Kenneth F Ripple Financial Disclosure Report for 2010

8/3/2019 Kenneth F Ripple Financial Disclosure Report for 2010

http://slidepdf.com/reader/full/kenneth-f-ripple-financial-disclosure-report-for-2010 1/13

FINANCIAL DISCLOSURE REPORT

FOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. §§ 101-111)

1. Person Re port ing (las t name, f i rs t , middle ini t ia l)

Ripple , K enne th F .

4 . T i t l e (Ar t i c le 111 judges ind ica te ac t ive o r sen io r s t a tus ;magistrate judges indicate full- or part- t ime)

U n i t ed S t a t es Ci r c u i t J ud g e - Sen i o r

7 . C h a m b e r s o r O f f i c e A d d r e s s

U n i t ed S t a t es Co ur t h o use

204 So u t h M ai n S t . , R o o m 208So u t h Ben d , I N 46601 - 21 22

2. Court or Organiza t ion

C ou r t o f A pp ea l s - 7 th C i r cu i t

5a. Repor t Type (check approp r ia te type)

[] N o m i n a t i o n , D a t e

[] Initial [] Annual [] Final

5b. [] Amended Report

3 . Da te o f Repor t

05/04/2011

6. Repor t ing Per iod

01/01/2010

to

12/31/2010

8. On the bas is of the informat ion conta ined in th is Repor t and anymodif ica t ions per ta in ing there to , i t i s , in m y opinion, in com pl iance

w i t h ap p l i c ab l e l aw s an d r eg u l a t i o n s.

R e v i e w i n g O f f i c 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 followed. Complete all parts,

checking the NONE box for each par t where you hare no repor table in format ion . Sign on las t pag~

I . P O S I T I O N S . ¢ ~ e p o r a n g individual only; see pp . 9-13 o f f i l lng instructions.)

~-] (No reportable po sitions.)O N E

POSITION

i. See Sec t i o n V I I I , Par t I

2. See Sec t i o n V I I I , Par t I

3.

4.

5.

N A M E O F O R G A N I Z A T I O N / EN T I T Y

I I . A G R E E M E N T S . (Reporting individual only; seepp. 14-16 of filing instructions)

[] (No repor table agreeme nt s . )O N E

_ D A T E

1. 2010 S e e S e c t i o n V I I I , P a r t I I

PARTIES AND TERMS

2.2010 See Sec t i o n V I I I, Par t I I

3.




Page 2 of 13

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

Ripple, Kenneth F.

D at e o f R e p o r t

05/04/2011

III. N O N - I N V E S T M E N T I N C O M E . m e p o r ~ . g i ndiv idua l and sp ouse; s ee pp . 17-24 of f ! l ing ins t ruc t ions . )

A. Filer’s Non-Investment Incom e

~ ] N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE I N C O M E( yo u r s , n o t s p o u s e ’ s )

1 . 2 0 1 0 Par t - t i me t eac h i n g - U n i ver s i t y o f N o t r e Dame $25,1 1 2 .00

2.

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 - I f you were ma rried during any portion o f the reporting year, com plete th is section.

(Dollar amount not required except for honoraria.)

~] N O N E (No reportable non-investment income.)

DATE SOURCE AND TYPE

1 .

2.

3.

4.

I V . RE I M B U R S E M E N T S - t~ansponuaon, lodging, food, e n t e r t a i n m e n ~

(Includes those to spouse and dependent children; see pp. 25-27 of f!ling instructions.)

N O N E (No reportable reimbursements.)

SOURCE DATES LOCATION

1 .

2.

3.

4.

5.

PURPOSE ITEMS PAID OR PROVIDED "




P a g e 3 o f 1 3

N a me o f Pe r s o n R e p o r t i n g

R i p p l e , K e n n e t h F .

D at e o f Rep o r t

05/04/2011

V . G I F T S . a n e l u d e s t h o s e to s p o ~ e a n d dependent children; see pp. 2 8 - 3 1 of filing instructions.)

[--] N O N E ( N o reportable gifts.)

SOURCE DESCRIPTION

1 . S ee Se ct io n VI II , P a rt V

2.

3.

4.

5.

VALUE

V I . L I A B I L I T I E S . a n c l u d e s those of sponse and dependent children; see pp. 32-33 of filing instructions.)

N O N E (N o reportab le l iabil i t ies.)

C R E D I T O R D E S C R I P TI ON

I.

2.

3.

4.

5.

VALUECODE




Page 4 of 13


Ripple, Kenneth F.

