D Nomination, D Initial Annual D Final

Transcription

1 AOlO in Government Act of1978 Rev. 1/2007 FOR CALENDAR YEAR 2006 (5 U.S.C. app ) Report Required by the Ethics Person Reporting (last name, first, middle initial) Court or Organization Graham, James L U.S. District Court, SD/OH 05/04/2007 Title (Article judges indicate active or senior status; magistrate judges indicate full or parttime) U.S. District JudgeSenior Sa. Report Type (check appropriate type) D Nomination, Date D nitial Annual D Final 6. Reporting Period 01/01/2006 to 12/3 1/ Chambers or Offce Address 169 Joseph P. Keinnery U.S. CH 85 Marconi Boulevard Columbus, Ohio Sb. D 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 with applicable laws and regulations. Reviewing Officer Date MPORT ANT N 0 TES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Sign on last page.. POSJTJ 0 NS. (Reporting individual only; see pp. 913 of instmctions.) NONE (No reportable positions.) POSTON NAME OF ORGANZATON/ENTTY. AGREEMENTS. (Reporting individual only; see pp.1416 ofinsfnlctions.) NONE (No reportable agreements.) PARTES AND TERMS CJ (!) C),,, o U) cp. r1 ;,... "10 0':>, :r 1 (y Pl.. = = ::: < ;o n1 () rn )> < rn.9 0 w N

2 Page 2of10 Graham, James L 05/04/2007, N 0 NNVESTMENT N CO ME. (Reporti11g individual and spouse; see pp. 724 of bistmctions.) A. Filer's Nonnvestment ncome [R NONE (No reportable noninvestment income.) SOURCE AND TYPE NCOME (yours, not spouse's) B. Spouse's Nonnvestment ncome f you were married during any portion of the reporting year, complete this sectio1 (Dollar amount not required except for honoraria.) [R NONE (No reportable noninvestment income.) SOURCE AND TYPE V. REMBURSEMENTS tra11sportation, lodging, food, entertainment. (ncludes those to spouse and dependent children. See pp of instructions.) [R NONE (No reportable reimbursements.) SOURCE DESCRPTON

3 Page 3of10 Graham, James L 05/04/2007 V GFTS. (ncludes those to spouse and dependent children. See pp of instructions.) [] NONE (No reportable gifts.) SOURCE DESCRPTON VALUE V. LABLTES. (ncludes those of spouse and dependent children. See pp of instructions.) D NONE (No reportable liabilities.) CREDTOR DESCRPTON VALUE CODE Farm Credit of Mid America FLCA Mortgage on Farm landowned by Partnershiptem 3Part V L

4 ) ( ( l ) ( Z ) ) ) Page 4of10 Graham, James L 05/04/2007 V. NVESTMENTS and TR u STS income, value, transactions (ncludes those of the spouse and dependent children. See pp of filing instructions.) NONE (No reportable income, assets, or transactions.) r ; 1 A. D Description of Assets Jncom uring Gross val at :::1 Transactions during. reporting period (including trust assets ) reporting period \ reporting period Pl ace "(X)" after each asset exempt from prior disclosure ii (1) (2) ( (4) (5)!Amount Type (e.g. Value Value Type (e.g. L i 1 Date Value 3 Gain dentity of Code 2 Method buy, sell, Month Code 2 Code 1 buyer/seller (A ) P) C o ) Day (J P ) (A ) (if private H. ( 3 o o< i J ««=o<< o transaction H ' Code 1 div., rent, L L l Apartment BldgsGahanna, OH Acq.04/05/02 Cost 416,450 F Rent 0 R Single Family HomeDublin, OH Acq.01/05/00 Cost 255,180 A Rent N R Partnership Farm Land D Rent 0 Q Huntington National BankChecking & Savings Accounts B nterest J T Gold & Silver Coins None K T 6. Assets held in Merrill Lynch Brokerage Account# 1: 7. Merrill Lynch Bank USA c nterest L T 8. Merrill Lynch Bank & Trust FSB c nterest K T Buy 01/18 K 9. First Federal Bank of California Certificate of Deposit c nterest L T Redemption 01/18 L 10. Managed Muny Portfolio, nc. Closed End Fund c nterest L T Sell 10/10 L 1 Western Asset Managed Muns FdFormerly Managed Muny Port. A nterest L T Buy 10/10 L 1 Lorian Ohio Swr Sys 1%Due 04/01/06 A nterest K T Redemption 04/01 K 1 Ohio St.Hwy Cap mpr 25% Due 05/01/06 A nterest K T Redemption 05/01 K 1 Franklin Cty,OH Reverside Meth Hosp 6% Due 05/15/06 1 Ohio HSG Res Mtg Rev 9% Due 09/01/ Ohio HSG Res Mtg Rev 45% Due 09/01/06 B nterest L T Redemption 05/15 L B nterest K T Redemption 09/01 K B nterest K T Redemption 09/01 K 17. Ohio HSG Res Mtg Rev 7% Due B nterest K T Redemption 09/01 K ncome Gain Codes: A =$1,000 or less B =$1,(JJ $2,500 c =$2,501 $000 0 =$5,001 $15,000 E =$1001 $50,000 (See Columns Bl and 04) F =$50,001 $100,000 G =$100,001 $1,000,000 Hl =$1,000,001 $5,000,000 H2 =More than $5,000,000 Value Codes J =$15,000 or less K =$15,001 $50,000 L =$50,001 $100,000 M =$100,001 $250,000 (See Columns CJ and 03) N =$250,001 $500,000 0 =$500,00 $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 Value Method Codes P3 =$25,000,001 $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column C2) Q =Appraisal V =Other S =Assessment U =Book Value W =Estimated

