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TRANSCRIPT
D D 0 D
0
ORGANIZATION/ENTITY
PARTIES TERMS
Partn.:r
AOJO Re>'. 1120111
FINANCIAL DISCLOSURE REPORT FOR CALENDAR YEAR 2009
f. P1:rson Rtporting (last narnl.!, firs I, rniddk initial) 2. Cour-t u,.. Organiutiun
R<»e, Thomas M. U.S. District Ct., S.D. Ohio
4. Tille (Anld.: 111 judscs indicah! acti\.C or cnior stiltus; Sa. R port Typt {chl"ck approrr1atc ryr..:-) magio;tratc jud cs indil.'.:at fuH- m ran:-1imc)
omina!inn, Dale
u.s District Judge (acti\'C) 1nitia! Annual
Sb. Amcmh.·d Keport
1-'in<LI
Report Required by /he Etlrics in Go•·emmenl Act of 1978 (5 U.S.C. upp. §§ 101-111)
3. D1tt' of H:cpor-t
04105/2010
6. Rtporting Period
01/01/2009 lo
12/31/2009
7. Chamben (ff Orficr Addnss 8. On lht' basis of the information contained in lhi> Rrport 1rnd any nrndificarions pertaining theretu, ii i . in ID.)' opinion. in rnmplianH
200 We.I Second Street l\ilh applicable ta · and regulation.\.
11th F100r, Federal Building Dayton, OH 45402
Re..-it- ing: Officer Ditt
/1'r! PORTA NT NOTES: The imtru<·titms a<·companyi11g this form must be followed. Comp/e/e all purls, d1ed1:ing the f\'O,'\'£ box for each purl >J•h,te yo11 hav no reporlahle information. Sign on fail page.
J. P 0 S] Tl 0 NS. (Hi'p41rlinx lndfr;duul vn r: J.ee pp. 9. f J of jilini: imtru,·tium.}
NONE (No reportah!e po.\ilions.) D POSITION NAME OF
I. Wiggin; & Rose Stabb L.L.P.
2. Pat1m:r KSJ Stable> Lip
3.
4.
5.
J J • . GR E£1\'J E NTS. (R porrin}( ;nJh•iduul 1mlJ·; H'r pft. f J./6 nf filin>: insrrucrfom.)
D NONE (No reportah!e ugreemenls.)
AND
I. 197(> Public Employees Retirement System, no control, retirement
' .. ' . ,
2.2005 NLlrthwc>l<m Mutuol lndividual rel ire men I account - self directed (rolled frum Ohio Deferred Comp Fund)
3.
Rose, Thomas M.
SOURCE AND TYPE
SOURCE
SOIJRCF LOCATION PURPOSE
INCOME
ITEMS PAID OR PROVIDED
2.
FINANCIAL DISCLOSURE REPORT
Page 2of9
•me of Person Rtporting
Rose, Thomas M.
Dotr or Rrport
04/05/2010
Ill. N 0 N-I N VEST 1\1 ENT IN co l\1 E. (R•pvrti11i: indfriduul unJ .lpt>u.1e; "'pp. 17-U i>f flling inwuctfon.<.)
A. Filer's Non-Investment Income
NONE (No reportable 11011-im·estment income.) D
(yours. not spouse's)
l. 2009 Ohio Public Employee Retirement System (Retirement) S74,682.00
3.
4.
- lfJ'OU wtu marrird during unypurriuN of the rrpm·tinx yeur, complete thi!i !ection. B. Spouse's Non-I 11\'CStmcnt Income t/)(,IJar 11muwll mJt rt'ljllll t'•} r:J.n'l'I f11r hmwruriu)
NONE (No reportuhle 11m1-i11vestmcnt income.)
AND TYPE
1. 2009 Ohio Public Retirement System (Retirement)
2.
J.
4.
IV. REIJVJ BU RSEJ\1 ENTS ·- rrumpurrurfon, lodxing.fuuJ. •nreTtuinmenl.
[ZJ NONE (No n:portuhle reimbursements.)
2.
3.
4.
5.
SOURCE DESCRIPTION
CREDITOR VALUE CODE
FINANCIAL DISCLOSURE REPORT
Page 3of9
Name of Pen.on lhporting
Rose, Thom s 1\1.
Dale of Rtporl
04/05/2010
\T• GJFTS. (lncluJe,; those w lpouu and dcfJendent children; ... e pp. 28-31 offilinx instruclioto.)
[{] NONE (No reportable gifts.)
I.
2.
3
4.
5.
