Katz, David A. Report Required by the Ethics AOJO in Government Act of 1978 Rev. 112010 FOR' CALENDAR YEAR 2009 (5 U.S.C. app. 101-111) Person Reporting (last name, first, middle initial) Katz David A. Court or Organization U.S.D.C. Northern Ohio Date of Report 05/01/2010 Title (Article ll judges indicae active or senior status; magistrte judges indicate full- or part-time) Senior District Judge Sa. Report Type (check appropriate type) D Nomination D nitial Date ll Annual D Final Sb D Amended Reprt 6. Reporting Period Ol/01/2009 to 12/31/2009 7. Chambers or Offce Address 307 U. S. Courthouse 1716 Spie!Busch Avenue Toledo, OH 43604 8. On the basis of the information contained n this Report and any modifications pertaining thereto, t is, in my opinion, in compliance with applicable laws and reglations. Reviewing Offcer Date MPORTANT NOTES: The instructions accompanying this form must hefollowed. Complete all parts, checking the NONE box for each part where you have no reportable inform. Sign on last page. POSJTJ 0 NS. (Reportng individual only; see pp. 9-13 of filing instnlons.) 0 NONE (No reportable positions.) POSTON NAME OF ORGANZATON/ENTTY Vice President & Trustee David S. Stone Foundation Member National Council of Ohio State University College of Law Trustee Emeritus Mercy Health System - Northern Region Member Toledo Z.0 Foundation Board 5. Member Advocates for Victims & Justice, nc. Board -. AGREEMENTS. (Reportng individual only; see pp. 14-16 of filing ins1ctions.) [Z NONE (No reportable agreements.) PARTES AND TERMS } -. ). / ' :i ( ),) J
Page 2 of7 Name or Person Reporting Dote of Report Katz David A. 0510112010 ll. NON-NVESTMENT JN COME. (Repultng individual and spouse; seepp. 17-24 of fiing intr11ctions.) A. Filer's Non-nvestment ncome [Z NONE (No reportable non-investment income.) SOURCE AND TYPE NCOME (yours, not spouse's) B. Spouse's Non-nvestment ncome - f you were married during any portion of the reporting year, compkte this section. (Dollar amount nal req11ired except for honoraria.} [Z NONE (No reportable non-investment income.) SOURCE AND TYPE JV, REMBURSEMENTS - transportation, lodging.food, entertainment. (ncludes those to spouse and dependent children; see pp. 25-27 of filing instructions.) D NONE (No reportable reimbursements.) SOURCE DATES LOCATON PURPOSE TEMS PAD OR PROVDED American Conference nstitute 6124109-6125109 New York, NY Panel Speaker Expenses, transportation, lodging, meals 5.
Date of Report Page 3 of7 Katz David A. 05/0112010 V. GFTS. (lndudes those lo spouse tud dependent children; see pp. 28-31 of filing instructions) [Z NONE (No reportable gifs.) SOURCE DESCRPTON VALUE 5. V LABLTES. (ndudes those of spouse and dependent children; see pp. 31 33 of filing instructions.) [{ NONE (No reportable liabilities.) CREDTOR DESCRPTON YALUECODE 5.
