robert m dow jr financial disclosure report for 2010

8/3/2019 Robert M Dow Jr Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORT

FOR CALENDAR Y EAR 2010

Report Required by the Ethics

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

1. Person Re por ting ( las t name, f ir s t , middle init ial)

D ow , J r . , Robe r t M.

4 . T i t le (Ar t ic le 111 judges indicate ac t ive or senior s ta tus ;

magistrate judges indicate full- or part- time)

U.S . D i s t r i c t Judge - - Ac t i ve S t a t us

7 . C h a m be r s o r O f f i c e Ad d r e s s

E.M. D i rkse n U.S . Cour t house219 Sou th Dea rbom St ree t , Su it e 1978Chicago , IL 6 0 6 04

2. Court or Organization

U.S. Di s t r i c t Cour t , Nor the rn Di s t r i c t o f I l l i no i s

5a. Repor t Type (check appropr ia te type)

] Nomination, D a t e

[] lnilial [] Annual [] Final

5b. [] Amended Report

8. On the bas is of the informat ion conta ined in th is Repor t and any

modif ica t ions per ta in ing there to , i t i s , in my opinion, in compl iance

w i t h a p p l i c a b l e l a w s a n d r e g u l a t io n s .

Reviewing Office r Date

3. Date o f R e p o r t

05/13/2011

6. Report ing Pe riod

0 1/0 1 /2 0 10

to

12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this fortn tnust be followed. Complete all parts,

checking the NON E box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . r R e , o , in g i .d i v l d . u t o . V ; s e e p p . 9 - , o I ~ t i .g instructions.)

~] NONE (No reportabIe positions.)

POSITION

2.

3.

4.

5.

N A M E O F O R G A N I Z A T I O N /E N T I T Y

I I . A G R E E M E N T S . r R ~ p o n l .g i . d iv i a u a l o . ly ; s ~ p p . ~ 4 - ~ o f ~ l i .g instructions.)

~-] N O N E (No reportable agreem ents.)

DATE PARTIES AND TERMS




of 9

N a m e o f P e r s o n R e p o r t in g

Dow, Jr., Robert M .

Date of Report

05/13/201 I

I l L N O N - IN V E S T M E N T I N C O M E . ~Rcp o~ing i .d iv idual and spouse; see pp . 17-24off!linginstructionsO

A. Flier’s Non-lnvestme nt In co me

~ (No reportable non-investment income.)ONE

DATE SOURCE AND TYPE

2.

3.

4.

INCOME

(yours, not spouse’s)

B . S p o u s e ’ s N o n - I n v e s t m e n t I n c o m e - tf yoa were ma rried during any portion of the reporting year, complete this section.

(Dollar a m o u n t not required except for honoraria.)

~ N O N E (No reportable non-investment income.)

D A T E SO U R C E A N D T Y P E

1. 2010 Bai l ey & Glas s e r LLP - - s a l a ry a s a t t o rney a t l aw f i rm

2.

3.

4.

I V . R E I M B U R S E M E N T S - transportation, lodging, food, entertalnmenL

(Includes those to spouse and dependent children; see pp. 2 5-27 of[iling instructions.)

D NONE (No reportable reimbursements.)

3.

4.

5.

SOURCE DATES LOCATION

Pra c t i c i ng La w Ins t i t u t e 5 / 23/ 1 0 t o 5 / 24 / 1 0 Ne w Yo rk , NY

PURPOSE

C L E p r o g r a m o nin t e rna t iona l a rb i t ra t i on ;s e rved a s moot cou r t judge

ITEMS PAID OR PROVIDED

Transportation, meals, hotel



F IN A N C IA L D ISC L OSUR E R E P OR T

of 9

Name of Person Reporting

Dow, Jr., Robert M.

Date of Report

05/13/2011

V . G I F T S . a n c t u d e s t h o s e t o s p o u s e a . d d e p e . d e n t children; see p p . 2 8 - 3 1 of Jiling instructions.)

[ N O N E (No reportable gifts.)

SOURCE DESCRIPTION

1 .

