Thomas M Rose Financial Disclosure Report for 2010

8/3/2019 Thomas M Rose Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2010

Report Required by the Ethics

in Government Act of 1978(5 U.S .C. app . §§ 101-111)

1. Per son R epor ting ( las t name, f ir s t , middle in i t ia l)

R o s e , T h o m a s M .

4. Ti t le (Art ic le I11 judges indicate ac t ive or senior s ta tus;magistrate judges indicate full- or part- time)

2. Cour t o r Organiza tion

U.S. Dist r ict Ct . , S .D. Ohio

5a. Report Type (check appropriate type)

] N o m i n a t i o n , D a t e

U . S . D i s t r ic t J ud g e ( ac t i ve )

7. Chambers or Off ice Address

20 0 W es t Seco n d S t ree t9 th F lo o r , Fed era l Bui ld in gDay ton , OH 45 402

[] Initial [] Annual [] Final

5b. [] Amended Report

8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliance

w i t h a p p l i c a b l e l a w s a n d r e g u l a t i o n s .

Reviewing Of f ice r Date

3. Date of Repor t

04/28/2011

6. Repor ting Per iod

01/01/2010

to

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followe~L Complete all parts,

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

I . P O S I T I O N S . ( R e p o r ~ n g i n d i v i d u a l only; see p p . 9 - 1 3 of filing instructions.)

D NONE (N o reportable p osi t ions. )

POSITION

1. Partner

2. Partner

3.

4.

5.

NAME OF ORGANIZATION/ENTITY

W ig g in s & Ro se S tab les L .L .P .

KSJ Stables Llp

II.AGREEMENTS. m e p o r a . g i . d ~ v i d u a l o . ly ; see pp. 14-16 of filing instructions.)

~-~ (No reportable agreements . )ONE

1 . 1 9 7 6

2 . 2 0 0 5

3.

DATE PARTIES AND TERMS

Pub l i c Emp lo yees R e t i remen t Sys tem, n o co n t ro l , re t i remen t

No r thweste rn Mutua l In d iv id ua l re t i remen t acco u n t - s e l f d i rec ted ( ro l l ed f ro m O hio D efer red Co m p Fun d )



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

Page 2 o f 1 0

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

Rose , Thomas M .

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

04/28/2011

I l L N O N - I N V E S T M E N T I N C O M E . t R e p o n i n g i n d i v id a a l a n d s p o a , e ; s e e p p . 1 7 - ~ 4 of filing instructions.)

A. Filer’s Non-Investme nt Income

D NO NE (No repor table non- inves tment income. )

DATE SOURCE AND TYPE INCOME( y o ur s , n o t sp o use’ s )

1. 2010 Ohio Pub l i c Emp lo yee R e t i remen t Sys tem (Re t i remen t ) $76 ,557 .0 0

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 - I f you were married daring any port ion of the reporting year, complete this section.

(Dollar amount n ot required except for honoraria.)

D (N o reporta ble incom e.)ONE non- inves tmen t

DATE SOURCE AND TYPE

1 .2010 Ohio Pub l i c Re t i remen t Sys tem (Re t i remen t )

2.

3.

4.

I V . R E I M B U R S E M E N T S -transportation, lodging, food, enterta i ....

(Includes those to spouse and dependent children; see pp. 25-2 7 of filing instructions.)

N O N E (No reportable reimbursements.)

S O U R C E DATES L OC A T ION

1.

2.

3.

4.

5.

PURPOSE ITEM S PAID OR PROV IDED




P a g e 3 o f 1 0

Name of Per son R epor ting


Date of Report

04/28/2011

V . G I F T S . a n c l u d e s those to spouse and dependent children; see pp. 28-31 of filing instructions.)

[] NONE (No repor table g i f t s. )

SOURCE DESCRIPTION

1 .

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n ei u d es t h o s e o ls p o ~ e a n d dependent children; see p p . 3 2 - 3 3 of f!ling instructions.)

~] N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION

1 .

2.

3.

4.

5.

V A L U E C O D E



F I NANCI AL DIS CL O S URE RE P O R T

Page 4 of 10

Name of Person R e p o r t i n g

Rose , Thomas M.


04/28/2011

V I I . I N V E S T M E N T S a nd T R U S T S - i n c o m e , v o l u e , trunsoctions (Includes those of spouse and depend ent children; see pp. 34-60 of fil ing instructions.)

[] NONE (N o reportable income, assets, or transactions.)

