D NONE(No reportable positions.)

Transcription

1 Rose, homas M. FINNCIL DISCLOSURE REPOR FOR CLENDR YER 2010 (5 U.S.C. app ) Report Required by the Ethics in Government ct of Person Reporting (last name, first, middle initial) 2. Court or Organization Rose, homas M. U.S. District Ct., S.D. Ohio 04/28/2011 itle (rticle I11 judges indicate active or senior status; 5a. Report ype (check appropriate type) 6. Reporting Period magistrate judges indicate full- or part-time) ] Nomination, Date 01/01/2010 U.S. District Judge (active) [] Initial [] nnual [] Final to 12/31/2010 5b. [] mended Report 7. Chambers or Office ddress 8.On the basis of the information contained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance 200 West Second Street with applicable laws and regulations. 9th Floor, Federal Building Dayton, OH Reviewing Officer Date IMPORN NO ES: he 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 last page. I. P O SII ON S. (Repor~ng individual only; see pp of filing instructions.) D NONE(No reportable positions.) POSIION NME OF ORGNIZION/ENIY 1. Partner Wiggins & Rose Stables L.L.P. 2. Partner SJ Stables Llp 5. II. GREEMENS. mepora.g i.d~vidual o.ly; see pp of filing instructions.) ~-~ NONE (No reportable agreements.) DE PRIES ND ERMS Public Employees Retirement System, no control, retirement Northwestern Mutual Individual retirement account - self directed (rolled from Ohio Deferred Comp Fund)

2 FINNCIL DISCLOSURE REPOR Page 2 of 10 Rose, homas M. 04/28/2011 IlL NON-INVESMEN INCOME. treponing individaal and spoa,e; see pp. 17-~4 of filing instructions.). Filer s Non-Investment Income D N ONE (No reportable non-investment income.) DE SOURCE ND YPE INCOME (yours, not spouse s) Ohio Public Employee Retirement System (Retirement) $76, B. Spouse s Non-Investment Income - If you were married daring any portion of the reporting year, complete this section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) DE SOURCE ND YPE Ohio Public Retirement System (Retirement) 2. IV. REIMBURSEMENS -transportation, lodging, food, entertai... (Includes those to spouse and dependent children; see pp of filing instructions.) NONE (No reportable reimbursements.) SOURCE DES LOCION PURPOSE IEMS PID OR PROVIDED

3 FINNCIL DISCLOSURE REPOR Page 3 of 10 Rose, homas M. 04/28/2011 V. GIFS. ancludes those to spouse and dependent children; see pp of filing instructions.) [] NONE (No reportable gifts.) SOURCE DESCRIPION VLUE VI. LIBILIIES. aneiudes those olspo~e and dependent children; see pp of f!ling instructions.) ~] NONE (No reportable liabilities.) CREDIOR DESCRIPION VLUECODE

4 FINNCIL DISCLOSURE REPOR Page 4 of 10 Rose, homas M. 04/28/2011 VII. INVESMENS and RU S S - income, volue, trunsoctions (Includes those of spouse and dependent children; see pp of filing instructions.) [] NONE(No reportable income, assets, or transactions.) 1. mcap Fund Inc. Class m Funds 2. Small Cap World Fund Class m Funds im Mutual Fund Inc. Class m Funds C Bond Fund of m Inc. Class m Funds B Sold 09/15/10 L 5. Capital World Bond Fund Class Funds L Buy 09/15/10 L 6. Euro Pacific Growth B Fd. Class m Funds 7. rcher - Daniels - Midland Co. 8. Babcock Wilcox J Buy 12/15/10 9. Bank of m Coop Pref J Buy 10/13/10 J 10. Berkshire Health Buy 07/23/10 11o BP P L C DR Sponsored B Sold 05/05/ BP P L C DR Spon J Buy 07/16/10 J 1 Central Fund of Canada LD CL J 1 Chesepeake Corp J Buy 10/18/10 i J 15. Cisco System Inc. J Buy 03/23/10 J 16. Citigroup Cap rust J Buy 10/13/10 J 17. Claymore Exchange raded FD Zacks YLD Hog J 1. Income Gain Codes: (See Columns B1 and D4) 2, Value Codes (See Columns CI and D3) 3, Value Method Codes (See Column C2) =$1.000 or less F =$50,001 - $ J =$15_0~0 or less N =$250,001 - $500,000 P3 =$25, $50,000,000 Q =ppraisal U =Book Value B =$ $2,500 G =$ $ =$ $ O =$ $ R =Cost (Real Estate Only) V =Other C =S $5.000 HI =$1, $5.~00.0~ L =$ $ PI =$1, $5,000,000 P4 =More than $50, S =ssessment W =Estimated D =S $ H2 =More than M =$ $250.00~ P2 =$5,000,001 - $25,000,000 =Cash Market E =$ $50,000

