james l dennis financial disclosure report for 2010

8/3/2019 James L Dennis Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 3~3 101-111)

1. Person Repor ting ( las t name, f ir s t , middle init ial)Denni s , J ames L .

4 . T i t le (Ar t ic le 111 judges indicate ac t ive or senior s ta tus ;magistrate judges indicate full- or part-time)U.S . C i rcu i t Judge , Act ive

7 . C h a m b e r s o r O f f i c e Ad d r e s sJ o h n M i n o r W i s d o m B u i l d in g600 Camp S t ree t , Roo m 219New Or leans , LA 70130

2. Court or Organizat ionU .S. 5 t h Ci r . Cour t o f A ppe a l s

3. Date of R e p o r t05/01/2011

5a. Repor t Type (check appropr ia te type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the basis o f the in fo rma tion con ta ined in th is Report and anymod if ica t ions per ta in ing there to , it i s , in my o pinion, in comp l iancewith appl i cable l aws and regula t ions .

6. Report ing Pe riod01/01 /2010

to12/31/2010

R e v i e w i n g O f f i c e r Dale

I M P O R T A N T N O T E S : The instructions accompanying this form must be followetL Complete all parts,checking the NON E box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . R e p o m n g i . a iv l d u a t o n t y ; ~ e ~ , p . 9 - 1 3 of filing instructions.)---] N O N E (No reportable positions.)

POSITIONI. M e m b e r , A d v i s o r y C o m m i tt e e

2. M e m b e r , L SU L a w C e n t e r B o a r d o f T r u s te e s

3.4.

5.

NAME OF ORGANIZATION/ENTITYGeo. W . & Jean H. P u gh Ins t i t u t e fo r Jus t ice , a fund he ld by the L .S .U.F ounda t ion for the bene f i t o f L .S .U. Law S choolLou i s i ana S ta t e Unive rs i ty Law Cente r Board o f T rus t ees , a cons u l t a t ive body tothe Chance l lo r

I I . A G R E E M E N T S . t R ~ p o r t i ,, g i n a i ~ i a u o : o n t .v ; s ~ e p r . 1 4 . 1 6 of fillng instruction~)~ NONE (No reportable agreements.)

DATEI . 10/02/95

2.3.

PARTIES AND TERMSLA State Employees Retirement System. No control; ful ly vested 10131/94. See La.R.S. I 1:551


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FINANCIAL DISCLOSURE REPORTPage 2 o f 8

N a m e o f P e r s o n R e p o r t in gDennis, James L.

Date of Report05/01/2011

III. N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investm ent Incom e~-~ (No reportable non-investment income.)O N E

DATE SOURCE AND TYPE INCOME( y ou r s , no t s pou s e s )

I . 2010 LA Sta te E m p lo y ee s R e tirem en t Sy stem - P e n s io n $5 8 ,000 .002.3.4.

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 - i f you were m arried during a nyportion of the reporting year, complete this section.(D ollar amount not required except for honoraria,)

D (No reportable non-investment income.)O N E

1 .20102.3.

4.

D A T E _ SOURCE AND TYPETeachers Ret i rement Sys tem of Loui s iana - pens ion

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertainmen~(Includes those to spouse and dependent children; see pp. 25 -27 of filing instructions.)

N O N E (No reportable reimbursements.)SOURCE DATES LOCATION

I.

2.3.4.5.

PURPOSE ITEM S PAID OR PROVIDED


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Date of R e p o r t05/01/2011

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

SOURCE!.2.3.4.5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a nc l n d es th o s e o / s p o n s e oud dependent children; see pp. 32-33 of filing instructions,)NONE (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.

3.4.5.

VALUE CODE


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N a m e o f P e r so n R e p o r t i n gDennis , James L.

Date of Report05/01/2011

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.)D NONE(No reportable income, a ssets, or transactions.)

2.3.

4.5.

6.7.8.

9.

1 0 .II.

12 .

1 4 .

1 5 .

1 6 .1 7 .

