.0~1 - $100.0~ PI =$1.000.001 - $5.000.000 P4 =More than $50.0~).000 S =Asscssmcm W Estimated
D =$5.001 - $15.000 112 =More than $5.000.000 M =$10~.001 - $250.~ P2 =$5.000.001 - $25.000.00~ T =Cash Market
E =$15.001 - $50.000
V I I. I N V E S T M E N T S a n d T R U S T S - ~ ........ lue, transactions (Includes those of sp ......d dependent children; see pp. 34-60 offillng instructions~)
NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust asset.s) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period i (0 (2) [ Amount Type (e.g., iI (A-H) [ Code I div., rent,
or int.)
C. Gross value at end of reporting period O) (2) Value Value Code 2 Method
(J-P) Code 3
103. Cummins Engine common 104. Ford common 105. Google common 106. Google common 107. Home Depot common 108. McDonalds common 109. Mid America apts common 110. Qualcomm common 111. Starbucks common 112. Texas Instruments common 113. Verizon Communications common 114. Wisdom Tree Large Cap Fund 115. Wisdom Tree Large Cap Fund 116. 117. 118.
J J J
T T T
11/09/10 07/23/10 07/26/10 10/18/10 10/25/10 11/09/10 10/08/10 07/27/I 0 07/23/10 07/27/I 0 08/10/10 10/26/10 10/27/10
J J J J J J J J J J J J J
A A A A A A A A A
J J J J J J J J
T T T T T T T T
Buy Buy Buy Buy Buy Buy Buy Buy Buy (addl)
I. Income Gain Codes: (See Columns B t and D4 ) 2. Value Coda ISec Columns CI and D3) 3. Value Method Codes (See Coh~mn C2)
A -$1.000 or less F =$50.001 - $ 100.000 .I =$15.000 or h.ss N =$250.001 - $50~.000 P3 =$25.00~.001 - $50.000.000 Q =Appraisal U =Book Value
B =$1.001 - $2.500 G =$ 100.001 - $ 1.000.0O0 K =$15.001 - $50.000 O = $500.001 . $1.0(~.000 R =Cost (Real [:stale Onlyl V =O~hcr
C -$2.501 - $5.000 I I I =$ 1.000.001 - $5.000.000 L =$50.001 - $100.000 pI =$1,000.001 - $5.000,000 P4 =More th~n $50.(X~.0<)0 S =Asscssmtmt W =Estimated
D =$5.0~1 - $15,000 I 12 = M ore than $ 5.00~.000 M =$100.001 - $250.0~0 P2 $5.000.001-$25.000.000 T ~ozh Market
E =$15.1KII - $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 was ~vithheld 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.
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)
Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544