D NONE (No reportable positions.)

Transcription

1 AO JO Rev Report Required by the Ethics in Government Act of 1978 FOR CALENDAR YEAR 2011 (5 U.S.C. app ) Person Reporting (last name, first, middle initial) Court or Organization U.S. Court of Appeals, 8th Cir 05/2/2012 Title (Article Ill judges indicate active or senior status; Sa. Report Type (check appropriate type) 6. Reporting Period magistrate judges indicate full- or part-time) Circuit Judge (active) 7. Chambers or Office Address D Nomination Date D Initial [{ Annual Sb. D Amended Report D Fmal 01/01/2011 to 12/31/2011 U.S. Courthouse 400 E. 9th St. Kansas City MO IMPORT ANT NOTES: The instructions accompanying this form must be followed. Complete all parts, checking the NONE box for each part where you have no reportable information. Insert signature on last page. POSITI 0 NS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY Director Freedom's Frontier National Heritage Area 5. I AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS

2 Page 2of II N 0 N-INVESTMENT INC 0 ME. (Reporting individ11af and spouse; see pp of filing instr11ctions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) 2011 State of Missouri - judicial retirement $63, B. Spouse's Non-Investment Income - If yo11 were married during any portion of the reporting year, complete this section. (Dollar amount not required except for honorana.) [{ NONE (No reportable non-investment income.) SOURCE AND TYPE IV. REIMBURSEMENTS -- transportation, lodging, food, entertainment. (Includes those to spouse and dependent children; see pp of filing in;tructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED Vanderbilt University Law Oct , 2011 Nashville TN CLE (teach) at seminar transportation, meals and hotel School - Hartman Tax Forum Amencan Legion Sep , 2011 Indianapolis IN meeting of civic transportation, meals and hotel organization Rotary International May 19-21, 2011 New Orleans LA meeting of civic transportation, meals and hotel organization Brooklyn Law School Apr. 1-7, 2011 New York NY moot court - teach at law transportation, meals and hotel school 5. Pepperdine Law School Mar , 2011 Malibu CA teach at Federal Clerkship transportation, meals and hotel Institute

3 Page 3of V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE 5. V LIABILITIES. (Includes those of spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE 5.

4 Page 4of8 05/2/2012 VI INVESTMENTS and TRUSTS --income, value, transactions r1nc111des those of spouse and dependent children; see PP 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 (includmg trust assets) reporting period of reporting period (2) (I) (2) (I) (I) (2) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private (Q-W) (3) (5) transaction) Equifax Inc. common stock A Dividend L T Sold 02/15/11 K (part) GE common stock A Dividend J T Federated Clover Value Fund A A Dividend J T Oppenheimer Main Street Fund A A Dividend J T 5. Wells Fargo Emerging Growth Fund A None K T (formerly "Small Cap") 6. US Bancorp common stock A Dividend J T 7. MOST 529 plan fund #I-Vanguard None J T Aggressive Growth Portfolio 8. MOST 529 plan fund #2-Vanguard Interest A Interest J T Accumulat'n Portfoli 9. AIG American General universal life policy B Interest K T IO. IRA#! B Int./Div. K T I - Hewlett Packard common stock 1 - Wells Fargo (formerly Wachovia) Bank deposit program 1 - Blackrock Energy & Resources Portfolio C 1 - American Capital Income Builder Fund C Lord Abbett Bd-Deb C 16. IRA# 2 B lnt./div. L T Wa!Mart common stock 1. Income Gam Codes: A 41,000 or less B =$1,001 -$500 c =$501 -$5,000 D=$5.001-$15,000 E =$15,001 -$50,000 (See Columns BI and 04) f =$50,001 -$100,000 G =$ $ HI =$1,000,001 -$ H2 =More than $ Value Codes J =$15,000 or less K =$ $ L =$ $ M =$ $ (See Columns Cl and D3) N =$ $ =$500,00I - $1, Pl =$ $5.000,000 P2 =$ $25, P3 =$25.000,001 -$50.000,000 P4 =More than $50.000,000 Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (See Column C2) U =Book Value V =Other W =Estimated

