Robert M Dow Jr Financial Disclosure Report for 2009

8/3/2019 Robert M Dow Jr Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/robert-m-dow-jr-financial-disclosure-report-for-2009 1/17

FINANCIAL DISCLOSURE REPORT R , 7 , o r t R e q u i r e d b y t h e E t h i ~in Governm~nt Act o f 1978

F O R C A L E N D A R YEAR 2009 ( 5 u . s . c , a p p . § § 1 0 1 - I 1 1 )

1. P e r z o . Report ing ( las t name , f i rs l , middle ini t ia l ) 2 ~ Co u r t o r Or g an iz a t io n I 3 . D a t e o f R e p o r t

Dow, J r , , Rober t M . U.S. Dis t r ic t Cour t , Nor thern Dis t r ic t of I l l inoi s 05/I 1/2010

4 . T i d e ( A z x i c l e I I ] ju d g e s i n d i c a t e a c t i v e o r s e n i o r s t a t u s ; 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 t y p e ) 6 . Report ing Per iodm a g i s t r a t e j u d g e s i ~ d i c a t e f u l l - o r p a r t - t i m e )

[ ] N o m i n a t i o n , D a t ~ 01/01 / 2009

U.S . D i s t r i c t Judge - - Ac t i v e S t a t u s [] Initial [] Annual [] Final tn

12/31/2009

7. Chamber~ or Of f ice Addrees 8. On the badta nf the informa t lnu ¢ont .~ iaed in r ia ls Reporl and anym o d l t k a ti o m p e r t a in i n g thereto , It h , h~ my op lu io n , In c o m p l i a n c e

E . M . D i r k s en L I . S . C o u . r th o u s ¢ w i t h a p p l i c a b l e l a w s a n d r e ~ u l , t t o n s .

21 9 Sou th Dea sbom S t r e e t , Su i t e 1978C h i c a g o , I L 6 0 6 0 4

Reviewing Off ice r D a t e

I M P O R T A N T N O T E S : The ins t rucaons accom panying th is fo rm m us t be fo l lowe ,t Com plete all parts,

checking the NONE box for each part where you have no reportable information. Sign on last page.

I. POSITIONS. ~ u~u~a o~; ,ee w. ~-~ o : : ~ , ’ 1 ~ o ~

N O N E ( N o reportable positions.)

P O S IT IO N N A M E O F O R GA N IZA T IO N /E N T IT Y

I.

2,

3.

N O ~ ~ o reportable agreements.)

~ PARTIES A~ ~S

1 .



FINANCIAL DISCLOSURE REPORT

] N a m e o f P e r s o n R e p o r t i n g

. Da t e o f R e po r t

IPage 2 of 17 Dow , J r . , R ob e r t M . 0 5 1 1 1 / 2 0 1 0

I l L N O N - I N V E S T M E N T IN C O M E . c~.n,~ l, af~u~t ~ ,~o.~ ,,~ vp. ~ z-2 , of ~

A. Filer’s Non-Investment Income

NONE ~o reportable non-inv~tment income.)

~ SO~CE A~ ~E ~COME~ o u = , n o t

I.

2.

3.

4.

B . S p o u s e ’ s N o n - l n v e s t m e n t I n c o m e - i f you were m arrled duting any portion o f the reporrlng year, complete thls secrto~t

( D o l l a r a m o u n t n o t r ~ l u i r e d e r c e p t f o r h o n o r a r i a . )

[--] NONE (No r e po r t able n o n - i n v e s t m e n t i n c o m e . )

D A T E S Q U R C E A N D T Y P E

1. 2009 Ba i l ey & Gl a s s e r LLP - s e l f- emp l oyed a t t o r ney pe r f o rm i ng c on t r ac t | e ga l work t o app r ox . March 2099; a s s oc i a t ea t to r n e y a t l aw f i r m a f t e r Ma r ch 2009

2.

3.

4.

IV. R E I M B U R S E M E N T S - t.~n.~,~ot~,..( ln c l u d e ~ t h ~ e t o ~ p o u s ~ a n d d e ~ n d e n t c h i ld r e n : s e e p p . 2 J - 2 7 o f fi l i n g

N O ~ ~ o reportable reimbursemen¢~.)

SO~Cg ~ ~ P~OSE I~MS PAID OR PRO~ED

I.

2.

3.

4.

5.



Name of Pcraoz Report ing D a t e o f R epor tFINANCIAL DISCLOSURE REPOR T

I ~°~’ J~’’ ~ o b ~ ~ .

Page 3 o f 17 o s / ~ i ~ o ~ o

V . G I F T S . a ~ a u ~ , , ~ o s , ~ o ~ , o ~ , , , ~ a ~ , ~ , ,~ ~ # ~ , ~ ~ , r ~ 2 8 - 3 1 of fling ~struc~n~)

NO~ ~oreportable g~s0

S O ~ C E " DESC~ON

I.

2.

3.

4.

5.

D N O N E ( ’N o reportable liabilities.)

C R E D I T O R . D E S C R I P T I O N V ALUE CODE

I. C h a s e B a n k c r e d i t c a r d J

2. Target c r e d i t c a r d J

3.

4.

5.



