D NONE (No reportable non-investment income.) [{ NONE (No reportable non-investment income.) D NONE (No reportable reimbursements.

Transcription

1 Lungstrum_John_W

2 Page 2of9 Lungstrum, John W. 05/14/2009 I II. N 0 N-INVES T ME NT INC 0 ME. (Reporting indii>idual and spouse; see pp of filing instructions.) A. Filer's Non-Investment Income D NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) I University of Kansas income for approved teaching $8, B. Spouse's Non-Investment Income - /[you were married during any portion oftlie reporting year, complete thissection. (Dollar amount not requfred exceptfor honoraria.) [{ NONE (No reportable non-investment income.) SOURCE AND TYPE I IV. REIMBURSEMENTS -- transportation, lodging.food, entertainment. (Includes those to spouse and dependent children: see pp ojfilmg instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED I. Federal Judges Association Pentagon City, VA Board of Directors Meetin Travel Expenses 4.

3 Name or Person Reporting Dale or Report Page 3of9 Lungstrum, John W. 05/14/2009 V G JFTS. (lm:/11des those to spouse and dependent children; see pp of filing im;trudimrs.) [Z NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE L VI. LIABILITIES. (Includes thflsi! of spouse and dependent l'hildren; see pp flfjiling instructions.) [Z NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE I , 5.

4 Page 4of9 Lungstrum, John W. 05/14/2009 VII. INVESTJ\lENTS and TRUSTS - income, a1rte, transactions rrndude. t1in.,. nfspouse and dependent c1iitdren; see PP nffiting instructions.) 0 NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) (2) (1) (2) (I) (2) (3) 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, Month- Code 2 : Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private transaction) (Q-W) (4) (5) I. Morgan Stanley Liquid Asset Fund (Money A Dividend K T Deps. & W/ds Mkt) 2. Morgan Stanley Pacific Growth (Mutual F A Dividend Donated und) 3. Morgan Stan. Focus Gr Fd f/k/a Am Opp F A Distribution Donated und (Mut Fd) 4. Westar Ener Inc f/k/a Western Resources In B Dividend Donated c. (Common stock) 5. Eaton Vance Tax MGD Growth Fund (Mui A Dividend K T ual Fund) 6. Kansas State DOT (Bond) B Interest K T 7. Lawrence KS GO (Bond) A Interest J T 8. Johnson Co Wtr Dist (Bond) B Interest K T 9. Kansas St. Hwy Rev (Bond) A Interest J T 10. Derby GO (Bond) B Interest K T 11. Kansas St Dev U (Bond) A Interest J T 12. Johnson Co Pk & Rec (Bond) A Interest J T 13. Topeka KS GO (Bond) A Interest J T 14. Coffeyville Electric Utility (Bond) A Interest J T 15. Johnson Co Wtr Dist (Bond) A Interest J T 16. Independent Bank (CD) A Interest Donated 17. Discover Bank (CD) A Interest Donated I. Income Gain Codes: /\ =) or less B :Sl,001 S2.500 C :S2.50 I S5.000 D=SS,001 SIS,000 E:Sl5,00i -S (See Columns Bl and 0-l) F =S50.00I -5100,000 G :SI 00,00 I - S1,000,000 HI =S 1, I - SS, H2 :More than SS.000,000 2 Value Codes J = or less K=SIS,001 S L :SS0,001. SI M =SI S250,000 (See Columns Cl and 03) N =5250,00 I SI00,000 0 :$500,00 I SI,000,000 Pl =51, SS,000,000 P2 =55,000JIOI ,llllll PJ :SJl SI0,000,1100 P4 :More than 550,000, Value Method Codes Q"'Appnusal R =Co::t treal Estate Only) S =Assessment T =Cash Market (Sec Column ('2) U =Bonk Value V=Other W =Estimated

