View
1
Download
0
Category
Preview:
Citation preview
POSITION NAME OF ORGAN!ZA TIQN/ENTITY
(
'
PARTIES AND TERMS
---<
'
2.
Report Required by the Ethics AOJO FINANCIAL DISCLOSURE REPORT in G(J)lernment Act of 1978 Rev. 112010 FOR CALENDAR YEAR 2009 (5 U.S.C. app. §§ 101-111)
l. Person Reporting (last name, first, middle initial)
QUIST, GORDON J.
4. Title (Article Ill judges indicate active or senior status; magis!Illte judges indicate full- or part-time)
SENIOR STA WS
l. Court or Organization
DISTRICT CT-WESTERN DIST, MICH
Sa. Report Type (check appropriate type)
D Nomination, Date
D Initial 0 Annual D Final
3. Date of Report
05/08/2010
6. Reporting Period
01/01/2009
to
12/31/2009 Sb. D Amended Repon
7. Chambers or Office Address
482 GRAND RAPIDS FORD FEDERAL COURTHOUSE 110 MICHIGAN NW GRAND RAPlDS MI 49503-2363
8. On the basl1 of the Information contained In this Report and any modifications pertaining thereto, It is, In my opinion, lo compliance with applicable laws and regulalloos.
Reviewing OfDcer Date
IMPORTANT NOTES: The instructions 1«companying this fonn must be follbwed. Complete all parts, checking the NONE box for each part where you have no reportable infonnation. Sign on last page.
I. POSITI 0 N s. (Repordng indMdual only; see pp. 9-JJ of filing instructions.)
[Z] NONE (No reportable positions.)
].
3.
4.
5.
II. AGREEMENTS. (Repordng iw/ivldual only; see pp. U-16 of filing instructions.)
[Z] NONE (No reportable agreements.)
.._'l
-.J
j:>
C:J '.::::>
L
2.
3.
Quist, Gordon J.
SOURCE AND
SOURCE AND TYPE
SOURCE LOCATION PURPOSE
INCOME
ITEMS PAID OR PROVIDED
Date of ReportNllllle of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 2 of9 05/0812010QUIST, GORDON J.
III. NON-INVESTMENT INCOME. (RqJOrtingilulMd.udund1pOUSL;uepp..17-U<>fjilingi11st,.,u:tions.)
A. Filer's Non-Investment IDcome
0 NONE (No reportable non-investment income.)
TYPE
CHARLES SCHWAB & CO.-IRA DISBRIBUTION-NORM:AL
(yours, not spouse's)
$11,000.00 L 9/1812009
2.
3.
4.
B. Spouse1s Non-Investment Income If you wen mttrrietl during any portion ofthe reporting year, complete this secti<>n. -
(Dollar amm1nt not required except for honoraria.)
[Z] NONE (No reportable non-investment income.)
I.
2.
3.
4.
IV. REIMBURSEMENTS -lransporl4don, lotlgmgJood, ntJDWhunent. Onclude.$ those lo spause and dependent children; .see pp. 25-27 of filing instructions.)
0 NONE (No reportable reimbursements.)
4.
I. United States Russia 6/13109 to 6/20/09 Russia Met with Russian judges on Foundation judicial ethics and
discipline.
2. United States Russia 9/l!/09 to 919109 Chicago, IL Met with Russian judges on Foundation judicial ethics and
discipline.
3.
Transportation, food, lodging and one boat trip.
Transportation, food and lodging.
5.
SOURCE QESCRJPTION
3.
CREDITOR DESCRIPTION
VALUE
VALUE CODE
FINANCIAL DISCLOSURE REPORT
Page 3 of9
Name of Penon Reporting
QUIST, GORDON J.
Date of Report
05/08/2010
V. GJF"fS. (Includes those w trp0i= and dq>nu/mJ childri!ll; supp. :Z8-31 ofjiJjng instr11ctions.)
[ZJ NONE (No reportable gifts.)
I.
2.
4.
5.
VI. LI ABILITIES. (Jnclubs. tlwse of spouse and dt!pt!tUllnt childun; -
NONE (No reportable liabilities.)
pp. 31-31 of jiJjng instructians.)
I.
2.
3.
4.
5.
I I
I Q)
I-,
Value Gain
2 Code
! (J-P) (A·H)
I
INS
I
B.
Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT
Page 4of9 05/08/2010QUIST, GORDON J.
VII. INVESTMENTS and TRUSTS - income, ""''"· tr11n1111ctions (lncl14des thou of spouse 11n4 dependent children; see PP· 1#-6fJ of filing instructions.)