5 y y Page 5of10 Graham, James L 05/04/2007 V. NVESTMENTS and TRUSTS income, value, transactions (ncludes those of the spouse and dependent children. See pp of filing instructions.) D NONE (No reportable income, assets, or transactions.) 09/01/06 A. Description of Assets r ncom uring Gross valu e at end of (1) (2) Amou nt T y pe (e.g. Code 1 div., rent, e z :; :d C (A H) ' m<.) (H) OOd LL.. C (inclu ding tr ust assets) i reporti p reporting period Place "(X)" after each asset exempt from prior disclosure i 18. Ohio HSG Res Mtg GNMA 55% Due 09/01/ Ohio St WTR DEV Auth 25% Due 06/01/ Portage Cty OH MBA 25% Due 12/01/17 2 Ohio St Bldg Auth Adult Corr 25% Due 10/01/18 2 Cleveland OH City SD mpr 6% Due 12/01/06 2 Toledo OH CAP MPR D 4% Due 12/01/18 2 Newark OH WTR SYS MPT 6.25% Due 12/01/07 2 Ohio ST Mental Hlth Cap 25% Due 12/01/ Olentangy Local SD 25% Due 12/01/ Ohio ST Site Dev 35% Due 05/01/ Ohio ST Common Schools 5% Due 06/15/ Ohio St Site Dev 4% Due 05/01/ Ohio St nfrastructure 75% Due 02/01/14 '! (QW) A nterest J T c nterest L T c nterest K T B nterest K T r j e den \!. ::th 2 1 u :;; 1: r ""'"""'" n) Da (AH) (ifprivate : t i E:e i ::! D. Transactions during reporting period (JP) A nterest K T Redemption 12/01 K B nterest K T c nterest K T c nterest L T Redemption 12/01 L B nterest L T A nterest L T Buy 11/17 L c nterest L T Buy 02/06 L A nterest L T Buy 11/17 L A nterest K T Buy 06/20 K 3 Ohio St Bldg At Adult 5% Due 10/01/09 D nterest L T Buy 06/20 L 111 f tr ansaction) J l J i 3 Assets held by Merrill Lynch in RA# 1: 3 Merrill Lynch Bank USA Money Market A nterest J T ncome Gain Codes: A =$1,000 or less B =$1,001 $2,500 c =$2,501 $5,000 D =$5,001 $15,000 E =$15,001 $50,000 (See Columns Bl and D4) F =$50,001 $100,000 G =$100,001 $1,000,000 H =$1,000,001 $5,000,000 H2 =More than $5,000,000 Value Codes J =$15,000 or less K =$15,001 $50,000 L =$50,001 $100,000 M =$100,001 $250,000 (See Columns Cl and D3) N =$250,001 $500,000 0 =$500,001 $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 Value Method Codes P3 =$25,000,001 $50,000,000 R =Cost (Real Estate Only) (See Column C2) Q =Appraisal V =Other U =Book Value P4 =More than $50,000,000 S =Assessment W =Estimated T =Cash Market

