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Amendments Re.ports

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iltnittb tatu1 lili..tJtrirt <!fonrt NortlJern Di.strict of 1Jnbiana

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1;11mmonil, JIN 46320

The Honor ble Mary M. Lisi Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E.

Washington, D.C., 20544

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.Jul1114. -

Re: to Nomination and 2003 Annual

Dear Judge Lisi:: .. :· .. ' .

. In response·.to your .letter of .July 7, ·2004, here is the additional· information that the Committee ·requested in order to close out my 2003 jjnancial disclosure report. :

You requested that I clarify three sections of the report. Those three sections are: 1) Part VII, page 1, line 1, ColumnC(2); 2) Part VII, page 1, lines 3 5, 15and 18, and page 2, line 35; and 3) Part VII, page 2, line 22. I will address each of these areas in tum below.

l . The rental property disclosed in Part VII, page 1, lin 1 was purchased on February 15, 1999. The purchase price was $117 ,000. Please treat this letter as an amendment to Part VII, line 1, Column A.

2. Please· amend Part VII, page 1, lines 3-5, 15, and 18 and page 2, line 35 by deleting the "A" in Column B(l) and leaving those sections blank instead. No other changes are necessary to those sections.

3. Your last inquiry was in ref.erence to Part VII, page 2, line 22 and the entry contained therein to the Vanguard·Ginnie Mae Fund.· There are two problems with this entry. First, after checking my records, I have discovered that the entry is incorrect. Because my holding is less than

$15,000, the entry in Column C(l ) should be "J" instead of"K". Please accept this letter as an · amendment to the report.

As to your specific inquiry, I inadvertently left this entry off my report from the prior year. This was a complete oversight on my part. Ifyou look at the prior year's report I did disclose my interest in the Vanguard Ginnie Mae Fund. (See Nomination Report, Part VII, line 23). The problem is that I actually own that fund in two ways: both in an IRA account and in a regular mutual fund.

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.,,

Hon. Mary Lisi July 14, 2004 Page 2 account.

I inadvertently failed to disclose the Ginnie Mae holding in the non-IRA mutual fund account. Please consider this letter as an amendment to my Nomination Report filed on January 29, 2003. The entry of the Ginnie Mae Fund in that report should be identical to this year's report as amended in the prior paragraph.

Ifyou should have any questions or need any additional information, please feel free to give me a call. Thank you.

Judge District of Indiana

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___________ _ Date ____ _

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POSfflON ORGANIZA·noN TITY

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A0-10

Rev. 1/2004

FINANCIAL DISCLOSURE REPORT

I. Pcri.t1n Reporting (Last name, First name, Middle initial)

Simon, Philip P

4. Title (Article Ill .Judges indicate active or cnior Sllllus:

magistralc judgl'S indicatl' full- or part-time)

U.S. District Judge

Calendar Year 2003

2. Cou11 or Organization

Northern District oflndiana

5. neportTypc \ch "Ck ap1>rop1fatc type)

Q Nm11i11ntio11. Date

Q Initial @Annual Q Fl11al

Report Required by the Ethics

in Government Act of 1978

(5 ll.S.C. app. §§ 101-111)

3. Date ofReport

4/9/2004 6. Reporting Period

1/112003 to

12/3112003 7. Chambers or Office Addrc:ss

5400 Federal Plaza

Suite 4200 Hammond. IN 46320

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

moditications pertaining thereto, il is, in my opinion, in Cl1mpliance

with a11plicublc lllws and regulations.

Reviewing Officer

. •

IMPORTANT NOTES: The instructions accompanying this fonn must be followed. Complete all parts, checking the NONE box for each part

where you hnve no reportable infonnation. Sign on last page.

I. POSITIONS. (Reporting individual only; see pp. 9-1 J of tiling instructions)

N ONE - (No reportabli: positions.)

NAME OF

JI. AGREEMENTS. (Reporting individual only; st.'t pp. 14-16 of filing instructions)

NONE - (No rcport hle agreements.)

1.

2 tn0

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URCE GROSS INCOME

SQIJRC'E

SOURCE

Simon, Philip P 4/9/2004

III, NON-INVES™ENT INCOME. (Reporting individual and i1ousc; see pp. 17-24 of filing instmctions)

A. Filer's Non-Investment Incom

NONE - (No reportable non-investment income.)

AND TYl'E

(yoUTS, not spousc'N)

) .

B. Spouse's Non-Investment Income - (If you were manied during any portion of the reporting year, please complete this section. (dollar amount not required except for honoraria)

NONE - (No reportable non-investment income.)

AND TYPF.

I.

IV. REIJ\1BURSEMENTS - transportation, lodging. food, t"!llcrtainmcnt.

(Includes those to spouse and dependl nl children. Sec pp. 25-27 of instructions.)

