Ronald L Gilman Financial Disclosure Report for 2009

8/3/2019 Ronald L Gilman Financial Disclosure Report for 2009

1/8

A O 1 0 FINANCIAL DISCLOSURE REPORT R ~ p o , .i R e q u i r e d b y t h e E t h ic sin Goven~mcnt Act of1978R e v . 1/2010 FOR CALENDAR YEAR 2009 0 u,s,c, app. 101-111)

I . Person Re port ing ( las t natnc, f i rs t , middle ini t ia l ) 2 . C o u r t o r O r g a n i z a t i o n 3. Date of ReportG i hn a n , R o n a l d L . U . S . C o u r t o f A p p e a l s , S i x t h C i r c u i t 03 /24 /2010

4 . T i t l e ( A r t i c l e 1 I I j u 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 ~ a t u s ; 5 a . R e p o r t T ) p e ( c h e c k a p p r o p r i a te t y p e ) 6 . R e p o r t i n g Pe r i o dm a g i s tr a t e j u d g e s i n d i c a t e f u l l- o r p a r t - ti m e ) [ ] No m i n a t i o n , D a t e 01/01/2009U . S . C i r c u i t J u d g e ( A c t i v e ) [] Initial [] Annual [] Final to12/3 1 /2009

5 h . [ ] A m e n d e d R e p o r t7 . C h a m b e r ~ o r O f f i ce A d d r e s s 8. On the basi~ of the informat ion contained i n t h i s R e p o r t a n d a n ym o d i f i c a t i o n s pertaining thereto, i t i s, i n m y o p i n i o n , i n c o m p l i a n c e

1 6 7 N . Ma i n S t r e e t , S u i te 1 1 7 6 w i th a p p l i c a b l e l a w s a n d r e g u la t i o n s .Me m p h i s , T N 3 8 1 0 3R e ~ i e w i n g O f f i c e r D a t e

I M P O R T A N T N O T E S : The instructions accompanying this form must be foltowe~ Complete all parts,checking the NON E box for each part where you hare no reportable information. Sign on last page.

I. P O S I T I O N S . t n ~ p o rt i. g l . a ~ a ~ , t o , l ~ i , , e t , r , 9 - ~ ~ of filing instructions.)I~ N O N E ( N o reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

I I . A G R E E M E N T S . (Reporting Individual onIki see pp. I4.16 of f i l ing instruct ions.)NONE (No reportable agreements.)

DATE PARTIES AND TERMSI.


2/8

Ia m e o f P e r s o n R e p o r U n g D a t e o f R e p o r tP a g e F I N A N C I A L 2 of 8 D I S C LO S UR E R EP O R T / G i l m a n , R o n a l d L . 0 3 / 2 4 / 2 0 1 0I l i . N O N - IN V E S T M E N T IN C O M E . ( R ~ p o , , i , g i,,divid,,at andsp .... ; see pt,. 17-24of firing instructions.)A. Filers Non-Investment IncomeNONE (No reportable non-investment income.)

DATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )t.2,

3.

4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - If yon were married during any porlion of the reporting year, complete this section,( D o l la r a m o u n t n o t r e q u i r e d e x c e p t f o r h o n o r a r i a .)

N O N E (No re p o r t a b l e n o n - i n v e s tme n t i n c o me . )DATE SOURCE AND TYPE

1 .2.

3.

4.

( l o t .l o d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e F P . 2 5 - 2 7 o f il l in g i n s t r u c t i o n s . )

~ N O N E (N o r epor t ab le r e i mbur sement s . )~ ~ L O C A T I O N pURPOSE ITEMS PAID OR PROVIDED

1. A m e r i c a n B a r A s s o c i a t io n Fe b . 14-15 B o s t o n , MA M i d y e a r M e e t i n g T ~ s p o ~ a t i o n , l o d g i n g , a n d

2. A m e r i c ~ B a r A s s o c i a t io n May 28-31 C h i c a g o , I L A p p e l l a t e P r a c t i c e I n s t i t u te T r a n s p o a a t io n , l o d g i n g , a n d m ~ I s3.

5.


3/8

FINANCIAL DISCLOS~ REPORT ~,=, of P .....Reporting Date of ReportPage 3 of 8 Gilman, Ronald L . 03124 / 2010

V . G I F T S . a , ,c t ,, d ~ a , o s ~ t o w o , ,s e ~ d depend~nt children; s e e p : . 2 8 - ~ 1 o : f i l i , , g ~nstr,tctlon~)~ N O N E (No reportable g~s.)

S OUR CE D E S C R I P T I O N VALUE1 .2.

3.

4.

5.

~ N O N E (No reportable liabilities0C R E D I T O R ~ESCRIPTION VA LUE CODE

1 .2.

3.

4.

5.


