D NONE (No reportable positions.)

Transcription

1 AO JO Rev FOR CALENDAR YEAR 2012 Report Required by the Ethics in Government Act of 1978 (5 U.S.C. app. IOI-// I) I. Person Reporling (last name, first, middle initial) Court or Organization U.S. District Court, OH-N Title (Article Ill judges indicate active.or senior status; Sa. Report Type (check appropriate type) magislrate judges indicale full- or part-time) D Nomination Date U.S. District Judge - Active Status D Initial [{] Annual D Final Sb. Amended Reporl D 6. Reporting Period 01/01/ /31/ Chambers or Office Address 1716 Spielbusch Avenue, Suite 210 Toledo, OH 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. I. POSIT! 0 NS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY I. Member, Board of Trustees 5. IJ. A GREE MEN TS. (Reporting individual only; see pp of filing instructions.) [{] NONE (No reportable agreements.) PARTIES AND TERMS I.

2 Page 2 of9 IIJ. NON-INVESTMENT JN COME. (Reporting individual and spouse; see pp of filing instmctions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I Self-employed attorney - gross income $40, B. Spouse's Non-Investment Income - I/you were married during any portion of tlie reporting year, complete tflis section. (Dollar amount not required except for honoraria.) D NONE (No reportable non-investment income.) SOURCE AND TYPE I JV. REIMBURSEMENTS -transportation, lodging.food, entertainment. (Includes those to spouse and dependent children; see pp of filing instrnctions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. November 8, November 9, 2012 Louisville, KY To educate board members Transportation (bus), meals, tuition 5.

3 Page 3 of /2013 V. GIFTS. (lnc/11des those lo spouse and dependent children; see pp of filing instructions.) D NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE I. Federal Bar Association, Northern District of Ohio Chapter Donation toward public investiture $2, Toledo Bar Association Judge's robe $ VI. LIABILITIES: (Includes those of spouse and dependent children; see pp of filing instructions.) D NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I. American Express Credit Card K Tuition 5.

4 Page 4 of /2013 VI I. INVESTMENTS and TRUSTS - income, value, transactions r1nc1udes 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 trnst assets) reporting period ofreporting period (I) (2) (I) (2) (I) (2) (3) (4) (5) 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, 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) I. Trust#! (H) E lnt./div. 0 T -Air Products and Chemicals, Inc. Stock -Apache Corp. Stock Sold 01/11112 K A -Apple Inc. Stock 5. -Aston/Fairpointe Mid Cap Fund Buy 06/20/12 K 6. Sold 09/25/12 J 7. -Bank ofnova Scotia Stock Sold 10/03/12 J B (part) 8. -BHP Billiton Ltd. Stock 9. -Chevron Corp Stock Buy 06/04/12 J 10. -Cisco System Inc. Stock (Y) II. -Colgate Palmolive Co. Stock 1 -ConocoPhillips Stock Buy 01/17/12 K 1 -Dodge & Cox Int'! Stock Fund 1 -EMC Corp. (X) 15. -Google, Inc. Stock 16. -Intel Corp. (Y) 17. -Intercontinental Exchange Inc. Stock I. Income Gain Codes: A =$1.000 or less B 4t.00t -$500 c =$501 - $5.000 D =$5.00t - $ E =$15.00t -$ (Sec Columns Bl and 04) F =$50,00t -$I G =$ $ HI =$ $ =More than $ Value Codes J =$15,000 or less K =$ $ L =$ $ M =$t00.00t $ (Sec Columns Cl and D3) N =$ I - $ =$ $t.ooo.ooo Pl =$ $ P2 =$ $ P3 =$ I $ P4 =More than $ Value Method Codes Q =Appraisal R =Cost (Real Estale Only) S =Assessment T =Cash Market (Sec Col limn C2) U =Book Value V =01hcr W -=Estimated