5 Page 5of8 05/2/2012 VI INVESTMENTS and TRUSTS -income, value, transactions (lnc/11des those ofspo11se and dependent children; see PP 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) reporting period of reporting period (I) (2) (2) (5) (I) (2) (I) (3) (4) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, mm/dd/yy Code 2 Code I buyer/seller (A-H) or int ) (J-P) Code3 redemption) (A-H) (if private (J-P) (Q-W) transaction) Hewlett Packard common stock Federated Clover Value Fund A American International Group Inc Peabody Energy Corp. common stock 2 - Titanium Metals Corp. New common stock 2 - Wells Fargo Co. (formerly Wachovia Corp New) common stock 2 - Blackrock Energy & Resources Portfolio C Wells Fargo (formerly Wachovia) Bank deposit program Federated Strategic Value Fund C Federated Investors Bond Fund C 28. Pfizer Inc. common stock A Dividend J T 29. Sirius Satellie Radio Inc. common stock None J T 30. Blackrock Global Allocation Funds B A Dividend L T 31. Comtech Telecommunications Corp New A Dividend Sold 09/23/11 K common stock 3 Peabody Energy Corp. A Dividend K T 3 Titanium Metals Corp. New A Dividend J T 3 CBRE Clarion Global Real Estate Income A Dividend J T Fund (formerly "ING") I Income Gam Codes A =$1.000 or less 8=$1,001-$500 c =$501 - $5,000 D =$5,001 - $15,000 E =$15,001 - $ (See Columns BI and D4) F =$ $I G =$! $ HI =$1,000,001 $5,000,000 HZ =More than $ Value Codes J=$ or less K=$ $ L=$ $ M =$ $ (See'Columns Cl and D3) N =$ $ =$500,001 - $1, Pl =$1, $5,000,000 P2 =$5.000,001 - $25, P3 =$ I - $ P4 =More than $50.000,000 3 Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T=Cash Market (See Column C2) U=Book Value V=Othcr W=Estimated

6 Page 6of8 05/2/2012 VI INVESTMENTS and TRUSTS - income, va1ue, transactions (1nc111des those of spouse and dependent children; see PP 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) reporting period ofreporting period Place "(X)" after each asset (I) (2) (2) (5) (2) (I) (I) (3) (4) Amount Type (e.g., Value Value Type (e.g., Date Value Gain Identity of 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) Code 3 redemption) (J-P) (A-H) (if private (Q-W) transaction) 35. Chimera Investment Corp. B Dividend J T Buy 02/15/11 J 36. Federated High Income Bond Fund class C A Dividend K T Buy 10/20/11 K 37. Lord Abbett High Yield Fund class C A Distribution K T Buy 10/20/11 K 38. Nuveen High Yield Municipal Bond Fund A lnt./div. J T Buy 02/15/11 J class C 39. Buy 07/18/I 1 J (add'!) 40. Visa Inc. class A A Dividend Buy 02/15/11 K 41. Sold K c 1. Income Gam Codes A =$1.000 or less B =$1,001 -$500 c =$2,501 -$5,000 0=$5,001-$ E =$15,00 l -$50,000 (See Columns Bl and 04) F =$ $ G =$ $1.000,000 HI =$1,000,001 - $ =More than $ Value Code J =$ or less K $ L =$ $ M $ (Sec Columns Cl and 03) N I - $ =$500,001 -$ Pl =$ $5,000,000 P2 =$ $25, P3 =$ I -$ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Market (Sec Column C2) U =Book Value V=Othcr W=Est1matcd

7 Page 7of VII ADDITIONAL INFORMATION OR EXPLANATIONS. (lntlicate partofreport.) The Vanguard Aggressive Growth Portfolio, listed on line 7 of Part VII, invests in two stock funds: (I) Vanguard Institutional Total Stock Market Index Fund (70%), and Vanguard Total Intematonal Stock Index Fund (30%). This allocation is made by the MOST plan, not by me. The Vanguard Interest Accumulation Portfolio, listed on line 8 of Part VII, directs all its assets into Vanguard Short Term Reserves Account, which, in tum, invests in (I) Vanguard Prime Money Market Fund, and (2) funding agreements issued by one or more insurance companies, and other financial inshtutions. This allocation is made by the MOST plan, not by me, and I do not know any specifics of item (2).

8 Page 8of IX. CERTIFICATION. I certify that all information given above (including information pertaining to my sponse 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/ William D. Benton NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILLFULLY 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 Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C