1 . Am c ap F und Inc . C l a ss A Am F unds A D ivid en d K T

2. S m a l l C a p W o r ld F u n d C l a s s A A m F u n d s A D ivid en d K T

3. Aim M utua l F und Inc . C l a ss A A m F unds C D ivid en d K T

4. B ond F und o f Am Inc . C la ss A Am F unds B D iv id en d So ld 09/15 /10 L

5. C api t a l Wor ld B ond F und C la ss A F unds A D ivid en d L T Bu y 0 9 /1 5 /1 0 L

6. Euro Pac i f i c G rowth B F d . C la ss A A m A D ivid en d K T

Fun d s

7. Arc h e r - Danie l s - Mid l and C o . A D ivid en d K T

8. B a b c o c k W i l c o x A D ivid en d J T Bu y 12/15/10 K

9. B a n k o f A m C o o p P r e f A D ivid en d J T Bu y 10/13/10 J

1 0 . Berksh i re Hea l th A D ivid en d K T Bu y 07/23/10 K

1 1 o B P P L C A D R S p o n s o re d B D iv id en d So ld 05 /05 /10 K

1 2 . B P P L C A D R S p o n A D ivid en d J T Bu y 07/16 /10 J

1 3 . C ent ra l F und o f C anada LT D C L A Div idend J T

1 4 . C h esepeak e C orp A D ivid en d J T Buy 10/18/10 i J

1 5 . C isc o Sy s t em Inc . A D ivid en d J T Bu y 03/23/10 J

1 6 . Cit igroup Cap Trust A Div idend J T Bu y 10/13/10 J

1 7 . C l a y m o r e E x c h a n g e T r a d e d F D Z a c k s Y L D A D ivid en d J T

H o g

1. Income Gain Codes : A =$1.000 or less B =$1.001 - $2,500

( See C o lu mns B 1 and D4 ) F = $5 0,001 - $100.000 G = $100.001 - $1 .000.000

2 , V alu e C odes J =$15_0~0 or less K =$15.001 - $50.000

(Se e Co lum n s CI a n d D 3 ) N =$25 0,001 - $500,000 O = $5 00.001 - $1 .000.000

P3 =$25,000.001 . $50,000,000

3, V alu e M ethod C odes Q = Appraisal R =Cost (Real Es tate Only)

(Se e Co lum n C2 ) U = B ook V alu e V = O ther

C =S2.501 - $5.000 D =S5.001 - $15.000

HI = $1 ,0 0 0 .0 91 -$5 .~00 .0~ H2 =Mo r e than

L =$50.001 - $100.000 M =$100.001 - $250.00~

PI =$1,000.001 - $5,000,000 P2 =$5,000,001 - $25,000,000

P4 =More than $50,000.000

S = As s es s men t T =Ca s h Ma rke t

W = Es t imated

E = $ 1 5 .0 0 1 - $ 5 0 ,0 0 0




Page 5 of 10

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

Rose , Thomas M .


04/28/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , v u l u e , ~ a . ~ u c t i o , ~ ( Includes those o f s p o u s e a n d dependent children; see pp. 34-60 of filing instructions.)

[] N O N E (No reportable income, assets, or transactions.)

1 8 . C o m m V a u l t S y s A D i v i d en d J T B u y 12/15/10 J

1 9 . Ex e l o n C o r p A D i v i d e n d J T B u y 10/13/10 J

20 . Fo m e n t o Ec o n o m i c o M e x ic a n o A D i v i d e n d J T

21 . H u n t i n g t o n B a n c s h a r e s A D i v i d en d K T

22 . Ishares Tr DJ Sel Div Indx A D i v i d e n d J T

23. I s h a r e s T r F t s e Z n h u a I D X A D i v i d e n d K T

24 . I sh a r es T R S &P Gl o b a l 1 0 0 A D i v i d e n d K T

25 . J . P . M o r g a n C h a s e A D i v i d e n d J T B u y 10/13/10 J

26 . M c De r m o t t A D i v i d en d J T B u y 1 2 / 1 5 / i 0 J

27 . Microsof t Corp A Interest J T

28 . Nap o l eo n O h i o S D A D i v i d en d K T B u y 06/25/10 K

29 . N a t C i t y C a p A D i v i d en d J T B u y 10/13/10 J

30. P NC A D i v i d en d J T

31. N e w e l l R u b b e r m a i d I n c A D i v i d e n d J T

32. No r t h r i d g e O h i o S D A D i v i d en d J T B u y 03/23/10 J

33. O r ac l e A D i v i d en d J T B u y 12/15/10 J

34. S P D R I n d e x S H S F D S M i d e a s t A f r i c a A D i v i d en d J T

1 , I ncome Gain C odes :

( S e e C o l u m n s B 1 a n d ~ )

2 . V alu e C odes

~See C o lu mns C I and D3I

3. V alu e M cthod C odes

(Se e Co lum n C2 )

A = $l.000 o r le ss B = $1 .001 - $2 ,5 00 C = $2.5 01 - $5 .000 D = $5.001 - $15.000

F = $5 0.001 - $100.000 G =$100.001 - $1 .000.000 H 1 =$1.000.001 - $5.000.000 H2 =More than $5.000.000

J =$15.000 or less K = $15 .001 - $50.000 L = $5 0.001 - $100.000 M =$100.001 - $250.000

N =$250.001 - $500,000 O =$5 00.0 01 - $1 .0 00 .00 0 P I = $1 ,0 00 .0 01 - $5 ,0 00 .0 00 P 2 = $5 .000 .001 - $2 5.00 0.00 0

P3 =$25,000.001 - $50.000.000 P4 =More than $50.000.000

Q =Appraisal R =Cost (Real Es tate Only) S = As s es s men t T - -C as h M ar k e t

U = B ook V alu e V =Oth e r W = Es t imated

E =$15.001 - $50.000




Page 6 of 10


Rose , Thomas M .


