raymond w gruender financial disclosure report for 2010

8/3/2019 Raymond W Gruender Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR C A LEN D A R Y EA R 2010

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

I . P e r s o n R e p o r t i n g ( l a s t n a m e , f ir s t , m i d d l e i n i t i a l)Gmender, Raymond W.

4 . T i t l e ( A r t i c l e I I I 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 a t u s ;magistrate judges indicate full- or part-time)

U.S. Ci rcui t Judge - Ac t ive

7. Chambers or O f f i c e A d d r e s sI I I South Tenth S treetSui te 23.365St. Louis, MO 63102

2. Court or O r g a n i z a t i o nEigh th C i rcu i t Cour t of Ap pea l

3 . Date o f Report04/05/201 I

5a. Report T y p e ( c h e ck app rop r i a t e type)] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8 . O n t h e b a s i s o f t h e i n f o r m a t i o n c o n t a in e d i n t h i s R e p o r t a n d a n ym 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 , i n c o m p l i a n c ewith app lic able laws and regulations .

R e , . ~ e w i n g O f f ic e r D a t e

6 . R e p o r t i n g P e r i o d01/01/2010

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea[ 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 . (Reporting individual only; see pp. 9-I3 of filing instructions .)N O N E (No reportable positions.)

N A M E O F O R G A N I Z A T IO N / E N T I TYW.R. Persons Chari table Trust (advise on chari t ies to receive fu nding; no controlover investment assets)

2. Board of D irectors Variety Club of St . Lou is (no control over investment assets)3. National Counci l Washington U niversi ty School of Law (no c ontrol over investment assets)4. Board of Trustees Wil l iam Woods U niversi ty (no control over investment assets)5.

1. AdvisorPOSITION

I I . A G R E E M E N T S . ~ R c p o r t i n g individual only; seepp. 14-16 of filing instructions.)[~ N O N E ( N o reportable agreements.)

DATE PARTIES AN D TERMS


2/8

FINANCIAL DISCLOSURE REPORTPage 2 of 8

N a m e o f P e r s o n R e p o r t i n gGruender , Raymond W.

D a t e o f R e p o r t04/05/2011

I II . N O N - I N V E S T M E N T I N C O M E .


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FINANCIAL DISCLOSURE REPORTPage 3 of 8

N a m e o f P e r s o n R e p o r t in gGruender , Raymond W.

Date of Report04/05/201 I

V . G I F T S . (Includes thosc to spouse and depcndent children; see pp. 28-31of filing instruc~ions.)D N O N E (No reportable gifts.)

SOURCE DESCRIPTION1. Bernice Houl ihan Cash Gif t2.3.4.5.

V A L U E$ 1,000.00

V I . L I A B I L I T I E S . a n c l u a e s , h o s e o y ~ p o u ~ o n d d e p o n a c . , children; see pp. 3 2 - 3 3 of filing instructionsON O N E ( N o reportable liabilities.)

CREDITOR DESCRIPTIONI.2.3.

4.5.

V A L U E C O D E


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F I N A N C I A L D I S C L O S U R E R E P O R TPage 4 o f 8 Ia m e o f P e r s o n ReportingGruender, Raymond W. Date o f R e p o r t04/05/201 I

V I I . IN V E S TME N TS and TR U S TS - inc ..... ..i.e, transactions (Includes those of sp ...... d dependent children; seepp. 34-60 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

Des c r i p t i o n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t in g p e r i o d

O) (2)P l a c e " i X ) " a f t e r e ~ c h a s s e t A m o u n t T y p e (e.g. ,exempt from prior disclosure Code I d i v . , r e n t ,( A - H ) o r i n t . )

G r o 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)Value ValueC o d e 2 M e th o d

(J -P ) C ode 3( Q - W )

O)T y p e ( 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 in g p e r i o d(2) (3) (4)

D a t e Value Gainmaddd/yy Code 2 Code I

(J-P) (A -H)

( 5 )I d e n t i ty o fbuyer/seller( i f p r i v a t et r a n s a c t i o n )

I. UM B Bank ( checking account s )2. Bank of America common stock

AA

Interest

Dividend

LJ

TT

3. Ci t i g roup common s tock None4. Exxon Mobil common stock A Dividend

J

J

TT

5. General Electric common stock A Dividend J T6. Goldman Sachs common stock A Dividend K T7. Macys Inc. common stock8. Microsoft common stock

AA

Dividend J TDividend J T

9. N ewscorp LT D common s tock1 0 . Oracle common stock

AA

Dividend J TDividend J T

I I . P roctor & Gamble comm on s tock A Dividend J T1 2 . UnitedHeal th Group c ommon stock

1 3 . Vertex Pharmaceuticals common stockDividend J T

None J T1 4 . Scot t rademoneymarket-US Bank, N A1 5 . IRA -- Scot trade

AA

Interest K T

Dividend M T

1 6 .1 7 .

