by 1978 app. dow, jr., robet m. title (ticle repot 6. repoing peiod … · 2019-07-26 · sce d ype...

POSITION NAME OF ORGANIZATION/ENTITY

PARTIES AND TERMS

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2.

Report Required by 1he Ethier FINANCIAL DISCLOSURE REPORT In Government Act of 1978

FOR CALENDAR YEAR 2009 (S U.S.C. app. §§ 101-11 I)

2. Court or Organization 3. Dale of Report1. Pcnon Reporting (last name. first, middle initial)

05/1112010U.S. District Court, Northern District of 111inois Dow, Jr., Robert M.

D

Sa. Report Type (check appropriate type) 6. Reporting Period magistratejudges indicate full· or part-lime)

Nomination, Date

4. Title (Article Ul judges indicate active or senior status;

01/01/2009

toU.S. District Judge -- Active Status Initial Annual FinalD lZl D 12/31/2009

5b. Amended Report D 7. Ch•mben or Office Address 8. On the bull ofthe lnformat!Oll conto.iued In Ibis Report and any

modlfkatioftl pertainlnz thereto, It ii, In my opinion, In compliance with applicable laws and rezulatlons. E.M. Dirksen U.S. Courthouse

219 South Dearborn Street, Suite 1978 Chicago, IL 60604

Reviewing Officer Date

IMPORT ANT 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. Sign on last page.

I. P 0 S ITI 0 NS. (Rq10rtJ11g Individual only; see pp. 9-1 J of fU/ng Instructions.)

IZJ NONE (No reportable positions.)

I.

3.

4.

5.

"' =

--·

(.' . ( ' . L:.-; r •··

II. AGREEMENTS. (Repor,;,.g ln'1/.,ld1411/ only; supp. U-16 of filing ittsrr•clions.) c: ; -;-,--..:

IZJ NONE (No reportable agreements.) '·

_, I l

...., 1J I

··-··'1I. •, '

0 2.

3.

Dow Jr., Robert M.

SOURCE AND TYPE

SOURCE

SOURCE LOCATION PURPOSE ITEMS PAID OR PROVIDED

2.

FINANCIAL DISCLOSURE REPORT

of17

Name of Penon Reporting

Dow, Jr., Robert M.

Date of Repon

05/11120!0

JU. NON-INVESTMENT JN CQ l\tlE. (Reporting lndMdlUll tllld spouse; m pp. 17-U ofjiling lnstrucJionsJ

A. Filer's Non-Investment Income

[ZJ NONE (No reportable non-investment income.)

INCOME (yours, not spouse's)

I.

2.

3.

4.

B. Spouse's Non-Investment Income - Jfyo11 lt'Ott ma"uddurlnganyportlon ofthaeportlngytar, COlfljJ/'1� thl.uecrion.

(Do/Jar amount not nquired ucep1 for honoraria.)

D NONE (No reportable non-investment income.)

AND TYPE

l. 2009 Bailey & Glasser LLP - self-employed attorney performing contract legal work to approx. March 2009; associate attorney at law firm after March 2009

2.

3.

4.

IV. REIMBURSEMENTS - transportation, lodg/ng,footf, enunolnmen

(Includes those ta spouse and dependent children: see pp. 25-27 of filing inslTllClions.)

[{] NONE (No reportable reimbursements.)

I.

3.

4.

5.

SOURCE DESCRIPTION

CREDITOR DESCRIPTION

YA LUE

YALUECODE

Date or ReportName or Peno1 Rcportln FINANCIAL DISCLOSURE REPORT

of17 Dow, Jr., Robert M. 05/11/2010

V, G JFTS. (lncluda those to spouse anddep•ndenl children; see pp. 28-J 1 of filing instructkns.)

[ZJ NONE (No reportable gifts.)

I.

2.

3.

4.

5.

VJ. LIABILITIES. (Inc/Ilda those ofspouS< 11nd dependent children; supp. 31-13 of filing Instructions.)

D NONE (No reportable liabilities.)

I. Chase Bank credit card

2. Target credit card

J

3.

4.

5.

c.

I

6.

I

{I)

(part)

13.

14.


ofl7

Name of Person Reporting

Dow, Jr., Robert M.

Date of Report

05/1112010

VII. INVESTMENTS and TR u STS - income, value, transaction• (lncluiks tltou of spoUJ• and dependent children; SU pp. Jl-6Q of filing instructio,,..)

D NONE (No reportable income, assets, or transactions.)

A. B. D.

Description of Asset& Income during Gross value at end Transactions during reporting period (including trust assets) reporting period of reponing period

(I) {2) {I) (2) (2) (3) (4) (5) Place "(X)• after each asset Amount Type(e.g., Value Value

exempt from prior disclosure Code! div., rent. Codc2 Method (A-H) or int) (J-P) Code3

(Q-W)

Type (e.g.,

buy, sell,

redemption)

Identity ofGainDate Value

buyer/sellermm/dd/yy Codc2 Code I

(ifprivall:(J-P) (A-H) transaction)

I. Northern Trust Bank accounts A Interest J T

2. Northern Trust Bank IRA (CD) A Interest J T

3.

