David W McKeague Financial Disclosure Report for 2009

8/3/2019 David W McKeague Financial Disclosure Report for 2009

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A O t O [ FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c ~in Government A ct qf 1978R e v . 1 / 2 o J 0 [ FOR CALENDAR Y EAR 2009 ( 5 u . s . c , a p p . 9 ) " 1 0 1 - 1 1 1 )I. P~rson R eporting {last name, first , middle initial) 2. Court nr Organization 3, Date of ReportMcKeague, David W. U,S. Cou~t of Appeals - Sixth 05/12/2010

4. Title (Article I11 judges indicate active or senior status; 5a. Report T ype (check appropriate type) 6. Reporting Periodmagislrate judges indicate full- or part-time) [] Nomination. Date 01/01/2009Circuit Judge [] Initial [] Annual [] Final to12/31/2009

] 5b. [] Amended Report7.Chambers or Office Address 8. On the basis of the informathm ontaiued in this Report and anymodifications pertaining thereto, It is In my opinion, in complianc eU.S. Court of Appeals with applicable laws and regulations.315 W. Allegan StreetLansing, MI 48933 : Review ing Offic er Date

IMPO RTAN T NOT ES: The instructions accompanying this form must be followed. Complete all parts,checking the NONE bo.~: for each parr wh ere you have ~o reportable information. Sign on last page.

I . P O S I T I O N S . c ~ , ~ , ,, ~ ,~ indi~,idua! only .... pp. 9-13 of filing instrnctinns.)[~ NON E (No reportable positions.)

PO SIT ION NA M E O F QRGANIZATIQN/ENTITY1. Adjunct Professor Michigan State Uni~versi~ , College of Law

2. Board Member Federal Judge.,; Association3. Board Member Michigan State University College of Law ....

,

II. A G R E E M E N T S , ( ~ e ~ o r ,~ , ~ . individual onO.; seepp. 14-16 ,~J~ling inN O N E (No reportable agreemencs.)

D A T E P A R T I E S A N D T E R M SI.


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N a m e o f P e r so n R e p o r t i n g ] , Date of ReportINANCIAL DISCLOSURE RE PO RT[ McK eague, David W.age 2 of 1 2 0 5 / 1 2 / 2 0 1 0

I I I . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spause; see pp. 17-24 ,,f filing insrructions.)A. Fliers Non-Investment income--] NONE (No reportable non-investment income.)

DATE SOURCE AND TYPE ~(yours~ not spouses)I. 2009 Michigan State Universib College of Law (approved teaching) $24,685.002.3.4.

B . Spouses Non-Investment Income - i/~.ou ~,ere married during any portion of the reporting year. c~mplete this sectian.t ~ D o l l a r a r t ~ o u n t n o t r e q u i r e d e x e e p t / ~ r h o n o r ~ r i o . )j - - - - ] NONE (No reportable non-investment income.)

D A T E SOURCE AND TYPE1 . 2 0 0 9 Michigan Health & H ospital Association - wages2. 2009 Accident Fund Insurance Cnmpany - Director fees3. 2009 Sparrow Physicians Health Nelwork - Director fees

4.

I X . R E I M B U R S E M E N T S - , .o . ,~ , ,. ~ ,i ,, ., lodging,food, entertai ....~H n c l u d c ~ s t / ~ r , , ~ t " t o s p , ~ l ~ s e , n d d ~ . p e n c h , n t c h i l d r e n . " s e e p p . 2 5 - 2 7 ~ i ] t i li n g i n . s t r u e t io n s . ~[~] NONE (No reportable reimbursements.)

SOIdRCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED1. Pra ct ic ing L a w l ns ti ~n te 07/08/09 to 07110/09 New Y ork, NY Speaker at Seminar Lodging. transportation arid meals2.

3.4.5.


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FINANCIAL DISCLOSURE REPORT ] Name of P .... Rep ort ing Date of Rep ot!I

Page 3 of 1 2] McK eague, David W.

0 5 / 1 2 / 2 0 1 0

V . G I F T S . a n a ~ a ~ , ~ h o ~ , , o , r o ~ , ~ ~ a ~ a ~ t ,, ,i u , ~ , ; ~ p p . 2 8 - 3 1 of filing ins.uctions.)NONE (No reportable g~s,)

~ DESCRIPTION ~I.

3.4.5.

