Joseph F Bataillon Financial Disclosure Report for 2010

8/3/2019 Joseph F Bataillon Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person R eport ing (last name, f i rst , middle ini t ia l )Bata i l lo n , J o sep h F .

4. Ti t l e (Ar t ic le DI judges indicate ac t ive or sen ior s ta tus ;magist rate judges indicate fu l l - or par t - t ime)

Ar t . III D is t r i c t Ju d g e A ct iv e

7. Chambers or Office Address3 2 5 9 R o m a n H r u s k a C o u r t h o u se1 1 1 So uth 1 8 th P laza , S te 3259Omah a , NE 68 1 02-31 22

2. Court or Organizat ionN ebraska

3. Date o f R e p o r t05/13/2011

5a . Repor t Type (check appropr ia te type)] Nominat ion, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas is o f the in formation conta ined in th is Repo r t and anymodif ica tions per ta in ing there to , i t is , in my opin ion , in com pliancewith appl icab le laws and regulat ions .

Reviewing Off icer Date

6. Repor ting Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followed. Complete afl parts,check ing the NONE box for each par t where you have no repor table information. S ign on las t page.

I . P O S I T I O N S . (Revo.i.g i.divid.ui o.ly; s e ~ v v . 9 - 1 3 of f!ling instructions.)~-] ~o reportable positions.)ONE

POSITION1 . H o u s e o f D e l e g a t e s M e m b e r2. A d v i s o r y C o m m i t te e Creigh ton Univer s i ty S choo l o f Law3.

4.5.

N A ME O F O R G A N I Z A T I O N / E N T I T YN e bra ska S ta t e B a r A sso c i a t i o n

I I . A G R E E M E N T S . ( R ~ v o r t i . g individual only; seepv. 14-16 of filing instructions.)~ (No reportable agreemen ts.)O N E

DATE P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 of 7

N a m e o f P e r s o n R e p o r t in gBata i l lon, Joseph F.

D a t e o f R e p o r t05/13/2011

III. N O N - I N V E S T M E N T I N C O M E . ( . e p o r t i. g in d i v id u a l a n d s p o u s e ; see p p . 1 7 - 2 4 of filing instructions.)A. Filers Non-Investment Income

~ NON E (No reportable non-investment income.)DATE SOURCE AND TYPE

2.3.4.

I N C O M E( y o u r s , n o t s p o u s e s )

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If you were married during anyportion of the reporting year, complete this section.(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.)

1 .20102.3.4.

D A T E SOURCE AND TYPEUnivers i ty of Nebraska Medical Center , sala~

I V . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e . g(Includes those to spouse and dependent children; see pp. 2 5-27 off! ling instructions.)

[~ N O N E (No reportable reimb ursements.)

2.

3.4.5.

S O U R C E D A T E S L O C A T I O NThe Aspen Institute 6/10/10 to 6/13/10 Greentree, NYN o r t h C a r o l i n a A d v o c a t e s f o r 1 2 / 0 9 / 1 0 t o 1 2 / 1 0 / 1 0 Green sbo ro , NCJ us t ice Fo un d a t io n

PURPOSESeminarS e m i n a r P r e s e n t a ti o n

ITEMS PAID OR PROVIDEDT r a v e l , m e a l s a n d l o d g i n g e x p e n s eT r a v e l , m e a l s a n d l o d g i n g e x p e n s e


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Name of Per son Repor tingB a t a i l l o n , J o s e p h F .

Date of Report05/13/2011

V . G I F T S . a n e l u d e s t h o se t o s p o n s e a n d d e p e n d e n t chi ldren; see p p . 2 8 - 3 1 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n e l n d e s those of spouse and dependent children; see pp. 32-33 of filing instructions.)~ N O N E (N o reportable liabilit ies.)

CREDITOR DESCRIPTIONI. N elnet Loan C o l l e g e P l u s L o a n2.3.

4.5.

VALUE CODEK


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Name of Per son R e p o r t i n gB a t a i l l o n , J o s e p h F .


V I I . I N V E S T M E N T S a n d T R U S T S -- income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Description of Assets Income during(inc luding t rust assets) report ing per iod

(l ) (2 )Place "(X)" af ter each asset Amount T y p e ~ . e . g . ,

exempt f rom prior disc losure Code 1 div.. rent.(A-H) o r i n t . )

G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r io do f r e p o r t i n g p e r i o d "(1) (2) (t ) (2) (3) (4", ( 5 )Value V a l u e T y p e ( e . g . , D a t e Val ue G a i n I d e n t i . w o fC o d e 2 M e t h o d b u y . s e l l , m r r d d d / y y Code2 C o d e 1 buyer/seller

( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A -H ) ( i f p r i v a t e( Q - W ) t r a n s a c t i o n )

1 . U S B a n k A c c o u n t s A Interest J2. Ban k o f th e W es t Acco un t s A Interest J3. Secur i ty Nat io n a l Ban k Acco un t s A Interest J4. M o r g a n S t a n l e y S m i t h B a r n e y B a n k D e p o s i t A InterestP r o g .5. W estern Asse t Mo n ey Marke t Fun d Clas s A A ln terest6 . B e r k s h i r e H a t h a w a y C l a s s B N o n e

Merged 12/10/10(with l ine 4)

7. D i a g e o P L C S p o n s o r e d A D R N e w A Div idend J8. Fi rs t En erg y Co rp . s to ck A Div idend J9. Newmo n t Min in g Co rp . s to ck A Div idend JI0 . M e r r i l l L y n c h T r u s t V 7 . 2 8 C u r e p r e fs t o c k A Interest J1 1 . U S A A I n s . A c c o u n t A Distribution J