4,

Prudential Individual Retirement Annuity

- GR ORO Fixed Bond Account Sold

(part) 118/09 J

5. Sold

(part) J/09/09 K

Sold

(part) 1/12109 J

7. Sold 1/14/09 J

8. Buy 1/16/09 J (add'!)

9. Buy 1/20/09 J (add'I)

10. Buy (add'I)

1121109 J

11. Buy (add'l)

1/22109 J

12. Buy 1123/09 J (add'!)

Sold 1/27109 K (pan)

Buy 1/28/09 J (add'I)

15. Buy 1/29/09 K (add'!)

16. Buy 1130/09 J (add'l)

17. Buy 212109 J (add'!)

J. Income Gain Codes: A •SI .000 or less B•Sl,001-$2.500 c-s2.so1. ss,ooo o -ss,oa 1 - s is,ooo E -su.001 - SS0,000 (Sec Columm Bl and 04) F •$50,001- $100,000 O•SI00,001 ·Sl,000.000 HI -s1.ooo.001-ss.ooo.ooo H2 •More 1haa SS.000,000

2. Value Cadet J •SlS,000 or le« K •SIS.001 - $50,000 t •$50,00 I - $I 00,000 M -s100.001-$2so.ooo

(See Columm Cl and DJ) N •S2SO.OOI - SlllD.000 o-ssoo.001. si.000.000 Pl •Sl.000,001 -$5,000.000 P2 -ss.000.001 • s2s,ooo.ooo

Pl -S2.S.000,00I -$50,000.000 P4 •Mon: thao $50,000,000 l. Value Mi:tbod Codes Q•Appnisal R -Cost (Real Est11e Only) S•A<s<,,,,_1 T -Cash Market

(See Column C2) U •Book V1luc V-<>ihcr W•Estimmd

I


of17

N1me or Person Reporting,

Dow, Jr., Robert M.

D1te of Report

05/11/2010

VII. INVESTMENTS and TRUSTS - tnco"'e. '"r,, •• transacttons r1nc1uda those of spous• and d•pendent children; see PP· u-60 of fitlnt 1nwuaions.J

0 NONE (No reportable income, assets, or transactions.)

A. B. c. D.

Description of Assets Income during Orosa value al end Tnmsaclions during reporting period (including trust assets) reyorting period of reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (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 l div., rent, Codc2 Method buy, sell, mm/dd/yy Code2 Code I buyer/seller (A-H) or inL) (J-P) Code 3 redemption) (J-P) (A·H) (ifpriV11te

(Q-W) transaction)

18. Sold 2/10/09 J (part)

19. Sold 2/11/09 J (part)

20. Buy 2113/09 J (add1)

21. Sold 2117/09 K (part)

22. Buy 2118/09 K (add'!)

23. Sold 4/14/09 K (part)

24. Sold 4115109 J (part)

25. Buy 4/17/09 J (add1)

26. Sold 4/20/09 K (part)

27. Sold 4127/09 J (part)

28. Buy 4/28/09 J (add'!)

29. Sold 4/30/09 J (part)

30. Sold 511109 K (part)

31. Sold 5/6/09 K (part)

32. Sold 518109 K (part)

33. Sold 5/12109 K (part)

34. Sold 6/3/09 K (part)

l. Income Gain Codes: A •$1,000 or i. .. B -Sl,001 • $2,500 C •$2,50 I • $5 ,000 D •$5.001 • SIS,000 I! o.$15,00I • SSO,tXXl (Sec Coh.nnt BI and D4) F •SS-0,00 I • SI 00,000 0-Sl 00,00 I • St ,000,000 Ill •Sl,000,001-SS,000,000 H2 sMon: !hon SS,000,000

2. VolueCodes J -SI S,000 or 1 ... K •$15,001 • SS0,000 L-SS0,001 • SI00,000 M •SI00,001 • S250.000 (See Colun>nS Cl md 03) N -mo,001 • ssoo,ooo o -ssoo,001 • s1,ooo,ooo Pl -$1,000,001-SS,000,000 P2 •SS,000,001 • $25,000,000

P3 -S25,ooo,001 • s o.000,000 P4 -Mon: than SS0,000,000 3. Value Method Codes Q•Appraisal R -cod (Real Estate Ooly) s •AJscssmc:rit T =Casb Martel

(Sec Columa C2) U sBookV1luc V"'°'11cr W sE>tiJUaled

I

I.;:,,

I i

I

36.

37.

40.

41.

42.

43.

47. (part)

48.

51.

Date of Report .Name of Pe .. on Reportia: FINANCIAL DISCLOSURE REPORT

of17 05/11/2010Dow, Jr., Robert M.

VII. INVESTMENTS and TR u STS - lncom value, trans1Jcdons (Includes those of spow• and depUtdenl children; see pp. U-60 offiling instruction$.)


A.

Description of Assets

(including trust assets)

Place "(X)" after each asset

exempt from prior disci<lsurc

35.

B. c. D. Income during Gross valoe at end Tran.oactions during reponing period

reponing period of reporting period

(I) (2) (I) (2) (I) c2> (3) (4) {5) Amount Type (e.g .• Value Value Type (e.g., Value Gain Identity of Code I div.• rent. Code2 Method buy. sell, Code 2 Codd buyer/seller

(A-H) or int.) (J-P) Code3 redemption) (J-P) (A-H) (if private (Q-W) transaction)

Buy 615109 K (add'I)

Sold (part)

6/12/09 K

Sold (part)

6/25/09 K

38.