0 NONE (No reportable income, assets, or transactions.)
A. c. D.
Grois value at endDe<scription of Asset• Income dming Transactions dwing reporting period (including trust assets}
Place "(X)" after each asset
exempt from prior disclosure
reporting period ofreporting period
(l) • (2) (1) (2) (1) (5) Value Value Type(e.g., Date Identity ofAmount I Type(e.g., (2)Code I buyer/sellerCode2 Modlod buy, sell, imm/ddlyy Code Idiv., tell!,
(A-II) (J-P) (',ode 3 redemption) (if private or int.) """"'1ction)(Q-W)
l. CHASE BANK A Interest J T
2. CHASE BANK A Interest J T
3. JOHN HANCOCK LIFE INSURANCE None Redeemed 81112009 J D (WHOLE LIFE)
4. NORTHWEST MUTUAL LIFE INS None M T
(WHOLE LIFE)
5. JNDEPENDENT BANK A Interest J T
6. BROKERAGE ACCT #2
7. LOOMIS SAYLES BOND CL I None Sold 1121/09 J
8. ARTIO INTI.. EQUITY FD CL None Sold 01121/09 J
9. SCHWAB DEPOSIT ACCOUNT A Interest L T
10. RESPONSE GENETICS INC None J T Sold 10120/09 J (part)
11. Buy 1121/09 J (add1)
12. GE MONEY BANK NA 3. 75% 09 CD A Interest Matured 07/09/09 K FDIC INS DUE 7/9/09
13. GE MONEY BANK NA 3.2% 09 FDIC A Interest Matured 01/09/09 K DUE 1/9/09
14. SECURITY B&T 3.15% 09 CD FDIC INS A Interest Matured 01121/09 J DUE 1/21/09
15. GE CAPITAL FIN 2.9% 09 CD FDlC INS A Interest Matured 02113/09 K DUE2/13/09
16. WACHOVlA MRTGE BK 2.85% 08 CD A Interest Matured 03/30109 K l'DIC INS DUE 3/30/09
17. MORGAN STANLEY 3.35% 09 CD FDIC A Interest Matured 07/08/09 J INS DUE 7/8109
l. Jncome Gain Codei: A •$1,000 oc less B =Sl,001 • $2,SOO C =S2,SOI • $5,000 D ss,001 • s1s.ooo E-$15.001 • $50,000
(See Colwnns Bl and D4) F =$50,001 -$100,000 G =$100,001 • Sl,000,000 Hl =$1,000,001 • $5,000,000 H2 -More than $5 ,000.000
2. Value Codes J -S15,000 or less K -SlS,001 • $50,000 L -SS0,001 • Sl 00,000 M -Sl00,001 -$250.000
(See Colwnns Cl and D3) N s2so.001 • ssoo.ooo 0 •$500,001 • Sl,000.000 Pl •Sl,000,001 - $5,000,000 P2 •SS,000,001 · $25,000,000 P3 2$25,000,001 • SS0,000,000 P4-MO<e !han SSG.000,000
3. Value Method Codes Q -Appraisal R -Cost (Real Est.le Ooly) S-Aasessmcm T -cash Market
(See Column CZ) U-Book Ve.Jue V:<>tbcr W•Estimm<I
I I !
(I) (2) (I) (3) (4)
I
! '
12
9.
f I
I
_J
B.
(2) (5)
(A-H)
Name of Puson Reporting Date ofReportFINANCIAL DISCLOSURE REPORT
Page 5 of9 QUIST, GORDON J. 05/08/2010
Vil. INVESTMENTS and TRUSTS - income, •alw, tr1tmactians (hu:luda those of spouse.,,,,, depm4ent childnn; """PP- 34-60 of filing instructibns.)
0 NONE (No reportable income, assets, or transactions.)
A. c. D.
Description of Assets Income during Gross value at end Transactions during reporting period
(including trust assets) reporting period ofreporting period
(1)Amount!Place "(X)" after each asset
(2) Date Value Gain Identity of Type(e.g., Value Value Type (e.g.,
buyer/sellermm/dd/yy Code2 Code ICo&! div., rent, Code2 Method buy, sell, exempt from prior disclosure (A-H) or int.) (J-P) Code3 redemption) (J-P) (if private
transaction)(Q-W)
18. WILMINGTON TR BK 2.6% 09 CD FDIC A Interest Matured 04/27/09 KINS DUE 4127/09
19. GMAC BANK UT NA 3.25% 09 CD FDIC A Interest Matured 8/28/09 KINS DUE 8/28/09
20. COMM BANK NV NA 3.55% 09 CD FDIC A Interest Redeemed 8/14/09 KINS DUE 2126/10
21. COMPASS BANK NA J .8% 09 CD FDIC A Interest Matured 05/20/09 JINS DUE 5/20/09
22. KIMBERLY-CLARK CORP None J T Buy 11/23/09 J
23. TECO ENERGY INC None J T Buy 11/30/09 J
24. UGI CORPORATION NEW None J T Buy 9/23/09 J
25. SCHWAB GNMA FUND INVESTOR A Dividend Buy 711/09 JSHARES
26. Merged 8/J0/09 J (with line 27)
127 . SCHWAB GNMA FUND SELECT A Dividend K T Buy 7/20/09 J
SHARES
j 28 Buy 8/4/09
J(add'!)
