raymond w gruender financial disclosure report for 2009

8/3/2019 Raymond W Gruender Financial Disclosure Report for 2009

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, ~ o 1 0 : :.>: [ FINANCIAL DISCLOSURE REPORT R e p o r l R e q u i r e d b y l h e E t h i c sin Government .~ct o f 1978g~v. I /2o)0 -:[ FORCALENDARYEAR2009 (S U.S.C. apv. ~ IOI-II I)1. Pe rson Report ing ( la s t nam e , f i rs t , midd le in i t ia l) 2. Cour t or Organiza t ion 3. D a l e o f R e p o r tG r u e n d er , R a y m o n d W . Eigh th C i r cu i t Cou r t o f App ea l 03/22/2010

4 . T i t l e ( A r t i c l e I I 1 j u d g e s i n d i c a t e a c t i v e o r s e n i o r s t e m s ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a t e t y p e ) 6. Report ing Pe riodmagis tra te judges ind ica te ful l - o r pea -t ime) [ ] N o m i n a t i o n , D a t e 01101/2009U.S. C i rcu i t Judge - Ac t ive [] Initial ~ ~ A n n u a l [] Final to1 2 f 3 1 / 2 0 ~ 3 95 b. [ ] A m e n d e d R e p o r t

7 . C h a m b e r a o r O l l u : e A d d r e s s & O n t h e b a s i s o f th e i n f o r m a t i o n con ta ined h t th is Report and anym o d i f i c a t i o n s p e r t a i n i n g t h e r e t o , it i s , i n m y o p i n i o n , in c o m p l i a n c eI 11 Sou th Ten th S t r ee t wi t h app l i c abl e l aws a nd r ega l a t ion s .Sui t e 23 .365St . Loui s , MO 63102 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 followeg Complete all parls,c he c k i ng t he NONE box f o r e ac h par t whe re you hav e no re pO rlable i n fo rma t i o~ S i g n on las t pag e .

[ - - - ] NONE (No reportable positions.)POSITION NAME OF ORGANIZATION/ENTITY

i. A d v i s o r W.R. P e r sons C ha r i t ab le Trus t ( adv i s e on cha r i t i e s t o r ece ive f und i t ag ; no co n t r o love r i nves tmen t a s s e t s )2. B oa rd o f D ire c to rs V a rie ty C lu b o f St. Lou is (n o co n tro l ove r inve s tm en t a s se ts )3, Nat ion a l C ounc i l Washing ton Un ivers i ty Schoo l o f Law (no con t ro l over inves tmen t as se t s )4, Boa rd o f T ru s te e s W ill iam W o od s Un ivcrs ity (n o co n tro l ove r inve s tm en t a s se ts )


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N a m e o r " P e r ; o n R e p o r t i n g D a l e o f R e p o r tPageF INANCIAL2 of 8 D I S C L O S U R E R E P O R T I G r u e n d e r , R a y m o n d W . 0 3 / 2 2 / 2 0 1 0

HI. NON-INVESTMENT INCOME. mo,o~A. Filers N o n - I n v e s tm e n t In c o m e

NONE (No r e p o r t a b le n o n - i n v e s tm e n t i n c o m e . )D A T E SOURCE AND TYPE _ I N C O M E(yours, not spouses)

!.2.3.4.

B . S p o u s e s N o n - ln v e s tm e n t In c o m e - if you wera married during any portion of the repor~g year, complete this section.(Dol lar amount not required except for honoraria.)

[] NONE (No 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 6OURCE AND TYPE

1. 2009 Self-employed benefits consultant

2.3.4.

IV. REIMBUR SEME NTS -(Include.~ those Io ~se and de~ndent chil~: ~ee pp. 2~-27 of f iling ~t~ctio~.)

~ NONE ~o repo~able reimbursementsO.~ ~TE~ LOCATION PU~OSE ITEMS PA~ O~ P~0VIDED

I. Yale ~w Sch~l M a y 2 g - 2 9 , 2 ~ 9 New Hav~, ~ M o o t C o ~ T r a n s p o m f i o n , f ~ h o te l2.3.4.5.


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FINANCIAL DISCLOSURE R EPORT . [ ~ ,m , o r r e , ,o a R , p o a i ~ gPage 3 of 8 1 Gruender, Raymond W.I~ NO~ ~o reportable g~s.)