V I . L I A B I L I T I E S. rl, a,~,~ ,~ ,,y.~ ...... ~ deptndtnt children; see p p . 3 2 - J 3 0 J f i l i n g in.~tr,ction.~.)~ N O N E ( N o reporeable liabili~es.)CR EDITOR DESCRI PTION V A L U E C O D E

I. Sallie Mae Se~icing Co~omtion S t u d e n t l o a n s J

2.3,4.5.


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FIN ANCIAL DISCLOS URE REPORT r ~ , . ~ o | ~ , . . . . a ~ o . ~ n ~ ~ , e n ~ n ~ p o . IIage 4 of 1 2 ~e~g~ , David W. 0 5 / 1 2 / 2 0 1 0VII. INVESTMENTS and TR USTS -- z .... ,, vat,,e, t ....... ions {Includes those of sp ...... d a e p e n a e m c h i l d r e n ; s e e p p . 3 4 -6 0 o f f! t in g i n s t r a c t i o n ~ )

NONE (N~; reportable income, ~sets, or transactions.)

Description of A~ts I n c o m e d u r in g G~ss value at end T r a n s a c t i o n s d u r i n g r e p o ~ i n g p e r i o d( i n c l u d in g t ~ s ~ a s s e ~ s ) reporting peri~ o f r e p o ~ i n g p e r i o d ,

(0 (2 ) O) (2) ~ (~) ~2) (3) ~4) (5 )P l a c e " ( X Y n R e r e a c h a s s e t , A m o u n t . T y p e ( e . g ., Value ~ Vzlue T y p e ( e . g ., ; D~le V a l u e G a i n ldenfi~ ofe x e m p t ~ o m p r i o r d i s c l o s u r e Code I ~ d i v . , r e n t , C o d e 2 , M et h o d b u y , s e l l , ~ m m ~ d ~ : y y ~ C o d e 2 C o d e I b u y ~ w ~ ~ l l e r(A-H) ~ o r 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 r a n s a c t i o n )

t. Stonehedge LP A Dividend K W2. National City Bank A lntercs! J T

3. Ohio National Univ. Life " N o n e K T4. IRA I E Dividend O T5. -Schwab Advisor Cash Reserve6. -PIMCo Low Duration K T Sold 1 / 1 5 / 0 9 J A(par07 . -PIMCo Real Return Sold 7/9/09 K A8 . -PIIVlUo Total Rettun L T Bu y 9/09/09 K(addl)9. -Artisan Intl Sold 3 , . " 2 6 / 0 9 J A( p a r t )

I 0 . Sold 7/9/09 K AII. -DFA U.S. Small Cap J "I"12 . -Columbia lntl Value Z K 1 Sold 3/26/09 J A{ p a r l )13 -T Rowe Price lvlid Cap K "1" l : ] u y 9 , 1 / 0 9 K(addl)

14 . -Vanguard Index 500 Signal Shares M T Sold 1 / 1 5 / ( 1 9 K A( p a r t )15 . - PIMCo Develnping I.ocal Markets Sold 1 / 1 5 / 0 9 K A16 - Touchst,me Sands Calfital Inst. Growth K T Sold 1 / 1 5 / 0 9 J A( p r o t )17 . B uy 9/2/09 J(addl)


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FINANCIAL DIS CL O SURE RE PO RT S a ~ o f P e r s o n R e p o r t in g I ~,t~o,a,~., II Iage 5 of 12 M cK eague, David W . 05/12/2010VII . I N V E S T M E N T S a n d T R U S T S - i . . . . . . . . ~,.~ ...... , ~ o ~ a ~ a ~ , h o ~ o / ~ . . .. . ~ ~ , ~ , ~ U ~ , , ~ ;

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

D e s z t i p ~ i o n o f A s s e t s I n c o m ~ d u r i n g G r o s s v a l u e a l e ~ d Tr~sazlio~s during ~po~ing period( i n c l u d in g I m s ~ ~ s s e t s ) r e p o~ in g p er i o d o f r e p o r t i n g ~ r i o d

P l a c e " ( X ) " a f t er ~ c h ~ s e t A m o u n t i T y p e ( e . g ., V a l u e Value T y p e ( e . g ., Date ~ Valuee x e m p t f r o m p r i o r d i s c l o s u r e C o d e I d i v . , r e n t , C o d e 2 M e t h o d b o y , s e l l , mm,d~ Code 2 ; Code I { buyer/seller( A - H ) o r i r a . ) O - P ) Code3 r e d e m p t i o n ) { J - P } ~ A - I ]} ; { i f p r i v a t et Q - W ) : ~ ~ t m n s a c t i u n ~