Date of R e p o r t

05/04/2011

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 e o r ~ e , v u l u e , ~ a n s o c t l o ~ a n c l u d e s t h o s e of spouse and dependent children; see p p . 3 4 - 6 0 of filing instructions.)

[-~ N O N E ( N o reportable income, assets, or transactions.)

1 . K e y B a n k , S o . B e n d , I N I R A - C D A Interes t J T

2. K e y B a n k , S o . B e n d , 1 N I R A - C D A Interes t K T

3. D r ey f u s F u nd - IRA ( D r ey f u s L iqu id A s s e t s , N o n e K T

Inc . )

4. N o t r e D a m e F C U - N o t r e D a m e , I N s a v i n g s A Interes t L T& c h e c k i n g a c c o u n t

5. U .S. Sa v in g s B o n d s N o n e J T

6. U N D T I A A / C R E F R e t i r e m e n t F u n d D Int. /Div . O T

7. P r u dent ia l Ins u r ance P o l icy # 1 A D i v i d e n d K T

8. P r u dent ia l Ins u r ance P o l icy # 2 A D i v i d e n d J T

9. C o n s ec o W h o le L ife In s u ra n c e P o lic y # 1 N o n e J T

1 0 . Co n sec o Wh o l e L i f e I n su r an c e Po l i c y #2 N o n e J T

1 1 . M et L i f e Wh o l e L i f e I n su r an c e Po l i c y N o n e J T

1 2 . Trus t #5 D Int. /Div . N T

1 3 . - W a s a t c h - 1 s t S o u r c e I n c o m e E q F d

1 4 . - Do d g e & Co x I n t e r n a t i o n a l S t o c k Fd

1 5 . - F ide l i ty C ont r a F u nd # 0 2 2

1 6 . - U n i t s i n I n t e r med i a t e T ax Ex emp t Fun d o f

1s t S ou r ce B ank1 7 . - Uni t s in Tax Exem p t F u nd of 1 s t S ou r ce

B a n k




Page 5 of 13


Ripple, Kenneth F.

Date o f R e p o r t

05/04/2011

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 , v a l u e , t ransact ions ( Includes those o f spouse and dependent ch i ldren; see pp . 34-60 of filing instructions.)

D NONE( N o reportable income, assets, or transactions.)

1 8 . - M o r g a n S t a n l e y I n s t l I n t l E q - I

1 9 . - N e w W o r l d F d . - F 2

20 .

21 .

22 .

23 .

24 .

25 .

26 .

27 .

28 .

29 .

30 .

31 .

32 .

33 .

34 .

- F e d e r a t e d T a x F r e e O b l i g a t i o n s S S F u n d

(x )- F i d e l i ty L o w P r i c e d S t o c k F u n d # 3 1 6 ( X )

- T e m p l e t o n G l o b a l B o n d F d - A d ( X )

- 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


o F ide l i ty C ont r a F u nd # 0 2 2







- F i d e l i ty L o w P r i c e d S t o c k F u n d # 3 1 6 ( X )

B u y 0 1/3 1/10

( ad d ’ l )

So l d 0 1/3 1/10

( p a r t )

Buy 02/08/10( add’ l )

B u y 0 2 /2 8 /10

( ad d ’ l )

So l d 0 2 /2 8 /10(part)

B uy 0 3 / 3 1 / 1 0

( ad d ’ l )

So l d 0 3 /3 1/10

(part)

B u y 0 4 /3 0 /10

( ad d ’ l )

So l d 0 4 /3 0 /10(part)

B u y 05/1 7 /1 0

J

J

J

J

J

J

J

J

J

J

- T e m p l e t o n G l o b a l B o n d F d - A d ( X ) B uy 05/17/10 J

- T e m p l e t o n G l o b a l B o n d F d - A d B uy 05/19/10 J

( add’ l )

1. Inco m e O ail~ Co des: A =$]t.O 00 o r las s B - -$1 .001: $2.5 00 C = $2.501 - $5 .000 D =$5.001 - $15.000

( S ¢~ C o l u m m B 1 a n d I M ) F =$ 50 , 0~ 1 -$ 1 00 , 000 ~ --$ 1 00 . 001 : $ 1 , 000 .000 H1 =$1 .000,0~1 - $5.000.000 H2 =More than $5.000.000

2 . V a l ue Co d es J = $1 5 .000 o r le ss K = $1 5.001 - $50.000 L = $50,001 - $100,000 M =$100.001 - $250.000

