Deborah L Cook Financial Disclosure Report for 2009

8/3/2019 Deborah L Cook Financial Disclosure Report for 2009

http://slidepdf.com/reader/full/deborah-l-cook-financial-disclosure-report-for-2009 1/11

F INANCIAL DISCLOSURE REP ORT R ~ ’ p o r t R e q u i r e d l ~ r t h e E t h i c sin Govermm’nt Act o~1978

FOR CALENDAR YEAR 2009

1. Person R eporllng (last name. firsl, middle ilfitial) Z. Coati or Org=niz~l’io~ 3. | )a~’¢ of | |eporl

Cook. Dcborah L. U.S. Court of Appeals, 61h Cir 0,UI 3/2010

4. "/|t i t . {Article Ill judges indicale active or senior stalx~s: 5a. Report Type {clacck appropriate type) 6. RtporOng P~ri~KImzgisrmte judges i~ieate fidl- or paff-hme)

~Nominal |on. Date 01./0l t200t)

U.S Circuil Judge - Active I n i t i a l ~ Annual ~ Hnal In

~ 5b. ~ Amcad~ Rcporl

7. (?h~m~rs 0r Off ice Address 8. On the b~sh of the information ¢onlaintd i~ Ihis Rclm~ ~nd an) ’

433 U.S Courthouse wilh ~pplicablt law~ ~nd r~gul~tions.

2 South ~ain StreetAkr o n , O 1 1 4 4 308

R ~v iewtn g ~f ice r I)alt

I M P O R T A N T N O T E S : The in.~truction~v acc,,mpanying this forra mu.~ hc foll,,a’ed. Complete all part,,

chet’king the NONE box f!~r each part where you ha ve no reportable informatiom Sign tm last page.

1 . P O S I T I O N S . (~, . ,~.g l .a~,iu.a , .~; .~, ~. o .~j ,¢lui .g i . .~.i , , ..~)

~ E (No reportable positio~;.)ON

P O S I T I O N ~OFORGANIZATIQN!F.N~

I. Tn~tee Collegeschola~, Inc

2. Trustee Trust I {see Pan VIII)

~ N O N E (No reportable agreements.) : ; i-~ ’-

~ P A R T I E S A N D T E R M S

I. 2~J9 I am eligible for State of Ohio retirement benefits

2.



Page 2 of 11 c o o k , O e b , ,r .h L.

I ll . N O N - IN V E S T M E N T I N C O M E . (Repor*ing indivlduulurul ,l~ ........ pp. I T-24 of filing i

A. Filer’s Non-Investment Income

N O N E (No rtgu~rtahle non-im,est~nent income.)

DATE S()U~E AND TYPE(yours .

2.

3.

4.

B . S p o u s e ’ s N o n - I n v e s t m e n t In c o m e - if yt~u were married during un)’por~ion of the reporting year, complete thia seclion.

(Dollar oomu~lt not required ,rxcept fl~r honor’aria ~

~ N O N E (No r~7~ortable non-investment income.)

~ SOURC~ AND TYPE

i.

3.

IV. REIM BURSEM ENTS . ... .. ~,..,io,,, ~od~i.a.~,,,,~ ....... i. .....

NO NE ( ,, \’~ . , reportable reimbursement.~’)

~ I ) A TE S LO(~A’ IION P IJR P O SE IT EM ~ P A ID OR P R O VID ED

I

2,

3,

4.



[~ N O N E ( N o reportable liabilitia~.)

CREDITOR 13IjSCRIPTION 3 /A L U E C O D E

I.

2.

3

4

5.