5 Page 5 of9 Name of Person Reporling VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc111des tllose of spollse and dependent children; see PP of filing instructions.) D NONE (No reportable income, assets, or transactions.) A. B. c. Description of Assets Income during Gross value at end (including trust assets) reponing period ofreporting period (I) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., exempt from prior disclosure Code I div., rent, Code2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption) (Q-W) (2) (I) (2) (I) D. Transactions during reponing period (2) (3) (4) (5) Date Value Gain Identity of mm/dd/yy Code2 Code l buyer/seller (J-P) (A-H) (if private transaction) 18. -ishares MSC! Canada Index (X) 19. -ishares MSC! Emerging Markets Index Sold 03/23/12 J c (part) 20. Sold 10/03/12 J c 21. -ishares MSC! Pac Ex-Jpn Index (X) 2 -Johnson & Johnson Stock 2 -Lowes Companies Inc. Stock (Y) 2 -Oracle Corp. Stock 25. -Parker Hannifin Corp. Stock 26. -Pepsico Inc. Stock 27. -Phillips 66 Stock Spinoff (from line 12) 28. Sold 05/01/12 J 05/30/12 J 29. -Royce FD Premier SER Mutual Fund Buy 06/20112 K 30. -Target Corp. Stock 31. -Teva Pharmaceuticals Industries Inc. Slock Sold 12/20112 J 3 -United Technologies Corp. Stock 3 -Vanguard Emerging Markets Fund Sold (part) 3 -Walgreen Co. Stock Sold 10/03/12 J 05/30/12 J c I. Income Gain Codes: A =$1.000 or less ll =$1,001 - $500 c =$50t - $5.000 (See Columns Bl and D4) F =$ $ G =$ I -$ t HI =$ $ Value Codes J =$ or less K =$ $ L =$ $ (See Columns Cl and D3) N =$ I -$ =$ I - $1.000,000 Pl =$1, $5, Value Method Codes Q =Appraisal (Sec Column C2) U =Book Value P3 =$ t -$ P4 =More than $ R =Cost (Real Estate Only) V =Other S = Asscssmcnl W =Eslima1cd D =$5,001 -$ H2 =More than $ M =$! $ P2 =$ $25, T =Cash Market E=$ $50.000

6 Page 6 of9 VII. INVESTMENTS and TRUSTS -- income, vatue, transactions r1nc1udes those ofspo11se and dependent children; see PP of filing ins1r11c1ions.j D NONE (No reportable income, assets, or transactions.) A. B. c. Description of Assets Income during Gross value at end (including tmst assets) reporting period of reporting period (I) (2) (I) (2) (I) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g., exempt from prior disclosure Code I div., rent, Code 2 Method buy, sell, (A-H) or int.) (J-P) Code 3 redemption) (Q-W) D. Transactions during reporting period (2) (3) (4) (5) Date Value Gain Identity of mm/dd/yy Code2 Code I buyer/seller (J-P) (A-H) (if private transaction) 35. -Wells Fargo Co. Stock (Y) 36. -Cincinnati Ohio School Dist. Municipal Bond (Y) 37. -Marysville Ohio School Dist. Municipal Bond(Y) 38. -KT Short Term Tax-Free Fund Sold (part) 06/20/12 L 39. -KT Short Term Deposit Fund 40. IRA #I A Int./Div. J T 41. Merrill Lynch Cash/Money Account A Int./Div. J T 4 -Alcatel Lucent Stock 4 -AOL Inc. Stock 4 -LSI Corp. Stock 45. -Time Warner Inc. Stock 46. -Time Warner Cable Inc. Stock 47. Deferred Compensation #1 (H) D lnt./div. L T 48. -Ohio DC Stable Value Option 49. -Dodge & Cox Stock Fund 50. -Fidelity Contrafund 51. -FPA Capital Stock Fund I. Income Gain Codes: A =$1.000 or less ll =$ 1.00 I - $500 c =$501. $5.000 {See Columns Ill and 04) F =$50.00 I $I G =$I I $ I II =$ t,000,001 - $5, Value Codes J =$ or less K =$ $ L =$50.00 I $ (Sec Columns CI and D3) N =$ $ =$ I - $ Pl =$ $5,000,000 Value McthQd Codes Q =Appraisal P3 =$ I - $ P4 =More than $ R =Cost (Real Esta1c Only) S =Assessment (Sec Column C2) U =Book Value Y =01hcr W =Es1imated D =$5,001 - $ E =$ $ =More than $ M =$ $ P2 =$ $25,000,000 T =Cash Market

7 Page 7 of9 VII. INVESTMENTS and TRUSTS -- income, value, transactions r1nc1udes 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 (I) (2) (I) (2) (I) (2) (3) (4) (5) 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, 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) 5 -PIMCO Total Return Fund 5 -Vanguard Capital Opportunity Stock Fund 5 Securities Account #I (H) 55. -AT&T Inc. Com Stock (Y) 56. MetLife Whole Life A lnt./div. K T Bank Business Checking Account A Interest J T 58. " I. Income Gain Codes: A =$1.000 or less B 4t,001 -$2,500 C =$50 I - $ =$5,001 -$t5.000 E =$ t 5.00t - $ (See Columns BI and D4) f =$50_001 - $t G =$100.00t - $ tit =$ t -$ lt2 =Mort 1han $ Value Codes J =$ or less K =$15,001 - $50,000 L =$50.00t - $ M =$I I - $ (Sec Columns Cl and 03) N =$ I - $ =$500, $ Pl =$ $ P2 =$ $ P3 =$ I -$ P4 =More 1han $ Value Mc1hod Codes Q =Appraisal R =Cost (Real Estate Only) S =Assessment T " Cash Market (Sec Column C2) U =Book Value V =Other W =Estimated

8 Page 8 of /2013 VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lndicate partofreport.) Regarding "Trust #I", the first listing in Part is the sole beneficiary of the trust.

9 Page 9 of /2013 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 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/ Jeffrey J. Helmick 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 Office of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C