filippine, edward - judicial watch · 2019. 7. 26. · jn .. position name of organization/entity...

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Jn ..

POSITION NAME OF ORGANIZATION/ENTITY

PARTIES ANP TERMS

U;

0

rn

Filippine,

Report Required h.i· 1he E1hics AOIO FINANCIAL DISCLOSURE REPORT

in Gol't:rnmen/ Acl of 1978 rlt'l". 112008 FOR CALENDAR YEAR 2009 (5 U.S. c. app. Hi uiJ-11 / J

I. Person Reporting (last name. first, middle initioll

FILIPPINE, EDWARD L.

2. Court or Organization

USDC,EDMO

J. Dalt of Report

05/0S/2010

4. Tiiie (Article I II judges indicate acth•c or senior status: magi<tratc judgc'S indicate full- or part-time)

U.S. Disrict Judge-Senior Status

Sa. Report Tri"' (chc-ck appropriate typ<)

0 Nomination. Date

0 lnitial Annual

Sb. D Amended Report

D Final

6. Reporting Period

01/01/2009

la

12/31/2009

7. Cbambc:rs or Office Addr ...

T.F. Eagleton United States Counhouse 111 South I 0th Street. Room I 0.137 St. Louis, Missouri 63102

8. On the bnl• orthc Information cootal!K'd In this Rep<irt and anr modiflcatioos pertaining thereto, ii ls, In m) opinion. Jn compliancr l\"lth appllcabl< and regulation>.

Re,ic,.'ing Officer Date

IMPORT ANT NOTES: The instruC"tions accompan)•ing thi.fform must he followed. Complete all part.>, checking the NONE hoxfor each part i.·hue you ha1·e no reptJrta/J/e Information. Sign on la.{tpage.

J. POSIT I 0 NS. (Repurting indfrltlua/ on(1•: .ve pp. 9-/J of filing in.<lrut"tiom'.)

[Z} NONE (No reportable positions.)

I.

2.

J.

4.

S.

c::: ,..._,

r--.:o:::·.

= C5

u

rn

<

0

II. AGREEMENTS. (R.-J'<'rting lm!Mtluo/ only; u.- pp. U-16 •if filing imtructiun.<.)

[Z] NONE (No reportable agreements.)

I.

2.

3.

Edward L.

SOURCE AND TYPE

SOURCE AND TYPE

SOURCE LOCATION PURPOSE

INCOME

ITEMS PAID OR PROYIDEP

3.

FINANCIAL DISCLOSURE REPORT

of IO

Nam• of Pr ou Rrportln:

FILIPPINE, EDWARD L.

Dair of Krport

05/05/2010

III. NON-INVESTMENT INCOME. (RtJ10rtingindMdu.ulanJspou. ;.<upp.17-Ucfjilini:in.1rruct/un.<.)

A. Filer's Non-Investment income

[{] NONE (No reportable non-im·eslment income.)

(yours. nol spouse's)

I.

2.

4.

8. Spouse's N 0n-1 n vestment In co me - If }"OU .... ,... n1<mitd during an}' portion of,,,. reporting year, ct1mplett th/• sectitJfL

fDt.dlar,uncmnt no/ r1..•quirt•d ("X<'t.p1}iK" hmwraria.)

[Z] NONE (No reportable non-investment income.)

I.

2.

3.

4.

IV. REIMBURSEMENTS - trun<portation. lodging,fooJ. enterta/n,,,mL

(/111.:/11&.•.'f 1/ro. 1..· lo .vxm!W anJ dt·pc.·ndc•11t «hildrc·n: sec• pp. 15-2 7 <!lfilil'ff instruc:Jion.t;.J

IZJ NONE (No reportah/e reimbursements.)

I.

2.

3.

4.

s.

SOURCE DESCRIPTION

CREDITOR DESCR! PTJON

YALVE

VALUE CODE

I.

I.

