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James C Mahan Financial Disclosure Report For 2010
James C Mahan Financial Disclosure Report For 2010
1/2011
Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. 101-111)
[] Initial
7. Chambers or Office Address 333 Las Vegas Boulevard South Suite 6085 Las Vegas, Nevada 89101
8. 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
IMPORTANT NOTES: The instructions accompanying this form mast be followed. Complete all parts,
checking the NONE box for each part where yoa have no reportable information. Sign on last page.
NAME OF ORGANIZATION/ENTITY
2. 3. 4. 5.
Mahan, James C.
III. NON-INVE STMENT IN COME. (Repo.lng individual ond spouse; see pp. 17-24 of:llng instructions.)
A. Filers Non-Investment Income ~-~ NONE (No reportable non-investment income.) DATE SOURCE AND TYPE
2.
3. 4.
B. Spouses Non-Investment Income - if you were married during anyportion of the reporting year, complete this section.
(Dollar amount not required except for honoraria.)
~
1. 2. 3. 4.
NONE (No reportable reimbursements.) SOURCE I. 2. 3. 4. 5. DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED
V. GIFTS. a.c~udes those ,o spouse ond depe.de.t children; see pp. 28-31 of filing instructions.)
NONE (No reportable gifts.)
SOURCE
I. 2. 3. 4. 5.
DESCRIPTION
VALUE
VI. LIABILITIES. ancludes those of spouse und dependent children; see pp. 32-33 of f!ling instructions.)
NONE (No reportable liabilities.) CREDITOR
I. 2. 3. 4. 5.
DESCRIPTION
VALUECODE
VII. INVESTMENTS and TRU STS - income, valae, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during repomng period Gross value at end of reporting period (1) Value Code 2 (J-P) (2) Value Method Code 3 (Q-W) (I) Type (e.g., buy, sell, redemption) Transactions during reporting period
(1)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
(5)
Identity of buyer/seller (if private transaction)
IRA #1 -- Akamai Tech -- Akamai Tech -- ATP Oil & Gas Corp -- ATP Oil & Gas Corp -- Chicos Fas Inc -- Chicos Fas Inc -- China Agritech Inc New -- China Agritech Inc New -- China Digital TV HLD ADR -- China Digital TV HLD ADR -- Doctor Reddys Lab -- Doctor Reddys Lab -- Ferro Corp -- Ferro Corp -- Harry Winston Diamond Corp -- Harry Winston Diamond Corp
Dividend
Buy/Sell Pt. Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold
12/31/10 08/12/10 09/16/10 03/12/10 04/13/10 08/18/10 09/14/10 05/14/10 !08/18/10 08/18/10 09/14/10 09/07/10 10/25/10 10/13/10 11/04/10 10/13/10 12/02/10
M L L K K L K K K K K K K K K K K B B B B B B B B
1. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 orlcss F =$50,001- $100,000 J =$15,000 orlcss N =$250,001- $500,000 P3 =$25,000,001- $50.000.000 Q =App~isal U =Book Value
B =$1,001- $2,500 G =$100,001 -$1,000,000 K =$15,001- $50,000 O=$500,001 -$1,000,000 R -Cost(Real Estate Only) V Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $ 5,000,000 L -$50,001 - $ 100,000 P 1 =$ 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=$100,001 -$250,000 P2 =$5,000,001 -$25,000,000 T =Cash Markct
E =$15,001 -$50,000
VII. INVESTMENTS and TRUSTS - inco.n., ,,atu~, ,ransactio.s andud~s tl, os~ o.~pou~ and ~*p~n~n, c~oi~r*.; ~ pp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Ao Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
(l)
Amount Code 1 (A-H)
(2)
Type (e.g., div., rent, or int.)
(1)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
~0
Type (e.g., buy, sell, redemption)
(2)
(3) O-P)
18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34.