FINANCIAL DISCLOSURE REPORT

[ Dow, ~J r . , Robe r t M.a g e 4 o f 1 7 0 5 / 1 1 / 2 0 1 0

VII. INVESTMENTS and TRUSTS -

NO~ ~o reportable income, ~sets, or ~actio~0

A. B. C. D.

De~p~ of Asse~ I~me d~ng(inclu~g ~t ~) t~g ~ of ~o~ng ~d

0)P~ "~" ~ ~h ~ Ararat T~ (e.g., V~u¢ Value T ~ ( e . g . . D a t e Value Gain l d e m i ~ 0 f~~ ~m prior ~los~e ~ 1

(Q-~ ] ~a~tion)

i. No~em T~ B~k acco~ A h t w e s t J T

2. Nonhero T~t B~k I~ (CD) A In~st J T

3. Pruden t i a l Ind iv idua l Re t i rement Ann ui ty

4. - G R GR O F i x e d B o n d A c c o u n t S o l d 1 1 8 1 0 9 J( p a n )

5. S o l d 1/09/09 K( p a n )

6. S o l d 1/12/09 J( p a r t )

7 . S o l d 1/14/09 J( p a n )

8. B u y 1/16 /09 J( a d d ’ l )

9. B u y 1/20/09 J

( a d d ’ l )

1 0 . B u y I f21/09 J(add’l )

1 1 . B u y 1/22/09 J( ~ d ’ l )

1 2 . B uy 1/23/09 J( a d d ’ l )

1 3 . S o l d 1 1 2 7 / 0 9 K( p a r t )

1 4 . B u y 1 / 2 8 1 0 9 J( a d d ’ l )

1 5 . B u y 1 / 2 9 1 0 9 K( a d d ’ i )

1 6 . B uy 1/30/09 J(ad~)

1 7 . B uy 2 /2 / 09 J

( a d d ’ l )

{ ’S :~ : Co lu r am B I and D 4) F -$~,0.001 - $100,000 O = $ |0 0 ,0 0 1 ¯ $ 1 ,0 0 0 .0 0 02 . Va lu e C o d e ~ J =$15 .0 ~ 0 o r le ~ ; K =$15 ,001 - $50 .000 L -$50.001 - $100,000 M -$100.001 - $250.000

(5c¢ Columm CI ~d 03) N =$250.001. $51X I .000 O ~ $5 00 .0 01 . $1 ,0 00 .0 00 P l - $l. 00 0, 0O l - ~J ;. 00 0. 00 0 P 2 = $ $ ,0 0 0 .0 0 1 . $ 25,0 0 0 .0 0 ~P3. 415, 000. 001 - $50. 000. 000 P4 ~Mom tha~

3 , V a h ~ ¢ M e l l m d C o d ~ l Q -A~is*l R "Co~ (Rea l E s t~ ¢ e O n ly ) S = Asse s a me a t T , - C a s h M a r k e t(.5~ Co lu r rm C2) U = B o o k V a h ~ V-Oda~ W



INamef P e r son Repo r t i ng ..FINANCIALDISCLOSURE ~PORT

[ Dow, Jr., Robe. M .

P a g e 5 o f 1 7 o~ /~0~o

NONE ~o reportable income, ~sets, or ~ansactio~.)

A. B. C. D.

D~pfion of A~ In,me d~g Gr o~ va l~ a t e nd T~n~ct~ ~ng ~ing

O) (~ ) 0) (~) 0) (2) (3) (4) (~ )

P~e "~" a~ ~ ~et . A m o u r T~e ( e .~ , Value Val~ T ~ { e . g . , D a t e Value G a i n [ d~ f i7 o f~pt ~m prior ~sure ~I ~v., ~ C~ 2 M¢~ b u y , ~ 1 1 , m~d~ C ~ e 2 ~ 1 buy~l~l~

(A - ~ ~ inL) 0-P) ~e 3 ~i~) ( J - P ) (A-~ (ifp6~(Q-~ ~tlon)

1 8 . S o l d ~ 1 0 / 0 9 J

~)

1 9 . S o l d ~ 1 1 / 0 9 J

2 O . B uy ~ 1 3 ~ 9 J

21 . ~]d ~ 1 7 / 0 9 K

22 . B uy ~ 18 /0 9 K

23 . S o l d ~/14/09 K~)

24 . S o l d 4 1 1 5 / 0 9

~. B u y 4 [ 1 7 / 0 9

26 . S o l d 4~0]09 K~)

27 . S o l d ~7/09

~)28 . B uy 4~/09

( a d~ l )

29 . S o l d 4/30/09

30 . S o l d 511/09 K

~)31 . S o l d 5/6/09 K

~)32 . S o l d 5 1~ 0 9

~)33 .

S o l d 511~09 K~)34 , S o l d 613/09 K

(~)



FINANCIAL DISCLOSURE REPO RT .Na. ufPer~.oa Reporting

P a g e 6 o f I 7 D o w , J r . , Robert M. 05/I 1/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~.~ v~ t.. , ~a~,ocao.~ a. ~. , ~o,e o/~,o~e a.s aop,~a,., ,hita~,. ; ~. ,~. ~# o of fitlng i n s t r u c t t o n z )

[---] NONE (No r e po r t able i n c o m e , asse t s , o r t r an sac t i o n s . )

A, B. C. D.