Dat< of RrportNamf' of PC"rsoa Reportin: FINANCIAL DISCLOSURE REPORT

of10 05.105!1010FILIPPINE, EDWARD L.

V, GIFTS. (Includes tho.<no spou.<e and tlependmt <·hildren; see pp.18-J/ of filing in.<trucrion.<.)

[Z] NONE (No reportable gijis.)

2.

J.

5.

VI, LIABILITIES. (lnclutln those of.<po11.<e tmtl depentlt!nl children; .•eepp. JJ-JJ of filing fl«tructit>ns.)

[Z] NONE (No reportable liabilities.)

2.

3.

4.

5.

I I

I i I i I

I

Datt of Rrpor1 Nome of Ptrson Roportln11 FINANCIAL DISCLOSURE REPORT

of10 05/0512010FILIPPJNE, EDWARD L.

VII. INVESTMENTS and TRUSTS - inc01'1•, •alue. tr11n.\a<1inn.• (lnd11Jn tho.<• Of"f'OU\e and depmtknt childrrn; .\Upp. J4-6D of filing lnur .. cti<1n.•.)

D NONE (No reportable income, assets, or transactions.)

A. B.

c. D.

l)cscription of Assets Income during Gross "·aluc at end or Transac-iions during Tl'porting period

(including lru<t asscts) rcponing P"riod I reporting period

(I) (2) (I) (2) (I) (1) (3) (4) 15)

Place "(X)" alicr c-ach asset Amount Type (e.g .• Value Value Type (e.g .• I Date Value Gain Identity of

cxLmpl from prior disclosure Code I di\·.• n:nl. Codc2 Method buy. sell. : Month- Codc2 Code I i buyer.' seller (A-11) or int.) <J·P) Codd redemption) Day (J-1') (A-H) (ifprivalc

IQ-W) 1r.mS3ction)

I. Bank of America, account A Interest J T

2. Bank of America, IRA #I (CDs) A Interest J T

3. Bank of America, IRA 112 (CDs) A Interest J T

4. Southwest Bank, account A Interest J T

5. BROKERAGEACCOUNT#I ( IRA#l): A D ividend K T

6. -AEE. common stock

7. --DreyfussGeneral Money Market

8. BROKERAGE ACCOUNT 112 ( IRA #2): A Dividend J T

9. --Dreyfus.• Gern:ral Money Markd

10. BROKERAGE ACCOUNT #3:

11. -- Seligman Growth Fund Cl A . mutual fund None J T

12. --Drcyfu;.s General Govt Money Market A Dividend J T

13. --AEE. common stock A Dividend J T

14. -·Missouri ST H&E FCS Auth llLTH FACS A Interest J T RV ST A NTHONY, bonds

15. --Missouri ST ENVIRON IMPT & ENRGY A Interest J T Res Auth Wtr Plltn, bond

16. BROKERAGE ACCOUNT #4:

17. --T. common stock A Dividend Sold 03117 J

I. Income Gain Codc:1: A •Sl,000 ot IC>S a •Sl.001-$2,500 C ·SBOI • $5,000 D •$5,00t • Sl5,000 E •$15.001. sso.ooo (Sec ColOIMs 111 ond t:M) f •S50.00I • SI00,000 G •SI 00,00 I • S 1,000,000 HI -Sl,OOO,OOl -S5.000,000 H2 =More th.ao S:S.000,000

2. Value Codes J •S15,000 odcu K •Sl5,00I - 550.000 L •S5-0,00 I - SI 00.000 M •SI00.001 • S25-0,000 (Sec Colwmu Cl alld DJ) N •S250,oot • $500,000 0 •$500,00 t • s 1.000.000 Pl •Sl,000.001 • S5.000.000 r2 -ss.000.001 • s2s.ooo.ooo

PJ •125.000,001 - S50,000,000 P4 •More lhan SS0,000,000 3. Value Mclhod Code$ Q •Arpraisal R -Cost (Real EstalC Only) S•A.sscsi.mcnl T-<:L-.hMrlct

(Sec Column C2) U •Book Value V-othcr W•E.stima1cd

A.