6 Page 6of10 Graham, James L 05/04/2007 V. NVESTMENTS and TRUSTS income, value, transactions (ncludes those of the spouse and dependent children. See pp of filing instructions.) D NONE (No reportable income, assets, or transactions.) 1 L A. r B. C. Description of Assets ncome during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period r (2) (1) ( ) (1) (3) (5) Place "(X)" after each asset Amount Type (e.g. Value Value 2 Type (e.g. Date2 Value Gain dentity of r(1) Codel ( ) exempt from prior disclosure div., rent, Code 2 Method buy, sell, Month Code 2 Code 1 buyer/seller 1 [1 or int.) (JP) Code 3 redemption)! Day (JP) (AH) (if private (QW) transaction) i L J D. (4) Account 3 CD GMAC BK Midvale UT 5% Due 04/09/09 c nterest L T Buy 04/03 L 3 CD RG Premier Bank PR 9% Due 07/13/07 B nterest K T 36. CD Flagstar Bank FSB 9% Due 07/13/07 B nterest K T 37. CD BMW BK of North America 35% Due 07 /06/09 B nterest K T Buy 0626 K 38. DN Rabobank Natl Assoc 5% Due 10/19/ Federal Natl Mtg Assoc Various nt. rates Due 12/30/ Federal Natl Mtg Assoc Various nt. rates Due 03/24/11 c nterest L T Buy 03/27 L B nterest K T c nterest L T 4 DaimlerChrysler NA Hldg 6.1 % Due 07/15/09 c nterest K T Buy 07/10 K 4 HSBC Finance Corp 7% Due 07/15/09 c nterest K T Buy 06/30 K 4 Gen! Motors Accept Corp 5% Due 09/15/09 B nterest K T 4 Ford Motor Credit Co 5% Due 09/21/06 B nterest K T 4 Capital One F.S.B. CD Due 05/30/06 A nterest K T Redemption 05/30 K 46. MBNA Bank of P.R. CD Due 05/30/06 A nterest K T Redemption 05/30 K 47. Ford Motor Credit Note Due 06/20/06 A nterest K T Redemption 06/20 K 48. Gen! Motors Accept Corp Due 06/15/06 A nterest K T Redemption 06/15 K 49. First Fed Bk Calif CD Due 01/18/06 B nterest K T Redemption 01/18 K ncome Gain Codes: A =$1,000 or less B =$1,001 $2,500 c =$2,501 $5,000 D =$5,00! $15,000 E =$15,001 $50,000 (See Columns Bl and D4) F =$50,001 $100,000 G =$100,001 $1,000,000 H =$!,000,001 $5,000,000 H2 =More than $5,000,000 Value Codes J =$15,000 or less K =$15,001 $50,000 L =$50,001 $!00,000 M =$100,001 $250,000 (See Columns Cl and 03) N =$250,001 $500,000 0 =$500,001 $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 Value Method Codes (See Column C2) P3 =$25,000,001 $50,000,000 Q =Appraisal U =Book Value R =Cost (Real Estate Only) V =Other P4 =More than $50,000,000 S =Assessment W =Estimated T =Cash Market