2.

3.

4.

5.

VALUE

V I . L IA B I L I T IE S . a n e t u d e s those of spouse and dependent children; see pp. 32-33 of filing instructions.)

D NONE(No reportable liabilities.)

C R E D I T O R

1 . C h a s e B a n k cred i t ca rd

2. T a rg e t c re d i t c a rd

3.

4.

5.

DESCRIPTION V A L U E C O D E

K

J



F IN A N C IA L D ISC L OSUR E R E P O R T

of 9


DOW, Jr., Robert M.

Date of Report

05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S -income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of f!llng instructions.)

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

A. B. C.

D e s c r i p t i o n o f A s s e t s Income during G r o s s v a l u e a t e n d

( i n c l u d i n g t r u s t a s s e t s ) re po r t i n g p er i o d o f re po rt i n g p er i o d

(1 ) ( 2 ) (1) (2)

Place "(X)" after each asset A m o u n t Type (e.g., V a l u e Value

exempt from prior disclosure C o d e 1 d i v . . r e n t . C o d e 2 M e th o d(A-H) o r i n t . ) (J-P) C o d e 3

( Q - W )

(1)Type (e.g.,

b u y , s e 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 i n g p e r i o d

(2) (3) (4)

D a t e V a l u e Gain

m m/d d/yy Co de 2 Co d e I

( J - P ) ( A - H )

( s )Identity of

b u y e r / s e l l e r

(if private

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

1. Northern Trust Bank accounts A I n t e r e s t J T

2. N o r t h e rn T r u s t B a n k I R A ( C D ) A In te re st J T

3. Prudential Individual Retirement Annuity

4. - - A S T A c a d e m i c S t r a t e g ie s A s s e t N o n e M T S o l dAl loca t ion (par t)

5. Bu y

( a d d ’ l )

6. S o l d(par t)

7. Bu y( a d d ’ l )

8. Bu y

( a d d ’ l )

9. - - AST Fi r s t Trus t Ca p Appr Ta rge t N o n e O T S o l dPor t fo l i o (par t)

1 0 . Bu y(add’ l )

I 1 . S o l d(par t)

1 2 . Bu y( a d d ’ l )

1 3 . B u y

( a d d ’ l )

1 4 . - - AST Bon d Po r t fo l i o 2 02 0 (X) N o n e K T Bu y

05/20/10 K

06/17/10 K

06/29110 K

07115/10 K

09/20/10 L

05/20/10 M

06/17/10 L

06/29/10 M

07/15/10 L

09/20/10 L

05/20/10 M

1 5 .

1 6 .

1 7 .

Sold 06/17/10 L(par t)

Bu y 06/29/10 M

( a d d ’ l )

S o l d 07/15110 L

(par t)

I. I n co m e G a i n C o d es :

( See Colu mns B I and D 4 )

2. V al ue C o d es

ISec Colu mns CI and D 3 )

3. Value Method Codes

ISc e Colu nm C2 )

A =$1,000 or less

F ~$50,001 - $100,000

J =$15.000 or less

N =$250.001 o $ 500,000

P3 =$25,000,001 - $50,000,000

Q =Appraisal

U =Book Value

B =$1,001 - $2,500

G = $ 100.001 - $1,000,000

K:$1S,00t - $50,000

O =$500,001 - $1,000,000

R = C o s t ( Rea l E s t a t e O n l y)

V = O t h e r

C =$2,501 - $5,000

H 1 =$1,000,001 - $5,000,000

L =$50,001 - $100,000

PI =$1,000,001 - $5 ,000,000

P4 =M ore than $50,000,000

S =As s es s ment

W =Es t imated

D =$5,001 - $15,000

H2 =More than $5,000,000

M -$100,001 - $250,000

P2 =$ 5,000,001 - $25,000,000

T =Cas h Mar k et

E =$15,001 - $50,000




of 9

Name of Person Reporting

Dow, Jr. , Robert M.

