David A Katz Financial Disclosure Report for 2009

8/3/2019 David A Katz Financial Disclosure Report for 2009

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An 10 ] FINANCIAL DISCLOSURE REPORT Reportin GovernmentRequired ActbY1 / 2 o l o FORCALENDAR YEAR 2009 ( 5 u . s . c a p p . ~ "1. Person Rep or t ing ( las t name, f i rs t , midd le ini t ia l) 2. Cour t nr Organiza t ion 3 . Da t e o f Re po r tKatz , Dav id A . U.S .D.C . No r the rn Ohio 05/01/2010

4. Ti t le (Art ic le I l l judges indicate ac t ive or senior s ta tus l " 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e : ty p e ) I 6 . Report ing Pe riedmag is t ra te judges indicate ful l - or pan-t ime) [] Nomination, D a t ~ 01/01/2009S e n io r D i s t r ic t J u d g e [] Initial [] Annual [] F i n a l to,, 12/31/20095b, [] Amended Report

7 . C h a m b e r s o r O f f ic e A d d r e s s 8 . 0 . ,h e b a s i s o f t h e i ~ f o r m a t i a n c o n t a i n e d i n t h i s l~epor t and a n ym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it i s , i n m y e p l u i o n , i n c o m p l i a n c e307 U. S . Cour thous e wi th app l i c ab l e l aws and r egu l a t i on s .1716 Sp i e lBusch AvenueTo l e d o , O H 4 3 6 04 Revi ew ing Of f i c e r Da t e

I M P O R T A N T N O T E S : The instructions accompanying this form m~t be followed. Complete all parts,checMng the NON E box for each part where you have no reportable informatio~ Sign on last pag~

1 . P O S I T IO N S . ~o,~ ~,~,t~ot o,~y ; ~ ~ ~ , of f!ting inst,uctions.)[-~ N O N E (No reportable positions.)

POSITION NAME OF QRGANIZATION/ENTITY1. Vi c e P r e s i d en t & T r u s t e e David S . S tone Founda t i on

2, M e m b e r Nat i ona l Counc i l o f Oh io S t a t e Unive r s i t y Co l l ege o f La w

3. T ru s t e e E m e r i tu s Memy Heal th Sys tem - Northern Reg ion4. M e m b e r To l e d o Z oo F ou nda t i on Boa r d

5. M e m b e r Advoca t e s fo r V ic t ims & Jus t i ce , Inc . Boa rd

~ N O N E ~ o reportable agreemenu.) .D A T E PARTIES AND TE~S


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FINANCIAL DISCLOSURE REPORT [ Name of Pe rson Repo rt ing Da te O f R e p o rtP a g e 2 of 7I Katz, David A.

05/01/2010

H I. N O N - I N V E S T M E N T I N C O M E . (nepom,g tndi,ta,a ~d epo~s,; ,ee pp. 17 -24 ol".t-ding instr~caons,)A. Fliers No n - l nv e s t m e n t I n c o m e

N O N E (No repo rtable non- investment income.)D A T E SOURCE AND TYPE iNCOME( y o u r s , n o t s p o u s e s )

I.2.3.4.

B . S p o u s e s N o n - ln v e s tm e n t I n c om e - If 2"au were married during an2"portlon of the reporting year, complete this section(Dollar amount not required except for honoraria.)

NONE ( No reportable non- investment income.)D A T E 8OURCE AND TYPE

1.2.3.4.

IV. REIM BURS EM ENTS -(Includes those to spouse and depend ent children," see pp. 25-27 of f!ling instructions.)

D N O N E (No reportable reimbursements.)SOURCE D A T E S _ LOCATION PURPOSE ITEMS.,,pAID OR PROVIDED

1. Amer i c an Confe r ence 6/24/09 - 6/25/09 N ew Yo r k , N Y Pane l Spe ake r Expenses , t r anspor t a t i on , l odg ing , mea l sI n s t i t u t e2.3,4.5,


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FI N A N C I A L D I SC LO SU R E R E PO R T N .... fPerson R eporting Date of ReportPage 3 of 7 K . ~ D a v i d A . 0 5 t 0 1 / 2 0 1 0

V . G I F T S . (Incluaes those to spouse and dependent children; see pp. 28-31 offiling instruaions.)N O N E ( N o reportable g~s.)