VJ. LIABILJ]"JES. (/uduJe. rlwn uflpou:.e and J pendent L·hildten; .'iu pp. 32-33 of fi/inJ: imtructforu.)
NONE (No reporwhle liabilities.) D DESCRIPTION
Mortgage on rental property Ill - Xenia, Ohio KI. lfontingtnn flank lb Sky Bank
2.
3.
4.
:>.
B
'1.
I
10
i
(2)
HNANCIAL DISCLOSURE REPORT Name of Person Reporting Datt of R<port
Page 4 of9 Rose, Thomas M. 04/05/2010
vu. INV EST ME NTS and TRUSTS - in<,,m•, vat••. rrun_,.,.,;uns r1nc1ui1es 1hvs. of spouse anu J•penaen1 chi/arm; ,•• PP· J4-6o •if filin11 imtructw=J
NONE (No reportable income, assets, or transactions.) D A. c_
Lk ..:rir1ion of •.\s-.cr5- lm:oim: du1ing Gross value: <!lend (1ndudlng tru:-1 C!<.-;i:r. } report mg period of rcp'Jning period
Plac1: "(X)" <1ftcr c.i.ch asxt i.:xcmp! fr m1 prior disdos.urc
Amc p h111d Inc. Cla.o:;s A Am runds
2. Sm dl Cap W<>1 Id hmd Cla" A Am Funds
}_ Ailll Mutu,d Fund Im:. Cla" A Am t'unds
4_ !kn<! Fund tJf Am ltK. Cla,; A Am funds
5. Ewu Pacific Growth B d. Cla>; A Am
funds
6. Archer - Danieb - M;dland Co.
7. BP P L C ADR Spon>omi
8. Cmtr;il Fund of Canada LTD Cl.
9. Claymor< Exchange Traded FD Zacks YLD lfo
F()l11Cnto l:i.·llnomicu !\.kxii...:a110
11. J luntington Bancshares
12. ( han:s Comcx. Gold Tr 1:-har\!s
3 !. ... hare Tr DJ Sel Di\ lndx
14. lsl"orc' Tr Ftse Znhua IDX
15. bharcs Tll S&P Global 100
}I, J\Lcrusoft Corp
17. NatitJnal City Corp
I Ji,loJnl G.1111t.11.Je:. /\ :::S:.001J0rb' (St- ( .,Jumr;, l! I .mJ UJ I
2 \' lue c 1cJe, ( cl.' C11l1111111 (' L .11i.I DJ)
I '-'")'ilJ.(){Jl-Sl!Hl.(l(\(l
J - Si S,OOD (Jr le N .,_.)2 0.0lll · 500.UCU
(I) , t\inounl
Code I
(A-H)
A
A
c
fl
A
A
H
A
A
A
A
A
A
A
A
A
A
] \'.il11e l-.lrt:1.i1I (.'ude (S<"l' C.1!u11111 C!)
P.> - )!5.000,0ill - S<.O,Ofl(J.000t.) l\ppr.11 at lJ --LI )ok Vatu
'
(2) ti) T)·pc kg .. Value
div., rent, Code 2
or in!.) fJ-rl
Di,·idcnd K
Dividend K
Dividend K
Dividend L
Dividend K
Di,idcnd K
Dividc!ld K
0i1vidend
Dividclld
Dividend
Dividend K
Dividend
lli' 1dcnd
Dividend K
Dividend K
Interest
Dividend
n =Sl,Oltl - s:uoo (, T lfHUJCJI - 1,UH0,00\1 K ,_ l .001 - SSU,000 IJ = 50rl.ll01 - l.IJl;0,000
R "l\Jq (P.c,11 bt:ile Onl )
V"-Otl.e1
\IJ Value Trpc (e.g.,
Method buy, sell, Code 3 n:dcmpt10n)
(Q-Wj
T
T
T
T
T
T
l
T
T
T
T
Sold
T
T
T
T
Dis\ributcd
C ==S2. IH. $5,(.)()(1 lfl 1e$L.U(J(l.f, H - S5,000,00ll L 0SlO.OOt - SI00,000 Pl =SU.100,001 - S.S.Ooo,0110 P4 Mim than S50,UOO,OOO S : A !:-e s.mcnt
\\' =fat1matt'J
D. Tran .actions during reporting period
I (2) 13) (4)
lht..: \'aim; Garn mm1dllyy Cock.2 Code I
(J-P) (A-II)
12109,09
01/05!09
() =Sl.IKJI - Sll,000 H2 rMme than \5.000,000 ""lllKl,001 · Sll0,000 P:! -5H1<Jo,001 - s2 .ooo.ouu
T · Coi:.h Markrt
,, __ ----·- ··- --·1 (5)
Identity of
buyer/seller
(if private transaction)
E =SI l.001 -$l0.UOO
A
118
I i
i
I !
