frederick j kapala financial disclosure report for 2009

8/3/2019 Frederick J Kapala Financial Disclosure Report for 2009

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A o 1 o ] FINANCIAL DISCLOSURE REPORT s w a t , R e q u i r e d b y t h e E t h i c sin Government Act o/" 1978R e ~ , . 1 / 2 o ~ 0 ] FOR CALENDAR YEAR 2009 c :~ u . s . c , a p p . , ~ , ~ ~ c b - ~ ~ 0. Person Re porting (last name. first, middle initial) 2. Cour t or Organization 3, Date of ReportKapala, Frederick J. District Court, N I-3 Illinois 05/05/2010

4. Title (A rticle 111 ]~ges indicate active or se~ior status; 5u. Report Type (check appropriatc ~p) 6. Reporting Periodmagi$trale judges indicate [hll- or purl-time)[] Nomination, Date 01/01/2009

District Judge t _ _ _ a l - q I n i t i a l ~l-if] A n n u a l [] Final to12/31/20095b. [] Amended Report

7. Chambers or Off ice Address 8. On the b~s is of the information conta ined in th is Report and aoymodifica t ions perta ining there to , i t is , in my opinion, in compliance211 South Cour t Street with applicable laws and regulations.Rockford, IL 61101

Reviewing Officer Date

IM;POR TANT N OTES: The instructions accompanying this form must b e fallowe~L Complete all parts,checking, the NONE box for each part n,here you have no reportable information. Sign on lastpage.

1 . P O S I T I O N S . (Reporting individual on~v.; seepp. 9-13 offiling instructions.)~ N O N E (No reportable positions.)

P O SIT IO N NA M E O F ORGANIZATION!ENTITYI. Trustee Tr ~ s t # 1

Trustee Trust

, a l l I l l i l l o i S n o t - t b r - p r e f i t c o r p o r a t i o n

1 I. A G R E E M E N T S . (gep,,rei,,g indlvidual ,,tdy; see pp. 14-1a of filing instructlons.)~ NONfi L~0 reportable agreements,)

D A T E PARTIES AND TERMSI. 12/31/2009 State of Illinois Retirement System. pension benefits payable at retirement at or after age 55


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FINANCIAL DISCLOSURE REPOR T ! ~ " ...... f Persoa Reporting Date of Report [Iage 2 of 9 K a p a l a , Frederick J . 05/05/201t)1II. N O N - I N V E S T M E N T I N C O M E . t R w , , . i .g it,dividual and.,p ...... ; see~p. 17-2 4 tyffiling instructions.)A. Filers Non-Investment Incom e

NONE (N~ reportable non-investment income.)D A T E SOURCE AND TYPE INCOME

(yours, not spouses)I. 2009 State of Itlinois - Appellate Court Judge retirement payments $150,578. l 62.08/14!2009 George Daily - S~Ie of Automobile S14,000.003.

4.

B . S p o u s e s Non-Investment Income - 11),0. were married during any portion of the reporting year, complete this section.(Dollar amount not required ex cept for honoraria.)

[~ NONE (?Vo reportable non-investment income.)D A T E SOURCE AND TYPE

I. 1213 !/2009 Catholic Diocese of Rockford, substitute teaching

2.

3.

4.

IV . ~IMBURSEMENTS ....... p ...... i,,., t,,~gg.,,, ~ ,,,a, ....... i ..... ,.(l~mhates those to spouse and depet,~dent children: see pp. 25 27 of filing i~3o~ctlons.)

N O N E 6Vo reportable reimbursements.)SOUR CE D A T ES LO C A T I()N PI~POSE I T E M S P A I D O R P R O V I D E D

1.2.3.4.5.


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FINANCIAL DISCLOSURE REPOR T N .... fP .....Reporting D at eof R ep ortPage 3 of 9 K a p a l a , F r e d e r ic k J . 0 5 / 0 5 / 2 0 1 0

V . G I F T S . a n c t , , d e s a , o s * ~ t o s ; o u s e u n a a ~ : e , , d e n t c h i ld r e n ; see p p . 2 8 - 3 1 o l d l in g i ........ riot,s.)NONE (No reportable gifts,)

SOURCE DESCRIPTION V A L U E1.

3.

5.

"~v.~. LIABILITIl~C~l~o (Includes those of sp . . . . .. d depettdent children; see pp. 3 2-33 of f i l ing instructions,)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION VALUE COD~1 .2.3.4.5.