4/8

F IN A N C IA L D I S CL O S U R E R E P O R TPage 4 of 8 c l m a n , R o n a l d L . 0 3 / 2 4 / 2 0 ] 0

V I I. I N V E S T M E N T S a n d T R U S T S - J . ~ m . , , ,~ t , ,e , t . . .. . c l i o . , (Includes those a f s p . . . . . . .. d dependent children; s c . e p p , 3 4 - 6 0 of.f i ling insert, ellen .,.)[N O N E (No reportable income, assets, or transactions.)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 a 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

( i n c l u d i n g e r a s e 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 dP l a c e " ( X ) " a f t e r e a c h a s s e t A m o u nt T yp e ( e . g . , / i/Value I Va lue T y p e ( e . g . , D a t e Va lue 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 lo s u r e C o d e 1 d i v . , r e n t , / C o d e 2 I M e t h o d buy, sel l , m n v d & y y C e d e 2 C o d e I buyerlsel ler( A - H ) o r i n t . ) / ( J - P ) C o d e 3 r e d e m p t i o n ) ( . l , p ) ( A - H ) ( i fpr iwate/ t r a n s a c f i o n )( Q - W )1 . G u lf H o us in g Lt d. P a rtn e rs hi p C D i s t r i b u t i o n K W

2. F e d e r a l B l d g . F e d e r a l C r e d i t U n i o n A In te res t K T

3. S c h w a b C a s h R e s e r v es A D i v i d e n d M T

4. A Q R D i v e r s if i e d A r b i t r a g e A D i v i d e n d K T B u y 05/27/09 K

5. A r t i o l n t q E qu i t y D D i v i d e n d M T S o l d 07/27/09 K

6. A S G G l o b a l A h e m a t i v e s A D i v i d e n d K T B u y 1 1 / 2 5 1 0 9 1 K

7. B a r c l a y s B a n k Ip a t h D J U B S C o m m o d i t y N o n e L T B u y 0 7 / 1 3 1 0 9 KI n d e x8. D F A I n t e r n a t i o n a l C o r e Eq u i t y B u y 01/23/09 L

9. D F A I n t e r n a t i o n a l C o r e Eq u i t y C D i v i d e n d M T B u y 07/27/09 K

I0 . D F A U . S . Sm a l l C a p V a l u e A D i v i d e n d K T1 I, F i d e l i t y l n t l S m a l l C a p C D i v i d e n d M T1 2 , F i d e l i t y L a t i n A m e r i c a A D i v i d e n d K T1 3 . F i d e l i ty T a x - F r e e B o n d A D i v i d e n d K T B u y 11/06/09 K

1 4 . F i d e l i t y U . S . G o v t R e s e r v e s A D i v i d e n d S o l d 11/06/09 J A

1 5 . G o l d m a n S a c h s S a t e l l i t e S t r a l e g i e s B D i v i d e n d L T

1 6 . i S ha r e s M S C I A C W I U S I n d e x N o n e S o l d 01/23/09 L C1 7. i S h n r e s M S C I E m e r g i n g M a r k e t s I n d e x A D i v i d e n d K T

2 . V a l u e C o d e s J = $ 1 S ,0 0 0 o r l e ~ K = $ 1 5 ,D0 1 - $ 5 0 ,0 0 0 L =f~50,OO 1 - $100,000 M - $ 100, 001 - $ 2 50, 000P 3 = $ 2 5 , 0 1 1, 0 0 1 - $ 5 0 , 0 0 0 , 0 ~ 0 P 4 - - 4 v l ~ t i t a n $ 5 0 , 0 0 0 ,0 0 0

3 . V a l u ~ M e t h o d C o d e s Q - A p p r a i s a l R . = C o s t ( R e a l E s t a t e O n l y l S = A s s e s s m e n t T ~ - - ~ s h M a r k e t


5/8

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 o r tF I N A N C I A L p a g e 5 o f 8 D I S C L O S U R E R E P O R T Gilman, a o n a ld L . 0 3 / 2 4 / 2 0 1 0

V I I . I NV E S T M E N T S a n d T R U S T S - i ........ t , , e , t ...... tions (Includes those o/sp ....... d dependent children; seepp. 34-60 of filing i ...... tions.)--] NONE (No reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t io n o f A s s e ts I n c o m e d u r i n g Gross value at cad 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 rt 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 ) (2 ) (I)-- (2 ) (1 ) (2) (3) (4) [ (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g . , V a lu e V alue T y p e ( e . g . , D a t e Value GainI 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 lo s u r e C o d e 1 I d i . .. . .. t, Code 2 M e t h o d buy, sel l , Im m / d d ! y y I C o d e 2 I C o d e 1 buyer/sel ler

l ~ t r a n s a c t i o n )1 8 . i S ha r e s R u s s e l l M i d c a p V a l u e I n d e x N o n e S o l d 02/19/09 L A