Buy 9/28/09 J(add1)
30. Buy 10/7/09 J I (add'!)I
31. SCHWAB PREMIER INCOME FD A Dividend K T Buy 8/4/09 J
32. Buy 8/31/09 J (add'!)
33. Buy 9/18/09 J(add'!)
34. THIRD A VENUE FOCUSED CREDIT FD A Dividend K T Buy 9/8/09 JINV CL
J, Income Gain Codes: A s1.000 or 1eso B oJJ ,001 • S2,500 C-$2,501 · $5,000 D -$5,001 • $15,000 E $15,001 - $50,000 l.. .. ) F '"$50,001 • SI00,000 G s100,001 • Sl,000,000 HI =Sl,000,00J -SS,000,000 H2 •More than SS ,000,000
2 Vahle Codes J •SIS,000 or less K -SIS,001 • $50,000 L =SS0,001 • $100,000 M =$100,001 · $250,000
(See Columns Cl and D3) N =S250,001 • SS00,000 0 =$500,001 • Sl,000,000 Pl c$J,000,00l · $5,000,000 P2 -s5,ooo,001 . s2s.ooo,ooo P3 •$25,000,00I • SS0,000,000 P4 =Mor< than SS-0,000,000 I
3, Value Method Codes Q•Appniul R <Co51 (Ru! Es1a1e <Ally) S -A scssment T-C..bMmct I (See Column C2) U •Book Value V-other w •Estimaled I
I
K 41.
43.
46.
48.
49.
Name of Penoo Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 6of9 QUIST, GORDON J. 05/08/2010
VII. INVESTMENTS and TRUSTS -income, vo111e, tra1tS11ctions anc1JUJes 11tose of spouse and t1epnu1en1cltildrm;see pp. 34-61J offilinx instrucwns.J
0 NONE (No reportable income, assets, or transactions.)
A_ Description of Assets
(including trust assets)
Place "(X)" after each asset
exempt from prior disclosure
B. c. D.
Income during Gross value al end T ransactious during reporting period
reporting period of reporting period
(1) (2) (I) (2) (1) (2) (3) (4) (5) !Amcnmt Type(e.g .• Value Value Type (e.g., Date Value Gain Identity of i Code 1 div., rent. Code2 Method buy, sell, mm!Mlyy Code2 Code I buyer/seller
(A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private
(Q-W) transaction)
35.
36_
37. POWERSHS DB COMMDTY INDX
38. POWERSHS DB MULTI SECTOR (DBO)
39. BEAL BANK NV NA 1.05% 09 CD FDIC A INS DUE 7/22/09
40_
None
None
Interest
J T
Buy (add'l)
Buy (add'l)
Buy
9/18/09
10112/09
I 1117/09
J
J
J
J T Buy 9/16/09 J
Buy
Matured
1121/09
7/22/09
K
K
EAST WEST BANK .085% 09 CD FDIC A Interest Buy 1/21/09 INS DUE 3/26/09
42. Matured 03126109 K
NY COMMUNJTY BANK .7% 09 CD A Interest Buy 2117109 J FDIC INS DUE 6/25/09
44_ Matured 06/25/09 J
45. CA lHA Y BANK NA 1-2% 10 CD FDIC None J T Buy 3/23/09 J INS DUE 4/6/10
BEAL BANK NA 3% 09 CD FDIC INS A Interest Buy 8/10/09 J DUE 12116/09
47_ Matured 12/16/09 J
BEAL BANK NA .65% JO CD FDIC INS DUE717/JO
None J T Buy 10/2/09 J
WILMINGTON TR BK .4% JO CD FDIC INS DUE 4/30/10
None J T Buy 10/20/09 J
50. WILMINGTON TR BK .4% IO CD FDIC INS DUE 4/30/10
51. AMER EXP CENT BK 1% I !CD FDIC INS DUE 2125/11
None
None
J
J
T
T
Buy
Buy
10/27/09
11/17/09
J
J
l. Iocome Gain Codes:
(Sec Columns Bl and D4)
2. Value Codes
(See Columns CJ and D3)
3. Va.Jue Method Codes
(See Column C2)
A =$1 ,000 or less
F =$50.001 -SI00,000
J •SI 5,000 or less
N -S2SQ,OOI • $500,000
P3 •$25,000,001 - $50,000,000
Q•App.-.U.l U .-Book Value
B =Sl,00l -S2,500
G •$100,001 • $1,000,000
K-SJS,001 -$50,000
0 =$500,001 - Sl ,000,000
R •Cost (Real Esta1e Ocly)
V-othe.-
c •$2,501 - S5.000
HI =$1,000,001 - $5,000,000
L-SS0,001- $100,000
Pl -Sl,000,001 - $5,000,000
P4 •More than $50,000, 000
s •Aoscumenl
w -Estlmattd
D =$5,001- $15,000
H2 •More than $5,000,000
M =$100,001 • $250,000
P2 -SS,000,00J - $25,000, 000
T =Cash Market
E =$15,001 • $50.000
A I
I INS
i
i 155. !