1 8 . - ICAP Select Equi~ K T Sold 1 / 1 5 / 0 9 J Al p a m )19 , Buy 9/I/09(addq)2 0 . - iSha~s S&P 100 Index Sold 9/1/09 K A2 I ~ - Vanguard Ime~edia~e lnves~mem Gtad~ Bu y 7/9/09Investor2 2 . Sold 9 / 9 . / 0 9 K23. - CRM Small Cap Valuc Instl K T B uy 09/02 /09

2 4 . - Stratton Small Cap Value J T2 5 . - H arbor International Instl K T Sold 1 / 1 5 / 0 9 J A( p a r t )2 6 . - Credit Suisse Commodity Return Strategy K T Bu y 1 / 1 5 / 0 9 J(addl)2 7 . - BlackRock Global Allocation CI 1 K T Bu y 9/2/09 K2 8 . - (;alamos Growth & Income Fund CI I .! T Bu y 3 1 2 6 / 0 9 J2 9 . - Hussman Strategic Growth J T Bu y 3/)6/09 J3 0 . - Loomis Sayles Strategic Income Y K T Bu y 1 / 1 5 / 0 9 K3 1 . - PIMCO Diversified Income lnsll 3 T Bu y 1 / 1 5 / 0 9 K

: 3 2 . Sold 9/2/09 K C(pan)3 3 . - SPDR G oldTrust Shares J "1" Bu y 1 ! 1 5 / 0 9 J

3 4 . - Thomburg htternational Value K T Bu y 7/9/09 K

I. Income Gain Uu(let: A =$)Jlfl(} or less F~ ~SI.001 - S2,500 (" =52,501 - $5,0flfl D =$5,00t - St 5,000 E S15.001 - 550,000


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p n r tFINANCIAL DISCLOSURE REPORTPage 6 of 12 o ~ ; 1 2 : 2 o l oV I I . I N V E S T M E N T S a n d T R U S T S --~ ........ l ~ , , t ....... lions Include~" th ...... :sp ...... d de~ndent children; see pp. 34-60 ~f!ling instrucaon,)

N O N E (No reportable income, assets, or transactions.)A . ~ B , C.D e ~ r i p t i o n o f A s s e t s : I n c o m e d u r in g ~ G r o s s v a l u e a t e n d T r a n s a ~ i o a s d u r i n g r e p o r t i n g p e r i o d

( i n c l a d i n g t r u s t a s s e t s ) r e p os i n g p er i o d o f r e p oa i n g p er i o dP l a c e " ~ X ) " a ~ e a c h a s s et A m o m a t ~ T y p e ( e . g ., : Value Value T y p e { e . g . , ] Date.. Value G a i n I d e n t i t y o f

e x e m p t f r o m p r i o r d i s c l o s u r e [ C o d e I div., r~t, ~ C o d e 2 M e t h o d b u y . s e l l , m m t d W ~ " i C o d e 2 C o d e ~ b u y e r / s e l l e r. (A-H) o r 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 r a n s a c t i o n )3 5 . - Vanguard Inflation-Protected Securities K T Bu y 7/9/093 6 . M! H ealth & Hospital Association- i.401K) A Dividcnd L T

3 7 . Fifth Third Bank accounts A Interest Closed 04/06/09 J3 8 . Ohio National Univ. Life Policy None K T3 9 . IRA 2 D Dividend N "1-4 0 . -Schwab ,Adv. Cash Reserve J 1-4 1 . -PIMCo Low Duration K T Sold 1 / 1 5 / 0 9 J A(pan)

4 2 . -PIMCo Real Return Sold 7/9/09 J A4 3 . -PIMCo Total Return 1 . T Bu y 9/9/09 K( a d d L )4 4 . Bu y 9/17/09 J(addl)4 5 . -Artisan lntl Sold 1 / 1 5 / 0 9 J A4 6 -Rainier Small Mid Cap J "1- Bu y 7 / 9 . / 0 9 J{addl)47 . -Vanguard Irtdex 500 Signal Shares J F Sold 3/27/09 .I A/ p a r t )4 & - PIMCo Dt:vt:loping 1.ocal Markets Sold 1 / 1 6 / 0 9 K A4 9 . - ICAP Select Equily K T5 0 . - Tonchstone Sands Capilal Inst. G rowth K T

5 1 . - iShares S&P 100 Index Sold 9 , " I / 0 9 K A[ p a r t )


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N a m e o f P e r ~ o a R e p o r t i n g D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT[ McK eague, David W.age 7 of 12 0 5 ~ 1 2 / ~ 0 1 0

VII. INVESTMENTS and TRUSTS -- i ....... t o , , t ....... tions (Includes those oysp ...... d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 o : f il i n g i n s tr n c t i o n s . )D NONE (No reportable income, assets, or transactions.)