( See Co l um n s CI an d D3) N =$250,001 - $500,000 O = $5 00 .0 01 - $ 1.0 00 .0 00 P I - -$ 1.0 00.0 01 - $ 5.00 0.0 00 P 2 = $5 .00 0,0 01 - $ 25 ,00 0,0 00

P3 =$25 000 001 - $5 0 000.000 P4 ~More than $50.000.000

R =Co s t ( Rea l E s t a t e On l y) T =Cash Mar ke t3 . Va l u e M e t ho d C o d a s Q = A p p ra i sa l S =Assessm en t

( See Co l um n C2) U = B o o k Va l u e V =Ot h e r W = Es t i ma t e d

E = $ 1 5 , 0 0 1 ÷ $ 5 0 , 0 0 { 3




Page 6 of 13

N a m e o f P e r so n R e p o r t i n g

Ripple, Kenneth F.

D a t e o f R e p o r t

05/04/2011

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 , ~ e , v u t u e , t ransac t i ons ( Inc lude s t hose o f spouse and d e pe nde n t c h i ldre n ; se e pp . 3 4 - 60 o f ~d i ng i n s t ruc t ions . )

~-~ NONE i ncome, a sse t s , or t ransact ions .)o reportable

35 . - F e d e r a t e d Ta x F r e e O b l i g a t i o n s S S F u n d B u y 0 5 / 3 1 / 1 0

(x )

36 . - 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 5 / 3 1 / 1 0

( a d d ’ l )

37 . - F i d e l i t y C o n t r a F u n d # 0 2 2 S o l d 0 5 / 1 7 / 1 0

(pa r t )

38 . - F e d e r a t e d Ta x F r e e O b l i g a t i o n s S S F u n d S o l d 0 5 1 3 1 1 1 0

(par t )

39 . - 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 5 / 3 1 / 1 0

40 . - T e m p l e to n G l o b a l B o n d F d - A d B u y 0 6 1 1 7 1 1 0

( a d d ’ l )

41 . - F e d e r a t e d Ta x F r e e O b l i g a t i o n s S S F u n d B u y 0 6 / 3 0 / 1 0

( a d d ’ l )

42 . - U n i t s i n I n t e r m ed i a t e T ax E x em p t F u n d o f S o l d 0 6 / 0 4 / 1 0

I s t S o u r c e B a n k (pa r t )

43 . - T e m p i o n G l o b a l B o n d F d - A d B u y 0 7 / 1 9 / 1 0

( a d d ’ l )

44 . - F e d e r a t e d Ta x F r e e O b l i g a t i o n s S S F u n d B u y 0 7 / 3 1 / 1 0( a d d ’ l )

45 . - F e d e r a t e d Ta x F r e e O b l i g a t i o n s S S F u n d S o l d 0 7 / 3 1 / 1 0

(pa r t )

46 . - T e m p l e to n G l o b a l B o n d F d - A d B u y 08/20/10

( a d d ’ l )

47 . - F e d e r a t e d Ta x F r e e O b l i g a t i o n s S S F u n d B u y 08/3 t /10

( a d d ’ l )

48 . - F e d e r a t e d Ta x F r e e O b l i g a t i o n s S S F u n d S o l d 0 8 / 3 1 / 1 0

( p a r t )

49 . - F i d e l i t y L o w P r i c e d S t o c k F u n d # 3 1 6 B u y 09/09/10( a d d ’ l )


( a d d ’ l )

51 . - F e d e ra te d T a x F re e O b lig a tio n s S S F u n d B u y 0 9 / 3 0 / 1 0

( a d d ’ l )

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

A

2 . V a l u~ ~ d e s J = $~ 51000 or less ~ $i5 ,00~ ~ ss o ;o 00

( S e e C o l .m n s C I a n d D 3 ) N - - $ ~ 5 0 ; 0 0 ! $ 5 ~ : 0 o o 0 ~$500i00i ~ SL000’000 ~li~ ~! ......

3. Value Meihod C~:x tcs Q ~App~i~i (Real Estate Only)S =A~eS~m~i ~ ~ ~k~ : :

( s e e c 0 ! ~ m n c 2 ) u =B o o k: V a l ue




Page 7 of 13


Ripple, Kenneth F.


