James S Gwin Financial Disclosure Report for 2010

8/3/2019 James S Gwin Financial Disclosure Report for 2010

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AO IORev. 1/2011FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 2 010Report Required by the Ethics

in Government Act of 1978(5 U.S.C. app. 101-111)

I . Person Rep ort ing ( las t name, f i rs t , middle ini t ial )G WI N , JA ME S S .

4. Title (Article I I I judges indicate a c t i v e o r senior sta tus;magistrate judges indicate full- or part-6me)

2. Court or Organizat ionN.D. OHI O

JUDGE, ACTIVE

7. Chambe r~ or Off ice AddressCARL B. STOKES US COU RT HOUSE801 WEST SUPERIOR AVENUECLEVELAND, OH 44113

3. Date of R e p o r t05/06/2010

5a. Repor t Type (check appropr iate type)] Nomination. D a t e[] Initial [] Annual [] Final5b. [] Amended Reporl8. On the basis of the information contained in thi s Repor t and any

m o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , i t i s , i n m y o p i n i o n , i n c o m p l i a n c e

6. Repor t ing Per iod01/01/2010

to12/31/2010

w i t h appl icable laws and regula t ions.

Reviewing O f f i c e r D a l e

I M P O R T A N T N O T E S : The instructions accompanying this form must be followeg Complete all parts,check ing the NONE box for each par t where yoa hav e no repor table in formatiot~ Sign on las t page.

I . P O S I T I O N S . m e ~ , o r , ~ ,g i ,d ~ v i a u a ~ o n ~ y ; s , , p p . 9 - 1 3 of filing instructions.)~] NONE (No reportable positions.)

POSITION NAME OF ORGANIZATION/ENTITY

2.

3.4.

5.

I I . A G R E E M E N T S . m , p o , i n ~ indlvidual only; see pp. 14-16 of f i l ing ins truct ions .)[~ NONE (No reportable agreements.)

DATE PARTIES AND TERMSI. At retirem STATE OF OHIO PUBLIC EMPLOYEE RETIREMENT SYSTEM. RIGHT TO RETIREMENT BENEFITS2.3.


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FINANCIAL DISCLOSURE REPORTPage 2 of 7

N a m e o f P e r s o n R e p o r t in gGWIN, JAMES S.

D a t e o f R e p o r t05/06 /2010

I l L N O N - I N V E S T M E N T I N C O M E . (Reporting individual andspouse; seepp. 17-24 of filing instructions.)A. Fi l er s Non-Inves tm ent Inco meD (No reportable income.)O NE non-investment

DATE SO U R C E AND TY P E INC O ME(yours, not spouses)I . Fall 10 Cleveland State Un iversity, Adjunct faculty salary $2 ,000.002.3.

4.

B . S p o u s e s N o n - I n v e s tm e n t I n c o m e - t f y o . were married during any portion of the reportlng year, complete this section.(Dollar a m o u n t not required except for honoraria.)~] (No reportable non-investment income.)O NE

DATE SO U R C E AND T Y P E1. Monthly INTERNATIONAL BUSINESS MACHINES, INC ,F~-~ ~ ~T pension2. Monthly ~ " .. _.~i~:~. [ .~i~~!. ~~!~] Inc. salary, bonus, restricted s tock3.4.

I V . R E I M B U R S E M E N T S - , ~ a .s ;o .a , lo ,, , lodging, food, en te r ta lnmen~(Includes those to spouse and dependent children; see pp. 25-27 of f i l ing instructions.)~-] NONE (No reportable reimbursements.)

2.3.4.5.

SO U R C E D AT ES LOC ATI ON P U R P O S E ITEMS PAID OR PR OVIDED


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FINANCIAL DISCLOSURE REPORTPag e 3 o f 7

Name of Person Repo rt ingGWIN, JAMES S.

Date of Report05/06 /2010

~] N O N E (No repo rtable gifts .)SOURCE DESCRIPT|ON

I.2.3.4.

5.

V A L U E

VI. LI ABIL ITIES. a,~,~,,,~o,, o/~eo~,N O N E (No rep ortable l iabil ities.)

CREDITORI.2.3.

4.5.

VALUECODE


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FINANCIAL DISCLOSURE REPORTP a g e 4 o f 7

N a m e o f P e r so n R e p o r t i n gGWIN, JAMES S.

D a t e o f R e p o r t05/06/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o , . e , , a t u e , tr a n s a . i o n $ andudes those o f s~ ,ouse and dependen t children; see p p . 3 4 - 6 0 of fil ing instructions.)N O N E (No reportable income, assets, or transactions.)

