Gerald E Rosen Financial Disclosure Report for 2009

8/3/2019 Gerald E Rosen Financial Disclosure Report for 2009

1/11

A o t o I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y t h e E t h i c sin Government Act o f 1978R e v . t /2 0 1 0 ] FOR CALENDAR YEAR 2009 0 U .S .C . app . t O t -Ha )I. Person Reporting (last nam e, fa~t, m idcl!e initial) 2. Court or O rganization 3. Date of ReportRosen, Gerald E. U.S. District Court 05/13~010

4. Title (Article Ill judges indicate active or scrtior status: 5a. Report T) pe (check appropriate type) 6. Reporting Periodmagistral jndges indicate full- or pan-time) [] Nomination. Date 01/01/2009U.S. Distxict Judge - Active [---I Initial ~ a ..... I I--] Final to12/31/2009

5b, [] Amended Repor~7. Chambers or Office Address 8. On the basis of the informat ion contained in this Report and anymodifications pertaining thereto, i t is , in my opinion, In compl iazzce

Roonl 730 with applicable laws and regulations.U.S. Courthouse231 West LafayetteDetroit, MI 48226 Reviewing Off icer Date

IMP OR TANT NOTE S: Th e i n s t ru c t i o n s acco mpan y i n g t h s f o rm mu s t b e f o l l o we~ L Co mpl e t e a l l par~ s ,check ing the N O N E box for each p ar t w her e y ou have no r epor table in forma t ion . A T gn on las tpage .

1 . P O S I T I O N S . e R o p o , , ~ i n d i v i du al o n l y; seepp. 9-13 of f i t lnR instructions. )~] NONE (No reportable positions.)

POSITION NAME OF O[~GANIZATIQN/ENT]T1. B oard of Directors Focus:H ope, Detroit, M ichigan2. Board of A dvisors George W ashington University. Law School, W ashington, D.C.

~ (No reportable agreements.)ONEDATE PARTIES AND TERMS

1 . 1 9 9 5 "l~e Rulter Group - Publication Agreementbe determined u~m publication.2 . 1 9 9 6 The W est Group - Publication Agreemcnl dated J anuary 1996. Royalties to be shared by aulhors in an am ount Io bedetermined upon p ublication.3 . 2 0 0 5 The Rulter G roup - Publication Agreement dated November 2005. Royalties to be shared by authors in an amotmt tobe determined upon publication.4 . 2 0 0 7 The M ichigan Baseball Ventures, LL C - See Part VIII. Additional Information


2/11

N ... . . . f P ..... Repo.tng ] Date of Repo.FINANCIAl., DISCLOS UR E RE PORT Ros~u, ~;~ra d ~.Page 2 of 1 1 0 5 / 1 3 / 2 0 1 0

l lI. NON-INVEST M ENT INCOME . tRe~or~ng~Zi, i~u~o~spo~e:~.A. Filers Non-lnveslment Income

NONE (No reportable non-investment income.,)DATE SOURCE AND TYPE INCOME(yours, not spouses)

I. 02/02/09 Royalties from Federal Civil Procedure/Federal Employment - W est $10,000.00Group2.02/24/09 Royalties from M ichigan Practice G uide: Enlbrcing Judgements!Debts $ 1 . 0 4(Full Set) - West G roup (8/08-1/09)3.03/19/09 Royalties from California Practice Guide: Federal Employment Litigation $540.79- W est Group (7/08-12/08)4. 03/24/09 Royalties from Fed. Civil T rial & Evidence - W est G roup (7/08-12/08) $ 1 , 7 6 3 . 8 35. 03/24/09 Royalties from Fed. Employment Litigation - W est Group (7/08-12,08) $175.136. 03/24/09 Royalties liom Fed. Civil Trial & Evidence (California Edition) - W esl $3,163.35Grou p (7!08-12/08)7.03/20/09 Royalties from Michigan Practice Guide: Civil Trials & Evidence - W est $102.90Group (8/08-1/09)8.03/20/09 RoyaIfes from M ichigan Practice Guide: Enlbtcing Judgments/Debts - $15.90West Group (8/08-1109)9. 08 /25/09 Royalties from M ichigan Practice G uide: Enforcing .~udgm entsiDebts $ 1 . 0 1(Full Set) - W est Group (2/09-7/09)10.07/01/09 Royalties fiom Calilbmia Practice Guide - W est Group (1/09-6/09) $781.851 1 . 0 9 1 2 3 / 0 9 Royalties horn Fed. Civil Trial & Evidence - W est Group (1/09-6/09) $ I 0 , 0 1 9 . 3 312.09/23/09 Royalties liom Fed. Employment L itigation - W est Crroup (1/09-6/09) $1,029.4913.09/23/09 Royalties from Fed. Civil Trial & Evidence (California Edition) - W est $3,520.72Group (I/09-6/09)14.09/18/09 Royalties from M ichigan Practice G uide: Civil ]rials & Evidence - W est $22855G r o u p ( 2 / 0 9 - 7 1 1 Y ) )

