Gregory K Frizzell Financial Disclosure Report for 2010 | Dividend | United States Code

AO 10 Rev.

1/2011

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2010
2. Court or Organization Northern District of Oklahoma 5a. Report Type (check appropriate type) ] Nomination, Date [] Annual [] Final

Report Required by the Ethics in Govermnent Act of 1978 (5 U.S.C. app. §§ 101-111)

I. Person Reporting (last name, first, middle initial) Frizzell, Gregory K. 4. Title (Article III judges indicate active or senior status; magistrale judges indicate full- or paa-time)

3. Date of Report 05/14/2011

6. Reporting Period 01/01/2010 to 12/31/2010

District Judge - active

[] Initial

5b. [] Amended Report 7. Chambers or Office Address On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applicable laws and regulations. Reviewing Officer Date

Room 411 U.S. Courihouse 333 West Fourth Street Tulsa, Oklahoma 74103-3819

IMPORTANT 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. Sign on last page.

I. POSITIONS. (Reporting individual only; seepp. 9-13 of filing instructions.)
~ NONE (No reportablepositions.)
POSITION

NAME OF ORGANIZATION/ENTITY

2. 3. 4. 5.

II. AGREEMENTS. me, ortio~ individual only; see pp. 14-16 of filing instructions.)
~] NONE (No reportable agreements.)
DATE

PARTIES AND TERMS

Frizzell, Gre_qorv K.

FINANCIAL DISCLOSURE REPORT Page 2 of 7

Name of Person Reporting Frizzell, Gregory K.

Date of Report 05/14/201 I

III. NON-IN VESTMENT INCOME. (R~po.ing individual andspouse; seepp. 17-24 of filing instructions.)
A. Filer’s Non-Investment Income ~ NONE (No reportable non-investment income.)

DATE

SOURCE AND TYPE

INCOME
(yours, not spouse’s)

2. 3. 4.

B. Spouse’s Non-] nvestment Income - lf !,ou were married during an.v portion of the reporting)ear, complete this section.
(Dollar amount not required except for honoraria.)

NONE (No reportable non-investment income.) DATE
I. 2. 3. 4.

SOURCE AND TYPE

IV. REIMBURSEMENTS - transportation, lodging, food, entertainment.
(Includes those to spouse and dependent children; see pp. 25-27 of filing instructions.)

NONE (No reportable reimbursements.) SOURCE
I. 2. 3. 4. 5.

DATES

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

FINANCIAL DISCLOSURE REPORT Page 3 of 7

Name of Person Reporting Frizzell, Gregory K.

Date of Report 05/14/2011

V. GIFT S. anetudes those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[
I.

~]

NONE (No reportable g~s.) SOURCE

DESCRIPTION

VALUE

2. 3. 4.

5.

V I. L lAB ILITIES. anetudes those of spouse and dependent children; see pp. 32-33 of filing instructions.)
NONE (No reportable liabilities.) CRED1TOR
I. 2. 3. 4. 5.

DESCRIPTION

VALUECODE

FINANCIAL DISCLOSURE REPORT Page 4 of 7

Name of Person Reporting Frizzell, Gregory K.

Date of Report 05/14/2011

VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D NONE reportable income, assets, or transactions.)
B. Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) T T T T T T T T T T T T T T T T T (I) Type (e.g., buy, sell, redemption) D. Transactions during reporting period (2) (3) (4) Value i Gain Date mm/dd/yy Code 2 ~. Code I (J’P) I (A-H) ! (5) Identity of buyer/seller (ifprivate transaction) A. Description of Assets (including trust assets) Place "IX)" after each asset exempt from prior disclosure

I. 2. 3. 4. 5. 6. 7. 8. 9. I0. I1. 12. 13. 14. 15. 16. 17.

JP Morgan Chase Bank Accounts Covenant Federal Credit Union Accounts Custodial S&P Index Unit Trust - B (SPY) Custodial S&P Index Unit Trust - H (SPY) Custodial S&P Index Unit Trust - R (SPY) Custodial S&P Index Unit Trust - D (SPY) Custodial S&P Index Unit Trust - E (SPY) Custodial S&P Index Unit Trust - J (SPY) UBS Cashfund Account OXY Common Stock VZ Common Stock FTR Common Stock (SpinoffofVZ) UBS BankUSA Deposit Account IDAR Common Stock (Delisted; formerly IAR and without value) US Treasury Strips (ZC LGC) INTC Common Stock PFE Common Stock

A A A A A A A A A A A A A A

Interest Interest Dividend Dividend Dividend Dividend Dividend Dividend Interest Dividend Dividend Dividend Interest Int./Div. None

