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UNITED STATES COURT OF APPEALS
EIGHTH CIRCUIT
GEORGE G. FAGG UNrrED STAT'£$ CIRCUIT JUDGI£ August 9, 2004455 U.S. COURTHOUSE ANNEX
1 10 E. COURT AVENUE ·OES MOINES, IOWA 50309•2.051
..
Committee on Financial Disclosure Administrative Office of the
Vnited States Courts Suite 2:301 One Cohnrtbus Circle, N.E. Washington, D.C. 20544 .
Re: Financial Disclosure Report-2003 .
In response to your July 19, 2004 letter, I enclose an. amended a..'1.d substituted Part VII of my disclosure report dated May 4, 2004, showing a partial disposal of FMC Technologies holdings (page I of 2, line 6) and an entire disposal common stock holdings in Kellogg Co. (page 1 of 2, line 13) and AT&T (pa e 2 line 22). I also enclose an amended and substituted Part VllI explaining continuing ownership of the annuities shown in Part VII {page 2 of 2, lines 23-24 .
GGF:glm 0- ::0Enclosures -0 mOriginal and three copies, tr- <en -·-
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1'.MENDED AND SUBSTITUTED ·. '' DISCLOSURE REPORT Nan1e of Person Repnrting Date of Report .
VTI. IN\'ESTMENTS and TRUSTS
A. B. c. D. r""""" during Gross value at el!d of T:i-.:.nsactkn:s durin£ reporting period
Dezcriptiooofru.e!s gperiod(in wL g assets)
lf uat e empt from disclosure
Plm::e "(X)" afi:er caffi n:sset C'M1l'lpt fumpriordfuclosure
DNONE (No reportibic assem, or transaub°OM)
!. A)Iiant Ellergy Cc!p. Common Stock
2, Alliant llne:gy C-Orp. Common Stock
3. IMC Global Common Stock ··-
4. Freeport-McMoran Copper & Gold Common Stock
s. American Electric Fower Cn. Common Stock
•• FMC Teclmo!ogies
Corn.Products1 Inc. Common Stock
8. BP AMOCO Common Stock
9. Ford Motor Corn!'Ilon Stack
10. Colgate Palmolive Common Stock
11. Pha.."'ma.cia Common Stock
12. HB Fuller Co, Comme>n Stock
, 13. Kl>l!ogg Co. Corrtn'lon Stock
14. Wells Fargo Common Stock
!S. Qwest Commitations Common Stock
Amount COO.I (A-1')
A
A
A
A
A
A
A
A
A
A
A
(e.g. div. ren".. or int)
Dividend
Dividend
Pividond
Dividend
Dividend
Dividend
Dividend
Dividend
Dividend
Drviclend
Dividend
Di'1idend·
Dividend
Divi<lend
Dil'idend
(None
v.w. 0Xle2 (J-P)
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7YP' (e. bu:y. sell, nierger, redemption)
Purchase
Sale
(Parti
Me:ger
Sale
Date: Month-Day
7/15
5/2'fcii
Value Code2 (J-P)
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16. McDonalds Corp. Common Stock A Dividend 1 T _,_
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!7. Diebold, Inc. Cornman Sta::!:
ie. RPM Common Stoel:
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A
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Dividend
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. ln::::ome'Gau Cod!':i': A ""$1.ffiY.!erk;>Z =$:.C'.:·>S:.S:J:: ""5'2,501 15,0'.)0 = iS,OJJ-'Sl.5Jiot =:1s.o:JJ-ssc,oo::,
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AMENDED AND SUBSTITUTED ::.C.1\JCIAL DISCLOSURE REPORT D:tt of Report N<l.me of Person Reporting
FAGG, GEORGE G ;ge 2 of2 81912004
"\11[ Il'< "VEST.IVi.ENTS and TRUSTS -W.oo,,,,, wh . nm<C1!li= (ir,dmle;; tlh>so illfuo '"°'"" ood depcnd"1! cluldreo. See pp. 34.;7 oifilini; instructiuns,)
.