De sc r ip t io n o f A s s e ts In ~ o r r~ d u r in g G ro s s v a lue a t e n d T m n ~ c t io n s d u r in g r e p o r ti n g p e r i o d

( i n c lo d in g t in !! ~ .s .~ s ) re p o r t in g p e r io d o f re p o r t in g p e r io d

(1) (2) (I) (2) 0) I (2)

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 COde 1 d lv . . r rn t~ C o d e 2 M e t h o d b~ y , s e l l , m m / d d / y y Code 2 Cod~ 1[ b u ye r / ~ l l ~ r

( A - H) o r i r a . ) ( J - P ) C o d e 3 ~ d e m p l i o n ) ( J-P ) (A- H ) ( i f p r iva l~

35. Buy 6/5/09 K

( a d d ’ r )

3 6 . S o l d 6 / 1 2 / 0 9 K( p a r t )

3 7 , S o l d 6 / 2 5 / 0 9 K

3 8 , S o l d 7 / 8 / 0 9 K

3 9 . S o l d 7 / 2 0 10 9 K

40. S o l d 7 / 3 0 / 0 9 K

41 . Sold 9/I0/09 L

( p = )

42 . Sold 9/28/09

43 , -- AST Money Market (X) Buy I/~/09 J

44. B u y 1 / 9 / 0 9 K

( a d d ’ l )

45.(add’l) Buy 1/12/09

46, Buy 1 / 1 4 / 0 9 J

( a d d ’ l )

47, Sold 1116 / 0 9 J

( p a r t )

48. Sold 1 / 2 0 / 0 9 J

49. S o l d 1/21/09( p a r t )

5 0 . Sold 1 / 2 2 / 0 9 J

5 1 . S o l d 1/ ’23/09 J

( p ~ )



FINANCIAL DISCLOSURE REPO RT Nam e o f Pe r s on Repo r t ing D a t e o rR epmrt

Page 7 of 17 bow , Jr . , Robert M . 05/11/2010

52. Buy 1/27/09 K(add’0

5 3 . S o l d 1 / 2 ~ ’ 0 9 J( p ~ )

5 4. S o l d 1 / 2 9 / 0 9 K

5 5 . S o l d 1 / 3 0 / 0 9 J

5 6 . Sold 2 / 2 / 0 9 J

57. Bu y 2/10/09 J(add’l)

5 8 . Buy 2 / 1 1 / 0 9 J

( ~ d ’ ~ )

5 9 . S o l d 2 / I 3 / 0 9

(part)

6 0 . Buy 2/I 7109 K

(add’|)

6 1 . Sold 2 / 1 8 / 0 9

6 2 . Buy 4 /14 /09 K

(adda)

!63- Buy 4115109 J

(add’l)

64 . Sold 4/17/09 J

(pa~)

~ 6 5 . Bu y 4 / 2 0 / 0 9 K

(add’l)

166. Buy 4/27109 J

( a d d ~ )

67 .S o l d 4 / 2 8 / 0 9 J

6 8 .Buy 4130109 J



FINANCIAL DISCLOSURE REPORT: N a m e o f P © r s o a R e p o r t la g

[

DateofRtpor~

P a g e 8 o f 1 7 Dew, J r . , Robe r t M.

[

05111/2010

VII. INVESTMENTS and TRUSTS - i n co~ ~ e , ~a~cn on , a~d ud , , ~o ~e

N O ~ ~ o repo~able income, ~sets, or ~ac~ons.)

A. B. C. D.

0) (2 ) 0) (2)Value Grin I d ~ t i ~ o fPlac~ "(~" a~r ~h ~t ~t T~ (~.~, V a l u ~ V ~ . e T~ (e ,g ., Da~

e x e m p t ~ o m p r i o r d is d ~ C ~e I ~v.. ~ ~e 2 Me~ ~ y . ~ 8 . m~d~ C~e 2 ~e I b .ye r / s d l ~r( A - H ) ~ ink ) ( J - P ) C ~ e 3 r~m~.)

6 9 . B u y 5/1/09 K

( ~ d ’ ~ )

7 0 . B u y 5 1 6 1 0 9 K

(~d’~

7 I. B u y 5 1 8 1 0 9 K

( a d d ~ )

7 2 . Buy 5/12/09 K( a d d q )

7 3 . B u y 6/3/09 K( a d d ’ l )

7 4 . S o l d 6/5/09 K( p a ~ )

7 5 . B u y 6/ I 2/09 K

( a d d ’ ~ )

7 6 . B u y 6 / 25 / 09 K(addS)

7 7 . S o l d 7/8 /09 M

78 . - AS T Ac a d e m i c S t r a t e g i e s As s e t M T B u y 7/8 /09 LAl l oc a t i on (X)

7 9 . B u y 7 / 1 3 1 0 9 J

Cadda)

8 0 . B uy 7/20/09 J( a d d ’ l )

81 . B u y 7 / 3 0 1 0 9 J( a d d ’ l )

8 2 . B uy 9/ I 0/09 J( a d d ’ l )

8 3 . B uy 9/28/09 J( a d d ’ | )

8 4 . B u y 9/28/09 L(add’~)

8 5 . - A S T F i r s t T r u s t C a p A p p r T a r g e t O T B u y 7/8 /09 MPo r t f o l i o ( X)



F I N A N C I A L D I SC L O S U R E R E P O R T N .m , o t P , , , o u R ~ o m .~ V . t , o f a ,p 0 ,~I

Page 9 o f 1 7 ~o~, Jr. R o b e r t M . 0 5 / 1 1 / 2 0 1 0

NONE ~o reportable Mcome, ~sets, or ~ansactions.)