FINANCIAL DISCLOSURE REPORT ~ ... . . ~ . . . . . a ~ p o . l n ~

NONE (No reportable income, asset% or transactions.}

l including ~st asse~s) re~,rfing v~ioa of r¢~, , fiog ~y~i.~ I

exempt from prior disclosure Ct+de I di+ , rent. (kale 2 M¢lh+~ buy.(A H) or int ) [ (J-P) ~ C o&

+3

1. National CiW

Bank Account A hxtercst J T

2 T~st I D Int./Div. PI T

3. - Morgan Stanley [lank Deposi! A lnleres! N 5"

4. - Powershares DB Comm TILK Inc No n e Bu y I 1/04t09 M

5. - Powershares DB CommTRK lnc M T Sold I I/I 6/09 L

(parl)

6. - SPDR Gold TR Gold Shs N one M T Bu y 11/04/09 M

7. - A n ’ ~ e r i, _ - an M u n i P w r I n c O [ - ! C o m b None 1. T Bu y I I/19t09 LItydroelectric Proj R ef

8. - Ohio St tlosp Rev-13 Cleveland Clinic H ltt None M T Bu y 08/I 8/09 MSys Oblig Group

9. AT&T A Dividend Sold 1 1 1 0 3 / 0 9 J

10 . - General Elect6c A Dividend Sold 11/03/09 J

I I. - (}amain None Sold 0 8 1 1 2 1 0 9 K I)

12 . - tl0neywell Internalional Inc A Dividend Sold 09i17/09 K D

13. - I~hares Comcx (ioMTR N one Bu y 1 I104/09 M

14 , - Isharcs (’omcx Gold TR Sold l 1/16/O9 N D

15 . - Jnhnson & Johnson A D iv idend So ld 11103/09 K A

1 6 . -IsharesMSCI EAFE fimd B Dividend Sold 0 3 . , 0 6 / 0 9 K(pan)

1 7 . -IsharesMSCI EAFE Fund Sold 03~6~)9 K

(pan)



F INANCIAL DISCLOSURE REP ORTr~ .... t P , , - ~ . . , p o . J . ~ o . , . o f a . p o , - ,

Page 5 of 1 1 C o n k , D e b o r a h L . 0 4 / 1 3 / ’ 2 1 ) 1 0

~ N ON E (No reportable income, assets, or ~’ansactions.)

A. B. ~ C D

Description of As~ts : h~COlne d~ing Gross value at ct~ I fan,actions during rc~tn0g

(i~htdlng trust m~sets~ ~ rc~rfing period ’, of reposing period

~’lace "(X y’ after each asset : Am~nt Type ~ cg., Value ~ Vah~c ’ly~ (c g . Date ~ Val~c ~

exempt f~om prior disclosureC’~I ~ dw.. rent, ~ Code 2 j Mcth~d hu~. se~l, mm,dd’yy C’~c 2 , (’ode I ~ bu~c:’scllcr

(A-t]/ : or iml O P I ~ (’~c 3 redemption) [l-I’)I ¢A th

~lifpfi~alc

18. - Ishates MSCI IL~IE Fund ~ Sold I 1/03’09 K A

19 . lshar~ MSC[ EAFE Fund Sold I11

20 - [shares MSCI Emerging Mk~ B D iv ide ndSold 03/06.’~ K

2~ . - lshar~ MSCI Emerging Mk~ Sold ] Og/I g/09 K D

22 . - Ishares MSCI Emerging Mkts Sold 08:’31/09 J B

23 . - Ishares MSCI Emerging Mkts Sold 08/31/09 K D

24 . - lsh~es MSCI Emerging Mkts Sold llz3.r09 M

25 . - lshares SP Smatl¢~ap 60’0 Index A D iv ide nd Sold 03iO6 ’09 K

(pard

26 . - tsbates SP SmnHcap 600 Index Sold 0~ I,’09 K

(pan)

27. - Ishares SP Smallcap 600 Index Sold 0b;~l/09 J

(part )

2 , q . - Ishares SP Smallc;~p 600 Index Sold

29 . - lshares SP Srna!lcap 600 Index Sold I 1/03/09 K

30 - Pfizer A Dividend Sold t I z03/09 J

31 . - R yd ex S& P Equ a! W cig h~ ETI-" B Dividend Sold 0~1/09 K

[part )

