D NONE (No reportable positions.)

Transcription

1 AOJO Rev. 1/2013 FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2012 Report Required by the Ethics in Government Act qf 1978 (5 U.S.C. app. /O/.l II) Person Reporting (last name, first, middle initial) Court or Organization Lungstrum, John W. USDC, District of Kansas 05/15/2013 Title (Article III judges indicate active or senior status; magistrate judges indicate full- or part-time) U.S. District Senior Judge Sa. Report Type (check appropriate type) D Nomination Date D Initial [{ Annual Sb. D Amended Report D Final 6. Reporting Period 01/01/2012 to 12/31/ Chambers or Office Address 517 U.S. Courthouse 500 State A venue Kansas City, KS IMPORTANT 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. POSIT! 0NS. (Reporting individual only; see pp of filing instructions.) D NONE (No reportable positions.) POSITION NAME OF ORGANIZATION/ENTITY Director and officer Westward Ho, Inc. (corporation which owns residential property for personal use) I AGREEMENTS. (Reporting individual only; see pp of filing instructions.) [{ NONE (No reportable agreements.) PARTIES AND TERMS "

2 Page 2of9 II N 0 N-INVESTMENT IN CO ME. (Reporting individual and spouse; see pp of filing instrnctions.) A. Filer's Non-Investment Income [{ NONE (No reportable non-investment income.) SOURCE AND TYPE INCOME (yours, not spouse's) B. Spouse's Non-Investment Income - If you were married during any portion of the reporting year, complete this section. (Dollar amount not required except for ltonoraria.) [{ NONE (No reportable non-investment income.) SOURCE AND TYPE IV. REIMBURSEMENTS --transportation, lodging, food, entertainment. (Includes those to spouse and dependent children; see pp offiling instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED Federal Judges Association 05/07/ Washington DC Board of Directors Meeting Travel Expenses 05/10/2012

3 Page 3 of9 V. GIFTS. (Includes those to spouse and dependent children; see pp of filing instructions.) [{ NONE (No reportable gifts.) SOURCE DESCRIPTION VALUE V LIABILITIES. (Includes those of spouse and dependent children; see pp of filing ins/ructions.) [{ NONE (No reportable liabilities.) CREDITOR DESCRIPTION VALUE CODE

4 Page 4of9 VI INVESTMENTS and TRUSTS -- income, vat11e, transactions r1nc111des those ofspo11se and dependent c1rut1ren: see PP offiting ins1r11ctions.j 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) (I) (2) (3) (4) (5) (2) (I) 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) Morgan Stanley Bank (Money Mkt) A Dividend M T Deps. & W/ds Tucson AZ Wtr Dist. (Bond) A Interest K T College Station TX School District (Bond) B Interest K T Johnson Cty, KS Water Dist A Interest K T Eaton Vance Tax MGD Growth Fund (Mutual A Dividend K T 6. EV Floating Rate A A Interest K T Buy 06/I 1/12 K 7. Lawrence KS GO (Bond) A Interest Sold 10/15/12 J A 8. Johnson Co Wtr Dist (Bond) B Interest Sold 12/03/12 K A 9. Derby GO (Bond) B Interest Sold 12/03/12 K A IO. Glassboro NJ (Bond) B Interest K T Buy 06/11/12 J I Clearbridge Energy (Stock) B Dividend K T Buy IO/ I 1/12 K 1 Coffeyville Electric Utility (Bond) A Interest Sold 06/01/12 J A 1 Johnson Co Wtr Dist (Bond) B Interest Sold 12/03/12 K A 1 EV Kansas Municipals (Mutual fund c Interest K T 1 Blackrock Res & Comm Strat TR (stock) B Dividend J T 16. Gabelli Div & Incm TR (stock) B Dividend K T 17. Tortoise MLP Fund Inc. (stock) B Dividend K T Income Gain Codes: A =$1,000 or less B =$1,00 I - $500 c=$501 -$000 0=$5,001 -$1000 E =$15,001 -$50,000 (Sec Columns BI and D4) F=$ $ G =$100,001 -$1, Ill =$ $ H2=More than $5,000,000 Value Codes J=$15,000 or less K=$15,001 -$50,000 L=$50,00 I -$ M =$ $ (Sec Columns CI and 03) N=$ $ =$500,00 I -$ Pl =$1, $5, P2 =$5, $25, '3=$ $50.000,000 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 =Estimated

