Kenneth F Ripple Financial Disclosure Report for 2009

8/3/2019 Kenneth F Ripple Financial Disclosure Report for 2009

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FINANCIAL DISCLOSURE REPORT R e p o r t R e q u i r e d b y th e E t h i c sin Government Act o f 1978FOR CALENDAR YEAR 2009 :5 u . s . c , app. ~1 . P e r s o n R e p o r t i n g ( la s t name , f i rs t , m idd le in i t ia l) 2 . C o u r t o r O r g a n i z a t io n 3 . D a t e o f R e p o r t

R ip p le , K e n n e th F . C o ur~ of A pp e a ls - 7 th C ircu it 05 /11 /20104 . T i t l e ( A r t i c l e I I I 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 ; 5 a . R e p o r t T y p e ( c h e c k a p p r o p r i a te t y p e ) 6 . Repnrt ing P e r i o dm a g i s t r a t e j u d g e s i n d i c a t e f u l l - e r p ~ l - t i m e ) [--] Nora ina t ion. D a t e 0 1 ! 0 1 , r 2 0 0 9Uni t ed S t a t e s C i r c u i t Judge - Sen i o r [] Initial [] A n n u a l [] Final to12 /31 /20095b. [~ A m e x ~ d e d R e p o ~7 . C h a m b e r ~ o r O f f ic e A d d r e s s 8 . O n t h e b a s i s o f t i le i n f o r m a t i o n c o n t a i n 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 , i t i s , i n m y o p i n i o n , i n c o m p l ia n c eU n i t e d S t a t e s C o u r t h o u s e with app licable laws and regu la t ions .2 0 4 S o u t h M a i n S t . , R o o m 2 0 8S o u t h B e n d , IN 4 6 6 0 1 -2 1 2 2 ~ Reviewing Officer__ D a t e!

I MP O R TANT NO TE S: The i n s t ruc t i on . v accompan .v i ng t h i ~ f o rm mus t be f o l lowed Comple t e a l l par t s ,c he c k ing the N ON E bnx fo r e ac h pa r t w he r e y ou hav e no r e por tabl e i n fo r m at ion . S ign on l a s tpage .

~ NONE ~o ;epor table pos i t ions . )~ NAME OF ORGANI~ATION/ENT!~

1. S e e S e c t i o n V I I I , P a ~ I2. See Sec t ion V III , Par t I3.

~ N O N E ~ o reportable agreements.) "~

~ PARTIES AND TE~4~2 0 0 9 S e e S e c t i o n v i i i , P a ~ I I

2 . 2009 See Sec t ion VIII , Par t 11


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N am e of Person R eporting D ate of R eportF I N A N C I A L p a g e 2 o f 1 2 D I S C L O S U R E R E P O R T R i p p e , K e n n e t h F . 0 5 / I 1 / 2 0 1 0

III. N O N -IN V E S T M E N T IN C O M E . (Reporting individual and sp .... ; $eepp. 17-24 of fi ling i .....t i o n s ~ )A. Filers Non-Investment Income

N O N E (No reportable non-investment income.)D A T E SOURCE AND TYPE I N C Q M E( y o u r s , n o t s p o u s e s )

1 . 2 0 0 9 Part-lime teaching - University of Notre Dame $ 2 4 , 3 9 2 . 0 0

2.

3.

~I .

B . S p o u s e s N o n - I n v e st m e n t In c o m e - If you were married during any portion of the reporling year, complete this section.(Dol lar amoun t nor r equ i red ex cep t f o r honorar ia )~-] N O N E ( N o reportable non-investment income.)

DATI~ S O U R C E A N D T YP E1.

2.

3.

4.

I V . R E I M B U R S E M E N T S - - . r .. ~ -, o .a . o . . todgi.g, lood, e., . ,~,~ . . . . .I lnc ludcs those to spou se and dependem ch i ldren , see pp . 25 - 27 o f f i li ng tn s t ruc t ion~.)[~] N O N E (No reportable reimbursements.)

S O U R C E D A T E S LO C A T I O N P U R P O S E ITEMS PAID OR PROVIDED1.

2.3.

5.


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FINANCIAL DISCLOSURE REPO RT ~ , ~ o f P , , ~ o ~ Reporting DateofR~portPage 3 of 12 Ripple, Kenneth F. 0 5 / I 1 / 2 0 1 0

V . G I F T S . a . c ~ .~ .~ a , o s , , o ~ , . . . . . . a a , ~ n a ~ . , c h u d , , . : s e o r ~ 2 ~ - 3 1 off!linginstruction.s~)[~] NONE (No reportable g~[Is.)