39.

Sold (part)

Sold (part)

7/8/09

7n0/09

K

K

Sold 7130109 (part)

Sold 9110109 (part)

Sold 9/28/09

-· AST Money Market (X) Buy 1/8/09

K

L

N

J

44.

1 45.

46.

Buy (add'l)

l/9/09

Buy (add'l)

1/12/09

Buy (add'l)

1114109

K

J

J

Sold 1/16/09 J

Sold 1120109 J (part)

49. Sold 1121/09 J (part)

50. Sold 1/22/09 J (part)

Sold 1123/09 J (part)

I. Income Gain Codes: A-$1,DOOorlc:ss B"'St.(JOl-$2 C l,501-$5,000 o-ss.001-s1s,ooo E•SIS,001-150,000 (Sec Columos Bl nnd IH) F•S50.00l -SIOO,OOO O t00,001 ·Sl,000,000 HI -$1,000,001-s5.ooo.ooo H2 i..1ore than $5,000,000

2. Value Codes J -SIS,000 or leu J:.-SJS,001 -$.S0,000 L -s50,001- s100,ooo M •SI00.001-$250,000 (Sec Columns Cl and 03) N -US0,001 • $500,000 0=$500,001 • Sl,000,000 Pl u.000,001 • ss.000,000 n -ss.000.001 -us,000.000

1'3 •S2S,OOO.OOI -SS0,000,000 P4 =Mon: than SS0,000,000 3. Value Method COO.. Q=Appqisal R -COst (Real Esllle Only) S •Assessmcat T -C..Sb Market

(See Column Cl) U•Sook Valoe V=Otber w -Estimaltd

I '

I

c.

(I) Type (e.g .•

52.

54.

(part}

(part)

59.

(part)

Date or Report Name of Pel'50D Reporting FINANCIAL DISCLOSURE REPORT of17 05/J 1/2010 Dow, Jr., Robert M.

VII. INVESTMENTS and TR u STS - inebme, value, 1muactio1u (Includes those of spouse and dqiendcnl children; ... pp. U-60 of filing lnstr11ctums.)


B.A. D. Income during Gross value al end Tran&attions during reporting period Description of Assets i

C>freporting period (including trust assets) reporting period I (3) (4) (S)

Value Value Value GainType (e.g.. Date Code I Code2 buy, sell, div., ten!,exempt from prior disclosure Method

(1)

ldMyy Code2 Code I buyer/seller

(A-II) orint) Code3 (if private redemption) (J-P)(1-P) (A-H) transaction)(Q-W)

Buy 1/27/09 K (add'I)

(1) (2) (2) (2) AmountPlace "(X)" after each asset Identity of

53. Sold 1/2&'09 J (part)

Sold 1129109 K (part)

55. Sold l/30/09 J

56. Sold 212/09 J

57. Buy (add'!)

2110/09 J

58. Buy (add'!)

2/l l/09 J

2/13/09Sold J (part)

60. Buy (add'I)

61. Sold (part)

62. Buy (add )

63. Buy (add'l}

64. Sold (part)

65. Buy (add'!)

66. Buy (add1)

67. Sold

2117/09

2/18/09

4/14/09

4/15/09

4/17/09

4/20/09

4127/09

4128109

K

K

K

J

J

K

J

J

68. Buy 4/30/09 J (add'!)

I. Income O.io Codes: A-Sl,OOOor icsl B -$1,001 - $2.SOO C -S2,S01 - SS,000 D-SS,001 • !IS,000 E =SlS.001 -SS0.000 {See Cohmm• Bl aod 0'4) F-SS-0,001 - SI00.000 G -$100,001-Sl,OOO,OOO m -s1.ooo.001 - $5,ooo,ooo H2 -More than SS,000,000

2. Value Codes l •S 15,000 or leas K-Sl5,001 - $50,000 L•$50,001-$100.000 M •SI00,001 - $250,000 (See Columm Cl ood 03) N •$250,001 - $500,000 O-SS00.001 • Sl,000,000 Pl •$1,000,001 • $5,000,000 r2 =$5,000,001 - S25,ooo,ooo

Pl ·Sl5,000,001 • SS0,000,000 P4 •Moro tbao $50,000,000 3. Value Method Code1 Q•Appraisal R -CO (Real Estate Only) S •A>semneDI T-Casb MAl'<ct

(See Column Cl) U 9look Value V...othcr w =Estimo!ed

J


ofl7

Name of Person Reportini:;

Dow, Jr., Robert J\I.