NONE - !No such rcrwrtahlc reimhursements.)

I.

SOURCE misCRIPTION

DESCRll JON C'OQE

Simon, Philip P

V. GIFfS. (Includes those to spouse and dependent children. See pp. 28-31 of instructions.)

D NONE - (No such reportable gifts.)

I. U.S. District Court Library Fund lnvcsliture Ceremony for myself and Judge Theresa Springmann

........ _..., .. ..... ..,..,.,

4/9/2004

VALUE

$1,694

V (. UABII..JTIES. (Includes those of sputL e and dependent children. St-e pp. 32-34 of instructions.)

D NONE (No reportable liabilities.)-

Credit Union Mortgage

Thift Savings Plan (TSP)

CRED[TOR

I . Mortgage on Rental Property #I Valparaiso, JN (Part Vil, line I) L

VALUE

2. Loan on TSP J

c

(2) (3)

- ·

(2) Ir not c.,cmpt from disclo.-ure

1111",A.l'ILIAL Ul \..,LV.:)U1'.I'.. l'C.l-Vl".l Name of Pl•rson Reporting LJatc or Keport

Page 1of2 Simon, Philip P 4/9/2004

VII. INVES ™ENTS and TRUSTS - incom<.•, l'lllne. trunscations (includes thoi;c of the spou.«c:· and dqiendent d1ildren. See pp. 34-57 orliling iilstruclions.)

A. n. n. Income during Gmss value at encl or Tran.<aclions during n:ptn1ing p<'riod

Description oFAssets reporting period ll!porting period (including trust asscL )

(I) (l) (2) (l)

Place "(X )" afkr carh asset c•cmpl !Tom prior disclo. urc

Amount

Code I \A -11)

T}'J'IC (c.11.div. rent or i111.)

Value Coe.le 2 IJ·i')

Vnluc Method l'ud<.'l CQ-Wl

Type (e.g. buy, sell. nlCrrier, n.•dcmptiun)

Date: Month-Day

Value Codc2 ll-P)

(4) Gain Code 1 (A-II\

(5) ldcntiry of buyeriseller (ifprivote trani;action)

DNONE (No repurtablc inrt1mc, assets, or transactions)

I. Rental Property# I Valparaiso, IN $117,000 D Rent M R --

2. IRA#I

3. -Entremed Common Stock A None J T

4. - CenturyTel Inc. Common Stock A None J T

5. • Oracle-Common stock A None J . T

6. -Janus Olympus Mututal Fund A Dividend J T

7. -Strong Growth Mutual Fund A Dividend J T

8. -Nasdaq I 00 Shares (QQQ) Common Stock A Dividend L T

9. -Schwab Government Money Market Fund A lnten:st J T

10.

11. IRA#2

12. - Schwab Government Money Market Fund A lnteresl J T

13. -Baron Growth Fund A Dividend K T buy 3/17 J

14. -Baron Small Cap Fund A Dividend K T buy 3117 J

15. Applied Materials Corp. Common Stock A None K T

16.

17. Schwab Money Market Fund A Interest J T

18. Illinois State College Zero Coupon Bonds A Non K T

I. lncm11c/G,1iu Codes: :\ $1,IJOO or Ir B ·" 1.111.ll · }'.!. 500 C -"' \2.501·'>5.lJUO J) '$5.{lQl-$15.ll(J(J E ·-SJS.lJlll-$$0.UtlO

tS<:c Colwms Ht 3nd l).l) F iSO,iJOl-SIO•H�JO G .. 5!00Jl{>!-S1.< m.ooo Ill 51,lJOO.O<ll-$S,il()ll,(J(lii H Mor tl1•11 SS.000.(){)0

:.. Value Cocks : (;):)_()<I() (J[ le>:; K ·· $ i 5.00J -S50J.>Oll !. $So.r101 -$1011.000

!S<:I; C<•lunm> C"l and D3) S 50,0<J0-$5•l0.llOO 0 -- i5<l0.<l01-SI ,01Jll.OO{J PI ··• $1,00<J,O<il-$5.tt()(!,OOO P2 = $.5.CJ(}f 1.!Kll -$2SJlOO,llOO

I' • $25.0liiJ.llOl-$:iO.t.l/lO,lllli• 1'-1 ···$\-lore than �.51.l.000.000

:>. Value Mcthrid Code,; <:• " .'\pprai,:a!

\Si't· Column C21 U .- Book V"luc' '.I' · r:sti1mtcd

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II

(3) (4)

--34.

