jeffrey s sutton financial disclosure report for 2010

8/3/2019 Jeffrey S Sutton Financial Disclosure Report for 2010

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,40 I0Rev. 1/2011FINANCIAL D ISCLOSURE REPORT

FOR CALENDAR YEAR 2010Report Re quired by the Ethics

in Government Act o f 1978(5 U.S.C . app. ,~,~ 101-111)

I. Person R epor t ing ( las t name, f i r s t , middle in i t ia l)Sut ton, Jef f rey S.

4. Tit le (Art ic le I l l j u d g e ~ I n d i c a t e act ive or senior s ta tus ;magistrate judges indicate full- or pata-time)U.S. Circui t Judge

7 . C h a m b e r ~ o r O f f~ c e A d d r e s s85 Marcon i Bou l eva rdCo lumbus, OH 43215

2. Court o r O r ga n i z a ti onSixth Circui t Court of Appeals

3. Date of R e p o r t05/12/201 I

5a. Report Type (check appropriate type)] No m i n a t i o n , Date[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and anymodifications pertaining thereto, it is, in my opinion, in compliance

wi t h a pp l i c a b l e l a ws a nd r e gu l a t i on s .

R evie,~ing O~ficer Date

6. Repor t ing Per iod01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : T h e instructions accompanying this form must be followetL Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page .

I . P O S I T I O N S . t R e p o , ~ , g i ,a ~ v ~ d , a t o .~ : s e e r p . 9 - t 3 of filing instructions.)D (No reportableposit ions. )O NE

POSITION1 . Adjunc t Fa cu l ty2.

NAME OF ORGANIZATION/ENTITYThe Ohio State University College of Law

I I . A G R E E M E N T S . m , ~ , o , n ,g i . d ~ v ~ a u n t o , t y ; ~ , , ~ , ~ . 1 4 - 1 6 of filing instructions.)D N O N E (No reportable agreemen ts.)

1.19952. 19973.

DATE PARTIES AND TERMSOhio Pub l i c Em ployee s Re t i r emen t Sys t em ; ve s t ed r e t i r emen t a ccoun t .Oh io St a t e Teache r s Re t i r emen t Sys t em ; v e s t ed r e t i remen t a ccoun t .


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FINANCIAL DISCLOSURE REPORTPage 2 o f 8

N a m e o f P e r s o n R e p o r t in gSu t ton , J e f f r ey S .

D a t e o f R e p o r ~05/12/201 I

I II . N O N - I N V E S T M E N T I N C O M E . mepo rti.g i.divi~ua!o.dspouse; seepgA. F l i e r s N o n - I n v e s t m e n t Income

[] (No reportable income.)ONE non-investmentDATE SOURCE AND TYPE INCOME( y o u r s , n o t s p o u s e s )

1. 2010 The Oh io St a t e Un ive r s i t y Co l lege o f L aw $26,955.002.3.4.

B . S p o u s e s N o n - I n v e s tm e n t In c o m e - If you were married during any portion of the reportlng year, complete this section.(Do l lar am ount no t requ ired excep t fo r honoraria. )

~ (TVo reportable non-investment income.)O NEDATE

I . 20102.3.4.

SOURCE AND TYPEThe Columbus Academ y - t eache r

I V . R E I M B U R S E M E N T S - transportation, lodging, food, e n t e r t a i n m e n t( 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 ld r e n ; s e e p p . 2 5 - 2 7 o f f i l in g i n s t r u c ti o n s , )

[] (No reportable reimburseme nts.)ONES O U R C E DATES. L O CATIO N P UR P O SE ITEMS PAID OR PROVIDED

1 . The Fed e ra lis t So cie ty 2 /2 -3 /10 New H aven , CT Speech a t Ya le Law Transpo r t a ti on , Mea l s , Ro omSchoo l .2. Stan fo rd Law Schoo l 2/5-7 /10 Stan fo rd , CA Pa rtic ip a te in even t. T ranspo rta tio n , M ea ls, R o om3. Wi l l iams Co l l e g e 2/9-12/10 Wil l iamstown, MA Moot Cour t Compet i t ion . Transpo r t a ti on , Mea l s , Ro om4. Marque t te Unive r s i ty Law 4/6 -7 /10 Milwaukee , Wl Moot Cour t Comp et i t ion . Transpo r t a ti on , Mea l s , Ro omSchoo l5. Wil l iam & Mary Laxv Schoo l 9 /23 -26 /10 Wil l i amsburg, VA P artic ip ate in ev en t. T ran sp orta tio n, M eals, R oo m6. Wi l l iams Co l l e g e 10/21-24/10 Will iamstown, MA Speech a t Wi l l i ams Transpo r t a ti on , Mea l s , Ro omCo l l e g e .