D a t e o f R e p o r t

05/13/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in c o m e , v a ~ u e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

~-] 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

( i n c lu d in g t ru s t a s s e t s ) re p o r t i n g p e r io d

(t ) ( 2 )

Place "(X)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code l 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 d

o f r e p o r t i n g p e r i o d

(1) (2)

V a lu e V a lu e

C o d e 2 M e t h o d

(J-P) C o d e 3

( Q - W )

1 8 .

1 9 . H arr i s Bank account s A Interest

20. G CG M utu al Fu nd

121. - - A m e r i c a n F u n d s E u r o P a c i f ic G r o w t h A D i v i d e n d

22 . - - Amer i can F unds F undamenta l Inves tor s A D i v i d e n d

23 . - - A m e r i c a n F u n d s S m a l l C a p W o r l d F u n d A D i v i d e n d

24 . - - A m e r i c a n F u n d s B o n d F u n d o f A m e r i c a A D i v i d e n d

25 . - - A m e r ic a n F u n d s G r o w t h F u n d o f A m e r i ca A D i v i d e n d

26 . G CG 5 2 9 Fund # 1

27 . - - EuroP aci f i c Growth F und 529A A D i v i d e n d

28 . - - A m e r i c a n F u n d s N e w E c o n o m y F u n d A D i v i d e n d

29. G CG 529 Fu nd #2

30 . - - Am er i can F unds Capi t a l W or ld G/ I 529A A D i v i d e n d

31 . - - A m e r ic a n F u n d s G r o w t h F u n d o f A m e r ic a A D i v i d e n d529A

32 . G CG 5 2 9 Fund # 3

33 . - - N e w Pe r spe c t i ve Fund 5 2 9 A A D i v i d e n d

34 . - - Amer i can F unds F undamenta l Inves tor s A D i v i d e n d529A

J

J

J

J

J

J

J

J

J

J

J

T

T

T

T

T

T

T

T

T

T

T


(l ) (2) (3)Type (e.g., D a t e V a l u e

b u y , s e l l , mm/dd/yy C o d e 2

redempt ion) (J-P)

Sold 09/20/10 M(part)

(4 ) (~ )

Gain Identity of

Code I bu y e r/se lle r

(A-H) (if private

transaction)

I . Income G ain Codes : A =$1,000 or less B = $ 1,001 - $ 2,500 C = $ 2.501 - $ 5,000 D =$5,001 - $15,000

( See Colu mns B I and D 4 ) F =$50,001 - $ 100,000 G =$ 100,001 - $1 ,000,000 H 1 =$1 ,000,001 - $ 5,000,000 H 2 = Mo re th an $5 ,000,000

2. Va lu e C od es J = $ 1 5,000 o r less K =$15,001 - $50.000 L $50 ,0 0 1-$10 0 ,0 0 0 M =$ I00,001 - $250,000

( See Colu mns CI and D 3 ) N =$25 0,001 - $500,000 O = $5 00 ,0 0t - $ 1,0 00 ,0 00 P I = $1 ,00 0,00 1 - $5 ,000 ,000 P2 = $5,000,001 - $25,000,000

P3 = $25.01)0,001 - $50.000.000 P4 =More than $50,000,000

3 . V alu e Meth od Codes Q = A p p r a i sa l R =Cos t ( R eal Es t a t e Only ) S =As s es s ment T =Cas h Mar k et

{See Colu mn C2 ) U =B ook V alu e V =Olh er W =Es t imated

E =$15,O01 - $S0,000




of 9


Dow, Jr., Robert M.

Date of Report

05/13/2011

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 co m e , value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)

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

D e s c r i p t io n o f A s s e t s Transactions during reporting period

( i n c l u d i n g t r u s t a s s e t s )

Income during Gross value at end

repomng period o f r e p o r t i n g p e r i o d

(l) (2) (t) (2) (l )Place "(x )" after each asset Am oun t T y p e ( e . g ., Value Value 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 1 d i v . , r e n t , C od e 2 M e t h o d b u y , s e l l ,( A - H ) or i n t . ) ( J - P ) C od e 3 r e d e m p t i o n )

( Q - W )

(2) (3) (4)

D a t e Value G a i n

m m /d d / y y C o d e 2 C od e

( J - P ) ( A - H )

Identity of

buyer /seller

(if private

transaction)

35 . G C G F u n d # 4

36 . - - A m e r i c a n F u n d s S m a l l C a p W o r l d F u n d529A

37 . - - A m e r i c an F u n d s C a p i t a l In c o m e B u i ld e r529A

38 . P o d e s ta H S A A c c o u n t

A Dividend

A Div idend

39 .