I

Date of Report 1' ame of Person Reporting FINANCIAL DISCLOSURE REPORT

of10 05/05/2010FILIPPINE, EDWARD L.

VII. INVESTMENTS and TRUSTS - incPme, ,.,,1ue, rranm·tion• onc1ude.• 1h"" nf.•fWu.,. •md dq1em1m1 children; m PP. n-60 •f filing in'1rurrion<J

NONE (No reportable income. assets. or transactions.) D

D.:scription of As.sets (including trust ns.'Y..':l!O)

Place "(X)" a Iler each as<ct

ex.empt from prior distlo re

B. c. D.

lncom during Gross value at end of Tran"'etions during reporting period

reporting period reporting period

(I) (2) (I) (2) (I) (2) (3) (4) (5) Amounl Tyrc(c.g.• Value Value Typ.: (e.g .. Date Value Gain Identity of Code I div.. rent. Code! Method buy. sell. Month· Codc2 Code I bU)'LTfsdlcr (A-H> or int.) (J-P) Code3 redemption) Day (J-1') (A-H) (ifpri>atC

(Q-W) 1ran. 1ion)

1. lacomc Gain COOn: A •St,000 odcu B •Sl.001 • SZ.500 c -12.501. ss.ooo D •s.l.001 • SIS.000 E •SI S.001 • s.<;0.000 (S<e Columni Bl and 04) F •Sl0.001 • Sl00,000 G "1100.001 • Sl.000.000 111 -s 1.000.001 - ss.000.000 112 •Mon: than s.l,000.000

2. Value Codes J •Sll.OOOor less K•St5,00l ·S50.000 L •S50.00t • Sl00.000 M •1100.001 • S2l0.000 (SccColumn•CI ind Dl> N •Sll0.001 • Sl00.000 0 <SlOO.OOt • Sl.000.000 Pl ·11.000.001 • ss.000.000 l'2 •Sl.000.00t • 12.1.000.000

Pl •SZl,000.00t • sso.000.000 P4 •Mon: than s.50.000,000 l. Vlluc Mclhod Codes Q•Al'P"issl R -=C'ost(Rcal EsrueOnly) S•Aliessmcnt T =C1<h Marl:d

(Sec Column CZ) U•B<x>l;Vlluc V-<>tbcr W•Ei.1imaicd

18. --OMY, common stock

19.

20. --GE, common stock

21.

A

A

Dividend

Dividend

Buy (add'IJ

Sold

Buy (add'I)

Sold

09/18

12/IS

03117

06103

J

J

J

J

22. --HBC, common stock A Dividend Buy (add'!)

03117 J

23. Sold 09/18 J

24. --VZ, common stock A Dividend J T Sold (part)

03117 J

25. Buy (add'!)

09il8 J

26. --APO. common stock A Dividend J T Sold (part)

03/17 J A

27. ·-ALL, common stock A Dividend J T Buy (add' I)

03117 J

28. Sold

(part) 09/18 J

29. -(_'AT, common stock A Dividend Sold 03/17 J

30. --CNP, common stock (Sec Pt. Vlll) A Dhidend Sold 03117 J

31. --CPO, common stock (See Pt. Vlll)

3:!. --CVX. common stock

A

A

Dividend

Di,icknd

J T Buy (add'l)

Sold

09'18

03/17

J

J

33. --DD, common >lock A Dividend J T Buy (add'I)

03/17 J

34. Sold

(part) 09118 J

of filing

I

I

I

Dato of Roport Name of Person Reporting FINANCIAL DISCLOSURE REPORT

of IO 05105/2010FILIPPil\E, EDWARD L.