1 2 . Intel Corp s tock A Div idend J1 3 . L e g g M a s o n C B A p p r e c i a ti o n C L A A Div idend1 4 . L e v e l 3 C o m m u n i c a t i o n s I n c . s t o c k N o n e

JJ

T

TS old 12/07/10 J(part)

1 5 . Toyota Mor to r Corp A Div idend J

1 6 . A m g e n N o n e J1 7 . C isco Sy stem s In c N o n e J

1~ In co m e G ain co d es: A = $1,000 o r less B =$1.001 - $2,500(S ee Co lumns B I and D4) F =$50,001 - $100,000 G =$100,001 - $1 ,000,000

2 . Va lue Co d e s J =$15,000 or less K =$15,001 - $50,000(Se e Co lum n s C 1 a n d D 3 ) N = $250,001 - $500,000 O = $500,001 - $1 ,000,000

P3 =$25,000,001 - $50,000,0003. Value Method Codes Q =Appr a i s a l R =Cost (Real Estate Only)(S ee Co lumn C2) U = Bo o k Va lue V = O t h e r

C =$2,50 ~ - $5,000 O =$5,001 - $15,000H 1 =$ 1 ,000100 i - $5 ,000 ; 000 H2 ~More than $5;000~000L-$50,001- $ 100,000 M = $100 ,001-$250,000PI -$12000,001 -$ 5!000,000 P2 =$5!000;001 - $25,000,000P4 =More than $50,000,000S = A s s e s s m e n t T =Cash Marke tW = Es t im a te d

E =$15,001- $50,000


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FINANCIAL DISCLOSURE REPORTPage 5 o f 7

N a m e o f P e r so n R e p o r t i n gBata i l ion, Joseph F.


V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s( i nc l udi ng t r us t asse t s)

Place "(X)" after each assetexempt from prior disclosure

B . C . D.Incom e during G ross v alue at e nd Transac t ions during report ing per iod

reporting period of reporting period( 1 ) ( 2 ) (1) (2) (1 ) (2) (3) (4) (5 )

A m ou n t Type (e.g., V alue V alue Type (e.g., Date V a l u e Gain I d e n t i . t y o fCode 1 div., rent, Code 2 M e th o d buy, se l l , m m / d d / y y C ode 2 Code 1 buyer/seller(A-H) o r i n t . ) ( J - P ) Code 3 redem ption ) (J-P) (A -H) (if private(Q-W) transaction)

1 8 . Ban k o f Am er ica Co rp , s to ck A1 9 . Cap i ta l W o rld Gro wth & In co me Fun d Clas s AC20 . D e l a w a r e E m e r g i n g M a r k e t s F u n d C A2 1 . F i d e l i ty A d v i s o r N e w I n s i g h ts F u n d C L C A

DividendDividend KDividend JDividend J

Sold

T

T

T

12/07/10

22 . L e g g M a s o n M D A 3 M a n a g e d I R A A Int./Div. M23 . W e s t e rn U n i o n C o m p a n y A Dividend J

I. Income Gain Codes:(Se e Co lum n s BI a n d D 4)

2. Va lue Co d e s(Se e Co lum n s CI a n d D 3 )

3. Va lue Me tho d Co d e s(Se e Co lum n C2 )

A =$1,000 orlessF =$50,001- $100,000J= $15, 000or l essN =$250,00I- $500,000P3 =$25,000.001- $50,000,000Q =A ppr a i sa lU = Bo o k Va lue

B=$1,001 - $2;500G=$100,001 - $1,000,000K=$15,001 - $50,000O=$500,001 - $ 1,000,000R =Cost (Real Estate Only)V = O t h e r

c = $ 2 , 5 0 ~ - $ 5 , 0 0 0 0 =$5,001 - $15,000 E =$15,00~ - $ 5 0 , 0 0 0HI =$1 ,000,001 - $5,000,000 H2 aM0re than $5,000;000 ....L =$50,001 -$100,000 M = $ 1 0 0 ~ 0 0 1 = $ 2 5 0 ,0 00PI =$1,000;001 - $5,000,000 P2 --$5;000,001-$25 000 000P4 =More than $50,000,000S = A s s e s s m e n t T = Ca s h Ma rk e tw = Es t im a te d


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Name of Per son R e p o r t i n gB a t a i l l o n , J o s e p h F .

D a t e o f R e p o r t05/13/2011

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (Indicate part of report.)Par t VII , L ines 4 & 5 Morgan S tan ley S m i th Barney merged i t s bank depos i t and mon ey ma rket funds to a p ropr ie tary p rogram that u ses Ci t ibank N A Ban kD e p o s i t P r o g r a m a n d C i t ib a n k N A S o u t h D a k o t a B a n k D e p o s i t P r o g r a m f o r F D I C p u r p o s e s . W e s t e rn A s s e t M o n e y M a r k e t F u n d C l a s s A i s n o l o n g e r u s e d f o ran y o f th e rep o r ted acco un t s .


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N ame o f Per so n R ep o r t i n gB a t a i l l o n , J o s e p h F.

Date of Repor t05/13/2011

IX. CERTIFICATION.I c e r t if y t h a t a l l i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i l d r e n , if a n y ) i s

a c c u r a t e , t ru e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s t a t u t o ryp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .I f u r t h e r c e r t i fy t h a t e a r n e d i n c o m e f r o m o u t s i d e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i n

c o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signature: S/Joseph F. Bata illon

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A L L S T O F IL E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C . a p p . 1 0 4 )

Com m i t te e on F i na nc i a l D i s c l o s u r eA dm i n i s tr a t ive O f f ic e o f t h e U n i t ed S t a t e s Cour t sSui t e 2-301O ne C o l um b us C i r c le , N . E .Wa s h i ng t on , D . C . 2 0 5 44

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Joseph F Bataillon Financial Disclosure Report for 2010