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FINANCIAL DISCLOSURE REPORT I n .... fP ..... R e p o r t i n g D a t e o f R e p o r ~Page 4 o f 9 Kapala, F r e d e r i ck J . 0 5 / 0 5 / 2 0 1 0

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

D e s c r i p t i o n o f A s s e t s [ I n c o m e d u r i n 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 ~ n g r e p o r t i n g p e r i o d(includiag t~st ~sets) ] r e p o r t i n g p e r i o d : of relning peri~P l a c e " ( X ) " a l l . . . . . . .. t ...... t A ...... t I Type (e.g., V alue V alue T y p e ( e . g .. [ Date ] Value Gain [ I d c n t i l y o fe x e m p t I ? o m p r i o r d i s c lo s u r e C o d e I d i v , . r e n t . C o d e 2 ~ Merh~ b n y . s e l l , ] m m / d d iy y ] C o d e 2 Code l b u y e r / s e l l e r~ ( A - H ) o r i r a . ) [ ~ J - p ) i~C o d e 3 r e d e m p t i o n ) J 0 - P ) (A-t0 ~ i f p r i v a t c~ ( Q - W ) ~ t r a n s a c t i o n )

1, Chase Bank accotm~ ~ l A Interest K T2. Elackhawk Bank account ~ 1 A I n t e r e s t K T3. Blackhawk Bank account # 2 A I n t e r e s t J T4. B ~ a c k h a w k B a n k a c c o u n t . ~ l 3 B Interest K T5. Amcorc Bank A cconnt li I A Inlerest K T6. A l p i n e B a n k C D A I n t e r e s t J T O p e n 12/20/09 J7. RJ Bank delx~sit program A Interest Closed 04/30/09 N8. Scottrade B ank deposit program A Interest M T Open 04;30/09 N9. Van Kampen Great Intl l~irms, series 28 - A Dividend Sold 0 3 / 0 3 ! 0 9 JCash \Vrap 5.5

1 0 . Ishares Tr S&P500 Grw None Sold 03/03/09 J1 I. lshares Tr S&P500 Value None Sold 03/03/09 J1 2. lshares I-r Msci EAFE II)X None Sold 03/03/09 J! 3. isharesTr Rus12000 Grow None Sold 0 3 / 0 3 : " 0 9 J

1 4 . lshares Tr Rusl 2000 Valu None Sold 03/03/091 5 , lshares Tr Rus] Midcap None Sold 03/03/091 6 . First Trust L a r g e - C a p G r o w t h ~ 1 1 3 A Dividend Sold 0 3 , " 0 3 ~ 0 91 7 . First Trust Large-Cap Value #13 A Dividend Sold 103/03/09


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INANCIAL DISCLOSURE R EP ORT ~ N . .. .. f ~ ~ . s o , u e p o . t ~ , ,~Page 5 of 9 K apala, Frederick J . 05/05/2 0VII. INVESTMENTS and TRUSTS - i.~o~ , ~,,~, ........ ,io,~ (Includes those of sp ...... d d e p e n a e n t c h i ld r e n ; s e e p p . 3 4 - 6 0 drilling

NONE (No reportable i~come, assets, or transactions.),~. ~ ~. j c. .D e s c r i p t hm o f A s ~ t s ~ I n c o m e d u r in g G r o s s v a lu e a t e n d I q ~ a n s a c l i a n s d u r i n g r e p o r t i n g p e r i o d

e l a c e " ( X ) " a f i c r e a c h a s s e ~ IAmou, , lI Type(e.g. V a h t c V a u e I " X , p c c . g Date Value (]aiB ]e x e m p t f r o m p r i o r d is c l o s u re C~ e d i v . , ~ n t , C o d e 2 M e t ho d buy sell m m i d t ~ y y i Ct~dc 2 Code I buvc~/sellcr(A-It) orint.) ] O - P } Code3 I r e d e m p t i o n ) ~ { J - P ) ~[A-H) ] ( [ f p f i v a t e................................. ~ ..... ~ ........... ..................... L ................ ~ ...................1 8 . Goldman Sachs Satellite Strategies Poa None Sold 03/03/09Fund

1 9 . Templeton Global Bond Fund A Dividend Sold 03/03/09 J20. Fi~t ~st Equip Income Select #13 A Dividend Sold 03/0V09 J21. First Trust ETF DB Slrateg~c Value Index None Sold 0 3 i 0 3 / ( ) 9 J2 2 . Harlford Bigh Yield Municipal Bond Fund A lnl~est Sold 03/03/09 K

[ 23 Wells Fargo Adv. Muni Bnnd A I n t e r e s t Sold 0 3 1 0 3 / 0 9 K2 4 . Principal lligh Yield Fund A Dividend Sold 03/03/09 J2 5 . Van Kampen Large CapGrowth 2008~ A Dividend Sold 03/03i09Te~2 6 . First T~st Targ~ Small-Cap 4Q08 Tc~ A Dividend Sold 03/03/09 J2 7 . First Tarsi Target Small-C~p 4Q08 Te~ A Dividend B uy 02/25/092 8 . Sold 03/03/092 9 . Sold 03/04/093 0 . First Trust lmernatitmal Port #t5 A Dividend Sold 0 3 / 0 3 1 0 93 1 . General Electric Company None B uy 03/03/09 L3 2 . B uy 03/04/09 M

3 3 . Sold 0 3 / 2 5 1 0 9 N G~ 0 7 / I 5 / 0 94 . Universal lnf~)tainmenl Systems Co~oration A Dividend J T B uy J


6/9

Iame of Person Reporting [ Date of Repor!P a g e F I N A N C I A L 6 o f 9 D I S C L O S U R E R E P O R T t K a p a l a , Frederick J"I

0 5 / 0 5 1 2 0 1 0

VII. INVESTMENTS and TRUSTS --i, ........... + , , , . , , ....... ,io.s (Includes those of sp ........ d dependent children; see pp 34-60 oN O N E ~ o reportabh+" incom++, assets, or transactions.)