~ DES CR IPTIO N1 . S e e S e c t i o n V I I I . P a r t V2.3.4.5.

~ N O N E (No reportable liabilities.)CREDITOR DESCRIPTION VALUE COPE

1 .2.3.4.5.


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FINANCIAL DISCLOSURE REPO RT N ....r P . . . . . a e p o . i o gPage 4 of l 2 Ripple. Kenneth F.

]05/I 1/2010

VII. LNVESTMENTS and TRUSTS - i . . . . . . . . . ~ . . . . . . . $ . o , io . ~ a n ~ u ~ e s , ~ o ~ o/ ~ . . . . . ~ ~., ~i~.~;~ ~o reportable inc:ome, assets, or transaction.)ONE

....................................................A.. ~ . ~ ~ . " ........Dese~pt ion of As~ I n e o m ~ d ~ r ~ n g G r o s ~ v a l u e a t e ~ d Tmn~io~s during ~ni~ ~od( inc luding t~ t as~ t s~ ~ p o ~ i n g p e r i ~ o f r e p o ~ n g p c r i o d~, (l) ~ 2~ (1 ) ( 2 ) (I) (2 ) :

P l a c e " ( X ) " a f t e r e a c h ~ s s e t A m o u n t [ T~e (e .g . , V alue V alue T y p e ( e . g . , Da ~ V a lu e J G a in Id~ti~, o fexempt f~m prior discl~u~ C o d e ] [ div., rtnL C o d e 2 M e th o d . b u y . ~ 1 1 , mmi~ [ C o d e 2 C o d e I b uy e r , ~ se l l e r( A - H ) orinl.) ( J - P ) ~ , d c 3 ~ t c d e m p t i u n ) (.I-P) ~ A -H i [ i f p r i v a t e( Q - ~ [ t ~ n s a c t i o n )

I. K e y B ~ k , So. B e n & I N I ~ - C D A In t e n s e J T2. Key B ank . So . B end , I N I R A - C D A In te re s t K T

3. Dr ey fus F und - 1R A I Dr eyf us Li q u i d As s e t s , A Di v i dend K TInc34. No t r e D a m e F C U - No t r e D a m e , IN s a v i n g s A In te re s t K T& checking account5 . U , S . S a v in g s B o n d s N o n e J T6 . U N D TIAAiCREF R e t i re m e n t F u n d D lntJDiv. O "I"7 . Prudent i a l Insurance Pol icy #1 A Di v i dend K T8 . Prudent i a l Insurance Pol icy #2 A Di v i dend J T9. Conseco Whole Li fe Insurance Pol icy #1 N o n e J T

1 0. C o n s e c o W h o l e L i f e In s u r a n c e P o l i c y # 2 N o n e J "I-1 1. MetLifc Whole Li fe Insurance Pol icy N o n e J T1 2 . Trust #5 D Int./Div. N T1 3 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y1 4. - W a s a t c h - 1 s t S o u r c e In c o m e E q F d

1 5. - D o d g e & C o x In t c m a t i o n a l S t o ck F d

1 6 . F i d e l i .t y C o n t r a F u n d # 0 _ _

1 7 . - U n i t s i n In t e r m e d i a t e T a x Exe m p t F u n d o fI s t Source Bank


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FINANCIAL DISCLOSURE REPO RT Name of Person Reporting DateofRepor~ IPage 5 of 12 Ripple. Kenneth F. 03/11/20)0VII. INV ES TM ENTS and T RU S TS - i . .. .. .. .. ~ . = . . . . , ~ o . , anc~,,~e~ ,ho~o

~ NONE ( No reportable income, assets, or transactions.)A . B. C.D e ~ n p t i o n o f A s s e ~ s I n c o m e d u r i n g G ro s s v a l u e a t e n d [ T~n~ctions during repos ing pe~od( i n c l u d i n g r e : s t r e s e t s ) r e ~ i n g p e f i ~ o f r e p o r t i n g p e r i o d I

" ~ij-~ (~ !~) (2~ l ~:,Place "~" a f t . . . . . h a s ~ t , m o u m T ~ e { e .g . . Value Volue T~e , e .~ . . ~ Dam Value[Gain , d e m i t y o fe x e m p t f ro m p f o r d l ~ lo s u m ~I~ d i x . . , t e n k C ~ e 2 ~ M c t h ~ b u y . s e l l , m m / d A ~ C o ~ 2 C o d e I buv~sse l lcr

