,~o lO ~,.

mo~o

FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009

2. Court or Organization ~~~

R~po,~ Requiredbv the Ethtc~" in Go vernment Act u/" 1978 15 u.5.c..pp. ~,~ IoI-I I D
3, Dale of Repo~ 04d 6.2010 6. Reposing Period 01.~01;2009 to 12.3 I;2009

I. Person Reporting (l~t name. firsL middle iniual) BABCOCK, LEWIS T. 4. Title [Articlc tlI)udg~ indicmc active or ~nior sutus: magis~ratcjudgcs indicate ~11- or ~art-timc~ ~DGE-SENIORSTATUS

D.S. DISTRICT COURT -COLO~DO 5~. Repo~ Type (cheek appropriate ~ypc) ~ Nomination, ~ lniual Dam ~ ~ Annual ~ Final

5b. ~ Amended R~ort 7. Chambers or ~c~ Addres~ 1929 STOLW STREET, C450 DENVER. CO 80294 8. On the b~si* ofth~ information contained in thix Rpo~ and any nod ficatlons pe~ain ng thereto, it i*. in m~ opinion in ompliance ~ith applicable Itw~ and regulaOon~. Dale

Revie~ing O[ficer

IMPOR TA NT NO TES: The instructions accompanying this form must be followe,4 Complete all parts, checMng the NONE box for each part where you huve no reportable information. Sign on last page.

I . P 0 S I T I O N S . (Re~ortir~g individual only; ~;e pp. ~o

NONE (No reportable positions.) pOSITION
1.

NAME OF 0RGANIZATION!ENTITY

NONE (No repo~able agreements.) DATE

I.

pARTIF~ AND TERMS

Babcock, Lewis T.

FINANCIAL DISCLOSURE REPORT

Page 2 of 8

Name of Person Reporting

Date of Rgpor! ]

BABCOCK, LEWtS T. [

04!16,20~0

lII. NON-INVESTMENT INCOME. (geportlngindividnatmnasp

A, Fliers Non-Investment Income

NONE

(No reportable non-investment income.)

pATE ~QURCE AND TYPE ~[..NCO,ME
lyours, not spouses)

3. 4.

B, Spouses Non-Investment Income - tf ~,ou were married duri~g any por;ion o.I the rcporti~g Jear, complete thi.~ ~ection.
[ ISh~lhtr an-lo~tnl n~,~! requ trt.d e,*;c~~l ]~r ~.lo~or~ritl. )

[~

NONE (No reportable non-investment income.)

DATE
I. 2009 2. 2009 3. 4. Self-employed (Artist) Boat Anchors. Inc.

SOURCE AND TYPE

NONE (No reportable reimbursements.)

~OURCE
I. 2. 3.

DATE~

LOCATION

PURPOSE

ITEMS PAID OR PROVIDED

5.

FINANCIAL DISCLOSURE REPORT Page 3 of 8

n .... B,~COCK, LEW~S re"~" ~v~"~

! D.,.,~rr~.

NONE (No reportable g~s.} SO~tRCE DESCRIPTION VALUE

I.
2.

3.
4.

5.

VI. LIABILITIES. a.,.I,des ,~o,e oI5~ ...... a a,~,,~,,~ children: sec pp. 32-33 ~fflling Instructions.)
NONE (No reportable liabilities.)

,(~REDITOR
t.

DESCRIPTION

VALUE CODE

2. 3.
4.

5.

Name of Person Reporting FINANCIAL DISCLOSURE REPORT ] BABCOCK..LEWIST.

Page 4 of 8

Da|e nf Repor~ 04/16.2010

NONE (No reportable income, assets, or transactions.)

Description of Assels (including trust as:;ets) Place "(X)" alicr each asset cxempl from poor disclosure Income during rcl~ning period {1) (2) Amount Type (e.g.. Code I div.. rent. {A-H) or int.) Gross value at end of rcpomog period {I} ~2} Value Value Code 2 Method Code3 (J-P) (Q-W) J J J M T T T T : (I) Type (e.g., buy. sell. redemption J Transactions during rrporling period t2) t3~ (-ll Dale Value Gain ram.ddyy Code 2 Code I {J-P) (A-H} {5) Idcnlity of bu)cr seller Olpn~alc tran:,aet ~on ~

1. 2. 3. 4. 5. 6. 7. S. 9. 10. I 1. 12. 13. 14. 15. I,. 17.