126
i 28 Lutherar
I
.. due
t2) (4)
!
:
(2)
(J-r)
D.
(J.P)
Dare of Report Namt of Ptrson Rrporring FINANCIAL DISCLOSURE REPORT Page 5 of 9 04/05f.WIORose, Thomas 1\1.
VII. INVESTMENTS and TRUSTS --incum•. ··a'"'· 1ransuaium (/nctuJ,, 1hou of.•pouse and ••penaen1 chitaun: •u PP· 14-60 •ffitinx inuruc1ions.1
=i NONE (No reportable income, assets. or transactions.)
Trar.sacl!ons during reporting period
B. c. Dcscriptrnn of A si:b. Income during Gross value at i:nd
{including 1ru t u.si;i;ts) reporting period or reporting pcnud -- -·--------
(I) (2) (3)(I)(I) (5) Pla t; "tX)" afli::1 ca1.:h asset Type (c.g, Ua1c Value Gain kl._.nti>y of,Amount ·1 ypc (cg., Value Value
Method'CO<ic l (A·llJ
div .• rent, or int.)
Cod< 2 !mm/dd.'>Ycr.t'rnrt from rrior d1 clo'.'iuro; buy. sell, Codo2 'Cod< I buycr;scllcr
(ifpn\'alcCockJ (A·ll)rcJcmpt1on}
tQ-W) transaction) . -··- -- J_
19.
20.
21.
" .. .
23.
24.
25
27.
PNC
Newell Ruhbcnnaid Inc
Nu"ccn Ohio Qua! lncm Mun
SPDR Index SllS fDS Midca't Africa
Wisdomtrcc Tru>i Emg Mkts
St\mcrican Muni Pov. er Oh
SDruad,·icw lits. G 0 SA LT
(< .$Buckeye Ohio 10ll Scttlcm llE l"ing Auth Asset
$Celina Ohio
$Centerville Ohio llhh Ca Bethany Luthem Vig Proj
A
A
A
A
A
B
A
A
A
A
$Centerville Ohio !11th Ca Beihany B
I Vig. Proj
29 $Clyde Green Springs Obligation Bond
JI) Columbus (franklin Co) Ohio Gen Oblig Bds
31 S('uyahoga Cnty Ohio llosp Rel"&lmpt Revenue llonds
32. $Franklin County Ohio Ilea Care Faes
33. $Franklin Ohio Pub Imps General Obligation [lond>
34. Franklin City (Warren Coi Ohio
A
B
A
A
A
A
Dividend
Dividend
Dividend
Dividend
Di\'idcnd
lntercsl
Interest
Interest
Interest
Interest
Interest
Dividend
Interest
In terest
Interest
Interest
Interest
J
J
J
J
K
K
K
K
J
K
J
J
J
K
T Spinoff(from line 17)
T
Sold
T
T
T
Redeemed
T
T
T
T
T
Redeemed
T
·1
T
T
01/05/09 J
12110/09 J
1210'.!/09 K
10'01/09 K
I
'
I lm!ir11C'l..n11 ('mJe" A '-'Sl.OOOur ll' ' Ii :•'Sl,tJOI • Sl,500 (See(olumn... HI andD4} F '·5 1),00I - SIO:J,OOll G'-SIOO.IJOl .$1,000,l!llO
2 V.ilul!' CoJc J =S 15.000 or le,) K =Sl 5,GUI • U0,0011 t c Culumni. C' Jnd 03} N =S250.00I . SSOO,UOIJ 0 =·S5UU,OOI ·SJ .000,(10(1
P.'\ ::i:S2\00(l,001 • $50,tXl1J,()(1U J. \'aluc ,\1',.·1t11.J c ·Je) Q"'Aptir;t.1).tl K =Cu I ( R .il f ,1a1e- On )')
(SccC1•lun111C2) U rfiool. V \'=Other
C "'Sl.50 I - SJ,000 IJ =S"i,fJOI -ii \OUO E -'S15 .UOI - \5r),000 HI -S 1.000.Ulll - S5.00U.Ltt11J H2 =More than !t.5.000,000 l :SSO.l>OI • 5100,00U \f =SIUO,OC! · i250,0IJO Pl = 11 ,000.UOI · Sl,000.UOG P2 ""S5,000.00J • 25,0fl0,000 N =-!\fore than 550,000,000 S .:=J\:. nsmenl W -L r1m.i1ed
I
135. ! 36
137
i
I l
I
! 46
! I
!