~ o r i n l . } { J - P } ~ C o d e 3 ~demp;ion) O - P } ~ { A - 1 { } ( i f p r i v a t eI [ Q - W I . t r a n s a c t i o n )

] 8 . -U m ~ i n T a x E xe m p ~ F u n d o f 1 s ~ S o ~ c eB a n k1 9 . - Mor gm S~ nl ey l ns d l n [ ] E q -1

2 0 . - N e w W o r ld F d . - F 2 ( X )2 1 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y S o l d i 0 1 / 3 1 / 0 9 J( . p a r I ~2 2 . - G o i d r n a ~ S a c h s F s q T a x F r e e M o n e y B n y 01 /31 /09 Jl a d d l )2 3 . - Fide l i ty Cont ra Fund #022 B uy 02 /17 ;09 Jl a d d l )2 4 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y S o l d 0 2 1 2 8 / 0 9 J(pa rt)2 5 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y B u y 0 2 / 2 8 1 0 9 Jt a d d T t2 6 . - D o d g e & C o x S t o c k F u n d B u y 03/27 /09

I .add l)2 7 . - G o l d m a n S a c h s F s q " l - a x F r e e M o n e y B u y 0 M 3 1 / 0 9 Ji add l ~2 8 . - G o l d m , m S a c h s F s q T a x F r e e M o n e y S o l d O 3 ! 3 1 / 0 9 J(par l )2 ~ . - G o l d m a n S a c h s F s q T a x F r e e M o n e y B u y 0 4 / 3 0 ! 0 9 .1l a d d l )3 0 - G o l d m a n S a c h s F s q T a x F r e e M o n e y S o l d 0 4 r 3 0 / 0 9

~ , p a r t ~3 1 . - G o l d m a n S a c h s F s q " l a x F r e e M o n e y B u y 0 5 ! 3 1 / 0 93 2 - G n l d m a n S a c h s F s q T a x F r e e M o n e y S o l d 05 /31 /09 J(pa rt)3 3 . - W a s a t c h - 1 s t S o u r c e In c o m e E q F d B u y 0 6 / 2 2 / 0 9 1 K( a d d l !3 d , - Morgan Stanley lns l l Inf l Eq-I (X) B uy 06 /23/09 J


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Name of Person Report ln~FLN~C~ DISCLOSU~ ~PORTt o p p l e , K e n n e t h F .a g e 6 o f 1 2 o ~ , ~ ~ , ~ 0 ~ 0

V I I . I ~ E S T M E N T S a n d T R U S T S - i . . . . . . . . t~, ~ . . . .. , i o n s H n c l u d e s t h o s e o f s p o u s e * n d d ~ e n d e m c h i l dr e n ; , e e p p . 3 4 - 6 0 o f f i li n g i . . . .. . t ~ n s . )N O N E (No reportable income, assets, or transactions.)

D~scnption o f A~ts I n c o m e d u r i n g G r o s s v a l u e a t e n d T ~ c t io m ~ d u ~ n g r ~ o ~ i n g p e r i o d( inc luding ~s t ~sc t s ) ~ r~o r t i n g p e r i o d o f r ~ n i u g p e ~ o d~1 ) 1 2 ~ ( ~ ) ( 2 ) (I ) (2) ~ (3~ ~4~P l a c e " ( X ) " a f t e r e a c h ~ s e t ~ A m o u n t T~e (e.g. Value V alue T~e (e .g .. D a t e V a l u e G a i n I d ~ t i ty o f[ C o d e I dw. , ~n t . C o d e 2 M e t h o d b u y , s e l l , mm]d~ C~e 2 ~ C o d e I buys /se l le rx e m p l f ro m p r i o r ~ s c lo s u ~ ( A - H / o r i n t . ) ( J - P ) C o d e 3 r e d e m p o n ) ] ~ ( J - P ) ( A - H ) ( i f p n v m e( Q - W ) ] [ I r a n ~ c t i o n J

3 5 . - Dodge& C ox S t oc k F und S o l d 0 6 / 2 3 , 0 9 K3 6 . - V ~ K a m p e n S m a l l C a p G r o ~ h - 1 ( X ) ~ / 2 3 / 0 9 Juy

~ 3 7 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y B uy 0 6 / 3 0 1 0 9 J~ ( a d d D3 8 . - G o l ~ a n S a c h s F s q T a x F r e e M o n e y (parl)Sld 0 6 /30 /0 9 K