--Invesco Large Cap Growth Fu nd f/k/aAIM L arge Cap Gth Fnd--Invesco Technology Fund f/k/a AIMTechnology Fu nd

I. Income Gain Codes: A =$ 1,00~ or less B -$1 .001 - $2.500 C =$2.501 - $ 5 . 0 ~ 0 D -$5,001 - $15.0~0(see Columns B I and D4) F =$50.001 - $10O .0~ ) G = $100.0~1 - $ 1,0~ 0.000 HI =$1.000,001 - $5.00~.000 H2 =M ore than $5,000.000

2. Value Codes J -$15.000 or less K = $15.1)01 - $50.000 L -$50,001 - $100.0~0 M =$100,0~1 - $250,000(S~e Columns CI and D3) N =$250.001 - $500.000 O =$500.001 - $ I,O 00.000 P I =$1,000.001 - $5.000.000 P2 =$5,0~0,001 - $25,000.000

P3 =$25,000.0~1 - $50.000.000 P4 =M ore than $50,000,0003. Value Method Codes Q =Appraisal R =Cosl (Real Estate Only) S =Assessment T =Cash Market(See Column C2) U =Book Value V = O ther W = Estimated

E =$1 5 .0 0 1 -


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FINANCIAL DISCLOSURE REPORTP a g e 5 o f 8

N a m e o f P e r s o n R e p o r t i n gGruen der , Raym on d \V .

D a t e o f R e p o r l04/05/201 I

VII. INVESTMENTS and TRUSTS - inco .... , a t u e , era .... ions (Include, those of spouse and dependent children; see pp. 34-60 of f i l ing instructions.)N O N E ( N o reportable income, assets, or transactions.)

Descr i p t ion of Asse t s Income during( inc lud ing tru s t assets ) repor t ing per iod

O) (2)Place "IX)" after each asset A m o u n t Type (e.g.,

exempt from prior disclosure Code I div., rent,( A - H ) or int .)

Gross value at en dof report ing per iod

(D (2)V al u e Va l ue

Code 2 M eth o d(J-P ) C ode 3

(Q-W)

Type (g.,buy, se l l ,

redempt ion)

Transact ions dur ing report ing per iod

(2) (3) (4)Date V al u e Gain

mm/dd/yy Code 2 Code I(J-P) ( A-H)

( 5 )Ident i ty of

buyer/sel ler( i f p r ivate

t ransac t ion )

1 8 . -AIM S mal l Cap Growth F u n d1 9 . -Fidel i ty Advisor Growth Opportuni t ies

20 . - -GAMCOGIoba lGrowth Fund21. -Gabe l l iValue Fund

22. --Janus Enterprise Fund

23 . --Janus Research Fund

24 . - - M F S G r o w t h Fund

2 5. - -M F S M a ss a ch u se t ts l nv e st o r sG r o w thStock Fund26 . --Putnam Inte rnat io nal Equity Fund

27 . --Putnam Multi-Cap Growth Fund f/k/a NewOppo rtunit ies Fund

28 . - -T. Rowe Pr i c e B lue Chip Growth Fund

29 . - -T. Rowe Pr i c e Sc i enc e and Techno logyFund3 0 . - -A me r i ca n Fu n ds ; Sma ll C a p Wo r l d F u nd

3 1. - -S co t tr a de M o n e y M a rk e t -- U. S. B a n k

3 2. Towers-Pen-in 401(k) Savings Plan (Mix D,indep, managed)

3 3. Ao n Sa vi ngs Pla n3 4. - -Dodge& Cox Stock Fund

None M

A Dividend M

T

T

I. Income Gain Codes: A =$1 .0 ~ 0 o r I c s s B = $ 1 ,0 0 1 - $ 2 ,50 0 C = $ 2 ,5 01 - $ 5 ,00 0 D =$5 , 001 - $15 , 000(S ee C ol um ns B I and I)4 ) F =$ 50 .0 0 1 - $ 10 ~.0 00 G =$100.001 - $1.0(~.0~) HI =$1 , ~00 . 001 - $5 . 009.000 H2 =M or e than $5 , 000 . 000

2 . Va lu e Codc s J = $15.0~0 or los s K = $1 5 .0 0 1 - $ 5 0 .0 0 0 L -$ 50 , 001 - $100 , 0~0 M = $ 1 0 0 ,0 0 1 - $ 2 5 0 .0 ~ 0(Sc c C olu mns CI and D3) N = $25 0.00 1 - $5 00 ,0 0~ O $500.001 - $1,000,0~0 p I = $1 , 000 , 001 . $5 . 000 , 000 p2 -$5,000,001 - $25.04~,000

P3 =$25 , 000 . 0OI - $50 . 00 ) . 000 P4 =M or e than $50 , 000 , 0 (~3 . V alue Mclhod Codes Q =Ap p ra i , ,al R -Cos t (Real E s la le Only) S =As s es s ment T = C a s h M a r k c l

I Scc Column C2) U = B o o k V a l u e V = O ther W = E s tim ated

E =$15,0~1 - $50,000


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F I N A N C I A L D I S C L O S U R E R E P O R TPage 6 o f 8

N a m e o f P e r s o n R e p o r t in gG r u e n d e r , R a y m o n d W .

