arthur s spiegel financial disclosure report for 2009

8/3/2019 Arthur S Spiegel Financial Disclosure Report for 2009

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ao lo I F I NANCI AL DI S CL O S URE RE P O RT Repo,~ Required by t h e E t h i csin Government Act of 1978R e v . V 2 0 1 0 FOR CALENDAR YEAR 2009 t 5 u . s . c , a p p . 1 . P e r s o n R e p o r l i n g ( l a s t n a m e . f a s t , m i d d l e i n i t i a l ) 2 . C o u r t o r O r g a n i z a t i o n 3 . D a t e o f R e p o r t

S p i e g e l , S . A r t h u r U n i t e d S t a t e s D i s t r i c t C o u r t , S D O , W D 07/27120104. Title (Article BE[ judges ind icate active or sen ior status; 5a . R epo rt Type (che ck a ppro pr ia te type) 6. Report ing Periodmagislaate judges indicate f ilIl- or part-time)

] Nomination, Dat e 0 1 / 0 1 / 2 0 0 9United States Senior District Judge [] Initial ~ ~ A n n u a l [] Final to12/31/20095b. [] Amended Report

7 . Ch ambers or Off ice Address 8 . On th e bas i s o f th e in format ion conta ined in th i s Rep ort and a nymod i f ica t ions p erta in ing th ereto , i t i s , in m y op in ion , in com p l iance83 8 Potter Stewart United States Courthouse with ap p l icable laws and regulat ions .Cincinnati, OH 45202

Reviewing Off icer D a t e

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

I . P O S I T I O N S . (Reporting individual only; see pp. 9-13 of J~ing instructions.)N O N E ( N o r e p o r t a b l e p o s i t i o n s . )

POSITION N A M E OF OR G A N I Z A T I ON / E N T I T Y1.

4. - - . , o ~7-- "~ ,~ . ..~

~~ N O ~ (No reportable agreements.)~ P~TI~ ~ TE~S

I.


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Name o~ Person Rep ox~ng Dat e of Repor~FINANCIAL DISCLOS~ ~PORTS p i e g e l , s . A ~ h u ra g e 2 o f 6 0 7 1 2 7 / 2 0 1 0

III. NON-~S~NT ~CO~. ~ ~,~ ~ ~o~; ~,~p. ~-u o~ in~.~A. ~ers Non-Inv~em In.me~ NONE (No reportable )on-investment i n c o m e .

~A~ SOURCE ~D ~E ~(you~, not s~uses)1 .2.3.4.

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 - i f y o u were married during any portion of the reporting year, complete this section.(Dollar am o~ t nt not r e qui r e d e xce pt for honor ar ic~ )

N O N E ( N o r e p o r t a b l e n o n - i n v e s t m e n t i n c o m e . )D A T E ~ Q U R C E A N D T Y P E

1.

2.

3.

4.

IV. REIMBURSEMENTS - t,,,~spon,~, ~,Io~t ,,~,,~=,nt.( Include s t hose r o spouse and de pe nde nt ch i l dr e n . - se e pp. 25-27 of fil ing insrru~tions. I

[] N O N E ( N o r e p o r t a b l e r e i m b u r s e m e n t s . )SO U R C E D A TE S ~ PURPOSE IT E MS PA ID OR PR OVID E D

1.2.3.

4.5.


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F IN A N C IA L D IS C LO S U R E R EP O R T N~ e o f P e r s o n Re po r t in g Date o f Rep ortPage 3 of 6 Spiegel, S. Arthur 0 7 1 2 7 1 2 0 1 0

o ~Jl~ l ~ (Includes those to spouse and dependent children; see pp. 28-31 o f f i l i n g ins t ruct ions . )N O N E (No reportable gifts.)

SOURCE DESCRIPTION VALI.~.1

2,

3.

4.

5.

V I . L I A B I L I T I E S . an,~de~ those of spouse and dependent children; see pp. 32-33 of filing instructions.)N O N E (No reportable l ia bil i t ies.)

CREDITOR DESCRIPTION V A LU E ( ~ Q DE1.2.