05/04/2011

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 , ~ o l u e , t r a u s a a i o n s a n c i u d e s t h o s e of spouse and dependent children; see p p . 3 4 - 6 0 o f f i l i n g i n s t r u c t i o n s . )

D NONE (N o repor table i ncom e, asse t s , or t ransact ions . )

52 . - F e d e r a t e d T a x F r e e O b l ig a t i o n s S S F u n d S o l d 09/30/10

(par t )


( a d d ’ l )

54 . - F e d e r a t e d T a x F r e e O b l ig a t i o n s S S F u n d B u y 10/31/10

( a d d ’ l )


(par t )


( a d d ’ l )

57 . - F e d e r a t e d T a x F r e e O b l i g a t i o n s S S F u n d B u y 11 /30/ lO

( a d d ’ l )


( p a r t )

59 . - Dodge & Cox In ter nat ional Stock Fd B uy 12/22/10( a d d ’ l )

60 . - F i d e l i t y C o n t r a F u n d # 0 2 2 B u y 12/20/10

( a d d ’ l )

61 . - F i d e l i t y L o w P r i c e d S t o c k F u n d # 3 1 6 B u y 12/13/10( a d d ’ l )

62 . - M o r g an S t an l ey l n s t l I n tl E q- I B u y 12/20/10

( a d d ’ l )

63 . - N e w W o r l d F d - F 2 B u y 12/29/10

( a d d ’ l )


( a d d ’ l )

65 . - F e d e r a t e d T a x F r e e O b l ig a t i o n s S S F u n d B u y 12/31/10

( a d d ’ l )


(par t )


(par t )

68 . T r u s t # 6 D In t . /D iv. N T

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

I. . I n c o me G a i n C o d e s :

( See Co l um n s B 1 an d

2.V al ue Co d es

{S e e C o l u mn s C 1 a n d D 3 }

3 . Va l u e M e t ho d C o d e s

( See Co l um n C2)

=$1,000 or less B =$1.001 - $2.500 C =$2,501 :o $5 ,000 D =$5,001 - $15,000

= $5 0,001 - $1 00,000 G = $1 00.001 - $1 .000.000 H I = $ L 000,001 - $5 ,000,000 H2 =More than $5.000.000

= $1 5.000 o r les s K = $15.001 - $ 5 0 , 0 ~ 0 L = $ 50 . 00 | - $ | 00 , 000 M =$100,001 - $250.000

= $250.001 - $500.00(I O = $5 00,001 - $1 ,000,000 PI = $1 ,000,001 - $5 ,000,000 : . P2 =$5.000.001 : $25.000,000

P3 = $25.000.001 - $50.000.000 P4 =More than $50.000.000

=Appraisal R = C o s t (R e a l Es t a t e O n l y ) S ~ - A s s e s s m e n t : T = C a s h M a r k e t

=B o o k V a l ue V = O t h ~ : ~ : : ~ s t ~ m a t e d

E --$15.001 - $50,000




Page 8 of 13

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



05/04/2011

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 , va l u e , t r a n s a c t io , ~ a n c i ~ d e s t h o s e o / s p o u s e u n d dependent children; see pp. 34-60 of fillng instructions.)

~ -~ N O N E ( N o reportable income, assets, or transa ctions.)

69 . - W a s a t c h - I s t S o u r c e I n c o m e E q F d

70 . - D o d g e & C o x I n t e m a t i o n a i S t o c k F d

71 .

72 .

73 .

74 .

75 .

- F ide l i ty C ontm F u nd # 0 2 2

- Uni t s in In te r m edia te Tax Exem pt F u nd of

1 s t So urc e Ba n k

- Uni t s in Tax Exem pt F u n d of 1s t S ou r ce

B a n k

- M or gan S tan ley Ins t l In t l Eq-I

- N e w W o r l d F d - F 2

76 . - Fed er a t ed T ax Fr ee O bl i g a t i o n s SS Fun d

(x )

77 . - F i d e l i ty L o w P r i c e d S t o c k F u n d # 3 1 6 ( X )

78 . - T e m p l e t o n G l o b a l B o n d F d - A d ( X )

79 . - 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


81 . - F ide l i ty C ont r a F u nd # 0 2 2





B u y 01 /31 /1 0( add’ l )

S o ld 0 1 /3 1 /1 0(part)

B u y 0 2 /0 8 /10

( ad d ’ l )

B uy 021 28/ 1 0

( ad d ’ l )

So ld 0 2/28/1 0( p a r t )

Buy 03/31/10

( ad d ’ l )So ld 03 /3 1 /1 0(part)

J

J

J

J

J

J

J

1 . I n c o me G a i n C o d e s :

( See Co l um n s B l an d 1 ) 4 )

2.Va l u e C o d e s

( See Co l um n s CI an d D3)

3.Value Method Codes

( See Co l um n C2)