A. Incoul:i!' d'Jcing
Desc:ip!:ionof Assets repart!tig period (ir:cludin:; l.rn9: assets)
Piace"(X.)" after eaehassetexempt Am.runt Type (e.g.ftoru prior discl-Osu.re Co<re l diY. re:Jt. Qr
(A·B) inL)
19. Com= Stock A Dividend
20. Lucent Teclmalogies Common Stock A Dividond
(None)
21. Cisco, Inc. A Dividend {None)
. AT&T -· Common Stock Dividend22. A
23. ITT Ha."tford (Annuity) A Interest (None)
24. Equitable Lile Ins. (AmlUity) A lnteres:
25. Paladin En:rrgy Partne."S Denve!- Colorado B Royalty
26. Wells Fzrgo Bank. Johli.ston IA SaV.::.gs- D lnt<rest C'ne:king-Clls
27. Bank of Americn, Utban<lale, 1A Checking-CDs B Interest
28. Charter Bank, Jobnstoo, IA CDs B Inll:rest
29. Owner·Fann·llardin Coumy, IA 100% Tax D Crop Assessmem.$66,005
30. Chicago Et 1'.1idway Allport Revenue Bond A Interest
31. Duke Realty eo. A Dividend
32. CLECOPowerLLC A lnten:ot
33. Discover Bank C.D Greenwood, Del. A Interest
c. Gross wJ:oo !rt ood of reporting period
Value V lue C00.2 Methcx!
(J-l') Code3 (Q-"1
T
J T
J T
T
J T
K T
J w
M T
K T
T .
.
L s
1 T
I T
1 T
J T
It. Transactior.s du..'1ng reportlngperfod
Type (e.g. buy, sell,
nlZIJl!!f, mlernp:ioa)
Sale
See
t;Ot C:<Cn'l;lt
D3te: Month .. Day
9/ll
e)
xpla
Value Gum Code2 Cede ""l'l l (A·
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Identity of bu.yc::rfsel!er (ifpffi'llle tr.l:lSaclinn)
Part VI II sta UJ.t es on
.
.f I
1\1".ENDED A'ND SUBSTITUTED of Perso:t Reporting D;ueoi:"ReporiNa..ile . LNANCIAL DISCLOSURE REPORT
FAGG, GEORGE G !1912004. .
{lnilic<iie part of Report.) VIlI. ADDITIONAL INFORMATION OR EXPLANATIONS
The sales ofi!fil-)Jl\J-a'l!luities shown on page 2 -0f2 Part VIl lir£S l3 n:-,d 24 of my l\1ay 41 2004 :cport are deleted. r misunderstood her e:tphmation about the status of these annuities. There was no ehrmge i'n her ownership interest in these artnuitities during calednar year 2004.
Rcviewingv"' '�----------� Date ____ _
POSITION NAME OF ORGANJZAT!ON/ENTITY
PARTIES AND TERMS
CJ (;':l
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9
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Report Required by the Eth.ies FL ANCIAL DISCLOSURE REPORT AO-IQ fn Government Act of 1978
R("·. ll20G\t . Calendar Year 2003 (S U.S.C. app. §§ IOl-111)
l. Person Reporting (Last name, First name, Middle -initial)
FAGG, ·GEORGE G
2. CoJ!t or Organization
COURT OF APPEALS, 8TH CIRCUIT
3. Date of Report
51412{)()4
4, Title (Article ill Judges indicate active tir senior status;
magistrate judges indicate full or part-tim.e)
CIRCUIT JUDGE (SENIOR)
7. Chambers or Office Address
4SS U.S. Courfuouse Anne>:
110 East Court Avenue
Des Moines, fuwa 50309M205i
5. ReportType (check appropriate type)
Q Nruninati:: . Dute
0 b<ilial Q Flnal
6. Reporting Period
11112003
to
1213112003
8. On the basis ofth.e inforrrurtioo contained in this Report and any modifications pertaining thereto* it is, in my opinion. in compliance with applicable lows and regu!atioos.
IMPORTANT NOTES: The instructions accompa:..yfrig thls form mu.st be ollowed. Complete all parts, checking the NONE bo:t fur each part where }'OU have no repor..able infonnation. Sign on las: page.
L POSmONS. (Reporting indi\idual only; see pp. 9-13 offiling instructions)
NONE - (No1 portablepositions.)
l.
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Il. AGREEMENTS. {Reporting individual only, SOOJIP. 14-!e offilittginstr-uctions) .,,r-:::1 "
> .....
rn 0
NONE - (No reportableai'1"1mtnts.) ,,.,, l;J (,,'1
l.
SOURCE GROSS INCOM!\
SOURCE AND TYPE
SOURCE DESC!HPTION
N't.ene '.)f Person ReportingFINANCIAL DISCLOSURE REPORT Thate of Report
FAGG, GEORGE G 5/4i2004
Ill. NON-INVESTh1Efll1 INCOME. (Reporting individual ond spouse; see pp. !7-24 of filing instructions)
A. Filer's Non-Investment Incom
NONE (No rcportabte non ir,vestment income.)·
AND TYP'l
(j'OU!'S, not spouse's)
l. Effective May 1999, at age 65, I receive a retirement pension from the Iowa judicial retirement system based on service as an Iowa trial judge.