32. - Rydex S&P EquMWeight ETF Sold I 1/03/09 M

33 - Standard & Poors Midcap 400 B Dividend Sold ~ 1/03,’09 K A

(pan) [

34 . - Standard & Poors Midcap400 Sold 11[03/09 L B ]

I



[,~t~mt! Person I ]~l~rtln~ L ) n t z ~ 1 " R e p o r l

P a g e F I N A N C I A L 6 of l l DISCLOSURE REPORT ] Cook, D e b o r a h L . 0 ~ , ’ 1 3 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ~ ......... t ........... i ~ , , ., ( I n c l u d e , t h o . s e oI’~~

....... d dependent ,’6itdren;

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

............... ~ .......... B. (’ D

Asscl5

(~nclu~mg zmsr assct~) ~ rc~fl ing period ~ of reducing

-

exempt ff~ma prior disc i~ure ’ C,~de I d~. ~.m. C~x]¢ 2 Method I buy ~e~i. nm~.’dd.yy Ct~c 2 ~ Ct~le I bu?er:’sellcr

~ [A-H} ~ ~r inl ) IJ-I’l ode 3 rcd,:mplit~n) ] (J-P) ~ IA-III illprivate

35 . - Vanguard 7TI. STK Mkt E’I’~ C D iv ide nd SoLd 08,’3 b09 L [

I36 . - Vanguard TTL STE Mkl E~ ~old I I / I)3/00

(pa~)

37 . - Vanguard ~’I. S~ MLz ~TF SoI~ I I~03/09 L

38 . - Vanguard ~L STK Mkl ETF Sold I I t03/~ L

39 . -.Van~u~d ~fL S~ Mkt ETF Sold 11/03/~ K

4 0 . IRA - I None PI T

~ , 1 . - Morgan S~anloy Bank Deposit None O "t"

42. - lshares Barclays Agg. Bd Fd N o n e O T

43 . - Ishares IBOXX Invest Gr Cot Fd N o n e N T

4 . 4 . - Po~ersharcs DB Comm Trk tnc N o n e M T Bu y 08/18/09 J

45 . - Po;versharcs DB Comm Trk lnc Iluy 0g,’21/09 l_

(add’ l)

46 . - Pt)’~,crshares D B Comm Trk lnc D uy , I 1,"~/~ M

(add’l)

47 . - Po~’ershares [)1~ Comm "rrk lnc Sold ~ I 1q6 /09 L(pan)

4g . - Powershams DB Com m "Frk lnc Sold I 1 !16/09 K

49 . - SPDR Gold Tr Gold N one N T Bu y : 05~08/09 K

50 . - SPDR Gold 7r Gold Bu y 108/2 I/(~ 1.(add’ l)

5 I. - SPDR Gold Tr Gold Bu y 08!3 li~ K

(add’ l)



DISCLOSURE REPORT!N~CIAL

Page 7 of 11

V I I . I N V E S T M E N T S a n d T R U S T S - i ....... ~ , , ~ . , ~ . . . .. ~,,~, a ~ , ~ . ~ ~ o , ~ o / ~ . . .. . ~ ~, ,.h,a,~: ~, ~ v . ~ 4 ~ o o / :~ . , . ~ . . . . . . , : , , ~ . ~

NONE (~ reportable income, assets, or transactions.)

0 ~ c l u d i n ~ trusl ~sets} ~ rc~ing ~ o f r e ~ , n i u g p e r i o d ,

P I ~ c e " I X ) " a ~ e r c ~ c h a ~ c t ’ ~mount Type (e.g., V a l u e ’. V a m c T~],c ~cg.. Da:c V a l u e Gai,, ~ ~ cn:~ of

e ~ c m p t f r o m p r i o r d i s d = , s u r e i C~e t . d i v . , r e n t . ( ’ ~M e 2 ’ M c t h (~ b u y . s e l l . ; m . d d . ’ y ~ O,Ie 2 C o d e I~