Description of Asse~ ~ I ncome du r iag ~ Gross value at end Transact ions dur ing repos ing per iod( including trust assets) ] reponine period of repos ing per iod I

(A-H) or inL) (J-P) C ~ c 3 [ redemption) ~ (J-P) I ~A-H) (i f privale

35 . Be~shire Hathaway A Dividend B uy 05/06/0936 . Sold 08/28/09 M D

3 7 . Fairholme Fund A Dividend M T B uy 05/06/09 L3 8 . Trust # !, trustee and income beneficiary None .I T3 9 . - Dntgstore.com stock

40 . Trnsl # 2, trustee and income beneficiary None J T41 . - Drugstore,com stock

43 . - Freds, lnc. So|d 08/31/09 J A44 . - Time Warner, Inc. stock

45 . - Time Warner Cable Inc. stock Spinoff 03/27/09 J( t i om l ine 44 )- A OL I n c . Spinoff : 12/10/09 J6.

(from line 44) 47 . - Yamaha Gold luc B uy 09/t6 /09 J48 . l I /A # 2 A ]nt . !Div . K T

49 . - Drugstore.cotn s tock

50 . - CiliGroup51 . - General Motors Sold 07/01/09 J


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IFINANCIAL DISCLOSURE REPORT n .... tF .... Reporting Date of ReportPage 7 of 9 Kapala, Frederick J. 05/05/2010

VII.. INVESTMENTS an d TRUSTS - i.+o.,, v.t ......... .,.,io.s a . + l , , d , . , - , , o ~ o ~ . v . , . + . . . a~ NONE (No reportable income, assets, or transactions.)

A.............................................. ~7 ......I .........C7 ........~ .....Description of A ssets ln~ m e d u r ing j Gross value al end Transaclions during repoRhlg period(including trust assels) repoaing period [ of reposing periodPlace "(X)" aft .....assot A ..... Tvve le .g . , I Va h Jc Value l Typc(c.8 . , ? Datc +Value. Gainexempt from prior disclosure Code 1 d~v., rent, Code 2 Mclhod buy. sell, .(A-HI or inl.) ~ (J-P) ~ Code 3 redemption) ( A - H ) ~ (if private

52 . Real Estate # I, Winnebago County, Illinois N o n e [ I,( 2 0 0 + , + t 0 0 , 0 0 0 ) I53 . Real Estate # 2, Winnebago Counb,, Illinois N o n e K(2003, $25,000)54 . Real Estate # 3, Winnebago County, Illinois None L S

($60,349)55 , Real Estale # 4, Ashland County. Wisconsin None Dona ted($~9,80o)56 . Trust # 9, income beneficia~ N o ne Distributed


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N a m e o f P ~ r s o n R e p o r t i n g [ D a t e o f R e p o r tFINANCIAL D IS CL O SU R E R E PO R T[ ~p~ , ~ ,~d~ k .J .age 8 of 9

VIII . ADDITIONAL INFORM ATION OR EXPLANATIONS.

Part VII, Line 52 was purchased on Jtlly 12, 2005 for $100,000.Part Vll, Line 53 w~~ purchased on Sep|ember 15, 2003 for $25,000.Part VII, Line 54, the assessed value is $60,349.Part V1L Line 55, the assessed value is $19,800.Part V I1, Lilm 56, the assets of the Ira.st were thlly ex hausted during the year.


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N a 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 A N C IA L D IS C L OS U R E REPORTI r a p a l a , f r e d e r ic k a .age 9 of 9 o 5 / 0 5 t 2 o l 0

IX. CERTIFICATION.I certi~, that all information 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 any information uot reported was withheld becaose it met applicable statutory

provisious permitting non-disclosure.I further certify that earned income from outside employment and honoraria attd the acceptance of gifts which have beet; reported are it;

compliance with the provisions of 5 U,S.C. app. 501 el. seq. 5 U.S.C. 7353, and Judicial Conference regulations.

NOTE: ANY tNDIYqDUA L WH O KNOW INGLY AND W 1LFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MA Y B E SUILIECT TO CIVILAND CRIMINAL SANCqIONS (5 U.S.C. app. 104)

FILING INSTR UCTIONSMail 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

frederick j kapala financial disclosure report for 2009

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