Date of Repurt Page 4of7 Katz David A. 05/01/2010 V NVESTMENTS and TR US TS - income. vttue, transactions <nctuaes those of sporie and dependent children; see PP 34-60 of filing instructions.) 0 NONE (Na reportable income, assets, or transactions.) _ A. B. c. D. Description of Assets ncome during Gross value at end Transactions during reporting period j (including trust assets) reporting period of reporting period - (!) (Z) () (3) (4) (5) Place "(X)" after each asset Amount Type (e.g., Value Value Type{e.g., Date Value Gain dentity of exempt from prior disclosure Code div., rent, Code2 Method buy, sell, rnmldd/yy Code2 Code buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private ---- ----- (Q-W) transation) (l) _J Leperc Corp nc fomcrly Pacific Place Ltd B Dividend K w Hartford Fund. SVCS GPP (s) None Sold 01/29/09 J Citigroup nc. (s) A Dividend J T srael Bond (4) A nterest Redeemed 12/16/09 K 5. Fifth Third Banksafe (4) A nterest K T 6. Eitprcss Scripts nc. (s) None J T 7. UMB Scout Worldwide Fund (S) A Dividend J T 8. Vanguard Total Ski Mkt-Vipcrs(S) A Dividend j T 9. RA, composed of security investment fund E Dividend 0 T Fifth Third 10. Vanguard Long-Term Bond B Dividend K T 11. Earthlink, nc. None J T Buy 08/11/09 J 1 QuantumCP None J T Buy 08/11/09 J 1 Web.Com Group None J T Buy 08/11/09 J 1 American Growth Fund D Dividend L T 15. Federated Strategic Value Team D Dividend M T 16. Touchstone Mid Cap Growth c Dividend K T 17. Vanguard Selected Value None Sold 09/25/09 K ncome Gain Cod: A =S 1.000 or less B =Sl,001-S2,SOO C =$2,SO -SS,000 D =$5,001 -SS,000 ' " "' -. (See Columns B and 04) F =$50,001 $100.000 G =$100,001 Sl,000,000 HJ =$1,000,001 - SS,000,000 H2 =More than $5,000..000 Value Co& J =$15,000 orless K =SS,001 $50,000 l =$50,001 $100,000 M =$100,00l -$250,000 (Se Columns Cl and 03) N =$250,00 - SS00,000 0 =$500.001 - $1,000,000 fl =Sl,000,001 $5,000.000 PZ '"5,000,001 - $25,000,000 Pl =$25,000,001 - SS0.000,000 P4 =More than SSll,000,000 Value Method Codes Q=Appraisal R =Cot (Rea Estate Only) S =Assessmet T =Cash Market (Se Column C2) U =Book Value V=Othcr W=Estited -1
Name &f Person Reporting Date of Report Page 5 of7 Katz, David A. 05/01/2010 V NVESTMENTS and TR u STS - income, value, transacfons (lnc/ades those of spouse and tkpemknt chilren; Set! pp. 34-60 of filing instructions.) D NONE (No reportable income, assets, or transactions.) ' A. Description of Assets (including trut assets) L _J B. c. D. ncome during reportng period Gross value at end of reporting period () Transactions during reporting period (1) () (3) (4) (5) Place "QC" afer each asset Amount Type(e.g., Value Value Type(e.g., Date Value Gain dentity of exempt from prior disclosure Code div., rent, Code2 Method buy, sell, mrndd/yy Code2 Code buyer/seller (A-H) or int.) (J-P) Code3 redemption) (J-P) (A H) (if private (Q-W) transaction) 18. Vanguard Short-Tenn nv None L T Buy 01127/09 J 19. Oppenheimer Div. MKT B Dividend L T 20. American High nc. Tr. A Dividend Sold 12/15/09 K 21. Diamond Hdl Large Cap None Sold 12/15/09 K 2 American Cap World G & c Dividend Sold 12115109 K 2 1. ncome Gain Codes:: A s1.ooo or less B -Sl,001 - $2,500 C -$2,SO $5,000 D =$5,001 SS.000 E =$15,001 550,000 (Sec Columns B aod 04) F $50,001 S00,000 O S!00,001-$1,000,000 Hl -Sl,000,001-$5,000,000 H2 =Moo: lhan $5,000,000 Value Codes J =S 15,000 or less K=$15,00l-$50,000 L-$50,001 S00,000 M uoo,001 siso,ooo (See Columns Cl and DJ) N =$250,001 $500,000 o-ssoo,001-s1,ooo,ooo Pl =$1,000,001-$5,000,000 P2 5,000,001 $25,000,000 P3 >=,000,001 - S50,000,000 P4 =Mo than SS0,000,000 Value Method Cos Q=Apprasa R =Cot (Rc:l Estr Ony) S Asssment T..ashMBrkct (See Column C2) U =Book Value V=O W=Estimated
Page 6 of7 Katz, David A. Date of Report 05/01/2010 V ADDTONAL NFORMATON OR EXPLANATONS. (lntlcateparto/report.)
Dale of Report Page 7 of7 Katz, David A. 05/01/2010 X. CERTFCATON. 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. 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. Si gnat NOTE: ANY NDVDUAL WHO KNOWNGLY AND WLFULLY FALS AND CRMNAL SANCTONS (S U.S.C. app. 104) FLNG NSTRUCTONS Mail signed original and 3 additional copies to: Committee on Financial Disclosure Administrative Offce of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544