Dale of Report

05/l InOIO

VII. INVESTMENTS and TRUSTS - incomo, val1u, transaction• (Indudu those ofspous 11.nd d•ptndenl children; SU pp. 34-60 of filing instruction<.}


A. B. c. D. Description of Assets Income during Gross value at end Transactions dwing reporting period (including trust assets) reporting period of reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (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 1 div., rent. Code 2 Method buy, sell, mmldd/yy Code2 Code I buyer/seller (A-II) orinl) (J-P) Code3 redemption) (J-P) (A·H) (ifpriVllte

(Q-W) transaction)

69. Buy 511/09 K (add'!)

70. Buy 516109 K (add'l)

71. Buy 5/8/09 K (add'l}

72. Buy 5/12/09 K (add'!)

73. Buy 613/09 K (add'l)

74. Sold 615109 K (pan)

75. Buy 6/12/09 K (add'!)

76. Buy 6/25/09 K (add'l)

77. Sold 718/09 M

78. - AST Academic Strategics Asset M T Buy 7/8109 L Allocation (X)

79. Buy 7/13/09

(add'l}

80. Buy 7(].0109 J (add1)

81. Buy 7/30/09 J (add'))

82. Buy 9110/09 J (add'!)

83. Buy 9/28/09 J (add'l}

84. Buy 9128109 L (add'I)

85. - AST First Trust Cap Appr Target 0 T Buy 7/8/09 M Portfolio (X)

I. Income: Gain Cnde1: A =I 1.000 or len B •Sl,OOt - s2.soo C •Sl.501 • $5,000 D•U.001 ·Sl5.000 E=Sl5.00l-Sl0.0llO (See Columns BI ond 04) F •S50.00I. $100.000 C -SI 00,00 I • S 1,000,000 HI ·Sl,000,001 • S5,000,000 H2 -M th•n S5.000.000

2. Value Codes J •S 1,,000 or less K. =SU,001 • S50.000 L-SS0,001 ·SIOO.OOO M •SIoa.oo I • $250.000 (Sec Columns Cl and 03) N •llS0,001 • $500,000 O •SS00,001-$1,000,000 Pl -$1,000,001 -SS,000,000 P2 •SS.000.001 -S25.000.000

Pl •llS.000,001 - SSD,000.000 P4 •More 1bao SS0,000.000 3. Value Method Codes Q•Appnisal R (Real &tole Only) S •Asscssmen1 T =Cash Miirkct

(Sec Column C2) U •Book Valuo V-othcr w •Estimated

A.

I

I

(2) (3)

93.

98.

99.

Date of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT of17 Dow, Jr Robert M. 05/11/2010

VII. INVESTMENTS and TRUSTS -income, valu .. INlnsocdons (lnchldes tho .. of spo e and dependent children; SH pp. 3'-f>O of filing lns1rue1lons.)


B. C. D.

Description of Assets Income during Gross value at end Transactions during reporting period

(including trust assets) reporting period of reporting period

Value ValueDateAmount Value Gain Identity of Type (e.g.•Type (e.g.,Place "Q()" after each asset Code I Method buy, sell, C00e2div., rent, Code2 mmlddlyy Codcl buyer/sellercxompt from prior disclosure I(A-H) Code3 redemption)orinL) (if private (J-P)(J-P) (A-H) I

transaction)(Q-W) __L____

(I)(I) (2){I) (2) (4) (5)

86. Buy 7/13/09 K (add'!)

87. Buy 7120/09 K (add'!)

88. Buy 7130/09 K (add'!)

89. Buy 9/10/09 K (add' I)

90. Sold 9128/09 J (part)

91. Buy 9/28/09 M (add'!)

92. llarris Bank accounts A Interest J T

GCG Mutual Fund

94. - American Funds Euro Pacific Growth A Dividend J T

95. -· American Funds Fundamental Investors TA Dividend 1

96. -·American Funds Small Cap World Fund A Dividend 1 T

97. -- American Funds Bond Fund of America A Dividend J T

-·American Funds Growth Fund of America A Dividend J T

GCG 529 Fund #I

JOO. - EuroPacific Growth Fund 529A A Dividend J T

IOI. - American Funds New Economy Fund A Dividend J T

102. GCG 529Fund112

1. locome Gaio Cod.cs: A •$1,000 0< ku B-Sl,001-$2,m C •Sl,501-SS,000 D •SS,001 - SI 5,000 E-$15,001-$50,000

(SccColumn1 Bl and D4) F•S:.0,00l ·SIDD.000 0 ·SI00,001 • Sl.000.000 HI ·Sl.000.001 -ss.000.000 tt2 =More than ss.000.000

2. Value Codes J -Sl5.000 01 lcu K •SlS,001 • $50.000 L =$50.001-SIOO.OOO M =$100,001 -$250,000 (See Column• Cl and DJ) N •$250,001 • l500.000 o-sm,001. s1.ooo,ooo Pl •$1,000.001 • SS,000.000 P2 -ss.000,001 • SJs,000.000

PJ -us.000,001. sso.000.000 P4 •Ma«: thBD $50,000,000 3. Value Method Codes Q-Ap""'lsal R-CO" (Real Est>ie Only) S •Assessment T-C03hMarid

(Sec Column C2) U•BookVolue V-Olber W •E<limatod

I r

I

America

lnde

!

I (I) (I)

(J-P) (A-H)

of17

D1tc of Report Name of Penoo ReportingFINANCIAL DISCLOSURE REPORT 05/J 112010 Dow, Jr., Robert M.

VII. INVESTMENTS and TRUSTS -lntbme, value. traruacJiom (Includes rhou ofspoiueand dependent children; see pp. 34--00ofjlling lnstrucdons.)