5 Page 5 of9 Lungstrum, John W. 05/15/2013 VI INVESTMENTS and TR usts -- income, value, transactions (Includes those of spouse and dependent children; see PP D NONE (No reportable income, assets, or transactions.) of filing instructions.) 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) (I) (I) (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, mm/dd/yy Code 2 Code I buyer/seller {A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (ifprivate (2) (Q-W) (5) transaction) 18. IRA E Interest 0 T 19. -MSDW Liq. Asset (Money market fund) 20. -Select Future Fund (Mutual 21. -Goldman Sachs Group, Inc. (Bond) 2 -May Dept. Stores Co. (Note) 2 -Lord Abbott Bond Deb C (Mutual 2 -Invesco Commodities Strat A (Mutual 2 -SBC Communications Inc. (Bond) Sold 06/14/12 J A 26. -Oppenheimer Int'! Bond FD (Mutual 27. -MS Charter Graham (Mutual 28. -MS Charter Aspect L (Mutual 29. -MS Spectrum Tech (Mutual 30. -MS Emerging Mkts Domestic Debt (Mutual 31. -Van KMPN Dynamic CR OPP Fund (Mutual 3 -H&Q Healthcare Fd (Mutual 3 -Blackrock US Opportunities (Mutual Sold 06/14/12 J A 3 -Blackrock Equity Div (Mutual Income Gain Codes: A =$1.000 or less B =$1,001 - $500 c=$501 - $5,000 D =$5,001 - $15,000 E =$15, $50,000 (Sec Columns Bl and D4) F=$ $100,000 G=$ $1.000,000 Ill =$1, $5,000, =More than $5,000,000 Value Codes J=$1000 or less K=$t5, $ L =$50.00 I - $I M =$100,0 0 I - $ (Sec Columns Cl and D3) N=$250,00 I - $500,000 0 =$500,001 - $1.000,000 Pl =$1,000,001 -$5, P2 =$5,000,001 - $25, P3 =$25, I - $50, 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 =Other W=Estimated

6 ,. FINANCIAL DISCLOSURE REPORT Page 6 of9 VI INVESTMENTS and TRUSTS -- income, value, transactions r1nc111des those of spouse and dependent c1tildren; see PP of filing instmctions.j 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) (3) (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 (2) (I) (2) (Q-W) (I) (2) (4) transaction) 3 -Henderson Int'! Opportunities (Mutual Buy 06/14/12 J (add'!) 36. -Jennison Nat'] Resources A (Mutual Fund Buy 06/14/12 J (add'!) 37. -Lazard Emerging Markets Open (Mutual Sold 06/I4/12 J A 38. -Nuveen Tradewinds Val Opp. A (Mutual Sold 06/I4/12 K A Fund 39. -Oppenheimer Gold & Spec Min A (Mutual Buy 06/14/12 J (add'!) 40. -Thornburg Int'] Value A (Mutual Buy 06/14/12 J 41. -Tortoise MLP (Mutual (add'!) 4 -Alger Small Cap Growth Inst (Mutual Sold 06/14/12 K A 4 -Nuveen GBL VLE OPPORT (mutual fund) Sold 06/14/12 J A 4 -Aston/Montag & Caldwell GRW N (Mutual Sold 01/19/12 J A 4 -Aston/Montag & Caldwell GRW N (Mutual Sold 06/14/12 J A 46. -Blackrock Equity Div A (Mutual Sold 06/14/12 J A 47. -Invesco Premier PTF (Mutual Buy 06/14/12 J 48. -Invesco Premier PTF (Mutual Sold 07/17/12 J A 49. -Artisan Midcap Value (Mutual Buy 06/14/12 K 50. -Royce Value Plus (Mutual Buy 06/14/12 K 51. -Invesco Floating Rate A (Mutual Buy 06/12/12 J Income Gain Codes: A =$1.000 or less B =$1,001 -$500 c =$501 -$000 0=$5,001 -$1000 E =$1001 -$ (Sec Columns Bl and 04) F=$50,001 -$ G =$ $1, Bl=$ $ H2 =More than $ Value Codes J=$1000or lcss K=$15,001 - $ L=$50.00 I - $ M =$ $250,000 (Sec Columns CI and 03) N=$ $ =$ I - $I Pl =$ $ P2 =$ $25, P3 =$ $50, 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=Estimated

7 Page 7 of9 Lungstrum, John W. 05/15/2013 VI INVESTMENTS and TRUSTS -- income, value, transactions (1nc111des those of spouse and dependent c1tildren; see PP offtlinginstmctions.j D NONE (No reportable income, assets, or transactions.) A. B. c. D. Description of Assets Income during Gross value at end Transactions dming reporting period (including trust assets) reporting period of reporting period (I) (2) (2) (I) (2) (3) (5) (I) 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) (4) transaction) 5 -JP Morgan Chase & Co (bond) Buy 06/12112 J 5 -Tortoise North Am Energy Corp (stock) Buy 06/11/12 J 1. Income Gain Codes: A =$1,000 or less B=$1,001 -$500 c=$501 -$000 0=$001 -$1000 E =$ $50,000 (Sec Columns B 1 and 04) F =$50,001 - $100,000 G =$ $ HJ =$ $ =More than $ Value Codes J =$1000 or less K=$15,001 -$ L=$ $ M =$ $ (Sec Columns Cl and 03) N=$ $ =$ $ Pl =$ $5, Pl =$ $25, P3 =$2000,00 I -$50,000,000 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 =Other W=Estimated

8 Page 8 of9 VII ADDITIONAL INFORMATION OR EXPLANATIONS. (lntlicate part ofreport.) Part VII: I have treated reinvestment programs as exempt because they merely represent a change in the form of the asset. With regard to Line l, I have not provided dates and value codes because the transactions are numerous, usually small and are the equivalent of bank deposits and withdrawals. Morgan Stanley Bank was formerly known as M organ Stanley Liquid Asset Fund. With regard to the IRA (line 18), I have only shown interest in Column 8(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 of9 Lungstrom, John W. 05/15/2013 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/ John W. Lungstrom 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