5 FINNCIL DISCLOSURE REPOR Page 5 of 10 Name of Person Reporting Rose, homas M. 04/28/2011 VII. INVESMENS and RU S S - income, vulue, ~a.~uctio,~ (Includes those of spouse and dependent children; see pp of filing instructions.) [] NONE (No reportable income, assets, or transactions.) 18. Comm Vault Sys J Buy 12/15/10 J 19. Exelon Corp J Buy 10/13/10 J 20. Fomento Economico Mexicano J 21. Huntington Bancshares 22. Ishares r DJ Sel Div Indx J 2 Ishares r Ftse Znhua IDX 2 Ishares R S&P Global J.P. Morgan Chase J Buy 10/13/10 J 26. McDermott J Buy 12/15/i0 J 27. Microsoft Corp J 28. Napoleon Ohio SD Buy 06/25/ Nat City Cap J Buy 10/13/10 J 30. PNC J 31. Newell Rubbermaid Inc J 32. Northridge Ohio SD J Buy 03/23/10 J 3 Oracle J Buy 12/15/10 J 3 SPDR Index SHS FDS Mideast frica J 1, Income Gain Codes: =$l.000 or less B =$ $2,500 C =$ $5.000 D =$ $ E =$ $ (See Columns B1 and ~) F =$ $ G =$ $ H 1 =$ $ H2 =More than $ Value Codes J =$ or less =$ $ L =$ $ M =$ $ ~See Columns CI and D3I N =$ $500,000 O =$ $ PI =$1, $5, P2 =$ $ Value Mcthod Codes P3 =$25, $ Q =ppraisal R =Cost (Real Estate Only) P4 =More than $ S =ssessment --Cash Market (See Column C2) U =Book Value V =Other W =Estimated

6 FINNCIL DISCLOSURE REPOR Page 6 of 10 Rose, homas M. 04/28/2011 VII. INVESMEN S an d RU SS - i.co~,., v.t.e, ~a.~.cao.~ a.a~de$ tho~e os ~po,~e.nd depe.dent children; see pp of f!ling instructions.) ---] NONE ~o reportable income, assets, or transactions.) 35. Springfield Ohio SD J Buy 03/23/10 J 36. Wilmington Ohio Water Rev Bond J Buy 06/25/10 J 37. Wisdomtree rust Emg Mkts J 38. $merican Muni Power Oh B Ohio OB Settlem BE Fing uth sset 40. $Celina Ohio 41. $Centerville Ohio Hlth Ca Bethany Luthem Vlg Proj 42. $Centerville Ohio Hlth Ca Bethany Lutherar Vlg. Proj B J 4 $Clyde Green Springs Obligation Bond 4 $Cuyahoga Cnty Ohio Hosp Ref &Impt Revenue Bonds J 45. Fairfield Co Hosp. J 46. Franklin Co Health Care Bond J Buy 12/10/10 J 47. $Franklin County Ohio Hea Care Facs J 48. $Franklin Ohio Pub Imps General Obligation Bonds J 49. Franklin City (Warren Co) Ohio 50. General Electric J Buy 12/15/10 J 51. $Hamilton Cnty Ohio Hlth B E =$15,001- $50,000 21Val~ Cod~... :"... --$15,00i, $50;000 (See Columns CI and 03) N =$250,00 i ;SS00;~... O =$ ~ $ li000:000 P3 ~$25i~0~00i : $50.000, , Value Method Codes Q =ppraisal : R =Cost (Rea! Estate Only) (See Column C2) U =B~k ~i~e v =Other L =$50,001 - $ Pi --$1,000,001 i $S~00i000 e,l ~M6~e/hart $50,000,000 S =ssessment w =Estimated M ~$I S2501~ P2 =$5;000,001- $25, Z --Cash Market