D a l e o f R e p o r t04/0512011

V I I . I N V E S T M E N T S a n d T R U S T S - income, ,alue, I ...... lions ( Includes those of spouse and dependent children; see pp. 34-60 of fi l lng inslructions.)N O N E (No reportable income, assets, or transactions.)

Des c r i p t i o n o f A s s e t s Income during( inc lu ding tru s t as sets ) rep ort ing p eriod

(0 (2)Place "(X)" after each asset Amo un t Type (e.g.,

exempt from prior disclosure Code I div., rent,( A - H ) or int.)

Gross va lue a t endof report ing per iod(t) (2)

V a l u e Va l ueCode 2 M eth o d

(J-P) Code 3( Q - W )

0)Type (e.g.,buy, serf ,

redempt ion)

Transact ions dur ing report ing p er iod

(2) (3) (4)D a t e Value G a i n

mm/dd/yy Code 2 Code I( J - P ) (A-H)

( 5 )Ident i ty of

buyer / sel ler( i f pr iva te

t ransac t ion )

3 5. - -W e l li ng to n S m . Ca p P o rt fo li o

36 . - -Aon Common Stock

37 . --Vanguard Capi tal Opportuni t ies38 . - -American Funds - Eu roPac if i c Growth39. - -SSgA S&P 500 Index St ra tegy40 . --N DR Ass et Allocat ion Strategy41 . l rrevocableTrus t u /a 11 /17/03 D Dividend42 .43 .44 .

- -Vanguard Tax Exampt Money Mark e t

- -Vanguard In te rmedia te Term Tax ExemptF u n d

Bu y

SoldI0/I 1/10 N

10/I 1/10 N C

I. Income Gain Codes : A = $1,000 or less B = $1,001 - $2,500 C -$ 2.501 - $ 5,000(See Columns BI and D4) F =$50,001 - $100.000 G = $1 00 ,0 01 - $ 1,0 00 ,0 09 H I = $1 .0 00 ,0 01 - $ 5.0 00 .0 00

2. Value Codas. J = $15,000 or less K -$ I 5,001 - $50,000 L -$50,001 - $ 100.000(See Columns CI and D3) N -$250.001 - $500,000 O =$500,001 - $1.0OO,000 PI =$1,000,001 - $5,000,000

P3 $25,000.001-$50,090,000 p4 - More than $50,000.0OO3. Value Mclhod Cod~ Q = A p p r a i , s .a l R =Cost (Real Estate Only) S =As~:ssment(See Column C2) U =Book Value V -Olher W =Estimated

D =$5.001 - $15,000H2 =M ore thanM =$100.0~1 - $250.000P2 :$5,00~,0(11 - $25,00~.0~0T -Cash M arket

E =$15,001 - $50.000


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FINANCIAL DISCLOSURE REPORTP a g e 7 o f 8

N a m e o f P e r s o n R e p o r t i n gGruen der , Raym on d W.

D a t e o f R e p o r t04/05/201 I

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S .


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F I N A N C I A L D I S C L O S U R E R E P O R TPage 8 o f 8

N a m e o f P e r so n R e p o r t i n gGruen der , Raym on d \V .

Date of Report04/05/201 I

IX. CERTIFICATION.I c er t i fy tha t a l l in format ion g iven above ( inc lu d ing in format ion per ta in ing to my s pouse and minor or dependent ch i ldren , i f any) i sac cu ra te , t rue , and comple te to the bes t o f m y knowledge and bel ie f , and tha t any in format ion no t repor ted was ~ v i thheld because i t met app l i cab le s ta tu toryprov i s ions permi t t ing non-d l sc losu re .i fu r ther cer t i fy tha t earned income f rom ou t s ide emp loyment and honorar ia and the ac cep tance o f g i f t s which have been repor ted are incompl iance w i th the p rov i s ions o f 5 U .S.C. app . 501 e t . seq , 5 U.S.C. 7353, and Jud ic ia l Conference regu la t ions .

Signature: S] R a ym o n d W . Gr u e n d er

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILA 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 0 4 )

Comm it t ee on F inanc ia l Disc lo sureAdmin is t ra t ive Of f i ce o f th e Uni ted Sta t es Court sSuite 2-301One Colum bus Circle, N.E.W ash ington, D.C. 20544

raymond w gruender financial disclosure report for 2010

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