Alan B Johnson Financial Disclosure Report for 2009

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FINANCIAL DISCLOSURE REPORT
FOR CALENDAR YEAR 2009
2. Court or Organization DISTRICT COURT-WYOMING 5a. Report Type (check appropriale lype) [----] Nomination. I--] Initial Date [’~ Annual

Reporl Requi,’ed by the Ethics
(5 U.S.C. ~pp. ,~" 10/411)
3. Date of Report 05/14/2010 6. Reporting Period 01/01/2009 to 12/3112009 in Government Act of 1978

1. Person Reporting (last name, first, middle initial) JOHNSON, ALAN B. 4. Title (Article III judges indicale active or senior status; magislratc judges indicalc bdl- or part-time) ACTIVE JUDGE, U.S. DIST. COURT

[--"i Final

5b. [] Amended Report 7. Chambers or Office Address 2120 CApITOl, AVE., SUITE 2242 CHEYENNE, WY 82003 8. On the basis of the information contained in this Report and any modifications pertaining thereto, it is, iu my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date

IMPORTANT NOTES: The instructions accompanying this fornt must be ]bllowe,4 Complete all parts, checking the NONE box for each parr where you have no reportable information. Sign on lastpage.

1. POSITIONS. (++v,,~ang individual only; seepp. 9-1.~ of filing instructimt+.)
[~ NONE (No reportable positions.) POSITION
I. FORMER/vIEMBER (RETIRED)

NAME OF ORGANIZATION/ENTITY
WYOMING NATIONAL GUARD, CHEYENNE+ WYO.

2. 3. 4, 5.

FORMER MEMBER BOARD OF DIRECTORS MEMBER, ADVISORY BOARD TRUSTEE TRUSTEE

CHEYENNE FRONTIER DAYS UNITED MEDICAL CENTER, HOME HEALTH SERVICES TRUST #2. See Explanation and Description at Part VIII and Part VII TRUST #3, See Explanation and Description at Part VIII and Parl VII

I1. AGREEMENTS. (Reporting individualonly; xeepp. 14-16 of filing instructions.)
NONE (No reportable agreements.) DATE
I. 2.

PARTIES AND TERMS

Johnson, Alan B.

FINANCIAL DISCLOSURE REPORT Page 2 of 6

No.,e of Verso,, R~po,-~.g aom~sor~, ALAN B.

D~t~ of Repo.t 05/14/2010

III. NON-INVESTMENT INCOME. :Repo.,i.g ~.aiv~d.o~ ~na.poo.~; ~...p. 17-z4 o::li,,# i.~..aio..~.) A. Flier’s Non-investment Income
NONE (No r~portctble non-investment income. DATE
I. 2. 3.
4.

SOURCE AND TYPE

1NCO!vIE
(yours, not spouse’s)

B. Spouse’s Non-Investment Income - tf y~,u were married daring anyportion of the reporting yea~, complete this section,
(Dollar amot~nt trot r~quir~d e.~ceptJbr hot;orario.)

~

NONE (No reportable non-investment income.) DATE
I. 2009

SOURCE AND TYPE
Lockheed Maain Coo MasIer Retirement Trust

2.

3. 4.

IV. REIMBURSEMENTS ...... .,po~,~,io., loagi.x, :~oa, ..... ,~i .... ~
NONE (No reportable reimbursements.)

SOURCE
I.

.DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

3. 4. 5.

FINANCIAL IDISCLOSUR£ REPORT Page 3 of 6

JOhNSOn, ALAN B.

05/14/2010

V. GIFTS. a.~.t,a,,. ,ho~,, ,o ~vo,~, ~,~ a,,,,a,,, chitdren: see pp. 28-31 of firing i~structions.; NONE (No reportable g~s.) SOURCE
I. 2. 3. 4. 5.

DgSCRIPTION

VALU~

Vl.
[~

LI2~.DII~IIII2~-.TM. (Inch, des those of sp .......

d dependent ,’hildre,,: seel~p. 32-33 of f!littg instructions.)

NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE ~QDE

1.

2. 3. 4. 5.

FINANCIAL DISCLOSURE REPORT Page 4 of 6

r~a.,~ orP ..... Repo.i.~ Jonnsor~, ALAN B,

I [

Da,e or R~po~ 05/1412010

VII. I~ESTMENTS and TRUSTS - ~.¢o~, ..~.~, ,~..~.~no~, ancludes those o]’wouse and dependent chilarem see pp. 34~0 of fili#g inslr.ctlo.s.)
NONE (No reportable income, assets, or transactions.)
Description of Assels (including I~st assets) Place"(X)" after each asset exempt f~m pfor disclosure Income during reporting period Gross value al end of reposing period I ! Tmnsa~lions during reposing ~riod

~Amount ;~ Type (e.g., Vulu~ :: Codo 1 [ div., rent, Code 2 (A-H) ~ orint.) ............. (J’P)

] Value ~ Ty~ (e.g., Method : buy, sell. Code3 ~ redemption) ’ (Q-W) ~

Date ~ Value ~ Gain mn~ddiyy ~ Code 2 ’ Code ] ~ (J-P)~ (A-H) ~ [. ~ .....

Identity of" buyer/seller (ifprivatc t~an~ction )

I.

TRUST #2

C

lnt.iOiv.