3.

4.

5.


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F IN A N C IA L D IS C LO S U R E R EP O R T N~me of Person Rep ort ing I Date of ReportPage 4 of 6 S p i e g e l , s . A r t h u r I 0 7 f 2 7 / 2 0 1 0

D N O N E (N o reportable income assets, or transactions.)A. B. C. D.Description of Assets /ncome dur ing Gross value at end Transactions during reporting period

(including tn~st assets) re po ain g p erio d o f re pe rtin g pe rio d(1) (2) O) 1 (2) O) (2) (3) (4) (5 )

Place "(X)" after each asset Amount Type (e .g . , Value I Value Type (e .g . , Date Value Gain Identity ofexempt f rom pr ior disc losure C od e ! div., rent, Code 2 Method buy. sell . mm/dd/yy Code 2 Code 1 buyeffse l ler(A-H) or int.) (J-P) Code 3 redemption) (J-P) (A-H) (if private( Q - W ) I t r a n s a e a o n )1. See attached

2.3.

5.

7.

8.9.1 0 .

17 .

1. Income Gain Codes: A - - $ 1 ,0 4 ) 0 o r J e s s B - - $ 1 , 0 0 1 - $ 2 ~ 5 0 0 C - - $ 2 , 5 0 1 - $ 5 , 0 0 0 D - . ~ 5 , 0 0 1 - $ 1 5 , 1 ~ 0 0 E - - $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0(See Coltmans BI and IM) F z . $ 5 0 , 0 0 1 - $ 1 0 0 , 0 0 0 G - - - $ 1 0 0 , 0 0 1 - $ 1 , 0 0 0 , 0 0 0 H 1 - - $ 1 . 0 0 0. 0 0 1 - $5 ,0 0 0 . 0 0 0 H 2 = M o r e th a n $5 ,0 0 0 , 0 0 02. Value Codes J - - $ 1 5 , 0 ~ 0 o r l e s s K - - $ 1 5 , 0 0 1 - $ 5 0 , 0 0 0 L - - $ 5 0 . 0 0 1 - $ 1 0 0 , 0 0 0 M - - - $ 1 0 0 , 0 0 1 - $ 2 5 0 , 0 0 0

(See Columns C I and D3) N - - $ 2 5 0 , 0 0 1 - $ 5 ~ 0 , 0 0 0 O - - $ 50 0 . 0 0 1 - $ 1, 0 0 0 ,0 ~ 0 P 1 - - $ 1 , 0 0 0 ,0 0 1 - $ 5, 0 0 0 ,0 0 0 P 2 - - . $ 5, 0 0 0 .0 0 1 - $ 25 .0 0 0 .0 0 0P 3 - - $ 2 5 , 0 0 0 , 0 0 1 - $ 5 0 , 0 0 0 , 0 0 0 P 4 = M o r e t h 0 . n $ 5 0 . 0 0 0 . 0 ~ 03. Value Method Codes Q = A p l n - a i s a l R =~o st (Real Estate Only) S =A sse ssment T - - C a s h M a P , e e l

(See Column C2) U = B o o k V a l u e V =Oth~ W =Estimated


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N a m e o f P e rs o n R e p o r t i n g D a l e o f R e p o r tS. A~thur Spiegel 07/27/10

B. C. D.Income Gi:oss value Transa~tion~ during reporting period" during at end of

A mt Ty~(e.g. ~al ,u__e 1 7 q a l u e :lXpe~e.g.,t)uy, . :se~ merger ,Code div., rent or Method reaem~tion) ~ ! V a l u e ( 3 ) G a i n ( 4 )A - H ) t ~ t ) (2) i~(~of(Q - W )? i ) a y ( J - P ) ( A - H ) (i~t)tivatO I r a n s a g t i o n )

~ N O N E ( N o r e p o r t a b l e i n c o m e , a s s e t s ,o r t r a n s a c t i o n s . )I B r o k e r a g e A c c o u n t # I