A. B. C.De sc r i p t i on o f A s s e ts In c o m e d u r in g Gros s v a l u e a t e nd

(including t r u s t a s s e t s ) repor t ing per iod o f r e po r t i ng p e r io d( 1 ) ( 2 ) (t) (2)

Place " (X)" a f te r e a c h a s s e t A m o u n t Type (e,g., V a lu e V a lu eexempt from prior disclosure C o d e 1 div. , r ent , C o d e 2 M e t h o d( A - H ) or i n t . ) (J-P) C o d e 3( Q - W )

Transac tions during report ing p e r i o d

(1 ) (2) (3)Type (e.g., D a t e Valuebuy, se ll, m m/dd /yy Code 2

redemption) (J-P)

Alliance Bernstein (FKA AllianceW orldwide Privatization)Hosp itality Propert ies

A Dividend K TA Dividend J T

Mu nicipal Mortgage & Equity A Dividend J TAmerican Cap Ltd. (FKA American Cap A . DividendS t r a t e g i e s )DCP Midstrea m A Dividend T

So ld 12/31/10

Bank Deposit Program (FKA Centennial A I n t e r e s t L TMoney M arke t ) WachoviaEV Energy Partners B Dividend K TRayonier, Inc. A Dividend K TNovertis Ag A Dividend

Inergy LP A Dividend J TAnchor Natl Life Polaris Choice 11 Variab le A Dividend M T

Sold 10/08/10

Annuity (FKA AnCrosstex Ener gy L.P. A DividendEnergy Transfer Equity B DividendRegency Energy Partners A DividendF e r r a l G a s P a r t n e r s C Dividend

Amgen A DividendAppo l l o Inv . Ca rp A Dividend

J T

K T

J T

J

J

T

T

Sold 06/I 1/10

( 4 ) ( 5 )G a i n I d e n t i t y o f

Code 1 b u y e r / s e l l e r(A-H) ( i f p r i v a t e

transaction)

I . Income Gain C0dcs: A =$1,000 or less B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5,001 - $1 5,000( S ee C olu mns B 1 and D4 ) F = $50.001 - $ 100,000 G = $ 100,001 - $1,000,000 H 1 = $1,000,001 - $5,000,000 H2 =More than $5,000,0002. Value Codes J = $15,000 of less K =$15,001 - $50,000 L = $50,001 - $100,000 M = $ 100,001 - $250,000

( S ee C olu nms C I and I ) 3 ) N =$250.0111 - $500.000 O =$5 00.001 - $1 ,000,00 0 P I = $1 ,00 0,0 01 - $5 ,00 0,0 00 P2 = $5,000,00t - $25,000,000P 3 = $ 2 5 . 0 0 0 , 0 0 1 - $ 5 0 , ( ) 1 ) 1 ) , ( ) I) 1 ) P4 -More than $50,000,0003. Value Melhod (()des Q ~ Appraisal R =C os t ( R eal E s t a t e Only ) S =As s es s ment T = C a s h M a r k e t(Se e ( o lumn ( 2 ) U =B ook Valu e V -Othe r W =Es t imated

E = $ 1 5,0 0 1 - $ 50 ,0 00


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FINANCIAL DISCLOSURE REPORTPage 5 of 8


Date of Report05/01/201 I

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 ( N o reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f A s s e t s In c o m e d u r in g G r o s s v a lu e a t e n d T r a n s a c tio n s d ur ing r e po r t i ng p e r i o d

( including 1 r e s t a s s e t s ) repor t ing per iod o f r e po r l i ng p e r io d(1) (2) (1) (2) (I) (2) (3) (4) (5)

Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e Type (e.g., D a t e V a l u e G a i n Identity ofexempt from prior disclosure C o d e 1 d iv , , r en t , C o d e 2 M e t h o d buy , s e l l , mm/dd/yy C o d e 2 Code l b u y e r / s e l l e r( A - H ) or i n t . ) ( J - P ) C o d e 3 r e d e m p tio n ) ( J- P ) ( A - H ) (if private

( Q - W ) t r a n s a c t i o n )

1 8 . Encore Energy Partners B Dividend1 9 . Energy Transfer Partners B Dividend20 . Enterprise Prods partners B Dividend21 . JP Morgan Short Term Bond Fund A Dividend22 . Kinder Mo rgan Energy (FKA Kinder A DividendMorgan)23 . Penn West Petroleum A Dividend24 . Plains All American Pipeline B Dividend25 . Que st Energy Partners/merger now Postrock A DividendEnergy26 . Postrock Energy A Dividend

27 . Targa Resources Partners A Dividend28. Travel Centers of America A Dividend29 . Vanguard NaturalRe~ource B Dividend30 . Euroseas Ltd A Dividend31 . Teekay Tankers A Dividend32 . Psychiatric Solutions A Dividend33 . Visa A Dividend34. American Water W orks A Dividend