Double Eagle Petroleum Mining Co (Com.) Prime Energy Corp [Corn) jhi, Inc. I.Com Colorado Public Employees Reurement Association Brokeridg Account #1 a) AIM Premier aka AIM Charter Fund C/A b) Hartlbrd Fund C I B Brokcridge Account #2 (IRA) al AIM Premier Equity CIB aka AIM Charter Fund C,B Brokerage Account ~2 a) AIM Equity Fund Cla~s A Brokeridge Account #3 a) Ckibank NA b) AF&T lnc c) Pfizer, Inc. lTk~a Weyth (Corn) c)(i) Pfizer, Inc. d) .-.klcate 10Lucent ADR A A A A A A A A

None None None None

Dividend Dividend

J J

T T

Dividend

Dividend

Interest Dividend Dividend Dividend None

J J K K J

T T T "r "F Sold Buy 10/26/09 10/10/09 10/16,09 J K K

FINANCIAL DISCLOSURE REPORT

Page 5 o f 8

N~,ne of Person Reporting

aASCOC~:, LZW~S T. ~

0~,~ 6~0~ 0

VII. INVESTMENTS and TRUSTS - ~ ..... ~. value, t ...... lions (lncludes th,s of spo~ and depende~ hiMren: seepp. 34-60 of filing instructiong)
NONE (No reportable income, assets, or transactions.J
A. Description cfAs~cts (including :rest assc~) Placc"[X)"aficr each ~sct c.xcmpt from prior disclosure B. Income during reining p~ Amount .C~c I tA-H} Ty~ {e.g., div. rent, or int.} C. Gross value at end of reposing p~od Value Code 2 t J-P) *~ Value Mclhod ~ C~c3 . IQ-W) T T T T T T T T T T T T Redeemed J A T~ e.g.. buy. sell rcdcmp~iun ~ D. T~nsactions during ~ning period

Date Value m~d~.)~ Code 2 [J-P)

Gain Code I [A-H)

ldcnnty bu)cr lifprixatc tral~acuun ]

18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 3 I. 32. 3:,. 34.

c) Viaccm B (Corn) f) GNMA (9186) g) GNMA [12r86) h)LSI Con? j) Comcast Corp {Corn) k) AIIvl Premier Equity Fund Class A I) Capilal World Growth & Income B AIM Invesco Growth Fund ]IM Diversified Div Fund AIM Invesco Free 13ond Fund Valic 0RA) nka AIG Retirement Wadde[I & Reed Tot, Ret. Fund (IRA) U.S. Consolidated Federal Credit Union nka ENT a) CD b/Account ~1 USban,:orp Account ul USbancorp Account-_-"

A A A

Dividend Interest Interest None None

J J J J J K K J K L J J

A A

Distribution Dividend None

A C A A

Dividend Int./Div. " Interest Dividend

A A A A

Interest Interest Interest Interest

J J J J

T T T T

FINANCIAL DISCLOSURE REPORT

~ ....

f Pe ....Rupor~iag

Di,~: olRt-porl

Page 6 of 8

~ABCOCK, LEXVlS "r.

N ONE (~Vo reportable income, ~sets, or ~ansactions.)

Description at" Assets flncluding z~s~ as~e~) Place "(Xy after each asscl exempt [~m prior disclosure Income dunng rc~ing period (I) A~ount Code I IA-H) (2) T)gc (e.g., div.. rcak or int.l Gross value at end of t~o~ing period Ill ~ 12) Value ~ Value C~c 2 i: Method C~e 3 (JP) i T)~ (e~., buy, sell. rcdcmption] T~nsactions dunng reining period

Dale Vulue mm,d~yy Code 2 (J-P)

Gain Code I [A-Ill

Idenui) t~l" buyer~cllcr Iifprl~alc

35.