5 Page 5 of9 Lungstrum, John W VII. INVEST.l1ENTS and TRUSTS --incr1me, l'a/ue, transat tiims (fnclude.. tlrose of spouse and dependent clrildren; "'"PP of filing insfructian.>.) D NONE (No reportable income, assets, or transactions.) A. 8. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period (I) ;. (2) (I) (2) (2) (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, Code 2 Method buy, sell, Month- Code 2 Code I buyer/seller : (A-H) (I) or int.) (J-P) Code 3 redemption) Day (J-P) (A-H) (if private (Q-W) (5) transaction) Cowley county USD (Bond) A Interest K T 19. EV Kansas Municipals (Mutual fund B Interest L T 20. IRA E Interest 0 T 21. -MSDW Liq. Asset (Money market fund) 22. -MSDW Mid-Cap Growth FD (Mutual Fund ) Sold (part) J A 23. -Select Future Fund (Mutual Fund) 24. -MSDW Real Estate Fund (Mutual Fund) 25. -MSIF Small Cap Value Inst! (Mutual Fund) Sold (part) J A 26. -MSDW International Fund D (Mutual Fund ) 27. -Sempra Energy (Bond) 28. -General Motors Acceptance Corp. (Bond) 29. -May Dept. Stores Co. (Note) 30. -Financing Corp. Ser I (Treasury) Redeemed J A 31. -Financing Corp. Ser D (Treasury) 32. -MSDW S&P 500 Index (Muntal Fund) 33 -Van Kampen Comstock I (Mutual Fund) 34. -Fidelity Advisor Mid Cap A (Mutual Fund) I. Income Garn Codes. A =S 1,000 or \es!' B =Sl.001 -Sl.500 C =S2,501 -S5.000 D =S5.00t - St E=St\001-SlO.OOO (See (\)lumns BI and 04) F =SS G=SIOO.OOt -5t, HI =Sl, S H2 =More than S5.000,000 2 Value Codes J =S 15,000 or less K =515.00t L =550.00t M =5 I t -$ (See Columns Cl and 03) N =S250.00t - ssoo.ooo 0 = I -S Pl =St t Pl =Sl.000,00t PJ =525.ooo.tim -sso P4 =More than Value Method Codes Q ::Apprnisal R =Cost (Real Estate Only) S =Assessmenl T =Cash Market (See Column C2) U =Book Va.hie V =Other W =Estimnted

6 Page 6of9 Lungstrum, John W. 05/14/2009 VII. INVESTl\IENTS and TRUSTS - inconrt, a/11e, transactio11s (lnc/111jes those llspou.>t and dependent, hi/dren; see PP of filing instmctions.) 0 NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including t111st assets) reporting period reporting period (1) (2) (t) (2) (I) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type (e.g.. Date Value Gain Identity of (Q-W) (2) (3) exempt from prior disclosure. Code 1 div., rent. Code 2 Method buy, sell. Month- ; Code 2 Code I buyer/seller (A-H) or int.) (J-P) Code 3 redemption) Day (l-p) (A-H) (if private transaction) 35. -Ing Int'! Value A (Mutual Fund) 36. -Janus Mid Cap Value FD (Mutual Fund) Sold (part) J A 37. -MSDW S&P 500 Index Fund B (Mutual F und) 38. -Davis New York Venture A (Mutual Fund) 39. -RS Partners Fund (Mutual Fund) 40. -SBC Communications Inc. (Bond) 41. -MSDW Equally Weighted S&P 500 (Mutu al Fund) 42. -Oppenheimer Int'! Bond FD (Mutual Fund) 43. -Canada Government (Bond) Redeemed K A 44. -EV Income Fund of Boston A (Mutual Fun <l 45. -Fidelity ADV OYRSFD lnt'i A (Mutual Fu nd) 46. -Forward Hoover Sm Cap Eqi Inv (Mutual Fund) 47. -Virtus Real Estate Sec A fka Phoenix RES ec A (mutual fund) 48. -MS Charter Graham (Mutual Fund) 49. -MS Charter Aspect L (Mutual Fund) 50. -MS Spectrum Tech (Mutual Fund) 51. -Hartford Cap Apprec A (Mutual Fund) Sold (part) J A I. Income Gain Codt- : f\ =St,000 or less B =S t,00 t 52,500 C =S2.50 I - S5,000 D =15,00 I - S (See Columns BI and 04) F =550,00 t 5 I 00,000 G =SI 00,00 I - St,000,000 HI =St,000.00t Sl.000,000 H2 =More than S5,000,000 2 Value Codes J =S 15,000 or less K =St5.00J - Sl0.000 L =S50.00t - S\00,000 M =SI I (SeeColumnsCI and03) N =S250,00 t - S =S500.00J - SI, Pl =S 1,000,001 - Sl,000,000 P2 =55,000,001 - S25.000,000 PJ = ,00t - S ooo P4 =More 1han , V:.lue Method Codes Q :i\pprnisal R =Cost {Real Estate Only) S =Assessment T =Cash Market (Sec Column Cl) U =Book Value V =Other W =Estimated E =S\5,