-- Helix Energy Solutions -- Helix Energy Solutions -- JDA Software Group Inc -- JDA Software Group Inc -- KinrossGold Corp -- Kinross Gold Corp -- Las Vegas Sands Corp -- Las Vegas Sands Corp -- Longtop Fnl Tech Ltd ADR -- Longtop Fnl Tech Ltd ADR --Nacco Industries Inc --Nacco Industries Inc --Netgearlnc --Netgearlnc --Vimpel Communication ADR -- Vimpel Communication ADR -- Patriot Coal Corp
Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy
06/14/10 06/16/10 10/27/10 11/04/10 09/23/10 10/06/10 01/05/10 09/03/10 06/16/10 08/18/10 03/09/10 03/15/10 10/27/10 12/06/10 04/15/10 08/I 1/10 03/12/10
K K K K K K M M K K L L K K K K K
I. Income Gain Codes: (See Columns BI and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50,001 - $100,000 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 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estale Only) V =Other
C =$2,501 - $5,000 HI =$1.000,001 - $5,000,000 L =$ 50,001 - $ 100,000 P 1 =$ 1,000,001 o $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 =$100,001 - $ 250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period Transactions during reporting period
(1)
Amount Code I (A-H)
(2)
Type (e.g., div., rent, or int.)
(t)
Value Code 2 (J-P)
(2)
Value Method Code 3 (Q-W)
(i)
Type (e.g., buy, sell, redemption)
(2)
(3)
35. 36. 37. 38. 39. 40. 41. 42. 43. 44. 45. 46. 47. 48. 49. 50. 51.
-- Patriot Coal Corp -- RPC Inc - RPC Inc -- Rackspace Hosting Inc -- Rackspace Hosting Inc -- Sothebys -- Sothebys
Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Sold Sold
04/12/10 10/06/10 10/13/10 09/28/10 11/02/10 09/17/10 10/25/10 09/14/10 09/29/10 03/23/10 05/13/10 01/22/10 10/19/10 09/29/10 10/13/10 04/23/10 01/05/10
K K K K K L L K K K K K K K K K K B B B
-- Tata Motors Ltd-Spns ADR -- Tata Motors Ltd-Spns ADR -- Titanium Metals Corp New -- Titanium Metals Corp New -- Toreador Resources -- Toreador Resources -- World Fuel Service Corp -- World Fuel Service Corp -- Continental Resources (X) -- Sowstn Energy Co (X)
1. Income Gain Codes: (See Columns B I and 1)4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1.000 or less F =$50.001 - $100,000 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 - $ 1,000.000 K=$15,001 - $50,000 O=$500,00 t - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,50t - $5,000 H 1 -$1,000,001 - $5,000.000 L =$50.001 - $100,000 P1 =$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 =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVESTMENTS and TRUSTS -inco.,e, valae, , ....actions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)
. D NONE (No reportable income, assets, or transactions.)
A. Description of Assets (including trust assets) Place "(X)" after each assel exempt from prior disclosure B. Income during reporting period (1) Amount Code I (A-H) (2) Type (e.g., div., rent, or int.) C. Gross value at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W)
Transactions during reporting period (1) Type (e.g., buy, sell, (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
(5)
Identity of buyer/seller (if private transaction)
redemption)
Sold
01/12/10 12/31/10
K M K K K K M M L L K K M M L L L
- Asianinfo Holdings -- Asianinfo Holdings -- Actuant Corp - Acuant Corp -- Alpha Natural Rsrcs Inc - Alpha Natural Rsrcs Inc -- Amem Superconductor -- Amem Superconductor -- Atlas Pipeline Partners -- Atlas Pipeline Partners - Brigham Exploration Co - Brigham Exploration Co - Brash Engineered Mat - Brash Engineered Mat -- Cameo Corp
Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy
05/14/10 06/21/I0 06/18/10 09/13/10 03/29/10 12/06/10 04/15/10 10/08/10 11/09/10 11/12/10 02/02/I 0 10/01/10 04/05/I 0 04/21/10 11/01/10
156.
57.
158.
59. 60. 61. 62. 63. 64. 65. 66. 67. 68.
1. Income Gain Codes: (See Columns B I and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 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 - $1,000.000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $100,000 P I =$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 $100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001- $50,000
VII. INVESTMENTS and TRUSTS - income, ,,alue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
NONE (No reportable income, assets, or transactions.)