S OURC E D E S C RIP T ION VALUE1.2.

3.

4.5.

VI. LIABILITIES. a, au,~,sthos,N O N E (No reportable liabilities.)

C R E D I T O R D E S C RIP T ION VALUE CODE1.2.3.4.

5.


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FINANCIAL DISCLOSURE REPORT I N .... fPerson Reporting Date of ReportPage 4 of 7 [ Katz, D a v i d A . 0 5 / 0 1 1 2 0 1 0

N O N E ~ o reporlable income, ~sets, or transactions.).A. B. C. D.

~s~ion of A~ts ~ Income d~ng Gr o s s v a l u e a t e nd Transactions d~ng mpo~ng(i~cl~g ~st a~e~) r~ing p~od of re~ng ~d

e x e m p t f r o m p r i o r d i ~ lo s u r e C~e I Idiv., renL C~e 2 I M e ~ h o d buy , ~11, m~d~ I C~v 2 I C~e 1 I buys/seller< A - ~ I o , i ~ t . ) (~-e) C~e3 ~demption) O-P) (A-H, I ( i f p f i v a m

I. ~ Co~ [nc fomcrly Pacific Place LtdB Diddend K W

2. Ha~fo~ Fund. SVCS GPP (~j None Sold 01/29109 J

3. Citigroup ~c. (s) A Dividend J T

4. I s r a e l Bond ( 4 ) A Interes t R e d e e m e d 12/16/09 K

5. Fif th Thi rd Bank~afe (4) A Interes t K T

6. Express Scripts Inc. (s) None J T

- ~ . UM8 Scout Worldwide Fund (S) A Dividend J T8. Vanguard T ota l Sk t Mkt -Vipe rs(S) A Dividend J T9. IRA, c o m p o s e d o f se cu r i ty inve s tm en t fund E Di v i d e n d O TFif th Third

1 0 . V a n g u a r d Lo n g -T e rm B o n d B Di v i d e n d K T~ 1. Ear th l ink, Inc . None J T B u y 08/11109 J

1 2 . Q ua ntum C P No ne J T B u y 08/I 1/09 J

13 . Web.Com Group None J T Buy 08/11/0914 . American Growth Fund D Dividend L T

1 5 . F ed e r a t e d S t r a te g i c Va l u e T e am D Dividend M T

1 6 . Touchstone Mid Cap Growth C Dividend K T1 7 . Vangua r d Se l ec t ed Va lue None So ld 09/25/09 K

I . Income Gain Cod~: A =$1,009 or less B =$1,001 - $2,500 C = .V 2 ,501 - $ 5 ,~ D ~ $ 5 ,~ 1 -2. Value C~ J = $ 1 $ ,~ o r I~ s K = $ 15 ,~ 1 - $ 50,~ L ~ 50,~ 1 - $ 100,~ 0 M =$ I~,~ 1 - $~0,~( ~ C o l u ~ s C I a n d D 3 ) N = $ 2 50 ,001 - ~0 , 0~ OP] ~25,~,001 - $50,~,0~ ~ =Morn ~ $~,~,~3. Val~ Me~ ~d~ Q = A p p m i ~ l R

(~ Column ~) U =~k Value V ~her W =~d


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Name of Person Reporting Date of ReportFINANCIAL D IS C L OS URE REPORT] Katz, David A.age 5 of 7 0 5 / 0 1 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ n c o , . e , value, transactions (lnctudex those of sp ..... d dependant children; see pp. 34-60 of fiflng instructions.)NONE ( .No reportable income, asse ts , or t ransact ions. )

A. B. C. D.De s c r i p t i o n o f As s e t s I n c o m e d u r i ng Gro s s va lu e a t e nd T ra nsa c tio ns d u r ing r e p o r ting p e r io d( i n c l ud i ng t r u s t a s s e t s ) r e p or ting pe r io d o f r e p or ting pe r io d

