Audrey G Fleissig Financial Disclosure Report for 2010

8/3/2019 Audrey G Fleissig Financial Disclosure Report for 2010

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AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0Report Re quired by the Ethics

in Government Act of 1978(5 U.S .C app. .~b 101-111)

!. Person R epor t ing ( las t name, f i r s t , middle ini t i a l )FLEISSIG, AUDREY G.

4. Title (Article III judges indicate active or senior status;magistrate judges indicate full- or part-t ime)

U.S. DISTRICT JUDGE - ACTIVE STATUS

7. Chamb ers or Office AddressI I I S. 10TH STR EET: 12SST. LOUIS, MO 63102

2. Court or Organizat ionEASTERN DISTRICT OF MISSOURI

5a. Repor t Type (check appropr iate] Nomination, D a t e[] Initial [] Annual [] Final5b. [] Amended Report8. On the bas i s of the informat ion contained in th i s Repor t and anymodifications pertaining Ihereto, i l is, in my opinion, in compliancewi th appl icab le lav, s and regulat ions.

3. D a t e o f R e p o r t05/5/201 I

6. Reporting PeriodI/I/2010

to12/31/2010

R evie~ ving O fficer Date

I M P O R T A N T N O T E S : The ins tructions accompanying th is form must be followe,! Com plete a l l 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 . m e ~ , o , ~ i n g individual only; see pp . 9-13 of fi l ing instruct ions. )~ (No re portable posi t ions.)O N E

POSITION NAME OF ORGANIZATION/ENTITY1 . C O - T R U S T E E (N O F E E) L IVI NG T R U ST CRE A T E D U ND E R A G RE E ME NT 8 / 31/ 8 42. A D JU N C T I N S T R UC T O R W A S H IN G T O N U N I V E R S I T Y S C H O O L O F L AW

3.

4.

5.

I I . A G R E E M E N T S . m e p o . ln g l n d l v id u a l o n l r ; s e e p . . 1 4 - 1 6 o S ~ l l .g instructions.)~] (No reportable agreemen ts.)O N E

DATE PARTIES AND TERMS


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FINANCIAL DISCLOSURE REPORTPage 2 of I0

N a m e o f P e r s o n R e p o r t in gFLEISSIG, AUDREY G.

D a l e o f R e p o r t05/5/201 I

Ill. N O N - I N V E S T M E N T I N C O M E . (Reporting individual and spouse; seepp. 17-24 of filing instructions.)A. Fliers Non-Inv estment Inc ome~ (No reportable income.)ONE n o n - i n v es tm en t

DATE SOURCE AND TYPE

1.2010 W A S H IN G T O N U N I V E R S IT Y S C H O O L O F L A W - A D J UN C TI N S T R U C T O R

INCOME( y o u r s , n o t s p o u s e s ) $20,000.00

B . S p o u s e s N o n - l n v e s tm e n t I n c o m e - If you were married during anyportion of the reporting~ear, complete this section.(Dollar amount not required except for honoraria.)~ (No reportable non-investmen t income.)ONE

DATE SOURCE AND TYPEI. 2010 M ISSO UR I M AC H IN ER Y & EN GIN EER IN G C O M P AN Y (SALAR Y)

2.

3.4.

I V . R E I M B U R S E M E N T S - transportation, Iodging~ food, entertainment( I n c l u d e s t h o s e t o sp o u s e a n d d e p e n d e n t c h i ld r e n , s e e p p . 2 5 - 2 7 o f . f i l i n g i n s t r u c t i o n s . )

~] N O N E (No reportable reimbursements.)

2.

3.

4.

5,

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR PROVIDED


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FINANCIAL DISCLOSURE REPORTPage 3 of 10

N a m e o f P e r s o n R e p o r l i n gFLEISSIG, AUDREY G.

D a t e o f R e p o r t05/5/201 I

V . G I F T S . a n c l u d e s those to spouse an d dependen t children; see pp. 28-31 of filing instructions.)NONE(No re portable gi fts .)

SOURCE1.

2.

3.

4.

5.

DESCRIPTION VALUE

V I . L I A B I L I T I E S . a n c l u d e s t h o s e o / s p o u s e o n d d e p e n d e n , children; see p p . 3 2 - 3 3 of f i l ing instructionsO1~ N O N E (No reportable liabilit ies .)

2.

3.

4.

5.

CREDITORU M B B A N K

ST . L OU I S D E VE L OP ME NT CORP .

DESCRIPTIONM O R T G A G E O N C O M M E R C I A L R E A L ES T A T E

M O R T G A G E O N C O M M E R C I A L R E A L ES T A T E

V ALUEC ODEN

L


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D a t e o f R e p o r l05/5/201 I

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.)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io 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 i n g p e r i o d

(l) (2)Place "(X)" after each a s s e t A m o un t T y p e ( e .g .,exemp! 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 V alueC o d e 2 M e t h o d

( J - P ) C o d e 3

(1 )Type (e.g. ,buy, sell ,

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

D a t e Value Gainm m/dd/yy Code 2 Code I

(J-P) (A-H)I d e n t i t y o f

buyer/seller( i f p r i v a t et r a n s a c t i o n )

I . IRA #1 C Int./Div. M2. - B A N K O F A M E R I C A C O R P Sold 1 0 /2 0 /1 0 K3. - BERKSHIRE HATHAWAY4. - ZOLTEK

5. - WELLS FARGO ( former ly know n a s AGEdwards)6. - CO LUMBIA FUNDS TR - GLOBALVALUE INV7. - HARBO R FD INTL FD8. - RO YCE PREMIER INVESTMENT CL9. - PIMCO FUNDS COM MO DITY/REALR ET1 0 . - PIMCO TOTAL RET FD INSTL1 1 . - INSURED DEPOSIT ACCOUNT1 2 . IRA#21 3 . - IRA- BANK OF AMERICA

A lnt./Div.