(2) -
·1
;[ !1m.i1t ...
i
'
FINANCIAL DISCLOSURE REPORT
Page 6 of9
Namt of Pcnon Rtporting
Rose, Thomas M.
()alt of Rrport
04/0512010
VII. IN VESTMENTS and TRUSTS - ;""'"''· vutue.1ruma.-1iom anc1ud<• 1h"" vfsP""" unJ JepcndentchitJ""' ,upp. J4-6o vf fiting ;.,,,ucriuns.J
NONE (No reportable income. assets. or transactions.)D A. fl. c.
Dcscripli1)n nf A sct5 (including lrJst assets)
I nc\lml' durin Grvss. \.aim.: at cnJ
rcpontng period of rc.:por1ing period
(I) Placi.: "t :\)" after ca..:h asset
tx<.:rnpt from prior di L:losun: Amount ;
$Hamilton Cnty Ohio 11\th
Sflamilton Cnty Ohio Hosp (Childrens llosp)
S!L1millon County Ohio Faes Re" Uond
I 38. SHut>er Hts (Momgomery Co)
39. Slndcpcmlcncc Ohio GO
40. 5Lorain County Ohio Hosp Ref & lmpl Rev BlH1t.b Catliolic Hiter
'
41 $Mahoning County Ohio Gen Obligation Bonds
! 42. #$Mansfield (Richland Cnty Gcnl Oblig Bonds
43. 1'hnning Co. Oliio l losp. r ac Bomb
4.; SUhio SI Bldg Auth Rcvenu Bonds
45. $Ohio St lhghcr Edi F"c (Ohio Christian Univ Prnj)
Ross Cnty Ohio Hosp. Rev Bonds
47 ThornburgValue Fund· A Excahnge in
4X s\'.· t:nt!y Cartwright S1rn.:k. Cash ACCt.llJO(
49 Wiggins & Rose Stables L.L.P.
! 50. Rental Prop. t I. Xenia 011
51. KSJ Stables I.LP
/\ - 1.000 1•r le,'.> !See CtJtumn UI unJ [.>4)
2 \'.ilu.e Cu-.ks F ... rJ.U(JI . SIUO,mo J ·SI 5,lH>o or It' !>
( t Culunim. Cl :mJ D31 N S 50.00J · S OO,IJll(J
: Code I (A-H)
13
A
B
13
A
A
B
13
A
A
B
A
A
B
A
D
J \'.ilul" Method C°"'Jr .. ( CC' l'1•h101nC2}
PJ 2s.ooo.no1 . <. 11.ooo.11C.10 () •Ai1pri11\,il
ll •l\oolt Vo1!ur
(I) Typ.: !e.g .. Valm:
div. . rent. Cn<k 2 or int.) iJ.Pl
Interest K
Interest
Interest K
Inter.st K
Interest K
lntert:st K
Jntcrc:i.t K
lntcrc:st K
Dividend K
Interest K
Interest K
Di vidend J
Dividend K
lnlcrcst K
Distribution J
None L
Distribution K
U Sil.Out· Z.'.1}0
G '.)J00,001- SJ,ODU.Ot>i.1
K ,,Sil .001 -15i!JJll(J 0 · SSOO.orll · SI .Ui >U,l!!it)
R ...Co:.l I K(:.il [st ••tc Only \'><Qrlic-r
(2) (I)Value Type (c.g.
Method buy, !:di, Code J rcdi:mplion)
(Q-WJ
T
Rcdetrned
T
T
T
T
T
T
T
T
T
T
·r
Redec1ned
(part)
w
w
w
C =S'.:.501 S.5,(J(hl Ill ""S\.000 001 · SS,CXHl,000 I. .,, 50 hOl - SIOG,noo Pl =Sl.t)Otl,001. S .00[),0f\U
N '1\1 ..• re th..n 5.'.0)JOU,UOIJ S "'A!>!>t'!> mrnl W 1
I>. Transactions during reporting peril)d
Date Value
mrniJd/yy Code 2 (l-P)
05/15/09 J
10/20109
12'01!09 L
o "'-!.5,001. sis,1mo
Gain
Code I (A·ll) !
--L
ll2 ... fore th<ll\ ss.non.noo M 0SIOIJ.OUI • 1250.000
Pl ::cS5,f)lJ{l,t'l(H • S25.00U,lJOO
T "'Cash Markel
(5)Jdcnlit)' of
buycrlsclkr
tifprivatc transaction)
E -5.15,(llH • SSO.IJ(l(}
I-'
:
c
(I)
!