A ~$1.000 or less B =$I.001 : $2.500 C =$2,501 - $5.000 D ~$5,001 . - $15.000

F =$50.001 - $100,000: G --$100.001 - $L000.000 H t =$1,000.0~)1 - $5 .000.000 H 2 -M o re t ha n $5 . 0 0 0 , 00 0

J =$15.000 or less K =$15.001 - $50.000 L =$50.001 = $100.000 M ~-$100.001, $250.000

N =$250.001 - $500.000 O =$500.00I - SL000.000 p 1 = $ !. 0 00 . 00 1 - $ 5 , 00 0 .0 0 0 : :: P 2 = $ 5 ,0 0 0, 0 01 - $ 25 . 00 0 .0 0 0

P3 =$ 25,000.001 - $50.000.000 P4 =More than $50.000.000.

R ~ o s t ( R e a l E s t a te O n l y ) S =Assessment .... T =~ C e s l i M a r k e tQ --Appraisal

u = B 6 o k ~ a l u e V = O t h e r W = Es t i ma t e d

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




Page 9 of 13


Ripple, Kenneth F.


05/04/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ~ c o m e , v ~ l n e , transactions (Includes those of spouse and dependent children; see pp. 34-60 o:filing instructions.)

D NONE i ncome, a sse t s , or t ransact ions .)o reportable

86 . - 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 / I0 J

( a d d ’ l )

87 . - 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 04/30/10 J

(par t )

88 . - F i d e l i t y L o w P r i c ed S t o c k F u n d # 3 1 6 ( X ) B u y 05/17/10 J

89 . - T e m p l e to n G l o b a l B o n d F d - A d ( X ) B u y 05/17/10 J

90 . - T e m p l e to n G l o b a l B o n d F d - A d B u y 05/19/10 J

( a d d ’ l )

91 . - F e d e r a t e d T a x F r e e O b l ig a i t o n s S S F u n d B u y 0 5 / 3 1 / 1 0 J

(x )

92 . - 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 5 / 3 1 / 1 0 J

( a d d ’ l )

93 . - F i d e l i t y C o n t r a F u n d # 0 2 2 S o l d 0 5 / 1 7 / I0 J

(par t )

94 . - F e d e r a t e d T a x F r e e O b l ig a t i o n s S S F u n d S o l d 05/31 /10 J

(par t )

95 . - 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 5 / 3 1 / I0 K

96 . - T e m p l e to n G l o b a l B o n d F d - A d B u y 06/17/10 J ̄

( a d d ’ l )

97 . - F e d e r a t e d T a x F r e e O b l ig a t i o n s S S F u n d B u y 06/30/10 J

( a d d ’ l )

98 . - U n i t s I n I n t e r m ed i a t e T ax E x em p t F u n d o f S o l d 06/04/10 J

1 s t S o u r c e B a n k (par t )

99 . - F e d e r a t e d T a x F r e e O b l ig a t i o n s S S F u n d S o l d 06/30/10 J

(par t )

1 0 0 . - T e m p l e t o n G l o b a l B o n d F d - A d B u y 07/19/10 J

( a d d ’ l )

1 0 1 . - F e d e r a t e d T a x F r e e O b l i g a t io n s S S F u n d B u y 07/31 /10 J

( a d d ’ l )

1 0 2 . - F e d e r a t e d T a x F r e e O b l i g a t io n s S S F u n h d S o l d 0 7 / 3 1 / 1 0 J

(par t )




Page 10 of 13

N a m e of Person Repor t ing


Date o f Repor t

05/04/2011

V I I . I N V E S T M E N T S a n d T R U S T S - n c o m e , v a l u e , t ransact ions ( Includes those o f spouse a nd dependen t ch i ldren; see pp . 34-60 o f ~d ing instruct ions.)

D N O N E ( N o reportable income, a ssets , or transact ions.)

1 0 3 . - T e m p l e t o n G l o b a l B o n d F d - A d

1 0 4 . - F e d e r a t e d T a x F r e e O b l i g a ti o n s S S F u n d


1 0 6 . - F i d e l i ty L o w - P r i ce d S t o c k F u n d # 3 1 6


1 0 8 . - F e d e r a t e d T a x F r e e O b l ig a t i o n s S S F u n d



I 11. - F eder a ted Tax F r ee Ob l iga t ions S S F u nd

112. - Fed er a t ed T ax Fr ee O bl i g a t i o n s SS Fun d




1 1 6 . - D o d g e & C o x I n t e r n a t io n a l S t o c k F d

1 1 7 . - F i d e l i ty Co n t r a Fun d #022

1 1 8 . - F i d e l it y L o w P r i c e d S t o c k F u n d # 3 1 6

119. - M or gan S tan ley Ins t l In t l Eq-I

B u y 08/20/10

( a d d ’ l )

