[{ NONE (No reportable positions.)

Transcription

1 11 11 Whipple, Harold Dean D AO JO Rev I FINANCIAL DISCLOSURE REPORT Report Required by the Ethics in Goi ernment Act of 1978 FOR CALENDAR YEAR 2010 (5 U.SC. app. JOI-I I I) Person Reporting (last name, lirst, middle initial) Court or Organization WHIPPLE, HAROLD "DEAN" D. Western Dislrict of Missouri 05/10/2011 Title (Article Ill judg., indicate artive or senior status; magistrate judges indicate full- or part-time) U.S. DISTRICT JUDGE (Senior Status) 7. Chambers or Office Address 8462 Chas. Evans Whittaker Crt 400 East 9th Street Kansas City, MO Sa. Report Type (rherk appropriate type) 6. Reporting Period D Nomination, Date D Initial [{ Annual Sb. D Amended Report D 01/01/2010 Final to 12/31/ On the basis of the information rontained in this Report and any modifications pertaining thereto, it is, in my opinion, in compliance with applirable laws and regulations. Re, ie" ing Officer Date IMPORTANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you ha1 e no reportable in/ormatioll Sign on last page. POSITIONS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY 5. I AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS

2 Page 2 of9 WHIPPLE, HAROLD "DEAN" D. 05/10/2011 II NON-INVESTMENT INCOME. (Reportingindfdual and spouse;see pp. 17-U of filing instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) 2010 Missouri Judges Retirement System - Pension $38, B. Spouse's Non-Investment Income - I/you ><'ere married during any portion of the reporting year, complete this section. (Dollar amount not required except fur honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE 2010 Administrative Office - U.S. Courts - Administrative Assistant IV REI MB URS EMENTS - transportation, lodging, food, entertainment. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED 5.

3 Page 3 of9 WHIPPLE, HAROLD "DEAN" D. 05/10/2011 V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 5. VJ. LIABILITIES, (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 5.

4 Name or Person Reporting Date or Report Page 4 of9 WHIPPLE, HAROLD "DEAN" D. 05/10/2011 VI INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those of spouse and dependent children: see PP 1.t-60 of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. C. D. Description of Assets Income during Gross value at end Transactions during reponing period (including trust assets) reponing period of reponing period (I) (I) (I) (3) (5) Place "(X)" after each asset Amount Typ (e.g., Value Value Typ (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div. rent, Code 2 Method buy, sell, mm/dd/y Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private (Q-W) (4) transaction) Woodlands, Dallas Co., MO None L w Woodlands, Dallas Co., MO None K w Offce Bldg., Lebanon, MO None K w 1/2 Owner woodlands, Laclede Co., MO None J w 5. 1/3 Owner woodlands, Lebanon, MO None K w 6. Ally Demand Notes (formerly GMAC) B Interest K T 7. Bank of America Accounts B Interest M T 8. Com Prod. Int' com. stock A Dividend J T 9. Vail Resort, Inc. (common) None Sold 05/21110 J B 10. Mid-Missouri Bank Account A Interest M T 11. Cisco Systems, Inc. (common) None Sold 05/21/10 J 1 Pepsico, Inc. (common) B Dividend Sold 05/26/10 L E 1 Federated Total Return Bond Fund c Dividend L T 1 Pimco Foreign Bond Fund B Dividend L T 15. Vanguard GNMA Fund B Dividend K T 16. Vanguard Developed Markets Index B Dividend L T Buy 04/14/IO J 17. Buy 05/28/IO J Income Gain Codes: A =$1.000 or less ll =$ $2,500 c =$501 -$5,000 D =$ SIS.000 E =SIS.001 -$ (Sec Columns BI and D4) f =$50.00 I -$I G =$I $ =Sl S5.ooo.ooo 112 =More than SS Value Codes J = or h.-ss K =S15.00t -S L =S50.00I -St M =SIOO.OOt -$ (Sec Columns Cl and DJ) N =$ $ =$ $ Pl =Sl SS.000,000 P2 =S $ PJ =$ t -$ P4 =More than $ Value Method Codes Q =Appraisal K =Cost (Kcal Estate Only) S =Asscssmcnl T =Cash Market (Sec Column C2) U =!lok Value W v =Oth...1 =Estimated