15.09/I 8/09 Royalties from Michigan Practice G uide: Entbrcing Judgment~Debts $14.63W est G roup (2/09-7/09)16. 10/29/09 Royalties from Federal Civil Procedure{Federal Employment - W est $5,000.0t)Group17.5/09-8/09 Adjunct Professor at Cooley Law School - Co mpensation for Teaching $7,000.00Evidence - Trinity Term18. 1/09-5/09 Adjunct ProI~.ssor at Wayne State U niversity Law S chool - $8,144.00Compcnsatoin tbr Teaching Evidence - W inter Session


3/11

F IN A NC IA L D IS C L O S U R E R E P O R T ~ , m , O f P c r s o . R ~ . p o r t i l lg D . t o f R e p o r t IIage 3 of 11 Rosea, Gerald E. 05/13/201019.9/09-12/09 Adjunct Professor at Wayne State U niversity Law School - $8,348.00Compensatoin for Teaching Evidence - Fallgession2 0 .

B . S p o u s e s N o n - ] n v e s t m e n t Iucome - l /you wer~ married during any porf fon o f the reporring year, corap le t this sec t ion.( D a l l a r a m o u n t n o t r ~ r q u i r e d e x c e l " ~ t . / o r h o n o r a r i a . )

NONE (No reportable non-investment income.)D A T E 5 O I J R C E A N D T Y P E

I,2.3.

4.

IV. REIMB UR SEM ENTS - -~r~,~,or,,~io~,( I n c l u d e s t h o s e t o s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p 2 . ~ - 2 7 o j f! l in g m s t ~ a t i o n s )[~] NONE (No reportable reimbursements..)

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED1 . AB A Committe on Law and April 24, 2009 W ashington DC S em inar S peaker Airfa~, TaxiNational Securily2. The Rutter Group June 3-5, 2009 S eattle, W ashington S em inar S peaker A iffare, M eals, T ax i, M eals, M ileage3.4.5.


4/11

FINANCIAL DISCLOSURE REPORT i~ ....., ....,po~,,,~ I io,te oepo"Page 4 of 11 I Ro~en, Gerald E. 05/1312010V . G I F T S . ( lnctuaes tsose to sp . . . . . . d dependent children; see pp . 2S-31 o f f i l ing instructions. )

N O N E (No reportable gifts.)

SOU-RCE DESCRIPTION ~I.2.3.4.5.

~-] N O N E (No reportable liabilities.)CREDITOR DESCRIPTION VALUE CODE

I. M arriolt Vacation Club International M ortgage on ] Time Share J2.3.4.5.


5/11

Ia m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tF IN AN CIA L D IS C L OS U R E R E P O R T] Rosen, Gerald E.

Page 5 of I 1 0 s / 1 3 / 2 0 1 oV I I. IN V E S T M E N T S a n d T R U S T S -

N O N E (No reportable income, assets, or transactions.)

De~ripfion of As~ts : Inc~me during Gross value at nd Transaclions d~ing ~~ing period(including t~s~ as~ts) reposing

P l a c c " ( X ) " a f t e r e a c h a s s ~ [ A m o u n ~ i T ) ~ e ( e . g , V a l u c Value T~e (g , [ Da~c I Value Gain I d e n t i ~ o fe x e m p t f r o m p r i o r d i s c l o s ~ e C o d e I d i v . , r c n L C o d e 2 M e t h o d b u y , s e l l . m~td&~)~ : C~2 Code I [uyer/seller( A - H )(Q-W) . :: .........[ ~ .... transaction)