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Name of Pe rson R eport ingSu t ton , J e f f r ey S .

D a t e o f R e p o r t05/12/201 I

7. SMU Ded m an Scho o l o f Law 11/19/10 Dallas, TX P articip ate in ev en t. T ran sp orta tio n, M ea ls , R oo m


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

D a t e o f R e p o r t05/12/2011

V . G I F T S . a n c l o d ~ those to spouse and dependent children; see p[~ 28-31 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.

2.

3.

4.

5 .

VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o f s p o u s e ond dependent children; see pp. 32-33 of filing instructions.)NONE (No reportable liabifities.)

CREDITOR DESCRIPTION1.2.

3.

4.5.

VALUECODE


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N a m e o f Person Report ingSutton, J e f f r e y S .

Date of R e p o r t05112/2011

V I I . I N V E S T M E N T S a n d T R U S T S - ~ . c o ,, , e , v a t u , , t ,a , ~ a n i o , ~ a . c l u d , ~ t h o s , o / s p o u s e u n a d e ~ , , n d o n t children: see pp. 34-60 of filing instructio.~)~ (No r epor table asse ts , orONE incom e, transactions.)

Description of Assets Income dur ing(including trust assets) r e p o r t i n 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 yp e ( e . g . ,exempt from prior disclosure Code I d i v . ,

[ ( A - H ) o r i n t . )

1 . Chase check i ng accoun t A In te re st

2. Fide l it y ca sh r e s e r v es accoun t A Interest

3. Ohio de f e r r ed comp p l an /S&P 500 I ndex A Div i dend

4. O h i o d e f e r re d c o m p p l a n - B o n d F u n d A In te re st

5. Fide l i ty I nv es tmen t Grade Bo nd Fund ( IRA) A In te re st

6. Fide l i t y Cash R ese rv es Mutua l Fund ( IRA) A In te re st7. Fide l i t y S e lec t Hea l t h Ca r e Mutua l Fund A Div i dend( IRA)8. Fidel i ty Spar tan .500 Index Mutual Fund A Div i dend( I R A )9. Fide l i t y S t r a t eg i c Bond Fund ( IRA) A In te re st

1 0 . F i d e l it y C a s h R e s e r v e s M u t u a l F u n d ( I R A ) A Interest

II . Fide l i t y Ma ge l l an Mutua l Fund ( IRA) A Div i dend

1 2 . Fide l i t y Ove r s ea s M utua l Fund ( IRA) A Div i dend

1 3 . Fide l i t y B lue Ch i p Mutua l Fund A Div i dend

1 4 . Fide l i ty Growth & I ncom e Mutua l Fund A Div i dend

1 . 5 . Vangua r d Oh i o Tax -Exemp t Money Ma rke t B In te re stFund1 6 . V a n g u a r d S & P . 5 0 0 I n d e x F u n d ( I R A ) B Div i dend17 . H o u s e ho l d F i n a n c e C o r p o r a t i o n b o n d s A In te re st

Gross value a t endof reporling period(I) (2)V alue V a lue

Code 2 M e t h o dO - P ) Code 3

( Q - W )

J T

J T

K TK TK TJ T

J T

J T

K TN T

Transactions during reporting period

(I) (2) (3) (4) (5 )T y p e ( e . g ., D a t e Value Gain I d e n t i t y o fbuy, sell, m m / d d , ~ y y Code 2 C o d e 1 buyer/seller

r e d e m p t i o n ) ( J - P ) (A-H) ( i f p r i v a t et r a n s a c t i o n )

Closed 12/01/10 JClosed 06/01/10 JClosed 06/01/10 J

Closed 12/01/10 J

Closed 01/01/10 J

Closed Ol/OI/lO J

Closed 12/01/10 J

1. Income Gain Codes: A =$1.000 o r less B =$1,001 - $2,500 C =$2,501 o $5.000 D =$5.001 - $15.000(Sc Columns BI and IM) F = $50 .001 - $100 .000 G = $100 .001 - $1.000.000 III = $1.000 .001 - $5.000 .000 112 =More than $5.000.000

2. Value Codes J =$15.000 or I~.~s K =$I 5,001 - $50 .000 L =$50.001 - $100.000 M ~ $ 1 0 ~ . 0 0 1 - $ 2 5 0 . 13 0 0(See Columr t s CI and D3) N =$250 .001 - $500.000 O = $50~.001 - $1.000 .000 P I =$1.000 .001 - $5.1)00.000 P2 =$5.000.001 - $25.000.000

