john w lungstrum financial disclosure report for 2010

8/3/2019 John W Lungstrum Financial Disclosure Report for 2010

1/8

AO 10Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 20 10Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1 . P e r s o n Report ing (las t nam e, fi rs t , middle ini t ial )Lu n g s t ru m , J o h n W .

4. Tit le (Art icle 111 judges indica te act ive o r s e n i o r status;magistrate judges indicate full- or pan-time)U.S. Dis t r i c t Judge (A ct ive - Senior on I 1 /02/2010)

2. Court or Organizat ionUSDC, Dis t r i c t o f Kansas

5a. Report Type (check appropria te type)

] N om ination, Date[] Initial [] Annual5b. [] Amended Report

] Final

7. Chambers or Off ice A d d r e s s517 U.S. Courthouse500 State AvenueKansas C i ty , KS 66101

3. Date of Report04/28/2011

6. Report ing Period0 1/0 1/2 0 10

to12/31/2010

8. On the bas is of the information contained in this Report and anymodificat ions perta ining thereto, i t is , in my opinion, in com pliancew ith ap p l icab le law s an d r eg u la t io n s .

Re v ie wing Off i c e r Date

I M P O R T A N T N O T E S : The instractions accompanying thls form mast be followed. 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 . ~ R e ~ , o n i n g i , d iv l d , ,a l o , t y ; s e e ~ , ~ , . 9 - 1 3~--~ (No reportable positions.)ONE

P OS I T I ON1. V i s i t ing P ro fe sso r f rom t he Jud i c i a ry2. Dir ec to r an d o f f ice r

NAME OF ORGANIZATION/ENTITYU n i v e r s i ty o f K a n s a s S c h o o l o f L a w ( a s a p p r o v e d b y C h i e f J ud g e o f m y C i r c u i t )

W e st wa rd H a , Inc . ( co rpora t i on whi ch owns r e s i de n t i a l p rope r t y fo r pe r sona lu s e )

I I . A G R E E M E N T S . ~ R e ~ , o , ~ i , g individual only; seepp. 14-16 of filing instructions.)[~ (No reportable agreemen ts .)O N E

DATE PARTIES AND TERMS


2/8

FINANCIAL DISCLOSURE REPORTPa ge 2 o f 8

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

Date of Repor t04/28/201 l

I II . N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; see pp. 17-24 of fillng instructions.)A. Filers Non-lnvestment IncomeD (No reportable non-investment income.)ONE

DATE SOURCE AND TYPE INCOME(yours, not spouses)i . 2010 U ni v e r s it y o f Ka ns a s i ncome f o r a pp r ov e d t e a ch i ng $3,499.972.3.4.

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 - if you were ma rried during anyportion of the reporting yea r, complete this section.(Dollar amount not requ ired except for honoraria . )~-] N O N E ( N o reportable non-investment income.)

D A T E S O U R C E A N D T Y P E1 .2.3.4.

IV . R E I M B U R S E M E N T S -transportation, lodging, food, e n t e r t a i n m e n t .(Includes those to spouse and dependent children," see pp. 25-27 o filling instructions.)

D (No reportable reimbursements.)O N E

3.4.5.

SOURCE DATES LOCATION

Federa l Judges Associa t ion 05121/2010 - W a s hi ng t on , D .C .05126/2010

PURPOSE

Board of Director s Meet inga n d Q u a d r e n n ia l

ITEMS PAID OR PROVIDE

Travel Expenses


3/8

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 8

Name of Person Report ingL u ng st r u m , J o h n W .

Date of Repor t04/28/201 I

V . G I F T S . a n e l u d e s those to spouse and dependent children; seepp. 28-31 of filing instructions.)N O N E (No reportable gifts.)

SOURCE DESCRIPTIONI.2.3.4.5.

VALUE

V I . L I A B I L I T I E S . a n a u d e s t h o s e o ~ s p o u s e .h a d e p e n d e n t children; see pp. 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

CREDITOR DESCRIPTION1 .2.3.

4.5.

VALUECODE


4/8

FINANCIAL DISCLOSURE REPORTPage 4 o f 8

|Name of Person Reporting [ Date of ReportLungstrum, John W.

[04/28/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income,vatue, transactions (Includes those of spouse and dependent children; seepp. 34-60 of fillng instructions.)N O N E (No reportable income, assets, or transactions.)