VII. INVESTMENTS and TRUSTS -incum<, -.a/u,, tronm·tion.< (lndudn thO<t! "'·'ro"·" and de mlettt<·hi/Jrrn; .<ee PP· JJ-60 in.>truc·tion...)

0 NONE (No reportable income. assets, or transactions.)

A. Description of Assc:ts

finduding trust nssct<)

Pla c "(X)"' allcr each a\Sl!l

ex.empt from prior disclosure

B. C. D. Income during

reporting p.:riod Gross \·aluc at c..-nd of

reporting: period Tr.msaction< during n:porting pcriod I

(II {2) {I) (2) (II (2) (3) (41 (5) Amollnl Typc(c.g.. Value Value Typc(c.g .. Date Value Gain Identity of Code I div .. rcnt. Code 1 Method buy, sell. Month- Codc2 Code I buycrlsdkT (A·lil otim.) {J-PI Codc3 rcdcmplion) D-•y (J-P) (A-H) (if private

lQ-W) tran.r;.action)

35. --DTE, common stock A Dividend Buy (add'IJ

03117 J

36. Sold 06103 J

37. -EMR, common stock A Dividend J T Sold (part)

09/18 J A

38. -IGT, common stock

39. -KMB. common stock

40. -MCHr. common stock

A

A

A

Dividend

Dividend

Dividend

J T

Sold

Buy (add'!)

Sold

06103

09/18

09/18

J

J

J

c

41. -MO. common stock A Dividend Sold (part)

03117 J

42. Sold 06117 J

43. -PFE, common stock A Dividend J T Buy (add'I)

09/18 J

44. -TEG, common stock A Dividend Sold 09/18 J

45. -TOT, common stock A Dividt:nd J T Buy (add'l)

09/18 J

46. -UST, common stock None Sold Ol/06 J A

47. --WDR. common stock A Dividend Sold 03/17 J

48. -WM. common stock (See rt. VIII) A Dividend J T

49. -WR!, common stock

50.

51. -INTC, common stock

A

A

Dividend

Dividend

J

J

T

T

Buy (add'I)

Sold

(part)

Buy

03/17

09118

09118

J

J

J

A

I. !m-omc G•in Codes: A •SI ,000 or IC>S B-Sl,001-S2,SOO c =u,501 - 55,000 D •SS,001 -SIS.000 E •SIS.001 • $5(),000

(Seo Column• Ill and 0<) F •SS0,001-SIOO,OOO G •SIOO,OOJ -St.000.000 Ht =S1.ooo.001. ss.000.000 112 •More than $5,000,000

2. Value Codes J •SIS,OOOcc lcu K •$15,001 -SS0,000 L-SS0,001-SI00.000 M =SI00.001 • S2SO,OOO

(Seo Columns Cl and DJ) N •$250,00 I • S .000 0 •SS00,00 I - S1,000,000 Pl -$1,000.001-SS,000,000 n ss,000,001 • s2S.ooo.ooo Pl •$25,000,001 • SS0,000,000 P4 •More than $50,000,000

J. Value Method Code• Q•Appta;"'I R -Cost (Real Esutc Only) S •Assessment T-CashMmC'I (Soc Coll1m0 C2) U ·Book Value V-Otbcr W•Estimatc<I

Dale of R porl Name of Person Rrporting FINANCIAL DISCLOSURE REPORT

of IO 05/05/2010FILIPPINE, EDWARD L.

VII. INVESTMENTS and TRUSTS -income, l'alue, tran .... ·rion.> (Include.• tho.<e rif.,pou.\e and dependent children; .\ee PP· JJ-600/filing in11ruction<.)

NONE (No reportable income, assets, or transactions.) D A.