A. Description of Assets

(including trust assets)

B.

Income during reporting period

c. Gross value at end

of reporting period

D. Transactions during reporting period i

I

(I) (2) (2) (2) (3) (5)(4) Date Value Gain Identity ofValue Value Type (e.g., Amount Type {e.g .•Place "(X)" after each asset

Code I buy, sell, buyer/sellerCodc2 Code ICode2 Methoddiv., rent,exempt from prior disclosure mmldd/yy (A-H) redemption)or int) (J-P) CodeJ (if private

transaction){Q-W)

103. - American Funds Capital World Gil 529A A Dividend J T

104. --American Funds Growth Fund of A Dividend J T 529A

105. GCG 529 Fund #3

106. -- New Perspective Fund 529A A Dividend J T

!07. - American Fund3 Fundamental Investors A Dividend J T 529A

108. GCGFund#4

109. -American Funds Smal!Cap World Fund A Dividend J T 529A

110. -- American Funds Capital Income Builder A Dividend J T 529A

111. Podesta HSA Account

112. -- I Shares Dow Jones Select Dividend A Dividend J T Fund

A Dividend J T113. - I Shares TR S&P 500 Index Fund

114. First Community Bank Common Stock None K T

115. Sauk Valley Community Banlc Common Stock

A Dividend J T

116. MSJI, Inc. Common Stock None J T

I 17. Minnesota Life: Variable Adjustable Life lnsunmce

. ---i

A Interest ] T

118. Travelers: Variable Life Policy A Interest J T

A Dividend J T119. Northwestern Mutual Life Policy ---i

I. looomc Gain Codes: A-St,000 or ksa B-$t,OOl ·$2,500 C •S:Z.SOt • $5.000 D •U,00 t - SI S,000 E-=SU,001 • Sl0,000 (Sc< Columns Bl and 04) F •SS0.00 t • SI 00,000 0 •$100.001 -St,000,000 Ht •Sl,000,001- SS.000,000 H2 •More lhan $5,000,000

2. Value Codes J •$ 15,000 orion K ·$15.001 - $50,000 L -$50.001 • $100,000 M •$100,00t • $250.000

(See Columns Cl aod DJ) N •S2l0,00I • S.100,000 0 •$500,00t • St,000,000 Pt •St,000,001 • $5,000,000 P2 •S.l,000,001 • $25,000,000

PJ •$25,000,001 -Sl0,000.000 P4 -More than SS0,000,000

l. Value Mc:thod Codes Q•AppraiSll R -<:osi (Real Esta!<: Only) S•Aneument T-<:aob Marl<d (See Column C2) U •Book Volo< V=Otbcr W•Estirnat<d

> > I

I

I I

Dote of Rrport Name of Penoo Reporting FINANCIAL DISCLOSURE REPORT

of 17 05/1 WOlODow, Jr., Robert M.

VII. INVESTMENTS and TRUSTS - incom•, vatu•, rran•actiorrs <Inctud .. tho•• of •pouu and dep•ndeni children; ... pp. J4 o offitlng 1nsirucnon•J


A. D.c.B.

Gross value at end Transactions during n:porting period Dcsaiption of Assets Income during (including trust assets) of reporting periodreporting period

(l) (2) (I) (2) (5)(4)(3) Value Value Date Value Identity of GainType (e.g., Amount Type(e.g.,Place "(X)" after each asset (I)

(2)

Code I : buycrlscllcr or int)

buy, sell, Code2 Code I div., rent, Code2 Methodexempt from prior disclosure mrn/dd/yy redemption) (if private

(Q-W)

(J-P) (A-HJ(J-P) Code3 transaction)(A-H)

120. MetLife: Universal Life Policy A Interest J T

121. Hoskins Group LP--, p'ship

,, , invest

122. -- Financial Square Trust Prime Obligation FD Adrnin CL Fund

A Interest Closed 3/31/09 J

123. -Buffalo Jayhawk China Fund A Dividend ] T

124. Buy 3/13/09 J (add'I)

125. Buy 12/22109 ] (add'I)

126. -Alcoa Incorporated A Dividend Sold 3/5/09 J

127. -- Allstate Corp. A Dividend Sold 315109 J

128, -- Amgen, Inc. (Y)

129. -- Applied Materials, Inc. A Dividend Sold 3/5/09 J

130. - Archer Daniels Midland (Y)

131. -BPPLCADR A Dividend Sold 3/5/09 ]

132. - Chevron Corp. A Dividend Sold 3/5/09 ]

133. -- Cincinnati Financial Group A Dividend Sold 315109 J

134. -Citigroup Inc. (Y)

135. -- Friedman Billings Ramsey A (Y)

136. -- General £lectric Co A Dividend Sold 3/5/09 J

t. Income Gain Codes: A •St ,000 or k11 a -$1.001 -s2,soo C 3$2.501 - U,000 D-$5,001 • $15,000 E •$ 15,00 I • $50,000 (See Columns BI and 04) F•Sl0,001-$100,000 0•$100,001-Sl.OOO.OOO Hl •$1,000,001 -$5,000,ooO H2 •Morc tbon $5,000,000

2. Va.Jue Codes I -Sl5,000 or less I( •$15.001-150,000 L-S50,00l -Sl00,000 M Sl00,001 -$250.000 (See Colwnns Cl •nd DJ) N •$250,001 • $500.000 0 •$500.001 - s 1.000.000 Pl ooSl.000,001 • $5,000.000 P2 -$5.000.001 • $25.000.000

Pl •125.000.001 • 150,000.000 P4 •M= than $50.000,000 3. Vlllue Method Codes Q •Appraisal R -COil (Real Emtc Dilly) S -Aucssment T -Cosh Market

(Sec Column Cl) U •Book V1luc V--Olbu W•Estim>tcd

A. I

(4)

3/5/09

149.