~ DESCRIPTION1. Mr. ~d ~. M~k Vit~a W ~efield-Se~ce Sterling ~p $465.002. Pamdowski Creative Two ~ck~ ~ Nafion~ ~ldr~s C~r S~ie~ Di~er $ I ,~0.~3.4.5.

[~ N O N E (No reportable liabilities.)CREDITOR DESCRIPTIQ N V A LU E C O D E

!.2.3,4.5 .


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FINANCIAL DISCLOSURE REPO RT r ~ a m e o f r * , ~ o * a , p . , ~ i n : V a t ,P a g e 4 o f 8 Gruender, R a y m o n d W . 03/22 /2010V I I . I N V E S T M E N T S a n d T R U S T S -i . . . ~ v a l u e , t . . .. . . i o n * ( ln d u d a t h o s e o f s p . . .. . d d e p e n d ~ n t c h i l d r e n ; s e e p p . 3 1 - 6 0 o f f c l i n g i n : ~ t r u c t l o n s . )

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 ts , o r t r a n s a c t i o n s .)A. B. C. D.D e s c r i p t i o n o f A s s e t s In come du r in g G r o s s v a l u e a t e n d T r a a s a c t i o n s d u r i n g r e p o r t i n g I ~ r l o d( iacluding ~st assets) r e p o r t i n g p e r i o d o f r e p o r t i n g p e r i o d(1) ] (2) (I ) ( 2 ) (0 (2) (3) (4)P l a c e " ( X ) " a f t e r e a c h a s s e t Am ount i Type (e .g. , V alu e V a lue T y p e ( e . g . , D a t e V a lu e Ga ia I den t i r /o f

e x e m p t f r o m p r i o r d i s c lo s u r e C o d e 1 i d i v . , r e n t , C o d e 2 M e t h o d buy, sell, mm/dd /y7 Code 2 Code I buyer/seller(A-It) !: o r i n t . ) ( J - P ) C o d e 3 r e d e m p t i o n ) ( J - P ) ( A - H ) ( i f p r i v a t ei ( Q - W )

I. U M B B a n k ( ch e ck in g a c co un t s ) A Interes t L T2. Ba n k o f Am e r i c a c o m m o n s t o ck A Div i d e n d J T3. Ci t l g ro up c o m m o n s t o ck A Div i d e n d J T4. E xxo n M o b i l co m m o n s t o ck A Div i d e n d J T5, Gene ra l E l e c t r ic comm on s t ock A Div i d e n d J T6. G o l d m a n S a c h s c o m m o n s t o ck A Div i d e n d K T7. M ac y s I n c. c omm on s t o c k A Div i d e n d J T8. M i c r o s o f t c omm on s t o c k A Div i d e n d J T9. Ne wsco r p LT D co m m o n s t o ck A Div i d e n d J T1 0 . O r a c l e c o m m o n s t o ck A D i v i d e n d J TI I . P r o c t o r & Ga m b l e c o m m o n s t o ck A Div i d e n d J T1 2 . Uni t e d I l e a I th Group common s t ock A Div i d e n d J T1 3 . Ve r t e x P h a rm a c e u t ic a l s c o m m o n s t o ck None K T1 4 . So t t r a d money m a rke t -US Bank , NA A Interes t K T1 5 . I RA - Sco t t r a d e A Div i d e n d L T1 6 . - A I M L a r g e C a p G r o w t h F u n d

1 7 . - -A IM T e ch n o l o g y F un d

I , I n c o m e G a i n C o & s ; A ~ , 1 , 0 o r l e s s B ~ $ I , 0 0 1 - $ 2 , 5 0 0 C ~2,501 - SS,~ D ~ 5 , ~ 1 - $ 1 5 , ~ E = $ 1 5 , ~ I - ~ 5 0 , ~(~ Col~s BI ~nd ~) F -$50.~1 - $1~.~ G ~$1 ~,~1 - $1.~.~ HI ~$1.~,~l - $5.~.0~ H2 =M~ ~n $5.~,~


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FINANCIAL DISCLOSURE REPORT N a . ,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 tPage 5 o~" 8 Gruender, Raymond W . 0 3 / 2 2 / 2 - 0 1 0

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 m e , ~ t u e , ,,o .... ~ons (Includes Ihoxe of spou.~e and dependent children; see pp. 34-60 of fding in~rnctions.)[--] N O N E (No reportable income, assets, or transactions.)