D e sc r ip t i o n o f A sse t s( i n c lu d in g t ru s t a s se t s )

Place "(X), after each assetexempt from prior disclosure

1 . Morgan Stan ley Liquid Asset Fund (MoneyMkt)2. Tucson AZ Wtr Dis t . (Bond)3. Col lege Sta t ion TX Sch ool Dis t r ic t (Bond)4. Johnson Cry, KS W ater Dis t5. E a t o n V an c e T ax M G D G ro wt h F u n d(Mutual Fund)6. P eo p l e s Ban k (C D )7. L a w r e nce KS GO ( B ond)8. Johnson Co Wtr Dis t (Bond)9. D erby G O (Bo n d )

1 0 . Ka ns a s S t D e v U ( B ond)1 1 . J o h n s o n C o P k & R ec (Bo n d )1 2 . Coffeyv i l l e E lec t r ic Ut i l i ty (Bond)13 . Johnson Co Wtr Dis t (Bond)1 4 . C o wl ey c o u n t y U S D (Bo n d )1 5 . EV Kansas M unic ipal s (Mutual fund1 6 . IRA1 7 . - M S D W Li q . A s s e t (M o n ey m ark e t fu n d )

I n c o m e d u r in greport ing pe riod

(I) (2 )A m o u n t Type (e.g.,C o d e 1 d iv . . r e n t .

( A - H ) or in t . )

A DividendA I n t e r e s tA I n t e r e s tA I n t e r e s t

A Dividend

A I n t e r e s t

A I n t e r e s tB I n t e r e s tB I n t e r e s tA I n t e r e s tA I n t e r e s t

A I n t e r e s t

A I n t e r e s tA I n t e r e s t

B I n t e r e s tE I n t e r e s 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 d(1) (2)

Value V a l u eC o d e 2 M e t h o d

(J-P) C o d e 3( Q - W )

K TK TK TK TK T

J TJ T

K TK TK TJ TJ TJ T

L TO T

T ra n sa c t i o n s d u r in g r e p o r t i n g p e r io d(I ) (2) (3) (4) (5 )

Type (e.g., D a t e Value G ain Identity o fbuy, sel l , mm/dd/yy C ode 2 Code 1 buyer/seller

redemption) (J-P) (A -H) (if privatetransaction)

D ep s . & W/d s

B uy 12/11/10 J

Sol d 10/01/I0 J A

1. Income Ga in Code s : A =$1,000 or less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000( See C olumns B 1 and D4) F =$50,1)01 - $10O ,000 G -$ t 0O ,0O | - $ ! ,000,O 00 H 1 = $ 1 , 0 0 0 , O O 1 - $ 5 , 0 0 0 ,0 0 0 H2 =Mo re ff tan $ 5,000,000

2. Value C o d es J = $15 ,000 o r le ss K = $1 5,001 - $50,000 L =$ 50,001 - $ 100,000 M =$100,001 - $250,000(S ee C olu mn s C 1 a nd D3 ) N =$25 0,00 1 - $5 00,00 0 O = $500,001 - $ 1,000,000 P 1 - $1 ,0 00 ,0 01 - $ 5, 00 0, 00 0 P 2 = $ 5, 00 0, 00 1 - $2 5, 00 0, 00 0

P3 -$25 ,000,001 - $50,000,000 P4 = M o re than $50,000,0003. Value Mcthod Codes Q =Appraisal R = C os t (Re a l Es t a te Only ) S =Assessment T = C a s h M a r k e t(See Colunm C2) U =Book Value V =Other W =E s t imated

E =$15,001 - $50,000


5/8


Name of Person Report ingL u ngs t r u m , J o h n W .

Date o f Repor t04/28/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; see pp. 34-60 of filing instructions.)[] NONE(No reportable incom e, assets , or t ransact ions.)A, B. C.