Description of Assets

{including trust as.sets)

ll. Income during

reporting period

c. Gross. value at end of

reporting period

D. Transactions during reporting period

Place 00\X )" ancr each 3'SCI

cx...:mpt from prior disclosure

(I} Amount Code I

(A-HI

(2) Typc{c.g.•

div.• rent. or int.)

fl) Value

C'odc2

{J-r)

{2) Value

Method

Codd

(Q-W)

\I) Type (e.g ..

buy. 'ell.

n:d..:mption)

{2) Date

Month-

Day

m Value

Code 2

(J-P)

(4) Gain

Code I

(A-fl)

(5) Identity of

buycr/sclkT

(if private

trans.action)

52. --ABT, common stock None J T Buy 12/15 J

53. --CTL. common stock A Dividend J T Buy 09/18 J

54. --DBD, common stock A Dividend J T Buy 06117 J

55. --ETR. common stock A Dividend J T Buy 03/17 J

56. Buy (add'()

09/18 J

57. -EXC. common 'tock A Dividend J T Buy 03/17 J

58. Buy (add'I)

09/18 J

59. --HD, common stock A Dividend J T Buy 06103 J

60. --JNJ, common stock A Dividend J T Buy 0)117 J

61. Buy (add'I)

09/18 J

62. --MTB, common stock A Dividend J T Buy 09/18 J

63. --MCD, common stock A Dividend J T Buy 06103 J

64.

65. --NSC, common stock A Dividend J T

Buy (add'!)

Buy

09/18

03/17

J

J

66. --PG, common stock A Dividend J T Buy 03117 J

67.

68. --SUG. common stock A Dividend J T

Buy (add'I)

Buy

09/18

09/18

J

J

I. Income Gain Codes: A•Sl,OOOorkss B l.001 -S2.SOO c s2,so1 • ss.ooo D•SS.OOl -SIS.000 E •SIS.001 • $50,000 (Sec Columns Bl and 04) F •SS0.001 -SI00,000 G •SI00.001 - Sl.000,000 Ill •Sl.000.001 • SS.000.000 H2 •More than ss,000.000

2. Value Codes J •SIS.000 or less K•SIS.001-SSO.OOO L •SS0,001 • SI00.000 M •SI00.001 -S2SD.OOO

(Sec Columns Cl and Dl) N •S2SO,OOI 0 SSOO.OOO 0 •SS00.001 -Sl.000.000 PI •st,000.001 -ss.000.000 P2 •SS.000.001 - S2S.OOO,OOO

PJ •S2S,OOO.OOI - sso.000.000 P4 •More than SSD,000.000

l. Value Method Codes Q • Appnii<al R -Cost (Real E>tat<: Only) S --Assessment T-CashMarl<ct

(Sec Column C2) U •Book Value V-othcr w aoEstimarcd

of filing

I (2)

Oal• of R<porl Nam• of Person Reporting FINANCIAL DISCLOSURE REPORT

of10 05105/2010FILIPPINE, EDWARD L.

in.\lrtt<·tinn. )VII. INVESTMENTS and TRUSTS -incomt, rolue, tromoai1111.• (lndud th11.1uf-'p1111.-e ond1kpmd<nt «hi/drm; ""'Pl'· 1'-60

0 NONE (No reportable income. assets, or transactions.)

(I) (2) Place "(X)" alk'!'c"a<:hassct Amount , T1·r-: (e.g.•

c1i.:cmpl from prior disclosure Code I : di•.• rent. (A·H) i or int.)

(!) (I) <J> (5)141m

69. --MMM. common stock A Dividend J T Buy 06i03 J

70. --AVP. c-ommon stock A Dividend Buy 01116 J

71. Sold 0911& J c

72. -Dreyfuss General Money Market A Dividend J T

73. Phoenix Life Ins. Co .• whole life A IntJDiv. J T

74. Greal Wesl life & Ann. Ins. Co., whole life A IntJOiv. J T

I. lnrome Gain Codes: A•$1,000orl"-'5 B -Sl.001 • $2,500 C •S2.l01 -$5,000 D •$5,001-S!S,OOO E•Sl5.00l ·SS-0.000

(Sec Columns Bl and 04) F•SlO.OOl -SI00,000 a -uoo.001 - s1.ooo.ooo HI .-Sl,000,001 • SS.000,000 H2 •Mon: lhan SS,000,000

l. Valt.1e Codes J •S l S.000 orless K •$15.001 -SSIJ,000 L .-SSIJ,001 -SI00,000 M •$100.001 • $250,000

