AO IO FINANCIAL DISCLOSURE REPORT Report Required by …112012 3. 3. Report Required by the Ethics AO I. O FINANCIAL DISCLOSURE REPORT . in Govenment Act of 1978 . Rev. FOR CALENDAR

112012

3.

3.

Report Required by the Ethics AO IO FINANCIAL DISCLOSURE REPORT in Government Act of 1978 Rev.

FOR CALENDAR YEAR 2011 (5 U.S.C. app. §§ 101-111)

I. Person Reporting (last name, first, middle initial)

Ebel, David M.

2. Court or Organization

Tenth Circuit Court of Appeals

3. Date of Report

07/09/2012

4. Title (Article Ill judges indicate active or senior status;

magistrate judges indicate full- or part-time)

U.S. Circuit Judge (senior)

Sa. Report Type (check appropriate type)

D Nomination Date

D Initial [{] Annual

Sb. D Amended Report

D Final

6. Reporting Period

01/01/2011

to

12/31/2011

7. Chambers or Office Address

Byron White U.S. Courthouse 1823 Stout Street, Room 109L

Denver, CO 80257

IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts,

checking the NONE box for each part where you have no reportable information. Insert signature on last page.

J. POSJTJ ONS. (Reporting individual only; see pp. 9-13 of filing instructions.)

D NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

1. Director Historical Society for the Tenth Circuit Court of Appeals

2.

4.

5.

JJ. AGREEMENTS. (Reporting individual only; see pp. 14-16 of filing instructions.)

[2J NONE (No reportable agreements.)

PARTIES AND TERMS

I.

2.

4.

I.

4.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT

Page 2of12 07/09/2012Ebel, David M.

III. N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp. 17-24 of filing instructions.)

A. Filer's Non-Investment Income

[ZJ NONE (No reportable non-investment income.)

SOURCE AND TYPE INCOME (yours, not spouse's)

I.

2.

3.

B. Spouse'S Non-Investment Income - If you were married during any portion of the reporting year, complete this section.

(Dollar amount not required excepl for honoraria.)

D NONE (No reportable non-investment income.)

SOURCE AND TYPE

I. 2011 Public Employees Retirement Association (PERA) -- retirement

2.

3.

4.

IV. REIMBURSEMENTS -- transportation, lodging, food, entertainment.

(Includes rhose lo spouse and dependenr children; see pp. 25-27 a/filing instrucrions.)

[ZJ NONE (No reportable reimbursements.)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

2.

3.

5.

4.



V. GIFTS. (Includes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[{] NONE (No reportable gifts.)

SOURCE DESCRIPTION VALUE

I.

2.

3.

4.

5.

VI. LIABILITIES. (Includes those of spouse and dependent children; see pp. 32-33 of filing instructions.)

[{] NONE (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE CODE

I.

2.

3.

5.

B.

{I) (2) {I) (2)

Date of ReportName of Person ReportingFINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS -- income, va111e, transactions r1nc111des those ofsptJ11se and t1epe11dent children; see PP· 34-60 offiling instmctions.J

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

A. c. D. Description ofAssets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period ofreporting period

(I) (2) (3) (4) (5) Place "(X)" after each asset Amount Value Value Ty pe (e.g., Date Value Gain Identity ofType (e.g.,

exempt from prior disclosure Code I div., rent, buy, sell, mm/dd/yy Code2 Code I buyer/sellerCode2 Method

(A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (ifprivate

(Q-W) transaction)

I. Fidelity Magellan Fd. A Dividend J T Sold 3/17/11 J A (part)

2. 1111 11 Sold 8/8/11 J A

(part)

3. 111111 Buy 08/15/11 J

4. Janus Contrarian Fund D A Dividend J T Sold 617/11 J A

(part)

5. 11 11 11 Sold 08/8/1 I J A

(part)

6. lllltl Buy 9/15/11 J

7. Janus Global Life Science Fd. D A Dividend J T Sold 9/8/11 J A

(part)