[ 3 9 . - G o l ~ a n S a c h s F s q T a x F r e e M o n e y B uy 0 7 ~ 3 1 , " 0 9 J( add l )4 0 . - G o l ~ a n S a c h s F s q T ~ F r e e M o n e y S o l d 0 7 / 3 1 ~ 0 9 J( p a n )41 . - G o l ~ a n S a c h s F ~ ~ F r e e M o n e y B oy 0 8 . , 3 1 1 0 9 Ji a d d l )4 2 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y Sol d 0 8 /31 /0 9 J(p~)4 3 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y B u y 0 9 i30 /0 9 J

t ( add l )~ ~ . - G o l d m ~ S a c h s F s q T ~ F r e e M o n e y Sol d 0 9 , " 3 0 . / 0 94 5 . - G o l d m ~ S ~ h s F s q T ~ F r e e M o n e y B uy 1 0 / 3 1 / 0 9 Ja d d l l4 6 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y Sol d 1 0 / 3 1 / 0 947 . - N e w W o r ld F d - F 2 ( X ) B uy 1 1 / 2 0 / 0 9 J4 8 . - V a n K ~ p e n S m a l l C a p G r o w t h - I S o l d 1 I / 2 & 0 9 J B4 9 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y B uy 1 1 / 3 0 1 0 9 J[ add l )5 0 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y Sol d 1 1 / 3 0 / 0 9 J5 1 . - F ide l i . ty Contra Fund # 022 B u y 1 2 : 2 1 / 0 9 J( a d d l }


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N a m e o f P e r s o n R e p o r t i n g D a t e o f R e p o r tF I N A N C I A L p a g e 7 o f 1 2 D I S C L O S U R E R E P O R T R i p p l e , K e n n e t h F . 0 5 1 1 1 ! 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 - i ........ J.e. ~ ..... t~n s a,c ~.des th~.~ o/~p ..... ,z dem ~, ~hU ~e,: ~ r~. ~4-~ o o~r~ i~r~t~o~N O N E (No reportable income, assets, or transactions.)

A. B. [ C. ~ D .D e s ~ p t io n o f A s s ~ I n c om e d u ~ n g Gross va lue a t end , T ~ c t i o~ q dur i ng r epor t i ng pe r ~( inc luding t~s t ~se~) r~oa ing pe riod of r ~ on i ng ~ r i od ~{I ) (2 ) -~{~ [ (2) ( 1 ) (2 ) (3) (4) (5 )Value : V a lu e ] C m ~ ]d~fi lv o f~e (e .g . , D a t e .l ace"~)" af t~ eachasse t I A m o u n t ! T ~ (e .g . , I Valuee x e m p t f r o m p r i o r d i s c l o s u r e ; C o d e I d i v . , r e n L C o d e 2 M c ~ ho d ~ b u y . s e l l , m m / ~ ~ C o ~ 2 C o d e I b u y e r / s e l l e r[ ( A - I f ) o r i z t . ) ( J - P ) C o d e 3 ~ r e d e m p t i o n ) ( J - P ) (A-ll) ( i f p r i v a t e] ( Q - W ) I t~ction)

5 2 . - Mor g an S~ n l ey l ns t l ln t l E q - I B u y 12 /21 /09 J( a d d l )5 3 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y S o ld 1 2 /2 1 /~ J( p a n )5 4 . - D ~ g e & C o x I n t e ~ a t i o n a l S t o c k F ~ d B u y 12 /22 /09 J( add l )5 5 . - N e w W o r ld F d - F 2 B u y 1 2 , / 2 8 / 0 9 J( a d d l )5 6 . - G o l ~ a n S a c h s F s q T ~ F r e e M o n e y B u y 12 /31 /09 J( add l )5 7 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y S o l d 1 2 1 3 1 / 0 9 J( p a n )5 8 . Trust #6 D l n t . ~ iv . N T5 9 , - G o l d m a n S a c h s F s q T a x F r e e M o n e y

6 0 . - W a s a t c h - 1 s t S o u r c e In c o m e E q F d

6 1 . - D o d g e & C o x In t e r n a t i o n a l S t o ck F d

6 2 . - F i d e l i ly C o m r a F u n d # 0 2 26 3 . - U n i t s i n In t e r m e d i a t e T a x E xe m p t F u n d o fI s t S o u r c e B a n k6 4 . - Uni t s in Tax Exempt Fund of 1 s t SourceB a n k6 5 . - Morgan Stanley lns t l l n t l Eq-I (X)6 6 , - N e w W o r ld F d - F 2 ( X )

6 7 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y S o l d 01 /31 /09 J(part)6 8 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y B uy 01 /31 /09 J( a d d l )


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FINANCIAL DISCLOSURE REPORT r~ .... f P e r s o n R e p ~ r , r t in g [ D a l e o f R e p o r tP a g e 8 o f 1 2 R i p p l e , K e n n e t h F .