2 A n a d a r k o P e t r o l e u m C o r p ( A P C ) A D i v K T

3 E x x o n M o b i l C o r p ( X O M ) D D i v M T

4 F i f t h T h i r d B a n c o r p O h i o ( F I T B ) A D i v M T

5 M a r a t h o n O i l C o r p ( M R O ) B D i v K T

6 P N C F i n a n c i a l S e r v i c e s G r o u p ( P N C ) B D i v M T

7 P i p e r J a f f i a y C o m p a n i e s I n c ( P J C ) N o n e J T

8 P r o c t e r & ( } a m b l e C o ( P G ) D D i v N T

9 J M S m u c k o r C o m p a n y N e w ( S J M ) A D i v J T

I 0 U . S . B a n c o r p D e l a w a r e N e w ( U S B ) A D i v L T

1 1 U n i o n P a c i f i c C o r p ( U N P ) B D i v M T

12 U n i t e d S t a t e s S t e e l C o r p ( X ) A D i v J T13 E a l o n V a n c e B a l a n c e d F u n d ( E V [ F X ) A D i v J T

14 G a t e w a y F u n d ( G A T E X ) B D i v M T

15 V i c t o r y O h i o M u n i B o n d l , u n d ( S O H T X ) C D i v M T

16 Midfi rst Bank OK US Rate 3.1% Fixed CD B In t 1. T R ed em pt io n 01/23/09 I,Matures 01/23/200917 W esternbank PR Rate 2.3% Fixed CD B In t 1 , T Bu y 01,23/09 LMatures 07/301201018 Bank N or th GA US Rate 3.7% Fixed CD B In t L T Redemption 07/17/09 LMatures 07/17/200919 Stealing Savings Bank W A US Rate 4.00% B In ! I, TFixed CD Matures 01/25/201020 RMA Tax Free Fund Ine A Div M T21 B rokera ge Accoun t # 2 - ] r u s t E Div & lnt PI T22 - UBS RMA Money M arket Portfolio(FKA Victory Ohio Municipal Money


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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 tS. Arthur Spiegel 07/27/10

B. C. D.I n c o m e G r o s s v a l u e T~ns dining re~rting

(1 ) (2 ) (:i ) i ;~ (2) (I ) I f n ot ex empt f romd ~ os u re,;~e !div,,rentor M ~ hod ~x~l~ge r , j " : Value. . . ~ I i ~ A . H ) iat) ( Q - W ) Mo~a-~ ,, D a y (J-P) (A-r0 (if privatenama~t~n)~] N O N E (No reportable income assetsor transactions,)

23 - Automatic Data Processing (ADP)24 - Exxon Mobil Corp (XOM) Part ial Sale 01/02/08 K E25 - JP Morgan Chase & Company (JPM)

;2 6 - Pepsico lnc (PEP)

27 - Pfizer lnc (PFE))

i2 8 - Pitney Bowes Inc (PBI)

;2 9 - Procter & Gamble Co (PG)30 - 3M Co (M M M )31 - U.S. Bancorp (USB)32 - Berea Ohio3.75% du e 12/1/I I33 - Butler County, Ohio4.95% du e 12/1/1034 - Cuyahoga County, Ohio Redemption 12/01/09 K A4.75% due 12/1/0935 - Eastern O! I Regional W astewater4.25% due 12/I/1036 - Nordinia H ills, O14 School District Redemption 12/01/09 K A4.7% due 12/I/0937 - Hamilton County, Ohio3.125% due 12/01/1238 - Ohio State

3.50% due 03/01/1139 - Deerfield Twp, Ohio4.00% due 12/01/1340 - Vanguard Short Term Tax Exempt Fund Bu y 0 t ! 2 8 ! 0 9 K( V W S T X ) Bu y 0 3 / I 1 ! 0 9 1 .4 1 Brokerage Account # 3 - Trust B Div M T42 - Templeton Foreign Fund (TEFTX) P a r t ia l S a l e 0 0 / 1 0 / 0 9 J AP a r a a l S a l e 1 2 ; 0 9 / 0 9 J A43 - Victory Established Value Fund (GETG X) P a r t ia l S a l e 0 1 , " 1 5 / 0 9 J AP a r t ia l S a l e 0 3 , 1 8 / 0 9 J AP a r t ia l S a l e 1 2 / 0 9 / 0 944 - Victory Small Company Opportunity, Fund P a r t ia l S a l e I 0 1 / 1 5 / 0 9( G O G F X ) P a r t ia l S a l e i 0 6 / 1 2 ~ 0 9 J AP a r t ia l S a l e 1 2 / 0 9 / 0 9 .7 A