Lot ffiverside County, Calif(Line 20, 2000 Repo~) .333 Int inSee I5,~P I0 S. ~g. 14E, SBBAM. Imperial, CA Btokeddge Account #l (1~) C

None

36.

Rent

37.

38. a) Capital World Growth Income B 39. b) Capital Income Building Fund B 40. 41. 42. American Funds IICA Brokeridge Account/t3 r) Legg lvlason Value Trust, Inc. Brokeridge Account #3 CBS

A A A A A

Dividend Dividend , D vidend Dividend Dividend

J K K J J

T T T T T

FINANCIAL DISCLOSURE REPORT Page 7 of 8

BABCOCK, LEWIS T.

04/1612010

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.

Part Vll. Lines 15 and 16 - 2009 Report - There was a merger of Wyeth and Pfizer. Inc. and transaction occurred in exchange tbr stock and sale. Par~ VII. Line 18.2008 R.eport. GNMA was redeemed in the past. lVly records do not reflect the date. Par~ 111.13.2. 2009 Report is amended to reflect spouses additional Non-lnvestment Income.

FINANCIAL DISCLOSURE REPORT

N~me of Person Reporting BABCOCK, LEWIS T.

Da,e a[ Report 04/16.i2010

Page 8 of 8
IX. CERTIFICATION.

I 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 was withheld because it met applicable statutory provisions permitting non-disclosure. I fmlher cerrif.v that earned Income from outside employment and honoraria nod the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE Tills REPORT MAY BE SUBJECT TO CIVIl. AND CRIMINALSANCTIONS (5 U.S.C. app. 104)

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

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009
I. Perso= Reporting (los;. name. t]rzt, mldule =nmall BABCOCK.. LEWIS T. ", Court or Organization U.S. DISTRICT COURT - COLOtL4DO

m Government

.!. Dzte of Report 04.13 2010

~ Nominzuon, ~rDGESENIORSTATUS ~ lma~l

Date ~ An.ual ~ Fiaal

01/012009 ~o 12;3 I.2009

5~. ~ Amenaed R~on 7. Chamher~ or O~ce Afldres~ 1929 STOUT ST~ET. C450 DENVER. CO 80294 8. On the basis of th~ information cont~inefl in this Report ~nd uny modifications pe~aining thereto, it is, in my opinion, in compliance with ~pplicable laws and r~ul~tions.

Red,wing Officer

D~te

IMPORTANT NOTES: Tt, e instructions accompanying this form must be fullowetL Cvmplete a/l part&
checking th~ NOP,E bo.v for each part where you have no reportable inJbrmation. Sign tm last page.

1. P 0 S IT l ON S. ~..~.~ individual only; see W"

[71 NONE (No reportable positions.) POSITION
1.

NAME OF ORGANIZATIONIENT[TY

II. AGREEMENTS.(RFortlng individu~l onl~: s pp, 14-16 of filing in~tructiom.)

~ NONE (No reportable agreemenu.)

~ " : ~ ..

~ ". "~

>

DATg
I.

PARTIgS AND T~RMS

~~

FINANCIAL DISCLOSURE REPORT

Name of Prrson Reporting

DattofR~por~

Page 2 of 8

BAnCOCK. LEWIS T.

04:13:201

1II. NON-INVESTMENT INCOME. ~,po,a,g i~,~,~ ,~,,: ,,, ~p. ~:.~

A. Fliers Non-Investment Income NQNE (AZo repottable non-investment income.) DATE
I, 2. 3.
4.

SOURCE AND TYPE

(yours. not spouses)

B. Spouses Non-Investment Income - tl)~u .~r married during an),porthm vf ~he reporting year, complete this section.
l)rd/ar amount t~o! reqltircd ~.rte~t.lbr h~nt~raria.)