I0 5 /1 1 /2 0 1 0

N O N E (No reportable income, assets, or transactions.)D e s c r i p t i o n o f A s s c t s I n c o m e d u r i n g G r o s s v a l u e a t e n d T ~ e ~ o n s d u n n g r e ~ n g p e r ) o d

P[ac~ "[~" a fa r ~ch a s sc~ . A m o u n ~ T~ (e.~,. Value V alue T~ c (e .g ., D a ~ ~ V a l u e G a i n : I E c m i ~ y o f[ ex~p~ from prio r d isclosu~ C o d e l d i v . , r e n L C ~ e 2 ~ M e th o d buy.sell. ~id&~3 [ Code 2 C o d e I b u y c r i s c l [ e r~ ~ ~ A - r l) o r ~ t . ) ( J - P ) C o d e 3 r e d c m ~ l i o n ) ( J - P ) ( A - H ) ( i f p , v a t e( Q - W ) t~sacf ion): 6 9 . - F i d e l iw C o n l r a F u n d # 0 2 2 ] B uy 0 2 / 1 7 / 0 9 J

7 0 .I

( a d d D- G o l d m a n S a c h s F s q T ~ x F r e e M o n e ~ S o l d 02/28/09t p a n )

7 ]. - G ol dm a n S ac h s F s q T ax Fr ee M o n ey B u y 02/28/09( a d d q )7 2 . - D o d g e & C o x S t o c k F n ~ d ] B u y 03/27/09 JI ( a d d l )7 3 . - G o l d m a n S a c h s F ~ T a x F r e e M o n e y B u y 0 3 / 3 1 / 0 9 J~ a d d l )

7 4 . - G o l d m a n S a c h s F s q ~ x F r e e M o n e y S o l d 0 3 / 3 1 / 0 9 J(part)7 5 . - G o l d m a n S a c h s F s q ~ a x F r e e M o n e y [ B u y ~ / 3 0 / 0 9 J~ (addl~76. - Goldman Sachs Fsq Tax Free Money [ Sold 04/30/09

~ p a a )7 7 . - G o l d m a n S a c h s F s q ~ a x F r e e M o n e y B uy 0 5 / 3 1 ~ 0 9 J

l a d d l )7 8 . - G o l d m a n S a c h s F s q T ~ F r e e M o n e y Sol d 0 5 / 3 1 ~ 0 9 J7 9 . - W~ a t c h - I s t Sour c e I nc om e E q F d B uy 0 6 ~ 2 2 / 0 9 Kl a d d l )8 0 . - Mo rgan Stanley lns t l Inf l Eq-I ~XI B uy 0 6 /2 3 /0 9

: 8 1 . - D o d g e & C o x S t o c k F u n d S o l d 06,.23/09 K- V a n K a m p e n S m a l l C a p G r o w t h - I (X ) B uy O6/23/09

8 3 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y ~addl)BUy0 6 /30 /0 9 J8 4 . - G ~ l d m a n S a c h s F s q T a x F r e e M o n e y S o l d 0 6 , t 3 0 z 0 9 K

I 8 5 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y B uy 0 7 /31 /0 9 J


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FIN A N C IA L DISC LOS U R E R EP OR T ~ .... r ~ . . .. . a ~ p o ~ , , : ] ~ . t e o fPage 9 of 1 2 a i ~ , |, le . K e n n e t h F.

] 0 5 / 1 1 / 2 0 1 0VH . ~STMENTS and TRUSTS - i ....... ~ , . , . . . . . . ~ ., : ~ d ~ , ~ o ~ , o : , ~ . .. .. . ~ d , p ~ , , e h ~ t ~ , ~ ; ~ , ~ , . ~ . 6 ~

~ N O N E (No reportable income, assets, or transactions.)...... ~? ........ ~. [ c. .............. ~: .....Des ~ pt i on o f As ~ Inc~ne dunng , G~ss va lue a t end T~n~ctions during repos ing(includ ing t~s t ~sem) ~ ~ o n i 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