Description of Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure Income during reporting period Gross value at end of reporting period (1) (2) Value Code 2 (J-P) Value Method Code 3 Transactions during reporting period
(l)
Amount Code 1 (A-H)
(2)
Type (e.g., div., rent, or int.)
(Q-W)
69. 70. 71. 72. 73. 74. 75. 76. 77. 78. 79. 80. 81. 82. 83. 84. 85. --Cameo Corp -- China Yuchai Intl Ltd -- China Yuchai lntl Ltd -- Cirrus Logic lnc -- Cirrus Logic Inc -- Companhia Siderurgica E -- Companhia Siderurgica E -- Compellent Technologies -- Compellent Technologies -- Complete Production Services -- Complete Production Services -- DeerConsumer Prod New -- DeerConsumer Prod New -- FerroCorp -- FerroCorp -- Finisar Corp -- Finisar Corp Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold 11/04/10 05/11/10 12/03/10 06/17/10 09/29/10 03/29/10 04/05/10 09/24/10 10/27/10 12/01/10 12/02/10 05/17/10 06/16/10 07/27/10 08/02/10 11/12/10 12/02/10 L L L L L K K K K K K K K K K K K B B B B C B B C B
I. Income Gain Codes: (See Columns B I and 194) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A=$1,000 or less F=$50,001 - $100,000 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 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $1,000,000 R =Cost (Real Estale Only) V =Othcr
C =$2,501 - $5,000 H 1 =$1,000,001 - $5,000,000 L =$50,001 - $ 100,000 P 1 =$ 1,000,001 - $5,000,000 P4 -More than $50,000,000 S =Asscssr~cnt W =Estimated
=$5,001 - $15,000 H2 =More than $5,000,000 M =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 =Cash Market
E =$15,001 - $50,000
VII. INVE STMENTS and TRU STS - inco,.e, valae, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)
D NOllE (No reportable income, assets, or transactions.)
A. Description of Assets (including tmst assets) Hace "(X)" after each asset exempt from prior disclosure B. Income during reporting period (t) Amount Code 1 (A-H) (2) Type (e.g., div., rent, or int.) C. Gross valne at end of reporting period (1) (2) Value Value Code 2 Method (J-P) Code 3 (Q-W) (1) Type (e.g., buy, sell, Transactions during reporting period (2) (3) (4) Date Value Gain mm/dd/yy Code 2 Code 1 (J-P) (A-H)
(5)
Identity of buyer/seller (if private transaction)
redemption)
86. 87. 88. 89. 90. 91. 92. 93. 94. 95. 96. 97. 98. 99. 100. 101.
-- Harry Winston Diamond Corp -- Harry Winston Diamond Corp -- Homes Inns & Hotels -- Homes Inns & Hotels -- Icici Bank Ltd Spon -- Icici BankLtd Sport -- JabilCircuit Inc -- JabilCircuit Inc -- Juniper Network Inc - Juniper Network lnc -- Las Vegas Sands Corp -- Las Vegas Sands Corp -- Manitowoc Companylnc -- Manitowoc Company Inc -- McDermott Intl Inc --McDern~ott Intl lnc
Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy
04/05/10 05/11/10 03/02/10 05/13/10 01/19/10 11/25/10 06/23/10 10/29/10 10/20/10 11/05/10 02/01/10 08/03/10 01/08/10 01/15/10 11/09/10 11/18/10 01/I 1/10
K K K K M M L L K K M M K K K K L B B C B B C B B
1. Income Gain Codes: (See Columns.B I and D4) 2. Value Codes (See Columns C I and D3) 3. Value Mcthod Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 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 =$100,00t - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 HI =$1,000,001 - $5,000,0~0 L =$50,001 - $100,000 P I =$1,000,001 - $5,000,000 p4 =More than $50,000,000 S =Asscssracnt W =Estimated
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 Market
E =$15,001 - $50,000
VII. I N VE S T M EN T S a n d T RU S T S -income, value, transactions (Includes those ofspouse and dependent children; see pp. 34-60 of filing instructions.)