4 0.

41 .

42 .

43 .

4 4 .

45 .

46 .

47 .

48 .

49 .

50 ,

51 .

- - I S h a r e s D o w J o n e s S e l e c t D i v i d e n d I n d e x AFund

D i v i d e n d

- - 1 Sha res T R S&P 50 0 lndex F und A Div idend J

F i rs t C o m m u n i ty B a n k C o m m o n S t o c k N o n e J

S a u k V a l le y C o m m u n i t y B a n k C o m m o n A Div idend JStock

M SJI , I nc . Common Stock N o n e K

T

T

M inne s o ta L i fe : Var i ab l e Adjus t ab l e L i feInsurance[~

T rave le r s : Var i ab l e L i fe P o l i cy

A Interest

A Interest

J

J

T

T

Northwestern Mutual Life Policy[~ A Div idend J

M etLi fe : Unive rs a l L i fe P o l i cy A Interest J

Buffa lo Jayhawk China F und N o n e J

Buffalo Intemational Fund[[~

Buffa lo Ba lanced F und

A Div idend K

A Dividend K

T Bu y 12/20/10( a dd ’ l )

T Bu y 0 3/18/10

(add’ l )

Bu y 6/18/10(add’ l )

J

J

J

I . Inc ome G ain Codes : A = $1 ,000 o r le ss B = $ 1 .001 - $ 2,500 C = $ 2,501 - $ 5 ,000 D = $ 5,001 - $ 15.000

( See Colu mns B I and D 4 ) F =$50,001 o $ 100,000 G =$ 100,001 - $1,000,000 H I =$ 1,000,001 - $5,000,000 H2 =More than $5,000,000

2. V a lue C o d es J = $ 15,000 o r less K =$1 5,001 - $50,000 L = $50,001 - $ 100,000 M =$ 100,001 - $ 250,000

( See Colu mns Cl and D 3 ) N = $25 0,001 - $ 500,000 O ~$ 500,00t . $ 1,O00,0Ol) PI =$1,000.00| - $5,000,000 P2 = $5,000,001 - $25,000,000

P3 =$25,000,001 - $50,000,000 p4 =M ore than $50,000,000

3. V a l ue M et ho d C o d es Q =Appraisal R =Cost (Real Estate Only’) S = A ssessm en t T -Ca sh Ma rke t

( See Colu mn C2 ) U =Book Value V =Oth er W = E st i m a t ed

E =$ 1 5 ,001 - $ 5 0 ,000




of 9


Dow, Jr. , Robert M.

Date of Repor t

05/13/2011

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 m e , v a ~ a e , transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)

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

A. B. C.

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

( in c lud in g t rus t a s se t s ) r e p o rt i n g p er i o d o f r e po rt i n g p er i o d

(1) (2) (l) (2 )

Place "(X)" after each asset A m o u n ! Type (e.g., V a lu e V a l u e

exempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e t h o d

( A - H ) or i n t . ) (J-P) C o d e 3

( Q - W )

Type (e.g.,

b u y , s e l l ,

r e d e m p t i o n )


(2) (3) (4)D a t e V a l u e Ga in

m m /d d/y y C od e 2 Code I

( J - P ) ( A - H )

(5 )

Identity of

b u y e r / s e l l e r

(if private

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

52 .

53 .

54 .

55 .

56 .

57 .

58 .

59 .

60 .