8. 111111 Buy 9115111 J

9. Janus Money Market Fd. D A Interest L T Buy 3/11/11 K

10. 1111 11 Buy 03/17/11 K

11. 11 11 11 Sold 3/24/1 I K A (part)

12. " "'' Buy 617/11 K

13. 1111 11 Sold 7/27/11 K A

(part)

14. 1111 11 Buy 8/8/11 M

15. 111111 Sold 8/15/11 M A

(part)

16. US Bank, Denver, Colo. A Interest K T

17. Janus Global Select Fund D A Dividend J T Sold 03/11/11 J A

(part)

I. Income Gain Codes: A =$1,000 or less B =$1,001 -$2.500 c =$2.501 -$5,000 D =$5,001 -$15,000 E =$15,00 I -$50,000

(Sec Columns BI and D4) F =$50.001 -$100,000 G =$100.001 -$1.000.000 Ill =$1.000.001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J =$15,000 or less K =$15,001 -$50.000 L =$50,001 -$100.000 M =$100.001 -$250.000

(Sec Columns Cl and D3) N =$250,00 I - $500.000 0 =$500,00 I -$ t ,000.000 Pl =$1.000.001 -$5.000,000 1'2 =$5.000,001 -$25,000.000

P3 =$25.000.001 -$50,000.000 1'4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =Book Value V::::Othcr W =Estimated

(I) (1)

A.

(2) (2)



VII. INVESTMENTS and TRUSTS -- income, value, transactions (Jnc/ades those ofspoase and dependent children; see PP· 34-60 offiling instructions.)


Description ofAssets

B. c. D. Income during Gross value at end Transactions during reporting period

( including trnst assets) reporting period ofreporting period

(1) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) ( J-P) Code3 redemption) (J-P) (A-H) ( ifprivate

(Q-W) transaction)

18. 11 11 11

Sold 03117111 J A (part)

19. 111 10

Sold 617111 J A (part)

20. 11 11 11

Sold 8/8/11 J A (part)

21. Buy 8/15111 J

22. Fidelity Cash Reserves A Interest K T Buy 3111111 K

23. 111111

Sold 3/24/11 K A (part)

24. " ""

Buy 617111 J

25. 111111

Buy 8/8/11 L

26. 11 1111

Sold 8115/11 L A (part)

27. Fidelity Select Energy Service Fd. A Dividend K T Buy 3/24/11 J

28. EYEris Class A Common Stock J T Sold 8/8/11 K A (part)

29. EYEris Class B Common Stock None J T Buy 8115/11 K

30. Janus Growth & Income Fd. D A Dividend K T Sold 8/8/11 K A (part)

31. 11 1 111

Buy 8/16/11 K

32. Fidelity U.S. Gov'! Res. A Interest J T

33. Fidelity Emerging Market Fd. A Dividend J T Sold 3/11/11 J A (part)

34. 1111 1 1

Sold 3117/11 J A (part)

I. Income Gain Codes: A =$1.000 or less B 41,001 - $2.500 c $2.501 -$5,000 D =$5.001 -$15.000 E =$15,00I -$50.000

(Sec Columns Bl and D4) F =$50.001 -$100,000 G =$100.001 -$1.000.000 Ill =$1.000,001. $5.000.000 112 More than $5.000.000

2. Value Codes J =$15.000 or Jess K=$15,00l -$50.000 L =$50,001 -$100.000 M =$100.00 I • $250,000

(Sec Columns Cl and 03) N $250,00 I - $500.000 0 =$500.001 . $1,000.000 Pl $1,000.001 - $5,000,000 l'2=$5,000,001 • $25,000.000

P3 =$25.000.001 -$50.000,000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market

(Sec Column C2) U =Book Value V =Other W =Estimated

B. c

(I) (2) (I) (3) (4)

D.