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Name of Person Repor t ing Date of R e p o r ~S. Arthur Spiegel 07/27/10

B. C~ D.,Income G r o s S , ~ a l u e TranSa~i(ms during repor~s peri~during at~ of:.:i[lj" (2) (1) ::i~:: (2) (1) .... .... Ifnotcxcmptliomdisclosur~! : : :~at Ty~ (e .g. ~a lpe ~ V a l U e l ~ p ~ - e . g . , I m y , : , ~ C 0 d e div., rent o~~ M e t h o d seo, merge, (2 ) (5) f! ~A-H) i n t ) (Q-W ) 7 Co de2 Co del b~ycr/s~iler: (J-P) (A-r~) (re Vri~t nans~tion)~ NONE (No reportable income, assets,or transactions.)

45 - Victory Diversified Sto~k Fund (GR1NX ) P a r t i a l S a l e 0 1 / 1 5 / 0 9 .i AP a r t i a l S a l e 0 3 / 1 8 / 0 9 J A46 - Victory Government Reserves Fund47 Brokerage Account # 448 -Victor Established Value Fund (GETGX) A D iv L T49 -Victor), Fund for Income (GG~X) B Div K T Partial Sale 12/10/09 K A50 -UBS Ret Money Fund A Div J T51 Brokerage Account # 5 - ] rus t A D iv J "i"52 - Victory Gradison Government Reserves53 - G a teway Fun d ( G ATEX ) Full Sale 03/03/09 J A54 - Harbor International Fund (HAINX) F ull Sa le 03/03/09 2 A55 - 1Shares S& P 500 Index Fund Full Sale 03/03/09 J A

56 - lShares Russell 1000 Value Index F ull Sa le 03/03/09 3 A57 - IShares Russell 1000 Growth Index Full Sale 03/03/09 2 A58 - Royce Total Return (RYT KX) [ Full Sale 03/03/09 J AI


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FINANCIAL DISCLOSURE REPORT Name otPerson Reporting[

Date of Report

[P a g e 5 o f 6 S p i e g e l , s . A r t h u r 0 7 / 2 7 / 2 0 1 0

VHI. ADDITIONAL INFORMATION OR EXPLANATIONS. ~ :~nc~ ,~ ,oyRepo, , )


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F IN A N C IA L D IS C LO S U R E R EP O R T N ~ 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 tPage 6 of 6 Spiegel, S. Arthur 0 7 1 2 7 1 2 0 1 0IX . C ER TIF IC A TIO N .

I cer t i fy that a ll informat ion given above ( including informat ion per ta ining to my spouse and minor or de pendent chi ldren, i f any) i saccurate, t rue, and complete to the best of my knowledge and bel ief , and that any informat ion not reported w as wi thheld because i t met appl icable sta tutoryprovisions permit t ing non-disdosure.I fur ther cer t i fy that earned income from outside em ployment and honorar ia and the accep tance of gi f t s which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

N O T E : A N Y I N D IV ID U A L W H O K N O W I N G L Y A N D W I LF U L LY F A L S IF I E S O R F A I L S T O F I LE 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 ILAN D CREVHNAL SAN CTIONS (5 U.S.C. app. 104)

F IL IN G IN S TR U C TION SMail signed or iginal and 3 addi t ional copies to :

Commit tee on Financial DisclosureAdm inist ra t ive Off ice of the United States CourtsSui te 2-301One Columb us Ci rc le , N.E .W ashington , D.C. 20544

arthur s spiegel financial disclosure report for 2009

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