dean whipple financial disclosure report for 2009

8/3/2019 Dean Whipple Financial Disclosure Report for 2009

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I , ~ o s 0 I FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e s b y th ein Government Act of t978R o y . s / 2 o s 0 [ FOR CALENDAR YEAR 2009 ( s u . s c . , , p p . 1. Person Reporting (last nam e, firsk middle initial) 2. Court or Organization 3. Date of ReportWHIPPLE, HAROLD "DEAN" D, Western District of Missom5 05/03/2010

4. Title (Article III judges indicate active or senior status; ~$a. Report .Type (check appropriate type) 6. Reporting Periodmagistrate judges indicate tiff1- or part-time)U.S, DISTRICTJUDGE(SenirStatus)o [][] Nomination,~ Date [] 0t/01/2009t n i t i ~ 171 ~nual F i n a l to12/31/2009

5b. [] Araended Report7. Chambers or Off~e Address 8. On the basis of the information contained in this Report and anymod ifications pertaining thereto, it i~, in my opinion, in ompliance

8462 Chas. Eval~s V~rhitiakel" Ctt with applicable laws and regulations.400 East 9th StreetKansas City, MO 64106 Re~iewing Officer Dale

I M P O R T A N T N O T E S : 1"he instructions accompanying this form must be followed Com plete all parts,checking the NO NE box for each part where you have no reportable information. Sign on last page.

[~ NONE (3/o reportable positions.)POSITION NAME OF ORGANIZATION/E~TITY

2.

3.

~ N O N E (No reportable agreements.)~ PARTIES AND TE~IS

1.


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FINANCIAL DISCLOSURE REPOR TPage 2 of 7 I

IH . N O N - ~ S T M E N T ~ C O ~ . ( ~ ,~ o ~ z lnd~M~t a~s~use; ,eepp 17-24 of f!l~g ins~u~n~)A. ~lers Non-Investment Income

NONE ~o reportable non-inves~ent income.)~QURCE A~ T~E (yo~, not s~es)

1, 2~9 Mi~ou~ Judges Retirement System - Pemion $36,962.002.

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 - llyo. ,~,e married during an).portion of the reporilng year, co mplete this seetior~( D o l l a r a m o u n t n o t r e q u i r e d e x c e p t fo r h o n o r a r i a . )[-~ NONE (No reportable non-investment income.)

DATE ~ O U R C E A N D T Y P E1. 2009 Administrative Office - UoS. Courts - Adminis~ative Assistant2.3.4,

I V . R E I M B U R S E M E N T S - ,.o~po.~o~ toa~n~,~o~ e~e..i .... ~( I n c lu 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 l d r e n ; s e e p p . 2 5 - 2 7 o f fi l in g i n s t r u c t i o n s . )

NONE (No reportable reimbursements,)

~ DATES I..OCATION PURPOSE ITEMS PAID OR PROVIDEDI.2.3.4.5~


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FINANCIAL DISCLOSURE REPOR TPage 3 of 7 ~PPLE, ~OLD "DE~" D.

[05/03/2010

~ NO~ ~o reportable g~sOSOU R C E DESC~PTION

2.3.4.5.

VI. LIABILITIES. a~,,~N O N E ( N o reportable liabilities.)

C R E D IT OR DESCRIPTION V A L U E C O D E

2.3.4.5.


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]Namef P e r s o n R e p o r f i ~ D a c e o f R e l ~ r~DISCLOSU~ ~PORTPage 4 of 7 o ~ / o 3 / ~ o ~ oNONE ~ o reportable income, assets, or

A. B, [ C. D.D~cfip~on of A~ ~come d~ng]

G r o s s v M u e a t e n d(]ncl~ng ~st ~se~) r~ng ~ of r~ng ~odo) (2) [ (, ) (2) o) ( 2 ) ~3) ] ~ ~ ( 5 )Pla~ "~" ~r ~ch ~set ~ ~ount T ) v e ( e . g ., ~ Value Va~e T~e (e.g., ~ Value ~ Gain ~ Id~ti~ of

(A-~ o r ~ t . ) ( J - P ) C o d e 3 ~dempfion) ( J - P ) (if pfiva~

1. Wo~l~, Dall~ Co., MO None L W2. Woodlands, Dallas Co., MO None K W3. Office Bldg., Lebanon, MO None K W4. 1/2 Owner woodlands, Laelede Co., MO None J W5. 1/3 Owner woodlands, Lebanon, MO None K W6. G M A C C Interest K T7. Bank of America Accounts B Interest M T8. Corn Prod. lntT com. stock A Dividend J T9. Vail Resort, Inc. (common) None J T

