John M Rogers Financial Disclosure Report for 2009

8/3/2019 John M Rogers Financial Disclosure Report for 2009

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[ ~o lo 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 of 1978R e , , . t / _ O l O FOR CALENDAR YEAR 2009 0 u . s . c , a p p . , 6 ~ " l O ! - I 1 1 )I. Person Reporting (last name, firsr~ middle initial) 2. Courl or Organization 3. Date of ReportRogers, John M. U.S. Court of Appeals, 61h Cir 05.q/2010

4. Title (Article 111 judges iudicate active or senior status; 5a. Report Type (check ~pproprlate type) 6. Repor ting Per iodmagistrate judges indicate fu!l- or part-time)] Nominat ion. [)ate 01/01/2009

US. Circuit Judge -- Active [] Initial [] Annual [] l - i n a l to12/31/20095b. [] AmeadedReport

7. Cham bers ~w Office A ddress 8. O n the basis of the inform ation c onta ined In this Report and anymodifications pertaining thereto, i~ i s , in my o pinion, in complia~tce100 E. Vine Street, Suite 400 with applicable laws and regulati~nsoLexington KY 40507

Reviewing Off icer Date

1AIPORTAN T NO TES: The instructions accompanying this form m ust be followed. Complete all parts,checking the NONE bo.~c fi~r each part where ),ou have no reportable information. Sign on last page.

I . P O S I T I O N S . m , ~ o , , , , g individual onty; see pp. ~-13 of filing in~trt, cti,,ns.)~ N O N E (No reportable positions.)

POSITION NAM E OF ORGANJZATION!ENTITYI. Professor Emeritus University of Kentucky College of Law, Lexington KY

~ N O N E (No reportable agreements.)D A T E PARTIES AND TER~S : "~ ~ :

I. 07/31/01 Publishing a~eement with Aspen Publishers ~,d two co-auti]ors for an admmlstrat~]aw~._., ca~ok,, with~ ~% royaltyfor the authors. _ ~,. ..... ~

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FIN A N C IA L DISCLO SURE REPORT] Roger~, John 51.age 2 of 7 0 5 / 1 / 2 o 1 0

I lL N O N - I N V E S T M E N T I N C O M E . ( R o ~ , o r a. g individual andxpoase; setpp. 17-24 of filing instruction*.)A. Fliers Non-Inves |ment Income--] N O N E (No reportable non-investment income.)

DATE S OU R CE AND T YP E I NCOME(youls, not spouses)

1. 2009 Aspen Publishing Co., Book Royalties $2,818.992. 2009 University of Kentucky College of Law $~.,500.00

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 - If you were married during any portion of the reporting yectr, complete this section.(Dollar atnotmt not requirvd ~.~c~ptJ~r honoraria.)

[~ NONE (No reportable non-im, estment irurome.)D A T E S O U R C E A N D T Y P E

I. 2009 Kentucky World Trade Center

2. 2009 Chinese Cultural & Education Center of Lexington3.

4.

I R EI M B U RS EMENTS -- transportation, lodging, food, entertai ......(Includes thr,~e to spou,e and dc,l~emlent ,hildren," ~eet;p 25-2 7 off!!ing instru,:tions.~,~ N O N E (No r~portahle reimbursements.)

S O U R C E I)AT_.~ LO CATIO N[ PURPOS~ ITEMS PAID OR PROVIDED1. Universi ty of T ex~ks Law March 5-6, 2009 Austin, TX Clerkship Information Ttravel, hotel, meals.School Program

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3.

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FINANCIAL DISCLOSURE REPORT Na~ of P . . . . . R e p o r t in g D a ~ e o f R e p o r ~Page 3 of 7 Rogers, John M. 05/1, 2010

V . G I F T S . a . c t ~ a , s , h o . ~ , o s , o , s c . . a d , t ~ , a , . ~ chitdren; s e e p p . 2 ~ t - 3 1 o f f ! l i n g inst, uction~.)NONE (No reportable gifts.)

SOURCF~ DESCRIPTION V A L U E1 .2,3.4.5.

~] N O N E (No reportable liabilities.)C R E D I TO R DESCRIPTION VALU~ ~ODE

1.2.3.4.5.


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Ia m e o f P e r s o n R e p o r t in g D a t e o f R e p o r tFIN A N CIA L D IS C LOS U RE R E POR T] ro ~ e r s , J o h n M .

Page 4 of 7 0 5 m _ ~ o l 0V I I . I N V E S T M E N T S a n d T R U S T S - ~ . . . . . .. . . . l . e , r . . . . .. . ions (Includes those of , l~ . . .. and dep endent children; seepp. 34-60 of filing in*tructions.)

NONE ~o reportable income, assets, or oa~aclions.)A. B. ] C .D e s c r i p o o n o f A s s e l s I n c o m e d u r i n g .I Gross value al end[ Tr~sactions dunng rc~aing peri~( i n c l u d in g I m x t a s s e t s ) reporting perit~ . o f r c p o ~ i n g p e r i o d

Place"(XYaR ..... h .... i Am ount [ Zy~ ( g, / Value I Value [ T y p e ( e . g . , [ Date ] Value Gain ] ldentiU of.... pt,exn prior disclosure Code 1 ~ d~ ....... 1, / Code 2 ] Mel~od t buy. sell, ]m~Vd~w . C~e 2 Cone I I b u y e ~ / ~ e l l ~ r(A-B) / or int.) ] 0 - P ) [ Code3 I r e d e m p t io n ) t ~ ( J - P ) ( A - t t ) (ifpriva~