1. National City Acco~ s - DeRo[t A Inler~[ K T2. [ I L ~ , N o . I

3. -Transacanada A Dividend K T4. -Nestles A Dividend K T5. -Natural Resource Partners A Dislribution J T6. -Goldcorp Inc. A Dividend Sold 09/09/09 J D7. Sold 09/24/09 J D( p a r t )8 . -Rogers Communication A Dividend K T9. -Kinross Gold Corp A Dividend Sold 09/09/09 J D(pan)

10 . Sold 09/24/09 J D(part)II. -MDU Resources Group A Dividend J T12 . -Group Danone A Dividend Sold 03/27/09 J A13 . -UBS PW Ret Money Fund A l)ividend Closed 03/18/091 4 . -M arshall & lsley Bank - Cash Equivalent A Dividend L T Open 03/18/09 J15 . IRA No. 2

16 . -Forest Oil Corp None .I T17 . -Shoppers Drug Mart Corp A Dividend


6/11

|FINANCIAL DISCLOSURE REPORT N .... [ P ..... R e p o r t i n g [ D a t e o f R e p o r tPage 6 of 1 1 Rosen, Gerald E . I 05/13/2010VII . I NV EST M ENTS a nd TRUST S - i. ....... ~ u , , t ......i o n s (Includes those o.f sp ...... d de pe nde nt c h i l d r e n ; s e e p p . 3 4 - 6 0 o / f i ti n g i n s t r u c t i o n s . )

[] (No reportable income, assets, or transactions.)O NE.................... DcscriptiA,~n of Assets .................. ~i C? .................. ~i ................i I n c o m e d u r in g . G r o s s v a l u e a t e n d T r a n s a c t i o n s d u r i n g r e p o r t : f ig p e r i c ~ l{ i n c l u d i n g t r u s l a s s e t s ) i r e p o r t i n g p e r i o d i o f r e p o r t i n g p e r i o dI~ )P l a c e " I . X ) " a f t e r e a c h a s s e t A m o u n t T y p e Va,uc / Value T y p e ( e . g . , O a , e Value G a i n l d c n ~ i ~ y o f

e x e m p t f r o m p r i o r d is c l o s u r e C o d e 1 d i v . . r e n t , i ~!l:12 M e t h o d b u y . s e l l , !m~!ddiD, Code 2 C o d e 1 b ycr!sd cr( A - H ) o r i m ) ! C o d e 3 r e d e m pt i o n ) i { J - P ) f A - H ) ( i f p r i v a t ei: (Q_-W) ......................... t r a n s a c t i o n )

1 8 . -Mariner Energy Inc None 2 T1 9 . -Fouodation Coal Holdings None Sold 0 5 1 1 2 / 0 92 0 . -Activision Inc. None Sold 10/28/09 K D2 I. -Agrium Inc. A Dividend Sold 0 9 / 2 ~ / 0 9 .1 D(part)2 2 . Sold 1 0 / 2 8 / 0 9 J D(part)2 3 . -Ensco International LTD S ponsored ADR A Dividend 3 T2 4 . -Costco Wholesale Corp A DMdend J T2 5 . -El Paso Electric Co. None J T26 . -Coco Cola FEMS A A Dividend Sold 05/05/09 K C2 7 . .Diageo None Sold 03/26/09 J2 8 . -Lockbcad Martin None Sold 03/27/092 9 . -Norfolk Sourthem A Dividend Sold 05/05/093 0 . -Salyamn Computer Sold 03/26/093 1 . -Conlroladora Comml I_ITS (X) None Sold 03/26/09 33 2 . -UBSPW Re t Money FD A Dividend Closed 03/18/09 J3 3 . -Marshall & lsley B a n k - Cash Equivalent A Dividei~d M T O p e n 03 /18 /09 J

3 4 . Ruth ItCh, No. I


7/11

FINANCIAL DISCLOSURE REPORT ~ .... f P ..... Reporting [ D a t e o f R e p o r tPage 7 of 1 1 Rosen, Gerald E.I

0 5 1 1 3 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i, ....... t.,. t ..... i o n s t i n c t . d e s t h o s e of sp ...... a d e p e n a e n t c h i l d r e n ; s e e p p . 3 4 - 6 0 off,lingNONE ~o reportable income, assets, or transactions.)