Sold 10/20/10 J(part)Sold 10120/10 K

Closed 10/06/10 JSold I0118/10 MBu y 1 0 1 1 8 1 1 0 LBuy 1 0 1 1 8 1 1 0 K

Buy 1 0 1 1 8 1 1 0 K

Bu y 1 0 1 1 8 1 1 0 LO pen 10/04/I 0 J

Merged I 0/04110 J(with l ine I )D i s t r ibu t e d 1 0 /0 4 1 1 0 K

1 4 . - IRA- ZOLTEK Distributed 10/04/I 0 K1 5 .

1 6 .1 7 .

- IRA - WELLS FARGO ( former ly know n a sAG Edwards)-IRA - CO LUMBIA FUNDS TR -GLOBAL VALUE INVIRA #3 Int./Div.

Closed 10/06/10 J

Distributed 10/04/10 L

I. Income Gain Codes:(See Columns B I and

2. Value Codes( See C ol umns C I and D3)

3. Value Method Codes( See C ol umn C 2)

A=$1,000 or lessF=S50.001 - $10~.000J =$15.00~ or lessN -$250.001 - $500.000P 3 -$25,0~0,091 - $50.090.000Q =AppraisalU =Book Value

B=$1.001 - $2,500G =$10~,1~1 - $1,0~0.00~K =$15,0~1 - $50.000O =$500.001 - $1R =Cost (Real Estale Only)V O~.h cr

C =$2,501 - $5,000H 1 = $1,000,001 - $ 5 . 0 0 0 . 0 0 0L =$50.001 - $100.000PI =$1,000,001 -P4 =More than $50,000.000S =AssessmentW =Estimated

=$ 5 . 001 - $ 15 , 000H 2 = M o r e t h a nM =$ 10~. 001 - $ 25 0 . 000P2 $ 5 . 000 , 09 1 - $ 25 . 000 , 000

= C a s h M a r k c l

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


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N a m e o f P e r s o n R e p o r t in gFLEISSIG, AUDREY G .

D a ~ e o f R e p o r t05/5/201 I

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 oJfiling instructions.)N O N E (No reportable income, assets, or transactions.)

A. B. C. D.Descr ip t ion of Asse ts In c o m e d u rin g Gro ss v a lue a t e n d Transac t ions dur ing repor t ing per iod

( in c lud in g trus t a s se ts ) r ep o rtin g p e r io d o f r e p o r t i n g p e r i o d(I) (2) (I) (2 ) (I) (2) (3) i (4) (5 )

Place "(X)" after each asset A m o u n t Type (e.g., V a Iu e V a lue Type (e.g., Date Value ! Gain I d e n t i ty o fexempt from prior disclosure Code I div.,rent, Code2 M e t h o d buy, se l l , m m / d d / y y Code2 i Code I buyer / se l l e r

( A - H ) orint.) (J-P) C o d e 3 r e d e m p t i o n ) (J-P) [ (A-H) (ifprivate( Q - W ) t r ansac t ion )

1 8 . - IRA - WELLS FARGO ( former ly know n a s Closed 10/06/10 JAG Edwards)1 9 . -IRA - BANK OF AMERICA Sold 10/20/10 J20 . - IRA- BERKSHIRE HATHAWAY Sold 10/20/10 J21 . - IRA- ZOLTEK Sold 10/20/10 J22 . - IRA - COLUMBIA FUNDS TR- Sold 10/20/10 LGLOBAL VALUE INV23 . -IRA - HARBO R FD INTL FD Buy 10/I 8/10 K

24 . - IRA - COHEN & STEERS REALTY SHS Bu y 10/18/10 K25 . - IRA- INSURED DEPOSIT ACCO UNT O p e n 10/04/10 J26 . WELLS FARGO- M/M ( former ly know n as A Interest Closed 10/04/10 JAG Edwards)27 . AMER FUND- CAPITAL INCO ME B Dividend So ld 02/12/10 KBUILDER (part)28 . Sold 09/28/I 0 J(part)29 . Distr ibuted 10/04/I 0 L

B

A

30 . WELLS FARGO- M/M ( former ly know n as A Interest Closed 10/04/10 JAG Edwards)31 . AMER FUND- CAPITAL INCO ME C Dividend So ld 02/12/10 KBUILDER (part)32 . So ld 09 /28/10 J(part)33 . Dis trib ute d 1 0/0 4/1 0 L34 . WELLS FARGO- M/M ( former ly know n as A Interest Closed 10/04/10AG Edwards)

1. Incom e Gain Codes: A = $1.000 o r less B = $1,001 - $2,500 C = $2.501 - $5 ,000 D =$5,001 - $15,000(See Co lumns B I and [M) F =$50,001 - $100.0~ G =$1 0~ .0~ 1 - $1 .000.0~ 0 H I = $1 .0 ~0 ,0 01 - $5 .1~ ).0 00 H2 -More than $5.0~0.0OO

2. Value Codes J -$15.000 or less K = $15.001 - $50,000 L =$50,001 - $ 100,000 M = $ 100.001 - $250.000( See C ol umns C I and D3) N =$25 0.001 - $500,000 O =$5 00.001 - $1,000,000 PI =$1,000.001 - $5,000.000 P2 =$5,000.001 - $25.0~0.000

P3 =$25,000,001 - $50.000.000 P4 =More than $50,000,0003. Value Method Codes Q =Appraisal R =Cost (Real Estale Only) S =Assessment T =Cash Marke t( see C ol umn C 2) U =Book Value V = O t h e r W =Eslimatcd

E =$ I 5.001 - $50,000


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FINANCIAL DISCLOSURE REPORTPage 6 of 10 Ia m e o f P e r s o n R e p o r t in gFLEISSIG, AUDR EY G. D a t e o f R e p o r t05/5/2011

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 instructionsa)N O N E (No reportable income, assets, or transactions.)