Date of Report Name of Pcno11 Reporting FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - income. •at11e, 1ransact1mu <1ncu.des 1hou ofspora• and 11ependen1 children: supp. 14-60 of fuinx 1ns1ruc11on•J


D.B. c.

Gross value at end Transactions during reporting period Income during Description of Assets I of reporting period reporting period (including trust assets)

(I) (2)(l) (2) (I) (3)(2) (5) Plaec "(X)" after each asset

exempt from prior disclosure Amount Code I (A-H)

Type(e.g.,

cliv.,rcnt. orint.)

Value

Code2

(1-P)

Value

Method Codc3

(Q-W)

Type (e.g.,

buy, sell, red emption)

Date

mm/ddlyy

137. - GlaxoSmithKline Sponsored PLC AOR A Dividend Sold 3/5/09

138. - Grant Prideco, Inc. (Y)

139. ··Intel Corp. A Dividend Sold 315109

140. - Kinder Morgan Energy Partners Ltd. A Distribution Sold 3/5/09 P'ship Interest

141. - Lilly Eli & Co. A Dividend Sold 3/5/09

142. - Mentor Corp/Minn. (Y)

Value Codc2

(J-P)

Gain Code I

(A-H)

Identity of buyer/seller

(ifprivate

transaction)

J

J

I

]

143. -- Modine Mfg. Co. None Sold J

144. -- Newmont Mining Corp. None Sold 3/5/09

145. -- Pitney Bowes, Inc. A Dividend Sold 315109

146. -Schlwnbcrger, Ltd. A Dividend Sold 3/5/09

147. - United Technolo gies Corp. A Dividend Sold 3/5/09

148. -- V ecco lnstrs., Inc., Del. (Y)

J

J

J

J

- Johnson & Johnson A Dividend Sold 3/5/09 J

150. -AbboaLabs A Dividend Sold 3/5/09 ]

151. - Boeing, Inc. A Dividend Sold 2/27/09 J

152. - Conocophillips A Dividend Sold 3/5/09 J

153. - Costco Whsl Corp

J. Income Oain Codes; (Sec Columoo BJ .. d 04)

2. Value Codes

(Sec Columm CJ md DJ)

3. Value Method Codes

(Sec Columa C2)

A

A -S 1,000 or less F -sso,001 -s 100.000

J-SIS,OOOor less

N -nso.001 -S5oo,ooo

Pl •S25,ooo,oot • sso.000.000 Q•Appn.iul U •Book Value

Dividend

8-Sl,001. 1>2,500 O=SI00.001 ·Sl,000,000

K•SIS,001 -SS0,000

0 •$.500.001 - Sl,000.000

R -CO.. (Real Eststc Only) V-otbcr

Sold

c-s:z,sot - i;5,ooo

HI •St.000,001 -SS,000.000

L•SS0,001-$100,000 Pl =$1,000,00t • $5,000,000 N •More th.an SS0,000,000 S= t

W•&timatcd

3/5/09 J

D •Sl,OOt - Sl5,000 E =SI M<ll • Sl0.000

Hl •M0<e than SS,000,000

M •$100,001 -SZSD,000

Pl •$5,000,001 • $25,000,000

T=CasbMlllkct

I :

I ! i

J

I

I

(I} (I)

Q- sal U·Boo Volue

Dote of Report Name of Person Reporting FINANCIAL DISCLOSURE REPORT of17 05/11/2010Dow, Jr., Robert M.

VII. INVESTMENTS and TRUSTS - income,""'"'· trtursactiotU (Includes tho•e o/sp1uue and thpendtnl children; SU pp. U-60 of filing lmtructionJ.)


A. B. c. D.

Description of Asscu Income during G=s value at end Tninsactions during reporting period

(including trust assets) reponing period of reporting period

Value Value DaleType(e.g.,Amount Type (e.g.,Place "(X)" after each asset

(2} (I} (2}(2) (3) (S}: n Identity of Value Code I Codcl ! buyer/sellerbuy, sell, Codc2Method mmldd/yyCodc2div n:nt. exempt from prior disclosure (MI) (A-H} (if private redemption}orinl.) Codc3 (J-P)CJ·P)

transaction)(Q-W)

154. -DuPont (E l) De Nc:mours & Co. A Dividend Sold 3/5/09 J

155. -- Forest Labs Inc. Nooe Sold 3/5/09

156. -- Kennametal Inc. A Dividend Sold 3/5/09 J

157. -Limited Inc. A Dividend Sold 3/5/09 J

158. -Marathon Oil Corp A Dividend Sold 315109 ]