K K J J J J J J J K K J J J J J J

07/02/10

J

A A

Dividend Dividend

I. Income Gain Codes: (see Colurmas BI and I)4) 2. Value Codes (See Colunms CI and DS) 3. Value Method Codes Isee Column C2)

A =$ 1,000 or less F ~$50,001 - $10O.0O0 J =$15,000 or less N ~$250,001 - $500,000 P3 =$25.000.001 - $50.000.000 Q =Appraisal U =Book Value

B =$1,001 - $2,500 G -$100,001 - $1,000.0OO K =$15,001 - $50,000 O =$500.001 - $1,000,000 R =Cost (Real Estate Only) V O~hcr

C =$2.501 - $5,000 H I =$1.000.001 - $5.000.000 L =$50.001 - $100.000 PI =$1.000.001 - $5,000,000 P4 =More thaa $50,000.000 S =Asscsr, mcnt W =Estimatcd

D =$5,001 - $15.000 H2 =More than $5,000.000 M =$100,001 - $250,000 P2 =$5,000.001 . $25,000.000 T =Cash Markct

E =$15,001 - $50.000

FINANCIAL DISCLOSURE REPORT Page 5 of 7 VII. INVESTMENTS and TRUSTS - income, value, tra ....

Name of Person Reporting Frizzell, Gregory K.

Date of Report 05/14/201 I

,ions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

[~]

NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure B. Income during reporting period (I) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting perio<~ (I) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) (2) (3) [ (4) Date Value i Gain mm/dd/yy Code 2 [ Code I (J’P) l (A-H) ] (5) Identity of buyer/seller (if private transaction) D. Transactions during reporting period

18.
19.

PPH Exchange Traded Fund (prey. descr, as common stock)
TRV Common Stock

A
A

Dividend
Dividend J

20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.

AllianceBemstein Lg Cap Growth (APGCX) Merrill Lynch Bank USA RASP account Merrill Lynch Retirement Reserves account American Funds EuroPacific A (AEPGX) Columbia Acorn Fund (ACRNX) Perkins (formerly Janus) Small Cap Value Fund T (JSCVX) American Century Vista (TWVAX)
Dreyfus Premier New Leaders Fund A (DNLDX) Artisan Mid Cap Value Fund (ARTQX) (fund transfer from 27) American Century Income & Growth Fund (BIGRX) BlackRock (formerly BGI) S&P 500 Stock Fund (WFSPX) T. Rowe Price Blue Chip Growth Fund (TRBCX)

None A A A A A Interest Interest Dividend Dividend Dividend None A A A A A A A Dividend Dividend Dividend Dividend Dividend Dividend Dividend None

J K J J J

T T

J Sold J J J J J J T T T T T Buy 01/04/10 01/04/10 J J

T. Rowe Price Balanced Income (RPBAX) T. Rowe Price Spectrum Income (RPSIX) Massachusetts Mutual Whole Life Paid-up policy

I. Income Gain Codes: ( S~¢ Columns B I and D4) 2. Value Codes (See Columns CI and D3) 3. Value Method Code~ {See Column C2)

A =$1,000 or less F =$50.00 1 - $1 00.009 J =$15,0000 or less N =$250.001 - $500.000 P3 =$25,00~).001 - $50.000.009 Q =Appraisal U =Book Value

B $1.001 - $2,500 G = $1 00,00 1 - $ 1.0~.0~ K =$15.00 1 - $50,000 O -$500.001 - $1.00~.000 R -Cost {Real E,tat¢ Onlyl V -Olher

C =$2,501 - $5,000 H 1 =$ 1,000.001 - $5.00~.000 L =$50.00 1 - $1 00.000 PI =$1.000.001 - $5,000,000 P4 =More than $50,000,000 S Assessment W =Estimated

D =$5,001 - $15,000 H2 =More than $5.000,000 M =$ 100,00 1 - $250.000 P2 -$5.000,001 - $25.000,000 T -Cash Market

E =$15,001- $50,00~

FINANCIAL DISCLOSURE REPORT Page 6 of 7

Name of Person Reporting Frizzell, Gregory K.

Date of Report 05/14/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS...dicatepartofreport,)
None

FINANCIAL DISCLOSURE REPORT Page 7 of 7 IX. CERTIFICATION.

Name of Person Reporting Frizzell, Gregory K.

Date of Report 05/14/2011

1 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 ~vas withheld because it met applicable statutory provisions permitting non-disclosure. ! further certify that earned income from outside emplo)anent and honoraria and the acceptance of gifts which have been reported are in compliance ~vith the provisions of 5 U.S.C. app. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature: S] Gregory K. Frizzell
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY 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

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