B u y 0 8 / 3 1 / 1 0

( a d d ’ l )

S o l d 0 8 / 3 1 / 1 0

(pa r t )

B u y 09/09/10

( a d d ’ l )

B u y 0 9 / 1 7 / 1 0

( a d d ’ l )

B u y 09/30/10

( a d d ’ l )

S o l d 0 9 / 3 0 / 1 0

(pa r t )

Buy 10/19/10

( a d d ’ l )

B u y 10/31/10

( a d d ’ l )

S o l d 10/31 /I0(pa r t )

B u y l l / 1 7 / 1 0

( a d d ’ l )

B u y 11/30/10

( a d d ’ l )

S o l d 11/30/10(pa r t )

B u y 12/22/ I0

( a d d ’ l )

B u y 12/20/10

( a d d ’ l )

B u y 12/13/10

( a d d ’ l )

B u y 12/20/10

( a d d ’ l )

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

J

2. vaiue c~ J:~ 0~ !~ ~ ~ $i5 ,0o i i $50~ 000 M ~ $1 0~ i~ ] ~ $ ~ 5 0 ;0 0 0

( S e e C o l u m n s c i a n d D 3 ) N~$2500o! $5~ Pl

P3 ~ $2 5 1 0 0 0 , ~ i : P4

3 . V a l ue Met h o d co d es O=~ppraisal S=As~e~ment. T ~Cash M~t’k~t

( s e e C o l u m n C 2 ) w =E s t i m a t ed




Page 11 of 13

N a m e o f P e r so n R e p o r t i n g

Ripple, Kenneth F.


05/04/2011

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, t ransact ions ( Includes those of spouse and dependent chi ldren; see pp. 34-60 of filing instructions.)

N O N E ( N o reportable income, assets, or transactions.)

BI~rans~t 6n~ dU~ng ~p0~ing

( i f ie l u d i n g ~ g ~

1 2 0 . - N e w W o r l d F d - F 2





1 2 5 . i s t S o u r c e B a n k - C h e c k i n g

1 2 6 . In o v a F e d e r a l Cr e d i t U n i o n ( Y )

A I n t e r e s t

B uy 12129/10

( add’ l )

B uy 12 /17 /10

( ad d ’ l )

B uy 12131/10

( ad d ’ l )

So l d 12/21110

(part)

Sold 12 / 3 1 / 10

(part)

J

J

J

J

J

1 . i n c o m e G a i n C o d e s : A =$ 1 .O00 Or l es s B - -$ 1 , 0 0 1 - $ 2 , 5 0 0

[ s e e C 01 u m n s B I a n d D 4 ) F = $ 5 0 . 0 0 1 - $ 1 0 0 . 0 O 0 G = $ 1 0 0 . 0 0 1 - $ 1 . 0 0 0 , 0 0 0

2 . V a lu e C o d e s J = $ 1 5 ,0 0 0 o r le s s K = $ 1 5 . 0 0 1 - $ 5 0 . 0 0 0

( S e e C o l u m n s C I a n d D 3 ) N = $ 2 5 0 .0 0 1 - $5 0 0 .0 0 0 O = $5 0 0 ,0 0 1 - $1 .0 0 0 .0 0 0

P 3 =$ 2 5 . 0 0 0 , 0 0 1 -

3 . V a l u e M e t h o d C o d e s Q = A p p r a i s al R = C o s t ( R e a l E s t a te O n l y )

( S e e C o l u m n C 2 ) U = B o o k V a l u e V = O t h e r

C =$2.501 - $5.000

H 1 =$1.000.001 - $5.000.000

L =$50.001 - $100.000

P1 =$ 1.000.001 - $5,000,000

P4 =More "tha n $50.000.000

S = A s s e s s me n t

W -E s t i m a t ed

D = $5 . 0 0 l - $1 5 . 0 0 0

H2 =More than $5.000.000

M =$100.001 - $250,000

P2 =$5.000.001 - $25.000.000

T =Cash Mar ke t

E =$15.001 - $50,000



FINANCIAL DISCLOSURE REPOR T

Page 12 of 13


Ripple, Kenneth F.

Date of R e p o r t

05/04/2011

V I II . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . (lndlcatepart of report.)