1. USAA Aggressive Gro~h Fund ( IRA) A Dividend L T2. TIAA retirement account E lnteres~ N T3. CREF retirement account N o e . e O T4. US Savings Bonds Series EE D Interest M T5. First Federal Bank savings acct A Interest J T

6. Smith Barney bank deposit account A Interest J T

iUSAA Subscribers Savings Account A Distribution J T

Central Bank Checking Account A Interest J T 9 . Legg Mason Parmers A ggressive Growth None Sold 10/23/09 J AF u l ~ d

1 0 . Legg Mason ParmersSmall Cap Value Fund None Sold 10/23/09 J A1 I . Lcgg Mason Partners Fundamental Value None Sold 10/23/09 J AFund1 2 . Legg Mason Partners Mid Cap Core Fund None Sold 10/23/09 J A1 3 . DWS Global Thematic Fund None Sold 10/23/09 .1 A

1 4 . Thomburg lnv Inc Builder Fund A Dividend Sold 1 0 / 2 3 / 0 9 J A1 5 . First Federal Batik CD #1 A Interest K T

1 6 . First Federal Bank CD #2 A Interest K T1 7 . ING VP Intermediate Bond Port - 1 I None J TI


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N a m e o f P e r so n R e p o r t i n g I D a t e o f R e p o r tFI NANCI AL DI S CLOS U R E R EP OR T Iage 5 of 7 Rogers, John M. [ 0511/2010VII. I N V E S T M E N T S a n d T R U S T S - ~ . ~ o m , . , . ,t , , , , .. . . . . ,i,,,, ( I n c l u d e s t h o s e of sp ...... d dependent t:hitdren; st, p p . 3 4 - 6 0 of filing instructSORS.)

[] (No reportable income, assets, orONE transactions.)

D a s c r i p t i o n o f A s s e t s i I n c o m e d u r in g Gross value at end [ " l r ~ a ~ s a c t io n s d u r in g r e p o r t in g p e r io d( i n c l u d in g t r u s t a s s e t s ) r e p o r t i n g p e r i o d o f r e p o ~ n g p e r i o d.... ~,) .......~ .......~; I-,++~ - 65 ..........07 -T 6; I ...........P l a c e " ( X ) " a l t e r e a c h a s s e t tMnount Type (e.g., V a lu e Value T y p e ( e . g . , Date I Value [ Gain I d e n t i ty o fe x e m p t fr o n t p r i o r d i s c l o s u r e Code ! I d i v . r e n t , C o d e 2 M e th o d I buy, sell, mm]dd/yy I Code 2 [ Code I I buyer/seller I! (A-H)I o r i r ~ t . ) ( J . P ) C o d e 3 r e d e m p t i o n ) ! ( J - P ) ( A - I t ) [ I , i f p r i v a t e+ ~ + i ( Q - W ) + t r a n s + e t i + n )

1 8 . ING VP Strategic Alloc Growth Port-1 None J T

1 9. American Balanced Fund R- 3 (ING faro) None J T2 0 . ING Van Kempen Com stock Pot~ -lnit None J T2 1 . G~-owth Fund of America R-3 (ING fam) None J T2 2 . EuroPacific G rowth Fund R-3 None K T2 3 . First Fedetal Bank CD #3 A Interest K T2 4 . First FcderalBank CD#4 A Interest K T Ba y 04/23/09 K2 5 . PIMCO Total Return Fund CI C PTTCX A Dividend .I T B uy 07/17/09 J2 6 . Alli~nceBem stein Lg Cap Gruwth Fd None J T B uy 10/26/09 JAPGYX2 7 . Blackrock Eq Div Fd cl A MDDVX None J T B uy 10/26/09 J

2 8 . Janus Perkins Sm Cap Val Fd c[ J JSCVX None J T Buy 1 0 , 2 6 / 0 9 J2 9 . Lazard Emerging Mkts [orl Fd LZEMX None J T B uy 1 0 1 2 6 / 0 9 Ji 3 0 . Western Asset Money Mkl Fd cl A LMTXX A Dividend J T Buy 10/26/09 J

3 1 . Nuvecn Trade;vinds Iml V~I. Fd c[ A None J T Bu y 10/26/09 JNAIGX3 2 . PIMCO Total Return Fd c. D PTTDX A Dividend J T Bu y 10]26/09 J3 3 . PIMCO Foreign Bond Fd cl A PFUAX A Dividend J T Bu y 10/26/09 J3 4 . TCW Sm Cap Growth Fd cl N TGSNX None J T Bu y 1 0 1 2 6 / 0 9 J


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Name of Person R eport ing I Date of ReportF I N A N C I A L DISCLOSUREREPORTPage 6 of 7V I II . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S.


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FI NA NCI AL DI S CLOS U R E R EP OR T Name of Person Reporting Dale of ReporlPage 7 of 7 a o g e r , , J o h . M . O - ~ / m O l 0

IX. CERTIFICATION.I certify that all iufornlation given above (including information pertaining to my spouse and minor or dependent children, if any) isaccurate, true, and complete to the best of my knowledge and belief, and that an)" information not reported was withheld because it met applicable statutoryprovisions permitting non-disclosure.I further certify that earned income from outside employment and honoraria and the acceptance of gifts which have been reported are incompliance with the prov isions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

Signature --1

NOTE: ANY" INDIVIDUAL W HO KNOW INGLY AN D WILFUI.LY FALSIFIES OR FALLS TO FILE Ti l lS REPORT MAY B E SUBJECT TO CIVILAND CRISIINA L SANCT IONS (5 U.S.C. app. 104)

F I L I N G I N S TR U C TI O N SMail signed original and 3 additional copies to:

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

John M Rogers Financial Disclosure Report for 2009

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