NO~ (Aro reportable non-investment income.) DATE

1. 2009 Sell=employed (A~ist}

SOURCE AND

2. 3. 4.

tlnrh~d~s tho~e t~ x~sme and dependent chddren." see pp. 2J.27 o~filing tintractions)

NONE (No reportable reimbu~wements.) SOURC~ DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED

3.
4. 5.

FINANCIAL DISCLOSURE REPORT

Page 3 0~~ BABCOCK. LE~IS r. 04{3:2010

V. GIFTS, ancluas thuse t~ spous ana d,~ndent ch~dren; s,e pp. 2~-Jt of filing instrncaons.)
~ NON~ (;~ reportable

$OURC~
1. 2.

Dg~CRIPTION

4.

5.

NONg (No repotable tiabil#ies.) ~R~DITOR DESCRIPTIO} ~L~gUg COD~

I.

3. 4.

FINANCIAL DISCLOSURE REPORT

Page 4 of 8 VII. INVESTMENTS and TRUSTS - i ....... BABCOCK. LEWIS T. 0~~20~0 ionsJ

.,~,,,. t~ans.c,io,.," a, clua, s ,h .... (spouse and dependent children: sec pp. 34~0 ,filing i .......
c. Oros~ vaIuu at end 11~ Value Code 2 ~J-P] 2} Valu~ Mc~hod Codt3 (I} T~e l,g., buy sell. rcdcmption) D. Tmnsac~ion~ durm~ reporting period {2~ ~3) ~ Da~ Value Gain ~m~dd}~ C~e 2 Code I (J-P) [A-H)

N ONE (No reportable income, assets, or transactions.)

A. Descdpfioa of A~ets B. Income during ~1) ~21 Amount T~e ~c.g.. Cote l di~., rcnL (A-H) or int.]

Place "(X~" ~flcr each asscl x~pt from pnord~sclosur

5) ldcnmy of buycrscllcr 0fprivatc

]. 2. 3, 4. 5. tx

Doubie Eagle Petroleum Mining Co [Com.) Prime Energy Corp (Corn) jhi. lnc. (Corn Colorado Public Employees Rct.,rement Association Brokcridge Account #1 (IRA) a) AIM Premier aka AIM Charter Fund C.A A A

None None None None

J J J M

T T T T

Dividend Dividend

J J

T T "

7. b) Hartford Fund C1 B 3. 9. I 0. 11. 12. Brokeridge Accounl #2 (IRA) at AIM Premier Equity C I B aka AIM Charier Fund C~q3 Brokerage Account ~2 a} AIM Equity Fund Class A Brokefidge Account #3 A

Dividend

Dividend

13. a) CitibankNA 14. b) AT&T lnc 15. c~l Pfizer, Inc. ffkia Weyth (Corn) lb. eJQ} Pfizer, Inc. 17, d) Alcate 10Lucent ADR

Interest A A A Dividend Dividend Dividend None

J J

T T T T T Sold Buy 10/26,09 10116109 J K

K K J

10!16/09 K

FINANCIAL DISCLOSURE REPORT Page 5 of 8

N .... iP ..... Iltporttng B:~BCOCra LE\VIS T,

l)ateofR~:purt 04 132010

VII. INVESTMENTS an d TRUSTS - i ......... .................... ~7 ...........

Description of ASSeL~ tincluding tms~ ~ssct/) Place "IX)" after each asset exempt I~om pn~r d~sclosurc

t.e, , ...... rio.., (Include.* tl ..... s. c.

Gros~ ~lue ~ end of rcpoamg period ~) ~ ~2) Vulo: ~ Value Code 2 ~ Monad J-P) ~ C~de3 ~ (Q-W) J J .~ J J K K J K L J J T T T T T T T T T T T T

~f sp ........ d dependent children; t;epp. 3.I40 of filing in~trucffuns.)