A. 1 3 . C. I D.D e s c r ip t io n o f A s s e t s I n c o m e d u r in g G r o s s v a l u e a t e n d ] T r a . , L ~ e f i o m d u r i n g r e p o r t i n g p e r i o d( includ ing t r u s t a s s e ~ ) r e p o r t i n g p e r io d o f r e p o r t i n g p e r i o dCI) C2) (t ) C 2 ) 0) 2) O) (4) C5)Place "(X)" after each asset Amount Type (.g~ Value Value Type (e.g., Date Value Gaio Identity of

e x e m p t f r 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 o d e 2 M e th o d b u y . s e l l. m m / d d / y y C o d e 2 C o d e I b u y e r / s e l l e r( A - H ) o r i n t . ) ( J - P ) C od e 3 r e d e m p t io n ) ( J - P ) ( A - H ) ( i f p r i v a t e[ ( Q - W ) i t r a m a c d o a )

I 8. --AIM Small Cap Grow th Fund1 9 . --Fidelity Advisor Grow th Opportunities20 . --GAMCO Global Growth Fund-f/k/a

Gabelli Global Grow th Fund21. --Gabelli Value Fund22. --Jallus Enterprise Fund

23. --Janus Research Fund

2 4 . --M FS G ro w th Fu n d25. --MFS Massachuset ts Investors GrowthStock Fund26. - - P u t n a m I n t e r n a ti o n a l E q u i ty F u n d27. - -P u t n a m N e w O p p o r t u n i t ie ~ F u n d28 . -T. Rowe Price Blue Chip G rowth Fund

29. --T. Rowe Price Science and TechnologyFund30 . --American Funds; Sm all Cap W orld Fund31. --Scottrade MoneyMatket-- Marshall &Ilslcy Bark32. Towers-Pea in 401(k) Savings Plan (Mix D, None M Tindep, m anaged)33. Aon Savings Plan A Dividend M T34 . --Dodge & Cox Stock Fund

I. Incom e Gain Codc~: A -51 ,000 or less B ~ -$ I ,O0 l - $2 ,500 C - $ 2 , 5 0 1 - $ 5 , 0 0 0 D =$5 ,00] - $15 , 000 E =$15,001 - $50 ,000(See Coturatut BI and D4) F "$50 ,0 0 1 - $ I ~) .0 0 0 G =51 0( t .0 0 1 - $1 ,0 0 0 ,0 0 0 I t I "$1 , 000 , 001 - $5 , 000 , 000 H22. Vtdue Codes , ! -515 ,000 o r l~ s K -$15 , 00 .1 - $50 , 000 L =$50 ,0 0 1 - $1 0 0 ,0 0 0 M -$ 1 0 0 ,0 01 -( s e e C o l u n m s C I and D3) N -$Z50 , 001 - $500 , 000 O = $ 50 0 , 0 0 1 - $ 1 , 0 ~ 0 ,1~ 0 P 1 ~$1 ,000 ,001 - $5 ,000 ,000 P2 -$5 , 000 , 001 - $25 , 000 , 0001 3 = $ 2 5 , 0 0 o , o o l - $ ~ o , 0 0 0 , 0 0 o P 4 - M o r e t h a n $ $ 0 , 0 0 0 ,0 0 03.Value Method Codes O ~A pprai~al R -Cost (Real Estate Only) S - A s s e s s m e n t T =Cash Markc~( S e e C e l u m a 1 2 2 ) U - B o o k V a l u e V , . ,Oth e r W ~ ,Estimaled


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N a m 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 tFINANCIALpagc 6 o f 8 DISCLOSURE R EPOR T ~ ; ., en d e r , R a ) a n o n d W . 0 3 / 2 2 / 2 0 1 0

V I I. I N V E S T M E N T S a n d T R U S T S - i.co.,, ~tu~. ,,~.~o,~ a.aude~ ~ of s~. ,e o.~ ~, ,~ cn~ta~,... ,e, r~. ~"~ ~f Z a~.~ i~tract~n.)N O N E (No reportable income, ~sets, or tra~actions.)