(I) not 1:.'cmpt from disclosure

(S)

(J-P)

5/8

5/8

l'J.l:lf·'.l"l\.,.,J.1-\.L .LJl..:>\...-LV \J.l"\.lJ J'\.C.CVJ"\.J Name of Pc.rson Reporting JJalc or Kcpon

Page 2of2 Simon, Philip P 4/9/2004

-- income, \'lllne. 1r.1nsc tions (includes tho e 1Jfthe spuu. '' anJ dt')>C"ndcnt rhildrcn. See pp. :W-57 of filing instruclimi .) VII. INVESTMENTS and TRUSTS

A. ll. c. n. Income during Gmss V3IUC at end of Transactions during n.-portin period

Dcs.:ription of Asscl reportin rcrind r<.'J)Ortilll( period (including trusl assets)

m (I) (2) (I I (2>

Place "(X)" afla- cacb a.<Sct exempt Type (e.g. D:ite:Amount Type (q V luc Vnluc Value Gain Identity of fi11111 r1ior disclosure Cndc 2 Method buy. sell. Month-Code I div. nmt. or Codc2 Code buyer/seller

(A .II) int.) (J-1') Co.le 3 merger, Day I (A· (ffpri\'lllc (Q-\V) rcdcmprion) II\ trans:iction)

19. U.S. Savings Bonds

20. Vanguard Small Cap Index Fund

21. Vanguard European Stock Index Fund

22. Vanguard Ginnie Mae

IRA#323.

24. - Vanguard Prime Money Market

25. -Vanguard Total Stock Market Index Fund

26. -Vanguard Ginnie Mae Mutual Fund

A Interest J

A Dividend K

A Dividend K

A Dividend K

A Interest K

A Dividend L

B Interest K

27. TIAA CrefGrowth and Income Fund A Dividend K

28. Schwab S&P 500 Stock Mututal Fund A Dividend J

29. Schwab 529 College Savings Plan 2015 Moderate Track

30. Schwab 529 College Savings Plan 2015 Moder.ite Tr.ick

A Dividend J

A Dividend J

31. Schwab 529 College Savings Plan 2012 Moderate DividendA J Track

T

--T

T

T

.

T

T buy 3/20 L

T

T

T

T

T

T

Jbuy32. College Savings Iowa 529 Track C Moderale A Dividend J .,.

5/8 JbuyA Dividend J T33. College Savings Iowa 529 Track C Moderate

35.

buyA DividendCollege Savings Iowa 529 Track C Moderate J T

None J TACcntier Bank

J

36. Fifth Third Bank A · Interest .I T

lnrnrnc.:Gain ( 'oJcs:

{Sec (\>ltmmo 111 :md [).j)

:!. \'aluc Codes:

IS e Ct>lunms Cl ml DJ)

t :-, t.: { oiLunn (:-_i 1

:\ = $1,000orkss

F = S50.00l-$10u.O<tt1

= $15.000or1'-ss

N ·•· S:!.'0.0\I0-$51\(J,Ol.'{)

P3 • $25.000,001-S50.lllJG.llO!i

t\ppnrisal

!loot; Vail ·

H

c..

K

0

R

'$I.Om -$2, 50ii

$Ji)OJJl!l-SI .Ot.llJ.000

·· $15.• Jl-$50.<iOO

=· · $.'110.i101- l ,Ot10.000

. . \ 1 1 \ Rc:.d E t::.th.· Oniyl

(l(! I

c

HI

1

Pl

l'.J

-:;

\\:

•·• \ .SO!-S5.IJ00

" $ 1,00!.l.Olll-$ .iiOl.l.00(•

$50.00l-$10l•,OOO · $J ,(Kl0,00l·SS.1M)OJ1f 1

··$\-lore than S5!1.000.0\J1l

' :\ ·.\t -;sment

L: 1111litll":d

!) = $5.001-$15.000

H: More than $5.00[1.0CJO

M • );100.001-$250,i_IOO

p = j;5,if. l.O•ll·$25 0<10.'JDO

r ' Cash'\·larl.e! ,

E = $)5.(Jt)J ..$50,()()(j

l\INANLIAL Ull'.SLLU;:)UIU.. .r:u.,ru1 1

Simon, Philip P 419/2004

(Indicate part of Report.) VIII. ADDIDONALINFORMATION OR EXPLANATIONS

Jo Date rf - -Q 1

l illllt: UI rt:J"SUll l\t;pUILllJg

Simon, Philip P 4/9/2004

IX. GERTIFICATION.

I certify that all infonnation given above (including infonnation pertaining to my spouse and minor or dependent children, if any) is accurate, true, and complete to the best of my knowledge and belief, and that any infomiation not reported was withheld because it met applicable statutory provisions permitting n m-disclosure.

I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are in compliance with the provisions of 5 U.S.C. § 501 et. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Signature

NOTE: ANY AND WILFULLY FALSIFIES OR FAILS TO FILE TIIIS REPORT MAY

BE SUBJECT TO CML AND CRIMINAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544