5 Page 5 of9 WHIPPLE, HAROLD "DEAN" D. 05/10/2011 VI INV EST ME NTS and TRUSTS - incomt!, value, transactions (Includes those of spouse and dependent children; see PP J4-6o of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions during reporting period (including trust assets) reprting period ofreporting period (I) (I) (I) (4) (5) Place "(X)" after each asset exempt from prior disclosure Amount Code I (A-H) Type (e.g., div., rent, or int.) Value Code2 (J-P) Value Method Code 3 (Q-W) Type (e.g., buy, sell, redemption) Date mm/ddjyy Value Code2 (J-P) Gain Code I (A-H) Identity of buyer/seller (if private transaction) (3) 18. Buy 12/16/10 J 19. Vanguard Institutional Index A Dividend L T Buy 05128/10 J 20. Sold (part) 21. Dimensional Fund Advisors Investment D Dividend N T Buy Dimensions Group 2 Sold (part) 12/01/10 J 04/14/10 J 12/01/10 J 2 IRA#I A Dividend K T 2 -- AIM lnt' Mutual Fund AIM Equity Funds CLA 26. AIM Growth SER c Dividend M T 27. Harley Davidson, Inc. A Dividend Sold 05/21/10 J 28. Pim.Comm. B Dividend L T Buy 05/28/10 J 29. Buy 12/16/10 J 30. Northern Fund Global A Dividend K T Buy 04/14/IO J 31. Buy 05/28/IO J 3 Buy 12/16/10 J 3 Vanguard TIPS [a/k/a Vanguard Inflation c Dividend M T Buy 04/14/10 J Protected] 3 Buy 05128/10 J Income Gain Codes: A orlcss B =$ $500 c =$501 - $5.000 D =$ $ E =$ S (Sec Columns Bl and 04) F =$ $ G =$ I -$ Ill =$ $ =More th n $ Value Codes J =S or less K=Sl5.00l -$ L =S50.00I - SI M =SI S (Sec Columns Cl and DJ) N =$ S =$ I - S Pl =Sl $ P2 =$ $ Pl =$ $ N =More than $ Yalu.: Mc1hod Codes Q =Appraisal R =Cost (Real Estate Only) S ""Assessment T =Cosh Market (Sec Column C2) U =Book Value v =Oth1..'f W =Estim;:tcd

6 Page 6 of9 Name of Penon Reporting WHIPPLE, HAROLD "DEAN" D. 05/10/2011 VI INV EST ME NTS and TRUSTS - income,.. atue, transactions rrnctudes those of spouse and dependent chitdren: see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. Description of Assets B. c. D. Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reporting period (I) (I) (5) (I ) (3) Place "(X)" after each asset Amount Typ (e.g., Value Value Type (e.g., Date Value Gain Identity of (4) exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 35. Buy 12/16/10 J 36. Vanguard Index Funds Grw ldx Signal A Dividend L T Buy 04/14/10 J 37_ Buy 05/28/10 J 38. Buy 12116/10 J 39. Central Bank Accounts A Interest J T 40. Bank Midwest Account c Interest M T 41. Gannin, LTD A Dividend Sold 05/21/10 J 4 Federated High-Yield Bond B Dividend K T Buy 01/14/10 J 4 Buy 04/14/10 J 4 Buy 05/28/10 J 45. Sold 12/01/10 J (part) 46. Buy 12/16/10 J 47. Federated Ultra-Short Bond A Dividend J T 48. Vanguard Short-Tenn Inv. Grade B Dividend K T Buy 04/14/10 J 49. Buy 05/28110 J 50. Buy 12/16/10 J 51. Vanguard Int-Tenn Inv. Grade B Dividend K T Buy 04/14/10 J Income Gain Codes: A =$1.000 or less B =$1.001 $500 c =$501 $5.000 LJ =$ $ E =$15.00 I -S (Sec Columns Bl and 04) F =$ $ G =$ $ Ill =Sl $ =More than $ Value Codes J =S or less K =$ $ L =$ SI M =$! $ (Sec Columns Cl and DJ) N =$ S =$ I - $ Pl =$ $ '1 =$ I -$ Pl =$ $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Rc<il l:statc Only) S ==Assessment T :ocash Marh"f (Sec Column C2) U = Book Value v =Othi..'T W =Estimated

7 Page 7 of9 WHIPPLE, HAROLD "DEAN" D. 05/10/2011 VI I NV EST M ENT S and TRUSTS - D NONE (No reportable income, assets, or transactions.) income, atue, transactions (tnc1udes ttrose of spouse and dependent children: see PP of filing instructions.) A. B. c. Description of Assets Income during Gross value al end (including trust assets) reprting period of reporting period (I) Place "(X)" af\er each asset ; Amount exempt from prior disclosure ; Code I, (A-11) (I) (!) Type (e.g., Value Value Type (e.g., div., rent, Code 2 Method buy, sell, or int.) (J-P) Code 3 redemption) (Q-W) D. Transactions during reporting period (3) (4) (5) Date Value Gain Identity of mmldd/yy Code 2 Code I buyer/seller (J-P) (A-H) (if private transaction) I" I I I I I l '""' I I I 5 Buy Buy 12/16/10 Income Gain Codes: A =$1.000 or less B =$ $500 c =$501 - $5.000 D =$5.00 I - S E =S15.00I -$ (Se c Columns BI and 04) F =$ $ G =$ $ Ill =$ $ =More than $ Value Codes J =SI S.000 or less K =Sl5.00l - $ L =S50.00l - Sl M =Sl $ (Sec Columns Cl and DJ) N =$ $ =SS Sl l'i =Sl $ '2 =S $ PJ =$ $ P4 =More than $ Value Method Codes Q =AppraJSal R =Cost (Re-al E:t::tc Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Vaine V =Oth1.T W =btimatcd

8 Page 8 of9 WHIPPLE, HAROLD "DEAN" D. 05/10/2011 VII ADDITIONAL INFORMATION OR EXPLANATIONS. (/ndicalepartofrt!porl)

9 Dale of Report Page 9 of9 WHIPPLE, HAROLD "DEAN" D. 05/10/2011 IX. CERTIFICATION. 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 pro, isions 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 of5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. signature: s/ HAROLD "DEAN" D. WHIPPLE NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) Committee on Financial Disclosure Administrative Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C