NONE (.,Vo reportable income, assets, or n-ansacrions.) h~comc dufin~ reporting period (I) (2~ Amotm~ Tv~ e.g. C~c I div.. r~t. [A-It] or int.l Transactions dunng repo~ing p:rio~ O) T)~e IC.g., buy, sell. redemption} G) 131 ~a~ Date : Value Gain mmd&:)3 Code 2 , Code I IJ-P~ b4-H}

Idenmy cf

tra.sacuon~

I 18. 19. 20. 21, 22. 23. 24. 25. 26, 27, 28. 29. 30. 31. 32. 33, 34.

e) Viacom B (Corn) f}, GNMA t9/86) g) GNMA (12/86) h) LSI Corp j)Comcast Corp (Corn} k) AIM Premier Equity Fund Class A t) Capital World Growth & Income B AIM Invesco Growth Fund AIM Diversified Div Fund AlM lnvesco Free Bond Fund Valic (IRA) nka AIG Retirement Waddell & Reed Tin. Ret. Fund (IRA) U.S. Consutidated Fcde~i Credit Union nku ENT u) CD b~ Account # ! USbancorp Account #1 USbancorp Account 32

A A A

Dividend ]merest Interest None None

Redeemed

A A

Distribution Dividend None

A C A A

Dividend lnt.iDiv. Interest Dividend

A A A A

Interest Interest Interest Interest

3 J J J

T T T T

FINANCIAL DISCLOSURE REPORT Page 6 of 8 VII. INVESTMENTS and TRUSTS - i .........

BAr~COC~, LEW~S T,
~,,,. r .......... (Includes tl ..... ~f sp .......d depend ....hildr,n $e, pp. 34-60 of Jlling i ...... ti,,ns.J

NONE (No reportable income,

Description elAssets {i~cluding t~st assets} Place "(XY aflzr c~ch ~ct exemp~ liom prior disclosure

oansaczions.)
Income dufng Oro~s ~aiuc at end of reposing period reporting ~rmd ..................................................................................... Amount Code I iA-H) T)~c te.g.. div.. rent, or mr.) Value Code 2 t J-P) Value ~lcthod C~c 3 (Q-W) T3~ ~e.g.. buy. sell. redemption) T~n~ct~ons dumng reining ~nod

Dztc Value mm.d&yy Code 2 [J-P)

Gain (ode I (A-HI

buycr~ller lillpri~a~c

35.
36,

Lot ~iverside County, Calif (Line 20, 2000

.3331ntin See 15, TWP 10 S. ~g. 14E, SBR,kM, Imperial, CA Bmkeridge Account ~1 C

None
Rent

J
M

W
W

37.

38.

a) Capilal World Growth Income B

Dividend

39. 40.

b~ Capitol Income Building Fund B

Dividend

American Funds I1CA

Dividend

41.

Broke~dge Account #3 r) Legg M~on Value T~st. Inc. Brokendge Account g3 CBS

Dividend Dividend

J J T

42.

Name of Person P, epor~ing

Date or" Report

FINANCIALpage 7 of 8 DISCLOSURE REPORT ,B,~BCOCK. LEWIS T. VIII. ADDITIONAL INFORMATION OR EXPL.~NATIONS. U.ai.,epor, o~Rep.r,~
Lines !5 and lfi - 2009 Report - There ,,as a merger of Wyeth and Pfizer, Inc. and transaction occurred in exchange for stock and sale. Line ] 8, 2008 Report. GNMA was redeemed in the past. My records do not reflect th: date.

04.132010

FINANCIAL DISCLOSURE REPORT Page 8 of 8 1X. CERTIFICATION.

.x,m~otP ..... ~,po~,,,.,

BABCOCK, LE\VIS T.

D,,~,,~~,vor,
0413,2010

I certify that all information given above (including information pertaining to my spouse and minor or dependent children, if any) ts accurate, true, and complete to the best of my knowledge and belief, and tha~ an.v information no! reported was withheld because R me! applicable s~atutory provisions permitting non-disclosure. I further certify ~hat earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in c~mpliance wi!h the provisions of 5 [!.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regula!ian~,

Signature ....................................................

NOTE: ANY INDIVIDUAL WHO ICJNOWINGLY AND WILFULLY FALSIFIES OR FALLS TO FILE Tills REPORT MA\ BE SUBJEC~TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-30 I One Columbus Circle, N.E. Washington. D.C. 20544