P l a c e " ( X ) " a f t e r e a c h ~ s s e t ( A m o u n t { T~ lc . g . . Value V alue T~e (e .g . , D a t e ~ V a l u e ~ G a i n l d c n t i l y o fe x e m p t f r o m p r i o r d i s c l o s u re ~ C o d e 1 d i v . . r e n L C o d e 2 M e t h o d buy. ~IL [m~dd tyy [ Code 2 I Code l~ [ A - I t ) ~ o r i n t . ) J - P ) C o d e 3 r c d~ p t i onJ [ : ( J -P ) ~ {A -H ) " ( i f p r i v a t e

8 6 . - G o l d m a n S a c ~ F s q T a x F r e e M o n e y S o l d 07 /31 /09 J8 7 . - G o l ~ a n S a c h s F s q T a x F r e e M o n e y B uy 0 8 , 3 1 / O 0 J( a d d l )8 8 . - G o l ~ m n S a c h s F s q T a ~ F r e e M o n e y S o l d 0 8 1 3 1 / 0 9 J(p a a )8 9 . - G o l d m ~ S a c h s F~ T a x F r e e M o n e y B u y 0 9 /30 /0 9 J9 0 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y S o l d 0 9 t3 0 / O q J( p a n )9 1 . - G 0 1 ~ a n S a c h s F s q T a x F r e e M o n e y B uy 1 0 ! 3 1 t O 9 J( a d d l )9 2 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y S o l d 1 0 ~ 3 ] / 0 9 J( pa~ )9 3 . - N e w W o r l d F d - F 2 ~ ) B u y I 1 ~ 0 / 0 9 J9 4 . - V a n K a m p e n S m a l l C a p G r o u c h - I S o l d 11 /20 /09 J B9 5 . - G o l ~ a n S a c h s F s q ~ F ~ e M o n e y B u y 1 1 0 0 / 0 9 J( a d d l )9 6 . - G o l d m a n S a c h s F s q T a x F r e e M o n e y S o l d I l ~ 3 t ~ , O ~( p a r t }9 7 . - F i de i i~ C on t r a F und # 0 22 B u y 1 2 / 2 b 0 9 J( add l )

- Morgan Smntey Instl lntl Eq-] Buy 12,21/09 J{a d d t l0 9 . - G o l ~ a n S a c h s F s q T ~ F r e e M o n e y S o l d 12/21/09lpa~l1 0 0 . - Dodge & C ox I n t e r na t i ona l S t oc k F ~ d B uy 1 2 / 2 2 / 0 9 3 a d d l )1 0 1 . - N e w W o r ld F d - F 2 B u y 1 2 . ~ 8 / 0 9 i J{a d d l )102. - Goldman Sachs Fsq Tax Fre~ Money Bu5 1 2 / 3 1 / 0 9 J~add l)


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V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . . . . . . , u e . , . . . . . . , i o , s t 1 . , . t u d e ~ , h o ~ e o t ~ r . . . . . . d d e p e n d e n t e h i l d r c n ; s e e p p . 3 4 - 6 0 o f . f i l i n g i ....... tions.)N O N E (No reportable income, assets, or transactions.)

A. B. C.D c s c x i p fi o n o f A s ~ s I n c o m e d u r i n g G~s value a~ ~d Tran~clions during ~rting p~od( i n c l u d i n g ~ 1 a s s e t s ) r~ on i~ g pe r io d o f r~ o nin g p er io dP l a c e ( X ) " a f i ~ e a c h a s s e l ~ A m o u n t I T~c le.g., V a ~ u e V a l u e T~e ~e.g.. Dnte [ Value [ Gain Ident i t y ofe x e m p t f r o m p r m r d i s c lo s u r e Code t . d i v . . ~ n k C o d e 2 M e N o d bu y , ge lk ~m~,yy ! Code 2 C o d e 1 b uye r / s e l l e r~ ( A - H I or intA [ (J-P~ C o d e 3 re d e m ptio n / i [ (J-P) (A- H ~ f p r iva te(O-~ ~ tram~action)

1 0 3 . - Gol~an Sachs Fsq Tax Free Money S o l d 1 2 / 3 1 1 0 9 J(pan/1~. Ist Source Bank - Checking A I n t e r e s t J T1 0 5 . l n o v a F e d e r a l C r e d i t U n i o n A I n t e r e s t


11/12

Page 1 1 of 12 R i p p l e , K e n n e t h F . 0 5 t 1 1 . 2 0 1 0",rill. ADDITIONAL LNFOR M ATION OR EXP L.~d~IATIONS.

Pos it ionsI t em No. 1 . Par t - t ime Professor of Law, Univers i ty , of Nmre Dame ( jo ined faculO in 1977; par t - t ime s ince appointment to the Judic iary . ) .