D e s c r i p t io 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 i n g p e r i o d

O) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o un t T y p e ( e .g .,e x e m p t f r o m p r i o r d i s c lo s u r e 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 d(I) (2)Value ValueC o d e 2 M e t h o d

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

T y p e ( e .g . ,buy , 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)

Date V a l u e Gainm m / d d / y y Code2 C o d e 1

( J - P ) ( A - H )

(5 )I d e n t i ty o fbuyer/seller(ifprivatd

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

35 .36 .37 .

A ME R FU ND - CA P I T A L I NCOME C D ividendBUILDER Sol d(part}Sol d(part)

Distr ibuted

02/12/10

09/28/I 0

10/04/10

KJ

L

38.

39 .

40 .

41.

42.

43 .

44.

45 .

46.

47 .

48.

49 .

50 .51 .

BRO KERAGE ACCOUNT # I

- Amer Fund - Cap i ta l Incom e Bui lde r- Amer Fund - Capi ta l Income Builder- Amer Fund - Capi ta l Income Builder- Vangua rd Tax Ex empt Funds In te r

A Int./Div. M T Spinof f 10/04/10( f rom l ine 26)Spinof f 10/04/10( f rom l ine 30)Spinof f 10/04/10( f rom l ine 34)Spinof f 10/04/10( f rom l ine 29)Spinof f 10/04/I 0( f rom l ine 33)Spinof f 10/04/10( f rom l ine 37 )

Bu y 10/15/10

JJJLL

LK

- Vanguard Tax Exempt Funds Shor t Buy 10/15/10 K- Royce Prem ie r Inves tment Buy 10/15/10 J- Ishares Midcap Bu y 10/15/10 L- Amer ican Funds - Capi ta l Income BuilderMISSOURI MACHINERY &ENGINEERING 50% PRIVATELY HELDBKF LLC 50% PR IVATELY HELD RE,ST. LOUIS MOUS SAVINGS BON DS

E lnt./Div.

D RentNo n e

O

JK

u

u

T

Sold I 0/I 5/I 0(part) M D

I. Incom e Gain C odes : A = $1,000 o r Icss B = $1,001 - $2,500 C -$2,501 - $5 ,000{Sce C ol umns B I and [ M ) F = $50,001 - $100,000 G = $100,001 - $1.000.000 HI =$1.000,001 - $5.000,0OO

2. Valuc Codes J =$15.000 or less K =$15.001 - $50,000 L =$50.001 - ${SceC ol umnsC I and D3} N = $250,001 - $500,000 O $500,001 - $1,000,000 PI = $1.000.001 -$5,000,000

P3 $25~000,001 - $50,000.000 p4 -Morc than $50,000,0003. Value Melhod Codes Q =Appr ai ~ l R =Cost {Real Estate Only} S =As~cssmcnl{ S~c Co lumn C2 ) U =Book Value V =O~hcr W =E,timatcd

=$5,001- $15,000H2 =More M an $5.00~.000M = $100.001- $250,009P2 ~$5.090.001-$25.000.000

=Cash Marke t

E =$15.0~1 ~ $50,0~0


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N a m e o f P e r s o n R e p o r ti n gFLEISSIG, AUDREY G .

D a t e o f R e p o r t05/5/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - incom e , va lue , transac t ions ( Inc ludes those of spouse an d dependent ch i ldren; see pp . 34-60 of f i l ing ins t ruc t ions . )N O N E (No reportable income, assets, or transactions.)

Descr ip t ion of Asse ts I n c o m e d u r i n g( in c lud in g trus t a s se ts) r ep o rtin g p e r io d

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

exempt from prior disclosure C o d e I d iv . , ren t .( A - H ) or int.)

Gross va lue a t endo f r e p o r t i n g p e r i o d

(I) (2)V a lu e V a lue

C o d e 2 M e t h o d( J - P ) C o d e 3

( Q - W )

O)Type (e.g.,buy, se l l ,

r e d e m p t i o n )

Transac t ions dur iog repor t ing per iod

(2) (3) (4)D a t e Value Gain

m m /d d/y y C od e 2 Code I( J - P ) ( A - H )

(5 )I d e n t i ty o f

buyer / se l l e r( i f p r i v a t e

t r ansac t ion )

52 . RE - CONDO, ST. LOUIS, M O D Ren t M W

53. COMMERCE GROWTH FUND 401(K) B D ividend M T

Bu y(add l ) 03/17/10 J

54. BANK OF AMERICA A I n t e r e s t K T

55 .56 .57 .

58 .59 .