A. B. C. D.D e s c r i p t i o n o f A s s e ~ I n c o m e d u r i n g G ro s s v a l u e a ~ e n d T r a n s a c t i o n s d u r i n g r e p o s i n g(including ~st assms) repo~ing ~ri~ o f r e p o ~ i n g p e 6 o d

P l a c e " ( X ) " a f t e r e a c h . . . . t amoum / T~(e.g, [ Va l ue V a l u e T~(e.g., Date Value[ Gain [ Ident i~ofe x e m p t f r o m p r i o r d is c l o s u r e C o d e I d i v . , r e n t , [ Code 2 M e t h o d b u y . s e l l , m~d~ C o d e 2 Code I ~ buyer/seller( A - t l ) / o r i n t . ) [ (J-P) C,~e 3 r e d e m p t i o n ) ( J - P ) (A-H) ~ ( i f p r i v a t e~ - w ~ _~_ __ ,~.,~,~o,~ ....1/ / . . . . . . . . . . . . . . . . .3 5 , -E ldorado Gold N one So ld 09/09 /09 J D3 6 . -Marshall & lsley Bank Deposit Program A I n t e r e s t J T Open3 7 . RothIRA No. 2

3 8 . -Eldorado Gold None Sold 09/09/09 J D3 9 . -M arshall & lsley Bank- Cash Equivalent A Interest J T Open4 0 . Brokerage Account No. 1

4 1 . -Raytheon A Dividend J T4 2 . -UBSPW Cash Fund A Dividend Closed4 3 . Custodial Account No. I

4 4 . -Cisco Systems, Inc. None J T4 5 . -lntel Corp A Dividend J T4 6 . 529 Plan

4 7 . American Funds Capital World Growth & A Dividend K Tlnc 529C4 8 . Trust No. 1

4 9 . -Haslett MI Public Schools B Interest K T5 0 . -Genesse City MI Bldg. B Interest K T

5 1 . -Provident Energy Trust B Dividend J T

(See Column C2) U -B~k Value V = Other W =Estimated


8/11

FINANCIAL DISCLOSURE REPORT .~ .... fP .... R e p o r t i n g D a t e o f R e p o r tPage 8 of i 1 Rosen, G e ra ld E . 0 5 / 1 3 / 2 0 1 0

~ ~o reportable income, assets, or transactions.)O NEDescr)pnon of As~ ~ I n c o m e d u r u ) g [ G r o s s v a l u e a t e n d Tr~sactions during rc~mg period(including ~st assets) re~ing period ~ of ~ing pefi~

(0 (~ ) ~ O) ~) ~ O) (2 )Place"(X)"afr~c~ch as~t [ A m o u n l T~ (e .g , [ Value Value : T~ (e,g., D a l e Value ~ Gain I d c m i l y o fe x e m p t ~ o m p r i o r d i s c l o s u r e ~ C~e I d i v . , r e n t , ] C~e 2 Mc~h~ ~ b u y , s e l l , mm/d~ C~e 2 ~ C~e I b u y e r / s e l l e r(All) o r i n t . ) [ { J - P } C o d e 3 [ r e d e m p t i o n ) ~ {J-P) (A - t t ) ( i f p r i v a t e, ( Q - W ) ] i transition)5 2 , -~LA Money Fund A Dividend Closed 03/1~~ J5 3 . -Marshall & lsley Bank- C~h Equivalent A lntcr~t J T ~en 03/18/09 J5 4 . T~stNo, 25 5 . -Fronlier Comm unications A Dividend Sold 10/28/09 J5 6 . -Fomcnto Econ M exicano SAB Sponsored A Dividend J T Sold 1 0 ! 2 8 / 0 9 J DA DR (part)5 7 . -National Grid PLC A Dividend Sold 03/26/09 J5 8 . -Johnson&Johnson A Dividend J T5 9 . -JPMorgan Chase A Dividend Sold 06/17/096 0 , -Lumber Liquidators None B uy 0 4 1 1 7 / 0 9 .I(addl)61. Sold 09/24/09 J C6 2 . Sold 1 0 / 2 8 / O 9 J C6 3 . -Walt Disney A Dividend J T6 4 . -RMA Money M arket Portfolio (X) A I)ividcnd Closed 03/18/09 L6 5 . -M arshall & lsley Bank - Cash Equivalent A Inl.!Div. M T Open 03!18109 M66. Trust No. 36 7, - R I ~ L , ~ M o n e y F u n d A Dividend Closed 03/18/09 J68. -Marshall & lsley Bank - Cash Equivalent A lnteresl J T Open 03118 !09 J


9/11

Page 9 of ] l Rosen, Gerald E . 05tl3/2010Vl l. INVESTM ENTS and TRUST S - ~. ........ ~.e, t ..... ions (Inc ludes those o f ~pouse and depen den t ch i ldren; see pp . 34 4 0 o f Jd ing ins t ruc tions . )---] N O N E (NO reportable income, assets, or transactions.)