As a f ac u l t y m em b er , Judge R i pp l e i s en t i tl ed t o pur c has e t i c k e t s a t a d i s c oun t f o r a t h l e t ic ev en t s , f i e r ec e i v es , on t he s am e b ~ i s a s o t he r f ac u l t y m em b er s , ad i s c o u n t o a s o m e i t e m s a t t h e U n i v e r s i t y bo o k s to r e . H e a l s o m a y u s e o t h e r U n i v e r s i t y f a c i l it i e s s u c h a s t h e l i b r a D a n d a t h l e t ic f a c i l i ti e s . No t r e D a m e p r o v i d e sJudge R i pp l e w i t h Wes t i aw a nd Lex i s s e r v i c e s f o r h is ac adem i c needs . Judge R i pp l e had t he appr ov a l o f t he C h i e f C i r c u i t Judge f o r h i s t e ac h i ng ac t i v it i e s .I t em N o. 2 , Dur i ng t he repor t i ng pe r i od , Judge R i pp l e w as a m em b er o f the v i s it i ng c om m i t tee o f t he Di v in i t y Sc hoo l o f the Uni v e r s i t y o f C h i c ag~ . Mem b er so f the Vis i t ing Commi t t ee s imply give advice to the admini s t ra t ion and facul ty of the Univers i ty . They have no author i ty in mat t e r s of univers i ty governance ,

1 1 . A g ~ e m e n tI t e m N o . 1 . T IA A / C R E F P e n s i o n F u n d - P r i o r to h i s a p p o i n t m e n t , J u d g e R i p p l e w a s a f i d l ~ t i m e e m p l o y e e o f th e U n i v e r s i t y o f No t r e D a m e . D u r in g t h o s e y e a r s( 1 9 7 7 -1 9 8 5 ) . bo t h h e a n d t h e U n i v e r s i ty c o n t r ibu t e d o n h i s be h a l f t o t h i s n a t i o n -w i d e p e n s i o n f u n d f o r U n i v e r s i ty p r o f e s s o r s . T h e f u n d i s a d m i n i s t e re d by a b o a r do f m ~ s t e e s , A l t h o u g h J u d g e R i p p l e c o n t i n u e s t o r e a c h a t t h e U n i v e r s i ty . n e i th e r h e n o r t h e U n i v e r s ib , c o n t r i bu t e s t n t h e f u n d a s a p a r t n f t h i s a r r a n g e m e n t .I t em No. 2 . Pard-t ime professor , Univers i ty of Not re Dame - Deta i l s a re se t for th above in Sec t ion VII1 , I .V. Gi f t s

C o p i e s o f t e x t bo o k s f r o m a u t h o r . P r o f e ss o r V i n c e n t J o h n s o n : $ 1 3 2 , 0 0T he Am er i c an Jud i c a t u r e Soc i e t y g i v es a ll f ede r a l judges a c om pl i m en t a r y m e r nb e r s h i p . Judge R i pp l e r ec e i v es I hc Soc i e t y s pub l ic a t i on . R egu l a r ann ua l duesa r e $ 7 5 , 0 0T he F ede r a l B a r As s o c i a t i on g i v es a ll f ede r a l judges an hono r a r y m em b er s h i p . T he r e a r e no dues f o r honor a r y , m em b er s . Judge R i pp l e r ec e i v es t heAs s oc i a t i on s pub l i c a t ion R eg u l a r dues f o r a m e m b e r i n t he pub l i c s ec to r w ho i s r e t i r ed a r e $ 75 . 00 .V a r i o u s ba r a s s n c i a t i o r ts a n d s i m i l a r ~ e g a t o r g a n i z a t io n s h a v e e x t e n d e d h o n o r a r y , m e m b e r s h i p s t o J u d g e R i p p l e . H e d i d n n t u s e t h e s e m e m b e r s h i p s d u r i n g t h erepor t ing per iod. Deta i l s a re therefore omi t t ed in accordance wi th the ins t ruc t ions .W es l P ub l i s h ing C om pany s upp l i e s Judge R i pp l e w i t h a s am pl e s e t o f the F ede r a l R epor t e r and m i s c e l l uneous l ega l m a t e r i a l fo r us e i n h i s c ham b er s , T heC o m p a n y m a k e s t h e s e b o o k s a v a i l a b l e t o a l l fe d e r a l j u d g e s . T h e e s t i m a t e d s a l u e o f t h e s e m a ~ e r i a l s i s $2 , 4 9 4 . 8 I , T h i s m a t e r i a l i s u s e d f o r t h e p e r f b r m a n c c o fof f ic ia l dut i es .J u d g e R i p p l e r e c e i v e d s a m p l e t e x t bo o k . s f o r t h e c o u r s e s t h a t h e t e a c h e s a t t h e U n i v e r s i t y o f No t r e D a m e , T h e s e bo o k s w e r e r e c e b , e d u n d e r e s t a b l i s h e dpr ogr am s t h r ough w hi c h pub l i s he r s s end s uc h b o ok s t o a l l p r o f e s s o r s and a s k t ha t t he p r o f e s s o r s c ons i de r t he b ook s f o r c l a s s r oom us e . Judge R i pp l e r ec e i v es the s eb ook s unde r t he ~ m e c ond i t i ons a s a l l o t he r p r o f e s s o r s . B ook s w er e r ec e i v ed f r om t he f o l l ow i ng pub l i s he r s ( t he v a lue s how n i s e s t i m a t ed on t he pub l i s hed r e t a i lpr ice of the books/ :Fotmda tion Pres s - $19~.00L e xi s Ne x i s i M a n h e w B e n d e r - $ 5 0 . 0 0