~ ] B. C. D.

D~ptlon ofAs~

[

~me dung Gross v~ue ~ ~d T~fi~s ~g ~poning

O) ( 2 ) (t) (2 ) O) (2) ] (3)P~ "~" a~r ~h ~¢t Amount r~ (g., Value [Vdu¢ T~ (e.g., Dst~ ~ Value ] Grin~

I~ of

cxr~ ~m pdor di~los~ C~] ~v., r~L C~¢ 2 [ Me~ buy, ~]I, ~ [ ~e 2

(A-~ orinL) ( J - P ) C~e3 ~mption) ~ (J-P)~ (A-~ (ifpdva~

86 . B uy 7/13/09 K

8 7 . B uy 7/20t09 K

88. B uy 7~0~9 K

8 9 . B uy 9/10 /09 K

~ ’~ S o l d 9~9 J(P~)

91 . B u y 9/28 /09 M

92. ~la~s Bankaccoun~ A I n t e r e s t J T

93 . G C G M u t u a l Fu n d

94 . - Am e r i c a n F u nd s Eu r o P a c i f i c Gr ow t h A Di v i d e nd J T

95 . - - A m e r ic a n F u n d s F u n d a m e n t a l I n v e s to r s A Dividcad J T

96 . - - A m , zr i ca a F u n d s S m a l l C a p W o r l d F u n d A Dividend J T

97. - - Amer ican Funds Bond Fund o f Amer ica A Dividend J T

98 . - - Amer ican Funds Growth Fund o f Amer ica A Di v i d e nd J T

99. G ~ G .5 2 9 F u nd # l

1 0 0 . - EuroPacific Gro wth Fund 529A A Dividend J T

1 0 1 . - Araerican Funds New E~o nomy Fund A Dividend J T

1 0 2 , GCG .529 Fund #2



N am e o f P e r son Repo r t i ng]

D a t e o f R e p o r t

P a ~ ¢ F I N A N C I A L 1 0 of 17 DISCLOSURE REPORT Dew, Jr . , Rober t M . 05 /11 / 2010

V II . I N VE S T M E N T S a n d T R U S T S - i~ ....

[---] NONE (’No repor table inc om e , a .~se ts , o r t ransac t ions . )

A. B. [ C. D.

D c s e r i p t lo n o f A s s e ts [ n ~ o n ~ d u r i n g

I

G r o s s v a l u e a t e n d T r a n s a c l 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

(in clud ing trust a sse~) rep o rtin g p ~ o d o f rtp o rting p ~ iod

O)P l a t © " ( X ) " a f t e r e a c h a s . ~ t A m o u n t T y p ~ ( ~ . g . , Va],~ Va lue T y p e ( ~ .g . , D a t e Value Gain I d~ t i t y o f

~x~mp[f ~mp f io r d i s c lo~ r ~ : C od~ l d iv . ,~n t , C O d ~ 2 M et h o d buy, sel l , m m / d ~ y y C o d e 2 COd~I buyer/ sel ler( A - H ) o r i n t . ) ( J - P ) C o d e 3 r ~ d e m p ti 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 )

1 0 3 . - Am e r i c a n F u nd s C a p i t a l W o r l d G / I 5 2 9 A A Div i dend J T

1 0 4 . - - Amer i c an Funds Growth Fund o f Amer i c~ A Di v i d e nd J T5 2 9 A

I 0 5 . G C G 5 2 9 F u n d # 3

106 . - - N~v P ea ’ sp~c t i v e Fund 529A A Div i dend J T

1 0 7 . - A m e r i c a n F u n d a F u n d a m e n t a l I n v e s to r s A Di v i d e nd .I T5 2 9 A

1 0 8 . G C G Fu n d # 4

1 0 9 . - A m e r i c a n F u n d s S m a l l C a p W o r l d F u n d A Div id=ad J T5 2 9 A

1 1 0 . - - A m e r i c a n F u n d s C a p i t a l I n c o m e B u i ld e r A Di v i d e nd J T5 2 9 A

1 1 I . P od e s t a H S A Ac c ou n t

1 1 2 . - - I Sha r e s Dow Jo ne s Se l ec t D iv i dend I nd , ’ x A Div i dend J TF u n d

113. - I S h a r e s T R S &P 5 0 0 I n d e x F u nd A Div i dend J T

1 1 4 . F i rs t C o m m u n i t y B a n k C o m m o n S t o c k N o n e K T

1 1 5 . S a u k V al le y C o m m u n i t y B a n k C o m m o n A Div i dend J TS t o c k

1 1 6 . M S J I, I n c . C o m m o n S ~ o c k N o n e J T

1 1 7 . Minnesota Life: Vadablc Adjustable Life A Interest J T

Insm"ance "]

118. T r ave l e r s : Var i ab l e Li f e Po l i cy A In te res t J T

119 , Nor l .hwes t em M utua l L i f e Po l i c y ] A Div i dend J T

2 . V a l a e Co d ~ J -$15,000 o r l e f t K-$15.001 - $50,00D L ~0 .001 - $ I 00 . /~0 M -$100.001 - $250.000