D
(4)
I
Type(< g.,
buy.•dl, n.:dcmption)
(2)
Dato of Roport Same of Person Rcporring FINANCIAL DISCLOSURE REPORT
Page 7 of9 04/0512010Rose, Thomas M.
VII. INVESTMENTS and TRUSTS -inwme. value, rrarrsact;,.,., r1ndur1es thou vf•P""" unr1 r1epenuent children;,., PP· H-6ovffiling insrructfon.•.J
=:J NONE (No reportable income, assets, or transactions.)
A U.
Dc£cnplioa <if A-;scts fn(cimc during Grns value al t:11J Tra11sa.c1iuns during rcponing pcnod
(including !ru1.1 a!.scLs) rcporti11g period llf rc{k1ning period
(21'Amount Typc(c .
i;:\cmpl frnm prior J1)clo un.:
(3) (5)Value ldi.:ntlty of
(IJ (2) (I) (iainPlace "(X)" after ca.::h ass t Value Value Date
I . Code I ; mm'dd'yy Code:! ! C•>dc I
(l-P) (A-Ill (ifpri.. ;nc
d1\ .. rcnl. Cud.: Method bu}'Crlscllcr
1ran action) (A·ll) or int.) (l-P) Cude J
(Q-W) - -- - I
' 53.
i 54.
i 55.
i 56.
57.
58.
! 59.
60.
61
I. /11.:on1eGa111Cr.Jts· (See Culumns U I anJ lM)
I.See Culumn::. C 2 anJ I)\)
.l V.lluc Mc!/104! Cude
! re (.ul\111111 CZ)
A ':il,IH.k)ur lesi; }- ...s,so.001 - IOU,Ol>!.I J .. l .uno llr le ...
N "'S250,UO! • SSUU,000 f') S25.ll0f)J)0l. S50,UOOJJU\I Q "'Arpr;mtil
L' '·B1klk Valu
l3 "'Sl,ll\ll - S2.SUU G =SIOOJ>OI - Sl,000.UtJU K "' 15,001 - 50.UIJO o-i;ou.001. 'iil,000.000
R Co5ol (Rc.ll f-.S.Lllc Only) V "-Ulhcr
C =-52501 -U.11tl(l Ill ,,,Sl.000,001 - SS.000,t)(}O I. =S50,UOI - 5100,000 l'I .-s1,ooO.CJOI - S.5.00U,000 Poi ·Mure tban )".fl.()()IJ_IJOU S -/\>'tnmcnl \I,' =[:;11mJ.lcd
D S ,l)(H - )I i,UOO [ .... 115.00l-S O,l){•O 112 -More !han S'i,Of)(l.{ifl\) \.t ;:-'HIJOJlOI - S:!'iO.ouo P2 •S5,f:Otl,IJUI • S'.:!5.0UO,VOO
T "'( a h l.trkcr
Name of Person Reporting Date of Report FINANCIAL DISCLOSURE REPORT
Page 8 of9 Rose, Thoma. M. 04/05/2010
Vlll. ADDITIONAL INFORMATION OR EXPLANATIONS. (JnJicutrpartufRrpurt)
FA:LSIF lt.S cm FAILS I Cl f ILE I lllS RU'OR I J\IA\ BE SUHJECI IO CIVIL
Name of l't"rson Reporting Date of Rtporl .FINANCIAL DISCLOSURE REPORT
Page 9 of9 04i0512010Rose, Thomas M.
IX. CERTIFICATION.
I certify lhal all information given above (including Information pcrlaining to my spouse and minor or dependent children, if any) is accurale, true, and complete lo the best of my knowledge and belief, and that any information not reported was withheld because it met applicable statutory pro,isions permitting non-disclosure.
I further cerlif · that earned income from outside employment and hononria and the acceptance of gifts which have been reported arc in compliance with the provisions of 5 U.S.C. app. § 501 el. seq., 5 U.S.C. § 7353, and Judicial Conference regulntions.
Si
NOTE: ANY INDIVIDUAi. WHO KNOWINGLY ANH \\'II.FULLY
AND CHIMINAL SANCTIONS (5 U.S.C. npp. § 104)
FILING INSTRUCTIONS
l\lail signed origimil and 3 additional copies to:
Commillcc on Financial Disclosure Administrative Office of the United States Courts Suite 2-301 Om: Col umbus Cin;le, N.E. Washington, D.C. 20544