b wcr/s¢ cr

’,! (A- 1~. o r i n t ) (J-P~ C~c 1 rcdcmptu)n) (LP) (A-Illi

(ilprl~a~e

5 2 . - SPDR Gold Tr Gold Iluy 11/04;09 M

5 3 . - National CiU Co~ Bond None [. l [ ] u y 0 4 / 2 3 O 0 K

5 4 . - Morgan Stanley Carp Bond None L T Bu y0 5 7 0 8 / 0 9 K

5 5 . - Uniled States Treasuw Note-lnflalion None N 1

Indexed

5 6 . - United States Treasury Note-Inflation None N T

Indexed

5 7 . - lshares Comcx Gold Tr None Buy 1 I , ’ ( M , ’ O 9 N

5 8 . - lshur~:s Colnex GoklTr Sold I I . ’ 1 6 i 0 9 N D

5 9 . - SI’DR DJ W ilshire Intl Real Est Nt,ne Sold 0 3 1 0 6 : ’ 0 9 J

6 0 . - SPDR D J W ilshirelntl Real Est Sold 03/06;09 J

(p~)

ill. - SPI)R DJ W ilshir¢ Intl Real Es! Sold 03/06/09 J

0 2 . - The Nev.’ Ireland Fund lnc None Buy OI/2U09 J

63 - The New Ircland Fund Inc Sold 0 3 . ; 0 6 / 0 9 J(part)

~ > 1 . - The New Irel;md Fund lnc Sold 03/06/09 J(pal)

6 5 . - ~c New Ireland Fuod lnc Sold 0 3 . ’ 0 6 / 0 9 J

66 - IPA~ l NtSCI India None Sold I I 1 0 3 ! 0 9 J(p~)

6 7 . - IPATH MSC I India,gold 1 tA )3!~ [

~

6 8 . - lsh~es MSCI EAFE Fund N~e ~ld 1 1 1 0 3 1 0 9 K I

I



FINANCIAL DISCLOSURE REPORT [

Page 8 of I 1

V I I . I ~ V E S T M E N T S a n d T R U S T S - i. , . . .. . . . t.. , , . . . .. . ,~o., u., . t.u~ t~ o~ o/.~ . . . . . ~ d~.a~ ., , ,~a...: ~ p~. ~ .~-~o ,,~,.~ i ..... .,~,.~)

N O N E ( N o reportable income, assets, or tr~msactions.)

exemp~ l~,m prior disclosure (ode I t div.. renl. Code 2 Meth,~ buy. ~dt, ~mm d,l’~ (?ode 2 ~ C~c I i buyer, seller

tA-II) .: o r

~ ( Q .W ) [ !~ tr:msacl~t,n~

6 9 . - Isharcs TR FTSE:’XINIIUA China N one Sold 08/21,’U9 K

(paa)

70 . - lshares TR }WSE;XINHUA China Snld 1 I/3/09 M

71 . - Pha~acculical ]loldc~ Tr None So ld 0~/3 I/~9~ J

(part)

72 . - Pha~mceulical llolders Tr Sold 08.’3 I /~ L

"/3. - R yt l , :~ , S& P Equ a l W eig h t N o n e Sold 11/03!09 K

(part)

74 . - Rydex S&P Equal Weight Sold 11/03/09 L

75 . - S t a p .da rd & Poors Mi dc a p 400 N o n e Sold I 1 / 0 3 " 1 ~ K

(part)

76 . - Slandard & Poors Midcap 400 Sold I 1/03,;09 J

77. - Western Asset ttigh Inc Oppty N one Sold 08!2 I/(Y9 K

(part)

78. - W e s t ern A sse l Hi gh l nc Oppt y Sold I 1t03/09 K

(part)

79 . - W ,_.-stern A ssel tligh lnc O pply So ld 11/03;09 J

(part)

80. - W e s t ern A ssc ! Hi gh l nc Oppt y Sold 11/03/09 L

(part)

81 - Weslcrn Asset High Inc Oppty Sold l 1/03/00 LIpart)

82 - V,’estcn~ Asset l l igh Inc Oppty Sold I I,’03/09 ] K

(part)