[]
103. -- Mcmoran Expl Co 104. -- NII Holdings Inc CL B 105. -- NIl Holdings Inc CL B 106. -- Nacco Industries Inc 107. -- Nacco Industries Inc 108. -- New Oriental Educat SP 109. - New Oriental Educat SP 110. - Origin Agritech Ltd 111. -- Origin Agritech Ltd 112. -- Patriot Coal Corp 113. -- Patriot Coal Corp 114. -- Perkinelmer lnc 1 ! 5. -- Perkinelmer Inc I 16. -- Price Intl Inc 117. -- Price Intl Inc 118. -- Quicksilver Res Inc 119. -- Quicksilver Res Inc
Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold
02/12/10 02/12/10 02/16/10 05/28/10 06/14/10 !01/15/10 01/19/10 01/06/10 01/11/10 01/06/10 04/12/10 08/06/10 09/24/10 08/02/10 08/04/10 10/18/10 10/20/10
L K K K K K K K K L L K K K K K K
I. Income Gain Codes: ( See Columns B I and 134) 2. Value Codes (See Columns C I and D3) 3. Value Mcth0cl Codes (See Column C2)
A ~$1,000 or less F = $50.001 - $100,000 J -$15,000 or less N ~$250,001 o $500,000 P3 =$25,000,001 - $50,000,000 Q ~Appraisal U ~Book Value
B =$1,001 - $2,500 G =$100,001 - $1,000,000 K =$15,001 - $50.000 O =$500,001 - $1.000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$1.000,001 - $5,000,000 L =$50,001 - $100,000 P I =$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 -$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T =Cash Market
E =$15,001 - $50,000
VII. INVE STMENTS and TRUSTS - income, val.e, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)
(2)
Date mm/dd/yy
(3)
Value Code 2 (J-P)
120. -- RPCInc 121. -- RPCInc 122. -- Rino Intl Corp 123. -- Rino Intl Corp 124. -- Sandisk Corp 125. -- Sandisk Corp 126. --Mechel OAO 127. -- Mechel OAO 128. -- TeckResources Ltd 129. -- Teck Resources Ltd 130. -- Toreador Resources 131. -- Yanzhou Coal Mng Co 132. -- Yanzhou Coal Mng Co 133. -- Sothebys (Y) 134. -- Toreador Resources (Y) 135. J & E Mahan Agency (Alpine) 136. Mahan Partnership C D lnt./Div. lntJDiv. M L T T
Buy Sold Buy Sold Buy Sold Buy Sold Buy Sold Sold Buy Sold
10/27/10 11/30/10 01/22/10 03/15/10 06/15/10 11/05/10 02/01/10 03/25/10 12/02/10 12/06/10 01/22/10 02/03/10 10/06/10
L L K K M M L L L L K L L B C
1. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C 1 and D3) 3. Value Method Codes (See Column C2)
A ~$1,000 or less F =$ 50,001 o $100,000 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 - $ 1,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501 - $5,000 H 1 =$ 1,000,001 - $ 5,000,000 L =$50,001 - $100,000 P I =$ 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 =$100,001 - $250,000 P2 =$5,000,001 - $25,000,000 T -Cash Market
E =$15,001 - $50.000
VII. INVESTMENTS and TRUSTS - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!llng instructions.)
(5)
Identity of buyer/seller (if private transaction)
(Q-W)
137. U.S. Bank
A D
Int./Div. Distribution
K J
T T
1. Income Gain Codes: (See Columns B 1 and D4) 2. Value Codes (See Columns C I and D3) 3. Value Method Codes (See Column C2)
A =$1,000 or less F =$50,001 - $100,000 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 - $1,000,000 K =$15,001 - $50,000 O =$500,001 - $ 1,000,000 R =Cost (Real Estate Only) V =Other
C =$2,501- $5,000 H 1 =$1,000,001- $5,000,000 L =$50,001- $100,000 P1 =$1,000,001- $5,000,000 P4 -Morethan $50,000,000 S =Asscssn~ent W=Estimaled
=$5,001- $15,000 tt2 =More~an $5,000,000 M $100,001- $250,000 P2 -$5,000,001 o $25,000,000 =Cash Markct
E =$15,001- $50,000
IX. CERTIFICATION.
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 was withheld because it met applicable statutory provisions permitting non-disclosure. 1 further certify that earned income from outside employment and honoraria and 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.
Signature
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