V II . I n v e s t m e n t s a n d T r u s t sI t e m N o s . 9 , 1 0 & I 1 . N o d i v i d e n d s o r i n t e r e s t a r e a t t r ibu t a b l e t o a n y i n d i v i d u a l p o l i c y o f t h i s t yp e . E a c h p o l i c y d o e s h a v e a c a s h v a l u e : t h a t v a l u e i s n o t e d .I t e m N o s . I 3 - 5 7 . T h e s e a r e a l l o f t h e h o l d i r ~ g s , p u r c h a s e , a n d s a l e t r a n ~ c t i o n s w i t h i n T ru s t No . 5 ( I t e m 1 2 1 .I t e m N o s . 5 9 - 1 0 3 . T h e s e a r e a l l o f t h e h o l d i n g s , p u r c h a s e , a n d s a l e t r a n s a c ti o n s w i t h i n T r u s t No . 6 ( I t e m 5 8 1 .I t em Nos . 19 , 34, 65 & 80. Both Trus t #5 and "l -rus t #6 acqui red in te res t s in Morgan Stanley lns t l In t l Eq - hI t e m N o s . 3 5 & 8 I . B o t h T r u s t # 5 a n d T r u s t # 6 s o l d t h e i r e n t i r e i n t e r e s t in t h e D o d g e & C o x S t o c k F u n d ,I t e m No s . 3 6 & 8 2 , B o t h T r u s t # 5 a n d T r u s t ~ 6 a c q u i r e d i n t e r e s t i n V a n K a m p e n S m a l l C a p G r o w t h - I , T h e t r u s ts l a t e r s o l d t h e ir e n t i r e i n te r e s t i n t h i s fu n d ( N o s .48 &I t e m No s . 4 7 & 9 3 . B o t h T r u st ~ 1 5 a n d T r u st # 6 a c q u i r e d i n t e re s t i n Ne w W o r l d F d - F 2 .


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FINANCIAL DISCLOSURE REPORT Iage 12 of 12 ! R i p p l e , K e n n e t h F . 0 5 . . 1 1 / 2 0 1 0IX. CERTIFICATION.

i ce r t i fy t h a t a l l i n fo rm a t i o n g i ve n a bo ve ( i n c l u d i n g i n fo rm a t i o n p e r t a i n i n g t o m y sp o u se a n d m i n o r o r d e p e n d e n t ch i l d r e n , i f 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 r m a t i o n n o t r e p n r t e d w a s ~ S 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 t a tu t o r yp ro vi s i o n s p e rm i t t i n g n o n - d i sc l o su re .1 fu r t h e r ce rV i X t h a t e a rn e d i n co m e f ro m o u t s i d e e m p l o ym e n t a n d h o n o ra r i a a n d t h e a cce p t a n ce o f g i f t s wh i ch h a ve be e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t h e p r o v i s i o n s o f 5 U .S .C . a p p . 5 0 1 e t . s e q . , 5 U .S .C . 7 35 3 , a n d J u d i c i a l C o n fe re n ce r e g u l a t i o n s .

Signature_

N O T E : A N ~ " I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F I E S O R F A I L S T O F IL E Ti l l s R E P O R T M A Y B E S U B J E C T T O C I V I LA N D C R I I ~ ,I I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 ~

F I L I N G I N S T R U C T I O N SMail signed original and 3 additional copies to:Committee on Financial DisclosureAdministrative Office of the United States CourtsS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washin~on, D.C. 20544

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