;
I I
i !
!
Date of Repon Name of Pem>D Reponing FINANCIAL DISCLOSURE REPORT Page 7 of9 05/08/2010QUIST, GORDON J.
VII. INVESTMENTS and TRUSTS - "'"°""• ..,,,,.,.,, tranucdons r1nc11111a 1hose "f """llS" 111111 dependent chil4re11; """PP. :t4-60 <>f filtnc instrucrwm.;
D NONE (No repo11able income, assets, or transactions.) ··-······· -------····--··---·· ··· ·--·-----
Description of Assets (including trust assets)
I i
Place "(X)" after each asset
exempt from prior disclosure
a. lncome during
reporting period
C. Gross value at end
of reporting period
D. Transactions during reporting period
(4)(1)iAmount
Code I
(A-H)
(2)Type(e.g., div» rent
or int.)
(I} Vaine
Code2 (J-P)
(2) Value
Melhod Code3 (Q-W)
(1)Type(e.g.,buy. sell,
redemption)
I (2)I Dalelmm/ddlyy (3) (5) Value G " Identity of
Code2 co<1"':1 buyer/seller(J-P) (A-H) i (if private
transaction)
52. FIRSTMERIT BANK .2% 10 CD FDJC DUE6/!6/JO
None J T Buy 12/02/09 J
53. BROKERAGE ACCT #1
1 54. SCH\\lAB MUNJ MONEY FUND (l.E. SCHWAB TAX EXEMPT FUND)
A Dividend J T
BROKERAGE ACCT #3
[56 SCHWAB DEPOSIT ACCOUNT A Interest J T
57. BROKERAGE ACCT #4
58. SCHWAB DEPOSJT ACCOUNT A Interest J T
59. WACHOVJA BANK NA 2.85% 09 CD FDIC INS DUE 3/30/09
A Interest Matured 3/30/09 J
60. SCHWAB GNMA FUND INVESTOR SHARES
61.
A Dividend Buy
Merged(with line 62)
7/1/09
8/10/09
J
J
62. SCHWAB GNMA FUND SELECT SHARES
63.
A Dividend J T Buy 10/27/09 J
l Income Gain Codes: (!kc Cohimns Bl and D4J
2. v.iue Codes (Seo C'.olumns Cl and D3)
3. Value Method Codes (See CoJuJ'QJI C2)
A :n-Sl,000 or lest
F -sso,001 • s100.ooo 1=$15,000orlCQ
N "'SZS0,001 • SS00,000
P3-S25,000,001 • SS0,000,000 Q-Apprusal U=BookValuo
B =Sl,001 • $2,500
G-SI00,001-Sl,000,000
K =$15,001 • SS0,000
0 =$500,001 -$1,000,000
R =C-OSI (Real ENtc Only) V-<Jch..-
C•$2,501 - $5,000 D =$5,001 • SIS,000 E =$15,001 - $50,000 HI =>$1,000,001 - SS,000,000 H2 -M°"' lhan $5,000,000 L=SS0,001 -$100,000 M =$100,001 • $250,000 Pl =-Sl,000,001 • SS,000,000 P2 =SS,000,001 - $25,000,000 P4 - lhan SS0,000,000 S-A&$C:jamcnt T..CashMarlcot w =Estim>ted
Date of ReportName of Penon .ReportingFINANCIAL DISCLOSURE REPORT
QUIST, GORDON J. 05/08/2010Page 8 of9
VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndkateparl<>fRqJOrt.J
FINANCIAL DISCLOSURE REPORT Name of Penon Reporting Date of Report
Page 9of9 QUIST, GORDON J. 05/08/2010
IX. CERTIFICATION.
J certify that all information given above (including information pertaining ro my spouse and minor or depe1tdent children, if any) is accurate, true, and complete to tbe best of my knowledge and belief, and that any information not reported was withheld a use 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 S 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)
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
Recommended