159. - Mlll'Sh & McLennan Inc. (Y)

160. - Microsoft Corp. A Dividend Sold 3/5/09 ]

161. -- PattetSon-Uti Energy Inc. None Sold 3/5/09 J

162. - Pfizer, Inc. A Dividend Sold 3/5/09 J

163. -- Royal Dutch Shell PLC-A DR A A Dividend Sold 3/S/09 J

164. - Swift Energy Co. None Sold 3/5/09 J

165. - Trinity Industries Inc. {Y)

166. -Unit Corp. None Sold 3/5/09 J

167. -- US Bancorp A Dividend Sold 3/5/09 J

16&. -- Weatherford Int'I Ltd. None Sold 3/5/09 J

169. -- Whole Foods Mkt Inc. None 315109Sold J

170. - Wilmington Trust Corp. A Dividend Sold 3/5/09 J

l. locomc Gain Coda: A •i 1.000 or las B -Sl,001-$2.SOO C..U,SOI -SS,000 D U.001 - SIS,000 E =S 15,001- $50,000 (S•c Colum.. Bl aod 04) f •$50,001- SI00,000 G=SI00,001- Sl,000.000 HI -$1,000,001-$5,000,000 H2 - than SS,000,000

2. Value coo .. l -SlS,000 or los K-SIS,001 - SS0,000 L-SSO.OOt • SI00,000 M -SI00,001 • $250,000

(Sec Columns Cl and 03) N •$250.001 • SS00,000 O =SS00,001 - Sl ,000,000 Pt •St,000,001 -$5,000,000 P2 -15,000,001 - SlS,000.000

Pl •$25,000,001 • $50,000,000 P4 ·Morc tbau sso.000,000 3. Value Method Codes R -COst (Real E!!aic Only) s Asscssmeot T -cash Market

(Sec Column C2) V-<>ther 'w-E.nimatcd

I

I c.

(I) (2) (2) (4)

3/5/09


of17

Name of P•noa Reportlag

Dow, Jr., Robert M.

DateofRtport

05/1112010

VII. INVESTMENTS and TRUSTS -incotnl!, v11111e. transactions (lnc1iu1n those of&poru• and dqundem children; •••PP. 1uo of filing 1nstructions.J


B.A. D. Gross value at endIncome during Transactions during reporting period Description of Assets of reporting period roporting period (including trust assets)

(1) (2) (3) (5)(I) Place "(X)" after each asset

exempt from prior disclosure

Amount Code I

(A-H)

Type (e.g.•

div•• rent. or int.)

Value

Codc2

(J-P)

Value

Method Code3

(Q-W)

171. - Wrigley Wm Jr. Co. (Y)

172. - Buffalo Intt:mational Fund #1449 A Dividend K T

Type (e.g., buy, sell,

redemption)

Date mmlddlyy

Value Gain Identity of Codc2 Code I buyer/seller

(J-P) (A·H) (if private transactie>n)

173. Buy 3113109 J (add'!)

174. Buy 12/22109 J (add'!)

175. -- Frontier Oil Corp. A Dividend Sold 315109 J

176. - Ico Inc. None Sold 3/5/09 ]

177. - Coeur D'Alene Mines Corp. Convertible A Interest Sold 315109 ] Note

178. - Kraft Foods Inc. A A Dividend Sold 315109 J

179. - Great Plains Energy Inc. A Dividend Sold 315109 J

180. -- Lions Gate Convertible Note A Interest Sold 315109 ]

181. -Calpine Corp. None Sold 3/5/09 ]

182. - Apache Corp. A Dividend Sold 3/5/09 ]

183. -Coca Cola None Sold 315109 ]

184. - Questar Corp. A Dividend Sold 315109 ]

185. - Newfield Exp! Co. None Sold J

186. Buffalo Balanced Fund (X) A Dividend K T Buy 3/13/09 K

187. Buy 6/18/09 J (add'!)

I. Income Gain Codes: A•Sl.OOOorlcss B-Sl.001-$2.500 c -$2,501 • $5,000 D ss.001-s1s,ooo E-Sll,001- $50,000 (Sec Columns Blond 04) F •SS0,001 • S 100,000 0 •St 00,001 -SI ,000,000 Ht •Sl,000,001-SS,000,000 112 MO<C lban SS,000,000

2. Valu<Codcs J -S IS,000 or Jen IC-SU,001 • $50,000 L-SS0,001-$100,000 M -SI00,001 • $2SO,OOO

(Sec Columns Cl and 03) N •SlS0,001 • $500,000 0•$500,001-Sl,OOO,OOO Pl •SI ,000,001 • $5,000,000 P2 =SS,000,001 • SlS,000,000 Pl •$25,000,001 -$50,000,000 P4 •Mon: lhaa $50,000,000

3. V oluc Mctbud Codea Q•Appnalsal R -co.i (Real Estate Oo!y) s •Asicmncot T -cash M.artct (Sec Column Cl) U Book Voluc V-()ther W•Ertima1ed

I

i

J

I

I

Dal< of Report N•me of Pcrsoa Rcpartlna: FINANCIAL DISCLOSURE REPORT


VII. INVESTMENTS and TRUSTS - tnr.om . val••. rransacttons (lnc1uw thos• of•pous• and dependent ch11itren: ... PP· J4-6o offiling 1nsrruct1ons.J


A.