1 9 . i S h a r e s S & P M i d c a p 4 0 0 V a l u e B u y 02/19/09 L

2 0 . i S h a r e s S & P M i d c a p 4 0 0 V a l u e B D i v i d e n d L T S o l d 11/25/09 K D(par t )2 1 . i S h a r e s T r . R u s s e l l 3 0 0 0 I n d e x B u y 03 /03 /09 N

2 2 . i S h a r e s T r . R u s s e l l 3 0 0 0 I n d e x D D i v i d e n d O T S o l d 11/25/09 M E(par t )2 3 . J P M o r g a n C h a s e N o t e s d u e 4 / 1 4 /0 9 N o n e R e d e e m e d 04/14/09 K

2 4 . J P M o r g a n C h a s e N o t e s d u e 1 / 4 /1 0 N o n e L T

2 5 . J P M o r g a n T a x A w a r e R e a l R e t u r n B u y 07/06/09 J

2 6 . J P M o r g a n T a x A w a r e R e a l R e t u r n C D i v i d e n d M T B u y 09/30/09 J

2 7 . O l d M u t u a l A n a l y t ic D e f e n s i v e E q u it y N o n e S o l d 06/19 /09 K

2 8 . S c h r o e d e r S ho r t T e r m M u n i E D ivid e n d R e d e e m e d 12/17/09 M

2 9 . T R o w e P r i c e S u m m i t M u n i I n t . T e rm B o n d C D i v i d e n d M T B u y 07 /06 /09 K

3 0 . T h o m b u r g L t d . T e rm M u n i B u y 07 /06 /09 K

3 1 . T h o r n b u r g L td . T e r m M u n i C D i v i d e n d M T B u y 11/25/09 J

3 2 . V a n g u a r d S h o r t T e r m T a x E x e m p t A D i v i d e n d L T B u y 07/07/09 L

3 3 . V a n g u a r d T o t a l S to c k M a r k e t N o n e S o l d 03/03/09 N3 4 .

I . I n c o m e G a i n C o d e s : A = $1 ,0 0 0 o r le s s B = $ 1 ,0 0 1 - $2 .S 0 0 C = $ 2 ,50 1 - $5,0 0 0 D ~ $ S , 0 0 1 - $ I 5 , 0 0 0 E = $ I S,00 I. - $ 50,000( S e e C o lu m n s B I a n d D 4 ) F =$50 ,0 0 1 - $1 0 0 ,0 0 0 G =$ 1 0 0 ,0 0 1 - $1 ,0 0 0 ,0 0 0 HI = $ 1 ,0 0 0 ,0 0 1 - $ 5 ,~ 0 0 ,0 0 0 H 2 = M o ~ t h a n $ 5 , 0 0 0 ,0 0 0

2 . V a t u e C o d e s J = $ 1 5 ,0 0 0 o r l e s s K = $ 15#01 - S S 0. 000 L = $ 5 0 .0 0 1 - $ 1 0 0 .0 0 0 M = $ 1 0 0 ,0 0 1 - $ 25 0 ,0 0 0( S e e C o lu m n s C I a n d D 3 ) N = $ 2 5 0 . 0 0 1 - $ S 0 0 , 0 0 0 O = $ 5 0 0 .0 0 1 - $ 1 ,0 0 0 .0 0 O Pl = $ 1 ,0 0 0 .0 0 1 - $ 5 .0 0 0 ,0 0 0 P 2 = $ 5, 000. 001 . $ 25 , 000 , 000P3 = $ 25 ,0 0 0 ,0 0 1 - $ 5 0 ,0 0 0 ,0 0 0 P4 = M o r e t h a n $ 5 0 ,0 0 0 ,0 0 0

3 . V a l u e M e t h o d C o d e s Q = A p p r a i s a l R - - C o s t ( R e a l E s t a le O n l y ) S = A s s e s s m e n t T - - C a sh M a r k e t( S e e C o lu m n C 2 ) U ~ B o o k V a l t~ V = ~ 3 t ~ e r W = E s t i ma t e d


6/8

FINANCIAL DISCLOSURE REPORT Nam e of Person Reporting DateofReportPage 6 of 8 Gilman, R 0 n a l d L . 0 3 / 2 4 / 2 0 1 0

V I I . I NV E S T M E NT S a n d T R U S T S - i .... o , r o t , , . , ,. a . s~ J , , . , a , , c ~ . a . s a , o s , o f . , p . . . . .. . . . a . p e o a e . , ,h ~ a ~ , , , ,~ . e e p p . ~ * - ~ 0[~ N O N E (No reportable income, assets, or transactions.)