I . P o s i t i o n sI t em N o . 1 . Par t - t i me P r o f es so r o f L aw , U n i ver s i t y o f N o t r e Dame ( j o i n ed f ac u l t y in 1 9 77 ; p ac t - t i me s i n c e ap p o i n t me n t t o t h e Jud i c i a r y) .

As a f ac u l t y m em ber , J ud g e R i p p l e i s en t i tl ed t o p u r c h ase t i c ke t s a t a d i sc o un t f o r a t h l e ti c even t s . He r ec e i ves , o n t h e sam e bas i s as o t h er f ac u l t y mem ber s , ad i sc o un t o n so me i t ems a t t h e U n i ver s i t y bo o ks t o r e . He a l so may use o t h er U n i ver s i t y f ac i l i t i es suc h as t h e l i b r ar y an d a t h l e t i c f ac i l i t i es . N o t r e Dame p r o v i d esJ u d g e R i p p l e w i t h W e s t l a w a n d L e x i s s e r v i c e s f o r h i s a c a d e m i c n e c d s . J u d g e R i p p l e h a d t h e a p p r o v a l o f t h e C h i e f C i r c u i t J u d g e f o r h i s t e a c h in g a c t i v i ti e s .

I t em N o . 2 . Dur i n g t h e r ep o r t i n g p er i o d , J ud g e R i p p l e was a member o f t h e v i s i t i n g c o mmi t t ee o f t h e Di v i n i t y Sc h o o l o f t h e U n i ver s i t y o f Ch i c ag o . M ember s o ft h e V i s i t i n g Co mmi t t ee s i mp l y g i ve ad v i c e t o t h e ad mi n i s t r a t i o n an d f ac u l t y o f t h e U n i ver s i t y . T h ey h ave n o au t h o r i t y i n mat t e r s o f un i ver s i t y g o ver n an c e .

I I. A g r e e m e n t

I t em N o . 1 . T I AA/CR EF Pen s i o n Fun d - P r i o r t o h i s ap p o i n t men t , J ud g e R i p p l e was a f u l l - t i me emp l o yee o f t h e U n i ver s i t y o f N o t r e Dame. Dur i n g t h o se year s( 1 9 77- 1 9 85) , bo t h h e an d t h e U n i ver s i t y c o n t r ibu t ed o n h i s beh al f t o t h i s n a t i o n - wi d e p en s i o n f un d f o r U n i ver s i t y p r o f es so r s . T h e f un d i s ad m i n i s t e r ed by a h o ar do f t r u s t ees . Al t h o ug h J ud g e R i p p l e c o n t i n ues t o t eac h a t t h e U n i ver s i t y , n e i th er h e n o r t h e U n i ver s i t y c o n t r i bu t es t o t h e f un d as a p ar t o f t h i s a r r an g em en t .

I t em N o . 2 . Par t - ti me p r o f es so r , U n i ver s i t y o f N o t r e Dam e - De t a i l s a r e se t f o r th abo ve i n Sec t i o n V I I I , I .

V. G i f t s

C opies o f t ex tb ook s f r om a t~ thor , P r of es s or Vincen t Johns on : $ 15 5 .0 0

T h e A m e r i c a n J u d i c a t u r e S o c i e ty g i v e s a l l f e d e r a l j u d g e s a c o m p l i m e n t a r y m e m b e r s h i p . J u d g e R i p p l e r e c e i v e s t h e S o c i e t y ’s p u b l i c a ti o n . R e g u l a r a n n u a l d u e s a r e$75.00.

T h e F e d e r a l B a r A s s o c i a ti o n g i v e s a l l fe d e r a l j u d g e s a n h o n o r a r y m e m b e r s h i p . T h e r e a r e n o d u e s f o r h o n o r a r y m e m b e r s . Ju d g e R i p p l e r e c e iv e s t h e A s s o c i a t i o n ’sp ub l i c a t i o n , R eg u l ar d ues f o r a member i n t h e p ub l i c sec t o r wh o i s r e t i r ed a r e $9 5 .00 .

V a r i o u s b a r a s s o c i a ti o n s a n d s i m i la r l e g a l 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 o 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 er ep o r t i n g p er i o d . Det a i l s a r e t h er ef o r e o mi t t ed i n ac c o r d an c e wi t h t h e i n s t r uc t i o n s .