1 0 . Mid-Missouri Bank Account B Interest M T1 I, Ciseo Systems, Inc. (common) None J T1 2 . Pepsico, Inc. (common) B Dividend L T1 3. Federated Total Return Bond Fund B Dividend L T Bn y 09/16/09 L1 4 . Pimco Foreign Bond Fund A Dividend K T B uy 09/16/09 K1 5 . Vanguard GNMA Fund B Dividend K T B uy 09/17/09 K1 6 . Vanguard Developed Markets Index A Dividend L T1 7 , Vanguard Institutional Index (a/k/a A Dividend K TVanguard 500 Index)

l, Ineom~ Gain Codes: A =$1,000 or ]ss B * ,$1,001 - $2,500 C ---$2,501 - $5.000 D ~$5.001 - $ t 5.000 E =$I 5,th) I - $50,000( S~ e C 01 uY ms B I w ad I )4 ) F =$ 50 .0 01 - $ 11 ~0 ,0 00 G ~$100,001 - $1.000,000 I ll =$1,000.001 - $5.000,000 H2 =M ore than $ 5,00~,0002. Value Codes J =$15.000 or less K ~$ 15,001 - $50.4300 L =$50,001 - $100,00O M -~g 100,001 - $250,0~0

(See C.olumus CI a~d D3) N ~$250,001 - $500,000 O =$ 50 0,0 01 - $ 1,0 00 .00 0 P l ~ -$ 1, 00 0, 00 1 - $5 ,0 ~0 ,0 00 P 2 ~ .$ 5. 00 0,0 01 - $ 25 ,0 00, 00 0P3 ~$25,000,001. $50.000,000 P4 --More than $50,000,0003. Valet Method Codes Q ~Appr aisa[ g =Cost (R eal Estate Oaly~ S =A ssessm ent T ~Cosh Market(See Colunm C2) Lr =Book Value V ~Othcr W =Estimated


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F I N A N C IA L D I S C L O SU R E R E P O R T I N a m e o f P e r s on R e p o r t in g [ D a t e o f R e p 0 r tPage 5 o f 7[ W H I P P L E , H A R O L D " D E A N " D . ]

05/03/2010

VII . INVESTM ENTS and TR USTS - ~ . . .., ~e~o,~ (z~ ~o~ o/,po~ ~,~ aep~a~, ~s~,~,.; ~ ~,~ ~4-~o o~ i~ao~[ ] NONE ( No reportable income, assets, or transactions.)

A. B. I C. D.D e s c r i p t i o n o f A s s e t s I Income during G ro 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 r i n g r e p o r t i n g p e r i o d(including trot assets) ~_~..~ug period o f r e p o r t i n g p e r i o d it) ! (2) [~-- (2--~ ~) i ~Z) ! (3) ~4) (5 )P l a c e " ( X ) " a f t e r e a c h a s s e t Amount ! Type (e.g., Value Value T y p e ( e . g ., Date i Value ; Gain I d e n t i t y o ft : m m / d d / y y i C o d e 1x e m p t f r o m p r i o r d i s cl o s u re Code 1 ] d i v . , r e n t . C o d e 2 Me~od b u y , s e l l , C o d e 2 buyer/seller

[I (A-I~ il o r i n t . ) ( J - P ) COde(Q.W)3r e d e m p t i o n ) ( Y - P ) ( A - I - I ) transaetion)(if priva~:

1 8 . Dimensional Fund Advisors Investment D Dividend N TDimensions Group1 9 . IRA #I C Dividend M T20. -- AIM Intl. Mutual Fund

2 1 . - AIM Equity Funds CLA22. AIM Growth SER A Interesl M T2 3 . Harley Davidson, Inc, A Dividend J T2 4 . Pim. Comm. B Dividend K T2 5 . Northern Fund Global A Dividend K T2 6 . Vanguard TIPS (a/k/a Vanguard Inflation B Dividend L TProtected)27. Vanguard Index Funds Grw Idx Sigxta| A Dividend K T28. Central Bank Accounts A Interest J T2 9 . Bank Midwest Account C Interest M T3 0 . Garrnin, LTD A Dividend J T3 1 . Federated High-Yield Bond B Dividend K T Bu y 04/08/09 K32. Federated Ultra-Short Bond A Dividend J T Bu y 04/09/09 J3 3 . Vanguard Short Term lnv Grade B Dividend K T Bu y 04/08/09 K

3 4 . Vanguard lnt-Term Inv Grade B Dividend K T Bu y 04/08/09 K

(S~ Col~ C2) U =B~k V~ue V ~ W = Eaimated


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FINANCIAL DISCLOSURE REPORT S.m~ of Person Reporting l~t, of ReportPage 6 of 7 wnreeL~, H A R O L D " D E A N " D . 0 5 / 0 3 / 2 0 1 0VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. a,~c~er~,oiR~,~;


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Ia m e o f P e r so n R e p o rt i n g D a t e o f R e p o r tDIS CL O S URE REPORT~ ~P~ ~0~ 0 5 / 0 ~ / 2 0 ~ 0age 7 of 7 " D E ~ " D .

~. CERTI~CA~ON.I certify 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 not reported was w ithheld because it met applicable statutoryprovisions permitting non-disclosure.I further certify" that earned income from outside employment and h onoraria and the acceptance of gifts which have been reported are incompUanee with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regalations.

NOTE: ANY INDIVIDUAL WH O KNOW INGLY AND W ILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAND CRI1VIINAL SANCTION S (5 U.S.C. app. 104)

FILING INSTRUCTIONSM ail signed original and 3 additional copies to:

Comm ittee on Financ ial DisclosureAdm inistrative O ffice of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

dean whipple financial disclosure report for 2009

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