MO ST - MISSOURIS 529 COLLEGESAVINGS PLAN (X)- VANGUARD CONSERVATIVE (X)I N C O M E PORTFOLIO

B Int./Div. ClosedDistr ibuted(part)Distr ibuted( p a r t )D i s t r i b u t e d( p a r t )D i s t r i b u t e d

08/10/1001/04/1004/26/I 005/20/1008/10/10

J

JJ

JJ

60. BENEFICIARY OF TRUST OF FATHERSESTATE61. -TD MONEY MARK ET PORTFOLIOINVESTOR CLASS62 . - AM ERICAN FUNDS CAPITAL WORLDBOND FUND-SBI CLASS A63. - INTERMEDIATE BOND FUNDOFAM ERICA SBI CLASS A64. - AM ERICAN FUNDSNEWPERSPECTIVE FUND INC CL A65. - HARBOR FD B D FD INSTL

D lnt./Div. N W

Sold(part) 01/I 1/10 J A

66. - HARB OR FD CAP APPRECIATION

67 . - HARB OR FD INTL FD68 . -MSIF FDS INC US REAL ESTATE FDC L A

1. Income Gain Codes: A =$1,000 or Icss B = $1,001 - $2,500 C = $2,501 - $5,000 D = $5.001 - $15 ,000(See Columns BI and I)4) F =$50.001 - $100,OO0 G =$1 00,0 01 - $1.0 9~ .000 H I = $1 ,0 00.00 1 - $5 .00 ~,00 0 H2 =More than $5,000,000

2. Value Codes J =$15.000 or less K =$15.001 - $50.090 L =$50.001 - $100.000 M =$100.001 - $250.000( See C ol umns C I and D3) N =$250.001 - $5 00.0~ ) O -$500.001 - $1,000.000 PI =$1.000.001 - $5,000,000 P2 =$5.0~0,001 - $25.000,~30

P3 = $25.0~k001 - $50.00~.000 P4 =M ore than $50.000.0003. Value Mclhod Codes O =Appraisal R =Cost (Real Estate Only) S =Assessment T =Cash Marke t(See Co lumn C2 ) U =Book Value V = O t h e r W =Estimaled

E = $ 1 5 , 0 0 1 - $ 50 , 0 0 { )


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FINANCIAL DISCLOSURE REPORTPage 8 of 10 Ia m e o f P e r s o n R e p o r l i n gFLEISSIG, AUDREY G . D a t e o f R e p o r t05/5/201 I

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, tra .... tions (Includes those of sp ...... d dependen t chi ldren; seepp. 34-60 of f i l ing instruc t ions.)D (No repor table income , asset s , orONE transactions .)

A. B. C.De sc rip tio n o f Ass e ts In c o m e d u rin g G ro ss v a lu e a t e n d( in c lud in g trus t a s se ts ) r ep o rtin g p e r io d o f r e p o r t i n g p e r i o d

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

exempt from prior disclosure C o d e I d i v . , r e n t , C o d e 2 M e t h o d( A - H ) or int.) (J - P ) C o d e 3( Q - W )

(i )T y p e (e.g.,buy, se l l ,


Transac t ions du r ing r~po r l ing pe r iod

( 2 ) (3) (4)D a t e Value Gain

mm/dd/yy C o d e2 Code I( J - P ) (A-H)

ldcnti~ ofb u y c r / s l { c r( i f p r i v a t e

l r ansac t ion )

69 . - R O W E T P R I C E E Q UI T Y IN C O M E F S HBEN INT

70 . - R O Y C E F D P R E M I ER I N V E S T M E N TC L71 . - I SH A RE S RU SSE L L 1000 I ND E X FU ND

Sold( p a r t ) 01/11/10

1. Incom e Gain Codes: A -$ 1,000 o r less B =$ 1,001 - $2,500 C =$2,501 - $5,000 D =$5,00 { - $15.000(See Co lumns B I and IM) F =$50.001 - S 100.000 G =$100,001 - $1,000,000 HI =$1 , 000 .00 l - $5,000,000 H2 =More than $5,000,000

2. Value Codes J = $15.000 or less K -$15.0~ I - $50,000 L -$50,001 - $ 100,000 M =$ 100.00 | - $250,1)00( See Columns C I and D3 } N -$250.001 - $500.000 O = $5 00 .0 01 - $ 1,0 00 ,0 00 P I = $1 ,0 00 ,0 01 - $5 ,0 00 ,0 00 P2 -$5.000.001 - $25,000,000

P3 =$25.000.001 - $50.000.000 P4 -More than $50,000,0003. Valuc Mcthod Codes Q =Appraisal R =Cost (Real Estate Only) S =Asscssmcnt ] =C ash M ar kc t(Sec Column C2) U =Book Valuc V = O t h c r W =Estimated

E - $ 1 5 . 0 0 1 - $ 5 0 , 0 0 0


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N a m e o f P e r s o n R e p o r t i n gFLEISSIG, AUDREY G .

D a t e o f R e p o r ~05/5/201 I

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


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Name of Person Rep or t ingFLEISSIG, AUDREY G.

Date of Report05/512011

IX. CERTIFICATION.I c e r t if y t h a t a l l in f o r m a t i o n g i v e n a b o v e ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n 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 , if a n y ) i s

a c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o v c l e d g e a n d b e l i e f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s ~ v i t h h e l d b e c a u s e i t m e t a p p l i c a b l e s ta t u t o ryp r o v i s io n s p e r m i t t in g n o n -d i s c l o s u re .1 f u r t h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s id e e m p l o y m e n t a n d h o n 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 b e e n r e p o r t e d a r e i ncom pl iance ~v 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 Confe rence regulat ions .