7 Page 7 of9 Lungstrum, John W /2009 VII. INVESTlVIENTS and TRUSTS -- inc o"1e, alue, transactions (Includes thou ofspnust and dependent children; see PP of filing instructions.) 0 NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end of Transactions during reporting period (including trust assets) reporting period reporting period. (I) '! (I) (2) (3) (4) Place "(X)" after each asset Amount Type (e.g.. Value Value Type (e.g., Date Value Gain cxcmpl from prior disclosure Code I div.. rent. Method buy. sell, Month- Code 2 Code I (I) (A-H) (2) (2) or int.) Code 2 (J-P) Code 3 ; i (Q-W).J redemption) Day (J-P) (A-H) (5) Identity of buyer/seller (if private transaction) 52. -Lazard Emerging Markets I (Mutual Fund) 53. -MS Emerging Mkts Domestic Debt (Mutual Fund) 54. -Van KMPN Dynamic CR OPP Fund (Mu tual Fund) 55. -MSIF US Large Cap GR Port A I Income Ga111 (odes: /\ =S 1,000 or l05s B =Sl,OOt. Sl,500 C =Sl,501 Sl,000 D =Sl.001 S 1 l.000 E = S50.00ll (See Columns BI and 04) F =S50.00 I - 5I G =SI00,001 - Sl,000,000 HI =Sl, Sl,000,000 H2 =More than SS.000, Value Codes J =Sl5.000 or less K =SIS SS0.000 l =SS0, SI00,000 M =s s2<0.ooo (See Columnc;C111nd 0.3) N = =Sl00,00 I - S 1,000,000 Pl =Sl,000,0<IJ - SS P2 = PJ =S25,000.00I - Sl0,000,000 P4 =More 1han 550,000, Value Method Codes Q =/\ppra1 al R =Cost (Real E. late Only) S =Assessment T =Cash Market (See- Column (2} U ""Book Value V=Other W ::Estimo.lted

8 Page 8of9 Lungstrum, John W. 05/ VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/ndicateparto[report.) Part Vil: I have treated reinvestment programs as exempt because they merely represent a change in the form of the asset. With regards to the "donations" shown of Morgan Stanley Pacific Growth Fund; Morgan Stanley Focus Group Fund; Westar Energy, Inc.; Independent Bank (CD); and Discover Bank (CD). these assets were in an investment account belonging to on which I was listed as al!enant for ease of management. As of December I my name was removed from the account. l never had an actual ownership interest in these assets but have always listed them on my report because of the f01m in which they were held. l described this as a donation for want ofa better term. With regard to the IRA (line 20), l have only shown interest in Column B(2) because the computer program would permit listing only one type. However, dividends and capital gains were also realized by the IRA.

9 Page 9 of 9 Lungstrum, John W. 05/14/2009 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 nith the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations. Signatu NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIF AND CRIMINAL SANCTIONS (5 U.S.C. app. 104) FILING INSTRUCTIONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Courts Suite One Columbus Circle, N.E. Washington, D.C