7 FINNCIL DISCLOSURE REPOR Page 7 of 10 Name of Person Reporting Rose, homas M. 04/28/2011 VII. INVESMENS and RUSS - ineo,.e, value, ~a.$actions anctude$ those olspouse and dependent children; see pp of f!llng instructions.) ~ NONE (No reportable income, assets, or transactions.) 52. $Hamilton County Ohio Fats Rev Bond B 5 SHuber Hts (Montgomery Co) B 5 $Independence Ohio GO 55. Juniper Networks J Buy 12/16/10 J 56. SLorain County Ohio Hosp Ref & Impt Rev I Bonds Catholic Hltcr $Mahoning County Ohio Gen Obligation Bonds #$Mansfield (Richland Cnty Genl Oblig Bonds B B 59. Mahoning Co. Ohio Hosp. Fac Bonds 60. $Ohio St Bldg uth Revenu Bonds 61. $Ohio St Higher Edl Fac (Ohio Christian Univ Proj) B 62. Ohio St Higher Ed Redeemed 12/10/10 6 Ohio St Water Dev. Bonds Buy 12/10/10 6 Ross Cnty Ohio Hosp. Rev Bonds Redeemed 12/10/ homburgvalue Fund - Excahnge in 66. Sweney Cartwright Stock Cash ccount B J 67. Wiggins & Rose Stables L.L.P. None J W 68. Rental Prop. #1, Xenia OH None Distributed 02/22/10 1. Income Gain Codes: =$1,000 or tess B =$ $2.500 C =$ $5.000 D =$ $ E =$ $ (See Columns B1 and D4) F =$ $ G =$ $1,000,000 H 1 =$ $ H2 =More than $ Value Codes J =$ or less =$ $ L =$ $ M =$ $ (See Columns CI and D3) N =$250,001 - $ O =$ $ PI =$1.000,001 - $ P2 =$ $ ~" Value Method Codes P3 =$25, $50.000,000 Q =ppraisal R -~ost (Real Estate Only) P4 =More than $ S =ssessment =Cash Markel (See Column C2) U ~Book Value V =Other W =Estimated

8 FINNCIL DISCLOSURE REPOR Page 8 of 10 Name of Person Reporting Rose, homas M. 04/28/2011 VII. INVESMENS an d RU SS - income, value, transactions (Includes those of spouse and dependent children; see pp of filing instructions.) [] NONE (No reportable income, assets, or transactions.) 69. SJ Stables LLP D Distribution W ~: ifi~me G~in Codes: ~$LO00 or le~s is~ 01umns BI arid D4) F =$50,001 - $100;000 G =$ ~ $i,000~000 H1 =$1,000,001 ~ $5;000,000 H2 =More than $5.000, Value Codes J =$ or less =$15,001-$ L =$50;001 : $100;000 M =$ = $ (See Columns CI and D3) N =$250,001 - $ =$500,001 " $1,000, OOl 2 $25~000,000 P3 --$ $50,000,000 p4 ~MOr~ thah $~i~oiooo : : : Value Mclhod Codes Q =ppraisal R =Cost (Real Estate Only) S =~ses~n~ =Cash Market... (See Column C2) U :Book Value

9 FINNCIL DISCLOSURE REPOR Page 9 of 10 Rose, homas M. 04/28/2011 VIII. DDIIONL INFORMION OR EXPLNIONS. (Indlcatepartofrepor )

10 FINNCIL DISCLOSURE REPOR Page 10 of 10 Rose, homas M. 04/28/2011 IX. CERIFICION. I certify that all information given above (including information 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 information not reported was withheld because it met applicable statutory provisions permitting non-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. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signature: S/homas M. Rose NOE: NY INDIVIDUL WHO NOWINGLY ND WILFULLY FLSIFIES OR FILS O FILE HIS REPOR MY BE SUBJEC O CIVIL ND CRIMINL SNCIONS (5 U.S.C. app. 104) Committee on Financial Disclosure dministrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C