~o ~o Roy.

t/2010

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2009

geportin GovernmentRequiredActbY theof 1EtMcs978

(~ u.s.c, app. ~,~ I01-111) 3, Date of Report 05/04!2010 6, Reporting Period ~ Final 01/01/2009 to 12/31/2009

I. Person Reporting (last name, fi~st, middle initial) MONTGOMERY, ANN D. 4. Title (Article I1t judges indicate active or senior status; magistrate judges indicate full- or part-time) ARTICLE III JUDGE - ACTIVE

2. Court or Organization U.S. DISTRICT COURT - MN 5a. Report T~pe (chock ~ppropriate type) [] Nomination, I-1 Initial Date ~ Annual

7. Chambers or Office Address 13W U.S, COURTHOUSE 300 SOUTH FOURTH STREET MI~rNEAPOLIS, MN 55415

5b. [] Amended Report 8. On the basis of the information contained in this Report and any modifications pertaining thereto, i is, in my opinion, in compliance wilb applicable laws and regulations. Reviewing Officer Date

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.

NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY

2. 3.

NONE (No reportable agreements.) DATE 1. PARTIES AND TERMS

FINANCIAL DISCLOSURE
Page 2 of 7

Nameo .... REPORT

05/0412010 ] MONTGOMERY, ANN D.

III. NON-INVESTMENT INCOME. ta~orti.g

A. Filers Non-Investment Income
NONE (No reportable non-investment income.) ~ DATE SOURCE AND TYPE INCOME (yours, not spouses)

I.

B. Spouses Non-Investment Income - if you ~per married d~ring any portion of d~e reporling year, complete this sectio~
(Dollar amount not required except for honoraria~) [~] NONE (No reportable non-investment income.) DATE I. 2009

SOURCE AND TYPE

Arthur, Chapman, Kettering, Smetak & Pikala Law Firm

IV. REIMBURSEMENTS (Includes those to spouse and dependent children; see pp. 25-27 of filing instructians.) r---] NONE (No reportable reimbursements.) SOUKCE 1. American Bar Association DATES March 4 - March 6, 2009 LOCATION San Francisco, CA PURPOSE 23rd Annual National Institute on White Collar Crime First Rene Cassin Seminar on International Human Righls Law AC1 19d~ Semi-Annual Bad |:aith Litigation Conference ACI Employmen~ Trade Secret Protection & Litigation Conference ITEMS PAID OR PROVIDED Transportation, lodging, meals

2.

International Judicial Academy

April 5 - April 9, 2009

Stra.sbourg, France

Transportation, lodging, meals, tuition

3.

American Conference lnslitute American Conference Institute

April 29 - April 30, 2009 lvlay 27 - May 28, 2009

San Francisco, CA

Transportation, lodging, meals

Chicago, IL

Transportation, todging, meal~

FINANCIAL DISCLOSURE REPORT

.~ame of Person Reporting

MONTGOMERY, ANN D.

Dat. of Report

Page 3 of 7

05/04/2010

FINANCIAL DISCLOSURE REPORT Page 4 of 7

Name of P ..... Reporting

Date of Report

MONTGOMERY, ANN D.

05/04/2010

NONE (No reportable g~s.) SOURCE 1. DESCRIPTION VALUE

2. 3. 4. 5.

[~

NONE (]go reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

I. 2. 3. 4. 5.

Name of Person ReportJn g

PageFINANCIAL5 of 7 DISCLOSURE REPORT

MONTGOMERY, ANN D.

I
Transactions

NONE ~o reportable income, assets, or transactions,) A.

Description of As~ts

~
~

B.
Income during

C,
~

~
Gross va[~ at ~nd , ~

(ind,ding ~st assets) Pla+e "(X)" after emh asset exempt from pri~ di~Iosure

r~oaing ~ri~ V~e (e.g., div., rent,

] of r~o~ing ~riod + Value [ Value I ~ Code 2 [ Meth~ bay, sell, buyer/seller

Amount C~e 1

m~+~ I Code 2 [ ~de 1 /

1. 2. 3. 4. 5. 6. 7. 8.

US Banco~ Nortch System - Common Stock MiBnesota State Judge Retirement Plan 1\4 Interest in farm land in Meeker County, MN Neurogen Corp. HWP - Common Stock Lincoln Life Variable Annuity Fund Alliance Bernstein Balanced Wealth Strategies Blackroek Global Allocation - IRA

Interesl None None

J J K L J K M. M

T T U S T T T T

kent None None

C C

Dividend Dividend

10. 11. 12. 13.

115. 16. 17.

(See Columns BI and t>i)

F =~50,001 - $I~,000

G =$1OO,OOI - $1,000,O~)

Ill =$1 ~000,00l - $5,~0,000

112 =More Iha*~ $5,000.000

(See Column C2)

IJ =Book Value

V =Other

W q~sth~atcd

FINANCIAL DISCLOSURE REPORT

Page 6 of 7

N~,.~ of P~o~ ~,~po~-t~,~

MONTGOMERY, ANN D.

[ ~a,~ of Repot,

o~,o~,=o.o

Vlll. ADDITIONAL INFORMATION OR EXPLANATIONS. ~naic~,*,to/Rel, OrO

Section VII: No. 4 - Item 4 is real estate owned in common with~ The assessed tax value is approximately $79,300; the current value may actually be less than that but my shar~, in any event, would be less than $20,00~Ji ......

FINANCIAL DISCLOSURE REPORT

Name of Person Reporting

Date of Report

Page 7 of 7 IX. CERTIFICATION.

MONTGOMERY, ANN D.

05/04/2010

! 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-dlsclosure. I 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., $ U.S.C. 7353, and Judicial Conference regulations.

Si

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND W1LFULLY AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

BE SUBJECT TO CIVIL

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 Columbus Circle, N.E. Washington, D.C. 20544