Signature: S/AUDREY G. FLEISSIG

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES OR FAILS TO FILE THIS REPORT MAY BE SUBJECT TO CIVILAND CR IMINAL SANCTION S (5 U.S.C. app. 104)

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


11/20

AO I0Rev. 1/2011 FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2 010Report Required by the Ethicsin Govermn ent Act of 1978(5 U .S .C. app. .~~ I01-111)

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)FLEISSIG, AUDREY G.

4 . T i t l e ( A r t i c l e 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 a t u s ;magis t ra te judges ind ica te fu l l - o r par t - t ime)

U.S. DISTRICT JUDGE - ACTIVE STAT US

7 . C h a m b e r s o r O f f i c e A d d r e s sI I I S. 10TH STREET: 12SST. LOUIS, MO 63102

2 . C o u r t o r O r g a n i z a t io nEASTERN DISTRICT OF MISSOURI

3 . Date o f Report08/I/201 I

5a. Report T)ve (check appropriate t ype )] 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 ew i t h a p p l ic a b l e l a w s a n d r e g u l a t io n s .

6 . R e p o r t i n g P e r i o dI/1/2010

to12/31/2010

R e v i e w i n g O f f ic e r 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 follon,ed Complete all parts,check ing the NONE box for each par t where you ha ve no repor table in formation . S ign on las t page.

I . P O S I T I O N S . m e p o n i n g individual only; seepp. 9-13 of fi l ing instructions.)D (No reportablepositions.)ONE

POSITION NAM E OF ORGANIZATION/ENTITYI. CO-TRUSTEE (NO FEE) LIV ING TRUST C REATED UNDER AGREEM ENT 8/31/842. ADJUNCT INSTRUCTOR WASHINGTON UNIVERSITY SCHOOL OF LAW3.

4.5.

I I . A G R E E M E N T S . ~ R e p o n l n g i n d i v id n o l o n l y ; s, e p p . 1 4 - 1 6 of filing instructions.)~] NONE (No reportable agreements.)

DATE PARTIES AND TERM S


12/20

FINANCIAL DISCLOSURE REPORTPage 2 o f 10


D a t e o f R e p o r t08/I/2011

I I I . 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 filing instructions.)A. Filers Non- l nve s tmen t I nc omeD (No reportable income.)ONE non-investment

DATE SOURCE AND TYPE

1.2010 WASHINGTON UNIVERSITY SCHOOL OF LAW - ADJUNCTINSTRUCTOR

INCOME(yours, not spouses)$20,000.00

B . S p o u s e s N o n - l n v es tm e n t I n c o m e - i f y o u were married during any portion of the reporting ),ear, complete this section.(Dollar amount not required except for honoraria.)

~] N O N E ( N o reportable non-investment income.)DATE SOURCE AND TYPE

I. 2010 MISSOURI MACHINERY & ENGINEERING CO MPANY (SALARY)2.3.4.

IV . R E I M B U R S E M E N T S - transportation, lodging, food, entertainment(Includes those to spouse and dependent children: see pp. 25-27 of fi l ing instructions.)~] N O N E (No reportable reimbursements.)

2.3.4.5.

SOURCE DATES LOCATION PURPOSE ITEMS PAID OR P ROVIDED


13/20

FINANCIAL DISCLOSURE REPORTP a g e 3 o f 1 0

N a m e o f P e r s o n R e p o r ti n gFLEISSIG, AUDREY G.


V . G I F T S . ( I n c l u d e s t h o s e t o s p o u x e a n d d e p e n d e n t c h i ld r e n ; s e e p p . 2 8 - 3 1 o f f i li n g i n s t r u c t io n s . )N O N E (No reportable girls.)

SOURCE DESCR|PTIONI.2.3.4.

5.

VALUE

V L L I A B I L I T I E S . a . a ~ d e s t h o s e o l s p o u s e and dependent children; see pp. 32-33 of filing instructions.)[~ N O N E (No reportable liabilities.)

2.3.

4.5.

CREDITORUMB BANKST. LOUIS DEVELOPMENT C ORP.

DESCRIPTIONMORTGAGE ON COM MERCIAL REAL ESTATEMORTGAGE ON COM MERCIAL REAL ESTATE

VALUECODEN

L


14/20



D a t e o f R e p o r t08/I1201 I

N O N E (No reportable income, assets, or transactions.)

Des c r i p t i o n o f As s e t s I n c o m e d u r i n g( i n c l u d i n g t r u s t assets ) r e p o r t i n g p e r i o d

O) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g . ,e x e m p t f ro m p r io r d i s c l o s u r e 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 d(i) (2)Value ValueC o d e 2 M e t h o d

(J-P) C o d e 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 )

Transac t ions during report ing period(2) (3) (4)

D a t e Va lu e Gainm m /d d!yy C od e 2 Code I

O - P ) ( A - H )

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

I. IRA #1

2. - B A N K O F A ME R IC A C O R P

Int./Div. M TSold 10 /20 /10 K

3. - BERKSHIRE HATHAWAY4. - ZOLTEK

Sold I0/20/I0 J(par t)Sold 10/20/I 0 K

5. - WELLS FARGO ( fo rme r ly known a s AGEdwards)6. - COLUMB IA FUNDS TR - GLOBALVALUE INV7. - HARBOR FD INTL FD8. - ROYCE PREMIER INVESTMENT CL9. - PIMCO FUNDS COMMODITY/REALRET1 0 . - PIMCO TOTAL RET FD INSTLI 1. - IN SURE D DEPOSIT ACCOUN T1 2 . IRA #21 3 . -IRA- BANK OF AM ERICA

A lnt./Div.