Buffalo Small Cap Fund

Bu ffalo Science & Technology Fund

Bu ffalo Large Cap Fund

Bu ffalo USA Growth Fu nd

Northern Inst Tax-Exemp t

None K

None K

A Dividend K

A Dividend K

None

B u y

(add’l)

B u y

(add’l)

B u y

(add’ l )

T

T Bu y(add’l)

T B u y

(add’l)

T Bu y

( a ddq)

Bu y(add’l)

06/24/10

09/20/10

12/20/10

12/20/10

12/20/10

12/20/10

12/20/10

J

J

J

J

J

J

J

1. I n co m e G a i n C o d es :

( See Colu mns B I and D 4 )

2. V al ue C o d es

( See Colu mns CI and D 3 )

3. Value Method Codes

(See C o l u m n C2)

=$1,000 or less

=$50,0~1 - $100,000

~$15.000 or less

=$250,001 - $500,000

P3 =$25.000.001 - $ 5 0 , 0 0 1 ) . 0 0 0

=Appraisal

= Bo o k V a l ue

B=$1,001 - $2,500

O =$100,O01 - $ 1,000.000

K=$15,001 - $50,000

O =$500,001 - $1,000,000

R = C o s t ( Rea l E s t a t e O n l y)

V =Oth er

C =$2,501 - $5,000

HI =$ 1,000,00t - $5,000,000

L =$50,001 - $ 100,000

P I = $ 1,000,001 - $5,000,000

P4 =M ore than $50,000,000

S - As s es s ment

W = E st i m a t ed

D =$5,001 - $15,000

1t2 =More than $5,000,000

M =$ 100,001 - $250,000

P’2 = $5,000,001 - $25,000,000

T =Cas h Mar k et

E =$15,001 - $50.000



FI NANCIAL D I SCLOSU RE R EPORT

of 9

I N a m e o f P e r s o n R e p o r t in g

Do,v, Jr., Robert M .

Date of Report

05/13/2011

V III. ADDITIONAL INFORMATION OR EX PLANATIONS. a.,~ica,e~,art ofrepart.)

I . L ines 3 , 20 , 26 , 29 , 32 , 35 , and 38 a re hea de rs fo r va r ious fund s - - the i nd iv idua l ho ld ings of each fund , va lues , and t rans ac t ions a re rep or t ed i n the l i nes be loweach heade r .

2 . A s n o t e d i n m y 2 0 0 9 r e p o r t , a ll o f t h e s t o c k a s s e t s o f a !i ’ ’ ~ i n v e s t m e n t p a r t n e r s hi p i n w h i c h ~ " ~ < ~ w a s a l i m i t e d p a r t n e r ( H o s k i n s G r o u p L L P ) w e r ed i ve s t e d i n M a rch 2 009 . Be ca use e a ch o f t he f i na l d i spos i t i ons w a s no t e d on t he 2 009 r e po r t , i t is m y unde r s t a nd i ng t ha t t hose a sse t s no l onge r ne e d t o be l i s t e don t he 2 010 r e po r t . In o t he r w ords , t he om i ss i on o f t hose a sse t s f rom t he 2 010 r e po r t i s e xp l a i ne d by t he f i na l d i spos i ti on o f t he a sse t s r e po r t e d on t he 2 009 r e po r t .




of 9

Name o f Pe rson Report ing

Dow, Jr., Robert M.

Date o f Report

05/13/2011

IX . C E R TIF IC A TION .

1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n in g t o m y s p o u s 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 e n , i f a n y ) i sa c c u r a t e , t r u e , a n d c o m p l e t e t o th e b e s t o f m y k n o w l 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 w a s w i t h h 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 t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c l o s u r e .

1 f u 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 r o m o u t s id e e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f ts w h i c h h a v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U . S . C . a p p . § 5 0 1 e t . s e q . , 5 U . S . C . § 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t i o n s .

Signat ure : S/Robert M. Dow, Jr.

N O T E : A N Y I N D 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 LL Y F A L S I F IE S O R F A I 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 LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . § 1 04 )

Committee on Financial Disclosure

Administrative Office of the United States Courts

Suite 2-301

One Columbus Circle, N.E.

Washington, D.C. 20544

robert m dow jr financial disclosure report for 2010

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