(I) (2)

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 6of12 Ebel, David M. 07/09/2012

VII. INVESTMENTS and TRUSTS -- income, value, transactions (1nc111des those of spouse and dependent children; see pp. 34-60 of filing ins1mctions.J


A.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period

(2) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private

(Q-W) transaction)

35. Fidelity Value Fund A Dividend K T Sold

(part)

8/8/11 K A

36. 11 1111

Buy 8/15/11 K

37. Fidelity Diversified Int'! Fund A Dividend J T

38. Dodge & Cox Stock Fund A Dividend K T Sold (part)

03/17/11 J A

39. 11 11 11

Sold (part)

617/11 J A

40. " " "

Sold

(part)

8/8/11 J A

41. II 11 11

Buy 8/15/11 K

42. Dodge & Cox Balanced Fund A Dividend J T Buy 3/24/11 J

43. " 11 11

Sold (part)

617/11 J A

44. 1111 11

Sold

(part)

8/8/11 J A

45. Dodge & Cox Income Fund B Interest K T Buy 3/11/11 K

46. " " "

Buy 03/17111 K

47. " 11 11

Sold (part)

3/24/11 J A

48. " " "

Buy 617/11 K

49. 11 11 11

Buy 8/8/11 K

50. " " "

Sold (part)

8/15/11 K A

51. Royce Opportunity Fd. A Dividend J T

I. Income Gain Codes: A =$1.000 or less B =$1,001 - $2.500 c =$2.501 • $5,000 D =$5,001 -$15,000 E =$15,001 - $50,000

(Sec Colunms Bl and 04) F=$50.001 -$100,000 G =$I 00,00 I • $1.000,000 HI =$1,000,001 -$5.000,000 112 =More than $5.000.000

2. Value Codes J =$15,000 or less K =$15.001 -$50.000 L=$50.00 I -$ I00.000 M =$100.00 I - $250.000

(Sec Columns CI and 03) N=$250,00 I -$500.000 0=$500,00 I - $1,000,000 Pl =$1,000.001 -$5,000,000 1'2 =$5,000.001 -$25.000.000

1'3 =$25.000.00 I -$50.000,000 P4 =More than $50.000.000


(Sec Column C2) U=Book Value V=Othcr W=Estimatcd

A. B.

(I) (!) (2)



VII. INVESTMENTS and TRUSTS --income, va1ue, transactions r1nc111des those ofspouse and dependent children; see pp. 34-60 offiling instmctions.J


c. D.

Description ofAssets Income during Gross value at end Transactions during reporting period


(2) (I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from priordisclosure Code I c:fiv., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller {A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (ifprivate

(Q W) transaction)

52. Royce Total Return Fd. A Dividend J T Buy 6/8/11

53. Janus Overseas Fund D A Dividend J T Sold 3/11/11 J A (part)

54. 11 11 11

Sold 03/17/1I J A

(part)

55. 11 11 11

Sold 8/8/11 J A

(part)

56. 1111 11

Buy 8/15/11 J

57. Janus Short-Term Bond Fd. D A Interest K T Buy 3/17/11 J

58. Intech Risk-Managed Care Fund D A Dividend K T Buy 3/24/11 J

59. 11 11 11

Sold 8/8/11 J A

(part)

60. 11 1111

Buy 8/15/11 J

61. Perkins Mid-Cap Value Fd. D A Dividend K T Buy 3/24/11 J

62. 111 111

Sold 617/11 J A (part)

63. 11 11 11

Sold 8/8/11 K A

(part)

64. 1111 11

Buy 8/15/11 K

65. Fidelity Int'! Small Cap Fd. A Dividend J T Sold 3/11/11 J A

(part)

66. 1111 11

Sold 8/8/11 J A

(part)

67. " " "

Buy 8/15/11 J

68. Fidelity Contra Fd. A Dividend J T Sold 3/11/11 J A

(part)

1. Income Gain Codes: A =$1,000 or less B 41,001-$2.500 c =$2,501 - $5,000 D =$5,001 • $15,000 E=$15,00 l -$50,000

(Sec Columns Bl and 04) F=$50.00I -$100,000 G =$I 00.00I - $1.000.000 Ill =$1.000,001 -$5.000.000 112 =More than $5.000,000

2. Value Codes J =$15,000 or less K =$15,001 -$50.000 L =$50,001 -$100.000 M =$!00.001 - $250,000

(Sec Columns CI and 03) N =$250.001 - $500.000 0 4500,00 I - $1.000.000 Pl =$1.000.001-$5,000,000 P2 =$5.000,001 -$25,000.000

P3 =$25.000.001-$50.000,000 P4 =More than $50,000,000


(Sec Column C2) U =Book Value V=Othcr W =Estimated

A. B. c.

(I) (2) (I) (2)

D.



VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those ofspouse and dependent children; see PP· 34-60 offiling imlructions.)



(including trust assets) reporting period ofreporting period

{I) (2) (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type(e.g., Date Value Gain Identity of

exempt from prior disclosure Code I djv., reil.t, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (ifprivate

(QcW) transaction)

69. " "" Sold 3/17/11 J A

(part)

70. 11 1111 Sold 617/11 J A

(part)

71. Fidelity Select Wireless Fd. A Dividend J T Sold 8/8/11 J A

(part)

72. 1111 11 Buy 8/15/11 J

73. Fidelity Select Natural Gas Fd. A Dividend J T Buy 3/24/11 J

74. 11 11 11 Buy 8/15/11 J

75. Dodge & Cox International Fd. A Dividend J T Sold 3/11/11 K A

(part)

76. 11 1111 Sold 3/17/11 K A

(part)

77. 11 11 11 Sold 8/8/11 J A

(part)

78. 11 1111 Buy 8/15/11 J

79. Pennsylvania Mutual Fd. A Dividend J T

80. Royce Premier Fund A Dividend J T Sold 8/18/11 J A

(part)

81. Royce I 00 Fund A Dividend J T

82. Royce Value Plus Fd. A Dividend J T Sold 6/8/11 J A

(part)

83. Northwestern Mutual Modified Whole Life D Interest M T Policies

84. Mass. Mutual Whole Life Policy c Interest K T

85. Thrivant Lutheran Brotherhood Whole Life A Interest K T Policy

I. Income Gain Codes: A 41.000 or less B =$1,001 - $2.500 c =$2,501 -$5,000 0 =$5,001 -$15.000 E =$15,001 -$50.000

(Sec Columns Bl and 04) F =$50.001 - $I 00,000 G =$I 00,00I -$1.000.000 HI =$1.000,001 -$5.000.000 112 =More than $5.000.000

2. Value Codes J =$15.000 or less K =$15,001 -$50.000 L =$50,00I -$100.000 M =$100.001 - $250,000

(Sec Columns Cl and 03) N =$250.00I -$500.000 0 =$500,00I - $1,000,000 Pl =$1.000,001 - $5,000.000 P2 =$5,000.001 -$25,000.000

P3 =$25,000.001 - $50.000.000 P4 =More than $50,000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market

(Sec Column C2) U =Book Value V =Other W =Estimated

A. B. c.

{I) (I) (2)

(J-P)

D.

(2)

(J-P)



VII. INVESTMENTS and TRUSTS - income, vat11e, transactions r1nc111des those ofspouse and dependent children; see pp. 34-60 offiling instructions.)



( including trust assets) reporting period ofreporting period

(2) (I) (3) (4) (5) Place "(X)" after each asset Amount· Type(e.g., Value Value Type (e.g., Date Value Gain Identity of

Code Jexempt from prior disclosure div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) .. or int.) Code3 redemption) (A-H) (ifprivate

transaction)(Q-W)

86. Janus Enterprise Fund D A Dividend J T Sold 3/17/11 J A

(part)

87. 1111 11

Sold 8/8/11 J A

(part)

88. tlllrt

Buy 9/15/11 J

89. Janus Global Research Fund D A Dividend J T Sold 3/11/11 J A

(part)

90. 11 11 11

Sold 3/17/11 J A

(part)

91. 11 1111

Sold 617/11 J A

(part)

92. " " "

Sold 8/8/11 J A (part)

93. "