Descr iption of A ~ls ~ Income during Gross value at end Transaet lons during re~ing(incluaing ~st ~ets) ~ing ~6~ _ of relning p~od

Place "1X)" zfler each asset A~21~mt l~{e ~ Value ~ Value T~ (e.g., D n ~ e Value Gainl, Identi~y of~ ....

pt~rompriordi~closure Cdel ~ di t. C~e2 Method buy.~lI, m~d~yy C o d e 2 Codel Iuyer~~e,ler .......(A-It) or int.) ~J-P) C~e 3 redemption) (I-P) (A-II) (if privateIQ -W ) [ transaction)


10/11

FINANCIAL D IS C L O S U R E R E PO R T[ Rosen, Gerald E .age 10 of I 1 0 5 ~ 3 / 2 0 ~ 0

VIII. ADDITIONAL INFORMA TION OR EXPL ANATIONS. a,,ai~,,,,v,~olRepo,~)

I. Outside earned income shown in Parl II1 A was compuled in accordance with the guidance in S ection 3(b) of the Regulations of the Judicial Conference of theUnited S tates Under Title V I of the Ethics Reform Act of 1989 Concerning Outside Earned Income, Honoraria and Outside Employment.Section 3(b) states the following:(b) "Outside earned income" means all wages, salaries, commissions, professional fees, and payments and compensation of any kind for services rendered orto be rendered by the covered senior employee, less the ordinary and necessary expenses paid or incurred in producing the income, provided, however, that theliallowing shall not constitute earned income.

2. Part IlL Agreementsa.) Line 4 - To own interests in various minor league baseball franchises; net profit.~qosses are allc~cated with accordance with members shares3. Part VII. Investments and Trustsa.) Line 6 - G oldcorp Inc. holdings were completely liquidated in 2009 in two seperate sales, September 9, 2009 and September 24, 2009.b.) Line 9 - K inross Gold C orp holdings were completely liquidated in 2009 in Iwo sepemte sales, September 9, 2009 and September 24, 2009.c.) Line 21 - Agriurn, Inc. holdings were completely liquidated in 2009 in two seperate sales, September 24, 2009 and October 28, 2009.d.) Line 23 - On December 23, 2009 Ensco International Inc.s parent company reorganized under from a Delaware Corporalion to a U nited Kingdomcoq~oration changing its trading name to Ensco Intl Ltd. Sponsored A DR.e.) Line 42 - LIBSPW Cash Fund closed with a transaction involving less fl~an $1,000.00f.) Line 56 - Fomento Economico changed ils name to Fomento Economica M exicano, SAB Sponsored ADR on July 10, 2009.g.) Line 60 - Lumber L iquidalors holdings were completely liquidated in 2009 in two seperate sales, September 24, 2009 and October 28, 2009.h.) Line 69 - Michigan Baseball Ventures, LLC - V a~ue used is Tax B asis reported on Schedule K-I.


11/11

N a m e o f P e r so n R e p o r t i n g ] D a t e o f R e p o r tP a g e F IN A N C I A L I 1 o f I 1 D I S C L O S U R E R E P O R T R o s e n , G e r a ld E . [ 0 ~ / 1 3 / 2 0 ~ 0IX. CERTIFICATION.

1 certify that all information given above (including information pertaining to my spouse and minor or depen dent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutor)provisions permitting non-disclosure.! further certify that earned income front outside employment and hono raria and the acceptance of gifts which hav e been reported arc incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signatt

NOTE: ANY INDIVIDUAL W l lO KNOW INGLY AND WILFU LLY FALS II S R E P OR T M A Y B E SUB J E C i" T O C IV ILAND CRIMINAL S ANCTIONS (5 U~;.C. app. 104)

F IL I N G I NS T R U C T I O N SMail signed original and 3 additional copies to:

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

Gerald E Rosen Financial Disclosure Report for 2009

Documents

Transcript of Gerald E Rosen Financial Disclosure Report for 2009