P 3 - $ 2 5 , 0 0 0 , 0 0 ! - $ 5 0 . 0 0 0 . 0 0 0 P 4 - -M o r ~ ~ $5 0 , 0 0 0 , 0 ~ 03 . VII~ : M l~ho d Co d ~ s Q -Ap p ra isa l R ~ (R~l E~ Only) S

(S¢Col~.rr~ C2) U -Boo k Va lue V =Otb~ W



FINANCIAL DISCLOSURE REPORT I N .... fPerson Reporting Date of Report

IP a g e 1 1 o f 17 ] Dow, Jr., Robert M. 05/11/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i, ~ o ~ ,~ , r o t, ,. ,, ~ ,, o ~ o ,~ a ~ a , a ,~ t ~ o s e o f , ~ , o ~ , , a a , ,~ n a e ~ children; $ p p . 3 4 - 6 0 of filing lnsrructio~)

NONE (No repor table income, assets , or t ransact ions.)

A. B. ] C. D.

De.seription of Asse.ts Income dur ing Gros~ value at end T~ctions during reporting period

(including trust as~ts) reporting l~fiod of reporting period

0) (2) 0) ~ (2) 0)" (2) t3) (4) (~ )Place "(X)" after each asset Amount Type (e.g., Value i Value Type (e.g., D a t e Value G a i r t Identity of

e x e m p t f r o w n p r i o r d l s e l o n ’ u r ¢ Code ! div., rent, Code 2 Method buy, sell, m m / d d / y y Code 2 Code 1 buycdseller

(A-H) or int.) ( J - P ) Code 3 redemption) ( J -P ) ( A - H ) (if private

,(Q-W) transaction)

120. MetLi f e : Un iv=r s a l L i f= Po l i c y A In te res t J T

1 2 1 . Hos l dn s G roup L P i ~ i n v e s tp’ship

1 2 2 . - - F i n a n c i a l S q u a r e T r u s t P r im e O b l i g a ti o n A I n t e r e s t C l o s e d 3/31/09 JFD Admln CL Fund

123. - Buffalo Jayh awk China Fund A Dividend J T

~24. B uy 3/13/09 J( a d d ’ l )

1 2 5 . B uy 12/22/09 J( a d d ’ r ~

126. - Alcoa Incorporate d A Dividend So ld 3/5/09 J

127 . - - Al l s t a t e Corp . A Div i dend S o l d 3 / 5 1 0 9 J

1 2 8 . - - Am ge n , I n c . ( Y)

129. -- Applied M aterials, Inc. A D i v i d e n d S o l d 3/5/09 J

130. - Arch er Danie ls Midland (Y)

131 . - BP PLC ADR A Dividend S o l d 3 / 5 1 0 9 J

132. -- Chevro n Corp. A Dividend S o l d 3 1 5 / 0 9 J

133. - - C inc i nna t i F i nanc i a l Group A Div i dend S o l d 3/5/09 J

134. - Citigroup Inc. (Y)

135. -- Friedman Billings Karascy A (30

136. -- Ge neral ~lectrie Co~ A Dividend S o l d 3 1 5 / 0 9 J



]Nsmef P © r s o n R e p ~ r t l n g

]

D a t e o f R e p o r tFINANCIAL DISCLOSURE REPOR T

I

P a g e 1 2 o f 1 7 Dow , J r . , R ob e r t M . 05/11/2010

V I I . I N V E S T M E N T S a n d T R U S T S - ~ , ., ,~ t~e , t .o .~cno ,~ a~d.~ ,~o,~ o f s p o ~ . ~ , ~ p . . d ~ . ~ ~ o . ~ , . ~ . ~ - ~ o o f ~ a ~ . ~ ~,~.~o~

NO~ ~o r~ortable income, ~sets, or ~ansactio~.)

~ B. C. D.

De,priori of~ ~me ~fing G r ~ v ~ u e a t ~ d T~ions d~ r~ng ~ri~

(~g ~ ~se~) r~g ~ of~g ~fiod

P~ "~)" ~ ~b ~ ~t T ~ ( e . g . , Val~ Valu~ T ~ ( ~ . g . , D~ [ V~ue G~ n I~ty of

cx~pt ~m pfor ~l~ C~ I ~v., r~ ~e 2 Me~ ~y, ~ ~ ~e 2 C~ I b u y~ s e ~ e r(A - ~ o r i n t . ) ( I - P ) C~ 3 ~ption) [ (J-P) (A-~ ( i f p i l a te

(Q-~ ~ctlon)

137. - GI~o Smi~line Spo~o~d PLC ~R A Divided S o l d 3/5/09 J

138 . - Gran t h ide , co , Inc . (Y)

139 . - - I n t e l Co rp . A Di v i d e nd S o l d 3/5/09 J

1 4 0 . - K i n d e r M o r g a n E n e r g y p a r t n e r ~ L td . A Di~’tribution S o l d 3 / 5 1 0 9 JP ’ sh i p I n t e r e s t

141 . - L i l l y E l i & Co . A Di v i d e nd S o l d 3 /5 / 09 J

142. - Mento r CorpJMirm . (M)