Buy 8/15/11 J

94. Fidelity Canada Fd. A Dividend K T Buy 3/24/11 J

95. PERA Growth & Income Fund A Dividend Sold 1/24/11 J A

96. Fidelity Real Estate Investments A Dividend J T Sold 8/8/11 J A

(part)

97. 11 1111

Buy 8/15/11 J

98. Fidelity Environmental Alternative Energy A Dividend J T Sold 08/08/11 J A

(part)

99. 11 11 11

Buy 8/15/11 J

100. Janus Fund D A Dividend J T Sold 8/17/11 J A

(part)

10 I. " " "

Sold 8/8/11 J A

(part)

102. 111111

Buy 8/15/11 J

I. Income Gain Codes: A=$1,000or Jess B=$1,001 -$2,500 c =$2,501 - $5,000 D=$5,001 - $15,000 E =$15.001 - $50.000

(Sec Columns B l and 04) F=$50.001 -$100,000 G=$100.00I -$1.000,000 Ill =$1.000,001 -$5.000.000 112=More than $5.000.000

2. Value Codes J=$15.000orless K =$15,001 -$50.000 L=$50,001 -$100,000 M=$100.001 -$250,000

(Sec Columns C I and DJ) N =$250,001 -$500.000 0=$500,00I -$1,000,000 Pl =$1 ,000.001 -$5,000,000 1'2=$5.000.00I -$25,000.000

P3 =$25,000,00I -$50.000.000 1'4 =More than $50,000,000

3. Value Method Codes Q=Appraisal R =Cost (Real Estate Only) S=Assessment T=Cash Market

(Sec Column C 2) U=Book Value V=Other W=Estimated

A. B.

(I)

(J:P)

D.

(3)


Page 10of12 0710912012Ebel, David M.

VII. INVESTMENTS and TRUSTS --income, va/11e, transactions (lnc/11des those t>fspo11se and dependent children; see PP· 34-60 of filing instr11ctions.)


C. Description of Assets Income during Gross value at end Transactions dming reporting period


(2) (I) (2) (I) (2) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of

exempt from r.rior discfosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code 1 buyer/seller (A-H) or int.) Code3 redemption) (J-P) (A-H) (ifprivate

(Q-W) transaction)

I 03. Fidelity Select Natural Resources A Dividend J T Sold (part)

8/8/11 J A

104. 11 11 11

Buy 8/15/11 J

I 05. Dodge & Cox Global Stock Fund A Dividend J T Sold (part)

8/8/11 J A

1. Income Gain Codes: A=$1.000 or less B =$1,001 - $2.500 c =$2.501 - $5,000 D =$5.001 -$15,000 E =$15,00 I -$50.000

(Sec Columns Bl and D4) F=$50.001 -$J 00,000 G=$100.001 -$1.000.000 Ill =$1.000.001 - $5.000.000 112 =More than $5.000.000

2. Value Codes J=$15,000orless K=$15,001 -$50.000 L=$50.00I -$I 00.000 M =$ I00.00 I -$250.000

(Sec Cohmms C I and D3) N=$250,001 -$500.000 0 =$500.001 - $1.000.000 Pl =$1.000.001 -$5.000.000 P2=$5.000,001 -$25,000.000

P3 =$25.000.001 -$50.000.000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S=Assessment T=Cash Market

(Sec Column C 2) U=Book Value V=Othcr W=Estimated

Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT

Page 11 of 12 Ebel, David M. 0710912012

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofreport.)

VII. Investments and Trusts:

Line 73: In the 2010 disclosure form I inadvertently repeated this entry---1 listed it once on line 59 and again on line 60 as a repeat. This 2011 report corrects that

and discloses this investment correctly just once, on line 73 of this 2011 report.

Line 98: Fidelity Select Enviornmental Services has been renamed Fidelity Enivornmental and Alternative Energy.



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 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.

Signature: s/ David M. Ebel

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES OR FAILS 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

Documents

AO IO FINANCIAL DISCLOSURE REPORT Report Required by …112012 3. 3. Report Required by the Ethics AO I. O FINANCIAL DISCLOSURE REPORT . in Govenment Act of 1978 . Rev. FOR CALENDAR