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Judicial Watch • Roger L. Wollman – 2012

Roger L. Wollman – 2012

Roger L. Wollman – 2012

Page 1: Roger L. Wollman – 2012

Category:Federal Judges

Number of Pages:7

Date Created:January 3, 2014

Date Uploaded to the Library:May 22, 2014

Tags:wollman, Roger L Wollman, south, ROGER, Supreme Court, vanguard, Retirement, 2012, filing, spouse, transactions, Codes, dividend, reportable, reporting, report, Federal Judge, income, Judge


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Government Act 1978Rev. FOR CALENDAR YEAR 2012 U.S.C. app. flj 101-111) Person Reporting (last name, first, middle initial) WOLLMAN, ROGER Court Organization U.S.C.A.-EIGHTH CIRCUIT Date Report 04/26/2013 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) U.S. CIRCUIT JUDGE (ACTIVE)  Sa. Report Type (check appropriate type) Nomination Date Initial [{] Annual Sb. Amended Report Final Reporting Period OI/01/2012 12/31/2012 Chambers Office Address 
315 U.S. COURTHOUSE 400 PHILLIPS AVENUE SIOUX FALLS, 57104-6851 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. POSJTJ ONS. (Reporting individual only; see pp. 9-13 filing instructions.) 
[{]  NONE (No reportable positions.)  
POSITION  NAME ORGANIZATION/ENTITY 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) NONE (No reportable agreements.)  

 PARTIES AND TERMS former member the South Dakota State Judiciary, have vested interest the South Dakota Retirement 

Ill. NON-INVESTMENT COME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME 

(yours, not spouse's) 2012 Retirement benefits from S.D. Retirement System $38,874.78 Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria.) 
[{] NONE (No reportable non-investment income.) 
SOURCE AND TYPE 
IV. REIMBURSEMENTS --transportation, /odging,food, entertainment. 
(Includes those spouse and dependent children; see pp. 25-27 offi/ing instructions.) 
[{] NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED GIFTS. (Includes those spouse and dependent children; see pp. 28-31 filing instructions.) 
[{] NONE (No reportable gifts.) 

VALUE
SOURCE 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 32-33 filing instructions.) 
[{] NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 

VII. INVESTMENTS and TRUSTS --income, vat11e, transactions r1nc111des those ofspome and dependent c1iut1ren; see PP 14-60 offiting instructions.) NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  ofreporting period  

(!) 
(2) (2) (5) 
Place "(X)" after each asset 
Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity 
Code
exempt from prior disclosure 
div., rent, Code Method buy, sell, mm/dd/yy Code Code buyer/seller 
(A-H) int.) Code redemption) (J-P) (A-H) (if private 
transaction) Income Gain Codes: =$1,000 less  B41,001 -$2,500  c=$2,501 -$5 .000  D=$5.001 -$15.000 =$15.001 -$50,000  
(Sec Columns and 04)  F=$50,001 -$100.000 4100,001 -$1.000.000  Ill =$1 .000 .001 -$5.000.000  112 =More than $5.000.000 Value Codes  J=$15.000or lcss  K=$ 15,001 -$50.000  L=$50.001 -$100.000 =$100 .001 -$250 .000  
(Sec Columns and 03) =$250,001 -$500,000 =$500,00I -$1,000.000 1.000 .001 -$5,000.000  1'2 =$5.000.001 -$25,000.000 =$25,000,001 -$50.000.000 =More than $50.000.000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value  V=Othcr =Estimated  
Description Assets  Income during  Gross value end  Transactions during  reporting period  
(including trust assets)  reporting period reporting period  
(I)  (2)  (I)  (2)  (I)  (2)  (3)  (4)  (5)  
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Type (e.g.,  Date  Value  Gain  Identity  
exempt from prior disclosure  Code  div., rent,  Code  Method  buy, sell,  mm/dd/yy  Code  Code  buyer/seller  
(A-H) int.)  (J-P)  Code  redemption)  (J-P)  (A-H)  (if private  
(Q-W)  transaction)  

VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes 1110se spouse and dependent children; see PP 34-60 filing instructions.J NONE (No reportable income, assets, transactions.) 

18. Credit Suisse Tier Capital Notes  Interest  
19. Lehman Bros. Holdings, Inc. Preferred  None  See note Part VIII  
20. HSBC Holdings PLC Perpetual Sub. Capital Securities  Dividend  
21. Accounts, Great Western Bank  Interest  Redeemed  03/08/12  
22. Dacotah Bank (CDs)  Interest  Redeemed  12/19/12  
23. Vanguard Prime Money Market Fund Mutual Fund  Dividend  Buy  03/13/12  
24. Vanguard Div. Apprec. Index Fund Mutual Fund  Dividend  Buy  03/13/12  
25. Vanguard Inter-term Invest. Grade Mutual Fund  Dividend  Buy  03/13/12  
26. Blackridge Financial, Inc. Promissory Note  Interest  Buy  05/01/12 Income Gain Codes: =$1.000 less  ll=$1 ,00 -$2.500 =$2.501 -$5.000  D=$5,001 -$1 5,000 =$15.001 -$50,000  
(See Columns and 04)  F=$50,001 -$1 00. 000 =$100.001 -$1.000.000 =$1. 000.001 -$5,000.000  112 =More than $5.000,000 Value Codes  J=$15,000 less  K=$15,001 -$50.000 =$50.00 -$I 00.000 =$100.001 -$250,000  
(Sec Columns and 03) =$250,00 -$500.000  0=$500.00I -$1.000.000 =$1.000.001 -$5,000.000  1'2 =$5.000.001 -$25,000.000  
1'3 =$2 5,000.001 -$50.000.000 =More than $50.000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment  T=Cash Market  
(Sec Column C2)  U=Book Value  V=Othcr  W=Estimated  

04/26/2013
WOLLMAN, ROGER 
VIII,. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate part ofrep orl.) 
Part II: Agreements, continued ... 
Codified Laws Chapter 3-12. Upon resignation from the Supreme Court South Dakota September 1985, left contributions the System. began drawing retirement benefits May 1989. These benefits will continue until death. Thereafter, survives me, will receive one-half the benefits was receiving the time death. 
Part VII: Investments and Trusts 
See Line B.(2): Rent; Gov't Payments (Conservation Reserve Program payments) 
See Line 16: This asset should have been described "Blackridge Financial, Inc." previous reports. 
See Line 19: This asset was declared value 3-9-12 and thus will not reported future reports. 

IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions of5 U.S.C. app.  501 et. seq., U.S.C.  7353 and Judicial Conference regulations. 

Signature: ROGER WOLLMAN 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 

Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544