Descr ipt ion of Assets I n co me d u r i n g( inc lud ing t rus t a sse t s ) repor t ing per iod

(1) (2)P l a c e " ( 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 (e . g .,

e x e m p t fr o m p r i o r d i s c l o s u r e C o d e I div. , r e n t ,( A -H ) or in t . )

Gross value at en do f r e p o r t i n g p e r i o d

(1) (2)V a l u e Value

C o d e 2 M e t h o d(J-P ) C o d e 3(Q-w)

O)Type (e.g.,buy , se l l ,

r e d e mp t i o n )

Transact ions du r ing repor t ing per iod

(2) (3) (4)Date Value Gain

m t r d d d / y y C o d e 2 Code I(J-P) (A-H)

( 5 )I d e n t i t y o f

buyer/seller( i f p r i v a t e

t r a n s a c t i o n )

I. IBM common s tock (IBM)2. Galaxy m utual funds3 . Berkshire Hathaway common s tock (BRKA)4. Vanguard Total Stock Market Index Fund,tax deferred5. Merri l l Lynch m oney market fund

6. T.Rowe Price Mid-Cap Mutual Fund(RPMGX)7. ~ ~, common s t ock ,8. Fidelity Contra Fund , mutual fund (FCNTXI9. Lord Abbett MidCap Fund , mutual fund(LAVSZ)1 0 . Davis New York Ven ture Fund , mutual fund(NYVTX)II . Genera l Elec tr ic , common s tock (G E)

C Dividend N

A Dividend J

A Dividend M

A Dividend N

A Dividend K

A Dividend K

D Dividend N

A Dividend M

B Dividend L

A Dividend L

A Dividend J

T

T

T Variou purchTTTTTTT Sold 12/31/10

1 2 . Exxon (XOM)1 3 . Cam eo F inancia l Corp . , common s tock(CAFI)1 4 . Heinz , common s tock (HNZ)1 5 . Pf ize r , comm on s tock (PFE)1 6 . Briston Myers, common stock (BMY)1 7 . Cisco , common s tock (CSCO)

A Divid en d K

A Divid en d J

A Divid en d J

A Divid en d J

A Divid en d J

A Divid en d J

TTTT

TT

1. Income Gain Codes: A = $1,090 or less B = $1.001 - $2 .500 C = $2 .501 - $5,000 D =$5,001 - $ I(Se e Colu r rms BI and D4) F =$50.0OI - $100.O00 G =$100.0OI - $1,0~).0~) H 1 =$1,000.001 - $5.0~O.0~O H2 =More than $5.000.0~O

2. Value Codes J =$15,000 or less K =$15.001 - $50,0~0 L =$50.001 - $ 100,0~O M =$100,001 - $250,000(Se e Columns CI a nd D3) N -$ 250.0O I - $ 500.000 O =$500.001 - $1,000.0~0 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25.000.000

P3 =$25,000.091 - $50.000.000 P4 =More than $50,000,0~)3. Value Method Codes Q =Appraisal R =Cost (Real Estate Only} S =Asscssmcnl T :Ca s h Ma rke t

(Se e Column C2) U = Book Valuc V = O lhcr W = Estim ated

E =$15,001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 5 o f 7

N a m e o f P e r so n R e p o r t i n gGWIN, JAMES S.

D a t e o f R e p o r t05/06/2010

V I I . I N V E S T M E N T S a n d T R U S T S - i .c o , .e , , , o t u e , t r o . ~ a c , i o . s a . a .d e ~ 1 h o s e o / s p o . ~ e a n d a e p e . d e n t children; s e e p p . 3 4 - 6 0 of filing instructions.)N O N E (No reportable income, assets, or transactions.)

Descr ip t ion o f Asse t s I n co me d u r i n g( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d

(I) (2)P l a c e " ( 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 . g .,

e x e m p t fr o m p r i o r d i s c l o s u r e Code I d i v . , r e n t ,(A-H) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(i) (2)Value Value

C o d e 2 M e t ho d( J - P ) C o d e 3

( Q - W )

O)T y p e ( e . g .,buy , se l l ,

r e d e m p t i o n )

T r a n s a c t i o n s d u r i n g r e p o r t in g p e r i o d(2) (3) (4)

D a t e Value Gainm m /d d/y y C od e 2 Code I

(J-P) (A-H)I d e n t i t y o fbuyer/seller( i f p r i v a t e

uansac t ion)

1 8 . Walt Disney Co. , commo n s tock (DIS) A Dividend J1 9 . Microsof t Corp . ,comm on s tock (MSFY) A Dividend J20 . Farmers Nat iona l Bank , common s tock A Dividend J

(FMNB)21 . In te l Corpora tion , common s tock ( INTC) A Div idend J22 . Schwab Money Market Fund E Dividend PI23 . BB & T C orp. , common s tock (BBT) A Dividend J24 . Ci t ig roup , comm on s tock(C) A Dividend J25 . Chevron Texaco Co . , common s tock (CVX) A Dividend K26 . Conoco Ph i l l ips A Dividend K27 . Temple ton Dragon Fund A Dividend J28 . Fpa Cap i ta l Fund (FPPTX) A Dividend K29 . Morgan Stanley Asia Fund(APF) A Dividend J30 . JPMorgan Chase& Co .(JPM) A Dividend K31 . Public Square Partners , LLC A Dividend M32 .