2. In calendzr year 2003, I reccived $14,947.80.
B. Spouse's Non-Investment Incom ·(If you were married during any portion of the reportingyear, plea5e comp1e'.e this section. (dollar amount not required except furhonoraria)
/i2I NONE (No reportable non-investmenlincome.) -
1.
N. REIMBURSEMENTS transportat'on, 1odging. fuod, entertainmenL-
(Includes those to spouse and dependent children. See pp; 25-2i of instructions.)
li!J NONE (No such repomble reimhumments.) -
t.
SOURCE DESCRIPTION
Ill
DESCRIPTION VALUE CODE
I
51412004
Name of Person Reporting Date of Report
FAGO, GEORGE G
FINANCIAL DISCLOSURE REPORT
V. GlFTS. (Includes :hose to spouse and. dependent children. See pp. 28·3 i of instructions,)
:i2J NONE ()lo such reporta:i:e gifts.) -
l.
VL LIABILITIES. (lncludes those of spouse and dependent children. See pp. 32-34 of instructions.)
NONE (No reportable liabilftics.) ·
CREDITOR
1.
.
A.
l.
II.
(1) \2)
c.
period
(1) (2) (l) 12) <?l
J
Me ... ger
(4) (5) Gain
-
B
I FINA.c"ICIAL DISCLOSURE REl'ORT Date of Report Name of Pet'Son Reporting
Page 1 of2 FAGG, GEORGEG 51412004
VII, INV'EST1'-IB1\'TS and TRUSTS - iit::one, Yniue, transcutictlS (i;i.cluCes these cf the spouse and dependentclii1d:ren. Soo w. 34-57 of :filing ir;STJtti;:.r.s.)
Description ttf Assets (inciuding, tru:U assets}
Plate "{X)" after each asset exen:;:t from prior di1K:lcsure
LJNONE (No reportahk: income. assets, or traummtions)
Alliant Ene:-gy Corp. Olmrruln Srock .
2. Alliant Energy Corp. Common Stock
3. !MC Global Common Stock
4. F"'oport-1.!c."loran Copper & Gold Common Stock
5. American Electric Power Co. Common Stock
6. FMC Technologies
7. Com P!oducts, Inc. Co::nr::ian S:ock
8. BP AMOCO Comrr1on Stock
9. Ford Motor Common Stock
10. Colgate Palmolive Common Steck
l l. Pharmacia Common Stock
12. HB Fuller Co. Coinmcn Stock
13. Kellogg Co. Common Stock
14. Wells Fargo Common Stock
l5. Qwest Commic.ations Common Stock
l6. Mcllonalds Col]>. Common Stock
17. Diebold, L'1c. Common Stock
18. RPM Common Stock
J:m;-o:ne during repor:fr.g period
Amo1111t Type: (;;.g. Code 1 div. rent. or (A·H) int)
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Dividend
A Divided
A Dividend
A Dividend
A Dividend
A Dividend
(None)
A Dividend
A Dividend
A Dividend
]), Gross v.ilne at end of Tnmsaction-s during repnrting period
If not exeppt from disclosure
Value Vali.w 1ype (e,g. Date: Value Code2 Mcibod buy, sell, !'.ionth Code2(J-P} Ccde3
(Q.W) merger, Day (!-?)...w.nption)
J T
J T
T
] T Purchase 4/9 J
J T
J T S.le 71!5 J
J T
J T
j T
J T
J T 4116 J
I T
J T Sale sa.1 J
J T
J T
J T
J T
I T
Tden<ityof Code b_!l ... I (A· (lfpriW!te m transaction)
.
A l'fizer lnc
A
-----·-· --------- -···----- ·--····-
1. :::i:omc'GiiillC-odes: A =SJ,OC!Oorless B = S l,COl-SZ.500 C """S'.'...501- S:,OGO D ""$5,\;,Cj-$15,::<:o
C = S:lOD)JOl SI,000,000 Hl ""' l_.000/101-SS,OOC,0(1\} Hl ""More titan SS,000,000
i = '.1:!5,QCH.$50 00(}
o ""7;-00,001.sr,ooo.oon P: "'S .OU'.:.,QJ!- -S,C:J;lO:JC P2 ""!:5.0:YJ,OOl·S:ZS,000,00G
P-l "'$\-'iore. thar.. .50;{){)::;100(1
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(2)
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(Q-W) H\
FINk"i'CIAL DISCLOSURE REPORT Name of Person Reporting Date of Report
Page2 of2 FAGO, GEORGE G 5/4/2004
VTI. INVESTMENTS and TRUSTS - income, value, traTiscations (inc!udes those ofthe spouse and dependent children. See pp. 34-57 of filing instructions.}
A. n. fncome during
Description ofAssets reporting period (including tru.st as ets)
(!)