1 4 3 . -- M od i n e M f g . C o . N o n e S o l d 3/5/09 J

1 44. -- N e w m o n t M in in g C o rp . No n e S o l d 3/5/09 J

145 . - - P i t n ey B owes , Inc . A Div i dend S o l d 3/5/09 J

146 . - S ch lum be r g e r , L td . A Divid e n d So ld 3 1 5 / 0 9 J

1 4 7 . - U n i t e d T e c h no l o g i e s C o r p . A Div i dend S o l d 3/5/09 J

148. - - Veeeo Ins t~ . , I nc . , Dc l . (Y)

149. - Johnson & Jo hnson A Dividend S o l d 3/5/09 J

1 5 0 . - A b b o r ~ L a b s A Div i dend S o l d 3/5/09 J

1 5 1 . - B o e i n g , I n c . A Div i dend S o l d 2 1 2 7 / 0 9 J

1 5 2 . - C onoe oph i l l i p s A Di v i d e nd S o l d 3/5/09 J

1 53 . - Co s t c o W h s l Co rp A Div idend Sold 3/5/09 J

( S e e ( 2 o t t m u ~ B 1 t a d D ~ ) F -$50 , 001 - $100 , 000 G :$100 0CI . $ ! , 0 00 , 000 H I = $ 1 . 000 ,001 - $ 5 ,000 . 000 H 2 ~ M o r e t h a n $ 5 . 0 0 0 . 0 0 0

2 . V a l ~ e C o d ~ J -$15 ,0 0 0 o r Ic .~ K ~ $15 ,0 0 1 - $5 0 ,0 0 0 L - $ 5 0 , 0 0 1 - $ 1 0 0 , ( ~ 0 M -$100 ,00! - $250 ,1 ) 00

3. Value Method C~ Q ~Al~utl R ~ (R~al Ev.st e Ot~ly) S ~ A ~ s e s s m e ~ t T :=~ ’~ h M a rk e t

( S e ~ C o l u m n ( : 2 ) U -~ok Value V ~ W - F . ~ i m a t e d



F I N A N C I A L D I SC L O S U R E R E P O R T

P ag~ 1 3 o f 17 Dow, Jr . , Robert M .

I

0 5 1 1 1 / 2 0 1 0

V II . I N V ES T M E N T S an d TRUSTS - i~.~

N O N E ~ o reportable income, ~sets, or ~a~actiom.)

A. a. C. ~ D.

D~pt~on of~ l~om~ d~ng

O)

P~e "~" a~ each ~t A~unt T~ (e.g,, Va]~ V ~ u e T~ (e.g., D~ Value Gain , Idenf i~ of

~empt ~om prior di~l~ C~e I ~v, ~ C~e 2 M~d b u y , ~ I I , ~d~ C~e 2 C~e I [ buy e r / s e l l e r

(A-~ o r i n t . ) ( J-P ) C~e3 r e d ~ m p 6 o n ) ( J -P ) (A-~ i (if~vate

154. - ~ont ~ I) ~ N~om & Co. A Di~de~ S o l d 31~/09 J

155. -- For~t L~s Ira. Noat S o l d 315109 J

1 5 6 . - - K ~ n n a m e t a l I n c . A Div i dend S o l d 3/5/09 J

157 . - - Lim i t ed Inc . A Div i dend S o l d 3 1 5 / 0 9 J

1 5 8 . - M a r a t h o n O i l C o r p A Div i dend S o l d 3 1 5 / 0 9 3

1 5 9 . - M a r s h & M c Le . nn a n I n c . ( Y)

160 . - Mi~oso l~ Corp. A Dividend S o l d 3/5/09 J

161. - - Pa t t e r so n-Ut i Energ y In , ’ . N o n e So l d 3 1 5 1 0 9 ./

162 . - P f i z e r , I n c . A Div idend Sold 3 /5 /09 J

163. - - Roya l Dutch She l l PLC-ADR A A Div idend S o l d 3 /5 /09 J

1~4.. - Swit~ En e rg y Co . No n e Sold 3/5/09 J

1 65 . -T r i n i t y I n d u s t r i e s I n c . O r)

166. - Uni t C o rp . None S o l d 3 / 5 1 0 9 J

1 67 . - - US Ba n co rp A Divid e n d So ld 3 /5 /09 J

1 6 8 . - W ~ath c r fo rd l n t ’l L t d . N o n e S o l d 3 /5 /09 3

16 9 . - - Who le Food s Mkt I nc .N o n e Sold 3 1 5 / 0 9 J

1 70 . - W i lm in g t o n T ru s t Co rp . A Div idend S o l d 3 1 5 1 0 9 J



FINANCIAL DISCLOSURE REPORT ] Name e f Pc r lo a Repo i t ln g [ Di t e e f R t po r i

P a g e 1 4 o f 1 7

] Dew, Jr., Robert M. [

05/1 ]/2010

VII . INVESTMENTS and T RUSTS - tn~, v,t~ ~ns~o~ an~ ~o~e o/s~o~e ~ ~e~e~ ~tt~,e~; see n~ ~0 o~ ~o~

NONE (No repor table income, assets , or t ransact ions.)