~. ......... ! B . C. D.D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G ro s s va l u e a t e n d T r a n s a c t i o n s d u n n g r e p o r t i n g p e r i o d( i n c l u d in g l ~ a s t a s s e t s ) r r e p o r t i n g p e r i o d o f r c p o n i n g p e r i o d( 1 )


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FINANCIAL DISCLOSURE REPORT l N .....fP .....Reporting [ Da,eof ReportPage 8 o f 1 2 ] MeKeague, David W.I 05/12/2010V I I . I N V E S T M E N T S a n d T R U S T S - in , . o , ~ e , value t ..... lions (lneludes those of spouse and de~ndent children; see pp. 34-60 o]f!ling i~tructions.~~ , ~O NE (No reportable income, assets, or transactions.)

.............. ~? .................. ~: ............ ~ .............................. D. " ...............................Descriptitm of Assets Income during G ro~ value at end Fransacfio~ during r~o~ing period(including t~st ~sec~) reporting period ofrepoaing pcri~ [ ..........(1) 1 2) (I) (2} (1) (2) (3) (4) [ (5)[ lace " (X)" a~er each ~set ~Amount "I ve (e.g . . Val~ Value Type (e.g. , Dale Value Gain [ Identity ofexempt [rom prior disclosure ~ Code 1 div., ren~ Code 2 Method buy. sl!, mm!dff~vv Code 2 Code 1[ buyer/seller~: (A-H) or i~lt.) (J;P) Code 3 redem ption) (J-P) (A - H ) { (if private,,.. (Q-W) J " ~.......................................................... ] ................ ~ transaction)69. Sold 03!27109 J A7 0 . MI Health & H osp. Assoc. deferred comp A Dividend K Tplan7 1 . IRA 4 B Dividend L T7 2 . -Schwab Advisor (.:ash Reserve J T7 3 . -PllvlCo Real Return Sold 7/9/09 J A7 4 . -PIMCo Total Return K T Bu y 9 / 1 7 1 0 9 J(addl)7 5 . -Columbia lntq. Value Z J T Sold 1 / 1 5 t 0 9 .] A( p a r t )7 6 . -PIMCO Developing Local Markets lnsll Sold 1 / 1 5 / 0 9 J A7 7 . -Vanguard Index 500 Signal K T Bu y 3/27/09 3laddl)7 [ , ; , Sold 9 ! t 7 / 0 9 J A[ , p a r t )

7 9 . -Artisan Intl Sold 1 / 1 5 / 0 9 .1 A8 0. - CRM Small Cap V alue lnstl J T Bu y 1 / 1 5 / 0 98I . - I.,oomis Sayles Strategic Income J 1 Bu y 1 ; 1 5 / 0 9

8 2. - PIMC.O Lnw Duration tnstl J T B uy 9 / I 7 i 0 98 3 . - Siva[ton Small Cap Value J T Bu y I . / 1 6 / 0 98 4 . - Vanguard h|flatinn-Pn~tecled Seeuri|ies J 1 " Bu y 7 1 9 / 0 98 5 . - Vanguard Total Slock Index Signal Bu y 1 / 1 5 / 0 9


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FINANCIAL DISCLOSURE REPORT ~e of Peruon Reporting D a t e o f R e p o r tPage 9 of 12 M c K e a g u e , D a v i d \ V . 0 5 / 1 2 / 2 0 1 0

V I I . IN V E S T M E N T S a n d T R U S T S - ~ ,, ,. . .. . . . ~ o ,, t .. .. . a i , , ~ a , , , . ~ u a ~ . ~ t h , , ~ e o / . ~ p . . . . . . d d ependent chitdren; see pp. 34-60 nff!linginstructio,t,~)[----] "NONE (N0 reportable income, assets, or transactions.)