J T

J T

K T

L T

J T

J T

K T

J T

J TJ T

K T

J T

J T

J T

Merged 03/10/10 J(with l ine 26)

S old 12/31/10 J

Sold 03/11/10 J

I . I nc ome G ain C odes : A = $1.000 o r le ss B = $1 ,001 - $2,500 C = $2,501 - $5,000 D = $5.001 - $15,000( S ec C olu nms B I and D4 ) F =$50.001 - $ 100,000 G =$100,001 - $1,000,000 H I =$1,000,001 - $5,000.000 H2 =Mere than $5,000,0002. Value Codes J ~ $ 1 5 , 0 0 0 o r l e s s K =$15,001 - $ 50.000 L = $50,001 - $100,000 M = $100,001 - $250,000

(See C olu mns C I and D3) N ~$250.001 - $500,000 O =$500,001 - $1 ,000.000 PI = $1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P3 = $25,000,001 o $50.000.000 P 4 = Mo re than $50,000,0003, Value Method Codes Q = A p p r a i sa l R = Cost (Real Estate Only) S =As s es s ment T =C as h M ar k et( S ee C olu mn C 2 ) U =B ook Valu e V = O t h e r W =Es t imated

E =$15.O01- $50,000


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Date of Report05/01/201 I

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 an d dependent children; see pp. 34-60 of filing instruction~)D NONE(No reportable income, a ssets, or transactions.)A. B. C.

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g Gross value at en d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d

(l) (2 ) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., Va lu e Va lu e

exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q -W )

35 . W hitingUSA Trust B Dividend J T36 . W esternGas Partners A Dividend J T37 . Genesis Energy A Dividend J T38. M BIA A Dividend J T39 . Centur~telnowCenturyl ink B Dividend K T40 . Mo nroe Louisiana Sales Tax Bond B Interest K T41 . Mo nroe Louisiana Sales Tax Bond A I n t e r e s t K T42 . Proshares Trust Ultra Financial A Dividend J T43 . E1 Paso Pipeline A Distribution J T

44. Intemational Paper A Dividend J T45 . Western Asset Management A Dividend J T

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 i o d

(l ) (2) (3)Type (e.g., D a t e Value

buy, se l l . m m /d d/y y C od e 2redempt ion) (J-P)

Bu y 01/ 13 / 10 J

Bu y 04116110 JBu y 02/23/10 J

(4 ) (5 1Gain Identity of

Cod e I bu y e r/s e lle r(A -H) (if private

transaction)

I . I nc ome G ain C odes : A =$1.000 or less B ~ $1,001 - $2,500 C = $2,501 - $5,000(See Co lum ns BI an d D 4) F = $50,001 - $100,000 G = $100,001 - $1 .000,000 HI =$1,000,001 - $5,000,000

2, Value Codes J :~ $ 1 5 . 0 0 ( 1 o r l e s s K = $15,001 - $50.000 L =$50,001 - $ 100,000( S ee C olu mns C I and D3 1 N ~$250.001 - $500.I10(I O ~$500.001 - $1,000,000 PI =$1,000,001 - $5,000,000P3 =$25.000.0(11 - $50.000.000 P4 -More than $50,000.0003. Value Method Codes Q ~ A p p r a i sa l R ~C os t ( R eal Es t a t e Only ) S ~As s es s mc nt( S ee C olu mn ( 2 ) U ~B ook Valu e V ~ O t h e r W =Es t imated

D =$5,001 - $15,000H2 =More than $5,000,000M =$100,001 - $250,000P2 =$5,000,001 - $25,000,000T =C as h M ar k et

E = $15.001 - $50,000


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N a m e o f P e r so n R e p o r t i n gD e n n i s , J a m e s L .

D ate of Repor t05/01/201 I

VIII. ADDIT IONAL INFORMAT ION OR EX PLANA T IONS. (lndicate part of report.)


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Name o f Pe rson Report ingD e n n i s , J am e s L .

Date o f Report05/01/2011

IX. CERTIFICATION .1 c e r t i fy t h a t a ll 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 ld r e n , i f a n y ) isa 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 to r y

p 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 rt h e r c e r ti f y 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 ts 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 nc 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 .

Signatu re: S] James L. Dennis

N O T E : A N Y I N D IV ID 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 IE S O R F A I 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 ILA 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 04 )

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

james l dennis financial disclosure report for 2010

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