A. 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 r o s s v a l u e a 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

( inc luding ~ ls t ass~ ls) m p o r i in g p e r i o d o f i - ~ p o r i i n g p e r i o d

(ll (2) 0) (2) (I ) (2) (3) (4) (5 )

P l a c e " t ’ X ) " l i fl e r e a c h a s s e t A m o u n t T y p e ( e . g .. Value Value T y p e ( e . g . . D a t e Value Gain 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 re C o d e 1 d i v . , r e n t , C O d e 2 M ei h o d b u y , s c I I , m m / d d / y y C o d e 2 ~ I buyer/ sel ler( A - H ) o ~ i n t . ) ( J - P ) C o d e 3 r e d e m pt i o n ) ( J - P ) ( A - H ) ( i f p r i v a t ~

( Q - W ) t r a n s a c t i o n )

171 . - Wr ig l ey Wm Jr . Co. (Y’ )

172 . - Bu f f a l o I n t e r na t i on a l Fund # 1449 A Di v i d e nd K T

1 7 3 . B u y 3/13/09 J

(aad’l )1 7 4 . B u y 12/22/09 J

175 . - - F r on t i e r O i l Corp . A Di v i d e nd S o l d 3 1 5 1 0 9 J

176 . - Ice Inc . None S o l d 3/5/09 J

1 7 7 . - Cocu r D’Al ene Mine~ Co rp . Conve r t i b l e A In te res t S o l d 3/5/09 JNot e

1 7 8 . - K r a f t F ood s I n c . A A Di v i d e nd S o l d 3/5/09 J

7 9 . - Gr e a t P l a i n s Ene r gy I n c . A Di v i d e nd S o l d 3/5/09 J

1 8 0 . -- L i o n s G a t e C o n ve r t i b l e N o t e A In te res t S o l d 3 1 5 / 0 9 J

1 8 1 . - Calpine Corp. N o n e S o l d 3 1 5 1 0 9 J

1 8 2 . - A p a c h e C o r p . A Di v i d e nd S o l d 3/5/09 J

1 8 3 . - C o c a C o l a N o n e S o l d 3 1 5 1 0 9

1 84 . - Q u e s t a ~ C o r p . A Di v i d e nd S o l d 3 1 5 1 0 9

’ 1 ~5 . - N e w f i e l d E x p l C o . N o n e S o l d 3 1 5 / 0 9

1 86 . B u f f a l o B a l a n c e d F u nd ( X ’ ) A Div i dend K T B u y 3/13/09

1 8 7 . B u y 6/18/09(aid’l)



FINANCIAL DISCLOSURE REPORT N a ~ e o f P e r ~ o a R e p n r t l n g ] D a t e o , R e . IPage 15 of 17 D o w , J r. , R o b e r t M . 0 5 1 1 1 / 2 0 1 0

VII. INVESTM ENTS a nd TRUSTS - t , , eo, ,~. ,~ae , , . . .. caon, (lnclud.ta those of spouse and dependent children; set pp. 34-60 of filing tnstructlon.t)

[---] NONE (No repor table income, assets , or t ransact ions.)

D~ption of Assets Income during Gross v alue at end: Trama~tiom during repotting period

(including trust asse ts) reporting IXriod of reporting period

(I) (2) (I) ( 2 ) (i) ( 2 )

Place "(X)" after each asset Amount Type (e.g., Value V a l u e Type (e.g., D a t e Value Gain Identity of

exempt from prior disclosure Code ! div., rent, Code 2 Method buy, sell m m / d d / y y Code 2 Code 1 buyer/seller

(A-H) or int.) (J-P) Code3 redemption) ( J - P ) (A-H) ,, (if private

( Q - W )[

transaction)

1 8 8 . B uy 9 /22 / 09 J( a ~ d ’ l )

1 89 . B u f f a l o S m a l l C a p F u nd ( X ) A Di v i d e nd K T B u y 3/13/09

1 9 0 . B u y 1 2 / 2 2 d 0 9 J

1 9 1 . B u ff a l o S c i e n c e & T ~ h no l o gy F u n d ( X ) A Di v i d e nd K T B u y 3/16/09 K

1 9 2 . B uy 12/22/09 J

( a d d ’ l )

1 9 3 . Buffalo Large Cap Fund (X) A Dividend K T B uy 3/16/09 K

9 4 . B u y 12/22/09 J( a d d ’ l )

9 5 . B u f f a l o U S A G r ow t h F u nd ( X ) A Di v i d e nd K T B uy 3 /16 / 09 K

1 9 6 . B uy 12/22/09

( a d d ’ l )

1 9 7 . Nor the r n I n s t Tax -Exemp t ( X) A In te res t J T B u y 3/16/09



FINANCIAL DISCLOSURE R EPORT r ~ , m , o r ~ ....~ p o a ~ o ~ D , t , o e a , p o ~ tI