W e s t P u b l i s h in g C o m p a n y s u p p l i e s J u d g e R i p p l e w i t h a s a m p l e s e t o f t h e F e d e r a l R e p o r t e r a n d m i s c e ll a n e o u s l e g a l m a t e r i a l fo r u s e i n h i s c h a m b e r s . T h eC 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 le t o a l l f e d e r a l j u d g e s . T h e e s t im a t e d v a l u e o f t h e s e m a t e r i a ls i s $ 2 , 0 8 6 .5 7 . 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 o r m a n c e o f

o f f i c i a l d u t i es . J ud g e R i p p l e h as t r an s f er r ed an y i n t e r es t h e may h ave i n t h ese m at er i a l s to t h e U n i t ed S t a t es Go ver n me n t .

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 b o 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 he s a t t h e U n i v e r s i ty o f N o t r e D a m e . T h e s e b o o k s w e r e r e c e i v e d u n d e r e s t a b l is h e d p r o g r a m st h r o ug h wh i c h p ub l i sh er s sen d suc h bo o ks t o a l l p r o f es so r s an d ask t h a t t h e p r o f es so r s c o n s i d er th e bo o ks f o r c l as s r o o m use . J ud g e R i p p l e r ec e i ves t h ese bo o ksun d er t h e same c o n d i t i o n s as a l l o t h er p r o f es so r s . Bo o ks wer e r ec e i ved f r o m t h e f o l l o wi n g p ub l i sh er s ( t h e va l ue sh o wn i s es t i mat ed o n t h e p ub l i sh ed r e t a i l p r i c e

of the b ook s ) :

F ou nda t ion P r es s - $ 5 1 .2 0

L ex i sN ex i s /M at t h ew Ben d er - $76 .00

V I I . In ves t m en t s an d T r us t s

I t em N o s . 9 , 1 0 & 1 1 . N o d i v i d en d s o r i n t e r es t a r e a t t r ibu t ab l e t o an y i n d i v i d ua l p o l i c y o f t h i s t yp e . Eac h p o l i c y d o es h ave a c ash va l ue ; t h a t va l ue i s n o t ed .

I t em N o s . 1 3 - 67 . T h ese a r e a l l o f t h e h o l d in g s , p u r c h ase , an d sa l e t r an sac t i o n s wi t h i n T r us t N o . 5 ( I t em 1 2) .

I t em N o s . 69 - 1 24 . T h ese a r e a l l o f t h e h o l d i n g s , p u r c h ase , an d sa l e t r an sac t i o n s wi t h i n T r us t N o . 6 ( I t em 68) .

I t em N o s . 20 , 35 , 76 & 9 1 . Bo t h T r us t #5 an d T r us t #6 ac q u i r ed i n t e r es t s i n Fed er a t ed T ax Fr ee O bl i g a t i o n s SS Fun d .

I t em N o s . 21 , 32 , 77 & 88 . Bo t h T r us t #5 an d T r us t #6 ac q u i r ed i n t e r es t s i n F i d e l i ty L o w P r i c ed S t o c k Fun d #31 6 .

I t em N o s . 22 , 33 , 78 & 89 Bo t h T r us t #5 an d T r us t #6 ac q u i r ed i n t e r es t s i n T emp l e t o n Gl o bal Bo n d Fd - A d .

I t em N o s . 39 & 9 5 . Bo t h T r us t #5 an d T r us t #6 so l d t h e i r en ti r e i n t e r es ts i n Go l d man Sac h s Fsq T ax Fr ee M o n ey .

I t e m N o . 1 2 6 . T h e a c c o u n t a t l n o v a F e d e r a l C r e d i t U n io n e a r n e d n o i n c o m e d u r i n g 2 0 1 0 , a n d t h e a c c o u n t w a s c l o s e d i n A u g u s t 2 0 1 0 .




P a g e 1 3 o f 1 3

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


Date o f Repor t

05/04/2011

IX. CERTIFICATION.

I c e r t if y t h a t a l l i n 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 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 , if a n y ) i sa c c u r a t e , t ru e , a n d c o m p l e t e t o th 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 o r t e d w a s w 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 r yp r o v i s i o n s p e r m i t ti n g n o n - d i s c l o s u r e .

! f u r th e r c e r t if 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 i d 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 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 3 5 3 , 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 .

Signature: S/Kenn eth F. Ripple

N O T E : A N Y I N D I V ID 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 IF I ES O R F A I L S T O F IL E T H I S R E P O R T M A Y B E S U B J E CT T O C I V I L

A 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 )

C o m m i tt e e o n F i n a n c i al D i s c l o s u reA d m i n i s t ra t i v e O f f i c e o f th e U n i t e d S t a te s C o u r t s

S u i t e 2 - 3 0 1

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Kenneth F Ripple Financial Disclosure Report for 2010