(Sec Columns Cl and 0)) !'l •S2SO.OO I - SS00.000 O •SS00,001 • S 1.000.000 Pl -s 1.000.001 -ss.000.000 P2 -ss.000.001 - sis.000.000

Pl •S2S,000.00l • SS0.000.000 P4 •Moro <hall SS0,000,000

3. Value Method Codes Q•AP!"'iS>d R -Cost !Real Estate Only) S·A T-CoshManct (Seo Column C2) U•Book Value v ..atber V: •Es.tirnatcd

Value C'od.:2

(J-P)

Value

Method

('odc3

(Q-W)

Tyre (e.g.•

buy. sdl,

n.'dcmption)

Date

Monlh

Day

Value Gain

Code 2 Code I

(A-ll)(J-P)

ldcntiry of

buycrisdlcr

(if prival< tran.<;.ae1iun)

A.

lksc-riprioo of Ass..·rs

(includitlg tru."I ru.scL-;)

D.B. Transactions during reporting period Income during I Gross val ar end of I

n.-porting period I reporting rcriod

Date of Report !"amt of Person Repor11neFINANCIAL DISCLOSURE REPORT

051()512010FILIPPINE, EDWARD L of10

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS. (/ndicut par1o/Rqwrt.)

Part VII, line 30: On my 2008 FDR. there was a "buy" entry on 03/18i08 for CNP that was duplicated on lines 44 and 83. There was also a sale on 12116108 set

out on line 84 which was actually a "part sale" and did not dispose of all the shares of CNP. The remaining shares were sold on 03117/ as set out on lin.: 30 of this report.

Part VII. line 31: On my 2008 FDR. there was a "buy" entry on 03/J 8/08 for CPB that was duplicated on lines 45 and 78. Also sales were listed on lines 79 and 80 but only one ( line 79) used the correct designation of "part sale.• In fact, they were both part sales and did not dispose of all the shares of stock. Consequently. our ownership of shares ofCPB continued into 2009 and was irn:reased in that y\!ar by an additional buy as listed on line 31.

Part Vil, line 48: The current stock symbol for Waste Management Inc. is "WM"; changed from "WM!" as used in my 2008 FDR.

FlNA. CIAL DISCLOSURE REPORT

of10

Nam• or Pono11 Reporting Dato or Urport

FJLIPPINE, EDWARD L 05/0512010

IX. CERTIFICATION.

I certify that all Information given abO\'e (Including Information pertaining to my spouse and minor or dependent children, if any) Is 11ccur11te, true, and complete to the best of my knowledge and belief, and that any information not reported was withheld because it met applicable starutory pro• !dons permitting non-disclosure.

I further certify that earned income from outside employment and honorarla and the acceptance of i:ms which bne been reported are in compliance with the provisions of 5 V.S.C. app. § 501 et, seq S U.S.C. § 7353, and Judicial Conference regulations.

Slgnatu

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND \\lLFULLY FALSIFIES OR FAILS TO FILE THIS REPORT !\L\Y BE SUBJECT TO CIVIL AND CRI:\flNAL SANCTIONS (5 U.S.C. app. § 104)

FILING INSTRUCTIONS

Mail signed original and 3 additional copies to:

Committee on financial Disclosure Administrative Office of the United States Courts Suite 2-301 One Colwnbus Circle, N.E. Washington, D.C. 20544

filippine, edward - judicial watch · 2019. 7. 26. · jn .. position name of organization/entity...

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