Page 1 6 o f 1 7 ~ ) o w , J r . , R o b e , - t M . 0 5 / 1 1 / 2 0

V III . ADDITIONAL INFORM ATION OR EX PLANATIONS. a , ,t ~e ~ , , ~

I . E x p l a n a t o r ~ n o t e c o n c e r n i n g H o s k i n s G r o u p L P ( l i n e s 1 2 1 - I $ 5 ) : . .. .. {e a c h o w n e d 2 0 % o f t h e s h a r e s a n d w e r e l i m i t e d p a r t n e r s o f H o s k i n sG r o u p L P ; [ : ] w e r e t h e g e n e r a l p a r t n e r ~ . O n M a r c h 5 ~ 2 0 0 9 , t h e p ~ e r sh i p S 0 1 d a l l o f t h e in d i v i d u a l s t o c k s i n t h e i r p o r t f o l i o . T h e y t o o k a c a p i t a ll o s s o n e v e ~ 6 ~ ~ ~ k s ; h e nc e , t h e r e w e r e n o g a i n s t o r e p o r t i n c o l u m n D( 4 ) a s t ~ a ny i n d i v i du a l s to c k . Apa z t f r om t h e B u f f a l o J a yh a w k C h i n a F u nd ( l i n e123) a nd the B u f f a lo I n t e r n a t io n a l Fund 0 in e 172 ) , a l l o f the a s s e t s o f the Hos k in s Gr oup LP we r e s o ld in Ma r ch 2009 . The p r o ce e d s f r om the s to ck s a l e s we r e

p l ac ed i n t o t h e two ex i s t ing Bu f f a l o f unds an d f i v e add i t i ona l Bu f f a l o f unds ( l in e s 186-196) and t h e Nor t h e r n Tax-Exemp t a ec o tm t ( l in e 197 ) . Be tween March andJ u l y 2 0 0 9 , t h e f u nd s o f t h e p a r t n e r s h i p w e r e h e l d i n c om m on i n t h e B u f f a l o f u nd s . I n J u l y 2 0 0 9 , t h e p a r t n e r s h ip d i s s o l v e d a n d e a c h o f t h e r e c e i v e d t h e i rs h a r e . .. .. I s h a re i s n ow i n a s e p a r a t e a c c ou n t i n h e r n a m e a nd r e m a i n s a l l o c a t e d t o t h e s e v e n B u f f a l o f u nd s a nd t h e No r t h e r n T a x - Exe m p t a c c ou n t .

2 . Exp la n a to r y n o t e conce r n in g P r ud en t i a l a nnu i ty p r oduc t ( l i n e s 3 -91) : The P r ud en t i a l a ccoun t con ta in s f und s tha t p r ev ious ly ha d be en inve s te d in the Maye rBrown 401K an d pa r t ne r r e t i r eme n t ac coun t s . The p r oduc t h a s a gua r an t e ed r e t u r n op t i on , wh i ch I e l e c t ed . As a r e su l t , a s t h e m a rke t f l uct u a t ed a g r e a t d e a l ov e rthe cour s e o f 2008 a nd e a r ly 200 9 , a n a lg o r i thm p r og r am me d by P r ud en t i a l t r i g g e r e d a l a r g e num be r o f t r a n s a c t io n s tha t ha d the e f f e c t o f t r a n s f e r r i n g a l l o f mya s s e t s i n to a s in g l e bond a ccoun t ( GR. GR.O) . To s imp ly the p r o ce s s ( a n d m y r e po r t i n g o f i t ) , m y a dv i s o r n ow ha s t r a n s f e r r e d a l l o f the a s s e t s i n to two f und s ( l i n e s

78 and 85 ") tha t a re no t se lf -d ir ected .

3 . L i ne s 3 , 93 , 99 , 102 , 105 , 108 , 111 , and 121 a r e h eade r s f o r v a r i ou s f unds - - t h e i nd i v i dua l ho l d i ng s o f e ach f und , v a l u e s , and t r an s ac t i on s a r e r ep o r t ed i a t h el i n e s b e l o w e a c h h e a d e r .



N am e o f P e r son Repo r t i ng D a t e ef Repor tFINANCIAL DISCLOSURE REPORT I

Page 17 of 17 D e w , J r , R o b e r t M . 0 5 1 1 1 / 2 0 1 0

IX. C E R T I F I C A T I O N .

I c e r ti f y t h a t a ll i n f o r m a t i o n O V e n a b o v e ( i n c l u d in g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s e a n d m i n o r o r d e p e n d e n t c h i ld r e n , i f a n y ) i sa c c u r a t e , tr u e , a n d c om p l e t e t o t h e b e s t o f m y know l e dg e a n d b e l i e f , a n d t h a t a n y I n f o r m a t i o n n o 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 m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o su r e .

I f u r th e r c e r ti f y t h a t e a rn e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts 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 ~ r i t h t h e p r ov l s l o n s o f 5 U . S .C . a pp . § 5 0 1 e t . s e q . , 5 U . S .C . § 7 3 5 3 , a n d J u d i c ia l C on f e r e n c e r e gu l a t i o n s .

N O T E : A N Y IN D IV ID U A L W H O K N O W IN G L Y A N D W IL FU L L Y FA L S IFIE S O R FA IL S T O F IL E T H IS R E PO R T M A Y B E S U B J E C T T O C IV ILAND C R I M I NAL S A NC T I ONS ( 5 U . S .C . a pp . § 1 1 1 4 )

FILING INSTRUCTIONS

M 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 tt e e o n F i n a n c ia l D i s c lo s u r eA d m l n i s t m t i v e O f f ic e o f t h e U n 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 r cl e , N .E .W a s h i n g t o n , D . C . 2 0 5 4 4

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Robert M Dow Jr Financial Disclosure Report for 2009