K

T

2. 3,

-AMERICAN NATL BANK ACCOUNT -WELLS FARGO BANK ACCOUNT

i 4, 5. 6. 7.
8.

TRUST #3 -EXCEL ENERGY, 1NC. -AMERICAN NATL BANK ACCOUNT -FIDELITY CASH RESERVES
NEW YORK LIFE INS. WIIOLE LIFE UNITED SERVICES AUTO’ ASSOC.

C

Int./Dis,.

M

T

C A 13

Dividend Distribution lnt.!Div,

L J N

T T T

9. 10.

WYOMING DEFERRED COMP

14.

16. 17.

FINANCIAL DISCLOSURE REPORT

~a,~e of eersoa Reporting

] Date of Report

Page 5 of 6

JOhNSoN, ALAN B.

05/14/2010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. andicat~parrofRe~o~
Cheyenne Frontier Days is a non-profit coq’~oration that organizes and sponsors attd week-long western celebration and rodeo tbr the benefit of the community. Through the Old West Museum it also seeks to collect and preserve historical material from this region as well as a collection of’ historical carriages and period clothing. The Board of Directors reviews the operation and management of the organiTation to insure that the mission and objectives are followed. My tem~ of service on the Board of Directors ended on October 4, 2008. United Medical Center is the local hospital organization. The provision of nursing and care seo.,ices to patients in their homes is one of the services provided through United Medical Center. As part of tire concern for the quality of patient care members of the public as well as medical professionals have been placed on an advisory board, which meets periodically. The Federal Judges Association is an organization composed of Federal Jndgcs. Its objectives are to seek to improve the salary, benefits, and working conditions of the Federal judiciary through educational programs, support of legislative initiatives and working closely with the Administrative Offices of United States Courts. The organization is supported by the voluntar3o payment of dues by its members, t am currently the reprcsenlative fi-om my circuit on the board and report to the judges iu my circuit, My service as a Circuit rept’esentative to the Federal Judges Association ended in 2007. 1 have deleted Living Trust #1 from VII Investments and Trusts because it is a financial vehicle that was during the reporting period solely under the control of~ It contained financial interests that are the sole financial in~erests and responsibility of No portion of the trust is derived tram my assets, income or activities or those of I have no knowledge of the financial transactions other having been told that it ,,,,’as created and what the approximate value is. During the reporting ~ri0d"l ~ti6’not derive or expect to derive a benefit from the trust. See letter from Comrnittcc on Financial Disclosure, dated August 8, 2008. The American College of Trial Lawyers is a national organization of lawyers, who are dedicated to support and improve courts in the United States and to maintain high standards of professional conduct within the practice of law. Among the many acti,Aties under the auspices of the organization is an annual meeting which was bold in July, 2005 at Grand Teton National Park, Jackson, Wyoming. 1 was invited to attend and speak at the conference on environmental issues confi’onting the federal cour~ in Wyoming and the region. A framed wildlife photograph was presented to each of the speakers, l did not attend any fimction of The American College of Trial Lawyeer in 2006, and anticipate that my participation was a only for the purpose of presenting the education program in 2005. In Part VII 1 have unintentionally omitted reference in past years to a paid policy of whole life insurance on my life with New York Life Insurance Company. New York Life Insurance and the Cash Value has been listed to correct this error. T!~.~st//2 and Trust #3 were created to implement premarital and estate planning. It is anticipated that additional assets will be placed in the trusts in the future. Trust #2 holds and controls items 2 and 3, bank accounts at American National Bank and Wells Fargo National Bank, Part VII. Trust #3 holds and controls items 4, 6 and 7, the Xcel Energy shares, the American National Bank account, and the Fidelity Cush Reserves account respectively. These listings have been expressed in the aggregate method in Part VII. The First interstate Bank account was closed when the mortgage on my personal residence was paid in ti~ll during the reporting period (2007). Wyomiag Deferred Compeasation Plan is a program for State Employees to deposit eamingz lbr deferred tax investment. I receive reports entitled W;yoming Retiremeru System 457 Deferred Compensation Plan cio Great West Retirement. There are various options that an employee may use for investment. My contribution is presently in what is called Stable Value Fund which has the stated purpose of preserving the value of the investment with fixed income securities, U.S. Treasury debt. and corporate based mortgage debt instruments.

FINANCIAL DISCLOSURE REPORT
Page 6 of 6 IX. CERTIFICATION.

Na~e of P ..... Reportiag

Date of Report

[

Jon~’so,~, ALAN B.

05/14i2010

I

I certify that all information given above (including information pertaining to my spouse and minor or dependent childreu, if any) is accurate, tr~le, and complete to the best of my knowledge and belief, and that any infin’mation not reported was withheld because it met applicable statuto~’ provisions permitting non-disclosure. ! h~rther certify that earned income from outside employment aad honoraria and the acceptance of gifts which have been reported are iu compliance with the provisions of 5 U.S.C, app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Cmfference regulations.

Signatnre

NOTE: ANY INDIVIDUAL WltO KNOW1NGI,¥ AND WII,FUIA,Y FALSIFIES OR FAILS TO FILE THIS REPORT MAY lie SUBJECT TO CIVIL AND CRIM|NAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Adminislrative Office of the United States Courts Suilc 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

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