83 - W eslern Asset I l ig t’, I nc Opp~" Sold I 1104/09 M

84 . Real Esta le Purlnership held by Keog h A InlJDiv. M W

~ 5 . Installment nolo holding industrial as E Interest N Vcollateral



Page 9 of I 1 ] C o o k , D e b o r a h I . . 0 4 / 1 3 / 2 0 1 0

V I I . I1 N V E S T M E N T S a n d T R U S T S - ~c,,,,, vat,,. , ...... i o ~ . , ( I n c l u d e s t h o ~ of ,p ........d depe~en, children; ~ , p p . 3 4 ~ 0 of fil lng

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

A.

I including z~sz asset s) repoaing period ~[’rcpoaing pent~ ¯

Placc " (X )"aflerc ac h;~ssc l ~ A m(~ u n t ~ ~y~ ’le~ ., Va]oc Viduc j lFpc(cg, I)alc Valut,

exempt Horn prior disclosure C~e I . d iv.. ~m. ( T~e 2 M e ~ h ( ~d buy. so[!. ~ml~’dd y’ . C~de 2 : Ctwle I hayer’seller



N a m e o f P e r s o n R e p o r t in g]

D a t e o f R e p o r tFINANCIAL DISCLOSURE REPORT

Page 10 of I 1

Viii. ~DITIONAL INFORMATION OR EXPLANATIONS.

Line ! I on VII: Garmin wa s p~rchascd 12G 1/08"im did nora se~t~e until 1!6/09. it was unscnled ~rade n.I showing o~ reo~ing Ibr lhe 2008 disclosure report.

Line 42 ~n VII: l~ha[~ Bart’lays Agg is a name cha~g e from Ishares Tr Lehman Aggregate from 2008 di~lusure r~ort.

Line 85on VH: Aa instaIlmcn~ note w as added to lhe ~po~ in place or’the industrial bm~ding ~’cause payatenls and inte~s~s arc no~ ~’ing collectedof ~he building.

Part I - (’ollcgc~cholars: lnc is a charitable trust "[he ~n~st ~ssct~ are held 1o fund college tuiti~n~ ~br lh¢ youn~slcrs in our menlored scholarship p~o~ram

All assels of ]’msl I ate in Part VII. Please note thai my accounls had Iransferrcd liom C0ig~oup Smilh Barney Io N h~rgan Slanlcy in Oclobcr 2008



F I N A N C I A L D I S C I~ O S U R E R E P O R T ~ . . . . f P . r . o . R . p o ~ . ~ [ o....fR~vo,

Ia g e 1 1 of 1 1 C o o k , D e b o r a h L . I ) 4 / 1 3 / 2 0 1 0

IX. CERTIFICATION.

I cerllfy thai all informalion given ab ove (including inform ation perlaining In my spouse and minor or depen dent children, if any) is

aecura(e, true, and complete to the bcsl of my knowledge and belief, and that any information no~ reported was withheld because it reel applicable statutorypro~lsion~ permitting nun-disclosure.

I furl’her certify thai earned income from oulside employm ent and honoraria and ~he aceeptat~ce o[r gi l ts which have been reported art’ in

compliance with |he pro~sions of 5 U.S.C. app. § 501 ct. seq., 5 U.S.C. § 7353, and Judicial Conference regulations.

Sign at u re..~i!

NOTE: AN~" INI)IVII)UAI, WHO KNOWINGI ,k" AND WII,FIiI.I.Y FALSIFIES OR FAll .~ TO FILl, : Tills REI’OI(I" IMAY lie SIIIklE( :T TO CIVIl.AND CRIMINAL SANC’FIONS (5 U.S.C. app. § 104)

F I L IN G I N S T R U C T I O N S

Mail signed original and 3 additional copies

Committee on Financial DisclosureAdministrative Office of the Untied States Courts

Stlilc 2-301

One Columbus Circle. N.E.

W ashington, D.C. 20544

Documents

Deborah L Cook Financial Disclosure Report for 2009