P3 -$25.000.001 - $ 50.0~O.000 P4 =More than $50.0~) .0003. V a lue M ethod Codes Q =Appraisal R -~os l (Real Es t a t e Only ) S =Asses sment T =Cash Market

(See Colnr an C2) U -Book Value V =O lhcr W =E slim a tcd

E =$15.001 - $50.000


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

D a t e o f R e p o r t05/12/2011

N O N E (N o reportable income, assets, or transactions.)D esc r i p t io n o f A s s e t s T r a n s a c t i o n s d u r i n g r e p o r t i n g p e r i o d( inc lud ing t rus t a s se t . s )

P l a c e " ( X ) " a f t e r e a c h a s s e texempt from prior disclosure

I n c o m e d u r i n gr e p o r t i n g p e r i o d

(I) (2)A m o u n t T ype ( e . g . ,C o d e I div . , ren t ,( A - H ) or i n t . )

G ro 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 dO) (2)V a l u e V a l u e

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

T y p ~ (e.g. ,buy, sell,

r e d e m p t i o n )

(2) (3) (4) (5 )D a t e Value Gain I d e n t i t y o f

m m / d d ~ y y Code 2 Code I buyer/se lle r( J - P ) (A-tt) ( i f p r i v a t e

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

1 8 . Vanguard S& P 500 Index Fund1 9 . Admiral Treasury Money Mark et

20 . TIAA/CREF Retirement Plan

B

CA

DividendI n t e r e s t M

Int./Div. KTT

Closed 12/01/10

1. Income Gain Codes:(See Columns BI and IM)

2. Value Codes(See Columns CI and D3)

3. Value Method Codes( S e e Column C2)

A =$1.000 or lessF =$50,001 - $100,000J =$15.000 o lessN =$250.001 - $500.000P3 = $25,000.001 - $50.0(30.000Q =AppraisalU =Book Value

B=$1,001 - $2.500G =$100,001 - $1.000.000K =$15.001 . $50.000O = $ 5 0 0 . 0 0 1 - $ I , 0 0 0 . 0 0 0R = C o s t ( R e a l E s t a t e O n l y )V =Othe r

C - $ 2 . 5 0 1 -I I I =$ 1.000.001 - $5.000.000L = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 0 0PI =$1 , 000 .001 - $5 .000 .000P4 =M o r e l han $5 0 .000 , 000

D =$5.001 - $15.000112 =More Ihan $5.000.000M =$10~.001 - 1 2 5 0 . 0 0 0P2 =$5,000,001 - $25.000.000T =Cash Market

E =$15,00L - $50.000


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N a m e o f P e r so n R e p o r t i ngSu t ton , J e f f r ey S .

Date of R e p o r t05/12/201 I

VIII. ADDITIONAL INFORM ATION OR EXPLANATIONS. (Indicate part of reporh)Par t V l l . I nv es tmen t s and Trus t sI t ems 17 th rough 20 are p ar t of a t rus t.


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FINANCIAL DISCLOSURE REPORTPage 8 of 8

Name of Person Repor t ingSu t ton , J e f f r ey S .

Date of Repor t05/12/2011

IX . CERTIFICATION.I c e r t ify t ha t a ll i n fo rma t i on g iven ab ove ( i n c lud ing i n fo rm a t i on p e r t a i n i ng t o my spou se a n d m ino r o r d ependen t ch i l d r e n , i f a ny ) is

a c c u ra t e , t ru e , 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 f o r m a t i o n n o t r e p o r t e d wa s w i t hh e l d b e c a u s e i t m e t a p p l i c a b l e s t a tu t o r yp rov i s i on s p e rm i t t i ng non - d i sc lo su re .I fu r t he r c e r t i fy tha t e a rn ed i n com e f rom ou t s i d e em p loym en t a nd hono ra r i a a nd t he a c c ep t a nc e o f g i f t s which have be en r e p o r t e d a r e i n

comp l i a nc e wi th t he p rov i s i on s o f 5 U.S .C . a pp . 501 e t . se q . , 5 U.S .C . 7353, a nd Jud ic i a l Con fe r e nc e r e gu l a t i on s .

Signature: S/Jeffrey S. Sutton

N O T E : A N Y I ND I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A L L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LAND CR IMINAL SANC TIONS (5 U .S .C. app . 104)

C o m m i tt e e o n F i n a n c i a l D i s c l o s u r eAd m in i s t r a ti v e Of f i c e o f th e Un i t e d S ta t e s Cou r t sS u i te 2 - 3 0 1One Columbus Circle, N.E.W a s h i n g t o n , D .C . 2 0 5 4 4

jeffrey s sutton financial disclosure report for 2010

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