A. B. C. D.De~fiption of As~ In.me d~ng G~ value at ~d T~sacdo~ d~ng ~poning(incIMing ~t ~) ~ing p~ of r~ing pe~

0) (2) (0 ~ (2) [ (0 (2) O) (4) (~ )Pine* "(X)" after ~ch ~ Amo~ T~ (e.g., V a l a e ~ Value [ T~ (e.g.. Da~ V~ue Ga i n Id~ ofex~t f~m p~ d~lo~e ~e 1 d~., ren~ C~e 2 M~ ~ b~, ~11. ~d~ ~ 2 C o d e I(A-~ o r in t . ) 0 - P ) C~ 3 ~pfion) ( J-P ) (A -H ) (if pfiv~e

35. - -We l l i n g t o n S i n . Cap Po r t f o l i o36 . - - A o n C o m m o n S t o ck37 . - -Vangua rd Cap i t a l Oppo r t un i t i e s38. - -Ame r i c an Fun d s - Eu roPac i f ic Grow th39 . - -SSgA S&P 500 Index Str a tegy40 . - -b lDR Asse t Al l oca t i on S t r a t e gy

41 . I r revocable Trus t u / a I 1 /17 /03 D Div id end N42 . - -Vangua rd Tax Exaxnp t Mon ey Marke t43. - - V angu a r d I n t e r med i a t e T e r m Tax Ex emp t

Fund

I . Incom e Gain Codes : A(~e Col~ B I and ~) F -$50,~ I - S I ~,~ G =g 1 ~.~ I - $ I,~.~ H I =S I ,~,~1 - $~,~,~ ] 12 -M~ ~a $5,~,~


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Iame of Person Reporting Date o|ReportF I NA N C IA L D I SC L OSU R E R E P O R T , Gruender, R aymond \ V . 0 3 / 2 2 / 2 0 1 0age 7 of 8VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


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FINANCIAL DISCLOSURE REPORT ~,me o f l e r~on Repo r t ing Date o f ReportPage 8 of 8 G r n e n d e r, R a y m o n d W . 03/22/2010IX. CERTIFICATION.

I c e r ti f y t h a t a H in f o rm a t i o n g i v e n a b ov e ( i n c l u d i n g i n f o rm a t i o n p e r t a i n i n g t o my s p ou 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 , if a ny ) i sa c c u r a t e , tr u e , a n d c om p l e t e t o t h e be s t o f my k now l e d g e a n d b e l i e f , a n d t h a t a ny i n f o rma t i o n n o t r e p o r t e d w a 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 le s t a t u t o ryp r o v i s io n s p e r m i t ti n g n o n - d i s c l o s u re .

I f u r t h e r ce r t i f y th a t e a r n e d i n c om e f r om ou t s i d e e m p l oym e n t a n d h on 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 t s w h i c h h a v e be e n r e p o r t e d a r e i nc om p l i a n c e w i t h t h e p r ov i s i o n s o f 5 U .S .C . a p p . 5 01 e t . s e q . , 5 U .S.C . 7 353 , 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 .

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 I E 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 LAND C R IM INAL S ANC TIO NS (5 U .S.C . a p p . 1 04 )

FILING INSTRUCTIONSMa i l s ig n e d o r i g i n a l a n d 3 a d d i t i o n a l c o p i e s t o :

C o m m i tt e e o n F i n a n c ia l D i s c lo s u r eA d m i n i s t r a ti v e O f f i c e o f t h e U n i t e d S ta t e s Co u r t sSu i t e 2 - 301One Columbus Circle, N.E.W a s h i n g t o n , D . C . 2 0 5 44

raymond w gruender financial disclosure report for 2009

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