Cl o s e d 10/06/10 JSold 10/18110 MB uy 10/18110 LB uy 10/18/10 KB uy 10/18/10 KB uy 10/18/10 L

Open 10/04/I 0 JMe rg e d 10/04/I 0 J(w i th l i ne I )

Distributed 10/04/10 K1 4 . - IRA-ZOLTEK Distributed 10/04/10 K1 5 .

1 6 .1 7 .

- IRA - W ELLS FARGO ( fo rme r ly known a sAG Edwards)-IRA - COLUMBIA FUNDS TR -GLOBAL VALUE INVIRA #3 Int./Div. T

Cl o s e d 10/06/10

Distr ibuted 10/04/I 0

J

L

I.Income Gain Codes :(See Co lumns B I and D4~

2. Value Codes(Sec Co lumn~ CI and D3~

3. Value Mclhod Codes[Scc Column C2 )

A =$1,000 or lessF =$50.001 - $100.0~0J $15.0~) o r le s sN =$250.0OI - $500.000P3 =$25.000.0OI o $5 0.000.000Q =App ra i sa lU =Book Value

B =$1,001 - $2,500G =$100.001 - $1,090,000K =$15,001 - $5 0.000O =$500.001 - $1,000.O00R =Cosl (Real Estate Only)V =Other

C =$2,501 - $5,000H I =$1.00~.001 - $5,000.000L =$50,001 - $ 100.0~0PI =$1.OO0,00l - $5,0~0,000P4 =More than $50,00~.00~S =As s es smen tW = Es l lma t ed

D -$5,001 - $15,000112 =More than $5,000.000M =$100,001 - $250,1)00P2 -$5.000,001 - $25,000.000T =Cash Market

E =$15,1)OI - $50,000


15/20


N a m e o f P e r so n R e p o r t i n gFLEISSIG, AUDREY G.

D a t e o f R e p o r t08/1/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i n c o m e , , ,a lue, transactions (Includes those of spouse and d ependen t children; see pp. 34-60 of fi ling instructions.)N O N E (No reportable income, assets, or transactions.)

D esc r i p t i o n o f A s s e t s I n c o m e d u r i n g( inc luding t rusl asse ts) r e p o r t in g p e r i o dO) (2)P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g .,e x e m p t f ro m p r i o r d is c l o s u r e Code I d i v . , r e n t ,( A - H ) o r int.)

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 d0) (2)

V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3( Q - W )

(1 )Type (e.g.,buy, sel l ,

redempt ion)

Transac t ions during report ing period(2) (3) (4)

D a t e Va lu e Gainm m/dd /yy Co de 2 Code I

(J-P) (A-H)

O)I d en t i t y o fbuyer/seller( i f p r i v a t e


1 8 . - IRA- WELLS FARGO ( fo rm e r ly know nAG Edward s )1 9 . -IRA - BANK OF AMERICA

Closed 10/06/10 JSold 10/20/10 J

20 . - IRA- BERK SHIRE HATHAW AY21. -IRA- ZOLTEK

Sold 10/20/10 J

Sold 10/20/10] J22 .23 .24 .

25 .26.

27 .28 .

29 .

-IRA - COLUMBIA FUNDS TR -GLOBAL VALUE INV-IRA - HARBOR FD INTL FD-IRA - COHEN & STEERS REALTY SHS

Sold 10/20/10B uy 10/18/10B uy 10/18/10!

LK

K

-IRA - INSURED DEPOSIT ACCOUNT Open 10/04/10 JWELLS FARGO - M/M (forme rly known a ~,AG Edward s )AMER FUND - CAPITAL INCOMEBUILDER

A Interes t

B Div idend

Closed 10/04/10So ld 02/12/10(part)Sold 0 9 1 2 8 1 1 0(part)

Dis t r i bu t e d 10 /04110

J

K

JL

B

A

30 .31.32.

33.

WELLS FARGO - M/M (form erly know nAG Edward s )AMER FUND - CAPITAL INCOMEBUILDER C Div idend

Closed 10/04/I 0

Sold 02/I 2/I 0( p a r t )Sold 09/28/10( p a n )

Distributed 10/04/10

J

K

J

L34 . WELLS FARGO- M/M ( fo rm e r l y k nown a ,~ AAG Edward s ) Interest Closed 10/04/10 J

I. In co m e Gain Co d es: A =$1,000 o r less B =$1,001 - $2,500 C = $2,501 - $5 .000 D =$5,001 - $15 ,000(See Co lumns B I and IM) F =$50.001 - $100,000 G = $1 00 .0 01 - $ 1,0 00 .0 00 H I = $1 .0 00 .0 01 - $ 5,0 00 .0 00 H2 =More than $5,000,000

2. Value Codes I $15,00~ or l e s s K = $15,001 - $50,000 L =$50,001 - $100.000 M =$100,001 - $250,000(See Co lumns CI and D3) N =$250.001 - $500.000 O = $5 00 .0 01 - $ 1.0 00 .0 00 P I - $1 ,0 00 ,0 01 - $ 5.0 00 .0 00 P2 =$5,000,001 - $25,000.000

P3 =$25.000.001 - $50.000.000 P4 =Mo re than $50,000.0003. Value Method Codes " Q = App ra i sa l R =Cost (Real Eslale Only) S =As s es smen t T =Cash Marke t(See Co lumn C2) U =Book Value V =Other W =Es timat ed

E = $ 1 5 . 0 0 1


16/20


N a m e o f P e r s o n R e p o r ti n gFLEISSIG, AUDREY G.