Description of Assets

(including IJUst assets)

B. Income during

reporting period

c.

Gross value at end

of reporting period

D.

Transactions during reporting period

Place "(X)" after each asset

exempt from prior disclosure

(I) Amount Code I (A-H)

(2) Type (e.g.,

div., rent,

or inL)

(I) Value

Code2 (J-P)

(2) Value

Method

Code3 (Q-W}

(!) Typc(e.g.,

buy, sell, redemption)

(2) Dale

mm/dd/yy

(3) Value

Code 2 (J-P)

(4) Gain

Code I

(A-H)

(5) Identity of

buyer/seller

(ifpriVllle transaction)

188. Buy 9122/09 (add'!)

' 189. Buffalo Small Cap Fund (X) A Dividend K T Buy 3/13/09 K

190. Buy 12122/09 J (add1)

191. Buffalo Science & Technology Fund (X) A Dividend K T Buy 3/16/09 K

192. Buy 12122/09 J (add'!)

193. Buffalo Large Cap Fund (X) A Dividend K T Buy 3/16/09 K

194. 12/22/09 J (add'I) Buy

195. Buffalo USA Growth Fund (X) A Dividend K T Buy 3/16/09 K

196. 12/22109 JBuyI (add'l)

197. Northern Inst Tax-Exempt (X) A Interest J T Buy 3/16/09 K

I. Income Gain Codes: A •Sl,OOOollcn B s 1,00 I - S2.500 C 2.SOl -$.5.000 D •$5,001. Sl5.000 E •$15,001 • s .ooo (See Columns Bl Ind 04) F •SS0.00 I -$100.000 G •SI00.001 - SI 0000,000 HI •SI .000,001 - SS.000.000 H2 =More than SS.000.000

2. Value.Codes J •S 1 s.000 ., 1cu K •SIS,001 - SS0.000 L =$50.001 -$100,000 M •SI00.001- $250.000 (Sec Columnt Cl and 03) N •SlS0.001 - SS00.000 o -ssoo.001- s1.ooo.ooo Pl =Sl.000,001 -$5,000,000 Pl •S5.000,00I - SlS,000.000

Pl •$25,000.001 • SS0,000,000 P4 =M <ban $50,000.000 3. Value M<:!hod Codes Q•Appraisal R -COSS (R'41 Estate Only) s =A=smicnt T -Cash Markc:t

(Sec Column C2) U •Book Value V-other W•Estimat=

Explanatory I

197). Bejecn 2009, jds

share

N•me of Person Reporting Dllt or Report FINANCIAL DISCLOSURE REPORT


VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (lni!lt:aJepartofR•port.)

I. note concerning Hoskins Group LP (lines 121-185): ; . . . each owned 20% of the shares and were limited partners of Hoskjns

Group LP; were the general partners. On Man:h s; 2009, the partnership sold all of the individual stocks in their portfolio. They took a capital loss on every one of the stocks; hence, there were no gains to report in column 0(4) as to any individual stock. Apart from the Buffalo Jayhawk China FW1d (line 123) and the Buffalo International Fund (line 172), all of the assets of the Hoskins Group LP were sold in March 2009. The proceeds from the stock sales were

placed into the two existing Buffalo funds and five additional Buffalo funds (lines 186-196) and the Northern Tax-Exempt acc oun t (line March and July the of the p artnership were held in common in the Buffalo funds. In July 2009, the partnership dissolved and each of the received their share. . ·" .... . is now in a separate account in her name and remains allocated to the seven Buffalo funds and the Northern Tax-Exempt account

.. 2. Exp lanatory note concerning Prudential annuity product (lines 3-91): The Prudential account contains funds that previously had been invested in the Mayer Brown 40 I K and partner retirement accounts. The product has a guaranteed return option. which I elected. As a result, as the m arket fluctuated a great deal over the course of 2008 and early 2009, an algorithm pr ogrammed by Prudential triggered a large number of transactions that had the effect of transferring all of my assets into a single bond account (GR GRO). To simply the process (and my reporting of it), my advisor now has transferred all of the assets into two funds (lines 78 and 85) that arc not self-directed.

3. Lines 3, 93, 99, 102, 105, 108, 111, and 121 are headers for various funds -- the individual holdings of each fund, values, and transactions are reported in the lines below each header.

Name of Penoa Reportlo: Date of Report FINANCIAL DISCLOSURE REPORT

of17 Dow, Jr.. Robert M. 05/11/2010

IX. CERTIFICATION.

I certify that all lnfonnation i:IVen 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 ttithheld because It met applicable statutory provisions permitting non-disclosure.

I furtheF certify that earned Income from outside employment and honoraria and the acceptance of gifts which have been reported are In c ompliance with the provisions of S U.S.C. app. § 501 et. seq., S U.S.C. § 7353, and Judicial Conference regulations.

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSlFlES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVIL AND CRIMINAL SANCTIONS (S U.S.C. "PP· § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544

by 1978 app. dow, jr., robet m. title (ticle repot 6. repoing peiod … · 2019-07-26 · sce d ype...

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