A. .......... i ..... ~. " ...... ~:. .............. -.ill ............D e s c r i p t i o n o f A s s e t s I n c o m e d u r i ng ( ] r o s s v a l u e ~ t e n d T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(1) i (2) i t.I) t2) (I t i2) (3) (4) (5 )P l a c e " ( X ) " a R e r e a c h a s s e t . A m o u n : T y p e ( e . g .. : Value Value T y p e ( e . g ., Dale i Value G a i n i I d e n t i t y o fe x e m p t t i - o m p r i o r d i s c l o s u r e i C o d e I d i v . , r e n t , C o d e 2 M e t h o d b u y , s e l l. i m m A l d , "y y [ C o d e 2 C o d e I buycdseller[ ( A - I I ) , o r i n t . ) ( J - P ) ( ; o d e 3 i r e d e m p t i o n ) : [ ( J - P ) ( A - H ) ( i f p r l v a t e~ ( Q - W ) t r a n s a c t i o n )

86. Sold 3/27/09 J Ai "! 8 7 . Schwab Individual Account B Dividend L T

8 8 . -Schwab Advisor (;ash Reserve A I n t e r e s t J T89, -Vanguard Index 500 Signal Shares A Dividend K T Sold 1/15/09 K A( p a r t )9 0 . B uy 3/27/09 J(addIt9 1 . Bu y 9 / 1 7 ! 0 9 J[addl)

9 2 . -DFA Tax Managed U.S. Small Cap None Sold lit 5/09 J A9 3 . -Artisan Intl. None B uy 1 / I 5 i 0 9 J(addl)9 4 . Sold 7 . , " 9 / 0 9 K A9 5 . - Rainier Small/Mid Cap lns|l. None Sold l/15/09 J A9 6 . - iShares S&P 100 Index A Dividend Sold 9/1/09 J A(par09 7 . Sold 9/2/09 J A

9 8 . -Harbor Inlernarional lnsll A Dividend J T Bu y 1 / 1 5 / 0 99 9 . Sold 3/26/09 J A! p a t 1 )! 0 0 . - Cohmlbia Internatiolial Value CI Z A Dividend J T Bu y 7 ! 9 1 0 9 J1 0 1 . - Thomburg International Value A Dividend K T Bu y 1 / 1 5 . / 0 9 J

1 0 2 , Sold 3/26/09 J( p a r t )


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FINANCIAL DIS CL O S URE RE PO RT ~ .... fPerson Reporting Dare of Repot!Page 1 0 of 1 2 M e K e a g u e , D a v i a W . 0 5 / 1 2 / 2 0 1 0V I I . I N V E S T M E N T S a n d T R U S T S - in c o m ~ , ~ a t , e. , ....... tio ,~, a, ct,a,~ ,J,o.,~. ,,~, ...... d dependent children; see pp, 34-60 ~f filing instructlans.)

N O N E (No reportable income, ~sets, or transactions,)~. ~. c. " ....... i~ ...............Description of Assets Income d~ng G ross value at ~d lrao~aclions during reposing period~including t~st asse~) re~ng ~riod of reposing perk~

O) (2 ) (~) 2) u ~2) (~)-~ ~4) ~ s)Place "~X)" M~e[ cac~ ~g~ ~ Amount T~e {e .g ., Value V~lue T~e (~.g.,exemptffompfiordisclosu~ [ Cod~ I ~ div. ,rent, ~ Code2 ~ Method buy, sell, ~mm/ddi)3 Crude2 Code I buyetYscller(A-H) " or int.) {J-P) Code 3 redemption) (J-P) ~A-H) (if private(~W) transaction)

[103. B uy 7/9J09 JI (add ])104. MSU Federal Credit Union A Interest J T105. Mercantile Bank A Interest J T


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FINANCIAL DISCLOSURE REPORT J N ....[ P ....Reporting [ |],ate olReportPage 11 of 12 I Mc~


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FINANCIAL DISCLOSUREREPORTI ~ c K e a g u e , D ~ v i d w . 0 5 / ~ 2 / 2 0 ~ 0age 1 2 of 1 2

IX. CERTIFICATION.I certi~, that all information given above (including information pertaining to my sponse and minor or dependen| children, if any) is

accurate, true, and complete to the best of my knowledge and belief, and that any information not reported was wilhheld because it met applicable statutoryprovisions permitting nun-disclosure.

1 further certify that earned incmne from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 el. seq,, 5 U.S.C. 7353, and Judicial Conference regulations.

S i g n a t u r e

NOTE: ANY INDIVIDUAL WH O KNOWING LY A ND WILFULLY FA LSII:IES OR I~AII,S TO FILE "[HIS REPORT MAY BE SUBJECT TO CIVIl,AND CRIMINAL SANCTIONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSM ail signed original and 3 addit ional copies to:

Com m ittee on Financial Disc losureAdm inistrative Office of the UnitedStates CourtsSuite 2-301One Colum bus Circ le , N.E.W ashinglon, D,C. 2(1544

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David W McKeague Financial Disclosure Report for 2009