04/28/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o ~ , . , v .t .e , ~ a . ~ . c a o . ~ a . a ~ d e $ t h o ~ e o S ~ p o , ~ e . n d depe .dent children; see p p . 3 4 - 6 0 of f!ling instructions.)

---] NONE income, assets, or transactions.)o reportable

35. Sp r in g f ie ld Ohio SD A D ivid en d J T Bu y 03/23/10 J

36. W i l m i n g to n O h i o W a t e r R e v B o n d A D ivid en d J T Bu y 06/25 /10 J

37. Wisdomt ree T rus t Emg Mk t s A D ivid en d J T

38. $Am er i c an Muni Power Oh B Interest K T

39. @ $Buck ey e O h i o T O B S e t t l em BE F i n g A InterestA u t h A s s e t

40 . $ C e l i n a O h i o A Interest

41 . $ C e n t e r v i l le O h i o H l t h C a B e t h a n y L u t h e m A InterestV l g P r o j

42 . $Centervi l l e Ohio Hl th Ca Bethany Lutherar B Interest

Vl g . P r o j

43 . $ C l y d e G r e e n S p r i n g s O b l i g a ti o n B o n d A D i v i d en d

44 . $ C u y a h o g a C n t y O h i o H o s p R e f & I m p t A InterestR e v e n u e B o n d s

45 . F ai r f ie l d Co H o sp . A D i v i d e n d

46 . Fr a n k l i n C o H e a l t h C a r e B o n d

47 .

K

K

T

T

T

J

K

T

T

J

J

T

T

A D i v i d en d J T B u y 12/10/10 J

$F rank l in C ounty Oh io Hea C a re F ac s A Interest J T

4 8. $F rank l in Oh io Pub Imps G ene ra l A Interest J T

Obl iga t i on B onds

4 9. F rank l in C i t y (War ren C o) O h io A Interest K T

50 . Gen era l Elec t r i c A D ivid en d J T Bu y 12/15/10 J

51 . $Hami l t on C nty Oh io H l th B Interest K T

21Val~ Cod~ .............. :" ...... K--$15,00i , $50;000 L =$50,001 - $100.000 M ~$I0 0 .0 0 1 - S250 1~

(Se e Co lum n s C I a n d 03 ) N =$250,00 i ;SS00;~ ...... O = $ 5 0 0 .0 0 1~

$ l i 0 0 0 : 0 0 0 P i - - $1 ,0 0 0 ,0 0 1 i $S~0 0 i0 0 0 P2 =$5;000,001- $2 5 ,000.000

P3 ~$25i~0~00i : $50.000,000 .... e,l ~M6~e/hart $50,000,000

3, V alu e M ethod C odes Q =AppraiSal : R =Cost (Rea! Es tate Only) S = As s es s men t Z - -C as h M ar k e t

(Se e Co lum n C2 ) U =B~k ~i~e v =Other w =Es t im a te d

E = $ 1 5 , 0 0 1 - $ 5 0 , 0 00




Page 7 of 10


Rose , Thomas M.


04/28/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ne o ,. e, v a l u e , ~ a . $ a c t i o n s a n c t u d e $ t h o s e o l s p o u s e a n d dependent children; see p p . 3 4 - 6 0 of f!llng instructions.)~ NONE income, assets, or transactions.)N o reportable

52 . $Ham i l ton C ounty Oh io F a t s Rev B ond B Interest K T

53. SHube r Ht s (Montgomery C o) B Interest K T

54 . $Independenc e Oh io G O A Interest K T

55 . Juniper Networks A D ivid en d J T Bu y 12/16/10 J

56 . SLora in C ounty Oh io Hosp R e f & Impt Rev I A Interest K T

B onds C a th o l ic Hl t c r

57 . $Mah oning C oun ty Oh io G en Obl iga t i on B Interest K T

B o n d s

58 . #$Mansf i e ld (Ric h l and C nty G enl Obl ig B Interest K TB onds

59 . Mah oning C o . Oh io Hosp . F ac B onds A D ivid en d K T

60 . $Oh io St B ldg Au th Revenu B ond s A Interest K T

61 . $Ohio S t H ig her Ed l Fac (Ohio C hr i s ti an B Interest K TU n iv Pro j )