7 Page 7of10 Graham, James L 05/04/2007 V. NVESTMENTS and TRUSTS income, vatue, transactions (ncludes those of the spouse and dependent children. see PP 3460 of filing instructions.> D NONE (No reportable income, assets, or transactions.) A. B. Description of Assets ncome during Gross value at end of Transactions duri reporting period (including trust assets) reporting tl period reporting period (2) (1) Place "(X)" after each asset Type (e.g. Value Value ()2 Type (e.g. Date Value Gain dentity of exempt from prior disclosure li Code, Method th : (AH) div., rent, J c. l(2),(5) 2 i?p:: :t er ::: ; ::on) :; :; 2 / or int.) (JP) Code 3! l (QW) transaction) :. 50. Compass Bank CD Due 03/08/06 B nterest K T Redemption 03/08 K 1 5 Cole Taylor Bank CD Due 03/23/06 c nterest L T REdemption 03/23 L 5 Astropower, nc. None T 5 Ballard Power Systems, nc. None J T 5 Capstone Turbine Corp None J T 5 Electrosource, nc. None J T 56. Energy Conversion Device None J T 57. Plug Power, nc. None J T 58. Red Hat, nc. None J T 59. VA software Corp. None J T 60. NASDAQ 100 Mutual Fund A Dividend J T 6 Assets held by Merrill Lynch in RA# 2: 6 Merrill Lynch Bank USA Money Market Fund A nterest J T 6 Medallion Bank CD Due 07/14/06 A nterest K T Redemption 07/14 K 6 Washington Mutual Bk CD (formerly Providian) CD due 0716/07 B nterest K T 6 Premier Bk Cd 95% Due 09/02/08 B nterest K T Buy 08/22 K 66. Assets held in Merrill Lynch Brokerage ncome Gain Codes: A =$1,000 or less B =$1,001 $2,500 c =$2,501 $5,000 D =$5,001 $15,000 E =$15,001 $50,000 (See Columns Bl and D4) F =$50,001 $100,()( G =$100,001 $1,000,000 H =$1,000,001 $5,000,000 HZ =More than $5,000,000 Value Codes J =$15,000 or Jess K =$15,001 $50,000 L =$50,001 $100,000 M =$100,001 $250,000 (See Columns Cl and 03) N =$250,001 $500,000 0 =$500,001 $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 Value Method Codes P3 =$25,000,001 $50,000,000 R =Cost (Real Estate Only) P4 =More than $50,000,000 T =Cash Market (See Column CZ) Q =Appraisal V =Other S =Assessment U =Book Value W =Estimated

8 \: j Page 8of10 Graham, James L 05/04/2007 V. NVESTMENTS and TR u STS income, value, transactions (ncludes those of the spouse and dependent children. See pp of filing instructions.) D NONE (No reportable income, assets, or transactions.) uri g G ro s s v a 1 a t e nd of T ra :a g, ct10ns duri re po ting perio f(1) (2) 1(1) 1 1(41, i (QW) L L1 L..,., l.... d (including trust assets) reportmg penod reporting period i 1 Place "(X)" after each asset, Type (e,g. \ Value Value ) Type (e.g, Date Value G ain dentity of [ Code 1 11 div,, rent, Code 2 Method buy, sell, Month Code 2 Code 1 buyer/seller i i Amount Account#2: Descripti, of Assets e x empt from prior disclosure,.., (1) 2) 2) ( (3) (5) 1 (AH) (JP) or mt) Code 3 redemption) Day (JP) LL (AH) 11 (if pri v ate transaction) l 67. Merrill Lynch Bank USA Money Market Fund A nterest J T 68. Eaton Vance OH Tax Exempt Mutual Fund A nterest K T 69. Assets held by Fifth Third Securities, nc. RA#3Acct: 70. AM Constellation Class A Mutual Fund A Dividend K T 7 Assets held in Merrill Lynch Brokerage Account#3: 7 Merrill Lynch Bank USA Money Market Fund A nterest J T 7 Note ReceivableBenevolent Landlord B nterest K T ncome Gain Codes: A =$1,000 or less B =$1,001 $2,500 c =$2,501. $5,000 D =SS,001 $15,000 E =$15,001 $50,000 (See Columns Bl and 04) F =$50,001 $100,000 G =$100,001 $1,000,000 HJ =$1,000,001 $5,000,000 H2 =More than $5,000,000 Value Codes J =$15,000 or less K =$15,001 $50,000 L =$50,001 $100,000 M =$100,001 $250,000 (See Columns Cl and 03) N =$250,001 $500,000 0 =$500,001. $1,000,000 Pl =$1,000,001 $5,000,000 P2 =$5,000,001 $25,000,000 Value Method Codes (See Column C2) P3 =$25,000,001 $50,000,000 Q =Appraisal U ::Book Value R =Cost (Real Estate Only) V =Other P4 =More than $50,000,000 S ==Assessment W =Estimated T =Cash Market

9 Page 9of10 Graham, James L 05/04/2007 V. ADDTONAL NFORMATON OR EXPLANATONS. (ndicate part of Report.) Part V, page 1, line 3: The date of the appraisal was June 30, 1992 with an valuation date of December 22, 199

10 Page 10of10 Graham, James L 05/04/2007 X. CERTFCATON. 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 nondisclosure. 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 Date/? C'? LY FALSFES OR FALS TO FLE THS REPORT MAY BE SUBJECT TO CVL FLNG NSTRUCTONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2301 One Columbus Circle, N.E. Washington, D.C