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 fillng instructions.)N O N E (No reportable income, assets, or transactions.)

D esc r i p t i o n o f A s s e t s I n c o m e d u r i n g( 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 i n g p e r i o d(~) (2)P l a c e " ( X ) " a f te r e a c h a s s e t A m o u n t T y p e ( e . g . ,

exempl from p rior d isc losure C o d e 1 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) (~)

V a lu e V a lu eC o d e 2 Meth o d(J-P) C o d e 3

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 io 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 Va lu e Gainm m /d d/y y C od e 2 Code I

(J-P) (A-H)

( 5 )I d en t i t y o fbuyer/se l le r( i f p r i v a t e


35 .

36.

37 .

38 .

39 .

40 .

41.

42.

43 .

44 .

45 .

46 .

47 .

48 .

49 .

50 .

51 .

AMER FUND - CAPITAL INCOME C Div idendBUILDER Sold(par t)Sold( p a r t )

Distr ibuted

02112/10

09/28/I 010/04/10

KJL

BROK ERAGE ACCOUNT # I

- Ame r Fund - C ap i t a l I n c ome B u i l d e r- Ame r Fund - C ap i t a l I n c ome B u i l d e r- Ame r Fund - C ap i t a l I n c ome B u i l d e r- Vangua r d Tax Ex emp t Funds I n t e r

A Int./Div. M T Sp i no f f 10/04/10( f r om l i n e 26 )Sp i no f f 10/04/10( f r om l i n e 30 )Sp in o ff 10/04/I 0

( f rom l ine 34)Sp i no f f 10/04/10( f r om l i n e 29 )Sp i no f f 10/04/10( f r om l i n e 33 )Sp i no f f 10/04/10( f r om l i n e 37 )

B uy 10/15/10

J

J

J

L

L

L

K

- Vangua r d Tax Ex emp t Funds Sho r t B uy 10/15/10 K- Royce Prem ie r Inve s tm en t B uy 10/15/10 J- Ishares Midcap Bu y 10/15110 L- Ame r i c a n Funds - C ap i t a l In c om e Bu i l d e rMISSOURI MACHINERY &ENGINEERING 50% P RIVATELY HELDBK F LLC 50% PRIVATELY HELD RE,ST. LOUIS MOUS SAVINGS BONDS

E Int./Div. O U

D R e n t J U

None K T

Sold 10/15/10(part) M D

1. Incom e Gain Co des: A =$1,000 o r less B =$1,001 - $2,500 C =$2,501 - $5,000 D =$5,001 - $15,000(See Columns B I and D 4 ) F = $5 0,0O I - $100,000 G = $100.001 - $1,000.000 HI ~$1,000.0OI - $5.000,000 H2 =More than $5,000,0OO

2. Value Codes J =$15,0~Q or less K $15.0~1 - $5 0.000 L =$50.001 - $100,000 M =$100,0QI - $250,000(See Columns CI and D3) N =$250.001 - $500,000 O = $5 00 ,0 01 - $ 1,0 1~ ,0 ~0 P I = $1 ,0 0~ .0 01 - $ 5,0 00 .0 00 P2 =$5,000,0~1 - $25,00Q.000

P 3 =$25,0~3,0~1 - $50.0{30.0{)0 P4 =More than $50,000,0~03. Value Method Codes Q =App ra i sa l R =Cost ( R e a l Esta te On ly ) S =Ass es smen t T =Cash Marke ttSe Column C2 ) U =Book Value V =O lhc r W =Estim ate d

E =$15.001 - $50,00Q


17/20




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

Des c r i p t i o n o f As s e t s I n c o m e d u r i n g(in c lu d in g t ru s t a s s e ts ) r e p o r t in g p e r io d

Place "(X)" after each asset A m o u n t Type (e.g.,exempt from prior disclosure C o d e 1 d i v . , r e n t ,(A -H) or in t . )

G r o s s value at endo f r e p o r t i n g p e r i o d(I )

V a lu e V a lu eC o d e 2 Meth o d

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

O)Type (e.g.,bu y , s e l l ,


T r an s a c t i o n s du r i n g r e po r t i n g p e r i o d

(2) (3) ; (4)D a t e V alu e Ga in

mm/dd/yy C o d e 2 Code I( J - P ) ( A - H )

Identity ofbuyer/ sel ler( if private

transaction)

52. RE - CONDO, ST . L OUIS , M O D R e n t M W

53. COMM ERCE GROW TH FUND 401(K) B Dividend M T

Buy(add l ) 03 /17110 J

54. BANK OF AM ERICA A I n t e r e s t K T

55 .56 .57 .58.

59 .60 .61 .62 .63 .64 .65 .