P l a c "CX ) " a f t e r e a ch a s s e t t Type (e.g., V a l u e V a l u e Type (~g., D a te V a lu e Gain l d en t i t y o fe x e m p t f r o m p r io r d i s c l o su r~ d iv . , r ent , C o d e 2 Me tho d b u y , s e l l , m m /d d /y y C o d e 2 C o d e I b u y e z / s e l l e r

or i n t , ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A -H ) ( i f p r i v a t e( Q - W ) t ~ a n s a c t i o n )

1 8 . Vangua rd Sho r t -T e rm Inv N o n ~ " L T Bu y 01/27/09 J1 9 . O p p e n h e im e r D i v . M K T B D iv i d e nd L T

~ 0, Amer i c an High Inc . Tro A D ivid e nd So ld 12/15/09 K21. D i a m o n d H d l L a r g e C a p None S o l d 12/15/09 K22. American Cap World G & I C Dividend Sold 12/15/09 K

23.

I . Inco m e Ga in Code s : A = $1,000 o r less B ~ $1,001 - $ 2,500 C ~$2 ,50| - $5,000 D ~ $5,001 - $t 5.000 E = $15,001 - $50,000(Sc Colunms BI ~nd D4) F -550,001 - $ I00,000 O -$ 10~ ,001 - $ 1,000,000 H] ~$ 1,000,001 - $ 5,000,000 1 - 1 2 = M o ~ t h a n $ 5 ,0 0 0 , 0 0 0

2. Va lue Code s J =$15.000 o r tess K = $15,001 - $50,000 L =$50,001 - $100.000 M ~$ I00,001(Scg Colunms CI and D3) N =$250,001 - $500,000 0 =$500 ,001 - $ 1 , 0 0 0 , 0 0 0 Pl ~$1,000,001 - $5,000,000 P 2 =$5,000,001 - $25,000,000P3 ~0.5,000,001 - $50,000,000 P4 =More than $50,000,000

3 , Va lue Me thod Cod ~s Q = App ra isa l g = Co st (g t= a l Es ta t~ O nly) S =Asse s smen t T -~ a sh Ma rke t(See Column C2) U =Book Va lue V ~ W =E sd a ~ t c d


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] Name of Person Reporting

I

Date of ReportFINANCIAL DISCLOSURE REPORT[ K a t z , D a v id A .

Page 6 of 7 o 5 / o 1 , 2 o l oVIII. ADDITIONAL INFO~TION OR EXPLANATIONS. a,.~c.tep.,tof~e~,0,~


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IX. CERTIFICATION.1 c e r t i f y t ha t a l l i n f o rma t i on g i v e n a b ov e ( i n c l ud ing i n f o rma t i on p e r t a i n ing t o m y s p ou s e a nd m ino r o r d e p e nd e n t c h i ld r e n , i f a ny ) i sa c c u r a t e , t r u e , a nd c om p l e t e t o t h e b e s t o f m y k now l e d g e a nd b e l i e f , a nd th a t a ny i n f o rm a t i on no t r e p o r t e d w a s w i t h h e l d b e c a u s e i t me t a p p l i c a b l e s t a t u t o ry

p r ov i s i on s p e rm i t t i n g non -d i s c l o s u r e .I f u r t h e r c e r t i fy t h a t e a rn e d i nc om e f r om ou t s i d e e m p l oy m e n t a nd h ono r a r i a a nd t h e a c c e p t a n c e o f g i f t s w h i c h h a v e b e e n r e p o r t e d a r e i nc om p l i a n c e w i t h t h e p r ov i s i on s o f 5 U .S .C . a p p . 501 e t . s e q . , 5 U .S .C . 7 3 53 , a nd J ud i c i a l C on f e r e n c e r e gu l a t i on s .

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L LY F A L S llA ND C R IMINA L SA NC TIO NS ( f ~ U .S .C . a p p . 104 )

FILING INSTRUCTIONSM a i l s i g n e d o r i g i n a l a n d 3 a d d i t io n a l c o p i e s t o :

C o m m i t te e o n F i n a nc i a l D i s c l o s u r eA d m i n is t r a t iv e O f f i c e o f t h e Un i t e d S t a t e s C o u r t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i rc l e , N .E .W a s h i ng t o n , D . C . 2 0 5 4 4

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David A Katz Financial Disclosure Report for 2009