62 . Ohio S t Hig her Ed A D ivid en d R e d e e m e d 12/10/10 K

63. Oh io St Wa te r Dev . B onds A D ivid en d K T Bu y 12/10/10 K

64 . Ross C nty Oh io Hosp . Rev B onds A D ivid en d R e d e e m e d 12/10/10 K

65 . T h o m b u r g V a l u e F u n d - A E x c a h n g e i n A D ivid en d K T

66 . Sweney C a r twr igh t Stoc k C ash Ac c o unt B Interest J T

67 . W ig g in s & R o se S tab les L .L .P . N o n e J W

68 . R en ta l P ro p . #1 , Xenia O H N o n e 0 2 /22 /1 0 Ki s t r ibuted

1 . Incom e G ain C odes: A =$1,000 or tess B = $1 .001 - $2 .5 00 C = $2.5 01 - $5 .000

(See C o lu m ns B 1 and D4 ) F = $5 0.001 - $106.000 G =$100.001 - $1 ,000,000 H 1 =$1.000.001 - $5.000.000

2 . V alu e C odes J = $15 .000 or less K = $15 .001 - $50.000 L = $50.001 - $100.000

(Se e Co lum n s CI a n d D 3 ) N =$25 0,001 - $500.000 O = $5 00.001 - $1 .000.000 PI =$1.000,001 - $5.000.000

P3 =$25,000.001 - $50.000,000 P4 =More than $50.000.000

3. Value Method Codes Q =Appraisal R -~ost (Real Estate Only) S = As s es s men t

(Se e Co lum n C2 ) U ~B ook V alu e V = O ther W = Es t imated

D = $5 .001 - $15 .000 E =$15 .001 - $5 0.000

H2 =More than $5.000.000

M =$100.001 - $250.000

P2 =$5.000.001 - $25.000.00~"

T =Ca s h Ma rke l



F I NANCI AL DI SCL O S URE RE P O RT

Page 8 of 10

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

Rose , Thomas M .


04/28/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

[] NONE(No reportable incom e, assets , or transact ions.)

69 .

70 .

71 .

72 .

73 .

74 .

7 5 .

76 .

77 .

78 .

79 .

KSJ Stables LLP D Di s t r i bu t i o n K W

1~: i fi~me G~in Codes: A ~ $LO 0 0 o r l e ~ s

iS~ 01 um n s BI a r id D 4) F =$50,001 - $100;000

2 . V alu e C odes J =$15.000 or less

(See C olu mn s C I a nd D3) N =$2 50,00 1 - $5 00 .0 00

P3 --$25.000.001 - $50 ,000,000

3. Value Mclhod Codes Q = A p p r a i s a l

(See Column C2) U :Bo o k V a lue

G =$ 10 0.0 01 ~ $ i,0 00 ~0 00 H 1 = $1 ,0 00 ,0 01 ~ $5 ;0 00 ,0 00 H2 =Mo re than $5.000,000

K =$1 5 ,001 -$50.000 L =$50;001 : $100 ;000 M =$100 001 = $250.000

0 =$500, 001 " $1 , 000, 000 . . . . . . . . . . . . O O l2 $2 5~ 000,000

p 4 ~ MOr~ th a h $~ i~ OiOo o : : :R =Cost (Real Estate Only) S = A ~ s e S ~ n ~ T =CashMarket ....




P a g e 9 o f 1 0

Name of Per son Repor ting


Date of Report

04/28/2011

V III. ADDITIONAL INFORM ATION OR EXPLANATIONS. (Indlcatepartofrepor£)




P a g e 1 0 o f 1 0

Name of Person Repor ting


Date of Repor t

04/28/2011

IX . CERTIFICATION.

I c e r t i f y t h a t a l l in 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 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 l d r e n , i f 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 ld 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 ry

p r o v i s io n s p e r m i t t i n g n o n - d i s c l o s u r e .

I f u r t h e r c e rt i f y t h 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 ic h h a v e b e e n r e p o r t e d a r e i ncom pl iance wi th the p rov is ions o f 5 U.S.C . app . § 501 e t . seq . , 5 U.S.C . § 7353, and Jud ic ia l Conference r egu la t ions .

Signa ture: S/Thoma s M. Rose

N O T E : A N Y I N D IV 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 L Y F A L S I F IE S O R F A I L S T O F I L E T H I S 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 )

C om m i t t e e on F i na nc i a l D i s c lo s u r eAd mini s t ra t ive O ff i ce o f the Uni ted St a t es Cour t sSui te 2-301O n e C o l u m b u s C i r c le , N . E .Wa s h i ng t on , D . C . 2 0 5 4 4

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Thomas M Rose Financial Disclosure Report for 2010