M OST - MISSOURIS 529 COLLEGESAVINGS PLAN (X)- VANG UARD CONSERVATIVE (X)INCOM E PORTFOLIO

B Int./Div. Closed

Distributed(par t )Distributed

(par t )Distributed

(par t )Distributed

08/10/1001/04/10

04/26/10

05/20/I 0

08/10/10

J

J

J

J

J

BENEFICIARY OF TRUSTESTATE- TD MONEY MARKET PORTFOLIOINVESTOR CLASS- AMERICAN FUNDS CAPITAL WORLDBOND FUND-SBI CLASS A- INTERMEDIATE BOND FUND OFAMERICA SBI CLASS A- AMERICAN FUNDS NEWPERSPECTIVE FUND INC CL A- HARBOR FD BD FD INSTL

D lnt./Div. N W

Sold(par t) Ol/I I/IO J A

66. - HARBOR FD CAP APPRECIATION

67 . - HARBOR FD INTL FD68. -M SIF FDS INC US REAL ESTATE FDC L A

1. Income Gain Codes : A =$1,000 or less B =$1 ,DOI - $2,500 C =$2,501 - $5,000(See Col urans B I a nd IM ) F = 5 5 0 , D O I - $ I D O , D O 0 G = $ I D O , D 0 1 - $ I , D O O , D O 0 H I = $ I , D O O . D O I - $ 5 . D O O . D O 0

2. Value Codes J = $ 1 5 , D O 0 o r l e s s K = $ I 5 , D O I - $ 5 0 , 0 D O L = 550.001 - $ 100.DO0(See Co lumns CI and D3) N =$ 2 5 0 . D O I - $ 5 D O , D O 0 O = $ 5 D O . D O I - 5 1 , 0 D O . D O 0 PI =5 I.DO0,DOI - $5.000,000

P3 = $ 2 5 ,D O O , D O I . 550.000,000 P4 =Mo re than $50,000.0003. Value Method Codes Q = App ra isa l R =Cost (Real Estate Only) S =As s es smen t(See Co lumn C2) U :Book Va lue V -Othe r W =Es timat ed

D =$5.DOI - $15,000H2 =More than $5,0DO.000M $ 1 0 0 . D O I - $ 2 5 0 . D O 0P 2 = $ 5 . D O 0 . D O I - $25,000.000T =Cash Marke t

E = $ 1 5 , D O 1 - 5 5 0 , D O 0


18/20


N a m e o f P e r s o n R e p o r t in gFLEISSIG, AUDREY G .

D a t e o f R e p o r t08/I/201 I

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.)~ NONE(N o reportable income, asse ts , or t ransact ions . )A. B. C.

Des c r i p t i o n o f As s e t s I n c o m e d u r i n g Gro s s v a t u e a t e n d( 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 i n g p e r i o d o f r e po r t i n g p e r i o d

(I) (2 ) (D (2)Place "(X)" after each asset A m o u n t Type (e.g., V a lu e V a lu e

exempt from prior disclosure Code I div . , ren t , C o d e 2 Me th o d(A -H ) or in t . ) ( J -P ) C o d e 3( Q - W )

Type (e.g.,buy, sel l ,

redempt ion)

Tr 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 t e Value Gain

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

(s )Identi ty of

buyer/ sel ler(ifprivate

t ransaction)

69. - ROWE T PRICE EQUITY INCOM E F SHBEN INT

70 . - ROYCE FD PREMIER INVESTM ENTCL71 . - ISHARES RUSSELL 1000 INDEX FUND

Sold(paN) 01/11/10

I . Income Gain Codes : A = $1,000 o r les s B = $1,001 - $2,500 C =$2.501 - $5,000 D =$5,001 - $15,000(See Co lumns B I and D4) F =$50.001 - $100.000 G =$100.001 - $1.0~0.000 HI =$1.000.001 - $5.000,000 H2 =More than $5,000,000

2. Value Codes J =$15,000 or less K =$15.001 - $50,000 L -$50.001 - $100,000 M = $100,001 - $250,000(See Co lumns CI and D3) N =$250,001 - $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 More than $50.000,0003. Value Method Codes Q =App ra isa l R =Cost (Real Estalc Only) S =Assessment T =Cash Markc l(Sc Co lumn C2) U =Book Value V -Othe r W = E~,limaled

E =$15.001 - $50,000


19/20

FINANCIAL DISCLOSURE REPORTP a g e 9 o f 1 0

Name of Pe rson Repor t ingFLEISSIG, AUDREY G .

Date of Report08/I/201 I

V III . ADDITIONAL INFORM ATION OR EXPLANATIONS.


20/20


Name of Pe rson Repor t ingFLEISSIG, AUDREY G.

Date of Report08/I/201 I

IX. CERTIFICATION.

I c e r ti f y t h a t a ll i n f o rm a t i o n g i v e n a b o v 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 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 , if a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t o t h e b e s t o f m y k n o w l e d g e a n d b e l i e f , a n d t h a t a n y i n f o rm a t i o n n o t r e p o r t e d wa s ~v 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 l e s t a t u t o r yp r o v i s i o n s p e rm i t t i n g n o n - d i s c l o s u r e .

I f u r t h e r c e r ti f y th a t e a r n e d i n c om e f r om o u t s i d e em p l o ) a n e n t a n d h ono 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 ~ vh i ch h av e b e 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 th e p r ov i s i o n s o f 5 U . S .C . a pp . 50 1 e t . s eq ., 5 U .S .C . 73 53 , 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 .

Signatu re : S/AUDREY G . FLEISSIG

NOTE: ANY INDIVIDUAL WH O K NOWINGLY AND W ILFULLY FALSIFIES OR FALLS TO FILE THIS REPORT M AY BE SUB JECT T O C IVILAND CRIMINAL SANCTIONS (5 U.S.C. app . 104)

Com m i t te e on F inanc i a l Di sc l o su reAdm in i s t r a t iv e Of f i c e o f th e Un i t e d S t a t e s Cou r t sSuite 2-301One Co lum bu s C i r c l e , N .E .Wa shi ng t on , D.C . 20544

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Audrey G Fleissig Financial Disclosure Report for 2010