A, B. C. I 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 in 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( in c lu d lr tg t ru s t a s s e ts ) r e p o r t in g p e r io d o f r e p o r t i n g p e r i o d

(I) 1 (2) (l) (23 (l) (2) (3) (4)P l a c e " ( X ) " a f t e r e a c h a s s e t Amount[ T y p e ( e . g . , V a l u e i V a l u e T y p e ( e . g . , D a t e V a l u e G a in I d e n t i ty o f

e x e m p t f ro m p r i o r d i s c l o s u r e C o d e I ~ di v. , r cr d , C o d e 2 M e t h o d bu y , se l l , m n v d d / y y C o d e 2 C o d e 1 b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) I C o d e 3 r e d e m p t i o n ) ( I - P ) ( A - H ) ( i f pr i vet :] ( Q - W ) f t r a n s a c t i o n )

3 5 . ~ #1 D D i v i d e n d N T36 . S c h w a b C a s h R e s e r v e s37 . Art io lnt l Equi ty S o l d 07/27/09 K

( p a r t )3 8 . Blac "l l l~ock Low Du rat ion Bond B u y 09/30/09 K

39 . D F A I n t l C o r e E q u i ty B u y 0 7 1 2 7 1 0 9 K40 . D F A U . S . S m a l l C a p V a l u e S o l d 09/30/09 K(par t )41 .

42 . I R A # 2 C D i v i d e n d L T

43 . S c h w a b C a s h R e s e r ve s44. iShare~ MSCI Emerging Market Index S o l d 11/ 25/ 09 J C( p a r t )4 5. J P M o r g a n H i g h Y i e ld B o n d S e l e c t46 . P im e o R e a l R e tu r n B u y I 1 t 2 5 / 0 9 J

I . I n c o m e G a i n C o d e s : A - $ 1 , 0 0 0 t a r l e s s B =$1.001 - $2.500 C =$2 .501 - 55,000 D =$5.00l - $15.000 E = 5 L 5 , 0 0 1 . $ 5 0 , 0 0 0( S e e C o l m a n ~ B I a n d D 4 ) F - $ 5 0 ,0 0 1 - $ 1 0 0 , 0 0 0 G = 5 t 0 0 , 0 ~ t - $ 1 , 0 0 0 , 0 0 0 I t I = $ 1 . 0 0 0 . 0 0 1 - 5 5 , 0 0 0 , 0 0 0 t t2 =More than $ 5 , 0 0 0 , 0 0 02. Value C o d ~ J -$15.000 o r le ~ s K -$15.001 - $50,000 L =550,t~1 - $100.000 M =$100,001 - 5250,000( See C olu mn~ : C I and D3) N = $2 5 0 , 0 0 1 - 5 5 0 0 , 0 0 0 O = 55 0 0 , 0 0 1 - $ 1 , 0 0 0 . 0 0 0 PI ~$1,000,001 - 55.000.000 1 2 = $ 5 , 0 0 0 , 0 0 1 - $ 2 5 , 0 0 0 . 0 0 0

P3 -525.000.001 - $50.~0~.000 P4 =M or e th an3 . V a l u e M e t h o d C o d e s Q = A p p r a i s al R - - ~ C o s t ( R e a l F 2 t a t c O d y ) S =As s es s ment T =C as h M ar ket( S e e C o l u m n 0 2 ) O =Bo ok V alue V =O the r W =Estim a te d


7/8

FINANCIAL DISCLOSURE REPORT N ~ t n , e o f P e r s o n R e p o r l in g D,t of Rep0rlPage 7 of 8 Gilman, R o n a l d L . 0 3 1 2 4 1 2 0 1 0

VIII. ADDITIONAL INFORI~IATION OR EXPLANATIONS.


8/8

F IN A N C IA L D I SC L O S U R E R E P O R T N .... f P . . .. . R c ~ , o r t i o g D ~ , e , , f R ~ , o r ,Page 8 of 8 G i h ,, a ,, , R o n a l d L . 0 3 / 2 4 / 2 0 1 0

IX. CERTIFICATION.I c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n 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 l d r e n , if a n y ) i s

a c c u r a t e , t r u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g 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 t a 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 n n - d i s c l o s u r e .I f u r t h e r c e r t i f y th a t e a r n e d i n c o m e f r o m o u t s i d 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 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 o m p l i a n c e w i t h t he p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s c q . , 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

N O T E : A N Y I N D I V I D U A L W t l O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F I L E F i l ls R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I M I N A L S A N C T I O N S ( 5 U . S .C , a p p . 1 0 4)

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 i o 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 i a l D i s c lo s u r eA d m i n i s t r a ti v e O f f i c e o f th 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 c le , N .E .W a s h i n g t o n , D . C . 2 0 5 44

Documents

Ronald L Gilman Financial Disclosure Report for 2009