33 .34 .

TTTTTTTTTTTTTU Bu y

Bu y(addl)Bu y(addl)Bu y(addl)

01/05/1009/12/10

09/14/1012/20/I 0

K

K

KK

I. Income Gain Codes: A =$1,000 or less B =$1.0~1 - $2,500 C =$2,501 - $5,000 D =$5.001 - $15.00~(See Coluvans B I and D-l) F =$50,001 - $100,000 G = $1 00 ,0 01 - $ 1,0 0~ .0 00 H I ~ $1 .0 00 ,0 01 - $ 5,0 ~0 .0 00 H2 =More than $5.000.000

2. Value Codes J = $15,000 or less K = $15,0~1 - $50,00 L =$50,001 - $100.000 M =$100,0~1 - $250.000(See Colum ns C I and D3 ) N =$250,001 - $500.000 O =$500,001 - $1,090,0~9 PI =$1,000,001 - $5.009,000 P2 =$5.000.001 - $25.000,000

P3 =$25.000.001 - $50.0~0,000 P4 =More than $50,0~0,00~3. Value Method Codes Q =Appraisal R =Cost (Real Eslale Only) S =Assessment T =Ca ,h Ma rke t(See C olum n C 2) U = B ook V alue V = O ther W =Estimated

E =$15.001 - $50.000


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FINANCIAL DISCLOSURE REPORTPage 6 of 7

N a m e o f P e rs o n R e p o r t i n gGWIN, JAMES S.

D a t e o f R e p o r t05/06/2010

VIII. ADDITIONAL INFORMATION OR EX PLANATIONS. a n ~ i c o , e p a r ~ o ~ r ~ p o , . ~Re ga r d i ng t he i nv e s t m e n t i n t he V a ngu a r d Fu nd , t h i s inv e s t m e n t i s m a d e t h r ou gh a n e m pl oy e r 4 0 1 p l a n sponso r e d .i "~ " ~ i ~ The y e a r l y s t a t u to r ymaximum is met in the fi rs t quarter al though we do not know the exact dates ofpurchasc.

Regard ing the Thr i f t Savings Plan Com mon Stock Index Fund , t h i s i nves tmen t i s m ade th rough an em ployer 401 p lan sponsored by the U .S. Cour t s. Maximumal lowab le deduct ions and purchases are made each m onth .Regard ing Schwab Money Market Fund (Par t VII , 24) th i s i nves tmen t i s a money market fund to w hich inves tmen t s are m ade re l a t ive ly f requen t ly and in f requen twithdrawls (checks pa id) occu r .


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FINANCIAL DISCLOSURE REPORTPage 7 o f 7

Name of Person Repo rt ingGWIN, JAMES S.

D a t e o f R e p o r t0 5 / 0 6 / 2 0 1 0

IX . CERT IFICATION.1 c e r t i f y t h a t a ll i n fo rm a t i o n g i v e n a b o v e ( i n c lud i n g i n fo rm a t i o n p e r t a i n i n g t o m y s p o us e a n d m i n o r o r d e p e n d e n t c h i l d r en , i f a n y ) i s

a c c u ra t e, t r ue , a n d c o m p l e t e t o t h e b e s t o f m y k n o wl e d g e a n d b e l i e f, a n d t h a t a n y i n fo rm a t i o n n o t r e p o r t e d wa s ~ i t h h e l d b e c a us e i t m e t a p p l i c a b l e s t at u t o ryprov is ions pe rmi t t ing non-di sc losure .I fu r t h e r c e r ti f y t h a t e a rn e d i n c o m e f ro m o u t s i d e e m p l o y m e n t a n d h o n o ra r i a a n d t h e a c c e p t an c e o f g i f t s wh i c h h a v e b e e n r e p o r t e d a r e i ncomp l iance wi th the prov is ions of 5 U .S.C. app. 501 e t . seq . , 5 U.S.C. 7353 , and Judic ia l Confe rence regula t ions .

Signature: S/JAMES S. GW IN

N OT E : AN Y IN D IV ID U A L W H O K N O W IN GL Y A N D W IL F U L L Y F A L S IF IE S OR F A IL S T O F IL E T H IS R E P OR T MA Y B E S U B J E C T T O C IV ILAND CRIMINAL SANCTIONS (5 U .S.C. app . 104)

Co m mi t t e e o n F in a n c ial D is c lo s u reAdm inis t ra t ive Of f ice of the U nited Sta tes Cou r tsSui te 2 -301One CoIum bus Circ le , N.E.Washington , D.C. 20544

James S Gwin Financial Disclosure Report for 2010

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