Pface (X)" after eaeh asset e:rempt Amo<mt Type (e.g.from prior disclosure Code I div. rent. or
(A-H) inl)
19. Intel Common Stock A Dividend
20. Lucent Technologies Common Stock A Dividend
(None)
21. Cisco, Inc. A Dividend
(None)
22. AT&T Common Stock A Dividend
23. ITT Hartford (Annuity) A Interest
24. Equitable Life Ins. (Annuity) A Interest
(None)
25. Paladin Energy Partners Denver, Colorado B Royalty
26. Wells Fargo Bank, Johnston, IA Savings- D Interest Checking-CDs
27. Bank of America, Urbandale, IA Checking-CDs B Interest
28. Charter Bank. Johnston, IA CDs B Interest
29. Owner-Fann-Hardin County, IA lOOo/o Tax D Crop Assessment-$66,005
30. Chicago Ill. Midway Airport Revenue Bond A Interest
31. Duke Realty Co. A Dividend
32. CLECO Power LLC A Interest
33. Discover Bank CD Greenwood, Del. A futerest
c. Gross value at end of n:porth1gperiod
(2)
Value Value Code2 Method (J-P) Code3
J T
J T
J T
J T
J T
K T
J w
M T
K T
L T
L s
J T
J T
J T
J T
(!)
Type (e.g. buy, sell, """"'' redemption)
Sale
Sale
Sale
D. Transactions du.>'ing reporting period
Ifnot exempt from disclosure
(2) (3) Date: Value 1lontb- Code2 Day (J-P)
9/11 J
12/31 J
12131 J
(4) Gain Code I {A-
A
(5) Identity of buyer/seller (if private transaction)
-- -
lm:orne ·on ii Cocies: A = 5:1,00-0 o; less B = S:l ,OOJ-$:::!,500 c = s: .501-$5,000 D = £5,001-$I5,000 E =S15,001-$50,0:)()
(See ColumTI5. Bl and D4) F = 50,001- 100,000 G = $100,001-$1.000,-000 H1 = s:.aoo.OC1-!5,0::JO,OJO H2 = h:1.ore than $5,000,000
2. Value Co-des: = Sl5.00'.l arie&S K "'$15,00i-$50;DOO L = SSO,O'.J -$100,000 M = $tOD,001-$:2.50,000
(See Colum:L C! and DJ) !\' = ::1so,OOJ-S50C:.OJQ 0 = SOG,OOJ-Sl.000,000 Pl "'S:,ODJ,DJi-!S;DOC.OGCl P2 ""$5.08J,OGi-£25,0llU,OO::;
?3 = :25,00J.OD·l-SS0,000,00D ?4 = s;,:ore tb:tt S5t-,OOJ,OG-C1
\'a)u(· M II'.::ii Co:ks R =Co : (Real Es.lute- 0my) ' '· _:,s:;::..">:s;;i:·;n: c = Cush':>' a:-: c
:se C'1:1.:m:1 (''.':) = Bo·:>l: \'z:iu = Orn r \'.' = .'.'.s:1:::ur <l
FlNA.'!ClAL DISCLOSURE REPORT
VIII. ADDmONAL INFORMATION OR EXPLfu ATIONS
None
X•meofPerson Reporting
FAGG, GEORGEG 514/2004
'
Date Ma}' 4, 2004
51412004
ame cf Pc:-son Repnrting Date of Report Fil\rANCIAL DISCLOSURE REPORT
FAGG, GEORGEG
IX. CERTIFICATION.
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 belie and that any infurn:Jlltion not reported was withheld because it met applicable statutoryprovisions pe=itting non-disclosure.
I further cerfu')' that earned income from outside employment and honoraria and the acceptance of gifts wldch have been reported are in compliance with the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.
Signature
NOTE: .Ah'Y I1'TIIVIDUAL WHO KNOWINGLY AND 'i\IILFULL Y FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRlMINAL SANCTIONS (5 U.S.C. app. § 104)
FILING INS1RUCTIONS
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, N.E.
Wasb1,gton, D.C. 20544
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