D e sc r ip t i o n o f A sse t s In c o m e d u r in g G ro ss v a lu e a t e n d( i n c lu d in g t ru s t a s se t s ) report ing pe riod o f r e p o r t i n g p e r i o d

( 1 ) ( 2 ) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., Value V a l u e

exempt from prior disclosure C o d e 1 d iv ., r e n t, C od e 2 M e t h o d( A - H ) o r i n t . ) (J-P) C o d e 3(Q - W )1 8 . -Selec t Future Fund (Mutual Fund)1 9 . -MSD~V R eal Es ta te Fund (Mutual Fund)20 . -MSDff Real Es ta te Fund (Mutual Fund)21 . -MSD~V R eal Es ta te Fund (Mutual Fund)22 . -MSIF Sm al l Cap Value Ins t l (Mutua l Fund)23 . - Se mpr a Ene r gy ( B ond)24 . - G en e ra l M o t o r s A c c ep t an c e C o rp . (Bo n d )25 . -May Dept . S tores Co. (Note)26 . -Lord Abbot t Bond Deb C (Mut t~al Fund)27 . - l nv e s co C om modi t i e s S t ra t A ( M ut ua lFund)28 . -S BC C o m m u n ic a t i o n s ln c . ( Bo n d )29 . - O p p en h e i m er l n t l Bo n d F D (M u t u a l F u n d )30 . - M S N a t u ra l R es o u rc e (M u t u a l F u n d )31 . - M S C h a r t e r G rah am (M u t u a l F un d )32 . -MS Charter Aspec t L (Mutual Fund)33 . - M S Spe c t r umTe ch ( M ut ua l Fund)34 . - M S Em e r g i ngM k t s D ome s t i c D e b t ( M utua lFund)

T ra n sa c t i o n s d u r in g r e p o r t i n g p e r io d

(i ) (2) (3)Type (e.g., D a t e Valuebuy, sel l , m m/dd /yy C ode 2

redemption) (J-P)

S o ld 04/20/1 0 J(part )Sol d 07/19/10 J(par t )Sol d 10/20/10 J(part )

Sol d 03/01/10 J

B u y 02/01/10 J

(4 ) (5 )Gain Ident i ty ofCode 1 buyer/seller(A-H) ( i f p r i v a t e

transaction)

A

A

A

A

I . I ncome Gain Codes : A = $1 ,000 o r less B = $ [ ,00 ! - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(S e e Colunms B 1 a nd D4 ) F = $50,001 - $100.000 G =$1 00,001 - $1 ,000.000 H 1 = $1 .000,001 - $5,000.000 H 2 = Mo re th an $5 .000,0002. Value C odes J = $15,000 or less K =$15,001 - $50,000 L -$50,001 - $100,000 M =$100,001 - $250,000(See Columns C I and D3) N =$250.001 - $500,000 O =$500,001 - $1 ,000,000 P 1 = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 P 2 =$ 5, 00 0, 00 1 - $ 25 ,0 00 ,0 00

P3 =$25,000,001 - $50,000.000 P4 =More than $50,000,0003 . Va lue Me thod Code s Q =Appraisal R = C os t (Re a l Es t a le Only ) S =Asscssrncnt T =Cash Marke t(See Column C2) U =Book Value V =Other W =E s t imated

E =$15,001 - $50,000


6/8


Name of Person Report ingLung s trum , J ohn W .

Date of Repor t04/28/2011

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (Includes those of spouse and dependent children; seepp. 34-60 of filing instructions.)D NONE (No rep ortable income, a ssets , or t ransact ions. )A. B. C.

D e s c r i p t io n o f A s s e t s In c o m e d u r in g G ro s s v a lu e a t e n d( i n c lu d in g t ru s t a s se t s ) r e p o m 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

(l) (2 ) (1) (2)Place "(X)" after each asset A m o u n t Type (e.g., Value Value

exempt from prior disclosure C o d e 1 d iv ., r e n t, C o d e 2 M e th o d( A - H ) or in t . ) (J-P) C o d e 3( Q - W )

(1 )Type (e.g.,

buy, sel l ,redemption)

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

(2) (3) (4)D a te Va l u e G a in

m m / d d / y y Code2 C o d e 1( J -P ) ( A - H )

Identity ofbu y e r / s e l l e r(if private

t r a n s a c t i o n )

35 . -Van KIVIPN Dynamic CR OPP Fund(Mutual Fund)3 6. - H & Q H e a lt hc a re Fd ( M ut ua l Fu n d)

3 7. -Blackr0ck US Oppor tuni t i e s (Mutua l Fund)

38 . -Blackrock Equi ty Div (Mutua l Fund)39 . - EV L a r ge C a p Va l ue A ( M ut ua l Fund)40 . -Hender son In t l Opportun i t ie s (Mutual

Fund)41 . - I v y La rg e C ap G rw A (M u t u a l F un d )42 . -Jenn ison Natl Resources A (M utual Fund43 . -Lazard Emerging Marke ts Open (Mutua lFund)44 . - N u v een T rad ewi n d s V a l O p p . A (M u t u a lFund45 . - O p p en h e i m er G o l d & S p ec M i n A (M u t u a lFund)46 . - Thor nb ur g l n t l Va lue A ( M ut ua l Fund)47 . -Van Kam pen Sma l l Cap Grow th A (Mutua l

Fund)48 . -Ma instay Large Cap Growth A(M utua l

Fund)49 . -Tor to i se MLP (Mutua l Fund) B uy 07/27/10 K

1. In com e G ain C od es: A = $1,000 o r less B =$1 ,001 - $2,500 C = $2,501 - $5 ,000 D =$5,001 - $15,000(S e e Columns B 1 a nd D4 ) F =$50,001 - $100,000 G =$100,001 - $1 ,000,000 H 1 =$ 1,000,001 - $5,000,000 H2 -More than $5,000,000

2. Value C odes J = $15,000 or le ss K =$15,001 - $50,000 L =$50,001 - $I 00,000 M =$1 00,001 - $250,000(See ColumnsC I and D3) N =$250.001 o $500,000 O =$500,001 - $1 ,000,000 PI =$1,000,001 - $5,000,000 P2 =$5,000,001 - $25.000,000P3 = $25,000,001 - $50,000,000 P4 = M o re than $50,000,0003. Value Method Codes Q = A ppra i sa l R =C os t (Rea l Es ta le Only) S =Assessment T = C a s h M a r k e t(See Column C2) U =Book Value V =Other W =Es t imated

E =$15.001 - $ 5 0 , 0 0 0


7/8

FINANCIAL DISCLOSURE REPORTPage 7 of 8

N a m e o f Person Report ingLungstrum, John W.

Date of Repor t04/28/2011

VIII. ADDITIONAL INFORM ATION OR EX PLANATIONS. ~ln,~ieatepart ofreportOPar t VII:

I ha v e t r e a te d r e i nv e s t m e n t p rogra m s a s e xe m pt be ca use t he y m e re l y r e p re se n t a cha ng e i n t he fo rm o f t he a sse t .W i t h r e ga r d t o L i ne 1 , 1 ha v e no t p r ov i de d da t e s a nd v a l ue code s b e ca us e t he t r a ns ac t i ons a r e nume r ous , us ua l ly s m a l l a nd a r e t he e q u i v a le n t o f b a nk de po s i ts a nwithdrawals .With regard to the IRA ( l ine 16) , I have only shown inte res t in Column B (2) because the comp ute r program wo uld permi t l i s t ing only on e type . However ,div idends and capi ta l ga ins were a lso r ea lized by the IRA.


8/8

FINANCIAL DISCLOSURE REPORTPage 8 of 8

Na m e o f Pe rs on Re por t ingLungstrum, John W.

D a te o f Re por t04/28/2011

IX . CERTIFICATION.1 c e r t i f y t h a t a ll i n f o r m a t i o n g i v e n a b o v e ( i n c lu d i n g i n f o r m a t i o n p e r t a i n in g t o m y s p o u 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 , i f a n y ) i saccura te , t rue , and comple te to the b es t o f my knowledge and b e l i e f , and tha t any in fo rmat ion no t r epo r ted was wi thhe ld b ecaus e i t me t app l i cab le s t a tu to ryp r o v i s io n s p e r m i t t i n g n o n -d i sc lo su r e .I fur ther cer t ify tha t earned income f rom out s ide employ m ent and hono rar ia and the accep tance o f g i f t s which have been r epor t ed a r e incom pliance w ith the provis ions of 5 U.S.C. app. 501 et . seq. , 5 U.S.C. 7353, and Judicial Conferen ce regulat ions .

Signa ture : S /John W . Lungs trum

N O T E : A N Y IN D I V ID U A L W H O K N O W I N G L Y A N D W IL F U L L Y F A L S IF IE S O R F A I L S T O F I L E T H IS R E P O R T M A Y B E S U B J EC T T O C I VI LA 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)

Committee on Financial DisclosureAdministrative Office of the United States CourtsSuite 2-301One Columbus Circle, N.E.Washington, D.C. 20544

john w lungstrum financial disclosure report for 2010

Documents